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Extracorporeal Membrane Oxygenation in Patients With COVID-19: An International Multicenter Cohort Study.
33823709
To report and compare the characteristics and outcomes of COVID-19 patients on extracorporeal membrane oxygenation (ECMO) to non-COVID-19 acute respiratory distress syndrome (ARDS) patients on ECMO.
BACKGROUND
We performed an international retrospective study of COVID-19 patients on ECMO from 13 intensive care units from March 1 to April 30, 2020. Demographic data, ECMO characteristics and clinical outcomes were collected. The primary outcome was to assess the complication rate and 28-day mortality; the secondary outcome was to compare patient and ECMO characteristics between COVID-19 patients on ECMO and non-COVID-19 related ARDS patients on ECMO (non-COVID-19; January 1, 2018 until July 31, 2019).
METHODS
During the study period 71 COVID-19 patients received ECMO, mostly veno-venous, for a median duration of 13 days (IQR 7-20). ECMO was initiated at 5 days (IQR 3-10) following invasive mechanical ventilation. Median PaO2/FiO2 ratio prior to initiation of ECMO was similar in COVID-19 patients (58 mmHg [IQR 46-76]) and non-COVID-19 patients (53 mmHg [IQR 44-66]), the latter consisting of 48 patients. 28-day mortality was 37% in COVID-19 patients and 27% in non-COVID-19 patients. However, Kaplan-Meier curves showed that after a 100-day follow-up this non-significant difference resolves. Non-surviving COVID-19 patients were more acidotic prior to initiation ECMO, had a shorter ECMO run and fewer received muscle paralysis compared to survivors.
RESULTS
No significant differences in outcomes were found between COVID-19 patients on ECMO and non-COVID-19 ARDS patients on ECMO. This suggests that ECMO could be considered as a supportive therapy in case of refractory respiratory failure in COVID-19.
CONCLUSIONS
[ "COVID-19", "Cohort Studies", "Extracorporeal Membrane Oxygenation", "Female", "Humans", "Internationality", "Male", "Middle Aged", "Respiratory Distress Syndrome", "Retrospective Studies" ]
8267077
Introduction
After in December 2019 the first case of pneumonia caused by the novel severe acute respiratory syndrome coronavirus-2 (SARS-CoV-2) was reported, it has since spread and became a pandemic of Coronavirus Disease-2019 (COVID-19). 1 On September 22nd 2020, over 31 million infected cases and over 965,000 SARS-CoV-2 related deaths have been confirmed. 2 Infected individuals can differ in presentation from asymptomatic carriers to severe respiratory failure and acute respiratory distress syndrome (ARDS). Up to 35% of the hospitalized patients with COVID-19 have to be treated in an intensive care unit (ICU). 3 In these cases, the cornerstones of supportive therapy include high flow nasal oxygen, as well as non-invasive and invasive mechanical ventilation. Extracorporeal membrane oxygenation (ECMO) is recommended as a “last resource” supportive therapy in case of cardiac and/or respiratory failure, including ARDS, refractory to other conventional therapies. As the extracorporeal circuit provides both oxygenation and carbon dioxide clearance, it can facilitate protective mechanical ventilation. 4,5 Following the influenza A (H1N1) pandemic in 2009, worldwide application, expertise and experience with the use of ECMO as a supportive treatment in severe ARDS increased. 6,7 During the Middle East respiratory syndrome (MERS) outbreak, an association with improved outcome in patients with ARDS on ECMO was demonstrated. 8 However, in COVID-19 the first results from small Chinese cohorts were disappointing, showing a very high mortality. 9 Recently, more promising results were presented, including a French study reporting an estimated probability of day-60 mortality of 31%. 10 The WHO interim guidelines recommends the administration of ECMO to eligible patients with COVID-19 related ARDS in expert centers. 11 The Society of Critical Care Medicine (SCCM) has agreed with this statement and released guidelines regarding the management of COVID-19 patients in the ICU, providing criteria regarding the use of ECMO in COVID-19. 12 Although some research has been carried out on ECMO in COVID-19, these studies are limited due to small sample sizes, single-center design or the lack of control group. 13 –15 As a result, no robust conclusion can be drawn about the added value of ECMO in patients with severe respiratory failure due to COVID-19. Therefore, this study aimed to provide additional insight on the role of ECMO in refractory ARDS due to COVID-19 by describing patient and ECMO characteristics of COVID-19 patients on ECMO, and comparing their outcomes with patients with non-COVID-19 ARDS on ECMO.
Methods
This retrospective observational study was performed in 13 ICUs providing ECMO: 8 from the Netherlands, 3 from Belgium, 1 from Sweden and 1 from Spain. This study was approved by the institutional review board (IRB) of the Amsterdam University Medical Centers (Amsterdam UMC; W20_199#20.230), and, thereafter, from local Ethics Committees. Data were collected retrospectively from electronic patient records of all consecutive COVID-19 patients receiving ECMO admitted to the ICU from March 1 to April 30, 2020, which corresponds with the timing of the first COVID-19 peak in most European countries. Patients were included if they were aged 18 years and older and received ECMO during their ICU admission due to RT-PCR confirmed COVID-19. As comparative non-COVID-19 group, data were collected of patients with who received ECMO for ARDS between January 1, 2018, and July 31, 2019 from the same ICUs. Patients were eligible for ECMO according to applicable guidelines provided by the extracorporeal life support organization (ELSO). 16 ECMO is considered a last resource, in case of reversible cardiac and/or pulmonary failure, refractory to other therapies. Therefore, for example, in case of ARDS, it is encouraged to have applied several interventions such as prone positioning and neuromuscular blockage prior initiation of ECMO. 17,18 During ECMO, standard care included systemic anticoagulation using unfractionated heparin in all 13 centers. More details on the anticoagulation practices can be found in the Additional File (E1. Anticoagulation practices). Data collection included demographics, comorbidities, laboratory values, ECMO characteristics, complications and 28-day mortality (Additional File: E2. Definitions used). The primary outcome was the complication rate and 28-day mortality of patients on ECMO due to COVID-19. The secondary outcome consisted of a comparison of patient and ECMO characteristics between patients with COVID-19 on ECMO to patients with non-COVID-19 ARDS on ECMO. Statistical Analysis Statistical analysis was performed using R statistics (version 3.6.1) with the R Studio interface (The R Foundation, Lucent Technologies, Inc., Murray Hill, NJ, USA, www.r-project.org). Baseline and outcome parameters were summarized using simple descriptive statistics. Non-normal distributed continuous variables were presented as a median (with interquartile range (IQR)). Categorical variables were presented as percentages and frequencies. Data were compared between groups of COVID-19 patients and non-COVID-19 ARDS patients using the Mann-Whitney U test for numerical data and Chi square test for categorical data. Survival rates of COVID-19 and non-COVID-19 patients were compared using Kaplan-Meier analyses and the log-rank test for equality of survival curves using the R survival package. A P value <.05 was considered significant. Statistical analysis was performed using R statistics (version 3.6.1) with the R Studio interface (The R Foundation, Lucent Technologies, Inc., Murray Hill, NJ, USA, www.r-project.org). Baseline and outcome parameters were summarized using simple descriptive statistics. Non-normal distributed continuous variables were presented as a median (with interquartile range (IQR)). Categorical variables were presented as percentages and frequencies. Data were compared between groups of COVID-19 patients and non-COVID-19 ARDS patients using the Mann-Whitney U test for numerical data and Chi square test for categorical data. Survival rates of COVID-19 and non-COVID-19 patients were compared using Kaplan-Meier analyses and the log-rank test for equality of survival curves using the R survival package. A P value <.05 was considered significant.
Results
COVID-19 Patients on ECMO During the study period, a total of 71 patients received ECMO due to refractory respiratory failure related to COVID-19. The majority of 57 patients (80%) were male and median age was 52 years (IQR 46-57). The patients were predominantly overweight with a median body mass index (BMI) of 29.2 kg/m2 (IQR 26.1-32.1). A minority of 29 patients (40%) had a medical history of cardiovascular or pulmonary disease, of which most frequently scored comorbidities consisted of hypertension (n = 15, 21%), asthma (n = 7, 10%) and diabetes (n = 6, 8%). An overview of the patient baseline characteristics prior to the initiation of ECMO is shown in Table 1. The arterial blood gas (ABG) values prior to initiation of ECMO reported a pH of 7.35 (IQR 7.22-7.42), PaCO2 of 8.0 kPa (IQR 6.6-10.1), bicarbonate of 32 mmol/L (IQR 26-37) and PaO2 of 8.0 kPa (IQR 6.8-9.3). Controlled ventilation mode was mostly used: pressure-controlled ventilation in 31 patients (44%) and volume-controlled ventilation in 31 patients (44%). Median ventilation parameters consisted of PEEP of 12 cm H2O (IQR 8-16), FiO2 of 100% (IQR 80-100), resulting in a median PaO2/FiO2 of 58 mmHg (IQR 46-76). In a large part of the patients, prone positioning (79%) and muscle paralysis (77%) had been applied prior to initiation of ECMO. Acute kidney injury (AKI) was already present in 17 patients (24%), of which 12 (17%) were also receiving renal replacement therapy (RRT). Patient Baseline Characteristics. Abbreviations: COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation; SOFA, sequential organ failure assessment; CRP, C-reactive protein; PaO2, partial oxygen pressure; PCO2, partial carbon dioxide pressure; FiO2, fraction inspired oxygen; PEEP, positive end expiratory pressure. a Values prior to initiation of ECMO include worst values within 12 hours prior to initiation. After the first occurrence of symptoms, hospital admission followed at a median of 13 days (IQR 7-16), and ICU admission 1 day later. ECMO was started at a median of 18 days (IQR 15-25) after disease onset and at a median of 5 days (IQR 3-10) after start of invasive mechanical ventilation. Almost all patients received veno-venous ECMO (VV-ECMO: 93%, n = 66), 3 patients received veno-arterial ECMO (VA-ECMO), one veno-veno-arterial ECMO (VVA-ECMO) and one extracorporeal CO2-removal (ECCO2R). The main indication for VV-ECMO was combined refractory hypoxemia and hypercapnia, which occurred in 34 patients (52%), followed by refractory hypoxemia in 32 patients (49%). To be able to offer hemodynamic support in the presence of right ventricular failure, 3 patients received VA-ECMO and one VVA-ECMO. The median duration of ECMO was 13 days (IQR 7-20); 3 patients were in need of a second run of ECMO. Muscle paralysis was the most commonly applied rescue therapy, which was applied in 51 patients (72%), followed by prone positioning (n = 27, 38%). The variance in pharmacotherapeutic drugs was high; hydroxychloroquine (n = 47, 66%) and lopinavir/ritonavir (n = 14, 20%) were most frequent (Table 2: ECMO Characteristics). ECMO Characteristics. Abbreviations: ECMO, extracorporeal membrane oxygenation; CO2, carbondioxide; ICU, Intensive Care Unit; IL, interleukine. During ECMO, 60 patients (85%) suffered one or more complications, mostly a new infection (n = 40, 56%), AKI (n = 39, 55%) and hemorrhagic event (n = 38, 54%) as shown in Table 3. From the 39 patients with AKI, 22 out of 39 developed during ECMO, and 37 out of 39 patients (55%) received RRT. More than half of the patients (n = 37, 52%) were successfully weaned from ECMO. The 3 patients who received a second run were successfully weaned and survived. Within 28 days after ECMO initiation, 26 patients had died (37%). In those non-survivors a lower median pH and higher median PCO2 was shown in comparison to survivors (respectively: 7.28 versus 7.38 [P = .04] and 9.82 versus 7.33 [P = .002]). Moreover, muscle paralysis had been applied in fewer non-survivors (non-survivors 68% versus survivors 97%, P = .002). The median ECMO run was 6 days shorter in non-survivors (non-survivors 8 days [IQR 5-17] versus survivors 14 days [IQR 10-23]). A table showing survivors versus non-survivors can be found in the Additional File (E3. Survivors versus non-survivors). ECMO Outcome and Complications. Abbreviations: ECMO, Extracorporeal Membrane Oxygenation; ICU, Intensive Care Unit. a 28-day mortality: death within 28 days after initiation ECMO. b Causes of death are described in the Additional File (E4. Unanticipated Death). During the study period, a total of 71 patients received ECMO due to refractory respiratory failure related to COVID-19. The majority of 57 patients (80%) were male and median age was 52 years (IQR 46-57). The patients were predominantly overweight with a median body mass index (BMI) of 29.2 kg/m2 (IQR 26.1-32.1). A minority of 29 patients (40%) had a medical history of cardiovascular or pulmonary disease, of which most frequently scored comorbidities consisted of hypertension (n = 15, 21%), asthma (n = 7, 10%) and diabetes (n = 6, 8%). An overview of the patient baseline characteristics prior to the initiation of ECMO is shown in Table 1. The arterial blood gas (ABG) values prior to initiation of ECMO reported a pH of 7.35 (IQR 7.22-7.42), PaCO2 of 8.0 kPa (IQR 6.6-10.1), bicarbonate of 32 mmol/L (IQR 26-37) and PaO2 of 8.0 kPa (IQR 6.8-9.3). Controlled ventilation mode was mostly used: pressure-controlled ventilation in 31 patients (44%) and volume-controlled ventilation in 31 patients (44%). Median ventilation parameters consisted of PEEP of 12 cm H2O (IQR 8-16), FiO2 of 100% (IQR 80-100), resulting in a median PaO2/FiO2 of 58 mmHg (IQR 46-76). In a large part of the patients, prone positioning (79%) and muscle paralysis (77%) had been applied prior to initiation of ECMO. Acute kidney injury (AKI) was already present in 17 patients (24%), of which 12 (17%) were also receiving renal replacement therapy (RRT). Patient Baseline Characteristics. Abbreviations: COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation; SOFA, sequential organ failure assessment; CRP, C-reactive protein; PaO2, partial oxygen pressure; PCO2, partial carbon dioxide pressure; FiO2, fraction inspired oxygen; PEEP, positive end expiratory pressure. a Values prior to initiation of ECMO include worst values within 12 hours prior to initiation. After the first occurrence of symptoms, hospital admission followed at a median of 13 days (IQR 7-16), and ICU admission 1 day later. ECMO was started at a median of 18 days (IQR 15-25) after disease onset and at a median of 5 days (IQR 3-10) after start of invasive mechanical ventilation. Almost all patients received veno-venous ECMO (VV-ECMO: 93%, n = 66), 3 patients received veno-arterial ECMO (VA-ECMO), one veno-veno-arterial ECMO (VVA-ECMO) and one extracorporeal CO2-removal (ECCO2R). The main indication for VV-ECMO was combined refractory hypoxemia and hypercapnia, which occurred in 34 patients (52%), followed by refractory hypoxemia in 32 patients (49%). To be able to offer hemodynamic support in the presence of right ventricular failure, 3 patients received VA-ECMO and one VVA-ECMO. The median duration of ECMO was 13 days (IQR 7-20); 3 patients were in need of a second run of ECMO. Muscle paralysis was the most commonly applied rescue therapy, which was applied in 51 patients (72%), followed by prone positioning (n = 27, 38%). The variance in pharmacotherapeutic drugs was high; hydroxychloroquine (n = 47, 66%) and lopinavir/ritonavir (n = 14, 20%) were most frequent (Table 2: ECMO Characteristics). ECMO Characteristics. Abbreviations: ECMO, extracorporeal membrane oxygenation; CO2, carbondioxide; ICU, Intensive Care Unit; IL, interleukine. During ECMO, 60 patients (85%) suffered one or more complications, mostly a new infection (n = 40, 56%), AKI (n = 39, 55%) and hemorrhagic event (n = 38, 54%) as shown in Table 3. From the 39 patients with AKI, 22 out of 39 developed during ECMO, and 37 out of 39 patients (55%) received RRT. More than half of the patients (n = 37, 52%) were successfully weaned from ECMO. The 3 patients who received a second run were successfully weaned and survived. Within 28 days after ECMO initiation, 26 patients had died (37%). In those non-survivors a lower median pH and higher median PCO2 was shown in comparison to survivors (respectively: 7.28 versus 7.38 [P = .04] and 9.82 versus 7.33 [P = .002]). Moreover, muscle paralysis had been applied in fewer non-survivors (non-survivors 68% versus survivors 97%, P = .002). The median ECMO run was 6 days shorter in non-survivors (non-survivors 8 days [IQR 5-17] versus survivors 14 days [IQR 10-23]). A table showing survivors versus non-survivors can be found in the Additional File (E3. Survivors versus non-survivors). ECMO Outcome and Complications. Abbreviations: ECMO, Extracorporeal Membrane Oxygenation; ICU, Intensive Care Unit. a 28-day mortality: death within 28 days after initiation ECMO. b Causes of death are described in the Additional File (E4. Unanticipated Death). Non-COVID-19 ARDS A total of 48 out of 440 patients received ECMO due to ARDS unrelated to COVID-19. In this consecutive subgroup, median age was 55 years (IQR 40-61), sex was equally distributed, and median BMI was 28.3 kg/m2 (IQR 24.7-33). When compared to the patients with COVID-19 related respiratory failure, the COVID-19 group had a significantly higher proportion of males (80% versus 50%; P = .001). No other significant differences were found in patient baseline characteristics, comorbidities, and disease severity-related variables including sequential organ failure assessment (SOFA)-score and PaO2/FiO2-ratio. Also, complication rate and ECMO support duration did not differ significantly (Table 4). 28-day mortality was 37% in COVID-19 patients and 27% in non-COVID-19 patients. However, this difference was not significant, as shown in the Kaplan-Meier curves in Figure 1 (Hazard Ratio 1.01 [95% CI 0.60-1.69]; P = .98). In this figure it is apparent that this non-significant difference in mortality resolves after a prolonged 100-day follow-up. Comparison COVID-19 on ECMO and Non-COVID-19 on ECMO. Abbreviations: COPD, chronic obstructive pulmonary disease; SOFA, sequential organ failure assessment; COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation. a 28-day mortality, mortality 28 days after initiation of ECMO. Kaplan-Meier estimates for patients with COVID-19 on ECMO and patients with ARDS not due to COVID-19 on ECMO. Unadjusted hazard ratio and 95% confidence interval calculated from a Cox proportional hazard model is presented. A total of 48 out of 440 patients received ECMO due to ARDS unrelated to COVID-19. In this consecutive subgroup, median age was 55 years (IQR 40-61), sex was equally distributed, and median BMI was 28.3 kg/m2 (IQR 24.7-33). When compared to the patients with COVID-19 related respiratory failure, the COVID-19 group had a significantly higher proportion of males (80% versus 50%; P = .001). No other significant differences were found in patient baseline characteristics, comorbidities, and disease severity-related variables including sequential organ failure assessment (SOFA)-score and PaO2/FiO2-ratio. Also, complication rate and ECMO support duration did not differ significantly (Table 4). 28-day mortality was 37% in COVID-19 patients and 27% in non-COVID-19 patients. However, this difference was not significant, as shown in the Kaplan-Meier curves in Figure 1 (Hazard Ratio 1.01 [95% CI 0.60-1.69]; P = .98). In this figure it is apparent that this non-significant difference in mortality resolves after a prolonged 100-day follow-up. Comparison COVID-19 on ECMO and Non-COVID-19 on ECMO. Abbreviations: COPD, chronic obstructive pulmonary disease; SOFA, sequential organ failure assessment; COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation. a 28-day mortality, mortality 28 days after initiation of ECMO. Kaplan-Meier estimates for patients with COVID-19 on ECMO and patients with ARDS not due to COVID-19 on ECMO. Unadjusted hazard ratio and 95% confidence interval calculated from a Cox proportional hazard model is presented.
Conclusions
To conclude, we found an acceptable survival rate in ECMO patients with COVID-19, not differing significantly from our non-COVID-19 ARDS patients on ECMO. ECMO could be considered as a supportive therapy in case of COVID-19 related respiratory failure, in case conventional therapies are insufficient.
[ "Statistical Analysis", "COVID-19 Patients on ECMO", "Non-COVID-19 ARDS" ]
[ "Statistical analysis was performed using R statistics (version 3.6.1) with the R Studio interface (The R Foundation, Lucent Technologies, Inc., Murray Hill, NJ, USA, www.r-project.org). Baseline and outcome parameters were summarized using simple descriptive statistics. Non-normal distributed continuous variables were presented as a median (with interquartile range (IQR)). Categorical variables were presented as percentages and frequencies. Data were compared between groups of COVID-19 patients and non-COVID-19 ARDS patients using the Mann-Whitney U test for numerical data and Chi square test for categorical data. Survival rates of COVID-19 and non-COVID-19 patients were compared using Kaplan-Meier analyses and the log-rank test for equality of survival curves using the R survival package. A P value <.05 was considered significant.", "During the study period, a total of 71 patients received ECMO due to refractory respiratory failure related to COVID-19. The majority of 57 patients (80%) were male and median age was 52 years (IQR 46-57). The patients were predominantly overweight with a median body mass index (BMI) of 29.2 kg/m2 (IQR 26.1-32.1). A minority of 29 patients (40%) had a medical history of cardiovascular or pulmonary disease, of which most frequently scored comorbidities consisted of hypertension (n = 15, 21%), asthma (n = 7, 10%) and diabetes (n = 6, 8%).\nAn overview of the patient baseline characteristics prior to the initiation of ECMO is shown in Table 1. The arterial blood gas (ABG) values prior to initiation of ECMO reported a pH of 7.35 (IQR 7.22-7.42), PaCO2 of 8.0 kPa (IQR 6.6-10.1), bicarbonate of 32 mmol/L (IQR 26-37) and PaO2 of 8.0 kPa (IQR 6.8-9.3). Controlled ventilation mode was mostly used: pressure-controlled ventilation in 31 patients (44%) and volume-controlled ventilation in 31 patients (44%). Median ventilation parameters consisted of PEEP of 12 cm H2O (IQR 8-16), FiO2 of 100% (IQR 80-100), resulting in a median PaO2/FiO2 of 58 mmHg (IQR 46-76). In a large part of the patients, prone positioning (79%) and muscle paralysis (77%) had been applied prior to initiation of ECMO. Acute kidney injury (AKI) was already present in 17 patients (24%), of which 12 (17%) were also receiving renal replacement therapy (RRT).\nPatient Baseline Characteristics.\nAbbreviations: COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation; SOFA, sequential organ failure assessment; CRP, C-reactive protein; PaO2, partial oxygen pressure; PCO2, partial carbon dioxide pressure; FiO2, fraction inspired oxygen; PEEP, positive end expiratory pressure.\n\na Values prior to initiation of ECMO include worst values within 12 hours prior to initiation.\nAfter the first occurrence of symptoms, hospital admission followed at a median of 13 days (IQR 7-16), and ICU admission 1 day later. ECMO was started at a median of 18 days (IQR 15-25) after disease onset and at a median of 5 days (IQR 3-10) after start of invasive mechanical ventilation. Almost all patients received veno-venous ECMO (VV-ECMO: 93%, n = 66), 3 patients received veno-arterial ECMO (VA-ECMO), one veno-veno-arterial ECMO (VVA-ECMO) and one extracorporeal CO2-removal (ECCO2R). The main indication for VV-ECMO was combined refractory hypoxemia and hypercapnia, which occurred in 34 patients (52%), followed by refractory hypoxemia in 32 patients (49%). To be able to offer hemodynamic support in the presence of right ventricular failure, 3 patients received VA-ECMO and one VVA-ECMO. The median duration of ECMO was 13 days (IQR 7-20); 3 patients were in need of a second run of ECMO. Muscle paralysis was the most commonly applied rescue therapy, which was applied in 51 patients (72%), followed by prone positioning (n = 27, 38%). The variance in pharmacotherapeutic drugs was high; hydroxychloroquine (n = 47, 66%) and lopinavir/ritonavir (n = 14, 20%) were most frequent (Table 2: ECMO Characteristics).\nECMO Characteristics.\nAbbreviations: ECMO, extracorporeal membrane oxygenation; CO2, carbondioxide; ICU, Intensive Care Unit; IL, interleukine.\nDuring ECMO, 60 patients (85%) suffered one or more complications, mostly a new infection (n = 40, 56%), AKI (n = 39, 55%) and hemorrhagic event (n = 38, 54%) as shown in Table 3. From the 39 patients with AKI, 22 out of 39 developed during ECMO, and 37 out of 39 patients (55%) received RRT. More than half of the patients (n = 37, 52%) were successfully weaned from ECMO. The 3 patients who received a second run were successfully weaned and survived. Within 28 days after ECMO initiation, 26 patients had died (37%). In those non-survivors a lower median pH and higher median PCO2 was shown in comparison to survivors (respectively: 7.28 versus 7.38 [P = .04] and 9.82 versus 7.33 [P = .002]). Moreover, muscle paralysis had been applied in fewer non-survivors (non-survivors 68% versus survivors 97%, P = .002). The median ECMO run was 6 days shorter in non-survivors (non-survivors 8 days [IQR 5-17] versus survivors 14 days [IQR 10-23]). A table showing survivors versus non-survivors can be found in the Additional File (E3. Survivors versus non-survivors).\nECMO Outcome and Complications.\nAbbreviations: ECMO, Extracorporeal Membrane Oxygenation; ICU, Intensive Care Unit.\n\na 28-day mortality: death within 28 days after initiation ECMO.\n\nb Causes of death are described in the Additional File (E4. Unanticipated Death).", "A total of 48 out of 440 patients received ECMO due to ARDS unrelated to COVID-19. In this consecutive subgroup, median age was 55 years (IQR 40-61), sex was equally distributed, and median BMI was 28.3 kg/m2 (IQR 24.7-33). When compared to the patients with COVID-19 related respiratory failure, the COVID-19 group had a significantly higher proportion of males (80% versus 50%; P = .001). No other significant differences were found in patient baseline characteristics, comorbidities, and disease severity-related variables including sequential organ failure assessment (SOFA)-score and PaO2/FiO2-ratio. Also, complication rate and ECMO support duration did not differ significantly (Table 4). 28-day mortality was 37% in COVID-19 patients and 27% in non-COVID-19 patients. However, this difference was not significant, as shown in the Kaplan-Meier curves in Figure 1 (Hazard Ratio 1.01 [95% CI 0.60-1.69]; P = .98). In this figure it is apparent that this non-significant difference in mortality resolves after a prolonged 100-day follow-up.\nComparison COVID-19 on ECMO and Non-COVID-19 on ECMO.\nAbbreviations: COPD, chronic obstructive pulmonary disease; SOFA, sequential organ failure assessment; COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation.\n\na 28-day mortality, mortality 28 days after initiation of ECMO.\nKaplan-Meier estimates for patients with COVID-19 on ECMO and patients with ARDS not due to COVID-19 on ECMO. Unadjusted hazard ratio and 95% confidence interval calculated from a Cox proportional hazard model is presented." ]
[ null, null, null ]
[ "Introduction", "Methods", "Statistical Analysis", "Results", "COVID-19 Patients on ECMO", "Non-COVID-19 ARDS", "Discussion", "Conclusions", "Supplemental Material" ]
[ "After in December 2019 the first case of pneumonia caused by the novel severe acute respiratory syndrome coronavirus-2 (SARS-CoV-2) was reported, it has since spread and became a pandemic of Coronavirus Disease-2019 (COVID-19).\n1\n On September 22nd 2020, over 31 million infected cases and over 965,000 SARS-CoV-2 related deaths have been confirmed.\n2\n Infected individuals can differ in presentation from asymptomatic carriers to severe respiratory failure and acute respiratory distress syndrome (ARDS). Up to 35% of the hospitalized patients with COVID-19 have to be treated in an intensive care unit (ICU).\n3\n In these cases, the cornerstones of supportive therapy include high flow nasal oxygen, as well as non-invasive and invasive mechanical ventilation.\nExtracorporeal membrane oxygenation (ECMO) is recommended as a “last resource” supportive therapy in case of cardiac and/or respiratory failure, including ARDS, refractory to other conventional therapies. As the extracorporeal circuit provides both oxygenation and carbon dioxide clearance, it can facilitate protective mechanical ventilation.\n4,5\n Following the influenza A (H1N1) pandemic in 2009, worldwide application, expertise and experience with the use of ECMO as a supportive treatment in severe ARDS increased.\n6,7\n During the Middle East respiratory syndrome (MERS) outbreak, an association with improved outcome in patients with ARDS on ECMO was demonstrated.\n8\n However, in COVID-19 the first results from small Chinese cohorts were disappointing, showing a very high mortality.\n9\n Recently, more promising results were presented, including a French study reporting an estimated probability of day-60 mortality of 31%.\n10\n\n\nThe WHO interim guidelines recommends the administration of ECMO to eligible patients with COVID-19 related ARDS in expert centers.\n11\n The Society of Critical Care Medicine (SCCM) has agreed with this statement and released guidelines regarding the management of COVID-19 patients in the ICU, providing criteria regarding the use of ECMO in COVID-19.\n12\n Although some research has been carried out on ECMO in COVID-19, these studies are limited due to small sample sizes, single-center design or the lack of control group.\n13\n–15\n As a result, no robust conclusion can be drawn about the added value of ECMO in patients with severe respiratory failure due to COVID-19.\nTherefore, this study aimed to provide additional insight on the role of ECMO in refractory ARDS due to COVID-19 by describing patient and ECMO characteristics of COVID-19 patients on ECMO, and comparing their outcomes with patients with non-COVID-19 ARDS on ECMO.", "This retrospective observational study was performed in 13 ICUs providing ECMO: 8 from the Netherlands, 3 from Belgium, 1 from Sweden and 1 from Spain. This study was approved by the institutional review board (IRB) of the Amsterdam University Medical Centers (Amsterdam UMC; W20_199#20.230), and, thereafter, from local Ethics Committees. Data were collected retrospectively from electronic patient records of all consecutive COVID-19 patients receiving ECMO admitted to the ICU from March 1 to April 30, 2020, which corresponds with the timing of the first COVID-19 peak in most European countries. Patients were included if they were aged 18 years and older and received ECMO during their ICU admission due to RT-PCR confirmed COVID-19. As comparative non-COVID-19 group, data were collected of patients with who received ECMO for ARDS between January 1, 2018, and July 31, 2019 from the same ICUs. Patients were eligible for ECMO according to applicable guidelines provided by the extracorporeal life support organization (ELSO).\n16\n ECMO is considered a last resource, in case of reversible cardiac and/or pulmonary failure, refractory to other therapies. Therefore, for example, in case of ARDS, it is encouraged to have applied several interventions such as prone positioning and neuromuscular blockage prior initiation of ECMO.\n17,18\n During ECMO, standard care included systemic anticoagulation using unfractionated heparin in all 13 centers. More details on the anticoagulation practices can be found in the Additional File (E1. Anticoagulation practices). Data collection included demographics, comorbidities, laboratory values, ECMO characteristics, complications and 28-day mortality (Additional File: E2. Definitions used). The primary outcome was the complication rate and 28-day mortality of patients on ECMO due to COVID-19. The secondary outcome consisted of a comparison of patient and ECMO characteristics between patients with COVID-19 on ECMO to patients with non-COVID-19 ARDS on ECMO.\nStatistical Analysis Statistical analysis was performed using R statistics (version 3.6.1) with the R Studio interface (The R Foundation, Lucent Technologies, Inc., Murray Hill, NJ, USA, www.r-project.org). Baseline and outcome parameters were summarized using simple descriptive statistics. Non-normal distributed continuous variables were presented as a median (with interquartile range (IQR)). Categorical variables were presented as percentages and frequencies. Data were compared between groups of COVID-19 patients and non-COVID-19 ARDS patients using the Mann-Whitney U test for numerical data and Chi square test for categorical data. Survival rates of COVID-19 and non-COVID-19 patients were compared using Kaplan-Meier analyses and the log-rank test for equality of survival curves using the R survival package. A P value <.05 was considered significant.\nStatistical analysis was performed using R statistics (version 3.6.1) with the R Studio interface (The R Foundation, Lucent Technologies, Inc., Murray Hill, NJ, USA, www.r-project.org). Baseline and outcome parameters were summarized using simple descriptive statistics. Non-normal distributed continuous variables were presented as a median (with interquartile range (IQR)). Categorical variables were presented as percentages and frequencies. Data were compared between groups of COVID-19 patients and non-COVID-19 ARDS patients using the Mann-Whitney U test for numerical data and Chi square test for categorical data. Survival rates of COVID-19 and non-COVID-19 patients were compared using Kaplan-Meier analyses and the log-rank test for equality of survival curves using the R survival package. A P value <.05 was considered significant.", "Statistical analysis was performed using R statistics (version 3.6.1) with the R Studio interface (The R Foundation, Lucent Technologies, Inc., Murray Hill, NJ, USA, www.r-project.org). Baseline and outcome parameters were summarized using simple descriptive statistics. Non-normal distributed continuous variables were presented as a median (with interquartile range (IQR)). Categorical variables were presented as percentages and frequencies. Data were compared between groups of COVID-19 patients and non-COVID-19 ARDS patients using the Mann-Whitney U test for numerical data and Chi square test for categorical data. Survival rates of COVID-19 and non-COVID-19 patients were compared using Kaplan-Meier analyses and the log-rank test for equality of survival curves using the R survival package. A P value <.05 was considered significant.", "COVID-19 Patients on ECMO During the study period, a total of 71 patients received ECMO due to refractory respiratory failure related to COVID-19. The majority of 57 patients (80%) were male and median age was 52 years (IQR 46-57). The patients were predominantly overweight with a median body mass index (BMI) of 29.2 kg/m2 (IQR 26.1-32.1). A minority of 29 patients (40%) had a medical history of cardiovascular or pulmonary disease, of which most frequently scored comorbidities consisted of hypertension (n = 15, 21%), asthma (n = 7, 10%) and diabetes (n = 6, 8%).\nAn overview of the patient baseline characteristics prior to the initiation of ECMO is shown in Table 1. The arterial blood gas (ABG) values prior to initiation of ECMO reported a pH of 7.35 (IQR 7.22-7.42), PaCO2 of 8.0 kPa (IQR 6.6-10.1), bicarbonate of 32 mmol/L (IQR 26-37) and PaO2 of 8.0 kPa (IQR 6.8-9.3). Controlled ventilation mode was mostly used: pressure-controlled ventilation in 31 patients (44%) and volume-controlled ventilation in 31 patients (44%). Median ventilation parameters consisted of PEEP of 12 cm H2O (IQR 8-16), FiO2 of 100% (IQR 80-100), resulting in a median PaO2/FiO2 of 58 mmHg (IQR 46-76). In a large part of the patients, prone positioning (79%) and muscle paralysis (77%) had been applied prior to initiation of ECMO. Acute kidney injury (AKI) was already present in 17 patients (24%), of which 12 (17%) were also receiving renal replacement therapy (RRT).\nPatient Baseline Characteristics.\nAbbreviations: COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation; SOFA, sequential organ failure assessment; CRP, C-reactive protein; PaO2, partial oxygen pressure; PCO2, partial carbon dioxide pressure; FiO2, fraction inspired oxygen; PEEP, positive end expiratory pressure.\n\na Values prior to initiation of ECMO include worst values within 12 hours prior to initiation.\nAfter the first occurrence of symptoms, hospital admission followed at a median of 13 days (IQR 7-16), and ICU admission 1 day later. ECMO was started at a median of 18 days (IQR 15-25) after disease onset and at a median of 5 days (IQR 3-10) after start of invasive mechanical ventilation. Almost all patients received veno-venous ECMO (VV-ECMO: 93%, n = 66), 3 patients received veno-arterial ECMO (VA-ECMO), one veno-veno-arterial ECMO (VVA-ECMO) and one extracorporeal CO2-removal (ECCO2R). The main indication for VV-ECMO was combined refractory hypoxemia and hypercapnia, which occurred in 34 patients (52%), followed by refractory hypoxemia in 32 patients (49%). To be able to offer hemodynamic support in the presence of right ventricular failure, 3 patients received VA-ECMO and one VVA-ECMO. The median duration of ECMO was 13 days (IQR 7-20); 3 patients were in need of a second run of ECMO. Muscle paralysis was the most commonly applied rescue therapy, which was applied in 51 patients (72%), followed by prone positioning (n = 27, 38%). The variance in pharmacotherapeutic drugs was high; hydroxychloroquine (n = 47, 66%) and lopinavir/ritonavir (n = 14, 20%) were most frequent (Table 2: ECMO Characteristics).\nECMO Characteristics.\nAbbreviations: ECMO, extracorporeal membrane oxygenation; CO2, carbondioxide; ICU, Intensive Care Unit; IL, interleukine.\nDuring ECMO, 60 patients (85%) suffered one or more complications, mostly a new infection (n = 40, 56%), AKI (n = 39, 55%) and hemorrhagic event (n = 38, 54%) as shown in Table 3. From the 39 patients with AKI, 22 out of 39 developed during ECMO, and 37 out of 39 patients (55%) received RRT. More than half of the patients (n = 37, 52%) were successfully weaned from ECMO. The 3 patients who received a second run were successfully weaned and survived. Within 28 days after ECMO initiation, 26 patients had died (37%). In those non-survivors a lower median pH and higher median PCO2 was shown in comparison to survivors (respectively: 7.28 versus 7.38 [P = .04] and 9.82 versus 7.33 [P = .002]). Moreover, muscle paralysis had been applied in fewer non-survivors (non-survivors 68% versus survivors 97%, P = .002). The median ECMO run was 6 days shorter in non-survivors (non-survivors 8 days [IQR 5-17] versus survivors 14 days [IQR 10-23]). A table showing survivors versus non-survivors can be found in the Additional File (E3. Survivors versus non-survivors).\nECMO Outcome and Complications.\nAbbreviations: ECMO, Extracorporeal Membrane Oxygenation; ICU, Intensive Care Unit.\n\na 28-day mortality: death within 28 days after initiation ECMO.\n\nb Causes of death are described in the Additional File (E4. Unanticipated Death).\nDuring the study period, a total of 71 patients received ECMO due to refractory respiratory failure related to COVID-19. The majority of 57 patients (80%) were male and median age was 52 years (IQR 46-57). The patients were predominantly overweight with a median body mass index (BMI) of 29.2 kg/m2 (IQR 26.1-32.1). A minority of 29 patients (40%) had a medical history of cardiovascular or pulmonary disease, of which most frequently scored comorbidities consisted of hypertension (n = 15, 21%), asthma (n = 7, 10%) and diabetes (n = 6, 8%).\nAn overview of the patient baseline characteristics prior to the initiation of ECMO is shown in Table 1. The arterial blood gas (ABG) values prior to initiation of ECMO reported a pH of 7.35 (IQR 7.22-7.42), PaCO2 of 8.0 kPa (IQR 6.6-10.1), bicarbonate of 32 mmol/L (IQR 26-37) and PaO2 of 8.0 kPa (IQR 6.8-9.3). Controlled ventilation mode was mostly used: pressure-controlled ventilation in 31 patients (44%) and volume-controlled ventilation in 31 patients (44%). Median ventilation parameters consisted of PEEP of 12 cm H2O (IQR 8-16), FiO2 of 100% (IQR 80-100), resulting in a median PaO2/FiO2 of 58 mmHg (IQR 46-76). In a large part of the patients, prone positioning (79%) and muscle paralysis (77%) had been applied prior to initiation of ECMO. Acute kidney injury (AKI) was already present in 17 patients (24%), of which 12 (17%) were also receiving renal replacement therapy (RRT).\nPatient Baseline Characteristics.\nAbbreviations: COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation; SOFA, sequential organ failure assessment; CRP, C-reactive protein; PaO2, partial oxygen pressure; PCO2, partial carbon dioxide pressure; FiO2, fraction inspired oxygen; PEEP, positive end expiratory pressure.\n\na Values prior to initiation of ECMO include worst values within 12 hours prior to initiation.\nAfter the first occurrence of symptoms, hospital admission followed at a median of 13 days (IQR 7-16), and ICU admission 1 day later. ECMO was started at a median of 18 days (IQR 15-25) after disease onset and at a median of 5 days (IQR 3-10) after start of invasive mechanical ventilation. Almost all patients received veno-venous ECMO (VV-ECMO: 93%, n = 66), 3 patients received veno-arterial ECMO (VA-ECMO), one veno-veno-arterial ECMO (VVA-ECMO) and one extracorporeal CO2-removal (ECCO2R). The main indication for VV-ECMO was combined refractory hypoxemia and hypercapnia, which occurred in 34 patients (52%), followed by refractory hypoxemia in 32 patients (49%). To be able to offer hemodynamic support in the presence of right ventricular failure, 3 patients received VA-ECMO and one VVA-ECMO. The median duration of ECMO was 13 days (IQR 7-20); 3 patients were in need of a second run of ECMO. Muscle paralysis was the most commonly applied rescue therapy, which was applied in 51 patients (72%), followed by prone positioning (n = 27, 38%). The variance in pharmacotherapeutic drugs was high; hydroxychloroquine (n = 47, 66%) and lopinavir/ritonavir (n = 14, 20%) were most frequent (Table 2: ECMO Characteristics).\nECMO Characteristics.\nAbbreviations: ECMO, extracorporeal membrane oxygenation; CO2, carbondioxide; ICU, Intensive Care Unit; IL, interleukine.\nDuring ECMO, 60 patients (85%) suffered one or more complications, mostly a new infection (n = 40, 56%), AKI (n = 39, 55%) and hemorrhagic event (n = 38, 54%) as shown in Table 3. From the 39 patients with AKI, 22 out of 39 developed during ECMO, and 37 out of 39 patients (55%) received RRT. More than half of the patients (n = 37, 52%) were successfully weaned from ECMO. The 3 patients who received a second run were successfully weaned and survived. Within 28 days after ECMO initiation, 26 patients had died (37%). In those non-survivors a lower median pH and higher median PCO2 was shown in comparison to survivors (respectively: 7.28 versus 7.38 [P = .04] and 9.82 versus 7.33 [P = .002]). Moreover, muscle paralysis had been applied in fewer non-survivors (non-survivors 68% versus survivors 97%, P = .002). The median ECMO run was 6 days shorter in non-survivors (non-survivors 8 days [IQR 5-17] versus survivors 14 days [IQR 10-23]). A table showing survivors versus non-survivors can be found in the Additional File (E3. Survivors versus non-survivors).\nECMO Outcome and Complications.\nAbbreviations: ECMO, Extracorporeal Membrane Oxygenation; ICU, Intensive Care Unit.\n\na 28-day mortality: death within 28 days after initiation ECMO.\n\nb Causes of death are described in the Additional File (E4. Unanticipated Death).\nNon-COVID-19 ARDS A total of 48 out of 440 patients received ECMO due to ARDS unrelated to COVID-19. In this consecutive subgroup, median age was 55 years (IQR 40-61), sex was equally distributed, and median BMI was 28.3 kg/m2 (IQR 24.7-33). When compared to the patients with COVID-19 related respiratory failure, the COVID-19 group had a significantly higher proportion of males (80% versus 50%; P = .001). No other significant differences were found in patient baseline characteristics, comorbidities, and disease severity-related variables including sequential organ failure assessment (SOFA)-score and PaO2/FiO2-ratio. Also, complication rate and ECMO support duration did not differ significantly (Table 4). 28-day mortality was 37% in COVID-19 patients and 27% in non-COVID-19 patients. However, this difference was not significant, as shown in the Kaplan-Meier curves in Figure 1 (Hazard Ratio 1.01 [95% CI 0.60-1.69]; P = .98). In this figure it is apparent that this non-significant difference in mortality resolves after a prolonged 100-day follow-up.\nComparison COVID-19 on ECMO and Non-COVID-19 on ECMO.\nAbbreviations: COPD, chronic obstructive pulmonary disease; SOFA, sequential organ failure assessment; COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation.\n\na 28-day mortality, mortality 28 days after initiation of ECMO.\nKaplan-Meier estimates for patients with COVID-19 on ECMO and patients with ARDS not due to COVID-19 on ECMO. Unadjusted hazard ratio and 95% confidence interval calculated from a Cox proportional hazard model is presented.\nA total of 48 out of 440 patients received ECMO due to ARDS unrelated to COVID-19. In this consecutive subgroup, median age was 55 years (IQR 40-61), sex was equally distributed, and median BMI was 28.3 kg/m2 (IQR 24.7-33). When compared to the patients with COVID-19 related respiratory failure, the COVID-19 group had a significantly higher proportion of males (80% versus 50%; P = .001). No other significant differences were found in patient baseline characteristics, comorbidities, and disease severity-related variables including sequential organ failure assessment (SOFA)-score and PaO2/FiO2-ratio. Also, complication rate and ECMO support duration did not differ significantly (Table 4). 28-day mortality was 37% in COVID-19 patients and 27% in non-COVID-19 patients. However, this difference was not significant, as shown in the Kaplan-Meier curves in Figure 1 (Hazard Ratio 1.01 [95% CI 0.60-1.69]; P = .98). In this figure it is apparent that this non-significant difference in mortality resolves after a prolonged 100-day follow-up.\nComparison COVID-19 on ECMO and Non-COVID-19 on ECMO.\nAbbreviations: COPD, chronic obstructive pulmonary disease; SOFA, sequential organ failure assessment; COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation.\n\na 28-day mortality, mortality 28 days after initiation of ECMO.\nKaplan-Meier estimates for patients with COVID-19 on ECMO and patients with ARDS not due to COVID-19 on ECMO. Unadjusted hazard ratio and 95% confidence interval calculated from a Cox proportional hazard model is presented.", "During the study period, a total of 71 patients received ECMO due to refractory respiratory failure related to COVID-19. The majority of 57 patients (80%) were male and median age was 52 years (IQR 46-57). The patients were predominantly overweight with a median body mass index (BMI) of 29.2 kg/m2 (IQR 26.1-32.1). A minority of 29 patients (40%) had a medical history of cardiovascular or pulmonary disease, of which most frequently scored comorbidities consisted of hypertension (n = 15, 21%), asthma (n = 7, 10%) and diabetes (n = 6, 8%).\nAn overview of the patient baseline characteristics prior to the initiation of ECMO is shown in Table 1. The arterial blood gas (ABG) values prior to initiation of ECMO reported a pH of 7.35 (IQR 7.22-7.42), PaCO2 of 8.0 kPa (IQR 6.6-10.1), bicarbonate of 32 mmol/L (IQR 26-37) and PaO2 of 8.0 kPa (IQR 6.8-9.3). Controlled ventilation mode was mostly used: pressure-controlled ventilation in 31 patients (44%) and volume-controlled ventilation in 31 patients (44%). Median ventilation parameters consisted of PEEP of 12 cm H2O (IQR 8-16), FiO2 of 100% (IQR 80-100), resulting in a median PaO2/FiO2 of 58 mmHg (IQR 46-76). In a large part of the patients, prone positioning (79%) and muscle paralysis (77%) had been applied prior to initiation of ECMO. Acute kidney injury (AKI) was already present in 17 patients (24%), of which 12 (17%) were also receiving renal replacement therapy (RRT).\nPatient Baseline Characteristics.\nAbbreviations: COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation; SOFA, sequential organ failure assessment; CRP, C-reactive protein; PaO2, partial oxygen pressure; PCO2, partial carbon dioxide pressure; FiO2, fraction inspired oxygen; PEEP, positive end expiratory pressure.\n\na Values prior to initiation of ECMO include worst values within 12 hours prior to initiation.\nAfter the first occurrence of symptoms, hospital admission followed at a median of 13 days (IQR 7-16), and ICU admission 1 day later. ECMO was started at a median of 18 days (IQR 15-25) after disease onset and at a median of 5 days (IQR 3-10) after start of invasive mechanical ventilation. Almost all patients received veno-venous ECMO (VV-ECMO: 93%, n = 66), 3 patients received veno-arterial ECMO (VA-ECMO), one veno-veno-arterial ECMO (VVA-ECMO) and one extracorporeal CO2-removal (ECCO2R). The main indication for VV-ECMO was combined refractory hypoxemia and hypercapnia, which occurred in 34 patients (52%), followed by refractory hypoxemia in 32 patients (49%). To be able to offer hemodynamic support in the presence of right ventricular failure, 3 patients received VA-ECMO and one VVA-ECMO. The median duration of ECMO was 13 days (IQR 7-20); 3 patients were in need of a second run of ECMO. Muscle paralysis was the most commonly applied rescue therapy, which was applied in 51 patients (72%), followed by prone positioning (n = 27, 38%). The variance in pharmacotherapeutic drugs was high; hydroxychloroquine (n = 47, 66%) and lopinavir/ritonavir (n = 14, 20%) were most frequent (Table 2: ECMO Characteristics).\nECMO Characteristics.\nAbbreviations: ECMO, extracorporeal membrane oxygenation; CO2, carbondioxide; ICU, Intensive Care Unit; IL, interleukine.\nDuring ECMO, 60 patients (85%) suffered one or more complications, mostly a new infection (n = 40, 56%), AKI (n = 39, 55%) and hemorrhagic event (n = 38, 54%) as shown in Table 3. From the 39 patients with AKI, 22 out of 39 developed during ECMO, and 37 out of 39 patients (55%) received RRT. More than half of the patients (n = 37, 52%) were successfully weaned from ECMO. The 3 patients who received a second run were successfully weaned and survived. Within 28 days after ECMO initiation, 26 patients had died (37%). In those non-survivors a lower median pH and higher median PCO2 was shown in comparison to survivors (respectively: 7.28 versus 7.38 [P = .04] and 9.82 versus 7.33 [P = .002]). Moreover, muscle paralysis had been applied in fewer non-survivors (non-survivors 68% versus survivors 97%, P = .002). The median ECMO run was 6 days shorter in non-survivors (non-survivors 8 days [IQR 5-17] versus survivors 14 days [IQR 10-23]). A table showing survivors versus non-survivors can be found in the Additional File (E3. Survivors versus non-survivors).\nECMO Outcome and Complications.\nAbbreviations: ECMO, Extracorporeal Membrane Oxygenation; ICU, Intensive Care Unit.\n\na 28-day mortality: death within 28 days after initiation ECMO.\n\nb Causes of death are described in the Additional File (E4. Unanticipated Death).", "A total of 48 out of 440 patients received ECMO due to ARDS unrelated to COVID-19. In this consecutive subgroup, median age was 55 years (IQR 40-61), sex was equally distributed, and median BMI was 28.3 kg/m2 (IQR 24.7-33). When compared to the patients with COVID-19 related respiratory failure, the COVID-19 group had a significantly higher proportion of males (80% versus 50%; P = .001). No other significant differences were found in patient baseline characteristics, comorbidities, and disease severity-related variables including sequential organ failure assessment (SOFA)-score and PaO2/FiO2-ratio. Also, complication rate and ECMO support duration did not differ significantly (Table 4). 28-day mortality was 37% in COVID-19 patients and 27% in non-COVID-19 patients. However, this difference was not significant, as shown in the Kaplan-Meier curves in Figure 1 (Hazard Ratio 1.01 [95% CI 0.60-1.69]; P = .98). In this figure it is apparent that this non-significant difference in mortality resolves after a prolonged 100-day follow-up.\nComparison COVID-19 on ECMO and Non-COVID-19 on ECMO.\nAbbreviations: COPD, chronic obstructive pulmonary disease; SOFA, sequential organ failure assessment; COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation.\n\na 28-day mortality, mortality 28 days after initiation of ECMO.\nKaplan-Meier estimates for patients with COVID-19 on ECMO and patients with ARDS not due to COVID-19 on ECMO. Unadjusted hazard ratio and 95% confidence interval calculated from a Cox proportional hazard model is presented.", "To date, this study is one of the first multi-center observational studies of COVID-19 patients on ECMO. We reported a 28-day mortality of 37% in patients with COVID-19 on ECMO. This survival rate and the complication rate did not significantly differ from our non-COVID-19 patients on ECMO. Moreover, patient characteristics of our COVID-19 and non-COVID-19 patients were complementary prior to initiation of ECMO, except for gender.\nThe past decades, ECMO is considered a life-saving therapy. However, its overall beneficial effect in ARDS is not beyond any doubt, resulting in the current role of ECMO as a final resort therapy.\n5,19\n The rise of the COVID-19 pandemic has reignited the discussion if ECMO should or should not be offered in patients with severe ARDS,\n20\n and whether such therapy would be associated with acceptable complication and mortality rates. This debate was amplified by a Chinese cohort study where 5 out of 6 patients on ECMO died,\n21\n after which concerns were expressed.\n22\n In our study, complication rate and 28-day mortality did not significantly differ in COVID-19 and non-COVID-19 patients. Moreover, our mortality rates were in line with a recent observational study showing an estimated probability of day-60 mortality of 31%.\n10\n Also, comparable survival rates were found in ICU patients with ARDS due to COVID-19 not on ECMO.\n23\n This suggests that in case of severe, refractory ARDS due to COVID-19, ECMO could be considered as supportive therapy in case conventional therapies prove insufficient.\nOne of the questions remains if selection and triage of COVID-19 patients for ECMO differed from other non-COVID-19 ARDS patients. Several respiratory variables emphasize the severity of the respiratory insufficiency in our study population. Rescue therapies to improve oxygenation including prone positioning and muscle paralysis were applied in most patients in our study. Moreover, almost 9 out 10 patients were ventilated using controlled modes. In ARDS, the Surviving Sepsis Campaign has made several recommendations, including (ultra)protective ventilation. Although both ventilation modes have advantages and disadvantages, such as high peek pressure in volume-controlled ventilation, no mode has consistently shown to be advantageous.\n12\n In general, prior to initiation of ECMO, it is advised to apply best conventional intensive care as possible, including above described rescue therapies. In spite of these attempts, oxygen delivery was compromised, as shown by the low median PaO2/FiO2 ratio of 58 mmHg (IQR 46-76) and the need of a high FiO2 (median 100% [IQR 80%-100%]). When compared to previous ARDS groups on ECMO these values confirm the severity in the COVID-19 ECMO population.\n19,24,25\n Not only the characteristics prior to initiation of ECMO were in line with previous ECMO non-COVID-19 ARDS groups, but also the ECMO characteristics themselves.\n5\n This could suggest that no large differences in patient selection have occurred, e.g. no different timing of cannulation and no earlier discontinuation of treatment.\nIn comparison with general COVID-19 patients in the ICU, our group on ECMO support appears relatively young.\n24\n This can be explained by the selection criteria used for initiation of ECMO: among others the interim guideline of ELSO advises to apply age above 65 years old as a relative contraindication.\n26\n Given the expected rise in COVID-19 of patients administered to the hospital with COVID-19, discussions arose which patients had to be selected in case capacity was insufficient, in which age was a common topic.\n27\n Although triage with a limit on age was not applied in all participating hospitals of this study during the first peak, it is possible that age discrimination has occurred unwittingly. The sex discrepancy (more males) has been described in large Italian and German groups of patients with COVID-19 as well.\n23,24\n In contrast to general hospitalized COVID-19 patients, where an incidence of up to 90% has been described, this study population was relatively healthy prior to COVID-19 as only 40% had comorbidities.\n3\n No differences in comorbidities were found between survivors and non-survivors in our COVID-19 group on ECMO. However, interestingly, the arterial blood gas of non-survivors reported a significantly lower pH and higher PCO2. This finding is confirmed by the descriptive study of Yang et al.\n28\n\n\nAt last, one main consideration should remain the availabilities of sufficient resources, including personnel and equipment. Concerns are still raised whether ECMO is justifiable in times of a pandemic, or if saving few lives would decrease the quality of care in other patients.\n20\n As stated by the SSCM and WHO, this is not the time to start with implementing ECMO in centers who do not yet have the experience and resources for ECMO. However, in case personnel, equipment, facilities and systems apply, our results suggest that ECMO could be considered as a supportive therapy in case conventional therapies are insufficient.\nThis study has several strengths. It is one of the largest multicenter observational studies presenting data on the use of ECMO from multiple countries during the first peek of the COVID-19 pandemic. Moreover, it is the first multicenter study comparing COVID-19 patient characteristics with a previous non-COVID-19 ARDS group from the same participating centers. It gives an extensive overview of COVID-19 ECMO characteristics including applied therapies. Some limitations should however be recognized. Due to its observational design, some biases cannot be excluded. Hence, it is unknown what the outcome would be in the absence of ECMO support. Furthermore, the time frames of patients with and without COVID-19 on ECMO were different. It cannot be excluded that the level of care for patients on ECMO prior COVID-19 was different compared with the period during COVID-19. Finally, no data were collected regarding functional outcomes.", "To conclude, we found an acceptable survival rate in ECMO patients with COVID-19, not differing significantly from our non-COVID-19 ARDS patients on ECMO. ECMO could be considered as a supportive therapy in case of COVID-19 related respiratory failure, in case conventional therapies are insufficient.", "Click here for additional data file.\nSupplemental Material, sj-docx-1-jic-10.1177_08850666211007063 for Extracorporeal Membrane Oxygenation in Patients With COVID-19: An International Multicenter Cohort Study by Senta Jorinde Raasveld, Thijs S. R. Delnoij, Lars M. Broman, Annemieke Oude Lansink-Hartgring, Greet Hermans, Erwin De Troy, Fabio S. Taccone, Manuel Quintana Diaz, Franciska van der Velde, Dinis Dos Reis Miranda, Erik Scholten, ETALON Study Group and Alexander P. J. Vlaar in Journal of Intensive Care Medicine\nClick here for additional data file.\nSupplemental Material, sj-docx-2-jic-10.1177_08850666211007063 for Extracorporeal Membrane Oxygenation in Patients With COVID-19: An International Multicenter Cohort Study by Senta Jorinde Raasveld, Thijs S. R. Delnoij, Lars M. Broman, Annemieke Oude Lansink-Hartgring, Greet Hermans, Erwin De Troy, Fabio S. Taccone, Manuel Quintana Diaz, Franciska van der Velde, Dinis Dos Reis Miranda, Erik Scholten, ETALON Study Group and Alexander P. J. Vlaar in Journal of Intensive Care Medicine" ]
[ "intro", "methods", null, "results", null, null, "discussion", "conclusions", "supplementary-material" ]
[ "survival", "ECMO", "COVID-19", "ARDS" ]
Introduction: After in December 2019 the first case of pneumonia caused by the novel severe acute respiratory syndrome coronavirus-2 (SARS-CoV-2) was reported, it has since spread and became a pandemic of Coronavirus Disease-2019 (COVID-19). 1 On September 22nd 2020, over 31 million infected cases and over 965,000 SARS-CoV-2 related deaths have been confirmed. 2 Infected individuals can differ in presentation from asymptomatic carriers to severe respiratory failure and acute respiratory distress syndrome (ARDS). Up to 35% of the hospitalized patients with COVID-19 have to be treated in an intensive care unit (ICU). 3 In these cases, the cornerstones of supportive therapy include high flow nasal oxygen, as well as non-invasive and invasive mechanical ventilation. Extracorporeal membrane oxygenation (ECMO) is recommended as a “last resource” supportive therapy in case of cardiac and/or respiratory failure, including ARDS, refractory to other conventional therapies. As the extracorporeal circuit provides both oxygenation and carbon dioxide clearance, it can facilitate protective mechanical ventilation. 4,5 Following the influenza A (H1N1) pandemic in 2009, worldwide application, expertise and experience with the use of ECMO as a supportive treatment in severe ARDS increased. 6,7 During the Middle East respiratory syndrome (MERS) outbreak, an association with improved outcome in patients with ARDS on ECMO was demonstrated. 8 However, in COVID-19 the first results from small Chinese cohorts were disappointing, showing a very high mortality. 9 Recently, more promising results were presented, including a French study reporting an estimated probability of day-60 mortality of 31%. 10 The WHO interim guidelines recommends the administration of ECMO to eligible patients with COVID-19 related ARDS in expert centers. 11 The Society of Critical Care Medicine (SCCM) has agreed with this statement and released guidelines regarding the management of COVID-19 patients in the ICU, providing criteria regarding the use of ECMO in COVID-19. 12 Although some research has been carried out on ECMO in COVID-19, these studies are limited due to small sample sizes, single-center design or the lack of control group. 13 –15 As a result, no robust conclusion can be drawn about the added value of ECMO in patients with severe respiratory failure due to COVID-19. Therefore, this study aimed to provide additional insight on the role of ECMO in refractory ARDS due to COVID-19 by describing patient and ECMO characteristics of COVID-19 patients on ECMO, and comparing their outcomes with patients with non-COVID-19 ARDS on ECMO. Methods: This retrospective observational study was performed in 13 ICUs providing ECMO: 8 from the Netherlands, 3 from Belgium, 1 from Sweden and 1 from Spain. This study was approved by the institutional review board (IRB) of the Amsterdam University Medical Centers (Amsterdam UMC; W20_199#20.230), and, thereafter, from local Ethics Committees. Data were collected retrospectively from electronic patient records of all consecutive COVID-19 patients receiving ECMO admitted to the ICU from March 1 to April 30, 2020, which corresponds with the timing of the first COVID-19 peak in most European countries. Patients were included if they were aged 18 years and older and received ECMO during their ICU admission due to RT-PCR confirmed COVID-19. As comparative non-COVID-19 group, data were collected of patients with who received ECMO for ARDS between January 1, 2018, and July 31, 2019 from the same ICUs. Patients were eligible for ECMO according to applicable guidelines provided by the extracorporeal life support organization (ELSO). 16 ECMO is considered a last resource, in case of reversible cardiac and/or pulmonary failure, refractory to other therapies. Therefore, for example, in case of ARDS, it is encouraged to have applied several interventions such as prone positioning and neuromuscular blockage prior initiation of ECMO. 17,18 During ECMO, standard care included systemic anticoagulation using unfractionated heparin in all 13 centers. More details on the anticoagulation practices can be found in the Additional File (E1. Anticoagulation practices). Data collection included demographics, comorbidities, laboratory values, ECMO characteristics, complications and 28-day mortality (Additional File: E2. Definitions used). The primary outcome was the complication rate and 28-day mortality of patients on ECMO due to COVID-19. The secondary outcome consisted of a comparison of patient and ECMO characteristics between patients with COVID-19 on ECMO to patients with non-COVID-19 ARDS on ECMO. Statistical Analysis Statistical analysis was performed using R statistics (version 3.6.1) with the R Studio interface (The R Foundation, Lucent Technologies, Inc., Murray Hill, NJ, USA, www.r-project.org). Baseline and outcome parameters were summarized using simple descriptive statistics. Non-normal distributed continuous variables were presented as a median (with interquartile range (IQR)). Categorical variables were presented as percentages and frequencies. Data were compared between groups of COVID-19 patients and non-COVID-19 ARDS patients using the Mann-Whitney U test for numerical data and Chi square test for categorical data. Survival rates of COVID-19 and non-COVID-19 patients were compared using Kaplan-Meier analyses and the log-rank test for equality of survival curves using the R survival package. A P value <.05 was considered significant. Statistical analysis was performed using R statistics (version 3.6.1) with the R Studio interface (The R Foundation, Lucent Technologies, Inc., Murray Hill, NJ, USA, www.r-project.org). Baseline and outcome parameters were summarized using simple descriptive statistics. Non-normal distributed continuous variables were presented as a median (with interquartile range (IQR)). Categorical variables were presented as percentages and frequencies. Data were compared between groups of COVID-19 patients and non-COVID-19 ARDS patients using the Mann-Whitney U test for numerical data and Chi square test for categorical data. Survival rates of COVID-19 and non-COVID-19 patients were compared using Kaplan-Meier analyses and the log-rank test for equality of survival curves using the R survival package. A P value <.05 was considered significant. Statistical Analysis: Statistical analysis was performed using R statistics (version 3.6.1) with the R Studio interface (The R Foundation, Lucent Technologies, Inc., Murray Hill, NJ, USA, www.r-project.org). Baseline and outcome parameters were summarized using simple descriptive statistics. Non-normal distributed continuous variables were presented as a median (with interquartile range (IQR)). Categorical variables were presented as percentages and frequencies. Data were compared between groups of COVID-19 patients and non-COVID-19 ARDS patients using the Mann-Whitney U test for numerical data and Chi square test for categorical data. Survival rates of COVID-19 and non-COVID-19 patients were compared using Kaplan-Meier analyses and the log-rank test for equality of survival curves using the R survival package. A P value <.05 was considered significant. Results: COVID-19 Patients on ECMO During the study period, a total of 71 patients received ECMO due to refractory respiratory failure related to COVID-19. The majority of 57 patients (80%) were male and median age was 52 years (IQR 46-57). The patients were predominantly overweight with a median body mass index (BMI) of 29.2 kg/m2 (IQR 26.1-32.1). A minority of 29 patients (40%) had a medical history of cardiovascular or pulmonary disease, of which most frequently scored comorbidities consisted of hypertension (n = 15, 21%), asthma (n = 7, 10%) and diabetes (n = 6, 8%). An overview of the patient baseline characteristics prior to the initiation of ECMO is shown in Table 1. The arterial blood gas (ABG) values prior to initiation of ECMO reported a pH of 7.35 (IQR 7.22-7.42), PaCO2 of 8.0 kPa (IQR 6.6-10.1), bicarbonate of 32 mmol/L (IQR 26-37) and PaO2 of 8.0 kPa (IQR 6.8-9.3). Controlled ventilation mode was mostly used: pressure-controlled ventilation in 31 patients (44%) and volume-controlled ventilation in 31 patients (44%). Median ventilation parameters consisted of PEEP of 12 cm H2O (IQR 8-16), FiO2 of 100% (IQR 80-100), resulting in a median PaO2/FiO2 of 58 mmHg (IQR 46-76). In a large part of the patients, prone positioning (79%) and muscle paralysis (77%) had been applied prior to initiation of ECMO. Acute kidney injury (AKI) was already present in 17 patients (24%), of which 12 (17%) were also receiving renal replacement therapy (RRT). Patient Baseline Characteristics. Abbreviations: COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation; SOFA, sequential organ failure assessment; CRP, C-reactive protein; PaO2, partial oxygen pressure; PCO2, partial carbon dioxide pressure; FiO2, fraction inspired oxygen; PEEP, positive end expiratory pressure. a Values prior to initiation of ECMO include worst values within 12 hours prior to initiation. After the first occurrence of symptoms, hospital admission followed at a median of 13 days (IQR 7-16), and ICU admission 1 day later. ECMO was started at a median of 18 days (IQR 15-25) after disease onset and at a median of 5 days (IQR 3-10) after start of invasive mechanical ventilation. Almost all patients received veno-venous ECMO (VV-ECMO: 93%, n = 66), 3 patients received veno-arterial ECMO (VA-ECMO), one veno-veno-arterial ECMO (VVA-ECMO) and one extracorporeal CO2-removal (ECCO2R). The main indication for VV-ECMO was combined refractory hypoxemia and hypercapnia, which occurred in 34 patients (52%), followed by refractory hypoxemia in 32 patients (49%). To be able to offer hemodynamic support in the presence of right ventricular failure, 3 patients received VA-ECMO and one VVA-ECMO. The median duration of ECMO was 13 days (IQR 7-20); 3 patients were in need of a second run of ECMO. Muscle paralysis was the most commonly applied rescue therapy, which was applied in 51 patients (72%), followed by prone positioning (n = 27, 38%). The variance in pharmacotherapeutic drugs was high; hydroxychloroquine (n = 47, 66%) and lopinavir/ritonavir (n = 14, 20%) were most frequent (Table 2: ECMO Characteristics). ECMO Characteristics. Abbreviations: ECMO, extracorporeal membrane oxygenation; CO2, carbondioxide; ICU, Intensive Care Unit; IL, interleukine. During ECMO, 60 patients (85%) suffered one or more complications, mostly a new infection (n = 40, 56%), AKI (n = 39, 55%) and hemorrhagic event (n = 38, 54%) as shown in Table 3. From the 39 patients with AKI, 22 out of 39 developed during ECMO, and 37 out of 39 patients (55%) received RRT. More than half of the patients (n = 37, 52%) were successfully weaned from ECMO. The 3 patients who received a second run were successfully weaned and survived. Within 28 days after ECMO initiation, 26 patients had died (37%). In those non-survivors a lower median pH and higher median PCO2 was shown in comparison to survivors (respectively: 7.28 versus 7.38 [P = .04] and 9.82 versus 7.33 [P = .002]). Moreover, muscle paralysis had been applied in fewer non-survivors (non-survivors 68% versus survivors 97%, P = .002). The median ECMO run was 6 days shorter in non-survivors (non-survivors 8 days [IQR 5-17] versus survivors 14 days [IQR 10-23]). A table showing survivors versus non-survivors can be found in the Additional File (E3. Survivors versus non-survivors). ECMO Outcome and Complications. Abbreviations: ECMO, Extracorporeal Membrane Oxygenation; ICU, Intensive Care Unit. a 28-day mortality: death within 28 days after initiation ECMO. b Causes of death are described in the Additional File (E4. Unanticipated Death). During the study period, a total of 71 patients received ECMO due to refractory respiratory failure related to COVID-19. The majority of 57 patients (80%) were male and median age was 52 years (IQR 46-57). The patients were predominantly overweight with a median body mass index (BMI) of 29.2 kg/m2 (IQR 26.1-32.1). A minority of 29 patients (40%) had a medical history of cardiovascular or pulmonary disease, of which most frequently scored comorbidities consisted of hypertension (n = 15, 21%), asthma (n = 7, 10%) and diabetes (n = 6, 8%). An overview of the patient baseline characteristics prior to the initiation of ECMO is shown in Table 1. The arterial blood gas (ABG) values prior to initiation of ECMO reported a pH of 7.35 (IQR 7.22-7.42), PaCO2 of 8.0 kPa (IQR 6.6-10.1), bicarbonate of 32 mmol/L (IQR 26-37) and PaO2 of 8.0 kPa (IQR 6.8-9.3). Controlled ventilation mode was mostly used: pressure-controlled ventilation in 31 patients (44%) and volume-controlled ventilation in 31 patients (44%). Median ventilation parameters consisted of PEEP of 12 cm H2O (IQR 8-16), FiO2 of 100% (IQR 80-100), resulting in a median PaO2/FiO2 of 58 mmHg (IQR 46-76). In a large part of the patients, prone positioning (79%) and muscle paralysis (77%) had been applied prior to initiation of ECMO. Acute kidney injury (AKI) was already present in 17 patients (24%), of which 12 (17%) were also receiving renal replacement therapy (RRT). Patient Baseline Characteristics. Abbreviations: COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation; SOFA, sequential organ failure assessment; CRP, C-reactive protein; PaO2, partial oxygen pressure; PCO2, partial carbon dioxide pressure; FiO2, fraction inspired oxygen; PEEP, positive end expiratory pressure. a Values prior to initiation of ECMO include worst values within 12 hours prior to initiation. After the first occurrence of symptoms, hospital admission followed at a median of 13 days (IQR 7-16), and ICU admission 1 day later. ECMO was started at a median of 18 days (IQR 15-25) after disease onset and at a median of 5 days (IQR 3-10) after start of invasive mechanical ventilation. Almost all patients received veno-venous ECMO (VV-ECMO: 93%, n = 66), 3 patients received veno-arterial ECMO (VA-ECMO), one veno-veno-arterial ECMO (VVA-ECMO) and one extracorporeal CO2-removal (ECCO2R). The main indication for VV-ECMO was combined refractory hypoxemia and hypercapnia, which occurred in 34 patients (52%), followed by refractory hypoxemia in 32 patients (49%). To be able to offer hemodynamic support in the presence of right ventricular failure, 3 patients received VA-ECMO and one VVA-ECMO. The median duration of ECMO was 13 days (IQR 7-20); 3 patients were in need of a second run of ECMO. Muscle paralysis was the most commonly applied rescue therapy, which was applied in 51 patients (72%), followed by prone positioning (n = 27, 38%). The variance in pharmacotherapeutic drugs was high; hydroxychloroquine (n = 47, 66%) and lopinavir/ritonavir (n = 14, 20%) were most frequent (Table 2: ECMO Characteristics). ECMO Characteristics. Abbreviations: ECMO, extracorporeal membrane oxygenation; CO2, carbondioxide; ICU, Intensive Care Unit; IL, interleukine. During ECMO, 60 patients (85%) suffered one or more complications, mostly a new infection (n = 40, 56%), AKI (n = 39, 55%) and hemorrhagic event (n = 38, 54%) as shown in Table 3. From the 39 patients with AKI, 22 out of 39 developed during ECMO, and 37 out of 39 patients (55%) received RRT. More than half of the patients (n = 37, 52%) were successfully weaned from ECMO. The 3 patients who received a second run were successfully weaned and survived. Within 28 days after ECMO initiation, 26 patients had died (37%). In those non-survivors a lower median pH and higher median PCO2 was shown in comparison to survivors (respectively: 7.28 versus 7.38 [P = .04] and 9.82 versus 7.33 [P = .002]). Moreover, muscle paralysis had been applied in fewer non-survivors (non-survivors 68% versus survivors 97%, P = .002). The median ECMO run was 6 days shorter in non-survivors (non-survivors 8 days [IQR 5-17] versus survivors 14 days [IQR 10-23]). A table showing survivors versus non-survivors can be found in the Additional File (E3. Survivors versus non-survivors). ECMO Outcome and Complications. Abbreviations: ECMO, Extracorporeal Membrane Oxygenation; ICU, Intensive Care Unit. a 28-day mortality: death within 28 days after initiation ECMO. b Causes of death are described in the Additional File (E4. Unanticipated Death). Non-COVID-19 ARDS A total of 48 out of 440 patients received ECMO due to ARDS unrelated to COVID-19. In this consecutive subgroup, median age was 55 years (IQR 40-61), sex was equally distributed, and median BMI was 28.3 kg/m2 (IQR 24.7-33). When compared to the patients with COVID-19 related respiratory failure, the COVID-19 group had a significantly higher proportion of males (80% versus 50%; P = .001). No other significant differences were found in patient baseline characteristics, comorbidities, and disease severity-related variables including sequential organ failure assessment (SOFA)-score and PaO2/FiO2-ratio. Also, complication rate and ECMO support duration did not differ significantly (Table 4). 28-day mortality was 37% in COVID-19 patients and 27% in non-COVID-19 patients. However, this difference was not significant, as shown in the Kaplan-Meier curves in Figure 1 (Hazard Ratio 1.01 [95% CI 0.60-1.69]; P = .98). In this figure it is apparent that this non-significant difference in mortality resolves after a prolonged 100-day follow-up. Comparison COVID-19 on ECMO and Non-COVID-19 on ECMO. Abbreviations: COPD, chronic obstructive pulmonary disease; SOFA, sequential organ failure assessment; COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation. a 28-day mortality, mortality 28 days after initiation of ECMO. Kaplan-Meier estimates for patients with COVID-19 on ECMO and patients with ARDS not due to COVID-19 on ECMO. Unadjusted hazard ratio and 95% confidence interval calculated from a Cox proportional hazard model is presented. A total of 48 out of 440 patients received ECMO due to ARDS unrelated to COVID-19. In this consecutive subgroup, median age was 55 years (IQR 40-61), sex was equally distributed, and median BMI was 28.3 kg/m2 (IQR 24.7-33). When compared to the patients with COVID-19 related respiratory failure, the COVID-19 group had a significantly higher proportion of males (80% versus 50%; P = .001). No other significant differences were found in patient baseline characteristics, comorbidities, and disease severity-related variables including sequential organ failure assessment (SOFA)-score and PaO2/FiO2-ratio. Also, complication rate and ECMO support duration did not differ significantly (Table 4). 28-day mortality was 37% in COVID-19 patients and 27% in non-COVID-19 patients. However, this difference was not significant, as shown in the Kaplan-Meier curves in Figure 1 (Hazard Ratio 1.01 [95% CI 0.60-1.69]; P = .98). In this figure it is apparent that this non-significant difference in mortality resolves after a prolonged 100-day follow-up. Comparison COVID-19 on ECMO and Non-COVID-19 on ECMO. Abbreviations: COPD, chronic obstructive pulmonary disease; SOFA, sequential organ failure assessment; COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation. a 28-day mortality, mortality 28 days after initiation of ECMO. Kaplan-Meier estimates for patients with COVID-19 on ECMO and patients with ARDS not due to COVID-19 on ECMO. Unadjusted hazard ratio and 95% confidence interval calculated from a Cox proportional hazard model is presented. COVID-19 Patients on ECMO: During the study period, a total of 71 patients received ECMO due to refractory respiratory failure related to COVID-19. The majority of 57 patients (80%) were male and median age was 52 years (IQR 46-57). The patients were predominantly overweight with a median body mass index (BMI) of 29.2 kg/m2 (IQR 26.1-32.1). A minority of 29 patients (40%) had a medical history of cardiovascular or pulmonary disease, of which most frequently scored comorbidities consisted of hypertension (n = 15, 21%), asthma (n = 7, 10%) and diabetes (n = 6, 8%). An overview of the patient baseline characteristics prior to the initiation of ECMO is shown in Table 1. The arterial blood gas (ABG) values prior to initiation of ECMO reported a pH of 7.35 (IQR 7.22-7.42), PaCO2 of 8.0 kPa (IQR 6.6-10.1), bicarbonate of 32 mmol/L (IQR 26-37) and PaO2 of 8.0 kPa (IQR 6.8-9.3). Controlled ventilation mode was mostly used: pressure-controlled ventilation in 31 patients (44%) and volume-controlled ventilation in 31 patients (44%). Median ventilation parameters consisted of PEEP of 12 cm H2O (IQR 8-16), FiO2 of 100% (IQR 80-100), resulting in a median PaO2/FiO2 of 58 mmHg (IQR 46-76). In a large part of the patients, prone positioning (79%) and muscle paralysis (77%) had been applied prior to initiation of ECMO. Acute kidney injury (AKI) was already present in 17 patients (24%), of which 12 (17%) were also receiving renal replacement therapy (RRT). Patient Baseline Characteristics. Abbreviations: COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation; SOFA, sequential organ failure assessment; CRP, C-reactive protein; PaO2, partial oxygen pressure; PCO2, partial carbon dioxide pressure; FiO2, fraction inspired oxygen; PEEP, positive end expiratory pressure. a Values prior to initiation of ECMO include worst values within 12 hours prior to initiation. After the first occurrence of symptoms, hospital admission followed at a median of 13 days (IQR 7-16), and ICU admission 1 day later. ECMO was started at a median of 18 days (IQR 15-25) after disease onset and at a median of 5 days (IQR 3-10) after start of invasive mechanical ventilation. Almost all patients received veno-venous ECMO (VV-ECMO: 93%, n = 66), 3 patients received veno-arterial ECMO (VA-ECMO), one veno-veno-arterial ECMO (VVA-ECMO) and one extracorporeal CO2-removal (ECCO2R). The main indication for VV-ECMO was combined refractory hypoxemia and hypercapnia, which occurred in 34 patients (52%), followed by refractory hypoxemia in 32 patients (49%). To be able to offer hemodynamic support in the presence of right ventricular failure, 3 patients received VA-ECMO and one VVA-ECMO. The median duration of ECMO was 13 days (IQR 7-20); 3 patients were in need of a second run of ECMO. Muscle paralysis was the most commonly applied rescue therapy, which was applied in 51 patients (72%), followed by prone positioning (n = 27, 38%). The variance in pharmacotherapeutic drugs was high; hydroxychloroquine (n = 47, 66%) and lopinavir/ritonavir (n = 14, 20%) were most frequent (Table 2: ECMO Characteristics). ECMO Characteristics. Abbreviations: ECMO, extracorporeal membrane oxygenation; CO2, carbondioxide; ICU, Intensive Care Unit; IL, interleukine. During ECMO, 60 patients (85%) suffered one or more complications, mostly a new infection (n = 40, 56%), AKI (n = 39, 55%) and hemorrhagic event (n = 38, 54%) as shown in Table 3. From the 39 patients with AKI, 22 out of 39 developed during ECMO, and 37 out of 39 patients (55%) received RRT. More than half of the patients (n = 37, 52%) were successfully weaned from ECMO. The 3 patients who received a second run were successfully weaned and survived. Within 28 days after ECMO initiation, 26 patients had died (37%). In those non-survivors a lower median pH and higher median PCO2 was shown in comparison to survivors (respectively: 7.28 versus 7.38 [P = .04] and 9.82 versus 7.33 [P = .002]). Moreover, muscle paralysis had been applied in fewer non-survivors (non-survivors 68% versus survivors 97%, P = .002). The median ECMO run was 6 days shorter in non-survivors (non-survivors 8 days [IQR 5-17] versus survivors 14 days [IQR 10-23]). A table showing survivors versus non-survivors can be found in the Additional File (E3. Survivors versus non-survivors). ECMO Outcome and Complications. Abbreviations: ECMO, Extracorporeal Membrane Oxygenation; ICU, Intensive Care Unit. a 28-day mortality: death within 28 days after initiation ECMO. b Causes of death are described in the Additional File (E4. Unanticipated Death). Non-COVID-19 ARDS: A total of 48 out of 440 patients received ECMO due to ARDS unrelated to COVID-19. In this consecutive subgroup, median age was 55 years (IQR 40-61), sex was equally distributed, and median BMI was 28.3 kg/m2 (IQR 24.7-33). When compared to the patients with COVID-19 related respiratory failure, the COVID-19 group had a significantly higher proportion of males (80% versus 50%; P = .001). No other significant differences were found in patient baseline characteristics, comorbidities, and disease severity-related variables including sequential organ failure assessment (SOFA)-score and PaO2/FiO2-ratio. Also, complication rate and ECMO support duration did not differ significantly (Table 4). 28-day mortality was 37% in COVID-19 patients and 27% in non-COVID-19 patients. However, this difference was not significant, as shown in the Kaplan-Meier curves in Figure 1 (Hazard Ratio 1.01 [95% CI 0.60-1.69]; P = .98). In this figure it is apparent that this non-significant difference in mortality resolves after a prolonged 100-day follow-up. Comparison COVID-19 on ECMO and Non-COVID-19 on ECMO. Abbreviations: COPD, chronic obstructive pulmonary disease; SOFA, sequential organ failure assessment; COPD, chronic obstructive pulmonary disease; ECMO, extracorporeal membrane oxygenation. a 28-day mortality, mortality 28 days after initiation of ECMO. Kaplan-Meier estimates for patients with COVID-19 on ECMO and patients with ARDS not due to COVID-19 on ECMO. Unadjusted hazard ratio and 95% confidence interval calculated from a Cox proportional hazard model is presented. Discussion: To date, this study is one of the first multi-center observational studies of COVID-19 patients on ECMO. We reported a 28-day mortality of 37% in patients with COVID-19 on ECMO. This survival rate and the complication rate did not significantly differ from our non-COVID-19 patients on ECMO. Moreover, patient characteristics of our COVID-19 and non-COVID-19 patients were complementary prior to initiation of ECMO, except for gender. The past decades, ECMO is considered a life-saving therapy. However, its overall beneficial effect in ARDS is not beyond any doubt, resulting in the current role of ECMO as a final resort therapy. 5,19 The rise of the COVID-19 pandemic has reignited the discussion if ECMO should or should not be offered in patients with severe ARDS, 20 and whether such therapy would be associated with acceptable complication and mortality rates. This debate was amplified by a Chinese cohort study where 5 out of 6 patients on ECMO died, 21 after which concerns were expressed. 22 In our study, complication rate and 28-day mortality did not significantly differ in COVID-19 and non-COVID-19 patients. Moreover, our mortality rates were in line with a recent observational study showing an estimated probability of day-60 mortality of 31%. 10 Also, comparable survival rates were found in ICU patients with ARDS due to COVID-19 not on ECMO. 23 This suggests that in case of severe, refractory ARDS due to COVID-19, ECMO could be considered as supportive therapy in case conventional therapies prove insufficient. One of the questions remains if selection and triage of COVID-19 patients for ECMO differed from other non-COVID-19 ARDS patients. Several respiratory variables emphasize the severity of the respiratory insufficiency in our study population. Rescue therapies to improve oxygenation including prone positioning and muscle paralysis were applied in most patients in our study. Moreover, almost 9 out 10 patients were ventilated using controlled modes. In ARDS, the Surviving Sepsis Campaign has made several recommendations, including (ultra)protective ventilation. Although both ventilation modes have advantages and disadvantages, such as high peek pressure in volume-controlled ventilation, no mode has consistently shown to be advantageous. 12 In general, prior to initiation of ECMO, it is advised to apply best conventional intensive care as possible, including above described rescue therapies. In spite of these attempts, oxygen delivery was compromised, as shown by the low median PaO2/FiO2 ratio of 58 mmHg (IQR 46-76) and the need of a high FiO2 (median 100% [IQR 80%-100%]). When compared to previous ARDS groups on ECMO these values confirm the severity in the COVID-19 ECMO population. 19,24,25 Not only the characteristics prior to initiation of ECMO were in line with previous ECMO non-COVID-19 ARDS groups, but also the ECMO characteristics themselves. 5 This could suggest that no large differences in patient selection have occurred, e.g. no different timing of cannulation and no earlier discontinuation of treatment. In comparison with general COVID-19 patients in the ICU, our group on ECMO support appears relatively young. 24 This can be explained by the selection criteria used for initiation of ECMO: among others the interim guideline of ELSO advises to apply age above 65 years old as a relative contraindication. 26 Given the expected rise in COVID-19 of patients administered to the hospital with COVID-19, discussions arose which patients had to be selected in case capacity was insufficient, in which age was a common topic. 27 Although triage with a limit on age was not applied in all participating hospitals of this study during the first peak, it is possible that age discrimination has occurred unwittingly. The sex discrepancy (more males) has been described in large Italian and German groups of patients with COVID-19 as well. 23,24 In contrast to general hospitalized COVID-19 patients, where an incidence of up to 90% has been described, this study population was relatively healthy prior to COVID-19 as only 40% had comorbidities. 3 No differences in comorbidities were found between survivors and non-survivors in our COVID-19 group on ECMO. However, interestingly, the arterial blood gas of non-survivors reported a significantly lower pH and higher PCO2. This finding is confirmed by the descriptive study of Yang et al. 28 At last, one main consideration should remain the availabilities of sufficient resources, including personnel and equipment. Concerns are still raised whether ECMO is justifiable in times of a pandemic, or if saving few lives would decrease the quality of care in other patients. 20 As stated by the SSCM and WHO, this is not the time to start with implementing ECMO in centers who do not yet have the experience and resources for ECMO. However, in case personnel, equipment, facilities and systems apply, our results suggest that ECMO could be considered as a supportive therapy in case conventional therapies are insufficient. This study has several strengths. It is one of the largest multicenter observational studies presenting data on the use of ECMO from multiple countries during the first peek of the COVID-19 pandemic. Moreover, it is the first multicenter study comparing COVID-19 patient characteristics with a previous non-COVID-19 ARDS group from the same participating centers. It gives an extensive overview of COVID-19 ECMO characteristics including applied therapies. Some limitations should however be recognized. Due to its observational design, some biases cannot be excluded. Hence, it is unknown what the outcome would be in the absence of ECMO support. Furthermore, the time frames of patients with and without COVID-19 on ECMO were different. It cannot be excluded that the level of care for patients on ECMO prior COVID-19 was different compared with the period during COVID-19. Finally, no data were collected regarding functional outcomes. Conclusions: To conclude, we found an acceptable survival rate in ECMO patients with COVID-19, not differing significantly from our non-COVID-19 ARDS patients on ECMO. ECMO could be considered as a supportive therapy in case of COVID-19 related respiratory failure, in case conventional therapies are insufficient. Supplemental Material: Click here for additional data file. Supplemental Material, sj-docx-1-jic-10.1177_08850666211007063 for Extracorporeal Membrane Oxygenation in Patients With COVID-19: An International Multicenter Cohort Study by Senta Jorinde Raasveld, Thijs S. R. Delnoij, Lars M. Broman, Annemieke Oude Lansink-Hartgring, Greet Hermans, Erwin De Troy, Fabio S. Taccone, Manuel Quintana Diaz, Franciska van der Velde, Dinis Dos Reis Miranda, Erik Scholten, ETALON Study Group and Alexander P. J. Vlaar in Journal of Intensive Care Medicine Click here for additional data file. Supplemental Material, sj-docx-2-jic-10.1177_08850666211007063 for Extracorporeal Membrane Oxygenation in Patients With COVID-19: An International Multicenter Cohort Study by Senta Jorinde Raasveld, Thijs S. R. Delnoij, Lars M. Broman, Annemieke Oude Lansink-Hartgring, Greet Hermans, Erwin De Troy, Fabio S. Taccone, Manuel Quintana Diaz, Franciska van der Velde, Dinis Dos Reis Miranda, Erik Scholten, ETALON Study Group and Alexander P. J. Vlaar in Journal of Intensive Care Medicine
Background: To report and compare the characteristics and outcomes of COVID-19 patients on extracorporeal membrane oxygenation (ECMO) to non-COVID-19 acute respiratory distress syndrome (ARDS) patients on ECMO. Methods: We performed an international retrospective study of COVID-19 patients on ECMO from 13 intensive care units from March 1 to April 30, 2020. Demographic data, ECMO characteristics and clinical outcomes were collected. The primary outcome was to assess the complication rate and 28-day mortality; the secondary outcome was to compare patient and ECMO characteristics between COVID-19 patients on ECMO and non-COVID-19 related ARDS patients on ECMO (non-COVID-19; January 1, 2018 until July 31, 2019). Results: During the study period 71 COVID-19 patients received ECMO, mostly veno-venous, for a median duration of 13 days (IQR 7-20). ECMO was initiated at 5 days (IQR 3-10) following invasive mechanical ventilation. Median PaO2/FiO2 ratio prior to initiation of ECMO was similar in COVID-19 patients (58 mmHg [IQR 46-76]) and non-COVID-19 patients (53 mmHg [IQR 44-66]), the latter consisting of 48 patients. 28-day mortality was 37% in COVID-19 patients and 27% in non-COVID-19 patients. However, Kaplan-Meier curves showed that after a 100-day follow-up this non-significant difference resolves. Non-surviving COVID-19 patients were more acidotic prior to initiation ECMO, had a shorter ECMO run and fewer received muscle paralysis compared to survivors. Conclusions: No significant differences in outcomes were found between COVID-19 patients on ECMO and non-COVID-19 ARDS patients on ECMO. This suggests that ECMO could be considered as a supportive therapy in case of refractory respiratory failure in COVID-19.
Introduction: After in December 2019 the first case of pneumonia caused by the novel severe acute respiratory syndrome coronavirus-2 (SARS-CoV-2) was reported, it has since spread and became a pandemic of Coronavirus Disease-2019 (COVID-19). 1 On September 22nd 2020, over 31 million infected cases and over 965,000 SARS-CoV-2 related deaths have been confirmed. 2 Infected individuals can differ in presentation from asymptomatic carriers to severe respiratory failure and acute respiratory distress syndrome (ARDS). Up to 35% of the hospitalized patients with COVID-19 have to be treated in an intensive care unit (ICU). 3 In these cases, the cornerstones of supportive therapy include high flow nasal oxygen, as well as non-invasive and invasive mechanical ventilation. Extracorporeal membrane oxygenation (ECMO) is recommended as a “last resource” supportive therapy in case of cardiac and/or respiratory failure, including ARDS, refractory to other conventional therapies. As the extracorporeal circuit provides both oxygenation and carbon dioxide clearance, it can facilitate protective mechanical ventilation. 4,5 Following the influenza A (H1N1) pandemic in 2009, worldwide application, expertise and experience with the use of ECMO as a supportive treatment in severe ARDS increased. 6,7 During the Middle East respiratory syndrome (MERS) outbreak, an association with improved outcome in patients with ARDS on ECMO was demonstrated. 8 However, in COVID-19 the first results from small Chinese cohorts were disappointing, showing a very high mortality. 9 Recently, more promising results were presented, including a French study reporting an estimated probability of day-60 mortality of 31%. 10 The WHO interim guidelines recommends the administration of ECMO to eligible patients with COVID-19 related ARDS in expert centers. 11 The Society of Critical Care Medicine (SCCM) has agreed with this statement and released guidelines regarding the management of COVID-19 patients in the ICU, providing criteria regarding the use of ECMO in COVID-19. 12 Although some research has been carried out on ECMO in COVID-19, these studies are limited due to small sample sizes, single-center design or the lack of control group. 13 –15 As a result, no robust conclusion can be drawn about the added value of ECMO in patients with severe respiratory failure due to COVID-19. Therefore, this study aimed to provide additional insight on the role of ECMO in refractory ARDS due to COVID-19 by describing patient and ECMO characteristics of COVID-19 patients on ECMO, and comparing their outcomes with patients with non-COVID-19 ARDS on ECMO. Conclusions: To conclude, we found an acceptable survival rate in ECMO patients with COVID-19, not differing significantly from our non-COVID-19 ARDS patients on ECMO. ECMO could be considered as a supportive therapy in case of COVID-19 related respiratory failure, in case conventional therapies are insufficient.
Background: To report and compare the characteristics and outcomes of COVID-19 patients on extracorporeal membrane oxygenation (ECMO) to non-COVID-19 acute respiratory distress syndrome (ARDS) patients on ECMO. Methods: We performed an international retrospective study of COVID-19 patients on ECMO from 13 intensive care units from March 1 to April 30, 2020. Demographic data, ECMO characteristics and clinical outcomes were collected. The primary outcome was to assess the complication rate and 28-day mortality; the secondary outcome was to compare patient and ECMO characteristics between COVID-19 patients on ECMO and non-COVID-19 related ARDS patients on ECMO (non-COVID-19; January 1, 2018 until July 31, 2019). Results: During the study period 71 COVID-19 patients received ECMO, mostly veno-venous, for a median duration of 13 days (IQR 7-20). ECMO was initiated at 5 days (IQR 3-10) following invasive mechanical ventilation. Median PaO2/FiO2 ratio prior to initiation of ECMO was similar in COVID-19 patients (58 mmHg [IQR 46-76]) and non-COVID-19 patients (53 mmHg [IQR 44-66]), the latter consisting of 48 patients. 28-day mortality was 37% in COVID-19 patients and 27% in non-COVID-19 patients. However, Kaplan-Meier curves showed that after a 100-day follow-up this non-significant difference resolves. Non-surviving COVID-19 patients were more acidotic prior to initiation ECMO, had a shorter ECMO run and fewer received muscle paralysis compared to survivors. Conclusions: No significant differences in outcomes were found between COVID-19 patients on ECMO and non-COVID-19 ARDS patients on ECMO. This suggests that ECMO could be considered as a supportive therapy in case of refractory respiratory failure in COVID-19.
6,826
343
[ 150, 1063, 316 ]
9
[ "ecmo", "patients", "19", "covid", "covid 19", "iqr", "non", "median", "survivors", "ards" ]
[ "failure acute respiratory", "ventilation extracorporeal membrane", "coronavirus sars cov", "mechanical ventilation extracorporeal", "respiratory syndrome coronavirus" ]
[CONTENT] survival | ECMO | COVID-19 | ARDS [SUMMARY]
[CONTENT] survival | ECMO | COVID-19 | ARDS [SUMMARY]
[CONTENT] survival | ECMO | COVID-19 | ARDS [SUMMARY]
[CONTENT] survival | ECMO | COVID-19 | ARDS [SUMMARY]
[CONTENT] survival | ECMO | COVID-19 | ARDS [SUMMARY]
[CONTENT] survival | ECMO | COVID-19 | ARDS [SUMMARY]
[CONTENT] COVID-19 | Cohort Studies | Extracorporeal Membrane Oxygenation | Female | Humans | Internationality | Male | Middle Aged | Respiratory Distress Syndrome | Retrospective Studies [SUMMARY]
[CONTENT] COVID-19 | Cohort Studies | Extracorporeal Membrane Oxygenation | Female | Humans | Internationality | Male | Middle Aged | Respiratory Distress Syndrome | Retrospective Studies [SUMMARY]
[CONTENT] COVID-19 | Cohort Studies | Extracorporeal Membrane Oxygenation | Female | Humans | Internationality | Male | Middle Aged | Respiratory Distress Syndrome | Retrospective Studies [SUMMARY]
[CONTENT] COVID-19 | Cohort Studies | Extracorporeal Membrane Oxygenation | Female | Humans | Internationality | Male | Middle Aged | Respiratory Distress Syndrome | Retrospective Studies [SUMMARY]
[CONTENT] COVID-19 | Cohort Studies | Extracorporeal Membrane Oxygenation | Female | Humans | Internationality | Male | Middle Aged | Respiratory Distress Syndrome | Retrospective Studies [SUMMARY]
[CONTENT] COVID-19 | Cohort Studies | Extracorporeal Membrane Oxygenation | Female | Humans | Internationality | Male | Middle Aged | Respiratory Distress Syndrome | Retrospective Studies [SUMMARY]
[CONTENT] failure acute respiratory | ventilation extracorporeal membrane | coronavirus sars cov | mechanical ventilation extracorporeal | respiratory syndrome coronavirus [SUMMARY]
[CONTENT] failure acute respiratory | ventilation extracorporeal membrane | coronavirus sars cov | mechanical ventilation extracorporeal | respiratory syndrome coronavirus [SUMMARY]
[CONTENT] failure acute respiratory | ventilation extracorporeal membrane | coronavirus sars cov | mechanical ventilation extracorporeal | respiratory syndrome coronavirus [SUMMARY]
[CONTENT] failure acute respiratory | ventilation extracorporeal membrane | coronavirus sars cov | mechanical ventilation extracorporeal | respiratory syndrome coronavirus [SUMMARY]
[CONTENT] failure acute respiratory | ventilation extracorporeal membrane | coronavirus sars cov | mechanical ventilation extracorporeal | respiratory syndrome coronavirus [SUMMARY]
[CONTENT] failure acute respiratory | ventilation extracorporeal membrane | coronavirus sars cov | mechanical ventilation extracorporeal | respiratory syndrome coronavirus [SUMMARY]
[CONTENT] ecmo | patients | 19 | covid | covid 19 | iqr | non | median | survivors | ards [SUMMARY]
[CONTENT] ecmo | patients | 19 | covid | covid 19 | iqr | non | median | survivors | ards [SUMMARY]
[CONTENT] ecmo | patients | 19 | covid | covid 19 | iqr | non | median | survivors | ards [SUMMARY]
[CONTENT] ecmo | patients | 19 | covid | covid 19 | iqr | non | median | survivors | ards [SUMMARY]
[CONTENT] ecmo | patients | 19 | covid | covid 19 | iqr | non | median | survivors | ards [SUMMARY]
[CONTENT] ecmo | patients | 19 | covid | covid 19 | iqr | non | median | survivors | ards [SUMMARY]
[CONTENT] ecmo | 19 | covid | covid 19 | severe | ards | respiratory | syndrome | patients | supportive [SUMMARY]
[CONTENT] ecmo | data | covid 19 | covid | 19 | test | patients | survival | non | statistics [SUMMARY]
[CONTENT] ecmo | patients | iqr | survivors | days | median | non survivors | versus | days iqr | 28 [SUMMARY]
[CONTENT] ecmo | case | covid | covid 19 | 19 | acceptable survival | covid 19 differing | acceptable survival rate ecmo | acceptable survival rate | found acceptable survival rate [SUMMARY]
[CONTENT] ecmo | patients | 19 | covid 19 | covid | non | iqr | survivors | ards | median [SUMMARY]
[CONTENT] ecmo | patients | 19 | covid 19 | covid | non | iqr | survivors | ards | median [SUMMARY]
[CONTENT] COVID-19 | ECMO | ECMO [SUMMARY]
[CONTENT] COVID-19 | ECMO | 13 | March 1 to April 30, 2020 ||| ECMO ||| 28-day | ECMO | COVID-19 | ECMO | ECMO | January 1, 2018 | July 31, 2019 [SUMMARY]
[CONTENT] 71 | COVID-19 | ECMO | 13 days ||| ECMO | 5 days | IQR ||| ECMO | COVID-19 | 58 | 53 | IQR | 48 ||| 28-day | 37% | COVID-19 | 27% ||| Kaplan-Meier | 100-day ||| COVID-19 | ECMO | ECMO [SUMMARY]
[CONTENT] COVID-19 | ECMO | ECMO ||| ECMO | COVID-19 [SUMMARY]
[CONTENT] COVID-19 | ECMO | ECMO ||| COVID-19 | ECMO | 13 | March 1 to April 30, 2020 ||| ECMO ||| 28-day | ECMO | COVID-19 | ECMO | ECMO | January 1, 2018 | July 31, 2019 ||| 71 | COVID-19 | ECMO | 13 days ||| ECMO | 5 days | IQR ||| ECMO | COVID-19 | 58 | 53 | IQR | 48 ||| 28-day | 37% | COVID-19 | 27% ||| Kaplan-Meier | 100-day ||| COVID-19 | ECMO | ECMO ||| COVID-19 | ECMO | ECMO ||| ECMO | COVID-19 [SUMMARY]
[CONTENT] COVID-19 | ECMO | ECMO ||| COVID-19 | ECMO | 13 | March 1 to April 30, 2020 ||| ECMO ||| 28-day | ECMO | COVID-19 | ECMO | ECMO | January 1, 2018 | July 31, 2019 ||| 71 | COVID-19 | ECMO | 13 days ||| ECMO | 5 days | IQR ||| ECMO | COVID-19 | 58 | 53 | IQR | 48 ||| 28-day | 37% | COVID-19 | 27% ||| Kaplan-Meier | 100-day ||| COVID-19 | ECMO | ECMO ||| COVID-19 | ECMO | ECMO ||| ECMO | COVID-19 [SUMMARY]
Anaesthesia for cleft lip surgeries in a resource poor setting: techniques, outcome and safety.
31037166
Cleft lip and palate is one of the more common congenital malformation and the most common craniofacial anomalies in children. The treatment is expensive and requires specialised care. Access to this care in middle and low income countries is compounded by socioeconomic status of patients and their relation and also the inadequacy of expertise in medical personnel and infrastructure. Objective: the study aimed to review the techniques of anaesthesia used in a low resource setting in terms of the techniques, outcome, and safety.
INTRODUCTION
This is a retrospective review of 79 cases done in a resource poor setting. Information regarding the patients, surgeries and modes of anaesthesia were retrieved from the case notes.
METHODS
A total of 62 patients were operated with incomplete cleft accounting for 37 (59.7%), complete 23(37.1%), and 2 (3.2%) as bilateral. Forty-six (74.2%) of patients had their surgery done with ketamine anaesthesia without endotracheal intubation, 14 (22.6%) had regional anaesthesia and 2 patients (3.2%) had general anaesthesia with endotracheal intubation.
RESULTS
This study demonstrates that with careful planning and expertise, cleft lip repair can be done safely in resource poor setting.
CONCLUSION
[ "Adolescent", "Anesthesia", "Anesthesia, Conduction", "Anesthesia, General", "Child", "Child, Preschool", "Cleft Lip", "Developing Countries", "Female", "Humans", "Infant", "Intubation, Intratracheal", "Ketamine", "Male", "Retrospective Studies", "Socioeconomic Factors", "Treatment Outcome", "Young Adult" ]
6462386
Introduction
Cleft lip and palate has a huge impact on the life of an individual and their family. It is one of the more common congenital malformation and the most common craniofacial anomalies in children [1]. A child is born with a cleft somewhere in the world every 2 minutes according to a WHO study published in 2001 [2]. The prevalence of cleft lip, with or without an associated cleft palate, is 0.1% in the general population [3]. The treatment of orofacial cleft anomaly is expensive and requires years of specialized care [3, 4]. Though successful treatment of the cosmetic and functional aspects of orofacial cleft anomalies is now possible, presentation for surgery is late in low and middle income countries due to low socioeconomic status of patients and their relation [4]. This is further compounded by the inadequacy of expertise in the surgical procedure, competent anaesthetists, and non-availability of necessary equipment [5]. The civil war that ravaged Sierra Leone from 1991 to 2002 destroyed the country's infrastructure including its health systems. Anaesthesia for cleft lip and palate surgery is challenging to the anaesthetist [6]. Two safe modes of anaesthesia described are general anaesthesia with endotracheal intubation and regional anaesthesia [3, 7]. General anaesthesia is mostly used for patients in the paediatric age group and endotracheal intubation is necessary to secure and protect the airway because the surgeon shares the same field with the anaesthetist. Regional anaesthesia is mostly used in patients in whom cooperation could be sought. It could be by infraorbital nerve block, dorsal nasal block or peri-incisional infiltration [3, 8]. Bearing in mind the challenges involved in the anaesthesia for cleft lip surgery which include difficult airway, inadvertent extubation, kinking of endotracheal tube, aspiration of blood and secretions, laryngospasm, etc [7, 9, 10], this study intend to review a number of cases done in a resource poor setting enumerating the mode of anaesthesia, safety, complications, and recovery profile of the patients.
Methods
This is a retrospective study of anaesthesia for the surgical repair of cleft lip in the country of Sierra Leone by a team of Nigerian surgeons and anaesthetist on a smile train international mission. The information is as recorded in the patients' case notes. A total of seventy-nine (79) patients presented during the mission. The patients were evaluated clinically for fitness for surgery and any coexisting congenital malformations. Information regarding patient's weight, written consent, preoperative fasting guideline, mode of anaesthesia, excessive bleeding, adverse events during surgical procedure, intra and postoperative complications like fever, excessive secretion, hypoxia, vomiting, bleeding, and need for intubation were retrieved. The need for additional anaesthetic or analgesic, conversion to general anaesthesia from regional technique was also retrieved. No routine pre-operative laboratory test was done. Standard preoperative fasting guidelines were observed based on records. Three modes of anaesthesia were recorded: regional anaesthesia for patients above the age of 9 years (Group A), a modified general anaesthesia with supplemental peri-incisional infiltration for patients aged 9years and below with unilateral cleft lip (Group B), and general anaesthesia with endotracheal intubation (Group C) for patient with bilateral cleft lip. Dental preparation of lidocaine hydrochloride with adrenaline (36mg + 18µg) in 1.8ml cartridges were used in all the modes of anaesthesia. In both groups A and B, patients were left to breathe in room air. All patients had intravenous access with infusion of 4.3% Dextrose in 0.18 Saline or 0.9% Saline as applicable. Monitoring was with the aid of precordial stethoscope, and lifebox pulse oximeter. Group A: Patients had peri-incisional infiltration of the dental preparation of lidocaine with adrenaline. Surgeries were done with the patients in the sitting position, awake and breathing room air. Group B: Patients had intramuscular ketamine at a dose of 10-12.5 mg/kg mixed with atropine at a dose of 0.01-0.03mg/kg. Supplemental peri-incisional infiltration of the dental preparation of lidocaine with adrenaline was instituted after induction. Saline wet gauze was placed in the buccal pouch. Surgery was in the supine position with a shoulder roll and head ring in place. Group C: Patients had general anaesthesia with endotracheal intubation. Induction was inhalational with halothane in oxygen at 6L/min to achieve hypnosis. Intubation was facilitated with suxamethonium 1.5mg/kg given intravenously. Maintenance of anaesthesia was with halothane at 1% concentration in oxygen at 6L/min. Patient also had peri-incisional infiltration of the dental preparation of lidocaine with adrenaline. The surgery was also performed in the supine position with shoulder roll and head ring in place. Patients were allowed to breathe spontaneously. Fever was defined as temperature of more than 38.5°C, hypoxia as percentage saturation of oxygen of less than 90%, and excessive bleeding and secretion as those that required the use of suction machine. Duration of surgery was defined as the time from knife on skin to the end of last stitch.
Results
A total of 79 patients presented for surgery during the mission which lasted 10 days. Sixty-two patients comprising 34 males (54.8%) and 28 females (45.2%) were operated and hence studied. The remaining 17 patients had isolated palatal cleft which could not be repaired because of limited facility to guaranty safe surgery and anaesthesia. The age distribution of the patients is presented in Table 1. Of the 62 operated patients, 37(59.7%) had left unilateral cleft lip with 25(40.3%) left incomplete and 12(19.4%) left complete cleft lip. 11(17.7%) had right complete cleft lip and 12 (19.4%) with right incomplete cleft lip while only 2(3.2%) had bilateral cleft lip (Figure 1). Forty six (46) patients (74.2%) were anaesthetized with ketamine at a dose of 10-12.5mg/kg combined with atropine 0.01-0.03mg/kg given intramuscularly without endotracheal intubation, while 14 (22.6%) had regional anaesthesia and only 2 patients (3.2%) had general anaesthesia with endotracheal intubation. The mean duration of surgery was 34.2minutes (median 34.0minutes). The only complication recorded is fever which occurred in 6 patients (9.7%) who had ketamine anaesthesia (Table 2). Age of patient Range 3months-43years SD= Standard Deviation Mode of anaesthesia and complication Type of cleft
Conclusion
Most patients for cleft lip repair presents in the paediatric age group. This contributes to the challenge faced by anaesthetist apart from those presented by the pathology. Hence, general anaesthesia with endotracheal intubation is considered as the safest mode of anaesthesia. But our study has demonstrated that these surgeries can be performed with careful planning and with the required expertise in low resource setting. What is known about this topic That most African countries are lacking in adequate infrastructure needed for the repair of cleft lip and palate; That regional and general anaesthesia with endotracheal intubation are the two safe modes of anaesthesia for the repair of cleft lip. That most African countries are lacking in adequate infrastructure needed for the repair of cleft lip and palate; That regional and general anaesthesia with endotracheal intubation are the two safe modes of anaesthesia for the repair of cleft lip. What this study adds That with extra caution and care, cleft lip can be safely repaired in a resource poor setting using ketamine anaesthesia; That peri-incisional infilteration alone, if properly done, can be used for cleft lip repair in adult. That with extra caution and care, cleft lip can be safely repaired in a resource poor setting using ketamine anaesthesia; That peri-incisional infilteration alone, if properly done, can be used for cleft lip repair in adult.
[ "What is known about this topic", "What this study adds" ]
[ "That most African countries are lacking in adequate infrastructure needed for the repair of cleft lip and palate;\nThat regional and general anaesthesia with endotracheal intubation are the two safe modes of anaesthesia for the repair of cleft lip.", "That with extra caution and care, cleft lip can be safely repaired in a resource poor setting using ketamine anaesthesia;\nThat peri-incisional infilteration alone, if properly done, can be used for cleft lip repair in adult." ]
[ null, null ]
[ "Introduction", "Methods", "Results", "Discussion", "Conclusion", "What is known about this topic", "What this study adds", "Competing interests" ]
[ "Cleft lip and palate has a huge impact on the life of an individual and their family. It is one of the more common congenital malformation and the most common craniofacial anomalies in children [1]. A child is born with a cleft somewhere in the world every 2 minutes according to a WHO study published in 2001 [2]. The prevalence of cleft lip, with or without an associated cleft palate, is 0.1% in the general population [3]. The treatment of orofacial cleft anomaly is expensive and requires years of specialized care [3, 4]. Though successful treatment of the cosmetic and functional aspects of orofacial cleft anomalies is now possible, presentation for surgery is late in low and middle income countries due to low socioeconomic status of patients and their relation [4]. This is further compounded by the inadequacy of expertise in the surgical procedure, competent anaesthetists, and non-availability of necessary equipment [5]. The civil war that ravaged Sierra Leone from 1991 to 2002 destroyed the country's infrastructure including its health systems. Anaesthesia for cleft lip and palate surgery is challenging to the anaesthetist [6]. Two safe modes of anaesthesia described are general anaesthesia with endotracheal intubation and regional anaesthesia [3, 7]. General anaesthesia is mostly used for patients in the paediatric age group and endotracheal intubation is necessary to secure and protect the airway because the surgeon shares the same field with the anaesthetist. Regional anaesthesia is mostly used in patients in whom cooperation could be sought. It could be by infraorbital nerve block, dorsal nasal block or peri-incisional infiltration [3, 8]. Bearing in mind the challenges involved in the anaesthesia for cleft lip surgery which include difficult airway, inadvertent extubation, kinking of endotracheal tube, aspiration of blood and secretions, laryngospasm, etc [7, 9, 10], this study intend to review a number of cases done in a resource poor setting enumerating the mode of anaesthesia, safety, complications, and recovery profile of the patients.", "This is a retrospective study of anaesthesia for the surgical repair of cleft lip in the country of Sierra Leone by a team of Nigerian surgeons and anaesthetist on a smile train international mission. The information is as recorded in the patients' case notes. A total of seventy-nine (79) patients presented during the mission. The patients were evaluated clinically for fitness for surgery and any coexisting congenital malformations. Information regarding patient's weight, written consent, preoperative fasting guideline, mode of anaesthesia, excessive bleeding, adverse events during surgical procedure, intra and postoperative complications like fever, excessive secretion, hypoxia, vomiting, bleeding, and need for intubation were retrieved. The need for additional anaesthetic or analgesic, conversion to general anaesthesia from regional technique was also retrieved. No routine pre-operative laboratory test was done. Standard preoperative fasting guidelines were observed based on records. Three modes of anaesthesia were recorded: regional anaesthesia for patients above the age of 9 years (Group A), a modified general anaesthesia with supplemental peri-incisional infiltration for patients aged 9years and below with unilateral cleft lip (Group B), and general anaesthesia with endotracheal intubation (Group C) for patient with bilateral cleft lip. Dental preparation of lidocaine hydrochloride with adrenaline (36mg + 18µg) in 1.8ml cartridges were used in all the modes of anaesthesia. In both groups A and B, patients were left to breathe in room air. All patients had intravenous access with infusion of 4.3% Dextrose in 0.18 Saline or 0.9% Saline as applicable. Monitoring was with the aid of precordial stethoscope, and lifebox pulse oximeter.\n\nGroup A: Patients had peri-incisional infiltration of the dental preparation of lidocaine with adrenaline. Surgeries were done with the patients in the sitting position, awake and breathing room air.\n\nGroup B: Patients had intramuscular ketamine at a dose of 10-12.5 mg/kg mixed with atropine at a dose of 0.01-0.03mg/kg. Supplemental peri-incisional infiltration of the dental preparation of lidocaine with adrenaline was instituted after induction. Saline wet gauze was placed in the buccal pouch. Surgery was in the supine position with a shoulder roll and head ring in place.\n\nGroup C: Patients had general anaesthesia with endotracheal intubation. Induction was inhalational with halothane in oxygen at 6L/min to achieve hypnosis. Intubation was facilitated with suxamethonium 1.5mg/kg given intravenously. Maintenance of anaesthesia was with halothane at 1% concentration in oxygen at 6L/min. Patient also had peri-incisional infiltration of the dental preparation of lidocaine with adrenaline. The surgery was also performed in the supine position with shoulder roll and head ring in place. Patients were allowed to breathe spontaneously. Fever was defined as temperature of more than 38.5°C, hypoxia as percentage saturation of oxygen of less than 90%, and excessive bleeding and secretion as those that required the use of suction machine. Duration of surgery was defined as the time from knife on skin to the end of last stitch.", "A total of 79 patients presented for surgery during the mission which lasted 10 days. Sixty-two patients comprising 34 males (54.8%) and 28 females (45.2%) were operated and hence studied. The remaining 17 patients had isolated palatal cleft which could not be repaired because of limited facility to guaranty safe surgery and anaesthesia. The age distribution of the patients is presented in Table 1. Of the 62 operated patients, 37(59.7%) had left unilateral cleft lip with 25(40.3%) left incomplete and 12(19.4%) left complete cleft lip. 11(17.7%) had right complete cleft lip and 12 (19.4%) with right incomplete cleft lip while only 2(3.2%) had bilateral cleft lip (Figure 1). Forty six (46) patients (74.2%) were anaesthetized with ketamine at a dose of 10-12.5mg/kg combined with atropine 0.01-0.03mg/kg given intramuscularly without endotracheal intubation, while 14 (22.6%) had regional anaesthesia and only 2 patients (3.2%) had general anaesthesia with endotracheal intubation. The mean duration of surgery was 34.2minutes (median 34.0minutes). The only complication recorded is fever which occurred in 6 patients (9.7%) who had ketamine anaesthesia (Table 2).\nAge of patient\nRange 3months-43years SD= Standard Deviation\nMode of anaesthesia and complication\nType of cleft", "Modern anaesthetic techniques in cleft surgeries involve the use of expensive anaesthetic agents, bulky machines, and continuous flow of anaesthetic gases [11]. This is largely because of the shared field situation in which the surgeon and the anaesthetist work in the same region of the body i.e. the oral cavity. All the patients operated had their surgery for the first time (primary repair). Majority of the patients (34(54.8%)) were males while there were 28(45.2%) females. This finding is in agreement with the work done by Jindal et al and Kulkarni et al [12, 13]. Studies have also shown the predominance of left unilateral cleft lip [3, 5, 6]. This correlates well with the finding of 37(59.7%) unilateral cleft lip in this study. Ketamine with atropine, given intramuscularly, was the main technique of Anaesthesia recorded. This technique was employed because of the non-availability of sophisticated gadgets and also the limitation of the supply of oxygen. In this study, this technique was used for all patients aged 3 months to 9 years with unilateral cleft lip (both complete and incomplete). This is in contrast to the study of Hodges et al on “A protocol for Safe Anaesthesia for cleft lip and palate surgery in developing countries” where similar technique was used only for patients from 1-10years old [10]. This study shows that the technique was tolerated well down to the age of 3 month. Ketamine and atropine, without intubation, were the only drugs used to anaesthetise 46(74.2%) patients who had cleft lip repair from the age of 3 month to 9 years and it proved to be efficient and safe. Regional anaesthesia was used for 14(22.6%) patients above the age of 9 years. Peri-incisional infiltration using cartridges of the dental preparation of lidocaine with adrenaline in 1.8ml was used. There was no form of sedation given to the patients unlike in the work of Hodges et al [10]. Most studies on regional anaesthesia for cleft lip repair used different combinations of infraorbital block, dorsal-nasal block, septal block, and peri-incisional infiltration [3, 8]. Only peri-incisional infiltration was used during this mission and patients tolerated it well and with good postoperative analgesia up to 6 hours. There were no complications recorded with this technique. This agrees with the findings of other studies [3, 8, 9, 10]. The acceptance level was high as there was no need to convert to general anaesthesia in any of the patients. General anaesthesia is the safest and preferred mode of anaesthesia for cleft surgeries because of the need to prevent aspiration while ensuring a good oxygenation of the patient [11, 12]. During this mission, general anaesthesia with endotracheal intubation could be performed in one patient at a time due to the availability of only one anaesthesia machine.\nIn addition, the continuous supply of oxygen could not be guaranteed. Hence, this technique was reserved for patients with bilateral cleft lip where more bleeding is expected, and to conserve oxygen for patients with complication that may require oxygen. There was adequate provision of the volatile anaesthetic agent, halothane, by the team but the agent could not be used due to the inadequate supply of oxygen and other equipment. There were no complications recorded in these patients. Studies on the use of general anaesthesia for cleft lip surgeries recorded some complications among which are hypoxia, laryngospasm, difficult intubation, failed intubation, temperature variation, tube disconnection, pulmonary oedema etc [12, 13]. The finding of no complication from this study could be due to the smaller number of patients who had this form of anaesthesia. Lower concentration of halothane (1% halothane in oxygen at 6L/min) was used while allowing the patients to breathe spontaneously because the anaesthesia was supplemented with peri-incisional infiltration of the dental preparation of lidocaine in adrenaline. Hence, the patients recorded faster recovery time. The mean duration of surgery was 34.2 minutes (median = 34.0mins). This duration is relatively shorter when compared to the work done by Jindal et al where the duration for cleft lip repair was one (1) hour and that of Eipe et al of between 45minutes to 60 minutes [8, 12]. This could be due to the fact that the team of surgeons and anaesthetist have been working together for more than 5 years on cleft surgeries and the experience gained over the years would have been contributory. Another factor could be the fact that every member of the team is a specialist including the anaesthetist with improvement in skill over time. Sierra Leone depends largely on the support of international organizations in their healthcare especially for surgical procedures [13]. Until 2008, there had not been any opportunity for postgraduate training in surgery in a country with only ten (10) trained surgeons to serve the whole population. The country also has shortages in infrastructure and supplies required for delivering surgical care [14]. Unlike other studies that recorded multiple complications with cleft lip surgeries, the only complication encountered during this mission is fever (Temperature > 37.5°C) which occurred in 6 (9.7%) patients [1, 5, 9, 12, 15]. Ironically, all 6 patients had ketamine anaesthesia. Similarly, the fever started in the intraoperative period and extended into the postoperative period. The fever was managed with acetaminophen syrup and patients were also treated for malaria since the country is a malaria endemic area. This study supports the findings of Fillies et al in their study on perioperative complications in infant cleft repair where temperature variation particularly hyperthermia accounted for most of the complications observed [13]. Quershi et al have reported hypothermia as an important complication found most commonly in children with a bilateral cleft lip repair citing prolonged duration of surgery as the cause [6]. However, in our study neither hypothermia nor hyperthermia was observed in the 2 (two) patients who had bilateral cleft lip repair under general anaesthesia.", "Most patients for cleft lip repair presents in the paediatric age group. This contributes to the challenge faced by anaesthetist apart from those presented by the pathology. Hence, general anaesthesia with endotracheal intubation is considered as the safest mode of anaesthesia. But our study has demonstrated that these surgeries can be performed with careful planning and with the required expertise in low resource setting.\n What is known about this topic That most African countries are lacking in adequate infrastructure needed for the repair of cleft lip and palate;\nThat regional and general anaesthesia with endotracheal intubation are the two safe modes of anaesthesia for the repair of cleft lip.\nThat most African countries are lacking in adequate infrastructure needed for the repair of cleft lip and palate;\nThat regional and general anaesthesia with endotracheal intubation are the two safe modes of anaesthesia for the repair of cleft lip.\n What this study adds That with extra caution and care, cleft lip can be safely repaired in a resource poor setting using ketamine anaesthesia;\nThat peri-incisional infilteration alone, if properly done, can be used for cleft lip repair in adult.\nThat with extra caution and care, cleft lip can be safely repaired in a resource poor setting using ketamine anaesthesia;\nThat peri-incisional infilteration alone, if properly done, can be used for cleft lip repair in adult.", "That most African countries are lacking in adequate infrastructure needed for the repair of cleft lip and palate;\nThat regional and general anaesthesia with endotracheal intubation are the two safe modes of anaesthesia for the repair of cleft lip.", "That with extra caution and care, cleft lip can be safely repaired in a resource poor setting using ketamine anaesthesia;\nThat peri-incisional infilteration alone, if properly done, can be used for cleft lip repair in adult.", "The author declare no competing interest." ]
[ "intro", "methods", "results", "discussion", "conclusions", null, null, "COI-statement" ]
[ "Anaesthesia", "cleft lip", "techniques", "setting" ]
Introduction: Cleft lip and palate has a huge impact on the life of an individual and their family. It is one of the more common congenital malformation and the most common craniofacial anomalies in children [1]. A child is born with a cleft somewhere in the world every 2 minutes according to a WHO study published in 2001 [2]. The prevalence of cleft lip, with or without an associated cleft palate, is 0.1% in the general population [3]. The treatment of orofacial cleft anomaly is expensive and requires years of specialized care [3, 4]. Though successful treatment of the cosmetic and functional aspects of orofacial cleft anomalies is now possible, presentation for surgery is late in low and middle income countries due to low socioeconomic status of patients and their relation [4]. This is further compounded by the inadequacy of expertise in the surgical procedure, competent anaesthetists, and non-availability of necessary equipment [5]. The civil war that ravaged Sierra Leone from 1991 to 2002 destroyed the country's infrastructure including its health systems. Anaesthesia for cleft lip and palate surgery is challenging to the anaesthetist [6]. Two safe modes of anaesthesia described are general anaesthesia with endotracheal intubation and regional anaesthesia [3, 7]. General anaesthesia is mostly used for patients in the paediatric age group and endotracheal intubation is necessary to secure and protect the airway because the surgeon shares the same field with the anaesthetist. Regional anaesthesia is mostly used in patients in whom cooperation could be sought. It could be by infraorbital nerve block, dorsal nasal block or peri-incisional infiltration [3, 8]. Bearing in mind the challenges involved in the anaesthesia for cleft lip surgery which include difficult airway, inadvertent extubation, kinking of endotracheal tube, aspiration of blood and secretions, laryngospasm, etc [7, 9, 10], this study intend to review a number of cases done in a resource poor setting enumerating the mode of anaesthesia, safety, complications, and recovery profile of the patients. Methods: This is a retrospective study of anaesthesia for the surgical repair of cleft lip in the country of Sierra Leone by a team of Nigerian surgeons and anaesthetist on a smile train international mission. The information is as recorded in the patients' case notes. A total of seventy-nine (79) patients presented during the mission. The patients were evaluated clinically for fitness for surgery and any coexisting congenital malformations. Information regarding patient's weight, written consent, preoperative fasting guideline, mode of anaesthesia, excessive bleeding, adverse events during surgical procedure, intra and postoperative complications like fever, excessive secretion, hypoxia, vomiting, bleeding, and need for intubation were retrieved. The need for additional anaesthetic or analgesic, conversion to general anaesthesia from regional technique was also retrieved. No routine pre-operative laboratory test was done. Standard preoperative fasting guidelines were observed based on records. Three modes of anaesthesia were recorded: regional anaesthesia for patients above the age of 9 years (Group A), a modified general anaesthesia with supplemental peri-incisional infiltration for patients aged 9years and below with unilateral cleft lip (Group B), and general anaesthesia with endotracheal intubation (Group C) for patient with bilateral cleft lip. Dental preparation of lidocaine hydrochloride with adrenaline (36mg + 18µg) in 1.8ml cartridges were used in all the modes of anaesthesia. In both groups A and B, patients were left to breathe in room air. All patients had intravenous access with infusion of 4.3% Dextrose in 0.18 Saline or 0.9% Saline as applicable. Monitoring was with the aid of precordial stethoscope, and lifebox pulse oximeter. Group A: Patients had peri-incisional infiltration of the dental preparation of lidocaine with adrenaline. Surgeries were done with the patients in the sitting position, awake and breathing room air. Group B: Patients had intramuscular ketamine at a dose of 10-12.5 mg/kg mixed with atropine at a dose of 0.01-0.03mg/kg. Supplemental peri-incisional infiltration of the dental preparation of lidocaine with adrenaline was instituted after induction. Saline wet gauze was placed in the buccal pouch. Surgery was in the supine position with a shoulder roll and head ring in place. Group C: Patients had general anaesthesia with endotracheal intubation. Induction was inhalational with halothane in oxygen at 6L/min to achieve hypnosis. Intubation was facilitated with suxamethonium 1.5mg/kg given intravenously. Maintenance of anaesthesia was with halothane at 1% concentration in oxygen at 6L/min. Patient also had peri-incisional infiltration of the dental preparation of lidocaine with adrenaline. The surgery was also performed in the supine position with shoulder roll and head ring in place. Patients were allowed to breathe spontaneously. Fever was defined as temperature of more than 38.5°C, hypoxia as percentage saturation of oxygen of less than 90%, and excessive bleeding and secretion as those that required the use of suction machine. Duration of surgery was defined as the time from knife on skin to the end of last stitch. Results: A total of 79 patients presented for surgery during the mission which lasted 10 days. Sixty-two patients comprising 34 males (54.8%) and 28 females (45.2%) were operated and hence studied. The remaining 17 patients had isolated palatal cleft which could not be repaired because of limited facility to guaranty safe surgery and anaesthesia. The age distribution of the patients is presented in Table 1. Of the 62 operated patients, 37(59.7%) had left unilateral cleft lip with 25(40.3%) left incomplete and 12(19.4%) left complete cleft lip. 11(17.7%) had right complete cleft lip and 12 (19.4%) with right incomplete cleft lip while only 2(3.2%) had bilateral cleft lip (Figure 1). Forty six (46) patients (74.2%) were anaesthetized with ketamine at a dose of 10-12.5mg/kg combined with atropine 0.01-0.03mg/kg given intramuscularly without endotracheal intubation, while 14 (22.6%) had regional anaesthesia and only 2 patients (3.2%) had general anaesthesia with endotracheal intubation. The mean duration of surgery was 34.2minutes (median 34.0minutes). The only complication recorded is fever which occurred in 6 patients (9.7%) who had ketamine anaesthesia (Table 2). Age of patient Range 3months-43years SD= Standard Deviation Mode of anaesthesia and complication Type of cleft Discussion: Modern anaesthetic techniques in cleft surgeries involve the use of expensive anaesthetic agents, bulky machines, and continuous flow of anaesthetic gases [11]. This is largely because of the shared field situation in which the surgeon and the anaesthetist work in the same region of the body i.e. the oral cavity. All the patients operated had their surgery for the first time (primary repair). Majority of the patients (34(54.8%)) were males while there were 28(45.2%) females. This finding is in agreement with the work done by Jindal et al and Kulkarni et al [12, 13]. Studies have also shown the predominance of left unilateral cleft lip [3, 5, 6]. This correlates well with the finding of 37(59.7%) unilateral cleft lip in this study. Ketamine with atropine, given intramuscularly, was the main technique of Anaesthesia recorded. This technique was employed because of the non-availability of sophisticated gadgets and also the limitation of the supply of oxygen. In this study, this technique was used for all patients aged 3 months to 9 years with unilateral cleft lip (both complete and incomplete). This is in contrast to the study of Hodges et al on “A protocol for Safe Anaesthesia for cleft lip and palate surgery in developing countries” where similar technique was used only for patients from 1-10years old [10]. This study shows that the technique was tolerated well down to the age of 3 month. Ketamine and atropine, without intubation, were the only drugs used to anaesthetise 46(74.2%) patients who had cleft lip repair from the age of 3 month to 9 years and it proved to be efficient and safe. Regional anaesthesia was used for 14(22.6%) patients above the age of 9 years. Peri-incisional infiltration using cartridges of the dental preparation of lidocaine with adrenaline in 1.8ml was used. There was no form of sedation given to the patients unlike in the work of Hodges et al [10]. Most studies on regional anaesthesia for cleft lip repair used different combinations of infraorbital block, dorsal-nasal block, septal block, and peri-incisional infiltration [3, 8]. Only peri-incisional infiltration was used during this mission and patients tolerated it well and with good postoperative analgesia up to 6 hours. There were no complications recorded with this technique. This agrees with the findings of other studies [3, 8, 9, 10]. The acceptance level was high as there was no need to convert to general anaesthesia in any of the patients. General anaesthesia is the safest and preferred mode of anaesthesia for cleft surgeries because of the need to prevent aspiration while ensuring a good oxygenation of the patient [11, 12]. During this mission, general anaesthesia with endotracheal intubation could be performed in one patient at a time due to the availability of only one anaesthesia machine. In addition, the continuous supply of oxygen could not be guaranteed. Hence, this technique was reserved for patients with bilateral cleft lip where more bleeding is expected, and to conserve oxygen for patients with complication that may require oxygen. There was adequate provision of the volatile anaesthetic agent, halothane, by the team but the agent could not be used due to the inadequate supply of oxygen and other equipment. There were no complications recorded in these patients. Studies on the use of general anaesthesia for cleft lip surgeries recorded some complications among which are hypoxia, laryngospasm, difficult intubation, failed intubation, temperature variation, tube disconnection, pulmonary oedema etc [12, 13]. The finding of no complication from this study could be due to the smaller number of patients who had this form of anaesthesia. Lower concentration of halothane (1% halothane in oxygen at 6L/min) was used while allowing the patients to breathe spontaneously because the anaesthesia was supplemented with peri-incisional infiltration of the dental preparation of lidocaine in adrenaline. Hence, the patients recorded faster recovery time. The mean duration of surgery was 34.2 minutes (median = 34.0mins). This duration is relatively shorter when compared to the work done by Jindal et al where the duration for cleft lip repair was one (1) hour and that of Eipe et al of between 45minutes to 60 minutes [8, 12]. This could be due to the fact that the team of surgeons and anaesthetist have been working together for more than 5 years on cleft surgeries and the experience gained over the years would have been contributory. Another factor could be the fact that every member of the team is a specialist including the anaesthetist with improvement in skill over time. Sierra Leone depends largely on the support of international organizations in their healthcare especially for surgical procedures [13]. Until 2008, there had not been any opportunity for postgraduate training in surgery in a country with only ten (10) trained surgeons to serve the whole population. The country also has shortages in infrastructure and supplies required for delivering surgical care [14]. Unlike other studies that recorded multiple complications with cleft lip surgeries, the only complication encountered during this mission is fever (Temperature > 37.5°C) which occurred in 6 (9.7%) patients [1, 5, 9, 12, 15]. Ironically, all 6 patients had ketamine anaesthesia. Similarly, the fever started in the intraoperative period and extended into the postoperative period. The fever was managed with acetaminophen syrup and patients were also treated for malaria since the country is a malaria endemic area. This study supports the findings of Fillies et al in their study on perioperative complications in infant cleft repair where temperature variation particularly hyperthermia accounted for most of the complications observed [13]. Quershi et al have reported hypothermia as an important complication found most commonly in children with a bilateral cleft lip repair citing prolonged duration of surgery as the cause [6]. However, in our study neither hypothermia nor hyperthermia was observed in the 2 (two) patients who had bilateral cleft lip repair under general anaesthesia. Conclusion: Most patients for cleft lip repair presents in the paediatric age group. This contributes to the challenge faced by anaesthetist apart from those presented by the pathology. Hence, general anaesthesia with endotracheal intubation is considered as the safest mode of anaesthesia. But our study has demonstrated that these surgeries can be performed with careful planning and with the required expertise in low resource setting. What is known about this topic That most African countries are lacking in adequate infrastructure needed for the repair of cleft lip and palate; That regional and general anaesthesia with endotracheal intubation are the two safe modes of anaesthesia for the repair of cleft lip. That most African countries are lacking in adequate infrastructure needed for the repair of cleft lip and palate; That regional and general anaesthesia with endotracheal intubation are the two safe modes of anaesthesia for the repair of cleft lip. What this study adds That with extra caution and care, cleft lip can be safely repaired in a resource poor setting using ketamine anaesthesia; That peri-incisional infilteration alone, if properly done, can be used for cleft lip repair in adult. That with extra caution and care, cleft lip can be safely repaired in a resource poor setting using ketamine anaesthesia; That peri-incisional infilteration alone, if properly done, can be used for cleft lip repair in adult. What is known about this topic: That most African countries are lacking in adequate infrastructure needed for the repair of cleft lip and palate; That regional and general anaesthesia with endotracheal intubation are the two safe modes of anaesthesia for the repair of cleft lip. What this study adds: That with extra caution and care, cleft lip can be safely repaired in a resource poor setting using ketamine anaesthesia; That peri-incisional infilteration alone, if properly done, can be used for cleft lip repair in adult. Competing interests: The author declare no competing interest.
Background: Cleft lip and palate is one of the more common congenital malformation and the most common craniofacial anomalies in children. The treatment is expensive and requires specialised care. Access to this care in middle and low income countries is compounded by socioeconomic status of patients and their relation and also the inadequacy of expertise in medical personnel and infrastructure. Objective: the study aimed to review the techniques of anaesthesia used in a low resource setting in terms of the techniques, outcome, and safety. Methods: This is a retrospective review of 79 cases done in a resource poor setting. Information regarding the patients, surgeries and modes of anaesthesia were retrieved from the case notes. Results: A total of 62 patients were operated with incomplete cleft accounting for 37 (59.7%), complete 23(37.1%), and 2 (3.2%) as bilateral. Forty-six (74.2%) of patients had their surgery done with ketamine anaesthesia without endotracheal intubation, 14 (22.6%) had regional anaesthesia and 2 patients (3.2%) had general anaesthesia with endotracheal intubation. Conclusions: This study demonstrates that with careful planning and expertise, cleft lip repair can be done safely in resource poor setting.
Introduction: Cleft lip and palate has a huge impact on the life of an individual and their family. It is one of the more common congenital malformation and the most common craniofacial anomalies in children [1]. A child is born with a cleft somewhere in the world every 2 minutes according to a WHO study published in 2001 [2]. The prevalence of cleft lip, with or without an associated cleft palate, is 0.1% in the general population [3]. The treatment of orofacial cleft anomaly is expensive and requires years of specialized care [3, 4]. Though successful treatment of the cosmetic and functional aspects of orofacial cleft anomalies is now possible, presentation for surgery is late in low and middle income countries due to low socioeconomic status of patients and their relation [4]. This is further compounded by the inadequacy of expertise in the surgical procedure, competent anaesthetists, and non-availability of necessary equipment [5]. The civil war that ravaged Sierra Leone from 1991 to 2002 destroyed the country's infrastructure including its health systems. Anaesthesia for cleft lip and palate surgery is challenging to the anaesthetist [6]. Two safe modes of anaesthesia described are general anaesthesia with endotracheal intubation and regional anaesthesia [3, 7]. General anaesthesia is mostly used for patients in the paediatric age group and endotracheal intubation is necessary to secure and protect the airway because the surgeon shares the same field with the anaesthetist. Regional anaesthesia is mostly used in patients in whom cooperation could be sought. It could be by infraorbital nerve block, dorsal nasal block or peri-incisional infiltration [3, 8]. Bearing in mind the challenges involved in the anaesthesia for cleft lip surgery which include difficult airway, inadvertent extubation, kinking of endotracheal tube, aspiration of blood and secretions, laryngospasm, etc [7, 9, 10], this study intend to review a number of cases done in a resource poor setting enumerating the mode of anaesthesia, safety, complications, and recovery profile of the patients. Conclusion: Most patients for cleft lip repair presents in the paediatric age group. This contributes to the challenge faced by anaesthetist apart from those presented by the pathology. Hence, general anaesthesia with endotracheal intubation is considered as the safest mode of anaesthesia. But our study has demonstrated that these surgeries can be performed with careful planning and with the required expertise in low resource setting. What is known about this topic That most African countries are lacking in adequate infrastructure needed for the repair of cleft lip and palate; That regional and general anaesthesia with endotracheal intubation are the two safe modes of anaesthesia for the repair of cleft lip. That most African countries are lacking in adequate infrastructure needed for the repair of cleft lip and palate; That regional and general anaesthesia with endotracheal intubation are the two safe modes of anaesthesia for the repair of cleft lip. What this study adds That with extra caution and care, cleft lip can be safely repaired in a resource poor setting using ketamine anaesthesia; That peri-incisional infilteration alone, if properly done, can be used for cleft lip repair in adult. That with extra caution and care, cleft lip can be safely repaired in a resource poor setting using ketamine anaesthesia; That peri-incisional infilteration alone, if properly done, can be used for cleft lip repair in adult.
Background: Cleft lip and palate is one of the more common congenital malformation and the most common craniofacial anomalies in children. The treatment is expensive and requires specialised care. Access to this care in middle and low income countries is compounded by socioeconomic status of patients and their relation and also the inadequacy of expertise in medical personnel and infrastructure. Objective: the study aimed to review the techniques of anaesthesia used in a low resource setting in terms of the techniques, outcome, and safety. Methods: This is a retrospective review of 79 cases done in a resource poor setting. Information regarding the patients, surgeries and modes of anaesthesia were retrieved from the case notes. Results: A total of 62 patients were operated with incomplete cleft accounting for 37 (59.7%), complete 23(37.1%), and 2 (3.2%) as bilateral. Forty-six (74.2%) of patients had their surgery done with ketamine anaesthesia without endotracheal intubation, 14 (22.6%) had regional anaesthesia and 2 patients (3.2%) had general anaesthesia with endotracheal intubation. Conclusions: This study demonstrates that with careful planning and expertise, cleft lip repair can be done safely in resource poor setting.
2,737
233
[ 42, 44 ]
8
[ "anaesthesia", "cleft", "patients", "lip", "cleft lip", "repair", "general", "intubation", "general anaesthesia", "surgery" ]
[ "complications cleft lip", "prevalence cleft lip", "anaesthesia cleft surgeries", "cleft surgeries need", "treatment orofacial cleft" ]
[CONTENT] Anaesthesia | cleft lip | techniques | setting [SUMMARY]
[CONTENT] Anaesthesia | cleft lip | techniques | setting [SUMMARY]
[CONTENT] Anaesthesia | cleft lip | techniques | setting [SUMMARY]
[CONTENT] Anaesthesia | cleft lip | techniques | setting [SUMMARY]
[CONTENT] Anaesthesia | cleft lip | techniques | setting [SUMMARY]
[CONTENT] Anaesthesia | cleft lip | techniques | setting [SUMMARY]
[CONTENT] Adolescent | Anesthesia | Anesthesia, Conduction | Anesthesia, General | Child | Child, Preschool | Cleft Lip | Developing Countries | Female | Humans | Infant | Intubation, Intratracheal | Ketamine | Male | Retrospective Studies | Socioeconomic Factors | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] Adolescent | Anesthesia | Anesthesia, Conduction | Anesthesia, General | Child | Child, Preschool | Cleft Lip | Developing Countries | Female | Humans | Infant | Intubation, Intratracheal | Ketamine | Male | Retrospective Studies | Socioeconomic Factors | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] Adolescent | Anesthesia | Anesthesia, Conduction | Anesthesia, General | Child | Child, Preschool | Cleft Lip | Developing Countries | Female | Humans | Infant | Intubation, Intratracheal | Ketamine | Male | Retrospective Studies | Socioeconomic Factors | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] Adolescent | Anesthesia | Anesthesia, Conduction | Anesthesia, General | Child | Child, Preschool | Cleft Lip | Developing Countries | Female | Humans | Infant | Intubation, Intratracheal | Ketamine | Male | Retrospective Studies | Socioeconomic Factors | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] Adolescent | Anesthesia | Anesthesia, Conduction | Anesthesia, General | Child | Child, Preschool | Cleft Lip | Developing Countries | Female | Humans | Infant | Intubation, Intratracheal | Ketamine | Male | Retrospective Studies | Socioeconomic Factors | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] Adolescent | Anesthesia | Anesthesia, Conduction | Anesthesia, General | Child | Child, Preschool | Cleft Lip | Developing Countries | Female | Humans | Infant | Intubation, Intratracheal | Ketamine | Male | Retrospective Studies | Socioeconomic Factors | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] complications cleft lip | prevalence cleft lip | anaesthesia cleft surgeries | cleft surgeries need | treatment orofacial cleft [SUMMARY]
[CONTENT] complications cleft lip | prevalence cleft lip | anaesthesia cleft surgeries | cleft surgeries need | treatment orofacial cleft [SUMMARY]
[CONTENT] complications cleft lip | prevalence cleft lip | anaesthesia cleft surgeries | cleft surgeries need | treatment orofacial cleft [SUMMARY]
[CONTENT] complications cleft lip | prevalence cleft lip | anaesthesia cleft surgeries | cleft surgeries need | treatment orofacial cleft [SUMMARY]
[CONTENT] complications cleft lip | prevalence cleft lip | anaesthesia cleft surgeries | cleft surgeries need | treatment orofacial cleft [SUMMARY]
[CONTENT] complications cleft lip | prevalence cleft lip | anaesthesia cleft surgeries | cleft surgeries need | treatment orofacial cleft [SUMMARY]
[CONTENT] anaesthesia | cleft | patients | lip | cleft lip | repair | general | intubation | general anaesthesia | surgery [SUMMARY]
[CONTENT] anaesthesia | cleft | patients | lip | cleft lip | repair | general | intubation | general anaesthesia | surgery [SUMMARY]
[CONTENT] anaesthesia | cleft | patients | lip | cleft lip | repair | general | intubation | general anaesthesia | surgery [SUMMARY]
[CONTENT] anaesthesia | cleft | patients | lip | cleft lip | repair | general | intubation | general anaesthesia | surgery [SUMMARY]
[CONTENT] anaesthesia | cleft | patients | lip | cleft lip | repair | general | intubation | general anaesthesia | surgery [SUMMARY]
[CONTENT] anaesthesia | cleft | patients | lip | cleft lip | repair | general | intubation | general anaesthesia | surgery [SUMMARY]
[CONTENT] cleft | anaesthesia | patients | anomalies | necessary | treatment | orofacial | orofacial cleft | airway | common [SUMMARY]
[CONTENT] patients | anaesthesia | group | preparation | dental preparation lidocaine | dental preparation | dental | lidocaine | preparation lidocaine | adrenaline [SUMMARY]
[CONTENT] patients | cleft | 34 | cleft lip | anaesthesia | lip | left | 12 | right | 17 [SUMMARY]
[CONTENT] cleft lip | lip | cleft | repair | anaesthesia | repair cleft lip | repair cleft | resource | cleft lip repair | setting [SUMMARY]
[CONTENT] cleft | anaesthesia | cleft lip | lip | patients | repair | repair cleft lip | repair cleft | general | author declare competing interest [SUMMARY]
[CONTENT] cleft | anaesthesia | cleft lip | lip | patients | repair | repair cleft lip | repair cleft | general | author declare competing interest [SUMMARY]
[CONTENT] ||| ||| ||| anaesthesia [SUMMARY]
[CONTENT] 79 ||| anaesthesia [SUMMARY]
[CONTENT] 62 | 37 | 59.7% | 23(37.1% | 2 | 3.2% ||| Forty-six | 74.2% | ketamine anaesthesia | 14 | 22.6% | 2 | 3.2% | anaesthesia [SUMMARY]
[CONTENT] [SUMMARY]
[CONTENT] ||| ||| ||| anaesthesia ||| 79 ||| anaesthesia ||| 62 | 37 | 59.7% | 23(37.1% | 2 | 3.2% ||| Forty-six | 74.2% | ketamine anaesthesia | 14 | 22.6% | 2 | 3.2% | anaesthesia ||| [SUMMARY]
[CONTENT] ||| ||| ||| anaesthesia ||| 79 ||| anaesthesia ||| 62 | 37 | 59.7% | 23(37.1% | 2 | 3.2% ||| Forty-six | 74.2% | ketamine anaesthesia | 14 | 22.6% | 2 | 3.2% | anaesthesia ||| [SUMMARY]
Treatment of inferior pole fracture of the patella with tension-free external immobilization.
36096769
Inferior pole fracture of the patella (IPFP) has small and comminuted fracture blocks that are hard to immobilize, and early mobilization may lead to loss of fracture reduction and immobilization failure. Therefore, a difficulty of treatment is to achieve rigid immobilization with early functional exercise. Here, a new treatment method of tension-free external immobilization is put forward.
BACKGROUND
The clinical data of 11 IPFP patients treated with tension-free external immobilization from May 2016 to June 2019 were retrospectively analyzed. There were six males and five females aged 39.0 ± 12.8 years (range 18-53 years). IPFP was caused by traffic accidents in five cases and falls in six cases. All cases had unilateral closed injuries, including four in the left knee and seven in the right knee. The preoperative range of motion of the knee was 22.0 ± 7.5° (10-30°). The time from injury to operation was 4.5 ± 1.3 d (3-7 d). The operation-related indices were recorded, and the function of the affected knee was assessed by the Böstman score.
METHODS
All operations were successful. The operation time was 56.4 ± 8.4 mi (45-70 min), the intraoperative blood loss was 54.1 ± 14.6 mL (40-80 mL), and the length of hospital stay was 7.5 ± 1.9 d (5-11 d). The mean follow-up time was 20.4 ± 7.6 months (12-36 months), the duration of fracture healing was 8.9 ± 1.5 weeks (7-12 weeks), and the removal time of the external immobilization device was 10.4 ± 0.9 weeks (9-12 weeks). At the last follow-up, the range of motion had no significant difference between the affected knee (129.7 ± 3.3°, range 125-135°) and the unaffected knee (130.8 ± 3.8°, range 126-137°) (t = 0.718, p < 0.05). The Böstman score of the knee was 29.2 ± 1.0 points (27-30 points), including 10 excellent cases (90.9%) and one good case (9.1%).
RESULTS
Tension-free external immobilization is a feasible treatment for IPFP. It can help with early functional exercise and achieve a satisfactory clinical effect.
CONCLUSION
[ "Bone Wires", "Female", "Fracture Fixation, Internal", "Fractures, Bone", "Humans", "Knee Injuries", "Male", "Patella", "Retrospective Studies" ]
9465923
Introduction
As a common intra-articular fracture, patellar fracture accounts for about 1% of systemic fractures [1]. Inferior pole fracture of the patella (IPFP) is a special type of patellar fracture occurring in the distal 1/4 of the patella, i.e., the point of attachment of the patellar tendon, made up mainly of cancellous bone with no articular surface coverage and not involved in the composition of the patellofemoral joint. As an extra-articular fracture [2], IPFP makes up 9.3–22.4% of patellar fractures [3]. IPFP has small and comminuted fracture blocks that are hard to immobilize, and it is also prone to displacement due to patellar tendon traction, so conservative treatment usually has unsatisfactory effects, necessitating surgical intervention. Currently, IPFP is primarily treated with two surgical methods. The first method is inferior patellar pole resection and patellar ligament repair and reconstruction, but this shortens the patellar ligament, leads to patellar lowering, and increases the pressure on the patellofemoral joint surface, resulting in complications such as limited knee flexion and anterior patellar pain [4]. The second method is reduction, and immobilization with steel wires, steel plates and sutures, aiming to preserve the anatomical integrity of the patella [5–9], but it has limited stability in the immobilization of smaller IPFPs, and early mobilization may lead to loss of fracture reduction and immobilization failure [9, 10, 11, 12]. Therefore, how to restore the knee function through early rehabilitation exercise at the same time as effective immobilization remains a clinical problem demanding a prompt solution. This study describes the characteristics of the new tension-free external immobilization device and retrospectively assesses its clinical effect in the treatment of IPFP.
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Results
All operations were successful. The operation time was 56.4 ± 8.4 min (45–70 min), the intraoperative blood loss was (54.1 ± 14.6) mL (40–80 mL), and the length of hospital stay was 7.5 ± 1.9 d (5–11 d). Redness and swelling occurred in the needle tract in three cases during the postoperative frame-carrying period, and it was handled by dressing changes and wet dressing with alcohol. Good needle tract healing was achieved within 1 week after removal of the external immobilization frame. The patients were followed up for 20.4 ± 7.6 months (12–36 months) and had fracture healing after 8.9 ± 1.5 weeks (7–12 weeks). The external immobilization device was removed at 10.4 ± 0.9 weeks (9–12 weeks). The range of motion of the knee was greatly improved at 1 month after surgery [88.6 ± 11.4° (70–105°)] compared with before surgery [22.0 ± 7.5° (10–30°)] (t = 16.187, p < 0.05). At the last follow-up, the range of motion of the knee [129.7 ± 3.3° (125–135°)] was further improved compared with that at 1 month after surgery (t = 11.474, p < 0.05) and had no significant difference from that on the unaffected side [130.8 ± 3.8° (126–137°)] (t = 0.718, p < 0.05). At the last follow-up, the Böstman score of the knee was 29.2 ± 1.0 points (27–30 points), including 10 excellent cases (90.9%) and one good case (9.1%). During the follow-up period, no complications, such as loss of fracture reduction, internal immobilization failure, or joint stiffness, occurred (Fig. 2).
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[ "General information", "Surgical techniques", "Postoperative care and follow-up", "Statistical analysis" ]
[ "Inclusion criteria: (1) unilateral IPFP diagnosed by imaging, (2) age ≥ 18 years, (3) normal bone mineral density, and 4) ≥ 12 months of follow-up. Exclusion criteria: (1) pathological fracture, (2) fracture of the femur, tibia, or fibula on the affected side, (3) popliteal blood vessel or nerve injury, (4) other acute or chronic diseases affecting knee function, and (5) multiple injuries or intolerance to surgery due to underlying diseases.\nSix males and five females aged 39.0 ± 12.8 years (range 18–53 years) were included in the study. IPFP was caused by traffic accidents in five cases and falls in six cases. All cases had unilateral closed injuries, including four injuries to the left knee and seven to the right knee. The preoperative range of motion of the knee was 22.0 ± 7.5° (10–30°). The time from injury to operation was 4.5 ± 1.3 d (3–7 d).\nThe same surgical team performed all the surgeries in this study. This study complied with the Declaration of Helsinki and was approved by the Ethics Committee of the 920 Hospital of Chinese People’s Liberation Army Joint Logistics Support Force. We obtained informed consent from all subjects and/or their legal guardian(s).", "The tension-free external immobilization device was mainly composed of Kirschner wire, threaded needle, external immobilization ring (including and 1/2 ring and a 2/3 ring), threaded rod, plain bolt, needle-passing bolt, threaded needle pad, joint hinge, and vertical linker (Fig. 1).\nAfter general anesthesia in the supine position, routine disinfection, and draping, a sterile tourniquet was put on the root of the thigh on the affected side and inflated. An anterior median longitudinal incision of the patella was made to expose the IPFP end (Fig. 1A). The fracture ends were handled under direct vision. If the avulsion fracture blocks were large, fracture immobilization and reduction were performed using olive-tipped needles or Kirschner wires with a blocking head. One-gauge absorbable sutures were used for suture immobilization (Fig. 1B). Two 1.5-mm Kirschner wires were cross-inserted percutaneously in the vertical direction of the waist segment of the patella, and the Kirschner wires and the 1/2 ring were fixed with needle-passing bolts (Fig. 1C). One 2.0-mm Kirschner wire was inserted below the tibial tubercle horizontally through the tibia, one 4.0-mm threaded needle was inserted vertically in front of the tibia on this plane, and the Kirschner wire, threaded needle, and 2/3 ring were connected and fixed with needle-passing bolts and threaded needle pads. One 4.0-mm threaded needle was inserted vertically in front of the tibia about 12 cm away from the distal end of the 2/3 ring, and the two 2/3 rings were bridged and fixed with threaded needles, needle-passing bolts, and threaded needle pads (Fig. 1D). Then the devices at both ends of the fracture were connected using the joint hinge, and the joint hinge was adjusted to allow for the good knee motion and no tension of the suture at the fracture end (Fig. 1E). Finally, the tourniquet was loosened, the incision was washed, the bleeding was stopped, and the surgical incision was closed.", "Within 24 h after surgery, we gave antibiotics to prevent infection and nonsteroidal anti-inflammatory drugs to control pain. The knee could be passively moved on the bed after surgery. The patients were encouraged to actively move the knee 1 d after surgery, they strengthened the knee function and walked on crutches with partial weight at 2 d, and they walked with no crutches at full weight at 1 week.\nThe anteroposterior and lateral X-rays of the knee on the affected side were reviewed within 3 d after surgery first, once a month until fracture healing and removal of external immobilization devices, and then once every 6 months. The operation duration, intraoperative blood loss, length of hospital stay, and surgical complications were recorded, and the fracture healing time, removal time of external immobilization device, and postoperative complications were recorded during the follow-up. Before surgery, 1 month after surgery, and at the last follow-up, the range of motion of the knee was measured. At the last follow-up, the range of motion was compared between the affected knee and unaffected knee, and the function of the affected knee was assessed by the Böstman score.", "SPSS 24.0 software (SPSS, USA) was used for analysis. Measurement data are expressed as (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\overline {\\text{x}}$$\\end{document}x¯ ± s). The range of motion of the knee was compared at different time points through the paired t-test. The test level was set as α = 0.05." ]
[ null, null, null, null ]
[ "Introduction", "Materials and methods", "General information", "Surgical techniques", "Postoperative care and follow-up", "Statistical analysis", "Results", "Discussion" ]
[ "As a common intra-articular fracture, patellar fracture accounts for about 1% of systemic fractures [1]. Inferior pole fracture of the patella (IPFP) is a special type of patellar fracture occurring in the distal 1/4 of the patella, i.e., the point of attachment of the patellar tendon, made up mainly of cancellous bone with no articular surface coverage and not involved in the composition of the patellofemoral joint. As an extra-articular fracture [2], IPFP makes up 9.3–22.4% of patellar fractures [3].\nIPFP has small and comminuted fracture blocks that are hard to immobilize, and it is also prone to displacement due to patellar tendon traction, so conservative treatment usually has unsatisfactory effects, necessitating surgical intervention. Currently, IPFP is primarily treated with two surgical methods. The first method is inferior patellar pole resection and patellar ligament repair and reconstruction, but this shortens the patellar ligament, leads to patellar lowering, and increases the pressure on the patellofemoral joint surface, resulting in complications such as limited knee flexion and anterior patellar pain [4]. The second method is reduction, and immobilization with steel wires, steel plates and sutures, aiming to preserve the anatomical integrity of the patella [5–9], but it has limited stability in the immobilization of smaller IPFPs, and early mobilization may lead to loss of fracture reduction and immobilization failure [9, 10, 11, 12]. Therefore, how to restore the knee function through early rehabilitation exercise at the same time as effective immobilization remains a clinical problem demanding a prompt solution.\nThis study describes the characteristics of the new tension-free external immobilization device and retrospectively assesses its clinical effect in the treatment of IPFP.", "General information Inclusion criteria: (1) unilateral IPFP diagnosed by imaging, (2) age ≥ 18 years, (3) normal bone mineral density, and 4) ≥ 12 months of follow-up. Exclusion criteria: (1) pathological fracture, (2) fracture of the femur, tibia, or fibula on the affected side, (3) popliteal blood vessel or nerve injury, (4) other acute or chronic diseases affecting knee function, and (5) multiple injuries or intolerance to surgery due to underlying diseases.\nSix males and five females aged 39.0 ± 12.8 years (range 18–53 years) were included in the study. IPFP was caused by traffic accidents in five cases and falls in six cases. All cases had unilateral closed injuries, including four injuries to the left knee and seven to the right knee. The preoperative range of motion of the knee was 22.0 ± 7.5° (10–30°). The time from injury to operation was 4.5 ± 1.3 d (3–7 d).\nThe same surgical team performed all the surgeries in this study. This study complied with the Declaration of Helsinki and was approved by the Ethics Committee of the 920 Hospital of Chinese People’s Liberation Army Joint Logistics Support Force. We obtained informed consent from all subjects and/or their legal guardian(s).\nInclusion criteria: (1) unilateral IPFP diagnosed by imaging, (2) age ≥ 18 years, (3) normal bone mineral density, and 4) ≥ 12 months of follow-up. Exclusion criteria: (1) pathological fracture, (2) fracture of the femur, tibia, or fibula on the affected side, (3) popliteal blood vessel or nerve injury, (4) other acute or chronic diseases affecting knee function, and (5) multiple injuries or intolerance to surgery due to underlying diseases.\nSix males and five females aged 39.0 ± 12.8 years (range 18–53 years) were included in the study. IPFP was caused by traffic accidents in five cases and falls in six cases. All cases had unilateral closed injuries, including four injuries to the left knee and seven to the right knee. The preoperative range of motion of the knee was 22.0 ± 7.5° (10–30°). The time from injury to operation was 4.5 ± 1.3 d (3–7 d).\nThe same surgical team performed all the surgeries in this study. This study complied with the Declaration of Helsinki and was approved by the Ethics Committee of the 920 Hospital of Chinese People’s Liberation Army Joint Logistics Support Force. We obtained informed consent from all subjects and/or their legal guardian(s).\nSurgical techniques The tension-free external immobilization device was mainly composed of Kirschner wire, threaded needle, external immobilization ring (including and 1/2 ring and a 2/3 ring), threaded rod, plain bolt, needle-passing bolt, threaded needle pad, joint hinge, and vertical linker (Fig. 1).\nAfter general anesthesia in the supine position, routine disinfection, and draping, a sterile tourniquet was put on the root of the thigh on the affected side and inflated. An anterior median longitudinal incision of the patella was made to expose the IPFP end (Fig. 1A). The fracture ends were handled under direct vision. If the avulsion fracture blocks were large, fracture immobilization and reduction were performed using olive-tipped needles or Kirschner wires with a blocking head. One-gauge absorbable sutures were used for suture immobilization (Fig. 1B). Two 1.5-mm Kirschner wires were cross-inserted percutaneously in the vertical direction of the waist segment of the patella, and the Kirschner wires and the 1/2 ring were fixed with needle-passing bolts (Fig. 1C). One 2.0-mm Kirschner wire was inserted below the tibial tubercle horizontally through the tibia, one 4.0-mm threaded needle was inserted vertically in front of the tibia on this plane, and the Kirschner wire, threaded needle, and 2/3 ring were connected and fixed with needle-passing bolts and threaded needle pads. One 4.0-mm threaded needle was inserted vertically in front of the tibia about 12 cm away from the distal end of the 2/3 ring, and the two 2/3 rings were bridged and fixed with threaded needles, needle-passing bolts, and threaded needle pads (Fig. 1D). Then the devices at both ends of the fracture were connected using the joint hinge, and the joint hinge was adjusted to allow for the good knee motion and no tension of the suture at the fracture end (Fig. 1E). Finally, the tourniquet was loosened, the incision was washed, the bleeding was stopped, and the surgical incision was closed.\nThe tension-free external immobilization device was mainly composed of Kirschner wire, threaded needle, external immobilization ring (including and 1/2 ring and a 2/3 ring), threaded rod, plain bolt, needle-passing bolt, threaded needle pad, joint hinge, and vertical linker (Fig. 1).\nAfter general anesthesia in the supine position, routine disinfection, and draping, a sterile tourniquet was put on the root of the thigh on the affected side and inflated. An anterior median longitudinal incision of the patella was made to expose the IPFP end (Fig. 1A). The fracture ends were handled under direct vision. If the avulsion fracture blocks were large, fracture immobilization and reduction were performed using olive-tipped needles or Kirschner wires with a blocking head. One-gauge absorbable sutures were used for suture immobilization (Fig. 1B). Two 1.5-mm Kirschner wires were cross-inserted percutaneously in the vertical direction of the waist segment of the patella, and the Kirschner wires and the 1/2 ring were fixed with needle-passing bolts (Fig. 1C). One 2.0-mm Kirschner wire was inserted below the tibial tubercle horizontally through the tibia, one 4.0-mm threaded needle was inserted vertically in front of the tibia on this plane, and the Kirschner wire, threaded needle, and 2/3 ring were connected and fixed with needle-passing bolts and threaded needle pads. One 4.0-mm threaded needle was inserted vertically in front of the tibia about 12 cm away from the distal end of the 2/3 ring, and the two 2/3 rings were bridged and fixed with threaded needles, needle-passing bolts, and threaded needle pads (Fig. 1D). Then the devices at both ends of the fracture were connected using the joint hinge, and the joint hinge was adjusted to allow for the good knee motion and no tension of the suture at the fracture end (Fig. 1E). Finally, the tourniquet was loosened, the incision was washed, the bleeding was stopped, and the surgical incision was closed.\nPostoperative care and follow-up Within 24 h after surgery, we gave antibiotics to prevent infection and nonsteroidal anti-inflammatory drugs to control pain. The knee could be passively moved on the bed after surgery. The patients were encouraged to actively move the knee 1 d after surgery, they strengthened the knee function and walked on crutches with partial weight at 2 d, and they walked with no crutches at full weight at 1 week.\nThe anteroposterior and lateral X-rays of the knee on the affected side were reviewed within 3 d after surgery first, once a month until fracture healing and removal of external immobilization devices, and then once every 6 months. The operation duration, intraoperative blood loss, length of hospital stay, and surgical complications were recorded, and the fracture healing time, removal time of external immobilization device, and postoperative complications were recorded during the follow-up. Before surgery, 1 month after surgery, and at the last follow-up, the range of motion of the knee was measured. At the last follow-up, the range of motion was compared between the affected knee and unaffected knee, and the function of the affected knee was assessed by the Böstman score.\nWithin 24 h after surgery, we gave antibiotics to prevent infection and nonsteroidal anti-inflammatory drugs to control pain. The knee could be passively moved on the bed after surgery. The patients were encouraged to actively move the knee 1 d after surgery, they strengthened the knee function and walked on crutches with partial weight at 2 d, and they walked with no crutches at full weight at 1 week.\nThe anteroposterior and lateral X-rays of the knee on the affected side were reviewed within 3 d after surgery first, once a month until fracture healing and removal of external immobilization devices, and then once every 6 months. The operation duration, intraoperative blood loss, length of hospital stay, and surgical complications were recorded, and the fracture healing time, removal time of external immobilization device, and postoperative complications were recorded during the follow-up. Before surgery, 1 month after surgery, and at the last follow-up, the range of motion of the knee was measured. At the last follow-up, the range of motion was compared between the affected knee and unaffected knee, and the function of the affected knee was assessed by the Böstman score.\nStatistical analysis SPSS 24.0 software (SPSS, USA) was used for analysis. Measurement data are expressed as (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\overline {\\text{x}}$$\\end{document}x¯ ± s). The range of motion of the knee was compared at different time points through the paired t-test. The test level was set as α = 0.05.\nSPSS 24.0 software (SPSS, USA) was used for analysis. Measurement data are expressed as (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\overline {\\text{x}}$$\\end{document}x¯ ± s). The range of motion of the knee was compared at different time points through the paired t-test. The test level was set as α = 0.05.", "Inclusion criteria: (1) unilateral IPFP diagnosed by imaging, (2) age ≥ 18 years, (3) normal bone mineral density, and 4) ≥ 12 months of follow-up. Exclusion criteria: (1) pathological fracture, (2) fracture of the femur, tibia, or fibula on the affected side, (3) popliteal blood vessel or nerve injury, (4) other acute or chronic diseases affecting knee function, and (5) multiple injuries or intolerance to surgery due to underlying diseases.\nSix males and five females aged 39.0 ± 12.8 years (range 18–53 years) were included in the study. IPFP was caused by traffic accidents in five cases and falls in six cases. All cases had unilateral closed injuries, including four injuries to the left knee and seven to the right knee. The preoperative range of motion of the knee was 22.0 ± 7.5° (10–30°). The time from injury to operation was 4.5 ± 1.3 d (3–7 d).\nThe same surgical team performed all the surgeries in this study. This study complied with the Declaration of Helsinki and was approved by the Ethics Committee of the 920 Hospital of Chinese People’s Liberation Army Joint Logistics Support Force. We obtained informed consent from all subjects and/or their legal guardian(s).", "The tension-free external immobilization device was mainly composed of Kirschner wire, threaded needle, external immobilization ring (including and 1/2 ring and a 2/3 ring), threaded rod, plain bolt, needle-passing bolt, threaded needle pad, joint hinge, and vertical linker (Fig. 1).\nAfter general anesthesia in the supine position, routine disinfection, and draping, a sterile tourniquet was put on the root of the thigh on the affected side and inflated. An anterior median longitudinal incision of the patella was made to expose the IPFP end (Fig. 1A). The fracture ends were handled under direct vision. If the avulsion fracture blocks were large, fracture immobilization and reduction were performed using olive-tipped needles or Kirschner wires with a blocking head. One-gauge absorbable sutures were used for suture immobilization (Fig. 1B). Two 1.5-mm Kirschner wires were cross-inserted percutaneously in the vertical direction of the waist segment of the patella, and the Kirschner wires and the 1/2 ring were fixed with needle-passing bolts (Fig. 1C). One 2.0-mm Kirschner wire was inserted below the tibial tubercle horizontally through the tibia, one 4.0-mm threaded needle was inserted vertically in front of the tibia on this plane, and the Kirschner wire, threaded needle, and 2/3 ring were connected and fixed with needle-passing bolts and threaded needle pads. One 4.0-mm threaded needle was inserted vertically in front of the tibia about 12 cm away from the distal end of the 2/3 ring, and the two 2/3 rings were bridged and fixed with threaded needles, needle-passing bolts, and threaded needle pads (Fig. 1D). Then the devices at both ends of the fracture were connected using the joint hinge, and the joint hinge was adjusted to allow for the good knee motion and no tension of the suture at the fracture end (Fig. 1E). Finally, the tourniquet was loosened, the incision was washed, the bleeding was stopped, and the surgical incision was closed.", "Within 24 h after surgery, we gave antibiotics to prevent infection and nonsteroidal anti-inflammatory drugs to control pain. The knee could be passively moved on the bed after surgery. The patients were encouraged to actively move the knee 1 d after surgery, they strengthened the knee function and walked on crutches with partial weight at 2 d, and they walked with no crutches at full weight at 1 week.\nThe anteroposterior and lateral X-rays of the knee on the affected side were reviewed within 3 d after surgery first, once a month until fracture healing and removal of external immobilization devices, and then once every 6 months. The operation duration, intraoperative blood loss, length of hospital stay, and surgical complications were recorded, and the fracture healing time, removal time of external immobilization device, and postoperative complications were recorded during the follow-up. Before surgery, 1 month after surgery, and at the last follow-up, the range of motion of the knee was measured. At the last follow-up, the range of motion was compared between the affected knee and unaffected knee, and the function of the affected knee was assessed by the Böstman score.", "SPSS 24.0 software (SPSS, USA) was used for analysis. Measurement data are expressed as (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\overline {\\text{x}}$$\\end{document}x¯ ± s). The range of motion of the knee was compared at different time points through the paired t-test. The test level was set as α = 0.05.", "All operations were successful. The operation time was 56.4 ± 8.4 min (45–70 min), the intraoperative blood loss was (54.1 ± 14.6) mL (40–80 mL), and the length of hospital stay was 7.5 ± 1.9 d (5–11 d). Redness and swelling occurred in the needle tract in three cases during the postoperative frame-carrying period, and it was handled by dressing changes and wet dressing with alcohol. Good needle tract healing was achieved within 1 week after removal of the external immobilization frame. The patients were followed up for 20.4 ± 7.6 months (12–36 months) and had fracture healing after 8.9 ± 1.5 weeks (7–12 weeks). The external immobilization device was removed at 10.4 ± 0.9 weeks (9–12 weeks).\nThe range of motion of the knee was greatly improved at 1 month after surgery [88.6 ± 11.4° (70–105°)] compared with before surgery [22.0 ± 7.5° (10–30°)] (t = 16.187, p < 0.05). At the last follow-up, the range of motion of the knee [129.7 ± 3.3° (125–135°)] was further improved compared with that at 1 month after surgery (t = 11.474, p < 0.05) and had no significant difference from that on the unaffected side [130.8 ± 3.8° (126–137°)] (t = 0.718, p < 0.05). At the last follow-up, the Böstman score of the knee was 29.2 ± 1.0 points (27–30 points), including 10 excellent cases (90.9%) and one good case (9.1%). During the follow-up period, no complications, such as loss of fracture reduction, internal immobilization failure, or joint stiffness, occurred (Fig. 2).", "IPFP has small and severely comminuted fracture blocks that are hard to immobilize. No consensus has been reached on the treatment of IPFP, and there are pros and cons for each treatment method reported in the literature [13]. Most treatments entail resection or reduction of fracture blocks. Most scholars believe that reduction of fracture blocks can restore the normal anatomical structure of the patella to the greatest extent, while resection of fracture blocks will result in patellar defect, patellofemoral joint dislocation, high tension of the patellar tendon, and difficulty with tendon-bone healing [4]. Fracture blocks are preserved and reduced mostly by internal immobilization using steel plates, steel wires, and sutures. Patellar concentrators are a commonly used immobilization device in the clinic that can concentrically gather the displaced patellar fracture blocks [6], but they are less effective in the immobilization of smaller IPFPs. Basket plates can effectively gather the fracture blocks and restore the knee extension function [5, 14], but they cause great damage to the structure and function of the patellar ligament, such as shortening of the patellar ligament, destruction of blood supply of the patellar ligament, and internal immobilization irritation during knee flexion [14, 15, 16]. Due to dispersed cohesion, traditional steel wire or suture cerclage fails to create synergy in immobilization and causes unstable immobilization, and fracture block separation and rotational displacement occur easily during knee flexion and extension [17]. Postoperative auxiliary plaster immobilization is prone to cause knee stiffness and knee functional limitation. Silk thread or suture anchors can be used to suture the patellar fracture blocks, but they fail to provide enough strength for early functional exercise [18]. Tension bands with Kirschner wires or cannulated screws can effectively immobilize the fracture blocks and antagonize the tension of anterior patellar ligament, facilitating postoperative early functional exercise and yielding good prognoses [19]. However, they behave poorly in the immobilization of IPFP and are prone to loosening after surgery, leading to internal immobilization failure [19, 20]. At present, rigid immobilization with early functional exercise following IPFP reduction remains a difficulty [21, 22].\nIn view of the difficulty treating IPFP and the limitations of the above surgical methods, we put forward a new treatment method tension-free external immobilization. The external immobilization device includes a patellar immobilization part and a tibial immobilization part, as well as a joint hinge connecting the two parts. This method can achieve the stable immobilization in 3D space, and the sutured fracture end can be in a tension-free state (by adjusting the joint hinge during surgery) while ensuring the good range of motion of the knee. In this study, good fracture healing was achieved in all 11 patients after tension-free external immobilization. Redness and swelling occurred in the needle tract in three cases during the postoperative frame-carrying period, and it was healed by symptomatic treatment within 1 week after removal of the external immobilization frame. No other surgical complications occurred. At the last follow-up, the Böstman score of the knee was 29.2 ± 1.0 points, including 10 excellent cases and one good case, suggesting satisfactory clinical efficacy.\nAs can be seen from the technical characteristics, the advantages of the tension-free external immobilization are as follows: (1) Tension-free immobilization. With the upper end fixed at the waist segment of the patella and the lower end fixed at the upper segment of the tibia, the fracture end can be reduced and immobilized in a tension-free state. By adjusting the joint hinge, the knee motion of the fracture end can be kept in a tension-free state, thereby avoiding fracture displacement or loss of immobilization due to high tension. (2) Early functional exercise. The external immobilization device achieves overall stability through 3D-space immobilization. Since there is no tension at the fracture end, the patient can move the knee on the bed immediately after surgery, then ambulate with a walker or crutches the day after surgery, avoiding immobilization-related complications and joint stiffness. (3) Small surgical trauma. No excessive periostea or soft tissues are stripped off during open reduction, and the Kirschner wires used to immobilize the patella are thin and far away from the fracture end, so fracture healing can be facilitated to the greatest extent. (4) Easy removal of the external immobilization device. The external immobilization device can be completely removed in the outpatient clinic after fracture healing. First, the external immobilization ring and the threaded needle are removed, one end of the Kirschner wire is cut off and sterilized, and then the wire is withdrawn through the other end, avoiding re-operation under anesthesia.\nPrecautions for surgery: (1) When the fracture end is cut and exposed, no excessive periostea and soft tissues can be stripped off. The fracture end is sutured in a tension-free state and in a knee-extension position. If the avulsion fracture blocks are large, the fracture immobilization and reduction can be performed using olive-tipped needles or Kirschner wires with a blocking head. The wire can be fixed with the patellar 1/2 ring using the vertical linker. (2) To immobilize the patellar end, the waist segment of the patella is most often selected because it is the most “hypertrophic” part of the patella. Two Kirschner wires are cross-inserted percutaneously on the cross-section of the waist, in a medial upper-lateral lower and lateral upper-medial lower direction, respectively. The two Kirschner wires should be on the same cross-section and not damage the articular surface, and the skin at the entry point should be free of tension. (3) To immobilize the tibial end, one 2.0-mm Kirschner wire is usually inserted horizontally below the tibial tubercle, and one threaded needle is inserted vertically in front of the tibia on this plane to fix the 1/2 ring. This plane is more conducive to the installation of the joint hinge. (4) When installing the joint hinge, make the knee joint of the patient in the straight position, and install the joint hinge on the lower sides of the patella at the height of the middle axial plane of the patella. During the operation, appropriate adjustments should be made according to the movement of the knee joint to ensure that the movement of the knee joint is consistent with that of the hinge and that the fracture end is in a tension-free state.\nIn conclusion, tension-free external immobilization is a safe and feasible surgical treatment method for IPFP, and it can benefit the early functional exercise with a satisfactory clinical effect. Even so, there are some deficiencies in this technique. For example, the external immobilization device can bring inconvenience to the patient’s life, especially in winter. Skin pinholes increase the risk of infection. Although the tension-free state can enhance the patellar fracture healing, the tension of the proximal patellar tendon may be increased. The sample of this study was small, and there may be a certain bias in the assessment of clinical efficacy, so larger studies are needed.\n\nFig. 1Procedures of tension-free external immobilization. A An anterior median incision of the patella was made to expose the fracture end. B The fracture end was sutured in a knee-extension position. C Kirschner wires were cross-inserted in the vertical direction of the waist segment of the patella and fixed with the 1/2 ring. D The two 2/3 rings were bridged and fixed with Kirschner wires and threaded needles on the plane of tibial tubercle and two distal planes. E The devices at the patellar end and the tibial end were connected and fixed using the joint hinge, and the joint motion and tension-free state of the fracture end were maintained\nProcedures of tension-free external immobilization. A An anterior median incision of the patella was made to expose the fracture end. B The fracture end was sutured in a knee-extension position. C Kirschner wires were cross-inserted in the vertical direction of the waist segment of the patella and fixed with the 1/2 ring. D The two 2/3 rings were bridged and fixed with Kirschner wires and threaded needles on the plane of tibial tubercle and two distal planes. E The devices at the patellar end and the tibial end were connected and fixed using the joint hinge, and the joint motion and tension-free state of the fracture end were maintained\n\nFig. 2 A 18-year-old male patient with right IPFP due to a fall. A Anteroposterior and lateral X-rays of the right knee before surgery. B After avulsion fracture reduction, the fracture block was immobilized using Kirschner wires with a blocking head, and 1-gauge absorbable sutures were used for suture immobilization. C Postoperative tension-free external immobilization device. D Anteroposterior and lateral X-rays of the right knee after surgery. E Postoperative frame-carrying conditions. F The knee function was good after removal of the external immobilization frame. G Anteroposterior and lateral X-rays of the right knee after removal of the external immobilization frame\n A 18-year-old male patient with right IPFP due to a fall. A Anteroposterior and lateral X-rays of the right knee before surgery. B After avulsion fracture reduction, the fracture block was immobilized using Kirschner wires with a blocking head, and 1-gauge absorbable sutures were used for suture immobilization. C Postoperative tension-free external immobilization device. D Anteroposterior and lateral X-rays of the right knee after surgery. E Postoperative frame-carrying conditions. F The knee function was good after removal of the external immobilization frame. G Anteroposterior and lateral X-rays of the right knee after removal of the external immobilization frame" ]
[ "introduction", "materials|methods", null, null, null, null, "results", "discussion" ]
[ "External immobilization", "Inferior pole fracture of patella", "Knee" ]
Introduction: As a common intra-articular fracture, patellar fracture accounts for about 1% of systemic fractures [1]. Inferior pole fracture of the patella (IPFP) is a special type of patellar fracture occurring in the distal 1/4 of the patella, i.e., the point of attachment of the patellar tendon, made up mainly of cancellous bone with no articular surface coverage and not involved in the composition of the patellofemoral joint. As an extra-articular fracture [2], IPFP makes up 9.3–22.4% of patellar fractures [3]. IPFP has small and comminuted fracture blocks that are hard to immobilize, and it is also prone to displacement due to patellar tendon traction, so conservative treatment usually has unsatisfactory effects, necessitating surgical intervention. Currently, IPFP is primarily treated with two surgical methods. The first method is inferior patellar pole resection and patellar ligament repair and reconstruction, but this shortens the patellar ligament, leads to patellar lowering, and increases the pressure on the patellofemoral joint surface, resulting in complications such as limited knee flexion and anterior patellar pain [4]. The second method is reduction, and immobilization with steel wires, steel plates and sutures, aiming to preserve the anatomical integrity of the patella [5–9], but it has limited stability in the immobilization of smaller IPFPs, and early mobilization may lead to loss of fracture reduction and immobilization failure [9, 10, 11, 12]. Therefore, how to restore the knee function through early rehabilitation exercise at the same time as effective immobilization remains a clinical problem demanding a prompt solution. This study describes the characteristics of the new tension-free external immobilization device and retrospectively assesses its clinical effect in the treatment of IPFP. Materials and methods: General information Inclusion criteria: (1) unilateral IPFP diagnosed by imaging, (2) age ≥ 18 years, (3) normal bone mineral density, and 4) ≥ 12 months of follow-up. Exclusion criteria: (1) pathological fracture, (2) fracture of the femur, tibia, or fibula on the affected side, (3) popliteal blood vessel or nerve injury, (4) other acute or chronic diseases affecting knee function, and (5) multiple injuries or intolerance to surgery due to underlying diseases. Six males and five females aged 39.0 ± 12.8 years (range 18–53 years) were included in the study. IPFP was caused by traffic accidents in five cases and falls in six cases. All cases had unilateral closed injuries, including four injuries to the left knee and seven to the right knee. The preoperative range of motion of the knee was 22.0 ± 7.5° (10–30°). The time from injury to operation was 4.5 ± 1.3 d (3–7 d). The same surgical team performed all the surgeries in this study. This study complied with the Declaration of Helsinki and was approved by the Ethics Committee of the 920 Hospital of Chinese People’s Liberation Army Joint Logistics Support Force. We obtained informed consent from all subjects and/or their legal guardian(s). Inclusion criteria: (1) unilateral IPFP diagnosed by imaging, (2) age ≥ 18 years, (3) normal bone mineral density, and 4) ≥ 12 months of follow-up. Exclusion criteria: (1) pathological fracture, (2) fracture of the femur, tibia, or fibula on the affected side, (3) popliteal blood vessel or nerve injury, (4) other acute or chronic diseases affecting knee function, and (5) multiple injuries or intolerance to surgery due to underlying diseases. Six males and five females aged 39.0 ± 12.8 years (range 18–53 years) were included in the study. IPFP was caused by traffic accidents in five cases and falls in six cases. All cases had unilateral closed injuries, including four injuries to the left knee and seven to the right knee. The preoperative range of motion of the knee was 22.0 ± 7.5° (10–30°). The time from injury to operation was 4.5 ± 1.3 d (3–7 d). The same surgical team performed all the surgeries in this study. This study complied with the Declaration of Helsinki and was approved by the Ethics Committee of the 920 Hospital of Chinese People’s Liberation Army Joint Logistics Support Force. We obtained informed consent from all subjects and/or their legal guardian(s). Surgical techniques The tension-free external immobilization device was mainly composed of Kirschner wire, threaded needle, external immobilization ring (including and 1/2 ring and a 2/3 ring), threaded rod, plain bolt, needle-passing bolt, threaded needle pad, joint hinge, and vertical linker (Fig. 1). After general anesthesia in the supine position, routine disinfection, and draping, a sterile tourniquet was put on the root of the thigh on the affected side and inflated. An anterior median longitudinal incision of the patella was made to expose the IPFP end (Fig. 1A). The fracture ends were handled under direct vision. If the avulsion fracture blocks were large, fracture immobilization and reduction were performed using olive-tipped needles or Kirschner wires with a blocking head. One-gauge absorbable sutures were used for suture immobilization (Fig. 1B). Two 1.5-mm Kirschner wires were cross-inserted percutaneously in the vertical direction of the waist segment of the patella, and the Kirschner wires and the 1/2 ring were fixed with needle-passing bolts (Fig. 1C). One 2.0-mm Kirschner wire was inserted below the tibial tubercle horizontally through the tibia, one 4.0-mm threaded needle was inserted vertically in front of the tibia on this plane, and the Kirschner wire, threaded needle, and 2/3 ring were connected and fixed with needle-passing bolts and threaded needle pads. One 4.0-mm threaded needle was inserted vertically in front of the tibia about 12 cm away from the distal end of the 2/3 ring, and the two 2/3 rings were bridged and fixed with threaded needles, needle-passing bolts, and threaded needle pads (Fig. 1D). Then the devices at both ends of the fracture were connected using the joint hinge, and the joint hinge was adjusted to allow for the good knee motion and no tension of the suture at the fracture end (Fig. 1E). Finally, the tourniquet was loosened, the incision was washed, the bleeding was stopped, and the surgical incision was closed. The tension-free external immobilization device was mainly composed of Kirschner wire, threaded needle, external immobilization ring (including and 1/2 ring and a 2/3 ring), threaded rod, plain bolt, needle-passing bolt, threaded needle pad, joint hinge, and vertical linker (Fig. 1). After general anesthesia in the supine position, routine disinfection, and draping, a sterile tourniquet was put on the root of the thigh on the affected side and inflated. An anterior median longitudinal incision of the patella was made to expose the IPFP end (Fig. 1A). The fracture ends were handled under direct vision. If the avulsion fracture blocks were large, fracture immobilization and reduction were performed using olive-tipped needles or Kirschner wires with a blocking head. One-gauge absorbable sutures were used for suture immobilization (Fig. 1B). Two 1.5-mm Kirschner wires were cross-inserted percutaneously in the vertical direction of the waist segment of the patella, and the Kirschner wires and the 1/2 ring were fixed with needle-passing bolts (Fig. 1C). One 2.0-mm Kirschner wire was inserted below the tibial tubercle horizontally through the tibia, one 4.0-mm threaded needle was inserted vertically in front of the tibia on this plane, and the Kirschner wire, threaded needle, and 2/3 ring were connected and fixed with needle-passing bolts and threaded needle pads. One 4.0-mm threaded needle was inserted vertically in front of the tibia about 12 cm away from the distal end of the 2/3 ring, and the two 2/3 rings were bridged and fixed with threaded needles, needle-passing bolts, and threaded needle pads (Fig. 1D). Then the devices at both ends of the fracture were connected using the joint hinge, and the joint hinge was adjusted to allow for the good knee motion and no tension of the suture at the fracture end (Fig. 1E). Finally, the tourniquet was loosened, the incision was washed, the bleeding was stopped, and the surgical incision was closed. Postoperative care and follow-up Within 24 h after surgery, we gave antibiotics to prevent infection and nonsteroidal anti-inflammatory drugs to control pain. The knee could be passively moved on the bed after surgery. The patients were encouraged to actively move the knee 1 d after surgery, they strengthened the knee function and walked on crutches with partial weight at 2 d, and they walked with no crutches at full weight at 1 week. The anteroposterior and lateral X-rays of the knee on the affected side were reviewed within 3 d after surgery first, once a month until fracture healing and removal of external immobilization devices, and then once every 6 months. The operation duration, intraoperative blood loss, length of hospital stay, and surgical complications were recorded, and the fracture healing time, removal time of external immobilization device, and postoperative complications were recorded during the follow-up. Before surgery, 1 month after surgery, and at the last follow-up, the range of motion of the knee was measured. At the last follow-up, the range of motion was compared between the affected knee and unaffected knee, and the function of the affected knee was assessed by the Böstman score. Within 24 h after surgery, we gave antibiotics to prevent infection and nonsteroidal anti-inflammatory drugs to control pain. The knee could be passively moved on the bed after surgery. The patients were encouraged to actively move the knee 1 d after surgery, they strengthened the knee function and walked on crutches with partial weight at 2 d, and they walked with no crutches at full weight at 1 week. The anteroposterior and lateral X-rays of the knee on the affected side were reviewed within 3 d after surgery first, once a month until fracture healing and removal of external immobilization devices, and then once every 6 months. The operation duration, intraoperative blood loss, length of hospital stay, and surgical complications were recorded, and the fracture healing time, removal time of external immobilization device, and postoperative complications were recorded during the follow-up. Before surgery, 1 month after surgery, and at the last follow-up, the range of motion of the knee was measured. At the last follow-up, the range of motion was compared between the affected knee and unaffected knee, and the function of the affected knee was assessed by the Böstman score. Statistical analysis SPSS 24.0 software (SPSS, USA) was used for analysis. Measurement data are expressed as (\documentclass[12pt]{minimal} \usepackage{amsmath} \usepackage{wasysym} \usepackage{amsfonts} \usepackage{amssymb} \usepackage{amsbsy} \usepackage{mathrsfs} \usepackage{upgreek} \setlength{\oddsidemargin}{-69pt} \begin{document}$$\overline {\text{x}}$$\end{document}x¯ ± s). The range of motion of the knee was compared at different time points through the paired t-test. The test level was set as α = 0.05. SPSS 24.0 software (SPSS, USA) was used for analysis. Measurement data are expressed as (\documentclass[12pt]{minimal} \usepackage{amsmath} \usepackage{wasysym} \usepackage{amsfonts} \usepackage{amssymb} \usepackage{amsbsy} \usepackage{mathrsfs} \usepackage{upgreek} \setlength{\oddsidemargin}{-69pt} \begin{document}$$\overline {\text{x}}$$\end{document}x¯ ± s). The range of motion of the knee was compared at different time points through the paired t-test. The test level was set as α = 0.05. General information: Inclusion criteria: (1) unilateral IPFP diagnosed by imaging, (2) age ≥ 18 years, (3) normal bone mineral density, and 4) ≥ 12 months of follow-up. Exclusion criteria: (1) pathological fracture, (2) fracture of the femur, tibia, or fibula on the affected side, (3) popliteal blood vessel or nerve injury, (4) other acute or chronic diseases affecting knee function, and (5) multiple injuries or intolerance to surgery due to underlying diseases. Six males and five females aged 39.0 ± 12.8 years (range 18–53 years) were included in the study. IPFP was caused by traffic accidents in five cases and falls in six cases. All cases had unilateral closed injuries, including four injuries to the left knee and seven to the right knee. The preoperative range of motion of the knee was 22.0 ± 7.5° (10–30°). The time from injury to operation was 4.5 ± 1.3 d (3–7 d). The same surgical team performed all the surgeries in this study. This study complied with the Declaration of Helsinki and was approved by the Ethics Committee of the 920 Hospital of Chinese People’s Liberation Army Joint Logistics Support Force. We obtained informed consent from all subjects and/or their legal guardian(s). Surgical techniques: The tension-free external immobilization device was mainly composed of Kirschner wire, threaded needle, external immobilization ring (including and 1/2 ring and a 2/3 ring), threaded rod, plain bolt, needle-passing bolt, threaded needle pad, joint hinge, and vertical linker (Fig. 1). After general anesthesia in the supine position, routine disinfection, and draping, a sterile tourniquet was put on the root of the thigh on the affected side and inflated. An anterior median longitudinal incision of the patella was made to expose the IPFP end (Fig. 1A). The fracture ends were handled under direct vision. If the avulsion fracture blocks were large, fracture immobilization and reduction were performed using olive-tipped needles or Kirschner wires with a blocking head. One-gauge absorbable sutures were used for suture immobilization (Fig. 1B). Two 1.5-mm Kirschner wires were cross-inserted percutaneously in the vertical direction of the waist segment of the patella, and the Kirschner wires and the 1/2 ring were fixed with needle-passing bolts (Fig. 1C). One 2.0-mm Kirschner wire was inserted below the tibial tubercle horizontally through the tibia, one 4.0-mm threaded needle was inserted vertically in front of the tibia on this plane, and the Kirschner wire, threaded needle, and 2/3 ring were connected and fixed with needle-passing bolts and threaded needle pads. One 4.0-mm threaded needle was inserted vertically in front of the tibia about 12 cm away from the distal end of the 2/3 ring, and the two 2/3 rings were bridged and fixed with threaded needles, needle-passing bolts, and threaded needle pads (Fig. 1D). Then the devices at both ends of the fracture were connected using the joint hinge, and the joint hinge was adjusted to allow for the good knee motion and no tension of the suture at the fracture end (Fig. 1E). Finally, the tourniquet was loosened, the incision was washed, the bleeding was stopped, and the surgical incision was closed. Postoperative care and follow-up: Within 24 h after surgery, we gave antibiotics to prevent infection and nonsteroidal anti-inflammatory drugs to control pain. The knee could be passively moved on the bed after surgery. The patients were encouraged to actively move the knee 1 d after surgery, they strengthened the knee function and walked on crutches with partial weight at 2 d, and they walked with no crutches at full weight at 1 week. The anteroposterior and lateral X-rays of the knee on the affected side were reviewed within 3 d after surgery first, once a month until fracture healing and removal of external immobilization devices, and then once every 6 months. The operation duration, intraoperative blood loss, length of hospital stay, and surgical complications were recorded, and the fracture healing time, removal time of external immobilization device, and postoperative complications were recorded during the follow-up. Before surgery, 1 month after surgery, and at the last follow-up, the range of motion of the knee was measured. At the last follow-up, the range of motion was compared between the affected knee and unaffected knee, and the function of the affected knee was assessed by the Böstman score. Statistical analysis: SPSS 24.0 software (SPSS, USA) was used for analysis. Measurement data are expressed as (\documentclass[12pt]{minimal} \usepackage{amsmath} \usepackage{wasysym} \usepackage{amsfonts} \usepackage{amssymb} \usepackage{amsbsy} \usepackage{mathrsfs} \usepackage{upgreek} \setlength{\oddsidemargin}{-69pt} \begin{document}$$\overline {\text{x}}$$\end{document}x¯ ± s). The range of motion of the knee was compared at different time points through the paired t-test. The test level was set as α = 0.05. Results: All operations were successful. The operation time was 56.4 ± 8.4 min (45–70 min), the intraoperative blood loss was (54.1 ± 14.6) mL (40–80 mL), and the length of hospital stay was 7.5 ± 1.9 d (5–11 d). Redness and swelling occurred in the needle tract in three cases during the postoperative frame-carrying period, and it was handled by dressing changes and wet dressing with alcohol. Good needle tract healing was achieved within 1 week after removal of the external immobilization frame. The patients were followed up for 20.4 ± 7.6 months (12–36 months) and had fracture healing after 8.9 ± 1.5 weeks (7–12 weeks). The external immobilization device was removed at 10.4 ± 0.9 weeks (9–12 weeks). The range of motion of the knee was greatly improved at 1 month after surgery [88.6 ± 11.4° (70–105°)] compared with before surgery [22.0 ± 7.5° (10–30°)] (t = 16.187, p < 0.05). At the last follow-up, the range of motion of the knee [129.7 ± 3.3° (125–135°)] was further improved compared with that at 1 month after surgery (t = 11.474, p < 0.05) and had no significant difference from that on the unaffected side [130.8 ± 3.8° (126–137°)] (t = 0.718, p < 0.05). At the last follow-up, the Böstman score of the knee was 29.2 ± 1.0 points (27–30 points), including 10 excellent cases (90.9%) and one good case (9.1%). During the follow-up period, no complications, such as loss of fracture reduction, internal immobilization failure, or joint stiffness, occurred (Fig. 2). Discussion: IPFP has small and severely comminuted fracture blocks that are hard to immobilize. No consensus has been reached on the treatment of IPFP, and there are pros and cons for each treatment method reported in the literature [13]. Most treatments entail resection or reduction of fracture blocks. Most scholars believe that reduction of fracture blocks can restore the normal anatomical structure of the patella to the greatest extent, while resection of fracture blocks will result in patellar defect, patellofemoral joint dislocation, high tension of the patellar tendon, and difficulty with tendon-bone healing [4]. Fracture blocks are preserved and reduced mostly by internal immobilization using steel plates, steel wires, and sutures. Patellar concentrators are a commonly used immobilization device in the clinic that can concentrically gather the displaced patellar fracture blocks [6], but they are less effective in the immobilization of smaller IPFPs. Basket plates can effectively gather the fracture blocks and restore the knee extension function [5, 14], but they cause great damage to the structure and function of the patellar ligament, such as shortening of the patellar ligament, destruction of blood supply of the patellar ligament, and internal immobilization irritation during knee flexion [14, 15, 16]. Due to dispersed cohesion, traditional steel wire or suture cerclage fails to create synergy in immobilization and causes unstable immobilization, and fracture block separation and rotational displacement occur easily during knee flexion and extension [17]. Postoperative auxiliary plaster immobilization is prone to cause knee stiffness and knee functional limitation. Silk thread or suture anchors can be used to suture the patellar fracture blocks, but they fail to provide enough strength for early functional exercise [18]. Tension bands with Kirschner wires or cannulated screws can effectively immobilize the fracture blocks and antagonize the tension of anterior patellar ligament, facilitating postoperative early functional exercise and yielding good prognoses [19]. However, they behave poorly in the immobilization of IPFP and are prone to loosening after surgery, leading to internal immobilization failure [19, 20]. At present, rigid immobilization with early functional exercise following IPFP reduction remains a difficulty [21, 22]. In view of the difficulty treating IPFP and the limitations of the above surgical methods, we put forward a new treatment method tension-free external immobilization. The external immobilization device includes a patellar immobilization part and a tibial immobilization part, as well as a joint hinge connecting the two parts. This method can achieve the stable immobilization in 3D space, and the sutured fracture end can be in a tension-free state (by adjusting the joint hinge during surgery) while ensuring the good range of motion of the knee. In this study, good fracture healing was achieved in all 11 patients after tension-free external immobilization. Redness and swelling occurred in the needle tract in three cases during the postoperative frame-carrying period, and it was healed by symptomatic treatment within 1 week after removal of the external immobilization frame. No other surgical complications occurred. At the last follow-up, the Böstman score of the knee was 29.2 ± 1.0 points, including 10 excellent cases and one good case, suggesting satisfactory clinical efficacy. As can be seen from the technical characteristics, the advantages of the tension-free external immobilization are as follows: (1) Tension-free immobilization. With the upper end fixed at the waist segment of the patella and the lower end fixed at the upper segment of the tibia, the fracture end can be reduced and immobilized in a tension-free state. By adjusting the joint hinge, the knee motion of the fracture end can be kept in a tension-free state, thereby avoiding fracture displacement or loss of immobilization due to high tension. (2) Early functional exercise. The external immobilization device achieves overall stability through 3D-space immobilization. Since there is no tension at the fracture end, the patient can move the knee on the bed immediately after surgery, then ambulate with a walker or crutches the day after surgery, avoiding immobilization-related complications and joint stiffness. (3) Small surgical trauma. No excessive periostea or soft tissues are stripped off during open reduction, and the Kirschner wires used to immobilize the patella are thin and far away from the fracture end, so fracture healing can be facilitated to the greatest extent. (4) Easy removal of the external immobilization device. The external immobilization device can be completely removed in the outpatient clinic after fracture healing. First, the external immobilization ring and the threaded needle are removed, one end of the Kirschner wire is cut off and sterilized, and then the wire is withdrawn through the other end, avoiding re-operation under anesthesia. Precautions for surgery: (1) When the fracture end is cut and exposed, no excessive periostea and soft tissues can be stripped off. The fracture end is sutured in a tension-free state and in a knee-extension position. If the avulsion fracture blocks are large, the fracture immobilization and reduction can be performed using olive-tipped needles or Kirschner wires with a blocking head. The wire can be fixed with the patellar 1/2 ring using the vertical linker. (2) To immobilize the patellar end, the waist segment of the patella is most often selected because it is the most “hypertrophic” part of the patella. Two Kirschner wires are cross-inserted percutaneously on the cross-section of the waist, in a medial upper-lateral lower and lateral upper-medial lower direction, respectively. The two Kirschner wires should be on the same cross-section and not damage the articular surface, and the skin at the entry point should be free of tension. (3) To immobilize the tibial end, one 2.0-mm Kirschner wire is usually inserted horizontally below the tibial tubercle, and one threaded needle is inserted vertically in front of the tibia on this plane to fix the 1/2 ring. This plane is more conducive to the installation of the joint hinge. (4) When installing the joint hinge, make the knee joint of the patient in the straight position, and install the joint hinge on the lower sides of the patella at the height of the middle axial plane of the patella. During the operation, appropriate adjustments should be made according to the movement of the knee joint to ensure that the movement of the knee joint is consistent with that of the hinge and that the fracture end is in a tension-free state. In conclusion, tension-free external immobilization is a safe and feasible surgical treatment method for IPFP, and it can benefit the early functional exercise with a satisfactory clinical effect. Even so, there are some deficiencies in this technique. For example, the external immobilization device can bring inconvenience to the patient’s life, especially in winter. Skin pinholes increase the risk of infection. Although the tension-free state can enhance the patellar fracture healing, the tension of the proximal patellar tendon may be increased. The sample of this study was small, and there may be a certain bias in the assessment of clinical efficacy, so larger studies are needed. Fig. 1Procedures of tension-free external immobilization. A An anterior median incision of the patella was made to expose the fracture end. B The fracture end was sutured in a knee-extension position. C Kirschner wires were cross-inserted in the vertical direction of the waist segment of the patella and fixed with the 1/2 ring. D The two 2/3 rings were bridged and fixed with Kirschner wires and threaded needles on the plane of tibial tubercle and two distal planes. E The devices at the patellar end and the tibial end were connected and fixed using the joint hinge, and the joint motion and tension-free state of the fracture end were maintained Procedures of tension-free external immobilization. A An anterior median incision of the patella was made to expose the fracture end. B The fracture end was sutured in a knee-extension position. C Kirschner wires were cross-inserted in the vertical direction of the waist segment of the patella and fixed with the 1/2 ring. D The two 2/3 rings were bridged and fixed with Kirschner wires and threaded needles on the plane of tibial tubercle and two distal planes. E The devices at the patellar end and the tibial end were connected and fixed using the joint hinge, and the joint motion and tension-free state of the fracture end were maintained Fig. 2 A 18-year-old male patient with right IPFP due to a fall. A Anteroposterior and lateral X-rays of the right knee before surgery. B After avulsion fracture reduction, the fracture block was immobilized using Kirschner wires with a blocking head, and 1-gauge absorbable sutures were used for suture immobilization. C Postoperative tension-free external immobilization device. D Anteroposterior and lateral X-rays of the right knee after surgery. E Postoperative frame-carrying conditions. F The knee function was good after removal of the external immobilization frame. G Anteroposterior and lateral X-rays of the right knee after removal of the external immobilization frame  A 18-year-old male patient with right IPFP due to a fall. A Anteroposterior and lateral X-rays of the right knee before surgery. B After avulsion fracture reduction, the fracture block was immobilized using Kirschner wires with a blocking head, and 1-gauge absorbable sutures were used for suture immobilization. C Postoperative tension-free external immobilization device. D Anteroposterior and lateral X-rays of the right knee after surgery. E Postoperative frame-carrying conditions. F The knee function was good after removal of the external immobilization frame. G Anteroposterior and lateral X-rays of the right knee after removal of the external immobilization frame
Background: Inferior pole fracture of the patella (IPFP) has small and comminuted fracture blocks that are hard to immobilize, and early mobilization may lead to loss of fracture reduction and immobilization failure. Therefore, a difficulty of treatment is to achieve rigid immobilization with early functional exercise. Here, a new treatment method of tension-free external immobilization is put forward. Methods: The clinical data of 11 IPFP patients treated with tension-free external immobilization from May 2016 to June 2019 were retrospectively analyzed. There were six males and five females aged 39.0 ± 12.8 years (range 18-53 years). IPFP was caused by traffic accidents in five cases and falls in six cases. All cases had unilateral closed injuries, including four in the left knee and seven in the right knee. The preoperative range of motion of the knee was 22.0 ± 7.5° (10-30°). The time from injury to operation was 4.5 ± 1.3 d (3-7 d). The operation-related indices were recorded, and the function of the affected knee was assessed by the Böstman score. Results: All operations were successful. The operation time was 56.4 ± 8.4 mi (45-70 min), the intraoperative blood loss was 54.1 ± 14.6 mL (40-80 mL), and the length of hospital stay was 7.5 ± 1.9 d (5-11 d). The mean follow-up time was 20.4 ± 7.6 months (12-36 months), the duration of fracture healing was 8.9 ± 1.5 weeks (7-12 weeks), and the removal time of the external immobilization device was 10.4 ± 0.9 weeks (9-12 weeks). At the last follow-up, the range of motion had no significant difference between the affected knee (129.7 ± 3.3°, range 125-135°) and the unaffected knee (130.8 ± 3.8°, range 126-137°) (t = 0.718, p < 0.05). The Böstman score of the knee was 29.2 ± 1.0 points (27-30 points), including 10 excellent cases (90.9%) and one good case (9.1%). Conclusions: Tension-free external immobilization is a feasible treatment for IPFP. It can help with early functional exercise and achieve a satisfactory clinical effect.
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5,543
478
[ 260, 399, 226, 87 ]
8
[ "fracture", "knee", "immobilization", "needle", "end", "external immobilization", "external", "surgery", "threaded", "tension" ]
[ "articular fracture patellar", "inferior patellar pole", "pole resection patellar", "enhance patellar fracture", "patellar fractures ipfp" ]
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[CONTENT] External immobilization | Inferior pole fracture of patella | Knee [SUMMARY]
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[CONTENT] External immobilization | Inferior pole fracture of patella | Knee [SUMMARY]
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[CONTENT] External immobilization | Inferior pole fracture of patella | Knee [SUMMARY]
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[CONTENT] Bone Wires | Female | Fracture Fixation, Internal | Fractures, Bone | Humans | Knee Injuries | Male | Patella | Retrospective Studies [SUMMARY]
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[CONTENT] Bone Wires | Female | Fracture Fixation, Internal | Fractures, Bone | Humans | Knee Injuries | Male | Patella | Retrospective Studies [SUMMARY]
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[CONTENT] Bone Wires | Female | Fracture Fixation, Internal | Fractures, Bone | Humans | Knee Injuries | Male | Patella | Retrospective Studies [SUMMARY]
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[CONTENT] articular fracture patellar | inferior patellar pole | pole resection patellar | enhance patellar fracture | patellar fractures ipfp [SUMMARY]
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[CONTENT] articular fracture patellar | inferior patellar pole | pole resection patellar | enhance patellar fracture | patellar fractures ipfp [SUMMARY]
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[CONTENT] articular fracture patellar | inferior patellar pole | pole resection patellar | enhance patellar fracture | patellar fractures ipfp [SUMMARY]
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[CONTENT] fracture | knee | immobilization | needle | end | external immobilization | external | surgery | threaded | tension [SUMMARY]
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[CONTENT] fracture | knee | immobilization | needle | end | external immobilization | external | surgery | threaded | tension [SUMMARY]
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[CONTENT] fracture | knee | immobilization | needle | end | external immobilization | external | surgery | threaded | tension [SUMMARY]
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[CONTENT] patellar | fracture | ipfp | articular | immobilization | pole | limited | reduction immobilization | fractures | inferior [SUMMARY]
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[CONTENT] weeks | 05 | 11 | min | ml | improved | weeks 12 weeks | 70 | 05 follow | 12 weeks [SUMMARY]
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[CONTENT] knee | fracture | usepackage | immobilization | needle | patellar | surgery | threaded | kirschner | end [SUMMARY]
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[CONTENT] ||| ||| [SUMMARY]
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[CONTENT] ||| 56.4 ± | 8.4 mi | 45-70 | 54.1 | 14.6 mL | 40-80 | 7.5 ± | 1.9 | 5-11 ||| 20.4 ± | 7.6 months | 12-36 months | 8.9 ± | 1.5 weeks | 7-12 weeks | 10.4 ± | 0.9 weeks | 9-12 weeks ||| 129.7 ± | 3.3 | 125-135 | 130.8 ±  | 3.8 | 126 | 0.718 | 0.05 ||| Böstman | 29.2 ± | 1.0 | 27-30 | 10 | 90.9% | one | 9.1% [SUMMARY]
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[CONTENT] ||| ||| ||| 11 | May 2016 to June 2019 ||| six | five | 39.0 ± | 12.8 years | 18-53 years ||| IPFP | five | six ||| four | seven ||| 22.0 ± | 7.5 | 10-30 ||| 4.5 ± | 1.3 | 3-7 ||| Böstman ||| ||| ||| 56.4 ± | 8.4 mi | 45-70 | 54.1 | 14.6 mL | 40-80 | 7.5 ± | 1.9 | 5-11 ||| 20.4 ± | 7.6 months | 12-36 months | 8.9 ± | 1.5 weeks | 7-12 weeks | 10.4 ± | 0.9 weeks | 9-12 weeks ||| 129.7 ± | 3.3 | 125-135 | 130.8 ±  | 3.8 | 126 | 0.718 | 0.05 ||| Böstman | 29.2 ± | 1.0 | 27-30 | 10 | 90.9% | one | 9.1% ||| IPFP ||| [SUMMARY]
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Thrombo-inflammatory biomarkers to predict sepsis outcome.
34647483
Sepsis has been redefined recently as life-threatening organ dysfunction caused by dysregulated host responses to infection and septic shock. Soluble urokinase plasminogen activator receptor (SuPAR) and plasminogen activator inhibitor-1(PAI-1) concentration positively correlate to the activation level of the immune system, and are markers of disease severity and aggressiveness.
BACKGROUND
This is an observational prospective study that enrolled 60 adult patients with sepsis (according to SOFA), admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020. Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) were checked in all participants.
PATIENT AND METHODS
SuPAR and PAI.1 were significant independent predictors of hospital mortality. SuPAR showed sensitivity 100%, specificity 95.9%, and accuracy 94% for prediction of early mortality at a cutoff value of 13.4(pg/ml). While, PAI-1 demonstrated sensitivity 100%, specificity 93.9%, and accuracy of 95% at a cutoff value of 122.5 for predicting mortality.
RESULTS
PAI-1 and suPAR were significant predictors of hospital mortality among sepsis patients. The sample size was relatively small, which may have decreased the statistical power of the results of the present study. Hence, additional studies with large sample sizes are required for further validation of the present results.
CONCLUSION
[ "Aged", "Biomarkers", "Female", "Hospital Mortality", "Humans", "Male", "Middle Aged", "Plasminogen Activator Inhibitor 1", "Prognosis", "Receptors, Urokinase Plasminogen Activator", "Respiratory Rate", "Sepsis" ]
8521754
Introduction
In 1992, sepsis was defined as a systemic inflammatory response syndrome (SIRS) to infection that results from an activation of the innate immune response, regardless of the cause. 1 Sepsis has been redefined again as life-threatening organ dysfunction caused by dysregulated host responses to infection and septic shock as a subset of sepsis in which particularly profound circulatory, cellular, and metabolic abnormalities are associated with a greater risk of mortality than with sepsis alone. 2 Globally, sepsis is common, with an estimated population incidence of 270 cases per-100,000 person yearly and acute mortality of 26.0%. Many reasons suggest even this underestimate the magnitude of sepsis-associated mortality and morbidity. 3 The biomarkers of sepsis can be classified as markers of acute-phase protein (C-reactive protein [CRP], procalcitonin [PCT], and lipopolysaccharide-binding protein), cytokine/chemokine biomarkers (IL-6, IL-8), and markers of other pathophysiologic processes (coagulation factors and soluble cell surface receptors). Also, complement factors (C3a, C5a, and the soluble form of the C5a receptor, sC5aR) have been defined as early markers of sepsis and sepsis severity. CRP and PCT are the most practically used for the detection of bloodstream infections. 4 Plasminogen activator inhibitor-1(PAI-1) is a protein that in humans is encoded by the SERPINE 1 gene, elevated PAI-1 is a risk factor for thrombosis and atherosclerosis. 5 Soluble urokinase plasminogen activator receptor (SuPAR) is a soluble protein form; SuPAR concentration positively correlates to the activation level of the immune system and is present in plasma, urine, blood, serum, and CSF. SuPAR is an indicator of disease severity and aggressiveness. 6 The use of plasma suPAR level enhanced the efficiency of sepsis diagnosis, and the combination of plasma suPAR and APACHE II score improved mortality prediction. 7 Studying long-term outcomes of sepsis is that poor functional status is a risk factor for becoming critically ill as well as a frequent consequence. Many co-morbidities, age, and chronic diseases are risk factors both for sepsis and for impaired quality of life. Therefore, studies work to distinguish between the potentially causal effects of sepsis and that simply describe morbidity and mortality events. 8 Aim of the study This study aimed to identify the blood level of plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) in sepsis and its association with mortality. This study aimed to identify the blood level of plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) in sepsis and its association with mortality. Patient and methods This is an observational prospective study that included 60 adult patients with sepsis admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020. All participants were volunteers, and all of them signed written informed consent with explaining the aim of this study before the study initiation. Approval of the study protocol was obtained by the local Ethical Scientific Committee of Menoufia University’s institutional review board under number (MNF112/2019). Patients with sepsis were diagnosed based on both of the following criteria Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 This is an observational prospective study that included 60 adult patients with sepsis admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020. All participants were volunteers, and all of them signed written informed consent with explaining the aim of this study before the study initiation. Approval of the study protocol was obtained by the local Ethical Scientific Committee of Menoufia University’s institutional review board under number (MNF112/2019). Patients with sepsis were diagnosed based on both of the following criteria Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 All subjects were selected according to inclusion and exclusion criteria Inclusion criteria Adult patients with sepsis, both sexes, and age more than 30 years. Adult patients with sepsis, both sexes, and age more than 30 years. Exclusion criteria Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Methods 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 Inclusion criteria Adult patients with sepsis, both sexes, and age more than 30 years. Adult patients with sepsis, both sexes, and age more than 30 years. Exclusion criteria Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Methods 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 Statistical analysis Method of calculation and justification for sample size Method of calculation and justification for sample size The sample size calculation Sample size was calculated using G*power version 3.1.9.2 based on previous studies and our experience, we expected to find large effect size (d = 0.8) between group I/group II. With a power of 80% (using t-test and alpha of 0.05). The allocation ratio N2/N1 is 2/1. The sample needed for the study was estimated to be 48 patients taking in our consideration 25% drop off. Finally, the total sample size was estimated 60 patients ( 40 patients for group I, 20 patients for group II ). 10 N = 60 patients. Confidence interval = 95% Alpha = 0.05 Power = 80% The clinical data were recorded on a report form. These data were tabulated and analyzed using the computer program SPSS (Statistical package for social science) version 21((SPSS Inc, Chicago, IL, USA). The variables were tested using Chi-Squared (χ2) test for qualitative data, Mann Whitney U test for testing quantitative data, correlation coefficient test (Pearson test), multivariate logistic regression analysis, and the ROC (receiver operating characteristic) curves to detect validity of different markers for prediction of early hospital mortality. When p value was less than 0.05, it was considered significant. Sample size was calculated using G*power version 3.1.9.2 based on previous studies and our experience, we expected to find large effect size (d = 0.8) between group I/group II. With a power of 80% (using t-test and alpha of 0.05). The allocation ratio N2/N1 is 2/1. The sample needed for the study was estimated to be 48 patients taking in our consideration 25% drop off. Finally, the total sample size was estimated 60 patients ( 40 patients for group I, 20 patients for group II ). 10 N = 60 patients. Confidence interval = 95% Alpha = 0.05 Power = 80% The clinical data were recorded on a report form. These data were tabulated and analyzed using the computer program SPSS (Statistical package for social science) version 21((SPSS Inc, Chicago, IL, USA). The variables were tested using Chi-Squared (χ2) test for qualitative data, Mann Whitney U test for testing quantitative data, correlation coefficient test (Pearson test), multivariate logistic regression analysis, and the ROC (receiver operating characteristic) curves to detect validity of different markers for prediction of early hospital mortality. When p value was less than 0.05, it was considered significant.
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Results
The mean age of the included patients was 62.1±10.7 years with 51.7% of them were females. Diabetes mellitus was reported in 30.0% of the included patients. The pulmonary primary site of infection was found in 56.7%. Also, the mean BMI of the studied patients was 24.9 ± 2.9 Kg/m2. The mean CRP, hemoglobin, and WBCs count were (105.8 ± 70.7, 10.3 ± 0.6, and 17.32 ± 9.6) respectively. The mean creatinine and urea levels were 3.4 ± 2.3 and 158.3 ± 124.9, respectively. Additionally, mean AST, ALT, PT, PAI-1, and SuPAR were 65.7 ± 32.4, 62.4 ± 24.5, 13.6 ± 7.9, 74.9± 6 1.3, and 11.3 ± 5.7, respectively, as shown in Table 1.Table 1.Baseline characteristics of studied patients (n=60).ItemPatients (n = 60)N%Sex: no, %MaleFemale293148.351.7Mean ± SDMin-MaxAge/Years64.90 ± 7.4030–74BMI (kg/m2)24.91 ± 2.9221–34No%Comorbidities:Diabetes mellitusHypertension181430.023.3Primary site of infection:PulmonaryCutaneousDigestiveUrinaryArticular3411104156.718.316.76.71.7Mean ± SDMin-MaxVital signs:MABP (mmhg)HR (beats/minutes)Temp. (oC)RR (cycles/minutes)79.1 ± 5.5107.5 ± 8.537.3 ± 1.422.3 ± 2.667–9895–12027.8–38.419–28SOFA score7.2 ± 2.254–12CRP (mg/L)105.8 ± 70.72–454Hemoglobin (g/dl)10.3 ± 0.69.3–11.5WBCs (*103)/ml17.3 ± 9.62.8–43.8Creatinine (mg/dl)3.42 ± 2.300.2–8.5Urea (mg/dl)158.30 ± 124.938.3–434AST (u/l)65.72 ± 32.3828–239ALT (u/l)62.37 ± 24.4635–186PT (second)13.60 ± 1.2912–16PAI-1 (pg/ml)80.75 ± 61.8626–412SuPAR (pg/ml)11.29 ± 5.843.2–45MABP: Mean arterial blood pressure is defined as the average pressure in the patients arteries during one cardiac cycle, MABP= SBP + 2 (DBP)/3; HR: heart rate; Temp.: temperature; RR: respiratory rate. Baseline characteristics of studied patients (n=60). MABP: Mean arterial blood pressure is defined as the average pressure in the patients arteries during one cardiac cycle, MABP= SBP + 2 (DBP)/3; HR: heart rate; Temp.: temperature; RR: respiratory rate. Respirator rate, SuPAR, PAI-1, and SOFA score were significantly higher among the non-survivor group than the survivor one (p < 0.05), all other variables were insignificant between the two groups as shown in Table 2.Table 2.Comparison between survivors and non-survivors regarding baseline characteristics.VariableSurvivors (n = 49)Non - survivors (n = 11)U Testp ValueMean ± SDMean ± SDAge/year64.24 ± 7.8167.81 ± 4.311.570.12N%N%SexMaleFemale252451.049.04736.463.6X20.770.38BMI (kg/m2)25.03 ± 3.1424.37 ± 1.660.260.80Blood pressure78.97 ± 5.8279.63 ± 3.960.490.63Heart rate106.73 ± 8.42110.64 ± 8.421.400.16Respiratory rate21.90 ± 2.4623.91 ± 2.882.190.03*Temperature37.29 ± 1.4837.49 ± 0.510.050.96SOFA score6.49 ± 1.7210.36 ± 1.504.66<0.001*CRP (mg/L)103.39 ± 73.47116.64 ± 58.420.340.35HB (g/dl)10.33 ± 0.5510.18 ± 0.760.720.47WBCs (*103)/ml17.22 ± 10.3917.74 ± 4.860.720.47Creatinine (mg/dl)3.49 ± 2.473.14 ± 1.320.170.86Urea (mg/dl)159.64 ± 135.82152.35 ± 59.110.650.52AST (U/L)65.94 ± 35.0864.73 ± 16.710.600.55ALT (U/L)62.57 ± 26.6461.45 ± 11.070.590.55PT (second)13.47 ± 1.2614.18 ± 1.331.660.10SuPAR (pg/ml)9.60 ± 3.1318.8 ± 8.854.950.001*PAI-1 (pg/ml)59.55 ± 28.98175.18 ± 80.844.98<0.001*U = Mann Whitney U test, (*) significant.BMI: body mass index; CRP: C-reactive protein; HB: hemoglobin; WBC: white blood cells; AST: Aspartate transaminase; ALT: Alanine transaminase; PT: prothrombin time; PAI-1: Plasminogen activator inhibitor-1; SuPAR: Soluble urokinase plasminogen activator receptor. Comparison between survivors and non-survivors regarding baseline characteristics. U = Mann Whitney U test, (*) significant. BMI: body mass index; CRP: C-reactive protein; HB: hemoglobin; WBC: white blood cells; AST: Aspartate transaminase; ALT: Alanine transaminase; PT: prothrombin time; PAI-1: Plasminogen activator inhibitor-1; SuPAR: Soluble urokinase plasminogen activator receptor. The SOFA score had a sensitivity of 90.9%, specificity of 87.8%, and accuracy of 0.90 at a cutoff value of ≥8.5 for predicting mortality (Figure 1). suPAR had a sensitivity of 100%, specificity of 95.9%, and accuracy of 0.94 at a cutoff value of ≥13.4 for predicting mortality (Figure 2). Finally, PAI-1 had a sensitivity of 100%, specificity of 93.9%, and accuracy of 0.95 at a cutoff value of ≥122.5 for predicting mortality (Figure 3), as shown in Table 3.Figure 1.ROC curve analysis of SOFA score for prediction of mortality.Figure 2.ROC curve analysis of suPAR for prediction of mortality.Figure 3.ROC curve analysis of PAI-1 for prediction of mortality.Table 3.Cutoff levels of SOFA score, SuPAR, and PAI-1 for predicting early sepsis mortality/7 days.VariableAUCCutoff value95% CISensitivity, %Specificity, %PPV, %NPV, %Accuracy, %SOFA score0.947≥8.50.89–1.090.987.862.597.788.3SuPAR (pg/ml)0.981≥13.40.94–1.010095.984.610094PAI-1 (pg/ml)0.983≥122.50.95–1.010093.978.610095Sens: sensitivity; Spec.: specificity; PPV: positive predictive value; NPV: negative predictive value. ROC curve analysis of SOFA score for prediction of mortality. ROC curve analysis of suPAR for prediction of mortality. ROC curve analysis of PAI-1 for prediction of mortality. Cutoff levels of SOFA score, SuPAR, and PAI-1 for predicting early sepsis mortality/7 days. Sens: sensitivity; Spec.: specificity; PPV: positive predictive value; NPV: negative predictive value. The correlation coefficient between PAI-1 and other parameters, as shown in Table 4. There was a significant correlation according to PT (as shown also in Figure 4) and also there were significant positive correlations between PAI-1 and each of SOFA score and SuPAR level (as shown in Figure 5). Other parameters’ correlations to PAI-1 were insignificant.Table 4.Pearson’s correlation coefficient between PAI-1, SuPAR, and other parameters.VariablePAI-1 (pg/ml)suPAR (pg/ml)(r) p value (r) p value Age/year0.0040.970−0.0860.417BMI (kg/m2)0.1400.1840.0510.630CRP (mg/L)0.1910.070−0.0330.756Hemoglobin (g/dl)0.01230.246−0.1710.104WBCs (103)/ml a 0.0740.4860.0220.836Creatinine (mg/dl)−0.1450.169−0.0050.959Urea (mg/dl)−0.0630.5520.0470.655AST (U/L)0.0010.992−0.0610.564ALT (UL)0.1370.194−0.0310.771PT (second)0.3460.001 a 0.483<0.001 a SOFA score0.400<0.001 a 0.389<0.001 a SuPAR (pg/ml)0.3270.002 a ------PAI-1 (pg/ml)--------0.3270.002 a asignificant.BMI: body mass index CRP: C-reactive protein WBC: white blood cells; AST: Aspartate transaminase ALT: Alanine transaminase PT: prothrombin time PAI-1: Plasminogen activator inhibitor-1 SuPAR: Soluble urokinase plasminogen activator receptor.Figure 4.Correlation between PAI-1 and PT.Figure 5.Correlation between PAI-1and SuPAR. Pearson’s correlation coefficient between PAI-1, SuPAR, and other parameters. asignificant. BMI: body mass index CRP: C-reactive protein WBC: white blood cells; AST: Aspartate transaminase ALT: Alanine transaminase PT: prothrombin time PAI-1: Plasminogen activator inhibitor-1 SuPAR: Soluble urokinase plasminogen activator receptor. Correlation between PAI-1 and PT. Correlation between PAI-1and SuPAR. SuPAR level had a significant correlation with each of PT (Figure 6) and SOFA score. Other parameters’ correlations to SuPAR were insignificant, as shown in Table 4.Figure 6.Correlation between SuPAR and PT. Correlation between SuPAR and PT. Finally Table 5 shows the logistic regression for risk, and from that table PAI-1 and SuPAR blood levels had a significant statistical prediction for early sepsis mortality/7 days.Table 5.Logistic regression analysis for independent risk of early sepsis mortality/7 days.VariableWald X2p ValueOR95% CISOFA score1.120.331.190.67–3.91SuPAR (pg/ml)2.660.009 a 2.101.05–12.8PAI-1 (pg/ml)2.30.02 a 1.920.72–8.68asignificant.PAI-1: Plasminogen activator inhibitor-1; SuPAR: Soluble urokinase plasminogen activator receptor. Logistic regression analysis for independent risk of early sepsis mortality/7 days. asignificant. PAI-1: Plasminogen activator inhibitor-1; SuPAR: Soluble urokinase plasminogen activator receptor.
Conclusion
Our study concluded that SuPAR and PAI-1 both can be used for predicting early mortality. Also, SOFA score, PAI-1, and suPAR were significant predictors of hospital morbidity and mortality. The sample size was relatively small, which may have decreased the statistical power of the results of the present study. Hence, additional studies with large sample sizes are required for further validation of the present results.
[ "Aim of the study", "Patient and methods", "Patients with sepsis were diagnosed based on both of the following criteria", "All subjects were selected according to inclusion and exclusion criteria", "Inclusion criteria", "Exclusion criteria", "Methods", "Statistical analysis", "The sample size calculation", "Limitations" ]
[ "This study aimed to identify the blood level of plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) in sepsis and its association with mortality.", "This is an observational prospective study that included 60 adult patients with sepsis admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020.\nAll participants were volunteers, and all of them signed written informed consent with explaining the aim of this study before the study initiation.\nApproval of the study protocol was obtained by the local Ethical Scientific Committee of Menoufia University’s institutional review board under number (MNF112/2019).\nPatients with sepsis were diagnosed based on both of the following criteria Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score.\n2\n\nPatients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score.\n2\n", "Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score.\n2\n", "Inclusion criteria Adult patients with sepsis, both sexes, and age more than 30 years.\nAdult patients with sepsis, both sexes, and age more than 30 years.\nExclusion criteria Pregnant women, cardiac patients, and chronic renal disease.\nFor all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test.\nSpecific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR).\nPregnant women, cardiac patients, and chronic renal disease.\nFor all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test.\nSpecific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR).\nMethods 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL.\n9\n. Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL.\n9\n\n3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL.\n9\n. Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL.\n9\n", "Adult patients with sepsis, both sexes, and age more than 30 years.", "Pregnant women, cardiac patients, and chronic renal disease.\nFor all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test.\nSpecific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR).", "3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL.\n9\n. Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL.\n9\n", "Method of calculation and justification for sample size", "Sample size was calculated using G*power version 3.1.9.2 based on previous studies and our experience, we expected to find large effect size (d = 0.8) between group I/group II. With a power of 80% (using t-test and alpha of 0.05). The allocation ratio N2/N1 is 2/1. The sample needed for the study was estimated to be 48 patients taking in our consideration 25% drop off. Finally, the \ntotal sample size\n was estimated \n60 patients\n (\n40 patients for group I, 20 patients for group II\n).\n10\n\nN = 60 patients.\nConfidence interval = 95%\nAlpha = 0.05\nPower = 80%\nThe clinical data were recorded on a report form. These data were tabulated and analyzed using the computer program SPSS (Statistical package for social science) version 21((SPSS Inc, Chicago, IL, USA). The variables were tested using Chi-Squared (χ2) test for qualitative data, Mann Whitney U test for testing quantitative data, correlation coefficient test (Pearson test), multivariate logistic regression analysis, and the ROC (receiver operating characteristic) curves to detect validity of different markers for prediction of early hospital mortality. When p value was less than 0.05, it was considered significant.", "One limitation of this study is the limited number of patients as a developing country we have not simply had a registry for all patients and due to environmental and cultural reasons, many critically ill patients from old age not seeking hospital consultation.\nAnother limitation is the PAI-1 and SuPAR serum levels had been studied a lot in critically ill patients and not a novel hypothesis but to our knowledge, it is the first Egyptian study to elicit its level with early mortality of sepsis and we consider it a trial to use these markers as prognostic predictors not only a diagnostic." ]
[ null, null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Aim of the study", "Patient and methods", "Patients with sepsis were diagnosed based on both of the following criteria", "All subjects were selected according to inclusion and exclusion criteria", "Inclusion criteria", "Exclusion criteria", "Methods", "Statistical analysis", "The sample size calculation", "Results", "Discussion", "Limitations", "Conclusion" ]
[ "In 1992, sepsis was defined as a systemic inflammatory response syndrome (SIRS) to infection that results from an activation of the innate immune response, regardless of the cause.\n1\n Sepsis has been redefined again as life-threatening organ dysfunction caused by dysregulated host responses to infection and septic shock as a subset of sepsis in which particularly profound circulatory, cellular, and metabolic abnormalities are associated with a greater risk of mortality than with sepsis alone.\n2\n Globally, sepsis is common, with an estimated population incidence of 270 cases per-100,000 person yearly and acute mortality of 26.0%. Many reasons suggest even this underestimate the magnitude of sepsis-associated mortality and morbidity.\n3\n\nThe biomarkers of sepsis can be classified as markers of acute-phase protein (C-reactive protein [CRP], procalcitonin [PCT], and lipopolysaccharide-binding protein), cytokine/chemokine biomarkers (IL-6, IL-8), and markers of other pathophysiologic processes (coagulation factors and soluble cell surface receptors). Also, complement factors (C3a, C5a, and the soluble form of the C5a receptor, sC5aR) have been defined as early markers of sepsis and sepsis severity. CRP and PCT are the most practically used for the detection of bloodstream infections.\n4\n\nPlasminogen activator inhibitor-1(PAI-1) is a protein that in humans is encoded by the SERPINE 1 gene, elevated PAI-1 is a risk factor for thrombosis and atherosclerosis.\n5\n Soluble urokinase plasminogen activator receptor (SuPAR) is a soluble protein form; SuPAR concentration positively correlates to the activation level of the immune system and is present in plasma, urine, blood, serum, and CSF. SuPAR is an indicator of disease severity and aggressiveness.\n6\n The use of plasma suPAR level enhanced the efficiency of sepsis diagnosis, and the combination of plasma suPAR and APACHE II score improved mortality prediction.\n7\n Studying long-term outcomes of sepsis is that poor functional status is a risk factor for becoming critically ill as well as a frequent consequence. Many co-morbidities, age, and chronic diseases are risk factors both for sepsis and for impaired quality of life. Therefore, studies work to distinguish between the potentially causal effects of sepsis and that simply describe morbidity and mortality events.\n8\n\nAim of the study This study aimed to identify the blood level of plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) in sepsis and its association with mortality.\nThis study aimed to identify the blood level of plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) in sepsis and its association with mortality.\nPatient and methods This is an observational prospective study that included 60 adult patients with sepsis admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020.\nAll participants were volunteers, and all of them signed written informed consent with explaining the aim of this study before the study initiation.\nApproval of the study protocol was obtained by the local Ethical Scientific Committee of Menoufia University’s institutional review board under number (MNF112/2019).\nPatients with sepsis were diagnosed based on both of the following criteria Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score.\n2\n\nPatients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score.\n2\n\nThis is an observational prospective study that included 60 adult patients with sepsis admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020.\nAll participants were volunteers, and all of them signed written informed consent with explaining the aim of this study before the study initiation.\nApproval of the study protocol was obtained by the local Ethical Scientific Committee of Menoufia University’s institutional review board under number (MNF112/2019).\nPatients with sepsis were diagnosed based on both of the following criteria Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score.\n2\n\nPatients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score.\n2\n\nAll subjects were selected according to inclusion and exclusion criteria Inclusion criteria Adult patients with sepsis, both sexes, and age more than 30 years.\nAdult patients with sepsis, both sexes, and age more than 30 years.\nExclusion criteria Pregnant women, cardiac patients, and chronic renal disease.\nFor all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test.\nSpecific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR).\nPregnant women, cardiac patients, and chronic renal disease.\nFor all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test.\nSpecific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR).\nMethods 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL.\n9\n. Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL.\n9\n\n3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL.\n9\n. Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL.\n9\n\nInclusion criteria Adult patients with sepsis, both sexes, and age more than 30 years.\nAdult patients with sepsis, both sexes, and age more than 30 years.\nExclusion criteria Pregnant women, cardiac patients, and chronic renal disease.\nFor all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test.\nSpecific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR).\nPregnant women, cardiac patients, and chronic renal disease.\nFor all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test.\nSpecific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR).\nMethods 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL.\n9\n. Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL.\n9\n\n3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL.\n9\n. Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL.\n9\n\nStatistical analysis Method of calculation and justification for sample size\nMethod of calculation and justification for sample size\nThe sample size calculation Sample size was calculated using G*power version 3.1.9.2 based on previous studies and our experience, we expected to find large effect size (d = 0.8) between group I/group II. With a power of 80% (using t-test and alpha of 0.05). The allocation ratio N2/N1 is 2/1. The sample needed for the study was estimated to be 48 patients taking in our consideration 25% drop off. Finally, the \ntotal sample size\n was estimated \n60 patients\n (\n40 patients for group I, 20 patients for group II\n).\n10\n\nN = 60 patients.\nConfidence interval = 95%\nAlpha = 0.05\nPower = 80%\nThe clinical data were recorded on a report form. These data were tabulated and analyzed using the computer program SPSS (Statistical package for social science) version 21((SPSS Inc, Chicago, IL, USA). The variables were tested using Chi-Squared (χ2) test for qualitative data, Mann Whitney U test for testing quantitative data, correlation coefficient test (Pearson test), multivariate logistic regression analysis, and the ROC (receiver operating characteristic) curves to detect validity of different markers for prediction of early hospital mortality. When p value was less than 0.05, it was considered significant.\nSample size was calculated using G*power version 3.1.9.2 based on previous studies and our experience, we expected to find large effect size (d = 0.8) between group I/group II. With a power of 80% (using t-test and alpha of 0.05). The allocation ratio N2/N1 is 2/1. The sample needed for the study was estimated to be 48 patients taking in our consideration 25% drop off. Finally, the \ntotal sample size\n was estimated \n60 patients\n (\n40 patients for group I, 20 patients for group II\n).\n10\n\nN = 60 patients.\nConfidence interval = 95%\nAlpha = 0.05\nPower = 80%\nThe clinical data were recorded on a report form. These data were tabulated and analyzed using the computer program SPSS (Statistical package for social science) version 21((SPSS Inc, Chicago, IL, USA). The variables were tested using Chi-Squared (χ2) test for qualitative data, Mann Whitney U test for testing quantitative data, correlation coefficient test (Pearson test), multivariate logistic regression analysis, and the ROC (receiver operating characteristic) curves to detect validity of different markers for prediction of early hospital mortality. When p value was less than 0.05, it was considered significant.", "This study aimed to identify the blood level of plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) in sepsis and its association with mortality.", "This is an observational prospective study that included 60 adult patients with sepsis admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020.\nAll participants were volunteers, and all of them signed written informed consent with explaining the aim of this study before the study initiation.\nApproval of the study protocol was obtained by the local Ethical Scientific Committee of Menoufia University’s institutional review board under number (MNF112/2019).\nPatients with sepsis were diagnosed based on both of the following criteria Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score.\n2\n\nPatients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score.\n2\n", "Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score.\n2\n", "Inclusion criteria Adult patients with sepsis, both sexes, and age more than 30 years.\nAdult patients with sepsis, both sexes, and age more than 30 years.\nExclusion criteria Pregnant women, cardiac patients, and chronic renal disease.\nFor all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test.\nSpecific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR).\nPregnant women, cardiac patients, and chronic renal disease.\nFor all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test.\nSpecific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR).\nMethods 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL.\n9\n. Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL.\n9\n\n3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL.\n9\n. Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL.\n9\n", "Adult patients with sepsis, both sexes, and age more than 30 years.", "Pregnant women, cardiac patients, and chronic renal disease.\nFor all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test.\nSpecific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR).", "3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL.\n9\n. Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL.\n9\n", "Method of calculation and justification for sample size", "Sample size was calculated using G*power version 3.1.9.2 based on previous studies and our experience, we expected to find large effect size (d = 0.8) between group I/group II. With a power of 80% (using t-test and alpha of 0.05). The allocation ratio N2/N1 is 2/1. The sample needed for the study was estimated to be 48 patients taking in our consideration 25% drop off. Finally, the \ntotal sample size\n was estimated \n60 patients\n (\n40 patients for group I, 20 patients for group II\n).\n10\n\nN = 60 patients.\nConfidence interval = 95%\nAlpha = 0.05\nPower = 80%\nThe clinical data were recorded on a report form. These data were tabulated and analyzed using the computer program SPSS (Statistical package for social science) version 21((SPSS Inc, Chicago, IL, USA). The variables were tested using Chi-Squared (χ2) test for qualitative data, Mann Whitney U test for testing quantitative data, correlation coefficient test (Pearson test), multivariate logistic regression analysis, and the ROC (receiver operating characteristic) curves to detect validity of different markers for prediction of early hospital mortality. When p value was less than 0.05, it was considered significant.", "The mean age of the included patients was 62.1±10.7 years with 51.7% of them were females. Diabetes mellitus was reported in 30.0% of the included patients. The pulmonary primary site of infection was found in 56.7%. Also, the mean BMI of the studied patients was 24.9 ± 2.9 Kg/m2. The mean CRP, hemoglobin, and WBCs count were (105.8 ± 70.7, 10.3 ± 0.6, and 17.32 ± 9.6) respectively. The mean creatinine and urea levels were 3.4 ± 2.3 and 158.3 ± 124.9, respectively. Additionally, mean AST, ALT, PT, PAI-1, and SuPAR were 65.7 ± 32.4, 62.4 ± 24.5, 13.6 ± 7.9, 74.9± 6 1.3, and 11.3 ± 5.7, respectively, as shown in Table 1.Table 1.Baseline characteristics of studied patients (n=60).ItemPatients (n = 60)N%Sex: no, %MaleFemale293148.351.7Mean ± SDMin-MaxAge/Years64.90 ± 7.4030–74BMI (kg/m2)24.91 ± 2.9221–34No%Comorbidities:Diabetes mellitusHypertension181430.023.3Primary site of infection:PulmonaryCutaneousDigestiveUrinaryArticular3411104156.718.316.76.71.7Mean ± SDMin-MaxVital signs:MABP (mmhg)HR (beats/minutes)Temp. (oC)RR (cycles/minutes)79.1 ± 5.5107.5 ± 8.537.3 ± 1.422.3 ± 2.667–9895–12027.8–38.419–28SOFA score7.2 ± 2.254–12CRP (mg/L)105.8 ± 70.72–454Hemoglobin (g/dl)10.3 ± 0.69.3–11.5WBCs (*103)/ml17.3 ± 9.62.8–43.8Creatinine (mg/dl)3.42 ± 2.300.2–8.5Urea (mg/dl)158.30 ± 124.938.3–434AST (u/l)65.72 ± 32.3828–239ALT (u/l)62.37 ± 24.4635–186PT (second)13.60 ± 1.2912–16PAI-1 (pg/ml)80.75 ± 61.8626–412SuPAR (pg/ml)11.29 ± 5.843.2–45MABP: Mean arterial blood pressure is defined as the average pressure in the patients arteries during one cardiac cycle, MABP= SBP + 2 (DBP)/3; HR: heart rate; Temp.: temperature; RR: respiratory rate.\nBaseline characteristics of studied patients (n=60).\nMABP: Mean arterial blood pressure is defined as the average pressure in the patients arteries during one cardiac cycle, MABP= SBP + 2 (DBP)/3; HR: heart rate; Temp.: temperature; RR: respiratory rate.\nRespirator rate, SuPAR, PAI-1, and SOFA score were significantly higher among the non-survivor group than the survivor one (p < 0.05), all other variables were insignificant between the two groups as shown in Table 2.Table 2.Comparison between survivors and non-survivors regarding baseline characteristics.VariableSurvivors (n = 49)Non - survivors (n = 11)U Testp ValueMean ± SDMean ± SDAge/year64.24 ± 7.8167.81 ± 4.311.570.12N%N%SexMaleFemale252451.049.04736.463.6X20.770.38BMI (kg/m2)25.03 ± 3.1424.37 ± 1.660.260.80Blood pressure78.97 ± 5.8279.63 ± 3.960.490.63Heart rate106.73 ± 8.42110.64 ± 8.421.400.16Respiratory rate21.90 ± 2.4623.91 ± 2.882.190.03*Temperature37.29 ± 1.4837.49 ± 0.510.050.96SOFA score6.49 ± 1.7210.36 ± 1.504.66<0.001*CRP (mg/L)103.39 ± 73.47116.64 ± 58.420.340.35HB (g/dl)10.33 ± 0.5510.18 ± 0.760.720.47WBCs (*103)/ml17.22 ± 10.3917.74 ± 4.860.720.47Creatinine (mg/dl)3.49 ± 2.473.14 ± 1.320.170.86Urea (mg/dl)159.64 ± 135.82152.35 ± 59.110.650.52AST (U/L)65.94 ± 35.0864.73 ± 16.710.600.55ALT (U/L)62.57 ± 26.6461.45 ± 11.070.590.55PT (second)13.47 ± 1.2614.18 ± 1.331.660.10SuPAR (pg/ml)9.60 ± 3.1318.8 ± 8.854.950.001*PAI-1 (pg/ml)59.55 ± 28.98175.18 ± 80.844.98<0.001*U = Mann Whitney U test, (*) significant.BMI: body mass index; CRP: C-reactive protein; HB: hemoglobin; WBC: white blood cells; AST: Aspartate transaminase; ALT: Alanine transaminase; PT: prothrombin time; PAI-1: Plasminogen activator inhibitor-1; SuPAR: Soluble urokinase plasminogen activator receptor.\nComparison between survivors and non-survivors regarding baseline characteristics.\nU = Mann Whitney U test, (*) significant.\nBMI: body mass index; CRP: C-reactive protein; HB: hemoglobin; WBC: white blood cells; AST: Aspartate transaminase; ALT: Alanine transaminase; PT: prothrombin time; PAI-1: Plasminogen activator inhibitor-1; SuPAR: Soluble urokinase plasminogen activator receptor.\nThe SOFA score had a sensitivity of 90.9%, specificity of 87.8%, and accuracy of 0.90 at a cutoff value of ≥8.5 for predicting mortality (Figure 1). suPAR had a sensitivity of 100%, specificity of 95.9%, and accuracy of 0.94 at a cutoff value of ≥13.4 for predicting mortality (Figure 2). Finally, PAI-1 had a sensitivity of 100%, specificity of 93.9%, and accuracy of 0.95 at a cutoff value of ≥122.5 for predicting mortality (Figure 3), as shown in Table 3.Figure 1.ROC curve analysis of SOFA score for prediction of mortality.Figure 2.ROC curve analysis of suPAR for prediction of mortality.Figure 3.ROC curve analysis of PAI-1 for prediction of mortality.Table 3.Cutoff levels of SOFA score, SuPAR, and PAI-1 for predicting early sepsis mortality/7 days.VariableAUCCutoff value95% CISensitivity, %Specificity, %PPV, %NPV, %Accuracy, %SOFA score0.947≥8.50.89–1.090.987.862.597.788.3SuPAR (pg/ml)0.981≥13.40.94–1.010095.984.610094PAI-1 (pg/ml)0.983≥122.50.95–1.010093.978.610095Sens: sensitivity; Spec.: specificity; PPV: positive predictive value; NPV: negative predictive value.\nROC curve analysis of SOFA score for prediction of mortality.\nROC curve analysis of suPAR for prediction of mortality.\nROC curve analysis of PAI-1 for prediction of mortality.\nCutoff levels of SOFA score, SuPAR, and PAI-1 for predicting early sepsis mortality/7 days.\nSens: sensitivity; Spec.: specificity; PPV: positive predictive value; NPV: negative predictive value.\nThe correlation coefficient between PAI-1 and other parameters, as shown in Table 4. There was a significant correlation according to PT (as shown also in Figure 4) and also there were significant positive correlations between PAI-1 and each of SOFA score and SuPAR level (as shown in Figure 5). Other parameters’ correlations to PAI-1 were insignificant.Table 4.Pearson’s correlation coefficient between PAI-1, SuPAR, and other parameters.VariablePAI-1 (pg/ml)suPAR (pg/ml)(r)\np value\n(r)\np value\nAge/year0.0040.970−0.0860.417BMI (kg/m2)0.1400.1840.0510.630CRP (mg/L)0.1910.070−0.0330.756Hemoglobin (g/dl)0.01230.246−0.1710.104WBCs (103)/ml\na\n0.0740.4860.0220.836Creatinine (mg/dl)−0.1450.169−0.0050.959Urea (mg/dl)−0.0630.5520.0470.655AST (U/L)0.0010.992−0.0610.564ALT (UL)0.1370.194−0.0310.771PT (second)0.3460.001\na\n0.483<0.001\na\nSOFA score0.400<0.001\na\n0.389<0.001\na\nSuPAR (pg/ml)0.3270.002\na\n------PAI-1 (pg/ml)--------0.3270.002\na\nasignificant.BMI: body mass index CRP: C-reactive protein WBC: white blood cells; AST: Aspartate transaminase ALT: Alanine transaminase PT: prothrombin time PAI-1: Plasminogen activator inhibitor-1 SuPAR: Soluble urokinase plasminogen activator receptor.Figure 4.Correlation between PAI-1 and PT.Figure 5.Correlation between PAI-1and SuPAR.\nPearson’s correlation coefficient between PAI-1, SuPAR, and other parameters.\nasignificant.\nBMI: body mass index CRP: C-reactive protein WBC: white blood cells; AST: Aspartate transaminase ALT: Alanine transaminase PT: prothrombin time PAI-1: Plasminogen activator inhibitor-1 SuPAR: Soluble urokinase plasminogen activator receptor.\nCorrelation between PAI-1 and PT.\nCorrelation between PAI-1and SuPAR.\nSuPAR level had a significant correlation with each of PT (Figure 6) and SOFA score. Other parameters’ correlations to SuPAR were insignificant, as shown in Table 4.Figure 6.Correlation between SuPAR and PT.\nCorrelation between SuPAR and PT.\nFinally Table 5 shows the logistic regression for risk, and from that table PAI-1 and SuPAR blood levels had a significant statistical prediction for early sepsis mortality/7 days.Table 5.Logistic regression analysis for independent risk of early sepsis mortality/7 days.VariableWald X2p ValueOR95% CISOFA score1.120.331.190.67–3.91SuPAR (pg/ml)2.660.009\na\n2.101.05–12.8PAI-1 (pg/ml)2.30.02\na\n1.920.72–8.68asignificant.PAI-1: Plasminogen activator inhibitor-1; SuPAR: Soluble urokinase plasminogen activator receptor.\nLogistic regression analysis for independent risk of early sepsis mortality/7 days.\nasignificant.\nPAI-1: Plasminogen activator inhibitor-1; SuPAR: Soluble urokinase plasminogen activator receptor.", "Plasminogen activator inhibitor type 1 (PAI-1) is a 50-kDa glycoprotein of the serine protease inhibitor family. The primary role of PAI-1 in vivo is the inhibition of both tissue- and urokinase-type plasminogen activators. In addition to this function, PAI-1 acts as an acute-phase protein during acute inflammation. PAI1 is a pivotal player in the pathogenesis of sepsis, a complex clinical syndrome that results from a systemic inflammatory response.\n11\n\nThe present study showed the mean age of the included patients was 62.1 ± 1 0.7 years and this agreed with the study by Mohamed et al.,\n12\n who found (71.25%) of patients were males and (28.75%) were females. Maximum patients had belonged to the age group of 50–80 years of age. The mean age of the study population by Ref. 12 was 60.97 years. The study by Kim et al.,\n13\n found the mean SOFA score was 8.0 ± 2.8. In addition, mean MPV was 8.64 fL at baseline and 8.96 fL at 72 h after ED admission. The main infection sites were the urinary tract (25.2%) and lung (24.1%) followed by the intra-abdominal cavity (22.0%). But, we found the pulmonary primary site of infection was in 56.7%, followed by the cutaneous site in 18.3%, and while the digestive site was reported in 16.7%. The mean BMI of the studied patients was 24.9 ± 2.9 Kg/m2.\nMohamed and his colleagues\n12\n found that type 2 diabetes mellitus and systemic hypertension were the major comorbidities present in the study population, both being present in 37 patients each (46.25%). Respiratory comorbidities, chronic liver, and kidney diseases along with heart diseases were also present in a significant number of patients. Fever was the most common presenting feature (72.50%) followed by breathlessness (43.75%), cough (32.50%), abdominal, and neurologic symptoms. Based on the presenting symptoms and clinical examination findings, the majority of the patients (66.25%) had respiratory tract as the suspected source of sepsis. For us, we had found diabetes mellitus was 30.0% of the included patients while 23.3% of them had hypertension.\nAccording to the inflammatory labs’ assessment (mean CRP, hemoglobin, and WBCs count), mean creatinine and urea levels, mean AST, ALT, and PT showed that we are similar also to Mohamed et al.,\n12\n who found that, 67.5% mortality among the patients with severe sepsis. Low platelet count, high CRP, and elevated levels of serum lactate along with need for invasive mechanical ventilation were found to be a clear predictor of mortality in severely septic patients. SOFA score of more than 8.5, at the time of admission to the ICU. Also, with Ghany et al.,\n14\n found that, forty-four (19%) of 232 patients with baseline AST/ALT ratio >0.8 experienced clinical decompensation compared to 16 (6.7%) of 238 with baseline AST/ALT ratio ≤0.8. Within each stratum of baseline AST/ALT ratio, patients who had severe worsening (>15% increase between month 24 and baseline) had a higher rate of clinical decompensation.\nOur study showed that respiratory rate, SuPAR, PAI-1, and SOFA score were significantly higher among the non-survivor group than the survivor one. While there was no significant difference between the two groups regarding age, sex, heart rate, temperature, SOFA score, CRP, HB, WBCs, creatinine, urea, AST, ALT, and PT. These results agreed with that reported by Kim et al.,\n13\n as the non-survivors exhibited significantly higher SOFA score than did the survivors. Also according to they there were no significant differences in age, mean arterial pressure, WBC, Hb, serum creatinine, total bilirubin, RBC transfusion, and heparin use between the two groups. Also, Mohamed et al.,\n12\n found that, none of the difference in mean values of liver enzymes, serum bilirubin, serum albumin, and international normalized ratio between the mortality and survivor groups was statistically significant.\nWhile, the current findings disagreed with the study by Li et al.,\n15\n who had found the patients who survived were more likely to have higher baseline levels of hemoglobin and serum albumin and lower breathing rates, lactate levels, platelet (PLT) counts, urea nitrogen, creatinine, eGFR, and cystatin-C (Cys-C) values than the patients who died. Also, Kim et al.,\n13\n revealed that non-survivors exhibited significantly higher C-reactive protein (CRP) and lactate levels than did survivors, whereas body mass index (BMI); platelet count; estimated glomerular filtration rate (eGFR); and albumin, total cholesterol, and pH levels in non-survivors were significantly lower than those in survivors.\nThe current study revealed that the sensitivity of SOFA score for predicting early sepsis mortality was 90.9%, specificity of 87.8%, and accuracy of 0.90 at a cutoff value of ≥8.5. Also, the sensitivity of SuPAR for predicting mortality was 100%, specificity of 95.9%, and accuracy of 0.94 at a cutoff value of ≥13.4. While the sensitivity of PAI.1 was 100%, specificity of 93.9%, and accuracy of 0.95 at a cutoff value of ≥122.5. In this line, two studies by Koch et al.\n16\n\nand Loonen et al.\n17\n evaluated diagnostic accuracy of suPAR have shown specificity from 64–77%. Also, the current findings agreed with the study by López-Izquierdo et al.\n18\n found that for 28-day mortality, the qSOFA presented a cut-off of two points, with a sensitivity of 74.3 and specificity of 73.1. The SOFA score presented a cut-off of three points for 30-day mortality, with a sensitivity of 81.6 and a specificity of 76.5.\nThe current study revealed that, there was a significant positive correlation between SOFA score and each of suPAR and PAI-1. Also, there was a significant positive correlation between SuPAR level with PT, PAI-1. In addition, PAI-1 level significantly positively correlated with PT. This agreed with the study by Jalkanen et al.,\n19\n found that the SuPAR and PAI-1 concentrations were higher in critically ill patients compared to healthy volunteers. SuPAR and PAI-1 concentrations were higher in critically ill patients compared to healthy volunteers. Another study by Silvestre et al.,\n20\n found that, SOFA was independently associated with a higher risk of in-hospital mortality, 28-day mortality and 90-day mortality.\nAs mentioned above our study showed that SuPAR, PAI-1, and SOFA score were significant predictors to hospital mortality. This agreed with the study by Wingeyer et al.,\n21\n found that in total, 76.4% of deaths but only 55.6% of surviving patients could be predicted with a SOFA score greater than 4 at time 0, with a global prediction of 65.4%. However, when they combined a SOFA of ≥ 4 and the presence of the PAI-1, in combination with plasma levels of PAI-1 ≥ 16 (UA/l), the global prediction rose to 71.9%, with a prediction of survival of 74.1% and a prediction of death of 69.4%. Another study by Vincent,\n22\n found that, invasive mechanical ventilation in patients with severe sepsis was identified to be an independent predictor of mortality. Previously, Prabhakaran et al.,\n23\n\nand Sapru et al.,\n24\n reported PAI-1 has been considered valuable in prognostication in patients with ARF. Previous reports indicate that PAI-1 levels are elevated in sepsis and VAP, and predict mortality and MOF.\nOn the other hand, Jalkanen et al.,\n19\n reported that like other biomarkers, suPAR as a single biomarker is not strong enough for clinical decision-making. Also, PAI-1 was a poor prognostic marker for mortality or development of sepsis. The highest quartile of PAI-1 concentrations did not have predictive value for 90-day mortality or association with ALI/ARDS. There was a marked variation in suPAR in the healthy volunteers, Koch et al.,\n16\n found the highest suPAR concentrations in healthy volunteers were lower than the concentrations of patients with an increased risk of poor outcome. PAI-1 levels in healthy volunteers were stable and low. Varied results may be due to different inclusion and exclusion criteria and different study samples.\nLimitations One limitation of this study is the limited number of patients as a developing country we have not simply had a registry for all patients and due to environmental and cultural reasons, many critically ill patients from old age not seeking hospital consultation.\nAnother limitation is the PAI-1 and SuPAR serum levels had been studied a lot in critically ill patients and not a novel hypothesis but to our knowledge, it is the first Egyptian study to elicit its level with early mortality of sepsis and we consider it a trial to use these markers as prognostic predictors not only a diagnostic.\nOne limitation of this study is the limited number of patients as a developing country we have not simply had a registry for all patients and due to environmental and cultural reasons, many critically ill patients from old age not seeking hospital consultation.\nAnother limitation is the PAI-1 and SuPAR serum levels had been studied a lot in critically ill patients and not a novel hypothesis but to our knowledge, it is the first Egyptian study to elicit its level with early mortality of sepsis and we consider it a trial to use these markers as prognostic predictors not only a diagnostic.", "One limitation of this study is the limited number of patients as a developing country we have not simply had a registry for all patients and due to environmental and cultural reasons, many critically ill patients from old age not seeking hospital consultation.\nAnother limitation is the PAI-1 and SuPAR serum levels had been studied a lot in critically ill patients and not a novel hypothesis but to our knowledge, it is the first Egyptian study to elicit its level with early mortality of sepsis and we consider it a trial to use these markers as prognostic predictors not only a diagnostic.", "Our study concluded that SuPAR and PAI-1 both can be used for predicting early mortality. Also, SOFA score, PAI-1, and suPAR were significant predictors of hospital morbidity and mortality. The sample size was relatively small, which may have decreased the statistical power of the results of the present study. Hence, additional studies with large sample sizes are required for further validation of the present results." ]
[ "intro", null, null, null, null, null, null, null, null, null, "results", "discussion", null, "conclusion" ]
[ "plasminogen activator inhibitor-1", "soluble urokinase plasminogen activator receptor", "sepsis" ]
Introduction: In 1992, sepsis was defined as a systemic inflammatory response syndrome (SIRS) to infection that results from an activation of the innate immune response, regardless of the cause. 1 Sepsis has been redefined again as life-threatening organ dysfunction caused by dysregulated host responses to infection and septic shock as a subset of sepsis in which particularly profound circulatory, cellular, and metabolic abnormalities are associated with a greater risk of mortality than with sepsis alone. 2 Globally, sepsis is common, with an estimated population incidence of 270 cases per-100,000 person yearly and acute mortality of 26.0%. Many reasons suggest even this underestimate the magnitude of sepsis-associated mortality and morbidity. 3 The biomarkers of sepsis can be classified as markers of acute-phase protein (C-reactive protein [CRP], procalcitonin [PCT], and lipopolysaccharide-binding protein), cytokine/chemokine biomarkers (IL-6, IL-8), and markers of other pathophysiologic processes (coagulation factors and soluble cell surface receptors). Also, complement factors (C3a, C5a, and the soluble form of the C5a receptor, sC5aR) have been defined as early markers of sepsis and sepsis severity. CRP and PCT are the most practically used for the detection of bloodstream infections. 4 Plasminogen activator inhibitor-1(PAI-1) is a protein that in humans is encoded by the SERPINE 1 gene, elevated PAI-1 is a risk factor for thrombosis and atherosclerosis. 5 Soluble urokinase plasminogen activator receptor (SuPAR) is a soluble protein form; SuPAR concentration positively correlates to the activation level of the immune system and is present in plasma, urine, blood, serum, and CSF. SuPAR is an indicator of disease severity and aggressiveness. 6 The use of plasma suPAR level enhanced the efficiency of sepsis diagnosis, and the combination of plasma suPAR and APACHE II score improved mortality prediction. 7 Studying long-term outcomes of sepsis is that poor functional status is a risk factor for becoming critically ill as well as a frequent consequence. Many co-morbidities, age, and chronic diseases are risk factors both for sepsis and for impaired quality of life. Therefore, studies work to distinguish between the potentially causal effects of sepsis and that simply describe morbidity and mortality events. 8 Aim of the study This study aimed to identify the blood level of plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) in sepsis and its association with mortality. This study aimed to identify the blood level of plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) in sepsis and its association with mortality. Patient and methods This is an observational prospective study that included 60 adult patients with sepsis admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020. All participants were volunteers, and all of them signed written informed consent with explaining the aim of this study before the study initiation. Approval of the study protocol was obtained by the local Ethical Scientific Committee of Menoufia University’s institutional review board under number (MNF112/2019). Patients with sepsis were diagnosed based on both of the following criteria Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 This is an observational prospective study that included 60 adult patients with sepsis admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020. All participants were volunteers, and all of them signed written informed consent with explaining the aim of this study before the study initiation. Approval of the study protocol was obtained by the local Ethical Scientific Committee of Menoufia University’s institutional review board under number (MNF112/2019). Patients with sepsis were diagnosed based on both of the following criteria Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 All subjects were selected according to inclusion and exclusion criteria Inclusion criteria Adult patients with sepsis, both sexes, and age more than 30 years. Adult patients with sepsis, both sexes, and age more than 30 years. Exclusion criteria Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Methods 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 Inclusion criteria Adult patients with sepsis, both sexes, and age more than 30 years. Adult patients with sepsis, both sexes, and age more than 30 years. Exclusion criteria Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Methods 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 Statistical analysis Method of calculation and justification for sample size Method of calculation and justification for sample size The sample size calculation Sample size was calculated using G*power version 3.1.9.2 based on previous studies and our experience, we expected to find large effect size (d = 0.8) between group I/group II. With a power of 80% (using t-test and alpha of 0.05). The allocation ratio N2/N1 is 2/1. The sample needed for the study was estimated to be 48 patients taking in our consideration 25% drop off. Finally, the total sample size was estimated 60 patients ( 40 patients for group I, 20 patients for group II ). 10 N = 60 patients. Confidence interval = 95% Alpha = 0.05 Power = 80% The clinical data were recorded on a report form. These data were tabulated and analyzed using the computer program SPSS (Statistical package for social science) version 21((SPSS Inc, Chicago, IL, USA). The variables were tested using Chi-Squared (χ2) test for qualitative data, Mann Whitney U test for testing quantitative data, correlation coefficient test (Pearson test), multivariate logistic regression analysis, and the ROC (receiver operating characteristic) curves to detect validity of different markers for prediction of early hospital mortality. When p value was less than 0.05, it was considered significant. Sample size was calculated using G*power version 3.1.9.2 based on previous studies and our experience, we expected to find large effect size (d = 0.8) between group I/group II. With a power of 80% (using t-test and alpha of 0.05). The allocation ratio N2/N1 is 2/1. The sample needed for the study was estimated to be 48 patients taking in our consideration 25% drop off. Finally, the total sample size was estimated 60 patients ( 40 patients for group I, 20 patients for group II ). 10 N = 60 patients. Confidence interval = 95% Alpha = 0.05 Power = 80% The clinical data were recorded on a report form. These data were tabulated and analyzed using the computer program SPSS (Statistical package for social science) version 21((SPSS Inc, Chicago, IL, USA). The variables were tested using Chi-Squared (χ2) test for qualitative data, Mann Whitney U test for testing quantitative data, correlation coefficient test (Pearson test), multivariate logistic regression analysis, and the ROC (receiver operating characteristic) curves to detect validity of different markers for prediction of early hospital mortality. When p value was less than 0.05, it was considered significant. Aim of the study: This study aimed to identify the blood level of plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) in sepsis and its association with mortality. Patient and methods: This is an observational prospective study that included 60 adult patients with sepsis admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020. All participants were volunteers, and all of them signed written informed consent with explaining the aim of this study before the study initiation. Approval of the study protocol was obtained by the local Ethical Scientific Committee of Menoufia University’s institutional review board under number (MNF112/2019). Patients with sepsis were diagnosed based on both of the following criteria Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 Patients with sepsis were diagnosed based on both of the following criteria: Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 All subjects were selected according to inclusion and exclusion criteria: Inclusion criteria Adult patients with sepsis, both sexes, and age more than 30 years. Adult patients with sepsis, both sexes, and age more than 30 years. Exclusion criteria Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Methods 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 Inclusion criteria: Adult patients with sepsis, both sexes, and age more than 30 years. Exclusion criteria: Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Methods: 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 Statistical analysis: Method of calculation and justification for sample size The sample size calculation: Sample size was calculated using G*power version 3.1.9.2 based on previous studies and our experience, we expected to find large effect size (d = 0.8) between group I/group II. With a power of 80% (using t-test and alpha of 0.05). The allocation ratio N2/N1 is 2/1. The sample needed for the study was estimated to be 48 patients taking in our consideration 25% drop off. Finally, the total sample size was estimated 60 patients ( 40 patients for group I, 20 patients for group II ). 10 N = 60 patients. Confidence interval = 95% Alpha = 0.05 Power = 80% The clinical data were recorded on a report form. These data were tabulated and analyzed using the computer program SPSS (Statistical package for social science) version 21((SPSS Inc, Chicago, IL, USA). The variables were tested using Chi-Squared (χ2) test for qualitative data, Mann Whitney U test for testing quantitative data, correlation coefficient test (Pearson test), multivariate logistic regression analysis, and the ROC (receiver operating characteristic) curves to detect validity of different markers for prediction of early hospital mortality. When p value was less than 0.05, it was considered significant. Results: The mean age of the included patients was 62.1±10.7 years with 51.7% of them were females. Diabetes mellitus was reported in 30.0% of the included patients. The pulmonary primary site of infection was found in 56.7%. Also, the mean BMI of the studied patients was 24.9 ± 2.9 Kg/m2. The mean CRP, hemoglobin, and WBCs count were (105.8 ± 70.7, 10.3 ± 0.6, and 17.32 ± 9.6) respectively. The mean creatinine and urea levels were 3.4 ± 2.3 and 158.3 ± 124.9, respectively. Additionally, mean AST, ALT, PT, PAI-1, and SuPAR were 65.7 ± 32.4, 62.4 ± 24.5, 13.6 ± 7.9, 74.9± 6 1.3, and 11.3 ± 5.7, respectively, as shown in Table 1.Table 1.Baseline characteristics of studied patients (n=60).ItemPatients (n = 60)N%Sex: no, %MaleFemale293148.351.7Mean ± SDMin-MaxAge/Years64.90 ± 7.4030–74BMI (kg/m2)24.91 ± 2.9221–34No%Comorbidities:Diabetes mellitusHypertension181430.023.3Primary site of infection:PulmonaryCutaneousDigestiveUrinaryArticular3411104156.718.316.76.71.7Mean ± SDMin-MaxVital signs:MABP (mmhg)HR (beats/minutes)Temp. (oC)RR (cycles/minutes)79.1 ± 5.5107.5 ± 8.537.3 ± 1.422.3 ± 2.667–9895–12027.8–38.419–28SOFA score7.2 ± 2.254–12CRP (mg/L)105.8 ± 70.72–454Hemoglobin (g/dl)10.3 ± 0.69.3–11.5WBCs (*103)/ml17.3 ± 9.62.8–43.8Creatinine (mg/dl)3.42 ± 2.300.2–8.5Urea (mg/dl)158.30 ± 124.938.3–434AST (u/l)65.72 ± 32.3828–239ALT (u/l)62.37 ± 24.4635–186PT (second)13.60 ± 1.2912–16PAI-1 (pg/ml)80.75 ± 61.8626–412SuPAR (pg/ml)11.29 ± 5.843.2–45MABP: Mean arterial blood pressure is defined as the average pressure in the patients arteries during one cardiac cycle, MABP= SBP + 2 (DBP)/3; HR: heart rate; Temp.: temperature; RR: respiratory rate. Baseline characteristics of studied patients (n=60). MABP: Mean arterial blood pressure is defined as the average pressure in the patients arteries during one cardiac cycle, MABP= SBP + 2 (DBP)/3; HR: heart rate; Temp.: temperature; RR: respiratory rate. Respirator rate, SuPAR, PAI-1, and SOFA score were significantly higher among the non-survivor group than the survivor one (p < 0.05), all other variables were insignificant between the two groups as shown in Table 2.Table 2.Comparison between survivors and non-survivors regarding baseline characteristics.VariableSurvivors (n = 49)Non - survivors (n = 11)U Testp ValueMean ± SDMean ± SDAge/year64.24 ± 7.8167.81 ± 4.311.570.12N%N%SexMaleFemale252451.049.04736.463.6X20.770.38BMI (kg/m2)25.03 ± 3.1424.37 ± 1.660.260.80Blood pressure78.97 ± 5.8279.63 ± 3.960.490.63Heart rate106.73 ± 8.42110.64 ± 8.421.400.16Respiratory rate21.90 ± 2.4623.91 ± 2.882.190.03*Temperature37.29 ± 1.4837.49 ± 0.510.050.96SOFA score6.49 ± 1.7210.36 ± 1.504.66<0.001*CRP (mg/L)103.39 ± 73.47116.64 ± 58.420.340.35HB (g/dl)10.33 ± 0.5510.18 ± 0.760.720.47WBCs (*103)/ml17.22 ± 10.3917.74 ± 4.860.720.47Creatinine (mg/dl)3.49 ± 2.473.14 ± 1.320.170.86Urea (mg/dl)159.64 ± 135.82152.35 ± 59.110.650.52AST (U/L)65.94 ± 35.0864.73 ± 16.710.600.55ALT (U/L)62.57 ± 26.6461.45 ± 11.070.590.55PT (second)13.47 ± 1.2614.18 ± 1.331.660.10SuPAR (pg/ml)9.60 ± 3.1318.8 ± 8.854.950.001*PAI-1 (pg/ml)59.55 ± 28.98175.18 ± 80.844.98<0.001*U = Mann Whitney U test, (*) significant.BMI: body mass index; CRP: C-reactive protein; HB: hemoglobin; WBC: white blood cells; AST: Aspartate transaminase; ALT: Alanine transaminase; PT: prothrombin time; PAI-1: Plasminogen activator inhibitor-1; SuPAR: Soluble urokinase plasminogen activator receptor. Comparison between survivors and non-survivors regarding baseline characteristics. U = Mann Whitney U test, (*) significant. BMI: body mass index; CRP: C-reactive protein; HB: hemoglobin; WBC: white blood cells; AST: Aspartate transaminase; ALT: Alanine transaminase; PT: prothrombin time; PAI-1: Plasminogen activator inhibitor-1; SuPAR: Soluble urokinase plasminogen activator receptor. The SOFA score had a sensitivity of 90.9%, specificity of 87.8%, and accuracy of 0.90 at a cutoff value of ≥8.5 for predicting mortality (Figure 1). suPAR had a sensitivity of 100%, specificity of 95.9%, and accuracy of 0.94 at a cutoff value of ≥13.4 for predicting mortality (Figure 2). Finally, PAI-1 had a sensitivity of 100%, specificity of 93.9%, and accuracy of 0.95 at a cutoff value of ≥122.5 for predicting mortality (Figure 3), as shown in Table 3.Figure 1.ROC curve analysis of SOFA score for prediction of mortality.Figure 2.ROC curve analysis of suPAR for prediction of mortality.Figure 3.ROC curve analysis of PAI-1 for prediction of mortality.Table 3.Cutoff levels of SOFA score, SuPAR, and PAI-1 for predicting early sepsis mortality/7 days.VariableAUCCutoff value95% CISensitivity, %Specificity, %PPV, %NPV, %Accuracy, %SOFA score0.947≥8.50.89–1.090.987.862.597.788.3SuPAR (pg/ml)0.981≥13.40.94–1.010095.984.610094PAI-1 (pg/ml)0.983≥122.50.95–1.010093.978.610095Sens: sensitivity; Spec.: specificity; PPV: positive predictive value; NPV: negative predictive value. ROC curve analysis of SOFA score for prediction of mortality. ROC curve analysis of suPAR for prediction of mortality. ROC curve analysis of PAI-1 for prediction of mortality. Cutoff levels of SOFA score, SuPAR, and PAI-1 for predicting early sepsis mortality/7 days. Sens: sensitivity; Spec.: specificity; PPV: positive predictive value; NPV: negative predictive value. The correlation coefficient between PAI-1 and other parameters, as shown in Table 4. There was a significant correlation according to PT (as shown also in Figure 4) and also there were significant positive correlations between PAI-1 and each of SOFA score and SuPAR level (as shown in Figure 5). Other parameters’ correlations to PAI-1 were insignificant.Table 4.Pearson’s correlation coefficient between PAI-1, SuPAR, and other parameters.VariablePAI-1 (pg/ml)suPAR (pg/ml)(r) p value (r) p value Age/year0.0040.970−0.0860.417BMI (kg/m2)0.1400.1840.0510.630CRP (mg/L)0.1910.070−0.0330.756Hemoglobin (g/dl)0.01230.246−0.1710.104WBCs (103)/ml a 0.0740.4860.0220.836Creatinine (mg/dl)−0.1450.169−0.0050.959Urea (mg/dl)−0.0630.5520.0470.655AST (U/L)0.0010.992−0.0610.564ALT (UL)0.1370.194−0.0310.771PT (second)0.3460.001 a 0.483<0.001 a SOFA score0.400<0.001 a 0.389<0.001 a SuPAR (pg/ml)0.3270.002 a ------PAI-1 (pg/ml)--------0.3270.002 a asignificant.BMI: body mass index CRP: C-reactive protein WBC: white blood cells; AST: Aspartate transaminase ALT: Alanine transaminase PT: prothrombin time PAI-1: Plasminogen activator inhibitor-1 SuPAR: Soluble urokinase plasminogen activator receptor.Figure 4.Correlation between PAI-1 and PT.Figure 5.Correlation between PAI-1and SuPAR. Pearson’s correlation coefficient between PAI-1, SuPAR, and other parameters. asignificant. BMI: body mass index CRP: C-reactive protein WBC: white blood cells; AST: Aspartate transaminase ALT: Alanine transaminase PT: prothrombin time PAI-1: Plasminogen activator inhibitor-1 SuPAR: Soluble urokinase plasminogen activator receptor. Correlation between PAI-1 and PT. Correlation between PAI-1and SuPAR. SuPAR level had a significant correlation with each of PT (Figure 6) and SOFA score. Other parameters’ correlations to SuPAR were insignificant, as shown in Table 4.Figure 6.Correlation between SuPAR and PT. Correlation between SuPAR and PT. Finally Table 5 shows the logistic regression for risk, and from that table PAI-1 and SuPAR blood levels had a significant statistical prediction for early sepsis mortality/7 days.Table 5.Logistic regression analysis for independent risk of early sepsis mortality/7 days.VariableWald X2p ValueOR95% CISOFA score1.120.331.190.67–3.91SuPAR (pg/ml)2.660.009 a 2.101.05–12.8PAI-1 (pg/ml)2.30.02 a 1.920.72–8.68asignificant.PAI-1: Plasminogen activator inhibitor-1; SuPAR: Soluble urokinase plasminogen activator receptor. Logistic regression analysis for independent risk of early sepsis mortality/7 days. asignificant. PAI-1: Plasminogen activator inhibitor-1; SuPAR: Soluble urokinase plasminogen activator receptor. Discussion: Plasminogen activator inhibitor type 1 (PAI-1) is a 50-kDa glycoprotein of the serine protease inhibitor family. The primary role of PAI-1 in vivo is the inhibition of both tissue- and urokinase-type plasminogen activators. In addition to this function, PAI-1 acts as an acute-phase protein during acute inflammation. PAI1 is a pivotal player in the pathogenesis of sepsis, a complex clinical syndrome that results from a systemic inflammatory response. 11 The present study showed the mean age of the included patients was 62.1 ± 1 0.7 years and this agreed with the study by Mohamed et al., 12 who found (71.25%) of patients were males and (28.75%) were females. Maximum patients had belonged to the age group of 50–80 years of age. The mean age of the study population by Ref. 12 was 60.97 years. The study by Kim et al., 13 found the mean SOFA score was 8.0 ± 2.8. In addition, mean MPV was 8.64 fL at baseline and 8.96 fL at 72 h after ED admission. The main infection sites were the urinary tract (25.2%) and lung (24.1%) followed by the intra-abdominal cavity (22.0%). But, we found the pulmonary primary site of infection was in 56.7%, followed by the cutaneous site in 18.3%, and while the digestive site was reported in 16.7%. The mean BMI of the studied patients was 24.9 ± 2.9 Kg/m2. Mohamed and his colleagues 12 found that type 2 diabetes mellitus and systemic hypertension were the major comorbidities present in the study population, both being present in 37 patients each (46.25%). Respiratory comorbidities, chronic liver, and kidney diseases along with heart diseases were also present in a significant number of patients. Fever was the most common presenting feature (72.50%) followed by breathlessness (43.75%), cough (32.50%), abdominal, and neurologic symptoms. Based on the presenting symptoms and clinical examination findings, the majority of the patients (66.25%) had respiratory tract as the suspected source of sepsis. For us, we had found diabetes mellitus was 30.0% of the included patients while 23.3% of them had hypertension. According to the inflammatory labs’ assessment (mean CRP, hemoglobin, and WBCs count), mean creatinine and urea levels, mean AST, ALT, and PT showed that we are similar also to Mohamed et al., 12 who found that, 67.5% mortality among the patients with severe sepsis. Low platelet count, high CRP, and elevated levels of serum lactate along with need for invasive mechanical ventilation were found to be a clear predictor of mortality in severely septic patients. SOFA score of more than 8.5, at the time of admission to the ICU. Also, with Ghany et al., 14 found that, forty-four (19%) of 232 patients with baseline AST/ALT ratio >0.8 experienced clinical decompensation compared to 16 (6.7%) of 238 with baseline AST/ALT ratio ≤0.8. Within each stratum of baseline AST/ALT ratio, patients who had severe worsening (>15% increase between month 24 and baseline) had a higher rate of clinical decompensation. Our study showed that respiratory rate, SuPAR, PAI-1, and SOFA score were significantly higher among the non-survivor group than the survivor one. While there was no significant difference between the two groups regarding age, sex, heart rate, temperature, SOFA score, CRP, HB, WBCs, creatinine, urea, AST, ALT, and PT. These results agreed with that reported by Kim et al., 13 as the non-survivors exhibited significantly higher SOFA score than did the survivors. Also according to they there were no significant differences in age, mean arterial pressure, WBC, Hb, serum creatinine, total bilirubin, RBC transfusion, and heparin use between the two groups. Also, Mohamed et al., 12 found that, none of the difference in mean values of liver enzymes, serum bilirubin, serum albumin, and international normalized ratio between the mortality and survivor groups was statistically significant. While, the current findings disagreed with the study by Li et al., 15 who had found the patients who survived were more likely to have higher baseline levels of hemoglobin and serum albumin and lower breathing rates, lactate levels, platelet (PLT) counts, urea nitrogen, creatinine, eGFR, and cystatin-C (Cys-C) values than the patients who died. Also, Kim et al., 13 revealed that non-survivors exhibited significantly higher C-reactive protein (CRP) and lactate levels than did survivors, whereas body mass index (BMI); platelet count; estimated glomerular filtration rate (eGFR); and albumin, total cholesterol, and pH levels in non-survivors were significantly lower than those in survivors. The current study revealed that the sensitivity of SOFA score for predicting early sepsis mortality was 90.9%, specificity of 87.8%, and accuracy of 0.90 at a cutoff value of ≥8.5. Also, the sensitivity of SuPAR for predicting mortality was 100%, specificity of 95.9%, and accuracy of 0.94 at a cutoff value of ≥13.4. While the sensitivity of PAI.1 was 100%, specificity of 93.9%, and accuracy of 0.95 at a cutoff value of ≥122.5. In this line, two studies by Koch et al. 16 and Loonen et al. 17 evaluated diagnostic accuracy of suPAR have shown specificity from 64–77%. Also, the current findings agreed with the study by López-Izquierdo et al. 18 found that for 28-day mortality, the qSOFA presented a cut-off of two points, with a sensitivity of 74.3 and specificity of 73.1. The SOFA score presented a cut-off of three points for 30-day mortality, with a sensitivity of 81.6 and a specificity of 76.5. The current study revealed that, there was a significant positive correlation between SOFA score and each of suPAR and PAI-1. Also, there was a significant positive correlation between SuPAR level with PT, PAI-1. In addition, PAI-1 level significantly positively correlated with PT. This agreed with the study by Jalkanen et al., 19 found that the SuPAR and PAI-1 concentrations were higher in critically ill patients compared to healthy volunteers. SuPAR and PAI-1 concentrations were higher in critically ill patients compared to healthy volunteers. Another study by Silvestre et al., 20 found that, SOFA was independently associated with a higher risk of in-hospital mortality, 28-day mortality and 90-day mortality. As mentioned above our study showed that SuPAR, PAI-1, and SOFA score were significant predictors to hospital mortality. This agreed with the study by Wingeyer et al., 21 found that in total, 76.4% of deaths but only 55.6% of surviving patients could be predicted with a SOFA score greater than 4 at time 0, with a global prediction of 65.4%. However, when they combined a SOFA of ≥ 4 and the presence of the PAI-1, in combination with plasma levels of PAI-1 ≥ 16 (UA/l), the global prediction rose to 71.9%, with a prediction of survival of 74.1% and a prediction of death of 69.4%. Another study by Vincent, 22 found that, invasive mechanical ventilation in patients with severe sepsis was identified to be an independent predictor of mortality. Previously, Prabhakaran et al., 23 and Sapru et al., 24 reported PAI-1 has been considered valuable in prognostication in patients with ARF. Previous reports indicate that PAI-1 levels are elevated in sepsis and VAP, and predict mortality and MOF. On the other hand, Jalkanen et al., 19 reported that like other biomarkers, suPAR as a single biomarker is not strong enough for clinical decision-making. Also, PAI-1 was a poor prognostic marker for mortality or development of sepsis. The highest quartile of PAI-1 concentrations did not have predictive value for 90-day mortality or association with ALI/ARDS. There was a marked variation in suPAR in the healthy volunteers, Koch et al., 16 found the highest suPAR concentrations in healthy volunteers were lower than the concentrations of patients with an increased risk of poor outcome. PAI-1 levels in healthy volunteers were stable and low. Varied results may be due to different inclusion and exclusion criteria and different study samples. Limitations One limitation of this study is the limited number of patients as a developing country we have not simply had a registry for all patients and due to environmental and cultural reasons, many critically ill patients from old age not seeking hospital consultation. Another limitation is the PAI-1 and SuPAR serum levels had been studied a lot in critically ill patients and not a novel hypothesis but to our knowledge, it is the first Egyptian study to elicit its level with early mortality of sepsis and we consider it a trial to use these markers as prognostic predictors not only a diagnostic. One limitation of this study is the limited number of patients as a developing country we have not simply had a registry for all patients and due to environmental and cultural reasons, many critically ill patients from old age not seeking hospital consultation. Another limitation is the PAI-1 and SuPAR serum levels had been studied a lot in critically ill patients and not a novel hypothesis but to our knowledge, it is the first Egyptian study to elicit its level with early mortality of sepsis and we consider it a trial to use these markers as prognostic predictors not only a diagnostic. Limitations: One limitation of this study is the limited number of patients as a developing country we have not simply had a registry for all patients and due to environmental and cultural reasons, many critically ill patients from old age not seeking hospital consultation. Another limitation is the PAI-1 and SuPAR serum levels had been studied a lot in critically ill patients and not a novel hypothesis but to our knowledge, it is the first Egyptian study to elicit its level with early mortality of sepsis and we consider it a trial to use these markers as prognostic predictors not only a diagnostic. Conclusion: Our study concluded that SuPAR and PAI-1 both can be used for predicting early mortality. Also, SOFA score, PAI-1, and suPAR were significant predictors of hospital morbidity and mortality. The sample size was relatively small, which may have decreased the statistical power of the results of the present study. Hence, additional studies with large sample sizes are required for further validation of the present results.
Background: Sepsis has been redefined recently as life-threatening organ dysfunction caused by dysregulated host responses to infection and septic shock. Soluble urokinase plasminogen activator receptor (SuPAR) and plasminogen activator inhibitor-1(PAI-1) concentration positively correlate to the activation level of the immune system, and are markers of disease severity and aggressiveness. Methods: This is an observational prospective study that enrolled 60 adult patients with sepsis (according to SOFA), admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020. Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) were checked in all participants. Results: SuPAR and PAI.1 were significant independent predictors of hospital mortality. SuPAR showed sensitivity 100%, specificity 95.9%, and accuracy 94% for prediction of early mortality at a cutoff value of 13.4(pg/ml). While, PAI-1 demonstrated sensitivity 100%, specificity 93.9%, and accuracy of 95% at a cutoff value of 122.5 for predicting mortality. Conclusions: PAI-1 and suPAR were significant predictors of hospital mortality among sepsis patients. The sample size was relatively small, which may have decreased the statistical power of the results of the present study. Hence, additional studies with large sample sizes are required for further validation of the present results.
Introduction: In 1992, sepsis was defined as a systemic inflammatory response syndrome (SIRS) to infection that results from an activation of the innate immune response, regardless of the cause. 1 Sepsis has been redefined again as life-threatening organ dysfunction caused by dysregulated host responses to infection and septic shock as a subset of sepsis in which particularly profound circulatory, cellular, and metabolic abnormalities are associated with a greater risk of mortality than with sepsis alone. 2 Globally, sepsis is common, with an estimated population incidence of 270 cases per-100,000 person yearly and acute mortality of 26.0%. Many reasons suggest even this underestimate the magnitude of sepsis-associated mortality and morbidity. 3 The biomarkers of sepsis can be classified as markers of acute-phase protein (C-reactive protein [CRP], procalcitonin [PCT], and lipopolysaccharide-binding protein), cytokine/chemokine biomarkers (IL-6, IL-8), and markers of other pathophysiologic processes (coagulation factors and soluble cell surface receptors). Also, complement factors (C3a, C5a, and the soluble form of the C5a receptor, sC5aR) have been defined as early markers of sepsis and sepsis severity. CRP and PCT are the most practically used for the detection of bloodstream infections. 4 Plasminogen activator inhibitor-1(PAI-1) is a protein that in humans is encoded by the SERPINE 1 gene, elevated PAI-1 is a risk factor for thrombosis and atherosclerosis. 5 Soluble urokinase plasminogen activator receptor (SuPAR) is a soluble protein form; SuPAR concentration positively correlates to the activation level of the immune system and is present in plasma, urine, blood, serum, and CSF. SuPAR is an indicator of disease severity and aggressiveness. 6 The use of plasma suPAR level enhanced the efficiency of sepsis diagnosis, and the combination of plasma suPAR and APACHE II score improved mortality prediction. 7 Studying long-term outcomes of sepsis is that poor functional status is a risk factor for becoming critically ill as well as a frequent consequence. Many co-morbidities, age, and chronic diseases are risk factors both for sepsis and for impaired quality of life. Therefore, studies work to distinguish between the potentially causal effects of sepsis and that simply describe morbidity and mortality events. 8 Aim of the study This study aimed to identify the blood level of plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) in sepsis and its association with mortality. This study aimed to identify the blood level of plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) in sepsis and its association with mortality. Patient and methods This is an observational prospective study that included 60 adult patients with sepsis admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020. All participants were volunteers, and all of them signed written informed consent with explaining the aim of this study before the study initiation. Approval of the study protocol was obtained by the local Ethical Scientific Committee of Menoufia University’s institutional review board under number (MNF112/2019). Patients with sepsis were diagnosed based on both of the following criteria Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 This is an observational prospective study that included 60 adult patients with sepsis admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020. All participants were volunteers, and all of them signed written informed consent with explaining the aim of this study before the study initiation. Approval of the study protocol was obtained by the local Ethical Scientific Committee of Menoufia University’s institutional review board under number (MNF112/2019). Patients with sepsis were diagnosed based on both of the following criteria Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 Patients with suspected infection (thorough history taking with clinical status, routine laboratory tests, blood or urine cultures if possible, and radiological images as by (pelvi-abdominal ultrasound, plain chest X-ray, and CT or MRI if possible) who are likely to have a prolonged ICU stay or to die in the hospital identified SOFA score. 2 All subjects were selected according to inclusion and exclusion criteria Inclusion criteria Adult patients with sepsis, both sexes, and age more than 30 years. Adult patients with sepsis, both sexes, and age more than 30 years. Exclusion criteria Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Methods 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 Inclusion criteria Adult patients with sepsis, both sexes, and age more than 30 years. Adult patients with sepsis, both sexes, and age more than 30 years. Exclusion criteria Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Pregnant women, cardiac patients, and chronic renal disease. For all subjects, the following procedures were performed: personal history, past history, present history, and family history. Also, thorough clinical examination: complete general and local examination. In addition, laboratory examination including: Complete blood picture, Kidney functions, and Liver function test. Specific investigations including: Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR). Methods 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 3 mL of blood were collected from all patients and a small quantity of plasma (0.2 mL) was isolated within 30 min and stored at −80°C for measurement of SuPAR and PAI-1 levels. Human PAI-1 ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 156 pg/ml-10,000 pg/mL and sensitivity < 10 pg/mL. 9 . Human SuPAR ELISA Kit (Chongqing Biospes Co, Ltd, China) with a range of 30 pg/mL—360 pg/mL and Sensitivity of 3 pg/mL. 9 Statistical analysis Method of calculation and justification for sample size Method of calculation and justification for sample size The sample size calculation Sample size was calculated using G*power version 3.1.9.2 based on previous studies and our experience, we expected to find large effect size (d = 0.8) between group I/group II. With a power of 80% (using t-test and alpha of 0.05). The allocation ratio N2/N1 is 2/1. The sample needed for the study was estimated to be 48 patients taking in our consideration 25% drop off. Finally, the total sample size was estimated 60 patients ( 40 patients for group I, 20 patients for group II ). 10 N = 60 patients. Confidence interval = 95% Alpha = 0.05 Power = 80% The clinical data were recorded on a report form. These data were tabulated and analyzed using the computer program SPSS (Statistical package for social science) version 21((SPSS Inc, Chicago, IL, USA). The variables were tested using Chi-Squared (χ2) test for qualitative data, Mann Whitney U test for testing quantitative data, correlation coefficient test (Pearson test), multivariate logistic regression analysis, and the ROC (receiver operating characteristic) curves to detect validity of different markers for prediction of early hospital mortality. When p value was less than 0.05, it was considered significant. Sample size was calculated using G*power version 3.1.9.2 based on previous studies and our experience, we expected to find large effect size (d = 0.8) between group I/group II. With a power of 80% (using t-test and alpha of 0.05). The allocation ratio N2/N1 is 2/1. The sample needed for the study was estimated to be 48 patients taking in our consideration 25% drop off. Finally, the total sample size was estimated 60 patients ( 40 patients for group I, 20 patients for group II ). 10 N = 60 patients. Confidence interval = 95% Alpha = 0.05 Power = 80% The clinical data were recorded on a report form. These data were tabulated and analyzed using the computer program SPSS (Statistical package for social science) version 21((SPSS Inc, Chicago, IL, USA). The variables were tested using Chi-Squared (χ2) test for qualitative data, Mann Whitney U test for testing quantitative data, correlation coefficient test (Pearson test), multivariate logistic regression analysis, and the ROC (receiver operating characteristic) curves to detect validity of different markers for prediction of early hospital mortality. When p value was less than 0.05, it was considered significant. Conclusion: Our study concluded that SuPAR and PAI-1 both can be used for predicting early mortality. Also, SOFA score, PAI-1, and suPAR were significant predictors of hospital morbidity and mortality. The sample size was relatively small, which may have decreased the statistical power of the results of the present study. Hence, additional studies with large sample sizes are required for further validation of the present results.
Background: Sepsis has been redefined recently as life-threatening organ dysfunction caused by dysregulated host responses to infection and septic shock. Soluble urokinase plasminogen activator receptor (SuPAR) and plasminogen activator inhibitor-1(PAI-1) concentration positively correlate to the activation level of the immune system, and are markers of disease severity and aggressiveness. Methods: This is an observational prospective study that enrolled 60 adult patients with sepsis (according to SOFA), admitted to Menoufia and Zagazig university hospitals during the period from December 2019 till October 2020. Plasminogen activator inhibitor-1 (PAI-1) and soluble urokinase plasminogen activator receptor (SuPAR) were checked in all participants. Results: SuPAR and PAI.1 were significant independent predictors of hospital mortality. SuPAR showed sensitivity 100%, specificity 95.9%, and accuracy 94% for prediction of early mortality at a cutoff value of 13.4(pg/ml). While, PAI-1 demonstrated sensitivity 100%, specificity 93.9%, and accuracy of 95% at a cutoff value of 122.5 for predicting mortality. Conclusions: PAI-1 and suPAR were significant predictors of hospital mortality among sepsis patients. The sample size was relatively small, which may have decreased the statistical power of the results of the present study. Hence, additional studies with large sample sizes are required for further validation of the present results.
7,210
248
[ 32, 234, 69, 445, 16, 87, 115, 8, 248, 107 ]
14
[ "patients", "pai", "supar", "ml", "pg ml", "pg", "mortality", "sepsis", "study", "plasminogen" ]
[ "markers sepsis sepsis", "sepsis severity", "sepsis associated mortality", "pathogenesis sepsis complex", "biomarkers sepsis classified" ]
null
[CONTENT] plasminogen activator inhibitor-1 | soluble urokinase plasminogen activator receptor | sepsis [SUMMARY]
null
[CONTENT] plasminogen activator inhibitor-1 | soluble urokinase plasminogen activator receptor | sepsis [SUMMARY]
[CONTENT] plasminogen activator inhibitor-1 | soluble urokinase plasminogen activator receptor | sepsis [SUMMARY]
[CONTENT] plasminogen activator inhibitor-1 | soluble urokinase plasminogen activator receptor | sepsis [SUMMARY]
[CONTENT] plasminogen activator inhibitor-1 | soluble urokinase plasminogen activator receptor | sepsis [SUMMARY]
[CONTENT] Aged | Biomarkers | Female | Hospital Mortality | Humans | Male | Middle Aged | Plasminogen Activator Inhibitor 1 | Prognosis | Receptors, Urokinase Plasminogen Activator | Respiratory Rate | Sepsis [SUMMARY]
null
[CONTENT] Aged | Biomarkers | Female | Hospital Mortality | Humans | Male | Middle Aged | Plasminogen Activator Inhibitor 1 | Prognosis | Receptors, Urokinase Plasminogen Activator | Respiratory Rate | Sepsis [SUMMARY]
[CONTENT] Aged | Biomarkers | Female | Hospital Mortality | Humans | Male | Middle Aged | Plasminogen Activator Inhibitor 1 | Prognosis | Receptors, Urokinase Plasminogen Activator | Respiratory Rate | Sepsis [SUMMARY]
[CONTENT] Aged | Biomarkers | Female | Hospital Mortality | Humans | Male | Middle Aged | Plasminogen Activator Inhibitor 1 | Prognosis | Receptors, Urokinase Plasminogen Activator | Respiratory Rate | Sepsis [SUMMARY]
[CONTENT] Aged | Biomarkers | Female | Hospital Mortality | Humans | Male | Middle Aged | Plasminogen Activator Inhibitor 1 | Prognosis | Receptors, Urokinase Plasminogen Activator | Respiratory Rate | Sepsis [SUMMARY]
[CONTENT] markers sepsis sepsis | sepsis severity | sepsis associated mortality | pathogenesis sepsis complex | biomarkers sepsis classified [SUMMARY]
null
[CONTENT] markers sepsis sepsis | sepsis severity | sepsis associated mortality | pathogenesis sepsis complex | biomarkers sepsis classified [SUMMARY]
[CONTENT] markers sepsis sepsis | sepsis severity | sepsis associated mortality | pathogenesis sepsis complex | biomarkers sepsis classified [SUMMARY]
[CONTENT] markers sepsis sepsis | sepsis severity | sepsis associated mortality | pathogenesis sepsis complex | biomarkers sepsis classified [SUMMARY]
[CONTENT] markers sepsis sepsis | sepsis severity | sepsis associated mortality | pathogenesis sepsis complex | biomarkers sepsis classified [SUMMARY]
[CONTENT] patients | pai | supar | ml | pg ml | pg | mortality | sepsis | study | plasminogen [SUMMARY]
null
[CONTENT] patients | pai | supar | ml | pg ml | pg | mortality | sepsis | study | plasminogen [SUMMARY]
[CONTENT] patients | pai | supar | ml | pg ml | pg | mortality | sepsis | study | plasminogen [SUMMARY]
[CONTENT] patients | pai | supar | ml | pg ml | pg | mortality | sepsis | study | plasminogen [SUMMARY]
[CONTENT] patients | pai | supar | ml | pg ml | pg | mortality | sepsis | study | plasminogen [SUMMARY]
[CONTENT] ml | pg ml | pg | history | patients | sepsis | test | supar | examination | plasminogen [SUMMARY]
null
[CONTENT] figure | table | pai | supar | pt | ml | mg | dl | pg | pg ml [SUMMARY]
[CONTENT] results | sample | present | study | mortality | required validation | required validation present | score pai | score pai supar | score pai supar significant [SUMMARY]
[CONTENT] ml | patients | pg ml | pg | pai | supar | study | history | sepsis | plasminogen [SUMMARY]
[CONTENT] ml | patients | pg ml | pg | pai | supar | study | history | sepsis | plasminogen [SUMMARY]
[CONTENT] ||| inhibitor-1(PAI-1 [SUMMARY]
null
[CONTENT] PAI.1 ||| 100% | 95.9% | 94% | 13.4(pg ||| PAI-1 | 100% | 93.9% | 95% | 122.5 [SUMMARY]
[CONTENT] PAI-1 ||| ||| [SUMMARY]
[CONTENT] ||| inhibitor-1(PAI-1 ||| 60 | Menoufia | Zagazig | December 2019 | October 2020 ||| Plasminogen | PAI-1 ||| SuPAR | PAI.1 ||| 100% | 95.9% | 94% | 13.4(pg ||| PAI-1 | 100% | 93.9% | 95% | 122.5 ||| PAI-1 ||| ||| [SUMMARY]
[CONTENT] ||| inhibitor-1(PAI-1 ||| 60 | Menoufia | Zagazig | December 2019 | October 2020 ||| Plasminogen | PAI-1 ||| SuPAR | PAI.1 ||| 100% | 95.9% | 94% | 13.4(pg ||| PAI-1 | 100% | 93.9% | 95% | 122.5 ||| PAI-1 ||| ||| [SUMMARY]
Ketamine's antidepressant efficacy is extended for at least four weeks in subjects with a family history of an alcohol use disorder.
25539512
A single subanesthetic infusion of the N-methyl-D-aspartate (NMDA) receptor antagonist ketamine has rapid and potent antidepressant properties in treatment-resistant major depressive disorder (TRD). As a family history of an alcohol use disorder is a positive predictor of ketamine's antidepressant response and the strength of the association increases over time, we hypothesized that depressed subjects with a family history of an alcohol use disorder would have greater antidepressant durability and that riluzole would augment and/or extend ketamine's antidepressant efficacy.
BACKGROUND
Fifty-two TRD subjects received an open-label infusion of ketamine (0.5mg/kg over 40 minutes), and, four to six hours post-infusion, were randomized to either flexible-dose (100-200mg/day) riluzole or placebo in the following proportions: Family History Positive (FHP) riluzole (n = 10), FHP placebo (n = 9), Family History Negative (FHN) riluzole (n = 16), and FHN placebo (n = 17).
METHODS
FHP subjects randomized to placebo had a greater antidepressant response than FHN subjects; however, contrary to our initial hypothesis, there was no significant difference in antidepressant efficacy with riluzole. Although potentially underpowered, there was no difference in overall time-to-relapse based on randomization status (riluzole responders: n = 15, placebo responders: n = 17). Yet, time-to-relapse was longer in FHP placebo responders (n = 8) compared to FHN placebo responders (n = 9) with, again, no significant difference in time-to-relapse in FHP riluzole responders (n = 6) compared to FHN riluzole responders (n = 9).
RESULTS
Ketamine's extended antidepressant durability in FHP TRD should be considered in the design and analysis of ketamine depression trials.
CONCLUSIONS
[ "Adolescent", "Adult", "Aged", "Alcohol-Related Disorders", "Antidepressive Agents", "Depressive Disorder, Major", "Depressive Disorder, Treatment-Resistant", "Double-Blind Method", "Excitatory Amino Acid Antagonists", "Family", "Genetic Predisposition to Disease", "Humans", "Kaplan-Meier Estimate", "Ketamine", "Middle Aged", "Riluzole", "Treatment Outcome", "Young Adult" ]
4303351
Introduction
Major depressive disorder (MDD) has one of the highest morbidities worldwide (Kessler et al., 2003; Ustun et al., 2004; Ormel et al., 2008), and, as demonstrated in large real-world effectiveness trials (Rush et al., 2006, 2011), standard antidepressants are effective in only a proportion of patients. Additionally, there is a substantial time lag in response: 2–4 weeks for initial effect and 6–12 weeks for maximal efficacy. Treatment-resistant MDD (TRD) is associated with substantial psychosocial dysfunction, morbidity, and mortality, due in part to suicide and undertreated medical comorbidities. As a result, there is a critical need for better and more rapid-acting antidepressants to quickly alleviate the burden of depression for patients, their families and friends, and society at large. The noncompetitive N-methyl-D-aspartate (NMDA) receptor antagonist ketamine, a US Food and Drug Administration–approved dissociative anesthetic, acted as a rapid-acting antidepressant in several randomized, double-blind, placebo-controlled (Berman et al., 2000; Zarate et al., 2006, 2012; Diazgranados et al., 2010; Valentine et al., 2011; Murrough, Iosifescu, et al., 2013) and open-label (Ibrahim et al., 2012; Murrough, Perez, et al., 2013) studies. Unlike monoaminergic antidepressants, which often require weeks to months to achieve maximal efficacy, a single subanesthetic dose of ketamine has rapid (within hours) and potent (at least one week) antidepressant efficacy. As a result, there have been numerous efforts to maintain ketamine’s antidepressant efficacy beyond this one-week window. In several case reports (Liebrenz et al., 2009; Murrough et al., 2011; Blier et al., 2012) and an open-labeled trial (Murrough, Perez, et al., 2013), repeated-dose ketamine prolonged the initial antidepressant response. However, there are as yet no controlled long-term studies demonstrating that repeated-dose ketamine is safe and tolerable. Based on preliminary antidepressant efficacy in MDD (Sanacora et al., 2004, 2007; Zarate et al., 2004), the glutamatergic modulator riluzole has been investigated as an oral means of prolonging ketamine’s antidepressant response. Mathew et al. (2010) administered double-blind flexible dose (100–200mg/day) riluzole to 17 TRD ketamine responders in a randomized, placebo-controlled, 32-day extension trial. In an interim analysis, riluzole did not delay time to relapse and, as a result, the trial was stopped for futility. Next, our group designed and recently reported a four-week, randomized, double-blind, placebo-controlled riluzole extension trial following open-label subanesthetic dose ketamine infusion in 42 TRD patients (Zarate et al., 2012). In that report, there was also no improvement in depression between riluzole and placebo groups. We have explored demographic and clinical factors to identify subgroups associated with better response in order to maximize ketamine’s antidepressant effects. In both treatment-resistant MDD (Phelps et al., 2009) and bipolar depression (Luckenbaugh et al., 2012), subjects with a family history of alcohol dependence in a first-degree relative had a more robust and sustained antidepressant response to ketamine. Also, in a recent pooled correlative analysis of all our reported ketamine trials at the National Institute of Mental Health, at one week post-infusion, family history of an alcohol use disorder in a first-degree relative was the strongest studied demographic and clinical predictor of ketamine response, alone accounting for up to 22% of the variance in percent change in the 17-item Hamilton Depression Rating Scale (HDRS17) scores (Niciu, Luckenbaugh, et al., 2014). Finally, in an independent sample of 42 patients with treatment-resistant bipolar depression, a family history of alcoholism also correlated with improved antidepressant response to ketamine: 17 of 22 responders vs. 4 of 20 non-responders had a positive family history (Permoda-Osip et al., 2014). And, in two bipolar depression samples (Luckenbaugh et al., 2012; Permoda-Osip et al., 2014) but not in our unipolar depressed sample (Phelps et al., 2009), a lifetime personal history of an alcohol use disorder also predicted improved antidepressant efficacy. After our initial ketamine riluzole extension trial report (Ibrahim et al., 2012), enrollment continued with the aim of identifying biomarkers and clinical predictors of treatment response. Here, we report the effect of family history of an alcohol use disorder in a first-degree relative over the full 28-day trial, and include 10 additional patients. We hypothesized that improvement in depressive symptoms resulting from a single ketamine infusion would be prolonged beyond one week in subjects with a family history of an alcohol use disorder in a first-degree relative (Family History Positive [FHP]) compared to those without an alcohol use disorder in an immediate relative (Family History Negative [FHN]). We also hypothesized that riluzole would augment and/or extend ketamine’s antidepressant efficacy in FHP but not FHN subjects. Finally, as in our initial report (Phelps et al., 2009), we hypothesized that a lifetime personal history of an alcohol use disorder would not predict ketamine’s antidepressant efficacy in this larger TRD sample.
Methods
Patient Selection All subjects (18–65 years old) had a diagnosis of MDD without psychotic features as assessed by face-to-face evaluation with a licensed independent psychiatric practitioner and Structured Clinical Interview for Axis I DSM-IV Disorders-Patient Version. They were admitted to the Clinical Research Center of the National Institute of Mental Health in Bethesda, Maryland, between January 2006 and September 2013 and had a Montgomery Asberg Depression Rating Scale (MADRS) severity score of ≥22 both at screening and on the day of ketamine infusion (with no greater than a 25% decrease between screening and infusion). Additionally, participants were in a major depressive episode of at least four weeks duration at the time of screening. Treatment resistance was confirmed by prior failure of at least 2 adequate antidepressant trials using a modified version of the antidepressant treatment history form (Sackeim, 2001). Stable physical health was assessed by medical history, physical examination, standard laboratory measures, electrocardiogram, and urine toxicology. All subjects could not meet criteria for an active substance use disorder (excluding nicotine or caffeine) for at least 3 months prior to enrollment. Comorbid axis I anxiety disorders were permitted if they were not the primary focus of treatment within 12 months prior to screening. Exclusion criteria included serious unstable medical conditions (e.g. uncontrolled asthma or hypertension), previous use of ketamine, riluzole, or phencyclidine, and concomitant treatment with psychotropic medications or electroconvulsive therapy in the 2 weeks prior to infusion (at least 5 weeks for fluoxetine). Female subjects could not be pregnant or nursing and agreed to use approved methods of birth control or complete abstinence during the entirety of the protocol. The written protocol was approved by the Combined Neuroscience Institutional Review Board of the National Institutes of Health (NIH). All subjects provided written informed consent for screening and this specific protocol, and were assigned an independent clinical research advocate to impartially monitor the consent process and ensure ethical research participation. All subjects (18–65 years old) had a diagnosis of MDD without psychotic features as assessed by face-to-face evaluation with a licensed independent psychiatric practitioner and Structured Clinical Interview for Axis I DSM-IV Disorders-Patient Version. They were admitted to the Clinical Research Center of the National Institute of Mental Health in Bethesda, Maryland, between January 2006 and September 2013 and had a Montgomery Asberg Depression Rating Scale (MADRS) severity score of ≥22 both at screening and on the day of ketamine infusion (with no greater than a 25% decrease between screening and infusion). Additionally, participants were in a major depressive episode of at least four weeks duration at the time of screening. Treatment resistance was confirmed by prior failure of at least 2 adequate antidepressant trials using a modified version of the antidepressant treatment history form (Sackeim, 2001). Stable physical health was assessed by medical history, physical examination, standard laboratory measures, electrocardiogram, and urine toxicology. All subjects could not meet criteria for an active substance use disorder (excluding nicotine or caffeine) for at least 3 months prior to enrollment. Comorbid axis I anxiety disorders were permitted if they were not the primary focus of treatment within 12 months prior to screening. Exclusion criteria included serious unstable medical conditions (e.g. uncontrolled asthma or hypertension), previous use of ketamine, riluzole, or phencyclidine, and concomitant treatment with psychotropic medications or electroconvulsive therapy in the 2 weeks prior to infusion (at least 5 weeks for fluoxetine). Female subjects could not be pregnant or nursing and agreed to use approved methods of birth control or complete abstinence during the entirety of the protocol. The written protocol was approved by the Combined Neuroscience Institutional Review Board of the National Institutes of Health (NIH). All subjects provided written informed consent for screening and this specific protocol, and were assigned an independent clinical research advocate to impartially monitor the consent process and ensure ethical research participation. Study Design and Medications As previously described (Ibrahim et al., 2012), this was a double-blind, randomized, parallel-group, placebo-controlled, flexible-dose, inpatient study conducted to determine the antidepressant efficacy of an intravenous ketamine infusion followed by oral riluzole. Following a 2-week drug-free period (5 weeks for fluoxetine), 52 subjects received a single open-label infusion of 0.5mg/kg ketamine hydrochloride over 40 minutes. Four to six hours post-infusion, subjects were randomized to either flexible-dose (100–200mg/day) riluzole or placebo twice daily for 4 weeks. Dose escalations occurred on a weekly basis until the appearance of treatment-limiting side effects or study completion. Dose reductions were permitted by one capsule (50mg/week to a minimum of 100mg/day) in the case of intolerable side effects. Nursing staff monitored medication adherence. No concomitant medications with central nervous system effects were permitted throughout the 4-week trial. As previously described (Ibrahim et al., 2012), this was a double-blind, randomized, parallel-group, placebo-controlled, flexible-dose, inpatient study conducted to determine the antidepressant efficacy of an intravenous ketamine infusion followed by oral riluzole. Following a 2-week drug-free period (5 weeks for fluoxetine), 52 subjects received a single open-label infusion of 0.5mg/kg ketamine hydrochloride over 40 minutes. Four to six hours post-infusion, subjects were randomized to either flexible-dose (100–200mg/day) riluzole or placebo twice daily for 4 weeks. Dose escalations occurred on a weekly basis until the appearance of treatment-limiting side effects or study completion. Dose reductions were permitted by one capsule (50mg/week to a minimum of 100mg/day) in the case of intolerable side effects. Nursing staff monitored medication adherence. No concomitant medications with central nervous system effects were permitted throughout the 4-week trial. Outcome Measures and Statistical Analyses As in our prior studies (Phelps et al., 2009; Luckenbaugh et al., 2012; Niciu, Luckenbaugh, et al., 2014), family history was assessed pre-infusion with the Family Interview for Genetic Studies. FHP was defined as having at least one first-degree relative with an alcohol use disorder, and, as corollary, FHN was defined as an absence of a first-degree relative with an alcohol use disorder. Subjects were rated with a battery of neuropsychiatric measures at 60 minutes prior to infusion, at several post-infusion time points on infusion day (+40, +80, +120, and +230 minutes) and throughout the following 28 days. The following measures were rated daily: the MADRS (Montgomery and Asberg, 1979), HDRS17 (Hamilton, 1960), the Beck Depression Inventory (Beck and Beamesderfer, 1974), the Scale of Suicide Ideation (Beck et al., 1979), and the Young Mania Rating Scale (YMRS; Young et al., 1978). The Hamilton Anxiety Rating Scale (Hamilton, 1959) was obtained at days 1, 3, 7, 14, 21, and 28. Change in MADRS was primary and the remaining measures were secondary outcomes. All assessments were administered by research nurses, licensed independent practitioners (including psychiatrists), and psychologists who often evaluated the same patients concurrently to maximize reliability: for the MADRS, the inter-class correlation coefficient (ICC) = 0.94; HDRS17: ICC = 0.92; and YMRS: ICC = 0.92. Whenever possible, the same blinded rater conducted the clinician-administered ratings for an individual patient. As all subjects were inpatients, daily ratings were obtained for the entirety of the 28-day trial, even if the subjects relapsed post-ketamine infusion (see Results for additional information on treatment retention). Factorial linear mixed models with restricted maximum likelihood estimation and an autoregressive moving average covariance structure were used to examine the change in clinical ratings over the treatment course with study day as the within-subjects factor and family history of an alcohol use disorder and medication (riluzole vs. placebo) extension as between-subjects factors. Baseline rating scale scores were included as covariates. All potential interactions between time, family history of an alcohol use disorder, and drug were included in the model. The fixed intercept was included, but the random intercept and random subject effect were not included because they did not contribute significantly to the model. The primary analysis used the intent-to-treat sample, where all participants had at least one post-baseline measure. Kaplan-Meier survival analyses were performed using patients who responded (≥50% MADRS improvement from baseline) to ketamine at ≤230 minutes post-infusion. Relapse was defined by 2 consecutive days where the patient had ≤25% improvement from baseline MADRS. A log-rank test was used to compare drug effects, and family history of an alcohol use disorder was examined within each drug group. Additional models examined a lifetime personal history of an alcohol use disorder in the same fashion as described above. All analyses used two-tailed significance criteria of p < .05 and were performed with SPSS 21 (IBM). As in our prior studies (Phelps et al., 2009; Luckenbaugh et al., 2012; Niciu, Luckenbaugh, et al., 2014), family history was assessed pre-infusion with the Family Interview for Genetic Studies. FHP was defined as having at least one first-degree relative with an alcohol use disorder, and, as corollary, FHN was defined as an absence of a first-degree relative with an alcohol use disorder. Subjects were rated with a battery of neuropsychiatric measures at 60 minutes prior to infusion, at several post-infusion time points on infusion day (+40, +80, +120, and +230 minutes) and throughout the following 28 days. The following measures were rated daily: the MADRS (Montgomery and Asberg, 1979), HDRS17 (Hamilton, 1960), the Beck Depression Inventory (Beck and Beamesderfer, 1974), the Scale of Suicide Ideation (Beck et al., 1979), and the Young Mania Rating Scale (YMRS; Young et al., 1978). The Hamilton Anxiety Rating Scale (Hamilton, 1959) was obtained at days 1, 3, 7, 14, 21, and 28. Change in MADRS was primary and the remaining measures were secondary outcomes. All assessments were administered by research nurses, licensed independent practitioners (including psychiatrists), and psychologists who often evaluated the same patients concurrently to maximize reliability: for the MADRS, the inter-class correlation coefficient (ICC) = 0.94; HDRS17: ICC = 0.92; and YMRS: ICC = 0.92. Whenever possible, the same blinded rater conducted the clinician-administered ratings for an individual patient. As all subjects were inpatients, daily ratings were obtained for the entirety of the 28-day trial, even if the subjects relapsed post-ketamine infusion (see Results for additional information on treatment retention). Factorial linear mixed models with restricted maximum likelihood estimation and an autoregressive moving average covariance structure were used to examine the change in clinical ratings over the treatment course with study day as the within-subjects factor and family history of an alcohol use disorder and medication (riluzole vs. placebo) extension as between-subjects factors. Baseline rating scale scores were included as covariates. All potential interactions between time, family history of an alcohol use disorder, and drug were included in the model. The fixed intercept was included, but the random intercept and random subject effect were not included because they did not contribute significantly to the model. The primary analysis used the intent-to-treat sample, where all participants had at least one post-baseline measure. Kaplan-Meier survival analyses were performed using patients who responded (≥50% MADRS improvement from baseline) to ketamine at ≤230 minutes post-infusion. Relapse was defined by 2 consecutive days where the patient had ≤25% improvement from baseline MADRS. A log-rank test was used to compare drug effects, and family history of an alcohol use disorder was examined within each drug group. Additional models examined a lifetime personal history of an alcohol use disorder in the same fashion as described above. All analyses used two-tailed significance criteria of p < .05 and were performed with SPSS 21 (IBM).
null
null
Discussion
Drs Niciu, Ionescu, Richards, Vande Voort, and Ballard, Ms. Brutsche, and Mr. Luckenbaugh have no potential financial conflicts of interest to disclose. Dr Furey is listed as a co-inventor on a patent application for the use of scopolamine in major depression, and Dr Zarate is listed as a co-inventor on a patent application for the use of ketamine and its metabolites in major depression. Drs Furey and Zarate have assigned their rights in the patent to the US Government but will share a percentage of any royalties that may be received by the Government.
[ "Introduction", "Patient Selection", "Study Design and Medications", "Outcome Measures and Statistical Analyses", "Results", "Discussion" ]
[ "Major depressive disorder (MDD) has one of the highest morbidities worldwide (Kessler et al., 2003; Ustun et al., 2004; Ormel et al., 2008), and, as demonstrated in large real-world effectiveness trials (Rush et al., 2006, 2011), standard antidepressants are effective in only a proportion of patients. Additionally, there is a substantial time lag in response: 2–4 weeks for initial effect and 6–12 weeks for maximal efficacy. Treatment-resistant MDD (TRD) is associated with substantial psychosocial dysfunction, morbidity, and mortality, due in part to suicide and undertreated medical comorbidities. As a result, there is a critical need for better and more rapid-acting antidepressants to quickly alleviate the burden of depression for patients, their families and friends, and society at large.\nThe noncompetitive N-methyl-D-aspartate (NMDA) receptor antagonist ketamine, a US Food and Drug Administration–approved dissociative anesthetic, acted as a rapid-acting antidepressant in several randomized, double-blind, placebo-controlled (Berman et al., 2000; Zarate et al., 2006, 2012; Diazgranados et al., 2010; Valentine et al., 2011; Murrough, Iosifescu, et al., 2013) and open-label (Ibrahim et al., 2012; Murrough, Perez, et al., 2013) studies. Unlike monoaminergic antidepressants, which often require weeks to months to achieve maximal efficacy, a single subanesthetic dose of ketamine has rapid (within hours) and potent (at least one week) antidepressant efficacy. As a result, there have been numerous efforts to maintain ketamine’s antidepressant efficacy beyond this one-week window. In several case reports (Liebrenz et al., 2009; Murrough et al., 2011; Blier et al., 2012) and an open-labeled trial (Murrough, Perez, et al., 2013), repeated-dose ketamine prolonged the initial antidepressant response. However, there are as yet no controlled long-term studies demonstrating that repeated-dose ketamine is safe and tolerable. Based on preliminary antidepressant efficacy in MDD (Sanacora et al., 2004, 2007; Zarate et al., 2004), the glutamatergic modulator riluzole has been investigated as an oral means of prolonging ketamine’s antidepressant response. Mathew et al. (2010) administered double-blind flexible dose (100–200mg/day) riluzole to 17 TRD ketamine responders in a randomized, placebo-controlled, 32-day extension trial. In an interim analysis, riluzole did not delay time to relapse and, as a result, the trial was stopped for futility. Next, our group designed and recently reported a four-week, randomized, double-blind, placebo-controlled riluzole extension trial following open-label subanesthetic dose ketamine infusion in 42 TRD patients (Zarate et al., 2012). In that report, there was also no improvement in depression between riluzole and placebo groups.\nWe have explored demographic and clinical factors to identify subgroups associated with better response in order to maximize ketamine’s antidepressant effects. In both treatment-resistant MDD (Phelps et al., 2009) and bipolar depression (Luckenbaugh et al., 2012), subjects with a family history of alcohol dependence in a first-degree relative had a more robust and sustained antidepressant response to ketamine. Also, in a recent pooled correlative analysis of all our reported ketamine trials at the National Institute of Mental Health, at one week post-infusion, family history of an alcohol use disorder in a first-degree relative was the strongest studied demographic and clinical predictor of ketamine response, alone accounting for up to 22% of the variance in percent change in the 17-item Hamilton Depression Rating Scale (HDRS17) scores (Niciu, Luckenbaugh, et al., 2014). Finally, in an independent sample of 42 patients with treatment-resistant bipolar depression, a family history of alcoholism also correlated with improved antidepressant response to ketamine: 17 of 22 responders vs. 4 of 20 non-responders had a positive family history (Permoda-Osip et al., 2014). And, in two bipolar depression samples (Luckenbaugh et al., 2012; Permoda-Osip et al., 2014) but not in our unipolar depressed sample (Phelps et al., 2009), a lifetime personal history of an alcohol use disorder also predicted improved antidepressant efficacy.\nAfter our initial ketamine riluzole extension trial report (Ibrahim et al., 2012), enrollment continued with the aim of identifying biomarkers and clinical predictors of treatment response. Here, we report the effect of family history of an alcohol use disorder in a first-degree relative over the full 28-day trial, and include 10 additional patients. We hypothesized that improvement in depressive symptoms resulting from a single ketamine infusion would be prolonged beyond one week in subjects with a family history of an alcohol use disorder in a first-degree relative (Family History Positive [FHP]) compared to those without an alcohol use disorder in an immediate relative (Family History Negative [FHN]). We also hypothesized that riluzole would augment and/or extend ketamine’s antidepressant efficacy in FHP but not FHN subjects. Finally, as in our initial report (Phelps et al., 2009), we hypothesized that a lifetime personal history of an alcohol use disorder would not predict ketamine’s antidepressant efficacy in this larger TRD sample.", "All subjects (18–65 years old) had a diagnosis of MDD without psychotic features as assessed by face-to-face evaluation with a licensed independent psychiatric practitioner and Structured Clinical Interview for Axis I DSM-IV Disorders-Patient Version. They were admitted to the Clinical Research Center of the National Institute of Mental Health in Bethesda, Maryland, between January 2006 and September 2013 and had a Montgomery Asberg Depression Rating Scale (MADRS) severity score of ≥22 both at screening and on the day of ketamine infusion (with no greater than a 25% decrease between screening and infusion). Additionally, participants were in a major depressive episode of at least four weeks duration at the time of screening. Treatment resistance was confirmed by prior failure of at least 2 adequate antidepressant trials using a modified version of the antidepressant treatment history form (Sackeim, 2001).\nStable physical health was assessed by medical history, physical examination, standard laboratory measures, electrocardiogram, and urine toxicology. All subjects could not meet criteria for an active substance use disorder (excluding nicotine or caffeine) for at least 3 months prior to enrollment. Comorbid axis I anxiety disorders were permitted if they were not the primary focus of treatment within 12 months prior to screening. Exclusion criteria included serious unstable medical conditions (e.g. uncontrolled asthma or hypertension), previous use of ketamine, riluzole, or phencyclidine, and concomitant treatment with psychotropic medications or electroconvulsive therapy in the 2 weeks prior to infusion (at least 5 weeks for fluoxetine). Female subjects could not be pregnant or nursing and agreed to use approved methods of birth control or complete abstinence during the entirety of the protocol.\nThe written protocol was approved by the Combined Neuroscience Institutional Review Board of the National Institutes of Health (NIH). All subjects provided written informed consent for screening and this specific protocol, and were assigned an independent clinical research advocate to impartially monitor the consent process and ensure ethical research participation.", "As previously described (Ibrahim et al., 2012), this was a double-blind, randomized, parallel-group, placebo-controlled, flexible-dose, inpatient study conducted to determine the antidepressant efficacy of an intravenous ketamine infusion followed by oral riluzole. Following a 2-week drug-free period (5 weeks for fluoxetine), 52 subjects received a single open-label infusion of 0.5mg/kg ketamine hydrochloride over 40 minutes. Four to six hours post-infusion, subjects were randomized to either flexible-dose (100–200mg/day) riluzole or placebo twice daily for 4 weeks. Dose escalations occurred on a weekly basis until the appearance of treatment-limiting side effects or study completion. Dose reductions were permitted by one capsule (50mg/week to a minimum of 100mg/day) in the case of intolerable side effects. Nursing staff monitored medication adherence. No concomitant medications with central nervous system effects were permitted throughout the 4-week trial.", "As in our prior studies (Phelps et al., 2009; Luckenbaugh et al., 2012; Niciu, Luckenbaugh, et al., 2014), family history was assessed pre-infusion with the Family Interview for Genetic Studies. FHP was defined as having at least one first-degree relative with an alcohol use disorder, and, as corollary, FHN was defined as an absence of a first-degree relative with an alcohol use disorder. Subjects were rated with a battery of neuropsychiatric measures at 60 minutes prior to infusion, at several post-infusion time points on infusion day (+40, +80, +120, and +230 minutes) and throughout the following 28 days. The following measures were rated daily: the MADRS (Montgomery and Asberg, 1979), HDRS17 (Hamilton, 1960), the Beck Depression Inventory (Beck and Beamesderfer, 1974), the Scale of Suicide Ideation (Beck et al., 1979), and the Young Mania Rating Scale (YMRS; Young et al., 1978). The Hamilton Anxiety Rating Scale (Hamilton, 1959) was obtained at days 1, 3, 7, 14, 21, and 28. Change in MADRS was primary and the remaining measures were secondary outcomes. All assessments were administered by research nurses, licensed independent practitioners (including psychiatrists), and psychologists who often evaluated the same patients concurrently to maximize reliability: for the MADRS, the inter-class correlation coefficient (ICC) = 0.94; HDRS17: ICC = 0.92; and YMRS: ICC = 0.92. Whenever possible, the same blinded rater conducted the clinician-administered ratings for an individual patient. As all subjects were inpatients, daily ratings were obtained for the entirety of the 28-day trial, even if the subjects relapsed post-ketamine infusion (see Results for additional information on treatment retention).\nFactorial linear mixed models with restricted maximum likelihood estimation and an autoregressive moving average covariance structure were used to examine the change in clinical ratings over the treatment course with study day as the within-subjects factor and family history of an alcohol use disorder and medication (riluzole vs. placebo) extension as between-subjects factors. Baseline rating scale scores were included as covariates. All potential interactions between time, family history of an alcohol use disorder, and drug were included in the model. The fixed intercept was included, but the random intercept and random subject effect were not included because they did not contribute significantly to the model. The primary analysis used the intent-to-treat sample, where all participants had at least one post-baseline measure.\nKaplan-Meier survival analyses were performed using patients who responded (≥50% MADRS improvement from baseline) to ketamine at ≤230 minutes post-infusion. Relapse was defined by 2 consecutive days where the patient had ≤25% improvement from baseline MADRS. A log-rank test was used to compare drug effects, and family history of an alcohol use disorder was examined within each drug group.\nAdditional models examined a lifetime personal history of an alcohol use disorder in the same fashion as described above.\nAll analyses used two-tailed significance criteria of p < .05 and were performed with SPSS 21 (IBM).", "A total of 142 subjects were assessed under our screening protocol, 59 subjects were enrolled, and 52 subjects received ketamine followed by randomization to riluzole or placebo (Supplemental Figure S1). The demographics and clinical characteristics of the sample are reported in Supplemental Table S1. Family history and drug groups resulting from randomization were in the following proportions: FHN placebo (n = 17), FHP placebo (n = 9), FHN riluzole (n = 16), and FHP riluzole (n = 10).\nOn controlling for baseline MADRS, we first observed a main effect of group [MADRS: FHN (n = 33) < FHP (n = 19); F(1,49) = 5.25, p = .03] over the course of 4 weeks but no main effect of drug [F(1,50) = 0.07, p = .79]. Yet, there was a significant group-by-drug interaction [F(1,49) = 5.18, p = .03], such that FHP subjects had less depression than FHN subjects [F(1,50) = 9.69, p = .003] when randomized to placebo (Figure 1A). An analogous effect was not evident with riluzole [F(1,48) = 0.003, p = .95; Figure 1B]. Although potentially underpowered, the three-way interaction (group-by-drug-by-time) did not reach statistical significance [F(27,403) = 1.50, p = .053].\nKetamine’s antidepressant efficacy is improved for at least four weeks in treatment-resistant unipolar depressed subjects with a family history of an alcohol use disorder. (A) When randomized to placebo 4–6 hours after a single subanesthetic intravenous ketamine infusion, treatment-resistant unipolar depressed subjects with a family history of an alcohol use disorder displayed a greater antidepressant response over the next four weeks [group x time interaction: F(1,50) = 9.69, p = .003]. (B) When randomized to flexible-dose riluzole (100–200mg/day) 4–6 hours after a single subanesthetic intravenous infusion of ketamine, there was no statistically significant difference in antidepressant response based on family history status [group x time interaction: F(1,68) = .003, p = .95]. Abbreviations: FHP: family history positive; FHN: family history negative.\nA similar group-by-drug interaction was observed for the HDRS17 [F(1,48) = 9.82, p = .003]. There were no significant group-by-drug effects, however, observed for the Beck Depression Inventory [F(1,49) = 1.95, p = .17], Hamilton Anxiety Rating Scale [F(1,44) = 3.41, p = .09], Scale of Suicide Ideation [F(1,30) = 0.09, p = .77] or YMRS [F(1,48) = 1.83, p = .18]. There were no statistically-significant three-way interactions on any of these secondary measures.\nWe next performed time-to-relapse survival analyses in ketamine responders (placebo: n = 17; riluzole: n = 15; Figure 2). Riluzole did not significantly delay time-to-relapse (χ2 = 3.73, p = .053; again, the analysis may be underpowered to detect this effect as the effect size was large [Cohen’s d = 0.78]; Figure 2A). The group-by-drug responder breakdown was as follows: FHN placebo responders: n = 9; FHP placebo responders, n = 8; FHN riluzole responders: n = 9; and FHP riluzole responders, n = 6. The FHN group relapsed more quickly than the FHP group on randomization to placebo (χ2 = 7.38, p = .007; FHN placebo responders [3.6 days, SE = 1.0] vs. FHP placebo responders [17.0 days, SE = 3.9]; Figure 2B). Five of the nine FHN placebo responders dropped out, on average, 14±3.9 days into the 28-day trial due to worsening mood and anxiety. Only 1 of the 8 FHP placebo responders dropped out before study completion: at day 18, again due to worsening depression. There was no significant difference between FHP and FHN subjects randomized to riluzole post-ketamine infusion (χ2 = 0.16, p = .69; FHN riluzole responders [19.6 days, SE = 3.3] vs. FHP riluzole responders [15.8 days, SE = 3.6]; data not shown).\nKetamine’s antidepressant efficacy is maintained in treatment-resistant unipolar depressed subjects with a family history of an alcohol use disorder. (A) Prior to stratification by family history status, in a Kaplan-Meier survival analysis, riluzole did not delay time-to-relapse in treatment-resistant MDD antidepressant responders (χ2 = 3.73, p = .053). Response was defined as ≥50% MADRS improvement from baseline at any time point before 230 minute post-infusion, and relapse was defined as two consecutive days where patients had <25% improvement from baseline MADRS. (B) In the subgroup analysis, ketamine’s antidepressant response was extended in FHP patients randomized to placebo post–ketamine infusion. Abbreviations: FHP: family history positive; FHN: family history negative.\nSimilar predictor analyses were performed with a lifetime personal history of an alcohol use disorder (see Supplemental Materials).", "Ketamine has rapid-acting antidepressant effects in both treatment-resistant unipolar (Berman et al., 2000; Zarate et al., 2006; Valentine et al., 2011; Murrough, Iosifescu, et al., 2013) and bipolar (Diazgranados et al., 2010; Zarate et al., 2012) depression. Although the effect size is large to very large, even in refractory populations (Aan Het Rot et al., 2012), not all patients have an antidepressant (or even a positive) response (Niciu, Grunschel, et al., 2013; Szymkowicz et al., 2014). In order to better predict response, our group has extensively investigated treatment response biomarkers (Zarate et al., 2013; Niciu, Mathews, et al., 2014), and one of the strongest positive predictors is a family history of an alcohol use disorder in a first-degree relative (Phelps et al., 2009; Luckenbaugh et al., 2012; Niciu, Luckenbaugh, et al., 2014). In our combined dataset, the strength of this association increased over time, such that it was the strongest identified predictor at one week, alone explaining up to 22% of the antidepressant variance (Niciu, Luckenbaugh, et al., 2014). Yet, this mediating effect in both unipolar and bipolar depression has only been studied up to one week after ketamine infusion. In the present report, ketamine’s antidepressant efficacy was extended for four weeks (and potentially even longer, as the study completed at this time) in FHP subjects. Additionally, FHP extended the duration of antidepressant response by, on average, 13.4 days. These differences, however, were not due to poorer tolerability of ketamine in the FHN group, as the 5 FHN placebo patients who dropped out discontinued their participation, on average, two weeks into the trial due to worsening mood and anxiety.\nNext, the lack of antidepressant efficacy in the FHP riluzole group was contrary to our initial hypothesis. As a potential explanation, we hypothesize that the acute “glutamate surge” is greater in the FHP group, which increases AMPA-to-NMDA receptor throughput and intracellular second messenger/signal transduction cascades critical for ketamine’s antidepressant response (Niciu, Ionescu, et al., 2013). The acute post-infusion administration of riluzole may decrease this synaptic glutamate release by antagonizing presynaptic ionotropic sodium channels, thereby preferentially attenuating ketamine’s antidepressant efficacy. Although too rapid to explain the acute effects, increased riluzole-induced astrocytic GLT-1/EAAT-2 expression also may abrogate the extended antidepressant efficacy of ketamine in the FHP group.\nWe view a family history of an alcohol use disorder as a proxy for genetic or epigenetic risk. As alcohol use disorders are estimated to be at least 50% heritable (Enoch, 2013), we hypothesize that at least a portion of the increased antidepressant efficacy in FHP TRD is attributable to common genetic variation: e.g., single nucleotide polymorphisms and variable number of tandem repeats. Differential glutamate receptor sensitivity may be based on such variation in NMDA receptor subunits (Schumann et al., 2008) and other downstream effectors proteins (Niciu, Ionescu, et al., 2013). However, a family history of an alcohol use disorder also predisposes to other factors, (e.g., an increased risk of physical abuse which, of note, was the only investigated demographic factor significantly increased in the FHP group) that may have long-lasting epigenetic effects (e.g., differential methylation, acetylation and microRNA expression), contributing to this enhanced antidepressant efficacy. Differential methylation (Ressler et al., 2011) and microRNA expression (Zhou et al., 2014) have been observed in post-traumatic stress disorder. Future research should be aimed at identifying the genetic and neural substrates of this differential sensitivity, which may ultimately allow patient stratification based on more objective, continuous measures than the subjective, categorical domain of family history.\nContrary to family history, a lifetime personal history of an alcohol use disorder did not predict ketamine’s antidepressant efficacy in this (potentially underpowered) sample. In post hoc analyses from our ketamine bipolar depression studies (Diazgranados et al., 2010; Zarate et al., 2012), however, a lifetime personal history of an alcohol use disorder moderated improved antidepressant response (Luckenbaugh et al., 2012), a finding which has been replicated in an independent Polish bipolar depression ketamine cohort (Permoda-Osip et al., 2014). In addition to its γ-aminobutyric acid effects, alcohol is also a weak NMDA receptor antagonist (Lovinger, 1995; Fink and Gothert, 1996; Kash et al., 2008). We hypothesize that, due to lingering NMDA receptor blockade, chronic alcohol exposure produces long-term glutamatergic dysfunction—i.e., differential expression of ionotropic (postsynaptic) and/or metabotropic (both pre- and postsynaptic) receptors—that persists even after prolonged abstinence. In support of this hypothesis, central glutamate perturbations have been reported in alcohol use disorders alone and in combination with bipolar disorder, even after ≥1 year abstinence (Thoma et al., 2011). Decreased dorsolateral prefrontal cortical “Glx” (magnetic resonance-detectable glutamate + glutamine) has also been observed in (primarily male) alcohol-dependent bipolar patients compared to non-alcohol dependent bipolar and healthy control subjects (Nery et al., 2010). Taken together, ketamine’s differential effects in PHP treatment-resistant unipolar vs. bipolar depression may represent a critical avenue for future neurobiological and pharmacological investigations.\nIn conclusion, we again present compelling evidence that FHP treatment-resistant unipolar depressed subjects have a more robust antidepressant response to ketamine. Due to the length of this study, we report for the first time that the antidepressant effect of a single infusion is sustained over an entire for at least four weeks. FHP also delayed time-to-relapse in ketamine responders. Finally, although potentially underpowered, total MADRS change was not predicted by personal history status. Due to the strength and longevity of ketamine’s antidepressant efficacy in FHP patients, we encourage all future ketamine depression studies to assess, report, and potentially co-vary based on this variable." ]
[ null, null, null, null, null, null ]
[ "Introduction", "Methods", "Patient Selection", "Study Design and Medications", "Outcome Measures and Statistical Analyses", "Results", "Discussion", "Supplementary Material" ]
[ "Major depressive disorder (MDD) has one of the highest morbidities worldwide (Kessler et al., 2003; Ustun et al., 2004; Ormel et al., 2008), and, as demonstrated in large real-world effectiveness trials (Rush et al., 2006, 2011), standard antidepressants are effective in only a proportion of patients. Additionally, there is a substantial time lag in response: 2–4 weeks for initial effect and 6–12 weeks for maximal efficacy. Treatment-resistant MDD (TRD) is associated with substantial psychosocial dysfunction, morbidity, and mortality, due in part to suicide and undertreated medical comorbidities. As a result, there is a critical need for better and more rapid-acting antidepressants to quickly alleviate the burden of depression for patients, their families and friends, and society at large.\nThe noncompetitive N-methyl-D-aspartate (NMDA) receptor antagonist ketamine, a US Food and Drug Administration–approved dissociative anesthetic, acted as a rapid-acting antidepressant in several randomized, double-blind, placebo-controlled (Berman et al., 2000; Zarate et al., 2006, 2012; Diazgranados et al., 2010; Valentine et al., 2011; Murrough, Iosifescu, et al., 2013) and open-label (Ibrahim et al., 2012; Murrough, Perez, et al., 2013) studies. Unlike monoaminergic antidepressants, which often require weeks to months to achieve maximal efficacy, a single subanesthetic dose of ketamine has rapid (within hours) and potent (at least one week) antidepressant efficacy. As a result, there have been numerous efforts to maintain ketamine’s antidepressant efficacy beyond this one-week window. In several case reports (Liebrenz et al., 2009; Murrough et al., 2011; Blier et al., 2012) and an open-labeled trial (Murrough, Perez, et al., 2013), repeated-dose ketamine prolonged the initial antidepressant response. However, there are as yet no controlled long-term studies demonstrating that repeated-dose ketamine is safe and tolerable. Based on preliminary antidepressant efficacy in MDD (Sanacora et al., 2004, 2007; Zarate et al., 2004), the glutamatergic modulator riluzole has been investigated as an oral means of prolonging ketamine’s antidepressant response. Mathew et al. (2010) administered double-blind flexible dose (100–200mg/day) riluzole to 17 TRD ketamine responders in a randomized, placebo-controlled, 32-day extension trial. In an interim analysis, riluzole did not delay time to relapse and, as a result, the trial was stopped for futility. Next, our group designed and recently reported a four-week, randomized, double-blind, placebo-controlled riluzole extension trial following open-label subanesthetic dose ketamine infusion in 42 TRD patients (Zarate et al., 2012). In that report, there was also no improvement in depression between riluzole and placebo groups.\nWe have explored demographic and clinical factors to identify subgroups associated with better response in order to maximize ketamine’s antidepressant effects. In both treatment-resistant MDD (Phelps et al., 2009) and bipolar depression (Luckenbaugh et al., 2012), subjects with a family history of alcohol dependence in a first-degree relative had a more robust and sustained antidepressant response to ketamine. Also, in a recent pooled correlative analysis of all our reported ketamine trials at the National Institute of Mental Health, at one week post-infusion, family history of an alcohol use disorder in a first-degree relative was the strongest studied demographic and clinical predictor of ketamine response, alone accounting for up to 22% of the variance in percent change in the 17-item Hamilton Depression Rating Scale (HDRS17) scores (Niciu, Luckenbaugh, et al., 2014). Finally, in an independent sample of 42 patients with treatment-resistant bipolar depression, a family history of alcoholism also correlated with improved antidepressant response to ketamine: 17 of 22 responders vs. 4 of 20 non-responders had a positive family history (Permoda-Osip et al., 2014). And, in two bipolar depression samples (Luckenbaugh et al., 2012; Permoda-Osip et al., 2014) but not in our unipolar depressed sample (Phelps et al., 2009), a lifetime personal history of an alcohol use disorder also predicted improved antidepressant efficacy.\nAfter our initial ketamine riluzole extension trial report (Ibrahim et al., 2012), enrollment continued with the aim of identifying biomarkers and clinical predictors of treatment response. Here, we report the effect of family history of an alcohol use disorder in a first-degree relative over the full 28-day trial, and include 10 additional patients. We hypothesized that improvement in depressive symptoms resulting from a single ketamine infusion would be prolonged beyond one week in subjects with a family history of an alcohol use disorder in a first-degree relative (Family History Positive [FHP]) compared to those without an alcohol use disorder in an immediate relative (Family History Negative [FHN]). We also hypothesized that riluzole would augment and/or extend ketamine’s antidepressant efficacy in FHP but not FHN subjects. Finally, as in our initial report (Phelps et al., 2009), we hypothesized that a lifetime personal history of an alcohol use disorder would not predict ketamine’s antidepressant efficacy in this larger TRD sample.", " Patient Selection All subjects (18–65 years old) had a diagnosis of MDD without psychotic features as assessed by face-to-face evaluation with a licensed independent psychiatric practitioner and Structured Clinical Interview for Axis I DSM-IV Disorders-Patient Version. They were admitted to the Clinical Research Center of the National Institute of Mental Health in Bethesda, Maryland, between January 2006 and September 2013 and had a Montgomery Asberg Depression Rating Scale (MADRS) severity score of ≥22 both at screening and on the day of ketamine infusion (with no greater than a 25% decrease between screening and infusion). Additionally, participants were in a major depressive episode of at least four weeks duration at the time of screening. Treatment resistance was confirmed by prior failure of at least 2 adequate antidepressant trials using a modified version of the antidepressant treatment history form (Sackeim, 2001).\nStable physical health was assessed by medical history, physical examination, standard laboratory measures, electrocardiogram, and urine toxicology. All subjects could not meet criteria for an active substance use disorder (excluding nicotine or caffeine) for at least 3 months prior to enrollment. Comorbid axis I anxiety disorders were permitted if they were not the primary focus of treatment within 12 months prior to screening. Exclusion criteria included serious unstable medical conditions (e.g. uncontrolled asthma or hypertension), previous use of ketamine, riluzole, or phencyclidine, and concomitant treatment with psychotropic medications or electroconvulsive therapy in the 2 weeks prior to infusion (at least 5 weeks for fluoxetine). Female subjects could not be pregnant or nursing and agreed to use approved methods of birth control or complete abstinence during the entirety of the protocol.\nThe written protocol was approved by the Combined Neuroscience Institutional Review Board of the National Institutes of Health (NIH). All subjects provided written informed consent for screening and this specific protocol, and were assigned an independent clinical research advocate to impartially monitor the consent process and ensure ethical research participation.\nAll subjects (18–65 years old) had a diagnosis of MDD without psychotic features as assessed by face-to-face evaluation with a licensed independent psychiatric practitioner and Structured Clinical Interview for Axis I DSM-IV Disorders-Patient Version. They were admitted to the Clinical Research Center of the National Institute of Mental Health in Bethesda, Maryland, between January 2006 and September 2013 and had a Montgomery Asberg Depression Rating Scale (MADRS) severity score of ≥22 both at screening and on the day of ketamine infusion (with no greater than a 25% decrease between screening and infusion). Additionally, participants were in a major depressive episode of at least four weeks duration at the time of screening. Treatment resistance was confirmed by prior failure of at least 2 adequate antidepressant trials using a modified version of the antidepressant treatment history form (Sackeim, 2001).\nStable physical health was assessed by medical history, physical examination, standard laboratory measures, electrocardiogram, and urine toxicology. All subjects could not meet criteria for an active substance use disorder (excluding nicotine or caffeine) for at least 3 months prior to enrollment. Comorbid axis I anxiety disorders were permitted if they were not the primary focus of treatment within 12 months prior to screening. Exclusion criteria included serious unstable medical conditions (e.g. uncontrolled asthma or hypertension), previous use of ketamine, riluzole, or phencyclidine, and concomitant treatment with psychotropic medications or electroconvulsive therapy in the 2 weeks prior to infusion (at least 5 weeks for fluoxetine). Female subjects could not be pregnant or nursing and agreed to use approved methods of birth control or complete abstinence during the entirety of the protocol.\nThe written protocol was approved by the Combined Neuroscience Institutional Review Board of the National Institutes of Health (NIH). All subjects provided written informed consent for screening and this specific protocol, and were assigned an independent clinical research advocate to impartially monitor the consent process and ensure ethical research participation.\n Study Design and Medications As previously described (Ibrahim et al., 2012), this was a double-blind, randomized, parallel-group, placebo-controlled, flexible-dose, inpatient study conducted to determine the antidepressant efficacy of an intravenous ketamine infusion followed by oral riluzole. Following a 2-week drug-free period (5 weeks for fluoxetine), 52 subjects received a single open-label infusion of 0.5mg/kg ketamine hydrochloride over 40 minutes. Four to six hours post-infusion, subjects were randomized to either flexible-dose (100–200mg/day) riluzole or placebo twice daily for 4 weeks. Dose escalations occurred on a weekly basis until the appearance of treatment-limiting side effects or study completion. Dose reductions were permitted by one capsule (50mg/week to a minimum of 100mg/day) in the case of intolerable side effects. Nursing staff monitored medication adherence. No concomitant medications with central nervous system effects were permitted throughout the 4-week trial.\nAs previously described (Ibrahim et al., 2012), this was a double-blind, randomized, parallel-group, placebo-controlled, flexible-dose, inpatient study conducted to determine the antidepressant efficacy of an intravenous ketamine infusion followed by oral riluzole. Following a 2-week drug-free period (5 weeks for fluoxetine), 52 subjects received a single open-label infusion of 0.5mg/kg ketamine hydrochloride over 40 minutes. Four to six hours post-infusion, subjects were randomized to either flexible-dose (100–200mg/day) riluzole or placebo twice daily for 4 weeks. Dose escalations occurred on a weekly basis until the appearance of treatment-limiting side effects or study completion. Dose reductions were permitted by one capsule (50mg/week to a minimum of 100mg/day) in the case of intolerable side effects. Nursing staff monitored medication adherence. No concomitant medications with central nervous system effects were permitted throughout the 4-week trial.\n Outcome Measures and Statistical Analyses As in our prior studies (Phelps et al., 2009; Luckenbaugh et al., 2012; Niciu, Luckenbaugh, et al., 2014), family history was assessed pre-infusion with the Family Interview for Genetic Studies. FHP was defined as having at least one first-degree relative with an alcohol use disorder, and, as corollary, FHN was defined as an absence of a first-degree relative with an alcohol use disorder. Subjects were rated with a battery of neuropsychiatric measures at 60 minutes prior to infusion, at several post-infusion time points on infusion day (+40, +80, +120, and +230 minutes) and throughout the following 28 days. The following measures were rated daily: the MADRS (Montgomery and Asberg, 1979), HDRS17 (Hamilton, 1960), the Beck Depression Inventory (Beck and Beamesderfer, 1974), the Scale of Suicide Ideation (Beck et al., 1979), and the Young Mania Rating Scale (YMRS; Young et al., 1978). The Hamilton Anxiety Rating Scale (Hamilton, 1959) was obtained at days 1, 3, 7, 14, 21, and 28. Change in MADRS was primary and the remaining measures were secondary outcomes. All assessments were administered by research nurses, licensed independent practitioners (including psychiatrists), and psychologists who often evaluated the same patients concurrently to maximize reliability: for the MADRS, the inter-class correlation coefficient (ICC) = 0.94; HDRS17: ICC = 0.92; and YMRS: ICC = 0.92. Whenever possible, the same blinded rater conducted the clinician-administered ratings for an individual patient. As all subjects were inpatients, daily ratings were obtained for the entirety of the 28-day trial, even if the subjects relapsed post-ketamine infusion (see Results for additional information on treatment retention).\nFactorial linear mixed models with restricted maximum likelihood estimation and an autoregressive moving average covariance structure were used to examine the change in clinical ratings over the treatment course with study day as the within-subjects factor and family history of an alcohol use disorder and medication (riluzole vs. placebo) extension as between-subjects factors. Baseline rating scale scores were included as covariates. All potential interactions between time, family history of an alcohol use disorder, and drug were included in the model. The fixed intercept was included, but the random intercept and random subject effect were not included because they did not contribute significantly to the model. The primary analysis used the intent-to-treat sample, where all participants had at least one post-baseline measure.\nKaplan-Meier survival analyses were performed using patients who responded (≥50% MADRS improvement from baseline) to ketamine at ≤230 minutes post-infusion. Relapse was defined by 2 consecutive days where the patient had ≤25% improvement from baseline MADRS. A log-rank test was used to compare drug effects, and family history of an alcohol use disorder was examined within each drug group.\nAdditional models examined a lifetime personal history of an alcohol use disorder in the same fashion as described above.\nAll analyses used two-tailed significance criteria of p < .05 and were performed with SPSS 21 (IBM).\nAs in our prior studies (Phelps et al., 2009; Luckenbaugh et al., 2012; Niciu, Luckenbaugh, et al., 2014), family history was assessed pre-infusion with the Family Interview for Genetic Studies. FHP was defined as having at least one first-degree relative with an alcohol use disorder, and, as corollary, FHN was defined as an absence of a first-degree relative with an alcohol use disorder. Subjects were rated with a battery of neuropsychiatric measures at 60 minutes prior to infusion, at several post-infusion time points on infusion day (+40, +80, +120, and +230 minutes) and throughout the following 28 days. The following measures were rated daily: the MADRS (Montgomery and Asberg, 1979), HDRS17 (Hamilton, 1960), the Beck Depression Inventory (Beck and Beamesderfer, 1974), the Scale of Suicide Ideation (Beck et al., 1979), and the Young Mania Rating Scale (YMRS; Young et al., 1978). The Hamilton Anxiety Rating Scale (Hamilton, 1959) was obtained at days 1, 3, 7, 14, 21, and 28. Change in MADRS was primary and the remaining measures were secondary outcomes. All assessments were administered by research nurses, licensed independent practitioners (including psychiatrists), and psychologists who often evaluated the same patients concurrently to maximize reliability: for the MADRS, the inter-class correlation coefficient (ICC) = 0.94; HDRS17: ICC = 0.92; and YMRS: ICC = 0.92. Whenever possible, the same blinded rater conducted the clinician-administered ratings for an individual patient. As all subjects were inpatients, daily ratings were obtained for the entirety of the 28-day trial, even if the subjects relapsed post-ketamine infusion (see Results for additional information on treatment retention).\nFactorial linear mixed models with restricted maximum likelihood estimation and an autoregressive moving average covariance structure were used to examine the change in clinical ratings over the treatment course with study day as the within-subjects factor and family history of an alcohol use disorder and medication (riluzole vs. placebo) extension as between-subjects factors. Baseline rating scale scores were included as covariates. All potential interactions between time, family history of an alcohol use disorder, and drug were included in the model. The fixed intercept was included, but the random intercept and random subject effect were not included because they did not contribute significantly to the model. The primary analysis used the intent-to-treat sample, where all participants had at least one post-baseline measure.\nKaplan-Meier survival analyses were performed using patients who responded (≥50% MADRS improvement from baseline) to ketamine at ≤230 minutes post-infusion. Relapse was defined by 2 consecutive days where the patient had ≤25% improvement from baseline MADRS. A log-rank test was used to compare drug effects, and family history of an alcohol use disorder was examined within each drug group.\nAdditional models examined a lifetime personal history of an alcohol use disorder in the same fashion as described above.\nAll analyses used two-tailed significance criteria of p < .05 and were performed with SPSS 21 (IBM).", "All subjects (18–65 years old) had a diagnosis of MDD without psychotic features as assessed by face-to-face evaluation with a licensed independent psychiatric practitioner and Structured Clinical Interview for Axis I DSM-IV Disorders-Patient Version. They were admitted to the Clinical Research Center of the National Institute of Mental Health in Bethesda, Maryland, between January 2006 and September 2013 and had a Montgomery Asberg Depression Rating Scale (MADRS) severity score of ≥22 both at screening and on the day of ketamine infusion (with no greater than a 25% decrease between screening and infusion). Additionally, participants were in a major depressive episode of at least four weeks duration at the time of screening. Treatment resistance was confirmed by prior failure of at least 2 adequate antidepressant trials using a modified version of the antidepressant treatment history form (Sackeim, 2001).\nStable physical health was assessed by medical history, physical examination, standard laboratory measures, electrocardiogram, and urine toxicology. All subjects could not meet criteria for an active substance use disorder (excluding nicotine or caffeine) for at least 3 months prior to enrollment. Comorbid axis I anxiety disorders were permitted if they were not the primary focus of treatment within 12 months prior to screening. Exclusion criteria included serious unstable medical conditions (e.g. uncontrolled asthma or hypertension), previous use of ketamine, riluzole, or phencyclidine, and concomitant treatment with psychotropic medications or electroconvulsive therapy in the 2 weeks prior to infusion (at least 5 weeks for fluoxetine). Female subjects could not be pregnant or nursing and agreed to use approved methods of birth control or complete abstinence during the entirety of the protocol.\nThe written protocol was approved by the Combined Neuroscience Institutional Review Board of the National Institutes of Health (NIH). All subjects provided written informed consent for screening and this specific protocol, and were assigned an independent clinical research advocate to impartially monitor the consent process and ensure ethical research participation.", "As previously described (Ibrahim et al., 2012), this was a double-blind, randomized, parallel-group, placebo-controlled, flexible-dose, inpatient study conducted to determine the antidepressant efficacy of an intravenous ketamine infusion followed by oral riluzole. Following a 2-week drug-free period (5 weeks for fluoxetine), 52 subjects received a single open-label infusion of 0.5mg/kg ketamine hydrochloride over 40 minutes. Four to six hours post-infusion, subjects were randomized to either flexible-dose (100–200mg/day) riluzole or placebo twice daily for 4 weeks. Dose escalations occurred on a weekly basis until the appearance of treatment-limiting side effects or study completion. Dose reductions were permitted by one capsule (50mg/week to a minimum of 100mg/day) in the case of intolerable side effects. Nursing staff monitored medication adherence. No concomitant medications with central nervous system effects were permitted throughout the 4-week trial.", "As in our prior studies (Phelps et al., 2009; Luckenbaugh et al., 2012; Niciu, Luckenbaugh, et al., 2014), family history was assessed pre-infusion with the Family Interview for Genetic Studies. FHP was defined as having at least one first-degree relative with an alcohol use disorder, and, as corollary, FHN was defined as an absence of a first-degree relative with an alcohol use disorder. Subjects were rated with a battery of neuropsychiatric measures at 60 minutes prior to infusion, at several post-infusion time points on infusion day (+40, +80, +120, and +230 minutes) and throughout the following 28 days. The following measures were rated daily: the MADRS (Montgomery and Asberg, 1979), HDRS17 (Hamilton, 1960), the Beck Depression Inventory (Beck and Beamesderfer, 1974), the Scale of Suicide Ideation (Beck et al., 1979), and the Young Mania Rating Scale (YMRS; Young et al., 1978). The Hamilton Anxiety Rating Scale (Hamilton, 1959) was obtained at days 1, 3, 7, 14, 21, and 28. Change in MADRS was primary and the remaining measures were secondary outcomes. All assessments were administered by research nurses, licensed independent practitioners (including psychiatrists), and psychologists who often evaluated the same patients concurrently to maximize reliability: for the MADRS, the inter-class correlation coefficient (ICC) = 0.94; HDRS17: ICC = 0.92; and YMRS: ICC = 0.92. Whenever possible, the same blinded rater conducted the clinician-administered ratings for an individual patient. As all subjects were inpatients, daily ratings were obtained for the entirety of the 28-day trial, even if the subjects relapsed post-ketamine infusion (see Results for additional information on treatment retention).\nFactorial linear mixed models with restricted maximum likelihood estimation and an autoregressive moving average covariance structure were used to examine the change in clinical ratings over the treatment course with study day as the within-subjects factor and family history of an alcohol use disorder and medication (riluzole vs. placebo) extension as between-subjects factors. Baseline rating scale scores were included as covariates. All potential interactions between time, family history of an alcohol use disorder, and drug were included in the model. The fixed intercept was included, but the random intercept and random subject effect were not included because they did not contribute significantly to the model. The primary analysis used the intent-to-treat sample, where all participants had at least one post-baseline measure.\nKaplan-Meier survival analyses were performed using patients who responded (≥50% MADRS improvement from baseline) to ketamine at ≤230 minutes post-infusion. Relapse was defined by 2 consecutive days where the patient had ≤25% improvement from baseline MADRS. A log-rank test was used to compare drug effects, and family history of an alcohol use disorder was examined within each drug group.\nAdditional models examined a lifetime personal history of an alcohol use disorder in the same fashion as described above.\nAll analyses used two-tailed significance criteria of p < .05 and were performed with SPSS 21 (IBM).", "A total of 142 subjects were assessed under our screening protocol, 59 subjects were enrolled, and 52 subjects received ketamine followed by randomization to riluzole or placebo (Supplemental Figure S1). The demographics and clinical characteristics of the sample are reported in Supplemental Table S1. Family history and drug groups resulting from randomization were in the following proportions: FHN placebo (n = 17), FHP placebo (n = 9), FHN riluzole (n = 16), and FHP riluzole (n = 10).\nOn controlling for baseline MADRS, we first observed a main effect of group [MADRS: FHN (n = 33) < FHP (n = 19); F(1,49) = 5.25, p = .03] over the course of 4 weeks but no main effect of drug [F(1,50) = 0.07, p = .79]. Yet, there was a significant group-by-drug interaction [F(1,49) = 5.18, p = .03], such that FHP subjects had less depression than FHN subjects [F(1,50) = 9.69, p = .003] when randomized to placebo (Figure 1A). An analogous effect was not evident with riluzole [F(1,48) = 0.003, p = .95; Figure 1B]. Although potentially underpowered, the three-way interaction (group-by-drug-by-time) did not reach statistical significance [F(27,403) = 1.50, p = .053].\nKetamine’s antidepressant efficacy is improved for at least four weeks in treatment-resistant unipolar depressed subjects with a family history of an alcohol use disorder. (A) When randomized to placebo 4–6 hours after a single subanesthetic intravenous ketamine infusion, treatment-resistant unipolar depressed subjects with a family history of an alcohol use disorder displayed a greater antidepressant response over the next four weeks [group x time interaction: F(1,50) = 9.69, p = .003]. (B) When randomized to flexible-dose riluzole (100–200mg/day) 4–6 hours after a single subanesthetic intravenous infusion of ketamine, there was no statistically significant difference in antidepressant response based on family history status [group x time interaction: F(1,68) = .003, p = .95]. Abbreviations: FHP: family history positive; FHN: family history negative.\nA similar group-by-drug interaction was observed for the HDRS17 [F(1,48) = 9.82, p = .003]. There were no significant group-by-drug effects, however, observed for the Beck Depression Inventory [F(1,49) = 1.95, p = .17], Hamilton Anxiety Rating Scale [F(1,44) = 3.41, p = .09], Scale of Suicide Ideation [F(1,30) = 0.09, p = .77] or YMRS [F(1,48) = 1.83, p = .18]. There were no statistically-significant three-way interactions on any of these secondary measures.\nWe next performed time-to-relapse survival analyses in ketamine responders (placebo: n = 17; riluzole: n = 15; Figure 2). Riluzole did not significantly delay time-to-relapse (χ2 = 3.73, p = .053; again, the analysis may be underpowered to detect this effect as the effect size was large [Cohen’s d = 0.78]; Figure 2A). The group-by-drug responder breakdown was as follows: FHN placebo responders: n = 9; FHP placebo responders, n = 8; FHN riluzole responders: n = 9; and FHP riluzole responders, n = 6. The FHN group relapsed more quickly than the FHP group on randomization to placebo (χ2 = 7.38, p = .007; FHN placebo responders [3.6 days, SE = 1.0] vs. FHP placebo responders [17.0 days, SE = 3.9]; Figure 2B). Five of the nine FHN placebo responders dropped out, on average, 14±3.9 days into the 28-day trial due to worsening mood and anxiety. Only 1 of the 8 FHP placebo responders dropped out before study completion: at day 18, again due to worsening depression. There was no significant difference between FHP and FHN subjects randomized to riluzole post-ketamine infusion (χ2 = 0.16, p = .69; FHN riluzole responders [19.6 days, SE = 3.3] vs. FHP riluzole responders [15.8 days, SE = 3.6]; data not shown).\nKetamine’s antidepressant efficacy is maintained in treatment-resistant unipolar depressed subjects with a family history of an alcohol use disorder. (A) Prior to stratification by family history status, in a Kaplan-Meier survival analysis, riluzole did not delay time-to-relapse in treatment-resistant MDD antidepressant responders (χ2 = 3.73, p = .053). Response was defined as ≥50% MADRS improvement from baseline at any time point before 230 minute post-infusion, and relapse was defined as two consecutive days where patients had <25% improvement from baseline MADRS. (B) In the subgroup analysis, ketamine’s antidepressant response was extended in FHP patients randomized to placebo post–ketamine infusion. Abbreviations: FHP: family history positive; FHN: family history negative.\nSimilar predictor analyses were performed with a lifetime personal history of an alcohol use disorder (see Supplemental Materials).", "Ketamine has rapid-acting antidepressant effects in both treatment-resistant unipolar (Berman et al., 2000; Zarate et al., 2006; Valentine et al., 2011; Murrough, Iosifescu, et al., 2013) and bipolar (Diazgranados et al., 2010; Zarate et al., 2012) depression. Although the effect size is large to very large, even in refractory populations (Aan Het Rot et al., 2012), not all patients have an antidepressant (or even a positive) response (Niciu, Grunschel, et al., 2013; Szymkowicz et al., 2014). In order to better predict response, our group has extensively investigated treatment response biomarkers (Zarate et al., 2013; Niciu, Mathews, et al., 2014), and one of the strongest positive predictors is a family history of an alcohol use disorder in a first-degree relative (Phelps et al., 2009; Luckenbaugh et al., 2012; Niciu, Luckenbaugh, et al., 2014). In our combined dataset, the strength of this association increased over time, such that it was the strongest identified predictor at one week, alone explaining up to 22% of the antidepressant variance (Niciu, Luckenbaugh, et al., 2014). Yet, this mediating effect in both unipolar and bipolar depression has only been studied up to one week after ketamine infusion. In the present report, ketamine’s antidepressant efficacy was extended for four weeks (and potentially even longer, as the study completed at this time) in FHP subjects. Additionally, FHP extended the duration of antidepressant response by, on average, 13.4 days. These differences, however, were not due to poorer tolerability of ketamine in the FHN group, as the 5 FHN placebo patients who dropped out discontinued their participation, on average, two weeks into the trial due to worsening mood and anxiety.\nNext, the lack of antidepressant efficacy in the FHP riluzole group was contrary to our initial hypothesis. As a potential explanation, we hypothesize that the acute “glutamate surge” is greater in the FHP group, which increases AMPA-to-NMDA receptor throughput and intracellular second messenger/signal transduction cascades critical for ketamine’s antidepressant response (Niciu, Ionescu, et al., 2013). The acute post-infusion administration of riluzole may decrease this synaptic glutamate release by antagonizing presynaptic ionotropic sodium channels, thereby preferentially attenuating ketamine’s antidepressant efficacy. Although too rapid to explain the acute effects, increased riluzole-induced astrocytic GLT-1/EAAT-2 expression also may abrogate the extended antidepressant efficacy of ketamine in the FHP group.\nWe view a family history of an alcohol use disorder as a proxy for genetic or epigenetic risk. As alcohol use disorders are estimated to be at least 50% heritable (Enoch, 2013), we hypothesize that at least a portion of the increased antidepressant efficacy in FHP TRD is attributable to common genetic variation: e.g., single nucleotide polymorphisms and variable number of tandem repeats. Differential glutamate receptor sensitivity may be based on such variation in NMDA receptor subunits (Schumann et al., 2008) and other downstream effectors proteins (Niciu, Ionescu, et al., 2013). However, a family history of an alcohol use disorder also predisposes to other factors, (e.g., an increased risk of physical abuse which, of note, was the only investigated demographic factor significantly increased in the FHP group) that may have long-lasting epigenetic effects (e.g., differential methylation, acetylation and microRNA expression), contributing to this enhanced antidepressant efficacy. Differential methylation (Ressler et al., 2011) and microRNA expression (Zhou et al., 2014) have been observed in post-traumatic stress disorder. Future research should be aimed at identifying the genetic and neural substrates of this differential sensitivity, which may ultimately allow patient stratification based on more objective, continuous measures than the subjective, categorical domain of family history.\nContrary to family history, a lifetime personal history of an alcohol use disorder did not predict ketamine’s antidepressant efficacy in this (potentially underpowered) sample. In post hoc analyses from our ketamine bipolar depression studies (Diazgranados et al., 2010; Zarate et al., 2012), however, a lifetime personal history of an alcohol use disorder moderated improved antidepressant response (Luckenbaugh et al., 2012), a finding which has been replicated in an independent Polish bipolar depression ketamine cohort (Permoda-Osip et al., 2014). In addition to its γ-aminobutyric acid effects, alcohol is also a weak NMDA receptor antagonist (Lovinger, 1995; Fink and Gothert, 1996; Kash et al., 2008). We hypothesize that, due to lingering NMDA receptor blockade, chronic alcohol exposure produces long-term glutamatergic dysfunction—i.e., differential expression of ionotropic (postsynaptic) and/or metabotropic (both pre- and postsynaptic) receptors—that persists even after prolonged abstinence. In support of this hypothesis, central glutamate perturbations have been reported in alcohol use disorders alone and in combination with bipolar disorder, even after ≥1 year abstinence (Thoma et al., 2011). Decreased dorsolateral prefrontal cortical “Glx” (magnetic resonance-detectable glutamate + glutamine) has also been observed in (primarily male) alcohol-dependent bipolar patients compared to non-alcohol dependent bipolar and healthy control subjects (Nery et al., 2010). Taken together, ketamine’s differential effects in PHP treatment-resistant unipolar vs. bipolar depression may represent a critical avenue for future neurobiological and pharmacological investigations.\nIn conclusion, we again present compelling evidence that FHP treatment-resistant unipolar depressed subjects have a more robust antidepressant response to ketamine. Due to the length of this study, we report for the first time that the antidepressant effect of a single infusion is sustained over an entire for at least four weeks. FHP also delayed time-to-relapse in ketamine responders. Finally, although potentially underpowered, total MADRS change was not predicted by personal history status. Due to the strength and longevity of ketamine’s antidepressant efficacy in FHP patients, we encourage all future ketamine depression studies to assess, report, and potentially co-vary based on this variable.", "" ]
[ null, "methods", null, null, null, null, null, "supplementary-material" ]
[ "alcohol use disorder", "family history", "ketamine", "major depressive disorder", "riluzole" ]
Introduction: Major depressive disorder (MDD) has one of the highest morbidities worldwide (Kessler et al., 2003; Ustun et al., 2004; Ormel et al., 2008), and, as demonstrated in large real-world effectiveness trials (Rush et al., 2006, 2011), standard antidepressants are effective in only a proportion of patients. Additionally, there is a substantial time lag in response: 2–4 weeks for initial effect and 6–12 weeks for maximal efficacy. Treatment-resistant MDD (TRD) is associated with substantial psychosocial dysfunction, morbidity, and mortality, due in part to suicide and undertreated medical comorbidities. As a result, there is a critical need for better and more rapid-acting antidepressants to quickly alleviate the burden of depression for patients, their families and friends, and society at large. The noncompetitive N-methyl-D-aspartate (NMDA) receptor antagonist ketamine, a US Food and Drug Administration–approved dissociative anesthetic, acted as a rapid-acting antidepressant in several randomized, double-blind, placebo-controlled (Berman et al., 2000; Zarate et al., 2006, 2012; Diazgranados et al., 2010; Valentine et al., 2011; Murrough, Iosifescu, et al., 2013) and open-label (Ibrahim et al., 2012; Murrough, Perez, et al., 2013) studies. Unlike monoaminergic antidepressants, which often require weeks to months to achieve maximal efficacy, a single subanesthetic dose of ketamine has rapid (within hours) and potent (at least one week) antidepressant efficacy. As a result, there have been numerous efforts to maintain ketamine’s antidepressant efficacy beyond this one-week window. In several case reports (Liebrenz et al., 2009; Murrough et al., 2011; Blier et al., 2012) and an open-labeled trial (Murrough, Perez, et al., 2013), repeated-dose ketamine prolonged the initial antidepressant response. However, there are as yet no controlled long-term studies demonstrating that repeated-dose ketamine is safe and tolerable. Based on preliminary antidepressant efficacy in MDD (Sanacora et al., 2004, 2007; Zarate et al., 2004), the glutamatergic modulator riluzole has been investigated as an oral means of prolonging ketamine’s antidepressant response. Mathew et al. (2010) administered double-blind flexible dose (100–200mg/day) riluzole to 17 TRD ketamine responders in a randomized, placebo-controlled, 32-day extension trial. In an interim analysis, riluzole did not delay time to relapse and, as a result, the trial was stopped for futility. Next, our group designed and recently reported a four-week, randomized, double-blind, placebo-controlled riluzole extension trial following open-label subanesthetic dose ketamine infusion in 42 TRD patients (Zarate et al., 2012). In that report, there was also no improvement in depression between riluzole and placebo groups. We have explored demographic and clinical factors to identify subgroups associated with better response in order to maximize ketamine’s antidepressant effects. In both treatment-resistant MDD (Phelps et al., 2009) and bipolar depression (Luckenbaugh et al., 2012), subjects with a family history of alcohol dependence in a first-degree relative had a more robust and sustained antidepressant response to ketamine. Also, in a recent pooled correlative analysis of all our reported ketamine trials at the National Institute of Mental Health, at one week post-infusion, family history of an alcohol use disorder in a first-degree relative was the strongest studied demographic and clinical predictor of ketamine response, alone accounting for up to 22% of the variance in percent change in the 17-item Hamilton Depression Rating Scale (HDRS17) scores (Niciu, Luckenbaugh, et al., 2014). Finally, in an independent sample of 42 patients with treatment-resistant bipolar depression, a family history of alcoholism also correlated with improved antidepressant response to ketamine: 17 of 22 responders vs. 4 of 20 non-responders had a positive family history (Permoda-Osip et al., 2014). And, in two bipolar depression samples (Luckenbaugh et al., 2012; Permoda-Osip et al., 2014) but not in our unipolar depressed sample (Phelps et al., 2009), a lifetime personal history of an alcohol use disorder also predicted improved antidepressant efficacy. After our initial ketamine riluzole extension trial report (Ibrahim et al., 2012), enrollment continued with the aim of identifying biomarkers and clinical predictors of treatment response. Here, we report the effect of family history of an alcohol use disorder in a first-degree relative over the full 28-day trial, and include 10 additional patients. We hypothesized that improvement in depressive symptoms resulting from a single ketamine infusion would be prolonged beyond one week in subjects with a family history of an alcohol use disorder in a first-degree relative (Family History Positive [FHP]) compared to those without an alcohol use disorder in an immediate relative (Family History Negative [FHN]). We also hypothesized that riluzole would augment and/or extend ketamine’s antidepressant efficacy in FHP but not FHN subjects. Finally, as in our initial report (Phelps et al., 2009), we hypothesized that a lifetime personal history of an alcohol use disorder would not predict ketamine’s antidepressant efficacy in this larger TRD sample. Methods: Patient Selection All subjects (18–65 years old) had a diagnosis of MDD without psychotic features as assessed by face-to-face evaluation with a licensed independent psychiatric practitioner and Structured Clinical Interview for Axis I DSM-IV Disorders-Patient Version. They were admitted to the Clinical Research Center of the National Institute of Mental Health in Bethesda, Maryland, between January 2006 and September 2013 and had a Montgomery Asberg Depression Rating Scale (MADRS) severity score of ≥22 both at screening and on the day of ketamine infusion (with no greater than a 25% decrease between screening and infusion). Additionally, participants were in a major depressive episode of at least four weeks duration at the time of screening. Treatment resistance was confirmed by prior failure of at least 2 adequate antidepressant trials using a modified version of the antidepressant treatment history form (Sackeim, 2001). Stable physical health was assessed by medical history, physical examination, standard laboratory measures, electrocardiogram, and urine toxicology. All subjects could not meet criteria for an active substance use disorder (excluding nicotine or caffeine) for at least 3 months prior to enrollment. Comorbid axis I anxiety disorders were permitted if they were not the primary focus of treatment within 12 months prior to screening. Exclusion criteria included serious unstable medical conditions (e.g. uncontrolled asthma or hypertension), previous use of ketamine, riluzole, or phencyclidine, and concomitant treatment with psychotropic medications or electroconvulsive therapy in the 2 weeks prior to infusion (at least 5 weeks for fluoxetine). Female subjects could not be pregnant or nursing and agreed to use approved methods of birth control or complete abstinence during the entirety of the protocol. The written protocol was approved by the Combined Neuroscience Institutional Review Board of the National Institutes of Health (NIH). All subjects provided written informed consent for screening and this specific protocol, and were assigned an independent clinical research advocate to impartially monitor the consent process and ensure ethical research participation. All subjects (18–65 years old) had a diagnosis of MDD without psychotic features as assessed by face-to-face evaluation with a licensed independent psychiatric practitioner and Structured Clinical Interview for Axis I DSM-IV Disorders-Patient Version. They were admitted to the Clinical Research Center of the National Institute of Mental Health in Bethesda, Maryland, between January 2006 and September 2013 and had a Montgomery Asberg Depression Rating Scale (MADRS) severity score of ≥22 both at screening and on the day of ketamine infusion (with no greater than a 25% decrease between screening and infusion). Additionally, participants were in a major depressive episode of at least four weeks duration at the time of screening. Treatment resistance was confirmed by prior failure of at least 2 adequate antidepressant trials using a modified version of the antidepressant treatment history form (Sackeim, 2001). Stable physical health was assessed by medical history, physical examination, standard laboratory measures, electrocardiogram, and urine toxicology. All subjects could not meet criteria for an active substance use disorder (excluding nicotine or caffeine) for at least 3 months prior to enrollment. Comorbid axis I anxiety disorders were permitted if they were not the primary focus of treatment within 12 months prior to screening. Exclusion criteria included serious unstable medical conditions (e.g. uncontrolled asthma or hypertension), previous use of ketamine, riluzole, or phencyclidine, and concomitant treatment with psychotropic medications or electroconvulsive therapy in the 2 weeks prior to infusion (at least 5 weeks for fluoxetine). Female subjects could not be pregnant or nursing and agreed to use approved methods of birth control or complete abstinence during the entirety of the protocol. The written protocol was approved by the Combined Neuroscience Institutional Review Board of the National Institutes of Health (NIH). All subjects provided written informed consent for screening and this specific protocol, and were assigned an independent clinical research advocate to impartially monitor the consent process and ensure ethical research participation. Study Design and Medications As previously described (Ibrahim et al., 2012), this was a double-blind, randomized, parallel-group, placebo-controlled, flexible-dose, inpatient study conducted to determine the antidepressant efficacy of an intravenous ketamine infusion followed by oral riluzole. Following a 2-week drug-free period (5 weeks for fluoxetine), 52 subjects received a single open-label infusion of 0.5mg/kg ketamine hydrochloride over 40 minutes. Four to six hours post-infusion, subjects were randomized to either flexible-dose (100–200mg/day) riluzole or placebo twice daily for 4 weeks. Dose escalations occurred on a weekly basis until the appearance of treatment-limiting side effects or study completion. Dose reductions were permitted by one capsule (50mg/week to a minimum of 100mg/day) in the case of intolerable side effects. Nursing staff monitored medication adherence. No concomitant medications with central nervous system effects were permitted throughout the 4-week trial. As previously described (Ibrahim et al., 2012), this was a double-blind, randomized, parallel-group, placebo-controlled, flexible-dose, inpatient study conducted to determine the antidepressant efficacy of an intravenous ketamine infusion followed by oral riluzole. Following a 2-week drug-free period (5 weeks for fluoxetine), 52 subjects received a single open-label infusion of 0.5mg/kg ketamine hydrochloride over 40 minutes. Four to six hours post-infusion, subjects were randomized to either flexible-dose (100–200mg/day) riluzole or placebo twice daily for 4 weeks. Dose escalations occurred on a weekly basis until the appearance of treatment-limiting side effects or study completion. Dose reductions were permitted by one capsule (50mg/week to a minimum of 100mg/day) in the case of intolerable side effects. Nursing staff monitored medication adherence. No concomitant medications with central nervous system effects were permitted throughout the 4-week trial. Outcome Measures and Statistical Analyses As in our prior studies (Phelps et al., 2009; Luckenbaugh et al., 2012; Niciu, Luckenbaugh, et al., 2014), family history was assessed pre-infusion with the Family Interview for Genetic Studies. FHP was defined as having at least one first-degree relative with an alcohol use disorder, and, as corollary, FHN was defined as an absence of a first-degree relative with an alcohol use disorder. Subjects were rated with a battery of neuropsychiatric measures at 60 minutes prior to infusion, at several post-infusion time points on infusion day (+40, +80, +120, and +230 minutes) and throughout the following 28 days. The following measures were rated daily: the MADRS (Montgomery and Asberg, 1979), HDRS17 (Hamilton, 1960), the Beck Depression Inventory (Beck and Beamesderfer, 1974), the Scale of Suicide Ideation (Beck et al., 1979), and the Young Mania Rating Scale (YMRS; Young et al., 1978). The Hamilton Anxiety Rating Scale (Hamilton, 1959) was obtained at days 1, 3, 7, 14, 21, and 28. Change in MADRS was primary and the remaining measures were secondary outcomes. All assessments were administered by research nurses, licensed independent practitioners (including psychiatrists), and psychologists who often evaluated the same patients concurrently to maximize reliability: for the MADRS, the inter-class correlation coefficient (ICC) = 0.94; HDRS17: ICC = 0.92; and YMRS: ICC = 0.92. Whenever possible, the same blinded rater conducted the clinician-administered ratings for an individual patient. As all subjects were inpatients, daily ratings were obtained for the entirety of the 28-day trial, even if the subjects relapsed post-ketamine infusion (see Results for additional information on treatment retention). Factorial linear mixed models with restricted maximum likelihood estimation and an autoregressive moving average covariance structure were used to examine the change in clinical ratings over the treatment course with study day as the within-subjects factor and family history of an alcohol use disorder and medication (riluzole vs. placebo) extension as between-subjects factors. Baseline rating scale scores were included as covariates. All potential interactions between time, family history of an alcohol use disorder, and drug were included in the model. The fixed intercept was included, but the random intercept and random subject effect were not included because they did not contribute significantly to the model. The primary analysis used the intent-to-treat sample, where all participants had at least one post-baseline measure. Kaplan-Meier survival analyses were performed using patients who responded (≥50% MADRS improvement from baseline) to ketamine at ≤230 minutes post-infusion. Relapse was defined by 2 consecutive days where the patient had ≤25% improvement from baseline MADRS. A log-rank test was used to compare drug effects, and family history of an alcohol use disorder was examined within each drug group. Additional models examined a lifetime personal history of an alcohol use disorder in the same fashion as described above. All analyses used two-tailed significance criteria of p < .05 and were performed with SPSS 21 (IBM). As in our prior studies (Phelps et al., 2009; Luckenbaugh et al., 2012; Niciu, Luckenbaugh, et al., 2014), family history was assessed pre-infusion with the Family Interview for Genetic Studies. FHP was defined as having at least one first-degree relative with an alcohol use disorder, and, as corollary, FHN was defined as an absence of a first-degree relative with an alcohol use disorder. Subjects were rated with a battery of neuropsychiatric measures at 60 minutes prior to infusion, at several post-infusion time points on infusion day (+40, +80, +120, and +230 minutes) and throughout the following 28 days. The following measures were rated daily: the MADRS (Montgomery and Asberg, 1979), HDRS17 (Hamilton, 1960), the Beck Depression Inventory (Beck and Beamesderfer, 1974), the Scale of Suicide Ideation (Beck et al., 1979), and the Young Mania Rating Scale (YMRS; Young et al., 1978). The Hamilton Anxiety Rating Scale (Hamilton, 1959) was obtained at days 1, 3, 7, 14, 21, and 28. Change in MADRS was primary and the remaining measures were secondary outcomes. All assessments were administered by research nurses, licensed independent practitioners (including psychiatrists), and psychologists who often evaluated the same patients concurrently to maximize reliability: for the MADRS, the inter-class correlation coefficient (ICC) = 0.94; HDRS17: ICC = 0.92; and YMRS: ICC = 0.92. Whenever possible, the same blinded rater conducted the clinician-administered ratings for an individual patient. As all subjects were inpatients, daily ratings were obtained for the entirety of the 28-day trial, even if the subjects relapsed post-ketamine infusion (see Results for additional information on treatment retention). Factorial linear mixed models with restricted maximum likelihood estimation and an autoregressive moving average covariance structure were used to examine the change in clinical ratings over the treatment course with study day as the within-subjects factor and family history of an alcohol use disorder and medication (riluzole vs. placebo) extension as between-subjects factors. Baseline rating scale scores were included as covariates. All potential interactions between time, family history of an alcohol use disorder, and drug were included in the model. The fixed intercept was included, but the random intercept and random subject effect were not included because they did not contribute significantly to the model. The primary analysis used the intent-to-treat sample, where all participants had at least one post-baseline measure. Kaplan-Meier survival analyses were performed using patients who responded (≥50% MADRS improvement from baseline) to ketamine at ≤230 minutes post-infusion. Relapse was defined by 2 consecutive days where the patient had ≤25% improvement from baseline MADRS. A log-rank test was used to compare drug effects, and family history of an alcohol use disorder was examined within each drug group. Additional models examined a lifetime personal history of an alcohol use disorder in the same fashion as described above. All analyses used two-tailed significance criteria of p < .05 and were performed with SPSS 21 (IBM). Patient Selection: All subjects (18–65 years old) had a diagnosis of MDD without psychotic features as assessed by face-to-face evaluation with a licensed independent psychiatric practitioner and Structured Clinical Interview for Axis I DSM-IV Disorders-Patient Version. They were admitted to the Clinical Research Center of the National Institute of Mental Health in Bethesda, Maryland, between January 2006 and September 2013 and had a Montgomery Asberg Depression Rating Scale (MADRS) severity score of ≥22 both at screening and on the day of ketamine infusion (with no greater than a 25% decrease between screening and infusion). Additionally, participants were in a major depressive episode of at least four weeks duration at the time of screening. Treatment resistance was confirmed by prior failure of at least 2 adequate antidepressant trials using a modified version of the antidepressant treatment history form (Sackeim, 2001). Stable physical health was assessed by medical history, physical examination, standard laboratory measures, electrocardiogram, and urine toxicology. All subjects could not meet criteria for an active substance use disorder (excluding nicotine or caffeine) for at least 3 months prior to enrollment. Comorbid axis I anxiety disorders were permitted if they were not the primary focus of treatment within 12 months prior to screening. Exclusion criteria included serious unstable medical conditions (e.g. uncontrolled asthma or hypertension), previous use of ketamine, riluzole, or phencyclidine, and concomitant treatment with psychotropic medications or electroconvulsive therapy in the 2 weeks prior to infusion (at least 5 weeks for fluoxetine). Female subjects could not be pregnant or nursing and agreed to use approved methods of birth control or complete abstinence during the entirety of the protocol. The written protocol was approved by the Combined Neuroscience Institutional Review Board of the National Institutes of Health (NIH). All subjects provided written informed consent for screening and this specific protocol, and were assigned an independent clinical research advocate to impartially monitor the consent process and ensure ethical research participation. Study Design and Medications: As previously described (Ibrahim et al., 2012), this was a double-blind, randomized, parallel-group, placebo-controlled, flexible-dose, inpatient study conducted to determine the antidepressant efficacy of an intravenous ketamine infusion followed by oral riluzole. Following a 2-week drug-free period (5 weeks for fluoxetine), 52 subjects received a single open-label infusion of 0.5mg/kg ketamine hydrochloride over 40 minutes. Four to six hours post-infusion, subjects were randomized to either flexible-dose (100–200mg/day) riluzole or placebo twice daily for 4 weeks. Dose escalations occurred on a weekly basis until the appearance of treatment-limiting side effects or study completion. Dose reductions were permitted by one capsule (50mg/week to a minimum of 100mg/day) in the case of intolerable side effects. Nursing staff monitored medication adherence. No concomitant medications with central nervous system effects were permitted throughout the 4-week trial. Outcome Measures and Statistical Analyses: As in our prior studies (Phelps et al., 2009; Luckenbaugh et al., 2012; Niciu, Luckenbaugh, et al., 2014), family history was assessed pre-infusion with the Family Interview for Genetic Studies. FHP was defined as having at least one first-degree relative with an alcohol use disorder, and, as corollary, FHN was defined as an absence of a first-degree relative with an alcohol use disorder. Subjects were rated with a battery of neuropsychiatric measures at 60 minutes prior to infusion, at several post-infusion time points on infusion day (+40, +80, +120, and +230 minutes) and throughout the following 28 days. The following measures were rated daily: the MADRS (Montgomery and Asberg, 1979), HDRS17 (Hamilton, 1960), the Beck Depression Inventory (Beck and Beamesderfer, 1974), the Scale of Suicide Ideation (Beck et al., 1979), and the Young Mania Rating Scale (YMRS; Young et al., 1978). The Hamilton Anxiety Rating Scale (Hamilton, 1959) was obtained at days 1, 3, 7, 14, 21, and 28. Change in MADRS was primary and the remaining measures were secondary outcomes. All assessments were administered by research nurses, licensed independent practitioners (including psychiatrists), and psychologists who often evaluated the same patients concurrently to maximize reliability: for the MADRS, the inter-class correlation coefficient (ICC) = 0.94; HDRS17: ICC = 0.92; and YMRS: ICC = 0.92. Whenever possible, the same blinded rater conducted the clinician-administered ratings for an individual patient. As all subjects were inpatients, daily ratings were obtained for the entirety of the 28-day trial, even if the subjects relapsed post-ketamine infusion (see Results for additional information on treatment retention). Factorial linear mixed models with restricted maximum likelihood estimation and an autoregressive moving average covariance structure were used to examine the change in clinical ratings over the treatment course with study day as the within-subjects factor and family history of an alcohol use disorder and medication (riluzole vs. placebo) extension as between-subjects factors. Baseline rating scale scores were included as covariates. All potential interactions between time, family history of an alcohol use disorder, and drug were included in the model. The fixed intercept was included, but the random intercept and random subject effect were not included because they did not contribute significantly to the model. The primary analysis used the intent-to-treat sample, where all participants had at least one post-baseline measure. Kaplan-Meier survival analyses were performed using patients who responded (≥50% MADRS improvement from baseline) to ketamine at ≤230 minutes post-infusion. Relapse was defined by 2 consecutive days where the patient had ≤25% improvement from baseline MADRS. A log-rank test was used to compare drug effects, and family history of an alcohol use disorder was examined within each drug group. Additional models examined a lifetime personal history of an alcohol use disorder in the same fashion as described above. All analyses used two-tailed significance criteria of p < .05 and were performed with SPSS 21 (IBM). Results: A total of 142 subjects were assessed under our screening protocol, 59 subjects were enrolled, and 52 subjects received ketamine followed by randomization to riluzole or placebo (Supplemental Figure S1). The demographics and clinical characteristics of the sample are reported in Supplemental Table S1. Family history and drug groups resulting from randomization were in the following proportions: FHN placebo (n = 17), FHP placebo (n = 9), FHN riluzole (n = 16), and FHP riluzole (n = 10). On controlling for baseline MADRS, we first observed a main effect of group [MADRS: FHN (n = 33) < FHP (n = 19); F(1,49) = 5.25, p = .03] over the course of 4 weeks but no main effect of drug [F(1,50) = 0.07, p = .79]. Yet, there was a significant group-by-drug interaction [F(1,49) = 5.18, p = .03], such that FHP subjects had less depression than FHN subjects [F(1,50) = 9.69, p = .003] when randomized to placebo (Figure 1A). An analogous effect was not evident with riluzole [F(1,48) = 0.003, p = .95; Figure 1B]. Although potentially underpowered, the three-way interaction (group-by-drug-by-time) did not reach statistical significance [F(27,403) = 1.50, p = .053]. Ketamine’s antidepressant efficacy is improved for at least four weeks in treatment-resistant unipolar depressed subjects with a family history of an alcohol use disorder. (A) When randomized to placebo 4–6 hours after a single subanesthetic intravenous ketamine infusion, treatment-resistant unipolar depressed subjects with a family history of an alcohol use disorder displayed a greater antidepressant response over the next four weeks [group x time interaction: F(1,50) = 9.69, p = .003]. (B) When randomized to flexible-dose riluzole (100–200mg/day) 4–6 hours after a single subanesthetic intravenous infusion of ketamine, there was no statistically significant difference in antidepressant response based on family history status [group x time interaction: F(1,68) = .003, p = .95]. Abbreviations: FHP: family history positive; FHN: family history negative. A similar group-by-drug interaction was observed for the HDRS17 [F(1,48) = 9.82, p = .003]. There were no significant group-by-drug effects, however, observed for the Beck Depression Inventory [F(1,49) = 1.95, p = .17], Hamilton Anxiety Rating Scale [F(1,44) = 3.41, p = .09], Scale of Suicide Ideation [F(1,30) = 0.09, p = .77] or YMRS [F(1,48) = 1.83, p = .18]. There were no statistically-significant three-way interactions on any of these secondary measures. We next performed time-to-relapse survival analyses in ketamine responders (placebo: n = 17; riluzole: n = 15; Figure 2). Riluzole did not significantly delay time-to-relapse (χ2 = 3.73, p = .053; again, the analysis may be underpowered to detect this effect as the effect size was large [Cohen’s d = 0.78]; Figure 2A). The group-by-drug responder breakdown was as follows: FHN placebo responders: n = 9; FHP placebo responders, n = 8; FHN riluzole responders: n = 9; and FHP riluzole responders, n = 6. The FHN group relapsed more quickly than the FHP group on randomization to placebo (χ2 = 7.38, p = .007; FHN placebo responders [3.6 days, SE = 1.0] vs. FHP placebo responders [17.0 days, SE = 3.9]; Figure 2B). Five of the nine FHN placebo responders dropped out, on average, 14±3.9 days into the 28-day trial due to worsening mood and anxiety. Only 1 of the 8 FHP placebo responders dropped out before study completion: at day 18, again due to worsening depression. There was no significant difference between FHP and FHN subjects randomized to riluzole post-ketamine infusion (χ2 = 0.16, p = .69; FHN riluzole responders [19.6 days, SE = 3.3] vs. FHP riluzole responders [15.8 days, SE = 3.6]; data not shown). Ketamine’s antidepressant efficacy is maintained in treatment-resistant unipolar depressed subjects with a family history of an alcohol use disorder. (A) Prior to stratification by family history status, in a Kaplan-Meier survival analysis, riluzole did not delay time-to-relapse in treatment-resistant MDD antidepressant responders (χ2 = 3.73, p = .053). Response was defined as ≥50% MADRS improvement from baseline at any time point before 230 minute post-infusion, and relapse was defined as two consecutive days where patients had <25% improvement from baseline MADRS. (B) In the subgroup analysis, ketamine’s antidepressant response was extended in FHP patients randomized to placebo post–ketamine infusion. Abbreviations: FHP: family history positive; FHN: family history negative. Similar predictor analyses were performed with a lifetime personal history of an alcohol use disorder (see Supplemental Materials). Discussion: Ketamine has rapid-acting antidepressant effects in both treatment-resistant unipolar (Berman et al., 2000; Zarate et al., 2006; Valentine et al., 2011; Murrough, Iosifescu, et al., 2013) and bipolar (Diazgranados et al., 2010; Zarate et al., 2012) depression. Although the effect size is large to very large, even in refractory populations (Aan Het Rot et al., 2012), not all patients have an antidepressant (or even a positive) response (Niciu, Grunschel, et al., 2013; Szymkowicz et al., 2014). In order to better predict response, our group has extensively investigated treatment response biomarkers (Zarate et al., 2013; Niciu, Mathews, et al., 2014), and one of the strongest positive predictors is a family history of an alcohol use disorder in a first-degree relative (Phelps et al., 2009; Luckenbaugh et al., 2012; Niciu, Luckenbaugh, et al., 2014). In our combined dataset, the strength of this association increased over time, such that it was the strongest identified predictor at one week, alone explaining up to 22% of the antidepressant variance (Niciu, Luckenbaugh, et al., 2014). Yet, this mediating effect in both unipolar and bipolar depression has only been studied up to one week after ketamine infusion. In the present report, ketamine’s antidepressant efficacy was extended for four weeks (and potentially even longer, as the study completed at this time) in FHP subjects. Additionally, FHP extended the duration of antidepressant response by, on average, 13.4 days. These differences, however, were not due to poorer tolerability of ketamine in the FHN group, as the 5 FHN placebo patients who dropped out discontinued their participation, on average, two weeks into the trial due to worsening mood and anxiety. Next, the lack of antidepressant efficacy in the FHP riluzole group was contrary to our initial hypothesis. As a potential explanation, we hypothesize that the acute “glutamate surge” is greater in the FHP group, which increases AMPA-to-NMDA receptor throughput and intracellular second messenger/signal transduction cascades critical for ketamine’s antidepressant response (Niciu, Ionescu, et al., 2013). The acute post-infusion administration of riluzole may decrease this synaptic glutamate release by antagonizing presynaptic ionotropic sodium channels, thereby preferentially attenuating ketamine’s antidepressant efficacy. Although too rapid to explain the acute effects, increased riluzole-induced astrocytic GLT-1/EAAT-2 expression also may abrogate the extended antidepressant efficacy of ketamine in the FHP group. We view a family history of an alcohol use disorder as a proxy for genetic or epigenetic risk. As alcohol use disorders are estimated to be at least 50% heritable (Enoch, 2013), we hypothesize that at least a portion of the increased antidepressant efficacy in FHP TRD is attributable to common genetic variation: e.g., single nucleotide polymorphisms and variable number of tandem repeats. Differential glutamate receptor sensitivity may be based on such variation in NMDA receptor subunits (Schumann et al., 2008) and other downstream effectors proteins (Niciu, Ionescu, et al., 2013). However, a family history of an alcohol use disorder also predisposes to other factors, (e.g., an increased risk of physical abuse which, of note, was the only investigated demographic factor significantly increased in the FHP group) that may have long-lasting epigenetic effects (e.g., differential methylation, acetylation and microRNA expression), contributing to this enhanced antidepressant efficacy. Differential methylation (Ressler et al., 2011) and microRNA expression (Zhou et al., 2014) have been observed in post-traumatic stress disorder. Future research should be aimed at identifying the genetic and neural substrates of this differential sensitivity, which may ultimately allow patient stratification based on more objective, continuous measures than the subjective, categorical domain of family history. Contrary to family history, a lifetime personal history of an alcohol use disorder did not predict ketamine’s antidepressant efficacy in this (potentially underpowered) sample. In post hoc analyses from our ketamine bipolar depression studies (Diazgranados et al., 2010; Zarate et al., 2012), however, a lifetime personal history of an alcohol use disorder moderated improved antidepressant response (Luckenbaugh et al., 2012), a finding which has been replicated in an independent Polish bipolar depression ketamine cohort (Permoda-Osip et al., 2014). In addition to its γ-aminobutyric acid effects, alcohol is also a weak NMDA receptor antagonist (Lovinger, 1995; Fink and Gothert, 1996; Kash et al., 2008). We hypothesize that, due to lingering NMDA receptor blockade, chronic alcohol exposure produces long-term glutamatergic dysfunction—i.e., differential expression of ionotropic (postsynaptic) and/or metabotropic (both pre- and postsynaptic) receptors—that persists even after prolonged abstinence. In support of this hypothesis, central glutamate perturbations have been reported in alcohol use disorders alone and in combination with bipolar disorder, even after ≥1 year abstinence (Thoma et al., 2011). Decreased dorsolateral prefrontal cortical “Glx” (magnetic resonance-detectable glutamate + glutamine) has also been observed in (primarily male) alcohol-dependent bipolar patients compared to non-alcohol dependent bipolar and healthy control subjects (Nery et al., 2010). Taken together, ketamine’s differential effects in PHP treatment-resistant unipolar vs. bipolar depression may represent a critical avenue for future neurobiological and pharmacological investigations. In conclusion, we again present compelling evidence that FHP treatment-resistant unipolar depressed subjects have a more robust antidepressant response to ketamine. Due to the length of this study, we report for the first time that the antidepressant effect of a single infusion is sustained over an entire for at least four weeks. FHP also delayed time-to-relapse in ketamine responders. Finally, although potentially underpowered, total MADRS change was not predicted by personal history status. Due to the strength and longevity of ketamine’s antidepressant efficacy in FHP patients, we encourage all future ketamine depression studies to assess, report, and potentially co-vary based on this variable. Supplementary Material:
Background: A single subanesthetic infusion of the N-methyl-D-aspartate (NMDA) receptor antagonist ketamine has rapid and potent antidepressant properties in treatment-resistant major depressive disorder (TRD). As a family history of an alcohol use disorder is a positive predictor of ketamine's antidepressant response and the strength of the association increases over time, we hypothesized that depressed subjects with a family history of an alcohol use disorder would have greater antidepressant durability and that riluzole would augment and/or extend ketamine's antidepressant efficacy. Methods: Fifty-two TRD subjects received an open-label infusion of ketamine (0.5mg/kg over 40 minutes), and, four to six hours post-infusion, were randomized to either flexible-dose (100-200mg/day) riluzole or placebo in the following proportions: Family History Positive (FHP) riluzole (n = 10), FHP placebo (n = 9), Family History Negative (FHN) riluzole (n = 16), and FHN placebo (n = 17). Results: FHP subjects randomized to placebo had a greater antidepressant response than FHN subjects; however, contrary to our initial hypothesis, there was no significant difference in antidepressant efficacy with riluzole. Although potentially underpowered, there was no difference in overall time-to-relapse based on randomization status (riluzole responders: n = 15, placebo responders: n = 17). Yet, time-to-relapse was longer in FHP placebo responders (n = 8) compared to FHN placebo responders (n = 9) with, again, no significant difference in time-to-relapse in FHP riluzole responders (n = 6) compared to FHN riluzole responders (n = 9). Conclusions: Ketamine's extended antidepressant durability in FHP TRD should be considered in the design and analysis of ketamine depression trials.
Introduction: Major depressive disorder (MDD) has one of the highest morbidities worldwide (Kessler et al., 2003; Ustun et al., 2004; Ormel et al., 2008), and, as demonstrated in large real-world effectiveness trials (Rush et al., 2006, 2011), standard antidepressants are effective in only a proportion of patients. Additionally, there is a substantial time lag in response: 2–4 weeks for initial effect and 6–12 weeks for maximal efficacy. Treatment-resistant MDD (TRD) is associated with substantial psychosocial dysfunction, morbidity, and mortality, due in part to suicide and undertreated medical comorbidities. As a result, there is a critical need for better and more rapid-acting antidepressants to quickly alleviate the burden of depression for patients, their families and friends, and society at large. The noncompetitive N-methyl-D-aspartate (NMDA) receptor antagonist ketamine, a US Food and Drug Administration–approved dissociative anesthetic, acted as a rapid-acting antidepressant in several randomized, double-blind, placebo-controlled (Berman et al., 2000; Zarate et al., 2006, 2012; Diazgranados et al., 2010; Valentine et al., 2011; Murrough, Iosifescu, et al., 2013) and open-label (Ibrahim et al., 2012; Murrough, Perez, et al., 2013) studies. Unlike monoaminergic antidepressants, which often require weeks to months to achieve maximal efficacy, a single subanesthetic dose of ketamine has rapid (within hours) and potent (at least one week) antidepressant efficacy. As a result, there have been numerous efforts to maintain ketamine’s antidepressant efficacy beyond this one-week window. In several case reports (Liebrenz et al., 2009; Murrough et al., 2011; Blier et al., 2012) and an open-labeled trial (Murrough, Perez, et al., 2013), repeated-dose ketamine prolonged the initial antidepressant response. However, there are as yet no controlled long-term studies demonstrating that repeated-dose ketamine is safe and tolerable. Based on preliminary antidepressant efficacy in MDD (Sanacora et al., 2004, 2007; Zarate et al., 2004), the glutamatergic modulator riluzole has been investigated as an oral means of prolonging ketamine’s antidepressant response. Mathew et al. (2010) administered double-blind flexible dose (100–200mg/day) riluzole to 17 TRD ketamine responders in a randomized, placebo-controlled, 32-day extension trial. In an interim analysis, riluzole did not delay time to relapse and, as a result, the trial was stopped for futility. Next, our group designed and recently reported a four-week, randomized, double-blind, placebo-controlled riluzole extension trial following open-label subanesthetic dose ketamine infusion in 42 TRD patients (Zarate et al., 2012). In that report, there was also no improvement in depression between riluzole and placebo groups. We have explored demographic and clinical factors to identify subgroups associated with better response in order to maximize ketamine’s antidepressant effects. In both treatment-resistant MDD (Phelps et al., 2009) and bipolar depression (Luckenbaugh et al., 2012), subjects with a family history of alcohol dependence in a first-degree relative had a more robust and sustained antidepressant response to ketamine. Also, in a recent pooled correlative analysis of all our reported ketamine trials at the National Institute of Mental Health, at one week post-infusion, family history of an alcohol use disorder in a first-degree relative was the strongest studied demographic and clinical predictor of ketamine response, alone accounting for up to 22% of the variance in percent change in the 17-item Hamilton Depression Rating Scale (HDRS17) scores (Niciu, Luckenbaugh, et al., 2014). Finally, in an independent sample of 42 patients with treatment-resistant bipolar depression, a family history of alcoholism also correlated with improved antidepressant response to ketamine: 17 of 22 responders vs. 4 of 20 non-responders had a positive family history (Permoda-Osip et al., 2014). And, in two bipolar depression samples (Luckenbaugh et al., 2012; Permoda-Osip et al., 2014) but not in our unipolar depressed sample (Phelps et al., 2009), a lifetime personal history of an alcohol use disorder also predicted improved antidepressant efficacy. After our initial ketamine riluzole extension trial report (Ibrahim et al., 2012), enrollment continued with the aim of identifying biomarkers and clinical predictors of treatment response. Here, we report the effect of family history of an alcohol use disorder in a first-degree relative over the full 28-day trial, and include 10 additional patients. We hypothesized that improvement in depressive symptoms resulting from a single ketamine infusion would be prolonged beyond one week in subjects with a family history of an alcohol use disorder in a first-degree relative (Family History Positive [FHP]) compared to those without an alcohol use disorder in an immediate relative (Family History Negative [FHN]). We also hypothesized that riluzole would augment and/or extend ketamine’s antidepressant efficacy in FHP but not FHN subjects. Finally, as in our initial report (Phelps et al., 2009), we hypothesized that a lifetime personal history of an alcohol use disorder would not predict ketamine’s antidepressant efficacy in this larger TRD sample. Discussion: Drs Niciu, Ionescu, Richards, Vande Voort, and Ballard, Ms. Brutsche, and Mr. Luckenbaugh have no potential financial conflicts of interest to disclose. Dr Furey is listed as a co-inventor on a patent application for the use of scopolamine in major depression, and Dr Zarate is listed as a co-inventor on a patent application for the use of ketamine and its metabolites in major depression. Drs Furey and Zarate have assigned their rights in the patent to the US Government but will share a percentage of any royalties that may be received by the Government.
Background: A single subanesthetic infusion of the N-methyl-D-aspartate (NMDA) receptor antagonist ketamine has rapid and potent antidepressant properties in treatment-resistant major depressive disorder (TRD). As a family history of an alcohol use disorder is a positive predictor of ketamine's antidepressant response and the strength of the association increases over time, we hypothesized that depressed subjects with a family history of an alcohol use disorder would have greater antidepressant durability and that riluzole would augment and/or extend ketamine's antidepressant efficacy. Methods: Fifty-two TRD subjects received an open-label infusion of ketamine (0.5mg/kg over 40 minutes), and, four to six hours post-infusion, were randomized to either flexible-dose (100-200mg/day) riluzole or placebo in the following proportions: Family History Positive (FHP) riluzole (n = 10), FHP placebo (n = 9), Family History Negative (FHN) riluzole (n = 16), and FHN placebo (n = 17). Results: FHP subjects randomized to placebo had a greater antidepressant response than FHN subjects; however, contrary to our initial hypothesis, there was no significant difference in antidepressant efficacy with riluzole. Although potentially underpowered, there was no difference in overall time-to-relapse based on randomization status (riluzole responders: n = 15, placebo responders: n = 17). Yet, time-to-relapse was longer in FHP placebo responders (n = 8) compared to FHN placebo responders (n = 9) with, again, no significant difference in time-to-relapse in FHP riluzole responders (n = 6) compared to FHN riluzole responders (n = 9). Conclusions: Ketamine's extended antidepressant durability in FHP TRD should be considered in the design and analysis of ketamine depression trials.
6,796
356
[ 1047, 368, 186, 615, 994, 1189 ]
8
[ "ketamine", "history", "subjects", "infusion", "use", "antidepressant", "alcohol", "disorder", "family", "use disorder" ]
[ "antidepressant efficacy ketamine", "based preliminary antidepressant", "mdd antidepressant responders", "acting antidepressants quickly", "resistant mdd antidepressant" ]
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[CONTENT] alcohol use disorder | family history | ketamine | major depressive disorder | riluzole [SUMMARY]
[CONTENT] alcohol use disorder | family history | ketamine | major depressive disorder | riluzole [SUMMARY]
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[CONTENT] alcohol use disorder | family history | ketamine | major depressive disorder | riluzole [SUMMARY]
[CONTENT] alcohol use disorder | family history | ketamine | major depressive disorder | riluzole [SUMMARY]
[CONTENT] alcohol use disorder | family history | ketamine | major depressive disorder | riluzole [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Alcohol-Related Disorders | Antidepressive Agents | Depressive Disorder, Major | Depressive Disorder, Treatment-Resistant | Double-Blind Method | Excitatory Amino Acid Antagonists | Family | Genetic Predisposition to Disease | Humans | Kaplan-Meier Estimate | Ketamine | Middle Aged | Riluzole | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Alcohol-Related Disorders | Antidepressive Agents | Depressive Disorder, Major | Depressive Disorder, Treatment-Resistant | Double-Blind Method | Excitatory Amino Acid Antagonists | Family | Genetic Predisposition to Disease | Humans | Kaplan-Meier Estimate | Ketamine | Middle Aged | Riluzole | Treatment Outcome | Young Adult [SUMMARY]
null
[CONTENT] Adolescent | Adult | Aged | Alcohol-Related Disorders | Antidepressive Agents | Depressive Disorder, Major | Depressive Disorder, Treatment-Resistant | Double-Blind Method | Excitatory Amino Acid Antagonists | Family | Genetic Predisposition to Disease | Humans | Kaplan-Meier Estimate | Ketamine | Middle Aged | Riluzole | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Alcohol-Related Disorders | Antidepressive Agents | Depressive Disorder, Major | Depressive Disorder, Treatment-Resistant | Double-Blind Method | Excitatory Amino Acid Antagonists | Family | Genetic Predisposition to Disease | Humans | Kaplan-Meier Estimate | Ketamine | Middle Aged | Riluzole | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Alcohol-Related Disorders | Antidepressive Agents | Depressive Disorder, Major | Depressive Disorder, Treatment-Resistant | Double-Blind Method | Excitatory Amino Acid Antagonists | Family | Genetic Predisposition to Disease | Humans | Kaplan-Meier Estimate | Ketamine | Middle Aged | Riluzole | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] antidepressant efficacy ketamine | based preliminary antidepressant | mdd antidepressant responders | acting antidepressants quickly | resistant mdd antidepressant [SUMMARY]
[CONTENT] antidepressant efficacy ketamine | based preliminary antidepressant | mdd antidepressant responders | acting antidepressants quickly | resistant mdd antidepressant [SUMMARY]
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[CONTENT] antidepressant efficacy ketamine | based preliminary antidepressant | mdd antidepressant responders | acting antidepressants quickly | resistant mdd antidepressant [SUMMARY]
[CONTENT] antidepressant efficacy ketamine | based preliminary antidepressant | mdd antidepressant responders | acting antidepressants quickly | resistant mdd antidepressant [SUMMARY]
[CONTENT] antidepressant efficacy ketamine | based preliminary antidepressant | mdd antidepressant responders | acting antidepressants quickly | resistant mdd antidepressant [SUMMARY]
[CONTENT] ketamine | history | subjects | infusion | use | antidepressant | alcohol | disorder | family | use disorder [SUMMARY]
[CONTENT] ketamine | history | subjects | infusion | use | antidepressant | alcohol | disorder | family | use disorder [SUMMARY]
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[CONTENT] ketamine | history | subjects | infusion | use | antidepressant | alcohol | disorder | family | use disorder [SUMMARY]
[CONTENT] ketamine | history | subjects | infusion | use | antidepressant | alcohol | disorder | family | use disorder [SUMMARY]
[CONTENT] ketamine | history | subjects | infusion | use | antidepressant | alcohol | disorder | family | use disorder [SUMMARY]
[CONTENT] ketamine | antidepressant | response | history | family history | efficacy | family | dose ketamine | 2012 | alcohol [SUMMARY]
[CONTENT] infusion | subjects | use | prior | screening | included | use disorder | disorder | history | alcohol [SUMMARY]
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[CONTENT] antidepressant | bipolar | ketamine | alcohol | differential | fhp | response | increased | glutamate | efficacy [SUMMARY]
[CONTENT] ketamine | history | subjects | infusion | antidepressant | use | alcohol | family | family history | disorder [SUMMARY]
[CONTENT] ketamine | history | subjects | infusion | antidepressant | use | alcohol | family | family history | disorder [SUMMARY]
[CONTENT] NMDA | antagonist ketamine | TRD ||| ketamine [SUMMARY]
[CONTENT] Fifty-two | TRD | 40 minutes | four to six hours | 100-200mg | Family History Positive | FHP | 10 | FHP | 9 | Family History Negative | FHN | 16 | FHN | 17 [SUMMARY]
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[CONTENT] Ketamine | FHP TRD [SUMMARY]
[CONTENT] NMDA | antagonist ketamine | TRD ||| ketamine ||| Fifty-two | TRD | 40 minutes | four to six hours | 100-200mg | Family History Positive | FHP | 10 | FHP | 9 | Family History Negative | FHN | 16 | FHN | 17 ||| ||| FHP | FHN ||| 15 | 17 ||| FHP | 8) | FHN | 9 | FHP | 6 | FHN | 9 ||| Ketamine | FHP TRD [SUMMARY]
[CONTENT] NMDA | antagonist ketamine | TRD ||| ketamine ||| Fifty-two | TRD | 40 minutes | four to six hours | 100-200mg | Family History Positive | FHP | 10 | FHP | 9 | Family History Negative | FHN | 16 | FHN | 17 ||| ||| FHP | FHN ||| 15 | 17 ||| FHP | 8) | FHN | 9 | FHP | 6 | FHN | 9 ||| Ketamine | FHP TRD [SUMMARY]
Serum hsa_circ_0000615 is a prognostic biomarker of sorafenib resistance in hepatocellular carcinoma.
36268976
Circular RNAs (circRNAs) can shape tumor progression and chemoresistance. How specific circRNAs shape hepatocellular carcinoma (HCC) chemoresistance, however, remains to be fully elucidated.
BACKGROUND
In total, serum samples were collected from 202 HCC patients that had completed four sorafenib chemotherapy cycles. Serum hsa_circ_0000615 levels in these patients were quantified via quantitative real-time polymerase chain reaction (qRT-PCR), with demographic details and survival outcomes being recorded for subsequent analyses.
METHODS
We found hsa_circ_0000615 to be significantly upregulated in chemoresistant HCC patients relative to chemosensitive patients, with such upregulation being positively correlated with disease stage. Moreover, the area under the curve (AUC) value for hsa_circ_0000615 was moderately good, and high levels of hsa_circ_0000615 expression were associated with shorter overall survival among chemoresistant HCC patients.
RESULTS
Our results highlight hsa_circ_0000615 as a promising driver of sorafenib resistance in HCC patients, highlighting it as a promising target for the treatment of this deadly cancer type.
CONCLUSION
[ "Humans", "Carcinoma, Hepatocellular", "RNA, Circular", "Sorafenib", "Liver Neoplasms", "Prognosis", "Biomarkers, Tumor" ]
9701853
INTRODUCTION
Hepatocellular carcinoma (HCC) is the leading cause of cancer‐related death worldwide. 1 In most cases, long‐term sorafenib administration is associated with the onset of chemoresistance. As such, there is a clear need to identify the mechanistic basis for sorafenib resistance and to design novel approaches to effectively treat this cancer type. Circular RNAs (circRNAs) are a covalently closed looping structure that renders them resistant to degradation and more stable than linear RNAs. 2 , 3 , 4 A growing body of evidence suggests that circRNAs can regulate a range of cancers and other important diseases by influencing cellular proliferation, survival, migration, glucose metabolism, and differentiation. 5 , 6 , 7 , 8 , 9 As such, circRNAs offer great promise as diagnostic biomarkers or therapeutic targets in cancer patients and individuals with other conditions. 10 Recently, circRNAs have been found to be dysregulated in HCC and to play an important functional role in this pathological context. 11 , 12 , 13 The recently identified circRNA hsa_circ_0000615 has been found to play an oncogenic role in prostate, 14 breast, 15 gastric, 16 and colorectal cancers. 17 Moreover, hsa_circ_0000615 has been found to promote HCC cell migration, invasion, stemness, and proliferation. 18 , 19 How hsa_circ_0000615 functions in the context of tumor chemoresistance, however, remains to be defined. Herein, we explored the expression of hsa_circ_0000615 in HCC patient serum and its relationship with patient clinical findings. Overall, we found that sorafenib‐resistant HCC patients exhibited hsa_circ_0000615 upregulation that was related to poorer overall survival (OS) outcomes. Moreover, hsa_circ_0000615 exhibited reasonably good area under the ROC curve (AUC) values, suggesting that it may offer value as a novel prognostic biomarker of sorafenib‐resistant HCC.
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RESULTS
Hepatocellular carcinoma patients exhibit serum hsa_circ_0000615 upregulation We began by assessing the levels of hsa_circ_0000615 in control and sorafenib‐resistant HCC cells. The sorafenib‐resistant Hep G2/sorafenib and Huh 7/sorafenib cell lines exhibited marked upregulation of this circRNA relative to corresponding parental cell lines (Figure 1A). To explore the potential utility of hsa_circ_0000615 as a biomarker of chemoresistance, we then assessed the levels of this circRNA in serum samples from 202 HCC patients and 202 healthy controls. HCC patients exhibited significantly elevated serum hsa_circ_0000615 levels compared with healthy controls (Figure 1B). Moreover, hsa_circ_0000615 expression levels were higher in sorafenib‐resistant patients (n = 122) relative to those in sorafenib‐sensitive individuals (n = 80) (Figure 1C). As such, hsa_circ_0000615 offers potential value as an HCC chemotherapy biomarker. Hepatocellular carcinoma (HCC) patient serum samples exhibit hsa_circ_0000615 upregulation. (A). Hsa_circ_0000615 levels were significantly increased in sorafenib‐resistant HCC cells. (B). Serum hsa_circ_0000615 levels were higher in HCC patients. (C). sorafenib‐resistant patients (n = 122) exhibited higher levels of hsa_circ_0000615 expression compared with sorafenib‐sensitive patients in the before treatment and after treatment (n = 80). *p < .05. We began by assessing the levels of hsa_circ_0000615 in control and sorafenib‐resistant HCC cells. The sorafenib‐resistant Hep G2/sorafenib and Huh 7/sorafenib cell lines exhibited marked upregulation of this circRNA relative to corresponding parental cell lines (Figure 1A). To explore the potential utility of hsa_circ_0000615 as a biomarker of chemoresistance, we then assessed the levels of this circRNA in serum samples from 202 HCC patients and 202 healthy controls. HCC patients exhibited significantly elevated serum hsa_circ_0000615 levels compared with healthy controls (Figure 1B). Moreover, hsa_circ_0000615 expression levels were higher in sorafenib‐resistant patients (n = 122) relative to those in sorafenib‐sensitive individuals (n = 80) (Figure 1C). As such, hsa_circ_0000615 offers potential value as an HCC chemotherapy biomarker. Hepatocellular carcinoma (HCC) patient serum samples exhibit hsa_circ_0000615 upregulation. (A). Hsa_circ_0000615 levels were significantly increased in sorafenib‐resistant HCC cells. (B). Serum hsa_circ_0000615 levels were higher in HCC patients. (C). sorafenib‐resistant patients (n = 122) exhibited higher levels of hsa_circ_0000615 expression compared with sorafenib‐sensitive patients in the before treatment and after treatment (n = 80). *p < .05. Hsa_circ_0000615 levels are related to clinical features in HCC patients Next, we stratified HCC patients into those with high and low levels of serum hsa_circ_0000615 based on the mean expression of this circRNA in this cohort and compared clinical features between these two patient groups. Chi‐squared analyses revealed that hsa_circ_0000615 expression was associated with clinical stage, TNM stage, and lymph node metastasis (Table 1), but was unrelated to age, sex, or histological grade. Kaplan–Meier analyses indicated that patients exhibiting higher levels of hsa_circ_0000615 expression presented with shorter OS relative to patients expressing low hsa_circ_0000615 levels (Figure 2). Correlations between hsa_circ_0000615 levels and hepatocellular carcinoma patient clinicopathological features Hsa_circ_0000615 levels are linked with hepatocellular carcinoma patient survival. Patients exhibiting higher hsa_circ_0000615 expression levels exhibited prolonged overall survival compared with patients with lower levels of this circRNA. Next, we stratified HCC patients into those with high and low levels of serum hsa_circ_0000615 based on the mean expression of this circRNA in this cohort and compared clinical features between these two patient groups. Chi‐squared analyses revealed that hsa_circ_0000615 expression was associated with clinical stage, TNM stage, and lymph node metastasis (Table 1), but was unrelated to age, sex, or histological grade. Kaplan–Meier analyses indicated that patients exhibiting higher levels of hsa_circ_0000615 expression presented with shorter OS relative to patients expressing low hsa_circ_0000615 levels (Figure 2). Correlations between hsa_circ_0000615 levels and hepatocellular carcinoma patient clinicopathological features Hsa_circ_0000615 levels are linked with hepatocellular carcinoma patient survival. Patients exhibiting higher hsa_circ_0000615 expression levels exhibited prolonged overall survival compared with patients with lower levels of this circRNA. Hsa_circ_0000615 is associated with poor chemoresistant hepatocellular carcinoma patient prognosis Through Kaplan–Meier analyses and log‐rank tests, we found chemoresistant HCC patients to exhibit significantly reduced OS and progression‐free survival (PFS) compared with chemosensitive patients (Figure 3). Through Cox proportional hazards regression analyses, we determined that clinical stage, chemoresistance, TNM stage, lymph node metastasis, and hsa_circ_0000615 levels were associated with patient PFS (Table 2) and OS (Table 3), highlighting hsa_circ_0000615 as a promising independent predictor of chemoresistant HCC patient survival. Hsa_circ_0000615 levels were significantly linked to poor outcomes in chemoresistant hepatocellular carcinoma (HCC) patients. Chemoresistant HCC patients exhibited significantly decreased progression‐free survival (A) and overall survival (B) relative to chemosensitive patients. Univariate and multivariate analyses of hepatocellular carcinoma patient progression‐free survival Univariate and multivariate analyses of hepatocellular carcinoma patient overall survival Through Kaplan–Meier analyses and log‐rank tests, we found chemoresistant HCC patients to exhibit significantly reduced OS and progression‐free survival (PFS) compared with chemosensitive patients (Figure 3). Through Cox proportional hazards regression analyses, we determined that clinical stage, chemoresistance, TNM stage, lymph node metastasis, and hsa_circ_0000615 levels were associated with patient PFS (Table 2) and OS (Table 3), highlighting hsa_circ_0000615 as a promising independent predictor of chemoresistant HCC patient survival. Hsa_circ_0000615 levels were significantly linked to poor outcomes in chemoresistant hepatocellular carcinoma (HCC) patients. Chemoresistant HCC patients exhibited significantly decreased progression‐free survival (A) and overall survival (B) relative to chemosensitive patients. Univariate and multivariate analyses of hepatocellular carcinoma patient progression‐free survival Univariate and multivariate analyses of hepatocellular carcinoma patient overall survival Serum hsa_circ_0000615 levels offer diagnostic utility for the detection of hepatocellular carcinoma chemoresistance Previous studies have shown that circRNAs show excellent potential diagnostic utility in various cancers, such as, breast cancer, 20 gastric cancer, 21 and HCC. 22 To assess the potential diagnostic utility of serum hsa_circ_0000615 in patients with HCC, the area under the receiver operating characteristic (ROC) curve (AUC) was determined and found to be 0.9238 (95% CI, 0.8915–0.956, Figure 4, p < .0001), consistent with the value of serum hsa_circ_0000615 as a biomarker capable of differentiating between HCC patients and healthy controls. Serum hsa_circ_0000615 levels offer diagnostic value as predictors of hepatocellular carcinoma (HCC) patient chemoresistance. Receiver‐operating characteristic curves were used to differentiate between chemoresistant HCC patients before and after therapy. Previous studies have shown that circRNAs show excellent potential diagnostic utility in various cancers, such as, breast cancer, 20 gastric cancer, 21 and HCC. 22 To assess the potential diagnostic utility of serum hsa_circ_0000615 in patients with HCC, the area under the receiver operating characteristic (ROC) curve (AUC) was determined and found to be 0.9238 (95% CI, 0.8915–0.956, Figure 4, p < .0001), consistent with the value of serum hsa_circ_0000615 as a biomarker capable of differentiating between HCC patients and healthy controls. Serum hsa_circ_0000615 levels offer diagnostic value as predictors of hepatocellular carcinoma (HCC) patient chemoresistance. Receiver‐operating characteristic curves were used to differentiate between chemoresistant HCC patients before and after therapy.
CONCLUSIONS
In summary, we herein found hsa_circ_0000615 upregulation to be prominent within serum samples from HCC patients, with such upregulation being significantly more pronounced in samples from chemosensitive patients relative to chemoresistant patients. As such, hsa_circ_0000615 is a promising target that warrants further study in an effort to understand the mechanistic basis for HCC patient chemoresistance.
[ "INTRODUCTION", "Cell culture and clinical samples", "Quantitative real‐time polymerase chain reaction", "Statistical analysis", "Hepatocellular carcinoma patients exhibit serum hsa_circ_0000615 upregulation", "Hsa_circ_0000615 levels are related to clinical features in HCC patients", "Hsa_circ_0000615 is associated with poor chemoresistant hepatocellular carcinoma patient prognosis", "Serum hsa_circ_0000615 levels offer diagnostic utility for the detection of hepatocellular carcinoma chemoresistance" ]
[ "Hepatocellular carcinoma (HCC) is the leading cause of cancer‐related death worldwide.\n1\n In most cases, long‐term sorafenib administration is associated with the onset of chemoresistance. As such, there is a clear need to identify the mechanistic basis for sorafenib resistance and to design novel approaches to effectively treat this cancer type.\nCircular RNAs (circRNAs) are a covalently closed looping structure that renders them resistant to degradation and more stable than linear RNAs.\n2\n, \n3\n, \n4\n A growing body of evidence suggests that circRNAs can regulate a range of cancers and other important diseases by influencing cellular proliferation, survival, migration, glucose metabolism, and differentiation.\n5\n, \n6\n, \n7\n, \n8\n, \n9\n As such, circRNAs offer great promise as diagnostic biomarkers or therapeutic targets in cancer patients and individuals with other conditions.\n10\n\n\nRecently, circRNAs have been found to be dysregulated in HCC and to play an important functional role in this pathological context.\n11\n, \n12\n, \n13\n The recently identified circRNA hsa_circ_0000615 has been found to play an oncogenic role in prostate,\n14\n breast,\n15\n gastric,\n16\n and colorectal cancers.\n17\n Moreover, hsa_circ_0000615 has been found to promote HCC cell migration, invasion, stemness, and proliferation.\n18\n, \n19\n How hsa_circ_0000615 functions in the context of tumor chemoresistance, however, remains to be defined.\nHerein, we explored the expression of hsa_circ_0000615 in HCC patient serum and its relationship with patient clinical findings. Overall, we found that sorafenib‐resistant HCC patients exhibited hsa_circ_0000615 upregulation that was related to poorer overall survival (OS) outcomes. Moreover, hsa_circ_0000615 exhibited reasonably good area under the ROC curve (AUC) values, suggesting that it may offer value as a novel prognostic biomarker of sorafenib‐resistant HCC.", "Human Hep G2 and Huh 7 were grown in DMEM (Invitrogen, NY, USA). Hep G2/sorafenib and Huh 7/sorafenib cell lines were established by maintaining Hep G2 and Huh 7 cells at 1 mmol/L sorafenib and gradually increasing it at a rate of 0.5 mmol/L per month (up to 5 mmol/L) more than 10‐month. Serum samples from 202 HCC patients and 202 healthy controls were obtained from the First Affiliated Hospital of Bengbu Medical College. This study was approved by the Ethics Committee of the First Affiliated Hospital of Bengbu Medical College, with all patients having provided written informed consent.", "An RNA Isolation Kit (Vazyme Biotech, Nanjing, China) was used to extract total RNA from 500 μl of patient serum, after which a Prime Script RT reagent Kit (Takara, Dalian, China) was used for cDNA synthesis. Prepared cDNA was then used as input for qPCR reactions performed with SYBR Green (Takara). The U6 small nuclear B noncoding RNA (U6) was used to normalize expression values via the 2−ΔΔCt method, with primers used being as follows: hsa_circ_0000615: F 5′–CAGCGCTATCCTTTGGGA–3′, R 5′–GACCTGCCACATTGGTCAGTA–3′; U6: F 5′–TGCGGGTGCTCGCTTCGGCAGC–3′, R 5′–GTGCAGGGTCCGAGGT–3′.", "Data are means ± standard deviation (SD) and were compared via Student's t tests using GraphPad Prism 7. The Kaplan–Meier method was used for survival analyses, with p < .05 as the threshold of significance.", "We began by assessing the levels of hsa_circ_0000615 in control and sorafenib‐resistant HCC cells. The sorafenib‐resistant Hep G2/sorafenib and Huh 7/sorafenib cell lines exhibited marked upregulation of this circRNA relative to corresponding parental cell lines (Figure 1A). To explore the potential utility of hsa_circ_0000615 as a biomarker of chemoresistance, we then assessed the levels of this circRNA in serum samples from 202 HCC patients and 202 healthy controls. HCC patients exhibited significantly elevated serum hsa_circ_0000615 levels compared with healthy controls (Figure 1B). Moreover, hsa_circ_0000615 expression levels were higher in sorafenib‐resistant patients (n = 122) relative to those in sorafenib‐sensitive individuals (n = 80) (Figure 1C). As such, hsa_circ_0000615 offers potential value as an HCC chemotherapy biomarker.\nHepatocellular carcinoma (HCC) patient serum samples exhibit hsa_circ_0000615 upregulation. (A). Hsa_circ_0000615 levels were significantly increased in sorafenib‐resistant HCC cells. (B). Serum hsa_circ_0000615 levels were higher in HCC patients. (C). sorafenib‐resistant patients (n = 122) exhibited higher levels of hsa_circ_0000615 expression compared with sorafenib‐sensitive patients in the before treatment and after treatment (n = 80). *p < .05.", "Next, we stratified HCC patients into those with high and low levels of serum hsa_circ_0000615 based on the mean expression of this circRNA in this cohort and compared clinical features between these two patient groups. Chi‐squared analyses revealed that hsa_circ_0000615 expression was associated with clinical stage, TNM stage, and lymph node metastasis (Table 1), but was unrelated to age, sex, or histological grade. Kaplan–Meier analyses indicated that patients exhibiting higher levels of hsa_circ_0000615 expression presented with shorter OS relative to patients expressing low hsa_circ_0000615 levels (Figure 2).\nCorrelations between hsa_circ_0000615 levels and hepatocellular carcinoma patient clinicopathological features\nHsa_circ_0000615 levels are linked with hepatocellular carcinoma patient survival. Patients exhibiting higher hsa_circ_0000615 expression levels exhibited prolonged overall survival compared with patients with lower levels of this circRNA.", "Through Kaplan–Meier analyses and log‐rank tests, we found chemoresistant HCC patients to exhibit significantly reduced OS and progression‐free survival (PFS) compared with chemosensitive patients (Figure 3). Through Cox proportional hazards regression analyses, we determined that clinical stage, chemoresistance, TNM stage, lymph node metastasis, and hsa_circ_0000615 levels were associated with patient PFS (Table 2) and OS (Table 3), highlighting hsa_circ_0000615 as a promising independent predictor of chemoresistant HCC patient survival.\nHsa_circ_0000615 levels were significantly linked to poor outcomes in chemoresistant hepatocellular carcinoma (HCC) patients. Chemoresistant HCC patients exhibited significantly decreased progression‐free survival (A) and overall survival (B) relative to chemosensitive patients.\nUnivariate and multivariate analyses of hepatocellular carcinoma patient progression‐free survival\nUnivariate and multivariate analyses of hepatocellular carcinoma patient overall survival", "Previous studies have shown that circRNAs show excellent potential diagnostic utility in various cancers, such as, breast cancer,\n20\n gastric cancer,\n21\n and HCC.\n22\n To assess the potential diagnostic utility of serum hsa_circ_0000615 in patients with HCC, the area under the receiver operating characteristic (ROC) curve (AUC) was determined and found to be 0.9238 (95% CI, 0.8915–0.956, Figure 4, p < .0001), consistent with the value of serum hsa_circ_0000615 as a biomarker capable of differentiating between HCC patients and healthy controls.\nSerum hsa_circ_0000615 levels offer diagnostic value as predictors of hepatocellular carcinoma (HCC) patient chemoresistance. Receiver‐operating characteristic curves were used to differentiate between chemoresistant HCC patients before and after therapy." ]
[ null, null, null, null, null, null, null, null ]
[ "INTRODUCTION", "MATERIALS AND METHODS", "Cell culture and clinical samples", "Quantitative real‐time polymerase chain reaction", "Statistical analysis", "RESULTS", "Hepatocellular carcinoma patients exhibit serum hsa_circ_0000615 upregulation", "Hsa_circ_0000615 levels are related to clinical features in HCC patients", "Hsa_circ_0000615 is associated with poor chemoresistant hepatocellular carcinoma patient prognosis", "Serum hsa_circ_0000615 levels offer diagnostic utility for the detection of hepatocellular carcinoma chemoresistance", "DISCUSSION", "CONCLUSIONS", "CONFLICT OF INTEREST" ]
[ "Hepatocellular carcinoma (HCC) is the leading cause of cancer‐related death worldwide.\n1\n In most cases, long‐term sorafenib administration is associated with the onset of chemoresistance. As such, there is a clear need to identify the mechanistic basis for sorafenib resistance and to design novel approaches to effectively treat this cancer type.\nCircular RNAs (circRNAs) are a covalently closed looping structure that renders them resistant to degradation and more stable than linear RNAs.\n2\n, \n3\n, \n4\n A growing body of evidence suggests that circRNAs can regulate a range of cancers and other important diseases by influencing cellular proliferation, survival, migration, glucose metabolism, and differentiation.\n5\n, \n6\n, \n7\n, \n8\n, \n9\n As such, circRNAs offer great promise as diagnostic biomarkers or therapeutic targets in cancer patients and individuals with other conditions.\n10\n\n\nRecently, circRNAs have been found to be dysregulated in HCC and to play an important functional role in this pathological context.\n11\n, \n12\n, \n13\n The recently identified circRNA hsa_circ_0000615 has been found to play an oncogenic role in prostate,\n14\n breast,\n15\n gastric,\n16\n and colorectal cancers.\n17\n Moreover, hsa_circ_0000615 has been found to promote HCC cell migration, invasion, stemness, and proliferation.\n18\n, \n19\n How hsa_circ_0000615 functions in the context of tumor chemoresistance, however, remains to be defined.\nHerein, we explored the expression of hsa_circ_0000615 in HCC patient serum and its relationship with patient clinical findings. Overall, we found that sorafenib‐resistant HCC patients exhibited hsa_circ_0000615 upregulation that was related to poorer overall survival (OS) outcomes. Moreover, hsa_circ_0000615 exhibited reasonably good area under the ROC curve (AUC) values, suggesting that it may offer value as a novel prognostic biomarker of sorafenib‐resistant HCC.", " Cell culture and clinical samples Human Hep G2 and Huh 7 were grown in DMEM (Invitrogen, NY, USA). Hep G2/sorafenib and Huh 7/sorafenib cell lines were established by maintaining Hep G2 and Huh 7 cells at 1 mmol/L sorafenib and gradually increasing it at a rate of 0.5 mmol/L per month (up to 5 mmol/L) more than 10‐month. Serum samples from 202 HCC patients and 202 healthy controls were obtained from the First Affiliated Hospital of Bengbu Medical College. This study was approved by the Ethics Committee of the First Affiliated Hospital of Bengbu Medical College, with all patients having provided written informed consent.\nHuman Hep G2 and Huh 7 were grown in DMEM (Invitrogen, NY, USA). Hep G2/sorafenib and Huh 7/sorafenib cell lines were established by maintaining Hep G2 and Huh 7 cells at 1 mmol/L sorafenib and gradually increasing it at a rate of 0.5 mmol/L per month (up to 5 mmol/L) more than 10‐month. Serum samples from 202 HCC patients and 202 healthy controls were obtained from the First Affiliated Hospital of Bengbu Medical College. This study was approved by the Ethics Committee of the First Affiliated Hospital of Bengbu Medical College, with all patients having provided written informed consent.\n Quantitative real‐time polymerase chain reaction An RNA Isolation Kit (Vazyme Biotech, Nanjing, China) was used to extract total RNA from 500 μl of patient serum, after which a Prime Script RT reagent Kit (Takara, Dalian, China) was used for cDNA synthesis. Prepared cDNA was then used as input for qPCR reactions performed with SYBR Green (Takara). The U6 small nuclear B noncoding RNA (U6) was used to normalize expression values via the 2−ΔΔCt method, with primers used being as follows: hsa_circ_0000615: F 5′–CAGCGCTATCCTTTGGGA–3′, R 5′–GACCTGCCACATTGGTCAGTA–3′; U6: F 5′–TGCGGGTGCTCGCTTCGGCAGC–3′, R 5′–GTGCAGGGTCCGAGGT–3′.\nAn RNA Isolation Kit (Vazyme Biotech, Nanjing, China) was used to extract total RNA from 500 μl of patient serum, after which a Prime Script RT reagent Kit (Takara, Dalian, China) was used for cDNA synthesis. Prepared cDNA was then used as input for qPCR reactions performed with SYBR Green (Takara). The U6 small nuclear B noncoding RNA (U6) was used to normalize expression values via the 2−ΔΔCt method, with primers used being as follows: hsa_circ_0000615: F 5′–CAGCGCTATCCTTTGGGA–3′, R 5′–GACCTGCCACATTGGTCAGTA–3′; U6: F 5′–TGCGGGTGCTCGCTTCGGCAGC–3′, R 5′–GTGCAGGGTCCGAGGT–3′.\n Statistical analysis Data are means ± standard deviation (SD) and were compared via Student's t tests using GraphPad Prism 7. The Kaplan–Meier method was used for survival analyses, with p < .05 as the threshold of significance.\nData are means ± standard deviation (SD) and were compared via Student's t tests using GraphPad Prism 7. The Kaplan–Meier method was used for survival analyses, with p < .05 as the threshold of significance.", "Human Hep G2 and Huh 7 were grown in DMEM (Invitrogen, NY, USA). Hep G2/sorafenib and Huh 7/sorafenib cell lines were established by maintaining Hep G2 and Huh 7 cells at 1 mmol/L sorafenib and gradually increasing it at a rate of 0.5 mmol/L per month (up to 5 mmol/L) more than 10‐month. Serum samples from 202 HCC patients and 202 healthy controls were obtained from the First Affiliated Hospital of Bengbu Medical College. This study was approved by the Ethics Committee of the First Affiliated Hospital of Bengbu Medical College, with all patients having provided written informed consent.", "An RNA Isolation Kit (Vazyme Biotech, Nanjing, China) was used to extract total RNA from 500 μl of patient serum, after which a Prime Script RT reagent Kit (Takara, Dalian, China) was used for cDNA synthesis. Prepared cDNA was then used as input for qPCR reactions performed with SYBR Green (Takara). The U6 small nuclear B noncoding RNA (U6) was used to normalize expression values via the 2−ΔΔCt method, with primers used being as follows: hsa_circ_0000615: F 5′–CAGCGCTATCCTTTGGGA–3′, R 5′–GACCTGCCACATTGGTCAGTA–3′; U6: F 5′–TGCGGGTGCTCGCTTCGGCAGC–3′, R 5′–GTGCAGGGTCCGAGGT–3′.", "Data are means ± standard deviation (SD) and were compared via Student's t tests using GraphPad Prism 7. The Kaplan–Meier method was used for survival analyses, with p < .05 as the threshold of significance.", " Hepatocellular carcinoma patients exhibit serum hsa_circ_0000615 upregulation We began by assessing the levels of hsa_circ_0000615 in control and sorafenib‐resistant HCC cells. The sorafenib‐resistant Hep G2/sorafenib and Huh 7/sorafenib cell lines exhibited marked upregulation of this circRNA relative to corresponding parental cell lines (Figure 1A). To explore the potential utility of hsa_circ_0000615 as a biomarker of chemoresistance, we then assessed the levels of this circRNA in serum samples from 202 HCC patients and 202 healthy controls. HCC patients exhibited significantly elevated serum hsa_circ_0000615 levels compared with healthy controls (Figure 1B). Moreover, hsa_circ_0000615 expression levels were higher in sorafenib‐resistant patients (n = 122) relative to those in sorafenib‐sensitive individuals (n = 80) (Figure 1C). As such, hsa_circ_0000615 offers potential value as an HCC chemotherapy biomarker.\nHepatocellular carcinoma (HCC) patient serum samples exhibit hsa_circ_0000615 upregulation. (A). Hsa_circ_0000615 levels were significantly increased in sorafenib‐resistant HCC cells. (B). Serum hsa_circ_0000615 levels were higher in HCC patients. (C). sorafenib‐resistant patients (n = 122) exhibited higher levels of hsa_circ_0000615 expression compared with sorafenib‐sensitive patients in the before treatment and after treatment (n = 80). *p < .05.\nWe began by assessing the levels of hsa_circ_0000615 in control and sorafenib‐resistant HCC cells. The sorafenib‐resistant Hep G2/sorafenib and Huh 7/sorafenib cell lines exhibited marked upregulation of this circRNA relative to corresponding parental cell lines (Figure 1A). To explore the potential utility of hsa_circ_0000615 as a biomarker of chemoresistance, we then assessed the levels of this circRNA in serum samples from 202 HCC patients and 202 healthy controls. HCC patients exhibited significantly elevated serum hsa_circ_0000615 levels compared with healthy controls (Figure 1B). Moreover, hsa_circ_0000615 expression levels were higher in sorafenib‐resistant patients (n = 122) relative to those in sorafenib‐sensitive individuals (n = 80) (Figure 1C). As such, hsa_circ_0000615 offers potential value as an HCC chemotherapy biomarker.\nHepatocellular carcinoma (HCC) patient serum samples exhibit hsa_circ_0000615 upregulation. (A). Hsa_circ_0000615 levels were significantly increased in sorafenib‐resistant HCC cells. (B). Serum hsa_circ_0000615 levels were higher in HCC patients. (C). sorafenib‐resistant patients (n = 122) exhibited higher levels of hsa_circ_0000615 expression compared with sorafenib‐sensitive patients in the before treatment and after treatment (n = 80). *p < .05.\n Hsa_circ_0000615 levels are related to clinical features in HCC patients Next, we stratified HCC patients into those with high and low levels of serum hsa_circ_0000615 based on the mean expression of this circRNA in this cohort and compared clinical features between these two patient groups. Chi‐squared analyses revealed that hsa_circ_0000615 expression was associated with clinical stage, TNM stage, and lymph node metastasis (Table 1), but was unrelated to age, sex, or histological grade. Kaplan–Meier analyses indicated that patients exhibiting higher levels of hsa_circ_0000615 expression presented with shorter OS relative to patients expressing low hsa_circ_0000615 levels (Figure 2).\nCorrelations between hsa_circ_0000615 levels and hepatocellular carcinoma patient clinicopathological features\nHsa_circ_0000615 levels are linked with hepatocellular carcinoma patient survival. Patients exhibiting higher hsa_circ_0000615 expression levels exhibited prolonged overall survival compared with patients with lower levels of this circRNA.\nNext, we stratified HCC patients into those with high and low levels of serum hsa_circ_0000615 based on the mean expression of this circRNA in this cohort and compared clinical features between these two patient groups. Chi‐squared analyses revealed that hsa_circ_0000615 expression was associated with clinical stage, TNM stage, and lymph node metastasis (Table 1), but was unrelated to age, sex, or histological grade. Kaplan–Meier analyses indicated that patients exhibiting higher levels of hsa_circ_0000615 expression presented with shorter OS relative to patients expressing low hsa_circ_0000615 levels (Figure 2).\nCorrelations between hsa_circ_0000615 levels and hepatocellular carcinoma patient clinicopathological features\nHsa_circ_0000615 levels are linked with hepatocellular carcinoma patient survival. Patients exhibiting higher hsa_circ_0000615 expression levels exhibited prolonged overall survival compared with patients with lower levels of this circRNA.\n Hsa_circ_0000615 is associated with poor chemoresistant hepatocellular carcinoma patient prognosis Through Kaplan–Meier analyses and log‐rank tests, we found chemoresistant HCC patients to exhibit significantly reduced OS and progression‐free survival (PFS) compared with chemosensitive patients (Figure 3). Through Cox proportional hazards regression analyses, we determined that clinical stage, chemoresistance, TNM stage, lymph node metastasis, and hsa_circ_0000615 levels were associated with patient PFS (Table 2) and OS (Table 3), highlighting hsa_circ_0000615 as a promising independent predictor of chemoresistant HCC patient survival.\nHsa_circ_0000615 levels were significantly linked to poor outcomes in chemoresistant hepatocellular carcinoma (HCC) patients. Chemoresistant HCC patients exhibited significantly decreased progression‐free survival (A) and overall survival (B) relative to chemosensitive patients.\nUnivariate and multivariate analyses of hepatocellular carcinoma patient progression‐free survival\nUnivariate and multivariate analyses of hepatocellular carcinoma patient overall survival\nThrough Kaplan–Meier analyses and log‐rank tests, we found chemoresistant HCC patients to exhibit significantly reduced OS and progression‐free survival (PFS) compared with chemosensitive patients (Figure 3). Through Cox proportional hazards regression analyses, we determined that clinical stage, chemoresistance, TNM stage, lymph node metastasis, and hsa_circ_0000615 levels were associated with patient PFS (Table 2) and OS (Table 3), highlighting hsa_circ_0000615 as a promising independent predictor of chemoresistant HCC patient survival.\nHsa_circ_0000615 levels were significantly linked to poor outcomes in chemoresistant hepatocellular carcinoma (HCC) patients. Chemoresistant HCC patients exhibited significantly decreased progression‐free survival (A) and overall survival (B) relative to chemosensitive patients.\nUnivariate and multivariate analyses of hepatocellular carcinoma patient progression‐free survival\nUnivariate and multivariate analyses of hepatocellular carcinoma patient overall survival\n Serum hsa_circ_0000615 levels offer diagnostic utility for the detection of hepatocellular carcinoma chemoresistance Previous studies have shown that circRNAs show excellent potential diagnostic utility in various cancers, such as, breast cancer,\n20\n gastric cancer,\n21\n and HCC.\n22\n To assess the potential diagnostic utility of serum hsa_circ_0000615 in patients with HCC, the area under the receiver operating characteristic (ROC) curve (AUC) was determined and found to be 0.9238 (95% CI, 0.8915–0.956, Figure 4, p < .0001), consistent with the value of serum hsa_circ_0000615 as a biomarker capable of differentiating between HCC patients and healthy controls.\nSerum hsa_circ_0000615 levels offer diagnostic value as predictors of hepatocellular carcinoma (HCC) patient chemoresistance. Receiver‐operating characteristic curves were used to differentiate between chemoresistant HCC patients before and after therapy.\nPrevious studies have shown that circRNAs show excellent potential diagnostic utility in various cancers, such as, breast cancer,\n20\n gastric cancer,\n21\n and HCC.\n22\n To assess the potential diagnostic utility of serum hsa_circ_0000615 in patients with HCC, the area under the receiver operating characteristic (ROC) curve (AUC) was determined and found to be 0.9238 (95% CI, 0.8915–0.956, Figure 4, p < .0001), consistent with the value of serum hsa_circ_0000615 as a biomarker capable of differentiating between HCC patients and healthy controls.\nSerum hsa_circ_0000615 levels offer diagnostic value as predictors of hepatocellular carcinoma (HCC) patient chemoresistance. Receiver‐operating characteristic curves were used to differentiate between chemoresistant HCC patients before and after therapy.", "We began by assessing the levels of hsa_circ_0000615 in control and sorafenib‐resistant HCC cells. The sorafenib‐resistant Hep G2/sorafenib and Huh 7/sorafenib cell lines exhibited marked upregulation of this circRNA relative to corresponding parental cell lines (Figure 1A). To explore the potential utility of hsa_circ_0000615 as a biomarker of chemoresistance, we then assessed the levels of this circRNA in serum samples from 202 HCC patients and 202 healthy controls. HCC patients exhibited significantly elevated serum hsa_circ_0000615 levels compared with healthy controls (Figure 1B). Moreover, hsa_circ_0000615 expression levels were higher in sorafenib‐resistant patients (n = 122) relative to those in sorafenib‐sensitive individuals (n = 80) (Figure 1C). As such, hsa_circ_0000615 offers potential value as an HCC chemotherapy biomarker.\nHepatocellular carcinoma (HCC) patient serum samples exhibit hsa_circ_0000615 upregulation. (A). Hsa_circ_0000615 levels were significantly increased in sorafenib‐resistant HCC cells. (B). Serum hsa_circ_0000615 levels were higher in HCC patients. (C). sorafenib‐resistant patients (n = 122) exhibited higher levels of hsa_circ_0000615 expression compared with sorafenib‐sensitive patients in the before treatment and after treatment (n = 80). *p < .05.", "Next, we stratified HCC patients into those with high and low levels of serum hsa_circ_0000615 based on the mean expression of this circRNA in this cohort and compared clinical features between these two patient groups. Chi‐squared analyses revealed that hsa_circ_0000615 expression was associated with clinical stage, TNM stage, and lymph node metastasis (Table 1), but was unrelated to age, sex, or histological grade. Kaplan–Meier analyses indicated that patients exhibiting higher levels of hsa_circ_0000615 expression presented with shorter OS relative to patients expressing low hsa_circ_0000615 levels (Figure 2).\nCorrelations between hsa_circ_0000615 levels and hepatocellular carcinoma patient clinicopathological features\nHsa_circ_0000615 levels are linked with hepatocellular carcinoma patient survival. Patients exhibiting higher hsa_circ_0000615 expression levels exhibited prolonged overall survival compared with patients with lower levels of this circRNA.", "Through Kaplan–Meier analyses and log‐rank tests, we found chemoresistant HCC patients to exhibit significantly reduced OS and progression‐free survival (PFS) compared with chemosensitive patients (Figure 3). Through Cox proportional hazards regression analyses, we determined that clinical stage, chemoresistance, TNM stage, lymph node metastasis, and hsa_circ_0000615 levels were associated with patient PFS (Table 2) and OS (Table 3), highlighting hsa_circ_0000615 as a promising independent predictor of chemoresistant HCC patient survival.\nHsa_circ_0000615 levels were significantly linked to poor outcomes in chemoresistant hepatocellular carcinoma (HCC) patients. Chemoresistant HCC patients exhibited significantly decreased progression‐free survival (A) and overall survival (B) relative to chemosensitive patients.\nUnivariate and multivariate analyses of hepatocellular carcinoma patient progression‐free survival\nUnivariate and multivariate analyses of hepatocellular carcinoma patient overall survival", "Previous studies have shown that circRNAs show excellent potential diagnostic utility in various cancers, such as, breast cancer,\n20\n gastric cancer,\n21\n and HCC.\n22\n To assess the potential diagnostic utility of serum hsa_circ_0000615 in patients with HCC, the area under the receiver operating characteristic (ROC) curve (AUC) was determined and found to be 0.9238 (95% CI, 0.8915–0.956, Figure 4, p < .0001), consistent with the value of serum hsa_circ_0000615 as a biomarker capable of differentiating between HCC patients and healthy controls.\nSerum hsa_circ_0000615 levels offer diagnostic value as predictors of hepatocellular carcinoma (HCC) patient chemoresistance. Receiver‐operating characteristic curves were used to differentiate between chemoresistant HCC patients before and after therapy.", "Herein, we found that serum samples from HCC patients exhibited significant increases in hsa_circ_0000615 levels compared with those from control individuals. Moreover, the upregulation of this circRNA in samples from sorafenib‐resistant HCC patients relative to those from chemosensitive patients suggested that it may offer value as an independent predictor of patient outcomes.\nA growing body of evidence suggests that circRNAs are functionally important in cancer and may offer value as predictive biomarkers or therapeutic targets. In colorectal cancer, for example, circRNA_0000392 can promote tumor progression via the miR‐193a‐5p/PIK3R3/AKT axis.\n23\n Moreover, in non‐small cell lung cancer, circNDUFB2 can destabilize IGF2BPs and activate anti‐tumor immune responses to suppress tumor progression.\n24\n In HCC, circRNA‐SORE can stabilize YBX1 to drive sorafenib resistance.\n25\n As such, circRNAs function in a tumor‐specific manner.\nNeoadjuvant chemotherapy is a mainstay of treatment for many cancers and has been used with increasing frequency over the past decade, with sorafenib‐based neoadjuvant chemotherapy being a standard of care for HCC patients. Those HCC patients that undergo sorafenib‐based chemotherapy prior to radical cystectomy exhibit better OS outcomes, but a subset of patients fail to attain any benefit from such treatment, with pathological responses to neoadjuvant chemotherapy being predictive of disease‐specific survival outcomes. Identifying reliable biomarkers capable of guiding clinicians to the selection of patients most likely to benefit from chemotherapeutic intervention is thus a critical clinical task.\nIn HCC, circRNAs can function as central regulators of sorafenib‐resistance,\n26\n, \n27\n, \n28\n with hsa_circ_0000615 having previously been shown to drive HCC tumor growth and metastatic progression.\n18\n, \n19\n In this study, we further found hsa_circ_0000615 to be expressed at significantly higher levels in Hep G2/sorafenib and Huh 7/sorafenib cells relative to corresponding parental cell lines. The expression of this circRNA was similarly elevated in sorafenib‐resistant HCC patients compared with their chemosensitive counterparts, suggesting that hsa_circ_0000615 may offer value as a predictor of chemotherapeutic responses. Levels of hsa_circ_0000615 were also related to clinical stage, lymph node metastasis, and T stage in HCC patients, although they were unrelated to tumor histological stage, N stage, M stage, or patient age and gender. Kaplan–Meier analyses indicated that higher levels of hsa_circ_0000615 expression were associated with shorter patient OS compared with low levels of this circRNA. Moreover, chemoresistant HCC patients exhibited shorter OS and PFS compared with chemosensitive patients. Univariate and multivariate analyses further revealed clinical stage, T stage, lymph node metastasis, and chemoresistance to be correlated with OS and PFS outcomes, suggesting hsa_circ_0000615 to be a valuable independent predictor of HCC patient outcomes. In addition, the AUC value for this circRNA in HCC patients was 0.9238, indicating that serum levels of hsa_circ_0000615 can be used to reliably differentiate between HCC patients and healthy individuals.", "In summary, we herein found hsa_circ_0000615 upregulation to be prominent within serum samples from HCC patients, with such upregulation being significantly more pronounced in samples from chemosensitive patients relative to chemoresistant patients. As such, hsa_circ_0000615 is a promising target that warrants further study in an effort to understand the mechanistic basis for HCC patient chemoresistance.", "The authors of this work declare that they have no conflict of interest." ]
[ null, "materials-and-methods", null, null, null, "results", null, null, null, null, "discussion", "conclusions", "COI-statement" ]
[ "hepatocellular carcinoma", "hsa_circ_0000615", "sorafenib resistance" ]
INTRODUCTION: Hepatocellular carcinoma (HCC) is the leading cause of cancer‐related death worldwide. 1 In most cases, long‐term sorafenib administration is associated with the onset of chemoresistance. As such, there is a clear need to identify the mechanistic basis for sorafenib resistance and to design novel approaches to effectively treat this cancer type. Circular RNAs (circRNAs) are a covalently closed looping structure that renders them resistant to degradation and more stable than linear RNAs. 2 , 3 , 4 A growing body of evidence suggests that circRNAs can regulate a range of cancers and other important diseases by influencing cellular proliferation, survival, migration, glucose metabolism, and differentiation. 5 , 6 , 7 , 8 , 9 As such, circRNAs offer great promise as diagnostic biomarkers or therapeutic targets in cancer patients and individuals with other conditions. 10 Recently, circRNAs have been found to be dysregulated in HCC and to play an important functional role in this pathological context. 11 , 12 , 13 The recently identified circRNA hsa_circ_0000615 has been found to play an oncogenic role in prostate, 14 breast, 15 gastric, 16 and colorectal cancers. 17 Moreover, hsa_circ_0000615 has been found to promote HCC cell migration, invasion, stemness, and proliferation. 18 , 19 How hsa_circ_0000615 functions in the context of tumor chemoresistance, however, remains to be defined. Herein, we explored the expression of hsa_circ_0000615 in HCC patient serum and its relationship with patient clinical findings. Overall, we found that sorafenib‐resistant HCC patients exhibited hsa_circ_0000615 upregulation that was related to poorer overall survival (OS) outcomes. Moreover, hsa_circ_0000615 exhibited reasonably good area under the ROC curve (AUC) values, suggesting that it may offer value as a novel prognostic biomarker of sorafenib‐resistant HCC. MATERIALS AND METHODS: Cell culture and clinical samples Human Hep G2 and Huh 7 were grown in DMEM (Invitrogen, NY, USA). Hep G2/sorafenib and Huh 7/sorafenib cell lines were established by maintaining Hep G2 and Huh 7 cells at 1 mmol/L sorafenib and gradually increasing it at a rate of 0.5 mmol/L per month (up to 5 mmol/L) more than 10‐month. Serum samples from 202 HCC patients and 202 healthy controls were obtained from the First Affiliated Hospital of Bengbu Medical College. This study was approved by the Ethics Committee of the First Affiliated Hospital of Bengbu Medical College, with all patients having provided written informed consent. Human Hep G2 and Huh 7 were grown in DMEM (Invitrogen, NY, USA). Hep G2/sorafenib and Huh 7/sorafenib cell lines were established by maintaining Hep G2 and Huh 7 cells at 1 mmol/L sorafenib and gradually increasing it at a rate of 0.5 mmol/L per month (up to 5 mmol/L) more than 10‐month. Serum samples from 202 HCC patients and 202 healthy controls were obtained from the First Affiliated Hospital of Bengbu Medical College. This study was approved by the Ethics Committee of the First Affiliated Hospital of Bengbu Medical College, with all patients having provided written informed consent. Quantitative real‐time polymerase chain reaction An RNA Isolation Kit (Vazyme Biotech, Nanjing, China) was used to extract total RNA from 500 μl of patient serum, after which a Prime Script RT reagent Kit (Takara, Dalian, China) was used for cDNA synthesis. Prepared cDNA was then used as input for qPCR reactions performed with SYBR Green (Takara). The U6 small nuclear B noncoding RNA (U6) was used to normalize expression values via the 2−ΔΔCt method, with primers used being as follows: hsa_circ_0000615: F 5′–CAGCGCTATCCTTTGGGA–3′, R 5′–GACCTGCCACATTGGTCAGTA–3′; U6: F 5′–TGCGGGTGCTCGCTTCGGCAGC–3′, R 5′–GTGCAGGGTCCGAGGT–3′. An RNA Isolation Kit (Vazyme Biotech, Nanjing, China) was used to extract total RNA from 500 μl of patient serum, after which a Prime Script RT reagent Kit (Takara, Dalian, China) was used for cDNA synthesis. Prepared cDNA was then used as input for qPCR reactions performed with SYBR Green (Takara). The U6 small nuclear B noncoding RNA (U6) was used to normalize expression values via the 2−ΔΔCt method, with primers used being as follows: hsa_circ_0000615: F 5′–CAGCGCTATCCTTTGGGA–3′, R 5′–GACCTGCCACATTGGTCAGTA–3′; U6: F 5′–TGCGGGTGCTCGCTTCGGCAGC–3′, R 5′–GTGCAGGGTCCGAGGT–3′. Statistical analysis Data are means ± standard deviation (SD) and were compared via Student's t tests using GraphPad Prism 7. The Kaplan–Meier method was used for survival analyses, with p < .05 as the threshold of significance. Data are means ± standard deviation (SD) and were compared via Student's t tests using GraphPad Prism 7. The Kaplan–Meier method was used for survival analyses, with p < .05 as the threshold of significance. Cell culture and clinical samples: Human Hep G2 and Huh 7 were grown in DMEM (Invitrogen, NY, USA). Hep G2/sorafenib and Huh 7/sorafenib cell lines were established by maintaining Hep G2 and Huh 7 cells at 1 mmol/L sorafenib and gradually increasing it at a rate of 0.5 mmol/L per month (up to 5 mmol/L) more than 10‐month. Serum samples from 202 HCC patients and 202 healthy controls were obtained from the First Affiliated Hospital of Bengbu Medical College. This study was approved by the Ethics Committee of the First Affiliated Hospital of Bengbu Medical College, with all patients having provided written informed consent. Quantitative real‐time polymerase chain reaction: An RNA Isolation Kit (Vazyme Biotech, Nanjing, China) was used to extract total RNA from 500 μl of patient serum, after which a Prime Script RT reagent Kit (Takara, Dalian, China) was used for cDNA synthesis. Prepared cDNA was then used as input for qPCR reactions performed with SYBR Green (Takara). The U6 small nuclear B noncoding RNA (U6) was used to normalize expression values via the 2−ΔΔCt method, with primers used being as follows: hsa_circ_0000615: F 5′–CAGCGCTATCCTTTGGGA–3′, R 5′–GACCTGCCACATTGGTCAGTA–3′; U6: F 5′–TGCGGGTGCTCGCTTCGGCAGC–3′, R 5′–GTGCAGGGTCCGAGGT–3′. Statistical analysis: Data are means ± standard deviation (SD) and were compared via Student's t tests using GraphPad Prism 7. The Kaplan–Meier method was used for survival analyses, with p < .05 as the threshold of significance. RESULTS: Hepatocellular carcinoma patients exhibit serum hsa_circ_0000615 upregulation We began by assessing the levels of hsa_circ_0000615 in control and sorafenib‐resistant HCC cells. The sorafenib‐resistant Hep G2/sorafenib and Huh 7/sorafenib cell lines exhibited marked upregulation of this circRNA relative to corresponding parental cell lines (Figure 1A). To explore the potential utility of hsa_circ_0000615 as a biomarker of chemoresistance, we then assessed the levels of this circRNA in serum samples from 202 HCC patients and 202 healthy controls. HCC patients exhibited significantly elevated serum hsa_circ_0000615 levels compared with healthy controls (Figure 1B). Moreover, hsa_circ_0000615 expression levels were higher in sorafenib‐resistant patients (n = 122) relative to those in sorafenib‐sensitive individuals (n = 80) (Figure 1C). As such, hsa_circ_0000615 offers potential value as an HCC chemotherapy biomarker. Hepatocellular carcinoma (HCC) patient serum samples exhibit hsa_circ_0000615 upregulation. (A). Hsa_circ_0000615 levels were significantly increased in sorafenib‐resistant HCC cells. (B). Serum hsa_circ_0000615 levels were higher in HCC patients. (C). sorafenib‐resistant patients (n = 122) exhibited higher levels of hsa_circ_0000615 expression compared with sorafenib‐sensitive patients in the before treatment and after treatment (n = 80). *p < .05. We began by assessing the levels of hsa_circ_0000615 in control and sorafenib‐resistant HCC cells. The sorafenib‐resistant Hep G2/sorafenib and Huh 7/sorafenib cell lines exhibited marked upregulation of this circRNA relative to corresponding parental cell lines (Figure 1A). To explore the potential utility of hsa_circ_0000615 as a biomarker of chemoresistance, we then assessed the levels of this circRNA in serum samples from 202 HCC patients and 202 healthy controls. HCC patients exhibited significantly elevated serum hsa_circ_0000615 levels compared with healthy controls (Figure 1B). Moreover, hsa_circ_0000615 expression levels were higher in sorafenib‐resistant patients (n = 122) relative to those in sorafenib‐sensitive individuals (n = 80) (Figure 1C). As such, hsa_circ_0000615 offers potential value as an HCC chemotherapy biomarker. Hepatocellular carcinoma (HCC) patient serum samples exhibit hsa_circ_0000615 upregulation. (A). Hsa_circ_0000615 levels were significantly increased in sorafenib‐resistant HCC cells. (B). Serum hsa_circ_0000615 levels were higher in HCC patients. (C). sorafenib‐resistant patients (n = 122) exhibited higher levels of hsa_circ_0000615 expression compared with sorafenib‐sensitive patients in the before treatment and after treatment (n = 80). *p < .05. Hsa_circ_0000615 levels are related to clinical features in HCC patients Next, we stratified HCC patients into those with high and low levels of serum hsa_circ_0000615 based on the mean expression of this circRNA in this cohort and compared clinical features between these two patient groups. Chi‐squared analyses revealed that hsa_circ_0000615 expression was associated with clinical stage, TNM stage, and lymph node metastasis (Table 1), but was unrelated to age, sex, or histological grade. Kaplan–Meier analyses indicated that patients exhibiting higher levels of hsa_circ_0000615 expression presented with shorter OS relative to patients expressing low hsa_circ_0000615 levels (Figure 2). Correlations between hsa_circ_0000615 levels and hepatocellular carcinoma patient clinicopathological features Hsa_circ_0000615 levels are linked with hepatocellular carcinoma patient survival. Patients exhibiting higher hsa_circ_0000615 expression levels exhibited prolonged overall survival compared with patients with lower levels of this circRNA. Next, we stratified HCC patients into those with high and low levels of serum hsa_circ_0000615 based on the mean expression of this circRNA in this cohort and compared clinical features between these two patient groups. Chi‐squared analyses revealed that hsa_circ_0000615 expression was associated with clinical stage, TNM stage, and lymph node metastasis (Table 1), but was unrelated to age, sex, or histological grade. Kaplan–Meier analyses indicated that patients exhibiting higher levels of hsa_circ_0000615 expression presented with shorter OS relative to patients expressing low hsa_circ_0000615 levels (Figure 2). Correlations between hsa_circ_0000615 levels and hepatocellular carcinoma patient clinicopathological features Hsa_circ_0000615 levels are linked with hepatocellular carcinoma patient survival. Patients exhibiting higher hsa_circ_0000615 expression levels exhibited prolonged overall survival compared with patients with lower levels of this circRNA. Hsa_circ_0000615 is associated with poor chemoresistant hepatocellular carcinoma patient prognosis Through Kaplan–Meier analyses and log‐rank tests, we found chemoresistant HCC patients to exhibit significantly reduced OS and progression‐free survival (PFS) compared with chemosensitive patients (Figure 3). Through Cox proportional hazards regression analyses, we determined that clinical stage, chemoresistance, TNM stage, lymph node metastasis, and hsa_circ_0000615 levels were associated with patient PFS (Table 2) and OS (Table 3), highlighting hsa_circ_0000615 as a promising independent predictor of chemoresistant HCC patient survival. Hsa_circ_0000615 levels were significantly linked to poor outcomes in chemoresistant hepatocellular carcinoma (HCC) patients. Chemoresistant HCC patients exhibited significantly decreased progression‐free survival (A) and overall survival (B) relative to chemosensitive patients. Univariate and multivariate analyses of hepatocellular carcinoma patient progression‐free survival Univariate and multivariate analyses of hepatocellular carcinoma patient overall survival Through Kaplan–Meier analyses and log‐rank tests, we found chemoresistant HCC patients to exhibit significantly reduced OS and progression‐free survival (PFS) compared with chemosensitive patients (Figure 3). Through Cox proportional hazards regression analyses, we determined that clinical stage, chemoresistance, TNM stage, lymph node metastasis, and hsa_circ_0000615 levels were associated with patient PFS (Table 2) and OS (Table 3), highlighting hsa_circ_0000615 as a promising independent predictor of chemoresistant HCC patient survival. Hsa_circ_0000615 levels were significantly linked to poor outcomes in chemoresistant hepatocellular carcinoma (HCC) patients. Chemoresistant HCC patients exhibited significantly decreased progression‐free survival (A) and overall survival (B) relative to chemosensitive patients. Univariate and multivariate analyses of hepatocellular carcinoma patient progression‐free survival Univariate and multivariate analyses of hepatocellular carcinoma patient overall survival Serum hsa_circ_0000615 levels offer diagnostic utility for the detection of hepatocellular carcinoma chemoresistance Previous studies have shown that circRNAs show excellent potential diagnostic utility in various cancers, such as, breast cancer, 20 gastric cancer, 21 and HCC. 22 To assess the potential diagnostic utility of serum hsa_circ_0000615 in patients with HCC, the area under the receiver operating characteristic (ROC) curve (AUC) was determined and found to be 0.9238 (95% CI, 0.8915–0.956, Figure 4, p < .0001), consistent with the value of serum hsa_circ_0000615 as a biomarker capable of differentiating between HCC patients and healthy controls. Serum hsa_circ_0000615 levels offer diagnostic value as predictors of hepatocellular carcinoma (HCC) patient chemoresistance. Receiver‐operating characteristic curves were used to differentiate between chemoresistant HCC patients before and after therapy. Previous studies have shown that circRNAs show excellent potential diagnostic utility in various cancers, such as, breast cancer, 20 gastric cancer, 21 and HCC. 22 To assess the potential diagnostic utility of serum hsa_circ_0000615 in patients with HCC, the area under the receiver operating characteristic (ROC) curve (AUC) was determined and found to be 0.9238 (95% CI, 0.8915–0.956, Figure 4, p < .0001), consistent with the value of serum hsa_circ_0000615 as a biomarker capable of differentiating between HCC patients and healthy controls. Serum hsa_circ_0000615 levels offer diagnostic value as predictors of hepatocellular carcinoma (HCC) patient chemoresistance. Receiver‐operating characteristic curves were used to differentiate between chemoresistant HCC patients before and after therapy. Hepatocellular carcinoma patients exhibit serum hsa_circ_0000615 upregulation: We began by assessing the levels of hsa_circ_0000615 in control and sorafenib‐resistant HCC cells. The sorafenib‐resistant Hep G2/sorafenib and Huh 7/sorafenib cell lines exhibited marked upregulation of this circRNA relative to corresponding parental cell lines (Figure 1A). To explore the potential utility of hsa_circ_0000615 as a biomarker of chemoresistance, we then assessed the levels of this circRNA in serum samples from 202 HCC patients and 202 healthy controls. HCC patients exhibited significantly elevated serum hsa_circ_0000615 levels compared with healthy controls (Figure 1B). Moreover, hsa_circ_0000615 expression levels were higher in sorafenib‐resistant patients (n = 122) relative to those in sorafenib‐sensitive individuals (n = 80) (Figure 1C). As such, hsa_circ_0000615 offers potential value as an HCC chemotherapy biomarker. Hepatocellular carcinoma (HCC) patient serum samples exhibit hsa_circ_0000615 upregulation. (A). Hsa_circ_0000615 levels were significantly increased in sorafenib‐resistant HCC cells. (B). Serum hsa_circ_0000615 levels were higher in HCC patients. (C). sorafenib‐resistant patients (n = 122) exhibited higher levels of hsa_circ_0000615 expression compared with sorafenib‐sensitive patients in the before treatment and after treatment (n = 80). *p < .05. Hsa_circ_0000615 levels are related to clinical features in HCC patients: Next, we stratified HCC patients into those with high and low levels of serum hsa_circ_0000615 based on the mean expression of this circRNA in this cohort and compared clinical features between these two patient groups. Chi‐squared analyses revealed that hsa_circ_0000615 expression was associated with clinical stage, TNM stage, and lymph node metastasis (Table 1), but was unrelated to age, sex, or histological grade. Kaplan–Meier analyses indicated that patients exhibiting higher levels of hsa_circ_0000615 expression presented with shorter OS relative to patients expressing low hsa_circ_0000615 levels (Figure 2). Correlations between hsa_circ_0000615 levels and hepatocellular carcinoma patient clinicopathological features Hsa_circ_0000615 levels are linked with hepatocellular carcinoma patient survival. Patients exhibiting higher hsa_circ_0000615 expression levels exhibited prolonged overall survival compared with patients with lower levels of this circRNA. Hsa_circ_0000615 is associated with poor chemoresistant hepatocellular carcinoma patient prognosis: Through Kaplan–Meier analyses and log‐rank tests, we found chemoresistant HCC patients to exhibit significantly reduced OS and progression‐free survival (PFS) compared with chemosensitive patients (Figure 3). Through Cox proportional hazards regression analyses, we determined that clinical stage, chemoresistance, TNM stage, lymph node metastasis, and hsa_circ_0000615 levels were associated with patient PFS (Table 2) and OS (Table 3), highlighting hsa_circ_0000615 as a promising independent predictor of chemoresistant HCC patient survival. Hsa_circ_0000615 levels were significantly linked to poor outcomes in chemoresistant hepatocellular carcinoma (HCC) patients. Chemoresistant HCC patients exhibited significantly decreased progression‐free survival (A) and overall survival (B) relative to chemosensitive patients. Univariate and multivariate analyses of hepatocellular carcinoma patient progression‐free survival Univariate and multivariate analyses of hepatocellular carcinoma patient overall survival Serum hsa_circ_0000615 levels offer diagnostic utility for the detection of hepatocellular carcinoma chemoresistance: Previous studies have shown that circRNAs show excellent potential diagnostic utility in various cancers, such as, breast cancer, 20 gastric cancer, 21 and HCC. 22 To assess the potential diagnostic utility of serum hsa_circ_0000615 in patients with HCC, the area under the receiver operating characteristic (ROC) curve (AUC) was determined and found to be 0.9238 (95% CI, 0.8915–0.956, Figure 4, p < .0001), consistent with the value of serum hsa_circ_0000615 as a biomarker capable of differentiating between HCC patients and healthy controls. Serum hsa_circ_0000615 levels offer diagnostic value as predictors of hepatocellular carcinoma (HCC) patient chemoresistance. Receiver‐operating characteristic curves were used to differentiate between chemoresistant HCC patients before and after therapy. DISCUSSION: Herein, we found that serum samples from HCC patients exhibited significant increases in hsa_circ_0000615 levels compared with those from control individuals. Moreover, the upregulation of this circRNA in samples from sorafenib‐resistant HCC patients relative to those from chemosensitive patients suggested that it may offer value as an independent predictor of patient outcomes. A growing body of evidence suggests that circRNAs are functionally important in cancer and may offer value as predictive biomarkers or therapeutic targets. In colorectal cancer, for example, circRNA_0000392 can promote tumor progression via the miR‐193a‐5p/PIK3R3/AKT axis. 23 Moreover, in non‐small cell lung cancer, circNDUFB2 can destabilize IGF2BPs and activate anti‐tumor immune responses to suppress tumor progression. 24 In HCC, circRNA‐SORE can stabilize YBX1 to drive sorafenib resistance. 25 As such, circRNAs function in a tumor‐specific manner. Neoadjuvant chemotherapy is a mainstay of treatment for many cancers and has been used with increasing frequency over the past decade, with sorafenib‐based neoadjuvant chemotherapy being a standard of care for HCC patients. Those HCC patients that undergo sorafenib‐based chemotherapy prior to radical cystectomy exhibit better OS outcomes, but a subset of patients fail to attain any benefit from such treatment, with pathological responses to neoadjuvant chemotherapy being predictive of disease‐specific survival outcomes. Identifying reliable biomarkers capable of guiding clinicians to the selection of patients most likely to benefit from chemotherapeutic intervention is thus a critical clinical task. In HCC, circRNAs can function as central regulators of sorafenib‐resistance, 26 , 27 , 28 with hsa_circ_0000615 having previously been shown to drive HCC tumor growth and metastatic progression. 18 , 19 In this study, we further found hsa_circ_0000615 to be expressed at significantly higher levels in Hep G2/sorafenib and Huh 7/sorafenib cells relative to corresponding parental cell lines. The expression of this circRNA was similarly elevated in sorafenib‐resistant HCC patients compared with their chemosensitive counterparts, suggesting that hsa_circ_0000615 may offer value as a predictor of chemotherapeutic responses. Levels of hsa_circ_0000615 were also related to clinical stage, lymph node metastasis, and T stage in HCC patients, although they were unrelated to tumor histological stage, N stage, M stage, or patient age and gender. Kaplan–Meier analyses indicated that higher levels of hsa_circ_0000615 expression were associated with shorter patient OS compared with low levels of this circRNA. Moreover, chemoresistant HCC patients exhibited shorter OS and PFS compared with chemosensitive patients. Univariate and multivariate analyses further revealed clinical stage, T stage, lymph node metastasis, and chemoresistance to be correlated with OS and PFS outcomes, suggesting hsa_circ_0000615 to be a valuable independent predictor of HCC patient outcomes. In addition, the AUC value for this circRNA in HCC patients was 0.9238, indicating that serum levels of hsa_circ_0000615 can be used to reliably differentiate between HCC patients and healthy individuals. CONCLUSIONS: In summary, we herein found hsa_circ_0000615 upregulation to be prominent within serum samples from HCC patients, with such upregulation being significantly more pronounced in samples from chemosensitive patients relative to chemoresistant patients. As such, hsa_circ_0000615 is a promising target that warrants further study in an effort to understand the mechanistic basis for HCC patient chemoresistance. CONFLICT OF INTEREST: The authors of this work declare that they have no conflict of interest.
Background: Circular RNAs (circRNAs) can shape tumor progression and chemoresistance. How specific circRNAs shape hepatocellular carcinoma (HCC) chemoresistance, however, remains to be fully elucidated. Methods: In total, serum samples were collected from 202 HCC patients that had completed four sorafenib chemotherapy cycles. Serum hsa_circ_0000615 levels in these patients were quantified via quantitative real-time polymerase chain reaction (qRT-PCR), with demographic details and survival outcomes being recorded for subsequent analyses. Results: We found hsa_circ_0000615 to be significantly upregulated in chemoresistant HCC patients relative to chemosensitive patients, with such upregulation being positively correlated with disease stage. Moreover, the area under the curve (AUC) value for hsa_circ_0000615 was moderately good, and high levels of hsa_circ_0000615 expression were associated with shorter overall survival among chemoresistant HCC patients. Conclusions: Our results highlight hsa_circ_0000615 as a promising driver of sorafenib resistance in HCC patients, highlighting it as a promising target for the treatment of this deadly cancer type.
INTRODUCTION: Hepatocellular carcinoma (HCC) is the leading cause of cancer‐related death worldwide. 1 In most cases, long‐term sorafenib administration is associated with the onset of chemoresistance. As such, there is a clear need to identify the mechanistic basis for sorafenib resistance and to design novel approaches to effectively treat this cancer type. Circular RNAs (circRNAs) are a covalently closed looping structure that renders them resistant to degradation and more stable than linear RNAs. 2 , 3 , 4 A growing body of evidence suggests that circRNAs can regulate a range of cancers and other important diseases by influencing cellular proliferation, survival, migration, glucose metabolism, and differentiation. 5 , 6 , 7 , 8 , 9 As such, circRNAs offer great promise as diagnostic biomarkers or therapeutic targets in cancer patients and individuals with other conditions. 10 Recently, circRNAs have been found to be dysregulated in HCC and to play an important functional role in this pathological context. 11 , 12 , 13 The recently identified circRNA hsa_circ_0000615 has been found to play an oncogenic role in prostate, 14 breast, 15 gastric, 16 and colorectal cancers. 17 Moreover, hsa_circ_0000615 has been found to promote HCC cell migration, invasion, stemness, and proliferation. 18 , 19 How hsa_circ_0000615 functions in the context of tumor chemoresistance, however, remains to be defined. Herein, we explored the expression of hsa_circ_0000615 in HCC patient serum and its relationship with patient clinical findings. Overall, we found that sorafenib‐resistant HCC patients exhibited hsa_circ_0000615 upregulation that was related to poorer overall survival (OS) outcomes. Moreover, hsa_circ_0000615 exhibited reasonably good area under the ROC curve (AUC) values, suggesting that it may offer value as a novel prognostic biomarker of sorafenib‐resistant HCC. CONCLUSIONS: In summary, we herein found hsa_circ_0000615 upregulation to be prominent within serum samples from HCC patients, with such upregulation being significantly more pronounced in samples from chemosensitive patients relative to chemoresistant patients. As such, hsa_circ_0000615 is a promising target that warrants further study in an effort to understand the mechanistic basis for HCC patient chemoresistance.
Background: Circular RNAs (circRNAs) can shape tumor progression and chemoresistance. How specific circRNAs shape hepatocellular carcinoma (HCC) chemoresistance, however, remains to be fully elucidated. Methods: In total, serum samples were collected from 202 HCC patients that had completed four sorafenib chemotherapy cycles. Serum hsa_circ_0000615 levels in these patients were quantified via quantitative real-time polymerase chain reaction (qRT-PCR), with demographic details and survival outcomes being recorded for subsequent analyses. Results: We found hsa_circ_0000615 to be significantly upregulated in chemoresistant HCC patients relative to chemosensitive patients, with such upregulation being positively correlated with disease stage. Moreover, the area under the curve (AUC) value for hsa_circ_0000615 was moderately good, and high levels of hsa_circ_0000615 expression were associated with shorter overall survival among chemoresistant HCC patients. Conclusions: Our results highlight hsa_circ_0000615 as a promising driver of sorafenib resistance in HCC patients, highlighting it as a promising target for the treatment of this deadly cancer type.
3,986
189
[ 361, 123, 108, 47, 231, 146, 153, 143 ]
13
[ "hsa_circ_0000615", "patients", "hcc", "levels", "sorafenib", "hcc patients", "patient", "serum", "hsa_circ_0000615 levels", "survival" ]
[ "circrna hcc patients", "circrna samples sorafenib", "hcc circrnas function", "circrna_0000392 promote tumor", "circular rnas circrnas" ]
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[CONTENT] hepatocellular carcinoma | hsa_circ_0000615 | sorafenib resistance [SUMMARY]
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[CONTENT] hepatocellular carcinoma | hsa_circ_0000615 | sorafenib resistance [SUMMARY]
[CONTENT] hepatocellular carcinoma | hsa_circ_0000615 | sorafenib resistance [SUMMARY]
[CONTENT] hepatocellular carcinoma | hsa_circ_0000615 | sorafenib resistance [SUMMARY]
[CONTENT] hepatocellular carcinoma | hsa_circ_0000615 | sorafenib resistance [SUMMARY]
[CONTENT] Humans | Carcinoma, Hepatocellular | RNA, Circular | Sorafenib | Liver Neoplasms | Prognosis | Biomarkers, Tumor [SUMMARY]
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[CONTENT] Humans | Carcinoma, Hepatocellular | RNA, Circular | Sorafenib | Liver Neoplasms | Prognosis | Biomarkers, Tumor [SUMMARY]
[CONTENT] Humans | Carcinoma, Hepatocellular | RNA, Circular | Sorafenib | Liver Neoplasms | Prognosis | Biomarkers, Tumor [SUMMARY]
[CONTENT] Humans | Carcinoma, Hepatocellular | RNA, Circular | Sorafenib | Liver Neoplasms | Prognosis | Biomarkers, Tumor [SUMMARY]
[CONTENT] Humans | Carcinoma, Hepatocellular | RNA, Circular | Sorafenib | Liver Neoplasms | Prognosis | Biomarkers, Tumor [SUMMARY]
[CONTENT] circrna hcc patients | circrna samples sorafenib | hcc circrnas function | circrna_0000392 promote tumor | circular rnas circrnas [SUMMARY]
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[CONTENT] circrna hcc patients | circrna samples sorafenib | hcc circrnas function | circrna_0000392 promote tumor | circular rnas circrnas [SUMMARY]
[CONTENT] circrna hcc patients | circrna samples sorafenib | hcc circrnas function | circrna_0000392 promote tumor | circular rnas circrnas [SUMMARY]
[CONTENT] circrna hcc patients | circrna samples sorafenib | hcc circrnas function | circrna_0000392 promote tumor | circular rnas circrnas [SUMMARY]
[CONTENT] circrna hcc patients | circrna samples sorafenib | hcc circrnas function | circrna_0000392 promote tumor | circular rnas circrnas [SUMMARY]
[CONTENT] hsa_circ_0000615 | patients | hcc | levels | sorafenib | hcc patients | patient | serum | hsa_circ_0000615 levels | survival [SUMMARY]
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[CONTENT] hsa_circ_0000615 | patients | hcc | levels | sorafenib | hcc patients | patient | serum | hsa_circ_0000615 levels | survival [SUMMARY]
[CONTENT] hsa_circ_0000615 | patients | hcc | levels | sorafenib | hcc patients | patient | serum | hsa_circ_0000615 levels | survival [SUMMARY]
[CONTENT] hsa_circ_0000615 | patients | hcc | levels | sorafenib | hcc patients | patient | serum | hsa_circ_0000615 levels | survival [SUMMARY]
[CONTENT] hsa_circ_0000615 | patients | hcc | levels | sorafenib | hcc patients | patient | serum | hsa_circ_0000615 levels | survival [SUMMARY]
[CONTENT] circrnas | hsa_circ_0000615 | hcc | found | sorafenib | cancer | resistant | proliferation | migration | context [SUMMARY]
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[CONTENT] levels | hsa_circ_0000615 | patients | hcc | hsa_circ_0000615 levels | sorafenib | hepatocellular | hepatocellular carcinoma | carcinoma | serum hsa_circ_0000615 [SUMMARY]
[CONTENT] patients | upregulation | samples | effort | hsa_circ_0000615 promising target | patients hsa_circ_0000615 promising | patients hsa_circ_0000615 | understand | effort understand | effort understand mechanistic [SUMMARY]
[CONTENT] hsa_circ_0000615 | patients | hcc | levels | sorafenib | hcc patients | survival | patient | serum | hsa_circ_0000615 levels [SUMMARY]
[CONTENT] hsa_circ_0000615 | patients | hcc | levels | sorafenib | hcc patients | survival | patient | serum | hsa_circ_0000615 levels [SUMMARY]
[CONTENT] ||| [SUMMARY]
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[CONTENT] HCC ||| HCC [SUMMARY]
[CONTENT] HCC [SUMMARY]
[CONTENT] ||| ||| 202 | four ||| ||| ||| HCC ||| HCC ||| HCC [SUMMARY]
[CONTENT] ||| ||| 202 | four ||| ||| ||| HCC ||| HCC ||| HCC [SUMMARY]
Caution in Using the Activated Partial Thromboplastin Time to Monitor Argatroban in COVID-19 and Vaccine-Induced Immune Thrombocytopenia and Thrombosis (VITT).
34905962
Argatroban is licensed for patients with heparin-induced thrombocytopenia and is conventionally monitored by activated partial thromboplastin time (APTT) ratio. The target range is 1.5 to 3.0 times the patients' baseline APTT and not exceeding 100 s, however this baseline is not always known. APTT is known to plateau at higher levels of argatroban, and is influenced by coagulopathies, lupus anticoagulant and raised FVIII levels. It has been used as a treatment for COVID-19 and Vaccine-induced Immune Thrombocytopenia and Thrombosis (VITT). Some recent publications have favored the use of anti-IIa methods to determine the plasma drug concentration of argatroban.
INTRODUCTION
Plasma of 60 samples from 3 COVID-19 patients and 54 samples from 5 VITT patients were tested by APTT ratio and anti-IIa method (dilute thrombin time dTT). Actin FS APTT ratios were derived from the baseline APTT of the patient and the mean normal APTT.
METHODS
Mean APTT ratio derived from baseline was 1.71 (COVID-19), 1.33 (VITT) compared to APTT ratio by mean normal 1.65 (COVID-19), 1.48 (VITT). dTT mean concentration was 0.64 µg/ml (COVID-19) 0.53 µg/ml (VITT) with poor correlations to COVID-19 baseline APTT ratio r2 = 0.1526 p <0.0001, mean normal r2 = 0.2188 p < 0.0001; VITT baseline APTT ratio r2 = 0.04 p < 0.001, VITT mean normal r2 = 0.0064 p < 0.001.
RESULTS
We believe that dTT is a superior method to monitor the concentration of argatroban, we have demonstrated significant differences between APTT ratios and dTT levels, which could have clinical impact. This is especially so in COVID-19 and VITT.
CONCLUSIONS
[ "Aged", "Arginine", "COVID-19", "Female", "Humans", "Male", "Middle Aged", "Partial Thromboplastin Time", "Pipecolic Acids", "Platelet Aggregation Inhibitors", "SARS-CoV-2", "Sulfonamides", "Thrombocytopenia", "Thrombosis", "COVID-19 Drug Treatment" ]
8689594
Introduction
Argatroban is licensed for use in patients with Heparin induced thrombocytopenia (HIT) and more recently it has been used in COVID-19 patients and Vaccine-induced Immune Thrombocytopenia (VITT). The summary of product characteristics (SmPC) advises users to monitor this anticoagulant using the activated partial thromboplastin time (APTT) with a target range of 1.5 to 3.0 times the initial baseline value but not exceeding 100 s. 1 This baseline APTT, however, is not always available or known. 2 The recommended range is based on a trial which used the APTT reagent Actin FSL in 73 healthy volunteers. 3 Limitations of the APTT for monitoring argatroban have been reported in several publications.4,5 Despite this, both the British Committee for Standards in Haematology 6 and the American College of Chest Physicians 7 guidelines suggest users monitor the anticoagulation through the APTT ratio. Keyl et al. 8 showed that in critically ill patients on argatroban there is a poor correlation between APTT values and drug concentration (r2 = 0.28) with a flattening of the dose response with increasing argatroban concentration. The APTT is known to plateau at higher levels of argatroban. In contrast, the dTT (dilute thrombin time) Hemoclot thrombin inhibitor assay (HTI) shows a linear relationship (r2 = 0.84) making it a preferable monitoring method. 8 French guidance on HIT management and monitoring 9 suggests that anti-IIa methods are more appropriate than APTT and proposed a therapeutic range of 0.5 to 1.5ug/ml but also reference a range of 0.25 to 1.5ug/ml (derived by control plasma spiked with argatroban using HTI) Tardy-Poncet et al. 10 The Swiss guidance 11 cites 0.4 to 1.5ug/ml as a target for therapy and recommend the use of monitoring by anti-IIa assay, with or without the APTT, adding the caveat that the target range for various assays has not been established in an outcome-based setting. This range maybe based on earlier work of Colucci et al. 12 who established that range with spiked plasma comparing the APTT ratio (by Pathromtin SL) corresponding to a range of argatroban concentrations. We have previously published patient data 5 showing that Pathromtin SL gave rise to a mean APTT ratio 2.13 and a poor correlation to dTT (HTI) (r2 = 0.10). APTT testing with Actin FSL gave a mean ratio of 1.58 (correlation to dTT [HTI]) was slightly better at r2 = 0.29. These reagent dependent differences in APTT ratio mean that a therapeutic range established by identifying the concentration of drug corresponding to APTT therapeutic range would be different for different APTT reagents. It could be safer to use a range which considered efficacy and safety such as the range suggested by Vu et al. 13 which was based on a retrospective patient study on argatroban comparing monitoring by APTT and a chromogenic anti-IIa assay giving rise to this range of 0.4 −1.2 µg/ml. The British Society of Haematology Vaccine-induced Immune Thrombocytopenia and Thrombosis (VITT) guidance produced by their Expert Haematology Panel 14 permits use of argatroban to anticoagulate probable cases of VITT and state “Argatroban levels should ideally monitored by a direct thrombin inhibitor assay if available eg, Hemoclot as APTT correlates poorly with the argatroban effect due to high levels of Factor VIII‘. In the present study we are reporting data on a cohort of 3 COVID-19 patients with HIT (n- = 60) and 5 VITT patients (n = 54) who were being treated with argatroban and who have had measurements of the APTT ratios derived from the patients baseline APTT and the mean normal APTT. In addition the argatroban plasma concentration was measured using dTT.
Methods
Plasma from COVID-19 infected (60 samples) from 3 patients with positive HIT and VITT patients (54 samples) from 5 patients receiving argatroban were collected in 0.109 M citrate BD vacutainer (Becton Dickinson, Franklin Lakes, NJ, USA) centrifuged at 1700 g for 10 min. Consecutive patients were included where samples were available. Tests were performed either as requested for patient management or were performed on anonymized residual plasma in accordance with local ethical approval. Plasma was tested on Sysmex CS51000i (Sysmex, Milton Keynes UK) with APTT reagent Actin FS (Siemens, Erlangen, Germany). APTT Ratios were derived from the mean of normal APTT for the Actin FS (n = 20) – (which is common practice in routine monitoring) as well as the patient‘s baseline APTT in accordance with the SmPC. The argatroban concentration was determined using the dTT (HTI) (Hyphen Biomed, Neuville-sur–Oise, France) with stored calibration curve (Hyphen Biomed argatroban calibrator). The dTT uses a 1 in 8 dilution in Owrens Veronal Buffer, one part of this dilution is tested with two parts normal pooled plasma, followed by the addition of α thrombin (containing calcium); the clotting time in seconds is proportional to the concentration of argatroban in the test plasma. Instat version 3.05 (GraphPad Software Inc, San Diego, CA, USA) and GraphPad Prism 8 (GraphPad Software Inc) were used to perform the statistical analysis.
Results
Patient demographics are given in Table 1 along with baseline clotting screen and Acustar HIT results for 3 COVID-19 patients and for the 5 VITT patients the Acustar HIT results alongside the Hyphen Zymutest HIA IgG and Stago Asserchrom HIT IgG ELISA methods. The patient and samples are a low number because argatroban is indicated in very infrequent circumstances like HIT or VITT suspicion. The results are shown in Table 2 as mean results and in Table 3 as concordant and discordant with respect to APTT / argatroban level and therapeutic range. The mean APTT ratio derived according to SmPC from the baseline APTT of the patient: COVID-19 1.71 and VITT 1.33, compared to APTT ratio (derived from mean normal APTT): COVID-19 1.65 and VITT 1.48. The plasma drug concentration quantified by dTT had a mean of 0.64 µg/ml in COVID-19 and 0.53 µg/ml in VITT. Poor correlations were seen in both methods for deriving APTT ratio when compared to dTT COVID-19 baseline APTT ratio r2 = 0.1526 p <0.0001, mean normal r2 = 0.2188 p < 0.0001; VITT baseline APTT ratio r2 = 0.04 p < 0.001, VITT mean normal r2 = 0.0064 p < 0.001. Table 3 defines concordant and discordant results by APTT ratio and argatroban concentration, concordant are therefore samples with APTT ratio of 1.5 - 3.0 and argatroban concentration of 0.4 - 1.2 µg/ml (based on Vu et al. 13 cited range) or where both the APTT ratio and argatroban concentration are sub-therapeutic (<1.5 and 0.4 µg/ml) or supra-therapeutic (>3.0 and 1.2 µg/ml) these are shown as bold. Gives the patients demographics including Sex, Age group, number of samples tested, with the additional baseline Clotting Screen and HIT methods used for diagnosis of HIT or VITT. Due to the nature of the patient cohorts some patients had larger samples sizes, no samples were taken during bridging to warfarin or any other anticoagulants. Acustar HIT = HemosIL Acustar HIT IgG Chemiluminescent method not sensitive for VITT; normal range 0 −1.0u/mL Hyphen HIT IgG = Hyphen Zymutest HIA IgG – ELISA method suitable for VITT detection; normal range 0 −0.239 OD Stago Asserchrom HPIA IgG – ELISA method suitable for VITT detection; normal range 0 to 0.238 OD Normal ranges for PT and APTT are reagent lot specific hence different ranges given. Mean APTT in Ratios of 60 samples from 3 COVID-19 patients; and 54 samples from 5 VITT patients receiving argatroban and the correlation of these APTT ratios to the dTT (HTI). APTT ratios were calculated using patient baseline and mean normal APTT. Comparison of the two patients from the two cohorts with the most samples tested is also given. P value given is for a two-tailed paired t test, showing extremely significant differences. Concordant result in bold indicate both APTT ratio and argatroban concentration were sub- therapeutic, therapeutic or supra-therapeutic. APTT ratios were calculated using patient‘s baseline and mean normal APTT. Shows the Concordant (highlighted in BOLD) and discordant APTT ratios and dTT plasma drug concentration to argatroban for COVID-19 cohort and VITT cohort utilizing both the ratio obtained by utilizing the patients’ baseline APTT or by using the mean normal for the APTT. ie APTT baseline <1.5 argatroban <0.4 = 5 samples out of 19 APTT ratios of <1.5 were discordant. From the data shown in Table 2 the correlation between baseline APTT and mean normal APTT for the COVID-19 cohort r2 = 0.9382 p < 0.0001; VITT r2 = 0.9201 p < 0.0001 although statistically significant they are low and not clinically relevant. Table 3 demonstrates that the poor correlation significantly influences clinical management. Focusing on the use of baseline APTT as recommended by SmPC 13/19 samples in the COVID-19 cohort and 21/36 in the VITT cohort had therapeutic dTT levels despite an APTT ratio <1.5. Monitoring by APTT ratio would have resulted in unnecessary increase in the argatroban infusion rate. Conversely 8/40 in the COVID-19 cohort and 3/18 in the VITT cohort samples had subtherapeutic dTT levels despite therapeutic APTT ratio and therefore potentially would have been under anticoagulated. Finally, 3 samples in the COVID-19 cohort had dTT levels >1.4 µg/ml: 1 being sub therapeutic and the remaining two had therapeutic APTT ratios. Figures 1 and 2 shows the relationship between the APTT ratios and dTT. (a) shows the relationship between APTT ratios (by mean normal or patient baseline) and dTT in 3 COVID-19 patients receiving argatroban. Each point is a single APTT ratio/argatroban measurement: Open circles represents mean normal APTT ratio (regression line solid), Blue diamonds represent patients baseline APTT ratio (regression line dashes). Dotted lines denotes the therapeutic range by both APTT ratio and argatroban. (b) shows the relationship between APTT ratios (by mean normal or patient baseline) and dTT in 5 VITT patients receiving argatroban. Each point is a single APTT ratio/argatroban measurement: Open circles represents mean normal APTT ratio (regression line solid), Blue diamonds represent patients baseline APTT ratio (regression line dashes). Dotted lines denotes the therapeutic range by both APTT ratio and argatroban.
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[ "Introduction", "Methods", "Results", "Discussion" ]
[ "Argatroban is licensed for use in patients with Heparin induced thrombocytopenia (HIT) and more recently it has been used in COVID-19 patients and Vaccine-induced Immune Thrombocytopenia (VITT). The summary of product characteristics (SmPC) advises users to monitor this anticoagulant using the activated partial thromboplastin time (APTT) with a target range of 1.5 to 3.0 times the initial baseline value but not exceeding 100 s.\n1\n This baseline APTT, however, is not always available or known.\n2\n The recommended range is based on a trial which used the APTT reagent Actin FSL in 73 healthy volunteers.\n3\n Limitations of the APTT for monitoring argatroban have been reported in several publications.4,5 Despite this, both the British Committee for Standards in Haematology\n6\n and the American College of Chest Physicians\n7\n guidelines suggest users monitor the anticoagulation through the APTT ratio. Keyl et al.\n8\n showed that in critically ill patients on argatroban there is a poor correlation between APTT values and drug concentration (r2 = 0.28) with a flattening of the dose response with increasing argatroban concentration. The APTT is known to plateau at higher levels of argatroban. In contrast, the dTT (dilute thrombin time) Hemoclot thrombin inhibitor assay (HTI) shows a linear relationship (r2 = 0.84) making it a preferable monitoring method.\n8\n\nFrench guidance on HIT management and monitoring\n9\n suggests that anti-IIa methods are more appropriate than APTT and proposed a therapeutic range of 0.5 to 1.5ug/ml but also reference a range of 0.25 to 1.5ug/ml (derived by control plasma spiked with argatroban using HTI) Tardy-Poncet et al.\n10\n The Swiss guidance\n11\n cites 0.4 to 1.5ug/ml as a target for therapy and recommend the use of monitoring by anti-IIa assay, with or without the APTT, adding the caveat that the target range for various assays has not been established in an outcome-based setting. This range maybe based on earlier work of Colucci et al.\n12\n who established that range with spiked plasma comparing the APTT ratio (by Pathromtin SL) corresponding to a range of argatroban concentrations. We have previously published patient data\n5\n showing that Pathromtin SL gave rise to a mean APTT ratio 2.13 and a poor correlation to dTT (HTI) (r2 = 0.10). APTT testing with Actin FSL gave a mean ratio of 1.58 (correlation to dTT [HTI]) was slightly better at r2 = 0.29. These reagent dependent differences in APTT ratio mean that a therapeutic range established by identifying the concentration of drug corresponding to APTT therapeutic range would be different for different APTT reagents. It could be safer to use a range which considered efficacy and safety such as the range suggested by Vu et al.\n13\n which was based on a retrospective patient study on argatroban comparing monitoring by APTT and a chromogenic anti-IIa assay giving rise to this range of 0.4 −1.2 µg/ml.\nThe British Society of Haematology Vaccine-induced Immune Thrombocytopenia and Thrombosis (VITT) guidance produced by their Expert Haematology Panel\n14\n permits use of argatroban to anticoagulate probable cases of VITT and state “Argatroban levels should ideally monitored by a direct thrombin inhibitor assay if available eg, Hemoclot as APTT correlates poorly with the argatroban effect due to high levels of Factor VIII‘.\nIn the present study we are reporting data on a cohort of 3 COVID-19 patients with HIT (n- = 60) and 5 VITT patients (n = 54) who were being treated with argatroban and who have had measurements of the APTT ratios derived from the patients baseline APTT and the mean normal APTT. In addition the argatroban plasma concentration was measured using dTT.", "Plasma from COVID-19 infected (60 samples) from 3 patients with positive HIT and VITT patients (54 samples) from 5 patients receiving argatroban were collected in 0.109 M citrate BD vacutainer (Becton Dickinson, Franklin Lakes, NJ, USA) centrifuged at 1700 g for 10 min. Consecutive patients were included where samples were available. Tests were performed either as requested for patient management or were performed on anonymized residual plasma in accordance with local ethical approval. Plasma was tested on Sysmex CS51000i (Sysmex, Milton Keynes UK) with APTT reagent Actin FS (Siemens, Erlangen, Germany). APTT Ratios were derived from the mean of normal APTT for the Actin FS (n = 20) – (which is common practice in routine monitoring) as well as the patient‘s baseline APTT in accordance with the SmPC. The argatroban concentration was determined using the dTT (HTI) (Hyphen Biomed, Neuville-sur–Oise, France) with stored calibration curve (Hyphen Biomed argatroban calibrator). The dTT uses a 1 in 8 dilution in Owrens Veronal Buffer, one part of this dilution is tested with two parts normal pooled plasma, followed by the addition of α thrombin (containing calcium); the clotting time in seconds is proportional to the concentration of argatroban in the test plasma.\nInstat version 3.05 (GraphPad Software Inc, San Diego, CA, USA) and GraphPad Prism 8 (GraphPad Software Inc) were used to perform the statistical analysis.", "Patient demographics are given in Table 1 along with baseline clotting screen and Acustar HIT results for 3 COVID-19 patients and for the 5 VITT patients the Acustar HIT results alongside the Hyphen Zymutest HIA IgG and Stago Asserchrom HIT IgG ELISA methods. The patient and samples are a low number because argatroban is indicated in very infrequent circumstances like HIT or VITT suspicion. The results are shown in Table 2 as mean results and in Table 3 as concordant and discordant with respect to APTT / argatroban level and therapeutic range. The mean APTT ratio derived according to SmPC from the baseline APTT of the patient: COVID-19 1.71 and VITT 1.33, compared to APTT ratio (derived from mean normal APTT): COVID-19 1.65 and VITT 1.48. The plasma drug concentration quantified by dTT had a mean of 0.64 µg/ml in COVID-19 and 0.53 µg/ml in VITT. Poor correlations were seen in both methods for deriving APTT ratio when compared to dTT COVID-19 baseline APTT ratio r2 = 0.1526 p <0.0001, mean normal r2 = 0.2188 p < 0.0001; VITT baseline APTT ratio r2 = 0.04 p < 0.001, VITT mean normal r2 = 0.0064 p < 0.001. Table 3 defines concordant and discordant results by APTT ratio and argatroban concentration, concordant are therefore samples with APTT ratio of 1.5 - 3.0 and argatroban concentration of 0.4 - 1.2 µg/ml (based on Vu et al.\n13\n cited range) or where both the APTT ratio and argatroban concentration are sub-therapeutic (<1.5 and 0.4 µg/ml) or supra-therapeutic (>3.0 and 1.2 µg/ml) these are shown as bold.\nGives the patients demographics including Sex, Age group, number of samples tested, with the additional baseline Clotting Screen and HIT methods used for diagnosis of HIT or VITT. Due to the nature of the patient cohorts some patients had larger samples sizes, no samples were taken during bridging to warfarin or any other anticoagulants.\nAcustar HIT = HemosIL Acustar HIT IgG Chemiluminescent method not sensitive for VITT; normal range 0 −1.0u/mL\nHyphen HIT IgG = Hyphen Zymutest HIA IgG – ELISA method suitable for VITT detection; normal range 0 −0.239 OD\nStago Asserchrom HPIA IgG – ELISA method suitable for VITT detection; normal range 0 to 0.238 OD\nNormal ranges for PT and APTT are reagent lot specific hence different ranges given.\nMean APTT in Ratios of 60 samples from 3 COVID-19 patients; and 54 samples from 5 VITT patients receiving argatroban and the correlation of these APTT ratios to the dTT (HTI). APTT ratios were calculated using patient baseline and mean normal APTT. Comparison of the two patients from the two cohorts with the most samples tested is also given. P value given is for a two-tailed paired t test, showing extremely significant differences.\nConcordant result in bold indicate both APTT ratio and argatroban concentration were sub- therapeutic, therapeutic or supra-therapeutic. APTT ratios were calculated using patient‘s baseline and mean normal APTT. Shows the Concordant (highlighted in BOLD) and discordant APTT ratios and dTT plasma drug concentration to argatroban for COVID-19 cohort and VITT cohort utilizing both the ratio obtained by utilizing the patients’ baseline APTT or by using the mean normal for the APTT. ie APTT baseline <1.5 argatroban <0.4 = 5 samples out of 19 APTT ratios of <1.5 were discordant.\nFrom the data shown in Table 2 the correlation between baseline APTT and mean normal APTT for the COVID-19 cohort r2 = 0.9382 p < 0.0001; VITT r2 = 0.9201 p < 0.0001 although statistically significant they are low and not clinically relevant.\nTable 3 demonstrates that the poor correlation significantly influences clinical management. Focusing on the use of baseline APTT as recommended by SmPC 13/19 samples in the COVID-19 cohort and 21/36 in the VITT cohort had therapeutic dTT levels despite an APTT ratio <1.5. Monitoring by APTT ratio would have resulted in unnecessary increase in the argatroban infusion rate. Conversely 8/40 in the COVID-19 cohort and 3/18 in the VITT cohort samples had subtherapeutic dTT levels despite therapeutic APTT ratio and therefore potentially would have been under anticoagulated. Finally, 3 samples in the COVID-19 cohort had dTT levels >1.4 µg/ml: 1 being sub therapeutic and the remaining two had therapeutic APTT ratios. Figures 1 and 2 shows the relationship between the APTT ratios and dTT.\n(a) shows the relationship between APTT ratios (by mean normal or patient baseline) and dTT in 3 COVID-19 patients receiving argatroban. Each point is a single APTT ratio/argatroban measurement: Open circles represents mean normal APTT ratio (regression line solid), Blue diamonds represent patients baseline APTT ratio (regression line dashes). Dotted lines denotes the therapeutic range by both APTT ratio and argatroban. (b) shows the relationship between APTT ratios (by mean normal or patient baseline) and dTT in 5 VITT patients receiving argatroban. Each point is a single APTT ratio/argatroban measurement: Open circles represents mean normal APTT ratio (regression line solid), Blue diamonds represent patients baseline APTT ratio (regression line dashes). Dotted lines denotes the therapeutic range by both APTT ratio and argatroban.", "Argatroban is recommended to be monitored by APTT according to the SmPC;\n1\n we have demonstrated in previous publications that the APTT has limitations for monitoring argatroban.4,5 In this present study we are reporting data from two patient cohorts receiving argatroban (COVID-19 and VITT), the SmPC\n1\n defines the APTT to be 1.5 to 3 times the baseline value of the patients APTT however it is not always available or known,\n2\n we investigated if there was a clinical difference if the baseline APTT was used to derive the APTT ratio or the mean normal APTT.\nSeveral anti-IIa methods have been described in the literature for measuring argatroban15,16 with the exception of LC MS/MS they can be easily performed in most specialized Coagulation/Haemostasis laboratories. Beyer et al.\n16\n has shown that dTT correlated well (r2 = 0.8428) with LC MS/MS, the HTI dTT method has also the benefit of having a commercially available standard\n15\n although in-house argatroban calibrators can be produced using normal plasma spiked with argatroban where commercial calibrators are unavailable. Another advantage of dTT levels is that they are not impacted by the plateau seen with the APTT measurements. We have seen this plateau effect in two samples received by our laboratory had very high argatroban levels, later confirmed to have been samples taken from the arm with the argatroban infusion. The APTT ratios of 4.17 and 3.66 corresponded to dTT levels of 14.8 µg/ml and 4.86 µg/ml respectively.\nOthers have previously described argatroban resistance in patients which has been caused by increased levels of Factor VIII where the APTT has stayed the same despite increasing the dose of argatroban.17,18 McGlynn et al.\n19\n specifically demonstrated a COVID-19 patient treated with argatroban with Factor VIII 477 IU/dL, which had baseline APTT 23 s. Factor VIII assays (FVIII:C) were not performed on all the samples in the data provided and this is a limitation in the study; however one of COVID-19 patient and one VITT patient had a FVIII:C performed utilizing the Biophen Chromogenic FVIII Assay, (Hyphen Biomed, Neuville-sur–Oise, France, normal range 62 to 199 IU/dL). COVID-19 patient had FVIII:C 458 IU/dL with a corresponding argatroban level of 0.51 µg/ml with an APTT 33.2 s (normal range 19.2- 28.5 s), baseline APTT ratio 1.53, mean normal APTT ratio 1.41, dosing may have been altered if the APTT ratios were used as they were around the lower target of therapeutic range despite therapeutic argatroban levels. The VITT patient had FVIII:C 294 IU/dL with a corresponding argatroban level of 0.78 µg/ml, APTT 27.2 s, baseline APTT ratio 1.00, mean normal APTT ratio 1.16, this high FVIII:C level is reducing the APTT and would lead the clinician to increasing the argatroban infusion unnecessarily.\nFor all patients except one we targeted therapeutic anticoagulation with argatroban. In one VITT case with cerebral vein thrombosis, extensive intracerebral haemorrhage and thrombocytopenia the argatroban was used at the critical illness concentration without dose escalation.\nWith respect to how the APTT ratio is derived there is little difference between the mean results obtained: COVID-19 baseline APTT 1.71 v mean normal 1.65; although the VITT cohort had mean results below the target therapeutic range (baseline APTT 1.33 v mean normal 1.48) this may reflect that 36 datasets were from the patient targeted with the critical illness concentration without dose escalation whose Factor VIII was also high (294 IU/dL).\nDespite most laboratories using the APTT we believe the dTT is superior to monitoring the concentration of argatroban. We have shown significant differences between APTT ratios and dTT levels which would have clinical impact. This is especially so in COVID-19 and VITT where the high FVIII levels can influence the APTT." ]
[ "intro", "methods", "results", "discussion" ]
[ "COVID-19", "VITT", "argatroban", "APTT", "dilute thrombin time" ]
Introduction: Argatroban is licensed for use in patients with Heparin induced thrombocytopenia (HIT) and more recently it has been used in COVID-19 patients and Vaccine-induced Immune Thrombocytopenia (VITT). The summary of product characteristics (SmPC) advises users to monitor this anticoagulant using the activated partial thromboplastin time (APTT) with a target range of 1.5 to 3.0 times the initial baseline value but not exceeding 100 s. 1 This baseline APTT, however, is not always available or known. 2 The recommended range is based on a trial which used the APTT reagent Actin FSL in 73 healthy volunteers. 3 Limitations of the APTT for monitoring argatroban have been reported in several publications.4,5 Despite this, both the British Committee for Standards in Haematology 6 and the American College of Chest Physicians 7 guidelines suggest users monitor the anticoagulation through the APTT ratio. Keyl et al. 8 showed that in critically ill patients on argatroban there is a poor correlation between APTT values and drug concentration (r2 = 0.28) with a flattening of the dose response with increasing argatroban concentration. The APTT is known to plateau at higher levels of argatroban. In contrast, the dTT (dilute thrombin time) Hemoclot thrombin inhibitor assay (HTI) shows a linear relationship (r2 = 0.84) making it a preferable monitoring method. 8 French guidance on HIT management and monitoring 9 suggests that anti-IIa methods are more appropriate than APTT and proposed a therapeutic range of 0.5 to 1.5ug/ml but also reference a range of 0.25 to 1.5ug/ml (derived by control plasma spiked with argatroban using HTI) Tardy-Poncet et al. 10 The Swiss guidance 11 cites 0.4 to 1.5ug/ml as a target for therapy and recommend the use of monitoring by anti-IIa assay, with or without the APTT, adding the caveat that the target range for various assays has not been established in an outcome-based setting. This range maybe based on earlier work of Colucci et al. 12 who established that range with spiked plasma comparing the APTT ratio (by Pathromtin SL) corresponding to a range of argatroban concentrations. We have previously published patient data 5 showing that Pathromtin SL gave rise to a mean APTT ratio 2.13 and a poor correlation to dTT (HTI) (r2 = 0.10). APTT testing with Actin FSL gave a mean ratio of 1.58 (correlation to dTT [HTI]) was slightly better at r2 = 0.29. These reagent dependent differences in APTT ratio mean that a therapeutic range established by identifying the concentration of drug corresponding to APTT therapeutic range would be different for different APTT reagents. It could be safer to use a range which considered efficacy and safety such as the range suggested by Vu et al. 13 which was based on a retrospective patient study on argatroban comparing monitoring by APTT and a chromogenic anti-IIa assay giving rise to this range of 0.4 −1.2 µg/ml. The British Society of Haematology Vaccine-induced Immune Thrombocytopenia and Thrombosis (VITT) guidance produced by their Expert Haematology Panel 14 permits use of argatroban to anticoagulate probable cases of VITT and state “Argatroban levels should ideally monitored by a direct thrombin inhibitor assay if available eg, Hemoclot as APTT correlates poorly with the argatroban effect due to high levels of Factor VIII‘. In the present study we are reporting data on a cohort of 3 COVID-19 patients with HIT (n- = 60) and 5 VITT patients (n = 54) who were being treated with argatroban and who have had measurements of the APTT ratios derived from the patients baseline APTT and the mean normal APTT. In addition the argatroban plasma concentration was measured using dTT. Methods: Plasma from COVID-19 infected (60 samples) from 3 patients with positive HIT and VITT patients (54 samples) from 5 patients receiving argatroban were collected in 0.109 M citrate BD vacutainer (Becton Dickinson, Franklin Lakes, NJ, USA) centrifuged at 1700 g for 10 min. Consecutive patients were included where samples were available. Tests were performed either as requested for patient management or were performed on anonymized residual plasma in accordance with local ethical approval. Plasma was tested on Sysmex CS51000i (Sysmex, Milton Keynes UK) with APTT reagent Actin FS (Siemens, Erlangen, Germany). APTT Ratios were derived from the mean of normal APTT for the Actin FS (n = 20) – (which is common practice in routine monitoring) as well as the patient‘s baseline APTT in accordance with the SmPC. The argatroban concentration was determined using the dTT (HTI) (Hyphen Biomed, Neuville-sur–Oise, France) with stored calibration curve (Hyphen Biomed argatroban calibrator). The dTT uses a 1 in 8 dilution in Owrens Veronal Buffer, one part of this dilution is tested with two parts normal pooled plasma, followed by the addition of α thrombin (containing calcium); the clotting time in seconds is proportional to the concentration of argatroban in the test plasma. Instat version 3.05 (GraphPad Software Inc, San Diego, CA, USA) and GraphPad Prism 8 (GraphPad Software Inc) were used to perform the statistical analysis. Results: Patient demographics are given in Table 1 along with baseline clotting screen and Acustar HIT results for 3 COVID-19 patients and for the 5 VITT patients the Acustar HIT results alongside the Hyphen Zymutest HIA IgG and Stago Asserchrom HIT IgG ELISA methods. The patient and samples are a low number because argatroban is indicated in very infrequent circumstances like HIT or VITT suspicion. The results are shown in Table 2 as mean results and in Table 3 as concordant and discordant with respect to APTT / argatroban level and therapeutic range. The mean APTT ratio derived according to SmPC from the baseline APTT of the patient: COVID-19 1.71 and VITT 1.33, compared to APTT ratio (derived from mean normal APTT): COVID-19 1.65 and VITT 1.48. The plasma drug concentration quantified by dTT had a mean of 0.64 µg/ml in COVID-19 and 0.53 µg/ml in VITT. Poor correlations were seen in both methods for deriving APTT ratio when compared to dTT COVID-19 baseline APTT ratio r2 = 0.1526 p <0.0001, mean normal r2 = 0.2188 p < 0.0001; VITT baseline APTT ratio r2 = 0.04 p < 0.001, VITT mean normal r2 = 0.0064 p < 0.001. Table 3 defines concordant and discordant results by APTT ratio and argatroban concentration, concordant are therefore samples with APTT ratio of 1.5 - 3.0 and argatroban concentration of 0.4 - 1.2 µg/ml (based on Vu et al. 13 cited range) or where both the APTT ratio and argatroban concentration are sub-therapeutic (<1.5 and 0.4 µg/ml) or supra-therapeutic (>3.0 and 1.2 µg/ml) these are shown as bold. Gives the patients demographics including Sex, Age group, number of samples tested, with the additional baseline Clotting Screen and HIT methods used for diagnosis of HIT or VITT. Due to the nature of the patient cohorts some patients had larger samples sizes, no samples were taken during bridging to warfarin or any other anticoagulants. Acustar HIT = HemosIL Acustar HIT IgG Chemiluminescent method not sensitive for VITT; normal range 0 −1.0u/mL Hyphen HIT IgG = Hyphen Zymutest HIA IgG – ELISA method suitable for VITT detection; normal range 0 −0.239 OD Stago Asserchrom HPIA IgG – ELISA method suitable for VITT detection; normal range 0 to 0.238 OD Normal ranges for PT and APTT are reagent lot specific hence different ranges given. Mean APTT in Ratios of 60 samples from 3 COVID-19 patients; and 54 samples from 5 VITT patients receiving argatroban and the correlation of these APTT ratios to the dTT (HTI). APTT ratios were calculated using patient baseline and mean normal APTT. Comparison of the two patients from the two cohorts with the most samples tested is also given. P value given is for a two-tailed paired t test, showing extremely significant differences. Concordant result in bold indicate both APTT ratio and argatroban concentration were sub- therapeutic, therapeutic or supra-therapeutic. APTT ratios were calculated using patient‘s baseline and mean normal APTT. Shows the Concordant (highlighted in BOLD) and discordant APTT ratios and dTT plasma drug concentration to argatroban for COVID-19 cohort and VITT cohort utilizing both the ratio obtained by utilizing the patients’ baseline APTT or by using the mean normal for the APTT. ie APTT baseline <1.5 argatroban <0.4 = 5 samples out of 19 APTT ratios of <1.5 were discordant. From the data shown in Table 2 the correlation between baseline APTT and mean normal APTT for the COVID-19 cohort r2 = 0.9382 p < 0.0001; VITT r2 = 0.9201 p < 0.0001 although statistically significant they are low and not clinically relevant. Table 3 demonstrates that the poor correlation significantly influences clinical management. Focusing on the use of baseline APTT as recommended by SmPC 13/19 samples in the COVID-19 cohort and 21/36 in the VITT cohort had therapeutic dTT levels despite an APTT ratio <1.5. Monitoring by APTT ratio would have resulted in unnecessary increase in the argatroban infusion rate. Conversely 8/40 in the COVID-19 cohort and 3/18 in the VITT cohort samples had subtherapeutic dTT levels despite therapeutic APTT ratio and therefore potentially would have been under anticoagulated. Finally, 3 samples in the COVID-19 cohort had dTT levels >1.4 µg/ml: 1 being sub therapeutic and the remaining two had therapeutic APTT ratios. Figures 1 and 2 shows the relationship between the APTT ratios and dTT. (a) shows the relationship between APTT ratios (by mean normal or patient baseline) and dTT in 3 COVID-19 patients receiving argatroban. Each point is a single APTT ratio/argatroban measurement: Open circles represents mean normal APTT ratio (regression line solid), Blue diamonds represent patients baseline APTT ratio (regression line dashes). Dotted lines denotes the therapeutic range by both APTT ratio and argatroban. (b) shows the relationship between APTT ratios (by mean normal or patient baseline) and dTT in 5 VITT patients receiving argatroban. Each point is a single APTT ratio/argatroban measurement: Open circles represents mean normal APTT ratio (regression line solid), Blue diamonds represent patients baseline APTT ratio (regression line dashes). Dotted lines denotes the therapeutic range by both APTT ratio and argatroban. Discussion: Argatroban is recommended to be monitored by APTT according to the SmPC; 1 we have demonstrated in previous publications that the APTT has limitations for monitoring argatroban.4,5 In this present study we are reporting data from two patient cohorts receiving argatroban (COVID-19 and VITT), the SmPC 1 defines the APTT to be 1.5 to 3 times the baseline value of the patients APTT however it is not always available or known, 2 we investigated if there was a clinical difference if the baseline APTT was used to derive the APTT ratio or the mean normal APTT. Several anti-IIa methods have been described in the literature for measuring argatroban15,16 with the exception of LC MS/MS they can be easily performed in most specialized Coagulation/Haemostasis laboratories. Beyer et al. 16 has shown that dTT correlated well (r2 = 0.8428) with LC MS/MS, the HTI dTT method has also the benefit of having a commercially available standard 15 although in-house argatroban calibrators can be produced using normal plasma spiked with argatroban where commercial calibrators are unavailable. Another advantage of dTT levels is that they are not impacted by the plateau seen with the APTT measurements. We have seen this plateau effect in two samples received by our laboratory had very high argatroban levels, later confirmed to have been samples taken from the arm with the argatroban infusion. The APTT ratios of 4.17 and 3.66 corresponded to dTT levels of 14.8 µg/ml and 4.86 µg/ml respectively. Others have previously described argatroban resistance in patients which has been caused by increased levels of Factor VIII where the APTT has stayed the same despite increasing the dose of argatroban.17,18 McGlynn et al. 19 specifically demonstrated a COVID-19 patient treated with argatroban with Factor VIII 477 IU/dL, which had baseline APTT 23 s. Factor VIII assays (FVIII:C) were not performed on all the samples in the data provided and this is a limitation in the study; however one of COVID-19 patient and one VITT patient had a FVIII:C performed utilizing the Biophen Chromogenic FVIII Assay, (Hyphen Biomed, Neuville-sur–Oise, France, normal range 62 to 199 IU/dL). COVID-19 patient had FVIII:C 458 IU/dL with a corresponding argatroban level of 0.51 µg/ml with an APTT 33.2 s (normal range 19.2- 28.5 s), baseline APTT ratio 1.53, mean normal APTT ratio 1.41, dosing may have been altered if the APTT ratios were used as they were around the lower target of therapeutic range despite therapeutic argatroban levels. The VITT patient had FVIII:C 294 IU/dL with a corresponding argatroban level of 0.78 µg/ml, APTT 27.2 s, baseline APTT ratio 1.00, mean normal APTT ratio 1.16, this high FVIII:C level is reducing the APTT and would lead the clinician to increasing the argatroban infusion unnecessarily. For all patients except one we targeted therapeutic anticoagulation with argatroban. In one VITT case with cerebral vein thrombosis, extensive intracerebral haemorrhage and thrombocytopenia the argatroban was used at the critical illness concentration without dose escalation. With respect to how the APTT ratio is derived there is little difference between the mean results obtained: COVID-19 baseline APTT 1.71 v mean normal 1.65; although the VITT cohort had mean results below the target therapeutic range (baseline APTT 1.33 v mean normal 1.48) this may reflect that 36 datasets were from the patient targeted with the critical illness concentration without dose escalation whose Factor VIII was also high (294 IU/dL). Despite most laboratories using the APTT we believe the dTT is superior to monitoring the concentration of argatroban. We have shown significant differences between APTT ratios and dTT levels which would have clinical impact. This is especially so in COVID-19 and VITT where the high FVIII levels can influence the APTT.
Background: Argatroban is licensed for patients with heparin-induced thrombocytopenia and is conventionally monitored by activated partial thromboplastin time (APTT) ratio. The target range is 1.5 to 3.0 times the patients' baseline APTT and not exceeding 100 s, however this baseline is not always known. APTT is known to plateau at higher levels of argatroban, and is influenced by coagulopathies, lupus anticoagulant and raised FVIII levels. It has been used as a treatment for COVID-19 and Vaccine-induced Immune Thrombocytopenia and Thrombosis (VITT). Some recent publications have favored the use of anti-IIa methods to determine the plasma drug concentration of argatroban. Methods: Plasma of 60 samples from 3 COVID-19 patients and 54 samples from 5 VITT patients were tested by APTT ratio and anti-IIa method (dilute thrombin time dTT). Actin FS APTT ratios were derived from the baseline APTT of the patient and the mean normal APTT. Results: Mean APTT ratio derived from baseline was 1.71 (COVID-19), 1.33 (VITT) compared to APTT ratio by mean normal 1.65 (COVID-19), 1.48 (VITT). dTT mean concentration was 0.64 µg/ml (COVID-19) 0.53 µg/ml (VITT) with poor correlations to COVID-19 baseline APTT ratio r2 = 0.1526 p <0.0001, mean normal r2 = 0.2188 p < 0.0001; VITT baseline APTT ratio r2 = 0.04 p < 0.001, VITT mean normal r2 = 0.0064 p < 0.001. Conclusions: We believe that dTT is a superior method to monitor the concentration of argatroban, we have demonstrated significant differences between APTT ratios and dTT levels, which could have clinical impact. This is especially so in COVID-19 and VITT.
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2,752
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[]
4
[ "aptt", "argatroban", "ratio", "aptt ratio", "vitt", "mean", "baseline", "normal", "patients", "19" ]
[ "argatroban infusion rate", "monitor anticoagulant activated", "thrombocytopenia argatroban", "thromboplastin time aptt", "anticoagulation aptt ratio" ]
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[CONTENT] COVID-19 | VITT | argatroban | APTT | dilute thrombin time [SUMMARY]
[CONTENT] COVID-19 | VITT | argatroban | APTT | dilute thrombin time [SUMMARY]
[CONTENT] COVID-19 | VITT | argatroban | APTT | dilute thrombin time [SUMMARY]
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[CONTENT] COVID-19 | VITT | argatroban | APTT | dilute thrombin time [SUMMARY]
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[CONTENT] Aged | Arginine | COVID-19 | Female | Humans | Male | Middle Aged | Partial Thromboplastin Time | Pipecolic Acids | Platelet Aggregation Inhibitors | SARS-CoV-2 | Sulfonamides | Thrombocytopenia | Thrombosis | COVID-19 Drug Treatment [SUMMARY]
[CONTENT] Aged | Arginine | COVID-19 | Female | Humans | Male | Middle Aged | Partial Thromboplastin Time | Pipecolic Acids | Platelet Aggregation Inhibitors | SARS-CoV-2 | Sulfonamides | Thrombocytopenia | Thrombosis | COVID-19 Drug Treatment [SUMMARY]
[CONTENT] Aged | Arginine | COVID-19 | Female | Humans | Male | Middle Aged | Partial Thromboplastin Time | Pipecolic Acids | Platelet Aggregation Inhibitors | SARS-CoV-2 | Sulfonamides | Thrombocytopenia | Thrombosis | COVID-19 Drug Treatment [SUMMARY]
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[CONTENT] Aged | Arginine | COVID-19 | Female | Humans | Male | Middle Aged | Partial Thromboplastin Time | Pipecolic Acids | Platelet Aggregation Inhibitors | SARS-CoV-2 | Sulfonamides | Thrombocytopenia | Thrombosis | COVID-19 Drug Treatment [SUMMARY]
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[CONTENT] argatroban infusion rate | monitor anticoagulant activated | thrombocytopenia argatroban | thromboplastin time aptt | anticoagulation aptt ratio [SUMMARY]
[CONTENT] argatroban infusion rate | monitor anticoagulant activated | thrombocytopenia argatroban | thromboplastin time aptt | anticoagulation aptt ratio [SUMMARY]
[CONTENT] argatroban infusion rate | monitor anticoagulant activated | thrombocytopenia argatroban | thromboplastin time aptt | anticoagulation aptt ratio [SUMMARY]
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[CONTENT] argatroban infusion rate | monitor anticoagulant activated | thrombocytopenia argatroban | thromboplastin time aptt | anticoagulation aptt ratio [SUMMARY]
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[CONTENT] aptt | argatroban | ratio | aptt ratio | vitt | mean | baseline | normal | patients | 19 [SUMMARY]
[CONTENT] aptt | argatroban | ratio | aptt ratio | vitt | mean | baseline | normal | patients | 19 [SUMMARY]
[CONTENT] aptt | argatroban | ratio | aptt ratio | vitt | mean | baseline | normal | patients | 19 [SUMMARY]
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[CONTENT] aptt | argatroban | ratio | aptt ratio | vitt | mean | baseline | normal | patients | 19 [SUMMARY]
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[CONTENT] aptt | range | argatroban | ratio | based | use | assay | patients | guidance | haematology [SUMMARY]
[CONTENT] graphpad | plasma | argatroban | aptt | patients | usa | actin fs | graphpad software | inc | sysmex [SUMMARY]
[CONTENT] aptt | ratio | aptt ratio | vitt | argatroban | aptt ratio argatroban | ratio argatroban | normal | mean | baseline [SUMMARY]
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[CONTENT] aptt | argatroban | ratio | aptt ratio | range | patients | vitt | mean | normal | baseline [SUMMARY]
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[CONTENT] Argatroban ||| 1.5 | 3.0 | APTT | 100 ||| argatroban ||| COVID-19 | Vaccine | Immune Thrombocytopenia and Thrombosis ||| the plasma drug concentration | argatroban [SUMMARY]
[CONTENT] 60 | 3 | 54 | 5 | APTT ||| Actin FS [SUMMARY]
[CONTENT] 1.71 | COVID-19 | 1.33 | COVID-19 | 1.48 ||| dTT | 0.64 | COVID-19 | 0.53 | COVID-19 | r2 | 0.1526 p <0.0001 | 0.2188 p | 0.0001 | VITT | r2 | 0.04 p | 0.001 | VITT | 0.0064 p <  | 0.001 [SUMMARY]
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[CONTENT] Argatroban ||| 1.5 | 3.0 | APTT | 100 ||| argatroban ||| COVID-19 | Vaccine | Immune Thrombocytopenia and Thrombosis ||| the plasma drug concentration | argatroban ||| 60 | 3 | 54 | 5 | APTT ||| Actin FS ||| 1.71 | COVID-19 | 1.33 | COVID-19 | 1.48 ||| dTT | 0.64 | COVID-19 | 0.53 | COVID-19 | r2 | 0.1526 p <0.0001 | 0.2188 p | 0.0001 | VITT | r2 | 0.04 p | 0.001 | VITT | 0.0064 p <  | 0.001 ||| dTT | argatroban | APTT ||| COVID-19 | VITT [SUMMARY]
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Factors Related to Addiction Treatment Motivations; Validity and Reliability of an Instrument.
27840343
Understanding the motives and reasons for drug treatment is very important. This study aimed to develop a psychometric evaluation to determine the reasons for addiction treatment among outpatients referred to addiction treatment clinics.
BACKGROUND
This cross-sectional validation study included five phases (i) Item generation (ii) Making an initial questionnaire (iii) Content validity (iv) Reliability analysis and (v) Structure validity. Addiction treatment motivations were identified by reviewing literatures and interviews with 21 stakeholders. A 30-item questionnaire was used for data collection and a random sample of 300 participants completed the questionnaire. The data were analyzed using content validity (CVR &amp;CVI), internal consistency (Chronbach's alpha coefficient) and exploratory factor analysis (EFA) by SPSS version 16 software.
METHODS
With exploratory factor analysis, 22 items that were remaining jointly explained 60.6% of the variance observed. Inconsistency assessment, Cronbach's coefficient (α) of items was 0.9. Items with CVIs and CVRs greater than 0.84, remained and factor loading cut off ≥ 0.5 as valid items. They were loaded into four factor solution for the questionnaire, namely: family factors, threats, friend's factors and self-efficacy.
RESULTS
This study suggestes a reliable and valid instrument with four factors related to motives of addiction treatment.
CONCLUSIONS
[ "Adolescent", "Adult", "Aged", "Behavior Therapy", "Behavior, Addictive", "Cross-Sectional Studies", "Female", "Humans", "Male", "Middle Aged", "Motivation", "Patient Compliance", "Psychometrics", "Reproducibility of Results", "Self Efficacy", "Social Environment", "Substance-Related Disorders", "Surveys and Questionnaires", "Young Adult" ]
7191017
Introduction
“Drug abuse is a chronic, relapsing brain disease identified by compulsive substance seeking and use, despite harmful consequences”1. Substance dependency is an illness that can affect anyone, regardless of being male or female, young or old, rich or poor and any race and ethnicity2. The prevalence of drug use disorders is estimated 35/1000 persons in the Eastern Mediterranean Region3. Addiction is a problem for public health, one of the main causes of crime, disorder, family breakdown and community disintegration4 with high costs for both addicts’ population and the society5. Although, different programs for prevention and rehabilitation were designed and implemented, the addicts’ population remained high in most parts of the world6. Motivations and readiness for treatment are salient factors7. The basic component of quitting addiction is the reason for taking action against addiction8. Motivational factors at the beginning of treatment can positively impact success in the treatment9. Social stability; previous experience and expectations of treatment, and higher motivation were predictors of addiction treatment retention10. Attitudes towards continued substance abuse, partners and community stigma; perceptions of cessation and drug treatment are significant items for treatment11. Some of the factors that determine addiction treatment include self-hatred, shame and humiliation related to substance abuse, negative beliefs and feelings about addiction, stigma and distrust; positive feeling about acceptance and well-being to life12. In the field of treatment, the most significant factors to stop drug abuse proved to be economic, social and empowering individuals13. Addiction treatment intentions are motives ranging from internal to external influences, including a negative impact on oneself and others; influence of family, peers, partners and community stigma 11 and similar factors. These are also very important for predicting treatment success. Influence of family, peers and partners are motives behind drug addiction treatment14. Addiction treatment studies have shown that self-efficacy is a major predictor for health behaviors. Motivational level, consequences of addiction and criminal history are other factors to be considered in taking action against addiction7. Addiction is a chronic disease; hence, addiction treatment requires long-term management15‏. Understanding the role of personal motivation in addiction treatment is very important for a better perception of relapse and treatment retention. There is experimental evidence that treatment motivation and readiness are closely related to retention16. Therefore, the factors influencing the addiction abandonment are different. These are several instruments for measuring factors related to addiction treatment motivations for example: TCU Motivation tests that assess motivation for treatment concerning desire for help, treatment readiness and pressures for treatment12, the readiness to change questionnaire in Addiction17; Barriers to treatment inventory (BTI) 18. But, there is the lack of an instrument for measuring factors related to addiction treatment motivations among outpatient referred to addiction treatment clinics for Iranian conditions. This study aimed to develop a valid questionnaire to determine the reason for addiction treatment among outpatient referred to addiction treatment clinics, by determining the content validity of measures based on the obtained opinions from specialists and participants, and for evaluating the factor structure of the scale using exploratory factor analysis EFA); and assessing reliability of the questionnaire using internal consistency.
Methods
This cross-sectional validation study was performed in Bojnourd, North East of Iran from May to September 2014. The inclusion criteria were the addicted people referred to addiction treatment clinics (outpatients) and consent to participate in the study. At least, they used a type of drug. The exclusion criteria included did not agree to participate in the study. Participants were selected using a multistage random sampling method. All participants agreed to complete the questionnaires. Informed assent and consent were obtained from participants. The study was conducted with approval from Tarbiat Modares University’ Institutional Review Board and Ethical Committee. Data collection methods were based on anonymous questionnaires completed by the participants, and also among the illiterate people by trained psychologists in ten clinics. Patients completed a questionnaire on a Likert scale of 1-5, strongly disagree= 1, disagree= 2, no idea=3, agree= 4 and strongly agree= 5. The questionnaire was developed through the following steps (Figure 1):‏ A Flow Chart Depicting the Process Used to Evaluating the Psychometric Properties I. Item generation Interview and review of literature identified reasons and motivations associated with the action and continuity of abandonment Interview and review of literature identified reasons and motivations associated with the action and continuity of abandonment A. Interview with 21 participants. Participants were volunteers, including physicians, psychotherapists (with working experience in addiction treatment clinics) and outpatients. The main question was “What are the reasons for treatment retention among clients in addiction clinics”. Briefly, the following steps were taken for conventional content analysis: Writing and implementation of the interview Reading the text for understanding Determining the meaning of primary codes Classification of the same primary codes in categories Determining the content within the data. The interviews lasted for 30-40 min. All interviews were recorded and transcribed verbatim; of course, the verbal permission had already been taken for recording and transcription. The consistency of ideas and experiences was examined in the transcripts. Then, a detailed list of meaning units was formed from each interview transcript. They were coded into the various sub-categories. The categories were formed based on the similarities and differences between each sub-category. In addition, the meaning units and sub-categories were reviewed and approved by some of the participants and experts in the field of qualitative research and addiction treatment. Participants were volunteers, including physicians, psychotherapists (with working experience in addiction treatment clinics) and outpatients. The main question was “What are the reasons for treatment retention among clients in addiction clinics”. Briefly, the following steps were taken for conventional content analysis: Writing and implementation of the interview Reading the text for understanding Determining the meaning of primary codes Classification of the same primary codes in categories Determining the content within the data. The interviews lasted for 30-40 min. All interviews were recorded and transcribed verbatim; of course, the verbal permission had already been taken for recording and transcription. The consistency of ideas and experiences was examined in the transcripts. Then, a detailed list of meaning units was formed from each interview transcript. They were coded into the various sub-categories. The categories were formed based on the similarities and differences between each sub-category. In addition, the meaning units and sub-categories were reviewed and approved by some of the participants and experts in the field of qualitative research and addiction treatment. B. Review of literature One hundred and twenty cross-sectional studies published by Elsevier, Science Direct, external and internal valid scientific sites (mostly specific and related to addiction) were chosen by searching in Google Scholar. Key words used were “addiction, treatment, motivation, readiness, maintenance and factors”. Finally 23 articles (13 internal and 10 external) were used and evaluated. They have greater sample size and more citations than the others. These items were associated with the action and continuity of abandonment. For example, negative attitudes towards consumption, external pressures, the consequences of abuse, fear of legal troubles, humiliation, loss of job, the family's insistence, for children and parents, saving family communications, family support (family’s care and company, assistance of spouse) and others. One hundred and twenty cross-sectional studies published by Elsevier, Science Direct, external and internal valid scientific sites (mostly specific and related to addiction) were chosen by searching in Google Scholar. Key words used were “addiction, treatment, motivation, readiness, maintenance and factors”. Finally 23 articles (13 internal and 10 external) were used and evaluated. They have greater sample size and more citations than the others. These items were associated with the action and continuity of abandonment. For example, negative attitudes towards consumption, external pressures, the consequences of abuse, fear of legal troubles, humiliation, loss of job, the family's insistence, for children and parents, saving family communications, family support (family’s care and company, assistance of spouse) and others. II. Making an initial questionnaire Based on literature review and interviews, a framework was identified in order to develop the initial questionnaire. The initial questionnaire contained 40 items. The content validity of the questionnaire was examined by thirteen specialists from different disciplines, including health educator, physicians and psychotherapists. The purpose of this step was to ensure that the instrument was clear and culturally relevant. Based on literature review and interviews, a framework was identified in order to develop the initial questionnaire. The initial questionnaire contained 40 items. The content validity of the questionnaire was examined by thirteen specialists from different disciplines, including health educator, physicians and psychotherapists. The purpose of this step was to ensure that the instrument was clear and culturally relevant. III. Content validity Content validity was applied in two phases (qualitative and quantitative). The qualitative phase was conducted by 13 experts who reviewed the items of the questionnaire for grammar, wording, item allocation and scaling. The quantitative phase was conducted to calculate CVI and CVR. CVR examines the essentiality of each item for the Iranian culture by using 3-points rating scale (essential, useful but not essential and not essential). The CVR for every item was calculated using the formula CVR = [Ne − (𝑁/2)] ÷ (𝑁/2) (Ne is the number of panelists indicating "essential" for each particular item and N is the total number of panelists). The numeric value of CVR was determined by Lawshe table, accordingly, an acceptable CVR value for 13 panelists is 0.54(19). To obtain CVI for relevancy, simplicity and clarity of each item, ordinal scale with four possible responses were used. The responses included a rating from 1 = not relevant, not simple and not clear to 4 = very relevant, very simple and very clear. The number of those judging the item as relevant or clear (rating 3 or 4) was divided by the number of content experts. Polite and Beck recommended 0.79 as the acceptable lower limit for CVI value 20). Consequently, 10 items were removed and a primary version of the questionnaire with 30 items was developed (CVI >0.79 and CVR >0.54). Content validity was applied in two phases (qualitative and quantitative). The qualitative phase was conducted by 13 experts who reviewed the items of the questionnaire for grammar, wording, item allocation and scaling. The quantitative phase was conducted to calculate CVI and CVR. CVR examines the essentiality of each item for the Iranian culture by using 3-points rating scale (essential, useful but not essential and not essential). The CVR for every item was calculated using the formula CVR = [Ne − (𝑁/2)] ÷ (𝑁/2) (Ne is the number of panelists indicating "essential" for each particular item and N is the total number of panelists). The numeric value of CVR was determined by Lawshe table, accordingly, an acceptable CVR value for 13 panelists is 0.54(19). To obtain CVI for relevancy, simplicity and clarity of each item, ordinal scale with four possible responses were used. The responses included a rating from 1 = not relevant, not simple and not clear to 4 = very relevant, very simple and very clear. The number of those judging the item as relevant or clear (rating 3 or 4) was divided by the number of content experts. Polite and Beck recommended 0.79 as the acceptable lower limit for CVI value 20). Consequently, 10 items were removed and a primary version of the questionnaire with 30 items was developed (CVI >0.79 and CVR >0.54). IV. Exploratory factor analysis Construct validity was determined through exploratory factor analysis (EFA). EFA was performed to determine the dimensionality of the questionnaire using the principal component analysis with varimax rotation. Factor loading values of 0.5 or higher were considered acceptable and showed that there was an important relationship between items and factors. In order to evaluate sampling adequacy to perform a satisfactory factor analysis, KMO Measure of Sampling Adequacy and Bartlett test was high values of KMO (more than 0.7) generally indicated that a factor analysis may be useful with the data. The criteria used to determine the subscales (factors) were minimum Eigenvalues >1.00 (Kaiser Criterion) 21. Construct validity was determined through exploratory factor analysis (EFA). EFA was performed to determine the dimensionality of the questionnaire using the principal component analysis with varimax rotation. Factor loading values of 0.5 or higher were considered acceptable and showed that there was an important relationship between items and factors. In order to evaluate sampling adequacy to perform a satisfactory factor analysis, KMO Measure of Sampling Adequacy and Bartlett test was high values of KMO (more than 0.7) generally indicated that a factor analysis may be useful with the data. The criteria used to determine the subscales (factors) were minimum Eigenvalues >1.00 (Kaiser Criterion) 21. V. Reliability To determine the reliability of the instrument, the internal consistency was tested using the Cronbach’s alpha coefficient. Reliability of the scale was determined by computing Cronbach’s Alpha as an internal consistency coefficient (α>0.7). Cronbach’s coefficient alpha (α) was calculated separately for total scale and each item. At the first stage, sampling was conducted based on the cluster method. Each cluster was in different sections of the city. Ten addiction treatment clinics were chosen, among one hundred and four clinics within the designated metropolitan area of the study population. Each clinic was in different section of the city at the second stage, patients in each clinic were selected through simple sampling method, based on performance capacity of the data collection. The sample size was estimated based on the number of items in the questionnaire multiplied by 6-10 as recommended (300 participants). The sample size was determined by scientific references in exploratory factor analysis19. Data were analyzed using SPSS 16 software (Chicago, IL, USA). To determine the reliability of the instrument, the internal consistency was tested using the Cronbach’s alpha coefficient. Reliability of the scale was determined by computing Cronbach’s Alpha as an internal consistency coefficient (α>0.7). Cronbach’s coefficient alpha (α) was calculated separately for total scale and each item. At the first stage, sampling was conducted based on the cluster method. Each cluster was in different sections of the city. Ten addiction treatment clinics were chosen, among one hundred and four clinics within the designated metropolitan area of the study population. Each clinic was in different section of the city at the second stage, patients in each clinic were selected through simple sampling method, based on performance capacity of the data collection. The sample size was estimated based on the number of items in the questionnaire multiplied by 6-10 as recommended (300 participants). The sample size was determined by scientific references in exploratory factor analysis19. Data were analyzed using SPSS 16 software (Chicago, IL, USA).
Results
A total of 300 participants, 80.6% male and 19.4% female completed the questionnaire. The respondents were aged between 16 and 71 year of mean age of 39.4±12.06. Most of them were married (78.62% married, 14% single, and 7.38 % divorced). They used opium (39%), cooked dross (36%), heroin (5.7%), methamphetamine (10%) and others were multiple drug user. The average lifetime drug use among participants was 15.12±10.03 year (range = 1 to 46 year). Content validity was calculated. According to the Lawshe table Items with CVI >0.79 and CVR >0.54 was remained. Construct validity was determined. In the first step, Kaiser-Meyer-Olkin (KMO = 0.88) and Bartlett's Test (P<0.01, df= 595 , x2=5195.65 ) showed the adequacy of the sample size. Principal component analysis with Varimax rotation identified eight factors (Eigenvalues >1.0, factor loading cut off ≥ 0.5) which explained 60.6% of the variance in the data. Next, 8 items were removed from the questionnaire that seemed to be similar or unrelated items. The remaining 22 items were subjected to principal components analysis with varimax rotation that showed a good fit of 4-factor solution for the questionnaire. The four factors were: Family’s Factors (five items), Treats (eight items), Friend’s Factors (four items), and Self-Efficacy (five items) and explained variance (%) of each factor (Table 1). Internal consistency of the questionnaire was examined by computing the Cronbach’s alpha that gave a satisfactory value of 0.896. Cronbach’s coefficient alpha (α) was calculated separately for total scale and each item (Table 2).
Conclusions
This study designed questionnaire with 22 items and suggested a reliable and valid instrument with four factors related to motives of addiction treatment, including: family factors, threats, friend’s factors and self-efficacy. The questioner can be used as an instrument in substance abuse treatment because it is valid and reliable.
[ "\nI. Item generation\n", "\nA. Interview with 21 participants.\n", "\nB. Review of literature\n", "\nII. Making an initial questionnaire\n", "\nIII. Content validity\n", "\nIV. Exploratory factor analysis\n", "\nV. Reliability\n", "Highlights" ]
[ "\nInterview and review of literature identified reasons and motivations associated with the action and continuity of abandonment\n", "\nParticipants were volunteers, including physicians, psychotherapists (with working experience in addiction treatment clinics) and outpatients. The main question was “What are the reasons for treatment retention among clients in addiction clinics”. Briefly, the following steps were taken for conventional content analysis:\n\n Writing and implementation of the interview\n\nReading the text for understanding\n\n\nDetermining the meaning of primary codes\n\n\nClassification of the same primary codes in categories\n\n\nDetermining the content within the data.\n\n\nThe interviews lasted for 30-40 min. All interviews were recorded and transcribed verbatim; of course, the verbal permission had already been taken for recording and transcription.\n\n\nThe consistency of ideas and experiences was examined in the transcripts. Then, a detailed list of meaning units was formed from each interview transcript. They were coded into the various sub-categories. The categories were formed based on the similarities and differences between each sub-category.\n\n\nIn addition, the meaning units and sub-categories were reviewed and approved by some of the participants and experts in the field of qualitative research and addiction treatment.\n", "\nOne hundred and twenty cross-sectional studies published by Elsevier, Science Direct, external and internal valid scientific sites (mostly specific and related to addiction) were chosen by searching in Google Scholar. Key words used were “addiction, treatment, motivation, readiness, maintenance and factors”. Finally 23 articles (13 internal and 10 external) were used and evaluated. They have greater sample size and more citations than the others.\n\n\nThese items were associated with the action and continuity of abandonment. For example, negative attitudes towards consumption, external pressures, the consequences of abuse, fear of legal troubles, humiliation, loss of job, the family's insistence, for children and parents, saving family communications, family support (family’s care and company, assistance of spouse) and others.\n", "\nBased on literature review and interviews, a framework was identified in order to develop the initial questionnaire. The initial questionnaire contained 40 items. The content validity of the questionnaire was examined by thirteen specialists from different disciplines, including health educator, physicians and psychotherapists. The purpose of this step was to ensure that the instrument was clear and culturally relevant.\n", "\nContent validity was applied in two phases (qualitative and quantitative). The qualitative phase was conducted by 13 experts who reviewed the items of the questionnaire for grammar, wording, item allocation and scaling. The quantitative phase was conducted to calculate CVI and CVR. CVR examines the essentiality of each item for the Iranian culture by using 3-points rating scale (essential, useful but not essential and not essential). The CVR for every item was calculated using the formula CVR = [Ne − (𝑁/2)] ÷ (𝑁/2) (Ne is the number of panelists indicating \"essential\" for each particular item and N is the total number of panelists). The numeric value of CVR was determined by Lawshe table, accordingly, an acceptable CVR value for 13 panelists is 0.54(19). To obtain CVI for relevancy, simplicity and clarity of each item, ordinal scale with four possible responses were used. The responses included a rating from 1 = not relevant, not simple and not clear to 4 = very relevant, very simple and very clear. The number of those judging the item as relevant or clear (rating 3 or 4) was divided by the number of content experts. Polite and Beck recommended 0.79 as the acceptable lower limit for CVI value 20).\n\n\nConsequently, 10 items were removed and a primary version of the questionnaire with 30 items was developed (CVI >0.79 and CVR >0.54).\n", "\nConstruct validity was determined through exploratory factor analysis (EFA). EFA was performed to determine the dimensionality of the questionnaire using the principal component analysis with varimax rotation. Factor loading values of 0.5 or higher were considered acceptable and showed that there was an important relationship between items and factors. In order to evaluate sampling adequacy to perform a satisfactory factor analysis, KMO Measure of Sampling Adequacy and Bartlett test was high values of KMO (more than 0.7) generally indicated that a factor analysis may be useful with the data. The criteria used to determine the subscales (factors) were minimum Eigenvalues >1.00 (Kaiser Criterion) 21.\n", "\nTo determine the reliability of the instrument, the internal consistency was tested using the Cronbach’s alpha coefficient. Reliability of the scale was determined by computing Cronbach’s Alpha as an internal consistency coefficient (α>0.7). Cronbach’s coefficient alpha (α) was calculated separately for total scale and each item.\n\n\nAt the first stage, sampling was conducted based on the cluster method. Each cluster was in different sections of the city. Ten addiction treatment clinics were chosen, among one hundred and four clinics within the designated metropolitan area of the study population. Each clinic was in different section of the city at the second stage, patients in each clinic were selected through simple sampling method, based on performance capacity of the data collection.\n\n\nThe sample size was estimated based on the number of items in the questionnaire multiplied by 6-10 as recommended (300 participants). The sample size was determined by scientific references in exploratory factor analysis19. Data were analyzed using SPSS 16 software (Chicago, IL, USA).\n", "\nFamily factors, threats, friend’s factors and self-efficacy are significant factors in substance abuse treatment.\n\n\nThere is the lack of an instrument for measuring factors related to addiction treatment for Iranian conditions.\n\n This study suggests a reliable and valid questionnaire to determine the reason for addiction treatment." ]
[ null, null, null, null, null, null, null, null ]
[ "Introduction", "Methods", "\nI. Item generation\n", "\nA. Interview with 21 participants.\n", "\nB. Review of literature\n", "\nII. Making an initial questionnaire\n", "\nIII. Content validity\n", "\nIV. Exploratory factor analysis\n", "\nV. Reliability\n", "Results", "Discussion", "Conclusions", "Acknowledgments", "Conflict of interest statement", "Highlights" ]
[ "\n“Drug abuse is a chronic, relapsing brain disease identified by compulsive substance seeking and use, despite harmful consequences”1. Substance dependency is an illness that can affect anyone, regardless of being male or female, young or old, rich or poor and any race and ethnicity2. The prevalence of drug use disorders is estimated 35/1000 persons in the Eastern Mediterranean Region3. Addiction is a problem for public health, one of the main causes of crime, disorder, family breakdown and community disintegration4 with high costs for both addicts’ population and the society5.\n\n\nAlthough, different programs for prevention and rehabilitation were designed and implemented, the addicts’ population remained high in most parts of the world6. Motivations and readiness for treatment are salient factors7. The basic component of quitting addiction is the reason for taking action against addiction8. Motivational factors at the beginning of treatment can positively impact success in the treatment9.\n\n\nSocial stability; previous experience and expectations of treatment, and higher motivation were predictors of addiction treatment retention10. Attitudes towards continued substance abuse, partners and community stigma; perceptions of cessation and drug treatment are significant items for treatment11.\n\n\nSome of the factors that determine addiction treatment include self-hatred, shame and humiliation related to substance abuse, negative beliefs and feelings about addiction, stigma and distrust; positive feeling about acceptance and well-being to life12. In the field of treatment, the most significant factors to stop drug abuse proved to be economic, social and empowering individuals13.\n\n\nAddiction treatment intentions are motives ranging from internal to external influences, including a negative impact on oneself and others; influence of family, peers, partners and community stigma 11 and similar factors. These are also very important for predicting treatment success. Influence of family, peers and partners are motives behind drug addiction treatment14.\n\n\nAddiction treatment studies have shown that self-efficacy is a major predictor for health behaviors. Motivational level, consequences of addiction and criminal history are other factors to be considered in taking action against addiction7. Addiction is a chronic disease; hence, addiction treatment requires long-term management15‏. Understanding the role of personal motivation in addiction treatment is very important for a better perception of relapse and treatment retention. There is experimental evidence that treatment motivation and readiness are closely related to retention16. Therefore, the factors influencing the addiction abandonment are different.\n\n\nThese are several instruments for measuring factors related to addiction treatment motivations for example: TCU Motivation tests that assess motivation for treatment concerning desire for help, treatment readiness and pressures for treatment12, the readiness to change questionnaire in Addiction17; Barriers to treatment inventory (BTI) 18. But, there is the lack of an instrument for measuring factors related to addiction treatment motivations among outpatient referred to addiction treatment clinics for Iranian conditions.\n\n\nThis study aimed to develop a valid questionnaire to determine the reason for addiction treatment among outpatient referred to addiction treatment clinics, by determining the content validity of measures based on the obtained opinions from specialists and participants, and for evaluating the factor structure of the scale using exploratory factor analysis EFA); and assessing reliability of the questionnaire using internal consistency.\n", "\nThis cross-sectional validation study was performed in Bojnourd, North East of Iran from May to September 2014. The inclusion criteria were the addicted people referred to addiction treatment clinics (outpatients) and consent to participate in the study. At least, they used a type of drug. The exclusion criteria included did not agree to participate in the study. Participants were selected using a multistage random sampling method. All participants agreed to complete the questionnaires.\n\n\nInformed assent and consent were obtained from participants. The study was conducted with approval from Tarbiat Modares University’ Institutional Review Board and Ethical Committee.\n\n\nData collection methods were based on anonymous questionnaires completed by the participants, and also among the illiterate people by trained psychologists in ten clinics. Patients completed a questionnaire on a Likert scale of 1-5, strongly disagree= 1, disagree= 2, no idea=3, agree= 4 and strongly agree= 5. The questionnaire was developed through the following steps (Figure 1):‏\n\n A Flow Chart Depicting the Process Used to Evaluating the Psychometric Properties\n \nI. Item generation\n \nInterview and review of literature identified reasons and motivations associated with the action and continuity of abandonment\n\n\nInterview and review of literature identified reasons and motivations associated with the action and continuity of abandonment\n\n \nA. Interview with 21 participants.\n \nParticipants were volunteers, including physicians, psychotherapists (with working experience in addiction treatment clinics) and outpatients. The main question was “What are the reasons for treatment retention among clients in addiction clinics”. Briefly, the following steps were taken for conventional content analysis:\n\n Writing and implementation of the interview\n\nReading the text for understanding\n\n\nDetermining the meaning of primary codes\n\n\nClassification of the same primary codes in categories\n\n\nDetermining the content within the data.\n\n\nThe interviews lasted for 30-40 min. All interviews were recorded and transcribed verbatim; of course, the verbal permission had already been taken for recording and transcription.\n\n\nThe consistency of ideas and experiences was examined in the transcripts. Then, a detailed list of meaning units was formed from each interview transcript. They were coded into the various sub-categories. The categories were formed based on the similarities and differences between each sub-category.\n\n\nIn addition, the meaning units and sub-categories were reviewed and approved by some of the participants and experts in the field of qualitative research and addiction treatment.\n\n\nParticipants were volunteers, including physicians, psychotherapists (with working experience in addiction treatment clinics) and outpatients. The main question was “What are the reasons for treatment retention among clients in addiction clinics”. Briefly, the following steps were taken for conventional content analysis:\n\n Writing and implementation of the interview\n\nReading the text for understanding\n\n\nDetermining the meaning of primary codes\n\n\nClassification of the same primary codes in categories\n\n\nDetermining the content within the data.\n\n\nThe interviews lasted for 30-40 min. All interviews were recorded and transcribed verbatim; of course, the verbal permission had already been taken for recording and transcription.\n\n\nThe consistency of ideas and experiences was examined in the transcripts. Then, a detailed list of meaning units was formed from each interview transcript. They were coded into the various sub-categories. The categories were formed based on the similarities and differences between each sub-category.\n\n\nIn addition, the meaning units and sub-categories were reviewed and approved by some of the participants and experts in the field of qualitative research and addiction treatment.\n\n \nB. Review of literature\n \nOne hundred and twenty cross-sectional studies published by Elsevier, Science Direct, external and internal valid scientific sites (mostly specific and related to addiction) were chosen by searching in Google Scholar. Key words used were “addiction, treatment, motivation, readiness, maintenance and factors”. Finally 23 articles (13 internal and 10 external) were used and evaluated. They have greater sample size and more citations than the others.\n\n\nThese items were associated with the action and continuity of abandonment. For example, negative attitudes towards consumption, external pressures, the consequences of abuse, fear of legal troubles, humiliation, loss of job, the family's insistence, for children and parents, saving family communications, family support (family’s care and company, assistance of spouse) and others.\n\n\nOne hundred and twenty cross-sectional studies published by Elsevier, Science Direct, external and internal valid scientific sites (mostly specific and related to addiction) were chosen by searching in Google Scholar. Key words used were “addiction, treatment, motivation, readiness, maintenance and factors”. Finally 23 articles (13 internal and 10 external) were used and evaluated. They have greater sample size and more citations than the others.\n\n\nThese items were associated with the action and continuity of abandonment. For example, negative attitudes towards consumption, external pressures, the consequences of abuse, fear of legal troubles, humiliation, loss of job, the family's insistence, for children and parents, saving family communications, family support (family’s care and company, assistance of spouse) and others.\n\n \nII. Making an initial questionnaire\n \nBased on literature review and interviews, a framework was identified in order to develop the initial questionnaire. The initial questionnaire contained 40 items. The content validity of the questionnaire was examined by thirteen specialists from different disciplines, including health educator, physicians and psychotherapists. The purpose of this step was to ensure that the instrument was clear and culturally relevant.\n\n\nBased on literature review and interviews, a framework was identified in order to develop the initial questionnaire. The initial questionnaire contained 40 items. The content validity of the questionnaire was examined by thirteen specialists from different disciplines, including health educator, physicians and psychotherapists. The purpose of this step was to ensure that the instrument was clear and culturally relevant.\n\n \nIII. Content validity\n \nContent validity was applied in two phases (qualitative and quantitative). The qualitative phase was conducted by 13 experts who reviewed the items of the questionnaire for grammar, wording, item allocation and scaling. The quantitative phase was conducted to calculate CVI and CVR. CVR examines the essentiality of each item for the Iranian culture by using 3-points rating scale (essential, useful but not essential and not essential). The CVR for every item was calculated using the formula CVR = [Ne − (𝑁/2)] ÷ (𝑁/2) (Ne is the number of panelists indicating \"essential\" for each particular item and N is the total number of panelists). The numeric value of CVR was determined by Lawshe table, accordingly, an acceptable CVR value for 13 panelists is 0.54(19). To obtain CVI for relevancy, simplicity and clarity of each item, ordinal scale with four possible responses were used. The responses included a rating from 1 = not relevant, not simple and not clear to 4 = very relevant, very simple and very clear. The number of those judging the item as relevant or clear (rating 3 or 4) was divided by the number of content experts. Polite and Beck recommended 0.79 as the acceptable lower limit for CVI value 20).\n\n\nConsequently, 10 items were removed and a primary version of the questionnaire with 30 items was developed (CVI >0.79 and CVR >0.54).\n\n\nContent validity was applied in two phases (qualitative and quantitative). The qualitative phase was conducted by 13 experts who reviewed the items of the questionnaire for grammar, wording, item allocation and scaling. The quantitative phase was conducted to calculate CVI and CVR. CVR examines the essentiality of each item for the Iranian culture by using 3-points rating scale (essential, useful but not essential and not essential). The CVR for every item was calculated using the formula CVR = [Ne − (𝑁/2)] ÷ (𝑁/2) (Ne is the number of panelists indicating \"essential\" for each particular item and N is the total number of panelists). The numeric value of CVR was determined by Lawshe table, accordingly, an acceptable CVR value for 13 panelists is 0.54(19). To obtain CVI for relevancy, simplicity and clarity of each item, ordinal scale with four possible responses were used. The responses included a rating from 1 = not relevant, not simple and not clear to 4 = very relevant, very simple and very clear. The number of those judging the item as relevant or clear (rating 3 or 4) was divided by the number of content experts. Polite and Beck recommended 0.79 as the acceptable lower limit for CVI value 20).\n\n\nConsequently, 10 items were removed and a primary version of the questionnaire with 30 items was developed (CVI >0.79 and CVR >0.54).\n\n \nIV. Exploratory factor analysis\n \nConstruct validity was determined through exploratory factor analysis (EFA). EFA was performed to determine the dimensionality of the questionnaire using the principal component analysis with varimax rotation. Factor loading values of 0.5 or higher were considered acceptable and showed that there was an important relationship between items and factors. In order to evaluate sampling adequacy to perform a satisfactory factor analysis, KMO Measure of Sampling Adequacy and Bartlett test was high values of KMO (more than 0.7) generally indicated that a factor analysis may be useful with the data. The criteria used to determine the subscales (factors) were minimum Eigenvalues >1.00 (Kaiser Criterion) 21.\n\n\nConstruct validity was determined through exploratory factor analysis (EFA). EFA was performed to determine the dimensionality of the questionnaire using the principal component analysis with varimax rotation. Factor loading values of 0.5 or higher were considered acceptable and showed that there was an important relationship between items and factors. In order to evaluate sampling adequacy to perform a satisfactory factor analysis, KMO Measure of Sampling Adequacy and Bartlett test was high values of KMO (more than 0.7) generally indicated that a factor analysis may be useful with the data. The criteria used to determine the subscales (factors) were minimum Eigenvalues >1.00 (Kaiser Criterion) 21.\n\n \nV. Reliability\n \nTo determine the reliability of the instrument, the internal consistency was tested using the Cronbach’s alpha coefficient. Reliability of the scale was determined by computing Cronbach’s Alpha as an internal consistency coefficient (α>0.7). Cronbach’s coefficient alpha (α) was calculated separately for total scale and each item.\n\n\nAt the first stage, sampling was conducted based on the cluster method. Each cluster was in different sections of the city. Ten addiction treatment clinics were chosen, among one hundred and four clinics within the designated metropolitan area of the study population. Each clinic was in different section of the city at the second stage, patients in each clinic were selected through simple sampling method, based on performance capacity of the data collection.\n\n\nThe sample size was estimated based on the number of items in the questionnaire multiplied by 6-10 as recommended (300 participants). The sample size was determined by scientific references in exploratory factor analysis19. Data were analyzed using SPSS 16 software (Chicago, IL, USA).\n\n\nTo determine the reliability of the instrument, the internal consistency was tested using the Cronbach’s alpha coefficient. Reliability of the scale was determined by computing Cronbach’s Alpha as an internal consistency coefficient (α>0.7). Cronbach’s coefficient alpha (α) was calculated separately for total scale and each item.\n\n\nAt the first stage, sampling was conducted based on the cluster method. Each cluster was in different sections of the city. Ten addiction treatment clinics were chosen, among one hundred and four clinics within the designated metropolitan area of the study population. Each clinic was in different section of the city at the second stage, patients in each clinic were selected through simple sampling method, based on performance capacity of the data collection.\n\n\nThe sample size was estimated based on the number of items in the questionnaire multiplied by 6-10 as recommended (300 participants). The sample size was determined by scientific references in exploratory factor analysis19. Data were analyzed using SPSS 16 software (Chicago, IL, USA).\n", "\nInterview and review of literature identified reasons and motivations associated with the action and continuity of abandonment\n", "\nParticipants were volunteers, including physicians, psychotherapists (with working experience in addiction treatment clinics) and outpatients. The main question was “What are the reasons for treatment retention among clients in addiction clinics”. Briefly, the following steps were taken for conventional content analysis:\n\n Writing and implementation of the interview\n\nReading the text for understanding\n\n\nDetermining the meaning of primary codes\n\n\nClassification of the same primary codes in categories\n\n\nDetermining the content within the data.\n\n\nThe interviews lasted for 30-40 min. All interviews were recorded and transcribed verbatim; of course, the verbal permission had already been taken for recording and transcription.\n\n\nThe consistency of ideas and experiences was examined in the transcripts. Then, a detailed list of meaning units was formed from each interview transcript. They were coded into the various sub-categories. The categories were formed based on the similarities and differences between each sub-category.\n\n\nIn addition, the meaning units and sub-categories were reviewed and approved by some of the participants and experts in the field of qualitative research and addiction treatment.\n", "\nOne hundred and twenty cross-sectional studies published by Elsevier, Science Direct, external and internal valid scientific sites (mostly specific and related to addiction) were chosen by searching in Google Scholar. Key words used were “addiction, treatment, motivation, readiness, maintenance and factors”. Finally 23 articles (13 internal and 10 external) were used and evaluated. They have greater sample size and more citations than the others.\n\n\nThese items were associated with the action and continuity of abandonment. For example, negative attitudes towards consumption, external pressures, the consequences of abuse, fear of legal troubles, humiliation, loss of job, the family's insistence, for children and parents, saving family communications, family support (family’s care and company, assistance of spouse) and others.\n", "\nBased on literature review and interviews, a framework was identified in order to develop the initial questionnaire. The initial questionnaire contained 40 items. The content validity of the questionnaire was examined by thirteen specialists from different disciplines, including health educator, physicians and psychotherapists. The purpose of this step was to ensure that the instrument was clear and culturally relevant.\n", "\nContent validity was applied in two phases (qualitative and quantitative). The qualitative phase was conducted by 13 experts who reviewed the items of the questionnaire for grammar, wording, item allocation and scaling. The quantitative phase was conducted to calculate CVI and CVR. CVR examines the essentiality of each item for the Iranian culture by using 3-points rating scale (essential, useful but not essential and not essential). The CVR for every item was calculated using the formula CVR = [Ne − (𝑁/2)] ÷ (𝑁/2) (Ne is the number of panelists indicating \"essential\" for each particular item and N is the total number of panelists). The numeric value of CVR was determined by Lawshe table, accordingly, an acceptable CVR value for 13 panelists is 0.54(19). To obtain CVI for relevancy, simplicity and clarity of each item, ordinal scale with four possible responses were used. The responses included a rating from 1 = not relevant, not simple and not clear to 4 = very relevant, very simple and very clear. The number of those judging the item as relevant or clear (rating 3 or 4) was divided by the number of content experts. Polite and Beck recommended 0.79 as the acceptable lower limit for CVI value 20).\n\n\nConsequently, 10 items were removed and a primary version of the questionnaire with 30 items was developed (CVI >0.79 and CVR >0.54).\n", "\nConstruct validity was determined through exploratory factor analysis (EFA). EFA was performed to determine the dimensionality of the questionnaire using the principal component analysis with varimax rotation. Factor loading values of 0.5 or higher were considered acceptable and showed that there was an important relationship between items and factors. In order to evaluate sampling adequacy to perform a satisfactory factor analysis, KMO Measure of Sampling Adequacy and Bartlett test was high values of KMO (more than 0.7) generally indicated that a factor analysis may be useful with the data. The criteria used to determine the subscales (factors) were minimum Eigenvalues >1.00 (Kaiser Criterion) 21.\n", "\nTo determine the reliability of the instrument, the internal consistency was tested using the Cronbach’s alpha coefficient. Reliability of the scale was determined by computing Cronbach’s Alpha as an internal consistency coefficient (α>0.7). Cronbach’s coefficient alpha (α) was calculated separately for total scale and each item.\n\n\nAt the first stage, sampling was conducted based on the cluster method. Each cluster was in different sections of the city. Ten addiction treatment clinics were chosen, among one hundred and four clinics within the designated metropolitan area of the study population. Each clinic was in different section of the city at the second stage, patients in each clinic were selected through simple sampling method, based on performance capacity of the data collection.\n\n\nThe sample size was estimated based on the number of items in the questionnaire multiplied by 6-10 as recommended (300 participants). The sample size was determined by scientific references in exploratory factor analysis19. Data were analyzed using SPSS 16 software (Chicago, IL, USA).\n", "\nA total of 300 participants, 80.6% male and 19.4% female completed the questionnaire. The respondents were aged between 16 and 71 year of mean age of 39.4±12.06. Most of them were married (78.62% married, 14% single, and 7.38 % divorced). They used opium (39%), cooked dross (36%), heroin (5.7%), methamphetamine (10%) and others were multiple drug user. The average lifetime drug use among participants was 15.12±10.03 year (range = 1 to 46 year).\n\n\nContent validity was calculated. According to the Lawshe table Items with CVI >0.79 and CVR >0.54 was remained. Construct validity was determined. In the first step, Kaiser-Meyer-Olkin (KMO = 0.88) and Bartlett's Test (P<0.01, df= 595 , x2=5195.65 ) showed the adequacy of the sample size. Principal component analysis with Varimax rotation identified eight factors (Eigenvalues >1.0, factor loading cut off ≥ 0.5) which explained 60.6% of the variance in the data.\n\n\nNext, 8 items were removed from the questionnaire that seemed to be similar or unrelated items. The remaining 22 items were subjected to principal components analysis with varimax rotation that showed a good fit of 4-factor solution for the questionnaire.\n\n\nThe four factors were: Family’s Factors (five items), Treats (eight items), Friend’s Factors (four items), and Self-Efficacy (five items) and explained variance (%) of each factor (Table 1).\n\n\nInternal consistency of the questionnaire was examined by computing the Cronbach’s alpha that gave a satisfactory value of 0.896. Cronbach’s coefficient alpha (α) was calculated separately for total scale and each item (Table 2).\n", "\nAccording to the results, four factors were related to motives of addiction treatment including family factors, threats, friend’s factors and self-efficacy, which is in line with previous studies7,14,16.\n\n\nThe family and friends factors are the two components related to addiction treatment. Family and friends factors included supported by them and motivation to comply with them. In this regard, the likelihood of drug abuse was greater among those who engaged in emotional and social problems, such as psychological problems and family dispute compared with their counterparts who did not engage in such problems22.\n\n\nFamily support is a positive factor in addiction rehabilitation23. Family and friends support is a type of emotional support24. Family support and other types of social support are mechanisms of changes in treatment 25. Social support is one of the essential services to stop or reduce substance abuse. In other words, motivation to comply with family and friends were associated with the action and continuity of addiction treatment 26-27.\n\n\nThis study showed that the role of family and friends is common in social support and motivation to comply among the addicted population. Previous researches showed some similarities with our results14,23.\n\n\nThe present study indicated that “threats” was another significant factor in addiction treatment. Threats vary and include loosing job and money, the consequences of abuse, fear of legal troubles, going to jail, losing families; and the severity28. Treatment motivation was positively correlated with problem severity29 and the consequences of drug abuse were important predictors of motivation to addiction treatment30.\n\n\nThe other factor is self-efficacy; in this study, it was measured using five items. According to Bandura self-efficacy is the most important precondition for behavioral change 31, self-efficacy is a psychological construct of central importance in understanding human behavior 32 and directly affects on performance 33. It is one of the directly related predictors in quitting 34. Increasing the self-efficacy is the most effective in substance abuse treatment 32,35. It may be the best effective addiction treatment that increases self-efficacy36. Higher self-efficacy, is a predictor of making a quit attempt37. Self-efficacy is as an important predictor of outcome, or as a mediator of substance abuse treatment 38.\n\n\nThe major limitation of this study was the lack of control on drug types used by the participants. Confirmatory factor analysis was another limitation because it needed new samples and more time.\n", "\nThis study designed questionnaire with 22 items and suggested a reliable and valid instrument with four factors related to motives of addiction treatment, including: family factors, threats, friend’s factors and self-efficacy. The questioner can be used as an instrument in substance abuse treatment because it is valid and reliable.\n", "\nWe would like to appreciate all the participants and participating clinics and others who helped us in this research.\n\n\nThis manuscript was based on the thesis of Hamid Tavakoli Ghouchani, with reference number 52/4470 D, supported by the Research and Technology Deputy of Research and Technology (Tarbiat Modares University).\n", "\nThe authors declare that there is no conflict of interest regarding the publication of this paper.\n", "\nFamily factors, threats, friend’s factors and self-efficacy are significant factors in substance abuse treatment.\n\n\nThere is the lack of an instrument for measuring factors related to addiction treatment for Iranian conditions.\n\n This study suggests a reliable and valid questionnaire to determine the reason for addiction treatment." ]
[ "introduction", "methods", null, null, null, null, null, null, null, "results", "discussion", "conclusions", "acknowledgments", "COI-statement", null ]
[ "Psychometrics", "Motivations", "Treatment", "Substance Abuse", "Outpatients" ]
Introduction: “Drug abuse is a chronic, relapsing brain disease identified by compulsive substance seeking and use, despite harmful consequences”1. Substance dependency is an illness that can affect anyone, regardless of being male or female, young or old, rich or poor and any race and ethnicity2. The prevalence of drug use disorders is estimated 35/1000 persons in the Eastern Mediterranean Region3. Addiction is a problem for public health, one of the main causes of crime, disorder, family breakdown and community disintegration4 with high costs for both addicts’ population and the society5. Although, different programs for prevention and rehabilitation were designed and implemented, the addicts’ population remained high in most parts of the world6. Motivations and readiness for treatment are salient factors7. The basic component of quitting addiction is the reason for taking action against addiction8. Motivational factors at the beginning of treatment can positively impact success in the treatment9. Social stability; previous experience and expectations of treatment, and higher motivation were predictors of addiction treatment retention10. Attitudes towards continued substance abuse, partners and community stigma; perceptions of cessation and drug treatment are significant items for treatment11. Some of the factors that determine addiction treatment include self-hatred, shame and humiliation related to substance abuse, negative beliefs and feelings about addiction, stigma and distrust; positive feeling about acceptance and well-being to life12. In the field of treatment, the most significant factors to stop drug abuse proved to be economic, social and empowering individuals13. Addiction treatment intentions are motives ranging from internal to external influences, including a negative impact on oneself and others; influence of family, peers, partners and community stigma 11 and similar factors. These are also very important for predicting treatment success. Influence of family, peers and partners are motives behind drug addiction treatment14. Addiction treatment studies have shown that self-efficacy is a major predictor for health behaviors. Motivational level, consequences of addiction and criminal history are other factors to be considered in taking action against addiction7. Addiction is a chronic disease; hence, addiction treatment requires long-term management15‏. Understanding the role of personal motivation in addiction treatment is very important for a better perception of relapse and treatment retention. There is experimental evidence that treatment motivation and readiness are closely related to retention16. Therefore, the factors influencing the addiction abandonment are different. These are several instruments for measuring factors related to addiction treatment motivations for example: TCU Motivation tests that assess motivation for treatment concerning desire for help, treatment readiness and pressures for treatment12, the readiness to change questionnaire in Addiction17; Barriers to treatment inventory (BTI) 18. But, there is the lack of an instrument for measuring factors related to addiction treatment motivations among outpatient referred to addiction treatment clinics for Iranian conditions. This study aimed to develop a valid questionnaire to determine the reason for addiction treatment among outpatient referred to addiction treatment clinics, by determining the content validity of measures based on the obtained opinions from specialists and participants, and for evaluating the factor structure of the scale using exploratory factor analysis EFA); and assessing reliability of the questionnaire using internal consistency. Methods: This cross-sectional validation study was performed in Bojnourd, North East of Iran from May to September 2014. The inclusion criteria were the addicted people referred to addiction treatment clinics (outpatients) and consent to participate in the study. At least, they used a type of drug. The exclusion criteria included did not agree to participate in the study. Participants were selected using a multistage random sampling method. All participants agreed to complete the questionnaires. Informed assent and consent were obtained from participants. The study was conducted with approval from Tarbiat Modares University’ Institutional Review Board and Ethical Committee. Data collection methods were based on anonymous questionnaires completed by the participants, and also among the illiterate people by trained psychologists in ten clinics. Patients completed a questionnaire on a Likert scale of 1-5, strongly disagree= 1, disagree= 2, no idea=3, agree= 4 and strongly agree= 5. The questionnaire was developed through the following steps (Figure 1):‏ A Flow Chart Depicting the Process Used to Evaluating the Psychometric Properties I. Item generation Interview and review of literature identified reasons and motivations associated with the action and continuity of abandonment Interview and review of literature identified reasons and motivations associated with the action and continuity of abandonment A. Interview with 21 participants. Participants were volunteers, including physicians, psychotherapists (with working experience in addiction treatment clinics) and outpatients. The main question was “What are the reasons for treatment retention among clients in addiction clinics”. Briefly, the following steps were taken for conventional content analysis: Writing and implementation of the interview Reading the text for understanding Determining the meaning of primary codes Classification of the same primary codes in categories Determining the content within the data. The interviews lasted for 30-40 min. All interviews were recorded and transcribed verbatim; of course, the verbal permission had already been taken for recording and transcription. The consistency of ideas and experiences was examined in the transcripts. Then, a detailed list of meaning units was formed from each interview transcript. They were coded into the various sub-categories. The categories were formed based on the similarities and differences between each sub-category. In addition, the meaning units and sub-categories were reviewed and approved by some of the participants and experts in the field of qualitative research and addiction treatment. Participants were volunteers, including physicians, psychotherapists (with working experience in addiction treatment clinics) and outpatients. The main question was “What are the reasons for treatment retention among clients in addiction clinics”. Briefly, the following steps were taken for conventional content analysis: Writing and implementation of the interview Reading the text for understanding Determining the meaning of primary codes Classification of the same primary codes in categories Determining the content within the data. The interviews lasted for 30-40 min. All interviews were recorded and transcribed verbatim; of course, the verbal permission had already been taken for recording and transcription. The consistency of ideas and experiences was examined in the transcripts. Then, a detailed list of meaning units was formed from each interview transcript. They were coded into the various sub-categories. The categories were formed based on the similarities and differences between each sub-category. In addition, the meaning units and sub-categories were reviewed and approved by some of the participants and experts in the field of qualitative research and addiction treatment. B. Review of literature One hundred and twenty cross-sectional studies published by Elsevier, Science Direct, external and internal valid scientific sites (mostly specific and related to addiction) were chosen by searching in Google Scholar. Key words used were “addiction, treatment, motivation, readiness, maintenance and factors”. Finally 23 articles (13 internal and 10 external) were used and evaluated. They have greater sample size and more citations than the others. These items were associated with the action and continuity of abandonment. For example, negative attitudes towards consumption, external pressures, the consequences of abuse, fear of legal troubles, humiliation, loss of job, the family's insistence, for children and parents, saving family communications, family support (family’s care and company, assistance of spouse) and others. One hundred and twenty cross-sectional studies published by Elsevier, Science Direct, external and internal valid scientific sites (mostly specific and related to addiction) were chosen by searching in Google Scholar. Key words used were “addiction, treatment, motivation, readiness, maintenance and factors”. Finally 23 articles (13 internal and 10 external) were used and evaluated. They have greater sample size and more citations than the others. These items were associated with the action and continuity of abandonment. For example, negative attitudes towards consumption, external pressures, the consequences of abuse, fear of legal troubles, humiliation, loss of job, the family's insistence, for children and parents, saving family communications, family support (family’s care and company, assistance of spouse) and others. II. Making an initial questionnaire Based on literature review and interviews, a framework was identified in order to develop the initial questionnaire. The initial questionnaire contained 40 items. The content validity of the questionnaire was examined by thirteen specialists from different disciplines, including health educator, physicians and psychotherapists. The purpose of this step was to ensure that the instrument was clear and culturally relevant. Based on literature review and interviews, a framework was identified in order to develop the initial questionnaire. The initial questionnaire contained 40 items. The content validity of the questionnaire was examined by thirteen specialists from different disciplines, including health educator, physicians and psychotherapists. The purpose of this step was to ensure that the instrument was clear and culturally relevant. III. Content validity Content validity was applied in two phases (qualitative and quantitative). The qualitative phase was conducted by 13 experts who reviewed the items of the questionnaire for grammar, wording, item allocation and scaling. The quantitative phase was conducted to calculate CVI and CVR. CVR examines the essentiality of each item for the Iranian culture by using 3-points rating scale (essential, useful but not essential and not essential). The CVR for every item was calculated using the formula CVR = [Ne − (𝑁/2)] ÷ (𝑁/2) (Ne is the number of panelists indicating "essential" for each particular item and N is the total number of panelists). The numeric value of CVR was determined by Lawshe table, accordingly, an acceptable CVR value for 13 panelists is 0.54(19). To obtain CVI for relevancy, simplicity and clarity of each item, ordinal scale with four possible responses were used. The responses included a rating from 1 = not relevant, not simple and not clear to 4 = very relevant, very simple and very clear. The number of those judging the item as relevant or clear (rating 3 or 4) was divided by the number of content experts. Polite and Beck recommended 0.79 as the acceptable lower limit for CVI value 20). Consequently, 10 items were removed and a primary version of the questionnaire with 30 items was developed (CVI >0.79 and CVR >0.54). Content validity was applied in two phases (qualitative and quantitative). The qualitative phase was conducted by 13 experts who reviewed the items of the questionnaire for grammar, wording, item allocation and scaling. The quantitative phase was conducted to calculate CVI and CVR. CVR examines the essentiality of each item for the Iranian culture by using 3-points rating scale (essential, useful but not essential and not essential). The CVR for every item was calculated using the formula CVR = [Ne − (𝑁/2)] ÷ (𝑁/2) (Ne is the number of panelists indicating "essential" for each particular item and N is the total number of panelists). The numeric value of CVR was determined by Lawshe table, accordingly, an acceptable CVR value for 13 panelists is 0.54(19). To obtain CVI for relevancy, simplicity and clarity of each item, ordinal scale with four possible responses were used. The responses included a rating from 1 = not relevant, not simple and not clear to 4 = very relevant, very simple and very clear. The number of those judging the item as relevant or clear (rating 3 or 4) was divided by the number of content experts. Polite and Beck recommended 0.79 as the acceptable lower limit for CVI value 20). Consequently, 10 items were removed and a primary version of the questionnaire with 30 items was developed (CVI >0.79 and CVR >0.54). IV. Exploratory factor analysis Construct validity was determined through exploratory factor analysis (EFA). EFA was performed to determine the dimensionality of the questionnaire using the principal component analysis with varimax rotation. Factor loading values of 0.5 or higher were considered acceptable and showed that there was an important relationship between items and factors. In order to evaluate sampling adequacy to perform a satisfactory factor analysis, KMO Measure of Sampling Adequacy and Bartlett test was high values of KMO (more than 0.7) generally indicated that a factor analysis may be useful with the data. The criteria used to determine the subscales (factors) were minimum Eigenvalues >1.00 (Kaiser Criterion) 21. Construct validity was determined through exploratory factor analysis (EFA). EFA was performed to determine the dimensionality of the questionnaire using the principal component analysis with varimax rotation. Factor loading values of 0.5 or higher were considered acceptable and showed that there was an important relationship between items and factors. In order to evaluate sampling adequacy to perform a satisfactory factor analysis, KMO Measure of Sampling Adequacy and Bartlett test was high values of KMO (more than 0.7) generally indicated that a factor analysis may be useful with the data. The criteria used to determine the subscales (factors) were minimum Eigenvalues >1.00 (Kaiser Criterion) 21. V. Reliability To determine the reliability of the instrument, the internal consistency was tested using the Cronbach’s alpha coefficient. Reliability of the scale was determined by computing Cronbach’s Alpha as an internal consistency coefficient (α>0.7). Cronbach’s coefficient alpha (α) was calculated separately for total scale and each item. At the first stage, sampling was conducted based on the cluster method. Each cluster was in different sections of the city. Ten addiction treatment clinics were chosen, among one hundred and four clinics within the designated metropolitan area of the study population. Each clinic was in different section of the city at the second stage, patients in each clinic were selected through simple sampling method, based on performance capacity of the data collection. The sample size was estimated based on the number of items in the questionnaire multiplied by 6-10 as recommended (300 participants). The sample size was determined by scientific references in exploratory factor analysis19. Data were analyzed using SPSS 16 software (Chicago, IL, USA). To determine the reliability of the instrument, the internal consistency was tested using the Cronbach’s alpha coefficient. Reliability of the scale was determined by computing Cronbach’s Alpha as an internal consistency coefficient (α>0.7). Cronbach’s coefficient alpha (α) was calculated separately for total scale and each item. At the first stage, sampling was conducted based on the cluster method. Each cluster was in different sections of the city. Ten addiction treatment clinics were chosen, among one hundred and four clinics within the designated metropolitan area of the study population. Each clinic was in different section of the city at the second stage, patients in each clinic were selected through simple sampling method, based on performance capacity of the data collection. The sample size was estimated based on the number of items in the questionnaire multiplied by 6-10 as recommended (300 participants). The sample size was determined by scientific references in exploratory factor analysis19. Data were analyzed using SPSS 16 software (Chicago, IL, USA). I. Item generation : Interview and review of literature identified reasons and motivations associated with the action and continuity of abandonment A. Interview with 21 participants. : Participants were volunteers, including physicians, psychotherapists (with working experience in addiction treatment clinics) and outpatients. The main question was “What are the reasons for treatment retention among clients in addiction clinics”. Briefly, the following steps were taken for conventional content analysis: Writing and implementation of the interview Reading the text for understanding Determining the meaning of primary codes Classification of the same primary codes in categories Determining the content within the data. The interviews lasted for 30-40 min. All interviews were recorded and transcribed verbatim; of course, the verbal permission had already been taken for recording and transcription. The consistency of ideas and experiences was examined in the transcripts. Then, a detailed list of meaning units was formed from each interview transcript. They were coded into the various sub-categories. The categories were formed based on the similarities and differences between each sub-category. In addition, the meaning units and sub-categories were reviewed and approved by some of the participants and experts in the field of qualitative research and addiction treatment. B. Review of literature : One hundred and twenty cross-sectional studies published by Elsevier, Science Direct, external and internal valid scientific sites (mostly specific and related to addiction) were chosen by searching in Google Scholar. Key words used were “addiction, treatment, motivation, readiness, maintenance and factors”. Finally 23 articles (13 internal and 10 external) were used and evaluated. They have greater sample size and more citations than the others. These items were associated with the action and continuity of abandonment. For example, negative attitudes towards consumption, external pressures, the consequences of abuse, fear of legal troubles, humiliation, loss of job, the family's insistence, for children and parents, saving family communications, family support (family’s care and company, assistance of spouse) and others. II. Making an initial questionnaire : Based on literature review and interviews, a framework was identified in order to develop the initial questionnaire. The initial questionnaire contained 40 items. The content validity of the questionnaire was examined by thirteen specialists from different disciplines, including health educator, physicians and psychotherapists. The purpose of this step was to ensure that the instrument was clear and culturally relevant. III. Content validity : Content validity was applied in two phases (qualitative and quantitative). The qualitative phase was conducted by 13 experts who reviewed the items of the questionnaire for grammar, wording, item allocation and scaling. The quantitative phase was conducted to calculate CVI and CVR. CVR examines the essentiality of each item for the Iranian culture by using 3-points rating scale (essential, useful but not essential and not essential). The CVR for every item was calculated using the formula CVR = [Ne − (𝑁/2)] ÷ (𝑁/2) (Ne is the number of panelists indicating "essential" for each particular item and N is the total number of panelists). The numeric value of CVR was determined by Lawshe table, accordingly, an acceptable CVR value for 13 panelists is 0.54(19). To obtain CVI for relevancy, simplicity and clarity of each item, ordinal scale with four possible responses were used. The responses included a rating from 1 = not relevant, not simple and not clear to 4 = very relevant, very simple and very clear. The number of those judging the item as relevant or clear (rating 3 or 4) was divided by the number of content experts. Polite and Beck recommended 0.79 as the acceptable lower limit for CVI value 20). Consequently, 10 items were removed and a primary version of the questionnaire with 30 items was developed (CVI >0.79 and CVR >0.54). IV. Exploratory factor analysis : Construct validity was determined through exploratory factor analysis (EFA). EFA was performed to determine the dimensionality of the questionnaire using the principal component analysis with varimax rotation. Factor loading values of 0.5 or higher were considered acceptable and showed that there was an important relationship between items and factors. In order to evaluate sampling adequacy to perform a satisfactory factor analysis, KMO Measure of Sampling Adequacy and Bartlett test was high values of KMO (more than 0.7) generally indicated that a factor analysis may be useful with the data. The criteria used to determine the subscales (factors) were minimum Eigenvalues >1.00 (Kaiser Criterion) 21. V. Reliability : To determine the reliability of the instrument, the internal consistency was tested using the Cronbach’s alpha coefficient. Reliability of the scale was determined by computing Cronbach’s Alpha as an internal consistency coefficient (α>0.7). Cronbach’s coefficient alpha (α) was calculated separately for total scale and each item. At the first stage, sampling was conducted based on the cluster method. Each cluster was in different sections of the city. Ten addiction treatment clinics were chosen, among one hundred and four clinics within the designated metropolitan area of the study population. Each clinic was in different section of the city at the second stage, patients in each clinic were selected through simple sampling method, based on performance capacity of the data collection. The sample size was estimated based on the number of items in the questionnaire multiplied by 6-10 as recommended (300 participants). The sample size was determined by scientific references in exploratory factor analysis19. Data were analyzed using SPSS 16 software (Chicago, IL, USA). Results: A total of 300 participants, 80.6% male and 19.4% female completed the questionnaire. The respondents were aged between 16 and 71 year of mean age of 39.4±12.06. Most of them were married (78.62% married, 14% single, and 7.38 % divorced). They used opium (39%), cooked dross (36%), heroin (5.7%), methamphetamine (10%) and others were multiple drug user. The average lifetime drug use among participants was 15.12±10.03 year (range = 1 to 46 year). Content validity was calculated. According to the Lawshe table Items with CVI >0.79 and CVR >0.54 was remained. Construct validity was determined. In the first step, Kaiser-Meyer-Olkin (KMO = 0.88) and Bartlett's Test (P<0.01, df= 595 , x2=5195.65 ) showed the adequacy of the sample size. Principal component analysis with Varimax rotation identified eight factors (Eigenvalues >1.0, factor loading cut off ≥ 0.5) which explained 60.6% of the variance in the data. Next, 8 items were removed from the questionnaire that seemed to be similar or unrelated items. The remaining 22 items were subjected to principal components analysis with varimax rotation that showed a good fit of 4-factor solution for the questionnaire. The four factors were: Family’s Factors (five items), Treats (eight items), Friend’s Factors (four items), and Self-Efficacy (five items) and explained variance (%) of each factor (Table 1). Internal consistency of the questionnaire was examined by computing the Cronbach’s alpha that gave a satisfactory value of 0.896. Cronbach’s coefficient alpha (α) was calculated separately for total scale and each item (Table 2). Discussion: According to the results, four factors were related to motives of addiction treatment including family factors, threats, friend’s factors and self-efficacy, which is in line with previous studies7,14,16. The family and friends factors are the two components related to addiction treatment. Family and friends factors included supported by them and motivation to comply with them. In this regard, the likelihood of drug abuse was greater among those who engaged in emotional and social problems, such as psychological problems and family dispute compared with their counterparts who did not engage in such problems22. Family support is a positive factor in addiction rehabilitation23. Family and friends support is a type of emotional support24. Family support and other types of social support are mechanisms of changes in treatment 25. Social support is one of the essential services to stop or reduce substance abuse. In other words, motivation to comply with family and friends were associated with the action and continuity of addiction treatment 26-27. This study showed that the role of family and friends is common in social support and motivation to comply among the addicted population. Previous researches showed some similarities with our results14,23. The present study indicated that “threats” was another significant factor in addiction treatment. Threats vary and include loosing job and money, the consequences of abuse, fear of legal troubles, going to jail, losing families; and the severity28. Treatment motivation was positively correlated with problem severity29 and the consequences of drug abuse were important predictors of motivation to addiction treatment30. The other factor is self-efficacy; in this study, it was measured using five items. According to Bandura self-efficacy is the most important precondition for behavioral change 31, self-efficacy is a psychological construct of central importance in understanding human behavior 32 and directly affects on performance 33. It is one of the directly related predictors in quitting 34. Increasing the self-efficacy is the most effective in substance abuse treatment 32,35. It may be the best effective addiction treatment that increases self-efficacy36. Higher self-efficacy, is a predictor of making a quit attempt37. Self-efficacy is as an important predictor of outcome, or as a mediator of substance abuse treatment 38. The major limitation of this study was the lack of control on drug types used by the participants. Confirmatory factor analysis was another limitation because it needed new samples and more time. Conclusions: This study designed questionnaire with 22 items and suggested a reliable and valid instrument with four factors related to motives of addiction treatment, including: family factors, threats, friend’s factors and self-efficacy. The questioner can be used as an instrument in substance abuse treatment because it is valid and reliable. Acknowledgments: We would like to appreciate all the participants and participating clinics and others who helped us in this research. This manuscript was based on the thesis of Hamid Tavakoli Ghouchani, with reference number 52/4470 D, supported by the Research and Technology Deputy of Research and Technology (Tarbiat Modares University). Conflict of interest statement: The authors declare that there is no conflict of interest regarding the publication of this paper. Highlights: Family factors, threats, friend’s factors and self-efficacy are significant factors in substance abuse treatment. There is the lack of an instrument for measuring factors related to addiction treatment for Iranian conditions. This study suggests a reliable and valid questionnaire to determine the reason for addiction treatment.
Background: Understanding the motives and reasons for drug treatment is very important. This study aimed to develop a psychometric evaluation to determine the reasons for addiction treatment among outpatients referred to addiction treatment clinics. Methods: This cross-sectional validation study included five phases (i) Item generation (ii) Making an initial questionnaire (iii) Content validity (iv) Reliability analysis and (v) Structure validity. Addiction treatment motivations were identified by reviewing literatures and interviews with 21 stakeholders. A 30-item questionnaire was used for data collection and a random sample of 300 participants completed the questionnaire. The data were analyzed using content validity (CVR &amp;CVI), internal consistency (Chronbach's alpha coefficient) and exploratory factor analysis (EFA) by SPSS version 16 software. Results: With exploratory factor analysis, 22 items that were remaining jointly explained 60.6% of the variance observed. Inconsistency assessment, Cronbach's coefficient (α) of items was 0.9. Items with CVIs and CVRs greater than 0.84, remained and factor loading cut off ≥ 0.5 as valid items. They were loaded into four factor solution for the questionnaire, namely: family factors, threats, friend's factors and self-efficacy. Conclusions: This study suggestes a reliable and valid instrument with four factors related to motives of addiction treatment.
Introduction: “Drug abuse is a chronic, relapsing brain disease identified by compulsive substance seeking and use, despite harmful consequences”1. Substance dependency is an illness that can affect anyone, regardless of being male or female, young or old, rich or poor and any race and ethnicity2. The prevalence of drug use disorders is estimated 35/1000 persons in the Eastern Mediterranean Region3. Addiction is a problem for public health, one of the main causes of crime, disorder, family breakdown and community disintegration4 with high costs for both addicts’ population and the society5. Although, different programs for prevention and rehabilitation were designed and implemented, the addicts’ population remained high in most parts of the world6. Motivations and readiness for treatment are salient factors7. The basic component of quitting addiction is the reason for taking action against addiction8. Motivational factors at the beginning of treatment can positively impact success in the treatment9. Social stability; previous experience and expectations of treatment, and higher motivation were predictors of addiction treatment retention10. Attitudes towards continued substance abuse, partners and community stigma; perceptions of cessation and drug treatment are significant items for treatment11. Some of the factors that determine addiction treatment include self-hatred, shame and humiliation related to substance abuse, negative beliefs and feelings about addiction, stigma and distrust; positive feeling about acceptance and well-being to life12. In the field of treatment, the most significant factors to stop drug abuse proved to be economic, social and empowering individuals13. Addiction treatment intentions are motives ranging from internal to external influences, including a negative impact on oneself and others; influence of family, peers, partners and community stigma 11 and similar factors. These are also very important for predicting treatment success. Influence of family, peers and partners are motives behind drug addiction treatment14. Addiction treatment studies have shown that self-efficacy is a major predictor for health behaviors. Motivational level, consequences of addiction and criminal history are other factors to be considered in taking action against addiction7. Addiction is a chronic disease; hence, addiction treatment requires long-term management15‏. Understanding the role of personal motivation in addiction treatment is very important for a better perception of relapse and treatment retention. There is experimental evidence that treatment motivation and readiness are closely related to retention16. Therefore, the factors influencing the addiction abandonment are different. These are several instruments for measuring factors related to addiction treatment motivations for example: TCU Motivation tests that assess motivation for treatment concerning desire for help, treatment readiness and pressures for treatment12, the readiness to change questionnaire in Addiction17; Barriers to treatment inventory (BTI) 18. But, there is the lack of an instrument for measuring factors related to addiction treatment motivations among outpatient referred to addiction treatment clinics for Iranian conditions. This study aimed to develop a valid questionnaire to determine the reason for addiction treatment among outpatient referred to addiction treatment clinics, by determining the content validity of measures based on the obtained opinions from specialists and participants, and for evaluating the factor structure of the scale using exploratory factor analysis EFA); and assessing reliability of the questionnaire using internal consistency. Conclusions: This study designed questionnaire with 22 items and suggested a reliable and valid instrument with four factors related to motives of addiction treatment, including: family factors, threats, friend’s factors and self-efficacy. The questioner can be used as an instrument in substance abuse treatment because it is valid and reliable.
Background: Understanding the motives and reasons for drug treatment is very important. This study aimed to develop a psychometric evaluation to determine the reasons for addiction treatment among outpatients referred to addiction treatment clinics. Methods: This cross-sectional validation study included five phases (i) Item generation (ii) Making an initial questionnaire (iii) Content validity (iv) Reliability analysis and (v) Structure validity. Addiction treatment motivations were identified by reviewing literatures and interviews with 21 stakeholders. A 30-item questionnaire was used for data collection and a random sample of 300 participants completed the questionnaire. The data were analyzed using content validity (CVR &amp;CVI), internal consistency (Chronbach's alpha coefficient) and exploratory factor analysis (EFA) by SPSS version 16 software. Results: With exploratory factor analysis, 22 items that were remaining jointly explained 60.6% of the variance observed. Inconsistency assessment, Cronbach's coefficient (α) of items was 0.9. Items with CVIs and CVRs greater than 0.84, remained and factor loading cut off ≥ 0.5 as valid items. They were loaded into four factor solution for the questionnaire, namely: family factors, threats, friend's factors and self-efficacy. Conclusions: This study suggestes a reliable and valid instrument with four factors related to motives of addiction treatment.
4,993
255
[ 19, 209, 154, 68, 274, 121, 196, 57 ]
15
[ "treatment", "addiction", "questionnaire", "factors", "addiction treatment", "items", "family", "factor", "item", "cvr" ]
[ "individuals13 addiction treatment", "effective addiction treatment", "determine addiction treatment", "addiction treatment retention10", "addiction treatment motivations" ]
[CONTENT] Psychometrics | Motivations | Treatment | Substance Abuse | Outpatients [SUMMARY]
[CONTENT] Psychometrics | Motivations | Treatment | Substance Abuse | Outpatients [SUMMARY]
[CONTENT] Psychometrics | Motivations | Treatment | Substance Abuse | Outpatients [SUMMARY]
[CONTENT] Psychometrics | Motivations | Treatment | Substance Abuse | Outpatients [SUMMARY]
[CONTENT] Psychometrics | Motivations | Treatment | Substance Abuse | Outpatients [SUMMARY]
[CONTENT] Psychometrics | Motivations | Treatment | Substance Abuse | Outpatients [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Behavior Therapy | Behavior, Addictive | Cross-Sectional Studies | Female | Humans | Male | Middle Aged | Motivation | Patient Compliance | Psychometrics | Reproducibility of Results | Self Efficacy | Social Environment | Substance-Related Disorders | Surveys and Questionnaires | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Behavior Therapy | Behavior, Addictive | Cross-Sectional Studies | Female | Humans | Male | Middle Aged | Motivation | Patient Compliance | Psychometrics | Reproducibility of Results | Self Efficacy | Social Environment | Substance-Related Disorders | Surveys and Questionnaires | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Behavior Therapy | Behavior, Addictive | Cross-Sectional Studies | Female | Humans | Male | Middle Aged | Motivation | Patient Compliance | Psychometrics | Reproducibility of Results | Self Efficacy | Social Environment | Substance-Related Disorders | Surveys and Questionnaires | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Behavior Therapy | Behavior, Addictive | Cross-Sectional Studies | Female | Humans | Male | Middle Aged | Motivation | Patient Compliance | Psychometrics | Reproducibility of Results | Self Efficacy | Social Environment | Substance-Related Disorders | Surveys and Questionnaires | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Behavior Therapy | Behavior, Addictive | Cross-Sectional Studies | Female | Humans | Male | Middle Aged | Motivation | Patient Compliance | Psychometrics | Reproducibility of Results | Self Efficacy | Social Environment | Substance-Related Disorders | Surveys and Questionnaires | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Behavior Therapy | Behavior, Addictive | Cross-Sectional Studies | Female | Humans | Male | Middle Aged | Motivation | Patient Compliance | Psychometrics | Reproducibility of Results | Self Efficacy | Social Environment | Substance-Related Disorders | Surveys and Questionnaires | Young Adult [SUMMARY]
[CONTENT] individuals13 addiction treatment | effective addiction treatment | determine addiction treatment | addiction treatment retention10 | addiction treatment motivations [SUMMARY]
[CONTENT] individuals13 addiction treatment | effective addiction treatment | determine addiction treatment | addiction treatment retention10 | addiction treatment motivations [SUMMARY]
[CONTENT] individuals13 addiction treatment | effective addiction treatment | determine addiction treatment | addiction treatment retention10 | addiction treatment motivations [SUMMARY]
[CONTENT] individuals13 addiction treatment | effective addiction treatment | determine addiction treatment | addiction treatment retention10 | addiction treatment motivations [SUMMARY]
[CONTENT] individuals13 addiction treatment | effective addiction treatment | determine addiction treatment | addiction treatment retention10 | addiction treatment motivations [SUMMARY]
[CONTENT] individuals13 addiction treatment | effective addiction treatment | determine addiction treatment | addiction treatment retention10 | addiction treatment motivations [SUMMARY]
[CONTENT] treatment | addiction | questionnaire | factors | addiction treatment | items | family | factor | item | cvr [SUMMARY]
[CONTENT] treatment | addiction | questionnaire | factors | addiction treatment | items | family | factor | item | cvr [SUMMARY]
[CONTENT] treatment | addiction | questionnaire | factors | addiction treatment | items | family | factor | item | cvr [SUMMARY]
[CONTENT] treatment | addiction | questionnaire | factors | addiction treatment | items | family | factor | item | cvr [SUMMARY]
[CONTENT] treatment | addiction | questionnaire | factors | addiction treatment | items | family | factor | item | cvr [SUMMARY]
[CONTENT] treatment | addiction | questionnaire | factors | addiction treatment | items | family | factor | item | cvr [SUMMARY]
[CONTENT] treatment | addiction | addiction treatment | factors | motivation | drug | readiness | community | partners | stigma [SUMMARY]
[CONTENT] cvr | item | questionnaire | number | sampling | categories | addiction | factor | content | analysis [SUMMARY]
[CONTENT] items | year | table | factors | 39 | variance | married | explained | factors items | 12 [SUMMARY]
[CONTENT] reliable | factors | valid | instrument | treatment | suggested reliable valid | valid instrument | treatment valid | substance abuse treatment valid | reliable valid instrument factors [SUMMARY]
[CONTENT] treatment | factors | addiction | questionnaire | addiction treatment | family | items | factor | cvr | item [SUMMARY]
[CONTENT] treatment | factors | addiction | questionnaire | addiction treatment | family | items | factor | cvr | item [SUMMARY]
[CONTENT] ||| [SUMMARY]
[CONTENT] five ||| 21 ||| 30 | 300 ||| CVR &amp;CVI | Chronbach | EFA | SPSS | 16 [SUMMARY]
[CONTENT] 22 | 60.6% ||| Cronbach | 0.9 ||| greater than 0.84 | ≥ 0.5 ||| four [SUMMARY]
[CONTENT] four [SUMMARY]
[CONTENT] ||| ||| five ||| 21 ||| 30 | 300 ||| CVR &amp;CVI | Chronbach | EFA | SPSS | 16 ||| 22 | 60.6% ||| Cronbach | 0.9 ||| greater than 0.84 | ≥ 0.5 ||| four ||| four [SUMMARY]
[CONTENT] ||| ||| five ||| 21 ||| 30 | 300 ||| CVR &amp;CVI | Chronbach | EFA | SPSS | 16 ||| 22 | 60.6% ||| Cronbach | 0.9 ||| greater than 0.84 | ≥ 0.5 ||| four ||| four [SUMMARY]
Intraoperative Assessment of Perfusion of the Gastric Graft and Correlation With Anastomotic Leaks After Esophagectomy.
25029436
Anastomotic leaks are a major source of morbidity after esophagectomy with gastric pull-up (GPU). In large part, they occur as a consequence of poor perfusion in the gastric graft.
BACKGROUND
Real-time intraoperative perfusion was assessed using LAA before bringing the graft up through the mediastinum. When there was a transition from rapid and bright to slow and less robust perfusion, this site was marked with a suture. The location of the anastomosis relative to the suture was noted and the outcome of the anastomosis ascertained by retrospective record review.
METHODS
Intraoperative LAA was used to assess graft perfusion in 150 consecutive patients undergoing esophagectomy with planned GPU reconstruction. An esophagogastric anastomosis was performed in 144 patients. A leak was found in 24 patients (16.7%) and were significantly less likely when the anastomosis was placed in an area of good perfusion compared with when the anastomosis was placed in an area of less robust perfusion by LAA (2% vs 45%, P < 0.0001). By multivariate analysis perfusion at the site of the anastomosis was the only significant factor associated with a leak.
RESULTS
Intraoperative real-time assessment of perfusion with LAA correlated with the likelihood of an anastomotic leak and confirmed the critical relationship between good perfusion and anastomotic healing. The use of LAA may contribute to reduced anastomotic morbidity.
CONCLUSIONS
[ "Aged", "Anastomosis, Surgical", "Anastomotic Leak", "Esophageal Diseases", "Esophagectomy", "Female", "Fluorescein Angiography", "Humans", "Intraoperative Period", "Lasers", "Male", "Middle Aged", "Stomach" ]
4463028
null
null
Surgical Procedure
All patients underwent esophagectomy with a transhiatal, en bloc transthoracic, minimally invasive thoracoscopic/laparoscopic or vagal-sparing approach. The tubularized gastric graft was brought up through the posterior mediastinum and a handsewn single-layer cervical anastomosis onto the anterior wall of the gastric pull-up was performed in all patients.
RESULTS
There were 150 consecutive patients that had intraoperative LAA assessment of perfusion during esophagectomy with GPU using the SPY system from March 2008 until July 2011. The median age of the patients was 66.7 years (interquartile range: 57–74). There were 125 men and 25 women. The indication for esophagectomy was cancer in 133 patients and end-stage benign disease in 17 patients. The type of esophagectomy was en bloc in 88 patients, transhiatal in 26, minimally invasive in 24 and vagal-sparing in 12 (open 10, laparoscopic 2). Major complications occurred in 22% and there was one mortality (Table 1). The median hospital stay in all patients was 14 days. The median hospital stay was significantly longer in patients with a leak (20 days with leak vs 13 days with no leak; P = 0.0096) and in those with a major versus a minor leak (40.5 days with a major leak vs 18 days with a minor leak, P = 0.0198). Intraoperative injection of ICG was well-tolerated by all patients with no adverse events or noticeable adverse effects. There were no technical difficulties and images were obtained in all patients. The entire graft was noted to have good perfusion in 66 of 150 patients (44%), whereas in 84 (66%) patients a line of demarcation was noted between rapid, bright perfusion and slower, less robust perfusion in the fundus of the gastric tube. In these 84 patients, the anastomosis was placed proximal to the stitch in 29 patients, at or distal to the stitch in 49 patients and in 6 patients no anastomosis was performed. These 6 patients all had significant comorbid conditions and poor perfusion by LAA in the area where the anastomosis was to be performed, and we elected to delay the reconstruction until ischemic conditioning led to better graft perfusion. In these patients, the graft was brought up to the neck and sutured to the sternocleidomastoid muscle as has been previously described.6 Subsequent reconstruction was done once the patient had satisfactorily recovered from the esophagectomy, usually at about 8 to 12 weeks. Anastomotic leaks occurred in 24 (16.7%) of the 144 patients who had an anastomosis and were classified as major in 8 and minor in 16 patients. Patients in whom the anastomosis was placed at or distal to the site of the suture were significantly more likely to have a leak compared with those in whom no suture was placed (entire graft well-perfused) or where the anastomosis was placed proximal to the transition point in an area of good perfusion by LAA (45% vs 2%, P < 0.0001) (Fig. 3). Similarly, major leaks were significantly more common when the anastomosis was not placed in an area of good perfusion by LAA (15% vs 0; P = 0.0002). Major leaks were treated with an endoscopic stent in 4 patients and reoperation with neck drainage in 4 patients. No patient required graft takedown. All leaks except 1 occurred in patients with cancer, and all patients with leaks had at least 1 comorbid condition. On univariate analysis, placement of the anastomosis at or distal to the suture and a history of hypertension were significantly associated with an anastomotic leak (Table 2). By multivariate analysis, anastomotic placement at or distal to the suture was the only significant factor associated with a leak. The frequency of major and minor leaks in patients where the anastomosis was placed in an area of good perfusion by LAA [either entire graft with good perfusion (n = 66) or anastomosis placed proximal to suture at site of transition (n = 29)] versus those patients that had an anastomosis placed at or distal to the site of the suture at the transition point (n = 49) (2% vs 45%, P < 0.0001).
CONCLUSIONS
Perfusion is critical for anastomotic healing after esophagectomy and gastric pull-up. Intraoperative real-time assessment of perfusion with LAA correlated with the likelihood of an anastomotic leak, and the cervical anastomotic leak rate was trivial when the anastomosis was placed in an area of the graft shown to have good perfusion. The use of LAA during esophagectomy with gastric pull-up may lead to an altered surgical plan in some patients and contribute to reduced anastomotic morbidity and better overall patient outcomes.
[ "METHODS", "Laser-assisted Indocyanine Green Fluorescent-Dye Angiography", "Safety of Indocyanine Green", "Intraoperative Assessment of Graft Perfusion and Placement of the Anastomosis", "Assessment of Anastomotic Healing", "Statistical Analysis" ]
[ "After initially using intraoperative LAA on several esophagectomies with GPU we saw that perfusion in the tip of the gastric graft as assessed visibly with the SPY system was variable. In some patients, the entire graft showed rapid, bright perfusion by LAA (Fig. 1). Often, though, there was a point of demarcation where rapid and bright perfusion transitioned into slower and less robust perfusion. We prospectively decided to evaluate the utility of LAA by placing a suture at the site of this transition if present, and recording in the operative note the location of the anastomosis relative to the suture (proximal vs distal to the stitch) (Fig. 2). During this time, we used standard techniques including our clinical judgment and Doppler to evaluate graft perfusion for placement of the anastomosis. In addition to noting the site of a transition in perfusion by LAA if present, we also noted the proximal-most extent of the Doppler signal. We subsequently evaluated the outcome of these anastomoses by retrospectively reviewing the records of these patients. The study was approved by the University of Southern California institutional review board.\nRapid and bright perfusion of the entire gastric graft by LAA.\nA transition point is seen between rapid and bright versus slower, less robust perfusion (arrow). A suture is placed at the site of this transition point and if possible the anastomosis was placed proximal to this suture in an area of good perfusion by LAA.\n Laser-assisted Indocyanine Green Fluorescent-Dye Angiography The SPY Imaging System is designed to acquire fluorescence images. This is achieved using a fluorescent agent, indocyanine green (ICG), which upon intravascular administration is rapidly and extensively (>98%) bound to plasma proteins. The ICG is a sterile, water soluble, tricarbocyanine dye with a peak spectral absorption at 800 to 810 nm in blood. It is taken up by the liver and excreted unchanged into the bile. The plasma half-life of ICG is 3 to 5 minutes. The ICG is caused to fluoresce by illumination with a laser at 806 nm. The ICG molecules absorb the light, get “excited,” drop back to an “unexcited” state, and emit light in a longer wavelength. Fluorescence images of the GPU graft are acquired using a charge coupled device video camera, sensitive into the near infrared, and equipped with an edge filter to permit efficient transmission of fluorescent light (in the range 815–880 nm) while blocking laser and room light. The images are visible in real-time on a monitor and are captured to hard drive for analysis, future review, and archiving.\nThe SPY Imaging System is designed to acquire fluorescence images. This is achieved using a fluorescent agent, indocyanine green (ICG), which upon intravascular administration is rapidly and extensively (>98%) bound to plasma proteins. The ICG is a sterile, water soluble, tricarbocyanine dye with a peak spectral absorption at 800 to 810 nm in blood. It is taken up by the liver and excreted unchanged into the bile. The plasma half-life of ICG is 3 to 5 minutes. The ICG is caused to fluoresce by illumination with a laser at 806 nm. The ICG molecules absorb the light, get “excited,” drop back to an “unexcited” state, and emit light in a longer wavelength. Fluorescence images of the GPU graft are acquired using a charge coupled device video camera, sensitive into the near infrared, and equipped with an edge filter to permit efficient transmission of fluorescent light (in the range 815–880 nm) while blocking laser and room light. The images are visible in real-time on a monitor and are captured to hard drive for analysis, future review, and archiving.\n Safety of Indocyanine Green Indocyanine green (ICG) has been approved for use in humans and has been extensively used for determining cardiac output, hepatic function, liver blood flow, for ophthalmologic angiography, and during cardiac bypass and plastic and reconstructive surgery. The incidence of adverse reactions to ICG is low and most are mild (sore throat, feeling of warmth). Rare reports describe hypotension requiring treatment with epinephrine. Caution is recommended in patients with iodine or shellfish allergy.\nIndocyanine green (ICG) has been approved for use in humans and has been extensively used for determining cardiac output, hepatic function, liver blood flow, for ophthalmologic angiography, and during cardiac bypass and plastic and reconstructive surgery. The incidence of adverse reactions to ICG is low and most are mild (sore throat, feeling of warmth). Rare reports describe hypotension requiring treatment with epinephrine. Caution is recommended in patients with iodine or shellfish allergy.\n Surgical Procedure All patients underwent esophagectomy with a transhiatal, en bloc transthoracic, minimally invasive thoracoscopic/laparoscopic or vagal-sparing approach. The tubularized gastric graft was brought up through the posterior mediastinum and a handsewn single-layer cervical anastomosis onto the anterior wall of the gastric pull-up was performed in all patients.\nAll patients underwent esophagectomy with a transhiatal, en bloc transthoracic, minimally invasive thoracoscopic/laparoscopic or vagal-sparing approach. The tubularized gastric graft was brought up through the posterior mediastinum and a handsewn single-layer cervical anastomosis onto the anterior wall of the gastric pull-up was performed in all patients.\n Intraoperative Assessment of Graft Perfusion and Placement of the Anastomosis After creating a 3- to 4-cm wide gastric tube, but before bringing the graft up to the neck, the SPY system was used to assess graft perfusion. The time between gastric tube creation and LAA was approximately 15 minutes. Images were obtained beginning 5 seconds after intravenous central-line injection of 2.5 mg of ICG followed by a 5 mL flush of saline. This dose was recommended by Novadaq and provided excellent visualization of microperfusion in the gastric grafts. After LAA assessment of perfusion and placement of a suture, if a transition point was seen, the graft was brought up to the neck through the posterior mediastinum. The anastomosis was placed in a suitable area of the anterior wall of the gastric graft, and the location of the anastomosis relative to the suture, if present, was recorded in the operative note. An effort was always made to place the anastomosis proximal to the suture, in an area of good perfusion by LAA, but in patients where the anastomosis would not reach to a portion of stomach proximal to the suture it was placed at or distal to the suture.\nAfter creating a 3- to 4-cm wide gastric tube, but before bringing the graft up to the neck, the SPY system was used to assess graft perfusion. The time between gastric tube creation and LAA was approximately 15 minutes. Images were obtained beginning 5 seconds after intravenous central-line injection of 2.5 mg of ICG followed by a 5 mL flush of saline. This dose was recommended by Novadaq and provided excellent visualization of microperfusion in the gastric grafts. After LAA assessment of perfusion and placement of a suture, if a transition point was seen, the graft was brought up to the neck through the posterior mediastinum. The anastomosis was placed in a suitable area of the anterior wall of the gastric graft, and the location of the anastomosis relative to the suture, if present, was recorded in the operative note. An effort was always made to place the anastomosis proximal to the suture, in an area of good perfusion by LAA, but in patients where the anastomosis would not reach to a portion of stomach proximal to the suture it was placed at or distal to the suture.\n Assessment of Anastomotic Healing A videoesophagram was routinely obtained at 5 to 7 days postoperatively, and if there was evidence of a leak or abnormality, or when indicated by clinical deterioration of the patient, upper endoscopy was performed. If a leak was evident either by videoesophagram or by upper endoscopy, the patient was classified as having an anastomotic leak. Furthermore, for this study, the leak was defined as minor when conservative treatment with antibiotics or nil per os was sufficient to lead to healing and major when an intervention (endoscopic stenting) or reoperation was necessary.\nComorbidities and risk factors for poor anastomotic healing that were evaluated included cardiac disease, hypertension, diabetes, chronic obstructive pulmonary disease, current cigarette smoking, or alcohol abuse.\nA videoesophagram was routinely obtained at 5 to 7 days postoperatively, and if there was evidence of a leak or abnormality, or when indicated by clinical deterioration of the patient, upper endoscopy was performed. If a leak was evident either by videoesophagram or by upper endoscopy, the patient was classified as having an anastomotic leak. Furthermore, for this study, the leak was defined as minor when conservative treatment with antibiotics or nil per os was sufficient to lead to healing and major when an intervention (endoscopic stenting) or reoperation was necessary.\nComorbidities and risk factors for poor anastomotic healing that were evaluated included cardiac disease, hypertension, diabetes, chronic obstructive pulmonary disease, current cigarette smoking, or alcohol abuse.\n Statistical Analysis Data are expressed as medians and interquartile range. Comparisons of proportions were performed using the Fisher exact test. A P < 0.05 was considered significant. Univariate and multivariate analysis were performed using Prism software (GraphPad, La Jolla, CA).\nData are expressed as medians and interquartile range. Comparisons of proportions were performed using the Fisher exact test. A P < 0.05 was considered significant. Univariate and multivariate analysis were performed using Prism software (GraphPad, La Jolla, CA).", "The SPY Imaging System is designed to acquire fluorescence images. This is achieved using a fluorescent agent, indocyanine green (ICG), which upon intravascular administration is rapidly and extensively (>98%) bound to plasma proteins. The ICG is a sterile, water soluble, tricarbocyanine dye with a peak spectral absorption at 800 to 810 nm in blood. It is taken up by the liver and excreted unchanged into the bile. The plasma half-life of ICG is 3 to 5 minutes. The ICG is caused to fluoresce by illumination with a laser at 806 nm. The ICG molecules absorb the light, get “excited,” drop back to an “unexcited” state, and emit light in a longer wavelength. Fluorescence images of the GPU graft are acquired using a charge coupled device video camera, sensitive into the near infrared, and equipped with an edge filter to permit efficient transmission of fluorescent light (in the range 815–880 nm) while blocking laser and room light. The images are visible in real-time on a monitor and are captured to hard drive for analysis, future review, and archiving.", "Indocyanine green (ICG) has been approved for use in humans and has been extensively used for determining cardiac output, hepatic function, liver blood flow, for ophthalmologic angiography, and during cardiac bypass and plastic and reconstructive surgery. The incidence of adverse reactions to ICG is low and most are mild (sore throat, feeling of warmth). Rare reports describe hypotension requiring treatment with epinephrine. Caution is recommended in patients with iodine or shellfish allergy.", "After creating a 3- to 4-cm wide gastric tube, but before bringing the graft up to the neck, the SPY system was used to assess graft perfusion. The time between gastric tube creation and LAA was approximately 15 minutes. Images were obtained beginning 5 seconds after intravenous central-line injection of 2.5 mg of ICG followed by a 5 mL flush of saline. This dose was recommended by Novadaq and provided excellent visualization of microperfusion in the gastric grafts. After LAA assessment of perfusion and placement of a suture, if a transition point was seen, the graft was brought up to the neck through the posterior mediastinum. The anastomosis was placed in a suitable area of the anterior wall of the gastric graft, and the location of the anastomosis relative to the suture, if present, was recorded in the operative note. An effort was always made to place the anastomosis proximal to the suture, in an area of good perfusion by LAA, but in patients where the anastomosis would not reach to a portion of stomach proximal to the suture it was placed at or distal to the suture.", "A videoesophagram was routinely obtained at 5 to 7 days postoperatively, and if there was evidence of a leak or abnormality, or when indicated by clinical deterioration of the patient, upper endoscopy was performed. If a leak was evident either by videoesophagram or by upper endoscopy, the patient was classified as having an anastomotic leak. Furthermore, for this study, the leak was defined as minor when conservative treatment with antibiotics or nil per os was sufficient to lead to healing and major when an intervention (endoscopic stenting) or reoperation was necessary.\nComorbidities and risk factors for poor anastomotic healing that were evaluated included cardiac disease, hypertension, diabetes, chronic obstructive pulmonary disease, current cigarette smoking, or alcohol abuse.", "Data are expressed as medians and interquartile range. Comparisons of proportions were performed using the Fisher exact test. A P < 0.05 was considered significant. Univariate and multivariate analysis were performed using Prism software (GraphPad, La Jolla, CA)." ]
[ "methods", null, null, null, null, null ]
[ "METHODS", "Laser-assisted Indocyanine Green Fluorescent-Dye Angiography", "Safety of Indocyanine Green", "Surgical Procedure", "Intraoperative Assessment of Graft Perfusion and Placement of the Anastomosis", "Assessment of Anastomotic Healing", "Statistical Analysis", "RESULTS", "DISCUSSION", "CONCLUSIONS" ]
[ "After initially using intraoperative LAA on several esophagectomies with GPU we saw that perfusion in the tip of the gastric graft as assessed visibly with the SPY system was variable. In some patients, the entire graft showed rapid, bright perfusion by LAA (Fig. 1). Often, though, there was a point of demarcation where rapid and bright perfusion transitioned into slower and less robust perfusion. We prospectively decided to evaluate the utility of LAA by placing a suture at the site of this transition if present, and recording in the operative note the location of the anastomosis relative to the suture (proximal vs distal to the stitch) (Fig. 2). During this time, we used standard techniques including our clinical judgment and Doppler to evaluate graft perfusion for placement of the anastomosis. In addition to noting the site of a transition in perfusion by LAA if present, we also noted the proximal-most extent of the Doppler signal. We subsequently evaluated the outcome of these anastomoses by retrospectively reviewing the records of these patients. The study was approved by the University of Southern California institutional review board.\nRapid and bright perfusion of the entire gastric graft by LAA.\nA transition point is seen between rapid and bright versus slower, less robust perfusion (arrow). A suture is placed at the site of this transition point and if possible the anastomosis was placed proximal to this suture in an area of good perfusion by LAA.\n Laser-assisted Indocyanine Green Fluorescent-Dye Angiography The SPY Imaging System is designed to acquire fluorescence images. This is achieved using a fluorescent agent, indocyanine green (ICG), which upon intravascular administration is rapidly and extensively (>98%) bound to plasma proteins. The ICG is a sterile, water soluble, tricarbocyanine dye with a peak spectral absorption at 800 to 810 nm in blood. It is taken up by the liver and excreted unchanged into the bile. The plasma half-life of ICG is 3 to 5 minutes. The ICG is caused to fluoresce by illumination with a laser at 806 nm. The ICG molecules absorb the light, get “excited,” drop back to an “unexcited” state, and emit light in a longer wavelength. Fluorescence images of the GPU graft are acquired using a charge coupled device video camera, sensitive into the near infrared, and equipped with an edge filter to permit efficient transmission of fluorescent light (in the range 815–880 nm) while blocking laser and room light. The images are visible in real-time on a monitor and are captured to hard drive for analysis, future review, and archiving.\nThe SPY Imaging System is designed to acquire fluorescence images. This is achieved using a fluorescent agent, indocyanine green (ICG), which upon intravascular administration is rapidly and extensively (>98%) bound to plasma proteins. The ICG is a sterile, water soluble, tricarbocyanine dye with a peak spectral absorption at 800 to 810 nm in blood. It is taken up by the liver and excreted unchanged into the bile. The plasma half-life of ICG is 3 to 5 minutes. The ICG is caused to fluoresce by illumination with a laser at 806 nm. The ICG molecules absorb the light, get “excited,” drop back to an “unexcited” state, and emit light in a longer wavelength. Fluorescence images of the GPU graft are acquired using a charge coupled device video camera, sensitive into the near infrared, and equipped with an edge filter to permit efficient transmission of fluorescent light (in the range 815–880 nm) while blocking laser and room light. The images are visible in real-time on a monitor and are captured to hard drive for analysis, future review, and archiving.\n Safety of Indocyanine Green Indocyanine green (ICG) has been approved for use in humans and has been extensively used for determining cardiac output, hepatic function, liver blood flow, for ophthalmologic angiography, and during cardiac bypass and plastic and reconstructive surgery. The incidence of adverse reactions to ICG is low and most are mild (sore throat, feeling of warmth). Rare reports describe hypotension requiring treatment with epinephrine. Caution is recommended in patients with iodine or shellfish allergy.\nIndocyanine green (ICG) has been approved for use in humans and has been extensively used for determining cardiac output, hepatic function, liver blood flow, for ophthalmologic angiography, and during cardiac bypass and plastic and reconstructive surgery. The incidence of adverse reactions to ICG is low and most are mild (sore throat, feeling of warmth). Rare reports describe hypotension requiring treatment with epinephrine. Caution is recommended in patients with iodine or shellfish allergy.\n Surgical Procedure All patients underwent esophagectomy with a transhiatal, en bloc transthoracic, minimally invasive thoracoscopic/laparoscopic or vagal-sparing approach. The tubularized gastric graft was brought up through the posterior mediastinum and a handsewn single-layer cervical anastomosis onto the anterior wall of the gastric pull-up was performed in all patients.\nAll patients underwent esophagectomy with a transhiatal, en bloc transthoracic, minimally invasive thoracoscopic/laparoscopic or vagal-sparing approach. The tubularized gastric graft was brought up through the posterior mediastinum and a handsewn single-layer cervical anastomosis onto the anterior wall of the gastric pull-up was performed in all patients.\n Intraoperative Assessment of Graft Perfusion and Placement of the Anastomosis After creating a 3- to 4-cm wide gastric tube, but before bringing the graft up to the neck, the SPY system was used to assess graft perfusion. The time between gastric tube creation and LAA was approximately 15 minutes. Images were obtained beginning 5 seconds after intravenous central-line injection of 2.5 mg of ICG followed by a 5 mL flush of saline. This dose was recommended by Novadaq and provided excellent visualization of microperfusion in the gastric grafts. After LAA assessment of perfusion and placement of a suture, if a transition point was seen, the graft was brought up to the neck through the posterior mediastinum. The anastomosis was placed in a suitable area of the anterior wall of the gastric graft, and the location of the anastomosis relative to the suture, if present, was recorded in the operative note. An effort was always made to place the anastomosis proximal to the suture, in an area of good perfusion by LAA, but in patients where the anastomosis would not reach to a portion of stomach proximal to the suture it was placed at or distal to the suture.\nAfter creating a 3- to 4-cm wide gastric tube, but before bringing the graft up to the neck, the SPY system was used to assess graft perfusion. The time between gastric tube creation and LAA was approximately 15 minutes. Images were obtained beginning 5 seconds after intravenous central-line injection of 2.5 mg of ICG followed by a 5 mL flush of saline. This dose was recommended by Novadaq and provided excellent visualization of microperfusion in the gastric grafts. After LAA assessment of perfusion and placement of a suture, if a transition point was seen, the graft was brought up to the neck through the posterior mediastinum. The anastomosis was placed in a suitable area of the anterior wall of the gastric graft, and the location of the anastomosis relative to the suture, if present, was recorded in the operative note. An effort was always made to place the anastomosis proximal to the suture, in an area of good perfusion by LAA, but in patients where the anastomosis would not reach to a portion of stomach proximal to the suture it was placed at or distal to the suture.\n Assessment of Anastomotic Healing A videoesophagram was routinely obtained at 5 to 7 days postoperatively, and if there was evidence of a leak or abnormality, or when indicated by clinical deterioration of the patient, upper endoscopy was performed. If a leak was evident either by videoesophagram or by upper endoscopy, the patient was classified as having an anastomotic leak. Furthermore, for this study, the leak was defined as minor when conservative treatment with antibiotics or nil per os was sufficient to lead to healing and major when an intervention (endoscopic stenting) or reoperation was necessary.\nComorbidities and risk factors for poor anastomotic healing that were evaluated included cardiac disease, hypertension, diabetes, chronic obstructive pulmonary disease, current cigarette smoking, or alcohol abuse.\nA videoesophagram was routinely obtained at 5 to 7 days postoperatively, and if there was evidence of a leak or abnormality, or when indicated by clinical deterioration of the patient, upper endoscopy was performed. If a leak was evident either by videoesophagram or by upper endoscopy, the patient was classified as having an anastomotic leak. Furthermore, for this study, the leak was defined as minor when conservative treatment with antibiotics or nil per os was sufficient to lead to healing and major when an intervention (endoscopic stenting) or reoperation was necessary.\nComorbidities and risk factors for poor anastomotic healing that were evaluated included cardiac disease, hypertension, diabetes, chronic obstructive pulmonary disease, current cigarette smoking, or alcohol abuse.\n Statistical Analysis Data are expressed as medians and interquartile range. Comparisons of proportions were performed using the Fisher exact test. A P < 0.05 was considered significant. Univariate and multivariate analysis were performed using Prism software (GraphPad, La Jolla, CA).\nData are expressed as medians and interquartile range. Comparisons of proportions were performed using the Fisher exact test. A P < 0.05 was considered significant. Univariate and multivariate analysis were performed using Prism software (GraphPad, La Jolla, CA).", "The SPY Imaging System is designed to acquire fluorescence images. This is achieved using a fluorescent agent, indocyanine green (ICG), which upon intravascular administration is rapidly and extensively (>98%) bound to plasma proteins. The ICG is a sterile, water soluble, tricarbocyanine dye with a peak spectral absorption at 800 to 810 nm in blood. It is taken up by the liver and excreted unchanged into the bile. The plasma half-life of ICG is 3 to 5 minutes. The ICG is caused to fluoresce by illumination with a laser at 806 nm. The ICG molecules absorb the light, get “excited,” drop back to an “unexcited” state, and emit light in a longer wavelength. Fluorescence images of the GPU graft are acquired using a charge coupled device video camera, sensitive into the near infrared, and equipped with an edge filter to permit efficient transmission of fluorescent light (in the range 815–880 nm) while blocking laser and room light. The images are visible in real-time on a monitor and are captured to hard drive for analysis, future review, and archiving.", "Indocyanine green (ICG) has been approved for use in humans and has been extensively used for determining cardiac output, hepatic function, liver blood flow, for ophthalmologic angiography, and during cardiac bypass and plastic and reconstructive surgery. The incidence of adverse reactions to ICG is low and most are mild (sore throat, feeling of warmth). Rare reports describe hypotension requiring treatment with epinephrine. Caution is recommended in patients with iodine or shellfish allergy.", "All patients underwent esophagectomy with a transhiatal, en bloc transthoracic, minimally invasive thoracoscopic/laparoscopic or vagal-sparing approach. The tubularized gastric graft was brought up through the posterior mediastinum and a handsewn single-layer cervical anastomosis onto the anterior wall of the gastric pull-up was performed in all patients.", "After creating a 3- to 4-cm wide gastric tube, but before bringing the graft up to the neck, the SPY system was used to assess graft perfusion. The time between gastric tube creation and LAA was approximately 15 minutes. Images were obtained beginning 5 seconds after intravenous central-line injection of 2.5 mg of ICG followed by a 5 mL flush of saline. This dose was recommended by Novadaq and provided excellent visualization of microperfusion in the gastric grafts. After LAA assessment of perfusion and placement of a suture, if a transition point was seen, the graft was brought up to the neck through the posterior mediastinum. The anastomosis was placed in a suitable area of the anterior wall of the gastric graft, and the location of the anastomosis relative to the suture, if present, was recorded in the operative note. An effort was always made to place the anastomosis proximal to the suture, in an area of good perfusion by LAA, but in patients where the anastomosis would not reach to a portion of stomach proximal to the suture it was placed at or distal to the suture.", "A videoesophagram was routinely obtained at 5 to 7 days postoperatively, and if there was evidence of a leak or abnormality, or when indicated by clinical deterioration of the patient, upper endoscopy was performed. If a leak was evident either by videoesophagram or by upper endoscopy, the patient was classified as having an anastomotic leak. Furthermore, for this study, the leak was defined as minor when conservative treatment with antibiotics or nil per os was sufficient to lead to healing and major when an intervention (endoscopic stenting) or reoperation was necessary.\nComorbidities and risk factors for poor anastomotic healing that were evaluated included cardiac disease, hypertension, diabetes, chronic obstructive pulmonary disease, current cigarette smoking, or alcohol abuse.", "Data are expressed as medians and interquartile range. Comparisons of proportions were performed using the Fisher exact test. A P < 0.05 was considered significant. Univariate and multivariate analysis were performed using Prism software (GraphPad, La Jolla, CA).", "There were 150 consecutive patients that had intraoperative LAA assessment of perfusion during esophagectomy with GPU using the SPY system from March 2008 until July 2011. The median age of the patients was 66.7 years (interquartile range: 57–74). There were 125 men and 25 women. The indication for esophagectomy was cancer in 133 patients and end-stage benign disease in 17 patients. The type of esophagectomy was en bloc in 88 patients, transhiatal in 26, minimally invasive in 24 and vagal-sparing in 12 (open 10, laparoscopic 2). Major complications occurred in 22% and there was one mortality (Table 1). The median hospital stay in all patients was 14 days. The median hospital stay was significantly longer in patients with a leak (20 days with leak vs 13 days with no leak; P = 0.0096) and in those with a major versus a minor leak (40.5 days with a major leak vs 18 days with a minor leak, P = 0.0198).\n\nIntraoperative injection of ICG was well-tolerated by all patients with no adverse events or noticeable adverse effects. There were no technical difficulties and images were obtained in all patients. The entire graft was noted to have good perfusion in 66 of 150 patients (44%), whereas in 84 (66%) patients a line of demarcation was noted between rapid, bright perfusion and slower, less robust perfusion in the fundus of the gastric tube. In these 84 patients, the anastomosis was placed proximal to the stitch in 29 patients, at or distal to the stitch in 49 patients and in 6 patients no anastomosis was performed. These 6 patients all had significant comorbid conditions and poor perfusion by LAA in the area where the anastomosis was to be performed, and we elected to delay the reconstruction until ischemic conditioning led to better graft perfusion. In these patients, the graft was brought up to the neck and sutured to the sternocleidomastoid muscle as has been previously described.6 Subsequent reconstruction was done once the patient had satisfactorily recovered from the esophagectomy, usually at about 8 to 12 weeks.\nAnastomotic leaks occurred in 24 (16.7%) of the 144 patients who had an anastomosis and were classified as major in 8 and minor in 16 patients. Patients in whom the anastomosis was placed at or distal to the site of the suture were significantly more likely to have a leak compared with those in whom no suture was placed (entire graft well-perfused) or where the anastomosis was placed proximal to the transition point in an area of good perfusion by LAA (45% vs 2%, P < 0.0001) (Fig. 3). Similarly, major leaks were significantly more common when the anastomosis was not placed in an area of good perfusion by LAA (15% vs 0; P = 0.0002). Major leaks were treated with an endoscopic stent in 4 patients and reoperation with neck drainage in 4 patients. No patient required graft takedown. All leaks except 1 occurred in patients with cancer, and all patients with leaks had at least 1 comorbid condition. On univariate analysis, placement of the anastomosis at or distal to the suture and a history of hypertension were significantly associated with an anastomotic leak (Table 2). By multivariate analysis, anastomotic placement at or distal to the suture was the only significant factor associated with a leak.\nThe frequency of major and minor leaks in patients where the anastomosis was placed in an area of good perfusion by LAA [either entire graft with good perfusion (n = 66) or anastomosis placed proximal to suture at site of transition (n = 29)] versus those patients that had an anastomosis placed at or distal to the site of the suture at the transition point (n = 49) (2% vs 45%, P < 0.0001).", "Adequate perfusion is a prerequisite for reliable healing of a gastrointestinal anastomosis. One of the most tenuous anastomoses in all of gastrointestinal surgery is the cervical esophagogastric anastomosis during esophagectomy with gastric reconstruction. Leaks are reported in 20% to 35% of these patients and are a major source of short- and long-term morbidity and occasionally mortality.7 Intraoperative assessment of gastric graft perfusion has typically been on the basis of color, temperature, and Doppler signal. A bluish color and cool temperature are unsettling but lack specificity, and although the Doppler is good for gross perfusion, it is unreliable for microperfusion. Seldom is there a discernible Doppler signal beyond about two thirds the way up the greater curvature of the gastric tube and thus the Doppler is not useful to assess perfusion in the area where the anastomosis is likely to be performed in most patients. In this study, we found that the Doppler signal always disappeared proximal to the site of demarcation by LAA (if present) and could not differentiate grafts with complete microperfusion to the tip versus those with a zone of demarcation as seen using the SPY technology (data not shown).\nWe started using the SPY system to see if it would provide real-time information about perfusion, particularly microperfusion, that could be useful to assess gastric grafts during esophagectomy. Because we were uncertain of the significance of perfusion as visually assessed with the SPY system, we decided to place a stitch if there was a transition by LAA between fast and bright versus slower and less robust perfusion. We found that an anastomosis was unlikely to leak in patients with no transition point or when it was placed proximal to the transition point when present, in an area of good LAA perfusion. The leaks that occurred in these patients were all minor and healed with conservative therapy. In contrast, 45% of patients with an anastomosis placed at or distal to the stitch, in an area of slower and less robust perfusion by LAA, had an anastomotic leak. Furthermore, 36% of these leaks were major leaks that required an intervention.\nThere are several important issues in relation to this finding. First, when perfusion to the site of the planned anastomosis was good by LAA leaks were unlikely and minor if they occurred. These patients may be considered for fast tracking or elimination of a barium swallow in the absence of any clinical suggestion of a leak. In contrast, when the anastomosis had to be placed at or distal to a transition point in perfusion by LAA, a leak will develop in almost one-half of the patients, and some of these leaks will require an intervention. These patients should be monitored closely and evaluated promptly for any evidence of clinical deterioration. Furthermore, in these patients, planned graft evaluation with an upper endoscopy at 5 to 7 days after reconstruction may be useful to address a leak before it becomes clinically significant. We have previously shown the safety and efficacy of early endoscopy after esophagectomy and reconstruction.8 It is important to recognize that in these patients with an anastomosis at or distal to the transition site healing without leak occurred in more than half of the patients. Therefore, when faced with this situation factors such as the patient's ability to tolerate a leak should be taken into consideration.\nIf there were no intraoperative options then defining perfusion with the SPY system would be informative for postoperative care but would not be clinically useful at the time of the operation. However, since understanding the implications of putting the anastomosis in an area of less robust perfusion, we now will alter our operative plan in patients at high risk for doing poorly with a leak. These patients include those with significant comorbid conditions or very elderly patients who tend to have little reserve for major complications. In this series, we had 6 such patients in whom we elected to delay the reconstruction. With this technique, the graft is left in the neck but no anastomosis is performed. Over several weeks, ischemic conditioning leads to improved perfusion in the graft and the subsequent anastomosis typically heals reliably in these patients.6,9 Alternatively, in some cases, we will now resect a portion of the manubrium and first rib and place the anastomosis proximal to the stitch either with the graft in the posterior mediastinum or in a substernal location. Using this strategy, we can assess the risk for anastomotic leak and tailor the operative plan as necessary when the perfusion by LAA or condition of the patient indicates it appropriate to do so.\nIn an effort to further refine assessment of perfusion and to move from qualitative to quantitative assessment, the SPY-Q system has been introduced (Fig. 4). Efforts are underway to define a threshold of perfusion below which the majority of anastomoses will not heal. In this way, the risk of anastomotic leak can be defined even more precisely and operative decisions tailored more specifically for an individual patient. Since gaining confidence with the SPY system, we have expanded use of LAA to all types of reconstruction after esophagectomy including colon and jejunal grafts and have found it equally useful to evaluate perfusion in these grafts. Furthermore, the recent introduction of the Pinpoint (Novadaq Ontario, Canada) and Firefly (Intuitive Surgical, Sunnyvale, CA) systems allow LAA perfusion assessment during minimally invasive and robotic procedures.\nPerfusion by LAA shown in (A) qualitative mode versus (B) with quantitative (SPY-Q) overlay.\nA limitation of this study is that the evaluation of the SPY images is largely qualitative at this point, and as we have gained experience with the images and perfusion implications we undoubtedly altered our practice, which may have impacted the results of this retrospective review. However, if anything these alterations would likely have led to a reduced rate of leaks since with experience, we began making even greater efforts to place the anastomosis proximal to the suture or alter the surgical plan. Furthermore, our overall small number of leaks prohibited an evaluation of the impact of operative approach on anastomotic healing and likely masked the role of important comorbid conditions that contribute to leaks.", "Perfusion is critical for anastomotic healing after esophagectomy and gastric pull-up. Intraoperative real-time assessment of perfusion with LAA correlated with the likelihood of an anastomotic leak, and the cervical anastomotic leak rate was trivial when the anastomosis was placed in an area of the graft shown to have good perfusion. The use of LAA during esophagectomy with gastric pull-up may lead to an altered surgical plan in some patients and contribute to reduced anastomotic morbidity and better overall patient outcomes." ]
[ "methods", null, null, "methods", null, null, null, "results", "discussion", "conclusions" ]
[ "anastomotic leak", "esophageal resection", "esophagectomy", "gastric pullup", "graft perfusion" ]
METHODS: After initially using intraoperative LAA on several esophagectomies with GPU we saw that perfusion in the tip of the gastric graft as assessed visibly with the SPY system was variable. In some patients, the entire graft showed rapid, bright perfusion by LAA (Fig. 1). Often, though, there was a point of demarcation where rapid and bright perfusion transitioned into slower and less robust perfusion. We prospectively decided to evaluate the utility of LAA by placing a suture at the site of this transition if present, and recording in the operative note the location of the anastomosis relative to the suture (proximal vs distal to the stitch) (Fig. 2). During this time, we used standard techniques including our clinical judgment and Doppler to evaluate graft perfusion for placement of the anastomosis. In addition to noting the site of a transition in perfusion by LAA if present, we also noted the proximal-most extent of the Doppler signal. We subsequently evaluated the outcome of these anastomoses by retrospectively reviewing the records of these patients. The study was approved by the University of Southern California institutional review board. Rapid and bright perfusion of the entire gastric graft by LAA. A transition point is seen between rapid and bright versus slower, less robust perfusion (arrow). A suture is placed at the site of this transition point and if possible the anastomosis was placed proximal to this suture in an area of good perfusion by LAA. Laser-assisted Indocyanine Green Fluorescent-Dye Angiography The SPY Imaging System is designed to acquire fluorescence images. This is achieved using a fluorescent agent, indocyanine green (ICG), which upon intravascular administration is rapidly and extensively (>98%) bound to plasma proteins. The ICG is a sterile, water soluble, tricarbocyanine dye with a peak spectral absorption at 800 to 810 nm in blood. It is taken up by the liver and excreted unchanged into the bile. The plasma half-life of ICG is 3 to 5 minutes. The ICG is caused to fluoresce by illumination with a laser at 806 nm. The ICG molecules absorb the light, get “excited,” drop back to an “unexcited” state, and emit light in a longer wavelength. Fluorescence images of the GPU graft are acquired using a charge coupled device video camera, sensitive into the near infrared, and equipped with an edge filter to permit efficient transmission of fluorescent light (in the range 815–880 nm) while blocking laser and room light. The images are visible in real-time on a monitor and are captured to hard drive for analysis, future review, and archiving. The SPY Imaging System is designed to acquire fluorescence images. This is achieved using a fluorescent agent, indocyanine green (ICG), which upon intravascular administration is rapidly and extensively (>98%) bound to plasma proteins. The ICG is a sterile, water soluble, tricarbocyanine dye with a peak spectral absorption at 800 to 810 nm in blood. It is taken up by the liver and excreted unchanged into the bile. The plasma half-life of ICG is 3 to 5 minutes. The ICG is caused to fluoresce by illumination with a laser at 806 nm. The ICG molecules absorb the light, get “excited,” drop back to an “unexcited” state, and emit light in a longer wavelength. Fluorescence images of the GPU graft are acquired using a charge coupled device video camera, sensitive into the near infrared, and equipped with an edge filter to permit efficient transmission of fluorescent light (in the range 815–880 nm) while blocking laser and room light. The images are visible in real-time on a monitor and are captured to hard drive for analysis, future review, and archiving. Safety of Indocyanine Green Indocyanine green (ICG) has been approved for use in humans and has been extensively used for determining cardiac output, hepatic function, liver blood flow, for ophthalmologic angiography, and during cardiac bypass and plastic and reconstructive surgery. The incidence of adverse reactions to ICG is low and most are mild (sore throat, feeling of warmth). Rare reports describe hypotension requiring treatment with epinephrine. Caution is recommended in patients with iodine or shellfish allergy. Indocyanine green (ICG) has been approved for use in humans and has been extensively used for determining cardiac output, hepatic function, liver blood flow, for ophthalmologic angiography, and during cardiac bypass and plastic and reconstructive surgery. The incidence of adverse reactions to ICG is low and most are mild (sore throat, feeling of warmth). Rare reports describe hypotension requiring treatment with epinephrine. Caution is recommended in patients with iodine or shellfish allergy. Surgical Procedure All patients underwent esophagectomy with a transhiatal, en bloc transthoracic, minimally invasive thoracoscopic/laparoscopic or vagal-sparing approach. The tubularized gastric graft was brought up through the posterior mediastinum and a handsewn single-layer cervical anastomosis onto the anterior wall of the gastric pull-up was performed in all patients. All patients underwent esophagectomy with a transhiatal, en bloc transthoracic, minimally invasive thoracoscopic/laparoscopic or vagal-sparing approach. The tubularized gastric graft was brought up through the posterior mediastinum and a handsewn single-layer cervical anastomosis onto the anterior wall of the gastric pull-up was performed in all patients. Intraoperative Assessment of Graft Perfusion and Placement of the Anastomosis After creating a 3- to 4-cm wide gastric tube, but before bringing the graft up to the neck, the SPY system was used to assess graft perfusion. The time between gastric tube creation and LAA was approximately 15 minutes. Images were obtained beginning 5 seconds after intravenous central-line injection of 2.5 mg of ICG followed by a 5 mL flush of saline. This dose was recommended by Novadaq and provided excellent visualization of microperfusion in the gastric grafts. After LAA assessment of perfusion and placement of a suture, if a transition point was seen, the graft was brought up to the neck through the posterior mediastinum. The anastomosis was placed in a suitable area of the anterior wall of the gastric graft, and the location of the anastomosis relative to the suture, if present, was recorded in the operative note. An effort was always made to place the anastomosis proximal to the suture, in an area of good perfusion by LAA, but in patients where the anastomosis would not reach to a portion of stomach proximal to the suture it was placed at or distal to the suture. After creating a 3- to 4-cm wide gastric tube, but before bringing the graft up to the neck, the SPY system was used to assess graft perfusion. The time between gastric tube creation and LAA was approximately 15 minutes. Images were obtained beginning 5 seconds after intravenous central-line injection of 2.5 mg of ICG followed by a 5 mL flush of saline. This dose was recommended by Novadaq and provided excellent visualization of microperfusion in the gastric grafts. After LAA assessment of perfusion and placement of a suture, if a transition point was seen, the graft was brought up to the neck through the posterior mediastinum. The anastomosis was placed in a suitable area of the anterior wall of the gastric graft, and the location of the anastomosis relative to the suture, if present, was recorded in the operative note. An effort was always made to place the anastomosis proximal to the suture, in an area of good perfusion by LAA, but in patients where the anastomosis would not reach to a portion of stomach proximal to the suture it was placed at or distal to the suture. Assessment of Anastomotic Healing A videoesophagram was routinely obtained at 5 to 7 days postoperatively, and if there was evidence of a leak or abnormality, or when indicated by clinical deterioration of the patient, upper endoscopy was performed. If a leak was evident either by videoesophagram or by upper endoscopy, the patient was classified as having an anastomotic leak. Furthermore, for this study, the leak was defined as minor when conservative treatment with antibiotics or nil per os was sufficient to lead to healing and major when an intervention (endoscopic stenting) or reoperation was necessary. Comorbidities and risk factors for poor anastomotic healing that were evaluated included cardiac disease, hypertension, diabetes, chronic obstructive pulmonary disease, current cigarette smoking, or alcohol abuse. A videoesophagram was routinely obtained at 5 to 7 days postoperatively, and if there was evidence of a leak or abnormality, or when indicated by clinical deterioration of the patient, upper endoscopy was performed. If a leak was evident either by videoesophagram or by upper endoscopy, the patient was classified as having an anastomotic leak. Furthermore, for this study, the leak was defined as minor when conservative treatment with antibiotics or nil per os was sufficient to lead to healing and major when an intervention (endoscopic stenting) or reoperation was necessary. Comorbidities and risk factors for poor anastomotic healing that were evaluated included cardiac disease, hypertension, diabetes, chronic obstructive pulmonary disease, current cigarette smoking, or alcohol abuse. Statistical Analysis Data are expressed as medians and interquartile range. Comparisons of proportions were performed using the Fisher exact test. A P < 0.05 was considered significant. Univariate and multivariate analysis were performed using Prism software (GraphPad, La Jolla, CA). Data are expressed as medians and interquartile range. Comparisons of proportions were performed using the Fisher exact test. A P < 0.05 was considered significant. Univariate and multivariate analysis were performed using Prism software (GraphPad, La Jolla, CA). Laser-assisted Indocyanine Green Fluorescent-Dye Angiography: The SPY Imaging System is designed to acquire fluorescence images. This is achieved using a fluorescent agent, indocyanine green (ICG), which upon intravascular administration is rapidly and extensively (>98%) bound to plasma proteins. The ICG is a sterile, water soluble, tricarbocyanine dye with a peak spectral absorption at 800 to 810 nm in blood. It is taken up by the liver and excreted unchanged into the bile. The plasma half-life of ICG is 3 to 5 minutes. The ICG is caused to fluoresce by illumination with a laser at 806 nm. The ICG molecules absorb the light, get “excited,” drop back to an “unexcited” state, and emit light in a longer wavelength. Fluorescence images of the GPU graft are acquired using a charge coupled device video camera, sensitive into the near infrared, and equipped with an edge filter to permit efficient transmission of fluorescent light (in the range 815–880 nm) while blocking laser and room light. The images are visible in real-time on a monitor and are captured to hard drive for analysis, future review, and archiving. Safety of Indocyanine Green: Indocyanine green (ICG) has been approved for use in humans and has been extensively used for determining cardiac output, hepatic function, liver blood flow, for ophthalmologic angiography, and during cardiac bypass and plastic and reconstructive surgery. The incidence of adverse reactions to ICG is low and most are mild (sore throat, feeling of warmth). Rare reports describe hypotension requiring treatment with epinephrine. Caution is recommended in patients with iodine or shellfish allergy. Surgical Procedure: All patients underwent esophagectomy with a transhiatal, en bloc transthoracic, minimally invasive thoracoscopic/laparoscopic or vagal-sparing approach. The tubularized gastric graft was brought up through the posterior mediastinum and a handsewn single-layer cervical anastomosis onto the anterior wall of the gastric pull-up was performed in all patients. Intraoperative Assessment of Graft Perfusion and Placement of the Anastomosis: After creating a 3- to 4-cm wide gastric tube, but before bringing the graft up to the neck, the SPY system was used to assess graft perfusion. The time between gastric tube creation and LAA was approximately 15 minutes. Images were obtained beginning 5 seconds after intravenous central-line injection of 2.5 mg of ICG followed by a 5 mL flush of saline. This dose was recommended by Novadaq and provided excellent visualization of microperfusion in the gastric grafts. After LAA assessment of perfusion and placement of a suture, if a transition point was seen, the graft was brought up to the neck through the posterior mediastinum. The anastomosis was placed in a suitable area of the anterior wall of the gastric graft, and the location of the anastomosis relative to the suture, if present, was recorded in the operative note. An effort was always made to place the anastomosis proximal to the suture, in an area of good perfusion by LAA, but in patients where the anastomosis would not reach to a portion of stomach proximal to the suture it was placed at or distal to the suture. Assessment of Anastomotic Healing: A videoesophagram was routinely obtained at 5 to 7 days postoperatively, and if there was evidence of a leak or abnormality, or when indicated by clinical deterioration of the patient, upper endoscopy was performed. If a leak was evident either by videoesophagram or by upper endoscopy, the patient was classified as having an anastomotic leak. Furthermore, for this study, the leak was defined as minor when conservative treatment with antibiotics or nil per os was sufficient to lead to healing and major when an intervention (endoscopic stenting) or reoperation was necessary. Comorbidities and risk factors for poor anastomotic healing that were evaluated included cardiac disease, hypertension, diabetes, chronic obstructive pulmonary disease, current cigarette smoking, or alcohol abuse. Statistical Analysis: Data are expressed as medians and interquartile range. Comparisons of proportions were performed using the Fisher exact test. A P < 0.05 was considered significant. Univariate and multivariate analysis were performed using Prism software (GraphPad, La Jolla, CA). RESULTS: There were 150 consecutive patients that had intraoperative LAA assessment of perfusion during esophagectomy with GPU using the SPY system from March 2008 until July 2011. The median age of the patients was 66.7 years (interquartile range: 57–74). There were 125 men and 25 women. The indication for esophagectomy was cancer in 133 patients and end-stage benign disease in 17 patients. The type of esophagectomy was en bloc in 88 patients, transhiatal in 26, minimally invasive in 24 and vagal-sparing in 12 (open 10, laparoscopic 2). Major complications occurred in 22% and there was one mortality (Table 1). The median hospital stay in all patients was 14 days. The median hospital stay was significantly longer in patients with a leak (20 days with leak vs 13 days with no leak; P = 0.0096) and in those with a major versus a minor leak (40.5 days with a major leak vs 18 days with a minor leak, P = 0.0198). Intraoperative injection of ICG was well-tolerated by all patients with no adverse events or noticeable adverse effects. There were no technical difficulties and images were obtained in all patients. The entire graft was noted to have good perfusion in 66 of 150 patients (44%), whereas in 84 (66%) patients a line of demarcation was noted between rapid, bright perfusion and slower, less robust perfusion in the fundus of the gastric tube. In these 84 patients, the anastomosis was placed proximal to the stitch in 29 patients, at or distal to the stitch in 49 patients and in 6 patients no anastomosis was performed. These 6 patients all had significant comorbid conditions and poor perfusion by LAA in the area where the anastomosis was to be performed, and we elected to delay the reconstruction until ischemic conditioning led to better graft perfusion. In these patients, the graft was brought up to the neck and sutured to the sternocleidomastoid muscle as has been previously described.6 Subsequent reconstruction was done once the patient had satisfactorily recovered from the esophagectomy, usually at about 8 to 12 weeks. Anastomotic leaks occurred in 24 (16.7%) of the 144 patients who had an anastomosis and were classified as major in 8 and minor in 16 patients. Patients in whom the anastomosis was placed at or distal to the site of the suture were significantly more likely to have a leak compared with those in whom no suture was placed (entire graft well-perfused) or where the anastomosis was placed proximal to the transition point in an area of good perfusion by LAA (45% vs 2%, P < 0.0001) (Fig. 3). Similarly, major leaks were significantly more common when the anastomosis was not placed in an area of good perfusion by LAA (15% vs 0; P = 0.0002). Major leaks were treated with an endoscopic stent in 4 patients and reoperation with neck drainage in 4 patients. No patient required graft takedown. All leaks except 1 occurred in patients with cancer, and all patients with leaks had at least 1 comorbid condition. On univariate analysis, placement of the anastomosis at or distal to the suture and a history of hypertension were significantly associated with an anastomotic leak (Table 2). By multivariate analysis, anastomotic placement at or distal to the suture was the only significant factor associated with a leak. The frequency of major and minor leaks in patients where the anastomosis was placed in an area of good perfusion by LAA [either entire graft with good perfusion (n = 66) or anastomosis placed proximal to suture at site of transition (n = 29)] versus those patients that had an anastomosis placed at or distal to the site of the suture at the transition point (n = 49) (2% vs 45%, P < 0.0001). DISCUSSION: Adequate perfusion is a prerequisite for reliable healing of a gastrointestinal anastomosis. One of the most tenuous anastomoses in all of gastrointestinal surgery is the cervical esophagogastric anastomosis during esophagectomy with gastric reconstruction. Leaks are reported in 20% to 35% of these patients and are a major source of short- and long-term morbidity and occasionally mortality.7 Intraoperative assessment of gastric graft perfusion has typically been on the basis of color, temperature, and Doppler signal. A bluish color and cool temperature are unsettling but lack specificity, and although the Doppler is good for gross perfusion, it is unreliable for microperfusion. Seldom is there a discernible Doppler signal beyond about two thirds the way up the greater curvature of the gastric tube and thus the Doppler is not useful to assess perfusion in the area where the anastomosis is likely to be performed in most patients. In this study, we found that the Doppler signal always disappeared proximal to the site of demarcation by LAA (if present) and could not differentiate grafts with complete microperfusion to the tip versus those with a zone of demarcation as seen using the SPY technology (data not shown). We started using the SPY system to see if it would provide real-time information about perfusion, particularly microperfusion, that could be useful to assess gastric grafts during esophagectomy. Because we were uncertain of the significance of perfusion as visually assessed with the SPY system, we decided to place a stitch if there was a transition by LAA between fast and bright versus slower and less robust perfusion. We found that an anastomosis was unlikely to leak in patients with no transition point or when it was placed proximal to the transition point when present, in an area of good LAA perfusion. The leaks that occurred in these patients were all minor and healed with conservative therapy. In contrast, 45% of patients with an anastomosis placed at or distal to the stitch, in an area of slower and less robust perfusion by LAA, had an anastomotic leak. Furthermore, 36% of these leaks were major leaks that required an intervention. There are several important issues in relation to this finding. First, when perfusion to the site of the planned anastomosis was good by LAA leaks were unlikely and minor if they occurred. These patients may be considered for fast tracking or elimination of a barium swallow in the absence of any clinical suggestion of a leak. In contrast, when the anastomosis had to be placed at or distal to a transition point in perfusion by LAA, a leak will develop in almost one-half of the patients, and some of these leaks will require an intervention. These patients should be monitored closely and evaluated promptly for any evidence of clinical deterioration. Furthermore, in these patients, planned graft evaluation with an upper endoscopy at 5 to 7 days after reconstruction may be useful to address a leak before it becomes clinically significant. We have previously shown the safety and efficacy of early endoscopy after esophagectomy and reconstruction.8 It is important to recognize that in these patients with an anastomosis at or distal to the transition site healing without leak occurred in more than half of the patients. Therefore, when faced with this situation factors such as the patient's ability to tolerate a leak should be taken into consideration. If there were no intraoperative options then defining perfusion with the SPY system would be informative for postoperative care but would not be clinically useful at the time of the operation. However, since understanding the implications of putting the anastomosis in an area of less robust perfusion, we now will alter our operative plan in patients at high risk for doing poorly with a leak. These patients include those with significant comorbid conditions or very elderly patients who tend to have little reserve for major complications. In this series, we had 6 such patients in whom we elected to delay the reconstruction. With this technique, the graft is left in the neck but no anastomosis is performed. Over several weeks, ischemic conditioning leads to improved perfusion in the graft and the subsequent anastomosis typically heals reliably in these patients.6,9 Alternatively, in some cases, we will now resect a portion of the manubrium and first rib and place the anastomosis proximal to the stitch either with the graft in the posterior mediastinum or in a substernal location. Using this strategy, we can assess the risk for anastomotic leak and tailor the operative plan as necessary when the perfusion by LAA or condition of the patient indicates it appropriate to do so. In an effort to further refine assessment of perfusion and to move from qualitative to quantitative assessment, the SPY-Q system has been introduced (Fig. 4). Efforts are underway to define a threshold of perfusion below which the majority of anastomoses will not heal. In this way, the risk of anastomotic leak can be defined even more precisely and operative decisions tailored more specifically for an individual patient. Since gaining confidence with the SPY system, we have expanded use of LAA to all types of reconstruction after esophagectomy including colon and jejunal grafts and have found it equally useful to evaluate perfusion in these grafts. Furthermore, the recent introduction of the Pinpoint (Novadaq Ontario, Canada) and Firefly (Intuitive Surgical, Sunnyvale, CA) systems allow LAA perfusion assessment during minimally invasive and robotic procedures. Perfusion by LAA shown in (A) qualitative mode versus (B) with quantitative (SPY-Q) overlay. A limitation of this study is that the evaluation of the SPY images is largely qualitative at this point, and as we have gained experience with the images and perfusion implications we undoubtedly altered our practice, which may have impacted the results of this retrospective review. However, if anything these alterations would likely have led to a reduced rate of leaks since with experience, we began making even greater efforts to place the anastomosis proximal to the suture or alter the surgical plan. Furthermore, our overall small number of leaks prohibited an evaluation of the impact of operative approach on anastomotic healing and likely masked the role of important comorbid conditions that contribute to leaks. CONCLUSIONS: Perfusion is critical for anastomotic healing after esophagectomy and gastric pull-up. Intraoperative real-time assessment of perfusion with LAA correlated with the likelihood of an anastomotic leak, and the cervical anastomotic leak rate was trivial when the anastomosis was placed in an area of the graft shown to have good perfusion. The use of LAA during esophagectomy with gastric pull-up may lead to an altered surgical plan in some patients and contribute to reduced anastomotic morbidity and better overall patient outcomes.
Background: Anastomotic leaks are a major source of morbidity after esophagectomy with gastric pull-up (GPU). In large part, they occur as a consequence of poor perfusion in the gastric graft. Methods: Real-time intraoperative perfusion was assessed using LAA before bringing the graft up through the mediastinum. When there was a transition from rapid and bright to slow and less robust perfusion, this site was marked with a suture. The location of the anastomosis relative to the suture was noted and the outcome of the anastomosis ascertained by retrospective record review. Results: Intraoperative LAA was used to assess graft perfusion in 150 consecutive patients undergoing esophagectomy with planned GPU reconstruction. An esophagogastric anastomosis was performed in 144 patients. A leak was found in 24 patients (16.7%) and were significantly less likely when the anastomosis was placed in an area of good perfusion compared with when the anastomosis was placed in an area of less robust perfusion by LAA (2% vs 45%, P < 0.0001). By multivariate analysis perfusion at the site of the anastomosis was the only significant factor associated with a leak. Conclusions: Intraoperative real-time assessment of perfusion with LAA correlated with the likelihood of an anastomotic leak and confirmed the critical relationship between good perfusion and anastomotic healing. The use of LAA may contribute to reduced anastomotic morbidity.
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4,576
259
[ 1812, 213, 85, 208, 135, 46 ]
10
[ "patients", "perfusion", "anastomosis", "graft", "leak", "laa", "gastric", "suture", "icg", "placed" ]
[ "anastomosis esophagectomy gastric", "perfusion laa anastomotic", "gastric grafts laa", "evaluated outcome anastomoses", "perfusion placement anastomosis" ]
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[CONTENT] anastomotic leak | esophageal resection | esophagectomy | gastric pullup | graft perfusion [SUMMARY]
[CONTENT] anastomotic leak | esophageal resection | esophagectomy | gastric pullup | graft perfusion [SUMMARY]
[CONTENT] anastomotic leak | esophageal resection | esophagectomy | gastric pullup | graft perfusion [SUMMARY]
[CONTENT] anastomotic leak | esophageal resection | esophagectomy | gastric pullup | graft perfusion [SUMMARY]
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[CONTENT] Aged | Anastomosis, Surgical | Anastomotic Leak | Esophageal Diseases | Esophagectomy | Female | Fluorescein Angiography | Humans | Intraoperative Period | Lasers | Male | Middle Aged | Stomach [SUMMARY]
[CONTENT] Aged | Anastomosis, Surgical | Anastomotic Leak | Esophageal Diseases | Esophagectomy | Female | Fluorescein Angiography | Humans | Intraoperative Period | Lasers | Male | Middle Aged | Stomach [SUMMARY]
[CONTENT] Aged | Anastomosis, Surgical | Anastomotic Leak | Esophageal Diseases | Esophagectomy | Female | Fluorescein Angiography | Humans | Intraoperative Period | Lasers | Male | Middle Aged | Stomach [SUMMARY]
[CONTENT] Aged | Anastomosis, Surgical | Anastomotic Leak | Esophageal Diseases | Esophagectomy | Female | Fluorescein Angiography | Humans | Intraoperative Period | Lasers | Male | Middle Aged | Stomach [SUMMARY]
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[CONTENT] anastomosis esophagectomy gastric | perfusion laa anastomotic | gastric grafts laa | evaluated outcome anastomoses | perfusion placement anastomosis [SUMMARY]
[CONTENT] anastomosis esophagectomy gastric | perfusion laa anastomotic | gastric grafts laa | evaluated outcome anastomoses | perfusion placement anastomosis [SUMMARY]
[CONTENT] anastomosis esophagectomy gastric | perfusion laa anastomotic | gastric grafts laa | evaluated outcome anastomoses | perfusion placement anastomosis [SUMMARY]
[CONTENT] anastomosis esophagectomy gastric | perfusion laa anastomotic | gastric grafts laa | evaluated outcome anastomoses | perfusion placement anastomosis [SUMMARY]
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[CONTENT] patients | perfusion | anastomosis | graft | leak | laa | gastric | suture | icg | placed [SUMMARY]
[CONTENT] patients | perfusion | anastomosis | graft | leak | laa | gastric | suture | icg | placed [SUMMARY]
[CONTENT] patients | perfusion | anastomosis | graft | leak | laa | gastric | suture | icg | placed [SUMMARY]
[CONTENT] patients | perfusion | anastomosis | graft | leak | laa | gastric | suture | icg | placed [SUMMARY]
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[CONTENT] gastric | patients | patients underwent | brought posterior mediastinum handsewn | single layer | patients underwent esophagectomy | patients underwent esophagectomy transhiatal | brought posterior | brought posterior mediastinum | sparing approach tubularized gastric [SUMMARY]
[CONTENT] patients | perfusion | anastomosis | leak | leaks | placed | major | vs | anastomosis placed | significantly [SUMMARY]
[CONTENT] anastomotic | esophagectomy gastric pull | perfusion | esophagectomy gastric | gastric pull | pull | esophagectomy | laa | leak | anastomotic leak [SUMMARY]
[CONTENT] perfusion | patients | anastomosis | leak | gastric | laa | graft | icg | suture | anastomotic [SUMMARY]
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[CONTENT] LAA ||| ||| [SUMMARY]
[CONTENT] Intraoperative LAA | 150 | GPU ||| 144 ||| 24 | 16.7% | LAA | 2% | 45% | P < 0.0001 ||| [SUMMARY]
[CONTENT] LAA ||| LAA [SUMMARY]
[CONTENT] GPU ||| ||| LAA ||| ||| ||| 150 | GPU ||| 144 ||| 24 | 16.7% | LAA | 2% | 45% | P < 0.0001 ||| ||| LAA ||| LAA [SUMMARY]
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Therapeutic Effect of Mitochondrial Division Inhibitor-1 (Mdivi-1) on Hyperglycemia-Exacerbated Early and Delayed Brain Injuries after Experimental Subarachnoid Hemorrhage.
35805932
Neurological deficits following subarachnoid hemorrhage (SAH) are caused by early or delayed brain injuries. Our previous studies have demonstrated that hyperglycemia induces profound neuronal apoptosis of the cerebral cortex. Morphologically, we found that hyperglycemia exacerbated late vasospasm following SAH. Thus, our previous studies strongly suggest that post-SAH hyperglycemia is not only a response to primary insult, but also an aggravating factor for brain injuries. In addition, mitochondrial fusion and fission are vital to maintaining cellular functions. Current evidence also shows that the suppression of mitochondrial fission alleviates brain injuries after experimental SAH. Hence, this study aimed to determine the effects of mitochondrial dynamic modulation in hyperglycemia-related worse SAH neurological prognosis.
BACKGROUND
In vitro, we employed an enzyme-linked immunosorbent assay (ELISA) to detect the effect of mitochondrial division inhibitor-1 (Mdivi-1) on lipopolysaccharide (LPS)-induced BV-2 cells releasing inflammatory factors. In vivo, we produced hyperglycemic rats via intraperitoneal streptozotocin (STZ) injections. Hyperglycemia was confirmed using blood-glucose measurements (&gt;300 mg/dL) 7 days after the STZ injection. The rodent model of SAH, in which fresh blood was instilled into the craniocervical junction, was used 7 days after STZ administration. We investigated the mechanism and effect of Mdivi-1, a selective inhibitor of dynamin-related protein (Drp1) to downregulate mitochondrial fission, on SAH-induced apoptosis in a hyperglycemic state, and evaluated the results in a dose-response manner. The rats were divided into the following five groups: (1) control, (2) SAH only, (3) Diabetes mellitus (DM) + SAH, (4) Mdivi-1 (0.24 mg/kg) + DM + SAH, and (5) Mdivi-1 (1.2 mg/kg) + DM + SAH.
MATERIALS AND METHODS
In vitro, ELISA revealed that Mdivi-1 inhibited microglia from releasing inflammatory factors, such as tumor necrosis factor-α (TNF-α), interleukin (IL)-1β, and IL-6. In vivo, neurological outcomes in the high-dose (1.2 mg/kg) Mdivi-1 treatment group were significantly reduced compared with the SAH and DM + SAH groups. Furthermore, immunofluorescence staining and ELISA revealed that a high dose of Mdivi-1 had attenuated inflammation and neuron cell apoptosis by inhibiting Hyperglycemia-aggravated activation, as well as microglia and astrocyte proliferation, following SAH.
RESULTS
Mdivi-1, a Drp-1 inhibitor, attenuates cerebral vasospasm, poor neurological outcomes, inflammation, and neuron cell apoptosis following SAH + hyperglycemia.
CONCLUSION
[ "Animals", "Apoptosis", "Brain Injuries", "Hyperglycemia", "Inflammation", "Mitochondrial Dynamics", "Rats", "Subarachnoid Hemorrhage" ]
9267000
1. Introduction
Spontaneous subarachnoid hemorrhage (SAH) is a devastating disease with high mortality and morbidity rates [1]. Only one-third of survival-to-discharge patients resume the same employment as pre-event [2]. Even patients with favorable outcomes are frequently left with significant impairment to residual memory or executive function, or language deficits [3]. Early or delayed brain injuries, presenting in the first 72 h or later within 14 days following SAH, are major components associated with neurological sequelae [4,5,6]. One of the critical mechanisms of early brain injury is the disruption of the blood–brain barrier (BBB), a structure that primarily consist of cerebral microvascular endothelial cells, astrocytic endfeet, an extracellular matrix, and pericytes [7]. Loss of BBB integrity results in the direct exposure of the brain tissues to neurotoxic blood contents and immune cells, which leads to secondary brain insults, including inflammation and oxidative stress, as well as other cascades [8]. In addition, apoptosis is one major catastrophic event in the early stage of SAH [6,9]. Apoptotic cell death, which can occur in cerebral neurons or endothelial cells through the intrinsic or extrinsic pathways, has played a significant role in the prognosis in animal SAH models [4,10,11]. Meanwhile, the most common cause of delayed brain injuries is cerebral arterial vasospasm. Cerebral ischemia secondary to vasospasm occurs in 20–30% of these patients, and has been correlated with a 1.5–3-fold increase in mortality in the first 2 weeks following SAH [12,13]. Mitochondrial activity modulation has been reported to alleviate brain injuries and improve neurological deficits following experimental SAH [14,15]. Mitochondria are among the irreplaceable endomembrane systems and are highly dynamic organelles that constantly fuse and divide [16]. Mitochondrial fusion and fission are important to maintain functions, including energy provision to cells, anabolic and catabolic biochemical pathway intervention, calcium homeostasis, regulation, and cell-death initiation [17,18]. The morphology or the shape change in mitochondria is mediated mainly by dynamin-related protein (Drp1) and mitochondrial fission 1 (Fis1) for fission, and mitofusin (Mfn) and optic atrophy-1 (OPA1) for fusion [19]. Defects in mitochondrial fission and fusion proteins have been linked to neurodegenerative diseases such as Alzheimer’s, Parkinson’s, and Huntington’s disease, with the essential role of mitochondrial dynamics in neurons [20]. In addition, the loss of balance in fusion and fission leads to acute central nervous system injuries. The studies demonstrated that Drp1 inhibition could attenuate the neurological dysfunction of traumatic brain injury or spinal cord injury by inhibiting mitochondrial fragmentation and apoptosis activation [21,22]. Drp1 downregulation or Mfn2 upregulation reduces neuronal apoptosis by restoring mitochondrial function in hypoxic or ischemic brain models [23,24]. It has been reported that hyperglycemia after cerebral ischemia, a known detrimental factor, further exacerbates the imbalance between mitochondrial fission and fusion, and favors mitochondrial fragmentation and subsequent mitochondrial damage [25]. Our previous study demonstrated that hyperglycemia was partly involved in early brain injuries in as SAH rat model, and induced more profound apoptosis, which mostly occurs in the neurons of the cerebral cortex. Furthermore, morphologically, we found that hyperglycemia exacerbated post-SAH vasospasm, as evidenced by the greater cross-sectional area reduction of the basilar arteries. Drp1 is demonstrated as an intrinsic component of multiple mitochondria-dependent apoptosis pathways, and its activity predominantly controls mitochondrial fission [26]. Drp1 proteins, mainly in the cytoplasm, translocate to the mitochondria and are subjected to several post-transcriptional modifications, including ubiquitination, phosphorylation, nitrosylation and SUMOylation [27,28]. Mitochondrial division inhibitor-1 (Mdivi-1) is a quinazolinone derivative that can selectively inhibit Drp1 to downregulate mitochondrial fission [29]. Investigations have reported that Mdivi-1 helps attenuate cell death following experimental traumatic brain injury by maintaining mitochondrial morphology, mitigating autophagy dysfunction, or inhibiting apoptosis activation [21,30]. This study investigated the influence of Mdivi-1 on cell death, severe neurological outcomes, and neuronal apoptosis following SAH with hyperglycemia.
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2. Results
2.1. ELISA Assay for Inflammatory Factors In Vitro The TNF-α, IL-1β, and IL-6 levels in the supernatant samples from BV-2 were examined using ELISA 6 h after LPS induction to investigate the relationship between pro-inflammatory factors and Mdivi-1. ELISA revealed that LPS induced the release of TNF-α, IL-1β, and IL-6; however, Mdivi-1 blocked the release of TNF-α (Figure 1A), IL-1β (Figure 1B), and IL-6 (Figure 1C) after LPS induction. The TNF-α, IL-1β, and IL-6 levels in the supernatant samples from BV-2 were examined using ELISA 6 h after LPS induction to investigate the relationship between pro-inflammatory factors and Mdivi-1. ELISA revealed that LPS induced the release of TNF-α, IL-1β, and IL-6; however, Mdivi-1 blocked the release of TNF-α (Figure 1A), IL-1β (Figure 1B), and IL-6 (Figure 1C) after LPS induction. 2.2. Neurological Outcomes The neurobehavioral scores, including ambulation, placing/stepping reflex, and MDI, were not different between the SAH, DM + SAH, and DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) groups (Table 1). In animals subjected to SAH, both the ambulation (1.91 ± 0.37) and placing/stepping reflex (1.34 ± 0.11) scores were significantly lower in the SAH animals than in the DM + SAH animals (ambulation: 2.39 ± 0.27 and placing/stepping reflex: 1.77 ± 0.19). Treatment with a high dose of Mdivi-1 (1.2 mg/kg) significantly decreased both the ambulation (1.62 ± 0.13; p < 0.05) and the placing/stepping reflex (0.57 ± 0.21) scores when compared with the DM + SAH group, but treatment with the low-dose Mdivi-1 (0.24 mg/kg) did not (ambulation: 2.11 ± 0.19 and placing/stepping reflex: 1.59 ± 0.29). Similarly, the MDI in the high-dose Mdivi-1 (1.2 mg/kg) treatment group (1.89 ± 0.31; p < 0.05) was also significantly reduced when compared with that in the DM + SAH group (4.20 ± 0.31) (Table 1). The neurobehavioral scores, including ambulation, placing/stepping reflex, and MDI, were not different between the SAH, DM + SAH, and DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) groups (Table 1). In animals subjected to SAH, both the ambulation (1.91 ± 0.37) and placing/stepping reflex (1.34 ± 0.11) scores were significantly lower in the SAH animals than in the DM + SAH animals (ambulation: 2.39 ± 0.27 and placing/stepping reflex: 1.77 ± 0.19). Treatment with a high dose of Mdivi-1 (1.2 mg/kg) significantly decreased both the ambulation (1.62 ± 0.13; p < 0.05) and the placing/stepping reflex (0.57 ± 0.21) scores when compared with the DM + SAH group, but treatment with the low-dose Mdivi-1 (0.24 mg/kg) did not (ambulation: 2.11 ± 0.19 and placing/stepping reflex: 1.59 ± 0.29). Similarly, the MDI in the high-dose Mdivi-1 (1.2 mg/kg) treatment group (1.89 ± 0.31; p < 0.05) was also significantly reduced when compared with that in the DM + SAH group (4.20 ± 0.31) (Table 1). 2.3. Morphological, Cross-Sectional-Area, and Thickness Changes in Basal Artery (BA) Microscopic examination revealed endothelial deformation, internal elastic laminae twisting, and smooth muscle necrosis in the BAs of rats subjected to normal, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1, and DM + SAH + high-dose Mdivi-1 (Figure 2A). The mean cross-sectional areas of BA were 0.52 ± 0.11, 0.21 ± 0.059, 0.14 ± 0.028, 0.23 ± 0.051, and 0.37 ± 0.060 mm2 in the control, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1 (0.24 mg/kg), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups, respectively (Figure 2B). The BA cross-sectional area in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group was reduced by 37.8% (p < 0.05) and 47.0% (p < 0.001) compared with that in the SAH and DM + SAH group, respectively. The BA thickness exhibited no significant difference between the SAH (0.0328 ± 0.006 mm) and DM + SAH only (0.0333 ± 0.005 mm) groups (Figure 2C). A significant increase in the BA thickness was observed in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group (0.0183 ± 0.003 mm; p < 0.01 vs. both SAH and DM + SAH groups) (Figure 2C). Microscopic examination revealed endothelial deformation, internal elastic laminae twisting, and smooth muscle necrosis in the BAs of rats subjected to normal, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1, and DM + SAH + high-dose Mdivi-1 (Figure 2A). The mean cross-sectional areas of BA were 0.52 ± 0.11, 0.21 ± 0.059, 0.14 ± 0.028, 0.23 ± 0.051, and 0.37 ± 0.060 mm2 in the control, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1 (0.24 mg/kg), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups, respectively (Figure 2B). The BA cross-sectional area in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group was reduced by 37.8% (p < 0.05) and 47.0% (p < 0.001) compared with that in the SAH and DM + SAH group, respectively. The BA thickness exhibited no significant difference between the SAH (0.0328 ± 0.006 mm) and DM + SAH only (0.0333 ± 0.005 mm) groups (Figure 2C). A significant increase in the BA thickness was observed in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group (0.0183 ± 0.003 mm; p < 0.01 vs. both SAH and DM + SAH groups) (Figure 2C). 2.4. Microglia and Astrocyte Proliferation Aside from the bleeding area, the activated microglia diffused into the brain parenchyma such as the brain stem, cortex, and hippocampus [31,32]. Similarly, after SAH, astrocytes were activated as part of gliosis [33]. This study employed immunofluorescence staining for Iba-1 and GFAP to detect the presence of microglial cells and astrocytes, respectively. Immunofluorescence staining for Iba-1 indicated that SAH induced microglial cell proliferation in the rat brain and was enhanced by hyperglycemia (Figure 3). In addition, quantitative analysis of the Iba-1 staining intensity revealed comparable levels between the control (set at 1.0), SAH (7.80 ± 1.88), DM + SAH (14.76 ± 2.07), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.81 ± 1.80), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (2.15 ± 0.74). In contrast, Iba-1 staining in the brain of the SAH and DM + SAH rats was significantly elevated, and the Mdivi-1 treatment significantly reduced microglial cell proliferation (low-dose Mdivi-1: p < 0.01 compared with the SAH group and p <0.001 compared with the DM +SAH; high-dose Mdivi-1: p < 0.001 compared with the SAH group and P <0.001 compared with the DM + SAH group) (Figure 3B). The immunofluorescence staining results for GFAP were consistent with those of the Iba-1 staining. In addition, the quantitative analysis the of GFAP staining intensity revealed comparable levels between the control (set at 1.0), SAH (2.33 ± 0.72), DM + SAH (6.53 ± 1.32), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.14 ± 1.63), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (1.63 ± 0.42). In contrast, GFAP staining in the brains of the SAH and DM + SAH rats was substantially elevated, and the Mdivi-1 treatment significantly reduced astrocyte proliferation (low-dose Mdivi-1: p < 0.001 compared with DM + SAH; high-dose Mdivi-1: p < 0.001 compared with DM + SAH) (Figure 4B). Aside from the bleeding area, the activated microglia diffused into the brain parenchyma such as the brain stem, cortex, and hippocampus [31,32]. Similarly, after SAH, astrocytes were activated as part of gliosis [33]. This study employed immunofluorescence staining for Iba-1 and GFAP to detect the presence of microglial cells and astrocytes, respectively. Immunofluorescence staining for Iba-1 indicated that SAH induced microglial cell proliferation in the rat brain and was enhanced by hyperglycemia (Figure 3). In addition, quantitative analysis of the Iba-1 staining intensity revealed comparable levels between the control (set at 1.0), SAH (7.80 ± 1.88), DM + SAH (14.76 ± 2.07), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.81 ± 1.80), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (2.15 ± 0.74). In contrast, Iba-1 staining in the brain of the SAH and DM + SAH rats was significantly elevated, and the Mdivi-1 treatment significantly reduced microglial cell proliferation (low-dose Mdivi-1: p < 0.01 compared with the SAH group and p <0.001 compared with the DM +SAH; high-dose Mdivi-1: p < 0.001 compared with the SAH group and P <0.001 compared with the DM + SAH group) (Figure 3B). The immunofluorescence staining results for GFAP were consistent with those of the Iba-1 staining. In addition, the quantitative analysis the of GFAP staining intensity revealed comparable levels between the control (set at 1.0), SAH (2.33 ± 0.72), DM + SAH (6.53 ± 1.32), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.14 ± 1.63), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (1.63 ± 0.42). In contrast, GFAP staining in the brains of the SAH and DM + SAH rats was substantially elevated, and the Mdivi-1 treatment significantly reduced astrocyte proliferation (low-dose Mdivi-1: p < 0.001 compared with DM + SAH; high-dose Mdivi-1: p < 0.001 compared with DM + SAH) (Figure 4B). 2.5. Real-Time PCR of Pro-Inflammatory Factors The TNF-α, IL-1β, and IL-6 levels in the brain were examined using real-time PCR 7 days after SAH, to investigate the relationship between pro-inflammatory factors in SAH and Mdivi-1. The real-time PCR result indicated that the TNF-α, IL-1β, and IL-6 expression in the DM + SAH group were significantly higher than those in the SAH group in the brain (Figure 5). All of the aforementioned increases in protein expression were significantly attenuated after the administration of the Mdivi-1 treatment (TNF-α: p < 0.05; IL-1β: p < 0.01; IL-6: p < 0.05, compared with the respective DM + SAH group upon treatment with low-dose Mdivi-1) (TNF-α, IL-1β, and IL-6: p < 0.001, compared with the respective DM + SAH group upon treatment with high-dose Mdivi-1) (Figure 5). The TNF-α, IL-1β, and IL-6 levels in the brain were examined using real-time PCR 7 days after SAH, to investigate the relationship between pro-inflammatory factors in SAH and Mdivi-1. The real-time PCR result indicated that the TNF-α, IL-1β, and IL-6 expression in the DM + SAH group were significantly higher than those in the SAH group in the brain (Figure 5). All of the aforementioned increases in protein expression were significantly attenuated after the administration of the Mdivi-1 treatment (TNF-α: p < 0.05; IL-1β: p < 0.01; IL-6: p < 0.05, compared with the respective DM + SAH group upon treatment with low-dose Mdivi-1) (TNF-α, IL-1β, and IL-6: p < 0.001, compared with the respective DM + SAH group upon treatment with high-dose Mdivi-1) (Figure 5). 2.6. Apoptosis of Neuron Cells This study conducted immunofluorescence staining for TUNEL and neuron cells to detect neuron cell apoptosis. Quantitative analysis of the number of instances of double immunofluorescence positive staining for TUNEL and NeuN revealed that SAH induced neuron cell apoptosis in the rat brain (Figure 6A). In contrast, double staining in the brain of hyperglycemic rats was substantially elevated (26.625 ± 9.50) and the Mdivi-1 treatment significantly reduced neuron cell apoptosis (low-dose Mdivi-1: 17.5 ± 3.93, p < 0.05; high-dose Mdivi-1: 8.125 ± 5.11, p < 0.001 compared with the DM + SAH group) (Figure 6B). This study conducted immunofluorescence staining for TUNEL and neuron cells to detect neuron cell apoptosis. Quantitative analysis of the number of instances of double immunofluorescence positive staining for TUNEL and NeuN revealed that SAH induced neuron cell apoptosis in the rat brain (Figure 6A). In contrast, double staining in the brain of hyperglycemic rats was substantially elevated (26.625 ± 9.50) and the Mdivi-1 treatment significantly reduced neuron cell apoptosis (low-dose Mdivi-1: 17.5 ± 3.93, p < 0.05; high-dose Mdivi-1: 8.125 ± 5.11, p < 0.001 compared with the DM + SAH group) (Figure 6B). 2.7. Western Blot Analysis Drp1 is demonstrated as an intrinsic component of multiple mitochondria-dependent apoptosis pathways, and its activity predominantly controls mitochondrial fission [26]. Mdivi-1 is a derivative of quinazolinone that can selectively inhibit Drp1 to downregulate mitochondrial fission [29]. This study demonstrates that the phospho-Drp1 (p-Drp1) level in the DM + SAH group was significantly higher than that in the SAH group in the Western blot analysis. High-dose Mdivi-1 (1.2 mg/kg) treatment significantly reduced the p-Drp1 expression (p < 0.001). However, low-dose Mdivi-1 (0.24 mg/kg) had a trend toward decreasing the expression of p-Drp1, albeit not significantly (Figure 7). Drp1 is demonstrated as an intrinsic component of multiple mitochondria-dependent apoptosis pathways, and its activity predominantly controls mitochondrial fission [26]. Mdivi-1 is a derivative of quinazolinone that can selectively inhibit Drp1 to downregulate mitochondrial fission [29]. This study demonstrates that the phospho-Drp1 (p-Drp1) level in the DM + SAH group was significantly higher than that in the SAH group in the Western blot analysis. High-dose Mdivi-1 (1.2 mg/kg) treatment significantly reduced the p-Drp1 expression (p < 0.001). However, low-dose Mdivi-1 (0.24 mg/kg) had a trend toward decreasing the expression of p-Drp1, albeit not significantly (Figure 7).
5. Conclusions
Our previous study revealed that hyperglycemia exacerbated cerebral vasospasm and was associated with poorer neurological outcomes following SAH. In addition, hyperglycemia enhanced inflammation and neuron cell apoptosis in the brain with SAH. Mdivi-1, a drp-1 inhibitor, attenuated cerebral vasospasm, poorer neurological outcomes, inflammation, and neuron cell apoptosis following SAH plus hyperglycemia. This study reveals that hyperglycemia enhanced SAH-induced Drp1 phosphorylation. Mdivi-1, a drp-1 inhibitor, attenuated cerebral vasospasm, poor neurological outcomes, inflammation, and neuron cell apoptosis following SAH, with or without hyperglycemia. The data suggest that hyperglycemia aggravated SAH-induced neurological prognosis through mitochondrial fission. Therefore, after Mdivi-1 treatment in hyperglycemic SAH animals, the inhibition of Drp1 significantly reduces the morphological change in mitochondria while alleviating neurobehavioral deficits. The number of apoptotic neurons decreased in a dose-dependent manner. The results prove that Mdivi-1 has therapeutic effects against hyperglycemia-exacerbated neuronal death.
[ "2.1. ELISA Assay for Inflammatory Factors In Vitro", "2.2. Neurological Outcomes", "2.3. Morphological, Cross-Sectional-Area, and Thickness Changes in Basal Artery (BA)", "2.4. Microglia and Astrocyte Proliferation", "2.5. Real-Time PCR of Pro-Inflammatory Factors", "2.6. Apoptosis of Neuron Cells", "2.7. Western Blot Analysis", "4. Materials and Methods", "4.1. Cell Culture and Treatment", "4.2. Animal Preparation", "4.3. Hyperglycemia Induction", "4.4. SAH Induction", "4.5. Experimental Design and Drug Administration", "4.6. Neurological Assessment", "4.7. Tissue Processing", "4.8. Morphometric Assessment of BA", "4.9. Immunofluorescence", "4.10. Enzyme-Linked Immunosorbent Assay (ELISA)", "4.11. TUNEL Staining", "4.12. Western Blot Analysis", "4.13. Real-Time Quantitative PCR (qRT-PCR)", "4.14. Statistical Analysis" ]
[ "The TNF-α, IL-1β, and IL-6 levels in the supernatant samples from BV-2 were examined using ELISA 6 h after LPS induction to investigate the relationship between pro-inflammatory factors and Mdivi-1. ELISA revealed that LPS induced the release of TNF-α, IL-1β, and IL-6; however, Mdivi-1 blocked the release of TNF-α (Figure 1A), IL-1β (Figure 1B), and IL-6 (Figure 1C) after LPS induction.", "The neurobehavioral scores, including ambulation, placing/stepping reflex, and MDI, were not different between the SAH, DM + SAH, and DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) groups (Table 1). In animals subjected to SAH, both the ambulation (1.91 ± 0.37) and placing/stepping reflex (1.34 ± 0.11) scores were significantly lower in the SAH animals than in the DM + SAH animals (ambulation: 2.39 ± 0.27 and placing/stepping reflex: 1.77 ± 0.19). Treatment with a high dose of Mdivi-1 (1.2 mg/kg) significantly decreased both the ambulation (1.62 ± 0.13; p < 0.05) and the placing/stepping reflex (0.57 ± 0.21) scores when compared with the DM + SAH group, but treatment with the low-dose Mdivi-1 (0.24 mg/kg) did not (ambulation: 2.11 ± 0.19 and placing/stepping reflex: 1.59 ± 0.29). Similarly, the MDI in the high-dose Mdivi-1 (1.2 mg/kg) treatment group (1.89 ± 0.31; p < 0.05) was also significantly reduced when compared with that in the DM + SAH group (4.20 ± 0.31) (Table 1).", "Microscopic examination revealed endothelial deformation, internal elastic laminae twisting, and smooth muscle necrosis in the BAs of rats subjected to normal, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1, and DM + SAH + high-dose Mdivi-1 (Figure 2A). The mean cross-sectional areas of BA were 0.52 ± 0.11, 0.21 ± 0.059, 0.14 ± 0.028, 0.23 ± 0.051, and 0.37 ± 0.060 mm2 in the control, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1 (0.24 mg/kg), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups, respectively (Figure 2B). The BA cross-sectional area in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group was reduced by 37.8% (p < 0.05) and 47.0% (p < 0.001) compared with that in the SAH and DM + SAH group, respectively. The BA thickness exhibited no significant difference between the SAH (0.0328 ± 0.006 mm) and DM + SAH only (0.0333 ± 0.005 mm) groups (Figure 2C). A significant increase in the BA thickness was observed in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group (0.0183 ± 0.003 mm; p < 0.01 vs. both SAH and DM + SAH groups) (Figure 2C).", "Aside from the bleeding area, the activated microglia diffused into the brain parenchyma such as the brain stem, cortex, and hippocampus [31,32]. Similarly, after SAH, astrocytes were activated as part of gliosis [33]. This study employed immunofluorescence staining for Iba-1 and GFAP to detect the presence of microglial cells and astrocytes, respectively. Immunofluorescence staining for Iba-1 indicated that SAH induced microglial cell proliferation in the rat brain and was enhanced by hyperglycemia (Figure 3). In addition, quantitative analysis of the Iba-1 staining intensity revealed comparable levels between the control (set at 1.0), SAH (7.80 ± 1.88), DM + SAH (14.76 ± 2.07), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.81 ± 1.80), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (2.15 ± 0.74). In contrast, Iba-1 staining in the brain of the SAH and DM + SAH rats was significantly elevated, and the Mdivi-1 treatment significantly reduced microglial cell proliferation (low-dose Mdivi-1: p < 0.01 compared with the SAH group and p <0.001 compared with the DM +SAH; high-dose Mdivi-1: p < 0.001 compared with the SAH group and P <0.001 compared with the DM + SAH group) (Figure 3B). The immunofluorescence staining results for GFAP were consistent with those of the Iba-1 staining. In addition, the quantitative analysis the of GFAP staining intensity revealed comparable levels between the control (set at 1.0), SAH (2.33 ± 0.72), DM + SAH (6.53 ± 1.32), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.14 ± 1.63), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (1.63 ± 0.42). In contrast, GFAP staining in the brains of the SAH and DM + SAH rats was substantially elevated, and the Mdivi-1 treatment significantly reduced astrocyte proliferation (low-dose Mdivi-1: p < 0.001 compared with DM + SAH; high-dose Mdivi-1: p < 0.001 compared with DM + SAH) (Figure 4B).", "The TNF-α, IL-1β, and IL-6 levels in the brain were examined using real-time PCR 7 days after SAH, to investigate the relationship between pro-inflammatory factors in SAH and Mdivi-1. The real-time PCR result indicated that the TNF-α, IL-1β, and IL-6 expression in the DM + SAH group were significantly higher than those in the SAH group in the brain (Figure 5). All of the aforementioned increases in protein expression were significantly attenuated after the administration of the Mdivi-1 treatment (TNF-α: p < 0.05; IL-1β: p < 0.01; IL-6: p < 0.05, compared with the respective DM + SAH group upon treatment with low-dose Mdivi-1) (TNF-α, IL-1β, and IL-6: p < 0.001, compared with the respective DM + SAH group upon treatment with high-dose Mdivi-1) (Figure 5).", "This study conducted immunofluorescence staining for TUNEL and neuron cells to detect neuron cell apoptosis. Quantitative analysis of the number of instances of double immunofluorescence positive staining for TUNEL and NeuN revealed that SAH induced neuron cell apoptosis in the rat brain (Figure 6A). In contrast, double staining in the brain of hyperglycemic rats was substantially elevated (26.625 ± 9.50) and the Mdivi-1 treatment significantly reduced neuron cell apoptosis (low-dose Mdivi-1: 17.5 ± 3.93, p < 0.05; high-dose Mdivi-1: 8.125 ± 5.11, p < 0.001 compared with the DM + SAH group) (Figure 6B).", "Drp1 is demonstrated as an intrinsic component of multiple mitochondria-dependent apoptosis pathways, and its activity predominantly controls mitochondrial fission [26]. Mdivi-1 is a derivative of quinazolinone that can selectively inhibit Drp1 to downregulate mitochondrial fission [29]. This study demonstrates that the phospho-Drp1 (p-Drp1) level in the DM + SAH group was significantly higher than that in the SAH group in the Western blot analysis. High-dose Mdivi-1 (1.2 mg/kg) treatment significantly reduced the p-Drp1 expression (p < 0.001). However, low-dose Mdivi-1 (0.24 mg/kg) had a trend toward decreasing the expression of p-Drp1, albeit not significantly (Figure 7).", "4.1. Cell Culture and Treatment The mouse BV2 microglial cells were cultured with DMEM, including 10% fetal bovine serum and 5% carbon dioxide, at 37 °C. The BV2 cells were treated with Mdivi-1 30 min before the addition of lipopolysaccharide (LPS) at 100 ng/mL to measure the anti-inflammatory effects of Mdivi-1.\nThe mouse BV2 microglial cells were cultured with DMEM, including 10% fetal bovine serum and 5% carbon dioxide, at 37 °C. The BV2 cells were treated with Mdivi-1 30 min before the addition of lipopolysaccharide (LPS) at 100 ng/mL to measure the anti-inflammatory effects of Mdivi-1.\n4.2. Animal Preparation Male Sprague Dawley rats weighing between 350 and 450 g were used (BioLasco; Taipei; Taiwan). All rats were housed at a constant temperature (24 °C) and at regular light/dark cycles between 6:00 am and 6:00 pm, with free access to a diet. The study procedures were executed in accordance with the protocol approved by the Committee of Institutional Animal Research at the Kaohsiung Medical University (IACUC 108215).\nMale Sprague Dawley rats weighing between 350 and 450 g were used (BioLasco; Taipei; Taiwan). All rats were housed at a constant temperature (24 °C) and at regular light/dark cycles between 6:00 am and 6:00 pm, with free access to a diet. The study procedures were executed in accordance with the protocol approved by the Committee of Institutional Animal Research at the Kaohsiung Medical University (IACUC 108215).\n4.3. Hyperglycemia Induction Hyperglycemia was induced according to the method described by Yu-Hua Huang [44]. A single dose of STZ at 50 mg/kg was intraperitoneally injected to induce hyperglycemia. Blood glucose was measured via the tail vein of each rat using a portable glucometer (Accu-Chek Performa, Roche Diagnostics Ltd., Indianapolis, IN, USA) that was calibrated according to the manufacturer’s protocols. Diabetes mellitus (DM) induction was considered successful if the blood-glucose level was >300 mg/dL at 7 days following STZ administration [32].\nHyperglycemia was induced according to the method described by Yu-Hua Huang [44]. A single dose of STZ at 50 mg/kg was intraperitoneally injected to induce hyperglycemia. Blood glucose was measured via the tail vein of each rat using a portable glucometer (Accu-Chek Performa, Roche Diagnostics Ltd., Indianapolis, IN, USA) that was calibrated according to the manufacturer’s protocols. Diabetes mellitus (DM) induction was considered successful if the blood-glucose level was >300 mg/dL at 7 days following STZ administration [32].\n4.4. SAH Induction The one-shot SAH model was used in rats [45]. Briefly, the animals were anesthetized using an intraperitoneal injection of Zoletil 50® (VIRBAC; Carros; France) at 40 mg/mL, which contained a mixture of zolazepam and tiletamine hydrochloride (Virbac, Carros, France). The rats’ heads were fixed in a stereotactic apparatus, and a 25-gauge butterfly needle was advanced into the cisterna magna, which was confirmed by withdrawing 0.3-mL of cerebrospinal fluid (CSF). Fresh, autologous, and non-heparinized blood (0.1 mL/100 g of body weight) drawn from the central tail artery was slowly instilled into the subarachnoid space through a butterfly needle and tubing. The animals were then kept in a ventral recumbent position for at least 30 min to promote ventral blood distribution. The respiratory pattern of rats was closely inspected, and mechanical ventilation was provided if required. Once fully awake, the animals were sent back to the vivarium.\nThe one-shot SAH model was used in rats [45]. Briefly, the animals were anesthetized using an intraperitoneal injection of Zoletil 50® (VIRBAC; Carros; France) at 40 mg/mL, which contained a mixture of zolazepam and tiletamine hydrochloride (Virbac, Carros, France). The rats’ heads were fixed in a stereotactic apparatus, and a 25-gauge butterfly needle was advanced into the cisterna magna, which was confirmed by withdrawing 0.3-mL of cerebrospinal fluid (CSF). Fresh, autologous, and non-heparinized blood (0.1 mL/100 g of body weight) drawn from the central tail artery was slowly instilled into the subarachnoid space through a butterfly needle and tubing. The animals were then kept in a ventral recumbent position for at least 30 min to promote ventral blood distribution. The respiratory pattern of rats was closely inspected, and mechanical ventilation was provided if required. Once fully awake, the animals were sent back to the vivarium.\n4.5. Experimental Design and Drug Administration The rats were randomly selected and divided into the following five groups (n = 6 per group): (1) control (no DM or SAH), (2) SAH only, (3) DM + SAH, (4) DM + SAH + Mdivi-1 (0.24 mg/kg), and (5) DM + SAH + Mdivi-1 (1.2 mg/kg). The dose and the time point of the Mdivi-1 treatment were chosen based on the previous study [15]. Mdivi-1 (MedChemExpress; Monmouth Junction; USA) was dissolved in 0.1% dimethyl sulfoxide (DMSO) and administered via intraperitoneal injection immediately after SAH induction. The vehicle animals received an intraperitoneal injection of 0.1% DMSO. The blood-glucose levels were monitored before and after STZ injection. The SAH model was established on day 7 after STZ injection. The animals that survived for 2 days after SAH were included for analysis, and then sacrificed for subsequent experiments.\nThe rats were randomly selected and divided into the following five groups (n = 6 per group): (1) control (no DM or SAH), (2) SAH only, (3) DM + SAH, (4) DM + SAH + Mdivi-1 (0.24 mg/kg), and (5) DM + SAH + Mdivi-1 (1.2 mg/kg). The dose and the time point of the Mdivi-1 treatment were chosen based on the previous study [15]. Mdivi-1 (MedChemExpress; Monmouth Junction; USA) was dissolved in 0.1% dimethyl sulfoxide (DMSO) and administered via intraperitoneal injection immediately after SAH induction. The vehicle animals received an intraperitoneal injection of 0.1% DMSO. The blood-glucose levels were monitored before and after STZ injection. The SAH model was established on day 7 after STZ injection. The animals that survived for 2 days after SAH were included for analysis, and then sacrificed for subsequent experiments.\n4.6. Neurological Assessment Neurobehavioral evaluation of animals was performed by assessing the sensorimotor integration of the forelimb and hindlimb activities using the modified limb-placing test, which consisted of ambulation, as well as placing and stepping reflex [46]. The motor-deficit index (MDI) represented the sum of scores for walking using the lower limbs and for placing/stepping response, and was determined before and 48 h after SAH induction. High MDI values indicated poor neurological outcomes.\nNeurobehavioral evaluation of animals was performed by assessing the sensorimotor integration of the forelimb and hindlimb activities using the modified limb-placing test, which consisted of ambulation, as well as placing and stepping reflex [46]. The motor-deficit index (MDI) represented the sum of scores for walking using the lower limbs and for placing/stepping response, and was determined before and 48 h after SAH induction. High MDI values indicated poor neurological outcomes.\n4.7. Tissue Processing At the end of the experiments, each animal was re-anesthetized for perfusion and fixation. The thoracic cage was opened by canalling the left ventricle using a No. 16 catheter. The brain was perfused with 180 mL of 2% paraformaldehyde and 100 mL of phosphate buffer (0.01 M) at below 36 °C and 100-mmHg perfusion pressure, after clamping the descending aorta and puncturing the right atrium. Gross inspection of harvested brains was performed to confirm the presence of subarachnoid blood clots over the BA, and the specimen was immersed in a fixative solution. The BAs were then separated from the brainstems, and the middle third of each vessel was dissected. The arterial segments were flat-embedded in paraffin, and BA cross-sections were cut into 3-μm sections that were stained with hematoxylin and eosin stain for subsequent analysis.\nAt the end of the experiments, each animal was re-anesthetized for perfusion and fixation. The thoracic cage was opened by canalling the left ventricle using a No. 16 catheter. The brain was perfused with 180 mL of 2% paraformaldehyde and 100 mL of phosphate buffer (0.01 M) at below 36 °C and 100-mmHg perfusion pressure, after clamping the descending aorta and puncturing the right atrium. Gross inspection of harvested brains was performed to confirm the presence of subarachnoid blood clots over the BA, and the specimen was immersed in a fixative solution. The BAs were then separated from the brainstems, and the middle third of each vessel was dissected. The arterial segments were flat-embedded in paraffin, and BA cross-sections were cut into 3-μm sections that were stained with hematoxylin and eosin stain for subsequent analysis.\n4.8. Morphometric Assessment of BA Three cross-sections from the middle-third BA from each animal were analyzed by a trained member of research staff who was blinded to the experimental groups. The BA thickness was defined as the largest vertical distance between the inner surface of the endothelium and the outer surface of the adventitia. The arterial cross-sectional area was calculated using a computer-based morphometric analysis (ImageJ; Universal Imaging Corp., Hialeah, FL, USA). The average area of the BA cross-section from each rat was calculated to obtain the mean values for the degree of vasospasm at 48 h after SAH.\nThree cross-sections from the middle-third BA from each animal were analyzed by a trained member of research staff who was blinded to the experimental groups. The BA thickness was defined as the largest vertical distance between the inner surface of the endothelium and the outer surface of the adventitia. The arterial cross-sectional area was calculated using a computer-based morphometric analysis (ImageJ; Universal Imaging Corp., Hialeah, FL, USA). The average area of the BA cross-section from each rat was calculated to obtain the mean values for the degree of vasospasm at 48 h after SAH.\n4.9. Immunofluorescence After deparaffinization and rehydration, the paraffin-embedded brain samples were treated with steam heating for antigen retrieval (30 min) using a DAKO antigen retrieval solution (DAKO, Carpinteria, CA, USA). The slides were washed twice with TBS, and the sections were incubated with mouse anti-GFAP (Sigma-Aldrich; G3893; St. Louis, MI, USA) and rabbit anti-Iba1 (Proteintech; 10904-1-AP; Taiwan) antibodies for 16 h at 4 °C. The slides were, again, washed twice with TBS, and subsequently incubated with goat anti-rabbit IgG (H+L)-FAM (Croyez; C04013; Taiwan) and goat anti-mouse IgG (H+L)-TAMRA (Croyez; C04012; Taiwan) antibodies for 90 min at room temperature. Afterward, the slides were washed twice with TBS and were mounted using FluoroshieldTM with DAPI (Sigma-Aldrich; F6057; St. Louis, MI, USA).\nAfter deparaffinization and rehydration, the paraffin-embedded brain samples were treated with steam heating for antigen retrieval (30 min) using a DAKO antigen retrieval solution (DAKO, Carpinteria, CA, USA). The slides were washed twice with TBS, and the sections were incubated with mouse anti-GFAP (Sigma-Aldrich; G3893; St. Louis, MI, USA) and rabbit anti-Iba1 (Proteintech; 10904-1-AP; Taiwan) antibodies for 16 h at 4 °C. The slides were, again, washed twice with TBS, and subsequently incubated with goat anti-rabbit IgG (H+L)-FAM (Croyez; C04013; Taiwan) and goat anti-mouse IgG (H+L)-TAMRA (Croyez; C04012; Taiwan) antibodies for 90 min at room temperature. Afterward, the slides were washed twice with TBS and were mounted using FluoroshieldTM with DAPI (Sigma-Aldrich; F6057; St. Louis, MI, USA).\n4.10. Enzyme-Linked Immunosorbent Assay (ELISA) To remove the cells, the samples were immediately centrifuged at 2000× g for 10 min at 4 °C. The collected supernatant was stored below −15 °C before analysis. The collected body fluids were first concentrated by passing them through the C2 columns, to determine the amounts of tumor necrosis factor (TNF)-α, interleukin (IL)-1β, and IL6 in the collected supernatant (Amersham, Nutley, NJ, USA). The amount of inflammatory factor present in the media was detected using an inflammatory factor ELISA system (Thermo Fisher Scientific, Waltham, MA, USA) at 450 nm.\nTo remove the cells, the samples were immediately centrifuged at 2000× g for 10 min at 4 °C. The collected supernatant was stored below −15 °C before analysis. The collected body fluids were first concentrated by passing them through the C2 columns, to determine the amounts of tumor necrosis factor (TNF)-α, interleukin (IL)-1β, and IL6 in the collected supernatant (Amersham, Nutley, NJ, USA). The amount of inflammatory factor present in the media was detected using an inflammatory factor ELISA system (Thermo Fisher Scientific, Waltham, MA, USA) at 450 nm.\n4.11. TUNEL Staining Apoptotic nuclei were stained using a TUNEL detection kit (Roche Inc., Indianapolis, IN, USA) according to the manufacturer’s protocols. Briefly, the tissue sections were fixed in 4% methanol-free paraformaldehyde at 4 °C and washed with phosphate-buffered saline (PBS) for 30 min. Equilibrium buffer (0.1 mL) was added to each slide, which was then covered with parafilm for 10 min. A 50-μL mixture comprising 45 μL equilibrium buffer, 5-μL nucleotide mix, and 1-μL TdT enzyme was prepared and added onto each slide. The slides were incubated in the dark for 1–2 h at 37 °C. Saline sodium citrate (2×) was added to stop the TdT enzyme reaction for 15 min at room temperature. The unbound fluorescent-12-dUTP was washed out using PBS. Then, the slides were dipped in propidium iodide to stain the cells in the dark for 15 min. The slides were dried after rinsing with de-ionized water, and coverslips were overlaid on the interesting area of the slides.\nApoptotic nuclei were stained using a TUNEL detection kit (Roche Inc., Indianapolis, IN, USA) according to the manufacturer’s protocols. Briefly, the tissue sections were fixed in 4% methanol-free paraformaldehyde at 4 °C and washed with phosphate-buffered saline (PBS) for 30 min. Equilibrium buffer (0.1 mL) was added to each slide, which was then covered with parafilm for 10 min. A 50-μL mixture comprising 45 μL equilibrium buffer, 5-μL nucleotide mix, and 1-μL TdT enzyme was prepared and added onto each slide. The slides were incubated in the dark for 1–2 h at 37 °C. Saline sodium citrate (2×) was added to stop the TdT enzyme reaction for 15 min at room temperature. The unbound fluorescent-12-dUTP was washed out using PBS. Then, the slides were dipped in propidium iodide to stain the cells in the dark for 15 min. The slides were dried after rinsing with de-ionized water, and coverslips were overlaid on the interesting area of the slides.\n4.12. Western Blot Analysis Tissue extracts were prepared in 500-μL of RIPA buffer (Millipore; 20-188; Burlington, MA, USA), including 1× protease inhibitor (Roche, Germany) and 1× phosphatase inhibitor (Roche, Germany), and incubated on ice for 30 min. The protein amount in the supernatant was quantified using a BCA kit (Sigma-Aldrich; C2284; USA), and the samples (50 μg) were electrophoresed on 10% SDS–polyacrylamide gels, and then transferred to PVDF membranes following centrifugation at 13,000 rpm (10,000 g) for 30 min at 4 °C. The membranes were blocked for 60 min at room temperature in TBS containing 5% fat-free milk, and then incubated for 16 h at 4 °C with antibodies against β-actin (Sigma-Aldrich; A6316; USA) and p-Drp1 (ProSci; 79-951; Fort Collins, CO, USA). After washing, the membranes were incubated for 1.5 h at room temperature with the appropriate horseradish peroxidase-labeled secondary antibodies, and bound antibodies were visualized and quantified via chemiluminescence detection. β-actin was used as the internal control. The amount of the protein of interest, expressed as arbitrary densitometric units, was normalized to the densitometric units of β-actin; then, the density of the band was expressed as the relative density compared with that in the control group.\nTissue extracts were prepared in 500-μL of RIPA buffer (Millipore; 20-188; Burlington, MA, USA), including 1× protease inhibitor (Roche, Germany) and 1× phosphatase inhibitor (Roche, Germany), and incubated on ice for 30 min. The protein amount in the supernatant was quantified using a BCA kit (Sigma-Aldrich; C2284; USA), and the samples (50 μg) were electrophoresed on 10% SDS–polyacrylamide gels, and then transferred to PVDF membranes following centrifugation at 13,000 rpm (10,000 g) for 30 min at 4 °C. The membranes were blocked for 60 min at room temperature in TBS containing 5% fat-free milk, and then incubated for 16 h at 4 °C with antibodies against β-actin (Sigma-Aldrich; A6316; USA) and p-Drp1 (ProSci; 79-951; Fort Collins, CO, USA). After washing, the membranes were incubated for 1.5 h at room temperature with the appropriate horseradish peroxidase-labeled secondary antibodies, and bound antibodies were visualized and quantified via chemiluminescence detection. β-actin was used as the internal control. The amount of the protein of interest, expressed as arbitrary densitometric units, was normalized to the densitometric units of β-actin; then, the density of the band was expressed as the relative density compared with that in the control group.\n4.13. Real-Time Quantitative PCR (qRT-PCR) The expression levels of inflammatory factors (TNF-α, IL-1β, and IL-6) were detected via qRT-PCR, using the cDNA as the template, on a StepOne Real-Time PCR System (Applied Biosystems, Waltham, MA, USA). PCR reactions were performed in triplicate, and data were analyzed using the comparative threshold cycle (2−ΔΔCT) method. The PCR amplification cycles consisted of denaturing at 95 °C for 5 min, 45 cycles of denaturing at 95 °C for 90 s, annealing at 61 °C for 30 s, extension at 72 °C for 30 s, and final elongation at 72 °C for 10 min. To minimize errors arising from variations in the amount of starting RNA in the samples, glyceraldehyde 3-phosphate dehydrogenase (GAPDH) was used as an internal reference. GAPDH: Forward 5′-AGACAGCCGCATCTTCTTGT-3′ and Reverse 5′-CTTGCCGTGGGTAGAGTCAT; TNF-α: Forward 5′-GCCCAGACCCTCACACTC-3′ and Reserve 5′-CACTCCAGCTGCTCCTCT-3′; IL-1β: Forward 5′- ATGGCAGAAGTACCTAAGCTCGC-3′ and Reverse 5′-ACACAAATTGCATGGTGAAGTCAGTT-3′; IL-6: Forward 5′-CCGGAGAGGAGACTTCACAG-3′ and Reverse 5′-ACAGTGCATCATCGCTGTTC-3′.\nThe expression levels of inflammatory factors (TNF-α, IL-1β, and IL-6) were detected via qRT-PCR, using the cDNA as the template, on a StepOne Real-Time PCR System (Applied Biosystems, Waltham, MA, USA). PCR reactions were performed in triplicate, and data were analyzed using the comparative threshold cycle (2−ΔΔCT) method. The PCR amplification cycles consisted of denaturing at 95 °C for 5 min, 45 cycles of denaturing at 95 °C for 90 s, annealing at 61 °C for 30 s, extension at 72 °C for 30 s, and final elongation at 72 °C for 10 min. To minimize errors arising from variations in the amount of starting RNA in the samples, glyceraldehyde 3-phosphate dehydrogenase (GAPDH) was used as an internal reference. GAPDH: Forward 5′-AGACAGCCGCATCTTCTTGT-3′ and Reverse 5′-CTTGCCGTGGGTAGAGTCAT; TNF-α: Forward 5′-GCCCAGACCCTCACACTC-3′ and Reserve 5′-CACTCCAGCTGCTCCTCT-3′; IL-1β: Forward 5′- ATGGCAGAAGTACCTAAGCTCGC-3′ and Reverse 5′-ACACAAATTGCATGGTGAAGTCAGTT-3′; IL-6: Forward 5′-CCGGAGAGGAGACTTCACAG-3′ and Reverse 5′-ACAGTGCATCATCGCTGTTC-3′.\n4.14. Statistical Analysis The results were analyzed using Statistical Package for the Social Sciences version 20.0 (IBM SPSS Statistics). Data were expressed as mean ± standard deviation (SD). The estimates were compared with the one-way analysis of variance (ANOVA). A p-value of <0.05 was defined as statistically significant.\nThe results were analyzed using Statistical Package for the Social Sciences version 20.0 (IBM SPSS Statistics). Data were expressed as mean ± standard deviation (SD). The estimates were compared with the one-way analysis of variance (ANOVA). A p-value of <0.05 was defined as statistically significant.", "The mouse BV2 microglial cells were cultured with DMEM, including 10% fetal bovine serum and 5% carbon dioxide, at 37 °C. The BV2 cells were treated with Mdivi-1 30 min before the addition of lipopolysaccharide (LPS) at 100 ng/mL to measure the anti-inflammatory effects of Mdivi-1.", "Male Sprague Dawley rats weighing between 350 and 450 g were used (BioLasco; Taipei; Taiwan). All rats were housed at a constant temperature (24 °C) and at regular light/dark cycles between 6:00 am and 6:00 pm, with free access to a diet. The study procedures were executed in accordance with the protocol approved by the Committee of Institutional Animal Research at the Kaohsiung Medical University (IACUC 108215).", "Hyperglycemia was induced according to the method described by Yu-Hua Huang [44]. A single dose of STZ at 50 mg/kg was intraperitoneally injected to induce hyperglycemia. Blood glucose was measured via the tail vein of each rat using a portable glucometer (Accu-Chek Performa, Roche Diagnostics Ltd., Indianapolis, IN, USA) that was calibrated according to the manufacturer’s protocols. Diabetes mellitus (DM) induction was considered successful if the blood-glucose level was >300 mg/dL at 7 days following STZ administration [32].", "The one-shot SAH model was used in rats [45]. Briefly, the animals were anesthetized using an intraperitoneal injection of Zoletil 50® (VIRBAC; Carros; France) at 40 mg/mL, which contained a mixture of zolazepam and tiletamine hydrochloride (Virbac, Carros, France). The rats’ heads were fixed in a stereotactic apparatus, and a 25-gauge butterfly needle was advanced into the cisterna magna, which was confirmed by withdrawing 0.3-mL of cerebrospinal fluid (CSF). Fresh, autologous, and non-heparinized blood (0.1 mL/100 g of body weight) drawn from the central tail artery was slowly instilled into the subarachnoid space through a butterfly needle and tubing. The animals were then kept in a ventral recumbent position for at least 30 min to promote ventral blood distribution. The respiratory pattern of rats was closely inspected, and mechanical ventilation was provided if required. Once fully awake, the animals were sent back to the vivarium.", "The rats were randomly selected and divided into the following five groups (n = 6 per group): (1) control (no DM or SAH), (2) SAH only, (3) DM + SAH, (4) DM + SAH + Mdivi-1 (0.24 mg/kg), and (5) DM + SAH + Mdivi-1 (1.2 mg/kg). The dose and the time point of the Mdivi-1 treatment were chosen based on the previous study [15]. Mdivi-1 (MedChemExpress; Monmouth Junction; USA) was dissolved in 0.1% dimethyl sulfoxide (DMSO) and administered via intraperitoneal injection immediately after SAH induction. The vehicle animals received an intraperitoneal injection of 0.1% DMSO. The blood-glucose levels were monitored before and after STZ injection. The SAH model was established on day 7 after STZ injection. The animals that survived for 2 days after SAH were included for analysis, and then sacrificed for subsequent experiments.", "Neurobehavioral evaluation of animals was performed by assessing the sensorimotor integration of the forelimb and hindlimb activities using the modified limb-placing test, which consisted of ambulation, as well as placing and stepping reflex [46]. The motor-deficit index (MDI) represented the sum of scores for walking using the lower limbs and for placing/stepping response, and was determined before and 48 h after SAH induction. High MDI values indicated poor neurological outcomes.", "At the end of the experiments, each animal was re-anesthetized for perfusion and fixation. The thoracic cage was opened by canalling the left ventricle using a No. 16 catheter. The brain was perfused with 180 mL of 2% paraformaldehyde and 100 mL of phosphate buffer (0.01 M) at below 36 °C and 100-mmHg perfusion pressure, after clamping the descending aorta and puncturing the right atrium. Gross inspection of harvested brains was performed to confirm the presence of subarachnoid blood clots over the BA, and the specimen was immersed in a fixative solution. The BAs were then separated from the brainstems, and the middle third of each vessel was dissected. The arterial segments were flat-embedded in paraffin, and BA cross-sections were cut into 3-μm sections that were stained with hematoxylin and eosin stain for subsequent analysis.", "Three cross-sections from the middle-third BA from each animal were analyzed by a trained member of research staff who was blinded to the experimental groups. The BA thickness was defined as the largest vertical distance between the inner surface of the endothelium and the outer surface of the adventitia. The arterial cross-sectional area was calculated using a computer-based morphometric analysis (ImageJ; Universal Imaging Corp., Hialeah, FL, USA). The average area of the BA cross-section from each rat was calculated to obtain the mean values for the degree of vasospasm at 48 h after SAH.", "After deparaffinization and rehydration, the paraffin-embedded brain samples were treated with steam heating for antigen retrieval (30 min) using a DAKO antigen retrieval solution (DAKO, Carpinteria, CA, USA). The slides were washed twice with TBS, and the sections were incubated with mouse anti-GFAP (Sigma-Aldrich; G3893; St. Louis, MI, USA) and rabbit anti-Iba1 (Proteintech; 10904-1-AP; Taiwan) antibodies for 16 h at 4 °C. The slides were, again, washed twice with TBS, and subsequently incubated with goat anti-rabbit IgG (H+L)-FAM (Croyez; C04013; Taiwan) and goat anti-mouse IgG (H+L)-TAMRA (Croyez; C04012; Taiwan) antibodies for 90 min at room temperature. Afterward, the slides were washed twice with TBS and were mounted using FluoroshieldTM with DAPI (Sigma-Aldrich; F6057; St. Louis, MI, USA).", "To remove the cells, the samples were immediately centrifuged at 2000× g for 10 min at 4 °C. The collected supernatant was stored below −15 °C before analysis. The collected body fluids were first concentrated by passing them through the C2 columns, to determine the amounts of tumor necrosis factor (TNF)-α, interleukin (IL)-1β, and IL6 in the collected supernatant (Amersham, Nutley, NJ, USA). The amount of inflammatory factor present in the media was detected using an inflammatory factor ELISA system (Thermo Fisher Scientific, Waltham, MA, USA) at 450 nm.", "Apoptotic nuclei were stained using a TUNEL detection kit (Roche Inc., Indianapolis, IN, USA) according to the manufacturer’s protocols. Briefly, the tissue sections were fixed in 4% methanol-free paraformaldehyde at 4 °C and washed with phosphate-buffered saline (PBS) for 30 min. Equilibrium buffer (0.1 mL) was added to each slide, which was then covered with parafilm for 10 min. A 50-μL mixture comprising 45 μL equilibrium buffer, 5-μL nucleotide mix, and 1-μL TdT enzyme was prepared and added onto each slide. The slides were incubated in the dark for 1–2 h at 37 °C. Saline sodium citrate (2×) was added to stop the TdT enzyme reaction for 15 min at room temperature. The unbound fluorescent-12-dUTP was washed out using PBS. Then, the slides were dipped in propidium iodide to stain the cells in the dark for 15 min. The slides were dried after rinsing with de-ionized water, and coverslips were overlaid on the interesting area of the slides.", "Tissue extracts were prepared in 500-μL of RIPA buffer (Millipore; 20-188; Burlington, MA, USA), including 1× protease inhibitor (Roche, Germany) and 1× phosphatase inhibitor (Roche, Germany), and incubated on ice for 30 min. The protein amount in the supernatant was quantified using a BCA kit (Sigma-Aldrich; C2284; USA), and the samples (50 μg) were electrophoresed on 10% SDS–polyacrylamide gels, and then transferred to PVDF membranes following centrifugation at 13,000 rpm (10,000 g) for 30 min at 4 °C. The membranes were blocked for 60 min at room temperature in TBS containing 5% fat-free milk, and then incubated for 16 h at 4 °C with antibodies against β-actin (Sigma-Aldrich; A6316; USA) and p-Drp1 (ProSci; 79-951; Fort Collins, CO, USA). After washing, the membranes were incubated for 1.5 h at room temperature with the appropriate horseradish peroxidase-labeled secondary antibodies, and bound antibodies were visualized and quantified via chemiluminescence detection. β-actin was used as the internal control. The amount of the protein of interest, expressed as arbitrary densitometric units, was normalized to the densitometric units of β-actin; then, the density of the band was expressed as the relative density compared with that in the control group.", "The expression levels of inflammatory factors (TNF-α, IL-1β, and IL-6) were detected via qRT-PCR, using the cDNA as the template, on a StepOne Real-Time PCR System (Applied Biosystems, Waltham, MA, USA). PCR reactions were performed in triplicate, and data were analyzed using the comparative threshold cycle (2−ΔΔCT) method. The PCR amplification cycles consisted of denaturing at 95 °C for 5 min, 45 cycles of denaturing at 95 °C for 90 s, annealing at 61 °C for 30 s, extension at 72 °C for 30 s, and final elongation at 72 °C for 10 min. To minimize errors arising from variations in the amount of starting RNA in the samples, glyceraldehyde 3-phosphate dehydrogenase (GAPDH) was used as an internal reference. GAPDH: Forward 5′-AGACAGCCGCATCTTCTTGT-3′ and Reverse 5′-CTTGCCGTGGGTAGAGTCAT; TNF-α: Forward 5′-GCCCAGACCCTCACACTC-3′ and Reserve 5′-CACTCCAGCTGCTCCTCT-3′; IL-1β: Forward 5′- ATGGCAGAAGTACCTAAGCTCGC-3′ and Reverse 5′-ACACAAATTGCATGGTGAAGTCAGTT-3′; IL-6: Forward 5′-CCGGAGAGGAGACTTCACAG-3′ and Reverse 5′-ACAGTGCATCATCGCTGTTC-3′.", "The results were analyzed using Statistical Package for the Social Sciences version 20.0 (IBM SPSS Statistics). Data were expressed as mean ± standard deviation (SD). The estimates were compared with the one-way analysis of variance (ANOVA). A p-value of <0.05 was defined as statistically significant." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "1. Introduction", "2. Results", "2.1. ELISA Assay for Inflammatory Factors In Vitro", "2.2. Neurological Outcomes", "2.3. Morphological, Cross-Sectional-Area, and Thickness Changes in Basal Artery (BA)", "2.4. Microglia and Astrocyte Proliferation", "2.5. Real-Time PCR of Pro-Inflammatory Factors", "2.6. Apoptosis of Neuron Cells", "2.7. Western Blot Analysis", "3. Discussion", "4. Materials and Methods", "4.1. Cell Culture and Treatment", "4.2. Animal Preparation", "4.3. Hyperglycemia Induction", "4.4. SAH Induction", "4.5. Experimental Design and Drug Administration", "4.6. Neurological Assessment", "4.7. Tissue Processing", "4.8. Morphometric Assessment of BA", "4.9. Immunofluorescence", "4.10. Enzyme-Linked Immunosorbent Assay (ELISA)", "4.11. TUNEL Staining", "4.12. Western Blot Analysis", "4.13. Real-Time Quantitative PCR (qRT-PCR)", "4.14. Statistical Analysis", "5. Conclusions" ]
[ "Spontaneous subarachnoid hemorrhage (SAH) is a devastating disease with high mortality and morbidity rates [1]. Only one-third of survival-to-discharge patients resume the same employment as pre-event [2]. Even patients with favorable outcomes are frequently left with significant impairment to residual memory or executive function, or language deficits [3]. Early or delayed brain injuries, presenting in the first 72 h or later within 14 days following SAH, are major components associated with neurological sequelae [4,5,6].\nOne of the critical mechanisms of early brain injury is the disruption of the blood–brain barrier (BBB), a structure that primarily consist of cerebral microvascular endothelial cells, astrocytic endfeet, an extracellular matrix, and pericytes [7]. Loss of BBB integrity results in the direct exposure of the brain tissues to neurotoxic blood contents and immune cells, which leads to secondary brain insults, including inflammation and oxidative stress, as well as other cascades [8]. In addition, apoptosis is one major catastrophic event in the early stage of SAH [6,9]. Apoptotic cell death, which can occur in cerebral neurons or endothelial cells through the intrinsic or extrinsic pathways, has played a significant role in the prognosis in animal SAH models [4,10,11]. Meanwhile, the most common cause of delayed brain injuries is cerebral arterial vasospasm. Cerebral ischemia secondary to vasospasm occurs in 20–30% of these patients, and has been correlated with a 1.5–3-fold increase in mortality in the first 2 weeks following SAH [12,13].\nMitochondrial activity modulation has been reported to alleviate brain injuries and improve neurological deficits following experimental SAH [14,15]. Mitochondria are among the irreplaceable endomembrane systems and are highly dynamic organelles that constantly fuse and divide [16]. Mitochondrial fusion and fission are important to maintain functions, including energy provision to cells, anabolic and catabolic biochemical pathway intervention, calcium homeostasis, regulation, and cell-death initiation [17,18]. The morphology or the shape change in mitochondria is mediated mainly by dynamin-related protein (Drp1) and mitochondrial fission 1 (Fis1) for fission, and mitofusin (Mfn) and optic atrophy-1 (OPA1) for fusion [19]. Defects in mitochondrial fission and fusion proteins have been linked to neurodegenerative diseases such as Alzheimer’s, Parkinson’s, and Huntington’s disease, with the essential role of mitochondrial dynamics in neurons [20]. In addition, the loss of balance in fusion and fission leads to acute central nervous system injuries. The studies demonstrated that Drp1 inhibition could attenuate the neurological dysfunction of traumatic brain injury or spinal cord injury by inhibiting mitochondrial fragmentation and apoptosis activation [21,22]. Drp1 downregulation or Mfn2 upregulation reduces neuronal apoptosis by restoring mitochondrial function in hypoxic or ischemic brain models [23,24].\nIt has been reported that hyperglycemia after cerebral ischemia, a known detrimental factor, further exacerbates the imbalance between mitochondrial fission and fusion, and favors mitochondrial fragmentation and subsequent mitochondrial damage [25]. Our previous study demonstrated that hyperglycemia was partly involved in early brain injuries in as SAH rat model, and induced more profound apoptosis, which mostly occurs in the neurons of the cerebral cortex. Furthermore, morphologically, we found that hyperglycemia exacerbated post-SAH vasospasm, as evidenced by the greater cross-sectional area reduction of the basilar arteries.\nDrp1 is demonstrated as an intrinsic component of multiple mitochondria-dependent apoptosis pathways, and its activity predominantly controls mitochondrial fission [26]. Drp1 proteins, mainly in the cytoplasm, translocate to the mitochondria and are subjected to several post-transcriptional modifications, including ubiquitination, phosphorylation, nitrosylation and SUMOylation [27,28]. Mitochondrial division inhibitor-1 (Mdivi-1) is a quinazolinone derivative that can selectively inhibit Drp1 to downregulate mitochondrial fission [29]. Investigations have reported that Mdivi-1 helps attenuate cell death following experimental traumatic brain injury by maintaining mitochondrial morphology, mitigating autophagy dysfunction, or inhibiting apoptosis activation [21,30]. This study investigated the influence of Mdivi-1 on cell death, severe neurological outcomes, and neuronal apoptosis following SAH with hyperglycemia.", "2.1. ELISA Assay for Inflammatory Factors In Vitro The TNF-α, IL-1β, and IL-6 levels in the supernatant samples from BV-2 were examined using ELISA 6 h after LPS induction to investigate the relationship between pro-inflammatory factors and Mdivi-1. ELISA revealed that LPS induced the release of TNF-α, IL-1β, and IL-6; however, Mdivi-1 blocked the release of TNF-α (Figure 1A), IL-1β (Figure 1B), and IL-6 (Figure 1C) after LPS induction.\nThe TNF-α, IL-1β, and IL-6 levels in the supernatant samples from BV-2 were examined using ELISA 6 h after LPS induction to investigate the relationship between pro-inflammatory factors and Mdivi-1. ELISA revealed that LPS induced the release of TNF-α, IL-1β, and IL-6; however, Mdivi-1 blocked the release of TNF-α (Figure 1A), IL-1β (Figure 1B), and IL-6 (Figure 1C) after LPS induction.\n2.2. Neurological Outcomes The neurobehavioral scores, including ambulation, placing/stepping reflex, and MDI, were not different between the SAH, DM + SAH, and DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) groups (Table 1). In animals subjected to SAH, both the ambulation (1.91 ± 0.37) and placing/stepping reflex (1.34 ± 0.11) scores were significantly lower in the SAH animals than in the DM + SAH animals (ambulation: 2.39 ± 0.27 and placing/stepping reflex: 1.77 ± 0.19). Treatment with a high dose of Mdivi-1 (1.2 mg/kg) significantly decreased both the ambulation (1.62 ± 0.13; p < 0.05) and the placing/stepping reflex (0.57 ± 0.21) scores when compared with the DM + SAH group, but treatment with the low-dose Mdivi-1 (0.24 mg/kg) did not (ambulation: 2.11 ± 0.19 and placing/stepping reflex: 1.59 ± 0.29). Similarly, the MDI in the high-dose Mdivi-1 (1.2 mg/kg) treatment group (1.89 ± 0.31; p < 0.05) was also significantly reduced when compared with that in the DM + SAH group (4.20 ± 0.31) (Table 1).\nThe neurobehavioral scores, including ambulation, placing/stepping reflex, and MDI, were not different between the SAH, DM + SAH, and DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) groups (Table 1). In animals subjected to SAH, both the ambulation (1.91 ± 0.37) and placing/stepping reflex (1.34 ± 0.11) scores were significantly lower in the SAH animals than in the DM + SAH animals (ambulation: 2.39 ± 0.27 and placing/stepping reflex: 1.77 ± 0.19). Treatment with a high dose of Mdivi-1 (1.2 mg/kg) significantly decreased both the ambulation (1.62 ± 0.13; p < 0.05) and the placing/stepping reflex (0.57 ± 0.21) scores when compared with the DM + SAH group, but treatment with the low-dose Mdivi-1 (0.24 mg/kg) did not (ambulation: 2.11 ± 0.19 and placing/stepping reflex: 1.59 ± 0.29). Similarly, the MDI in the high-dose Mdivi-1 (1.2 mg/kg) treatment group (1.89 ± 0.31; p < 0.05) was also significantly reduced when compared with that in the DM + SAH group (4.20 ± 0.31) (Table 1).\n2.3. Morphological, Cross-Sectional-Area, and Thickness Changes in Basal Artery (BA) Microscopic examination revealed endothelial deformation, internal elastic laminae twisting, and smooth muscle necrosis in the BAs of rats subjected to normal, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1, and DM + SAH + high-dose Mdivi-1 (Figure 2A). The mean cross-sectional areas of BA were 0.52 ± 0.11, 0.21 ± 0.059, 0.14 ± 0.028, 0.23 ± 0.051, and 0.37 ± 0.060 mm2 in the control, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1 (0.24 mg/kg), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups, respectively (Figure 2B). The BA cross-sectional area in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group was reduced by 37.8% (p < 0.05) and 47.0% (p < 0.001) compared with that in the SAH and DM + SAH group, respectively. The BA thickness exhibited no significant difference between the SAH (0.0328 ± 0.006 mm) and DM + SAH only (0.0333 ± 0.005 mm) groups (Figure 2C). A significant increase in the BA thickness was observed in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group (0.0183 ± 0.003 mm; p < 0.01 vs. both SAH and DM + SAH groups) (Figure 2C).\nMicroscopic examination revealed endothelial deformation, internal elastic laminae twisting, and smooth muscle necrosis in the BAs of rats subjected to normal, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1, and DM + SAH + high-dose Mdivi-1 (Figure 2A). The mean cross-sectional areas of BA were 0.52 ± 0.11, 0.21 ± 0.059, 0.14 ± 0.028, 0.23 ± 0.051, and 0.37 ± 0.060 mm2 in the control, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1 (0.24 mg/kg), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups, respectively (Figure 2B). The BA cross-sectional area in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group was reduced by 37.8% (p < 0.05) and 47.0% (p < 0.001) compared with that in the SAH and DM + SAH group, respectively. The BA thickness exhibited no significant difference between the SAH (0.0328 ± 0.006 mm) and DM + SAH only (0.0333 ± 0.005 mm) groups (Figure 2C). A significant increase in the BA thickness was observed in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group (0.0183 ± 0.003 mm; p < 0.01 vs. both SAH and DM + SAH groups) (Figure 2C).\n2.4. Microglia and Astrocyte Proliferation Aside from the bleeding area, the activated microglia diffused into the brain parenchyma such as the brain stem, cortex, and hippocampus [31,32]. Similarly, after SAH, astrocytes were activated as part of gliosis [33]. This study employed immunofluorescence staining for Iba-1 and GFAP to detect the presence of microglial cells and astrocytes, respectively. Immunofluorescence staining for Iba-1 indicated that SAH induced microglial cell proliferation in the rat brain and was enhanced by hyperglycemia (Figure 3). In addition, quantitative analysis of the Iba-1 staining intensity revealed comparable levels between the control (set at 1.0), SAH (7.80 ± 1.88), DM + SAH (14.76 ± 2.07), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.81 ± 1.80), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (2.15 ± 0.74). In contrast, Iba-1 staining in the brain of the SAH and DM + SAH rats was significantly elevated, and the Mdivi-1 treatment significantly reduced microglial cell proliferation (low-dose Mdivi-1: p < 0.01 compared with the SAH group and p <0.001 compared with the DM +SAH; high-dose Mdivi-1: p < 0.001 compared with the SAH group and P <0.001 compared with the DM + SAH group) (Figure 3B). The immunofluorescence staining results for GFAP were consistent with those of the Iba-1 staining. In addition, the quantitative analysis the of GFAP staining intensity revealed comparable levels between the control (set at 1.0), SAH (2.33 ± 0.72), DM + SAH (6.53 ± 1.32), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.14 ± 1.63), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (1.63 ± 0.42). In contrast, GFAP staining in the brains of the SAH and DM + SAH rats was substantially elevated, and the Mdivi-1 treatment significantly reduced astrocyte proliferation (low-dose Mdivi-1: p < 0.001 compared with DM + SAH; high-dose Mdivi-1: p < 0.001 compared with DM + SAH) (Figure 4B).\nAside from the bleeding area, the activated microglia diffused into the brain parenchyma such as the brain stem, cortex, and hippocampus [31,32]. Similarly, after SAH, astrocytes were activated as part of gliosis [33]. This study employed immunofluorescence staining for Iba-1 and GFAP to detect the presence of microglial cells and astrocytes, respectively. Immunofluorescence staining for Iba-1 indicated that SAH induced microglial cell proliferation in the rat brain and was enhanced by hyperglycemia (Figure 3). In addition, quantitative analysis of the Iba-1 staining intensity revealed comparable levels between the control (set at 1.0), SAH (7.80 ± 1.88), DM + SAH (14.76 ± 2.07), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.81 ± 1.80), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (2.15 ± 0.74). In contrast, Iba-1 staining in the brain of the SAH and DM + SAH rats was significantly elevated, and the Mdivi-1 treatment significantly reduced microglial cell proliferation (low-dose Mdivi-1: p < 0.01 compared with the SAH group and p <0.001 compared with the DM +SAH; high-dose Mdivi-1: p < 0.001 compared with the SAH group and P <0.001 compared with the DM + SAH group) (Figure 3B). The immunofluorescence staining results for GFAP were consistent with those of the Iba-1 staining. In addition, the quantitative analysis the of GFAP staining intensity revealed comparable levels between the control (set at 1.0), SAH (2.33 ± 0.72), DM + SAH (6.53 ± 1.32), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.14 ± 1.63), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (1.63 ± 0.42). In contrast, GFAP staining in the brains of the SAH and DM + SAH rats was substantially elevated, and the Mdivi-1 treatment significantly reduced astrocyte proliferation (low-dose Mdivi-1: p < 0.001 compared with DM + SAH; high-dose Mdivi-1: p < 0.001 compared with DM + SAH) (Figure 4B).\n2.5. Real-Time PCR of Pro-Inflammatory Factors The TNF-α, IL-1β, and IL-6 levels in the brain were examined using real-time PCR 7 days after SAH, to investigate the relationship between pro-inflammatory factors in SAH and Mdivi-1. The real-time PCR result indicated that the TNF-α, IL-1β, and IL-6 expression in the DM + SAH group were significantly higher than those in the SAH group in the brain (Figure 5). All of the aforementioned increases in protein expression were significantly attenuated after the administration of the Mdivi-1 treatment (TNF-α: p < 0.05; IL-1β: p < 0.01; IL-6: p < 0.05, compared with the respective DM + SAH group upon treatment with low-dose Mdivi-1) (TNF-α, IL-1β, and IL-6: p < 0.001, compared with the respective DM + SAH group upon treatment with high-dose Mdivi-1) (Figure 5).\nThe TNF-α, IL-1β, and IL-6 levels in the brain were examined using real-time PCR 7 days after SAH, to investigate the relationship between pro-inflammatory factors in SAH and Mdivi-1. The real-time PCR result indicated that the TNF-α, IL-1β, and IL-6 expression in the DM + SAH group were significantly higher than those in the SAH group in the brain (Figure 5). All of the aforementioned increases in protein expression were significantly attenuated after the administration of the Mdivi-1 treatment (TNF-α: p < 0.05; IL-1β: p < 0.01; IL-6: p < 0.05, compared with the respective DM + SAH group upon treatment with low-dose Mdivi-1) (TNF-α, IL-1β, and IL-6: p < 0.001, compared with the respective DM + SAH group upon treatment with high-dose Mdivi-1) (Figure 5).\n2.6. Apoptosis of Neuron Cells This study conducted immunofluorescence staining for TUNEL and neuron cells to detect neuron cell apoptosis. Quantitative analysis of the number of instances of double immunofluorescence positive staining for TUNEL and NeuN revealed that SAH induced neuron cell apoptosis in the rat brain (Figure 6A). In contrast, double staining in the brain of hyperglycemic rats was substantially elevated (26.625 ± 9.50) and the Mdivi-1 treatment significantly reduced neuron cell apoptosis (low-dose Mdivi-1: 17.5 ± 3.93, p < 0.05; high-dose Mdivi-1: 8.125 ± 5.11, p < 0.001 compared with the DM + SAH group) (Figure 6B).\nThis study conducted immunofluorescence staining for TUNEL and neuron cells to detect neuron cell apoptosis. Quantitative analysis of the number of instances of double immunofluorescence positive staining for TUNEL and NeuN revealed that SAH induced neuron cell apoptosis in the rat brain (Figure 6A). In contrast, double staining in the brain of hyperglycemic rats was substantially elevated (26.625 ± 9.50) and the Mdivi-1 treatment significantly reduced neuron cell apoptosis (low-dose Mdivi-1: 17.5 ± 3.93, p < 0.05; high-dose Mdivi-1: 8.125 ± 5.11, p < 0.001 compared with the DM + SAH group) (Figure 6B).\n2.7. Western Blot Analysis Drp1 is demonstrated as an intrinsic component of multiple mitochondria-dependent apoptosis pathways, and its activity predominantly controls mitochondrial fission [26]. Mdivi-1 is a derivative of quinazolinone that can selectively inhibit Drp1 to downregulate mitochondrial fission [29]. This study demonstrates that the phospho-Drp1 (p-Drp1) level in the DM + SAH group was significantly higher than that in the SAH group in the Western blot analysis. High-dose Mdivi-1 (1.2 mg/kg) treatment significantly reduced the p-Drp1 expression (p < 0.001). However, low-dose Mdivi-1 (0.24 mg/kg) had a trend toward decreasing the expression of p-Drp1, albeit not significantly (Figure 7).\nDrp1 is demonstrated as an intrinsic component of multiple mitochondria-dependent apoptosis pathways, and its activity predominantly controls mitochondrial fission [26]. Mdivi-1 is a derivative of quinazolinone that can selectively inhibit Drp1 to downregulate mitochondrial fission [29]. This study demonstrates that the phospho-Drp1 (p-Drp1) level in the DM + SAH group was significantly higher than that in the SAH group in the Western blot analysis. High-dose Mdivi-1 (1.2 mg/kg) treatment significantly reduced the p-Drp1 expression (p < 0.001). However, low-dose Mdivi-1 (0.24 mg/kg) had a trend toward decreasing the expression of p-Drp1, albeit not significantly (Figure 7).", "The TNF-α, IL-1β, and IL-6 levels in the supernatant samples from BV-2 were examined using ELISA 6 h after LPS induction to investigate the relationship between pro-inflammatory factors and Mdivi-1. ELISA revealed that LPS induced the release of TNF-α, IL-1β, and IL-6; however, Mdivi-1 blocked the release of TNF-α (Figure 1A), IL-1β (Figure 1B), and IL-6 (Figure 1C) after LPS induction.", "The neurobehavioral scores, including ambulation, placing/stepping reflex, and MDI, were not different between the SAH, DM + SAH, and DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) groups (Table 1). In animals subjected to SAH, both the ambulation (1.91 ± 0.37) and placing/stepping reflex (1.34 ± 0.11) scores were significantly lower in the SAH animals than in the DM + SAH animals (ambulation: 2.39 ± 0.27 and placing/stepping reflex: 1.77 ± 0.19). Treatment with a high dose of Mdivi-1 (1.2 mg/kg) significantly decreased both the ambulation (1.62 ± 0.13; p < 0.05) and the placing/stepping reflex (0.57 ± 0.21) scores when compared with the DM + SAH group, but treatment with the low-dose Mdivi-1 (0.24 mg/kg) did not (ambulation: 2.11 ± 0.19 and placing/stepping reflex: 1.59 ± 0.29). Similarly, the MDI in the high-dose Mdivi-1 (1.2 mg/kg) treatment group (1.89 ± 0.31; p < 0.05) was also significantly reduced when compared with that in the DM + SAH group (4.20 ± 0.31) (Table 1).", "Microscopic examination revealed endothelial deformation, internal elastic laminae twisting, and smooth muscle necrosis in the BAs of rats subjected to normal, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1, and DM + SAH + high-dose Mdivi-1 (Figure 2A). The mean cross-sectional areas of BA were 0.52 ± 0.11, 0.21 ± 0.059, 0.14 ± 0.028, 0.23 ± 0.051, and 0.37 ± 0.060 mm2 in the control, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1 (0.24 mg/kg), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups, respectively (Figure 2B). The BA cross-sectional area in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group was reduced by 37.8% (p < 0.05) and 47.0% (p < 0.001) compared with that in the SAH and DM + SAH group, respectively. The BA thickness exhibited no significant difference between the SAH (0.0328 ± 0.006 mm) and DM + SAH only (0.0333 ± 0.005 mm) groups (Figure 2C). A significant increase in the BA thickness was observed in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group (0.0183 ± 0.003 mm; p < 0.01 vs. both SAH and DM + SAH groups) (Figure 2C).", "Aside from the bleeding area, the activated microglia diffused into the brain parenchyma such as the brain stem, cortex, and hippocampus [31,32]. Similarly, after SAH, astrocytes were activated as part of gliosis [33]. This study employed immunofluorescence staining for Iba-1 and GFAP to detect the presence of microglial cells and astrocytes, respectively. Immunofluorescence staining for Iba-1 indicated that SAH induced microglial cell proliferation in the rat brain and was enhanced by hyperglycemia (Figure 3). In addition, quantitative analysis of the Iba-1 staining intensity revealed comparable levels between the control (set at 1.0), SAH (7.80 ± 1.88), DM + SAH (14.76 ± 2.07), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.81 ± 1.80), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (2.15 ± 0.74). In contrast, Iba-1 staining in the brain of the SAH and DM + SAH rats was significantly elevated, and the Mdivi-1 treatment significantly reduced microglial cell proliferation (low-dose Mdivi-1: p < 0.01 compared with the SAH group and p <0.001 compared with the DM +SAH; high-dose Mdivi-1: p < 0.001 compared with the SAH group and P <0.001 compared with the DM + SAH group) (Figure 3B). The immunofluorescence staining results for GFAP were consistent with those of the Iba-1 staining. In addition, the quantitative analysis the of GFAP staining intensity revealed comparable levels between the control (set at 1.0), SAH (2.33 ± 0.72), DM + SAH (6.53 ± 1.32), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.14 ± 1.63), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (1.63 ± 0.42). In contrast, GFAP staining in the brains of the SAH and DM + SAH rats was substantially elevated, and the Mdivi-1 treatment significantly reduced astrocyte proliferation (low-dose Mdivi-1: p < 0.001 compared with DM + SAH; high-dose Mdivi-1: p < 0.001 compared with DM + SAH) (Figure 4B).", "The TNF-α, IL-1β, and IL-6 levels in the brain were examined using real-time PCR 7 days after SAH, to investigate the relationship between pro-inflammatory factors in SAH and Mdivi-1. The real-time PCR result indicated that the TNF-α, IL-1β, and IL-6 expression in the DM + SAH group were significantly higher than those in the SAH group in the brain (Figure 5). All of the aforementioned increases in protein expression were significantly attenuated after the administration of the Mdivi-1 treatment (TNF-α: p < 0.05; IL-1β: p < 0.01; IL-6: p < 0.05, compared with the respective DM + SAH group upon treatment with low-dose Mdivi-1) (TNF-α, IL-1β, and IL-6: p < 0.001, compared with the respective DM + SAH group upon treatment with high-dose Mdivi-1) (Figure 5).", "This study conducted immunofluorescence staining for TUNEL and neuron cells to detect neuron cell apoptosis. Quantitative analysis of the number of instances of double immunofluorescence positive staining for TUNEL and NeuN revealed that SAH induced neuron cell apoptosis in the rat brain (Figure 6A). In contrast, double staining in the brain of hyperglycemic rats was substantially elevated (26.625 ± 9.50) and the Mdivi-1 treatment significantly reduced neuron cell apoptosis (low-dose Mdivi-1: 17.5 ± 3.93, p < 0.05; high-dose Mdivi-1: 8.125 ± 5.11, p < 0.001 compared with the DM + SAH group) (Figure 6B).", "Drp1 is demonstrated as an intrinsic component of multiple mitochondria-dependent apoptosis pathways, and its activity predominantly controls mitochondrial fission [26]. Mdivi-1 is a derivative of quinazolinone that can selectively inhibit Drp1 to downregulate mitochondrial fission [29]. This study demonstrates that the phospho-Drp1 (p-Drp1) level in the DM + SAH group was significantly higher than that in the SAH group in the Western blot analysis. High-dose Mdivi-1 (1.2 mg/kg) treatment significantly reduced the p-Drp1 expression (p < 0.001). However, low-dose Mdivi-1 (0.24 mg/kg) had a trend toward decreasing the expression of p-Drp1, albeit not significantly (Figure 7).", "Our previous study demonstrated that hyperglycemia aggravated neuronal apoptosis that was related to unfavorable neurological outcomes following SAH in a rodent model. Enhancement of the extrinsic caspase cascade activation through the ERK signal pathway may be the mechanism underlying hyperglycemia-mediated apoptosis. Meanwhile, hyperglycemia exacerbated cerebral vasospasm and was associated with poor neurological outcomes after SAH. An increasing number of clinical studies have reported a correlation between mitochondrial fission/fusion and unfavorable prognosis in SAH cases. Fan et al. demonstrated that mitochondrial fission might inhibit mitochondrial complex I to become a cause of oxidative stress in SAH; moreover, they demonstrated that Drp1 inhibition by Mdivi-1 attenuated early brain injury following SAH, probably by suppressing inflammation-related BBB disruption and endoplasmic reticulum stress-induced apoptosis [15]. The neurological outcomes of our study revealed significantly reduced MDI in the high-dose (1.2 mg/kg) Mdivi-1 treatment group compared with the SAH and DM + SAH groups, but not in the low-dose Midiv-1 group. Morphologically, we previously revealed that hyperglycemia exacerbated post-SAH vasospasm, as evidenced by a significant reduction in the rat BA cross-sectional area and basilar artery thickness. In this study, treatment with a high-dose Mdivi-1 (1.2 mg/kg) significantly attenuated post-SAH vasospasm with or without hyperglycemia.\nMany reports have revealed that glial cells (microglia and astrocyte) regulate SAH-induced vasospasm and neuronal apoptosis by releasing inflammation factors such as TNF-α, IL-1β, and IL-6. Inflammation and cytokines may participate in the pathology of BBB disruption and brain edema, which are characteristic features of both clinical and experimental SAH [34,35]. A variety of inflammatory cytokines, including IL-1β, IL-6, and TNF-α, are strongly associated with rat brain injury [36]. Neuronal apoptosis was inhibited in various experimental animal models of neurological disease, in addition to the anti-inflammatory effects. The systemic levels of TNF-α and IL-6 are elevated in DM, and can directly promote insulin resistance [37,38]. Thus, elevated cytokine levels may not only serve as DM markers, but also play a significant role in type 2 diabetes etiology. The tendency of diabetes patients to have higher levels of inflammation has serious consequences [39]. Microglia and astrocyte activation aggravates SAH-induced brain injury by secreting inflammatory factors [40,41,42], whereas the inhibition of microglia and astrocyte activation attenuates brain injury following SAH. Our results indicate that hyperglycemia enhanced SAH-induced microglia and astrocyte activation and proliferation, thereby increasing the inflammatory factor concentration in the CSF and the number of instances of neuron cell apoptosis in the brain. Mitochondrial fusion and fission are essential for maintaining mitochondrial functions, including energy metabolism, free-radical formation regulation, calcium circulation, and cell-death pathway initiation [43]. Previous studies demonstrated that Mdivi-1, a Drp-1 inhibitor, can provide neuroprotection against transient ischemic brain damage in vivo, and reduce the infarct volume [23]. In animals with SAH, the current evidence shows that Mdivi-1 potentially suppresses BBB disruption, oxidative stress, and endoplasmic-reticulum-stress-induced apoptosis [14,15]. Our study demonstrates that a high-dose of Mdivi-1 attenuated inflammation and neuron cell apoptosis by inhibiting SAH-induced activation and microglia and astrocyte proliferation, with or without hyperglycemia.", "4.1. Cell Culture and Treatment The mouse BV2 microglial cells were cultured with DMEM, including 10% fetal bovine serum and 5% carbon dioxide, at 37 °C. The BV2 cells were treated with Mdivi-1 30 min before the addition of lipopolysaccharide (LPS) at 100 ng/mL to measure the anti-inflammatory effects of Mdivi-1.\nThe mouse BV2 microglial cells were cultured with DMEM, including 10% fetal bovine serum and 5% carbon dioxide, at 37 °C. The BV2 cells were treated with Mdivi-1 30 min before the addition of lipopolysaccharide (LPS) at 100 ng/mL to measure the anti-inflammatory effects of Mdivi-1.\n4.2. Animal Preparation Male Sprague Dawley rats weighing between 350 and 450 g were used (BioLasco; Taipei; Taiwan). All rats were housed at a constant temperature (24 °C) and at regular light/dark cycles between 6:00 am and 6:00 pm, with free access to a diet. The study procedures were executed in accordance with the protocol approved by the Committee of Institutional Animal Research at the Kaohsiung Medical University (IACUC 108215).\nMale Sprague Dawley rats weighing between 350 and 450 g were used (BioLasco; Taipei; Taiwan). All rats were housed at a constant temperature (24 °C) and at regular light/dark cycles between 6:00 am and 6:00 pm, with free access to a diet. The study procedures were executed in accordance with the protocol approved by the Committee of Institutional Animal Research at the Kaohsiung Medical University (IACUC 108215).\n4.3. Hyperglycemia Induction Hyperglycemia was induced according to the method described by Yu-Hua Huang [44]. A single dose of STZ at 50 mg/kg was intraperitoneally injected to induce hyperglycemia. Blood glucose was measured via the tail vein of each rat using a portable glucometer (Accu-Chek Performa, Roche Diagnostics Ltd., Indianapolis, IN, USA) that was calibrated according to the manufacturer’s protocols. Diabetes mellitus (DM) induction was considered successful if the blood-glucose level was >300 mg/dL at 7 days following STZ administration [32].\nHyperglycemia was induced according to the method described by Yu-Hua Huang [44]. A single dose of STZ at 50 mg/kg was intraperitoneally injected to induce hyperglycemia. Blood glucose was measured via the tail vein of each rat using a portable glucometer (Accu-Chek Performa, Roche Diagnostics Ltd., Indianapolis, IN, USA) that was calibrated according to the manufacturer’s protocols. Diabetes mellitus (DM) induction was considered successful if the blood-glucose level was >300 mg/dL at 7 days following STZ administration [32].\n4.4. SAH Induction The one-shot SAH model was used in rats [45]. Briefly, the animals were anesthetized using an intraperitoneal injection of Zoletil 50® (VIRBAC; Carros; France) at 40 mg/mL, which contained a mixture of zolazepam and tiletamine hydrochloride (Virbac, Carros, France). The rats’ heads were fixed in a stereotactic apparatus, and a 25-gauge butterfly needle was advanced into the cisterna magna, which was confirmed by withdrawing 0.3-mL of cerebrospinal fluid (CSF). Fresh, autologous, and non-heparinized blood (0.1 mL/100 g of body weight) drawn from the central tail artery was slowly instilled into the subarachnoid space through a butterfly needle and tubing. The animals were then kept in a ventral recumbent position for at least 30 min to promote ventral blood distribution. The respiratory pattern of rats was closely inspected, and mechanical ventilation was provided if required. Once fully awake, the animals were sent back to the vivarium.\nThe one-shot SAH model was used in rats [45]. Briefly, the animals were anesthetized using an intraperitoneal injection of Zoletil 50® (VIRBAC; Carros; France) at 40 mg/mL, which contained a mixture of zolazepam and tiletamine hydrochloride (Virbac, Carros, France). The rats’ heads were fixed in a stereotactic apparatus, and a 25-gauge butterfly needle was advanced into the cisterna magna, which was confirmed by withdrawing 0.3-mL of cerebrospinal fluid (CSF). Fresh, autologous, and non-heparinized blood (0.1 mL/100 g of body weight) drawn from the central tail artery was slowly instilled into the subarachnoid space through a butterfly needle and tubing. The animals were then kept in a ventral recumbent position for at least 30 min to promote ventral blood distribution. The respiratory pattern of rats was closely inspected, and mechanical ventilation was provided if required. Once fully awake, the animals were sent back to the vivarium.\n4.5. Experimental Design and Drug Administration The rats were randomly selected and divided into the following five groups (n = 6 per group): (1) control (no DM or SAH), (2) SAH only, (3) DM + SAH, (4) DM + SAH + Mdivi-1 (0.24 mg/kg), and (5) DM + SAH + Mdivi-1 (1.2 mg/kg). The dose and the time point of the Mdivi-1 treatment were chosen based on the previous study [15]. Mdivi-1 (MedChemExpress; Monmouth Junction; USA) was dissolved in 0.1% dimethyl sulfoxide (DMSO) and administered via intraperitoneal injection immediately after SAH induction. The vehicle animals received an intraperitoneal injection of 0.1% DMSO. The blood-glucose levels were monitored before and after STZ injection. The SAH model was established on day 7 after STZ injection. The animals that survived for 2 days after SAH were included for analysis, and then sacrificed for subsequent experiments.\nThe rats were randomly selected and divided into the following five groups (n = 6 per group): (1) control (no DM or SAH), (2) SAH only, (3) DM + SAH, (4) DM + SAH + Mdivi-1 (0.24 mg/kg), and (5) DM + SAH + Mdivi-1 (1.2 mg/kg). The dose and the time point of the Mdivi-1 treatment were chosen based on the previous study [15]. Mdivi-1 (MedChemExpress; Monmouth Junction; USA) was dissolved in 0.1% dimethyl sulfoxide (DMSO) and administered via intraperitoneal injection immediately after SAH induction. The vehicle animals received an intraperitoneal injection of 0.1% DMSO. The blood-glucose levels were monitored before and after STZ injection. The SAH model was established on day 7 after STZ injection. The animals that survived for 2 days after SAH were included for analysis, and then sacrificed for subsequent experiments.\n4.6. Neurological Assessment Neurobehavioral evaluation of animals was performed by assessing the sensorimotor integration of the forelimb and hindlimb activities using the modified limb-placing test, which consisted of ambulation, as well as placing and stepping reflex [46]. The motor-deficit index (MDI) represented the sum of scores for walking using the lower limbs and for placing/stepping response, and was determined before and 48 h after SAH induction. High MDI values indicated poor neurological outcomes.\nNeurobehavioral evaluation of animals was performed by assessing the sensorimotor integration of the forelimb and hindlimb activities using the modified limb-placing test, which consisted of ambulation, as well as placing and stepping reflex [46]. The motor-deficit index (MDI) represented the sum of scores for walking using the lower limbs and for placing/stepping response, and was determined before and 48 h after SAH induction. High MDI values indicated poor neurological outcomes.\n4.7. Tissue Processing At the end of the experiments, each animal was re-anesthetized for perfusion and fixation. The thoracic cage was opened by canalling the left ventricle using a No. 16 catheter. The brain was perfused with 180 mL of 2% paraformaldehyde and 100 mL of phosphate buffer (0.01 M) at below 36 °C and 100-mmHg perfusion pressure, after clamping the descending aorta and puncturing the right atrium. Gross inspection of harvested brains was performed to confirm the presence of subarachnoid blood clots over the BA, and the specimen was immersed in a fixative solution. The BAs were then separated from the brainstems, and the middle third of each vessel was dissected. The arterial segments were flat-embedded in paraffin, and BA cross-sections were cut into 3-μm sections that were stained with hematoxylin and eosin stain for subsequent analysis.\nAt the end of the experiments, each animal was re-anesthetized for perfusion and fixation. The thoracic cage was opened by canalling the left ventricle using a No. 16 catheter. The brain was perfused with 180 mL of 2% paraformaldehyde and 100 mL of phosphate buffer (0.01 M) at below 36 °C and 100-mmHg perfusion pressure, after clamping the descending aorta and puncturing the right atrium. Gross inspection of harvested brains was performed to confirm the presence of subarachnoid blood clots over the BA, and the specimen was immersed in a fixative solution. The BAs were then separated from the brainstems, and the middle third of each vessel was dissected. The arterial segments were flat-embedded in paraffin, and BA cross-sections were cut into 3-μm sections that were stained with hematoxylin and eosin stain for subsequent analysis.\n4.8. Morphometric Assessment of BA Three cross-sections from the middle-third BA from each animal were analyzed by a trained member of research staff who was blinded to the experimental groups. The BA thickness was defined as the largest vertical distance between the inner surface of the endothelium and the outer surface of the adventitia. The arterial cross-sectional area was calculated using a computer-based morphometric analysis (ImageJ; Universal Imaging Corp., Hialeah, FL, USA). The average area of the BA cross-section from each rat was calculated to obtain the mean values for the degree of vasospasm at 48 h after SAH.\nThree cross-sections from the middle-third BA from each animal were analyzed by a trained member of research staff who was blinded to the experimental groups. The BA thickness was defined as the largest vertical distance between the inner surface of the endothelium and the outer surface of the adventitia. The arterial cross-sectional area was calculated using a computer-based morphometric analysis (ImageJ; Universal Imaging Corp., Hialeah, FL, USA). The average area of the BA cross-section from each rat was calculated to obtain the mean values for the degree of vasospasm at 48 h after SAH.\n4.9. Immunofluorescence After deparaffinization and rehydration, the paraffin-embedded brain samples were treated with steam heating for antigen retrieval (30 min) using a DAKO antigen retrieval solution (DAKO, Carpinteria, CA, USA). The slides were washed twice with TBS, and the sections were incubated with mouse anti-GFAP (Sigma-Aldrich; G3893; St. Louis, MI, USA) and rabbit anti-Iba1 (Proteintech; 10904-1-AP; Taiwan) antibodies for 16 h at 4 °C. The slides were, again, washed twice with TBS, and subsequently incubated with goat anti-rabbit IgG (H+L)-FAM (Croyez; C04013; Taiwan) and goat anti-mouse IgG (H+L)-TAMRA (Croyez; C04012; Taiwan) antibodies for 90 min at room temperature. Afterward, the slides were washed twice with TBS and were mounted using FluoroshieldTM with DAPI (Sigma-Aldrich; F6057; St. Louis, MI, USA).\nAfter deparaffinization and rehydration, the paraffin-embedded brain samples were treated with steam heating for antigen retrieval (30 min) using a DAKO antigen retrieval solution (DAKO, Carpinteria, CA, USA). The slides were washed twice with TBS, and the sections were incubated with mouse anti-GFAP (Sigma-Aldrich; G3893; St. Louis, MI, USA) and rabbit anti-Iba1 (Proteintech; 10904-1-AP; Taiwan) antibodies for 16 h at 4 °C. The slides were, again, washed twice with TBS, and subsequently incubated with goat anti-rabbit IgG (H+L)-FAM (Croyez; C04013; Taiwan) and goat anti-mouse IgG (H+L)-TAMRA (Croyez; C04012; Taiwan) antibodies for 90 min at room temperature. Afterward, the slides were washed twice with TBS and were mounted using FluoroshieldTM with DAPI (Sigma-Aldrich; F6057; St. Louis, MI, USA).\n4.10. Enzyme-Linked Immunosorbent Assay (ELISA) To remove the cells, the samples were immediately centrifuged at 2000× g for 10 min at 4 °C. The collected supernatant was stored below −15 °C before analysis. The collected body fluids were first concentrated by passing them through the C2 columns, to determine the amounts of tumor necrosis factor (TNF)-α, interleukin (IL)-1β, and IL6 in the collected supernatant (Amersham, Nutley, NJ, USA). The amount of inflammatory factor present in the media was detected using an inflammatory factor ELISA system (Thermo Fisher Scientific, Waltham, MA, USA) at 450 nm.\nTo remove the cells, the samples were immediately centrifuged at 2000× g for 10 min at 4 °C. The collected supernatant was stored below −15 °C before analysis. The collected body fluids were first concentrated by passing them through the C2 columns, to determine the amounts of tumor necrosis factor (TNF)-α, interleukin (IL)-1β, and IL6 in the collected supernatant (Amersham, Nutley, NJ, USA). The amount of inflammatory factor present in the media was detected using an inflammatory factor ELISA system (Thermo Fisher Scientific, Waltham, MA, USA) at 450 nm.\n4.11. TUNEL Staining Apoptotic nuclei were stained using a TUNEL detection kit (Roche Inc., Indianapolis, IN, USA) according to the manufacturer’s protocols. Briefly, the tissue sections were fixed in 4% methanol-free paraformaldehyde at 4 °C and washed with phosphate-buffered saline (PBS) for 30 min. Equilibrium buffer (0.1 mL) was added to each slide, which was then covered with parafilm for 10 min. A 50-μL mixture comprising 45 μL equilibrium buffer, 5-μL nucleotide mix, and 1-μL TdT enzyme was prepared and added onto each slide. The slides were incubated in the dark for 1–2 h at 37 °C. Saline sodium citrate (2×) was added to stop the TdT enzyme reaction for 15 min at room temperature. The unbound fluorescent-12-dUTP was washed out using PBS. Then, the slides were dipped in propidium iodide to stain the cells in the dark for 15 min. The slides were dried after rinsing with de-ionized water, and coverslips were overlaid on the interesting area of the slides.\nApoptotic nuclei were stained using a TUNEL detection kit (Roche Inc., Indianapolis, IN, USA) according to the manufacturer’s protocols. Briefly, the tissue sections were fixed in 4% methanol-free paraformaldehyde at 4 °C and washed with phosphate-buffered saline (PBS) for 30 min. Equilibrium buffer (0.1 mL) was added to each slide, which was then covered with parafilm for 10 min. A 50-μL mixture comprising 45 μL equilibrium buffer, 5-μL nucleotide mix, and 1-μL TdT enzyme was prepared and added onto each slide. The slides were incubated in the dark for 1–2 h at 37 °C. Saline sodium citrate (2×) was added to stop the TdT enzyme reaction for 15 min at room temperature. The unbound fluorescent-12-dUTP was washed out using PBS. Then, the slides were dipped in propidium iodide to stain the cells in the dark for 15 min. The slides were dried after rinsing with de-ionized water, and coverslips were overlaid on the interesting area of the slides.\n4.12. Western Blot Analysis Tissue extracts were prepared in 500-μL of RIPA buffer (Millipore; 20-188; Burlington, MA, USA), including 1× protease inhibitor (Roche, Germany) and 1× phosphatase inhibitor (Roche, Germany), and incubated on ice for 30 min. The protein amount in the supernatant was quantified using a BCA kit (Sigma-Aldrich; C2284; USA), and the samples (50 μg) were electrophoresed on 10% SDS–polyacrylamide gels, and then transferred to PVDF membranes following centrifugation at 13,000 rpm (10,000 g) for 30 min at 4 °C. The membranes were blocked for 60 min at room temperature in TBS containing 5% fat-free milk, and then incubated for 16 h at 4 °C with antibodies against β-actin (Sigma-Aldrich; A6316; USA) and p-Drp1 (ProSci; 79-951; Fort Collins, CO, USA). After washing, the membranes were incubated for 1.5 h at room temperature with the appropriate horseradish peroxidase-labeled secondary antibodies, and bound antibodies were visualized and quantified via chemiluminescence detection. β-actin was used as the internal control. The amount of the protein of interest, expressed as arbitrary densitometric units, was normalized to the densitometric units of β-actin; then, the density of the band was expressed as the relative density compared with that in the control group.\nTissue extracts were prepared in 500-μL of RIPA buffer (Millipore; 20-188; Burlington, MA, USA), including 1× protease inhibitor (Roche, Germany) and 1× phosphatase inhibitor (Roche, Germany), and incubated on ice for 30 min. The protein amount in the supernatant was quantified using a BCA kit (Sigma-Aldrich; C2284; USA), and the samples (50 μg) were electrophoresed on 10% SDS–polyacrylamide gels, and then transferred to PVDF membranes following centrifugation at 13,000 rpm (10,000 g) for 30 min at 4 °C. The membranes were blocked for 60 min at room temperature in TBS containing 5% fat-free milk, and then incubated for 16 h at 4 °C with antibodies against β-actin (Sigma-Aldrich; A6316; USA) and p-Drp1 (ProSci; 79-951; Fort Collins, CO, USA). After washing, the membranes were incubated for 1.5 h at room temperature with the appropriate horseradish peroxidase-labeled secondary antibodies, and bound antibodies were visualized and quantified via chemiluminescence detection. β-actin was used as the internal control. The amount of the protein of interest, expressed as arbitrary densitometric units, was normalized to the densitometric units of β-actin; then, the density of the band was expressed as the relative density compared with that in the control group.\n4.13. Real-Time Quantitative PCR (qRT-PCR) The expression levels of inflammatory factors (TNF-α, IL-1β, and IL-6) were detected via qRT-PCR, using the cDNA as the template, on a StepOne Real-Time PCR System (Applied Biosystems, Waltham, MA, USA). PCR reactions were performed in triplicate, and data were analyzed using the comparative threshold cycle (2−ΔΔCT) method. The PCR amplification cycles consisted of denaturing at 95 °C for 5 min, 45 cycles of denaturing at 95 °C for 90 s, annealing at 61 °C for 30 s, extension at 72 °C for 30 s, and final elongation at 72 °C for 10 min. To minimize errors arising from variations in the amount of starting RNA in the samples, glyceraldehyde 3-phosphate dehydrogenase (GAPDH) was used as an internal reference. GAPDH: Forward 5′-AGACAGCCGCATCTTCTTGT-3′ and Reverse 5′-CTTGCCGTGGGTAGAGTCAT; TNF-α: Forward 5′-GCCCAGACCCTCACACTC-3′ and Reserve 5′-CACTCCAGCTGCTCCTCT-3′; IL-1β: Forward 5′- ATGGCAGAAGTACCTAAGCTCGC-3′ and Reverse 5′-ACACAAATTGCATGGTGAAGTCAGTT-3′; IL-6: Forward 5′-CCGGAGAGGAGACTTCACAG-3′ and Reverse 5′-ACAGTGCATCATCGCTGTTC-3′.\nThe expression levels of inflammatory factors (TNF-α, IL-1β, and IL-6) were detected via qRT-PCR, using the cDNA as the template, on a StepOne Real-Time PCR System (Applied Biosystems, Waltham, MA, USA). PCR reactions were performed in triplicate, and data were analyzed using the comparative threshold cycle (2−ΔΔCT) method. The PCR amplification cycles consisted of denaturing at 95 °C for 5 min, 45 cycles of denaturing at 95 °C for 90 s, annealing at 61 °C for 30 s, extension at 72 °C for 30 s, and final elongation at 72 °C for 10 min. To minimize errors arising from variations in the amount of starting RNA in the samples, glyceraldehyde 3-phosphate dehydrogenase (GAPDH) was used as an internal reference. GAPDH: Forward 5′-AGACAGCCGCATCTTCTTGT-3′ and Reverse 5′-CTTGCCGTGGGTAGAGTCAT; TNF-α: Forward 5′-GCCCAGACCCTCACACTC-3′ and Reserve 5′-CACTCCAGCTGCTCCTCT-3′; IL-1β: Forward 5′- ATGGCAGAAGTACCTAAGCTCGC-3′ and Reverse 5′-ACACAAATTGCATGGTGAAGTCAGTT-3′; IL-6: Forward 5′-CCGGAGAGGAGACTTCACAG-3′ and Reverse 5′-ACAGTGCATCATCGCTGTTC-3′.\n4.14. Statistical Analysis The results were analyzed using Statistical Package for the Social Sciences version 20.0 (IBM SPSS Statistics). Data were expressed as mean ± standard deviation (SD). The estimates were compared with the one-way analysis of variance (ANOVA). A p-value of <0.05 was defined as statistically significant.\nThe results were analyzed using Statistical Package for the Social Sciences version 20.0 (IBM SPSS Statistics). Data were expressed as mean ± standard deviation (SD). The estimates were compared with the one-way analysis of variance (ANOVA). A p-value of <0.05 was defined as statistically significant.", "The mouse BV2 microglial cells were cultured with DMEM, including 10% fetal bovine serum and 5% carbon dioxide, at 37 °C. The BV2 cells were treated with Mdivi-1 30 min before the addition of lipopolysaccharide (LPS) at 100 ng/mL to measure the anti-inflammatory effects of Mdivi-1.", "Male Sprague Dawley rats weighing between 350 and 450 g were used (BioLasco; Taipei; Taiwan). All rats were housed at a constant temperature (24 °C) and at regular light/dark cycles between 6:00 am and 6:00 pm, with free access to a diet. The study procedures were executed in accordance with the protocol approved by the Committee of Institutional Animal Research at the Kaohsiung Medical University (IACUC 108215).", "Hyperglycemia was induced according to the method described by Yu-Hua Huang [44]. A single dose of STZ at 50 mg/kg was intraperitoneally injected to induce hyperglycemia. Blood glucose was measured via the tail vein of each rat using a portable glucometer (Accu-Chek Performa, Roche Diagnostics Ltd., Indianapolis, IN, USA) that was calibrated according to the manufacturer’s protocols. Diabetes mellitus (DM) induction was considered successful if the blood-glucose level was >300 mg/dL at 7 days following STZ administration [32].", "The one-shot SAH model was used in rats [45]. Briefly, the animals were anesthetized using an intraperitoneal injection of Zoletil 50® (VIRBAC; Carros; France) at 40 mg/mL, which contained a mixture of zolazepam and tiletamine hydrochloride (Virbac, Carros, France). The rats’ heads were fixed in a stereotactic apparatus, and a 25-gauge butterfly needle was advanced into the cisterna magna, which was confirmed by withdrawing 0.3-mL of cerebrospinal fluid (CSF). Fresh, autologous, and non-heparinized blood (0.1 mL/100 g of body weight) drawn from the central tail artery was slowly instilled into the subarachnoid space through a butterfly needle and tubing. The animals were then kept in a ventral recumbent position for at least 30 min to promote ventral blood distribution. The respiratory pattern of rats was closely inspected, and mechanical ventilation was provided if required. Once fully awake, the animals were sent back to the vivarium.", "The rats were randomly selected and divided into the following five groups (n = 6 per group): (1) control (no DM or SAH), (2) SAH only, (3) DM + SAH, (4) DM + SAH + Mdivi-1 (0.24 mg/kg), and (5) DM + SAH + Mdivi-1 (1.2 mg/kg). The dose and the time point of the Mdivi-1 treatment were chosen based on the previous study [15]. Mdivi-1 (MedChemExpress; Monmouth Junction; USA) was dissolved in 0.1% dimethyl sulfoxide (DMSO) and administered via intraperitoneal injection immediately after SAH induction. The vehicle animals received an intraperitoneal injection of 0.1% DMSO. The blood-glucose levels were monitored before and after STZ injection. The SAH model was established on day 7 after STZ injection. The animals that survived for 2 days after SAH were included for analysis, and then sacrificed for subsequent experiments.", "Neurobehavioral evaluation of animals was performed by assessing the sensorimotor integration of the forelimb and hindlimb activities using the modified limb-placing test, which consisted of ambulation, as well as placing and stepping reflex [46]. The motor-deficit index (MDI) represented the sum of scores for walking using the lower limbs and for placing/stepping response, and was determined before and 48 h after SAH induction. High MDI values indicated poor neurological outcomes.", "At the end of the experiments, each animal was re-anesthetized for perfusion and fixation. The thoracic cage was opened by canalling the left ventricle using a No. 16 catheter. The brain was perfused with 180 mL of 2% paraformaldehyde and 100 mL of phosphate buffer (0.01 M) at below 36 °C and 100-mmHg perfusion pressure, after clamping the descending aorta and puncturing the right atrium. Gross inspection of harvested brains was performed to confirm the presence of subarachnoid blood clots over the BA, and the specimen was immersed in a fixative solution. The BAs were then separated from the brainstems, and the middle third of each vessel was dissected. The arterial segments were flat-embedded in paraffin, and BA cross-sections were cut into 3-μm sections that were stained with hematoxylin and eosin stain for subsequent analysis.", "Three cross-sections from the middle-third BA from each animal were analyzed by a trained member of research staff who was blinded to the experimental groups. The BA thickness was defined as the largest vertical distance between the inner surface of the endothelium and the outer surface of the adventitia. The arterial cross-sectional area was calculated using a computer-based morphometric analysis (ImageJ; Universal Imaging Corp., Hialeah, FL, USA). The average area of the BA cross-section from each rat was calculated to obtain the mean values for the degree of vasospasm at 48 h after SAH.", "After deparaffinization and rehydration, the paraffin-embedded brain samples were treated with steam heating for antigen retrieval (30 min) using a DAKO antigen retrieval solution (DAKO, Carpinteria, CA, USA). The slides were washed twice with TBS, and the sections were incubated with mouse anti-GFAP (Sigma-Aldrich; G3893; St. Louis, MI, USA) and rabbit anti-Iba1 (Proteintech; 10904-1-AP; Taiwan) antibodies for 16 h at 4 °C. The slides were, again, washed twice with TBS, and subsequently incubated with goat anti-rabbit IgG (H+L)-FAM (Croyez; C04013; Taiwan) and goat anti-mouse IgG (H+L)-TAMRA (Croyez; C04012; Taiwan) antibodies for 90 min at room temperature. Afterward, the slides were washed twice with TBS and were mounted using FluoroshieldTM with DAPI (Sigma-Aldrich; F6057; St. Louis, MI, USA).", "To remove the cells, the samples were immediately centrifuged at 2000× g for 10 min at 4 °C. The collected supernatant was stored below −15 °C before analysis. The collected body fluids were first concentrated by passing them through the C2 columns, to determine the amounts of tumor necrosis factor (TNF)-α, interleukin (IL)-1β, and IL6 in the collected supernatant (Amersham, Nutley, NJ, USA). The amount of inflammatory factor present in the media was detected using an inflammatory factor ELISA system (Thermo Fisher Scientific, Waltham, MA, USA) at 450 nm.", "Apoptotic nuclei were stained using a TUNEL detection kit (Roche Inc., Indianapolis, IN, USA) according to the manufacturer’s protocols. Briefly, the tissue sections were fixed in 4% methanol-free paraformaldehyde at 4 °C and washed with phosphate-buffered saline (PBS) for 30 min. Equilibrium buffer (0.1 mL) was added to each slide, which was then covered with parafilm for 10 min. A 50-μL mixture comprising 45 μL equilibrium buffer, 5-μL nucleotide mix, and 1-μL TdT enzyme was prepared and added onto each slide. The slides were incubated in the dark for 1–2 h at 37 °C. Saline sodium citrate (2×) was added to stop the TdT enzyme reaction for 15 min at room temperature. The unbound fluorescent-12-dUTP was washed out using PBS. Then, the slides were dipped in propidium iodide to stain the cells in the dark for 15 min. The slides were dried after rinsing with de-ionized water, and coverslips were overlaid on the interesting area of the slides.", "Tissue extracts were prepared in 500-μL of RIPA buffer (Millipore; 20-188; Burlington, MA, USA), including 1× protease inhibitor (Roche, Germany) and 1× phosphatase inhibitor (Roche, Germany), and incubated on ice for 30 min. The protein amount in the supernatant was quantified using a BCA kit (Sigma-Aldrich; C2284; USA), and the samples (50 μg) were electrophoresed on 10% SDS–polyacrylamide gels, and then transferred to PVDF membranes following centrifugation at 13,000 rpm (10,000 g) for 30 min at 4 °C. The membranes were blocked for 60 min at room temperature in TBS containing 5% fat-free milk, and then incubated for 16 h at 4 °C with antibodies against β-actin (Sigma-Aldrich; A6316; USA) and p-Drp1 (ProSci; 79-951; Fort Collins, CO, USA). After washing, the membranes were incubated for 1.5 h at room temperature with the appropriate horseradish peroxidase-labeled secondary antibodies, and bound antibodies were visualized and quantified via chemiluminescence detection. β-actin was used as the internal control. The amount of the protein of interest, expressed as arbitrary densitometric units, was normalized to the densitometric units of β-actin; then, the density of the band was expressed as the relative density compared with that in the control group.", "The expression levels of inflammatory factors (TNF-α, IL-1β, and IL-6) were detected via qRT-PCR, using the cDNA as the template, on a StepOne Real-Time PCR System (Applied Biosystems, Waltham, MA, USA). PCR reactions were performed in triplicate, and data were analyzed using the comparative threshold cycle (2−ΔΔCT) method. The PCR amplification cycles consisted of denaturing at 95 °C for 5 min, 45 cycles of denaturing at 95 °C for 90 s, annealing at 61 °C for 30 s, extension at 72 °C for 30 s, and final elongation at 72 °C for 10 min. To minimize errors arising from variations in the amount of starting RNA in the samples, glyceraldehyde 3-phosphate dehydrogenase (GAPDH) was used as an internal reference. GAPDH: Forward 5′-AGACAGCCGCATCTTCTTGT-3′ and Reverse 5′-CTTGCCGTGGGTAGAGTCAT; TNF-α: Forward 5′-GCCCAGACCCTCACACTC-3′ and Reserve 5′-CACTCCAGCTGCTCCTCT-3′; IL-1β: Forward 5′- ATGGCAGAAGTACCTAAGCTCGC-3′ and Reverse 5′-ACACAAATTGCATGGTGAAGTCAGTT-3′; IL-6: Forward 5′-CCGGAGAGGAGACTTCACAG-3′ and Reverse 5′-ACAGTGCATCATCGCTGTTC-3′.", "The results were analyzed using Statistical Package for the Social Sciences version 20.0 (IBM SPSS Statistics). Data were expressed as mean ± standard deviation (SD). The estimates were compared with the one-way analysis of variance (ANOVA). A p-value of <0.05 was defined as statistically significant.", "Our previous study revealed that hyperglycemia exacerbated cerebral vasospasm and was associated with poorer neurological outcomes following SAH. In addition, hyperglycemia enhanced inflammation and neuron cell apoptosis in the brain with SAH. Mdivi-1, a drp-1 inhibitor, attenuated cerebral vasospasm, poorer neurological outcomes, inflammation, and neuron cell apoptosis following SAH plus hyperglycemia. This study reveals that hyperglycemia enhanced SAH-induced Drp1 phosphorylation. Mdivi-1, a drp-1 inhibitor, attenuated cerebral vasospasm, poor neurological outcomes, inflammation, and neuron cell apoptosis following SAH, with or without hyperglycemia. The data suggest that hyperglycemia aggravated SAH-induced neurological prognosis through mitochondrial fission. Therefore, after Mdivi-1 treatment in hyperglycemic SAH animals, the inhibition of Drp1 significantly reduces the morphological change in mitochondria while alleviating neurobehavioral deficits. The number of apoptotic neurons decreased in a dose-dependent manner. The results prove that Mdivi-1 has therapeutic effects against hyperglycemia-exacerbated neuronal death." ]
[ "intro", "results", null, null, null, null, null, null, null, "discussion", null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, "conclusions" ]
[ "hyperglycemia", "Mdivi-1", "SAH" ]
1. Introduction: Spontaneous subarachnoid hemorrhage (SAH) is a devastating disease with high mortality and morbidity rates [1]. Only one-third of survival-to-discharge patients resume the same employment as pre-event [2]. Even patients with favorable outcomes are frequently left with significant impairment to residual memory or executive function, or language deficits [3]. Early or delayed brain injuries, presenting in the first 72 h or later within 14 days following SAH, are major components associated with neurological sequelae [4,5,6]. One of the critical mechanisms of early brain injury is the disruption of the blood–brain barrier (BBB), a structure that primarily consist of cerebral microvascular endothelial cells, astrocytic endfeet, an extracellular matrix, and pericytes [7]. Loss of BBB integrity results in the direct exposure of the brain tissues to neurotoxic blood contents and immune cells, which leads to secondary brain insults, including inflammation and oxidative stress, as well as other cascades [8]. In addition, apoptosis is one major catastrophic event in the early stage of SAH [6,9]. Apoptotic cell death, which can occur in cerebral neurons or endothelial cells through the intrinsic or extrinsic pathways, has played a significant role in the prognosis in animal SAH models [4,10,11]. Meanwhile, the most common cause of delayed brain injuries is cerebral arterial vasospasm. Cerebral ischemia secondary to vasospasm occurs in 20–30% of these patients, and has been correlated with a 1.5–3-fold increase in mortality in the first 2 weeks following SAH [12,13]. Mitochondrial activity modulation has been reported to alleviate brain injuries and improve neurological deficits following experimental SAH [14,15]. Mitochondria are among the irreplaceable endomembrane systems and are highly dynamic organelles that constantly fuse and divide [16]. Mitochondrial fusion and fission are important to maintain functions, including energy provision to cells, anabolic and catabolic biochemical pathway intervention, calcium homeostasis, regulation, and cell-death initiation [17,18]. The morphology or the shape change in mitochondria is mediated mainly by dynamin-related protein (Drp1) and mitochondrial fission 1 (Fis1) for fission, and mitofusin (Mfn) and optic atrophy-1 (OPA1) for fusion [19]. Defects in mitochondrial fission and fusion proteins have been linked to neurodegenerative diseases such as Alzheimer’s, Parkinson’s, and Huntington’s disease, with the essential role of mitochondrial dynamics in neurons [20]. In addition, the loss of balance in fusion and fission leads to acute central nervous system injuries. The studies demonstrated that Drp1 inhibition could attenuate the neurological dysfunction of traumatic brain injury or spinal cord injury by inhibiting mitochondrial fragmentation and apoptosis activation [21,22]. Drp1 downregulation or Mfn2 upregulation reduces neuronal apoptosis by restoring mitochondrial function in hypoxic or ischemic brain models [23,24]. It has been reported that hyperglycemia after cerebral ischemia, a known detrimental factor, further exacerbates the imbalance between mitochondrial fission and fusion, and favors mitochondrial fragmentation and subsequent mitochondrial damage [25]. Our previous study demonstrated that hyperglycemia was partly involved in early brain injuries in as SAH rat model, and induced more profound apoptosis, which mostly occurs in the neurons of the cerebral cortex. Furthermore, morphologically, we found that hyperglycemia exacerbated post-SAH vasospasm, as evidenced by the greater cross-sectional area reduction of the basilar arteries. Drp1 is demonstrated as an intrinsic component of multiple mitochondria-dependent apoptosis pathways, and its activity predominantly controls mitochondrial fission [26]. Drp1 proteins, mainly in the cytoplasm, translocate to the mitochondria and are subjected to several post-transcriptional modifications, including ubiquitination, phosphorylation, nitrosylation and SUMOylation [27,28]. Mitochondrial division inhibitor-1 (Mdivi-1) is a quinazolinone derivative that can selectively inhibit Drp1 to downregulate mitochondrial fission [29]. Investigations have reported that Mdivi-1 helps attenuate cell death following experimental traumatic brain injury by maintaining mitochondrial morphology, mitigating autophagy dysfunction, or inhibiting apoptosis activation [21,30]. This study investigated the influence of Mdivi-1 on cell death, severe neurological outcomes, and neuronal apoptosis following SAH with hyperglycemia. 2. Results: 2.1. ELISA Assay for Inflammatory Factors In Vitro The TNF-α, IL-1β, and IL-6 levels in the supernatant samples from BV-2 were examined using ELISA 6 h after LPS induction to investigate the relationship between pro-inflammatory factors and Mdivi-1. ELISA revealed that LPS induced the release of TNF-α, IL-1β, and IL-6; however, Mdivi-1 blocked the release of TNF-α (Figure 1A), IL-1β (Figure 1B), and IL-6 (Figure 1C) after LPS induction. The TNF-α, IL-1β, and IL-6 levels in the supernatant samples from BV-2 were examined using ELISA 6 h after LPS induction to investigate the relationship between pro-inflammatory factors and Mdivi-1. ELISA revealed that LPS induced the release of TNF-α, IL-1β, and IL-6; however, Mdivi-1 blocked the release of TNF-α (Figure 1A), IL-1β (Figure 1B), and IL-6 (Figure 1C) after LPS induction. 2.2. Neurological Outcomes The neurobehavioral scores, including ambulation, placing/stepping reflex, and MDI, were not different between the SAH, DM + SAH, and DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) groups (Table 1). In animals subjected to SAH, both the ambulation (1.91 ± 0.37) and placing/stepping reflex (1.34 ± 0.11) scores were significantly lower in the SAH animals than in the DM + SAH animals (ambulation: 2.39 ± 0.27 and placing/stepping reflex: 1.77 ± 0.19). Treatment with a high dose of Mdivi-1 (1.2 mg/kg) significantly decreased both the ambulation (1.62 ± 0.13; p < 0.05) and the placing/stepping reflex (0.57 ± 0.21) scores when compared with the DM + SAH group, but treatment with the low-dose Mdivi-1 (0.24 mg/kg) did not (ambulation: 2.11 ± 0.19 and placing/stepping reflex: 1.59 ± 0.29). Similarly, the MDI in the high-dose Mdivi-1 (1.2 mg/kg) treatment group (1.89 ± 0.31; p < 0.05) was also significantly reduced when compared with that in the DM + SAH group (4.20 ± 0.31) (Table 1). The neurobehavioral scores, including ambulation, placing/stepping reflex, and MDI, were not different between the SAH, DM + SAH, and DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) groups (Table 1). In animals subjected to SAH, both the ambulation (1.91 ± 0.37) and placing/stepping reflex (1.34 ± 0.11) scores were significantly lower in the SAH animals than in the DM + SAH animals (ambulation: 2.39 ± 0.27 and placing/stepping reflex: 1.77 ± 0.19). Treatment with a high dose of Mdivi-1 (1.2 mg/kg) significantly decreased both the ambulation (1.62 ± 0.13; p < 0.05) and the placing/stepping reflex (0.57 ± 0.21) scores when compared with the DM + SAH group, but treatment with the low-dose Mdivi-1 (0.24 mg/kg) did not (ambulation: 2.11 ± 0.19 and placing/stepping reflex: 1.59 ± 0.29). Similarly, the MDI in the high-dose Mdivi-1 (1.2 mg/kg) treatment group (1.89 ± 0.31; p < 0.05) was also significantly reduced when compared with that in the DM + SAH group (4.20 ± 0.31) (Table 1). 2.3. Morphological, Cross-Sectional-Area, and Thickness Changes in Basal Artery (BA) Microscopic examination revealed endothelial deformation, internal elastic laminae twisting, and smooth muscle necrosis in the BAs of rats subjected to normal, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1, and DM + SAH + high-dose Mdivi-1 (Figure 2A). The mean cross-sectional areas of BA were 0.52 ± 0.11, 0.21 ± 0.059, 0.14 ± 0.028, 0.23 ± 0.051, and 0.37 ± 0.060 mm2 in the control, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1 (0.24 mg/kg), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups, respectively (Figure 2B). The BA cross-sectional area in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group was reduced by 37.8% (p < 0.05) and 47.0% (p < 0.001) compared with that in the SAH and DM + SAH group, respectively. The BA thickness exhibited no significant difference between the SAH (0.0328 ± 0.006 mm) and DM + SAH only (0.0333 ± 0.005 mm) groups (Figure 2C). A significant increase in the BA thickness was observed in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group (0.0183 ± 0.003 mm; p < 0.01 vs. both SAH and DM + SAH groups) (Figure 2C). Microscopic examination revealed endothelial deformation, internal elastic laminae twisting, and smooth muscle necrosis in the BAs of rats subjected to normal, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1, and DM + SAH + high-dose Mdivi-1 (Figure 2A). The mean cross-sectional areas of BA were 0.52 ± 0.11, 0.21 ± 0.059, 0.14 ± 0.028, 0.23 ± 0.051, and 0.37 ± 0.060 mm2 in the control, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1 (0.24 mg/kg), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups, respectively (Figure 2B). The BA cross-sectional area in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group was reduced by 37.8% (p < 0.05) and 47.0% (p < 0.001) compared with that in the SAH and DM + SAH group, respectively. The BA thickness exhibited no significant difference between the SAH (0.0328 ± 0.006 mm) and DM + SAH only (0.0333 ± 0.005 mm) groups (Figure 2C). A significant increase in the BA thickness was observed in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group (0.0183 ± 0.003 mm; p < 0.01 vs. both SAH and DM + SAH groups) (Figure 2C). 2.4. Microglia and Astrocyte Proliferation Aside from the bleeding area, the activated microglia diffused into the brain parenchyma such as the brain stem, cortex, and hippocampus [31,32]. Similarly, after SAH, astrocytes were activated as part of gliosis [33]. This study employed immunofluorescence staining for Iba-1 and GFAP to detect the presence of microglial cells and astrocytes, respectively. Immunofluorescence staining for Iba-1 indicated that SAH induced microglial cell proliferation in the rat brain and was enhanced by hyperglycemia (Figure 3). In addition, quantitative analysis of the Iba-1 staining intensity revealed comparable levels between the control (set at 1.0), SAH (7.80 ± 1.88), DM + SAH (14.76 ± 2.07), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.81 ± 1.80), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (2.15 ± 0.74). In contrast, Iba-1 staining in the brain of the SAH and DM + SAH rats was significantly elevated, and the Mdivi-1 treatment significantly reduced microglial cell proliferation (low-dose Mdivi-1: p < 0.01 compared with the SAH group and p <0.001 compared with the DM +SAH; high-dose Mdivi-1: p < 0.001 compared with the SAH group and P <0.001 compared with the DM + SAH group) (Figure 3B). The immunofluorescence staining results for GFAP were consistent with those of the Iba-1 staining. In addition, the quantitative analysis the of GFAP staining intensity revealed comparable levels between the control (set at 1.0), SAH (2.33 ± 0.72), DM + SAH (6.53 ± 1.32), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.14 ± 1.63), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (1.63 ± 0.42). In contrast, GFAP staining in the brains of the SAH and DM + SAH rats was substantially elevated, and the Mdivi-1 treatment significantly reduced astrocyte proliferation (low-dose Mdivi-1: p < 0.001 compared with DM + SAH; high-dose Mdivi-1: p < 0.001 compared with DM + SAH) (Figure 4B). Aside from the bleeding area, the activated microglia diffused into the brain parenchyma such as the brain stem, cortex, and hippocampus [31,32]. Similarly, after SAH, astrocytes were activated as part of gliosis [33]. This study employed immunofluorescence staining for Iba-1 and GFAP to detect the presence of microglial cells and astrocytes, respectively. Immunofluorescence staining for Iba-1 indicated that SAH induced microglial cell proliferation in the rat brain and was enhanced by hyperglycemia (Figure 3). In addition, quantitative analysis of the Iba-1 staining intensity revealed comparable levels between the control (set at 1.0), SAH (7.80 ± 1.88), DM + SAH (14.76 ± 2.07), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.81 ± 1.80), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (2.15 ± 0.74). In contrast, Iba-1 staining in the brain of the SAH and DM + SAH rats was significantly elevated, and the Mdivi-1 treatment significantly reduced microglial cell proliferation (low-dose Mdivi-1: p < 0.01 compared with the SAH group and p <0.001 compared with the DM +SAH; high-dose Mdivi-1: p < 0.001 compared with the SAH group and P <0.001 compared with the DM + SAH group) (Figure 3B). The immunofluorescence staining results for GFAP were consistent with those of the Iba-1 staining. In addition, the quantitative analysis the of GFAP staining intensity revealed comparable levels between the control (set at 1.0), SAH (2.33 ± 0.72), DM + SAH (6.53 ± 1.32), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.14 ± 1.63), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (1.63 ± 0.42). In contrast, GFAP staining in the brains of the SAH and DM + SAH rats was substantially elevated, and the Mdivi-1 treatment significantly reduced astrocyte proliferation (low-dose Mdivi-1: p < 0.001 compared with DM + SAH; high-dose Mdivi-1: p < 0.001 compared with DM + SAH) (Figure 4B). 2.5. Real-Time PCR of Pro-Inflammatory Factors The TNF-α, IL-1β, and IL-6 levels in the brain were examined using real-time PCR 7 days after SAH, to investigate the relationship between pro-inflammatory factors in SAH and Mdivi-1. The real-time PCR result indicated that the TNF-α, IL-1β, and IL-6 expression in the DM + SAH group were significantly higher than those in the SAH group in the brain (Figure 5). All of the aforementioned increases in protein expression were significantly attenuated after the administration of the Mdivi-1 treatment (TNF-α: p < 0.05; IL-1β: p < 0.01; IL-6: p < 0.05, compared with the respective DM + SAH group upon treatment with low-dose Mdivi-1) (TNF-α, IL-1β, and IL-6: p < 0.001, compared with the respective DM + SAH group upon treatment with high-dose Mdivi-1) (Figure 5). The TNF-α, IL-1β, and IL-6 levels in the brain were examined using real-time PCR 7 days after SAH, to investigate the relationship between pro-inflammatory factors in SAH and Mdivi-1. The real-time PCR result indicated that the TNF-α, IL-1β, and IL-6 expression in the DM + SAH group were significantly higher than those in the SAH group in the brain (Figure 5). All of the aforementioned increases in protein expression were significantly attenuated after the administration of the Mdivi-1 treatment (TNF-α: p < 0.05; IL-1β: p < 0.01; IL-6: p < 0.05, compared with the respective DM + SAH group upon treatment with low-dose Mdivi-1) (TNF-α, IL-1β, and IL-6: p < 0.001, compared with the respective DM + SAH group upon treatment with high-dose Mdivi-1) (Figure 5). 2.6. Apoptosis of Neuron Cells This study conducted immunofluorescence staining for TUNEL and neuron cells to detect neuron cell apoptosis. Quantitative analysis of the number of instances of double immunofluorescence positive staining for TUNEL and NeuN revealed that SAH induced neuron cell apoptosis in the rat brain (Figure 6A). In contrast, double staining in the brain of hyperglycemic rats was substantially elevated (26.625 ± 9.50) and the Mdivi-1 treatment significantly reduced neuron cell apoptosis (low-dose Mdivi-1: 17.5 ± 3.93, p < 0.05; high-dose Mdivi-1: 8.125 ± 5.11, p < 0.001 compared with the DM + SAH group) (Figure 6B). This study conducted immunofluorescence staining for TUNEL and neuron cells to detect neuron cell apoptosis. Quantitative analysis of the number of instances of double immunofluorescence positive staining for TUNEL and NeuN revealed that SAH induced neuron cell apoptosis in the rat brain (Figure 6A). In contrast, double staining in the brain of hyperglycemic rats was substantially elevated (26.625 ± 9.50) and the Mdivi-1 treatment significantly reduced neuron cell apoptosis (low-dose Mdivi-1: 17.5 ± 3.93, p < 0.05; high-dose Mdivi-1: 8.125 ± 5.11, p < 0.001 compared with the DM + SAH group) (Figure 6B). 2.7. Western Blot Analysis Drp1 is demonstrated as an intrinsic component of multiple mitochondria-dependent apoptosis pathways, and its activity predominantly controls mitochondrial fission [26]. Mdivi-1 is a derivative of quinazolinone that can selectively inhibit Drp1 to downregulate mitochondrial fission [29]. This study demonstrates that the phospho-Drp1 (p-Drp1) level in the DM + SAH group was significantly higher than that in the SAH group in the Western blot analysis. High-dose Mdivi-1 (1.2 mg/kg) treatment significantly reduced the p-Drp1 expression (p < 0.001). However, low-dose Mdivi-1 (0.24 mg/kg) had a trend toward decreasing the expression of p-Drp1, albeit not significantly (Figure 7). Drp1 is demonstrated as an intrinsic component of multiple mitochondria-dependent apoptosis pathways, and its activity predominantly controls mitochondrial fission [26]. Mdivi-1 is a derivative of quinazolinone that can selectively inhibit Drp1 to downregulate mitochondrial fission [29]. This study demonstrates that the phospho-Drp1 (p-Drp1) level in the DM + SAH group was significantly higher than that in the SAH group in the Western blot analysis. High-dose Mdivi-1 (1.2 mg/kg) treatment significantly reduced the p-Drp1 expression (p < 0.001). However, low-dose Mdivi-1 (0.24 mg/kg) had a trend toward decreasing the expression of p-Drp1, albeit not significantly (Figure 7). 2.1. ELISA Assay for Inflammatory Factors In Vitro: The TNF-α, IL-1β, and IL-6 levels in the supernatant samples from BV-2 were examined using ELISA 6 h after LPS induction to investigate the relationship between pro-inflammatory factors and Mdivi-1. ELISA revealed that LPS induced the release of TNF-α, IL-1β, and IL-6; however, Mdivi-1 blocked the release of TNF-α (Figure 1A), IL-1β (Figure 1B), and IL-6 (Figure 1C) after LPS induction. 2.2. Neurological Outcomes: The neurobehavioral scores, including ambulation, placing/stepping reflex, and MDI, were not different between the SAH, DM + SAH, and DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) groups (Table 1). In animals subjected to SAH, both the ambulation (1.91 ± 0.37) and placing/stepping reflex (1.34 ± 0.11) scores were significantly lower in the SAH animals than in the DM + SAH animals (ambulation: 2.39 ± 0.27 and placing/stepping reflex: 1.77 ± 0.19). Treatment with a high dose of Mdivi-1 (1.2 mg/kg) significantly decreased both the ambulation (1.62 ± 0.13; p < 0.05) and the placing/stepping reflex (0.57 ± 0.21) scores when compared with the DM + SAH group, but treatment with the low-dose Mdivi-1 (0.24 mg/kg) did not (ambulation: 2.11 ± 0.19 and placing/stepping reflex: 1.59 ± 0.29). Similarly, the MDI in the high-dose Mdivi-1 (1.2 mg/kg) treatment group (1.89 ± 0.31; p < 0.05) was also significantly reduced when compared with that in the DM + SAH group (4.20 ± 0.31) (Table 1). 2.3. Morphological, Cross-Sectional-Area, and Thickness Changes in Basal Artery (BA): Microscopic examination revealed endothelial deformation, internal elastic laminae twisting, and smooth muscle necrosis in the BAs of rats subjected to normal, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1, and DM + SAH + high-dose Mdivi-1 (Figure 2A). The mean cross-sectional areas of BA were 0.52 ± 0.11, 0.21 ± 0.059, 0.14 ± 0.028, 0.23 ± 0.051, and 0.37 ± 0.060 mm2 in the control, SAH, DM + SAH, DM + SAH + low-dose Mdivi-1 (0.24 mg/kg), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups, respectively (Figure 2B). The BA cross-sectional area in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group was reduced by 37.8% (p < 0.05) and 47.0% (p < 0.001) compared with that in the SAH and DM + SAH group, respectively. The BA thickness exhibited no significant difference between the SAH (0.0328 ± 0.006 mm) and DM + SAH only (0.0333 ± 0.005 mm) groups (Figure 2C). A significant increase in the BA thickness was observed in the DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) group (0.0183 ± 0.003 mm; p < 0.01 vs. both SAH and DM + SAH groups) (Figure 2C). 2.4. Microglia and Astrocyte Proliferation: Aside from the bleeding area, the activated microglia diffused into the brain parenchyma such as the brain stem, cortex, and hippocampus [31,32]. Similarly, after SAH, astrocytes were activated as part of gliosis [33]. This study employed immunofluorescence staining for Iba-1 and GFAP to detect the presence of microglial cells and astrocytes, respectively. Immunofluorescence staining for Iba-1 indicated that SAH induced microglial cell proliferation in the rat brain and was enhanced by hyperglycemia (Figure 3). In addition, quantitative analysis of the Iba-1 staining intensity revealed comparable levels between the control (set at 1.0), SAH (7.80 ± 1.88), DM + SAH (14.76 ± 2.07), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.81 ± 1.80), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (2.15 ± 0.74). In contrast, Iba-1 staining in the brain of the SAH and DM + SAH rats was significantly elevated, and the Mdivi-1 treatment significantly reduced microglial cell proliferation (low-dose Mdivi-1: p < 0.01 compared with the SAH group and p <0.001 compared with the DM +SAH; high-dose Mdivi-1: p < 0.001 compared with the SAH group and P <0.001 compared with the DM + SAH group) (Figure 3B). The immunofluorescence staining results for GFAP were consistent with those of the Iba-1 staining. In addition, the quantitative analysis the of GFAP staining intensity revealed comparable levels between the control (set at 1.0), SAH (2.33 ± 0.72), DM + SAH (6.53 ± 1.32), DM + SAH + low-dose Mdivi-1 (0.24 mg/kg) (3.14 ± 1.63), and DM + SAH + high-dose Mdivi-1 (1.2 mg/kg) groups (1.63 ± 0.42). In contrast, GFAP staining in the brains of the SAH and DM + SAH rats was substantially elevated, and the Mdivi-1 treatment significantly reduced astrocyte proliferation (low-dose Mdivi-1: p < 0.001 compared with DM + SAH; high-dose Mdivi-1: p < 0.001 compared with DM + SAH) (Figure 4B). 2.5. Real-Time PCR of Pro-Inflammatory Factors: The TNF-α, IL-1β, and IL-6 levels in the brain were examined using real-time PCR 7 days after SAH, to investigate the relationship between pro-inflammatory factors in SAH and Mdivi-1. The real-time PCR result indicated that the TNF-α, IL-1β, and IL-6 expression in the DM + SAH group were significantly higher than those in the SAH group in the brain (Figure 5). All of the aforementioned increases in protein expression were significantly attenuated after the administration of the Mdivi-1 treatment (TNF-α: p < 0.05; IL-1β: p < 0.01; IL-6: p < 0.05, compared with the respective DM + SAH group upon treatment with low-dose Mdivi-1) (TNF-α, IL-1β, and IL-6: p < 0.001, compared with the respective DM + SAH group upon treatment with high-dose Mdivi-1) (Figure 5). 2.6. Apoptosis of Neuron Cells: This study conducted immunofluorescence staining for TUNEL and neuron cells to detect neuron cell apoptosis. Quantitative analysis of the number of instances of double immunofluorescence positive staining for TUNEL and NeuN revealed that SAH induced neuron cell apoptosis in the rat brain (Figure 6A). In contrast, double staining in the brain of hyperglycemic rats was substantially elevated (26.625 ± 9.50) and the Mdivi-1 treatment significantly reduced neuron cell apoptosis (low-dose Mdivi-1: 17.5 ± 3.93, p < 0.05; high-dose Mdivi-1: 8.125 ± 5.11, p < 0.001 compared with the DM + SAH group) (Figure 6B). 2.7. Western Blot Analysis: Drp1 is demonstrated as an intrinsic component of multiple mitochondria-dependent apoptosis pathways, and its activity predominantly controls mitochondrial fission [26]. Mdivi-1 is a derivative of quinazolinone that can selectively inhibit Drp1 to downregulate mitochondrial fission [29]. This study demonstrates that the phospho-Drp1 (p-Drp1) level in the DM + SAH group was significantly higher than that in the SAH group in the Western blot analysis. High-dose Mdivi-1 (1.2 mg/kg) treatment significantly reduced the p-Drp1 expression (p < 0.001). However, low-dose Mdivi-1 (0.24 mg/kg) had a trend toward decreasing the expression of p-Drp1, albeit not significantly (Figure 7). 3. Discussion: Our previous study demonstrated that hyperglycemia aggravated neuronal apoptosis that was related to unfavorable neurological outcomes following SAH in a rodent model. Enhancement of the extrinsic caspase cascade activation through the ERK signal pathway may be the mechanism underlying hyperglycemia-mediated apoptosis. Meanwhile, hyperglycemia exacerbated cerebral vasospasm and was associated with poor neurological outcomes after SAH. An increasing number of clinical studies have reported a correlation between mitochondrial fission/fusion and unfavorable prognosis in SAH cases. Fan et al. demonstrated that mitochondrial fission might inhibit mitochondrial complex I to become a cause of oxidative stress in SAH; moreover, they demonstrated that Drp1 inhibition by Mdivi-1 attenuated early brain injury following SAH, probably by suppressing inflammation-related BBB disruption and endoplasmic reticulum stress-induced apoptosis [15]. The neurological outcomes of our study revealed significantly reduced MDI in the high-dose (1.2 mg/kg) Mdivi-1 treatment group compared with the SAH and DM + SAH groups, but not in the low-dose Midiv-1 group. Morphologically, we previously revealed that hyperglycemia exacerbated post-SAH vasospasm, as evidenced by a significant reduction in the rat BA cross-sectional area and basilar artery thickness. In this study, treatment with a high-dose Mdivi-1 (1.2 mg/kg) significantly attenuated post-SAH vasospasm with or without hyperglycemia. Many reports have revealed that glial cells (microglia and astrocyte) regulate SAH-induced vasospasm and neuronal apoptosis by releasing inflammation factors such as TNF-α, IL-1β, and IL-6. Inflammation and cytokines may participate in the pathology of BBB disruption and brain edema, which are characteristic features of both clinical and experimental SAH [34,35]. A variety of inflammatory cytokines, including IL-1β, IL-6, and TNF-α, are strongly associated with rat brain injury [36]. Neuronal apoptosis was inhibited in various experimental animal models of neurological disease, in addition to the anti-inflammatory effects. The systemic levels of TNF-α and IL-6 are elevated in DM, and can directly promote insulin resistance [37,38]. Thus, elevated cytokine levels may not only serve as DM markers, but also play a significant role in type 2 diabetes etiology. The tendency of diabetes patients to have higher levels of inflammation has serious consequences [39]. Microglia and astrocyte activation aggravates SAH-induced brain injury by secreting inflammatory factors [40,41,42], whereas the inhibition of microglia and astrocyte activation attenuates brain injury following SAH. Our results indicate that hyperglycemia enhanced SAH-induced microglia and astrocyte activation and proliferation, thereby increasing the inflammatory factor concentration in the CSF and the number of instances of neuron cell apoptosis in the brain. Mitochondrial fusion and fission are essential for maintaining mitochondrial functions, including energy metabolism, free-radical formation regulation, calcium circulation, and cell-death pathway initiation [43]. Previous studies demonstrated that Mdivi-1, a Drp-1 inhibitor, can provide neuroprotection against transient ischemic brain damage in vivo, and reduce the infarct volume [23]. In animals with SAH, the current evidence shows that Mdivi-1 potentially suppresses BBB disruption, oxidative stress, and endoplasmic-reticulum-stress-induced apoptosis [14,15]. Our study demonstrates that a high-dose of Mdivi-1 attenuated inflammation and neuron cell apoptosis by inhibiting SAH-induced activation and microglia and astrocyte proliferation, with or without hyperglycemia. 4. Materials and Methods: 4.1. Cell Culture and Treatment The mouse BV2 microglial cells were cultured with DMEM, including 10% fetal bovine serum and 5% carbon dioxide, at 37 °C. The BV2 cells were treated with Mdivi-1 30 min before the addition of lipopolysaccharide (LPS) at 100 ng/mL to measure the anti-inflammatory effects of Mdivi-1. The mouse BV2 microglial cells were cultured with DMEM, including 10% fetal bovine serum and 5% carbon dioxide, at 37 °C. The BV2 cells were treated with Mdivi-1 30 min before the addition of lipopolysaccharide (LPS) at 100 ng/mL to measure the anti-inflammatory effects of Mdivi-1. 4.2. Animal Preparation Male Sprague Dawley rats weighing between 350 and 450 g were used (BioLasco; Taipei; Taiwan). All rats were housed at a constant temperature (24 °C) and at regular light/dark cycles between 6:00 am and 6:00 pm, with free access to a diet. The study procedures were executed in accordance with the protocol approved by the Committee of Institutional Animal Research at the Kaohsiung Medical University (IACUC 108215). Male Sprague Dawley rats weighing between 350 and 450 g were used (BioLasco; Taipei; Taiwan). All rats were housed at a constant temperature (24 °C) and at regular light/dark cycles between 6:00 am and 6:00 pm, with free access to a diet. The study procedures were executed in accordance with the protocol approved by the Committee of Institutional Animal Research at the Kaohsiung Medical University (IACUC 108215). 4.3. Hyperglycemia Induction Hyperglycemia was induced according to the method described by Yu-Hua Huang [44]. A single dose of STZ at 50 mg/kg was intraperitoneally injected to induce hyperglycemia. Blood glucose was measured via the tail vein of each rat using a portable glucometer (Accu-Chek Performa, Roche Diagnostics Ltd., Indianapolis, IN, USA) that was calibrated according to the manufacturer’s protocols. Diabetes mellitus (DM) induction was considered successful if the blood-glucose level was >300 mg/dL at 7 days following STZ administration [32]. Hyperglycemia was induced according to the method described by Yu-Hua Huang [44]. A single dose of STZ at 50 mg/kg was intraperitoneally injected to induce hyperglycemia. Blood glucose was measured via the tail vein of each rat using a portable glucometer (Accu-Chek Performa, Roche Diagnostics Ltd., Indianapolis, IN, USA) that was calibrated according to the manufacturer’s protocols. Diabetes mellitus (DM) induction was considered successful if the blood-glucose level was >300 mg/dL at 7 days following STZ administration [32]. 4.4. SAH Induction The one-shot SAH model was used in rats [45]. Briefly, the animals were anesthetized using an intraperitoneal injection of Zoletil 50® (VIRBAC; Carros; France) at 40 mg/mL, which contained a mixture of zolazepam and tiletamine hydrochloride (Virbac, Carros, France). The rats’ heads were fixed in a stereotactic apparatus, and a 25-gauge butterfly needle was advanced into the cisterna magna, which was confirmed by withdrawing 0.3-mL of cerebrospinal fluid (CSF). Fresh, autologous, and non-heparinized blood (0.1 mL/100 g of body weight) drawn from the central tail artery was slowly instilled into the subarachnoid space through a butterfly needle and tubing. The animals were then kept in a ventral recumbent position for at least 30 min to promote ventral blood distribution. The respiratory pattern of rats was closely inspected, and mechanical ventilation was provided if required. Once fully awake, the animals were sent back to the vivarium. The one-shot SAH model was used in rats [45]. Briefly, the animals were anesthetized using an intraperitoneal injection of Zoletil 50® (VIRBAC; Carros; France) at 40 mg/mL, which contained a mixture of zolazepam and tiletamine hydrochloride (Virbac, Carros, France). The rats’ heads were fixed in a stereotactic apparatus, and a 25-gauge butterfly needle was advanced into the cisterna magna, which was confirmed by withdrawing 0.3-mL of cerebrospinal fluid (CSF). Fresh, autologous, and non-heparinized blood (0.1 mL/100 g of body weight) drawn from the central tail artery was slowly instilled into the subarachnoid space through a butterfly needle and tubing. The animals were then kept in a ventral recumbent position for at least 30 min to promote ventral blood distribution. The respiratory pattern of rats was closely inspected, and mechanical ventilation was provided if required. Once fully awake, the animals were sent back to the vivarium. 4.5. Experimental Design and Drug Administration The rats were randomly selected and divided into the following five groups (n = 6 per group): (1) control (no DM or SAH), (2) SAH only, (3) DM + SAH, (4) DM + SAH + Mdivi-1 (0.24 mg/kg), and (5) DM + SAH + Mdivi-1 (1.2 mg/kg). The dose and the time point of the Mdivi-1 treatment were chosen based on the previous study [15]. Mdivi-1 (MedChemExpress; Monmouth Junction; USA) was dissolved in 0.1% dimethyl sulfoxide (DMSO) and administered via intraperitoneal injection immediately after SAH induction. The vehicle animals received an intraperitoneal injection of 0.1% DMSO. The blood-glucose levels were monitored before and after STZ injection. The SAH model was established on day 7 after STZ injection. The animals that survived for 2 days after SAH were included for analysis, and then sacrificed for subsequent experiments. The rats were randomly selected and divided into the following five groups (n = 6 per group): (1) control (no DM or SAH), (2) SAH only, (3) DM + SAH, (4) DM + SAH + Mdivi-1 (0.24 mg/kg), and (5) DM + SAH + Mdivi-1 (1.2 mg/kg). The dose and the time point of the Mdivi-1 treatment were chosen based on the previous study [15]. Mdivi-1 (MedChemExpress; Monmouth Junction; USA) was dissolved in 0.1% dimethyl sulfoxide (DMSO) and administered via intraperitoneal injection immediately after SAH induction. The vehicle animals received an intraperitoneal injection of 0.1% DMSO. The blood-glucose levels were monitored before and after STZ injection. The SAH model was established on day 7 after STZ injection. The animals that survived for 2 days after SAH were included for analysis, and then sacrificed for subsequent experiments. 4.6. Neurological Assessment Neurobehavioral evaluation of animals was performed by assessing the sensorimotor integration of the forelimb and hindlimb activities using the modified limb-placing test, which consisted of ambulation, as well as placing and stepping reflex [46]. The motor-deficit index (MDI) represented the sum of scores for walking using the lower limbs and for placing/stepping response, and was determined before and 48 h after SAH induction. High MDI values indicated poor neurological outcomes. Neurobehavioral evaluation of animals was performed by assessing the sensorimotor integration of the forelimb and hindlimb activities using the modified limb-placing test, which consisted of ambulation, as well as placing and stepping reflex [46]. The motor-deficit index (MDI) represented the sum of scores for walking using the lower limbs and for placing/stepping response, and was determined before and 48 h after SAH induction. High MDI values indicated poor neurological outcomes. 4.7. Tissue Processing At the end of the experiments, each animal was re-anesthetized for perfusion and fixation. The thoracic cage was opened by canalling the left ventricle using a No. 16 catheter. The brain was perfused with 180 mL of 2% paraformaldehyde and 100 mL of phosphate buffer (0.01 M) at below 36 °C and 100-mmHg perfusion pressure, after clamping the descending aorta and puncturing the right atrium. Gross inspection of harvested brains was performed to confirm the presence of subarachnoid blood clots over the BA, and the specimen was immersed in a fixative solution. The BAs were then separated from the brainstems, and the middle third of each vessel was dissected. The arterial segments were flat-embedded in paraffin, and BA cross-sections were cut into 3-μm sections that were stained with hematoxylin and eosin stain for subsequent analysis. At the end of the experiments, each animal was re-anesthetized for perfusion and fixation. The thoracic cage was opened by canalling the left ventricle using a No. 16 catheter. The brain was perfused with 180 mL of 2% paraformaldehyde and 100 mL of phosphate buffer (0.01 M) at below 36 °C and 100-mmHg perfusion pressure, after clamping the descending aorta and puncturing the right atrium. Gross inspection of harvested brains was performed to confirm the presence of subarachnoid blood clots over the BA, and the specimen was immersed in a fixative solution. The BAs were then separated from the brainstems, and the middle third of each vessel was dissected. The arterial segments were flat-embedded in paraffin, and BA cross-sections were cut into 3-μm sections that were stained with hematoxylin and eosin stain for subsequent analysis. 4.8. Morphometric Assessment of BA Three cross-sections from the middle-third BA from each animal were analyzed by a trained member of research staff who was blinded to the experimental groups. The BA thickness was defined as the largest vertical distance between the inner surface of the endothelium and the outer surface of the adventitia. The arterial cross-sectional area was calculated using a computer-based morphometric analysis (ImageJ; Universal Imaging Corp., Hialeah, FL, USA). The average area of the BA cross-section from each rat was calculated to obtain the mean values for the degree of vasospasm at 48 h after SAH. Three cross-sections from the middle-third BA from each animal were analyzed by a trained member of research staff who was blinded to the experimental groups. The BA thickness was defined as the largest vertical distance between the inner surface of the endothelium and the outer surface of the adventitia. The arterial cross-sectional area was calculated using a computer-based morphometric analysis (ImageJ; Universal Imaging Corp., Hialeah, FL, USA). The average area of the BA cross-section from each rat was calculated to obtain the mean values for the degree of vasospasm at 48 h after SAH. 4.9. Immunofluorescence After deparaffinization and rehydration, the paraffin-embedded brain samples were treated with steam heating for antigen retrieval (30 min) using a DAKO antigen retrieval solution (DAKO, Carpinteria, CA, USA). The slides were washed twice with TBS, and the sections were incubated with mouse anti-GFAP (Sigma-Aldrich; G3893; St. Louis, MI, USA) and rabbit anti-Iba1 (Proteintech; 10904-1-AP; Taiwan) antibodies for 16 h at 4 °C. The slides were, again, washed twice with TBS, and subsequently incubated with goat anti-rabbit IgG (H+L)-FAM (Croyez; C04013; Taiwan) and goat anti-mouse IgG (H+L)-TAMRA (Croyez; C04012; Taiwan) antibodies for 90 min at room temperature. Afterward, the slides were washed twice with TBS and were mounted using FluoroshieldTM with DAPI (Sigma-Aldrich; F6057; St. Louis, MI, USA). After deparaffinization and rehydration, the paraffin-embedded brain samples were treated with steam heating for antigen retrieval (30 min) using a DAKO antigen retrieval solution (DAKO, Carpinteria, CA, USA). The slides were washed twice with TBS, and the sections were incubated with mouse anti-GFAP (Sigma-Aldrich; G3893; St. Louis, MI, USA) and rabbit anti-Iba1 (Proteintech; 10904-1-AP; Taiwan) antibodies for 16 h at 4 °C. The slides were, again, washed twice with TBS, and subsequently incubated with goat anti-rabbit IgG (H+L)-FAM (Croyez; C04013; Taiwan) and goat anti-mouse IgG (H+L)-TAMRA (Croyez; C04012; Taiwan) antibodies for 90 min at room temperature. Afterward, the slides were washed twice with TBS and were mounted using FluoroshieldTM with DAPI (Sigma-Aldrich; F6057; St. Louis, MI, USA). 4.10. Enzyme-Linked Immunosorbent Assay (ELISA) To remove the cells, the samples were immediately centrifuged at 2000× g for 10 min at 4 °C. The collected supernatant was stored below −15 °C before analysis. The collected body fluids were first concentrated by passing them through the C2 columns, to determine the amounts of tumor necrosis factor (TNF)-α, interleukin (IL)-1β, and IL6 in the collected supernatant (Amersham, Nutley, NJ, USA). The amount of inflammatory factor present in the media was detected using an inflammatory factor ELISA system (Thermo Fisher Scientific, Waltham, MA, USA) at 450 nm. To remove the cells, the samples were immediately centrifuged at 2000× g for 10 min at 4 °C. The collected supernatant was stored below −15 °C before analysis. The collected body fluids were first concentrated by passing them through the C2 columns, to determine the amounts of tumor necrosis factor (TNF)-α, interleukin (IL)-1β, and IL6 in the collected supernatant (Amersham, Nutley, NJ, USA). The amount of inflammatory factor present in the media was detected using an inflammatory factor ELISA system (Thermo Fisher Scientific, Waltham, MA, USA) at 450 nm. 4.11. TUNEL Staining Apoptotic nuclei were stained using a TUNEL detection kit (Roche Inc., Indianapolis, IN, USA) according to the manufacturer’s protocols. Briefly, the tissue sections were fixed in 4% methanol-free paraformaldehyde at 4 °C and washed with phosphate-buffered saline (PBS) for 30 min. Equilibrium buffer (0.1 mL) was added to each slide, which was then covered with parafilm for 10 min. A 50-μL mixture comprising 45 μL equilibrium buffer, 5-μL nucleotide mix, and 1-μL TdT enzyme was prepared and added onto each slide. The slides were incubated in the dark for 1–2 h at 37 °C. Saline sodium citrate (2×) was added to stop the TdT enzyme reaction for 15 min at room temperature. The unbound fluorescent-12-dUTP was washed out using PBS. Then, the slides were dipped in propidium iodide to stain the cells in the dark for 15 min. The slides were dried after rinsing with de-ionized water, and coverslips were overlaid on the interesting area of the slides. Apoptotic nuclei were stained using a TUNEL detection kit (Roche Inc., Indianapolis, IN, USA) according to the manufacturer’s protocols. Briefly, the tissue sections were fixed in 4% methanol-free paraformaldehyde at 4 °C and washed with phosphate-buffered saline (PBS) for 30 min. Equilibrium buffer (0.1 mL) was added to each slide, which was then covered with parafilm for 10 min. A 50-μL mixture comprising 45 μL equilibrium buffer, 5-μL nucleotide mix, and 1-μL TdT enzyme was prepared and added onto each slide. The slides were incubated in the dark for 1–2 h at 37 °C. Saline sodium citrate (2×) was added to stop the TdT enzyme reaction for 15 min at room temperature. The unbound fluorescent-12-dUTP was washed out using PBS. Then, the slides were dipped in propidium iodide to stain the cells in the dark for 15 min. The slides were dried after rinsing with de-ionized water, and coverslips were overlaid on the interesting area of the slides. 4.12. Western Blot Analysis Tissue extracts were prepared in 500-μL of RIPA buffer (Millipore; 20-188; Burlington, MA, USA), including 1× protease inhibitor (Roche, Germany) and 1× phosphatase inhibitor (Roche, Germany), and incubated on ice for 30 min. The protein amount in the supernatant was quantified using a BCA kit (Sigma-Aldrich; C2284; USA), and the samples (50 μg) were electrophoresed on 10% SDS–polyacrylamide gels, and then transferred to PVDF membranes following centrifugation at 13,000 rpm (10,000 g) for 30 min at 4 °C. The membranes were blocked for 60 min at room temperature in TBS containing 5% fat-free milk, and then incubated for 16 h at 4 °C with antibodies against β-actin (Sigma-Aldrich; A6316; USA) and p-Drp1 (ProSci; 79-951; Fort Collins, CO, USA). After washing, the membranes were incubated for 1.5 h at room temperature with the appropriate horseradish peroxidase-labeled secondary antibodies, and bound antibodies were visualized and quantified via chemiluminescence detection. β-actin was used as the internal control. The amount of the protein of interest, expressed as arbitrary densitometric units, was normalized to the densitometric units of β-actin; then, the density of the band was expressed as the relative density compared with that in the control group. Tissue extracts were prepared in 500-μL of RIPA buffer (Millipore; 20-188; Burlington, MA, USA), including 1× protease inhibitor (Roche, Germany) and 1× phosphatase inhibitor (Roche, Germany), and incubated on ice for 30 min. The protein amount in the supernatant was quantified using a BCA kit (Sigma-Aldrich; C2284; USA), and the samples (50 μg) were electrophoresed on 10% SDS–polyacrylamide gels, and then transferred to PVDF membranes following centrifugation at 13,000 rpm (10,000 g) for 30 min at 4 °C. The membranes were blocked for 60 min at room temperature in TBS containing 5% fat-free milk, and then incubated for 16 h at 4 °C with antibodies against β-actin (Sigma-Aldrich; A6316; USA) and p-Drp1 (ProSci; 79-951; Fort Collins, CO, USA). After washing, the membranes were incubated for 1.5 h at room temperature with the appropriate horseradish peroxidase-labeled secondary antibodies, and bound antibodies were visualized and quantified via chemiluminescence detection. β-actin was used as the internal control. The amount of the protein of interest, expressed as arbitrary densitometric units, was normalized to the densitometric units of β-actin; then, the density of the band was expressed as the relative density compared with that in the control group. 4.13. Real-Time Quantitative PCR (qRT-PCR) The expression levels of inflammatory factors (TNF-α, IL-1β, and IL-6) were detected via qRT-PCR, using the cDNA as the template, on a StepOne Real-Time PCR System (Applied Biosystems, Waltham, MA, USA). PCR reactions were performed in triplicate, and data were analyzed using the comparative threshold cycle (2−ΔΔCT) method. The PCR amplification cycles consisted of denaturing at 95 °C for 5 min, 45 cycles of denaturing at 95 °C for 90 s, annealing at 61 °C for 30 s, extension at 72 °C for 30 s, and final elongation at 72 °C for 10 min. To minimize errors arising from variations in the amount of starting RNA in the samples, glyceraldehyde 3-phosphate dehydrogenase (GAPDH) was used as an internal reference. GAPDH: Forward 5′-AGACAGCCGCATCTTCTTGT-3′ and Reverse 5′-CTTGCCGTGGGTAGAGTCAT; TNF-α: Forward 5′-GCCCAGACCCTCACACTC-3′ and Reserve 5′-CACTCCAGCTGCTCCTCT-3′; IL-1β: Forward 5′- ATGGCAGAAGTACCTAAGCTCGC-3′ and Reverse 5′-ACACAAATTGCATGGTGAAGTCAGTT-3′; IL-6: Forward 5′-CCGGAGAGGAGACTTCACAG-3′ and Reverse 5′-ACAGTGCATCATCGCTGTTC-3′. The expression levels of inflammatory factors (TNF-α, IL-1β, and IL-6) were detected via qRT-PCR, using the cDNA as the template, on a StepOne Real-Time PCR System (Applied Biosystems, Waltham, MA, USA). PCR reactions were performed in triplicate, and data were analyzed using the comparative threshold cycle (2−ΔΔCT) method. The PCR amplification cycles consisted of denaturing at 95 °C for 5 min, 45 cycles of denaturing at 95 °C for 90 s, annealing at 61 °C for 30 s, extension at 72 °C for 30 s, and final elongation at 72 °C for 10 min. To minimize errors arising from variations in the amount of starting RNA in the samples, glyceraldehyde 3-phosphate dehydrogenase (GAPDH) was used as an internal reference. GAPDH: Forward 5′-AGACAGCCGCATCTTCTTGT-3′ and Reverse 5′-CTTGCCGTGGGTAGAGTCAT; TNF-α: Forward 5′-GCCCAGACCCTCACACTC-3′ and Reserve 5′-CACTCCAGCTGCTCCTCT-3′; IL-1β: Forward 5′- ATGGCAGAAGTACCTAAGCTCGC-3′ and Reverse 5′-ACACAAATTGCATGGTGAAGTCAGTT-3′; IL-6: Forward 5′-CCGGAGAGGAGACTTCACAG-3′ and Reverse 5′-ACAGTGCATCATCGCTGTTC-3′. 4.14. Statistical Analysis The results were analyzed using Statistical Package for the Social Sciences version 20.0 (IBM SPSS Statistics). Data were expressed as mean ± standard deviation (SD). The estimates were compared with the one-way analysis of variance (ANOVA). A p-value of <0.05 was defined as statistically significant. The results were analyzed using Statistical Package for the Social Sciences version 20.0 (IBM SPSS Statistics). Data were expressed as mean ± standard deviation (SD). The estimates were compared with the one-way analysis of variance (ANOVA). A p-value of <0.05 was defined as statistically significant. 4.1. Cell Culture and Treatment: The mouse BV2 microglial cells were cultured with DMEM, including 10% fetal bovine serum and 5% carbon dioxide, at 37 °C. The BV2 cells were treated with Mdivi-1 30 min before the addition of lipopolysaccharide (LPS) at 100 ng/mL to measure the anti-inflammatory effects of Mdivi-1. 4.2. Animal Preparation: Male Sprague Dawley rats weighing between 350 and 450 g were used (BioLasco; Taipei; Taiwan). All rats were housed at a constant temperature (24 °C) and at regular light/dark cycles between 6:00 am and 6:00 pm, with free access to a diet. The study procedures were executed in accordance with the protocol approved by the Committee of Institutional Animal Research at the Kaohsiung Medical University (IACUC 108215). 4.3. Hyperglycemia Induction: Hyperglycemia was induced according to the method described by Yu-Hua Huang [44]. A single dose of STZ at 50 mg/kg was intraperitoneally injected to induce hyperglycemia. Blood glucose was measured via the tail vein of each rat using a portable glucometer (Accu-Chek Performa, Roche Diagnostics Ltd., Indianapolis, IN, USA) that was calibrated according to the manufacturer’s protocols. Diabetes mellitus (DM) induction was considered successful if the blood-glucose level was >300 mg/dL at 7 days following STZ administration [32]. 4.4. SAH Induction: The one-shot SAH model was used in rats [45]. Briefly, the animals were anesthetized using an intraperitoneal injection of Zoletil 50® (VIRBAC; Carros; France) at 40 mg/mL, which contained a mixture of zolazepam and tiletamine hydrochloride (Virbac, Carros, France). The rats’ heads were fixed in a stereotactic apparatus, and a 25-gauge butterfly needle was advanced into the cisterna magna, which was confirmed by withdrawing 0.3-mL of cerebrospinal fluid (CSF). Fresh, autologous, and non-heparinized blood (0.1 mL/100 g of body weight) drawn from the central tail artery was slowly instilled into the subarachnoid space through a butterfly needle and tubing. The animals were then kept in a ventral recumbent position for at least 30 min to promote ventral blood distribution. The respiratory pattern of rats was closely inspected, and mechanical ventilation was provided if required. Once fully awake, the animals were sent back to the vivarium. 4.5. Experimental Design and Drug Administration: The rats were randomly selected and divided into the following five groups (n = 6 per group): (1) control (no DM or SAH), (2) SAH only, (3) DM + SAH, (4) DM + SAH + Mdivi-1 (0.24 mg/kg), and (5) DM + SAH + Mdivi-1 (1.2 mg/kg). The dose and the time point of the Mdivi-1 treatment were chosen based on the previous study [15]. Mdivi-1 (MedChemExpress; Monmouth Junction; USA) was dissolved in 0.1% dimethyl sulfoxide (DMSO) and administered via intraperitoneal injection immediately after SAH induction. The vehicle animals received an intraperitoneal injection of 0.1% DMSO. The blood-glucose levels were monitored before and after STZ injection. The SAH model was established on day 7 after STZ injection. The animals that survived for 2 days after SAH were included for analysis, and then sacrificed for subsequent experiments. 4.6. Neurological Assessment: Neurobehavioral evaluation of animals was performed by assessing the sensorimotor integration of the forelimb and hindlimb activities using the modified limb-placing test, which consisted of ambulation, as well as placing and stepping reflex [46]. The motor-deficit index (MDI) represented the sum of scores for walking using the lower limbs and for placing/stepping response, and was determined before and 48 h after SAH induction. High MDI values indicated poor neurological outcomes. 4.7. Tissue Processing: At the end of the experiments, each animal was re-anesthetized for perfusion and fixation. The thoracic cage was opened by canalling the left ventricle using a No. 16 catheter. The brain was perfused with 180 mL of 2% paraformaldehyde and 100 mL of phosphate buffer (0.01 M) at below 36 °C and 100-mmHg perfusion pressure, after clamping the descending aorta and puncturing the right atrium. Gross inspection of harvested brains was performed to confirm the presence of subarachnoid blood clots over the BA, and the specimen was immersed in a fixative solution. The BAs were then separated from the brainstems, and the middle third of each vessel was dissected. The arterial segments were flat-embedded in paraffin, and BA cross-sections were cut into 3-μm sections that were stained with hematoxylin and eosin stain for subsequent analysis. 4.8. Morphometric Assessment of BA: Three cross-sections from the middle-third BA from each animal were analyzed by a trained member of research staff who was blinded to the experimental groups. The BA thickness was defined as the largest vertical distance between the inner surface of the endothelium and the outer surface of the adventitia. The arterial cross-sectional area was calculated using a computer-based morphometric analysis (ImageJ; Universal Imaging Corp., Hialeah, FL, USA). The average area of the BA cross-section from each rat was calculated to obtain the mean values for the degree of vasospasm at 48 h after SAH. 4.9. Immunofluorescence: After deparaffinization and rehydration, the paraffin-embedded brain samples were treated with steam heating for antigen retrieval (30 min) using a DAKO antigen retrieval solution (DAKO, Carpinteria, CA, USA). The slides were washed twice with TBS, and the sections were incubated with mouse anti-GFAP (Sigma-Aldrich; G3893; St. Louis, MI, USA) and rabbit anti-Iba1 (Proteintech; 10904-1-AP; Taiwan) antibodies for 16 h at 4 °C. The slides were, again, washed twice with TBS, and subsequently incubated with goat anti-rabbit IgG (H+L)-FAM (Croyez; C04013; Taiwan) and goat anti-mouse IgG (H+L)-TAMRA (Croyez; C04012; Taiwan) antibodies for 90 min at room temperature. Afterward, the slides were washed twice with TBS and were mounted using FluoroshieldTM with DAPI (Sigma-Aldrich; F6057; St. Louis, MI, USA). 4.10. Enzyme-Linked Immunosorbent Assay (ELISA): To remove the cells, the samples were immediately centrifuged at 2000× g for 10 min at 4 °C. The collected supernatant was stored below −15 °C before analysis. The collected body fluids were first concentrated by passing them through the C2 columns, to determine the amounts of tumor necrosis factor (TNF)-α, interleukin (IL)-1β, and IL6 in the collected supernatant (Amersham, Nutley, NJ, USA). The amount of inflammatory factor present in the media was detected using an inflammatory factor ELISA system (Thermo Fisher Scientific, Waltham, MA, USA) at 450 nm. 4.11. TUNEL Staining: Apoptotic nuclei were stained using a TUNEL detection kit (Roche Inc., Indianapolis, IN, USA) according to the manufacturer’s protocols. Briefly, the tissue sections were fixed in 4% methanol-free paraformaldehyde at 4 °C and washed with phosphate-buffered saline (PBS) for 30 min. Equilibrium buffer (0.1 mL) was added to each slide, which was then covered with parafilm for 10 min. A 50-μL mixture comprising 45 μL equilibrium buffer, 5-μL nucleotide mix, and 1-μL TdT enzyme was prepared and added onto each slide. The slides were incubated in the dark for 1–2 h at 37 °C. Saline sodium citrate (2×) was added to stop the TdT enzyme reaction for 15 min at room temperature. The unbound fluorescent-12-dUTP was washed out using PBS. Then, the slides were dipped in propidium iodide to stain the cells in the dark for 15 min. The slides were dried after rinsing with de-ionized water, and coverslips were overlaid on the interesting area of the slides. 4.12. Western Blot Analysis: Tissue extracts were prepared in 500-μL of RIPA buffer (Millipore; 20-188; Burlington, MA, USA), including 1× protease inhibitor (Roche, Germany) and 1× phosphatase inhibitor (Roche, Germany), and incubated on ice for 30 min. The protein amount in the supernatant was quantified using a BCA kit (Sigma-Aldrich; C2284; USA), and the samples (50 μg) were electrophoresed on 10% SDS–polyacrylamide gels, and then transferred to PVDF membranes following centrifugation at 13,000 rpm (10,000 g) for 30 min at 4 °C. The membranes were blocked for 60 min at room temperature in TBS containing 5% fat-free milk, and then incubated for 16 h at 4 °C with antibodies against β-actin (Sigma-Aldrich; A6316; USA) and p-Drp1 (ProSci; 79-951; Fort Collins, CO, USA). After washing, the membranes were incubated for 1.5 h at room temperature with the appropriate horseradish peroxidase-labeled secondary antibodies, and bound antibodies were visualized and quantified via chemiluminescence detection. β-actin was used as the internal control. The amount of the protein of interest, expressed as arbitrary densitometric units, was normalized to the densitometric units of β-actin; then, the density of the band was expressed as the relative density compared with that in the control group. 4.13. Real-Time Quantitative PCR (qRT-PCR): The expression levels of inflammatory factors (TNF-α, IL-1β, and IL-6) were detected via qRT-PCR, using the cDNA as the template, on a StepOne Real-Time PCR System (Applied Biosystems, Waltham, MA, USA). PCR reactions were performed in triplicate, and data were analyzed using the comparative threshold cycle (2−ΔΔCT) method. The PCR amplification cycles consisted of denaturing at 95 °C for 5 min, 45 cycles of denaturing at 95 °C for 90 s, annealing at 61 °C for 30 s, extension at 72 °C for 30 s, and final elongation at 72 °C for 10 min. To minimize errors arising from variations in the amount of starting RNA in the samples, glyceraldehyde 3-phosphate dehydrogenase (GAPDH) was used as an internal reference. GAPDH: Forward 5′-AGACAGCCGCATCTTCTTGT-3′ and Reverse 5′-CTTGCCGTGGGTAGAGTCAT; TNF-α: Forward 5′-GCCCAGACCCTCACACTC-3′ and Reserve 5′-CACTCCAGCTGCTCCTCT-3′; IL-1β: Forward 5′- ATGGCAGAAGTACCTAAGCTCGC-3′ and Reverse 5′-ACACAAATTGCATGGTGAAGTCAGTT-3′; IL-6: Forward 5′-CCGGAGAGGAGACTTCACAG-3′ and Reverse 5′-ACAGTGCATCATCGCTGTTC-3′. 4.14. Statistical Analysis: The results were analyzed using Statistical Package for the Social Sciences version 20.0 (IBM SPSS Statistics). Data were expressed as mean ± standard deviation (SD). The estimates were compared with the one-way analysis of variance (ANOVA). A p-value of <0.05 was defined as statistically significant. 5. Conclusions: Our previous study revealed that hyperglycemia exacerbated cerebral vasospasm and was associated with poorer neurological outcomes following SAH. In addition, hyperglycemia enhanced inflammation and neuron cell apoptosis in the brain with SAH. Mdivi-1, a drp-1 inhibitor, attenuated cerebral vasospasm, poorer neurological outcomes, inflammation, and neuron cell apoptosis following SAH plus hyperglycemia. This study reveals that hyperglycemia enhanced SAH-induced Drp1 phosphorylation. Mdivi-1, a drp-1 inhibitor, attenuated cerebral vasospasm, poor neurological outcomes, inflammation, and neuron cell apoptosis following SAH, with or without hyperglycemia. The data suggest that hyperglycemia aggravated SAH-induced neurological prognosis through mitochondrial fission. Therefore, after Mdivi-1 treatment in hyperglycemic SAH animals, the inhibition of Drp1 significantly reduces the morphological change in mitochondria while alleviating neurobehavioral deficits. The number of apoptotic neurons decreased in a dose-dependent manner. The results prove that Mdivi-1 has therapeutic effects against hyperglycemia-exacerbated neuronal death.
Background: Neurological deficits following subarachnoid hemorrhage (SAH) are caused by early or delayed brain injuries. Our previous studies have demonstrated that hyperglycemia induces profound neuronal apoptosis of the cerebral cortex. Morphologically, we found that hyperglycemia exacerbated late vasospasm following SAH. Thus, our previous studies strongly suggest that post-SAH hyperglycemia is not only a response to primary insult, but also an aggravating factor for brain injuries. In addition, mitochondrial fusion and fission are vital to maintaining cellular functions. Current evidence also shows that the suppression of mitochondrial fission alleviates brain injuries after experimental SAH. Hence, this study aimed to determine the effects of mitochondrial dynamic modulation in hyperglycemia-related worse SAH neurological prognosis. Methods: In vitro, we employed an enzyme-linked immunosorbent assay (ELISA) to detect the effect of mitochondrial division inhibitor-1 (Mdivi-1) on lipopolysaccharide (LPS)-induced BV-2 cells releasing inflammatory factors. In vivo, we produced hyperglycemic rats via intraperitoneal streptozotocin (STZ) injections. Hyperglycemia was confirmed using blood-glucose measurements (&gt;300 mg/dL) 7 days after the STZ injection. The rodent model of SAH, in which fresh blood was instilled into the craniocervical junction, was used 7 days after STZ administration. We investigated the mechanism and effect of Mdivi-1, a selective inhibitor of dynamin-related protein (Drp1) to downregulate mitochondrial fission, on SAH-induced apoptosis in a hyperglycemic state, and evaluated the results in a dose-response manner. The rats were divided into the following five groups: (1) control, (2) SAH only, (3) Diabetes mellitus (DM) + SAH, (4) Mdivi-1 (0.24 mg/kg) + DM + SAH, and (5) Mdivi-1 (1.2 mg/kg) + DM + SAH. Results: In vitro, ELISA revealed that Mdivi-1 inhibited microglia from releasing inflammatory factors, such as tumor necrosis factor-α (TNF-α), interleukin (IL)-1β, and IL-6. In vivo, neurological outcomes in the high-dose (1.2 mg/kg) Mdivi-1 treatment group were significantly reduced compared with the SAH and DM + SAH groups. Furthermore, immunofluorescence staining and ELISA revealed that a high dose of Mdivi-1 had attenuated inflammation and neuron cell apoptosis by inhibiting Hyperglycemia-aggravated activation, as well as microglia and astrocyte proliferation, following SAH. Conclusions: Mdivi-1, a Drp-1 inhibitor, attenuates cerebral vasospasm, poor neurological outcomes, inflammation, and neuron cell apoptosis following SAH + hyperglycemia.
1. Introduction: Spontaneous subarachnoid hemorrhage (SAH) is a devastating disease with high mortality and morbidity rates [1]. Only one-third of survival-to-discharge patients resume the same employment as pre-event [2]. Even patients with favorable outcomes are frequently left with significant impairment to residual memory or executive function, or language deficits [3]. Early or delayed brain injuries, presenting in the first 72 h or later within 14 days following SAH, are major components associated with neurological sequelae [4,5,6]. One of the critical mechanisms of early brain injury is the disruption of the blood–brain barrier (BBB), a structure that primarily consist of cerebral microvascular endothelial cells, astrocytic endfeet, an extracellular matrix, and pericytes [7]. Loss of BBB integrity results in the direct exposure of the brain tissues to neurotoxic blood contents and immune cells, which leads to secondary brain insults, including inflammation and oxidative stress, as well as other cascades [8]. In addition, apoptosis is one major catastrophic event in the early stage of SAH [6,9]. Apoptotic cell death, which can occur in cerebral neurons or endothelial cells through the intrinsic or extrinsic pathways, has played a significant role in the prognosis in animal SAH models [4,10,11]. Meanwhile, the most common cause of delayed brain injuries is cerebral arterial vasospasm. Cerebral ischemia secondary to vasospasm occurs in 20–30% of these patients, and has been correlated with a 1.5–3-fold increase in mortality in the first 2 weeks following SAH [12,13]. Mitochondrial activity modulation has been reported to alleviate brain injuries and improve neurological deficits following experimental SAH [14,15]. Mitochondria are among the irreplaceable endomembrane systems and are highly dynamic organelles that constantly fuse and divide [16]. Mitochondrial fusion and fission are important to maintain functions, including energy provision to cells, anabolic and catabolic biochemical pathway intervention, calcium homeostasis, regulation, and cell-death initiation [17,18]. The morphology or the shape change in mitochondria is mediated mainly by dynamin-related protein (Drp1) and mitochondrial fission 1 (Fis1) for fission, and mitofusin (Mfn) and optic atrophy-1 (OPA1) for fusion [19]. Defects in mitochondrial fission and fusion proteins have been linked to neurodegenerative diseases such as Alzheimer’s, Parkinson’s, and Huntington’s disease, with the essential role of mitochondrial dynamics in neurons [20]. In addition, the loss of balance in fusion and fission leads to acute central nervous system injuries. The studies demonstrated that Drp1 inhibition could attenuate the neurological dysfunction of traumatic brain injury or spinal cord injury by inhibiting mitochondrial fragmentation and apoptosis activation [21,22]. Drp1 downregulation or Mfn2 upregulation reduces neuronal apoptosis by restoring mitochondrial function in hypoxic or ischemic brain models [23,24]. It has been reported that hyperglycemia after cerebral ischemia, a known detrimental factor, further exacerbates the imbalance between mitochondrial fission and fusion, and favors mitochondrial fragmentation and subsequent mitochondrial damage [25]. Our previous study demonstrated that hyperglycemia was partly involved in early brain injuries in as SAH rat model, and induced more profound apoptosis, which mostly occurs in the neurons of the cerebral cortex. Furthermore, morphologically, we found that hyperglycemia exacerbated post-SAH vasospasm, as evidenced by the greater cross-sectional area reduction of the basilar arteries. Drp1 is demonstrated as an intrinsic component of multiple mitochondria-dependent apoptosis pathways, and its activity predominantly controls mitochondrial fission [26]. Drp1 proteins, mainly in the cytoplasm, translocate to the mitochondria and are subjected to several post-transcriptional modifications, including ubiquitination, phosphorylation, nitrosylation and SUMOylation [27,28]. Mitochondrial division inhibitor-1 (Mdivi-1) is a quinazolinone derivative that can selectively inhibit Drp1 to downregulate mitochondrial fission [29]. Investigations have reported that Mdivi-1 helps attenuate cell death following experimental traumatic brain injury by maintaining mitochondrial morphology, mitigating autophagy dysfunction, or inhibiting apoptosis activation [21,30]. This study investigated the influence of Mdivi-1 on cell death, severe neurological outcomes, and neuronal apoptosis following SAH with hyperglycemia. 5. Conclusions: Our previous study revealed that hyperglycemia exacerbated cerebral vasospasm and was associated with poorer neurological outcomes following SAH. In addition, hyperglycemia enhanced inflammation and neuron cell apoptosis in the brain with SAH. Mdivi-1, a drp-1 inhibitor, attenuated cerebral vasospasm, poorer neurological outcomes, inflammation, and neuron cell apoptosis following SAH plus hyperglycemia. This study reveals that hyperglycemia enhanced SAH-induced Drp1 phosphorylation. Mdivi-1, a drp-1 inhibitor, attenuated cerebral vasospasm, poor neurological outcomes, inflammation, and neuron cell apoptosis following SAH, with or without hyperglycemia. The data suggest that hyperglycemia aggravated SAH-induced neurological prognosis through mitochondrial fission. Therefore, after Mdivi-1 treatment in hyperglycemic SAH animals, the inhibition of Drp1 significantly reduces the morphological change in mitochondria while alleviating neurobehavioral deficits. The number of apoptotic neurons decreased in a dose-dependent manner. The results prove that Mdivi-1 has therapeutic effects against hyperglycemia-exacerbated neuronal death.
Background: Neurological deficits following subarachnoid hemorrhage (SAH) are caused by early or delayed brain injuries. Our previous studies have demonstrated that hyperglycemia induces profound neuronal apoptosis of the cerebral cortex. Morphologically, we found that hyperglycemia exacerbated late vasospasm following SAH. Thus, our previous studies strongly suggest that post-SAH hyperglycemia is not only a response to primary insult, but also an aggravating factor for brain injuries. In addition, mitochondrial fusion and fission are vital to maintaining cellular functions. Current evidence also shows that the suppression of mitochondrial fission alleviates brain injuries after experimental SAH. Hence, this study aimed to determine the effects of mitochondrial dynamic modulation in hyperglycemia-related worse SAH neurological prognosis. Methods: In vitro, we employed an enzyme-linked immunosorbent assay (ELISA) to detect the effect of mitochondrial division inhibitor-1 (Mdivi-1) on lipopolysaccharide (LPS)-induced BV-2 cells releasing inflammatory factors. In vivo, we produced hyperglycemic rats via intraperitoneal streptozotocin (STZ) injections. Hyperglycemia was confirmed using blood-glucose measurements (&gt;300 mg/dL) 7 days after the STZ injection. The rodent model of SAH, in which fresh blood was instilled into the craniocervical junction, was used 7 days after STZ administration. We investigated the mechanism and effect of Mdivi-1, a selective inhibitor of dynamin-related protein (Drp1) to downregulate mitochondrial fission, on SAH-induced apoptosis in a hyperglycemic state, and evaluated the results in a dose-response manner. The rats were divided into the following five groups: (1) control, (2) SAH only, (3) Diabetes mellitus (DM) + SAH, (4) Mdivi-1 (0.24 mg/kg) + DM + SAH, and (5) Mdivi-1 (1.2 mg/kg) + DM + SAH. Results: In vitro, ELISA revealed that Mdivi-1 inhibited microglia from releasing inflammatory factors, such as tumor necrosis factor-α (TNF-α), interleukin (IL)-1β, and IL-6. In vivo, neurological outcomes in the high-dose (1.2 mg/kg) Mdivi-1 treatment group were significantly reduced compared with the SAH and DM + SAH groups. Furthermore, immunofluorescence staining and ELISA revealed that a high dose of Mdivi-1 had attenuated inflammation and neuron cell apoptosis by inhibiting Hyperglycemia-aggravated activation, as well as microglia and astrocyte proliferation, following SAH. Conclusions: Mdivi-1, a Drp-1 inhibitor, attenuates cerebral vasospasm, poor neurological outcomes, inflammation, and neuron cell apoptosis following SAH + hyperglycemia.
12,199
478
[ 85, 235, 268, 412, 170, 115, 136, 4080, 60, 82, 106, 186, 182, 86, 161, 114, 179, 111, 202, 268, 191, 60 ]
26
[ "sah", "mdivi", "dm", "dm sah", "dose", "dose mdivi", "il", "mg", "group", "mg kg" ]
[ "apoptosis brain sah", "attenuates brain injury", "early brain injuries", "disruption blood brain", "blood brain barrier" ]
null
[CONTENT] hyperglycemia | Mdivi-1 | SAH [SUMMARY]
null
[CONTENT] hyperglycemia | Mdivi-1 | SAH [SUMMARY]
[CONTENT] hyperglycemia | Mdivi-1 | SAH [SUMMARY]
[CONTENT] hyperglycemia | Mdivi-1 | SAH [SUMMARY]
[CONTENT] hyperglycemia | Mdivi-1 | SAH [SUMMARY]
[CONTENT] Animals | Apoptosis | Brain Injuries | Hyperglycemia | Inflammation | Mitochondrial Dynamics | Rats | Subarachnoid Hemorrhage [SUMMARY]
null
[CONTENT] Animals | Apoptosis | Brain Injuries | Hyperglycemia | Inflammation | Mitochondrial Dynamics | Rats | Subarachnoid Hemorrhage [SUMMARY]
[CONTENT] Animals | Apoptosis | Brain Injuries | Hyperglycemia | Inflammation | Mitochondrial Dynamics | Rats | Subarachnoid Hemorrhage [SUMMARY]
[CONTENT] Animals | Apoptosis | Brain Injuries | Hyperglycemia | Inflammation | Mitochondrial Dynamics | Rats | Subarachnoid Hemorrhage [SUMMARY]
[CONTENT] Animals | Apoptosis | Brain Injuries | Hyperglycemia | Inflammation | Mitochondrial Dynamics | Rats | Subarachnoid Hemorrhage [SUMMARY]
[CONTENT] apoptosis brain sah | attenuates brain injury | early brain injuries | disruption blood brain | blood brain barrier [SUMMARY]
null
[CONTENT] apoptosis brain sah | attenuates brain injury | early brain injuries | disruption blood brain | blood brain barrier [SUMMARY]
[CONTENT] apoptosis brain sah | attenuates brain injury | early brain injuries | disruption blood brain | blood brain barrier [SUMMARY]
[CONTENT] apoptosis brain sah | attenuates brain injury | early brain injuries | disruption blood brain | blood brain barrier [SUMMARY]
[CONTENT] apoptosis brain sah | attenuates brain injury | early brain injuries | disruption blood brain | blood brain barrier [SUMMARY]
[CONTENT] sah | mdivi | dm | dm sah | dose | dose mdivi | il | mg | group | mg kg [SUMMARY]
null
[CONTENT] sah | mdivi | dm | dm sah | dose | dose mdivi | il | mg | group | mg kg [SUMMARY]
[CONTENT] sah | mdivi | dm | dm sah | dose | dose mdivi | il | mg | group | mg kg [SUMMARY]
[CONTENT] sah | mdivi | dm | dm sah | dose | dose mdivi | il | mg | group | mg kg [SUMMARY]
[CONTENT] sah | mdivi | dm | dm sah | dose | dose mdivi | il | mg | group | mg kg [SUMMARY]
[CONTENT] mitochondrial | brain | fission | injuries | cerebral | apoptosis | fusion | brain injuries | sah | drp1 [SUMMARY]
null
[CONTENT] sah | dm sah | dm | mdivi | dose mdivi | dose | figure | il | staining | group [SUMMARY]
[CONTENT] hyperglycemia | sah | inflammation neuron cell apoptosis | inflammation neuron | cerebral vasospasm | inflammation neuron cell | neurological | cerebral | following sah | inflammation [SUMMARY]
[CONTENT] sah | mdivi | dm | dm sah | il | dose mdivi | dose | mg | figure | kg [SUMMARY]
[CONTENT] sah | mdivi | dm | dm sah | il | dose mdivi | dose | mg | figure | kg [SUMMARY]
[CONTENT] SAH ||| ||| SAH ||| ||| ||| SAH ||| SAH [SUMMARY]
null
[CONTENT] ELISA | IL-6 ||| 1.2 mg/kg | SAH ||| ELISA | Hyperglycemia | astrocyte | SAH [SUMMARY]
[CONTENT] Drp-1 [SUMMARY]
[CONTENT] SAH ||| ||| SAH ||| ||| ||| SAH ||| SAH ||| ELISA | BV-2 ||| STZ ||| Hyperglycemia | 7 days | STZ ||| SAH | 7 days | STZ ||| ||| five | 1 | 2 | 3 | 4 | 0.24 mg/kg ||| ||| 5 | 1.2 mg/kg ||| ||| ELISA | IL-6 ||| 1.2 mg/kg | SAH ||| ELISA | Hyperglycemia | astrocyte | SAH ||| Drp-1 [SUMMARY]
[CONTENT] SAH ||| ||| SAH ||| ||| ||| SAH ||| SAH ||| ELISA | BV-2 ||| STZ ||| Hyperglycemia | 7 days | STZ ||| SAH | 7 days | STZ ||| ||| five | 1 | 2 | 3 | 4 | 0.24 mg/kg ||| ||| 5 | 1.2 mg/kg ||| ||| ELISA | IL-6 ||| 1.2 mg/kg | SAH ||| ELISA | Hyperglycemia | astrocyte | SAH ||| Drp-1 [SUMMARY]
Duodenal-jejunal bypass reduces serum ceramides
36159007
Bile acids play an important role in the amelioration of type 2 diabetes following duodenal-jejunal bypass (DJB). Serum bile acids are elevated postoperatively. However, the clinical relevance is not known. Bile acids in the peripheral circulation reflect the amount of bile acids in the gut. Therefore, a further investigation of luminal bile acids following DJB is of great significance.
BACKGROUND
Salicylhydroxamic acid (SHAM), DJB, and DJB with oral chenodeoxycholic acid (CDCA) supplementation were performed in a high-fat-diet/streptozotocin-induced diabetic rat model. Body weight, energy intake, oral glucose tolerance test, luminal bile acids, serum ceramides and intestinal ceramide synthesis were analyzed at week 12 postoperatively.
METHODS
Compared to SHAM, DJB achieved rapid and durable improvement in glucose tolerance and led to increased total luminal bile acid concentrations with preferentially increased proportion of farnesoid X receptor (FXR) - inhibitory bile acids within the common limb. Intestinal ceramide synthesis was repressed with decreased serum ceramides, and this phenomenon could be partially antagonized by luminal supplementation of FXR activating bile acid CDCA.
RESULTS
DJB significantly changes luminal bile acid composition with increased proportion FXR-inhibitory bile acids and reduces serum ceramide levels. There observations suggest a novel mechanism of bile acids in metabolic regulation after DJB.
CONCLUSION
[ "Animals", "Bile Acids and Salts", "Blood Glucose", "Ceramides", "Chenodeoxycholic Acid", "Diabetes Mellitus, Type 2", "Duodenum", "Glucose", "Jejunum", "Rats", "Salicylamides", "Streptozocin" ]
9453759
INTRODUCTION
Duodenal-jejunal bypass (DJB) can induce rapid and durable amelioration of type 2 diabetes mellitus[1-3]. The underlying mechanisms remain incompletely understood. Our previous research has proved that bile acids play an important role in the amelioration of type 2 diabetes following DJB[4], and found that serum taurine-conjugated bile acids are preferentially elevated postoperatively[5]. However, the clinical relevance of the specific alterations of serum bile acids is still not known. Bile acids in the peripheral circulation reflect the amount of bile acids that could not be totally reabsorbed by hepatocytes during the enterohepatic circulation[6]. Therefore, the alterations of serum bile acids might be a secondary change of the bile acids within the gut, and a further investigation of luminal bile acids following DJB is of great significance. Bile acids are traditionally known as lipid absorption-facilitating agents. It was not until recent years that the role of bile acids as signaling molecules in modulating metabolism has be unveiled. The intestinal lumina, where bile acid concentrations are high, is the main place for bile acid signaling. Two major receptors, including Takeda G-protein-coupled receptor 5 (TGR5) and nuclear farnesoid X receptor (FXR) are responsible for luminal bile acid sensing. TGR5 expression is detected in a variety of enteroendocrine cells and acute exposure of TGR5 to luminal bile acids lead to significant secretion of glucagon-like peptide 1 (GLP-1), which is a vital hormone for maintaining normal incretin effect in type 2 diabetes[7,8]. The interaction between bile acids and FXR is more complicated, as different subtypes of bile acids have distinct effect on the downstream pathway of FXR[9]. Chenodeoxycholic acid (CDCA) represents the most potent FXR stimulator while ursodeoxycholic acid (UDCA) and β-muricholic acid (βMCA) are FXR inhibitors[9-11]. Therefore, the net effect of luminal bile acids on FXR depends on the proportion of FXR-stimulating bile acids rather than the total amount of bile acids. Intestinal FXR could affect lipid metabolism and this process is closely related to ceramide synthesis. Intestine-selective FXR inhibition downregulates the expression of ceramide synthesis-related genes sphingomyelin phosphodiesterase 3 (Smpd3) and serine palmitoyltransferase long chain base subunit 2 (Sptlc2), resulting in decreased concentrations of ceramides within the small intestine, portal system and peripheral circulation[12]. Decreased ceramides inhibit the expression of sterol regulatory element binding protein-1 (SREBP-1) in the liver[12], which is a key enzyme in the process of hepatic fat accumulation. Coincidentally, the changes in lipid metabolism after intestine-selective FXR inhibition is similar to the changes following DJB that hepatic fat accumulation is alleviated and the key transcriptional regulators and enzymes involved in hepatic de novo lipogenesis are downregulated[13]. Therefore, we hypothesized that the net effect of luminal bile acids on intestinal FXR might be inhibitory after DJB which leads to decreased ceramide synthesis. To test this hypothesis, we measure the changes of individual luminal bile acid and ceramide concentrations within the enterohepatic circulation after DJB in a high-fat diet (HFD)/streptozotocin (STZ)-induced diabetic rat model.
MATERIALS AND METHODS
Animals and surgical procedures Eight-week-old male Wistar rats (220 g on average, purchased from Huafukang Biotech, China) were individually housed with a 12 h light/dark cycle under constant temperature (24-26 °C) and humidity (50%-70%). All rats were fed with HFD (42% carbohydrate, 18% protein and 40% fat, as a total percentage of calories, Huafukang Biotech, China) with no restriction to tap water for 1 mo to induce insulin resistance. After fasting for 12 h, 30 mg/kg STZ (Sigma Aldrich, United States) dissolved in sodium citrate buffer (pH 4.2) was injected into the peritoneal cavity. Random blood glucose concentrations were measured with a glucometer (Roche Diagnostics, Germany) from tail veins 72 h later. Thirty rats with random blood glucose ≥ 16.7 mmol/L were considered diabetic and were matched into salicylhydroxamic acid (SHAM) group (n = 10), DJB group (n = 10) and DJB + CDCA group (n = 10). One month later, surgery was performed as we previously reported[5]. Body weight and calorie intake were recorded daily. All rats were sacrificed after 12 h fasting at week 12 postoperatively. All procedures involving animals were reviewed and approved by the Ethics Committee on Animal Experiment of Shandong University Qilu Hospital. Eight-week-old male Wistar rats (220 g on average, purchased from Huafukang Biotech, China) were individually housed with a 12 h light/dark cycle under constant temperature (24-26 °C) and humidity (50%-70%). All rats were fed with HFD (42% carbohydrate, 18% protein and 40% fat, as a total percentage of calories, Huafukang Biotech, China) with no restriction to tap water for 1 mo to induce insulin resistance. After fasting for 12 h, 30 mg/kg STZ (Sigma Aldrich, United States) dissolved in sodium citrate buffer (pH 4.2) was injected into the peritoneal cavity. Random blood glucose concentrations were measured with a glucometer (Roche Diagnostics, Germany) from tail veins 72 h later. Thirty rats with random blood glucose ≥ 16.7 mmol/L were considered diabetic and were matched into salicylhydroxamic acid (SHAM) group (n = 10), DJB group (n = 10) and DJB + CDCA group (n = 10). One month later, surgery was performed as we previously reported[5]. Body weight and calorie intake were recorded daily. All rats were sacrificed after 12 h fasting at week 12 postoperatively. All procedures involving animals were reviewed and approved by the Ethics Committee on Animal Experiment of Shandong University Qilu Hospital. CDCA gavage Without fasting, rats in the DJB + CDCA group were administrated with CDCA suspension (100 mg/kg suspended in 3 mL tap water) by intragastric gavage three times a week since week 5 postoperatively. The gavage procedure ceased after week 11. Without fasting, rats in the DJB + CDCA group were administrated with CDCA suspension (100 mg/kg suspended in 3 mL tap water) by intragastric gavage three times a week since week 5 postoperatively. The gavage procedure ceased after week 11. Oral glucose tolerance test At week 4 and week 12, after 12 h fasting, the rats were administrated with 20% of glucose (1 g/kg) by intragastric gavage. Blood glucose concentrations were measured at t = 0, 10, 30, 60 and 120 min. At week 4 and week 12, after 12 h fasting, the rats were administrated with 20% of glucose (1 g/kg) by intragastric gavage. Blood glucose concentrations were measured at t = 0, 10, 30, 60 and 120 min. Blood sample preparation Peripheral blood samples were collected from the retrobulbar venous plexus after 12 h fasting before sacrificing. Portal venous blood samples were collected directly from the portal vein. After centrifugation, the supernatant was stored at -80 °C until analysis. Peripheral blood samples were collected from the retrobulbar venous plexus after 12 h fasting before sacrificing. Portal venous blood samples were collected directly from the portal vein. After centrifugation, the supernatant was stored at -80 °C until analysis. Luminal bile acid detection Three independent intestinal segments (3 cm each) was excised at the proximal, medium and distal sites within the common limb, respectively, without prior flushing. The control intestinal segments from SHAM group were excised at the corresponding anatomic location. Total luminal bile acids from intestinal segments were extracted by 9 mL 50 % tert-butyl alcohol for 1 h at 37 °C. After centrifugation, the supernatant was collected for bile acid analysis. Total bile acids were measured by Roche Cobas 8000 system using enzyme cycling method and individual bile acid species was measured using high-pressure liquid chromatography coupled with tandem mass spectrometry as we previously described[5]. Three independent intestinal segments (3 cm each) was excised at the proximal, medium and distal sites within the common limb, respectively, without prior flushing. The control intestinal segments from SHAM group were excised at the corresponding anatomic location. Total luminal bile acids from intestinal segments were extracted by 9 mL 50 % tert-butyl alcohol for 1 h at 37 °C. After centrifugation, the supernatant was collected for bile acid analysis. Total bile acids were measured by Roche Cobas 8000 system using enzyme cycling method and individual bile acid species was measured using high-pressure liquid chromatography coupled with tandem mass spectrometry as we previously described[5]. Western blot Small intestinal mucosa were flushed with saline and then scratched. Total protein was extracted by RIPA lysis buffer (KeyGEN, China) with protease and phosphatase inhibitor cocktail (KeyGEN, China) and was quantified using bicinchoninic acid protein assay kit (Beyotime, China). Equivalent amount of small intestinal mucosal protein were loaded on 10% sodium dodecyl sulfate-polyacrylamide gel electrophoresis gels (Bio-Rad, United States) and separated by electrophoresis. Then, proteins were transferred onto 0.45 μm polyvinylidene fluoride membranes (Millipore, Ireland). After being blocked in 5 % skim milk powder (Beyotime, China) for 2 h, the membranes were incubated with primary antibodies to Smpd3 (Abcam, United Kingdom) and Sptlc2 (Invitrogen, United States) overnight, followed by incubation in horseradish peroxidase-conjugated secondary antibodies (Proteintech, China) for 60 min. The protein bands were visualized by ECL solution (Millipore, United States) and their density was assessed with LI-COR Odyssey Imager (LI-COR Biosciences, United States). Small intestinal mucosa were flushed with saline and then scratched. Total protein was extracted by RIPA lysis buffer (KeyGEN, China) with protease and phosphatase inhibitor cocktail (KeyGEN, China) and was quantified using bicinchoninic acid protein assay kit (Beyotime, China). Equivalent amount of small intestinal mucosal protein were loaded on 10% sodium dodecyl sulfate-polyacrylamide gel electrophoresis gels (Bio-Rad, United States) and separated by electrophoresis. Then, proteins were transferred onto 0.45 μm polyvinylidene fluoride membranes (Millipore, Ireland). After being blocked in 5 % skim milk powder (Beyotime, China) for 2 h, the membranes were incubated with primary antibodies to Smpd3 (Abcam, United Kingdom) and Sptlc2 (Invitrogen, United States) overnight, followed by incubation in horseradish peroxidase-conjugated secondary antibodies (Proteintech, China) for 60 min. The protein bands were visualized by ECL solution (Millipore, United States) and their density was assessed with LI-COR Odyssey Imager (LI-COR Biosciences, United States). RNA analysis The expression of smpd3 and sptlc2 in the small intestine was analyzed by real-ime quantitative polymerase chain reaction (RT-qPCR). RNA was isolated using Trizol reagent (Invitrogen, United States), and the concentration of RNA was measured using the NanoDrop spectrophotometer (NanoDrop Technologies, United States). RNA was then reverse transcribed into complementary DNA (cDNA) using a ReverTra Ace qPCR RT Kit (TOYOBO, Japan). Amplification of messenger RNA (mRNA) was carried out using SYBR Green Real-time PCR Master Mix Kit (TOYOBO, Japan) at a range of temperatures in a Roche Lightcycle 2.0 system (Roche, Switzerland). The housekeeping gene gapdh was used as an internal reference, and mRNA levels for each target were then calculated by the 2-ΔΔCt method. The primers were smpd3 (forward primer: 5’-ACTCGCTCGCAAGGCTCAATAATG-3’, reverse primer: 5’-CTGAAGCTGGCTGCACTGATGG-3’), sptlc2 (forward primer: 5’-CGCCTTCCTGAAGTGATTGCTCTC-3’, reverse primer: 5’-AGTCTACTACACCACGCCCTGAAG-3’), and gapdh (forward primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’; reverse primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’). The expression of smpd3 and sptlc2 in the small intestine was analyzed by real-ime quantitative polymerase chain reaction (RT-qPCR). RNA was isolated using Trizol reagent (Invitrogen, United States), and the concentration of RNA was measured using the NanoDrop spectrophotometer (NanoDrop Technologies, United States). RNA was then reverse transcribed into complementary DNA (cDNA) using a ReverTra Ace qPCR RT Kit (TOYOBO, Japan). Amplification of messenger RNA (mRNA) was carried out using SYBR Green Real-time PCR Master Mix Kit (TOYOBO, Japan) at a range of temperatures in a Roche Lightcycle 2.0 system (Roche, Switzerland). The housekeeping gene gapdh was used as an internal reference, and mRNA levels for each target were then calculated by the 2-ΔΔCt method. The primers were smpd3 (forward primer: 5’-ACTCGCTCGCAAGGCTCAATAATG-3’, reverse primer: 5’-CTGAAGCTGGCTGCACTGATGG-3’), sptlc2 (forward primer: 5’-CGCCTTCCTGAAGTGATTGCTCTC-3’, reverse primer: 5’-AGTCTACTACACCACGCCCTGAAG-3’), and gapdh (forward primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’; reverse primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’). Ceramide detection Ceramide concentrations peripheral circulation and the portal vein were measured as previously described using Ceramide LIPIDOMIX Mass Spec Standard (#330712X-1EA, Avanti, United States) as standards[14]. Ceramide concentrations peripheral circulation and the portal vein were measured as previously described using Ceramide LIPIDOMIX Mass Spec Standard (#330712X-1EA, Avanti, United States) as standards[14]. Statistical analysis Data are mean ± SEM. Area under the curve (AUC) for oral glucose tolerance test (OGTT) was calculated by trapezoidal integration. Intergroup comparisons were performed by one-way analysis of variance followed by Bonferroni post hoc comparisons. P < 0.05 was considered statistically significant. All calculations were performed using SPSS version 25.0. Data are mean ± SEM. Area under the curve (AUC) for oral glucose tolerance test (OGTT) was calculated by trapezoidal integration. Intergroup comparisons were performed by one-way analysis of variance followed by Bonferroni post hoc comparisons. P < 0.05 was considered statistically significant. All calculations were performed using SPSS version 25.0.
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CONCLUSION
Mechanisms of bile acids in mediating metabolic benefits after bariatric surgery.
[ "INTRODUCTION", "Animals and surgical procedures", "CDCA gavage", "Oral glucose tolerance test", "Blood sample preparation", "Luminal bile acid detection", "Western blot", "RNA analysis", "Ceramide detection", "Statistical analysis", "RESULTS", "Body weight and energy intake", "OGTT", "Luminal bile acids", "Ceramides", "Expression of Smpd3 and Sptlc2", "DISCUSSION", "CONCLUSION" ]
[ "Duodenal-jejunal bypass (DJB) can induce rapid and durable amelioration of type 2 diabetes mellitus[1-3]. The underlying mechanisms remain incompletely understood. Our previous research has proved that bile acids play an important role in the amelioration of type 2 diabetes following DJB[4], and found that serum taurine-conjugated bile acids are preferentially elevated postoperatively[5]. However, the clinical relevance of the specific alterations of serum bile acids is still not known. Bile acids in the peripheral circulation reflect the amount of bile acids that could not be totally reabsorbed by hepatocytes during the enterohepatic circulation[6]. Therefore, the alterations of serum bile acids might be a secondary change of the bile acids within the gut, and a further investigation of luminal bile acids following DJB is of great significance.\nBile acids are traditionally known as lipid absorption-facilitating agents. It was not until recent years that the role of bile acids as signaling molecules in modulating metabolism has be unveiled. The intestinal lumina, where bile acid concentrations are high, is the main place for bile acid signaling. Two major receptors, including Takeda G-protein-coupled receptor 5 (TGR5) and nuclear farnesoid X receptor (FXR) are responsible for luminal bile acid sensing. TGR5 expression is detected in a variety of enteroendocrine cells and acute exposure of TGR5 to luminal bile acids lead to significant secretion of glucagon-like peptide 1 (GLP-1), which is a vital hormone for maintaining normal incretin effect in type 2 diabetes[7,8]. The interaction between bile acids and FXR is more complicated, as different subtypes of bile acids have distinct effect on the downstream pathway of FXR[9]. Chenodeoxycholic acid (CDCA) represents the most potent FXR stimulator while ursodeoxycholic acid (UDCA) and β-muricholic acid (βMCA) are FXR inhibitors[9-11]. Therefore, the net effect of luminal bile acids on FXR depends on the proportion of FXR-stimulating bile acids rather than the total amount of bile acids.\nIntestinal FXR could affect lipid metabolism and this process is closely related to ceramide synthesis. Intestine-selective FXR inhibition downregulates the expression of ceramide synthesis-related genes sphingomyelin phosphodiesterase 3 (Smpd3) and serine palmitoyltransferase long chain base subunit 2 (Sptlc2), resulting in decreased concentrations of ceramides within the small intestine, portal system and peripheral circulation[12]. Decreased ceramides inhibit the expression of sterol regulatory element binding protein-1 (SREBP-1) in the liver[12], which is a key enzyme in the process of hepatic fat accumulation. Coincidentally, the changes in lipid metabolism after intestine-selective FXR inhibition is similar to the changes following DJB that hepatic fat accumulation is alleviated and the key transcriptional regulators and enzymes involved in hepatic de novo lipogenesis are downregulated[13]. Therefore, we hypothesized that the net effect of luminal bile acids on intestinal FXR might be inhibitory after DJB which leads to decreased ceramide synthesis. To test this hypothesis, we measure the changes of individual luminal bile acid and ceramide concentrations within the enterohepatic circulation after DJB in a high-fat diet (HFD)/streptozotocin (STZ)-induced diabetic rat model.", "Eight-week-old male Wistar rats (220 g on average, purchased from Huafukang Biotech, China) were individually housed with a 12 h light/dark cycle under constant temperature (24-26 °C) and humidity (50%-70%). All rats were fed with HFD (42% carbohydrate, 18% protein and 40% fat, as a total percentage of calories, Huafukang Biotech, China) with no restriction to tap water for 1 mo to induce insulin resistance. After fasting for 12 h, 30 mg/kg STZ (Sigma Aldrich, United States) dissolved in sodium citrate buffer (pH 4.2) was injected into the peritoneal cavity. Random blood glucose concentrations were measured with a glucometer (Roche Diagnostics, Germany) from tail veins 72 h later. Thirty rats with random blood glucose ≥ 16.7 mmol/L were considered diabetic and were matched into salicylhydroxamic acid (SHAM) group (n = 10), DJB group (n = 10) and DJB + CDCA group (n = 10). One month later, surgery was performed as we previously reported[5]. Body weight and calorie intake were recorded daily. All rats were sacrificed after 12 h fasting at week 12 postoperatively. All procedures involving animals were reviewed and approved by the Ethics Committee on Animal Experiment of Shandong University Qilu Hospital.", "Without fasting, rats in the DJB + CDCA group were administrated with CDCA suspension (100 mg/kg suspended in 3 mL tap water) by intragastric gavage three times a week since week 5 postoperatively. The gavage procedure ceased after week 11.", "At week 4 and week 12, after 12 h fasting, the rats were administrated with 20% of glucose (1 g/kg) by intragastric gavage. Blood glucose concentrations were measured at t = 0, 10, 30, 60 and 120 min.", "Peripheral blood samples were collected from the retrobulbar venous plexus after 12 h fasting before sacrificing. Portal venous blood samples were collected directly from the portal vein. After centrifugation, the supernatant was stored at -80 °C until analysis.", "Three independent intestinal segments (3 cm each) was excised at the proximal, medium and distal sites within the common limb, respectively, without prior flushing. The control intestinal segments from SHAM group were excised at the corresponding anatomic location. Total luminal bile acids from intestinal segments were extracted by 9 mL 50 % tert-butyl alcohol for 1 h at 37 °C. After centrifugation, the supernatant was collected for bile acid analysis. Total bile acids were measured by Roche Cobas 8000 system using enzyme cycling method and individual bile acid species was measured using high-pressure liquid chromatography coupled with tandem mass spectrometry as we previously described[5].", "Small intestinal mucosa were flushed with saline and then scratched. Total protein was extracted by RIPA lysis buffer (KeyGEN, China) with protease and phosphatase inhibitor cocktail (KeyGEN, China) and was quantified using bicinchoninic acid protein assay kit (Beyotime, China). Equivalent amount of small intestinal mucosal protein were loaded on 10% sodium dodecyl sulfate-polyacrylamide gel electrophoresis gels (Bio-Rad, United States) and separated by electrophoresis. Then, proteins were transferred onto 0.45 μm polyvinylidene fluoride membranes (Millipore, Ireland). After being blocked in 5 % skim milk powder (Beyotime, China) for 2 h, the membranes were incubated with primary antibodies to Smpd3 (Abcam, United Kingdom) and Sptlc2 (Invitrogen, United States) overnight, followed by incubation in horseradish peroxidase-conjugated secondary antibodies (Proteintech, China) for 60 min. The protein bands were visualized by ECL solution (Millipore, United States) and their density was assessed with LI-COR Odyssey Imager (LI-COR Biosciences, United States).", "The expression of smpd3 and sptlc2 in the small intestine was analyzed by real-ime quantitative polymerase chain reaction (RT-qPCR). RNA was isolated using Trizol reagent (Invitrogen, United States), and the concentration of RNA was measured using the NanoDrop spectrophotometer (NanoDrop Technologies, United States). RNA was then reverse transcribed into complementary DNA (cDNA) using a ReverTra Ace qPCR RT Kit (TOYOBO, Japan). Amplification of messenger RNA (mRNA) was carried out using SYBR Green Real-time PCR Master Mix Kit (TOYOBO, Japan) at a range of temperatures in a Roche Lightcycle 2.0 system (Roche, Switzerland). The housekeeping gene gapdh was used as an internal reference, and mRNA levels for each target were then calculated by the 2-ΔΔCt method. The primers were smpd3 (forward primer: 5’-ACTCGCTCGCAAGGCTCAATAATG-3’, reverse primer: 5’-CTGAAGCTGGCTGCACTGATGG-3’), sptlc2 (forward primer: 5’-CGCCTTCCTGAAGTGATTGCTCTC-3’, reverse primer: 5’-AGTCTACTACACCACGCCCTGAAG-3’), and gapdh (forward primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’; reverse primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’).", "Ceramide concentrations peripheral circulation and the portal vein were measured as previously described using Ceramide LIPIDOMIX Mass Spec Standard (#330712X-1EA, Avanti, United States) as standards[14].", "Data are mean ± SEM. Area under the curve (AUC) for oral glucose tolerance test (OGTT) was calculated by trapezoidal integration. Intergroup comparisons were performed by one-way analysis of variance followed by Bonferroni post hoc comparisons. P < 0.05 was considered statistically significant. All calculations were performed using SPSS version 25.0.", "One rat in SHAM group died of intestinal obstruction. Two rats in DJB group and 2 rats in DJB + CDCA group died of anastomotic leak. At the end of the study, the number of rats alive in SHAM, DJB and DJB + CDCA groups were 9, 8 and 8, respectively.\nBody weight and energy intake At baseline, both body weight and energy intake were comparable between three groups. After surgery, both body weight and energy intake decreased sharply in all three groups and increased gradually thereafter. At week 2-5 postoperatively, body weight of the rats in DJB and DJB + CDCA groups was significantly less than that in SHAM group (P < 0.05 all). At week 7-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in DJB group (P < 0.05 all) (Figure 1A). At week 9-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in SHAM group (P < 0.05 all). At week 9-12 postoperatively, energy intake of the rats in DJB + CDCA group was significantly less than that in SHAM and DJB groups (P < 0.05 all) (Figure 1B).\n\nBody weight and energy intake from baseline to week 12 after operations as well as oral glucose tolerance test and the corresponding areas under the curves at baseline, week 4 and week 12 after operations. A: Body weight; B: Energy intake; C: Area under the curve of oral glucose tolerance test; D: Oral glucose tolerance test at baseline; E: Oral glucose tolerance test at week 4; F: Oral glucose tolerance test at week 12. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid.\nAt baseline, both body weight and energy intake were comparable between three groups. After surgery, both body weight and energy intake decreased sharply in all three groups and increased gradually thereafter. At week 2-5 postoperatively, body weight of the rats in DJB and DJB + CDCA groups was significantly less than that in SHAM group (P < 0.05 all). At week 7-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in DJB group (P < 0.05 all) (Figure 1A). At week 9-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in SHAM group (P < 0.05 all). At week 9-12 postoperatively, energy intake of the rats in DJB + CDCA group was significantly less than that in SHAM and DJB groups (P < 0.05 all) (Figure 1B).\n\nBody weight and energy intake from baseline to week 12 after operations as well as oral glucose tolerance test and the corresponding areas under the curves at baseline, week 4 and week 12 after operations. A: Body weight; B: Energy intake; C: Area under the curve of oral glucose tolerance test; D: Oral glucose tolerance test at baseline; E: Oral glucose tolerance test at week 4; F: Oral glucose tolerance test at week 12. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid.\nOGTT There was no difference in glucose tolerance between three groups at baseline based on AUCOGTT. At week 4 and 12, glucose tolerance was significantly improved with DJB and DJB + CDCA groups compared to SHAM group based on AUCOGTT (P < 0.05 each). There was no difference between DJB and DJB + CDCA groups, or between week 4 and week 12 within each group (Figures 1C-F).\nThere was no difference in glucose tolerance between three groups at baseline based on AUCOGTT. At week 4 and 12, glucose tolerance was significantly improved with DJB and DJB + CDCA groups compared to SHAM group based on AUCOGTT (P < 0.05 each). There was no difference between DJB and DJB + CDCA groups, or between week 4 and week 12 within each group (Figures 1C-F).\nLuminal bile acids Total luminal bile acid concentrations were significantly less with SHAM group compared to both DJB and DJB + CDCA groups in either proximal, medium or distal segment in the common limb (P < 0.05 all). In the distal segment, luminal total bile acid concentrations were significantly greater with DJB + CDCA group than DJB group (P < 0.05), while this difference was not significant in the proximal or medium segment (Figure 2A).\n\nLuminal total and individual bile acid concentrations and ceramide concentrations within the peripheral and portal circulations. A: Total amount of luminal bile acids; B: Luminal individual bile acid percentage in the proximal; C: Medium segment within the common limb; D: Distal segment within the common limb; E: Ratio of farnesoid X receptor agonist and antagnist within the common limb; F: Peripheral serum ceramides; G: Portal serum ceramides. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. FXR: Farnesoid X receptor; SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; αMCA: α-muricholic acid; UDCA: Ursodeoxycholic acid; LCA: Lithocholic acid; HDCA: Hyocholic acid; TLCA: Taurine-conjugated lithocholic acid.\nIn the proximal segment (Figure 2B), CA accounted for over 20% of the total luminal bile acids in all three groups, and was significantly greater with SHAM group than DJB and DJB + CDCA groups (P < 0.05). The percentages of α-muricholic acid (αMCA), βMCA, deoxycholic acid, CDCA, lithocholic acid (LCA), hyocholic acid (HDCA), and taurine-conjugated LCA (TLCA) were comparable between all three groups. The percentage of UDCA was less with DJB + CDCA group compared to SHAM and DJB groups (P < 0.05). The percentages of taurine-conjugated forms of αMCA, βMCA, CA, DCA, CDCA and UDCA were all greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). The percentage of TCDCA was greater with DJB + CDCA group than DJB group (P < 0.05).\nIn the medium segment (Figure 2C), the difference in TαMCA and TDCA between three groups was no longer significant compared to the proximal segment. The percentage of TβMCA increased to more than 5% in DJB and DJB + CDCA groups which was significantly greater than SHAM group (P < 0.05). The percentage of TCDCA was comparable between SHAM and DJB groups, which was significantly less than DJB + CDCA group (P < 0.05).\nIn the distal segment (Figure 2D), the percentage of TβMCA, TCA and TUDCA was significantly greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05), without any difference between the former two groups. The percentage of CA was significantly less with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). There was no difference in the percentage of UDCA between three groups. The percentage of other individual bile acids was comparable to that in the medium segment. The ratio of FXR agonists (including CA, TCA, DCA, TDCA, CDCA, TCDCA, LCA, and TLCA) and antagonists (including αMCA, TαMCA, βMCA, TβMCA, UDCA, TUDCA and HDCA) in DJB and DJB + CDCA groups was decreased compared to SHAM group in either proximal, medium or distal segment (P < 0.05). No difference was observed between DJB group and DJB + CDCA group (Figure 2E).\nTotal luminal bile acid concentrations were significantly less with SHAM group compared to both DJB and DJB + CDCA groups in either proximal, medium or distal segment in the common limb (P < 0.05 all). In the distal segment, luminal total bile acid concentrations were significantly greater with DJB + CDCA group than DJB group (P < 0.05), while this difference was not significant in the proximal or medium segment (Figure 2A).\n\nLuminal total and individual bile acid concentrations and ceramide concentrations within the peripheral and portal circulations. A: Total amount of luminal bile acids; B: Luminal individual bile acid percentage in the proximal; C: Medium segment within the common limb; D: Distal segment within the common limb; E: Ratio of farnesoid X receptor agonist and antagnist within the common limb; F: Peripheral serum ceramides; G: Portal serum ceramides. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. FXR: Farnesoid X receptor; SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; αMCA: α-muricholic acid; UDCA: Ursodeoxycholic acid; LCA: Lithocholic acid; HDCA: Hyocholic acid; TLCA: Taurine-conjugated lithocholic acid.\nIn the proximal segment (Figure 2B), CA accounted for over 20% of the total luminal bile acids in all three groups, and was significantly greater with SHAM group than DJB and DJB + CDCA groups (P < 0.05). The percentages of α-muricholic acid (αMCA), βMCA, deoxycholic acid, CDCA, lithocholic acid (LCA), hyocholic acid (HDCA), and taurine-conjugated LCA (TLCA) were comparable between all three groups. The percentage of UDCA was less with DJB + CDCA group compared to SHAM and DJB groups (P < 0.05). The percentages of taurine-conjugated forms of αMCA, βMCA, CA, DCA, CDCA and UDCA were all greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). The percentage of TCDCA was greater with DJB + CDCA group than DJB group (P < 0.05).\nIn the medium segment (Figure 2C), the difference in TαMCA and TDCA between three groups was no longer significant compared to the proximal segment. The percentage of TβMCA increased to more than 5% in DJB and DJB + CDCA groups which was significantly greater than SHAM group (P < 0.05). The percentage of TCDCA was comparable between SHAM and DJB groups, which was significantly less than DJB + CDCA group (P < 0.05).\nIn the distal segment (Figure 2D), the percentage of TβMCA, TCA and TUDCA was significantly greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05), without any difference between the former two groups. The percentage of CA was significantly less with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). There was no difference in the percentage of UDCA between three groups. The percentage of other individual bile acids was comparable to that in the medium segment. The ratio of FXR agonists (including CA, TCA, DCA, TDCA, CDCA, TCDCA, LCA, and TLCA) and antagonists (including αMCA, TαMCA, βMCA, TβMCA, UDCA, TUDCA and HDCA) in DJB and DJB + CDCA groups was decreased compared to SHAM group in either proximal, medium or distal segment (P < 0.05). No difference was observed between DJB group and DJB + CDCA group (Figure 2E).\nCeramides At week 12, in the peripheral circulation, serum C16:0 ceramide concentrations were lower with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05); no difference in C18:0, C24:0 or C24:1 ceramides between three groups (Figure 2F). In the portal vein, serum C16:0, C24:0 and C24:1 ceramide concentrations were lower with DJB group compared to SHAM group (P < 0.05); there was no difference in either ceramide species between DJB and DJB + CDCA groups or between DJB + CDCA and SHAM groups (Figure 2G).\nAt week 12, in the peripheral circulation, serum C16:0 ceramide concentrations were lower with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05); no difference in C18:0, C24:0 or C24:1 ceramides between three groups (Figure 2F). In the portal vein, serum C16:0, C24:0 and C24:1 ceramide concentrations were lower with DJB group compared to SHAM group (P < 0.05); there was no difference in either ceramide species between DJB and DJB + CDCA groups or between DJB + CDCA and SHAM groups (Figure 2G).\nExpression of Smpd3 and Sptlc2 At week 12, the expression of Smpd3 and Sptlc2 were lower with DJB and DJB + CDCA groups than SHAM group at both protein and mRNA levels (P < 0.05). Compared to DJB + CDCA group, the expression of Smpd3 and Sptlc2 with DJB group were even lower at both protein and mRNA levels (P < 0.05) (Figures 3A, 3B and 3C).\n\nExpression of ceramide synthesis-related enzyme sphingomyelin phosphodiesterase 3 and serine palmitoyltransferase long chain base subunit 2 at protein and mRNA levels. A: Expression of sphingomyelin phosphodiesterase 3 (Smpd3), serine palmitoyltransferase long chain base subunit 2 (Sptlc2) and GAPDH; B: Expression of Smpd3, Sptlc2 at protein; C: Expression of Smpd3, Sptlc2 mRNA levels. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; Smpd3: Sphingomyelin phosphodiesterase 3; Sptlc2: Serine palmitoyltransferase long chain base subunit 2.\nAt week 12, the expression of Smpd3 and Sptlc2 were lower with DJB and DJB + CDCA groups than SHAM group at both protein and mRNA levels (P < 0.05). Compared to DJB + CDCA group, the expression of Smpd3 and Sptlc2 with DJB group were even lower at both protein and mRNA levels (P < 0.05) (Figures 3A, 3B and 3C).\n\nExpression of ceramide synthesis-related enzyme sphingomyelin phosphodiesterase 3 and serine palmitoyltransferase long chain base subunit 2 at protein and mRNA levels. A: Expression of sphingomyelin phosphodiesterase 3 (Smpd3), serine palmitoyltransferase long chain base subunit 2 (Sptlc2) and GAPDH; B: Expression of Smpd3, Sptlc2 at protein; C: Expression of Smpd3, Sptlc2 mRNA levels. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; Smpd3: Sphingomyelin phosphodiesterase 3; Sptlc2: Serine palmitoyltransferase long chain base subunit 2.", "At baseline, both body weight and energy intake were comparable between three groups. After surgery, both body weight and energy intake decreased sharply in all three groups and increased gradually thereafter. At week 2-5 postoperatively, body weight of the rats in DJB and DJB + CDCA groups was significantly less than that in SHAM group (P < 0.05 all). At week 7-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in DJB group (P < 0.05 all) (Figure 1A). At week 9-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in SHAM group (P < 0.05 all). At week 9-12 postoperatively, energy intake of the rats in DJB + CDCA group was significantly less than that in SHAM and DJB groups (P < 0.05 all) (Figure 1B).\n\nBody weight and energy intake from baseline to week 12 after operations as well as oral glucose tolerance test and the corresponding areas under the curves at baseline, week 4 and week 12 after operations. A: Body weight; B: Energy intake; C: Area under the curve of oral glucose tolerance test; D: Oral glucose tolerance test at baseline; E: Oral glucose tolerance test at week 4; F: Oral glucose tolerance test at week 12. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid.", "There was no difference in glucose tolerance between three groups at baseline based on AUCOGTT. At week 4 and 12, glucose tolerance was significantly improved with DJB and DJB + CDCA groups compared to SHAM group based on AUCOGTT (P < 0.05 each). There was no difference between DJB and DJB + CDCA groups, or between week 4 and week 12 within each group (Figures 1C-F).", "Total luminal bile acid concentrations were significantly less with SHAM group compared to both DJB and DJB + CDCA groups in either proximal, medium or distal segment in the common limb (P < 0.05 all). In the distal segment, luminal total bile acid concentrations were significantly greater with DJB + CDCA group than DJB group (P < 0.05), while this difference was not significant in the proximal or medium segment (Figure 2A).\n\nLuminal total and individual bile acid concentrations and ceramide concentrations within the peripheral and portal circulations. A: Total amount of luminal bile acids; B: Luminal individual bile acid percentage in the proximal; C: Medium segment within the common limb; D: Distal segment within the common limb; E: Ratio of farnesoid X receptor agonist and antagnist within the common limb; F: Peripheral serum ceramides; G: Portal serum ceramides. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. FXR: Farnesoid X receptor; SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; αMCA: α-muricholic acid; UDCA: Ursodeoxycholic acid; LCA: Lithocholic acid; HDCA: Hyocholic acid; TLCA: Taurine-conjugated lithocholic acid.\nIn the proximal segment (Figure 2B), CA accounted for over 20% of the total luminal bile acids in all three groups, and was significantly greater with SHAM group than DJB and DJB + CDCA groups (P < 0.05). The percentages of α-muricholic acid (αMCA), βMCA, deoxycholic acid, CDCA, lithocholic acid (LCA), hyocholic acid (HDCA), and taurine-conjugated LCA (TLCA) were comparable between all three groups. The percentage of UDCA was less with DJB + CDCA group compared to SHAM and DJB groups (P < 0.05). The percentages of taurine-conjugated forms of αMCA, βMCA, CA, DCA, CDCA and UDCA were all greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). The percentage of TCDCA was greater with DJB + CDCA group than DJB group (P < 0.05).\nIn the medium segment (Figure 2C), the difference in TαMCA and TDCA between three groups was no longer significant compared to the proximal segment. The percentage of TβMCA increased to more than 5% in DJB and DJB + CDCA groups which was significantly greater than SHAM group (P < 0.05). The percentage of TCDCA was comparable between SHAM and DJB groups, which was significantly less than DJB + CDCA group (P < 0.05).\nIn the distal segment (Figure 2D), the percentage of TβMCA, TCA and TUDCA was significantly greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05), without any difference between the former two groups. The percentage of CA was significantly less with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). There was no difference in the percentage of UDCA between three groups. The percentage of other individual bile acids was comparable to that in the medium segment. The ratio of FXR agonists (including CA, TCA, DCA, TDCA, CDCA, TCDCA, LCA, and TLCA) and antagonists (including αMCA, TαMCA, βMCA, TβMCA, UDCA, TUDCA and HDCA) in DJB and DJB + CDCA groups was decreased compared to SHAM group in either proximal, medium or distal segment (P < 0.05). No difference was observed between DJB group and DJB + CDCA group (Figure 2E).", "At week 12, in the peripheral circulation, serum C16:0 ceramide concentrations were lower with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05); no difference in C18:0, C24:0 or C24:1 ceramides between three groups (Figure 2F). In the portal vein, serum C16:0, C24:0 and C24:1 ceramide concentrations were lower with DJB group compared to SHAM group (P < 0.05); there was no difference in either ceramide species between DJB and DJB + CDCA groups or between DJB + CDCA and SHAM groups (Figure 2G).", "At week 12, the expression of Smpd3 and Sptlc2 were lower with DJB and DJB + CDCA groups than SHAM group at both protein and mRNA levels (P < 0.05). Compared to DJB + CDCA group, the expression of Smpd3 and Sptlc2 with DJB group were even lower at both protein and mRNA levels (P < 0.05) (Figures 3A, 3B and 3C).\n\nExpression of ceramide synthesis-related enzyme sphingomyelin phosphodiesterase 3 and serine palmitoyltransferase long chain base subunit 2 at protein and mRNA levels. A: Expression of sphingomyelin phosphodiesterase 3 (Smpd3), serine palmitoyltransferase long chain base subunit 2 (Sptlc2) and GAPDH; B: Expression of Smpd3, Sptlc2 at protein; C: Expression of Smpd3, Sptlc2 mRNA levels. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; Smpd3: Sphingomyelin phosphodiesterase 3; Sptlc2: Serine palmitoyltransferase long chain base subunit 2.", "In the present study, we performed SHAM, DJB and DJB + CDCA procedures in a HFD/STZ induced diabetic rat model, and for the first time, demonstrated the changes of luminal individual bile acids in the distal small intestine. We also found that the subsequent changes of the bile acids within the distal common limb after DJB elicited inhibitory effect on regional ceramide synthesis and this phenomenon could be partially antagonized by luminal supplementation of FXR activating bile acid CDCA.\nDJB was initially designed to investigate the weight loss independent mechanisms of bariatric surgery[3]. This procedure has no effect on weight loss but could induce fast and sustainable amelioration of type 2 diabetes[4]. Consistent with other bariatric procedures[15,16], serum bile acid concentrations were also increased following DJB, and this phenomenon is clearly related to reconstruction of the gastrointestinal tract[5]. Via the biliopancreatic limb, bile acids contact the distal small intestine, where luminal bile acid reabsorption mainly occurs, more rapidly and lead to early and increased reabsorption of luminal bile acids in the small intestine. A recent study has proved that in the biliopancreatic limb, increased reabsorption of luminal bile acids has already commenced as a result of highly concentrated bile acids as well as lack of lipids[17]. While in the alimentary limb, only trace amount of luminal bile acids could be detected[4]. Decreased luminal bile acids lead to marked luminal sodium insufficiency, and hence, intestinal uptake of glucose in the alimentary limb is significantly decreased[18], which represents another mechanism in controlling postprandial glucose excursion. The common limb is where food and bile mix up and the major place for intestinal FXR expression. Therefore, we concentrated on bile acid milieu within the common limb rather than the biliopancreatic or alimentary limb because the common limb is the place mostly close to physiological conditions.\nTo our knowledge, the present study is the first study reporting luminal bile acid changes after DJB. Most clinical and animal studies concentrated on serum or fecal bile acids, as the intestinal lumen is deep inside and in vivo study of luminal contents, particularly in the small intestine, is technically difficult and ethically challenging. Consistent with our previous findings of serum bile acid changes after DJB, the total amount of luminal bile acids and the proportion of FXR-inhibitory bile acids were both increased. These specific changes have at least two clinical relevance. First, concentrated luminal bile acids stimulate TRG5 on the surface of enteroendocrine cells and leads to potentiated GLP-1 secretion[4]; second, increased proportion of FXR-inhibitory bile acids has inhibited expression of FXR downstream pathways and reduced biosynthesis of intestinal-derived ceramides[12]. Compared to TGR5, FXR appears to be a more important and complicated receptor in metabolic regulation; in the absence of FXR, the ability of bariatric surgery to reduce body weight and improve glucose tolerance is substantially reduced while these metabolic benefits are largely preserved when TGR5 is deficient[19-20]. Whole body FXR knock-out mice were associated with elevated serum triglycerides, cholesterols, free fatty acids and severe liver fat accumulation, but were protected from diet- or genetically- induced obesity[21]. In contrast, liver-specific FXR knock-out mice were not protected from diet-induced obesity and insulin resistance[22], suggesting the distinct role of hepatic and intestinal FXR activation in improving glucose tolerance and insulin resistance. In the small intestine, the role of FXR is controversial. After bariatric surgery, increased serum fibroblast growth factor 19 (FGF19) concentrations have been thought to play a role in the remission of human diabetes[15]. And intestinal FXR activation by luminal bile acids has been thought as a major source of increased serum FGF19. However, no direct evidence was available to confirm the state of intestinal FXR activation, and other tissues may also be sources of FGF19. In contrast, more studies support that intestinal FXR activation would damage metabolic homeostasis by reducing energy expenditure and impairing glucose tolerance[12,14,23]. To investigate the direct influence of bile acids on intestinal FXR, bile diversion procedure was reported by three separate studies[4,24,25], including one from our group[4]. Surprisingly, all three studies showed activated intestinal FXR in response to direct bile acid stimulation. However, in contrast, in DJB, the effect of bile acids on intestinal FXR within the common limb was inhibitory. The discrepancy suggests the biliopancreatic limb may have altered the luminal bile acid composition by premature bile acid reabsorption.\nConsistent with our hypothesis, both ceramides in the portal vein and in the peripheral circulation were decreased in response to increased proportion of luminal FXR-inhibitory bile acids. Ceramides are signaling molecules and are associated with obesity and insulin resistance at high concentrations[26]. Decreased ceramides inhibits the expression of SREBP-1 in the liver and alleviates hepatic fat accumulation, thus increasing hepatic insulin sensitivity[12]. Our previous study found that DJB suppressed hepatic de novo lipogenesis and alleviates liver fat accumulation by inhibiting SREBP-1. However, the mechanisms underlying were unknown. Based on results from the present study, we have unveiled at least one mechanism accounting for alleviated hepatic fat accumulation. Therefore, manipulation of luminal bile acid composition towards FXR-inhibitory trend may have metabolic beneficial effects.\nThe present study has several limitations. First, bile acids are mixture with a variety of individual bile acids. As bile acids are mainly conjugated with taurine in rodents[27], we only tested luminal unconjugated and taurine-conjugated bile acids. Second, CDCA is not dissolved in water and we used CDCA suspension for gavage, which may have compromised CDCA absorption to a certain degree. Third, the results from the present study were based on a diabetic rat model and should be interpreted with caution due to species gap.", "In conclusion, DJB significantly changes luminal bile acid composition with increased proportion of FXR-inhibitory bile acids and reduce serum ceramide levels. There observations suggest a novel mechanism of bile acids in metabolic regulation after DJB." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "INTRODUCTION", "MATERIALS AND METHODS", "Animals and surgical procedures", "CDCA gavage", "Oral glucose tolerance test", "Blood sample preparation", "Luminal bile acid detection", "Western blot", "RNA analysis", "Ceramide detection", "Statistical analysis", "RESULTS", "Body weight and energy intake", "OGTT", "Luminal bile acids", "Ceramides", "Expression of Smpd3 and Sptlc2", "DISCUSSION", "CONCLUSION" ]
[ "Duodenal-jejunal bypass (DJB) can induce rapid and durable amelioration of type 2 diabetes mellitus[1-3]. The underlying mechanisms remain incompletely understood. Our previous research has proved that bile acids play an important role in the amelioration of type 2 diabetes following DJB[4], and found that serum taurine-conjugated bile acids are preferentially elevated postoperatively[5]. However, the clinical relevance of the specific alterations of serum bile acids is still not known. Bile acids in the peripheral circulation reflect the amount of bile acids that could not be totally reabsorbed by hepatocytes during the enterohepatic circulation[6]. Therefore, the alterations of serum bile acids might be a secondary change of the bile acids within the gut, and a further investigation of luminal bile acids following DJB is of great significance.\nBile acids are traditionally known as lipid absorption-facilitating agents. It was not until recent years that the role of bile acids as signaling molecules in modulating metabolism has be unveiled. The intestinal lumina, where bile acid concentrations are high, is the main place for bile acid signaling. Two major receptors, including Takeda G-protein-coupled receptor 5 (TGR5) and nuclear farnesoid X receptor (FXR) are responsible for luminal bile acid sensing. TGR5 expression is detected in a variety of enteroendocrine cells and acute exposure of TGR5 to luminal bile acids lead to significant secretion of glucagon-like peptide 1 (GLP-1), which is a vital hormone for maintaining normal incretin effect in type 2 diabetes[7,8]. The interaction between bile acids and FXR is more complicated, as different subtypes of bile acids have distinct effect on the downstream pathway of FXR[9]. Chenodeoxycholic acid (CDCA) represents the most potent FXR stimulator while ursodeoxycholic acid (UDCA) and β-muricholic acid (βMCA) are FXR inhibitors[9-11]. Therefore, the net effect of luminal bile acids on FXR depends on the proportion of FXR-stimulating bile acids rather than the total amount of bile acids.\nIntestinal FXR could affect lipid metabolism and this process is closely related to ceramide synthesis. Intestine-selective FXR inhibition downregulates the expression of ceramide synthesis-related genes sphingomyelin phosphodiesterase 3 (Smpd3) and serine palmitoyltransferase long chain base subunit 2 (Sptlc2), resulting in decreased concentrations of ceramides within the small intestine, portal system and peripheral circulation[12]. Decreased ceramides inhibit the expression of sterol regulatory element binding protein-1 (SREBP-1) in the liver[12], which is a key enzyme in the process of hepatic fat accumulation. Coincidentally, the changes in lipid metabolism after intestine-selective FXR inhibition is similar to the changes following DJB that hepatic fat accumulation is alleviated and the key transcriptional regulators and enzymes involved in hepatic de novo lipogenesis are downregulated[13]. Therefore, we hypothesized that the net effect of luminal bile acids on intestinal FXR might be inhibitory after DJB which leads to decreased ceramide synthesis. To test this hypothesis, we measure the changes of individual luminal bile acid and ceramide concentrations within the enterohepatic circulation after DJB in a high-fat diet (HFD)/streptozotocin (STZ)-induced diabetic rat model.", "Animals and surgical procedures Eight-week-old male Wistar rats (220 g on average, purchased from Huafukang Biotech, China) were individually housed with a 12 h light/dark cycle under constant temperature (24-26 °C) and humidity (50%-70%). All rats were fed with HFD (42% carbohydrate, 18% protein and 40% fat, as a total percentage of calories, Huafukang Biotech, China) with no restriction to tap water for 1 mo to induce insulin resistance. After fasting for 12 h, 30 mg/kg STZ (Sigma Aldrich, United States) dissolved in sodium citrate buffer (pH 4.2) was injected into the peritoneal cavity. Random blood glucose concentrations were measured with a glucometer (Roche Diagnostics, Germany) from tail veins 72 h later. Thirty rats with random blood glucose ≥ 16.7 mmol/L were considered diabetic and were matched into salicylhydroxamic acid (SHAM) group (n = 10), DJB group (n = 10) and DJB + CDCA group (n = 10). One month later, surgery was performed as we previously reported[5]. Body weight and calorie intake were recorded daily. All rats were sacrificed after 12 h fasting at week 12 postoperatively. All procedures involving animals were reviewed and approved by the Ethics Committee on Animal Experiment of Shandong University Qilu Hospital.\nEight-week-old male Wistar rats (220 g on average, purchased from Huafukang Biotech, China) were individually housed with a 12 h light/dark cycle under constant temperature (24-26 °C) and humidity (50%-70%). All rats were fed with HFD (42% carbohydrate, 18% protein and 40% fat, as a total percentage of calories, Huafukang Biotech, China) with no restriction to tap water for 1 mo to induce insulin resistance. After fasting for 12 h, 30 mg/kg STZ (Sigma Aldrich, United States) dissolved in sodium citrate buffer (pH 4.2) was injected into the peritoneal cavity. Random blood glucose concentrations were measured with a glucometer (Roche Diagnostics, Germany) from tail veins 72 h later. Thirty rats with random blood glucose ≥ 16.7 mmol/L were considered diabetic and were matched into salicylhydroxamic acid (SHAM) group (n = 10), DJB group (n = 10) and DJB + CDCA group (n = 10). One month later, surgery was performed as we previously reported[5]. Body weight and calorie intake were recorded daily. All rats were sacrificed after 12 h fasting at week 12 postoperatively. All procedures involving animals were reviewed and approved by the Ethics Committee on Animal Experiment of Shandong University Qilu Hospital.\nCDCA gavage Without fasting, rats in the DJB + CDCA group were administrated with CDCA suspension (100 mg/kg suspended in 3 mL tap water) by intragastric gavage three times a week since week 5 postoperatively. The gavage procedure ceased after week 11.\nWithout fasting, rats in the DJB + CDCA group were administrated with CDCA suspension (100 mg/kg suspended in 3 mL tap water) by intragastric gavage three times a week since week 5 postoperatively. The gavage procedure ceased after week 11.\nOral glucose tolerance test At week 4 and week 12, after 12 h fasting, the rats were administrated with 20% of glucose (1 g/kg) by intragastric gavage. Blood glucose concentrations were measured at t = 0, 10, 30, 60 and 120 min.\nAt week 4 and week 12, after 12 h fasting, the rats were administrated with 20% of glucose (1 g/kg) by intragastric gavage. Blood glucose concentrations were measured at t = 0, 10, 30, 60 and 120 min.\nBlood sample preparation Peripheral blood samples were collected from the retrobulbar venous plexus after 12 h fasting before sacrificing. Portal venous blood samples were collected directly from the portal vein. After centrifugation, the supernatant was stored at -80 °C until analysis.\nPeripheral blood samples were collected from the retrobulbar venous plexus after 12 h fasting before sacrificing. Portal venous blood samples were collected directly from the portal vein. After centrifugation, the supernatant was stored at -80 °C until analysis.\nLuminal bile acid detection Three independent intestinal segments (3 cm each) was excised at the proximal, medium and distal sites within the common limb, respectively, without prior flushing. The control intestinal segments from SHAM group were excised at the corresponding anatomic location. Total luminal bile acids from intestinal segments were extracted by 9 mL 50 % tert-butyl alcohol for 1 h at 37 °C. After centrifugation, the supernatant was collected for bile acid analysis. Total bile acids were measured by Roche Cobas 8000 system using enzyme cycling method and individual bile acid species was measured using high-pressure liquid chromatography coupled with tandem mass spectrometry as we previously described[5].\nThree independent intestinal segments (3 cm each) was excised at the proximal, medium and distal sites within the common limb, respectively, without prior flushing. The control intestinal segments from SHAM group were excised at the corresponding anatomic location. Total luminal bile acids from intestinal segments were extracted by 9 mL 50 % tert-butyl alcohol for 1 h at 37 °C. After centrifugation, the supernatant was collected for bile acid analysis. Total bile acids were measured by Roche Cobas 8000 system using enzyme cycling method and individual bile acid species was measured using high-pressure liquid chromatography coupled with tandem mass spectrometry as we previously described[5].\nWestern blot Small intestinal mucosa were flushed with saline and then scratched. Total protein was extracted by RIPA lysis buffer (KeyGEN, China) with protease and phosphatase inhibitor cocktail (KeyGEN, China) and was quantified using bicinchoninic acid protein assay kit (Beyotime, China). Equivalent amount of small intestinal mucosal protein were loaded on 10% sodium dodecyl sulfate-polyacrylamide gel electrophoresis gels (Bio-Rad, United States) and separated by electrophoresis. Then, proteins were transferred onto 0.45 μm polyvinylidene fluoride membranes (Millipore, Ireland). After being blocked in 5 % skim milk powder (Beyotime, China) for 2 h, the membranes were incubated with primary antibodies to Smpd3 (Abcam, United Kingdom) and Sptlc2 (Invitrogen, United States) overnight, followed by incubation in horseradish peroxidase-conjugated secondary antibodies (Proteintech, China) for 60 min. The protein bands were visualized by ECL solution (Millipore, United States) and their density was assessed with LI-COR Odyssey Imager (LI-COR Biosciences, United States).\nSmall intestinal mucosa were flushed with saline and then scratched. Total protein was extracted by RIPA lysis buffer (KeyGEN, China) with protease and phosphatase inhibitor cocktail (KeyGEN, China) and was quantified using bicinchoninic acid protein assay kit (Beyotime, China). Equivalent amount of small intestinal mucosal protein were loaded on 10% sodium dodecyl sulfate-polyacrylamide gel electrophoresis gels (Bio-Rad, United States) and separated by electrophoresis. Then, proteins were transferred onto 0.45 μm polyvinylidene fluoride membranes (Millipore, Ireland). After being blocked in 5 % skim milk powder (Beyotime, China) for 2 h, the membranes were incubated with primary antibodies to Smpd3 (Abcam, United Kingdom) and Sptlc2 (Invitrogen, United States) overnight, followed by incubation in horseradish peroxidase-conjugated secondary antibodies (Proteintech, China) for 60 min. The protein bands were visualized by ECL solution (Millipore, United States) and their density was assessed with LI-COR Odyssey Imager (LI-COR Biosciences, United States).\nRNA analysis The expression of smpd3 and sptlc2 in the small intestine was analyzed by real-ime quantitative polymerase chain reaction (RT-qPCR). RNA was isolated using Trizol reagent (Invitrogen, United States), and the concentration of RNA was measured using the NanoDrop spectrophotometer (NanoDrop Technologies, United States). RNA was then reverse transcribed into complementary DNA (cDNA) using a ReverTra Ace qPCR RT Kit (TOYOBO, Japan). Amplification of messenger RNA (mRNA) was carried out using SYBR Green Real-time PCR Master Mix Kit (TOYOBO, Japan) at a range of temperatures in a Roche Lightcycle 2.0 system (Roche, Switzerland). The housekeeping gene gapdh was used as an internal reference, and mRNA levels for each target were then calculated by the 2-ΔΔCt method. The primers were smpd3 (forward primer: 5’-ACTCGCTCGCAAGGCTCAATAATG-3’, reverse primer: 5’-CTGAAGCTGGCTGCACTGATGG-3’), sptlc2 (forward primer: 5’-CGCCTTCCTGAAGTGATTGCTCTC-3’, reverse primer: 5’-AGTCTACTACACCACGCCCTGAAG-3’), and gapdh (forward primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’; reverse primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’).\nThe expression of smpd3 and sptlc2 in the small intestine was analyzed by real-ime quantitative polymerase chain reaction (RT-qPCR). RNA was isolated using Trizol reagent (Invitrogen, United States), and the concentration of RNA was measured using the NanoDrop spectrophotometer (NanoDrop Technologies, United States). RNA was then reverse transcribed into complementary DNA (cDNA) using a ReverTra Ace qPCR RT Kit (TOYOBO, Japan). Amplification of messenger RNA (mRNA) was carried out using SYBR Green Real-time PCR Master Mix Kit (TOYOBO, Japan) at a range of temperatures in a Roche Lightcycle 2.0 system (Roche, Switzerland). The housekeeping gene gapdh was used as an internal reference, and mRNA levels for each target were then calculated by the 2-ΔΔCt method. The primers were smpd3 (forward primer: 5’-ACTCGCTCGCAAGGCTCAATAATG-3’, reverse primer: 5’-CTGAAGCTGGCTGCACTGATGG-3’), sptlc2 (forward primer: 5’-CGCCTTCCTGAAGTGATTGCTCTC-3’, reverse primer: 5’-AGTCTACTACACCACGCCCTGAAG-3’), and gapdh (forward primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’; reverse primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’).\nCeramide detection Ceramide concentrations peripheral circulation and the portal vein were measured as previously described using Ceramide LIPIDOMIX Mass Spec Standard (#330712X-1EA, Avanti, United States) as standards[14].\nCeramide concentrations peripheral circulation and the portal vein were measured as previously described using Ceramide LIPIDOMIX Mass Spec Standard (#330712X-1EA, Avanti, United States) as standards[14].\nStatistical analysis Data are mean ± SEM. Area under the curve (AUC) for oral glucose tolerance test (OGTT) was calculated by trapezoidal integration. Intergroup comparisons were performed by one-way analysis of variance followed by Bonferroni post hoc comparisons. P < 0.05 was considered statistically significant. All calculations were performed using SPSS version 25.0.\nData are mean ± SEM. Area under the curve (AUC) for oral glucose tolerance test (OGTT) was calculated by trapezoidal integration. Intergroup comparisons were performed by one-way analysis of variance followed by Bonferroni post hoc comparisons. P < 0.05 was considered statistically significant. All calculations were performed using SPSS version 25.0.", "Eight-week-old male Wistar rats (220 g on average, purchased from Huafukang Biotech, China) were individually housed with a 12 h light/dark cycle under constant temperature (24-26 °C) and humidity (50%-70%). All rats were fed with HFD (42% carbohydrate, 18% protein and 40% fat, as a total percentage of calories, Huafukang Biotech, China) with no restriction to tap water for 1 mo to induce insulin resistance. After fasting for 12 h, 30 mg/kg STZ (Sigma Aldrich, United States) dissolved in sodium citrate buffer (pH 4.2) was injected into the peritoneal cavity. Random blood glucose concentrations were measured with a glucometer (Roche Diagnostics, Germany) from tail veins 72 h later. Thirty rats with random blood glucose ≥ 16.7 mmol/L were considered diabetic and were matched into salicylhydroxamic acid (SHAM) group (n = 10), DJB group (n = 10) and DJB + CDCA group (n = 10). One month later, surgery was performed as we previously reported[5]. Body weight and calorie intake were recorded daily. All rats were sacrificed after 12 h fasting at week 12 postoperatively. All procedures involving animals were reviewed and approved by the Ethics Committee on Animal Experiment of Shandong University Qilu Hospital.", "Without fasting, rats in the DJB + CDCA group were administrated with CDCA suspension (100 mg/kg suspended in 3 mL tap water) by intragastric gavage three times a week since week 5 postoperatively. The gavage procedure ceased after week 11.", "At week 4 and week 12, after 12 h fasting, the rats were administrated with 20% of glucose (1 g/kg) by intragastric gavage. Blood glucose concentrations were measured at t = 0, 10, 30, 60 and 120 min.", "Peripheral blood samples were collected from the retrobulbar venous plexus after 12 h fasting before sacrificing. Portal venous blood samples were collected directly from the portal vein. After centrifugation, the supernatant was stored at -80 °C until analysis.", "Three independent intestinal segments (3 cm each) was excised at the proximal, medium and distal sites within the common limb, respectively, without prior flushing. The control intestinal segments from SHAM group were excised at the corresponding anatomic location. Total luminal bile acids from intestinal segments were extracted by 9 mL 50 % tert-butyl alcohol for 1 h at 37 °C. After centrifugation, the supernatant was collected for bile acid analysis. Total bile acids were measured by Roche Cobas 8000 system using enzyme cycling method and individual bile acid species was measured using high-pressure liquid chromatography coupled with tandem mass spectrometry as we previously described[5].", "Small intestinal mucosa were flushed with saline and then scratched. Total protein was extracted by RIPA lysis buffer (KeyGEN, China) with protease and phosphatase inhibitor cocktail (KeyGEN, China) and was quantified using bicinchoninic acid protein assay kit (Beyotime, China). Equivalent amount of small intestinal mucosal protein were loaded on 10% sodium dodecyl sulfate-polyacrylamide gel electrophoresis gels (Bio-Rad, United States) and separated by electrophoresis. Then, proteins were transferred onto 0.45 μm polyvinylidene fluoride membranes (Millipore, Ireland). After being blocked in 5 % skim milk powder (Beyotime, China) for 2 h, the membranes were incubated with primary antibodies to Smpd3 (Abcam, United Kingdom) and Sptlc2 (Invitrogen, United States) overnight, followed by incubation in horseradish peroxidase-conjugated secondary antibodies (Proteintech, China) for 60 min. The protein bands were visualized by ECL solution (Millipore, United States) and their density was assessed with LI-COR Odyssey Imager (LI-COR Biosciences, United States).", "The expression of smpd3 and sptlc2 in the small intestine was analyzed by real-ime quantitative polymerase chain reaction (RT-qPCR). RNA was isolated using Trizol reagent (Invitrogen, United States), and the concentration of RNA was measured using the NanoDrop spectrophotometer (NanoDrop Technologies, United States). RNA was then reverse transcribed into complementary DNA (cDNA) using a ReverTra Ace qPCR RT Kit (TOYOBO, Japan). Amplification of messenger RNA (mRNA) was carried out using SYBR Green Real-time PCR Master Mix Kit (TOYOBO, Japan) at a range of temperatures in a Roche Lightcycle 2.0 system (Roche, Switzerland). The housekeeping gene gapdh was used as an internal reference, and mRNA levels for each target were then calculated by the 2-ΔΔCt method. The primers were smpd3 (forward primer: 5’-ACTCGCTCGCAAGGCTCAATAATG-3’, reverse primer: 5’-CTGAAGCTGGCTGCACTGATGG-3’), sptlc2 (forward primer: 5’-CGCCTTCCTGAAGTGATTGCTCTC-3’, reverse primer: 5’-AGTCTACTACACCACGCCCTGAAG-3’), and gapdh (forward primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’; reverse primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’).", "Ceramide concentrations peripheral circulation and the portal vein were measured as previously described using Ceramide LIPIDOMIX Mass Spec Standard (#330712X-1EA, Avanti, United States) as standards[14].", "Data are mean ± SEM. Area under the curve (AUC) for oral glucose tolerance test (OGTT) was calculated by trapezoidal integration. Intergroup comparisons were performed by one-way analysis of variance followed by Bonferroni post hoc comparisons. P < 0.05 was considered statistically significant. All calculations were performed using SPSS version 25.0.", "One rat in SHAM group died of intestinal obstruction. Two rats in DJB group and 2 rats in DJB + CDCA group died of anastomotic leak. At the end of the study, the number of rats alive in SHAM, DJB and DJB + CDCA groups were 9, 8 and 8, respectively.\nBody weight and energy intake At baseline, both body weight and energy intake were comparable between three groups. After surgery, both body weight and energy intake decreased sharply in all three groups and increased gradually thereafter. At week 2-5 postoperatively, body weight of the rats in DJB and DJB + CDCA groups was significantly less than that in SHAM group (P < 0.05 all). At week 7-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in DJB group (P < 0.05 all) (Figure 1A). At week 9-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in SHAM group (P < 0.05 all). At week 9-12 postoperatively, energy intake of the rats in DJB + CDCA group was significantly less than that in SHAM and DJB groups (P < 0.05 all) (Figure 1B).\n\nBody weight and energy intake from baseline to week 12 after operations as well as oral glucose tolerance test and the corresponding areas under the curves at baseline, week 4 and week 12 after operations. A: Body weight; B: Energy intake; C: Area under the curve of oral glucose tolerance test; D: Oral glucose tolerance test at baseline; E: Oral glucose tolerance test at week 4; F: Oral glucose tolerance test at week 12. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid.\nAt baseline, both body weight and energy intake were comparable between three groups. After surgery, both body weight and energy intake decreased sharply in all three groups and increased gradually thereafter. At week 2-5 postoperatively, body weight of the rats in DJB and DJB + CDCA groups was significantly less than that in SHAM group (P < 0.05 all). At week 7-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in DJB group (P < 0.05 all) (Figure 1A). At week 9-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in SHAM group (P < 0.05 all). At week 9-12 postoperatively, energy intake of the rats in DJB + CDCA group was significantly less than that in SHAM and DJB groups (P < 0.05 all) (Figure 1B).\n\nBody weight and energy intake from baseline to week 12 after operations as well as oral glucose tolerance test and the corresponding areas under the curves at baseline, week 4 and week 12 after operations. A: Body weight; B: Energy intake; C: Area under the curve of oral glucose tolerance test; D: Oral glucose tolerance test at baseline; E: Oral glucose tolerance test at week 4; F: Oral glucose tolerance test at week 12. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid.\nOGTT There was no difference in glucose tolerance between three groups at baseline based on AUCOGTT. At week 4 and 12, glucose tolerance was significantly improved with DJB and DJB + CDCA groups compared to SHAM group based on AUCOGTT (P < 0.05 each). There was no difference between DJB and DJB + CDCA groups, or between week 4 and week 12 within each group (Figures 1C-F).\nThere was no difference in glucose tolerance between three groups at baseline based on AUCOGTT. At week 4 and 12, glucose tolerance was significantly improved with DJB and DJB + CDCA groups compared to SHAM group based on AUCOGTT (P < 0.05 each). There was no difference between DJB and DJB + CDCA groups, or between week 4 and week 12 within each group (Figures 1C-F).\nLuminal bile acids Total luminal bile acid concentrations were significantly less with SHAM group compared to both DJB and DJB + CDCA groups in either proximal, medium or distal segment in the common limb (P < 0.05 all). In the distal segment, luminal total bile acid concentrations were significantly greater with DJB + CDCA group than DJB group (P < 0.05), while this difference was not significant in the proximal or medium segment (Figure 2A).\n\nLuminal total and individual bile acid concentrations and ceramide concentrations within the peripheral and portal circulations. A: Total amount of luminal bile acids; B: Luminal individual bile acid percentage in the proximal; C: Medium segment within the common limb; D: Distal segment within the common limb; E: Ratio of farnesoid X receptor agonist and antagnist within the common limb; F: Peripheral serum ceramides; G: Portal serum ceramides. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. FXR: Farnesoid X receptor; SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; αMCA: α-muricholic acid; UDCA: Ursodeoxycholic acid; LCA: Lithocholic acid; HDCA: Hyocholic acid; TLCA: Taurine-conjugated lithocholic acid.\nIn the proximal segment (Figure 2B), CA accounted for over 20% of the total luminal bile acids in all three groups, and was significantly greater with SHAM group than DJB and DJB + CDCA groups (P < 0.05). The percentages of α-muricholic acid (αMCA), βMCA, deoxycholic acid, CDCA, lithocholic acid (LCA), hyocholic acid (HDCA), and taurine-conjugated LCA (TLCA) were comparable between all three groups. The percentage of UDCA was less with DJB + CDCA group compared to SHAM and DJB groups (P < 0.05). The percentages of taurine-conjugated forms of αMCA, βMCA, CA, DCA, CDCA and UDCA were all greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). The percentage of TCDCA was greater with DJB + CDCA group than DJB group (P < 0.05).\nIn the medium segment (Figure 2C), the difference in TαMCA and TDCA between three groups was no longer significant compared to the proximal segment. The percentage of TβMCA increased to more than 5% in DJB and DJB + CDCA groups which was significantly greater than SHAM group (P < 0.05). The percentage of TCDCA was comparable between SHAM and DJB groups, which was significantly less than DJB + CDCA group (P < 0.05).\nIn the distal segment (Figure 2D), the percentage of TβMCA, TCA and TUDCA was significantly greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05), without any difference between the former two groups. The percentage of CA was significantly less with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). There was no difference in the percentage of UDCA between three groups. The percentage of other individual bile acids was comparable to that in the medium segment. The ratio of FXR agonists (including CA, TCA, DCA, TDCA, CDCA, TCDCA, LCA, and TLCA) and antagonists (including αMCA, TαMCA, βMCA, TβMCA, UDCA, TUDCA and HDCA) in DJB and DJB + CDCA groups was decreased compared to SHAM group in either proximal, medium or distal segment (P < 0.05). No difference was observed between DJB group and DJB + CDCA group (Figure 2E).\nTotal luminal bile acid concentrations were significantly less with SHAM group compared to both DJB and DJB + CDCA groups in either proximal, medium or distal segment in the common limb (P < 0.05 all). In the distal segment, luminal total bile acid concentrations were significantly greater with DJB + CDCA group than DJB group (P < 0.05), while this difference was not significant in the proximal or medium segment (Figure 2A).\n\nLuminal total and individual bile acid concentrations and ceramide concentrations within the peripheral and portal circulations. A: Total amount of luminal bile acids; B: Luminal individual bile acid percentage in the proximal; C: Medium segment within the common limb; D: Distal segment within the common limb; E: Ratio of farnesoid X receptor agonist and antagnist within the common limb; F: Peripheral serum ceramides; G: Portal serum ceramides. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. FXR: Farnesoid X receptor; SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; αMCA: α-muricholic acid; UDCA: Ursodeoxycholic acid; LCA: Lithocholic acid; HDCA: Hyocholic acid; TLCA: Taurine-conjugated lithocholic acid.\nIn the proximal segment (Figure 2B), CA accounted for over 20% of the total luminal bile acids in all three groups, and was significantly greater with SHAM group than DJB and DJB + CDCA groups (P < 0.05). The percentages of α-muricholic acid (αMCA), βMCA, deoxycholic acid, CDCA, lithocholic acid (LCA), hyocholic acid (HDCA), and taurine-conjugated LCA (TLCA) were comparable between all three groups. The percentage of UDCA was less with DJB + CDCA group compared to SHAM and DJB groups (P < 0.05). The percentages of taurine-conjugated forms of αMCA, βMCA, CA, DCA, CDCA and UDCA were all greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). The percentage of TCDCA was greater with DJB + CDCA group than DJB group (P < 0.05).\nIn the medium segment (Figure 2C), the difference in TαMCA and TDCA between three groups was no longer significant compared to the proximal segment. The percentage of TβMCA increased to more than 5% in DJB and DJB + CDCA groups which was significantly greater than SHAM group (P < 0.05). The percentage of TCDCA was comparable between SHAM and DJB groups, which was significantly less than DJB + CDCA group (P < 0.05).\nIn the distal segment (Figure 2D), the percentage of TβMCA, TCA and TUDCA was significantly greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05), without any difference between the former two groups. The percentage of CA was significantly less with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). There was no difference in the percentage of UDCA between three groups. The percentage of other individual bile acids was comparable to that in the medium segment. The ratio of FXR agonists (including CA, TCA, DCA, TDCA, CDCA, TCDCA, LCA, and TLCA) and antagonists (including αMCA, TαMCA, βMCA, TβMCA, UDCA, TUDCA and HDCA) in DJB and DJB + CDCA groups was decreased compared to SHAM group in either proximal, medium or distal segment (P < 0.05). No difference was observed between DJB group and DJB + CDCA group (Figure 2E).\nCeramides At week 12, in the peripheral circulation, serum C16:0 ceramide concentrations were lower with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05); no difference in C18:0, C24:0 or C24:1 ceramides between three groups (Figure 2F). In the portal vein, serum C16:0, C24:0 and C24:1 ceramide concentrations were lower with DJB group compared to SHAM group (P < 0.05); there was no difference in either ceramide species between DJB and DJB + CDCA groups or between DJB + CDCA and SHAM groups (Figure 2G).\nAt week 12, in the peripheral circulation, serum C16:0 ceramide concentrations were lower with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05); no difference in C18:0, C24:0 or C24:1 ceramides between three groups (Figure 2F). In the portal vein, serum C16:0, C24:0 and C24:1 ceramide concentrations were lower with DJB group compared to SHAM group (P < 0.05); there was no difference in either ceramide species between DJB and DJB + CDCA groups or between DJB + CDCA and SHAM groups (Figure 2G).\nExpression of Smpd3 and Sptlc2 At week 12, the expression of Smpd3 and Sptlc2 were lower with DJB and DJB + CDCA groups than SHAM group at both protein and mRNA levels (P < 0.05). Compared to DJB + CDCA group, the expression of Smpd3 and Sptlc2 with DJB group were even lower at both protein and mRNA levels (P < 0.05) (Figures 3A, 3B and 3C).\n\nExpression of ceramide synthesis-related enzyme sphingomyelin phosphodiesterase 3 and serine palmitoyltransferase long chain base subunit 2 at protein and mRNA levels. A: Expression of sphingomyelin phosphodiesterase 3 (Smpd3), serine palmitoyltransferase long chain base subunit 2 (Sptlc2) and GAPDH; B: Expression of Smpd3, Sptlc2 at protein; C: Expression of Smpd3, Sptlc2 mRNA levels. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; Smpd3: Sphingomyelin phosphodiesterase 3; Sptlc2: Serine palmitoyltransferase long chain base subunit 2.\nAt week 12, the expression of Smpd3 and Sptlc2 were lower with DJB and DJB + CDCA groups than SHAM group at both protein and mRNA levels (P < 0.05). Compared to DJB + CDCA group, the expression of Smpd3 and Sptlc2 with DJB group were even lower at both protein and mRNA levels (P < 0.05) (Figures 3A, 3B and 3C).\n\nExpression of ceramide synthesis-related enzyme sphingomyelin phosphodiesterase 3 and serine palmitoyltransferase long chain base subunit 2 at protein and mRNA levels. A: Expression of sphingomyelin phosphodiesterase 3 (Smpd3), serine palmitoyltransferase long chain base subunit 2 (Sptlc2) and GAPDH; B: Expression of Smpd3, Sptlc2 at protein; C: Expression of Smpd3, Sptlc2 mRNA levels. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; Smpd3: Sphingomyelin phosphodiesterase 3; Sptlc2: Serine palmitoyltransferase long chain base subunit 2.", "At baseline, both body weight and energy intake were comparable between three groups. After surgery, both body weight and energy intake decreased sharply in all three groups and increased gradually thereafter. At week 2-5 postoperatively, body weight of the rats in DJB and DJB + CDCA groups was significantly less than that in SHAM group (P < 0.05 all). At week 7-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in DJB group (P < 0.05 all) (Figure 1A). At week 9-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in SHAM group (P < 0.05 all). At week 9-12 postoperatively, energy intake of the rats in DJB + CDCA group was significantly less than that in SHAM and DJB groups (P < 0.05 all) (Figure 1B).\n\nBody weight and energy intake from baseline to week 12 after operations as well as oral glucose tolerance test and the corresponding areas under the curves at baseline, week 4 and week 12 after operations. A: Body weight; B: Energy intake; C: Area under the curve of oral glucose tolerance test; D: Oral glucose tolerance test at baseline; E: Oral glucose tolerance test at week 4; F: Oral glucose tolerance test at week 12. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid.", "There was no difference in glucose tolerance between three groups at baseline based on AUCOGTT. At week 4 and 12, glucose tolerance was significantly improved with DJB and DJB + CDCA groups compared to SHAM group based on AUCOGTT (P < 0.05 each). There was no difference between DJB and DJB + CDCA groups, or between week 4 and week 12 within each group (Figures 1C-F).", "Total luminal bile acid concentrations were significantly less with SHAM group compared to both DJB and DJB + CDCA groups in either proximal, medium or distal segment in the common limb (P < 0.05 all). In the distal segment, luminal total bile acid concentrations were significantly greater with DJB + CDCA group than DJB group (P < 0.05), while this difference was not significant in the proximal or medium segment (Figure 2A).\n\nLuminal total and individual bile acid concentrations and ceramide concentrations within the peripheral and portal circulations. A: Total amount of luminal bile acids; B: Luminal individual bile acid percentage in the proximal; C: Medium segment within the common limb; D: Distal segment within the common limb; E: Ratio of farnesoid X receptor agonist and antagnist within the common limb; F: Peripheral serum ceramides; G: Portal serum ceramides. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. FXR: Farnesoid X receptor; SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; αMCA: α-muricholic acid; UDCA: Ursodeoxycholic acid; LCA: Lithocholic acid; HDCA: Hyocholic acid; TLCA: Taurine-conjugated lithocholic acid.\nIn the proximal segment (Figure 2B), CA accounted for over 20% of the total luminal bile acids in all three groups, and was significantly greater with SHAM group than DJB and DJB + CDCA groups (P < 0.05). The percentages of α-muricholic acid (αMCA), βMCA, deoxycholic acid, CDCA, lithocholic acid (LCA), hyocholic acid (HDCA), and taurine-conjugated LCA (TLCA) were comparable between all three groups. The percentage of UDCA was less with DJB + CDCA group compared to SHAM and DJB groups (P < 0.05). The percentages of taurine-conjugated forms of αMCA, βMCA, CA, DCA, CDCA and UDCA were all greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). The percentage of TCDCA was greater with DJB + CDCA group than DJB group (P < 0.05).\nIn the medium segment (Figure 2C), the difference in TαMCA and TDCA between three groups was no longer significant compared to the proximal segment. The percentage of TβMCA increased to more than 5% in DJB and DJB + CDCA groups which was significantly greater than SHAM group (P < 0.05). The percentage of TCDCA was comparable between SHAM and DJB groups, which was significantly less than DJB + CDCA group (P < 0.05).\nIn the distal segment (Figure 2D), the percentage of TβMCA, TCA and TUDCA was significantly greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05), without any difference between the former two groups. The percentage of CA was significantly less with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). There was no difference in the percentage of UDCA between three groups. The percentage of other individual bile acids was comparable to that in the medium segment. The ratio of FXR agonists (including CA, TCA, DCA, TDCA, CDCA, TCDCA, LCA, and TLCA) and antagonists (including αMCA, TαMCA, βMCA, TβMCA, UDCA, TUDCA and HDCA) in DJB and DJB + CDCA groups was decreased compared to SHAM group in either proximal, medium or distal segment (P < 0.05). No difference was observed between DJB group and DJB + CDCA group (Figure 2E).", "At week 12, in the peripheral circulation, serum C16:0 ceramide concentrations were lower with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05); no difference in C18:0, C24:0 or C24:1 ceramides between three groups (Figure 2F). In the portal vein, serum C16:0, C24:0 and C24:1 ceramide concentrations were lower with DJB group compared to SHAM group (P < 0.05); there was no difference in either ceramide species between DJB and DJB + CDCA groups or between DJB + CDCA and SHAM groups (Figure 2G).", "At week 12, the expression of Smpd3 and Sptlc2 were lower with DJB and DJB + CDCA groups than SHAM group at both protein and mRNA levels (P < 0.05). Compared to DJB + CDCA group, the expression of Smpd3 and Sptlc2 with DJB group were even lower at both protein and mRNA levels (P < 0.05) (Figures 3A, 3B and 3C).\n\nExpression of ceramide synthesis-related enzyme sphingomyelin phosphodiesterase 3 and serine palmitoyltransferase long chain base subunit 2 at protein and mRNA levels. A: Expression of sphingomyelin phosphodiesterase 3 (Smpd3), serine palmitoyltransferase long chain base subunit 2 (Sptlc2) and GAPDH; B: Expression of Smpd3, Sptlc2 at protein; C: Expression of Smpd3, Sptlc2 mRNA levels. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; Smpd3: Sphingomyelin phosphodiesterase 3; Sptlc2: Serine palmitoyltransferase long chain base subunit 2.", "In the present study, we performed SHAM, DJB and DJB + CDCA procedures in a HFD/STZ induced diabetic rat model, and for the first time, demonstrated the changes of luminal individual bile acids in the distal small intestine. We also found that the subsequent changes of the bile acids within the distal common limb after DJB elicited inhibitory effect on regional ceramide synthesis and this phenomenon could be partially antagonized by luminal supplementation of FXR activating bile acid CDCA.\nDJB was initially designed to investigate the weight loss independent mechanisms of bariatric surgery[3]. This procedure has no effect on weight loss but could induce fast and sustainable amelioration of type 2 diabetes[4]. Consistent with other bariatric procedures[15,16], serum bile acid concentrations were also increased following DJB, and this phenomenon is clearly related to reconstruction of the gastrointestinal tract[5]. Via the biliopancreatic limb, bile acids contact the distal small intestine, where luminal bile acid reabsorption mainly occurs, more rapidly and lead to early and increased reabsorption of luminal bile acids in the small intestine. A recent study has proved that in the biliopancreatic limb, increased reabsorption of luminal bile acids has already commenced as a result of highly concentrated bile acids as well as lack of lipids[17]. While in the alimentary limb, only trace amount of luminal bile acids could be detected[4]. Decreased luminal bile acids lead to marked luminal sodium insufficiency, and hence, intestinal uptake of glucose in the alimentary limb is significantly decreased[18], which represents another mechanism in controlling postprandial glucose excursion. The common limb is where food and bile mix up and the major place for intestinal FXR expression. Therefore, we concentrated on bile acid milieu within the common limb rather than the biliopancreatic or alimentary limb because the common limb is the place mostly close to physiological conditions.\nTo our knowledge, the present study is the first study reporting luminal bile acid changes after DJB. Most clinical and animal studies concentrated on serum or fecal bile acids, as the intestinal lumen is deep inside and in vivo study of luminal contents, particularly in the small intestine, is technically difficult and ethically challenging. Consistent with our previous findings of serum bile acid changes after DJB, the total amount of luminal bile acids and the proportion of FXR-inhibitory bile acids were both increased. These specific changes have at least two clinical relevance. First, concentrated luminal bile acids stimulate TRG5 on the surface of enteroendocrine cells and leads to potentiated GLP-1 secretion[4]; second, increased proportion of FXR-inhibitory bile acids has inhibited expression of FXR downstream pathways and reduced biosynthesis of intestinal-derived ceramides[12]. Compared to TGR5, FXR appears to be a more important and complicated receptor in metabolic regulation; in the absence of FXR, the ability of bariatric surgery to reduce body weight and improve glucose tolerance is substantially reduced while these metabolic benefits are largely preserved when TGR5 is deficient[19-20]. Whole body FXR knock-out mice were associated with elevated serum triglycerides, cholesterols, free fatty acids and severe liver fat accumulation, but were protected from diet- or genetically- induced obesity[21]. In contrast, liver-specific FXR knock-out mice were not protected from diet-induced obesity and insulin resistance[22], suggesting the distinct role of hepatic and intestinal FXR activation in improving glucose tolerance and insulin resistance. In the small intestine, the role of FXR is controversial. After bariatric surgery, increased serum fibroblast growth factor 19 (FGF19) concentrations have been thought to play a role in the remission of human diabetes[15]. And intestinal FXR activation by luminal bile acids has been thought as a major source of increased serum FGF19. However, no direct evidence was available to confirm the state of intestinal FXR activation, and other tissues may also be sources of FGF19. In contrast, more studies support that intestinal FXR activation would damage metabolic homeostasis by reducing energy expenditure and impairing glucose tolerance[12,14,23]. To investigate the direct influence of bile acids on intestinal FXR, bile diversion procedure was reported by three separate studies[4,24,25], including one from our group[4]. Surprisingly, all three studies showed activated intestinal FXR in response to direct bile acid stimulation. However, in contrast, in DJB, the effect of bile acids on intestinal FXR within the common limb was inhibitory. The discrepancy suggests the biliopancreatic limb may have altered the luminal bile acid composition by premature bile acid reabsorption.\nConsistent with our hypothesis, both ceramides in the portal vein and in the peripheral circulation were decreased in response to increased proportion of luminal FXR-inhibitory bile acids. Ceramides are signaling molecules and are associated with obesity and insulin resistance at high concentrations[26]. Decreased ceramides inhibits the expression of SREBP-1 in the liver and alleviates hepatic fat accumulation, thus increasing hepatic insulin sensitivity[12]. Our previous study found that DJB suppressed hepatic de novo lipogenesis and alleviates liver fat accumulation by inhibiting SREBP-1. However, the mechanisms underlying were unknown. Based on results from the present study, we have unveiled at least one mechanism accounting for alleviated hepatic fat accumulation. Therefore, manipulation of luminal bile acid composition towards FXR-inhibitory trend may have metabolic beneficial effects.\nThe present study has several limitations. First, bile acids are mixture with a variety of individual bile acids. As bile acids are mainly conjugated with taurine in rodents[27], we only tested luminal unconjugated and taurine-conjugated bile acids. Second, CDCA is not dissolved in water and we used CDCA suspension for gavage, which may have compromised CDCA absorption to a certain degree. Third, the results from the present study were based on a diabetic rat model and should be interpreted with caution due to species gap.", "In conclusion, DJB significantly changes luminal bile acid composition with increased proportion of FXR-inhibitory bile acids and reduce serum ceramide levels. There observations suggest a novel mechanism of bile acids in metabolic regulation after DJB." ]
[ null, "methods", null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Bariatric surgery", "Duodenal-jejunal bypass", "Farnesoid X receptor", "Ceramide", "Bile acids", "Liver fat accumulation" ]
INTRODUCTION: Duodenal-jejunal bypass (DJB) can induce rapid and durable amelioration of type 2 diabetes mellitus[1-3]. The underlying mechanisms remain incompletely understood. Our previous research has proved that bile acids play an important role in the amelioration of type 2 diabetes following DJB[4], and found that serum taurine-conjugated bile acids are preferentially elevated postoperatively[5]. However, the clinical relevance of the specific alterations of serum bile acids is still not known. Bile acids in the peripheral circulation reflect the amount of bile acids that could not be totally reabsorbed by hepatocytes during the enterohepatic circulation[6]. Therefore, the alterations of serum bile acids might be a secondary change of the bile acids within the gut, and a further investigation of luminal bile acids following DJB is of great significance. Bile acids are traditionally known as lipid absorption-facilitating agents. It was not until recent years that the role of bile acids as signaling molecules in modulating metabolism has be unveiled. The intestinal lumina, where bile acid concentrations are high, is the main place for bile acid signaling. Two major receptors, including Takeda G-protein-coupled receptor 5 (TGR5) and nuclear farnesoid X receptor (FXR) are responsible for luminal bile acid sensing. TGR5 expression is detected in a variety of enteroendocrine cells and acute exposure of TGR5 to luminal bile acids lead to significant secretion of glucagon-like peptide 1 (GLP-1), which is a vital hormone for maintaining normal incretin effect in type 2 diabetes[7,8]. The interaction between bile acids and FXR is more complicated, as different subtypes of bile acids have distinct effect on the downstream pathway of FXR[9]. Chenodeoxycholic acid (CDCA) represents the most potent FXR stimulator while ursodeoxycholic acid (UDCA) and β-muricholic acid (βMCA) are FXR inhibitors[9-11]. Therefore, the net effect of luminal bile acids on FXR depends on the proportion of FXR-stimulating bile acids rather than the total amount of bile acids. Intestinal FXR could affect lipid metabolism and this process is closely related to ceramide synthesis. Intestine-selective FXR inhibition downregulates the expression of ceramide synthesis-related genes sphingomyelin phosphodiesterase 3 (Smpd3) and serine palmitoyltransferase long chain base subunit 2 (Sptlc2), resulting in decreased concentrations of ceramides within the small intestine, portal system and peripheral circulation[12]. Decreased ceramides inhibit the expression of sterol regulatory element binding protein-1 (SREBP-1) in the liver[12], which is a key enzyme in the process of hepatic fat accumulation. Coincidentally, the changes in lipid metabolism after intestine-selective FXR inhibition is similar to the changes following DJB that hepatic fat accumulation is alleviated and the key transcriptional regulators and enzymes involved in hepatic de novo lipogenesis are downregulated[13]. Therefore, we hypothesized that the net effect of luminal bile acids on intestinal FXR might be inhibitory after DJB which leads to decreased ceramide synthesis. To test this hypothesis, we measure the changes of individual luminal bile acid and ceramide concentrations within the enterohepatic circulation after DJB in a high-fat diet (HFD)/streptozotocin (STZ)-induced diabetic rat model. MATERIALS AND METHODS: Animals and surgical procedures Eight-week-old male Wistar rats (220 g on average, purchased from Huafukang Biotech, China) were individually housed with a 12 h light/dark cycle under constant temperature (24-26 °C) and humidity (50%-70%). All rats were fed with HFD (42% carbohydrate, 18% protein and 40% fat, as a total percentage of calories, Huafukang Biotech, China) with no restriction to tap water for 1 mo to induce insulin resistance. After fasting for 12 h, 30 mg/kg STZ (Sigma Aldrich, United States) dissolved in sodium citrate buffer (pH 4.2) was injected into the peritoneal cavity. Random blood glucose concentrations were measured with a glucometer (Roche Diagnostics, Germany) from tail veins 72 h later. Thirty rats with random blood glucose ≥ 16.7 mmol/L were considered diabetic and were matched into salicylhydroxamic acid (SHAM) group (n = 10), DJB group (n = 10) and DJB + CDCA group (n = 10). One month later, surgery was performed as we previously reported[5]. Body weight and calorie intake were recorded daily. All rats were sacrificed after 12 h fasting at week 12 postoperatively. All procedures involving animals were reviewed and approved by the Ethics Committee on Animal Experiment of Shandong University Qilu Hospital. Eight-week-old male Wistar rats (220 g on average, purchased from Huafukang Biotech, China) were individually housed with a 12 h light/dark cycle under constant temperature (24-26 °C) and humidity (50%-70%). All rats were fed with HFD (42% carbohydrate, 18% protein and 40% fat, as a total percentage of calories, Huafukang Biotech, China) with no restriction to tap water for 1 mo to induce insulin resistance. After fasting for 12 h, 30 mg/kg STZ (Sigma Aldrich, United States) dissolved in sodium citrate buffer (pH 4.2) was injected into the peritoneal cavity. Random blood glucose concentrations were measured with a glucometer (Roche Diagnostics, Germany) from tail veins 72 h later. Thirty rats with random blood glucose ≥ 16.7 mmol/L were considered diabetic and were matched into salicylhydroxamic acid (SHAM) group (n = 10), DJB group (n = 10) and DJB + CDCA group (n = 10). One month later, surgery was performed as we previously reported[5]. Body weight and calorie intake were recorded daily. All rats were sacrificed after 12 h fasting at week 12 postoperatively. All procedures involving animals were reviewed and approved by the Ethics Committee on Animal Experiment of Shandong University Qilu Hospital. CDCA gavage Without fasting, rats in the DJB + CDCA group were administrated with CDCA suspension (100 mg/kg suspended in 3 mL tap water) by intragastric gavage three times a week since week 5 postoperatively. The gavage procedure ceased after week 11. Without fasting, rats in the DJB + CDCA group were administrated with CDCA suspension (100 mg/kg suspended in 3 mL tap water) by intragastric gavage three times a week since week 5 postoperatively. The gavage procedure ceased after week 11. Oral glucose tolerance test At week 4 and week 12, after 12 h fasting, the rats were administrated with 20% of glucose (1 g/kg) by intragastric gavage. Blood glucose concentrations were measured at t = 0, 10, 30, 60 and 120 min. At week 4 and week 12, after 12 h fasting, the rats were administrated with 20% of glucose (1 g/kg) by intragastric gavage. Blood glucose concentrations were measured at t = 0, 10, 30, 60 and 120 min. Blood sample preparation Peripheral blood samples were collected from the retrobulbar venous plexus after 12 h fasting before sacrificing. Portal venous blood samples were collected directly from the portal vein. After centrifugation, the supernatant was stored at -80 °C until analysis. Peripheral blood samples were collected from the retrobulbar venous plexus after 12 h fasting before sacrificing. Portal venous blood samples were collected directly from the portal vein. After centrifugation, the supernatant was stored at -80 °C until analysis. Luminal bile acid detection Three independent intestinal segments (3 cm each) was excised at the proximal, medium and distal sites within the common limb, respectively, without prior flushing. The control intestinal segments from SHAM group were excised at the corresponding anatomic location. Total luminal bile acids from intestinal segments were extracted by 9 mL 50 % tert-butyl alcohol for 1 h at 37 °C. After centrifugation, the supernatant was collected for bile acid analysis. Total bile acids were measured by Roche Cobas 8000 system using enzyme cycling method and individual bile acid species was measured using high-pressure liquid chromatography coupled with tandem mass spectrometry as we previously described[5]. Three independent intestinal segments (3 cm each) was excised at the proximal, medium and distal sites within the common limb, respectively, without prior flushing. The control intestinal segments from SHAM group were excised at the corresponding anatomic location. Total luminal bile acids from intestinal segments were extracted by 9 mL 50 % tert-butyl alcohol for 1 h at 37 °C. After centrifugation, the supernatant was collected for bile acid analysis. Total bile acids were measured by Roche Cobas 8000 system using enzyme cycling method and individual bile acid species was measured using high-pressure liquid chromatography coupled with tandem mass spectrometry as we previously described[5]. Western blot Small intestinal mucosa were flushed with saline and then scratched. Total protein was extracted by RIPA lysis buffer (KeyGEN, China) with protease and phosphatase inhibitor cocktail (KeyGEN, China) and was quantified using bicinchoninic acid protein assay kit (Beyotime, China). Equivalent amount of small intestinal mucosal protein were loaded on 10% sodium dodecyl sulfate-polyacrylamide gel electrophoresis gels (Bio-Rad, United States) and separated by electrophoresis. Then, proteins were transferred onto 0.45 μm polyvinylidene fluoride membranes (Millipore, Ireland). After being blocked in 5 % skim milk powder (Beyotime, China) for 2 h, the membranes were incubated with primary antibodies to Smpd3 (Abcam, United Kingdom) and Sptlc2 (Invitrogen, United States) overnight, followed by incubation in horseradish peroxidase-conjugated secondary antibodies (Proteintech, China) for 60 min. The protein bands were visualized by ECL solution (Millipore, United States) and their density was assessed with LI-COR Odyssey Imager (LI-COR Biosciences, United States). Small intestinal mucosa were flushed with saline and then scratched. Total protein was extracted by RIPA lysis buffer (KeyGEN, China) with protease and phosphatase inhibitor cocktail (KeyGEN, China) and was quantified using bicinchoninic acid protein assay kit (Beyotime, China). Equivalent amount of small intestinal mucosal protein were loaded on 10% sodium dodecyl sulfate-polyacrylamide gel electrophoresis gels (Bio-Rad, United States) and separated by electrophoresis. Then, proteins were transferred onto 0.45 μm polyvinylidene fluoride membranes (Millipore, Ireland). After being blocked in 5 % skim milk powder (Beyotime, China) for 2 h, the membranes were incubated with primary antibodies to Smpd3 (Abcam, United Kingdom) and Sptlc2 (Invitrogen, United States) overnight, followed by incubation in horseradish peroxidase-conjugated secondary antibodies (Proteintech, China) for 60 min. The protein bands were visualized by ECL solution (Millipore, United States) and their density was assessed with LI-COR Odyssey Imager (LI-COR Biosciences, United States). RNA analysis The expression of smpd3 and sptlc2 in the small intestine was analyzed by real-ime quantitative polymerase chain reaction (RT-qPCR). RNA was isolated using Trizol reagent (Invitrogen, United States), and the concentration of RNA was measured using the NanoDrop spectrophotometer (NanoDrop Technologies, United States). RNA was then reverse transcribed into complementary DNA (cDNA) using a ReverTra Ace qPCR RT Kit (TOYOBO, Japan). Amplification of messenger RNA (mRNA) was carried out using SYBR Green Real-time PCR Master Mix Kit (TOYOBO, Japan) at a range of temperatures in a Roche Lightcycle 2.0 system (Roche, Switzerland). The housekeeping gene gapdh was used as an internal reference, and mRNA levels for each target were then calculated by the 2-ΔΔCt method. The primers were smpd3 (forward primer: 5’-ACTCGCTCGCAAGGCTCAATAATG-3’, reverse primer: 5’-CTGAAGCTGGCTGCACTGATGG-3’), sptlc2 (forward primer: 5’-CGCCTTCCTGAAGTGATTGCTCTC-3’, reverse primer: 5’-AGTCTACTACACCACGCCCTGAAG-3’), and gapdh (forward primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’; reverse primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’). The expression of smpd3 and sptlc2 in the small intestine was analyzed by real-ime quantitative polymerase chain reaction (RT-qPCR). RNA was isolated using Trizol reagent (Invitrogen, United States), and the concentration of RNA was measured using the NanoDrop spectrophotometer (NanoDrop Technologies, United States). RNA was then reverse transcribed into complementary DNA (cDNA) using a ReverTra Ace qPCR RT Kit (TOYOBO, Japan). Amplification of messenger RNA (mRNA) was carried out using SYBR Green Real-time PCR Master Mix Kit (TOYOBO, Japan) at a range of temperatures in a Roche Lightcycle 2.0 system (Roche, Switzerland). The housekeeping gene gapdh was used as an internal reference, and mRNA levels for each target were then calculated by the 2-ΔΔCt method. The primers were smpd3 (forward primer: 5’-ACTCGCTCGCAAGGCTCAATAATG-3’, reverse primer: 5’-CTGAAGCTGGCTGCACTGATGG-3’), sptlc2 (forward primer: 5’-CGCCTTCCTGAAGTGATTGCTCTC-3’, reverse primer: 5’-AGTCTACTACACCACGCCCTGAAG-3’), and gapdh (forward primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’; reverse primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’). Ceramide detection Ceramide concentrations peripheral circulation and the portal vein were measured as previously described using Ceramide LIPIDOMIX Mass Spec Standard (#330712X-1EA, Avanti, United States) as standards[14]. Ceramide concentrations peripheral circulation and the portal vein were measured as previously described using Ceramide LIPIDOMIX Mass Spec Standard (#330712X-1EA, Avanti, United States) as standards[14]. Statistical analysis Data are mean ± SEM. Area under the curve (AUC) for oral glucose tolerance test (OGTT) was calculated by trapezoidal integration. Intergroup comparisons were performed by one-way analysis of variance followed by Bonferroni post hoc comparisons. P < 0.05 was considered statistically significant. All calculations were performed using SPSS version 25.0. Data are mean ± SEM. Area under the curve (AUC) for oral glucose tolerance test (OGTT) was calculated by trapezoidal integration. Intergroup comparisons were performed by one-way analysis of variance followed by Bonferroni post hoc comparisons. P < 0.05 was considered statistically significant. All calculations were performed using SPSS version 25.0. Animals and surgical procedures: Eight-week-old male Wistar rats (220 g on average, purchased from Huafukang Biotech, China) were individually housed with a 12 h light/dark cycle under constant temperature (24-26 °C) and humidity (50%-70%). All rats were fed with HFD (42% carbohydrate, 18% protein and 40% fat, as a total percentage of calories, Huafukang Biotech, China) with no restriction to tap water for 1 mo to induce insulin resistance. After fasting for 12 h, 30 mg/kg STZ (Sigma Aldrich, United States) dissolved in sodium citrate buffer (pH 4.2) was injected into the peritoneal cavity. Random blood glucose concentrations were measured with a glucometer (Roche Diagnostics, Germany) from tail veins 72 h later. Thirty rats with random blood glucose ≥ 16.7 mmol/L were considered diabetic and were matched into salicylhydroxamic acid (SHAM) group (n = 10), DJB group (n = 10) and DJB + CDCA group (n = 10). One month later, surgery was performed as we previously reported[5]. Body weight and calorie intake were recorded daily. All rats were sacrificed after 12 h fasting at week 12 postoperatively. All procedures involving animals were reviewed and approved by the Ethics Committee on Animal Experiment of Shandong University Qilu Hospital. CDCA gavage: Without fasting, rats in the DJB + CDCA group were administrated with CDCA suspension (100 mg/kg suspended in 3 mL tap water) by intragastric gavage three times a week since week 5 postoperatively. The gavage procedure ceased after week 11. Oral glucose tolerance test: At week 4 and week 12, after 12 h fasting, the rats were administrated with 20% of glucose (1 g/kg) by intragastric gavage. Blood glucose concentrations were measured at t = 0, 10, 30, 60 and 120 min. Blood sample preparation: Peripheral blood samples were collected from the retrobulbar venous plexus after 12 h fasting before sacrificing. Portal venous blood samples were collected directly from the portal vein. After centrifugation, the supernatant was stored at -80 °C until analysis. Luminal bile acid detection: Three independent intestinal segments (3 cm each) was excised at the proximal, medium and distal sites within the common limb, respectively, without prior flushing. The control intestinal segments from SHAM group were excised at the corresponding anatomic location. Total luminal bile acids from intestinal segments were extracted by 9 mL 50 % tert-butyl alcohol for 1 h at 37 °C. After centrifugation, the supernatant was collected for bile acid analysis. Total bile acids were measured by Roche Cobas 8000 system using enzyme cycling method and individual bile acid species was measured using high-pressure liquid chromatography coupled with tandem mass spectrometry as we previously described[5]. Western blot: Small intestinal mucosa were flushed with saline and then scratched. Total protein was extracted by RIPA lysis buffer (KeyGEN, China) with protease and phosphatase inhibitor cocktail (KeyGEN, China) and was quantified using bicinchoninic acid protein assay kit (Beyotime, China). Equivalent amount of small intestinal mucosal protein were loaded on 10% sodium dodecyl sulfate-polyacrylamide gel electrophoresis gels (Bio-Rad, United States) and separated by electrophoresis. Then, proteins were transferred onto 0.45 μm polyvinylidene fluoride membranes (Millipore, Ireland). After being blocked in 5 % skim milk powder (Beyotime, China) for 2 h, the membranes were incubated with primary antibodies to Smpd3 (Abcam, United Kingdom) and Sptlc2 (Invitrogen, United States) overnight, followed by incubation in horseradish peroxidase-conjugated secondary antibodies (Proteintech, China) for 60 min. The protein bands were visualized by ECL solution (Millipore, United States) and their density was assessed with LI-COR Odyssey Imager (LI-COR Biosciences, United States). RNA analysis: The expression of smpd3 and sptlc2 in the small intestine was analyzed by real-ime quantitative polymerase chain reaction (RT-qPCR). RNA was isolated using Trizol reagent (Invitrogen, United States), and the concentration of RNA was measured using the NanoDrop spectrophotometer (NanoDrop Technologies, United States). RNA was then reverse transcribed into complementary DNA (cDNA) using a ReverTra Ace qPCR RT Kit (TOYOBO, Japan). Amplification of messenger RNA (mRNA) was carried out using SYBR Green Real-time PCR Master Mix Kit (TOYOBO, Japan) at a range of temperatures in a Roche Lightcycle 2.0 system (Roche, Switzerland). The housekeeping gene gapdh was used as an internal reference, and mRNA levels for each target were then calculated by the 2-ΔΔCt method. The primers were smpd3 (forward primer: 5’-ACTCGCTCGCAAGGCTCAATAATG-3’, reverse primer: 5’-CTGAAGCTGGCTGCACTGATGG-3’), sptlc2 (forward primer: 5’-CGCCTTCCTGAAGTGATTGCTCTC-3’, reverse primer: 5’-AGTCTACTACACCACGCCCTGAAG-3’), and gapdh (forward primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’; reverse primer: 5’-ACCCTGTTGCTGTAGCCATATTC-3’). Ceramide detection: Ceramide concentrations peripheral circulation and the portal vein were measured as previously described using Ceramide LIPIDOMIX Mass Spec Standard (#330712X-1EA, Avanti, United States) as standards[14]. Statistical analysis: Data are mean ± SEM. Area under the curve (AUC) for oral glucose tolerance test (OGTT) was calculated by trapezoidal integration. Intergroup comparisons were performed by one-way analysis of variance followed by Bonferroni post hoc comparisons. P < 0.05 was considered statistically significant. All calculations were performed using SPSS version 25.0. RESULTS: One rat in SHAM group died of intestinal obstruction. Two rats in DJB group and 2 rats in DJB + CDCA group died of anastomotic leak. At the end of the study, the number of rats alive in SHAM, DJB and DJB + CDCA groups were 9, 8 and 8, respectively. Body weight and energy intake At baseline, both body weight and energy intake were comparable between three groups. After surgery, both body weight and energy intake decreased sharply in all three groups and increased gradually thereafter. At week 2-5 postoperatively, body weight of the rats in DJB and DJB + CDCA groups was significantly less than that in SHAM group (P < 0.05 all). At week 7-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in DJB group (P < 0.05 all) (Figure 1A). At week 9-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in SHAM group (P < 0.05 all). At week 9-12 postoperatively, energy intake of the rats in DJB + CDCA group was significantly less than that in SHAM and DJB groups (P < 0.05 all) (Figure 1B). Body weight and energy intake from baseline to week 12 after operations as well as oral glucose tolerance test and the corresponding areas under the curves at baseline, week 4 and week 12 after operations. A: Body weight; B: Energy intake; C: Area under the curve of oral glucose tolerance test; D: Oral glucose tolerance test at baseline; E: Oral glucose tolerance test at week 4; F: Oral glucose tolerance test at week 12. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid. At baseline, both body weight and energy intake were comparable between three groups. After surgery, both body weight and energy intake decreased sharply in all three groups and increased gradually thereafter. At week 2-5 postoperatively, body weight of the rats in DJB and DJB + CDCA groups was significantly less than that in SHAM group (P < 0.05 all). At week 7-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in DJB group (P < 0.05 all) (Figure 1A). At week 9-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in SHAM group (P < 0.05 all). At week 9-12 postoperatively, energy intake of the rats in DJB + CDCA group was significantly less than that in SHAM and DJB groups (P < 0.05 all) (Figure 1B). Body weight and energy intake from baseline to week 12 after operations as well as oral glucose tolerance test and the corresponding areas under the curves at baseline, week 4 and week 12 after operations. A: Body weight; B: Energy intake; C: Area under the curve of oral glucose tolerance test; D: Oral glucose tolerance test at baseline; E: Oral glucose tolerance test at week 4; F: Oral glucose tolerance test at week 12. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid. OGTT There was no difference in glucose tolerance between three groups at baseline based on AUCOGTT. At week 4 and 12, glucose tolerance was significantly improved with DJB and DJB + CDCA groups compared to SHAM group based on AUCOGTT (P < 0.05 each). There was no difference between DJB and DJB + CDCA groups, or between week 4 and week 12 within each group (Figures 1C-F). There was no difference in glucose tolerance between three groups at baseline based on AUCOGTT. At week 4 and 12, glucose tolerance was significantly improved with DJB and DJB + CDCA groups compared to SHAM group based on AUCOGTT (P < 0.05 each). There was no difference between DJB and DJB + CDCA groups, or between week 4 and week 12 within each group (Figures 1C-F). Luminal bile acids Total luminal bile acid concentrations were significantly less with SHAM group compared to both DJB and DJB + CDCA groups in either proximal, medium or distal segment in the common limb (P < 0.05 all). In the distal segment, luminal total bile acid concentrations were significantly greater with DJB + CDCA group than DJB group (P < 0.05), while this difference was not significant in the proximal or medium segment (Figure 2A). Luminal total and individual bile acid concentrations and ceramide concentrations within the peripheral and portal circulations. A: Total amount of luminal bile acids; B: Luminal individual bile acid percentage in the proximal; C: Medium segment within the common limb; D: Distal segment within the common limb; E: Ratio of farnesoid X receptor agonist and antagnist within the common limb; F: Peripheral serum ceramides; G: Portal serum ceramides. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. FXR: Farnesoid X receptor; SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; αMCA: α-muricholic acid; UDCA: Ursodeoxycholic acid; LCA: Lithocholic acid; HDCA: Hyocholic acid; TLCA: Taurine-conjugated lithocholic acid. In the proximal segment (Figure 2B), CA accounted for over 20% of the total luminal bile acids in all three groups, and was significantly greater with SHAM group than DJB and DJB + CDCA groups (P < 0.05). The percentages of α-muricholic acid (αMCA), βMCA, deoxycholic acid, CDCA, lithocholic acid (LCA), hyocholic acid (HDCA), and taurine-conjugated LCA (TLCA) were comparable between all three groups. The percentage of UDCA was less with DJB + CDCA group compared to SHAM and DJB groups (P < 0.05). The percentages of taurine-conjugated forms of αMCA, βMCA, CA, DCA, CDCA and UDCA were all greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). The percentage of TCDCA was greater with DJB + CDCA group than DJB group (P < 0.05). In the medium segment (Figure 2C), the difference in TαMCA and TDCA between three groups was no longer significant compared to the proximal segment. The percentage of TβMCA increased to more than 5% in DJB and DJB + CDCA groups which was significantly greater than SHAM group (P < 0.05). The percentage of TCDCA was comparable between SHAM and DJB groups, which was significantly less than DJB + CDCA group (P < 0.05). In the distal segment (Figure 2D), the percentage of TβMCA, TCA and TUDCA was significantly greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05), without any difference between the former two groups. The percentage of CA was significantly less with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). There was no difference in the percentage of UDCA between three groups. The percentage of other individual bile acids was comparable to that in the medium segment. The ratio of FXR agonists (including CA, TCA, DCA, TDCA, CDCA, TCDCA, LCA, and TLCA) and antagonists (including αMCA, TαMCA, βMCA, TβMCA, UDCA, TUDCA and HDCA) in DJB and DJB + CDCA groups was decreased compared to SHAM group in either proximal, medium or distal segment (P < 0.05). No difference was observed between DJB group and DJB + CDCA group (Figure 2E). Total luminal bile acid concentrations were significantly less with SHAM group compared to both DJB and DJB + CDCA groups in either proximal, medium or distal segment in the common limb (P < 0.05 all). In the distal segment, luminal total bile acid concentrations were significantly greater with DJB + CDCA group than DJB group (P < 0.05), while this difference was not significant in the proximal or medium segment (Figure 2A). Luminal total and individual bile acid concentrations and ceramide concentrations within the peripheral and portal circulations. A: Total amount of luminal bile acids; B: Luminal individual bile acid percentage in the proximal; C: Medium segment within the common limb; D: Distal segment within the common limb; E: Ratio of farnesoid X receptor agonist and antagnist within the common limb; F: Peripheral serum ceramides; G: Portal serum ceramides. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. FXR: Farnesoid X receptor; SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; αMCA: α-muricholic acid; UDCA: Ursodeoxycholic acid; LCA: Lithocholic acid; HDCA: Hyocholic acid; TLCA: Taurine-conjugated lithocholic acid. In the proximal segment (Figure 2B), CA accounted for over 20% of the total luminal bile acids in all three groups, and was significantly greater with SHAM group than DJB and DJB + CDCA groups (P < 0.05). The percentages of α-muricholic acid (αMCA), βMCA, deoxycholic acid, CDCA, lithocholic acid (LCA), hyocholic acid (HDCA), and taurine-conjugated LCA (TLCA) were comparable between all three groups. The percentage of UDCA was less with DJB + CDCA group compared to SHAM and DJB groups (P < 0.05). The percentages of taurine-conjugated forms of αMCA, βMCA, CA, DCA, CDCA and UDCA were all greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). The percentage of TCDCA was greater with DJB + CDCA group than DJB group (P < 0.05). In the medium segment (Figure 2C), the difference in TαMCA and TDCA between three groups was no longer significant compared to the proximal segment. The percentage of TβMCA increased to more than 5% in DJB and DJB + CDCA groups which was significantly greater than SHAM group (P < 0.05). The percentage of TCDCA was comparable between SHAM and DJB groups, which was significantly less than DJB + CDCA group (P < 0.05). In the distal segment (Figure 2D), the percentage of TβMCA, TCA and TUDCA was significantly greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05), without any difference between the former two groups. The percentage of CA was significantly less with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). There was no difference in the percentage of UDCA between three groups. The percentage of other individual bile acids was comparable to that in the medium segment. The ratio of FXR agonists (including CA, TCA, DCA, TDCA, CDCA, TCDCA, LCA, and TLCA) and antagonists (including αMCA, TαMCA, βMCA, TβMCA, UDCA, TUDCA and HDCA) in DJB and DJB + CDCA groups was decreased compared to SHAM group in either proximal, medium or distal segment (P < 0.05). No difference was observed between DJB group and DJB + CDCA group (Figure 2E). Ceramides At week 12, in the peripheral circulation, serum C16:0 ceramide concentrations were lower with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05); no difference in C18:0, C24:0 or C24:1 ceramides between three groups (Figure 2F). In the portal vein, serum C16:0, C24:0 and C24:1 ceramide concentrations were lower with DJB group compared to SHAM group (P < 0.05); there was no difference in either ceramide species between DJB and DJB + CDCA groups or between DJB + CDCA and SHAM groups (Figure 2G). At week 12, in the peripheral circulation, serum C16:0 ceramide concentrations were lower with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05); no difference in C18:0, C24:0 or C24:1 ceramides between three groups (Figure 2F). In the portal vein, serum C16:0, C24:0 and C24:1 ceramide concentrations were lower with DJB group compared to SHAM group (P < 0.05); there was no difference in either ceramide species between DJB and DJB + CDCA groups or between DJB + CDCA and SHAM groups (Figure 2G). Expression of Smpd3 and Sptlc2 At week 12, the expression of Smpd3 and Sptlc2 were lower with DJB and DJB + CDCA groups than SHAM group at both protein and mRNA levels (P < 0.05). Compared to DJB + CDCA group, the expression of Smpd3 and Sptlc2 with DJB group were even lower at both protein and mRNA levels (P < 0.05) (Figures 3A, 3B and 3C). Expression of ceramide synthesis-related enzyme sphingomyelin phosphodiesterase 3 and serine palmitoyltransferase long chain base subunit 2 at protein and mRNA levels. A: Expression of sphingomyelin phosphodiesterase 3 (Smpd3), serine palmitoyltransferase long chain base subunit 2 (Sptlc2) and GAPDH; B: Expression of Smpd3, Sptlc2 at protein; C: Expression of Smpd3, Sptlc2 mRNA levels. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; Smpd3: Sphingomyelin phosphodiesterase 3; Sptlc2: Serine palmitoyltransferase long chain base subunit 2. At week 12, the expression of Smpd3 and Sptlc2 were lower with DJB and DJB + CDCA groups than SHAM group at both protein and mRNA levels (P < 0.05). Compared to DJB + CDCA group, the expression of Smpd3 and Sptlc2 with DJB group were even lower at both protein and mRNA levels (P < 0.05) (Figures 3A, 3B and 3C). Expression of ceramide synthesis-related enzyme sphingomyelin phosphodiesterase 3 and serine palmitoyltransferase long chain base subunit 2 at protein and mRNA levels. A: Expression of sphingomyelin phosphodiesterase 3 (Smpd3), serine palmitoyltransferase long chain base subunit 2 (Sptlc2) and GAPDH; B: Expression of Smpd3, Sptlc2 at protein; C: Expression of Smpd3, Sptlc2 mRNA levels. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; Smpd3: Sphingomyelin phosphodiesterase 3; Sptlc2: Serine palmitoyltransferase long chain base subunit 2. Body weight and energy intake: At baseline, both body weight and energy intake were comparable between three groups. After surgery, both body weight and energy intake decreased sharply in all three groups and increased gradually thereafter. At week 2-5 postoperatively, body weight of the rats in DJB and DJB + CDCA groups was significantly less than that in SHAM group (P < 0.05 all). At week 7-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in DJB group (P < 0.05 all) (Figure 1A). At week 9-12 postoperatively, body weight of the rats in DJB + CDCA group was significantly less than that in SHAM group (P < 0.05 all). At week 9-12 postoperatively, energy intake of the rats in DJB + CDCA group was significantly less than that in SHAM and DJB groups (P < 0.05 all) (Figure 1B). Body weight and energy intake from baseline to week 12 after operations as well as oral glucose tolerance test and the corresponding areas under the curves at baseline, week 4 and week 12 after operations. A: Body weight; B: Energy intake; C: Area under the curve of oral glucose tolerance test; D: Oral glucose tolerance test at baseline; E: Oral glucose tolerance test at week 4; F: Oral glucose tolerance test at week 12. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid. OGTT: There was no difference in glucose tolerance between three groups at baseline based on AUCOGTT. At week 4 and 12, glucose tolerance was significantly improved with DJB and DJB + CDCA groups compared to SHAM group based on AUCOGTT (P < 0.05 each). There was no difference between DJB and DJB + CDCA groups, or between week 4 and week 12 within each group (Figures 1C-F). Luminal bile acids: Total luminal bile acid concentrations were significantly less with SHAM group compared to both DJB and DJB + CDCA groups in either proximal, medium or distal segment in the common limb (P < 0.05 all). In the distal segment, luminal total bile acid concentrations were significantly greater with DJB + CDCA group than DJB group (P < 0.05), while this difference was not significant in the proximal or medium segment (Figure 2A). Luminal total and individual bile acid concentrations and ceramide concentrations within the peripheral and portal circulations. A: Total amount of luminal bile acids; B: Luminal individual bile acid percentage in the proximal; C: Medium segment within the common limb; D: Distal segment within the common limb; E: Ratio of farnesoid X receptor agonist and antagnist within the common limb; F: Peripheral serum ceramides; G: Portal serum ceramides. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. FXR: Farnesoid X receptor; SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; αMCA: α-muricholic acid; UDCA: Ursodeoxycholic acid; LCA: Lithocholic acid; HDCA: Hyocholic acid; TLCA: Taurine-conjugated lithocholic acid. In the proximal segment (Figure 2B), CA accounted for over 20% of the total luminal bile acids in all three groups, and was significantly greater with SHAM group than DJB and DJB + CDCA groups (P < 0.05). The percentages of α-muricholic acid (αMCA), βMCA, deoxycholic acid, CDCA, lithocholic acid (LCA), hyocholic acid (HDCA), and taurine-conjugated LCA (TLCA) were comparable between all three groups. The percentage of UDCA was less with DJB + CDCA group compared to SHAM and DJB groups (P < 0.05). The percentages of taurine-conjugated forms of αMCA, βMCA, CA, DCA, CDCA and UDCA were all greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). The percentage of TCDCA was greater with DJB + CDCA group than DJB group (P < 0.05). In the medium segment (Figure 2C), the difference in TαMCA and TDCA between three groups was no longer significant compared to the proximal segment. The percentage of TβMCA increased to more than 5% in DJB and DJB + CDCA groups which was significantly greater than SHAM group (P < 0.05). The percentage of TCDCA was comparable between SHAM and DJB groups, which was significantly less than DJB + CDCA group (P < 0.05). In the distal segment (Figure 2D), the percentage of TβMCA, TCA and TUDCA was significantly greater with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05), without any difference between the former two groups. The percentage of CA was significantly less with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05). There was no difference in the percentage of UDCA between three groups. The percentage of other individual bile acids was comparable to that in the medium segment. The ratio of FXR agonists (including CA, TCA, DCA, TDCA, CDCA, TCDCA, LCA, and TLCA) and antagonists (including αMCA, TαMCA, βMCA, TβMCA, UDCA, TUDCA and HDCA) in DJB and DJB + CDCA groups was decreased compared to SHAM group in either proximal, medium or distal segment (P < 0.05). No difference was observed between DJB group and DJB + CDCA group (Figure 2E). Ceramides: At week 12, in the peripheral circulation, serum C16:0 ceramide concentrations were lower with DJB and DJB + CDCA groups compared to SHAM group (P < 0.05); no difference in C18:0, C24:0 or C24:1 ceramides between three groups (Figure 2F). In the portal vein, serum C16:0, C24:0 and C24:1 ceramide concentrations were lower with DJB group compared to SHAM group (P < 0.05); there was no difference in either ceramide species between DJB and DJB + CDCA groups or between DJB + CDCA and SHAM groups (Figure 2G). Expression of Smpd3 and Sptlc2: At week 12, the expression of Smpd3 and Sptlc2 were lower with DJB and DJB + CDCA groups than SHAM group at both protein and mRNA levels (P < 0.05). Compared to DJB + CDCA group, the expression of Smpd3 and Sptlc2 with DJB group were even lower at both protein and mRNA levels (P < 0.05) (Figures 3A, 3B and 3C). Expression of ceramide synthesis-related enzyme sphingomyelin phosphodiesterase 3 and serine palmitoyltransferase long chain base subunit 2 at protein and mRNA levels. A: Expression of sphingomyelin phosphodiesterase 3 (Smpd3), serine palmitoyltransferase long chain base subunit 2 (Sptlc2) and GAPDH; B: Expression of Smpd3, Sptlc2 at protein; C: Expression of Smpd3, Sptlc2 mRNA levels. aP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass + chenodeoxycholic acid; bP < 0.05, salicylhydroxamic acid vs duodenal-jejunal bypass; cP < 0.05, duodenal-jejunal bypass vs duodenal-jejunal bypass + chenodeoxycholic acid. SHAM: Salicylhydroxamic acid; DJB: Duodenal-jejunal bypass; CDCA: Chenodeoxycholic acid; Smpd3: Sphingomyelin phosphodiesterase 3; Sptlc2: Serine palmitoyltransferase long chain base subunit 2. DISCUSSION: In the present study, we performed SHAM, DJB and DJB + CDCA procedures in a HFD/STZ induced diabetic rat model, and for the first time, demonstrated the changes of luminal individual bile acids in the distal small intestine. We also found that the subsequent changes of the bile acids within the distal common limb after DJB elicited inhibitory effect on regional ceramide synthesis and this phenomenon could be partially antagonized by luminal supplementation of FXR activating bile acid CDCA. DJB was initially designed to investigate the weight loss independent mechanisms of bariatric surgery[3]. This procedure has no effect on weight loss but could induce fast and sustainable amelioration of type 2 diabetes[4]. Consistent with other bariatric procedures[15,16], serum bile acid concentrations were also increased following DJB, and this phenomenon is clearly related to reconstruction of the gastrointestinal tract[5]. Via the biliopancreatic limb, bile acids contact the distal small intestine, where luminal bile acid reabsorption mainly occurs, more rapidly and lead to early and increased reabsorption of luminal bile acids in the small intestine. A recent study has proved that in the biliopancreatic limb, increased reabsorption of luminal bile acids has already commenced as a result of highly concentrated bile acids as well as lack of lipids[17]. While in the alimentary limb, only trace amount of luminal bile acids could be detected[4]. Decreased luminal bile acids lead to marked luminal sodium insufficiency, and hence, intestinal uptake of glucose in the alimentary limb is significantly decreased[18], which represents another mechanism in controlling postprandial glucose excursion. The common limb is where food and bile mix up and the major place for intestinal FXR expression. Therefore, we concentrated on bile acid milieu within the common limb rather than the biliopancreatic or alimentary limb because the common limb is the place mostly close to physiological conditions. To our knowledge, the present study is the first study reporting luminal bile acid changes after DJB. Most clinical and animal studies concentrated on serum or fecal bile acids, as the intestinal lumen is deep inside and in vivo study of luminal contents, particularly in the small intestine, is technically difficult and ethically challenging. Consistent with our previous findings of serum bile acid changes after DJB, the total amount of luminal bile acids and the proportion of FXR-inhibitory bile acids were both increased. These specific changes have at least two clinical relevance. First, concentrated luminal bile acids stimulate TRG5 on the surface of enteroendocrine cells and leads to potentiated GLP-1 secretion[4]; second, increased proportion of FXR-inhibitory bile acids has inhibited expression of FXR downstream pathways and reduced biosynthesis of intestinal-derived ceramides[12]. Compared to TGR5, FXR appears to be a more important and complicated receptor in metabolic regulation; in the absence of FXR, the ability of bariatric surgery to reduce body weight and improve glucose tolerance is substantially reduced while these metabolic benefits are largely preserved when TGR5 is deficient[19-20]. Whole body FXR knock-out mice were associated with elevated serum triglycerides, cholesterols, free fatty acids and severe liver fat accumulation, but were protected from diet- or genetically- induced obesity[21]. In contrast, liver-specific FXR knock-out mice were not protected from diet-induced obesity and insulin resistance[22], suggesting the distinct role of hepatic and intestinal FXR activation in improving glucose tolerance and insulin resistance. In the small intestine, the role of FXR is controversial. After bariatric surgery, increased serum fibroblast growth factor 19 (FGF19) concentrations have been thought to play a role in the remission of human diabetes[15]. And intestinal FXR activation by luminal bile acids has been thought as a major source of increased serum FGF19. However, no direct evidence was available to confirm the state of intestinal FXR activation, and other tissues may also be sources of FGF19. In contrast, more studies support that intestinal FXR activation would damage metabolic homeostasis by reducing energy expenditure and impairing glucose tolerance[12,14,23]. To investigate the direct influence of bile acids on intestinal FXR, bile diversion procedure was reported by three separate studies[4,24,25], including one from our group[4]. Surprisingly, all three studies showed activated intestinal FXR in response to direct bile acid stimulation. However, in contrast, in DJB, the effect of bile acids on intestinal FXR within the common limb was inhibitory. The discrepancy suggests the biliopancreatic limb may have altered the luminal bile acid composition by premature bile acid reabsorption. Consistent with our hypothesis, both ceramides in the portal vein and in the peripheral circulation were decreased in response to increased proportion of luminal FXR-inhibitory bile acids. Ceramides are signaling molecules and are associated with obesity and insulin resistance at high concentrations[26]. Decreased ceramides inhibits the expression of SREBP-1 in the liver and alleviates hepatic fat accumulation, thus increasing hepatic insulin sensitivity[12]. Our previous study found that DJB suppressed hepatic de novo lipogenesis and alleviates liver fat accumulation by inhibiting SREBP-1. However, the mechanisms underlying were unknown. Based on results from the present study, we have unveiled at least one mechanism accounting for alleviated hepatic fat accumulation. Therefore, manipulation of luminal bile acid composition towards FXR-inhibitory trend may have metabolic beneficial effects. The present study has several limitations. First, bile acids are mixture with a variety of individual bile acids. As bile acids are mainly conjugated with taurine in rodents[27], we only tested luminal unconjugated and taurine-conjugated bile acids. Second, CDCA is not dissolved in water and we used CDCA suspension for gavage, which may have compromised CDCA absorption to a certain degree. Third, the results from the present study were based on a diabetic rat model and should be interpreted with caution due to species gap. CONCLUSION: In conclusion, DJB significantly changes luminal bile acid composition with increased proportion of FXR-inhibitory bile acids and reduce serum ceramide levels. There observations suggest a novel mechanism of bile acids in metabolic regulation after DJB.
Background: Bile acids play an important role in the amelioration of type 2 diabetes following duodenal-jejunal bypass (DJB). Serum bile acids are elevated postoperatively. However, the clinical relevance is not known. Bile acids in the peripheral circulation reflect the amount of bile acids in the gut. Therefore, a further investigation of luminal bile acids following DJB is of great significance. Methods: Salicylhydroxamic acid (SHAM), DJB, and DJB with oral chenodeoxycholic acid (CDCA) supplementation were performed in a high-fat-diet/streptozotocin-induced diabetic rat model. Body weight, energy intake, oral glucose tolerance test, luminal bile acids, serum ceramides and intestinal ceramide synthesis were analyzed at week 12 postoperatively. Results: Compared to SHAM, DJB achieved rapid and durable improvement in glucose tolerance and led to increased total luminal bile acid concentrations with preferentially increased proportion of farnesoid X receptor (FXR) - inhibitory bile acids within the common limb. Intestinal ceramide synthesis was repressed with decreased serum ceramides, and this phenomenon could be partially antagonized by luminal supplementation of FXR activating bile acid CDCA. Conclusions: DJB significantly changes luminal bile acid composition with increased proportion FXR-inhibitory bile acids and reduces serum ceramide levels. There observations suggest a novel mechanism of bile acids in metabolic regulation after DJB.
INTRODUCTION: Duodenal-jejunal bypass (DJB) can induce rapid and durable amelioration of type 2 diabetes mellitus[1-3]. The underlying mechanisms remain incompletely understood. Our previous research has proved that bile acids play an important role in the amelioration of type 2 diabetes following DJB[4], and found that serum taurine-conjugated bile acids are preferentially elevated postoperatively[5]. However, the clinical relevance of the specific alterations of serum bile acids is still not known. Bile acids in the peripheral circulation reflect the amount of bile acids that could not be totally reabsorbed by hepatocytes during the enterohepatic circulation[6]. Therefore, the alterations of serum bile acids might be a secondary change of the bile acids within the gut, and a further investigation of luminal bile acids following DJB is of great significance. Bile acids are traditionally known as lipid absorption-facilitating agents. It was not until recent years that the role of bile acids as signaling molecules in modulating metabolism has be unveiled. The intestinal lumina, where bile acid concentrations are high, is the main place for bile acid signaling. Two major receptors, including Takeda G-protein-coupled receptor 5 (TGR5) and nuclear farnesoid X receptor (FXR) are responsible for luminal bile acid sensing. TGR5 expression is detected in a variety of enteroendocrine cells and acute exposure of TGR5 to luminal bile acids lead to significant secretion of glucagon-like peptide 1 (GLP-1), which is a vital hormone for maintaining normal incretin effect in type 2 diabetes[7,8]. The interaction between bile acids and FXR is more complicated, as different subtypes of bile acids have distinct effect on the downstream pathway of FXR[9]. Chenodeoxycholic acid (CDCA) represents the most potent FXR stimulator while ursodeoxycholic acid (UDCA) and β-muricholic acid (βMCA) are FXR inhibitors[9-11]. Therefore, the net effect of luminal bile acids on FXR depends on the proportion of FXR-stimulating bile acids rather than the total amount of bile acids. Intestinal FXR could affect lipid metabolism and this process is closely related to ceramide synthesis. Intestine-selective FXR inhibition downregulates the expression of ceramide synthesis-related genes sphingomyelin phosphodiesterase 3 (Smpd3) and serine palmitoyltransferase long chain base subunit 2 (Sptlc2), resulting in decreased concentrations of ceramides within the small intestine, portal system and peripheral circulation[12]. Decreased ceramides inhibit the expression of sterol regulatory element binding protein-1 (SREBP-1) in the liver[12], which is a key enzyme in the process of hepatic fat accumulation. Coincidentally, the changes in lipid metabolism after intestine-selective FXR inhibition is similar to the changes following DJB that hepatic fat accumulation is alleviated and the key transcriptional regulators and enzymes involved in hepatic de novo lipogenesis are downregulated[13]. Therefore, we hypothesized that the net effect of luminal bile acids on intestinal FXR might be inhibitory after DJB which leads to decreased ceramide synthesis. To test this hypothesis, we measure the changes of individual luminal bile acid and ceramide concentrations within the enterohepatic circulation after DJB in a high-fat diet (HFD)/streptozotocin (STZ)-induced diabetic rat model. CONCLUSION: Mechanisms of bile acids in mediating metabolic benefits after bariatric surgery.
Background: Bile acids play an important role in the amelioration of type 2 diabetes following duodenal-jejunal bypass (DJB). Serum bile acids are elevated postoperatively. However, the clinical relevance is not known. Bile acids in the peripheral circulation reflect the amount of bile acids in the gut. Therefore, a further investigation of luminal bile acids following DJB is of great significance. Methods: Salicylhydroxamic acid (SHAM), DJB, and DJB with oral chenodeoxycholic acid (CDCA) supplementation were performed in a high-fat-diet/streptozotocin-induced diabetic rat model. Body weight, energy intake, oral glucose tolerance test, luminal bile acids, serum ceramides and intestinal ceramide synthesis were analyzed at week 12 postoperatively. Results: Compared to SHAM, DJB achieved rapid and durable improvement in glucose tolerance and led to increased total luminal bile acid concentrations with preferentially increased proportion of farnesoid X receptor (FXR) - inhibitory bile acids within the common limb. Intestinal ceramide synthesis was repressed with decreased serum ceramides, and this phenomenon could be partially antagonized by luminal supplementation of FXR activating bile acid CDCA. Conclusions: DJB significantly changes luminal bile acid composition with increased proportion FXR-inhibitory bile acids and reduces serum ceramide levels. There observations suggest a novel mechanism of bile acids in metabolic regulation after DJB.
9,187
253
[ 579, 254, 47, 50, 43, 121, 197, 200, 32, 62, 2921, 308, 77, 709, 106, 219, 1064, 40 ]
19
[ "djb", "acid", "cdca", "group", "bile", "05", "groups", "djb cdca", "sham", "week" ]
[ "bile acids inhibited", "bile acids metabolic", "diabetes interaction bile", "bile acids intestinal", "serum bile acids" ]
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[CONTENT] Bariatric surgery | Duodenal-jejunal bypass | Farnesoid X receptor | Ceramide | Bile acids | Liver fat accumulation [SUMMARY]
[CONTENT] Bariatric surgery | Duodenal-jejunal bypass | Farnesoid X receptor | Ceramide | Bile acids | Liver fat accumulation [SUMMARY]
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[CONTENT] Bariatric surgery | Duodenal-jejunal bypass | Farnesoid X receptor | Ceramide | Bile acids | Liver fat accumulation [SUMMARY]
[CONTENT] Bariatric surgery | Duodenal-jejunal bypass | Farnesoid X receptor | Ceramide | Bile acids | Liver fat accumulation [SUMMARY]
[CONTENT] Bariatric surgery | Duodenal-jejunal bypass | Farnesoid X receptor | Ceramide | Bile acids | Liver fat accumulation [SUMMARY]
[CONTENT] Animals | Bile Acids and Salts | Blood Glucose | Ceramides | Chenodeoxycholic Acid | Diabetes Mellitus, Type 2 | Duodenum | Glucose | Jejunum | Rats | Salicylamides | Streptozocin [SUMMARY]
[CONTENT] Animals | Bile Acids and Salts | Blood Glucose | Ceramides | Chenodeoxycholic Acid | Diabetes Mellitus, Type 2 | Duodenum | Glucose | Jejunum | Rats | Salicylamides | Streptozocin [SUMMARY]
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[CONTENT] Animals | Bile Acids and Salts | Blood Glucose | Ceramides | Chenodeoxycholic Acid | Diabetes Mellitus, Type 2 | Duodenum | Glucose | Jejunum | Rats | Salicylamides | Streptozocin [SUMMARY]
[CONTENT] Animals | Bile Acids and Salts | Blood Glucose | Ceramides | Chenodeoxycholic Acid | Diabetes Mellitus, Type 2 | Duodenum | Glucose | Jejunum | Rats | Salicylamides | Streptozocin [SUMMARY]
[CONTENT] Animals | Bile Acids and Salts | Blood Glucose | Ceramides | Chenodeoxycholic Acid | Diabetes Mellitus, Type 2 | Duodenum | Glucose | Jejunum | Rats | Salicylamides | Streptozocin [SUMMARY]
[CONTENT] bile acids inhibited | bile acids metabolic | diabetes interaction bile | bile acids intestinal | serum bile acids [SUMMARY]
[CONTENT] bile acids inhibited | bile acids metabolic | diabetes interaction bile | bile acids intestinal | serum bile acids [SUMMARY]
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[CONTENT] bile acids inhibited | bile acids metabolic | diabetes interaction bile | bile acids intestinal | serum bile acids [SUMMARY]
[CONTENT] bile acids inhibited | bile acids metabolic | diabetes interaction bile | bile acids intestinal | serum bile acids [SUMMARY]
[CONTENT] bile acids inhibited | bile acids metabolic | diabetes interaction bile | bile acids intestinal | serum bile acids [SUMMARY]
[CONTENT] djb | acid | cdca | group | bile | 05 | groups | djb cdca | sham | week [SUMMARY]
[CONTENT] djb | acid | cdca | group | bile | 05 | groups | djb cdca | sham | week [SUMMARY]
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[CONTENT] djb | acid | cdca | group | bile | 05 | groups | djb cdca | sham | week [SUMMARY]
[CONTENT] djb | acid | cdca | group | bile | 05 | groups | djb cdca | sham | week [SUMMARY]
[CONTENT] djb | acid | cdca | group | bile | 05 | groups | djb cdca | sham | week [SUMMARY]
[CONTENT] bile | acids | bile acids | fxr | effect | luminal bile | luminal | acid | lipid | metabolism [SUMMARY]
[CONTENT] united | china | states | united states | primer | blood | rna | measured | rats | 10 [SUMMARY]
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[CONTENT] bile | acids | bile acids | significantly changes luminal bile | bile acids reduce serum | bile acids reduce | observations suggest novel mechanism | observations suggest novel | observations suggest | acid composition increased proportion [SUMMARY]
[CONTENT] djb | bile | week | acid | group | cdca | groups | 05 | acids | bile acids [SUMMARY]
[CONTENT] djb | bile | week | acid | group | cdca | groups | 05 | acids | bile acids [SUMMARY]
[CONTENT] 2 | DJB ||| Serum ||| ||| ||| DJB [SUMMARY]
[CONTENT] DJB | DJB ||| week 12 [SUMMARY]
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[CONTENT] DJB | FXR ||| DJB [SUMMARY]
[CONTENT] 2 | DJB ||| Serum ||| ||| ||| DJB ||| DJB | DJB ||| week 12 ||| DJB | FXR ||| FXR | CDCA ||| DJB | FXR ||| DJB [SUMMARY]
[CONTENT] 2 | DJB ||| Serum ||| ||| ||| DJB ||| DJB | DJB ||| week 12 ||| DJB | FXR ||| FXR | CDCA ||| DJB | FXR ||| DJB [SUMMARY]
The Psychological Impact and Influencing Factors during Different Waves of COVID-19 Pandemic on Healthcare Workers in Central Taiwan.
36078259
This study aims to explore differences of psychological impact and influencing factors that affected Taiwanese healthcare workers (HCW) during the first and second wave of COVID-19.
BACKGROUND
a cross sectional survey of first-line HCW during November 2021 to February 2022: 270 paper questionnaires were issued and the valid response rate was 86% (231). For statistical analysis, descriptive statistics, Pearson correlation, and multivariate linear regression were used.
METHODS
regardless of the wave of the pandemic, nearly 70% of HCW had anxiety, nearly 60% felt depressed, half of them suffered from insomnia, and one in three felt insufficient social support, which means a high level of loneliness. With an increased number of infected patients during the second wave, HCW felt significant changes of workload and schedule, with higher concern over risk of infection, and these factors induced higher levels of anxiety, but they manifested better satisfaction over public health policies and information provided by hospitals and governments. Changes of working schedules or duties positively relate to levels of anxiety and insomnia. The risk of infection causes anxiety, depression, and insomnia. Workplace relationships significantly relate to depression and loneliness. A negative family support causes an adverse psychological impact.
RESULTS
the pandemic has a negative psychological impact on HCW. Early recognition of significant influencing factors, providing psychological support and therapy, are helpful strategies for reducing the adverse psychological effects.
CONCLUSIONS
[ "Anxiety", "COVID-19", "Cross-Sectional Studies", "Depression", "Health Personnel", "Humans", "Pandemics", "SARS-CoV-2", "Sleep Initiation and Maintenance Disorders", "Taiwan" ]
9517926
1. Introduction
The coronavirus disease (COVID-19) has spread worldwide since the end of 2019; it has been affecting millions of people, which exceeds in number and scale severe acute respiratory syndrome (SARS) and Middle East respiratory syndrome (MERS), causing a heavy burden on public health systems globally, consequently bringing impacts to healthcare workers (HCW) in an unprecedented way. Since its first imported case in January 2020, Taiwan experienced three definite waves of COVID-19 infections, different from other countries, with no new diagnosed cases between. Taiwan had a relatively lower number of confirmed cases and deceased patients in its first wave during January to May of 2020, followed by nearly 10 months of zero cases until April of 2021, when multiple chains of infection spread rapidly. It was a second wave of infection. By the end of August of 2021, there were more than 15,000 confirmed cases and over 800 deceased cases (Table 1). As most of the newly diagnosed patients were in the northern region of the country, the Taiwanese center of disease control (CDC) strategically deferred patients to medical centers and regional hospital in central and south Taiwan to unload the burden on hospitals in the northern regions. The number of new diagnosed cases dropped to a single digit by the beginning of September 2021, followed by a period of nearly no new cases until January of 2022, when the Omicron variant appeared, causing the third wave of infection. From experience of previous pandemics, these situations can cause detrimental psychological effects on HCW [1,2,3]. Taiwan’s experience with SARS in 2003 demonstrated that nearly 70% of HCW had mental health burdens [4]. In the early stage of the COVID-19 pandemic in Taiwan, a web-based survey of HCW from March to April of 2020 demonstrated that 40.3% of responders felt burnt out, with a significant level of anxiety in 78.1%, and 45.5% complained of depression [5]. It is well-known that psychological problems in HCW during a pandemic are multifactorial: some factors are intrinsic to HCW, such as, for example, gender, occupation, education level, position, seniority, [2,3,6,7], frontline HCW [8], marital status/living conditions [9], use of tobacco/alcohol [10,11], and if they ever have any chronic disease or mental disease [7]. Other factors are extrinsic to HCW, such as work loading and shift changes [1,2,12], availability of personal protection equipment (PPE) and/or medical resources [6,13], risk of infection [1,2,3], workplace relationships between leaders and co-workers [7], social pressure and stigmatization [14], family support [9], and transparency/accuracy of public health policy and information from governments and hospitals [15,16]. Most of studies conducted during the COVID-19 pandemic had focused on the detrimental psychological effects of the pandemic and its related factors on HCW. Some studies had focused on a single second wave of infection [17,18]. A study comparing two waves of infection in India reported that HCW were less affected by psychological impacts during the second wave [19], but two Italian studies comparing psychological stress in the first and second waves reported no significant differences between the two waves [20,21]. These findings leave questions such as, if in different countries, with a variety in backgrounds or influencing factors, how can the negative psychological effects and severity in HCW during different waves of the pandemic differ? In this study, we aim to investigate: 1. differences of severity of psychological impacts between the first and second waves of the pandemic in HCW in Taiwan, and 2. analysis of extrinsic factors to see how differently they manifested in both stages of the infection, and how they affected the negative psychological effects on Taiwanese HCW.
null
null
3. Results
Two hundred and seventy paper questionnaires were issued, 39 incomplete questionnaires were excluded, and the complete response rate was 85.55%. The mean age of participants was 35.85 years (SD = 9.76). The mean years of professional experience was 12.06 (SD = 8.82) and 75.8% were women (n = 175). Nearly 70% were university graduates (69.7%, n = 161). Nurses composed 55.4% (n = 128) of the total sample size. Nearly half of responders were married (50.2%, n = 116) and most of them live with family members (77.5%, n = 179). Very few responders have chronic disease, psychiatric disease, or a habit of alcohol–cigarettes use (Table 2). Levels of anxiety, depression, insomnia, and social support during the first wave and second wave of infection were analyzed. In both the first and second waves of the pandemic, more than 40% of HCW suffered from abnormal levels of anxiety, nearly 30% had abnormal levels of depression, around 15% of them suffered from moderate to severe insomnia, and one in three had low levels of social support (Table 3). A paired sample t-test to compare psychological impacts during the first and second waves of infection was performed. Compared to the first wave, anxiety is significantly more severe during the second wave of infection (M = 10.09, SD = 5.71 vs. M = 10.65, SD = 5.11, p = 0.049), without a significant difference in the levels of depression, insomnia, and social support between the first and second waves (Table 4). Once we compared both waves of infections and their differences, based on the findings of the second wave, for further analysis and understanding of the relationship between extrinsic factors and negative psychological impacts, we used Pearson correlation (Table 5). Changes of workload and schedules (r = 0.43, p < 0.001), concerns over risk of infection (r = 0.54, p < 0.001), and social pressure (r = 0.34, p < 0.001) were positively related to anxiety. Sufficiency of personal protection equipment and medical supplies (r = −0.29, p < 0.001), working place relationships (r = −0.22, p < 0.001), family support (r = −0.16, p = 0.01), and public health policy and information accuracy and transparency (r = −0.29, p < 0.001) were negatively related to anxiety. Extrinsic factors that are positively related to depression are changes of workload and schedules (r = 0.41, p < 0.001), concerns over risk of infection (r = 0.45, p < 0.001), and social pressure (r = 0.23, p < 0.001). Factors that negatively related to depression are sufficiency of personal protection equipment and medical supplies (r = −0.26, p < 0.001), working place relationships (r = −0.34, p < 0.001), family support (r = −0.27, p < 0.001), and public health policy and information accuracy and transparency (r = −0.31, p < 0.001). In relation to insomnia, changes of workload and schedules (r = 0.44, p < 0.001), concerns over risk of infection (r = 0.38, p < 0.001), and social pressure (r = 0.25, p < 0.001) were positively related to insomnia. Sufficiency of personal protection equipment and medical supplies (r = −0.29, p < 0.001), working place relationships (r = −0.28, p < 0.001), family support (r = −0.21, p = 0.001), and public health policy and information accuracy and transparency (r = −0.29, p < 0.001) were negatively related to insomnia. Extrinsic factors that positively related to social support are sufficiency of personal protection equipment and medical supplies (r = 0.28, p < 0.001), working place relationships (r = 0.39, p < 0.001), family support (r = 0.37, p < 0.001), and public health policy and information accuracy and transparency (r = 0.28, p < 0.001). Factors that negatively related to social support were changes of workload and schedules (r = −0.13, p = 0.04). Analysis using a paired sample t-test comparing the first and second waves on extrinsic factors showed changes of workload and schedules were more significant during the second wave (M = 1.18, SD = 0.70 vs. M = 1.04, SD = 0.67, p < 0.001), as well as increased concerns over risk of infection (M = 1.56, SD = 0.75 vs. M = 1.47, SD = 0.74, p < 0.05). Public health policy and information accuracy and transparency were considered as having improved during the second wave (M =1.82, SD = 0.55 vs. M = 1.77, SD = 0.52, p < 0.01) (Table 6). In multivariate correlations analysis, increases in workload and schedules (β = 0.13, p = 0.043), concerns over risk of infection (β = 0.42, p < 0.001), and lower levels of family support (β = −0.15, p = 0.006) worsen levels of anxiety. Concerns over risk of infection (β = 0.39, p < 0.001), poor working place relationships (β = −0.19, p < 0.01), and insufficient family support (β = −0.22, p < 0.001) are related to depression. Insomnia can be aggravated by changes in workload and schedules (β = 0.23, p = 0.001), more concerns over risk of infection (β = 0.22, p = 0.001), and poor family support (β = −0.16, p = 0.008). Better levels of working place relationships (β = 0.27, p < 0.001) and family support (β = 0.30, p < 0.001) and better the perception of social support indicates a lower level of loneliness (Table 7).
5. Conclusions
COVID-19 is the major and most recent pandemic that human beings have faced in the 21st century but would not be the last. By the time of redaction, many countries continue to be under the pressure of COVID-19 Omicron variants such as BA.4 and BA.5, and Taiwan is experiencing the third wave of the COVID-19 pandemic; meanwhile, monkeypox has been declared by the WHO to be a public health emergency of international concern. The challenge continues. Understanding the influencing factors that affect HCW psychologically is helpful and essential for building mental health strategies, which should be timely, flexibly, and holistically responsive to protect our HCW [1,34,36,40]. Administrative efforts to reduce workload and to adjust working schedules, providing medical resources to reduce risk of infection, and creating a supportive working environment and good family support are important measures to protect our frontline HCW.
[ "2. Materials and Methods" ]
[ "Study design and participants: a cross-sectional study was conducted in a regional teaching hospital in central Taiwan between 1 November 2021 and 28 February 2022, after two waves of infection in Taiwan. Participants were first-line HCW who actively cared and treated suspected or confirmed COVID-19 cases, including physicians, nurses, physician assistants (PA), respiratory therapists (RT), and radiological and laboratory medical technical assistants (MTA), as well as pharmacists. Staffs of emergency rooms, intensive care units, and isolation rooms where included, with professionals who are specialized in infection disease, pneumology, intensive care, and emergency medicine. Two hundred and seventy paper questionnaires were issued.\nThe contents of the questionnaire consisted of three parts: the first part includes socio-demographic parameters (age, gender, occupation, years of professional experience, marital status, living alone or not, education level, previous working experience on infection disease, history of chronic disease and psychiatric disease, and current use of alcohol or cigarettes); these were defined as intrinsic factors.\nThe second part of the questionnaire consisted of an evaluation of psychological impact. We used the Hospital Anxiety and Depression Scale (HADS) [22]; this includes eight items for anxiety and seven items for depression. Using a four-point Likert scale, the maximum score is 21, a score under 8 is considered normal, a score of 8 to 10 indicates a borderline level, and 11 to 21 indicates an abnormal level. Its Cronbach’s α coefficient was 0.91. \nFor evaluation of insomnia, we used Insomnia Severity Index (ISI) [23], which includes seven items; using a five-point Likert scale, a maximum score was 21 and the level of insomnia was defined as follows: a score of 8 to 14 indicates a subthreshold level, 15 to 21 indicates a moderate level, 22 to 28 indicates severe insomnia, and its Cronbach’s α coefficient was 0.91. To reflect the level of loneliness, we used the Oslo social support scale (OSSS–3) [24], which includes three items; using a four- to five-point Likert scale, a score of 3–8 indicates poor support, 9–11 indicates a moderate level of support, and 12–14 indicates strong social support. OSSS–3’s Cronbach’s α coefficient in this study was 0.77.\nThe third part of the questionnaire evaluates seven aspects of working conditions and potential problems, defined as extrinsic factors. We used a four-point Likert scale. These factors include: changes of workload and schedules (five items, ranging from “no” to “very frequent”), sufficiency of PPE and medical supplies (four items, ranging from “not enough” to “very complete”), concerns over the risk of infection (four items, ranging from “not worried” to “very worried”), working place relationships (four items, ranging from “none at all” to “very good”), social pressure (three items, ranging from “none at all” to “very frequent”), family support (two items, ranging from “none at all” to “very supportive”), and public health policy and information accuracy and transparency (five items, ranging from “none at all” to “very complete”). The Cronbach’s α coefficient was 0.77 to 0.92, which indicates an acceptable level of internal consistency.\nStatistical analysis: the baseline socio-demographic characteristics and psychological impacts were analyzed with descriptive statistics.\nTo compare differences of psychological impacts during the first wave and second wave of infection, we used a paired sample t-test. The Pearson correlation test was applied to extrinsic factors with the intention to analyze their relation to psychological effects; then, we compared differences of extrinsic factors during the first wave and second wave of infection with a paired sample t-test. Multiple linear regression analysis on extrinsic factors was employed to evaluate their effect on psychological impact during the most affected wave of infection.\nStatistical analysis was performed in an IBM SPSS Statistics version 26, with a two-tailed p value of <0.05 indicating significance." ]
[ null ]
[ "1. Introduction", "2. Materials and Methods", "3. Results", "4. Discussion", "5. Conclusions" ]
[ "The coronavirus disease (COVID-19) has spread worldwide since the end of 2019; it has been affecting millions of people, which exceeds in number and scale severe acute respiratory syndrome (SARS) and Middle East respiratory syndrome (MERS), causing a heavy burden on public health systems globally, consequently bringing impacts to healthcare workers (HCW) in an unprecedented way.\nSince its first imported case in January 2020, Taiwan experienced three definite waves of COVID-19 infections, different from other countries, with no new diagnosed cases between. Taiwan had a relatively lower number of confirmed cases and deceased patients in its first wave during January to May of 2020, followed by nearly 10 months of zero cases until April of 2021, when multiple chains of infection spread rapidly. It was a second wave of infection. By the end of August of 2021, there were more than 15,000 confirmed cases and over 800 deceased cases (Table 1). As most of the newly diagnosed patients were in the northern region of the country, the Taiwanese center of disease control (CDC) strategically deferred patients to medical centers and regional hospital in central and south Taiwan to unload the burden on hospitals in the northern regions. The number of new diagnosed cases dropped to a single digit by the beginning of September 2021, followed by a period of nearly no new cases until January of 2022, when the Omicron variant appeared, causing the third wave of infection.\nFrom experience of previous pandemics, these situations can cause detrimental psychological effects on HCW [1,2,3]. Taiwan’s experience with SARS in 2003 demonstrated that nearly 70% of HCW had mental health burdens [4]. In the early stage of the COVID-19 pandemic in Taiwan, a web-based survey of HCW from March to April of 2020 demonstrated that 40.3% of responders felt burnt out, with a significant level of anxiety in 78.1%, and 45.5% complained of depression [5]. \nIt is well-known that psychological problems in HCW during a pandemic are multifactorial: some factors are intrinsic to HCW, such as, for example, gender, occupation, education level, position, seniority, [2,3,6,7], frontline HCW [8], marital status/living conditions [9], use of tobacco/alcohol [10,11], and if they ever have any chronic disease or mental disease [7]. Other factors are extrinsic to HCW, such as work loading and shift changes [1,2,12], availability of personal protection equipment (PPE) and/or medical resources [6,13], risk of infection [1,2,3], workplace relationships between leaders and co-workers [7], social pressure and stigmatization [14], family support [9], and transparency/accuracy of public health policy and information from governments and hospitals [15,16]. \nMost of studies conducted during the COVID-19 pandemic had focused on the detrimental psychological effects of the pandemic and its related factors on HCW. Some studies had focused on a single second wave of infection [17,18]. A study comparing two waves of infection in India reported that HCW were less affected by psychological impacts during the second wave [19], but two Italian studies comparing psychological stress in the first and second waves reported no significant differences between the two waves [20,21]. These findings leave questions such as, if in different countries, with a variety in backgrounds or influencing factors, how can the negative psychological effects and severity in HCW during different waves of the pandemic differ?\nIn this study, we aim to investigate: 1. differences of severity of psychological impacts between the first and second waves of the pandemic in HCW in Taiwan, and 2. analysis of extrinsic factors to see how differently they manifested in both stages of the infection, and how they affected the negative psychological effects on Taiwanese HCW.", "Study design and participants: a cross-sectional study was conducted in a regional teaching hospital in central Taiwan between 1 November 2021 and 28 February 2022, after two waves of infection in Taiwan. Participants were first-line HCW who actively cared and treated suspected or confirmed COVID-19 cases, including physicians, nurses, physician assistants (PA), respiratory therapists (RT), and radiological and laboratory medical technical assistants (MTA), as well as pharmacists. Staffs of emergency rooms, intensive care units, and isolation rooms where included, with professionals who are specialized in infection disease, pneumology, intensive care, and emergency medicine. Two hundred and seventy paper questionnaires were issued.\nThe contents of the questionnaire consisted of three parts: the first part includes socio-demographic parameters (age, gender, occupation, years of professional experience, marital status, living alone or not, education level, previous working experience on infection disease, history of chronic disease and psychiatric disease, and current use of alcohol or cigarettes); these were defined as intrinsic factors.\nThe second part of the questionnaire consisted of an evaluation of psychological impact. We used the Hospital Anxiety and Depression Scale (HADS) [22]; this includes eight items for anxiety and seven items for depression. Using a four-point Likert scale, the maximum score is 21, a score under 8 is considered normal, a score of 8 to 10 indicates a borderline level, and 11 to 21 indicates an abnormal level. Its Cronbach’s α coefficient was 0.91. \nFor evaluation of insomnia, we used Insomnia Severity Index (ISI) [23], which includes seven items; using a five-point Likert scale, a maximum score was 21 and the level of insomnia was defined as follows: a score of 8 to 14 indicates a subthreshold level, 15 to 21 indicates a moderate level, 22 to 28 indicates severe insomnia, and its Cronbach’s α coefficient was 0.91. To reflect the level of loneliness, we used the Oslo social support scale (OSSS–3) [24], which includes three items; using a four- to five-point Likert scale, a score of 3–8 indicates poor support, 9–11 indicates a moderate level of support, and 12–14 indicates strong social support. OSSS–3’s Cronbach’s α coefficient in this study was 0.77.\nThe third part of the questionnaire evaluates seven aspects of working conditions and potential problems, defined as extrinsic factors. We used a four-point Likert scale. These factors include: changes of workload and schedules (five items, ranging from “no” to “very frequent”), sufficiency of PPE and medical supplies (four items, ranging from “not enough” to “very complete”), concerns over the risk of infection (four items, ranging from “not worried” to “very worried”), working place relationships (four items, ranging from “none at all” to “very good”), social pressure (three items, ranging from “none at all” to “very frequent”), family support (two items, ranging from “none at all” to “very supportive”), and public health policy and information accuracy and transparency (five items, ranging from “none at all” to “very complete”). The Cronbach’s α coefficient was 0.77 to 0.92, which indicates an acceptable level of internal consistency.\nStatistical analysis: the baseline socio-demographic characteristics and psychological impacts were analyzed with descriptive statistics.\nTo compare differences of psychological impacts during the first wave and second wave of infection, we used a paired sample t-test. The Pearson correlation test was applied to extrinsic factors with the intention to analyze their relation to psychological effects; then, we compared differences of extrinsic factors during the first wave and second wave of infection with a paired sample t-test. Multiple linear regression analysis on extrinsic factors was employed to evaluate their effect on psychological impact during the most affected wave of infection.\nStatistical analysis was performed in an IBM SPSS Statistics version 26, with a two-tailed p value of <0.05 indicating significance.", "Two hundred and seventy paper questionnaires were issued, 39 incomplete questionnaires were excluded, and the complete response rate was 85.55%. The mean age of participants was 35.85 years (SD = 9.76). The mean years of professional experience was 12.06 (SD = 8.82) and 75.8% were women (n = 175). Nearly 70% were university graduates (69.7%, n = 161). Nurses composed 55.4% (n = 128) of the total sample size. Nearly half of responders were married (50.2%, n = 116) and most of them live with family members (77.5%, n = 179). Very few responders have chronic disease, psychiatric disease, or a habit of alcohol–cigarettes use (Table 2). \nLevels of anxiety, depression, insomnia, and social support during the first wave and second wave of infection were analyzed.\nIn both the first and second waves of the pandemic, more than 40% of HCW suffered from abnormal levels of anxiety, nearly 30% had abnormal levels of depression, around 15% of them suffered from moderate to severe insomnia, and one in three had low levels of social support (Table 3). \nA paired sample t-test to compare psychological impacts during the first and second waves of infection was performed. Compared to the first wave, anxiety is significantly more severe during the second wave of infection (M = 10.09, SD = 5.71 vs. M = 10.65, SD = 5.11, p = 0.049), without a significant difference in the levels of depression, insomnia, and social support between the first and second waves (Table 4). \nOnce we compared both waves of infections and their differences, based on the findings of the second wave, for further analysis and understanding of the relationship between extrinsic factors and negative psychological impacts, we used Pearson correlation (Table 5).\nChanges of workload and schedules (r = 0.43, p < 0.001), concerns over risk of infection (r = 0.54, p < 0.001), and social pressure (r = 0.34, p < 0.001) were positively related to anxiety. Sufficiency of personal protection equipment and medical supplies (r = −0.29, p < 0.001), working place relationships (r = −0.22, p < 0.001), family support (r = −0.16, p = 0.01), and public health policy and information accuracy and transparency (r = −0.29, p < 0.001) were negatively related to anxiety. Extrinsic factors that are positively related to depression are changes of workload and schedules (r = 0.41, p < 0.001), concerns over risk of infection (r = 0.45, p < 0.001), and social pressure (r = 0.23, p < 0.001). Factors that negatively related to depression are sufficiency of personal protection equipment and medical supplies (r = −0.26, p < 0.001), working place relationships (r = −0.34, p < 0.001), family support (r = −0.27, p < 0.001), and public health policy and information accuracy and transparency (r = −0.31, p < 0.001).\nIn relation to insomnia, changes of workload and schedules (r = 0.44, p < 0.001), concerns over risk of infection (r = 0.38, p < 0.001), and social pressure (r = 0.25, p < 0.001) were positively related to insomnia. Sufficiency of personal protection equipment and medical supplies (r = −0.29, p < 0.001), working place relationships (r = −0.28, p < 0.001), family support (r = −0.21, p = 0.001), and public health policy and information accuracy and transparency (r = −0.29, p < 0.001) were negatively related to insomnia.\nExtrinsic factors that positively related to social support are sufficiency of personal protection equipment and medical supplies (r = 0.28, p < 0.001), working place relationships (r = 0.39, p < 0.001), family support (r = 0.37, p < 0.001), and public health policy and information accuracy and transparency (r = 0.28, p < 0.001). Factors that negatively related to social support were changes of workload and schedules (r = −0.13, p = 0.04).\nAnalysis using a paired sample t-test comparing the first and second waves on extrinsic factors showed changes of workload and schedules were more significant during the second wave (M = 1.18, SD = 0.70 vs. M = 1.04, SD = 0.67, p < 0.001), as well as increased concerns over risk of infection (M = 1.56, SD = 0.75 vs. M = 1.47, SD = 0.74, p < 0.05). Public health policy and information accuracy and transparency were considered as having improved during the second wave (M =1.82, SD = 0.55 vs. M = 1.77, SD = 0.52, p < 0.01) (Table 6).\nIn multivariate correlations analysis, increases in workload and schedules (β = 0.13, p = 0.043), concerns over risk of infection (β = 0.42, p < 0.001), and lower levels of family support (β = −0.15, p = 0.006) worsen\nlevels of anxiety. Concerns over risk of infection (β = 0.39, p < 0.001), poor working place relationships (β = −0.19, p < 0.01), and insufficient family support (β = −0.22, p < 0.001) are related to depression.\nInsomnia can be aggravated by changes in workload and schedules (β = 0.23, p = 0.001), more concerns over risk of infection (β = 0.22, p = 0.001), and poor family support (β = −0.16, p = 0.008). Better levels of working place relationships (β = 0.27, p < 0.001) and family support (β = 0.30, p < 0.001) and better the perception of social support indicates a lower level of loneliness (Table 7).", "Our study had demonstrated that the COVID-19 pandemic causes negative psychological impacts on HCW regardless of the stages/waves of the infection or the severity of the pandemic. Despite the low number of confirmed cases during the first wave of the COVID-19 pandemic in Taiwan, more than 40% of our first-line HCW had abnormal levels of anxiety, nearly 30% had abnormal levels of depression, approximately 15% had moderate to severe insomnia, and more than 30% felt loneliness. During the second wave, even though the country had nearly 10 months of zero cases, enough time on either the institutional level or personal level to prepare for the possibility of a larger-scale second hit, which had occurred during April–August of 2021, a significant higher level of anxiety was observed in HCW during this period, compared to the first wave. The levels of depression, insomnia, and loneliness, reflected by social support, remained similar in both waves.\nBased on Pearson correlation analysis, all seven extrinsic factors investigated in this study, either positively or negatively, had influenced a negative psychological impact on HCW included in this study, with some of them being much more significant. \nIncreased changes of workload and schedules had a significant adverse psychological effect, particularly increasing levels of anxiety and insomnia during the second wave of infection in Taiwan, while the pandemic became exacerbated. The work burden, psychological distress, and insomnia during COVID-19 are interrelated and multifactorial [25]. A study conducted by Boudreau et al. proved that shift work causes sleep disorders that consequently negatively disturb the moods of HCW [26]. More frequent is the shift of work schedule, especially alternating day–night shifts, when more occurrence of shift work sleep disorder (SWSD) is observed, contributing to the severity of anxiety and depression [27]. A study based on a university hospital in Portugal in 2020 during the COVID-19 pandemic proved that working overtime is one of the main factors causing anxiety, depression, and psychological stress; more overtime, the worse the negative psychological impact [12]. Work burden as a stress factor should be addressed, as increased workload and schedule shift worsens the severity of anxiety, altering sleeping pattern, in combination, they could induce abnormal hypothalamo–pituitary–adrenal secretory activity with subsequent deterioration of sleep disturbances [28], which further weakens the immune system, increasing even more the risk of infection [29].\nWith a rapid increase in the numbers of infected patients, our frontline HCW were more concerned with being infected, or being the source of infection of coworkers and family members, and these concerns significantly affected the anxiety, depression, and insomnia of HCW in this study. The anxiety over the risk of infection for HCW is not only related to increases in the numbers of infected patients, but also because the excess of workload/schedule shift altering sleeping patterns may contribute to an altered immune system, as mentioned before. As a consequence, during the second wave, the number of infected HCW was in fact increased. This is a real threat to our HCW [30]. Studies showed that this is one of main stress factors to HCW during previous major pandemics [1,31]. From the experience of SARS in 2003, study of the post-pandemic stage proved that working in a high-risk environment and direct contact with infected patients, with fear of being a source of infection to family, caused a very high level of psychological stress that persisted even after the SARS pandemic had waned [32]. Observations from studies of the early stage of the COVID-19 pandemic found that worries over the risk of infection on HCW themselves, and, more, to colleagues or family members, significantly exacerbates the levels of anxiety and depression of frontline HCW [7,33].\nAs HCW face an immense increase in duties during pandemics, well-functioning teamwork is essential, workplace relationships play an important role as an influencing factor on the psychological impacts of HCW. Our study showed that the better the workplace relationships, the better the sense of social support, and the lower the level of depression. A study in Germany showed that a lack of trust between co-workers of a medical team is a risk factor for anxiety and depression. Confidence and support from the leadership is essential, encouraging team members to manifest their needs and challenges, listen to their opinions and advice, and provide mutual support to find solutions together, and are very helpful strategies to decrease the psychological impacts of HCW [34,35].\nIn our study, more than 70% of our HCW felt that the public demands too much from them, showing certain levels of discrimination or disrespect. Despite that social pressure seems to correlate positively to anxiety, depression, and insomnia in our study, statistically it did not show significant negative psychological impact on HCW. Possible explanations for this result are good family support and adequate working place relationships: more than 70% of our HCW responded as having sufficient support from their family, and nearly 80% responded as having adequate working place relationships with their co-workers and leaders. Several studies concluded that satisfaction over family support and working place relationships helps in ameliorating negative psychological effects from social pressure [34,36,37]. \nFamily support is one of the essential factors for the resilience of HCW during a pandemic. Our study proved that the less the family support, the worse the level of anxiety, depression, and insomnia, and the better the family support, the better the sense of social support, which means fewer feelings of loneliness. Chen et al., in their study of Taiwanese HCW during SARS, proved that good family support helped in reducing the psychological stress and improving resilience during their fight against the pandemic [38]. A study from Korea concluded that one of the main factors related to psychological fatigue in HCW during MERS is a lack of family support [39]. Our study also showed that the better the family members understand the job of HCW, the better they felt supported; this finding is compatible to other studies [34,36].\nSufficiency of PPE and medical supplies and public health policy/information accuracy and transparency are two factors that did not affect HCW in our study.\nAfter a temporary shortage of PPE and medical supplies during the first wave, the Taiwanese government had responded efficiently by providing medical resources to hospitals in charge, so more than half of our HCW considered that the government and hospital had provided enough PPE and medical supplies. Sampaio et al., in their study, concluded that sufficient provision of PPE and medical supplies and securing their quality significantly reduces anxiety, depression, and stress in frontline HCW [12]. \nIn this study, our HCW responded with a high level of satisfaction about public health policy and information accuracy and transparency, as more than 70% of them responded “complete” or “very complete” on this issue. It is crucial to provide transparent and concrete information and policies [1]. A better informed and trained HCW is more confident in their duties, and consequently has less stress. The Taiwanese CDC has held press conferences daily since the very beginning of the pandemic, providing information and guidelines and announcing policies; this is very helpful to avoid misinformation and fake news, and avoid chaos and panic, which coincides with the findings of previous studies [16]. A study from China concluded that uncertainties in public health policies and guidelines reduces work efficiency and causes psychological stress for HCW [15]. Japanese studies also suggested that transparency of information from the government and hospitals in combination with adequate on-the-job training significantly reduces the anxiety and stress of HCW during a pandemic [6,13].\nThis study had some limitations: first, this study was based in a single regional healthcare system in central Taiwan, so a study of a larger scale on the cross-regional or national level would help to further understand HCW’s psychological impact in Taiwan. Despite of this limitation, this study can provide information, references, and guidance for future studies. Second, as we could never predict how the pandemic would develop in the country, a 10-month interval between the first wave and second wave was not expected. The intention of comparing the psychological impacts on HCW in two different waves surged after the second wave had been waning, so the study was designed as a cross-sectional study, conducted in the time that the second wave had ended. To reduce recall bias, a longitudinal study, which would reflect the psychological impact in real time, could be considered for future studies. \nIn summary, during the COVID-19 pandemic in Taiwan, HCW were significantly affected by negative psychological impacts such as anxiety, depression, insomnia, and loneliness, regardless of the wave of infection. A significant higher level of anxiety was observed during the second wave of COVID-19 in Taiwan, when the number of infected patients had surged rapidly and, consequently, the workload increased and changes of working schedules varied significantly. HCW became more concerned over being infected or being a source of infection during the second wave. By the same period, HCW demonstrated more confidence and satisfaction in public health policy and information accuracy and transparency than during the first wave. Increased changes in workload and working schedules, concerns over the risk of infection, workplace relationships, and family support were significant influencing factors on the negative psychological impacts.", "COVID-19 is the major and most recent pandemic that human beings have faced in the 21st century but would not be the last. By the time of redaction, many countries continue to be under the pressure of COVID-19 Omicron variants such as BA.4 and BA.5, and Taiwan is experiencing the third wave of the COVID-19 pandemic; meanwhile, monkeypox has been declared by the WHO to be a public health emergency of international concern.\nThe challenge continues. Understanding the influencing factors that affect HCW psychologically is helpful and essential for building mental health strategies, which should be timely, flexibly, and holistically responsive to protect our HCW [1,34,36,40]. Administrative efforts to reduce workload and to adjust working schedules, providing medical resources to reduce risk of infection, and creating a supportive working environment and good family support are important measures to protect our frontline HCW. " ]
[ "intro", null, "results", "discussion", "conclusions" ]
[ "COVID-19", "healthcare workers", "psychological impact" ]
1. Introduction: The coronavirus disease (COVID-19) has spread worldwide since the end of 2019; it has been affecting millions of people, which exceeds in number and scale severe acute respiratory syndrome (SARS) and Middle East respiratory syndrome (MERS), causing a heavy burden on public health systems globally, consequently bringing impacts to healthcare workers (HCW) in an unprecedented way. Since its first imported case in January 2020, Taiwan experienced three definite waves of COVID-19 infections, different from other countries, with no new diagnosed cases between. Taiwan had a relatively lower number of confirmed cases and deceased patients in its first wave during January to May of 2020, followed by nearly 10 months of zero cases until April of 2021, when multiple chains of infection spread rapidly. It was a second wave of infection. By the end of August of 2021, there were more than 15,000 confirmed cases and over 800 deceased cases (Table 1). As most of the newly diagnosed patients were in the northern region of the country, the Taiwanese center of disease control (CDC) strategically deferred patients to medical centers and regional hospital in central and south Taiwan to unload the burden on hospitals in the northern regions. The number of new diagnosed cases dropped to a single digit by the beginning of September 2021, followed by a period of nearly no new cases until January of 2022, when the Omicron variant appeared, causing the third wave of infection. From experience of previous pandemics, these situations can cause detrimental psychological effects on HCW [1,2,3]. Taiwan’s experience with SARS in 2003 demonstrated that nearly 70% of HCW had mental health burdens [4]. In the early stage of the COVID-19 pandemic in Taiwan, a web-based survey of HCW from March to April of 2020 demonstrated that 40.3% of responders felt burnt out, with a significant level of anxiety in 78.1%, and 45.5% complained of depression [5]. It is well-known that psychological problems in HCW during a pandemic are multifactorial: some factors are intrinsic to HCW, such as, for example, gender, occupation, education level, position, seniority, [2,3,6,7], frontline HCW [8], marital status/living conditions [9], use of tobacco/alcohol [10,11], and if they ever have any chronic disease or mental disease [7]. Other factors are extrinsic to HCW, such as work loading and shift changes [1,2,12], availability of personal protection equipment (PPE) and/or medical resources [6,13], risk of infection [1,2,3], workplace relationships between leaders and co-workers [7], social pressure and stigmatization [14], family support [9], and transparency/accuracy of public health policy and information from governments and hospitals [15,16]. Most of studies conducted during the COVID-19 pandemic had focused on the detrimental psychological effects of the pandemic and its related factors on HCW. Some studies had focused on a single second wave of infection [17,18]. A study comparing two waves of infection in India reported that HCW were less affected by psychological impacts during the second wave [19], but two Italian studies comparing psychological stress in the first and second waves reported no significant differences between the two waves [20,21]. These findings leave questions such as, if in different countries, with a variety in backgrounds or influencing factors, how can the negative psychological effects and severity in HCW during different waves of the pandemic differ? In this study, we aim to investigate: 1. differences of severity of psychological impacts between the first and second waves of the pandemic in HCW in Taiwan, and 2. analysis of extrinsic factors to see how differently they manifested in both stages of the infection, and how they affected the negative psychological effects on Taiwanese HCW. 2. Materials and Methods: Study design and participants: a cross-sectional study was conducted in a regional teaching hospital in central Taiwan between 1 November 2021 and 28 February 2022, after two waves of infection in Taiwan. Participants were first-line HCW who actively cared and treated suspected or confirmed COVID-19 cases, including physicians, nurses, physician assistants (PA), respiratory therapists (RT), and radiological and laboratory medical technical assistants (MTA), as well as pharmacists. Staffs of emergency rooms, intensive care units, and isolation rooms where included, with professionals who are specialized in infection disease, pneumology, intensive care, and emergency medicine. Two hundred and seventy paper questionnaires were issued. The contents of the questionnaire consisted of three parts: the first part includes socio-demographic parameters (age, gender, occupation, years of professional experience, marital status, living alone or not, education level, previous working experience on infection disease, history of chronic disease and psychiatric disease, and current use of alcohol or cigarettes); these were defined as intrinsic factors. The second part of the questionnaire consisted of an evaluation of psychological impact. We used the Hospital Anxiety and Depression Scale (HADS) [22]; this includes eight items for anxiety and seven items for depression. Using a four-point Likert scale, the maximum score is 21, a score under 8 is considered normal, a score of 8 to 10 indicates a borderline level, and 11 to 21 indicates an abnormal level. Its Cronbach’s α coefficient was 0.91. For evaluation of insomnia, we used Insomnia Severity Index (ISI) [23], which includes seven items; using a five-point Likert scale, a maximum score was 21 and the level of insomnia was defined as follows: a score of 8 to 14 indicates a subthreshold level, 15 to 21 indicates a moderate level, 22 to 28 indicates severe insomnia, and its Cronbach’s α coefficient was 0.91. To reflect the level of loneliness, we used the Oslo social support scale (OSSS–3) [24], which includes three items; using a four- to five-point Likert scale, a score of 3–8 indicates poor support, 9–11 indicates a moderate level of support, and 12–14 indicates strong social support. OSSS–3’s Cronbach’s α coefficient in this study was 0.77. The third part of the questionnaire evaluates seven aspects of working conditions and potential problems, defined as extrinsic factors. We used a four-point Likert scale. These factors include: changes of workload and schedules (five items, ranging from “no” to “very frequent”), sufficiency of PPE and medical supplies (four items, ranging from “not enough” to “very complete”), concerns over the risk of infection (four items, ranging from “not worried” to “very worried”), working place relationships (four items, ranging from “none at all” to “very good”), social pressure (three items, ranging from “none at all” to “very frequent”), family support (two items, ranging from “none at all” to “very supportive”), and public health policy and information accuracy and transparency (five items, ranging from “none at all” to “very complete”). The Cronbach’s α coefficient was 0.77 to 0.92, which indicates an acceptable level of internal consistency. Statistical analysis: the baseline socio-demographic characteristics and psychological impacts were analyzed with descriptive statistics. To compare differences of psychological impacts during the first wave and second wave of infection, we used a paired sample t-test. The Pearson correlation test was applied to extrinsic factors with the intention to analyze their relation to psychological effects; then, we compared differences of extrinsic factors during the first wave and second wave of infection with a paired sample t-test. Multiple linear regression analysis on extrinsic factors was employed to evaluate their effect on psychological impact during the most affected wave of infection. Statistical analysis was performed in an IBM SPSS Statistics version 26, with a two-tailed p value of <0.05 indicating significance. 3. Results: Two hundred and seventy paper questionnaires were issued, 39 incomplete questionnaires were excluded, and the complete response rate was 85.55%. The mean age of participants was 35.85 years (SD = 9.76). The mean years of professional experience was 12.06 (SD = 8.82) and 75.8% were women (n = 175). Nearly 70% were university graduates (69.7%, n = 161). Nurses composed 55.4% (n = 128) of the total sample size. Nearly half of responders were married (50.2%, n = 116) and most of them live with family members (77.5%, n = 179). Very few responders have chronic disease, psychiatric disease, or a habit of alcohol–cigarettes use (Table 2). Levels of anxiety, depression, insomnia, and social support during the first wave and second wave of infection were analyzed. In both the first and second waves of the pandemic, more than 40% of HCW suffered from abnormal levels of anxiety, nearly 30% had abnormal levels of depression, around 15% of them suffered from moderate to severe insomnia, and one in three had low levels of social support (Table 3). A paired sample t-test to compare psychological impacts during the first and second waves of infection was performed. Compared to the first wave, anxiety is significantly more severe during the second wave of infection (M = 10.09, SD = 5.71 vs. M = 10.65, SD = 5.11, p = 0.049), without a significant difference in the levels of depression, insomnia, and social support between the first and second waves (Table 4). Once we compared both waves of infections and their differences, based on the findings of the second wave, for further analysis and understanding of the relationship between extrinsic factors and negative psychological impacts, we used Pearson correlation (Table 5). Changes of workload and schedules (r = 0.43, p < 0.001), concerns over risk of infection (r = 0.54, p < 0.001), and social pressure (r = 0.34, p < 0.001) were positively related to anxiety. Sufficiency of personal protection equipment and medical supplies (r = −0.29, p < 0.001), working place relationships (r = −0.22, p < 0.001), family support (r = −0.16, p = 0.01), and public health policy and information accuracy and transparency (r = −0.29, p < 0.001) were negatively related to anxiety. Extrinsic factors that are positively related to depression are changes of workload and schedules (r = 0.41, p < 0.001), concerns over risk of infection (r = 0.45, p < 0.001), and social pressure (r = 0.23, p < 0.001). Factors that negatively related to depression are sufficiency of personal protection equipment and medical supplies (r = −0.26, p < 0.001), working place relationships (r = −0.34, p < 0.001), family support (r = −0.27, p < 0.001), and public health policy and information accuracy and transparency (r = −0.31, p < 0.001). In relation to insomnia, changes of workload and schedules (r = 0.44, p < 0.001), concerns over risk of infection (r = 0.38, p < 0.001), and social pressure (r = 0.25, p < 0.001) were positively related to insomnia. Sufficiency of personal protection equipment and medical supplies (r = −0.29, p < 0.001), working place relationships (r = −0.28, p < 0.001), family support (r = −0.21, p = 0.001), and public health policy and information accuracy and transparency (r = −0.29, p < 0.001) were negatively related to insomnia. Extrinsic factors that positively related to social support are sufficiency of personal protection equipment and medical supplies (r = 0.28, p < 0.001), working place relationships (r = 0.39, p < 0.001), family support (r = 0.37, p < 0.001), and public health policy and information accuracy and transparency (r = 0.28, p < 0.001). Factors that negatively related to social support were changes of workload and schedules (r = −0.13, p = 0.04). Analysis using a paired sample t-test comparing the first and second waves on extrinsic factors showed changes of workload and schedules were more significant during the second wave (M = 1.18, SD = 0.70 vs. M = 1.04, SD = 0.67, p < 0.001), as well as increased concerns over risk of infection (M = 1.56, SD = 0.75 vs. M = 1.47, SD = 0.74, p < 0.05). Public health policy and information accuracy and transparency were considered as having improved during the second wave (M =1.82, SD = 0.55 vs. M = 1.77, SD = 0.52, p < 0.01) (Table 6). In multivariate correlations analysis, increases in workload and schedules (β = 0.13, p = 0.043), concerns over risk of infection (β = 0.42, p < 0.001), and lower levels of family support (β = −0.15, p = 0.006) worsen levels of anxiety. Concerns over risk of infection (β = 0.39, p < 0.001), poor working place relationships (β = −0.19, p < 0.01), and insufficient family support (β = −0.22, p < 0.001) are related to depression. Insomnia can be aggravated by changes in workload and schedules (β = 0.23, p = 0.001), more concerns over risk of infection (β = 0.22, p = 0.001), and poor family support (β = −0.16, p = 0.008). Better levels of working place relationships (β = 0.27, p < 0.001) and family support (β = 0.30, p < 0.001) and better the perception of social support indicates a lower level of loneliness (Table 7). 4. Discussion: Our study had demonstrated that the COVID-19 pandemic causes negative psychological impacts on HCW regardless of the stages/waves of the infection or the severity of the pandemic. Despite the low number of confirmed cases during the first wave of the COVID-19 pandemic in Taiwan, more than 40% of our first-line HCW had abnormal levels of anxiety, nearly 30% had abnormal levels of depression, approximately 15% had moderate to severe insomnia, and more than 30% felt loneliness. During the second wave, even though the country had nearly 10 months of zero cases, enough time on either the institutional level or personal level to prepare for the possibility of a larger-scale second hit, which had occurred during April–August of 2021, a significant higher level of anxiety was observed in HCW during this period, compared to the first wave. The levels of depression, insomnia, and loneliness, reflected by social support, remained similar in both waves. Based on Pearson correlation analysis, all seven extrinsic factors investigated in this study, either positively or negatively, had influenced a negative psychological impact on HCW included in this study, with some of them being much more significant. Increased changes of workload and schedules had a significant adverse psychological effect, particularly increasing levels of anxiety and insomnia during the second wave of infection in Taiwan, while the pandemic became exacerbated. The work burden, psychological distress, and insomnia during COVID-19 are interrelated and multifactorial [25]. A study conducted by Boudreau et al. proved that shift work causes sleep disorders that consequently negatively disturb the moods of HCW [26]. More frequent is the shift of work schedule, especially alternating day–night shifts, when more occurrence of shift work sleep disorder (SWSD) is observed, contributing to the severity of anxiety and depression [27]. A study based on a university hospital in Portugal in 2020 during the COVID-19 pandemic proved that working overtime is one of the main factors causing anxiety, depression, and psychological stress; more overtime, the worse the negative psychological impact [12]. Work burden as a stress factor should be addressed, as increased workload and schedule shift worsens the severity of anxiety, altering sleeping pattern, in combination, they could induce abnormal hypothalamo–pituitary–adrenal secretory activity with subsequent deterioration of sleep disturbances [28], which further weakens the immune system, increasing even more the risk of infection [29]. With a rapid increase in the numbers of infected patients, our frontline HCW were more concerned with being infected, or being the source of infection of coworkers and family members, and these concerns significantly affected the anxiety, depression, and insomnia of HCW in this study. The anxiety over the risk of infection for HCW is not only related to increases in the numbers of infected patients, but also because the excess of workload/schedule shift altering sleeping patterns may contribute to an altered immune system, as mentioned before. As a consequence, during the second wave, the number of infected HCW was in fact increased. This is a real threat to our HCW [30]. Studies showed that this is one of main stress factors to HCW during previous major pandemics [1,31]. From the experience of SARS in 2003, study of the post-pandemic stage proved that working in a high-risk environment and direct contact with infected patients, with fear of being a source of infection to family, caused a very high level of psychological stress that persisted even after the SARS pandemic had waned [32]. Observations from studies of the early stage of the COVID-19 pandemic found that worries over the risk of infection on HCW themselves, and, more, to colleagues or family members, significantly exacerbates the levels of anxiety and depression of frontline HCW [7,33]. As HCW face an immense increase in duties during pandemics, well-functioning teamwork is essential, workplace relationships play an important role as an influencing factor on the psychological impacts of HCW. Our study showed that the better the workplace relationships, the better the sense of social support, and the lower the level of depression. A study in Germany showed that a lack of trust between co-workers of a medical team is a risk factor for anxiety and depression. Confidence and support from the leadership is essential, encouraging team members to manifest their needs and challenges, listen to their opinions and advice, and provide mutual support to find solutions together, and are very helpful strategies to decrease the psychological impacts of HCW [34,35]. In our study, more than 70% of our HCW felt that the public demands too much from them, showing certain levels of discrimination or disrespect. Despite that social pressure seems to correlate positively to anxiety, depression, and insomnia in our study, statistically it did not show significant negative psychological impact on HCW. Possible explanations for this result are good family support and adequate working place relationships: more than 70% of our HCW responded as having sufficient support from their family, and nearly 80% responded as having adequate working place relationships with their co-workers and leaders. Several studies concluded that satisfaction over family support and working place relationships helps in ameliorating negative psychological effects from social pressure [34,36,37]. Family support is one of the essential factors for the resilience of HCW during a pandemic. Our study proved that the less the family support, the worse the level of anxiety, depression, and insomnia, and the better the family support, the better the sense of social support, which means fewer feelings of loneliness. Chen et al., in their study of Taiwanese HCW during SARS, proved that good family support helped in reducing the psychological stress and improving resilience during their fight against the pandemic [38]. A study from Korea concluded that one of the main factors related to psychological fatigue in HCW during MERS is a lack of family support [39]. Our study also showed that the better the family members understand the job of HCW, the better they felt supported; this finding is compatible to other studies [34,36]. Sufficiency of PPE and medical supplies and public health policy/information accuracy and transparency are two factors that did not affect HCW in our study. After a temporary shortage of PPE and medical supplies during the first wave, the Taiwanese government had responded efficiently by providing medical resources to hospitals in charge, so more than half of our HCW considered that the government and hospital had provided enough PPE and medical supplies. Sampaio et al., in their study, concluded that sufficient provision of PPE and medical supplies and securing their quality significantly reduces anxiety, depression, and stress in frontline HCW [12]. In this study, our HCW responded with a high level of satisfaction about public health policy and information accuracy and transparency, as more than 70% of them responded “complete” or “very complete” on this issue. It is crucial to provide transparent and concrete information and policies [1]. A better informed and trained HCW is more confident in their duties, and consequently has less stress. The Taiwanese CDC has held press conferences daily since the very beginning of the pandemic, providing information and guidelines and announcing policies; this is very helpful to avoid misinformation and fake news, and avoid chaos and panic, which coincides with the findings of previous studies [16]. A study from China concluded that uncertainties in public health policies and guidelines reduces work efficiency and causes psychological stress for HCW [15]. Japanese studies also suggested that transparency of information from the government and hospitals in combination with adequate on-the-job training significantly reduces the anxiety and stress of HCW during a pandemic [6,13]. This study had some limitations: first, this study was based in a single regional healthcare system in central Taiwan, so a study of a larger scale on the cross-regional or national level would help to further understand HCW’s psychological impact in Taiwan. Despite of this limitation, this study can provide information, references, and guidance for future studies. Second, as we could never predict how the pandemic would develop in the country, a 10-month interval between the first wave and second wave was not expected. The intention of comparing the psychological impacts on HCW in two different waves surged after the second wave had been waning, so the study was designed as a cross-sectional study, conducted in the time that the second wave had ended. To reduce recall bias, a longitudinal study, which would reflect the psychological impact in real time, could be considered for future studies. In summary, during the COVID-19 pandemic in Taiwan, HCW were significantly affected by negative psychological impacts such as anxiety, depression, insomnia, and loneliness, regardless of the wave of infection. A significant higher level of anxiety was observed during the second wave of COVID-19 in Taiwan, when the number of infected patients had surged rapidly and, consequently, the workload increased and changes of working schedules varied significantly. HCW became more concerned over being infected or being a source of infection during the second wave. By the same period, HCW demonstrated more confidence and satisfaction in public health policy and information accuracy and transparency than during the first wave. Increased changes in workload and working schedules, concerns over the risk of infection, workplace relationships, and family support were significant influencing factors on the negative psychological impacts. 5. Conclusions: COVID-19 is the major and most recent pandemic that human beings have faced in the 21st century but would not be the last. By the time of redaction, many countries continue to be under the pressure of COVID-19 Omicron variants such as BA.4 and BA.5, and Taiwan is experiencing the third wave of the COVID-19 pandemic; meanwhile, monkeypox has been declared by the WHO to be a public health emergency of international concern. The challenge continues. Understanding the influencing factors that affect HCW psychologically is helpful and essential for building mental health strategies, which should be timely, flexibly, and holistically responsive to protect our HCW [1,34,36,40]. Administrative efforts to reduce workload and to adjust working schedules, providing medical resources to reduce risk of infection, and creating a supportive working environment and good family support are important measures to protect our frontline HCW.
Background: This study aims to explore differences of psychological impact and influencing factors that affected Taiwanese healthcare workers (HCW) during the first and second wave of COVID-19. Methods: a cross sectional survey of first-line HCW during November 2021 to February 2022: 270 paper questionnaires were issued and the valid response rate was 86% (231). For statistical analysis, descriptive statistics, Pearson correlation, and multivariate linear regression were used. Results: regardless of the wave of the pandemic, nearly 70% of HCW had anxiety, nearly 60% felt depressed, half of them suffered from insomnia, and one in three felt insufficient social support, which means a high level of loneliness. With an increased number of infected patients during the second wave, HCW felt significant changes of workload and schedule, with higher concern over risk of infection, and these factors induced higher levels of anxiety, but they manifested better satisfaction over public health policies and information provided by hospitals and governments. Changes of working schedules or duties positively relate to levels of anxiety and insomnia. The risk of infection causes anxiety, depression, and insomnia. Workplace relationships significantly relate to depression and loneliness. A negative family support causes an adverse psychological impact. Conclusions: the pandemic has a negative psychological impact on HCW. Early recognition of significant influencing factors, providing psychological support and therapy, are helpful strategies for reducing the adverse psychological effects.
1. Introduction: The coronavirus disease (COVID-19) has spread worldwide since the end of 2019; it has been affecting millions of people, which exceeds in number and scale severe acute respiratory syndrome (SARS) and Middle East respiratory syndrome (MERS), causing a heavy burden on public health systems globally, consequently bringing impacts to healthcare workers (HCW) in an unprecedented way. Since its first imported case in January 2020, Taiwan experienced three definite waves of COVID-19 infections, different from other countries, with no new diagnosed cases between. Taiwan had a relatively lower number of confirmed cases and deceased patients in its first wave during January to May of 2020, followed by nearly 10 months of zero cases until April of 2021, when multiple chains of infection spread rapidly. It was a second wave of infection. By the end of August of 2021, there were more than 15,000 confirmed cases and over 800 deceased cases (Table 1). As most of the newly diagnosed patients were in the northern region of the country, the Taiwanese center of disease control (CDC) strategically deferred patients to medical centers and regional hospital in central and south Taiwan to unload the burden on hospitals in the northern regions. The number of new diagnosed cases dropped to a single digit by the beginning of September 2021, followed by a period of nearly no new cases until January of 2022, when the Omicron variant appeared, causing the third wave of infection. From experience of previous pandemics, these situations can cause detrimental psychological effects on HCW [1,2,3]. Taiwan’s experience with SARS in 2003 demonstrated that nearly 70% of HCW had mental health burdens [4]. In the early stage of the COVID-19 pandemic in Taiwan, a web-based survey of HCW from March to April of 2020 demonstrated that 40.3% of responders felt burnt out, with a significant level of anxiety in 78.1%, and 45.5% complained of depression [5]. It is well-known that psychological problems in HCW during a pandemic are multifactorial: some factors are intrinsic to HCW, such as, for example, gender, occupation, education level, position, seniority, [2,3,6,7], frontline HCW [8], marital status/living conditions [9], use of tobacco/alcohol [10,11], and if they ever have any chronic disease or mental disease [7]. Other factors are extrinsic to HCW, such as work loading and shift changes [1,2,12], availability of personal protection equipment (PPE) and/or medical resources [6,13], risk of infection [1,2,3], workplace relationships between leaders and co-workers [7], social pressure and stigmatization [14], family support [9], and transparency/accuracy of public health policy and information from governments and hospitals [15,16]. Most of studies conducted during the COVID-19 pandemic had focused on the detrimental psychological effects of the pandemic and its related factors on HCW. Some studies had focused on a single second wave of infection [17,18]. A study comparing two waves of infection in India reported that HCW were less affected by psychological impacts during the second wave [19], but two Italian studies comparing psychological stress in the first and second waves reported no significant differences between the two waves [20,21]. These findings leave questions such as, if in different countries, with a variety in backgrounds or influencing factors, how can the negative psychological effects and severity in HCW during different waves of the pandemic differ? In this study, we aim to investigate: 1. differences of severity of psychological impacts between the first and second waves of the pandemic in HCW in Taiwan, and 2. analysis of extrinsic factors to see how differently they manifested in both stages of the infection, and how they affected the negative psychological effects on Taiwanese HCW. 5. Conclusions: COVID-19 is the major and most recent pandemic that human beings have faced in the 21st century but would not be the last. By the time of redaction, many countries continue to be under the pressure of COVID-19 Omicron variants such as BA.4 and BA.5, and Taiwan is experiencing the third wave of the COVID-19 pandemic; meanwhile, monkeypox has been declared by the WHO to be a public health emergency of international concern. The challenge continues. Understanding the influencing factors that affect HCW psychologically is helpful and essential for building mental health strategies, which should be timely, flexibly, and holistically responsive to protect our HCW [1,34,36,40]. Administrative efforts to reduce workload and to adjust working schedules, providing medical resources to reduce risk of infection, and creating a supportive working environment and good family support are important measures to protect our frontline HCW.
Background: This study aims to explore differences of psychological impact and influencing factors that affected Taiwanese healthcare workers (HCW) during the first and second wave of COVID-19. Methods: a cross sectional survey of first-line HCW during November 2021 to February 2022: 270 paper questionnaires were issued and the valid response rate was 86% (231). For statistical analysis, descriptive statistics, Pearson correlation, and multivariate linear regression were used. Results: regardless of the wave of the pandemic, nearly 70% of HCW had anxiety, nearly 60% felt depressed, half of them suffered from insomnia, and one in three felt insufficient social support, which means a high level of loneliness. With an increased number of infected patients during the second wave, HCW felt significant changes of workload and schedule, with higher concern over risk of infection, and these factors induced higher levels of anxiety, but they manifested better satisfaction over public health policies and information provided by hospitals and governments. Changes of working schedules or duties positively relate to levels of anxiety and insomnia. The risk of infection causes anxiety, depression, and insomnia. Workplace relationships significantly relate to depression and loneliness. A negative family support causes an adverse psychological impact. Conclusions: the pandemic has a negative psychological impact on HCW. Early recognition of significant influencing factors, providing psychological support and therapy, are helpful strategies for reducing the adverse psychological effects.
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[ "hcw", "support", "infection", "psychological", "wave", "001", "study", "second", "family", "factors" ]
[ "covid 19 cases", "infection taiwan participants", "pandemic taiwan hcw", "taiwan pandemic exacerbated", "covid 19 taiwan" ]
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[CONTENT] COVID-19 | healthcare workers | psychological impact [SUMMARY]
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[CONTENT] COVID-19 | healthcare workers | psychological impact [SUMMARY]
[CONTENT] COVID-19 | healthcare workers | psychological impact [SUMMARY]
[CONTENT] COVID-19 | healthcare workers | psychological impact [SUMMARY]
[CONTENT] COVID-19 | healthcare workers | psychological impact [SUMMARY]
[CONTENT] Anxiety | COVID-19 | Cross-Sectional Studies | Depression | Health Personnel | Humans | Pandemics | SARS-CoV-2 | Sleep Initiation and Maintenance Disorders | Taiwan [SUMMARY]
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[CONTENT] Anxiety | COVID-19 | Cross-Sectional Studies | Depression | Health Personnel | Humans | Pandemics | SARS-CoV-2 | Sleep Initiation and Maintenance Disorders | Taiwan [SUMMARY]
[CONTENT] Anxiety | COVID-19 | Cross-Sectional Studies | Depression | Health Personnel | Humans | Pandemics | SARS-CoV-2 | Sleep Initiation and Maintenance Disorders | Taiwan [SUMMARY]
[CONTENT] Anxiety | COVID-19 | Cross-Sectional Studies | Depression | Health Personnel | Humans | Pandemics | SARS-CoV-2 | Sleep Initiation and Maintenance Disorders | Taiwan [SUMMARY]
[CONTENT] Anxiety | COVID-19 | Cross-Sectional Studies | Depression | Health Personnel | Humans | Pandemics | SARS-CoV-2 | Sleep Initiation and Maintenance Disorders | Taiwan [SUMMARY]
[CONTENT] covid 19 cases | infection taiwan participants | pandemic taiwan hcw | taiwan pandemic exacerbated | covid 19 taiwan [SUMMARY]
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[CONTENT] covid 19 cases | infection taiwan participants | pandemic taiwan hcw | taiwan pandemic exacerbated | covid 19 taiwan [SUMMARY]
[CONTENT] covid 19 cases | infection taiwan participants | pandemic taiwan hcw | taiwan pandemic exacerbated | covid 19 taiwan [SUMMARY]
[CONTENT] covid 19 cases | infection taiwan participants | pandemic taiwan hcw | taiwan pandemic exacerbated | covid 19 taiwan [SUMMARY]
[CONTENT] covid 19 cases | infection taiwan participants | pandemic taiwan hcw | taiwan pandemic exacerbated | covid 19 taiwan [SUMMARY]
[CONTENT] hcw | support | infection | psychological | wave | 001 | study | second | family | factors [SUMMARY]
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[CONTENT] hcw | support | infection | psychological | wave | 001 | study | second | family | factors [SUMMARY]
[CONTENT] hcw | support | infection | psychological | wave | 001 | study | second | family | factors [SUMMARY]
[CONTENT] hcw | support | infection | psychological | wave | 001 | study | second | family | factors [SUMMARY]
[CONTENT] hcw | support | infection | psychological | wave | 001 | study | second | family | factors [SUMMARY]
[CONTENT] hcw | cases | psychological | pandemic | taiwan | waves | infection | diagnosed | january | new [SUMMARY]
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[CONTENT] 001 | sd | support | levels | related | social | second | 001 family support | 001 family | table [SUMMARY]
[CONTENT] ba | protect | covid 19 | covid | reduce | 19 | hcw | working | pandemic | holistically responsive protect hcw [SUMMARY]
[CONTENT] 001 | hcw | psychological | infection | study | support | wave | pandemic | second | items [SUMMARY]
[CONTENT] 001 | hcw | psychological | infection | study | support | wave | pandemic | second | items [SUMMARY]
[CONTENT] Taiwanese | first | second | COVID-19 [SUMMARY]
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[CONTENT] nearly 70% | HCW | nearly 60% | half | one | three ||| second | HCW ||| ||| ||| ||| [SUMMARY]
[CONTENT] HCW ||| [SUMMARY]
[CONTENT] ||| Taiwanese | first | second | COVID-19 ||| first | November 2021 to February 2022 ||| 270 | 86% | 231 ||| Pearson ||| nearly 70% | HCW | nearly 60% | half | one | three ||| second | HCW ||| ||| ||| ||| ||| HCW ||| [SUMMARY]
[CONTENT] ||| Taiwanese | first | second | COVID-19 ||| first | November 2021 to February 2022 ||| 270 | 86% | 231 ||| Pearson ||| nearly 70% | HCW | nearly 60% | half | one | three ||| second | HCW ||| ||| ||| ||| ||| HCW ||| [SUMMARY]
Bullous pemphigoid and comorbidities: a case-control study in Portuguese patients.
24770504
Although rare, bullous pemphigoid (BP) is the most common autoimmune blistering disease. Recent studies have shown that patients with bullous pemphigoid are more likely to have neurological and psychiatric diseases, particularly prior to the diagnosis of bullous pemphigoid.
BACKGROUND
Seventy-seven patients with bullous pemphigoid were enrolled in the study. They were compared with 176 age- and gender-matched controls, which also had the same inpatient to outpatient ratio, but no history of bullous or cutaneous malignant disease. Univariate and multivariate analyses were used to calculate odds ratios for specific comorbid diseases.
METHODS
At least one neurologic diagnosis was present in 55.8% of BP patients compared with 20.5% controls (p<0.001). Comparing cases to controls, stroke was seen in 35.1 vs. 6.8%, OR 8.10 (3.80-17.25); dementia in 37.7 vs. 11.9%, OR 5.25 (2.71-10.16); and Parkinson's disease in 5.2 vs. 1.1%, OR 4.91 (0.88-27.44). Using multivariate analysis, all diseases except Parkinson's retained their association with BP. Patients under systemic treatment were eight times more likely to have complications than those treated with topical steroids (p< 0.017).
RESULTS
The results of this study substantiate the association between BP and neurological diseases. In addition, they highlight the potential complications associated with the treatment of BP.
CONCLUSIONS
[ "Age Distribution", "Age Factors", "Aged", "Aged, 80 and over", "Case-Control Studies", "Central Nervous System Diseases", "Comorbidity", "Female", "Hospitals, University", "Humans", "Logistic Models", "Male", "Middle Aged", "Pemphigoid, Bullous", "Portugal", "Prevalence", "Sex Distribution" ]
4008058
INTRODUCTION
Bullous pemphigoid (BP) is the most common autoimmune blistering disease and predominantly affects the elderly.1-3 However, on rare occasions, it can be present in young adults and children.4 Both genders are equally affected. The annual incidence of BP has been estimated to range from 2 to 14 new cases per million people.1,3,5-6 Its incidence is expected to rise as a consequence of population ageing. A recent study in France found a 3-fold increase in the annual incidence of BP over the last 15 years, with 21.7 new cases per million inhabitants.7 BP is characterized by the presence of circulating IgG autoantibodies directed against two proteins of the basement membrane zone, bullous pemphigoid antigens 1 and 2 (BPAG1 and BPAG2), which are detectable by both direct and indirect immunofluorescence. However, pathogenesis is still not completely understood. Previous studies have suggested a relationship between BP and comorbid conditions like neurological and psychiatric diseases, diabetes mellitus, and malignancy.8-12 Recently, a prospective casecontrol study, which evaluates risk factors for BP, identified neurological disorders, namely dementia and Parkinson's disease, psychiatric disorders (unipolar and bipolar disorders), bedridden condition, and chronic use of several drugs, as risk factors for BP.13 Systemic corticotherapy (prednisone 0.5-1 mg per kilogram of body weight per day) is considered the standard treatment, but serious adverse effects can occur, including death, particularly in elderly patients.14-18 In spite of the progress in BP treatment, the mortality rate of these patients can be up to sixfold higher than in the general population.7 In 2002, Joly et al conducted a large controlled clinical trial, which demonstrated that high potency topical steroids improve survival in patients with extensive BP, as compared with oral corticosteroid therapy.19 Objective The primary endpoint of the present study was to determine the prevalence and association of comorbid conditions with BP in patients who had medical attendance at our hospital. The primary endpoint of the present study was to determine the prevalence and association of comorbid conditions with BP in patients who had medical attendance at our hospital.
null
null
RESULTS
The median (range) age at presentation for BP was 79.6 (SD 8.3) years. The age distribution ranged from 49 to 96 years. Thirty nine (50.6%) of the patients were female and 38 (49.4%) were male. The age, age group and gender distributions of the cohort are presented in Table 1. Control patients were well matched in terms of age (p=0.64), gender (p=0.51), and had the same inpatient to outpatient ratio (p=0.19). Controls had various cutaneous diseases (erysipela/cellulitis, leg ulcer, drug eruption, eczema, psoriasis and vasculitis), as illustrated in Graph 1. Demographic features of cases and controls Diseases of the controls Chronic treatment with at least one drug before onset of BP was observed in 87% of cases, namely diuretics (48.1% of BP patients), angiotensin-converting enzyme inhibitors/angiotensin II receptors antagonists (40.3%) and benzodiazepines (35.1%) (Table 2). Chronic medication (at least one drug in the last three months) in BP patients Abbreviations: NSAIDs, nonsteroidal anti-inflammatory drugs. Upon diagnosis, all patients had cutaneous blisters and 34 patients (44.2%) also had urticarial plaques. In addition, the oral mucosa of 11 patients (14.3%) were affected, while 92.2% complained of pruritus. About half of the cases involved peripheral blood eosinophilia (50.6%) (Table 3). Clinical characteristic of BP patients About one fifth of patients (20.8%) was successfully treated with high-potency topical steroids in monotherapy. The rest also received systemic treatment, mainly oral corticosteroids (57.1%). Dapsone was the second most prescribed systemic drug, alone or concurrently with oral corticosteroids (Table 4). Some patients treated with dapsone (11.4%) experienced side effects: hemolysis and anemia (data not shown). Treatment modalities Complications occurred in 25 patients (32.5 %), mainly infections (urinary tract infection, respiratory infection and erysipela/cellulitis) and decompensation of diabetes, which affected 20.8 and 14.3% of BP patients, respectively. In 3 patients, the infection progressed to sepsis, with fatal outcomes for 2 of them. BP patients who underwent systemic treatment were eight times more likely to have complications than patients who only received topical corticosteroids (p< 0.017). Clinical remission was achieved in a mean of 42.7 days (SD 29). Twenty-two patients were lost to follow-up. Of the 55 BP patients who were still in follow-up, 27 (49.1%) experienced at least one relapse. The mean interval until relapse was 4.4 months. BP patients were kept in follow-up for a mean of 8.5 months (SD 11). Table 5 shows the univariate comparison of cases and controls. 44.2% of patients (34 BP) were in a bedridden condition, compared with 13.6% (24) of the controls (OR 5.2, 95% CI 2.8-9.8). Also, BP patients had been hospitalized for a longer period of time compared to controls (mean 20.5 vs 13.2 days, p<0.001). Univariate comparison of cases and controls Odds ratios with 95% CI. P-value of the Pearson Chi-square test. Eight (11%) BP patients had a prior diagnosis of malignancy, namely prostate cancer (2 patients) and lymphoproliferative disorders (2 patients) (data not shown). No statistical difference was found between cases and controls. At least one neurological disease was present in 55.8% (43) of BP cases before the diagnosis of BP compared with 20.5% (36) of controls (OR 5.36, 95% CI 2.97-9.66). BP patients had significantly increased odds for cerebral stroke (OR 8.10, 95% CI 3.80-17.25), dementia (OR 5.25, 95% CI 2.71-10.16) and Parkinson's disease (OR 4.91, 95% CI 0.88-27.44). However, the association with Parkinson's disease became non-statistically significant after correction for multiple testing (Table 6). Multivariate logistic regression for the association between neurological disorders and BP patients Odds ratios were adjusted for matching variables (age, gender) and neurological disorders No association was found between BP and Alzheimer's disease, depression and diabetes mellitus. Controls were more likely than BP patients to have hypertension (2.17 odds).
CONCLUSIONS
We identified an association between neurological diseases and BP in Portuguese patients, supporting associations found in previous studies. This association is of interest due to the possible role in BP etiology. Further research is required to elucidate these findings.
[ "Objective", "Statistical analysis" ]
[ "The primary endpoint of the present study was to determine the prevalence and\nassociation of comorbid conditions with BP in patients who had medical attendance at\nour hospital.", "Statistical analysis was performed using the Software Package for Statistical Science\n(SPSS for Windows, version 18.0, Chicago, IL). Continuous data are presented as the\nmean value and standard deviation (SD), and categorical variables are presented as\npercentages. Patients and control subjects were compared using the Student's t-test\nfor continuous variables, while the Pearson Chi-square test was applied for\ncategorical variables. Univariate logistic regression was used to calculate the crude\nodds ratios (OR) and 95% confidence intervals (CI) for comorbid conditions in\nrelation to BP. A logistic regression model was used to measure the association\nbetween BP and neurological disorders in a multivariate analysis." ]
[ null, null ]
[ "INTRODUCTION", "Objective", "MATERIALS AND METHODS", "Statistical analysis", "RESULTS", "DISCUSSION", "CONCLUSIONS" ]
[ "Bullous pemphigoid (BP) is the most common autoimmune blistering disease and\npredominantly affects the elderly.1-3 However, on rare occasions, it can be\npresent in young adults and children.4\nBoth genders are equally affected. The annual incidence of BP has been estimated to\nrange from 2 to 14 new cases per million people.1,3,5-6 Its incidence is expected\nto rise as a consequence of population ageing. A recent study in France found a 3-fold\nincrease in the annual incidence of BP over the last 15 years, with 21.7 new cases per\nmillion inhabitants.7\nBP is characterized by the presence of circulating IgG autoantibodies directed against\ntwo proteins of the basement membrane zone, bullous pemphigoid antigens 1 and 2 (BPAG1\nand BPAG2), which are detectable by both direct and indirect immunofluorescence.\nHowever, pathogenesis is still not completely understood. Previous studies have\nsuggested a relationship between BP and comorbid conditions like neurological and\npsychiatric diseases, diabetes mellitus, and malignancy.8-12 Recently, a\nprospective casecontrol study, which evaluates risk factors for BP, identified\nneurological disorders, namely dementia and Parkinson's disease, psychiatric disorders\n(unipolar and bipolar disorders), bedridden condition, and chronic use of several drugs,\nas risk factors for BP.13\nSystemic corticotherapy (prednisone 0.5-1 mg per kilogram of body weight per day) is\nconsidered the standard treatment, but serious adverse effects can occur, including\ndeath, particularly in elderly patients.14-18 In spite of the\nprogress in BP treatment, the mortality rate of these patients can be up to sixfold\nhigher than in the general population.7\nIn 2002, Joly et al conducted a large controlled clinical trial, which\ndemonstrated that high potency topical steroids improve survival in patients with\nextensive BP, as compared with oral corticosteroid therapy.19\n Objective The primary endpoint of the present study was to determine the prevalence and\nassociation of comorbid conditions with BP in patients who had medical attendance at\nour hospital.\nThe primary endpoint of the present study was to determine the prevalence and\nassociation of comorbid conditions with BP in patients who had medical attendance at\nour hospital.", "The primary endpoint of the present study was to determine the prevalence and\nassociation of comorbid conditions with BP in patients who had medical attendance at\nour hospital.", "This case-control study was approved by the research ethics board of Coimbra University\nHospital. Between January 1998 and December 2010, we identified, in our department, all\nindividuals who had undergone a histological procedure (n=97) on the basis of clinical\nsuspicion of BP. From this initial cohort, we performed a manual chart review,\nabstracting medical records individually to ensure that these patients fulfilled the\nfollowing three criteria: (1) typical clinical features, such as tense blisters on both\nthe normal and erythematous bases, (2) characteristic histopathologic findings, such as\nsubepidermal blisters and (3) immunological findings of positive direct\nimmunofluorescence (DIF) tests (linear IgG and/or C3 deposits along the epidermal\nbasement-membrane zone). Of the ninety-seven patients identified as potentially eligible\ncases, we excluded 20 patients who did not meet these inclusion criteria, thus the\nsample for this study comprised 77 patients. The following data were recorded: age at\ndiagnosis, gender, degree of autonomy, clinical features, laboratorial parameters,\ntherapy adopted, concomitant medications and comorbidities (neurological and psychiatric\ndisorders, hypertension, diabetes mellitus, thyroid dysfunction, psoriasis, leg ulcers\nor other chronic wounds, history of fracture or joint-replacement surgery). One hundred\nand seventysix controls (~2 for each BP patient) were randomly selected from the list of\nour clinical folders, excluding patients with a diagnosis of bullous or cutaneous\nmalignant disease, and matched according to age, sex and inpatient to outpatient\nratio.\n Statistical analysis Statistical analysis was performed using the Software Package for Statistical Science\n(SPSS for Windows, version 18.0, Chicago, IL). Continuous data are presented as the\nmean value and standard deviation (SD), and categorical variables are presented as\npercentages. Patients and control subjects were compared using the Student's t-test\nfor continuous variables, while the Pearson Chi-square test was applied for\ncategorical variables. Univariate logistic regression was used to calculate the crude\nodds ratios (OR) and 95% confidence intervals (CI) for comorbid conditions in\nrelation to BP. A logistic regression model was used to measure the association\nbetween BP and neurological disorders in a multivariate analysis.\nStatistical analysis was performed using the Software Package for Statistical Science\n(SPSS for Windows, version 18.0, Chicago, IL). Continuous data are presented as the\nmean value and standard deviation (SD), and categorical variables are presented as\npercentages. Patients and control subjects were compared using the Student's t-test\nfor continuous variables, while the Pearson Chi-square test was applied for\ncategorical variables. Univariate logistic regression was used to calculate the crude\nodds ratios (OR) and 95% confidence intervals (CI) for comorbid conditions in\nrelation to BP. A logistic regression model was used to measure the association\nbetween BP and neurological disorders in a multivariate analysis.", "Statistical analysis was performed using the Software Package for Statistical Science\n(SPSS for Windows, version 18.0, Chicago, IL). Continuous data are presented as the\nmean value and standard deviation (SD), and categorical variables are presented as\npercentages. Patients and control subjects were compared using the Student's t-test\nfor continuous variables, while the Pearson Chi-square test was applied for\ncategorical variables. Univariate logistic regression was used to calculate the crude\nodds ratios (OR) and 95% confidence intervals (CI) for comorbid conditions in\nrelation to BP. A logistic regression model was used to measure the association\nbetween BP and neurological disorders in a multivariate analysis.", "The median (range) age at presentation for BP was 79.6 (SD 8.3) years. The age\ndistribution ranged from 49 to 96 years. Thirty nine (50.6%) of the patients were female\nand 38 (49.4%) were male. The age, age group and gender distributions of the cohort are\npresented in Table 1. Control patients were well\nmatched in terms of age (p=0.64), gender (p=0.51), and had the same inpatient to\noutpatient ratio (p=0.19). Controls had various cutaneous diseases\n(erysipela/cellulitis, leg ulcer, drug eruption, eczema, psoriasis and vasculitis), as\nillustrated in Graph 1.\nDemographic features of cases and controls\nDiseases of the controls\nChronic treatment with at least one drug before onset of BP was observed in 87% of\ncases, namely diuretics (48.1% of BP patients), angiotensin-converting enzyme\ninhibitors/angiotensin II receptors antagonists (40.3%) and benzodiazepines (35.1%)\n(Table 2).\nChronic medication (at least one drug in the last three months) in BP patients\nAbbreviations: NSAIDs, nonsteroidal anti-inflammatory drugs.\nUpon diagnosis, all patients had cutaneous blisters and 34 patients (44.2%) also had\nurticarial plaques. In addition, the oral mucosa of 11 patients (14.3%) were affected,\nwhile 92.2% complained of pruritus. About half of the cases involved peripheral blood\neosinophilia (50.6%) (Table 3).\nClinical characteristic of BP patients\nAbout one fifth of patients (20.8%) was successfully treated with high-potency topical\nsteroids in monotherapy. The rest also received systemic treatment, mainly oral\ncorticosteroids (57.1%). Dapsone was the second most prescribed systemic drug, alone or\nconcurrently with oral corticosteroids (Table\n4). Some patients treated with dapsone (11.4%) experienced side effects:\nhemolysis and anemia (data not shown).\nTreatment modalities\nComplications occurred in 25 patients (32.5 %), mainly infections (urinary tract\ninfection, respiratory infection and erysipela/cellulitis) and decompensation of\ndiabetes, which affected 20.8 and 14.3% of BP patients, respectively. In 3 patients, the\ninfection progressed to sepsis, with fatal outcomes for 2 of them. BP patients who\nunderwent systemic treatment were eight times more likely to have complications than\npatients who only received topical corticosteroids (p< 0.017).\nClinical remission was achieved in a mean of 42.7 days (SD 29). Twenty-two patients were\nlost to follow-up. Of the 55 BP patients who were still in follow-up, 27\n(49.1%) experienced at least one relapse. The mean interval until relapse was 4.4\nmonths. BP patients were kept in follow-up for a mean of 8.5 months (SD 11).\nTable 5 shows the univariate comparison of cases\nand controls. 44.2% of patients (34 BP) were in a bedridden condition, compared with\n13.6% (24) of the controls (OR 5.2, 95% CI 2.8-9.8). Also, BP patients had been\nhospitalized for a longer period of time compared to controls (mean 20.5 vs 13.2 days,\np<0.001).\nUnivariate comparison of cases and controls\nOdds ratios with 95% CI.\nP-value of the Pearson Chi-square test.\nEight (11%) BP patients had a prior diagnosis of malignancy, namely prostate cancer (2\npatients) and lymphoproliferative disorders (2 patients) (data not shown). No\nstatistical difference was found between cases and controls.\n\nAt least one neurological disease was present in 55.8% (43) of BP cases before the\ndiagnosis of BP compared with 20.5% (36) of controls (OR 5.36, 95% CI 2.97-9.66). BP\npatients had significantly increased odds for cerebral stroke (OR 8.10, 95% CI\n3.80-17.25), dementia (OR 5.25, 95% CI 2.71-10.16) and Parkinson's disease (OR 4.91, 95%\nCI 0.88-27.44). However, the association with Parkinson's disease became\nnon-statistically significant after correction for multiple testing (Table 6).\nMultivariate logistic regression for the association between neurological\ndisorders and BP patients\nOdds ratios were adjusted for matching variables (age, gender) and neurological\ndisorders\nNo association was found between BP and Alzheimer's disease, depression and diabetes\nmellitus. Controls were more likely than BP patients to have hypertension (2.17\nodds).", "We found an association between BP and neurological disorders (dementia and cerebral\nstroke), which remained to be independently associated with BP by multivariate analysis.\nParkinson's disease missed its association, probably due to the small number of patients\nin our cohort. Our results confirmed earlier findings of a higher prevalence of\nneurological diseases among BP patients when compared with the general population. In\nFrance, 36% of BP patients were diagnosed with at least one neurological disorder,\nnamely dementia, in 20% of BP patients.8,13\nThese associations have been widely investigated in recent years. The hypothesis of\nimmunological cross-reactivity between the neuronal isoform of BPAG1 and its epithelial\nisoform, seems to explain those associations. Neurological diseases could expose the\nneuronal isoform and trigger a subsequent immunological reaction that causes the\ncutaneous lesions. Further studies are needed to better understand the underlying\nmolecular pathways.20\nThe relationship between BP and malignancy has been under debate for many years and is\nstill controversial. Some reports have suggested an increased frequency of certain\ncarcinomas (e.g. stomach, colon, prostate, breast and lung) as well as\nlymphoproliferative disorders.12,21\n23 As BP affects predominantly the\nelderly, it was expected that there would be a higher frequency of malignancies than in\nthe general population. In 1990, Venning et al reported that the rate\nof malignant disease was higher in BP patients (17.9%) compared with matched controls\n(5.3%).21 Ogawa et\nal studied a large Japanese population of BP patients (1113 patients) and\nfound malignant disease in 5.8% of patients compared with 0.61% among\ncontrols.12 However no\nstatistical analysis was conducted to clarify these findings. In addition, other authors\nfound no link between BP and malignancy.24,25 In our control group,\nall patients whose reason for consultation or hospital admission was cutaneous\nmalignancy, were excluded., Even removing this bias, we did not find any association\nbetween malignancy and BP. We agree with some authors who recommend cancer screening\nwhen there are systemic manifestations and atypical presentations, such as onset in a\nmiddle-aged person.Also, BP patients should have regular cancer screening tests as\nrecommended for the general population.\nChuang et al reported an association between BP and diabetes, showing\n20% diabetic BP patients versus 2.5% diabetic controls (p=0.004).11 This was supported by other\nstudies.26-27 It has been proposed that an autoimmune response occurs\nafter exposure of the BP antigens, by glycation of proteins of the dermoepidermal\njunction. Like other authors, we did not find an association between BP and\ndiabetes.24 Further studies are\nneeded to clarify this issue.\nSystemic corticosteroid treatment is the most common treatment for BP\npatients.14 However, BP\ntreatment is not devoid of side effects and is often responsible for the exacerbation of\nassociated diseases in the elderly population. Thus, a careful judgment should be made\nbefore starting any treatment. In our study, BP patients under systemic treatment\nexperienced more complications compared with those treated using topical\ncorticosteroids. In this context, two fatal outcomes occurred. In a previous study,\nsepsis represented the main cause of death in BP patients.16 It is interesting to note that all patients treated with\ntopical corticosteroids, in addition to clinical remission, experienced no major\ncomplications.\nOur study has some limitations, such as the retrospective chart analysis and the\nrelatively small number of patients. Further, we could not conclude anything about BP\nincidence because a considerable number of BP patients were not submitted to\nhistological and immunofluorescence studies, and therefore were not included in this\nstudy.", "We identified an association between neurological diseases and BP in Portuguese\npatients, supporting associations found in previous studies. This association is of\ninterest due to the possible role in BP etiology. Further research is required to\nelucidate these findings." ]
[ "intro", null, "materials|methods", null, "results", "discussion", "conclusions" ]
[ "Comorbidity", "Nervous system diseases", "Neurologic manifestations", "Pemphigoid, bullous", "Portugal" ]
INTRODUCTION: Bullous pemphigoid (BP) is the most common autoimmune blistering disease and predominantly affects the elderly.1-3 However, on rare occasions, it can be present in young adults and children.4 Both genders are equally affected. The annual incidence of BP has been estimated to range from 2 to 14 new cases per million people.1,3,5-6 Its incidence is expected to rise as a consequence of population ageing. A recent study in France found a 3-fold increase in the annual incidence of BP over the last 15 years, with 21.7 new cases per million inhabitants.7 BP is characterized by the presence of circulating IgG autoantibodies directed against two proteins of the basement membrane zone, bullous pemphigoid antigens 1 and 2 (BPAG1 and BPAG2), which are detectable by both direct and indirect immunofluorescence. However, pathogenesis is still not completely understood. Previous studies have suggested a relationship between BP and comorbid conditions like neurological and psychiatric diseases, diabetes mellitus, and malignancy.8-12 Recently, a prospective casecontrol study, which evaluates risk factors for BP, identified neurological disorders, namely dementia and Parkinson's disease, psychiatric disorders (unipolar and bipolar disorders), bedridden condition, and chronic use of several drugs, as risk factors for BP.13 Systemic corticotherapy (prednisone 0.5-1 mg per kilogram of body weight per day) is considered the standard treatment, but serious adverse effects can occur, including death, particularly in elderly patients.14-18 In spite of the progress in BP treatment, the mortality rate of these patients can be up to sixfold higher than in the general population.7 In 2002, Joly et al conducted a large controlled clinical trial, which demonstrated that high potency topical steroids improve survival in patients with extensive BP, as compared with oral corticosteroid therapy.19 Objective The primary endpoint of the present study was to determine the prevalence and association of comorbid conditions with BP in patients who had medical attendance at our hospital. The primary endpoint of the present study was to determine the prevalence and association of comorbid conditions with BP in patients who had medical attendance at our hospital. Objective: The primary endpoint of the present study was to determine the prevalence and association of comorbid conditions with BP in patients who had medical attendance at our hospital. MATERIALS AND METHODS: This case-control study was approved by the research ethics board of Coimbra University Hospital. Between January 1998 and December 2010, we identified, in our department, all individuals who had undergone a histological procedure (n=97) on the basis of clinical suspicion of BP. From this initial cohort, we performed a manual chart review, abstracting medical records individually to ensure that these patients fulfilled the following three criteria: (1) typical clinical features, such as tense blisters on both the normal and erythematous bases, (2) characteristic histopathologic findings, such as subepidermal blisters and (3) immunological findings of positive direct immunofluorescence (DIF) tests (linear IgG and/or C3 deposits along the epidermal basement-membrane zone). Of the ninety-seven patients identified as potentially eligible cases, we excluded 20 patients who did not meet these inclusion criteria, thus the sample for this study comprised 77 patients. The following data were recorded: age at diagnosis, gender, degree of autonomy, clinical features, laboratorial parameters, therapy adopted, concomitant medications and comorbidities (neurological and psychiatric disorders, hypertension, diabetes mellitus, thyroid dysfunction, psoriasis, leg ulcers or other chronic wounds, history of fracture or joint-replacement surgery). One hundred and seventysix controls (~2 for each BP patient) were randomly selected from the list of our clinical folders, excluding patients with a diagnosis of bullous or cutaneous malignant disease, and matched according to age, sex and inpatient to outpatient ratio. Statistical analysis Statistical analysis was performed using the Software Package for Statistical Science (SPSS for Windows, version 18.0, Chicago, IL). Continuous data are presented as the mean value and standard deviation (SD), and categorical variables are presented as percentages. Patients and control subjects were compared using the Student's t-test for continuous variables, while the Pearson Chi-square test was applied for categorical variables. Univariate logistic regression was used to calculate the crude odds ratios (OR) and 95% confidence intervals (CI) for comorbid conditions in relation to BP. A logistic regression model was used to measure the association between BP and neurological disorders in a multivariate analysis. Statistical analysis was performed using the Software Package for Statistical Science (SPSS for Windows, version 18.0, Chicago, IL). Continuous data are presented as the mean value and standard deviation (SD), and categorical variables are presented as percentages. Patients and control subjects were compared using the Student's t-test for continuous variables, while the Pearson Chi-square test was applied for categorical variables. Univariate logistic regression was used to calculate the crude odds ratios (OR) and 95% confidence intervals (CI) for comorbid conditions in relation to BP. A logistic regression model was used to measure the association between BP and neurological disorders in a multivariate analysis. Statistical analysis: Statistical analysis was performed using the Software Package for Statistical Science (SPSS for Windows, version 18.0, Chicago, IL). Continuous data are presented as the mean value and standard deviation (SD), and categorical variables are presented as percentages. Patients and control subjects were compared using the Student's t-test for continuous variables, while the Pearson Chi-square test was applied for categorical variables. Univariate logistic regression was used to calculate the crude odds ratios (OR) and 95% confidence intervals (CI) for comorbid conditions in relation to BP. A logistic regression model was used to measure the association between BP and neurological disorders in a multivariate analysis. RESULTS: The median (range) age at presentation for BP was 79.6 (SD 8.3) years. The age distribution ranged from 49 to 96 years. Thirty nine (50.6%) of the patients were female and 38 (49.4%) were male. The age, age group and gender distributions of the cohort are presented in Table 1. Control patients were well matched in terms of age (p=0.64), gender (p=0.51), and had the same inpatient to outpatient ratio (p=0.19). Controls had various cutaneous diseases (erysipela/cellulitis, leg ulcer, drug eruption, eczema, psoriasis and vasculitis), as illustrated in Graph 1. Demographic features of cases and controls Diseases of the controls Chronic treatment with at least one drug before onset of BP was observed in 87% of cases, namely diuretics (48.1% of BP patients), angiotensin-converting enzyme inhibitors/angiotensin II receptors antagonists (40.3%) and benzodiazepines (35.1%) (Table 2). Chronic medication (at least one drug in the last three months) in BP patients Abbreviations: NSAIDs, nonsteroidal anti-inflammatory drugs. Upon diagnosis, all patients had cutaneous blisters and 34 patients (44.2%) also had urticarial plaques. In addition, the oral mucosa of 11 patients (14.3%) were affected, while 92.2% complained of pruritus. About half of the cases involved peripheral blood eosinophilia (50.6%) (Table 3). Clinical characteristic of BP patients About one fifth of patients (20.8%) was successfully treated with high-potency topical steroids in monotherapy. The rest also received systemic treatment, mainly oral corticosteroids (57.1%). Dapsone was the second most prescribed systemic drug, alone or concurrently with oral corticosteroids (Table 4). Some patients treated with dapsone (11.4%) experienced side effects: hemolysis and anemia (data not shown). Treatment modalities Complications occurred in 25 patients (32.5 %), mainly infections (urinary tract infection, respiratory infection and erysipela/cellulitis) and decompensation of diabetes, which affected 20.8 and 14.3% of BP patients, respectively. In 3 patients, the infection progressed to sepsis, with fatal outcomes for 2 of them. BP patients who underwent systemic treatment were eight times more likely to have complications than patients who only received topical corticosteroids (p< 0.017). Clinical remission was achieved in a mean of 42.7 days (SD 29). Twenty-two patients were lost to follow-up. Of the 55 BP patients who were still in follow-up, 27 (49.1%) experienced at least one relapse. The mean interval until relapse was 4.4 months. BP patients were kept in follow-up for a mean of 8.5 months (SD 11). Table 5 shows the univariate comparison of cases and controls. 44.2% of patients (34 BP) were in a bedridden condition, compared with 13.6% (24) of the controls (OR 5.2, 95% CI 2.8-9.8). Also, BP patients had been hospitalized for a longer period of time compared to controls (mean 20.5 vs 13.2 days, p<0.001). Univariate comparison of cases and controls Odds ratios with 95% CI. P-value of the Pearson Chi-square test. Eight (11%) BP patients had a prior diagnosis of malignancy, namely prostate cancer (2 patients) and lymphoproliferative disorders (2 patients) (data not shown). No statistical difference was found between cases and controls. At least one neurological disease was present in 55.8% (43) of BP cases before the diagnosis of BP compared with 20.5% (36) of controls (OR 5.36, 95% CI 2.97-9.66). BP patients had significantly increased odds for cerebral stroke (OR 8.10, 95% CI 3.80-17.25), dementia (OR 5.25, 95% CI 2.71-10.16) and Parkinson's disease (OR 4.91, 95% CI 0.88-27.44). However, the association with Parkinson's disease became non-statistically significant after correction for multiple testing (Table 6). Multivariate logistic regression for the association between neurological disorders and BP patients Odds ratios were adjusted for matching variables (age, gender) and neurological disorders No association was found between BP and Alzheimer's disease, depression and diabetes mellitus. Controls were more likely than BP patients to have hypertension (2.17 odds). DISCUSSION: We found an association between BP and neurological disorders (dementia and cerebral stroke), which remained to be independently associated with BP by multivariate analysis. Parkinson's disease missed its association, probably due to the small number of patients in our cohort. Our results confirmed earlier findings of a higher prevalence of neurological diseases among BP patients when compared with the general population. In France, 36% of BP patients were diagnosed with at least one neurological disorder, namely dementia, in 20% of BP patients.8,13 These associations have been widely investigated in recent years. The hypothesis of immunological cross-reactivity between the neuronal isoform of BPAG1 and its epithelial isoform, seems to explain those associations. Neurological diseases could expose the neuronal isoform and trigger a subsequent immunological reaction that causes the cutaneous lesions. Further studies are needed to better understand the underlying molecular pathways.20 The relationship between BP and malignancy has been under debate for many years and is still controversial. Some reports have suggested an increased frequency of certain carcinomas (e.g. stomach, colon, prostate, breast and lung) as well as lymphoproliferative disorders.12,21 23 As BP affects predominantly the elderly, it was expected that there would be a higher frequency of malignancies than in the general population. In 1990, Venning et al reported that the rate of malignant disease was higher in BP patients (17.9%) compared with matched controls (5.3%).21 Ogawa et al studied a large Japanese population of BP patients (1113 patients) and found malignant disease in 5.8% of patients compared with 0.61% among controls.12 However no statistical analysis was conducted to clarify these findings. In addition, other authors found no link between BP and malignancy.24,25 In our control group, all patients whose reason for consultation or hospital admission was cutaneous malignancy, were excluded., Even removing this bias, we did not find any association between malignancy and BP. We agree with some authors who recommend cancer screening when there are systemic manifestations and atypical presentations, such as onset in a middle-aged person.Also, BP patients should have regular cancer screening tests as recommended for the general population. Chuang et al reported an association between BP and diabetes, showing 20% diabetic BP patients versus 2.5% diabetic controls (p=0.004).11 This was supported by other studies.26-27 It has been proposed that an autoimmune response occurs after exposure of the BP antigens, by glycation of proteins of the dermoepidermal junction. Like other authors, we did not find an association between BP and diabetes.24 Further studies are needed to clarify this issue. Systemic corticosteroid treatment is the most common treatment for BP patients.14 However, BP treatment is not devoid of side effects and is often responsible for the exacerbation of associated diseases in the elderly population. Thus, a careful judgment should be made before starting any treatment. In our study, BP patients under systemic treatment experienced more complications compared with those treated using topical corticosteroids. In this context, two fatal outcomes occurred. In a previous study, sepsis represented the main cause of death in BP patients.16 It is interesting to note that all patients treated with topical corticosteroids, in addition to clinical remission, experienced no major complications. Our study has some limitations, such as the retrospective chart analysis and the relatively small number of patients. Further, we could not conclude anything about BP incidence because a considerable number of BP patients were not submitted to histological and immunofluorescence studies, and therefore were not included in this study. CONCLUSIONS: We identified an association between neurological diseases and BP in Portuguese patients, supporting associations found in previous studies. This association is of interest due to the possible role in BP etiology. Further research is required to elucidate these findings.
Background: Although rare, bullous pemphigoid (BP) is the most common autoimmune blistering disease. Recent studies have shown that patients with bullous pemphigoid are more likely to have neurological and psychiatric diseases, particularly prior to the diagnosis of bullous pemphigoid. Methods: Seventy-seven patients with bullous pemphigoid were enrolled in the study. They were compared with 176 age- and gender-matched controls, which also had the same inpatient to outpatient ratio, but no history of bullous or cutaneous malignant disease. Univariate and multivariate analyses were used to calculate odds ratios for specific comorbid diseases. Results: At least one neurologic diagnosis was present in 55.8% of BP patients compared with 20.5% controls (p<0.001). Comparing cases to controls, stroke was seen in 35.1 vs. 6.8%, OR 8.10 (3.80-17.25); dementia in 37.7 vs. 11.9%, OR 5.25 (2.71-10.16); and Parkinson's disease in 5.2 vs. 1.1%, OR 4.91 (0.88-27.44). Using multivariate analysis, all diseases except Parkinson's retained their association with BP. Patients under systemic treatment were eight times more likely to have complications than those treated with topical steroids (p< 0.017). Conclusions: The results of this study substantiate the association between BP and neurological diseases. In addition, they highlight the potential complications associated with the treatment of BP.
INTRODUCTION: Bullous pemphigoid (BP) is the most common autoimmune blistering disease and predominantly affects the elderly.1-3 However, on rare occasions, it can be present in young adults and children.4 Both genders are equally affected. The annual incidence of BP has been estimated to range from 2 to 14 new cases per million people.1,3,5-6 Its incidence is expected to rise as a consequence of population ageing. A recent study in France found a 3-fold increase in the annual incidence of BP over the last 15 years, with 21.7 new cases per million inhabitants.7 BP is characterized by the presence of circulating IgG autoantibodies directed against two proteins of the basement membrane zone, bullous pemphigoid antigens 1 and 2 (BPAG1 and BPAG2), which are detectable by both direct and indirect immunofluorescence. However, pathogenesis is still not completely understood. Previous studies have suggested a relationship between BP and comorbid conditions like neurological and psychiatric diseases, diabetes mellitus, and malignancy.8-12 Recently, a prospective casecontrol study, which evaluates risk factors for BP, identified neurological disorders, namely dementia and Parkinson's disease, psychiatric disorders (unipolar and bipolar disorders), bedridden condition, and chronic use of several drugs, as risk factors for BP.13 Systemic corticotherapy (prednisone 0.5-1 mg per kilogram of body weight per day) is considered the standard treatment, but serious adverse effects can occur, including death, particularly in elderly patients.14-18 In spite of the progress in BP treatment, the mortality rate of these patients can be up to sixfold higher than in the general population.7 In 2002, Joly et al conducted a large controlled clinical trial, which demonstrated that high potency topical steroids improve survival in patients with extensive BP, as compared with oral corticosteroid therapy.19 Objective The primary endpoint of the present study was to determine the prevalence and association of comorbid conditions with BP in patients who had medical attendance at our hospital. The primary endpoint of the present study was to determine the prevalence and association of comorbid conditions with BP in patients who had medical attendance at our hospital. CONCLUSIONS: We identified an association between neurological diseases and BP in Portuguese patients, supporting associations found in previous studies. This association is of interest due to the possible role in BP etiology. Further research is required to elucidate these findings.
Background: Although rare, bullous pemphigoid (BP) is the most common autoimmune blistering disease. Recent studies have shown that patients with bullous pemphigoid are more likely to have neurological and psychiatric diseases, particularly prior to the diagnosis of bullous pemphigoid. Methods: Seventy-seven patients with bullous pemphigoid were enrolled in the study. They were compared with 176 age- and gender-matched controls, which also had the same inpatient to outpatient ratio, but no history of bullous or cutaneous malignant disease. Univariate and multivariate analyses were used to calculate odds ratios for specific comorbid diseases. Results: At least one neurologic diagnosis was present in 55.8% of BP patients compared with 20.5% controls (p<0.001). Comparing cases to controls, stroke was seen in 35.1 vs. 6.8%, OR 8.10 (3.80-17.25); dementia in 37.7 vs. 11.9%, OR 5.25 (2.71-10.16); and Parkinson's disease in 5.2 vs. 1.1%, OR 4.91 (0.88-27.44). Using multivariate analysis, all diseases except Parkinson's retained their association with BP. Patients under systemic treatment were eight times more likely to have complications than those treated with topical steroids (p< 0.017). Conclusions: The results of this study substantiate the association between BP and neurological diseases. In addition, they highlight the potential complications associated with the treatment of BP.
2,833
264
[ 31, 135 ]
7
[ "bp", "patients", "bp patients", "association", "controls", "neurological", "disorders", "analysis", "compared", "treatment" ]
[ "bullous pemphigoid bp", "antigens bpag1 bpag2", "autoimmune blistering", "pemphigoid bp common", "autoimmune blistering disease" ]
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[CONTENT] Comorbidity | Nervous system diseases | Neurologic manifestations | Pemphigoid, bullous | Portugal [SUMMARY]
null
[CONTENT] Comorbidity | Nervous system diseases | Neurologic manifestations | Pemphigoid, bullous | Portugal [SUMMARY]
[CONTENT] Comorbidity | Nervous system diseases | Neurologic manifestations | Pemphigoid, bullous | Portugal [SUMMARY]
[CONTENT] Comorbidity | Nervous system diseases | Neurologic manifestations | Pemphigoid, bullous | Portugal [SUMMARY]
[CONTENT] Comorbidity | Nervous system diseases | Neurologic manifestations | Pemphigoid, bullous | Portugal [SUMMARY]
[CONTENT] Age Distribution | Age Factors | Aged | Aged, 80 and over | Case-Control Studies | Central Nervous System Diseases | Comorbidity | Female | Hospitals, University | Humans | Logistic Models | Male | Middle Aged | Pemphigoid, Bullous | Portugal | Prevalence | Sex Distribution [SUMMARY]
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[CONTENT] Age Distribution | Age Factors | Aged | Aged, 80 and over | Case-Control Studies | Central Nervous System Diseases | Comorbidity | Female | Hospitals, University | Humans | Logistic Models | Male | Middle Aged | Pemphigoid, Bullous | Portugal | Prevalence | Sex Distribution [SUMMARY]
[CONTENT] Age Distribution | Age Factors | Aged | Aged, 80 and over | Case-Control Studies | Central Nervous System Diseases | Comorbidity | Female | Hospitals, University | Humans | Logistic Models | Male | Middle Aged | Pemphigoid, Bullous | Portugal | Prevalence | Sex Distribution [SUMMARY]
[CONTENT] Age Distribution | Age Factors | Aged | Aged, 80 and over | Case-Control Studies | Central Nervous System Diseases | Comorbidity | Female | Hospitals, University | Humans | Logistic Models | Male | Middle Aged | Pemphigoid, Bullous | Portugal | Prevalence | Sex Distribution [SUMMARY]
[CONTENT] Age Distribution | Age Factors | Aged | Aged, 80 and over | Case-Control Studies | Central Nervous System Diseases | Comorbidity | Female | Hospitals, University | Humans | Logistic Models | Male | Middle Aged | Pemphigoid, Bullous | Portugal | Prevalence | Sex Distribution [SUMMARY]
[CONTENT] bullous pemphigoid bp | antigens bpag1 bpag2 | autoimmune blistering | pemphigoid bp common | autoimmune blistering disease [SUMMARY]
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[CONTENT] bullous pemphigoid bp | antigens bpag1 bpag2 | autoimmune blistering | pemphigoid bp common | autoimmune blistering disease [SUMMARY]
[CONTENT] bullous pemphigoid bp | antigens bpag1 bpag2 | autoimmune blistering | pemphigoid bp common | autoimmune blistering disease [SUMMARY]
[CONTENT] bullous pemphigoid bp | antigens bpag1 bpag2 | autoimmune blistering | pemphigoid bp common | autoimmune blistering disease [SUMMARY]
[CONTENT] bullous pemphigoid bp | antigens bpag1 bpag2 | autoimmune blistering | pemphigoid bp common | autoimmune blistering disease [SUMMARY]
[CONTENT] bp | patients | bp patients | association | controls | neurological | disorders | analysis | compared | treatment [SUMMARY]
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[CONTENT] bp | patients | bp patients | association | controls | neurological | disorders | analysis | compared | treatment [SUMMARY]
[CONTENT] bp | patients | bp patients | association | controls | neurological | disorders | analysis | compared | treatment [SUMMARY]
[CONTENT] bp | patients | bp patients | association | controls | neurological | disorders | analysis | compared | treatment [SUMMARY]
[CONTENT] bp | patients | bp patients | association | controls | neurological | disorders | analysis | compared | treatment [SUMMARY]
[CONTENT] bp | incidence | study | present | patients | factors | million | new cases million | bullous pemphigoid | annual [SUMMARY]
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[CONTENT] patients | bp | bp patients | controls | table | 95 ci | age | cases | ci | 95 [SUMMARY]
[CONTENT] interest possible role bp | association interest | studies association interest | studies association | required | required elucidate | required elucidate findings | identified association neurological diseases | identified association neurological | identified association [SUMMARY]
[CONTENT] bp | patients | bp patients | association | variables | study | analysis | conditions | comorbid conditions | comorbid [SUMMARY]
[CONTENT] bp | patients | bp patients | association | variables | study | analysis | conditions | comorbid conditions | comorbid [SUMMARY]
[CONTENT] BP ||| [SUMMARY]
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[CONTENT] At least one | 55.8% | BP | 20.5% ||| Comparing | 35.1 | 6.8% | 8.10 | 3.80-17.25 | 37.7 | 11.9% | 5.25 | 2.71 | 5.2 | 1.1% | 4.91 | 0.88-27.44 ||| BP ||| eight [SUMMARY]
[CONTENT] BP ||| BP [SUMMARY]
[CONTENT] BP ||| ||| Seventy-seven ||| 176 ||| ||| At least one | 55.8% | BP | 20.5% ||| Comparing | 35.1 | 6.8% | 8.10 | 3.80-17.25 | 37.7 | 11.9% | 5.25 | 2.71 | 5.2 | 1.1% | 4.91 | 0.88-27.44 ||| BP ||| eight ||| BP ||| BP [SUMMARY]
[CONTENT] BP ||| ||| Seventy-seven ||| 176 ||| ||| At least one | 55.8% | BP | 20.5% ||| Comparing | 35.1 | 6.8% | 8.10 | 3.80-17.25 | 37.7 | 11.9% | 5.25 | 2.71 | 5.2 | 1.1% | 4.91 | 0.88-27.44 ||| BP ||| eight ||| BP ||| BP [SUMMARY]
Cardiovascular and respiratory dysfunction in chronic obstructive pulmonary disease complicated by impaired peripheral oxygenation.
25709427
Impaired peripheral oxygenation (IPO)-related variables readily achieved with cardiopulmonary exercise testing (CPET) represent cardiovascular dysfunction. These variables include peak oxygen uptake ( [Formula: see text] predicted, anaerobic threshold [Formula: see text] predicted, [Formula: see text] rate slope <8.6 mL/watt, oxygen pulse <80% predicted, and ventilatory equivalents for O2 and CO2 at nadir of >31 and >34, respectively. Some of these six variables may be normal while the others are abnormal in patients with chronic obstructive pulmonary disease (COPD). This may result in confusion when using the interpretation algorithm for diagnostic purposes. We therefore hypothesized that patients found to have abnormal values for all six variables would have worse cardiovascular function than patients with abnormal values for none or some of these variables.
BACKGROUND
In this cross-sectional comparative study, 58 COPD patients attending a university teaching hospital underwent symptom-limited CPET with multiple lactate measurements. Patients with abnormal values in all six IPO-related variables were assigned to an IPO group while those who did not meet the requirements for the IPO group were assigned to a non-IPO group. Cardiovascular function was measured by two-dimensional echocardiography and [Formula: see text], and respiratory dynamics were compared between the two groups.
METHODS
Fourteen IPO and 43 non-IPO patients were entered into the study. Both groups were similar with regard to left ventricular ejection fraction and right ventricular morphology (P>0.05 for both). At peak exercise, both groups reached a similar heart rate level and [Formula: see text]. The IPO patients had an unfavorable dead space to tidal volume ratio, mean inspiratory tidal flow, and shallow breathing (P<0.05-P<0.001).
RESULTS
Our IPO and non-IPO patients with COPD had similar cardiovascular performance at rest and at peak exercise, indicating that IPO variables are non-specific for cardiovascular function in these patients. COPD patients with full IPO variables have more deranged ventilatory function.
CONCLUSION
[ "Aged", "Biomarkers", "Cardiovascular System", "Case-Control Studies", "China", "Cross-Sectional Studies", "Echocardiography", "Exercise Test", "Exercise Tolerance", "Forced Expiratory Volume", "Hospitals, University", "Humans", "Lactic Acid", "Lung", "Male", "Middle Aged", "Oxygen", "Oxygen Consumption", "Predictive Value of Tests", "Pulmonary Disease, Chronic Obstructive", "Respiration", "Spirometry", "Time Factors" ]
4334300
Introduction
Impaired peripheral oxygenation (IPO) of exercising muscles is caused by impaired circulation and/or mitochondrial function and a low arterial oxygen content, such that oxygen cannot flow adequately to myocytes.1 The mechanisms of IPO are quite different from those of hypoxemia, mostly due to respiratory pathology. IPO can seriously limit patients’ ability to perform certain activities of daily living, and the impact of related symptoms can be quite significant.2 Clinicians tend to screen for the causes of exertional dyspnea using non-invasive cardiopulmonary exercise testing (CPET).1,3–5 IPO-related variables obtained from CPET include peak oxygen uptake (V˙O2)<85% predicted, anaerobic threshold <40%V˙O2max predicted, V˙O2-work rate slope <8.6 mL/watt, oxygen pulse <80% predicted, and ventilatory equivalents for O2 and CO2 at nadirs of >31 and >34, respectively.1 These six individual IPO variables represented cardiovascular parameters, but are reported to be non-specific in discriminating chronic obstructive pulmonary disease (COPD) with and without chronic circulatory changes6–8 using invasive pulmonary artery catheterization.7,8 However, at present, it is not clear how we can effectively interpret the algorithm since some of the six variables may be normal while others are abnormal. We hypothesized that patients with all six variables found to be abnormal would have worse cardiovascular function than those with none or some having abnormal values. Our approach in this study was oriented toward interpretation of the CPET report, and we found that this approach may be more useful when evaluating IPO-related variables with regard to their clinical implications.
Study limitations
There are a number of limitations in this study that are worthy of note. First, our COPD cohort was comprised exclusively of males, and as such the results cannot be extrapolated to females. However, it should be noted that the incidence of COPD is relatively low in Taiwanese females. Second, IPO includes impairment of cardiac, hemoglobin, and/or peripheral vascular function, and as a result, IPO cannot be fully evaluated by two-dimensional echocardiography. Further study of the peripheral circulation using near-infrared spectroscopy during exercise might be helpful.36 Moreover, cardiac function at rest as evaluated by two-dimensional echocardiography may not represent cardiac function during exercise. However, performing an echocardiographic examination while the subject is exercising is technically difficult. Stress echocardiography using pharmacological agents is feasible; however, cardiac performance using this modality is different from that seen during exercise. Third, the patient grouping in this study is not precise, given that some patients in the non-IPO group had abnormal values in some of the variables relevant to IPO. Since none of our 57 patients had all six variables in the normal range, 1,000 patients or more would be required to identify 20 with normal values in all six variables. Fourth, one may argue that using V˙E/V˙CO2 alone instead of the six IPO-related variables might draw similar conclusions to the study. However, this is another issue, and V˙E/V˙CO2 alone cannot represent IPO. Finally, this study did not evaluate intrapulmonary shunt during exercise, although this may not be an issue given that there was no difference in partial pressure of arterial oxygen at peak exercise between the two groups (IPO 68.6±13.1 mmHg versus non-IPO group 71±15.1 mmHg, not statistically significant).37
Results
Fifty-eight consecutive male patients of mean age 64.6±6.1 years were enrolled in the study. After excluding one patient who did not reach the maximum exercise level when performing CPET, 14 patients were assigned to the IPO group, no patients were assigned to the non-IPO group, and the other 43 patients were assigned to the intermediate IPO group (Table 1). For the sake of simplicity, the latter two groups were deemed to be non-IPO groups. Table 2 presents the distribution of the six variables regarding the abnormal values for the non-IPO groups. The IPO and non-IPO groups had similar stages of COPD severity. The IPO group had more hyperinflated lungs and lower DLCO (P=0.05 to P<0.01; Table 1). Both groups performed at a similar level of maximum exercise effort. No patient experienced an acute exacerbation in the time interval between echocardiography and CPET. Table 3 shows that the two-dimensional echocardiographic findings, including left ventricular ejection fraction and right ventricular morphology, were similar between the two groups (all P>0.05). The heart rate percentage predicted maximum at peak exercise was similar between the two groups (IPO group: 77%±14% versus non-IPO group: 82%±10%, P=0.26). pH levels were higher at anaerobic threshold and peak exercise in the IPO group (P=0.007 and P=0.0007, respectively), with a smaller decrease in HCO3− concentration and increase in lactate concentration (3.6±0.5 mmol/L versus 5.7±0.3 mmol/L, P=0.02, and 1.4±1.8 mmol/L versus 2.9±1.8 mmol/L, P=0.003, respectively). The slopes of Δlactate/ΔV˙O2 were similar between the two groups (2.4 [error 0.15] versus 2.3 [error 0.1] mmol/L, not statistically significant). The IPO group had a rapid increase in V˙E but slower expansion of tidal volume in response to exercise (Figure 1A and D, both P<0.05). The IPO group had a significantly lower V˙E demand/capacity ratio (P<0.05) with slower inspiratory tidal flow and lower VT/total lung capacity expansion at both anaerobic threshold and peak exercise (Figure 1B, C, and E, P<0.01 and P<0.05, and both P≤0.001, respectively) and higher VD/VT, rapid shallow breathing index, and Borg/V˙O2 in the IPO group at peak exercise (Figure 1F–H, P<0.001, P<0.05, and P<0.01, respectively).
Conclusion
Although the six variables used herein are related to IPO or circulatory function, they are inconsistent with the findings of two-dimensional echocardiography and Δlactate/ΔV˙O2 in patients with COPD. Further analysis shows that the mechanisms of exercise intolerance in COPD-IPO patients are primarily due to derangements in airflow and/or dead space ventilation. Given the strength of our findings, this study might help with the interpretation of CPET reports for COPD patients.
[ "Study design", "Protocols and measurements", "Pulmonary function testing", "Maximum cardiopulmonary exercise testing", "Two-dimensional echocardiography", "Arterial blood sampling and lactate determination", "Statistical analysis", "Conclusion" ]
[ "In this cross-sectional comparative study, the patients were divided into three groups based on six variables obtained from CPET. Patients with abnormal values for all six variables were assigned to a full IPO group, those with normal values for all six variables were assigned to a non-IPO group, and the remaining patients were assigned to an intermediate IPO group. Two-dimensional echocardiography, changes (Δ) in lactate, Δ in oxygen uptake \n(V˙O2), a parameter of cardiovascular function,9 and arterial pH values were compared across the groups. Arterial pH values should be lower in patients with cardiovascular dysfunction than in those without cardiovascular dysfunction performing at the same exercise intensity or cardiovascular stress level. A comparison of respiratory dynamics was performed across the groups. The institutional review board of Chung Shan Medical University Hospital approved the study (approval number CS11144) and all participants provided their written informed consent. This trial is registered with the number CSH-2012-C-23 at Chung Shan Medical University Hospital, Taichung, Taiwan.", " Pulmonary function testing FEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl.\nFEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl.\n Maximum cardiopulmonary exercise testing After acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, \nV˙O2(mL/min), \nV˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and \nV˙O2peak prediction equations.\nThe \nV˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as \nV˙O2peak or \nV˙O2max.15\nMaximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups.\nExercise intensity or cardiovascular stress level was defined as follows:\nExercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age.\nVentilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4\nBreathing reserve=1−V˙Epeak/direct MVV(2)where \nV˙Epeak/direct MVV indicates \nV˙E demand/capacity ratio.\nMean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3)\nRapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4)\nAfter acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, \nV˙O2(mL/min), \nV˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and \nV˙O2peak prediction equations.\nThe \nV˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as \nV˙O2peak or \nV˙O2max.15\nMaximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups.\nExercise intensity or cardiovascular stress level was defined as follows:\nExercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age.\nVentilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4\nBreathing reserve=1−V˙Epeak/direct MVV(2)where \nV˙Epeak/direct MVV indicates \nV˙E demand/capacity ratio.\nMean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3)\nRapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4)\n Two-dimensional echocardiography Two-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21\nTwo-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21\n Arterial blood sampling and lactate determination Brachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA).\nAt the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23\nThe slopes of lactate as a function of \nV˙O2 calculated using linear regression \n(Δlactate/ΔV˙O2) were compared across the groups.\nBrachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA).\nAt the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23\nThe slopes of lactate as a function of \nV˙O2 calculated using linear regression \n(Δlactate/ΔV˙O2) were compared across the groups.", "FEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl.", "After acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, \nV˙O2(mL/min), \nV˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and \nV˙O2peak prediction equations.\nThe \nV˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as \nV˙O2peak or \nV˙O2max.15\nMaximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups.\nExercise intensity or cardiovascular stress level was defined as follows:\nExercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age.\nVentilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4\nBreathing reserve=1−V˙Epeak/direct MVV(2)where \nV˙Epeak/direct MVV indicates \nV˙E demand/capacity ratio.\nMean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3)\nRapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4)", "Two-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21", "Brachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA).\nAt the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23\nThe slopes of lactate as a function of \nV˙O2 calculated using linear regression \n(Δlactate/ΔV˙O2) were compared across the groups.", "The data are shown as the mean ± standard deviation or median (interquartile range). Analysis of variance was initially considered for comparing the means across the groups; however, there were no patients in the non-IPO group. Therefore, only two groups were established. Thus, the unpaired-t-test or Mann–Whitney U-test was used to compare the means between the two independent groups. Fisher’s Exact test for contingency tables was used to compare the stages of COPD between the two groups. A P<0.05 was considered to be statistically significant, and P<0.1 but P>0.05 was considered to have a trend to be significant.24 All statistical procedures were performed using SAS software package version 9.3 (SAS Institute Inc, Cary, NC, USA).", "Although the six variables used herein are related to IPO or circulatory function, they are inconsistent with the findings of two-dimensional echocardiography and \nΔlactate/ΔV˙O2 in patients with COPD. Further analysis shows that the mechanisms of exercise intolerance in COPD-IPO patients are primarily due to derangements in airflow and/or dead space ventilation. Given the strength of our findings, this study might help with the interpretation of CPET reports for COPD patients." ]
[ "methods", null, null, null, null, null, "methods", null ]
[ "Introduction", "Materials and methods", "Study design", "Subjects", "Protocols and measurements", "Pulmonary function testing", "Maximum cardiopulmonary exercise testing", "Two-dimensional echocardiography", "Arterial blood sampling and lactate determination", "Statistical analysis", "Results", "Discussion", "Study limitations", "Conclusion" ]
[ "Impaired peripheral oxygenation (IPO) of exercising muscles is caused by impaired circulation and/or mitochondrial function and a low arterial oxygen content, such that oxygen cannot flow adequately to myocytes.1 The mechanisms of IPO are quite different from those of hypoxemia, mostly due to respiratory pathology. IPO can seriously limit patients’ ability to perform certain activities of daily living, and the impact of related symptoms can be quite significant.2\nClinicians tend to screen for the causes of exertional dyspnea using non-invasive cardiopulmonary exercise testing (CPET).1,3–5 IPO-related variables obtained from CPET include peak oxygen uptake \n(V˙O2)<85% predicted, anaerobic threshold \n<40%V˙O2max predicted, \nV˙O2-work rate slope <8.6 mL/watt, oxygen pulse <80% predicted, and ventilatory equivalents for O2 and CO2 at nadirs of >31 and >34, respectively.1\nThese six individual IPO variables represented cardiovascular parameters, but are reported to be non-specific in discriminating chronic obstructive pulmonary disease (COPD) with and without chronic circulatory changes6–8 using invasive pulmonary artery catheterization.7,8 However, at present, it is not clear how we can effectively interpret the algorithm since some of the six variables may be normal while others are abnormal. We hypothesized that patients with all six variables found to be abnormal would have worse cardiovascular function than those with none or some having abnormal values. Our approach in this study was oriented toward interpretation of the CPET report, and we found that this approach may be more useful when evaluating IPO-related variables with regard to their clinical implications.", " Study design In this cross-sectional comparative study, the patients were divided into three groups based on six variables obtained from CPET. Patients with abnormal values for all six variables were assigned to a full IPO group, those with normal values for all six variables were assigned to a non-IPO group, and the remaining patients were assigned to an intermediate IPO group. Two-dimensional echocardiography, changes (Δ) in lactate, Δ in oxygen uptake \n(V˙O2), a parameter of cardiovascular function,9 and arterial pH values were compared across the groups. Arterial pH values should be lower in patients with cardiovascular dysfunction than in those without cardiovascular dysfunction performing at the same exercise intensity or cardiovascular stress level. A comparison of respiratory dynamics was performed across the groups. The institutional review board of Chung Shan Medical University Hospital approved the study (approval number CS11144) and all participants provided their written informed consent. This trial is registered with the number CSH-2012-C-23 at Chung Shan Medical University Hospital, Taichung, Taiwan.\nIn this cross-sectional comparative study, the patients were divided into three groups based on six variables obtained from CPET. Patients with abnormal values for all six variables were assigned to a full IPO group, those with normal values for all six variables were assigned to a non-IPO group, and the remaining patients were assigned to an intermediate IPO group. Two-dimensional echocardiography, changes (Δ) in lactate, Δ in oxygen uptake \n(V˙O2), a parameter of cardiovascular function,9 and arterial pH values were compared across the groups. Arterial pH values should be lower in patients with cardiovascular dysfunction than in those without cardiovascular dysfunction performing at the same exercise intensity or cardiovascular stress level. A comparison of respiratory dynamics was performed across the groups. The institutional review board of Chung Shan Medical University Hospital approved the study (approval number CS11144) and all participants provided their written informed consent. This trial is registered with the number CSH-2012-C-23 at Chung Shan Medical University Hospital, Taichung, Taiwan.\n Subjects Global Initiative for Chronic Obstructive Lung Disease criteria were used to diagnose COPD.10 Adult patients with COPD who underwent lung function tests were enrolled only if their forced expired volume in one second (FEV1) was <80% of the predicted value and their FEV1/forced vital capacity ratio was <70%. If they agreed, they performed symptom-limited incremental CPET with arterial blood gas analysis and lactate measurements. All patients were clinically stable and had had no significant changes in medication in the month prior to performing the tests. Patients were excluded if they had significant comorbidities, such as left ventricular failure, renal failure, cancer, significant anemia, peripheral arterial occlusive disease, uncontrolled diabetes mellitus, or hypertension, or if they were participating in any physical training program during the study period.\nGlobal Initiative for Chronic Obstructive Lung Disease criteria were used to diagnose COPD.10 Adult patients with COPD who underwent lung function tests were enrolled only if their forced expired volume in one second (FEV1) was <80% of the predicted value and their FEV1/forced vital capacity ratio was <70%. If they agreed, they performed symptom-limited incremental CPET with arterial blood gas analysis and lactate measurements. All patients were clinically stable and had had no significant changes in medication in the month prior to performing the tests. Patients were excluded if they had significant comorbidities, such as left ventricular failure, renal failure, cancer, significant anemia, peripheral arterial occlusive disease, uncontrolled diabetes mellitus, or hypertension, or if they were participating in any physical training program during the study period.\n Protocols and measurements Pulmonary function testing FEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl.\nFEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl.\n Maximum cardiopulmonary exercise testing After acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, \nV˙O2(mL/min), \nV˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and \nV˙O2peak prediction equations.\nThe \nV˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as \nV˙O2peak or \nV˙O2max.15\nMaximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups.\nExercise intensity or cardiovascular stress level was defined as follows:\nExercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age.\nVentilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4\nBreathing reserve=1−V˙Epeak/direct MVV(2)where \nV˙Epeak/direct MVV indicates \nV˙E demand/capacity ratio.\nMean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3)\nRapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4)\nAfter acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, \nV˙O2(mL/min), \nV˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and \nV˙O2peak prediction equations.\nThe \nV˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as \nV˙O2peak or \nV˙O2max.15\nMaximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups.\nExercise intensity or cardiovascular stress level was defined as follows:\nExercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age.\nVentilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4\nBreathing reserve=1−V˙Epeak/direct MVV(2)where \nV˙Epeak/direct MVV indicates \nV˙E demand/capacity ratio.\nMean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3)\nRapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4)\n Two-dimensional echocardiography Two-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21\nTwo-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21\n Arterial blood sampling and lactate determination Brachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA).\nAt the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23\nThe slopes of lactate as a function of \nV˙O2 calculated using linear regression \n(Δlactate/ΔV˙O2) were compared across the groups.\nBrachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA).\nAt the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23\nThe slopes of lactate as a function of \nV˙O2 calculated using linear regression \n(Δlactate/ΔV˙O2) were compared across the groups.\n Pulmonary function testing FEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl.\nFEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl.\n Maximum cardiopulmonary exercise testing After acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, \nV˙O2(mL/min), \nV˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and \nV˙O2peak prediction equations.\nThe \nV˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as \nV˙O2peak or \nV˙O2max.15\nMaximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups.\nExercise intensity or cardiovascular stress level was defined as follows:\nExercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age.\nVentilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4\nBreathing reserve=1−V˙Epeak/direct MVV(2)where \nV˙Epeak/direct MVV indicates \nV˙E demand/capacity ratio.\nMean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3)\nRapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4)\nAfter acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, \nV˙O2(mL/min), \nV˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and \nV˙O2peak prediction equations.\nThe \nV˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as \nV˙O2peak or \nV˙O2max.15\nMaximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups.\nExercise intensity or cardiovascular stress level was defined as follows:\nExercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age.\nVentilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4\nBreathing reserve=1−V˙Epeak/direct MVV(2)where \nV˙Epeak/direct MVV indicates \nV˙E demand/capacity ratio.\nMean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3)\nRapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4)\n Two-dimensional echocardiography Two-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21\nTwo-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21\n Arterial blood sampling and lactate determination Brachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA).\nAt the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23\nThe slopes of lactate as a function of \nV˙O2 calculated using linear regression \n(Δlactate/ΔV˙O2) were compared across the groups.\nBrachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA).\nAt the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23\nThe slopes of lactate as a function of \nV˙O2 calculated using linear regression \n(Δlactate/ΔV˙O2) were compared across the groups.\n Statistical analysis The data are shown as the mean ± standard deviation or median (interquartile range). Analysis of variance was initially considered for comparing the means across the groups; however, there were no patients in the non-IPO group. Therefore, only two groups were established. Thus, the unpaired-t-test or Mann–Whitney U-test was used to compare the means between the two independent groups. Fisher’s Exact test for contingency tables was used to compare the stages of COPD between the two groups. A P<0.05 was considered to be statistically significant, and P<0.1 but P>0.05 was considered to have a trend to be significant.24 All statistical procedures were performed using SAS software package version 9.3 (SAS Institute Inc, Cary, NC, USA).\nThe data are shown as the mean ± standard deviation or median (interquartile range). Analysis of variance was initially considered for comparing the means across the groups; however, there were no patients in the non-IPO group. Therefore, only two groups were established. Thus, the unpaired-t-test or Mann–Whitney U-test was used to compare the means between the two independent groups. Fisher’s Exact test for contingency tables was used to compare the stages of COPD between the two groups. A P<0.05 was considered to be statistically significant, and P<0.1 but P>0.05 was considered to have a trend to be significant.24 All statistical procedures were performed using SAS software package version 9.3 (SAS Institute Inc, Cary, NC, USA).", "In this cross-sectional comparative study, the patients were divided into three groups based on six variables obtained from CPET. Patients with abnormal values for all six variables were assigned to a full IPO group, those with normal values for all six variables were assigned to a non-IPO group, and the remaining patients were assigned to an intermediate IPO group. Two-dimensional echocardiography, changes (Δ) in lactate, Δ in oxygen uptake \n(V˙O2), a parameter of cardiovascular function,9 and arterial pH values were compared across the groups. Arterial pH values should be lower in patients with cardiovascular dysfunction than in those without cardiovascular dysfunction performing at the same exercise intensity or cardiovascular stress level. A comparison of respiratory dynamics was performed across the groups. The institutional review board of Chung Shan Medical University Hospital approved the study (approval number CS11144) and all participants provided their written informed consent. This trial is registered with the number CSH-2012-C-23 at Chung Shan Medical University Hospital, Taichung, Taiwan.", "Global Initiative for Chronic Obstructive Lung Disease criteria were used to diagnose COPD.10 Adult patients with COPD who underwent lung function tests were enrolled only if their forced expired volume in one second (FEV1) was <80% of the predicted value and their FEV1/forced vital capacity ratio was <70%. If they agreed, they performed symptom-limited incremental CPET with arterial blood gas analysis and lactate measurements. All patients were clinically stable and had had no significant changes in medication in the month prior to performing the tests. Patients were excluded if they had significant comorbidities, such as left ventricular failure, renal failure, cancer, significant anemia, peripheral arterial occlusive disease, uncontrolled diabetes mellitus, or hypertension, or if they were participating in any physical training program during the study period.", " Pulmonary function testing FEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl.\nFEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl.\n Maximum cardiopulmonary exercise testing After acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, \nV˙O2(mL/min), \nV˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and \nV˙O2peak prediction equations.\nThe \nV˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as \nV˙O2peak or \nV˙O2max.15\nMaximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups.\nExercise intensity or cardiovascular stress level was defined as follows:\nExercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age.\nVentilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4\nBreathing reserve=1−V˙Epeak/direct MVV(2)where \nV˙Epeak/direct MVV indicates \nV˙E demand/capacity ratio.\nMean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3)\nRapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4)\nAfter acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, \nV˙O2(mL/min), \nV˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and \nV˙O2peak prediction equations.\nThe \nV˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as \nV˙O2peak or \nV˙O2max.15\nMaximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups.\nExercise intensity or cardiovascular stress level was defined as follows:\nExercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age.\nVentilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4\nBreathing reserve=1−V˙Epeak/direct MVV(2)where \nV˙Epeak/direct MVV indicates \nV˙E demand/capacity ratio.\nMean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3)\nRapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4)\n Two-dimensional echocardiography Two-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21\nTwo-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21\n Arterial blood sampling and lactate determination Brachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA).\nAt the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23\nThe slopes of lactate as a function of \nV˙O2 calculated using linear regression \n(Δlactate/ΔV˙O2) were compared across the groups.\nBrachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA).\nAt the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23\nThe slopes of lactate as a function of \nV˙O2 calculated using linear regression \n(Δlactate/ΔV˙O2) were compared across the groups.", "FEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl.", "After acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, \nV˙O2(mL/min), \nV˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and \nV˙O2peak prediction equations.\nThe \nV˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as \nV˙O2peak or \nV˙O2max.15\nMaximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups.\nExercise intensity or cardiovascular stress level was defined as follows:\nExercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age.\nVentilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4\nBreathing reserve=1−V˙Epeak/direct MVV(2)where \nV˙Epeak/direct MVV indicates \nV˙E demand/capacity ratio.\nMean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3)\nRapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4)", "Two-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21", "Brachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA).\nAt the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23\nThe slopes of lactate as a function of \nV˙O2 calculated using linear regression \n(Δlactate/ΔV˙O2) were compared across the groups.", "The data are shown as the mean ± standard deviation or median (interquartile range). Analysis of variance was initially considered for comparing the means across the groups; however, there were no patients in the non-IPO group. Therefore, only two groups were established. Thus, the unpaired-t-test or Mann–Whitney U-test was used to compare the means between the two independent groups. Fisher’s Exact test for contingency tables was used to compare the stages of COPD between the two groups. A P<0.05 was considered to be statistically significant, and P<0.1 but P>0.05 was considered to have a trend to be significant.24 All statistical procedures were performed using SAS software package version 9.3 (SAS Institute Inc, Cary, NC, USA).", "Fifty-eight consecutive male patients of mean age 64.6±6.1 years were enrolled in the study. After excluding one patient who did not reach the maximum exercise level when performing CPET, 14 patients were assigned to the IPO group, no patients were assigned to the non-IPO group, and the other 43 patients were assigned to the intermediate IPO group (Table 1). For the sake of simplicity, the latter two groups were deemed to be non-IPO groups. Table 2 presents the distribution of the six variables regarding the abnormal values for the non-IPO groups. The IPO and non-IPO groups had similar stages of COPD severity. The IPO group had more hyperinflated lungs and lower DLCO (P=0.05 to P<0.01; Table 1). Both groups performed at a similar level of maximum exercise effort.\nNo patient experienced an acute exacerbation in the time interval between echocardiography and CPET. Table 3 shows that the two-dimensional echocardiographic findings, including left ventricular ejection fraction and right ventricular morphology, were similar between the two groups (all P>0.05).\nThe heart rate percentage predicted maximum at peak exercise was similar between the two groups (IPO group: 77%±14% versus non-IPO group: 82%±10%, P=0.26). pH levels were higher at anaerobic threshold and peak exercise in the IPO group (P=0.007 and P=0.0007, respectively), with a smaller decrease in HCO3− concentration and increase in lactate concentration (3.6±0.5 mmol/L versus 5.7±0.3 mmol/L, P=0.02, and 1.4±1.8 mmol/L versus 2.9±1.8 mmol/L, P=0.003, respectively). The slopes of \nΔlactate/ΔV˙O2 were similar between the two groups (2.4 [error 0.15] versus 2.3 [error 0.1] mmol/L, not statistically significant).\nThe IPO group had a rapid increase in \nV˙E but slower expansion of tidal volume in response to exercise (Figure 1A and D, both P<0.05). The IPO group had a significantly lower \nV˙E demand/capacity ratio (P<0.05) with slower inspiratory tidal flow and lower VT/total lung capacity expansion at both anaerobic threshold and peak exercise (Figure 1B, C, and E, P<0.01 and P<0.05, and both P≤0.001, respectively) and higher VD/VT, rapid shallow breathing index, and \nBorg/V˙O2 in the IPO group at peak exercise (Figure 1F–H, P<0.001, P<0.05, and P<0.01, respectively).", "In this study, COPD patients with full IPO and those with non-IPO had similarly impaired forced vital capacity, FEV1, and COPD severity (Table 1). Both groups had different exercise capacity with very different cardiovascular exercise variables (Table 1), but were similar in terms of cardiovascular function measured by two-dimensional echocardiography and \nΔlactate/ΔV˙O2 (Table 3). These findings suggest that cardiovascular variables on CPET cannot predict cardiac function morphologically. We therefore further differentiated the mechanism of full IPO and non-IPO during exercise. We found that patients with IPO had much poorer airflow and lung expansion and a greater perception of breathlessness (Figure 1).\nLeft ventricular performance has been reported not to be impaired in COPD patients.25 A previous study reported that there were no differences in oxygen uptake, work rate, oxygen pulse, and heart rate at peak exercise between patients with and without pulmonary arterial hypertension.8 The authors concluded that ventilatory limitation itself was the primary factor causing exercise intolerance in COPD patients. Circulatory impairment is not usually a limiting factor for exercise intolerance in patients with COPD unless complications of severe pulmonary hypertension are involved.26 The cardiovascular response to exercise was constrained, but not impaired, by dynamic hyperinflation or intrathoracic pressure swings limiting ventilation in COPD patients.27–29 A study using multiple regression analysis showed that ventilatory inefficiency was not caused by oxygen uptake, work rate, oxygen pulse, or circulatory power at peak exercise, but was related to expiratory flow limitations and dynamic hyperinflation,30 which is consistent with other reports.31,32 Although all of the variables found in previous reports were comprehensive, they cannot be directly used when interpreting a CPET report. Our approach to the present study was oriented toward interpretation of the CPET.\nWe did not use pulmonary arterial hypertension as a study criterion because of the invasiveness of pulmonary arterial catheterization. Instead, we attempted to use the six non-invasive variables relating to circulatory function to categorize our COPD patients. We found that the circulatory function of the IPO patients was similar to that of the non-IPO patients according to a two-dimensional echocardiography study and by utilizing the slope of \nΔlactate/ΔV˙O2, which is a marker of cardiovascular impairment.30 In addition, relatively low changes in HCO3− and lactate concentrations and higher pH levels at peak exercise in the IPO group did not support cardiovascular limitations as being the primary factor of exercise limitation.\nResting FEV1, DLCO, peak inspiratory pressure, and exertional maximum \nV˙E play a pivotal role in exercise intolerance in patients with COPD.33,34 In the present study, the IPO group showed a lower \nV˙E demand/capacity, probably due to the slower inspiratory tidal flow not able to adequately increase \nV˙E further in response to exercise, thereby reaching the ventilatory limit at an earlier stage. The slower inspiratory tidal flow and poorer tidal volume expansion might be due to higher tension of the diaphragm caused by increased VD/VT when approaching peak exercise (Figure 2). This notion is supported by studies in lung volume reduction surgery and bronchodilator use showing decreases in VD/VT resulting in airflow improvement.31,32 Increased VD/VT contributes to dynamic hyperinflation,35 thereby resulting in more rapid shallow breathing and a greater perception of dyspnea (Figure 1G and H). In the present study, a strong statistical power of 0.98 for VD/VT was estimated, given 14 subjects with a mean VD/VT of 0.51±0.09 in the IPO group and of 0.4±0.09 in the non-IPO group, and the probability of type I error of 0.05.\n Study limitations There are a number of limitations in this study that are worthy of note. First, our COPD cohort was comprised exclusively of males, and as such the results cannot be extrapolated to females. However, it should be noted that the incidence of COPD is relatively low in Taiwanese females. Second, IPO includes impairment of cardiac, hemoglobin, and/or peripheral vascular function, and as a result, IPO cannot be fully evaluated by two-dimensional echocardiography. Further study of the peripheral circulation using near-infrared spectroscopy during exercise might be helpful.36 Moreover, cardiac function at rest as evaluated by two-dimensional echocardiography may not represent cardiac function during exercise. However, performing an echocardiographic examination while the subject is exercising is technically difficult. Stress echocardiography using pharmacological agents is feasible; however, cardiac performance using this modality is different from that seen during exercise. Third, the patient grouping in this study is not precise, given that some patients in the non-IPO group had abnormal values in some of the variables relevant to IPO. Since none of our 57 patients had all six variables in the normal range, 1,000 patients or more would be required to identify 20 with normal values in all six variables. Fourth, one may argue that using \nV˙E/V˙CO2 alone instead of the six IPO-related variables might draw similar conclusions to the study. However, this is another issue, and \nV˙E/V˙CO2 alone cannot represent IPO. Finally, this study did not evaluate intrapulmonary shunt during exercise, although this may not be an issue given that there was no difference in partial pressure of arterial oxygen at peak exercise between the two groups (IPO 68.6±13.1 mmHg versus non-IPO group 71±15.1 mmHg, not statistically significant).37\nThere are a number of limitations in this study that are worthy of note. First, our COPD cohort was comprised exclusively of males, and as such the results cannot be extrapolated to females. However, it should be noted that the incidence of COPD is relatively low in Taiwanese females. Second, IPO includes impairment of cardiac, hemoglobin, and/or peripheral vascular function, and as a result, IPO cannot be fully evaluated by two-dimensional echocardiography. Further study of the peripheral circulation using near-infrared spectroscopy during exercise might be helpful.36 Moreover, cardiac function at rest as evaluated by two-dimensional echocardiography may not represent cardiac function during exercise. However, performing an echocardiographic examination while the subject is exercising is technically difficult. Stress echocardiography using pharmacological agents is feasible; however, cardiac performance using this modality is different from that seen during exercise. Third, the patient grouping in this study is not precise, given that some patients in the non-IPO group had abnormal values in some of the variables relevant to IPO. Since none of our 57 patients had all six variables in the normal range, 1,000 patients or more would be required to identify 20 with normal values in all six variables. Fourth, one may argue that using \nV˙E/V˙CO2 alone instead of the six IPO-related variables might draw similar conclusions to the study. However, this is another issue, and \nV˙E/V˙CO2 alone cannot represent IPO. Finally, this study did not evaluate intrapulmonary shunt during exercise, although this may not be an issue given that there was no difference in partial pressure of arterial oxygen at peak exercise between the two groups (IPO 68.6±13.1 mmHg versus non-IPO group 71±15.1 mmHg, not statistically significant).37", "There are a number of limitations in this study that are worthy of note. First, our COPD cohort was comprised exclusively of males, and as such the results cannot be extrapolated to females. However, it should be noted that the incidence of COPD is relatively low in Taiwanese females. Second, IPO includes impairment of cardiac, hemoglobin, and/or peripheral vascular function, and as a result, IPO cannot be fully evaluated by two-dimensional echocardiography. Further study of the peripheral circulation using near-infrared spectroscopy during exercise might be helpful.36 Moreover, cardiac function at rest as evaluated by two-dimensional echocardiography may not represent cardiac function during exercise. However, performing an echocardiographic examination while the subject is exercising is technically difficult. Stress echocardiography using pharmacological agents is feasible; however, cardiac performance using this modality is different from that seen during exercise. Third, the patient grouping in this study is not precise, given that some patients in the non-IPO group had abnormal values in some of the variables relevant to IPO. Since none of our 57 patients had all six variables in the normal range, 1,000 patients or more would be required to identify 20 with normal values in all six variables. Fourth, one may argue that using \nV˙E/V˙CO2 alone instead of the six IPO-related variables might draw similar conclusions to the study. However, this is another issue, and \nV˙E/V˙CO2 alone cannot represent IPO. Finally, this study did not evaluate intrapulmonary shunt during exercise, although this may not be an issue given that there was no difference in partial pressure of arterial oxygen at peak exercise between the two groups (IPO 68.6±13.1 mmHg versus non-IPO group 71±15.1 mmHg, not statistically significant).37", "Although the six variables used herein are related to IPO or circulatory function, they are inconsistent with the findings of two-dimensional echocardiography and \nΔlactate/ΔV˙O2 in patients with COPD. Further analysis shows that the mechanisms of exercise intolerance in COPD-IPO patients are primarily due to derangements in airflow and/or dead space ventilation. Given the strength of our findings, this study might help with the interpretation of CPET reports for COPD patients." ]
[ "intro", "materials|methods", "methods", "subjects", null, null, null, null, null, "methods", "results", "discussion", "methods", null ]
[ "dead space ventilation", "dynamic hyperinflation", "air-trapping", "inspiratory tidal flow rate", "lung function", "cardiovascular function", "oxygen pulse" ]
Introduction: Impaired peripheral oxygenation (IPO) of exercising muscles is caused by impaired circulation and/or mitochondrial function and a low arterial oxygen content, such that oxygen cannot flow adequately to myocytes.1 The mechanisms of IPO are quite different from those of hypoxemia, mostly due to respiratory pathology. IPO can seriously limit patients’ ability to perform certain activities of daily living, and the impact of related symptoms can be quite significant.2 Clinicians tend to screen for the causes of exertional dyspnea using non-invasive cardiopulmonary exercise testing (CPET).1,3–5 IPO-related variables obtained from CPET include peak oxygen uptake (V˙O2)<85% predicted, anaerobic threshold <40%V˙O2max predicted, V˙O2-work rate slope <8.6 mL/watt, oxygen pulse <80% predicted, and ventilatory equivalents for O2 and CO2 at nadirs of >31 and >34, respectively.1 These six individual IPO variables represented cardiovascular parameters, but are reported to be non-specific in discriminating chronic obstructive pulmonary disease (COPD) with and without chronic circulatory changes6–8 using invasive pulmonary artery catheterization.7,8 However, at present, it is not clear how we can effectively interpret the algorithm since some of the six variables may be normal while others are abnormal. We hypothesized that patients with all six variables found to be abnormal would have worse cardiovascular function than those with none or some having abnormal values. Our approach in this study was oriented toward interpretation of the CPET report, and we found that this approach may be more useful when evaluating IPO-related variables with regard to their clinical implications. Materials and methods: Study design In this cross-sectional comparative study, the patients were divided into three groups based on six variables obtained from CPET. Patients with abnormal values for all six variables were assigned to a full IPO group, those with normal values for all six variables were assigned to a non-IPO group, and the remaining patients were assigned to an intermediate IPO group. Two-dimensional echocardiography, changes (Δ) in lactate, Δ in oxygen uptake (V˙O2), a parameter of cardiovascular function,9 and arterial pH values were compared across the groups. Arterial pH values should be lower in patients with cardiovascular dysfunction than in those without cardiovascular dysfunction performing at the same exercise intensity or cardiovascular stress level. A comparison of respiratory dynamics was performed across the groups. The institutional review board of Chung Shan Medical University Hospital approved the study (approval number CS11144) and all participants provided their written informed consent. This trial is registered with the number CSH-2012-C-23 at Chung Shan Medical University Hospital, Taichung, Taiwan. In this cross-sectional comparative study, the patients were divided into three groups based on six variables obtained from CPET. Patients with abnormal values for all six variables were assigned to a full IPO group, those with normal values for all six variables were assigned to a non-IPO group, and the remaining patients were assigned to an intermediate IPO group. Two-dimensional echocardiography, changes (Δ) in lactate, Δ in oxygen uptake (V˙O2), a parameter of cardiovascular function,9 and arterial pH values were compared across the groups. Arterial pH values should be lower in patients with cardiovascular dysfunction than in those without cardiovascular dysfunction performing at the same exercise intensity or cardiovascular stress level. A comparison of respiratory dynamics was performed across the groups. The institutional review board of Chung Shan Medical University Hospital approved the study (approval number CS11144) and all participants provided their written informed consent. This trial is registered with the number CSH-2012-C-23 at Chung Shan Medical University Hospital, Taichung, Taiwan. Subjects Global Initiative for Chronic Obstructive Lung Disease criteria were used to diagnose COPD.10 Adult patients with COPD who underwent lung function tests were enrolled only if their forced expired volume in one second (FEV1) was <80% of the predicted value and their FEV1/forced vital capacity ratio was <70%. If they agreed, they performed symptom-limited incremental CPET with arterial blood gas analysis and lactate measurements. All patients were clinically stable and had had no significant changes in medication in the month prior to performing the tests. Patients were excluded if they had significant comorbidities, such as left ventricular failure, renal failure, cancer, significant anemia, peripheral arterial occlusive disease, uncontrolled diabetes mellitus, or hypertension, or if they were participating in any physical training program during the study period. Global Initiative for Chronic Obstructive Lung Disease criteria were used to diagnose COPD.10 Adult patients with COPD who underwent lung function tests were enrolled only if their forced expired volume in one second (FEV1) was <80% of the predicted value and their FEV1/forced vital capacity ratio was <70%. If they agreed, they performed symptom-limited incremental CPET with arterial blood gas analysis and lactate measurements. All patients were clinically stable and had had no significant changes in medication in the month prior to performing the tests. Patients were excluded if they had significant comorbidities, such as left ventricular failure, renal failure, cancer, significant anemia, peripheral arterial occlusive disease, uncontrolled diabetes mellitus, or hypertension, or if they were participating in any physical training program during the study period. Protocols and measurements Pulmonary function testing FEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl. FEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl. Maximum cardiopulmonary exercise testing After acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, V˙O2(mL/min), V˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and V˙O2peak prediction equations. The V˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as V˙O2peak or V˙O2max.15 Maximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups. Exercise intensity or cardiovascular stress level was defined as follows: Exercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age. Ventilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4 Breathing reserve=1−V˙Epeak/direct MVV(2)where V˙Epeak/direct MVV indicates V˙E demand/capacity ratio. Mean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3) Rapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4) After acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, V˙O2(mL/min), V˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and V˙O2peak prediction equations. The V˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as V˙O2peak or V˙O2max.15 Maximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups. Exercise intensity or cardiovascular stress level was defined as follows: Exercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age. Ventilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4 Breathing reserve=1−V˙Epeak/direct MVV(2)where V˙Epeak/direct MVV indicates V˙E demand/capacity ratio. Mean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3) Rapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4) Two-dimensional echocardiography Two-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21 Two-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21 Arterial blood sampling and lactate determination Brachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA). At the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23 The slopes of lactate as a function of V˙O2 calculated using linear regression (Δlactate/ΔV˙O2) were compared across the groups. Brachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA). At the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23 The slopes of lactate as a function of V˙O2 calculated using linear regression (Δlactate/ΔV˙O2) were compared across the groups. Pulmonary function testing FEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl. FEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl. Maximum cardiopulmonary exercise testing After acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, V˙O2(mL/min), V˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and V˙O2peak prediction equations. The V˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as V˙O2peak or V˙O2max.15 Maximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups. Exercise intensity or cardiovascular stress level was defined as follows: Exercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age. Ventilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4 Breathing reserve=1−V˙Epeak/direct MVV(2)where V˙Epeak/direct MVV indicates V˙E demand/capacity ratio. Mean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3) Rapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4) After acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, V˙O2(mL/min), V˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and V˙O2peak prediction equations. The V˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as V˙O2peak or V˙O2max.15 Maximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups. Exercise intensity or cardiovascular stress level was defined as follows: Exercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age. Ventilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4 Breathing reserve=1−V˙Epeak/direct MVV(2)where V˙Epeak/direct MVV indicates V˙E demand/capacity ratio. Mean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3) Rapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4) Two-dimensional echocardiography Two-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21 Two-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21 Arterial blood sampling and lactate determination Brachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA). At the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23 The slopes of lactate as a function of V˙O2 calculated using linear regression (Δlactate/ΔV˙O2) were compared across the groups. Brachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA). At the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23 The slopes of lactate as a function of V˙O2 calculated using linear regression (Δlactate/ΔV˙O2) were compared across the groups. Statistical analysis The data are shown as the mean ± standard deviation or median (interquartile range). Analysis of variance was initially considered for comparing the means across the groups; however, there were no patients in the non-IPO group. Therefore, only two groups were established. Thus, the unpaired-t-test or Mann–Whitney U-test was used to compare the means between the two independent groups. Fisher’s Exact test for contingency tables was used to compare the stages of COPD between the two groups. A P<0.05 was considered to be statistically significant, and P<0.1 but P>0.05 was considered to have a trend to be significant.24 All statistical procedures were performed using SAS software package version 9.3 (SAS Institute Inc, Cary, NC, USA). The data are shown as the mean ± standard deviation or median (interquartile range). Analysis of variance was initially considered for comparing the means across the groups; however, there were no patients in the non-IPO group. Therefore, only two groups were established. Thus, the unpaired-t-test or Mann–Whitney U-test was used to compare the means between the two independent groups. Fisher’s Exact test for contingency tables was used to compare the stages of COPD between the two groups. A P<0.05 was considered to be statistically significant, and P<0.1 but P>0.05 was considered to have a trend to be significant.24 All statistical procedures were performed using SAS software package version 9.3 (SAS Institute Inc, Cary, NC, USA). Study design: In this cross-sectional comparative study, the patients were divided into three groups based on six variables obtained from CPET. Patients with abnormal values for all six variables were assigned to a full IPO group, those with normal values for all six variables were assigned to a non-IPO group, and the remaining patients were assigned to an intermediate IPO group. Two-dimensional echocardiography, changes (Δ) in lactate, Δ in oxygen uptake (V˙O2), a parameter of cardiovascular function,9 and arterial pH values were compared across the groups. Arterial pH values should be lower in patients with cardiovascular dysfunction than in those without cardiovascular dysfunction performing at the same exercise intensity or cardiovascular stress level. A comparison of respiratory dynamics was performed across the groups. The institutional review board of Chung Shan Medical University Hospital approved the study (approval number CS11144) and all participants provided their written informed consent. This trial is registered with the number CSH-2012-C-23 at Chung Shan Medical University Hospital, Taichung, Taiwan. Subjects: Global Initiative for Chronic Obstructive Lung Disease criteria were used to diagnose COPD.10 Adult patients with COPD who underwent lung function tests were enrolled only if their forced expired volume in one second (FEV1) was <80% of the predicted value and their FEV1/forced vital capacity ratio was <70%. If they agreed, they performed symptom-limited incremental CPET with arterial blood gas analysis and lactate measurements. All patients were clinically stable and had had no significant changes in medication in the month prior to performing the tests. Patients were excluded if they had significant comorbidities, such as left ventricular failure, renal failure, cancer, significant anemia, peripheral arterial occlusive disease, uncontrolled diabetes mellitus, or hypertension, or if they were participating in any physical training program during the study period. Protocols and measurements: Pulmonary function testing FEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl. FEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl. Maximum cardiopulmonary exercise testing After acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, V˙O2(mL/min), V˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and V˙O2peak prediction equations. The V˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as V˙O2peak or V˙O2max.15 Maximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups. Exercise intensity or cardiovascular stress level was defined as follows: Exercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age. Ventilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4 Breathing reserve=1−V˙Epeak/direct MVV(2)where V˙Epeak/direct MVV indicates V˙E demand/capacity ratio. Mean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3) Rapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4) After acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, V˙O2(mL/min), V˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and V˙O2peak prediction equations. The V˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as V˙O2peak or V˙O2max.15 Maximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups. Exercise intensity or cardiovascular stress level was defined as follows: Exercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age. Ventilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4 Breathing reserve=1−V˙Epeak/direct MVV(2)where V˙Epeak/direct MVV indicates V˙E demand/capacity ratio. Mean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3) Rapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4) Two-dimensional echocardiography Two-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21 Two-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21 Arterial blood sampling and lactate determination Brachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA). At the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23 The slopes of lactate as a function of V˙O2 calculated using linear regression (Δlactate/ΔV˙O2) were compared across the groups. Brachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA). At the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23 The slopes of lactate as a function of V˙O2 calculated using linear regression (Δlactate/ΔV˙O2) were compared across the groups. Pulmonary function testing: FEV1, total lung capacity, and residual volume were measured by spirometry and plethysmography (6200 Autobox DL, Yorba Linda, CA, USA, or MasterScreen™ Body, Carefusion, Würzburg, Germany) at body temperature, ambient atmospheric pressure, and fully saturated, using the best of three technically satisfactory readings.11–13 The diffusing capacity for carbon monoxide (DLCO) was measured by the single-breath technique. Direct maximum voluntary ventilation (MVV) was calculated from a 12-second maneuver of rapid and deep breathing as recommended for patients with COPD.14 All lung function data were obtained after inhaling 400 μg of fenoterol HCl. Maximum cardiopulmonary exercise testing: After acclimating to a computer-controlled and electronic-brake cycle ergometer (Medical Graphics, St Paul, MN, USA) and following a 2-minute rest period, each patient began a 2-minute period of unloaded cycling followed by a ramp-pattern exercise test to the limit of tolerance. Work rate was selected at a slope of 5–20 watts per minute based on a derived protocol formula.15 Twelve-lead electrocardiography, V˙O2(mL/min), V˙CO2(mL/min), minute ventilation, pulse rate, and oxyhemoglobin saturation were continuously measured. Blood pressure was recorded at the end of each minute and at the point where the patient reported having reached peak exercise. A dyspnea score was obtained using the Borg scale by asking the patients about their dyspnea levels while they were performing the ramp-pattern exercise at the end of each minute and at peak exercise. Please refer to Chuang and Lin16 for the anaerobic threshold, oxyhemoglobin saturation, calibrations of the pneumotachograph and O2 and CO2 analyzers, and V˙O2peak prediction equations. The V˙O2peak achieved by patients was the highest recorded value averaged over the last 15 seconds of loaded exercise and designated as V˙O2peak or V˙O2max.15 Maximum exercise effort achieved was a prerequisite for final analysis.4,5,17 Each criterion at peak exercise, such as respiratory exchange ratio ≥1.09, heart rate ≥85% of predicted maximum, pH ≤7.35, bicarbonate (HCO3−) concentration ≤21 mEq/L, change in HCO3− concentration between rest and peak exercise ≥4 mEq/L, and change in lactate concentration between rest and peak exercise ≥4 mEq/L represented one point. The maximum effort level was scored from 1 to 6 points. The accumulated points, representing the effort level of exercise, were compared across the groups. Exercise intensity or cardiovascular stress level was defined as follows: Exercise intensity or cardiovascular stress level=Heart ratte at peak exerciseHeart rate predicted maximum(1)where heart rate predicted maximum =220 – age. Ventilatory limitation was defined as either <30% or <11–15 L/min breathing reserve, calculated as follows:1,4 Breathing reserve=1−V˙Epeak/direct MVV(2)where V˙Epeak/direct MVV indicates V˙E demand/capacity ratio. Mean inspiratory tidal flow rate=Tidal volume (VT)(L)Inspiratory time (seconds)18(3) Rapid shallow breathing index=Breathing frequency (breath/min)VT(L)19(4) Two-dimensional echocardiography: Two-dimensional echocardiography (iE33, Philips, Seattle, WA, USA) was performed within 4 weeks before or after CPET by two experienced cardiologists who were blinded to the clinical data, lung function, and CPET reports. If there were acute exacerbations of COPD in the time between the two tests, one of the tests would be postponed. Parasternal, apical, and subcostal studies were conducted, and the definition of cor pulmonale was used according to previous reports.20,21 Arterial blood sampling and lactate determination: Brachial artery blood samples were drawn via an arterial catheter connected to a pressure transducer within the last 15 seconds of each minute after the start of exercise to the peak of exercise.22 Whole blood lactate was also analyzed (YSI Inc, Yellow Springs, OH, USA). At the peak of exercise, the dead space to tidal volume ratio (VD/VT) was calculated using a standard formula.23 The slopes of lactate as a function of V˙O2 calculated using linear regression (Δlactate/ΔV˙O2) were compared across the groups. Statistical analysis: The data are shown as the mean ± standard deviation or median (interquartile range). Analysis of variance was initially considered for comparing the means across the groups; however, there were no patients in the non-IPO group. Therefore, only two groups were established. Thus, the unpaired-t-test or Mann–Whitney U-test was used to compare the means between the two independent groups. Fisher’s Exact test for contingency tables was used to compare the stages of COPD between the two groups. A P<0.05 was considered to be statistically significant, and P<0.1 but P>0.05 was considered to have a trend to be significant.24 All statistical procedures were performed using SAS software package version 9.3 (SAS Institute Inc, Cary, NC, USA). Results: Fifty-eight consecutive male patients of mean age 64.6±6.1 years were enrolled in the study. After excluding one patient who did not reach the maximum exercise level when performing CPET, 14 patients were assigned to the IPO group, no patients were assigned to the non-IPO group, and the other 43 patients were assigned to the intermediate IPO group (Table 1). For the sake of simplicity, the latter two groups were deemed to be non-IPO groups. Table 2 presents the distribution of the six variables regarding the abnormal values for the non-IPO groups. The IPO and non-IPO groups had similar stages of COPD severity. The IPO group had more hyperinflated lungs and lower DLCO (P=0.05 to P<0.01; Table 1). Both groups performed at a similar level of maximum exercise effort. No patient experienced an acute exacerbation in the time interval between echocardiography and CPET. Table 3 shows that the two-dimensional echocardiographic findings, including left ventricular ejection fraction and right ventricular morphology, were similar between the two groups (all P>0.05). The heart rate percentage predicted maximum at peak exercise was similar between the two groups (IPO group: 77%±14% versus non-IPO group: 82%±10%, P=0.26). pH levels were higher at anaerobic threshold and peak exercise in the IPO group (P=0.007 and P=0.0007, respectively), with a smaller decrease in HCO3− concentration and increase in lactate concentration (3.6±0.5 mmol/L versus 5.7±0.3 mmol/L, P=0.02, and 1.4±1.8 mmol/L versus 2.9±1.8 mmol/L, P=0.003, respectively). The slopes of Δlactate/ΔV˙O2 were similar between the two groups (2.4 [error 0.15] versus 2.3 [error 0.1] mmol/L, not statistically significant). The IPO group had a rapid increase in V˙E but slower expansion of tidal volume in response to exercise (Figure 1A and D, both P<0.05). The IPO group had a significantly lower V˙E demand/capacity ratio (P<0.05) with slower inspiratory tidal flow and lower VT/total lung capacity expansion at both anaerobic threshold and peak exercise (Figure 1B, C, and E, P<0.01 and P<0.05, and both P≤0.001, respectively) and higher VD/VT, rapid shallow breathing index, and Borg/V˙O2 in the IPO group at peak exercise (Figure 1F–H, P<0.001, P<0.05, and P<0.01, respectively). Discussion: In this study, COPD patients with full IPO and those with non-IPO had similarly impaired forced vital capacity, FEV1, and COPD severity (Table 1). Both groups had different exercise capacity with very different cardiovascular exercise variables (Table 1), but were similar in terms of cardiovascular function measured by two-dimensional echocardiography and Δlactate/ΔV˙O2 (Table 3). These findings suggest that cardiovascular variables on CPET cannot predict cardiac function morphologically. We therefore further differentiated the mechanism of full IPO and non-IPO during exercise. We found that patients with IPO had much poorer airflow and lung expansion and a greater perception of breathlessness (Figure 1). Left ventricular performance has been reported not to be impaired in COPD patients.25 A previous study reported that there were no differences in oxygen uptake, work rate, oxygen pulse, and heart rate at peak exercise between patients with and without pulmonary arterial hypertension.8 The authors concluded that ventilatory limitation itself was the primary factor causing exercise intolerance in COPD patients. Circulatory impairment is not usually a limiting factor for exercise intolerance in patients with COPD unless complications of severe pulmonary hypertension are involved.26 The cardiovascular response to exercise was constrained, but not impaired, by dynamic hyperinflation or intrathoracic pressure swings limiting ventilation in COPD patients.27–29 A study using multiple regression analysis showed that ventilatory inefficiency was not caused by oxygen uptake, work rate, oxygen pulse, or circulatory power at peak exercise, but was related to expiratory flow limitations and dynamic hyperinflation,30 which is consistent with other reports.31,32 Although all of the variables found in previous reports were comprehensive, they cannot be directly used when interpreting a CPET report. Our approach to the present study was oriented toward interpretation of the CPET. We did not use pulmonary arterial hypertension as a study criterion because of the invasiveness of pulmonary arterial catheterization. Instead, we attempted to use the six non-invasive variables relating to circulatory function to categorize our COPD patients. We found that the circulatory function of the IPO patients was similar to that of the non-IPO patients according to a two-dimensional echocardiography study and by utilizing the slope of Δlactate/ΔV˙O2, which is a marker of cardiovascular impairment.30 In addition, relatively low changes in HCO3− and lactate concentrations and higher pH levels at peak exercise in the IPO group did not support cardiovascular limitations as being the primary factor of exercise limitation. Resting FEV1, DLCO, peak inspiratory pressure, and exertional maximum V˙E play a pivotal role in exercise intolerance in patients with COPD.33,34 In the present study, the IPO group showed a lower V˙E demand/capacity, probably due to the slower inspiratory tidal flow not able to adequately increase V˙E further in response to exercise, thereby reaching the ventilatory limit at an earlier stage. The slower inspiratory tidal flow and poorer tidal volume expansion might be due to higher tension of the diaphragm caused by increased VD/VT when approaching peak exercise (Figure 2). This notion is supported by studies in lung volume reduction surgery and bronchodilator use showing decreases in VD/VT resulting in airflow improvement.31,32 Increased VD/VT contributes to dynamic hyperinflation,35 thereby resulting in more rapid shallow breathing and a greater perception of dyspnea (Figure 1G and H). In the present study, a strong statistical power of 0.98 for VD/VT was estimated, given 14 subjects with a mean VD/VT of 0.51±0.09 in the IPO group and of 0.4±0.09 in the non-IPO group, and the probability of type I error of 0.05. Study limitations There are a number of limitations in this study that are worthy of note. First, our COPD cohort was comprised exclusively of males, and as such the results cannot be extrapolated to females. However, it should be noted that the incidence of COPD is relatively low in Taiwanese females. Second, IPO includes impairment of cardiac, hemoglobin, and/or peripheral vascular function, and as a result, IPO cannot be fully evaluated by two-dimensional echocardiography. Further study of the peripheral circulation using near-infrared spectroscopy during exercise might be helpful.36 Moreover, cardiac function at rest as evaluated by two-dimensional echocardiography may not represent cardiac function during exercise. However, performing an echocardiographic examination while the subject is exercising is technically difficult. Stress echocardiography using pharmacological agents is feasible; however, cardiac performance using this modality is different from that seen during exercise. Third, the patient grouping in this study is not precise, given that some patients in the non-IPO group had abnormal values in some of the variables relevant to IPO. Since none of our 57 patients had all six variables in the normal range, 1,000 patients or more would be required to identify 20 with normal values in all six variables. Fourth, one may argue that using V˙E/V˙CO2 alone instead of the six IPO-related variables might draw similar conclusions to the study. However, this is another issue, and V˙E/V˙CO2 alone cannot represent IPO. Finally, this study did not evaluate intrapulmonary shunt during exercise, although this may not be an issue given that there was no difference in partial pressure of arterial oxygen at peak exercise between the two groups (IPO 68.6±13.1 mmHg versus non-IPO group 71±15.1 mmHg, not statistically significant).37 There are a number of limitations in this study that are worthy of note. First, our COPD cohort was comprised exclusively of males, and as such the results cannot be extrapolated to females. However, it should be noted that the incidence of COPD is relatively low in Taiwanese females. Second, IPO includes impairment of cardiac, hemoglobin, and/or peripheral vascular function, and as a result, IPO cannot be fully evaluated by two-dimensional echocardiography. Further study of the peripheral circulation using near-infrared spectroscopy during exercise might be helpful.36 Moreover, cardiac function at rest as evaluated by two-dimensional echocardiography may not represent cardiac function during exercise. However, performing an echocardiographic examination while the subject is exercising is technically difficult. Stress echocardiography using pharmacological agents is feasible; however, cardiac performance using this modality is different from that seen during exercise. Third, the patient grouping in this study is not precise, given that some patients in the non-IPO group had abnormal values in some of the variables relevant to IPO. Since none of our 57 patients had all six variables in the normal range, 1,000 patients or more would be required to identify 20 with normal values in all six variables. Fourth, one may argue that using V˙E/V˙CO2 alone instead of the six IPO-related variables might draw similar conclusions to the study. However, this is another issue, and V˙E/V˙CO2 alone cannot represent IPO. Finally, this study did not evaluate intrapulmonary shunt during exercise, although this may not be an issue given that there was no difference in partial pressure of arterial oxygen at peak exercise between the two groups (IPO 68.6±13.1 mmHg versus non-IPO group 71±15.1 mmHg, not statistically significant).37 Study limitations: There are a number of limitations in this study that are worthy of note. First, our COPD cohort was comprised exclusively of males, and as such the results cannot be extrapolated to females. However, it should be noted that the incidence of COPD is relatively low in Taiwanese females. Second, IPO includes impairment of cardiac, hemoglobin, and/or peripheral vascular function, and as a result, IPO cannot be fully evaluated by two-dimensional echocardiography. Further study of the peripheral circulation using near-infrared spectroscopy during exercise might be helpful.36 Moreover, cardiac function at rest as evaluated by two-dimensional echocardiography may not represent cardiac function during exercise. However, performing an echocardiographic examination while the subject is exercising is technically difficult. Stress echocardiography using pharmacological agents is feasible; however, cardiac performance using this modality is different from that seen during exercise. Third, the patient grouping in this study is not precise, given that some patients in the non-IPO group had abnormal values in some of the variables relevant to IPO. Since none of our 57 patients had all six variables in the normal range, 1,000 patients or more would be required to identify 20 with normal values in all six variables. Fourth, one may argue that using V˙E/V˙CO2 alone instead of the six IPO-related variables might draw similar conclusions to the study. However, this is another issue, and V˙E/V˙CO2 alone cannot represent IPO. Finally, this study did not evaluate intrapulmonary shunt during exercise, although this may not be an issue given that there was no difference in partial pressure of arterial oxygen at peak exercise between the two groups (IPO 68.6±13.1 mmHg versus non-IPO group 71±15.1 mmHg, not statistically significant).37 Conclusion: Although the six variables used herein are related to IPO or circulatory function, they are inconsistent with the findings of two-dimensional echocardiography and Δlactate/ΔV˙O2 in patients with COPD. Further analysis shows that the mechanisms of exercise intolerance in COPD-IPO patients are primarily due to derangements in airflow and/or dead space ventilation. Given the strength of our findings, this study might help with the interpretation of CPET reports for COPD patients.
Background: Impaired peripheral oxygenation (IPO)-related variables readily achieved with cardiopulmonary exercise testing (CPET) represent cardiovascular dysfunction. These variables include peak oxygen uptake ( [Formula: see text] predicted, anaerobic threshold [Formula: see text] predicted, [Formula: see text] rate slope <8.6 mL/watt, oxygen pulse <80% predicted, and ventilatory equivalents for O2 and CO2 at nadir of >31 and >34, respectively. Some of these six variables may be normal while the others are abnormal in patients with chronic obstructive pulmonary disease (COPD). This may result in confusion when using the interpretation algorithm for diagnostic purposes. We therefore hypothesized that patients found to have abnormal values for all six variables would have worse cardiovascular function than patients with abnormal values for none or some of these variables. Methods: In this cross-sectional comparative study, 58 COPD patients attending a university teaching hospital underwent symptom-limited CPET with multiple lactate measurements. Patients with abnormal values in all six IPO-related variables were assigned to an IPO group while those who did not meet the requirements for the IPO group were assigned to a non-IPO group. Cardiovascular function was measured by two-dimensional echocardiography and [Formula: see text], and respiratory dynamics were compared between the two groups. Results: Fourteen IPO and 43 non-IPO patients were entered into the study. Both groups were similar with regard to left ventricular ejection fraction and right ventricular morphology (P>0.05 for both). At peak exercise, both groups reached a similar heart rate level and [Formula: see text]. The IPO patients had an unfavorable dead space to tidal volume ratio, mean inspiratory tidal flow, and shallow breathing (P<0.05-P<0.001). Conclusions: Our IPO and non-IPO patients with COPD had similar cardiovascular performance at rest and at peak exercise, indicating that IPO variables are non-specific for cardiovascular function in these patients. COPD patients with full IPO variables have more deranged ventilatory function.
Introduction: Impaired peripheral oxygenation (IPO) of exercising muscles is caused by impaired circulation and/or mitochondrial function and a low arterial oxygen content, such that oxygen cannot flow adequately to myocytes.1 The mechanisms of IPO are quite different from those of hypoxemia, mostly due to respiratory pathology. IPO can seriously limit patients’ ability to perform certain activities of daily living, and the impact of related symptoms can be quite significant.2 Clinicians tend to screen for the causes of exertional dyspnea using non-invasive cardiopulmonary exercise testing (CPET).1,3–5 IPO-related variables obtained from CPET include peak oxygen uptake (V˙O2)<85% predicted, anaerobic threshold <40%V˙O2max predicted, V˙O2-work rate slope <8.6 mL/watt, oxygen pulse <80% predicted, and ventilatory equivalents for O2 and CO2 at nadirs of >31 and >34, respectively.1 These six individual IPO variables represented cardiovascular parameters, but are reported to be non-specific in discriminating chronic obstructive pulmonary disease (COPD) with and without chronic circulatory changes6–8 using invasive pulmonary artery catheterization.7,8 However, at present, it is not clear how we can effectively interpret the algorithm since some of the six variables may be normal while others are abnormal. We hypothesized that patients with all six variables found to be abnormal would have worse cardiovascular function than those with none or some having abnormal values. Our approach in this study was oriented toward interpretation of the CPET report, and we found that this approach may be more useful when evaluating IPO-related variables with regard to their clinical implications. Conclusion: Although the six variables used herein are related to IPO or circulatory function, they are inconsistent with the findings of two-dimensional echocardiography and Δlactate/ΔV˙O2 in patients with COPD. Further analysis shows that the mechanisms of exercise intolerance in COPD-IPO patients are primarily due to derangements in airflow and/or dead space ventilation. Given the strength of our findings, this study might help with the interpretation of CPET reports for COPD patients.
Background: Impaired peripheral oxygenation (IPO)-related variables readily achieved with cardiopulmonary exercise testing (CPET) represent cardiovascular dysfunction. These variables include peak oxygen uptake ( [Formula: see text] predicted, anaerobic threshold [Formula: see text] predicted, [Formula: see text] rate slope <8.6 mL/watt, oxygen pulse <80% predicted, and ventilatory equivalents for O2 and CO2 at nadir of >31 and >34, respectively. Some of these six variables may be normal while the others are abnormal in patients with chronic obstructive pulmonary disease (COPD). This may result in confusion when using the interpretation algorithm for diagnostic purposes. We therefore hypothesized that patients found to have abnormal values for all six variables would have worse cardiovascular function than patients with abnormal values for none or some of these variables. Methods: In this cross-sectional comparative study, 58 COPD patients attending a university teaching hospital underwent symptom-limited CPET with multiple lactate measurements. Patients with abnormal values in all six IPO-related variables were assigned to an IPO group while those who did not meet the requirements for the IPO group were assigned to a non-IPO group. Cardiovascular function was measured by two-dimensional echocardiography and [Formula: see text], and respiratory dynamics were compared between the two groups. Results: Fourteen IPO and 43 non-IPO patients were entered into the study. Both groups were similar with regard to left ventricular ejection fraction and right ventricular morphology (P>0.05 for both). At peak exercise, both groups reached a similar heart rate level and [Formula: see text]. The IPO patients had an unfavorable dead space to tidal volume ratio, mean inspiratory tidal flow, and shallow breathing (P<0.05-P<0.001). Conclusions: Our IPO and non-IPO patients with COPD had similar cardiovascular performance at rest and at peak exercise, indicating that IPO variables are non-specific for cardiovascular function in these patients. COPD patients with full IPO variables have more deranged ventilatory function.
9,504
388
[ 191, 1569, 116, 463, 88, 103, 144, 82 ]
14
[ "exercise", "patients", "peak", "ipo", "peak exercise", "maximum", "minute", "groups", "function", "rate" ]
[ "cardiopulmonary exercise testing", "oxygenation ipo exercising", "exercise patients pulmonary", "impaired peripheral oxygenation", "exercise dyspnea score" ]
[CONTENT] dead space ventilation | dynamic hyperinflation | air-trapping | inspiratory tidal flow rate | lung function | cardiovascular function | oxygen pulse [SUMMARY]
[CONTENT] dead space ventilation | dynamic hyperinflation | air-trapping | inspiratory tidal flow rate | lung function | cardiovascular function | oxygen pulse [SUMMARY]
[CONTENT] dead space ventilation | dynamic hyperinflation | air-trapping | inspiratory tidal flow rate | lung function | cardiovascular function | oxygen pulse [SUMMARY]
[CONTENT] dead space ventilation | dynamic hyperinflation | air-trapping | inspiratory tidal flow rate | lung function | cardiovascular function | oxygen pulse [SUMMARY]
[CONTENT] dead space ventilation | dynamic hyperinflation | air-trapping | inspiratory tidal flow rate | lung function | cardiovascular function | oxygen pulse [SUMMARY]
[CONTENT] dead space ventilation | dynamic hyperinflation | air-trapping | inspiratory tidal flow rate | lung function | cardiovascular function | oxygen pulse [SUMMARY]
[CONTENT] Aged | Biomarkers | Cardiovascular System | Case-Control Studies | China | Cross-Sectional Studies | Echocardiography | Exercise Test | Exercise Tolerance | Forced Expiratory Volume | Hospitals, University | Humans | Lactic Acid | Lung | Male | Middle Aged | Oxygen | Oxygen Consumption | Predictive Value of Tests | Pulmonary Disease, Chronic Obstructive | Respiration | Spirometry | Time Factors [SUMMARY]
[CONTENT] Aged | Biomarkers | Cardiovascular System | Case-Control Studies | China | Cross-Sectional Studies | Echocardiography | Exercise Test | Exercise Tolerance | Forced Expiratory Volume | Hospitals, University | Humans | Lactic Acid | Lung | Male | Middle Aged | Oxygen | Oxygen Consumption | Predictive Value of Tests | Pulmonary Disease, Chronic Obstructive | Respiration | Spirometry | Time Factors [SUMMARY]
[CONTENT] Aged | Biomarkers | Cardiovascular System | Case-Control Studies | China | Cross-Sectional Studies | Echocardiography | Exercise Test | Exercise Tolerance | Forced Expiratory Volume | Hospitals, University | Humans | Lactic Acid | Lung | Male | Middle Aged | Oxygen | Oxygen Consumption | Predictive Value of Tests | Pulmonary Disease, Chronic Obstructive | Respiration | Spirometry | Time Factors [SUMMARY]
[CONTENT] Aged | Biomarkers | Cardiovascular System | Case-Control Studies | China | Cross-Sectional Studies | Echocardiography | Exercise Test | Exercise Tolerance | Forced Expiratory Volume | Hospitals, University | Humans | Lactic Acid | Lung | Male | Middle Aged | Oxygen | Oxygen Consumption | Predictive Value of Tests | Pulmonary Disease, Chronic Obstructive | Respiration | Spirometry | Time Factors [SUMMARY]
[CONTENT] Aged | Biomarkers | Cardiovascular System | Case-Control Studies | China | Cross-Sectional Studies | Echocardiography | Exercise Test | Exercise Tolerance | Forced Expiratory Volume | Hospitals, University | Humans | Lactic Acid | Lung | Male | Middle Aged | Oxygen | Oxygen Consumption | Predictive Value of Tests | Pulmonary Disease, Chronic Obstructive | Respiration | Spirometry | Time Factors [SUMMARY]
[CONTENT] Aged | Biomarkers | Cardiovascular System | Case-Control Studies | China | Cross-Sectional Studies | Echocardiography | Exercise Test | Exercise Tolerance | Forced Expiratory Volume | Hospitals, University | Humans | Lactic Acid | Lung | Male | Middle Aged | Oxygen | Oxygen Consumption | Predictive Value of Tests | Pulmonary Disease, Chronic Obstructive | Respiration | Spirometry | Time Factors [SUMMARY]
[CONTENT] cardiopulmonary exercise testing | oxygenation ipo exercising | exercise patients pulmonary | impaired peripheral oxygenation | exercise dyspnea score [SUMMARY]
[CONTENT] cardiopulmonary exercise testing | oxygenation ipo exercising | exercise patients pulmonary | impaired peripheral oxygenation | exercise dyspnea score [SUMMARY]
[CONTENT] cardiopulmonary exercise testing | oxygenation ipo exercising | exercise patients pulmonary | impaired peripheral oxygenation | exercise dyspnea score [SUMMARY]
[CONTENT] cardiopulmonary exercise testing | oxygenation ipo exercising | exercise patients pulmonary | impaired peripheral oxygenation | exercise dyspnea score [SUMMARY]
[CONTENT] cardiopulmonary exercise testing | oxygenation ipo exercising | exercise patients pulmonary | impaired peripheral oxygenation | exercise dyspnea score [SUMMARY]
[CONTENT] cardiopulmonary exercise testing | oxygenation ipo exercising | exercise patients pulmonary | impaired peripheral oxygenation | exercise dyspnea score [SUMMARY]
[CONTENT] exercise | patients | peak | ipo | peak exercise | maximum | minute | groups | function | rate [SUMMARY]
[CONTENT] exercise | patients | peak | ipo | peak exercise | maximum | minute | groups | function | rate [SUMMARY]
[CONTENT] exercise | patients | peak | ipo | peak exercise | maximum | minute | groups | function | rate [SUMMARY]
[CONTENT] exercise | patients | peak | ipo | peak exercise | maximum | minute | groups | function | rate [SUMMARY]
[CONTENT] exercise | patients | peak | ipo | peak exercise | maximum | minute | groups | function | rate [SUMMARY]
[CONTENT] exercise | patients | peak | ipo | peak exercise | maximum | minute | groups | function | rate [SUMMARY]
[CONTENT] ipo | variables | oxygen | related | abnormal | predicted | impaired | approach | invasive | found [SUMMARY]
[CONTENT] ipo | cardiac | study | exercise | variables | evaluated dimensional echocardiography | females | mmhg | issue | cardiac function [SUMMARY]
[CONTENT] ipo | ipo group | group | mmol | 05 | similar | groups | table | respectively | versus [SUMMARY]
[CONTENT] findings | copd | patients | ipo | o2 patients copd | help | patients primarily derangements | patients primarily | reports copd | airflow dead [SUMMARY]
[CONTENT] exercise | ipo | patients | peak | peak exercise | groups | variables | minute | ipo group | group [SUMMARY]
[CONTENT] exercise | ipo | patients | peak | peak exercise | groups | variables | minute | ipo group | group [SUMMARY]
[CONTENT] CPET ||| ||| 8.6 mL/watt | 80% | O2 | 31 | 34 ||| six ||| ||| six [SUMMARY]
[CONTENT] 58 | CPET ||| six | IPO | IPO | IPO ||| two | two [SUMMARY]
[CONTENT] Fourteen | IPO | 43 ||| P>0.05 ||| ||| IPO [SUMMARY]
[CONTENT] IPO | COPD | IPO ||| IPO [SUMMARY]
[CONTENT] CPET ||| ||| 8.6 mL/watt | 80% | O2 | 31 | 34 ||| six ||| ||| six ||| 58 | CPET ||| six | IPO | IPO | IPO ||| two | two ||| Fourteen | IPO | 43 ||| P>0.05 ||| ||| IPO ||| IPO | COPD | IPO ||| IPO [SUMMARY]
[CONTENT] CPET ||| ||| 8.6 mL/watt | 80% | O2 | 31 | 34 ||| six ||| ||| six ||| 58 | CPET ||| six | IPO | IPO | IPO ||| two | two ||| Fourteen | IPO | 43 ||| P>0.05 ||| ||| IPO ||| IPO | COPD | IPO ||| IPO [SUMMARY]
Molecular characterization of DDT resistance in Anopheles gambiae from Benin.
25175167
Insecticide resistance in the mosquito vector is the one of the main obstacles against effective malaria control. In order to implement insecticide resistance management strategies, it is important to understand the genetic factors involved. In this context, we investigated the molecular basis of DDT resistance in the main malaria vector from Benin.
BACKGROUND
Anopheles gambiae mosquitoes were collected from four sites across Benin and identified to species/molecular form. Mosquitoes from Cotonou (M-form), Tori-Bossito (S-form) and Bohicon (S-form) were exposed to DDT 4% at a range of exposure times (30 min to 300 min). Another batch of mosquitoes from Cotonou and Malanville were exposed to DDT for 1 hour and the survivors 48 hours post exposure were used to quantify metabolic gene expression. Quantitative PCR assays were used to quantify mRNA levels of metabolic enzymes: GSTE2, GSTD3, CYP6P3 and CYP6M2. Expression (fold-change) was calculated using the ∆∆Ct method and compared to susceptible strains. Detection of target-site mutations (L1014F, L1014S and N1575Y) was performed using allelic discrimination TaqMan assays.
METHODS
DDT resistance was extremely high in all populations, regardless of molecular form, with no observed mortality after 300 min exposure. In both DDT-survivors and non-exposed mosquitoes, GSTE2 and GSTD3 were over-expressed in the M form at 4.4-fold and 3.5-fold in Cotonou and 1.5-fold and 2.5-fold in Malanville respectively, when compared to the susceptible strain. The CYP6M2 and CYP6P3 were over-expressed at 4.6-fold and 3.8-fold in Cotonou and 1.2-fold and 2.5-fold in Malanville respectively. In contrast, no differences in GSTE2 and CYP6M2 were observed between S form mosquitoes from Tori-Bossito and Bohicon compared to susceptible strain. The 1014 F allele was fixed in the S-form and at high frequency in the M-form (0.7-0.914). The frequency of 1575Y allele was 0.29-0.36 in the S-form and nil in the M-form. The 1014S allele was detected in the S form of An. gambiae in a 1014 F/1014S heterozygous specimen.
RESULTS
Our results show that the kdr 1014 F, 1014S and 1575Y alleles are widespread in Benin and the expression of two candidate metabolic markers (GSTE2 and CYP6M2) are over-expressed specifically in the M-form.
CONCLUSION
[ "Animals", "Anopheles", "Benin", "DDT", "DNA, Complementary", "Gene Expression Regulation", "Genotype", "Insecticide Resistance", "Insecticides", "Mutation", "RNA", "RNA, Messenger" ]
4164740
Background
The development of insecticide resistance in anopheles mosquitoes is a major threat for malaria vector control. In Anopheles gambiae mosquitoes, the main malaria vector in Africa, two main mechanisms of resistance have been widely studied: target site modifications and insecticide detoxification known as metabolic resistance [1]. For the former, two alternative substitutions occur at position 1014 in the voltage gated sodium channel (VGSC) of An. gambiae: leucine to phenylalanine (L1014F) and leucine to serine (L1014S). The distribution of these two alleles is currently expanding in the M and S molecular forms of An. gambiae as well as in An. arabiensis [2]. Furthermore, the frequency of these alleles is rising in many areas of Africa associated with selective sweeps [3]. These mutations are associated with cross resistance to DDT and pyrethroids [4]. Clear association between DDT or pyrethroids resistance and the presence of kdr mutations has been shown in several studies [5]. Recently, the emergence of a new mutation N1575Y, within the linker between domains III-IV of the VGSC was found in An. gambiae. N1575Y occurs inextricably with L1014F on the same haplotypic background and evidence suggests that a secondary selective sweep associated with resistance to pyrethroids/DDT is occurring throughout West Africa [6]. Metabolic resistance results from increased detoxification processes by gene amplification and/or expression [1, 7–9]. The over-expression of P450 monooxygenases has been described from several pyrethroid-resistant populations of An. gambiae [8, 10–13] and An. arabiensis [14] . In this enzyme family, CYP6M2 is a promising genetic marker for pyrethroid/DDT resistance as it has been demonstrated to metabolize both insecticide classes [15]. A second family of metabolic enzymes, glutathione-S-transferases (GSTs), is thought to play a significant role in DDT and pyrethroid resistance in An. gambiae [8, 16]. While the epidemiological consequences of pyrethroids resistance have yet to be established, the rapid evolution of insecticide resistant alleles over the past decade is a real cause for concern for vector control [17]. Monitoring these markers of pyrethroids resistance has significant advantages for insecticide resistance management. In Benin, entomological surveys carried out since 2007 have implicated the involvement of GSTs, P450s and esterases in insecticide resistance in Anopheles mosquitoes [8, 18]. The kdr mutations coupled with metabolic resistance was reported in several An. gambiae populations with variation described between species, sites and collection periods [8]. This situation is worrying since it can seriously threaten the efficiency of insecticide treated nets and insecticide residual spray as recently reported in Benin [19–21]. A better understanding of the genetic and evolutionary processes involved in insecticide resistance is essential to design insecticide resistance management strategies. In this study, we investigated the distribution of the kdr alleles and the gene expression of four candidate metabolisers of pyrethroids/DDT (CYP6M2, CYP6P3, GSTD3 and GSTE2) in An. gambiae throughout Benin.
Methods
Mosquito sampling From December 2010 to December 2011, larvae of An. gambiae mosquitoes were collected in four different sites in Benin (Cotonou, Tori-Bossito, Bohicon and Malanville) in the framework of the WHO/TDR network project [18]. All larvae were brought back to laboratory of the Centre de Recherche Entomologique de Cotonou (CREC) for rearing. Emerging adult female mosquitoes (F0) were used for insecticide susceptibility tests and molecular assays. The IRD (Institut de Recherche pour le Développement) Ethics Committee and the National Research Ethics Committee of Benin approved the study (CNPERS, reference number IRB00006860). From December 2010 to December 2011, larvae of An. gambiae mosquitoes were collected in four different sites in Benin (Cotonou, Tori-Bossito, Bohicon and Malanville) in the framework of the WHO/TDR network project [18]. All larvae were brought back to laboratory of the Centre de Recherche Entomologique de Cotonou (CREC) for rearing. Emerging adult female mosquitoes (F0) were used for insecticide susceptibility tests and molecular assays. The IRD (Institut de Recherche pour le Développement) Ethics Committee and the National Research Ethics Committee of Benin approved the study (CNPERS, reference number IRB00006860). Insecticide susceptibility tests Insecticide susceptibility tests were carried out on 2–5 days old female mosquitoes [22]. Samples collected in Cotonou and Malanville in December 2010 were exposed to DDT 4% for 1 hour and survivors of 48 hours after DDT exposure were stored in RNA later (SIGMA). In December 2011, WHO cylinder kits were used to expose mosquitoes (from Cotonou, Tori-Bossito and Bohicon) to increasing exposure times with the intention of generating time-response curves. Batches of 20–25 mosquitoes were exposed to test papers impregnated with DDT 4% at the following exposure times; 30 min, 45 min, 60 min, 90 min, 120 min, 150 min, 240 min and 300 min. Non-impregnated control papers were used throughout all experiments. Survivors and non-exposed mosquitoes were also stored in RNA later (SIGMA) and kept at −20°C for DNA and RNA analysis. Insecticide susceptibility tests were carried out on 2–5 days old female mosquitoes [22]. Samples collected in Cotonou and Malanville in December 2010 were exposed to DDT 4% for 1 hour and survivors of 48 hours after DDT exposure were stored in RNA later (SIGMA). In December 2011, WHO cylinder kits were used to expose mosquitoes (from Cotonou, Tori-Bossito and Bohicon) to increasing exposure times with the intention of generating time-response curves. Batches of 20–25 mosquitoes were exposed to test papers impregnated with DDT 4% at the following exposure times; 30 min, 45 min, 60 min, 90 min, 120 min, 150 min, 240 min and 300 min. Non-impregnated control papers were used throughout all experiments. Survivors and non-exposed mosquitoes were also stored in RNA later (SIGMA) and kept at −20°C for DNA and RNA analysis. Species identification and kdrgenotyping DNA was extracted from control and alive mosquitoes following insecticide exposure using the LIVAK buffer method [23]. Specimens were identified to species and molecular form by the SINE-PCR protocol [2]. L1014F, L1014S and N1575Y were screened using TaqMan assays as previously described [6, 24]. Forward and reverse primers and three minor groove binding (MGB) probes (Applied Biosystems) were designed using the Primer Express™ Software Version 2.0. Primers kdr-Forward (5' CATTTTTCTTGGCCACTGTAGTGAT-3'), and kdr-Reverse (5'-CGATCTTGGTCCATGTTAATTTGCA-3') were standard oligonucleotides with no modification. The probe WT (5'-CTTACGACTAAATTTC-3') was labelled with VIC at the 5' end for the detection of the wild type allele, the probes kdrW (5'-ACGACAAAATTTC-3') and kdrE (5'-ACGACTGAATTTC- 3') were labelled with 6-FAM for detection of the kdr-w and kdr-e alleles respectively. For the N1575Y, the primers F3’TGGATCGCTAGAAATGTTCATGACA-5’ R3’CGAGGAATTGCCTTTAGAGGTTTCT-5’were used [6]. DNA was extracted from control and alive mosquitoes following insecticide exposure using the LIVAK buffer method [23]. Specimens were identified to species and molecular form by the SINE-PCR protocol [2]. L1014F, L1014S and N1575Y were screened using TaqMan assays as previously described [6, 24]. Forward and reverse primers and three minor groove binding (MGB) probes (Applied Biosystems) were designed using the Primer Express™ Software Version 2.0. Primers kdr-Forward (5' CATTTTTCTTGGCCACTGTAGTGAT-3'), and kdr-Reverse (5'-CGATCTTGGTCCATGTTAATTTGCA-3') were standard oligonucleotides with no modification. The probe WT (5'-CTTACGACTAAATTTC-3') was labelled with VIC at the 5' end for the detection of the wild type allele, the probes kdrW (5'-ACGACAAAATTTC-3') and kdrE (5'-ACGACTGAATTTC- 3') were labelled with 6-FAM for detection of the kdr-w and kdr-e alleles respectively. For the N1575Y, the primers F3’TGGATCGCTAGAAATGTTCATGACA-5’ R3’CGAGGAATTGCCTTTAGAGGTTTCT-5’were used [6]. mRNA expression of candidate metabolic genes RNA extraction and cDNA synthesis Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA. Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA. RNA extraction and cDNA synthesis Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA. Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA. Reverse-transcription quantitative PCR (RT-qPCR) The relative gene expression of CYP6M2, CYP6P3, GSTD3 and GSTE2 was analyzed by quantitative PCR (qPCR). Actin-5C (AGAP000651) and ribosomal protein S7 (AGAP010592) were used as endogenous control genes to account for any differences in template input. Three biological replicates were run for each sample on a plate. A TaqMan gene expression assay was used for GSTE2 whereas SYBR Green was used for CYP6M2, CYP6P3 and GSTD3. Primers for qPCR were designed using NCBI primer BLAST (http://www.ncbi.nlm.nih.gov/tools/primer-blast/) by using Xm codes from Vector Base. The Table 1 shows the primers used for qPCR.Table 1 Primers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse) PrimersPrimer sequencesReferencesCYP6P3F: 5’-GTGATTGACGAAACCCTTCGGAAGT-3’[25]R: 5’-GCACCAGTGTTCGCTTCGGGA-3’CYP6M2F: 5’-TACGATGACAACAAGGGCAAG- 3’R: 5’- GCGATCGTGGAAGTACTGG-3’GSTD3F: 5’-CTAAGCTTAATCCGCAACATACCA-3R: 5’-GTGTCATCCTTGCCGTACAC-3’GSTE2F: 5’-GCCGGAATTTGTGAAGCTAAACCCG-3’R: 5’-TGCTTGACGGGGTCTTTCGGAT-3’S7F: 5’- AGAACCAGCAGACCACCATC-3’[14]R: 5’- GCTGCAAACTTCGGCTATTC-3’ActinF: 5’-ACATCGCCGAAGATCGCCCA-3’R: 5’-AGAGGGATTAAGTTGCAGCACTCG-3’ Primers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse) The expression of CYP6M2 and GSTE2 was determined in non-exposed (control batches) and exposed (DDT 300 minutes) mosquitoes. The Kisumu strain (susceptible; S-form) and N’Gousso (susceptible; M-form) were used as reference laboratory strains and not selected with insecticide. Real-time PCR reactions were run on the Agilent MxP3005P (Agilent Technologies). For each target gene, standard curves were generated using a five times serially diluted cDNA samples to assess the PCR efficiency and the dynamic range of cDNA. The PCR efficiencies of each gene fell ±10% of 100% and all had single melting curve peaks indicating specificity of the assay. The cDNA were diluted 5-fold in as this was the concentration that fitted within the dynamic range of each qPCR and stored at −20°C. The relative gene expression of CYP6M2, CYP6P3, GSTD3 and GSTE2 was analyzed by quantitative PCR (qPCR). Actin-5C (AGAP000651) and ribosomal protein S7 (AGAP010592) were used as endogenous control genes to account for any differences in template input. Three biological replicates were run for each sample on a plate. A TaqMan gene expression assay was used for GSTE2 whereas SYBR Green was used for CYP6M2, CYP6P3 and GSTD3. Primers for qPCR were designed using NCBI primer BLAST (http://www.ncbi.nlm.nih.gov/tools/primer-blast/) by using Xm codes from Vector Base. The Table 1 shows the primers used for qPCR.Table 1 Primers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse) PrimersPrimer sequencesReferencesCYP6P3F: 5’-GTGATTGACGAAACCCTTCGGAAGT-3’[25]R: 5’-GCACCAGTGTTCGCTTCGGGA-3’CYP6M2F: 5’-TACGATGACAACAAGGGCAAG- 3’R: 5’- GCGATCGTGGAAGTACTGG-3’GSTD3F: 5’-CTAAGCTTAATCCGCAACATACCA-3R: 5’-GTGTCATCCTTGCCGTACAC-3’GSTE2F: 5’-GCCGGAATTTGTGAAGCTAAACCCG-3’R: 5’-TGCTTGACGGGGTCTTTCGGAT-3’S7F: 5’- AGAACCAGCAGACCACCATC-3’[14]R: 5’- GCTGCAAACTTCGGCTATTC-3’ActinF: 5’-ACATCGCCGAAGATCGCCCA-3’R: 5’-AGAGGGATTAAGTTGCAGCACTCG-3’ Primers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse) The expression of CYP6M2 and GSTE2 was determined in non-exposed (control batches) and exposed (DDT 300 minutes) mosquitoes. The Kisumu strain (susceptible; S-form) and N’Gousso (susceptible; M-form) were used as reference laboratory strains and not selected with insecticide. Real-time PCR reactions were run on the Agilent MxP3005P (Agilent Technologies). For each target gene, standard curves were generated using a five times serially diluted cDNA samples to assess the PCR efficiency and the dynamic range of cDNA. The PCR efficiencies of each gene fell ±10% of 100% and all had single melting curve peaks indicating specificity of the assay. The cDNA were diluted 5-fold in as this was the concentration that fitted within the dynamic range of each qPCR and stored at −20°C. Data analysis The mortality rates were classified in accordance with the recommended criteria by WHO [22]. The resistance status was determined based on the following criteria: Mortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population Mortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population Mortality 80 – 97%: suspected resistance in the Anopheles population. Mortality < 80%: resistant Anopheles population Our hypothesis according to previous findings with the metabolic candidate genes was that gene expression is higher in resistant-field mosquitoes than the laboratory susceptible strain. Therefore, the relative expression (linear fold-changes) of CYP6M2, CYP6P3, GSTD3 and GSTE2 were calculated according to the ΔΔCt method described by Schmittgen, and Livak [26] using laboratory strains as calibrator samples. Strains were only compared belonging to the same molecular form (e.g. Cotonou/Malanville versus N’gousso (M-form) and Tori-Bossito/Bohicon versus Kisumu (S-form). PCR efficiencies were incorporated into the calculations. Basic data analysis (regression and t-tests were performed in Excel with p < 0.05 used to assess significant difference between treatments for the t-tests). The mortality rates were classified in accordance with the recommended criteria by WHO [22]. The resistance status was determined based on the following criteria: Mortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population Mortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population Mortality 80 – 97%: suspected resistance in the Anopheles population. Mortality < 80%: resistant Anopheles population Our hypothesis according to previous findings with the metabolic candidate genes was that gene expression is higher in resistant-field mosquitoes than the laboratory susceptible strain. Therefore, the relative expression (linear fold-changes) of CYP6M2, CYP6P3, GSTD3 and GSTE2 were calculated according to the ΔΔCt method described by Schmittgen, and Livak [26] using laboratory strains as calibrator samples. Strains were only compared belonging to the same molecular form (e.g. Cotonou/Malanville versus N’gousso (M-form) and Tori-Bossito/Bohicon versus Kisumu (S-form). PCR efficiencies were incorporated into the calculations. Basic data analysis (regression and t-tests were performed in Excel with p < 0.05 used to assess significant difference between treatments for the t-tests).
Results
DDT resistance In 2010, bioassays showed strong resistance to DDT in An. gambiae in two parts of the country (1% and 6% mortalities in Malanville and Cotonou respectively) [18]. In 2011, we observed no mortality in mosquitoes exposed to 4% DDT regardless of the exposure time (from 30 to 300 minutes), indicating that all mosquito populations were strongly resistant to this insecticide. In 2010, bioassays showed strong resistance to DDT in An. gambiae in two parts of the country (1% and 6% mortalities in Malanville and Cotonou respectively) [18]. In 2011, we observed no mortality in mosquitoes exposed to 4% DDT regardless of the exposure time (from 30 to 300 minutes), indicating that all mosquito populations were strongly resistant to this insecticide. Differential expression of metabolic genes in An. gambiae The pre-dominant molecular form in Cotonou (M-form), Malanville (M-form), Bohicon (S-form) and Tori-Bossito (S-form) was exclusively used for qPCR analysis to avoid any bias in expression from mixed molecular forms. Two experiments were performed to analyse the gene expression of metabolic candidates between the different strains from Benin. In the first experiment, M-form mosquitoes from Malanville and Cotonou collected in 2010 were exposed to DDT for one hour and the gene expression of GSTE2, GSTD3, CYP6P3 and CYP6M2 compared to the laboratory strain N’Gousso. All genes were up-regulated in DDT-exposed mosquitoes from Cotonou (between 2.8 and 3.8-fold (2-ΔΔCt)) (p < 0.05) whereas only CYP6P3 (2.4-fold) (p = 0.026) and GSTD3 (2.5-fold) (p = 0.020) were over-expressed in Malanville (Figure 1).Figure 1 The CYP6M2 , CYP6P3 , GSTE2 and GSTD3 expression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval. The CYP6M2 , CYP6P3 , GSTE2 and GSTD3 expression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval. In the second experiment, the gene expression of GSTE2 and CYP6M2 was compared between collections from three sites in 2011. Expression of each gene was compared between (i) mosquitoes exposed to DDT (ii) non-exposed resistant mosquitoes and (iii) laboratory susceptible strains. There were notable differences in expression between the wild mosquitoes and the laboratory strains (Figure 2). In M-form mosquitoes from Cotonou GSTE2 and CYP6M2 were up-regulated to 4.37 (p = 0.0013) and 2.23-fold (p = 0.037) compared to N’Gousso. In contrast, these genes did not show over-expression in the S-form in Tori-Bossito and Bohicon compared to Kisumu (p > 0.05). No significant differences in GSTE2 and CYP6M2 expression between DDT-exposed and non-exposed mosquitoes observed in any populations (p > 0.05).Figure 2 The GSTE2 and CYP6M2 expression in non-exposed and DDT-exposed An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon. a) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval. The GSTE2 and CYP6M2 expression in non-exposed and DDT-exposed An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon. a) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval. The pre-dominant molecular form in Cotonou (M-form), Malanville (M-form), Bohicon (S-form) and Tori-Bossito (S-form) was exclusively used for qPCR analysis to avoid any bias in expression from mixed molecular forms. Two experiments were performed to analyse the gene expression of metabolic candidates between the different strains from Benin. In the first experiment, M-form mosquitoes from Malanville and Cotonou collected in 2010 were exposed to DDT for one hour and the gene expression of GSTE2, GSTD3, CYP6P3 and CYP6M2 compared to the laboratory strain N’Gousso. All genes were up-regulated in DDT-exposed mosquitoes from Cotonou (between 2.8 and 3.8-fold (2-ΔΔCt)) (p < 0.05) whereas only CYP6P3 (2.4-fold) (p = 0.026) and GSTD3 (2.5-fold) (p = 0.020) were over-expressed in Malanville (Figure 1).Figure 1 The CYP6M2 , CYP6P3 , GSTE2 and GSTD3 expression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval. The CYP6M2 , CYP6P3 , GSTE2 and GSTD3 expression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval. In the second experiment, the gene expression of GSTE2 and CYP6M2 was compared between collections from three sites in 2011. Expression of each gene was compared between (i) mosquitoes exposed to DDT (ii) non-exposed resistant mosquitoes and (iii) laboratory susceptible strains. There were notable differences in expression between the wild mosquitoes and the laboratory strains (Figure 2). In M-form mosquitoes from Cotonou GSTE2 and CYP6M2 were up-regulated to 4.37 (p = 0.0013) and 2.23-fold (p = 0.037) compared to N’Gousso. In contrast, these genes did not show over-expression in the S-form in Tori-Bossito and Bohicon compared to Kisumu (p > 0.05). No significant differences in GSTE2 and CYP6M2 expression between DDT-exposed and non-exposed mosquitoes observed in any populations (p > 0.05).Figure 2 The GSTE2 and CYP6M2 expression in non-exposed and DDT-exposed An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon. a) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval. The GSTE2 and CYP6M2 expression in non-exposed and DDT-exposed An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon. a) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval. Target-site mutations in An. gambiaein Benin The N1575Y and L1014F mutations were identified in both non-exposed M- and S- form of An. gambiae in Benin. The L1014F kdr allelic frequency was almost fixed in the S form (0.932-1.00), which predominates in the south of the country. The frequency of L1014F ranged between 0.67 and 0.91 in the M-forms in the south (Cotonou, Tori Bossito and Bohicon) and was 0.81 (0.691-0.891) in the north (Malanville). In 2010, we found the 1575Y allele in both molecular forms of An. gambiae. In the M-form, the frequency of this allele was much higher in the northern site Malanville; 0.321 (95% CI 0.214-0.452) than in the southern site of Cotonou 0.019 (95% CI 0.003-0.098) (p = 0.00). In 2011 we did not detect the 1575Y allele in Cotonou whereas the frequencies of 1575Y were 0.291 (95% CI 0.223-0.368) in Bohicon and 0.36 (95% CI 0.267-0.466) in Tori Bossito (see Table 2). There was no significant difference in the 1575Y frequency between years (p = 0.071).Table 2 Kdr allelic frequencies in An. gambiae in each site per collection period M-form2010 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Cotonou0.10 (0.048-0.208)0.90 (0.792-0.952)580.98 (0.902-0.997)0.02 (0.003-0.098)54Malanville0.19 (0.109-0.309)0.81 (0.691-0.891)580.68 (0.548-0.786)0.32 (0.21-0.45)56Tori Bossito0.33 (0.138-0.609)0.67 (0.391-0.862)121012Bohicon0.12 (0.022-0.471)0.88 (0.529-0.978)81082011 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Cotonou0.09 (0.046-0.156)0.91 (0.84-0.95)10410104Tori Bossito0.30 (0.10-0.60)0.70 (0.39-0.89)101010 S-form 2010 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Bohicon0.05 (0.014-0.165)0.95 (0.835-0.986)400.80 (0.652-0.895)0.20 (0.10-0.34)40Tori Bossito0.068 (0.024-0.182)0.932 (0.818-0.977)440.68 (0.534-0.8)0.32 (0.20-0.46)442011 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Bohicon00.991480.71 (0.632-0.777)0.29 (0.22-0.36)148Tori Bossito01860.64 (0.534-0.733)0.36 (0.26-0.46)86 Kdr allelic frequencies in An. gambiae in each site per collection period The 1014S allele was identified in one specimen of An. gambiae S-form in Bohicon in co-occurrence with the 1014 F allele. The N1575Y and L1014F mutations were identified in both non-exposed M- and S- form of An. gambiae in Benin. The L1014F kdr allelic frequency was almost fixed in the S form (0.932-1.00), which predominates in the south of the country. The frequency of L1014F ranged between 0.67 and 0.91 in the M-forms in the south (Cotonou, Tori Bossito and Bohicon) and was 0.81 (0.691-0.891) in the north (Malanville). In 2010, we found the 1575Y allele in both molecular forms of An. gambiae. In the M-form, the frequency of this allele was much higher in the northern site Malanville; 0.321 (95% CI 0.214-0.452) than in the southern site of Cotonou 0.019 (95% CI 0.003-0.098) (p = 0.00). In 2011 we did not detect the 1575Y allele in Cotonou whereas the frequencies of 1575Y were 0.291 (95% CI 0.223-0.368) in Bohicon and 0.36 (95% CI 0.267-0.466) in Tori Bossito (see Table 2). There was no significant difference in the 1575Y frequency between years (p = 0.071).Table 2 Kdr allelic frequencies in An. gambiae in each site per collection period M-form2010 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Cotonou0.10 (0.048-0.208)0.90 (0.792-0.952)580.98 (0.902-0.997)0.02 (0.003-0.098)54Malanville0.19 (0.109-0.309)0.81 (0.691-0.891)580.68 (0.548-0.786)0.32 (0.21-0.45)56Tori Bossito0.33 (0.138-0.609)0.67 (0.391-0.862)121012Bohicon0.12 (0.022-0.471)0.88 (0.529-0.978)81082011 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Cotonou0.09 (0.046-0.156)0.91 (0.84-0.95)10410104Tori Bossito0.30 (0.10-0.60)0.70 (0.39-0.89)101010 S-form 2010 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Bohicon0.05 (0.014-0.165)0.95 (0.835-0.986)400.80 (0.652-0.895)0.20 (0.10-0.34)40Tori Bossito0.068 (0.024-0.182)0.932 (0.818-0.977)440.68 (0.534-0.8)0.32 (0.20-0.46)442011 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Bohicon00.991480.71 (0.632-0.777)0.29 (0.22-0.36)148Tori Bossito01860.64 (0.534-0.733)0.36 (0.26-0.46)86 Kdr allelic frequencies in An. gambiae in each site per collection period The 1014S allele was identified in one specimen of An. gambiae S-form in Bohicon in co-occurrence with the 1014 F allele.
Conclusion
The spread of multi-resistance in wild populations of An. gambiae is worrying as it could threaten the effectiveness of malaria vector control strategies based on the use of chemicals.
[ "Background", "Mosquito sampling", "Insecticide susceptibility tests", "Species identification and kdrgenotyping", "mRNA expression of candidate metabolic genes", "RNA extraction and cDNA synthesis", "Reverse-transcription quantitative PCR (RT-qPCR)", "Data analysis", "DDT resistance", "Differential expression of metabolic genes in An. gambiae", "Target-site mutations in An. gambiaein Benin" ]
[ "The development of insecticide resistance in anopheles mosquitoes is a major threat for malaria vector control. In Anopheles gambiae mosquitoes, the main malaria vector in Africa, two main mechanisms of resistance have been widely studied: target site modifications and insecticide detoxification known as metabolic resistance [1].\nFor the former, two alternative substitutions occur at position 1014 in the voltage gated sodium channel (VGSC) of An. gambiae: leucine to phenylalanine (L1014F) and leucine to serine (L1014S). The distribution of these two alleles is currently expanding in the M and S molecular forms of An. gambiae as well as in An. arabiensis\n[2]. Furthermore, the frequency of these alleles is rising in many areas of Africa associated with selective sweeps [3]. These mutations are associated with cross resistance to DDT and pyrethroids [4]. Clear association between DDT or pyrethroids resistance and the presence of kdr mutations has been shown in several studies [5]. Recently, the emergence of a new mutation N1575Y, within the linker between domains III-IV of the VGSC was found in An. gambiae. N1575Y occurs inextricably with L1014F on the same haplotypic background and evidence suggests that a secondary selective sweep associated with resistance to pyrethroids/DDT is occurring throughout West Africa [6].\nMetabolic resistance results from increased detoxification processes by gene amplification and/or expression [1, 7–9]. The over-expression of P450 monooxygenases has been described from several pyrethroid-resistant populations of An. gambiae\n[8, 10–13] and An. arabiensis\n[14]\n. In this enzyme family, CYP6M2 is a promising genetic marker for pyrethroid/DDT resistance as it has been demonstrated to metabolize both insecticide classes [15]. A second family of metabolic enzymes, glutathione-S-transferases (GSTs), is thought to play a significant role in DDT and pyrethroid resistance in An. gambiae\n[8, 16].\nWhile the epidemiological consequences of pyrethroids resistance have yet to be established, the rapid evolution of insecticide resistant alleles over the past decade is a real cause for concern for vector control [17]. Monitoring these markers of pyrethroids resistance has significant advantages for insecticide resistance management. In Benin, entomological surveys carried out since 2007 have implicated the involvement of GSTs, P450s and esterases in insecticide resistance in Anopheles mosquitoes [8, 18]. The kdr mutations coupled with metabolic resistance was reported in several An. gambiae populations with variation described between species, sites and collection periods [8]. This situation is worrying since it can seriously threaten the efficiency of insecticide treated nets and insecticide residual spray as recently reported in Benin [19–21]. A better understanding of the genetic and evolutionary processes involved in insecticide resistance is essential to design insecticide resistance management strategies. In this study, we investigated the distribution of the kdr alleles and the gene expression of four candidate metabolisers of pyrethroids/DDT (CYP6M2, CYP6P3, GSTD3 and GSTE2) in An. gambiae throughout Benin.", "From December 2010 to December 2011, larvae of An. gambiae mosquitoes were collected in four different sites in Benin (Cotonou, Tori-Bossito, Bohicon and Malanville) in the framework of the WHO/TDR network project [18]. All larvae were brought back to laboratory of the Centre de Recherche Entomologique de Cotonou (CREC) for rearing. Emerging adult female mosquitoes (F0) were used for insecticide susceptibility tests and molecular assays.\nThe IRD (Institut de Recherche pour le Développement) Ethics Committee and the National Research Ethics Committee of Benin approved the study (CNPERS, reference number IRB00006860).", "Insecticide susceptibility tests were carried out on 2–5 days old female mosquitoes [22]. Samples collected in Cotonou and Malanville in December 2010 were exposed to DDT 4% for 1 hour and survivors of 48 hours after DDT exposure were stored in RNA later (SIGMA). In December 2011, WHO cylinder kits were used to expose mosquitoes (from Cotonou, Tori-Bossito and Bohicon) to increasing exposure times with the intention of generating time-response curves. Batches of 20–25 mosquitoes were exposed to test papers impregnated with DDT 4% at the following exposure times; 30 min, 45 min, 60 min, 90 min, 120 min, 150 min, 240 min and 300 min. Non-impregnated control papers were used throughout all experiments. Survivors and non-exposed mosquitoes were also stored in RNA later (SIGMA) and kept at −20°C for DNA and RNA analysis.", "DNA was extracted from control and alive mosquitoes following insecticide exposure using the LIVAK buffer method [23]. Specimens were identified to species and molecular form by the SINE-PCR protocol [2]. L1014F, L1014S and N1575Y were screened using TaqMan assays as previously described [6, 24]. Forward and reverse primers and three minor groove binding (MGB) probes (Applied Biosystems) were designed using the Primer Express™ Software Version 2.0. Primers kdr-Forward (5' CATTTTTCTTGGCCACTGTAGTGAT-3'), and kdr-Reverse (5'-CGATCTTGGTCCATGTTAATTTGCA-3') were standard oligonucleotides with no modification. The probe WT (5'-CTTACGACTAAATTTC-3') was labelled with VIC at the 5' end for the detection of the wild type allele, the probes kdrW (5'-ACGACAAAATTTC-3') and kdrE (5'-ACGACTGAATTTC- 3') were labelled with 6-FAM for detection of the kdr-w and kdr-e alleles respectively. For the N1575Y, the primers F3’TGGATCGCTAGAAATGTTCATGACA-5’ R3’CGAGGAATTGCCTTTAGAGGTTTCT-5’were used [6].", " RNA extraction and cDNA synthesis Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA.\nMosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA.", "Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA.", "The relative gene expression of CYP6M2, CYP6P3, GSTD3 and GSTE2 was analyzed by quantitative PCR (qPCR). Actin-5C (AGAP000651) and ribosomal protein S7 (AGAP010592) were used as endogenous control genes to account for any differences in template input. Three biological replicates were run for each sample on a plate. A TaqMan gene expression assay was used for GSTE2 whereas SYBR Green was used for CYP6M2, CYP6P3 and GSTD3. Primers for qPCR were designed using NCBI primer BLAST (http://www.ncbi.nlm.nih.gov/tools/primer-blast/) by using Xm codes from Vector Base. The Table 1 shows the primers used for qPCR.Table 1\nPrimers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse)\nPrimersPrimer sequencesReferencesCYP6P3F: 5’-GTGATTGACGAAACCCTTCGGAAGT-3’[25]R: 5’-GCACCAGTGTTCGCTTCGGGA-3’CYP6M2F: 5’-TACGATGACAACAAGGGCAAG- 3’R: 5’- GCGATCGTGGAAGTACTGG-3’GSTD3F: 5’-CTAAGCTTAATCCGCAACATACCA-3R: 5’-GTGTCATCCTTGCCGTACAC-3’GSTE2F: 5’-GCCGGAATTTGTGAAGCTAAACCCG-3’R: 5’-TGCTTGACGGGGTCTTTCGGAT-3’S7F: 5’- AGAACCAGCAGACCACCATC-3’[14]R: 5’- GCTGCAAACTTCGGCTATTC-3’ActinF: 5’-ACATCGCCGAAGATCGCCCA-3’R: 5’-AGAGGGATTAAGTTGCAGCACTCG-3’\n\nPrimers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse)\n\nThe expression of CYP6M2 and GSTE2 was determined in non-exposed (control batches) and exposed (DDT 300 minutes) mosquitoes. The Kisumu strain (susceptible; S-form) and N’Gousso (susceptible; M-form) were used as reference laboratory strains and not selected with insecticide. Real-time PCR reactions were run on the Agilent MxP3005P (Agilent Technologies). For each target gene, standard curves were generated using a five times serially diluted cDNA samples to assess the PCR efficiency and the dynamic range of cDNA. The PCR efficiencies of each gene fell ±10% of 100% and all had single melting curve peaks indicating specificity of the assay. The cDNA were diluted 5-fold in as this was the concentration that fitted within the dynamic range of each qPCR and stored at −20°C.", "The mortality rates were classified in accordance with the recommended criteria by WHO [22]. The resistance status was determined based on the following criteria:\n\n\n\nMortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population\n\n\n\nMortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population\nMortality 80 – 97%: suspected resistance in the Anopheles population.\nMortality < 80%: resistant Anopheles population\nOur hypothesis according to previous findings with the metabolic candidate genes was that gene expression is higher in resistant-field mosquitoes than the laboratory susceptible strain. Therefore, the relative expression (linear fold-changes) of CYP6M2, CYP6P3, GSTD3 and GSTE2 were calculated according to the ΔΔCt method described by Schmittgen, and Livak [26] using laboratory strains as calibrator samples. Strains were only compared belonging to the same molecular form (e.g. Cotonou/Malanville versus N’gousso (M-form) and Tori-Bossito/Bohicon versus Kisumu (S-form). PCR efficiencies were incorporated into the calculations. Basic data analysis (regression and t-tests were performed in Excel with p < 0.05 used to assess significant difference between treatments for the t-tests).", "In 2010, bioassays showed strong resistance to DDT in An. gambiae in two parts of the country (1% and 6% mortalities in Malanville and Cotonou respectively) [18]. In 2011, we observed no mortality in mosquitoes exposed to 4% DDT regardless of the exposure time (from 30 to 300 minutes), indicating that all mosquito populations were strongly resistant to this insecticide.", "The pre-dominant molecular form in Cotonou (M-form), Malanville (M-form), Bohicon (S-form) and Tori-Bossito (S-form) was exclusively used for qPCR analysis to avoid any bias in expression from mixed molecular forms.\nTwo experiments were performed to analyse the gene expression of metabolic candidates between the different strains from Benin. In the first experiment, M-form mosquitoes from Malanville and Cotonou collected in 2010 were exposed to DDT for one hour and the gene expression of GSTE2, GSTD3, CYP6P3 and CYP6M2 compared to the laboratory strain N’Gousso. All genes were up-regulated in DDT-exposed mosquitoes from Cotonou (between 2.8 and 3.8-fold (2-ΔΔCt)) (p < 0.05) whereas only CYP6P3 (2.4-fold) (p = 0.026) and GSTD3 (2.5-fold) (p = 0.020) were over-expressed in Malanville (Figure 1).Figure 1\nThe\nCYP6M2\n,\nCYP6P3\n,\nGSTE2\nand\nGSTD3\nexpression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval.\n\n\nThe\nCYP6M2\n,\nCYP6P3\n,\nGSTE2\nand\nGSTD3\nexpression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval.\n\nIn the second experiment, the gene expression of GSTE2 and CYP6M2 was compared between collections from three sites in 2011. Expression of each gene was compared between (i) mosquitoes exposed to DDT (ii) non-exposed resistant mosquitoes and (iii) laboratory susceptible strains. There were notable differences in expression between the wild mosquitoes and the laboratory strains (Figure 2). In M-form mosquitoes from Cotonou GSTE2 and CYP6M2 were up-regulated to 4.37 (p = 0.0013) and 2.23-fold (p = 0.037) compared to N’Gousso. In contrast, these genes did not show over-expression in the S-form in Tori-Bossito and Bohicon compared to Kisumu (p > 0.05). No significant differences in GSTE2 and CYP6M2 expression between DDT-exposed and non-exposed mosquitoes observed in any populations (p > 0.05).Figure 2\nThe\nGSTE2\nand\nCYP6M2\nexpression in non-exposed and DDT-exposed\nAn. gambiae s.l\ncollected in Cotonou, Tori-Bossito and Bohicon.\na) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval.\n\nThe\nGSTE2\nand\nCYP6M2\nexpression in non-exposed and DDT-exposed\nAn. gambiae s.l\ncollected in Cotonou, Tori-Bossito and Bohicon.\na) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval.", "The N1575Y and L1014F mutations were identified in both non-exposed M- and S- form of An. gambiae in Benin. The L1014F kdr allelic frequency was almost fixed in the S form (0.932-1.00), which predominates in the south of the country. The frequency of L1014F ranged between 0.67 and 0.91 in the M-forms in the south (Cotonou, Tori Bossito and Bohicon) and was 0.81 (0.691-0.891) in the north (Malanville).\nIn 2010, we found the 1575Y allele in both molecular forms of An. gambiae. In the M-form, the frequency of this allele was much higher in the northern site Malanville; 0.321 (95% CI 0.214-0.452) than in the southern site of Cotonou 0.019 (95% CI 0.003-0.098) (p = 0.00). In 2011 we did not detect the 1575Y allele in Cotonou whereas the frequencies of 1575Y were 0.291 (95% CI 0.223-0.368) in Bohicon and 0.36 (95% CI 0.267-0.466) in Tori Bossito (see Table 2). There was no significant difference in the 1575Y frequency between years (p = 0.071).Table 2\nKdr\nallelic frequencies in\nAn. gambiae\nin each site per collection period\nM-form2010\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Cotonou0.10 (0.048-0.208)0.90 (0.792-0.952)580.98 (0.902-0.997)0.02 (0.003-0.098)54Malanville0.19 (0.109-0.309)0.81 (0.691-0.891)580.68 (0.548-0.786)0.32 (0.21-0.45)56Tori Bossito0.33 (0.138-0.609)0.67 (0.391-0.862)121012Bohicon0.12 (0.022-0.471)0.88 (0.529-0.978)81082011\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Cotonou0.09 (0.046-0.156)0.91 (0.84-0.95)10410104Tori Bossito0.30 (0.10-0.60)0.70 (0.39-0.89)101010\nS-form\n2010\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Bohicon0.05 (0.014-0.165)0.95 (0.835-0.986)400.80 (0.652-0.895)0.20 (0.10-0.34)40Tori Bossito0.068 (0.024-0.182)0.932 (0.818-0.977)440.68 (0.534-0.8)0.32 (0.20-0.46)442011\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Bohicon00.991480.71 (0.632-0.777)0.29 (0.22-0.36)148Tori Bossito01860.64 (0.534-0.733)0.36 (0.26-0.46)86\n\nKdr\nallelic frequencies in\nAn. gambiae\nin each site per collection period\n\nThe 1014S allele was identified in one specimen of An. gambiae S-form in Bohicon in co-occurrence with the 1014 F allele." ]
[ null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Mosquito sampling", "Insecticide susceptibility tests", "Species identification and kdrgenotyping", "mRNA expression of candidate metabolic genes", "RNA extraction and cDNA synthesis", "Reverse-transcription quantitative PCR (RT-qPCR)", "Data analysis", "Results", "DDT resistance", "Differential expression of metabolic genes in An. gambiae", "Target-site mutations in An. gambiaein Benin", "Discussion", "Conclusion" ]
[ "The development of insecticide resistance in anopheles mosquitoes is a major threat for malaria vector control. In Anopheles gambiae mosquitoes, the main malaria vector in Africa, two main mechanisms of resistance have been widely studied: target site modifications and insecticide detoxification known as metabolic resistance [1].\nFor the former, two alternative substitutions occur at position 1014 in the voltage gated sodium channel (VGSC) of An. gambiae: leucine to phenylalanine (L1014F) and leucine to serine (L1014S). The distribution of these two alleles is currently expanding in the M and S molecular forms of An. gambiae as well as in An. arabiensis\n[2]. Furthermore, the frequency of these alleles is rising in many areas of Africa associated with selective sweeps [3]. These mutations are associated with cross resistance to DDT and pyrethroids [4]. Clear association between DDT or pyrethroids resistance and the presence of kdr mutations has been shown in several studies [5]. Recently, the emergence of a new mutation N1575Y, within the linker between domains III-IV of the VGSC was found in An. gambiae. N1575Y occurs inextricably with L1014F on the same haplotypic background and evidence suggests that a secondary selective sweep associated with resistance to pyrethroids/DDT is occurring throughout West Africa [6].\nMetabolic resistance results from increased detoxification processes by gene amplification and/or expression [1, 7–9]. The over-expression of P450 monooxygenases has been described from several pyrethroid-resistant populations of An. gambiae\n[8, 10–13] and An. arabiensis\n[14]\n. In this enzyme family, CYP6M2 is a promising genetic marker for pyrethroid/DDT resistance as it has been demonstrated to metabolize both insecticide classes [15]. A second family of metabolic enzymes, glutathione-S-transferases (GSTs), is thought to play a significant role in DDT and pyrethroid resistance in An. gambiae\n[8, 16].\nWhile the epidemiological consequences of pyrethroids resistance have yet to be established, the rapid evolution of insecticide resistant alleles over the past decade is a real cause for concern for vector control [17]. Monitoring these markers of pyrethroids resistance has significant advantages for insecticide resistance management. In Benin, entomological surveys carried out since 2007 have implicated the involvement of GSTs, P450s and esterases in insecticide resistance in Anopheles mosquitoes [8, 18]. The kdr mutations coupled with metabolic resistance was reported in several An. gambiae populations with variation described between species, sites and collection periods [8]. This situation is worrying since it can seriously threaten the efficiency of insecticide treated nets and insecticide residual spray as recently reported in Benin [19–21]. A better understanding of the genetic and evolutionary processes involved in insecticide resistance is essential to design insecticide resistance management strategies. In this study, we investigated the distribution of the kdr alleles and the gene expression of four candidate metabolisers of pyrethroids/DDT (CYP6M2, CYP6P3, GSTD3 and GSTE2) in An. gambiae throughout Benin.", " Mosquito sampling From December 2010 to December 2011, larvae of An. gambiae mosquitoes were collected in four different sites in Benin (Cotonou, Tori-Bossito, Bohicon and Malanville) in the framework of the WHO/TDR network project [18]. All larvae were brought back to laboratory of the Centre de Recherche Entomologique de Cotonou (CREC) for rearing. Emerging adult female mosquitoes (F0) were used for insecticide susceptibility tests and molecular assays.\nThe IRD (Institut de Recherche pour le Développement) Ethics Committee and the National Research Ethics Committee of Benin approved the study (CNPERS, reference number IRB00006860).\nFrom December 2010 to December 2011, larvae of An. gambiae mosquitoes were collected in four different sites in Benin (Cotonou, Tori-Bossito, Bohicon and Malanville) in the framework of the WHO/TDR network project [18]. All larvae were brought back to laboratory of the Centre de Recherche Entomologique de Cotonou (CREC) for rearing. Emerging adult female mosquitoes (F0) were used for insecticide susceptibility tests and molecular assays.\nThe IRD (Institut de Recherche pour le Développement) Ethics Committee and the National Research Ethics Committee of Benin approved the study (CNPERS, reference number IRB00006860).\n Insecticide susceptibility tests Insecticide susceptibility tests were carried out on 2–5 days old female mosquitoes [22]. Samples collected in Cotonou and Malanville in December 2010 were exposed to DDT 4% for 1 hour and survivors of 48 hours after DDT exposure were stored in RNA later (SIGMA). In December 2011, WHO cylinder kits were used to expose mosquitoes (from Cotonou, Tori-Bossito and Bohicon) to increasing exposure times with the intention of generating time-response curves. Batches of 20–25 mosquitoes were exposed to test papers impregnated with DDT 4% at the following exposure times; 30 min, 45 min, 60 min, 90 min, 120 min, 150 min, 240 min and 300 min. Non-impregnated control papers were used throughout all experiments. Survivors and non-exposed mosquitoes were also stored in RNA later (SIGMA) and kept at −20°C for DNA and RNA analysis.\nInsecticide susceptibility tests were carried out on 2–5 days old female mosquitoes [22]. Samples collected in Cotonou and Malanville in December 2010 were exposed to DDT 4% for 1 hour and survivors of 48 hours after DDT exposure were stored in RNA later (SIGMA). In December 2011, WHO cylinder kits were used to expose mosquitoes (from Cotonou, Tori-Bossito and Bohicon) to increasing exposure times with the intention of generating time-response curves. Batches of 20–25 mosquitoes were exposed to test papers impregnated with DDT 4% at the following exposure times; 30 min, 45 min, 60 min, 90 min, 120 min, 150 min, 240 min and 300 min. Non-impregnated control papers were used throughout all experiments. Survivors and non-exposed mosquitoes were also stored in RNA later (SIGMA) and kept at −20°C for DNA and RNA analysis.\n Species identification and kdrgenotyping DNA was extracted from control and alive mosquitoes following insecticide exposure using the LIVAK buffer method [23]. Specimens were identified to species and molecular form by the SINE-PCR protocol [2]. L1014F, L1014S and N1575Y were screened using TaqMan assays as previously described [6, 24]. Forward and reverse primers and three minor groove binding (MGB) probes (Applied Biosystems) were designed using the Primer Express™ Software Version 2.0. Primers kdr-Forward (5' CATTTTTCTTGGCCACTGTAGTGAT-3'), and kdr-Reverse (5'-CGATCTTGGTCCATGTTAATTTGCA-3') were standard oligonucleotides with no modification. The probe WT (5'-CTTACGACTAAATTTC-3') was labelled with VIC at the 5' end for the detection of the wild type allele, the probes kdrW (5'-ACGACAAAATTTC-3') and kdrE (5'-ACGACTGAATTTC- 3') were labelled with 6-FAM for detection of the kdr-w and kdr-e alleles respectively. For the N1575Y, the primers F3’TGGATCGCTAGAAATGTTCATGACA-5’ R3’CGAGGAATTGCCTTTAGAGGTTTCT-5’were used [6].\nDNA was extracted from control and alive mosquitoes following insecticide exposure using the LIVAK buffer method [23]. Specimens were identified to species and molecular form by the SINE-PCR protocol [2]. L1014F, L1014S and N1575Y were screened using TaqMan assays as previously described [6, 24]. Forward and reverse primers and three minor groove binding (MGB) probes (Applied Biosystems) were designed using the Primer Express™ Software Version 2.0. Primers kdr-Forward (5' CATTTTTCTTGGCCACTGTAGTGAT-3'), and kdr-Reverse (5'-CGATCTTGGTCCATGTTAATTTGCA-3') were standard oligonucleotides with no modification. The probe WT (5'-CTTACGACTAAATTTC-3') was labelled with VIC at the 5' end for the detection of the wild type allele, the probes kdrW (5'-ACGACAAAATTTC-3') and kdrE (5'-ACGACTGAATTTC- 3') were labelled with 6-FAM for detection of the kdr-w and kdr-e alleles respectively. For the N1575Y, the primers F3’TGGATCGCTAGAAATGTTCATGACA-5’ R3’CGAGGAATTGCCTTTAGAGGTTTCT-5’were used [6].\n mRNA expression of candidate metabolic genes RNA extraction and cDNA synthesis Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA.\nMosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA.\n RNA extraction and cDNA synthesis Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA.\nMosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA.\n Reverse-transcription quantitative PCR (RT-qPCR) The relative gene expression of CYP6M2, CYP6P3, GSTD3 and GSTE2 was analyzed by quantitative PCR (qPCR). Actin-5C (AGAP000651) and ribosomal protein S7 (AGAP010592) were used as endogenous control genes to account for any differences in template input. Three biological replicates were run for each sample on a plate. A TaqMan gene expression assay was used for GSTE2 whereas SYBR Green was used for CYP6M2, CYP6P3 and GSTD3. Primers for qPCR were designed using NCBI primer BLAST (http://www.ncbi.nlm.nih.gov/tools/primer-blast/) by using Xm codes from Vector Base. The Table 1 shows the primers used for qPCR.Table 1\nPrimers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse)\nPrimersPrimer sequencesReferencesCYP6P3F: 5’-GTGATTGACGAAACCCTTCGGAAGT-3’[25]R: 5’-GCACCAGTGTTCGCTTCGGGA-3’CYP6M2F: 5’-TACGATGACAACAAGGGCAAG- 3’R: 5’- GCGATCGTGGAAGTACTGG-3’GSTD3F: 5’-CTAAGCTTAATCCGCAACATACCA-3R: 5’-GTGTCATCCTTGCCGTACAC-3’GSTE2F: 5’-GCCGGAATTTGTGAAGCTAAACCCG-3’R: 5’-TGCTTGACGGGGTCTTTCGGAT-3’S7F: 5’- AGAACCAGCAGACCACCATC-3’[14]R: 5’- GCTGCAAACTTCGGCTATTC-3’ActinF: 5’-ACATCGCCGAAGATCGCCCA-3’R: 5’-AGAGGGATTAAGTTGCAGCACTCG-3’\n\nPrimers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse)\n\nThe expression of CYP6M2 and GSTE2 was determined in non-exposed (control batches) and exposed (DDT 300 minutes) mosquitoes. The Kisumu strain (susceptible; S-form) and N’Gousso (susceptible; M-form) were used as reference laboratory strains and not selected with insecticide. Real-time PCR reactions were run on the Agilent MxP3005P (Agilent Technologies). For each target gene, standard curves were generated using a five times serially diluted cDNA samples to assess the PCR efficiency and the dynamic range of cDNA. The PCR efficiencies of each gene fell ±10% of 100% and all had single melting curve peaks indicating specificity of the assay. The cDNA were diluted 5-fold in as this was the concentration that fitted within the dynamic range of each qPCR and stored at −20°C.\nThe relative gene expression of CYP6M2, CYP6P3, GSTD3 and GSTE2 was analyzed by quantitative PCR (qPCR). Actin-5C (AGAP000651) and ribosomal protein S7 (AGAP010592) were used as endogenous control genes to account for any differences in template input. Three biological replicates were run for each sample on a plate. A TaqMan gene expression assay was used for GSTE2 whereas SYBR Green was used for CYP6M2, CYP6P3 and GSTD3. Primers for qPCR were designed using NCBI primer BLAST (http://www.ncbi.nlm.nih.gov/tools/primer-blast/) by using Xm codes from Vector Base. The Table 1 shows the primers used for qPCR.Table 1\nPrimers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse)\nPrimersPrimer sequencesReferencesCYP6P3F: 5’-GTGATTGACGAAACCCTTCGGAAGT-3’[25]R: 5’-GCACCAGTGTTCGCTTCGGGA-3’CYP6M2F: 5’-TACGATGACAACAAGGGCAAG- 3’R: 5’- GCGATCGTGGAAGTACTGG-3’GSTD3F: 5’-CTAAGCTTAATCCGCAACATACCA-3R: 5’-GTGTCATCCTTGCCGTACAC-3’GSTE2F: 5’-GCCGGAATTTGTGAAGCTAAACCCG-3’R: 5’-TGCTTGACGGGGTCTTTCGGAT-3’S7F: 5’- AGAACCAGCAGACCACCATC-3’[14]R: 5’- GCTGCAAACTTCGGCTATTC-3’ActinF: 5’-ACATCGCCGAAGATCGCCCA-3’R: 5’-AGAGGGATTAAGTTGCAGCACTCG-3’\n\nPrimers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse)\n\nThe expression of CYP6M2 and GSTE2 was determined in non-exposed (control batches) and exposed (DDT 300 minutes) mosquitoes. The Kisumu strain (susceptible; S-form) and N’Gousso (susceptible; M-form) were used as reference laboratory strains and not selected with insecticide. Real-time PCR reactions were run on the Agilent MxP3005P (Agilent Technologies). For each target gene, standard curves were generated using a five times serially diluted cDNA samples to assess the PCR efficiency and the dynamic range of cDNA. The PCR efficiencies of each gene fell ±10% of 100% and all had single melting curve peaks indicating specificity of the assay. The cDNA were diluted 5-fold in as this was the concentration that fitted within the dynamic range of each qPCR and stored at −20°C.\n Data analysis The mortality rates were classified in accordance with the recommended criteria by WHO [22]. The resistance status was determined based on the following criteria:\n\n\n\nMortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population\n\n\n\nMortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population\nMortality 80 – 97%: suspected resistance in the Anopheles population.\nMortality < 80%: resistant Anopheles population\nOur hypothesis according to previous findings with the metabolic candidate genes was that gene expression is higher in resistant-field mosquitoes than the laboratory susceptible strain. Therefore, the relative expression (linear fold-changes) of CYP6M2, CYP6P3, GSTD3 and GSTE2 were calculated according to the ΔΔCt method described by Schmittgen, and Livak [26] using laboratory strains as calibrator samples. Strains were only compared belonging to the same molecular form (e.g. Cotonou/Malanville versus N’gousso (M-form) and Tori-Bossito/Bohicon versus Kisumu (S-form). PCR efficiencies were incorporated into the calculations. Basic data analysis (regression and t-tests were performed in Excel with p < 0.05 used to assess significant difference between treatments for the t-tests).\nThe mortality rates were classified in accordance with the recommended criteria by WHO [22]. The resistance status was determined based on the following criteria:\n\n\n\nMortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population\n\n\n\nMortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population\nMortality 80 – 97%: suspected resistance in the Anopheles population.\nMortality < 80%: resistant Anopheles population\nOur hypothesis according to previous findings with the metabolic candidate genes was that gene expression is higher in resistant-field mosquitoes than the laboratory susceptible strain. Therefore, the relative expression (linear fold-changes) of CYP6M2, CYP6P3, GSTD3 and GSTE2 were calculated according to the ΔΔCt method described by Schmittgen, and Livak [26] using laboratory strains as calibrator samples. Strains were only compared belonging to the same molecular form (e.g. Cotonou/Malanville versus N’gousso (M-form) and Tori-Bossito/Bohicon versus Kisumu (S-form). PCR efficiencies were incorporated into the calculations. Basic data analysis (regression and t-tests were performed in Excel with p < 0.05 used to assess significant difference between treatments for the t-tests).", "From December 2010 to December 2011, larvae of An. gambiae mosquitoes were collected in four different sites in Benin (Cotonou, Tori-Bossito, Bohicon and Malanville) in the framework of the WHO/TDR network project [18]. All larvae were brought back to laboratory of the Centre de Recherche Entomologique de Cotonou (CREC) for rearing. Emerging adult female mosquitoes (F0) were used for insecticide susceptibility tests and molecular assays.\nThe IRD (Institut de Recherche pour le Développement) Ethics Committee and the National Research Ethics Committee of Benin approved the study (CNPERS, reference number IRB00006860).", "Insecticide susceptibility tests were carried out on 2–5 days old female mosquitoes [22]. Samples collected in Cotonou and Malanville in December 2010 were exposed to DDT 4% for 1 hour and survivors of 48 hours after DDT exposure were stored in RNA later (SIGMA). In December 2011, WHO cylinder kits were used to expose mosquitoes (from Cotonou, Tori-Bossito and Bohicon) to increasing exposure times with the intention of generating time-response curves. Batches of 20–25 mosquitoes were exposed to test papers impregnated with DDT 4% at the following exposure times; 30 min, 45 min, 60 min, 90 min, 120 min, 150 min, 240 min and 300 min. Non-impregnated control papers were used throughout all experiments. Survivors and non-exposed mosquitoes were also stored in RNA later (SIGMA) and kept at −20°C for DNA and RNA analysis.", "DNA was extracted from control and alive mosquitoes following insecticide exposure using the LIVAK buffer method [23]. Specimens were identified to species and molecular form by the SINE-PCR protocol [2]. L1014F, L1014S and N1575Y were screened using TaqMan assays as previously described [6, 24]. Forward and reverse primers and three minor groove binding (MGB) probes (Applied Biosystems) were designed using the Primer Express™ Software Version 2.0. Primers kdr-Forward (5' CATTTTTCTTGGCCACTGTAGTGAT-3'), and kdr-Reverse (5'-CGATCTTGGTCCATGTTAATTTGCA-3') were standard oligonucleotides with no modification. The probe WT (5'-CTTACGACTAAATTTC-3') was labelled with VIC at the 5' end for the detection of the wild type allele, the probes kdrW (5'-ACGACAAAATTTC-3') and kdrE (5'-ACGACTGAATTTC- 3') were labelled with 6-FAM for detection of the kdr-w and kdr-e alleles respectively. For the N1575Y, the primers F3’TGGATCGCTAGAAATGTTCATGACA-5’ R3’CGAGGAATTGCCTTTAGAGGTTTCT-5’were used [6].", " RNA extraction and cDNA synthesis Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA.\nMosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA.", "Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA.", "The relative gene expression of CYP6M2, CYP6P3, GSTD3 and GSTE2 was analyzed by quantitative PCR (qPCR). Actin-5C (AGAP000651) and ribosomal protein S7 (AGAP010592) were used as endogenous control genes to account for any differences in template input. Three biological replicates were run for each sample on a plate. A TaqMan gene expression assay was used for GSTE2 whereas SYBR Green was used for CYP6M2, CYP6P3 and GSTD3. Primers for qPCR were designed using NCBI primer BLAST (http://www.ncbi.nlm.nih.gov/tools/primer-blast/) by using Xm codes from Vector Base. The Table 1 shows the primers used for qPCR.Table 1\nPrimers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse)\nPrimersPrimer sequencesReferencesCYP6P3F: 5’-GTGATTGACGAAACCCTTCGGAAGT-3’[25]R: 5’-GCACCAGTGTTCGCTTCGGGA-3’CYP6M2F: 5’-TACGATGACAACAAGGGCAAG- 3’R: 5’- GCGATCGTGGAAGTACTGG-3’GSTD3F: 5’-CTAAGCTTAATCCGCAACATACCA-3R: 5’-GTGTCATCCTTGCCGTACAC-3’GSTE2F: 5’-GCCGGAATTTGTGAAGCTAAACCCG-3’R: 5’-TGCTTGACGGGGTCTTTCGGAT-3’S7F: 5’- AGAACCAGCAGACCACCATC-3’[14]R: 5’- GCTGCAAACTTCGGCTATTC-3’ActinF: 5’-ACATCGCCGAAGATCGCCCA-3’R: 5’-AGAGGGATTAAGTTGCAGCACTCG-3’\n\nPrimers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse)\n\nThe expression of CYP6M2 and GSTE2 was determined in non-exposed (control batches) and exposed (DDT 300 minutes) mosquitoes. The Kisumu strain (susceptible; S-form) and N’Gousso (susceptible; M-form) were used as reference laboratory strains and not selected with insecticide. Real-time PCR reactions were run on the Agilent MxP3005P (Agilent Technologies). For each target gene, standard curves were generated using a five times serially diluted cDNA samples to assess the PCR efficiency and the dynamic range of cDNA. The PCR efficiencies of each gene fell ±10% of 100% and all had single melting curve peaks indicating specificity of the assay. The cDNA were diluted 5-fold in as this was the concentration that fitted within the dynamic range of each qPCR and stored at −20°C.", "The mortality rates were classified in accordance with the recommended criteria by WHO [22]. The resistance status was determined based on the following criteria:\n\n\n\nMortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population\n\n\n\nMortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population\nMortality 80 – 97%: suspected resistance in the Anopheles population.\nMortality < 80%: resistant Anopheles population\nOur hypothesis according to previous findings with the metabolic candidate genes was that gene expression is higher in resistant-field mosquitoes than the laboratory susceptible strain. Therefore, the relative expression (linear fold-changes) of CYP6M2, CYP6P3, GSTD3 and GSTE2 were calculated according to the ΔΔCt method described by Schmittgen, and Livak [26] using laboratory strains as calibrator samples. Strains were only compared belonging to the same molecular form (e.g. Cotonou/Malanville versus N’gousso (M-form) and Tori-Bossito/Bohicon versus Kisumu (S-form). PCR efficiencies were incorporated into the calculations. Basic data analysis (regression and t-tests were performed in Excel with p < 0.05 used to assess significant difference between treatments for the t-tests).", " DDT resistance In 2010, bioassays showed strong resistance to DDT in An. gambiae in two parts of the country (1% and 6% mortalities in Malanville and Cotonou respectively) [18]. In 2011, we observed no mortality in mosquitoes exposed to 4% DDT regardless of the exposure time (from 30 to 300 minutes), indicating that all mosquito populations were strongly resistant to this insecticide.\nIn 2010, bioassays showed strong resistance to DDT in An. gambiae in two parts of the country (1% and 6% mortalities in Malanville and Cotonou respectively) [18]. In 2011, we observed no mortality in mosquitoes exposed to 4% DDT regardless of the exposure time (from 30 to 300 minutes), indicating that all mosquito populations were strongly resistant to this insecticide.\n Differential expression of metabolic genes in An. gambiae The pre-dominant molecular form in Cotonou (M-form), Malanville (M-form), Bohicon (S-form) and Tori-Bossito (S-form) was exclusively used for qPCR analysis to avoid any bias in expression from mixed molecular forms.\nTwo experiments were performed to analyse the gene expression of metabolic candidates between the different strains from Benin. In the first experiment, M-form mosquitoes from Malanville and Cotonou collected in 2010 were exposed to DDT for one hour and the gene expression of GSTE2, GSTD3, CYP6P3 and CYP6M2 compared to the laboratory strain N’Gousso. All genes were up-regulated in DDT-exposed mosquitoes from Cotonou (between 2.8 and 3.8-fold (2-ΔΔCt)) (p < 0.05) whereas only CYP6P3 (2.4-fold) (p = 0.026) and GSTD3 (2.5-fold) (p = 0.020) were over-expressed in Malanville (Figure 1).Figure 1\nThe\nCYP6M2\n,\nCYP6P3\n,\nGSTE2\nand\nGSTD3\nexpression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval.\n\n\nThe\nCYP6M2\n,\nCYP6P3\n,\nGSTE2\nand\nGSTD3\nexpression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval.\n\nIn the second experiment, the gene expression of GSTE2 and CYP6M2 was compared between collections from three sites in 2011. Expression of each gene was compared between (i) mosquitoes exposed to DDT (ii) non-exposed resistant mosquitoes and (iii) laboratory susceptible strains. There were notable differences in expression between the wild mosquitoes and the laboratory strains (Figure 2). In M-form mosquitoes from Cotonou GSTE2 and CYP6M2 were up-regulated to 4.37 (p = 0.0013) and 2.23-fold (p = 0.037) compared to N’Gousso. In contrast, these genes did not show over-expression in the S-form in Tori-Bossito and Bohicon compared to Kisumu (p > 0.05). No significant differences in GSTE2 and CYP6M2 expression between DDT-exposed and non-exposed mosquitoes observed in any populations (p > 0.05).Figure 2\nThe\nGSTE2\nand\nCYP6M2\nexpression in non-exposed and DDT-exposed\nAn. gambiae s.l\ncollected in Cotonou, Tori-Bossito and Bohicon.\na) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval.\n\nThe\nGSTE2\nand\nCYP6M2\nexpression in non-exposed and DDT-exposed\nAn. gambiae s.l\ncollected in Cotonou, Tori-Bossito and Bohicon.\na) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval.\nThe pre-dominant molecular form in Cotonou (M-form), Malanville (M-form), Bohicon (S-form) and Tori-Bossito (S-form) was exclusively used for qPCR analysis to avoid any bias in expression from mixed molecular forms.\nTwo experiments were performed to analyse the gene expression of metabolic candidates between the different strains from Benin. In the first experiment, M-form mosquitoes from Malanville and Cotonou collected in 2010 were exposed to DDT for one hour and the gene expression of GSTE2, GSTD3, CYP6P3 and CYP6M2 compared to the laboratory strain N’Gousso. All genes were up-regulated in DDT-exposed mosquitoes from Cotonou (between 2.8 and 3.8-fold (2-ΔΔCt)) (p < 0.05) whereas only CYP6P3 (2.4-fold) (p = 0.026) and GSTD3 (2.5-fold) (p = 0.020) were over-expressed in Malanville (Figure 1).Figure 1\nThe\nCYP6M2\n,\nCYP6P3\n,\nGSTE2\nand\nGSTD3\nexpression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval.\n\n\nThe\nCYP6M2\n,\nCYP6P3\n,\nGSTE2\nand\nGSTD3\nexpression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval.\n\nIn the second experiment, the gene expression of GSTE2 and CYP6M2 was compared between collections from three sites in 2011. Expression of each gene was compared between (i) mosquitoes exposed to DDT (ii) non-exposed resistant mosquitoes and (iii) laboratory susceptible strains. There were notable differences in expression between the wild mosquitoes and the laboratory strains (Figure 2). In M-form mosquitoes from Cotonou GSTE2 and CYP6M2 were up-regulated to 4.37 (p = 0.0013) and 2.23-fold (p = 0.037) compared to N’Gousso. In contrast, these genes did not show over-expression in the S-form in Tori-Bossito and Bohicon compared to Kisumu (p > 0.05). No significant differences in GSTE2 and CYP6M2 expression between DDT-exposed and non-exposed mosquitoes observed in any populations (p > 0.05).Figure 2\nThe\nGSTE2\nand\nCYP6M2\nexpression in non-exposed and DDT-exposed\nAn. gambiae s.l\ncollected in Cotonou, Tori-Bossito and Bohicon.\na) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval.\n\nThe\nGSTE2\nand\nCYP6M2\nexpression in non-exposed and DDT-exposed\nAn. gambiae s.l\ncollected in Cotonou, Tori-Bossito and Bohicon.\na) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval.\n Target-site mutations in An. gambiaein Benin The N1575Y and L1014F mutations were identified in both non-exposed M- and S- form of An. gambiae in Benin. The L1014F kdr allelic frequency was almost fixed in the S form (0.932-1.00), which predominates in the south of the country. The frequency of L1014F ranged between 0.67 and 0.91 in the M-forms in the south (Cotonou, Tori Bossito and Bohicon) and was 0.81 (0.691-0.891) in the north (Malanville).\nIn 2010, we found the 1575Y allele in both molecular forms of An. gambiae. In the M-form, the frequency of this allele was much higher in the northern site Malanville; 0.321 (95% CI 0.214-0.452) than in the southern site of Cotonou 0.019 (95% CI 0.003-0.098) (p = 0.00). In 2011 we did not detect the 1575Y allele in Cotonou whereas the frequencies of 1575Y were 0.291 (95% CI 0.223-0.368) in Bohicon and 0.36 (95% CI 0.267-0.466) in Tori Bossito (see Table 2). There was no significant difference in the 1575Y frequency between years (p = 0.071).Table 2\nKdr\nallelic frequencies in\nAn. gambiae\nin each site per collection period\nM-form2010\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Cotonou0.10 (0.048-0.208)0.90 (0.792-0.952)580.98 (0.902-0.997)0.02 (0.003-0.098)54Malanville0.19 (0.109-0.309)0.81 (0.691-0.891)580.68 (0.548-0.786)0.32 (0.21-0.45)56Tori Bossito0.33 (0.138-0.609)0.67 (0.391-0.862)121012Bohicon0.12 (0.022-0.471)0.88 (0.529-0.978)81082011\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Cotonou0.09 (0.046-0.156)0.91 (0.84-0.95)10410104Tori Bossito0.30 (0.10-0.60)0.70 (0.39-0.89)101010\nS-form\n2010\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Bohicon0.05 (0.014-0.165)0.95 (0.835-0.986)400.80 (0.652-0.895)0.20 (0.10-0.34)40Tori Bossito0.068 (0.024-0.182)0.932 (0.818-0.977)440.68 (0.534-0.8)0.32 (0.20-0.46)442011\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Bohicon00.991480.71 (0.632-0.777)0.29 (0.22-0.36)148Tori Bossito01860.64 (0.534-0.733)0.36 (0.26-0.46)86\n\nKdr\nallelic frequencies in\nAn. gambiae\nin each site per collection period\n\nThe 1014S allele was identified in one specimen of An. gambiae S-form in Bohicon in co-occurrence with the 1014 F allele.\nThe N1575Y and L1014F mutations were identified in both non-exposed M- and S- form of An. gambiae in Benin. The L1014F kdr allelic frequency was almost fixed in the S form (0.932-1.00), which predominates in the south of the country. The frequency of L1014F ranged between 0.67 and 0.91 in the M-forms in the south (Cotonou, Tori Bossito and Bohicon) and was 0.81 (0.691-0.891) in the north (Malanville).\nIn 2010, we found the 1575Y allele in both molecular forms of An. gambiae. In the M-form, the frequency of this allele was much higher in the northern site Malanville; 0.321 (95% CI 0.214-0.452) than in the southern site of Cotonou 0.019 (95% CI 0.003-0.098) (p = 0.00). In 2011 we did not detect the 1575Y allele in Cotonou whereas the frequencies of 1575Y were 0.291 (95% CI 0.223-0.368) in Bohicon and 0.36 (95% CI 0.267-0.466) in Tori Bossito (see Table 2). There was no significant difference in the 1575Y frequency between years (p = 0.071).Table 2\nKdr\nallelic frequencies in\nAn. gambiae\nin each site per collection period\nM-form2010\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Cotonou0.10 (0.048-0.208)0.90 (0.792-0.952)580.98 (0.902-0.997)0.02 (0.003-0.098)54Malanville0.19 (0.109-0.309)0.81 (0.691-0.891)580.68 (0.548-0.786)0.32 (0.21-0.45)56Tori Bossito0.33 (0.138-0.609)0.67 (0.391-0.862)121012Bohicon0.12 (0.022-0.471)0.88 (0.529-0.978)81082011\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Cotonou0.09 (0.046-0.156)0.91 (0.84-0.95)10410104Tori Bossito0.30 (0.10-0.60)0.70 (0.39-0.89)101010\nS-form\n2010\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Bohicon0.05 (0.014-0.165)0.95 (0.835-0.986)400.80 (0.652-0.895)0.20 (0.10-0.34)40Tori Bossito0.068 (0.024-0.182)0.932 (0.818-0.977)440.68 (0.534-0.8)0.32 (0.20-0.46)442011\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Bohicon00.991480.71 (0.632-0.777)0.29 (0.22-0.36)148Tori Bossito01860.64 (0.534-0.733)0.36 (0.26-0.46)86\n\nKdr\nallelic frequencies in\nAn. gambiae\nin each site per collection period\n\nThe 1014S allele was identified in one specimen of An. gambiae S-form in Bohicon in co-occurrence with the 1014 F allele.", "In 2010, bioassays showed strong resistance to DDT in An. gambiae in two parts of the country (1% and 6% mortalities in Malanville and Cotonou respectively) [18]. In 2011, we observed no mortality in mosquitoes exposed to 4% DDT regardless of the exposure time (from 30 to 300 minutes), indicating that all mosquito populations were strongly resistant to this insecticide.", "The pre-dominant molecular form in Cotonou (M-form), Malanville (M-form), Bohicon (S-form) and Tori-Bossito (S-form) was exclusively used for qPCR analysis to avoid any bias in expression from mixed molecular forms.\nTwo experiments were performed to analyse the gene expression of metabolic candidates between the different strains from Benin. In the first experiment, M-form mosquitoes from Malanville and Cotonou collected in 2010 were exposed to DDT for one hour and the gene expression of GSTE2, GSTD3, CYP6P3 and CYP6M2 compared to the laboratory strain N’Gousso. All genes were up-regulated in DDT-exposed mosquitoes from Cotonou (between 2.8 and 3.8-fold (2-ΔΔCt)) (p < 0.05) whereas only CYP6P3 (2.4-fold) (p = 0.026) and GSTD3 (2.5-fold) (p = 0.020) were over-expressed in Malanville (Figure 1).Figure 1\nThe\nCYP6M2\n,\nCYP6P3\n,\nGSTE2\nand\nGSTD3\nexpression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval.\n\n\nThe\nCYP6M2\n,\nCYP6P3\n,\nGSTE2\nand\nGSTD3\nexpression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval.\n\nIn the second experiment, the gene expression of GSTE2 and CYP6M2 was compared between collections from three sites in 2011. Expression of each gene was compared between (i) mosquitoes exposed to DDT (ii) non-exposed resistant mosquitoes and (iii) laboratory susceptible strains. There were notable differences in expression between the wild mosquitoes and the laboratory strains (Figure 2). In M-form mosquitoes from Cotonou GSTE2 and CYP6M2 were up-regulated to 4.37 (p = 0.0013) and 2.23-fold (p = 0.037) compared to N’Gousso. In contrast, these genes did not show over-expression in the S-form in Tori-Bossito and Bohicon compared to Kisumu (p > 0.05). No significant differences in GSTE2 and CYP6M2 expression between DDT-exposed and non-exposed mosquitoes observed in any populations (p > 0.05).Figure 2\nThe\nGSTE2\nand\nCYP6M2\nexpression in non-exposed and DDT-exposed\nAn. gambiae s.l\ncollected in Cotonou, Tori-Bossito and Bohicon.\na) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval.\n\nThe\nGSTE2\nand\nCYP6M2\nexpression in non-exposed and DDT-exposed\nAn. gambiae s.l\ncollected in Cotonou, Tori-Bossito and Bohicon.\na) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval.", "The N1575Y and L1014F mutations were identified in both non-exposed M- and S- form of An. gambiae in Benin. The L1014F kdr allelic frequency was almost fixed in the S form (0.932-1.00), which predominates in the south of the country. The frequency of L1014F ranged between 0.67 and 0.91 in the M-forms in the south (Cotonou, Tori Bossito and Bohicon) and was 0.81 (0.691-0.891) in the north (Malanville).\nIn 2010, we found the 1575Y allele in both molecular forms of An. gambiae. In the M-form, the frequency of this allele was much higher in the northern site Malanville; 0.321 (95% CI 0.214-0.452) than in the southern site of Cotonou 0.019 (95% CI 0.003-0.098) (p = 0.00). In 2011 we did not detect the 1575Y allele in Cotonou whereas the frequencies of 1575Y were 0.291 (95% CI 0.223-0.368) in Bohicon and 0.36 (95% CI 0.267-0.466) in Tori Bossito (see Table 2). There was no significant difference in the 1575Y frequency between years (p = 0.071).Table 2\nKdr\nallelic frequencies in\nAn. gambiae\nin each site per collection period\nM-form2010\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Cotonou0.10 (0.048-0.208)0.90 (0.792-0.952)580.98 (0.902-0.997)0.02 (0.003-0.098)54Malanville0.19 (0.109-0.309)0.81 (0.691-0.891)580.68 (0.548-0.786)0.32 (0.21-0.45)56Tori Bossito0.33 (0.138-0.609)0.67 (0.391-0.862)121012Bohicon0.12 (0.022-0.471)0.88 (0.529-0.978)81082011\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Cotonou0.09 (0.046-0.156)0.91 (0.84-0.95)10410104Tori Bossito0.30 (0.10-0.60)0.70 (0.39-0.89)101010\nS-form\n2010\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Bohicon0.05 (0.014-0.165)0.95 (0.835-0.986)400.80 (0.652-0.895)0.20 (0.10-0.34)40Tori Bossito0.068 (0.024-0.182)0.932 (0.818-0.977)440.68 (0.534-0.8)0.32 (0.20-0.46)442011\nf 1014 L (95% C.I.)\nf 1014 F (95% C.I.)\nN (alleles)\nf 1575 N (95% C.I.)\nf 1575Y (95% C.I.)\nN (alleles)Bohicon00.991480.71 (0.632-0.777)0.29 (0.22-0.36)148Tori Bossito01860.64 (0.534-0.733)0.36 (0.26-0.46)86\n\nKdr\nallelic frequencies in\nAn. gambiae\nin each site per collection period\n\nThe 1014S allele was identified in one specimen of An. gambiae S-form in Bohicon in co-occurrence with the 1014 F allele.", "This study showed extremely high levels of DDT resistance in field populations of An. gambiae in Benin. This resistance profile is likely to be due to a combination the high frequencies of kdr mutations (L1014F and N1575Y) and over-expression of metabolic genes, i.e. GSTE2, GSTD3, CYP6M2 and CYP6P3 known to be involved in DDT and/or pyrethroids resistance.\nThe 1014 F kdr allelic frequency was almost fixed in the S-form and at a high frequency in the M-form. Such kdr 1014 F frequency in An. gambiae has been recently reported throughout sub-Saharan Africa [18, 27, 28]. In 2011 the kdr 1575Y allele was detected in the- S-form only and occurred solely upon a 1014 F haplotypic background confirming the results of Jones et al.\n[6]. The prevalence of this mutation has increased in West Africa in the last years hence indicating that the 1014 F-1575Y haplotype is under strong selection. From our data there was a slight but non-significant increase in 1575Y in the S-form. The 1575Y was only found at a high frequency in the M-form in the north of the country (0.321) close to the border of Burkina Faso where similar frequencies of this mutation have previously been observed [6]. We also detected L1014S from An. gambiae S-form confirming the extension of this mutation in An. gambiae s.s. in West Africa. Recent surveys carried in Benin and Burkina Faso detected the presence of 1014S kdr allele in both M and S form and An. arabiensis\n[18, 29, 30].\nThe additive resistance of 1575Y for permethrin and DDT in the S- and M-forms of An. gambiae respectively [6] and the presence of 1014S highlights the importance of continually monitoring for these mutations as part of insecticide resistance management.\nBased on previous findings that implicate metabolic candidate genes in DDT resistance we analysed the expression levels of two P450s and two GSTs in DDT resistant mosquitoes in Benin.\nThe over-expression of CYP6M2 and CYP6P3 has previously been associated with pyrethroid and DDT resistance in An. gambiae and are known metabolizers of both types I and type II of pyrethroids and DDT [11, 15]. The specific up-regulation of these two genes in the M-form from Cotonou agrees with previous findings in Benin and Ghana [7, 15]. Increased GST activity is known to confer DDT resistance in mosquitoes [31, 32] by catalyzing the removal of a chlorine group from the insecticide. In this study, GSTE2 and GSTD3 were up-regulated in M-form mosquitoes. Delta class GSTs have been implicated in insecticide resistance [33] but their role has previously thought to be relatively minor compared with those from the epsilon class. GSTE2 has been strongly associated with DDT and pyrethroid resistance in An. gambiae mosquitoes from Ghana [34–37] and with DDT resistance in An. funestus from Benin [38]. In this latter country, a single amino acid change (L119F) in an up-regulated glutathione S-transferase gene, GSTe2, in Anopheles funestus showed to confer high levels of metabolic resistance to DDT hence representing a promising marker to track the evolution of DDT and pyrethroid resistance in malaria vectors in West Africa [39, 40]. GSTD3 was up-regulated in DDT-resistant An. arabiensis from an urban site in Burkina Faso [30]. Further validation of the role of GSTD3 in DDT resistance is required.\nIn this paper, significant difference in gene expression between molecular forms and the laboratory strains was reported. No differential expression of CYP6M2 and GSTE2 was observed in the S-form from Bohicon and Tori-Bossito compared to the Kisumu strain whereas mosquitoes belonging to the M-form showed higher expression levels compared to N’Gousso. The difference of expression of these metabolic genes may be due to the differences of selection pressure induced by various xenobiotics in larval breeding sites. Indeed, general ecological differences have been documented between the M- and S-forms [41–43]. The M-form preferentially breeds in permanent polluted freshwater collections mainly resulting from human activity (e.g., agriculture and urbanization), whereas the S form thrives in temporary non-polluted breeding sites (e.g., rain-filled puddles, road ruts, and quarries) [42]. In the present study, the over-expression observed in M-form, may reflect the influence of a range of xenobiotics on selecting for resistance in mosquitoes [7, 44]. Whilst the impact of agricultural and public health use of insecticides has been widely linked to selection for resistance in malaria vector, recent evidence has also implicated other xenobiotics such as petroleum oils, heavy metals etc. [44–47]. We cannot exclude the possibility that besides these four metabolic genes, other enzymes and genetic mechanisms could be contributing to the phenotype as suggested from previous microarray studies [15, 37].\nIn the presence of xenobiotics, metabolic resistance can be related to constitutive or induced detoxification process or both [48]. Here we analyzed the induction effect of GSTE2 and CYP6M2 in An. gambiae mosquitoes after 300 minutes exposure to DDT. Results showed that mosquito exposure to DDT did not induce over-expression of GSTE2 and CYP6M2, suggesting that two genes are constitutively over-expressed in resistant mosquitoes.\nThe evidence that malaria vectors exhibit multiple insecticide resistance mechanisms is worrying for malaria prevention in Africa [4]. In Benin, reduced efficacy of LLIN and IRS has been shown in areas where malaria vectors exhibits high 1014 F frequency [21, 49]. There is an urgent need to implement routine insecticide resistance monitoring through all Malaria Control Programmes relying on DDT-based treatments. Monitoring the frequency and distribution of the genes contributing towards the resistance phenotype should play a role in insecticide resistance management. Quantifying the expression of the candidate genes analysed here using robust RT-qPCR assays in populations of resistant-mosquitoes throughout Benin could help this process.", "The spread of multi-resistance in wild populations of An. gambiae is worrying as it could threaten the effectiveness of malaria vector control strategies based on the use of chemicals." ]
[ null, "methods", null, null, null, null, null, null, null, "results", null, null, null, "discussion", "conclusions" ]
[ "\nAn. gambiae\n", "Insecticide resistance", "qPCR", "Kdr mutation", "Vector control", "Metabolic enzymes" ]
Background: The development of insecticide resistance in anopheles mosquitoes is a major threat for malaria vector control. In Anopheles gambiae mosquitoes, the main malaria vector in Africa, two main mechanisms of resistance have been widely studied: target site modifications and insecticide detoxification known as metabolic resistance [1]. For the former, two alternative substitutions occur at position 1014 in the voltage gated sodium channel (VGSC) of An. gambiae: leucine to phenylalanine (L1014F) and leucine to serine (L1014S). The distribution of these two alleles is currently expanding in the M and S molecular forms of An. gambiae as well as in An. arabiensis [2]. Furthermore, the frequency of these alleles is rising in many areas of Africa associated with selective sweeps [3]. These mutations are associated with cross resistance to DDT and pyrethroids [4]. Clear association between DDT or pyrethroids resistance and the presence of kdr mutations has been shown in several studies [5]. Recently, the emergence of a new mutation N1575Y, within the linker between domains III-IV of the VGSC was found in An. gambiae. N1575Y occurs inextricably with L1014F on the same haplotypic background and evidence suggests that a secondary selective sweep associated with resistance to pyrethroids/DDT is occurring throughout West Africa [6]. Metabolic resistance results from increased detoxification processes by gene amplification and/or expression [1, 7–9]. The over-expression of P450 monooxygenases has been described from several pyrethroid-resistant populations of An. gambiae [8, 10–13] and An. arabiensis [14] . In this enzyme family, CYP6M2 is a promising genetic marker for pyrethroid/DDT resistance as it has been demonstrated to metabolize both insecticide classes [15]. A second family of metabolic enzymes, glutathione-S-transferases (GSTs), is thought to play a significant role in DDT and pyrethroid resistance in An. gambiae [8, 16]. While the epidemiological consequences of pyrethroids resistance have yet to be established, the rapid evolution of insecticide resistant alleles over the past decade is a real cause for concern for vector control [17]. Monitoring these markers of pyrethroids resistance has significant advantages for insecticide resistance management. In Benin, entomological surveys carried out since 2007 have implicated the involvement of GSTs, P450s and esterases in insecticide resistance in Anopheles mosquitoes [8, 18]. The kdr mutations coupled with metabolic resistance was reported in several An. gambiae populations with variation described between species, sites and collection periods [8]. This situation is worrying since it can seriously threaten the efficiency of insecticide treated nets and insecticide residual spray as recently reported in Benin [19–21]. A better understanding of the genetic and evolutionary processes involved in insecticide resistance is essential to design insecticide resistance management strategies. In this study, we investigated the distribution of the kdr alleles and the gene expression of four candidate metabolisers of pyrethroids/DDT (CYP6M2, CYP6P3, GSTD3 and GSTE2) in An. gambiae throughout Benin. Methods: Mosquito sampling From December 2010 to December 2011, larvae of An. gambiae mosquitoes were collected in four different sites in Benin (Cotonou, Tori-Bossito, Bohicon and Malanville) in the framework of the WHO/TDR network project [18]. All larvae were brought back to laboratory of the Centre de Recherche Entomologique de Cotonou (CREC) for rearing. Emerging adult female mosquitoes (F0) were used for insecticide susceptibility tests and molecular assays. The IRD (Institut de Recherche pour le Développement) Ethics Committee and the National Research Ethics Committee of Benin approved the study (CNPERS, reference number IRB00006860). From December 2010 to December 2011, larvae of An. gambiae mosquitoes were collected in four different sites in Benin (Cotonou, Tori-Bossito, Bohicon and Malanville) in the framework of the WHO/TDR network project [18]. All larvae were brought back to laboratory of the Centre de Recherche Entomologique de Cotonou (CREC) for rearing. Emerging adult female mosquitoes (F0) were used for insecticide susceptibility tests and molecular assays. The IRD (Institut de Recherche pour le Développement) Ethics Committee and the National Research Ethics Committee of Benin approved the study (CNPERS, reference number IRB00006860). Insecticide susceptibility tests Insecticide susceptibility tests were carried out on 2–5 days old female mosquitoes [22]. Samples collected in Cotonou and Malanville in December 2010 were exposed to DDT 4% for 1 hour and survivors of 48 hours after DDT exposure were stored in RNA later (SIGMA). In December 2011, WHO cylinder kits were used to expose mosquitoes (from Cotonou, Tori-Bossito and Bohicon) to increasing exposure times with the intention of generating time-response curves. Batches of 20–25 mosquitoes were exposed to test papers impregnated with DDT 4% at the following exposure times; 30 min, 45 min, 60 min, 90 min, 120 min, 150 min, 240 min and 300 min. Non-impregnated control papers were used throughout all experiments. Survivors and non-exposed mosquitoes were also stored in RNA later (SIGMA) and kept at −20°C for DNA and RNA analysis. Insecticide susceptibility tests were carried out on 2–5 days old female mosquitoes [22]. Samples collected in Cotonou and Malanville in December 2010 were exposed to DDT 4% for 1 hour and survivors of 48 hours after DDT exposure were stored in RNA later (SIGMA). In December 2011, WHO cylinder kits were used to expose mosquitoes (from Cotonou, Tori-Bossito and Bohicon) to increasing exposure times with the intention of generating time-response curves. Batches of 20–25 mosquitoes were exposed to test papers impregnated with DDT 4% at the following exposure times; 30 min, 45 min, 60 min, 90 min, 120 min, 150 min, 240 min and 300 min. Non-impregnated control papers were used throughout all experiments. Survivors and non-exposed mosquitoes were also stored in RNA later (SIGMA) and kept at −20°C for DNA and RNA analysis. Species identification and kdrgenotyping DNA was extracted from control and alive mosquitoes following insecticide exposure using the LIVAK buffer method [23]. Specimens were identified to species and molecular form by the SINE-PCR protocol [2]. L1014F, L1014S and N1575Y were screened using TaqMan assays as previously described [6, 24]. Forward and reverse primers and three minor groove binding (MGB) probes (Applied Biosystems) were designed using the Primer Express™ Software Version 2.0. Primers kdr-Forward (5' CATTTTTCTTGGCCACTGTAGTGAT-3'), and kdr-Reverse (5'-CGATCTTGGTCCATGTTAATTTGCA-3') were standard oligonucleotides with no modification. The probe WT (5'-CTTACGACTAAATTTC-3') was labelled with VIC at the 5' end for the detection of the wild type allele, the probes kdrW (5'-ACGACAAAATTTC-3') and kdrE (5'-ACGACTGAATTTC- 3') were labelled with 6-FAM for detection of the kdr-w and kdr-e alleles respectively. For the N1575Y, the primers F3’TGGATCGCTAGAAATGTTCATGACA-5’ R3’CGAGGAATTGCCTTTAGAGGTTTCT-5’were used [6]. DNA was extracted from control and alive mosquitoes following insecticide exposure using the LIVAK buffer method [23]. Specimens were identified to species and molecular form by the SINE-PCR protocol [2]. L1014F, L1014S and N1575Y were screened using TaqMan assays as previously described [6, 24]. Forward and reverse primers and three minor groove binding (MGB) probes (Applied Biosystems) were designed using the Primer Express™ Software Version 2.0. Primers kdr-Forward (5' CATTTTTCTTGGCCACTGTAGTGAT-3'), and kdr-Reverse (5'-CGATCTTGGTCCATGTTAATTTGCA-3') were standard oligonucleotides with no modification. The probe WT (5'-CTTACGACTAAATTTC-3') was labelled with VIC at the 5' end for the detection of the wild type allele, the probes kdrW (5'-ACGACAAAATTTC-3') and kdrE (5'-ACGACTGAATTTC- 3') were labelled with 6-FAM for detection of the kdr-w and kdr-e alleles respectively. For the N1575Y, the primers F3’TGGATCGCTAGAAATGTTCATGACA-5’ R3’CGAGGAATTGCCTTTAGAGGTTTCT-5’were used [6]. mRNA expression of candidate metabolic genes RNA extraction and cDNA synthesis Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA. Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA. RNA extraction and cDNA synthesis Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA. Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA. Reverse-transcription quantitative PCR (RT-qPCR) The relative gene expression of CYP6M2, CYP6P3, GSTD3 and GSTE2 was analyzed by quantitative PCR (qPCR). Actin-5C (AGAP000651) and ribosomal protein S7 (AGAP010592) were used as endogenous control genes to account for any differences in template input. Three biological replicates were run for each sample on a plate. A TaqMan gene expression assay was used for GSTE2 whereas SYBR Green was used for CYP6M2, CYP6P3 and GSTD3. Primers for qPCR were designed using NCBI primer BLAST (http://www.ncbi.nlm.nih.gov/tools/primer-blast/) by using Xm codes from Vector Base. The Table 1 shows the primers used for qPCR.Table 1 Primers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse) PrimersPrimer sequencesReferencesCYP6P3F: 5’-GTGATTGACGAAACCCTTCGGAAGT-3’[25]R: 5’-GCACCAGTGTTCGCTTCGGGA-3’CYP6M2F: 5’-TACGATGACAACAAGGGCAAG- 3’R: 5’- GCGATCGTGGAAGTACTGG-3’GSTD3F: 5’-CTAAGCTTAATCCGCAACATACCA-3R: 5’-GTGTCATCCTTGCCGTACAC-3’GSTE2F: 5’-GCCGGAATTTGTGAAGCTAAACCCG-3’R: 5’-TGCTTGACGGGGTCTTTCGGAT-3’S7F: 5’- AGAACCAGCAGACCACCATC-3’[14]R: 5’- GCTGCAAACTTCGGCTATTC-3’ActinF: 5’-ACATCGCCGAAGATCGCCCA-3’R: 5’-AGAGGGATTAAGTTGCAGCACTCG-3’ Primers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse) The expression of CYP6M2 and GSTE2 was determined in non-exposed (control batches) and exposed (DDT 300 minutes) mosquitoes. The Kisumu strain (susceptible; S-form) and N’Gousso (susceptible; M-form) were used as reference laboratory strains and not selected with insecticide. Real-time PCR reactions were run on the Agilent MxP3005P (Agilent Technologies). For each target gene, standard curves were generated using a five times serially diluted cDNA samples to assess the PCR efficiency and the dynamic range of cDNA. The PCR efficiencies of each gene fell ±10% of 100% and all had single melting curve peaks indicating specificity of the assay. The cDNA were diluted 5-fold in as this was the concentration that fitted within the dynamic range of each qPCR and stored at −20°C. The relative gene expression of CYP6M2, CYP6P3, GSTD3 and GSTE2 was analyzed by quantitative PCR (qPCR). Actin-5C (AGAP000651) and ribosomal protein S7 (AGAP010592) were used as endogenous control genes to account for any differences in template input. Three biological replicates were run for each sample on a plate. A TaqMan gene expression assay was used for GSTE2 whereas SYBR Green was used for CYP6M2, CYP6P3 and GSTD3. Primers for qPCR were designed using NCBI primer BLAST (http://www.ncbi.nlm.nih.gov/tools/primer-blast/) by using Xm codes from Vector Base. The Table 1 shows the primers used for qPCR.Table 1 Primers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse) PrimersPrimer sequencesReferencesCYP6P3F: 5’-GTGATTGACGAAACCCTTCGGAAGT-3’[25]R: 5’-GCACCAGTGTTCGCTTCGGGA-3’CYP6M2F: 5’-TACGATGACAACAAGGGCAAG- 3’R: 5’- GCGATCGTGGAAGTACTGG-3’GSTD3F: 5’-CTAAGCTTAATCCGCAACATACCA-3R: 5’-GTGTCATCCTTGCCGTACAC-3’GSTE2F: 5’-GCCGGAATTTGTGAAGCTAAACCCG-3’R: 5’-TGCTTGACGGGGTCTTTCGGAT-3’S7F: 5’- AGAACCAGCAGACCACCATC-3’[14]R: 5’- GCTGCAAACTTCGGCTATTC-3’ActinF: 5’-ACATCGCCGAAGATCGCCCA-3’R: 5’-AGAGGGATTAAGTTGCAGCACTCG-3’ Primers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse) The expression of CYP6M2 and GSTE2 was determined in non-exposed (control batches) and exposed (DDT 300 minutes) mosquitoes. The Kisumu strain (susceptible; S-form) and N’Gousso (susceptible; M-form) were used as reference laboratory strains and not selected with insecticide. Real-time PCR reactions were run on the Agilent MxP3005P (Agilent Technologies). For each target gene, standard curves were generated using a five times serially diluted cDNA samples to assess the PCR efficiency and the dynamic range of cDNA. The PCR efficiencies of each gene fell ±10% of 100% and all had single melting curve peaks indicating specificity of the assay. The cDNA were diluted 5-fold in as this was the concentration that fitted within the dynamic range of each qPCR and stored at −20°C. Data analysis The mortality rates were classified in accordance with the recommended criteria by WHO [22]. The resistance status was determined based on the following criteria: Mortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population Mortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population Mortality 80 – 97%: suspected resistance in the Anopheles population. Mortality < 80%: resistant Anopheles population Our hypothesis according to previous findings with the metabolic candidate genes was that gene expression is higher in resistant-field mosquitoes than the laboratory susceptible strain. Therefore, the relative expression (linear fold-changes) of CYP6M2, CYP6P3, GSTD3 and GSTE2 were calculated according to the ΔΔCt method described by Schmittgen, and Livak [26] using laboratory strains as calibrator samples. Strains were only compared belonging to the same molecular form (e.g. Cotonou/Malanville versus N’gousso (M-form) and Tori-Bossito/Bohicon versus Kisumu (S-form). PCR efficiencies were incorporated into the calculations. Basic data analysis (regression and t-tests were performed in Excel with p < 0.05 used to assess significant difference between treatments for the t-tests). The mortality rates were classified in accordance with the recommended criteria by WHO [22]. The resistance status was determined based on the following criteria: Mortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population Mortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population Mortality 80 – 97%: suspected resistance in the Anopheles population. Mortality < 80%: resistant Anopheles population Our hypothesis according to previous findings with the metabolic candidate genes was that gene expression is higher in resistant-field mosquitoes than the laboratory susceptible strain. Therefore, the relative expression (linear fold-changes) of CYP6M2, CYP6P3, GSTD3 and GSTE2 were calculated according to the ΔΔCt method described by Schmittgen, and Livak [26] using laboratory strains as calibrator samples. Strains were only compared belonging to the same molecular form (e.g. Cotonou/Malanville versus N’gousso (M-form) and Tori-Bossito/Bohicon versus Kisumu (S-form). PCR efficiencies were incorporated into the calculations. Basic data analysis (regression and t-tests were performed in Excel with p < 0.05 used to assess significant difference between treatments for the t-tests). Mosquito sampling: From December 2010 to December 2011, larvae of An. gambiae mosquitoes were collected in four different sites in Benin (Cotonou, Tori-Bossito, Bohicon and Malanville) in the framework of the WHO/TDR network project [18]. All larvae were brought back to laboratory of the Centre de Recherche Entomologique de Cotonou (CREC) for rearing. Emerging adult female mosquitoes (F0) were used for insecticide susceptibility tests and molecular assays. The IRD (Institut de Recherche pour le Développement) Ethics Committee and the National Research Ethics Committee of Benin approved the study (CNPERS, reference number IRB00006860). Insecticide susceptibility tests: Insecticide susceptibility tests were carried out on 2–5 days old female mosquitoes [22]. Samples collected in Cotonou and Malanville in December 2010 were exposed to DDT 4% for 1 hour and survivors of 48 hours after DDT exposure were stored in RNA later (SIGMA). In December 2011, WHO cylinder kits were used to expose mosquitoes (from Cotonou, Tori-Bossito and Bohicon) to increasing exposure times with the intention of generating time-response curves. Batches of 20–25 mosquitoes were exposed to test papers impregnated with DDT 4% at the following exposure times; 30 min, 45 min, 60 min, 90 min, 120 min, 150 min, 240 min and 300 min. Non-impregnated control papers were used throughout all experiments. Survivors and non-exposed mosquitoes were also stored in RNA later (SIGMA) and kept at −20°C for DNA and RNA analysis. Species identification and kdrgenotyping: DNA was extracted from control and alive mosquitoes following insecticide exposure using the LIVAK buffer method [23]. Specimens were identified to species and molecular form by the SINE-PCR protocol [2]. L1014F, L1014S and N1575Y were screened using TaqMan assays as previously described [6, 24]. Forward and reverse primers and three minor groove binding (MGB) probes (Applied Biosystems) were designed using the Primer Express™ Software Version 2.0. Primers kdr-Forward (5' CATTTTTCTTGGCCACTGTAGTGAT-3'), and kdr-Reverse (5'-CGATCTTGGTCCATGTTAATTTGCA-3') were standard oligonucleotides with no modification. The probe WT (5'-CTTACGACTAAATTTC-3') was labelled with VIC at the 5' end for the detection of the wild type allele, the probes kdrW (5'-ACGACAAAATTTC-3') and kdrE (5'-ACGACTGAATTTC- 3') were labelled with 6-FAM for detection of the kdr-w and kdr-e alleles respectively. For the N1575Y, the primers F3’TGGATCGCTAGAAATGTTCATGACA-5’ R3’CGAGGAATTGCCTTTAGAGGTTTCT-5’were used [6]. mRNA expression of candidate metabolic genes: RNA extraction and cDNA synthesis Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA. Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA. RNA extraction and cDNA synthesis: Mosquitoes which survived DDT exposure (300 min) were used for the qPCR assays. Total RNA was extracted from batches of five mosquitoes (stored in RNA later) for each replicate by using PicoPure™ RNA kit isolation (Arcturus) according to the manufacturer’s instructions. RNA was treated using the RNA-Free DNAse set (Qiagen) to remove any contaminating genomic DNA. The concentration and the quality of the total RNA were assessed using a Nanodrop spectrophotometer (Nanodrop Technologies, UK). SuperSript™ III Reverse Transcriptase was used to synthesize first strand cDNA. Reverse-transcription quantitative PCR (RT-qPCR): The relative gene expression of CYP6M2, CYP6P3, GSTD3 and GSTE2 was analyzed by quantitative PCR (qPCR). Actin-5C (AGAP000651) and ribosomal protein S7 (AGAP010592) were used as endogenous control genes to account for any differences in template input. Three biological replicates were run for each sample on a plate. A TaqMan gene expression assay was used for GSTE2 whereas SYBR Green was used for CYP6M2, CYP6P3 and GSTD3. Primers for qPCR were designed using NCBI primer BLAST (http://www.ncbi.nlm.nih.gov/tools/primer-blast/) by using Xm codes from Vector Base. The Table 1 shows the primers used for qPCR.Table 1 Primers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse) PrimersPrimer sequencesReferencesCYP6P3F: 5’-GTGATTGACGAAACCCTTCGGAAGT-3’[25]R: 5’-GCACCAGTGTTCGCTTCGGGA-3’CYP6M2F: 5’-TACGATGACAACAAGGGCAAG- 3’R: 5’- GCGATCGTGGAAGTACTGG-3’GSTD3F: 5’-CTAAGCTTAATCCGCAACATACCA-3R: 5’-GTGTCATCCTTGCCGTACAC-3’GSTE2F: 5’-GCCGGAATTTGTGAAGCTAAACCCG-3’R: 5’-TGCTTGACGGGGTCTTTCGGAT-3’S7F: 5’- AGAACCAGCAGACCACCATC-3’[14]R: 5’- GCTGCAAACTTCGGCTATTC-3’ActinF: 5’-ACATCGCCGAAGATCGCCCA-3’R: 5’-AGAGGGATTAAGTTGCAGCACTCG-3’ Primers used in quantitative real-times PCR (qPCR) (F = Forward; R = Reverse) The expression of CYP6M2 and GSTE2 was determined in non-exposed (control batches) and exposed (DDT 300 minutes) mosquitoes. The Kisumu strain (susceptible; S-form) and N’Gousso (susceptible; M-form) were used as reference laboratory strains and not selected with insecticide. Real-time PCR reactions were run on the Agilent MxP3005P (Agilent Technologies). For each target gene, standard curves were generated using a five times serially diluted cDNA samples to assess the PCR efficiency and the dynamic range of cDNA. The PCR efficiencies of each gene fell ±10% of 100% and all had single melting curve peaks indicating specificity of the assay. The cDNA were diluted 5-fold in as this was the concentration that fitted within the dynamic range of each qPCR and stored at −20°C. Data analysis: The mortality rates were classified in accordance with the recommended criteria by WHO [22]. The resistance status was determined based on the following criteria: Mortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population Mortality > 97%: susceptible Anopheles population. Mortality 80 – 97%: suspected resistance in the Anopheles population.Mortality < 80%: resistant Anopheles population Mortality 80 – 97%: suspected resistance in the Anopheles population. Mortality < 80%: resistant Anopheles population Our hypothesis according to previous findings with the metabolic candidate genes was that gene expression is higher in resistant-field mosquitoes than the laboratory susceptible strain. Therefore, the relative expression (linear fold-changes) of CYP6M2, CYP6P3, GSTD3 and GSTE2 were calculated according to the ΔΔCt method described by Schmittgen, and Livak [26] using laboratory strains as calibrator samples. Strains were only compared belonging to the same molecular form (e.g. Cotonou/Malanville versus N’gousso (M-form) and Tori-Bossito/Bohicon versus Kisumu (S-form). PCR efficiencies were incorporated into the calculations. Basic data analysis (regression and t-tests were performed in Excel with p < 0.05 used to assess significant difference between treatments for the t-tests). Results: DDT resistance In 2010, bioassays showed strong resistance to DDT in An. gambiae in two parts of the country (1% and 6% mortalities in Malanville and Cotonou respectively) [18]. In 2011, we observed no mortality in mosquitoes exposed to 4% DDT regardless of the exposure time (from 30 to 300 minutes), indicating that all mosquito populations were strongly resistant to this insecticide. In 2010, bioassays showed strong resistance to DDT in An. gambiae in two parts of the country (1% and 6% mortalities in Malanville and Cotonou respectively) [18]. In 2011, we observed no mortality in mosquitoes exposed to 4% DDT regardless of the exposure time (from 30 to 300 minutes), indicating that all mosquito populations were strongly resistant to this insecticide. Differential expression of metabolic genes in An. gambiae The pre-dominant molecular form in Cotonou (M-form), Malanville (M-form), Bohicon (S-form) and Tori-Bossito (S-form) was exclusively used for qPCR analysis to avoid any bias in expression from mixed molecular forms. Two experiments were performed to analyse the gene expression of metabolic candidates between the different strains from Benin. In the first experiment, M-form mosquitoes from Malanville and Cotonou collected in 2010 were exposed to DDT for one hour and the gene expression of GSTE2, GSTD3, CYP6P3 and CYP6M2 compared to the laboratory strain N’Gousso. All genes were up-regulated in DDT-exposed mosquitoes from Cotonou (between 2.8 and 3.8-fold (2-ΔΔCt)) (p < 0.05) whereas only CYP6P3 (2.4-fold) (p = 0.026) and GSTD3 (2.5-fold) (p = 0.020) were over-expressed in Malanville (Figure 1).Figure 1 The CYP6M2 , CYP6P3 , GSTE2 and GSTD3 expression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval. The CYP6M2 , CYP6P3 , GSTE2 and GSTD3 expression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval. In the second experiment, the gene expression of GSTE2 and CYP6M2 was compared between collections from three sites in 2011. Expression of each gene was compared between (i) mosquitoes exposed to DDT (ii) non-exposed resistant mosquitoes and (iii) laboratory susceptible strains. There were notable differences in expression between the wild mosquitoes and the laboratory strains (Figure 2). In M-form mosquitoes from Cotonou GSTE2 and CYP6M2 were up-regulated to 4.37 (p = 0.0013) and 2.23-fold (p = 0.037) compared to N’Gousso. In contrast, these genes did not show over-expression in the S-form in Tori-Bossito and Bohicon compared to Kisumu (p > 0.05). No significant differences in GSTE2 and CYP6M2 expression between DDT-exposed and non-exposed mosquitoes observed in any populations (p > 0.05).Figure 2 The GSTE2 and CYP6M2 expression in non-exposed and DDT-exposed An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon. a) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval. The GSTE2 and CYP6M2 expression in non-exposed and DDT-exposed An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon. a) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval. The pre-dominant molecular form in Cotonou (M-form), Malanville (M-form), Bohicon (S-form) and Tori-Bossito (S-form) was exclusively used for qPCR analysis to avoid any bias in expression from mixed molecular forms. Two experiments were performed to analyse the gene expression of metabolic candidates between the different strains from Benin. In the first experiment, M-form mosquitoes from Malanville and Cotonou collected in 2010 were exposed to DDT for one hour and the gene expression of GSTE2, GSTD3, CYP6P3 and CYP6M2 compared to the laboratory strain N’Gousso. All genes were up-regulated in DDT-exposed mosquitoes from Cotonou (between 2.8 and 3.8-fold (2-ΔΔCt)) (p < 0.05) whereas only CYP6P3 (2.4-fold) (p = 0.026) and GSTD3 (2.5-fold) (p = 0.020) were over-expressed in Malanville (Figure 1).Figure 1 The CYP6M2 , CYP6P3 , GSTE2 and GSTD3 expression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval. The CYP6M2 , CYP6P3 , GSTE2 and GSTD3 expression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval. In the second experiment, the gene expression of GSTE2 and CYP6M2 was compared between collections from three sites in 2011. Expression of each gene was compared between (i) mosquitoes exposed to DDT (ii) non-exposed resistant mosquitoes and (iii) laboratory susceptible strains. There were notable differences in expression between the wild mosquitoes and the laboratory strains (Figure 2). In M-form mosquitoes from Cotonou GSTE2 and CYP6M2 were up-regulated to 4.37 (p = 0.0013) and 2.23-fold (p = 0.037) compared to N’Gousso. In contrast, these genes did not show over-expression in the S-form in Tori-Bossito and Bohicon compared to Kisumu (p > 0.05). No significant differences in GSTE2 and CYP6M2 expression between DDT-exposed and non-exposed mosquitoes observed in any populations (p > 0.05).Figure 2 The GSTE2 and CYP6M2 expression in non-exposed and DDT-exposed An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon. a) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval. The GSTE2 and CYP6M2 expression in non-exposed and DDT-exposed An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon. a) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval. Target-site mutations in An. gambiaein Benin The N1575Y and L1014F mutations were identified in both non-exposed M- and S- form of An. gambiae in Benin. The L1014F kdr allelic frequency was almost fixed in the S form (0.932-1.00), which predominates in the south of the country. The frequency of L1014F ranged between 0.67 and 0.91 in the M-forms in the south (Cotonou, Tori Bossito and Bohicon) and was 0.81 (0.691-0.891) in the north (Malanville). In 2010, we found the 1575Y allele in both molecular forms of An. gambiae. In the M-form, the frequency of this allele was much higher in the northern site Malanville; 0.321 (95% CI 0.214-0.452) than in the southern site of Cotonou 0.019 (95% CI 0.003-0.098) (p = 0.00). In 2011 we did not detect the 1575Y allele in Cotonou whereas the frequencies of 1575Y were 0.291 (95% CI 0.223-0.368) in Bohicon and 0.36 (95% CI 0.267-0.466) in Tori Bossito (see Table 2). There was no significant difference in the 1575Y frequency between years (p = 0.071).Table 2 Kdr allelic frequencies in An. gambiae in each site per collection period M-form2010 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Cotonou0.10 (0.048-0.208)0.90 (0.792-0.952)580.98 (0.902-0.997)0.02 (0.003-0.098)54Malanville0.19 (0.109-0.309)0.81 (0.691-0.891)580.68 (0.548-0.786)0.32 (0.21-0.45)56Tori Bossito0.33 (0.138-0.609)0.67 (0.391-0.862)121012Bohicon0.12 (0.022-0.471)0.88 (0.529-0.978)81082011 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Cotonou0.09 (0.046-0.156)0.91 (0.84-0.95)10410104Tori Bossito0.30 (0.10-0.60)0.70 (0.39-0.89)101010 S-form 2010 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Bohicon0.05 (0.014-0.165)0.95 (0.835-0.986)400.80 (0.652-0.895)0.20 (0.10-0.34)40Tori Bossito0.068 (0.024-0.182)0.932 (0.818-0.977)440.68 (0.534-0.8)0.32 (0.20-0.46)442011 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Bohicon00.991480.71 (0.632-0.777)0.29 (0.22-0.36)148Tori Bossito01860.64 (0.534-0.733)0.36 (0.26-0.46)86 Kdr allelic frequencies in An. gambiae in each site per collection period The 1014S allele was identified in one specimen of An. gambiae S-form in Bohicon in co-occurrence with the 1014 F allele. The N1575Y and L1014F mutations were identified in both non-exposed M- and S- form of An. gambiae in Benin. The L1014F kdr allelic frequency was almost fixed in the S form (0.932-1.00), which predominates in the south of the country. The frequency of L1014F ranged between 0.67 and 0.91 in the M-forms in the south (Cotonou, Tori Bossito and Bohicon) and was 0.81 (0.691-0.891) in the north (Malanville). In 2010, we found the 1575Y allele in both molecular forms of An. gambiae. In the M-form, the frequency of this allele was much higher in the northern site Malanville; 0.321 (95% CI 0.214-0.452) than in the southern site of Cotonou 0.019 (95% CI 0.003-0.098) (p = 0.00). In 2011 we did not detect the 1575Y allele in Cotonou whereas the frequencies of 1575Y were 0.291 (95% CI 0.223-0.368) in Bohicon and 0.36 (95% CI 0.267-0.466) in Tori Bossito (see Table 2). There was no significant difference in the 1575Y frequency between years (p = 0.071).Table 2 Kdr allelic frequencies in An. gambiae in each site per collection period M-form2010 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Cotonou0.10 (0.048-0.208)0.90 (0.792-0.952)580.98 (0.902-0.997)0.02 (0.003-0.098)54Malanville0.19 (0.109-0.309)0.81 (0.691-0.891)580.68 (0.548-0.786)0.32 (0.21-0.45)56Tori Bossito0.33 (0.138-0.609)0.67 (0.391-0.862)121012Bohicon0.12 (0.022-0.471)0.88 (0.529-0.978)81082011 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Cotonou0.09 (0.046-0.156)0.91 (0.84-0.95)10410104Tori Bossito0.30 (0.10-0.60)0.70 (0.39-0.89)101010 S-form 2010 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Bohicon0.05 (0.014-0.165)0.95 (0.835-0.986)400.80 (0.652-0.895)0.20 (0.10-0.34)40Tori Bossito0.068 (0.024-0.182)0.932 (0.818-0.977)440.68 (0.534-0.8)0.32 (0.20-0.46)442011 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Bohicon00.991480.71 (0.632-0.777)0.29 (0.22-0.36)148Tori Bossito01860.64 (0.534-0.733)0.36 (0.26-0.46)86 Kdr allelic frequencies in An. gambiae in each site per collection period The 1014S allele was identified in one specimen of An. gambiae S-form in Bohicon in co-occurrence with the 1014 F allele. DDT resistance: In 2010, bioassays showed strong resistance to DDT in An. gambiae in two parts of the country (1% and 6% mortalities in Malanville and Cotonou respectively) [18]. In 2011, we observed no mortality in mosquitoes exposed to 4% DDT regardless of the exposure time (from 30 to 300 minutes), indicating that all mosquito populations were strongly resistant to this insecticide. Differential expression of metabolic genes in An. gambiae: The pre-dominant molecular form in Cotonou (M-form), Malanville (M-form), Bohicon (S-form) and Tori-Bossito (S-form) was exclusively used for qPCR analysis to avoid any bias in expression from mixed molecular forms. Two experiments were performed to analyse the gene expression of metabolic candidates between the different strains from Benin. In the first experiment, M-form mosquitoes from Malanville and Cotonou collected in 2010 were exposed to DDT for one hour and the gene expression of GSTE2, GSTD3, CYP6P3 and CYP6M2 compared to the laboratory strain N’Gousso. All genes were up-regulated in DDT-exposed mosquitoes from Cotonou (between 2.8 and 3.8-fold (2-ΔΔCt)) (p < 0.05) whereas only CYP6P3 (2.4-fold) (p = 0.026) and GSTD3 (2.5-fold) (p = 0.020) were over-expressed in Malanville (Figure 1).Figure 1 The CYP6M2 , CYP6P3 , GSTE2 and GSTD3 expression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval. The CYP6M2 , CYP6P3 , GSTE2 and GSTD3 expression in Cotonou and Malanville after 48 hours DDT-exposure compared to those of. N’Gousso (M-form laboratory mosquito) Error bars are 95% confidence interval. In the second experiment, the gene expression of GSTE2 and CYP6M2 was compared between collections from three sites in 2011. Expression of each gene was compared between (i) mosquitoes exposed to DDT (ii) non-exposed resistant mosquitoes and (iii) laboratory susceptible strains. There were notable differences in expression between the wild mosquitoes and the laboratory strains (Figure 2). In M-form mosquitoes from Cotonou GSTE2 and CYP6M2 were up-regulated to 4.37 (p = 0.0013) and 2.23-fold (p = 0.037) compared to N’Gousso. In contrast, these genes did not show over-expression in the S-form in Tori-Bossito and Bohicon compared to Kisumu (p > 0.05). No significant differences in GSTE2 and CYP6M2 expression between DDT-exposed and non-exposed mosquitoes observed in any populations (p > 0.05).Figure 2 The GSTE2 and CYP6M2 expression in non-exposed and DDT-exposed An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon. a) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval. The GSTE2 and CYP6M2 expression in non-exposed and DDT-exposed An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon. a) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon compared to those of N’Gousso (M-form laboratory mosquito) and Kisumu (S-form laboratory mosquito). Error bars are 95% confidence interval. b) The GSTE2 and CYP6M2 expression in An. gambiae s.l collected in Cotonou, Tori-Bossito and Bohicon after 300 min exposure to 4% DDT compared to those of non-exposed mosquitoes. Error bars are 95% confidence interval. Target-site mutations in An. gambiaein Benin: The N1575Y and L1014F mutations were identified in both non-exposed M- and S- form of An. gambiae in Benin. The L1014F kdr allelic frequency was almost fixed in the S form (0.932-1.00), which predominates in the south of the country. The frequency of L1014F ranged between 0.67 and 0.91 in the M-forms in the south (Cotonou, Tori Bossito and Bohicon) and was 0.81 (0.691-0.891) in the north (Malanville). In 2010, we found the 1575Y allele in both molecular forms of An. gambiae. In the M-form, the frequency of this allele was much higher in the northern site Malanville; 0.321 (95% CI 0.214-0.452) than in the southern site of Cotonou 0.019 (95% CI 0.003-0.098) (p = 0.00). In 2011 we did not detect the 1575Y allele in Cotonou whereas the frequencies of 1575Y were 0.291 (95% CI 0.223-0.368) in Bohicon and 0.36 (95% CI 0.267-0.466) in Tori Bossito (see Table 2). There was no significant difference in the 1575Y frequency between years (p = 0.071).Table 2 Kdr allelic frequencies in An. gambiae in each site per collection period M-form2010 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Cotonou0.10 (0.048-0.208)0.90 (0.792-0.952)580.98 (0.902-0.997)0.02 (0.003-0.098)54Malanville0.19 (0.109-0.309)0.81 (0.691-0.891)580.68 (0.548-0.786)0.32 (0.21-0.45)56Tori Bossito0.33 (0.138-0.609)0.67 (0.391-0.862)121012Bohicon0.12 (0.022-0.471)0.88 (0.529-0.978)81082011 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Cotonou0.09 (0.046-0.156)0.91 (0.84-0.95)10410104Tori Bossito0.30 (0.10-0.60)0.70 (0.39-0.89)101010 S-form 2010 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Bohicon0.05 (0.014-0.165)0.95 (0.835-0.986)400.80 (0.652-0.895)0.20 (0.10-0.34)40Tori Bossito0.068 (0.024-0.182)0.932 (0.818-0.977)440.68 (0.534-0.8)0.32 (0.20-0.46)442011 f 1014 L (95% C.I.) f 1014 F (95% C.I.) N (alleles) f 1575 N (95% C.I.) f 1575Y (95% C.I.) N (alleles)Bohicon00.991480.71 (0.632-0.777)0.29 (0.22-0.36)148Tori Bossito01860.64 (0.534-0.733)0.36 (0.26-0.46)86 Kdr allelic frequencies in An. gambiae in each site per collection period The 1014S allele was identified in one specimen of An. gambiae S-form in Bohicon in co-occurrence with the 1014 F allele. Discussion: This study showed extremely high levels of DDT resistance in field populations of An. gambiae in Benin. This resistance profile is likely to be due to a combination the high frequencies of kdr mutations (L1014F and N1575Y) and over-expression of metabolic genes, i.e. GSTE2, GSTD3, CYP6M2 and CYP6P3 known to be involved in DDT and/or pyrethroids resistance. The 1014 F kdr allelic frequency was almost fixed in the S-form and at a high frequency in the M-form. Such kdr 1014 F frequency in An. gambiae has been recently reported throughout sub-Saharan Africa [18, 27, 28]. In 2011 the kdr 1575Y allele was detected in the- S-form only and occurred solely upon a 1014 F haplotypic background confirming the results of Jones et al. [6]. The prevalence of this mutation has increased in West Africa in the last years hence indicating that the 1014 F-1575Y haplotype is under strong selection. From our data there was a slight but non-significant increase in 1575Y in the S-form. The 1575Y was only found at a high frequency in the M-form in the north of the country (0.321) close to the border of Burkina Faso where similar frequencies of this mutation have previously been observed [6]. We also detected L1014S from An. gambiae S-form confirming the extension of this mutation in An. gambiae s.s. in West Africa. Recent surveys carried in Benin and Burkina Faso detected the presence of 1014S kdr allele in both M and S form and An. arabiensis [18, 29, 30]. The additive resistance of 1575Y for permethrin and DDT in the S- and M-forms of An. gambiae respectively [6] and the presence of 1014S highlights the importance of continually monitoring for these mutations as part of insecticide resistance management. Based on previous findings that implicate metabolic candidate genes in DDT resistance we analysed the expression levels of two P450s and two GSTs in DDT resistant mosquitoes in Benin. The over-expression of CYP6M2 and CYP6P3 has previously been associated with pyrethroid and DDT resistance in An. gambiae and are known metabolizers of both types I and type II of pyrethroids and DDT [11, 15]. The specific up-regulation of these two genes in the M-form from Cotonou agrees with previous findings in Benin and Ghana [7, 15]. Increased GST activity is known to confer DDT resistance in mosquitoes [31, 32] by catalyzing the removal of a chlorine group from the insecticide. In this study, GSTE2 and GSTD3 were up-regulated in M-form mosquitoes. Delta class GSTs have been implicated in insecticide resistance [33] but their role has previously thought to be relatively minor compared with those from the epsilon class. GSTE2 has been strongly associated with DDT and pyrethroid resistance in An. gambiae mosquitoes from Ghana [34–37] and with DDT resistance in An. funestus from Benin [38]. In this latter country, a single amino acid change (L119F) in an up-regulated glutathione S-transferase gene, GSTe2, in Anopheles funestus showed to confer high levels of metabolic resistance to DDT hence representing a promising marker to track the evolution of DDT and pyrethroid resistance in malaria vectors in West Africa [39, 40]. GSTD3 was up-regulated in DDT-resistant An. arabiensis from an urban site in Burkina Faso [30]. Further validation of the role of GSTD3 in DDT resistance is required. In this paper, significant difference in gene expression between molecular forms and the laboratory strains was reported. No differential expression of CYP6M2 and GSTE2 was observed in the S-form from Bohicon and Tori-Bossito compared to the Kisumu strain whereas mosquitoes belonging to the M-form showed higher expression levels compared to N’Gousso. The difference of expression of these metabolic genes may be due to the differences of selection pressure induced by various xenobiotics in larval breeding sites. Indeed, general ecological differences have been documented between the M- and S-forms [41–43]. The M-form preferentially breeds in permanent polluted freshwater collections mainly resulting from human activity (e.g., agriculture and urbanization), whereas the S form thrives in temporary non-polluted breeding sites (e.g., rain-filled puddles, road ruts, and quarries) [42]. In the present study, the over-expression observed in M-form, may reflect the influence of a range of xenobiotics on selecting for resistance in mosquitoes [7, 44]. Whilst the impact of agricultural and public health use of insecticides has been widely linked to selection for resistance in malaria vector, recent evidence has also implicated other xenobiotics such as petroleum oils, heavy metals etc. [44–47]. We cannot exclude the possibility that besides these four metabolic genes, other enzymes and genetic mechanisms could be contributing to the phenotype as suggested from previous microarray studies [15, 37]. In the presence of xenobiotics, metabolic resistance can be related to constitutive or induced detoxification process or both [48]. Here we analyzed the induction effect of GSTE2 and CYP6M2 in An. gambiae mosquitoes after 300 minutes exposure to DDT. Results showed that mosquito exposure to DDT did not induce over-expression of GSTE2 and CYP6M2, suggesting that two genes are constitutively over-expressed in resistant mosquitoes. The evidence that malaria vectors exhibit multiple insecticide resistance mechanisms is worrying for malaria prevention in Africa [4]. In Benin, reduced efficacy of LLIN and IRS has been shown in areas where malaria vectors exhibits high 1014 F frequency [21, 49]. There is an urgent need to implement routine insecticide resistance monitoring through all Malaria Control Programmes relying on DDT-based treatments. Monitoring the frequency and distribution of the genes contributing towards the resistance phenotype should play a role in insecticide resistance management. Quantifying the expression of the candidate genes analysed here using robust RT-qPCR assays in populations of resistant-mosquitoes throughout Benin could help this process. Conclusion: The spread of multi-resistance in wild populations of An. gambiae is worrying as it could threaten the effectiveness of malaria vector control strategies based on the use of chemicals.
Background: Insecticide resistance in the mosquito vector is the one of the main obstacles against effective malaria control. In order to implement insecticide resistance management strategies, it is important to understand the genetic factors involved. In this context, we investigated the molecular basis of DDT resistance in the main malaria vector from Benin. Methods: Anopheles gambiae mosquitoes were collected from four sites across Benin and identified to species/molecular form. Mosquitoes from Cotonou (M-form), Tori-Bossito (S-form) and Bohicon (S-form) were exposed to DDT 4% at a range of exposure times (30 min to 300 min). Another batch of mosquitoes from Cotonou and Malanville were exposed to DDT for 1 hour and the survivors 48 hours post exposure were used to quantify metabolic gene expression. Quantitative PCR assays were used to quantify mRNA levels of metabolic enzymes: GSTE2, GSTD3, CYP6P3 and CYP6M2. Expression (fold-change) was calculated using the ∆∆Ct method and compared to susceptible strains. Detection of target-site mutations (L1014F, L1014S and N1575Y) was performed using allelic discrimination TaqMan assays. Results: DDT resistance was extremely high in all populations, regardless of molecular form, with no observed mortality after 300 min exposure. In both DDT-survivors and non-exposed mosquitoes, GSTE2 and GSTD3 were over-expressed in the M form at 4.4-fold and 3.5-fold in Cotonou and 1.5-fold and 2.5-fold in Malanville respectively, when compared to the susceptible strain. The CYP6M2 and CYP6P3 were over-expressed at 4.6-fold and 3.8-fold in Cotonou and 1.2-fold and 2.5-fold in Malanville respectively. In contrast, no differences in GSTE2 and CYP6M2 were observed between S form mosquitoes from Tori-Bossito and Bohicon compared to susceptible strain. The 1014 F allele was fixed in the S-form and at high frequency in the M-form (0.7-0.914). The frequency of 1575Y allele was 0.29-0.36 in the S-form and nil in the M-form. The 1014S allele was detected in the S form of An. gambiae in a 1014 F/1014S heterozygous specimen. Conclusions: Our results show that the kdr 1014 F, 1014S and 1575Y alleles are widespread in Benin and the expression of two candidate metabolic markers (GSTE2 and CYP6M2) are over-expressed specifically in the M-form.
Background: The development of insecticide resistance in anopheles mosquitoes is a major threat for malaria vector control. In Anopheles gambiae mosquitoes, the main malaria vector in Africa, two main mechanisms of resistance have been widely studied: target site modifications and insecticide detoxification known as metabolic resistance [1]. For the former, two alternative substitutions occur at position 1014 in the voltage gated sodium channel (VGSC) of An. gambiae: leucine to phenylalanine (L1014F) and leucine to serine (L1014S). The distribution of these two alleles is currently expanding in the M and S molecular forms of An. gambiae as well as in An. arabiensis [2]. Furthermore, the frequency of these alleles is rising in many areas of Africa associated with selective sweeps [3]. These mutations are associated with cross resistance to DDT and pyrethroids [4]. Clear association between DDT or pyrethroids resistance and the presence of kdr mutations has been shown in several studies [5]. Recently, the emergence of a new mutation N1575Y, within the linker between domains III-IV of the VGSC was found in An. gambiae. N1575Y occurs inextricably with L1014F on the same haplotypic background and evidence suggests that a secondary selective sweep associated with resistance to pyrethroids/DDT is occurring throughout West Africa [6]. Metabolic resistance results from increased detoxification processes by gene amplification and/or expression [1, 7–9]. The over-expression of P450 monooxygenases has been described from several pyrethroid-resistant populations of An. gambiae [8, 10–13] and An. arabiensis [14] . In this enzyme family, CYP6M2 is a promising genetic marker for pyrethroid/DDT resistance as it has been demonstrated to metabolize both insecticide classes [15]. A second family of metabolic enzymes, glutathione-S-transferases (GSTs), is thought to play a significant role in DDT and pyrethroid resistance in An. gambiae [8, 16]. While the epidemiological consequences of pyrethroids resistance have yet to be established, the rapid evolution of insecticide resistant alleles over the past decade is a real cause for concern for vector control [17]. Monitoring these markers of pyrethroids resistance has significant advantages for insecticide resistance management. In Benin, entomological surveys carried out since 2007 have implicated the involvement of GSTs, P450s and esterases in insecticide resistance in Anopheles mosquitoes [8, 18]. The kdr mutations coupled with metabolic resistance was reported in several An. gambiae populations with variation described between species, sites and collection periods [8]. This situation is worrying since it can seriously threaten the efficiency of insecticide treated nets and insecticide residual spray as recently reported in Benin [19–21]. A better understanding of the genetic and evolutionary processes involved in insecticide resistance is essential to design insecticide resistance management strategies. In this study, we investigated the distribution of the kdr alleles and the gene expression of four candidate metabolisers of pyrethroids/DDT (CYP6M2, CYP6P3, GSTD3 and GSTE2) in An. gambiae throughout Benin. Conclusion: The spread of multi-resistance in wild populations of An. gambiae is worrying as it could threaten the effectiveness of malaria vector control strategies based on the use of chemicals.
Background: Insecticide resistance in the mosquito vector is the one of the main obstacles against effective malaria control. In order to implement insecticide resistance management strategies, it is important to understand the genetic factors involved. In this context, we investigated the molecular basis of DDT resistance in the main malaria vector from Benin. Methods: Anopheles gambiae mosquitoes were collected from four sites across Benin and identified to species/molecular form. Mosquitoes from Cotonou (M-form), Tori-Bossito (S-form) and Bohicon (S-form) were exposed to DDT 4% at a range of exposure times (30 min to 300 min). Another batch of mosquitoes from Cotonou and Malanville were exposed to DDT for 1 hour and the survivors 48 hours post exposure were used to quantify metabolic gene expression. Quantitative PCR assays were used to quantify mRNA levels of metabolic enzymes: GSTE2, GSTD3, CYP6P3 and CYP6M2. Expression (fold-change) was calculated using the ∆∆Ct method and compared to susceptible strains. Detection of target-site mutations (L1014F, L1014S and N1575Y) was performed using allelic discrimination TaqMan assays. Results: DDT resistance was extremely high in all populations, regardless of molecular form, with no observed mortality after 300 min exposure. In both DDT-survivors and non-exposed mosquitoes, GSTE2 and GSTD3 were over-expressed in the M form at 4.4-fold and 3.5-fold in Cotonou and 1.5-fold and 2.5-fold in Malanville respectively, when compared to the susceptible strain. The CYP6M2 and CYP6P3 were over-expressed at 4.6-fold and 3.8-fold in Cotonou and 1.2-fold and 2.5-fold in Malanville respectively. In contrast, no differences in GSTE2 and CYP6M2 were observed between S form mosquitoes from Tori-Bossito and Bohicon compared to susceptible strain. The 1014 F allele was fixed in the S-form and at high frequency in the M-form (0.7-0.914). The frequency of 1575Y allele was 0.29-0.36 in the S-form and nil in the M-form. The 1014S allele was detected in the S form of An. gambiae in a 1014 F/1014S heterozygous specimen. Conclusions: Our results show that the kdr 1014 F, 1014S and 1575Y alleles are widespread in Benin and the expression of two candidate metabolic markers (GSTE2 and CYP6M2) are over-expressed specifically in the M-form.
10,202
471
[ 573, 116, 179, 184, 222, 107, 350, 271, 76, 722, 604 ]
15
[ "form", "95", "mosquitoes", "expression", "ddt", "cotonou", "gambiae", "exposed", "gste2", "cyp6m2" ]
[ "pyrethroid resistance malaria", "ddt resistance gambiae", "resistance malaria vectors", "implicated insecticide resistance", "mutations insecticide resistance" ]
[CONTENT] An. gambiae | Insecticide resistance | qPCR | Kdr mutation | Vector control | Metabolic enzymes [SUMMARY]
[CONTENT] An. gambiae | Insecticide resistance | qPCR | Kdr mutation | Vector control | Metabolic enzymes [SUMMARY]
[CONTENT] An. gambiae | Insecticide resistance | qPCR | Kdr mutation | Vector control | Metabolic enzymes [SUMMARY]
[CONTENT] An. gambiae | Insecticide resistance | qPCR | Kdr mutation | Vector control | Metabolic enzymes [SUMMARY]
[CONTENT] An. gambiae | Insecticide resistance | qPCR | Kdr mutation | Vector control | Metabolic enzymes [SUMMARY]
[CONTENT] An. gambiae | Insecticide resistance | qPCR | Kdr mutation | Vector control | Metabolic enzymes [SUMMARY]
[CONTENT] Animals | Anopheles | Benin | DDT | DNA, Complementary | Gene Expression Regulation | Genotype | Insecticide Resistance | Insecticides | Mutation | RNA | RNA, Messenger [SUMMARY]
[CONTENT] Animals | Anopheles | Benin | DDT | DNA, Complementary | Gene Expression Regulation | Genotype | Insecticide Resistance | Insecticides | Mutation | RNA | RNA, Messenger [SUMMARY]
[CONTENT] Animals | Anopheles | Benin | DDT | DNA, Complementary | Gene Expression Regulation | Genotype | Insecticide Resistance | Insecticides | Mutation | RNA | RNA, Messenger [SUMMARY]
[CONTENT] Animals | Anopheles | Benin | DDT | DNA, Complementary | Gene Expression Regulation | Genotype | Insecticide Resistance | Insecticides | Mutation | RNA | RNA, Messenger [SUMMARY]
[CONTENT] Animals | Anopheles | Benin | DDT | DNA, Complementary | Gene Expression Regulation | Genotype | Insecticide Resistance | Insecticides | Mutation | RNA | RNA, Messenger [SUMMARY]
[CONTENT] Animals | Anopheles | Benin | DDT | DNA, Complementary | Gene Expression Regulation | Genotype | Insecticide Resistance | Insecticides | Mutation | RNA | RNA, Messenger [SUMMARY]
[CONTENT] pyrethroid resistance malaria | ddt resistance gambiae | resistance malaria vectors | implicated insecticide resistance | mutations insecticide resistance [SUMMARY]
[CONTENT] pyrethroid resistance malaria | ddt resistance gambiae | resistance malaria vectors | implicated insecticide resistance | mutations insecticide resistance [SUMMARY]
[CONTENT] pyrethroid resistance malaria | ddt resistance gambiae | resistance malaria vectors | implicated insecticide resistance | mutations insecticide resistance [SUMMARY]
[CONTENT] pyrethroid resistance malaria | ddt resistance gambiae | resistance malaria vectors | implicated insecticide resistance | mutations insecticide resistance [SUMMARY]
[CONTENT] pyrethroid resistance malaria | ddt resistance gambiae | resistance malaria vectors | implicated insecticide resistance | mutations insecticide resistance [SUMMARY]
[CONTENT] pyrethroid resistance malaria | ddt resistance gambiae | resistance malaria vectors | implicated insecticide resistance | mutations insecticide resistance [SUMMARY]
[CONTENT] form | 95 | mosquitoes | expression | ddt | cotonou | gambiae | exposed | gste2 | cyp6m2 [SUMMARY]
[CONTENT] form | 95 | mosquitoes | expression | ddt | cotonou | gambiae | exposed | gste2 | cyp6m2 [SUMMARY]
[CONTENT] form | 95 | mosquitoes | expression | ddt | cotonou | gambiae | exposed | gste2 | cyp6m2 [SUMMARY]
[CONTENT] form | 95 | mosquitoes | expression | ddt | cotonou | gambiae | exposed | gste2 | cyp6m2 [SUMMARY]
[CONTENT] form | 95 | mosquitoes | expression | ddt | cotonou | gambiae | exposed | gste2 | cyp6m2 [SUMMARY]
[CONTENT] form | 95 | mosquitoes | expression | ddt | cotonou | gambiae | exposed | gste2 | cyp6m2 [SUMMARY]
[CONTENT] resistance | pyrethroids | insecticide | insecticide resistance | gambiae | ddt | metabolic resistance | pyrethroid | associated | africa [SUMMARY]
[CONTENT] rna | population | anopheles population | mortality | population mortality | anopheles population mortality | pcr | min | anopheles | primers [SUMMARY]
[CONTENT] 95 | form | expression | exposed | cotonou | compared | gste2 cyp6m2 | 1014 95 | 95 alleles | cyp6m2 [SUMMARY]
[CONTENT] effectiveness malaria vector control | spread multi resistance wild | worrying threaten effectiveness | worrying threaten | chemicals | wild populations gambiae worrying | wild populations gambiae | wild populations | threaten effectiveness malaria vector | gambiae worrying threaten effectiveness [SUMMARY]
[CONTENT] rna | 95 | resistance | ddt | form | mosquitoes | expression | gambiae | min | exposed [SUMMARY]
[CONTENT] rna | 95 | resistance | ddt | form | mosquitoes | expression | gambiae | min | exposed [SUMMARY]
[CONTENT] mosquito | one ||| ||| DDT | Benin [SUMMARY]
[CONTENT] four | Benin ||| Cotonou | Tori-Bossito | Bohicon | DDT | 4% | 30 | 300 ||| Cotonou | Malanville | DDT | 1 hour | 48 hours ||| ||| GSTE2 | ∆∆Ct ||| L1014F | N1575Y [SUMMARY]
[CONTENT] DDT | 300 ||| GSTE2 | GSTD3 | 4.4-fold | 3.5-fold | Cotonou | 1.5-fold | 2.5-fold | Malanville ||| 4.6-fold | 3.8-fold | Cotonou | 1.2-fold | 2.5-fold | Malanville ||| GSTE2 | Bohicon ||| 1014 | 0.7-0.914 ||| 1575Y | 0.29-0.36 ||| 1014S | 1014 [SUMMARY]
[CONTENT] F | 1014S | 1575Y | Benin | two | GSTE2 [SUMMARY]
[CONTENT] mosquito | one ||| ||| DDT | Benin ||| four | Benin ||| Cotonou | Tori-Bossito | Bohicon | DDT | 4% | 30 | 300 ||| Cotonou | Malanville | DDT | 1 hour | 48 hours ||| ||| GSTE2 | ∆∆Ct ||| L1014F | N1575Y ||| DDT | 300 ||| GSTE2 | GSTD3 | 4.4-fold | 3.5-fold | Cotonou | 1.5-fold | 2.5-fold | Malanville ||| 4.6-fold | 3.8-fold | Cotonou | 1.2-fold | 2.5-fold | Malanville ||| GSTE2 | Bohicon ||| 1014 | 0.7-0.914 ||| 1575Y | 0.29-0.36 ||| 1014S | 1014 ||| F | 1014S | 1575Y | Benin | two | GSTE2 [SUMMARY]
[CONTENT] mosquito | one ||| ||| DDT | Benin ||| four | Benin ||| Cotonou | Tori-Bossito | Bohicon | DDT | 4% | 30 | 300 ||| Cotonou | Malanville | DDT | 1 hour | 48 hours ||| ||| GSTE2 | ∆∆Ct ||| L1014F | N1575Y ||| DDT | 300 ||| GSTE2 | GSTD3 | 4.4-fold | 3.5-fold | Cotonou | 1.5-fold | 2.5-fold | Malanville ||| 4.6-fold | 3.8-fold | Cotonou | 1.2-fold | 2.5-fold | Malanville ||| GSTE2 | Bohicon ||| 1014 | 0.7-0.914 ||| 1575Y | 0.29-0.36 ||| 1014S | 1014 ||| F | 1014S | 1575Y | Benin | two | GSTE2 [SUMMARY]
In-hospital mortality in SARS-CoV-2 stratified by gamma-glutamyl transferase levels.
35261080
This study investigates in-hospital mortality amongst patients with severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) and its relation to serum levels of gamma-glutamyl transferase (GGT).
BACKGROUND
Patients were stratified according to serum levels of gamma-glutamyl transferase (GGT) (GGT<50 IU/L or GGT≥50 IU/L).
METHODS
A total of 802 participants were considered, amongst whom 486 had GGT<50 IU/L and a mean age of 48.1 (16.5) years, whilst 316 had GGT≥50 IU/L and a mean age of 53.8 (14.7) years. The chief sources of SARS-CoV-2 transmission were contact (366, 45.7%) and community (320, 40%). Most patients with GGT≥50 IU/L had either pneumonia (247, 78.2%) or acute respiratory distress syndrome (ARDS) (85, 26.9%), whilst those with GGT<50 IU/L had hypertension (141, 29%) or diabetes mellitus (DM) (147, 30.2%). Mortality was higher amongst patients with GGT≥50 IU/L (54, 17.1%) than amongst those with GGT<50 IU/L (29, 5.9%). More patients with GGT≥50 required high (83, 27.6%) or low (104, 34.6%) levels of oxygen, whereas most of those with GGT<50 had no requirement of oxygen (306, 71.2%). Multivariable logistic regression analysis indicated that GGT≥50 IU/L (odds ratio [OR]: 2.02, 95% confidence interval [CI]: 1.20-3.45, p=0.009), age (OR: 1.05, 95% CI: 1.03-1.07, p<0.001), hypertension (OR: 2.06, 95% CI: 1.19-3.63, p=0.011), methylprednisolone (OR: 2.96, 95% CI: 1.74-5.01, p<0.001) and fever (OR: 2.03, 95% CI: 1.15-3.68, p=0.016) were significant predictors of all-cause cumulative mortality. A Cox proportional hazards regression model (B = -0.68, SE =0.24, HR =0.51, p = 0.004) showed that patients with GGT<50 IU/L had a 0.51-times lower risk of all-cause cumulative mortality than patients with GGT≥50 IU/L.
RESULTS
Higher levels of serum GGT were found to be an independent predictor of in-hospital mortality.
CONCLUSION
[ "COVID-19", "Hospital Mortality", "Humans", "Hypertension", "Middle Aged", "Oxygen", "Risk Factors", "SARS-CoV-2", "gamma-Glutamyltransferase" ]
8993645
INTRODUCTION
Amongst cases of coronavirus disease (COVID‐19), 60% of patients have deranged liver diseases. 1  Many studies have shown that 2–11% of patients infected with severe acute respiratory syndrome coronavirus 2 (SARS‐CoV‐2) have an underlying liver disease. 2 In SARS‐CoV‐2, deranged liver function is considered a marker of the severity of the disease. 3 , 4 , 5  Gamma‐glutamyl transferase (GGT) is considered a specific diagnostic biomarker of hepatic cholangiocytic activity. 6 , 7 SARS‐CoV‐2‐related liver injury in relation to cholangiocytic activity can be assessed by analysing GGT serum levels. 8 GGT levels are elevated in SARS‐CoV‐2 infection, 2 which is mostly attributed to the immune‐mediated response and cytotoxicity. 9 , 10
METHODS
Study design and subjects This study examined 802 patients with confirmed SARS‐CoV‐2 infection, including both Kuwaitis and non‐Kuwaitis aged 18 years or older. Patients were enrolled in this retrospective cohort study between 26 February and 8 September 2020. [Figure 1.] All the data were obtained from electronic medical records from two tertiary care hospitals in Kuwait: Jaber Al‐Ahmed Hospital and Al Adan General Hospital. 11 , 12 , 13 An electronic case‐record form (CRF) was used for data entry. Study flowchart SARS‐CoV‐2 infection was confirmed by a positive result of reverse transcription‐polymerase chain reaction (RT‐PCR) using a swab of the nasopharynx. The care of all patients was standardized according to a protocol established by the Ministry of Health in Kuwait. SARS‐CoV‐2 patients were stratified according to serum levels of GGT (GGT<50 IU/L and GGT≥50 IU/L). The Standing Committee For the Coordination of Health and Medical Research at the Ministry of Health in Kuwait waived the requirement of informed consent and approved the study (Institutional review board number 2020/1422). GGT measurement was carried out in biochemistry laboratories in Jaber Al‐Ahmed and Al Adan General Hospitals. Patient serum and plasma samples were handled by the laboratory technicians. Quantitative measurement of GGT is reported by Beckman Coulter AU analysers, which is a kinetic colour test. Method of the machine based on the guidelines of the International Federation for Clinical Chemistry (IFCC). The lowest measurable value of the test, representing the tests’ sensitivity, was approximated at 2 U/L. Estimates of precision are according to Clinical and Laboratory Standards Institute (CLSI) guidance; the coefficient of variation was less than 5%. According to the study hospital protocol, biochemistry laboratory results would usually be reported in the electronic medical records on the first days of admission. Blood samples were collected by a nurse on the same day of the report. We documented this one‐time point result for each study participant admitted with a confirmed COVID‐19 diagnosis. Hence, the GGT results in our study reflect the baseline laboratory profile. Our study analysed GGT on admission as a predictor for COVID‐19‐related mortality. Other GGT‐related predictors, such as those related to the treatment effect or effect of hospitalization, were beyond the scope of the study. This study examined 802 patients with confirmed SARS‐CoV‐2 infection, including both Kuwaitis and non‐Kuwaitis aged 18 years or older. Patients were enrolled in this retrospective cohort study between 26 February and 8 September 2020. [Figure 1.] All the data were obtained from electronic medical records from two tertiary care hospitals in Kuwait: Jaber Al‐Ahmed Hospital and Al Adan General Hospital. 11 , 12 , 13 An electronic case‐record form (CRF) was used for data entry. Study flowchart SARS‐CoV‐2 infection was confirmed by a positive result of reverse transcription‐polymerase chain reaction (RT‐PCR) using a swab of the nasopharynx. The care of all patients was standardized according to a protocol established by the Ministry of Health in Kuwait. SARS‐CoV‐2 patients were stratified according to serum levels of GGT (GGT<50 IU/L and GGT≥50 IU/L). The Standing Committee For the Coordination of Health and Medical Research at the Ministry of Health in Kuwait waived the requirement of informed consent and approved the study (Institutional review board number 2020/1422). GGT measurement was carried out in biochemistry laboratories in Jaber Al‐Ahmed and Al Adan General Hospitals. Patient serum and plasma samples were handled by the laboratory technicians. Quantitative measurement of GGT is reported by Beckman Coulter AU analysers, which is a kinetic colour test. Method of the machine based on the guidelines of the International Federation for Clinical Chemistry (IFCC). The lowest measurable value of the test, representing the tests’ sensitivity, was approximated at 2 U/L. Estimates of precision are according to Clinical and Laboratory Standards Institute (CLSI) guidance; the coefficient of variation was less than 5%. According to the study hospital protocol, biochemistry laboratory results would usually be reported in the electronic medical records on the first days of admission. Blood samples were collected by a nurse on the same day of the report. We documented this one‐time point result for each study participant admitted with a confirmed COVID‐19 diagnosis. Hence, the GGT results in our study reflect the baseline laboratory profile. Our study analysed GGT on admission as a predictor for COVID‐19‐related mortality. Other GGT‐related predictors, such as those related to the treatment effect or effect of hospitalization, were beyond the scope of the study. Definitions The primary outcome measured was SARS‐CoV‐2‐related mortality as defined by ICD‐10 code U07.1. The secondary outcome measures were the duration of hospital stay and the need for admission to the intensive care unit (ICU). The following clinical and laboratory variables were collected: sociodemographic determinants, co‐morbidities, clinical presentations, laboratory results, medications received in hospital, oxygen requirement and durations of ICU and in‐hospital stays. Patients with a confirmed diagnosis of restrictive or obstructive disease were considered in the chronic lung disease category. The immunosuppression category was defined as patients on immunosuppressive therapy. The requirement of oxygen was considered ‘none’, ‘low’, or ‘high'. Patients who were on oxygen via a nasal cannula or a nonrebreather mask were classified as the low requirement category. Those who required extracorporeal membrane oxygenation (ECMO), invasive ventilation, noninvasive ventilation or high‐flow oxygen were grouped in the high requirement category. The primary outcome measured was SARS‐CoV‐2‐related mortality as defined by ICD‐10 code U07.1. The secondary outcome measures were the duration of hospital stay and the need for admission to the intensive care unit (ICU). The following clinical and laboratory variables were collected: sociodemographic determinants, co‐morbidities, clinical presentations, laboratory results, medications received in hospital, oxygen requirement and durations of ICU and in‐hospital stays. Patients with a confirmed diagnosis of restrictive or obstructive disease were considered in the chronic lung disease category. The immunosuppression category was defined as patients on immunosuppressive therapy. The requirement of oxygen was considered ‘none’, ‘low’, or ‘high'. Patients who were on oxygen via a nasal cannula or a nonrebreather mask were classified as the low requirement category. Those who required extracorporeal membrane oxygenation (ECMO), invasive ventilation, noninvasive ventilation or high‐flow oxygen were grouped in the high requirement category. Statistical analysis Descriptive statistics were used to summarize the data in the form of the frequency, percentage, mean ± standard deviation (SD) and median ±interquartile range (IQR). Pearson's χ2 test was performed to determine the factors associated with the GGT cohorts (GGT<50 IU/L, GGT≥50 IU/L). Multivariable logistic regression was used to check the impacts of GGT, age, hypertension, methylprednisolone and fever on mortality. The relationship between GGT (GGT<50 IU/L, GGT≥50 IU/L) and mortality was assessed using Cox regression analysis and a Kaplan–Meier survival curve. An alpha level of 5% was used to check the significance of the results. SPSS version 27 (IBM Corp., Armonk, NY, USA) and R software (R Foundation for Statistical Computing, Vienna, Austria) were used to conduct the statistical analyses of the data. 14 Descriptive statistics were used to summarize the data in the form of the frequency, percentage, mean ± standard deviation (SD) and median ±interquartile range (IQR). Pearson's χ2 test was performed to determine the factors associated with the GGT cohorts (GGT<50 IU/L, GGT≥50 IU/L). Multivariable logistic regression was used to check the impacts of GGT, age, hypertension, methylprednisolone and fever on mortality. The relationship between GGT (GGT<50 IU/L, GGT≥50 IU/L) and mortality was assessed using Cox regression analysis and a Kaplan–Meier survival curve. An alpha level of 5% was used to check the significance of the results. SPSS version 27 (IBM Corp., Armonk, NY, USA) and R software (R Foundation for Statistical Computing, Vienna, Austria) were used to conduct the statistical analyses of the data. 14
RESULTS
The baseline characteristics of the COVID‐19 patients are shown in Table 1. A total of 802 hospitalized patients were enrolled in the study and stratified based on GGT<50 IU/L and GGT≥50 IU/L. The ratio of females to males was 297:504. The average age of patients with GGT≥50 IU/L was 53.8 ± 14.7 years, opposed to that of patients with GGT <50 IU/L (48.1 ± 16.5 years). Baseline characteristics of COVID‐19 patients stratified by serum GGT levels The values are n (%) unless specified otherwise. Abbreviations: ARDS, acute respiratory distress syndrome; BMI, body mass index; COVID‐19, coronavirus disease; CVD, cardiovascular disease; DM, diabetes mellitus; GGT, gamma‐glutamyl transferase; ICU, intensive care unit; IQR, interquartile range; SD, standard deviation. The key source of COVID‐19 transmission amongst patients was either the community (320, 40%) or direct contact (366, 45.7%). More patients with GGT<50 IU/L (236, 48.6%) were affected by COVID‐19 due to contact than patients with GGT ≥50 IU/L (130, 41.3%). It is worth noting that more patients with GGT ≥50 IU/L had pneumonia (247, 78.2%) and acute respiratory distress syndrome (ARDS) (85, 26.9%), whereas those with GGT<50 IU/L had higher rates of hypertension (141, 29%) and diabetes mellitus (DM) (147, 30.2%). More patients with GGT ≥50 IU/L had to be admitted to the ICU than patients with GGT<50 IU/L. The mortality rate of patients with GGT ≥50 IU/L (54, 17.1%) was also higher than that of patients with GGT<50 IU/L (29, 5.9%). The major significant symptoms (p < 0.001) of patients with higher GGT levels were fever (227, 71.8%) and shortness of breath (132, 41.8%), whilst those of patients with lower GGT levels were no symptoms (119, 24.5%) and dry cough (203, 41.8%) (Table 2). Signs and symptoms of COVID‐19 stratified by serum GGT levels The values are n (%) unless specified otherwise. Abbreviations: COVID‐19, coronavirus disease; GGT, gamma‐glutamyl transferase; SOB, shortness of breath. Compared to the patients with GGT<50 IU/L, those with GGT≥50 IU/L had significantly higher platelet, white blood cell (WBC) and neutrophil counts and creatinine, lactate dehydrogenase (LDH), C‐reactive protein (CRP), procalcitonin (PCT), D‐dimer, high‐sensitivity (HS) serum troponin, ferritin, alanine aminotransferase (ALT), aspartate aminotransferase (AST), alkaline phosphatase (ALP), total bilirubin and direct bilirubin levels. Moreover, patients with lower GGT (GGT<50 IU/L) had significantly higher lymphocyte counts and albumin levels (Table 3). Laboratory findings of COVID‐19 patients stratified by serum GGT levels The values are median [IQR]. Abbreviations: ALP, alkaline phosphatase; ALT, alanine aminotransferase; AST, aspartate aminotransferase; COVID‐19, coronavirus disease; CRP, C‐reactive protein; D. bilirubin, direct bilirubin; GGT, gamma‐glutamyl transferase; HS, high‐sensitivity; LDH, lactate dehydrogenase; T. bilirubin, total bilirubin; WBC, white blood cells. Significantly more patients with GGT ≥50 IU/L had received antibiotics (214, 67.7%), methylprednisolone (84, 26.6%), dexamethasone (39, 12.3%), therapeutic anticoagulation (138, 43.7%), azithromycin (12, 3.8%), hydroxychloroquine (66, 20.9%), kaletra (lopinavir/ritonavir) (56, 17.7%), hydrocortisone (14, 4.4%) and current use of ACE inhibitors (39, 14.7%) than the patients with GGT<50 IU/L. Moreover, more patients with GGT≥50 IU/L required either high (83, 27.6%) or low levels of oxygen (104, 34.6%). More patients with GGT<50 IU/L had no requirement for oxygen (306, 71.2%) (Table 4). Medications administered to COVID‐19 patients stratified by serum GGT levels The values are n (%), unless specified otherwise. Abbreviations: ACE, angiotensin‐converting enzyme; ARBs, angiotensin II receptor blockers; COVID‐19, coronavirus disease; GGT, gamma‐glutamyl transferase. The impact of GGT, age, hypertension, methylprednisolone and fever on cumulative all‐cause mortality was assessed using a multivariable logistic regression model (Table 5). Multivariable analysis showed that GGT ≥50 IU/L (odds ratio [OR]: 2.02, 95% confidence interval [CI]: 1.20–3.45, p = 0.009), age (OR: 1.05, 95% CI: 1.03–1.07, p < 0.001), hypertension (OR: 2.06, 95% CI: 1.19–3.63, p = 0.011), methylprednisolone (OR: 2.96, 95% CI: 1.74–5.01, p < 0.001) and fever (OR: 2.03, 95% CI: 1.15–3.68, p = 0.016) were significantly associated with cumulative all‐cause mortality in COVID‐19 patients (Table 5). A Cox proportional hazards model was conducted to determine whether GGT had a significant effect on the hazard of mortality (Table 6). The ‘no’ category of mortality was used to indicate survival, whilst the ‘yes’ category was used to represent a hazard event. The results of the model were significant based on an alpha value of 0.05, LL =8.70, df =1 and p = 0.003, indicating that GGT was able to adequately predict the hazard of mortality. The coefficients for GGT (B = −0.68, SE =0.24, HR =0.51, p = 0.004) indicate the patients with GGT<50 IU/L had a 0.51‐times lower risk of mortality than the patients with GGT≥50 IU/L. Logistic regression analysis of risk factors for in‐hospital death in the overall study cohort The percentages are raw percentages. Multivariable logistic regression analysis was conducted using the simultaneous method. The model was adjusted for GGT, age, hypertension, methylprednisolone use and fever. Abbreviations: CI, confidence interval; GGT, gamma‐glutamyl transferase; OR, odds ratio; SD, standard deviation. Cox Proportional Hazards Regression Coefficients for GGT Kaplan–Meier survival probability plots were obtained for GGT. Each plot represents the survival probabilities for different groups over time. The Kaplan–Meier survival analysis showed that the cumulative probability of dying in the initial period was higher for patients with GGT≥50 IU/L. [Figure 2]. Kaplan–Meier survival plot of mortality according to GGT levels in patients with coronavirus disease [COVID‐19]. X‐axis: Days since admission
CONCLUSIONS
This study demonstrated that serum GGT≥50 IU/L is an independent predictor of in‐hospital mortality in SARS‐CoV‐2 patients. The incidence of ICU admission was higher with elevated serum GGT levels. More prospective studies are required to better understand the role of serum GGT levels in predicting in‐hospital mortality in COVID‐19.
[ "INTRODUCTION", "Study design and subjects", "Definitions", "Statistical analysis", "Limitations", "AUTHOR CONTRIBUTIONS", "PATIENT CONSENT STATEMENT", "PERMISSION TO REPRODUCE MATERIAL FROM OTHER SOURCES" ]
[ "Amongst cases of coronavirus disease (COVID‐19), 60% of patients have deranged liver diseases.\n1\n Many studies have shown that 2–11% of patients infected with severe acute respiratory syndrome coronavirus 2 (SARS‐CoV‐2) have an underlying liver disease.\n2\n In SARS‐CoV‐2, deranged liver function is considered a marker of the severity of the disease.\n3\n, \n4\n, \n5\n Gamma‐glutamyl transferase (GGT) is considered a specific diagnostic biomarker of hepatic cholangiocytic activity.\n6\n, \n7\n SARS‐CoV‐2‐related liver injury in relation to cholangiocytic activity can be assessed by analysing GGT serum levels.\n8\n GGT levels are elevated in SARS‐CoV‐2 infection,\n2\n which is mostly attributed to the immune‐mediated response and cytotoxicity.\n9\n, \n10\n\n", "This study examined 802 patients with confirmed SARS‐CoV‐2 infection, including both Kuwaitis and non‐Kuwaitis aged 18 years or older. Patients were enrolled in this retrospective cohort study between 26 February and 8 September 2020. [Figure 1.] All the data were obtained from electronic medical records from two tertiary care hospitals in Kuwait: Jaber Al‐Ahmed Hospital and Al Adan General Hospital.\n11\n, \n12\n, \n13\n An electronic case‐record form (CRF) was used for data entry.\nStudy flowchart\nSARS‐CoV‐2 infection was confirmed by a positive result of reverse transcription‐polymerase chain reaction (RT‐PCR) using a swab of the nasopharynx. The care of all patients was standardized according to a protocol established by the Ministry of Health in Kuwait. SARS‐CoV‐2 patients were stratified according to serum levels of GGT (GGT<50 IU/L and GGT≥50 IU/L). The Standing Committee For the Coordination of Health and Medical Research at the Ministry of Health in Kuwait waived the requirement of informed consent and approved the study (Institutional review board number 2020/1422).\nGGT measurement was carried out in biochemistry laboratories in Jaber Al‐Ahmed and Al Adan General Hospitals. Patient serum and plasma samples were handled by the laboratory technicians. Quantitative measurement of GGT is reported by Beckman Coulter AU analysers, which is a kinetic colour test. Method of the machine based on the guidelines of the International Federation for Clinical Chemistry (IFCC). The lowest measurable value of the test, representing the tests’ sensitivity, was approximated at 2 U/L. Estimates of precision are according to Clinical and Laboratory Standards Institute (CLSI) guidance; the coefficient of variation was less than 5%.\nAccording to the study hospital protocol, biochemistry laboratory results would usually be reported in the electronic medical records on the first days of admission. Blood samples were collected by a nurse on the same day of the report. We documented this one‐time point result for each study participant admitted with a confirmed COVID‐19 diagnosis. Hence, the GGT results in our study reflect the baseline laboratory profile. Our study analysed GGT on admission as a predictor for COVID‐19‐related mortality. Other GGT‐related predictors, such as those related to the treatment effect or effect of hospitalization, were beyond the scope of the study.", "The primary outcome measured was SARS‐CoV‐2‐related mortality as defined by ICD‐10 code U07.1. The secondary outcome measures were the duration of hospital stay and the need for admission to the intensive care unit (ICU). The following clinical and laboratory variables were collected: sociodemographic determinants, co‐morbidities, clinical presentations, laboratory results, medications received in hospital, oxygen requirement and durations of ICU and in‐hospital stays.\nPatients with a confirmed diagnosis of restrictive or obstructive disease were considered in the chronic lung disease category. The immunosuppression category was defined as patients on immunosuppressive therapy. The requirement of oxygen was considered ‘none’, ‘low’, or ‘high'. Patients who were on oxygen via a nasal cannula or a nonrebreather mask were classified as the low requirement category. Those who required extracorporeal membrane oxygenation (ECMO), invasive ventilation, noninvasive ventilation or high‐flow oxygen were grouped in the high requirement category.", "Descriptive statistics were used to summarize the data in the form of the frequency, percentage, mean ± standard deviation (SD) and median ±interquartile range (IQR). Pearson's χ2 test was performed to determine the factors associated with the GGT cohorts (GGT<50 IU/L, GGT≥50 IU/L). Multivariable logistic regression was used to check the impacts of GGT, age, hypertension, methylprednisolone and fever on mortality. The relationship between GGT (GGT<50 IU/L, GGT≥50 IU/L) and mortality was assessed using Cox regression analysis and a Kaplan–Meier survival curve. An alpha level of 5% was used to check the significance of the results. SPSS version 27 (IBM Corp., Armonk, NY, USA) and R software (R Foundation for Statistical Computing, Vienna, Austria) were used to conduct the statistical analyses of the data.\n14\n\n", "Our study has various limitations. Unmeasured confounding factors, such as clinical comorbidities and medications, could have affected the outcomes. This Kuwaiti study included all the SARS‐CoV‐2‐positive patients.", "MAR designed the study. MAR and RR participated in data analysis and wrote the manuscript. AAS and JP performed the statistical analysis and reviewed the manuscript. The remaining authors collected the data. All authors had access to the data and took responsibility for the integrity and accuracy of data analysis. All authors have read and approved the manuscript. The authors thank Dr Danah Alothman, Dr Mohamed Elmetwalli Ghazi, and Dr Dhari Alown for their support in manuscript review.", "The requirement for patient consent was waived because of the retrospective observational study design.", "No material from other sources was included in this study." ]
[ null, null, null, null, null, null, null, null ]
[ "INTRODUCTION", "METHODS", "Study design and subjects", "Definitions", "Statistical analysis", "RESULTS", "DISCUSSION", "Limitations", "CONCLUSIONS", "CONFLICT OF INTEREST", "AUTHOR CONTRIBUTIONS", "PATIENT CONSENT STATEMENT", "PERMISSION TO REPRODUCE MATERIAL FROM OTHER SOURCES" ]
[ "Amongst cases of coronavirus disease (COVID‐19), 60% of patients have deranged liver diseases.\n1\n Many studies have shown that 2–11% of patients infected with severe acute respiratory syndrome coronavirus 2 (SARS‐CoV‐2) have an underlying liver disease.\n2\n In SARS‐CoV‐2, deranged liver function is considered a marker of the severity of the disease.\n3\n, \n4\n, \n5\n Gamma‐glutamyl transferase (GGT) is considered a specific diagnostic biomarker of hepatic cholangiocytic activity.\n6\n, \n7\n SARS‐CoV‐2‐related liver injury in relation to cholangiocytic activity can be assessed by analysing GGT serum levels.\n8\n GGT levels are elevated in SARS‐CoV‐2 infection,\n2\n which is mostly attributed to the immune‐mediated response and cytotoxicity.\n9\n, \n10\n\n", " Study design and subjects This study examined 802 patients with confirmed SARS‐CoV‐2 infection, including both Kuwaitis and non‐Kuwaitis aged 18 years or older. Patients were enrolled in this retrospective cohort study between 26 February and 8 September 2020. [Figure 1.] All the data were obtained from electronic medical records from two tertiary care hospitals in Kuwait: Jaber Al‐Ahmed Hospital and Al Adan General Hospital.\n11\n, \n12\n, \n13\n An electronic case‐record form (CRF) was used for data entry.\nStudy flowchart\nSARS‐CoV‐2 infection was confirmed by a positive result of reverse transcription‐polymerase chain reaction (RT‐PCR) using a swab of the nasopharynx. The care of all patients was standardized according to a protocol established by the Ministry of Health in Kuwait. SARS‐CoV‐2 patients were stratified according to serum levels of GGT (GGT<50 IU/L and GGT≥50 IU/L). The Standing Committee For the Coordination of Health and Medical Research at the Ministry of Health in Kuwait waived the requirement of informed consent and approved the study (Institutional review board number 2020/1422).\nGGT measurement was carried out in biochemistry laboratories in Jaber Al‐Ahmed and Al Adan General Hospitals. Patient serum and plasma samples were handled by the laboratory technicians. Quantitative measurement of GGT is reported by Beckman Coulter AU analysers, which is a kinetic colour test. Method of the machine based on the guidelines of the International Federation for Clinical Chemistry (IFCC). The lowest measurable value of the test, representing the tests’ sensitivity, was approximated at 2 U/L. Estimates of precision are according to Clinical and Laboratory Standards Institute (CLSI) guidance; the coefficient of variation was less than 5%.\nAccording to the study hospital protocol, biochemistry laboratory results would usually be reported in the electronic medical records on the first days of admission. Blood samples were collected by a nurse on the same day of the report. We documented this one‐time point result for each study participant admitted with a confirmed COVID‐19 diagnosis. Hence, the GGT results in our study reflect the baseline laboratory profile. Our study analysed GGT on admission as a predictor for COVID‐19‐related mortality. Other GGT‐related predictors, such as those related to the treatment effect or effect of hospitalization, were beyond the scope of the study.\nThis study examined 802 patients with confirmed SARS‐CoV‐2 infection, including both Kuwaitis and non‐Kuwaitis aged 18 years or older. Patients were enrolled in this retrospective cohort study between 26 February and 8 September 2020. [Figure 1.] All the data were obtained from electronic medical records from two tertiary care hospitals in Kuwait: Jaber Al‐Ahmed Hospital and Al Adan General Hospital.\n11\n, \n12\n, \n13\n An electronic case‐record form (CRF) was used for data entry.\nStudy flowchart\nSARS‐CoV‐2 infection was confirmed by a positive result of reverse transcription‐polymerase chain reaction (RT‐PCR) using a swab of the nasopharynx. The care of all patients was standardized according to a protocol established by the Ministry of Health in Kuwait. SARS‐CoV‐2 patients were stratified according to serum levels of GGT (GGT<50 IU/L and GGT≥50 IU/L). The Standing Committee For the Coordination of Health and Medical Research at the Ministry of Health in Kuwait waived the requirement of informed consent and approved the study (Institutional review board number 2020/1422).\nGGT measurement was carried out in biochemistry laboratories in Jaber Al‐Ahmed and Al Adan General Hospitals. Patient serum and plasma samples were handled by the laboratory technicians. Quantitative measurement of GGT is reported by Beckman Coulter AU analysers, which is a kinetic colour test. Method of the machine based on the guidelines of the International Federation for Clinical Chemistry (IFCC). The lowest measurable value of the test, representing the tests’ sensitivity, was approximated at 2 U/L. Estimates of precision are according to Clinical and Laboratory Standards Institute (CLSI) guidance; the coefficient of variation was less than 5%.\nAccording to the study hospital protocol, biochemistry laboratory results would usually be reported in the electronic medical records on the first days of admission. Blood samples were collected by a nurse on the same day of the report. We documented this one‐time point result for each study participant admitted with a confirmed COVID‐19 diagnosis. Hence, the GGT results in our study reflect the baseline laboratory profile. Our study analysed GGT on admission as a predictor for COVID‐19‐related mortality. Other GGT‐related predictors, such as those related to the treatment effect or effect of hospitalization, were beyond the scope of the study.\n Definitions The primary outcome measured was SARS‐CoV‐2‐related mortality as defined by ICD‐10 code U07.1. The secondary outcome measures were the duration of hospital stay and the need for admission to the intensive care unit (ICU). The following clinical and laboratory variables were collected: sociodemographic determinants, co‐morbidities, clinical presentations, laboratory results, medications received in hospital, oxygen requirement and durations of ICU and in‐hospital stays.\nPatients with a confirmed diagnosis of restrictive or obstructive disease were considered in the chronic lung disease category. The immunosuppression category was defined as patients on immunosuppressive therapy. The requirement of oxygen was considered ‘none’, ‘low’, or ‘high'. Patients who were on oxygen via a nasal cannula or a nonrebreather mask were classified as the low requirement category. Those who required extracorporeal membrane oxygenation (ECMO), invasive ventilation, noninvasive ventilation or high‐flow oxygen were grouped in the high requirement category.\nThe primary outcome measured was SARS‐CoV‐2‐related mortality as defined by ICD‐10 code U07.1. The secondary outcome measures were the duration of hospital stay and the need for admission to the intensive care unit (ICU). The following clinical and laboratory variables were collected: sociodemographic determinants, co‐morbidities, clinical presentations, laboratory results, medications received in hospital, oxygen requirement and durations of ICU and in‐hospital stays.\nPatients with a confirmed diagnosis of restrictive or obstructive disease were considered in the chronic lung disease category. The immunosuppression category was defined as patients on immunosuppressive therapy. The requirement of oxygen was considered ‘none’, ‘low’, or ‘high'. Patients who were on oxygen via a nasal cannula or a nonrebreather mask were classified as the low requirement category. Those who required extracorporeal membrane oxygenation (ECMO), invasive ventilation, noninvasive ventilation or high‐flow oxygen were grouped in the high requirement category.\n Statistical analysis Descriptive statistics were used to summarize the data in the form of the frequency, percentage, mean ± standard deviation (SD) and median ±interquartile range (IQR). Pearson's χ2 test was performed to determine the factors associated with the GGT cohorts (GGT<50 IU/L, GGT≥50 IU/L). Multivariable logistic regression was used to check the impacts of GGT, age, hypertension, methylprednisolone and fever on mortality. The relationship between GGT (GGT<50 IU/L, GGT≥50 IU/L) and mortality was assessed using Cox regression analysis and a Kaplan–Meier survival curve. An alpha level of 5% was used to check the significance of the results. SPSS version 27 (IBM Corp., Armonk, NY, USA) and R software (R Foundation for Statistical Computing, Vienna, Austria) were used to conduct the statistical analyses of the data.\n14\n\n\nDescriptive statistics were used to summarize the data in the form of the frequency, percentage, mean ± standard deviation (SD) and median ±interquartile range (IQR). Pearson's χ2 test was performed to determine the factors associated with the GGT cohorts (GGT<50 IU/L, GGT≥50 IU/L). Multivariable logistic regression was used to check the impacts of GGT, age, hypertension, methylprednisolone and fever on mortality. The relationship between GGT (GGT<50 IU/L, GGT≥50 IU/L) and mortality was assessed using Cox regression analysis and a Kaplan–Meier survival curve. An alpha level of 5% was used to check the significance of the results. SPSS version 27 (IBM Corp., Armonk, NY, USA) and R software (R Foundation for Statistical Computing, Vienna, Austria) were used to conduct the statistical analyses of the data.\n14\n\n", "This study examined 802 patients with confirmed SARS‐CoV‐2 infection, including both Kuwaitis and non‐Kuwaitis aged 18 years or older. Patients were enrolled in this retrospective cohort study between 26 February and 8 September 2020. [Figure 1.] All the data were obtained from electronic medical records from two tertiary care hospitals in Kuwait: Jaber Al‐Ahmed Hospital and Al Adan General Hospital.\n11\n, \n12\n, \n13\n An electronic case‐record form (CRF) was used for data entry.\nStudy flowchart\nSARS‐CoV‐2 infection was confirmed by a positive result of reverse transcription‐polymerase chain reaction (RT‐PCR) using a swab of the nasopharynx. The care of all patients was standardized according to a protocol established by the Ministry of Health in Kuwait. SARS‐CoV‐2 patients were stratified according to serum levels of GGT (GGT<50 IU/L and GGT≥50 IU/L). The Standing Committee For the Coordination of Health and Medical Research at the Ministry of Health in Kuwait waived the requirement of informed consent and approved the study (Institutional review board number 2020/1422).\nGGT measurement was carried out in biochemistry laboratories in Jaber Al‐Ahmed and Al Adan General Hospitals. Patient serum and plasma samples were handled by the laboratory technicians. Quantitative measurement of GGT is reported by Beckman Coulter AU analysers, which is a kinetic colour test. Method of the machine based on the guidelines of the International Federation for Clinical Chemistry (IFCC). The lowest measurable value of the test, representing the tests’ sensitivity, was approximated at 2 U/L. Estimates of precision are according to Clinical and Laboratory Standards Institute (CLSI) guidance; the coefficient of variation was less than 5%.\nAccording to the study hospital protocol, biochemistry laboratory results would usually be reported in the electronic medical records on the first days of admission. Blood samples were collected by a nurse on the same day of the report. We documented this one‐time point result for each study participant admitted with a confirmed COVID‐19 diagnosis. Hence, the GGT results in our study reflect the baseline laboratory profile. Our study analysed GGT on admission as a predictor for COVID‐19‐related mortality. Other GGT‐related predictors, such as those related to the treatment effect or effect of hospitalization, were beyond the scope of the study.", "The primary outcome measured was SARS‐CoV‐2‐related mortality as defined by ICD‐10 code U07.1. The secondary outcome measures were the duration of hospital stay and the need for admission to the intensive care unit (ICU). The following clinical and laboratory variables were collected: sociodemographic determinants, co‐morbidities, clinical presentations, laboratory results, medications received in hospital, oxygen requirement and durations of ICU and in‐hospital stays.\nPatients with a confirmed diagnosis of restrictive or obstructive disease were considered in the chronic lung disease category. The immunosuppression category was defined as patients on immunosuppressive therapy. The requirement of oxygen was considered ‘none’, ‘low’, or ‘high'. Patients who were on oxygen via a nasal cannula or a nonrebreather mask were classified as the low requirement category. Those who required extracorporeal membrane oxygenation (ECMO), invasive ventilation, noninvasive ventilation or high‐flow oxygen were grouped in the high requirement category.", "Descriptive statistics were used to summarize the data in the form of the frequency, percentage, mean ± standard deviation (SD) and median ±interquartile range (IQR). Pearson's χ2 test was performed to determine the factors associated with the GGT cohorts (GGT<50 IU/L, GGT≥50 IU/L). Multivariable logistic regression was used to check the impacts of GGT, age, hypertension, methylprednisolone and fever on mortality. The relationship between GGT (GGT<50 IU/L, GGT≥50 IU/L) and mortality was assessed using Cox regression analysis and a Kaplan–Meier survival curve. An alpha level of 5% was used to check the significance of the results. SPSS version 27 (IBM Corp., Armonk, NY, USA) and R software (R Foundation for Statistical Computing, Vienna, Austria) were used to conduct the statistical analyses of the data.\n14\n\n", "The baseline characteristics of the COVID‐19 patients are shown in Table 1. A total of 802 hospitalized patients were enrolled in the study and stratified based on GGT<50 IU/L and GGT≥50 IU/L. The ratio of females to males was 297:504. The average age of patients with GGT≥50 IU/L was 53.8 ± 14.7 years, opposed to that of patients with GGT <50 IU/L (48.1 ± 16.5 years).\nBaseline characteristics of COVID‐19 patients stratified by serum GGT levels\nThe values are n (%) unless specified otherwise.\nAbbreviations: ARDS, acute respiratory distress syndrome; BMI, body mass index; COVID‐19, coronavirus disease; CVD, cardiovascular disease; DM, diabetes mellitus; GGT, gamma‐glutamyl transferase; ICU, intensive care unit; IQR, interquartile range; SD, standard deviation.\nThe key source of COVID‐19 transmission amongst patients was either the community (320, 40%) or direct contact (366, 45.7%). More patients with GGT<50 IU/L (236, 48.6%) were affected by COVID‐19 due to contact than patients with GGT ≥50 IU/L (130, 41.3%). It is worth noting that more patients with GGT ≥50 IU/L had pneumonia (247, 78.2%) and acute respiratory distress syndrome (ARDS) (85, 26.9%), whereas those with GGT<50 IU/L had higher rates of hypertension (141, 29%) and diabetes mellitus (DM) (147, 30.2%).\nMore patients with GGT ≥50 IU/L had to be admitted to the ICU than patients with GGT<50 IU/L. The mortality rate of patients with GGT ≥50 IU/L (54, 17.1%) was also higher than that of patients with GGT<50 IU/L (29, 5.9%). The major significant symptoms (p < 0.001) of patients with higher GGT levels were fever (227, 71.8%) and shortness of breath (132, 41.8%), whilst those of patients with lower GGT levels were no symptoms (119, 24.5%) and dry cough (203, 41.8%) (Table 2).\nSigns and symptoms of COVID‐19 stratified by serum GGT levels\nThe values are n (%) unless specified otherwise.\nAbbreviations: COVID‐19, coronavirus disease; GGT, gamma‐glutamyl transferase; SOB, shortness of breath.\nCompared to the patients with GGT<50 IU/L, those with GGT≥50 IU/L had significantly higher platelet, white blood cell (WBC) and neutrophil counts and creatinine, lactate dehydrogenase (LDH), C‐reactive protein (CRP), procalcitonin (PCT), D‐dimer, high‐sensitivity (HS) serum troponin, ferritin, alanine aminotransferase (ALT), aspartate aminotransferase (AST), alkaline phosphatase (ALP), total bilirubin and direct bilirubin levels. Moreover, patients with lower GGT (GGT<50 IU/L) had significantly higher lymphocyte counts and albumin levels (Table 3).\nLaboratory findings of COVID‐19 patients stratified by serum GGT levels\nThe values are median [IQR].\nAbbreviations: ALP, alkaline phosphatase; ALT, alanine aminotransferase; AST, aspartate aminotransferase; COVID‐19, coronavirus disease; CRP, C‐reactive protein; D. bilirubin, direct bilirubin; GGT, gamma‐glutamyl transferase; HS, high‐sensitivity; LDH, lactate dehydrogenase; T. bilirubin, total bilirubin; WBC, white blood cells.\nSignificantly more patients with GGT ≥50 IU/L had received antibiotics (214, 67.7%), methylprednisolone (84, 26.6%), dexamethasone (39, 12.3%), therapeutic anticoagulation (138, 43.7%), azithromycin (12, 3.8%), hydroxychloroquine (66, 20.9%), kaletra (lopinavir/ritonavir) (56, 17.7%), hydrocortisone (14, 4.4%) and current use of ACE inhibitors (39, 14.7%) than the patients with GGT<50 IU/L. Moreover, more patients with GGT≥50 IU/L required either high (83, 27.6%) or low levels of oxygen (104, 34.6%). More patients with GGT<50 IU/L had no requirement for oxygen (306, 71.2%) (Table 4).\nMedications administered to COVID‐19 patients stratified by serum GGT levels\nThe values are n (%), unless specified otherwise.\nAbbreviations: ACE, angiotensin‐converting enzyme; ARBs, angiotensin II receptor blockers; COVID‐19, coronavirus disease; GGT, gamma‐glutamyl transferase.\nThe impact of GGT, age, hypertension, methylprednisolone and fever on cumulative all‐cause mortality was assessed using a multivariable logistic regression model (Table 5). Multivariable analysis showed that GGT ≥50 IU/L (odds ratio [OR]: 2.02, 95% confidence interval [CI]: 1.20–3.45, p = 0.009), age (OR: 1.05, 95% CI: 1.03–1.07, p < 0.001), hypertension (OR: 2.06, 95% CI: 1.19–3.63, p = 0.011), methylprednisolone (OR: 2.96, 95% CI: 1.74–5.01, p < 0.001) and fever (OR: 2.03, 95% CI: 1.15–3.68, p = 0.016) were significantly associated with cumulative all‐cause mortality in COVID‐19 patients (Table 5). A Cox proportional hazards model was conducted to determine whether GGT had a significant effect on the hazard of mortality (Table 6). The ‘no’ category of mortality was used to indicate survival, whilst the ‘yes’ category was used to represent a hazard event. The results of the model were significant based on an alpha value of 0.05, LL =8.70, df =1 and p = 0.003, indicating that GGT was able to adequately predict the hazard of mortality. The coefficients for GGT (B = −0.68, SE =0.24, HR =0.51, p = 0.004) indicate the patients with GGT<50 IU/L had a 0.51‐times lower risk of mortality than the patients with GGT≥50 IU/L.\nLogistic regression analysis of risk factors for in‐hospital death in the overall study cohort\nThe percentages are raw percentages. Multivariable logistic regression analysis was conducted using the simultaneous method. The model was adjusted for GGT, age, hypertension, methylprednisolone use and fever.\nAbbreviations: CI, confidence interval; GGT, gamma‐glutamyl transferase; OR, odds ratio; SD, standard deviation.\nCox Proportional Hazards Regression Coefficients for GGT\nKaplan–Meier survival probability plots were obtained for GGT. Each plot represents the survival probabilities for different groups over time. The Kaplan–Meier survival analysis showed that the cumulative probability of dying in the initial period was higher for patients with GGT≥50 IU/L. [Figure 2].\nKaplan–Meier survival plot of mortality according to GGT levels in patients with coronavirus disease [COVID‐19]. X‐axis: Days since admission", "Our study is one of the first to concentrate on in‐hospital mortality in SARS‐CoV‐2 in specific relation to serum GGT levels. The main finding of our study is that higher levels of serum GGT (≥50 IU/L) were an independent predictor of in‐hospital mortality. Other than serum GGT levels, age, hypertension, methylprednisolone use and fever were found to be predictors of in‐hospital mortality. There were more elderly patients with GGT≥50 IU/L. ICU admissions were also higher with GGT≥50 IU/L.\nOther variables of liver function tests, such as ALP and ALT, were also elevated with GGT levels. The chief source of transmission of SARS‐CoV‐2 amongst the patients was contact (366, 45.7%) or the community (320, 40%). Most patients with GGT≥50 IU/L had either pneumonia or ARDS. Those with GGT≥50 U/L more often required high or low levels of oxygen.\nAbnormal GGT levels during admission predict worse outcomes in critically ill SARS‐CoV‐2 patients.\n15\n, \n16\n Higher levels of GGT were associated with elderly patients.\n17\n The severity of SARS‐CoV‐2 has been observed to be higher in elderly men who have elevated GGT levels.\n18\n Worse SARS‐CoV‐2‐related prognoses and outcomes have been reported in a male cohort with elevated GGT.\n19\n Elevated GGT and CRP have strong interactions with the outcomes of SARS‐CoV‐2.\n20\n Elevated GGT is mostly seen in association with elevated ALP and AST in SARS‐CoV‐2.\n21\n\n\nICU admissions have been seen more often in SARS‐CoV‐2 patients with elevated serum GGT levels.\n18\n Higher mortality has been reported in patients who were previously known to have had liver disease.\n22\n, \n23\n One‐month mortality was seen to be higher in SARS‐CoV‐2 patients with cirrhosis.\n24\n Altered levels of GGT have been seen in SARS‐CoV‐2 patients and are associated with longer hospital stays.\n25\n, \n26\n, \n27\n\n\n Limitations Our study has various limitations. Unmeasured confounding factors, such as clinical comorbidities and medications, could have affected the outcomes. This Kuwaiti study included all the SARS‐CoV‐2‐positive patients.\nOur study has various limitations. Unmeasured confounding factors, such as clinical comorbidities and medications, could have affected the outcomes. This Kuwaiti study included all the SARS‐CoV‐2‐positive patients.", "Our study has various limitations. Unmeasured confounding factors, such as clinical comorbidities and medications, could have affected the outcomes. This Kuwaiti study included all the SARS‐CoV‐2‐positive patients.", "This study demonstrated that serum GGT≥50 IU/L is an independent predictor of in‐hospital mortality in SARS‐CoV‐2 patients. The incidence of ICU admission was higher with elevated serum GGT levels. More prospective studies are required to better understand the role of serum GGT levels in predicting in‐hospital mortality in COVID‐19.", "No conflict of interest to disclose for any author on this manuscript.", "MAR designed the study. MAR and RR participated in data analysis and wrote the manuscript. AAS and JP performed the statistical analysis and reviewed the manuscript. The remaining authors collected the data. All authors had access to the data and took responsibility for the integrity and accuracy of data analysis. All authors have read and approved the manuscript. The authors thank Dr Danah Alothman, Dr Mohamed Elmetwalli Ghazi, and Dr Dhari Alown for their support in manuscript review.", "The requirement for patient consent was waived because of the retrospective observational study design.", "No material from other sources was included in this study." ]
[ null, "methods", null, null, null, "results", "discussion", null, "conclusions", "COI-statement", null, null, null ]
[ "COVID‐19", "gamma‐glutamyl transferase", "in‐hospital mortality", "SARS‐CoV‐2" ]
INTRODUCTION: Amongst cases of coronavirus disease (COVID‐19), 60% of patients have deranged liver diseases. 1  Many studies have shown that 2–11% of patients infected with severe acute respiratory syndrome coronavirus 2 (SARS‐CoV‐2) have an underlying liver disease. 2 In SARS‐CoV‐2, deranged liver function is considered a marker of the severity of the disease. 3 , 4 , 5  Gamma‐glutamyl transferase (GGT) is considered a specific diagnostic biomarker of hepatic cholangiocytic activity. 6 , 7 SARS‐CoV‐2‐related liver injury in relation to cholangiocytic activity can be assessed by analysing GGT serum levels. 8 GGT levels are elevated in SARS‐CoV‐2 infection, 2 which is mostly attributed to the immune‐mediated response and cytotoxicity. 9 , 10 METHODS: Study design and subjects This study examined 802 patients with confirmed SARS‐CoV‐2 infection, including both Kuwaitis and non‐Kuwaitis aged 18 years or older. Patients were enrolled in this retrospective cohort study between 26 February and 8 September 2020. [Figure 1.] All the data were obtained from electronic medical records from two tertiary care hospitals in Kuwait: Jaber Al‐Ahmed Hospital and Al Adan General Hospital. 11 , 12 , 13 An electronic case‐record form (CRF) was used for data entry. Study flowchart SARS‐CoV‐2 infection was confirmed by a positive result of reverse transcription‐polymerase chain reaction (RT‐PCR) using a swab of the nasopharynx. The care of all patients was standardized according to a protocol established by the Ministry of Health in Kuwait. SARS‐CoV‐2 patients were stratified according to serum levels of GGT (GGT<50 IU/L and GGT≥50 IU/L). The Standing Committee For the Coordination of Health and Medical Research at the Ministry of Health in Kuwait waived the requirement of informed consent and approved the study (Institutional review board number 2020/1422). GGT measurement was carried out in biochemistry laboratories in Jaber Al‐Ahmed and Al Adan General Hospitals. Patient serum and plasma samples were handled by the laboratory technicians. Quantitative measurement of GGT is reported by Beckman Coulter AU analysers, which is a kinetic colour test. Method of the machine based on the guidelines of the International Federation for Clinical Chemistry (IFCC). The lowest measurable value of the test, representing the tests’ sensitivity, was approximated at 2 U/L. Estimates of precision are according to Clinical and Laboratory Standards Institute (CLSI) guidance; the coefficient of variation was less than 5%. According to the study hospital protocol, biochemistry laboratory results would usually be reported in the electronic medical records on the first days of admission. Blood samples were collected by a nurse on the same day of the report. We documented this one‐time point result for each study participant admitted with a confirmed COVID‐19 diagnosis. Hence, the GGT results in our study reflect the baseline laboratory profile. Our study analysed GGT on admission as a predictor for COVID‐19‐related mortality. Other GGT‐related predictors, such as those related to the treatment effect or effect of hospitalization, were beyond the scope of the study. This study examined 802 patients with confirmed SARS‐CoV‐2 infection, including both Kuwaitis and non‐Kuwaitis aged 18 years or older. Patients were enrolled in this retrospective cohort study between 26 February and 8 September 2020. [Figure 1.] All the data were obtained from electronic medical records from two tertiary care hospitals in Kuwait: Jaber Al‐Ahmed Hospital and Al Adan General Hospital. 11 , 12 , 13 An electronic case‐record form (CRF) was used for data entry. Study flowchart SARS‐CoV‐2 infection was confirmed by a positive result of reverse transcription‐polymerase chain reaction (RT‐PCR) using a swab of the nasopharynx. The care of all patients was standardized according to a protocol established by the Ministry of Health in Kuwait. SARS‐CoV‐2 patients were stratified according to serum levels of GGT (GGT<50 IU/L and GGT≥50 IU/L). The Standing Committee For the Coordination of Health and Medical Research at the Ministry of Health in Kuwait waived the requirement of informed consent and approved the study (Institutional review board number 2020/1422). GGT measurement was carried out in biochemistry laboratories in Jaber Al‐Ahmed and Al Adan General Hospitals. Patient serum and plasma samples were handled by the laboratory technicians. Quantitative measurement of GGT is reported by Beckman Coulter AU analysers, which is a kinetic colour test. Method of the machine based on the guidelines of the International Federation for Clinical Chemistry (IFCC). The lowest measurable value of the test, representing the tests’ sensitivity, was approximated at 2 U/L. Estimates of precision are according to Clinical and Laboratory Standards Institute (CLSI) guidance; the coefficient of variation was less than 5%. According to the study hospital protocol, biochemistry laboratory results would usually be reported in the electronic medical records on the first days of admission. Blood samples were collected by a nurse on the same day of the report. We documented this one‐time point result for each study participant admitted with a confirmed COVID‐19 diagnosis. Hence, the GGT results in our study reflect the baseline laboratory profile. Our study analysed GGT on admission as a predictor for COVID‐19‐related mortality. Other GGT‐related predictors, such as those related to the treatment effect or effect of hospitalization, were beyond the scope of the study. Definitions The primary outcome measured was SARS‐CoV‐2‐related mortality as defined by ICD‐10 code U07.1. The secondary outcome measures were the duration of hospital stay and the need for admission to the intensive care unit (ICU). The following clinical and laboratory variables were collected: sociodemographic determinants, co‐morbidities, clinical presentations, laboratory results, medications received in hospital, oxygen requirement and durations of ICU and in‐hospital stays. Patients with a confirmed diagnosis of restrictive or obstructive disease were considered in the chronic lung disease category. The immunosuppression category was defined as patients on immunosuppressive therapy. The requirement of oxygen was considered ‘none’, ‘low’, or ‘high'. Patients who were on oxygen via a nasal cannula or a nonrebreather mask were classified as the low requirement category. Those who required extracorporeal membrane oxygenation (ECMO), invasive ventilation, noninvasive ventilation or high‐flow oxygen were grouped in the high requirement category. The primary outcome measured was SARS‐CoV‐2‐related mortality as defined by ICD‐10 code U07.1. The secondary outcome measures were the duration of hospital stay and the need for admission to the intensive care unit (ICU). The following clinical and laboratory variables were collected: sociodemographic determinants, co‐morbidities, clinical presentations, laboratory results, medications received in hospital, oxygen requirement and durations of ICU and in‐hospital stays. Patients with a confirmed diagnosis of restrictive or obstructive disease were considered in the chronic lung disease category. The immunosuppression category was defined as patients on immunosuppressive therapy. The requirement of oxygen was considered ‘none’, ‘low’, or ‘high'. Patients who were on oxygen via a nasal cannula or a nonrebreather mask were classified as the low requirement category. Those who required extracorporeal membrane oxygenation (ECMO), invasive ventilation, noninvasive ventilation or high‐flow oxygen were grouped in the high requirement category. Statistical analysis Descriptive statistics were used to summarize the data in the form of the frequency, percentage, mean ± standard deviation (SD) and median ±interquartile range (IQR). Pearson's χ2 test was performed to determine the factors associated with the GGT cohorts (GGT<50 IU/L, GGT≥50 IU/L). Multivariable logistic regression was used to check the impacts of GGT, age, hypertension, methylprednisolone and fever on mortality. The relationship between GGT (GGT<50 IU/L, GGT≥50 IU/L) and mortality was assessed using Cox regression analysis and a Kaplan–Meier survival curve. An alpha level of 5% was used to check the significance of the results. SPSS version 27 (IBM Corp., Armonk, NY, USA) and R software (R Foundation for Statistical Computing, Vienna, Austria) were used to conduct the statistical analyses of the data. 14 Descriptive statistics were used to summarize the data in the form of the frequency, percentage, mean ± standard deviation (SD) and median ±interquartile range (IQR). Pearson's χ2 test was performed to determine the factors associated with the GGT cohorts (GGT<50 IU/L, GGT≥50 IU/L). Multivariable logistic regression was used to check the impacts of GGT, age, hypertension, methylprednisolone and fever on mortality. The relationship between GGT (GGT<50 IU/L, GGT≥50 IU/L) and mortality was assessed using Cox regression analysis and a Kaplan–Meier survival curve. An alpha level of 5% was used to check the significance of the results. SPSS version 27 (IBM Corp., Armonk, NY, USA) and R software (R Foundation for Statistical Computing, Vienna, Austria) were used to conduct the statistical analyses of the data. 14 Study design and subjects: This study examined 802 patients with confirmed SARS‐CoV‐2 infection, including both Kuwaitis and non‐Kuwaitis aged 18 years or older. Patients were enrolled in this retrospective cohort study between 26 February and 8 September 2020. [Figure 1.] All the data were obtained from electronic medical records from two tertiary care hospitals in Kuwait: Jaber Al‐Ahmed Hospital and Al Adan General Hospital. 11 , 12 , 13 An electronic case‐record form (CRF) was used for data entry. Study flowchart SARS‐CoV‐2 infection was confirmed by a positive result of reverse transcription‐polymerase chain reaction (RT‐PCR) using a swab of the nasopharynx. The care of all patients was standardized according to a protocol established by the Ministry of Health in Kuwait. SARS‐CoV‐2 patients were stratified according to serum levels of GGT (GGT<50 IU/L and GGT≥50 IU/L). The Standing Committee For the Coordination of Health and Medical Research at the Ministry of Health in Kuwait waived the requirement of informed consent and approved the study (Institutional review board number 2020/1422). GGT measurement was carried out in biochemistry laboratories in Jaber Al‐Ahmed and Al Adan General Hospitals. Patient serum and plasma samples were handled by the laboratory technicians. Quantitative measurement of GGT is reported by Beckman Coulter AU analysers, which is a kinetic colour test. Method of the machine based on the guidelines of the International Federation for Clinical Chemistry (IFCC). The lowest measurable value of the test, representing the tests’ sensitivity, was approximated at 2 U/L. Estimates of precision are according to Clinical and Laboratory Standards Institute (CLSI) guidance; the coefficient of variation was less than 5%. According to the study hospital protocol, biochemistry laboratory results would usually be reported in the electronic medical records on the first days of admission. Blood samples were collected by a nurse on the same day of the report. We documented this one‐time point result for each study participant admitted with a confirmed COVID‐19 diagnosis. Hence, the GGT results in our study reflect the baseline laboratory profile. Our study analysed GGT on admission as a predictor for COVID‐19‐related mortality. Other GGT‐related predictors, such as those related to the treatment effect or effect of hospitalization, were beyond the scope of the study. Definitions: The primary outcome measured was SARS‐CoV‐2‐related mortality as defined by ICD‐10 code U07.1. The secondary outcome measures were the duration of hospital stay and the need for admission to the intensive care unit (ICU). The following clinical and laboratory variables were collected: sociodemographic determinants, co‐morbidities, clinical presentations, laboratory results, medications received in hospital, oxygen requirement and durations of ICU and in‐hospital stays. Patients with a confirmed diagnosis of restrictive or obstructive disease were considered in the chronic lung disease category. The immunosuppression category was defined as patients on immunosuppressive therapy. The requirement of oxygen was considered ‘none’, ‘low’, or ‘high'. Patients who were on oxygen via a nasal cannula or a nonrebreather mask were classified as the low requirement category. Those who required extracorporeal membrane oxygenation (ECMO), invasive ventilation, noninvasive ventilation or high‐flow oxygen were grouped in the high requirement category. Statistical analysis: Descriptive statistics were used to summarize the data in the form of the frequency, percentage, mean ± standard deviation (SD) and median ±interquartile range (IQR). Pearson's χ2 test was performed to determine the factors associated with the GGT cohorts (GGT<50 IU/L, GGT≥50 IU/L). Multivariable logistic regression was used to check the impacts of GGT, age, hypertension, methylprednisolone and fever on mortality. The relationship between GGT (GGT<50 IU/L, GGT≥50 IU/L) and mortality was assessed using Cox regression analysis and a Kaplan–Meier survival curve. An alpha level of 5% was used to check the significance of the results. SPSS version 27 (IBM Corp., Armonk, NY, USA) and R software (R Foundation for Statistical Computing, Vienna, Austria) were used to conduct the statistical analyses of the data. 14 RESULTS: The baseline characteristics of the COVID‐19 patients are shown in Table 1. A total of 802 hospitalized patients were enrolled in the study and stratified based on GGT<50 IU/L and GGT≥50 IU/L. The ratio of females to males was 297:504. The average age of patients with GGT≥50 IU/L was 53.8 ± 14.7 years, opposed to that of patients with GGT <50 IU/L (48.1 ± 16.5 years). Baseline characteristics of COVID‐19 patients stratified by serum GGT levels The values are n (%) unless specified otherwise. Abbreviations: ARDS, acute respiratory distress syndrome; BMI, body mass index; COVID‐19, coronavirus disease; CVD, cardiovascular disease; DM, diabetes mellitus; GGT, gamma‐glutamyl transferase; ICU, intensive care unit; IQR, interquartile range; SD, standard deviation. The key source of COVID‐19 transmission amongst patients was either the community (320, 40%) or direct contact (366, 45.7%). More patients with GGT<50 IU/L (236, 48.6%) were affected by COVID‐19 due to contact than patients with GGT ≥50 IU/L (130, 41.3%). It is worth noting that more patients with GGT ≥50 IU/L had pneumonia (247, 78.2%) and acute respiratory distress syndrome (ARDS) (85, 26.9%), whereas those with GGT<50 IU/L had higher rates of hypertension (141, 29%) and diabetes mellitus (DM) (147, 30.2%). More patients with GGT ≥50 IU/L had to be admitted to the ICU than patients with GGT<50 IU/L. The mortality rate of patients with GGT ≥50 IU/L (54, 17.1%) was also higher than that of patients with GGT<50 IU/L (29, 5.9%). The major significant symptoms (p < 0.001) of patients with higher GGT levels were fever (227, 71.8%) and shortness of breath (132, 41.8%), whilst those of patients with lower GGT levels were no symptoms (119, 24.5%) and dry cough (203, 41.8%) (Table 2). Signs and symptoms of COVID‐19 stratified by serum GGT levels The values are n (%) unless specified otherwise. Abbreviations: COVID‐19, coronavirus disease; GGT, gamma‐glutamyl transferase; SOB, shortness of breath. Compared to the patients with GGT<50 IU/L, those with GGT≥50 IU/L had significantly higher platelet, white blood cell (WBC) and neutrophil counts and creatinine, lactate dehydrogenase (LDH), C‐reactive protein (CRP), procalcitonin (PCT), D‐dimer, high‐sensitivity (HS) serum troponin, ferritin, alanine aminotransferase (ALT), aspartate aminotransferase (AST), alkaline phosphatase (ALP), total bilirubin and direct bilirubin levels. Moreover, patients with lower GGT (GGT<50 IU/L) had significantly higher lymphocyte counts and albumin levels (Table 3). Laboratory findings of COVID‐19 patients stratified by serum GGT levels The values are median [IQR]. Abbreviations: ALP, alkaline phosphatase; ALT, alanine aminotransferase; AST, aspartate aminotransferase; COVID‐19, coronavirus disease; CRP, C‐reactive protein; D. bilirubin, direct bilirubin; GGT, gamma‐glutamyl transferase; HS, high‐sensitivity; LDH, lactate dehydrogenase; T. bilirubin, total bilirubin; WBC, white blood cells. Significantly more patients with GGT ≥50 IU/L had received antibiotics (214, 67.7%), methylprednisolone (84, 26.6%), dexamethasone (39, 12.3%), therapeutic anticoagulation (138, 43.7%), azithromycin (12, 3.8%), hydroxychloroquine (66, 20.9%), kaletra (lopinavir/ritonavir) (56, 17.7%), hydrocortisone (14, 4.4%) and current use of ACE inhibitors (39, 14.7%) than the patients with GGT<50 IU/L. Moreover, more patients with GGT≥50 IU/L required either high (83, 27.6%) or low levels of oxygen (104, 34.6%). More patients with GGT<50 IU/L had no requirement for oxygen (306, 71.2%) (Table 4). Medications administered to COVID‐19 patients stratified by serum GGT levels The values are n (%), unless specified otherwise. Abbreviations: ACE, angiotensin‐converting enzyme; ARBs, angiotensin II receptor blockers; COVID‐19, coronavirus disease; GGT, gamma‐glutamyl transferase. The impact of GGT, age, hypertension, methylprednisolone and fever on cumulative all‐cause mortality was assessed using a multivariable logistic regression model (Table 5). Multivariable analysis showed that GGT ≥50 IU/L (odds ratio [OR]: 2.02, 95% confidence interval [CI]: 1.20–3.45, p = 0.009), age (OR: 1.05, 95% CI: 1.03–1.07, p < 0.001), hypertension (OR: 2.06, 95% CI: 1.19–3.63, p = 0.011), methylprednisolone (OR: 2.96, 95% CI: 1.74–5.01, p < 0.001) and fever (OR: 2.03, 95% CI: 1.15–3.68, p = 0.016) were significantly associated with cumulative all‐cause mortality in COVID‐19 patients (Table 5). A Cox proportional hazards model was conducted to determine whether GGT had a significant effect on the hazard of mortality (Table 6). The ‘no’ category of mortality was used to indicate survival, whilst the ‘yes’ category was used to represent a hazard event. The results of the model were significant based on an alpha value of 0.05, LL =8.70, df =1 and p = 0.003, indicating that GGT was able to adequately predict the hazard of mortality. The coefficients for GGT (B = −0.68, SE =0.24, HR =0.51, p = 0.004) indicate the patients with GGT<50 IU/L had a 0.51‐times lower risk of mortality than the patients with GGT≥50 IU/L. Logistic regression analysis of risk factors for in‐hospital death in the overall study cohort The percentages are raw percentages. Multivariable logistic regression analysis was conducted using the simultaneous method. The model was adjusted for GGT, age, hypertension, methylprednisolone use and fever. Abbreviations: CI, confidence interval; GGT, gamma‐glutamyl transferase; OR, odds ratio; SD, standard deviation. Cox Proportional Hazards Regression Coefficients for GGT Kaplan–Meier survival probability plots were obtained for GGT. Each plot represents the survival probabilities for different groups over time. The Kaplan–Meier survival analysis showed that the cumulative probability of dying in the initial period was higher for patients with GGT≥50 IU/L. [Figure 2]. Kaplan–Meier survival plot of mortality according to GGT levels in patients with coronavirus disease [COVID‐19]. X‐axis: Days since admission DISCUSSION: Our study is one of the first to concentrate on in‐hospital mortality in SARS‐CoV‐2 in specific relation to serum GGT levels. The main finding of our study is that higher levels of serum GGT (≥50 IU/L) were an independent predictor of in‐hospital mortality. Other than serum GGT levels, age, hypertension, methylprednisolone use and fever were found to be predictors of in‐hospital mortality. There were more elderly patients with GGT≥50 IU/L. ICU admissions were also higher with GGT≥50 IU/L. Other variables of liver function tests, such as ALP and ALT, were also elevated with GGT levels. The chief source of transmission of SARS‐CoV‐2 amongst the patients was contact (366, 45.7%) or the community (320, 40%). Most patients with GGT≥50 IU/L had either pneumonia or ARDS. Those with GGT≥50 U/L more often required high or low levels of oxygen. Abnormal GGT levels during admission predict worse outcomes in critically ill SARS‐CoV‐2 patients. 15 , 16 Higher levels of GGT were associated with elderly patients. 17  The severity of SARS‐CoV‐2 has been observed to be higher in elderly men who have elevated GGT levels. 18  Worse SARS‐CoV‐2‐related prognoses and outcomes have been reported in a male cohort with elevated GGT. 19 Elevated GGT and CRP have strong interactions with the outcomes of SARS‐CoV‐2. 20 Elevated GGT is mostly seen in association with elevated ALP and AST in SARS‐CoV‐2. 21 ICU admissions have been seen more often in SARS‐CoV‐2 patients with elevated serum GGT levels. 18 Higher mortality has been reported in patients who were previously known to have had liver disease. 22 , 23 One‐month mortality was seen to be higher in SARS‐CoV‐2 patients with cirrhosis. 24 Altered levels of GGT have been seen in SARS‐CoV‐2 patients and are associated with longer hospital stays. 25 , 26 , 27 Limitations Our study has various limitations. Unmeasured confounding factors, such as clinical comorbidities and medications, could have affected the outcomes. This Kuwaiti study included all the SARS‐CoV‐2‐positive patients. Our study has various limitations. Unmeasured confounding factors, such as clinical comorbidities and medications, could have affected the outcomes. This Kuwaiti study included all the SARS‐CoV‐2‐positive patients. Limitations: Our study has various limitations. Unmeasured confounding factors, such as clinical comorbidities and medications, could have affected the outcomes. This Kuwaiti study included all the SARS‐CoV‐2‐positive patients. CONCLUSIONS: This study demonstrated that serum GGT≥50 IU/L is an independent predictor of in‐hospital mortality in SARS‐CoV‐2 patients. The incidence of ICU admission was higher with elevated serum GGT levels. More prospective studies are required to better understand the role of serum GGT levels in predicting in‐hospital mortality in COVID‐19. CONFLICT OF INTEREST: No conflict of interest to disclose for any author on this manuscript. AUTHOR CONTRIBUTIONS: MAR designed the study. MAR and RR participated in data analysis and wrote the manuscript. AAS and JP performed the statistical analysis and reviewed the manuscript. The remaining authors collected the data. All authors had access to the data and took responsibility for the integrity and accuracy of data analysis. All authors have read and approved the manuscript. The authors thank Dr Danah Alothman, Dr Mohamed Elmetwalli Ghazi, and Dr Dhari Alown for their support in manuscript review. PATIENT CONSENT STATEMENT: The requirement for patient consent was waived because of the retrospective observational study design. PERMISSION TO REPRODUCE MATERIAL FROM OTHER SOURCES: No material from other sources was included in this study.
Background: This study investigates in-hospital mortality amongst patients with severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) and its relation to serum levels of gamma-glutamyl transferase (GGT). Methods: Patients were stratified according to serum levels of gamma-glutamyl transferase (GGT) (GGT<50 IU/L or GGT≥50 IU/L). Results: A total of 802 participants were considered, amongst whom 486 had GGT<50 IU/L and a mean age of 48.1 (16.5) years, whilst 316 had GGT≥50 IU/L and a mean age of 53.8 (14.7) years. The chief sources of SARS-CoV-2 transmission were contact (366, 45.7%) and community (320, 40%). Most patients with GGT≥50 IU/L had either pneumonia (247, 78.2%) or acute respiratory distress syndrome (ARDS) (85, 26.9%), whilst those with GGT<50 IU/L had hypertension (141, 29%) or diabetes mellitus (DM) (147, 30.2%). Mortality was higher amongst patients with GGT≥50 IU/L (54, 17.1%) than amongst those with GGT<50 IU/L (29, 5.9%). More patients with GGT≥50 required high (83, 27.6%) or low (104, 34.6%) levels of oxygen, whereas most of those with GGT<50 had no requirement of oxygen (306, 71.2%). Multivariable logistic regression analysis indicated that GGT≥50 IU/L (odds ratio [OR]: 2.02, 95% confidence interval [CI]: 1.20-3.45, p=0.009), age (OR: 1.05, 95% CI: 1.03-1.07, p<0.001), hypertension (OR: 2.06, 95% CI: 1.19-3.63, p=0.011), methylprednisolone (OR: 2.96, 95% CI: 1.74-5.01, p<0.001) and fever (OR: 2.03, 95% CI: 1.15-3.68, p=0.016) were significant predictors of all-cause cumulative mortality. A Cox proportional hazards regression model (B = -0.68, SE =0.24, HR =0.51, p = 0.004) showed that patients with GGT<50 IU/L had a 0.51-times lower risk of all-cause cumulative mortality than patients with GGT≥50 IU/L. Conclusions: Higher levels of serum GGT were found to be an independent predictor of in-hospital mortality.
INTRODUCTION: Amongst cases of coronavirus disease (COVID‐19), 60% of patients have deranged liver diseases. 1  Many studies have shown that 2–11% of patients infected with severe acute respiratory syndrome coronavirus 2 (SARS‐CoV‐2) have an underlying liver disease. 2 In SARS‐CoV‐2, deranged liver function is considered a marker of the severity of the disease. 3 , 4 , 5  Gamma‐glutamyl transferase (GGT) is considered a specific diagnostic biomarker of hepatic cholangiocytic activity. 6 , 7 SARS‐CoV‐2‐related liver injury in relation to cholangiocytic activity can be assessed by analysing GGT serum levels. 8 GGT levels are elevated in SARS‐CoV‐2 infection, 2 which is mostly attributed to the immune‐mediated response and cytotoxicity. 9 , 10 CONCLUSIONS: This study demonstrated that serum GGT≥50 IU/L is an independent predictor of in‐hospital mortality in SARS‐CoV‐2 patients. The incidence of ICU admission was higher with elevated serum GGT levels. More prospective studies are required to better understand the role of serum GGT levels in predicting in‐hospital mortality in COVID‐19.
Background: This study investigates in-hospital mortality amongst patients with severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) and its relation to serum levels of gamma-glutamyl transferase (GGT). Methods: Patients were stratified according to serum levels of gamma-glutamyl transferase (GGT) (GGT<50 IU/L or GGT≥50 IU/L). Results: A total of 802 participants were considered, amongst whom 486 had GGT<50 IU/L and a mean age of 48.1 (16.5) years, whilst 316 had GGT≥50 IU/L and a mean age of 53.8 (14.7) years. The chief sources of SARS-CoV-2 transmission were contact (366, 45.7%) and community (320, 40%). Most patients with GGT≥50 IU/L had either pneumonia (247, 78.2%) or acute respiratory distress syndrome (ARDS) (85, 26.9%), whilst those with GGT<50 IU/L had hypertension (141, 29%) or diabetes mellitus (DM) (147, 30.2%). Mortality was higher amongst patients with GGT≥50 IU/L (54, 17.1%) than amongst those with GGT<50 IU/L (29, 5.9%). More patients with GGT≥50 required high (83, 27.6%) or low (104, 34.6%) levels of oxygen, whereas most of those with GGT<50 had no requirement of oxygen (306, 71.2%). Multivariable logistic regression analysis indicated that GGT≥50 IU/L (odds ratio [OR]: 2.02, 95% confidence interval [CI]: 1.20-3.45, p=0.009), age (OR: 1.05, 95% CI: 1.03-1.07, p<0.001), hypertension (OR: 2.06, 95% CI: 1.19-3.63, p=0.011), methylprednisolone (OR: 2.96, 95% CI: 1.74-5.01, p<0.001) and fever (OR: 2.03, 95% CI: 1.15-3.68, p=0.016) were significant predictors of all-cause cumulative mortality. A Cox proportional hazards regression model (B = -0.68, SE =0.24, HR =0.51, p = 0.004) showed that patients with GGT<50 IU/L had a 0.51-times lower risk of all-cause cumulative mortality than patients with GGT≥50 IU/L. Conclusions: Higher levels of serum GGT were found to be an independent predictor of in-hospital mortality.
4,553
484
[ 150, 427, 170, 175, 32, 87, 15, 11 ]
13
[ "ggt", "patients", "50", "ggt 50", "iu", "50 iu", "ggt 50 iu", "study", "sars cov", "cov" ]
[ "cov patients cirrhosis", "coronavirus disease covid", "cholangiocytic activity sars", "biomarker hepatic cholangiocytic", "coronavirus disease ggt" ]
[CONTENT] COVID‐19 | gamma‐glutamyl transferase | in‐hospital mortality | SARS‐CoV‐2 [SUMMARY]
[CONTENT] COVID‐19 | gamma‐glutamyl transferase | in‐hospital mortality | SARS‐CoV‐2 [SUMMARY]
[CONTENT] COVID‐19 | gamma‐glutamyl transferase | in‐hospital mortality | SARS‐CoV‐2 [SUMMARY]
[CONTENT] COVID‐19 | gamma‐glutamyl transferase | in‐hospital mortality | SARS‐CoV‐2 [SUMMARY]
[CONTENT] COVID‐19 | gamma‐glutamyl transferase | in‐hospital mortality | SARS‐CoV‐2 [SUMMARY]
[CONTENT] COVID‐19 | gamma‐glutamyl transferase | in‐hospital mortality | SARS‐CoV‐2 [SUMMARY]
[CONTENT] COVID-19 | Hospital Mortality | Humans | Hypertension | Middle Aged | Oxygen | Risk Factors | SARS-CoV-2 | gamma-Glutamyltransferase [SUMMARY]
[CONTENT] COVID-19 | Hospital Mortality | Humans | Hypertension | Middle Aged | Oxygen | Risk Factors | SARS-CoV-2 | gamma-Glutamyltransferase [SUMMARY]
[CONTENT] COVID-19 | Hospital Mortality | Humans | Hypertension | Middle Aged | Oxygen | Risk Factors | SARS-CoV-2 | gamma-Glutamyltransferase [SUMMARY]
[CONTENT] COVID-19 | Hospital Mortality | Humans | Hypertension | Middle Aged | Oxygen | Risk Factors | SARS-CoV-2 | gamma-Glutamyltransferase [SUMMARY]
[CONTENT] COVID-19 | Hospital Mortality | Humans | Hypertension | Middle Aged | Oxygen | Risk Factors | SARS-CoV-2 | gamma-Glutamyltransferase [SUMMARY]
[CONTENT] COVID-19 | Hospital Mortality | Humans | Hypertension | Middle Aged | Oxygen | Risk Factors | SARS-CoV-2 | gamma-Glutamyltransferase [SUMMARY]
[CONTENT] cov patients cirrhosis | coronavirus disease covid | cholangiocytic activity sars | biomarker hepatic cholangiocytic | coronavirus disease ggt [SUMMARY]
[CONTENT] cov patients cirrhosis | coronavirus disease covid | cholangiocytic activity sars | biomarker hepatic cholangiocytic | coronavirus disease ggt [SUMMARY]
[CONTENT] cov patients cirrhosis | coronavirus disease covid | cholangiocytic activity sars | biomarker hepatic cholangiocytic | coronavirus disease ggt [SUMMARY]
[CONTENT] cov patients cirrhosis | coronavirus disease covid | cholangiocytic activity sars | biomarker hepatic cholangiocytic | coronavirus disease ggt [SUMMARY]
[CONTENT] cov patients cirrhosis | coronavirus disease covid | cholangiocytic activity sars | biomarker hepatic cholangiocytic | coronavirus disease ggt [SUMMARY]
[CONTENT] cov patients cirrhosis | coronavirus disease covid | cholangiocytic activity sars | biomarker hepatic cholangiocytic | coronavirus disease ggt [SUMMARY]
[CONTENT] ggt | patients | 50 | ggt 50 | iu | 50 iu | ggt 50 iu | study | sars cov | cov [SUMMARY]
[CONTENT] ggt | patients | 50 | ggt 50 | iu | 50 iu | ggt 50 iu | study | sars cov | cov [SUMMARY]
[CONTENT] ggt | patients | 50 | ggt 50 | iu | 50 iu | ggt 50 iu | study | sars cov | cov [SUMMARY]
[CONTENT] ggt | patients | 50 | ggt 50 | iu | 50 iu | ggt 50 iu | study | sars cov | cov [SUMMARY]
[CONTENT] ggt | patients | 50 | ggt 50 | iu | 50 iu | ggt 50 iu | study | sars cov | cov [SUMMARY]
[CONTENT] ggt | patients | 50 | ggt 50 | iu | 50 iu | ggt 50 iu | study | sars cov | cov [SUMMARY]
[CONTENT] liver | sars | cov | sars cov | deranged | cholangiocytic | cholangiocytic activity | deranged liver | activity | disease [SUMMARY]
[CONTENT] ggt | study | laboratory | ggt 50 | 50 iu | 50 | hospital | iu | ggt 50 iu | patients [SUMMARY]
[CONTENT] ggt | patients ggt 50 | patients ggt | patients ggt 50 iu | patients | 50 iu | ggt 50 iu | ggt 50 | iu | 50 [SUMMARY]
[CONTENT] serum ggt | hospital mortality | serum | ggt | serum ggt levels | ggt levels | levels | hospital | mortality | role serum [SUMMARY]
[CONTENT] ggt | study | patients | 50 | ggt 50 | cov | sars cov | sars | ggt 50 iu | iu [SUMMARY]
[CONTENT] ggt | study | patients | 50 | ggt 50 | cov | sars cov | sars | ggt 50 iu | iu [SUMMARY]
[CONTENT] 2 [SUMMARY]
[CONTENT] GGT≥50 [SUMMARY]
[CONTENT] 802 | 486 | 16.5) years | 316 | GGT≥50 | 53.8 | 14.7) years ||| 366 | 45.7% | 320 | 40% ||| GGT≥50 | 247 | 78.2% | 85 | 26.9% | 141 | 29% | 147 | 30.2% ||| GGT≥50 | 54 | 17.1% | 29 | 5.9% ||| GGT≥50 | 83 | 27.6% | 104 | 34.6% | 306 | 71.2% ||| GGT≥50 | 2.02 | 95% | CI | 1.20-3.45 | 1.05 | 95% | CI | 1.03-1.07 | 2.06 | 95% | CI | 1.19-3.63 | 2.96 | 95% | CI | 1.74 | 2.03 | 95% | CI | 1.15-3.68 ||| 0.24 | 0.51 | 0.004 | 0.51 | GGT≥50 [SUMMARY]
[CONTENT] [SUMMARY]
[CONTENT] ||| 2 ||| GGT≥50 ||| ||| 802 | 486 | 16.5) years | 316 | GGT≥50 | 53.8 | 14.7) years ||| 366 | 45.7% | 320 | 40% ||| GGT≥50 | 247 | 78.2% | 85 | 26.9% | 141 | 29% | 147 | 30.2% ||| GGT≥50 | 54 | 17.1% | 29 | 5.9% ||| GGT≥50 | 83 | 27.6% | 104 | 34.6% | 306 | 71.2% ||| GGT≥50 | 2.02 | 95% | CI | 1.20-3.45 | 1.05 | 95% | CI | 1.03-1.07 | 2.06 | 95% | CI | 1.19-3.63 | 2.96 | 95% | CI | 1.74 | 2.03 | 95% | CI | 1.15-3.68 ||| 0.24 | 0.51 | 0.004 | 0.51 | GGT≥50 [SUMMARY]
[CONTENT] ||| 2 ||| GGT≥50 ||| ||| 802 | 486 | 16.5) years | 316 | GGT≥50 | 53.8 | 14.7) years ||| 366 | 45.7% | 320 | 40% ||| GGT≥50 | 247 | 78.2% | 85 | 26.9% | 141 | 29% | 147 | 30.2% ||| GGT≥50 | 54 | 17.1% | 29 | 5.9% ||| GGT≥50 | 83 | 27.6% | 104 | 34.6% | 306 | 71.2% ||| GGT≥50 | 2.02 | 95% | CI | 1.20-3.45 | 1.05 | 95% | CI | 1.03-1.07 | 2.06 | 95% | CI | 1.19-3.63 | 2.96 | 95% | CI | 1.74 | 2.03 | 95% | CI | 1.15-3.68 ||| 0.24 | 0.51 | 0.004 | 0.51 | GGT≥50 [SUMMARY]
ENDOSCOPIC CHARACTERISTICS OF PATIENTS WITH COMPLETE PATHOLOGICAL RESPONSE AFTER NEOADJUVANT CHEMOTHERAPY FOR GASTRIC AND ESOPHAGOGASTRIC JUNCTION ADENOCARCINOMAS.
35019128
Gastric and esophagogastric junction adenocarcinoma are responsible for approximately 13.5% of cancer-related deaths. Given the fact that these tumors are not typically detected until they are already in the advanced stages, neoadjuvancy plays a fundamental role in improving long-term survival. Identification of those with complete pathological response (pCR) after neoadjuvant chemotherapy (NAC) is a major challenge, with effects on organ preservation, extent of resection, and additional surgery. There is little or no information in the literature about which endoscopic signs should be evaluated after NAC, or even when such re-evaluation should occur.
BACKGROUND
A survey was conducted of the medical records of patients with these tumors who were submitted to gastrectomy after NAC, with anatomopathological result of pCR.
METHODS
Twenty-nine patients were identified who achieved pCR after NAC within the study period. Endoscopic responses were used to classify patients into two groups: G1-endoscopic findings consistent with pCR and G2-endoscopic findings not consistent with pCR. Endoscopic evaluation in G1 was present in an equal percentage (47.4%; p=0.28) in Borrmann classification II and III. In this group, the predominance was in the gastric body (57.9%; p=0.14), intestinal subtype with 42.1% (p=0.75), undifferentiated degree, 62.5% (p=0.78), Herb+ in 73.3% (p=0.68). The most significant finding, however, was that the time interval between NAC and EGD was longer for G1 than G2 (24.4 vs. 10.2 days, p=0.008).
RESULTS
EGD after NAC seems to be a useful tool for predicting pCR, and it may be possible to use it to create a reliable response classification. In addition, the time interval between NAC and EGD appears to significantly influence the predictive power of endoscopy for pCR.
CONCLUSION
[ "Adenocarcinoma", "Antineoplastic Combined Chemotherapy Protocols", "Endoscopy", "Esophagogastric Junction", "Humans", "Neoadjuvant Therapy", "Neoplasm Staging", "Stomach Neoplasms", "Treatment Outcome" ]
8735268
INTRODUCTION
Despite a reduction in the incidence of gastric adenocarcinoma (GC) in the last decade, it remains the third most common cause of cancer-related death in the world, with an estimated 783,000 deaths per year 5 .The incidence of adenocarcinoma of the esophagogastric junction (GEJ) has increased markedly in Western countries in recent years 5 , 4 . Population analyses in the United States have reported an almost 2.5-fold increase in incidence since the 1970s 14 . In Brazil, GC is the 5th most common cancer overall (3th among men and 5th among women) 15 . For each year from 2020 to 2022 it has been projected that there will be 13,360 new cases in men and 7,870 new cases in women per hundred thousand people 15 . For esophageal adenocarcinoma in Brazil, there are expected to be 8,690 new cases in men and 2,700 new cases in women per hundred thousand 15 . GC development can be induced by the interactions of multiple genetic and environmental factors in complex ways 23 . Currently, the recommended therapeutic approach for locally advanced tumors of the stomach and GEJ is perioperative chemotherapy 3 , 7 . Several studies have demonstrated this strategy to yield increased rates of complete resection, downstaging, overall survival, and progression-free survival 3 , 8 . It has also been noted that some tumors exhibit better responsiveness than others 7 , 8 . Therefore, diagnostic methods that can predict a complete pathological response (pCR) have important clinical implications 7 , 22 . Several combined chemotherapy regimens have shown good efficacy for GC and non-resectable GEJ allowing a potential curative gastrectomy 22 . Among these regimens, the most used today is the FLOT scheme, composed of fluorouracil, leucovorin, oxaliplatin, and docetaxel 2 . In patients with locally advanced lesion above clinical stage tumor (cT) 2 or compromised lymph nodes, neoadjuvant chemotherapy (NAC) can increase the likelihood of curative surgery, with complete tumor response rates around 10% and increased rates of both progression-free and overall survival 9 , 21 . In addition, NAC can offer treatment options for patients for whom surgery is risky, such as those with more advanced disease progression 4 . The identification of patients with pCR after NAC could, in the future, become a tool to select those who really benefit from adjuvant chemotherapy and perhaps even in the suppression of surgery to patients at high risk for the procedure, becoming a useful tool in the decision multidisciplinary therapy 4 . In general, the morbidity rate of radical gastrectomies is around 33.5% and mortality between 0.6% to 4.7% 1 1 ,1 6 . According to a 2015 study the overall survival of stage III/IV patients who underwent NAC and who obtained pCR was similar to those with stage I/II who did not receive NAC 6 . Recently published data demonstrated that pathological staging was better than conventional staging at predicting responsiveness to and survival after neoadjuvancy 7 . Other studies have also indicated that location in GEJ and TNM are associated with a worse prognosis 8 . Preoperative endoscopic evaluation of patients undergoing NAC is recommended in many services, but as of the writing of this paper there has been no published description of endoscopic findings in these patients and the ideal time interval between NAC and surgery remains unclear. Therefore, in the present study we investigated the following questions: 1) What are the endoscopic features that support detection of pCR following NAC? 2) What is the diagnostic accuracy and sensitivity of esophagogastroduodenoscopy (EGD) in the assessment of pCR following NAC? and 3) What time interval between NAC and EGD supports optimal response prediction?
METHODS
This is a retrospective study in a single center specializing in cancer treatment. The medical records were revised of patients with GC and GEJ type adenocarcinoma who were submitted to gastrectomy after NAC with an anatomopathological result of pCR. From October 2010 to September 2018, we identified 31 patients aged >18 years who underwent total or subtotal gastrectomy after NAC for the treatment of CG and GEJ and who exhibited pCR. All patients were treated at A.C. Camargo Cancer Center, São Paulo, SP, Brazil. Clinical stages of patients ranged from cT2-cT4. Were excluded two patients that missed the examinations. The study was approved by the ethics and research committee of A.C. Camargo Cancer Center, under number: 2892/20. Study design All EGDs were performed by two senior endoscopists using 150 and 180 videoendoscopies (Olympus Medical System Corporation, Hachioji-shi, Tokyo, Japan). Esophagogastroduodenoscopy 1 (EGD1) Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. After the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). Patients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. After the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). Patients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. Esophagogastroduodenoscopy 2 (EGD2) Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. The histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration 1 9 . All surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network 1 . According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses. Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. The histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration 1 9 . All surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network 1 . According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses. All EGDs were performed by two senior endoscopists using 150 and 180 videoendoscopies (Olympus Medical System Corporation, Hachioji-shi, Tokyo, Japan). Esophagogastroduodenoscopy 1 (EGD1) Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. After the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). Patients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. After the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). Patients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. Esophagogastroduodenoscopy 2 (EGD2) Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. The histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration 1 9 . All surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network 1 . According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses. Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. The histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration 1 9 . All surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network 1 . According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses. Objectives and definitions The primary objectives of this study were to describe the endoscopic aspects of patients with gastric or GEJ adenocarcinomas submitted to NAC who exhibited pCR, and to determine the accuracy of EGD in predicting this response in these patients. A complete endoscopic response (eCR) was determined by the presence of an endoscopic scar (reddish or whitish) without active lesions after NAC (Figure 1A/B). Patients who met this criterion were included in group 1 (G1, n=19). Patients who exhibited active lesions (ulcers) after NAC were included in group 2 (G2, n=10; Figure 2A/B). Secondary objectives of this study were to evaluate whether factors such as gender, age, tumor location, BC, cT, lymph node status, histopathological subtype, degree of differentiation, Herb2 marker status, and time interval between NAC and EGD2 may influence the sensitivity of EGD to predict pCR. FIGURE1Group 1: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located in cardia; B) esophagogastroduodenoscopy post- neoadjuvant chemotherapy showing scar. FIGURE 2Group 2: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located at antrum; B) esophagogastroduodenoscopy post-neoadjuvant chemotherapy showing active lesion The primary objectives of this study were to describe the endoscopic aspects of patients with gastric or GEJ adenocarcinomas submitted to NAC who exhibited pCR, and to determine the accuracy of EGD in predicting this response in these patients. A complete endoscopic response (eCR) was determined by the presence of an endoscopic scar (reddish or whitish) without active lesions after NAC (Figure 1A/B). Patients who met this criterion were included in group 1 (G1, n=19). Patients who exhibited active lesions (ulcers) after NAC were included in group 2 (G2, n=10; Figure 2A/B). Secondary objectives of this study were to evaluate whether factors such as gender, age, tumor location, BC, cT, lymph node status, histopathological subtype, degree of differentiation, Herb2 marker status, and time interval between NAC and EGD2 may influence the sensitivity of EGD to predict pCR. FIGURE1Group 1: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located in cardia; B) esophagogastroduodenoscopy post- neoadjuvant chemotherapy showing scar. FIGURE 2Group 2: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located at antrum; B) esophagogastroduodenoscopy post-neoadjuvant chemotherapy showing active lesion Statistical analysis All statistical analyses were performed using IBM SPSS software version 25. Statistical significance was set as p<0.05. Absolute (n) and relative (%) frequency distributions were evaluated for qualitative variables, and main summary measures (mean, standard deviation, median, minimum, maximum) for quantitative variables. Chi-square and Fisher's exact tests were used to determine the association between qualitative variables and the presence of scarring. The Mann-Whitney non-parametric test was used to associate quantitative variables with the presence of scar. If an association was found between scar and any variable, logistic regression was used to calculate the odds ratio. For evaluation of the scar in relation to pCR, the main diagnostic measures (sensitivity, specificity and accuracy) were calculated. All statistical analyses were performed using IBM SPSS software version 25. Statistical significance was set as p<0.05. Absolute (n) and relative (%) frequency distributions were evaluated for qualitative variables, and main summary measures (mean, standard deviation, median, minimum, maximum) for quantitative variables. Chi-square and Fisher's exact tests were used to determine the association between qualitative variables and the presence of scarring. The Mann-Whitney non-parametric test was used to associate quantitative variables with the presence of scar. If an association was found between scar and any variable, logistic regression was used to calculate the odds ratio. For evaluation of the scar in relation to pCR, the main diagnostic measures (sensitivity, specificity and accuracy) were calculated.
RESULTS
Characteristics of patients and tumors are summarized in Table 1. Although there were more males enrolled than females, genders were distributed similarly across groups (p=0.22). The G1 group compared to G2 group, more patients presented with GC (73.7%, p=0.67) cT 3 (68.4%, p=0.72), and absent lymph node status (68.4%, p=0.59). After EGD, the lesions were classified in equal proportions as BC-II and BC-III (47.4%, p=0.28), more in the gastric body (57.9%, p=0.14) and the histopathological study showed that, the intestinal subtype was present in 42.1% (p: 0.75), undifferentiated degree, 62.5% (p=0.78), Herb + in 73.3% (p=0.68). The time interval between the last NAC cycle and the realization of the reevaluation by EGD was higher in G1 compared to G2. In G1 this average was 24.4 days [minimum: 5 days; maximum: 61 days, standard deviation (SD): 16] and in G2 the mean was 10.2 (minimum: 2, maximum: 5, SD: 10.4), (p: 0.008), odds ratio (OR) 1.12 and [confidence interval (CI): 1.0-1.2]. mean 24.4 days (5- 61), standard deviation (SD): 16] and 10.2 (minimum: 2, maximum: 5, SD: 10.4) respectively (p: 0.008), odds ratio (OR) 1.12 and [confidence interval (CI): 1.0-1.2]. The ideal time calculated for performing EGD after NAC was 8.5 days. At this time, a sensitivity of 93% and specificity was reached: 66% (CI: 0.6-1.0). EGD after NAC showed accuracy in predicting endoscopic complete response (eCR) and sensitivity, G1, in 65.5% of the analyzed cases. All cases underwent surgical treatment with partial gastrectomy, total gastrectomy with or without distal esophagectomy associated with D2 lymphadenectomy, with a finding of pCR in the surgical specimen in an average of 43.8 days in both groups, with the average in G1 being 52, and in G2 39 days after endoscopic control. TABLE 1Characteristics of patients and tumorsVariableG1 G2  n%n%Age (years)58.3-65.1-Gender    Male1473,6880Female526,3220Siewert Classification    II526.3440III1473.7660Localization    Cardia526.3440Body1157.9220Antrum315.7440Grade    Poorly differentiated1052.6770Moderately differentiated526.3220Well differentiated15.200Unknown315.7110Signet ring cell histology    Absent947.3550Present1052.6550cT category    100002315.733031368.46604315.7110cN status    Negative1368.4990Positive631.5110cM category0000Endoscopic findings before chemotherapy    BC-I0000BC-II947.3220BC-III947.3880BC-IV15.200cHerb    Positive210.5330Negative1157.8550Unknown210.5110Histological type    Diffuse736.8440Intestinal842.1220Mixed421220Type of resection    Total gastrectomy1052.6220Subtotal gastrectomy947.3880Lymph node dissection    D10000D1+/D21910010100Endoscopic findings during or after chemotherapy    Scar1910000Lesion0010100cT=clinical stage tumor; cN= clinical stage lymph nodes; cM=clinical stage metastasis; BC= Borrmann classification cT=clinical stage tumor; cN= clinical stage lymph nodes; cM=clinical stage metastasis; BC= Borrmann classification
CONCLUSION
The eCR, determined by the presence of endoscopic scar, reddish or whitish, without active lesions after NAC, was consistent with the pCR. EGD after NAC showed accuracy in predicting eCR and sensitivity in 65.5% of the cases analyzed. The minimum time interval for performing EGD after the end of NAC was 8.5 days. Respecting this interval may increase the possibility of predicting pCR with endoscopic evaluation and supports optimal response prediction
[ "Study design", "Esophagogastroduodenoscopy 1 (EGD1)", "Esophagogastroduodenoscopy 2 (EGD2)", "Objectives and definitions", "Statistical analysis" ]
[ "All EGDs were performed by two senior endoscopists using 150 and 180 videoendoscopies (Olympus Medical System Corporation, Hachioji-shi, Tokyo, Japan).\n Esophagogastroduodenoscopy 1 (EGD1) Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. \nAfter the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). \nPatients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. \nPatients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. \nAfter the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). \nPatients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. \n Esophagogastroduodenoscopy 2 (EGD2) Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. \nThe histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration\n1\n\n\n9\n. \nAll surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network\n1\n. According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses.\nWithin 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. \nThe histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration\n1\n\n\n9\n. \nAll surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network\n1\n. According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses.", "Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. \nAfter the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). \nPatients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. ", "Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. \nThe histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration\n1\n\n\n9\n. \nAll surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network\n1\n. According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses.", "The primary objectives of this study were to describe the endoscopic aspects of patients with gastric or GEJ adenocarcinomas submitted to NAC who exhibited pCR, and to determine the accuracy of EGD in predicting this response in these patients. \nA complete endoscopic response (eCR) was determined by the presence of an endoscopic scar (reddish or whitish) without active lesions after NAC (Figure 1A/B). Patients who met this criterion were included in group 1 (G1, n=19). Patients who exhibited active lesions (ulcers) after NAC were included in group 2 (G2, n=10; Figure 2A/B). \nSecondary objectives of this study were to evaluate whether factors such as gender, age, tumor location, BC, cT, lymph node status, histopathological subtype, degree of differentiation, Herb2 marker status, and time interval between NAC and EGD2 may influence the sensitivity of EGD to predict pCR. \n\nFIGURE1Group 1: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located in cardia; B) esophagogastroduodenoscopy post- neoadjuvant chemotherapy showing scar. \n\n\nFIGURE 2Group 2: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located at antrum; B) esophagogastroduodenoscopy post-neoadjuvant chemotherapy showing active lesion \n", "All statistical analyses were performed using IBM SPSS software version 25. Statistical significance was set as p<0.05. Absolute (n) and relative (%) frequency distributions were evaluated for qualitative variables, and main summary measures (mean, standard deviation, median, minimum, maximum) for quantitative variables. Chi-square and Fisher's exact tests were used to determine the association between qualitative variables and the presence of scarring. The Mann-Whitney non-parametric test was used to associate quantitative variables with the presence of scar. If an association was found between scar and any variable, logistic regression was used to calculate the odds ratio. For evaluation of the scar in relation to pCR, the main diagnostic measures (sensitivity, specificity and accuracy) were calculated." ]
[ null, null, null, null, null ]
[ "INTRODUCTION", "METHODS", "Study design", "Esophagogastroduodenoscopy 1 (EGD1)", "Esophagogastroduodenoscopy 2 (EGD2)", "Objectives and definitions", "Statistical analysis", "RESULTS", "DISCUSSION", "CONCLUSION" ]
[ "Despite a reduction in the incidence of gastric adenocarcinoma (GC) in the last decade, it remains the third most common cause of cancer-related death in the world, with an estimated 783,000 deaths per year\n5\n.The incidence of adenocarcinoma of the esophagogastric junction (GEJ) has increased markedly in Western countries in recent years\n5\n\n,\n\n4\n. Population analyses in the United States have reported an almost 2.5-fold increase in incidence since the 1970s\n14\n. In Brazil, GC is the 5th most common cancer overall (3th among men and 5th among women)\n15\n. For each year from 2020 to 2022 it has been projected that there will be 13,360 new cases in men and 7,870 new cases in women per hundred thousand people\n15\n. For esophageal adenocarcinoma in Brazil, there are expected to be 8,690 new cases in men and 2,700 new cases in women per hundred thousand\n15\n. GC development can be induced by the interactions of multiple genetic and environmental factors in complex ways\n23\n.\nCurrently, the recommended therapeutic approach for locally advanced tumors of the stomach and GEJ is perioperative chemotherapy\n3\n\n,\n\n7\n. Several studies have demonstrated this strategy to yield increased rates of complete resection, downstaging, overall survival, and progression-free survival\n3\n\n,\n\n8\n. It has also been noted that some tumors exhibit better responsiveness than others\n7\n\n,\n\n8\n. Therefore, diagnostic methods that can predict a complete pathological response (pCR) have important clinical implications\n7\n\n,\n\n22\n. Several combined chemotherapy regimens have shown good efficacy for GC and non-resectable GEJ allowing a potential curative gastrectomy\n22\n. Among these regimens, the most used today is the FLOT scheme, composed of fluorouracil, leucovorin, oxaliplatin, and docetaxel\n2\n. In patients with locally advanced lesion above clinical stage tumor (cT) 2 or compromised lymph nodes, neoadjuvant chemotherapy (NAC) can increase the likelihood of curative surgery, with complete tumor response rates around 10% and increased rates of both progression-free and overall survival\n9\n\n,\n\n21\n. In addition, NAC can offer treatment options for patients for whom surgery is risky, such as those with more advanced disease progression\n4\n. The identification of patients with pCR after NAC could, in the future, become a tool to select those who really benefit from adjuvant chemotherapy and perhaps even in the suppression of surgery to patients at high risk for the procedure, becoming a useful tool in the decision multidisciplinary therapy\n4\n. In general, the morbidity rate of radical gastrectomies is around 33.5% and mortality between 0.6% to 4.7%\n1\n\n\n1\n\n,1\n\n6\n. According to a 2015 study the overall survival of stage III/IV patients who underwent NAC and who obtained pCR was similar to those with stage I/II who did not receive NAC\n6\n. Recently published data demonstrated that pathological staging was better than conventional staging at predicting responsiveness to and survival after neoadjuvancy\n7\n. Other studies have also indicated that location in GEJ and TNM are associated with a worse prognosis\n8\n. Preoperative endoscopic evaluation of patients undergoing NAC is recommended in many services, but as of the writing of this paper there has been no published description of endoscopic findings in these patients and the ideal time interval between NAC and surgery remains unclear. \nTherefore, in the present study we investigated the following questions: 1) What are the endoscopic features that support detection of pCR following NAC? 2) What is the diagnostic accuracy and sensitivity of esophagogastroduodenoscopy (EGD) in the assessment of pCR following NAC? and 3) What time interval between NAC and EGD supports optimal response prediction?", "This is a retrospective study in a single center specializing in cancer treatment. The medical records were revised of patients with GC and GEJ type adenocarcinoma who were submitted to gastrectomy after NAC with an anatomopathological result of pCR. \nFrom October 2010 to September 2018, we identified 31 patients aged >18 years who underwent total or subtotal gastrectomy after NAC for the treatment of CG and GEJ and who exhibited pCR. All patients were treated at A.C. Camargo Cancer Center, São Paulo, SP, Brazil. Clinical stages of patients ranged from cT2-cT4. Were excluded two patients that missed the examinations. The study was approved by the ethics and research committee of A.C. Camargo Cancer Center, under number: 2892/20.\n Study design All EGDs were performed by two senior endoscopists using 150 and 180 videoendoscopies (Olympus Medical System Corporation, Hachioji-shi, Tokyo, Japan).\n Esophagogastroduodenoscopy 1 (EGD1) Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. \nAfter the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). \nPatients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. \nPatients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. \nAfter the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). \nPatients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. \n Esophagogastroduodenoscopy 2 (EGD2) Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. \nThe histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration\n1\n\n\n9\n. \nAll surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network\n1\n. According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses.\nWithin 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. \nThe histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration\n1\n\n\n9\n. \nAll surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network\n1\n. According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses.\nAll EGDs were performed by two senior endoscopists using 150 and 180 videoendoscopies (Olympus Medical System Corporation, Hachioji-shi, Tokyo, Japan).\n Esophagogastroduodenoscopy 1 (EGD1) Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. \nAfter the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). \nPatients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. \nPatients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. \nAfter the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). \nPatients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. \n Esophagogastroduodenoscopy 2 (EGD2) Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. \nThe histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration\n1\n\n\n9\n. \nAll surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network\n1\n. According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses.\nWithin 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. \nThe histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration\n1\n\n\n9\n. \nAll surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network\n1\n. According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses.\n Objectives and definitions The primary objectives of this study were to describe the endoscopic aspects of patients with gastric or GEJ adenocarcinomas submitted to NAC who exhibited pCR, and to determine the accuracy of EGD in predicting this response in these patients. \nA complete endoscopic response (eCR) was determined by the presence of an endoscopic scar (reddish or whitish) without active lesions after NAC (Figure 1A/B). Patients who met this criterion were included in group 1 (G1, n=19). Patients who exhibited active lesions (ulcers) after NAC were included in group 2 (G2, n=10; Figure 2A/B). \nSecondary objectives of this study were to evaluate whether factors such as gender, age, tumor location, BC, cT, lymph node status, histopathological subtype, degree of differentiation, Herb2 marker status, and time interval between NAC and EGD2 may influence the sensitivity of EGD to predict pCR. \n\nFIGURE1Group 1: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located in cardia; B) esophagogastroduodenoscopy post- neoadjuvant chemotherapy showing scar. \n\n\nFIGURE 2Group 2: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located at antrum; B) esophagogastroduodenoscopy post-neoadjuvant chemotherapy showing active lesion \n\nThe primary objectives of this study were to describe the endoscopic aspects of patients with gastric or GEJ adenocarcinomas submitted to NAC who exhibited pCR, and to determine the accuracy of EGD in predicting this response in these patients. \nA complete endoscopic response (eCR) was determined by the presence of an endoscopic scar (reddish or whitish) without active lesions after NAC (Figure 1A/B). Patients who met this criterion were included in group 1 (G1, n=19). Patients who exhibited active lesions (ulcers) after NAC were included in group 2 (G2, n=10; Figure 2A/B). \nSecondary objectives of this study were to evaluate whether factors such as gender, age, tumor location, BC, cT, lymph node status, histopathological subtype, degree of differentiation, Herb2 marker status, and time interval between NAC and EGD2 may influence the sensitivity of EGD to predict pCR. \n\nFIGURE1Group 1: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located in cardia; B) esophagogastroduodenoscopy post- neoadjuvant chemotherapy showing scar. \n\n\nFIGURE 2Group 2: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located at antrum; B) esophagogastroduodenoscopy post-neoadjuvant chemotherapy showing active lesion \n\n Statistical analysis All statistical analyses were performed using IBM SPSS software version 25. Statistical significance was set as p<0.05. Absolute (n) and relative (%) frequency distributions were evaluated for qualitative variables, and main summary measures (mean, standard deviation, median, minimum, maximum) for quantitative variables. Chi-square and Fisher's exact tests were used to determine the association between qualitative variables and the presence of scarring. The Mann-Whitney non-parametric test was used to associate quantitative variables with the presence of scar. If an association was found between scar and any variable, logistic regression was used to calculate the odds ratio. For evaluation of the scar in relation to pCR, the main diagnostic measures (sensitivity, specificity and accuracy) were calculated.\nAll statistical analyses were performed using IBM SPSS software version 25. Statistical significance was set as p<0.05. Absolute (n) and relative (%) frequency distributions were evaluated for qualitative variables, and main summary measures (mean, standard deviation, median, minimum, maximum) for quantitative variables. Chi-square and Fisher's exact tests were used to determine the association between qualitative variables and the presence of scarring. The Mann-Whitney non-parametric test was used to associate quantitative variables with the presence of scar. If an association was found between scar and any variable, logistic regression was used to calculate the odds ratio. For evaluation of the scar in relation to pCR, the main diagnostic measures (sensitivity, specificity and accuracy) were calculated.", "All EGDs were performed by two senior endoscopists using 150 and 180 videoendoscopies (Olympus Medical System Corporation, Hachioji-shi, Tokyo, Japan).\n Esophagogastroduodenoscopy 1 (EGD1) Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. \nAfter the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). \nPatients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. \nPatients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. \nAfter the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). \nPatients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. \n Esophagogastroduodenoscopy 2 (EGD2) Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. \nThe histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration\n1\n\n\n9\n. \nAll surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network\n1\n. According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses.\nWithin 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. \nThe histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration\n1\n\n\n9\n. \nAll surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network\n1\n. According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses.", "Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. \nAfter the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). \nPatients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. ", "Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. \nThe histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration\n1\n\n\n9\n. \nAll surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network\n1\n. According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses.", "The primary objectives of this study were to describe the endoscopic aspects of patients with gastric or GEJ adenocarcinomas submitted to NAC who exhibited pCR, and to determine the accuracy of EGD in predicting this response in these patients. \nA complete endoscopic response (eCR) was determined by the presence of an endoscopic scar (reddish or whitish) without active lesions after NAC (Figure 1A/B). Patients who met this criterion were included in group 1 (G1, n=19). Patients who exhibited active lesions (ulcers) after NAC were included in group 2 (G2, n=10; Figure 2A/B). \nSecondary objectives of this study were to evaluate whether factors such as gender, age, tumor location, BC, cT, lymph node status, histopathological subtype, degree of differentiation, Herb2 marker status, and time interval between NAC and EGD2 may influence the sensitivity of EGD to predict pCR. \n\nFIGURE1Group 1: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located in cardia; B) esophagogastroduodenoscopy post- neoadjuvant chemotherapy showing scar. \n\n\nFIGURE 2Group 2: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located at antrum; B) esophagogastroduodenoscopy post-neoadjuvant chemotherapy showing active lesion \n", "All statistical analyses were performed using IBM SPSS software version 25. Statistical significance was set as p<0.05. Absolute (n) and relative (%) frequency distributions were evaluated for qualitative variables, and main summary measures (mean, standard deviation, median, minimum, maximum) for quantitative variables. Chi-square and Fisher's exact tests were used to determine the association between qualitative variables and the presence of scarring. The Mann-Whitney non-parametric test was used to associate quantitative variables with the presence of scar. If an association was found between scar and any variable, logistic regression was used to calculate the odds ratio. For evaluation of the scar in relation to pCR, the main diagnostic measures (sensitivity, specificity and accuracy) were calculated.", "Characteristics of patients and tumors are summarized in Table 1. Although there were more males enrolled than females, genders were distributed similarly across groups (p=0.22).\nThe G1 group compared to G2 group, more patients presented with GC (73.7%, p=0.67) cT 3 (68.4%, p=0.72), and absent lymph node status (68.4%, p=0.59). After EGD, the lesions were classified in equal proportions as BC-II and BC-III (47.4%, p=0.28), more in the gastric body (57.9%, p=0.14) and the histopathological study showed that, the intestinal subtype was present in 42.1% (p: 0.75), undifferentiated degree, 62.5% (p=0.78), Herb + in 73.3% (p=0.68). \nThe time interval between the last NAC cycle and the realization of the reevaluation by EGD was higher in G1 compared to G2. In G1 this average was 24.4 days [minimum: 5 days; maximum: 61 days, standard deviation (SD): 16] and in G2 the mean was 10.2 (minimum: 2, maximum: 5, SD: 10.4), (p: 0.008), odds ratio (OR) 1.12 and [confidence interval (CI): 1.0-1.2]. mean 24.4 days (5- 61), standard deviation (SD): 16] and 10.2 (minimum: 2, maximum: 5, SD: 10.4) respectively (p: 0.008), odds ratio (OR) 1.12 and [confidence interval (CI): 1.0-1.2]. \nThe ideal time calculated for performing EGD after NAC was 8.5 days. At this time, a sensitivity of 93% and specificity was reached: 66% (CI: 0.6-1.0). EGD after NAC showed accuracy in predicting endoscopic complete response (eCR) and sensitivity, G1, in 65.5% of the analyzed cases. All cases underwent surgical treatment with partial gastrectomy, total gastrectomy with or without distal esophagectomy associated with D2 lymphadenectomy, with a finding of pCR in the surgical specimen in an average of 43.8 days in both groups, with the average in G1 being 52, and in G2 39 days after endoscopic control.\n\nTABLE 1Characteristics of patients and tumorsVariableG1 G2  n%n%Age (years)58.3-65.1-Gender    Male1473,6880Female526,3220Siewert Classification    II526.3440III1473.7660Localization    Cardia526.3440Body1157.9220Antrum315.7440Grade    Poorly differentiated1052.6770Moderately differentiated526.3220Well differentiated15.200Unknown315.7110Signet ring cell histology    Absent947.3550Present1052.6550cT category    100002315.733031368.46604315.7110cN status    Negative1368.4990Positive631.5110cM category0000Endoscopic findings before chemotherapy    BC-I0000BC-II947.3220BC-III947.3880BC-IV15.200cHerb    Positive210.5330Negative1157.8550Unknown210.5110Histological type    Diffuse736.8440Intestinal842.1220Mixed421220Type of resection    Total gastrectomy1052.6220Subtotal gastrectomy947.3880Lymph node dissection    D10000D1+/D21910010100Endoscopic findings during or after chemotherapy    Scar1910000Lesion0010100cT=clinical stage tumor; cN= clinical stage lymph nodes; cM=clinical stage metastasis; BC= Borrmann classification\n\ncT=clinical stage tumor; cN= clinical stage lymph nodes; cM=clinical stage metastasis; BC= Borrmann classification", "GC is one of the most common neoplasms in the world, with high rates of incidence and mortality\n20\n. The most common location is the gastric antrum although the incidence of GEJ tumors is gradually increasing\n1\n\n\n3\n. GEJ tumors are very prevalent worldwide and are among the most aggressive tumors of the digestive tract\n5\n. Furthermore, in most western countries they are not diagnosed until the more advanced stages, when isolated surgical treatment is less effective\n6\n. The low rate of early gastric cancer is related to the lack of specific symptoms\n1\n\n\n9\n. Advanced tumors exhibit considerable metastatic potential and generally worse prognosis, indicating a need for combined systemic and local treatments to reduce the risk of tumor recurrence\n12\n. \nComplementary treatments associated to radical surgery are being more frequently indicated and have demonstrated significant efficacy\n2\n\n,\n\n7\n\n,1\n\n9\n.\nFor advanced cancers, the most successful treatments are combined chemotherapy with surgery\n2\n\n,\n\n6\n\n,\n\n20\n. However, there are few tools to restaging patients before the surgical procedure\n10\n. \nThis study describe the pre-operative endoscopic findings of 29 patients with GC and GEJ cancer who were submitted to NAC and who achieved pCR after surgery. Methods for assessing tumor response and metastases after chemotherapy include endoscopic ultrasound, CT, and PET-CT, but these techniques show low accuracy and the possibility of over or under-staging\n17\n\n,\n\n18\n. \nThe study included EGD performed by two independent senior endoscopists, after the neoadjuvant treatment. The exams were performed within 30 days of the end of NAC, and surgery was performed 4-8 weeks after the end of NAC.\nThe EGD was able to predict pCR in 65.5% of cases (G1). In addition, the time interval between the end of NAC and the performance of EGD2 was significantly shorter for the group in which EGD was unable to predict pCR (G2) and for each additional day there was a 12% increase in the probability of predicting pCR. \nThe ideal time calculated to perform EGD was 8.5 days after ending NAC, at which point sensitivity reached 93%. The presence of active lesions in G2 may have been due to inflammatory responses that occur during normal healing of the mucosa. In these cases, EGD performed later may have revealed scarring compatible with that observed in G1.", "The eCR, determined by the presence of endoscopic scar, reddish or whitish, without active lesions after NAC, was consistent with the pCR. EGD after NAC showed accuracy in predicting eCR and sensitivity in 65.5% of the cases analyzed. The minimum time interval for performing EGD after the end of NAC was 8.5 days. Respecting this interval may increase the possibility of predicting pCR with endoscopic evaluation and supports optimal response prediction" ]
[ "intro", "methods", null, null, null, null, null, "results", "discussion", "conclusions" ]
[ "Neoadjuvant therapy", "Stomach neoplasms", "Treatment outcome", "Endoscopy, digestive system", "Neoplasm staging", "Terapia neoadjuvante", "Neoplasias gástricas", "Resultado do tratamento", "Endoscopia do sistema digestório", "Estadiamento de neoplasias" ]
INTRODUCTION: Despite a reduction in the incidence of gastric adenocarcinoma (GC) in the last decade, it remains the third most common cause of cancer-related death in the world, with an estimated 783,000 deaths per year 5 .The incidence of adenocarcinoma of the esophagogastric junction (GEJ) has increased markedly in Western countries in recent years 5 , 4 . Population analyses in the United States have reported an almost 2.5-fold increase in incidence since the 1970s 14 . In Brazil, GC is the 5th most common cancer overall (3th among men and 5th among women) 15 . For each year from 2020 to 2022 it has been projected that there will be 13,360 new cases in men and 7,870 new cases in women per hundred thousand people 15 . For esophageal adenocarcinoma in Brazil, there are expected to be 8,690 new cases in men and 2,700 new cases in women per hundred thousand 15 . GC development can be induced by the interactions of multiple genetic and environmental factors in complex ways 23 . Currently, the recommended therapeutic approach for locally advanced tumors of the stomach and GEJ is perioperative chemotherapy 3 , 7 . Several studies have demonstrated this strategy to yield increased rates of complete resection, downstaging, overall survival, and progression-free survival 3 , 8 . It has also been noted that some tumors exhibit better responsiveness than others 7 , 8 . Therefore, diagnostic methods that can predict a complete pathological response (pCR) have important clinical implications 7 , 22 . Several combined chemotherapy regimens have shown good efficacy for GC and non-resectable GEJ allowing a potential curative gastrectomy 22 . Among these regimens, the most used today is the FLOT scheme, composed of fluorouracil, leucovorin, oxaliplatin, and docetaxel 2 . In patients with locally advanced lesion above clinical stage tumor (cT) 2 or compromised lymph nodes, neoadjuvant chemotherapy (NAC) can increase the likelihood of curative surgery, with complete tumor response rates around 10% and increased rates of both progression-free and overall survival 9 , 21 . In addition, NAC can offer treatment options for patients for whom surgery is risky, such as those with more advanced disease progression 4 . The identification of patients with pCR after NAC could, in the future, become a tool to select those who really benefit from adjuvant chemotherapy and perhaps even in the suppression of surgery to patients at high risk for the procedure, becoming a useful tool in the decision multidisciplinary therapy 4 . In general, the morbidity rate of radical gastrectomies is around 33.5% and mortality between 0.6% to 4.7% 1 1 ,1 6 . According to a 2015 study the overall survival of stage III/IV patients who underwent NAC and who obtained pCR was similar to those with stage I/II who did not receive NAC 6 . Recently published data demonstrated that pathological staging was better than conventional staging at predicting responsiveness to and survival after neoadjuvancy 7 . Other studies have also indicated that location in GEJ and TNM are associated with a worse prognosis 8 . Preoperative endoscopic evaluation of patients undergoing NAC is recommended in many services, but as of the writing of this paper there has been no published description of endoscopic findings in these patients and the ideal time interval between NAC and surgery remains unclear. Therefore, in the present study we investigated the following questions: 1) What are the endoscopic features that support detection of pCR following NAC? 2) What is the diagnostic accuracy and sensitivity of esophagogastroduodenoscopy (EGD) in the assessment of pCR following NAC? and 3) What time interval between NAC and EGD supports optimal response prediction? METHODS: This is a retrospective study in a single center specializing in cancer treatment. The medical records were revised of patients with GC and GEJ type adenocarcinoma who were submitted to gastrectomy after NAC with an anatomopathological result of pCR. From October 2010 to September 2018, we identified 31 patients aged >18 years who underwent total or subtotal gastrectomy after NAC for the treatment of CG and GEJ and who exhibited pCR. All patients were treated at A.C. Camargo Cancer Center, São Paulo, SP, Brazil. Clinical stages of patients ranged from cT2-cT4. Were excluded two patients that missed the examinations. The study was approved by the ethics and research committee of A.C. Camargo Cancer Center, under number: 2892/20. Study design All EGDs were performed by two senior endoscopists using 150 and 180 videoendoscopies (Olympus Medical System Corporation, Hachioji-shi, Tokyo, Japan). Esophagogastroduodenoscopy 1 (EGD1) Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. After the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). Patients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. After the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). Patients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. Esophagogastroduodenoscopy 2 (EGD2) Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. The histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration 1 9 . All surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network 1 . According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses. Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. The histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration 1 9 . All surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network 1 . According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses. All EGDs were performed by two senior endoscopists using 150 and 180 videoendoscopies (Olympus Medical System Corporation, Hachioji-shi, Tokyo, Japan). Esophagogastroduodenoscopy 1 (EGD1) Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. After the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). Patients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. After the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). Patients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. Esophagogastroduodenoscopy 2 (EGD2) Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. The histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration 1 9 . All surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network 1 . According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses. Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. The histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration 1 9 . All surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network 1 . According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses. Objectives and definitions The primary objectives of this study were to describe the endoscopic aspects of patients with gastric or GEJ adenocarcinomas submitted to NAC who exhibited pCR, and to determine the accuracy of EGD in predicting this response in these patients. A complete endoscopic response (eCR) was determined by the presence of an endoscopic scar (reddish or whitish) without active lesions after NAC (Figure 1A/B). Patients who met this criterion were included in group 1 (G1, n=19). Patients who exhibited active lesions (ulcers) after NAC were included in group 2 (G2, n=10; Figure 2A/B). Secondary objectives of this study were to evaluate whether factors such as gender, age, tumor location, BC, cT, lymph node status, histopathological subtype, degree of differentiation, Herb2 marker status, and time interval between NAC and EGD2 may influence the sensitivity of EGD to predict pCR. FIGURE1Group 1: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located in cardia; B) esophagogastroduodenoscopy post- neoadjuvant chemotherapy showing scar. FIGURE 2Group 2: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located at antrum; B) esophagogastroduodenoscopy post-neoadjuvant chemotherapy showing active lesion The primary objectives of this study were to describe the endoscopic aspects of patients with gastric or GEJ adenocarcinomas submitted to NAC who exhibited pCR, and to determine the accuracy of EGD in predicting this response in these patients. A complete endoscopic response (eCR) was determined by the presence of an endoscopic scar (reddish or whitish) without active lesions after NAC (Figure 1A/B). Patients who met this criterion were included in group 1 (G1, n=19). Patients who exhibited active lesions (ulcers) after NAC were included in group 2 (G2, n=10; Figure 2A/B). Secondary objectives of this study were to evaluate whether factors such as gender, age, tumor location, BC, cT, lymph node status, histopathological subtype, degree of differentiation, Herb2 marker status, and time interval between NAC and EGD2 may influence the sensitivity of EGD to predict pCR. FIGURE1Group 1: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located in cardia; B) esophagogastroduodenoscopy post- neoadjuvant chemotherapy showing scar. FIGURE 2Group 2: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located at antrum; B) esophagogastroduodenoscopy post-neoadjuvant chemotherapy showing active lesion Statistical analysis All statistical analyses were performed using IBM SPSS software version 25. Statistical significance was set as p<0.05. Absolute (n) and relative (%) frequency distributions were evaluated for qualitative variables, and main summary measures (mean, standard deviation, median, minimum, maximum) for quantitative variables. Chi-square and Fisher's exact tests were used to determine the association between qualitative variables and the presence of scarring. The Mann-Whitney non-parametric test was used to associate quantitative variables with the presence of scar. If an association was found between scar and any variable, logistic regression was used to calculate the odds ratio. For evaluation of the scar in relation to pCR, the main diagnostic measures (sensitivity, specificity and accuracy) were calculated. All statistical analyses were performed using IBM SPSS software version 25. Statistical significance was set as p<0.05. Absolute (n) and relative (%) frequency distributions were evaluated for qualitative variables, and main summary measures (mean, standard deviation, median, minimum, maximum) for quantitative variables. Chi-square and Fisher's exact tests were used to determine the association between qualitative variables and the presence of scarring. The Mann-Whitney non-parametric test was used to associate quantitative variables with the presence of scar. If an association was found between scar and any variable, logistic regression was used to calculate the odds ratio. For evaluation of the scar in relation to pCR, the main diagnostic measures (sensitivity, specificity and accuracy) were calculated. Study design: All EGDs were performed by two senior endoscopists using 150 and 180 videoendoscopies (Olympus Medical System Corporation, Hachioji-shi, Tokyo, Japan). Esophagogastroduodenoscopy 1 (EGD1) Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. After the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). Patients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. After the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). Patients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. Esophagogastroduodenoscopy 2 (EGD2) Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. The histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration 1 9 . All surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network 1 . According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses. Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. The histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration 1 9 . All surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network 1 . According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses. Esophagogastroduodenoscopy 1 (EGD1): Patients underwent EGD with biopsy and anatomopathological studies that confirmed GC or GEJ adenocarcinomas. At this time the macroscopic aspect of the lesion was classified according to Borrmann classification (BC) as: BC-I, well-defined polypoid or vegetating lesion; BC-II, ulcerated lesion, well-delimited with clear edges; BC-III, ulcerated lesion, infiltrative in part or all of its borders; BC-IV, diffusely infiltrative lesion, with no limit between the tumor and the normal mucosa. After the histopathological diagnosis patients were staged using a computed tomography (CT) scan of the chest, abdomen, and/or pelvis and fluoro-2-deoxyglucose positron emission tomography/computed tomography (FDG-PET/CT). Patients underwent NAC with a scheme based on fluoracil and platinum, with either 8 or 12 cycles, half of the sessions being performed before surgery and the remainder in the postoperative period. Esophagogastroduodenoscopy 2 (EGD2): Within 30 days of the end of preoperative NAC, all patients again underwent EGD and were reclassified according to the macroscopic aspect of the lesion. After NAC, patients underwent partial or total gastrectomy with D2 lymphadenectomy and surgical specimens were processed according to standard procedures. The histopathological studies of surgical specimens were performed using the World Health Organization's classification scheme for neoplasms of the digestive system as well as Lauren's classification, with the following characteristics recorded: subtype, Lauren type, depth of invasion in the wall, lymph node status, vascular and neural infiltration 1 9 . All surgical specimens were analyzed by two independent pathologists using the tumor regression score as recommended by the National Comprehensive Cancer Network 1 . According to this scale, a score of zero indicates complete response and comprises no viable cancer cells, including in lymph nodes. All of the 29 patients included in this study showed scores of zero and complete anatomopathological responses. Objectives and definitions: The primary objectives of this study were to describe the endoscopic aspects of patients with gastric or GEJ adenocarcinomas submitted to NAC who exhibited pCR, and to determine the accuracy of EGD in predicting this response in these patients. A complete endoscopic response (eCR) was determined by the presence of an endoscopic scar (reddish or whitish) without active lesions after NAC (Figure 1A/B). Patients who met this criterion were included in group 1 (G1, n=19). Patients who exhibited active lesions (ulcers) after NAC were included in group 2 (G2, n=10; Figure 2A/B). Secondary objectives of this study were to evaluate whether factors such as gender, age, tumor location, BC, cT, lymph node status, histopathological subtype, degree of differentiation, Herb2 marker status, and time interval between NAC and EGD2 may influence the sensitivity of EGD to predict pCR. FIGURE1Group 1: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located in cardia; B) esophagogastroduodenoscopy post- neoadjuvant chemotherapy showing scar. FIGURE 2Group 2: A) Esophagogastroduodenoscopy pre-neoadjuvant chemotherapy showing Borrmann classification-III ulcerated lesion located at antrum; B) esophagogastroduodenoscopy post-neoadjuvant chemotherapy showing active lesion Statistical analysis: All statistical analyses were performed using IBM SPSS software version 25. Statistical significance was set as p<0.05. Absolute (n) and relative (%) frequency distributions were evaluated for qualitative variables, and main summary measures (mean, standard deviation, median, minimum, maximum) for quantitative variables. Chi-square and Fisher's exact tests were used to determine the association between qualitative variables and the presence of scarring. The Mann-Whitney non-parametric test was used to associate quantitative variables with the presence of scar. If an association was found between scar and any variable, logistic regression was used to calculate the odds ratio. For evaluation of the scar in relation to pCR, the main diagnostic measures (sensitivity, specificity and accuracy) were calculated. RESULTS: Characteristics of patients and tumors are summarized in Table 1. Although there were more males enrolled than females, genders were distributed similarly across groups (p=0.22). The G1 group compared to G2 group, more patients presented with GC (73.7%, p=0.67) cT 3 (68.4%, p=0.72), and absent lymph node status (68.4%, p=0.59). After EGD, the lesions were classified in equal proportions as BC-II and BC-III (47.4%, p=0.28), more in the gastric body (57.9%, p=0.14) and the histopathological study showed that, the intestinal subtype was present in 42.1% (p: 0.75), undifferentiated degree, 62.5% (p=0.78), Herb + in 73.3% (p=0.68). The time interval between the last NAC cycle and the realization of the reevaluation by EGD was higher in G1 compared to G2. In G1 this average was 24.4 days [minimum: 5 days; maximum: 61 days, standard deviation (SD): 16] and in G2 the mean was 10.2 (minimum: 2, maximum: 5, SD: 10.4), (p: 0.008), odds ratio (OR) 1.12 and [confidence interval (CI): 1.0-1.2]. mean 24.4 days (5- 61), standard deviation (SD): 16] and 10.2 (minimum: 2, maximum: 5, SD: 10.4) respectively (p: 0.008), odds ratio (OR) 1.12 and [confidence interval (CI): 1.0-1.2]. The ideal time calculated for performing EGD after NAC was 8.5 days. At this time, a sensitivity of 93% and specificity was reached: 66% (CI: 0.6-1.0). EGD after NAC showed accuracy in predicting endoscopic complete response (eCR) and sensitivity, G1, in 65.5% of the analyzed cases. All cases underwent surgical treatment with partial gastrectomy, total gastrectomy with or without distal esophagectomy associated with D2 lymphadenectomy, with a finding of pCR in the surgical specimen in an average of 43.8 days in both groups, with the average in G1 being 52, and in G2 39 days after endoscopic control. TABLE 1Characteristics of patients and tumorsVariableG1 G2  n%n%Age (years)58.3-65.1-Gender    Male1473,6880Female526,3220Siewert Classification    II526.3440III1473.7660Localization    Cardia526.3440Body1157.9220Antrum315.7440Grade    Poorly differentiated1052.6770Moderately differentiated526.3220Well differentiated15.200Unknown315.7110Signet ring cell histology    Absent947.3550Present1052.6550cT category    100002315.733031368.46604315.7110cN status    Negative1368.4990Positive631.5110cM category0000Endoscopic findings before chemotherapy    BC-I0000BC-II947.3220BC-III947.3880BC-IV15.200cHerb    Positive210.5330Negative1157.8550Unknown210.5110Histological type    Diffuse736.8440Intestinal842.1220Mixed421220Type of resection    Total gastrectomy1052.6220Subtotal gastrectomy947.3880Lymph node dissection    D10000D1+/D21910010100Endoscopic findings during or after chemotherapy    Scar1910000Lesion0010100cT=clinical stage tumor; cN= clinical stage lymph nodes; cM=clinical stage metastasis; BC= Borrmann classification cT=clinical stage tumor; cN= clinical stage lymph nodes; cM=clinical stage metastasis; BC= Borrmann classification DISCUSSION: GC is one of the most common neoplasms in the world, with high rates of incidence and mortality 20 . The most common location is the gastric antrum although the incidence of GEJ tumors is gradually increasing 1 3 . GEJ tumors are very prevalent worldwide and are among the most aggressive tumors of the digestive tract 5 . Furthermore, in most western countries they are not diagnosed until the more advanced stages, when isolated surgical treatment is less effective 6 . The low rate of early gastric cancer is related to the lack of specific symptoms 1 9 . Advanced tumors exhibit considerable metastatic potential and generally worse prognosis, indicating a need for combined systemic and local treatments to reduce the risk of tumor recurrence 12 . Complementary treatments associated to radical surgery are being more frequently indicated and have demonstrated significant efficacy 2 , 7 ,1 9 . For advanced cancers, the most successful treatments are combined chemotherapy with surgery 2 , 6 , 20 . However, there are few tools to restaging patients before the surgical procedure 10 . This study describe the pre-operative endoscopic findings of 29 patients with GC and GEJ cancer who were submitted to NAC and who achieved pCR after surgery. Methods for assessing tumor response and metastases after chemotherapy include endoscopic ultrasound, CT, and PET-CT, but these techniques show low accuracy and the possibility of over or under-staging 17 , 18 . The study included EGD performed by two independent senior endoscopists, after the neoadjuvant treatment. The exams were performed within 30 days of the end of NAC, and surgery was performed 4-8 weeks after the end of NAC. The EGD was able to predict pCR in 65.5% of cases (G1). In addition, the time interval between the end of NAC and the performance of EGD2 was significantly shorter for the group in which EGD was unable to predict pCR (G2) and for each additional day there was a 12% increase in the probability of predicting pCR. The ideal time calculated to perform EGD was 8.5 days after ending NAC, at which point sensitivity reached 93%. The presence of active lesions in G2 may have been due to inflammatory responses that occur during normal healing of the mucosa. In these cases, EGD performed later may have revealed scarring compatible with that observed in G1. CONCLUSION: The eCR, determined by the presence of endoscopic scar, reddish or whitish, without active lesions after NAC, was consistent with the pCR. EGD after NAC showed accuracy in predicting eCR and sensitivity in 65.5% of the cases analyzed. The minimum time interval for performing EGD after the end of NAC was 8.5 days. Respecting this interval may increase the possibility of predicting pCR with endoscopic evaluation and supports optimal response prediction
Background: Gastric and esophagogastric junction adenocarcinoma are responsible for approximately 13.5% of cancer-related deaths. Given the fact that these tumors are not typically detected until they are already in the advanced stages, neoadjuvancy plays a fundamental role in improving long-term survival. Identification of those with complete pathological response (pCR) after neoadjuvant chemotherapy (NAC) is a major challenge, with effects on organ preservation, extent of resection, and additional surgery. There is little or no information in the literature about which endoscopic signs should be evaluated after NAC, or even when such re-evaluation should occur. Methods: A survey was conducted of the medical records of patients with these tumors who were submitted to gastrectomy after NAC, with anatomopathological result of pCR. Results: Twenty-nine patients were identified who achieved pCR after NAC within the study period. Endoscopic responses were used to classify patients into two groups: G1-endoscopic findings consistent with pCR and G2-endoscopic findings not consistent with pCR. Endoscopic evaluation in G1 was present in an equal percentage (47.4%; p=0.28) in Borrmann classification II and III. In this group, the predominance was in the gastric body (57.9%; p=0.14), intestinal subtype with 42.1% (p=0.75), undifferentiated degree, 62.5% (p=0.78), Herb+ in 73.3% (p=0.68). The most significant finding, however, was that the time interval between NAC and EGD was longer for G1 than G2 (24.4 vs. 10.2 days, p=0.008). Conclusions: EGD after NAC seems to be a useful tool for predicting pCR, and it may be possible to use it to create a reliable response classification. In addition, the time interval between NAC and EGD appears to significantly influence the predictive power of endoscopy for pCR.
INTRODUCTION: Despite a reduction in the incidence of gastric adenocarcinoma (GC) in the last decade, it remains the third most common cause of cancer-related death in the world, with an estimated 783,000 deaths per year 5 .The incidence of adenocarcinoma of the esophagogastric junction (GEJ) has increased markedly in Western countries in recent years 5 , 4 . Population analyses in the United States have reported an almost 2.5-fold increase in incidence since the 1970s 14 . In Brazil, GC is the 5th most common cancer overall (3th among men and 5th among women) 15 . For each year from 2020 to 2022 it has been projected that there will be 13,360 new cases in men and 7,870 new cases in women per hundred thousand people 15 . For esophageal adenocarcinoma in Brazil, there are expected to be 8,690 new cases in men and 2,700 new cases in women per hundred thousand 15 . GC development can be induced by the interactions of multiple genetic and environmental factors in complex ways 23 . Currently, the recommended therapeutic approach for locally advanced tumors of the stomach and GEJ is perioperative chemotherapy 3 , 7 . Several studies have demonstrated this strategy to yield increased rates of complete resection, downstaging, overall survival, and progression-free survival 3 , 8 . It has also been noted that some tumors exhibit better responsiveness than others 7 , 8 . Therefore, diagnostic methods that can predict a complete pathological response (pCR) have important clinical implications 7 , 22 . Several combined chemotherapy regimens have shown good efficacy for GC and non-resectable GEJ allowing a potential curative gastrectomy 22 . Among these regimens, the most used today is the FLOT scheme, composed of fluorouracil, leucovorin, oxaliplatin, and docetaxel 2 . In patients with locally advanced lesion above clinical stage tumor (cT) 2 or compromised lymph nodes, neoadjuvant chemotherapy (NAC) can increase the likelihood of curative surgery, with complete tumor response rates around 10% and increased rates of both progression-free and overall survival 9 , 21 . In addition, NAC can offer treatment options for patients for whom surgery is risky, such as those with more advanced disease progression 4 . The identification of patients with pCR after NAC could, in the future, become a tool to select those who really benefit from adjuvant chemotherapy and perhaps even in the suppression of surgery to patients at high risk for the procedure, becoming a useful tool in the decision multidisciplinary therapy 4 . In general, the morbidity rate of radical gastrectomies is around 33.5% and mortality between 0.6% to 4.7% 1 1 ,1 6 . According to a 2015 study the overall survival of stage III/IV patients who underwent NAC and who obtained pCR was similar to those with stage I/II who did not receive NAC 6 . Recently published data demonstrated that pathological staging was better than conventional staging at predicting responsiveness to and survival after neoadjuvancy 7 . Other studies have also indicated that location in GEJ and TNM are associated with a worse prognosis 8 . Preoperative endoscopic evaluation of patients undergoing NAC is recommended in many services, but as of the writing of this paper there has been no published description of endoscopic findings in these patients and the ideal time interval between NAC and surgery remains unclear. Therefore, in the present study we investigated the following questions: 1) What are the endoscopic features that support detection of pCR following NAC? 2) What is the diagnostic accuracy and sensitivity of esophagogastroduodenoscopy (EGD) in the assessment of pCR following NAC? and 3) What time interval between NAC and EGD supports optimal response prediction? CONCLUSION: The eCR, determined by the presence of endoscopic scar, reddish or whitish, without active lesions after NAC, was consistent with the pCR. EGD after NAC showed accuracy in predicting eCR and sensitivity in 65.5% of the cases analyzed. The minimum time interval for performing EGD after the end of NAC was 8.5 days. Respecting this interval may increase the possibility of predicting pCR with endoscopic evaluation and supports optimal response prediction
Background: Gastric and esophagogastric junction adenocarcinoma are responsible for approximately 13.5% of cancer-related deaths. Given the fact that these tumors are not typically detected until they are already in the advanced stages, neoadjuvancy plays a fundamental role in improving long-term survival. Identification of those with complete pathological response (pCR) after neoadjuvant chemotherapy (NAC) is a major challenge, with effects on organ preservation, extent of resection, and additional surgery. There is little or no information in the literature about which endoscopic signs should be evaluated after NAC, or even when such re-evaluation should occur. Methods: A survey was conducted of the medical records of patients with these tumors who were submitted to gastrectomy after NAC, with anatomopathological result of pCR. Results: Twenty-nine patients were identified who achieved pCR after NAC within the study period. Endoscopic responses were used to classify patients into two groups: G1-endoscopic findings consistent with pCR and G2-endoscopic findings not consistent with pCR. Endoscopic evaluation in G1 was present in an equal percentage (47.4%; p=0.28) in Borrmann classification II and III. In this group, the predominance was in the gastric body (57.9%; p=0.14), intestinal subtype with 42.1% (p=0.75), undifferentiated degree, 62.5% (p=0.78), Herb+ in 73.3% (p=0.68). The most significant finding, however, was that the time interval between NAC and EGD was longer for G1 than G2 (24.4 vs. 10.2 days, p=0.008). Conclusions: EGD after NAC seems to be a useful tool for predicting pCR, and it may be possible to use it to create a reliable response classification. In addition, the time interval between NAC and EGD appears to significantly influence the predictive power of endoscopy for pCR.
5,762
346
[ 752, 174, 180, 238, 144 ]
10
[ "patients", "nac", "lesion", "bc", "egd", "underwent", "classification", "according", "patients underwent", "surgical" ]
[ "incidence gastric adenocarcinoma", "gej type adenocarcinoma", "gastric adenocarcinoma gc", "adenocarcinoma esophagogastric junction", "esophageal adenocarcinoma brazil" ]
[CONTENT] Neoadjuvant therapy | Stomach neoplasms | Treatment outcome | Endoscopy, digestive system | Neoplasm staging | Terapia neoadjuvante | Neoplasias gástricas | Resultado do tratamento | Endoscopia do sistema digestório | Estadiamento de neoplasias [SUMMARY]
[CONTENT] Neoadjuvant therapy | Stomach neoplasms | Treatment outcome | Endoscopy, digestive system | Neoplasm staging | Terapia neoadjuvante | Neoplasias gástricas | Resultado do tratamento | Endoscopia do sistema digestório | Estadiamento de neoplasias [SUMMARY]
[CONTENT] Neoadjuvant therapy | Stomach neoplasms | Treatment outcome | Endoscopy, digestive system | Neoplasm staging | Terapia neoadjuvante | Neoplasias gástricas | Resultado do tratamento | Endoscopia do sistema digestório | Estadiamento de neoplasias [SUMMARY]
[CONTENT] Neoadjuvant therapy | Stomach neoplasms | Treatment outcome | Endoscopy, digestive system | Neoplasm staging | Terapia neoadjuvante | Neoplasias gástricas | Resultado do tratamento | Endoscopia do sistema digestório | Estadiamento de neoplasias [SUMMARY]
[CONTENT] Neoadjuvant therapy | Stomach neoplasms | Treatment outcome | Endoscopy, digestive system | Neoplasm staging | Terapia neoadjuvante | Neoplasias gástricas | Resultado do tratamento | Endoscopia do sistema digestório | Estadiamento de neoplasias [SUMMARY]
[CONTENT] Neoadjuvant therapy | Stomach neoplasms | Treatment outcome | Endoscopy, digestive system | Neoplasm staging | Terapia neoadjuvante | Neoplasias gástricas | Resultado do tratamento | Endoscopia do sistema digestório | Estadiamento de neoplasias [SUMMARY]
[CONTENT] Adenocarcinoma | Antineoplastic Combined Chemotherapy Protocols | Endoscopy | Esophagogastric Junction | Humans | Neoadjuvant Therapy | Neoplasm Staging | Stomach Neoplasms | Treatment Outcome [SUMMARY]
[CONTENT] Adenocarcinoma | Antineoplastic Combined Chemotherapy Protocols | Endoscopy | Esophagogastric Junction | Humans | Neoadjuvant Therapy | Neoplasm Staging | Stomach Neoplasms | Treatment Outcome [SUMMARY]
[CONTENT] Adenocarcinoma | Antineoplastic Combined Chemotherapy Protocols | Endoscopy | Esophagogastric Junction | Humans | Neoadjuvant Therapy | Neoplasm Staging | Stomach Neoplasms | Treatment Outcome [SUMMARY]
[CONTENT] Adenocarcinoma | Antineoplastic Combined Chemotherapy Protocols | Endoscopy | Esophagogastric Junction | Humans | Neoadjuvant Therapy | Neoplasm Staging | Stomach Neoplasms | Treatment Outcome [SUMMARY]
[CONTENT] Adenocarcinoma | Antineoplastic Combined Chemotherapy Protocols | Endoscopy | Esophagogastric Junction | Humans | Neoadjuvant Therapy | Neoplasm Staging | Stomach Neoplasms | Treatment Outcome [SUMMARY]
[CONTENT] Adenocarcinoma | Antineoplastic Combined Chemotherapy Protocols | Endoscopy | Esophagogastric Junction | Humans | Neoadjuvant Therapy | Neoplasm Staging | Stomach Neoplasms | Treatment Outcome [SUMMARY]
[CONTENT] incidence gastric adenocarcinoma | gej type adenocarcinoma | gastric adenocarcinoma gc | adenocarcinoma esophagogastric junction | esophageal adenocarcinoma brazil [SUMMARY]
[CONTENT] incidence gastric adenocarcinoma | gej type adenocarcinoma | gastric adenocarcinoma gc | adenocarcinoma esophagogastric junction | esophageal adenocarcinoma brazil [SUMMARY]
[CONTENT] incidence gastric adenocarcinoma | gej type adenocarcinoma | gastric adenocarcinoma gc | adenocarcinoma esophagogastric junction | esophageal adenocarcinoma brazil [SUMMARY]
[CONTENT] incidence gastric adenocarcinoma | gej type adenocarcinoma | gastric adenocarcinoma gc | adenocarcinoma esophagogastric junction | esophageal adenocarcinoma brazil [SUMMARY]
[CONTENT] incidence gastric adenocarcinoma | gej type adenocarcinoma | gastric adenocarcinoma gc | adenocarcinoma esophagogastric junction | esophageal adenocarcinoma brazil [SUMMARY]
[CONTENT] incidence gastric adenocarcinoma | gej type adenocarcinoma | gastric adenocarcinoma gc | adenocarcinoma esophagogastric junction | esophageal adenocarcinoma brazil [SUMMARY]
[CONTENT] patients | nac | lesion | bc | egd | underwent | classification | according | patients underwent | surgical [SUMMARY]
[CONTENT] patients | nac | lesion | bc | egd | underwent | classification | according | patients underwent | surgical [SUMMARY]
[CONTENT] patients | nac | lesion | bc | egd | underwent | classification | according | patients underwent | surgical [SUMMARY]
[CONTENT] patients | nac | lesion | bc | egd | underwent | classification | according | patients underwent | surgical [SUMMARY]
[CONTENT] patients | nac | lesion | bc | egd | underwent | classification | according | patients underwent | surgical [SUMMARY]
[CONTENT] patients | nac | lesion | bc | egd | underwent | classification | according | patients underwent | surgical [SUMMARY]
[CONTENT] survival | nac | new cases | overall | new | patients | men | 15 | progression | women [SUMMARY]
[CONTENT] patients | lesion | bc | according | patients underwent | underwent | surgical specimens | specimens | tomography | nac [SUMMARY]
[CONTENT] stage | clinical stage | clinical | sd | days | g1 | g2 | 68 | average | ci [SUMMARY]
[CONTENT] ecr | nac | interval | predicting | endoscopic | nac consistent | nac consistent pcr | nac consistent pcr egd | predicting ecr | nac days respecting interval [SUMMARY]
[CONTENT] patients | lesion | nac | bc | egd | patients underwent | according | underwent | classification | pcr [SUMMARY]
[CONTENT] patients | lesion | nac | bc | egd | patients underwent | according | underwent | classification | pcr [SUMMARY]
[CONTENT] Gastric | approximately 13.5% ||| ||| NAC ||| NAC [SUMMARY]
[CONTENT] NAC [SUMMARY]
[CONTENT] Twenty-nine | NAC ||| two | G1 | G2 ||| G1 | 47.4% | Borrmann ||| 57.9% | 42.1% | 62.5% | p=0.78 | 73.3% ||| NAC | EGD | G1 | 24.4 | 10.2 days [SUMMARY]
[CONTENT] EGD | NAC ||| NAC | EGD [SUMMARY]
[CONTENT] approximately 13.5% ||| ||| NAC ||| NAC ||| NAC ||| Twenty-nine | NAC ||| two | G1 | G2 ||| G1 | 47.4% | Borrmann ||| 57.9% | 42.1% | 62.5% | p=0.78 | 73.3% ||| NAC | EGD | G1 | 24.4 | 10.2 days ||| EGD | NAC ||| NAC | EGD [SUMMARY]
[CONTENT] approximately 13.5% ||| ||| NAC ||| NAC ||| NAC ||| Twenty-nine | NAC ||| two | G1 | G2 ||| G1 | 47.4% | Borrmann ||| 57.9% | 42.1% | 62.5% | p=0.78 | 73.3% ||| NAC | EGD | G1 | 24.4 | 10.2 days ||| EGD | NAC ||| NAC | EGD [SUMMARY]
Transforming growth factor beta-1 upregulates glucose transporter 1 and glycolysis through canonical and noncanonical pathways in hepatic stellate cells.
34790014
Hepatic stellate cells (HSCs) are the key effector cells mediating the occurrence and development of liver fibrosis, while aerobic glycolysis is an important metabolic characteristic of HSC activation. Transforming growth factor-β1 (TGF-β1) induces aerobic glycolysis and is a driving factor for metabolic reprogramming. The occurrence of glycolysis depends on a high glucose uptake level. Glucose transporter 1 (GLUT1) is the most widely distributed glucose transporter in the body and mainly participates in the regulation of carbohydrate metabolism, thus affecting cell proliferation and growth. However, little is known about the relationship between TGF-β1 and GLUT1 in the process of liver fibrosis and the molecular mechanism underlying the promotion of aerobic glycolysis in HSCs.
BACKGROUND
Immunohistochemical staining and immunofluorescence assays were used to examine GLUT1 expression in fibrotic liver tissue. A Seahorse extracellular flux (XF) analyzer was used to examine changes in aerobic glycolytic flux, lactate production levels and glucose consumption levels in HSCs upon TGF-β1 stimulation. The mechanism by which TGF-β1 induces GLUT1 protein expression in HSCs was further explored by inhibiting/promoting the TGF-β1/mothers-against-decapentaplegic-homolog 2/3 (Smad2/3) signaling pathway and inhibiting the p38 and phosphoinositide 3-kinase (PI3K)/AKT signaling pathways. In addition, GLUT1 expression was silenced to observe changes in the growth and proliferation of HSCs. Finally, a GLUT1 inhibitor was used to verify the in vivo effects of GLUT1 on a mouse model of liver fibrosis.
METHODS
GLUT1 protein expression was increased in both mouse and human fibrotic liver tissues. In addition, immunofluorescence staining revealed colocalization of GLUT1 and alpha-smooth muscle actin proteins, indicating that GLUT1 expression was related to the development of liver fibrosis. TGF-β1 caused an increase in aerobic glycolysis in HSCs and induced GLUT1 expression in HSCs by activating the Smad, p38 MAPK and P13K/AKT signaling pathways. The p38 MAPK and Smad pathways synergistically affected the induction of GLUT1 expression. GLUT1 inhibition eliminated the effect of TGF-β1 on HSC proliferation and migration. A GLUT1 inhibitor was administered in a mouse model of liver fibrosis, and GLUT1 inhibition reduced the degree of liver inflammation and liver fibrosis.
RESULTS
TGF-β1 induces GLUT1 expression in HSCs, a process related to liver fibrosis progression. In vitro experiments revealed that TGF-β1-induced GLUT1 expression might be one of the mechanisms mediating the metabolic reprogramming of HSCs. In addition, in vivo experiments also indicated that the GLUT1 protein promotes the occurrence and development of liver fibrosis.
CONCLUSION
[ "Animals", "Glucose Transporter Type 1", "Glycolysis", "Hepatic Stellate Cells", "Liver Cirrhosis", "Mice", "Phosphatidylinositol 3-Kinases", "Smad Proteins", "Transforming Growth Factor beta1" ]
8567474
INTRODUCTION
Liver fibrosis is the inevitable result of chronic liver inflammation caused by various etiologies. With progressive destruction of liver parenchymal cells, liver fibrosis eventually develops into liver cirrhosis and even liver cancer[1,2]. Although liver cirrhosis and liver cancer are irreversible, liver fibrosis can be reversed. Therefore, the mechanism of and clinical studies on liver fibrosis have always been the focus of liver disease research. The main pathological feature of liver fibrosis is the excessive deposition of extracellular matrix (ECM), while the key initiating factors are activation of quiescent hepatic stellate cells (HSCs) and transformation of their phenotypes and functions[3]. The transforming growth factor-β1 (TGF-β1) pathway is the key fibrogenic pathway that drives HSC activation and induces ECM production. HSC activation requires metabolic reprogramming and a continuous energy supply[4,5]. Aerobic glycolysis is an important metabolic characteristic of the transdifferentiation of quiescent stellate cells, a process similar to the Warburg effect in tumor cells, and the core metabolic changes include a transition from oxidative phosphorylation to aerobic glycolysis[6]. Dysregulated glycolysis has been implicated in experimental models of lung and liver fibrosis, and inhibition of glycolysis reduces ECM accumulation[7]. In view of the mechanisms involved, targeting and inhibiting the metabolic reprogramming of activated HSCs during liver fibrosis may be a promising anti-liver fibrosis strategy. TGF-β1 is a multifunctional cytokine and a major profibrotic cytokine that regulates cell differentiation, cell proliferation and ECM production and directly regulates multiple cellular signal transduction networks[8]. In the canonical TGF-β1/mothers-against-decapentaplegic-homolog 2/3 (Smad2/3) pathway, ligands induce the assembly of the TGF-β1 receptor I (TβRI)/TGF-β1 receptor II (TβRII) heterocomplex, which targets Smad4 via Smad2 and Smad3 proteins to form the Smad complex, leading to phosphorylation and nuclear translocation of Smad2/3; this R-Smad/Co-Smad4 complex translocates to the nucleus where it binds to DNA either directly or in association with other DNA-binding proteins[9-11]. Phosphorylated Smad2/3 binds to specific Smad binding elements (SBEs) in gene promoter regions to activate/suppress the expression of target genes[12,13]. In addition to Smads, TGF-β1 also triggers other protein-mediated signaling pathways, e.g., p38, mitogen-activated protein kinases (MAPKs) and phosphoinositide 3-kinase (PI3K). Some functions of TGF-β1 have been studied in depth, such as the mediation of cell differentiation and proliferation. However, TGF-β1 has recently been reported to induce aerobic glycolysis and is considered a driving factor in metabolic reprogramming[14]. TGF-β is also a strong activator of glycolysis in mesenchymal cells[15]. Extracellular accumulation of lactic acid induces epithelial-mesenchymal transition (EMT) by directly reconstituting the ECM and releasing activated TGF-β1. EMT induced by TGF-β in hepatocellular carcinoma cells reprograms lipid metabolism to sustain the elevated energy requirements associated with this process[16]. Research on the mechanism of idiopathic pulmonary fibrosis has shown that TGF-β1-induced aerobic glycolysis causes lactic acid accumulation and changes the cellular microenvironment, thereby activating latent TGF-β1 in the ECM and eventually forming a positive feedback loop to promote the effects of TGF-β1[17]. Glucose transporter 1 (GLUT1) is a member of the GLUT transporter family, the most conserved and most widely distributed glucose transporter in mammals and the main transporter regulating glucose uptake[18]. An increasing number of studies have found that GLUT1 plays an important role in accelerated metabolism. Research on the mechanism of neurodegenerative diseases has revealed that GLUT1 controls the activation of microglia by promoting aerobic glycolysis[19]. GLUT1 enhances the stimulating effect of TGF-β1 on mesangial cells, breast cancer cells and pancreatic cancer cells. As glucose uptake increases during TGF-β1-induced EMT of breast cancer cells, GLUT1 expression also increases and is correlated with EMT markers (including E-cadherin and vimentin). GLUT1 is the key mediator of the aerobic glycolysis phenotype in ovarian cancer and is required to maintain a high level of basic aerobic glycolysis. In models of bleomycin-induced pulmonary fibrosis, GLUT1-dependent aerobic glycolysis has been reported to be essential for pulmonary parenchymal fibrosis[20-23]. Certain signaling molecules (such as cAMP, p53, PI3K and AKT) reduce alpha-smooth muscle actin (α-SMA) protein expression in primary mouse fibroblasts by inhibiting GLUT1 expression. Exosomes secreted by activated HSCs affect the metabolic switch of liver nonparenchymal cells through delivery of the glycolysis-related proteins GLUT1 and PKM2; GLUT1 is involved in metabolic reprogramming of HSCs[24]. TGF-β1 and GLUT1 play important regulatory roles in metabolic reprogramming. To date, however, researchers have not explored whether the increases in TGF-β1 and GLUT1 Levels during HSC activation are related. Therefore, this study investigated the effect of the TGF-β1 signaling pathway on the regulation of GLUT1 and aerobic glycolysis. We hypothesized that TGF-β1 drives HSC activation and aerobic glycolysis by inducing GLUT1 expression, thereby promoting liver fibrosis progression. As shown in the present study, GLUT1 expression was significantly increased in mouse and human fibrotic liver tissue samples. Further in vitro experiments showed that the aerobic glycolysis capacity of HSCs was enhanced and GLUT1 expression increased with increasing TGF-β1 Levels. Inhibition/ promotion of the Smad2/3 signaling pathway and inhibition of the p38 and PI3K/AKT signaling pathways confirmed that TGF-β1 induced GLUT1 expression by targeting the pSmad2/3, p38 and PI3K/AKT pathways, thus promoting HSC activation. Finally, administration of a specific GLUT1 inhibitor in a mouse model of liver fibrosis resulted in a significant reduction in liver fibrosis. Based on these findings, the TGF-β1 signaling pathway enhances aerobic glycolysis by promoting GLUT1 expression, thereby promoting the development of liver fibrosis.
MATERIALS AND METHODS
Reagents and antibodies The TGF-β1 antibody was purchased from R&D Systems (Minneapolis, MN, United States); antibodies against GLUT1, p-Smad2/3, Smad2/3, p-P38, p-AKT and desmin were purchased from Abcam (Cambridge, MA, United States), and the tubulin antibody was purchased from Research Diagnostics (Flanders, NJ, United States). The anti-α-SMA antibody, carbon tetrachloride (CCl4), corn oil, OptiPrep and other chemicals and reagents were purchased from Sigma-Aldrich (St. Louis, MO, United States) and Fisher Scientific (Waltham, MA, United States). A TβRI/II inhibitor (APExBIO Technology, United States) was used at 2 μmol/L. Inhibitors of p38 MAPK and PI3K, namely, SB203580 and LY294002, respectively, were purchased from Abcam (Cambridge, MA, United States). The Smad3 inhibitors SIS3 and phloretin were purchased from Abcam (Cambridge, MA, United States). The TGF-β1 antibody was purchased from R&D Systems (Minneapolis, MN, United States); antibodies against GLUT1, p-Smad2/3, Smad2/3, p-P38, p-AKT and desmin were purchased from Abcam (Cambridge, MA, United States), and the tubulin antibody was purchased from Research Diagnostics (Flanders, NJ, United States). The anti-α-SMA antibody, carbon tetrachloride (CCl4), corn oil, OptiPrep and other chemicals and reagents were purchased from Sigma-Aldrich (St. Louis, MO, United States) and Fisher Scientific (Waltham, MA, United States). A TβRI/II inhibitor (APExBIO Technology, United States) was used at 2 μmol/L. Inhibitors of p38 MAPK and PI3K, namely, SB203580 and LY294002, respectively, were purchased from Abcam (Cambridge, MA, United States). The Smad3 inhibitors SIS3 and phloretin were purchased from Abcam (Cambridge, MA, United States). Generation of a mouse model of liver fibrosis The animal protocol was designed to minimize pain or discomfort to the animals. The animals were acclimated to laboratory conditions (22 °C, 12-h/12-h light/dark cycle, 50% humidity, ad libitum access to food and water) for 1 wk prior to experimentation. The methods and experimental procedures were carried out in accordance with the relevant guidelines and regulations. Mice (C57BL6, eight to ten weeks old) were housed in standard conditions, and sex-matched mice were treated with 2.0 μL/g body weight CCl4 [diluted 1:10 (v/v) with corn oil] or corn oil as a control by intraperitoneal (i.p.) injections three times per week for 4 wk[25]. Mice were challenged with CCl4 or corn oil (control), followed by an i.p. injection of phloretin (10 mg/kg, three times per week for 2 wk) or 0.9% saline (vehicle). Mice were sacrificed at 48 h after the experiment ended, and tissues were harvested. The animal protocol was designed to minimize pain or discomfort to the animals. The animals were acclimated to laboratory conditions (22 °C, 12-h/12-h light/dark cycle, 50% humidity, ad libitum access to food and water) for 1 wk prior to experimentation. The methods and experimental procedures were carried out in accordance with the relevant guidelines and regulations. Mice (C57BL6, eight to ten weeks old) were housed in standard conditions, and sex-matched mice were treated with 2.0 μL/g body weight CCl4 [diluted 1:10 (v/v) with corn oil] or corn oil as a control by intraperitoneal (i.p.) injections three times per week for 4 wk[25]. Mice were challenged with CCl4 or corn oil (control), followed by an i.p. injection of phloretin (10 mg/kg, three times per week for 2 wk) or 0.9% saline (vehicle). Mice were sacrificed at 48 h after the experiment ended, and tissues were harvested. Patient liver samples Normal and liver fibrosis tissue samples were obtained from patients treated at the Department of Hepatobiliary Surgery of the Affiliated Hospital of Guizhou Medical University (Guiyang, China). Written informed consent was obtained from the patients. Normal and liver fibrosis tissue samples were obtained from patients treated at the Department of Hepatobiliary Surgery of the Affiliated Hospital of Guizhou Medical University (Guiyang, China). Written informed consent was obtained from the patients. Western blot analysis Immunoblotting was performed using whole-liver tissue lysates or whole-cell lysates prepared in buffer containing 1% NP-40 as described previously[26]. Total proteins were extracted and quantified using Bradford protein quantification kits. Protein samples (40 μg each) were resolved by sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE). The proteins were transferred onto polyvinylidene fluoride (PVDF) membranes and incubated with primary antibodies overnight at 4 °C. On the next day, signals were developed with an electrochemiluminescence detection kit after incubation with the appropriate secondary antibodies. Immunoblotting was performed using whole-liver tissue lysates or whole-cell lysates prepared in buffer containing 1% NP-40 as described previously[26]. Total proteins were extracted and quantified using Bradford protein quantification kits. Protein samples (40 μg each) were resolved by sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE). The proteins were transferred onto polyvinylidene fluoride (PVDF) membranes and incubated with primary antibodies overnight at 4 °C. On the next day, signals were developed with an electrochemiluminescence detection kit after incubation with the appropriate secondary antibodies. Cells and cell culture Primary mouse HSCs were isolated and cultured as described previously[26]. Briefly, cells were isolated from livers through in situ liver perfusion with pronase, Liberase and collagenase followed by density gradient centrifugation. The dispersed cell suspension was filtered and gradiently centrifuged for 2 min to remove hepatocytes. The remaining cell fraction was washed and resuspended in 11.5% OptiPrep and then gently transferred to a tube containing 15% OptiPrep at the bottom, followed by PBS addition as the top layer. The cell fraction was then centrifuged at 1400 rpm/min for 20 min. The HSC fraction layer was obtained at the interface between the top and intermediate layers. The purity of the HSC fraction was estimated based on autofluorescence 1 d after isolation and was always greater than 97%. Flow cytometry was used to identify the purity of primary cells. In brief, the cells were digested with trypsin, centrifuged at 1000 rpm/min for 10 min, washed twice with PBS, resuspended in EP tubes (100 μL/tube) and centrifuged at 2000 rpm/min for 6 min. Then, the supernatant was discarded, 100 μL of PBS was added, and the cells were resuspended and dispersed. A mouse monoclonal antibody against desmin (desmin is a typical molecular marker of HSCs) was added, and the cells were incubated at 1:100 for 1.5 h and centrifuged at 2000 rpm/min for 6 min. Centrifugation was repeated twice. The cells were resuspended and dispersed by adding 100 μL of PBS. Fluorescence-labeled anti-mouse secondary antibody (1:1000) was added, followed by incubation at 4 °C for 30 min in the dark. Next, 1 mL of PBS was added to each tube, followed by centrifugation at 2000 rpm/min for 6 min, which was repeated twice. Finally, 0.5 mL of PBS was added to resuspend the cells, and then the cells were subjected to flow cytometry measurements. HSCs were also confirmed to lack E-cadherin expression. Cell viability was also examined, and HSCs were maintained in Dulbecco’s modified Eagle’s medium (DMEM) supplemented with 10% fetal bovine serum and antibiotics as described previously[26]. Cells were starved or treated on day 2 after isolation, and the duration of starvation or treatment is described in each figure legend. The duration of the whole experiment was 5-7 d after HSC isolation, and cells at passages 1-2 were used (as cells were passaged from regular culture flasks to experimental cell culture wells for some experiments). Primary mouse HSCs were isolated and cultured as described previously[26]. Briefly, cells were isolated from livers through in situ liver perfusion with pronase, Liberase and collagenase followed by density gradient centrifugation. The dispersed cell suspension was filtered and gradiently centrifuged for 2 min to remove hepatocytes. The remaining cell fraction was washed and resuspended in 11.5% OptiPrep and then gently transferred to a tube containing 15% OptiPrep at the bottom, followed by PBS addition as the top layer. The cell fraction was then centrifuged at 1400 rpm/min for 20 min. The HSC fraction layer was obtained at the interface between the top and intermediate layers. The purity of the HSC fraction was estimated based on autofluorescence 1 d after isolation and was always greater than 97%. Flow cytometry was used to identify the purity of primary cells. In brief, the cells were digested with trypsin, centrifuged at 1000 rpm/min for 10 min, washed twice with PBS, resuspended in EP tubes (100 μL/tube) and centrifuged at 2000 rpm/min for 6 min. Then, the supernatant was discarded, 100 μL of PBS was added, and the cells were resuspended and dispersed. A mouse monoclonal antibody against desmin (desmin is a typical molecular marker of HSCs) was added, and the cells were incubated at 1:100 for 1.5 h and centrifuged at 2000 rpm/min for 6 min. Centrifugation was repeated twice. The cells were resuspended and dispersed by adding 100 μL of PBS. Fluorescence-labeled anti-mouse secondary antibody (1:1000) was added, followed by incubation at 4 °C for 30 min in the dark. Next, 1 mL of PBS was added to each tube, followed by centrifugation at 2000 rpm/min for 6 min, which was repeated twice. Finally, 0.5 mL of PBS was added to resuspend the cells, and then the cells were subjected to flow cytometry measurements. HSCs were also confirmed to lack E-cadherin expression. Cell viability was also examined, and HSCs were maintained in Dulbecco’s modified Eagle’s medium (DMEM) supplemented with 10% fetal bovine serum and antibiotics as described previously[26]. Cells were starved or treated on day 2 after isolation, and the duration of starvation or treatment is described in each figure legend. The duration of the whole experiment was 5-7 d after HSC isolation, and cells at passages 1-2 were used (as cells were passaged from regular culture flasks to experimental cell culture wells for some experiments). Histological and immunohistochemical studies Liver samples were fixed with formalin, embedded in paraffin, sectioned and processed routinely for Masson’s trichrome and Sirius red staining. Antibodies used for immunohistochemical (IHC) staining of GLUT1 and α-SMA were purchased from Abcam Technology, United States. Liver samples were fixed with formalin, embedded in paraffin, sectioned and processed routinely for Masson’s trichrome and Sirius red staining. Antibodies used for immunohistochemical (IHC) staining of GLUT1 and α-SMA were purchased from Abcam Technology, United States. RNA interference Cells were transfected with small interfering RNAs (siRNAs) using Lipofectamine 3000 (Invitrogen, Carlsbad, CA, United States) according to the manufacturer’s recommendations. The siRNAs used were an siRNA mix targeting sequences in Smad2 and Smad3 purchased from Santa Cruz Biotechnology (siRNA Smad2/3) and siRNAs targeting four different sequences of Smad4 purchased from Santa Cruz Biotechnology. GLUT1 siRNA was purchased from Cell Signaling Technology. The sequences of the siRNAs used are shown in Table 1. Small interfering RNA sequences Purchased from Santa Cruz Biotechnology. sc-37239: Smad2/3 siRNA (m) is a pool of four different siRNA duplexes. Cells were transfected with small interfering RNAs (siRNAs) using Lipofectamine 3000 (Invitrogen, Carlsbad, CA, United States) according to the manufacturer’s recommendations. The siRNAs used were an siRNA mix targeting sequences in Smad2 and Smad3 purchased from Santa Cruz Biotechnology (siRNA Smad2/3) and siRNAs targeting four different sequences of Smad4 purchased from Santa Cruz Biotechnology. GLUT1 siRNA was purchased from Cell Signaling Technology. The sequences of the siRNAs used are shown in Table 1. Small interfering RNA sequences Purchased from Santa Cruz Biotechnology. sc-37239: Smad2/3 siRNA (m) is a pool of four different siRNA duplexes. Glycolytic function assay and lactate measurements Primary mouse HSCs were plated on XF96 cell culture microplates. The extracellular acidification rate (ECAR), a glycolytic flux parameter, was measured with a Seahorse XF96 bioanalyzer using the XF Glycolysis Stress Test kit according to the manufacturer’s instructions (102194-100, Seahorse Bioscience). Lactate levels were measured spectrophotometrically in 700 μL of supernatants from cells receiving the corresponding treatment using standard enzymatic methods. Primary mouse HSCs were plated on XF96 cell culture microplates. The extracellular acidification rate (ECAR), a glycolytic flux parameter, was measured with a Seahorse XF96 bioanalyzer using the XF Glycolysis Stress Test kit according to the manufacturer’s instructions (102194-100, Seahorse Bioscience). Lactate levels were measured spectrophotometrically in 700 μL of supernatants from cells receiving the corresponding treatment using standard enzymatic methods. Cell counting kit-8 assay Primary mouse HSCs were seeded in a 96-well plate at a density of 3000 cells per well. CCK-8 reagent was added to each well every 24 h, and the plates were incubated for an additional 1 h at 37 °C and measured by recording the absorbance at 450 nm with an Elx800™ spectrophotometer (BioTek, Winooski, VT, United States). Primary mouse HSCs were seeded in a 96-well plate at a density of 3000 cells per well. CCK-8 reagent was added to each well every 24 h, and the plates were incubated for an additional 1 h at 37 °C and measured by recording the absorbance at 450 nm with an Elx800™ spectrophotometer (BioTek, Winooski, VT, United States). Biochemical function analysis Alanine aminotransferase (ALT) and aspartate transaminase (AST) levels in mouse serum samples and the supernatant of cell culture medium were detected using an automatic biochemical analyzer (Siemens Advia 1650; Siemens, Bensheim, Germany). Alanine aminotransferase (ALT) and aspartate transaminase (AST) levels in mouse serum samples and the supernatant of cell culture medium were detected using an automatic biochemical analyzer (Siemens Advia 1650; Siemens, Bensheim, Germany). RNA extraction and real-time polymerase chain reaction GLUT1, hexokinase 2 (HK-2), pyruvate kinase 2 (PKM-2) and α-SMA mRNA levels were determined using real-time polymerase chain reaction (RT-PCR) with a SYBR Green Master Mix Kit (Roche, Indianapolis, IN, United States). The primer sequences used are shown in Table 2. Primer sequences for real-time polymerase chain reaction GLUT1, hexokinase 2 (HK-2), pyruvate kinase 2 (PKM-2) and α-SMA mRNA levels were determined using real-time polymerase chain reaction (RT-PCR) with a SYBR Green Master Mix Kit (Roche, Indianapolis, IN, United States). The primer sequences used are shown in Table 2. Primer sequences for real-time polymerase chain reaction Transwell migration assay The migratory properties of HSCs were assessed using a Transwell assay. Cells were seeded at a density of 4 × 105 cells/well in the upper compartment of Transwell chambers with serum-free medium, and the lower compartment contained 700 μL of 5% glucose-containing medium per well. Migration was subsequently observed and measured. The migratory properties of HSCs were assessed using a Transwell assay. Cells were seeded at a density of 4 × 105 cells/well in the upper compartment of Transwell chambers with serum-free medium, and the lower compartment contained 700 μL of 5% glucose-containing medium per well. Migration was subsequently observed and measured. Tissue immunofluorescence staining Tissue sections were placed at room temperature for 10 min and deparaffinized in water for further antigen retrieval. After the sections were dried slightly, a histochemical pen was used to draw circles around the tissue, and 3%-5% BSA was added dropwise inside the circle for blocking, followed by incubation for 30 min. The primary antibody was added dropwise at the recommended ratio to the sections, and the sections were placed in a refrigerator (4 °C) and incubated overnight. After 3 washes, the sections were incubated with a FITC (CK-18)-labeled secondary antibody at room temperature for 45 min, and nuclei were stained with DAPI (300 nmol/L) for 1-5 min. After 3 washes, an antifluorescence quencher was added, and the sections were sealed with resin. Photographs of random fields were taken under an upright fluorescence microscope (ZEISS Axiovert). Tissue sections were placed at room temperature for 10 min and deparaffinized in water for further antigen retrieval. After the sections were dried slightly, a histochemical pen was used to draw circles around the tissue, and 3%-5% BSA was added dropwise inside the circle for blocking, followed by incubation for 30 min. The primary antibody was added dropwise at the recommended ratio to the sections, and the sections were placed in a refrigerator (4 °C) and incubated overnight. After 3 washes, the sections were incubated with a FITC (CK-18)-labeled secondary antibody at room temperature for 45 min, and nuclei were stained with DAPI (300 nmol/L) for 1-5 min. After 3 washes, an antifluorescence quencher was added, and the sections were sealed with resin. Photographs of random fields were taken under an upright fluorescence microscope (ZEISS Axiovert). Statistical analysis Data were analyzed using Student’s t test (SigmaPlot, SPSS 17.0, United States) to determine differences between two groups and are presented as the mean ± SE. For comparisons between multiple groups, three-way analysis of variance was performed, followed by t tests with Bonferroni correction using SAS 9.3 software (SAS Institute Inc., Cary, NC, United States). In addition, a log-rank test was used for survival analysis. All experiments were repeated at least three times. Differences were considered statistically significant at P < 0.05 (aP < 0.05, bP < 0.01). Data were analyzed using Student’s t test (SigmaPlot, SPSS 17.0, United States) to determine differences between two groups and are presented as the mean ± SE. For comparisons between multiple groups, three-way analysis of variance was performed, followed by t tests with Bonferroni correction using SAS 9.3 software (SAS Institute Inc., Cary, NC, United States). In addition, a log-rank test was used for survival analysis. All experiments were repeated at least three times. Differences were considered statistically significant at P < 0.05 (aP < 0.05, bP < 0.01).
null
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CONCLUSION
The authors thank Dr. Ding Q for expert technical assistance.
[ "INTRODUCTION", "Reagents and antibodies", "Generation of a mouse model of liver fibrosis", "Patient liver samples", "Western blot analysis", "Cells and cell culture", "Histological and immunohistochemical studies", "RNA interference", "Glycolytic function assay and lactate measurements", "Cell counting kit-8 assay", "Biochemical function analysis", "RNA extraction and real-time polymerase chain reaction", "Transwell migration assay", "Tissue immunofluorescence staining", "Statistical analysis", "RESULTS", "GLUT1 expression is correlated with liver fibrosis progression", "TGF-β1 stimulates HSC activation by inducing GLUT1 expression and promoting aerobic glycolysis", "TGF-β1 induces GLUT1 expression through the Smad pathway", "The noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in TGF-β1-mediated GLUT1 induction", "The effect of GLUT1 on HSC migration and proliferation", "GLUT1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis", "DISCUSSION", "CONCLUSION" ]
[ "Liver fibrosis is the inevitable result of chronic liver inflammation caused by various etiologies. With progressive destruction of liver parenchymal cells, liver fibrosis eventually develops into liver cirrhosis and even liver cancer[1,2]. Although liver cirrhosis and liver cancer are irreversible, liver fibrosis can be reversed. Therefore, the mechanism of and clinical studies on liver fibrosis have always been the focus of liver disease research. The main pathological feature of liver fibrosis is the excessive deposition of extracellular matrix (ECM), while the key initiating factors are activation of quiescent hepatic stellate cells (HSCs) and transformation of their phenotypes and functions[3]. The transforming growth factor-β1 (TGF-β1) pathway is the key fibrogenic pathway that drives HSC activation and induces ECM production. HSC activation requires metabolic reprogramming and a continuous energy supply[4,5]. Aerobic glycolysis is an important metabolic characteristic of the transdifferentiation of quiescent stellate cells, a process similar to the Warburg effect in tumor cells, and the core metabolic changes include a transition from oxidative phosphorylation to aerobic glycolysis[6]. Dysregulated glycolysis has been implicated in experimental models of lung and liver fibrosis, and inhibition of glycolysis reduces ECM accumulation[7]. In view of the mechanisms involved, targeting and inhibiting the metabolic reprogramming of activated HSCs during liver fibrosis may be a promising anti-liver fibrosis strategy.\nTGF-β1 is a multifunctional cytokine and a major profibrotic cytokine that regulates cell differentiation, cell proliferation and ECM production and directly regulates multiple cellular signal transduction networks[8]. In the canonical TGF-β1/mothers-against-decapentaplegic-homolog 2/3 (Smad2/3) pathway, ligands induce the assembly of the TGF-β1 receptor I (TβRI)/TGF-β1 receptor II (TβRII) heterocomplex, which targets Smad4 via Smad2 and Smad3 proteins to form the Smad complex, leading to phosphorylation and nuclear translocation of Smad2/3; this R-Smad/Co-Smad4 complex translocates to the nucleus where it binds to DNA either directly or in association with other DNA-binding proteins[9-11]. Phosphorylated Smad2/3 binds to specific Smad binding elements (SBEs) in gene promoter regions to activate/suppress the expression of target genes[12,13]. In addition to Smads, TGF-β1 also triggers other protein-mediated signaling pathways, e.g., p38, mitogen-activated protein kinases (MAPKs) and phosphoinositide 3-kinase (PI3K). Some functions of TGF-β1 have been studied in depth, such as the mediation of cell differentiation and proliferation. However, TGF-β1 has recently been reported to induce aerobic glycolysis and is considered a driving factor in metabolic reprogramming[14]. TGF-β is also a strong activator of glycolysis in mesenchymal cells[15]. Extracellular accumulation of lactic acid induces epithelial-mesenchymal transition (EMT) by directly reconstituting the ECM and releasing activated TGF-β1. EMT induced by TGF-β in hepatocellular carcinoma cells reprograms lipid metabolism to sustain the elevated energy requirements associated with this process[16]. Research on the mechanism of idiopathic pulmonary fibrosis has shown that TGF-β1-induced aerobic glycolysis causes lactic acid accumulation and changes the cellular microenvironment, thereby activating latent TGF-β1 in the ECM and eventually forming a positive feedback loop to promote the effects of TGF-β1[17].\nGlucose transporter 1 (GLUT1) is a member of the GLUT transporter family, the most conserved and most widely distributed glucose transporter in mammals and the main transporter regulating glucose uptake[18]. An increasing number of studies have found that GLUT1 plays an important role in accelerated metabolism. Research on the mechanism of neurodegenerative diseases has revealed that GLUT1 controls the activation of microglia by promoting aerobic glycolysis[19]. GLUT1 enhances the stimulating effect of TGF-β1 on mesangial cells, breast cancer cells and pancreatic cancer cells. As glucose uptake increases during TGF-β1-induced EMT of breast cancer cells, GLUT1 expression also increases and is correlated with EMT markers (including E-cadherin and vimentin). GLUT1 is the key mediator of the aerobic glycolysis phenotype in ovarian cancer and is required to maintain a high level of basic aerobic glycolysis. In models of bleomycin-induced pulmonary fibrosis, GLUT1-dependent aerobic glycolysis has been reported to be essential for pulmonary parenchymal fibrosis[20-23]. Certain signaling molecules (such as cAMP, p53, PI3K and AKT) reduce alpha-smooth muscle actin (α-SMA) protein expression in primary mouse fibroblasts by inhibiting GLUT1 expression. Exosomes secreted by activated HSCs affect the metabolic switch of liver nonparenchymal cells through delivery of the glycolysis-related proteins GLUT1 and PKM2; GLUT1 is involved in metabolic reprogramming of HSCs[24]. TGF-β1 and GLUT1 play important regulatory roles in metabolic reprogramming. To date, however, researchers have not explored whether the increases in TGF-β1 and GLUT1 Levels during HSC activation are related. Therefore, this study investigated the effect of the TGF-β1 signaling pathway on the regulation of GLUT1 and aerobic glycolysis. We hypothesized that TGF-β1 drives HSC activation and aerobic glycolysis by inducing GLUT1 expression, thereby promoting liver fibrosis progression. As shown in the present study, GLUT1 expression was significantly increased in mouse and human fibrotic liver tissue samples. Further in vitro experiments showed that the aerobic glycolysis capacity of HSCs was enhanced and GLUT1 expression increased with increasing TGF-β1 Levels. Inhibition/ promotion of the Smad2/3 signaling pathway and inhibition of the p38 and PI3K/AKT signaling pathways confirmed that TGF-β1 induced GLUT1 expression by targeting the pSmad2/3, p38 and PI3K/AKT pathways, thus promoting HSC activation. Finally, administration of a specific GLUT1 inhibitor in a mouse model of liver fibrosis resulted in a significant reduction in liver fibrosis. Based on these findings, the TGF-β1 signaling pathway enhances aerobic glycolysis by promoting GLUT1 expression, thereby promoting the development of liver fibrosis.", "The TGF-β1 antibody was purchased from R&D Systems (Minneapolis, MN, United States); antibodies against GLUT1, p-Smad2/3, Smad2/3, p-P38, p-AKT and desmin were purchased from Abcam (Cambridge, MA, United States), and the tubulin antibody was purchased from Research Diagnostics (Flanders, NJ, United States). The anti-α-SMA antibody, carbon tetrachloride (CCl4), corn oil, OptiPrep and other chemicals and reagents were purchased from Sigma-Aldrich (St. Louis, MO, United States) and Fisher Scientific (Waltham, MA, United States). A TβRI/II inhibitor (APExBIO Technology, United States) was used at 2 μmol/L. Inhibitors of p38 MAPK and PI3K, namely, SB203580 and LY294002, respectively, were purchased from Abcam (Cambridge, MA, United States). The Smad3 inhibitors SIS3 and phloretin were purchased from Abcam (Cambridge, MA, United States).", "The animal protocol was designed to minimize pain or discomfort to the animals. The animals were acclimated to laboratory conditions (22 °C, 12-h/12-h light/dark cycle, 50% humidity, ad libitum access to food and water) for 1 wk prior to experimentation. The methods and experimental procedures were carried out in accordance with the relevant guidelines and regulations. Mice (C57BL6, eight to ten weeks old) were housed in standard conditions, and sex-matched mice were treated with 2.0 μL/g body weight CCl4 [diluted 1:10 (v/v) with corn oil] or corn oil as a control by intraperitoneal (i.p.) injections three times per week for 4 wk[25]. Mice were challenged with CCl4 or corn oil (control), followed by an i.p. injection of phloretin (10 mg/kg, three times per week for 2 wk) or 0.9% saline (vehicle). Mice were sacrificed at 48 h after the experiment ended, and tissues were harvested.", "Normal and liver fibrosis tissue samples were obtained from patients treated at the Department of Hepatobiliary Surgery of the Affiliated Hospital of Guizhou Medical University (Guiyang, China). Written informed consent was obtained from the patients.", "Immunoblotting was performed using whole-liver tissue lysates or whole-cell lysates prepared in buffer containing 1% NP-40 as described previously[26]. Total proteins were extracted and quantified using Bradford protein quantification kits. Protein samples (40 μg each) were resolved by sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE). The proteins were transferred onto polyvinylidene fluoride (PVDF) membranes and incubated with primary antibodies overnight at 4 °C. On the next day, signals were developed with an electrochemiluminescence detection kit after incubation with the appropriate secondary antibodies.", "Primary mouse HSCs were isolated and cultured as described previously[26]. Briefly, cells were isolated from livers through in situ liver perfusion with pronase, Liberase and collagenase followed by density gradient centrifugation. The dispersed cell suspension was filtered and gradiently centrifuged for 2 min to remove hepatocytes. The remaining cell fraction was washed and resuspended in 11.5% OptiPrep and then gently transferred to a tube containing 15% OptiPrep at the bottom, followed by PBS addition as the top layer. The cell fraction was then centrifuged at 1400 rpm/min for 20 min. The HSC fraction layer was obtained at the interface between the top and intermediate layers. The purity of the HSC fraction was estimated based on autofluorescence 1 d after isolation and was always greater than 97%. Flow cytometry was used to identify the purity of primary cells. In brief, the cells were digested with trypsin, centrifuged at 1000 rpm/min for 10 min, washed twice with PBS, resuspended in EP tubes (100 μL/tube) and centrifuged at 2000 rpm/min for 6 min. Then, the supernatant was discarded, 100 μL of PBS was added, and the cells were resuspended and dispersed. A mouse monoclonal antibody against desmin (desmin is a typical molecular marker of HSCs) was added, and the cells were incubated at 1:100 for 1.5 h and centrifuged at 2000 rpm/min for 6 min. Centrifugation was repeated twice. The cells were resuspended and dispersed by adding 100 μL of PBS. Fluorescence-labeled anti-mouse secondary antibody (1:1000) was added, followed by incubation at 4 °C for 30 min in the dark. Next, 1 mL of PBS was added to each tube, followed by centrifugation at 2000 rpm/min for 6 min, which was repeated twice. Finally, 0.5 mL of PBS was added to resuspend the cells, and then the cells were subjected to flow cytometry measurements. HSCs were also confirmed to lack E-cadherin expression. Cell viability was also examined, and HSCs were maintained in Dulbecco’s modified Eagle’s medium (DMEM) supplemented with 10% fetal bovine serum and antibiotics as described previously[26]. Cells were starved or treated on day 2 after isolation, and the duration of starvation or treatment is described in each figure legend. The duration of the whole experiment was 5-7 d after HSC isolation, and cells at passages 1-2 were used (as cells were passaged from regular culture flasks to experimental cell culture wells for some experiments).", "Liver samples were fixed with formalin, embedded in paraffin, sectioned and processed routinely for Masson’s trichrome and Sirius red staining. Antibodies used for immunohistochemical (IHC) staining of GLUT1 and α-SMA were purchased from Abcam Technology, United States.", "Cells were transfected with small interfering RNAs (siRNAs) using Lipofectamine 3000 (Invitrogen, Carlsbad, CA, United States) according to the manufacturer’s recommendations. The siRNAs used were an siRNA mix targeting sequences in Smad2 and Smad3 purchased from Santa Cruz Biotechnology (siRNA Smad2/3) and siRNAs targeting four different sequences of Smad4 purchased from Santa Cruz Biotechnology. GLUT1 siRNA was purchased from Cell Signaling Technology. The sequences of the siRNAs used are shown in Table 1.\nSmall interfering RNA sequences\nPurchased from Santa Cruz Biotechnology. sc-37239: Smad2/3 siRNA (m) is a pool of four different siRNA duplexes.", "Primary mouse HSCs were plated on XF96 cell culture microplates. The extracellular acidification rate (ECAR), a glycolytic flux parameter, was measured with a Seahorse XF96 bioanalyzer using the XF Glycolysis Stress Test kit according to the manufacturer’s instructions (102194-100, Seahorse Bioscience). Lactate levels were measured spectrophotometrically in 700 μL of supernatants from cells receiving the corresponding treatment using standard enzymatic methods.", "Primary mouse HSCs were seeded in a 96-well plate at a density of 3000 cells per well. CCK-8 reagent was added to each well every 24 h, and the plates were incubated for an additional 1 h at 37 °C and measured by recording the absorbance at 450 nm with an Elx800™ spectrophotometer (BioTek, Winooski, VT, United States).", "Alanine aminotransferase (ALT) and aspartate transaminase (AST) levels in mouse serum samples and the supernatant of cell culture medium were detected using an automatic biochemical analyzer (Siemens Advia 1650; Siemens, Bensheim, Germany).", "GLUT1, hexokinase 2 (HK-2), pyruvate kinase 2 (PKM-2) and α-SMA mRNA levels were determined using real-time polymerase chain reaction (RT-PCR) with a SYBR Green Master Mix Kit (Roche, Indianapolis, IN, United States). The primer sequences used are shown in Table 2.\nPrimer sequences for real-time polymerase chain reaction", "The migratory properties of HSCs were assessed using a Transwell assay. Cells were seeded at a density of 4 × 105 cells/well in the upper compartment of Transwell chambers with serum-free medium, and the lower compartment contained 700 μL of 5% glucose-containing medium per well. Migration was subsequently observed and measured.", "Tissue sections were placed at room temperature for 10 min and deparaffinized in water for further antigen retrieval. After the sections were dried slightly, a histochemical pen was used to draw circles around the tissue, and 3%-5% BSA was added dropwise inside the circle for blocking, followed by incubation for 30 min. The primary antibody was added dropwise at the recommended ratio to the sections, and the sections were placed in a refrigerator (4 °C) and incubated overnight. After 3 washes, the sections were incubated with a FITC (CK-18)-labeled secondary antibody at room temperature for 45 min, and nuclei were stained with DAPI (300 nmol/L) for 1-5 min. After 3 washes, an antifluorescence quencher was added, and the sections were sealed with resin. Photographs of random fields were taken under an upright fluorescence microscope (ZEISS Axiovert).", "Data were analyzed using Student’s t test (SigmaPlot, SPSS 17.0, United States) to determine differences between two groups and are presented as the mean ± SE. For comparisons between multiple groups, three-way analysis of variance was performed, followed by t tests with Bonferroni correction using SAS 9.3 software (SAS Institute Inc., Cary, NC, United States). In addition, a log-rank test was used for survival analysis. All experiments were repeated at least three times. Differences were considered statistically significant at P < 0.05 (aP < 0.05, bP < 0.01).", "GLUT1 expression is correlated with liver fibrosis progression The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether GLUT1 is related to liver fibrosis. Successful establishment of the liver fibrosis model was confirmed by Sirius red staining and α-SMA IHC staining (Figure 1A-C). Notably, a significant increase in GLUT1 expression was detected in the liver tissue specimens from the model group (Figure 1A and D). Subsequently, tissue immunofluorescence staining was performed, and the results showed significantly increased GLUT1 expression in liver tissue samples from the CCl4 liver fibrosis model. More importantly, GLUT1 colocalized with α-SMA, indicating a correlation between GLUT1 and liver fibrosis (Figure 1E). IHC staining for GLUT1 and α-SMA was performed using human liver fibrosis specimens and liver specimens from a healthy control group; as expected, GLUT1 expression was significantly higher in the human liver fibrosis specimens (Figure 1F). Finally, whole-liver lysates were prepared from human liver tissue specimens and specimens from the mouse liver fibrosis model, and GLUT1 protein expression was analyzed. The results were consistent with the IHC data (Figure 1G-H). In summary, these results indicate that GLUT1 expression is related to liver fibrosis progression.\n\nGlucose transporter 1 expression is correlated with liver fibrosis progression. A-D: The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether glucose transporter 1 (GLUT1) is related to liver fibrosis. Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining were used to confirm that the liver fibrosis model was successfully established, and then the mice were randomly divided into the CCl4 group and the control oil group (n = 6-10 mice/group) (A); Evaluation of liver fibrosis using Sirius red staining (B); Determination of the area ratio of positive IHC staining for α-SMA in the mouse CCl4-induced liver fibrosis model (C); GLUT1 expression was more abundant in the liver tissue samples from the model group (D); E and F: Immunofluorescence staining for GLUT1 (red) and α-SMA (green) in the CCl4 model. Cell nuclei were counterstained with DAPI. Scale bar for immunofluorescence staining, 200 μm; scale bars for IHC staining and Sirius red staining, 200 μm; G: IHC staining for α-SMA and GLUT1 in the healthy control and liver fibrosis groups (scale bar, 100 μm); H: Western blot analysis of changes in GLUT1 protein levels in the oil group and the CCl4 model group; I: Western blot analysis of GLUT1 protein expression in human liver tissues from the healthy control group and the liver fibrosis group. Data in B-D, G and H are presented as the mean ± SE. Statistically significant differences were detected (compared with the oil group, aP < 0.05 and bP < 0.01; compared with the healthy control group, dP < 0.05). GLUT1: Glucose transporter 1; α-SMA: Alpha-smooth muscle actin.\nThe classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether GLUT1 is related to liver fibrosis. Successful establishment of the liver fibrosis model was confirmed by Sirius red staining and α-SMA IHC staining (Figure 1A-C). Notably, a significant increase in GLUT1 expression was detected in the liver tissue specimens from the model group (Figure 1A and D). Subsequently, tissue immunofluorescence staining was performed, and the results showed significantly increased GLUT1 expression in liver tissue samples from the CCl4 liver fibrosis model. More importantly, GLUT1 colocalized with α-SMA, indicating a correlation between GLUT1 and liver fibrosis (Figure 1E). IHC staining for GLUT1 and α-SMA was performed using human liver fibrosis specimens and liver specimens from a healthy control group; as expected, GLUT1 expression was significantly higher in the human liver fibrosis specimens (Figure 1F). Finally, whole-liver lysates were prepared from human liver tissue specimens and specimens from the mouse liver fibrosis model, and GLUT1 protein expression was analyzed. The results were consistent with the IHC data (Figure 1G-H). In summary, these results indicate that GLUT1 expression is related to liver fibrosis progression.\n\nGlucose transporter 1 expression is correlated with liver fibrosis progression. A-D: The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether glucose transporter 1 (GLUT1) is related to liver fibrosis. Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining were used to confirm that the liver fibrosis model was successfully established, and then the mice were randomly divided into the CCl4 group and the control oil group (n = 6-10 mice/group) (A); Evaluation of liver fibrosis using Sirius red staining (B); Determination of the area ratio of positive IHC staining for α-SMA in the mouse CCl4-induced liver fibrosis model (C); GLUT1 expression was more abundant in the liver tissue samples from the model group (D); E and F: Immunofluorescence staining for GLUT1 (red) and α-SMA (green) in the CCl4 model. Cell nuclei were counterstained with DAPI. Scale bar for immunofluorescence staining, 200 μm; scale bars for IHC staining and Sirius red staining, 200 μm; G: IHC staining for α-SMA and GLUT1 in the healthy control and liver fibrosis groups (scale bar, 100 μm); H: Western blot analysis of changes in GLUT1 protein levels in the oil group and the CCl4 model group; I: Western blot analysis of GLUT1 protein expression in human liver tissues from the healthy control group and the liver fibrosis group. Data in B-D, G and H are presented as the mean ± SE. Statistically significant differences were detected (compared with the oil group, aP < 0.05 and bP < 0.01; compared with the healthy control group, dP < 0.05). GLUT1: Glucose transporter 1; α-SMA: Alpha-smooth muscle actin.\nTGF-β1 stimulates HSC activation by inducing GLUT1 expression and promoting aerobic glycolysis We found that GLUT1 colocalized with α-SMA, indicating that GLUT1 expression was increased mainly in activated HSCs because α-SMA is a major marker of HSC transdifferentiation. TGF-β1 is a very important profibrotic factor and regulates metabolic reprogramming in pulmonary fibrosis[27], as reported in some studies. Therefore, we questioned whether the increase in GLUT1 expression in liver fibrosis and TGF-β1 are related. This study first determined the effect of TGF-β1 on glycolysis in HSCs. To assess the dose responses to TGF-β1, we incubated HSCs with different TGF-β1 concentrations ranging from 3 ng/mL to 5 ng/mL, and the results showed similar effects on GLUT1 protein levels (Supplementary Figure 1). Therefore, a TGF-β1 concentration of 3 ng/mL was used for subsequent experiments. Mouse primary HSCs were isolated and cultured, and the cells were stimulated with TGF-β1 for 24 h prior to the experiments. TGF-β1 stimulation led to an early and continuous increase in the ECAR (an indicator of extracellular acid production) in HSCs, indicating that glycolysis was enhanced in these cells (Figure 2A and B). In addition, the intracellular and extracellular levels (in the medium) of lactic acid were examined to further confirm the glycolytic changes in HSCs. Both intracellular and extracellular lactic acid levels were significantly increased. Consistent with the increase in glycolysis, the level of glucose consumption also increased in these cells (Figure 2C and D). Therefore, TGF-β1 induces glycolysis during the process of HSC transdifferentiation. The expression levels of key glycolytic enzymes in these cells were evaluated; the expression levels of HK-2, PKM-2 and GLUT1 were upregulated, and the increase in GLUT1 expression was particularly significant (Figure 2F-H). Based on these findings, the increase in glycolysis during HSC transdifferentiation is related to the upregulation of key glycolysis enzymes. Similarly, the expression of α-SMA, a marker of transdifferentiation, also increased during the TGF-β1-mediated activation of HSCs (Figure 2I). GLUT1 protein expression was examined at various time points after stimulating HSCs with TGF-β1 (3 ng/mL) to determine whether TGF-β1 stimulates GLUT1 expression in a time-dependent manner, and the results showed that GLUT1 expression increased 2 h after stimulation with TGF-β1 and peaked at 8 h. These results indicate a time-dependent relationship between the increase in GLUT1 expression and TGF-β1 stimulation, which is consistent with the early increase in aerobic glycolysis in HSCs (Figure 2J). Finally, the addition of an inhibitor of the type 1 TGF-β1 receptor inhibited TGF-β1-induced GLUT1 expression in HSCs, suggesting that GLUT1 induction was mediated by TGF-β1 (Figure 2K). Based on these data, TGF-β1 is involved in glycolysis during HSC transdifferentiation and mediates GLUT1 expression, thereby promoting HSC transdifferentiation.\n\nStimulation of hepatic stellate cells with transforming growth factor-β1 induces glucose transporter 1 expression and promotes glycolysis. A: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were seeded into Seahorse XF-24 cell culture microplates (5 × 104 cells/well). The cells were first treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 0, 6 or 24 h, followed by sequential treatment with oligomycin (Oligo) and carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone (FCCP). The extracellular acidification rate (ECAR) was recorded in real time; B: The basic ECAR. n = 6; the mean ± SE; aP < 0.05 compared to the level before TGF-β1 treatment (0 h); unpaired t test; C and D: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. The cells were then lysed, and the lactic acid contents in the cell lysate (C) and the culture medium (D) were examined; E: Determination of glucose consumption in the culture medium; F-I: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. RNA was purified, and RT-PCR was performed to examine the expression levels of glucose transporter 1 (GLUT1) (F), HK-2 (G), PKM-2 (H) and α-SMA (I), n = 5, the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with those at 0 h or those in the TGF-β1-untreated group; one-way analysis of variance (ANOVA); J: Western blot analysis of the expression levels of GLUT1 and tubulin at various time points after HSCs were treated with TGF-β1 (3 ng/mL); K: Examination of the changes in GLUT1 and tubulin levels after sequential treatment with a type 1 TGF-β receptor inhibitor (LY2109761, 2 μm) for 1 h and then with TGF-β1 (3 ng/mL) for 0, 8 or 24 h. All experiments shown in A-E and F-I were performed 2-3 times. Inhi: Inhibitor; Con: Control; FCCP: Carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone; ECAR: Extracellular acidification rate; GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1.\nWe found that GLUT1 colocalized with α-SMA, indicating that GLUT1 expression was increased mainly in activated HSCs because α-SMA is a major marker of HSC transdifferentiation. TGF-β1 is a very important profibrotic factor and regulates metabolic reprogramming in pulmonary fibrosis[27], as reported in some studies. Therefore, we questioned whether the increase in GLUT1 expression in liver fibrosis and TGF-β1 are related. This study first determined the effect of TGF-β1 on glycolysis in HSCs. To assess the dose responses to TGF-β1, we incubated HSCs with different TGF-β1 concentrations ranging from 3 ng/mL to 5 ng/mL, and the results showed similar effects on GLUT1 protein levels (Supplementary Figure 1). Therefore, a TGF-β1 concentration of 3 ng/mL was used for subsequent experiments. Mouse primary HSCs were isolated and cultured, and the cells were stimulated with TGF-β1 for 24 h prior to the experiments. TGF-β1 stimulation led to an early and continuous increase in the ECAR (an indicator of extracellular acid production) in HSCs, indicating that glycolysis was enhanced in these cells (Figure 2A and B). In addition, the intracellular and extracellular levels (in the medium) of lactic acid were examined to further confirm the glycolytic changes in HSCs. Both intracellular and extracellular lactic acid levels were significantly increased. Consistent with the increase in glycolysis, the level of glucose consumption also increased in these cells (Figure 2C and D). Therefore, TGF-β1 induces glycolysis during the process of HSC transdifferentiation. The expression levels of key glycolytic enzymes in these cells were evaluated; the expression levels of HK-2, PKM-2 and GLUT1 were upregulated, and the increase in GLUT1 expression was particularly significant (Figure 2F-H). Based on these findings, the increase in glycolysis during HSC transdifferentiation is related to the upregulation of key glycolysis enzymes. Similarly, the expression of α-SMA, a marker of transdifferentiation, also increased during the TGF-β1-mediated activation of HSCs (Figure 2I). GLUT1 protein expression was examined at various time points after stimulating HSCs with TGF-β1 (3 ng/mL) to determine whether TGF-β1 stimulates GLUT1 expression in a time-dependent manner, and the results showed that GLUT1 expression increased 2 h after stimulation with TGF-β1 and peaked at 8 h. These results indicate a time-dependent relationship between the increase in GLUT1 expression and TGF-β1 stimulation, which is consistent with the early increase in aerobic glycolysis in HSCs (Figure 2J). Finally, the addition of an inhibitor of the type 1 TGF-β1 receptor inhibited TGF-β1-induced GLUT1 expression in HSCs, suggesting that GLUT1 induction was mediated by TGF-β1 (Figure 2K). Based on these data, TGF-β1 is involved in glycolysis during HSC transdifferentiation and mediates GLUT1 expression, thereby promoting HSC transdifferentiation.\n\nStimulation of hepatic stellate cells with transforming growth factor-β1 induces glucose transporter 1 expression and promotes glycolysis. A: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were seeded into Seahorse XF-24 cell culture microplates (5 × 104 cells/well). The cells were first treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 0, 6 or 24 h, followed by sequential treatment with oligomycin (Oligo) and carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone (FCCP). The extracellular acidification rate (ECAR) was recorded in real time; B: The basic ECAR. n = 6; the mean ± SE; aP < 0.05 compared to the level before TGF-β1 treatment (0 h); unpaired t test; C and D: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. The cells were then lysed, and the lactic acid contents in the cell lysate (C) and the culture medium (D) were examined; E: Determination of glucose consumption in the culture medium; F-I: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. RNA was purified, and RT-PCR was performed to examine the expression levels of glucose transporter 1 (GLUT1) (F), HK-2 (G), PKM-2 (H) and α-SMA (I), n = 5, the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with those at 0 h or those in the TGF-β1-untreated group; one-way analysis of variance (ANOVA); J: Western blot analysis of the expression levels of GLUT1 and tubulin at various time points after HSCs were treated with TGF-β1 (3 ng/mL); K: Examination of the changes in GLUT1 and tubulin levels after sequential treatment with a type 1 TGF-β receptor inhibitor (LY2109761, 2 μm) for 1 h and then with TGF-β1 (3 ng/mL) for 0, 8 or 24 h. All experiments shown in A-E and F-I were performed 2-3 times. Inhi: Inhibitor; Con: Control; FCCP: Carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone; ECAR: Extracellular acidification rate; GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1.\nTGF-β1 induces GLUT1 expression through the Smad pathway After finding that TGF-β1 stimulation induces GLUT1 expression, the specific mechanism by which TGF-β1 induces GLUT1 expression was further explored. Changes in the expression levels of Smad proteins in the canonical pathway activated by TGF-β1 stimulation were first examined. Western blot analysis revealed a time-dependent relationship between Smad2/Smad3 phosphorylation and TGF-β1 stimulation (Figure 3A and B), and phosphorylation occurred at time points close to when GLUT1 expression increased. Next, the direct role of Smads in GLUT1 induction was explored. Smad3 or Smad4 overexpression plasmids were first transiently transfected into HSCs, and then certain groups of HSCs were induced with TGF-β1 for 4 h. Smad3 or Smad4 overexpression promoted GLUT1 expression, and TGF-β1 addition amplified these effects, resulting in a further increase in GLUT1 expression (Figure 3C and D). Smad2/3 and/or Smad4 siRNAs were used to silence their expression levels and to better understand the roles of Smads in the relationship between TGF-β1 and GLUT1 expression, and the analysis performed at 48 h after the transfection of Smad2/3 and/or Smad4 siRNAs showed that TGF-β1-mediated GLUT1 expression was significantly reduced. This change was more significant and the decrease in GLUT1 expression was more substantial when the cells were transfected simultaneously with both siRNAs (Figure 3G and H). Finally, HSCs were sequentially treated with the Smad inhibitor SIS3 for 2 h and then with TGF-β1 for 4 h, resulting in a significant decrease in GLUT1 protein expression (Figure 3E and F). These results preliminarily indicate the important regulatory role of Smad proteins in TGF-β1-mediated GLUT1 expression and suggest that Smad proteins directly participate in the regulation of GLUT1 by TGF-β1.\n\nTransforming growth factor-β1 induces glucose transporter 1 expression through the Smad pathway. A and B: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at various time points. Western blot analysis using specific antibodies (A). Quantitative analysis of the levels of the p-Smad2 and p-Smad3 proteins in five independent experiments (B); C and D: After transiently transfecting HSCs with 2 μg of Smad3 and/or Smad4 expression plasmids, the cells were cultured in serum-free medium for 48 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Green fluorescent protein (GFP) was used as a transfection control. Western blot analysis using specific antibodies (C). Quantitative analysis of glucose transporter 1 (GLUT1) protein expression in five independent experiments (D); E and F: HSCs were first pretreated with a Smad3 inhibitor (SIS3, 20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (E). Quantitative analysis of the GLUT1 protein level in five independent experiments (F); G and H: Mouse primary HSCs were transfected with 20 μmol/L control small interfering RNAs (siRNAs) or siRNAs targeting Smad2/3 and Smad4. After transfection in serum-free medium for 48 h, the cells were treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (G). Quantitative analysis of the GLUT1 protein level in five independent experiments (H) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with that in the group of cells without TGF-β1; dP < 0.05 for the comparison of the groups treated with TGF-β1 and the groups treated with TGF-β1 and different additional reagents; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; Con: Control; siRNAs: Small interfering RNAs.\nAfter finding that TGF-β1 stimulation induces GLUT1 expression, the specific mechanism by which TGF-β1 induces GLUT1 expression was further explored. Changes in the expression levels of Smad proteins in the canonical pathway activated by TGF-β1 stimulation were first examined. Western blot analysis revealed a time-dependent relationship between Smad2/Smad3 phosphorylation and TGF-β1 stimulation (Figure 3A and B), and phosphorylation occurred at time points close to when GLUT1 expression increased. Next, the direct role of Smads in GLUT1 induction was explored. Smad3 or Smad4 overexpression plasmids were first transiently transfected into HSCs, and then certain groups of HSCs were induced with TGF-β1 for 4 h. Smad3 or Smad4 overexpression promoted GLUT1 expression, and TGF-β1 addition amplified these effects, resulting in a further increase in GLUT1 expression (Figure 3C and D). Smad2/3 and/or Smad4 siRNAs were used to silence their expression levels and to better understand the roles of Smads in the relationship between TGF-β1 and GLUT1 expression, and the analysis performed at 48 h after the transfection of Smad2/3 and/or Smad4 siRNAs showed that TGF-β1-mediated GLUT1 expression was significantly reduced. This change was more significant and the decrease in GLUT1 expression was more substantial when the cells were transfected simultaneously with both siRNAs (Figure 3G and H). Finally, HSCs were sequentially treated with the Smad inhibitor SIS3 for 2 h and then with TGF-β1 for 4 h, resulting in a significant decrease in GLUT1 protein expression (Figure 3E and F). These results preliminarily indicate the important regulatory role of Smad proteins in TGF-β1-mediated GLUT1 expression and suggest that Smad proteins directly participate in the regulation of GLUT1 by TGF-β1.\n\nTransforming growth factor-β1 induces glucose transporter 1 expression through the Smad pathway. A and B: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at various time points. Western blot analysis using specific antibodies (A). Quantitative analysis of the levels of the p-Smad2 and p-Smad3 proteins in five independent experiments (B); C and D: After transiently transfecting HSCs with 2 μg of Smad3 and/or Smad4 expression plasmids, the cells were cultured in serum-free medium for 48 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Green fluorescent protein (GFP) was used as a transfection control. Western blot analysis using specific antibodies (C). Quantitative analysis of glucose transporter 1 (GLUT1) protein expression in five independent experiments (D); E and F: HSCs were first pretreated with a Smad3 inhibitor (SIS3, 20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (E). Quantitative analysis of the GLUT1 protein level in five independent experiments (F); G and H: Mouse primary HSCs were transfected with 20 μmol/L control small interfering RNAs (siRNAs) or siRNAs targeting Smad2/3 and Smad4. After transfection in serum-free medium for 48 h, the cells were treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (G). Quantitative analysis of the GLUT1 protein level in five independent experiments (H) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with that in the group of cells without TGF-β1; dP < 0.05 for the comparison of the groups treated with TGF-β1 and the groups treated with TGF-β1 and different additional reagents; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; Con: Control; siRNAs: Small interfering RNAs.\nThe noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in TGF-β1-mediated GLUT1 induction During fibrosis development, TGF-β1 activates not only the canonical Smad pathway but also noncanonical pathways (such as the PI3K/AKT and p38 MAPK signaling pathways). In addition, the Smad pathway and non-Smad pathways are mutually dependent[28]. Therefore, we questioned whether a non-Smad pathway is involved in the TGF-β1-mediated induction of GLUT1. Changes in the phosphorylation levels of p38 and AKT in HSCs after TGF-β1 stimulation were examined to answer this question. Western blot analyses showed increased levels of phosphorylated p38 and AKT in HSCs after TGF-β1 treatment (Figure 4A-C). HSCs were pretreated with the specific p38 MAPK inhibitor SB203580 and the PI3K inhibitor LY294002 for 1 h and then induced with TGF-β1 to understand the bridging role of p38 MAPK and AKT in TGF-β1-mediated GLUT1 expression. Western blot analyses showed that p-AKT activity was significantly inhibited and that GLUT1 protein expression was significantly reduced (Figure 4D). S6 ribosomal protein and heat shock protein 25 (Hsp25) are downstream proteins in the PI3K/AKT and p38 MAPK pathways, and their phosphorylation was also inhibited. Addition of the p38 inhibitor reduced the phosphorylation of the S6 protein, and the phosphorylation level of Smad2 was also affected; however, Smad3 was not significantly affected (Figure 4D and E). The above results indicate that (1) GLUT1 expression in HSCs did not rely solely on the TGF-β1-mediated Smad pathway, i.e., the p38 MAPK and PI3K/AKT signaling pathways were also involved in TGF-β1-mediated GLUT1 expression, and (2) TGF-β1-mediated pathways did not act independently, as mutual restrictions and interactions between the pathways were observed. Based on the results described above, the effects of inhibiting the Smad3, p38 MAPK and PI3K/AKT pathways on GLUT1 expression were analyzed, and the simultaneous addition of inhibitors of the Smad3, p38 MAPK and PI3K/AKT pathways significantly reduced TGF-β1-mediated GLUT1 expression (Figure 4F and G). In summary, TGF-β1 requires the participation of non-Smad pathways to induce GLUT1 expression during HSC activation.\n\nThe noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in transforming growth factor-β1-mediated glucose transporter 1 expression. A-C: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at different time points. Western blot analysis using specific antibodies (A). Five independent experiments were performed to quantitatively analyze the levels of phosphorylated p38 (B) MAPK and AKT (C); D and E: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm) or the PI3K inhibitor LY294002 (10 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (D). Quantitative analysis of the levels of glucose transporter 1 (GLUT1) and phosphorylated Smad2 and Smad3 proteins (E); F and G: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm), the PI3K inhibitor LY294002 (10 μm) and the Smad inhibitor SIS3 (20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (F). Quantitative analysis of the GLUT1 protein level (G) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with the TGF-β1-treated group or the TGF-β1-untreated group, dP < 0.05, eP < 0.01 and fP < 0.001 for the comparison of the group treated with TGF-β1 and the groups treated with TGF-β1 and the corresponding inhibitors; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1.\nDuring fibrosis development, TGF-β1 activates not only the canonical Smad pathway but also noncanonical pathways (such as the PI3K/AKT and p38 MAPK signaling pathways). In addition, the Smad pathway and non-Smad pathways are mutually dependent[28]. Therefore, we questioned whether a non-Smad pathway is involved in the TGF-β1-mediated induction of GLUT1. Changes in the phosphorylation levels of p38 and AKT in HSCs after TGF-β1 stimulation were examined to answer this question. Western blot analyses showed increased levels of phosphorylated p38 and AKT in HSCs after TGF-β1 treatment (Figure 4A-C). HSCs were pretreated with the specific p38 MAPK inhibitor SB203580 and the PI3K inhibitor LY294002 for 1 h and then induced with TGF-β1 to understand the bridging role of p38 MAPK and AKT in TGF-β1-mediated GLUT1 expression. Western blot analyses showed that p-AKT activity was significantly inhibited and that GLUT1 protein expression was significantly reduced (Figure 4D). S6 ribosomal protein and heat shock protein 25 (Hsp25) are downstream proteins in the PI3K/AKT and p38 MAPK pathways, and their phosphorylation was also inhibited. Addition of the p38 inhibitor reduced the phosphorylation of the S6 protein, and the phosphorylation level of Smad2 was also affected; however, Smad3 was not significantly affected (Figure 4D and E). The above results indicate that (1) GLUT1 expression in HSCs did not rely solely on the TGF-β1-mediated Smad pathway, i.e., the p38 MAPK and PI3K/AKT signaling pathways were also involved in TGF-β1-mediated GLUT1 expression, and (2) TGF-β1-mediated pathways did not act independently, as mutual restrictions and interactions between the pathways were observed. Based on the results described above, the effects of inhibiting the Smad3, p38 MAPK and PI3K/AKT pathways on GLUT1 expression were analyzed, and the simultaneous addition of inhibitors of the Smad3, p38 MAPK and PI3K/AKT pathways significantly reduced TGF-β1-mediated GLUT1 expression (Figure 4F and G). In summary, TGF-β1 requires the participation of non-Smad pathways to induce GLUT1 expression during HSC activation.\n\nThe noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in transforming growth factor-β1-mediated glucose transporter 1 expression. A-C: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at different time points. Western blot analysis using specific antibodies (A). Five independent experiments were performed to quantitatively analyze the levels of phosphorylated p38 (B) MAPK and AKT (C); D and E: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm) or the PI3K inhibitor LY294002 (10 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (D). Quantitative analysis of the levels of glucose transporter 1 (GLUT1) and phosphorylated Smad2 and Smad3 proteins (E); F and G: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm), the PI3K inhibitor LY294002 (10 μm) and the Smad inhibitor SIS3 (20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (F). Quantitative analysis of the GLUT1 protein level (G) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with the TGF-β1-treated group or the TGF-β1-untreated group, dP < 0.05, eP < 0.01 and fP < 0.001 for the comparison of the group treated with TGF-β1 and the groups treated with TGF-β1 and the corresponding inhibitors; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1.\nThe effect of GLUT1 on HSC migration and proliferation Cells were first treated with phloretin (a specific inhibitor of GLUT1) for 30 min or transfected with an siRNA targeting GLUT1, followed by treatment with TGF-β1 for 4 h. The targeted inhibition of GLUT1 by phloretin and the siRNA suppressed the effect of TGF-β1 on the migration and proliferation of HSCs (Figure 5A, B and E). Western blot analyses also showed that siRNA transfection effectively inhibited TGF-β1-induced GLUT1 expression (Figure 5C and D). Therefore, inhibition of GLUT1 expression reverses the effect of TGF-β1 on the migration and proliferation of HSCs and delays the process of HSC transdifferentiation into myofibroblasts. No noticeable effect of the control siRNA on proliferation was identified between TGF-β1-treated cells and TGF-β1/siRNA-control-treated cells or between control/saline-treated cells and saline/siRNA-control-treated cells (Figure 5E). In addition, no obvious effect of siRNA interference on cell viability (Supplementary Figure 2) or the expression of TGF-β receptors was found (Supplementary Figure 3).\n\nThe effect of glucose transporter 1 on the growth and proliferation of hepatic stellate cell. Mouse primary hepatic stellate cells (HSCs) were 1) pretreated with the glucose transporter 1 (GLUT1) inhibitor phloretin (50 μm) for 30 min and then treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 4 h or 2) transiently transfected with small interfering RNAs that inhibited GLUT1 expression, cultured in serum-free medium for 24 h and then treated with TGF-β1 (3 ng/mL) for 4 h. A: Cells were seeded in serum-free medium (4 × 105 cells/well) in the upper chambers of a Transwell system. The lower chambers were filled with 5% glucose medium (700 μL per well). Changes in cell migration were observed. Representative images of crystal violet staining are shown; B: Quantitative data showing the number of migrating cells in each group; C: Western blot analysis using specific antibodies; D: Quantitative analysis of GLUT1 protein expression in three independent experiments; E: The effect of GLUT1 inhibition on the growth/proliferation of HSCs (mean ± SE; bP < 0.01 and cP < 0.001 compared with the group without TGF-β1; eP < 0.01 for the comparison of the TGF-β1-treated group with the groups subjected to TGF-β1 treatment and different interventions; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; siRNAs: Small interfering RNAs.\nCells were first treated with phloretin (a specific inhibitor of GLUT1) for 30 min or transfected with an siRNA targeting GLUT1, followed by treatment with TGF-β1 for 4 h. The targeted inhibition of GLUT1 by phloretin and the siRNA suppressed the effect of TGF-β1 on the migration and proliferation of HSCs (Figure 5A, B and E). Western blot analyses also showed that siRNA transfection effectively inhibited TGF-β1-induced GLUT1 expression (Figure 5C and D). Therefore, inhibition of GLUT1 expression reverses the effect of TGF-β1 on the migration and proliferation of HSCs and delays the process of HSC transdifferentiation into myofibroblasts. No noticeable effect of the control siRNA on proliferation was identified between TGF-β1-treated cells and TGF-β1/siRNA-control-treated cells or between control/saline-treated cells and saline/siRNA-control-treated cells (Figure 5E). In addition, no obvious effect of siRNA interference on cell viability (Supplementary Figure 2) or the expression of TGF-β receptors was found (Supplementary Figure 3).\n\nThe effect of glucose transporter 1 on the growth and proliferation of hepatic stellate cell. Mouse primary hepatic stellate cells (HSCs) were 1) pretreated with the glucose transporter 1 (GLUT1) inhibitor phloretin (50 μm) for 30 min and then treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 4 h or 2) transiently transfected with small interfering RNAs that inhibited GLUT1 expression, cultured in serum-free medium for 24 h and then treated with TGF-β1 (3 ng/mL) for 4 h. A: Cells were seeded in serum-free medium (4 × 105 cells/well) in the upper chambers of a Transwell system. The lower chambers were filled with 5% glucose medium (700 μL per well). Changes in cell migration were observed. Representative images of crystal violet staining are shown; B: Quantitative data showing the number of migrating cells in each group; C: Western blot analysis using specific antibodies; D: Quantitative analysis of GLUT1 protein expression in three independent experiments; E: The effect of GLUT1 inhibition on the growth/proliferation of HSCs (mean ± SE; bP < 0.01 and cP < 0.001 compared with the group without TGF-β1; eP < 0.01 for the comparison of the TGF-β1-treated group with the groups subjected to TGF-β1 treatment and different interventions; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; siRNAs: Small interfering RNAs.\nGLUT1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis \nIn vitro experiments confirmed the importance of GLUT1 in liver fibrosis. Next, we examined whether inhibition of GLUT1 expression suppressed liver fibrosis in vivo. Phloretin, a specific inhibitor of GLUT1, was used, and its effect on CCl4-induced liver fibrosis was examined. After successful establishment of the CCl4-induced model, an i.p. injection of phloretin was administered three times a week; the intervention was discontinued after 2 wk. A simple technical roadmap is shown in Figure 6A. Compared with those in the model group, the areas of collagen fiber deposition were significantly reduced in the liver tissues from mice in the drug intervention group; these findings were confirmed by Masson’s trichrome and Sirius red staining (Figure 6B-D). The degree of liver inflammation was determined by performing serological assessments of changes in ALT and AST levels, and the results indicated that the degree of inflammation was significantly reduced in the drug intervention group (Figure 6E and F). Therefore, the in vivo results revealed that GLUT1 inhibition reduces CCl4-induced liver fibrosis.\n\nGlucose transporter 1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis. A: Schematic diagram of the experiment. C57BL/6 mice were injected intraperitoneally with CCl4 to induce liver fibrosis. The model was successfully established after 4 wk. Among the treatment groups, the CCl4 + phloretin group was intraperitoneally injected with phloretin (10 mg/kg) three times a week, and the CCl4 group was injected with normal saline as a control. The treatments were discontinued after 2 wk; B: Mouse livers were collected, and liver tissue sections were prepared. The sections were subjected to Masson’s trichrome staining, Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining (original magnification, × 10); C: The positive area ratio detected using Sirius red staining; D: The positive area ratio for α-SMA IHC staining; E and F: Serological analysis of ALT (E) and AST (F) levels (n = 5-7; the mean ± SE; scale bar, 100 μm; aP < 0.05 for the comparison between the CCl4 group and the CCl4 + phloretin group; Student’s t test). α-SMA: Alpha-smooth muscle actin.\n\nIn vitro experiments confirmed the importance of GLUT1 in liver fibrosis. Next, we examined whether inhibition of GLUT1 expression suppressed liver fibrosis in vivo. Phloretin, a specific inhibitor of GLUT1, was used, and its effect on CCl4-induced liver fibrosis was examined. After successful establishment of the CCl4-induced model, an i.p. injection of phloretin was administered three times a week; the intervention was discontinued after 2 wk. A simple technical roadmap is shown in Figure 6A. Compared with those in the model group, the areas of collagen fiber deposition were significantly reduced in the liver tissues from mice in the drug intervention group; these findings were confirmed by Masson’s trichrome and Sirius red staining (Figure 6B-D). The degree of liver inflammation was determined by performing serological assessments of changes in ALT and AST levels, and the results indicated that the degree of inflammation was significantly reduced in the drug intervention group (Figure 6E and F). Therefore, the in vivo results revealed that GLUT1 inhibition reduces CCl4-induced liver fibrosis.\n\nGlucose transporter 1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis. A: Schematic diagram of the experiment. C57BL/6 mice were injected intraperitoneally with CCl4 to induce liver fibrosis. The model was successfully established after 4 wk. Among the treatment groups, the CCl4 + phloretin group was intraperitoneally injected with phloretin (10 mg/kg) three times a week, and the CCl4 group was injected with normal saline as a control. The treatments were discontinued after 2 wk; B: Mouse livers were collected, and liver tissue sections were prepared. The sections were subjected to Masson’s trichrome staining, Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining (original magnification, × 10); C: The positive area ratio detected using Sirius red staining; D: The positive area ratio for α-SMA IHC staining; E and F: Serological analysis of ALT (E) and AST (F) levels (n = 5-7; the mean ± SE; scale bar, 100 μm; aP < 0.05 for the comparison between the CCl4 group and the CCl4 + phloretin group; Student’s t test). α-SMA: Alpha-smooth muscle actin.", "The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether GLUT1 is related to liver fibrosis. Successful establishment of the liver fibrosis model was confirmed by Sirius red staining and α-SMA IHC staining (Figure 1A-C). Notably, a significant increase in GLUT1 expression was detected in the liver tissue specimens from the model group (Figure 1A and D). Subsequently, tissue immunofluorescence staining was performed, and the results showed significantly increased GLUT1 expression in liver tissue samples from the CCl4 liver fibrosis model. More importantly, GLUT1 colocalized with α-SMA, indicating a correlation between GLUT1 and liver fibrosis (Figure 1E). IHC staining for GLUT1 and α-SMA was performed using human liver fibrosis specimens and liver specimens from a healthy control group; as expected, GLUT1 expression was significantly higher in the human liver fibrosis specimens (Figure 1F). Finally, whole-liver lysates were prepared from human liver tissue specimens and specimens from the mouse liver fibrosis model, and GLUT1 protein expression was analyzed. The results were consistent with the IHC data (Figure 1G-H). In summary, these results indicate that GLUT1 expression is related to liver fibrosis progression.\n\nGlucose transporter 1 expression is correlated with liver fibrosis progression. A-D: The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether glucose transporter 1 (GLUT1) is related to liver fibrosis. Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining were used to confirm that the liver fibrosis model was successfully established, and then the mice were randomly divided into the CCl4 group and the control oil group (n = 6-10 mice/group) (A); Evaluation of liver fibrosis using Sirius red staining (B); Determination of the area ratio of positive IHC staining for α-SMA in the mouse CCl4-induced liver fibrosis model (C); GLUT1 expression was more abundant in the liver tissue samples from the model group (D); E and F: Immunofluorescence staining for GLUT1 (red) and α-SMA (green) in the CCl4 model. Cell nuclei were counterstained with DAPI. Scale bar for immunofluorescence staining, 200 μm; scale bars for IHC staining and Sirius red staining, 200 μm; G: IHC staining for α-SMA and GLUT1 in the healthy control and liver fibrosis groups (scale bar, 100 μm); H: Western blot analysis of changes in GLUT1 protein levels in the oil group and the CCl4 model group; I: Western blot analysis of GLUT1 protein expression in human liver tissues from the healthy control group and the liver fibrosis group. Data in B-D, G and H are presented as the mean ± SE. Statistically significant differences were detected (compared with the oil group, aP < 0.05 and bP < 0.01; compared with the healthy control group, dP < 0.05). GLUT1: Glucose transporter 1; α-SMA: Alpha-smooth muscle actin.", "We found that GLUT1 colocalized with α-SMA, indicating that GLUT1 expression was increased mainly in activated HSCs because α-SMA is a major marker of HSC transdifferentiation. TGF-β1 is a very important profibrotic factor and regulates metabolic reprogramming in pulmonary fibrosis[27], as reported in some studies. Therefore, we questioned whether the increase in GLUT1 expression in liver fibrosis and TGF-β1 are related. This study first determined the effect of TGF-β1 on glycolysis in HSCs. To assess the dose responses to TGF-β1, we incubated HSCs with different TGF-β1 concentrations ranging from 3 ng/mL to 5 ng/mL, and the results showed similar effects on GLUT1 protein levels (Supplementary Figure 1). Therefore, a TGF-β1 concentration of 3 ng/mL was used for subsequent experiments. Mouse primary HSCs were isolated and cultured, and the cells were stimulated with TGF-β1 for 24 h prior to the experiments. TGF-β1 stimulation led to an early and continuous increase in the ECAR (an indicator of extracellular acid production) in HSCs, indicating that glycolysis was enhanced in these cells (Figure 2A and B). In addition, the intracellular and extracellular levels (in the medium) of lactic acid were examined to further confirm the glycolytic changes in HSCs. Both intracellular and extracellular lactic acid levels were significantly increased. Consistent with the increase in glycolysis, the level of glucose consumption also increased in these cells (Figure 2C and D). Therefore, TGF-β1 induces glycolysis during the process of HSC transdifferentiation. The expression levels of key glycolytic enzymes in these cells were evaluated; the expression levels of HK-2, PKM-2 and GLUT1 were upregulated, and the increase in GLUT1 expression was particularly significant (Figure 2F-H). Based on these findings, the increase in glycolysis during HSC transdifferentiation is related to the upregulation of key glycolysis enzymes. Similarly, the expression of α-SMA, a marker of transdifferentiation, also increased during the TGF-β1-mediated activation of HSCs (Figure 2I). GLUT1 protein expression was examined at various time points after stimulating HSCs with TGF-β1 (3 ng/mL) to determine whether TGF-β1 stimulates GLUT1 expression in a time-dependent manner, and the results showed that GLUT1 expression increased 2 h after stimulation with TGF-β1 and peaked at 8 h. These results indicate a time-dependent relationship between the increase in GLUT1 expression and TGF-β1 stimulation, which is consistent with the early increase in aerobic glycolysis in HSCs (Figure 2J). Finally, the addition of an inhibitor of the type 1 TGF-β1 receptor inhibited TGF-β1-induced GLUT1 expression in HSCs, suggesting that GLUT1 induction was mediated by TGF-β1 (Figure 2K). Based on these data, TGF-β1 is involved in glycolysis during HSC transdifferentiation and mediates GLUT1 expression, thereby promoting HSC transdifferentiation.\n\nStimulation of hepatic stellate cells with transforming growth factor-β1 induces glucose transporter 1 expression and promotes glycolysis. A: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were seeded into Seahorse XF-24 cell culture microplates (5 × 104 cells/well). The cells were first treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 0, 6 or 24 h, followed by sequential treatment with oligomycin (Oligo) and carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone (FCCP). The extracellular acidification rate (ECAR) was recorded in real time; B: The basic ECAR. n = 6; the mean ± SE; aP < 0.05 compared to the level before TGF-β1 treatment (0 h); unpaired t test; C and D: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. The cells were then lysed, and the lactic acid contents in the cell lysate (C) and the culture medium (D) were examined; E: Determination of glucose consumption in the culture medium; F-I: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. RNA was purified, and RT-PCR was performed to examine the expression levels of glucose transporter 1 (GLUT1) (F), HK-2 (G), PKM-2 (H) and α-SMA (I), n = 5, the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with those at 0 h or those in the TGF-β1-untreated group; one-way analysis of variance (ANOVA); J: Western blot analysis of the expression levels of GLUT1 and tubulin at various time points after HSCs were treated with TGF-β1 (3 ng/mL); K: Examination of the changes in GLUT1 and tubulin levels after sequential treatment with a type 1 TGF-β receptor inhibitor (LY2109761, 2 μm) for 1 h and then with TGF-β1 (3 ng/mL) for 0, 8 or 24 h. All experiments shown in A-E and F-I were performed 2-3 times. Inhi: Inhibitor; Con: Control; FCCP: Carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone; ECAR: Extracellular acidification rate; GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1.", "After finding that TGF-β1 stimulation induces GLUT1 expression, the specific mechanism by which TGF-β1 induces GLUT1 expression was further explored. Changes in the expression levels of Smad proteins in the canonical pathway activated by TGF-β1 stimulation were first examined. Western blot analysis revealed a time-dependent relationship between Smad2/Smad3 phosphorylation and TGF-β1 stimulation (Figure 3A and B), and phosphorylation occurred at time points close to when GLUT1 expression increased. Next, the direct role of Smads in GLUT1 induction was explored. Smad3 or Smad4 overexpression plasmids were first transiently transfected into HSCs, and then certain groups of HSCs were induced with TGF-β1 for 4 h. Smad3 or Smad4 overexpression promoted GLUT1 expression, and TGF-β1 addition amplified these effects, resulting in a further increase in GLUT1 expression (Figure 3C and D). Smad2/3 and/or Smad4 siRNAs were used to silence their expression levels and to better understand the roles of Smads in the relationship between TGF-β1 and GLUT1 expression, and the analysis performed at 48 h after the transfection of Smad2/3 and/or Smad4 siRNAs showed that TGF-β1-mediated GLUT1 expression was significantly reduced. This change was more significant and the decrease in GLUT1 expression was more substantial when the cells were transfected simultaneously with both siRNAs (Figure 3G and H). Finally, HSCs were sequentially treated with the Smad inhibitor SIS3 for 2 h and then with TGF-β1 for 4 h, resulting in a significant decrease in GLUT1 protein expression (Figure 3E and F). These results preliminarily indicate the important regulatory role of Smad proteins in TGF-β1-mediated GLUT1 expression and suggest that Smad proteins directly participate in the regulation of GLUT1 by TGF-β1.\n\nTransforming growth factor-β1 induces glucose transporter 1 expression through the Smad pathway. A and B: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at various time points. Western blot analysis using specific antibodies (A). Quantitative analysis of the levels of the p-Smad2 and p-Smad3 proteins in five independent experiments (B); C and D: After transiently transfecting HSCs with 2 μg of Smad3 and/or Smad4 expression plasmids, the cells were cultured in serum-free medium for 48 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Green fluorescent protein (GFP) was used as a transfection control. Western blot analysis using specific antibodies (C). Quantitative analysis of glucose transporter 1 (GLUT1) protein expression in five independent experiments (D); E and F: HSCs were first pretreated with a Smad3 inhibitor (SIS3, 20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (E). Quantitative analysis of the GLUT1 protein level in five independent experiments (F); G and H: Mouse primary HSCs were transfected with 20 μmol/L control small interfering RNAs (siRNAs) or siRNAs targeting Smad2/3 and Smad4. After transfection in serum-free medium for 48 h, the cells were treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (G). Quantitative analysis of the GLUT1 protein level in five independent experiments (H) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with that in the group of cells without TGF-β1; dP < 0.05 for the comparison of the groups treated with TGF-β1 and the groups treated with TGF-β1 and different additional reagents; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; Con: Control; siRNAs: Small interfering RNAs.", "During fibrosis development, TGF-β1 activates not only the canonical Smad pathway but also noncanonical pathways (such as the PI3K/AKT and p38 MAPK signaling pathways). In addition, the Smad pathway and non-Smad pathways are mutually dependent[28]. Therefore, we questioned whether a non-Smad pathway is involved in the TGF-β1-mediated induction of GLUT1. Changes in the phosphorylation levels of p38 and AKT in HSCs after TGF-β1 stimulation were examined to answer this question. Western blot analyses showed increased levels of phosphorylated p38 and AKT in HSCs after TGF-β1 treatment (Figure 4A-C). HSCs were pretreated with the specific p38 MAPK inhibitor SB203580 and the PI3K inhibitor LY294002 for 1 h and then induced with TGF-β1 to understand the bridging role of p38 MAPK and AKT in TGF-β1-mediated GLUT1 expression. Western blot analyses showed that p-AKT activity was significantly inhibited and that GLUT1 protein expression was significantly reduced (Figure 4D). S6 ribosomal protein and heat shock protein 25 (Hsp25) are downstream proteins in the PI3K/AKT and p38 MAPK pathways, and their phosphorylation was also inhibited. Addition of the p38 inhibitor reduced the phosphorylation of the S6 protein, and the phosphorylation level of Smad2 was also affected; however, Smad3 was not significantly affected (Figure 4D and E). The above results indicate that (1) GLUT1 expression in HSCs did not rely solely on the TGF-β1-mediated Smad pathway, i.e., the p38 MAPK and PI3K/AKT signaling pathways were also involved in TGF-β1-mediated GLUT1 expression, and (2) TGF-β1-mediated pathways did not act independently, as mutual restrictions and interactions between the pathways were observed. Based on the results described above, the effects of inhibiting the Smad3, p38 MAPK and PI3K/AKT pathways on GLUT1 expression were analyzed, and the simultaneous addition of inhibitors of the Smad3, p38 MAPK and PI3K/AKT pathways significantly reduced TGF-β1-mediated GLUT1 expression (Figure 4F and G). In summary, TGF-β1 requires the participation of non-Smad pathways to induce GLUT1 expression during HSC activation.\n\nThe noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in transforming growth factor-β1-mediated glucose transporter 1 expression. A-C: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at different time points. Western blot analysis using specific antibodies (A). Five independent experiments were performed to quantitatively analyze the levels of phosphorylated p38 (B) MAPK and AKT (C); D and E: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm) or the PI3K inhibitor LY294002 (10 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (D). Quantitative analysis of the levels of glucose transporter 1 (GLUT1) and phosphorylated Smad2 and Smad3 proteins (E); F and G: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm), the PI3K inhibitor LY294002 (10 μm) and the Smad inhibitor SIS3 (20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (F). Quantitative analysis of the GLUT1 protein level (G) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with the TGF-β1-treated group or the TGF-β1-untreated group, dP < 0.05, eP < 0.01 and fP < 0.001 for the comparison of the group treated with TGF-β1 and the groups treated with TGF-β1 and the corresponding inhibitors; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1.", "Cells were first treated with phloretin (a specific inhibitor of GLUT1) for 30 min or transfected with an siRNA targeting GLUT1, followed by treatment with TGF-β1 for 4 h. The targeted inhibition of GLUT1 by phloretin and the siRNA suppressed the effect of TGF-β1 on the migration and proliferation of HSCs (Figure 5A, B and E). Western blot analyses also showed that siRNA transfection effectively inhibited TGF-β1-induced GLUT1 expression (Figure 5C and D). Therefore, inhibition of GLUT1 expression reverses the effect of TGF-β1 on the migration and proliferation of HSCs and delays the process of HSC transdifferentiation into myofibroblasts. No noticeable effect of the control siRNA on proliferation was identified between TGF-β1-treated cells and TGF-β1/siRNA-control-treated cells or between control/saline-treated cells and saline/siRNA-control-treated cells (Figure 5E). In addition, no obvious effect of siRNA interference on cell viability (Supplementary Figure 2) or the expression of TGF-β receptors was found (Supplementary Figure 3).\n\nThe effect of glucose transporter 1 on the growth and proliferation of hepatic stellate cell. Mouse primary hepatic stellate cells (HSCs) were 1) pretreated with the glucose transporter 1 (GLUT1) inhibitor phloretin (50 μm) for 30 min and then treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 4 h or 2) transiently transfected with small interfering RNAs that inhibited GLUT1 expression, cultured in serum-free medium for 24 h and then treated with TGF-β1 (3 ng/mL) for 4 h. A: Cells were seeded in serum-free medium (4 × 105 cells/well) in the upper chambers of a Transwell system. The lower chambers were filled with 5% glucose medium (700 μL per well). Changes in cell migration were observed. Representative images of crystal violet staining are shown; B: Quantitative data showing the number of migrating cells in each group; C: Western blot analysis using specific antibodies; D: Quantitative analysis of GLUT1 protein expression in three independent experiments; E: The effect of GLUT1 inhibition on the growth/proliferation of HSCs (mean ± SE; bP < 0.01 and cP < 0.001 compared with the group without TGF-β1; eP < 0.01 for the comparison of the TGF-β1-treated group with the groups subjected to TGF-β1 treatment and different interventions; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; siRNAs: Small interfering RNAs.", "\nIn vitro experiments confirmed the importance of GLUT1 in liver fibrosis. Next, we examined whether inhibition of GLUT1 expression suppressed liver fibrosis in vivo. Phloretin, a specific inhibitor of GLUT1, was used, and its effect on CCl4-induced liver fibrosis was examined. After successful establishment of the CCl4-induced model, an i.p. injection of phloretin was administered three times a week; the intervention was discontinued after 2 wk. A simple technical roadmap is shown in Figure 6A. Compared with those in the model group, the areas of collagen fiber deposition were significantly reduced in the liver tissues from mice in the drug intervention group; these findings were confirmed by Masson’s trichrome and Sirius red staining (Figure 6B-D). The degree of liver inflammation was determined by performing serological assessments of changes in ALT and AST levels, and the results indicated that the degree of inflammation was significantly reduced in the drug intervention group (Figure 6E and F). Therefore, the in vivo results revealed that GLUT1 inhibition reduces CCl4-induced liver fibrosis.\n\nGlucose transporter 1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis. A: Schematic diagram of the experiment. C57BL/6 mice were injected intraperitoneally with CCl4 to induce liver fibrosis. The model was successfully established after 4 wk. Among the treatment groups, the CCl4 + phloretin group was intraperitoneally injected with phloretin (10 mg/kg) three times a week, and the CCl4 group was injected with normal saline as a control. The treatments were discontinued after 2 wk; B: Mouse livers were collected, and liver tissue sections were prepared. The sections were subjected to Masson’s trichrome staining, Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining (original magnification, × 10); C: The positive area ratio detected using Sirius red staining; D: The positive area ratio for α-SMA IHC staining; E and F: Serological analysis of ALT (E) and AST (F) levels (n = 5-7; the mean ± SE; scale bar, 100 μm; aP < 0.05 for the comparison between the CCl4 group and the CCl4 + phloretin group; Student’s t test). α-SMA: Alpha-smooth muscle actin.", "In normal liver tissues, quiescent HSCs express TGF-β1 at low levels, while TGF-β1 is immediately upregulated after acute or chronic liver injury and interacts with multiple signaling pathways to induce HSC activation and proliferation and extensive ECM production[29,30]. TGF-β1 enhances aerobic glycolysis, amino acid uptake and lactic acid production in Ras- and Myc-transformed cells. TGF-β1 contributes to the metabolic reprogramming of cancer cells and tumor-associated stromal cells[31]. When used to replace a peritoneal dialysis solution, TGF-β1 stimulates glycolysis and inhibits mitochondrial respiration of mesothelial cells, thus promoting the development of peritoneal fibrosis[32]. Preliminary yet strong evidence supporting the importance of metabolic reprogramming in the activation of fibroblasts is steadily accumulating. Research on the mechanism of organ fibrosis also shows that TGF-β1 is related to the occurrence of aerobic glycolysis and mitochondrial dysfunction. The transdifferentiation of resting HSCs into hepatic fibroblasts has been confirmed to be related to mutual transformation between glycolytic enzymes and gluconeogenic enzymes triggered by Hedgehog signaling[33]. Glycolysis is an important pathway of glucose metabolism, and GLUT1 is the most widely expressed glucose transporter in mammals; its expression is regulated by changes in metabolic status and oxidative stress. GLUT1 is also an important marker of liver carcinogenesis and metabolic liver diseases[34]. GLUT1-dependent glycolysis exacerbates lung fibrogenesis during Streptococcus pneumoniae infection via AIM2 inflammasome activation[35]. In the pathogenesis of diabetic glomerulosclerosis, TGF-β1 triggers GLUT1 activation by stretching glomerular mesangial cells. In breast cancer cells, long-term exposure to TGF-β1 restores GLUT1 expression and results in stable EMT and unlimited cell proliferation[36,37]. Therefore, we questioned whether TGF-β1 and GLUT1 are related to liver fibrosis.\nThis study showed a significant increase in GLUT1 expression in human and mouse fibrotic liver tissues, which is consistent with the research results of Wan et al[24]. With the increase in TGF-β1 Levels, the gene expression levels of key enzymes, including GLUT1, in the glycolytic pathway are elevated, glucose consumption and intracellular lactate production are also increased, and glycolytic flux by HSCs is enhanced. As expected, the results of this study are consistent with those of previous studies assessing the mechanism of metabolic reprogramming of pulmonary fibrotic fibroblasts[38], indicating that TGF-β1 induces aerobic glycolysis and drives the occurrence of metabolic reprogramming during the process of stromal cell transdifferentiation. Increased GLUT1 expression also contributes to an elevated glycolytic rate, increased lactic acid production and enhanced glucose-dependent metabolic pathways in cells. In contrast, GLUT1 expression decreased significantly after the addition of a TGF-β1 receptor inhibitor, indicating that GLUT1 expression is related to TGF-β1 signaling. Experiments involving Smad overexpression, siRNA-mediated knockout and Smad inhibitors showed that the response of GLUT1 to TGF-β1 was at least partially dependent on the Smad pathway. Studies have identified a cascade of related pathways activated by TGF-β1. Therefore, this study attempted to verify whether non-Smad pathways were also involved in the induction of GLUT1 expression in HSCs. The noncanonical PI3K/AKT and p38 MAPK pathways activated by TGF-β1 were examined. In colorectal cancer (CRC) cells, silencing GLUT1 expression inactivates the TGF-β1/PI3K/AKT signaling pathway, inhibits the proliferation of CRC cells and promotes apoptosis. MAPK activation by TGF-β1 may trigger GLUT1 synthesis[39,40]. Based on the results of the present study, the simultaneous addition of specific inhibitors of the PI3K/AKT and p38 pathways, i.e., SB203580 and LY294002, respectively, reduced TGF-β1-induced GLUT1 protein expression. The addition of the p38 pathway inhibitor resulted in a decrease in Smad2 protein phosphorylation, changes in the phosphorylated AKT level and changes in the phosphorylation level of a protein downstream of PI3K/AKT signaling (namely, S6); therefore, we speculated that the p38 MAPK pathway acted as a bridge between the TGF-β1-mediated Smad and AKT pathways in HSCs and that reduced activation of the p38 MAPK pathway would inhibit the latter two pathways. In addition, the p38 MAPK pathway might limit Smad pathway-mediated GLUT1 expression to a certain extent. These results are consistent with the previously reported crosstalk between Smad and p38 MAPK in TGF-β1 signal transduction in human glioblastoma cells[41]. However, the specific mechanism underlying the interaction among TGF-β1 pathways in the induction of aerobic glycolysis in stellate cells requires further study. The significant reduction in GLUT1 protein expression was related to the simultaneous inhibition of the Smad3, p38 MAPK and PI3K signaling pathways, indicating that GLUT1 protein expression during stellate cell activation requires the activation and signaling of these three pathways. Moreover, activation of the p38 MAPK pathway might result in a certain synergistic effect with the Smad2/3 pathway (Figure 7).\n\nSchematic representation of the mechanisms implicated in canonical and noncanonical transforming growth factor-β pathways regulating glucose transporter 1 expression. TGF-β1: Transforming growth factor-β1; GLUT1: Glucose transporter 1; MF-HSC: Myofibroblasts-hepatic stellate cells; α-SMA: Alpha-smooth muscle actin.\nTGF-β1 is a pleiotropic cytokine with an important role in the occurrence of liver fibrosis. According to previous studies, TGF-β1 signaling clearly promotes cell migration, matrix synthesis and HSC differentiation toward myofibroblasts. Moreover, the effect of TGF-β1 on fibroblast migration and proliferation depends on changes in the microenvironment[42]. As shown in the present study, TGF-β1 promoted the proliferative and migratory capabilities of HSCs, functions that are hallmarks of cell transformation. The addition of a pharmacological inhibitor of GLUT1 activity (phloretin, an effective GLUT1 inhibitor capable of inhibiting bleomycin-induced pulmonary fibrosis in vivo[43]) and silencing of the GLUT1 gene eliminated TGF-β1-induced proliferation, growth and migration. Finally, a GLUT1 inhibitor was used in in vivo experiments, and the degree of mouse liver fibrosis improved, collagen fiber deposition decreased, and the degree of inflammation decreased. Given the importance of GLUT1, the experimental results revealed that GLUT1 is involved in aerobic glycolysis during HSC activation and that aerobic glycolysis is a response to TGF-β1 signaling mediated by the Smad, PI3K/AKT and p38 MAPK pathways.", "In summary, TGF-β1-induced GLUT1 expression may be one of the mechanisms involved in the reprogramming of HSCs, providing an expanded basis and new insights for the mechanism of action of TGF-β1 in metabolic reprogramming during liver fibrosis. GLUT1 plays an important role in aerobic glycolysis in HSCs and in promoting cell proliferation and transformation. GLUT1 inhibition may be an alternative therapy to the current traditional treatments for liver fibrosis. However, the extent to which GLUT1 inhibition contributes to elimination of the profibrotic effect of TGF-β1 and the specific molecular mechanisms of the interaction between the two may require verification using approaches combining proteomics and single-cell sequencing, which may be an attractive research direction in the future." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "INTRODUCTION", "MATERIALS AND METHODS", "Reagents and antibodies", "Generation of a mouse model of liver fibrosis", "Patient liver samples", "Western blot analysis", "Cells and cell culture", "Histological and immunohistochemical studies", "RNA interference", "Glycolytic function assay and lactate measurements", "Cell counting kit-8 assay", "Biochemical function analysis", "RNA extraction and real-time polymerase chain reaction", "Transwell migration assay", "Tissue immunofluorescence staining", "Statistical analysis", "RESULTS", "GLUT1 expression is correlated with liver fibrosis progression", "TGF-β1 stimulates HSC activation by inducing GLUT1 expression and promoting aerobic glycolysis", "TGF-β1 induces GLUT1 expression through the Smad pathway", "The noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in TGF-β1-mediated GLUT1 induction", "The effect of GLUT1 on HSC migration and proliferation", "GLUT1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis", "DISCUSSION", "CONCLUSION" ]
[ "Liver fibrosis is the inevitable result of chronic liver inflammation caused by various etiologies. With progressive destruction of liver parenchymal cells, liver fibrosis eventually develops into liver cirrhosis and even liver cancer[1,2]. Although liver cirrhosis and liver cancer are irreversible, liver fibrosis can be reversed. Therefore, the mechanism of and clinical studies on liver fibrosis have always been the focus of liver disease research. The main pathological feature of liver fibrosis is the excessive deposition of extracellular matrix (ECM), while the key initiating factors are activation of quiescent hepatic stellate cells (HSCs) and transformation of their phenotypes and functions[3]. The transforming growth factor-β1 (TGF-β1) pathway is the key fibrogenic pathway that drives HSC activation and induces ECM production. HSC activation requires metabolic reprogramming and a continuous energy supply[4,5]. Aerobic glycolysis is an important metabolic characteristic of the transdifferentiation of quiescent stellate cells, a process similar to the Warburg effect in tumor cells, and the core metabolic changes include a transition from oxidative phosphorylation to aerobic glycolysis[6]. Dysregulated glycolysis has been implicated in experimental models of lung and liver fibrosis, and inhibition of glycolysis reduces ECM accumulation[7]. In view of the mechanisms involved, targeting and inhibiting the metabolic reprogramming of activated HSCs during liver fibrosis may be a promising anti-liver fibrosis strategy.\nTGF-β1 is a multifunctional cytokine and a major profibrotic cytokine that regulates cell differentiation, cell proliferation and ECM production and directly regulates multiple cellular signal transduction networks[8]. In the canonical TGF-β1/mothers-against-decapentaplegic-homolog 2/3 (Smad2/3) pathway, ligands induce the assembly of the TGF-β1 receptor I (TβRI)/TGF-β1 receptor II (TβRII) heterocomplex, which targets Smad4 via Smad2 and Smad3 proteins to form the Smad complex, leading to phosphorylation and nuclear translocation of Smad2/3; this R-Smad/Co-Smad4 complex translocates to the nucleus where it binds to DNA either directly or in association with other DNA-binding proteins[9-11]. Phosphorylated Smad2/3 binds to specific Smad binding elements (SBEs) in gene promoter regions to activate/suppress the expression of target genes[12,13]. In addition to Smads, TGF-β1 also triggers other protein-mediated signaling pathways, e.g., p38, mitogen-activated protein kinases (MAPKs) and phosphoinositide 3-kinase (PI3K). Some functions of TGF-β1 have been studied in depth, such as the mediation of cell differentiation and proliferation. However, TGF-β1 has recently been reported to induce aerobic glycolysis and is considered a driving factor in metabolic reprogramming[14]. TGF-β is also a strong activator of glycolysis in mesenchymal cells[15]. Extracellular accumulation of lactic acid induces epithelial-mesenchymal transition (EMT) by directly reconstituting the ECM and releasing activated TGF-β1. EMT induced by TGF-β in hepatocellular carcinoma cells reprograms lipid metabolism to sustain the elevated energy requirements associated with this process[16]. Research on the mechanism of idiopathic pulmonary fibrosis has shown that TGF-β1-induced aerobic glycolysis causes lactic acid accumulation and changes the cellular microenvironment, thereby activating latent TGF-β1 in the ECM and eventually forming a positive feedback loop to promote the effects of TGF-β1[17].\nGlucose transporter 1 (GLUT1) is a member of the GLUT transporter family, the most conserved and most widely distributed glucose transporter in mammals and the main transporter regulating glucose uptake[18]. An increasing number of studies have found that GLUT1 plays an important role in accelerated metabolism. Research on the mechanism of neurodegenerative diseases has revealed that GLUT1 controls the activation of microglia by promoting aerobic glycolysis[19]. GLUT1 enhances the stimulating effect of TGF-β1 on mesangial cells, breast cancer cells and pancreatic cancer cells. As glucose uptake increases during TGF-β1-induced EMT of breast cancer cells, GLUT1 expression also increases and is correlated with EMT markers (including E-cadherin and vimentin). GLUT1 is the key mediator of the aerobic glycolysis phenotype in ovarian cancer and is required to maintain a high level of basic aerobic glycolysis. In models of bleomycin-induced pulmonary fibrosis, GLUT1-dependent aerobic glycolysis has been reported to be essential for pulmonary parenchymal fibrosis[20-23]. Certain signaling molecules (such as cAMP, p53, PI3K and AKT) reduce alpha-smooth muscle actin (α-SMA) protein expression in primary mouse fibroblasts by inhibiting GLUT1 expression. Exosomes secreted by activated HSCs affect the metabolic switch of liver nonparenchymal cells through delivery of the glycolysis-related proteins GLUT1 and PKM2; GLUT1 is involved in metabolic reprogramming of HSCs[24]. TGF-β1 and GLUT1 play important regulatory roles in metabolic reprogramming. To date, however, researchers have not explored whether the increases in TGF-β1 and GLUT1 Levels during HSC activation are related. Therefore, this study investigated the effect of the TGF-β1 signaling pathway on the regulation of GLUT1 and aerobic glycolysis. We hypothesized that TGF-β1 drives HSC activation and aerobic glycolysis by inducing GLUT1 expression, thereby promoting liver fibrosis progression. As shown in the present study, GLUT1 expression was significantly increased in mouse and human fibrotic liver tissue samples. Further in vitro experiments showed that the aerobic glycolysis capacity of HSCs was enhanced and GLUT1 expression increased with increasing TGF-β1 Levels. Inhibition/ promotion of the Smad2/3 signaling pathway and inhibition of the p38 and PI3K/AKT signaling pathways confirmed that TGF-β1 induced GLUT1 expression by targeting the pSmad2/3, p38 and PI3K/AKT pathways, thus promoting HSC activation. Finally, administration of a specific GLUT1 inhibitor in a mouse model of liver fibrosis resulted in a significant reduction in liver fibrosis. Based on these findings, the TGF-β1 signaling pathway enhances aerobic glycolysis by promoting GLUT1 expression, thereby promoting the development of liver fibrosis.", "Reagents and antibodies The TGF-β1 antibody was purchased from R&D Systems (Minneapolis, MN, United States); antibodies against GLUT1, p-Smad2/3, Smad2/3, p-P38, p-AKT and desmin were purchased from Abcam (Cambridge, MA, United States), and the tubulin antibody was purchased from Research Diagnostics (Flanders, NJ, United States). The anti-α-SMA antibody, carbon tetrachloride (CCl4), corn oil, OptiPrep and other chemicals and reagents were purchased from Sigma-Aldrich (St. Louis, MO, United States) and Fisher Scientific (Waltham, MA, United States). A TβRI/II inhibitor (APExBIO Technology, United States) was used at 2 μmol/L. Inhibitors of p38 MAPK and PI3K, namely, SB203580 and LY294002, respectively, were purchased from Abcam (Cambridge, MA, United States). The Smad3 inhibitors SIS3 and phloretin were purchased from Abcam (Cambridge, MA, United States).\nThe TGF-β1 antibody was purchased from R&D Systems (Minneapolis, MN, United States); antibodies against GLUT1, p-Smad2/3, Smad2/3, p-P38, p-AKT and desmin were purchased from Abcam (Cambridge, MA, United States), and the tubulin antibody was purchased from Research Diagnostics (Flanders, NJ, United States). The anti-α-SMA antibody, carbon tetrachloride (CCl4), corn oil, OptiPrep and other chemicals and reagents were purchased from Sigma-Aldrich (St. Louis, MO, United States) and Fisher Scientific (Waltham, MA, United States). A TβRI/II inhibitor (APExBIO Technology, United States) was used at 2 μmol/L. Inhibitors of p38 MAPK and PI3K, namely, SB203580 and LY294002, respectively, were purchased from Abcam (Cambridge, MA, United States). The Smad3 inhibitors SIS3 and phloretin were purchased from Abcam (Cambridge, MA, United States).\nGeneration of a mouse model of liver fibrosis The animal protocol was designed to minimize pain or discomfort to the animals. The animals were acclimated to laboratory conditions (22 °C, 12-h/12-h light/dark cycle, 50% humidity, ad libitum access to food and water) for 1 wk prior to experimentation. The methods and experimental procedures were carried out in accordance with the relevant guidelines and regulations. Mice (C57BL6, eight to ten weeks old) were housed in standard conditions, and sex-matched mice were treated with 2.0 μL/g body weight CCl4 [diluted 1:10 (v/v) with corn oil] or corn oil as a control by intraperitoneal (i.p.) injections three times per week for 4 wk[25]. Mice were challenged with CCl4 or corn oil (control), followed by an i.p. injection of phloretin (10 mg/kg, three times per week for 2 wk) or 0.9% saline (vehicle). Mice were sacrificed at 48 h after the experiment ended, and tissues were harvested.\nThe animal protocol was designed to minimize pain or discomfort to the animals. The animals were acclimated to laboratory conditions (22 °C, 12-h/12-h light/dark cycle, 50% humidity, ad libitum access to food and water) for 1 wk prior to experimentation. The methods and experimental procedures were carried out in accordance with the relevant guidelines and regulations. Mice (C57BL6, eight to ten weeks old) were housed in standard conditions, and sex-matched mice were treated with 2.0 μL/g body weight CCl4 [diluted 1:10 (v/v) with corn oil] or corn oil as a control by intraperitoneal (i.p.) injections three times per week for 4 wk[25]. Mice were challenged with CCl4 or corn oil (control), followed by an i.p. injection of phloretin (10 mg/kg, three times per week for 2 wk) or 0.9% saline (vehicle). Mice were sacrificed at 48 h after the experiment ended, and tissues were harvested.\nPatient liver samples Normal and liver fibrosis tissue samples were obtained from patients treated at the Department of Hepatobiliary Surgery of the Affiliated Hospital of Guizhou Medical University (Guiyang, China). Written informed consent was obtained from the patients.\nNormal and liver fibrosis tissue samples were obtained from patients treated at the Department of Hepatobiliary Surgery of the Affiliated Hospital of Guizhou Medical University (Guiyang, China). Written informed consent was obtained from the patients.\nWestern blot analysis Immunoblotting was performed using whole-liver tissue lysates or whole-cell lysates prepared in buffer containing 1% NP-40 as described previously[26]. Total proteins were extracted and quantified using Bradford protein quantification kits. Protein samples (40 μg each) were resolved by sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE). The proteins were transferred onto polyvinylidene fluoride (PVDF) membranes and incubated with primary antibodies overnight at 4 °C. On the next day, signals were developed with an electrochemiluminescence detection kit after incubation with the appropriate secondary antibodies.\nImmunoblotting was performed using whole-liver tissue lysates or whole-cell lysates prepared in buffer containing 1% NP-40 as described previously[26]. Total proteins were extracted and quantified using Bradford protein quantification kits. Protein samples (40 μg each) were resolved by sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE). The proteins were transferred onto polyvinylidene fluoride (PVDF) membranes and incubated with primary antibodies overnight at 4 °C. On the next day, signals were developed with an electrochemiluminescence detection kit after incubation with the appropriate secondary antibodies.\nCells and cell culture Primary mouse HSCs were isolated and cultured as described previously[26]. Briefly, cells were isolated from livers through in situ liver perfusion with pronase, Liberase and collagenase followed by density gradient centrifugation. The dispersed cell suspension was filtered and gradiently centrifuged for 2 min to remove hepatocytes. The remaining cell fraction was washed and resuspended in 11.5% OptiPrep and then gently transferred to a tube containing 15% OptiPrep at the bottom, followed by PBS addition as the top layer. The cell fraction was then centrifuged at 1400 rpm/min for 20 min. The HSC fraction layer was obtained at the interface between the top and intermediate layers. The purity of the HSC fraction was estimated based on autofluorescence 1 d after isolation and was always greater than 97%. Flow cytometry was used to identify the purity of primary cells. In brief, the cells were digested with trypsin, centrifuged at 1000 rpm/min for 10 min, washed twice with PBS, resuspended in EP tubes (100 μL/tube) and centrifuged at 2000 rpm/min for 6 min. Then, the supernatant was discarded, 100 μL of PBS was added, and the cells were resuspended and dispersed. A mouse monoclonal antibody against desmin (desmin is a typical molecular marker of HSCs) was added, and the cells were incubated at 1:100 for 1.5 h and centrifuged at 2000 rpm/min for 6 min. Centrifugation was repeated twice. The cells were resuspended and dispersed by adding 100 μL of PBS. Fluorescence-labeled anti-mouse secondary antibody (1:1000) was added, followed by incubation at 4 °C for 30 min in the dark. Next, 1 mL of PBS was added to each tube, followed by centrifugation at 2000 rpm/min for 6 min, which was repeated twice. Finally, 0.5 mL of PBS was added to resuspend the cells, and then the cells were subjected to flow cytometry measurements. HSCs were also confirmed to lack E-cadherin expression. Cell viability was also examined, and HSCs were maintained in Dulbecco’s modified Eagle’s medium (DMEM) supplemented with 10% fetal bovine serum and antibiotics as described previously[26]. Cells were starved or treated on day 2 after isolation, and the duration of starvation or treatment is described in each figure legend. The duration of the whole experiment was 5-7 d after HSC isolation, and cells at passages 1-2 were used (as cells were passaged from regular culture flasks to experimental cell culture wells for some experiments).\nPrimary mouse HSCs were isolated and cultured as described previously[26]. Briefly, cells were isolated from livers through in situ liver perfusion with pronase, Liberase and collagenase followed by density gradient centrifugation. The dispersed cell suspension was filtered and gradiently centrifuged for 2 min to remove hepatocytes. The remaining cell fraction was washed and resuspended in 11.5% OptiPrep and then gently transferred to a tube containing 15% OptiPrep at the bottom, followed by PBS addition as the top layer. The cell fraction was then centrifuged at 1400 rpm/min for 20 min. The HSC fraction layer was obtained at the interface between the top and intermediate layers. The purity of the HSC fraction was estimated based on autofluorescence 1 d after isolation and was always greater than 97%. Flow cytometry was used to identify the purity of primary cells. In brief, the cells were digested with trypsin, centrifuged at 1000 rpm/min for 10 min, washed twice with PBS, resuspended in EP tubes (100 μL/tube) and centrifuged at 2000 rpm/min for 6 min. Then, the supernatant was discarded, 100 μL of PBS was added, and the cells were resuspended and dispersed. A mouse monoclonal antibody against desmin (desmin is a typical molecular marker of HSCs) was added, and the cells were incubated at 1:100 for 1.5 h and centrifuged at 2000 rpm/min for 6 min. Centrifugation was repeated twice. The cells were resuspended and dispersed by adding 100 μL of PBS. Fluorescence-labeled anti-mouse secondary antibody (1:1000) was added, followed by incubation at 4 °C for 30 min in the dark. Next, 1 mL of PBS was added to each tube, followed by centrifugation at 2000 rpm/min for 6 min, which was repeated twice. Finally, 0.5 mL of PBS was added to resuspend the cells, and then the cells were subjected to flow cytometry measurements. HSCs were also confirmed to lack E-cadherin expression. Cell viability was also examined, and HSCs were maintained in Dulbecco’s modified Eagle’s medium (DMEM) supplemented with 10% fetal bovine serum and antibiotics as described previously[26]. Cells were starved or treated on day 2 after isolation, and the duration of starvation or treatment is described in each figure legend. The duration of the whole experiment was 5-7 d after HSC isolation, and cells at passages 1-2 were used (as cells were passaged from regular culture flasks to experimental cell culture wells for some experiments).\nHistological and immunohistochemical studies Liver samples were fixed with formalin, embedded in paraffin, sectioned and processed routinely for Masson’s trichrome and Sirius red staining. Antibodies used for immunohistochemical (IHC) staining of GLUT1 and α-SMA were purchased from Abcam Technology, United States.\nLiver samples were fixed with formalin, embedded in paraffin, sectioned and processed routinely for Masson’s trichrome and Sirius red staining. Antibodies used for immunohistochemical (IHC) staining of GLUT1 and α-SMA were purchased from Abcam Technology, United States.\nRNA interference Cells were transfected with small interfering RNAs (siRNAs) using Lipofectamine 3000 (Invitrogen, Carlsbad, CA, United States) according to the manufacturer’s recommendations. The siRNAs used were an siRNA mix targeting sequences in Smad2 and Smad3 purchased from Santa Cruz Biotechnology (siRNA Smad2/3) and siRNAs targeting four different sequences of Smad4 purchased from Santa Cruz Biotechnology. GLUT1 siRNA was purchased from Cell Signaling Technology. The sequences of the siRNAs used are shown in Table 1.\nSmall interfering RNA sequences\nPurchased from Santa Cruz Biotechnology. sc-37239: Smad2/3 siRNA (m) is a pool of four different siRNA duplexes.\nCells were transfected with small interfering RNAs (siRNAs) using Lipofectamine 3000 (Invitrogen, Carlsbad, CA, United States) according to the manufacturer’s recommendations. The siRNAs used were an siRNA mix targeting sequences in Smad2 and Smad3 purchased from Santa Cruz Biotechnology (siRNA Smad2/3) and siRNAs targeting four different sequences of Smad4 purchased from Santa Cruz Biotechnology. GLUT1 siRNA was purchased from Cell Signaling Technology. The sequences of the siRNAs used are shown in Table 1.\nSmall interfering RNA sequences\nPurchased from Santa Cruz Biotechnology. sc-37239: Smad2/3 siRNA (m) is a pool of four different siRNA duplexes.\nGlycolytic function assay and lactate measurements Primary mouse HSCs were plated on XF96 cell culture microplates. The extracellular acidification rate (ECAR), a glycolytic flux parameter, was measured with a Seahorse XF96 bioanalyzer using the XF Glycolysis Stress Test kit according to the manufacturer’s instructions (102194-100, Seahorse Bioscience). Lactate levels were measured spectrophotometrically in 700 μL of supernatants from cells receiving the corresponding treatment using standard enzymatic methods.\nPrimary mouse HSCs were plated on XF96 cell culture microplates. The extracellular acidification rate (ECAR), a glycolytic flux parameter, was measured with a Seahorse XF96 bioanalyzer using the XF Glycolysis Stress Test kit according to the manufacturer’s instructions (102194-100, Seahorse Bioscience). Lactate levels were measured spectrophotometrically in 700 μL of supernatants from cells receiving the corresponding treatment using standard enzymatic methods.\nCell counting kit-8 assay Primary mouse HSCs were seeded in a 96-well plate at a density of 3000 cells per well. CCK-8 reagent was added to each well every 24 h, and the plates were incubated for an additional 1 h at 37 °C and measured by recording the absorbance at 450 nm with an Elx800™ spectrophotometer (BioTek, Winooski, VT, United States).\nPrimary mouse HSCs were seeded in a 96-well plate at a density of 3000 cells per well. CCK-8 reagent was added to each well every 24 h, and the plates were incubated for an additional 1 h at 37 °C and measured by recording the absorbance at 450 nm with an Elx800™ spectrophotometer (BioTek, Winooski, VT, United States).\nBiochemical function analysis Alanine aminotransferase (ALT) and aspartate transaminase (AST) levels in mouse serum samples and the supernatant of cell culture medium were detected using an automatic biochemical analyzer (Siemens Advia 1650; Siemens, Bensheim, Germany).\nAlanine aminotransferase (ALT) and aspartate transaminase (AST) levels in mouse serum samples and the supernatant of cell culture medium were detected using an automatic biochemical analyzer (Siemens Advia 1650; Siemens, Bensheim, Germany).\nRNA extraction and real-time polymerase chain reaction GLUT1, hexokinase 2 (HK-2), pyruvate kinase 2 (PKM-2) and α-SMA mRNA levels were determined using real-time polymerase chain reaction (RT-PCR) with a SYBR Green Master Mix Kit (Roche, Indianapolis, IN, United States). The primer sequences used are shown in Table 2.\nPrimer sequences for real-time polymerase chain reaction\nGLUT1, hexokinase 2 (HK-2), pyruvate kinase 2 (PKM-2) and α-SMA mRNA levels were determined using real-time polymerase chain reaction (RT-PCR) with a SYBR Green Master Mix Kit (Roche, Indianapolis, IN, United States). The primer sequences used are shown in Table 2.\nPrimer sequences for real-time polymerase chain reaction\nTranswell migration assay The migratory properties of HSCs were assessed using a Transwell assay. Cells were seeded at a density of 4 × 105 cells/well in the upper compartment of Transwell chambers with serum-free medium, and the lower compartment contained 700 μL of 5% glucose-containing medium per well. Migration was subsequently observed and measured.\nThe migratory properties of HSCs were assessed using a Transwell assay. Cells were seeded at a density of 4 × 105 cells/well in the upper compartment of Transwell chambers with serum-free medium, and the lower compartment contained 700 μL of 5% glucose-containing medium per well. Migration was subsequently observed and measured.\nTissue immunofluorescence staining Tissue sections were placed at room temperature for 10 min and deparaffinized in water for further antigen retrieval. After the sections were dried slightly, a histochemical pen was used to draw circles around the tissue, and 3%-5% BSA was added dropwise inside the circle for blocking, followed by incubation for 30 min. The primary antibody was added dropwise at the recommended ratio to the sections, and the sections were placed in a refrigerator (4 °C) and incubated overnight. After 3 washes, the sections were incubated with a FITC (CK-18)-labeled secondary antibody at room temperature for 45 min, and nuclei were stained with DAPI (300 nmol/L) for 1-5 min. After 3 washes, an antifluorescence quencher was added, and the sections were sealed with resin. Photographs of random fields were taken under an upright fluorescence microscope (ZEISS Axiovert).\nTissue sections were placed at room temperature for 10 min and deparaffinized in water for further antigen retrieval. After the sections were dried slightly, a histochemical pen was used to draw circles around the tissue, and 3%-5% BSA was added dropwise inside the circle for blocking, followed by incubation for 30 min. The primary antibody was added dropwise at the recommended ratio to the sections, and the sections were placed in a refrigerator (4 °C) and incubated overnight. After 3 washes, the sections were incubated with a FITC (CK-18)-labeled secondary antibody at room temperature for 45 min, and nuclei were stained with DAPI (300 nmol/L) for 1-5 min. After 3 washes, an antifluorescence quencher was added, and the sections were sealed with resin. Photographs of random fields were taken under an upright fluorescence microscope (ZEISS Axiovert).\nStatistical analysis Data were analyzed using Student’s t test (SigmaPlot, SPSS 17.0, United States) to determine differences between two groups and are presented as the mean ± SE. For comparisons between multiple groups, three-way analysis of variance was performed, followed by t tests with Bonferroni correction using SAS 9.3 software (SAS Institute Inc., Cary, NC, United States). In addition, a log-rank test was used for survival analysis. All experiments were repeated at least three times. Differences were considered statistically significant at P < 0.05 (aP < 0.05, bP < 0.01).\nData were analyzed using Student’s t test (SigmaPlot, SPSS 17.0, United States) to determine differences between two groups and are presented as the mean ± SE. For comparisons between multiple groups, three-way analysis of variance was performed, followed by t tests with Bonferroni correction using SAS 9.3 software (SAS Institute Inc., Cary, NC, United States). In addition, a log-rank test was used for survival analysis. All experiments were repeated at least three times. Differences were considered statistically significant at P < 0.05 (aP < 0.05, bP < 0.01).", "The TGF-β1 antibody was purchased from R&D Systems (Minneapolis, MN, United States); antibodies against GLUT1, p-Smad2/3, Smad2/3, p-P38, p-AKT and desmin were purchased from Abcam (Cambridge, MA, United States), and the tubulin antibody was purchased from Research Diagnostics (Flanders, NJ, United States). The anti-α-SMA antibody, carbon tetrachloride (CCl4), corn oil, OptiPrep and other chemicals and reagents were purchased from Sigma-Aldrich (St. Louis, MO, United States) and Fisher Scientific (Waltham, MA, United States). A TβRI/II inhibitor (APExBIO Technology, United States) was used at 2 μmol/L. Inhibitors of p38 MAPK and PI3K, namely, SB203580 and LY294002, respectively, were purchased from Abcam (Cambridge, MA, United States). The Smad3 inhibitors SIS3 and phloretin were purchased from Abcam (Cambridge, MA, United States).", "The animal protocol was designed to minimize pain or discomfort to the animals. The animals were acclimated to laboratory conditions (22 °C, 12-h/12-h light/dark cycle, 50% humidity, ad libitum access to food and water) for 1 wk prior to experimentation. The methods and experimental procedures were carried out in accordance with the relevant guidelines and regulations. Mice (C57BL6, eight to ten weeks old) were housed in standard conditions, and sex-matched mice were treated with 2.0 μL/g body weight CCl4 [diluted 1:10 (v/v) with corn oil] or corn oil as a control by intraperitoneal (i.p.) injections three times per week for 4 wk[25]. Mice were challenged with CCl4 or corn oil (control), followed by an i.p. injection of phloretin (10 mg/kg, three times per week for 2 wk) or 0.9% saline (vehicle). Mice were sacrificed at 48 h after the experiment ended, and tissues were harvested.", "Normal and liver fibrosis tissue samples were obtained from patients treated at the Department of Hepatobiliary Surgery of the Affiliated Hospital of Guizhou Medical University (Guiyang, China). Written informed consent was obtained from the patients.", "Immunoblotting was performed using whole-liver tissue lysates or whole-cell lysates prepared in buffer containing 1% NP-40 as described previously[26]. Total proteins were extracted and quantified using Bradford protein quantification kits. Protein samples (40 μg each) were resolved by sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE). The proteins were transferred onto polyvinylidene fluoride (PVDF) membranes and incubated with primary antibodies overnight at 4 °C. On the next day, signals were developed with an electrochemiluminescence detection kit after incubation with the appropriate secondary antibodies.", "Primary mouse HSCs were isolated and cultured as described previously[26]. Briefly, cells were isolated from livers through in situ liver perfusion with pronase, Liberase and collagenase followed by density gradient centrifugation. The dispersed cell suspension was filtered and gradiently centrifuged for 2 min to remove hepatocytes. The remaining cell fraction was washed and resuspended in 11.5% OptiPrep and then gently transferred to a tube containing 15% OptiPrep at the bottom, followed by PBS addition as the top layer. The cell fraction was then centrifuged at 1400 rpm/min for 20 min. The HSC fraction layer was obtained at the interface between the top and intermediate layers. The purity of the HSC fraction was estimated based on autofluorescence 1 d after isolation and was always greater than 97%. Flow cytometry was used to identify the purity of primary cells. In brief, the cells were digested with trypsin, centrifuged at 1000 rpm/min for 10 min, washed twice with PBS, resuspended in EP tubes (100 μL/tube) and centrifuged at 2000 rpm/min for 6 min. Then, the supernatant was discarded, 100 μL of PBS was added, and the cells were resuspended and dispersed. A mouse monoclonal antibody against desmin (desmin is a typical molecular marker of HSCs) was added, and the cells were incubated at 1:100 for 1.5 h and centrifuged at 2000 rpm/min for 6 min. Centrifugation was repeated twice. The cells were resuspended and dispersed by adding 100 μL of PBS. Fluorescence-labeled anti-mouse secondary antibody (1:1000) was added, followed by incubation at 4 °C for 30 min in the dark. Next, 1 mL of PBS was added to each tube, followed by centrifugation at 2000 rpm/min for 6 min, which was repeated twice. Finally, 0.5 mL of PBS was added to resuspend the cells, and then the cells were subjected to flow cytometry measurements. HSCs were also confirmed to lack E-cadherin expression. Cell viability was also examined, and HSCs were maintained in Dulbecco’s modified Eagle’s medium (DMEM) supplemented with 10% fetal bovine serum and antibiotics as described previously[26]. Cells were starved or treated on day 2 after isolation, and the duration of starvation or treatment is described in each figure legend. The duration of the whole experiment was 5-7 d after HSC isolation, and cells at passages 1-2 were used (as cells were passaged from regular culture flasks to experimental cell culture wells for some experiments).", "Liver samples were fixed with formalin, embedded in paraffin, sectioned and processed routinely for Masson’s trichrome and Sirius red staining. Antibodies used for immunohistochemical (IHC) staining of GLUT1 and α-SMA were purchased from Abcam Technology, United States.", "Cells were transfected with small interfering RNAs (siRNAs) using Lipofectamine 3000 (Invitrogen, Carlsbad, CA, United States) according to the manufacturer’s recommendations. The siRNAs used were an siRNA mix targeting sequences in Smad2 and Smad3 purchased from Santa Cruz Biotechnology (siRNA Smad2/3) and siRNAs targeting four different sequences of Smad4 purchased from Santa Cruz Biotechnology. GLUT1 siRNA was purchased from Cell Signaling Technology. The sequences of the siRNAs used are shown in Table 1.\nSmall interfering RNA sequences\nPurchased from Santa Cruz Biotechnology. sc-37239: Smad2/3 siRNA (m) is a pool of four different siRNA duplexes.", "Primary mouse HSCs were plated on XF96 cell culture microplates. The extracellular acidification rate (ECAR), a glycolytic flux parameter, was measured with a Seahorse XF96 bioanalyzer using the XF Glycolysis Stress Test kit according to the manufacturer’s instructions (102194-100, Seahorse Bioscience). Lactate levels were measured spectrophotometrically in 700 μL of supernatants from cells receiving the corresponding treatment using standard enzymatic methods.", "Primary mouse HSCs were seeded in a 96-well plate at a density of 3000 cells per well. CCK-8 reagent was added to each well every 24 h, and the plates were incubated for an additional 1 h at 37 °C and measured by recording the absorbance at 450 nm with an Elx800™ spectrophotometer (BioTek, Winooski, VT, United States).", "Alanine aminotransferase (ALT) and aspartate transaminase (AST) levels in mouse serum samples and the supernatant of cell culture medium were detected using an automatic biochemical analyzer (Siemens Advia 1650; Siemens, Bensheim, Germany).", "GLUT1, hexokinase 2 (HK-2), pyruvate kinase 2 (PKM-2) and α-SMA mRNA levels were determined using real-time polymerase chain reaction (RT-PCR) with a SYBR Green Master Mix Kit (Roche, Indianapolis, IN, United States). The primer sequences used are shown in Table 2.\nPrimer sequences for real-time polymerase chain reaction", "The migratory properties of HSCs were assessed using a Transwell assay. Cells were seeded at a density of 4 × 105 cells/well in the upper compartment of Transwell chambers with serum-free medium, and the lower compartment contained 700 μL of 5% glucose-containing medium per well. Migration was subsequently observed and measured.", "Tissue sections were placed at room temperature for 10 min and deparaffinized in water for further antigen retrieval. After the sections were dried slightly, a histochemical pen was used to draw circles around the tissue, and 3%-5% BSA was added dropwise inside the circle for blocking, followed by incubation for 30 min. The primary antibody was added dropwise at the recommended ratio to the sections, and the sections were placed in a refrigerator (4 °C) and incubated overnight. After 3 washes, the sections were incubated with a FITC (CK-18)-labeled secondary antibody at room temperature for 45 min, and nuclei were stained with DAPI (300 nmol/L) for 1-5 min. After 3 washes, an antifluorescence quencher was added, and the sections were sealed with resin. Photographs of random fields were taken under an upright fluorescence microscope (ZEISS Axiovert).", "Data were analyzed using Student’s t test (SigmaPlot, SPSS 17.0, United States) to determine differences between two groups and are presented as the mean ± SE. For comparisons between multiple groups, three-way analysis of variance was performed, followed by t tests with Bonferroni correction using SAS 9.3 software (SAS Institute Inc., Cary, NC, United States). In addition, a log-rank test was used for survival analysis. All experiments were repeated at least three times. Differences were considered statistically significant at P < 0.05 (aP < 0.05, bP < 0.01).", "GLUT1 expression is correlated with liver fibrosis progression The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether GLUT1 is related to liver fibrosis. Successful establishment of the liver fibrosis model was confirmed by Sirius red staining and α-SMA IHC staining (Figure 1A-C). Notably, a significant increase in GLUT1 expression was detected in the liver tissue specimens from the model group (Figure 1A and D). Subsequently, tissue immunofluorescence staining was performed, and the results showed significantly increased GLUT1 expression in liver tissue samples from the CCl4 liver fibrosis model. More importantly, GLUT1 colocalized with α-SMA, indicating a correlation between GLUT1 and liver fibrosis (Figure 1E). IHC staining for GLUT1 and α-SMA was performed using human liver fibrosis specimens and liver specimens from a healthy control group; as expected, GLUT1 expression was significantly higher in the human liver fibrosis specimens (Figure 1F). Finally, whole-liver lysates were prepared from human liver tissue specimens and specimens from the mouse liver fibrosis model, and GLUT1 protein expression was analyzed. The results were consistent with the IHC data (Figure 1G-H). In summary, these results indicate that GLUT1 expression is related to liver fibrosis progression.\n\nGlucose transporter 1 expression is correlated with liver fibrosis progression. A-D: The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether glucose transporter 1 (GLUT1) is related to liver fibrosis. Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining were used to confirm that the liver fibrosis model was successfully established, and then the mice were randomly divided into the CCl4 group and the control oil group (n = 6-10 mice/group) (A); Evaluation of liver fibrosis using Sirius red staining (B); Determination of the area ratio of positive IHC staining for α-SMA in the mouse CCl4-induced liver fibrosis model (C); GLUT1 expression was more abundant in the liver tissue samples from the model group (D); E and F: Immunofluorescence staining for GLUT1 (red) and α-SMA (green) in the CCl4 model. Cell nuclei were counterstained with DAPI. Scale bar for immunofluorescence staining, 200 μm; scale bars for IHC staining and Sirius red staining, 200 μm; G: IHC staining for α-SMA and GLUT1 in the healthy control and liver fibrosis groups (scale bar, 100 μm); H: Western blot analysis of changes in GLUT1 protein levels in the oil group and the CCl4 model group; I: Western blot analysis of GLUT1 protein expression in human liver tissues from the healthy control group and the liver fibrosis group. Data in B-D, G and H are presented as the mean ± SE. Statistically significant differences were detected (compared with the oil group, aP < 0.05 and bP < 0.01; compared with the healthy control group, dP < 0.05). GLUT1: Glucose transporter 1; α-SMA: Alpha-smooth muscle actin.\nThe classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether GLUT1 is related to liver fibrosis. Successful establishment of the liver fibrosis model was confirmed by Sirius red staining and α-SMA IHC staining (Figure 1A-C). Notably, a significant increase in GLUT1 expression was detected in the liver tissue specimens from the model group (Figure 1A and D). Subsequently, tissue immunofluorescence staining was performed, and the results showed significantly increased GLUT1 expression in liver tissue samples from the CCl4 liver fibrosis model. More importantly, GLUT1 colocalized with α-SMA, indicating a correlation between GLUT1 and liver fibrosis (Figure 1E). IHC staining for GLUT1 and α-SMA was performed using human liver fibrosis specimens and liver specimens from a healthy control group; as expected, GLUT1 expression was significantly higher in the human liver fibrosis specimens (Figure 1F). Finally, whole-liver lysates were prepared from human liver tissue specimens and specimens from the mouse liver fibrosis model, and GLUT1 protein expression was analyzed. The results were consistent with the IHC data (Figure 1G-H). In summary, these results indicate that GLUT1 expression is related to liver fibrosis progression.\n\nGlucose transporter 1 expression is correlated with liver fibrosis progression. A-D: The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether glucose transporter 1 (GLUT1) is related to liver fibrosis. Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining were used to confirm that the liver fibrosis model was successfully established, and then the mice were randomly divided into the CCl4 group and the control oil group (n = 6-10 mice/group) (A); Evaluation of liver fibrosis using Sirius red staining (B); Determination of the area ratio of positive IHC staining for α-SMA in the mouse CCl4-induced liver fibrosis model (C); GLUT1 expression was more abundant in the liver tissue samples from the model group (D); E and F: Immunofluorescence staining for GLUT1 (red) and α-SMA (green) in the CCl4 model. Cell nuclei were counterstained with DAPI. Scale bar for immunofluorescence staining, 200 μm; scale bars for IHC staining and Sirius red staining, 200 μm; G: IHC staining for α-SMA and GLUT1 in the healthy control and liver fibrosis groups (scale bar, 100 μm); H: Western blot analysis of changes in GLUT1 protein levels in the oil group and the CCl4 model group; I: Western blot analysis of GLUT1 protein expression in human liver tissues from the healthy control group and the liver fibrosis group. Data in B-D, G and H are presented as the mean ± SE. Statistically significant differences were detected (compared with the oil group, aP < 0.05 and bP < 0.01; compared with the healthy control group, dP < 0.05). GLUT1: Glucose transporter 1; α-SMA: Alpha-smooth muscle actin.\nTGF-β1 stimulates HSC activation by inducing GLUT1 expression and promoting aerobic glycolysis We found that GLUT1 colocalized with α-SMA, indicating that GLUT1 expression was increased mainly in activated HSCs because α-SMA is a major marker of HSC transdifferentiation. TGF-β1 is a very important profibrotic factor and regulates metabolic reprogramming in pulmonary fibrosis[27], as reported in some studies. Therefore, we questioned whether the increase in GLUT1 expression in liver fibrosis and TGF-β1 are related. This study first determined the effect of TGF-β1 on glycolysis in HSCs. To assess the dose responses to TGF-β1, we incubated HSCs with different TGF-β1 concentrations ranging from 3 ng/mL to 5 ng/mL, and the results showed similar effects on GLUT1 protein levels (Supplementary Figure 1). Therefore, a TGF-β1 concentration of 3 ng/mL was used for subsequent experiments. Mouse primary HSCs were isolated and cultured, and the cells were stimulated with TGF-β1 for 24 h prior to the experiments. TGF-β1 stimulation led to an early and continuous increase in the ECAR (an indicator of extracellular acid production) in HSCs, indicating that glycolysis was enhanced in these cells (Figure 2A and B). In addition, the intracellular and extracellular levels (in the medium) of lactic acid were examined to further confirm the glycolytic changes in HSCs. Both intracellular and extracellular lactic acid levels were significantly increased. Consistent with the increase in glycolysis, the level of glucose consumption also increased in these cells (Figure 2C and D). Therefore, TGF-β1 induces glycolysis during the process of HSC transdifferentiation. The expression levels of key glycolytic enzymes in these cells were evaluated; the expression levels of HK-2, PKM-2 and GLUT1 were upregulated, and the increase in GLUT1 expression was particularly significant (Figure 2F-H). Based on these findings, the increase in glycolysis during HSC transdifferentiation is related to the upregulation of key glycolysis enzymes. Similarly, the expression of α-SMA, a marker of transdifferentiation, also increased during the TGF-β1-mediated activation of HSCs (Figure 2I). GLUT1 protein expression was examined at various time points after stimulating HSCs with TGF-β1 (3 ng/mL) to determine whether TGF-β1 stimulates GLUT1 expression in a time-dependent manner, and the results showed that GLUT1 expression increased 2 h after stimulation with TGF-β1 and peaked at 8 h. These results indicate a time-dependent relationship between the increase in GLUT1 expression and TGF-β1 stimulation, which is consistent with the early increase in aerobic glycolysis in HSCs (Figure 2J). Finally, the addition of an inhibitor of the type 1 TGF-β1 receptor inhibited TGF-β1-induced GLUT1 expression in HSCs, suggesting that GLUT1 induction was mediated by TGF-β1 (Figure 2K). Based on these data, TGF-β1 is involved in glycolysis during HSC transdifferentiation and mediates GLUT1 expression, thereby promoting HSC transdifferentiation.\n\nStimulation of hepatic stellate cells with transforming growth factor-β1 induces glucose transporter 1 expression and promotes glycolysis. A: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were seeded into Seahorse XF-24 cell culture microplates (5 × 104 cells/well). The cells were first treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 0, 6 or 24 h, followed by sequential treatment with oligomycin (Oligo) and carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone (FCCP). The extracellular acidification rate (ECAR) was recorded in real time; B: The basic ECAR. n = 6; the mean ± SE; aP < 0.05 compared to the level before TGF-β1 treatment (0 h); unpaired t test; C and D: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. The cells were then lysed, and the lactic acid contents in the cell lysate (C) and the culture medium (D) were examined; E: Determination of glucose consumption in the culture medium; F-I: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. RNA was purified, and RT-PCR was performed to examine the expression levels of glucose transporter 1 (GLUT1) (F), HK-2 (G), PKM-2 (H) and α-SMA (I), n = 5, the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with those at 0 h or those in the TGF-β1-untreated group; one-way analysis of variance (ANOVA); J: Western blot analysis of the expression levels of GLUT1 and tubulin at various time points after HSCs were treated with TGF-β1 (3 ng/mL); K: Examination of the changes in GLUT1 and tubulin levels after sequential treatment with a type 1 TGF-β receptor inhibitor (LY2109761, 2 μm) for 1 h and then with TGF-β1 (3 ng/mL) for 0, 8 or 24 h. All experiments shown in A-E and F-I were performed 2-3 times. Inhi: Inhibitor; Con: Control; FCCP: Carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone; ECAR: Extracellular acidification rate; GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1.\nWe found that GLUT1 colocalized with α-SMA, indicating that GLUT1 expression was increased mainly in activated HSCs because α-SMA is a major marker of HSC transdifferentiation. TGF-β1 is a very important profibrotic factor and regulates metabolic reprogramming in pulmonary fibrosis[27], as reported in some studies. Therefore, we questioned whether the increase in GLUT1 expression in liver fibrosis and TGF-β1 are related. This study first determined the effect of TGF-β1 on glycolysis in HSCs. To assess the dose responses to TGF-β1, we incubated HSCs with different TGF-β1 concentrations ranging from 3 ng/mL to 5 ng/mL, and the results showed similar effects on GLUT1 protein levels (Supplementary Figure 1). Therefore, a TGF-β1 concentration of 3 ng/mL was used for subsequent experiments. Mouse primary HSCs were isolated and cultured, and the cells were stimulated with TGF-β1 for 24 h prior to the experiments. TGF-β1 stimulation led to an early and continuous increase in the ECAR (an indicator of extracellular acid production) in HSCs, indicating that glycolysis was enhanced in these cells (Figure 2A and B). In addition, the intracellular and extracellular levels (in the medium) of lactic acid were examined to further confirm the glycolytic changes in HSCs. Both intracellular and extracellular lactic acid levels were significantly increased. Consistent with the increase in glycolysis, the level of glucose consumption also increased in these cells (Figure 2C and D). Therefore, TGF-β1 induces glycolysis during the process of HSC transdifferentiation. The expression levels of key glycolytic enzymes in these cells were evaluated; the expression levels of HK-2, PKM-2 and GLUT1 were upregulated, and the increase in GLUT1 expression was particularly significant (Figure 2F-H). Based on these findings, the increase in glycolysis during HSC transdifferentiation is related to the upregulation of key glycolysis enzymes. Similarly, the expression of α-SMA, a marker of transdifferentiation, also increased during the TGF-β1-mediated activation of HSCs (Figure 2I). GLUT1 protein expression was examined at various time points after stimulating HSCs with TGF-β1 (3 ng/mL) to determine whether TGF-β1 stimulates GLUT1 expression in a time-dependent manner, and the results showed that GLUT1 expression increased 2 h after stimulation with TGF-β1 and peaked at 8 h. These results indicate a time-dependent relationship between the increase in GLUT1 expression and TGF-β1 stimulation, which is consistent with the early increase in aerobic glycolysis in HSCs (Figure 2J). Finally, the addition of an inhibitor of the type 1 TGF-β1 receptor inhibited TGF-β1-induced GLUT1 expression in HSCs, suggesting that GLUT1 induction was mediated by TGF-β1 (Figure 2K). Based on these data, TGF-β1 is involved in glycolysis during HSC transdifferentiation and mediates GLUT1 expression, thereby promoting HSC transdifferentiation.\n\nStimulation of hepatic stellate cells with transforming growth factor-β1 induces glucose transporter 1 expression and promotes glycolysis. A: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were seeded into Seahorse XF-24 cell culture microplates (5 × 104 cells/well). The cells were first treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 0, 6 or 24 h, followed by sequential treatment with oligomycin (Oligo) and carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone (FCCP). The extracellular acidification rate (ECAR) was recorded in real time; B: The basic ECAR. n = 6; the mean ± SE; aP < 0.05 compared to the level before TGF-β1 treatment (0 h); unpaired t test; C and D: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. The cells were then lysed, and the lactic acid contents in the cell lysate (C) and the culture medium (D) were examined; E: Determination of glucose consumption in the culture medium; F-I: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. RNA was purified, and RT-PCR was performed to examine the expression levels of glucose transporter 1 (GLUT1) (F), HK-2 (G), PKM-2 (H) and α-SMA (I), n = 5, the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with those at 0 h or those in the TGF-β1-untreated group; one-way analysis of variance (ANOVA); J: Western blot analysis of the expression levels of GLUT1 and tubulin at various time points after HSCs were treated with TGF-β1 (3 ng/mL); K: Examination of the changes in GLUT1 and tubulin levels after sequential treatment with a type 1 TGF-β receptor inhibitor (LY2109761, 2 μm) for 1 h and then with TGF-β1 (3 ng/mL) for 0, 8 or 24 h. All experiments shown in A-E and F-I were performed 2-3 times. Inhi: Inhibitor; Con: Control; FCCP: Carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone; ECAR: Extracellular acidification rate; GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1.\nTGF-β1 induces GLUT1 expression through the Smad pathway After finding that TGF-β1 stimulation induces GLUT1 expression, the specific mechanism by which TGF-β1 induces GLUT1 expression was further explored. Changes in the expression levels of Smad proteins in the canonical pathway activated by TGF-β1 stimulation were first examined. Western blot analysis revealed a time-dependent relationship between Smad2/Smad3 phosphorylation and TGF-β1 stimulation (Figure 3A and B), and phosphorylation occurred at time points close to when GLUT1 expression increased. Next, the direct role of Smads in GLUT1 induction was explored. Smad3 or Smad4 overexpression plasmids were first transiently transfected into HSCs, and then certain groups of HSCs were induced with TGF-β1 for 4 h. Smad3 or Smad4 overexpression promoted GLUT1 expression, and TGF-β1 addition amplified these effects, resulting in a further increase in GLUT1 expression (Figure 3C and D). Smad2/3 and/or Smad4 siRNAs were used to silence their expression levels and to better understand the roles of Smads in the relationship between TGF-β1 and GLUT1 expression, and the analysis performed at 48 h after the transfection of Smad2/3 and/or Smad4 siRNAs showed that TGF-β1-mediated GLUT1 expression was significantly reduced. This change was more significant and the decrease in GLUT1 expression was more substantial when the cells were transfected simultaneously with both siRNAs (Figure 3G and H). Finally, HSCs were sequentially treated with the Smad inhibitor SIS3 for 2 h and then with TGF-β1 for 4 h, resulting in a significant decrease in GLUT1 protein expression (Figure 3E and F). These results preliminarily indicate the important regulatory role of Smad proteins in TGF-β1-mediated GLUT1 expression and suggest that Smad proteins directly participate in the regulation of GLUT1 by TGF-β1.\n\nTransforming growth factor-β1 induces glucose transporter 1 expression through the Smad pathway. A and B: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at various time points. Western blot analysis using specific antibodies (A). Quantitative analysis of the levels of the p-Smad2 and p-Smad3 proteins in five independent experiments (B); C and D: After transiently transfecting HSCs with 2 μg of Smad3 and/or Smad4 expression plasmids, the cells were cultured in serum-free medium for 48 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Green fluorescent protein (GFP) was used as a transfection control. Western blot analysis using specific antibodies (C). Quantitative analysis of glucose transporter 1 (GLUT1) protein expression in five independent experiments (D); E and F: HSCs were first pretreated with a Smad3 inhibitor (SIS3, 20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (E). Quantitative analysis of the GLUT1 protein level in five independent experiments (F); G and H: Mouse primary HSCs were transfected with 20 μmol/L control small interfering RNAs (siRNAs) or siRNAs targeting Smad2/3 and Smad4. After transfection in serum-free medium for 48 h, the cells were treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (G). Quantitative analysis of the GLUT1 protein level in five independent experiments (H) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with that in the group of cells without TGF-β1; dP < 0.05 for the comparison of the groups treated with TGF-β1 and the groups treated with TGF-β1 and different additional reagents; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; Con: Control; siRNAs: Small interfering RNAs.\nAfter finding that TGF-β1 stimulation induces GLUT1 expression, the specific mechanism by which TGF-β1 induces GLUT1 expression was further explored. Changes in the expression levels of Smad proteins in the canonical pathway activated by TGF-β1 stimulation were first examined. Western blot analysis revealed a time-dependent relationship between Smad2/Smad3 phosphorylation and TGF-β1 stimulation (Figure 3A and B), and phosphorylation occurred at time points close to when GLUT1 expression increased. Next, the direct role of Smads in GLUT1 induction was explored. Smad3 or Smad4 overexpression plasmids were first transiently transfected into HSCs, and then certain groups of HSCs were induced with TGF-β1 for 4 h. Smad3 or Smad4 overexpression promoted GLUT1 expression, and TGF-β1 addition amplified these effects, resulting in a further increase in GLUT1 expression (Figure 3C and D). Smad2/3 and/or Smad4 siRNAs were used to silence their expression levels and to better understand the roles of Smads in the relationship between TGF-β1 and GLUT1 expression, and the analysis performed at 48 h after the transfection of Smad2/3 and/or Smad4 siRNAs showed that TGF-β1-mediated GLUT1 expression was significantly reduced. This change was more significant and the decrease in GLUT1 expression was more substantial when the cells were transfected simultaneously with both siRNAs (Figure 3G and H). Finally, HSCs were sequentially treated with the Smad inhibitor SIS3 for 2 h and then with TGF-β1 for 4 h, resulting in a significant decrease in GLUT1 protein expression (Figure 3E and F). These results preliminarily indicate the important regulatory role of Smad proteins in TGF-β1-mediated GLUT1 expression and suggest that Smad proteins directly participate in the regulation of GLUT1 by TGF-β1.\n\nTransforming growth factor-β1 induces glucose transporter 1 expression through the Smad pathway. A and B: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at various time points. Western blot analysis using specific antibodies (A). Quantitative analysis of the levels of the p-Smad2 and p-Smad3 proteins in five independent experiments (B); C and D: After transiently transfecting HSCs with 2 μg of Smad3 and/or Smad4 expression plasmids, the cells were cultured in serum-free medium for 48 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Green fluorescent protein (GFP) was used as a transfection control. Western blot analysis using specific antibodies (C). Quantitative analysis of glucose transporter 1 (GLUT1) protein expression in five independent experiments (D); E and F: HSCs were first pretreated with a Smad3 inhibitor (SIS3, 20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (E). Quantitative analysis of the GLUT1 protein level in five independent experiments (F); G and H: Mouse primary HSCs were transfected with 20 μmol/L control small interfering RNAs (siRNAs) or siRNAs targeting Smad2/3 and Smad4. After transfection in serum-free medium for 48 h, the cells were treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (G). Quantitative analysis of the GLUT1 protein level in five independent experiments (H) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with that in the group of cells without TGF-β1; dP < 0.05 for the comparison of the groups treated with TGF-β1 and the groups treated with TGF-β1 and different additional reagents; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; Con: Control; siRNAs: Small interfering RNAs.\nThe noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in TGF-β1-mediated GLUT1 induction During fibrosis development, TGF-β1 activates not only the canonical Smad pathway but also noncanonical pathways (such as the PI3K/AKT and p38 MAPK signaling pathways). In addition, the Smad pathway and non-Smad pathways are mutually dependent[28]. Therefore, we questioned whether a non-Smad pathway is involved in the TGF-β1-mediated induction of GLUT1. Changes in the phosphorylation levels of p38 and AKT in HSCs after TGF-β1 stimulation were examined to answer this question. Western blot analyses showed increased levels of phosphorylated p38 and AKT in HSCs after TGF-β1 treatment (Figure 4A-C). HSCs were pretreated with the specific p38 MAPK inhibitor SB203580 and the PI3K inhibitor LY294002 for 1 h and then induced with TGF-β1 to understand the bridging role of p38 MAPK and AKT in TGF-β1-mediated GLUT1 expression. Western blot analyses showed that p-AKT activity was significantly inhibited and that GLUT1 protein expression was significantly reduced (Figure 4D). S6 ribosomal protein and heat shock protein 25 (Hsp25) are downstream proteins in the PI3K/AKT and p38 MAPK pathways, and their phosphorylation was also inhibited. Addition of the p38 inhibitor reduced the phosphorylation of the S6 protein, and the phosphorylation level of Smad2 was also affected; however, Smad3 was not significantly affected (Figure 4D and E). The above results indicate that (1) GLUT1 expression in HSCs did not rely solely on the TGF-β1-mediated Smad pathway, i.e., the p38 MAPK and PI3K/AKT signaling pathways were also involved in TGF-β1-mediated GLUT1 expression, and (2) TGF-β1-mediated pathways did not act independently, as mutual restrictions and interactions between the pathways were observed. Based on the results described above, the effects of inhibiting the Smad3, p38 MAPK and PI3K/AKT pathways on GLUT1 expression were analyzed, and the simultaneous addition of inhibitors of the Smad3, p38 MAPK and PI3K/AKT pathways significantly reduced TGF-β1-mediated GLUT1 expression (Figure 4F and G). In summary, TGF-β1 requires the participation of non-Smad pathways to induce GLUT1 expression during HSC activation.\n\nThe noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in transforming growth factor-β1-mediated glucose transporter 1 expression. A-C: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at different time points. Western blot analysis using specific antibodies (A). Five independent experiments were performed to quantitatively analyze the levels of phosphorylated p38 (B) MAPK and AKT (C); D and E: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm) or the PI3K inhibitor LY294002 (10 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (D). Quantitative analysis of the levels of glucose transporter 1 (GLUT1) and phosphorylated Smad2 and Smad3 proteins (E); F and G: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm), the PI3K inhibitor LY294002 (10 μm) and the Smad inhibitor SIS3 (20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (F). Quantitative analysis of the GLUT1 protein level (G) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with the TGF-β1-treated group or the TGF-β1-untreated group, dP < 0.05, eP < 0.01 and fP < 0.001 for the comparison of the group treated with TGF-β1 and the groups treated with TGF-β1 and the corresponding inhibitors; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1.\nDuring fibrosis development, TGF-β1 activates not only the canonical Smad pathway but also noncanonical pathways (such as the PI3K/AKT and p38 MAPK signaling pathways). In addition, the Smad pathway and non-Smad pathways are mutually dependent[28]. Therefore, we questioned whether a non-Smad pathway is involved in the TGF-β1-mediated induction of GLUT1. Changes in the phosphorylation levels of p38 and AKT in HSCs after TGF-β1 stimulation were examined to answer this question. Western blot analyses showed increased levels of phosphorylated p38 and AKT in HSCs after TGF-β1 treatment (Figure 4A-C). HSCs were pretreated with the specific p38 MAPK inhibitor SB203580 and the PI3K inhibitor LY294002 for 1 h and then induced with TGF-β1 to understand the bridging role of p38 MAPK and AKT in TGF-β1-mediated GLUT1 expression. Western blot analyses showed that p-AKT activity was significantly inhibited and that GLUT1 protein expression was significantly reduced (Figure 4D). S6 ribosomal protein and heat shock protein 25 (Hsp25) are downstream proteins in the PI3K/AKT and p38 MAPK pathways, and their phosphorylation was also inhibited. Addition of the p38 inhibitor reduced the phosphorylation of the S6 protein, and the phosphorylation level of Smad2 was also affected; however, Smad3 was not significantly affected (Figure 4D and E). The above results indicate that (1) GLUT1 expression in HSCs did not rely solely on the TGF-β1-mediated Smad pathway, i.e., the p38 MAPK and PI3K/AKT signaling pathways were also involved in TGF-β1-mediated GLUT1 expression, and (2) TGF-β1-mediated pathways did not act independently, as mutual restrictions and interactions between the pathways were observed. Based on the results described above, the effects of inhibiting the Smad3, p38 MAPK and PI3K/AKT pathways on GLUT1 expression were analyzed, and the simultaneous addition of inhibitors of the Smad3, p38 MAPK and PI3K/AKT pathways significantly reduced TGF-β1-mediated GLUT1 expression (Figure 4F and G). In summary, TGF-β1 requires the participation of non-Smad pathways to induce GLUT1 expression during HSC activation.\n\nThe noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in transforming growth factor-β1-mediated glucose transporter 1 expression. A-C: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at different time points. Western blot analysis using specific antibodies (A). Five independent experiments were performed to quantitatively analyze the levels of phosphorylated p38 (B) MAPK and AKT (C); D and E: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm) or the PI3K inhibitor LY294002 (10 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (D). Quantitative analysis of the levels of glucose transporter 1 (GLUT1) and phosphorylated Smad2 and Smad3 proteins (E); F and G: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm), the PI3K inhibitor LY294002 (10 μm) and the Smad inhibitor SIS3 (20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (F). Quantitative analysis of the GLUT1 protein level (G) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with the TGF-β1-treated group or the TGF-β1-untreated group, dP < 0.05, eP < 0.01 and fP < 0.001 for the comparison of the group treated with TGF-β1 and the groups treated with TGF-β1 and the corresponding inhibitors; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1.\nThe effect of GLUT1 on HSC migration and proliferation Cells were first treated with phloretin (a specific inhibitor of GLUT1) for 30 min or transfected with an siRNA targeting GLUT1, followed by treatment with TGF-β1 for 4 h. The targeted inhibition of GLUT1 by phloretin and the siRNA suppressed the effect of TGF-β1 on the migration and proliferation of HSCs (Figure 5A, B and E). Western blot analyses also showed that siRNA transfection effectively inhibited TGF-β1-induced GLUT1 expression (Figure 5C and D). Therefore, inhibition of GLUT1 expression reverses the effect of TGF-β1 on the migration and proliferation of HSCs and delays the process of HSC transdifferentiation into myofibroblasts. No noticeable effect of the control siRNA on proliferation was identified between TGF-β1-treated cells and TGF-β1/siRNA-control-treated cells or between control/saline-treated cells and saline/siRNA-control-treated cells (Figure 5E). In addition, no obvious effect of siRNA interference on cell viability (Supplementary Figure 2) or the expression of TGF-β receptors was found (Supplementary Figure 3).\n\nThe effect of glucose transporter 1 on the growth and proliferation of hepatic stellate cell. Mouse primary hepatic stellate cells (HSCs) were 1) pretreated with the glucose transporter 1 (GLUT1) inhibitor phloretin (50 μm) for 30 min and then treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 4 h or 2) transiently transfected with small interfering RNAs that inhibited GLUT1 expression, cultured in serum-free medium for 24 h and then treated with TGF-β1 (3 ng/mL) for 4 h. A: Cells were seeded in serum-free medium (4 × 105 cells/well) in the upper chambers of a Transwell system. The lower chambers were filled with 5% glucose medium (700 μL per well). Changes in cell migration were observed. Representative images of crystal violet staining are shown; B: Quantitative data showing the number of migrating cells in each group; C: Western blot analysis using specific antibodies; D: Quantitative analysis of GLUT1 protein expression in three independent experiments; E: The effect of GLUT1 inhibition on the growth/proliferation of HSCs (mean ± SE; bP < 0.01 and cP < 0.001 compared with the group without TGF-β1; eP < 0.01 for the comparison of the TGF-β1-treated group with the groups subjected to TGF-β1 treatment and different interventions; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; siRNAs: Small interfering RNAs.\nCells were first treated with phloretin (a specific inhibitor of GLUT1) for 30 min or transfected with an siRNA targeting GLUT1, followed by treatment with TGF-β1 for 4 h. The targeted inhibition of GLUT1 by phloretin and the siRNA suppressed the effect of TGF-β1 on the migration and proliferation of HSCs (Figure 5A, B and E). Western blot analyses also showed that siRNA transfection effectively inhibited TGF-β1-induced GLUT1 expression (Figure 5C and D). Therefore, inhibition of GLUT1 expression reverses the effect of TGF-β1 on the migration and proliferation of HSCs and delays the process of HSC transdifferentiation into myofibroblasts. No noticeable effect of the control siRNA on proliferation was identified between TGF-β1-treated cells and TGF-β1/siRNA-control-treated cells or between control/saline-treated cells and saline/siRNA-control-treated cells (Figure 5E). In addition, no obvious effect of siRNA interference on cell viability (Supplementary Figure 2) or the expression of TGF-β receptors was found (Supplementary Figure 3).\n\nThe effect of glucose transporter 1 on the growth and proliferation of hepatic stellate cell. Mouse primary hepatic stellate cells (HSCs) were 1) pretreated with the glucose transporter 1 (GLUT1) inhibitor phloretin (50 μm) for 30 min and then treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 4 h or 2) transiently transfected with small interfering RNAs that inhibited GLUT1 expression, cultured in serum-free medium for 24 h and then treated with TGF-β1 (3 ng/mL) for 4 h. A: Cells were seeded in serum-free medium (4 × 105 cells/well) in the upper chambers of a Transwell system. The lower chambers were filled with 5% glucose medium (700 μL per well). Changes in cell migration were observed. Representative images of crystal violet staining are shown; B: Quantitative data showing the number of migrating cells in each group; C: Western blot analysis using specific antibodies; D: Quantitative analysis of GLUT1 protein expression in three independent experiments; E: The effect of GLUT1 inhibition on the growth/proliferation of HSCs (mean ± SE; bP < 0.01 and cP < 0.001 compared with the group without TGF-β1; eP < 0.01 for the comparison of the TGF-β1-treated group with the groups subjected to TGF-β1 treatment and different interventions; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; siRNAs: Small interfering RNAs.\nGLUT1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis \nIn vitro experiments confirmed the importance of GLUT1 in liver fibrosis. Next, we examined whether inhibition of GLUT1 expression suppressed liver fibrosis in vivo. Phloretin, a specific inhibitor of GLUT1, was used, and its effect on CCl4-induced liver fibrosis was examined. After successful establishment of the CCl4-induced model, an i.p. injection of phloretin was administered three times a week; the intervention was discontinued after 2 wk. A simple technical roadmap is shown in Figure 6A. Compared with those in the model group, the areas of collagen fiber deposition were significantly reduced in the liver tissues from mice in the drug intervention group; these findings were confirmed by Masson’s trichrome and Sirius red staining (Figure 6B-D). The degree of liver inflammation was determined by performing serological assessments of changes in ALT and AST levels, and the results indicated that the degree of inflammation was significantly reduced in the drug intervention group (Figure 6E and F). Therefore, the in vivo results revealed that GLUT1 inhibition reduces CCl4-induced liver fibrosis.\n\nGlucose transporter 1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis. A: Schematic diagram of the experiment. C57BL/6 mice were injected intraperitoneally with CCl4 to induce liver fibrosis. The model was successfully established after 4 wk. Among the treatment groups, the CCl4 + phloretin group was intraperitoneally injected with phloretin (10 mg/kg) three times a week, and the CCl4 group was injected with normal saline as a control. The treatments were discontinued after 2 wk; B: Mouse livers were collected, and liver tissue sections were prepared. The sections were subjected to Masson’s trichrome staining, Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining (original magnification, × 10); C: The positive area ratio detected using Sirius red staining; D: The positive area ratio for α-SMA IHC staining; E and F: Serological analysis of ALT (E) and AST (F) levels (n = 5-7; the mean ± SE; scale bar, 100 μm; aP < 0.05 for the comparison between the CCl4 group and the CCl4 + phloretin group; Student’s t test). α-SMA: Alpha-smooth muscle actin.\n\nIn vitro experiments confirmed the importance of GLUT1 in liver fibrosis. Next, we examined whether inhibition of GLUT1 expression suppressed liver fibrosis in vivo. Phloretin, a specific inhibitor of GLUT1, was used, and its effect on CCl4-induced liver fibrosis was examined. After successful establishment of the CCl4-induced model, an i.p. injection of phloretin was administered three times a week; the intervention was discontinued after 2 wk. A simple technical roadmap is shown in Figure 6A. Compared with those in the model group, the areas of collagen fiber deposition were significantly reduced in the liver tissues from mice in the drug intervention group; these findings were confirmed by Masson’s trichrome and Sirius red staining (Figure 6B-D). The degree of liver inflammation was determined by performing serological assessments of changes in ALT and AST levels, and the results indicated that the degree of inflammation was significantly reduced in the drug intervention group (Figure 6E and F). Therefore, the in vivo results revealed that GLUT1 inhibition reduces CCl4-induced liver fibrosis.\n\nGlucose transporter 1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis. A: Schematic diagram of the experiment. C57BL/6 mice were injected intraperitoneally with CCl4 to induce liver fibrosis. The model was successfully established after 4 wk. Among the treatment groups, the CCl4 + phloretin group was intraperitoneally injected with phloretin (10 mg/kg) three times a week, and the CCl4 group was injected with normal saline as a control. The treatments were discontinued after 2 wk; B: Mouse livers were collected, and liver tissue sections were prepared. The sections were subjected to Masson’s trichrome staining, Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining (original magnification, × 10); C: The positive area ratio detected using Sirius red staining; D: The positive area ratio for α-SMA IHC staining; E and F: Serological analysis of ALT (E) and AST (F) levels (n = 5-7; the mean ± SE; scale bar, 100 μm; aP < 0.05 for the comparison between the CCl4 group and the CCl4 + phloretin group; Student’s t test). α-SMA: Alpha-smooth muscle actin.", "The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether GLUT1 is related to liver fibrosis. Successful establishment of the liver fibrosis model was confirmed by Sirius red staining and α-SMA IHC staining (Figure 1A-C). Notably, a significant increase in GLUT1 expression was detected in the liver tissue specimens from the model group (Figure 1A and D). Subsequently, tissue immunofluorescence staining was performed, and the results showed significantly increased GLUT1 expression in liver tissue samples from the CCl4 liver fibrosis model. More importantly, GLUT1 colocalized with α-SMA, indicating a correlation between GLUT1 and liver fibrosis (Figure 1E). IHC staining for GLUT1 and α-SMA was performed using human liver fibrosis specimens and liver specimens from a healthy control group; as expected, GLUT1 expression was significantly higher in the human liver fibrosis specimens (Figure 1F). Finally, whole-liver lysates were prepared from human liver tissue specimens and specimens from the mouse liver fibrosis model, and GLUT1 protein expression was analyzed. The results were consistent with the IHC data (Figure 1G-H). In summary, these results indicate that GLUT1 expression is related to liver fibrosis progression.\n\nGlucose transporter 1 expression is correlated with liver fibrosis progression. A-D: The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether glucose transporter 1 (GLUT1) is related to liver fibrosis. Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining were used to confirm that the liver fibrosis model was successfully established, and then the mice were randomly divided into the CCl4 group and the control oil group (n = 6-10 mice/group) (A); Evaluation of liver fibrosis using Sirius red staining (B); Determination of the area ratio of positive IHC staining for α-SMA in the mouse CCl4-induced liver fibrosis model (C); GLUT1 expression was more abundant in the liver tissue samples from the model group (D); E and F: Immunofluorescence staining for GLUT1 (red) and α-SMA (green) in the CCl4 model. Cell nuclei were counterstained with DAPI. Scale bar for immunofluorescence staining, 200 μm; scale bars for IHC staining and Sirius red staining, 200 μm; G: IHC staining for α-SMA and GLUT1 in the healthy control and liver fibrosis groups (scale bar, 100 μm); H: Western blot analysis of changes in GLUT1 protein levels in the oil group and the CCl4 model group; I: Western blot analysis of GLUT1 protein expression in human liver tissues from the healthy control group and the liver fibrosis group. Data in B-D, G and H are presented as the mean ± SE. Statistically significant differences were detected (compared with the oil group, aP < 0.05 and bP < 0.01; compared with the healthy control group, dP < 0.05). GLUT1: Glucose transporter 1; α-SMA: Alpha-smooth muscle actin.", "We found that GLUT1 colocalized with α-SMA, indicating that GLUT1 expression was increased mainly in activated HSCs because α-SMA is a major marker of HSC transdifferentiation. TGF-β1 is a very important profibrotic factor and regulates metabolic reprogramming in pulmonary fibrosis[27], as reported in some studies. Therefore, we questioned whether the increase in GLUT1 expression in liver fibrosis and TGF-β1 are related. This study first determined the effect of TGF-β1 on glycolysis in HSCs. To assess the dose responses to TGF-β1, we incubated HSCs with different TGF-β1 concentrations ranging from 3 ng/mL to 5 ng/mL, and the results showed similar effects on GLUT1 protein levels (Supplementary Figure 1). Therefore, a TGF-β1 concentration of 3 ng/mL was used for subsequent experiments. Mouse primary HSCs were isolated and cultured, and the cells were stimulated with TGF-β1 for 24 h prior to the experiments. TGF-β1 stimulation led to an early and continuous increase in the ECAR (an indicator of extracellular acid production) in HSCs, indicating that glycolysis was enhanced in these cells (Figure 2A and B). In addition, the intracellular and extracellular levels (in the medium) of lactic acid were examined to further confirm the glycolytic changes in HSCs. Both intracellular and extracellular lactic acid levels were significantly increased. Consistent with the increase in glycolysis, the level of glucose consumption also increased in these cells (Figure 2C and D). Therefore, TGF-β1 induces glycolysis during the process of HSC transdifferentiation. The expression levels of key glycolytic enzymes in these cells were evaluated; the expression levels of HK-2, PKM-2 and GLUT1 were upregulated, and the increase in GLUT1 expression was particularly significant (Figure 2F-H). Based on these findings, the increase in glycolysis during HSC transdifferentiation is related to the upregulation of key glycolysis enzymes. Similarly, the expression of α-SMA, a marker of transdifferentiation, also increased during the TGF-β1-mediated activation of HSCs (Figure 2I). GLUT1 protein expression was examined at various time points after stimulating HSCs with TGF-β1 (3 ng/mL) to determine whether TGF-β1 stimulates GLUT1 expression in a time-dependent manner, and the results showed that GLUT1 expression increased 2 h after stimulation with TGF-β1 and peaked at 8 h. These results indicate a time-dependent relationship between the increase in GLUT1 expression and TGF-β1 stimulation, which is consistent with the early increase in aerobic glycolysis in HSCs (Figure 2J). Finally, the addition of an inhibitor of the type 1 TGF-β1 receptor inhibited TGF-β1-induced GLUT1 expression in HSCs, suggesting that GLUT1 induction was mediated by TGF-β1 (Figure 2K). Based on these data, TGF-β1 is involved in glycolysis during HSC transdifferentiation and mediates GLUT1 expression, thereby promoting HSC transdifferentiation.\n\nStimulation of hepatic stellate cells with transforming growth factor-β1 induces glucose transporter 1 expression and promotes glycolysis. A: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were seeded into Seahorse XF-24 cell culture microplates (5 × 104 cells/well). The cells were first treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 0, 6 or 24 h, followed by sequential treatment with oligomycin (Oligo) and carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone (FCCP). The extracellular acidification rate (ECAR) was recorded in real time; B: The basic ECAR. n = 6; the mean ± SE; aP < 0.05 compared to the level before TGF-β1 treatment (0 h); unpaired t test; C and D: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. The cells were then lysed, and the lactic acid contents in the cell lysate (C) and the culture medium (D) were examined; E: Determination of glucose consumption in the culture medium; F-I: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. RNA was purified, and RT-PCR was performed to examine the expression levels of glucose transporter 1 (GLUT1) (F), HK-2 (G), PKM-2 (H) and α-SMA (I), n = 5, the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with those at 0 h or those in the TGF-β1-untreated group; one-way analysis of variance (ANOVA); J: Western blot analysis of the expression levels of GLUT1 and tubulin at various time points after HSCs were treated with TGF-β1 (3 ng/mL); K: Examination of the changes in GLUT1 and tubulin levels after sequential treatment with a type 1 TGF-β receptor inhibitor (LY2109761, 2 μm) for 1 h and then with TGF-β1 (3 ng/mL) for 0, 8 or 24 h. All experiments shown in A-E and F-I were performed 2-3 times. Inhi: Inhibitor; Con: Control; FCCP: Carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone; ECAR: Extracellular acidification rate; GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1.", "After finding that TGF-β1 stimulation induces GLUT1 expression, the specific mechanism by which TGF-β1 induces GLUT1 expression was further explored. Changes in the expression levels of Smad proteins in the canonical pathway activated by TGF-β1 stimulation were first examined. Western blot analysis revealed a time-dependent relationship between Smad2/Smad3 phosphorylation and TGF-β1 stimulation (Figure 3A and B), and phosphorylation occurred at time points close to when GLUT1 expression increased. Next, the direct role of Smads in GLUT1 induction was explored. Smad3 or Smad4 overexpression plasmids were first transiently transfected into HSCs, and then certain groups of HSCs were induced with TGF-β1 for 4 h. Smad3 or Smad4 overexpression promoted GLUT1 expression, and TGF-β1 addition amplified these effects, resulting in a further increase in GLUT1 expression (Figure 3C and D). Smad2/3 and/or Smad4 siRNAs were used to silence their expression levels and to better understand the roles of Smads in the relationship between TGF-β1 and GLUT1 expression, and the analysis performed at 48 h after the transfection of Smad2/3 and/or Smad4 siRNAs showed that TGF-β1-mediated GLUT1 expression was significantly reduced. This change was more significant and the decrease in GLUT1 expression was more substantial when the cells were transfected simultaneously with both siRNAs (Figure 3G and H). Finally, HSCs were sequentially treated with the Smad inhibitor SIS3 for 2 h and then with TGF-β1 for 4 h, resulting in a significant decrease in GLUT1 protein expression (Figure 3E and F). These results preliminarily indicate the important regulatory role of Smad proteins in TGF-β1-mediated GLUT1 expression and suggest that Smad proteins directly participate in the regulation of GLUT1 by TGF-β1.\n\nTransforming growth factor-β1 induces glucose transporter 1 expression through the Smad pathway. A and B: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at various time points. Western blot analysis using specific antibodies (A). Quantitative analysis of the levels of the p-Smad2 and p-Smad3 proteins in five independent experiments (B); C and D: After transiently transfecting HSCs with 2 μg of Smad3 and/or Smad4 expression plasmids, the cells were cultured in serum-free medium for 48 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Green fluorescent protein (GFP) was used as a transfection control. Western blot analysis using specific antibodies (C). Quantitative analysis of glucose transporter 1 (GLUT1) protein expression in five independent experiments (D); E and F: HSCs were first pretreated with a Smad3 inhibitor (SIS3, 20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (E). Quantitative analysis of the GLUT1 protein level in five independent experiments (F); G and H: Mouse primary HSCs were transfected with 20 μmol/L control small interfering RNAs (siRNAs) or siRNAs targeting Smad2/3 and Smad4. After transfection in serum-free medium for 48 h, the cells were treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (G). Quantitative analysis of the GLUT1 protein level in five independent experiments (H) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with that in the group of cells without TGF-β1; dP < 0.05 for the comparison of the groups treated with TGF-β1 and the groups treated with TGF-β1 and different additional reagents; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; Con: Control; siRNAs: Small interfering RNAs.", "During fibrosis development, TGF-β1 activates not only the canonical Smad pathway but also noncanonical pathways (such as the PI3K/AKT and p38 MAPK signaling pathways). In addition, the Smad pathway and non-Smad pathways are mutually dependent[28]. Therefore, we questioned whether a non-Smad pathway is involved in the TGF-β1-mediated induction of GLUT1. Changes in the phosphorylation levels of p38 and AKT in HSCs after TGF-β1 stimulation were examined to answer this question. Western blot analyses showed increased levels of phosphorylated p38 and AKT in HSCs after TGF-β1 treatment (Figure 4A-C). HSCs were pretreated with the specific p38 MAPK inhibitor SB203580 and the PI3K inhibitor LY294002 for 1 h and then induced with TGF-β1 to understand the bridging role of p38 MAPK and AKT in TGF-β1-mediated GLUT1 expression. Western blot analyses showed that p-AKT activity was significantly inhibited and that GLUT1 protein expression was significantly reduced (Figure 4D). S6 ribosomal protein and heat shock protein 25 (Hsp25) are downstream proteins in the PI3K/AKT and p38 MAPK pathways, and their phosphorylation was also inhibited. Addition of the p38 inhibitor reduced the phosphorylation of the S6 protein, and the phosphorylation level of Smad2 was also affected; however, Smad3 was not significantly affected (Figure 4D and E). The above results indicate that (1) GLUT1 expression in HSCs did not rely solely on the TGF-β1-mediated Smad pathway, i.e., the p38 MAPK and PI3K/AKT signaling pathways were also involved in TGF-β1-mediated GLUT1 expression, and (2) TGF-β1-mediated pathways did not act independently, as mutual restrictions and interactions between the pathways were observed. Based on the results described above, the effects of inhibiting the Smad3, p38 MAPK and PI3K/AKT pathways on GLUT1 expression were analyzed, and the simultaneous addition of inhibitors of the Smad3, p38 MAPK and PI3K/AKT pathways significantly reduced TGF-β1-mediated GLUT1 expression (Figure 4F and G). In summary, TGF-β1 requires the participation of non-Smad pathways to induce GLUT1 expression during HSC activation.\n\nThe noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in transforming growth factor-β1-mediated glucose transporter 1 expression. A-C: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at different time points. Western blot analysis using specific antibodies (A). Five independent experiments were performed to quantitatively analyze the levels of phosphorylated p38 (B) MAPK and AKT (C); D and E: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm) or the PI3K inhibitor LY294002 (10 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (D). Quantitative analysis of the levels of glucose transporter 1 (GLUT1) and phosphorylated Smad2 and Smad3 proteins (E); F and G: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm), the PI3K inhibitor LY294002 (10 μm) and the Smad inhibitor SIS3 (20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (F). Quantitative analysis of the GLUT1 protein level (G) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with the TGF-β1-treated group or the TGF-β1-untreated group, dP < 0.05, eP < 0.01 and fP < 0.001 for the comparison of the group treated with TGF-β1 and the groups treated with TGF-β1 and the corresponding inhibitors; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1.", "Cells were first treated with phloretin (a specific inhibitor of GLUT1) for 30 min or transfected with an siRNA targeting GLUT1, followed by treatment with TGF-β1 for 4 h. The targeted inhibition of GLUT1 by phloretin and the siRNA suppressed the effect of TGF-β1 on the migration and proliferation of HSCs (Figure 5A, B and E). Western blot analyses also showed that siRNA transfection effectively inhibited TGF-β1-induced GLUT1 expression (Figure 5C and D). Therefore, inhibition of GLUT1 expression reverses the effect of TGF-β1 on the migration and proliferation of HSCs and delays the process of HSC transdifferentiation into myofibroblasts. No noticeable effect of the control siRNA on proliferation was identified between TGF-β1-treated cells and TGF-β1/siRNA-control-treated cells or between control/saline-treated cells and saline/siRNA-control-treated cells (Figure 5E). In addition, no obvious effect of siRNA interference on cell viability (Supplementary Figure 2) or the expression of TGF-β receptors was found (Supplementary Figure 3).\n\nThe effect of glucose transporter 1 on the growth and proliferation of hepatic stellate cell. Mouse primary hepatic stellate cells (HSCs) were 1) pretreated with the glucose transporter 1 (GLUT1) inhibitor phloretin (50 μm) for 30 min and then treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 4 h or 2) transiently transfected with small interfering RNAs that inhibited GLUT1 expression, cultured in serum-free medium for 24 h and then treated with TGF-β1 (3 ng/mL) for 4 h. A: Cells were seeded in serum-free medium (4 × 105 cells/well) in the upper chambers of a Transwell system. The lower chambers were filled with 5% glucose medium (700 μL per well). Changes in cell migration were observed. Representative images of crystal violet staining are shown; B: Quantitative data showing the number of migrating cells in each group; C: Western blot analysis using specific antibodies; D: Quantitative analysis of GLUT1 protein expression in three independent experiments; E: The effect of GLUT1 inhibition on the growth/proliferation of HSCs (mean ± SE; bP < 0.01 and cP < 0.001 compared with the group without TGF-β1; eP < 0.01 for the comparison of the TGF-β1-treated group with the groups subjected to TGF-β1 treatment and different interventions; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; siRNAs: Small interfering RNAs.", "\nIn vitro experiments confirmed the importance of GLUT1 in liver fibrosis. Next, we examined whether inhibition of GLUT1 expression suppressed liver fibrosis in vivo. Phloretin, a specific inhibitor of GLUT1, was used, and its effect on CCl4-induced liver fibrosis was examined. After successful establishment of the CCl4-induced model, an i.p. injection of phloretin was administered three times a week; the intervention was discontinued after 2 wk. A simple technical roadmap is shown in Figure 6A. Compared with those in the model group, the areas of collagen fiber deposition were significantly reduced in the liver tissues from mice in the drug intervention group; these findings were confirmed by Masson’s trichrome and Sirius red staining (Figure 6B-D). The degree of liver inflammation was determined by performing serological assessments of changes in ALT and AST levels, and the results indicated that the degree of inflammation was significantly reduced in the drug intervention group (Figure 6E and F). Therefore, the in vivo results revealed that GLUT1 inhibition reduces CCl4-induced liver fibrosis.\n\nGlucose transporter 1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis. A: Schematic diagram of the experiment. C57BL/6 mice were injected intraperitoneally with CCl4 to induce liver fibrosis. The model was successfully established after 4 wk. Among the treatment groups, the CCl4 + phloretin group was intraperitoneally injected with phloretin (10 mg/kg) three times a week, and the CCl4 group was injected with normal saline as a control. The treatments were discontinued after 2 wk; B: Mouse livers were collected, and liver tissue sections were prepared. The sections were subjected to Masson’s trichrome staining, Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining (original magnification, × 10); C: The positive area ratio detected using Sirius red staining; D: The positive area ratio for α-SMA IHC staining; E and F: Serological analysis of ALT (E) and AST (F) levels (n = 5-7; the mean ± SE; scale bar, 100 μm; aP < 0.05 for the comparison between the CCl4 group and the CCl4 + phloretin group; Student’s t test). α-SMA: Alpha-smooth muscle actin.", "In normal liver tissues, quiescent HSCs express TGF-β1 at low levels, while TGF-β1 is immediately upregulated after acute or chronic liver injury and interacts with multiple signaling pathways to induce HSC activation and proliferation and extensive ECM production[29,30]. TGF-β1 enhances aerobic glycolysis, amino acid uptake and lactic acid production in Ras- and Myc-transformed cells. TGF-β1 contributes to the metabolic reprogramming of cancer cells and tumor-associated stromal cells[31]. When used to replace a peritoneal dialysis solution, TGF-β1 stimulates glycolysis and inhibits mitochondrial respiration of mesothelial cells, thus promoting the development of peritoneal fibrosis[32]. Preliminary yet strong evidence supporting the importance of metabolic reprogramming in the activation of fibroblasts is steadily accumulating. Research on the mechanism of organ fibrosis also shows that TGF-β1 is related to the occurrence of aerobic glycolysis and mitochondrial dysfunction. The transdifferentiation of resting HSCs into hepatic fibroblasts has been confirmed to be related to mutual transformation between glycolytic enzymes and gluconeogenic enzymes triggered by Hedgehog signaling[33]. Glycolysis is an important pathway of glucose metabolism, and GLUT1 is the most widely expressed glucose transporter in mammals; its expression is regulated by changes in metabolic status and oxidative stress. GLUT1 is also an important marker of liver carcinogenesis and metabolic liver diseases[34]. GLUT1-dependent glycolysis exacerbates lung fibrogenesis during Streptococcus pneumoniae infection via AIM2 inflammasome activation[35]. In the pathogenesis of diabetic glomerulosclerosis, TGF-β1 triggers GLUT1 activation by stretching glomerular mesangial cells. In breast cancer cells, long-term exposure to TGF-β1 restores GLUT1 expression and results in stable EMT and unlimited cell proliferation[36,37]. Therefore, we questioned whether TGF-β1 and GLUT1 are related to liver fibrosis.\nThis study showed a significant increase in GLUT1 expression in human and mouse fibrotic liver tissues, which is consistent with the research results of Wan et al[24]. With the increase in TGF-β1 Levels, the gene expression levels of key enzymes, including GLUT1, in the glycolytic pathway are elevated, glucose consumption and intracellular lactate production are also increased, and glycolytic flux by HSCs is enhanced. As expected, the results of this study are consistent with those of previous studies assessing the mechanism of metabolic reprogramming of pulmonary fibrotic fibroblasts[38], indicating that TGF-β1 induces aerobic glycolysis and drives the occurrence of metabolic reprogramming during the process of stromal cell transdifferentiation. Increased GLUT1 expression also contributes to an elevated glycolytic rate, increased lactic acid production and enhanced glucose-dependent metabolic pathways in cells. In contrast, GLUT1 expression decreased significantly after the addition of a TGF-β1 receptor inhibitor, indicating that GLUT1 expression is related to TGF-β1 signaling. Experiments involving Smad overexpression, siRNA-mediated knockout and Smad inhibitors showed that the response of GLUT1 to TGF-β1 was at least partially dependent on the Smad pathway. Studies have identified a cascade of related pathways activated by TGF-β1. Therefore, this study attempted to verify whether non-Smad pathways were also involved in the induction of GLUT1 expression in HSCs. The noncanonical PI3K/AKT and p38 MAPK pathways activated by TGF-β1 were examined. In colorectal cancer (CRC) cells, silencing GLUT1 expression inactivates the TGF-β1/PI3K/AKT signaling pathway, inhibits the proliferation of CRC cells and promotes apoptosis. MAPK activation by TGF-β1 may trigger GLUT1 synthesis[39,40]. Based on the results of the present study, the simultaneous addition of specific inhibitors of the PI3K/AKT and p38 pathways, i.e., SB203580 and LY294002, respectively, reduced TGF-β1-induced GLUT1 protein expression. The addition of the p38 pathway inhibitor resulted in a decrease in Smad2 protein phosphorylation, changes in the phosphorylated AKT level and changes in the phosphorylation level of a protein downstream of PI3K/AKT signaling (namely, S6); therefore, we speculated that the p38 MAPK pathway acted as a bridge between the TGF-β1-mediated Smad and AKT pathways in HSCs and that reduced activation of the p38 MAPK pathway would inhibit the latter two pathways. In addition, the p38 MAPK pathway might limit Smad pathway-mediated GLUT1 expression to a certain extent. These results are consistent with the previously reported crosstalk between Smad and p38 MAPK in TGF-β1 signal transduction in human glioblastoma cells[41]. However, the specific mechanism underlying the interaction among TGF-β1 pathways in the induction of aerobic glycolysis in stellate cells requires further study. The significant reduction in GLUT1 protein expression was related to the simultaneous inhibition of the Smad3, p38 MAPK and PI3K signaling pathways, indicating that GLUT1 protein expression during stellate cell activation requires the activation and signaling of these three pathways. Moreover, activation of the p38 MAPK pathway might result in a certain synergistic effect with the Smad2/3 pathway (Figure 7).\n\nSchematic representation of the mechanisms implicated in canonical and noncanonical transforming growth factor-β pathways regulating glucose transporter 1 expression. TGF-β1: Transforming growth factor-β1; GLUT1: Glucose transporter 1; MF-HSC: Myofibroblasts-hepatic stellate cells; α-SMA: Alpha-smooth muscle actin.\nTGF-β1 is a pleiotropic cytokine with an important role in the occurrence of liver fibrosis. According to previous studies, TGF-β1 signaling clearly promotes cell migration, matrix synthesis and HSC differentiation toward myofibroblasts. Moreover, the effect of TGF-β1 on fibroblast migration and proliferation depends on changes in the microenvironment[42]. As shown in the present study, TGF-β1 promoted the proliferative and migratory capabilities of HSCs, functions that are hallmarks of cell transformation. The addition of a pharmacological inhibitor of GLUT1 activity (phloretin, an effective GLUT1 inhibitor capable of inhibiting bleomycin-induced pulmonary fibrosis in vivo[43]) and silencing of the GLUT1 gene eliminated TGF-β1-induced proliferation, growth and migration. Finally, a GLUT1 inhibitor was used in in vivo experiments, and the degree of mouse liver fibrosis improved, collagen fiber deposition decreased, and the degree of inflammation decreased. Given the importance of GLUT1, the experimental results revealed that GLUT1 is involved in aerobic glycolysis during HSC activation and that aerobic glycolysis is a response to TGF-β1 signaling mediated by the Smad, PI3K/AKT and p38 MAPK pathways.", "In summary, TGF-β1-induced GLUT1 expression may be one of the mechanisms involved in the reprogramming of HSCs, providing an expanded basis and new insights for the mechanism of action of TGF-β1 in metabolic reprogramming during liver fibrosis. GLUT1 plays an important role in aerobic glycolysis in HSCs and in promoting cell proliferation and transformation. GLUT1 inhibition may be an alternative therapy to the current traditional treatments for liver fibrosis. However, the extent to which GLUT1 inhibition contributes to elimination of the profibrotic effect of TGF-β1 and the specific molecular mechanisms of the interaction between the two may require verification using approaches combining proteomics and single-cell sequencing, which may be an attractive research direction in the future." ]
[ null, "methods", null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Gene regulation", "Glycolysis", "Liver fibrosis", "Glucose transporter 1", "Transforming growth factor-β1" ]
INTRODUCTION: Liver fibrosis is the inevitable result of chronic liver inflammation caused by various etiologies. With progressive destruction of liver parenchymal cells, liver fibrosis eventually develops into liver cirrhosis and even liver cancer[1,2]. Although liver cirrhosis and liver cancer are irreversible, liver fibrosis can be reversed. Therefore, the mechanism of and clinical studies on liver fibrosis have always been the focus of liver disease research. The main pathological feature of liver fibrosis is the excessive deposition of extracellular matrix (ECM), while the key initiating factors are activation of quiescent hepatic stellate cells (HSCs) and transformation of their phenotypes and functions[3]. The transforming growth factor-β1 (TGF-β1) pathway is the key fibrogenic pathway that drives HSC activation and induces ECM production. HSC activation requires metabolic reprogramming and a continuous energy supply[4,5]. Aerobic glycolysis is an important metabolic characteristic of the transdifferentiation of quiescent stellate cells, a process similar to the Warburg effect in tumor cells, and the core metabolic changes include a transition from oxidative phosphorylation to aerobic glycolysis[6]. Dysregulated glycolysis has been implicated in experimental models of lung and liver fibrosis, and inhibition of glycolysis reduces ECM accumulation[7]. In view of the mechanisms involved, targeting and inhibiting the metabolic reprogramming of activated HSCs during liver fibrosis may be a promising anti-liver fibrosis strategy. TGF-β1 is a multifunctional cytokine and a major profibrotic cytokine that regulates cell differentiation, cell proliferation and ECM production and directly regulates multiple cellular signal transduction networks[8]. In the canonical TGF-β1/mothers-against-decapentaplegic-homolog 2/3 (Smad2/3) pathway, ligands induce the assembly of the TGF-β1 receptor I (TβRI)/TGF-β1 receptor II (TβRII) heterocomplex, which targets Smad4 via Smad2 and Smad3 proteins to form the Smad complex, leading to phosphorylation and nuclear translocation of Smad2/3; this R-Smad/Co-Smad4 complex translocates to the nucleus where it binds to DNA either directly or in association with other DNA-binding proteins[9-11]. Phosphorylated Smad2/3 binds to specific Smad binding elements (SBEs) in gene promoter regions to activate/suppress the expression of target genes[12,13]. In addition to Smads, TGF-β1 also triggers other protein-mediated signaling pathways, e.g., p38, mitogen-activated protein kinases (MAPKs) and phosphoinositide 3-kinase (PI3K). Some functions of TGF-β1 have been studied in depth, such as the mediation of cell differentiation and proliferation. However, TGF-β1 has recently been reported to induce aerobic glycolysis and is considered a driving factor in metabolic reprogramming[14]. TGF-β is also a strong activator of glycolysis in mesenchymal cells[15]. Extracellular accumulation of lactic acid induces epithelial-mesenchymal transition (EMT) by directly reconstituting the ECM and releasing activated TGF-β1. EMT induced by TGF-β in hepatocellular carcinoma cells reprograms lipid metabolism to sustain the elevated energy requirements associated with this process[16]. Research on the mechanism of idiopathic pulmonary fibrosis has shown that TGF-β1-induced aerobic glycolysis causes lactic acid accumulation and changes the cellular microenvironment, thereby activating latent TGF-β1 in the ECM and eventually forming a positive feedback loop to promote the effects of TGF-β1[17]. Glucose transporter 1 (GLUT1) is a member of the GLUT transporter family, the most conserved and most widely distributed glucose transporter in mammals and the main transporter regulating glucose uptake[18]. An increasing number of studies have found that GLUT1 plays an important role in accelerated metabolism. Research on the mechanism of neurodegenerative diseases has revealed that GLUT1 controls the activation of microglia by promoting aerobic glycolysis[19]. GLUT1 enhances the stimulating effect of TGF-β1 on mesangial cells, breast cancer cells and pancreatic cancer cells. As glucose uptake increases during TGF-β1-induced EMT of breast cancer cells, GLUT1 expression also increases and is correlated with EMT markers (including E-cadherin and vimentin). GLUT1 is the key mediator of the aerobic glycolysis phenotype in ovarian cancer and is required to maintain a high level of basic aerobic glycolysis. In models of bleomycin-induced pulmonary fibrosis, GLUT1-dependent aerobic glycolysis has been reported to be essential for pulmonary parenchymal fibrosis[20-23]. Certain signaling molecules (such as cAMP, p53, PI3K and AKT) reduce alpha-smooth muscle actin (α-SMA) protein expression in primary mouse fibroblasts by inhibiting GLUT1 expression. Exosomes secreted by activated HSCs affect the metabolic switch of liver nonparenchymal cells through delivery of the glycolysis-related proteins GLUT1 and PKM2; GLUT1 is involved in metabolic reprogramming of HSCs[24]. TGF-β1 and GLUT1 play important regulatory roles in metabolic reprogramming. To date, however, researchers have not explored whether the increases in TGF-β1 and GLUT1 Levels during HSC activation are related. Therefore, this study investigated the effect of the TGF-β1 signaling pathway on the regulation of GLUT1 and aerobic glycolysis. We hypothesized that TGF-β1 drives HSC activation and aerobic glycolysis by inducing GLUT1 expression, thereby promoting liver fibrosis progression. As shown in the present study, GLUT1 expression was significantly increased in mouse and human fibrotic liver tissue samples. Further in vitro experiments showed that the aerobic glycolysis capacity of HSCs was enhanced and GLUT1 expression increased with increasing TGF-β1 Levels. Inhibition/ promotion of the Smad2/3 signaling pathway and inhibition of the p38 and PI3K/AKT signaling pathways confirmed that TGF-β1 induced GLUT1 expression by targeting the pSmad2/3, p38 and PI3K/AKT pathways, thus promoting HSC activation. Finally, administration of a specific GLUT1 inhibitor in a mouse model of liver fibrosis resulted in a significant reduction in liver fibrosis. Based on these findings, the TGF-β1 signaling pathway enhances aerobic glycolysis by promoting GLUT1 expression, thereby promoting the development of liver fibrosis. MATERIALS AND METHODS: Reagents and antibodies The TGF-β1 antibody was purchased from R&D Systems (Minneapolis, MN, United States); antibodies against GLUT1, p-Smad2/3, Smad2/3, p-P38, p-AKT and desmin were purchased from Abcam (Cambridge, MA, United States), and the tubulin antibody was purchased from Research Diagnostics (Flanders, NJ, United States). The anti-α-SMA antibody, carbon tetrachloride (CCl4), corn oil, OptiPrep and other chemicals and reagents were purchased from Sigma-Aldrich (St. Louis, MO, United States) and Fisher Scientific (Waltham, MA, United States). A TβRI/II inhibitor (APExBIO Technology, United States) was used at 2 μmol/L. Inhibitors of p38 MAPK and PI3K, namely, SB203580 and LY294002, respectively, were purchased from Abcam (Cambridge, MA, United States). The Smad3 inhibitors SIS3 and phloretin were purchased from Abcam (Cambridge, MA, United States). The TGF-β1 antibody was purchased from R&D Systems (Minneapolis, MN, United States); antibodies against GLUT1, p-Smad2/3, Smad2/3, p-P38, p-AKT and desmin were purchased from Abcam (Cambridge, MA, United States), and the tubulin antibody was purchased from Research Diagnostics (Flanders, NJ, United States). The anti-α-SMA antibody, carbon tetrachloride (CCl4), corn oil, OptiPrep and other chemicals and reagents were purchased from Sigma-Aldrich (St. Louis, MO, United States) and Fisher Scientific (Waltham, MA, United States). A TβRI/II inhibitor (APExBIO Technology, United States) was used at 2 μmol/L. Inhibitors of p38 MAPK and PI3K, namely, SB203580 and LY294002, respectively, were purchased from Abcam (Cambridge, MA, United States). The Smad3 inhibitors SIS3 and phloretin were purchased from Abcam (Cambridge, MA, United States). Generation of a mouse model of liver fibrosis The animal protocol was designed to minimize pain or discomfort to the animals. The animals were acclimated to laboratory conditions (22 °C, 12-h/12-h light/dark cycle, 50% humidity, ad libitum access to food and water) for 1 wk prior to experimentation. The methods and experimental procedures were carried out in accordance with the relevant guidelines and regulations. Mice (C57BL6, eight to ten weeks old) were housed in standard conditions, and sex-matched mice were treated with 2.0 μL/g body weight CCl4 [diluted 1:10 (v/v) with corn oil] or corn oil as a control by intraperitoneal (i.p.) injections three times per week for 4 wk[25]. Mice were challenged with CCl4 or corn oil (control), followed by an i.p. injection of phloretin (10 mg/kg, three times per week for 2 wk) or 0.9% saline (vehicle). Mice were sacrificed at 48 h after the experiment ended, and tissues were harvested. The animal protocol was designed to minimize pain or discomfort to the animals. The animals were acclimated to laboratory conditions (22 °C, 12-h/12-h light/dark cycle, 50% humidity, ad libitum access to food and water) for 1 wk prior to experimentation. The methods and experimental procedures were carried out in accordance with the relevant guidelines and regulations. Mice (C57BL6, eight to ten weeks old) were housed in standard conditions, and sex-matched mice were treated with 2.0 μL/g body weight CCl4 [diluted 1:10 (v/v) with corn oil] or corn oil as a control by intraperitoneal (i.p.) injections three times per week for 4 wk[25]. Mice were challenged with CCl4 or corn oil (control), followed by an i.p. injection of phloretin (10 mg/kg, three times per week for 2 wk) or 0.9% saline (vehicle). Mice were sacrificed at 48 h after the experiment ended, and tissues were harvested. Patient liver samples Normal and liver fibrosis tissue samples were obtained from patients treated at the Department of Hepatobiliary Surgery of the Affiliated Hospital of Guizhou Medical University (Guiyang, China). Written informed consent was obtained from the patients. Normal and liver fibrosis tissue samples were obtained from patients treated at the Department of Hepatobiliary Surgery of the Affiliated Hospital of Guizhou Medical University (Guiyang, China). Written informed consent was obtained from the patients. Western blot analysis Immunoblotting was performed using whole-liver tissue lysates or whole-cell lysates prepared in buffer containing 1% NP-40 as described previously[26]. Total proteins were extracted and quantified using Bradford protein quantification kits. Protein samples (40 μg each) were resolved by sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE). The proteins were transferred onto polyvinylidene fluoride (PVDF) membranes and incubated with primary antibodies overnight at 4 °C. On the next day, signals were developed with an electrochemiluminescence detection kit after incubation with the appropriate secondary antibodies. Immunoblotting was performed using whole-liver tissue lysates or whole-cell lysates prepared in buffer containing 1% NP-40 as described previously[26]. Total proteins were extracted and quantified using Bradford protein quantification kits. Protein samples (40 μg each) were resolved by sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE). The proteins were transferred onto polyvinylidene fluoride (PVDF) membranes and incubated with primary antibodies overnight at 4 °C. On the next day, signals were developed with an electrochemiluminescence detection kit after incubation with the appropriate secondary antibodies. Cells and cell culture Primary mouse HSCs were isolated and cultured as described previously[26]. Briefly, cells were isolated from livers through in situ liver perfusion with pronase, Liberase and collagenase followed by density gradient centrifugation. The dispersed cell suspension was filtered and gradiently centrifuged for 2 min to remove hepatocytes. The remaining cell fraction was washed and resuspended in 11.5% OptiPrep and then gently transferred to a tube containing 15% OptiPrep at the bottom, followed by PBS addition as the top layer. The cell fraction was then centrifuged at 1400 rpm/min for 20 min. The HSC fraction layer was obtained at the interface between the top and intermediate layers. The purity of the HSC fraction was estimated based on autofluorescence 1 d after isolation and was always greater than 97%. Flow cytometry was used to identify the purity of primary cells. In brief, the cells were digested with trypsin, centrifuged at 1000 rpm/min for 10 min, washed twice with PBS, resuspended in EP tubes (100 μL/tube) and centrifuged at 2000 rpm/min for 6 min. Then, the supernatant was discarded, 100 μL of PBS was added, and the cells were resuspended and dispersed. A mouse monoclonal antibody against desmin (desmin is a typical molecular marker of HSCs) was added, and the cells were incubated at 1:100 for 1.5 h and centrifuged at 2000 rpm/min for 6 min. Centrifugation was repeated twice. The cells were resuspended and dispersed by adding 100 μL of PBS. Fluorescence-labeled anti-mouse secondary antibody (1:1000) was added, followed by incubation at 4 °C for 30 min in the dark. Next, 1 mL of PBS was added to each tube, followed by centrifugation at 2000 rpm/min for 6 min, which was repeated twice. Finally, 0.5 mL of PBS was added to resuspend the cells, and then the cells were subjected to flow cytometry measurements. HSCs were also confirmed to lack E-cadherin expression. Cell viability was also examined, and HSCs were maintained in Dulbecco’s modified Eagle’s medium (DMEM) supplemented with 10% fetal bovine serum and antibiotics as described previously[26]. Cells were starved or treated on day 2 after isolation, and the duration of starvation or treatment is described in each figure legend. The duration of the whole experiment was 5-7 d after HSC isolation, and cells at passages 1-2 were used (as cells were passaged from regular culture flasks to experimental cell culture wells for some experiments). Primary mouse HSCs were isolated and cultured as described previously[26]. Briefly, cells were isolated from livers through in situ liver perfusion with pronase, Liberase and collagenase followed by density gradient centrifugation. The dispersed cell suspension was filtered and gradiently centrifuged for 2 min to remove hepatocytes. The remaining cell fraction was washed and resuspended in 11.5% OptiPrep and then gently transferred to a tube containing 15% OptiPrep at the bottom, followed by PBS addition as the top layer. The cell fraction was then centrifuged at 1400 rpm/min for 20 min. The HSC fraction layer was obtained at the interface between the top and intermediate layers. The purity of the HSC fraction was estimated based on autofluorescence 1 d after isolation and was always greater than 97%. Flow cytometry was used to identify the purity of primary cells. In brief, the cells were digested with trypsin, centrifuged at 1000 rpm/min for 10 min, washed twice with PBS, resuspended in EP tubes (100 μL/tube) and centrifuged at 2000 rpm/min for 6 min. Then, the supernatant was discarded, 100 μL of PBS was added, and the cells were resuspended and dispersed. A mouse monoclonal antibody against desmin (desmin is a typical molecular marker of HSCs) was added, and the cells were incubated at 1:100 for 1.5 h and centrifuged at 2000 rpm/min for 6 min. Centrifugation was repeated twice. The cells were resuspended and dispersed by adding 100 μL of PBS. Fluorescence-labeled anti-mouse secondary antibody (1:1000) was added, followed by incubation at 4 °C for 30 min in the dark. Next, 1 mL of PBS was added to each tube, followed by centrifugation at 2000 rpm/min for 6 min, which was repeated twice. Finally, 0.5 mL of PBS was added to resuspend the cells, and then the cells were subjected to flow cytometry measurements. HSCs were also confirmed to lack E-cadherin expression. Cell viability was also examined, and HSCs were maintained in Dulbecco’s modified Eagle’s medium (DMEM) supplemented with 10% fetal bovine serum and antibiotics as described previously[26]. Cells were starved or treated on day 2 after isolation, and the duration of starvation or treatment is described in each figure legend. The duration of the whole experiment was 5-7 d after HSC isolation, and cells at passages 1-2 were used (as cells were passaged from regular culture flasks to experimental cell culture wells for some experiments). Histological and immunohistochemical studies Liver samples were fixed with formalin, embedded in paraffin, sectioned and processed routinely for Masson’s trichrome and Sirius red staining. Antibodies used for immunohistochemical (IHC) staining of GLUT1 and α-SMA were purchased from Abcam Technology, United States. Liver samples were fixed with formalin, embedded in paraffin, sectioned and processed routinely for Masson’s trichrome and Sirius red staining. Antibodies used for immunohistochemical (IHC) staining of GLUT1 and α-SMA were purchased from Abcam Technology, United States. RNA interference Cells were transfected with small interfering RNAs (siRNAs) using Lipofectamine 3000 (Invitrogen, Carlsbad, CA, United States) according to the manufacturer’s recommendations. The siRNAs used were an siRNA mix targeting sequences in Smad2 and Smad3 purchased from Santa Cruz Biotechnology (siRNA Smad2/3) and siRNAs targeting four different sequences of Smad4 purchased from Santa Cruz Biotechnology. GLUT1 siRNA was purchased from Cell Signaling Technology. The sequences of the siRNAs used are shown in Table 1. Small interfering RNA sequences Purchased from Santa Cruz Biotechnology. sc-37239: Smad2/3 siRNA (m) is a pool of four different siRNA duplexes. Cells were transfected with small interfering RNAs (siRNAs) using Lipofectamine 3000 (Invitrogen, Carlsbad, CA, United States) according to the manufacturer’s recommendations. The siRNAs used were an siRNA mix targeting sequences in Smad2 and Smad3 purchased from Santa Cruz Biotechnology (siRNA Smad2/3) and siRNAs targeting four different sequences of Smad4 purchased from Santa Cruz Biotechnology. GLUT1 siRNA was purchased from Cell Signaling Technology. The sequences of the siRNAs used are shown in Table 1. Small interfering RNA sequences Purchased from Santa Cruz Biotechnology. sc-37239: Smad2/3 siRNA (m) is a pool of four different siRNA duplexes. Glycolytic function assay and lactate measurements Primary mouse HSCs were plated on XF96 cell culture microplates. The extracellular acidification rate (ECAR), a glycolytic flux parameter, was measured with a Seahorse XF96 bioanalyzer using the XF Glycolysis Stress Test kit according to the manufacturer’s instructions (102194-100, Seahorse Bioscience). Lactate levels were measured spectrophotometrically in 700 μL of supernatants from cells receiving the corresponding treatment using standard enzymatic methods. Primary mouse HSCs were plated on XF96 cell culture microplates. The extracellular acidification rate (ECAR), a glycolytic flux parameter, was measured with a Seahorse XF96 bioanalyzer using the XF Glycolysis Stress Test kit according to the manufacturer’s instructions (102194-100, Seahorse Bioscience). Lactate levels were measured spectrophotometrically in 700 μL of supernatants from cells receiving the corresponding treatment using standard enzymatic methods. Cell counting kit-8 assay Primary mouse HSCs were seeded in a 96-well plate at a density of 3000 cells per well. CCK-8 reagent was added to each well every 24 h, and the plates were incubated for an additional 1 h at 37 °C and measured by recording the absorbance at 450 nm with an Elx800™ spectrophotometer (BioTek, Winooski, VT, United States). Primary mouse HSCs were seeded in a 96-well plate at a density of 3000 cells per well. CCK-8 reagent was added to each well every 24 h, and the plates were incubated for an additional 1 h at 37 °C and measured by recording the absorbance at 450 nm with an Elx800™ spectrophotometer (BioTek, Winooski, VT, United States). Biochemical function analysis Alanine aminotransferase (ALT) and aspartate transaminase (AST) levels in mouse serum samples and the supernatant of cell culture medium were detected using an automatic biochemical analyzer (Siemens Advia 1650; Siemens, Bensheim, Germany). Alanine aminotransferase (ALT) and aspartate transaminase (AST) levels in mouse serum samples and the supernatant of cell culture medium were detected using an automatic biochemical analyzer (Siemens Advia 1650; Siemens, Bensheim, Germany). RNA extraction and real-time polymerase chain reaction GLUT1, hexokinase 2 (HK-2), pyruvate kinase 2 (PKM-2) and α-SMA mRNA levels were determined using real-time polymerase chain reaction (RT-PCR) with a SYBR Green Master Mix Kit (Roche, Indianapolis, IN, United States). The primer sequences used are shown in Table 2. Primer sequences for real-time polymerase chain reaction GLUT1, hexokinase 2 (HK-2), pyruvate kinase 2 (PKM-2) and α-SMA mRNA levels were determined using real-time polymerase chain reaction (RT-PCR) with a SYBR Green Master Mix Kit (Roche, Indianapolis, IN, United States). The primer sequences used are shown in Table 2. Primer sequences for real-time polymerase chain reaction Transwell migration assay The migratory properties of HSCs were assessed using a Transwell assay. Cells were seeded at a density of 4 × 105 cells/well in the upper compartment of Transwell chambers with serum-free medium, and the lower compartment contained 700 μL of 5% glucose-containing medium per well. Migration was subsequently observed and measured. The migratory properties of HSCs were assessed using a Transwell assay. Cells were seeded at a density of 4 × 105 cells/well in the upper compartment of Transwell chambers with serum-free medium, and the lower compartment contained 700 μL of 5% glucose-containing medium per well. Migration was subsequently observed and measured. Tissue immunofluorescence staining Tissue sections were placed at room temperature for 10 min and deparaffinized in water for further antigen retrieval. After the sections were dried slightly, a histochemical pen was used to draw circles around the tissue, and 3%-5% BSA was added dropwise inside the circle for blocking, followed by incubation for 30 min. The primary antibody was added dropwise at the recommended ratio to the sections, and the sections were placed in a refrigerator (4 °C) and incubated overnight. After 3 washes, the sections were incubated with a FITC (CK-18)-labeled secondary antibody at room temperature for 45 min, and nuclei were stained with DAPI (300 nmol/L) for 1-5 min. After 3 washes, an antifluorescence quencher was added, and the sections were sealed with resin. Photographs of random fields were taken under an upright fluorescence microscope (ZEISS Axiovert). Tissue sections were placed at room temperature for 10 min and deparaffinized in water for further antigen retrieval. After the sections were dried slightly, a histochemical pen was used to draw circles around the tissue, and 3%-5% BSA was added dropwise inside the circle for blocking, followed by incubation for 30 min. The primary antibody was added dropwise at the recommended ratio to the sections, and the sections were placed in a refrigerator (4 °C) and incubated overnight. After 3 washes, the sections were incubated with a FITC (CK-18)-labeled secondary antibody at room temperature for 45 min, and nuclei were stained with DAPI (300 nmol/L) for 1-5 min. After 3 washes, an antifluorescence quencher was added, and the sections were sealed with resin. Photographs of random fields were taken under an upright fluorescence microscope (ZEISS Axiovert). Statistical analysis Data were analyzed using Student’s t test (SigmaPlot, SPSS 17.0, United States) to determine differences between two groups and are presented as the mean ± SE. For comparisons between multiple groups, three-way analysis of variance was performed, followed by t tests with Bonferroni correction using SAS 9.3 software (SAS Institute Inc., Cary, NC, United States). In addition, a log-rank test was used for survival analysis. All experiments were repeated at least three times. Differences were considered statistically significant at P < 0.05 (aP < 0.05, bP < 0.01). Data were analyzed using Student’s t test (SigmaPlot, SPSS 17.0, United States) to determine differences between two groups and are presented as the mean ± SE. For comparisons between multiple groups, three-way analysis of variance was performed, followed by t tests with Bonferroni correction using SAS 9.3 software (SAS Institute Inc., Cary, NC, United States). In addition, a log-rank test was used for survival analysis. All experiments were repeated at least three times. Differences were considered statistically significant at P < 0.05 (aP < 0.05, bP < 0.01). Reagents and antibodies: The TGF-β1 antibody was purchased from R&D Systems (Minneapolis, MN, United States); antibodies against GLUT1, p-Smad2/3, Smad2/3, p-P38, p-AKT and desmin were purchased from Abcam (Cambridge, MA, United States), and the tubulin antibody was purchased from Research Diagnostics (Flanders, NJ, United States). The anti-α-SMA antibody, carbon tetrachloride (CCl4), corn oil, OptiPrep and other chemicals and reagents were purchased from Sigma-Aldrich (St. Louis, MO, United States) and Fisher Scientific (Waltham, MA, United States). A TβRI/II inhibitor (APExBIO Technology, United States) was used at 2 μmol/L. Inhibitors of p38 MAPK and PI3K, namely, SB203580 and LY294002, respectively, were purchased from Abcam (Cambridge, MA, United States). The Smad3 inhibitors SIS3 and phloretin were purchased from Abcam (Cambridge, MA, United States). Generation of a mouse model of liver fibrosis: The animal protocol was designed to minimize pain or discomfort to the animals. The animals were acclimated to laboratory conditions (22 °C, 12-h/12-h light/dark cycle, 50% humidity, ad libitum access to food and water) for 1 wk prior to experimentation. The methods and experimental procedures were carried out in accordance with the relevant guidelines and regulations. Mice (C57BL6, eight to ten weeks old) were housed in standard conditions, and sex-matched mice were treated with 2.0 μL/g body weight CCl4 [diluted 1:10 (v/v) with corn oil] or corn oil as a control by intraperitoneal (i.p.) injections three times per week for 4 wk[25]. Mice were challenged with CCl4 or corn oil (control), followed by an i.p. injection of phloretin (10 mg/kg, three times per week for 2 wk) or 0.9% saline (vehicle). Mice were sacrificed at 48 h after the experiment ended, and tissues were harvested. Patient liver samples: Normal and liver fibrosis tissue samples were obtained from patients treated at the Department of Hepatobiliary Surgery of the Affiliated Hospital of Guizhou Medical University (Guiyang, China). Written informed consent was obtained from the patients. Western blot analysis: Immunoblotting was performed using whole-liver tissue lysates or whole-cell lysates prepared in buffer containing 1% NP-40 as described previously[26]. Total proteins were extracted and quantified using Bradford protein quantification kits. Protein samples (40 μg each) were resolved by sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE). The proteins were transferred onto polyvinylidene fluoride (PVDF) membranes and incubated with primary antibodies overnight at 4 °C. On the next day, signals were developed with an electrochemiluminescence detection kit after incubation with the appropriate secondary antibodies. Cells and cell culture: Primary mouse HSCs were isolated and cultured as described previously[26]. Briefly, cells were isolated from livers through in situ liver perfusion with pronase, Liberase and collagenase followed by density gradient centrifugation. The dispersed cell suspension was filtered and gradiently centrifuged for 2 min to remove hepatocytes. The remaining cell fraction was washed and resuspended in 11.5% OptiPrep and then gently transferred to a tube containing 15% OptiPrep at the bottom, followed by PBS addition as the top layer. The cell fraction was then centrifuged at 1400 rpm/min for 20 min. The HSC fraction layer was obtained at the interface between the top and intermediate layers. The purity of the HSC fraction was estimated based on autofluorescence 1 d after isolation and was always greater than 97%. Flow cytometry was used to identify the purity of primary cells. In brief, the cells were digested with trypsin, centrifuged at 1000 rpm/min for 10 min, washed twice with PBS, resuspended in EP tubes (100 μL/tube) and centrifuged at 2000 rpm/min for 6 min. Then, the supernatant was discarded, 100 μL of PBS was added, and the cells were resuspended and dispersed. A mouse monoclonal antibody against desmin (desmin is a typical molecular marker of HSCs) was added, and the cells were incubated at 1:100 for 1.5 h and centrifuged at 2000 rpm/min for 6 min. Centrifugation was repeated twice. The cells were resuspended and dispersed by adding 100 μL of PBS. Fluorescence-labeled anti-mouse secondary antibody (1:1000) was added, followed by incubation at 4 °C for 30 min in the dark. Next, 1 mL of PBS was added to each tube, followed by centrifugation at 2000 rpm/min for 6 min, which was repeated twice. Finally, 0.5 mL of PBS was added to resuspend the cells, and then the cells were subjected to flow cytometry measurements. HSCs were also confirmed to lack E-cadherin expression. Cell viability was also examined, and HSCs were maintained in Dulbecco’s modified Eagle’s medium (DMEM) supplemented with 10% fetal bovine serum and antibiotics as described previously[26]. Cells were starved or treated on day 2 after isolation, and the duration of starvation or treatment is described in each figure legend. The duration of the whole experiment was 5-7 d after HSC isolation, and cells at passages 1-2 were used (as cells were passaged from regular culture flasks to experimental cell culture wells for some experiments). Histological and immunohistochemical studies: Liver samples were fixed with formalin, embedded in paraffin, sectioned and processed routinely for Masson’s trichrome and Sirius red staining. Antibodies used for immunohistochemical (IHC) staining of GLUT1 and α-SMA were purchased from Abcam Technology, United States. RNA interference: Cells were transfected with small interfering RNAs (siRNAs) using Lipofectamine 3000 (Invitrogen, Carlsbad, CA, United States) according to the manufacturer’s recommendations. The siRNAs used were an siRNA mix targeting sequences in Smad2 and Smad3 purchased from Santa Cruz Biotechnology (siRNA Smad2/3) and siRNAs targeting four different sequences of Smad4 purchased from Santa Cruz Biotechnology. GLUT1 siRNA was purchased from Cell Signaling Technology. The sequences of the siRNAs used are shown in Table 1. Small interfering RNA sequences Purchased from Santa Cruz Biotechnology. sc-37239: Smad2/3 siRNA (m) is a pool of four different siRNA duplexes. Glycolytic function assay and lactate measurements: Primary mouse HSCs were plated on XF96 cell culture microplates. The extracellular acidification rate (ECAR), a glycolytic flux parameter, was measured with a Seahorse XF96 bioanalyzer using the XF Glycolysis Stress Test kit according to the manufacturer’s instructions (102194-100, Seahorse Bioscience). Lactate levels were measured spectrophotometrically in 700 μL of supernatants from cells receiving the corresponding treatment using standard enzymatic methods. Cell counting kit-8 assay: Primary mouse HSCs were seeded in a 96-well plate at a density of 3000 cells per well. CCK-8 reagent was added to each well every 24 h, and the plates were incubated for an additional 1 h at 37 °C and measured by recording the absorbance at 450 nm with an Elx800™ spectrophotometer (BioTek, Winooski, VT, United States). Biochemical function analysis: Alanine aminotransferase (ALT) and aspartate transaminase (AST) levels in mouse serum samples and the supernatant of cell culture medium were detected using an automatic biochemical analyzer (Siemens Advia 1650; Siemens, Bensheim, Germany). RNA extraction and real-time polymerase chain reaction: GLUT1, hexokinase 2 (HK-2), pyruvate kinase 2 (PKM-2) and α-SMA mRNA levels were determined using real-time polymerase chain reaction (RT-PCR) with a SYBR Green Master Mix Kit (Roche, Indianapolis, IN, United States). The primer sequences used are shown in Table 2. Primer sequences for real-time polymerase chain reaction Transwell migration assay: The migratory properties of HSCs were assessed using a Transwell assay. Cells were seeded at a density of 4 × 105 cells/well in the upper compartment of Transwell chambers with serum-free medium, and the lower compartment contained 700 μL of 5% glucose-containing medium per well. Migration was subsequently observed and measured. Tissue immunofluorescence staining: Tissue sections were placed at room temperature for 10 min and deparaffinized in water for further antigen retrieval. After the sections were dried slightly, a histochemical pen was used to draw circles around the tissue, and 3%-5% BSA was added dropwise inside the circle for blocking, followed by incubation for 30 min. The primary antibody was added dropwise at the recommended ratio to the sections, and the sections were placed in a refrigerator (4 °C) and incubated overnight. After 3 washes, the sections were incubated with a FITC (CK-18)-labeled secondary antibody at room temperature for 45 min, and nuclei were stained with DAPI (300 nmol/L) for 1-5 min. After 3 washes, an antifluorescence quencher was added, and the sections were sealed with resin. Photographs of random fields were taken under an upright fluorescence microscope (ZEISS Axiovert). Statistical analysis: Data were analyzed using Student’s t test (SigmaPlot, SPSS 17.0, United States) to determine differences between two groups and are presented as the mean ± SE. For comparisons between multiple groups, three-way analysis of variance was performed, followed by t tests with Bonferroni correction using SAS 9.3 software (SAS Institute Inc., Cary, NC, United States). In addition, a log-rank test was used for survival analysis. All experiments were repeated at least three times. Differences were considered statistically significant at P < 0.05 (aP < 0.05, bP < 0.01). RESULTS: GLUT1 expression is correlated with liver fibrosis progression The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether GLUT1 is related to liver fibrosis. Successful establishment of the liver fibrosis model was confirmed by Sirius red staining and α-SMA IHC staining (Figure 1A-C). Notably, a significant increase in GLUT1 expression was detected in the liver tissue specimens from the model group (Figure 1A and D). Subsequently, tissue immunofluorescence staining was performed, and the results showed significantly increased GLUT1 expression in liver tissue samples from the CCl4 liver fibrosis model. More importantly, GLUT1 colocalized with α-SMA, indicating a correlation between GLUT1 and liver fibrosis (Figure 1E). IHC staining for GLUT1 and α-SMA was performed using human liver fibrosis specimens and liver specimens from a healthy control group; as expected, GLUT1 expression was significantly higher in the human liver fibrosis specimens (Figure 1F). Finally, whole-liver lysates were prepared from human liver tissue specimens and specimens from the mouse liver fibrosis model, and GLUT1 protein expression was analyzed. The results were consistent with the IHC data (Figure 1G-H). In summary, these results indicate that GLUT1 expression is related to liver fibrosis progression. Glucose transporter 1 expression is correlated with liver fibrosis progression. A-D: The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether glucose transporter 1 (GLUT1) is related to liver fibrosis. Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining were used to confirm that the liver fibrosis model was successfully established, and then the mice were randomly divided into the CCl4 group and the control oil group (n = 6-10 mice/group) (A); Evaluation of liver fibrosis using Sirius red staining (B); Determination of the area ratio of positive IHC staining for α-SMA in the mouse CCl4-induced liver fibrosis model (C); GLUT1 expression was more abundant in the liver tissue samples from the model group (D); E and F: Immunofluorescence staining for GLUT1 (red) and α-SMA (green) in the CCl4 model. Cell nuclei were counterstained with DAPI. Scale bar for immunofluorescence staining, 200 μm; scale bars for IHC staining and Sirius red staining, 200 μm; G: IHC staining for α-SMA and GLUT1 in the healthy control and liver fibrosis groups (scale bar, 100 μm); H: Western blot analysis of changes in GLUT1 protein levels in the oil group and the CCl4 model group; I: Western blot analysis of GLUT1 protein expression in human liver tissues from the healthy control group and the liver fibrosis group. Data in B-D, G and H are presented as the mean ± SE. Statistically significant differences were detected (compared with the oil group, aP < 0.05 and bP < 0.01; compared with the healthy control group, dP < 0.05). GLUT1: Glucose transporter 1; α-SMA: Alpha-smooth muscle actin. The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether GLUT1 is related to liver fibrosis. Successful establishment of the liver fibrosis model was confirmed by Sirius red staining and α-SMA IHC staining (Figure 1A-C). Notably, a significant increase in GLUT1 expression was detected in the liver tissue specimens from the model group (Figure 1A and D). Subsequently, tissue immunofluorescence staining was performed, and the results showed significantly increased GLUT1 expression in liver tissue samples from the CCl4 liver fibrosis model. More importantly, GLUT1 colocalized with α-SMA, indicating a correlation between GLUT1 and liver fibrosis (Figure 1E). IHC staining for GLUT1 and α-SMA was performed using human liver fibrosis specimens and liver specimens from a healthy control group; as expected, GLUT1 expression was significantly higher in the human liver fibrosis specimens (Figure 1F). Finally, whole-liver lysates were prepared from human liver tissue specimens and specimens from the mouse liver fibrosis model, and GLUT1 protein expression was analyzed. The results were consistent with the IHC data (Figure 1G-H). In summary, these results indicate that GLUT1 expression is related to liver fibrosis progression. Glucose transporter 1 expression is correlated with liver fibrosis progression. A-D: The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether glucose transporter 1 (GLUT1) is related to liver fibrosis. Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining were used to confirm that the liver fibrosis model was successfully established, and then the mice were randomly divided into the CCl4 group and the control oil group (n = 6-10 mice/group) (A); Evaluation of liver fibrosis using Sirius red staining (B); Determination of the area ratio of positive IHC staining for α-SMA in the mouse CCl4-induced liver fibrosis model (C); GLUT1 expression was more abundant in the liver tissue samples from the model group (D); E and F: Immunofluorescence staining for GLUT1 (red) and α-SMA (green) in the CCl4 model. Cell nuclei were counterstained with DAPI. Scale bar for immunofluorescence staining, 200 μm; scale bars for IHC staining and Sirius red staining, 200 μm; G: IHC staining for α-SMA and GLUT1 in the healthy control and liver fibrosis groups (scale bar, 100 μm); H: Western blot analysis of changes in GLUT1 protein levels in the oil group and the CCl4 model group; I: Western blot analysis of GLUT1 protein expression in human liver tissues from the healthy control group and the liver fibrosis group. Data in B-D, G and H are presented as the mean ± SE. Statistically significant differences were detected (compared with the oil group, aP < 0.05 and bP < 0.01; compared with the healthy control group, dP < 0.05). GLUT1: Glucose transporter 1; α-SMA: Alpha-smooth muscle actin. TGF-β1 stimulates HSC activation by inducing GLUT1 expression and promoting aerobic glycolysis We found that GLUT1 colocalized with α-SMA, indicating that GLUT1 expression was increased mainly in activated HSCs because α-SMA is a major marker of HSC transdifferentiation. TGF-β1 is a very important profibrotic factor and regulates metabolic reprogramming in pulmonary fibrosis[27], as reported in some studies. Therefore, we questioned whether the increase in GLUT1 expression in liver fibrosis and TGF-β1 are related. This study first determined the effect of TGF-β1 on glycolysis in HSCs. To assess the dose responses to TGF-β1, we incubated HSCs with different TGF-β1 concentrations ranging from 3 ng/mL to 5 ng/mL, and the results showed similar effects on GLUT1 protein levels (Supplementary Figure 1). Therefore, a TGF-β1 concentration of 3 ng/mL was used for subsequent experiments. Mouse primary HSCs were isolated and cultured, and the cells were stimulated with TGF-β1 for 24 h prior to the experiments. TGF-β1 stimulation led to an early and continuous increase in the ECAR (an indicator of extracellular acid production) in HSCs, indicating that glycolysis was enhanced in these cells (Figure 2A and B). In addition, the intracellular and extracellular levels (in the medium) of lactic acid were examined to further confirm the glycolytic changes in HSCs. Both intracellular and extracellular lactic acid levels were significantly increased. Consistent with the increase in glycolysis, the level of glucose consumption also increased in these cells (Figure 2C and D). Therefore, TGF-β1 induces glycolysis during the process of HSC transdifferentiation. The expression levels of key glycolytic enzymes in these cells were evaluated; the expression levels of HK-2, PKM-2 and GLUT1 were upregulated, and the increase in GLUT1 expression was particularly significant (Figure 2F-H). Based on these findings, the increase in glycolysis during HSC transdifferentiation is related to the upregulation of key glycolysis enzymes. Similarly, the expression of α-SMA, a marker of transdifferentiation, also increased during the TGF-β1-mediated activation of HSCs (Figure 2I). GLUT1 protein expression was examined at various time points after stimulating HSCs with TGF-β1 (3 ng/mL) to determine whether TGF-β1 stimulates GLUT1 expression in a time-dependent manner, and the results showed that GLUT1 expression increased 2 h after stimulation with TGF-β1 and peaked at 8 h. These results indicate a time-dependent relationship between the increase in GLUT1 expression and TGF-β1 stimulation, which is consistent with the early increase in aerobic glycolysis in HSCs (Figure 2J). Finally, the addition of an inhibitor of the type 1 TGF-β1 receptor inhibited TGF-β1-induced GLUT1 expression in HSCs, suggesting that GLUT1 induction was mediated by TGF-β1 (Figure 2K). Based on these data, TGF-β1 is involved in glycolysis during HSC transdifferentiation and mediates GLUT1 expression, thereby promoting HSC transdifferentiation. Stimulation of hepatic stellate cells with transforming growth factor-β1 induces glucose transporter 1 expression and promotes glycolysis. A: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were seeded into Seahorse XF-24 cell culture microplates (5 × 104 cells/well). The cells were first treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 0, 6 or 24 h, followed by sequential treatment with oligomycin (Oligo) and carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone (FCCP). The extracellular acidification rate (ECAR) was recorded in real time; B: The basic ECAR. n = 6; the mean ± SE; aP < 0.05 compared to the level before TGF-β1 treatment (0 h); unpaired t test; C and D: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. The cells were then lysed, and the lactic acid contents in the cell lysate (C) and the culture medium (D) were examined; E: Determination of glucose consumption in the culture medium; F-I: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. RNA was purified, and RT-PCR was performed to examine the expression levels of glucose transporter 1 (GLUT1) (F), HK-2 (G), PKM-2 (H) and α-SMA (I), n = 5, the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with those at 0 h or those in the TGF-β1-untreated group; one-way analysis of variance (ANOVA); J: Western blot analysis of the expression levels of GLUT1 and tubulin at various time points after HSCs were treated with TGF-β1 (3 ng/mL); K: Examination of the changes in GLUT1 and tubulin levels after sequential treatment with a type 1 TGF-β receptor inhibitor (LY2109761, 2 μm) for 1 h and then with TGF-β1 (3 ng/mL) for 0, 8 or 24 h. All experiments shown in A-E and F-I were performed 2-3 times. Inhi: Inhibitor; Con: Control; FCCP: Carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone; ECAR: Extracellular acidification rate; GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1. We found that GLUT1 colocalized with α-SMA, indicating that GLUT1 expression was increased mainly in activated HSCs because α-SMA is a major marker of HSC transdifferentiation. TGF-β1 is a very important profibrotic factor and regulates metabolic reprogramming in pulmonary fibrosis[27], as reported in some studies. Therefore, we questioned whether the increase in GLUT1 expression in liver fibrosis and TGF-β1 are related. This study first determined the effect of TGF-β1 on glycolysis in HSCs. To assess the dose responses to TGF-β1, we incubated HSCs with different TGF-β1 concentrations ranging from 3 ng/mL to 5 ng/mL, and the results showed similar effects on GLUT1 protein levels (Supplementary Figure 1). Therefore, a TGF-β1 concentration of 3 ng/mL was used for subsequent experiments. Mouse primary HSCs were isolated and cultured, and the cells were stimulated with TGF-β1 for 24 h prior to the experiments. TGF-β1 stimulation led to an early and continuous increase in the ECAR (an indicator of extracellular acid production) in HSCs, indicating that glycolysis was enhanced in these cells (Figure 2A and B). In addition, the intracellular and extracellular levels (in the medium) of lactic acid were examined to further confirm the glycolytic changes in HSCs. Both intracellular and extracellular lactic acid levels were significantly increased. Consistent with the increase in glycolysis, the level of glucose consumption also increased in these cells (Figure 2C and D). Therefore, TGF-β1 induces glycolysis during the process of HSC transdifferentiation. The expression levels of key glycolytic enzymes in these cells were evaluated; the expression levels of HK-2, PKM-2 and GLUT1 were upregulated, and the increase in GLUT1 expression was particularly significant (Figure 2F-H). Based on these findings, the increase in glycolysis during HSC transdifferentiation is related to the upregulation of key glycolysis enzymes. Similarly, the expression of α-SMA, a marker of transdifferentiation, also increased during the TGF-β1-mediated activation of HSCs (Figure 2I). GLUT1 protein expression was examined at various time points after stimulating HSCs with TGF-β1 (3 ng/mL) to determine whether TGF-β1 stimulates GLUT1 expression in a time-dependent manner, and the results showed that GLUT1 expression increased 2 h after stimulation with TGF-β1 and peaked at 8 h. These results indicate a time-dependent relationship between the increase in GLUT1 expression and TGF-β1 stimulation, which is consistent with the early increase in aerobic glycolysis in HSCs (Figure 2J). Finally, the addition of an inhibitor of the type 1 TGF-β1 receptor inhibited TGF-β1-induced GLUT1 expression in HSCs, suggesting that GLUT1 induction was mediated by TGF-β1 (Figure 2K). Based on these data, TGF-β1 is involved in glycolysis during HSC transdifferentiation and mediates GLUT1 expression, thereby promoting HSC transdifferentiation. Stimulation of hepatic stellate cells with transforming growth factor-β1 induces glucose transporter 1 expression and promotes glycolysis. A: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were seeded into Seahorse XF-24 cell culture microplates (5 × 104 cells/well). The cells were first treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 0, 6 or 24 h, followed by sequential treatment with oligomycin (Oligo) and carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone (FCCP). The extracellular acidification rate (ECAR) was recorded in real time; B: The basic ECAR. n = 6; the mean ± SE; aP < 0.05 compared to the level before TGF-β1 treatment (0 h); unpaired t test; C and D: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. The cells were then lysed, and the lactic acid contents in the cell lysate (C) and the culture medium (D) were examined; E: Determination of glucose consumption in the culture medium; F-I: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. RNA was purified, and RT-PCR was performed to examine the expression levels of glucose transporter 1 (GLUT1) (F), HK-2 (G), PKM-2 (H) and α-SMA (I), n = 5, the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with those at 0 h or those in the TGF-β1-untreated group; one-way analysis of variance (ANOVA); J: Western blot analysis of the expression levels of GLUT1 and tubulin at various time points after HSCs were treated with TGF-β1 (3 ng/mL); K: Examination of the changes in GLUT1 and tubulin levels after sequential treatment with a type 1 TGF-β receptor inhibitor (LY2109761, 2 μm) for 1 h and then with TGF-β1 (3 ng/mL) for 0, 8 or 24 h. All experiments shown in A-E and F-I were performed 2-3 times. Inhi: Inhibitor; Con: Control; FCCP: Carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone; ECAR: Extracellular acidification rate; GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1. TGF-β1 induces GLUT1 expression through the Smad pathway After finding that TGF-β1 stimulation induces GLUT1 expression, the specific mechanism by which TGF-β1 induces GLUT1 expression was further explored. Changes in the expression levels of Smad proteins in the canonical pathway activated by TGF-β1 stimulation were first examined. Western blot analysis revealed a time-dependent relationship between Smad2/Smad3 phosphorylation and TGF-β1 stimulation (Figure 3A and B), and phosphorylation occurred at time points close to when GLUT1 expression increased. Next, the direct role of Smads in GLUT1 induction was explored. Smad3 or Smad4 overexpression plasmids were first transiently transfected into HSCs, and then certain groups of HSCs were induced with TGF-β1 for 4 h. Smad3 or Smad4 overexpression promoted GLUT1 expression, and TGF-β1 addition amplified these effects, resulting in a further increase in GLUT1 expression (Figure 3C and D). Smad2/3 and/or Smad4 siRNAs were used to silence their expression levels and to better understand the roles of Smads in the relationship between TGF-β1 and GLUT1 expression, and the analysis performed at 48 h after the transfection of Smad2/3 and/or Smad4 siRNAs showed that TGF-β1-mediated GLUT1 expression was significantly reduced. This change was more significant and the decrease in GLUT1 expression was more substantial when the cells were transfected simultaneously with both siRNAs (Figure 3G and H). Finally, HSCs were sequentially treated with the Smad inhibitor SIS3 for 2 h and then with TGF-β1 for 4 h, resulting in a significant decrease in GLUT1 protein expression (Figure 3E and F). These results preliminarily indicate the important regulatory role of Smad proteins in TGF-β1-mediated GLUT1 expression and suggest that Smad proteins directly participate in the regulation of GLUT1 by TGF-β1. Transforming growth factor-β1 induces glucose transporter 1 expression through the Smad pathway. A and B: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at various time points. Western blot analysis using specific antibodies (A). Quantitative analysis of the levels of the p-Smad2 and p-Smad3 proteins in five independent experiments (B); C and D: After transiently transfecting HSCs with 2 μg of Smad3 and/or Smad4 expression plasmids, the cells were cultured in serum-free medium for 48 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Green fluorescent protein (GFP) was used as a transfection control. Western blot analysis using specific antibodies (C). Quantitative analysis of glucose transporter 1 (GLUT1) protein expression in five independent experiments (D); E and F: HSCs were first pretreated with a Smad3 inhibitor (SIS3, 20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (E). Quantitative analysis of the GLUT1 protein level in five independent experiments (F); G and H: Mouse primary HSCs were transfected with 20 μmol/L control small interfering RNAs (siRNAs) or siRNAs targeting Smad2/3 and Smad4. After transfection in serum-free medium for 48 h, the cells were treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (G). Quantitative analysis of the GLUT1 protein level in five independent experiments (H) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with that in the group of cells without TGF-β1; dP < 0.05 for the comparison of the groups treated with TGF-β1 and the groups treated with TGF-β1 and different additional reagents; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; Con: Control; siRNAs: Small interfering RNAs. After finding that TGF-β1 stimulation induces GLUT1 expression, the specific mechanism by which TGF-β1 induces GLUT1 expression was further explored. Changes in the expression levels of Smad proteins in the canonical pathway activated by TGF-β1 stimulation were first examined. Western blot analysis revealed a time-dependent relationship between Smad2/Smad3 phosphorylation and TGF-β1 stimulation (Figure 3A and B), and phosphorylation occurred at time points close to when GLUT1 expression increased. Next, the direct role of Smads in GLUT1 induction was explored. Smad3 or Smad4 overexpression plasmids were first transiently transfected into HSCs, and then certain groups of HSCs were induced with TGF-β1 for 4 h. Smad3 or Smad4 overexpression promoted GLUT1 expression, and TGF-β1 addition amplified these effects, resulting in a further increase in GLUT1 expression (Figure 3C and D). Smad2/3 and/or Smad4 siRNAs were used to silence their expression levels and to better understand the roles of Smads in the relationship between TGF-β1 and GLUT1 expression, and the analysis performed at 48 h after the transfection of Smad2/3 and/or Smad4 siRNAs showed that TGF-β1-mediated GLUT1 expression was significantly reduced. This change was more significant and the decrease in GLUT1 expression was more substantial when the cells were transfected simultaneously with both siRNAs (Figure 3G and H). Finally, HSCs were sequentially treated with the Smad inhibitor SIS3 for 2 h and then with TGF-β1 for 4 h, resulting in a significant decrease in GLUT1 protein expression (Figure 3E and F). These results preliminarily indicate the important regulatory role of Smad proteins in TGF-β1-mediated GLUT1 expression and suggest that Smad proteins directly participate in the regulation of GLUT1 by TGF-β1. Transforming growth factor-β1 induces glucose transporter 1 expression through the Smad pathway. A and B: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at various time points. Western blot analysis using specific antibodies (A). Quantitative analysis of the levels of the p-Smad2 and p-Smad3 proteins in five independent experiments (B); C and D: After transiently transfecting HSCs with 2 μg of Smad3 and/or Smad4 expression plasmids, the cells were cultured in serum-free medium for 48 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Green fluorescent protein (GFP) was used as a transfection control. Western blot analysis using specific antibodies (C). Quantitative analysis of glucose transporter 1 (GLUT1) protein expression in five independent experiments (D); E and F: HSCs were first pretreated with a Smad3 inhibitor (SIS3, 20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (E). Quantitative analysis of the GLUT1 protein level in five independent experiments (F); G and H: Mouse primary HSCs were transfected with 20 μmol/L control small interfering RNAs (siRNAs) or siRNAs targeting Smad2/3 and Smad4. After transfection in serum-free medium for 48 h, the cells were treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (G). Quantitative analysis of the GLUT1 protein level in five independent experiments (H) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with that in the group of cells without TGF-β1; dP < 0.05 for the comparison of the groups treated with TGF-β1 and the groups treated with TGF-β1 and different additional reagents; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; Con: Control; siRNAs: Small interfering RNAs. The noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in TGF-β1-mediated GLUT1 induction During fibrosis development, TGF-β1 activates not only the canonical Smad pathway but also noncanonical pathways (such as the PI3K/AKT and p38 MAPK signaling pathways). In addition, the Smad pathway and non-Smad pathways are mutually dependent[28]. Therefore, we questioned whether a non-Smad pathway is involved in the TGF-β1-mediated induction of GLUT1. Changes in the phosphorylation levels of p38 and AKT in HSCs after TGF-β1 stimulation were examined to answer this question. Western blot analyses showed increased levels of phosphorylated p38 and AKT in HSCs after TGF-β1 treatment (Figure 4A-C). HSCs were pretreated with the specific p38 MAPK inhibitor SB203580 and the PI3K inhibitor LY294002 for 1 h and then induced with TGF-β1 to understand the bridging role of p38 MAPK and AKT in TGF-β1-mediated GLUT1 expression. Western blot analyses showed that p-AKT activity was significantly inhibited and that GLUT1 protein expression was significantly reduced (Figure 4D). S6 ribosomal protein and heat shock protein 25 (Hsp25) are downstream proteins in the PI3K/AKT and p38 MAPK pathways, and their phosphorylation was also inhibited. Addition of the p38 inhibitor reduced the phosphorylation of the S6 protein, and the phosphorylation level of Smad2 was also affected; however, Smad3 was not significantly affected (Figure 4D and E). The above results indicate that (1) GLUT1 expression in HSCs did not rely solely on the TGF-β1-mediated Smad pathway, i.e., the p38 MAPK and PI3K/AKT signaling pathways were also involved in TGF-β1-mediated GLUT1 expression, and (2) TGF-β1-mediated pathways did not act independently, as mutual restrictions and interactions between the pathways were observed. Based on the results described above, the effects of inhibiting the Smad3, p38 MAPK and PI3K/AKT pathways on GLUT1 expression were analyzed, and the simultaneous addition of inhibitors of the Smad3, p38 MAPK and PI3K/AKT pathways significantly reduced TGF-β1-mediated GLUT1 expression (Figure 4F and G). In summary, TGF-β1 requires the participation of non-Smad pathways to induce GLUT1 expression during HSC activation. The noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in transforming growth factor-β1-mediated glucose transporter 1 expression. A-C: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at different time points. Western blot analysis using specific antibodies (A). Five independent experiments were performed to quantitatively analyze the levels of phosphorylated p38 (B) MAPK and AKT (C); D and E: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm) or the PI3K inhibitor LY294002 (10 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (D). Quantitative analysis of the levels of glucose transporter 1 (GLUT1) and phosphorylated Smad2 and Smad3 proteins (E); F and G: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm), the PI3K inhibitor LY294002 (10 μm) and the Smad inhibitor SIS3 (20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (F). Quantitative analysis of the GLUT1 protein level (G) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with the TGF-β1-treated group or the TGF-β1-untreated group, dP < 0.05, eP < 0.01 and fP < 0.001 for the comparison of the group treated with TGF-β1 and the groups treated with TGF-β1 and the corresponding inhibitors; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1. During fibrosis development, TGF-β1 activates not only the canonical Smad pathway but also noncanonical pathways (such as the PI3K/AKT and p38 MAPK signaling pathways). In addition, the Smad pathway and non-Smad pathways are mutually dependent[28]. Therefore, we questioned whether a non-Smad pathway is involved in the TGF-β1-mediated induction of GLUT1. Changes in the phosphorylation levels of p38 and AKT in HSCs after TGF-β1 stimulation were examined to answer this question. Western blot analyses showed increased levels of phosphorylated p38 and AKT in HSCs after TGF-β1 treatment (Figure 4A-C). HSCs were pretreated with the specific p38 MAPK inhibitor SB203580 and the PI3K inhibitor LY294002 for 1 h and then induced with TGF-β1 to understand the bridging role of p38 MAPK and AKT in TGF-β1-mediated GLUT1 expression. Western blot analyses showed that p-AKT activity was significantly inhibited and that GLUT1 protein expression was significantly reduced (Figure 4D). S6 ribosomal protein and heat shock protein 25 (Hsp25) are downstream proteins in the PI3K/AKT and p38 MAPK pathways, and their phosphorylation was also inhibited. Addition of the p38 inhibitor reduced the phosphorylation of the S6 protein, and the phosphorylation level of Smad2 was also affected; however, Smad3 was not significantly affected (Figure 4D and E). The above results indicate that (1) GLUT1 expression in HSCs did not rely solely on the TGF-β1-mediated Smad pathway, i.e., the p38 MAPK and PI3K/AKT signaling pathways were also involved in TGF-β1-mediated GLUT1 expression, and (2) TGF-β1-mediated pathways did not act independently, as mutual restrictions and interactions between the pathways were observed. Based on the results described above, the effects of inhibiting the Smad3, p38 MAPK and PI3K/AKT pathways on GLUT1 expression were analyzed, and the simultaneous addition of inhibitors of the Smad3, p38 MAPK and PI3K/AKT pathways significantly reduced TGF-β1-mediated GLUT1 expression (Figure 4F and G). In summary, TGF-β1 requires the participation of non-Smad pathways to induce GLUT1 expression during HSC activation. The noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in transforming growth factor-β1-mediated glucose transporter 1 expression. A-C: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at different time points. Western blot analysis using specific antibodies (A). Five independent experiments were performed to quantitatively analyze the levels of phosphorylated p38 (B) MAPK and AKT (C); D and E: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm) or the PI3K inhibitor LY294002 (10 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (D). Quantitative analysis of the levels of glucose transporter 1 (GLUT1) and phosphorylated Smad2 and Smad3 proteins (E); F and G: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm), the PI3K inhibitor LY294002 (10 μm) and the Smad inhibitor SIS3 (20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (F). Quantitative analysis of the GLUT1 protein level (G) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with the TGF-β1-treated group or the TGF-β1-untreated group, dP < 0.05, eP < 0.01 and fP < 0.001 for the comparison of the group treated with TGF-β1 and the groups treated with TGF-β1 and the corresponding inhibitors; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1. The effect of GLUT1 on HSC migration and proliferation Cells were first treated with phloretin (a specific inhibitor of GLUT1) for 30 min or transfected with an siRNA targeting GLUT1, followed by treatment with TGF-β1 for 4 h. The targeted inhibition of GLUT1 by phloretin and the siRNA suppressed the effect of TGF-β1 on the migration and proliferation of HSCs (Figure 5A, B and E). Western blot analyses also showed that siRNA transfection effectively inhibited TGF-β1-induced GLUT1 expression (Figure 5C and D). Therefore, inhibition of GLUT1 expression reverses the effect of TGF-β1 on the migration and proliferation of HSCs and delays the process of HSC transdifferentiation into myofibroblasts. No noticeable effect of the control siRNA on proliferation was identified between TGF-β1-treated cells and TGF-β1/siRNA-control-treated cells or between control/saline-treated cells and saline/siRNA-control-treated cells (Figure 5E). In addition, no obvious effect of siRNA interference on cell viability (Supplementary Figure 2) or the expression of TGF-β receptors was found (Supplementary Figure 3). The effect of glucose transporter 1 on the growth and proliferation of hepatic stellate cell. Mouse primary hepatic stellate cells (HSCs) were 1) pretreated with the glucose transporter 1 (GLUT1) inhibitor phloretin (50 μm) for 30 min and then treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 4 h or 2) transiently transfected with small interfering RNAs that inhibited GLUT1 expression, cultured in serum-free medium for 24 h and then treated with TGF-β1 (3 ng/mL) for 4 h. A: Cells were seeded in serum-free medium (4 × 105 cells/well) in the upper chambers of a Transwell system. The lower chambers were filled with 5% glucose medium (700 μL per well). Changes in cell migration were observed. Representative images of crystal violet staining are shown; B: Quantitative data showing the number of migrating cells in each group; C: Western blot analysis using specific antibodies; D: Quantitative analysis of GLUT1 protein expression in three independent experiments; E: The effect of GLUT1 inhibition on the growth/proliferation of HSCs (mean ± SE; bP < 0.01 and cP < 0.001 compared with the group without TGF-β1; eP < 0.01 for the comparison of the TGF-β1-treated group with the groups subjected to TGF-β1 treatment and different interventions; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; siRNAs: Small interfering RNAs. Cells were first treated with phloretin (a specific inhibitor of GLUT1) for 30 min or transfected with an siRNA targeting GLUT1, followed by treatment with TGF-β1 for 4 h. The targeted inhibition of GLUT1 by phloretin and the siRNA suppressed the effect of TGF-β1 on the migration and proliferation of HSCs (Figure 5A, B and E). Western blot analyses also showed that siRNA transfection effectively inhibited TGF-β1-induced GLUT1 expression (Figure 5C and D). Therefore, inhibition of GLUT1 expression reverses the effect of TGF-β1 on the migration and proliferation of HSCs and delays the process of HSC transdifferentiation into myofibroblasts. No noticeable effect of the control siRNA on proliferation was identified between TGF-β1-treated cells and TGF-β1/siRNA-control-treated cells or between control/saline-treated cells and saline/siRNA-control-treated cells (Figure 5E). In addition, no obvious effect of siRNA interference on cell viability (Supplementary Figure 2) or the expression of TGF-β receptors was found (Supplementary Figure 3). The effect of glucose transporter 1 on the growth and proliferation of hepatic stellate cell. Mouse primary hepatic stellate cells (HSCs) were 1) pretreated with the glucose transporter 1 (GLUT1) inhibitor phloretin (50 μm) for 30 min and then treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 4 h or 2) transiently transfected with small interfering RNAs that inhibited GLUT1 expression, cultured in serum-free medium for 24 h and then treated with TGF-β1 (3 ng/mL) for 4 h. A: Cells were seeded in serum-free medium (4 × 105 cells/well) in the upper chambers of a Transwell system. The lower chambers were filled with 5% glucose medium (700 μL per well). Changes in cell migration were observed. Representative images of crystal violet staining are shown; B: Quantitative data showing the number of migrating cells in each group; C: Western blot analysis using specific antibodies; D: Quantitative analysis of GLUT1 protein expression in three independent experiments; E: The effect of GLUT1 inhibition on the growth/proliferation of HSCs (mean ± SE; bP < 0.01 and cP < 0.001 compared with the group without TGF-β1; eP < 0.01 for the comparison of the TGF-β1-treated group with the groups subjected to TGF-β1 treatment and different interventions; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; siRNAs: Small interfering RNAs. GLUT1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis In vitro experiments confirmed the importance of GLUT1 in liver fibrosis. Next, we examined whether inhibition of GLUT1 expression suppressed liver fibrosis in vivo. Phloretin, a specific inhibitor of GLUT1, was used, and its effect on CCl4-induced liver fibrosis was examined. After successful establishment of the CCl4-induced model, an i.p. injection of phloretin was administered three times a week; the intervention was discontinued after 2 wk. A simple technical roadmap is shown in Figure 6A. Compared with those in the model group, the areas of collagen fiber deposition were significantly reduced in the liver tissues from mice in the drug intervention group; these findings were confirmed by Masson’s trichrome and Sirius red staining (Figure 6B-D). The degree of liver inflammation was determined by performing serological assessments of changes in ALT and AST levels, and the results indicated that the degree of inflammation was significantly reduced in the drug intervention group (Figure 6E and F). Therefore, the in vivo results revealed that GLUT1 inhibition reduces CCl4-induced liver fibrosis. Glucose transporter 1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis. A: Schematic diagram of the experiment. C57BL/6 mice were injected intraperitoneally with CCl4 to induce liver fibrosis. The model was successfully established after 4 wk. Among the treatment groups, the CCl4 + phloretin group was intraperitoneally injected with phloretin (10 mg/kg) three times a week, and the CCl4 group was injected with normal saline as a control. The treatments were discontinued after 2 wk; B: Mouse livers were collected, and liver tissue sections were prepared. The sections were subjected to Masson’s trichrome staining, Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining (original magnification, × 10); C: The positive area ratio detected using Sirius red staining; D: The positive area ratio for α-SMA IHC staining; E and F: Serological analysis of ALT (E) and AST (F) levels (n = 5-7; the mean ± SE; scale bar, 100 μm; aP < 0.05 for the comparison between the CCl4 group and the CCl4 + phloretin group; Student’s t test). α-SMA: Alpha-smooth muscle actin. In vitro experiments confirmed the importance of GLUT1 in liver fibrosis. Next, we examined whether inhibition of GLUT1 expression suppressed liver fibrosis in vivo. Phloretin, a specific inhibitor of GLUT1, was used, and its effect on CCl4-induced liver fibrosis was examined. After successful establishment of the CCl4-induced model, an i.p. injection of phloretin was administered three times a week; the intervention was discontinued after 2 wk. A simple technical roadmap is shown in Figure 6A. Compared with those in the model group, the areas of collagen fiber deposition were significantly reduced in the liver tissues from mice in the drug intervention group; these findings were confirmed by Masson’s trichrome and Sirius red staining (Figure 6B-D). The degree of liver inflammation was determined by performing serological assessments of changes in ALT and AST levels, and the results indicated that the degree of inflammation was significantly reduced in the drug intervention group (Figure 6E and F). Therefore, the in vivo results revealed that GLUT1 inhibition reduces CCl4-induced liver fibrosis. Glucose transporter 1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis. A: Schematic diagram of the experiment. C57BL/6 mice were injected intraperitoneally with CCl4 to induce liver fibrosis. The model was successfully established after 4 wk. Among the treatment groups, the CCl4 + phloretin group was intraperitoneally injected with phloretin (10 mg/kg) three times a week, and the CCl4 group was injected with normal saline as a control. The treatments were discontinued after 2 wk; B: Mouse livers were collected, and liver tissue sections were prepared. The sections were subjected to Masson’s trichrome staining, Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining (original magnification, × 10); C: The positive area ratio detected using Sirius red staining; D: The positive area ratio for α-SMA IHC staining; E and F: Serological analysis of ALT (E) and AST (F) levels (n = 5-7; the mean ± SE; scale bar, 100 μm; aP < 0.05 for the comparison between the CCl4 group and the CCl4 + phloretin group; Student’s t test). α-SMA: Alpha-smooth muscle actin. GLUT1 expression is correlated with liver fibrosis progression: The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether GLUT1 is related to liver fibrosis. Successful establishment of the liver fibrosis model was confirmed by Sirius red staining and α-SMA IHC staining (Figure 1A-C). Notably, a significant increase in GLUT1 expression was detected in the liver tissue specimens from the model group (Figure 1A and D). Subsequently, tissue immunofluorescence staining was performed, and the results showed significantly increased GLUT1 expression in liver tissue samples from the CCl4 liver fibrosis model. More importantly, GLUT1 colocalized with α-SMA, indicating a correlation between GLUT1 and liver fibrosis (Figure 1E). IHC staining for GLUT1 and α-SMA was performed using human liver fibrosis specimens and liver specimens from a healthy control group; as expected, GLUT1 expression was significantly higher in the human liver fibrosis specimens (Figure 1F). Finally, whole-liver lysates were prepared from human liver tissue specimens and specimens from the mouse liver fibrosis model, and GLUT1 protein expression was analyzed. The results were consistent with the IHC data (Figure 1G-H). In summary, these results indicate that GLUT1 expression is related to liver fibrosis progression. Glucose transporter 1 expression is correlated with liver fibrosis progression. A-D: The classic mouse model of CCl4-induced liver fibrosis was used to first clarify whether glucose transporter 1 (GLUT1) is related to liver fibrosis. Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining were used to confirm that the liver fibrosis model was successfully established, and then the mice were randomly divided into the CCl4 group and the control oil group (n = 6-10 mice/group) (A); Evaluation of liver fibrosis using Sirius red staining (B); Determination of the area ratio of positive IHC staining for α-SMA in the mouse CCl4-induced liver fibrosis model (C); GLUT1 expression was more abundant in the liver tissue samples from the model group (D); E and F: Immunofluorescence staining for GLUT1 (red) and α-SMA (green) in the CCl4 model. Cell nuclei were counterstained with DAPI. Scale bar for immunofluorescence staining, 200 μm; scale bars for IHC staining and Sirius red staining, 200 μm; G: IHC staining for α-SMA and GLUT1 in the healthy control and liver fibrosis groups (scale bar, 100 μm); H: Western blot analysis of changes in GLUT1 protein levels in the oil group and the CCl4 model group; I: Western blot analysis of GLUT1 protein expression in human liver tissues from the healthy control group and the liver fibrosis group. Data in B-D, G and H are presented as the mean ± SE. Statistically significant differences were detected (compared with the oil group, aP < 0.05 and bP < 0.01; compared with the healthy control group, dP < 0.05). GLUT1: Glucose transporter 1; α-SMA: Alpha-smooth muscle actin. TGF-β1 stimulates HSC activation by inducing GLUT1 expression and promoting aerobic glycolysis: We found that GLUT1 colocalized with α-SMA, indicating that GLUT1 expression was increased mainly in activated HSCs because α-SMA is a major marker of HSC transdifferentiation. TGF-β1 is a very important profibrotic factor and regulates metabolic reprogramming in pulmonary fibrosis[27], as reported in some studies. Therefore, we questioned whether the increase in GLUT1 expression in liver fibrosis and TGF-β1 are related. This study first determined the effect of TGF-β1 on glycolysis in HSCs. To assess the dose responses to TGF-β1, we incubated HSCs with different TGF-β1 concentrations ranging from 3 ng/mL to 5 ng/mL, and the results showed similar effects on GLUT1 protein levels (Supplementary Figure 1). Therefore, a TGF-β1 concentration of 3 ng/mL was used for subsequent experiments. Mouse primary HSCs were isolated and cultured, and the cells were stimulated with TGF-β1 for 24 h prior to the experiments. TGF-β1 stimulation led to an early and continuous increase in the ECAR (an indicator of extracellular acid production) in HSCs, indicating that glycolysis was enhanced in these cells (Figure 2A and B). In addition, the intracellular and extracellular levels (in the medium) of lactic acid were examined to further confirm the glycolytic changes in HSCs. Both intracellular and extracellular lactic acid levels were significantly increased. Consistent with the increase in glycolysis, the level of glucose consumption also increased in these cells (Figure 2C and D). Therefore, TGF-β1 induces glycolysis during the process of HSC transdifferentiation. The expression levels of key glycolytic enzymes in these cells were evaluated; the expression levels of HK-2, PKM-2 and GLUT1 were upregulated, and the increase in GLUT1 expression was particularly significant (Figure 2F-H). Based on these findings, the increase in glycolysis during HSC transdifferentiation is related to the upregulation of key glycolysis enzymes. Similarly, the expression of α-SMA, a marker of transdifferentiation, also increased during the TGF-β1-mediated activation of HSCs (Figure 2I). GLUT1 protein expression was examined at various time points after stimulating HSCs with TGF-β1 (3 ng/mL) to determine whether TGF-β1 stimulates GLUT1 expression in a time-dependent manner, and the results showed that GLUT1 expression increased 2 h after stimulation with TGF-β1 and peaked at 8 h. These results indicate a time-dependent relationship between the increase in GLUT1 expression and TGF-β1 stimulation, which is consistent with the early increase in aerobic glycolysis in HSCs (Figure 2J). Finally, the addition of an inhibitor of the type 1 TGF-β1 receptor inhibited TGF-β1-induced GLUT1 expression in HSCs, suggesting that GLUT1 induction was mediated by TGF-β1 (Figure 2K). Based on these data, TGF-β1 is involved in glycolysis during HSC transdifferentiation and mediates GLUT1 expression, thereby promoting HSC transdifferentiation. Stimulation of hepatic stellate cells with transforming growth factor-β1 induces glucose transporter 1 expression and promotes glycolysis. A: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were seeded into Seahorse XF-24 cell culture microplates (5 × 104 cells/well). The cells were first treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 0, 6 or 24 h, followed by sequential treatment with oligomycin (Oligo) and carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone (FCCP). The extracellular acidification rate (ECAR) was recorded in real time; B: The basic ECAR. n = 6; the mean ± SE; aP < 0.05 compared to the level before TGF-β1 treatment (0 h); unpaired t test; C and D: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. The cells were then lysed, and the lactic acid contents in the cell lysate (C) and the culture medium (D) were examined; E: Determination of glucose consumption in the culture medium; F-I: Mouse HSCs were treated with or without TGF-β1 (3 ng/mL) for 24 h. RNA was purified, and RT-PCR was performed to examine the expression levels of glucose transporter 1 (GLUT1) (F), HK-2 (G), PKM-2 (H) and α-SMA (I), n = 5, the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with those at 0 h or those in the TGF-β1-untreated group; one-way analysis of variance (ANOVA); J: Western blot analysis of the expression levels of GLUT1 and tubulin at various time points after HSCs were treated with TGF-β1 (3 ng/mL); K: Examination of the changes in GLUT1 and tubulin levels after sequential treatment with a type 1 TGF-β receptor inhibitor (LY2109761, 2 μm) for 1 h and then with TGF-β1 (3 ng/mL) for 0, 8 or 24 h. All experiments shown in A-E and F-I were performed 2-3 times. Inhi: Inhibitor; Con: Control; FCCP: Carbonyl cyanide 4-(trifluoromethoxy)phenylhydrazone; ECAR: Extracellular acidification rate; GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1. TGF-β1 induces GLUT1 expression through the Smad pathway: After finding that TGF-β1 stimulation induces GLUT1 expression, the specific mechanism by which TGF-β1 induces GLUT1 expression was further explored. Changes in the expression levels of Smad proteins in the canonical pathway activated by TGF-β1 stimulation were first examined. Western blot analysis revealed a time-dependent relationship between Smad2/Smad3 phosphorylation and TGF-β1 stimulation (Figure 3A and B), and phosphorylation occurred at time points close to when GLUT1 expression increased. Next, the direct role of Smads in GLUT1 induction was explored. Smad3 or Smad4 overexpression plasmids were first transiently transfected into HSCs, and then certain groups of HSCs were induced with TGF-β1 for 4 h. Smad3 or Smad4 overexpression promoted GLUT1 expression, and TGF-β1 addition amplified these effects, resulting in a further increase in GLUT1 expression (Figure 3C and D). Smad2/3 and/or Smad4 siRNAs were used to silence their expression levels and to better understand the roles of Smads in the relationship between TGF-β1 and GLUT1 expression, and the analysis performed at 48 h after the transfection of Smad2/3 and/or Smad4 siRNAs showed that TGF-β1-mediated GLUT1 expression was significantly reduced. This change was more significant and the decrease in GLUT1 expression was more substantial when the cells were transfected simultaneously with both siRNAs (Figure 3G and H). Finally, HSCs were sequentially treated with the Smad inhibitor SIS3 for 2 h and then with TGF-β1 for 4 h, resulting in a significant decrease in GLUT1 protein expression (Figure 3E and F). These results preliminarily indicate the important regulatory role of Smad proteins in TGF-β1-mediated GLUT1 expression and suggest that Smad proteins directly participate in the regulation of GLUT1 by TGF-β1. Transforming growth factor-β1 induces glucose transporter 1 expression through the Smad pathway. A and B: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at various time points. Western blot analysis using specific antibodies (A). Quantitative analysis of the levels of the p-Smad2 and p-Smad3 proteins in five independent experiments (B); C and D: After transiently transfecting HSCs with 2 μg of Smad3 and/or Smad4 expression plasmids, the cells were cultured in serum-free medium for 48 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Green fluorescent protein (GFP) was used as a transfection control. Western blot analysis using specific antibodies (C). Quantitative analysis of glucose transporter 1 (GLUT1) protein expression in five independent experiments (D); E and F: HSCs were first pretreated with a Smad3 inhibitor (SIS3, 20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (E). Quantitative analysis of the GLUT1 protein level in five independent experiments (F); G and H: Mouse primary HSCs were transfected with 20 μmol/L control small interfering RNAs (siRNAs) or siRNAs targeting Smad2/3 and Smad4. After transfection in serum-free medium for 48 h, the cells were treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (G). Quantitative analysis of the GLUT1 protein level in five independent experiments (H) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with that in the group of cells without TGF-β1; dP < 0.05 for the comparison of the groups treated with TGF-β1 and the groups treated with TGF-β1 and different additional reagents; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; Con: Control; siRNAs: Small interfering RNAs. The noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in TGF-β1-mediated GLUT1 induction: During fibrosis development, TGF-β1 activates not only the canonical Smad pathway but also noncanonical pathways (such as the PI3K/AKT and p38 MAPK signaling pathways). In addition, the Smad pathway and non-Smad pathways are mutually dependent[28]. Therefore, we questioned whether a non-Smad pathway is involved in the TGF-β1-mediated induction of GLUT1. Changes in the phosphorylation levels of p38 and AKT in HSCs after TGF-β1 stimulation were examined to answer this question. Western blot analyses showed increased levels of phosphorylated p38 and AKT in HSCs after TGF-β1 treatment (Figure 4A-C). HSCs were pretreated with the specific p38 MAPK inhibitor SB203580 and the PI3K inhibitor LY294002 for 1 h and then induced with TGF-β1 to understand the bridging role of p38 MAPK and AKT in TGF-β1-mediated GLUT1 expression. Western blot analyses showed that p-AKT activity was significantly inhibited and that GLUT1 protein expression was significantly reduced (Figure 4D). S6 ribosomal protein and heat shock protein 25 (Hsp25) are downstream proteins in the PI3K/AKT and p38 MAPK pathways, and their phosphorylation was also inhibited. Addition of the p38 inhibitor reduced the phosphorylation of the S6 protein, and the phosphorylation level of Smad2 was also affected; however, Smad3 was not significantly affected (Figure 4D and E). The above results indicate that (1) GLUT1 expression in HSCs did not rely solely on the TGF-β1-mediated Smad pathway, i.e., the p38 MAPK and PI3K/AKT signaling pathways were also involved in TGF-β1-mediated GLUT1 expression, and (2) TGF-β1-mediated pathways did not act independently, as mutual restrictions and interactions between the pathways were observed. Based on the results described above, the effects of inhibiting the Smad3, p38 MAPK and PI3K/AKT pathways on GLUT1 expression were analyzed, and the simultaneous addition of inhibitors of the Smad3, p38 MAPK and PI3K/AKT pathways significantly reduced TGF-β1-mediated GLUT1 expression (Figure 4F and G). In summary, TGF-β1 requires the participation of non-Smad pathways to induce GLUT1 expression during HSC activation. The noncanonical p38 MAPK and PI3K/AKT signaling pathways are also involved in transforming growth factor-β1-mediated glucose transporter 1 expression. A-C: Serum-starved (for 20 h) primary mouse hepatic stellate cells (HSCs) were treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) and examined at different time points. Western blot analysis using specific antibodies (A). Five independent experiments were performed to quantitatively analyze the levels of phosphorylated p38 (B) MAPK and AKT (C); D and E: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm) or the PI3K inhibitor LY294002 (10 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (D). Quantitative analysis of the levels of glucose transporter 1 (GLUT1) and phosphorylated Smad2 and Smad3 proteins (E); F and G: HSCs cultured in serum-free medium were pretreated with the p38 MAPK inhibitor SB203580 (10 μm), the PI3K inhibitor LY294002 (10 μm) and the Smad inhibitor SIS3 (20 μm) for 1 h and then treated with TGF-β1 (3 ng/mL) for 4 h. Western blot analysis using specific antibodies (F). Quantitative analysis of the GLUT1 protein level (G) (the mean ± SE; aP < 0.05, bP < 0.01 and cP < 0.001 compared with the TGF-β1-treated group or the TGF-β1-untreated group, dP < 0.05, eP < 0.01 and fP < 0.001 for the comparison of the group treated with TGF-β1 and the groups treated with TGF-β1 and the corresponding inhibitors; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1. The effect of GLUT1 on HSC migration and proliferation: Cells were first treated with phloretin (a specific inhibitor of GLUT1) for 30 min or transfected with an siRNA targeting GLUT1, followed by treatment with TGF-β1 for 4 h. The targeted inhibition of GLUT1 by phloretin and the siRNA suppressed the effect of TGF-β1 on the migration and proliferation of HSCs (Figure 5A, B and E). Western blot analyses also showed that siRNA transfection effectively inhibited TGF-β1-induced GLUT1 expression (Figure 5C and D). Therefore, inhibition of GLUT1 expression reverses the effect of TGF-β1 on the migration and proliferation of HSCs and delays the process of HSC transdifferentiation into myofibroblasts. No noticeable effect of the control siRNA on proliferation was identified between TGF-β1-treated cells and TGF-β1/siRNA-control-treated cells or between control/saline-treated cells and saline/siRNA-control-treated cells (Figure 5E). In addition, no obvious effect of siRNA interference on cell viability (Supplementary Figure 2) or the expression of TGF-β receptors was found (Supplementary Figure 3). The effect of glucose transporter 1 on the growth and proliferation of hepatic stellate cell. Mouse primary hepatic stellate cells (HSCs) were 1) pretreated with the glucose transporter 1 (GLUT1) inhibitor phloretin (50 μm) for 30 min and then treated with transforming growth factor-β1 (TGF-β1) (3 ng/mL) for 4 h or 2) transiently transfected with small interfering RNAs that inhibited GLUT1 expression, cultured in serum-free medium for 24 h and then treated with TGF-β1 (3 ng/mL) for 4 h. A: Cells were seeded in serum-free medium (4 × 105 cells/well) in the upper chambers of a Transwell system. The lower chambers were filled with 5% glucose medium (700 μL per well). Changes in cell migration were observed. Representative images of crystal violet staining are shown; B: Quantitative data showing the number of migrating cells in each group; C: Western blot analysis using specific antibodies; D: Quantitative analysis of GLUT1 protein expression in three independent experiments; E: The effect of GLUT1 inhibition on the growth/proliferation of HSCs (mean ± SE; bP < 0.01 and cP < 0.001 compared with the group without TGF-β1; eP < 0.01 for the comparison of the TGF-β1-treated group with the groups subjected to TGF-β1 treatment and different interventions; Student’s t test). GLUT1: Glucose transporter 1; TGF-β1: Transforming growth factor-β1; siRNAs: Small interfering RNAs. GLUT1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis: In vitro experiments confirmed the importance of GLUT1 in liver fibrosis. Next, we examined whether inhibition of GLUT1 expression suppressed liver fibrosis in vivo. Phloretin, a specific inhibitor of GLUT1, was used, and its effect on CCl4-induced liver fibrosis was examined. After successful establishment of the CCl4-induced model, an i.p. injection of phloretin was administered three times a week; the intervention was discontinued after 2 wk. A simple technical roadmap is shown in Figure 6A. Compared with those in the model group, the areas of collagen fiber deposition were significantly reduced in the liver tissues from mice in the drug intervention group; these findings were confirmed by Masson’s trichrome and Sirius red staining (Figure 6B-D). The degree of liver inflammation was determined by performing serological assessments of changes in ALT and AST levels, and the results indicated that the degree of inflammation was significantly reduced in the drug intervention group (Figure 6E and F). Therefore, the in vivo results revealed that GLUT1 inhibition reduces CCl4-induced liver fibrosis. Glucose transporter 1 inhibition delays the development of liver fibrosis in a mouse model of liver fibrosis. A: Schematic diagram of the experiment. C57BL/6 mice were injected intraperitoneally with CCl4 to induce liver fibrosis. The model was successfully established after 4 wk. Among the treatment groups, the CCl4 + phloretin group was intraperitoneally injected with phloretin (10 mg/kg) three times a week, and the CCl4 group was injected with normal saline as a control. The treatments were discontinued after 2 wk; B: Mouse livers were collected, and liver tissue sections were prepared. The sections were subjected to Masson’s trichrome staining, Sirius red staining and alpha-smooth muscle actin (α-SMA) immunohistochemical (IHC) staining (original magnification, × 10); C: The positive area ratio detected using Sirius red staining; D: The positive area ratio for α-SMA IHC staining; E and F: Serological analysis of ALT (E) and AST (F) levels (n = 5-7; the mean ± SE; scale bar, 100 μm; aP < 0.05 for the comparison between the CCl4 group and the CCl4 + phloretin group; Student’s t test). α-SMA: Alpha-smooth muscle actin. DISCUSSION: In normal liver tissues, quiescent HSCs express TGF-β1 at low levels, while TGF-β1 is immediately upregulated after acute or chronic liver injury and interacts with multiple signaling pathways to induce HSC activation and proliferation and extensive ECM production[29,30]. TGF-β1 enhances aerobic glycolysis, amino acid uptake and lactic acid production in Ras- and Myc-transformed cells. TGF-β1 contributes to the metabolic reprogramming of cancer cells and tumor-associated stromal cells[31]. When used to replace a peritoneal dialysis solution, TGF-β1 stimulates glycolysis and inhibits mitochondrial respiration of mesothelial cells, thus promoting the development of peritoneal fibrosis[32]. Preliminary yet strong evidence supporting the importance of metabolic reprogramming in the activation of fibroblasts is steadily accumulating. Research on the mechanism of organ fibrosis also shows that TGF-β1 is related to the occurrence of aerobic glycolysis and mitochondrial dysfunction. The transdifferentiation of resting HSCs into hepatic fibroblasts has been confirmed to be related to mutual transformation between glycolytic enzymes and gluconeogenic enzymes triggered by Hedgehog signaling[33]. Glycolysis is an important pathway of glucose metabolism, and GLUT1 is the most widely expressed glucose transporter in mammals; its expression is regulated by changes in metabolic status and oxidative stress. GLUT1 is also an important marker of liver carcinogenesis and metabolic liver diseases[34]. GLUT1-dependent glycolysis exacerbates lung fibrogenesis during Streptococcus pneumoniae infection via AIM2 inflammasome activation[35]. In the pathogenesis of diabetic glomerulosclerosis, TGF-β1 triggers GLUT1 activation by stretching glomerular mesangial cells. In breast cancer cells, long-term exposure to TGF-β1 restores GLUT1 expression and results in stable EMT and unlimited cell proliferation[36,37]. Therefore, we questioned whether TGF-β1 and GLUT1 are related to liver fibrosis. This study showed a significant increase in GLUT1 expression in human and mouse fibrotic liver tissues, which is consistent with the research results of Wan et al[24]. With the increase in TGF-β1 Levels, the gene expression levels of key enzymes, including GLUT1, in the glycolytic pathway are elevated, glucose consumption and intracellular lactate production are also increased, and glycolytic flux by HSCs is enhanced. As expected, the results of this study are consistent with those of previous studies assessing the mechanism of metabolic reprogramming of pulmonary fibrotic fibroblasts[38], indicating that TGF-β1 induces aerobic glycolysis and drives the occurrence of metabolic reprogramming during the process of stromal cell transdifferentiation. Increased GLUT1 expression also contributes to an elevated glycolytic rate, increased lactic acid production and enhanced glucose-dependent metabolic pathways in cells. In contrast, GLUT1 expression decreased significantly after the addition of a TGF-β1 receptor inhibitor, indicating that GLUT1 expression is related to TGF-β1 signaling. Experiments involving Smad overexpression, siRNA-mediated knockout and Smad inhibitors showed that the response of GLUT1 to TGF-β1 was at least partially dependent on the Smad pathway. Studies have identified a cascade of related pathways activated by TGF-β1. Therefore, this study attempted to verify whether non-Smad pathways were also involved in the induction of GLUT1 expression in HSCs. The noncanonical PI3K/AKT and p38 MAPK pathways activated by TGF-β1 were examined. In colorectal cancer (CRC) cells, silencing GLUT1 expression inactivates the TGF-β1/PI3K/AKT signaling pathway, inhibits the proliferation of CRC cells and promotes apoptosis. MAPK activation by TGF-β1 may trigger GLUT1 synthesis[39,40]. Based on the results of the present study, the simultaneous addition of specific inhibitors of the PI3K/AKT and p38 pathways, i.e., SB203580 and LY294002, respectively, reduced TGF-β1-induced GLUT1 protein expression. The addition of the p38 pathway inhibitor resulted in a decrease in Smad2 protein phosphorylation, changes in the phosphorylated AKT level and changes in the phosphorylation level of a protein downstream of PI3K/AKT signaling (namely, S6); therefore, we speculated that the p38 MAPK pathway acted as a bridge between the TGF-β1-mediated Smad and AKT pathways in HSCs and that reduced activation of the p38 MAPK pathway would inhibit the latter two pathways. In addition, the p38 MAPK pathway might limit Smad pathway-mediated GLUT1 expression to a certain extent. These results are consistent with the previously reported crosstalk between Smad and p38 MAPK in TGF-β1 signal transduction in human glioblastoma cells[41]. However, the specific mechanism underlying the interaction among TGF-β1 pathways in the induction of aerobic glycolysis in stellate cells requires further study. The significant reduction in GLUT1 protein expression was related to the simultaneous inhibition of the Smad3, p38 MAPK and PI3K signaling pathways, indicating that GLUT1 protein expression during stellate cell activation requires the activation and signaling of these three pathways. Moreover, activation of the p38 MAPK pathway might result in a certain synergistic effect with the Smad2/3 pathway (Figure 7). Schematic representation of the mechanisms implicated in canonical and noncanonical transforming growth factor-β pathways regulating glucose transporter 1 expression. TGF-β1: Transforming growth factor-β1; GLUT1: Glucose transporter 1; MF-HSC: Myofibroblasts-hepatic stellate cells; α-SMA: Alpha-smooth muscle actin. TGF-β1 is a pleiotropic cytokine with an important role in the occurrence of liver fibrosis. According to previous studies, TGF-β1 signaling clearly promotes cell migration, matrix synthesis and HSC differentiation toward myofibroblasts. Moreover, the effect of TGF-β1 on fibroblast migration and proliferation depends on changes in the microenvironment[42]. As shown in the present study, TGF-β1 promoted the proliferative and migratory capabilities of HSCs, functions that are hallmarks of cell transformation. The addition of a pharmacological inhibitor of GLUT1 activity (phloretin, an effective GLUT1 inhibitor capable of inhibiting bleomycin-induced pulmonary fibrosis in vivo[43]) and silencing of the GLUT1 gene eliminated TGF-β1-induced proliferation, growth and migration. Finally, a GLUT1 inhibitor was used in in vivo experiments, and the degree of mouse liver fibrosis improved, collagen fiber deposition decreased, and the degree of inflammation decreased. Given the importance of GLUT1, the experimental results revealed that GLUT1 is involved in aerobic glycolysis during HSC activation and that aerobic glycolysis is a response to TGF-β1 signaling mediated by the Smad, PI3K/AKT and p38 MAPK pathways. CONCLUSION: In summary, TGF-β1-induced GLUT1 expression may be one of the mechanisms involved in the reprogramming of HSCs, providing an expanded basis and new insights for the mechanism of action of TGF-β1 in metabolic reprogramming during liver fibrosis. GLUT1 plays an important role in aerobic glycolysis in HSCs and in promoting cell proliferation and transformation. GLUT1 inhibition may be an alternative therapy to the current traditional treatments for liver fibrosis. However, the extent to which GLUT1 inhibition contributes to elimination of the profibrotic effect of TGF-β1 and the specific molecular mechanisms of the interaction between the two may require verification using approaches combining proteomics and single-cell sequencing, which may be an attractive research direction in the future.
Background: Hepatic stellate cells (HSCs) are the key effector cells mediating the occurrence and development of liver fibrosis, while aerobic glycolysis is an important metabolic characteristic of HSC activation. Transforming growth factor-β1 (TGF-β1) induces aerobic glycolysis and is a driving factor for metabolic reprogramming. The occurrence of glycolysis depends on a high glucose uptake level. Glucose transporter 1 (GLUT1) is the most widely distributed glucose transporter in the body and mainly participates in the regulation of carbohydrate metabolism, thus affecting cell proliferation and growth. However, little is known about the relationship between TGF-β1 and GLUT1 in the process of liver fibrosis and the molecular mechanism underlying the promotion of aerobic glycolysis in HSCs. Methods: Immunohistochemical staining and immunofluorescence assays were used to examine GLUT1 expression in fibrotic liver tissue. A Seahorse extracellular flux (XF) analyzer was used to examine changes in aerobic glycolytic flux, lactate production levels and glucose consumption levels in HSCs upon TGF-β1 stimulation. The mechanism by which TGF-β1 induces GLUT1 protein expression in HSCs was further explored by inhibiting/promoting the TGF-β1/mothers-against-decapentaplegic-homolog 2/3 (Smad2/3) signaling pathway and inhibiting the p38 and phosphoinositide 3-kinase (PI3K)/AKT signaling pathways. In addition, GLUT1 expression was silenced to observe changes in the growth and proliferation of HSCs. Finally, a GLUT1 inhibitor was used to verify the in vivo effects of GLUT1 on a mouse model of liver fibrosis. Results: GLUT1 protein expression was increased in both mouse and human fibrotic liver tissues. In addition, immunofluorescence staining revealed colocalization of GLUT1 and alpha-smooth muscle actin proteins, indicating that GLUT1 expression was related to the development of liver fibrosis. TGF-β1 caused an increase in aerobic glycolysis in HSCs and induced GLUT1 expression in HSCs by activating the Smad, p38 MAPK and P13K/AKT signaling pathways. The p38 MAPK and Smad pathways synergistically affected the induction of GLUT1 expression. GLUT1 inhibition eliminated the effect of TGF-β1 on HSC proliferation and migration. A GLUT1 inhibitor was administered in a mouse model of liver fibrosis, and GLUT1 inhibition reduced the degree of liver inflammation and liver fibrosis. Conclusions: TGF-β1 induces GLUT1 expression in HSCs, a process related to liver fibrosis progression. In vitro experiments revealed that TGF-β1-induced GLUT1 expression might be one of the mechanisms mediating the metabolic reprogramming of HSCs. In addition, in vivo experiments also indicated that the GLUT1 protein promotes the occurrence and development of liver fibrosis.
INTRODUCTION: Liver fibrosis is the inevitable result of chronic liver inflammation caused by various etiologies. With progressive destruction of liver parenchymal cells, liver fibrosis eventually develops into liver cirrhosis and even liver cancer[1,2]. Although liver cirrhosis and liver cancer are irreversible, liver fibrosis can be reversed. Therefore, the mechanism of and clinical studies on liver fibrosis have always been the focus of liver disease research. The main pathological feature of liver fibrosis is the excessive deposition of extracellular matrix (ECM), while the key initiating factors are activation of quiescent hepatic stellate cells (HSCs) and transformation of their phenotypes and functions[3]. The transforming growth factor-β1 (TGF-β1) pathway is the key fibrogenic pathway that drives HSC activation and induces ECM production. HSC activation requires metabolic reprogramming and a continuous energy supply[4,5]. Aerobic glycolysis is an important metabolic characteristic of the transdifferentiation of quiescent stellate cells, a process similar to the Warburg effect in tumor cells, and the core metabolic changes include a transition from oxidative phosphorylation to aerobic glycolysis[6]. Dysregulated glycolysis has been implicated in experimental models of lung and liver fibrosis, and inhibition of glycolysis reduces ECM accumulation[7]. In view of the mechanisms involved, targeting and inhibiting the metabolic reprogramming of activated HSCs during liver fibrosis may be a promising anti-liver fibrosis strategy. TGF-β1 is a multifunctional cytokine and a major profibrotic cytokine that regulates cell differentiation, cell proliferation and ECM production and directly regulates multiple cellular signal transduction networks[8]. In the canonical TGF-β1/mothers-against-decapentaplegic-homolog 2/3 (Smad2/3) pathway, ligands induce the assembly of the TGF-β1 receptor I (TβRI)/TGF-β1 receptor II (TβRII) heterocomplex, which targets Smad4 via Smad2 and Smad3 proteins to form the Smad complex, leading to phosphorylation and nuclear translocation of Smad2/3; this R-Smad/Co-Smad4 complex translocates to the nucleus where it binds to DNA either directly or in association with other DNA-binding proteins[9-11]. Phosphorylated Smad2/3 binds to specific Smad binding elements (SBEs) in gene promoter regions to activate/suppress the expression of target genes[12,13]. In addition to Smads, TGF-β1 also triggers other protein-mediated signaling pathways, e.g., p38, mitogen-activated protein kinases (MAPKs) and phosphoinositide 3-kinase (PI3K). Some functions of TGF-β1 have been studied in depth, such as the mediation of cell differentiation and proliferation. However, TGF-β1 has recently been reported to induce aerobic glycolysis and is considered a driving factor in metabolic reprogramming[14]. TGF-β is also a strong activator of glycolysis in mesenchymal cells[15]. Extracellular accumulation of lactic acid induces epithelial-mesenchymal transition (EMT) by directly reconstituting the ECM and releasing activated TGF-β1. EMT induced by TGF-β in hepatocellular carcinoma cells reprograms lipid metabolism to sustain the elevated energy requirements associated with this process[16]. Research on the mechanism of idiopathic pulmonary fibrosis has shown that TGF-β1-induced aerobic glycolysis causes lactic acid accumulation and changes the cellular microenvironment, thereby activating latent TGF-β1 in the ECM and eventually forming a positive feedback loop to promote the effects of TGF-β1[17]. Glucose transporter 1 (GLUT1) is a member of the GLUT transporter family, the most conserved and most widely distributed glucose transporter in mammals and the main transporter regulating glucose uptake[18]. An increasing number of studies have found that GLUT1 plays an important role in accelerated metabolism. Research on the mechanism of neurodegenerative diseases has revealed that GLUT1 controls the activation of microglia by promoting aerobic glycolysis[19]. GLUT1 enhances the stimulating effect of TGF-β1 on mesangial cells, breast cancer cells and pancreatic cancer cells. As glucose uptake increases during TGF-β1-induced EMT of breast cancer cells, GLUT1 expression also increases and is correlated with EMT markers (including E-cadherin and vimentin). GLUT1 is the key mediator of the aerobic glycolysis phenotype in ovarian cancer and is required to maintain a high level of basic aerobic glycolysis. In models of bleomycin-induced pulmonary fibrosis, GLUT1-dependent aerobic glycolysis has been reported to be essential for pulmonary parenchymal fibrosis[20-23]. Certain signaling molecules (such as cAMP, p53, PI3K and AKT) reduce alpha-smooth muscle actin (α-SMA) protein expression in primary mouse fibroblasts by inhibiting GLUT1 expression. Exosomes secreted by activated HSCs affect the metabolic switch of liver nonparenchymal cells through delivery of the glycolysis-related proteins GLUT1 and PKM2; GLUT1 is involved in metabolic reprogramming of HSCs[24]. TGF-β1 and GLUT1 play important regulatory roles in metabolic reprogramming. To date, however, researchers have not explored whether the increases in TGF-β1 and GLUT1 Levels during HSC activation are related. Therefore, this study investigated the effect of the TGF-β1 signaling pathway on the regulation of GLUT1 and aerobic glycolysis. We hypothesized that TGF-β1 drives HSC activation and aerobic glycolysis by inducing GLUT1 expression, thereby promoting liver fibrosis progression. As shown in the present study, GLUT1 expression was significantly increased in mouse and human fibrotic liver tissue samples. Further in vitro experiments showed that the aerobic glycolysis capacity of HSCs was enhanced and GLUT1 expression increased with increasing TGF-β1 Levels. Inhibition/ promotion of the Smad2/3 signaling pathway and inhibition of the p38 and PI3K/AKT signaling pathways confirmed that TGF-β1 induced GLUT1 expression by targeting the pSmad2/3, p38 and PI3K/AKT pathways, thus promoting HSC activation. Finally, administration of a specific GLUT1 inhibitor in a mouse model of liver fibrosis resulted in a significant reduction in liver fibrosis. Based on these findings, the TGF-β1 signaling pathway enhances aerobic glycolysis by promoting GLUT1 expression, thereby promoting the development of liver fibrosis. CONCLUSION: The authors thank Dr. Ding Q for expert technical assistance.
Background: Hepatic stellate cells (HSCs) are the key effector cells mediating the occurrence and development of liver fibrosis, while aerobic glycolysis is an important metabolic characteristic of HSC activation. Transforming growth factor-β1 (TGF-β1) induces aerobic glycolysis and is a driving factor for metabolic reprogramming. The occurrence of glycolysis depends on a high glucose uptake level. Glucose transporter 1 (GLUT1) is the most widely distributed glucose transporter in the body and mainly participates in the regulation of carbohydrate metabolism, thus affecting cell proliferation and growth. However, little is known about the relationship between TGF-β1 and GLUT1 in the process of liver fibrosis and the molecular mechanism underlying the promotion of aerobic glycolysis in HSCs. Methods: Immunohistochemical staining and immunofluorescence assays were used to examine GLUT1 expression in fibrotic liver tissue. A Seahorse extracellular flux (XF) analyzer was used to examine changes in aerobic glycolytic flux, lactate production levels and glucose consumption levels in HSCs upon TGF-β1 stimulation. The mechanism by which TGF-β1 induces GLUT1 protein expression in HSCs was further explored by inhibiting/promoting the TGF-β1/mothers-against-decapentaplegic-homolog 2/3 (Smad2/3) signaling pathway and inhibiting the p38 and phosphoinositide 3-kinase (PI3K)/AKT signaling pathways. In addition, GLUT1 expression was silenced to observe changes in the growth and proliferation of HSCs. Finally, a GLUT1 inhibitor was used to verify the in vivo effects of GLUT1 on a mouse model of liver fibrosis. Results: GLUT1 protein expression was increased in both mouse and human fibrotic liver tissues. In addition, immunofluorescence staining revealed colocalization of GLUT1 and alpha-smooth muscle actin proteins, indicating that GLUT1 expression was related to the development of liver fibrosis. TGF-β1 caused an increase in aerobic glycolysis in HSCs and induced GLUT1 expression in HSCs by activating the Smad, p38 MAPK and P13K/AKT signaling pathways. The p38 MAPK and Smad pathways synergistically affected the induction of GLUT1 expression. GLUT1 inhibition eliminated the effect of TGF-β1 on HSC proliferation and migration. A GLUT1 inhibitor was administered in a mouse model of liver fibrosis, and GLUT1 inhibition reduced the degree of liver inflammation and liver fibrosis. Conclusions: TGF-β1 induces GLUT1 expression in HSCs, a process related to liver fibrosis progression. In vitro experiments revealed that TGF-β1-induced GLUT1 expression might be one of the mechanisms mediating the metabolic reprogramming of HSCs. In addition, in vivo experiments also indicated that the GLUT1 protein promotes the occurrence and development of liver fibrosis.
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[ 1088, 186, 195, 40, 104, 474, 47, 115, 74, 70, 42, 72, 62, 163, 113, 8183, 578, 1018, 738, 777, 499, 438, 1171, 134 ]
25
[ "β1", "tgf", "glut1", "tgf β1", "expression", "liver", "cells", "hscs", "glut1 expression", "fibrosis" ]
[ "hepatic stellate cells", "liver fibrosis clarify", "liver fibrosis inhibition", "promoting liver fibrosis", "liver fibrosis tgf" ]
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[CONTENT] Gene regulation | Glycolysis | Liver fibrosis | Glucose transporter 1 | Transforming growth factor-β1 [SUMMARY]
[CONTENT] Gene regulation | Glycolysis | Liver fibrosis | Glucose transporter 1 | Transforming growth factor-β1 [SUMMARY]
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[CONTENT] Gene regulation | Glycolysis | Liver fibrosis | Glucose transporter 1 | Transforming growth factor-β1 [SUMMARY]
[CONTENT] Gene regulation | Glycolysis | Liver fibrosis | Glucose transporter 1 | Transforming growth factor-β1 [SUMMARY]
[CONTENT] Gene regulation | Glycolysis | Liver fibrosis | Glucose transporter 1 | Transforming growth factor-β1 [SUMMARY]
[CONTENT] Animals | Glucose Transporter Type 1 | Glycolysis | Hepatic Stellate Cells | Liver Cirrhosis | Mice | Phosphatidylinositol 3-Kinases | Smad Proteins | Transforming Growth Factor beta1 [SUMMARY]
[CONTENT] Animals | Glucose Transporter Type 1 | Glycolysis | Hepatic Stellate Cells | Liver Cirrhosis | Mice | Phosphatidylinositol 3-Kinases | Smad Proteins | Transforming Growth Factor beta1 [SUMMARY]
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[CONTENT] Animals | Glucose Transporter Type 1 | Glycolysis | Hepatic Stellate Cells | Liver Cirrhosis | Mice | Phosphatidylinositol 3-Kinases | Smad Proteins | Transforming Growth Factor beta1 [SUMMARY]
[CONTENT] Animals | Glucose Transporter Type 1 | Glycolysis | Hepatic Stellate Cells | Liver Cirrhosis | Mice | Phosphatidylinositol 3-Kinases | Smad Proteins | Transforming Growth Factor beta1 [SUMMARY]
[CONTENT] Animals | Glucose Transporter Type 1 | Glycolysis | Hepatic Stellate Cells | Liver Cirrhosis | Mice | Phosphatidylinositol 3-Kinases | Smad Proteins | Transforming Growth Factor beta1 [SUMMARY]
[CONTENT] hepatic stellate cells | liver fibrosis clarify | liver fibrosis inhibition | promoting liver fibrosis | liver fibrosis tgf [SUMMARY]
[CONTENT] hepatic stellate cells | liver fibrosis clarify | liver fibrosis inhibition | promoting liver fibrosis | liver fibrosis tgf [SUMMARY]
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[CONTENT] hepatic stellate cells | liver fibrosis clarify | liver fibrosis inhibition | promoting liver fibrosis | liver fibrosis tgf [SUMMARY]
[CONTENT] hepatic stellate cells | liver fibrosis clarify | liver fibrosis inhibition | promoting liver fibrosis | liver fibrosis tgf [SUMMARY]
[CONTENT] hepatic stellate cells | liver fibrosis clarify | liver fibrosis inhibition | promoting liver fibrosis | liver fibrosis tgf [SUMMARY]
[CONTENT] β1 | tgf | glut1 | tgf β1 | expression | liver | cells | hscs | glut1 expression | fibrosis [SUMMARY]
[CONTENT] β1 | tgf | glut1 | tgf β1 | expression | liver | cells | hscs | glut1 expression | fibrosis [SUMMARY]
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[CONTENT] β1 | tgf | glut1 | tgf β1 | expression | liver | cells | hscs | glut1 expression | fibrosis [SUMMARY]
[CONTENT] β1 | tgf | glut1 | tgf β1 | expression | liver | cells | hscs | glut1 expression | fibrosis [SUMMARY]
[CONTENT] β1 | tgf | glut1 | tgf β1 | expression | liver | cells | hscs | glut1 expression | fibrosis [SUMMARY]
[CONTENT] tgf | β1 | tgf β1 | liver | glycolysis | aerobic glycolysis | aerobic | glut1 | fibrosis | liver fibrosis [SUMMARY]
[CONTENT] min | united | united states | states | purchased | cells | added | pbs | antibody | sequences [SUMMARY]
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[CONTENT] glut1 | mechanisms | tgf β1 | tgf | β1 | glut1 inhibition | reprogramming | inhibition | liver fibrosis | fibrosis [SUMMARY]
[CONTENT] β1 | tgf | tgf β1 | glut1 | liver | cells | expression | hscs | fibrosis | liver fibrosis [SUMMARY]
[CONTENT] β1 | tgf | tgf β1 | glut1 | liver | cells | expression | hscs | fibrosis | liver fibrosis [SUMMARY]
[CONTENT] HSC ||| ||| ||| 1 | GLUT1 ||| GLUT1 [SUMMARY]
[CONTENT] GLUT1 ||| ||| GLUT1 | the TGF-β1 | 2/3 | 3 ||| GLUT1 ||| GLUT1 | GLUT1 [SUMMARY]
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[CONTENT] TGF-β1 | GLUT1 ||| GLUT1 ||| GLUT1 [SUMMARY]
[CONTENT] HSC ||| ||| ||| 1 | GLUT1 ||| GLUT1 ||| GLUT1 ||| ||| GLUT1 | the TGF-β1 | 2/3 | 3 ||| GLUT1 ||| GLUT1 | GLUT1 ||| ||| GLUT1 ||| GLUT1 | GLUT1 ||| TGF-β1 | GLUT1 | Smad | P13K/AKT ||| Smad | GLUT1 ||| ||| GLUT1 | GLUT1 ||| GLUT1 ||| GLUT1 ||| GLUT1 [SUMMARY]
[CONTENT] HSC ||| ||| ||| 1 | GLUT1 ||| GLUT1 ||| GLUT1 ||| ||| GLUT1 | the TGF-β1 | 2/3 | 3 ||| GLUT1 ||| GLUT1 | GLUT1 ||| ||| GLUT1 ||| GLUT1 | GLUT1 ||| TGF-β1 | GLUT1 | Smad | P13K/AKT ||| Smad | GLUT1 ||| ||| GLUT1 | GLUT1 ||| GLUT1 ||| GLUT1 ||| GLUT1 [SUMMARY]
Evaluation of drug susceptibility profile of Mycobacterium tuberculosis Lineage 1 from Brazil based on whole genome sequencing and phenotypic methods.
33533871
The evaluation of procedures for drug susceptibility prediction of Mycobacterium tuberculosis based on genomic data against the conventional reference method test based on culture is realistic considering the scenario of growing number of tools proposals based on whole-genome sequences (WGS).
BACKGROUND
Culture based DST was performed using the Proportion Method in Löwenstein-Jensen medium on 71 isolates that had been submitted to WGS. We analysed the seven main genome sequence-based tools for resistance and lineage prediction applied to M. tuberculosis and for comparison evaluation we have used the Kappa concordance test.
METHODOLOGY
When comparing the WGS-based tools against the DST, we observed the highest level of agreement using TB-profiler. Among the tools, TB-profiler, KvarQ and Mykrobe were those which identified the largest number of TB-MDR cases. Comparing the four most sensitive tools regarding resistance prediction, agreement was observed for 43 genomes.
FINDINGS
Drug resistance profiling using next-generation sequencing offers rapid assessment of resistance-associated mutations, therefore facilitating rapid access to effective treatment.
MAIN CONCLUSIONS
[ "Antitubercular Agents", "Brazil", "Drug Resistance, Multiple, Bacterial", "Humans", "Microbial Sensitivity Tests", "Mycobacterium tuberculosis", "Pharmaceutical Preparations", "Tuberculosis, Multidrug-Resistant", "Whole Genome Sequencing" ]
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RESULTS
Based on the DST, among the 71 isolates, 38 (53.5%) were drug susceptible, 17 (23.9%) were resistant to at least one of the drugs and 16 (22.5%) were TB-MDR. The summary of the results obtained with each of the WGS based tools for TB resistance prediction is described in Table I. TABLE IDrug resistance profile according to whole-genome sequencing tools for first-line anti-tuberculosisGenomic toolsMultidrug resistantOther resistanceSusceptibleTB-profiler18 (25.4%)14 (19.7%)39 (54.9%)PhyResSea 1 (1.4%)25 (36.2%)43 (62.4%)KvarQ18 (25.4%)13 (18.3%)40 (56.3%)CASTBb 15 (25%)34 (56.7%)11 (18.3%)RSniffer0071 (100%)Mykrobe18 (25.4%)17 (23.9%)36 (50.7%)MTBSEQ17 (23.9%)23 (32.4%)31 (43.7%) a: n = 69; b: n = 60. a: n = 69; b: n = 60. Among the tools TB-profiler, KvarQ and Mykrobe identified the largest number of TB-MDR cases, while PhyResSe presented a low capacity to find mutations related to the rpoB gene (k = 0,08). Due to technical issues by not generating data with the PhyResSe and CASTB softwares, we were unable to obtain results for all submitted genomes, reducing the total number of samples to 69 and 60, respectively. All samples submitted to RSniffer were determined as being drug susceptible. When comparing the WGS based tools to DST (Table II), we observed the highest level of agreement on all drugs in the case of TB-profiler (Table III). The program that showed the least compatibility 16 with all antibiotics was RSniffer. The conclusion for each tool is described in Supplementary data (Table II). TABLE IIComparison among the seven whole-genome sequencing based tools against the drug susceptibility testDrug-susceptibility test (Proportion Method) → INHRIFPZAEMBSM MDR: RIF+INHWGS tools ↓DST statusRSRSRSRSRSMDR-statusMDRN-MDRTB-profilerR261175328661MDR144S440148363057262N-MDR152MTBSEQR2810155257562MDR134S231348460158261N-MDR351Phyressea R20010258452MDR10S10411753460059361N-MDR1555KvarqR261175147261MDR144S440148561161262N-MDR251CASTBb R2531342455536MDR114S538549261358327N-MDR551Resistance snifferR0000000000MDR00S30411853665863863N-MDR1655MykrobeR272176457761MDR144S339147260156262N-MDR251INH: isoniazid; RIF: rifampicin; PZA: pyrazinamide; EMB: ethambutol; SM: streptomycin; MDR: multidrug-resistant; WGS: whole-genome sequencing; DST: drug susceptibility test. a: n = 69; b: n = 60. INH: isoniazid; RIF: rifampicin; PZA: pyrazinamide; EMB: ethambutol; SM: streptomycin; MDR: multidrug-resistant; WGS: whole-genome sequencing; DST: drug susceptibility test. a: n = 69; b: n = 60. TABLE IIITB-profiler versus MTBSEQ whole-genome sequencing tools according to Kappa Coefficient Kappa (Interpretation)Observed concordanceReplicability95% CIp-valueDrugsTB-profilerMTBSEQTB-profilerMTBSEQTB-profilerMTBSEQTB-profilerMTBSEQTB-profilerMTBSEQINH0.8540.69292.96%84.51%Almost perfectSubstantial0.731 to 0.9770.528 to 0.856<0.0001<0.0001RIF0.7920.71391.55%88.73%SubstantialSubstantial0.635 to 0.9490.528 to 0.898<0.0001<0.0001PZA0.5080.23892.96%87.32%ModerateFair0.133 to 0.882-0.108 to 0.585<0.0001<0,0219EMB0.6450.65390.41%91.55%SubstantialSubstantial0.411 to 0.8790.400 to 0.906<0.0001<0.0001SM0.7760.71895.77%94.73%SubstantialSubstantial0.533 to 1.0000.457 to 0.980<0.0001<0.0001INH: isoniazid; RIF: rifampicin; PZA: pyrazinamide; EMB: ethambutol; SM: streptomycin; 95% CI: 95% confidence interval. INH: isoniazid; RIF: rifampicin; PZA: pyrazinamide; EMB: ethambutol; SM: streptomycin; 95% CI: 95% confidence interval. Considering the performance of the in silico DST against the antibiotics separately, Mykrobe was the one with highest accuracy in relation to INH (k = 0.855 and p < 0.0001). Owing to the design of algorithm or technical runtime issues, CASTB presented a greater number of positive results for SM, influencing the agreement (k = 0.04 and p < 0.2025) together with EMB (k = 0.166 and p < 0.095), these results do not indicate statistical significance. For pyrazinamide (PZA), in silico analysis demonstrated a low agreement rate, with Kappa coefficient results ranging from 0.114 to 0.508 [Supplementary data (Table III)]. Among the evaluated tools in general, TB-profiler performed favorably. For identification of MDR samples however, sensitivity (77%), specificity (96%) and accuracy (14.71) were the same for KvarQ and Mykrobe [Supplementary data (Table III)]. A Venn graphic illustrates the comparison among the four most sensible tools (TB-profiler; KvarQ; Mykrobe and MTBSEQ) and conventional DST, including 43 genomes as common elements: 12 MDR (G04875, G04876, G04877, G04878, G04882, G04893, G049162, G049222; G049392; G049442, G049512 and G049522), 26 susceptible (G04871, G04881, G04883, G04885, G04886, G04887, G04889, G04896, G049182, G049202, G049212, G049252, G049272, G049292, G049302, G049312, G049372, G049402, G049412, G049422, G049432, G049462, G049472, G049492, G049532 and G049542) and five INH monoresistant isolates (G04888, G049382, G049482, G049502 and G049582) (Figure). Comparison among five drug resistance prediction tools based on whole-genome sequencing data against the drug resistance testing (DST) reference technique for 71 Mycobacterium tuberculosis Lineage 1 from Brazil.
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[ "MATERIALS AND METHODS", "RESULTS", "DISCUSSION" ]
[ "\nSampling - Out of 980 M. tuberculosis isolates\nfrom the state of Pará, Brazil, 97 were classified as East-African-Indian (EAI) by\nSpoligotyping,\n2\n among which 71 were recovered and classified as Lineage 1\n3\n were used in this present study for DR evaluation.\n\nDrug susceptibility testing - DST for isoniazid (INH), rifampicin\n(RIF), ethambutol (EMB) and streptomycin (SM) was performed using the Proportions\nMethod in Löwenstein-Jensen (LJ) medium using the recommended critical\nconcentrations and using the H37Rv strain as a control. The DST was performed\naccording to the national manual for laboratory surveillance of TB and other\nmycobacteria\n13\n without modifications. This test consisted of detecting the proportion of\nresistant bacilli present in a sample of M. tuberculosis, given the\nconcentration of the drug, capable of inhibiting the development of sensitive cells,\nbut not that of resistant cells - “critical concentration”.\n\nWhole-genome sequencing - After DNA extraction by Phenol-chloroform\nprotocol\n5\n and library preparation using the Nextera XT DNA Library Prep Kit (Illumina,\nSan Diego, USA), the isolates were sequenced using the Hiseq 2500 platform\n(Illumina, San Diego, USA) with a coverage of 250x. The raw reads were deposited at\nNCBI under the accession number PRJNA494931\n5\n and PRJNA630228.\nFollowing the genome quality control by FastQC v0.11.9, reads were trimmed using\nTrimmomatic v0.35.\n14\n To compare the drug susceptibility profile based on SNPs obtained from WGS,\nwe have used the following tools on the trimmed files: TB-profiler v2.8.6,\n6\n KvarQ v0.12.2,\n7\n PhyresSe,\n8\n Mykrobe v0.8.1,\n9\n MTBSEQ v1.0.4,\n10\n CASTB\n11\n and RSniffer.\n12\n All results are described in the Supplementary\ndata\n(Table I).\n\nStatistics - To compare the sensitivity, specificity and accuracy\nof DST as determined phenotypically or in silico, the Kappa\nConcordance Analysis was applied using the BioEstat 5.5 software.\n15\n This test is a measure of interobserver agreement and measures the degree of\nagreement beyond what would be expected only by chance. This measure of agreement\nhas a maximum value of 1, where this value 1 represents total agreement and values\nclose to and even below 0 indicate no agreement, or the agreement was exactly what\nwas expected by chance. An eventual Kappa value less than zero or negative, suggests\nthat the agreement found was lower than that expected by chance. Therefore, it\nindicates disagreement, but its value has no interpretation as a degree of\ndisagreement. The p-value is considered significant when it is less than or equal to\n5% (p ≤ 0.05).\n\nEthics - This study was approved by the Ethics Committee/IEC,\nAnanindeua, Pará, Brazil, under the number 018/2011 (CAAE: 0002.0.071.000-11).", "Based on the DST, among the 71 isolates, 38 (53.5%) were drug susceptible, 17 (23.9%)\nwere resistant to at least one of the drugs and 16 (22.5%) were TB-MDR. The summary\nof the results obtained with each of the WGS based tools for TB resistance\nprediction is described in Table I.\n\nTABLE IDrug resistance profile according to whole-genome sequencing tools\nfor first-line anti-tuberculosisGenomic toolsMultidrug resistantOther resistanceSusceptibleTB-profiler18 (25.4%)14 (19.7%)39 (54.9%)PhyResSea\n1 (1.4%)25 (36.2%)43 (62.4%)KvarQ18 (25.4%)13 (18.3%)40 (56.3%)CASTBb\n15 (25%)34 (56.7%)11 (18.3%)RSniffer0071 (100%)Mykrobe18 (25.4%)17 (23.9%)36 (50.7%)MTBSEQ17 (23.9%)23 (32.4%)31 (43.7%)\na: n = 69; b: n = 60.\n\n\na: n = 69; b: n = 60.\nAmong the tools TB-profiler, KvarQ and Mykrobe identified the largest number of\nTB-MDR cases, while PhyResSe presented a low capacity to find mutations related to\nthe rpoB gene (k = 0,08). Due to technical issues by not generating\ndata with the PhyResSe and CASTB softwares, we were unable to obtain results for all\nsubmitted genomes, reducing the total number of samples to 69 and 60, respectively.\nAll samples submitted to RSniffer were determined as being drug susceptible.\nWhen comparing the WGS based tools to DST (Table\nII), we observed the highest level of agreement on all drugs in the case\nof TB-profiler (Table III). The program that\nshowed the least compatibility\n16\n with all antibiotics was RSniffer. The conclusion for each tool is described\nin Supplementary\ndata\n(Table II).\n\nTABLE IIComparison among the seven whole-genome sequencing based tools\nagainst the drug susceptibility testDrug-susceptibility test (Proportion Method) →\nINHRIFPZAEMBSM\nMDR: RIF+INHWGS tools ↓DST statusRSRSRSRSRSMDR-statusMDRN-MDRTB-profilerR261175328661MDR144S440148363057262N-MDR152MTBSEQR2810155257562MDR134S231348460158261N-MDR351Phyressea\nR20010258452MDR10S10411753460059361N-MDR1555KvarqR261175147261MDR144S440148561161262N-MDR251CASTBb\nR2531342455536MDR114S538549261358327N-MDR551Resistance snifferR0000000000MDR00S30411853665863863N-MDR1655MykrobeR272176457761MDR144S339147260156262N-MDR251INH: isoniazid; RIF: rifampicin; PZA: pyrazinamide; EMB: ethambutol;\nSM: streptomycin; MDR: multidrug-resistant; WGS: whole-genome\nsequencing; DST: drug susceptibility test. a: n =\n69; b: n = 60.\n\nINH: isoniazid; RIF: rifampicin; PZA: pyrazinamide; EMB: ethambutol;\nSM: streptomycin; MDR: multidrug-resistant; WGS: whole-genome\nsequencing; DST: drug susceptibility test. a: n =\n69; b: n = 60.\n\nTABLE IIITB-profiler versus MTBSEQ whole-genome sequencing\ntools according to Kappa Coefficient\nKappa (Interpretation)Observed concordanceReplicability95% CIp-valueDrugsTB-profilerMTBSEQTB-profilerMTBSEQTB-profilerMTBSEQTB-profilerMTBSEQTB-profilerMTBSEQINH0.8540.69292.96%84.51%Almost perfectSubstantial0.731 to 0.9770.528 to 0.856<0.0001<0.0001RIF0.7920.71391.55%88.73%SubstantialSubstantial0.635 to 0.9490.528 to 0.898<0.0001<0.0001PZA0.5080.23892.96%87.32%ModerateFair0.133 to 0.882-0.108 to 0.585<0.0001<0,0219EMB0.6450.65390.41%91.55%SubstantialSubstantial0.411 to 0.8790.400 to 0.906<0.0001<0.0001SM0.7760.71895.77%94.73%SubstantialSubstantial0.533 to 1.0000.457 to 0.980<0.0001<0.0001INH: isoniazid; RIF: rifampicin; PZA: pyrazinamide; EMB: ethambutol;\nSM: streptomycin; 95% CI: 95% confidence interval.\n\nINH: isoniazid; RIF: rifampicin; PZA: pyrazinamide; EMB: ethambutol;\nSM: streptomycin; 95% CI: 95% confidence interval.\nConsidering the performance of the in silico DST against the\nantibiotics separately, Mykrobe was the one with highest accuracy in relation to INH\n(k = 0.855 and p < 0.0001). Owing to the design of algorithm or technical runtime\nissues, CASTB presented a greater number of positive results for SM, influencing the\nagreement (k = 0.04 and p < 0.2025) together with EMB (k = 0.166 and p <\n0.095), these results do not indicate statistical significance. For pyrazinamide\n(PZA), in silico analysis demonstrated a low agreement rate, with\nKappa coefficient results ranging from 0.114 to 0.508\n[Supplementary\ndata\n(Table III)].\nAmong the evaluated tools in general, TB-profiler performed favorably. For\nidentification of MDR samples however, sensitivity (77%), specificity (96%) and\naccuracy (14.71) were the same for KvarQ and Mykrobe [Supplementary\ndata\n(Table III)].\nA Venn graphic illustrates the comparison among the four most sensible tools\n(TB-profiler; KvarQ; Mykrobe and MTBSEQ) and conventional DST, including 43 genomes\nas common elements: 12 MDR (G04875, G04876, G04877, G04878, G04882, G04893, G049162,\nG049222; G049392; G049442, G049512 and G049522), 26 susceptible (G04871, G04881,\nG04883, G04885, G04886, G04887, G04889, G04896, G049182, G049202, G049212, G049252,\nG049272, G049292, G049302, G049312, G049372, G049402, G049412, G049422, G049432,\nG049462, G049472, G049492, G049532 and G049542) and five INH monoresistant isolates\n(G04888, G049382, G049482, G049502 and G049582) (Figure).\n\nComparison among five drug resistance prediction tools based on\nwhole-genome sequencing data against the drug resistance testing (DST)\nreference technique for 71 Mycobacterium tuberculosis\nLineage 1 from Brazil.\n", "One of the objectives of the Genomic Era is to replace the classic genotyping\ntechniques for the detection and identification of MTBC species for diagnostic\npurposes and the phenotypic methods for DST, by in silico analysis\nof WGS data.\n17\n During the last decades, genotyping tools have been developed that identify\nboth lineage and drug resistance and their validation is of major importance to\nevaluate their impact as a possible substitute for traditional methodologies.\nThis present study compared the widely used WGS based tools to predict antimicrobial\nresistance profile in 71 genomes from isolates of M. tuberculosis\nof the Lineage 1 from Pará, Brazil, using DST as the reference method. The DST based\non the proportions method is mostly used in Brazil as an AST for mycobacteria, but\nit is a laborious and time-consuming method, requiring four to six weeks to obtain\nthe results.\n18\n On the other hand, DR prediction from WGS data can be performed from early\npositive MGIT cultures after an average of 14 days, or even directly on sputum\nsample generating results within five days.\n19\n\n\nLineage 1 (EAI) is not usually associated with DR and has also low correlation to\ntransmissibility and virulence, presenting a restricted geographical\ndistribution.\n4\n\n,\n\n20\n In this study however, the resistance profile by the DST demonstrated that\n17 (23.9%) were resistant at least to one drug and 16 (22.5%) were MDR. This high\nfrequency of MDR isolates might be related to the fact that the TB cases were from\nthe reference hospital for MDR-TB Hospital Universitário João de Barros Barreto\n(HUJBB), including TB contacts (without a previous history of TB), and patients\nsuspected of treatment failure or TB relapse. Compared the DR of Lineage 1 in the\ncontext of other lineages from the same region, the most predominant was Lineage 4,\namong of which T and X lineages, were associated to MDR-TB, while Lineage 1 the\nhighest among ‘any resistance’ group.\n2\n\n\nAmong all in silico based tools tested presently, we encountered\ndifficulties to predict resistance to PZA, which can be partly due to alternative\nmechanisms of resistance to this drug (non pncA related)\n21\n and reports of low-frequency SNPs that may be associated with PZA\nresistance.\n22\n In the present study however, we did not include PZA in the conventional\nDST, a major limitation of the study.\nThe ability to correctly identify whether there is a mutation in the sample is called\nsensitivity and the ability to identify whether the sample does not actually have\nthe mutation is specificity, when analysing these results it is important to\ngenerate the level of accuracy, thus it is easier to assess whether the results\nobtained were compared correctly.\nTB-profiler showed that, in addition to good sensitivity and specificity,\n23\n it has a good statistical correlation with conventional DST, proving that it\nis a good resistance predictor tool. A recent study on isolates from patient from\nthe state of São Paulo in Brazil and from province of Sofala in Mozambique compared\nDST performed in liquid medium MGIT-960 SIRE kit against TB-profiler prediction and\nthe LPA tests Genotype-MTBDRplus 2.0 and MTBDRsl 2.0. The TB-profiler had the best\nperformance among the genotypic DST as compared to the phenotypic test with a good\nconcordance with phenotypic DST for RIF and SM (89.6%), INH (96.5%) and EMB (82.7%).\nWGS sensitivity and specificity for detection resistance were respectively 87.5 and\n92.3% for RIF; 95.6 and 100% for INH; 85.7 and 93.3% for SM while 100 and 77.2% for\nEMB.\n24\n\n\nMoreover, our data is also in agreement with other studies\n10\n\n,\n\n25\n suggesting that the use of TB-profiler together with Mykrobre, MTBSeq and\nKvarQ may increase the chances to fully elucidate the mutations of the genomes under\nanalysis.\nRegarding RIF prediction by PhyResSe, it detected only one mutation (rpoB_His445Arg)\nin rpoB gene of a MDR strain by DST (G04893), therefore this tool\npresented a low sensitivity and specificity for this drug. In general, we observed a\nlower performance PhyResSe compared to other pipelines, much more pronounced that\nthat described in other studies.\n23\n This might be a characteristic of the performance of this pipeline\nparticular in genomes of Lineage 1 and needs further investigation.\nEven though in some studies, CASTB has demonstrated a good performance in finding\nvariants related to mutations,\n11\n\n,\n\n21\n we observed a high number of false positives for resistance to SM, in\naddition to not generating outputs for some samples resulting in inconclusive\nresults.\nRegarding RSniffer based genome analysis, all isolates were considered as susceptible\nto all drugs and this seems to be due to the fact that by default, this tool assumes\nLinage 1 as a drug pan-susceptible,\n12\n limiting its applicability in this strain population.\nSince WGS is mainly done from a DNA pool of a culture, it is possible that there is a\ndiscrepancy between the phenotypic and genotypic tests for the same sample, as these\nstrains can manifest themselves, thus tests can be influenced by mixed infections or\nmixtures of drug susceptible and resistant populations in phenomenon of\nheteroresistance.\n26\n\n\nThe evaluated tools in this study were based on the technique of Direct Association\n(DA) which relies on the established correlation between the various resistance\nconferring mutations and their presence or absence in the MTB isolate under study.\nThese pre-documented correlations are utilised by these tools to ascertain the drug\nresistance profile of the sample.\n27\n\n,\n\n28\n Studies which are valid as genomic analysis protocol for the detection of\nMTBC species and their genetic characterisation, especially for resistance analysis,\nare important for the progress of translational research in TB, with the goal to\nreplace phenotypic tests by WGS.\nRecently, WGS performed directly on clinical specimen has been proposed for an even\nmore rapid TB surveillance, allowing researchers to do real-time genomic\nepidemiology and drug resistance surveillance in settings where culture and DST are\nnot available.\n29\n\n,\n\n30\n However, this is still technically challenging and a under active study." ]
[ "materials|methods", "results", "discussion" ]
[ "tuberculosis", "genomic", "drug resistance", "Mycobacterium tuberculosis", "Lineage 1", "Brazil" ]
MATERIALS AND METHODS: Sampling - Out of 980 M. tuberculosis isolates from the state of Pará, Brazil, 97 were classified as East-African-Indian (EAI) by Spoligotyping, 2 among which 71 were recovered and classified as Lineage 1 3 were used in this present study for DR evaluation. Drug susceptibility testing - DST for isoniazid (INH), rifampicin (RIF), ethambutol (EMB) and streptomycin (SM) was performed using the Proportions Method in Löwenstein-Jensen (LJ) medium using the recommended critical concentrations and using the H37Rv strain as a control. The DST was performed according to the national manual for laboratory surveillance of TB and other mycobacteria 13 without modifications. This test consisted of detecting the proportion of resistant bacilli present in a sample of M. tuberculosis, given the concentration of the drug, capable of inhibiting the development of sensitive cells, but not that of resistant cells - “critical concentration”. Whole-genome sequencing - After DNA extraction by Phenol-chloroform protocol 5 and library preparation using the Nextera XT DNA Library Prep Kit (Illumina, San Diego, USA), the isolates were sequenced using the Hiseq 2500 platform (Illumina, San Diego, USA) with a coverage of 250x. The raw reads were deposited at NCBI under the accession number PRJNA494931 5 and PRJNA630228. Following the genome quality control by FastQC v0.11.9, reads were trimmed using Trimmomatic v0.35. 14 To compare the drug susceptibility profile based on SNPs obtained from WGS, we have used the following tools on the trimmed files: TB-profiler v2.8.6, 6 KvarQ v0.12.2, 7 PhyresSe, 8 Mykrobe v0.8.1, 9 MTBSEQ v1.0.4, 10 CASTB 11 and RSniffer. 12 All results are described in the Supplementary data (Table I). Statistics - To compare the sensitivity, specificity and accuracy of DST as determined phenotypically or in silico, the Kappa Concordance Analysis was applied using the BioEstat 5.5 software. 15 This test is a measure of interobserver agreement and measures the degree of agreement beyond what would be expected only by chance. This measure of agreement has a maximum value of 1, where this value 1 represents total agreement and values close to and even below 0 indicate no agreement, or the agreement was exactly what was expected by chance. An eventual Kappa value less than zero or negative, suggests that the agreement found was lower than that expected by chance. Therefore, it indicates disagreement, but its value has no interpretation as a degree of disagreement. The p-value is considered significant when it is less than or equal to 5% (p ≤ 0.05). Ethics - This study was approved by the Ethics Committee/IEC, Ananindeua, Pará, Brazil, under the number 018/2011 (CAAE: 0002.0.071.000-11). RESULTS: Based on the DST, among the 71 isolates, 38 (53.5%) were drug susceptible, 17 (23.9%) were resistant to at least one of the drugs and 16 (22.5%) were TB-MDR. The summary of the results obtained with each of the WGS based tools for TB resistance prediction is described in Table I. TABLE IDrug resistance profile according to whole-genome sequencing tools for first-line anti-tuberculosisGenomic toolsMultidrug resistantOther resistanceSusceptibleTB-profiler18 (25.4%)14 (19.7%)39 (54.9%)PhyResSea 1 (1.4%)25 (36.2%)43 (62.4%)KvarQ18 (25.4%)13 (18.3%)40 (56.3%)CASTBb 15 (25%)34 (56.7%)11 (18.3%)RSniffer0071 (100%)Mykrobe18 (25.4%)17 (23.9%)36 (50.7%)MTBSEQ17 (23.9%)23 (32.4%)31 (43.7%) a: n = 69; b: n = 60. a: n = 69; b: n = 60. Among the tools TB-profiler, KvarQ and Mykrobe identified the largest number of TB-MDR cases, while PhyResSe presented a low capacity to find mutations related to the rpoB gene (k = 0,08). Due to technical issues by not generating data with the PhyResSe and CASTB softwares, we were unable to obtain results for all submitted genomes, reducing the total number of samples to 69 and 60, respectively. All samples submitted to RSniffer were determined as being drug susceptible. When comparing the WGS based tools to DST (Table II), we observed the highest level of agreement on all drugs in the case of TB-profiler (Table III). The program that showed the least compatibility 16 with all antibiotics was RSniffer. The conclusion for each tool is described in Supplementary data (Table II). TABLE IIComparison among the seven whole-genome sequencing based tools against the drug susceptibility testDrug-susceptibility test (Proportion Method) → INHRIFPZAEMBSM MDR: RIF+INHWGS tools ↓DST statusRSRSRSRSRSMDR-statusMDRN-MDRTB-profilerR261175328661MDR144S440148363057262N-MDR152MTBSEQR2810155257562MDR134S231348460158261N-MDR351Phyressea R20010258452MDR10S10411753460059361N-MDR1555KvarqR261175147261MDR144S440148561161262N-MDR251CASTBb R2531342455536MDR114S538549261358327N-MDR551Resistance snifferR0000000000MDR00S30411853665863863N-MDR1655MykrobeR272176457761MDR144S339147260156262N-MDR251INH: isoniazid; RIF: rifampicin; PZA: pyrazinamide; EMB: ethambutol; SM: streptomycin; MDR: multidrug-resistant; WGS: whole-genome sequencing; DST: drug susceptibility test. a: n = 69; b: n = 60. INH: isoniazid; RIF: rifampicin; PZA: pyrazinamide; EMB: ethambutol; SM: streptomycin; MDR: multidrug-resistant; WGS: whole-genome sequencing; DST: drug susceptibility test. a: n = 69; b: n = 60. TABLE IIITB-profiler versus MTBSEQ whole-genome sequencing tools according to Kappa Coefficient Kappa (Interpretation)Observed concordanceReplicability95% CIp-valueDrugsTB-profilerMTBSEQTB-profilerMTBSEQTB-profilerMTBSEQTB-profilerMTBSEQTB-profilerMTBSEQINH0.8540.69292.96%84.51%Almost perfectSubstantial0.731 to 0.9770.528 to 0.856<0.0001<0.0001RIF0.7920.71391.55%88.73%SubstantialSubstantial0.635 to 0.9490.528 to 0.898<0.0001<0.0001PZA0.5080.23892.96%87.32%ModerateFair0.133 to 0.882-0.108 to 0.585<0.0001<0,0219EMB0.6450.65390.41%91.55%SubstantialSubstantial0.411 to 0.8790.400 to 0.906<0.0001<0.0001SM0.7760.71895.77%94.73%SubstantialSubstantial0.533 to 1.0000.457 to 0.980<0.0001<0.0001INH: isoniazid; RIF: rifampicin; PZA: pyrazinamide; EMB: ethambutol; SM: streptomycin; 95% CI: 95% confidence interval. INH: isoniazid; RIF: rifampicin; PZA: pyrazinamide; EMB: ethambutol; SM: streptomycin; 95% CI: 95% confidence interval. Considering the performance of the in silico DST against the antibiotics separately, Mykrobe was the one with highest accuracy in relation to INH (k = 0.855 and p < 0.0001). Owing to the design of algorithm or technical runtime issues, CASTB presented a greater number of positive results for SM, influencing the agreement (k = 0.04 and p < 0.2025) together with EMB (k = 0.166 and p < 0.095), these results do not indicate statistical significance. For pyrazinamide (PZA), in silico analysis demonstrated a low agreement rate, with Kappa coefficient results ranging from 0.114 to 0.508 [Supplementary data (Table III)]. Among the evaluated tools in general, TB-profiler performed favorably. For identification of MDR samples however, sensitivity (77%), specificity (96%) and accuracy (14.71) were the same for KvarQ and Mykrobe [Supplementary data (Table III)]. A Venn graphic illustrates the comparison among the four most sensible tools (TB-profiler; KvarQ; Mykrobe and MTBSEQ) and conventional DST, including 43 genomes as common elements: 12 MDR (G04875, G04876, G04877, G04878, G04882, G04893, G049162, G049222; G049392; G049442, G049512 and G049522), 26 susceptible (G04871, G04881, G04883, G04885, G04886, G04887, G04889, G04896, G049182, G049202, G049212, G049252, G049272, G049292, G049302, G049312, G049372, G049402, G049412, G049422, G049432, G049462, G049472, G049492, G049532 and G049542) and five INH monoresistant isolates (G04888, G049382, G049482, G049502 and G049582) (Figure). Comparison among five drug resistance prediction tools based on whole-genome sequencing data against the drug resistance testing (DST) reference technique for 71 Mycobacterium tuberculosis Lineage 1 from Brazil. DISCUSSION: One of the objectives of the Genomic Era is to replace the classic genotyping techniques for the detection and identification of MTBC species for diagnostic purposes and the phenotypic methods for DST, by in silico analysis of WGS data. 17 During the last decades, genotyping tools have been developed that identify both lineage and drug resistance and their validation is of major importance to evaluate their impact as a possible substitute for traditional methodologies. This present study compared the widely used WGS based tools to predict antimicrobial resistance profile in 71 genomes from isolates of M. tuberculosis of the Lineage 1 from Pará, Brazil, using DST as the reference method. The DST based on the proportions method is mostly used in Brazil as an AST for mycobacteria, but it is a laborious and time-consuming method, requiring four to six weeks to obtain the results. 18 On the other hand, DR prediction from WGS data can be performed from early positive MGIT cultures after an average of 14 days, or even directly on sputum sample generating results within five days. 19 Lineage 1 (EAI) is not usually associated with DR and has also low correlation to transmissibility and virulence, presenting a restricted geographical distribution. 4 , 20 In this study however, the resistance profile by the DST demonstrated that 17 (23.9%) were resistant at least to one drug and 16 (22.5%) were MDR. This high frequency of MDR isolates might be related to the fact that the TB cases were from the reference hospital for MDR-TB Hospital Universitário João de Barros Barreto (HUJBB), including TB contacts (without a previous history of TB), and patients suspected of treatment failure or TB relapse. Compared the DR of Lineage 1 in the context of other lineages from the same region, the most predominant was Lineage 4, among of which T and X lineages, were associated to MDR-TB, while Lineage 1 the highest among ‘any resistance’ group. 2 Among all in silico based tools tested presently, we encountered difficulties to predict resistance to PZA, which can be partly due to alternative mechanisms of resistance to this drug (non pncA related) 21 and reports of low-frequency SNPs that may be associated with PZA resistance. 22 In the present study however, we did not include PZA in the conventional DST, a major limitation of the study. The ability to correctly identify whether there is a mutation in the sample is called sensitivity and the ability to identify whether the sample does not actually have the mutation is specificity, when analysing these results it is important to generate the level of accuracy, thus it is easier to assess whether the results obtained were compared correctly. TB-profiler showed that, in addition to good sensitivity and specificity, 23 it has a good statistical correlation with conventional DST, proving that it is a good resistance predictor tool. A recent study on isolates from patient from the state of São Paulo in Brazil and from province of Sofala in Mozambique compared DST performed in liquid medium MGIT-960 SIRE kit against TB-profiler prediction and the LPA tests Genotype-MTBDRplus 2.0 and MTBDRsl 2.0. The TB-profiler had the best performance among the genotypic DST as compared to the phenotypic test with a good concordance with phenotypic DST for RIF and SM (89.6%), INH (96.5%) and EMB (82.7%). WGS sensitivity and specificity for detection resistance were respectively 87.5 and 92.3% for RIF; 95.6 and 100% for INH; 85.7 and 93.3% for SM while 100 and 77.2% for EMB. 24 Moreover, our data is also in agreement with other studies 10 , 25 suggesting that the use of TB-profiler together with Mykrobre, MTBSeq and KvarQ may increase the chances to fully elucidate the mutations of the genomes under analysis. Regarding RIF prediction by PhyResSe, it detected only one mutation (rpoB_His445Arg) in rpoB gene of a MDR strain by DST (G04893), therefore this tool presented a low sensitivity and specificity for this drug. In general, we observed a lower performance PhyResSe compared to other pipelines, much more pronounced that that described in other studies. 23 This might be a characteristic of the performance of this pipeline particular in genomes of Lineage 1 and needs further investigation. Even though in some studies, CASTB has demonstrated a good performance in finding variants related to mutations, 11 , 21 we observed a high number of false positives for resistance to SM, in addition to not generating outputs for some samples resulting in inconclusive results. Regarding RSniffer based genome analysis, all isolates were considered as susceptible to all drugs and this seems to be due to the fact that by default, this tool assumes Linage 1 as a drug pan-susceptible, 12 limiting its applicability in this strain population. Since WGS is mainly done from a DNA pool of a culture, it is possible that there is a discrepancy between the phenotypic and genotypic tests for the same sample, as these strains can manifest themselves, thus tests can be influenced by mixed infections or mixtures of drug susceptible and resistant populations in phenomenon of heteroresistance. 26 The evaluated tools in this study were based on the technique of Direct Association (DA) which relies on the established correlation between the various resistance conferring mutations and their presence or absence in the MTB isolate under study. These pre-documented correlations are utilised by these tools to ascertain the drug resistance profile of the sample. 27 , 28 Studies which are valid as genomic analysis protocol for the detection of MTBC species and their genetic characterisation, especially for resistance analysis, are important for the progress of translational research in TB, with the goal to replace phenotypic tests by WGS. Recently, WGS performed directly on clinical specimen has been proposed for an even more rapid TB surveillance, allowing researchers to do real-time genomic epidemiology and drug resistance surveillance in settings where culture and DST are not available. 29 , 30 However, this is still technically challenging and a under active study.
Background: The evaluation of procedures for drug susceptibility prediction of Mycobacterium tuberculosis based on genomic data against the conventional reference method test based on culture is realistic considering the scenario of growing number of tools proposals based on whole-genome sequences (WGS). Methods: Culture based DST was performed using the Proportion Method in Löwenstein-Jensen medium on 71 isolates that had been submitted to WGS. We analysed the seven main genome sequence-based tools for resistance and lineage prediction applied to M. tuberculosis and for comparison evaluation we have used the Kappa concordance test. Results: When comparing the WGS-based tools against the DST, we observed the highest level of agreement using TB-profiler. Among the tools, TB-profiler, KvarQ and Mykrobe were those which identified the largest number of TB-MDR cases. Comparing the four most sensitive tools regarding resistance prediction, agreement was observed for 43 genomes. Conclusions: Drug resistance profiling using next-generation sequencing offers rapid assessment of resistance-associated mutations, therefore facilitating rapid access to effective treatment.
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[ "dst", "tb", "drug", "resistance", "tools", "results", "wgs", "mdr", "based", "agreement" ]
[ "tuberculosis isolates state", "isolates tuberculosis lineage", "present sample tuberculosis", "anti tuberculosisgenomic", "tuberculosisgenomic toolsmultidrug resistantother" ]
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[CONTENT] tuberculosis | genomic | drug resistance | Mycobacterium tuberculosis | Lineage 1 | Brazil [SUMMARY]
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[CONTENT] tuberculosis | genomic | drug resistance | Mycobacterium tuberculosis | Lineage 1 | Brazil [SUMMARY]
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[CONTENT] Antitubercular Agents | Brazil | Drug Resistance, Multiple, Bacterial | Humans | Microbial Sensitivity Tests | Mycobacterium tuberculosis | Pharmaceutical Preparations | Tuberculosis, Multidrug-Resistant | Whole Genome Sequencing [SUMMARY]
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[CONTENT] Antitubercular Agents | Brazil | Drug Resistance, Multiple, Bacterial | Humans | Microbial Sensitivity Tests | Mycobacterium tuberculosis | Pharmaceutical Preparations | Tuberculosis, Multidrug-Resistant | Whole Genome Sequencing [SUMMARY]
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[CONTENT] tuberculosis isolates state | isolates tuberculosis lineage | present sample tuberculosis | anti tuberculosisgenomic | tuberculosisgenomic toolsmultidrug resistantother [SUMMARY]
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[CONTENT] tuberculosis isolates state | isolates tuberculosis lineage | present sample tuberculosis | anti tuberculosisgenomic | tuberculosisgenomic toolsmultidrug resistantother [SUMMARY]
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[CONTENT] dst | tb | drug | resistance | tools | results | wgs | mdr | based | agreement [SUMMARY]
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[CONTENT] dst | tb | drug | resistance | tools | results | wgs | mdr | based | agreement [SUMMARY]
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[CONTENT] table | 0001 | tools | mdr | pyrazinamide | 60 | 69 60 | 69 | dst | sequencing [SUMMARY]
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[CONTENT] dst | resistance | tb | drug | tools | mdr | agreement | study | value | table [SUMMARY]
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[CONTENT] WGS | DST ||| KvarQ | Mykrobe | TB-MDR ||| four | 43 [SUMMARY]
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[CONTENT] Mycobacterium | WGS ||| DST | the Proportion Method | Löwenstein-Jensen | 71 | WGS ||| seven | Kappa ||| WGS | DST ||| KvarQ | Mykrobe | TB-MDR ||| four | 43 ||| [SUMMARY]
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Secretory activity of the coronary artery endothelial cells in conditions of the peritoneal dialysis.
35174782
Endothelial dysfunction is frequent in patients treated with peritoneal dialysis and may lead to cardiac complications. We evaluated the effect of effluent dialysates and serum on the function of coronary artery endothelial cells (CAEC).
INTRODUCTION
Human CAEC in in vitro culture were exposed to serum and dialysates from 24 patients treated with continuous ambulatory peritoneal dialysis (CAPD) and secretion of interleukin-6 (IL6), von Willebrand factor (vWF), tissue plasminogen activator (t-PA) and plasminogen activator inhibitor-1 (PAI-1) were measured. Modulation of the secretory activity of CAEC by Sulodexide, mixture of glycosaminoglycans: heparin sulfate and dermatan sulfate, was studied.
METHODS
Serum from CAPD patients stimulated synthesis of IL6 (+93%), vWF (+18%), and PAI-1 (+20%) and did not change t-PA secretion in CAEC. Dialysates stimulated secretion of IL6 (+89%), vWF (+29%), and PAI-1 (+31%) and did not change t-PA synthesis. Dialysates collected in 12 patients after 6 months more strongly stimulated synthesis of IL6 (+37%) and PAI-1 (+7%). Sulodexide suppressed the secretory activity of CAEC stimulated by the studied sera: IL6 (-38%), vWF (-19%), t-PA (-13%), and PAI-1 (-12%).
RESULTS
Serum and the dialysate from CAPD patients induce inflammatory and prothrombotic reaction in coronary arterial endothelial cells. The general pattern of the observed effects for serum and dialysates was similar but the intensity of the effects was not identical. Sulodexide reduced these effects.
CONCLUSIONS
[ "Adult", "Anticoagulants", "Coronary Vessels", "Dialysis Solutions", "Endothelial Cells", "Female", "Glycosaminoglycans", "Humans", "Interleukin-6", "Male", "Middle Aged", "Peritoneal Dialysis, Continuous Ambulatory", "Plasminogen Activator Inhibitor 1", "Tissue Plasminogen Activator", "von Willebrand Factor" ]
8856042
Introduction
Cardiorenal syndrome is a frequent cause of death in a group of patients with end-stage renal failure. Uremia causes dysfunction of the endothelium which is an important factor predisposing patients to the development of cardiorenal syndrome [1]. Renal replacement therapy removes molecules that are toxic toward the endothelial cells but at the same time initiates the development of their inflammatory phenotype [2,3]. One can assume that hemodialysis is more damaging than peritoneal dialysis, to the endothelial cells, because of the direct contact of blood with the dialysis membrane, which may induce intravascular inflammation. Hemodialysis performed with a cellulosic cuprophane membrane, contrary to a synthetic polysulfone membrane, more strongly impaired the endothelium-dependent flow-mediated dilation of the brachial artery [4]. In renal patients treated with hemodialysis, higher than in patients treated with peritoneal dialysis, levels of CD14+ and CD16+ monocytes and apoptotic endothelial microparticles were found [5]. On the other hand, in children treated with hemodialysis, stronger destruction of the endothelium was observed than during treatment with peritoneal dialysis [6]. However, both in patients treated with hemodialysis and peritoneal dialysis, significant damage to the endothelial glycocalyx was observed, which may disturb the function of the endothelium [7]. Endothelial dysfunction strongly correlates with cardiovascular complications in peritoneal dialysis patients [8]. In patients treated with peritoneal dialysis, dysfunction of the endothelium is also linked with the loss of residual renal function [9]. The peritoneal dialysis procedure induces intraperitoneal inflammation caused by the infusion of the bioincompatible dialysis fluids into the peritoneal cavity. Infusion of any solution into the peritoneal cavity is an unphysiological procedure per se, resulting in the induction of an inflammatory reaction. Second, some components of the peritoneal dialysis fluid are cytotoxic. Glucose degradation products (GDP) present in the dialysis fluid are cytotoxic toward mesothelial [10] and endothelial cells [11]. Park et al. reported that neutralization of the dialysate pH and minimization of the dialysate GDP significantly reduce the systemic level of the inflammatory markers and endothelial dysfunction in patients treated with chronic peritoneal dialysis [12]. However, in another study in continuous ambulatory peritoneal dialysis (CAPD) patients treated with physioneal, nutrineal, and extraneal (low GDP fluids), significantly higher serum levels of von Willebrand factor (vWF) and CRP were observed than in patients treated with the standard dialysis fluid containing a high level of GDP [13]. These observations suggest that peritoneal dialysis fluids with low levels of the potentially cytotoxic/injurious factors toward the mesothelial and endothelial cells are not the final recipe for the biocompatible procedure of that treatment. One can assume that the peritoneal dialysis induced intraperitoneal inflammation, independently of the dialysis solution used for treatment, always affects the intravascular space and the endothelial cells. We should know the characteristics and intensity of that reaction and how it affects various parts of the vascular system, especially the coronary blood vessels. Previously, we found that uremic serum collected from hemodialysis patients induces an inflammatory reaction in arterial endothelial cells and a prothrombotic effect in venous endothelial cells [14] . We present results from a study in which the effects of overnight peritoneal dialysate effluents from CAPD patients dialyzed with high GDP fluid Dianeal 1.5% and their sera on the functional properties of coronary arterial endothelial cells were studied. Additionally, we show how these effects can be modulated by the drug Sulodexide, which is a mixture of natural glycosaminoglycans. Sulodexide has an anti-inflammatory and antithrombotic effect in venous diseases [15]. However, there are no data describing its effect in coronary artery endothelial cells (CAEC).
null
null
Results
Serum samples collected from the peritoneal dialysis patients modified the secretory activity of the endothelial cells, as compared to the control serum. Synthesis of IL6, PAI-1, and vWF was increased by 93%, p < .001, 20%, p < .001 and by 18%, p < .001, respectively. No change in the synthesis of t-PA was observed (Figure 1). The ratio of t-PA/PAI-1 was lower in cells exposed to CAPD serum: 12.8 × 10−3 ± 1.9 × 10−3 than in the control group: 15.0 × 10−3 ± 1.2 × 10−3 (p < .001). Effect of the control serum (CON) and serum from patients treated with continuous ambulatory peritoneal dialysis (CAPD) on secretion of IL6 (A), t-PA (B), PAI-1 (C), and vWF (D) in the human coronary arterial endothelial cells. Dialysates, analogically to CAPD serum, stimulated synthesis of IL6, PAI-1, and vWF, by 89%, p < .001, 31%, p < .001, and by 29%, p < .001, respectively, and no change in t-PA synthesis was observed (Figure 2). The ratio of t-PA/PAI-1 was lower in cells exposed to CAPD dialysate: 12.5 × 10−3 ± 1.7 × 10−3 than in the control group: 15.7 × 10–3 ± 2.3 × 10−3 (p < .001). We found a correlation between the CAPD dialysate and serum effect on the synthesis of IL6 in the endothelial cells (r = 0.614, p < .002). Effect of the culture medium (medium) and dialysates (medium-DIAL) from patients treated with the continuous ambulatory peritoneal dialysis on secretion of IL6 (A), t-PA (B), PAI-1 (C), and vWF (D) in the human coronary arterial endothelial cells. Dialysates collected in 12 patients after six months of therapy had a higher level of IL6, as compared to the beginning of the study: 78.0  ±  37.9 pg/mL vs. 57.8  ±  29.1 pg/mL, p < .01. No differences in other parameters were detected. Dialysates collected after six months of the therapy stronger stimulated synthesis of IL6 and PAI-1 in the endothelial cells, as compared to the beginning of the study: +37%, p < .005 and +7%, p < .001, respectively. No change in the synthesis of t-PA and vWF was observed (Figure 3). After 6 months of therapy t-PA/PAI-1 ratio was reduced from 12.9 × 10−3 ± 1.6 × 10−3 to 12.3 × 10−3 ± 1.4 × 10−3, p < .005. Effect of the dialysates collected from patients treated with the continuous ambulatory peritoneal dialysis at the beginning of the study (start) and after 6 months (6 months) on secretion of IL6 (A), t-PA (B), PAI-1 (C), and vWF1 (D) in the human coronary arterial endothelial cells. Sulodexide suppressed the secretory activity of the endothelial cells during their exposure to the CAPD sera. Synthesis of IL6 was reduced by 38%, p < .001, t-PA by 13%, p < .001, PAI-1 by 12%, p < .001 and vWF by 19%, p < .001 (Figure 4). No change in the t-PA/PAI-1 ratio was detected. Effect of the studied serum (serum) supplemented with Sulodexide 0.5. LRU/mL (serum + SUL) on secretion of IL6 (A), t-PA (B), PAI-1 (C), and vWF (D) in the human coronary arterial endothelial cells.
null
null
[ "In vitro culture of endothelial cells", "Effect of the serum and effluent dialysates on the secretory activity of endothelial cells", "Effect of Sulodexide on the serum induced secretory activity of endothelial cells", "Statistical analysis" ]
[ "Experiments were performed on primary cultures of human CAEC purchased from Cell Applications, Inc. (San Diego, CA). The human endothelial cells growth medium provided by the producer of the cells was used for cell culture. Cells were grown to monolayers in 75 cm2 culture flasks, then harvested with trypsin 0.05%–EDTA 0.02% solution and seeded into 48 wells culture plates. Experiments were performed on the endothelial monolayers.\nEffect of the serum and effluent dialysates on the secretory activity of endothelial cells The dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02)\nConcentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24).\nStatistical significance between the studied parameters in serum and dialysate is shown.\nSerum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK).\nEffluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells.\nThe dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02)\nConcentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24).\nStatistical significance between the studied parameters in serum and dialysate is shown.\nSerum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK).\nEffluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells.\nEffect of Sulodexide on the serum induced secretory activity of endothelial cells In the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above.\nIn the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above.", "The dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02)\nConcentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24).\nStatistical significance between the studied parameters in serum and dialysate is shown.\nSerum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK).\nEffluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells.", "In the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above.", "Results are presented as mean  ±  SD. Statistical analysis was performed with the Mann–Whitney or Wilcoxon’s test. Correlation between the studied groups was measured with the Spearman test. A p value less than .05 was considered statistically significant." ]
[ null, null, null, null ]
[ "Introduction", "Materials and methods", "In vitro culture of endothelial cells", "Effect of the serum and effluent dialysates on the secretory activity of endothelial cells", "Effect of Sulodexide on the serum induced secretory activity of endothelial cells", "Statistical analysis", "Results", "Discussion" ]
[ "Cardiorenal syndrome is a frequent cause of death in a group of patients with end-stage renal failure. Uremia causes dysfunction of the endothelium which is an important factor predisposing patients to the development of cardiorenal syndrome [1]. Renal replacement therapy removes molecules that are toxic toward the endothelial cells but at the same time initiates the development of their inflammatory phenotype [2,3]. One can assume that hemodialysis is more damaging than peritoneal dialysis, to the endothelial cells, because of the direct contact of blood with the dialysis membrane, which may induce intravascular inflammation. Hemodialysis performed with a cellulosic cuprophane membrane, contrary to a synthetic polysulfone membrane, more strongly impaired the endothelium-dependent flow-mediated dilation of the brachial artery [4]. In renal patients treated with hemodialysis, higher than in patients treated with peritoneal dialysis, levels of CD14+ and CD16+ monocytes and apoptotic endothelial microparticles were found [5]. On the other hand, in children treated with hemodialysis, stronger destruction of the endothelium was observed than during treatment with peritoneal dialysis [6]. However, both in patients treated with hemodialysis and peritoneal dialysis, significant damage to the endothelial glycocalyx was observed, which may disturb the function of the endothelium [7]. Endothelial dysfunction strongly correlates with cardiovascular complications in peritoneal dialysis patients [8]. In patients treated with peritoneal dialysis, dysfunction of the endothelium is also linked with the loss of residual renal function [9].\nThe peritoneal dialysis procedure induces intraperitoneal inflammation caused by the infusion of the bioincompatible dialysis fluids into the peritoneal cavity. Infusion of any solution into the peritoneal cavity is an unphysiological procedure per se, resulting in the induction of an inflammatory reaction. Second, some components of the peritoneal dialysis fluid are cytotoxic. Glucose degradation products (GDP) present in the dialysis fluid are cytotoxic toward mesothelial [10] and endothelial cells [11]. Park et al. reported that neutralization of the dialysate pH and minimization of the dialysate GDP significantly reduce the systemic level of the inflammatory markers and endothelial dysfunction in patients treated with chronic peritoneal dialysis [12]. However, in another study in continuous ambulatory peritoneal dialysis (CAPD) patients treated with physioneal, nutrineal, and extraneal (low GDP fluids), significantly higher serum levels of von Willebrand factor (vWF) and CRP were observed than in patients treated with the standard dialysis fluid containing a high level of GDP [13]. These observations suggest that peritoneal dialysis fluids with low levels of the potentially cytotoxic/injurious factors toward the mesothelial and endothelial cells are not the final recipe for the biocompatible procedure of that treatment. One can assume that the peritoneal dialysis induced intraperitoneal inflammation, independently of the dialysis solution used for treatment, always affects the intravascular space and the endothelial cells. We should know the characteristics and intensity of that reaction and how it affects various parts of the vascular system, especially the coronary blood vessels. Previously, we found that uremic serum collected from hemodialysis patients induces an inflammatory reaction in arterial endothelial cells and a prothrombotic effect in venous endothelial cells [14] .\nWe present results from a study in which the effects of overnight peritoneal dialysate effluents from CAPD patients dialyzed with high GDP fluid Dianeal 1.5% and their sera on the functional properties of coronary arterial endothelial cells were studied. Additionally, we show how these effects can be modulated by the drug Sulodexide, which is a mixture of natural glycosaminoglycans. Sulodexide has an anti-inflammatory and antithrombotic effect in venous diseases [15]. However, there are no data describing its effect in coronary artery endothelial cells (CAEC).", "The study was done in a group of 24 CAPD patients (11 females and 13 males). In the studied group, diabetes mellitus (n = 8), hypertension (n = 8), glomerulonephritis (n = 6), amyloidosis (n = 1), and Alport syndrome (n = 1) were the causes of the end stage renal failure. Detailed data describing the studied population are shown in Table 1. The Bioethical Committee of the Poznan University of Medical Sciences approved the protocol of the study (decision 97/2019). All patients participating in the study were informed about the project and gave written consent to participate in the project. The study was performed according to rules of the Declaration of Helsinki.\nClinical parameters of the studied population, presented as mean value ± SD.\nPeritoneal dialysates and serum samples were collected from 24 patients after a 12 h overnight exchange performed with Dianeal 1.5% (Baxter, Deerfield, IL). No patients were diagnosed with peritonitis within three months prior to the dialysate collection. In 12 patients, dialysates were collected twice at six-month intervals. During that six-month intervals, no episodes of peritonitis or any systemic inflammatory disorders were observed. Also the general health status was not changed significantly during that period of time. After the dialysate drainage, it was centrifuged (200×g; 10 min), and the supernatant was frozen at −86 °C for further analysis.\nIn vitro culture of endothelial cells Experiments were performed on primary cultures of human CAEC purchased from Cell Applications, Inc. (San Diego, CA). The human endothelial cells growth medium provided by the producer of the cells was used for cell culture. Cells were grown to monolayers in 75 cm2 culture flasks, then harvested with trypsin 0.05%–EDTA 0.02% solution and seeded into 48 wells culture plates. Experiments were performed on the endothelial monolayers.\nEffect of the serum and effluent dialysates on the secretory activity of endothelial cells The dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02)\nConcentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24).\nStatistical significance between the studied parameters in serum and dialysate is shown.\nSerum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK).\nEffluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells.\nThe dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02)\nConcentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24).\nStatistical significance between the studied parameters in serum and dialysate is shown.\nSerum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK).\nEffluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells.\nEffect of Sulodexide on the serum induced secretory activity of endothelial cells In the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above.\nIn the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above.\nExperiments were performed on primary cultures of human CAEC purchased from Cell Applications, Inc. (San Diego, CA). The human endothelial cells growth medium provided by the producer of the cells was used for cell culture. Cells were grown to monolayers in 75 cm2 culture flasks, then harvested with trypsin 0.05%–EDTA 0.02% solution and seeded into 48 wells culture plates. Experiments were performed on the endothelial monolayers.\nEffect of the serum and effluent dialysates on the secretory activity of endothelial cells The dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02)\nConcentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24).\nStatistical significance between the studied parameters in serum and dialysate is shown.\nSerum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK).\nEffluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells.\nThe dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02)\nConcentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24).\nStatistical significance between the studied parameters in serum and dialysate is shown.\nSerum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK).\nEffluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells.\nEffect of Sulodexide on the serum induced secretory activity of endothelial cells In the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above.\nIn the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above.\nStatistical analysis Results are presented as mean  ±  SD. Statistical analysis was performed with the Mann–Whitney or Wilcoxon’s test. Correlation between the studied groups was measured with the Spearman test. A p value less than .05 was considered statistically significant.\nResults are presented as mean  ±  SD. Statistical analysis was performed with the Mann–Whitney or Wilcoxon’s test. Correlation between the studied groups was measured with the Spearman test. A p value less than .05 was considered statistically significant.", "Experiments were performed on primary cultures of human CAEC purchased from Cell Applications, Inc. (San Diego, CA). The human endothelial cells growth medium provided by the producer of the cells was used for cell culture. Cells were grown to monolayers in 75 cm2 culture flasks, then harvested with trypsin 0.05%–EDTA 0.02% solution and seeded into 48 wells culture plates. Experiments were performed on the endothelial monolayers.\nEffect of the serum and effluent dialysates on the secretory activity of endothelial cells The dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02)\nConcentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24).\nStatistical significance between the studied parameters in serum and dialysate is shown.\nSerum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK).\nEffluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells.\nThe dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02)\nConcentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24).\nStatistical significance between the studied parameters in serum and dialysate is shown.\nSerum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK).\nEffluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells.\nEffect of Sulodexide on the serum induced secretory activity of endothelial cells In the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above.\nIn the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above.", "The dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02)\nConcentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24).\nStatistical significance between the studied parameters in serum and dialysate is shown.\nSerum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK).\nEffluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells.", "In the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above.", "Results are presented as mean  ±  SD. Statistical analysis was performed with the Mann–Whitney or Wilcoxon’s test. Correlation between the studied groups was measured with the Spearman test. A p value less than .05 was considered statistically significant.", "Serum samples collected from the peritoneal dialysis patients modified the secretory activity of the endothelial cells, as compared to the control serum. Synthesis of IL6, PAI-1, and vWF was increased by 93%, p < .001, 20%, p < .001 and by 18%, p < .001, respectively. No change in the synthesis of t-PA was observed (Figure 1). The ratio of t-PA/PAI-1 was lower in cells exposed to CAPD serum: 12.8 × 10−3 ± 1.9 × 10−3 than in the control group: 15.0 × 10−3 ± 1.2 × 10−3 (p < .001).\nEffect of the control serum (CON) and serum from patients treated with continuous ambulatory peritoneal dialysis (CAPD) on secretion of IL6 (A), t-PA (B), PAI-1 (C), and vWF (D) in the human coronary arterial endothelial cells.\nDialysates, analogically to CAPD serum, stimulated synthesis of IL6, PAI-1, and vWF, by 89%, p < .001, 31%, p < .001, and by 29%, p < .001, respectively, and no change in t-PA synthesis was observed (Figure 2). The ratio of t-PA/PAI-1 was lower in cells exposed to CAPD dialysate: 12.5 × 10−3 ± 1.7 × 10−3 than in the control group: 15.7 × 10–3 ± 2.3 × 10−3 (p < .001). We found a correlation between the CAPD dialysate and serum effect on the synthesis of IL6 in the endothelial cells (r = 0.614, p < .002).\nEffect of the culture medium (medium) and dialysates (medium-DIAL) from patients treated with the continuous ambulatory peritoneal dialysis on secretion of IL6 (A), t-PA (B), PAI-1 (C), and vWF (D) in the human coronary arterial endothelial cells.\nDialysates collected in 12 patients after six months of therapy had a higher level of IL6, as compared to the beginning of the study: 78.0  ±  37.9 pg/mL vs. 57.8  ±  29.1 pg/mL, p < .01. No differences in other parameters were detected. Dialysates collected after six months of the therapy stronger stimulated synthesis of IL6 and PAI-1 in the endothelial cells, as compared to the beginning of the study: +37%, p < .005 and +7%, p < .001, respectively. No change in the synthesis of t-PA and vWF was observed (Figure 3). After 6 months of therapy t-PA/PAI-1 ratio was reduced from 12.9 × 10−3 ± 1.6 × 10−3 to 12.3 × 10−3 ± 1.4 × 10−3, p < .005.\nEffect of the dialysates collected from patients treated with the continuous ambulatory peritoneal dialysis at the beginning of the study (start) and after 6 months (6 months) on secretion of IL6 (A), t-PA (B), PAI-1 (C), and vWF1 (D) in the human coronary arterial endothelial cells.\nSulodexide suppressed the secretory activity of the endothelial cells during their exposure to the CAPD sera. Synthesis of IL6 was reduced by 38%, p < .001, t-PA by 13%, p < .001, PAI-1 by 12%, p < .001 and vWF by 19%, p < .001 (Figure 4). No change in the t-PA/PAI-1 ratio was detected.\nEffect of the studied serum (serum) supplemented with Sulodexide 0.5. LRU/mL (serum + SUL) on secretion of IL6 (A), t-PA (B), PAI-1 (C), and vWF (D) in the human coronary arterial endothelial cells.", "Peritoneal dialysis induces intraperitoneal inflammation, which is caused by repeatedly infused bioincompatible dialysis fluids into the abdominal space and depends, as we found in the present study, on the individual reaction of each patient. We studied effluents after 12 h of the dwell, but inflammatory mediators are also present in the dialysates collected after shorter exchanges which make intraperitoneal inflammation constant process in peritoneal dialysis patients. The wide range of IL6 dialysate levels observed in our study (20.3–118.7 pg/mL) confirms that the patients' reaction to the infused dialysis fluids significantly determines the intensity of the intraperitoneal inflammation. Higher levels of IL6 in the dialysates as compared to serum suggest that the intraperitoneal inflammatory reaction translates into an intravascular one. That statement is confirmed by the correlation observed in our study between the dialysate and serum IL6 levels (r = 0.478, p < .02). Both the patients' serum and dialysates stimulated the synthesis of IL6 in coronary endothelial cells. These results suggest that the peritoneal dialysate may partially indirectly affect the function of the endothelial cells through the induction of intravascular inflammation and changes in the plasma properties. The systemic inflammatory reaction leads to endothelial dysfunction in peritoneal dialysis patients [17]. There is a strong correlation between endothelial dysfunction and cardiovascular complications in peritoneal dialysis patients [8]. The relationship between increased IL6 levels and the progression of atherosclerosis is well known [18]. The correlation observed in our study between the dialysates and sera effects of the endothelial secretion of IL6 suggests that the dialysate plays a significant role in the induction of the intravascular inflammatory reaction. Additionally, we found that the proinflammatory effect of the dialysates, as reflected by the stimulation of IL6 synthesis in the endothelial cells, is increased with the time of the renal replacement treatment. These findings confirm clinical observations showing, proportional with the time of therapy, an increase of intraperitoneal and systemic inflammation [19]. That means that the atherosclerotic effect of the peritoneal dialysate increases with time.\nBoth sera and dialysates stimulated the synthesis of vWF and PAI-1 in the endothelial cells, which means that not only was the procoagulant activity of these cells enhanced but at the same time their fibrinolytic potential was reduced. Tomura et al. found higher blood levels of PAI-1 in CAPD patients as compared to patients treated with hemodialysis or healthy controls [20]. The reduced blood fibrinolytic activity may predispose patients to the development of atherosclerosis [21]. We found that with the time of treatment peritoneal dialysate more strongly stimulates synthesis of PAI-1, which may further impair the fibrinolytic activity of the coronary endothelium. Results from clinical studies show that increased blood vWF level predicts the risk of vascular disorders and cardiac mortality in CAPD patients [22,23]. Results from our study suggest that at least part of the adverse effects of serum from CAPD patients on the endothelium are secondary to the dialysates properties. Therefore, prevention of vascular disorders in patients on chronic peritoneal dialysis should be focused on the reduction of intraperitoneal inflammation and direct protection of the endothelial cells.\nThe application of dialysis fluids with low osmolality and/or low concentration of GDP does not always result in a reduction of intraperitoneal and systemic inflammation [12,13]. We found previously that supplementation of the dialysis fluids with hyaluronan suppresses dialysate-induced intraperitoneal inflammation [24]. In the present study, Sulodexide, which is a mixture of natural glycosaminoglycans: heparin sulfate and dermatan sulfate, suppressed the stimulatory effect of the studied sera on the secretory activity of coronary endothelial cells. That means that not only the inflammatory but also their prothrombotic action was reduced, which is a positive effect. Previously, we found that Sulodexide reduced the proinflammatory effect of serum from patients with peripheral venous or arterial diseases on venous and arterial endothelial cells [25,26]. Sulodexide also inhibits intraperitoneal inflammation and reduces the dialysate proinflammatory and profibrotic effects [27,28]. These data suggest that Sulodexide has the potential for suppression of intraperitoneal and systemic inflammation in CAPD patients. Additionally, the use of Sulodexide may result in a decreased risk of thrombotic disorders, which are present in patients treated with chronic peritoneal dialysis [29,30]. A decrease in the blood vWF may reduce the risk of cardiovascular disorders [22,23]. Previously, we found that Sulodexide reduced vWF secretion from human endothelial venous cells exposed to serum from uremic patients treated with hemodialysis [31]. On the other hand, Kim et al. found that treatment with Sulodexide in peritoneal dialysis patients decreased plasma D-dimers as an index of coagulation, but there was no significant change in blood vWF level [32].\nIn conclusion, we found that peritoneal dialysate induces directly and indirectly via its effect on the serum properties, inflammatory and procoagulant reaction in coronary endothelial cells, which may translate into a higher risk of various pathologies such as atherosclerosis or thrombotic disorders. The intensity of such effects increases with the time of the renal replacement therapy. Sulodexide can partially prevent these effects." ]
[ "intro", "materials", null, null, null, null, "results", "discussion" ]
[ "Peritoneal dialysis", "coronary endothelium", "inflammation", "Sulodexide" ]
Introduction: Cardiorenal syndrome is a frequent cause of death in a group of patients with end-stage renal failure. Uremia causes dysfunction of the endothelium which is an important factor predisposing patients to the development of cardiorenal syndrome [1]. Renal replacement therapy removes molecules that are toxic toward the endothelial cells but at the same time initiates the development of their inflammatory phenotype [2,3]. One can assume that hemodialysis is more damaging than peritoneal dialysis, to the endothelial cells, because of the direct contact of blood with the dialysis membrane, which may induce intravascular inflammation. Hemodialysis performed with a cellulosic cuprophane membrane, contrary to a synthetic polysulfone membrane, more strongly impaired the endothelium-dependent flow-mediated dilation of the brachial artery [4]. In renal patients treated with hemodialysis, higher than in patients treated with peritoneal dialysis, levels of CD14+ and CD16+ monocytes and apoptotic endothelial microparticles were found [5]. On the other hand, in children treated with hemodialysis, stronger destruction of the endothelium was observed than during treatment with peritoneal dialysis [6]. However, both in patients treated with hemodialysis and peritoneal dialysis, significant damage to the endothelial glycocalyx was observed, which may disturb the function of the endothelium [7]. Endothelial dysfunction strongly correlates with cardiovascular complications in peritoneal dialysis patients [8]. In patients treated with peritoneal dialysis, dysfunction of the endothelium is also linked with the loss of residual renal function [9]. The peritoneal dialysis procedure induces intraperitoneal inflammation caused by the infusion of the bioincompatible dialysis fluids into the peritoneal cavity. Infusion of any solution into the peritoneal cavity is an unphysiological procedure per se, resulting in the induction of an inflammatory reaction. Second, some components of the peritoneal dialysis fluid are cytotoxic. Glucose degradation products (GDP) present in the dialysis fluid are cytotoxic toward mesothelial [10] and endothelial cells [11]. Park et al. reported that neutralization of the dialysate pH and minimization of the dialysate GDP significantly reduce the systemic level of the inflammatory markers and endothelial dysfunction in patients treated with chronic peritoneal dialysis [12]. However, in another study in continuous ambulatory peritoneal dialysis (CAPD) patients treated with physioneal, nutrineal, and extraneal (low GDP fluids), significantly higher serum levels of von Willebrand factor (vWF) and CRP were observed than in patients treated with the standard dialysis fluid containing a high level of GDP [13]. These observations suggest that peritoneal dialysis fluids with low levels of the potentially cytotoxic/injurious factors toward the mesothelial and endothelial cells are not the final recipe for the biocompatible procedure of that treatment. One can assume that the peritoneal dialysis induced intraperitoneal inflammation, independently of the dialysis solution used for treatment, always affects the intravascular space and the endothelial cells. We should know the characteristics and intensity of that reaction and how it affects various parts of the vascular system, especially the coronary blood vessels. Previously, we found that uremic serum collected from hemodialysis patients induces an inflammatory reaction in arterial endothelial cells and a prothrombotic effect in venous endothelial cells [14] . We present results from a study in which the effects of overnight peritoneal dialysate effluents from CAPD patients dialyzed with high GDP fluid Dianeal 1.5% and their sera on the functional properties of coronary arterial endothelial cells were studied. Additionally, we show how these effects can be modulated by the drug Sulodexide, which is a mixture of natural glycosaminoglycans. Sulodexide has an anti-inflammatory and antithrombotic effect in venous diseases [15]. However, there are no data describing its effect in coronary artery endothelial cells (CAEC). Materials and methods: The study was done in a group of 24 CAPD patients (11 females and 13 males). In the studied group, diabetes mellitus (n = 8), hypertension (n = 8), glomerulonephritis (n = 6), amyloidosis (n = 1), and Alport syndrome (n = 1) were the causes of the end stage renal failure. Detailed data describing the studied population are shown in Table 1. The Bioethical Committee of the Poznan University of Medical Sciences approved the protocol of the study (decision 97/2019). All patients participating in the study were informed about the project and gave written consent to participate in the project. The study was performed according to rules of the Declaration of Helsinki. Clinical parameters of the studied population, presented as mean value ± SD. Peritoneal dialysates and serum samples were collected from 24 patients after a 12 h overnight exchange performed with Dianeal 1.5% (Baxter, Deerfield, IL). No patients were diagnosed with peritonitis within three months prior to the dialysate collection. In 12 patients, dialysates were collected twice at six-month intervals. During that six-month intervals, no episodes of peritonitis or any systemic inflammatory disorders were observed. Also the general health status was not changed significantly during that period of time. After the dialysate drainage, it was centrifuged (200×g; 10 min), and the supernatant was frozen at −86 °C for further analysis. In vitro culture of endothelial cells Experiments were performed on primary cultures of human CAEC purchased from Cell Applications, Inc. (San Diego, CA). The human endothelial cells growth medium provided by the producer of the cells was used for cell culture. Cells were grown to monolayers in 75 cm2 culture flasks, then harvested with trypsin 0.05%–EDTA 0.02% solution and seeded into 48 wells culture plates. Experiments were performed on the endothelial monolayers. Effect of the serum and effluent dialysates on the secretory activity of endothelial cells The dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02) Concentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24). Statistical significance between the studied parameters in serum and dialysate is shown. Serum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK). Effluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells. The dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02) Concentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24). Statistical significance between the studied parameters in serum and dialysate is shown. Serum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK). Effluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells. Effect of Sulodexide on the serum induced secretory activity of endothelial cells In the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above. In the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above. Experiments were performed on primary cultures of human CAEC purchased from Cell Applications, Inc. (San Diego, CA). The human endothelial cells growth medium provided by the producer of the cells was used for cell culture. Cells were grown to monolayers in 75 cm2 culture flasks, then harvested with trypsin 0.05%–EDTA 0.02% solution and seeded into 48 wells culture plates. Experiments were performed on the endothelial monolayers. Effect of the serum and effluent dialysates on the secretory activity of endothelial cells The dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02) Concentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24). Statistical significance between the studied parameters in serum and dialysate is shown. Serum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK). Effluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells. The dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02) Concentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24). Statistical significance between the studied parameters in serum and dialysate is shown. Serum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK). Effluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells. Effect of Sulodexide on the serum induced secretory activity of endothelial cells In the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above. In the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above. Statistical analysis Results are presented as mean  ±  SD. Statistical analysis was performed with the Mann–Whitney or Wilcoxon’s test. Correlation between the studied groups was measured with the Spearman test. A p value less than .05 was considered statistically significant. Results are presented as mean  ±  SD. Statistical analysis was performed with the Mann–Whitney or Wilcoxon’s test. Correlation between the studied groups was measured with the Spearman test. A p value less than .05 was considered statistically significant. In vitro culture of endothelial cells: Experiments were performed on primary cultures of human CAEC purchased from Cell Applications, Inc. (San Diego, CA). The human endothelial cells growth medium provided by the producer of the cells was used for cell culture. Cells were grown to monolayers in 75 cm2 culture flasks, then harvested with trypsin 0.05%–EDTA 0.02% solution and seeded into 48 wells culture plates. Experiments were performed on the endothelial monolayers. Effect of the serum and effluent dialysates on the secretory activity of endothelial cells The dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02) Concentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24). Statistical significance between the studied parameters in serum and dialysate is shown. Serum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK). Effluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells. The dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02) Concentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24). Statistical significance between the studied parameters in serum and dialysate is shown. Serum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK). Effluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells. Effect of Sulodexide on the serum induced secretory activity of endothelial cells In the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above. In the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above. Effect of the serum and effluent dialysates on the secretory activity of endothelial cells: The dialysates and serum samples effects on the endothelial cells secretory activity were studied in separate experiments. Mean values of the inflammatory parameters of the patient's serum and dialysate samples used in the study are shown in Table 2. We found a correlation between the dialysate and serum IL6 concentrations (r = 0.478, p<.02) Concentration of the studied solutes in the dialysates and serum from CAPD patients (n = 24). Statistical significance between the studied parameters in serum and dialysate is shown. Serum samples from the peritoneal dialysis patients were added to the culture medium (20%). In the control group, serum from healthy, non-uremic donors (n = 12) was used at the same concentration (20%). Mean age of the healthy donors was 48.3 ± 9.8 years and in no person systemic disease was diagnosed or any therapy was used. Monolayers of CAEC in 48 wells plates were exposed for 24 h to the studied serum samples. Afterwards, the supernatant was removed from the wells and replaced with the standard culture medium for evaluation during the following 24 h of the incubation secretory activity of the cells. We found that such treatment did not induce any morphological changes in the endothelial cells and did not reduce viability when tested with the MTT test: 0.287 ± 0.054 in control medium and 0.267 ± 0.089 in medium with 20% serum (Sigma Aldrich, Gillingham, UK). Effluent dialysates were mixed with the culture medium (1:1 v/v) and added to cells monolayers of CAEC in the 48 wells plates. In the control group, cells were exposed to the plain medium. Such treatment did not cause any damage to the endothelial cells measured with the MTT test: 0.296 ± 0.034 in control medium and 0.286  ±  0.066 in medium mixed with the dialysate (1:1 v/v). After 24 h of incubation, medium in all wells was replaced with the standard culture medium for evaluation of the cells secretory activity during the following 24 h. In both experiments, the medium was collected from all wells at the end of the 24 h incubation, spun down (200 g; 10 min) and frozen at −86 °C for further analysis. Cells were harvested with trypsin 0.05%–EDTA 0.02% solution (Sigma-Aldrich, St. Louis, MO) and counted in a hemocytometer. In the supernatants, concentrations of the following molecules: interleukin-6 (IL6), tissue plasminogen activator (t-PA), plasminogen activator inhibitor-1 (PAI-1), and vWF were measured with standard ELISA kits (R&D Systems, Minneapolis, MN). Secretion of the studied molecules from the endothelial cells was expressed per number of cells. Effect of Sulodexide on the serum induced secretory activity of endothelial cells: In the separate set of experiments, we evaluated the effect of Sulodexide (0.5 LRU/mL) on the uremic serum-induced changes in the secretory activity of the endothelial cells. The concentration of Sulodexide used in the study reflected the level of that drug after its oral application [16]. The addition of Sulodexide to the medium did not reduce the viability of the cells measured with the MTT test: 0.276  ±  0.042 in control and 0.291  ±  0.067 in the presence of Sulodexide. Monolayers of CAEC in 48-wells plates were exposed for 24 h to the serum samples obtained from 24 patients and added to the culture medium (20%) ± Sulodexide 0.5 LRU/mL. At the end of the incubation, supernatants were removed from all wells and replaced with the culture medium to measure the secretory activity of the endothelial cells as described above. Statistical analysis: Results are presented as mean  ±  SD. Statistical analysis was performed with the Mann–Whitney or Wilcoxon’s test. Correlation between the studied groups was measured with the Spearman test. A p value less than .05 was considered statistically significant. Results: Serum samples collected from the peritoneal dialysis patients modified the secretory activity of the endothelial cells, as compared to the control serum. Synthesis of IL6, PAI-1, and vWF was increased by 93%, p < .001, 20%, p < .001 and by 18%, p < .001, respectively. No change in the synthesis of t-PA was observed (Figure 1). The ratio of t-PA/PAI-1 was lower in cells exposed to CAPD serum: 12.8 × 10−3 ± 1.9 × 10−3 than in the control group: 15.0 × 10−3 ± 1.2 × 10−3 (p < .001). Effect of the control serum (CON) and serum from patients treated with continuous ambulatory peritoneal dialysis (CAPD) on secretion of IL6 (A), t-PA (B), PAI-1 (C), and vWF (D) in the human coronary arterial endothelial cells. Dialysates, analogically to CAPD serum, stimulated synthesis of IL6, PAI-1, and vWF, by 89%, p < .001, 31%, p < .001, and by 29%, p < .001, respectively, and no change in t-PA synthesis was observed (Figure 2). The ratio of t-PA/PAI-1 was lower in cells exposed to CAPD dialysate: 12.5 × 10−3 ± 1.7 × 10−3 than in the control group: 15.7 × 10–3 ± 2.3 × 10−3 (p < .001). We found a correlation between the CAPD dialysate and serum effect on the synthesis of IL6 in the endothelial cells (r = 0.614, p < .002). Effect of the culture medium (medium) and dialysates (medium-DIAL) from patients treated with the continuous ambulatory peritoneal dialysis on secretion of IL6 (A), t-PA (B), PAI-1 (C), and vWF (D) in the human coronary arterial endothelial cells. Dialysates collected in 12 patients after six months of therapy had a higher level of IL6, as compared to the beginning of the study: 78.0  ±  37.9 pg/mL vs. 57.8  ±  29.1 pg/mL, p < .01. No differences in other parameters were detected. Dialysates collected after six months of the therapy stronger stimulated synthesis of IL6 and PAI-1 in the endothelial cells, as compared to the beginning of the study: +37%, p < .005 and +7%, p < .001, respectively. No change in the synthesis of t-PA and vWF was observed (Figure 3). After 6 months of therapy t-PA/PAI-1 ratio was reduced from 12.9 × 10−3 ± 1.6 × 10−3 to 12.3 × 10−3 ± 1.4 × 10−3, p < .005. Effect of the dialysates collected from patients treated with the continuous ambulatory peritoneal dialysis at the beginning of the study (start) and after 6 months (6 months) on secretion of IL6 (A), t-PA (B), PAI-1 (C), and vWF1 (D) in the human coronary arterial endothelial cells. Sulodexide suppressed the secretory activity of the endothelial cells during their exposure to the CAPD sera. Synthesis of IL6 was reduced by 38%, p < .001, t-PA by 13%, p < .001, PAI-1 by 12%, p < .001 and vWF by 19%, p < .001 (Figure 4). No change in the t-PA/PAI-1 ratio was detected. Effect of the studied serum (serum) supplemented with Sulodexide 0.5. LRU/mL (serum + SUL) on secretion of IL6 (A), t-PA (B), PAI-1 (C), and vWF (D) in the human coronary arterial endothelial cells. Discussion: Peritoneal dialysis induces intraperitoneal inflammation, which is caused by repeatedly infused bioincompatible dialysis fluids into the abdominal space and depends, as we found in the present study, on the individual reaction of each patient. We studied effluents after 12 h of the dwell, but inflammatory mediators are also present in the dialysates collected after shorter exchanges which make intraperitoneal inflammation constant process in peritoneal dialysis patients. The wide range of IL6 dialysate levels observed in our study (20.3–118.7 pg/mL) confirms that the patients' reaction to the infused dialysis fluids significantly determines the intensity of the intraperitoneal inflammation. Higher levels of IL6 in the dialysates as compared to serum suggest that the intraperitoneal inflammatory reaction translates into an intravascular one. That statement is confirmed by the correlation observed in our study between the dialysate and serum IL6 levels (r = 0.478, p < .02). Both the patients' serum and dialysates stimulated the synthesis of IL6 in coronary endothelial cells. These results suggest that the peritoneal dialysate may partially indirectly affect the function of the endothelial cells through the induction of intravascular inflammation and changes in the plasma properties. The systemic inflammatory reaction leads to endothelial dysfunction in peritoneal dialysis patients [17]. There is a strong correlation between endothelial dysfunction and cardiovascular complications in peritoneal dialysis patients [8]. The relationship between increased IL6 levels and the progression of atherosclerosis is well known [18]. The correlation observed in our study between the dialysates and sera effects of the endothelial secretion of IL6 suggests that the dialysate plays a significant role in the induction of the intravascular inflammatory reaction. Additionally, we found that the proinflammatory effect of the dialysates, as reflected by the stimulation of IL6 synthesis in the endothelial cells, is increased with the time of the renal replacement treatment. These findings confirm clinical observations showing, proportional with the time of therapy, an increase of intraperitoneal and systemic inflammation [19]. That means that the atherosclerotic effect of the peritoneal dialysate increases with time. Both sera and dialysates stimulated the synthesis of vWF and PAI-1 in the endothelial cells, which means that not only was the procoagulant activity of these cells enhanced but at the same time their fibrinolytic potential was reduced. Tomura et al. found higher blood levels of PAI-1 in CAPD patients as compared to patients treated with hemodialysis or healthy controls [20]. The reduced blood fibrinolytic activity may predispose patients to the development of atherosclerosis [21]. We found that with the time of treatment peritoneal dialysate more strongly stimulates synthesis of PAI-1, which may further impair the fibrinolytic activity of the coronary endothelium. Results from clinical studies show that increased blood vWF level predicts the risk of vascular disorders and cardiac mortality in CAPD patients [22,23]. Results from our study suggest that at least part of the adverse effects of serum from CAPD patients on the endothelium are secondary to the dialysates properties. Therefore, prevention of vascular disorders in patients on chronic peritoneal dialysis should be focused on the reduction of intraperitoneal inflammation and direct protection of the endothelial cells. The application of dialysis fluids with low osmolality and/or low concentration of GDP does not always result in a reduction of intraperitoneal and systemic inflammation [12,13]. We found previously that supplementation of the dialysis fluids with hyaluronan suppresses dialysate-induced intraperitoneal inflammation [24]. In the present study, Sulodexide, which is a mixture of natural glycosaminoglycans: heparin sulfate and dermatan sulfate, suppressed the stimulatory effect of the studied sera on the secretory activity of coronary endothelial cells. That means that not only the inflammatory but also their prothrombotic action was reduced, which is a positive effect. Previously, we found that Sulodexide reduced the proinflammatory effect of serum from patients with peripheral venous or arterial diseases on venous and arterial endothelial cells [25,26]. Sulodexide also inhibits intraperitoneal inflammation and reduces the dialysate proinflammatory and profibrotic effects [27,28]. These data suggest that Sulodexide has the potential for suppression of intraperitoneal and systemic inflammation in CAPD patients. Additionally, the use of Sulodexide may result in a decreased risk of thrombotic disorders, which are present in patients treated with chronic peritoneal dialysis [29,30]. A decrease in the blood vWF may reduce the risk of cardiovascular disorders [22,23]. Previously, we found that Sulodexide reduced vWF secretion from human endothelial venous cells exposed to serum from uremic patients treated with hemodialysis [31]. On the other hand, Kim et al. found that treatment with Sulodexide in peritoneal dialysis patients decreased plasma D-dimers as an index of coagulation, but there was no significant change in blood vWF level [32]. In conclusion, we found that peritoneal dialysate induces directly and indirectly via its effect on the serum properties, inflammatory and procoagulant reaction in coronary endothelial cells, which may translate into a higher risk of various pathologies such as atherosclerosis or thrombotic disorders. The intensity of such effects increases with the time of the renal replacement therapy. Sulodexide can partially prevent these effects.
Background: Endothelial dysfunction is frequent in patients treated with peritoneal dialysis and may lead to cardiac complications. We evaluated the effect of effluent dialysates and serum on the function of coronary artery endothelial cells (CAEC). Methods: Human CAEC in in vitro culture were exposed to serum and dialysates from 24 patients treated with continuous ambulatory peritoneal dialysis (CAPD) and secretion of interleukin-6 (IL6), von Willebrand factor (vWF), tissue plasminogen activator (t-PA) and plasminogen activator inhibitor-1 (PAI-1) were measured. Modulation of the secretory activity of CAEC by Sulodexide, mixture of glycosaminoglycans: heparin sulfate and dermatan sulfate, was studied. Results: Serum from CAPD patients stimulated synthesis of IL6 (+93%), vWF (+18%), and PAI-1 (+20%) and did not change t-PA secretion in CAEC. Dialysates stimulated secretion of IL6 (+89%), vWF (+29%), and PAI-1 (+31%) and did not change t-PA synthesis. Dialysates collected in 12 patients after 6 months more strongly stimulated synthesis of IL6 (+37%) and PAI-1 (+7%). Sulodexide suppressed the secretory activity of CAEC stimulated by the studied sera: IL6 (-38%), vWF (-19%), t-PA (-13%), and PAI-1 (-12%). Conclusions: Serum and the dialysate from CAPD patients induce inflammatory and prothrombotic reaction in coronary arterial endothelial cells. The general pattern of the observed effects for serum and dialysates was similar but the intensity of the effects was not identical. Sulodexide reduced these effects.
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[ 1513, 532, 171, 47 ]
8
[ "cells", "serum", "medium", "endothelial", "endothelial cells", "patients", "24", "culture", "wells", "sulodexide" ]
[ "endothelial dysfunction peritoneal", "hemodialysis damaging", "inflammation hemodialysis", "cardiorenal syndrome renal", "dialysis endothelial cells" ]
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[CONTENT] Peritoneal dialysis | coronary endothelium | inflammation | Sulodexide [SUMMARY]
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[CONTENT] Peritoneal dialysis | coronary endothelium | inflammation | Sulodexide [SUMMARY]
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[CONTENT] Peritoneal dialysis | coronary endothelium | inflammation | Sulodexide [SUMMARY]
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[CONTENT] Adult | Anticoagulants | Coronary Vessels | Dialysis Solutions | Endothelial Cells | Female | Glycosaminoglycans | Humans | Interleukin-6 | Male | Middle Aged | Peritoneal Dialysis, Continuous Ambulatory | Plasminogen Activator Inhibitor 1 | Tissue Plasminogen Activator | von Willebrand Factor [SUMMARY]
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[CONTENT] Adult | Anticoagulants | Coronary Vessels | Dialysis Solutions | Endothelial Cells | Female | Glycosaminoglycans | Humans | Interleukin-6 | Male | Middle Aged | Peritoneal Dialysis, Continuous Ambulatory | Plasminogen Activator Inhibitor 1 | Tissue Plasminogen Activator | von Willebrand Factor [SUMMARY]
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[CONTENT] Adult | Anticoagulants | Coronary Vessels | Dialysis Solutions | Endothelial Cells | Female | Glycosaminoglycans | Humans | Interleukin-6 | Male | Middle Aged | Peritoneal Dialysis, Continuous Ambulatory | Plasminogen Activator Inhibitor 1 | Tissue Plasminogen Activator | von Willebrand Factor [SUMMARY]
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[CONTENT] endothelial dysfunction peritoneal | hemodialysis damaging | inflammation hemodialysis | cardiorenal syndrome renal | dialysis endothelial cells [SUMMARY]
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[CONTENT] endothelial dysfunction peritoneal | hemodialysis damaging | inflammation hemodialysis | cardiorenal syndrome renal | dialysis endothelial cells [SUMMARY]
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[CONTENT] endothelial dysfunction peritoneal | hemodialysis damaging | inflammation hemodialysis | cardiorenal syndrome renal | dialysis endothelial cells [SUMMARY]
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[CONTENT] cells | serum | medium | endothelial | endothelial cells | patients | 24 | culture | wells | sulodexide [SUMMARY]
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[CONTENT] cells | serum | medium | endothelial | endothelial cells | patients | 24 | culture | wells | sulodexide [SUMMARY]
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[CONTENT] cells | serum | medium | endothelial | endothelial cells | patients | 24 | culture | wells | sulodexide [SUMMARY]
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[CONTENT] dialysis | peritoneal | peritoneal dialysis | endothelial | treated | patients | patients treated | hemodialysis | endothelium | gdp [SUMMARY]
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[CONTENT] 001 | pa pai | pa | pai | 10 | synthesis | 10 10 | il6 | cells | serum [SUMMARY]
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[CONTENT] cells | medium | serum | endothelial | endothelial cells | wells | 24 | sulodexide | patients | culture [SUMMARY]
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[CONTENT] ||| [SUMMARY]
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[CONTENT] CAPD | PAI-1 | CAEC ||| PAI-1 ||| 12 | 6 months | PAI-1 ||| CAEC | PAI-1 [SUMMARY]
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[CONTENT] ||| ||| 24 | Willebrand ||| PAI-1 ||| ||| CAPD | PAI-1 | CAEC ||| PAI-1 ||| 12 | 6 months | PAI-1 ||| CAEC | PAI-1 ||| CAPD | coronary arterial endothelial cells ||| ||| [SUMMARY]
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Prevalence of autoantibodies that bind to kidney tissues in cats and association risk with antibodies to feline viral rhinotracheitis, calicivirus, and panleukopenia.
34056879
The feline viral rhinotracheitis, calicivirus, and panleukopenia (FVRCP) vaccine, prepared from viruses grown in the Crandell-Rees feline kidney cell line, can induce antibodies to cross-react with feline kidney tissues.
BACKGROUND
Serum samples and kidneys were collected from 156 live and 26 cadaveric cats. Antibodies that bind to kidney tissues and antibodies to the FVRCP antigen were determined by enzyme-linked immunosorbent assay (ELISA), and kidney-bound antibody patterns were investigated by examining immunofluorescence. Proteins recognized by antibodies were identified by Western blot analysis.
METHODS
The prevalences of autoantibodies that bind to kidney tissues in cats were 41% and 13% by ELISA and immunofluorescence, respectively. Kidney-bound antibodies were observed at interstitial cells, apical border, and cytoplasm of proximal and distal tubules; the antibodies were bound to proteins with molecular weights of 40, 47, 38, and 20 kDa. There was no direct link between vaccination and anti-kidney antibodies, but positive antibodies to kidney tissues were significantly associated with the anti-FVRCP antibody. The odds ratio or association in finding the autoantibody in cats with the antibody to FVRCP was 2.8 times higher than that in cats without the antibody to FVRCP.
RESULTS
These preliminary results demonstrate an association between anti-FVRCP and anti-cat kidney tissues. However, an increase in the risk of inducing kidney-bound antibodies by repeat vaccinations could not be shown directly. It will be interesting to expand the sample size and follow-up on whether these autoantibodies can lead to kidney function impairment.
CONCLUSIONS
[ "Animals", "Antibodies, Viral", "Autoantibodies", "Caliciviridae Infections", "Calicivirus, Feline", "Cat Diseases", "Cats", "Enzyme-Linked Immunosorbent Assay", "Feline Panleukopenia", "Feline Panleukopenia Virus", "Female", "Fluorescent Antibody Technique", "Herpesviridae Infections", "Kidney", "Male", "Risk", "Varicellovirus", "Viral Vaccines" ]
8170220
INTRODUCTION
Kidney disease can be divided into acute kidney injury and chronic kidney disease (CKD), both of which can lead to the same result: kidney failure [12]. CKD is one of the most common causes of illness and death in elderly domestic cats [34]. In an attempt to elucidate the risk factors associated with CKD, a longitudinal questionnaire and follow-up investigation revealed that frequent vaccinations and the severity of dental disease were factors associated with the development of CKD [5]. There are several reports that the frequency of vaccinations is associated with autoimmune diseases in animals and humans [678910]. Vaccines, especially viral vaccines, do not only contain antigens of the relevant organism, but also contain other ingredients, such as adjuvants, preservative materials, and tissue or cell culture proteins that are used when growing organisms [111213]. Tissue culture components that contaminate vaccines can induce immune responses and may cross-react with host tissue antigens, known as molecular mimicry [14151617]. Proteins from the Crandell-Rees feline renal cell line (CRFK), which was derived from feline kidney tissues, are used by some companies to grow feline herpesvirus 1 (FHV-1), feline calicivirus (FCV), and feline panleukopenia virus (FPV) for use in feline viral vaccines such as feline viral rhinotracheitis, calicivirus, and panleukopenia (FVRCP) vaccine. Remnant proteins from the CRFK cell line have been shown to induce antibodies to kidney tissue lysates in an experimental model [18]. Therefore, frequent or over-vaccination by FVRCP might be considered a risk for producing antibodies that bind to kidney tissues after vaccination. The FVRCP vaccine is a core vaccine that is used to immunize cats annually. However, viral vaccines usually induce a long-lasting immune response [1920]. The American Association of Feline Practitioners first recommended triennial rather than annual FVRCP revaccination in 1998 [21]. This study's primary aim was to estimate the prevalence of antibodies to proteins extracted from kidney tissues in unvaccinated cats and cats known to have been administered FVRCP vaccines. The secondary aim was an attempt to determine the localization of kidney-bound antibodies.
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RESULTS
Profile of anti-FVRCP antibody levels in cat sera All FVRCP-vaccinated cats were tested firstly for antibody to FVRCP antigen. Unvaccinated cats were tested together as negative sera in order to find a cut-off value. Determination of the cut-off value according to sensitivity and specificity is shown in Table 3. An optical density (O.D.) cut-off value of > 0.186 was calculated by analyzing the ROC curve; the chosen cut-off value had 50% sensitivity and 60% specificity. The O.D. cut-off value had a relatively high specificity, which was considered a priority in order to reduce false-positive results. The profiles of the antibodies against the FVRCP antigen in unvaccinated and vaccinated cats are shown in Fig. 1. Thirteen percent (9/69) and 66% (57/87) of unvaccinated and FVRCP-vaccinated cats, respectively, were positive for the anti-FVRCP antibody. Nearly half of the vaccinated cats did not show anti-FVRCP antibody presence. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats. All FVRCP-vaccinated cats were tested firstly for antibody to FVRCP antigen. Unvaccinated cats were tested together as negative sera in order to find a cut-off value. Determination of the cut-off value according to sensitivity and specificity is shown in Table 3. An optical density (O.D.) cut-off value of > 0.186 was calculated by analyzing the ROC curve; the chosen cut-off value had 50% sensitivity and 60% specificity. The O.D. cut-off value had a relatively high specificity, which was considered a priority in order to reduce false-positive results. The profiles of the antibodies against the FVRCP antigen in unvaccinated and vaccinated cats are shown in Fig. 1. Thirteen percent (9/69) and 66% (57/87) of unvaccinated and FVRCP-vaccinated cats, respectively, were positive for the anti-FVRCP antibody. Nearly half of the vaccinated cats did not show anti-FVRCP antibody presence. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats. Profile of antibodies that bind to kidney tissues in cat sera Unvaccinated and vaccinated sera were evaluated for antibodies to healthy cat kidney extracts in the optimized ELISA. Determination of the cut-off value according to sensitivity and specificity levels is shown in Table 4. The cut-off O.D. value of cats with antibodies that bind to kidney tissues, calculated by ROC curve analysis, was ≥ 0.349, which had 70% sensitivity and 64% specificity. The chosen O.D. cut-off value had a relatively high sensitivity, which was considered a priority in order to screen for antibodies that bind to kidney tissues. The profiles of antibodies that had bound to kidney tissues in unvaccinated and vaccinated cats are shown in Fig. 2. Antibodies that reacted against healthy cat kidney extracts were detected in 32% (22/69) and 47% (41/87) of the unvaccinated and FVRCP-vaccinated cats, respectively. Although FVRCP-vaccinated cats typically had higher positive antibody levels (i.e., higher ELISA O.D.) bound to cat kidney tissues than that of non-vaccinated cats, there was no significant difference in the antibody bound to cat kidney tissue results between unvaccinated and FVRCP-vaccinated cats (p = 0.055; test of proportion statistic). FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats. Unvaccinated and vaccinated sera were evaluated for antibodies to healthy cat kidney extracts in the optimized ELISA. Determination of the cut-off value according to sensitivity and specificity levels is shown in Table 4. The cut-off O.D. value of cats with antibodies that bind to kidney tissues, calculated by ROC curve analysis, was ≥ 0.349, which had 70% sensitivity and 64% specificity. The chosen O.D. cut-off value had a relatively high sensitivity, which was considered a priority in order to screen for antibodies that bind to kidney tissues. The profiles of antibodies that had bound to kidney tissues in unvaccinated and vaccinated cats are shown in Fig. 2. Antibodies that reacted against healthy cat kidney extracts were detected in 32% (22/69) and 47% (41/87) of the unvaccinated and FVRCP-vaccinated cats, respectively. Although FVRCP-vaccinated cats typically had higher positive antibody levels (i.e., higher ELISA O.D.) bound to cat kidney tissues than that of non-vaccinated cats, there was no significant difference in the antibody bound to cat kidney tissue results between unvaccinated and FVRCP-vaccinated cats (p = 0.055; test of proportion statistic). FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats. Kidney-bound antibody detection by direct immunofluorescence Twenty-six paraffin-embedded cat kidneys were screened for antibodies that bind to kidney tissues. Regarding their clinical diseases, cats died from viral infection (n = 15), kidney disease (n = 2), disseminated intravascular coagulation (DIC; n = 2), endotoxemia (n = 2), viral and 2nd bacterial infection (n = 1), heatstroke (n = 1), feline hypertrophic cardiomyopathy (FHC; n = 1), septicemia (n = 1), and chronic bronchopneumonia (n = 1). Cat histories and diagnoses from the paraffin-embedded cat kidney samples are shown in Table 5. nd = no data, DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; SD, sudden death; HL, hind limb; FeLV, feline leukemia virus; DIC, disseminated intravascular coagulation; KD, kidney disease; FPV, feline panleukopenia virus; FIP, feline infectious peritonitis; FHC, feline hypertrophic cardiomyopathy. aMicroscopic findings presented only for kidney samples. Lesions in other organs are not presented in this table. bDiagnosis was based on gross and histopathological examination. cHealthy cat was used as a control for kidney tissue staining and antigen preparation. Antibodies that bind at the apical border of the kidney tubule and interstitial cells were detected in 15% (4/26) of the cats tested. The profiles of the 4 cats with positive kidney-bound antibodies were as follows: kidney-bound antibodies were present at the apical border of the kidney tubules in cat 1 (Fig. 3A), while those in cats 2, 3, and 4 were present at the interstitial cells (Fig. 3B-D). H&E-stained kidney sections showed severe acute diffuse hydropic degeneration in the tubules in cat 1 (Fig. 3E). H&E-stained kidney sections showed severe chronic multifocal non-suppurative interstitial nephritis, multifocal necrosis, and multifocal tubular degeneration in cat 2 (Fig. 3F). H&E-stained kidney sections showed multifocal inflammatory cell aggregation and diffused tubular necrosis in cat 3 (Fig. 3G), and H&E-stained kidney sections showed severe subacute focally extensive necrotic and non-suppurative nephritis in cat 4 (Fig. 3H). It was noted that the positive fluorescence signals were located in the same area of inflammatory and degenerative tissues of cadaveric cats. These cats were diagnosed pathologically as having viral infection and had unknown vaccination histories when they died. H&E, hematoxylin and eosin; FITC, fluorescein isothiocyanate; IgG, immunoglobulin G; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride. Twenty-six paraffin-embedded cat kidneys were screened for antibodies that bind to kidney tissues. Regarding their clinical diseases, cats died from viral infection (n = 15), kidney disease (n = 2), disseminated intravascular coagulation (DIC; n = 2), endotoxemia (n = 2), viral and 2nd bacterial infection (n = 1), heatstroke (n = 1), feline hypertrophic cardiomyopathy (FHC; n = 1), septicemia (n = 1), and chronic bronchopneumonia (n = 1). Cat histories and diagnoses from the paraffin-embedded cat kidney samples are shown in Table 5. nd = no data, DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; SD, sudden death; HL, hind limb; FeLV, feline leukemia virus; DIC, disseminated intravascular coagulation; KD, kidney disease; FPV, feline panleukopenia virus; FIP, feline infectious peritonitis; FHC, feline hypertrophic cardiomyopathy. aMicroscopic findings presented only for kidney samples. Lesions in other organs are not presented in this table. bDiagnosis was based on gross and histopathological examination. cHealthy cat was used as a control for kidney tissue staining and antigen preparation. Antibodies that bind at the apical border of the kidney tubule and interstitial cells were detected in 15% (4/26) of the cats tested. The profiles of the 4 cats with positive kidney-bound antibodies were as follows: kidney-bound antibodies were present at the apical border of the kidney tubules in cat 1 (Fig. 3A), while those in cats 2, 3, and 4 were present at the interstitial cells (Fig. 3B-D). H&E-stained kidney sections showed severe acute diffuse hydropic degeneration in the tubules in cat 1 (Fig. 3E). H&E-stained kidney sections showed severe chronic multifocal non-suppurative interstitial nephritis, multifocal necrosis, and multifocal tubular degeneration in cat 2 (Fig. 3F). H&E-stained kidney sections showed multifocal inflammatory cell aggregation and diffused tubular necrosis in cat 3 (Fig. 3G), and H&E-stained kidney sections showed severe subacute focally extensive necrotic and non-suppurative nephritis in cat 4 (Fig. 3H). It was noted that the positive fluorescence signals were located in the same area of inflammatory and degenerative tissues of cadaveric cats. These cats were diagnosed pathologically as having viral infection and had unknown vaccination histories when they died. H&E, hematoxylin and eosin; FITC, fluorescein isothiocyanate; IgG, immunoglobulin G; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride. Serum antibodies against kidney tissues detected by indirect immunofluorescence When sera from the 69 unvaccinated and 87 FVRCP-vaccinated cats were applied to the healthy cat kidney tissue sections, antibodies that bound to the kidney tissue were detected in 15% (10 cats) and 12% (10 cats), respectively (Fig. 4). However, there was no statistical difference in the positive autoantibody results between the two groups. Two patterns of kidney-bound antibodies were observed at the cytoplasm and apical brush border of the proximal and distal tubules. Each cat presented individual profiles, with some showing kidney-bound antibodies in the cytoplasm, while others showed them in the apical border of the kidney tubules. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride. When sera from the 69 unvaccinated and 87 FVRCP-vaccinated cats were applied to the healthy cat kidney tissue sections, antibodies that bound to the kidney tissue were detected in 15% (10 cats) and 12% (10 cats), respectively (Fig. 4). However, there was no statistical difference in the positive autoantibody results between the two groups. Two patterns of kidney-bound antibodies were observed at the cytoplasm and apical brush border of the proximal and distal tubules. Each cat presented individual profiles, with some showing kidney-bound antibodies in the cytoplasm, while others showed them in the apical border of the kidney tubules. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride. Recognition of kidney and CRFK cell line proteins by cat sera In a previous study using similar Western immunoblots, the proteins recognized most frequently had apparent molecular masses of 47, 40, and 38 kDa. According to Whittemore et al.'s study [28], band appearances, including those with M.W. of 47, 40, and 38 kDa, were considered. Twenty cats with positive indirect immunofluorescence results were analyzed to provide protein recognition. All of the cats showed a similar pattern, but additional proteins were recognized in 7 cats (Fig. 5). These additional proteins had M.W. of 47, 40, 38, and 20 kDa. When using the CRFK cell line proteins as an antigen, most cats showed similar band patterns, but 8/20 cats showed additional bands. These additional cat antibodies were bound to proteins at M.W. of 47, 38, and 20 kDa. It was noted that no antibody to a 40 kDa protein was detected; considered to be a result of using kidney protein. Two unvaccinated cats showed a band at M.W. 38 for both the CRFK and kidney proteins. These unvaccinated cats were then tested by a commercial VacciCheckR kit and were FVRCP positive. CRFK, Crandell-Rees feline renal cell line; U code, unvaccinated cats; V code, FVRCP-vaccinated cats. In a previous study using similar Western immunoblots, the proteins recognized most frequently had apparent molecular masses of 47, 40, and 38 kDa. According to Whittemore et al.'s study [28], band appearances, including those with M.W. of 47, 40, and 38 kDa, were considered. Twenty cats with positive indirect immunofluorescence results were analyzed to provide protein recognition. All of the cats showed a similar pattern, but additional proteins were recognized in 7 cats (Fig. 5). These additional proteins had M.W. of 47, 40, 38, and 20 kDa. When using the CRFK cell line proteins as an antigen, most cats showed similar band patterns, but 8/20 cats showed additional bands. These additional cat antibodies were bound to proteins at M.W. of 47, 38, and 20 kDa. It was noted that no antibody to a 40 kDa protein was detected; considered to be a result of using kidney protein. Two unvaccinated cats showed a band at M.W. 38 for both the CRFK and kidney proteins. These unvaccinated cats were then tested by a commercial VacciCheckR kit and were FVRCP positive. CRFK, Crandell-Rees feline renal cell line; U code, unvaccinated cats; V code, FVRCP-vaccinated cats. Profile of antibodies that bind to kidney tissues in cats with positive and negative antibodies to FVRCP antigen As only 66% of all FVRCP-vaccinated cats produced antibody responses after vaccination, the relationship of antibodies that bind to kidney tissues was compared with the anti-FVRCP antibody instead of comparing between the unvaccinated and FVRCP-vaccinated cats. The profiles of antibodies that bind to kidney tissues in cats with positive and negative anti-FVRCP antibodies are shown in Fig. 6. Vaccinated cats with an antibody to the FVRCP antigen should have a greater chance of having an antibody to CRFK cell protein contamination during vaccine preparation. There was a difference in the prevalence of antibodies that bind to kidney tissues found in cats with and without antibodies to the FVRCP antigen. Among 156 cats, 66 and 90 cats were positive and negative for antibody to the FVRCP antigen, respectively. Fifty-five percent (36/66) of cats with positive antibodies to FVRCP antigen had antibodies that bind to kidney tissues. However, 30% (27/90) of cats with negative antibodies to the FVRCP antigen had antibodies that bind to kidney tissues. Based on χ2 test results, positive antibodies that bind to kidney tissues were associated significantly with the anti-FVRCP antibody (p = 0.002). FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; O.D., optical density; +Ab, positive antibody; −Ab, negative antibody. The association of anti-cat kidney tissues in cats with positive and negative antibodies to FVRCP antigen was compared by determining the OR. The results showed that cats with positive antibodies to FVRCP antigen had 2.8 times more risk of having antibodies that bind to kidney tissues (OR, 2.8; 95% confidence interval, 1.37–5.73). As only 66% of all FVRCP-vaccinated cats produced antibody responses after vaccination, the relationship of antibodies that bind to kidney tissues was compared with the anti-FVRCP antibody instead of comparing between the unvaccinated and FVRCP-vaccinated cats. The profiles of antibodies that bind to kidney tissues in cats with positive and negative anti-FVRCP antibodies are shown in Fig. 6. Vaccinated cats with an antibody to the FVRCP antigen should have a greater chance of having an antibody to CRFK cell protein contamination during vaccine preparation. There was a difference in the prevalence of antibodies that bind to kidney tissues found in cats with and without antibodies to the FVRCP antigen. Among 156 cats, 66 and 90 cats were positive and negative for antibody to the FVRCP antigen, respectively. Fifty-five percent (36/66) of cats with positive antibodies to FVRCP antigen had antibodies that bind to kidney tissues. However, 30% (27/90) of cats with negative antibodies to the FVRCP antigen had antibodies that bind to kidney tissues. Based on χ2 test results, positive antibodies that bind to kidney tissues were associated significantly with the anti-FVRCP antibody (p = 0.002). FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; O.D., optical density; +Ab, positive antibody; −Ab, negative antibody. The association of anti-cat kidney tissues in cats with positive and negative antibodies to FVRCP antigen was compared by determining the OR. The results showed that cats with positive antibodies to FVRCP antigen had 2.8 times more risk of having antibodies that bind to kidney tissues (OR, 2.8; 95% confidence interval, 1.37–5.73). Correlation between creatinine and BUN levels and antibodies that bind to kidney tissues The mean ± SD of the creatinine concentrations in cats with and without antibodies that bind to healthy cat kidney extracts were 2.04 ± 1.62 mg/dL and 1.76 ± 1.41 mg/dL, respectively, whereas the mean ± SD of the BUN concentrations were 34.78 ± 26.79 mg/dL and 33.06 ± 31.54 mg/dL, respectively (Fig. 7). Eight of 156 (5%) cats with positive antibodies that bind to kidney tissues had creatinine and BUN levels above the normal range (creatinine 0.9–2.2 mg/dL, BUN 19–34 mg/dL) [22], which is considered a criterion indicating kidney disease. No correlation was found above the normal range between the creatinine and BUN levels and positive antibodies that bind to kidney tissues (Spearman's rho = 0.048). BUN, blood urea nitrogen; +Ab, positive antibody; −Ab, negative antibody. The mean ± SD of the creatinine concentrations in cats with and without antibodies that bind to healthy cat kidney extracts were 2.04 ± 1.62 mg/dL and 1.76 ± 1.41 mg/dL, respectively, whereas the mean ± SD of the BUN concentrations were 34.78 ± 26.79 mg/dL and 33.06 ± 31.54 mg/dL, respectively (Fig. 7). Eight of 156 (5%) cats with positive antibodies that bind to kidney tissues had creatinine and BUN levels above the normal range (creatinine 0.9–2.2 mg/dL, BUN 19–34 mg/dL) [22], which is considered a criterion indicating kidney disease. No correlation was found above the normal range between the creatinine and BUN levels and positive antibodies that bind to kidney tissues (Spearman's rho = 0.048). BUN, blood urea nitrogen; +Ab, positive antibody; −Ab, negative antibody. Associations among cat histories and serum antibodies that react to healthy kidney tissues Twenty cats with serum antibodies bound to the healthy cat kidney sections in the direct immunofluorescence assay were examined. Clinical history and laboratory findings, as well as serum antibodies against healthy cat kidney lysates, were recorded (Table 6). Fourteen cats were diagnosed as CKD; only one of them had positive kidney-bound antibodies detected by direct immunofluorescence, whereas 4 cats had antibodies that bind to kidney tissues detected in serum by ELISA. It was interesting that a FVRCP-vaccinated cat (V47) was positive for kidney-bound antibodies, a high antibody response to FVRCP antigen, a high level of antibodies that bind to kidney tissues, and a creatinine level slightly above the normal range. However, it is unknown whether the autoantibody found in this cat was pathogenic; a follow-up study will be performed. -, none; +ve, positive; −ve, negative; U code, unvaccinated cats; V code, FVRCP-vaccinated cats; Vac., number of vaccinations; Last vac., time since the last vaccination; N, normal cats; CKD, chronic kidney disease; FPV, feline parvovirus; FIV, feline immunodeficiency virus; Cr, creatinine; BUN, blood urea nitrogen; Ab, antibody; FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; IF pattern, immunofluorescence pattern; A, apical border of the kidney tubule; C, cytoplasm of the kidney tubule. aUpper respiratory clinical symptom; bLaboratory diagnosis using Bionote FPV Ag and Witness FeLV-FIV test kits. In this study, 6 of the 20 cats with positive kidney-bound antibodies based on indirect immunofluorescence included one with FPV, one with a feline immunodeficiency virus (FIV) infection, and 4 with no available laboratory disease confirmation but had upper respiratory clinical signs. Twenty cats with serum antibodies bound to the healthy cat kidney sections in the direct immunofluorescence assay were examined. Clinical history and laboratory findings, as well as serum antibodies against healthy cat kidney lysates, were recorded (Table 6). Fourteen cats were diagnosed as CKD; only one of them had positive kidney-bound antibodies detected by direct immunofluorescence, whereas 4 cats had antibodies that bind to kidney tissues detected in serum by ELISA. It was interesting that a FVRCP-vaccinated cat (V47) was positive for kidney-bound antibodies, a high antibody response to FVRCP antigen, a high level of antibodies that bind to kidney tissues, and a creatinine level slightly above the normal range. However, it is unknown whether the autoantibody found in this cat was pathogenic; a follow-up study will be performed. -, none; +ve, positive; −ve, negative; U code, unvaccinated cats; V code, FVRCP-vaccinated cats; Vac., number of vaccinations; Last vac., time since the last vaccination; N, normal cats; CKD, chronic kidney disease; FPV, feline parvovirus; FIV, feline immunodeficiency virus; Cr, creatinine; BUN, blood urea nitrogen; Ab, antibody; FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; IF pattern, immunofluorescence pattern; A, apical border of the kidney tubule; C, cytoplasm of the kidney tubule. aUpper respiratory clinical symptom; bLaboratory diagnosis using Bionote FPV Ag and Witness FeLV-FIV test kits. In this study, 6 of the 20 cats with positive kidney-bound antibodies based on indirect immunofluorescence included one with FPV, one with a feline immunodeficiency virus (FIV) infection, and 4 with no available laboratory disease confirmation but had upper respiratory clinical signs.
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[ "Sample collection", "Antigen preparations", "Detecting antibody to kidney extract and FVRCP antigen by enzyme-linked immunosorbent assay (ELISA)", "Kidney-bound antibody detection by immunofluorescence assay", "Western blot analysis of antibody recognition of kidney proteins", "Statistical analysis", "Profile of anti-FVRCP antibody levels in cat sera", "Profile of antibodies that bind to kidney tissues in cat sera", "Kidney-bound antibody detection by direct immunofluorescence", "Serum antibodies against kidney tissues detected by indirect immunofluorescence", "Recognition of kidney and CRFK cell line proteins by cat sera", "Profile of antibodies that bind to kidney tissues in cats with positive and negative antibodies to FVRCP antigen", "Correlation between creatinine and BUN levels and antibodies that bind to kidney tissues", "Associations among cat histories and serum antibodies that react to healthy kidney tissues" ]
[ "A total of 156 serum samples were collected from 69 unvaccinated and 87 FVRCP-vaccinated cats aged between 4 months and 16 years. The FVRCP-vaccinated cats received at least one complete vaccination protocol, and blood sera were collected at least one month after vaccination. The sampled cats were from a local shelter or were owned cats that came to the Small Animal Hospital at Chiang Mai University, Thailand. Serum creatinine and blood urea nitrogen (BUN) concentrations and the number of FVRCP vaccinations in each cat were recorded. The normal standard value of serum creatinine and BUN is referenced from Duncan & Prasses's Veterinary Laboratory Medicine Clinical Pathology [22]. All serum samples were aliquoted and kept at −20°C until tested. Demographic data and vaccination history of unvaccinated and FVRCP-vaccinated cats are shown in Tables 1 and 2, respectively.\nNote: There were 69 unvaccinated cats.\nCr, creatinine; BUN, blood urea nitrogen; DSH, Domestic Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla.\naChronic kidney disease; bAcute kidney disease; and cFeline parvovirus.\nNote: There were 87 FVRCP-vaccinated cats.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla; Vac., number of vaccinations; Last vac., time since the last vaccination.\naChronic kidney disease; bAcute kidney disease; cFeline immunodeficiency virus; and dFeline leukemia virus.\nA total of 26 paraffin-embedded cat kidneys from cats that had died from different causes were collected from the Veterinary Diagnostic Laboratory, Chiang Mai University. The kidneys from a healthy cat that had died in a traffic accident were collected and divided into two parts; 1) kept at −20°C for antigen preparations, and 2) fixed in 10% formalin and stored at room temperature (RT) for 16–18 h before tissue processing. This cat had no previous FVRCP vaccination history, and its kidneys were PCR tested as FPV-negative.\nProtocols applied in the animal experiments were approved by the Institutional Animal Care and Use Committee, Faculty of Veterinary Medicine, Chiang Mai University (approval No. R25/2559).", "Proteins from the healthy cat kidney extract were obtained and purified using the Qproteome mammalian protein preparation kit (Qiagen, USA) according to the manufacturer's instructions, as previously reported [23]. The CRFK cell line was obtained from Dr. Kakanang Piyarungsri of the Department of Companion Animal and Wildlife Clinic, Chiang Mai University, Thailand (purchased from ATCC [CCL-94], LOT 60980362, passage No. 189). The cell line was cultured in Dulbecco's modified Eagle's medium supplement with 10% fetal calf serum in a 5% CO2 incubator, as described in a previous study [23]. The CRFK protein was prepared by using the Qproteome mammalian protein preparation kit, as described in the procedure for cat kidney extract. Both kidney and CRFK protein extracts were aliquoted and kept at −20°C.\nThe modified-live attenuated FVRCP vaccine (Felocell CVR, Zoetis, USA) was inactivated by ultraviolet inactivation before use as an antigen, as previously described [24].", "Detection of antibodies to healthy cat kidney extract and FVRCP antigen was performed by ELISA, as previously described [18], with slight modification. Briefly, kidney extract (30 mg/mL) was diluted with carbonate coating buffer (pH 9.2) to 1:500, and coated on 96-well microtiter plates overnight at 4°C. The nonspecific reaction was blocked with 3% bovine serum albumin (BSA; Bio Basic, USA). Serum samples were diluted to 1:5,000, added to the plates, and the assay run in duplicate. For detection of anti-FVRCP, the FVRCP antigen dilution used was 1:10 and serum was 1:500, and the procedure was the same as described for the kidney extract. Thereafter, horseradish peroxidase (HRP)-conjugated goat anti-cat immunoglobulin G (IgG) secondary antibody (KPL, USA) at a dilution of 1:80,000 was added to each well. Finally, SureBlue TMB Peroxidase Substrate (KPL) was added, and the enzymatic reaction stopped by adding 1N of H2SO4. The plate was washed five times after every step with phosphate-buffered saline/0.5% Tween-20, except for the last step (stop reaction step). Color intensity was measured at 450 nm absorbance by using a microplate reader (Synergy H4 Hybrid Reader, Biotek, USA).", "Determination of antibodies bound to kidney tissues in the 26 cats that died from multiple causes was performed using kidney sections; each section contained both cortex and medulla regions. A healthy kidney section was used as a control, and it was determined to be negative for autoantibody or immune complexes by staining with negative cat serum and/or goat anti-cat fluorescein isothiocyanate (FITC)-conjugated IgG. The immunofluorescence protocol used for elephant tissue was adapted for the cats in this study [25]. Briefly, the tissues were fixed with 10% formalin solution, and the formalin-fixed, paraffin-embedded (FFPE) cat kidney tissues were cut into 4 µm thick slices. FFPE slides were deparaffinized and rehydrated. BSA (1%) in Tris-buffered saline with 0.25% Tween (TBST) was added to the slides for 30 min at RT. Cadaveric cat kidneys were stained in order to examine autoantibody binding in the kidney. The goat anti-cat IgG conjugated FITC (KPL) at a dilution of 1:200 was dropped onto the slide, and the slide incubated for 1 h at RT. Nuclei were counterstained with 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride (DAPI; Sigma Aldrich, USA). The slides were observed under a fluorescence microscope (Zeiss, Germany). Cadaveric cat kidneys, positive for kidney-bound antibodies by direct immunofluorescence, were examined histologically by applying hematoxylin and eosin (H&E) stain [26].\nThe detection of antibodies to kidney tissues in cat sera was performed by following the same procedure. The sections were cut from healthy kidneys, with each section containing cortex and medulla regions. Serum samples were stained on this kidney section. Cat serum was diluted to 1:100 with 1% BSA in TBST, dropped onto slides. The steps after serum sample staining were performed as described for the cadaveric kidneys.", "Proteins from the healthy cat kidney extract or the CRFK cell line were run on sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE), and immunoblotting was carried out, as previously described [25], with a slight modification. Briefly, 25 µg of cat kidney proteins or 100 µg of CRFK cell line protein were loaded into wells of 12.5% gel and run for 90 min at 100 V. The SDS-PAGE gel was then blotted to a polyvinylidene difluoride membrane (Thermo Scientific, USA). The 5% BSA in TBST was added to the membrane to block nonspecific binding. Diluted cat sera (dilution of 1:200 for kidney extract and 1:100 for CRFK protein) were added to the membrane blotted with kidney and CRFK cell line proteins. The HRP-conjugated goat anti-cat IgG secondary antibody (dilution of 1:1,000 for kidney extract and 1:800 for CRFK protein) was then added to the membrane. After washing, the 3,3′-diaminobenzidine tetrahydrochloride (DAB; Thermo Scientific) substrate was added to the membrane for a 30 sec exposure and the protein band appeared. The molecular weight (M.W.) of protein bands was determined by using image analysis software (GeneTools, USA).", "Sample size estimation, a minimal sample size of at least 80 cats was calculated by performing power analysis based on the assumption of a finite population proportion expected to be 50% of vaccinated cats that had autoantibodies in the serum with 95% confidence interval and 10% error [27].\nThe statistical analyses used in this study included the following: t-test for determining the p value; odds ratio (OR) for the association between cats with and without antibody to FVRCP antigen and anti-kidney autoantibody; and Spearman's rank correlation and Pearson's χ2 test for the correlation assessment. The sensitivity and specificity of the ELISA developed in this study were calculated by examining the receiver operating characteristic curve (ROC curve). Statistical significance was designated at a p value of < 0.05.", "All FVRCP-vaccinated cats were tested firstly for antibody to FVRCP antigen. Unvaccinated cats were tested together as negative sera in order to find a cut-off value. Determination of the cut-off value according to sensitivity and specificity is shown in Table 3. An optical density (O.D.) cut-off value of > 0.186 was calculated by analyzing the ROC curve; the chosen cut-off value had 50% sensitivity and 60% specificity. The O.D. cut-off value had a relatively high specificity, which was considered a priority in order to reduce false-positive results. The profiles of the antibodies against the FVRCP antigen in unvaccinated and vaccinated cats are shown in Fig. 1. Thirteen percent (9/69) and 66% (57/87) of unvaccinated and FVRCP-vaccinated cats, respectively, were positive for the anti-FVRCP antibody. Nearly half of the vaccinated cats did not show anti-FVRCP antibody presence.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats.", "Unvaccinated and vaccinated sera were evaluated for antibodies to healthy cat kidney extracts in the optimized ELISA. Determination of the cut-off value according to sensitivity and specificity levels is shown in Table 4. The cut-off O.D. value of cats with antibodies that bind to kidney tissues, calculated by ROC curve analysis, was ≥ 0.349, which had 70% sensitivity and 64% specificity. The chosen O.D. cut-off value had a relatively high sensitivity, which was considered a priority in order to screen for antibodies that bind to kidney tissues. The profiles of antibodies that had bound to kidney tissues in unvaccinated and vaccinated cats are shown in Fig. 2. Antibodies that reacted against healthy cat kidney extracts were detected in 32% (22/69) and 47% (41/87) of the unvaccinated and FVRCP-vaccinated cats, respectively. Although FVRCP-vaccinated cats typically had higher positive antibody levels (i.e., higher ELISA O.D.) bound to cat kidney tissues than that of non-vaccinated cats, there was no significant difference in the antibody bound to cat kidney tissue results between unvaccinated and FVRCP-vaccinated cats (p = 0.055; test of proportion statistic).\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats.", "Twenty-six paraffin-embedded cat kidneys were screened for antibodies that bind to kidney tissues. Regarding their clinical diseases, cats died from viral infection (n = 15), kidney disease (n = 2), disseminated intravascular coagulation (DIC; n = 2), endotoxemia (n = 2), viral and 2nd bacterial infection (n = 1), heatstroke (n = 1), feline hypertrophic cardiomyopathy (FHC; n = 1), septicemia (n = 1), and chronic bronchopneumonia (n = 1). Cat histories and diagnoses from the paraffin-embedded cat kidney samples are shown in Table 5.\nnd = no data, DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; SD, sudden death; HL, hind limb; FeLV, feline leukemia virus; DIC, disseminated intravascular coagulation; KD, kidney disease; FPV, feline panleukopenia virus; FIP, feline infectious peritonitis; FHC, feline hypertrophic cardiomyopathy.\naMicroscopic findings presented only for kidney samples. Lesions in other organs are not presented in this table. bDiagnosis was based on gross and histopathological examination. cHealthy cat was used as a control for kidney tissue staining and antigen preparation.\nAntibodies that bind at the apical border of the kidney tubule and interstitial cells were detected in 15% (4/26) of the cats tested. The profiles of the 4 cats with positive kidney-bound antibodies were as follows: kidney-bound antibodies were present at the apical border of the kidney tubules in cat 1 (Fig. 3A), while those in cats 2, 3, and 4 were present at the interstitial cells (Fig. 3B-D). H&E-stained kidney sections showed severe acute diffuse hydropic degeneration in the tubules in cat 1 (Fig. 3E). H&E-stained kidney sections showed severe chronic multifocal non-suppurative interstitial nephritis, multifocal necrosis, and multifocal tubular degeneration in cat 2 (Fig. 3F). H&E-stained kidney sections showed multifocal inflammatory cell aggregation and diffused tubular necrosis in cat 3 (Fig. 3G), and H&E-stained kidney sections showed severe subacute focally extensive necrotic and non-suppurative nephritis in cat 4 (Fig. 3H). It was noted that the positive fluorescence signals were located in the same area of inflammatory and degenerative tissues of cadaveric cats. These cats were diagnosed pathologically as having viral infection and had unknown vaccination histories when they died.\nH&E, hematoxylin and eosin; FITC, fluorescein isothiocyanate; IgG, immunoglobulin G; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride.", "When sera from the 69 unvaccinated and 87 FVRCP-vaccinated cats were applied to the healthy cat kidney tissue sections, antibodies that bound to the kidney tissue were detected in 15% (10 cats) and 12% (10 cats), respectively (Fig. 4). However, there was no statistical difference in the positive autoantibody results between the two groups. Two patterns of kidney-bound antibodies were observed at the cytoplasm and apical brush border of the proximal and distal tubules. Each cat presented individual profiles, with some showing kidney-bound antibodies in the cytoplasm, while others showed them in the apical border of the kidney tubules.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride.", "In a previous study using similar Western immunoblots, the proteins recognized most frequently had apparent molecular masses of 47, 40, and 38 kDa. According to Whittemore et al.'s study [28], band appearances, including those with M.W. of 47, 40, and 38 kDa, were considered.\nTwenty cats with positive indirect immunofluorescence results were analyzed to provide protein recognition. All of the cats showed a similar pattern, but additional proteins were recognized in 7 cats (Fig. 5). These additional proteins had M.W. of 47, 40, 38, and 20 kDa. When using the CRFK cell line proteins as an antigen, most cats showed similar band patterns, but 8/20 cats showed additional bands. These additional cat antibodies were bound to proteins at M.W. of 47, 38, and 20 kDa. It was noted that no antibody to a 40 kDa protein was detected; considered to be a result of using kidney protein. Two unvaccinated cats showed a band at M.W. 38 for both the CRFK and kidney proteins. These unvaccinated cats were then tested by a commercial VacciCheckR kit and were FVRCP positive.\nCRFK, Crandell-Rees feline renal cell line; U code, unvaccinated cats; V code, FVRCP-vaccinated cats.", "As only 66% of all FVRCP-vaccinated cats produced antibody responses after vaccination, the relationship of antibodies that bind to kidney tissues was compared with the anti-FVRCP antibody instead of comparing between the unvaccinated and FVRCP-vaccinated cats. The profiles of antibodies that bind to kidney tissues in cats with positive and negative anti-FVRCP antibodies are shown in Fig. 6. Vaccinated cats with an antibody to the FVRCP antigen should have a greater chance of having an antibody to CRFK cell protein contamination during vaccine preparation. There was a difference in the prevalence of antibodies that bind to kidney tissues found in cats with and without antibodies to the FVRCP antigen. Among 156 cats, 66 and 90 cats were positive and negative for antibody to the FVRCP antigen, respectively. Fifty-five percent (36/66) of cats with positive antibodies to FVRCP antigen had antibodies that bind to kidney tissues. However, 30% (27/90) of cats with negative antibodies to the FVRCP antigen had antibodies that bind to kidney tissues. Based on χ2 test results, positive antibodies that bind to kidney tissues were associated significantly with the anti-FVRCP antibody (p = 0.002).\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; O.D., optical density; +Ab, positive antibody; −Ab, negative antibody.\nThe association of anti-cat kidney tissues in cats with positive and negative antibodies to FVRCP antigen was compared by determining the OR. The results showed that cats with positive antibodies to FVRCP antigen had 2.8 times more risk of having antibodies that bind to kidney tissues (OR, 2.8; 95% confidence interval, 1.37–5.73).", "The mean ± SD of the creatinine concentrations in cats with and without antibodies that bind to healthy cat kidney extracts were 2.04 ± 1.62 mg/dL and 1.76 ± 1.41 mg/dL, respectively, whereas the mean ± SD of the BUN concentrations were 34.78 ± 26.79 mg/dL and 33.06 ± 31.54 mg/dL, respectively (Fig. 7). Eight of 156 (5%) cats with positive antibodies that bind to kidney tissues had creatinine and BUN levels above the normal range (creatinine 0.9–2.2 mg/dL, BUN 19–34 mg/dL) [22], which is considered a criterion indicating kidney disease. No correlation was found above the normal range between the creatinine and BUN levels and positive antibodies that bind to kidney tissues (Spearman's rho = 0.048).\nBUN, blood urea nitrogen; +Ab, positive antibody; −Ab, negative antibody.", "Twenty cats with serum antibodies bound to the healthy cat kidney sections in the direct immunofluorescence assay were examined. Clinical history and laboratory findings, as well as serum antibodies against healthy cat kidney lysates, were recorded (Table 6). Fourteen cats were diagnosed as CKD; only one of them had positive kidney-bound antibodies detected by direct immunofluorescence, whereas 4 cats had antibodies that bind to kidney tissues detected in serum by ELISA. It was interesting that a FVRCP-vaccinated cat (V47) was positive for kidney-bound antibodies, a high antibody response to FVRCP antigen, a high level of antibodies that bind to kidney tissues, and a creatinine level slightly above the normal range. However, it is unknown whether the autoantibody found in this cat was pathogenic; a follow-up study will be performed.\n-, none; +ve, positive; −ve, negative; U code, unvaccinated cats; V code, FVRCP-vaccinated cats; Vac., number of vaccinations; Last vac., time since the last vaccination; N, normal cats; CKD, chronic kidney disease; FPV, feline parvovirus; FIV, feline immunodeficiency virus; Cr, creatinine; BUN, blood urea nitrogen; Ab, antibody; FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; IF pattern, immunofluorescence pattern; A, apical border of the kidney tubule; C, cytoplasm of the kidney tubule.\naUpper respiratory clinical symptom; bLaboratory diagnosis using Bionote FPV Ag and Witness FeLV-FIV test kits.\nIn this study, 6 of the 20 cats with positive kidney-bound antibodies based on indirect immunofluorescence included one with FPV, one with a feline immunodeficiency virus (FIV) infection, and 4 with no available laboratory disease confirmation but had upper respiratory clinical signs." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "INTRODUCTION", "MATERIALS AND METHODS", "Sample collection", "Antigen preparations", "Detecting antibody to kidney extract and FVRCP antigen by enzyme-linked immunosorbent assay (ELISA)", "Kidney-bound antibody detection by immunofluorescence assay", "Western blot analysis of antibody recognition of kidney proteins", "Statistical analysis", "RESULTS", "Profile of anti-FVRCP antibody levels in cat sera", "Profile of antibodies that bind to kidney tissues in cat sera", "Kidney-bound antibody detection by direct immunofluorescence", "Serum antibodies against kidney tissues detected by indirect immunofluorescence", "Recognition of kidney and CRFK cell line proteins by cat sera", "Profile of antibodies that bind to kidney tissues in cats with positive and negative antibodies to FVRCP antigen", "Correlation between creatinine and BUN levels and antibodies that bind to kidney tissues", "Associations among cat histories and serum antibodies that react to healthy kidney tissues", "DISCUSSION" ]
[ "Kidney disease can be divided into acute kidney injury and chronic kidney disease (CKD), both of which can lead to the same result: kidney failure [12]. CKD is one of the most common causes of illness and death in elderly domestic cats [34].\nIn an attempt to elucidate the risk factors associated with CKD, a longitudinal questionnaire and follow-up investigation revealed that frequent vaccinations and the severity of dental disease were factors associated with the development of CKD [5]. There are several reports that the frequency of vaccinations is associated with autoimmune diseases in animals and humans [678910]. Vaccines, especially viral vaccines, do not only contain antigens of the relevant organism, but also contain other ingredients, such as adjuvants, preservative materials, and tissue or cell culture proteins that are used when growing organisms [111213]. Tissue culture components that contaminate vaccines can induce immune responses and may cross-react with host tissue antigens, known as molecular mimicry [14151617]. Proteins from the Crandell-Rees feline renal cell line (CRFK), which was derived from feline kidney tissues, are used by some companies to grow feline herpesvirus 1 (FHV-1), feline calicivirus (FCV), and feline panleukopenia virus (FPV) for use in feline viral vaccines such as feline viral rhinotracheitis, calicivirus, and panleukopenia (FVRCP) vaccine. Remnant proteins from the CRFK cell line have been shown to induce antibodies to kidney tissue lysates in an experimental model [18]. Therefore, frequent or over-vaccination by FVRCP might be considered a risk for producing antibodies that bind to kidney tissues after vaccination.\nThe FVRCP vaccine is a core vaccine that is used to immunize cats annually. However, viral vaccines usually induce a long-lasting immune response [1920]. The American Association of Feline Practitioners first recommended triennial rather than annual FVRCP revaccination in 1998 [21].\nThis study's primary aim was to estimate the prevalence of antibodies to proteins extracted from kidney tissues in unvaccinated cats and cats known to have been administered FVRCP vaccines. The secondary aim was an attempt to determine the localization of kidney-bound antibodies.", "Sample collection A total of 156 serum samples were collected from 69 unvaccinated and 87 FVRCP-vaccinated cats aged between 4 months and 16 years. The FVRCP-vaccinated cats received at least one complete vaccination protocol, and blood sera were collected at least one month after vaccination. The sampled cats were from a local shelter or were owned cats that came to the Small Animal Hospital at Chiang Mai University, Thailand. Serum creatinine and blood urea nitrogen (BUN) concentrations and the number of FVRCP vaccinations in each cat were recorded. The normal standard value of serum creatinine and BUN is referenced from Duncan & Prasses's Veterinary Laboratory Medicine Clinical Pathology [22]. All serum samples were aliquoted and kept at −20°C until tested. Demographic data and vaccination history of unvaccinated and FVRCP-vaccinated cats are shown in Tables 1 and 2, respectively.\nNote: There were 69 unvaccinated cats.\nCr, creatinine; BUN, blood urea nitrogen; DSH, Domestic Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla.\naChronic kidney disease; bAcute kidney disease; and cFeline parvovirus.\nNote: There were 87 FVRCP-vaccinated cats.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla; Vac., number of vaccinations; Last vac., time since the last vaccination.\naChronic kidney disease; bAcute kidney disease; cFeline immunodeficiency virus; and dFeline leukemia virus.\nA total of 26 paraffin-embedded cat kidneys from cats that had died from different causes were collected from the Veterinary Diagnostic Laboratory, Chiang Mai University. The kidneys from a healthy cat that had died in a traffic accident were collected and divided into two parts; 1) kept at −20°C for antigen preparations, and 2) fixed in 10% formalin and stored at room temperature (RT) for 16–18 h before tissue processing. This cat had no previous FVRCP vaccination history, and its kidneys were PCR tested as FPV-negative.\nProtocols applied in the animal experiments were approved by the Institutional Animal Care and Use Committee, Faculty of Veterinary Medicine, Chiang Mai University (approval No. R25/2559).\nA total of 156 serum samples were collected from 69 unvaccinated and 87 FVRCP-vaccinated cats aged between 4 months and 16 years. The FVRCP-vaccinated cats received at least one complete vaccination protocol, and blood sera were collected at least one month after vaccination. The sampled cats were from a local shelter or were owned cats that came to the Small Animal Hospital at Chiang Mai University, Thailand. Serum creatinine and blood urea nitrogen (BUN) concentrations and the number of FVRCP vaccinations in each cat were recorded. The normal standard value of serum creatinine and BUN is referenced from Duncan & Prasses's Veterinary Laboratory Medicine Clinical Pathology [22]. All serum samples were aliquoted and kept at −20°C until tested. Demographic data and vaccination history of unvaccinated and FVRCP-vaccinated cats are shown in Tables 1 and 2, respectively.\nNote: There were 69 unvaccinated cats.\nCr, creatinine; BUN, blood urea nitrogen; DSH, Domestic Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla.\naChronic kidney disease; bAcute kidney disease; and cFeline parvovirus.\nNote: There were 87 FVRCP-vaccinated cats.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla; Vac., number of vaccinations; Last vac., time since the last vaccination.\naChronic kidney disease; bAcute kidney disease; cFeline immunodeficiency virus; and dFeline leukemia virus.\nA total of 26 paraffin-embedded cat kidneys from cats that had died from different causes were collected from the Veterinary Diagnostic Laboratory, Chiang Mai University. The kidneys from a healthy cat that had died in a traffic accident were collected and divided into two parts; 1) kept at −20°C for antigen preparations, and 2) fixed in 10% formalin and stored at room temperature (RT) for 16–18 h before tissue processing. This cat had no previous FVRCP vaccination history, and its kidneys were PCR tested as FPV-negative.\nProtocols applied in the animal experiments were approved by the Institutional Animal Care and Use Committee, Faculty of Veterinary Medicine, Chiang Mai University (approval No. R25/2559).\nAntigen preparations Proteins from the healthy cat kidney extract were obtained and purified using the Qproteome mammalian protein preparation kit (Qiagen, USA) according to the manufacturer's instructions, as previously reported [23]. The CRFK cell line was obtained from Dr. Kakanang Piyarungsri of the Department of Companion Animal and Wildlife Clinic, Chiang Mai University, Thailand (purchased from ATCC [CCL-94], LOT 60980362, passage No. 189). The cell line was cultured in Dulbecco's modified Eagle's medium supplement with 10% fetal calf serum in a 5% CO2 incubator, as described in a previous study [23]. The CRFK protein was prepared by using the Qproteome mammalian protein preparation kit, as described in the procedure for cat kidney extract. Both kidney and CRFK protein extracts were aliquoted and kept at −20°C.\nThe modified-live attenuated FVRCP vaccine (Felocell CVR, Zoetis, USA) was inactivated by ultraviolet inactivation before use as an antigen, as previously described [24].\nProteins from the healthy cat kidney extract were obtained and purified using the Qproteome mammalian protein preparation kit (Qiagen, USA) according to the manufacturer's instructions, as previously reported [23]. The CRFK cell line was obtained from Dr. Kakanang Piyarungsri of the Department of Companion Animal and Wildlife Clinic, Chiang Mai University, Thailand (purchased from ATCC [CCL-94], LOT 60980362, passage No. 189). The cell line was cultured in Dulbecco's modified Eagle's medium supplement with 10% fetal calf serum in a 5% CO2 incubator, as described in a previous study [23]. The CRFK protein was prepared by using the Qproteome mammalian protein preparation kit, as described in the procedure for cat kidney extract. Both kidney and CRFK protein extracts were aliquoted and kept at −20°C.\nThe modified-live attenuated FVRCP vaccine (Felocell CVR, Zoetis, USA) was inactivated by ultraviolet inactivation before use as an antigen, as previously described [24].\nDetecting antibody to kidney extract and FVRCP antigen by enzyme-linked immunosorbent assay (ELISA) Detection of antibodies to healthy cat kidney extract and FVRCP antigen was performed by ELISA, as previously described [18], with slight modification. Briefly, kidney extract (30 mg/mL) was diluted with carbonate coating buffer (pH 9.2) to 1:500, and coated on 96-well microtiter plates overnight at 4°C. The nonspecific reaction was blocked with 3% bovine serum albumin (BSA; Bio Basic, USA). Serum samples were diluted to 1:5,000, added to the plates, and the assay run in duplicate. For detection of anti-FVRCP, the FVRCP antigen dilution used was 1:10 and serum was 1:500, and the procedure was the same as described for the kidney extract. Thereafter, horseradish peroxidase (HRP)-conjugated goat anti-cat immunoglobulin G (IgG) secondary antibody (KPL, USA) at a dilution of 1:80,000 was added to each well. Finally, SureBlue TMB Peroxidase Substrate (KPL) was added, and the enzymatic reaction stopped by adding 1N of H2SO4. The plate was washed five times after every step with phosphate-buffered saline/0.5% Tween-20, except for the last step (stop reaction step). Color intensity was measured at 450 nm absorbance by using a microplate reader (Synergy H4 Hybrid Reader, Biotek, USA).\nDetection of antibodies to healthy cat kidney extract and FVRCP antigen was performed by ELISA, as previously described [18], with slight modification. Briefly, kidney extract (30 mg/mL) was diluted with carbonate coating buffer (pH 9.2) to 1:500, and coated on 96-well microtiter plates overnight at 4°C. The nonspecific reaction was blocked with 3% bovine serum albumin (BSA; Bio Basic, USA). Serum samples were diluted to 1:5,000, added to the plates, and the assay run in duplicate. For detection of anti-FVRCP, the FVRCP antigen dilution used was 1:10 and serum was 1:500, and the procedure was the same as described for the kidney extract. Thereafter, horseradish peroxidase (HRP)-conjugated goat anti-cat immunoglobulin G (IgG) secondary antibody (KPL, USA) at a dilution of 1:80,000 was added to each well. Finally, SureBlue TMB Peroxidase Substrate (KPL) was added, and the enzymatic reaction stopped by adding 1N of H2SO4. The plate was washed five times after every step with phosphate-buffered saline/0.5% Tween-20, except for the last step (stop reaction step). Color intensity was measured at 450 nm absorbance by using a microplate reader (Synergy H4 Hybrid Reader, Biotek, USA).\nKidney-bound antibody detection by immunofluorescence assay Determination of antibodies bound to kidney tissues in the 26 cats that died from multiple causes was performed using kidney sections; each section contained both cortex and medulla regions. A healthy kidney section was used as a control, and it was determined to be negative for autoantibody or immune complexes by staining with negative cat serum and/or goat anti-cat fluorescein isothiocyanate (FITC)-conjugated IgG. The immunofluorescence protocol used for elephant tissue was adapted for the cats in this study [25]. Briefly, the tissues were fixed with 10% formalin solution, and the formalin-fixed, paraffin-embedded (FFPE) cat kidney tissues were cut into 4 µm thick slices. FFPE slides were deparaffinized and rehydrated. BSA (1%) in Tris-buffered saline with 0.25% Tween (TBST) was added to the slides for 30 min at RT. Cadaveric cat kidneys were stained in order to examine autoantibody binding in the kidney. The goat anti-cat IgG conjugated FITC (KPL) at a dilution of 1:200 was dropped onto the slide, and the slide incubated for 1 h at RT. Nuclei were counterstained with 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride (DAPI; Sigma Aldrich, USA). The slides were observed under a fluorescence microscope (Zeiss, Germany). Cadaveric cat kidneys, positive for kidney-bound antibodies by direct immunofluorescence, were examined histologically by applying hematoxylin and eosin (H&E) stain [26].\nThe detection of antibodies to kidney tissues in cat sera was performed by following the same procedure. The sections were cut from healthy kidneys, with each section containing cortex and medulla regions. Serum samples were stained on this kidney section. Cat serum was diluted to 1:100 with 1% BSA in TBST, dropped onto slides. The steps after serum sample staining were performed as described for the cadaveric kidneys.\nDetermination of antibodies bound to kidney tissues in the 26 cats that died from multiple causes was performed using kidney sections; each section contained both cortex and medulla regions. A healthy kidney section was used as a control, and it was determined to be negative for autoantibody or immune complexes by staining with negative cat serum and/or goat anti-cat fluorescein isothiocyanate (FITC)-conjugated IgG. The immunofluorescence protocol used for elephant tissue was adapted for the cats in this study [25]. Briefly, the tissues were fixed with 10% formalin solution, and the formalin-fixed, paraffin-embedded (FFPE) cat kidney tissues were cut into 4 µm thick slices. FFPE slides were deparaffinized and rehydrated. BSA (1%) in Tris-buffered saline with 0.25% Tween (TBST) was added to the slides for 30 min at RT. Cadaveric cat kidneys were stained in order to examine autoantibody binding in the kidney. The goat anti-cat IgG conjugated FITC (KPL) at a dilution of 1:200 was dropped onto the slide, and the slide incubated for 1 h at RT. Nuclei were counterstained with 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride (DAPI; Sigma Aldrich, USA). The slides were observed under a fluorescence microscope (Zeiss, Germany). Cadaveric cat kidneys, positive for kidney-bound antibodies by direct immunofluorescence, were examined histologically by applying hematoxylin and eosin (H&E) stain [26].\nThe detection of antibodies to kidney tissues in cat sera was performed by following the same procedure. The sections were cut from healthy kidneys, with each section containing cortex and medulla regions. Serum samples were stained on this kidney section. Cat serum was diluted to 1:100 with 1% BSA in TBST, dropped onto slides. The steps after serum sample staining were performed as described for the cadaveric kidneys.\nWestern blot analysis of antibody recognition of kidney proteins Proteins from the healthy cat kidney extract or the CRFK cell line were run on sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE), and immunoblotting was carried out, as previously described [25], with a slight modification. Briefly, 25 µg of cat kidney proteins or 100 µg of CRFK cell line protein were loaded into wells of 12.5% gel and run for 90 min at 100 V. The SDS-PAGE gel was then blotted to a polyvinylidene difluoride membrane (Thermo Scientific, USA). The 5% BSA in TBST was added to the membrane to block nonspecific binding. Diluted cat sera (dilution of 1:200 for kidney extract and 1:100 for CRFK protein) were added to the membrane blotted with kidney and CRFK cell line proteins. The HRP-conjugated goat anti-cat IgG secondary antibody (dilution of 1:1,000 for kidney extract and 1:800 for CRFK protein) was then added to the membrane. After washing, the 3,3′-diaminobenzidine tetrahydrochloride (DAB; Thermo Scientific) substrate was added to the membrane for a 30 sec exposure and the protein band appeared. The molecular weight (M.W.) of protein bands was determined by using image analysis software (GeneTools, USA).\nProteins from the healthy cat kidney extract or the CRFK cell line were run on sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE), and immunoblotting was carried out, as previously described [25], with a slight modification. Briefly, 25 µg of cat kidney proteins or 100 µg of CRFK cell line protein were loaded into wells of 12.5% gel and run for 90 min at 100 V. The SDS-PAGE gel was then blotted to a polyvinylidene difluoride membrane (Thermo Scientific, USA). The 5% BSA in TBST was added to the membrane to block nonspecific binding. Diluted cat sera (dilution of 1:200 for kidney extract and 1:100 for CRFK protein) were added to the membrane blotted with kidney and CRFK cell line proteins. The HRP-conjugated goat anti-cat IgG secondary antibody (dilution of 1:1,000 for kidney extract and 1:800 for CRFK protein) was then added to the membrane. After washing, the 3,3′-diaminobenzidine tetrahydrochloride (DAB; Thermo Scientific) substrate was added to the membrane for a 30 sec exposure and the protein band appeared. The molecular weight (M.W.) of protein bands was determined by using image analysis software (GeneTools, USA).\nStatistical analysis Sample size estimation, a minimal sample size of at least 80 cats was calculated by performing power analysis based on the assumption of a finite population proportion expected to be 50% of vaccinated cats that had autoantibodies in the serum with 95% confidence interval and 10% error [27].\nThe statistical analyses used in this study included the following: t-test for determining the p value; odds ratio (OR) for the association between cats with and without antibody to FVRCP antigen and anti-kidney autoantibody; and Spearman's rank correlation and Pearson's χ2 test for the correlation assessment. The sensitivity and specificity of the ELISA developed in this study were calculated by examining the receiver operating characteristic curve (ROC curve). Statistical significance was designated at a p value of < 0.05.\nSample size estimation, a minimal sample size of at least 80 cats was calculated by performing power analysis based on the assumption of a finite population proportion expected to be 50% of vaccinated cats that had autoantibodies in the serum with 95% confidence interval and 10% error [27].\nThe statistical analyses used in this study included the following: t-test for determining the p value; odds ratio (OR) for the association between cats with and without antibody to FVRCP antigen and anti-kidney autoantibody; and Spearman's rank correlation and Pearson's χ2 test for the correlation assessment. The sensitivity and specificity of the ELISA developed in this study were calculated by examining the receiver operating characteristic curve (ROC curve). Statistical significance was designated at a p value of < 0.05.", "A total of 156 serum samples were collected from 69 unvaccinated and 87 FVRCP-vaccinated cats aged between 4 months and 16 years. The FVRCP-vaccinated cats received at least one complete vaccination protocol, and blood sera were collected at least one month after vaccination. The sampled cats were from a local shelter or were owned cats that came to the Small Animal Hospital at Chiang Mai University, Thailand. Serum creatinine and blood urea nitrogen (BUN) concentrations and the number of FVRCP vaccinations in each cat were recorded. The normal standard value of serum creatinine and BUN is referenced from Duncan & Prasses's Veterinary Laboratory Medicine Clinical Pathology [22]. All serum samples were aliquoted and kept at −20°C until tested. Demographic data and vaccination history of unvaccinated and FVRCP-vaccinated cats are shown in Tables 1 and 2, respectively.\nNote: There were 69 unvaccinated cats.\nCr, creatinine; BUN, blood urea nitrogen; DSH, Domestic Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla.\naChronic kidney disease; bAcute kidney disease; and cFeline parvovirus.\nNote: There were 87 FVRCP-vaccinated cats.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla; Vac., number of vaccinations; Last vac., time since the last vaccination.\naChronic kidney disease; bAcute kidney disease; cFeline immunodeficiency virus; and dFeline leukemia virus.\nA total of 26 paraffin-embedded cat kidneys from cats that had died from different causes were collected from the Veterinary Diagnostic Laboratory, Chiang Mai University. The kidneys from a healthy cat that had died in a traffic accident were collected and divided into two parts; 1) kept at −20°C for antigen preparations, and 2) fixed in 10% formalin and stored at room temperature (RT) for 16–18 h before tissue processing. This cat had no previous FVRCP vaccination history, and its kidneys were PCR tested as FPV-negative.\nProtocols applied in the animal experiments were approved by the Institutional Animal Care and Use Committee, Faculty of Veterinary Medicine, Chiang Mai University (approval No. R25/2559).", "Proteins from the healthy cat kidney extract were obtained and purified using the Qproteome mammalian protein preparation kit (Qiagen, USA) according to the manufacturer's instructions, as previously reported [23]. The CRFK cell line was obtained from Dr. Kakanang Piyarungsri of the Department of Companion Animal and Wildlife Clinic, Chiang Mai University, Thailand (purchased from ATCC [CCL-94], LOT 60980362, passage No. 189). The cell line was cultured in Dulbecco's modified Eagle's medium supplement with 10% fetal calf serum in a 5% CO2 incubator, as described in a previous study [23]. The CRFK protein was prepared by using the Qproteome mammalian protein preparation kit, as described in the procedure for cat kidney extract. Both kidney and CRFK protein extracts were aliquoted and kept at −20°C.\nThe modified-live attenuated FVRCP vaccine (Felocell CVR, Zoetis, USA) was inactivated by ultraviolet inactivation before use as an antigen, as previously described [24].", "Detection of antibodies to healthy cat kidney extract and FVRCP antigen was performed by ELISA, as previously described [18], with slight modification. Briefly, kidney extract (30 mg/mL) was diluted with carbonate coating buffer (pH 9.2) to 1:500, and coated on 96-well microtiter plates overnight at 4°C. The nonspecific reaction was blocked with 3% bovine serum albumin (BSA; Bio Basic, USA). Serum samples were diluted to 1:5,000, added to the plates, and the assay run in duplicate. For detection of anti-FVRCP, the FVRCP antigen dilution used was 1:10 and serum was 1:500, and the procedure was the same as described for the kidney extract. Thereafter, horseradish peroxidase (HRP)-conjugated goat anti-cat immunoglobulin G (IgG) secondary antibody (KPL, USA) at a dilution of 1:80,000 was added to each well. Finally, SureBlue TMB Peroxidase Substrate (KPL) was added, and the enzymatic reaction stopped by adding 1N of H2SO4. The plate was washed five times after every step with phosphate-buffered saline/0.5% Tween-20, except for the last step (stop reaction step). Color intensity was measured at 450 nm absorbance by using a microplate reader (Synergy H4 Hybrid Reader, Biotek, USA).", "Determination of antibodies bound to kidney tissues in the 26 cats that died from multiple causes was performed using kidney sections; each section contained both cortex and medulla regions. A healthy kidney section was used as a control, and it was determined to be negative for autoantibody or immune complexes by staining with negative cat serum and/or goat anti-cat fluorescein isothiocyanate (FITC)-conjugated IgG. The immunofluorescence protocol used for elephant tissue was adapted for the cats in this study [25]. Briefly, the tissues were fixed with 10% formalin solution, and the formalin-fixed, paraffin-embedded (FFPE) cat kidney tissues were cut into 4 µm thick slices. FFPE slides were deparaffinized and rehydrated. BSA (1%) in Tris-buffered saline with 0.25% Tween (TBST) was added to the slides for 30 min at RT. Cadaveric cat kidneys were stained in order to examine autoantibody binding in the kidney. The goat anti-cat IgG conjugated FITC (KPL) at a dilution of 1:200 was dropped onto the slide, and the slide incubated for 1 h at RT. Nuclei were counterstained with 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride (DAPI; Sigma Aldrich, USA). The slides were observed under a fluorescence microscope (Zeiss, Germany). Cadaveric cat kidneys, positive for kidney-bound antibodies by direct immunofluorescence, were examined histologically by applying hematoxylin and eosin (H&E) stain [26].\nThe detection of antibodies to kidney tissues in cat sera was performed by following the same procedure. The sections were cut from healthy kidneys, with each section containing cortex and medulla regions. Serum samples were stained on this kidney section. Cat serum was diluted to 1:100 with 1% BSA in TBST, dropped onto slides. The steps after serum sample staining were performed as described for the cadaveric kidneys.", "Proteins from the healthy cat kidney extract or the CRFK cell line were run on sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE), and immunoblotting was carried out, as previously described [25], with a slight modification. Briefly, 25 µg of cat kidney proteins or 100 µg of CRFK cell line protein were loaded into wells of 12.5% gel and run for 90 min at 100 V. The SDS-PAGE gel was then blotted to a polyvinylidene difluoride membrane (Thermo Scientific, USA). The 5% BSA in TBST was added to the membrane to block nonspecific binding. Diluted cat sera (dilution of 1:200 for kidney extract and 1:100 for CRFK protein) were added to the membrane blotted with kidney and CRFK cell line proteins. The HRP-conjugated goat anti-cat IgG secondary antibody (dilution of 1:1,000 for kidney extract and 1:800 for CRFK protein) was then added to the membrane. After washing, the 3,3′-diaminobenzidine tetrahydrochloride (DAB; Thermo Scientific) substrate was added to the membrane for a 30 sec exposure and the protein band appeared. The molecular weight (M.W.) of protein bands was determined by using image analysis software (GeneTools, USA).", "Sample size estimation, a minimal sample size of at least 80 cats was calculated by performing power analysis based on the assumption of a finite population proportion expected to be 50% of vaccinated cats that had autoantibodies in the serum with 95% confidence interval and 10% error [27].\nThe statistical analyses used in this study included the following: t-test for determining the p value; odds ratio (OR) for the association between cats with and without antibody to FVRCP antigen and anti-kidney autoantibody; and Spearman's rank correlation and Pearson's χ2 test for the correlation assessment. The sensitivity and specificity of the ELISA developed in this study were calculated by examining the receiver operating characteristic curve (ROC curve). Statistical significance was designated at a p value of < 0.05.", "Profile of anti-FVRCP antibody levels in cat sera All FVRCP-vaccinated cats were tested firstly for antibody to FVRCP antigen. Unvaccinated cats were tested together as negative sera in order to find a cut-off value. Determination of the cut-off value according to sensitivity and specificity is shown in Table 3. An optical density (O.D.) cut-off value of > 0.186 was calculated by analyzing the ROC curve; the chosen cut-off value had 50% sensitivity and 60% specificity. The O.D. cut-off value had a relatively high specificity, which was considered a priority in order to reduce false-positive results. The profiles of the antibodies against the FVRCP antigen in unvaccinated and vaccinated cats are shown in Fig. 1. Thirteen percent (9/69) and 66% (57/87) of unvaccinated and FVRCP-vaccinated cats, respectively, were positive for the anti-FVRCP antibody. Nearly half of the vaccinated cats did not show anti-FVRCP antibody presence.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats.\nAll FVRCP-vaccinated cats were tested firstly for antibody to FVRCP antigen. Unvaccinated cats were tested together as negative sera in order to find a cut-off value. Determination of the cut-off value according to sensitivity and specificity is shown in Table 3. An optical density (O.D.) cut-off value of > 0.186 was calculated by analyzing the ROC curve; the chosen cut-off value had 50% sensitivity and 60% specificity. The O.D. cut-off value had a relatively high specificity, which was considered a priority in order to reduce false-positive results. The profiles of the antibodies against the FVRCP antigen in unvaccinated and vaccinated cats are shown in Fig. 1. Thirteen percent (9/69) and 66% (57/87) of unvaccinated and FVRCP-vaccinated cats, respectively, were positive for the anti-FVRCP antibody. Nearly half of the vaccinated cats did not show anti-FVRCP antibody presence.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats.\nProfile of antibodies that bind to kidney tissues in cat sera Unvaccinated and vaccinated sera were evaluated for antibodies to healthy cat kidney extracts in the optimized ELISA. Determination of the cut-off value according to sensitivity and specificity levels is shown in Table 4. The cut-off O.D. value of cats with antibodies that bind to kidney tissues, calculated by ROC curve analysis, was ≥ 0.349, which had 70% sensitivity and 64% specificity. The chosen O.D. cut-off value had a relatively high sensitivity, which was considered a priority in order to screen for antibodies that bind to kidney tissues. The profiles of antibodies that had bound to kidney tissues in unvaccinated and vaccinated cats are shown in Fig. 2. Antibodies that reacted against healthy cat kidney extracts were detected in 32% (22/69) and 47% (41/87) of the unvaccinated and FVRCP-vaccinated cats, respectively. Although FVRCP-vaccinated cats typically had higher positive antibody levels (i.e., higher ELISA O.D.) bound to cat kidney tissues than that of non-vaccinated cats, there was no significant difference in the antibody bound to cat kidney tissue results between unvaccinated and FVRCP-vaccinated cats (p = 0.055; test of proportion statistic).\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats.\nUnvaccinated and vaccinated sera were evaluated for antibodies to healthy cat kidney extracts in the optimized ELISA. Determination of the cut-off value according to sensitivity and specificity levels is shown in Table 4. The cut-off O.D. value of cats with antibodies that bind to kidney tissues, calculated by ROC curve analysis, was ≥ 0.349, which had 70% sensitivity and 64% specificity. The chosen O.D. cut-off value had a relatively high sensitivity, which was considered a priority in order to screen for antibodies that bind to kidney tissues. The profiles of antibodies that had bound to kidney tissues in unvaccinated and vaccinated cats are shown in Fig. 2. Antibodies that reacted against healthy cat kidney extracts were detected in 32% (22/69) and 47% (41/87) of the unvaccinated and FVRCP-vaccinated cats, respectively. Although FVRCP-vaccinated cats typically had higher positive antibody levels (i.e., higher ELISA O.D.) bound to cat kidney tissues than that of non-vaccinated cats, there was no significant difference in the antibody bound to cat kidney tissue results between unvaccinated and FVRCP-vaccinated cats (p = 0.055; test of proportion statistic).\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats.\nKidney-bound antibody detection by direct immunofluorescence Twenty-six paraffin-embedded cat kidneys were screened for antibodies that bind to kidney tissues. Regarding their clinical diseases, cats died from viral infection (n = 15), kidney disease (n = 2), disseminated intravascular coagulation (DIC; n = 2), endotoxemia (n = 2), viral and 2nd bacterial infection (n = 1), heatstroke (n = 1), feline hypertrophic cardiomyopathy (FHC; n = 1), septicemia (n = 1), and chronic bronchopneumonia (n = 1). Cat histories and diagnoses from the paraffin-embedded cat kidney samples are shown in Table 5.\nnd = no data, DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; SD, sudden death; HL, hind limb; FeLV, feline leukemia virus; DIC, disseminated intravascular coagulation; KD, kidney disease; FPV, feline panleukopenia virus; FIP, feline infectious peritonitis; FHC, feline hypertrophic cardiomyopathy.\naMicroscopic findings presented only for kidney samples. Lesions in other organs are not presented in this table. bDiagnosis was based on gross and histopathological examination. cHealthy cat was used as a control for kidney tissue staining and antigen preparation.\nAntibodies that bind at the apical border of the kidney tubule and interstitial cells were detected in 15% (4/26) of the cats tested. The profiles of the 4 cats with positive kidney-bound antibodies were as follows: kidney-bound antibodies were present at the apical border of the kidney tubules in cat 1 (Fig. 3A), while those in cats 2, 3, and 4 were present at the interstitial cells (Fig. 3B-D). H&E-stained kidney sections showed severe acute diffuse hydropic degeneration in the tubules in cat 1 (Fig. 3E). H&E-stained kidney sections showed severe chronic multifocal non-suppurative interstitial nephritis, multifocal necrosis, and multifocal tubular degeneration in cat 2 (Fig. 3F). H&E-stained kidney sections showed multifocal inflammatory cell aggregation and diffused tubular necrosis in cat 3 (Fig. 3G), and H&E-stained kidney sections showed severe subacute focally extensive necrotic and non-suppurative nephritis in cat 4 (Fig. 3H). It was noted that the positive fluorescence signals were located in the same area of inflammatory and degenerative tissues of cadaveric cats. These cats were diagnosed pathologically as having viral infection and had unknown vaccination histories when they died.\nH&E, hematoxylin and eosin; FITC, fluorescein isothiocyanate; IgG, immunoglobulin G; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride.\nTwenty-six paraffin-embedded cat kidneys were screened for antibodies that bind to kidney tissues. Regarding their clinical diseases, cats died from viral infection (n = 15), kidney disease (n = 2), disseminated intravascular coagulation (DIC; n = 2), endotoxemia (n = 2), viral and 2nd bacterial infection (n = 1), heatstroke (n = 1), feline hypertrophic cardiomyopathy (FHC; n = 1), septicemia (n = 1), and chronic bronchopneumonia (n = 1). Cat histories and diagnoses from the paraffin-embedded cat kidney samples are shown in Table 5.\nnd = no data, DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; SD, sudden death; HL, hind limb; FeLV, feline leukemia virus; DIC, disseminated intravascular coagulation; KD, kidney disease; FPV, feline panleukopenia virus; FIP, feline infectious peritonitis; FHC, feline hypertrophic cardiomyopathy.\naMicroscopic findings presented only for kidney samples. Lesions in other organs are not presented in this table. bDiagnosis was based on gross and histopathological examination. cHealthy cat was used as a control for kidney tissue staining and antigen preparation.\nAntibodies that bind at the apical border of the kidney tubule and interstitial cells were detected in 15% (4/26) of the cats tested. The profiles of the 4 cats with positive kidney-bound antibodies were as follows: kidney-bound antibodies were present at the apical border of the kidney tubules in cat 1 (Fig. 3A), while those in cats 2, 3, and 4 were present at the interstitial cells (Fig. 3B-D). H&E-stained kidney sections showed severe acute diffuse hydropic degeneration in the tubules in cat 1 (Fig. 3E). H&E-stained kidney sections showed severe chronic multifocal non-suppurative interstitial nephritis, multifocal necrosis, and multifocal tubular degeneration in cat 2 (Fig. 3F). H&E-stained kidney sections showed multifocal inflammatory cell aggregation and diffused tubular necrosis in cat 3 (Fig. 3G), and H&E-stained kidney sections showed severe subacute focally extensive necrotic and non-suppurative nephritis in cat 4 (Fig. 3H). It was noted that the positive fluorescence signals were located in the same area of inflammatory and degenerative tissues of cadaveric cats. These cats were diagnosed pathologically as having viral infection and had unknown vaccination histories when they died.\nH&E, hematoxylin and eosin; FITC, fluorescein isothiocyanate; IgG, immunoglobulin G; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride.\nSerum antibodies against kidney tissues detected by indirect immunofluorescence When sera from the 69 unvaccinated and 87 FVRCP-vaccinated cats were applied to the healthy cat kidney tissue sections, antibodies that bound to the kidney tissue were detected in 15% (10 cats) and 12% (10 cats), respectively (Fig. 4). However, there was no statistical difference in the positive autoantibody results between the two groups. Two patterns of kidney-bound antibodies were observed at the cytoplasm and apical brush border of the proximal and distal tubules. Each cat presented individual profiles, with some showing kidney-bound antibodies in the cytoplasm, while others showed them in the apical border of the kidney tubules.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride.\nWhen sera from the 69 unvaccinated and 87 FVRCP-vaccinated cats were applied to the healthy cat kidney tissue sections, antibodies that bound to the kidney tissue were detected in 15% (10 cats) and 12% (10 cats), respectively (Fig. 4). However, there was no statistical difference in the positive autoantibody results between the two groups. Two patterns of kidney-bound antibodies were observed at the cytoplasm and apical brush border of the proximal and distal tubules. Each cat presented individual profiles, with some showing kidney-bound antibodies in the cytoplasm, while others showed them in the apical border of the kidney tubules.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride.\nRecognition of kidney and CRFK cell line proteins by cat sera In a previous study using similar Western immunoblots, the proteins recognized most frequently had apparent molecular masses of 47, 40, and 38 kDa. According to Whittemore et al.'s study [28], band appearances, including those with M.W. of 47, 40, and 38 kDa, were considered.\nTwenty cats with positive indirect immunofluorescence results were analyzed to provide protein recognition. All of the cats showed a similar pattern, but additional proteins were recognized in 7 cats (Fig. 5). These additional proteins had M.W. of 47, 40, 38, and 20 kDa. When using the CRFK cell line proteins as an antigen, most cats showed similar band patterns, but 8/20 cats showed additional bands. These additional cat antibodies were bound to proteins at M.W. of 47, 38, and 20 kDa. It was noted that no antibody to a 40 kDa protein was detected; considered to be a result of using kidney protein. Two unvaccinated cats showed a band at M.W. 38 for both the CRFK and kidney proteins. These unvaccinated cats were then tested by a commercial VacciCheckR kit and were FVRCP positive.\nCRFK, Crandell-Rees feline renal cell line; U code, unvaccinated cats; V code, FVRCP-vaccinated cats.\nIn a previous study using similar Western immunoblots, the proteins recognized most frequently had apparent molecular masses of 47, 40, and 38 kDa. According to Whittemore et al.'s study [28], band appearances, including those with M.W. of 47, 40, and 38 kDa, were considered.\nTwenty cats with positive indirect immunofluorescence results were analyzed to provide protein recognition. All of the cats showed a similar pattern, but additional proteins were recognized in 7 cats (Fig. 5). These additional proteins had M.W. of 47, 40, 38, and 20 kDa. When using the CRFK cell line proteins as an antigen, most cats showed similar band patterns, but 8/20 cats showed additional bands. These additional cat antibodies were bound to proteins at M.W. of 47, 38, and 20 kDa. It was noted that no antibody to a 40 kDa protein was detected; considered to be a result of using kidney protein. Two unvaccinated cats showed a band at M.W. 38 for both the CRFK and kidney proteins. These unvaccinated cats were then tested by a commercial VacciCheckR kit and were FVRCP positive.\nCRFK, Crandell-Rees feline renal cell line; U code, unvaccinated cats; V code, FVRCP-vaccinated cats.\nProfile of antibodies that bind to kidney tissues in cats with positive and negative antibodies to FVRCP antigen As only 66% of all FVRCP-vaccinated cats produced antibody responses after vaccination, the relationship of antibodies that bind to kidney tissues was compared with the anti-FVRCP antibody instead of comparing between the unvaccinated and FVRCP-vaccinated cats. The profiles of antibodies that bind to kidney tissues in cats with positive and negative anti-FVRCP antibodies are shown in Fig. 6. Vaccinated cats with an antibody to the FVRCP antigen should have a greater chance of having an antibody to CRFK cell protein contamination during vaccine preparation. There was a difference in the prevalence of antibodies that bind to kidney tissues found in cats with and without antibodies to the FVRCP antigen. Among 156 cats, 66 and 90 cats were positive and negative for antibody to the FVRCP antigen, respectively. Fifty-five percent (36/66) of cats with positive antibodies to FVRCP antigen had antibodies that bind to kidney tissues. However, 30% (27/90) of cats with negative antibodies to the FVRCP antigen had antibodies that bind to kidney tissues. Based on χ2 test results, positive antibodies that bind to kidney tissues were associated significantly with the anti-FVRCP antibody (p = 0.002).\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; O.D., optical density; +Ab, positive antibody; −Ab, negative antibody.\nThe association of anti-cat kidney tissues in cats with positive and negative antibodies to FVRCP antigen was compared by determining the OR. The results showed that cats with positive antibodies to FVRCP antigen had 2.8 times more risk of having antibodies that bind to kidney tissues (OR, 2.8; 95% confidence interval, 1.37–5.73).\nAs only 66% of all FVRCP-vaccinated cats produced antibody responses after vaccination, the relationship of antibodies that bind to kidney tissues was compared with the anti-FVRCP antibody instead of comparing between the unvaccinated and FVRCP-vaccinated cats. The profiles of antibodies that bind to kidney tissues in cats with positive and negative anti-FVRCP antibodies are shown in Fig. 6. Vaccinated cats with an antibody to the FVRCP antigen should have a greater chance of having an antibody to CRFK cell protein contamination during vaccine preparation. There was a difference in the prevalence of antibodies that bind to kidney tissues found in cats with and without antibodies to the FVRCP antigen. Among 156 cats, 66 and 90 cats were positive and negative for antibody to the FVRCP antigen, respectively. Fifty-five percent (36/66) of cats with positive antibodies to FVRCP antigen had antibodies that bind to kidney tissues. However, 30% (27/90) of cats with negative antibodies to the FVRCP antigen had antibodies that bind to kidney tissues. Based on χ2 test results, positive antibodies that bind to kidney tissues were associated significantly with the anti-FVRCP antibody (p = 0.002).\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; O.D., optical density; +Ab, positive antibody; −Ab, negative antibody.\nThe association of anti-cat kidney tissues in cats with positive and negative antibodies to FVRCP antigen was compared by determining the OR. The results showed that cats with positive antibodies to FVRCP antigen had 2.8 times more risk of having antibodies that bind to kidney tissues (OR, 2.8; 95% confidence interval, 1.37–5.73).\nCorrelation between creatinine and BUN levels and antibodies that bind to kidney tissues The mean ± SD of the creatinine concentrations in cats with and without antibodies that bind to healthy cat kidney extracts were 2.04 ± 1.62 mg/dL and 1.76 ± 1.41 mg/dL, respectively, whereas the mean ± SD of the BUN concentrations were 34.78 ± 26.79 mg/dL and 33.06 ± 31.54 mg/dL, respectively (Fig. 7). Eight of 156 (5%) cats with positive antibodies that bind to kidney tissues had creatinine and BUN levels above the normal range (creatinine 0.9–2.2 mg/dL, BUN 19–34 mg/dL) [22], which is considered a criterion indicating kidney disease. No correlation was found above the normal range between the creatinine and BUN levels and positive antibodies that bind to kidney tissues (Spearman's rho = 0.048).\nBUN, blood urea nitrogen; +Ab, positive antibody; −Ab, negative antibody.\nThe mean ± SD of the creatinine concentrations in cats with and without antibodies that bind to healthy cat kidney extracts were 2.04 ± 1.62 mg/dL and 1.76 ± 1.41 mg/dL, respectively, whereas the mean ± SD of the BUN concentrations were 34.78 ± 26.79 mg/dL and 33.06 ± 31.54 mg/dL, respectively (Fig. 7). Eight of 156 (5%) cats with positive antibodies that bind to kidney tissues had creatinine and BUN levels above the normal range (creatinine 0.9–2.2 mg/dL, BUN 19–34 mg/dL) [22], which is considered a criterion indicating kidney disease. No correlation was found above the normal range between the creatinine and BUN levels and positive antibodies that bind to kidney tissues (Spearman's rho = 0.048).\nBUN, blood urea nitrogen; +Ab, positive antibody; −Ab, negative antibody.\nAssociations among cat histories and serum antibodies that react to healthy kidney tissues Twenty cats with serum antibodies bound to the healthy cat kidney sections in the direct immunofluorescence assay were examined. Clinical history and laboratory findings, as well as serum antibodies against healthy cat kidney lysates, were recorded (Table 6). Fourteen cats were diagnosed as CKD; only one of them had positive kidney-bound antibodies detected by direct immunofluorescence, whereas 4 cats had antibodies that bind to kidney tissues detected in serum by ELISA. It was interesting that a FVRCP-vaccinated cat (V47) was positive for kidney-bound antibodies, a high antibody response to FVRCP antigen, a high level of antibodies that bind to kidney tissues, and a creatinine level slightly above the normal range. However, it is unknown whether the autoantibody found in this cat was pathogenic; a follow-up study will be performed.\n-, none; +ve, positive; −ve, negative; U code, unvaccinated cats; V code, FVRCP-vaccinated cats; Vac., number of vaccinations; Last vac., time since the last vaccination; N, normal cats; CKD, chronic kidney disease; FPV, feline parvovirus; FIV, feline immunodeficiency virus; Cr, creatinine; BUN, blood urea nitrogen; Ab, antibody; FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; IF pattern, immunofluorescence pattern; A, apical border of the kidney tubule; C, cytoplasm of the kidney tubule.\naUpper respiratory clinical symptom; bLaboratory diagnosis using Bionote FPV Ag and Witness FeLV-FIV test kits.\nIn this study, 6 of the 20 cats with positive kidney-bound antibodies based on indirect immunofluorescence included one with FPV, one with a feline immunodeficiency virus (FIV) infection, and 4 with no available laboratory disease confirmation but had upper respiratory clinical signs.\nTwenty cats with serum antibodies bound to the healthy cat kidney sections in the direct immunofluorescence assay were examined. Clinical history and laboratory findings, as well as serum antibodies against healthy cat kidney lysates, were recorded (Table 6). Fourteen cats were diagnosed as CKD; only one of them had positive kidney-bound antibodies detected by direct immunofluorescence, whereas 4 cats had antibodies that bind to kidney tissues detected in serum by ELISA. It was interesting that a FVRCP-vaccinated cat (V47) was positive for kidney-bound antibodies, a high antibody response to FVRCP antigen, a high level of antibodies that bind to kidney tissues, and a creatinine level slightly above the normal range. However, it is unknown whether the autoantibody found in this cat was pathogenic; a follow-up study will be performed.\n-, none; +ve, positive; −ve, negative; U code, unvaccinated cats; V code, FVRCP-vaccinated cats; Vac., number of vaccinations; Last vac., time since the last vaccination; N, normal cats; CKD, chronic kidney disease; FPV, feline parvovirus; FIV, feline immunodeficiency virus; Cr, creatinine; BUN, blood urea nitrogen; Ab, antibody; FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; IF pattern, immunofluorescence pattern; A, apical border of the kidney tubule; C, cytoplasm of the kidney tubule.\naUpper respiratory clinical symptom; bLaboratory diagnosis using Bionote FPV Ag and Witness FeLV-FIV test kits.\nIn this study, 6 of the 20 cats with positive kidney-bound antibodies based on indirect immunofluorescence included one with FPV, one with a feline immunodeficiency virus (FIV) infection, and 4 with no available laboratory disease confirmation but had upper respiratory clinical signs.", "All FVRCP-vaccinated cats were tested firstly for antibody to FVRCP antigen. Unvaccinated cats were tested together as negative sera in order to find a cut-off value. Determination of the cut-off value according to sensitivity and specificity is shown in Table 3. An optical density (O.D.) cut-off value of > 0.186 was calculated by analyzing the ROC curve; the chosen cut-off value had 50% sensitivity and 60% specificity. The O.D. cut-off value had a relatively high specificity, which was considered a priority in order to reduce false-positive results. The profiles of the antibodies against the FVRCP antigen in unvaccinated and vaccinated cats are shown in Fig. 1. Thirteen percent (9/69) and 66% (57/87) of unvaccinated and FVRCP-vaccinated cats, respectively, were positive for the anti-FVRCP antibody. Nearly half of the vaccinated cats did not show anti-FVRCP antibody presence.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats.", "Unvaccinated and vaccinated sera were evaluated for antibodies to healthy cat kidney extracts in the optimized ELISA. Determination of the cut-off value according to sensitivity and specificity levels is shown in Table 4. The cut-off O.D. value of cats with antibodies that bind to kidney tissues, calculated by ROC curve analysis, was ≥ 0.349, which had 70% sensitivity and 64% specificity. The chosen O.D. cut-off value had a relatively high sensitivity, which was considered a priority in order to screen for antibodies that bind to kidney tissues. The profiles of antibodies that had bound to kidney tissues in unvaccinated and vaccinated cats are shown in Fig. 2. Antibodies that reacted against healthy cat kidney extracts were detected in 32% (22/69) and 47% (41/87) of the unvaccinated and FVRCP-vaccinated cats, respectively. Although FVRCP-vaccinated cats typically had higher positive antibody levels (i.e., higher ELISA O.D.) bound to cat kidney tissues than that of non-vaccinated cats, there was no significant difference in the antibody bound to cat kidney tissue results between unvaccinated and FVRCP-vaccinated cats (p = 0.055; test of proportion statistic).\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats.", "Twenty-six paraffin-embedded cat kidneys were screened for antibodies that bind to kidney tissues. Regarding their clinical diseases, cats died from viral infection (n = 15), kidney disease (n = 2), disseminated intravascular coagulation (DIC; n = 2), endotoxemia (n = 2), viral and 2nd bacterial infection (n = 1), heatstroke (n = 1), feline hypertrophic cardiomyopathy (FHC; n = 1), septicemia (n = 1), and chronic bronchopneumonia (n = 1). Cat histories and diagnoses from the paraffin-embedded cat kidney samples are shown in Table 5.\nnd = no data, DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; SD, sudden death; HL, hind limb; FeLV, feline leukemia virus; DIC, disseminated intravascular coagulation; KD, kidney disease; FPV, feline panleukopenia virus; FIP, feline infectious peritonitis; FHC, feline hypertrophic cardiomyopathy.\naMicroscopic findings presented only for kidney samples. Lesions in other organs are not presented in this table. bDiagnosis was based on gross and histopathological examination. cHealthy cat was used as a control for kidney tissue staining and antigen preparation.\nAntibodies that bind at the apical border of the kidney tubule and interstitial cells were detected in 15% (4/26) of the cats tested. The profiles of the 4 cats with positive kidney-bound antibodies were as follows: kidney-bound antibodies were present at the apical border of the kidney tubules in cat 1 (Fig. 3A), while those in cats 2, 3, and 4 were present at the interstitial cells (Fig. 3B-D). H&E-stained kidney sections showed severe acute diffuse hydropic degeneration in the tubules in cat 1 (Fig. 3E). H&E-stained kidney sections showed severe chronic multifocal non-suppurative interstitial nephritis, multifocal necrosis, and multifocal tubular degeneration in cat 2 (Fig. 3F). H&E-stained kidney sections showed multifocal inflammatory cell aggregation and diffused tubular necrosis in cat 3 (Fig. 3G), and H&E-stained kidney sections showed severe subacute focally extensive necrotic and non-suppurative nephritis in cat 4 (Fig. 3H). It was noted that the positive fluorescence signals were located in the same area of inflammatory and degenerative tissues of cadaveric cats. These cats were diagnosed pathologically as having viral infection and had unknown vaccination histories when they died.\nH&E, hematoxylin and eosin; FITC, fluorescein isothiocyanate; IgG, immunoglobulin G; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride.", "When sera from the 69 unvaccinated and 87 FVRCP-vaccinated cats were applied to the healthy cat kidney tissue sections, antibodies that bound to the kidney tissue were detected in 15% (10 cats) and 12% (10 cats), respectively (Fig. 4). However, there was no statistical difference in the positive autoantibody results between the two groups. Two patterns of kidney-bound antibodies were observed at the cytoplasm and apical brush border of the proximal and distal tubules. Each cat presented individual profiles, with some showing kidney-bound antibodies in the cytoplasm, while others showed them in the apical border of the kidney tubules.\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride.", "In a previous study using similar Western immunoblots, the proteins recognized most frequently had apparent molecular masses of 47, 40, and 38 kDa. According to Whittemore et al.'s study [28], band appearances, including those with M.W. of 47, 40, and 38 kDa, were considered.\nTwenty cats with positive indirect immunofluorescence results were analyzed to provide protein recognition. All of the cats showed a similar pattern, but additional proteins were recognized in 7 cats (Fig. 5). These additional proteins had M.W. of 47, 40, 38, and 20 kDa. When using the CRFK cell line proteins as an antigen, most cats showed similar band patterns, but 8/20 cats showed additional bands. These additional cat antibodies were bound to proteins at M.W. of 47, 38, and 20 kDa. It was noted that no antibody to a 40 kDa protein was detected; considered to be a result of using kidney protein. Two unvaccinated cats showed a band at M.W. 38 for both the CRFK and kidney proteins. These unvaccinated cats were then tested by a commercial VacciCheckR kit and were FVRCP positive.\nCRFK, Crandell-Rees feline renal cell line; U code, unvaccinated cats; V code, FVRCP-vaccinated cats.", "As only 66% of all FVRCP-vaccinated cats produced antibody responses after vaccination, the relationship of antibodies that bind to kidney tissues was compared with the anti-FVRCP antibody instead of comparing between the unvaccinated and FVRCP-vaccinated cats. The profiles of antibodies that bind to kidney tissues in cats with positive and negative anti-FVRCP antibodies are shown in Fig. 6. Vaccinated cats with an antibody to the FVRCP antigen should have a greater chance of having an antibody to CRFK cell protein contamination during vaccine preparation. There was a difference in the prevalence of antibodies that bind to kidney tissues found in cats with and without antibodies to the FVRCP antigen. Among 156 cats, 66 and 90 cats were positive and negative for antibody to the FVRCP antigen, respectively. Fifty-five percent (36/66) of cats with positive antibodies to FVRCP antigen had antibodies that bind to kidney tissues. However, 30% (27/90) of cats with negative antibodies to the FVRCP antigen had antibodies that bind to kidney tissues. Based on χ2 test results, positive antibodies that bind to kidney tissues were associated significantly with the anti-FVRCP antibody (p = 0.002).\nFVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; O.D., optical density; +Ab, positive antibody; −Ab, negative antibody.\nThe association of anti-cat kidney tissues in cats with positive and negative antibodies to FVRCP antigen was compared by determining the OR. The results showed that cats with positive antibodies to FVRCP antigen had 2.8 times more risk of having antibodies that bind to kidney tissues (OR, 2.8; 95% confidence interval, 1.37–5.73).", "The mean ± SD of the creatinine concentrations in cats with and without antibodies that bind to healthy cat kidney extracts were 2.04 ± 1.62 mg/dL and 1.76 ± 1.41 mg/dL, respectively, whereas the mean ± SD of the BUN concentrations were 34.78 ± 26.79 mg/dL and 33.06 ± 31.54 mg/dL, respectively (Fig. 7). Eight of 156 (5%) cats with positive antibodies that bind to kidney tissues had creatinine and BUN levels above the normal range (creatinine 0.9–2.2 mg/dL, BUN 19–34 mg/dL) [22], which is considered a criterion indicating kidney disease. No correlation was found above the normal range between the creatinine and BUN levels and positive antibodies that bind to kidney tissues (Spearman's rho = 0.048).\nBUN, blood urea nitrogen; +Ab, positive antibody; −Ab, negative antibody.", "Twenty cats with serum antibodies bound to the healthy cat kidney sections in the direct immunofluorescence assay were examined. Clinical history and laboratory findings, as well as serum antibodies against healthy cat kidney lysates, were recorded (Table 6). Fourteen cats were diagnosed as CKD; only one of them had positive kidney-bound antibodies detected by direct immunofluorescence, whereas 4 cats had antibodies that bind to kidney tissues detected in serum by ELISA. It was interesting that a FVRCP-vaccinated cat (V47) was positive for kidney-bound antibodies, a high antibody response to FVRCP antigen, a high level of antibodies that bind to kidney tissues, and a creatinine level slightly above the normal range. However, it is unknown whether the autoantibody found in this cat was pathogenic; a follow-up study will be performed.\n-, none; +ve, positive; −ve, negative; U code, unvaccinated cats; V code, FVRCP-vaccinated cats; Vac., number of vaccinations; Last vac., time since the last vaccination; N, normal cats; CKD, chronic kidney disease; FPV, feline parvovirus; FIV, feline immunodeficiency virus; Cr, creatinine; BUN, blood urea nitrogen; Ab, antibody; FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; IF pattern, immunofluorescence pattern; A, apical border of the kidney tubule; C, cytoplasm of the kidney tubule.\naUpper respiratory clinical symptom; bLaboratory diagnosis using Bionote FPV Ag and Witness FeLV-FIV test kits.\nIn this study, 6 of the 20 cats with positive kidney-bound antibodies based on indirect immunofluorescence included one with FPV, one with a feline immunodeficiency virus (FIV) infection, and 4 with no available laboratory disease confirmation but had upper respiratory clinical signs.", "Based on an increase in reports about the frequency of vaccinations and its association with autoimmune disease, it is reasonable to speculate that frequent FVRCP vaccinations in cats might induce antibodies that bind to kidney tissues, leading to kidney diseases. The prevalence of finding antibodies that bind to kidney tissues and the associated risk with FVRCP vaccination were investigated in this study, in which detection of antibodies that bind to kidney tissues was laboratory-confirmed, indicating a higher risk of antibodies that bind to kidney tissues in cats with positive antibodies to FVRCP antigen. There was no statistically significant difference in finding antibodies to cat kidney tissues between unvaccinated and vaccinated cats. However, positive antibodies that bind to kidney tissues were significantly associated with the anti-FVRCP antibody. The odds ratio results showed that the association of finding antibodies that bind to kidney tissues in cats with antibody to FVRCP antigen was 2.8 times higher than in those without it. In addition, 7 of 10 FVRCP-vaccinated cats, which were shown to have kidney-bound antibodies by indirect immunofluorescence analysis, had multiple vaccinations (2–5 times). A previously mentioned study showed that although parenteral administration of multiple FVRCP vaccines or CRFK cell lysate in cats induced antibodies to kidney tissue lysates, no kidney disease had been observed during the 56-week study period [18]. However, it was shown that after 3 cats were immunized with CRFK cell line lysate, one exhibited lymphocytic-plasmacytic interstitial nephritis after receiving 13 inoculations in 2 years [29].\nWhen considering the risk of FVRCP vaccination, there was no statistically significant difference in finding antibodies to cat kidney tissues between unvaccinated and vaccinated cats. Several factors affect vaccination responses such as the health of animals, vaccine company, and time of sample collection since the last vaccination. As the purpose of this study was to screen for anti-kidney proteins (feline CRFK cell line) that are contaminants in FVRCP vaccine preparation, the finding of anti-FVRCP in vaccinated cats would confirm that the vaccination was successful; therefore, indicating a greater chance of finding anti-kidney protein contamination. As only 64% of the FVRCP-vaccinated cats showed antibodies to the FVRCP antigen in this study, it was considered that time since the last vaccination or the vaccination protocol could affect both anti-FVRCP titer and anti-kidney antibody titer. However, there was no clear correlation between the positive anti-FVRCP result and time since the last vaccination in this study. This result was inconsistent with those in other studies in which the factor time since the last vaccination was associated with the presence of pre-vaccination when using ELISA antibody titers; however, there was no association with viral neutralizing antibodies [3031].\nA limitation in the detection of the antibodies to FVRCP antigen in this study was related to sensitivity and specificity. As the commercial gold standard test of ELISA had not been used widely or was not available, an in-house ELISA was developed, and an internal quality control system was applied. The positive and negative serum controls were found by interviewing pet owners about their cat's history. Large samples were collected in order to calculate the cut-off value more precisely. It was considered that the FVRCP antigen preparation contains FHV-1, FCV, and FPV, and many cats are exposed naturally to these viruses, leading to positive antibody results against FVRCP protein extracts in cats, even if they were not vaccinated. This was a limitation in the interpretation of this study of a cat population in which natural exposures could not be avoided. Thirteen percent of unvaccinated cats were positive to anti-FVRCP antibodies with very low titer or ELISA O.D. values that were little above the cut-off value. They were examined by using a commercial test kit for antibodies to FVRCP, and almost all of them (6/7 or 86%) showed positive results for both the in-house ELISA and the commercial test kit. Therefore, these unvaccinated cats might have been exposed to natural infections. In other studies, surveillance results for antibodies to FCV and FHV-1 ranged from 7%–23% in unvaccinated cats or cat populations [3032]. In addition to natural exposures, maternally derived anti-FVRCP antibodies can produce significant titers in young kittens; they displayed antibody titers against FPV at 8 and 12 weeks of age and up to 20 weeks of age in some kittens [33]. However, two unvaccinated kittens (aged 5 months) were found to have negative anti-FVRCP and anti-cat kidney tissues in this study.\nThe kidney-bound antibody found in cats in this study showed a similar profile to anti-mitochondrial antibody results in human autoimmune hepatitis, in which the autoantibody stained the cytoplasm of the kidney tubule and showed increased intensity at the distal tubular cells [34]. In addition, some cats showed a profile of antibody binding at the apical border of the proximal convoluted tubule, similar to that in human patients with immune complex tubule-interstitial nephritis [35]. It was considered that, currently, CRFK cells appear phenotypically similar to fibroblasts rather than tubular epithelial cells. This was interesting, as antibodies bound to the proximal and distal tubules of cat kidneys in this study were inconsistent with the current characterization of CRFK cells as a fibroblast phenotype. Neoplastic transformation commonly occurs, and the CRFK cell line utilized for viral vaccine preparation might be in a passage related to epithelial-to-mesenchymal transition [36].\nFour of the 26 embedded cat kidney tissues of cadaveric cats exhibited kidney-bound antibodies at the apical border of the kidney tubules and interstitial cells. The diagnoses were based on clinical symptoms and histopathological results showing altered cell structures, cytopathic effects, and a particular type of cell infiltration and inflammation based on clinical and histological diagnosis standards [37]. These cats were morphologically suspected to be infected and died due to viral infection. Several infections have been shown to associate with autoimmune diseases [3839]. Viral infection associated with an autoantibody to kidney tissue has been reported in FIV infection [40]. Similar to that previous report, in our study, one cat with kidney-bound antibodies had an FIV infection.\nAntibodies that bind to kidney tissues in cats were shown to recognize kidney proteins with M.W. of 47, 40, 38, and 20 kDa. Protein bands with M.W. of 47 and 40 kDa have been identified as alpha-enolase and annexin A2, respectively [28]. These 2 proteins were found only in FVRCP-vaccinated cats with kidney-bound antibodies in cytoplasm, not on the apical surface of the kidney tubule (as detected by immunofluorescence assays). The 38 kDa band is reportedly a macrophage capping protein, also known as Cap G, distributed primarily in cytosol, although it may have a nuclear distribution in some tissues [4142]. Based on database searches, the 20 kDa protein in this study did not match any previously reported cat kidney protein. It was noticed that some unvaccinated cats had antibodies to the 38 kDa band. This might be due to natural exposure to the virus; in those cats, the antibodies to FVRCP results were positive when using a commercial test kit but not the in-house ELISA. A causative role of viral infection in renal disease has been reported in FIV in cats and HIV in humans [434445]. Thus, antibodies responding to the FPV, FHV-1, or FCV viruses, which might have cross-reactivity or pathogenesis involvement of the kidney, are of interest and should be investigated further. Our study could not show directly that a higher frequency of FVRCP vaccination was associated with detecting antibodies bound to kidney tissues. However, the presence of antibodies to FVRCP was associated with a greater chance of having positive antibodies to kidney tissues. Nevertheless, repeat vaccination should be considered carefully, as some cats with positive kidney-bound antibodies appeared to have histories of more frequent FVRCP vaccination in this study. FVRCP-vaccinated cats can exhibit antibodies from two sources: virus- or CRFK cell protein-induced autoantibodies to kidney tissues. Based on the results presented in several studies, it appears that there might be no need to administer FVRCP vaccines more frequently than every three years after the 1-year booster vaccine, and the duration of vaccine-based immunity is possibly much longer [31]. Serological test results for antibodies against FPV, FCV, and FHV-1 can be used as an aid in determining the need for a vaccine [46].\nIn conclusion, this study could not show directly that the frequency of FVRCP vaccination was associated with finding antibodies to kidney tissues. However, having an anti-FVRCP antibody was associated with a greater chance of the presence of a positive antibody to kidney tissues. FVRCP-vaccinated cats can have antibodies derived from either virus or CRFK cell protein-induced autoantibodies. Thus, a feline vaccination schedule should be considered carefully, as over-vaccination might increase the risk of inducing the production of antibodies that bind to kidney tissues. Post-vaccination serology should be used as a guide in deciding the need for repeated vaccination in order to avoid adverse reactions and prevent the risk of vaccine-induced autoimmune disease." ]
[ "intro", "materials|methods", null, null, null, null, null, null, "results", null, null, null, null, null, null, null, null, "discussion" ]
[ "Kidney diseases", "autoantibodies", "vaccines", "immunofluorescence", "feline" ]
INTRODUCTION: Kidney disease can be divided into acute kidney injury and chronic kidney disease (CKD), both of which can lead to the same result: kidney failure [12]. CKD is one of the most common causes of illness and death in elderly domestic cats [34]. In an attempt to elucidate the risk factors associated with CKD, a longitudinal questionnaire and follow-up investigation revealed that frequent vaccinations and the severity of dental disease were factors associated with the development of CKD [5]. There are several reports that the frequency of vaccinations is associated with autoimmune diseases in animals and humans [678910]. Vaccines, especially viral vaccines, do not only contain antigens of the relevant organism, but also contain other ingredients, such as adjuvants, preservative materials, and tissue or cell culture proteins that are used when growing organisms [111213]. Tissue culture components that contaminate vaccines can induce immune responses and may cross-react with host tissue antigens, known as molecular mimicry [14151617]. Proteins from the Crandell-Rees feline renal cell line (CRFK), which was derived from feline kidney tissues, are used by some companies to grow feline herpesvirus 1 (FHV-1), feline calicivirus (FCV), and feline panleukopenia virus (FPV) for use in feline viral vaccines such as feline viral rhinotracheitis, calicivirus, and panleukopenia (FVRCP) vaccine. Remnant proteins from the CRFK cell line have been shown to induce antibodies to kidney tissue lysates in an experimental model [18]. Therefore, frequent or over-vaccination by FVRCP might be considered a risk for producing antibodies that bind to kidney tissues after vaccination. The FVRCP vaccine is a core vaccine that is used to immunize cats annually. However, viral vaccines usually induce a long-lasting immune response [1920]. The American Association of Feline Practitioners first recommended triennial rather than annual FVRCP revaccination in 1998 [21]. This study's primary aim was to estimate the prevalence of antibodies to proteins extracted from kidney tissues in unvaccinated cats and cats known to have been administered FVRCP vaccines. The secondary aim was an attempt to determine the localization of kidney-bound antibodies. MATERIALS AND METHODS: Sample collection A total of 156 serum samples were collected from 69 unvaccinated and 87 FVRCP-vaccinated cats aged between 4 months and 16 years. The FVRCP-vaccinated cats received at least one complete vaccination protocol, and blood sera were collected at least one month after vaccination. The sampled cats were from a local shelter or were owned cats that came to the Small Animal Hospital at Chiang Mai University, Thailand. Serum creatinine and blood urea nitrogen (BUN) concentrations and the number of FVRCP vaccinations in each cat were recorded. The normal standard value of serum creatinine and BUN is referenced from Duncan & Prasses's Veterinary Laboratory Medicine Clinical Pathology [22]. All serum samples were aliquoted and kept at −20°C until tested. Demographic data and vaccination history of unvaccinated and FVRCP-vaccinated cats are shown in Tables 1 and 2, respectively. Note: There were 69 unvaccinated cats. Cr, creatinine; BUN, blood urea nitrogen; DSH, Domestic Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla. aChronic kidney disease; bAcute kidney disease; and cFeline parvovirus. Note: There were 87 FVRCP-vaccinated cats. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla; Vac., number of vaccinations; Last vac., time since the last vaccination. aChronic kidney disease; bAcute kidney disease; cFeline immunodeficiency virus; and dFeline leukemia virus. A total of 26 paraffin-embedded cat kidneys from cats that had died from different causes were collected from the Veterinary Diagnostic Laboratory, Chiang Mai University. The kidneys from a healthy cat that had died in a traffic accident were collected and divided into two parts; 1) kept at −20°C for antigen preparations, and 2) fixed in 10% formalin and stored at room temperature (RT) for 16–18 h before tissue processing. This cat had no previous FVRCP vaccination history, and its kidneys were PCR tested as FPV-negative. Protocols applied in the animal experiments were approved by the Institutional Animal Care and Use Committee, Faculty of Veterinary Medicine, Chiang Mai University (approval No. R25/2559). A total of 156 serum samples were collected from 69 unvaccinated and 87 FVRCP-vaccinated cats aged between 4 months and 16 years. The FVRCP-vaccinated cats received at least one complete vaccination protocol, and blood sera were collected at least one month after vaccination. The sampled cats were from a local shelter or were owned cats that came to the Small Animal Hospital at Chiang Mai University, Thailand. Serum creatinine and blood urea nitrogen (BUN) concentrations and the number of FVRCP vaccinations in each cat were recorded. The normal standard value of serum creatinine and BUN is referenced from Duncan & Prasses's Veterinary Laboratory Medicine Clinical Pathology [22]. All serum samples were aliquoted and kept at −20°C until tested. Demographic data and vaccination history of unvaccinated and FVRCP-vaccinated cats are shown in Tables 1 and 2, respectively. Note: There were 69 unvaccinated cats. Cr, creatinine; BUN, blood urea nitrogen; DSH, Domestic Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla. aChronic kidney disease; bAcute kidney disease; and cFeline parvovirus. Note: There were 87 FVRCP-vaccinated cats. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla; Vac., number of vaccinations; Last vac., time since the last vaccination. aChronic kidney disease; bAcute kidney disease; cFeline immunodeficiency virus; and dFeline leukemia virus. A total of 26 paraffin-embedded cat kidneys from cats that had died from different causes were collected from the Veterinary Diagnostic Laboratory, Chiang Mai University. The kidneys from a healthy cat that had died in a traffic accident were collected and divided into two parts; 1) kept at −20°C for antigen preparations, and 2) fixed in 10% formalin and stored at room temperature (RT) for 16–18 h before tissue processing. This cat had no previous FVRCP vaccination history, and its kidneys were PCR tested as FPV-negative. Protocols applied in the animal experiments were approved by the Institutional Animal Care and Use Committee, Faculty of Veterinary Medicine, Chiang Mai University (approval No. R25/2559). Antigen preparations Proteins from the healthy cat kidney extract were obtained and purified using the Qproteome mammalian protein preparation kit (Qiagen, USA) according to the manufacturer's instructions, as previously reported [23]. The CRFK cell line was obtained from Dr. Kakanang Piyarungsri of the Department of Companion Animal and Wildlife Clinic, Chiang Mai University, Thailand (purchased from ATCC [CCL-94], LOT 60980362, passage No. 189). The cell line was cultured in Dulbecco's modified Eagle's medium supplement with 10% fetal calf serum in a 5% CO2 incubator, as described in a previous study [23]. The CRFK protein was prepared by using the Qproteome mammalian protein preparation kit, as described in the procedure for cat kidney extract. Both kidney and CRFK protein extracts were aliquoted and kept at −20°C. The modified-live attenuated FVRCP vaccine (Felocell CVR, Zoetis, USA) was inactivated by ultraviolet inactivation before use as an antigen, as previously described [24]. Proteins from the healthy cat kidney extract were obtained and purified using the Qproteome mammalian protein preparation kit (Qiagen, USA) according to the manufacturer's instructions, as previously reported [23]. The CRFK cell line was obtained from Dr. Kakanang Piyarungsri of the Department of Companion Animal and Wildlife Clinic, Chiang Mai University, Thailand (purchased from ATCC [CCL-94], LOT 60980362, passage No. 189). The cell line was cultured in Dulbecco's modified Eagle's medium supplement with 10% fetal calf serum in a 5% CO2 incubator, as described in a previous study [23]. The CRFK protein was prepared by using the Qproteome mammalian protein preparation kit, as described in the procedure for cat kidney extract. Both kidney and CRFK protein extracts were aliquoted and kept at −20°C. The modified-live attenuated FVRCP vaccine (Felocell CVR, Zoetis, USA) was inactivated by ultraviolet inactivation before use as an antigen, as previously described [24]. Detecting antibody to kidney extract and FVRCP antigen by enzyme-linked immunosorbent assay (ELISA) Detection of antibodies to healthy cat kidney extract and FVRCP antigen was performed by ELISA, as previously described [18], with slight modification. Briefly, kidney extract (30 mg/mL) was diluted with carbonate coating buffer (pH 9.2) to 1:500, and coated on 96-well microtiter plates overnight at 4°C. The nonspecific reaction was blocked with 3% bovine serum albumin (BSA; Bio Basic, USA). Serum samples were diluted to 1:5,000, added to the plates, and the assay run in duplicate. For detection of anti-FVRCP, the FVRCP antigen dilution used was 1:10 and serum was 1:500, and the procedure was the same as described for the kidney extract. Thereafter, horseradish peroxidase (HRP)-conjugated goat anti-cat immunoglobulin G (IgG) secondary antibody (KPL, USA) at a dilution of 1:80,000 was added to each well. Finally, SureBlue TMB Peroxidase Substrate (KPL) was added, and the enzymatic reaction stopped by adding 1N of H2SO4. The plate was washed five times after every step with phosphate-buffered saline/0.5% Tween-20, except for the last step (stop reaction step). Color intensity was measured at 450 nm absorbance by using a microplate reader (Synergy H4 Hybrid Reader, Biotek, USA). Detection of antibodies to healthy cat kidney extract and FVRCP antigen was performed by ELISA, as previously described [18], with slight modification. Briefly, kidney extract (30 mg/mL) was diluted with carbonate coating buffer (pH 9.2) to 1:500, and coated on 96-well microtiter plates overnight at 4°C. The nonspecific reaction was blocked with 3% bovine serum albumin (BSA; Bio Basic, USA). Serum samples were diluted to 1:5,000, added to the plates, and the assay run in duplicate. For detection of anti-FVRCP, the FVRCP antigen dilution used was 1:10 and serum was 1:500, and the procedure was the same as described for the kidney extract. Thereafter, horseradish peroxidase (HRP)-conjugated goat anti-cat immunoglobulin G (IgG) secondary antibody (KPL, USA) at a dilution of 1:80,000 was added to each well. Finally, SureBlue TMB Peroxidase Substrate (KPL) was added, and the enzymatic reaction stopped by adding 1N of H2SO4. The plate was washed five times after every step with phosphate-buffered saline/0.5% Tween-20, except for the last step (stop reaction step). Color intensity was measured at 450 nm absorbance by using a microplate reader (Synergy H4 Hybrid Reader, Biotek, USA). Kidney-bound antibody detection by immunofluorescence assay Determination of antibodies bound to kidney tissues in the 26 cats that died from multiple causes was performed using kidney sections; each section contained both cortex and medulla regions. A healthy kidney section was used as a control, and it was determined to be negative for autoantibody or immune complexes by staining with negative cat serum and/or goat anti-cat fluorescein isothiocyanate (FITC)-conjugated IgG. The immunofluorescence protocol used for elephant tissue was adapted for the cats in this study [25]. Briefly, the tissues were fixed with 10% formalin solution, and the formalin-fixed, paraffin-embedded (FFPE) cat kidney tissues were cut into 4 µm thick slices. FFPE slides were deparaffinized and rehydrated. BSA (1%) in Tris-buffered saline with 0.25% Tween (TBST) was added to the slides for 30 min at RT. Cadaveric cat kidneys were stained in order to examine autoantibody binding in the kidney. The goat anti-cat IgG conjugated FITC (KPL) at a dilution of 1:200 was dropped onto the slide, and the slide incubated for 1 h at RT. Nuclei were counterstained with 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride (DAPI; Sigma Aldrich, USA). The slides were observed under a fluorescence microscope (Zeiss, Germany). Cadaveric cat kidneys, positive for kidney-bound antibodies by direct immunofluorescence, were examined histologically by applying hematoxylin and eosin (H&E) stain [26]. The detection of antibodies to kidney tissues in cat sera was performed by following the same procedure. The sections were cut from healthy kidneys, with each section containing cortex and medulla regions. Serum samples were stained on this kidney section. Cat serum was diluted to 1:100 with 1% BSA in TBST, dropped onto slides. The steps after serum sample staining were performed as described for the cadaveric kidneys. Determination of antibodies bound to kidney tissues in the 26 cats that died from multiple causes was performed using kidney sections; each section contained both cortex and medulla regions. A healthy kidney section was used as a control, and it was determined to be negative for autoantibody or immune complexes by staining with negative cat serum and/or goat anti-cat fluorescein isothiocyanate (FITC)-conjugated IgG. The immunofluorescence protocol used for elephant tissue was adapted for the cats in this study [25]. Briefly, the tissues were fixed with 10% formalin solution, and the formalin-fixed, paraffin-embedded (FFPE) cat kidney tissues were cut into 4 µm thick slices. FFPE slides were deparaffinized and rehydrated. BSA (1%) in Tris-buffered saline with 0.25% Tween (TBST) was added to the slides for 30 min at RT. Cadaveric cat kidneys were stained in order to examine autoantibody binding in the kidney. The goat anti-cat IgG conjugated FITC (KPL) at a dilution of 1:200 was dropped onto the slide, and the slide incubated for 1 h at RT. Nuclei were counterstained with 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride (DAPI; Sigma Aldrich, USA). The slides were observed under a fluorescence microscope (Zeiss, Germany). Cadaveric cat kidneys, positive for kidney-bound antibodies by direct immunofluorescence, were examined histologically by applying hematoxylin and eosin (H&E) stain [26]. The detection of antibodies to kidney tissues in cat sera was performed by following the same procedure. The sections were cut from healthy kidneys, with each section containing cortex and medulla regions. Serum samples were stained on this kidney section. Cat serum was diluted to 1:100 with 1% BSA in TBST, dropped onto slides. The steps after serum sample staining were performed as described for the cadaveric kidneys. Western blot analysis of antibody recognition of kidney proteins Proteins from the healthy cat kidney extract or the CRFK cell line were run on sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE), and immunoblotting was carried out, as previously described [25], with a slight modification. Briefly, 25 µg of cat kidney proteins or 100 µg of CRFK cell line protein were loaded into wells of 12.5% gel and run for 90 min at 100 V. The SDS-PAGE gel was then blotted to a polyvinylidene difluoride membrane (Thermo Scientific, USA). The 5% BSA in TBST was added to the membrane to block nonspecific binding. Diluted cat sera (dilution of 1:200 for kidney extract and 1:100 for CRFK protein) were added to the membrane blotted with kidney and CRFK cell line proteins. The HRP-conjugated goat anti-cat IgG secondary antibody (dilution of 1:1,000 for kidney extract and 1:800 for CRFK protein) was then added to the membrane. After washing, the 3,3′-diaminobenzidine tetrahydrochloride (DAB; Thermo Scientific) substrate was added to the membrane for a 30 sec exposure and the protein band appeared. The molecular weight (M.W.) of protein bands was determined by using image analysis software (GeneTools, USA). Proteins from the healthy cat kidney extract or the CRFK cell line were run on sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE), and immunoblotting was carried out, as previously described [25], with a slight modification. Briefly, 25 µg of cat kidney proteins or 100 µg of CRFK cell line protein were loaded into wells of 12.5% gel and run for 90 min at 100 V. The SDS-PAGE gel was then blotted to a polyvinylidene difluoride membrane (Thermo Scientific, USA). The 5% BSA in TBST was added to the membrane to block nonspecific binding. Diluted cat sera (dilution of 1:200 for kidney extract and 1:100 for CRFK protein) were added to the membrane blotted with kidney and CRFK cell line proteins. The HRP-conjugated goat anti-cat IgG secondary antibody (dilution of 1:1,000 for kidney extract and 1:800 for CRFK protein) was then added to the membrane. After washing, the 3,3′-diaminobenzidine tetrahydrochloride (DAB; Thermo Scientific) substrate was added to the membrane for a 30 sec exposure and the protein band appeared. The molecular weight (M.W.) of protein bands was determined by using image analysis software (GeneTools, USA). Statistical analysis Sample size estimation, a minimal sample size of at least 80 cats was calculated by performing power analysis based on the assumption of a finite population proportion expected to be 50% of vaccinated cats that had autoantibodies in the serum with 95% confidence interval and 10% error [27]. The statistical analyses used in this study included the following: t-test for determining the p value; odds ratio (OR) for the association between cats with and without antibody to FVRCP antigen and anti-kidney autoantibody; and Spearman's rank correlation and Pearson's χ2 test for the correlation assessment. The sensitivity and specificity of the ELISA developed in this study were calculated by examining the receiver operating characteristic curve (ROC curve). Statistical significance was designated at a p value of < 0.05. Sample size estimation, a minimal sample size of at least 80 cats was calculated by performing power analysis based on the assumption of a finite population proportion expected to be 50% of vaccinated cats that had autoantibodies in the serum with 95% confidence interval and 10% error [27]. The statistical analyses used in this study included the following: t-test for determining the p value; odds ratio (OR) for the association between cats with and without antibody to FVRCP antigen and anti-kidney autoantibody; and Spearman's rank correlation and Pearson's χ2 test for the correlation assessment. The sensitivity and specificity of the ELISA developed in this study were calculated by examining the receiver operating characteristic curve (ROC curve). Statistical significance was designated at a p value of < 0.05. Sample collection: A total of 156 serum samples were collected from 69 unvaccinated and 87 FVRCP-vaccinated cats aged between 4 months and 16 years. The FVRCP-vaccinated cats received at least one complete vaccination protocol, and blood sera were collected at least one month after vaccination. The sampled cats were from a local shelter or were owned cats that came to the Small Animal Hospital at Chiang Mai University, Thailand. Serum creatinine and blood urea nitrogen (BUN) concentrations and the number of FVRCP vaccinations in each cat were recorded. The normal standard value of serum creatinine and BUN is referenced from Duncan & Prasses's Veterinary Laboratory Medicine Clinical Pathology [22]. All serum samples were aliquoted and kept at −20°C until tested. Demographic data and vaccination history of unvaccinated and FVRCP-vaccinated cats are shown in Tables 1 and 2, respectively. Note: There were 69 unvaccinated cats. Cr, creatinine; BUN, blood urea nitrogen; DSH, Domestic Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla. aChronic kidney disease; bAcute kidney disease; and cFeline parvovirus. Note: There were 87 FVRCP-vaccinated cats. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; Mix, mixed breed; SF, Scottish Fold; CHI, Chinchilla; Vac., number of vaccinations; Last vac., time since the last vaccination. aChronic kidney disease; bAcute kidney disease; cFeline immunodeficiency virus; and dFeline leukemia virus. A total of 26 paraffin-embedded cat kidneys from cats that had died from different causes were collected from the Veterinary Diagnostic Laboratory, Chiang Mai University. The kidneys from a healthy cat that had died in a traffic accident were collected and divided into two parts; 1) kept at −20°C for antigen preparations, and 2) fixed in 10% formalin and stored at room temperature (RT) for 16–18 h before tissue processing. This cat had no previous FVRCP vaccination history, and its kidneys were PCR tested as FPV-negative. Protocols applied in the animal experiments were approved by the Institutional Animal Care and Use Committee, Faculty of Veterinary Medicine, Chiang Mai University (approval No. R25/2559). Antigen preparations: Proteins from the healthy cat kidney extract were obtained and purified using the Qproteome mammalian protein preparation kit (Qiagen, USA) according to the manufacturer's instructions, as previously reported [23]. The CRFK cell line was obtained from Dr. Kakanang Piyarungsri of the Department of Companion Animal and Wildlife Clinic, Chiang Mai University, Thailand (purchased from ATCC [CCL-94], LOT 60980362, passage No. 189). The cell line was cultured in Dulbecco's modified Eagle's medium supplement with 10% fetal calf serum in a 5% CO2 incubator, as described in a previous study [23]. The CRFK protein was prepared by using the Qproteome mammalian protein preparation kit, as described in the procedure for cat kidney extract. Both kidney and CRFK protein extracts were aliquoted and kept at −20°C. The modified-live attenuated FVRCP vaccine (Felocell CVR, Zoetis, USA) was inactivated by ultraviolet inactivation before use as an antigen, as previously described [24]. Detecting antibody to kidney extract and FVRCP antigen by enzyme-linked immunosorbent assay (ELISA): Detection of antibodies to healthy cat kidney extract and FVRCP antigen was performed by ELISA, as previously described [18], with slight modification. Briefly, kidney extract (30 mg/mL) was diluted with carbonate coating buffer (pH 9.2) to 1:500, and coated on 96-well microtiter plates overnight at 4°C. The nonspecific reaction was blocked with 3% bovine serum albumin (BSA; Bio Basic, USA). Serum samples were diluted to 1:5,000, added to the plates, and the assay run in duplicate. For detection of anti-FVRCP, the FVRCP antigen dilution used was 1:10 and serum was 1:500, and the procedure was the same as described for the kidney extract. Thereafter, horseradish peroxidase (HRP)-conjugated goat anti-cat immunoglobulin G (IgG) secondary antibody (KPL, USA) at a dilution of 1:80,000 was added to each well. Finally, SureBlue TMB Peroxidase Substrate (KPL) was added, and the enzymatic reaction stopped by adding 1N of H2SO4. The plate was washed five times after every step with phosphate-buffered saline/0.5% Tween-20, except for the last step (stop reaction step). Color intensity was measured at 450 nm absorbance by using a microplate reader (Synergy H4 Hybrid Reader, Biotek, USA). Kidney-bound antibody detection by immunofluorescence assay: Determination of antibodies bound to kidney tissues in the 26 cats that died from multiple causes was performed using kidney sections; each section contained both cortex and medulla regions. A healthy kidney section was used as a control, and it was determined to be negative for autoantibody or immune complexes by staining with negative cat serum and/or goat anti-cat fluorescein isothiocyanate (FITC)-conjugated IgG. The immunofluorescence protocol used for elephant tissue was adapted for the cats in this study [25]. Briefly, the tissues were fixed with 10% formalin solution, and the formalin-fixed, paraffin-embedded (FFPE) cat kidney tissues were cut into 4 µm thick slices. FFPE slides were deparaffinized and rehydrated. BSA (1%) in Tris-buffered saline with 0.25% Tween (TBST) was added to the slides for 30 min at RT. Cadaveric cat kidneys were stained in order to examine autoantibody binding in the kidney. The goat anti-cat IgG conjugated FITC (KPL) at a dilution of 1:200 was dropped onto the slide, and the slide incubated for 1 h at RT. Nuclei were counterstained with 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride (DAPI; Sigma Aldrich, USA). The slides were observed under a fluorescence microscope (Zeiss, Germany). Cadaveric cat kidneys, positive for kidney-bound antibodies by direct immunofluorescence, were examined histologically by applying hematoxylin and eosin (H&E) stain [26]. The detection of antibodies to kidney tissues in cat sera was performed by following the same procedure. The sections were cut from healthy kidneys, with each section containing cortex and medulla regions. Serum samples were stained on this kidney section. Cat serum was diluted to 1:100 with 1% BSA in TBST, dropped onto slides. The steps after serum sample staining were performed as described for the cadaveric kidneys. Western blot analysis of antibody recognition of kidney proteins: Proteins from the healthy cat kidney extract or the CRFK cell line were run on sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE), and immunoblotting was carried out, as previously described [25], with a slight modification. Briefly, 25 µg of cat kidney proteins or 100 µg of CRFK cell line protein were loaded into wells of 12.5% gel and run for 90 min at 100 V. The SDS-PAGE gel was then blotted to a polyvinylidene difluoride membrane (Thermo Scientific, USA). The 5% BSA in TBST was added to the membrane to block nonspecific binding. Diluted cat sera (dilution of 1:200 for kidney extract and 1:100 for CRFK protein) were added to the membrane blotted with kidney and CRFK cell line proteins. The HRP-conjugated goat anti-cat IgG secondary antibody (dilution of 1:1,000 for kidney extract and 1:800 for CRFK protein) was then added to the membrane. After washing, the 3,3′-diaminobenzidine tetrahydrochloride (DAB; Thermo Scientific) substrate was added to the membrane for a 30 sec exposure and the protein band appeared. The molecular weight (M.W.) of protein bands was determined by using image analysis software (GeneTools, USA). Statistical analysis: Sample size estimation, a minimal sample size of at least 80 cats was calculated by performing power analysis based on the assumption of a finite population proportion expected to be 50% of vaccinated cats that had autoantibodies in the serum with 95% confidence interval and 10% error [27]. The statistical analyses used in this study included the following: t-test for determining the p value; odds ratio (OR) for the association between cats with and without antibody to FVRCP antigen and anti-kidney autoantibody; and Spearman's rank correlation and Pearson's χ2 test for the correlation assessment. The sensitivity and specificity of the ELISA developed in this study were calculated by examining the receiver operating characteristic curve (ROC curve). Statistical significance was designated at a p value of < 0.05. RESULTS: Profile of anti-FVRCP antibody levels in cat sera All FVRCP-vaccinated cats were tested firstly for antibody to FVRCP antigen. Unvaccinated cats were tested together as negative sera in order to find a cut-off value. Determination of the cut-off value according to sensitivity and specificity is shown in Table 3. An optical density (O.D.) cut-off value of > 0.186 was calculated by analyzing the ROC curve; the chosen cut-off value had 50% sensitivity and 60% specificity. The O.D. cut-off value had a relatively high specificity, which was considered a priority in order to reduce false-positive results. The profiles of the antibodies against the FVRCP antigen in unvaccinated and vaccinated cats are shown in Fig. 1. Thirteen percent (9/69) and 66% (57/87) of unvaccinated and FVRCP-vaccinated cats, respectively, were positive for the anti-FVRCP antibody. Nearly half of the vaccinated cats did not show anti-FVRCP antibody presence. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats. All FVRCP-vaccinated cats were tested firstly for antibody to FVRCP antigen. Unvaccinated cats were tested together as negative sera in order to find a cut-off value. Determination of the cut-off value according to sensitivity and specificity is shown in Table 3. An optical density (O.D.) cut-off value of > 0.186 was calculated by analyzing the ROC curve; the chosen cut-off value had 50% sensitivity and 60% specificity. The O.D. cut-off value had a relatively high specificity, which was considered a priority in order to reduce false-positive results. The profiles of the antibodies against the FVRCP antigen in unvaccinated and vaccinated cats are shown in Fig. 1. Thirteen percent (9/69) and 66% (57/87) of unvaccinated and FVRCP-vaccinated cats, respectively, were positive for the anti-FVRCP antibody. Nearly half of the vaccinated cats did not show anti-FVRCP antibody presence. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats. Profile of antibodies that bind to kidney tissues in cat sera Unvaccinated and vaccinated sera were evaluated for antibodies to healthy cat kidney extracts in the optimized ELISA. Determination of the cut-off value according to sensitivity and specificity levels is shown in Table 4. The cut-off O.D. value of cats with antibodies that bind to kidney tissues, calculated by ROC curve analysis, was ≥ 0.349, which had 70% sensitivity and 64% specificity. The chosen O.D. cut-off value had a relatively high sensitivity, which was considered a priority in order to screen for antibodies that bind to kidney tissues. The profiles of antibodies that had bound to kidney tissues in unvaccinated and vaccinated cats are shown in Fig. 2. Antibodies that reacted against healthy cat kidney extracts were detected in 32% (22/69) and 47% (41/87) of the unvaccinated and FVRCP-vaccinated cats, respectively. Although FVRCP-vaccinated cats typically had higher positive antibody levels (i.e., higher ELISA O.D.) bound to cat kidney tissues than that of non-vaccinated cats, there was no significant difference in the antibody bound to cat kidney tissue results between unvaccinated and FVRCP-vaccinated cats (p = 0.055; test of proportion statistic). FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats. Unvaccinated and vaccinated sera were evaluated for antibodies to healthy cat kidney extracts in the optimized ELISA. Determination of the cut-off value according to sensitivity and specificity levels is shown in Table 4. The cut-off O.D. value of cats with antibodies that bind to kidney tissues, calculated by ROC curve analysis, was ≥ 0.349, which had 70% sensitivity and 64% specificity. The chosen O.D. cut-off value had a relatively high sensitivity, which was considered a priority in order to screen for antibodies that bind to kidney tissues. The profiles of antibodies that had bound to kidney tissues in unvaccinated and vaccinated cats are shown in Fig. 2. Antibodies that reacted against healthy cat kidney extracts were detected in 32% (22/69) and 47% (41/87) of the unvaccinated and FVRCP-vaccinated cats, respectively. Although FVRCP-vaccinated cats typically had higher positive antibody levels (i.e., higher ELISA O.D.) bound to cat kidney tissues than that of non-vaccinated cats, there was no significant difference in the antibody bound to cat kidney tissue results between unvaccinated and FVRCP-vaccinated cats (p = 0.055; test of proportion statistic). FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats. Kidney-bound antibody detection by direct immunofluorescence Twenty-six paraffin-embedded cat kidneys were screened for antibodies that bind to kidney tissues. Regarding their clinical diseases, cats died from viral infection (n = 15), kidney disease (n = 2), disseminated intravascular coagulation (DIC; n = 2), endotoxemia (n = 2), viral and 2nd bacterial infection (n = 1), heatstroke (n = 1), feline hypertrophic cardiomyopathy (FHC; n = 1), septicemia (n = 1), and chronic bronchopneumonia (n = 1). Cat histories and diagnoses from the paraffin-embedded cat kidney samples are shown in Table 5. nd = no data, DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; SD, sudden death; HL, hind limb; FeLV, feline leukemia virus; DIC, disseminated intravascular coagulation; KD, kidney disease; FPV, feline panleukopenia virus; FIP, feline infectious peritonitis; FHC, feline hypertrophic cardiomyopathy. aMicroscopic findings presented only for kidney samples. Lesions in other organs are not presented in this table. bDiagnosis was based on gross and histopathological examination. cHealthy cat was used as a control for kidney tissue staining and antigen preparation. Antibodies that bind at the apical border of the kidney tubule and interstitial cells were detected in 15% (4/26) of the cats tested. The profiles of the 4 cats with positive kidney-bound antibodies were as follows: kidney-bound antibodies were present at the apical border of the kidney tubules in cat 1 (Fig. 3A), while those in cats 2, 3, and 4 were present at the interstitial cells (Fig. 3B-D). H&E-stained kidney sections showed severe acute diffuse hydropic degeneration in the tubules in cat 1 (Fig. 3E). H&E-stained kidney sections showed severe chronic multifocal non-suppurative interstitial nephritis, multifocal necrosis, and multifocal tubular degeneration in cat 2 (Fig. 3F). H&E-stained kidney sections showed multifocal inflammatory cell aggregation and diffused tubular necrosis in cat 3 (Fig. 3G), and H&E-stained kidney sections showed severe subacute focally extensive necrotic and non-suppurative nephritis in cat 4 (Fig. 3H). It was noted that the positive fluorescence signals were located in the same area of inflammatory and degenerative tissues of cadaveric cats. These cats were diagnosed pathologically as having viral infection and had unknown vaccination histories when they died. H&E, hematoxylin and eosin; FITC, fluorescein isothiocyanate; IgG, immunoglobulin G; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride. Twenty-six paraffin-embedded cat kidneys were screened for antibodies that bind to kidney tissues. Regarding their clinical diseases, cats died from viral infection (n = 15), kidney disease (n = 2), disseminated intravascular coagulation (DIC; n = 2), endotoxemia (n = 2), viral and 2nd bacterial infection (n = 1), heatstroke (n = 1), feline hypertrophic cardiomyopathy (FHC; n = 1), septicemia (n = 1), and chronic bronchopneumonia (n = 1). Cat histories and diagnoses from the paraffin-embedded cat kidney samples are shown in Table 5. nd = no data, DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; SD, sudden death; HL, hind limb; FeLV, feline leukemia virus; DIC, disseminated intravascular coagulation; KD, kidney disease; FPV, feline panleukopenia virus; FIP, feline infectious peritonitis; FHC, feline hypertrophic cardiomyopathy. aMicroscopic findings presented only for kidney samples. Lesions in other organs are not presented in this table. bDiagnosis was based on gross and histopathological examination. cHealthy cat was used as a control for kidney tissue staining and antigen preparation. Antibodies that bind at the apical border of the kidney tubule and interstitial cells were detected in 15% (4/26) of the cats tested. The profiles of the 4 cats with positive kidney-bound antibodies were as follows: kidney-bound antibodies were present at the apical border of the kidney tubules in cat 1 (Fig. 3A), while those in cats 2, 3, and 4 were present at the interstitial cells (Fig. 3B-D). H&E-stained kidney sections showed severe acute diffuse hydropic degeneration in the tubules in cat 1 (Fig. 3E). H&E-stained kidney sections showed severe chronic multifocal non-suppurative interstitial nephritis, multifocal necrosis, and multifocal tubular degeneration in cat 2 (Fig. 3F). H&E-stained kidney sections showed multifocal inflammatory cell aggregation and diffused tubular necrosis in cat 3 (Fig. 3G), and H&E-stained kidney sections showed severe subacute focally extensive necrotic and non-suppurative nephritis in cat 4 (Fig. 3H). It was noted that the positive fluorescence signals were located in the same area of inflammatory and degenerative tissues of cadaveric cats. These cats were diagnosed pathologically as having viral infection and had unknown vaccination histories when they died. H&E, hematoxylin and eosin; FITC, fluorescein isothiocyanate; IgG, immunoglobulin G; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride. Serum antibodies against kidney tissues detected by indirect immunofluorescence When sera from the 69 unvaccinated and 87 FVRCP-vaccinated cats were applied to the healthy cat kidney tissue sections, antibodies that bound to the kidney tissue were detected in 15% (10 cats) and 12% (10 cats), respectively (Fig. 4). However, there was no statistical difference in the positive autoantibody results between the two groups. Two patterns of kidney-bound antibodies were observed at the cytoplasm and apical brush border of the proximal and distal tubules. Each cat presented individual profiles, with some showing kidney-bound antibodies in the cytoplasm, while others showed them in the apical border of the kidney tubules. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride. When sera from the 69 unvaccinated and 87 FVRCP-vaccinated cats were applied to the healthy cat kidney tissue sections, antibodies that bound to the kidney tissue were detected in 15% (10 cats) and 12% (10 cats), respectively (Fig. 4). However, there was no statistical difference in the positive autoantibody results between the two groups. Two patterns of kidney-bound antibodies were observed at the cytoplasm and apical brush border of the proximal and distal tubules. Each cat presented individual profiles, with some showing kidney-bound antibodies in the cytoplasm, while others showed them in the apical border of the kidney tubules. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride. Recognition of kidney and CRFK cell line proteins by cat sera In a previous study using similar Western immunoblots, the proteins recognized most frequently had apparent molecular masses of 47, 40, and 38 kDa. According to Whittemore et al.'s study [28], band appearances, including those with M.W. of 47, 40, and 38 kDa, were considered. Twenty cats with positive indirect immunofluorescence results were analyzed to provide protein recognition. All of the cats showed a similar pattern, but additional proteins were recognized in 7 cats (Fig. 5). These additional proteins had M.W. of 47, 40, 38, and 20 kDa. When using the CRFK cell line proteins as an antigen, most cats showed similar band patterns, but 8/20 cats showed additional bands. These additional cat antibodies were bound to proteins at M.W. of 47, 38, and 20 kDa. It was noted that no antibody to a 40 kDa protein was detected; considered to be a result of using kidney protein. Two unvaccinated cats showed a band at M.W. 38 for both the CRFK and kidney proteins. These unvaccinated cats were then tested by a commercial VacciCheckR kit and were FVRCP positive. CRFK, Crandell-Rees feline renal cell line; U code, unvaccinated cats; V code, FVRCP-vaccinated cats. In a previous study using similar Western immunoblots, the proteins recognized most frequently had apparent molecular masses of 47, 40, and 38 kDa. According to Whittemore et al.'s study [28], band appearances, including those with M.W. of 47, 40, and 38 kDa, were considered. Twenty cats with positive indirect immunofluorescence results were analyzed to provide protein recognition. All of the cats showed a similar pattern, but additional proteins were recognized in 7 cats (Fig. 5). These additional proteins had M.W. of 47, 40, 38, and 20 kDa. When using the CRFK cell line proteins as an antigen, most cats showed similar band patterns, but 8/20 cats showed additional bands. These additional cat antibodies were bound to proteins at M.W. of 47, 38, and 20 kDa. It was noted that no antibody to a 40 kDa protein was detected; considered to be a result of using kidney protein. Two unvaccinated cats showed a band at M.W. 38 for both the CRFK and kidney proteins. These unvaccinated cats were then tested by a commercial VacciCheckR kit and were FVRCP positive. CRFK, Crandell-Rees feline renal cell line; U code, unvaccinated cats; V code, FVRCP-vaccinated cats. Profile of antibodies that bind to kidney tissues in cats with positive and negative antibodies to FVRCP antigen As only 66% of all FVRCP-vaccinated cats produced antibody responses after vaccination, the relationship of antibodies that bind to kidney tissues was compared with the anti-FVRCP antibody instead of comparing between the unvaccinated and FVRCP-vaccinated cats. The profiles of antibodies that bind to kidney tissues in cats with positive and negative anti-FVRCP antibodies are shown in Fig. 6. Vaccinated cats with an antibody to the FVRCP antigen should have a greater chance of having an antibody to CRFK cell protein contamination during vaccine preparation. There was a difference in the prevalence of antibodies that bind to kidney tissues found in cats with and without antibodies to the FVRCP antigen. Among 156 cats, 66 and 90 cats were positive and negative for antibody to the FVRCP antigen, respectively. Fifty-five percent (36/66) of cats with positive antibodies to FVRCP antigen had antibodies that bind to kidney tissues. However, 30% (27/90) of cats with negative antibodies to the FVRCP antigen had antibodies that bind to kidney tissues. Based on χ2 test results, positive antibodies that bind to kidney tissues were associated significantly with the anti-FVRCP antibody (p = 0.002). FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; O.D., optical density; +Ab, positive antibody; −Ab, negative antibody. The association of anti-cat kidney tissues in cats with positive and negative antibodies to FVRCP antigen was compared by determining the OR. The results showed that cats with positive antibodies to FVRCP antigen had 2.8 times more risk of having antibodies that bind to kidney tissues (OR, 2.8; 95% confidence interval, 1.37–5.73). As only 66% of all FVRCP-vaccinated cats produced antibody responses after vaccination, the relationship of antibodies that bind to kidney tissues was compared with the anti-FVRCP antibody instead of comparing between the unvaccinated and FVRCP-vaccinated cats. The profiles of antibodies that bind to kidney tissues in cats with positive and negative anti-FVRCP antibodies are shown in Fig. 6. Vaccinated cats with an antibody to the FVRCP antigen should have a greater chance of having an antibody to CRFK cell protein contamination during vaccine preparation. There was a difference in the prevalence of antibodies that bind to kidney tissues found in cats with and without antibodies to the FVRCP antigen. Among 156 cats, 66 and 90 cats were positive and negative for antibody to the FVRCP antigen, respectively. Fifty-five percent (36/66) of cats with positive antibodies to FVRCP antigen had antibodies that bind to kidney tissues. However, 30% (27/90) of cats with negative antibodies to the FVRCP antigen had antibodies that bind to kidney tissues. Based on χ2 test results, positive antibodies that bind to kidney tissues were associated significantly with the anti-FVRCP antibody (p = 0.002). FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; O.D., optical density; +Ab, positive antibody; −Ab, negative antibody. The association of anti-cat kidney tissues in cats with positive and negative antibodies to FVRCP antigen was compared by determining the OR. The results showed that cats with positive antibodies to FVRCP antigen had 2.8 times more risk of having antibodies that bind to kidney tissues (OR, 2.8; 95% confidence interval, 1.37–5.73). Correlation between creatinine and BUN levels and antibodies that bind to kidney tissues The mean ± SD of the creatinine concentrations in cats with and without antibodies that bind to healthy cat kidney extracts were 2.04 ± 1.62 mg/dL and 1.76 ± 1.41 mg/dL, respectively, whereas the mean ± SD of the BUN concentrations were 34.78 ± 26.79 mg/dL and 33.06 ± 31.54 mg/dL, respectively (Fig. 7). Eight of 156 (5%) cats with positive antibodies that bind to kidney tissues had creatinine and BUN levels above the normal range (creatinine 0.9–2.2 mg/dL, BUN 19–34 mg/dL) [22], which is considered a criterion indicating kidney disease. No correlation was found above the normal range between the creatinine and BUN levels and positive antibodies that bind to kidney tissues (Spearman's rho = 0.048). BUN, blood urea nitrogen; +Ab, positive antibody; −Ab, negative antibody. The mean ± SD of the creatinine concentrations in cats with and without antibodies that bind to healthy cat kidney extracts were 2.04 ± 1.62 mg/dL and 1.76 ± 1.41 mg/dL, respectively, whereas the mean ± SD of the BUN concentrations were 34.78 ± 26.79 mg/dL and 33.06 ± 31.54 mg/dL, respectively (Fig. 7). Eight of 156 (5%) cats with positive antibodies that bind to kidney tissues had creatinine and BUN levels above the normal range (creatinine 0.9–2.2 mg/dL, BUN 19–34 mg/dL) [22], which is considered a criterion indicating kidney disease. No correlation was found above the normal range between the creatinine and BUN levels and positive antibodies that bind to kidney tissues (Spearman's rho = 0.048). BUN, blood urea nitrogen; +Ab, positive antibody; −Ab, negative antibody. Associations among cat histories and serum antibodies that react to healthy kidney tissues Twenty cats with serum antibodies bound to the healthy cat kidney sections in the direct immunofluorescence assay were examined. Clinical history and laboratory findings, as well as serum antibodies against healthy cat kidney lysates, were recorded (Table 6). Fourteen cats were diagnosed as CKD; only one of them had positive kidney-bound antibodies detected by direct immunofluorescence, whereas 4 cats had antibodies that bind to kidney tissues detected in serum by ELISA. It was interesting that a FVRCP-vaccinated cat (V47) was positive for kidney-bound antibodies, a high antibody response to FVRCP antigen, a high level of antibodies that bind to kidney tissues, and a creatinine level slightly above the normal range. However, it is unknown whether the autoantibody found in this cat was pathogenic; a follow-up study will be performed. -, none; +ve, positive; −ve, negative; U code, unvaccinated cats; V code, FVRCP-vaccinated cats; Vac., number of vaccinations; Last vac., time since the last vaccination; N, normal cats; CKD, chronic kidney disease; FPV, feline parvovirus; FIV, feline immunodeficiency virus; Cr, creatinine; BUN, blood urea nitrogen; Ab, antibody; FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; IF pattern, immunofluorescence pattern; A, apical border of the kidney tubule; C, cytoplasm of the kidney tubule. aUpper respiratory clinical symptom; bLaboratory diagnosis using Bionote FPV Ag and Witness FeLV-FIV test kits. In this study, 6 of the 20 cats with positive kidney-bound antibodies based on indirect immunofluorescence included one with FPV, one with a feline immunodeficiency virus (FIV) infection, and 4 with no available laboratory disease confirmation but had upper respiratory clinical signs. Twenty cats with serum antibodies bound to the healthy cat kidney sections in the direct immunofluorescence assay were examined. Clinical history and laboratory findings, as well as serum antibodies against healthy cat kidney lysates, were recorded (Table 6). Fourteen cats were diagnosed as CKD; only one of them had positive kidney-bound antibodies detected by direct immunofluorescence, whereas 4 cats had antibodies that bind to kidney tissues detected in serum by ELISA. It was interesting that a FVRCP-vaccinated cat (V47) was positive for kidney-bound antibodies, a high antibody response to FVRCP antigen, a high level of antibodies that bind to kidney tissues, and a creatinine level slightly above the normal range. However, it is unknown whether the autoantibody found in this cat was pathogenic; a follow-up study will be performed. -, none; +ve, positive; −ve, negative; U code, unvaccinated cats; V code, FVRCP-vaccinated cats; Vac., number of vaccinations; Last vac., time since the last vaccination; N, normal cats; CKD, chronic kidney disease; FPV, feline parvovirus; FIV, feline immunodeficiency virus; Cr, creatinine; BUN, blood urea nitrogen; Ab, antibody; FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; IF pattern, immunofluorescence pattern; A, apical border of the kidney tubule; C, cytoplasm of the kidney tubule. aUpper respiratory clinical symptom; bLaboratory diagnosis using Bionote FPV Ag and Witness FeLV-FIV test kits. In this study, 6 of the 20 cats with positive kidney-bound antibodies based on indirect immunofluorescence included one with FPV, one with a feline immunodeficiency virus (FIV) infection, and 4 with no available laboratory disease confirmation but had upper respiratory clinical signs. Profile of anti-FVRCP antibody levels in cat sera: All FVRCP-vaccinated cats were tested firstly for antibody to FVRCP antigen. Unvaccinated cats were tested together as negative sera in order to find a cut-off value. Determination of the cut-off value according to sensitivity and specificity is shown in Table 3. An optical density (O.D.) cut-off value of > 0.186 was calculated by analyzing the ROC curve; the chosen cut-off value had 50% sensitivity and 60% specificity. The O.D. cut-off value had a relatively high specificity, which was considered a priority in order to reduce false-positive results. The profiles of the antibodies against the FVRCP antigen in unvaccinated and vaccinated cats are shown in Fig. 1. Thirteen percent (9/69) and 66% (57/87) of unvaccinated and FVRCP-vaccinated cats, respectively, were positive for the anti-FVRCP antibody. Nearly half of the vaccinated cats did not show anti-FVRCP antibody presence. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats. Profile of antibodies that bind to kidney tissues in cat sera: Unvaccinated and vaccinated sera were evaluated for antibodies to healthy cat kidney extracts in the optimized ELISA. Determination of the cut-off value according to sensitivity and specificity levels is shown in Table 4. The cut-off O.D. value of cats with antibodies that bind to kidney tissues, calculated by ROC curve analysis, was ≥ 0.349, which had 70% sensitivity and 64% specificity. The chosen O.D. cut-off value had a relatively high sensitivity, which was considered a priority in order to screen for antibodies that bind to kidney tissues. The profiles of antibodies that had bound to kidney tissues in unvaccinated and vaccinated cats are shown in Fig. 2. Antibodies that reacted against healthy cat kidney extracts were detected in 32% (22/69) and 47% (41/87) of the unvaccinated and FVRCP-vaccinated cats, respectively. Although FVRCP-vaccinated cats typically had higher positive antibody levels (i.e., higher ELISA O.D.) bound to cat kidney tissues than that of non-vaccinated cats, there was no significant difference in the antibody bound to cat kidney tissue results between unvaccinated and FVRCP-vaccinated cats (p = 0.055; test of proportion statistic). FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; Un-vac., unvaccinated cat; FVRCP vac., FVRCP-vaccinated cat. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; ELISA, enzyme-linked immunosorbent assay; O.D., optical density; Un-vac., unvaccinated cats; FVRCP vac., FVRCP-vaccinated cats. Kidney-bound antibody detection by direct immunofluorescence: Twenty-six paraffin-embedded cat kidneys were screened for antibodies that bind to kidney tissues. Regarding their clinical diseases, cats died from viral infection (n = 15), kidney disease (n = 2), disseminated intravascular coagulation (DIC; n = 2), endotoxemia (n = 2), viral and 2nd bacterial infection (n = 1), heatstroke (n = 1), feline hypertrophic cardiomyopathy (FHC; n = 1), septicemia (n = 1), and chronic bronchopneumonia (n = 1). Cat histories and diagnoses from the paraffin-embedded cat kidney samples are shown in Table 5. nd = no data, DSH, Domestic Shorthair; ASH, American Shorthair; PS, Persian; SD, sudden death; HL, hind limb; FeLV, feline leukemia virus; DIC, disseminated intravascular coagulation; KD, kidney disease; FPV, feline panleukopenia virus; FIP, feline infectious peritonitis; FHC, feline hypertrophic cardiomyopathy. aMicroscopic findings presented only for kidney samples. Lesions in other organs are not presented in this table. bDiagnosis was based on gross and histopathological examination. cHealthy cat was used as a control for kidney tissue staining and antigen preparation. Antibodies that bind at the apical border of the kidney tubule and interstitial cells were detected in 15% (4/26) of the cats tested. The profiles of the 4 cats with positive kidney-bound antibodies were as follows: kidney-bound antibodies were present at the apical border of the kidney tubules in cat 1 (Fig. 3A), while those in cats 2, 3, and 4 were present at the interstitial cells (Fig. 3B-D). H&E-stained kidney sections showed severe acute diffuse hydropic degeneration in the tubules in cat 1 (Fig. 3E). H&E-stained kidney sections showed severe chronic multifocal non-suppurative interstitial nephritis, multifocal necrosis, and multifocal tubular degeneration in cat 2 (Fig. 3F). H&E-stained kidney sections showed multifocal inflammatory cell aggregation and diffused tubular necrosis in cat 3 (Fig. 3G), and H&E-stained kidney sections showed severe subacute focally extensive necrotic and non-suppurative nephritis in cat 4 (Fig. 3H). It was noted that the positive fluorescence signals were located in the same area of inflammatory and degenerative tissues of cadaveric cats. These cats were diagnosed pathologically as having viral infection and had unknown vaccination histories when they died. H&E, hematoxylin and eosin; FITC, fluorescein isothiocyanate; IgG, immunoglobulin G; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride. Serum antibodies against kidney tissues detected by indirect immunofluorescence: When sera from the 69 unvaccinated and 87 FVRCP-vaccinated cats were applied to the healthy cat kidney tissue sections, antibodies that bound to the kidney tissue were detected in 15% (10 cats) and 12% (10 cats), respectively (Fig. 4). However, there was no statistical difference in the positive autoantibody results between the two groups. Two patterns of kidney-bound antibodies were observed at the cytoplasm and apical brush border of the proximal and distal tubules. Each cat presented individual profiles, with some showing kidney-bound antibodies in the cytoplasm, while others showed them in the apical border of the kidney tubules. FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; DAPI, 2-(4-amidinophenyl)-6-indolecarbamidine dihydrochloride. Recognition of kidney and CRFK cell line proteins by cat sera: In a previous study using similar Western immunoblots, the proteins recognized most frequently had apparent molecular masses of 47, 40, and 38 kDa. According to Whittemore et al.'s study [28], band appearances, including those with M.W. of 47, 40, and 38 kDa, were considered. Twenty cats with positive indirect immunofluorescence results were analyzed to provide protein recognition. All of the cats showed a similar pattern, but additional proteins were recognized in 7 cats (Fig. 5). These additional proteins had M.W. of 47, 40, 38, and 20 kDa. When using the CRFK cell line proteins as an antigen, most cats showed similar band patterns, but 8/20 cats showed additional bands. These additional cat antibodies were bound to proteins at M.W. of 47, 38, and 20 kDa. It was noted that no antibody to a 40 kDa protein was detected; considered to be a result of using kidney protein. Two unvaccinated cats showed a band at M.W. 38 for both the CRFK and kidney proteins. These unvaccinated cats were then tested by a commercial VacciCheckR kit and were FVRCP positive. CRFK, Crandell-Rees feline renal cell line; U code, unvaccinated cats; V code, FVRCP-vaccinated cats. Profile of antibodies that bind to kidney tissues in cats with positive and negative antibodies to FVRCP antigen: As only 66% of all FVRCP-vaccinated cats produced antibody responses after vaccination, the relationship of antibodies that bind to kidney tissues was compared with the anti-FVRCP antibody instead of comparing between the unvaccinated and FVRCP-vaccinated cats. The profiles of antibodies that bind to kidney tissues in cats with positive and negative anti-FVRCP antibodies are shown in Fig. 6. Vaccinated cats with an antibody to the FVRCP antigen should have a greater chance of having an antibody to CRFK cell protein contamination during vaccine preparation. There was a difference in the prevalence of antibodies that bind to kidney tissues found in cats with and without antibodies to the FVRCP antigen. Among 156 cats, 66 and 90 cats were positive and negative for antibody to the FVRCP antigen, respectively. Fifty-five percent (36/66) of cats with positive antibodies to FVRCP antigen had antibodies that bind to kidney tissues. However, 30% (27/90) of cats with negative antibodies to the FVRCP antigen had antibodies that bind to kidney tissues. Based on χ2 test results, positive antibodies that bind to kidney tissues were associated significantly with the anti-FVRCP antibody (p = 0.002). FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; O.D., optical density; +Ab, positive antibody; −Ab, negative antibody. The association of anti-cat kidney tissues in cats with positive and negative antibodies to FVRCP antigen was compared by determining the OR. The results showed that cats with positive antibodies to FVRCP antigen had 2.8 times more risk of having antibodies that bind to kidney tissues (OR, 2.8; 95% confidence interval, 1.37–5.73). Correlation between creatinine and BUN levels and antibodies that bind to kidney tissues: The mean ± SD of the creatinine concentrations in cats with and without antibodies that bind to healthy cat kidney extracts were 2.04 ± 1.62 mg/dL and 1.76 ± 1.41 mg/dL, respectively, whereas the mean ± SD of the BUN concentrations were 34.78 ± 26.79 mg/dL and 33.06 ± 31.54 mg/dL, respectively (Fig. 7). Eight of 156 (5%) cats with positive antibodies that bind to kidney tissues had creatinine and BUN levels above the normal range (creatinine 0.9–2.2 mg/dL, BUN 19–34 mg/dL) [22], which is considered a criterion indicating kidney disease. No correlation was found above the normal range between the creatinine and BUN levels and positive antibodies that bind to kidney tissues (Spearman's rho = 0.048). BUN, blood urea nitrogen; +Ab, positive antibody; −Ab, negative antibody. Associations among cat histories and serum antibodies that react to healthy kidney tissues: Twenty cats with serum antibodies bound to the healthy cat kidney sections in the direct immunofluorescence assay were examined. Clinical history and laboratory findings, as well as serum antibodies against healthy cat kidney lysates, were recorded (Table 6). Fourteen cats were diagnosed as CKD; only one of them had positive kidney-bound antibodies detected by direct immunofluorescence, whereas 4 cats had antibodies that bind to kidney tissues detected in serum by ELISA. It was interesting that a FVRCP-vaccinated cat (V47) was positive for kidney-bound antibodies, a high antibody response to FVRCP antigen, a high level of antibodies that bind to kidney tissues, and a creatinine level slightly above the normal range. However, it is unknown whether the autoantibody found in this cat was pathogenic; a follow-up study will be performed. -, none; +ve, positive; −ve, negative; U code, unvaccinated cats; V code, FVRCP-vaccinated cats; Vac., number of vaccinations; Last vac., time since the last vaccination; N, normal cats; CKD, chronic kidney disease; FPV, feline parvovirus; FIV, feline immunodeficiency virus; Cr, creatinine; BUN, blood urea nitrogen; Ab, antibody; FVRCP, feline viral rhinotracheitis, calicivirus, and panleukopenia; IF pattern, immunofluorescence pattern; A, apical border of the kidney tubule; C, cytoplasm of the kidney tubule. aUpper respiratory clinical symptom; bLaboratory diagnosis using Bionote FPV Ag and Witness FeLV-FIV test kits. In this study, 6 of the 20 cats with positive kidney-bound antibodies based on indirect immunofluorescence included one with FPV, one with a feline immunodeficiency virus (FIV) infection, and 4 with no available laboratory disease confirmation but had upper respiratory clinical signs. DISCUSSION: Based on an increase in reports about the frequency of vaccinations and its association with autoimmune disease, it is reasonable to speculate that frequent FVRCP vaccinations in cats might induce antibodies that bind to kidney tissues, leading to kidney diseases. The prevalence of finding antibodies that bind to kidney tissues and the associated risk with FVRCP vaccination were investigated in this study, in which detection of antibodies that bind to kidney tissues was laboratory-confirmed, indicating a higher risk of antibodies that bind to kidney tissues in cats with positive antibodies to FVRCP antigen. There was no statistically significant difference in finding antibodies to cat kidney tissues between unvaccinated and vaccinated cats. However, positive antibodies that bind to kidney tissues were significantly associated with the anti-FVRCP antibody. The odds ratio results showed that the association of finding antibodies that bind to kidney tissues in cats with antibody to FVRCP antigen was 2.8 times higher than in those without it. In addition, 7 of 10 FVRCP-vaccinated cats, which were shown to have kidney-bound antibodies by indirect immunofluorescence analysis, had multiple vaccinations (2–5 times). A previously mentioned study showed that although parenteral administration of multiple FVRCP vaccines or CRFK cell lysate in cats induced antibodies to kidney tissue lysates, no kidney disease had been observed during the 56-week study period [18]. However, it was shown that after 3 cats were immunized with CRFK cell line lysate, one exhibited lymphocytic-plasmacytic interstitial nephritis after receiving 13 inoculations in 2 years [29]. When considering the risk of FVRCP vaccination, there was no statistically significant difference in finding antibodies to cat kidney tissues between unvaccinated and vaccinated cats. Several factors affect vaccination responses such as the health of animals, vaccine company, and time of sample collection since the last vaccination. As the purpose of this study was to screen for anti-kidney proteins (feline CRFK cell line) that are contaminants in FVRCP vaccine preparation, the finding of anti-FVRCP in vaccinated cats would confirm that the vaccination was successful; therefore, indicating a greater chance of finding anti-kidney protein contamination. As only 64% of the FVRCP-vaccinated cats showed antibodies to the FVRCP antigen in this study, it was considered that time since the last vaccination or the vaccination protocol could affect both anti-FVRCP titer and anti-kidney antibody titer. However, there was no clear correlation between the positive anti-FVRCP result and time since the last vaccination in this study. This result was inconsistent with those in other studies in which the factor time since the last vaccination was associated with the presence of pre-vaccination when using ELISA antibody titers; however, there was no association with viral neutralizing antibodies [3031]. A limitation in the detection of the antibodies to FVRCP antigen in this study was related to sensitivity and specificity. As the commercial gold standard test of ELISA had not been used widely or was not available, an in-house ELISA was developed, and an internal quality control system was applied. The positive and negative serum controls were found by interviewing pet owners about their cat's history. Large samples were collected in order to calculate the cut-off value more precisely. It was considered that the FVRCP antigen preparation contains FHV-1, FCV, and FPV, and many cats are exposed naturally to these viruses, leading to positive antibody results against FVRCP protein extracts in cats, even if they were not vaccinated. This was a limitation in the interpretation of this study of a cat population in which natural exposures could not be avoided. Thirteen percent of unvaccinated cats were positive to anti-FVRCP antibodies with very low titer or ELISA O.D. values that were little above the cut-off value. They were examined by using a commercial test kit for antibodies to FVRCP, and almost all of them (6/7 or 86%) showed positive results for both the in-house ELISA and the commercial test kit. Therefore, these unvaccinated cats might have been exposed to natural infections. In other studies, surveillance results for antibodies to FCV and FHV-1 ranged from 7%–23% in unvaccinated cats or cat populations [3032]. In addition to natural exposures, maternally derived anti-FVRCP antibodies can produce significant titers in young kittens; they displayed antibody titers against FPV at 8 and 12 weeks of age and up to 20 weeks of age in some kittens [33]. However, two unvaccinated kittens (aged 5 months) were found to have negative anti-FVRCP and anti-cat kidney tissues in this study. The kidney-bound antibody found in cats in this study showed a similar profile to anti-mitochondrial antibody results in human autoimmune hepatitis, in which the autoantibody stained the cytoplasm of the kidney tubule and showed increased intensity at the distal tubular cells [34]. In addition, some cats showed a profile of antibody binding at the apical border of the proximal convoluted tubule, similar to that in human patients with immune complex tubule-interstitial nephritis [35]. It was considered that, currently, CRFK cells appear phenotypically similar to fibroblasts rather than tubular epithelial cells. This was interesting, as antibodies bound to the proximal and distal tubules of cat kidneys in this study were inconsistent with the current characterization of CRFK cells as a fibroblast phenotype. Neoplastic transformation commonly occurs, and the CRFK cell line utilized for viral vaccine preparation might be in a passage related to epithelial-to-mesenchymal transition [36]. Four of the 26 embedded cat kidney tissues of cadaveric cats exhibited kidney-bound antibodies at the apical border of the kidney tubules and interstitial cells. The diagnoses were based on clinical symptoms and histopathological results showing altered cell structures, cytopathic effects, and a particular type of cell infiltration and inflammation based on clinical and histological diagnosis standards [37]. These cats were morphologically suspected to be infected and died due to viral infection. Several infections have been shown to associate with autoimmune diseases [3839]. Viral infection associated with an autoantibody to kidney tissue has been reported in FIV infection [40]. Similar to that previous report, in our study, one cat with kidney-bound antibodies had an FIV infection. Antibodies that bind to kidney tissues in cats were shown to recognize kidney proteins with M.W. of 47, 40, 38, and 20 kDa. Protein bands with M.W. of 47 and 40 kDa have been identified as alpha-enolase and annexin A2, respectively [28]. These 2 proteins were found only in FVRCP-vaccinated cats with kidney-bound antibodies in cytoplasm, not on the apical surface of the kidney tubule (as detected by immunofluorescence assays). The 38 kDa band is reportedly a macrophage capping protein, also known as Cap G, distributed primarily in cytosol, although it may have a nuclear distribution in some tissues [4142]. Based on database searches, the 20 kDa protein in this study did not match any previously reported cat kidney protein. It was noticed that some unvaccinated cats had antibodies to the 38 kDa band. This might be due to natural exposure to the virus; in those cats, the antibodies to FVRCP results were positive when using a commercial test kit but not the in-house ELISA. A causative role of viral infection in renal disease has been reported in FIV in cats and HIV in humans [434445]. Thus, antibodies responding to the FPV, FHV-1, or FCV viruses, which might have cross-reactivity or pathogenesis involvement of the kidney, are of interest and should be investigated further. Our study could not show directly that a higher frequency of FVRCP vaccination was associated with detecting antibodies bound to kidney tissues. However, the presence of antibodies to FVRCP was associated with a greater chance of having positive antibodies to kidney tissues. Nevertheless, repeat vaccination should be considered carefully, as some cats with positive kidney-bound antibodies appeared to have histories of more frequent FVRCP vaccination in this study. FVRCP-vaccinated cats can exhibit antibodies from two sources: virus- or CRFK cell protein-induced autoantibodies to kidney tissues. Based on the results presented in several studies, it appears that there might be no need to administer FVRCP vaccines more frequently than every three years after the 1-year booster vaccine, and the duration of vaccine-based immunity is possibly much longer [31]. Serological test results for antibodies against FPV, FCV, and FHV-1 can be used as an aid in determining the need for a vaccine [46]. In conclusion, this study could not show directly that the frequency of FVRCP vaccination was associated with finding antibodies to kidney tissues. However, having an anti-FVRCP antibody was associated with a greater chance of the presence of a positive antibody to kidney tissues. FVRCP-vaccinated cats can have antibodies derived from either virus or CRFK cell protein-induced autoantibodies. Thus, a feline vaccination schedule should be considered carefully, as over-vaccination might increase the risk of inducing the production of antibodies that bind to kidney tissues. Post-vaccination serology should be used as a guide in deciding the need for repeated vaccination in order to avoid adverse reactions and prevent the risk of vaccine-induced autoimmune disease.
Background: The feline viral rhinotracheitis, calicivirus, and panleukopenia (FVRCP) vaccine, prepared from viruses grown in the Crandell-Rees feline kidney cell line, can induce antibodies to cross-react with feline kidney tissues. Methods: Serum samples and kidneys were collected from 156 live and 26 cadaveric cats. Antibodies that bind to kidney tissues and antibodies to the FVRCP antigen were determined by enzyme-linked immunosorbent assay (ELISA), and kidney-bound antibody patterns were investigated by examining immunofluorescence. Proteins recognized by antibodies were identified by Western blot analysis. Results: The prevalences of autoantibodies that bind to kidney tissues in cats were 41% and 13% by ELISA and immunofluorescence, respectively. Kidney-bound antibodies were observed at interstitial cells, apical border, and cytoplasm of proximal and distal tubules; the antibodies were bound to proteins with molecular weights of 40, 47, 38, and 20 kDa. There was no direct link between vaccination and anti-kidney antibodies, but positive antibodies to kidney tissues were significantly associated with the anti-FVRCP antibody. The odds ratio or association in finding the autoantibody in cats with the antibody to FVRCP was 2.8 times higher than that in cats without the antibody to FVRCP. Conclusions: These preliminary results demonstrate an association between anti-FVRCP and anti-cat kidney tissues. However, an increase in the risk of inducing kidney-bound antibodies by repeat vaccinations could not be shown directly. It will be interesting to expand the sample size and follow-up on whether these autoantibodies can lead to kidney function impairment.
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14,036
303
[ 439, 188, 243, 345, 226, 151, 257, 300, 494, 144, 238, 311, 168, 341 ]
18
[ "kidney", "cats", "fvrcp", "antibodies", "cat", "tissues", "kidney tissues", "vaccinated", "antibody", "positive" ]
[ "cat kidney proteins", "vaccinated cats factors", "autoantibodies feline vaccination", "proteins unvaccinated cats", "kidney tissues vaccination" ]
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[CONTENT] Kidney diseases | autoantibodies | vaccines | immunofluorescence | feline [SUMMARY]
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[CONTENT] Kidney diseases | autoantibodies | vaccines | immunofluorescence | feline [SUMMARY]
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[CONTENT] Kidney diseases | autoantibodies | vaccines | immunofluorescence | feline [SUMMARY]
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[CONTENT] Animals | Antibodies, Viral | Autoantibodies | Caliciviridae Infections | Calicivirus, Feline | Cat Diseases | Cats | Enzyme-Linked Immunosorbent Assay | Feline Panleukopenia | Feline Panleukopenia Virus | Female | Fluorescent Antibody Technique | Herpesviridae Infections | Kidney | Male | Risk | Varicellovirus | Viral Vaccines [SUMMARY]
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[CONTENT] Animals | Antibodies, Viral | Autoantibodies | Caliciviridae Infections | Calicivirus, Feline | Cat Diseases | Cats | Enzyme-Linked Immunosorbent Assay | Feline Panleukopenia | Feline Panleukopenia Virus | Female | Fluorescent Antibody Technique | Herpesviridae Infections | Kidney | Male | Risk | Varicellovirus | Viral Vaccines [SUMMARY]
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[CONTENT] Animals | Antibodies, Viral | Autoantibodies | Caliciviridae Infections | Calicivirus, Feline | Cat Diseases | Cats | Enzyme-Linked Immunosorbent Assay | Feline Panleukopenia | Feline Panleukopenia Virus | Female | Fluorescent Antibody Technique | Herpesviridae Infections | Kidney | Male | Risk | Varicellovirus | Viral Vaccines [SUMMARY]
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[CONTENT] cat kidney proteins | vaccinated cats factors | autoantibodies feline vaccination | proteins unvaccinated cats | kidney tissues vaccination [SUMMARY]
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[CONTENT] cat kidney proteins | vaccinated cats factors | autoantibodies feline vaccination | proteins unvaccinated cats | kidney tissues vaccination [SUMMARY]
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[CONTENT] cat kidney proteins | vaccinated cats factors | autoantibodies feline vaccination | proteins unvaccinated cats | kidney tissues vaccination [SUMMARY]
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[CONTENT] kidney | cats | fvrcp | antibodies | cat | tissues | kidney tissues | vaccinated | antibody | positive [SUMMARY]
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[CONTENT] kidney | cats | fvrcp | antibodies | cat | tissues | kidney tissues | vaccinated | antibody | positive [SUMMARY]
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[CONTENT] kidney | cats | fvrcp | antibodies | cat | tissues | kidney tissues | vaccinated | antibody | positive [SUMMARY]
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[CONTENT] vaccines | feline | ckd | viral vaccines | kidney | induce | proteins | associated | tissue | vaccination fvrcp [SUMMARY]
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[CONTENT] cats | kidney | fvrcp | antibodies | tissues | cat | positive | vaccinated | antibodies bind | bind [SUMMARY]
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[CONTENT] kidney | cats | fvrcp | antibodies | cat | tissues | vaccinated | kidney tissues | vaccinated cats | positive [SUMMARY]
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[CONTENT] FVRCP | Crandell-Rees [SUMMARY]
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[CONTENT] 41% and | 13% | ELISA ||| Kidney-bound | 40 | 47 | 38 | 20 kDa ||| ||| FVRCP | 2.8 | FVRCP [SUMMARY]
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[CONTENT] FVRCP | Crandell-Rees ||| 156 | 26 ||| FVRCP | ELISA ||| ||| ||| 41% and | 13% | ELISA ||| Kidney-bound | 40 | 47 | 38 | 20 kDa ||| ||| FVRCP | 2.8 | FVRCP ||| anti-FVRCP ||| ||| [SUMMARY]
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Is aggressive intravenous fluid resuscitation beneficial in acute pancreatitis? A meta-analysis of randomized control trials and cohort studies.
32206000
There is conflincting evidence on the intravenous fluid (IVF) strategy for acute pancreatitis (AP). We perform a metaanalysis of the available evidence.
BACKGROUND
Metaanalysis of available randomized controlled trials and cohort studies comparing aggressive IVF vs non-aggressive IVF resuscitation.
METHODS
There was no significant difference in mortality between the aggressive (n = 1229) and non-aggressive IVF (n = 1397) patients. Patients receiving aggressive IVF therapy had higher risk for acute kidney injury and acute respiratory distress syndrome. There also was no significant difference in the overall incidence of systemic inflammatory response syndrome, persistent organ failure, pancreatic necrosis when comparing both study groups.
RESULTS
Early aggressive IVF therapy did not improve mortality. Moreover, aggressive IVF therapy could potentially increase the risk for acute kidney injury and pulmonary edema leading to respiratory failure and mechanical ventilation. Studies are needed to investigate which subset of AP patients could benefit from aggressive IVF therapy.
CONCLUSION
[ "Acute Disease", "Acute Kidney Injury", "Administration, Intravenous", "Cohort Studies", "Fluid Therapy", "Humans", "Incidence", "Pancreatitis", "Pancreatitis, Acute Necrotizing", "Pulmonary Edema", "Randomized Controlled Trials as Topic", "Resuscitation", "Systemic Inflammatory Response Syndrome", "Treatment Outcome" ]
7081000
INTRODUCTION
Acute pancreatitis (AP) is a common gastrointestinal disease that can lead to severe morbidity and mortality[1,2]. AP incidence has been increasing worldwide without an evident explanation[3]. AP is characterized by inflammation of the pancreas, and its natural disease can be categorized in two phases: The early phase that is accompanied with the systemic inflammatory response syndrome (SIRS) and usually last 1-2 wk; and the late phase refers for patients that suffer sequela of AP (fluid collections, infection). AP is classified in three subtypes, mild (usually interstitial), moderately–severe (transient organ failure) and severe (persistent organ failure). 80%-85% of cases are mild and typically interstitial, whereas 15%-20% are severe and/or necrotizing[4-6]. Intravenous fluid (IVF) resuscitation is one of the cornerstones for its management and is meant to counteract the third spacing and intravascular hypovolemia caused by the severe pancreatic inflammation. Early aggressive IVF resuscitation has been recommended by different guidelines[7-10], but most recently the AGA guidelines urged caution with this approach[8]. Vigorous IVF resuscitation has been traditionally given to prevent pancreatic hypoperfusion and necrosis. Although some studies have shown that is the persistent organ failure that puts the patient at higher mortality rather than necrosis alone. Other studies have raised concern on aggressive IVF been detrimental as it could increase the risk for pulmonary edema, respiratory failure, renal congestion, and acute kidney injury[11]. Despite the growing evidence, AP IVF resuscitation remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF resuscitation randomized trials and cohort studies.
MATERIALS AND METHODS
Data sources Three electronic databases, Pubmed, Cochrane, and Embase, were searched from inception till 25 December 2018 for cohort studies as well as randomized controlled trials comparing aggressive fluid administration to non-aggressive fluid administration in patients with acute pancreatitis. Studies assessing IVF amount and timing of administration were included. Only articles published in the English language were screened. The references of the included studies were also evaluated for studies not incorporated by the initial search. This meta-analysis was performed in concurrence with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses guidelines (Supplementary I) and was registered on PROSPERO international prospective register of systematic reviews(CRD42020146809). Three electronic databases, Pubmed, Cochrane, and Embase, were searched from inception till 25 December 2018 for cohort studies as well as randomized controlled trials comparing aggressive fluid administration to non-aggressive fluid administration in patients with acute pancreatitis. Studies assessing IVF amount and timing of administration were included. Only articles published in the English language were screened. The references of the included studies were also evaluated for studies not incorporated by the initial search. This meta-analysis was performed in concurrence with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses guidelines (Supplementary I) and was registered on PROSPERO international prospective register of systematic reviews(CRD42020146809). Inclusion and exclusion criteria A study was included if it satisfied all of the following: (1) A randomized trial, prospective cohort, or a retrospective cohort; and (2) Reporting outcomes of patients who received aggressive hydration versus patients who received non-aggressive hydration. Aggressive IVF amount administered had variation between studies (from 3 mL/kg/h to 5 mL/kg/h in first 24 h), but the definitions were still compliant with guideline definition of aggressive IVF hydration therapy. Studies that reported only outcomes of one group, studies that did not clearly define the rate of fluid administration, studies that were published as conference abstracts, case reports, narrative reviews, or studies that were designed as case-control studies were excluded from our current study. A study was included if it satisfied all of the following: (1) A randomized trial, prospective cohort, or a retrospective cohort; and (2) Reporting outcomes of patients who received aggressive hydration versus patients who received non-aggressive hydration. Aggressive IVF amount administered had variation between studies (from 3 mL/kg/h to 5 mL/kg/h in first 24 h), but the definitions were still compliant with guideline definition of aggressive IVF hydration therapy. Studies that reported only outcomes of one group, studies that did not clearly define the rate of fluid administration, studies that were published as conference abstracts, case reports, narrative reviews, or studies that were designed as case-control studies were excluded from our current study. Data extraction Two authors (Mohamed M Gad, C Roberto Simons-Linares) independently screened the titles and abstracts of the search results after removing duplicated studies. Same two authors selected full-text studies for screening and performed the final data extraction of the baseline characteristics as well as outcomes of interest. Any conflicts were settled by consensus between the authors. Two authors (Mohamed M Gad, C Roberto Simons-Linares) independently screened the titles and abstracts of the search results after removing duplicated studies. Same two authors selected full-text studies for screening and performed the final data extraction of the baseline characteristics as well as outcomes of interest. Any conflicts were settled by consensus between the authors. Definition of outcomes The primary outcome evaluated was in-hospital mortality. In-Hospital mortality was chosen due to the impactful consequential clinical management decision based on mortality outcomes as well as the uniform definition across all studies, corresponding with the least possible study heterogeneity. Secondary outcomes were SIRS, pancreatic necrosis, persistent organ failure, Acute Kidney Injury (AKI), and the need for mechanical ventilation. All outcomes were determined as per the study’s definition. The primary outcome evaluated was in-hospital mortality. In-Hospital mortality was chosen due to the impactful consequential clinical management decision based on mortality outcomes as well as the uniform definition across all studies, corresponding with the least possible study heterogeneity. Secondary outcomes were SIRS, pancreatic necrosis, persistent organ failure, Acute Kidney Injury (AKI), and the need for mechanical ventilation. All outcomes were determined as per the study’s definition. Assessment of studies quality The Cochrane risk of bias tool was utilized in randomized controlled trials, and Newcastle-Ottawa Scale was used in observational studies as advised by the Cochrane handbook of systematic reviews and meta-analysis. Conventional meta-analysis statistical analysis: Categorical variables were described using weighted frequencies, and weighted means/ SD were calculated for continuous variables. Weights were determined based on the sample size of each study. Fixed and Random effects risk ratios (RRs) were calculated for all outcomes using inverse variance method-DerSimonian-Laird estimator. I2 statistic was used to assess the heterogeneity between the included studies. A two-sided P value of < 0.05 and confidence interval (CI) of 95% were considered to be statistically significant, and all statistical analyses for the meta-analysis were performed with the use of RStudio® software package (meta) (RStudio, Boston, MA, United States). The Cochrane risk of bias tool was utilized in randomized controlled trials, and Newcastle-Ottawa Scale was used in observational studies as advised by the Cochrane handbook of systematic reviews and meta-analysis. Conventional meta-analysis statistical analysis: Categorical variables were described using weighted frequencies, and weighted means/ SD were calculated for continuous variables. Weights were determined based on the sample size of each study. Fixed and Random effects risk ratios (RRs) were calculated for all outcomes using inverse variance method-DerSimonian-Laird estimator. I2 statistic was used to assess the heterogeneity between the included studies. A two-sided P value of < 0.05 and confidence interval (CI) of 95% were considered to be statistically significant, and all statistical analyses for the meta-analysis were performed with the use of RStudio® software package (meta) (RStudio, Boston, MA, United States).
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Research conclusions
As there is very limited and heterogenous evidence to support aggressive IVF over goal-directed IVF therapy, further studies are needed to assess the baseline fluid status of the patient before, during, and after IVF resuscitation. Non-invasive identification of the fluid responder patients would be beneficial to help optimize the management of AP patients and avoid pancreatic necrosis, multiorgan failure and mortality.
[ "INTRODUCTION", "Data sources", "Inclusion and exclusion criteria", "Data extraction", "Definition of outcomes", "Assessment of studies quality", "RESULTS", "Mortality", "Persistent organ failure", "Pancreatic necrosis", "SIRS", "AKI", "Respiratory failure or mechanical ventilation support", "Heterogeneity", "Subgroup analysis", "DISCUSSION", "ARTICLE HIGHLIGHTS", "Research background", "Research motivation", "Research objectives", "Research methods", "Research results", "Research conclusions" ]
[ "Acute pancreatitis (AP) is a common gastrointestinal disease that can lead to severe morbidity and mortality[1,2]. AP incidence has been increasing worldwide without an evident explanation[3]. AP is characterized by inflammation of the pancreas, and its natural disease can be categorized in two phases: The early phase that is accompanied with the systemic inflammatory response syndrome (SIRS) and usually last 1-2 wk; and the late phase refers for patients that suffer sequela of AP (fluid collections, infection). AP is classified in three subtypes, mild (usually interstitial), moderately–severe (transient organ failure) and severe (persistent organ failure). 80%-85% of cases are mild and typically interstitial, whereas 15%-20% are severe and/or necrotizing[4-6].\nIntravenous fluid (IVF) resuscitation is one of the cornerstones for its management and is meant to counteract the third spacing and intravascular hypovolemia caused by the severe pancreatic inflammation. Early aggressive IVF resuscitation has been recommended by different guidelines[7-10], but most recently the AGA guidelines urged caution with this approach[8]. Vigorous IVF resuscitation has been traditionally given to prevent pancreatic hypoperfusion and necrosis. Although some studies have shown that is the persistent organ failure that puts the patient at higher mortality rather than necrosis alone. Other studies have raised concern on aggressive IVF been detrimental as it could increase the risk for pulmonary edema, respiratory failure, renal congestion, and acute kidney injury[11].\nDespite the growing evidence, AP IVF resuscitation remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF resuscitation randomized trials and cohort studies.", "Three electronic databases, Pubmed, Cochrane, and Embase, were searched from inception till 25 December 2018 for cohort studies as well as randomized controlled trials comparing aggressive fluid administration to non-aggressive fluid administration in patients with acute pancreatitis. Studies assessing IVF amount and timing of administration were included. Only articles published in the English language were screened. The references of the included studies were also evaluated for studies not incorporated by the initial search. This meta-analysis was performed in concurrence with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses guidelines (Supplementary I) and was registered on PROSPERO international prospective register of systematic reviews(CRD42020146809).", "A study was included if it satisfied all of the following: (1) A randomized trial, prospective cohort, or a retrospective cohort; and (2) Reporting outcomes of patients who received aggressive hydration versus patients who received non-aggressive hydration. Aggressive IVF amount administered had variation between studies (from 3 mL/kg/h to 5 mL/kg/h in first 24 h), but the definitions were still compliant with guideline definition of aggressive IVF hydration therapy. Studies that reported only outcomes of one group, studies that did not clearly define the rate of fluid administration, studies that were published as conference abstracts, case reports, narrative reviews, or studies that were designed as case-control studies were excluded from our current study.", "Two authors (Mohamed M Gad, C Roberto Simons-Linares) independently screened the titles and abstracts of the search results after removing duplicated studies. Same two authors selected full-text studies for screening and performed the final data extraction of the baseline characteristics as well as outcomes of interest. Any conflicts were settled by consensus between the authors.", "The primary outcome evaluated was in-hospital mortality. In-Hospital mortality was chosen due to the impactful consequential clinical management decision based on mortality outcomes as well as the uniform definition across all studies, corresponding with the least possible study heterogeneity. Secondary outcomes were SIRS, pancreatic necrosis, persistent organ failure, Acute Kidney Injury (AKI), and the need for mechanical ventilation. All outcomes were determined as per the study’s definition.", "The Cochrane risk of bias tool was utilized in randomized controlled trials, and Newcastle-Ottawa Scale was used in observational studies as advised by the Cochrane handbook of systematic reviews and meta-analysis.\nConventional meta-analysis statistical analysis: Categorical variables were described using weighted frequencies, and weighted means/ SD were calculated for continuous variables. Weights were determined based on the sample size of each study. Fixed and Random effects risk ratios (RRs) were calculated for all outcomes using inverse variance method-DerSimonian-Laird estimator. I2 statistic was used to assess the heterogeneity between the included studies. A two-sided P value of < 0.05 and confidence interval (CI) of 95% were considered to be statistically significant, and all statistical analyses for the meta-analysis were performed with the use of RStudio® software package (meta) (RStudio, Boston, MA, United States).", "The initial search revealed 2033 citations, but a total of 11 studies were included[11-21]; giving a total of 2686 patients. 1256 received aggressive resuscitation, and 1430 did not. Four randomized controlled trials (RCTs) addressed the issue of aggressive IVF resuscitation vs non-aggressive IVF. Seven cohort studies were also included. The end-points for outcomes varied among studies, and we tested for heterogeneity, which was found to be high between the studies.\n Mortality There was no significant difference between the aggressive (n = 1229) and non-aggressive IVF (n = 1397) patients in terms of mortality benefit (RR: 1.30; 95%CI: 0.79-2.12). In most studies, the mortality was not significantly different, and this could be due to the low mortality and small sample size. With the exception of the study by Yamashita et al[18] that studied over one thousand patients and had over 130 events (deaths); but the investigators did not find mortality difference between groups. However, in only one study by Warndorf et al[16], the aggressive IVF group showed to have a lower mortality (RR: 0.21, 95%CI: 0.05-0.91). In contrary, both RCT studies performed in China by Mao et al[12,22], revealed increased mortality when aggressive IVF strategy was used. These studies in China showed higher risk for increased mortality in the aggressive IVF group: 2009 study RR 3.06 (95%CI: 1.07-8.75) and 2010 study RR 2.22 (95%CI: 1.10-4.50) (Figure 1). Of note, most studies had low event rate (0-11 deaths in the study group) with the exception of two studies: Mao et al[22] 2010 had 19 deaths; and Yamashita et al[18] had 62 deaths.\nForest plot for mortality outcomes. RR: Relative risk; CI: Confidence interval.\nThere was no significant difference between the aggressive (n = 1229) and non-aggressive IVF (n = 1397) patients in terms of mortality benefit (RR: 1.30; 95%CI: 0.79-2.12). In most studies, the mortality was not significantly different, and this could be due to the low mortality and small sample size. With the exception of the study by Yamashita et al[18] that studied over one thousand patients and had over 130 events (deaths); but the investigators did not find mortality difference between groups. However, in only one study by Warndorf et al[16], the aggressive IVF group showed to have a lower mortality (RR: 0.21, 95%CI: 0.05-0.91). In contrary, both RCT studies performed in China by Mao et al[12,22], revealed increased mortality when aggressive IVF strategy was used. These studies in China showed higher risk for increased mortality in the aggressive IVF group: 2009 study RR 3.06 (95%CI: 1.07-8.75) and 2010 study RR 2.22 (95%CI: 1.10-4.50) (Figure 1). Of note, most studies had low event rate (0-11 deaths in the study group) with the exception of two studies: Mao et al[22] 2010 had 19 deaths; and Yamashita et al[18] had 62 deaths.\nForest plot for mortality outcomes. RR: Relative risk; CI: Confidence interval.\n Persistent organ failure Not distinguishing between transient and persistent organ failures was one of the most important limitations of RCTs. Including cohort studies allowed us to compare between them, but with a lower level of evidence. We were able to assess this outcome in 5 studies (n = 1159), of which only one study had statistically significant findings in favor of aggressive IVF (Warndorf et al[16], RR: 0.17, 95%CI: 0.10-0.30) but this benefit was not observed in the overall calculations of the metaanalysis (RR: 0.98, 95%CI: 0.31-3.14) (Figure 2).\nForest plot for persistent organ failure. RR: Relative risk; CI: Confidence interval.\nNot distinguishing between transient and persistent organ failures was one of the most important limitations of RCTs. Including cohort studies allowed us to compare between them, but with a lower level of evidence. We were able to assess this outcome in 5 studies (n = 1159), of which only one study had statistically significant findings in favor of aggressive IVF (Warndorf et al[16], RR: 0.17, 95%CI: 0.10-0.30) but this benefit was not observed in the overall calculations of the metaanalysis (RR: 0.98, 95%CI: 0.31-3.14) (Figure 2).\nForest plot for persistent organ failure. RR: Relative risk; CI: Confidence interval.\n Pancreatic necrosis Eight studies with 2001 patients were included in the analysis. In the fixed model of out metaanalysis, patients receiving aggressive IVF therapy (n = 848) seemed to have higher risk for pancreatic necrosis (RR: 1.52; 95%CI: 1.32-1.75); this could be explained by assuming that probably patients who had necrosis were more likely to receive aggressive IVF therapy and more prolong IVF therapy that could be detrimental (Figure 3). However, due to the significant differences between the included studies (differences in terms of end points, patients enrollment method, and overall studies designs), we interpreted the results of our metaanalysis by using the random effect models for all our results (rather than the fixed model). In the random effect model, there was no difference in pancreatic necrosis rates between groups (RR: 1.60, 95%CI: 0.69-3.73). Location, extension, and degree of necrosis were not provided by studies. Additionally, the incidence of infection of the necrosis was not studied.\nForest plot for pancreatic necrosis. RR: Relative risk; CI: Confidence interval.\nEight studies with 2001 patients were included in the analysis. In the fixed model of out metaanalysis, patients receiving aggressive IVF therapy (n = 848) seemed to have higher risk for pancreatic necrosis (RR: 1.52; 95%CI: 1.32-1.75); this could be explained by assuming that probably patients who had necrosis were more likely to receive aggressive IVF therapy and more prolong IVF therapy that could be detrimental (Figure 3). However, due to the significant differences between the included studies (differences in terms of end points, patients enrollment method, and overall studies designs), we interpreted the results of our metaanalysis by using the random effect models for all our results (rather than the fixed model). In the random effect model, there was no difference in pancreatic necrosis rates between groups (RR: 1.60, 95%CI: 0.69-3.73). Location, extension, and degree of necrosis were not provided by studies. Additionally, the incidence of infection of the necrosis was not studied.\nForest plot for pancreatic necrosis. RR: Relative risk; CI: Confidence interval.\n SIRS 1549 patients were included, and there was no significant difference in the overall incidence of SIRS when comparing both study groups (RR: 1.0; 95%CI: 0.71-1.40) (Figure 4). There were two cohort studies and one RCT that reported a decreased incidence of SIRS in the aggressive IVF group[14,16,20]. Contrary, there were two RCTs and three cohort studies that showed that the aggressive IVF group had higher rates of SIRS[9,11,15,18,22]. However, the only statistically significant results for this outcome were reported in three studies: Mao et al[22] 2010 study and 2009 study, both reported increased incidence of SIRS with aggressive IVF: RR: 1.36, 95%CI: 1.05-1.76 and RR: 1.70, 95%CI: 1.07-2.72, respectively. Warndorf et al[16] reported a significant benefit of decreasing SIRS with aggressive IVF (RR: 0.36, 95%CI: 0.26-0.51).\nForest plot for systemic inflammatory response syndrome. RR: Relative risk; CI: Confidence interval.\n1549 patients were included, and there was no significant difference in the overall incidence of SIRS when comparing both study groups (RR: 1.0; 95%CI: 0.71-1.40) (Figure 4). There were two cohort studies and one RCT that reported a decreased incidence of SIRS in the aggressive IVF group[14,16,20]. Contrary, there were two RCTs and three cohort studies that showed that the aggressive IVF group had higher rates of SIRS[9,11,15,18,22]. However, the only statistically significant results for this outcome were reported in three studies: Mao et al[22] 2010 study and 2009 study, both reported increased incidence of SIRS with aggressive IVF: RR: 1.36, 95%CI: 1.05-1.76 and RR: 1.70, 95%CI: 1.07-2.72, respectively. Warndorf et al[16] reported a significant benefit of decreasing SIRS with aggressive IVF (RR: 0.36, 95%CI: 0.26-0.51).\nForest plot for systemic inflammatory response syndrome. RR: Relative risk; CI: Confidence interval.\n AKI We included four studies involving 1440 patients for the analysis of AKI. All four studies showed an increased risk for AKI with aggressive IVF. Although, only two studies reached statistical significance (Yamashita et al[18], Ye et al[11]). Interestingly, our metaanalysis shows that patients that received aggressive IVF therapy were more than two times more likely to develop AKI (RR: 2.17; 95%CI: 1.66-2.83). Renal vascular congestion, similar pathophysiology of the cardiorenal syndromes–has been demonstrated that could cause injury to the glomeruli. The latter mechanism could be implicated and was reported in some of the papers included in our analysis (Figure 5).\nForest plot for acute kidney injury. RR: Relative risk; CI: Confidence interval.\nWe included four studies involving 1440 patients for the analysis of AKI. All four studies showed an increased risk for AKI with aggressive IVF. Although, only two studies reached statistical significance (Yamashita et al[18], Ye et al[11]). Interestingly, our metaanalysis shows that patients that received aggressive IVF therapy were more than two times more likely to develop AKI (RR: 2.17; 95%CI: 1.66-2.83). Renal vascular congestion, similar pathophysiology of the cardiorenal syndromes–has been demonstrated that could cause injury to the glomeruli. The latter mechanism could be implicated and was reported in some of the papers included in our analysis (Figure 5).\nForest plot for acute kidney injury. RR: Relative risk; CI: Confidence interval.\n Respiratory failure or mechanical ventilation support 1316 patients from 3 studies were included in the analysis. All three showed worse outcomes with aggressive IVF; Two studies (Yamashita et al[18], Ye et al[11]) reached statistical significance. Not surprising, patients who received aggressive IVF therapy were also more likely to develop pulmonary edema, fluid overload that leads to respiratory failure, and mechanical ventilation support. Overall, aggressive IVF patients were two times more at risk to develop respiratory failure (RR: 2.40, 95%CI: 1.63-3.54) (Figure 6).\nForest plot for respiratory failure/mechanical ventilation requirement. RR: Relative risk; CI: Confidence interval.\n1316 patients from 3 studies were included in the analysis. All three showed worse outcomes with aggressive IVF; Two studies (Yamashita et al[18], Ye et al[11]) reached statistical significance. Not surprising, patients who received aggressive IVF therapy were also more likely to develop pulmonary edema, fluid overload that leads to respiratory failure, and mechanical ventilation support. Overall, aggressive IVF patients were two times more at risk to develop respiratory failure (RR: 2.40, 95%CI: 1.63-3.54) (Figure 6).\nForest plot for respiratory failure/mechanical ventilation requirement. RR: Relative risk; CI: Confidence interval.\n Heterogeneity One study (Buxbaum et al[19]) was not designed to have mortality as an outcome and hence not reported. There were significant variations on the definitions of the outcomes (persistent organ failure, respiratory failure, AKI). Another concern we have is how AKI was defined; unfortunately there are no details about this in the vast majority of the studies. Finally, one of the biggest concerns that the authors of this paper have is in regards to persistent organ failure–there was significant heterogeneity of this definition, and none of the RCTs reported this. We have evidence that is persistent organ failure that drives mortality in AP rather than isolated pancreatic necrosis without persistent organ failure. The mentioned concerns are limitations of the study, and our findings should be interpreted with caution (Supplemental I Table 1).\nOne study (Buxbaum et al[19]) was not designed to have mortality as an outcome and hence not reported. There were significant variations on the definitions of the outcomes (persistent organ failure, respiratory failure, AKI). Another concern we have is how AKI was defined; unfortunately there are no details about this in the vast majority of the studies. Finally, one of the biggest concerns that the authors of this paper have is in regards to persistent organ failure–there was significant heterogeneity of this definition, and none of the RCTs reported this. We have evidence that is persistent organ failure that drives mortality in AP rather than isolated pancreatic necrosis without persistent organ failure. The mentioned concerns are limitations of the study, and our findings should be interpreted with caution (Supplemental I Table 1).\n Subgroup analysis We explored studying our outcomes in subgroups according to AP etiology and also according to age groups (older > 55 years old vs younger < 55 years old). However, very few studies had data for us to include in the subgroup analysis and most studies did not report appropriate data for this analysis. From the available data, we did not find any significant differences in the subgroups analysis (Supplemental II). Subgroup analysis by AP severity could not be studied due to lack of data.\nWe explored studying our outcomes in subgroups according to AP etiology and also according to age groups (older > 55 years old vs younger < 55 years old). However, very few studies had data for us to include in the subgroup analysis and most studies did not report appropriate data for this analysis. From the available data, we did not find any significant differences in the subgroups analysis (Supplemental II). Subgroup analysis by AP severity could not be studied due to lack of data.", "There was no significant difference between the aggressive (n = 1229) and non-aggressive IVF (n = 1397) patients in terms of mortality benefit (RR: 1.30; 95%CI: 0.79-2.12). In most studies, the mortality was not significantly different, and this could be due to the low mortality and small sample size. With the exception of the study by Yamashita et al[18] that studied over one thousand patients and had over 130 events (deaths); but the investigators did not find mortality difference between groups. However, in only one study by Warndorf et al[16], the aggressive IVF group showed to have a lower mortality (RR: 0.21, 95%CI: 0.05-0.91). In contrary, both RCT studies performed in China by Mao et al[12,22], revealed increased mortality when aggressive IVF strategy was used. These studies in China showed higher risk for increased mortality in the aggressive IVF group: 2009 study RR 3.06 (95%CI: 1.07-8.75) and 2010 study RR 2.22 (95%CI: 1.10-4.50) (Figure 1). Of note, most studies had low event rate (0-11 deaths in the study group) with the exception of two studies: Mao et al[22] 2010 had 19 deaths; and Yamashita et al[18] had 62 deaths.\nForest plot for mortality outcomes. RR: Relative risk; CI: Confidence interval.", "Not distinguishing between transient and persistent organ failures was one of the most important limitations of RCTs. Including cohort studies allowed us to compare between them, but with a lower level of evidence. We were able to assess this outcome in 5 studies (n = 1159), of which only one study had statistically significant findings in favor of aggressive IVF (Warndorf et al[16], RR: 0.17, 95%CI: 0.10-0.30) but this benefit was not observed in the overall calculations of the metaanalysis (RR: 0.98, 95%CI: 0.31-3.14) (Figure 2).\nForest plot for persistent organ failure. RR: Relative risk; CI: Confidence interval.", "Eight studies with 2001 patients were included in the analysis. In the fixed model of out metaanalysis, patients receiving aggressive IVF therapy (n = 848) seemed to have higher risk for pancreatic necrosis (RR: 1.52; 95%CI: 1.32-1.75); this could be explained by assuming that probably patients who had necrosis were more likely to receive aggressive IVF therapy and more prolong IVF therapy that could be detrimental (Figure 3). However, due to the significant differences between the included studies (differences in terms of end points, patients enrollment method, and overall studies designs), we interpreted the results of our metaanalysis by using the random effect models for all our results (rather than the fixed model). In the random effect model, there was no difference in pancreatic necrosis rates between groups (RR: 1.60, 95%CI: 0.69-3.73). Location, extension, and degree of necrosis were not provided by studies. Additionally, the incidence of infection of the necrosis was not studied.\nForest plot for pancreatic necrosis. RR: Relative risk; CI: Confidence interval.", "1549 patients were included, and there was no significant difference in the overall incidence of SIRS when comparing both study groups (RR: 1.0; 95%CI: 0.71-1.40) (Figure 4). There were two cohort studies and one RCT that reported a decreased incidence of SIRS in the aggressive IVF group[14,16,20]. Contrary, there were two RCTs and three cohort studies that showed that the aggressive IVF group had higher rates of SIRS[9,11,15,18,22]. However, the only statistically significant results for this outcome were reported in three studies: Mao et al[22] 2010 study and 2009 study, both reported increased incidence of SIRS with aggressive IVF: RR: 1.36, 95%CI: 1.05-1.76 and RR: 1.70, 95%CI: 1.07-2.72, respectively. Warndorf et al[16] reported a significant benefit of decreasing SIRS with aggressive IVF (RR: 0.36, 95%CI: 0.26-0.51).\nForest plot for systemic inflammatory response syndrome. RR: Relative risk; CI: Confidence interval.", "We included four studies involving 1440 patients for the analysis of AKI. All four studies showed an increased risk for AKI with aggressive IVF. Although, only two studies reached statistical significance (Yamashita et al[18], Ye et al[11]). Interestingly, our metaanalysis shows that patients that received aggressive IVF therapy were more than two times more likely to develop AKI (RR: 2.17; 95%CI: 1.66-2.83). Renal vascular congestion, similar pathophysiology of the cardiorenal syndromes–has been demonstrated that could cause injury to the glomeruli. The latter mechanism could be implicated and was reported in some of the papers included in our analysis (Figure 5).\nForest plot for acute kidney injury. RR: Relative risk; CI: Confidence interval.", "1316 patients from 3 studies were included in the analysis. All three showed worse outcomes with aggressive IVF; Two studies (Yamashita et al[18], Ye et al[11]) reached statistical significance. Not surprising, patients who received aggressive IVF therapy were also more likely to develop pulmonary edema, fluid overload that leads to respiratory failure, and mechanical ventilation support. Overall, aggressive IVF patients were two times more at risk to develop respiratory failure (RR: 2.40, 95%CI: 1.63-3.54) (Figure 6).\nForest plot for respiratory failure/mechanical ventilation requirement. RR: Relative risk; CI: Confidence interval.", "One study (Buxbaum et al[19]) was not designed to have mortality as an outcome and hence not reported. There were significant variations on the definitions of the outcomes (persistent organ failure, respiratory failure, AKI). Another concern we have is how AKI was defined; unfortunately there are no details about this in the vast majority of the studies. Finally, one of the biggest concerns that the authors of this paper have is in regards to persistent organ failure–there was significant heterogeneity of this definition, and none of the RCTs reported this. We have evidence that is persistent organ failure that drives mortality in AP rather than isolated pancreatic necrosis without persistent organ failure. The mentioned concerns are limitations of the study, and our findings should be interpreted with caution (Supplemental I Table 1).", "We explored studying our outcomes in subgroups according to AP etiology and also according to age groups (older > 55 years old vs younger < 55 years old). However, very few studies had data for us to include in the subgroup analysis and most studies did not report appropriate data for this analysis. From the available data, we did not find any significant differences in the subgroups analysis (Supplemental II). Subgroup analysis by AP severity could not be studied due to lack of data.", "The capillary leak from pancreatic inflammation behaves similar to other diseases such as sepsis and burn injuries[23-26]. The intravascular depletion, hypovolemia, and third-spacing of fluid causes pancreatic tissue hypoperfusion and necrosis. It is also known that this hypoperfusion state damages other sensitive organs such as the kidneys, lungs, and heart; leading to multi-organ failure with or without hypovolemic shock. Apart from the hypovolemia and hypoperfusion, pancreatitis itself causes severe inflammation in its early phase that can also lead to other organ failures such as acute respiratory distress syndrome, hypercoagulable state, and venous thromboembolisms[6].\nThe rationale of intravenous fluid resuscitation is to provide hemodynamic support and expand the severely depleted intravascular space to aid the perfusion of vital organs. Unfortunately, there is no medication approved as of yet to help counteract the capillary leak from AP systemic inflammation. Rapid hemodilution was studied in multiple retrospective studies and data showed that rapidly administering IVF therapy and using the hematocrit and blood urea nitrogen as markers to achieve rapid hemodilution were effective[19,27-29].\nIn recent years, some studies have raised concerns about aggressive IVF resuscitation causing serious side effects such as AKI and pulmonary edema leading to respiratory failure[11-13,19]. Our meta-analysis found that individuals in the aggressive IVF group were two times more likely to develop AKI (Figure 5). AKI could worsen with aggressive IVF therapy through multiple possible mechanisms. First renal congestion with excessive intravascular fluid, a similar mechanism to cardiorenal syndrome. Second, visceral edema and congestion of the renal vasculature bed can also affect the kidney’s perfusion and lead to AKI. Third, the type of IV fluid used may also impact; for example, excessive chloride is a risk for kidney injury. Fourth, if patients are fluid overload, the use of diuretics to treat the fluid overload can impact the kidneys and contribute to the multifactorial causes of AKI during AP. Less common, intra-abdominal compartment syndrome could cause constriction of the renal vasculature and lead to AKI as well[30,31].\nOur study also found that patients in the aggressive IVF group were two times more at risk to develop respiratory failure and require mechanical ventilation. Although direct conclusion cannot be drawn from this finding; for example, these patients had more pulmonary edema from excessive IV fluids, but it could also be that these patients were just sicker and developed acute respiratory distress syndrome from pancreatitis itself. There is undoubtedly a concern for this possible and detrimental side effect of aggressive IVF to the lungs, that could lead to higher risk for mechanical ventilation in the aggressive IVF group. However, we are unable to conclude that the higher rates of respiratory failure in our analysis was due to a more aggressive IVF strategy.\nIn our metaanalysis we were also able to assess for mortality, persistent organ failure, pancreatic necrosis and SIRS; but we did not find an statistical difference between groups. The available studies in the literature and the ones included in this metaanalysis have significant heterogenicity in terms of design, populations studied (variations in AP severity, races), IVF types, IVF amount/definitions of aggressive IVF; hence we do not believe that the outcomes of this metanalysis can be used to draw strong or definitive conclusions. However, the present study contributes to the current literature with a summary of the available studies and it also shows the signifcant heterogenicty among the published studies and the need for a well design multicenter randomized control trial to answer the question if aggressive IVF is beneficial and in what type of patient it would be beneficial.\nIn conclusion, there is very limited evidence to support aggressive over goal-directed IVF resuscitation. RCTs are needed to first address the baseline accurate fluid status of the patient with a non-invasive hemodynamic assessment. Moreover, the fluid responsiveness of the patient also needs to be studied, as all patients may not be responsive to IV fluid resuscitation, and additional therapies remained to be elucidated.", " Research background The background, present status, and significance of the study should be described in detail. Intravenous fluid (IVF) resuscitation is the cornerstone for Acute pancreatitis (AP) management and Early Aggressive IVF therapy has been traditionally recommended. Recent evidence has raised concern for detrimental effect of aggressive IVF therapy, hence we analyzed the evidence of randomized controlled trials (RCTs) and cohort studies comparing aggressive IVF vs non-aggressive IVF therapy.\nThe background, present status, and significance of the study should be described in detail. Intravenous fluid (IVF) resuscitation is the cornerstone for Acute pancreatitis (AP) management and Early Aggressive IVF therapy has been traditionally recommended. Recent evidence has raised concern for detrimental effect of aggressive IVF therapy, hence we analyzed the evidence of randomized controlled trials (RCTs) and cohort studies comparing aggressive IVF vs non-aggressive IVF therapy.\n Research motivation There is growing controversial evidence on AP IVF resuscitation and the IVF strategy remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF therapy for AP reported in randomized trials and cohort studies.\nThere is growing controversial evidence on AP IVF resuscitation and the IVF strategy remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF therapy for AP reported in randomized trials and cohort studies.\n Research objectives To investigate if aggressive IVF therapy in AP patients is beneficial to decrease mortality and improve outcomes.\nTo investigate if aggressive IVF therapy in AP patients is beneficial to decrease mortality and improve outcomes.\n Research methods We perform a metaanalysis of RCTs and cohort studies. Three electronic databases (Pubmed, Cochrane, and Embase) were searched from inception till 25 December 2018 for studies comparing aggressive IVF to non-aggressive IVF therapy in patients with AP.\nWe perform a metaanalysis of RCTs and cohort studies. Three electronic databases (Pubmed, Cochrane, and Embase) were searched from inception till 25 December 2018 for studies comparing aggressive IVF to non-aggressive IVF therapy in patients with AP.\n Research results A total of 11 studies were included; giving a total of 2686 patients. Our study found that early aggressive IVF therapy did not improve mortality and it could potentially increase the risk for AKI, pulmonary edema leading to respiratory failure and mechanical ventilation requirement. This controversial topic remains to be studied and more studies are needed to investigate which subset of AP patients could benefit from aggressive IVF therapy.\nA total of 11 studies were included; giving a total of 2686 patients. Our study found that early aggressive IVF therapy did not improve mortality and it could potentially increase the risk for AKI, pulmonary edema leading to respiratory failure and mechanical ventilation requirement. This controversial topic remains to be studied and more studies are needed to investigate which subset of AP patients could benefit from aggressive IVF therapy.\n Research conclusions Early Aggressive IV fluid therapy did not improve mortality. RCTs are needed to first address the baseline accurate fluid status of the patient with a non-invasive hemodynamic assessment. There is very limited data comparing aggressive IVF to non-aggressive IVF therapy, and the published studies are very heterogenous; which difficults the proper assessment to draw conclusions. It seems that aggressive IVF therapy in AP patients is not for everyone and the look to identify the subset of AP patients who may benefit from is still ongoing. We first need to address a baseline and accurate fluid status of AP patient and we could use non-invasive hemodynamic assessment technology such as the one that has been extensively used in the critical care, trauma, burns and cardiology settings. Additionally, the fluid responsiveness of patients also needs to be studied, as all patients may not be responsive to aggressive IVF resuscitation, and hence additional therapies may be needed and remained to be elucidated.\nEarly Aggressive IV fluid therapy did not improve mortality. RCTs are needed to first address the baseline accurate fluid status of the patient with a non-invasive hemodynamic assessment. There is very limited data comparing aggressive IVF to non-aggressive IVF therapy, and the published studies are very heterogenous; which difficults the proper assessment to draw conclusions. It seems that aggressive IVF therapy in AP patients is not for everyone and the look to identify the subset of AP patients who may benefit from is still ongoing. We first need to address a baseline and accurate fluid status of AP patient and we could use non-invasive hemodynamic assessment technology such as the one that has been extensively used in the critical care, trauma, burns and cardiology settings. Additionally, the fluid responsiveness of patients also needs to be studied, as all patients may not be responsive to aggressive IVF resuscitation, and hence additional therapies may be needed and remained to be elucidated.\n Research perspectives As there is very limited and heterogenous evidence to support aggressive IVF over goal-directed IVF therapy, further studies are needed to assess the baseline fluid status of the patient before, during, and after IVF resuscitation. Non-invasive identification of the fluid responder patients would be beneficial to help optimize the management of AP patients and avoid pancreatic necrosis, multiorgan failure and mortality.\nAs there is very limited and heterogenous evidence to support aggressive IVF over goal-directed IVF therapy, further studies are needed to assess the baseline fluid status of the patient before, during, and after IVF resuscitation. Non-invasive identification of the fluid responder patients would be beneficial to help optimize the management of AP patients and avoid pancreatic necrosis, multiorgan failure and mortality.", "The background, present status, and significance of the study should be described in detail. Intravenous fluid (IVF) resuscitation is the cornerstone for Acute pancreatitis (AP) management and Early Aggressive IVF therapy has been traditionally recommended. Recent evidence has raised concern for detrimental effect of aggressive IVF therapy, hence we analyzed the evidence of randomized controlled trials (RCTs) and cohort studies comparing aggressive IVF vs non-aggressive IVF therapy.", "There is growing controversial evidence on AP IVF resuscitation and the IVF strategy remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF therapy for AP reported in randomized trials and cohort studies.", "To investigate if aggressive IVF therapy in AP patients is beneficial to decrease mortality and improve outcomes.", "We perform a metaanalysis of RCTs and cohort studies. Three electronic databases (Pubmed, Cochrane, and Embase) were searched from inception till 25 December 2018 for studies comparing aggressive IVF to non-aggressive IVF therapy in patients with AP.", "A total of 11 studies were included; giving a total of 2686 patients. Our study found that early aggressive IVF therapy did not improve mortality and it could potentially increase the risk for AKI, pulmonary edema leading to respiratory failure and mechanical ventilation requirement. This controversial topic remains to be studied and more studies are needed to investigate which subset of AP patients could benefit from aggressive IVF therapy.", "Early Aggressive IV fluid therapy did not improve mortality. RCTs are needed to first address the baseline accurate fluid status of the patient with a non-invasive hemodynamic assessment. There is very limited data comparing aggressive IVF to non-aggressive IVF therapy, and the published studies are very heterogenous; which difficults the proper assessment to draw conclusions. It seems that aggressive IVF therapy in AP patients is not for everyone and the look to identify the subset of AP patients who may benefit from is still ongoing. We first need to address a baseline and accurate fluid status of AP patient and we could use non-invasive hemodynamic assessment technology such as the one that has been extensively used in the critical care, trauma, burns and cardiology settings. Additionally, the fluid responsiveness of patients also needs to be studied, as all patients may not be responsive to aggressive IVF resuscitation, and hence additional therapies may be needed and remained to be elucidated." ]
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[ "INTRODUCTION", "MATERIALS AND METHODS", "Data sources", "Inclusion and exclusion criteria", "Data extraction", "Definition of outcomes", "Assessment of studies quality", "RESULTS", "Mortality", "Persistent organ failure", "Pancreatic necrosis", "SIRS", "AKI", "Respiratory failure or mechanical ventilation support", "Heterogeneity", "Subgroup analysis", "DISCUSSION", "ARTICLE HIGHLIGHTS", "Research background", "Research motivation", "Research objectives", "Research methods", "Research results", "Research conclusions" ]
[ "Acute pancreatitis (AP) is a common gastrointestinal disease that can lead to severe morbidity and mortality[1,2]. AP incidence has been increasing worldwide without an evident explanation[3]. AP is characterized by inflammation of the pancreas, and its natural disease can be categorized in two phases: The early phase that is accompanied with the systemic inflammatory response syndrome (SIRS) and usually last 1-2 wk; and the late phase refers for patients that suffer sequela of AP (fluid collections, infection). AP is classified in three subtypes, mild (usually interstitial), moderately–severe (transient organ failure) and severe (persistent organ failure). 80%-85% of cases are mild and typically interstitial, whereas 15%-20% are severe and/or necrotizing[4-6].\nIntravenous fluid (IVF) resuscitation is one of the cornerstones for its management and is meant to counteract the third spacing and intravascular hypovolemia caused by the severe pancreatic inflammation. Early aggressive IVF resuscitation has been recommended by different guidelines[7-10], but most recently the AGA guidelines urged caution with this approach[8]. Vigorous IVF resuscitation has been traditionally given to prevent pancreatic hypoperfusion and necrosis. Although some studies have shown that is the persistent organ failure that puts the patient at higher mortality rather than necrosis alone. Other studies have raised concern on aggressive IVF been detrimental as it could increase the risk for pulmonary edema, respiratory failure, renal congestion, and acute kidney injury[11].\nDespite the growing evidence, AP IVF resuscitation remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF resuscitation randomized trials and cohort studies.", " Data sources Three electronic databases, Pubmed, Cochrane, and Embase, were searched from inception till 25 December 2018 for cohort studies as well as randomized controlled trials comparing aggressive fluid administration to non-aggressive fluid administration in patients with acute pancreatitis. Studies assessing IVF amount and timing of administration were included. Only articles published in the English language were screened. The references of the included studies were also evaluated for studies not incorporated by the initial search. This meta-analysis was performed in concurrence with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses guidelines (Supplementary I) and was registered on PROSPERO international prospective register of systematic reviews(CRD42020146809).\nThree electronic databases, Pubmed, Cochrane, and Embase, were searched from inception till 25 December 2018 for cohort studies as well as randomized controlled trials comparing aggressive fluid administration to non-aggressive fluid administration in patients with acute pancreatitis. Studies assessing IVF amount and timing of administration were included. Only articles published in the English language were screened. The references of the included studies were also evaluated for studies not incorporated by the initial search. This meta-analysis was performed in concurrence with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses guidelines (Supplementary I) and was registered on PROSPERO international prospective register of systematic reviews(CRD42020146809).\n Inclusion and exclusion criteria A study was included if it satisfied all of the following: (1) A randomized trial, prospective cohort, or a retrospective cohort; and (2) Reporting outcomes of patients who received aggressive hydration versus patients who received non-aggressive hydration. Aggressive IVF amount administered had variation between studies (from 3 mL/kg/h to 5 mL/kg/h in first 24 h), but the definitions were still compliant with guideline definition of aggressive IVF hydration therapy. Studies that reported only outcomes of one group, studies that did not clearly define the rate of fluid administration, studies that were published as conference abstracts, case reports, narrative reviews, or studies that were designed as case-control studies were excluded from our current study.\nA study was included if it satisfied all of the following: (1) A randomized trial, prospective cohort, or a retrospective cohort; and (2) Reporting outcomes of patients who received aggressive hydration versus patients who received non-aggressive hydration. Aggressive IVF amount administered had variation between studies (from 3 mL/kg/h to 5 mL/kg/h in first 24 h), but the definitions were still compliant with guideline definition of aggressive IVF hydration therapy. Studies that reported only outcomes of one group, studies that did not clearly define the rate of fluid administration, studies that were published as conference abstracts, case reports, narrative reviews, or studies that were designed as case-control studies were excluded from our current study.\n Data extraction Two authors (Mohamed M Gad, C Roberto Simons-Linares) independently screened the titles and abstracts of the search results after removing duplicated studies. Same two authors selected full-text studies for screening and performed the final data extraction of the baseline characteristics as well as outcomes of interest. Any conflicts were settled by consensus between the authors.\nTwo authors (Mohamed M Gad, C Roberto Simons-Linares) independently screened the titles and abstracts of the search results after removing duplicated studies. Same two authors selected full-text studies for screening and performed the final data extraction of the baseline characteristics as well as outcomes of interest. Any conflicts were settled by consensus between the authors.\n Definition of outcomes The primary outcome evaluated was in-hospital mortality. In-Hospital mortality was chosen due to the impactful consequential clinical management decision based on mortality outcomes as well as the uniform definition across all studies, corresponding with the least possible study heterogeneity. Secondary outcomes were SIRS, pancreatic necrosis, persistent organ failure, Acute Kidney Injury (AKI), and the need for mechanical ventilation. All outcomes were determined as per the study’s definition.\nThe primary outcome evaluated was in-hospital mortality. In-Hospital mortality was chosen due to the impactful consequential clinical management decision based on mortality outcomes as well as the uniform definition across all studies, corresponding with the least possible study heterogeneity. Secondary outcomes were SIRS, pancreatic necrosis, persistent organ failure, Acute Kidney Injury (AKI), and the need for mechanical ventilation. All outcomes were determined as per the study’s definition.\n Assessment of studies quality The Cochrane risk of bias tool was utilized in randomized controlled trials, and Newcastle-Ottawa Scale was used in observational studies as advised by the Cochrane handbook of systematic reviews and meta-analysis.\nConventional meta-analysis statistical analysis: Categorical variables were described using weighted frequencies, and weighted means/ SD were calculated for continuous variables. Weights were determined based on the sample size of each study. Fixed and Random effects risk ratios (RRs) were calculated for all outcomes using inverse variance method-DerSimonian-Laird estimator. I2 statistic was used to assess the heterogeneity between the included studies. A two-sided P value of < 0.05 and confidence interval (CI) of 95% were considered to be statistically significant, and all statistical analyses for the meta-analysis were performed with the use of RStudio® software package (meta) (RStudio, Boston, MA, United States).\nThe Cochrane risk of bias tool was utilized in randomized controlled trials, and Newcastle-Ottawa Scale was used in observational studies as advised by the Cochrane handbook of systematic reviews and meta-analysis.\nConventional meta-analysis statistical analysis: Categorical variables were described using weighted frequencies, and weighted means/ SD were calculated for continuous variables. Weights were determined based on the sample size of each study. Fixed and Random effects risk ratios (RRs) were calculated for all outcomes using inverse variance method-DerSimonian-Laird estimator. I2 statistic was used to assess the heterogeneity between the included studies. A two-sided P value of < 0.05 and confidence interval (CI) of 95% were considered to be statistically significant, and all statistical analyses for the meta-analysis were performed with the use of RStudio® software package (meta) (RStudio, Boston, MA, United States).", "Three electronic databases, Pubmed, Cochrane, and Embase, were searched from inception till 25 December 2018 for cohort studies as well as randomized controlled trials comparing aggressive fluid administration to non-aggressive fluid administration in patients with acute pancreatitis. Studies assessing IVF amount and timing of administration were included. Only articles published in the English language were screened. The references of the included studies were also evaluated for studies not incorporated by the initial search. This meta-analysis was performed in concurrence with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses guidelines (Supplementary I) and was registered on PROSPERO international prospective register of systematic reviews(CRD42020146809).", "A study was included if it satisfied all of the following: (1) A randomized trial, prospective cohort, or a retrospective cohort; and (2) Reporting outcomes of patients who received aggressive hydration versus patients who received non-aggressive hydration. Aggressive IVF amount administered had variation between studies (from 3 mL/kg/h to 5 mL/kg/h in first 24 h), but the definitions were still compliant with guideline definition of aggressive IVF hydration therapy. Studies that reported only outcomes of one group, studies that did not clearly define the rate of fluid administration, studies that were published as conference abstracts, case reports, narrative reviews, or studies that were designed as case-control studies were excluded from our current study.", "Two authors (Mohamed M Gad, C Roberto Simons-Linares) independently screened the titles and abstracts of the search results after removing duplicated studies. Same two authors selected full-text studies for screening and performed the final data extraction of the baseline characteristics as well as outcomes of interest. Any conflicts were settled by consensus between the authors.", "The primary outcome evaluated was in-hospital mortality. In-Hospital mortality was chosen due to the impactful consequential clinical management decision based on mortality outcomes as well as the uniform definition across all studies, corresponding with the least possible study heterogeneity. Secondary outcomes were SIRS, pancreatic necrosis, persistent organ failure, Acute Kidney Injury (AKI), and the need for mechanical ventilation. All outcomes were determined as per the study’s definition.", "The Cochrane risk of bias tool was utilized in randomized controlled trials, and Newcastle-Ottawa Scale was used in observational studies as advised by the Cochrane handbook of systematic reviews and meta-analysis.\nConventional meta-analysis statistical analysis: Categorical variables were described using weighted frequencies, and weighted means/ SD were calculated for continuous variables. Weights were determined based on the sample size of each study. Fixed and Random effects risk ratios (RRs) were calculated for all outcomes using inverse variance method-DerSimonian-Laird estimator. I2 statistic was used to assess the heterogeneity between the included studies. A two-sided P value of < 0.05 and confidence interval (CI) of 95% were considered to be statistically significant, and all statistical analyses for the meta-analysis were performed with the use of RStudio® software package (meta) (RStudio, Boston, MA, United States).", "The initial search revealed 2033 citations, but a total of 11 studies were included[11-21]; giving a total of 2686 patients. 1256 received aggressive resuscitation, and 1430 did not. Four randomized controlled trials (RCTs) addressed the issue of aggressive IVF resuscitation vs non-aggressive IVF. Seven cohort studies were also included. The end-points for outcomes varied among studies, and we tested for heterogeneity, which was found to be high between the studies.\n Mortality There was no significant difference between the aggressive (n = 1229) and non-aggressive IVF (n = 1397) patients in terms of mortality benefit (RR: 1.30; 95%CI: 0.79-2.12). In most studies, the mortality was not significantly different, and this could be due to the low mortality and small sample size. With the exception of the study by Yamashita et al[18] that studied over one thousand patients and had over 130 events (deaths); but the investigators did not find mortality difference between groups. However, in only one study by Warndorf et al[16], the aggressive IVF group showed to have a lower mortality (RR: 0.21, 95%CI: 0.05-0.91). In contrary, both RCT studies performed in China by Mao et al[12,22], revealed increased mortality when aggressive IVF strategy was used. These studies in China showed higher risk for increased mortality in the aggressive IVF group: 2009 study RR 3.06 (95%CI: 1.07-8.75) and 2010 study RR 2.22 (95%CI: 1.10-4.50) (Figure 1). Of note, most studies had low event rate (0-11 deaths in the study group) with the exception of two studies: Mao et al[22] 2010 had 19 deaths; and Yamashita et al[18] had 62 deaths.\nForest plot for mortality outcomes. RR: Relative risk; CI: Confidence interval.\nThere was no significant difference between the aggressive (n = 1229) and non-aggressive IVF (n = 1397) patients in terms of mortality benefit (RR: 1.30; 95%CI: 0.79-2.12). In most studies, the mortality was not significantly different, and this could be due to the low mortality and small sample size. With the exception of the study by Yamashita et al[18] that studied over one thousand patients and had over 130 events (deaths); but the investigators did not find mortality difference between groups. However, in only one study by Warndorf et al[16], the aggressive IVF group showed to have a lower mortality (RR: 0.21, 95%CI: 0.05-0.91). In contrary, both RCT studies performed in China by Mao et al[12,22], revealed increased mortality when aggressive IVF strategy was used. These studies in China showed higher risk for increased mortality in the aggressive IVF group: 2009 study RR 3.06 (95%CI: 1.07-8.75) and 2010 study RR 2.22 (95%CI: 1.10-4.50) (Figure 1). Of note, most studies had low event rate (0-11 deaths in the study group) with the exception of two studies: Mao et al[22] 2010 had 19 deaths; and Yamashita et al[18] had 62 deaths.\nForest plot for mortality outcomes. RR: Relative risk; CI: Confidence interval.\n Persistent organ failure Not distinguishing between transient and persistent organ failures was one of the most important limitations of RCTs. Including cohort studies allowed us to compare between them, but with a lower level of evidence. We were able to assess this outcome in 5 studies (n = 1159), of which only one study had statistically significant findings in favor of aggressive IVF (Warndorf et al[16], RR: 0.17, 95%CI: 0.10-0.30) but this benefit was not observed in the overall calculations of the metaanalysis (RR: 0.98, 95%CI: 0.31-3.14) (Figure 2).\nForest plot for persistent organ failure. RR: Relative risk; CI: Confidence interval.\nNot distinguishing between transient and persistent organ failures was one of the most important limitations of RCTs. Including cohort studies allowed us to compare between them, but with a lower level of evidence. We were able to assess this outcome in 5 studies (n = 1159), of which only one study had statistically significant findings in favor of aggressive IVF (Warndorf et al[16], RR: 0.17, 95%CI: 0.10-0.30) but this benefit was not observed in the overall calculations of the metaanalysis (RR: 0.98, 95%CI: 0.31-3.14) (Figure 2).\nForest plot for persistent organ failure. RR: Relative risk; CI: Confidence interval.\n Pancreatic necrosis Eight studies with 2001 patients were included in the analysis. In the fixed model of out metaanalysis, patients receiving aggressive IVF therapy (n = 848) seemed to have higher risk for pancreatic necrosis (RR: 1.52; 95%CI: 1.32-1.75); this could be explained by assuming that probably patients who had necrosis were more likely to receive aggressive IVF therapy and more prolong IVF therapy that could be detrimental (Figure 3). However, due to the significant differences between the included studies (differences in terms of end points, patients enrollment method, and overall studies designs), we interpreted the results of our metaanalysis by using the random effect models for all our results (rather than the fixed model). In the random effect model, there was no difference in pancreatic necrosis rates between groups (RR: 1.60, 95%CI: 0.69-3.73). Location, extension, and degree of necrosis were not provided by studies. Additionally, the incidence of infection of the necrosis was not studied.\nForest plot for pancreatic necrosis. RR: Relative risk; CI: Confidence interval.\nEight studies with 2001 patients were included in the analysis. In the fixed model of out metaanalysis, patients receiving aggressive IVF therapy (n = 848) seemed to have higher risk for pancreatic necrosis (RR: 1.52; 95%CI: 1.32-1.75); this could be explained by assuming that probably patients who had necrosis were more likely to receive aggressive IVF therapy and more prolong IVF therapy that could be detrimental (Figure 3). However, due to the significant differences between the included studies (differences in terms of end points, patients enrollment method, and overall studies designs), we interpreted the results of our metaanalysis by using the random effect models for all our results (rather than the fixed model). In the random effect model, there was no difference in pancreatic necrosis rates between groups (RR: 1.60, 95%CI: 0.69-3.73). Location, extension, and degree of necrosis were not provided by studies. Additionally, the incidence of infection of the necrosis was not studied.\nForest plot for pancreatic necrosis. RR: Relative risk; CI: Confidence interval.\n SIRS 1549 patients were included, and there was no significant difference in the overall incidence of SIRS when comparing both study groups (RR: 1.0; 95%CI: 0.71-1.40) (Figure 4). There were two cohort studies and one RCT that reported a decreased incidence of SIRS in the aggressive IVF group[14,16,20]. Contrary, there were two RCTs and three cohort studies that showed that the aggressive IVF group had higher rates of SIRS[9,11,15,18,22]. However, the only statistically significant results for this outcome were reported in three studies: Mao et al[22] 2010 study and 2009 study, both reported increased incidence of SIRS with aggressive IVF: RR: 1.36, 95%CI: 1.05-1.76 and RR: 1.70, 95%CI: 1.07-2.72, respectively. Warndorf et al[16] reported a significant benefit of decreasing SIRS with aggressive IVF (RR: 0.36, 95%CI: 0.26-0.51).\nForest plot for systemic inflammatory response syndrome. RR: Relative risk; CI: Confidence interval.\n1549 patients were included, and there was no significant difference in the overall incidence of SIRS when comparing both study groups (RR: 1.0; 95%CI: 0.71-1.40) (Figure 4). There were two cohort studies and one RCT that reported a decreased incidence of SIRS in the aggressive IVF group[14,16,20]. Contrary, there were two RCTs and three cohort studies that showed that the aggressive IVF group had higher rates of SIRS[9,11,15,18,22]. However, the only statistically significant results for this outcome were reported in three studies: Mao et al[22] 2010 study and 2009 study, both reported increased incidence of SIRS with aggressive IVF: RR: 1.36, 95%CI: 1.05-1.76 and RR: 1.70, 95%CI: 1.07-2.72, respectively. Warndorf et al[16] reported a significant benefit of decreasing SIRS with aggressive IVF (RR: 0.36, 95%CI: 0.26-0.51).\nForest plot for systemic inflammatory response syndrome. RR: Relative risk; CI: Confidence interval.\n AKI We included four studies involving 1440 patients for the analysis of AKI. All four studies showed an increased risk for AKI with aggressive IVF. Although, only two studies reached statistical significance (Yamashita et al[18], Ye et al[11]). Interestingly, our metaanalysis shows that patients that received aggressive IVF therapy were more than two times more likely to develop AKI (RR: 2.17; 95%CI: 1.66-2.83). Renal vascular congestion, similar pathophysiology of the cardiorenal syndromes–has been demonstrated that could cause injury to the glomeruli. The latter mechanism could be implicated and was reported in some of the papers included in our analysis (Figure 5).\nForest plot for acute kidney injury. RR: Relative risk; CI: Confidence interval.\nWe included four studies involving 1440 patients for the analysis of AKI. All four studies showed an increased risk for AKI with aggressive IVF. Although, only two studies reached statistical significance (Yamashita et al[18], Ye et al[11]). Interestingly, our metaanalysis shows that patients that received aggressive IVF therapy were more than two times more likely to develop AKI (RR: 2.17; 95%CI: 1.66-2.83). Renal vascular congestion, similar pathophysiology of the cardiorenal syndromes–has been demonstrated that could cause injury to the glomeruli. The latter mechanism could be implicated and was reported in some of the papers included in our analysis (Figure 5).\nForest plot for acute kidney injury. RR: Relative risk; CI: Confidence interval.\n Respiratory failure or mechanical ventilation support 1316 patients from 3 studies were included in the analysis. All three showed worse outcomes with aggressive IVF; Two studies (Yamashita et al[18], Ye et al[11]) reached statistical significance. Not surprising, patients who received aggressive IVF therapy were also more likely to develop pulmonary edema, fluid overload that leads to respiratory failure, and mechanical ventilation support. Overall, aggressive IVF patients were two times more at risk to develop respiratory failure (RR: 2.40, 95%CI: 1.63-3.54) (Figure 6).\nForest plot for respiratory failure/mechanical ventilation requirement. RR: Relative risk; CI: Confidence interval.\n1316 patients from 3 studies were included in the analysis. All three showed worse outcomes with aggressive IVF; Two studies (Yamashita et al[18], Ye et al[11]) reached statistical significance. Not surprising, patients who received aggressive IVF therapy were also more likely to develop pulmonary edema, fluid overload that leads to respiratory failure, and mechanical ventilation support. Overall, aggressive IVF patients were two times more at risk to develop respiratory failure (RR: 2.40, 95%CI: 1.63-3.54) (Figure 6).\nForest plot for respiratory failure/mechanical ventilation requirement. RR: Relative risk; CI: Confidence interval.\n Heterogeneity One study (Buxbaum et al[19]) was not designed to have mortality as an outcome and hence not reported. There were significant variations on the definitions of the outcomes (persistent organ failure, respiratory failure, AKI). Another concern we have is how AKI was defined; unfortunately there are no details about this in the vast majority of the studies. Finally, one of the biggest concerns that the authors of this paper have is in regards to persistent organ failure–there was significant heterogeneity of this definition, and none of the RCTs reported this. We have evidence that is persistent organ failure that drives mortality in AP rather than isolated pancreatic necrosis without persistent organ failure. The mentioned concerns are limitations of the study, and our findings should be interpreted with caution (Supplemental I Table 1).\nOne study (Buxbaum et al[19]) was not designed to have mortality as an outcome and hence not reported. There were significant variations on the definitions of the outcomes (persistent organ failure, respiratory failure, AKI). Another concern we have is how AKI was defined; unfortunately there are no details about this in the vast majority of the studies. Finally, one of the biggest concerns that the authors of this paper have is in regards to persistent organ failure–there was significant heterogeneity of this definition, and none of the RCTs reported this. We have evidence that is persistent organ failure that drives mortality in AP rather than isolated pancreatic necrosis without persistent organ failure. The mentioned concerns are limitations of the study, and our findings should be interpreted with caution (Supplemental I Table 1).\n Subgroup analysis We explored studying our outcomes in subgroups according to AP etiology and also according to age groups (older > 55 years old vs younger < 55 years old). However, very few studies had data for us to include in the subgroup analysis and most studies did not report appropriate data for this analysis. From the available data, we did not find any significant differences in the subgroups analysis (Supplemental II). Subgroup analysis by AP severity could not be studied due to lack of data.\nWe explored studying our outcomes in subgroups according to AP etiology and also according to age groups (older > 55 years old vs younger < 55 years old). However, very few studies had data for us to include in the subgroup analysis and most studies did not report appropriate data for this analysis. From the available data, we did not find any significant differences in the subgroups analysis (Supplemental II). Subgroup analysis by AP severity could not be studied due to lack of data.", "There was no significant difference between the aggressive (n = 1229) and non-aggressive IVF (n = 1397) patients in terms of mortality benefit (RR: 1.30; 95%CI: 0.79-2.12). In most studies, the mortality was not significantly different, and this could be due to the low mortality and small sample size. With the exception of the study by Yamashita et al[18] that studied over one thousand patients and had over 130 events (deaths); but the investigators did not find mortality difference between groups. However, in only one study by Warndorf et al[16], the aggressive IVF group showed to have a lower mortality (RR: 0.21, 95%CI: 0.05-0.91). In contrary, both RCT studies performed in China by Mao et al[12,22], revealed increased mortality when aggressive IVF strategy was used. These studies in China showed higher risk for increased mortality in the aggressive IVF group: 2009 study RR 3.06 (95%CI: 1.07-8.75) and 2010 study RR 2.22 (95%CI: 1.10-4.50) (Figure 1). Of note, most studies had low event rate (0-11 deaths in the study group) with the exception of two studies: Mao et al[22] 2010 had 19 deaths; and Yamashita et al[18] had 62 deaths.\nForest plot for mortality outcomes. RR: Relative risk; CI: Confidence interval.", "Not distinguishing between transient and persistent organ failures was one of the most important limitations of RCTs. Including cohort studies allowed us to compare between them, but with a lower level of evidence. We were able to assess this outcome in 5 studies (n = 1159), of which only one study had statistically significant findings in favor of aggressive IVF (Warndorf et al[16], RR: 0.17, 95%CI: 0.10-0.30) but this benefit was not observed in the overall calculations of the metaanalysis (RR: 0.98, 95%CI: 0.31-3.14) (Figure 2).\nForest plot for persistent organ failure. RR: Relative risk; CI: Confidence interval.", "Eight studies with 2001 patients were included in the analysis. In the fixed model of out metaanalysis, patients receiving aggressive IVF therapy (n = 848) seemed to have higher risk for pancreatic necrosis (RR: 1.52; 95%CI: 1.32-1.75); this could be explained by assuming that probably patients who had necrosis were more likely to receive aggressive IVF therapy and more prolong IVF therapy that could be detrimental (Figure 3). However, due to the significant differences between the included studies (differences in terms of end points, patients enrollment method, and overall studies designs), we interpreted the results of our metaanalysis by using the random effect models for all our results (rather than the fixed model). In the random effect model, there was no difference in pancreatic necrosis rates between groups (RR: 1.60, 95%CI: 0.69-3.73). Location, extension, and degree of necrosis were not provided by studies. Additionally, the incidence of infection of the necrosis was not studied.\nForest plot for pancreatic necrosis. RR: Relative risk; CI: Confidence interval.", "1549 patients were included, and there was no significant difference in the overall incidence of SIRS when comparing both study groups (RR: 1.0; 95%CI: 0.71-1.40) (Figure 4). There were two cohort studies and one RCT that reported a decreased incidence of SIRS in the aggressive IVF group[14,16,20]. Contrary, there were two RCTs and three cohort studies that showed that the aggressive IVF group had higher rates of SIRS[9,11,15,18,22]. However, the only statistically significant results for this outcome were reported in three studies: Mao et al[22] 2010 study and 2009 study, both reported increased incidence of SIRS with aggressive IVF: RR: 1.36, 95%CI: 1.05-1.76 and RR: 1.70, 95%CI: 1.07-2.72, respectively. Warndorf et al[16] reported a significant benefit of decreasing SIRS with aggressive IVF (RR: 0.36, 95%CI: 0.26-0.51).\nForest plot for systemic inflammatory response syndrome. RR: Relative risk; CI: Confidence interval.", "We included four studies involving 1440 patients for the analysis of AKI. All four studies showed an increased risk for AKI with aggressive IVF. Although, only two studies reached statistical significance (Yamashita et al[18], Ye et al[11]). Interestingly, our metaanalysis shows that patients that received aggressive IVF therapy were more than two times more likely to develop AKI (RR: 2.17; 95%CI: 1.66-2.83). Renal vascular congestion, similar pathophysiology of the cardiorenal syndromes–has been demonstrated that could cause injury to the glomeruli. The latter mechanism could be implicated and was reported in some of the papers included in our analysis (Figure 5).\nForest plot for acute kidney injury. RR: Relative risk; CI: Confidence interval.", "1316 patients from 3 studies were included in the analysis. All three showed worse outcomes with aggressive IVF; Two studies (Yamashita et al[18], Ye et al[11]) reached statistical significance. Not surprising, patients who received aggressive IVF therapy were also more likely to develop pulmonary edema, fluid overload that leads to respiratory failure, and mechanical ventilation support. Overall, aggressive IVF patients were two times more at risk to develop respiratory failure (RR: 2.40, 95%CI: 1.63-3.54) (Figure 6).\nForest plot for respiratory failure/mechanical ventilation requirement. RR: Relative risk; CI: Confidence interval.", "One study (Buxbaum et al[19]) was not designed to have mortality as an outcome and hence not reported. There were significant variations on the definitions of the outcomes (persistent organ failure, respiratory failure, AKI). Another concern we have is how AKI was defined; unfortunately there are no details about this in the vast majority of the studies. Finally, one of the biggest concerns that the authors of this paper have is in regards to persistent organ failure–there was significant heterogeneity of this definition, and none of the RCTs reported this. We have evidence that is persistent organ failure that drives mortality in AP rather than isolated pancreatic necrosis without persistent organ failure. The mentioned concerns are limitations of the study, and our findings should be interpreted with caution (Supplemental I Table 1).", "We explored studying our outcomes in subgroups according to AP etiology and also according to age groups (older > 55 years old vs younger < 55 years old). However, very few studies had data for us to include in the subgroup analysis and most studies did not report appropriate data for this analysis. From the available data, we did not find any significant differences in the subgroups analysis (Supplemental II). Subgroup analysis by AP severity could not be studied due to lack of data.", "The capillary leak from pancreatic inflammation behaves similar to other diseases such as sepsis and burn injuries[23-26]. The intravascular depletion, hypovolemia, and third-spacing of fluid causes pancreatic tissue hypoperfusion and necrosis. It is also known that this hypoperfusion state damages other sensitive organs such as the kidneys, lungs, and heart; leading to multi-organ failure with or without hypovolemic shock. Apart from the hypovolemia and hypoperfusion, pancreatitis itself causes severe inflammation in its early phase that can also lead to other organ failures such as acute respiratory distress syndrome, hypercoagulable state, and venous thromboembolisms[6].\nThe rationale of intravenous fluid resuscitation is to provide hemodynamic support and expand the severely depleted intravascular space to aid the perfusion of vital organs. Unfortunately, there is no medication approved as of yet to help counteract the capillary leak from AP systemic inflammation. Rapid hemodilution was studied in multiple retrospective studies and data showed that rapidly administering IVF therapy and using the hematocrit and blood urea nitrogen as markers to achieve rapid hemodilution were effective[19,27-29].\nIn recent years, some studies have raised concerns about aggressive IVF resuscitation causing serious side effects such as AKI and pulmonary edema leading to respiratory failure[11-13,19]. Our meta-analysis found that individuals in the aggressive IVF group were two times more likely to develop AKI (Figure 5). AKI could worsen with aggressive IVF therapy through multiple possible mechanisms. First renal congestion with excessive intravascular fluid, a similar mechanism to cardiorenal syndrome. Second, visceral edema and congestion of the renal vasculature bed can also affect the kidney’s perfusion and lead to AKI. Third, the type of IV fluid used may also impact; for example, excessive chloride is a risk for kidney injury. Fourth, if patients are fluid overload, the use of diuretics to treat the fluid overload can impact the kidneys and contribute to the multifactorial causes of AKI during AP. Less common, intra-abdominal compartment syndrome could cause constriction of the renal vasculature and lead to AKI as well[30,31].\nOur study also found that patients in the aggressive IVF group were two times more at risk to develop respiratory failure and require mechanical ventilation. Although direct conclusion cannot be drawn from this finding; for example, these patients had more pulmonary edema from excessive IV fluids, but it could also be that these patients were just sicker and developed acute respiratory distress syndrome from pancreatitis itself. There is undoubtedly a concern for this possible and detrimental side effect of aggressive IVF to the lungs, that could lead to higher risk for mechanical ventilation in the aggressive IVF group. However, we are unable to conclude that the higher rates of respiratory failure in our analysis was due to a more aggressive IVF strategy.\nIn our metaanalysis we were also able to assess for mortality, persistent organ failure, pancreatic necrosis and SIRS; but we did not find an statistical difference between groups. The available studies in the literature and the ones included in this metaanalysis have significant heterogenicity in terms of design, populations studied (variations in AP severity, races), IVF types, IVF amount/definitions of aggressive IVF; hence we do not believe that the outcomes of this metanalysis can be used to draw strong or definitive conclusions. However, the present study contributes to the current literature with a summary of the available studies and it also shows the signifcant heterogenicty among the published studies and the need for a well design multicenter randomized control trial to answer the question if aggressive IVF is beneficial and in what type of patient it would be beneficial.\nIn conclusion, there is very limited evidence to support aggressive over goal-directed IVF resuscitation. RCTs are needed to first address the baseline accurate fluid status of the patient with a non-invasive hemodynamic assessment. Moreover, the fluid responsiveness of the patient also needs to be studied, as all patients may not be responsive to IV fluid resuscitation, and additional therapies remained to be elucidated.", " Research background The background, present status, and significance of the study should be described in detail. Intravenous fluid (IVF) resuscitation is the cornerstone for Acute pancreatitis (AP) management and Early Aggressive IVF therapy has been traditionally recommended. Recent evidence has raised concern for detrimental effect of aggressive IVF therapy, hence we analyzed the evidence of randomized controlled trials (RCTs) and cohort studies comparing aggressive IVF vs non-aggressive IVF therapy.\nThe background, present status, and significance of the study should be described in detail. Intravenous fluid (IVF) resuscitation is the cornerstone for Acute pancreatitis (AP) management and Early Aggressive IVF therapy has been traditionally recommended. Recent evidence has raised concern for detrimental effect of aggressive IVF therapy, hence we analyzed the evidence of randomized controlled trials (RCTs) and cohort studies comparing aggressive IVF vs non-aggressive IVF therapy.\n Research motivation There is growing controversial evidence on AP IVF resuscitation and the IVF strategy remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF therapy for AP reported in randomized trials and cohort studies.\nThere is growing controversial evidence on AP IVF resuscitation and the IVF strategy remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF therapy for AP reported in randomized trials and cohort studies.\n Research objectives To investigate if aggressive IVF therapy in AP patients is beneficial to decrease mortality and improve outcomes.\nTo investigate if aggressive IVF therapy in AP patients is beneficial to decrease mortality and improve outcomes.\n Research methods We perform a metaanalysis of RCTs and cohort studies. Three electronic databases (Pubmed, Cochrane, and Embase) were searched from inception till 25 December 2018 for studies comparing aggressive IVF to non-aggressive IVF therapy in patients with AP.\nWe perform a metaanalysis of RCTs and cohort studies. Three electronic databases (Pubmed, Cochrane, and Embase) were searched from inception till 25 December 2018 for studies comparing aggressive IVF to non-aggressive IVF therapy in patients with AP.\n Research results A total of 11 studies were included; giving a total of 2686 patients. Our study found that early aggressive IVF therapy did not improve mortality and it could potentially increase the risk for AKI, pulmonary edema leading to respiratory failure and mechanical ventilation requirement. This controversial topic remains to be studied and more studies are needed to investigate which subset of AP patients could benefit from aggressive IVF therapy.\nA total of 11 studies were included; giving a total of 2686 patients. Our study found that early aggressive IVF therapy did not improve mortality and it could potentially increase the risk for AKI, pulmonary edema leading to respiratory failure and mechanical ventilation requirement. This controversial topic remains to be studied and more studies are needed to investigate which subset of AP patients could benefit from aggressive IVF therapy.\n Research conclusions Early Aggressive IV fluid therapy did not improve mortality. RCTs are needed to first address the baseline accurate fluid status of the patient with a non-invasive hemodynamic assessment. There is very limited data comparing aggressive IVF to non-aggressive IVF therapy, and the published studies are very heterogenous; which difficults the proper assessment to draw conclusions. It seems that aggressive IVF therapy in AP patients is not for everyone and the look to identify the subset of AP patients who may benefit from is still ongoing. We first need to address a baseline and accurate fluid status of AP patient and we could use non-invasive hemodynamic assessment technology such as the one that has been extensively used in the critical care, trauma, burns and cardiology settings. Additionally, the fluid responsiveness of patients also needs to be studied, as all patients may not be responsive to aggressive IVF resuscitation, and hence additional therapies may be needed and remained to be elucidated.\nEarly Aggressive IV fluid therapy did not improve mortality. RCTs are needed to first address the baseline accurate fluid status of the patient with a non-invasive hemodynamic assessment. There is very limited data comparing aggressive IVF to non-aggressive IVF therapy, and the published studies are very heterogenous; which difficults the proper assessment to draw conclusions. It seems that aggressive IVF therapy in AP patients is not for everyone and the look to identify the subset of AP patients who may benefit from is still ongoing. We first need to address a baseline and accurate fluid status of AP patient and we could use non-invasive hemodynamic assessment technology such as the one that has been extensively used in the critical care, trauma, burns and cardiology settings. Additionally, the fluid responsiveness of patients also needs to be studied, as all patients may not be responsive to aggressive IVF resuscitation, and hence additional therapies may be needed and remained to be elucidated.\n Research perspectives As there is very limited and heterogenous evidence to support aggressive IVF over goal-directed IVF therapy, further studies are needed to assess the baseline fluid status of the patient before, during, and after IVF resuscitation. Non-invasive identification of the fluid responder patients would be beneficial to help optimize the management of AP patients and avoid pancreatic necrosis, multiorgan failure and mortality.\nAs there is very limited and heterogenous evidence to support aggressive IVF over goal-directed IVF therapy, further studies are needed to assess the baseline fluid status of the patient before, during, and after IVF resuscitation. Non-invasive identification of the fluid responder patients would be beneficial to help optimize the management of AP patients and avoid pancreatic necrosis, multiorgan failure and mortality.", "The background, present status, and significance of the study should be described in detail. Intravenous fluid (IVF) resuscitation is the cornerstone for Acute pancreatitis (AP) management and Early Aggressive IVF therapy has been traditionally recommended. Recent evidence has raised concern for detrimental effect of aggressive IVF therapy, hence we analyzed the evidence of randomized controlled trials (RCTs) and cohort studies comparing aggressive IVF vs non-aggressive IVF therapy.", "There is growing controversial evidence on AP IVF resuscitation and the IVF strategy remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF therapy for AP reported in randomized trials and cohort studies.", "To investigate if aggressive IVF therapy in AP patients is beneficial to decrease mortality and improve outcomes.", "We perform a metaanalysis of RCTs and cohort studies. Three electronic databases (Pubmed, Cochrane, and Embase) were searched from inception till 25 December 2018 for studies comparing aggressive IVF to non-aggressive IVF therapy in patients with AP.", "A total of 11 studies were included; giving a total of 2686 patients. Our study found that early aggressive IVF therapy did not improve mortality and it could potentially increase the risk for AKI, pulmonary edema leading to respiratory failure and mechanical ventilation requirement. This controversial topic remains to be studied and more studies are needed to investigate which subset of AP patients could benefit from aggressive IVF therapy.", "Early Aggressive IV fluid therapy did not improve mortality. RCTs are needed to first address the baseline accurate fluid status of the patient with a non-invasive hemodynamic assessment. There is very limited data comparing aggressive IVF to non-aggressive IVF therapy, and the published studies are very heterogenous; which difficults the proper assessment to draw conclusions. It seems that aggressive IVF therapy in AP patients is not for everyone and the look to identify the subset of AP patients who may benefit from is still ongoing. We first need to address a baseline and accurate fluid status of AP patient and we could use non-invasive hemodynamic assessment technology such as the one that has been extensively used in the critical care, trauma, burns and cardiology settings. Additionally, the fluid responsiveness of patients also needs to be studied, as all patients may not be responsive to aggressive IVF resuscitation, and hence additional therapies may be needed and remained to be elucidated." ]
[ null, "methods", null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Acute pancreatitis", "Intravenous fluid resuscitation", "Aggressive fluid resuscitation" ]
INTRODUCTION: Acute pancreatitis (AP) is a common gastrointestinal disease that can lead to severe morbidity and mortality[1,2]. AP incidence has been increasing worldwide without an evident explanation[3]. AP is characterized by inflammation of the pancreas, and its natural disease can be categorized in two phases: The early phase that is accompanied with the systemic inflammatory response syndrome (SIRS) and usually last 1-2 wk; and the late phase refers for patients that suffer sequela of AP (fluid collections, infection). AP is classified in three subtypes, mild (usually interstitial), moderately–severe (transient organ failure) and severe (persistent organ failure). 80%-85% of cases are mild and typically interstitial, whereas 15%-20% are severe and/or necrotizing[4-6]. Intravenous fluid (IVF) resuscitation is one of the cornerstones for its management and is meant to counteract the third spacing and intravascular hypovolemia caused by the severe pancreatic inflammation. Early aggressive IVF resuscitation has been recommended by different guidelines[7-10], but most recently the AGA guidelines urged caution with this approach[8]. Vigorous IVF resuscitation has been traditionally given to prevent pancreatic hypoperfusion and necrosis. Although some studies have shown that is the persistent organ failure that puts the patient at higher mortality rather than necrosis alone. Other studies have raised concern on aggressive IVF been detrimental as it could increase the risk for pulmonary edema, respiratory failure, renal congestion, and acute kidney injury[11]. Despite the growing evidence, AP IVF resuscitation remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF resuscitation randomized trials and cohort studies. MATERIALS AND METHODS: Data sources Three electronic databases, Pubmed, Cochrane, and Embase, were searched from inception till 25 December 2018 for cohort studies as well as randomized controlled trials comparing aggressive fluid administration to non-aggressive fluid administration in patients with acute pancreatitis. Studies assessing IVF amount and timing of administration were included. Only articles published in the English language were screened. The references of the included studies were also evaluated for studies not incorporated by the initial search. This meta-analysis was performed in concurrence with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses guidelines (Supplementary I) and was registered on PROSPERO international prospective register of systematic reviews(CRD42020146809). Three electronic databases, Pubmed, Cochrane, and Embase, were searched from inception till 25 December 2018 for cohort studies as well as randomized controlled trials comparing aggressive fluid administration to non-aggressive fluid administration in patients with acute pancreatitis. Studies assessing IVF amount and timing of administration were included. Only articles published in the English language were screened. The references of the included studies were also evaluated for studies not incorporated by the initial search. This meta-analysis was performed in concurrence with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses guidelines (Supplementary I) and was registered on PROSPERO international prospective register of systematic reviews(CRD42020146809). Inclusion and exclusion criteria A study was included if it satisfied all of the following: (1) A randomized trial, prospective cohort, or a retrospective cohort; and (2) Reporting outcomes of patients who received aggressive hydration versus patients who received non-aggressive hydration. Aggressive IVF amount administered had variation between studies (from 3 mL/kg/h to 5 mL/kg/h in first 24 h), but the definitions were still compliant with guideline definition of aggressive IVF hydration therapy. Studies that reported only outcomes of one group, studies that did not clearly define the rate of fluid administration, studies that were published as conference abstracts, case reports, narrative reviews, or studies that were designed as case-control studies were excluded from our current study. A study was included if it satisfied all of the following: (1) A randomized trial, prospective cohort, or a retrospective cohort; and (2) Reporting outcomes of patients who received aggressive hydration versus patients who received non-aggressive hydration. Aggressive IVF amount administered had variation between studies (from 3 mL/kg/h to 5 mL/kg/h in first 24 h), but the definitions were still compliant with guideline definition of aggressive IVF hydration therapy. Studies that reported only outcomes of one group, studies that did not clearly define the rate of fluid administration, studies that were published as conference abstracts, case reports, narrative reviews, or studies that were designed as case-control studies were excluded from our current study. Data extraction Two authors (Mohamed M Gad, C Roberto Simons-Linares) independently screened the titles and abstracts of the search results after removing duplicated studies. Same two authors selected full-text studies for screening and performed the final data extraction of the baseline characteristics as well as outcomes of interest. Any conflicts were settled by consensus between the authors. Two authors (Mohamed M Gad, C Roberto Simons-Linares) independently screened the titles and abstracts of the search results after removing duplicated studies. Same two authors selected full-text studies for screening and performed the final data extraction of the baseline characteristics as well as outcomes of interest. Any conflicts were settled by consensus between the authors. Definition of outcomes The primary outcome evaluated was in-hospital mortality. In-Hospital mortality was chosen due to the impactful consequential clinical management decision based on mortality outcomes as well as the uniform definition across all studies, corresponding with the least possible study heterogeneity. Secondary outcomes were SIRS, pancreatic necrosis, persistent organ failure, Acute Kidney Injury (AKI), and the need for mechanical ventilation. All outcomes were determined as per the study’s definition. The primary outcome evaluated was in-hospital mortality. In-Hospital mortality was chosen due to the impactful consequential clinical management decision based on mortality outcomes as well as the uniform definition across all studies, corresponding with the least possible study heterogeneity. Secondary outcomes were SIRS, pancreatic necrosis, persistent organ failure, Acute Kidney Injury (AKI), and the need for mechanical ventilation. All outcomes were determined as per the study’s definition. Assessment of studies quality The Cochrane risk of bias tool was utilized in randomized controlled trials, and Newcastle-Ottawa Scale was used in observational studies as advised by the Cochrane handbook of systematic reviews and meta-analysis. Conventional meta-analysis statistical analysis: Categorical variables were described using weighted frequencies, and weighted means/ SD were calculated for continuous variables. Weights were determined based on the sample size of each study. Fixed and Random effects risk ratios (RRs) were calculated for all outcomes using inverse variance method-DerSimonian-Laird estimator. I2 statistic was used to assess the heterogeneity between the included studies. A two-sided P value of < 0.05 and confidence interval (CI) of 95% were considered to be statistically significant, and all statistical analyses for the meta-analysis were performed with the use of RStudio® software package (meta) (RStudio, Boston, MA, United States). The Cochrane risk of bias tool was utilized in randomized controlled trials, and Newcastle-Ottawa Scale was used in observational studies as advised by the Cochrane handbook of systematic reviews and meta-analysis. Conventional meta-analysis statistical analysis: Categorical variables were described using weighted frequencies, and weighted means/ SD were calculated for continuous variables. Weights were determined based on the sample size of each study. Fixed and Random effects risk ratios (RRs) were calculated for all outcomes using inverse variance method-DerSimonian-Laird estimator. I2 statistic was used to assess the heterogeneity between the included studies. A two-sided P value of < 0.05 and confidence interval (CI) of 95% were considered to be statistically significant, and all statistical analyses for the meta-analysis were performed with the use of RStudio® software package (meta) (RStudio, Boston, MA, United States). Data sources: Three electronic databases, Pubmed, Cochrane, and Embase, were searched from inception till 25 December 2018 for cohort studies as well as randomized controlled trials comparing aggressive fluid administration to non-aggressive fluid administration in patients with acute pancreatitis. Studies assessing IVF amount and timing of administration were included. Only articles published in the English language were screened. The references of the included studies were also evaluated for studies not incorporated by the initial search. This meta-analysis was performed in concurrence with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses guidelines (Supplementary I) and was registered on PROSPERO international prospective register of systematic reviews(CRD42020146809). Inclusion and exclusion criteria: A study was included if it satisfied all of the following: (1) A randomized trial, prospective cohort, or a retrospective cohort; and (2) Reporting outcomes of patients who received aggressive hydration versus patients who received non-aggressive hydration. Aggressive IVF amount administered had variation between studies (from 3 mL/kg/h to 5 mL/kg/h in first 24 h), but the definitions were still compliant with guideline definition of aggressive IVF hydration therapy. Studies that reported only outcomes of one group, studies that did not clearly define the rate of fluid administration, studies that were published as conference abstracts, case reports, narrative reviews, or studies that were designed as case-control studies were excluded from our current study. Data extraction: Two authors (Mohamed M Gad, C Roberto Simons-Linares) independently screened the titles and abstracts of the search results after removing duplicated studies. Same two authors selected full-text studies for screening and performed the final data extraction of the baseline characteristics as well as outcomes of interest. Any conflicts were settled by consensus between the authors. Definition of outcomes: The primary outcome evaluated was in-hospital mortality. In-Hospital mortality was chosen due to the impactful consequential clinical management decision based on mortality outcomes as well as the uniform definition across all studies, corresponding with the least possible study heterogeneity. Secondary outcomes were SIRS, pancreatic necrosis, persistent organ failure, Acute Kidney Injury (AKI), and the need for mechanical ventilation. All outcomes were determined as per the study’s definition. Assessment of studies quality: The Cochrane risk of bias tool was utilized in randomized controlled trials, and Newcastle-Ottawa Scale was used in observational studies as advised by the Cochrane handbook of systematic reviews and meta-analysis. Conventional meta-analysis statistical analysis: Categorical variables were described using weighted frequencies, and weighted means/ SD were calculated for continuous variables. Weights were determined based on the sample size of each study. Fixed and Random effects risk ratios (RRs) were calculated for all outcomes using inverse variance method-DerSimonian-Laird estimator. I2 statistic was used to assess the heterogeneity between the included studies. A two-sided P value of < 0.05 and confidence interval (CI) of 95% were considered to be statistically significant, and all statistical analyses for the meta-analysis were performed with the use of RStudio® software package (meta) (RStudio, Boston, MA, United States). RESULTS: The initial search revealed 2033 citations, but a total of 11 studies were included[11-21]; giving a total of 2686 patients. 1256 received aggressive resuscitation, and 1430 did not. Four randomized controlled trials (RCTs) addressed the issue of aggressive IVF resuscitation vs non-aggressive IVF. Seven cohort studies were also included. The end-points for outcomes varied among studies, and we tested for heterogeneity, which was found to be high between the studies. Mortality There was no significant difference between the aggressive (n = 1229) and non-aggressive IVF (n = 1397) patients in terms of mortality benefit (RR: 1.30; 95%CI: 0.79-2.12). In most studies, the mortality was not significantly different, and this could be due to the low mortality and small sample size. With the exception of the study by Yamashita et al[18] that studied over one thousand patients and had over 130 events (deaths); but the investigators did not find mortality difference between groups. However, in only one study by Warndorf et al[16], the aggressive IVF group showed to have a lower mortality (RR: 0.21, 95%CI: 0.05-0.91). In contrary, both RCT studies performed in China by Mao et al[12,22], revealed increased mortality when aggressive IVF strategy was used. These studies in China showed higher risk for increased mortality in the aggressive IVF group: 2009 study RR 3.06 (95%CI: 1.07-8.75) and 2010 study RR 2.22 (95%CI: 1.10-4.50) (Figure 1). Of note, most studies had low event rate (0-11 deaths in the study group) with the exception of two studies: Mao et al[22] 2010 had 19 deaths; and Yamashita et al[18] had 62 deaths. Forest plot for mortality outcomes. RR: Relative risk; CI: Confidence interval. There was no significant difference between the aggressive (n = 1229) and non-aggressive IVF (n = 1397) patients in terms of mortality benefit (RR: 1.30; 95%CI: 0.79-2.12). In most studies, the mortality was not significantly different, and this could be due to the low mortality and small sample size. With the exception of the study by Yamashita et al[18] that studied over one thousand patients and had over 130 events (deaths); but the investigators did not find mortality difference between groups. However, in only one study by Warndorf et al[16], the aggressive IVF group showed to have a lower mortality (RR: 0.21, 95%CI: 0.05-0.91). In contrary, both RCT studies performed in China by Mao et al[12,22], revealed increased mortality when aggressive IVF strategy was used. These studies in China showed higher risk for increased mortality in the aggressive IVF group: 2009 study RR 3.06 (95%CI: 1.07-8.75) and 2010 study RR 2.22 (95%CI: 1.10-4.50) (Figure 1). Of note, most studies had low event rate (0-11 deaths in the study group) with the exception of two studies: Mao et al[22] 2010 had 19 deaths; and Yamashita et al[18] had 62 deaths. Forest plot for mortality outcomes. RR: Relative risk; CI: Confidence interval. Persistent organ failure Not distinguishing between transient and persistent organ failures was one of the most important limitations of RCTs. Including cohort studies allowed us to compare between them, but with a lower level of evidence. We were able to assess this outcome in 5 studies (n = 1159), of which only one study had statistically significant findings in favor of aggressive IVF (Warndorf et al[16], RR: 0.17, 95%CI: 0.10-0.30) but this benefit was not observed in the overall calculations of the metaanalysis (RR: 0.98, 95%CI: 0.31-3.14) (Figure 2). Forest plot for persistent organ failure. RR: Relative risk; CI: Confidence interval. Not distinguishing between transient and persistent organ failures was one of the most important limitations of RCTs. Including cohort studies allowed us to compare between them, but with a lower level of evidence. We were able to assess this outcome in 5 studies (n = 1159), of which only one study had statistically significant findings in favor of aggressive IVF (Warndorf et al[16], RR: 0.17, 95%CI: 0.10-0.30) but this benefit was not observed in the overall calculations of the metaanalysis (RR: 0.98, 95%CI: 0.31-3.14) (Figure 2). Forest plot for persistent organ failure. RR: Relative risk; CI: Confidence interval. Pancreatic necrosis Eight studies with 2001 patients were included in the analysis. In the fixed model of out metaanalysis, patients receiving aggressive IVF therapy (n = 848) seemed to have higher risk for pancreatic necrosis (RR: 1.52; 95%CI: 1.32-1.75); this could be explained by assuming that probably patients who had necrosis were more likely to receive aggressive IVF therapy and more prolong IVF therapy that could be detrimental (Figure 3). However, due to the significant differences between the included studies (differences in terms of end points, patients enrollment method, and overall studies designs), we interpreted the results of our metaanalysis by using the random effect models for all our results (rather than the fixed model). In the random effect model, there was no difference in pancreatic necrosis rates between groups (RR: 1.60, 95%CI: 0.69-3.73). Location, extension, and degree of necrosis were not provided by studies. Additionally, the incidence of infection of the necrosis was not studied. Forest plot for pancreatic necrosis. RR: Relative risk; CI: Confidence interval. Eight studies with 2001 patients were included in the analysis. In the fixed model of out metaanalysis, patients receiving aggressive IVF therapy (n = 848) seemed to have higher risk for pancreatic necrosis (RR: 1.52; 95%CI: 1.32-1.75); this could be explained by assuming that probably patients who had necrosis were more likely to receive aggressive IVF therapy and more prolong IVF therapy that could be detrimental (Figure 3). However, due to the significant differences between the included studies (differences in terms of end points, patients enrollment method, and overall studies designs), we interpreted the results of our metaanalysis by using the random effect models for all our results (rather than the fixed model). In the random effect model, there was no difference in pancreatic necrosis rates between groups (RR: 1.60, 95%CI: 0.69-3.73). Location, extension, and degree of necrosis were not provided by studies. Additionally, the incidence of infection of the necrosis was not studied. Forest plot for pancreatic necrosis. RR: Relative risk; CI: Confidence interval. SIRS 1549 patients were included, and there was no significant difference in the overall incidence of SIRS when comparing both study groups (RR: 1.0; 95%CI: 0.71-1.40) (Figure 4). There were two cohort studies and one RCT that reported a decreased incidence of SIRS in the aggressive IVF group[14,16,20]. Contrary, there were two RCTs and three cohort studies that showed that the aggressive IVF group had higher rates of SIRS[9,11,15,18,22]. However, the only statistically significant results for this outcome were reported in three studies: Mao et al[22] 2010 study and 2009 study, both reported increased incidence of SIRS with aggressive IVF: RR: 1.36, 95%CI: 1.05-1.76 and RR: 1.70, 95%CI: 1.07-2.72, respectively. Warndorf et al[16] reported a significant benefit of decreasing SIRS with aggressive IVF (RR: 0.36, 95%CI: 0.26-0.51). Forest plot for systemic inflammatory response syndrome. RR: Relative risk; CI: Confidence interval. 1549 patients were included, and there was no significant difference in the overall incidence of SIRS when comparing both study groups (RR: 1.0; 95%CI: 0.71-1.40) (Figure 4). There were two cohort studies and one RCT that reported a decreased incidence of SIRS in the aggressive IVF group[14,16,20]. Contrary, there were two RCTs and three cohort studies that showed that the aggressive IVF group had higher rates of SIRS[9,11,15,18,22]. However, the only statistically significant results for this outcome were reported in three studies: Mao et al[22] 2010 study and 2009 study, both reported increased incidence of SIRS with aggressive IVF: RR: 1.36, 95%CI: 1.05-1.76 and RR: 1.70, 95%CI: 1.07-2.72, respectively. Warndorf et al[16] reported a significant benefit of decreasing SIRS with aggressive IVF (RR: 0.36, 95%CI: 0.26-0.51). Forest plot for systemic inflammatory response syndrome. RR: Relative risk; CI: Confidence interval. AKI We included four studies involving 1440 patients for the analysis of AKI. All four studies showed an increased risk for AKI with aggressive IVF. Although, only two studies reached statistical significance (Yamashita et al[18], Ye et al[11]). Interestingly, our metaanalysis shows that patients that received aggressive IVF therapy were more than two times more likely to develop AKI (RR: 2.17; 95%CI: 1.66-2.83). Renal vascular congestion, similar pathophysiology of the cardiorenal syndromes–has been demonstrated that could cause injury to the glomeruli. The latter mechanism could be implicated and was reported in some of the papers included in our analysis (Figure 5). Forest plot for acute kidney injury. RR: Relative risk; CI: Confidence interval. We included four studies involving 1440 patients for the analysis of AKI. All four studies showed an increased risk for AKI with aggressive IVF. Although, only two studies reached statistical significance (Yamashita et al[18], Ye et al[11]). Interestingly, our metaanalysis shows that patients that received aggressive IVF therapy were more than two times more likely to develop AKI (RR: 2.17; 95%CI: 1.66-2.83). Renal vascular congestion, similar pathophysiology of the cardiorenal syndromes–has been demonstrated that could cause injury to the glomeruli. The latter mechanism could be implicated and was reported in some of the papers included in our analysis (Figure 5). Forest plot for acute kidney injury. RR: Relative risk; CI: Confidence interval. Respiratory failure or mechanical ventilation support 1316 patients from 3 studies were included in the analysis. All three showed worse outcomes with aggressive IVF; Two studies (Yamashita et al[18], Ye et al[11]) reached statistical significance. Not surprising, patients who received aggressive IVF therapy were also more likely to develop pulmonary edema, fluid overload that leads to respiratory failure, and mechanical ventilation support. Overall, aggressive IVF patients were two times more at risk to develop respiratory failure (RR: 2.40, 95%CI: 1.63-3.54) (Figure 6). Forest plot for respiratory failure/mechanical ventilation requirement. RR: Relative risk; CI: Confidence interval. 1316 patients from 3 studies were included in the analysis. All three showed worse outcomes with aggressive IVF; Two studies (Yamashita et al[18], Ye et al[11]) reached statistical significance. Not surprising, patients who received aggressive IVF therapy were also more likely to develop pulmonary edema, fluid overload that leads to respiratory failure, and mechanical ventilation support. Overall, aggressive IVF patients were two times more at risk to develop respiratory failure (RR: 2.40, 95%CI: 1.63-3.54) (Figure 6). Forest plot for respiratory failure/mechanical ventilation requirement. RR: Relative risk; CI: Confidence interval. Heterogeneity One study (Buxbaum et al[19]) was not designed to have mortality as an outcome and hence not reported. There were significant variations on the definitions of the outcomes (persistent organ failure, respiratory failure, AKI). Another concern we have is how AKI was defined; unfortunately there are no details about this in the vast majority of the studies. Finally, one of the biggest concerns that the authors of this paper have is in regards to persistent organ failure–there was significant heterogeneity of this definition, and none of the RCTs reported this. We have evidence that is persistent organ failure that drives mortality in AP rather than isolated pancreatic necrosis without persistent organ failure. The mentioned concerns are limitations of the study, and our findings should be interpreted with caution (Supplemental I Table 1). One study (Buxbaum et al[19]) was not designed to have mortality as an outcome and hence not reported. There were significant variations on the definitions of the outcomes (persistent organ failure, respiratory failure, AKI). Another concern we have is how AKI was defined; unfortunately there are no details about this in the vast majority of the studies. Finally, one of the biggest concerns that the authors of this paper have is in regards to persistent organ failure–there was significant heterogeneity of this definition, and none of the RCTs reported this. We have evidence that is persistent organ failure that drives mortality in AP rather than isolated pancreatic necrosis without persistent organ failure. The mentioned concerns are limitations of the study, and our findings should be interpreted with caution (Supplemental I Table 1). Subgroup analysis We explored studying our outcomes in subgroups according to AP etiology and also according to age groups (older > 55 years old vs younger < 55 years old). However, very few studies had data for us to include in the subgroup analysis and most studies did not report appropriate data for this analysis. From the available data, we did not find any significant differences in the subgroups analysis (Supplemental II). Subgroup analysis by AP severity could not be studied due to lack of data. We explored studying our outcomes in subgroups according to AP etiology and also according to age groups (older > 55 years old vs younger < 55 years old). However, very few studies had data for us to include in the subgroup analysis and most studies did not report appropriate data for this analysis. From the available data, we did not find any significant differences in the subgroups analysis (Supplemental II). Subgroup analysis by AP severity could not be studied due to lack of data. Mortality: There was no significant difference between the aggressive (n = 1229) and non-aggressive IVF (n = 1397) patients in terms of mortality benefit (RR: 1.30; 95%CI: 0.79-2.12). In most studies, the mortality was not significantly different, and this could be due to the low mortality and small sample size. With the exception of the study by Yamashita et al[18] that studied over one thousand patients and had over 130 events (deaths); but the investigators did not find mortality difference between groups. However, in only one study by Warndorf et al[16], the aggressive IVF group showed to have a lower mortality (RR: 0.21, 95%CI: 0.05-0.91). In contrary, both RCT studies performed in China by Mao et al[12,22], revealed increased mortality when aggressive IVF strategy was used. These studies in China showed higher risk for increased mortality in the aggressive IVF group: 2009 study RR 3.06 (95%CI: 1.07-8.75) and 2010 study RR 2.22 (95%CI: 1.10-4.50) (Figure 1). Of note, most studies had low event rate (0-11 deaths in the study group) with the exception of two studies: Mao et al[22] 2010 had 19 deaths; and Yamashita et al[18] had 62 deaths. Forest plot for mortality outcomes. RR: Relative risk; CI: Confidence interval. Persistent organ failure: Not distinguishing between transient and persistent organ failures was one of the most important limitations of RCTs. Including cohort studies allowed us to compare between them, but with a lower level of evidence. We were able to assess this outcome in 5 studies (n = 1159), of which only one study had statistically significant findings in favor of aggressive IVF (Warndorf et al[16], RR: 0.17, 95%CI: 0.10-0.30) but this benefit was not observed in the overall calculations of the metaanalysis (RR: 0.98, 95%CI: 0.31-3.14) (Figure 2). Forest plot for persistent organ failure. RR: Relative risk; CI: Confidence interval. Pancreatic necrosis: Eight studies with 2001 patients were included in the analysis. In the fixed model of out metaanalysis, patients receiving aggressive IVF therapy (n = 848) seemed to have higher risk for pancreatic necrosis (RR: 1.52; 95%CI: 1.32-1.75); this could be explained by assuming that probably patients who had necrosis were more likely to receive aggressive IVF therapy and more prolong IVF therapy that could be detrimental (Figure 3). However, due to the significant differences between the included studies (differences in terms of end points, patients enrollment method, and overall studies designs), we interpreted the results of our metaanalysis by using the random effect models for all our results (rather than the fixed model). In the random effect model, there was no difference in pancreatic necrosis rates between groups (RR: 1.60, 95%CI: 0.69-3.73). Location, extension, and degree of necrosis were not provided by studies. Additionally, the incidence of infection of the necrosis was not studied. Forest plot for pancreatic necrosis. RR: Relative risk; CI: Confidence interval. SIRS: 1549 patients were included, and there was no significant difference in the overall incidence of SIRS when comparing both study groups (RR: 1.0; 95%CI: 0.71-1.40) (Figure 4). There were two cohort studies and one RCT that reported a decreased incidence of SIRS in the aggressive IVF group[14,16,20]. Contrary, there were two RCTs and three cohort studies that showed that the aggressive IVF group had higher rates of SIRS[9,11,15,18,22]. However, the only statistically significant results for this outcome were reported in three studies: Mao et al[22] 2010 study and 2009 study, both reported increased incidence of SIRS with aggressive IVF: RR: 1.36, 95%CI: 1.05-1.76 and RR: 1.70, 95%CI: 1.07-2.72, respectively. Warndorf et al[16] reported a significant benefit of decreasing SIRS with aggressive IVF (RR: 0.36, 95%CI: 0.26-0.51). Forest plot for systemic inflammatory response syndrome. RR: Relative risk; CI: Confidence interval. AKI: We included four studies involving 1440 patients for the analysis of AKI. All four studies showed an increased risk for AKI with aggressive IVF. Although, only two studies reached statistical significance (Yamashita et al[18], Ye et al[11]). Interestingly, our metaanalysis shows that patients that received aggressive IVF therapy were more than two times more likely to develop AKI (RR: 2.17; 95%CI: 1.66-2.83). Renal vascular congestion, similar pathophysiology of the cardiorenal syndromes–has been demonstrated that could cause injury to the glomeruli. The latter mechanism could be implicated and was reported in some of the papers included in our analysis (Figure 5). Forest plot for acute kidney injury. RR: Relative risk; CI: Confidence interval. Respiratory failure or mechanical ventilation support: 1316 patients from 3 studies were included in the analysis. All three showed worse outcomes with aggressive IVF; Two studies (Yamashita et al[18], Ye et al[11]) reached statistical significance. Not surprising, patients who received aggressive IVF therapy were also more likely to develop pulmonary edema, fluid overload that leads to respiratory failure, and mechanical ventilation support. Overall, aggressive IVF patients were two times more at risk to develop respiratory failure (RR: 2.40, 95%CI: 1.63-3.54) (Figure 6). Forest plot for respiratory failure/mechanical ventilation requirement. RR: Relative risk; CI: Confidence interval. Heterogeneity: One study (Buxbaum et al[19]) was not designed to have mortality as an outcome and hence not reported. There were significant variations on the definitions of the outcomes (persistent organ failure, respiratory failure, AKI). Another concern we have is how AKI was defined; unfortunately there are no details about this in the vast majority of the studies. Finally, one of the biggest concerns that the authors of this paper have is in regards to persistent organ failure–there was significant heterogeneity of this definition, and none of the RCTs reported this. We have evidence that is persistent organ failure that drives mortality in AP rather than isolated pancreatic necrosis without persistent organ failure. The mentioned concerns are limitations of the study, and our findings should be interpreted with caution (Supplemental I Table 1). Subgroup analysis: We explored studying our outcomes in subgroups according to AP etiology and also according to age groups (older > 55 years old vs younger < 55 years old). However, very few studies had data for us to include in the subgroup analysis and most studies did not report appropriate data for this analysis. From the available data, we did not find any significant differences in the subgroups analysis (Supplemental II). Subgroup analysis by AP severity could not be studied due to lack of data. DISCUSSION: The capillary leak from pancreatic inflammation behaves similar to other diseases such as sepsis and burn injuries[23-26]. The intravascular depletion, hypovolemia, and third-spacing of fluid causes pancreatic tissue hypoperfusion and necrosis. It is also known that this hypoperfusion state damages other sensitive organs such as the kidneys, lungs, and heart; leading to multi-organ failure with or without hypovolemic shock. Apart from the hypovolemia and hypoperfusion, pancreatitis itself causes severe inflammation in its early phase that can also lead to other organ failures such as acute respiratory distress syndrome, hypercoagulable state, and venous thromboembolisms[6]. The rationale of intravenous fluid resuscitation is to provide hemodynamic support and expand the severely depleted intravascular space to aid the perfusion of vital organs. Unfortunately, there is no medication approved as of yet to help counteract the capillary leak from AP systemic inflammation. Rapid hemodilution was studied in multiple retrospective studies and data showed that rapidly administering IVF therapy and using the hematocrit and blood urea nitrogen as markers to achieve rapid hemodilution were effective[19,27-29]. In recent years, some studies have raised concerns about aggressive IVF resuscitation causing serious side effects such as AKI and pulmonary edema leading to respiratory failure[11-13,19]. Our meta-analysis found that individuals in the aggressive IVF group were two times more likely to develop AKI (Figure 5). AKI could worsen with aggressive IVF therapy through multiple possible mechanisms. First renal congestion with excessive intravascular fluid, a similar mechanism to cardiorenal syndrome. Second, visceral edema and congestion of the renal vasculature bed can also affect the kidney’s perfusion and lead to AKI. Third, the type of IV fluid used may also impact; for example, excessive chloride is a risk for kidney injury. Fourth, if patients are fluid overload, the use of diuretics to treat the fluid overload can impact the kidneys and contribute to the multifactorial causes of AKI during AP. Less common, intra-abdominal compartment syndrome could cause constriction of the renal vasculature and lead to AKI as well[30,31]. Our study also found that patients in the aggressive IVF group were two times more at risk to develop respiratory failure and require mechanical ventilation. Although direct conclusion cannot be drawn from this finding; for example, these patients had more pulmonary edema from excessive IV fluids, but it could also be that these patients were just sicker and developed acute respiratory distress syndrome from pancreatitis itself. There is undoubtedly a concern for this possible and detrimental side effect of aggressive IVF to the lungs, that could lead to higher risk for mechanical ventilation in the aggressive IVF group. However, we are unable to conclude that the higher rates of respiratory failure in our analysis was due to a more aggressive IVF strategy. In our metaanalysis we were also able to assess for mortality, persistent organ failure, pancreatic necrosis and SIRS; but we did not find an statistical difference between groups. The available studies in the literature and the ones included in this metaanalysis have significant heterogenicity in terms of design, populations studied (variations in AP severity, races), IVF types, IVF amount/definitions of aggressive IVF; hence we do not believe that the outcomes of this metanalysis can be used to draw strong or definitive conclusions. However, the present study contributes to the current literature with a summary of the available studies and it also shows the signifcant heterogenicty among the published studies and the need for a well design multicenter randomized control trial to answer the question if aggressive IVF is beneficial and in what type of patient it would be beneficial. In conclusion, there is very limited evidence to support aggressive over goal-directed IVF resuscitation. RCTs are needed to first address the baseline accurate fluid status of the patient with a non-invasive hemodynamic assessment. Moreover, the fluid responsiveness of the patient also needs to be studied, as all patients may not be responsive to IV fluid resuscitation, and additional therapies remained to be elucidated. ARTICLE HIGHLIGHTS: Research background The background, present status, and significance of the study should be described in detail. Intravenous fluid (IVF) resuscitation is the cornerstone for Acute pancreatitis (AP) management and Early Aggressive IVF therapy has been traditionally recommended. Recent evidence has raised concern for detrimental effect of aggressive IVF therapy, hence we analyzed the evidence of randomized controlled trials (RCTs) and cohort studies comparing aggressive IVF vs non-aggressive IVF therapy. The background, present status, and significance of the study should be described in detail. Intravenous fluid (IVF) resuscitation is the cornerstone for Acute pancreatitis (AP) management and Early Aggressive IVF therapy has been traditionally recommended. Recent evidence has raised concern for detrimental effect of aggressive IVF therapy, hence we analyzed the evidence of randomized controlled trials (RCTs) and cohort studies comparing aggressive IVF vs non-aggressive IVF therapy. Research motivation There is growing controversial evidence on AP IVF resuscitation and the IVF strategy remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF therapy for AP reported in randomized trials and cohort studies. There is growing controversial evidence on AP IVF resuscitation and the IVF strategy remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF therapy for AP reported in randomized trials and cohort studies. Research objectives To investigate if aggressive IVF therapy in AP patients is beneficial to decrease mortality and improve outcomes. To investigate if aggressive IVF therapy in AP patients is beneficial to decrease mortality and improve outcomes. Research methods We perform a metaanalysis of RCTs and cohort studies. Three electronic databases (Pubmed, Cochrane, and Embase) were searched from inception till 25 December 2018 for studies comparing aggressive IVF to non-aggressive IVF therapy in patients with AP. We perform a metaanalysis of RCTs and cohort studies. Three electronic databases (Pubmed, Cochrane, and Embase) were searched from inception till 25 December 2018 for studies comparing aggressive IVF to non-aggressive IVF therapy in patients with AP. Research results A total of 11 studies were included; giving a total of 2686 patients. Our study found that early aggressive IVF therapy did not improve mortality and it could potentially increase the risk for AKI, pulmonary edema leading to respiratory failure and mechanical ventilation requirement. This controversial topic remains to be studied and more studies are needed to investigate which subset of AP patients could benefit from aggressive IVF therapy. A total of 11 studies were included; giving a total of 2686 patients. Our study found that early aggressive IVF therapy did not improve mortality and it could potentially increase the risk for AKI, pulmonary edema leading to respiratory failure and mechanical ventilation requirement. This controversial topic remains to be studied and more studies are needed to investigate which subset of AP patients could benefit from aggressive IVF therapy. Research conclusions Early Aggressive IV fluid therapy did not improve mortality. RCTs are needed to first address the baseline accurate fluid status of the patient with a non-invasive hemodynamic assessment. There is very limited data comparing aggressive IVF to non-aggressive IVF therapy, and the published studies are very heterogenous; which difficults the proper assessment to draw conclusions. It seems that aggressive IVF therapy in AP patients is not for everyone and the look to identify the subset of AP patients who may benefit from is still ongoing. We first need to address a baseline and accurate fluid status of AP patient and we could use non-invasive hemodynamic assessment technology such as the one that has been extensively used in the critical care, trauma, burns and cardiology settings. Additionally, the fluid responsiveness of patients also needs to be studied, as all patients may not be responsive to aggressive IVF resuscitation, and hence additional therapies may be needed and remained to be elucidated. Early Aggressive IV fluid therapy did not improve mortality. RCTs are needed to first address the baseline accurate fluid status of the patient with a non-invasive hemodynamic assessment. There is very limited data comparing aggressive IVF to non-aggressive IVF therapy, and the published studies are very heterogenous; which difficults the proper assessment to draw conclusions. It seems that aggressive IVF therapy in AP patients is not for everyone and the look to identify the subset of AP patients who may benefit from is still ongoing. We first need to address a baseline and accurate fluid status of AP patient and we could use non-invasive hemodynamic assessment technology such as the one that has been extensively used in the critical care, trauma, burns and cardiology settings. Additionally, the fluid responsiveness of patients also needs to be studied, as all patients may not be responsive to aggressive IVF resuscitation, and hence additional therapies may be needed and remained to be elucidated. Research perspectives As there is very limited and heterogenous evidence to support aggressive IVF over goal-directed IVF therapy, further studies are needed to assess the baseline fluid status of the patient before, during, and after IVF resuscitation. Non-invasive identification of the fluid responder patients would be beneficial to help optimize the management of AP patients and avoid pancreatic necrosis, multiorgan failure and mortality. As there is very limited and heterogenous evidence to support aggressive IVF over goal-directed IVF therapy, further studies are needed to assess the baseline fluid status of the patient before, during, and after IVF resuscitation. Non-invasive identification of the fluid responder patients would be beneficial to help optimize the management of AP patients and avoid pancreatic necrosis, multiorgan failure and mortality. Research background: The background, present status, and significance of the study should be described in detail. Intravenous fluid (IVF) resuscitation is the cornerstone for Acute pancreatitis (AP) management and Early Aggressive IVF therapy has been traditionally recommended. Recent evidence has raised concern for detrimental effect of aggressive IVF therapy, hence we analyzed the evidence of randomized controlled trials (RCTs) and cohort studies comparing aggressive IVF vs non-aggressive IVF therapy. Research motivation: There is growing controversial evidence on AP IVF resuscitation and the IVF strategy remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF therapy for AP reported in randomized trials and cohort studies. Research objectives: To investigate if aggressive IVF therapy in AP patients is beneficial to decrease mortality and improve outcomes. Research methods: We perform a metaanalysis of RCTs and cohort studies. Three electronic databases (Pubmed, Cochrane, and Embase) were searched from inception till 25 December 2018 for studies comparing aggressive IVF to non-aggressive IVF therapy in patients with AP. Research results: A total of 11 studies were included; giving a total of 2686 patients. Our study found that early aggressive IVF therapy did not improve mortality and it could potentially increase the risk for AKI, pulmonary edema leading to respiratory failure and mechanical ventilation requirement. This controversial topic remains to be studied and more studies are needed to investigate which subset of AP patients could benefit from aggressive IVF therapy. Research conclusions: Early Aggressive IV fluid therapy did not improve mortality. RCTs are needed to first address the baseline accurate fluid status of the patient with a non-invasive hemodynamic assessment. There is very limited data comparing aggressive IVF to non-aggressive IVF therapy, and the published studies are very heterogenous; which difficults the proper assessment to draw conclusions. It seems that aggressive IVF therapy in AP patients is not for everyone and the look to identify the subset of AP patients who may benefit from is still ongoing. We first need to address a baseline and accurate fluid status of AP patient and we could use non-invasive hemodynamic assessment technology such as the one that has been extensively used in the critical care, trauma, burns and cardiology settings. Additionally, the fluid responsiveness of patients also needs to be studied, as all patients may not be responsive to aggressive IVF resuscitation, and hence additional therapies may be needed and remained to be elucidated.
Background: There is conflincting evidence on the intravenous fluid (IVF) strategy for acute pancreatitis (AP). We perform a metaanalysis of the available evidence. Methods: Metaanalysis of available randomized controlled trials and cohort studies comparing aggressive IVF vs non-aggressive IVF resuscitation. Results: There was no significant difference in mortality between the aggressive (n = 1229) and non-aggressive IVF (n = 1397) patients. Patients receiving aggressive IVF therapy had higher risk for acute kidney injury and acute respiratory distress syndrome. There also was no significant difference in the overall incidence of systemic inflammatory response syndrome, persistent organ failure, pancreatic necrosis when comparing both study groups. Conclusions: Early aggressive IVF therapy did not improve mortality. Moreover, aggressive IVF therapy could potentially increase the risk for acute kidney injury and pulmonary edema leading to respiratory failure and mechanical ventilation. Studies are needed to investigate which subset of AP patients could benefit from aggressive IVF therapy.
INTRODUCTION: Acute pancreatitis (AP) is a common gastrointestinal disease that can lead to severe morbidity and mortality[1,2]. AP incidence has been increasing worldwide without an evident explanation[3]. AP is characterized by inflammation of the pancreas, and its natural disease can be categorized in two phases: The early phase that is accompanied with the systemic inflammatory response syndrome (SIRS) and usually last 1-2 wk; and the late phase refers for patients that suffer sequela of AP (fluid collections, infection). AP is classified in three subtypes, mild (usually interstitial), moderately–severe (transient organ failure) and severe (persistent organ failure). 80%-85% of cases are mild and typically interstitial, whereas 15%-20% are severe and/or necrotizing[4-6]. Intravenous fluid (IVF) resuscitation is one of the cornerstones for its management and is meant to counteract the third spacing and intravascular hypovolemia caused by the severe pancreatic inflammation. Early aggressive IVF resuscitation has been recommended by different guidelines[7-10], but most recently the AGA guidelines urged caution with this approach[8]. Vigorous IVF resuscitation has been traditionally given to prevent pancreatic hypoperfusion and necrosis. Although some studies have shown that is the persistent organ failure that puts the patient at higher mortality rather than necrosis alone. Other studies have raised concern on aggressive IVF been detrimental as it could increase the risk for pulmonary edema, respiratory failure, renal congestion, and acute kidney injury[11]. Despite the growing evidence, AP IVF resuscitation remains a controversial topic. The purpose of our study was to conduct a rigorous systematic review and meta-analysis of IVF resuscitation randomized trials and cohort studies. Research conclusions: As there is very limited and heterogenous evidence to support aggressive IVF over goal-directed IVF therapy, further studies are needed to assess the baseline fluid status of the patient before, during, and after IVF resuscitation. Non-invasive identification of the fluid responder patients would be beneficial to help optimize the management of AP patients and avoid pancreatic necrosis, multiorgan failure and mortality.
Background: There is conflincting evidence on the intravenous fluid (IVF) strategy for acute pancreatitis (AP). We perform a metaanalysis of the available evidence. Methods: Metaanalysis of available randomized controlled trials and cohort studies comparing aggressive IVF vs non-aggressive IVF resuscitation. Results: There was no significant difference in mortality between the aggressive (n = 1229) and non-aggressive IVF (n = 1397) patients. Patients receiving aggressive IVF therapy had higher risk for acute kidney injury and acute respiratory distress syndrome. There also was no significant difference in the overall incidence of systemic inflammatory response syndrome, persistent organ failure, pancreatic necrosis when comparing both study groups. Conclusions: Early aggressive IVF therapy did not improve mortality. Moreover, aggressive IVF therapy could potentially increase the risk for acute kidney injury and pulmonary edema leading to respiratory failure and mechanical ventilation. Studies are needed to investigate which subset of AP patients could benefit from aggressive IVF therapy.
8,502
186
[ 312, 121, 144, 65, 83, 170, 2734, 267, 129, 209, 187, 143, 120, 153, 94, 747, 1063, 81, 47, 18, 45, 74, 178 ]
24
[ "studies", "ivf", "aggressive", "aggressive ivf", "patients", "ci", "study", "rr", "mortality", "therapy" ]
[ "intravenous fluid resuscitation", "severe pancreatic inflammation", "pancreatitis ap management", "fluid ivf resuscitation", "sirs pancreatic necrosis" ]
null
[CONTENT] Acute pancreatitis | Intravenous fluid resuscitation | Aggressive fluid resuscitation [SUMMARY]
[CONTENT] Acute pancreatitis | Intravenous fluid resuscitation | Aggressive fluid resuscitation [SUMMARY]
null
[CONTENT] Acute pancreatitis | Intravenous fluid resuscitation | Aggressive fluid resuscitation [SUMMARY]
[CONTENT] Acute pancreatitis | Intravenous fluid resuscitation | Aggressive fluid resuscitation [SUMMARY]
[CONTENT] Acute pancreatitis | Intravenous fluid resuscitation | Aggressive fluid resuscitation [SUMMARY]
[CONTENT] Acute Disease | Acute Kidney Injury | Administration, Intravenous | Cohort Studies | Fluid Therapy | Humans | Incidence | Pancreatitis | Pancreatitis, Acute Necrotizing | Pulmonary Edema | Randomized Controlled Trials as Topic | Resuscitation | Systemic Inflammatory Response Syndrome | Treatment Outcome [SUMMARY]
[CONTENT] Acute Disease | Acute Kidney Injury | Administration, Intravenous | Cohort Studies | Fluid Therapy | Humans | Incidence | Pancreatitis | Pancreatitis, Acute Necrotizing | Pulmonary Edema | Randomized Controlled Trials as Topic | Resuscitation | Systemic Inflammatory Response Syndrome | Treatment Outcome [SUMMARY]
null
[CONTENT] Acute Disease | Acute Kidney Injury | Administration, Intravenous | Cohort Studies | Fluid Therapy | Humans | Incidence | Pancreatitis | Pancreatitis, Acute Necrotizing | Pulmonary Edema | Randomized Controlled Trials as Topic | Resuscitation | Systemic Inflammatory Response Syndrome | Treatment Outcome [SUMMARY]
[CONTENT] Acute Disease | Acute Kidney Injury | Administration, Intravenous | Cohort Studies | Fluid Therapy | Humans | Incidence | Pancreatitis | Pancreatitis, Acute Necrotizing | Pulmonary Edema | Randomized Controlled Trials as Topic | Resuscitation | Systemic Inflammatory Response Syndrome | Treatment Outcome [SUMMARY]
[CONTENT] Acute Disease | Acute Kidney Injury | Administration, Intravenous | Cohort Studies | Fluid Therapy | Humans | Incidence | Pancreatitis | Pancreatitis, Acute Necrotizing | Pulmonary Edema | Randomized Controlled Trials as Topic | Resuscitation | Systemic Inflammatory Response Syndrome | Treatment Outcome [SUMMARY]
[CONTENT] intravenous fluid resuscitation | severe pancreatic inflammation | pancreatitis ap management | fluid ivf resuscitation | sirs pancreatic necrosis [SUMMARY]
[CONTENT] intravenous fluid resuscitation | severe pancreatic inflammation | pancreatitis ap management | fluid ivf resuscitation | sirs pancreatic necrosis [SUMMARY]
null
[CONTENT] intravenous fluid resuscitation | severe pancreatic inflammation | pancreatitis ap management | fluid ivf resuscitation | sirs pancreatic necrosis [SUMMARY]
[CONTENT] intravenous fluid resuscitation | severe pancreatic inflammation | pancreatitis ap management | fluid ivf resuscitation | sirs pancreatic necrosis [SUMMARY]
[CONTENT] intravenous fluid resuscitation | severe pancreatic inflammation | pancreatitis ap management | fluid ivf resuscitation | sirs pancreatic necrosis [SUMMARY]
[CONTENT] studies | ivf | aggressive | aggressive ivf | patients | ci | study | rr | mortality | therapy [SUMMARY]
[CONTENT] studies | ivf | aggressive | aggressive ivf | patients | ci | study | rr | mortality | therapy [SUMMARY]
null
[CONTENT] studies | ivf | aggressive | aggressive ivf | patients | ci | study | rr | mortality | therapy [SUMMARY]
[CONTENT] studies | ivf | aggressive | aggressive ivf | patients | ci | study | rr | mortality | therapy [SUMMARY]
[CONTENT] studies | ivf | aggressive | aggressive ivf | patients | ci | study | rr | mortality | therapy [SUMMARY]
[CONTENT] severe | ivf resuscitation | resuscitation | ap | ivf | failure | mild | usually | disease | interstitial [SUMMARY]
[CONTENT] studies | meta | outcomes | administration | reviews | hydration | meta analysis | fluid administration | systematic reviews | definition [SUMMARY]
null
[CONTENT] assessment | fluid | aggressive | non invasive hemodynamic | baseline accurate fluid status | invasive hemodynamic | invasive hemodynamic assessment | baseline accurate | invasive | non invasive hemodynamic assessment [SUMMARY]
[CONTENT] ivf | aggressive | studies | aggressive ivf | patients | rr | ci | ap | therapy | ivf therapy [SUMMARY]
[CONTENT] ivf | aggressive | studies | aggressive ivf | patients | rr | ci | ap | therapy | ivf therapy [SUMMARY]
[CONTENT] IVF | AP ||| [SUMMARY]
[CONTENT] IVF | IVF [SUMMARY]
null
[CONTENT] IVF ||| IVF ||| AP | IVF [SUMMARY]
[CONTENT] IVF | AP ||| ||| IVF | IVF ||| 1229 | IVF | 1397 ||| IVF ||| ||| IVF ||| IVF ||| AP | IVF [SUMMARY]
[CONTENT] IVF | AP ||| ||| IVF | IVF ||| 1229 | IVF | 1397 ||| IVF ||| ||| IVF ||| IVF ||| AP | IVF [SUMMARY]
Cross-border collaboration between China and Myanmar for emergency response to imported vaccine derived poliovirus case.
25595618
This report describes emergency response following an imported vaccine derived poliovirus (VDPV) case from Myanmar to Yunnan Province, China and the cross-border collaboration between China and Myanmar. Immediately after confirmation of the VDPV case, China disseminated related information to Myanmar with the assistance of the World Health Organization.
BACKGROUND
A series of epidemiological investigations were conducted, both in China and Myanmar, including retrospective searches of acute flaccid paralysis (AFP) cases, oral poliovirus vaccine (OPV) coverage assessment, and investigation of contacts and healthy children.
METHODS
All children <2 years of age had not been vaccinated in the village where the VDPV case had lived in the past 2 years. Moreover, most areas were not covered for routine immunization in this township due to vaccine shortages and lack of operational funds for the past 2 years.
RESULTS
Cross-border collaboration may have prevented a potential outbreak of VDPV in Myanmar. It is necessary to reinforce cross-border collaboration with neighboring countries in order to maximize the leverage of limited resources.
CONCLUSIONS
[ "Child", "Child, Preschool", "China", "Cooperative Behavior", "Disease Outbreaks", "Emigration and Immigration", "Female", "Humans", "Infant", "Male", "Myanmar", "Poliomyelitis", "Poliovirus", "Poliovirus Vaccine, Oral", "Retrospective Studies", "Vaccination", "World Health Organization" ]
4308939
Background
Since 2012, circulation of indigenous wild poliovirus (WPV) has been confined to three countries: Afghanistan, Nigeria, and Pakistan [1]. Despite significant achievements since the launch of the Global Polio Eradication Initiative in 1988, many previously polio-free countries remain at risk for the disease and have been affected by WPV importation from remaining endemic countries [2-5]. With increasing globalization, population mobility is contributing to the transmission of infectious diseases between countries, as cross-border population movement impedes efforts to prevent transmission of infectious diseases. For example, in 2009, 98.8% of total malaria cases in Yunnan Province, China were found to be imported from neighboring countries [6]. In China, the last indigenous case of WPV was reported in September 1994 [7]. China and the other countries of the Western Pacific Region were declared polio-free in October 2000 [8]. However, national health departments in China must remain vigilant regarding the risk of WPV importation from bordering endemic countries. Instances of WPV importation were detected in China before the region was declared polio-free: in 1995 and 1996 in Yunnan Province [9], and in 1999 in Qinghai province [10,11]. Moreover, after being polio-free for more than 10 years, on August 25, 2011, an outbreak was confirmed in Xinjiang Uygur Autonomous Region, China following importation of type 1 WPV originated from neighboring Pakistan [12-14]. Myanmar had no reported polio cases during the period of 2000-2005, but a single case of type 1 vaccine derived poliovirus (VDPV) was reported in April 2006. After several years without WPV cases, an outbreak of 11 type 1 WPV cases occurred in Myanmar in 2007, which was confirmed as the re-introduction of WPV, with the last reported paralyzed case in May 2007 [15]. Subsequently, an additional four type 1 VDPV cases were reported in 2007, and a type 1 VDPV case was reported in December 2010. The Global Polio Eradication Initiative of World Health Organization (WHO) recommends reporting and laboratory testing of fecal specimens for all cases of acute flaccid paralysis (AFP) among children < 15 years of age and suspected poliomyelitis in a person of any age as the standard means of WPV and VDPV surveillance. The Chinese government initiated AFP surveillance in several provinces, following WHO guidelines in 1991. In 1993, surveillance was extended to the national level conducted by the Chinese Center for Disease Control and Prevention (China CDC) under the leadership of Ministry of Health (MoH). WHO established a global polio laboratory network, which includes a Polio Regional Reference Laboratory in China, to confirm poliovirus infections. This report describes the cross-border collaboration between China and Myanmar on the public health response of an importation of VDPV case that occurred in Yunnan Province, China, in June 2012; the last reported case of WPV infection in Yunnan, China was imported from Myanmar in 1996 [9]. This cross-border collaboration and public health response is a model example for other countries which have borders with WPV endemic countries, and the lessons learned may be incorporated into national emergency response planning for a polio outbreak.
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Results
VDPV case The case, 18 months old, lived in a Village of Township B, North Shan State in Myanmar. The child had no previous history of OPV vaccination, no history of travelling outside the village 4-6 weeks prior to illness, or any family visits. In the first instance, the child developed high fever; two days later, the child was brought to a local clinic, where an intramuscular injection (drug was unknown) was given on his left buttock; fever subsided after injection, but the child developed bilateral weakness of the lower limbs on the same night; the weakness worsened by next day and the child was unable to stand or walk. Four days later, the child went to a Hospital in Township B and was referred to a hospital in Zhenkang County (in China) where he was then referred to a Hospital in Lincang City and was reported as an AFP case. Type 1 VDPV strains were isolated from both stool specimens collected 6 and 7 days after the onset of AFP, with 21 (2.3%) nt VP1 substitutions from Sabin poliovirus. After staying in Lincang City for more than one week, the child returned to Myanmar because of no improvement in symptoms. Therefore, no additional stool sample was collected and VDPV excretion was not followed up for the case. No medical test for immunodeficiency was done without final classification of VDPV. The case, 18 months old, lived in a Village of Township B, North Shan State in Myanmar. The child had no previous history of OPV vaccination, no history of travelling outside the village 4-6 weeks prior to illness, or any family visits. In the first instance, the child developed high fever; two days later, the child was brought to a local clinic, where an intramuscular injection (drug was unknown) was given on his left buttock; fever subsided after injection, but the child developed bilateral weakness of the lower limbs on the same night; the weakness worsened by next day and the child was unable to stand or walk. Four days later, the child went to a Hospital in Township B and was referred to a hospital in Zhenkang County (in China) where he was then referred to a Hospital in Lincang City and was reported as an AFP case. Type 1 VDPV strains were isolated from both stool specimens collected 6 and 7 days after the onset of AFP, with 21 (2.3%) nt VP1 substitutions from Sabin poliovirus. After staying in Lincang City for more than one week, the child returned to Myanmar because of no improvement in symptoms. Therefore, no additional stool sample was collected and VDPV excretion was not followed up for the case. No medical test for immunodeficiency was done without final classification of VDPV. Cross-border collaboration between China and Myanmar—information sharing Immediately after confirmation of the VDPV case, China CDC informed WHO about the VDPV case and required the assistance of WHO for sharing related information with Myanmar. The government of Myanmar received the report about the VDPV importation with the help of the WHO country office in China, WHO Western Pacific Regional Office, WHO Regional Office for South-East Asia, and WHO country office in Myanmar. Based on the information provided by the Chinese MoH, Myanmar’s MoH, and the WHO country office in Myanmar, the VDPV case was located and additional detailed epidemiological information was collected on the outbreak and immunization activities were conducted including OPV coverage assessment, AFP case searching and specimen collection among close contacts and healthy children by a joint team consisting of officials from Myanmar’s MoH and WHO country office in Myanmar. China, WHO, and Myanmar maintained communication regarding the epidemiology of the outbreak and emergency response activities. Immediately after confirmation of the VDPV case, China CDC informed WHO about the VDPV case and required the assistance of WHO for sharing related information with Myanmar. The government of Myanmar received the report about the VDPV importation with the help of the WHO country office in China, WHO Western Pacific Regional Office, WHO Regional Office for South-East Asia, and WHO country office in Myanmar. Based on the information provided by the Chinese MoH, Myanmar’s MoH, and the WHO country office in Myanmar, the VDPV case was located and additional detailed epidemiological information was collected on the outbreak and immunization activities were conducted including OPV coverage assessment, AFP case searching and specimen collection among close contacts and healthy children by a joint team consisting of officials from Myanmar’s MoH and WHO country office in Myanmar. China, WHO, and Myanmar maintained communication regarding the epidemiology of the outbreak and emergency response activities. Investigation of contacts and healthy children In Yunnan Province, stool specimens were collected from two hospital contacts who stayed in the same room in the hospital of Lincang City, with negative results for both poliovirus and non-polio enterovirus (NPEV). In Linxiang and Zhenkang counties, stool specimens were also collected from 50 healthy children <5 years of age in an area with a concentrated migrant population, all of which were negative for poliovirus except 8 (16%) specimens positive for NPEV. In Myanmar, stool specimens were collected from 10 close contacts including family and those who encountered the VDPV case in the hospital after paralysis (4 in the Village where the case lived, 1 in another Village where the case had stayed and 5 in Township Hospital), with negative results for both poliovirus and NPEV. In Yunnan Province, stool specimens were collected from two hospital contacts who stayed in the same room in the hospital of Lincang City, with negative results for both poliovirus and non-polio enterovirus (NPEV). In Linxiang and Zhenkang counties, stool specimens were also collected from 50 healthy children <5 years of age in an area with a concentrated migrant population, all of which were negative for poliovirus except 8 (16%) specimens positive for NPEV. In Myanmar, stool specimens were collected from 10 close contacts including family and those who encountered the VDPV case in the hospital after paralysis (4 in the Village where the case lived, 1 in another Village where the case had stayed and 5 in Township Hospital), with negative results for both poliovirus and NPEV. OPV coverage assessment and routine immunization Convenience surveys for OPV coverage were conducted in 4 counties of Lincang City: Linxiang and Zhenkang Counties that the case visited, and two other counties (Gengma and Cangyuan) which border Myanmar. A total of 365 children were enrolled: 65 < 1 year of age and 300 ≥ 1 year of age (Table 1). Among the 365 subjects enrolled, 356 (97.5%) had a vaccination certificate and 363 (99.5%) had received at least one dose of OPV. Among 300 participants ≥1 year of age, 279 (93.0) had received more than 3 doses of OPV (OPV3). OPV3 rates by county were also high among subjects ≥1 year of age, with the lowest rate (86.3%) in market place of Linxiang County.Table 1 Result of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province County Investigation site Age Group (Months) No. surveyed Vaccination certificate OPV immunization history (dose) OPV Vaccination Rate (%) OPV Fully Vaccination Rate (%) Yes No Rate (%) 0 1 2 ≥3 Unknown LinxiangMarket Place2-1218180100.0031140100.077.8>1280800100.0038690100.086.3ZhenkangMarket Place2-1254180.01112080.040.0>122524196.0001240100.096.0Mengpeng Township2-12660100.001230100.050.0>122726196.3003240100.088.9Mengdui Township2-12660100.003030100.050.0>1224240100.0000240100.0100.0CangyuanMarket Place2-121210283.3011100100.083.3>124946393.9010480100.098.0Mengjiao Town2-12440100.01003075.075.0>1226260100.0010250100.096.2GengmaMarket Place2-12660100.000060100.0100.0>1223230100.0011210100.091.3Hepai Town2-12110100.000010100.0100.0>1228280100.0000280100.0100.0Mengding Town2-1276185.702230100.042.9>1218180100.0011160100.088.9Total2-126561493.8211745096.969.2>12300295598.307142790100.093.0 Result of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province The VDPV case had a three month old sibling who had also not received any vaccinations. The township medical officer reported that there had been no vaccination conducted since last 2 years in this village, and that most villages did not have adequate access to vaccination in Township B. Moreover, most areas were not covered for routine immunization in this township due to vaccine shortages and lack of operational funds in the past 2 years. The reported OPV3 coverage among children <1 year of age were 48% in 2009, 63% in 2010, and 73% in 2011, respectively. Convenience surveys for OPV coverage were conducted in 4 counties of Lincang City: Linxiang and Zhenkang Counties that the case visited, and two other counties (Gengma and Cangyuan) which border Myanmar. A total of 365 children were enrolled: 65 < 1 year of age and 300 ≥ 1 year of age (Table 1). Among the 365 subjects enrolled, 356 (97.5%) had a vaccination certificate and 363 (99.5%) had received at least one dose of OPV. Among 300 participants ≥1 year of age, 279 (93.0) had received more than 3 doses of OPV (OPV3). OPV3 rates by county were also high among subjects ≥1 year of age, with the lowest rate (86.3%) in market place of Linxiang County.Table 1 Result of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province County Investigation site Age Group (Months) No. surveyed Vaccination certificate OPV immunization history (dose) OPV Vaccination Rate (%) OPV Fully Vaccination Rate (%) Yes No Rate (%) 0 1 2 ≥3 Unknown LinxiangMarket Place2-1218180100.0031140100.077.8>1280800100.0038690100.086.3ZhenkangMarket Place2-1254180.01112080.040.0>122524196.0001240100.096.0Mengpeng Township2-12660100.001230100.050.0>122726196.3003240100.088.9Mengdui Township2-12660100.003030100.050.0>1224240100.0000240100.0100.0CangyuanMarket Place2-121210283.3011100100.083.3>124946393.9010480100.098.0Mengjiao Town2-12440100.01003075.075.0>1226260100.0010250100.096.2GengmaMarket Place2-12660100.000060100.0100.0>1223230100.0011210100.091.3Hepai Town2-12110100.000010100.0100.0>1228280100.0000280100.0100.0Mengding Town2-1276185.702230100.042.9>1218180100.0011160100.088.9Total2-126561493.8211745096.969.2>12300295598.307142790100.093.0 Result of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province The VDPV case had a three month old sibling who had also not received any vaccinations. The township medical officer reported that there had been no vaccination conducted since last 2 years in this village, and that most villages did not have adequate access to vaccination in Township B. Moreover, most areas were not covered for routine immunization in this township due to vaccine shortages and lack of operational funds in the past 2 years. The reported OPV3 coverage among children <1 year of age were 48% in 2009, 63% in 2010, and 73% in 2011, respectively. Retrospective searching of AFP cases Medical records for both inpatients and outpatients were reviewed in 9 hospitals at the county level and above in the 4 aforementioned counties of Lincang City. A total of 4 AFP cases were found: 2 cases in Linxiang County, one in Zhenkang County, and one in Cangyuan County; all of these cases had been reported. In Myanmar, no additional AFP cases were found during active case searches in Township B Hospital nor during house-to-house searches in the Village and neighboring areas. Medical records for both inpatients and outpatients were reviewed in 9 hospitals at the county level and above in the 4 aforementioned counties of Lincang City. A total of 4 AFP cases were found: 2 cases in Linxiang County, one in Zhenkang County, and one in Cangyuan County; all of these cases had been reported. In Myanmar, no additional AFP cases were found during active case searches in Township B Hospital nor during house-to-house searches in the Village and neighboring areas. AFP surveillance performance The overall annualized incidence of non-polio AFP (NPAFP) was 2.98 per 100,000 children < 15 years of age in Yunnan Province from January to May 2012, and NPAFP rates were >1/100,000 in almost all prefectures except for Xishuangbanna Prefecture and Nujiang City where no NPAFP cases were reported (Table 2). In 2011, with the exception of Xishuangbanna Prefecture, NPAFP rates were higher than 1 case per 100,000 children in all prefectures. Another important indicator, adequate stool specimen collection rate, was also met in almost all prefectures.Table 2 Main performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May) Time period Prefecture No. of NPAFP cases Annualized NPAFP incidence (1/100, 000) § Investigation within 48 hours (%) Two stool samples collected (%) Adequate stool sample collected (%) Stool samples delivered within 7 days (%) Lab result reported within 28 days (%) 2011Kunming City221.71100.081.872.7100.0100.0Qujing City211.5495.290.590.5100.0100.0Yuxi City316.5396.896.896.8100.0100.0Baoshan City203.69100.090.090.0100.0100.0Zhaotong City221.8490.995.590.990.9100.0Chuxiong Prefecture223.93100.0100.0100.0100.0100.0Honghe Prefecture202.08100.085.085.0100.095.0Wenshan Prefecture192.28100.089.584.288.9100.0Pu’er City162.86100.093.893.8100.0100.0Xishuangbanna Prefecture20.87100.050.050.0100.0100.0Dali Prefecture182.3594.4100.0100.0100.0100.0Dehong Prefecture176.40100.0100.0100.0100.0100.0Lijiang City124.52100.083.383.3100.0100.0Nujiang City43.38100.050.050.0100.0100.0Diqing City11.19100.0100.0100100.0100.0Lincang City132.32100.092.392.392.3100.0Yunnan Province2602.5898.191.590.098.199.62012 (January to May)Kunming City204.89100.095.095.0100.0100.0Qujing City81.41100.075.075.0100.0100.0Yuxi City42.27100.0100.0100.0100.0100.0Baoshan City41.89100.0100.0100.0100.0100.0Zhaotong City142.44100.092.992.978.6100.0Chuxiong Prefecture73.59100.0100.0100.0100.0100.0Honghe Prefecture102.51100.0100.0100.0100.0100.0Wenshan Prefecture51.44100.0100.0100.0100.0100.0Pu’er City73.60100.085.785.771.4100.0Xishuangbanna Prefecture00.0−−−−−Dali Prefecture93.23100.0100.0100.0100.0100.0Dehong Prefecture1110.49100.0100.0100.090.9100.0Lijiang City88.58100.0100.0100.0100.0100.0Nujiang City00.0−−−−−Diqing City13.30100.0100.0100.0100.0100.0Lincang City94.38100.0100.0100.0100.0100.0Yunnan Province1172.98100.095.795.794.9100.0 §Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age. Main performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May) §Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age. In Township B Hospital, doctors and health workers had fairly good knowledge on AFP surveillance. An AFP poster for awareness purpose, including almost all the diseases with AFP symptom, was displayed in township hospital premises. However, there were many Chinese clinics in Township B, which were not part of the AFP surveillance system. AFP cases were not reported in Township B and neighboring townships, and the sensitivity indicator (>1 case per 100,000 children <15 years of age) of AFP surveillance was not met. The overall annualized incidence of non-polio AFP (NPAFP) was 2.98 per 100,000 children < 15 years of age in Yunnan Province from January to May 2012, and NPAFP rates were >1/100,000 in almost all prefectures except for Xishuangbanna Prefecture and Nujiang City where no NPAFP cases were reported (Table 2). In 2011, with the exception of Xishuangbanna Prefecture, NPAFP rates were higher than 1 case per 100,000 children in all prefectures. Another important indicator, adequate stool specimen collection rate, was also met in almost all prefectures.Table 2 Main performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May) Time period Prefecture No. of NPAFP cases Annualized NPAFP incidence (1/100, 000) § Investigation within 48 hours (%) Two stool samples collected (%) Adequate stool sample collected (%) Stool samples delivered within 7 days (%) Lab result reported within 28 days (%) 2011Kunming City221.71100.081.872.7100.0100.0Qujing City211.5495.290.590.5100.0100.0Yuxi City316.5396.896.896.8100.0100.0Baoshan City203.69100.090.090.0100.0100.0Zhaotong City221.8490.995.590.990.9100.0Chuxiong Prefecture223.93100.0100.0100.0100.0100.0Honghe Prefecture202.08100.085.085.0100.095.0Wenshan Prefecture192.28100.089.584.288.9100.0Pu’er City162.86100.093.893.8100.0100.0Xishuangbanna Prefecture20.87100.050.050.0100.0100.0Dali Prefecture182.3594.4100.0100.0100.0100.0Dehong Prefecture176.40100.0100.0100.0100.0100.0Lijiang City124.52100.083.383.3100.0100.0Nujiang City43.38100.050.050.0100.0100.0Diqing City11.19100.0100.0100100.0100.0Lincang City132.32100.092.392.392.3100.0Yunnan Province2602.5898.191.590.098.199.62012 (January to May)Kunming City204.89100.095.095.0100.0100.0Qujing City81.41100.075.075.0100.0100.0Yuxi City42.27100.0100.0100.0100.0100.0Baoshan City41.89100.0100.0100.0100.0100.0Zhaotong City142.44100.092.992.978.6100.0Chuxiong Prefecture73.59100.0100.0100.0100.0100.0Honghe Prefecture102.51100.0100.0100.0100.0100.0Wenshan Prefecture51.44100.0100.0100.0100.0100.0Pu’er City73.60100.085.785.771.4100.0Xishuangbanna Prefecture00.0−−−−−Dali Prefecture93.23100.0100.0100.0100.0100.0Dehong Prefecture1110.49100.0100.0100.090.9100.0Lijiang City88.58100.0100.0100.0100.0100.0Nujiang City00.0−−−−−Diqing City13.30100.0100.0100.0100.0100.0Lincang City94.38100.0100.0100.0100.0100.0Yunnan Province1172.98100.095.795.794.9100.0 §Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age. Main performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May) §Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age. In Township B Hospital, doctors and health workers had fairly good knowledge on AFP surveillance. An AFP poster for awareness purpose, including almost all the diseases with AFP symptom, was displayed in township hospital premises. However, there were many Chinese clinics in Township B, which were not part of the AFP surveillance system. AFP cases were not reported in Township B and neighboring townships, and the sensitivity indicator (>1 case per 100,000 children <15 years of age) of AFP surveillance was not met. Supplementary immunization activities (SIAs) OPV catch-ups were conducted among children <6 years of age in Lincang City, Yunnan Province. The targeted children also included those from Myanmar who attend school, travel or live in Lincang City. OPV catch-ups in Yunnan Province and SIAs in Myanmar were conducted at similar time. In order to control the outbreak timely and effectively, outbreak response immunization was conducted in a month after paralysis onset of the VDPV case in 6 neighboring villages, including one urban border crossing ward of Township B. Six hundred fifty children were given one dose of trivalent OPV. In addition, two months later, two rounds of house-to-house supplementary immunization activities (SIAs) were conducted in 19 townships of North Shan State in Myanmar, covering 233,000 children <6 years of age. OPV catch-ups were conducted among children <6 years of age in Lincang City, Yunnan Province. The targeted children also included those from Myanmar who attend school, travel or live in Lincang City. OPV catch-ups in Yunnan Province and SIAs in Myanmar were conducted at similar time. In order to control the outbreak timely and effectively, outbreak response immunization was conducted in a month after paralysis onset of the VDPV case in 6 neighboring villages, including one urban border crossing ward of Township B. Six hundred fifty children were given one dose of trivalent OPV. In addition, two months later, two rounds of house-to-house supplementary immunization activities (SIAs) were conducted in 19 townships of North Shan State in Myanmar, covering 233,000 children <6 years of age.
Conclusion
The collaboration between China and Myanmar may have prevented a potential cVDPV outbreak in Myanmar. Considering China shares borders with two endemic countries, it is necessary to reinforce cross-border collaboration with neighboring countries, which can maximize the leverage of limited resources. Conducting high quality routine immunization and AFP surveillance should be maintained until WPV is eradicated worldwide.
[ "Setting and population", "Case ascertainment and VDPV case definition", "Retrospective searching of AFP cases", "Oral poliovirus vaccine (OPV) coverage assessment", "Investigation of contacts and healthy children", "Isolation and characterization of poliovirus isolates", "Ethical considerations", "Statistical analysis", "VDPV case", "Cross-border collaboration between China and Myanmar—information sharing", "Investigation of contacts and healthy children", "OPV coverage assessment and routine immunization", "Retrospective searching of AFP cases", "AFP surveillance performance", "Supplementary immunization activities (SIAs)" ]
[ "Yunnan Province is situated in southwest China, with an area of 394,000 km2. Yunnan shares 4,060 kilometers of international borders with Myanmar in the west and southwest and with Vietnam and Laos in the south. Six of 16 prefectures in Yunnan are adjacent with Myanmar, with nearly 2,000 kilometers of international borders. Moreover, there are few natural barriers between the two countries, and the border habitants of each country interact very frequently. In 2011 the population of Yunnan Province was estimated to be 46.3 million with 9.5 million children younger than 15 years of age; the average population density is 118 persons/km2, and the annual birth rate is approximately 12.7‰.\nThe VDPV case lived in a Village (Village A, Township B) which is a part of North Shan State in Myanmar with an estimated 73,000 population. Township B is under the leadership of Kokang Special Administrative Region bordering with Yunnan Province. Many parts of the township are geographically hard to reach and are unable to be accessed in the rainy season. The township has a 50-bed hospital in an urban area and one 16-bed station hospital in a sub-township. Medical treatment and public health services are provided by township health staff.", "Cases with paralytic polio were identified through an AFP surveillance system. CDC staff at the county-level routinely investigate AFP cases reported by health care centers and hospitals, collect stool specimens and assess residual paralysis 60 days after the onset of paralysis. Clinical and epidemiological information on AFP cases are abstracted from medical records and/or obtained from case investigations; a standard case investigation form is used in China.\nIn accordance with WHO current recommendations, a VDPV case was defined as an AFP case from whom Sabin-related poliovirus (type 2 with ≥6 nt VP1 substitutions; type1 and 3 with ≥10 nt VP1 substitutions) was isolated from ≥1 stool specimen without WPV isolated, and who was determined to be polio-compatible by a provincial Polio Expert Committee after the standard 60-days follow-up examination.", "Records of all county- and prefecture-level hospitals in Lincang City, Yunnan Province where the VDPV case sought health care were reviewed for additional AFP cases. In Myanmar, retrospective searches for AFP cases were conducted in hospitals in township B and through a house-to-house search in the affected village and neighboring areas. The definition of AFP case was AFP case <15 years old, or suspected polio case at any age, paralyzed between January 1, 2010 and the survey date.", "To determine immunization coverage, convenience surveys were conducted in four counties (two counties the case visited and two counties bordering Myanmar) in Yunnan Province. Quick assessment of OPV coverage was conducted and performance of routine immunization were also evaluated in Township B.", "Stool specimens were collected from hospital contacts of the VDPV case and healthy children <5 years of age in the two counties (Zhenkang County and Linxiang County) that the VDPV case visited in Lincang City, Yunnan Province. In Myanmar, stool specimens were also collected from close contacts of the VDPV case.", "Stool specimens were forwarded to the provincial polio laboratory where viral isolation was performed on L20B and RD cell cultures and viral isolates were identified by micro-neutralization assay. Poliovirus isolates were forwarded to the National Polio Laboratory where intratypic differentiation was performed by polymerase chain reaction–restriction fragment–length polymorphism and by enzyme-linked immunosorbent assay. The full VP1 genomic region of poliovirus isolates was sequenced with an ABI Prism BigDye Terminator Cycle Sequencing Ready Reaction kit and an automated DNA sequencer. Sequence data were compared with those of reference strains (GenBank accession no. AY184219). All contact specimens collected in Myanmar were sent to WHO accredited National Health Laboratory Yangon for poliovirus testing.", "This study was approved by the Chinese Center for Disease Control and Prevention institutional review board. Written informed consent regarding anonymizing publication of VDPV infection was provided by guardian of the index case in Myanmar and the guardians of four AFP cases in Lincang city of Yunnan Province, after study staff explained fully to guardian about the purpose of the study, and the risks and benefits of anonymizing publication.", "Statistical tests were performed using SAS 9.1 software (SAS Institute Inc, Cary, NC, USA). A p-value of <0.05 was considered the cut-off level for statistical significant for all analysis.", "The case, 18 months old, lived in a Village of Township B, North Shan State in Myanmar. The child had no previous history of OPV vaccination, no history of travelling outside the village 4-6 weeks prior to illness, or any family visits. In the first instance, the child developed high fever; two days later, the child was brought to a local clinic, where an intramuscular injection (drug was unknown) was given on his left buttock; fever subsided after injection, but the child developed bilateral weakness of the lower limbs on the same night; the weakness worsened by next day and the child was unable to stand or walk.\nFour days later, the child went to a Hospital in Township B and was referred to a hospital in Zhenkang County (in China) where he was then referred to a Hospital in Lincang City and was reported as an AFP case. Type 1 VDPV strains were isolated from both stool specimens collected 6 and 7 days after the onset of AFP, with 21 (2.3%) nt VP1 substitutions from Sabin poliovirus. After staying in Lincang City for more than one week, the child returned to Myanmar because of no improvement in symptoms. Therefore, no additional stool sample was collected and VDPV excretion was not followed up for the case. No medical test for immunodeficiency was done without final classification of VDPV.", "Immediately after confirmation of the VDPV case, China CDC informed WHO about the VDPV case and required the assistance of WHO for sharing related information with Myanmar. The government of Myanmar received the report about the VDPV importation with the help of the WHO country office in China, WHO Western Pacific Regional Office, WHO Regional Office for South-East Asia, and WHO country office in Myanmar.\nBased on the information provided by the Chinese MoH, Myanmar’s MoH, and the WHO country office in Myanmar, the VDPV case was located and additional detailed epidemiological information was collected on the outbreak and immunization activities were conducted including OPV coverage assessment, AFP case searching and specimen collection among close contacts and healthy children by a joint team consisting of officials from Myanmar’s MoH and WHO country office in Myanmar. China, WHO, and Myanmar maintained communication regarding the epidemiology of the outbreak and emergency response activities.", "In Yunnan Province, stool specimens were collected from two hospital contacts who stayed in the same room in the hospital of Lincang City, with negative results for both poliovirus and non-polio enterovirus (NPEV). In Linxiang and Zhenkang counties, stool specimens were also collected from 50 healthy children <5 years of age in an area with a concentrated migrant population, all of which were negative for poliovirus except 8 (16%) specimens positive for NPEV.\nIn Myanmar, stool specimens were collected from 10 close contacts including family and those who encountered the VDPV case in the hospital after paralysis (4 in the Village where the case lived, 1 in another Village where the case had stayed and 5 in Township Hospital), with negative results for both poliovirus and NPEV.", "Convenience surveys for OPV coverage were conducted in 4 counties of Lincang City: Linxiang and Zhenkang Counties that the case visited, and two other counties (Gengma and Cangyuan) which border Myanmar. A total of 365 children were enrolled: 65 < 1 year of age and 300 ≥ 1 year of age (Table 1). Among the 365 subjects enrolled, 356 (97.5%) had a vaccination certificate and 363 (99.5%) had received at least one dose of OPV. Among 300 participants ≥1 year of age, 279 (93.0) had received more than 3 doses of OPV (OPV3). OPV3 rates by county were also high among subjects ≥1 year of age, with the lowest rate (86.3%) in market place of Linxiang County.Table 1\nResult of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province\n\nCounty\n\nInvestigation site\n\nAge Group (Months)\n\nNo. surveyed\n\nVaccination certificate\n\nOPV immunization history (dose)\n\nOPV Vaccination Rate (%)\n\nOPV Fully Vaccination Rate (%)\n\nYes\n\nNo\n\nRate (%)\n\n0\n\n1\n\n2\n\n≥3\n\nUnknown\nLinxiangMarket Place2-1218180100.0031140100.077.8>1280800100.0038690100.086.3ZhenkangMarket Place2-1254180.01112080.040.0>122524196.0001240100.096.0Mengpeng Township2-12660100.001230100.050.0>122726196.3003240100.088.9Mengdui Township2-12660100.003030100.050.0>1224240100.0000240100.0100.0CangyuanMarket Place2-121210283.3011100100.083.3>124946393.9010480100.098.0Mengjiao Town2-12440100.01003075.075.0>1226260100.0010250100.096.2GengmaMarket Place2-12660100.000060100.0100.0>1223230100.0011210100.091.3Hepai Town2-12110100.000010100.0100.0>1228280100.0000280100.0100.0Mengding Town2-1276185.702230100.042.9>1218180100.0011160100.088.9Total2-126561493.8211745096.969.2>12300295598.307142790100.093.0\n\nResult of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province\n\nThe VDPV case had a three month old sibling who had also not received any vaccinations. The township medical officer reported that there had been no vaccination conducted since last 2 years in this village, and that most villages did not have adequate access to vaccination in Township B. Moreover, most areas were not covered for routine immunization in this township due to vaccine shortages and lack of operational funds in the past 2 years. The reported OPV3 coverage among children <1 year of age were 48% in 2009, 63% in 2010, and 73% in 2011, respectively.", "Medical records for both inpatients and outpatients were reviewed in 9 hospitals at the county level and above in the 4 aforementioned counties of Lincang City. A total of 4 AFP cases were found: 2 cases in Linxiang County, one in Zhenkang County, and one in Cangyuan County; all of these cases had been reported.\nIn Myanmar, no additional AFP cases were found during active case searches in Township B Hospital nor during house-to-house searches in the Village and neighboring areas.", "The overall annualized incidence of non-polio AFP (NPAFP) was 2.98 per 100,000 children < 15 years of age in Yunnan Province from January to May 2012, and NPAFP rates were >1/100,000 in almost all prefectures except for Xishuangbanna Prefecture and Nujiang City where no NPAFP cases were reported (Table 2). In 2011, with the exception of Xishuangbanna Prefecture, NPAFP rates were higher than 1 case per 100,000 children in all prefectures. Another important indicator, adequate stool specimen collection rate, was also met in almost all prefectures.Table 2\nMain performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May)\n\nTime period\n\nPrefecture\n\nNo. of NPAFP cases\n\nAnnualized NPAFP incidence (1/100, 000)\n§\n\nInvestigation within 48 hours (%)\n\nTwo stool samples collected (%)\n\nAdequate stool sample collected (%)\n\nStool samples delivered within 7 days (%)\n\nLab result reported within 28 days (%)\n2011Kunming City221.71100.081.872.7100.0100.0Qujing City211.5495.290.590.5100.0100.0Yuxi City316.5396.896.896.8100.0100.0Baoshan City203.69100.090.090.0100.0100.0Zhaotong City221.8490.995.590.990.9100.0Chuxiong Prefecture223.93100.0100.0100.0100.0100.0Honghe Prefecture202.08100.085.085.0100.095.0Wenshan Prefecture192.28100.089.584.288.9100.0Pu’er City162.86100.093.893.8100.0100.0Xishuangbanna Prefecture20.87100.050.050.0100.0100.0Dali Prefecture182.3594.4100.0100.0100.0100.0Dehong Prefecture176.40100.0100.0100.0100.0100.0Lijiang City124.52100.083.383.3100.0100.0Nujiang City43.38100.050.050.0100.0100.0Diqing City11.19100.0100.0100100.0100.0Lincang City132.32100.092.392.392.3100.0Yunnan Province2602.5898.191.590.098.199.62012 (January to May)Kunming City204.89100.095.095.0100.0100.0Qujing City81.41100.075.075.0100.0100.0Yuxi City42.27100.0100.0100.0100.0100.0Baoshan City41.89100.0100.0100.0100.0100.0Zhaotong City142.44100.092.992.978.6100.0Chuxiong Prefecture73.59100.0100.0100.0100.0100.0Honghe Prefecture102.51100.0100.0100.0100.0100.0Wenshan Prefecture51.44100.0100.0100.0100.0100.0Pu’er City73.60100.085.785.771.4100.0Xishuangbanna Prefecture00.0−−−−−Dali Prefecture93.23100.0100.0100.0100.0100.0Dehong Prefecture1110.49100.0100.0100.090.9100.0Lijiang City88.58100.0100.0100.0100.0100.0Nujiang City00.0−−−−−Diqing City13.30100.0100.0100.0100.0100.0Lincang City94.38100.0100.0100.0100.0100.0Yunnan Province1172.98100.095.795.794.9100.0\n§Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age.\n\nMain performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May)\n\n\n§Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age.\nIn Township B Hospital, doctors and health workers had fairly good knowledge on AFP surveillance. An AFP poster for awareness purpose, including almost all the diseases with AFP symptom, was displayed in township hospital premises. However, there were many Chinese clinics in Township B, which were not part of the AFP surveillance system. AFP cases were not reported in Township B and neighboring townships, and the sensitivity indicator (>1 case per 100,000 children <15 years of age) of AFP surveillance was not met.", "OPV catch-ups were conducted among children <6 years of age in Lincang City, Yunnan Province. The targeted children also included those from Myanmar who attend school, travel or live in Lincang City. OPV catch-ups in Yunnan Province and SIAs in Myanmar were conducted at similar time.\nIn order to control the outbreak timely and effectively, outbreak response immunization was conducted in a month after paralysis onset of the VDPV case in 6 neighboring villages, including one urban border crossing ward of Township B. Six hundred fifty children were given one dose of trivalent OPV. In addition, two months later, two rounds of house-to-house supplementary immunization activities (SIAs) were conducted in 19 townships of North Shan State in Myanmar, covering 233,000 children <6 years of age." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Setting and population", "Case ascertainment and VDPV case definition", "Retrospective searching of AFP cases", "Oral poliovirus vaccine (OPV) coverage assessment", "Investigation of contacts and healthy children", "Isolation and characterization of poliovirus isolates", "Ethical considerations", "Statistical analysis", "Results", "VDPV case", "Cross-border collaboration between China and Myanmar—information sharing", "Investigation of contacts and healthy children", "OPV coverage assessment and routine immunization", "Retrospective searching of AFP cases", "AFP surveillance performance", "Supplementary immunization activities (SIAs)", "Discussion", "Conclusion" ]
[ "Since 2012, circulation of indigenous wild poliovirus (WPV) has been confined to three countries: Afghanistan, Nigeria, and Pakistan [1]. Despite significant achievements since the launch of the Global Polio Eradication Initiative in 1988, many previously polio-free countries remain at risk for the disease and have been affected by WPV importation from remaining endemic countries [2-5]. With increasing globalization, population mobility is contributing to the transmission of infectious diseases between countries, as cross-border population movement impedes efforts to prevent transmission of infectious diseases. For example, in 2009, 98.8% of total malaria cases in Yunnan Province, China were found to be imported from neighboring countries [6].\nIn China, the last indigenous case of WPV was reported in September 1994 [7]. China and the other countries of the Western Pacific Region were declared polio-free in October 2000 [8]. However, national health departments in China must remain vigilant regarding the risk of WPV importation from bordering endemic countries. Instances of WPV importation were detected in China before the region was declared polio-free: in 1995 and 1996 in Yunnan Province [9], and in 1999 in Qinghai province [10,11]. Moreover, after being polio-free for more than 10 years, on August 25, 2011, an outbreak was confirmed in Xinjiang Uygur Autonomous Region, China following importation of type 1 WPV originated from neighboring Pakistan [12-14].\nMyanmar had no reported polio cases during the period of 2000-2005, but a single case of type 1 vaccine derived poliovirus (VDPV) was reported in April 2006. After several years without WPV cases, an outbreak of 11 type 1 WPV cases occurred in Myanmar in 2007, which was confirmed as the re-introduction of WPV, with the last reported paralyzed case in May 2007 [15]. Subsequently, an additional four type 1 VDPV cases were reported in 2007, and a type 1 VDPV case was reported in December 2010.\nThe Global Polio Eradication Initiative of World Health Organization (WHO) recommends reporting and laboratory testing of fecal specimens for all cases of acute flaccid paralysis (AFP) among children < 15 years of age and suspected poliomyelitis in a person of any age as the standard means of WPV and VDPV surveillance. The Chinese government initiated AFP surveillance in several provinces, following WHO guidelines in 1991. In 1993, surveillance was extended to the national level conducted by the Chinese Center for Disease Control and Prevention (China CDC) under the leadership of Ministry of Health (MoH). WHO established a global polio laboratory network, which includes a Polio Regional Reference Laboratory in China, to confirm poliovirus infections.\nThis report describes the cross-border collaboration between China and Myanmar on the public health response of an importation of VDPV case that occurred in Yunnan Province, China, in June 2012; the last reported case of WPV infection in Yunnan, China was imported from Myanmar in 1996 [9]. This cross-border collaboration and public health response is a model example for other countries which have borders with WPV endemic countries, and the lessons learned may be incorporated into national emergency response planning for a polio outbreak.", " Setting and population Yunnan Province is situated in southwest China, with an area of 394,000 km2. Yunnan shares 4,060 kilometers of international borders with Myanmar in the west and southwest and with Vietnam and Laos in the south. Six of 16 prefectures in Yunnan are adjacent with Myanmar, with nearly 2,000 kilometers of international borders. Moreover, there are few natural barriers between the two countries, and the border habitants of each country interact very frequently. In 2011 the population of Yunnan Province was estimated to be 46.3 million with 9.5 million children younger than 15 years of age; the average population density is 118 persons/km2, and the annual birth rate is approximately 12.7‰.\nThe VDPV case lived in a Village (Village A, Township B) which is a part of North Shan State in Myanmar with an estimated 73,000 population. Township B is under the leadership of Kokang Special Administrative Region bordering with Yunnan Province. Many parts of the township are geographically hard to reach and are unable to be accessed in the rainy season. The township has a 50-bed hospital in an urban area and one 16-bed station hospital in a sub-township. Medical treatment and public health services are provided by township health staff.\nYunnan Province is situated in southwest China, with an area of 394,000 km2. Yunnan shares 4,060 kilometers of international borders with Myanmar in the west and southwest and with Vietnam and Laos in the south. Six of 16 prefectures in Yunnan are adjacent with Myanmar, with nearly 2,000 kilometers of international borders. Moreover, there are few natural barriers between the two countries, and the border habitants of each country interact very frequently. In 2011 the population of Yunnan Province was estimated to be 46.3 million with 9.5 million children younger than 15 years of age; the average population density is 118 persons/km2, and the annual birth rate is approximately 12.7‰.\nThe VDPV case lived in a Village (Village A, Township B) which is a part of North Shan State in Myanmar with an estimated 73,000 population. Township B is under the leadership of Kokang Special Administrative Region bordering with Yunnan Province. Many parts of the township are geographically hard to reach and are unable to be accessed in the rainy season. The township has a 50-bed hospital in an urban area and one 16-bed station hospital in a sub-township. Medical treatment and public health services are provided by township health staff.\n Case ascertainment and VDPV case definition Cases with paralytic polio were identified through an AFP surveillance system. CDC staff at the county-level routinely investigate AFP cases reported by health care centers and hospitals, collect stool specimens and assess residual paralysis 60 days after the onset of paralysis. Clinical and epidemiological information on AFP cases are abstracted from medical records and/or obtained from case investigations; a standard case investigation form is used in China.\nIn accordance with WHO current recommendations, a VDPV case was defined as an AFP case from whom Sabin-related poliovirus (type 2 with ≥6 nt VP1 substitutions; type1 and 3 with ≥10 nt VP1 substitutions) was isolated from ≥1 stool specimen without WPV isolated, and who was determined to be polio-compatible by a provincial Polio Expert Committee after the standard 60-days follow-up examination.\nCases with paralytic polio were identified through an AFP surveillance system. CDC staff at the county-level routinely investigate AFP cases reported by health care centers and hospitals, collect stool specimens and assess residual paralysis 60 days after the onset of paralysis. Clinical and epidemiological information on AFP cases are abstracted from medical records and/or obtained from case investigations; a standard case investigation form is used in China.\nIn accordance with WHO current recommendations, a VDPV case was defined as an AFP case from whom Sabin-related poliovirus (type 2 with ≥6 nt VP1 substitutions; type1 and 3 with ≥10 nt VP1 substitutions) was isolated from ≥1 stool specimen without WPV isolated, and who was determined to be polio-compatible by a provincial Polio Expert Committee after the standard 60-days follow-up examination.\n Retrospective searching of AFP cases Records of all county- and prefecture-level hospitals in Lincang City, Yunnan Province where the VDPV case sought health care were reviewed for additional AFP cases. In Myanmar, retrospective searches for AFP cases were conducted in hospitals in township B and through a house-to-house search in the affected village and neighboring areas. The definition of AFP case was AFP case <15 years old, or suspected polio case at any age, paralyzed between January 1, 2010 and the survey date.\nRecords of all county- and prefecture-level hospitals in Lincang City, Yunnan Province where the VDPV case sought health care were reviewed for additional AFP cases. In Myanmar, retrospective searches for AFP cases were conducted in hospitals in township B and through a house-to-house search in the affected village and neighboring areas. The definition of AFP case was AFP case <15 years old, or suspected polio case at any age, paralyzed between January 1, 2010 and the survey date.\n Oral poliovirus vaccine (OPV) coverage assessment To determine immunization coverage, convenience surveys were conducted in four counties (two counties the case visited and two counties bordering Myanmar) in Yunnan Province. Quick assessment of OPV coverage was conducted and performance of routine immunization were also evaluated in Township B.\nTo determine immunization coverage, convenience surveys were conducted in four counties (two counties the case visited and two counties bordering Myanmar) in Yunnan Province. Quick assessment of OPV coverage was conducted and performance of routine immunization were also evaluated in Township B.\n Investigation of contacts and healthy children Stool specimens were collected from hospital contacts of the VDPV case and healthy children <5 years of age in the two counties (Zhenkang County and Linxiang County) that the VDPV case visited in Lincang City, Yunnan Province. In Myanmar, stool specimens were also collected from close contacts of the VDPV case.\nStool specimens were collected from hospital contacts of the VDPV case and healthy children <5 years of age in the two counties (Zhenkang County and Linxiang County) that the VDPV case visited in Lincang City, Yunnan Province. In Myanmar, stool specimens were also collected from close contacts of the VDPV case.\n Isolation and characterization of poliovirus isolates Stool specimens were forwarded to the provincial polio laboratory where viral isolation was performed on L20B and RD cell cultures and viral isolates were identified by micro-neutralization assay. Poliovirus isolates were forwarded to the National Polio Laboratory where intratypic differentiation was performed by polymerase chain reaction–restriction fragment–length polymorphism and by enzyme-linked immunosorbent assay. The full VP1 genomic region of poliovirus isolates was sequenced with an ABI Prism BigDye Terminator Cycle Sequencing Ready Reaction kit and an automated DNA sequencer. Sequence data were compared with those of reference strains (GenBank accession no. AY184219). All contact specimens collected in Myanmar were sent to WHO accredited National Health Laboratory Yangon for poliovirus testing.\nStool specimens were forwarded to the provincial polio laboratory where viral isolation was performed on L20B and RD cell cultures and viral isolates were identified by micro-neutralization assay. Poliovirus isolates were forwarded to the National Polio Laboratory where intratypic differentiation was performed by polymerase chain reaction–restriction fragment–length polymorphism and by enzyme-linked immunosorbent assay. The full VP1 genomic region of poliovirus isolates was sequenced with an ABI Prism BigDye Terminator Cycle Sequencing Ready Reaction kit and an automated DNA sequencer. Sequence data were compared with those of reference strains (GenBank accession no. AY184219). All contact specimens collected in Myanmar were sent to WHO accredited National Health Laboratory Yangon for poliovirus testing.\n Ethical considerations This study was approved by the Chinese Center for Disease Control and Prevention institutional review board. Written informed consent regarding anonymizing publication of VDPV infection was provided by guardian of the index case in Myanmar and the guardians of four AFP cases in Lincang city of Yunnan Province, after study staff explained fully to guardian about the purpose of the study, and the risks and benefits of anonymizing publication.\nThis study was approved by the Chinese Center for Disease Control and Prevention institutional review board. Written informed consent regarding anonymizing publication of VDPV infection was provided by guardian of the index case in Myanmar and the guardians of four AFP cases in Lincang city of Yunnan Province, after study staff explained fully to guardian about the purpose of the study, and the risks and benefits of anonymizing publication.\n Statistical analysis Statistical tests were performed using SAS 9.1 software (SAS Institute Inc, Cary, NC, USA). A p-value of <0.05 was considered the cut-off level for statistical significant for all analysis.\nStatistical tests were performed using SAS 9.1 software (SAS Institute Inc, Cary, NC, USA). A p-value of <0.05 was considered the cut-off level for statistical significant for all analysis.", "Yunnan Province is situated in southwest China, with an area of 394,000 km2. Yunnan shares 4,060 kilometers of international borders with Myanmar in the west and southwest and with Vietnam and Laos in the south. Six of 16 prefectures in Yunnan are adjacent with Myanmar, with nearly 2,000 kilometers of international borders. Moreover, there are few natural barriers between the two countries, and the border habitants of each country interact very frequently. In 2011 the population of Yunnan Province was estimated to be 46.3 million with 9.5 million children younger than 15 years of age; the average population density is 118 persons/km2, and the annual birth rate is approximately 12.7‰.\nThe VDPV case lived in a Village (Village A, Township B) which is a part of North Shan State in Myanmar with an estimated 73,000 population. Township B is under the leadership of Kokang Special Administrative Region bordering with Yunnan Province. Many parts of the township are geographically hard to reach and are unable to be accessed in the rainy season. The township has a 50-bed hospital in an urban area and one 16-bed station hospital in a sub-township. Medical treatment and public health services are provided by township health staff.", "Cases with paralytic polio were identified through an AFP surveillance system. CDC staff at the county-level routinely investigate AFP cases reported by health care centers and hospitals, collect stool specimens and assess residual paralysis 60 days after the onset of paralysis. Clinical and epidemiological information on AFP cases are abstracted from medical records and/or obtained from case investigations; a standard case investigation form is used in China.\nIn accordance with WHO current recommendations, a VDPV case was defined as an AFP case from whom Sabin-related poliovirus (type 2 with ≥6 nt VP1 substitutions; type1 and 3 with ≥10 nt VP1 substitutions) was isolated from ≥1 stool specimen without WPV isolated, and who was determined to be polio-compatible by a provincial Polio Expert Committee after the standard 60-days follow-up examination.", "Records of all county- and prefecture-level hospitals in Lincang City, Yunnan Province where the VDPV case sought health care were reviewed for additional AFP cases. In Myanmar, retrospective searches for AFP cases were conducted in hospitals in township B and through a house-to-house search in the affected village and neighboring areas. The definition of AFP case was AFP case <15 years old, or suspected polio case at any age, paralyzed between January 1, 2010 and the survey date.", "To determine immunization coverage, convenience surveys were conducted in four counties (two counties the case visited and two counties bordering Myanmar) in Yunnan Province. Quick assessment of OPV coverage was conducted and performance of routine immunization were also evaluated in Township B.", "Stool specimens were collected from hospital contacts of the VDPV case and healthy children <5 years of age in the two counties (Zhenkang County and Linxiang County) that the VDPV case visited in Lincang City, Yunnan Province. In Myanmar, stool specimens were also collected from close contacts of the VDPV case.", "Stool specimens were forwarded to the provincial polio laboratory where viral isolation was performed on L20B and RD cell cultures and viral isolates were identified by micro-neutralization assay. Poliovirus isolates were forwarded to the National Polio Laboratory where intratypic differentiation was performed by polymerase chain reaction–restriction fragment–length polymorphism and by enzyme-linked immunosorbent assay. The full VP1 genomic region of poliovirus isolates was sequenced with an ABI Prism BigDye Terminator Cycle Sequencing Ready Reaction kit and an automated DNA sequencer. Sequence data were compared with those of reference strains (GenBank accession no. AY184219). All contact specimens collected in Myanmar were sent to WHO accredited National Health Laboratory Yangon for poliovirus testing.", "This study was approved by the Chinese Center for Disease Control and Prevention institutional review board. Written informed consent regarding anonymizing publication of VDPV infection was provided by guardian of the index case in Myanmar and the guardians of four AFP cases in Lincang city of Yunnan Province, after study staff explained fully to guardian about the purpose of the study, and the risks and benefits of anonymizing publication.", "Statistical tests were performed using SAS 9.1 software (SAS Institute Inc, Cary, NC, USA). A p-value of <0.05 was considered the cut-off level for statistical significant for all analysis.", " VDPV case The case, 18 months old, lived in a Village of Township B, North Shan State in Myanmar. The child had no previous history of OPV vaccination, no history of travelling outside the village 4-6 weeks prior to illness, or any family visits. In the first instance, the child developed high fever; two days later, the child was brought to a local clinic, where an intramuscular injection (drug was unknown) was given on his left buttock; fever subsided after injection, but the child developed bilateral weakness of the lower limbs on the same night; the weakness worsened by next day and the child was unable to stand or walk.\nFour days later, the child went to a Hospital in Township B and was referred to a hospital in Zhenkang County (in China) where he was then referred to a Hospital in Lincang City and was reported as an AFP case. Type 1 VDPV strains were isolated from both stool specimens collected 6 and 7 days after the onset of AFP, with 21 (2.3%) nt VP1 substitutions from Sabin poliovirus. After staying in Lincang City for more than one week, the child returned to Myanmar because of no improvement in symptoms. Therefore, no additional stool sample was collected and VDPV excretion was not followed up for the case. No medical test for immunodeficiency was done without final classification of VDPV.\nThe case, 18 months old, lived in a Village of Township B, North Shan State in Myanmar. The child had no previous history of OPV vaccination, no history of travelling outside the village 4-6 weeks prior to illness, or any family visits. In the first instance, the child developed high fever; two days later, the child was brought to a local clinic, where an intramuscular injection (drug was unknown) was given on his left buttock; fever subsided after injection, but the child developed bilateral weakness of the lower limbs on the same night; the weakness worsened by next day and the child was unable to stand or walk.\nFour days later, the child went to a Hospital in Township B and was referred to a hospital in Zhenkang County (in China) where he was then referred to a Hospital in Lincang City and was reported as an AFP case. Type 1 VDPV strains were isolated from both stool specimens collected 6 and 7 days after the onset of AFP, with 21 (2.3%) nt VP1 substitutions from Sabin poliovirus. After staying in Lincang City for more than one week, the child returned to Myanmar because of no improvement in symptoms. Therefore, no additional stool sample was collected and VDPV excretion was not followed up for the case. No medical test for immunodeficiency was done without final classification of VDPV.\n Cross-border collaboration between China and Myanmar—information sharing Immediately after confirmation of the VDPV case, China CDC informed WHO about the VDPV case and required the assistance of WHO for sharing related information with Myanmar. The government of Myanmar received the report about the VDPV importation with the help of the WHO country office in China, WHO Western Pacific Regional Office, WHO Regional Office for South-East Asia, and WHO country office in Myanmar.\nBased on the information provided by the Chinese MoH, Myanmar’s MoH, and the WHO country office in Myanmar, the VDPV case was located and additional detailed epidemiological information was collected on the outbreak and immunization activities were conducted including OPV coverage assessment, AFP case searching and specimen collection among close contacts and healthy children by a joint team consisting of officials from Myanmar’s MoH and WHO country office in Myanmar. China, WHO, and Myanmar maintained communication regarding the epidemiology of the outbreak and emergency response activities.\nImmediately after confirmation of the VDPV case, China CDC informed WHO about the VDPV case and required the assistance of WHO for sharing related information with Myanmar. The government of Myanmar received the report about the VDPV importation with the help of the WHO country office in China, WHO Western Pacific Regional Office, WHO Regional Office for South-East Asia, and WHO country office in Myanmar.\nBased on the information provided by the Chinese MoH, Myanmar’s MoH, and the WHO country office in Myanmar, the VDPV case was located and additional detailed epidemiological information was collected on the outbreak and immunization activities were conducted including OPV coverage assessment, AFP case searching and specimen collection among close contacts and healthy children by a joint team consisting of officials from Myanmar’s MoH and WHO country office in Myanmar. China, WHO, and Myanmar maintained communication regarding the epidemiology of the outbreak and emergency response activities.\n Investigation of contacts and healthy children In Yunnan Province, stool specimens were collected from two hospital contacts who stayed in the same room in the hospital of Lincang City, with negative results for both poliovirus and non-polio enterovirus (NPEV). In Linxiang and Zhenkang counties, stool specimens were also collected from 50 healthy children <5 years of age in an area with a concentrated migrant population, all of which were negative for poliovirus except 8 (16%) specimens positive for NPEV.\nIn Myanmar, stool specimens were collected from 10 close contacts including family and those who encountered the VDPV case in the hospital after paralysis (4 in the Village where the case lived, 1 in another Village where the case had stayed and 5 in Township Hospital), with negative results for both poliovirus and NPEV.\nIn Yunnan Province, stool specimens were collected from two hospital contacts who stayed in the same room in the hospital of Lincang City, with negative results for both poliovirus and non-polio enterovirus (NPEV). In Linxiang and Zhenkang counties, stool specimens were also collected from 50 healthy children <5 years of age in an area with a concentrated migrant population, all of which were negative for poliovirus except 8 (16%) specimens positive for NPEV.\nIn Myanmar, stool specimens were collected from 10 close contacts including family and those who encountered the VDPV case in the hospital after paralysis (4 in the Village where the case lived, 1 in another Village where the case had stayed and 5 in Township Hospital), with negative results for both poliovirus and NPEV.\n OPV coverage assessment and routine immunization Convenience surveys for OPV coverage were conducted in 4 counties of Lincang City: Linxiang and Zhenkang Counties that the case visited, and two other counties (Gengma and Cangyuan) which border Myanmar. A total of 365 children were enrolled: 65 < 1 year of age and 300 ≥ 1 year of age (Table 1). Among the 365 subjects enrolled, 356 (97.5%) had a vaccination certificate and 363 (99.5%) had received at least one dose of OPV. Among 300 participants ≥1 year of age, 279 (93.0) had received more than 3 doses of OPV (OPV3). OPV3 rates by county were also high among subjects ≥1 year of age, with the lowest rate (86.3%) in market place of Linxiang County.Table 1\nResult of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province\n\nCounty\n\nInvestigation site\n\nAge Group (Months)\n\nNo. surveyed\n\nVaccination certificate\n\nOPV immunization history (dose)\n\nOPV Vaccination Rate (%)\n\nOPV Fully Vaccination Rate (%)\n\nYes\n\nNo\n\nRate (%)\n\n0\n\n1\n\n2\n\n≥3\n\nUnknown\nLinxiangMarket Place2-1218180100.0031140100.077.8>1280800100.0038690100.086.3ZhenkangMarket Place2-1254180.01112080.040.0>122524196.0001240100.096.0Mengpeng Township2-12660100.001230100.050.0>122726196.3003240100.088.9Mengdui Township2-12660100.003030100.050.0>1224240100.0000240100.0100.0CangyuanMarket Place2-121210283.3011100100.083.3>124946393.9010480100.098.0Mengjiao Town2-12440100.01003075.075.0>1226260100.0010250100.096.2GengmaMarket Place2-12660100.000060100.0100.0>1223230100.0011210100.091.3Hepai Town2-12110100.000010100.0100.0>1228280100.0000280100.0100.0Mengding Town2-1276185.702230100.042.9>1218180100.0011160100.088.9Total2-126561493.8211745096.969.2>12300295598.307142790100.093.0\n\nResult of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province\n\nThe VDPV case had a three month old sibling who had also not received any vaccinations. The township medical officer reported that there had been no vaccination conducted since last 2 years in this village, and that most villages did not have adequate access to vaccination in Township B. Moreover, most areas were not covered for routine immunization in this township due to vaccine shortages and lack of operational funds in the past 2 years. The reported OPV3 coverage among children <1 year of age were 48% in 2009, 63% in 2010, and 73% in 2011, respectively.\nConvenience surveys for OPV coverage were conducted in 4 counties of Lincang City: Linxiang and Zhenkang Counties that the case visited, and two other counties (Gengma and Cangyuan) which border Myanmar. A total of 365 children were enrolled: 65 < 1 year of age and 300 ≥ 1 year of age (Table 1). Among the 365 subjects enrolled, 356 (97.5%) had a vaccination certificate and 363 (99.5%) had received at least one dose of OPV. Among 300 participants ≥1 year of age, 279 (93.0) had received more than 3 doses of OPV (OPV3). OPV3 rates by county were also high among subjects ≥1 year of age, with the lowest rate (86.3%) in market place of Linxiang County.Table 1\nResult of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province\n\nCounty\n\nInvestigation site\n\nAge Group (Months)\n\nNo. surveyed\n\nVaccination certificate\n\nOPV immunization history (dose)\n\nOPV Vaccination Rate (%)\n\nOPV Fully Vaccination Rate (%)\n\nYes\n\nNo\n\nRate (%)\n\n0\n\n1\n\n2\n\n≥3\n\nUnknown\nLinxiangMarket Place2-1218180100.0031140100.077.8>1280800100.0038690100.086.3ZhenkangMarket Place2-1254180.01112080.040.0>122524196.0001240100.096.0Mengpeng Township2-12660100.001230100.050.0>122726196.3003240100.088.9Mengdui Township2-12660100.003030100.050.0>1224240100.0000240100.0100.0CangyuanMarket Place2-121210283.3011100100.083.3>124946393.9010480100.098.0Mengjiao Town2-12440100.01003075.075.0>1226260100.0010250100.096.2GengmaMarket Place2-12660100.000060100.0100.0>1223230100.0011210100.091.3Hepai Town2-12110100.000010100.0100.0>1228280100.0000280100.0100.0Mengding Town2-1276185.702230100.042.9>1218180100.0011160100.088.9Total2-126561493.8211745096.969.2>12300295598.307142790100.093.0\n\nResult of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province\n\nThe VDPV case had a three month old sibling who had also not received any vaccinations. The township medical officer reported that there had been no vaccination conducted since last 2 years in this village, and that most villages did not have adequate access to vaccination in Township B. Moreover, most areas were not covered for routine immunization in this township due to vaccine shortages and lack of operational funds in the past 2 years. The reported OPV3 coverage among children <1 year of age were 48% in 2009, 63% in 2010, and 73% in 2011, respectively.\n Retrospective searching of AFP cases Medical records for both inpatients and outpatients were reviewed in 9 hospitals at the county level and above in the 4 aforementioned counties of Lincang City. A total of 4 AFP cases were found: 2 cases in Linxiang County, one in Zhenkang County, and one in Cangyuan County; all of these cases had been reported.\nIn Myanmar, no additional AFP cases were found during active case searches in Township B Hospital nor during house-to-house searches in the Village and neighboring areas.\nMedical records for both inpatients and outpatients were reviewed in 9 hospitals at the county level and above in the 4 aforementioned counties of Lincang City. A total of 4 AFP cases were found: 2 cases in Linxiang County, one in Zhenkang County, and one in Cangyuan County; all of these cases had been reported.\nIn Myanmar, no additional AFP cases were found during active case searches in Township B Hospital nor during house-to-house searches in the Village and neighboring areas.\n AFP surveillance performance The overall annualized incidence of non-polio AFP (NPAFP) was 2.98 per 100,000 children < 15 years of age in Yunnan Province from January to May 2012, and NPAFP rates were >1/100,000 in almost all prefectures except for Xishuangbanna Prefecture and Nujiang City where no NPAFP cases were reported (Table 2). In 2011, with the exception of Xishuangbanna Prefecture, NPAFP rates were higher than 1 case per 100,000 children in all prefectures. Another important indicator, adequate stool specimen collection rate, was also met in almost all prefectures.Table 2\nMain performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May)\n\nTime period\n\nPrefecture\n\nNo. of NPAFP cases\n\nAnnualized NPAFP incidence (1/100, 000)\n§\n\nInvestigation within 48 hours (%)\n\nTwo stool samples collected (%)\n\nAdequate stool sample collected (%)\n\nStool samples delivered within 7 days (%)\n\nLab result reported within 28 days (%)\n2011Kunming City221.71100.081.872.7100.0100.0Qujing City211.5495.290.590.5100.0100.0Yuxi City316.5396.896.896.8100.0100.0Baoshan City203.69100.090.090.0100.0100.0Zhaotong City221.8490.995.590.990.9100.0Chuxiong Prefecture223.93100.0100.0100.0100.0100.0Honghe Prefecture202.08100.085.085.0100.095.0Wenshan Prefecture192.28100.089.584.288.9100.0Pu’er City162.86100.093.893.8100.0100.0Xishuangbanna Prefecture20.87100.050.050.0100.0100.0Dali Prefecture182.3594.4100.0100.0100.0100.0Dehong Prefecture176.40100.0100.0100.0100.0100.0Lijiang City124.52100.083.383.3100.0100.0Nujiang City43.38100.050.050.0100.0100.0Diqing City11.19100.0100.0100100.0100.0Lincang City132.32100.092.392.392.3100.0Yunnan Province2602.5898.191.590.098.199.62012 (January to May)Kunming City204.89100.095.095.0100.0100.0Qujing City81.41100.075.075.0100.0100.0Yuxi City42.27100.0100.0100.0100.0100.0Baoshan City41.89100.0100.0100.0100.0100.0Zhaotong City142.44100.092.992.978.6100.0Chuxiong Prefecture73.59100.0100.0100.0100.0100.0Honghe Prefecture102.51100.0100.0100.0100.0100.0Wenshan Prefecture51.44100.0100.0100.0100.0100.0Pu’er City73.60100.085.785.771.4100.0Xishuangbanna Prefecture00.0−−−−−Dali Prefecture93.23100.0100.0100.0100.0100.0Dehong Prefecture1110.49100.0100.0100.090.9100.0Lijiang City88.58100.0100.0100.0100.0100.0Nujiang City00.0−−−−−Diqing City13.30100.0100.0100.0100.0100.0Lincang City94.38100.0100.0100.0100.0100.0Yunnan Province1172.98100.095.795.794.9100.0\n§Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age.\n\nMain performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May)\n\n\n§Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age.\nIn Township B Hospital, doctors and health workers had fairly good knowledge on AFP surveillance. An AFP poster for awareness purpose, including almost all the diseases with AFP symptom, was displayed in township hospital premises. However, there were many Chinese clinics in Township B, which were not part of the AFP surveillance system. AFP cases were not reported in Township B and neighboring townships, and the sensitivity indicator (>1 case per 100,000 children <15 years of age) of AFP surveillance was not met.\nThe overall annualized incidence of non-polio AFP (NPAFP) was 2.98 per 100,000 children < 15 years of age in Yunnan Province from January to May 2012, and NPAFP rates were >1/100,000 in almost all prefectures except for Xishuangbanna Prefecture and Nujiang City where no NPAFP cases were reported (Table 2). In 2011, with the exception of Xishuangbanna Prefecture, NPAFP rates were higher than 1 case per 100,000 children in all prefectures. Another important indicator, adequate stool specimen collection rate, was also met in almost all prefectures.Table 2\nMain performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May)\n\nTime period\n\nPrefecture\n\nNo. of NPAFP cases\n\nAnnualized NPAFP incidence (1/100, 000)\n§\n\nInvestigation within 48 hours (%)\n\nTwo stool samples collected (%)\n\nAdequate stool sample collected (%)\n\nStool samples delivered within 7 days (%)\n\nLab result reported within 28 days (%)\n2011Kunming City221.71100.081.872.7100.0100.0Qujing City211.5495.290.590.5100.0100.0Yuxi City316.5396.896.896.8100.0100.0Baoshan City203.69100.090.090.0100.0100.0Zhaotong City221.8490.995.590.990.9100.0Chuxiong Prefecture223.93100.0100.0100.0100.0100.0Honghe Prefecture202.08100.085.085.0100.095.0Wenshan Prefecture192.28100.089.584.288.9100.0Pu’er City162.86100.093.893.8100.0100.0Xishuangbanna Prefecture20.87100.050.050.0100.0100.0Dali Prefecture182.3594.4100.0100.0100.0100.0Dehong Prefecture176.40100.0100.0100.0100.0100.0Lijiang City124.52100.083.383.3100.0100.0Nujiang City43.38100.050.050.0100.0100.0Diqing City11.19100.0100.0100100.0100.0Lincang City132.32100.092.392.392.3100.0Yunnan Province2602.5898.191.590.098.199.62012 (January to May)Kunming City204.89100.095.095.0100.0100.0Qujing City81.41100.075.075.0100.0100.0Yuxi City42.27100.0100.0100.0100.0100.0Baoshan City41.89100.0100.0100.0100.0100.0Zhaotong City142.44100.092.992.978.6100.0Chuxiong Prefecture73.59100.0100.0100.0100.0100.0Honghe Prefecture102.51100.0100.0100.0100.0100.0Wenshan Prefecture51.44100.0100.0100.0100.0100.0Pu’er City73.60100.085.785.771.4100.0Xishuangbanna Prefecture00.0−−−−−Dali Prefecture93.23100.0100.0100.0100.0100.0Dehong Prefecture1110.49100.0100.0100.090.9100.0Lijiang City88.58100.0100.0100.0100.0100.0Nujiang City00.0−−−−−Diqing City13.30100.0100.0100.0100.0100.0Lincang City94.38100.0100.0100.0100.0100.0Yunnan Province1172.98100.095.795.794.9100.0\n§Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age.\n\nMain performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May)\n\n\n§Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age.\nIn Township B Hospital, doctors and health workers had fairly good knowledge on AFP surveillance. An AFP poster for awareness purpose, including almost all the diseases with AFP symptom, was displayed in township hospital premises. However, there were many Chinese clinics in Township B, which were not part of the AFP surveillance system. AFP cases were not reported in Township B and neighboring townships, and the sensitivity indicator (>1 case per 100,000 children <15 years of age) of AFP surveillance was not met.\n Supplementary immunization activities (SIAs) OPV catch-ups were conducted among children <6 years of age in Lincang City, Yunnan Province. The targeted children also included those from Myanmar who attend school, travel or live in Lincang City. OPV catch-ups in Yunnan Province and SIAs in Myanmar were conducted at similar time.\nIn order to control the outbreak timely and effectively, outbreak response immunization was conducted in a month after paralysis onset of the VDPV case in 6 neighboring villages, including one urban border crossing ward of Township B. Six hundred fifty children were given one dose of trivalent OPV. In addition, two months later, two rounds of house-to-house supplementary immunization activities (SIAs) were conducted in 19 townships of North Shan State in Myanmar, covering 233,000 children <6 years of age.\nOPV catch-ups were conducted among children <6 years of age in Lincang City, Yunnan Province. The targeted children also included those from Myanmar who attend school, travel or live in Lincang City. OPV catch-ups in Yunnan Province and SIAs in Myanmar were conducted at similar time.\nIn order to control the outbreak timely and effectively, outbreak response immunization was conducted in a month after paralysis onset of the VDPV case in 6 neighboring villages, including one urban border crossing ward of Township B. Six hundred fifty children were given one dose of trivalent OPV. In addition, two months later, two rounds of house-to-house supplementary immunization activities (SIAs) were conducted in 19 townships of North Shan State in Myanmar, covering 233,000 children <6 years of age.", "The case, 18 months old, lived in a Village of Township B, North Shan State in Myanmar. The child had no previous history of OPV vaccination, no history of travelling outside the village 4-6 weeks prior to illness, or any family visits. In the first instance, the child developed high fever; two days later, the child was brought to a local clinic, where an intramuscular injection (drug was unknown) was given on his left buttock; fever subsided after injection, but the child developed bilateral weakness of the lower limbs on the same night; the weakness worsened by next day and the child was unable to stand or walk.\nFour days later, the child went to a Hospital in Township B and was referred to a hospital in Zhenkang County (in China) where he was then referred to a Hospital in Lincang City and was reported as an AFP case. Type 1 VDPV strains were isolated from both stool specimens collected 6 and 7 days after the onset of AFP, with 21 (2.3%) nt VP1 substitutions from Sabin poliovirus. After staying in Lincang City for more than one week, the child returned to Myanmar because of no improvement in symptoms. Therefore, no additional stool sample was collected and VDPV excretion was not followed up for the case. No medical test for immunodeficiency was done without final classification of VDPV.", "Immediately after confirmation of the VDPV case, China CDC informed WHO about the VDPV case and required the assistance of WHO for sharing related information with Myanmar. The government of Myanmar received the report about the VDPV importation with the help of the WHO country office in China, WHO Western Pacific Regional Office, WHO Regional Office for South-East Asia, and WHO country office in Myanmar.\nBased on the information provided by the Chinese MoH, Myanmar’s MoH, and the WHO country office in Myanmar, the VDPV case was located and additional detailed epidemiological information was collected on the outbreak and immunization activities were conducted including OPV coverage assessment, AFP case searching and specimen collection among close contacts and healthy children by a joint team consisting of officials from Myanmar’s MoH and WHO country office in Myanmar. China, WHO, and Myanmar maintained communication regarding the epidemiology of the outbreak and emergency response activities.", "In Yunnan Province, stool specimens were collected from two hospital contacts who stayed in the same room in the hospital of Lincang City, with negative results for both poliovirus and non-polio enterovirus (NPEV). In Linxiang and Zhenkang counties, stool specimens were also collected from 50 healthy children <5 years of age in an area with a concentrated migrant population, all of which were negative for poliovirus except 8 (16%) specimens positive for NPEV.\nIn Myanmar, stool specimens were collected from 10 close contacts including family and those who encountered the VDPV case in the hospital after paralysis (4 in the Village where the case lived, 1 in another Village where the case had stayed and 5 in Township Hospital), with negative results for both poliovirus and NPEV.", "Convenience surveys for OPV coverage were conducted in 4 counties of Lincang City: Linxiang and Zhenkang Counties that the case visited, and two other counties (Gengma and Cangyuan) which border Myanmar. A total of 365 children were enrolled: 65 < 1 year of age and 300 ≥ 1 year of age (Table 1). Among the 365 subjects enrolled, 356 (97.5%) had a vaccination certificate and 363 (99.5%) had received at least one dose of OPV. Among 300 participants ≥1 year of age, 279 (93.0) had received more than 3 doses of OPV (OPV3). OPV3 rates by county were also high among subjects ≥1 year of age, with the lowest rate (86.3%) in market place of Linxiang County.Table 1\nResult of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province\n\nCounty\n\nInvestigation site\n\nAge Group (Months)\n\nNo. surveyed\n\nVaccination certificate\n\nOPV immunization history (dose)\n\nOPV Vaccination Rate (%)\n\nOPV Fully Vaccination Rate (%)\n\nYes\n\nNo\n\nRate (%)\n\n0\n\n1\n\n2\n\n≥3\n\nUnknown\nLinxiangMarket Place2-1218180100.0031140100.077.8>1280800100.0038690100.086.3ZhenkangMarket Place2-1254180.01112080.040.0>122524196.0001240100.096.0Mengpeng Township2-12660100.001230100.050.0>122726196.3003240100.088.9Mengdui Township2-12660100.003030100.050.0>1224240100.0000240100.0100.0CangyuanMarket Place2-121210283.3011100100.083.3>124946393.9010480100.098.0Mengjiao Town2-12440100.01003075.075.0>1226260100.0010250100.096.2GengmaMarket Place2-12660100.000060100.0100.0>1223230100.0011210100.091.3Hepai Town2-12110100.000010100.0100.0>1228280100.0000280100.0100.0Mengding Town2-1276185.702230100.042.9>1218180100.0011160100.088.9Total2-126561493.8211745096.969.2>12300295598.307142790100.093.0\n\nResult of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province\n\nThe VDPV case had a three month old sibling who had also not received any vaccinations. The township medical officer reported that there had been no vaccination conducted since last 2 years in this village, and that most villages did not have adequate access to vaccination in Township B. Moreover, most areas were not covered for routine immunization in this township due to vaccine shortages and lack of operational funds in the past 2 years. The reported OPV3 coverage among children <1 year of age were 48% in 2009, 63% in 2010, and 73% in 2011, respectively.", "Medical records for both inpatients and outpatients were reviewed in 9 hospitals at the county level and above in the 4 aforementioned counties of Lincang City. A total of 4 AFP cases were found: 2 cases in Linxiang County, one in Zhenkang County, and one in Cangyuan County; all of these cases had been reported.\nIn Myanmar, no additional AFP cases were found during active case searches in Township B Hospital nor during house-to-house searches in the Village and neighboring areas.", "The overall annualized incidence of non-polio AFP (NPAFP) was 2.98 per 100,000 children < 15 years of age in Yunnan Province from January to May 2012, and NPAFP rates were >1/100,000 in almost all prefectures except for Xishuangbanna Prefecture and Nujiang City where no NPAFP cases were reported (Table 2). In 2011, with the exception of Xishuangbanna Prefecture, NPAFP rates were higher than 1 case per 100,000 children in all prefectures. Another important indicator, adequate stool specimen collection rate, was also met in almost all prefectures.Table 2\nMain performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May)\n\nTime period\n\nPrefecture\n\nNo. of NPAFP cases\n\nAnnualized NPAFP incidence (1/100, 000)\n§\n\nInvestigation within 48 hours (%)\n\nTwo stool samples collected (%)\n\nAdequate stool sample collected (%)\n\nStool samples delivered within 7 days (%)\n\nLab result reported within 28 days (%)\n2011Kunming City221.71100.081.872.7100.0100.0Qujing City211.5495.290.590.5100.0100.0Yuxi City316.5396.896.896.8100.0100.0Baoshan City203.69100.090.090.0100.0100.0Zhaotong City221.8490.995.590.990.9100.0Chuxiong Prefecture223.93100.0100.0100.0100.0100.0Honghe Prefecture202.08100.085.085.0100.095.0Wenshan Prefecture192.28100.089.584.288.9100.0Pu’er City162.86100.093.893.8100.0100.0Xishuangbanna Prefecture20.87100.050.050.0100.0100.0Dali Prefecture182.3594.4100.0100.0100.0100.0Dehong Prefecture176.40100.0100.0100.0100.0100.0Lijiang City124.52100.083.383.3100.0100.0Nujiang City43.38100.050.050.0100.0100.0Diqing City11.19100.0100.0100100.0100.0Lincang City132.32100.092.392.392.3100.0Yunnan Province2602.5898.191.590.098.199.62012 (January to May)Kunming City204.89100.095.095.0100.0100.0Qujing City81.41100.075.075.0100.0100.0Yuxi City42.27100.0100.0100.0100.0100.0Baoshan City41.89100.0100.0100.0100.0100.0Zhaotong City142.44100.092.992.978.6100.0Chuxiong Prefecture73.59100.0100.0100.0100.0100.0Honghe Prefecture102.51100.0100.0100.0100.0100.0Wenshan Prefecture51.44100.0100.0100.0100.0100.0Pu’er City73.60100.085.785.771.4100.0Xishuangbanna Prefecture00.0−−−−−Dali Prefecture93.23100.0100.0100.0100.0100.0Dehong Prefecture1110.49100.0100.0100.090.9100.0Lijiang City88.58100.0100.0100.0100.0100.0Nujiang City00.0−−−−−Diqing City13.30100.0100.0100.0100.0100.0Lincang City94.38100.0100.0100.0100.0100.0Yunnan Province1172.98100.095.795.794.9100.0\n§Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age.\n\nMain performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May)\n\n\n§Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age.\nIn Township B Hospital, doctors and health workers had fairly good knowledge on AFP surveillance. An AFP poster for awareness purpose, including almost all the diseases with AFP symptom, was displayed in township hospital premises. However, there were many Chinese clinics in Township B, which were not part of the AFP surveillance system. AFP cases were not reported in Township B and neighboring townships, and the sensitivity indicator (>1 case per 100,000 children <15 years of age) of AFP surveillance was not met.", "OPV catch-ups were conducted among children <6 years of age in Lincang City, Yunnan Province. The targeted children also included those from Myanmar who attend school, travel or live in Lincang City. OPV catch-ups in Yunnan Province and SIAs in Myanmar were conducted at similar time.\nIn order to control the outbreak timely and effectively, outbreak response immunization was conducted in a month after paralysis onset of the VDPV case in 6 neighboring villages, including one urban border crossing ward of Township B. Six hundred fifty children were given one dose of trivalent OPV. In addition, two months later, two rounds of house-to-house supplementary immunization activities (SIAs) were conducted in 19 townships of North Shan State in Myanmar, covering 233,000 children <6 years of age.", "Based on clinical examination the index child was diagnosed as clinically compatible with polio, and type 1 VDPV (21 nucleotides substitution) was isolated from stool specimens, so the child was classified as a VDPV case. This is the first report of an imported VDPV case in China, although WPV importation had been detected by AFP surveillance in the past. The Chinese MOH immediately disseminated related epidemiological information to Myanmar upon detection of the VDPV case with assistance from WHO. Based on information provided by the Chinese MoH, a timely emergency response was conducted in Myanmar, including an epidemiological investigation and SIAs. China and Myanmar maintained communication, regularly updating each other on investigation activities. This effort should be a model example of cross-border collaboration for global polio eradication.\nHigh quality of routine immunization against polio and AFP surveillance are two key elements for polio eradication. Low immunization immunity due to poor OPV coverage in routine immunization was the major risk factor related with VDPV outbreak. The township medical officer reported that most areas were not covered for routine immunization in this township in the past 2 years. The reported OPV3 coverage among children <1 year of age were 48% in 2009, 63% in 2010, and 73% in 2011, respectively. Moreover, AFP Surveillance system was found to be inadequate in the area of the VDPV case. Therefore, retrospective searching of AFP cases was necessary for identifying under-reported AFP cases during field investigation.\nImported WPV and VDPV cases were detected timely by AFP surveillance system in Yunnan Province, which was based on the performance of AFP surveillance. Moreover, high population immunity had prevented transmission of poliovirus without subsequent outbreaks, although importation has occurred many times. The quick assessment of OPV coverage showed that the immunization rate was high in Lincang City, with 93.0% of children >1 year of age fully immunized. A serologic study conducted to estimate poliovirus antibody seroprevalence in 2010, indicated that more than 85% of children were seropositive for poliovirus serotype 1 in Lincang City [16]. The risk of cVDPV outbreak was considered to be low according to risk assessment, so OPV catch-up other than SIAs was conducted. It is necessary to strengthen routine immunization and AFP surveillance further until WPV is eradicated worldwide.\nOPV is recommended by national immunization program in both China and Myanmar. However, due to a high liability of genetic mutation and recombination with other enteroviruses [17], one disadvantage associated with OPV is the rare occurrence of VDPVs. The cVDPV in Nigeria have indicated the potential risk of prolonged transmission of the vaccine virus among population with non-optimal immunity [18]. The goal of polio eradication is to complete eradication and containment of all wild, vaccine-related and Sabin polioviruses. Until WPV can be eliminated then programs utilizing OPV must be continued which entails an ongoing risk of VDPV outbreaks. Hence efforts to eliminate WPV must continue, and all countries must maintain effective immunization and AFP surveillance programs.\nTimely information sharing between China and Myanmar may have avoided a potential outbreak of circulated VDPV (cVDPV) in Myanmar, considering the immunity gap among children in this high risk area where the VDPV case lived. The success in collaboration and the potential benefits attained emphasize the need to strengthen cross-border collaborative efforts among countries that neighbor endemic countries. It is noteworthy that increasing efforts are taken for cross-border collaboration in recent years. Intense cross-border migration continues in both directions, favoring continuous virus transmission between Afghan and Pakistan [19]. Therefore, synchronized cross-border polio campaigns were conducted in these two countries, ensuring simultaneous and comprehensive coverage of children in transit through the border areas [20]. In addition, many of cross-border meetings were held to explore a formalized approach to collaboration [21,22].\nHowever, it took over 7 days for Myanmar to receive the information on the VDPV case, which was due to many counterparts involved in the information delivery in addition to the countries of China and Myanmar, which included the WHO country office in China, WHO Western Pacific Regional Office, WHO Regional Office for South-East Asia and WHO country office in Myanmar. To promote further efficient communication, working mechanisms for information exchange and emergency response collaboration should be developed between China and Myanmar. Historically, to control WPV importation from Myanmar, China and Myanmar simultaneously conducted OPV SIAs in the border areas of Yunnan Province, China and Shan and Kachin States, Myanmar. Due to good collaboration, a WPV outbreak did not take place in Yunnan Province, although imported WPV cases were monitored [9]. Cross-border collaboration with neighboring countries is particularly important for China, as it shares a border with two endemic countries (Afghanistan and Pakistan). However, a formalized collaboration approach is lacking. Based on the previous experience collaborating with Myanmar, the following mechanisms should be considered:A list of key contacts should be developed, who are responsible for polio-related issues on each side of the border;AFP surveillance and coverage data should be shared regularly;Each country should immediately inform the other upon detecting WPV cases, VDPV cases or a cluster of AFP cases in border townships or counties;Cross-border meetings should be conducted regularly to better understand each other public health system;Personnel and resources should be shared, including technical guidance; andSIAs should be synchronized if a WPV outbreak is detected.\nA list of key contacts should be developed, who are responsible for polio-related issues on each side of the border;\nAFP surveillance and coverage data should be shared regularly;\nEach country should immediately inform the other upon detecting WPV cases, VDPV cases or a cluster of AFP cases in border townships or counties;\nCross-border meetings should be conducted regularly to better understand each other public health system;\nPersonnel and resources should be shared, including technical guidance; and\nSIAs should be synchronized if a WPV outbreak is detected.", "The collaboration between China and Myanmar may have prevented a potential cVDPV outbreak in Myanmar. Considering China shares borders with two endemic countries, it is necessary to reinforce cross-border collaboration with neighboring countries, which can maximize the leverage of limited resources. Conducting high quality routine immunization and AFP surveillance should be maintained until WPV is eradicated worldwide." ]
[ "introduction", "materials|methods", null, null, null, null, null, null, null, null, "results", null, null, null, null, null, null, null, "discussion", "conclusion" ]
[ "Vaccine derived poliovirus", "Importation", "Cross-border collaboration", "China", "Myanmar" ]
Background: Since 2012, circulation of indigenous wild poliovirus (WPV) has been confined to three countries: Afghanistan, Nigeria, and Pakistan [1]. Despite significant achievements since the launch of the Global Polio Eradication Initiative in 1988, many previously polio-free countries remain at risk for the disease and have been affected by WPV importation from remaining endemic countries [2-5]. With increasing globalization, population mobility is contributing to the transmission of infectious diseases between countries, as cross-border population movement impedes efforts to prevent transmission of infectious diseases. For example, in 2009, 98.8% of total malaria cases in Yunnan Province, China were found to be imported from neighboring countries [6]. In China, the last indigenous case of WPV was reported in September 1994 [7]. China and the other countries of the Western Pacific Region were declared polio-free in October 2000 [8]. However, national health departments in China must remain vigilant regarding the risk of WPV importation from bordering endemic countries. Instances of WPV importation were detected in China before the region was declared polio-free: in 1995 and 1996 in Yunnan Province [9], and in 1999 in Qinghai province [10,11]. Moreover, after being polio-free for more than 10 years, on August 25, 2011, an outbreak was confirmed in Xinjiang Uygur Autonomous Region, China following importation of type 1 WPV originated from neighboring Pakistan [12-14]. Myanmar had no reported polio cases during the period of 2000-2005, but a single case of type 1 vaccine derived poliovirus (VDPV) was reported in April 2006. After several years without WPV cases, an outbreak of 11 type 1 WPV cases occurred in Myanmar in 2007, which was confirmed as the re-introduction of WPV, with the last reported paralyzed case in May 2007 [15]. Subsequently, an additional four type 1 VDPV cases were reported in 2007, and a type 1 VDPV case was reported in December 2010. The Global Polio Eradication Initiative of World Health Organization (WHO) recommends reporting and laboratory testing of fecal specimens for all cases of acute flaccid paralysis (AFP) among children < 15 years of age and suspected poliomyelitis in a person of any age as the standard means of WPV and VDPV surveillance. The Chinese government initiated AFP surveillance in several provinces, following WHO guidelines in 1991. In 1993, surveillance was extended to the national level conducted by the Chinese Center for Disease Control and Prevention (China CDC) under the leadership of Ministry of Health (MoH). WHO established a global polio laboratory network, which includes a Polio Regional Reference Laboratory in China, to confirm poliovirus infections. This report describes the cross-border collaboration between China and Myanmar on the public health response of an importation of VDPV case that occurred in Yunnan Province, China, in June 2012; the last reported case of WPV infection in Yunnan, China was imported from Myanmar in 1996 [9]. This cross-border collaboration and public health response is a model example for other countries which have borders with WPV endemic countries, and the lessons learned may be incorporated into national emergency response planning for a polio outbreak. Methods: Setting and population Yunnan Province is situated in southwest China, with an area of 394,000 km2. Yunnan shares 4,060 kilometers of international borders with Myanmar in the west and southwest and with Vietnam and Laos in the south. Six of 16 prefectures in Yunnan are adjacent with Myanmar, with nearly 2,000 kilometers of international borders. Moreover, there are few natural barriers between the two countries, and the border habitants of each country interact very frequently. In 2011 the population of Yunnan Province was estimated to be 46.3 million with 9.5 million children younger than 15 years of age; the average population density is 118 persons/km2, and the annual birth rate is approximately 12.7‰. The VDPV case lived in a Village (Village A, Township B) which is a part of North Shan State in Myanmar with an estimated 73,000 population. Township B is under the leadership of Kokang Special Administrative Region bordering with Yunnan Province. Many parts of the township are geographically hard to reach and are unable to be accessed in the rainy season. The township has a 50-bed hospital in an urban area and one 16-bed station hospital in a sub-township. Medical treatment and public health services are provided by township health staff. Yunnan Province is situated in southwest China, with an area of 394,000 km2. Yunnan shares 4,060 kilometers of international borders with Myanmar in the west and southwest and with Vietnam and Laos in the south. Six of 16 prefectures in Yunnan are adjacent with Myanmar, with nearly 2,000 kilometers of international borders. Moreover, there are few natural barriers between the two countries, and the border habitants of each country interact very frequently. In 2011 the population of Yunnan Province was estimated to be 46.3 million with 9.5 million children younger than 15 years of age; the average population density is 118 persons/km2, and the annual birth rate is approximately 12.7‰. The VDPV case lived in a Village (Village A, Township B) which is a part of North Shan State in Myanmar with an estimated 73,000 population. Township B is under the leadership of Kokang Special Administrative Region bordering with Yunnan Province. Many parts of the township are geographically hard to reach and are unable to be accessed in the rainy season. The township has a 50-bed hospital in an urban area and one 16-bed station hospital in a sub-township. Medical treatment and public health services are provided by township health staff. Case ascertainment and VDPV case definition Cases with paralytic polio were identified through an AFP surveillance system. CDC staff at the county-level routinely investigate AFP cases reported by health care centers and hospitals, collect stool specimens and assess residual paralysis 60 days after the onset of paralysis. Clinical and epidemiological information on AFP cases are abstracted from medical records and/or obtained from case investigations; a standard case investigation form is used in China. In accordance with WHO current recommendations, a VDPV case was defined as an AFP case from whom Sabin-related poliovirus (type 2 with ≥6 nt VP1 substitutions; type1 and 3 with ≥10 nt VP1 substitutions) was isolated from ≥1 stool specimen without WPV isolated, and who was determined to be polio-compatible by a provincial Polio Expert Committee after the standard 60-days follow-up examination. Cases with paralytic polio were identified through an AFP surveillance system. CDC staff at the county-level routinely investigate AFP cases reported by health care centers and hospitals, collect stool specimens and assess residual paralysis 60 days after the onset of paralysis. Clinical and epidemiological information on AFP cases are abstracted from medical records and/or obtained from case investigations; a standard case investigation form is used in China. In accordance with WHO current recommendations, a VDPV case was defined as an AFP case from whom Sabin-related poliovirus (type 2 with ≥6 nt VP1 substitutions; type1 and 3 with ≥10 nt VP1 substitutions) was isolated from ≥1 stool specimen without WPV isolated, and who was determined to be polio-compatible by a provincial Polio Expert Committee after the standard 60-days follow-up examination. Retrospective searching of AFP cases Records of all county- and prefecture-level hospitals in Lincang City, Yunnan Province where the VDPV case sought health care were reviewed for additional AFP cases. In Myanmar, retrospective searches for AFP cases were conducted in hospitals in township B and through a house-to-house search in the affected village and neighboring areas. The definition of AFP case was AFP case <15 years old, or suspected polio case at any age, paralyzed between January 1, 2010 and the survey date. Records of all county- and prefecture-level hospitals in Lincang City, Yunnan Province where the VDPV case sought health care were reviewed for additional AFP cases. In Myanmar, retrospective searches for AFP cases were conducted in hospitals in township B and through a house-to-house search in the affected village and neighboring areas. The definition of AFP case was AFP case <15 years old, or suspected polio case at any age, paralyzed between January 1, 2010 and the survey date. Oral poliovirus vaccine (OPV) coverage assessment To determine immunization coverage, convenience surveys were conducted in four counties (two counties the case visited and two counties bordering Myanmar) in Yunnan Province. Quick assessment of OPV coverage was conducted and performance of routine immunization were also evaluated in Township B. To determine immunization coverage, convenience surveys were conducted in four counties (two counties the case visited and two counties bordering Myanmar) in Yunnan Province. Quick assessment of OPV coverage was conducted and performance of routine immunization were also evaluated in Township B. Investigation of contacts and healthy children Stool specimens were collected from hospital contacts of the VDPV case and healthy children <5 years of age in the two counties (Zhenkang County and Linxiang County) that the VDPV case visited in Lincang City, Yunnan Province. In Myanmar, stool specimens were also collected from close contacts of the VDPV case. Stool specimens were collected from hospital contacts of the VDPV case and healthy children <5 years of age in the two counties (Zhenkang County and Linxiang County) that the VDPV case visited in Lincang City, Yunnan Province. In Myanmar, stool specimens were also collected from close contacts of the VDPV case. Isolation and characterization of poliovirus isolates Stool specimens were forwarded to the provincial polio laboratory where viral isolation was performed on L20B and RD cell cultures and viral isolates were identified by micro-neutralization assay. Poliovirus isolates were forwarded to the National Polio Laboratory where intratypic differentiation was performed by polymerase chain reaction–restriction fragment–length polymorphism and by enzyme-linked immunosorbent assay. The full VP1 genomic region of poliovirus isolates was sequenced with an ABI Prism BigDye Terminator Cycle Sequencing Ready Reaction kit and an automated DNA sequencer. Sequence data were compared with those of reference strains (GenBank accession no. AY184219). All contact specimens collected in Myanmar were sent to WHO accredited National Health Laboratory Yangon for poliovirus testing. Stool specimens were forwarded to the provincial polio laboratory where viral isolation was performed on L20B and RD cell cultures and viral isolates were identified by micro-neutralization assay. Poliovirus isolates were forwarded to the National Polio Laboratory where intratypic differentiation was performed by polymerase chain reaction–restriction fragment–length polymorphism and by enzyme-linked immunosorbent assay. The full VP1 genomic region of poliovirus isolates was sequenced with an ABI Prism BigDye Terminator Cycle Sequencing Ready Reaction kit and an automated DNA sequencer. Sequence data were compared with those of reference strains (GenBank accession no. AY184219). All contact specimens collected in Myanmar were sent to WHO accredited National Health Laboratory Yangon for poliovirus testing. Ethical considerations This study was approved by the Chinese Center for Disease Control and Prevention institutional review board. Written informed consent regarding anonymizing publication of VDPV infection was provided by guardian of the index case in Myanmar and the guardians of four AFP cases in Lincang city of Yunnan Province, after study staff explained fully to guardian about the purpose of the study, and the risks and benefits of anonymizing publication. This study was approved by the Chinese Center for Disease Control and Prevention institutional review board. Written informed consent regarding anonymizing publication of VDPV infection was provided by guardian of the index case in Myanmar and the guardians of four AFP cases in Lincang city of Yunnan Province, after study staff explained fully to guardian about the purpose of the study, and the risks and benefits of anonymizing publication. Statistical analysis Statistical tests were performed using SAS 9.1 software (SAS Institute Inc, Cary, NC, USA). A p-value of <0.05 was considered the cut-off level for statistical significant for all analysis. Statistical tests were performed using SAS 9.1 software (SAS Institute Inc, Cary, NC, USA). A p-value of <0.05 was considered the cut-off level for statistical significant for all analysis. Setting and population: Yunnan Province is situated in southwest China, with an area of 394,000 km2. Yunnan shares 4,060 kilometers of international borders with Myanmar in the west and southwest and with Vietnam and Laos in the south. Six of 16 prefectures in Yunnan are adjacent with Myanmar, with nearly 2,000 kilometers of international borders. Moreover, there are few natural barriers between the two countries, and the border habitants of each country interact very frequently. In 2011 the population of Yunnan Province was estimated to be 46.3 million with 9.5 million children younger than 15 years of age; the average population density is 118 persons/km2, and the annual birth rate is approximately 12.7‰. The VDPV case lived in a Village (Village A, Township B) which is a part of North Shan State in Myanmar with an estimated 73,000 population. Township B is under the leadership of Kokang Special Administrative Region bordering with Yunnan Province. Many parts of the township are geographically hard to reach and are unable to be accessed in the rainy season. The township has a 50-bed hospital in an urban area and one 16-bed station hospital in a sub-township. Medical treatment and public health services are provided by township health staff. Case ascertainment and VDPV case definition: Cases with paralytic polio were identified through an AFP surveillance system. CDC staff at the county-level routinely investigate AFP cases reported by health care centers and hospitals, collect stool specimens and assess residual paralysis 60 days after the onset of paralysis. Clinical and epidemiological information on AFP cases are abstracted from medical records and/or obtained from case investigations; a standard case investigation form is used in China. In accordance with WHO current recommendations, a VDPV case was defined as an AFP case from whom Sabin-related poliovirus (type 2 with ≥6 nt VP1 substitutions; type1 and 3 with ≥10 nt VP1 substitutions) was isolated from ≥1 stool specimen without WPV isolated, and who was determined to be polio-compatible by a provincial Polio Expert Committee after the standard 60-days follow-up examination. Retrospective searching of AFP cases: Records of all county- and prefecture-level hospitals in Lincang City, Yunnan Province where the VDPV case sought health care were reviewed for additional AFP cases. In Myanmar, retrospective searches for AFP cases were conducted in hospitals in township B and through a house-to-house search in the affected village and neighboring areas. The definition of AFP case was AFP case <15 years old, or suspected polio case at any age, paralyzed between January 1, 2010 and the survey date. Oral poliovirus vaccine (OPV) coverage assessment: To determine immunization coverage, convenience surveys were conducted in four counties (two counties the case visited and two counties bordering Myanmar) in Yunnan Province. Quick assessment of OPV coverage was conducted and performance of routine immunization were also evaluated in Township B. Investigation of contacts and healthy children: Stool specimens were collected from hospital contacts of the VDPV case and healthy children <5 years of age in the two counties (Zhenkang County and Linxiang County) that the VDPV case visited in Lincang City, Yunnan Province. In Myanmar, stool specimens were also collected from close contacts of the VDPV case. Isolation and characterization of poliovirus isolates: Stool specimens were forwarded to the provincial polio laboratory where viral isolation was performed on L20B and RD cell cultures and viral isolates were identified by micro-neutralization assay. Poliovirus isolates were forwarded to the National Polio Laboratory where intratypic differentiation was performed by polymerase chain reaction–restriction fragment–length polymorphism and by enzyme-linked immunosorbent assay. The full VP1 genomic region of poliovirus isolates was sequenced with an ABI Prism BigDye Terminator Cycle Sequencing Ready Reaction kit and an automated DNA sequencer. Sequence data were compared with those of reference strains (GenBank accession no. AY184219). All contact specimens collected in Myanmar were sent to WHO accredited National Health Laboratory Yangon for poliovirus testing. Ethical considerations: This study was approved by the Chinese Center for Disease Control and Prevention institutional review board. Written informed consent regarding anonymizing publication of VDPV infection was provided by guardian of the index case in Myanmar and the guardians of four AFP cases in Lincang city of Yunnan Province, after study staff explained fully to guardian about the purpose of the study, and the risks and benefits of anonymizing publication. Statistical analysis: Statistical tests were performed using SAS 9.1 software (SAS Institute Inc, Cary, NC, USA). A p-value of <0.05 was considered the cut-off level for statistical significant for all analysis. Results: VDPV case The case, 18 months old, lived in a Village of Township B, North Shan State in Myanmar. The child had no previous history of OPV vaccination, no history of travelling outside the village 4-6 weeks prior to illness, or any family visits. In the first instance, the child developed high fever; two days later, the child was brought to a local clinic, where an intramuscular injection (drug was unknown) was given on his left buttock; fever subsided after injection, but the child developed bilateral weakness of the lower limbs on the same night; the weakness worsened by next day and the child was unable to stand or walk. Four days later, the child went to a Hospital in Township B and was referred to a hospital in Zhenkang County (in China) where he was then referred to a Hospital in Lincang City and was reported as an AFP case. Type 1 VDPV strains were isolated from both stool specimens collected 6 and 7 days after the onset of AFP, with 21 (2.3%) nt VP1 substitutions from Sabin poliovirus. After staying in Lincang City for more than one week, the child returned to Myanmar because of no improvement in symptoms. Therefore, no additional stool sample was collected and VDPV excretion was not followed up for the case. No medical test for immunodeficiency was done without final classification of VDPV. The case, 18 months old, lived in a Village of Township B, North Shan State in Myanmar. The child had no previous history of OPV vaccination, no history of travelling outside the village 4-6 weeks prior to illness, or any family visits. In the first instance, the child developed high fever; two days later, the child was brought to a local clinic, where an intramuscular injection (drug was unknown) was given on his left buttock; fever subsided after injection, but the child developed bilateral weakness of the lower limbs on the same night; the weakness worsened by next day and the child was unable to stand or walk. Four days later, the child went to a Hospital in Township B and was referred to a hospital in Zhenkang County (in China) where he was then referred to a Hospital in Lincang City and was reported as an AFP case. Type 1 VDPV strains were isolated from both stool specimens collected 6 and 7 days after the onset of AFP, with 21 (2.3%) nt VP1 substitutions from Sabin poliovirus. After staying in Lincang City for more than one week, the child returned to Myanmar because of no improvement in symptoms. Therefore, no additional stool sample was collected and VDPV excretion was not followed up for the case. No medical test for immunodeficiency was done without final classification of VDPV. Cross-border collaboration between China and Myanmar—information sharing Immediately after confirmation of the VDPV case, China CDC informed WHO about the VDPV case and required the assistance of WHO for sharing related information with Myanmar. The government of Myanmar received the report about the VDPV importation with the help of the WHO country office in China, WHO Western Pacific Regional Office, WHO Regional Office for South-East Asia, and WHO country office in Myanmar. Based on the information provided by the Chinese MoH, Myanmar’s MoH, and the WHO country office in Myanmar, the VDPV case was located and additional detailed epidemiological information was collected on the outbreak and immunization activities were conducted including OPV coverage assessment, AFP case searching and specimen collection among close contacts and healthy children by a joint team consisting of officials from Myanmar’s MoH and WHO country office in Myanmar. China, WHO, and Myanmar maintained communication regarding the epidemiology of the outbreak and emergency response activities. Immediately after confirmation of the VDPV case, China CDC informed WHO about the VDPV case and required the assistance of WHO for sharing related information with Myanmar. The government of Myanmar received the report about the VDPV importation with the help of the WHO country office in China, WHO Western Pacific Regional Office, WHO Regional Office for South-East Asia, and WHO country office in Myanmar. Based on the information provided by the Chinese MoH, Myanmar’s MoH, and the WHO country office in Myanmar, the VDPV case was located and additional detailed epidemiological information was collected on the outbreak and immunization activities were conducted including OPV coverage assessment, AFP case searching and specimen collection among close contacts and healthy children by a joint team consisting of officials from Myanmar’s MoH and WHO country office in Myanmar. China, WHO, and Myanmar maintained communication regarding the epidemiology of the outbreak and emergency response activities. Investigation of contacts and healthy children In Yunnan Province, stool specimens were collected from two hospital contacts who stayed in the same room in the hospital of Lincang City, with negative results for both poliovirus and non-polio enterovirus (NPEV). In Linxiang and Zhenkang counties, stool specimens were also collected from 50 healthy children <5 years of age in an area with a concentrated migrant population, all of which were negative for poliovirus except 8 (16%) specimens positive for NPEV. In Myanmar, stool specimens were collected from 10 close contacts including family and those who encountered the VDPV case in the hospital after paralysis (4 in the Village where the case lived, 1 in another Village where the case had stayed and 5 in Township Hospital), with negative results for both poliovirus and NPEV. In Yunnan Province, stool specimens were collected from two hospital contacts who stayed in the same room in the hospital of Lincang City, with negative results for both poliovirus and non-polio enterovirus (NPEV). In Linxiang and Zhenkang counties, stool specimens were also collected from 50 healthy children <5 years of age in an area with a concentrated migrant population, all of which were negative for poliovirus except 8 (16%) specimens positive for NPEV. In Myanmar, stool specimens were collected from 10 close contacts including family and those who encountered the VDPV case in the hospital after paralysis (4 in the Village where the case lived, 1 in another Village where the case had stayed and 5 in Township Hospital), with negative results for both poliovirus and NPEV. OPV coverage assessment and routine immunization Convenience surveys for OPV coverage were conducted in 4 counties of Lincang City: Linxiang and Zhenkang Counties that the case visited, and two other counties (Gengma and Cangyuan) which border Myanmar. A total of 365 children were enrolled: 65 < 1 year of age and 300 ≥ 1 year of age (Table 1). Among the 365 subjects enrolled, 356 (97.5%) had a vaccination certificate and 363 (99.5%) had received at least one dose of OPV. Among 300 participants ≥1 year of age, 279 (93.0) had received more than 3 doses of OPV (OPV3). OPV3 rates by county were also high among subjects ≥1 year of age, with the lowest rate (86.3%) in market place of Linxiang County.Table 1 Result of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province County Investigation site Age Group (Months) No. surveyed Vaccination certificate OPV immunization history (dose) OPV Vaccination Rate (%) OPV Fully Vaccination Rate (%) Yes No Rate (%) 0 1 2 ≥3 Unknown LinxiangMarket Place2-1218180100.0031140100.077.8>1280800100.0038690100.086.3ZhenkangMarket Place2-1254180.01112080.040.0>122524196.0001240100.096.0Mengpeng Township2-12660100.001230100.050.0>122726196.3003240100.088.9Mengdui Township2-12660100.003030100.050.0>1224240100.0000240100.0100.0CangyuanMarket Place2-121210283.3011100100.083.3>124946393.9010480100.098.0Mengjiao Town2-12440100.01003075.075.0>1226260100.0010250100.096.2GengmaMarket Place2-12660100.000060100.0100.0>1223230100.0011210100.091.3Hepai Town2-12110100.000010100.0100.0>1228280100.0000280100.0100.0Mengding Town2-1276185.702230100.042.9>1218180100.0011160100.088.9Total2-126561493.8211745096.969.2>12300295598.307142790100.093.0 Result of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province The VDPV case had a three month old sibling who had also not received any vaccinations. The township medical officer reported that there had been no vaccination conducted since last 2 years in this village, and that most villages did not have adequate access to vaccination in Township B. Moreover, most areas were not covered for routine immunization in this township due to vaccine shortages and lack of operational funds in the past 2 years. The reported OPV3 coverage among children <1 year of age were 48% in 2009, 63% in 2010, and 73% in 2011, respectively. Convenience surveys for OPV coverage were conducted in 4 counties of Lincang City: Linxiang and Zhenkang Counties that the case visited, and two other counties (Gengma and Cangyuan) which border Myanmar. A total of 365 children were enrolled: 65 < 1 year of age and 300 ≥ 1 year of age (Table 1). Among the 365 subjects enrolled, 356 (97.5%) had a vaccination certificate and 363 (99.5%) had received at least one dose of OPV. Among 300 participants ≥1 year of age, 279 (93.0) had received more than 3 doses of OPV (OPV3). OPV3 rates by county were also high among subjects ≥1 year of age, with the lowest rate (86.3%) in market place of Linxiang County.Table 1 Result of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province County Investigation site Age Group (Months) No. surveyed Vaccination certificate OPV immunization history (dose) OPV Vaccination Rate (%) OPV Fully Vaccination Rate (%) Yes No Rate (%) 0 1 2 ≥3 Unknown LinxiangMarket Place2-1218180100.0031140100.077.8>1280800100.0038690100.086.3ZhenkangMarket Place2-1254180.01112080.040.0>122524196.0001240100.096.0Mengpeng Township2-12660100.001230100.050.0>122726196.3003240100.088.9Mengdui Township2-12660100.003030100.050.0>1224240100.0000240100.0100.0CangyuanMarket Place2-121210283.3011100100.083.3>124946393.9010480100.098.0Mengjiao Town2-12440100.01003075.075.0>1226260100.0010250100.096.2GengmaMarket Place2-12660100.000060100.0100.0>1223230100.0011210100.091.3Hepai Town2-12110100.000010100.0100.0>1228280100.0000280100.0100.0Mengding Town2-1276185.702230100.042.9>1218180100.0011160100.088.9Total2-126561493.8211745096.969.2>12300295598.307142790100.093.0 Result of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province The VDPV case had a three month old sibling who had also not received any vaccinations. The township medical officer reported that there had been no vaccination conducted since last 2 years in this village, and that most villages did not have adequate access to vaccination in Township B. Moreover, most areas were not covered for routine immunization in this township due to vaccine shortages and lack of operational funds in the past 2 years. The reported OPV3 coverage among children <1 year of age were 48% in 2009, 63% in 2010, and 73% in 2011, respectively. Retrospective searching of AFP cases Medical records for both inpatients and outpatients were reviewed in 9 hospitals at the county level and above in the 4 aforementioned counties of Lincang City. A total of 4 AFP cases were found: 2 cases in Linxiang County, one in Zhenkang County, and one in Cangyuan County; all of these cases had been reported. In Myanmar, no additional AFP cases were found during active case searches in Township B Hospital nor during house-to-house searches in the Village and neighboring areas. Medical records for both inpatients and outpatients were reviewed in 9 hospitals at the county level and above in the 4 aforementioned counties of Lincang City. A total of 4 AFP cases were found: 2 cases in Linxiang County, one in Zhenkang County, and one in Cangyuan County; all of these cases had been reported. In Myanmar, no additional AFP cases were found during active case searches in Township B Hospital nor during house-to-house searches in the Village and neighboring areas. AFP surveillance performance The overall annualized incidence of non-polio AFP (NPAFP) was 2.98 per 100,000 children < 15 years of age in Yunnan Province from January to May 2012, and NPAFP rates were >1/100,000 in almost all prefectures except for Xishuangbanna Prefecture and Nujiang City where no NPAFP cases were reported (Table 2). In 2011, with the exception of Xishuangbanna Prefecture, NPAFP rates were higher than 1 case per 100,000 children in all prefectures. Another important indicator, adequate stool specimen collection rate, was also met in almost all prefectures.Table 2 Main performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May) Time period Prefecture No. of NPAFP cases Annualized NPAFP incidence (1/100, 000) § Investigation within 48 hours (%) Two stool samples collected (%) Adequate stool sample collected (%) Stool samples delivered within 7 days (%) Lab result reported within 28 days (%) 2011Kunming City221.71100.081.872.7100.0100.0Qujing City211.5495.290.590.5100.0100.0Yuxi City316.5396.896.896.8100.0100.0Baoshan City203.69100.090.090.0100.0100.0Zhaotong City221.8490.995.590.990.9100.0Chuxiong Prefecture223.93100.0100.0100.0100.0100.0Honghe Prefecture202.08100.085.085.0100.095.0Wenshan Prefecture192.28100.089.584.288.9100.0Pu’er City162.86100.093.893.8100.0100.0Xishuangbanna Prefecture20.87100.050.050.0100.0100.0Dali Prefecture182.3594.4100.0100.0100.0100.0Dehong Prefecture176.40100.0100.0100.0100.0100.0Lijiang City124.52100.083.383.3100.0100.0Nujiang City43.38100.050.050.0100.0100.0Diqing City11.19100.0100.0100100.0100.0Lincang City132.32100.092.392.392.3100.0Yunnan Province2602.5898.191.590.098.199.62012 (January to May)Kunming City204.89100.095.095.0100.0100.0Qujing City81.41100.075.075.0100.0100.0Yuxi City42.27100.0100.0100.0100.0100.0Baoshan City41.89100.0100.0100.0100.0100.0Zhaotong City142.44100.092.992.978.6100.0Chuxiong Prefecture73.59100.0100.0100.0100.0100.0Honghe Prefecture102.51100.0100.0100.0100.0100.0Wenshan Prefecture51.44100.0100.0100.0100.0100.0Pu’er City73.60100.085.785.771.4100.0Xishuangbanna Prefecture00.0−−−−−Dali Prefecture93.23100.0100.0100.0100.0100.0Dehong Prefecture1110.49100.0100.0100.090.9100.0Lijiang City88.58100.0100.0100.0100.0100.0Nujiang City00.0−−−−−Diqing City13.30100.0100.0100.0100.0100.0Lincang City94.38100.0100.0100.0100.0100.0Yunnan Province1172.98100.095.795.794.9100.0 §Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age. Main performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May) §Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age. In Township B Hospital, doctors and health workers had fairly good knowledge on AFP surveillance. An AFP poster for awareness purpose, including almost all the diseases with AFP symptom, was displayed in township hospital premises. However, there were many Chinese clinics in Township B, which were not part of the AFP surveillance system. AFP cases were not reported in Township B and neighboring townships, and the sensitivity indicator (>1 case per 100,000 children <15 years of age) of AFP surveillance was not met. The overall annualized incidence of non-polio AFP (NPAFP) was 2.98 per 100,000 children < 15 years of age in Yunnan Province from January to May 2012, and NPAFP rates were >1/100,000 in almost all prefectures except for Xishuangbanna Prefecture and Nujiang City where no NPAFP cases were reported (Table 2). In 2011, with the exception of Xishuangbanna Prefecture, NPAFP rates were higher than 1 case per 100,000 children in all prefectures. Another important indicator, adequate stool specimen collection rate, was also met in almost all prefectures.Table 2 Main performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May) Time period Prefecture No. of NPAFP cases Annualized NPAFP incidence (1/100, 000) § Investigation within 48 hours (%) Two stool samples collected (%) Adequate stool sample collected (%) Stool samples delivered within 7 days (%) Lab result reported within 28 days (%) 2011Kunming City221.71100.081.872.7100.0100.0Qujing City211.5495.290.590.5100.0100.0Yuxi City316.5396.896.896.8100.0100.0Baoshan City203.69100.090.090.0100.0100.0Zhaotong City221.8490.995.590.990.9100.0Chuxiong Prefecture223.93100.0100.0100.0100.0100.0Honghe Prefecture202.08100.085.085.0100.095.0Wenshan Prefecture192.28100.089.584.288.9100.0Pu’er City162.86100.093.893.8100.0100.0Xishuangbanna Prefecture20.87100.050.050.0100.0100.0Dali Prefecture182.3594.4100.0100.0100.0100.0Dehong Prefecture176.40100.0100.0100.0100.0100.0Lijiang City124.52100.083.383.3100.0100.0Nujiang City43.38100.050.050.0100.0100.0Diqing City11.19100.0100.0100100.0100.0Lincang City132.32100.092.392.392.3100.0Yunnan Province2602.5898.191.590.098.199.62012 (January to May)Kunming City204.89100.095.095.0100.0100.0Qujing City81.41100.075.075.0100.0100.0Yuxi City42.27100.0100.0100.0100.0100.0Baoshan City41.89100.0100.0100.0100.0100.0Zhaotong City142.44100.092.992.978.6100.0Chuxiong Prefecture73.59100.0100.0100.0100.0100.0Honghe Prefecture102.51100.0100.0100.0100.0100.0Wenshan Prefecture51.44100.0100.0100.0100.0100.0Pu’er City73.60100.085.785.771.4100.0Xishuangbanna Prefecture00.0−−−−−Dali Prefecture93.23100.0100.0100.0100.0100.0Dehong Prefecture1110.49100.0100.0100.090.9100.0Lijiang City88.58100.0100.0100.0100.0100.0Nujiang City00.0−−−−−Diqing City13.30100.0100.0100.0100.0100.0Lincang City94.38100.0100.0100.0100.0100.0Yunnan Province1172.98100.095.795.794.9100.0 §Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age. Main performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May) §Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age. In Township B Hospital, doctors and health workers had fairly good knowledge on AFP surveillance. An AFP poster for awareness purpose, including almost all the diseases with AFP symptom, was displayed in township hospital premises. However, there were many Chinese clinics in Township B, which were not part of the AFP surveillance system. AFP cases were not reported in Township B and neighboring townships, and the sensitivity indicator (>1 case per 100,000 children <15 years of age) of AFP surveillance was not met. Supplementary immunization activities (SIAs) OPV catch-ups were conducted among children <6 years of age in Lincang City, Yunnan Province. The targeted children also included those from Myanmar who attend school, travel or live in Lincang City. OPV catch-ups in Yunnan Province and SIAs in Myanmar were conducted at similar time. In order to control the outbreak timely and effectively, outbreak response immunization was conducted in a month after paralysis onset of the VDPV case in 6 neighboring villages, including one urban border crossing ward of Township B. Six hundred fifty children were given one dose of trivalent OPV. In addition, two months later, two rounds of house-to-house supplementary immunization activities (SIAs) were conducted in 19 townships of North Shan State in Myanmar, covering 233,000 children <6 years of age. OPV catch-ups were conducted among children <6 years of age in Lincang City, Yunnan Province. The targeted children also included those from Myanmar who attend school, travel or live in Lincang City. OPV catch-ups in Yunnan Province and SIAs in Myanmar were conducted at similar time. In order to control the outbreak timely and effectively, outbreak response immunization was conducted in a month after paralysis onset of the VDPV case in 6 neighboring villages, including one urban border crossing ward of Township B. Six hundred fifty children were given one dose of trivalent OPV. In addition, two months later, two rounds of house-to-house supplementary immunization activities (SIAs) were conducted in 19 townships of North Shan State in Myanmar, covering 233,000 children <6 years of age. VDPV case: The case, 18 months old, lived in a Village of Township B, North Shan State in Myanmar. The child had no previous history of OPV vaccination, no history of travelling outside the village 4-6 weeks prior to illness, or any family visits. In the first instance, the child developed high fever; two days later, the child was brought to a local clinic, where an intramuscular injection (drug was unknown) was given on his left buttock; fever subsided after injection, but the child developed bilateral weakness of the lower limbs on the same night; the weakness worsened by next day and the child was unable to stand or walk. Four days later, the child went to a Hospital in Township B and was referred to a hospital in Zhenkang County (in China) where he was then referred to a Hospital in Lincang City and was reported as an AFP case. Type 1 VDPV strains were isolated from both stool specimens collected 6 and 7 days after the onset of AFP, with 21 (2.3%) nt VP1 substitutions from Sabin poliovirus. After staying in Lincang City for more than one week, the child returned to Myanmar because of no improvement in symptoms. Therefore, no additional stool sample was collected and VDPV excretion was not followed up for the case. No medical test for immunodeficiency was done without final classification of VDPV. Cross-border collaboration between China and Myanmar—information sharing: Immediately after confirmation of the VDPV case, China CDC informed WHO about the VDPV case and required the assistance of WHO for sharing related information with Myanmar. The government of Myanmar received the report about the VDPV importation with the help of the WHO country office in China, WHO Western Pacific Regional Office, WHO Regional Office for South-East Asia, and WHO country office in Myanmar. Based on the information provided by the Chinese MoH, Myanmar’s MoH, and the WHO country office in Myanmar, the VDPV case was located and additional detailed epidemiological information was collected on the outbreak and immunization activities were conducted including OPV coverage assessment, AFP case searching and specimen collection among close contacts and healthy children by a joint team consisting of officials from Myanmar’s MoH and WHO country office in Myanmar. China, WHO, and Myanmar maintained communication regarding the epidemiology of the outbreak and emergency response activities. Investigation of contacts and healthy children: In Yunnan Province, stool specimens were collected from two hospital contacts who stayed in the same room in the hospital of Lincang City, with negative results for both poliovirus and non-polio enterovirus (NPEV). In Linxiang and Zhenkang counties, stool specimens were also collected from 50 healthy children <5 years of age in an area with a concentrated migrant population, all of which were negative for poliovirus except 8 (16%) specimens positive for NPEV. In Myanmar, stool specimens were collected from 10 close contacts including family and those who encountered the VDPV case in the hospital after paralysis (4 in the Village where the case lived, 1 in another Village where the case had stayed and 5 in Township Hospital), with negative results for both poliovirus and NPEV. OPV coverage assessment and routine immunization: Convenience surveys for OPV coverage were conducted in 4 counties of Lincang City: Linxiang and Zhenkang Counties that the case visited, and two other counties (Gengma and Cangyuan) which border Myanmar. A total of 365 children were enrolled: 65 < 1 year of age and 300 ≥ 1 year of age (Table 1). Among the 365 subjects enrolled, 356 (97.5%) had a vaccination certificate and 363 (99.5%) had received at least one dose of OPV. Among 300 participants ≥1 year of age, 279 (93.0) had received more than 3 doses of OPV (OPV3). OPV3 rates by county were also high among subjects ≥1 year of age, with the lowest rate (86.3%) in market place of Linxiang County.Table 1 Result of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province County Investigation site Age Group (Months) No. surveyed Vaccination certificate OPV immunization history (dose) OPV Vaccination Rate (%) OPV Fully Vaccination Rate (%) Yes No Rate (%) 0 1 2 ≥3 Unknown LinxiangMarket Place2-1218180100.0031140100.077.8>1280800100.0038690100.086.3ZhenkangMarket Place2-1254180.01112080.040.0>122524196.0001240100.096.0Mengpeng Township2-12660100.001230100.050.0>122726196.3003240100.088.9Mengdui Township2-12660100.003030100.050.0>1224240100.0000240100.0100.0CangyuanMarket Place2-121210283.3011100100.083.3>124946393.9010480100.098.0Mengjiao Town2-12440100.01003075.075.0>1226260100.0010250100.096.2GengmaMarket Place2-12660100.000060100.0100.0>1223230100.0011210100.091.3Hepai Town2-12110100.000010100.0100.0>1228280100.0000280100.0100.0Mengding Town2-1276185.702230100.042.9>1218180100.0011160100.088.9Total2-126561493.8211745096.969.2>12300295598.307142790100.093.0 Result of OPV coverage assessment in 4 counties of Lincang City, Yunnan Province The VDPV case had a three month old sibling who had also not received any vaccinations. The township medical officer reported that there had been no vaccination conducted since last 2 years in this village, and that most villages did not have adequate access to vaccination in Township B. Moreover, most areas were not covered for routine immunization in this township due to vaccine shortages and lack of operational funds in the past 2 years. The reported OPV3 coverage among children <1 year of age were 48% in 2009, 63% in 2010, and 73% in 2011, respectively. Retrospective searching of AFP cases: Medical records for both inpatients and outpatients were reviewed in 9 hospitals at the county level and above in the 4 aforementioned counties of Lincang City. A total of 4 AFP cases were found: 2 cases in Linxiang County, one in Zhenkang County, and one in Cangyuan County; all of these cases had been reported. In Myanmar, no additional AFP cases were found during active case searches in Township B Hospital nor during house-to-house searches in the Village and neighboring areas. AFP surveillance performance: The overall annualized incidence of non-polio AFP (NPAFP) was 2.98 per 100,000 children < 15 years of age in Yunnan Province from January to May 2012, and NPAFP rates were >1/100,000 in almost all prefectures except for Xishuangbanna Prefecture and Nujiang City where no NPAFP cases were reported (Table 2). In 2011, with the exception of Xishuangbanna Prefecture, NPAFP rates were higher than 1 case per 100,000 children in all prefectures. Another important indicator, adequate stool specimen collection rate, was also met in almost all prefectures.Table 2 Main performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May) Time period Prefecture No. of NPAFP cases Annualized NPAFP incidence (1/100, 000) § Investigation within 48 hours (%) Two stool samples collected (%) Adequate stool sample collected (%) Stool samples delivered within 7 days (%) Lab result reported within 28 days (%) 2011Kunming City221.71100.081.872.7100.0100.0Qujing City211.5495.290.590.5100.0100.0Yuxi City316.5396.896.896.8100.0100.0Baoshan City203.69100.090.090.0100.0100.0Zhaotong City221.8490.995.590.990.9100.0Chuxiong Prefecture223.93100.0100.0100.0100.0100.0Honghe Prefecture202.08100.085.085.0100.095.0Wenshan Prefecture192.28100.089.584.288.9100.0Pu’er City162.86100.093.893.8100.0100.0Xishuangbanna Prefecture20.87100.050.050.0100.0100.0Dali Prefecture182.3594.4100.0100.0100.0100.0Dehong Prefecture176.40100.0100.0100.0100.0100.0Lijiang City124.52100.083.383.3100.0100.0Nujiang City43.38100.050.050.0100.0100.0Diqing City11.19100.0100.0100100.0100.0Lincang City132.32100.092.392.392.3100.0Yunnan Province2602.5898.191.590.098.199.62012 (January to May)Kunming City204.89100.095.095.0100.0100.0Qujing City81.41100.075.075.0100.0100.0Yuxi City42.27100.0100.0100.0100.0100.0Baoshan City41.89100.0100.0100.0100.0100.0Zhaotong City142.44100.092.992.978.6100.0Chuxiong Prefecture73.59100.0100.0100.0100.0100.0Honghe Prefecture102.51100.0100.0100.0100.0100.0Wenshan Prefecture51.44100.0100.0100.0100.0100.0Pu’er City73.60100.085.785.771.4100.0Xishuangbanna Prefecture00.0−−−−−Dali Prefecture93.23100.0100.0100.0100.0100.0Dehong Prefecture1110.49100.0100.0100.090.9100.0Lijiang City88.58100.0100.0100.0100.0100.0Nujiang City00.0−−−−−Diqing City13.30100.0100.0100.0100.0100.0Lincang City94.38100.0100.0100.0100.0100.0Yunnan Province1172.98100.095.795.794.9100.0 §Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age. Main performance indicators of AFP surveillance among children <15 years of age by prefecture in Yunnan Province, 2011 and 2012 (January to May) §Annualized NPAFP incidence in 2012 (January to May), No. of AFP Cases × 12/5 × 100, 000/100, 000)/ No. of children <15 years of age. In Township B Hospital, doctors and health workers had fairly good knowledge on AFP surveillance. An AFP poster for awareness purpose, including almost all the diseases with AFP symptom, was displayed in township hospital premises. However, there were many Chinese clinics in Township B, which were not part of the AFP surveillance system. AFP cases were not reported in Township B and neighboring townships, and the sensitivity indicator (>1 case per 100,000 children <15 years of age) of AFP surveillance was not met. Supplementary immunization activities (SIAs): OPV catch-ups were conducted among children <6 years of age in Lincang City, Yunnan Province. The targeted children also included those from Myanmar who attend school, travel or live in Lincang City. OPV catch-ups in Yunnan Province and SIAs in Myanmar were conducted at similar time. In order to control the outbreak timely and effectively, outbreak response immunization was conducted in a month after paralysis onset of the VDPV case in 6 neighboring villages, including one urban border crossing ward of Township B. Six hundred fifty children were given one dose of trivalent OPV. In addition, two months later, two rounds of house-to-house supplementary immunization activities (SIAs) were conducted in 19 townships of North Shan State in Myanmar, covering 233,000 children <6 years of age. Discussion: Based on clinical examination the index child was diagnosed as clinically compatible with polio, and type 1 VDPV (21 nucleotides substitution) was isolated from stool specimens, so the child was classified as a VDPV case. This is the first report of an imported VDPV case in China, although WPV importation had been detected by AFP surveillance in the past. The Chinese MOH immediately disseminated related epidemiological information to Myanmar upon detection of the VDPV case with assistance from WHO. Based on information provided by the Chinese MoH, a timely emergency response was conducted in Myanmar, including an epidemiological investigation and SIAs. China and Myanmar maintained communication, regularly updating each other on investigation activities. This effort should be a model example of cross-border collaboration for global polio eradication. High quality of routine immunization against polio and AFP surveillance are two key elements for polio eradication. Low immunization immunity due to poor OPV coverage in routine immunization was the major risk factor related with VDPV outbreak. The township medical officer reported that most areas were not covered for routine immunization in this township in the past 2 years. The reported OPV3 coverage among children <1 year of age were 48% in 2009, 63% in 2010, and 73% in 2011, respectively. Moreover, AFP Surveillance system was found to be inadequate in the area of the VDPV case. Therefore, retrospective searching of AFP cases was necessary for identifying under-reported AFP cases during field investigation. Imported WPV and VDPV cases were detected timely by AFP surveillance system in Yunnan Province, which was based on the performance of AFP surveillance. Moreover, high population immunity had prevented transmission of poliovirus without subsequent outbreaks, although importation has occurred many times. The quick assessment of OPV coverage showed that the immunization rate was high in Lincang City, with 93.0% of children >1 year of age fully immunized. A serologic study conducted to estimate poliovirus antibody seroprevalence in 2010, indicated that more than 85% of children were seropositive for poliovirus serotype 1 in Lincang City [16]. The risk of cVDPV outbreak was considered to be low according to risk assessment, so OPV catch-up other than SIAs was conducted. It is necessary to strengthen routine immunization and AFP surveillance further until WPV is eradicated worldwide. OPV is recommended by national immunization program in both China and Myanmar. However, due to a high liability of genetic mutation and recombination with other enteroviruses [17], one disadvantage associated with OPV is the rare occurrence of VDPVs. The cVDPV in Nigeria have indicated the potential risk of prolonged transmission of the vaccine virus among population with non-optimal immunity [18]. The goal of polio eradication is to complete eradication and containment of all wild, vaccine-related and Sabin polioviruses. Until WPV can be eliminated then programs utilizing OPV must be continued which entails an ongoing risk of VDPV outbreaks. Hence efforts to eliminate WPV must continue, and all countries must maintain effective immunization and AFP surveillance programs. Timely information sharing between China and Myanmar may have avoided a potential outbreak of circulated VDPV (cVDPV) in Myanmar, considering the immunity gap among children in this high risk area where the VDPV case lived. The success in collaboration and the potential benefits attained emphasize the need to strengthen cross-border collaborative efforts among countries that neighbor endemic countries. It is noteworthy that increasing efforts are taken for cross-border collaboration in recent years. Intense cross-border migration continues in both directions, favoring continuous virus transmission between Afghan and Pakistan [19]. Therefore, synchronized cross-border polio campaigns were conducted in these two countries, ensuring simultaneous and comprehensive coverage of children in transit through the border areas [20]. In addition, many of cross-border meetings were held to explore a formalized approach to collaboration [21,22]. However, it took over 7 days for Myanmar to receive the information on the VDPV case, which was due to many counterparts involved in the information delivery in addition to the countries of China and Myanmar, which included the WHO country office in China, WHO Western Pacific Regional Office, WHO Regional Office for South-East Asia and WHO country office in Myanmar. To promote further efficient communication, working mechanisms for information exchange and emergency response collaboration should be developed between China and Myanmar. Historically, to control WPV importation from Myanmar, China and Myanmar simultaneously conducted OPV SIAs in the border areas of Yunnan Province, China and Shan and Kachin States, Myanmar. Due to good collaboration, a WPV outbreak did not take place in Yunnan Province, although imported WPV cases were monitored [9]. Cross-border collaboration with neighboring countries is particularly important for China, as it shares a border with two endemic countries (Afghanistan and Pakistan). However, a formalized collaboration approach is lacking. Based on the previous experience collaborating with Myanmar, the following mechanisms should be considered:A list of key contacts should be developed, who are responsible for polio-related issues on each side of the border;AFP surveillance and coverage data should be shared regularly;Each country should immediately inform the other upon detecting WPV cases, VDPV cases or a cluster of AFP cases in border townships or counties;Cross-border meetings should be conducted regularly to better understand each other public health system;Personnel and resources should be shared, including technical guidance; andSIAs should be synchronized if a WPV outbreak is detected. A list of key contacts should be developed, who are responsible for polio-related issues on each side of the border; AFP surveillance and coverage data should be shared regularly; Each country should immediately inform the other upon detecting WPV cases, VDPV cases or a cluster of AFP cases in border townships or counties; Cross-border meetings should be conducted regularly to better understand each other public health system; Personnel and resources should be shared, including technical guidance; and SIAs should be synchronized if a WPV outbreak is detected. Conclusion: The collaboration between China and Myanmar may have prevented a potential cVDPV outbreak in Myanmar. Considering China shares borders with two endemic countries, it is necessary to reinforce cross-border collaboration with neighboring countries, which can maximize the leverage of limited resources. Conducting high quality routine immunization and AFP surveillance should be maintained until WPV is eradicated worldwide.
Background: This report describes emergency response following an imported vaccine derived poliovirus (VDPV) case from Myanmar to Yunnan Province, China and the cross-border collaboration between China and Myanmar. Immediately after confirmation of the VDPV case, China disseminated related information to Myanmar with the assistance of the World Health Organization. Methods: A series of epidemiological investigations were conducted, both in China and Myanmar, including retrospective searches of acute flaccid paralysis (AFP) cases, oral poliovirus vaccine (OPV) coverage assessment, and investigation of contacts and healthy children. Results: All children <2 years of age had not been vaccinated in the village where the VDPV case had lived in the past 2 years. Moreover, most areas were not covered for routine immunization in this township due to vaccine shortages and lack of operational funds for the past 2 years. Conclusions: Cross-border collaboration may have prevented a potential outbreak of VDPV in Myanmar. It is necessary to reinforce cross-border collaboration with neighboring countries in order to maximize the leverage of limited resources.
Background: Since 2012, circulation of indigenous wild poliovirus (WPV) has been confined to three countries: Afghanistan, Nigeria, and Pakistan [1]. Despite significant achievements since the launch of the Global Polio Eradication Initiative in 1988, many previously polio-free countries remain at risk for the disease and have been affected by WPV importation from remaining endemic countries [2-5]. With increasing globalization, population mobility is contributing to the transmission of infectious diseases between countries, as cross-border population movement impedes efforts to prevent transmission of infectious diseases. For example, in 2009, 98.8% of total malaria cases in Yunnan Province, China were found to be imported from neighboring countries [6]. In China, the last indigenous case of WPV was reported in September 1994 [7]. China and the other countries of the Western Pacific Region were declared polio-free in October 2000 [8]. However, national health departments in China must remain vigilant regarding the risk of WPV importation from bordering endemic countries. Instances of WPV importation were detected in China before the region was declared polio-free: in 1995 and 1996 in Yunnan Province [9], and in 1999 in Qinghai province [10,11]. Moreover, after being polio-free for more than 10 years, on August 25, 2011, an outbreak was confirmed in Xinjiang Uygur Autonomous Region, China following importation of type 1 WPV originated from neighboring Pakistan [12-14]. Myanmar had no reported polio cases during the period of 2000-2005, but a single case of type 1 vaccine derived poliovirus (VDPV) was reported in April 2006. After several years without WPV cases, an outbreak of 11 type 1 WPV cases occurred in Myanmar in 2007, which was confirmed as the re-introduction of WPV, with the last reported paralyzed case in May 2007 [15]. Subsequently, an additional four type 1 VDPV cases were reported in 2007, and a type 1 VDPV case was reported in December 2010. The Global Polio Eradication Initiative of World Health Organization (WHO) recommends reporting and laboratory testing of fecal specimens for all cases of acute flaccid paralysis (AFP) among children < 15 years of age and suspected poliomyelitis in a person of any age as the standard means of WPV and VDPV surveillance. The Chinese government initiated AFP surveillance in several provinces, following WHO guidelines in 1991. In 1993, surveillance was extended to the national level conducted by the Chinese Center for Disease Control and Prevention (China CDC) under the leadership of Ministry of Health (MoH). WHO established a global polio laboratory network, which includes a Polio Regional Reference Laboratory in China, to confirm poliovirus infections. This report describes the cross-border collaboration between China and Myanmar on the public health response of an importation of VDPV case that occurred in Yunnan Province, China, in June 2012; the last reported case of WPV infection in Yunnan, China was imported from Myanmar in 1996 [9]. This cross-border collaboration and public health response is a model example for other countries which have borders with WPV endemic countries, and the lessons learned may be incorporated into national emergency response planning for a polio outbreak. Conclusion: The collaboration between China and Myanmar may have prevented a potential cVDPV outbreak in Myanmar. Considering China shares borders with two endemic countries, it is necessary to reinforce cross-border collaboration with neighboring countries, which can maximize the leverage of limited resources. Conducting high quality routine immunization and AFP surveillance should be maintained until WPV is eradicated worldwide.
Background: This report describes emergency response following an imported vaccine derived poliovirus (VDPV) case from Myanmar to Yunnan Province, China and the cross-border collaboration between China and Myanmar. Immediately after confirmation of the VDPV case, China disseminated related information to Myanmar with the assistance of the World Health Organization. Methods: A series of epidemiological investigations were conducted, both in China and Myanmar, including retrospective searches of acute flaccid paralysis (AFP) cases, oral poliovirus vaccine (OPV) coverage assessment, and investigation of contacts and healthy children. Results: All children <2 years of age had not been vaccinated in the village where the VDPV case had lived in the past 2 years. Moreover, most areas were not covered for routine immunization in this township due to vaccine shortages and lack of operational funds for the past 2 years. Conclusions: Cross-border collaboration may have prevented a potential outbreak of VDPV in Myanmar. It is necessary to reinforce cross-border collaboration with neighboring countries in order to maximize the leverage of limited resources.
9,558
205
[ 230, 154, 94, 46, 59, 126, 73, 41, 264, 170, 149, 389, 94, 455, 152 ]
20
[ "0100", "0100 0100", "case", "afp", "myanmar", "vdpv", "0100 0100 0100", "cases", "township", "children" ]
[ "wpv infection yunnan", "region poliovirus isolates", "indigenous wild poliovirus", "global polio eradication", "china confirm poliovirus" ]
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[CONTENT] Vaccine derived poliovirus | Importation | Cross-border collaboration | China | Myanmar [SUMMARY]
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[CONTENT] Vaccine derived poliovirus | Importation | Cross-border collaboration | China | Myanmar [SUMMARY]
[CONTENT] Vaccine derived poliovirus | Importation | Cross-border collaboration | China | Myanmar [SUMMARY]
[CONTENT] Vaccine derived poliovirus | Importation | Cross-border collaboration | China | Myanmar [SUMMARY]
[CONTENT] Vaccine derived poliovirus | Importation | Cross-border collaboration | China | Myanmar [SUMMARY]
[CONTENT] Child | Child, Preschool | China | Cooperative Behavior | Disease Outbreaks | Emigration and Immigration | Female | Humans | Infant | Male | Myanmar | Poliomyelitis | Poliovirus | Poliovirus Vaccine, Oral | Retrospective Studies | Vaccination | World Health Organization [SUMMARY]
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[CONTENT] Child | Child, Preschool | China | Cooperative Behavior | Disease Outbreaks | Emigration and Immigration | Female | Humans | Infant | Male | Myanmar | Poliomyelitis | Poliovirus | Poliovirus Vaccine, Oral | Retrospective Studies | Vaccination | World Health Organization [SUMMARY]
[CONTENT] Child | Child, Preschool | China | Cooperative Behavior | Disease Outbreaks | Emigration and Immigration | Female | Humans | Infant | Male | Myanmar | Poliomyelitis | Poliovirus | Poliovirus Vaccine, Oral | Retrospective Studies | Vaccination | World Health Organization [SUMMARY]
[CONTENT] Child | Child, Preschool | China | Cooperative Behavior | Disease Outbreaks | Emigration and Immigration | Female | Humans | Infant | Male | Myanmar | Poliomyelitis | Poliovirus | Poliovirus Vaccine, Oral | Retrospective Studies | Vaccination | World Health Organization [SUMMARY]
[CONTENT] Child | Child, Preschool | China | Cooperative Behavior | Disease Outbreaks | Emigration and Immigration | Female | Humans | Infant | Male | Myanmar | Poliomyelitis | Poliovirus | Poliovirus Vaccine, Oral | Retrospective Studies | Vaccination | World Health Organization [SUMMARY]
[CONTENT] wpv infection yunnan | region poliovirus isolates | indigenous wild poliovirus | global polio eradication | china confirm poliovirus [SUMMARY]
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[CONTENT] wpv infection yunnan | region poliovirus isolates | indigenous wild poliovirus | global polio eradication | china confirm poliovirus [SUMMARY]
[CONTENT] wpv infection yunnan | region poliovirus isolates | indigenous wild poliovirus | global polio eradication | china confirm poliovirus [SUMMARY]
[CONTENT] wpv infection yunnan | region poliovirus isolates | indigenous wild poliovirus | global polio eradication | china confirm poliovirus [SUMMARY]
[CONTENT] wpv infection yunnan | region poliovirus isolates | indigenous wild poliovirus | global polio eradication | china confirm poliovirus [SUMMARY]
[CONTENT] 0100 | 0100 0100 | case | afp | myanmar | vdpv | 0100 0100 0100 | cases | township | children [SUMMARY]
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[CONTENT] 0100 | 0100 0100 | case | afp | myanmar | vdpv | 0100 0100 0100 | cases | township | children [SUMMARY]
[CONTENT] 0100 | 0100 0100 | case | afp | myanmar | vdpv | 0100 0100 0100 | cases | township | children [SUMMARY]
[CONTENT] 0100 | 0100 0100 | case | afp | myanmar | vdpv | 0100 0100 0100 | cases | township | children [SUMMARY]
[CONTENT] 0100 | 0100 0100 | case | afp | myanmar | vdpv | 0100 0100 0100 | cases | township | children [SUMMARY]
[CONTENT] wpv | countries | china | polio | polio free | free | reported | importation | type | cases [SUMMARY]
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[CONTENT] 0100 | 0100 0100 | 0100 0100 0100 | 0100 0100 0100 0100 | 100 000 | 100 | afp | opv | children | npafp [SUMMARY]
[CONTENT] collaboration | countries | china | outbreak myanmar considering china | endemic countries necessary reinforce | endemic countries necessary | necessary reinforce cross | necessary reinforce cross border | quality routine immunization afp | maximize leverage limited resources [SUMMARY]
[CONTENT] 0100 | case | afp | myanmar | 0100 0100 | cases | vdpv | yunnan | township | county [SUMMARY]
[CONTENT] 0100 | case | afp | myanmar | 0100 0100 | cases | vdpv | yunnan | township | county [SUMMARY]
[CONTENT] Myanmar | Yunnan Province | China | China | Myanmar ||| VDPV | China | Myanmar | the World Health Organization [SUMMARY]
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[CONTENT] 2 years of age | VDPV | the past 2 years ||| the past 2 years [SUMMARY]
[CONTENT] VDPV | Myanmar ||| [SUMMARY]
[CONTENT] ||| Myanmar | Yunnan Province | China | China | Myanmar ||| VDPV | China | Myanmar | the World Health Organization ||| China | Myanmar | AFP ||| 2 years of age | VDPV | the past 2 years ||| the past 2 years ||| VDPV | Myanmar ||| [SUMMARY]
[CONTENT] ||| Myanmar | Yunnan Province | China | China | Myanmar ||| VDPV | China | Myanmar | the World Health Organization ||| China | Myanmar | AFP ||| 2 years of age | VDPV | the past 2 years ||| the past 2 years ||| VDPV | Myanmar ||| [SUMMARY]
Renal medullary (pro)renin receptor contributes to angiotensin II-induced hypertension in rats via activation of the local renin-angiotensin system.
26554902
(Pro)renin receptor (PRR) is a new component of the renin-angiotensin system and regulates renin activity in vitro. Within the kidney, PRR is highly expressed in the renal medulla where its expression is induced by angiotensin II infusion. The objective of the present study was to test a potential role of renal medullary PRR during angiotensin II-induced hypertension.
BACKGROUND
A rat AngII infusion model (100 ng/kg/min) combined with renal intramedullary infusion of PRO20, a specific inhibitor of PRR, was builded. And the intravenous PRO20 infusion serve as control. Mean arterial pressure was recorded by radiotelemetry for one week. Further analysis of kidney injury, inflammation, biochemical indices and protein localization were performed in vivo or in vitro.
METHODS
Radiotelemetry demonstrated that AngII infusion elevated the mean arteria pressure from 108 ± 5.8 to 164.7 ± 6.2 mmHg. Mean arterial pressure decreased to 128.6 ± 5.8 mmHg (P < 0.05) after intramedullary infusion of PRO20, but was only modestly affected by intravenous PRO20 infusion. Indices of kidney injury, including proteinuria, glomerulosclerosis, and interstitial fibrosis, inflammation, and increased renal medullary and urinary renin activity following angiotensin II infusion were all remarkably attenuated by intramedullary PRO20 infusion. Following one week of angiotensin II infusion, increased PRR immunoreactivity was found in vascular smooth muscle cells. In cultured rat vascular smooth muscle cells, angiotensin II induced parallel increases in soluble PRR and renin activity, and the latter was significantly reduced by PRO20.
RESULTS
Renal medullary PRR mediates angiotensin II-induced hypertension, likely by amplifying the local renin response.
CONCLUSION
[ "Angiotensin II", "Animals", "Hypertension", "Male", "Muscle, Smooth, Vascular", "Rats", "Receptors, Cell Surface", "Renin", "Renin-Angiotensin System" ]
4641338
Background
The renin–angiotensin system (RAS) is one of the most important regulatory systems for the control of extracellular volume and blood pressure (BP). Over-activation of the RAS plays an essential role in the pathogenesis of hypertension as evidenced by the wide use of angiotensin-converting enzyme (ACE) inhibitors and AT1-receptor antagonists for the management of human hypertension [1–3]. In humans and animals, activation of the RAS due to renal artery stenosis leads to profound hypertension and cardiovascular morbidity [4]. Angiotensin II (AngII), the major effector hormone of the RAS, when given at a pressor dose, readily induces hypertension [5]. However, despite intensive investigation, the mechanism of AngII-induced hypertension is still incompletely understood. Although diverse mechanisms have been proposed, increasing evidence suggests involvement of the local RAS found in a variety of tissues, including the brain, heart, adrenal gland, vasculature, and kidney [6, 7]. Over the past decade, there has been a paradigm change in our understanding of the potential role of the local versus systemic RAS in the pathogenesis of hypertension. In particular, mounting evidence is available to support an essential role of the intrarenal RAS in AngII-induced hypertension. (Pro)renin receptor (PRR) was cloned as a specific receptor for prorenin and renin by Nguyen et al. in 2002 [8]. It is a 350-amino-acid protein containing a single transmembrane domain [9]. A soluble form of PRR (sPRR), that is, the N-terminal domain fragment, is generated by intracellular cleavage by furin and secreted in plasma [10]. The carboxyterminal tail has previously been purified from chromaffin granules as an 8–9-kDa accessory protein (M8-9) of the vacuolar-type H+-ATPase and designated ATP6AP2 [11]. In vitro evidence demonstrates that prorenin bound to PRR has increased catalytic activity, thus mediating local AngII formation [8, 12]. In light of its ubiquitous expression in a variety of tissues, PRR is postulated to function as a regulator of tissue renin activity [13]. However, there is no convincing in vivo evidence to prove the renin-regulatory function of PRR. Apart from prorenin or renin activation, activation of PRR by (pro)renin stimulates a variety of signal transduction pathways such as mitogen-activated protein kinase [14] and Wnt-β-catenin pathways [15], independent of AngII [14, 15]. Within the kidney, high levels of PRR immunoreactivity have been detected in intercalated cells of the collecting duct (CD) [16, 17] as well as vascular smooth muscle cells (VSMC) [8]. Previous studies from us and others have shown that PRR expression in the kidney, particularly in the renal medulla, increases during AngII-induced hypertension, dependent of the COX-2/EP4 pathway [16, 18–20]. The present study tested the functional role of renal medullary PRR during AngII-induced hypertension.
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Results
Pharmacological investigation of renal medullary function of PRR PRO20 is a newly developed 21-amino-acid PRR decoy peptide that interrupts the binding of prorenin to PRR with high potency and specificity [23]. To probe the functional role of renal medullary PRR, we employed an intramedullary infusion technique that allows site-specific delivery of an agent to the renal medulla [24]. To this end, a catheter was chronically implanted in the renal medulla of nephrectomized rats to achieve site-specific delivery of PRO20, and intravenous infusion of this peptide via the jugular vein served as a control for spillover. Radiotelemetry was used to monitor daily mean arterial pressure (MAP). One-week AngII infusion induced immediate and sustained increases in MAP, from 108 ± 5.8 (day 0) to 164.7 ± 6.2 mmHg (day 7) (Fig. 1a). Intramedullary PRO20 infusion (IM PRO20) remarkably attenuated AngII-induced hypertension and lowered the MAP to 128.6 ± 5.8 mmHg. However, intravenous PRO20 infusion (IV PRO20) was much less effective than IM PRO20 in lowering MAP (Fig. 1a). Consistent with the BP data, AngII-induced cardiac hypertrophy was blunted by IM PRO20 but not IV PRO20 (Fig. 1b).Fig. 1Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. # P < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. # P < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error Following AngII infusion, the uninephrectomized rats developed severe kidney injury as evidenced by increased proteinuria (Fig. 2a) and renal histological changes, including glomerulosclerosis and interstitial fibrosis (Fig. 2b, c). These indices of kidney injury were all attenuated by IM PRO20 (Fig. 2a–c). An inflammatory response is a well known important feature of AngII-induced hypertension [25, 26]. Therefore, we examined renal expression of inflammatory markers such as TNF-α and IL-18 using qRT-PCR. Both cytokines were elevated by AngII infusion and were blunted by IM PRO (Fig. 3a, b). PRO20 treatment via intramedullary or intravenous infusion was not associated with any noticeable toxicity.Fig. 2Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusionFig. 3Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusion Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error AngII infusion induces a local renin response in the renal medulla but suppresses systemic renin activity [16, 18, 27–29]. We hypothesized that PRR may be required to enhance the renal medullary renin response to AngII. As expected, following AngII infusion, renin activity was suppressed in plasma and the renal cortex but enhanced in the inner medulla and urine, and the latter response was blunted by IM PRO20 (Fig. 4a–d). ELISA showed that prorenin/renin content in the inner medulla was elevated by AngII infusion but was unaffected by IM PRO20 (Fig. 5a) and the same result was obtained by qRT-PCR of renin mRNA (Fig.5b), supporting the concept that PRR primarily regulates local renin activity but not renin expression. Of note, the ELISA kit was unable to differentiate between prorenin and renin.Fig. 4Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard errorFig. 5Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error PRO20 is a newly developed 21-amino-acid PRR decoy peptide that interrupts the binding of prorenin to PRR with high potency and specificity [23]. To probe the functional role of renal medullary PRR, we employed an intramedullary infusion technique that allows site-specific delivery of an agent to the renal medulla [24]. To this end, a catheter was chronically implanted in the renal medulla of nephrectomized rats to achieve site-specific delivery of PRO20, and intravenous infusion of this peptide via the jugular vein served as a control for spillover. Radiotelemetry was used to monitor daily mean arterial pressure (MAP). One-week AngII infusion induced immediate and sustained increases in MAP, from 108 ± 5.8 (day 0) to 164.7 ± 6.2 mmHg (day 7) (Fig. 1a). Intramedullary PRO20 infusion (IM PRO20) remarkably attenuated AngII-induced hypertension and lowered the MAP to 128.6 ± 5.8 mmHg. However, intravenous PRO20 infusion (IV PRO20) was much less effective than IM PRO20 in lowering MAP (Fig. 1a). Consistent with the BP data, AngII-induced cardiac hypertrophy was blunted by IM PRO20 but not IV PRO20 (Fig. 1b).Fig. 1Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. # P < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. # P < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error Following AngII infusion, the uninephrectomized rats developed severe kidney injury as evidenced by increased proteinuria (Fig. 2a) and renal histological changes, including glomerulosclerosis and interstitial fibrosis (Fig. 2b, c). These indices of kidney injury were all attenuated by IM PRO20 (Fig. 2a–c). An inflammatory response is a well known important feature of AngII-induced hypertension [25, 26]. Therefore, we examined renal expression of inflammatory markers such as TNF-α and IL-18 using qRT-PCR. Both cytokines were elevated by AngII infusion and were blunted by IM PRO (Fig. 3a, b). PRO20 treatment via intramedullary or intravenous infusion was not associated with any noticeable toxicity.Fig. 2Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusionFig. 3Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusion Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error AngII infusion induces a local renin response in the renal medulla but suppresses systemic renin activity [16, 18, 27–29]. We hypothesized that PRR may be required to enhance the renal medullary renin response to AngII. As expected, following AngII infusion, renin activity was suppressed in plasma and the renal cortex but enhanced in the inner medulla and urine, and the latter response was blunted by IM PRO20 (Fig. 4a–d). ELISA showed that prorenin/renin content in the inner medulla was elevated by AngII infusion but was unaffected by IM PRO20 (Fig. 5a) and the same result was obtained by qRT-PCR of renin mRNA (Fig.5b), supporting the concept that PRR primarily regulates local renin activity but not renin expression. Of note, the ELISA kit was unable to differentiate between prorenin and renin.Fig. 4Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard errorFig. 5Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error Regulation and function of vascular PRR Immunostaining revealed the strongest signal of PRR in the vascular smooth muscle in the kidney (Fig. 6a). This signal was specific because it was completely eliminated by the immunizing peptide (Fig. 6a). The vascular labeling of PRR appeared weaker in the heart as compared to that in the kidney (Fig. 6a). AngII infusion enhanced the vascular labeling of PRR in the kidney (Fig. 6b). PRR labeling was co-localized with α-SMA labeling (Fig. 6b). In cultured rat VSMC, exposure to 100 nM AngII for 24 h induced a marked increase in medium prorenin/renin and sPRR, both being assessed by ELISA (Fig. 7a). In parallel, renin activity was increased, as reflected by measuring AngI generation, and was blunted by PRO20 (Fig. 7b).Fig. 6Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per groupFig. 7Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per group Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control Immunostaining revealed the strongest signal of PRR in the vascular smooth muscle in the kidney (Fig. 6a). This signal was specific because it was completely eliminated by the immunizing peptide (Fig. 6a). The vascular labeling of PRR appeared weaker in the heart as compared to that in the kidney (Fig. 6a). AngII infusion enhanced the vascular labeling of PRR in the kidney (Fig. 6b). PRR labeling was co-localized with α-SMA labeling (Fig. 6b). In cultured rat VSMC, exposure to 100 nM AngII for 24 h induced a marked increase in medium prorenin/renin and sPRR, both being assessed by ELISA (Fig. 7a). In parallel, renin activity was increased, as reflected by measuring AngI generation, and was blunted by PRO20 (Fig. 7b).Fig. 6Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per groupFig. 7Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per group Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control
Conclusion
The present study employed a newly developed PRR-decoy peptide, PRO20, coupled with an intramedullary infusion technique to investigate the functional role of renal medullary PRR during AngII-induced hypertension. Not only did we demonstrate a remarkable BP-lowering effect of intramedullary PRR antagonism, but we also underscored a novel mechanism of this phenomenon involving PRR-dependent activation of the local renin response. We for the first time demonstrate the renin regulatory function of PRR in vivo and in vitro and report PRO20 as a novel therapeutic agent for hypertension and chronic kidney disease.
[ "Rat experiments", "Biochemical analysis of renin", "Enzyme immunoassay", "Renal histology", "Quantitative reverse transcriptase polymerase chain reaction", "Immunofluorescence staining", "Cell culture", "Statistical analysis", "Pharmacological investigation of renal medullary function of PRR", "Regulation and function of vascular PRR" ]
[ "Male Sprague-Dawley rats (220–250 g, Charles River Laboratories, Wilmington, MA, USA) were cage-housed and maintained in a temperature-controlled room with a 12:12-h light–dark cycle, with free access to tap water and standard rat chow for 14 days. The animal protocols were approved by the Animal Care and Use Committees at Sun Yat-sen University and University of Utah. The rats underwent uninephrectomy with or without bilateral adrenalectomy and were instrumented with radiotelemetric devices. After one week’s recovery from the surgery, a second surgery was performed to place a subcutaneous osmotic mini-pump delivering vehicle or AngII at 100 ng/kg/min. In this surgery, the kidney was exposed from the flank region and a catheter was placed in the renal medulla, approximately 4.0 mm underneath the surface, and secured using Vetbond glue; the other end of the catheter was connected to an osmotic mini-pump delivering vehicle or PRO20 at 120 μg/kg/d. A separate group of rats received intravenous infusion of PRO20 via the jugular vein and served as a control. Adrenalectomized rats were given dexamethasone at 1 mg/ml in their drinking water starting 2 days prior to adrenalectomy until the end of the experiment. The radiotelemetric device was implanted via catheterization of the carotid artery and was turned on for 4 h per day from 5:00 p.m. to 9:00 p.m. The data from the rats with incorrectly positioned intramedullary infusion catheters detected at sacrifice were excluded from the final analysis.", "Renin activity in plasma, urine, tissue homogenates, and cell culture medium was determined under the native condition by measurement of AngI generation using enzyme-linked immunosorbent assay (ELISA). Aldosterone concentrations in plasma, urine, and cell culture medium were measured using a commercial ELISA kit (Cat#:10004377, Cayman Chemical, Ann Arbor, Michigan, USA).", "To detect urinary or medium prorenin/renin, sPRR, we used the following commercially available enzyme immunoassay kits according to the manufacturer’s instructions: prorenin/renin (Molecular Innovations, Novi, MI, USA) and sPRR (IBL, Toronto, Canada).", "Under anesthesia, kidneys were harvested and fixed with 10 % paraformaldehyde. The tissues were subsequently embedded in paraffin and 4-μm sections were cut and stained with periodic acid–Schiff. Renal pathologies including glomerulosclerosis and interstitial fibrosis were scored on a 1–4 scale as previously described [21] (the higher the number, the more severe the injury).", "For Quantitative reverse transcription polymerase chain reaction (qRT-PCR), total RNA isolation and reverse transcription were performed as previously described [22]. Oligonucleotides were designed using Primer3 software (available at http://bioinfo.ut.ee/primer3-0.4.0/). Primers for TNF-α were 5′- CCACGTCGTAGCAAACCACCAAG-3′ (sense) and 5′- CAGGTACATGGGCTCATACC-3′ (antisense); primers for IL-18 were 5′-TGGAGACTTGGAATCAGACC-3′ (sense) and 5′-GGCAAGCTAGAAAGTGTCCT-3′ (antisense); primers for GAPDH were 5′-GTCTTCACTACCATGGAGAAGG-3′ (sense) and 5′-TCATGGATGACCTTGGCCAG-3′ (antisense).", "The tissues were fixed in 10 % neutral buffered formalin for 24 h and then embedded in paraffin. After deparaffinization, thin sections (4 μm) were processed for double-labeling with immunofluorescence. The slides were blocked in 1 % bovine serum albumin for 1 h and were then incubated with primary antibody at 4 °C overnight. After washing off the primary antibody, sections were incubated for 1 h at room temperature with Donkey anti-goat-IgG- fluorescein isothiocyanate (1:75, sc-2024, Santa Cruz Biotechnology, Santa Cruz, CA, USA) or donkey anti-rabbit IgG-tetramethylrhodamine (1:100, A31572, Life Technologies, Grand Island, NY, USA). Rabbit anti-PRR antibody was raised against residues 335–350 in the C terminus (Cat#: ab40790, Abcam, Cambridge, MA, USA). Mouse anti-α-smooth muscle actin (α-SMA) antibody was purchased from Sigma (Cat#: F3777, Sigma, St Louis, MO, USA).", "Rat aorta smooth muscle cell line (VSMC) was purchased from ATCC, Manassas, VA, USA (Cat# CRL-2018) and grown in a six-well plate. After the cell monolayers reached 95 % confluence, the VSMCs were pretreated with PRO20 (1.5 μM) for 1 h, followed by AngII treatment at 100 nM for 24 h. After the treatment, the medium was collected for enzyme assays or renin assays.", "Data is summarized as means ± standard error (SE). All data points were included in the statistical analyses. Sample sizes were determined on the basis of similar previous studies or pilot experiments. Statistical analysis for animal and cell cultures experiments was performed using analysis of variance with the Bonferroni test for multiple comparisons or by paired or unpaired Student’s t-test for two comparisons. A P-value below 0.05 was considered statistically significant.", "PRO20 is a newly developed 21-amino-acid PRR decoy peptide that interrupts the binding of prorenin to PRR with high potency and specificity [23]. To probe the functional role of renal medullary PRR, we employed an intramedullary infusion technique that allows site-specific delivery of an agent to the renal medulla [24]. To this end, a catheter was chronically implanted in the renal medulla of nephrectomized rats to achieve site-specific delivery of PRO20, and intravenous infusion of this peptide via the jugular vein served as a control for spillover. Radiotelemetry was used to monitor daily mean arterial pressure (MAP). One-week AngII infusion induced immediate and sustained increases in MAP, from 108 ± 5.8 (day 0) to 164.7 ± 6.2 mmHg (day 7) (Fig. 1a). Intramedullary PRO20 infusion (IM PRO20) remarkably attenuated AngII-induced hypertension and lowered the MAP to 128.6 ± 5.8 mmHg. However, intravenous PRO20 infusion (IV PRO20) was much less effective than IM PRO20 in lowering MAP (Fig. 1a). Consistent with the BP data, AngII-induced cardiac hypertrophy was blunted by IM PRO20 but not IV PRO20 (Fig. 1b).Fig. 1Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. #\nP < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. #\nP < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error\nFollowing AngII infusion, the uninephrectomized rats developed severe kidney injury as evidenced by increased proteinuria (Fig. 2a) and renal histological changes, including glomerulosclerosis and interstitial fibrosis (Fig. 2b, c). These indices of kidney injury were all attenuated by IM PRO20 (Fig. 2a–c). An inflammatory response is a well known important feature of AngII-induced hypertension [25, 26]. Therefore, we examined renal expression of inflammatory markers such as TNF-α and IL-18 using qRT-PCR. Both cytokines were elevated by AngII infusion and were blunted by IM PRO (Fig. 3a, b). PRO20 treatment via intramedullary or intravenous infusion was not associated with any noticeable toxicity.Fig. 2Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusionFig. 3Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusion\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error\nAngII infusion induces a local renin response in the renal medulla but suppresses systemic renin activity [16, 18, 27–29]. We hypothesized that PRR may be required to enhance the renal medullary renin response to AngII. As expected, following AngII infusion, renin activity was suppressed in plasma and the renal cortex but enhanced in the inner medulla and urine, and the latter response was blunted by IM PRO20 (Fig. 4a–d). ELISA showed that prorenin/renin content in the inner medulla was elevated by AngII infusion but was unaffected by IM PRO20 (Fig. 5a) and the same result was obtained by qRT-PCR of renin mRNA (Fig.5b), supporting the concept that PRR primarily regulates local renin activity but not renin expression. Of note, the ELISA kit was unable to differentiate between prorenin and renin.Fig. 4Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard errorFig. 5Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error", "Immunostaining revealed the strongest signal of PRR in the vascular smooth muscle in the kidney (Fig. 6a). This signal was specific because it was completely eliminated by the immunizing peptide (Fig. 6a). The vascular labeling of PRR appeared weaker in the heart as compared to that in the kidney (Fig. 6a). AngII infusion enhanced the vascular labeling of PRR in the kidney (Fig. 6b). PRR labeling was co-localized with α-SMA labeling (Fig. 6b). In cultured rat VSMC, exposure to 100 nM AngII for 24 h induced a marked increase in medium prorenin/renin and sPRR, both being assessed by ELISA (Fig. 7a). In parallel, renin activity was increased, as reflected by measuring AngI generation, and was blunted by PRO20 (Fig. 7b).Fig. 6Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per groupFig. 7Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control\nImmunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per group\nEffect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control" ]
[ null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Rat experiments", "Biochemical analysis of renin", "Enzyme immunoassay", "Renal histology", "Quantitative reverse transcriptase polymerase chain reaction", "Immunofluorescence staining", "Cell culture", "Statistical analysis", "Results", "Pharmacological investigation of renal medullary function of PRR", "Regulation and function of vascular PRR", "Discussion", "Conclusion" ]
[ "The renin–angiotensin system (RAS) is one of the most important regulatory systems for the control of extracellular volume and blood pressure (BP). Over-activation of the RAS plays an essential role in the pathogenesis of hypertension as evidenced by the wide use of angiotensin-converting enzyme (ACE) inhibitors and AT1-receptor antagonists for the management of human hypertension [1–3]. In humans and animals, activation of the RAS due to renal artery stenosis leads to profound hypertension and cardiovascular morbidity [4]. Angiotensin II (AngII), the major effector hormone of the RAS, when given at a pressor dose, readily induces hypertension [5]. However, despite intensive investigation, the mechanism of AngII-induced hypertension is still incompletely understood. Although diverse mechanisms have been proposed, increasing evidence suggests involvement of the local RAS found in a variety of tissues, including the brain, heart, adrenal gland, vasculature, and kidney [6, 7]. Over the past decade, there has been a paradigm change in our understanding of the potential role of the local versus systemic RAS in the pathogenesis of hypertension. In particular, mounting evidence is available to support an essential role of the intrarenal RAS in AngII-induced hypertension.\n(Pro)renin receptor (PRR) was cloned as a specific receptor for prorenin and renin by Nguyen et al. in 2002 [8]. It is a 350-amino-acid protein containing a single transmembrane domain [9]. A soluble form of PRR (sPRR), that is, the N-terminal domain fragment, is generated by intracellular cleavage by furin and secreted in plasma [10]. The carboxyterminal tail has previously been purified from chromaffin granules as an 8–9-kDa accessory protein (M8-9) of the vacuolar-type H+-ATPase and designated ATP6AP2 [11]. In vitro evidence demonstrates that prorenin bound to PRR has increased catalytic activity, thus mediating local AngII formation [8, 12]. In light of its ubiquitous expression in a variety of tissues, PRR is postulated to function as a regulator of tissue renin activity [13]. However, there is no convincing in vivo evidence to prove the renin-regulatory function of PRR. Apart from prorenin or renin activation, activation of PRR by (pro)renin stimulates a variety of signal transduction pathways such as mitogen-activated protein kinase [14] and Wnt-β-catenin pathways [15], independent of AngII [14, 15]. Within the kidney, high levels of PRR immunoreactivity have been detected in intercalated cells of the collecting duct (CD) [16, 17] as well as vascular smooth muscle cells (VSMC) [8]. Previous studies from us and others have shown that PRR expression in the kidney, particularly in the renal medulla, increases during AngII-induced hypertension, dependent of the COX-2/EP4 pathway [16, 18–20]. The present study tested the functional role of renal medullary PRR during AngII-induced hypertension.", " Rat experiments Male Sprague-Dawley rats (220–250 g, Charles River Laboratories, Wilmington, MA, USA) were cage-housed and maintained in a temperature-controlled room with a 12:12-h light–dark cycle, with free access to tap water and standard rat chow for 14 days. The animal protocols were approved by the Animal Care and Use Committees at Sun Yat-sen University and University of Utah. The rats underwent uninephrectomy with or without bilateral adrenalectomy and were instrumented with radiotelemetric devices. After one week’s recovery from the surgery, a second surgery was performed to place a subcutaneous osmotic mini-pump delivering vehicle or AngII at 100 ng/kg/min. In this surgery, the kidney was exposed from the flank region and a catheter was placed in the renal medulla, approximately 4.0 mm underneath the surface, and secured using Vetbond glue; the other end of the catheter was connected to an osmotic mini-pump delivering vehicle or PRO20 at 120 μg/kg/d. A separate group of rats received intravenous infusion of PRO20 via the jugular vein and served as a control. Adrenalectomized rats were given dexamethasone at 1 mg/ml in their drinking water starting 2 days prior to adrenalectomy until the end of the experiment. The radiotelemetric device was implanted via catheterization of the carotid artery and was turned on for 4 h per day from 5:00 p.m. to 9:00 p.m. The data from the rats with incorrectly positioned intramedullary infusion catheters detected at sacrifice were excluded from the final analysis.\nMale Sprague-Dawley rats (220–250 g, Charles River Laboratories, Wilmington, MA, USA) were cage-housed and maintained in a temperature-controlled room with a 12:12-h light–dark cycle, with free access to tap water and standard rat chow for 14 days. The animal protocols were approved by the Animal Care and Use Committees at Sun Yat-sen University and University of Utah. The rats underwent uninephrectomy with or without bilateral adrenalectomy and were instrumented with radiotelemetric devices. After one week’s recovery from the surgery, a second surgery was performed to place a subcutaneous osmotic mini-pump delivering vehicle or AngII at 100 ng/kg/min. In this surgery, the kidney was exposed from the flank region and a catheter was placed in the renal medulla, approximately 4.0 mm underneath the surface, and secured using Vetbond glue; the other end of the catheter was connected to an osmotic mini-pump delivering vehicle or PRO20 at 120 μg/kg/d. A separate group of rats received intravenous infusion of PRO20 via the jugular vein and served as a control. Adrenalectomized rats were given dexamethasone at 1 mg/ml in their drinking water starting 2 days prior to adrenalectomy until the end of the experiment. The radiotelemetric device was implanted via catheterization of the carotid artery and was turned on for 4 h per day from 5:00 p.m. to 9:00 p.m. The data from the rats with incorrectly positioned intramedullary infusion catheters detected at sacrifice were excluded from the final analysis.\n Biochemical analysis of renin Renin activity in plasma, urine, tissue homogenates, and cell culture medium was determined under the native condition by measurement of AngI generation using enzyme-linked immunosorbent assay (ELISA). Aldosterone concentrations in plasma, urine, and cell culture medium were measured using a commercial ELISA kit (Cat#:10004377, Cayman Chemical, Ann Arbor, Michigan, USA).\nRenin activity in plasma, urine, tissue homogenates, and cell culture medium was determined under the native condition by measurement of AngI generation using enzyme-linked immunosorbent assay (ELISA). Aldosterone concentrations in plasma, urine, and cell culture medium were measured using a commercial ELISA kit (Cat#:10004377, Cayman Chemical, Ann Arbor, Michigan, USA).\n Enzyme immunoassay To detect urinary or medium prorenin/renin, sPRR, we used the following commercially available enzyme immunoassay kits according to the manufacturer’s instructions: prorenin/renin (Molecular Innovations, Novi, MI, USA) and sPRR (IBL, Toronto, Canada).\nTo detect urinary or medium prorenin/renin, sPRR, we used the following commercially available enzyme immunoassay kits according to the manufacturer’s instructions: prorenin/renin (Molecular Innovations, Novi, MI, USA) and sPRR (IBL, Toronto, Canada).\n Renal histology Under anesthesia, kidneys were harvested and fixed with 10 % paraformaldehyde. The tissues were subsequently embedded in paraffin and 4-μm sections were cut and stained with periodic acid–Schiff. Renal pathologies including glomerulosclerosis and interstitial fibrosis were scored on a 1–4 scale as previously described [21] (the higher the number, the more severe the injury).\nUnder anesthesia, kidneys were harvested and fixed with 10 % paraformaldehyde. The tissues were subsequently embedded in paraffin and 4-μm sections were cut and stained with periodic acid–Schiff. Renal pathologies including glomerulosclerosis and interstitial fibrosis were scored on a 1–4 scale as previously described [21] (the higher the number, the more severe the injury).\n Quantitative reverse transcriptase polymerase chain reaction For Quantitative reverse transcription polymerase chain reaction (qRT-PCR), total RNA isolation and reverse transcription were performed as previously described [22]. Oligonucleotides were designed using Primer3 software (available at http://bioinfo.ut.ee/primer3-0.4.0/). Primers for TNF-α were 5′- CCACGTCGTAGCAAACCACCAAG-3′ (sense) and 5′- CAGGTACATGGGCTCATACC-3′ (antisense); primers for IL-18 were 5′-TGGAGACTTGGAATCAGACC-3′ (sense) and 5′-GGCAAGCTAGAAAGTGTCCT-3′ (antisense); primers for GAPDH were 5′-GTCTTCACTACCATGGAGAAGG-3′ (sense) and 5′-TCATGGATGACCTTGGCCAG-3′ (antisense).\nFor Quantitative reverse transcription polymerase chain reaction (qRT-PCR), total RNA isolation and reverse transcription were performed as previously described [22]. Oligonucleotides were designed using Primer3 software (available at http://bioinfo.ut.ee/primer3-0.4.0/). Primers for TNF-α were 5′- CCACGTCGTAGCAAACCACCAAG-3′ (sense) and 5′- CAGGTACATGGGCTCATACC-3′ (antisense); primers for IL-18 were 5′-TGGAGACTTGGAATCAGACC-3′ (sense) and 5′-GGCAAGCTAGAAAGTGTCCT-3′ (antisense); primers for GAPDH were 5′-GTCTTCACTACCATGGAGAAGG-3′ (sense) and 5′-TCATGGATGACCTTGGCCAG-3′ (antisense).\n Immunofluorescence staining The tissues were fixed in 10 % neutral buffered formalin for 24 h and then embedded in paraffin. After deparaffinization, thin sections (4 μm) were processed for double-labeling with immunofluorescence. The slides were blocked in 1 % bovine serum albumin for 1 h and were then incubated with primary antibody at 4 °C overnight. After washing off the primary antibody, sections were incubated for 1 h at room temperature with Donkey anti-goat-IgG- fluorescein isothiocyanate (1:75, sc-2024, Santa Cruz Biotechnology, Santa Cruz, CA, USA) or donkey anti-rabbit IgG-tetramethylrhodamine (1:100, A31572, Life Technologies, Grand Island, NY, USA). Rabbit anti-PRR antibody was raised against residues 335–350 in the C terminus (Cat#: ab40790, Abcam, Cambridge, MA, USA). Mouse anti-α-smooth muscle actin (α-SMA) antibody was purchased from Sigma (Cat#: F3777, Sigma, St Louis, MO, USA).\nThe tissues were fixed in 10 % neutral buffered formalin for 24 h and then embedded in paraffin. After deparaffinization, thin sections (4 μm) were processed for double-labeling with immunofluorescence. The slides were blocked in 1 % bovine serum albumin for 1 h and were then incubated with primary antibody at 4 °C overnight. After washing off the primary antibody, sections were incubated for 1 h at room temperature with Donkey anti-goat-IgG- fluorescein isothiocyanate (1:75, sc-2024, Santa Cruz Biotechnology, Santa Cruz, CA, USA) or donkey anti-rabbit IgG-tetramethylrhodamine (1:100, A31572, Life Technologies, Grand Island, NY, USA). Rabbit anti-PRR antibody was raised against residues 335–350 in the C terminus (Cat#: ab40790, Abcam, Cambridge, MA, USA). Mouse anti-α-smooth muscle actin (α-SMA) antibody was purchased from Sigma (Cat#: F3777, Sigma, St Louis, MO, USA).\n Cell culture Rat aorta smooth muscle cell line (VSMC) was purchased from ATCC, Manassas, VA, USA (Cat# CRL-2018) and grown in a six-well plate. After the cell monolayers reached 95 % confluence, the VSMCs were pretreated with PRO20 (1.5 μM) for 1 h, followed by AngII treatment at 100 nM for 24 h. After the treatment, the medium was collected for enzyme assays or renin assays.\nRat aorta smooth muscle cell line (VSMC) was purchased from ATCC, Manassas, VA, USA (Cat# CRL-2018) and grown in a six-well plate. After the cell monolayers reached 95 % confluence, the VSMCs were pretreated with PRO20 (1.5 μM) for 1 h, followed by AngII treatment at 100 nM for 24 h. After the treatment, the medium was collected for enzyme assays or renin assays.\n Statistical analysis Data is summarized as means ± standard error (SE). All data points were included in the statistical analyses. Sample sizes were determined on the basis of similar previous studies or pilot experiments. Statistical analysis for animal and cell cultures experiments was performed using analysis of variance with the Bonferroni test for multiple comparisons or by paired or unpaired Student’s t-test for two comparisons. A P-value below 0.05 was considered statistically significant.\nData is summarized as means ± standard error (SE). All data points were included in the statistical analyses. Sample sizes were determined on the basis of similar previous studies or pilot experiments. Statistical analysis for animal and cell cultures experiments was performed using analysis of variance with the Bonferroni test for multiple comparisons or by paired or unpaired Student’s t-test for two comparisons. A P-value below 0.05 was considered statistically significant.", "Male Sprague-Dawley rats (220–250 g, Charles River Laboratories, Wilmington, MA, USA) were cage-housed and maintained in a temperature-controlled room with a 12:12-h light–dark cycle, with free access to tap water and standard rat chow for 14 days. The animal protocols were approved by the Animal Care and Use Committees at Sun Yat-sen University and University of Utah. The rats underwent uninephrectomy with or without bilateral adrenalectomy and were instrumented with radiotelemetric devices. After one week’s recovery from the surgery, a second surgery was performed to place a subcutaneous osmotic mini-pump delivering vehicle or AngII at 100 ng/kg/min. In this surgery, the kidney was exposed from the flank region and a catheter was placed in the renal medulla, approximately 4.0 mm underneath the surface, and secured using Vetbond glue; the other end of the catheter was connected to an osmotic mini-pump delivering vehicle or PRO20 at 120 μg/kg/d. A separate group of rats received intravenous infusion of PRO20 via the jugular vein and served as a control. Adrenalectomized rats were given dexamethasone at 1 mg/ml in their drinking water starting 2 days prior to adrenalectomy until the end of the experiment. The radiotelemetric device was implanted via catheterization of the carotid artery and was turned on for 4 h per day from 5:00 p.m. to 9:00 p.m. The data from the rats with incorrectly positioned intramedullary infusion catheters detected at sacrifice were excluded from the final analysis.", "Renin activity in plasma, urine, tissue homogenates, and cell culture medium was determined under the native condition by measurement of AngI generation using enzyme-linked immunosorbent assay (ELISA). Aldosterone concentrations in plasma, urine, and cell culture medium were measured using a commercial ELISA kit (Cat#:10004377, Cayman Chemical, Ann Arbor, Michigan, USA).", "To detect urinary or medium prorenin/renin, sPRR, we used the following commercially available enzyme immunoassay kits according to the manufacturer’s instructions: prorenin/renin (Molecular Innovations, Novi, MI, USA) and sPRR (IBL, Toronto, Canada).", "Under anesthesia, kidneys were harvested and fixed with 10 % paraformaldehyde. The tissues were subsequently embedded in paraffin and 4-μm sections were cut and stained with periodic acid–Schiff. Renal pathologies including glomerulosclerosis and interstitial fibrosis were scored on a 1–4 scale as previously described [21] (the higher the number, the more severe the injury).", "For Quantitative reverse transcription polymerase chain reaction (qRT-PCR), total RNA isolation and reverse transcription were performed as previously described [22]. Oligonucleotides were designed using Primer3 software (available at http://bioinfo.ut.ee/primer3-0.4.0/). Primers for TNF-α were 5′- CCACGTCGTAGCAAACCACCAAG-3′ (sense) and 5′- CAGGTACATGGGCTCATACC-3′ (antisense); primers for IL-18 were 5′-TGGAGACTTGGAATCAGACC-3′ (sense) and 5′-GGCAAGCTAGAAAGTGTCCT-3′ (antisense); primers for GAPDH were 5′-GTCTTCACTACCATGGAGAAGG-3′ (sense) and 5′-TCATGGATGACCTTGGCCAG-3′ (antisense).", "The tissues were fixed in 10 % neutral buffered formalin for 24 h and then embedded in paraffin. After deparaffinization, thin sections (4 μm) were processed for double-labeling with immunofluorescence. The slides were blocked in 1 % bovine serum albumin for 1 h and were then incubated with primary antibody at 4 °C overnight. After washing off the primary antibody, sections were incubated for 1 h at room temperature with Donkey anti-goat-IgG- fluorescein isothiocyanate (1:75, sc-2024, Santa Cruz Biotechnology, Santa Cruz, CA, USA) or donkey anti-rabbit IgG-tetramethylrhodamine (1:100, A31572, Life Technologies, Grand Island, NY, USA). Rabbit anti-PRR antibody was raised against residues 335–350 in the C terminus (Cat#: ab40790, Abcam, Cambridge, MA, USA). Mouse anti-α-smooth muscle actin (α-SMA) antibody was purchased from Sigma (Cat#: F3777, Sigma, St Louis, MO, USA).", "Rat aorta smooth muscle cell line (VSMC) was purchased from ATCC, Manassas, VA, USA (Cat# CRL-2018) and grown in a six-well plate. After the cell monolayers reached 95 % confluence, the VSMCs were pretreated with PRO20 (1.5 μM) for 1 h, followed by AngII treatment at 100 nM for 24 h. After the treatment, the medium was collected for enzyme assays or renin assays.", "Data is summarized as means ± standard error (SE). All data points were included in the statistical analyses. Sample sizes were determined on the basis of similar previous studies or pilot experiments. Statistical analysis for animal and cell cultures experiments was performed using analysis of variance with the Bonferroni test for multiple comparisons or by paired or unpaired Student’s t-test for two comparisons. A P-value below 0.05 was considered statistically significant.", " Pharmacological investigation of renal medullary function of PRR PRO20 is a newly developed 21-amino-acid PRR decoy peptide that interrupts the binding of prorenin to PRR with high potency and specificity [23]. To probe the functional role of renal medullary PRR, we employed an intramedullary infusion technique that allows site-specific delivery of an agent to the renal medulla [24]. To this end, a catheter was chronically implanted in the renal medulla of nephrectomized rats to achieve site-specific delivery of PRO20, and intravenous infusion of this peptide via the jugular vein served as a control for spillover. Radiotelemetry was used to monitor daily mean arterial pressure (MAP). One-week AngII infusion induced immediate and sustained increases in MAP, from 108 ± 5.8 (day 0) to 164.7 ± 6.2 mmHg (day 7) (Fig. 1a). Intramedullary PRO20 infusion (IM PRO20) remarkably attenuated AngII-induced hypertension and lowered the MAP to 128.6 ± 5.8 mmHg. However, intravenous PRO20 infusion (IV PRO20) was much less effective than IM PRO20 in lowering MAP (Fig. 1a). Consistent with the BP data, AngII-induced cardiac hypertrophy was blunted by IM PRO20 but not IV PRO20 (Fig. 1b).Fig. 1Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. #\nP < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. #\nP < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error\nFollowing AngII infusion, the uninephrectomized rats developed severe kidney injury as evidenced by increased proteinuria (Fig. 2a) and renal histological changes, including glomerulosclerosis and interstitial fibrosis (Fig. 2b, c). These indices of kidney injury were all attenuated by IM PRO20 (Fig. 2a–c). An inflammatory response is a well known important feature of AngII-induced hypertension [25, 26]. Therefore, we examined renal expression of inflammatory markers such as TNF-α and IL-18 using qRT-PCR. Both cytokines were elevated by AngII infusion and were blunted by IM PRO (Fig. 3a, b). PRO20 treatment via intramedullary or intravenous infusion was not associated with any noticeable toxicity.Fig. 2Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusionFig. 3Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusion\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error\nAngII infusion induces a local renin response in the renal medulla but suppresses systemic renin activity [16, 18, 27–29]. We hypothesized that PRR may be required to enhance the renal medullary renin response to AngII. As expected, following AngII infusion, renin activity was suppressed in plasma and the renal cortex but enhanced in the inner medulla and urine, and the latter response was blunted by IM PRO20 (Fig. 4a–d). ELISA showed that prorenin/renin content in the inner medulla was elevated by AngII infusion but was unaffected by IM PRO20 (Fig. 5a) and the same result was obtained by qRT-PCR of renin mRNA (Fig.5b), supporting the concept that PRR primarily regulates local renin activity but not renin expression. Of note, the ELISA kit was unable to differentiate between prorenin and renin.Fig. 4Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard errorFig. 5Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error\nPRO20 is a newly developed 21-amino-acid PRR decoy peptide that interrupts the binding of prorenin to PRR with high potency and specificity [23]. To probe the functional role of renal medullary PRR, we employed an intramedullary infusion technique that allows site-specific delivery of an agent to the renal medulla [24]. To this end, a catheter was chronically implanted in the renal medulla of nephrectomized rats to achieve site-specific delivery of PRO20, and intravenous infusion of this peptide via the jugular vein served as a control for spillover. Radiotelemetry was used to monitor daily mean arterial pressure (MAP). One-week AngII infusion induced immediate and sustained increases in MAP, from 108 ± 5.8 (day 0) to 164.7 ± 6.2 mmHg (day 7) (Fig. 1a). Intramedullary PRO20 infusion (IM PRO20) remarkably attenuated AngII-induced hypertension and lowered the MAP to 128.6 ± 5.8 mmHg. However, intravenous PRO20 infusion (IV PRO20) was much less effective than IM PRO20 in lowering MAP (Fig. 1a). Consistent with the BP data, AngII-induced cardiac hypertrophy was blunted by IM PRO20 but not IV PRO20 (Fig. 1b).Fig. 1Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. #\nP < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. #\nP < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error\nFollowing AngII infusion, the uninephrectomized rats developed severe kidney injury as evidenced by increased proteinuria (Fig. 2a) and renal histological changes, including glomerulosclerosis and interstitial fibrosis (Fig. 2b, c). These indices of kidney injury were all attenuated by IM PRO20 (Fig. 2a–c). An inflammatory response is a well known important feature of AngII-induced hypertension [25, 26]. Therefore, we examined renal expression of inflammatory markers such as TNF-α and IL-18 using qRT-PCR. Both cytokines were elevated by AngII infusion and were blunted by IM PRO (Fig. 3a, b). PRO20 treatment via intramedullary or intravenous infusion was not associated with any noticeable toxicity.Fig. 2Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusionFig. 3Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusion\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error\nAngII infusion induces a local renin response in the renal medulla but suppresses systemic renin activity [16, 18, 27–29]. We hypothesized that PRR may be required to enhance the renal medullary renin response to AngII. As expected, following AngII infusion, renin activity was suppressed in plasma and the renal cortex but enhanced in the inner medulla and urine, and the latter response was blunted by IM PRO20 (Fig. 4a–d). ELISA showed that prorenin/renin content in the inner medulla was elevated by AngII infusion but was unaffected by IM PRO20 (Fig. 5a) and the same result was obtained by qRT-PCR of renin mRNA (Fig.5b), supporting the concept that PRR primarily regulates local renin activity but not renin expression. Of note, the ELISA kit was unable to differentiate between prorenin and renin.Fig. 4Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard errorFig. 5Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error\n Regulation and function of vascular PRR Immunostaining revealed the strongest signal of PRR in the vascular smooth muscle in the kidney (Fig. 6a). This signal was specific because it was completely eliminated by the immunizing peptide (Fig. 6a). The vascular labeling of PRR appeared weaker in the heart as compared to that in the kidney (Fig. 6a). AngII infusion enhanced the vascular labeling of PRR in the kidney (Fig. 6b). PRR labeling was co-localized with α-SMA labeling (Fig. 6b). In cultured rat VSMC, exposure to 100 nM AngII for 24 h induced a marked increase in medium prorenin/renin and sPRR, both being assessed by ELISA (Fig. 7a). In parallel, renin activity was increased, as reflected by measuring AngI generation, and was blunted by PRO20 (Fig. 7b).Fig. 6Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per groupFig. 7Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control\nImmunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per group\nEffect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control\nImmunostaining revealed the strongest signal of PRR in the vascular smooth muscle in the kidney (Fig. 6a). This signal was specific because it was completely eliminated by the immunizing peptide (Fig. 6a). The vascular labeling of PRR appeared weaker in the heart as compared to that in the kidney (Fig. 6a). AngII infusion enhanced the vascular labeling of PRR in the kidney (Fig. 6b). PRR labeling was co-localized with α-SMA labeling (Fig. 6b). In cultured rat VSMC, exposure to 100 nM AngII for 24 h induced a marked increase in medium prorenin/renin and sPRR, both being assessed by ELISA (Fig. 7a). In parallel, renin activity was increased, as reflected by measuring AngI generation, and was blunted by PRO20 (Fig. 7b).Fig. 6Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per groupFig. 7Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control\nImmunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per group\nEffect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control", "PRO20 is a newly developed 21-amino-acid PRR decoy peptide that interrupts the binding of prorenin to PRR with high potency and specificity [23]. To probe the functional role of renal medullary PRR, we employed an intramedullary infusion technique that allows site-specific delivery of an agent to the renal medulla [24]. To this end, a catheter was chronically implanted in the renal medulla of nephrectomized rats to achieve site-specific delivery of PRO20, and intravenous infusion of this peptide via the jugular vein served as a control for spillover. Radiotelemetry was used to monitor daily mean arterial pressure (MAP). One-week AngII infusion induced immediate and sustained increases in MAP, from 108 ± 5.8 (day 0) to 164.7 ± 6.2 mmHg (day 7) (Fig. 1a). Intramedullary PRO20 infusion (IM PRO20) remarkably attenuated AngII-induced hypertension and lowered the MAP to 128.6 ± 5.8 mmHg. However, intravenous PRO20 infusion (IV PRO20) was much less effective than IM PRO20 in lowering MAP (Fig. 1a). Consistent with the BP data, AngII-induced cardiac hypertrophy was blunted by IM PRO20 but not IV PRO20 (Fig. 1b).Fig. 1Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. #\nP < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. #\nP < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error\nFollowing AngII infusion, the uninephrectomized rats developed severe kidney injury as evidenced by increased proteinuria (Fig. 2a) and renal histological changes, including glomerulosclerosis and interstitial fibrosis (Fig. 2b, c). These indices of kidney injury were all attenuated by IM PRO20 (Fig. 2a–c). An inflammatory response is a well known important feature of AngII-induced hypertension [25, 26]. Therefore, we examined renal expression of inflammatory markers such as TNF-α and IL-18 using qRT-PCR. Both cytokines were elevated by AngII infusion and were blunted by IM PRO (Fig. 3a, b). PRO20 treatment via intramedullary or intravenous infusion was not associated with any noticeable toxicity.Fig. 2Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusionFig. 3Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusion\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error\nAngII infusion induces a local renin response in the renal medulla but suppresses systemic renin activity [16, 18, 27–29]. We hypothesized that PRR may be required to enhance the renal medullary renin response to AngII. As expected, following AngII infusion, renin activity was suppressed in plasma and the renal cortex but enhanced in the inner medulla and urine, and the latter response was blunted by IM PRO20 (Fig. 4a–d). ELISA showed that prorenin/renin content in the inner medulla was elevated by AngII infusion but was unaffected by IM PRO20 (Fig. 5a) and the same result was obtained by qRT-PCR of renin mRNA (Fig.5b), supporting the concept that PRR primarily regulates local renin activity but not renin expression. Of note, the ELISA kit was unable to differentiate between prorenin and renin.Fig. 4Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard errorFig. 5Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard error\nEffect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error", "Immunostaining revealed the strongest signal of PRR in the vascular smooth muscle in the kidney (Fig. 6a). This signal was specific because it was completely eliminated by the immunizing peptide (Fig. 6a). The vascular labeling of PRR appeared weaker in the heart as compared to that in the kidney (Fig. 6a). AngII infusion enhanced the vascular labeling of PRR in the kidney (Fig. 6b). PRR labeling was co-localized with α-SMA labeling (Fig. 6b). In cultured rat VSMC, exposure to 100 nM AngII for 24 h induced a marked increase in medium prorenin/renin and sPRR, both being assessed by ELISA (Fig. 7a). In parallel, renin activity was increased, as reflected by measuring AngI generation, and was blunted by PRO20 (Fig. 7b).Fig. 6Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per groupFig. 7Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control\nImmunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per group\nEffect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control", "The importance of the RAS in the pathogenesis of human hypertension is highlighted by the wide use of ACE inhibitors and angiotensin receptor blockers as first-line antihypertensive therapies [1–3]. However, despite intensive investigation, the mechanism of AngII-induced hypertension is still incompletely understood. We used a pharmacological approach to investigate the functional role of renal medullary PRR during AngII-induced hypertension. PRO20 is a newly developed, highly specific PRR decoy inhibitor that interrupts the binding of prorenin to PRR [30]. The inhibitor was directly delivered to the rat renal medulla to evaluate the contribution of renal medullary PRR to AngII-induced hypertension. The result showed that renal delivery of PRO20 almost completely abolished AngII-induced hypertension, contrasting with a relatively modest BP-lowering effect of IV PRO20. The difference in the effects of local versus systemic delivery of PRO20 reflects the contribution of renal medullary PRR.\nAlthough abundant in vitro evidence demonstrates that PRR binds renin and prorenin to increase their catalytic activity [8, 12, 31–33], solid in vivo evidence to support PRR as a renin regulator is still lacking. In fact, increasing skepticism has surrounded the renin-regulatory function of PRR. For example, overexpression of human PRR in rats resulted in proteinuria and nephropathy but did not elevate BP or renal AngII levels [34, 35]. The lack of viable PRR null mice and an effective PRR inhibitor has made it difficult to convincingly prove PRR as a key player in the RAS [36]. In the present study, renal medullary and urinary renin activity was activated following AngII infusion, whereas plasma and renal cortical renin activity was suppressed, highlighting differences between systemic versus intrarenal renin systems as documented by previous studies [16, 18, 27]. AngII-induced increases in renal inner medullary and urinary renin activity were remarkably suppressed by IM PRO20. These results represent strong in vivo evidence for a role of PRR in the regulation of local renin activity during AngII-induced hypertension.\nWe assessed the direct role of PRR in the regulation of renin activity in cultured VSMC following AngII treatment. Exposure of VSMC to AngII induced a significant increase in medium renin activity, suggesting a positive feedback regulation of local RAS by AngII in the vasculature contrasting to the negative feedback regulation at the juxtaglomerular apparatus. This finding is in agreement with the appreciated role of the local RAS in the vascular remodeling in animal models of balloon injury [37], spontaneously hypertensive rats [38], and one-kidney, one-clip-induced and two-kidney, one-clip-induced hypertension [39, 40]. We found that the AngII-induced local renin response in VSMC was attenuated by PRO20, indicating involvement of PRR. Likewise, PRR plays an important role in amplifying the vascular renin response to AngII. We suspect the PRR-dependent activation of the local RAS may participate in the regulation of vascular function or remodeling during AngII-induced hypertension. This notion is in agreement with the significant role of PRR in determining the integrity of VSMC [41]. Besides VSMC, the CD is another important site for increased renal PRR expression in this hypertension model, as shown previously [16, 18], and likely plays a contributory role as well. Similarly, renin secretion from the CD cells is also stimulated by AngII [27] and this stimulation is likely mediated by PRR. The relative importance of vascular versus tubular PRR remains elusive and awaits genetic validation in the future studies. There is an intriguing possibility that PRR-dependent regulation of the local renin response may coordinate the functions of the vasculature and the CD. Such coordination can be mediated by releasing sPRR, which acts in an autocrine or paracrine fashion.\nIrrespective of the underlying mechanism, the present study has characterized PRO20 as a novel therapeutic approach for hypertension and kidney injury. However, the well-recognized developmental role of PRR may imply a safety concern with this approach. In both low vertebrates and mammals, PRR plays an essential role in embryogenesis, likely via activation of the Wnt/β-catenin pathway [15, 36]. In particular, deletion of PRR in mice in a conventional or conditional manner leads to a lethal phenotype [36, 42]. However, to our surprise, there was no noticeable toxicity associated with PRO20 in the current experimental model. In agreement with this observation, inhibition of the Wnt/β-catenin pathway exhibits antifibrotic and protective effects in animal models of diverse fibrotic diseases in the kidney [43–45], skin [46], and lung [47] with a generally optimal safety profile. It is possible that the developmental pathway may be selectively activated in some disease processes and may represent an attractive therapeutic target.", "The present study employed a newly developed PRR-decoy peptide, PRO20, coupled with an intramedullary infusion technique to investigate the functional role of renal medullary PRR during AngII-induced hypertension. Not only did we demonstrate a remarkable BP-lowering effect of intramedullary PRR antagonism, but we also underscored a novel mechanism of this phenomenon involving PRR-dependent activation of the local renin response. We for the first time demonstrate the renin regulatory function of PRR in vivo and in vitro and report PRO20 as a novel therapeutic agent for hypertension and chronic kidney disease." ]
[ "introduction", "materials|methods", null, null, null, null, null, null, null, null, "results", null, null, "discussion", "conclusion" ]
[ "Angiotensin II", "PRO20", "(Pro)renin receptor", "Renin activity", "Vascular smooth muscle cells" ]
Background: The renin–angiotensin system (RAS) is one of the most important regulatory systems for the control of extracellular volume and blood pressure (BP). Over-activation of the RAS plays an essential role in the pathogenesis of hypertension as evidenced by the wide use of angiotensin-converting enzyme (ACE) inhibitors and AT1-receptor antagonists for the management of human hypertension [1–3]. In humans and animals, activation of the RAS due to renal artery stenosis leads to profound hypertension and cardiovascular morbidity [4]. Angiotensin II (AngII), the major effector hormone of the RAS, when given at a pressor dose, readily induces hypertension [5]. However, despite intensive investigation, the mechanism of AngII-induced hypertension is still incompletely understood. Although diverse mechanisms have been proposed, increasing evidence suggests involvement of the local RAS found in a variety of tissues, including the brain, heart, adrenal gland, vasculature, and kidney [6, 7]. Over the past decade, there has been a paradigm change in our understanding of the potential role of the local versus systemic RAS in the pathogenesis of hypertension. In particular, mounting evidence is available to support an essential role of the intrarenal RAS in AngII-induced hypertension. (Pro)renin receptor (PRR) was cloned as a specific receptor for prorenin and renin by Nguyen et al. in 2002 [8]. It is a 350-amino-acid protein containing a single transmembrane domain [9]. A soluble form of PRR (sPRR), that is, the N-terminal domain fragment, is generated by intracellular cleavage by furin and secreted in plasma [10]. The carboxyterminal tail has previously been purified from chromaffin granules as an 8–9-kDa accessory protein (M8-9) of the vacuolar-type H+-ATPase and designated ATP6AP2 [11]. In vitro evidence demonstrates that prorenin bound to PRR has increased catalytic activity, thus mediating local AngII formation [8, 12]. In light of its ubiquitous expression in a variety of tissues, PRR is postulated to function as a regulator of tissue renin activity [13]. However, there is no convincing in vivo evidence to prove the renin-regulatory function of PRR. Apart from prorenin or renin activation, activation of PRR by (pro)renin stimulates a variety of signal transduction pathways such as mitogen-activated protein kinase [14] and Wnt-β-catenin pathways [15], independent of AngII [14, 15]. Within the kidney, high levels of PRR immunoreactivity have been detected in intercalated cells of the collecting duct (CD) [16, 17] as well as vascular smooth muscle cells (VSMC) [8]. Previous studies from us and others have shown that PRR expression in the kidney, particularly in the renal medulla, increases during AngII-induced hypertension, dependent of the COX-2/EP4 pathway [16, 18–20]. The present study tested the functional role of renal medullary PRR during AngII-induced hypertension. Methods: Rat experiments Male Sprague-Dawley rats (220–250 g, Charles River Laboratories, Wilmington, MA, USA) were cage-housed and maintained in a temperature-controlled room with a 12:12-h light–dark cycle, with free access to tap water and standard rat chow for 14 days. The animal protocols were approved by the Animal Care and Use Committees at Sun Yat-sen University and University of Utah. The rats underwent uninephrectomy with or without bilateral adrenalectomy and were instrumented with radiotelemetric devices. After one week’s recovery from the surgery, a second surgery was performed to place a subcutaneous osmotic mini-pump delivering vehicle or AngII at 100 ng/kg/min. In this surgery, the kidney was exposed from the flank region and a catheter was placed in the renal medulla, approximately 4.0 mm underneath the surface, and secured using Vetbond glue; the other end of the catheter was connected to an osmotic mini-pump delivering vehicle or PRO20 at 120 μg/kg/d. A separate group of rats received intravenous infusion of PRO20 via the jugular vein and served as a control. Adrenalectomized rats were given dexamethasone at 1 mg/ml in their drinking water starting 2 days prior to adrenalectomy until the end of the experiment. The radiotelemetric device was implanted via catheterization of the carotid artery and was turned on for 4 h per day from 5:00 p.m. to 9:00 p.m. The data from the rats with incorrectly positioned intramedullary infusion catheters detected at sacrifice were excluded from the final analysis. Male Sprague-Dawley rats (220–250 g, Charles River Laboratories, Wilmington, MA, USA) were cage-housed and maintained in a temperature-controlled room with a 12:12-h light–dark cycle, with free access to tap water and standard rat chow for 14 days. The animal protocols were approved by the Animal Care and Use Committees at Sun Yat-sen University and University of Utah. The rats underwent uninephrectomy with or without bilateral adrenalectomy and were instrumented with radiotelemetric devices. After one week’s recovery from the surgery, a second surgery was performed to place a subcutaneous osmotic mini-pump delivering vehicle or AngII at 100 ng/kg/min. In this surgery, the kidney was exposed from the flank region and a catheter was placed in the renal medulla, approximately 4.0 mm underneath the surface, and secured using Vetbond glue; the other end of the catheter was connected to an osmotic mini-pump delivering vehicle or PRO20 at 120 μg/kg/d. A separate group of rats received intravenous infusion of PRO20 via the jugular vein and served as a control. Adrenalectomized rats were given dexamethasone at 1 mg/ml in their drinking water starting 2 days prior to adrenalectomy until the end of the experiment. The radiotelemetric device was implanted via catheterization of the carotid artery and was turned on for 4 h per day from 5:00 p.m. to 9:00 p.m. The data from the rats with incorrectly positioned intramedullary infusion catheters detected at sacrifice were excluded from the final analysis. Biochemical analysis of renin Renin activity in plasma, urine, tissue homogenates, and cell culture medium was determined under the native condition by measurement of AngI generation using enzyme-linked immunosorbent assay (ELISA). Aldosterone concentrations in plasma, urine, and cell culture medium were measured using a commercial ELISA kit (Cat#:10004377, Cayman Chemical, Ann Arbor, Michigan, USA). Renin activity in plasma, urine, tissue homogenates, and cell culture medium was determined under the native condition by measurement of AngI generation using enzyme-linked immunosorbent assay (ELISA). Aldosterone concentrations in plasma, urine, and cell culture medium were measured using a commercial ELISA kit (Cat#:10004377, Cayman Chemical, Ann Arbor, Michigan, USA). Enzyme immunoassay To detect urinary or medium prorenin/renin, sPRR, we used the following commercially available enzyme immunoassay kits according to the manufacturer’s instructions: prorenin/renin (Molecular Innovations, Novi, MI, USA) and sPRR (IBL, Toronto, Canada). To detect urinary or medium prorenin/renin, sPRR, we used the following commercially available enzyme immunoassay kits according to the manufacturer’s instructions: prorenin/renin (Molecular Innovations, Novi, MI, USA) and sPRR (IBL, Toronto, Canada). Renal histology Under anesthesia, kidneys were harvested and fixed with 10 % paraformaldehyde. The tissues were subsequently embedded in paraffin and 4-μm sections were cut and stained with periodic acid–Schiff. Renal pathologies including glomerulosclerosis and interstitial fibrosis were scored on a 1–4 scale as previously described [21] (the higher the number, the more severe the injury). Under anesthesia, kidneys were harvested and fixed with 10 % paraformaldehyde. The tissues were subsequently embedded in paraffin and 4-μm sections were cut and stained with periodic acid–Schiff. Renal pathologies including glomerulosclerosis and interstitial fibrosis were scored on a 1–4 scale as previously described [21] (the higher the number, the more severe the injury). Quantitative reverse transcriptase polymerase chain reaction For Quantitative reverse transcription polymerase chain reaction (qRT-PCR), total RNA isolation and reverse transcription were performed as previously described [22]. Oligonucleotides were designed using Primer3 software (available at http://bioinfo.ut.ee/primer3-0.4.0/). Primers for TNF-α were 5′- CCACGTCGTAGCAAACCACCAAG-3′ (sense) and 5′- CAGGTACATGGGCTCATACC-3′ (antisense); primers for IL-18 were 5′-TGGAGACTTGGAATCAGACC-3′ (sense) and 5′-GGCAAGCTAGAAAGTGTCCT-3′ (antisense); primers for GAPDH were 5′-GTCTTCACTACCATGGAGAAGG-3′ (sense) and 5′-TCATGGATGACCTTGGCCAG-3′ (antisense). For Quantitative reverse transcription polymerase chain reaction (qRT-PCR), total RNA isolation and reverse transcription were performed as previously described [22]. Oligonucleotides were designed using Primer3 software (available at http://bioinfo.ut.ee/primer3-0.4.0/). Primers for TNF-α were 5′- CCACGTCGTAGCAAACCACCAAG-3′ (sense) and 5′- CAGGTACATGGGCTCATACC-3′ (antisense); primers for IL-18 were 5′-TGGAGACTTGGAATCAGACC-3′ (sense) and 5′-GGCAAGCTAGAAAGTGTCCT-3′ (antisense); primers for GAPDH were 5′-GTCTTCACTACCATGGAGAAGG-3′ (sense) and 5′-TCATGGATGACCTTGGCCAG-3′ (antisense). Immunofluorescence staining The tissues were fixed in 10 % neutral buffered formalin for 24 h and then embedded in paraffin. After deparaffinization, thin sections (4 μm) were processed for double-labeling with immunofluorescence. The slides were blocked in 1 % bovine serum albumin for 1 h and were then incubated with primary antibody at 4 °C overnight. After washing off the primary antibody, sections were incubated for 1 h at room temperature with Donkey anti-goat-IgG- fluorescein isothiocyanate (1:75, sc-2024, Santa Cruz Biotechnology, Santa Cruz, CA, USA) or donkey anti-rabbit IgG-tetramethylrhodamine (1:100, A31572, Life Technologies, Grand Island, NY, USA). Rabbit anti-PRR antibody was raised against residues 335–350 in the C terminus (Cat#: ab40790, Abcam, Cambridge, MA, USA). Mouse anti-α-smooth muscle actin (α-SMA) antibody was purchased from Sigma (Cat#: F3777, Sigma, St Louis, MO, USA). The tissues were fixed in 10 % neutral buffered formalin for 24 h and then embedded in paraffin. After deparaffinization, thin sections (4 μm) were processed for double-labeling with immunofluorescence. The slides were blocked in 1 % bovine serum albumin for 1 h and were then incubated with primary antibody at 4 °C overnight. After washing off the primary antibody, sections were incubated for 1 h at room temperature with Donkey anti-goat-IgG- fluorescein isothiocyanate (1:75, sc-2024, Santa Cruz Biotechnology, Santa Cruz, CA, USA) or donkey anti-rabbit IgG-tetramethylrhodamine (1:100, A31572, Life Technologies, Grand Island, NY, USA). Rabbit anti-PRR antibody was raised against residues 335–350 in the C terminus (Cat#: ab40790, Abcam, Cambridge, MA, USA). Mouse anti-α-smooth muscle actin (α-SMA) antibody was purchased from Sigma (Cat#: F3777, Sigma, St Louis, MO, USA). Cell culture Rat aorta smooth muscle cell line (VSMC) was purchased from ATCC, Manassas, VA, USA (Cat# CRL-2018) and grown in a six-well plate. After the cell monolayers reached 95 % confluence, the VSMCs were pretreated with PRO20 (1.5 μM) for 1 h, followed by AngII treatment at 100 nM for 24 h. After the treatment, the medium was collected for enzyme assays or renin assays. Rat aorta smooth muscle cell line (VSMC) was purchased from ATCC, Manassas, VA, USA (Cat# CRL-2018) and grown in a six-well plate. After the cell monolayers reached 95 % confluence, the VSMCs were pretreated with PRO20 (1.5 μM) for 1 h, followed by AngII treatment at 100 nM for 24 h. After the treatment, the medium was collected for enzyme assays or renin assays. Statistical analysis Data is summarized as means ± standard error (SE). All data points were included in the statistical analyses. Sample sizes were determined on the basis of similar previous studies or pilot experiments. Statistical analysis for animal and cell cultures experiments was performed using analysis of variance with the Bonferroni test for multiple comparisons or by paired or unpaired Student’s t-test for two comparisons. A P-value below 0.05 was considered statistically significant. Data is summarized as means ± standard error (SE). All data points were included in the statistical analyses. Sample sizes were determined on the basis of similar previous studies or pilot experiments. Statistical analysis for animal and cell cultures experiments was performed using analysis of variance with the Bonferroni test for multiple comparisons or by paired or unpaired Student’s t-test for two comparisons. A P-value below 0.05 was considered statistically significant. Rat experiments: Male Sprague-Dawley rats (220–250 g, Charles River Laboratories, Wilmington, MA, USA) were cage-housed and maintained in a temperature-controlled room with a 12:12-h light–dark cycle, with free access to tap water and standard rat chow for 14 days. The animal protocols were approved by the Animal Care and Use Committees at Sun Yat-sen University and University of Utah. The rats underwent uninephrectomy with or without bilateral adrenalectomy and were instrumented with radiotelemetric devices. After one week’s recovery from the surgery, a second surgery was performed to place a subcutaneous osmotic mini-pump delivering vehicle or AngII at 100 ng/kg/min. In this surgery, the kidney was exposed from the flank region and a catheter was placed in the renal medulla, approximately 4.0 mm underneath the surface, and secured using Vetbond glue; the other end of the catheter was connected to an osmotic mini-pump delivering vehicle or PRO20 at 120 μg/kg/d. A separate group of rats received intravenous infusion of PRO20 via the jugular vein and served as a control. Adrenalectomized rats were given dexamethasone at 1 mg/ml in their drinking water starting 2 days prior to adrenalectomy until the end of the experiment. The radiotelemetric device was implanted via catheterization of the carotid artery and was turned on for 4 h per day from 5:00 p.m. to 9:00 p.m. The data from the rats with incorrectly positioned intramedullary infusion catheters detected at sacrifice were excluded from the final analysis. Biochemical analysis of renin: Renin activity in plasma, urine, tissue homogenates, and cell culture medium was determined under the native condition by measurement of AngI generation using enzyme-linked immunosorbent assay (ELISA). Aldosterone concentrations in plasma, urine, and cell culture medium were measured using a commercial ELISA kit (Cat#:10004377, Cayman Chemical, Ann Arbor, Michigan, USA). Enzyme immunoassay: To detect urinary or medium prorenin/renin, sPRR, we used the following commercially available enzyme immunoassay kits according to the manufacturer’s instructions: prorenin/renin (Molecular Innovations, Novi, MI, USA) and sPRR (IBL, Toronto, Canada). Renal histology: Under anesthesia, kidneys were harvested and fixed with 10 % paraformaldehyde. The tissues were subsequently embedded in paraffin and 4-μm sections were cut and stained with periodic acid–Schiff. Renal pathologies including glomerulosclerosis and interstitial fibrosis were scored on a 1–4 scale as previously described [21] (the higher the number, the more severe the injury). Quantitative reverse transcriptase polymerase chain reaction: For Quantitative reverse transcription polymerase chain reaction (qRT-PCR), total RNA isolation and reverse transcription were performed as previously described [22]. Oligonucleotides were designed using Primer3 software (available at http://bioinfo.ut.ee/primer3-0.4.0/). Primers for TNF-α were 5′- CCACGTCGTAGCAAACCACCAAG-3′ (sense) and 5′- CAGGTACATGGGCTCATACC-3′ (antisense); primers for IL-18 were 5′-TGGAGACTTGGAATCAGACC-3′ (sense) and 5′-GGCAAGCTAGAAAGTGTCCT-3′ (antisense); primers for GAPDH were 5′-GTCTTCACTACCATGGAGAAGG-3′ (sense) and 5′-TCATGGATGACCTTGGCCAG-3′ (antisense). Immunofluorescence staining: The tissues were fixed in 10 % neutral buffered formalin for 24 h and then embedded in paraffin. After deparaffinization, thin sections (4 μm) were processed for double-labeling with immunofluorescence. The slides were blocked in 1 % bovine serum albumin for 1 h and were then incubated with primary antibody at 4 °C overnight. After washing off the primary antibody, sections were incubated for 1 h at room temperature with Donkey anti-goat-IgG- fluorescein isothiocyanate (1:75, sc-2024, Santa Cruz Biotechnology, Santa Cruz, CA, USA) or donkey anti-rabbit IgG-tetramethylrhodamine (1:100, A31572, Life Technologies, Grand Island, NY, USA). Rabbit anti-PRR antibody was raised against residues 335–350 in the C terminus (Cat#: ab40790, Abcam, Cambridge, MA, USA). Mouse anti-α-smooth muscle actin (α-SMA) antibody was purchased from Sigma (Cat#: F3777, Sigma, St Louis, MO, USA). Cell culture: Rat aorta smooth muscle cell line (VSMC) was purchased from ATCC, Manassas, VA, USA (Cat# CRL-2018) and grown in a six-well plate. After the cell monolayers reached 95 % confluence, the VSMCs were pretreated with PRO20 (1.5 μM) for 1 h, followed by AngII treatment at 100 nM for 24 h. After the treatment, the medium was collected for enzyme assays or renin assays. Statistical analysis: Data is summarized as means ± standard error (SE). All data points were included in the statistical analyses. Sample sizes were determined on the basis of similar previous studies or pilot experiments. Statistical analysis for animal and cell cultures experiments was performed using analysis of variance with the Bonferroni test for multiple comparisons or by paired or unpaired Student’s t-test for two comparisons. A P-value below 0.05 was considered statistically significant. Results: Pharmacological investigation of renal medullary function of PRR PRO20 is a newly developed 21-amino-acid PRR decoy peptide that interrupts the binding of prorenin to PRR with high potency and specificity [23]. To probe the functional role of renal medullary PRR, we employed an intramedullary infusion technique that allows site-specific delivery of an agent to the renal medulla [24]. To this end, a catheter was chronically implanted in the renal medulla of nephrectomized rats to achieve site-specific delivery of PRO20, and intravenous infusion of this peptide via the jugular vein served as a control for spillover. Radiotelemetry was used to monitor daily mean arterial pressure (MAP). One-week AngII infusion induced immediate and sustained increases in MAP, from 108 ± 5.8 (day 0) to 164.7 ± 6.2 mmHg (day 7) (Fig. 1a). Intramedullary PRO20 infusion (IM PRO20) remarkably attenuated AngII-induced hypertension and lowered the MAP to 128.6 ± 5.8 mmHg. However, intravenous PRO20 infusion (IV PRO20) was much less effective than IM PRO20 in lowering MAP (Fig. 1a). Consistent with the BP data, AngII-induced cardiac hypertrophy was blunted by IM PRO20 but not IV PRO20 (Fig. 1b).Fig. 1Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. # P < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. # P < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error Following AngII infusion, the uninephrectomized rats developed severe kidney injury as evidenced by increased proteinuria (Fig. 2a) and renal histological changes, including glomerulosclerosis and interstitial fibrosis (Fig. 2b, c). These indices of kidney injury were all attenuated by IM PRO20 (Fig. 2a–c). An inflammatory response is a well known important feature of AngII-induced hypertension [25, 26]. Therefore, we examined renal expression of inflammatory markers such as TNF-α and IL-18 using qRT-PCR. Both cytokines were elevated by AngII infusion and were blunted by IM PRO (Fig. 3a, b). PRO20 treatment via intramedullary or intravenous infusion was not associated with any noticeable toxicity.Fig. 2Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusionFig. 3Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusion Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error AngII infusion induces a local renin response in the renal medulla but suppresses systemic renin activity [16, 18, 27–29]. We hypothesized that PRR may be required to enhance the renal medullary renin response to AngII. As expected, following AngII infusion, renin activity was suppressed in plasma and the renal cortex but enhanced in the inner medulla and urine, and the latter response was blunted by IM PRO20 (Fig. 4a–d). ELISA showed that prorenin/renin content in the inner medulla was elevated by AngII infusion but was unaffected by IM PRO20 (Fig. 5a) and the same result was obtained by qRT-PCR of renin mRNA (Fig.5b), supporting the concept that PRR primarily regulates local renin activity but not renin expression. Of note, the ELISA kit was unable to differentiate between prorenin and renin.Fig. 4Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard errorFig. 5Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error PRO20 is a newly developed 21-amino-acid PRR decoy peptide that interrupts the binding of prorenin to PRR with high potency and specificity [23]. To probe the functional role of renal medullary PRR, we employed an intramedullary infusion technique that allows site-specific delivery of an agent to the renal medulla [24]. To this end, a catheter was chronically implanted in the renal medulla of nephrectomized rats to achieve site-specific delivery of PRO20, and intravenous infusion of this peptide via the jugular vein served as a control for spillover. Radiotelemetry was used to monitor daily mean arterial pressure (MAP). One-week AngII infusion induced immediate and sustained increases in MAP, from 108 ± 5.8 (day 0) to 164.7 ± 6.2 mmHg (day 7) (Fig. 1a). Intramedullary PRO20 infusion (IM PRO20) remarkably attenuated AngII-induced hypertension and lowered the MAP to 128.6 ± 5.8 mmHg. However, intravenous PRO20 infusion (IV PRO20) was much less effective than IM PRO20 in lowering MAP (Fig. 1a). Consistent with the BP data, AngII-induced cardiac hypertrophy was blunted by IM PRO20 but not IV PRO20 (Fig. 1b).Fig. 1Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. # P < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. # P < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error Following AngII infusion, the uninephrectomized rats developed severe kidney injury as evidenced by increased proteinuria (Fig. 2a) and renal histological changes, including glomerulosclerosis and interstitial fibrosis (Fig. 2b, c). These indices of kidney injury were all attenuated by IM PRO20 (Fig. 2a–c). An inflammatory response is a well known important feature of AngII-induced hypertension [25, 26]. Therefore, we examined renal expression of inflammatory markers such as TNF-α and IL-18 using qRT-PCR. Both cytokines were elevated by AngII infusion and were blunted by IM PRO (Fig. 3a, b). PRO20 treatment via intramedullary or intravenous infusion was not associated with any noticeable toxicity.Fig. 2Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusionFig. 3Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusion Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error AngII infusion induces a local renin response in the renal medulla but suppresses systemic renin activity [16, 18, 27–29]. We hypothesized that PRR may be required to enhance the renal medullary renin response to AngII. As expected, following AngII infusion, renin activity was suppressed in plasma and the renal cortex but enhanced in the inner medulla and urine, and the latter response was blunted by IM PRO20 (Fig. 4a–d). ELISA showed that prorenin/renin content in the inner medulla was elevated by AngII infusion but was unaffected by IM PRO20 (Fig. 5a) and the same result was obtained by qRT-PCR of renin mRNA (Fig.5b), supporting the concept that PRR primarily regulates local renin activity but not renin expression. Of note, the ELISA kit was unable to differentiate between prorenin and renin.Fig. 4Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard errorFig. 5Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error Regulation and function of vascular PRR Immunostaining revealed the strongest signal of PRR in the vascular smooth muscle in the kidney (Fig. 6a). This signal was specific because it was completely eliminated by the immunizing peptide (Fig. 6a). The vascular labeling of PRR appeared weaker in the heart as compared to that in the kidney (Fig. 6a). AngII infusion enhanced the vascular labeling of PRR in the kidney (Fig. 6b). PRR labeling was co-localized with α-SMA labeling (Fig. 6b). In cultured rat VSMC, exposure to 100 nM AngII for 24 h induced a marked increase in medium prorenin/renin and sPRR, both being assessed by ELISA (Fig. 7a). In parallel, renin activity was increased, as reflected by measuring AngI generation, and was blunted by PRO20 (Fig. 7b).Fig. 6Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per groupFig. 7Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per group Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control Immunostaining revealed the strongest signal of PRR in the vascular smooth muscle in the kidney (Fig. 6a). This signal was specific because it was completely eliminated by the immunizing peptide (Fig. 6a). The vascular labeling of PRR appeared weaker in the heart as compared to that in the kidney (Fig. 6a). AngII infusion enhanced the vascular labeling of PRR in the kidney (Fig. 6b). PRR labeling was co-localized with α-SMA labeling (Fig. 6b). In cultured rat VSMC, exposure to 100 nM AngII for 24 h induced a marked increase in medium prorenin/renin and sPRR, both being assessed by ELISA (Fig. 7a). In parallel, renin activity was increased, as reflected by measuring AngI generation, and was blunted by PRO20 (Fig. 7b).Fig. 6Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per groupFig. 7Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per group Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control Pharmacological investigation of renal medullary function of PRR: PRO20 is a newly developed 21-amino-acid PRR decoy peptide that interrupts the binding of prorenin to PRR with high potency and specificity [23]. To probe the functional role of renal medullary PRR, we employed an intramedullary infusion technique that allows site-specific delivery of an agent to the renal medulla [24]. To this end, a catheter was chronically implanted in the renal medulla of nephrectomized rats to achieve site-specific delivery of PRO20, and intravenous infusion of this peptide via the jugular vein served as a control for spillover. Radiotelemetry was used to monitor daily mean arterial pressure (MAP). One-week AngII infusion induced immediate and sustained increases in MAP, from 108 ± 5.8 (day 0) to 164.7 ± 6.2 mmHg (day 7) (Fig. 1a). Intramedullary PRO20 infusion (IM PRO20) remarkably attenuated AngII-induced hypertension and lowered the MAP to 128.6 ± 5.8 mmHg. However, intravenous PRO20 infusion (IV PRO20) was much less effective than IM PRO20 in lowering MAP (Fig. 1a). Consistent with the BP data, AngII-induced cardiac hypertrophy was blunted by IM PRO20 but not IV PRO20 (Fig. 1b).Fig. 1Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. # P < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced hypertension in rats. Uninephrectomized male Sprague-Dawley rats were divided into the following three groups: (1) AngII, (2) AngII + intramedullary PRO20 infusion (IM PRO20), and (3) AngII + intravenous PRO20 infusion (IV PRO20). AngII was subcutaneously infused at 100 ng/kg/min via an osmotic mini-pump. IM PRO20 (PRO20 at 120 μg/kg/d) was performed via a catheter chronically implanted in the renal medulla. To control the spillover, IV PRO (PRO20 at 120 μg/kg/d) was performed via catheterization of the jugular vein. Telemetry was performed to monitor mean arterial pressure (MAP) and it was turned on 4 h per day from 5:00 p.m. to 9:00 p.m. for 7 days. a Radiotelemetry monitoring of MAP. # P < 0.01 versus intravenous PRO20; *P < 0.05 versus AngII alone. b Cardiac hypertrophy. Heart weight is expressed as percentage of body weight. Control (CTR), N = 6; AngII + Vehicle, N = 9; AngII + IM PRO20, N = 8; AngII + IV PRO20, N = 6. Data are mean ± standard error Following AngII infusion, the uninephrectomized rats developed severe kidney injury as evidenced by increased proteinuria (Fig. 2a) and renal histological changes, including glomerulosclerosis and interstitial fibrosis (Fig. 2b, c). These indices of kidney injury were all attenuated by IM PRO20 (Fig. 2a–c). An inflammatory response is a well known important feature of AngII-induced hypertension [25, 26]. Therefore, we examined renal expression of inflammatory markers such as TNF-α and IL-18 using qRT-PCR. Both cytokines were elevated by AngII infusion and were blunted by IM PRO (Fig. 3a, b). PRO20 treatment via intramedullary or intravenous infusion was not associated with any noticeable toxicity.Fig. 2Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusionFig. 3Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on angiotensin II (AngII)-induced kidney injury in rats. a Measurement of urinary protein excretion using Coomassie blue. b Representative micrographs of periodic acid–Schiff staining of kidney sections. c Renal injury scores from semi-quantitative analysis of renal pathologies. N = 6–14 per group. Data are mean ± standard error. CTR control, IM PRO20 intramedullary PRO20 infusion, IV PRO20 intravenous PRO20 infusion Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary expression of cytokines during angiotensin II (AngII)-induced hypertension in rats. a, b The expression of tumor necrosis factor alpha (TNF-α) and interleukin 18 (IL-18) in the inner medulla of control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats was determined by quantitative reverse transcriptase polymerase chain reaction, which is normalized by glyceraldehyde 3-phosphate dehydrogenase (GAPDH). N = 6 per group. Data are mean ± standard error AngII infusion induces a local renin response in the renal medulla but suppresses systemic renin activity [16, 18, 27–29]. We hypothesized that PRR may be required to enhance the renal medullary renin response to AngII. As expected, following AngII infusion, renin activity was suppressed in plasma and the renal cortex but enhanced in the inner medulla and urine, and the latter response was blunted by IM PRO20 (Fig. 4a–d). ELISA showed that prorenin/renin content in the inner medulla was elevated by AngII infusion but was unaffected by IM PRO20 (Fig. 5a) and the same result was obtained by qRT-PCR of renin mRNA (Fig.5b), supporting the concept that PRR primarily regulates local renin activity but not renin expression. Of note, the ELISA kit was unable to differentiate between prorenin and renin.Fig. 4Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard errorFig. 5Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on renin levels in angiotensin II (AngII)-infused rats. Plasma, urine, and renal tissues from control (CTR), AngII, and AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats were assayed for renin activity by measurement of AngI generation. a Plasma renin activity. b Renal cortical renin activity. c Renal inner medullary renin activity. d Urinary renin activity. N = 5–6 per group. Data are means ± standard error Effect of intramedullary (pro)renin receptor (PRR) inhibition on renal inner medullary prorenin/renin expression in angiotensin II (AngII)-infused rats. The expression of prorenin/renin in the inner medulla was determined by using enzyme-linked immunosorbent assay (ELISA) and quantitative reverse transcriptase polymerase chain reaction (qRT-PCR) determined in Control (CTR), AngII, or AngII + intramedullary PRO20-infused (AngII + IM RPO20) rats. a ELISA detection of prorenin/renin content. b qRT-PCR detection of renin mRNA expression. N = 5–6 per group. Data are means ± standard error Regulation and function of vascular PRR: Immunostaining revealed the strongest signal of PRR in the vascular smooth muscle in the kidney (Fig. 6a). This signal was specific because it was completely eliminated by the immunizing peptide (Fig. 6a). The vascular labeling of PRR appeared weaker in the heart as compared to that in the kidney (Fig. 6a). AngII infusion enhanced the vascular labeling of PRR in the kidney (Fig. 6b). PRR labeling was co-localized with α-SMA labeling (Fig. 6b). In cultured rat VSMC, exposure to 100 nM AngII for 24 h induced a marked increase in medium prorenin/renin and sPRR, both being assessed by ELISA (Fig. 7a). In parallel, renin activity was increased, as reflected by measuring AngI generation, and was blunted by PRO20 (Fig. 7b).Fig. 6Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per groupFig. 7Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control Immunostaining analysis of renal (pro)renin receptor (PRR) expression during angiotensin II (AngII)-induced hypertension. a Validation of specificity of the labeling. (a) Immunostaining of PRR antibody in kidney; (b) Immunostaining in the kidney in the presence of the immune PRR peptide (Cat#ab41522, Abcam); (c) Immunostaining of the kidney with rabbit IgG protein only; (d) Immunostaining of PRR in the heart. b Co-labeling with anti-PRR antibody and anti-α-SMA antibody in control group (e–h) and AngII group (i–l). The kidney section was stained with anti-PRR antibody and anti-α-SMA antibody (e–g; i–k). The merged images are shown in (h) and (l). (e) and (i): 100× magnification; (f–h) and (j–i): 400× magnification. Shown are representatives of three to six animals per group Effect of angiotensin II (AngII) on prorenin/renin content, soluble (pro)renin receptor (sPRR) content and renin activity in rat vascular smooth muscle cells (VSMCs). The cells were exposed to 100 nM AngII for 24 h and medium prorenin/renin content (a) and sPRR content (b) was analyzed by enzyme-linked immunosorbent assay. Medium renin activity (c) was analyzed by measurement of AngI generation in the absence of substrate. N = 12 per group. Data are means ± standard error. CTR control Discussion: The importance of the RAS in the pathogenesis of human hypertension is highlighted by the wide use of ACE inhibitors and angiotensin receptor blockers as first-line antihypertensive therapies [1–3]. However, despite intensive investigation, the mechanism of AngII-induced hypertension is still incompletely understood. We used a pharmacological approach to investigate the functional role of renal medullary PRR during AngII-induced hypertension. PRO20 is a newly developed, highly specific PRR decoy inhibitor that interrupts the binding of prorenin to PRR [30]. The inhibitor was directly delivered to the rat renal medulla to evaluate the contribution of renal medullary PRR to AngII-induced hypertension. The result showed that renal delivery of PRO20 almost completely abolished AngII-induced hypertension, contrasting with a relatively modest BP-lowering effect of IV PRO20. The difference in the effects of local versus systemic delivery of PRO20 reflects the contribution of renal medullary PRR. Although abundant in vitro evidence demonstrates that PRR binds renin and prorenin to increase their catalytic activity [8, 12, 31–33], solid in vivo evidence to support PRR as a renin regulator is still lacking. In fact, increasing skepticism has surrounded the renin-regulatory function of PRR. For example, overexpression of human PRR in rats resulted in proteinuria and nephropathy but did not elevate BP or renal AngII levels [34, 35]. The lack of viable PRR null mice and an effective PRR inhibitor has made it difficult to convincingly prove PRR as a key player in the RAS [36]. In the present study, renal medullary and urinary renin activity was activated following AngII infusion, whereas plasma and renal cortical renin activity was suppressed, highlighting differences between systemic versus intrarenal renin systems as documented by previous studies [16, 18, 27]. AngII-induced increases in renal inner medullary and urinary renin activity were remarkably suppressed by IM PRO20. These results represent strong in vivo evidence for a role of PRR in the regulation of local renin activity during AngII-induced hypertension. We assessed the direct role of PRR in the regulation of renin activity in cultured VSMC following AngII treatment. Exposure of VSMC to AngII induced a significant increase in medium renin activity, suggesting a positive feedback regulation of local RAS by AngII in the vasculature contrasting to the negative feedback regulation at the juxtaglomerular apparatus. This finding is in agreement with the appreciated role of the local RAS in the vascular remodeling in animal models of balloon injury [37], spontaneously hypertensive rats [38], and one-kidney, one-clip-induced and two-kidney, one-clip-induced hypertension [39, 40]. We found that the AngII-induced local renin response in VSMC was attenuated by PRO20, indicating involvement of PRR. Likewise, PRR plays an important role in amplifying the vascular renin response to AngII. We suspect the PRR-dependent activation of the local RAS may participate in the regulation of vascular function or remodeling during AngII-induced hypertension. This notion is in agreement with the significant role of PRR in determining the integrity of VSMC [41]. Besides VSMC, the CD is another important site for increased renal PRR expression in this hypertension model, as shown previously [16, 18], and likely plays a contributory role as well. Similarly, renin secretion from the CD cells is also stimulated by AngII [27] and this stimulation is likely mediated by PRR. The relative importance of vascular versus tubular PRR remains elusive and awaits genetic validation in the future studies. There is an intriguing possibility that PRR-dependent regulation of the local renin response may coordinate the functions of the vasculature and the CD. Such coordination can be mediated by releasing sPRR, which acts in an autocrine or paracrine fashion. Irrespective of the underlying mechanism, the present study has characterized PRO20 as a novel therapeutic approach for hypertension and kidney injury. However, the well-recognized developmental role of PRR may imply a safety concern with this approach. In both low vertebrates and mammals, PRR plays an essential role in embryogenesis, likely via activation of the Wnt/β-catenin pathway [15, 36]. In particular, deletion of PRR in mice in a conventional or conditional manner leads to a lethal phenotype [36, 42]. However, to our surprise, there was no noticeable toxicity associated with PRO20 in the current experimental model. In agreement with this observation, inhibition of the Wnt/β-catenin pathway exhibits antifibrotic and protective effects in animal models of diverse fibrotic diseases in the kidney [43–45], skin [46], and lung [47] with a generally optimal safety profile. It is possible that the developmental pathway may be selectively activated in some disease processes and may represent an attractive therapeutic target. Conclusion: The present study employed a newly developed PRR-decoy peptide, PRO20, coupled with an intramedullary infusion technique to investigate the functional role of renal medullary PRR during AngII-induced hypertension. Not only did we demonstrate a remarkable BP-lowering effect of intramedullary PRR antagonism, but we also underscored a novel mechanism of this phenomenon involving PRR-dependent activation of the local renin response. We for the first time demonstrate the renin regulatory function of PRR in vivo and in vitro and report PRO20 as a novel therapeutic agent for hypertension and chronic kidney disease.
Background: (Pro)renin receptor (PRR) is a new component of the renin-angiotensin system and regulates renin activity in vitro. Within the kidney, PRR is highly expressed in the renal medulla where its expression is induced by angiotensin II infusion. The objective of the present study was to test a potential role of renal medullary PRR during angiotensin II-induced hypertension. Methods: A rat AngII infusion model (100 ng/kg/min) combined with renal intramedullary infusion of PRO20, a specific inhibitor of PRR, was builded. And the intravenous PRO20 infusion serve as control. Mean arterial pressure was recorded by radiotelemetry for one week. Further analysis of kidney injury, inflammation, biochemical indices and protein localization were performed in vivo or in vitro. Results: Radiotelemetry demonstrated that AngII infusion elevated the mean arteria pressure from 108 ± 5.8 to 164.7 ± 6.2 mmHg. Mean arterial pressure decreased to 128.6 ± 5.8 mmHg (P < 0.05) after intramedullary infusion of PRO20, but was only modestly affected by intravenous PRO20 infusion. Indices of kidney injury, including proteinuria, glomerulosclerosis, and interstitial fibrosis, inflammation, and increased renal medullary and urinary renin activity following angiotensin II infusion were all remarkably attenuated by intramedullary PRO20 infusion. Following one week of angiotensin II infusion, increased PRR immunoreactivity was found in vascular smooth muscle cells. In cultured rat vascular smooth muscle cells, angiotensin II induced parallel increases in soluble PRR and renin activity, and the latter was significantly reduced by PRO20. Conclusions: Renal medullary PRR mediates angiotensin II-induced hypertension, likely by amplifying the local renin response.
Background: The renin–angiotensin system (RAS) is one of the most important regulatory systems for the control of extracellular volume and blood pressure (BP). Over-activation of the RAS plays an essential role in the pathogenesis of hypertension as evidenced by the wide use of angiotensin-converting enzyme (ACE) inhibitors and AT1-receptor antagonists for the management of human hypertension [1–3]. In humans and animals, activation of the RAS due to renal artery stenosis leads to profound hypertension and cardiovascular morbidity [4]. Angiotensin II (AngII), the major effector hormone of the RAS, when given at a pressor dose, readily induces hypertension [5]. However, despite intensive investigation, the mechanism of AngII-induced hypertension is still incompletely understood. Although diverse mechanisms have been proposed, increasing evidence suggests involvement of the local RAS found in a variety of tissues, including the brain, heart, adrenal gland, vasculature, and kidney [6, 7]. Over the past decade, there has been a paradigm change in our understanding of the potential role of the local versus systemic RAS in the pathogenesis of hypertension. In particular, mounting evidence is available to support an essential role of the intrarenal RAS in AngII-induced hypertension. (Pro)renin receptor (PRR) was cloned as a specific receptor for prorenin and renin by Nguyen et al. in 2002 [8]. It is a 350-amino-acid protein containing a single transmembrane domain [9]. A soluble form of PRR (sPRR), that is, the N-terminal domain fragment, is generated by intracellular cleavage by furin and secreted in plasma [10]. The carboxyterminal tail has previously been purified from chromaffin granules as an 8–9-kDa accessory protein (M8-9) of the vacuolar-type H+-ATPase and designated ATP6AP2 [11]. In vitro evidence demonstrates that prorenin bound to PRR has increased catalytic activity, thus mediating local AngII formation [8, 12]. In light of its ubiquitous expression in a variety of tissues, PRR is postulated to function as a regulator of tissue renin activity [13]. However, there is no convincing in vivo evidence to prove the renin-regulatory function of PRR. Apart from prorenin or renin activation, activation of PRR by (pro)renin stimulates a variety of signal transduction pathways such as mitogen-activated protein kinase [14] and Wnt-β-catenin pathways [15], independent of AngII [14, 15]. Within the kidney, high levels of PRR immunoreactivity have been detected in intercalated cells of the collecting duct (CD) [16, 17] as well as vascular smooth muscle cells (VSMC) [8]. Previous studies from us and others have shown that PRR expression in the kidney, particularly in the renal medulla, increases during AngII-induced hypertension, dependent of the COX-2/EP4 pathway [16, 18–20]. The present study tested the functional role of renal medullary PRR during AngII-induced hypertension. Conclusion: The present study employed a newly developed PRR-decoy peptide, PRO20, coupled with an intramedullary infusion technique to investigate the functional role of renal medullary PRR during AngII-induced hypertension. Not only did we demonstrate a remarkable BP-lowering effect of intramedullary PRR antagonism, but we also underscored a novel mechanism of this phenomenon involving PRR-dependent activation of the local renin response. We for the first time demonstrate the renin regulatory function of PRR in vivo and in vitro and report PRO20 as a novel therapeutic agent for hypertension and chronic kidney disease.
Background: (Pro)renin receptor (PRR) is a new component of the renin-angiotensin system and regulates renin activity in vitro. Within the kidney, PRR is highly expressed in the renal medulla where its expression is induced by angiotensin II infusion. The objective of the present study was to test a potential role of renal medullary PRR during angiotensin II-induced hypertension. Methods: A rat AngII infusion model (100 ng/kg/min) combined with renal intramedullary infusion of PRO20, a specific inhibitor of PRR, was builded. And the intravenous PRO20 infusion serve as control. Mean arterial pressure was recorded by radiotelemetry for one week. Further analysis of kidney injury, inflammation, biochemical indices and protein localization were performed in vivo or in vitro. Results: Radiotelemetry demonstrated that AngII infusion elevated the mean arteria pressure from 108 ± 5.8 to 164.7 ± 6.2 mmHg. Mean arterial pressure decreased to 128.6 ± 5.8 mmHg (P < 0.05) after intramedullary infusion of PRO20, but was only modestly affected by intravenous PRO20 infusion. Indices of kidney injury, including proteinuria, glomerulosclerosis, and interstitial fibrosis, inflammation, and increased renal medullary and urinary renin activity following angiotensin II infusion were all remarkably attenuated by intramedullary PRO20 infusion. Following one week of angiotensin II infusion, increased PRR immunoreactivity was found in vascular smooth muscle cells. In cultured rat vascular smooth muscle cells, angiotensin II induced parallel increases in soluble PRR and renin activity, and the latter was significantly reduced by PRO20. Conclusions: Renal medullary PRR mediates angiotensin II-induced hypertension, likely by amplifying the local renin response.
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[ 282, 67, 50, 67, 86, 191, 81, 85, 1934, 758 ]
15
[ "angii", "renin", "pro20", "prr", "renal", "rats", "intramedullary", "activity", "infusion", "renin activity" ]
[ "effect angiotensin ii", "angii induced kidney", "renin levels angiotensin", "renin angiotensin system", "ras pathogenesis hypertension" ]
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[CONTENT] Angiotensin II | PRO20 | (Pro)renin receptor | Renin activity | Vascular smooth muscle cells [SUMMARY]
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[CONTENT] Angiotensin II | PRO20 | (Pro)renin receptor | Renin activity | Vascular smooth muscle cells [SUMMARY]
[CONTENT] Angiotensin II | PRO20 | (Pro)renin receptor | Renin activity | Vascular smooth muscle cells [SUMMARY]
[CONTENT] Angiotensin II | PRO20 | (Pro)renin receptor | Renin activity | Vascular smooth muscle cells [SUMMARY]
[CONTENT] Angiotensin II | PRO20 | (Pro)renin receptor | Renin activity | Vascular smooth muscle cells [SUMMARY]
[CONTENT] Angiotensin II | Animals | Hypertension | Male | Muscle, Smooth, Vascular | Rats | Receptors, Cell Surface | Renin | Renin-Angiotensin System [SUMMARY]
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[CONTENT] Angiotensin II | Animals | Hypertension | Male | Muscle, Smooth, Vascular | Rats | Receptors, Cell Surface | Renin | Renin-Angiotensin System [SUMMARY]
[CONTENT] Angiotensin II | Animals | Hypertension | Male | Muscle, Smooth, Vascular | Rats | Receptors, Cell Surface | Renin | Renin-Angiotensin System [SUMMARY]
[CONTENT] Angiotensin II | Animals | Hypertension | Male | Muscle, Smooth, Vascular | Rats | Receptors, Cell Surface | Renin | Renin-Angiotensin System [SUMMARY]
[CONTENT] Angiotensin II | Animals | Hypertension | Male | Muscle, Smooth, Vascular | Rats | Receptors, Cell Surface | Renin | Renin-Angiotensin System [SUMMARY]
[CONTENT] effect angiotensin ii | angii induced kidney | renin levels angiotensin | renin angiotensin system | ras pathogenesis hypertension [SUMMARY]
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[CONTENT] effect angiotensin ii | angii induced kidney | renin levels angiotensin | renin angiotensin system | ras pathogenesis hypertension [SUMMARY]
[CONTENT] effect angiotensin ii | angii induced kidney | renin levels angiotensin | renin angiotensin system | ras pathogenesis hypertension [SUMMARY]
[CONTENT] effect angiotensin ii | angii induced kidney | renin levels angiotensin | renin angiotensin system | ras pathogenesis hypertension [SUMMARY]
[CONTENT] effect angiotensin ii | angii induced kidney | renin levels angiotensin | renin angiotensin system | ras pathogenesis hypertension [SUMMARY]
[CONTENT] angii | renin | pro20 | prr | renal | rats | intramedullary | activity | infusion | renin activity [SUMMARY]
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[CONTENT] angii | renin | pro20 | prr | renal | rats | intramedullary | activity | infusion | renin activity [SUMMARY]
[CONTENT] angii | renin | pro20 | prr | renal | rats | intramedullary | activity | infusion | renin activity [SUMMARY]
[CONTENT] angii | renin | pro20 | prr | renal | rats | intramedullary | activity | infusion | renin activity [SUMMARY]
[CONTENT] angii | renin | pro20 | prr | renal | rats | intramedullary | activity | infusion | renin activity [SUMMARY]
[CONTENT] ras | hypertension | prr | evidence | angii | renin | activation | variety | role | induced [SUMMARY]
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[CONTENT] angii | pro20 | renin | prr | im | fig | intramedullary | rats | renal | pro [SUMMARY]
[CONTENT] prr | demonstrate | novel | intramedullary | hypertension | pro20 | newly developed prr decoy | newly developed prr | angii induced hypertension demonstrate | study employed [SUMMARY]
[CONTENT] renin | prr | angii | pro20 | renal | rats | usa | hypertension | antibody | cell [SUMMARY]
[CONTENT] renin | prr | angii | pro20 | renal | rats | usa | hypertension | antibody | cell [SUMMARY]
[CONTENT] PRR ||| PRR | II ||| PRR | II [SUMMARY]
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[CONTENT] AngII | 108 | 5.8 | 164.7 | 6.2 ||| 128.6 | 5.8 ||| II ||| one week | II | PRR ||| PRR [SUMMARY]
[CONTENT] II [SUMMARY]
[CONTENT] PRR ||| PRR | II ||| PRR | II ||| AngII | 100 ng/kg | PRR ||| ||| one week ||| ||| AngII | 108 | 5.8 | 164.7 | 6.2 ||| 128.6 | 5.8 ||| II ||| one week | II | PRR ||| PRR ||| II [SUMMARY]
[CONTENT] PRR ||| PRR | II ||| PRR | II ||| AngII | 100 ng/kg | PRR ||| ||| one week ||| ||| AngII | 108 | 5.8 | 164.7 | 6.2 ||| 128.6 | 5.8 ||| II ||| one week | II | PRR ||| PRR ||| II [SUMMARY]
Value of light microscopy to diagnose urogenital gonorrhoea: a diagnostic test study in Indonesian clinic-based and outreach sexually transmitted infections services.
28801418
Gonorrhoea is a common sexually transmitted disease caused by Neisseria gonorrhoeae (Ng) infection. Light microscopy of urogenital smears is used as a simple tool to diagnose urogenital gonorrhoea in many resource-limited settings. We aimed to evaluate the accuracy of light microscopy to diagnose urogenital gonorrhoea as compared with a PCR-based test.
INTRODUCTION
In 2014, we examined 632 male urethral and 360 endocervical smears in clinic-based and outreach settings in Jakarta, Yogyakarta and Denpasar, Indonesia. Using the detection of Ng DNA by a validated PCR as reference test, we evaluated the accuracy of two light microscopic criteria to diagnose urogenital gonorrhoea in genital smears: (1) the presence of intracellular Gram-negative diplococci (IGND) and (2) ≥5 polymorphonuclear leucocytes (PMNL)/oil-immersion field (oif) in urethral or ≥20 PMNL/oif in endocervical smears.
METHODS
In male urethral smears, IGND testing had a sensitivity (95% CI), specificity (95% CI) and kappa±SE of 59.0% (50.1 to 67.4), 89.4% (86.3 to 91.9) and 0.49±0.04, respectively. For PMNL count, these were 59.0% (50.1 to 67.4), 83.7% (80.2 to 86.9) and 0.40±0.04, respectively. The accuracy of IGND in the clinic-based settings (72.0% (57.5 to 83.3), 95.2% (91.8 to 97.5) and 0.68±0.06, respectively) was better than in the outreach settings (51.2% (40.0 to 62.3), 83.4% (78.2 to 87.8) and 0.35±0.06, respectively). In endocervical smears, light microscopy performed poorly regardless of the setting or symptomatology, with kappas ranging from -0.09 to 0.24.
RESULTS
Light microscopy using IGND and PMNL criteria can be an option with moderate accuracy to diagnose urethral gonorrhoea among males in a clinic-based setting. The poor accuracy in detecting endocervical infections indicates an urgent need to implement advanced methods, such as PCR. Further investigations are needed to identify the poor diagnostic outcome in outreach services.
CONCLUSION
[ "Adolescent", "Adult", "Cervix Uteri", "Female", "Gonorrhea", "Humans", "Indonesia", "Male", "Microscopy", "Neisseria gonorrhoeae", "Neutrophils", "Polymerase Chain Reaction", "Sensitivity and Specificity", "Urethra", "Young Adult" ]
5629680
Introduction
Gonorrhoea, caused by Neisseria gonorrhoeae (Ng), is the second most common bacterial sexually transmitted infections (STIs) worldwide.1 The variety of diagnostic methods used in different settings and regions may influence the observed epidemiological patterns of gonorrhoea.1 2 Nowadays, nucleic acid amplification tests (NAATs) are considered the standard to diagnose gonorrhoea, both for male and female patients.3 However, NAAT is not always available due to high prices, the required infrastructure and the need for qualified personnel.4 As a result, a diagnostic method based on clinical symptoms and signs (syndromic approach) and/or light microscopic findings is currently the standard in many resource-limited countries, such as Indonesia.5 6 Furthermore, resources are also scarce in an outreach setting, a form of service used frequently to reach target groups who are at risk of STI but have poorer access to institutionalised health centres, for example, sex workers, men who have sex with men (MSM) and transwomen.7 Syndromic approach is considered to be sensitive and specific in symptomatic males.5 6 8 Yet, this approach has been increasingly criticised because of its poor performance in diagnosing gonorrhoea among females and asymptomatic individuals.8–11 As a consequence, antibiotics are both overused and underutilised, and this fuels antimicrobial resistance and spread of infections because of underdiagnosis.8–10 Thus, in addition to syndromic approach, light microscopic examination of Gram-stained smears to support a urogenital gonorrhoea diagnosis is recommended.2 6 12 Two light microscopic findings are used as a criterion for urogenital gonorrhoea: an elevated number of polymorphonuclear leucocytes (PMNLs) and the presence of intracellular Gram-negative diplococci (IGND).2 6 Since the widespread introduction of NAAT to screen for gonorrhoea is too costly and therefore not realistic in many resources-limited settings, we evaluated the performance of these two light microscopic criteria to diagnose urethral and endocervical gonorrhoea in clinic-based and outreach settings in three major cities in Indonesia: Jakarta, Yogyakarta and Denpasar, and compared them with detection of Ng with a PCR test (Ng-PCR) performed at the Public Health Laboratory of Amsterdam, the Netherlands.
Material and methods
This study was approved by the Medical and Health Research Ethics Committee (MHREC), Faculty of Medicine Universitas Gadjah Mada (#KE/FK/38/EC). Study population Between January and December 2014, two clinic-based and six outreach STI service facilities in Jakarta, Yogyakarta and Denpasar, Indonesia, recruited participants for the investigation of the epidemiology of urogenital gonorrhoea.13 The length of the recruitment period varied per clinic (from 1 month to 5 months). All accessible males, females and transwomen (who had not undergone genital reconstructive surgery) clients, who were aged 16 years or older at the day of inclusion and who provided written informed consent were consecutively screened regardless of other demographics and clinical characteristics. The original aim of the study was to estimate prevalence of gonorrhoea among STI clinic clients in Indonesia and to assess the antibiotic susceptibility patterns of N. gonorrhoeae strains found in these clients. The current study is a post hoc, exploratory analysis, and no formal sample size calculation was performed. Between January and December 2014, two clinic-based and six outreach STI service facilities in Jakarta, Yogyakarta and Denpasar, Indonesia, recruited participants for the investigation of the epidemiology of urogenital gonorrhoea.13 The length of the recruitment period varied per clinic (from 1 month to 5 months). All accessible males, females and transwomen (who had not undergone genital reconstructive surgery) clients, who were aged 16 years or older at the day of inclusion and who provided written informed consent were consecutively screened regardless of other demographics and clinical characteristics. The original aim of the study was to estimate prevalence of gonorrhoea among STI clinic clients in Indonesia and to assess the antibiotic susceptibility patterns of N. gonorrhoeae strains found in these clients. The current study is a post hoc, exploratory analysis, and no formal sample size calculation was performed. Data collection In the clinic-based setting, participants visited the clinics during regular service hours (daytime: 09:00–15:00; evening: 15:00–21:00), whereas in the outreach setting, healthcare providers visited the outreach venues, for example, community gatherings, saunas and massage parlours, not necessarily during regular service hours. We used a paper-based self-administered questionnaire to assess participants’ demographics, sexual history and clinical characteristics. In case of illiteracy or on request of the participant, a healthcare worker or counsellor assisted in completing the questionnaire. In the outreach setting, several participants might complete the questionnaire at the same moment. Symptomatic participants were defined as those who reported the presence of genital discharge and/or pain at the day of consultation. In both settings, samples were examined on site. A clinician collected one urogenital sample per participant (from the urethra of males and transwomen, or the endocervix of females) using an ESwab (Copan Italia S.P.A., Brescia, Italy)14 and produced the smear. A laboratory technician (with a minimum education in medical laboratory or biomedical science, and a training in performing light microscopy according to Indonesian national STI guideline,6) performed Gram staining and examined the samples by light microscopy. The first light microscopic criterion was the PMNLs count. The cut-off value for a positive result was prespecified according to the guideline as ≥5 PMNL/oil-immersion field (oif) for urethral samples and ≥20 PMNL/oif for endocervical samples.6 The second light microscopic criterion was the presence of IGND.6 From all participating clinics, collected urogenital samples were transferred in ESwab medium (Copan Italia S.P.A.) to the Research Laboratory Facility (Fasilitas Penelitian Bersama-FALITMA), Faculty of Biology Universitas Gadjah Mada in Yogyakarta, Indonesia, and stored at −80°C before they were transferred on dry ice to the reference laboratory at Public Health Service (GGD) of Amsterdam, the Netherlands, for Ng-PCR.14 At the reference laboratory, DNA was extracted from the samples by isopropanol precipitation. Presence of Ng was tested by detecting opa genes in the validated Ng-PCR, as described.15 The procedure was performed in the Rotorgene system (Qiagen N.V, Venlo, the Netherlands) using protocol, primers and probes, as described.16 Sensitivity and specificity of the PCR method in an earlier study were 95% and 99%, respectively.15 Performers of PCR were blinded for the results of light microscopy. The use of Indonesian national guideline for the management for STI for light microscopy6 and the protocol of the reference laboratory for the PCR ensured that all participants had complete and conclusive laboratory data for the analysis. A subset of samples that were IGND positive but were negative in Ng-PCR was sent to the Netherlands Reference Laboratory for Bacterial Meningitis, Amsterdam, for investigation of the presence of Neisseria meningitidis, as described.17 In addition, data on daily number of inclusions, number of samples examined and number and job description of staff involved in the study were collected from participating clinics as part of study administration. In the clinic-based setting, participants visited the clinics during regular service hours (daytime: 09:00–15:00; evening: 15:00–21:00), whereas in the outreach setting, healthcare providers visited the outreach venues, for example, community gatherings, saunas and massage parlours, not necessarily during regular service hours. We used a paper-based self-administered questionnaire to assess participants’ demographics, sexual history and clinical characteristics. In case of illiteracy or on request of the participant, a healthcare worker or counsellor assisted in completing the questionnaire. In the outreach setting, several participants might complete the questionnaire at the same moment. Symptomatic participants were defined as those who reported the presence of genital discharge and/or pain at the day of consultation. In both settings, samples were examined on site. A clinician collected one urogenital sample per participant (from the urethra of males and transwomen, or the endocervix of females) using an ESwab (Copan Italia S.P.A., Brescia, Italy)14 and produced the smear. A laboratory technician (with a minimum education in medical laboratory or biomedical science, and a training in performing light microscopy according to Indonesian national STI guideline,6) performed Gram staining and examined the samples by light microscopy. The first light microscopic criterion was the PMNLs count. The cut-off value for a positive result was prespecified according to the guideline as ≥5 PMNL/oil-immersion field (oif) for urethral samples and ≥20 PMNL/oif for endocervical samples.6 The second light microscopic criterion was the presence of IGND.6 From all participating clinics, collected urogenital samples were transferred in ESwab medium (Copan Italia S.P.A.) to the Research Laboratory Facility (Fasilitas Penelitian Bersama-FALITMA), Faculty of Biology Universitas Gadjah Mada in Yogyakarta, Indonesia, and stored at −80°C before they were transferred on dry ice to the reference laboratory at Public Health Service (GGD) of Amsterdam, the Netherlands, for Ng-PCR.14 At the reference laboratory, DNA was extracted from the samples by isopropanol precipitation. Presence of Ng was tested by detecting opa genes in the validated Ng-PCR, as described.15 The procedure was performed in the Rotorgene system (Qiagen N.V, Venlo, the Netherlands) using protocol, primers and probes, as described.16 Sensitivity and specificity of the PCR method in an earlier study were 95% and 99%, respectively.15 Performers of PCR were blinded for the results of light microscopy. The use of Indonesian national guideline for the management for STI for light microscopy6 and the protocol of the reference laboratory for the PCR ensured that all participants had complete and conclusive laboratory data for the analysis. A subset of samples that were IGND positive but were negative in Ng-PCR was sent to the Netherlands Reference Laboratory for Bacterial Meningitis, Amsterdam, for investigation of the presence of Neisseria meningitidis, as described.17 In addition, data on daily number of inclusions, number of samples examined and number and job description of staff involved in the study were collected from participating clinics as part of study administration. Statistical analysis Statistical analysis was performed in STATA V.13. Demographics, sexual history and clinical characteristics of the participants were described, overall and by service setting. Separate analyses of diagnostic accuracy were performed for urethral (from male and transwomen) and endocervical samples. Diagnostic accuracy of the two light microscopy criteria compared with the reference test, Ng-PCR, was assessed by calculating sensitivity, specificity, positive predictive value (PPV) and negative predictive value (NPV) and their 95% CI using two-by-two contingency tables, and also by calculating Cohen's kappa coefficient and its SE.18 We performed exploratory analyses to examine the differences in sensitivity and specificity by microscopy criteria (using McNemar's test) and by service settings and symptomatology (using χ2 test). We performed a post hoc analysis to describe participating clinic's performance. We described number and job description of staff involved in the study. Clinic's workload was described as the number of samples examined per hour based on daily number of inclusions, number of samples examined and time spent for sample analysis (estimated). Statistical analysis was performed in STATA V.13. Demographics, sexual history and clinical characteristics of the participants were described, overall and by service setting. Separate analyses of diagnostic accuracy were performed for urethral (from male and transwomen) and endocervical samples. Diagnostic accuracy of the two light microscopy criteria compared with the reference test, Ng-PCR, was assessed by calculating sensitivity, specificity, positive predictive value (PPV) and negative predictive value (NPV) and their 95% CI using two-by-two contingency tables, and also by calculating Cohen's kappa coefficient and its SE.18 We performed exploratory analyses to examine the differences in sensitivity and specificity by microscopy criteria (using McNemar's test) and by service settings and symptomatology (using χ2 test). We performed a post hoc analysis to describe participating clinic's performance. We described number and job description of staff involved in the study. Clinic's workload was described as the number of samples examined per hour based on daily number of inclusions, number of samples examined and time spent for sample analysis (estimated).
Results
Characteristics of participants and participating clinics In total, data of 992 participants were examined: 632 males (including 97 transwomen) (table 1, supplementary figures 1–3) and 360 females (table 2, online supplementary figures 4–6). Part of the study population and their characteristics were included in an earlier report.13 Of the males, 47.6% were recruited in clinic-based and 52.4% in outreach settings, 53.6% were MSM and 17.3% had symptoms. Of the females, 92.2% were recruited in outreach settings, 86.4% were sex workers and 28.1% had symptoms. Demographics and clinical characteristics of 632 male/transwoman participants recruited in Jakarta, Yogyakarta and Denpasar (January–December 2014) *Median value with IQR. †In the preceding 3 months, including the day of consultation. ‡Reported genital discharge and/or genital pain at the day of consultation. §In the preceding 3 months, not including the day of consultation. ¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables. STI, sexually transmitted infection. Demographics and clinical characteristics of 360 female participants recruited in Jakarta and Yogyakarta (January–December 2014) *Median value with IQR. †In the preceding 3 months, including the day of consultation. ‡Reported genital discharge and/or genital pain at the day of consultation. §In the preceding 3 months, not including the day of consultation. ¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables. STI, sexually transmitted infection. Among participants visiting clinic-based settings, the proportion of those who were symptomatic was higher (22.6% and 60.7%, respectively, for males and females) than among participants who were seen in the outreach settings (12.4% and 25.3%). Participants seen in the outreach setting were more often notified by a partner (37.5% and 25.6%, respectively, for males and females) than participants seen in the clinic-based settings (14.9% and 3.6%). In addition, most of male (55.9%) and female participants (84.4%) in the outreach settings reported sexual activity in the 3 days preceding the day of consultation, while this was only 22.6% and 32.1% respectively of those visiting the clinic-based settings. In the post hoc estimation, total sample analysis time spent in clinic-based and outreach settings during the study period was estimated to be 512 and 276 hours, respectively, and the workload was estimated to be 0.54 and 2.40 samples per hour, respectively (see table 3). Clinical workload in the participating clinics during participants recruitment period in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014) *Inclusion day is defined as the day when participating clinic recruited participants for the study (post hoc calculation). †Sample analysis time is defined as total duration (in hours) of time spent in the participating clinics for analysing participants’ sample, estimated to be 6 hours/inclusion day regardless service setting (post hoc estimation). ‡Workload per hour is defined as average number of samples analysed per hour. §Medical student trained in questionnaire administration of this study. ¶General practitioner trained in sexual health. GP, general practitioner. In total, data of 992 participants were examined: 632 males (including 97 transwomen) (table 1, supplementary figures 1–3) and 360 females (table 2, online supplementary figures 4–6). Part of the study population and their characteristics were included in an earlier report.13 Of the males, 47.6% were recruited in clinic-based and 52.4% in outreach settings, 53.6% were MSM and 17.3% had symptoms. Of the females, 92.2% were recruited in outreach settings, 86.4% were sex workers and 28.1% had symptoms. Demographics and clinical characteristics of 632 male/transwoman participants recruited in Jakarta, Yogyakarta and Denpasar (January–December 2014) *Median value with IQR. †In the preceding 3 months, including the day of consultation. ‡Reported genital discharge and/or genital pain at the day of consultation. §In the preceding 3 months, not including the day of consultation. ¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables. STI, sexually transmitted infection. Demographics and clinical characteristics of 360 female participants recruited in Jakarta and Yogyakarta (January–December 2014) *Median value with IQR. †In the preceding 3 months, including the day of consultation. ‡Reported genital discharge and/or genital pain at the day of consultation. §In the preceding 3 months, not including the day of consultation. ¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables. STI, sexually transmitted infection. Among participants visiting clinic-based settings, the proportion of those who were symptomatic was higher (22.6% and 60.7%, respectively, for males and females) than among participants who were seen in the outreach settings (12.4% and 25.3%). Participants seen in the outreach setting were more often notified by a partner (37.5% and 25.6%, respectively, for males and females) than participants seen in the clinic-based settings (14.9% and 3.6%). In addition, most of male (55.9%) and female participants (84.4%) in the outreach settings reported sexual activity in the 3 days preceding the day of consultation, while this was only 22.6% and 32.1% respectively of those visiting the clinic-based settings. In the post hoc estimation, total sample analysis time spent in clinic-based and outreach settings during the study period was estimated to be 512 and 276 hours, respectively, and the workload was estimated to be 0.54 and 2.40 samples per hour, respectively (see table 3). Clinical workload in the participating clinics during participants recruitment period in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014) *Inclusion day is defined as the day when participating clinic recruited participants for the study (post hoc calculation). †Sample analysis time is defined as total duration (in hours) of time spent in the participating clinics for analysing participants’ sample, estimated to be 6 hours/inclusion day regardless service setting (post hoc estimation). ‡Workload per hour is defined as average number of samples analysed per hour. §Medical student trained in questionnaire administration of this study. ¶General practitioner trained in sexual health. GP, general practitioner. Diagnostic accuracy of light microscopy results compared with Ng-PCR The prevalence of urogenital gonorrhoea based on Ng-PCR in this study population was 21.2% in males/transwomen (table 4) and 28.9% in women (table 5). The prevalence in males/transwomen was 16.6% and 25.4%, respectively, for the clinic-based setting and for the outreach setting (χ2 test, p<0.01). In women, this was 42.9% and 27.7% (χ2 test, p=0.09). Accuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 632 males/transwomen in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014) *Reported genital discharge and/or genital pain at the day of consultation. IGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value. Accuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 360 females in Jakarta and Yogyakarta, Indonesia (January–December 2014) *Reported genital discharge and/or genital pain at the day of consultation. IGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value. For urethral infections in males/transwomen, sensitivity (95% CI), specificity (95% CI) and kappa±SE of PMNL were 59.0% (50.1 to 67.4), 83.7% (80.2–86.9) and 0.40±0.04 and of IGND were 59.0% (50.1 to 67.4), 89.4% (86.3 to 91.9) and 0.49±0.04, respectively (table 4). IGND and PMNL differed significantly in specificity (χ2 test, p<0.001). Using IGND as diagnostic criterion for urethral gonorrhoea, clinic-based settings performed better (72.0% (57.5 to 83.8), 95.2% (91.8 to 97.5) and 0.68±0.06) than outreach settings (51.2% (40.0 to 62.3), 83.4% (78.2 to 87.8) and 0.35±0.06). We also observed a better performance in clinic-based settings compared with outreach settings when PMNL was used as the diagnostic criterion. Both IGND and PMNL gave better accuracy if compared with syndromic approach. Sensitivity, specificity and kappa±SE of syndromic approach for males/transwomen was 20.2% (13.7 to 28.0), 83.5% (80.0 to 86.7) and 0.04±0.04, respectively. For endocervical infection in females, overall sensitivity, specificity and kappa±SE of PMNL were respectively 31.7% (23.0 to 41.6), 68.0% (61.9 to 73.6) and 0.00±0.05, respectively; of IGND, these were 31.7% (23.0 to 41.6), 84.8% (79.8 to 88.9) and 0.18±0.05, respectively (table 5). The difference in specificity between IGND and PMNL was significant (Χ2 test, p<0.001). Performances of microscopy were not significantly different from syndromic approach. For both urethral and endocervical samples, we observed that all samples that were positive for IGND were also positive for the PMNL criterion. In addition, out of 53 male urethral and 39 endocervical samples that were IGDN positive but Ng-PCR negative, none of the samples were positive for N. meningitidis DNA. The prevalence of urogenital gonorrhoea based on Ng-PCR in this study population was 21.2% in males/transwomen (table 4) and 28.9% in women (table 5). The prevalence in males/transwomen was 16.6% and 25.4%, respectively, for the clinic-based setting and for the outreach setting (χ2 test, p<0.01). In women, this was 42.9% and 27.7% (χ2 test, p=0.09). Accuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 632 males/transwomen in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014) *Reported genital discharge and/or genital pain at the day of consultation. IGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value. Accuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 360 females in Jakarta and Yogyakarta, Indonesia (January–December 2014) *Reported genital discharge and/or genital pain at the day of consultation. IGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value. For urethral infections in males/transwomen, sensitivity (95% CI), specificity (95% CI) and kappa±SE of PMNL were 59.0% (50.1 to 67.4), 83.7% (80.2–86.9) and 0.40±0.04 and of IGND were 59.0% (50.1 to 67.4), 89.4% (86.3 to 91.9) and 0.49±0.04, respectively (table 4). IGND and PMNL differed significantly in specificity (χ2 test, p<0.001). Using IGND as diagnostic criterion for urethral gonorrhoea, clinic-based settings performed better (72.0% (57.5 to 83.8), 95.2% (91.8 to 97.5) and 0.68±0.06) than outreach settings (51.2% (40.0 to 62.3), 83.4% (78.2 to 87.8) and 0.35±0.06). We also observed a better performance in clinic-based settings compared with outreach settings when PMNL was used as the diagnostic criterion. Both IGND and PMNL gave better accuracy if compared with syndromic approach. Sensitivity, specificity and kappa±SE of syndromic approach for males/transwomen was 20.2% (13.7 to 28.0), 83.5% (80.0 to 86.7) and 0.04±0.04, respectively. For endocervical infection in females, overall sensitivity, specificity and kappa±SE of PMNL were respectively 31.7% (23.0 to 41.6), 68.0% (61.9 to 73.6) and 0.00±0.05, respectively; of IGND, these were 31.7% (23.0 to 41.6), 84.8% (79.8 to 88.9) and 0.18±0.05, respectively (table 5). The difference in specificity between IGND and PMNL was significant (Χ2 test, p<0.001). Performances of microscopy were not significantly different from syndromic approach. For both urethral and endocervical samples, we observed that all samples that were positive for IGND were also positive for the PMNL criterion. In addition, out of 53 male urethral and 39 endocervical samples that were IGDN positive but Ng-PCR negative, none of the samples were positive for N. meningitidis DNA.
Conclusions
A moderate accuracy of IGND as a light microscopic criterion implies that it can be used as an option for diagnosing urethral gonorrhoea in males/transwomen in low resource settings. Based on its poor performance, using light microscopy for diagnosing endocervical infection should be discouraged. More advanced methods, such as NAAT, should be considered if financial resources are available, especially for endocervical infections, and to screen asymptomatic individuals. Further studies are needed to determine whether the poor performance in the outreach settings was associated with clinical workload, instrumental and technical problems and/or environmental factors.
[ "Study population", "Data collection", "Statistical analysis", "Characteristics of participants and participating clinics", "Diagnostic accuracy of light microscopy results compared with Ng-PCR", "Limitations and strengths of the study" ]
[ "Between January and December 2014, two clinic-based and six outreach STI service facilities in Jakarta, Yogyakarta and Denpasar, Indonesia, recruited participants for the investigation of the epidemiology of urogenital gonorrhoea.13 The length of the recruitment period varied per clinic (from 1 month to 5 months). All accessible males, females and transwomen (who had not undergone genital reconstructive surgery) clients, who were aged 16 years or older at the day of inclusion and who provided written informed consent were consecutively screened regardless of other demographics and clinical characteristics.\nThe original aim of the study was to estimate prevalence of gonorrhoea among STI clinic clients in Indonesia and to assess the antibiotic susceptibility patterns of N. gonorrhoeae strains found in these clients. The current study is a post hoc, exploratory analysis, and no formal sample size calculation was performed.", "In the clinic-based setting, participants visited the clinics during regular service hours (daytime: 09:00–15:00; evening: 15:00–21:00), whereas in the outreach setting, healthcare providers visited the outreach venues, for example, community gatherings, saunas and massage parlours, not necessarily during regular service hours.\nWe used a paper-based self-administered questionnaire to assess participants’ demographics, sexual history and clinical characteristics. In case of illiteracy or on request of the participant, a healthcare worker or counsellor assisted in completing the questionnaire. In the outreach setting, several participants might complete the questionnaire at the same moment.\nSymptomatic participants were defined as those who reported the presence of genital discharge and/or pain at the day of consultation.\nIn both settings, samples were examined on site. A clinician collected one urogenital sample per participant (from the urethra of males and transwomen, or the endocervix of females) using an ESwab (Copan Italia S.P.A., Brescia, Italy)14 and produced the smear. A laboratory technician (with a minimum education in medical laboratory or biomedical science, and a training in performing light microscopy according to Indonesian national STI guideline,6) performed Gram staining and examined the samples by light microscopy. The first light microscopic criterion was the PMNLs count. The cut-off value for a positive result was prespecified according to the guideline as ≥5 PMNL/oil-immersion field (oif) for urethral samples and ≥20 PMNL/oif for endocervical samples.6 The second light microscopic criterion was the presence of IGND.6\n\nFrom all participating clinics, collected urogenital samples were transferred in ESwab medium (Copan Italia S.P.A.) to the Research Laboratory Facility (Fasilitas Penelitian Bersama-FALITMA), Faculty of Biology Universitas Gadjah Mada in Yogyakarta, Indonesia, and stored at −80°C before they were transferred on dry ice to the reference laboratory at Public Health Service (GGD) of Amsterdam, the Netherlands, for Ng-PCR.14 At the reference laboratory, DNA was extracted from the samples by isopropanol precipitation. Presence of Ng was tested by detecting opa genes in the validated Ng-PCR, as described.15 The procedure was performed in the Rotorgene system (Qiagen N.V, Venlo, the Netherlands) using protocol, primers and probes, as described.16 Sensitivity and specificity of the PCR method in an earlier study were 95% and 99%, respectively.15 Performers of PCR were blinded for the results of light microscopy. The use of Indonesian national guideline for the management for STI for light microscopy6 and the protocol of the reference laboratory for the PCR ensured that all participants had complete and conclusive laboratory data for the analysis. A subset of samples that were IGND positive but were negative in Ng-PCR was sent to the Netherlands Reference Laboratory for Bacterial Meningitis, Amsterdam, for investigation of the presence of Neisseria meningitidis, as described.17\n\nIn addition, data on daily number of inclusions, number of samples examined and number and job description of staff involved in the study were collected from participating clinics as part of study administration.", "Statistical analysis was performed in STATA V.13. Demographics, sexual history and clinical characteristics of the participants were described, overall and by service setting.\nSeparate analyses of diagnostic accuracy were performed for urethral (from male and transwomen) and endocervical samples. Diagnostic accuracy of the two light microscopy criteria compared with the reference test, Ng-PCR, was assessed by calculating sensitivity, specificity, positive predictive value (PPV) and negative predictive value (NPV) and their 95% CI using two-by-two contingency tables, and also by calculating Cohen's kappa coefficient and its SE.18 We performed exploratory analyses to examine the differences in sensitivity and specificity by microscopy criteria (using McNemar's test) and by service settings and symptomatology (using χ2 test).\nWe performed a post hoc analysis to describe participating clinic's performance. We described number and job description of staff involved in the study. Clinic's workload was described as the number of samples examined per hour based on daily number of inclusions, number of samples examined and time spent for sample analysis (estimated).", "In total, data of 992 participants were examined: 632 males (including 97 transwomen) (table 1, supplementary figures 1–3) and 360 females (table 2, online supplementary figures 4–6). Part of the study population and their characteristics were included in an earlier report.13 Of the males, 47.6% were recruited in clinic-based and 52.4% in outreach settings, 53.6% were MSM and 17.3% had symptoms. Of the females, 92.2% were recruited in outreach settings, 86.4% were sex workers and 28.1% had symptoms.\n\n\n\nDemographics and clinical characteristics of 632 male/transwoman participants recruited in Jakarta, Yogyakarta and Denpasar (January–December 2014)\n*Median value with IQR.\n†In the preceding 3 months, including the day of consultation.\n‡Reported genital discharge and/or genital pain at the day of consultation.\n§In the preceding 3 months, not including the day of consultation.\n¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables.\nSTI, sexually transmitted infection.\nDemographics and clinical characteristics of 360 female participants recruited in Jakarta and Yogyakarta (January–December 2014)\n*Median value with IQR.\n†In the preceding 3 months, including the day of consultation.\n‡Reported genital discharge and/or genital pain at the day of consultation.\n§In the preceding 3 months, not including the day of consultation.\n¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables.\nSTI, sexually transmitted infection.\nAmong participants visiting clinic-based settings, the proportion of those who were symptomatic was higher (22.6% and 60.7%, respectively, for males and females) than among participants who were seen in the outreach settings (12.4% and 25.3%). Participants seen in the outreach setting were more often notified by a partner (37.5% and 25.6%, respectively, for males and females) than participants seen in the clinic-based settings (14.9% and 3.6%). In addition, most of male (55.9%) and female participants (84.4%) in the outreach settings reported sexual activity in the 3 days preceding the day of consultation, while this was only 22.6% and 32.1% respectively of those visiting the clinic-based settings.\nIn the post hoc estimation, total sample analysis time spent in clinic-based and outreach settings during the study period was estimated to be 512 and 276 hours, respectively, and the workload was estimated to be 0.54 and 2.40 samples per hour, respectively (see table 3).\nClinical workload in the participating clinics during participants recruitment period in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014)\n*Inclusion day is defined as the day when participating clinic recruited participants for the study (post hoc calculation).\n†Sample analysis time is defined as total duration (in hours) of time spent in the participating clinics for analysing participants’ sample, estimated to be 6 hours/inclusion day regardless service setting (post hoc estimation).\n‡Workload per hour is defined as average number of samples analysed per hour.\n§Medical student trained in questionnaire administration of this study.\n¶General practitioner trained in sexual health.\nGP, general practitioner.", "The prevalence of urogenital gonorrhoea based on Ng-PCR in this study population was 21.2% in males/transwomen (table 4) and 28.9% in women (table 5). The prevalence in males/transwomen was 16.6% and 25.4%, respectively, for the clinic-based setting and for the outreach setting (χ2 test, p<0.01). In women, this was 42.9% and 27.7% (χ2 test, p=0.09).\nAccuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 632 males/transwomen in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014)\n*Reported genital discharge and/or genital pain at the day of consultation.\nIGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value.\nAccuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 360 females in Jakarta and Yogyakarta, Indonesia (January–December 2014)\n*Reported genital discharge and/or genital pain at the day of consultation.\nIGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value.\nFor urethral infections in males/transwomen, sensitivity (95% CI), specificity (95% CI) and kappa±SE of PMNL were 59.0% (50.1 to 67.4), 83.7% (80.2–86.9) and 0.40±0.04 and of IGND were 59.0% (50.1 to 67.4), 89.4% (86.3 to 91.9) and 0.49±0.04, respectively (table 4). IGND and PMNL differed significantly in specificity (χ2 test, p<0.001). Using IGND as diagnostic criterion for urethral gonorrhoea, clinic-based settings performed better (72.0% (57.5 to 83.8), 95.2% (91.8 to 97.5) and 0.68±0.06) than outreach settings (51.2% (40.0 to 62.3), 83.4% (78.2 to 87.8) and 0.35±0.06).\nWe also observed a better performance in clinic-based settings compared with outreach settings when PMNL was used as the diagnostic criterion. Both IGND and PMNL gave better accuracy if compared with syndromic approach. Sensitivity, specificity and kappa±SE of syndromic approach for males/transwomen was 20.2% (13.7 to 28.0), 83.5% (80.0 to 86.7) and 0.04±0.04, respectively.\nFor endocervical infection in females, overall sensitivity, specificity and kappa±SE of PMNL were respectively 31.7% (23.0 to 41.6), 68.0% (61.9 to 73.6) and 0.00±0.05, respectively; of IGND, these were 31.7% (23.0 to 41.6), 84.8% (79.8 to 88.9) and 0.18±0.05, respectively (table 5). The difference in specificity between IGND and PMNL was significant (Χ2 test, p<0.001). Performances of microscopy were not significantly different from syndromic approach.\nFor both urethral and endocervical samples, we observed that all samples that were positive for IGND were also positive for the PMNL criterion. In addition, out of 53 male urethral and 39 endocervical samples that were IGDN positive but Ng-PCR negative, none of the samples were positive for N. meningitidis DNA.", "Our study has several limitations. We did not have any data regarding the numbers and characteristics of STI clients who were potentially eligible but refused to participate in the study. A good comparison of the accuracy of light microscopy in diagnosing endocervical infections between clinic-based and outreach setting was difficult because of the disproportion in the number of females recruited in the two settings. Most female participants, who were sex workers, were recruited in outreach settings. This was probably related to confidential, non-judgemental and free-of-charge STI services in the outreach settings, which were preferred by the members of key populations, including female sex workers.29 30 Our study was conducted in a population with high gonorrhoea prevalence; this needs to be considered in generalising our findings to other settings. In addition, definition of accuracy level based on kappa is arbitrary and is subject to multiple interpretations.18\n\nThe technical fluency among clinicians and laboratory technicians working in clinic-based settings as opposed to outreach settings may differ and influence the outcome,7 but this was not evaluated in our study. Furthermore, the clinical workload was not prospectively measured but estimated in a post hoc analysis.\nOur study has also several strengths. This is the first study to evaluate light microscopy criteria to diagnose urogenital gonorrhoea in Indonesia. The study was performed in several participating clinics in three major cities in the country. In addition, to our knowledge, our observation regarding variability of the diagnostic accuracy by service setting has not been reported in earlier studies." ]
[ null, null, null, null, null, null ]
[ "Introduction", "Material and methods", "Study population", "Data collection", "Statistical analysis", "Results", "Characteristics of participants and participating clinics", "Diagnostic accuracy of light microscopy results compared with Ng-PCR", "Discussion", "Limitations and strengths of the study", "Conclusions", "Supplementary Material" ]
[ "Gonorrhoea, caused by Neisseria gonorrhoeae (Ng), is the second most common bacterial sexually transmitted infections (STIs) worldwide.1 The variety of diagnostic methods used in different settings and regions may influence the observed epidemiological patterns of gonorrhoea.1 2\n\nNowadays, nucleic acid amplification tests (NAATs) are considered the standard to diagnose gonorrhoea, both for male and female patients.3 However, NAAT is not always available due to high prices, the required infrastructure and the need for qualified personnel.4 As a result, a diagnostic method based on clinical symptoms and signs (syndromic approach) and/or light microscopic findings is currently the standard in many resource-limited countries, such as Indonesia.5 6 Furthermore, resources are also scarce in an outreach setting, a form of service used frequently to reach target groups who are at risk of STI but have poorer access to institutionalised health centres, for example, sex workers, men who have sex with men (MSM) and transwomen.7\n\nSyndromic approach is considered to be sensitive and specific in symptomatic males.5 6 8 Yet, this approach has been increasingly criticised because of its poor performance in diagnosing gonorrhoea among females and asymptomatic individuals.8–11 As a consequence, antibiotics are both overused and underutilised, and this fuels antimicrobial resistance and spread of infections because of underdiagnosis.8–10\n\nThus, in addition to syndromic approach, light microscopic examination of Gram-stained smears to support a urogenital gonorrhoea diagnosis is recommended.2 6 12 Two light microscopic findings are used as a criterion for urogenital gonorrhoea: an elevated number of polymorphonuclear leucocytes (PMNLs) and the presence of intracellular Gram-negative diplococci (IGND).2 6\n\nSince the widespread introduction of NAAT to screen for gonorrhoea is too costly and therefore not realistic in many resources-limited settings, we evaluated the performance of these two light microscopic criteria to diagnose urethral and endocervical gonorrhoea in clinic-based and outreach settings in three major cities in Indonesia: Jakarta, Yogyakarta and Denpasar, and compared them with detection of Ng with a PCR test (Ng-PCR) performed at the Public Health Laboratory of Amsterdam, the Netherlands.", "This study was approved by the Medical and Health Research Ethics Committee (MHREC), Faculty of Medicine Universitas Gadjah Mada (#KE/FK/38/EC).\n Study population Between January and December 2014, two clinic-based and six outreach STI service facilities in Jakarta, Yogyakarta and Denpasar, Indonesia, recruited participants for the investigation of the epidemiology of urogenital gonorrhoea.13 The length of the recruitment period varied per clinic (from 1 month to 5 months). All accessible males, females and transwomen (who had not undergone genital reconstructive surgery) clients, who were aged 16 years or older at the day of inclusion and who provided written informed consent were consecutively screened regardless of other demographics and clinical characteristics.\nThe original aim of the study was to estimate prevalence of gonorrhoea among STI clinic clients in Indonesia and to assess the antibiotic susceptibility patterns of N. gonorrhoeae strains found in these clients. The current study is a post hoc, exploratory analysis, and no formal sample size calculation was performed.\nBetween January and December 2014, two clinic-based and six outreach STI service facilities in Jakarta, Yogyakarta and Denpasar, Indonesia, recruited participants for the investigation of the epidemiology of urogenital gonorrhoea.13 The length of the recruitment period varied per clinic (from 1 month to 5 months). All accessible males, females and transwomen (who had not undergone genital reconstructive surgery) clients, who were aged 16 years or older at the day of inclusion and who provided written informed consent were consecutively screened regardless of other demographics and clinical characteristics.\nThe original aim of the study was to estimate prevalence of gonorrhoea among STI clinic clients in Indonesia and to assess the antibiotic susceptibility patterns of N. gonorrhoeae strains found in these clients. The current study is a post hoc, exploratory analysis, and no formal sample size calculation was performed.\n Data collection In the clinic-based setting, participants visited the clinics during regular service hours (daytime: 09:00–15:00; evening: 15:00–21:00), whereas in the outreach setting, healthcare providers visited the outreach venues, for example, community gatherings, saunas and massage parlours, not necessarily during regular service hours.\nWe used a paper-based self-administered questionnaire to assess participants’ demographics, sexual history and clinical characteristics. In case of illiteracy or on request of the participant, a healthcare worker or counsellor assisted in completing the questionnaire. In the outreach setting, several participants might complete the questionnaire at the same moment.\nSymptomatic participants were defined as those who reported the presence of genital discharge and/or pain at the day of consultation.\nIn both settings, samples were examined on site. A clinician collected one urogenital sample per participant (from the urethra of males and transwomen, or the endocervix of females) using an ESwab (Copan Italia S.P.A., Brescia, Italy)14 and produced the smear. A laboratory technician (with a minimum education in medical laboratory or biomedical science, and a training in performing light microscopy according to Indonesian national STI guideline,6) performed Gram staining and examined the samples by light microscopy. The first light microscopic criterion was the PMNLs count. The cut-off value for a positive result was prespecified according to the guideline as ≥5 PMNL/oil-immersion field (oif) for urethral samples and ≥20 PMNL/oif for endocervical samples.6 The second light microscopic criterion was the presence of IGND.6\n\nFrom all participating clinics, collected urogenital samples were transferred in ESwab medium (Copan Italia S.P.A.) to the Research Laboratory Facility (Fasilitas Penelitian Bersama-FALITMA), Faculty of Biology Universitas Gadjah Mada in Yogyakarta, Indonesia, and stored at −80°C before they were transferred on dry ice to the reference laboratory at Public Health Service (GGD) of Amsterdam, the Netherlands, for Ng-PCR.14 At the reference laboratory, DNA was extracted from the samples by isopropanol precipitation. Presence of Ng was tested by detecting opa genes in the validated Ng-PCR, as described.15 The procedure was performed in the Rotorgene system (Qiagen N.V, Venlo, the Netherlands) using protocol, primers and probes, as described.16 Sensitivity and specificity of the PCR method in an earlier study were 95% and 99%, respectively.15 Performers of PCR were blinded for the results of light microscopy. The use of Indonesian national guideline for the management for STI for light microscopy6 and the protocol of the reference laboratory for the PCR ensured that all participants had complete and conclusive laboratory data for the analysis. A subset of samples that were IGND positive but were negative in Ng-PCR was sent to the Netherlands Reference Laboratory for Bacterial Meningitis, Amsterdam, for investigation of the presence of Neisseria meningitidis, as described.17\n\nIn addition, data on daily number of inclusions, number of samples examined and number and job description of staff involved in the study were collected from participating clinics as part of study administration.\nIn the clinic-based setting, participants visited the clinics during regular service hours (daytime: 09:00–15:00; evening: 15:00–21:00), whereas in the outreach setting, healthcare providers visited the outreach venues, for example, community gatherings, saunas and massage parlours, not necessarily during regular service hours.\nWe used a paper-based self-administered questionnaire to assess participants’ demographics, sexual history and clinical characteristics. In case of illiteracy or on request of the participant, a healthcare worker or counsellor assisted in completing the questionnaire. In the outreach setting, several participants might complete the questionnaire at the same moment.\nSymptomatic participants were defined as those who reported the presence of genital discharge and/or pain at the day of consultation.\nIn both settings, samples were examined on site. A clinician collected one urogenital sample per participant (from the urethra of males and transwomen, or the endocervix of females) using an ESwab (Copan Italia S.P.A., Brescia, Italy)14 and produced the smear. A laboratory technician (with a minimum education in medical laboratory or biomedical science, and a training in performing light microscopy according to Indonesian national STI guideline,6) performed Gram staining and examined the samples by light microscopy. The first light microscopic criterion was the PMNLs count. The cut-off value for a positive result was prespecified according to the guideline as ≥5 PMNL/oil-immersion field (oif) for urethral samples and ≥20 PMNL/oif for endocervical samples.6 The second light microscopic criterion was the presence of IGND.6\n\nFrom all participating clinics, collected urogenital samples were transferred in ESwab medium (Copan Italia S.P.A.) to the Research Laboratory Facility (Fasilitas Penelitian Bersama-FALITMA), Faculty of Biology Universitas Gadjah Mada in Yogyakarta, Indonesia, and stored at −80°C before they were transferred on dry ice to the reference laboratory at Public Health Service (GGD) of Amsterdam, the Netherlands, for Ng-PCR.14 At the reference laboratory, DNA was extracted from the samples by isopropanol precipitation. Presence of Ng was tested by detecting opa genes in the validated Ng-PCR, as described.15 The procedure was performed in the Rotorgene system (Qiagen N.V, Venlo, the Netherlands) using protocol, primers and probes, as described.16 Sensitivity and specificity of the PCR method in an earlier study were 95% and 99%, respectively.15 Performers of PCR were blinded for the results of light microscopy. The use of Indonesian national guideline for the management for STI for light microscopy6 and the protocol of the reference laboratory for the PCR ensured that all participants had complete and conclusive laboratory data for the analysis. A subset of samples that were IGND positive but were negative in Ng-PCR was sent to the Netherlands Reference Laboratory for Bacterial Meningitis, Amsterdam, for investigation of the presence of Neisseria meningitidis, as described.17\n\nIn addition, data on daily number of inclusions, number of samples examined and number and job description of staff involved in the study were collected from participating clinics as part of study administration.\n Statistical analysis Statistical analysis was performed in STATA V.13. Demographics, sexual history and clinical characteristics of the participants were described, overall and by service setting.\nSeparate analyses of diagnostic accuracy were performed for urethral (from male and transwomen) and endocervical samples. Diagnostic accuracy of the two light microscopy criteria compared with the reference test, Ng-PCR, was assessed by calculating sensitivity, specificity, positive predictive value (PPV) and negative predictive value (NPV) and their 95% CI using two-by-two contingency tables, and also by calculating Cohen's kappa coefficient and its SE.18 We performed exploratory analyses to examine the differences in sensitivity and specificity by microscopy criteria (using McNemar's test) and by service settings and symptomatology (using χ2 test).\nWe performed a post hoc analysis to describe participating clinic's performance. We described number and job description of staff involved in the study. Clinic's workload was described as the number of samples examined per hour based on daily number of inclusions, number of samples examined and time spent for sample analysis (estimated).\nStatistical analysis was performed in STATA V.13. Demographics, sexual history and clinical characteristics of the participants were described, overall and by service setting.\nSeparate analyses of diagnostic accuracy were performed for urethral (from male and transwomen) and endocervical samples. Diagnostic accuracy of the two light microscopy criteria compared with the reference test, Ng-PCR, was assessed by calculating sensitivity, specificity, positive predictive value (PPV) and negative predictive value (NPV) and their 95% CI using two-by-two contingency tables, and also by calculating Cohen's kappa coefficient and its SE.18 We performed exploratory analyses to examine the differences in sensitivity and specificity by microscopy criteria (using McNemar's test) and by service settings and symptomatology (using χ2 test).\nWe performed a post hoc analysis to describe participating clinic's performance. We described number and job description of staff involved in the study. Clinic's workload was described as the number of samples examined per hour based on daily number of inclusions, number of samples examined and time spent for sample analysis (estimated).", "Between January and December 2014, two clinic-based and six outreach STI service facilities in Jakarta, Yogyakarta and Denpasar, Indonesia, recruited participants for the investigation of the epidemiology of urogenital gonorrhoea.13 The length of the recruitment period varied per clinic (from 1 month to 5 months). All accessible males, females and transwomen (who had not undergone genital reconstructive surgery) clients, who were aged 16 years or older at the day of inclusion and who provided written informed consent were consecutively screened regardless of other demographics and clinical characteristics.\nThe original aim of the study was to estimate prevalence of gonorrhoea among STI clinic clients in Indonesia and to assess the antibiotic susceptibility patterns of N. gonorrhoeae strains found in these clients. The current study is a post hoc, exploratory analysis, and no formal sample size calculation was performed.", "In the clinic-based setting, participants visited the clinics during regular service hours (daytime: 09:00–15:00; evening: 15:00–21:00), whereas in the outreach setting, healthcare providers visited the outreach venues, for example, community gatherings, saunas and massage parlours, not necessarily during regular service hours.\nWe used a paper-based self-administered questionnaire to assess participants’ demographics, sexual history and clinical characteristics. In case of illiteracy or on request of the participant, a healthcare worker or counsellor assisted in completing the questionnaire. In the outreach setting, several participants might complete the questionnaire at the same moment.\nSymptomatic participants were defined as those who reported the presence of genital discharge and/or pain at the day of consultation.\nIn both settings, samples were examined on site. A clinician collected one urogenital sample per participant (from the urethra of males and transwomen, or the endocervix of females) using an ESwab (Copan Italia S.P.A., Brescia, Italy)14 and produced the smear. A laboratory technician (with a minimum education in medical laboratory or biomedical science, and a training in performing light microscopy according to Indonesian national STI guideline,6) performed Gram staining and examined the samples by light microscopy. The first light microscopic criterion was the PMNLs count. The cut-off value for a positive result was prespecified according to the guideline as ≥5 PMNL/oil-immersion field (oif) for urethral samples and ≥20 PMNL/oif for endocervical samples.6 The second light microscopic criterion was the presence of IGND.6\n\nFrom all participating clinics, collected urogenital samples were transferred in ESwab medium (Copan Italia S.P.A.) to the Research Laboratory Facility (Fasilitas Penelitian Bersama-FALITMA), Faculty of Biology Universitas Gadjah Mada in Yogyakarta, Indonesia, and stored at −80°C before they were transferred on dry ice to the reference laboratory at Public Health Service (GGD) of Amsterdam, the Netherlands, for Ng-PCR.14 At the reference laboratory, DNA was extracted from the samples by isopropanol precipitation. Presence of Ng was tested by detecting opa genes in the validated Ng-PCR, as described.15 The procedure was performed in the Rotorgene system (Qiagen N.V, Venlo, the Netherlands) using protocol, primers and probes, as described.16 Sensitivity and specificity of the PCR method in an earlier study were 95% and 99%, respectively.15 Performers of PCR were blinded for the results of light microscopy. The use of Indonesian national guideline for the management for STI for light microscopy6 and the protocol of the reference laboratory for the PCR ensured that all participants had complete and conclusive laboratory data for the analysis. A subset of samples that were IGND positive but were negative in Ng-PCR was sent to the Netherlands Reference Laboratory for Bacterial Meningitis, Amsterdam, for investigation of the presence of Neisseria meningitidis, as described.17\n\nIn addition, data on daily number of inclusions, number of samples examined and number and job description of staff involved in the study were collected from participating clinics as part of study administration.", "Statistical analysis was performed in STATA V.13. Demographics, sexual history and clinical characteristics of the participants were described, overall and by service setting.\nSeparate analyses of diagnostic accuracy were performed for urethral (from male and transwomen) and endocervical samples. Diagnostic accuracy of the two light microscopy criteria compared with the reference test, Ng-PCR, was assessed by calculating sensitivity, specificity, positive predictive value (PPV) and negative predictive value (NPV) and their 95% CI using two-by-two contingency tables, and also by calculating Cohen's kappa coefficient and its SE.18 We performed exploratory analyses to examine the differences in sensitivity and specificity by microscopy criteria (using McNemar's test) and by service settings and symptomatology (using χ2 test).\nWe performed a post hoc analysis to describe participating clinic's performance. We described number and job description of staff involved in the study. Clinic's workload was described as the number of samples examined per hour based on daily number of inclusions, number of samples examined and time spent for sample analysis (estimated).", " Characteristics of participants and participating clinics In total, data of 992 participants were examined: 632 males (including 97 transwomen) (table 1, supplementary figures 1–3) and 360 females (table 2, online supplementary figures 4–6). Part of the study population and their characteristics were included in an earlier report.13 Of the males, 47.6% were recruited in clinic-based and 52.4% in outreach settings, 53.6% were MSM and 17.3% had symptoms. Of the females, 92.2% were recruited in outreach settings, 86.4% were sex workers and 28.1% had symptoms.\n\n\n\nDemographics and clinical characteristics of 632 male/transwoman participants recruited in Jakarta, Yogyakarta and Denpasar (January–December 2014)\n*Median value with IQR.\n†In the preceding 3 months, including the day of consultation.\n‡Reported genital discharge and/or genital pain at the day of consultation.\n§In the preceding 3 months, not including the day of consultation.\n¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables.\nSTI, sexually transmitted infection.\nDemographics and clinical characteristics of 360 female participants recruited in Jakarta and Yogyakarta (January–December 2014)\n*Median value with IQR.\n†In the preceding 3 months, including the day of consultation.\n‡Reported genital discharge and/or genital pain at the day of consultation.\n§In the preceding 3 months, not including the day of consultation.\n¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables.\nSTI, sexually transmitted infection.\nAmong participants visiting clinic-based settings, the proportion of those who were symptomatic was higher (22.6% and 60.7%, respectively, for males and females) than among participants who were seen in the outreach settings (12.4% and 25.3%). Participants seen in the outreach setting were more often notified by a partner (37.5% and 25.6%, respectively, for males and females) than participants seen in the clinic-based settings (14.9% and 3.6%). In addition, most of male (55.9%) and female participants (84.4%) in the outreach settings reported sexual activity in the 3 days preceding the day of consultation, while this was only 22.6% and 32.1% respectively of those visiting the clinic-based settings.\nIn the post hoc estimation, total sample analysis time spent in clinic-based and outreach settings during the study period was estimated to be 512 and 276 hours, respectively, and the workload was estimated to be 0.54 and 2.40 samples per hour, respectively (see table 3).\nClinical workload in the participating clinics during participants recruitment period in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014)\n*Inclusion day is defined as the day when participating clinic recruited participants for the study (post hoc calculation).\n†Sample analysis time is defined as total duration (in hours) of time spent in the participating clinics for analysing participants’ sample, estimated to be 6 hours/inclusion day regardless service setting (post hoc estimation).\n‡Workload per hour is defined as average number of samples analysed per hour.\n§Medical student trained in questionnaire administration of this study.\n¶General practitioner trained in sexual health.\nGP, general practitioner.\nIn total, data of 992 participants were examined: 632 males (including 97 transwomen) (table 1, supplementary figures 1–3) and 360 females (table 2, online supplementary figures 4–6). Part of the study population and their characteristics were included in an earlier report.13 Of the males, 47.6% were recruited in clinic-based and 52.4% in outreach settings, 53.6% were MSM and 17.3% had symptoms. Of the females, 92.2% were recruited in outreach settings, 86.4% were sex workers and 28.1% had symptoms.\n\n\n\nDemographics and clinical characteristics of 632 male/transwoman participants recruited in Jakarta, Yogyakarta and Denpasar (January–December 2014)\n*Median value with IQR.\n†In the preceding 3 months, including the day of consultation.\n‡Reported genital discharge and/or genital pain at the day of consultation.\n§In the preceding 3 months, not including the day of consultation.\n¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables.\nSTI, sexually transmitted infection.\nDemographics and clinical characteristics of 360 female participants recruited in Jakarta and Yogyakarta (January–December 2014)\n*Median value with IQR.\n†In the preceding 3 months, including the day of consultation.\n‡Reported genital discharge and/or genital pain at the day of consultation.\n§In the preceding 3 months, not including the day of consultation.\n¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables.\nSTI, sexually transmitted infection.\nAmong participants visiting clinic-based settings, the proportion of those who were symptomatic was higher (22.6% and 60.7%, respectively, for males and females) than among participants who were seen in the outreach settings (12.4% and 25.3%). Participants seen in the outreach setting were more often notified by a partner (37.5% and 25.6%, respectively, for males and females) than participants seen in the clinic-based settings (14.9% and 3.6%). In addition, most of male (55.9%) and female participants (84.4%) in the outreach settings reported sexual activity in the 3 days preceding the day of consultation, while this was only 22.6% and 32.1% respectively of those visiting the clinic-based settings.\nIn the post hoc estimation, total sample analysis time spent in clinic-based and outreach settings during the study period was estimated to be 512 and 276 hours, respectively, and the workload was estimated to be 0.54 and 2.40 samples per hour, respectively (see table 3).\nClinical workload in the participating clinics during participants recruitment period in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014)\n*Inclusion day is defined as the day when participating clinic recruited participants for the study (post hoc calculation).\n†Sample analysis time is defined as total duration (in hours) of time spent in the participating clinics for analysing participants’ sample, estimated to be 6 hours/inclusion day regardless service setting (post hoc estimation).\n‡Workload per hour is defined as average number of samples analysed per hour.\n§Medical student trained in questionnaire administration of this study.\n¶General practitioner trained in sexual health.\nGP, general practitioner.\n Diagnostic accuracy of light microscopy results compared with Ng-PCR The prevalence of urogenital gonorrhoea based on Ng-PCR in this study population was 21.2% in males/transwomen (table 4) and 28.9% in women (table 5). The prevalence in males/transwomen was 16.6% and 25.4%, respectively, for the clinic-based setting and for the outreach setting (χ2 test, p<0.01). In women, this was 42.9% and 27.7% (χ2 test, p=0.09).\nAccuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 632 males/transwomen in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014)\n*Reported genital discharge and/or genital pain at the day of consultation.\nIGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value.\nAccuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 360 females in Jakarta and Yogyakarta, Indonesia (January–December 2014)\n*Reported genital discharge and/or genital pain at the day of consultation.\nIGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value.\nFor urethral infections in males/transwomen, sensitivity (95% CI), specificity (95% CI) and kappa±SE of PMNL were 59.0% (50.1 to 67.4), 83.7% (80.2–86.9) and 0.40±0.04 and of IGND were 59.0% (50.1 to 67.4), 89.4% (86.3 to 91.9) and 0.49±0.04, respectively (table 4). IGND and PMNL differed significantly in specificity (χ2 test, p<0.001). Using IGND as diagnostic criterion for urethral gonorrhoea, clinic-based settings performed better (72.0% (57.5 to 83.8), 95.2% (91.8 to 97.5) and 0.68±0.06) than outreach settings (51.2% (40.0 to 62.3), 83.4% (78.2 to 87.8) and 0.35±0.06).\nWe also observed a better performance in clinic-based settings compared with outreach settings when PMNL was used as the diagnostic criterion. Both IGND and PMNL gave better accuracy if compared with syndromic approach. Sensitivity, specificity and kappa±SE of syndromic approach for males/transwomen was 20.2% (13.7 to 28.0), 83.5% (80.0 to 86.7) and 0.04±0.04, respectively.\nFor endocervical infection in females, overall sensitivity, specificity and kappa±SE of PMNL were respectively 31.7% (23.0 to 41.6), 68.0% (61.9 to 73.6) and 0.00±0.05, respectively; of IGND, these were 31.7% (23.0 to 41.6), 84.8% (79.8 to 88.9) and 0.18±0.05, respectively (table 5). The difference in specificity between IGND and PMNL was significant (Χ2 test, p<0.001). Performances of microscopy were not significantly different from syndromic approach.\nFor both urethral and endocervical samples, we observed that all samples that were positive for IGND were also positive for the PMNL criterion. In addition, out of 53 male urethral and 39 endocervical samples that were IGDN positive but Ng-PCR negative, none of the samples were positive for N. meningitidis DNA.\nThe prevalence of urogenital gonorrhoea based on Ng-PCR in this study population was 21.2% in males/transwomen (table 4) and 28.9% in women (table 5). The prevalence in males/transwomen was 16.6% and 25.4%, respectively, for the clinic-based setting and for the outreach setting (χ2 test, p<0.01). In women, this was 42.9% and 27.7% (χ2 test, p=0.09).\nAccuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 632 males/transwomen in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014)\n*Reported genital discharge and/or genital pain at the day of consultation.\nIGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value.\nAccuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 360 females in Jakarta and Yogyakarta, Indonesia (January–December 2014)\n*Reported genital discharge and/or genital pain at the day of consultation.\nIGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value.\nFor urethral infections in males/transwomen, sensitivity (95% CI), specificity (95% CI) and kappa±SE of PMNL were 59.0% (50.1 to 67.4), 83.7% (80.2–86.9) and 0.40±0.04 and of IGND were 59.0% (50.1 to 67.4), 89.4% (86.3 to 91.9) and 0.49±0.04, respectively (table 4). IGND and PMNL differed significantly in specificity (χ2 test, p<0.001). Using IGND as diagnostic criterion for urethral gonorrhoea, clinic-based settings performed better (72.0% (57.5 to 83.8), 95.2% (91.8 to 97.5) and 0.68±0.06) than outreach settings (51.2% (40.0 to 62.3), 83.4% (78.2 to 87.8) and 0.35±0.06).\nWe also observed a better performance in clinic-based settings compared with outreach settings when PMNL was used as the diagnostic criterion. Both IGND and PMNL gave better accuracy if compared with syndromic approach. Sensitivity, specificity and kappa±SE of syndromic approach for males/transwomen was 20.2% (13.7 to 28.0), 83.5% (80.0 to 86.7) and 0.04±0.04, respectively.\nFor endocervical infection in females, overall sensitivity, specificity and kappa±SE of PMNL were respectively 31.7% (23.0 to 41.6), 68.0% (61.9 to 73.6) and 0.00±0.05, respectively; of IGND, these were 31.7% (23.0 to 41.6), 84.8% (79.8 to 88.9) and 0.18±0.05, respectively (table 5). The difference in specificity between IGND and PMNL was significant (Χ2 test, p<0.001). Performances of microscopy were not significantly different from syndromic approach.\nFor both urethral and endocervical samples, we observed that all samples that were positive for IGND were also positive for the PMNL criterion. In addition, out of 53 male urethral and 39 endocervical samples that were IGDN positive but Ng-PCR negative, none of the samples were positive for N. meningitidis DNA.", "In total, data of 992 participants were examined: 632 males (including 97 transwomen) (table 1, supplementary figures 1–3) and 360 females (table 2, online supplementary figures 4–6). Part of the study population and their characteristics were included in an earlier report.13 Of the males, 47.6% were recruited in clinic-based and 52.4% in outreach settings, 53.6% were MSM and 17.3% had symptoms. Of the females, 92.2% were recruited in outreach settings, 86.4% were sex workers and 28.1% had symptoms.\n\n\n\nDemographics and clinical characteristics of 632 male/transwoman participants recruited in Jakarta, Yogyakarta and Denpasar (January–December 2014)\n*Median value with IQR.\n†In the preceding 3 months, including the day of consultation.\n‡Reported genital discharge and/or genital pain at the day of consultation.\n§In the preceding 3 months, not including the day of consultation.\n¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables.\nSTI, sexually transmitted infection.\nDemographics and clinical characteristics of 360 female participants recruited in Jakarta and Yogyakarta (January–December 2014)\n*Median value with IQR.\n†In the preceding 3 months, including the day of consultation.\n‡Reported genital discharge and/or genital pain at the day of consultation.\n§In the preceding 3 months, not including the day of consultation.\n¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables.\nSTI, sexually transmitted infection.\nAmong participants visiting clinic-based settings, the proportion of those who were symptomatic was higher (22.6% and 60.7%, respectively, for males and females) than among participants who were seen in the outreach settings (12.4% and 25.3%). Participants seen in the outreach setting were more often notified by a partner (37.5% and 25.6%, respectively, for males and females) than participants seen in the clinic-based settings (14.9% and 3.6%). In addition, most of male (55.9%) and female participants (84.4%) in the outreach settings reported sexual activity in the 3 days preceding the day of consultation, while this was only 22.6% and 32.1% respectively of those visiting the clinic-based settings.\nIn the post hoc estimation, total sample analysis time spent in clinic-based and outreach settings during the study period was estimated to be 512 and 276 hours, respectively, and the workload was estimated to be 0.54 and 2.40 samples per hour, respectively (see table 3).\nClinical workload in the participating clinics during participants recruitment period in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014)\n*Inclusion day is defined as the day when participating clinic recruited participants for the study (post hoc calculation).\n†Sample analysis time is defined as total duration (in hours) of time spent in the participating clinics for analysing participants’ sample, estimated to be 6 hours/inclusion day regardless service setting (post hoc estimation).\n‡Workload per hour is defined as average number of samples analysed per hour.\n§Medical student trained in questionnaire administration of this study.\n¶General practitioner trained in sexual health.\nGP, general practitioner.", "The prevalence of urogenital gonorrhoea based on Ng-PCR in this study population was 21.2% in males/transwomen (table 4) and 28.9% in women (table 5). The prevalence in males/transwomen was 16.6% and 25.4%, respectively, for the clinic-based setting and for the outreach setting (χ2 test, p<0.01). In women, this was 42.9% and 27.7% (χ2 test, p=0.09).\nAccuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 632 males/transwomen in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014)\n*Reported genital discharge and/or genital pain at the day of consultation.\nIGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value.\nAccuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 360 females in Jakarta and Yogyakarta, Indonesia (January–December 2014)\n*Reported genital discharge and/or genital pain at the day of consultation.\nIGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value.\nFor urethral infections in males/transwomen, sensitivity (95% CI), specificity (95% CI) and kappa±SE of PMNL were 59.0% (50.1 to 67.4), 83.7% (80.2–86.9) and 0.40±0.04 and of IGND were 59.0% (50.1 to 67.4), 89.4% (86.3 to 91.9) and 0.49±0.04, respectively (table 4). IGND and PMNL differed significantly in specificity (χ2 test, p<0.001). Using IGND as diagnostic criterion for urethral gonorrhoea, clinic-based settings performed better (72.0% (57.5 to 83.8), 95.2% (91.8 to 97.5) and 0.68±0.06) than outreach settings (51.2% (40.0 to 62.3), 83.4% (78.2 to 87.8) and 0.35±0.06).\nWe also observed a better performance in clinic-based settings compared with outreach settings when PMNL was used as the diagnostic criterion. Both IGND and PMNL gave better accuracy if compared with syndromic approach. Sensitivity, specificity and kappa±SE of syndromic approach for males/transwomen was 20.2% (13.7 to 28.0), 83.5% (80.0 to 86.7) and 0.04±0.04, respectively.\nFor endocervical infection in females, overall sensitivity, specificity and kappa±SE of PMNL were respectively 31.7% (23.0 to 41.6), 68.0% (61.9 to 73.6) and 0.00±0.05, respectively; of IGND, these were 31.7% (23.0 to 41.6), 84.8% (79.8 to 88.9) and 0.18±0.05, respectively (table 5). The difference in specificity between IGND and PMNL was significant (Χ2 test, p<0.001). Performances of microscopy were not significantly different from syndromic approach.\nFor both urethral and endocervical samples, we observed that all samples that were positive for IGND were also positive for the PMNL criterion. In addition, out of 53 male urethral and 39 endocervical samples that were IGDN positive but Ng-PCR negative, none of the samples were positive for N. meningitidis DNA.", "Our study showed that light microscopic examination of Gram-stained urethral smears has some added value to diagnose gonorrhoea in males/transwomen, compared with the syndromic management based on signs and symptoms only. Furthermore, the IGND criterion in male urethral samples showed a better accuracy than PMNL, that is, a similar sensitivity, but higher specificity, PPV, NPV and kappa coefficient. Yet, for endocervical samples, light microscopy criteria have no added value over syndromic approach, as both the IGND and PMNL criteria performed poorly.\nOverall, the accuracy of light microscopy for male urethral and endocervical samples in our study was poorer than those reported by previous studies.12 19 20 This was possibly caused by different criteria used in defining the outcomes of microscopy and/or by different methods used as a reference test. We examined the accuracy of each criterion (PMNL and IGND) independently, while previous studies mostly combined these criteria to define the outcome of microscopy.\nThe presence of diplococcus (IGND) could be a strong indication for Ng infection.2 However, a negative PCR result in an IGND-positive sample could result from misinterpretation in microscopy.3 Various morphotypes other than Ng could also be found in urogenital samples and may resemble IGND, for example, other members of the Neisseriaceae family and Moraxella catarrhalis.2 21 22\nN. meningitidis, for example, is commensal to human oro-pharynx but has also been described as a pathogen in urethritis in males.22 In this study, however, we could exclude urogenital tract colonisation by N. meningitidis as an explanation for the PCR-negative and IGND-positive cases.\nIn contrast, the presence of PMNL is an indication for inflammation that could be caused by a variety of microorganisms, including bacteria (eg, Chlamydia trachomatis and Mycoplasma genitalium), viruses and parasites and also by mechanical damage.21–24 PMNLs are also observable in the female genital tract due to dysbiosis.20 21 Thus, PMNL count is not an accurate parameter concerning specific cause of inflammation. Furthermore, 5% of urethral gonococcal infections diagnosed by NAAT showed no signs of inflammation (≥5 PMNL cells/oif).25\n\nSince we observed that all IGND positive samples in our study were also positive for the PMNL criterion, it might be preferable to only use IGND as a diagnostic criterion for urogenital gonorrhoea and set aside the PMNL count. However, accuracy of both IGND and PMNL criteria may be reduced in case the male client has recently urinated.21\n\nFor diagnosing endocervical gonococcal infections, performing microscopy on endocervical samples has no additional value for the diagnosis of urogenital gonorrhoea since the sensitivity and the specificity of both microscopic criteria were poor, as described,3 and were similar to that of syndromic management. In cervical and vaginal smears, it is possible to miss IGND due to a low load Ng infection, an abundance of PMNL, debris or high loads of other bacteria that predominate over IGND.19 20\n\nTo analyse urogenital smears for the presence of IGND, the Gram-staining procedure is the preferable method advised.2 26 Other methods like methylene blue or crystal violet lack the required distinction of Gram-negative from Gram-positive diplococci and may be useful only for investigating urethral infection.26 This implies that the accuracy of light microscopy may be influenced by instrumental factors (such as the quality of the staining chemicals and the condition of the microscope), as well as technical fluency of staff members and their compliance to the procedural standard in obtaining the samples, preparing and staining the smears and examining slides by microscopy.2 25\n\nIn addition, we observed that the accuracy of light microscopic examination for urethral samples was moderate in the clinic-based settings but was much poorer in the outreach settings. Individuals recruited in outreach settings of our study, males and transwomen particularly, were at relatively higher risk than those recruited in clinic-based settings; this is reflected in a higher positivity rate of urethral infections. Disease prevalence may influence performance of a diagnostic test, including predictive values and kappa.18 27 For example, a population with a higher disease prevalence may include more severely diseased patients; therefore, the test performs better in this population.27\n\nThe variability of light microscopy accuracy may also be related to the clinical workload of the participating clinics.7 28 Clinic-based settings had a much lower workload per hour compared with outreach settings. The length of time allocated for sample analysis may influence the compliance of the clinicians and the laboratory technicians to the procedure and thus affect the accuracy of the test. When the allocated time is limited, specificity decreases. Proportion of clients to healthcare workers is an important variable that influences the clinical workload.7 28–30\n\nHere we show that the number of female clients (who were mostly sex workers) visiting outreach settings is by far higher than those in clinic-based settings. Outreach settings play a significant role in STI service delivery in Indonesia as they are preferred by members of key populations (including female sex workers), yield a high rate of case detection and are potentially more cost-effective.7 13 28–30 Therefore, improving the quality of STI service in the outreach settings, including achieving a more rational clinical workload and maintaining the technical fluency of staff members, seems to be important.\nIn this study we also confirm that the use of syndromic approach for both male and female participants is not suitable to correctly diagnose a urogenital Ng infection, as reported.8–10 However, evaluating symptoms might still be useful, as the accuracy of light microscopy is better (higher sensitivity and specificity) among symptomatic individuals. The presence of symptoms (genital discharge or pain), especially in males, possibly represents an actual and more severe type of gonococcal infection, in which PMNL and IGND are more likely to present under light microscopy examination of the smear.8 21\n\n Limitations and strengths of the study Our study has several limitations. We did not have any data regarding the numbers and characteristics of STI clients who were potentially eligible but refused to participate in the study. A good comparison of the accuracy of light microscopy in diagnosing endocervical infections between clinic-based and outreach setting was difficult because of the disproportion in the number of females recruited in the two settings. Most female participants, who were sex workers, were recruited in outreach settings. This was probably related to confidential, non-judgemental and free-of-charge STI services in the outreach settings, which were preferred by the members of key populations, including female sex workers.29 30 Our study was conducted in a population with high gonorrhoea prevalence; this needs to be considered in generalising our findings to other settings. In addition, definition of accuracy level based on kappa is arbitrary and is subject to multiple interpretations.18\n\nThe technical fluency among clinicians and laboratory technicians working in clinic-based settings as opposed to outreach settings may differ and influence the outcome,7 but this was not evaluated in our study. Furthermore, the clinical workload was not prospectively measured but estimated in a post hoc analysis.\nOur study has also several strengths. This is the first study to evaluate light microscopy criteria to diagnose urogenital gonorrhoea in Indonesia. The study was performed in several participating clinics in three major cities in the country. In addition, to our knowledge, our observation regarding variability of the diagnostic accuracy by service setting has not been reported in earlier studies.\nOur study has several limitations. We did not have any data regarding the numbers and characteristics of STI clients who were potentially eligible but refused to participate in the study. A good comparison of the accuracy of light microscopy in diagnosing endocervical infections between clinic-based and outreach setting was difficult because of the disproportion in the number of females recruited in the two settings. Most female participants, who were sex workers, were recruited in outreach settings. This was probably related to confidential, non-judgemental and free-of-charge STI services in the outreach settings, which were preferred by the members of key populations, including female sex workers.29 30 Our study was conducted in a population with high gonorrhoea prevalence; this needs to be considered in generalising our findings to other settings. In addition, definition of accuracy level based on kappa is arbitrary and is subject to multiple interpretations.18\n\nThe technical fluency among clinicians and laboratory technicians working in clinic-based settings as opposed to outreach settings may differ and influence the outcome,7 but this was not evaluated in our study. Furthermore, the clinical workload was not prospectively measured but estimated in a post hoc analysis.\nOur study has also several strengths. This is the first study to evaluate light microscopy criteria to diagnose urogenital gonorrhoea in Indonesia. The study was performed in several participating clinics in three major cities in the country. In addition, to our knowledge, our observation regarding variability of the diagnostic accuracy by service setting has not been reported in earlier studies.", "Our study has several limitations. We did not have any data regarding the numbers and characteristics of STI clients who were potentially eligible but refused to participate in the study. A good comparison of the accuracy of light microscopy in diagnosing endocervical infections between clinic-based and outreach setting was difficult because of the disproportion in the number of females recruited in the two settings. Most female participants, who were sex workers, were recruited in outreach settings. This was probably related to confidential, non-judgemental and free-of-charge STI services in the outreach settings, which were preferred by the members of key populations, including female sex workers.29 30 Our study was conducted in a population with high gonorrhoea prevalence; this needs to be considered in generalising our findings to other settings. In addition, definition of accuracy level based on kappa is arbitrary and is subject to multiple interpretations.18\n\nThe technical fluency among clinicians and laboratory technicians working in clinic-based settings as opposed to outreach settings may differ and influence the outcome,7 but this was not evaluated in our study. Furthermore, the clinical workload was not prospectively measured but estimated in a post hoc analysis.\nOur study has also several strengths. This is the first study to evaluate light microscopy criteria to diagnose urogenital gonorrhoea in Indonesia. The study was performed in several participating clinics in three major cities in the country. In addition, to our knowledge, our observation regarding variability of the diagnostic accuracy by service setting has not been reported in earlier studies.", "A moderate accuracy of IGND as a light microscopic criterion implies that it can be used as an option for diagnosing urethral gonorrhoea in males/transwomen in low resource settings. Based on its poor performance, using light microscopy for diagnosing endocervical infection should be discouraged. More advanced methods, such as NAAT, should be considered if financial resources are available, especially for endocervical infections, and to screen asymptomatic individuals.\nFurther studies are needed to determine whether the poor performance in the outreach settings was associated with clinical workload, instrumental and technical problems and/or environmental factors.", "" ]
[ "intro", "methods", null, null, null, "results", null, null, "discussion", null, "conclusions", "supplementary-material" ]
[ "gonorrhoea", "outreach services", "microscopy", "Indonesia", "diagnostic study" ]
Introduction: Gonorrhoea, caused by Neisseria gonorrhoeae (Ng), is the second most common bacterial sexually transmitted infections (STIs) worldwide.1 The variety of diagnostic methods used in different settings and regions may influence the observed epidemiological patterns of gonorrhoea.1 2 Nowadays, nucleic acid amplification tests (NAATs) are considered the standard to diagnose gonorrhoea, both for male and female patients.3 However, NAAT is not always available due to high prices, the required infrastructure and the need for qualified personnel.4 As a result, a diagnostic method based on clinical symptoms and signs (syndromic approach) and/or light microscopic findings is currently the standard in many resource-limited countries, such as Indonesia.5 6 Furthermore, resources are also scarce in an outreach setting, a form of service used frequently to reach target groups who are at risk of STI but have poorer access to institutionalised health centres, for example, sex workers, men who have sex with men (MSM) and transwomen.7 Syndromic approach is considered to be sensitive and specific in symptomatic males.5 6 8 Yet, this approach has been increasingly criticised because of its poor performance in diagnosing gonorrhoea among females and asymptomatic individuals.8–11 As a consequence, antibiotics are both overused and underutilised, and this fuels antimicrobial resistance and spread of infections because of underdiagnosis.8–10 Thus, in addition to syndromic approach, light microscopic examination of Gram-stained smears to support a urogenital gonorrhoea diagnosis is recommended.2 6 12 Two light microscopic findings are used as a criterion for urogenital gonorrhoea: an elevated number of polymorphonuclear leucocytes (PMNLs) and the presence of intracellular Gram-negative diplococci (IGND).2 6 Since the widespread introduction of NAAT to screen for gonorrhoea is too costly and therefore not realistic in many resources-limited settings, we evaluated the performance of these two light microscopic criteria to diagnose urethral and endocervical gonorrhoea in clinic-based and outreach settings in three major cities in Indonesia: Jakarta, Yogyakarta and Denpasar, and compared them with detection of Ng with a PCR test (Ng-PCR) performed at the Public Health Laboratory of Amsterdam, the Netherlands. Material and methods: This study was approved by the Medical and Health Research Ethics Committee (MHREC), Faculty of Medicine Universitas Gadjah Mada (#KE/FK/38/EC). Study population Between January and December 2014, two clinic-based and six outreach STI service facilities in Jakarta, Yogyakarta and Denpasar, Indonesia, recruited participants for the investigation of the epidemiology of urogenital gonorrhoea.13 The length of the recruitment period varied per clinic (from 1 month to 5 months). All accessible males, females and transwomen (who had not undergone genital reconstructive surgery) clients, who were aged 16 years or older at the day of inclusion and who provided written informed consent were consecutively screened regardless of other demographics and clinical characteristics. The original aim of the study was to estimate prevalence of gonorrhoea among STI clinic clients in Indonesia and to assess the antibiotic susceptibility patterns of N. gonorrhoeae strains found in these clients. The current study is a post hoc, exploratory analysis, and no formal sample size calculation was performed. Between January and December 2014, two clinic-based and six outreach STI service facilities in Jakarta, Yogyakarta and Denpasar, Indonesia, recruited participants for the investigation of the epidemiology of urogenital gonorrhoea.13 The length of the recruitment period varied per clinic (from 1 month to 5 months). All accessible males, females and transwomen (who had not undergone genital reconstructive surgery) clients, who were aged 16 years or older at the day of inclusion and who provided written informed consent were consecutively screened regardless of other demographics and clinical characteristics. The original aim of the study was to estimate prevalence of gonorrhoea among STI clinic clients in Indonesia and to assess the antibiotic susceptibility patterns of N. gonorrhoeae strains found in these clients. The current study is a post hoc, exploratory analysis, and no formal sample size calculation was performed. Data collection In the clinic-based setting, participants visited the clinics during regular service hours (daytime: 09:00–15:00; evening: 15:00–21:00), whereas in the outreach setting, healthcare providers visited the outreach venues, for example, community gatherings, saunas and massage parlours, not necessarily during regular service hours. We used a paper-based self-administered questionnaire to assess participants’ demographics, sexual history and clinical characteristics. In case of illiteracy or on request of the participant, a healthcare worker or counsellor assisted in completing the questionnaire. In the outreach setting, several participants might complete the questionnaire at the same moment. Symptomatic participants were defined as those who reported the presence of genital discharge and/or pain at the day of consultation. In both settings, samples were examined on site. A clinician collected one urogenital sample per participant (from the urethra of males and transwomen, or the endocervix of females) using an ESwab (Copan Italia S.P.A., Brescia, Italy)14 and produced the smear. A laboratory technician (with a minimum education in medical laboratory or biomedical science, and a training in performing light microscopy according to Indonesian national STI guideline,6) performed Gram staining and examined the samples by light microscopy. The first light microscopic criterion was the PMNLs count. The cut-off value for a positive result was prespecified according to the guideline as ≥5 PMNL/oil-immersion field (oif) for urethral samples and ≥20 PMNL/oif for endocervical samples.6 The second light microscopic criterion was the presence of IGND.6 From all participating clinics, collected urogenital samples were transferred in ESwab medium (Copan Italia S.P.A.) to the Research Laboratory Facility (Fasilitas Penelitian Bersama-FALITMA), Faculty of Biology Universitas Gadjah Mada in Yogyakarta, Indonesia, and stored at −80°C before they were transferred on dry ice to the reference laboratory at Public Health Service (GGD) of Amsterdam, the Netherlands, for Ng-PCR.14 At the reference laboratory, DNA was extracted from the samples by isopropanol precipitation. Presence of Ng was tested by detecting opa genes in the validated Ng-PCR, as described.15 The procedure was performed in the Rotorgene system (Qiagen N.V, Venlo, the Netherlands) using protocol, primers and probes, as described.16 Sensitivity and specificity of the PCR method in an earlier study were 95% and 99%, respectively.15 Performers of PCR were blinded for the results of light microscopy. The use of Indonesian national guideline for the management for STI for light microscopy6 and the protocol of the reference laboratory for the PCR ensured that all participants had complete and conclusive laboratory data for the analysis. A subset of samples that were IGND positive but were negative in Ng-PCR was sent to the Netherlands Reference Laboratory for Bacterial Meningitis, Amsterdam, for investigation of the presence of Neisseria meningitidis, as described.17 In addition, data on daily number of inclusions, number of samples examined and number and job description of staff involved in the study were collected from participating clinics as part of study administration. In the clinic-based setting, participants visited the clinics during regular service hours (daytime: 09:00–15:00; evening: 15:00–21:00), whereas in the outreach setting, healthcare providers visited the outreach venues, for example, community gatherings, saunas and massage parlours, not necessarily during regular service hours. We used a paper-based self-administered questionnaire to assess participants’ demographics, sexual history and clinical characteristics. In case of illiteracy or on request of the participant, a healthcare worker or counsellor assisted in completing the questionnaire. In the outreach setting, several participants might complete the questionnaire at the same moment. Symptomatic participants were defined as those who reported the presence of genital discharge and/or pain at the day of consultation. In both settings, samples were examined on site. A clinician collected one urogenital sample per participant (from the urethra of males and transwomen, or the endocervix of females) using an ESwab (Copan Italia S.P.A., Brescia, Italy)14 and produced the smear. A laboratory technician (with a minimum education in medical laboratory or biomedical science, and a training in performing light microscopy according to Indonesian national STI guideline,6) performed Gram staining and examined the samples by light microscopy. The first light microscopic criterion was the PMNLs count. The cut-off value for a positive result was prespecified according to the guideline as ≥5 PMNL/oil-immersion field (oif) for urethral samples and ≥20 PMNL/oif for endocervical samples.6 The second light microscopic criterion was the presence of IGND.6 From all participating clinics, collected urogenital samples were transferred in ESwab medium (Copan Italia S.P.A.) to the Research Laboratory Facility (Fasilitas Penelitian Bersama-FALITMA), Faculty of Biology Universitas Gadjah Mada in Yogyakarta, Indonesia, and stored at −80°C before they were transferred on dry ice to the reference laboratory at Public Health Service (GGD) of Amsterdam, the Netherlands, for Ng-PCR.14 At the reference laboratory, DNA was extracted from the samples by isopropanol precipitation. Presence of Ng was tested by detecting opa genes in the validated Ng-PCR, as described.15 The procedure was performed in the Rotorgene system (Qiagen N.V, Venlo, the Netherlands) using protocol, primers and probes, as described.16 Sensitivity and specificity of the PCR method in an earlier study were 95% and 99%, respectively.15 Performers of PCR were blinded for the results of light microscopy. The use of Indonesian national guideline for the management for STI for light microscopy6 and the protocol of the reference laboratory for the PCR ensured that all participants had complete and conclusive laboratory data for the analysis. A subset of samples that were IGND positive but were negative in Ng-PCR was sent to the Netherlands Reference Laboratory for Bacterial Meningitis, Amsterdam, for investigation of the presence of Neisseria meningitidis, as described.17 In addition, data on daily number of inclusions, number of samples examined and number and job description of staff involved in the study were collected from participating clinics as part of study administration. Statistical analysis Statistical analysis was performed in STATA V.13. Demographics, sexual history and clinical characteristics of the participants were described, overall and by service setting. Separate analyses of diagnostic accuracy were performed for urethral (from male and transwomen) and endocervical samples. Diagnostic accuracy of the two light microscopy criteria compared with the reference test, Ng-PCR, was assessed by calculating sensitivity, specificity, positive predictive value (PPV) and negative predictive value (NPV) and their 95% CI using two-by-two contingency tables, and also by calculating Cohen's kappa coefficient and its SE.18 We performed exploratory analyses to examine the differences in sensitivity and specificity by microscopy criteria (using McNemar's test) and by service settings and symptomatology (using χ2 test). We performed a post hoc analysis to describe participating clinic's performance. We described number and job description of staff involved in the study. Clinic's workload was described as the number of samples examined per hour based on daily number of inclusions, number of samples examined and time spent for sample analysis (estimated). Statistical analysis was performed in STATA V.13. Demographics, sexual history and clinical characteristics of the participants were described, overall and by service setting. Separate analyses of diagnostic accuracy were performed for urethral (from male and transwomen) and endocervical samples. Diagnostic accuracy of the two light microscopy criteria compared with the reference test, Ng-PCR, was assessed by calculating sensitivity, specificity, positive predictive value (PPV) and negative predictive value (NPV) and their 95% CI using two-by-two contingency tables, and also by calculating Cohen's kappa coefficient and its SE.18 We performed exploratory analyses to examine the differences in sensitivity and specificity by microscopy criteria (using McNemar's test) and by service settings and symptomatology (using χ2 test). We performed a post hoc analysis to describe participating clinic's performance. We described number and job description of staff involved in the study. Clinic's workload was described as the number of samples examined per hour based on daily number of inclusions, number of samples examined and time spent for sample analysis (estimated). Study population: Between January and December 2014, two clinic-based and six outreach STI service facilities in Jakarta, Yogyakarta and Denpasar, Indonesia, recruited participants for the investigation of the epidemiology of urogenital gonorrhoea.13 The length of the recruitment period varied per clinic (from 1 month to 5 months). All accessible males, females and transwomen (who had not undergone genital reconstructive surgery) clients, who were aged 16 years or older at the day of inclusion and who provided written informed consent were consecutively screened regardless of other demographics and clinical characteristics. The original aim of the study was to estimate prevalence of gonorrhoea among STI clinic clients in Indonesia and to assess the antibiotic susceptibility patterns of N. gonorrhoeae strains found in these clients. The current study is a post hoc, exploratory analysis, and no formal sample size calculation was performed. Data collection: In the clinic-based setting, participants visited the clinics during regular service hours (daytime: 09:00–15:00; evening: 15:00–21:00), whereas in the outreach setting, healthcare providers visited the outreach venues, for example, community gatherings, saunas and massage parlours, not necessarily during regular service hours. We used a paper-based self-administered questionnaire to assess participants’ demographics, sexual history and clinical characteristics. In case of illiteracy or on request of the participant, a healthcare worker or counsellor assisted in completing the questionnaire. In the outreach setting, several participants might complete the questionnaire at the same moment. Symptomatic participants were defined as those who reported the presence of genital discharge and/or pain at the day of consultation. In both settings, samples were examined on site. A clinician collected one urogenital sample per participant (from the urethra of males and transwomen, or the endocervix of females) using an ESwab (Copan Italia S.P.A., Brescia, Italy)14 and produced the smear. A laboratory technician (with a minimum education in medical laboratory or biomedical science, and a training in performing light microscopy according to Indonesian national STI guideline,6) performed Gram staining and examined the samples by light microscopy. The first light microscopic criterion was the PMNLs count. The cut-off value for a positive result was prespecified according to the guideline as ≥5 PMNL/oil-immersion field (oif) for urethral samples and ≥20 PMNL/oif for endocervical samples.6 The second light microscopic criterion was the presence of IGND.6 From all participating clinics, collected urogenital samples were transferred in ESwab medium (Copan Italia S.P.A.) to the Research Laboratory Facility (Fasilitas Penelitian Bersama-FALITMA), Faculty of Biology Universitas Gadjah Mada in Yogyakarta, Indonesia, and stored at −80°C before they were transferred on dry ice to the reference laboratory at Public Health Service (GGD) of Amsterdam, the Netherlands, for Ng-PCR.14 At the reference laboratory, DNA was extracted from the samples by isopropanol precipitation. Presence of Ng was tested by detecting opa genes in the validated Ng-PCR, as described.15 The procedure was performed in the Rotorgene system (Qiagen N.V, Venlo, the Netherlands) using protocol, primers and probes, as described.16 Sensitivity and specificity of the PCR method in an earlier study were 95% and 99%, respectively.15 Performers of PCR were blinded for the results of light microscopy. The use of Indonesian national guideline for the management for STI for light microscopy6 and the protocol of the reference laboratory for the PCR ensured that all participants had complete and conclusive laboratory data for the analysis. A subset of samples that were IGND positive but were negative in Ng-PCR was sent to the Netherlands Reference Laboratory for Bacterial Meningitis, Amsterdam, for investigation of the presence of Neisseria meningitidis, as described.17 In addition, data on daily number of inclusions, number of samples examined and number and job description of staff involved in the study were collected from participating clinics as part of study administration. Statistical analysis: Statistical analysis was performed in STATA V.13. Demographics, sexual history and clinical characteristics of the participants were described, overall and by service setting. Separate analyses of diagnostic accuracy were performed for urethral (from male and transwomen) and endocervical samples. Diagnostic accuracy of the two light microscopy criteria compared with the reference test, Ng-PCR, was assessed by calculating sensitivity, specificity, positive predictive value (PPV) and negative predictive value (NPV) and their 95% CI using two-by-two contingency tables, and also by calculating Cohen's kappa coefficient and its SE.18 We performed exploratory analyses to examine the differences in sensitivity and specificity by microscopy criteria (using McNemar's test) and by service settings and symptomatology (using χ2 test). We performed a post hoc analysis to describe participating clinic's performance. We described number and job description of staff involved in the study. Clinic's workload was described as the number of samples examined per hour based on daily number of inclusions, number of samples examined and time spent for sample analysis (estimated). Results: Characteristics of participants and participating clinics In total, data of 992 participants were examined: 632 males (including 97 transwomen) (table 1, supplementary figures 1–3) and 360 females (table 2, online supplementary figures 4–6). Part of the study population and their characteristics were included in an earlier report.13 Of the males, 47.6% were recruited in clinic-based and 52.4% in outreach settings, 53.6% were MSM and 17.3% had symptoms. Of the females, 92.2% were recruited in outreach settings, 86.4% were sex workers and 28.1% had symptoms. Demographics and clinical characteristics of 632 male/transwoman participants recruited in Jakarta, Yogyakarta and Denpasar (January–December 2014) *Median value with IQR. †In the preceding 3 months, including the day of consultation. ‡Reported genital discharge and/or genital pain at the day of consultation. §In the preceding 3 months, not including the day of consultation. ¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables. STI, sexually transmitted infection. Demographics and clinical characteristics of 360 female participants recruited in Jakarta and Yogyakarta (January–December 2014) *Median value with IQR. †In the preceding 3 months, including the day of consultation. ‡Reported genital discharge and/or genital pain at the day of consultation. §In the preceding 3 months, not including the day of consultation. ¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables. STI, sexually transmitted infection. Among participants visiting clinic-based settings, the proportion of those who were symptomatic was higher (22.6% and 60.7%, respectively, for males and females) than among participants who were seen in the outreach settings (12.4% and 25.3%). Participants seen in the outreach setting were more often notified by a partner (37.5% and 25.6%, respectively, for males and females) than participants seen in the clinic-based settings (14.9% and 3.6%). In addition, most of male (55.9%) and female participants (84.4%) in the outreach settings reported sexual activity in the 3 days preceding the day of consultation, while this was only 22.6% and 32.1% respectively of those visiting the clinic-based settings. In the post hoc estimation, total sample analysis time spent in clinic-based and outreach settings during the study period was estimated to be 512 and 276 hours, respectively, and the workload was estimated to be 0.54 and 2.40 samples per hour, respectively (see table 3). Clinical workload in the participating clinics during participants recruitment period in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014) *Inclusion day is defined as the day when participating clinic recruited participants for the study (post hoc calculation). †Sample analysis time is defined as total duration (in hours) of time spent in the participating clinics for analysing participants’ sample, estimated to be 6 hours/inclusion day regardless service setting (post hoc estimation). ‡Workload per hour is defined as average number of samples analysed per hour. §Medical student trained in questionnaire administration of this study. ¶General practitioner trained in sexual health. GP, general practitioner. In total, data of 992 participants were examined: 632 males (including 97 transwomen) (table 1, supplementary figures 1–3) and 360 females (table 2, online supplementary figures 4–6). Part of the study population and their characteristics were included in an earlier report.13 Of the males, 47.6% were recruited in clinic-based and 52.4% in outreach settings, 53.6% were MSM and 17.3% had symptoms. Of the females, 92.2% were recruited in outreach settings, 86.4% were sex workers and 28.1% had symptoms. Demographics and clinical characteristics of 632 male/transwoman participants recruited in Jakarta, Yogyakarta and Denpasar (January–December 2014) *Median value with IQR. †In the preceding 3 months, including the day of consultation. ‡Reported genital discharge and/or genital pain at the day of consultation. §In the preceding 3 months, not including the day of consultation. ¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables. STI, sexually transmitted infection. Demographics and clinical characteristics of 360 female participants recruited in Jakarta and Yogyakarta (January–December 2014) *Median value with IQR. †In the preceding 3 months, including the day of consultation. ‡Reported genital discharge and/or genital pain at the day of consultation. §In the preceding 3 months, not including the day of consultation. ¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables. STI, sexually transmitted infection. Among participants visiting clinic-based settings, the proportion of those who were symptomatic was higher (22.6% and 60.7%, respectively, for males and females) than among participants who were seen in the outreach settings (12.4% and 25.3%). Participants seen in the outreach setting were more often notified by a partner (37.5% and 25.6%, respectively, for males and females) than participants seen in the clinic-based settings (14.9% and 3.6%). In addition, most of male (55.9%) and female participants (84.4%) in the outreach settings reported sexual activity in the 3 days preceding the day of consultation, while this was only 22.6% and 32.1% respectively of those visiting the clinic-based settings. In the post hoc estimation, total sample analysis time spent in clinic-based and outreach settings during the study period was estimated to be 512 and 276 hours, respectively, and the workload was estimated to be 0.54 and 2.40 samples per hour, respectively (see table 3). Clinical workload in the participating clinics during participants recruitment period in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014) *Inclusion day is defined as the day when participating clinic recruited participants for the study (post hoc calculation). †Sample analysis time is defined as total duration (in hours) of time spent in the participating clinics for analysing participants’ sample, estimated to be 6 hours/inclusion day regardless service setting (post hoc estimation). ‡Workload per hour is defined as average number of samples analysed per hour. §Medical student trained in questionnaire administration of this study. ¶General practitioner trained in sexual health. GP, general practitioner. Diagnostic accuracy of light microscopy results compared with Ng-PCR The prevalence of urogenital gonorrhoea based on Ng-PCR in this study population was 21.2% in males/transwomen (table 4) and 28.9% in women (table 5). The prevalence in males/transwomen was 16.6% and 25.4%, respectively, for the clinic-based setting and for the outreach setting (χ2 test, p<0.01). In women, this was 42.9% and 27.7% (χ2 test, p=0.09). Accuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 632 males/transwomen in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014) *Reported genital discharge and/or genital pain at the day of consultation. IGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value. Accuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 360 females in Jakarta and Yogyakarta, Indonesia (January–December 2014) *Reported genital discharge and/or genital pain at the day of consultation. IGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value. For urethral infections in males/transwomen, sensitivity (95% CI), specificity (95% CI) and kappa±SE of PMNL were 59.0% (50.1 to 67.4), 83.7% (80.2–86.9) and 0.40±0.04 and of IGND were 59.0% (50.1 to 67.4), 89.4% (86.3 to 91.9) and 0.49±0.04, respectively (table 4). IGND and PMNL differed significantly in specificity (χ2 test, p<0.001). Using IGND as diagnostic criterion for urethral gonorrhoea, clinic-based settings performed better (72.0% (57.5 to 83.8), 95.2% (91.8 to 97.5) and 0.68±0.06) than outreach settings (51.2% (40.0 to 62.3), 83.4% (78.2 to 87.8) and 0.35±0.06). We also observed a better performance in clinic-based settings compared with outreach settings when PMNL was used as the diagnostic criterion. Both IGND and PMNL gave better accuracy if compared with syndromic approach. Sensitivity, specificity and kappa±SE of syndromic approach for males/transwomen was 20.2% (13.7 to 28.0), 83.5% (80.0 to 86.7) and 0.04±0.04, respectively. For endocervical infection in females, overall sensitivity, specificity and kappa±SE of PMNL were respectively 31.7% (23.0 to 41.6), 68.0% (61.9 to 73.6) and 0.00±0.05, respectively; of IGND, these were 31.7% (23.0 to 41.6), 84.8% (79.8 to 88.9) and 0.18±0.05, respectively (table 5). The difference in specificity between IGND and PMNL was significant (Χ2 test, p<0.001). Performances of microscopy were not significantly different from syndromic approach. For both urethral and endocervical samples, we observed that all samples that were positive for IGND were also positive for the PMNL criterion. In addition, out of 53 male urethral and 39 endocervical samples that were IGDN positive but Ng-PCR negative, none of the samples were positive for N. meningitidis DNA. The prevalence of urogenital gonorrhoea based on Ng-PCR in this study population was 21.2% in males/transwomen (table 4) and 28.9% in women (table 5). The prevalence in males/transwomen was 16.6% and 25.4%, respectively, for the clinic-based setting and for the outreach setting (χ2 test, p<0.01). In women, this was 42.9% and 27.7% (χ2 test, p=0.09). Accuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 632 males/transwomen in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014) *Reported genital discharge and/or genital pain at the day of consultation. IGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value. Accuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 360 females in Jakarta and Yogyakarta, Indonesia (January–December 2014) *Reported genital discharge and/or genital pain at the day of consultation. IGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value. For urethral infections in males/transwomen, sensitivity (95% CI), specificity (95% CI) and kappa±SE of PMNL were 59.0% (50.1 to 67.4), 83.7% (80.2–86.9) and 0.40±0.04 and of IGND were 59.0% (50.1 to 67.4), 89.4% (86.3 to 91.9) and 0.49±0.04, respectively (table 4). IGND and PMNL differed significantly in specificity (χ2 test, p<0.001). Using IGND as diagnostic criterion for urethral gonorrhoea, clinic-based settings performed better (72.0% (57.5 to 83.8), 95.2% (91.8 to 97.5) and 0.68±0.06) than outreach settings (51.2% (40.0 to 62.3), 83.4% (78.2 to 87.8) and 0.35±0.06). We also observed a better performance in clinic-based settings compared with outreach settings when PMNL was used as the diagnostic criterion. Both IGND and PMNL gave better accuracy if compared with syndromic approach. Sensitivity, specificity and kappa±SE of syndromic approach for males/transwomen was 20.2% (13.7 to 28.0), 83.5% (80.0 to 86.7) and 0.04±0.04, respectively. For endocervical infection in females, overall sensitivity, specificity and kappa±SE of PMNL were respectively 31.7% (23.0 to 41.6), 68.0% (61.9 to 73.6) and 0.00±0.05, respectively; of IGND, these were 31.7% (23.0 to 41.6), 84.8% (79.8 to 88.9) and 0.18±0.05, respectively (table 5). The difference in specificity between IGND and PMNL was significant (Χ2 test, p<0.001). Performances of microscopy were not significantly different from syndromic approach. For both urethral and endocervical samples, we observed that all samples that were positive for IGND were also positive for the PMNL criterion. In addition, out of 53 male urethral and 39 endocervical samples that were IGDN positive but Ng-PCR negative, none of the samples were positive for N. meningitidis DNA. Characteristics of participants and participating clinics: In total, data of 992 participants were examined: 632 males (including 97 transwomen) (table 1, supplementary figures 1–3) and 360 females (table 2, online supplementary figures 4–6). Part of the study population and their characteristics were included in an earlier report.13 Of the males, 47.6% were recruited in clinic-based and 52.4% in outreach settings, 53.6% were MSM and 17.3% had symptoms. Of the females, 92.2% were recruited in outreach settings, 86.4% were sex workers and 28.1% had symptoms. Demographics and clinical characteristics of 632 male/transwoman participants recruited in Jakarta, Yogyakarta and Denpasar (January–December 2014) *Median value with IQR. †In the preceding 3 months, including the day of consultation. ‡Reported genital discharge and/or genital pain at the day of consultation. §In the preceding 3 months, not including the day of consultation. ¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables. STI, sexually transmitted infection. Demographics and clinical characteristics of 360 female participants recruited in Jakarta and Yogyakarta (January–December 2014) *Median value with IQR. †In the preceding 3 months, including the day of consultation. ‡Reported genital discharge and/or genital pain at the day of consultation. §In the preceding 3 months, not including the day of consultation. ¶p Values calculated using χ2 test for categorical variables or Kruskal-Wallis test for continuous variables. STI, sexually transmitted infection. Among participants visiting clinic-based settings, the proportion of those who were symptomatic was higher (22.6% and 60.7%, respectively, for males and females) than among participants who were seen in the outreach settings (12.4% and 25.3%). Participants seen in the outreach setting were more often notified by a partner (37.5% and 25.6%, respectively, for males and females) than participants seen in the clinic-based settings (14.9% and 3.6%). In addition, most of male (55.9%) and female participants (84.4%) in the outreach settings reported sexual activity in the 3 days preceding the day of consultation, while this was only 22.6% and 32.1% respectively of those visiting the clinic-based settings. In the post hoc estimation, total sample analysis time spent in clinic-based and outreach settings during the study period was estimated to be 512 and 276 hours, respectively, and the workload was estimated to be 0.54 and 2.40 samples per hour, respectively (see table 3). Clinical workload in the participating clinics during participants recruitment period in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014) *Inclusion day is defined as the day when participating clinic recruited participants for the study (post hoc calculation). †Sample analysis time is defined as total duration (in hours) of time spent in the participating clinics for analysing participants’ sample, estimated to be 6 hours/inclusion day regardless service setting (post hoc estimation). ‡Workload per hour is defined as average number of samples analysed per hour. §Medical student trained in questionnaire administration of this study. ¶General practitioner trained in sexual health. GP, general practitioner. Diagnostic accuracy of light microscopy results compared with Ng-PCR: The prevalence of urogenital gonorrhoea based on Ng-PCR in this study population was 21.2% in males/transwomen (table 4) and 28.9% in women (table 5). The prevalence in males/transwomen was 16.6% and 25.4%, respectively, for the clinic-based setting and for the outreach setting (χ2 test, p<0.01). In women, this was 42.9% and 27.7% (χ2 test, p=0.09). Accuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 632 males/transwomen in Jakarta, Yogyakarta and Denpasar, Indonesia (January–December 2014) *Reported genital discharge and/or genital pain at the day of consultation. IGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value. Accuracy of light microscopic criteria and syndromic approach to diagnose urogenital gonorrhoea in 360 females in Jakarta and Yogyakarta, Indonesia (January–December 2014) *Reported genital discharge and/or genital pain at the day of consultation. IGND, intracellular Gram-negative diplococcus; Ng-PCR, Neisseria gonorrhoeae PCR; NPV, negative predictive value; p, p values calculated using χ2 test; PMNL, polymorphonuclear leucocytes; PPV, positive predictive value. For urethral infections in males/transwomen, sensitivity (95% CI), specificity (95% CI) and kappa±SE of PMNL were 59.0% (50.1 to 67.4), 83.7% (80.2–86.9) and 0.40±0.04 and of IGND were 59.0% (50.1 to 67.4), 89.4% (86.3 to 91.9) and 0.49±0.04, respectively (table 4). IGND and PMNL differed significantly in specificity (χ2 test, p<0.001). Using IGND as diagnostic criterion for urethral gonorrhoea, clinic-based settings performed better (72.0% (57.5 to 83.8), 95.2% (91.8 to 97.5) and 0.68±0.06) than outreach settings (51.2% (40.0 to 62.3), 83.4% (78.2 to 87.8) and 0.35±0.06). We also observed a better performance in clinic-based settings compared with outreach settings when PMNL was used as the diagnostic criterion. Both IGND and PMNL gave better accuracy if compared with syndromic approach. Sensitivity, specificity and kappa±SE of syndromic approach for males/transwomen was 20.2% (13.7 to 28.0), 83.5% (80.0 to 86.7) and 0.04±0.04, respectively. For endocervical infection in females, overall sensitivity, specificity and kappa±SE of PMNL were respectively 31.7% (23.0 to 41.6), 68.0% (61.9 to 73.6) and 0.00±0.05, respectively; of IGND, these were 31.7% (23.0 to 41.6), 84.8% (79.8 to 88.9) and 0.18±0.05, respectively (table 5). The difference in specificity between IGND and PMNL was significant (Χ2 test, p<0.001). Performances of microscopy were not significantly different from syndromic approach. For both urethral and endocervical samples, we observed that all samples that were positive for IGND were also positive for the PMNL criterion. In addition, out of 53 male urethral and 39 endocervical samples that were IGDN positive but Ng-PCR negative, none of the samples were positive for N. meningitidis DNA. Discussion: Our study showed that light microscopic examination of Gram-stained urethral smears has some added value to diagnose gonorrhoea in males/transwomen, compared with the syndromic management based on signs and symptoms only. Furthermore, the IGND criterion in male urethral samples showed a better accuracy than PMNL, that is, a similar sensitivity, but higher specificity, PPV, NPV and kappa coefficient. Yet, for endocervical samples, light microscopy criteria have no added value over syndromic approach, as both the IGND and PMNL criteria performed poorly. Overall, the accuracy of light microscopy for male urethral and endocervical samples in our study was poorer than those reported by previous studies.12 19 20 This was possibly caused by different criteria used in defining the outcomes of microscopy and/or by different methods used as a reference test. We examined the accuracy of each criterion (PMNL and IGND) independently, while previous studies mostly combined these criteria to define the outcome of microscopy. The presence of diplococcus (IGND) could be a strong indication for Ng infection.2 However, a negative PCR result in an IGND-positive sample could result from misinterpretation in microscopy.3 Various morphotypes other than Ng could also be found in urogenital samples and may resemble IGND, for example, other members of the Neisseriaceae family and Moraxella catarrhalis.2 21 22 N. meningitidis, for example, is commensal to human oro-pharynx but has also been described as a pathogen in urethritis in males.22 In this study, however, we could exclude urogenital tract colonisation by N. meningitidis as an explanation for the PCR-negative and IGND-positive cases. In contrast, the presence of PMNL is an indication for inflammation that could be caused by a variety of microorganisms, including bacteria (eg, Chlamydia trachomatis and Mycoplasma genitalium), viruses and parasites and also by mechanical damage.21–24 PMNLs are also observable in the female genital tract due to dysbiosis.20 21 Thus, PMNL count is not an accurate parameter concerning specific cause of inflammation. Furthermore, 5% of urethral gonococcal infections diagnosed by NAAT showed no signs of inflammation (≥5 PMNL cells/oif).25 Since we observed that all IGND positive samples in our study were also positive for the PMNL criterion, it might be preferable to only use IGND as a diagnostic criterion for urogenital gonorrhoea and set aside the PMNL count. However, accuracy of both IGND and PMNL criteria may be reduced in case the male client has recently urinated.21 For diagnosing endocervical gonococcal infections, performing microscopy on endocervical samples has no additional value for the diagnosis of urogenital gonorrhoea since the sensitivity and the specificity of both microscopic criteria were poor, as described,3 and were similar to that of syndromic management. In cervical and vaginal smears, it is possible to miss IGND due to a low load Ng infection, an abundance of PMNL, debris or high loads of other bacteria that predominate over IGND.19 20 To analyse urogenital smears for the presence of IGND, the Gram-staining procedure is the preferable method advised.2 26 Other methods like methylene blue or crystal violet lack the required distinction of Gram-negative from Gram-positive diplococci and may be useful only for investigating urethral infection.26 This implies that the accuracy of light microscopy may be influenced by instrumental factors (such as the quality of the staining chemicals and the condition of the microscope), as well as technical fluency of staff members and their compliance to the procedural standard in obtaining the samples, preparing and staining the smears and examining slides by microscopy.2 25 In addition, we observed that the accuracy of light microscopic examination for urethral samples was moderate in the clinic-based settings but was much poorer in the outreach settings. Individuals recruited in outreach settings of our study, males and transwomen particularly, were at relatively higher risk than those recruited in clinic-based settings; this is reflected in a higher positivity rate of urethral infections. Disease prevalence may influence performance of a diagnostic test, including predictive values and kappa.18 27 For example, a population with a higher disease prevalence may include more severely diseased patients; therefore, the test performs better in this population.27 The variability of light microscopy accuracy may also be related to the clinical workload of the participating clinics.7 28 Clinic-based settings had a much lower workload per hour compared with outreach settings. The length of time allocated for sample analysis may influence the compliance of the clinicians and the laboratory technicians to the procedure and thus affect the accuracy of the test. When the allocated time is limited, specificity decreases. Proportion of clients to healthcare workers is an important variable that influences the clinical workload.7 28–30 Here we show that the number of female clients (who were mostly sex workers) visiting outreach settings is by far higher than those in clinic-based settings. Outreach settings play a significant role in STI service delivery in Indonesia as they are preferred by members of key populations (including female sex workers), yield a high rate of case detection and are potentially more cost-effective.7 13 28–30 Therefore, improving the quality of STI service in the outreach settings, including achieving a more rational clinical workload and maintaining the technical fluency of staff members, seems to be important. In this study we also confirm that the use of syndromic approach for both male and female participants is not suitable to correctly diagnose a urogenital Ng infection, as reported.8–10 However, evaluating symptoms might still be useful, as the accuracy of light microscopy is better (higher sensitivity and specificity) among symptomatic individuals. The presence of symptoms (genital discharge or pain), especially in males, possibly represents an actual and more severe type of gonococcal infection, in which PMNL and IGND are more likely to present under light microscopy examination of the smear.8 21 Limitations and strengths of the study Our study has several limitations. We did not have any data regarding the numbers and characteristics of STI clients who were potentially eligible but refused to participate in the study. A good comparison of the accuracy of light microscopy in diagnosing endocervical infections between clinic-based and outreach setting was difficult because of the disproportion in the number of females recruited in the two settings. Most female participants, who were sex workers, were recruited in outreach settings. This was probably related to confidential, non-judgemental and free-of-charge STI services in the outreach settings, which were preferred by the members of key populations, including female sex workers.29 30 Our study was conducted in a population with high gonorrhoea prevalence; this needs to be considered in generalising our findings to other settings. In addition, definition of accuracy level based on kappa is arbitrary and is subject to multiple interpretations.18 The technical fluency among clinicians and laboratory technicians working in clinic-based settings as opposed to outreach settings may differ and influence the outcome,7 but this was not evaluated in our study. Furthermore, the clinical workload was not prospectively measured but estimated in a post hoc analysis. Our study has also several strengths. This is the first study to evaluate light microscopy criteria to diagnose urogenital gonorrhoea in Indonesia. The study was performed in several participating clinics in three major cities in the country. In addition, to our knowledge, our observation regarding variability of the diagnostic accuracy by service setting has not been reported in earlier studies. Our study has several limitations. We did not have any data regarding the numbers and characteristics of STI clients who were potentially eligible but refused to participate in the study. A good comparison of the accuracy of light microscopy in diagnosing endocervical infections between clinic-based and outreach setting was difficult because of the disproportion in the number of females recruited in the two settings. Most female participants, who were sex workers, were recruited in outreach settings. This was probably related to confidential, non-judgemental and free-of-charge STI services in the outreach settings, which were preferred by the members of key populations, including female sex workers.29 30 Our study was conducted in a population with high gonorrhoea prevalence; this needs to be considered in generalising our findings to other settings. In addition, definition of accuracy level based on kappa is arbitrary and is subject to multiple interpretations.18 The technical fluency among clinicians and laboratory technicians working in clinic-based settings as opposed to outreach settings may differ and influence the outcome,7 but this was not evaluated in our study. Furthermore, the clinical workload was not prospectively measured but estimated in a post hoc analysis. Our study has also several strengths. This is the first study to evaluate light microscopy criteria to diagnose urogenital gonorrhoea in Indonesia. The study was performed in several participating clinics in three major cities in the country. In addition, to our knowledge, our observation regarding variability of the diagnostic accuracy by service setting has not been reported in earlier studies. Limitations and strengths of the study: Our study has several limitations. We did not have any data regarding the numbers and characteristics of STI clients who were potentially eligible but refused to participate in the study. A good comparison of the accuracy of light microscopy in diagnosing endocervical infections between clinic-based and outreach setting was difficult because of the disproportion in the number of females recruited in the two settings. Most female participants, who were sex workers, were recruited in outreach settings. This was probably related to confidential, non-judgemental and free-of-charge STI services in the outreach settings, which were preferred by the members of key populations, including female sex workers.29 30 Our study was conducted in a population with high gonorrhoea prevalence; this needs to be considered in generalising our findings to other settings. In addition, definition of accuracy level based on kappa is arbitrary and is subject to multiple interpretations.18 The technical fluency among clinicians and laboratory technicians working in clinic-based settings as opposed to outreach settings may differ and influence the outcome,7 but this was not evaluated in our study. Furthermore, the clinical workload was not prospectively measured but estimated in a post hoc analysis. Our study has also several strengths. This is the first study to evaluate light microscopy criteria to diagnose urogenital gonorrhoea in Indonesia. The study was performed in several participating clinics in three major cities in the country. In addition, to our knowledge, our observation regarding variability of the diagnostic accuracy by service setting has not been reported in earlier studies. Conclusions: A moderate accuracy of IGND as a light microscopic criterion implies that it can be used as an option for diagnosing urethral gonorrhoea in males/transwomen in low resource settings. Based on its poor performance, using light microscopy for diagnosing endocervical infection should be discouraged. More advanced methods, such as NAAT, should be considered if financial resources are available, especially for endocervical infections, and to screen asymptomatic individuals. Further studies are needed to determine whether the poor performance in the outreach settings was associated with clinical workload, instrumental and technical problems and/or environmental factors. Supplementary Material:
Background: Gonorrhoea is a common sexually transmitted disease caused by Neisseria gonorrhoeae (Ng) infection. Light microscopy of urogenital smears is used as a simple tool to diagnose urogenital gonorrhoea in many resource-limited settings. We aimed to evaluate the accuracy of light microscopy to diagnose urogenital gonorrhoea as compared with a PCR-based test. Methods: In 2014, we examined 632 male urethral and 360 endocervical smears in clinic-based and outreach settings in Jakarta, Yogyakarta and Denpasar, Indonesia. Using the detection of Ng DNA by a validated PCR as reference test, we evaluated the accuracy of two light microscopic criteria to diagnose urogenital gonorrhoea in genital smears: (1) the presence of intracellular Gram-negative diplococci (IGND) and (2) ≥5 polymorphonuclear leucocytes (PMNL)/oil-immersion field (oif) in urethral or ≥20 PMNL/oif in endocervical smears. Results: In male urethral smears, IGND testing had a sensitivity (95% CI), specificity (95% CI) and kappa±SE of 59.0% (50.1 to 67.4), 89.4% (86.3 to 91.9) and 0.49±0.04, respectively. For PMNL count, these were 59.0% (50.1 to 67.4), 83.7% (80.2 to 86.9) and 0.40±0.04, respectively. The accuracy of IGND in the clinic-based settings (72.0% (57.5 to 83.3), 95.2% (91.8 to 97.5) and 0.68±0.06, respectively) was better than in the outreach settings (51.2% (40.0 to 62.3), 83.4% (78.2 to 87.8) and 0.35±0.06, respectively). In endocervical smears, light microscopy performed poorly regardless of the setting or symptomatology, with kappas ranging from -0.09 to 0.24. Conclusions: Light microscopy using IGND and PMNL criteria can be an option with moderate accuracy to diagnose urethral gonorrhoea among males in a clinic-based setting. The poor accuracy in detecting endocervical infections indicates an urgent need to implement advanced methods, such as PCR. Further investigations are needed to identify the poor diagnostic outcome in outreach services.
Introduction: Gonorrhoea, caused by Neisseria gonorrhoeae (Ng), is the second most common bacterial sexually transmitted infections (STIs) worldwide.1 The variety of diagnostic methods used in different settings and regions may influence the observed epidemiological patterns of gonorrhoea.1 2 Nowadays, nucleic acid amplification tests (NAATs) are considered the standard to diagnose gonorrhoea, both for male and female patients.3 However, NAAT is not always available due to high prices, the required infrastructure and the need for qualified personnel.4 As a result, a diagnostic method based on clinical symptoms and signs (syndromic approach) and/or light microscopic findings is currently the standard in many resource-limited countries, such as Indonesia.5 6 Furthermore, resources are also scarce in an outreach setting, a form of service used frequently to reach target groups who are at risk of STI but have poorer access to institutionalised health centres, for example, sex workers, men who have sex with men (MSM) and transwomen.7 Syndromic approach is considered to be sensitive and specific in symptomatic males.5 6 8 Yet, this approach has been increasingly criticised because of its poor performance in diagnosing gonorrhoea among females and asymptomatic individuals.8–11 As a consequence, antibiotics are both overused and underutilised, and this fuels antimicrobial resistance and spread of infections because of underdiagnosis.8–10 Thus, in addition to syndromic approach, light microscopic examination of Gram-stained smears to support a urogenital gonorrhoea diagnosis is recommended.2 6 12 Two light microscopic findings are used as a criterion for urogenital gonorrhoea: an elevated number of polymorphonuclear leucocytes (PMNLs) and the presence of intracellular Gram-negative diplococci (IGND).2 6 Since the widespread introduction of NAAT to screen for gonorrhoea is too costly and therefore not realistic in many resources-limited settings, we evaluated the performance of these two light microscopic criteria to diagnose urethral and endocervical gonorrhoea in clinic-based and outreach settings in three major cities in Indonesia: Jakarta, Yogyakarta and Denpasar, and compared them with detection of Ng with a PCR test (Ng-PCR) performed at the Public Health Laboratory of Amsterdam, the Netherlands. Conclusions: A moderate accuracy of IGND as a light microscopic criterion implies that it can be used as an option for diagnosing urethral gonorrhoea in males/transwomen in low resource settings. Based on its poor performance, using light microscopy for diagnosing endocervical infection should be discouraged. More advanced methods, such as NAAT, should be considered if financial resources are available, especially for endocervical infections, and to screen asymptomatic individuals. Further studies are needed to determine whether the poor performance in the outreach settings was associated with clinical workload, instrumental and technical problems and/or environmental factors.
Background: Gonorrhoea is a common sexually transmitted disease caused by Neisseria gonorrhoeae (Ng) infection. Light microscopy of urogenital smears is used as a simple tool to diagnose urogenital gonorrhoea in many resource-limited settings. We aimed to evaluate the accuracy of light microscopy to diagnose urogenital gonorrhoea as compared with a PCR-based test. Methods: In 2014, we examined 632 male urethral and 360 endocervical smears in clinic-based and outreach settings in Jakarta, Yogyakarta and Denpasar, Indonesia. Using the detection of Ng DNA by a validated PCR as reference test, we evaluated the accuracy of two light microscopic criteria to diagnose urogenital gonorrhoea in genital smears: (1) the presence of intracellular Gram-negative diplococci (IGND) and (2) ≥5 polymorphonuclear leucocytes (PMNL)/oil-immersion field (oif) in urethral or ≥20 PMNL/oif in endocervical smears. Results: In male urethral smears, IGND testing had a sensitivity (95% CI), specificity (95% CI) and kappa±SE of 59.0% (50.1 to 67.4), 89.4% (86.3 to 91.9) and 0.49±0.04, respectively. For PMNL count, these were 59.0% (50.1 to 67.4), 83.7% (80.2 to 86.9) and 0.40±0.04, respectively. The accuracy of IGND in the clinic-based settings (72.0% (57.5 to 83.3), 95.2% (91.8 to 97.5) and 0.68±0.06, respectively) was better than in the outreach settings (51.2% (40.0 to 62.3), 83.4% (78.2 to 87.8) and 0.35±0.06, respectively). In endocervical smears, light microscopy performed poorly regardless of the setting or symptomatology, with kappas ranging from -0.09 to 0.24. Conclusions: Light microscopy using IGND and PMNL criteria can be an option with moderate accuracy to diagnose urethral gonorrhoea among males in a clinic-based setting. The poor accuracy in detecting endocervical infections indicates an urgent need to implement advanced methods, such as PCR. Further investigations are needed to identify the poor diagnostic outcome in outreach services.
9,142
392
[ 157, 569, 205, 634, 627, 284 ]
12
[ "settings", "study", "participants", "outreach", "samples", "clinic", "based", "light", "ignd", "pcr" ]
[ "gonorrhoea sti clinic", "performance diagnosing gonorrhoea", "diagnose gonorrhoea males", "diagnosing gonorrhoea females", "gonorrhoea diagnosis recommended" ]
[CONTENT] gonorrhoea | outreach services | microscopy | Indonesia | diagnostic study [SUMMARY]
[CONTENT] gonorrhoea | outreach services | microscopy | Indonesia | diagnostic study [SUMMARY]
[CONTENT] gonorrhoea | outreach services | microscopy | Indonesia | diagnostic study [SUMMARY]
[CONTENT] gonorrhoea | outreach services | microscopy | Indonesia | diagnostic study [SUMMARY]
[CONTENT] gonorrhoea | outreach services | microscopy | Indonesia | diagnostic study [SUMMARY]
[CONTENT] gonorrhoea | outreach services | microscopy | Indonesia | diagnostic study [SUMMARY]
[CONTENT] Adolescent | Adult | Cervix Uteri | Female | Gonorrhea | Humans | Indonesia | Male | Microscopy | Neisseria gonorrhoeae | Neutrophils | Polymerase Chain Reaction | Sensitivity and Specificity | Urethra | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Cervix Uteri | Female | Gonorrhea | Humans | Indonesia | Male | Microscopy | Neisseria gonorrhoeae | Neutrophils | Polymerase Chain Reaction | Sensitivity and Specificity | Urethra | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Cervix Uteri | Female | Gonorrhea | Humans | Indonesia | Male | Microscopy | Neisseria gonorrhoeae | Neutrophils | Polymerase Chain Reaction | Sensitivity and Specificity | Urethra | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Cervix Uteri | Female | Gonorrhea | Humans | Indonesia | Male | Microscopy | Neisseria gonorrhoeae | Neutrophils | Polymerase Chain Reaction | Sensitivity and Specificity | Urethra | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Cervix Uteri | Female | Gonorrhea | Humans | Indonesia | Male | Microscopy | Neisseria gonorrhoeae | Neutrophils | Polymerase Chain Reaction | Sensitivity and Specificity | Urethra | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Cervix Uteri | Female | Gonorrhea | Humans | Indonesia | Male | Microscopy | Neisseria gonorrhoeae | Neutrophils | Polymerase Chain Reaction | Sensitivity and Specificity | Urethra | Young Adult [SUMMARY]
[CONTENT] gonorrhoea sti clinic | performance diagnosing gonorrhoea | diagnose gonorrhoea males | diagnosing gonorrhoea females | gonorrhoea diagnosis recommended [SUMMARY]
[CONTENT] gonorrhoea sti clinic | performance diagnosing gonorrhoea | diagnose gonorrhoea males | diagnosing gonorrhoea females | gonorrhoea diagnosis recommended [SUMMARY]
[CONTENT] gonorrhoea sti clinic | performance diagnosing gonorrhoea | diagnose gonorrhoea males | diagnosing gonorrhoea females | gonorrhoea diagnosis recommended [SUMMARY]
[CONTENT] gonorrhoea sti clinic | performance diagnosing gonorrhoea | diagnose gonorrhoea males | diagnosing gonorrhoea females | gonorrhoea diagnosis recommended [SUMMARY]
[CONTENT] gonorrhoea sti clinic | performance diagnosing gonorrhoea | diagnose gonorrhoea males | diagnosing gonorrhoea females | gonorrhoea diagnosis recommended [SUMMARY]
[CONTENT] gonorrhoea sti clinic | performance diagnosing gonorrhoea | diagnose gonorrhoea males | diagnosing gonorrhoea females | gonorrhoea diagnosis recommended [SUMMARY]
[CONTENT] settings | study | participants | outreach | samples | clinic | based | light | ignd | pcr [SUMMARY]
[CONTENT] settings | study | participants | outreach | samples | clinic | based | light | ignd | pcr [SUMMARY]
[CONTENT] settings | study | participants | outreach | samples | clinic | based | light | ignd | pcr [SUMMARY]
[CONTENT] settings | study | participants | outreach | samples | clinic | based | light | ignd | pcr [SUMMARY]
[CONTENT] settings | study | participants | outreach | samples | clinic | based | light | ignd | pcr [SUMMARY]
[CONTENT] settings | study | participants | outreach | samples | clinic | based | light | ignd | pcr [SUMMARY]
[CONTENT] gonorrhoea | approach | light microscopic | microscopic | syndromic approach | syndromic | approach light microscopic | men | approach light | light microscopic findings [SUMMARY]
[CONTENT] samples | laboratory | described | pcr | 15 | reference laboratory | reference | participants | number | study [SUMMARY]
[CONTENT] respectively | day | consultation | day consultation | pmnl | participants | table | test | χ2 test | χ2 [SUMMARY]
[CONTENT] poor performance | poor | diagnosing | performance | gonorrhoea males transwomen low | discouraged advanced methods naat | discouraged advanced methods | discouraged advanced | discouraged | microscopic criterion implies option [SUMMARY]
[CONTENT] settings | study | samples | participants | outreach | light | clinic | gonorrhoea | based | ignd [SUMMARY]
[CONTENT] settings | study | samples | participants | outreach | light | clinic | gonorrhoea | based | ignd [SUMMARY]
[CONTENT] Gonorrhoea | Neisseria ||| ||| PCR [SUMMARY]
[CONTENT] 2014 | 632 | 360 | Jakarta | Yogyakarta | Denpasar | Indonesia ||| PCR | two | 1 | Gram-negative | 2 [SUMMARY]
[CONTENT] IGND | 95% | CI | 95% | CI | 59.0% | 50.1 | 67.4 | 89.4% | 86.3 | 91.9 | 0.49±0.04 ||| PMNL | 59.0% | 50.1 | 67.4 | 83.7% | 80.2 | 86.9 | 0.40±0.04 ||| IGND | 72.0% | 57.5 | 83.3 | 95.2% | 91.8 | 97.5 | 0.68±0.06 | 51.2% | 40.0 | 62.3 | 83.4% | 78.2 | 87.8 | 0.35±0.06 ||| -0.09 | 0.24 [SUMMARY]
[CONTENT] IGND | PMNL ||| PCR ||| [SUMMARY]
[CONTENT] Gonorrhoea | Neisseria ||| ||| PCR ||| 2014 | 632 | 360 | Jakarta | Yogyakarta | Denpasar | Indonesia ||| PCR | two | 1 | Gram-negative | 2 ||| IGND | 95% | CI | 95% | CI | 59.0% | 50.1 | 67.4 | 89.4% | 86.3 | 91.9 | 0.49±0.04 ||| PMNL | 59.0% | 50.1 | 67.4 | 83.7% | 80.2 | 86.9 | 0.40±0.04 ||| IGND | 72.0% | 57.5 | 83.3 | 95.2% | 91.8 | 97.5 | 0.68±0.06 | 51.2% | 40.0 | 62.3 | 83.4% | 78.2 | 87.8 | 0.35±0.06 ||| -0.09 | 0.24 ||| IGND | PMNL ||| PCR ||| [SUMMARY]
[CONTENT] Gonorrhoea | Neisseria ||| ||| PCR ||| 2014 | 632 | 360 | Jakarta | Yogyakarta | Denpasar | Indonesia ||| PCR | two | 1 | Gram-negative | 2 ||| IGND | 95% | CI | 95% | CI | 59.0% | 50.1 | 67.4 | 89.4% | 86.3 | 91.9 | 0.49±0.04 ||| PMNL | 59.0% | 50.1 | 67.4 | 83.7% | 80.2 | 86.9 | 0.40±0.04 ||| IGND | 72.0% | 57.5 | 83.3 | 95.2% | 91.8 | 97.5 | 0.68±0.06 | 51.2% | 40.0 | 62.3 | 83.4% | 78.2 | 87.8 | 0.35±0.06 ||| -0.09 | 0.24 ||| IGND | PMNL ||| PCR ||| [SUMMARY]
Comparison of Metaraminol, Phenylephrine, and Norepinephrine Infusion for Prevention of Hypotension During Combined Spinal-Epidural Anaesthesia for Elective Caesarean Section: A Three-Arm, Randomized, Double-Blind, Non-Inferiority Trial.
35027821
A direct comparison of phenylephrine, metaraminol, and norepinephrine in preventing hypotension during spinal anaesthesia for elective caesarean section has never been made.
BACKGROUND
Seventy-five parturients scheduled for elective caesarean section were randomly assigned into the three groups. After spinal anaesthesia induction, patients received a bonus dose of vasopressor (norepinephrine 4ug, phenylephrine 50ug, or metaraminol 250ug) combined with continuous infusion (norepinephrine 8ug/mL, phenylephrine 100ug/mL, or metaraminol 500ug/mL) at a rate of 30 mL/h to prevent hypotension. The primary outcome was umbilical arterial (UA) pH and other intraoperative data were also recorded.
PATIENTS AND METHODS
The UA pH was 7.32±0.03 for metaraminol, 7.31±0.03 for phenylephrine, and 7.31±0.03 for norepinephrine. The 95% CI of MD was -0.011 to 0.026 comparing metaraminol with norepinephrine and 0.0181 to 0.0182 comparing phenylephrine with norepinephrine. Both lower bounds of the 95% CI of MD were above the predetermined lower boundary of clinical non-inferiority of -0.03, indicating both metaraminol and phenylephrine were non-inferior to norepinephrine. Moreover, the incidence of hypotension was lower in metaraminol compared with norepinephrine (P = 0.01). However, the incidence of hypertension was significantly lower in both phenylephrine and metaraminol compared with norepinephrine.
RESULTS
Both metaraminol and phenylephrine were non-inferior to norepinephrine with respect to neonatal UA pH when used as a bolus and continuous infusion to prevent hypotension during combined spinal-epidural anaesthesia for elective caesarean section.
CONCLUSION
[ "Adult", "Anesthesia, Epidural", "Anesthesia, Spinal", "Cesarean Section", "Double-Blind Method", "Female", "Humans", "Hypotension", "Infusions, Intravenous", "Metaraminol", "Norepinephrine", "Phenylephrine", "Pregnancy", "Prospective Studies", "Sympathomimetics" ]
8752065
Introduction
Caesarean section is one of the most commonly performed surgical procedures; spinal anaesthesia and combined spinal-epidural anaesthesia are the most commonly used methods of anaesthesia for caesarean section. However, their use is associated with a high incidence of hypotension, which can result in adverse maternal and fetal outcomes.1 A number of methods to prevent hypotension have been investigated and prophylactic infusion of vasopressors is commonly recommended.2,3 In the last decade, phenylephrine has been widely used as a vasopressor for maintaining blood pressure (BP) during spinal anaesthesia for caesarean delivery.4 However, as a pure the α-agonist, phenylephrine is often associated with baroreceptor-mediated bradycardia and thus leads to a subsequent decrease in cardiac output (CO).5 Although the decrease in CO is generally back to the pre-spinal anesthetic baseline in a short time,6 it may cause adverse effects in some high-risk situations such as maternal cardiac disease, placental insufficiency, and fetal distress. Norepinephrine with α- agonist and slight β-agonist activity has been put forward as an alternative vasopressor during caesarean section due to its ability to treat hypotension while maintaining heart rate (HR).7 Moreover, recent studies have suggested that norepinephrine is non-inferior at maintaining BP while conferring a greater HR and CO compared with phenylephrine,6,8 which indicated that norepinephrine is the superior vasopressor for use in obstetric spinal anaesthesia. Metaraminol, another vasopressor with α- and β-agonist activity, has also been suggested to be effective in the management of maternal hypotension during caesarean section.9–11 It was reported that metaraminol is at least non-inferior to phenylephrine in preventing hypotension of parturients concerning neonatal acid-base outcomes.12 However, there is still no study that directly compares metaraminol with norepinephrine in preventing hypotension of parturients with spinal anaesthesia. The aim of this prospective, three-arm, randomized, double-blind trial was to directly compare the effect of prophylactic infusions of metaraminol, phenylephrine, and norepinephrine in women undergoing elective caesarean section under combined spinal-epidural (CSE) anaesthesia. We assumed that both metaraminol and phenylephrine infusions would be non-inferior to norepinephrine infusion to prevent maternal hypotension concerning neonatal acid-base status.
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null
null
Conclusion
Both metaraminol and phenylephrine were non-inferior to norepinephrine in preventing maternal hypotension during caesarean section concerning neonatal UA pH. Future studies should be performed to further compare the potential differences among phenylephrine, metaraminol, and norepinephrine on side effects or obstetric outcomes.
[ "Patients and Methods", "Ethics", "Patients and Randomization", "Procedures", "Measurements", "Sample Size Calculation", "Statistical Analysis", "Results", "Discussion", "Conclusion" ]
[ " Ethics This prospective, three-arm, randomized, double-blind non-inferiority trial (KY20191203-14) was conducted after obtaining approval from the Clinical Research Ethics Committee of Sir Run Run Shaw Hospital, School of Medicine, Zhejiang University (Chairperson Prof Limin Liu) on December 03, 2019. The trial was registered before patient enrollment in the Chinese Clinical Trial Registry (registration No. ChiCTR1900028150; principal investigator, Chen Gang; date of registration, December 13, 2019) and conducted in accordance with the Declaration of Helsinki. All patients gave written informed consent before recruitment.\nThis prospective, three-arm, randomized, double-blind non-inferiority trial (KY20191203-14) was conducted after obtaining approval from the Clinical Research Ethics Committee of Sir Run Run Shaw Hospital, School of Medicine, Zhejiang University (Chairperson Prof Limin Liu) on December 03, 2019. The trial was registered before patient enrollment in the Chinese Clinical Trial Registry (registration No. ChiCTR1900028150; principal investigator, Chen Gang; date of registration, December 13, 2019) and conducted in accordance with the Declaration of Helsinki. All patients gave written informed consent before recruitment.\n Patients and Randomization Full-term pregnant women aged over 18 years old scheduled for elective caesarean section were recruited. Exclusion criteria were American Society of Anesthesiologists physical status ≥ 3, weight <50 kg or >100kg, height <140 cm or >180 cm, preexisting or pregnancy-induced hypertension, known fetal abnormality or intrauterine growth restriction, known cardiovascular or cerebrovascular disease, thrombocytopenia, coagulopathy, any medical contraindication to combined spinal-epidural anaesthesia, known allergy to phenylephrine, norepinephrine or metaraminol, inability or refusal to give informed consent. Patients were excluded from subsequent analysis if combined spinal-epidural (CSE) anaesthesia was not established successfully, epidural drugs were required before delivery of the fetus, or severe shivering made non-invasive blood pressure monitoring unreliable.\nPatients were randomly assigned in 1:1:1 ratios using computer-generated random number sequence in blocks of six to metaraminol group (M group), phenylephrine group (P group), or norepinephrine group (N group). The randomization codes were concealed in consecutively numbered, sealed opaque envelopes by a secretarial staff who was not involved with the following study. The envelope was opened just before the enrolled patients entered the operation room.\nA researcher who had no role in patient management or data collection and analysis opened the envelope and prepared two syringes, one 5-mL syringe labeled “bolus” the other 50-mL syringe labeled “infusion” for each patient. In group M, the bolus syringe contained 1.25mg metaraminol (250 µg/mL) and the infusion syringe contained 25mg metaraminol (500 µg/mL). In group P, the bolus syringe contained 250µg phenylephrine (50 µg/mL) and the infusion syringe contained 5000 µg phenylephrine (100µg/mL). In group N, the bolus syringe contained 20µg norepinephrine (4 µg/mL) and the infusion syringe contained 400µg norepinephrine (8 µg/mL). The study drugs were administered by the Anesthesiologist who was blinded to the group assignment. The infusion syringe was placed in a syringe pump (Graseby 3500 Anaesthesia Pump; Graseby Medical Ltd, Watford, UK) that was connected to a 3-way stopcock attached directly to the patient’s IV cannula.\nFull-term pregnant women aged over 18 years old scheduled for elective caesarean section were recruited. Exclusion criteria were American Society of Anesthesiologists physical status ≥ 3, weight <50 kg or >100kg, height <140 cm or >180 cm, preexisting or pregnancy-induced hypertension, known fetal abnormality or intrauterine growth restriction, known cardiovascular or cerebrovascular disease, thrombocytopenia, coagulopathy, any medical contraindication to combined spinal-epidural anaesthesia, known allergy to phenylephrine, norepinephrine or metaraminol, inability or refusal to give informed consent. Patients were excluded from subsequent analysis if combined spinal-epidural (CSE) anaesthesia was not established successfully, epidural drugs were required before delivery of the fetus, or severe shivering made non-invasive blood pressure monitoring unreliable.\nPatients were randomly assigned in 1:1:1 ratios using computer-generated random number sequence in blocks of six to metaraminol group (M group), phenylephrine group (P group), or norepinephrine group (N group). The randomization codes were concealed in consecutively numbered, sealed opaque envelopes by a secretarial staff who was not involved with the following study. The envelope was opened just before the enrolled patients entered the operation room.\nA researcher who had no role in patient management or data collection and analysis opened the envelope and prepared two syringes, one 5-mL syringe labeled “bolus” the other 50-mL syringe labeled “infusion” for each patient. In group M, the bolus syringe contained 1.25mg metaraminol (250 µg/mL) and the infusion syringe contained 25mg metaraminol (500 µg/mL). In group P, the bolus syringe contained 250µg phenylephrine (50 µg/mL) and the infusion syringe contained 5000 µg phenylephrine (100µg/mL). In group N, the bolus syringe contained 20µg norepinephrine (4 µg/mL) and the infusion syringe contained 400µg norepinephrine (8 µg/mL). The study drugs were administered by the Anesthesiologist who was blinded to the group assignment. The infusion syringe was placed in a syringe pump (Graseby 3500 Anaesthesia Pump; Graseby Medical Ltd, Watford, UK) that was connected to a 3-way stopcock attached directly to the patient’s IV cannula.\n Procedures All participants were fasted for at least 8 hours before surgery and no premedication was given. An 18-G IV catheter was inserted and no prehydration was given in the holding area. Upon entering the operating room, the patient was positioned supine with left uterine displacement by tilting the operating table to the left, and standard monitoring including noninvasive BP, pulse oximetry, and 5-lead electrocardiography was applied. We allowed patients to rest for several minutes before baseline values for systolic BP (SBP) and maternal HR were recorded as the means of three consecutive readings with a difference of no more than 10% at 3 min intervals. Blood pressure was measured at 1-min intervals after induction of spinal anaesthesia and 5-min intervals after delivery of the fetus.\nCombined spinal-epidural anaesthesia was performed with patients in the right lateral position at the L2–3 or L3–4 vertebral interspace. After confirming cerebrospinal fluid (CSF), 2.5 mL hyperbaric bupivacaine 0.5% was injected into the subarachnoid space over 30 seconds. Gentle aspiration was applied to verify the successful administration of the spinal solution during the injection of local anesthetics.\nImmediately after the injection of the spinal anesthetic, a 1-mL bolus of the solution from the bolus syringe was administered and the continued infusion was started at a rate of 30 mL/h. Simultaneously, 10 mL/kg of lactated Ringer’s solution was infused over 20–30 minutes. After that, the rate of Ringer’s solution was then reduced to 1 mL/kg/h to keep the vein open until delivery of the fetus.\nAn 18-gauge epidural catheter was inserted and secured. The catheter was gently aspirated and observed for the presence of blood or CSF and was then flushed with 3 mL saline. No epidural test dose was given. Patients were positioned supine with left uterine displacement, and 5 L/min oxygen was delivered via a face mask. The sensory block level was defined as any loss of cold sensation to ice. Surgery was not permitted until the sensory block to the T5 dermatome was confirmed.\nAll participants were fasted for at least 8 hours before surgery and no premedication was given. An 18-G IV catheter was inserted and no prehydration was given in the holding area. Upon entering the operating room, the patient was positioned supine with left uterine displacement by tilting the operating table to the left, and standard monitoring including noninvasive BP, pulse oximetry, and 5-lead electrocardiography was applied. We allowed patients to rest for several minutes before baseline values for systolic BP (SBP) and maternal HR were recorded as the means of three consecutive readings with a difference of no more than 10% at 3 min intervals. Blood pressure was measured at 1-min intervals after induction of spinal anaesthesia and 5-min intervals after delivery of the fetus.\nCombined spinal-epidural anaesthesia was performed with patients in the right lateral position at the L2–3 or L3–4 vertebral interspace. After confirming cerebrospinal fluid (CSF), 2.5 mL hyperbaric bupivacaine 0.5% was injected into the subarachnoid space over 30 seconds. Gentle aspiration was applied to verify the successful administration of the spinal solution during the injection of local anesthetics.\nImmediately after the injection of the spinal anesthetic, a 1-mL bolus of the solution from the bolus syringe was administered and the continued infusion was started at a rate of 30 mL/h. Simultaneously, 10 mL/kg of lactated Ringer’s solution was infused over 20–30 minutes. After that, the rate of Ringer’s solution was then reduced to 1 mL/kg/h to keep the vein open until delivery of the fetus.\nAn 18-gauge epidural catheter was inserted and secured. The catheter was gently aspirated and observed for the presence of blood or CSF and was then flushed with 3 mL saline. No epidural test dose was given. Patients were positioned supine with left uterine displacement, and 5 L/min oxygen was delivered via a face mask. The sensory block level was defined as any loss of cold sensation to ice. Surgery was not permitted until the sensory block to the T5 dermatome was confirmed.\n Measurements Blood pressure and heart rate were measured at 1-minute intervals. If the systolic arterial pressure decreased to <90% baseline at any time, the study drug infusion rate was increased by 5 mL/h. If the systolic arterial pressure fell to <80% baseline, a bolus of 1 mL study drug was given. If at any time, the SBP rose>110% baseline, the infusion rate was reduced by 5 mL/h. If a reading >120% baseline occurred, the infusion was stopped until pressure returned to <120% baseline. Bradycardia was defined as HR < 50 beats/min. If bradycardia was accompanied by hypotension, it was treated with an IV bolus of 0.5 mg atropine; if not accompanied by hypotension, the infusion was stopped and then restarted when HR exceeded 50 beats/min. The study ended at the delivery of the fetus. Arterial and venous blood samples were taken from a double-clamped segment of the umbilical cord by the obstetrician at birth and immediately analyzed through a blood gas analyzer in the operative room by an investigator who was blinded to the patient allocation.\nDemographic characteristics of participants including age, height, and weight were recorded, as well as the duration of surgery, induction-to-delivery interval, uterine incision-to-delivery interval, and the number of physician interventions (such as stopping or restarting infusion, administering rescue bolus). Episodes of hypotension (defined as SBP below the 80% of baseline value), hypertension (defined as SBP above the 120% of baseline value), bradycardia, nausea, vomiting, dizziness, and chest distress were recorded. Neonatal Apgar scores were assessed by the neonatology team at 1 min and 5 min after birth. The anesthesiologist who recorded the above data was also blinded to the group assignment.\nThe primary outcome was umbilical artery (UA) pH and other intra-operative outcomes were secondary outcomes in the current study.\nBlood pressure and heart rate were measured at 1-minute intervals. If the systolic arterial pressure decreased to <90% baseline at any time, the study drug infusion rate was increased by 5 mL/h. If the systolic arterial pressure fell to <80% baseline, a bolus of 1 mL study drug was given. If at any time, the SBP rose>110% baseline, the infusion rate was reduced by 5 mL/h. If a reading >120% baseline occurred, the infusion was stopped until pressure returned to <120% baseline. Bradycardia was defined as HR < 50 beats/min. If bradycardia was accompanied by hypotension, it was treated with an IV bolus of 0.5 mg atropine; if not accompanied by hypotension, the infusion was stopped and then restarted when HR exceeded 50 beats/min. The study ended at the delivery of the fetus. Arterial and venous blood samples were taken from a double-clamped segment of the umbilical cord by the obstetrician at birth and immediately analyzed through a blood gas analyzer in the operative room by an investigator who was blinded to the patient allocation.\nDemographic characteristics of participants including age, height, and weight were recorded, as well as the duration of surgery, induction-to-delivery interval, uterine incision-to-delivery interval, and the number of physician interventions (such as stopping or restarting infusion, administering rescue bolus). Episodes of hypotension (defined as SBP below the 80% of baseline value), hypertension (defined as SBP above the 120% of baseline value), bradycardia, nausea, vomiting, dizziness, and chest distress were recorded. Neonatal Apgar scores were assessed by the neonatology team at 1 min and 5 min after birth. The anesthesiologist who recorded the above data was also blinded to the group assignment.\nThe primary outcome was umbilical artery (UA) pH and other intra-operative outcomes were secondary outcomes in the current study.\n Sample Size Calculation The sample size for this three-arm trial was determined according to the primary outcome of UA pH. Based on the data from our clinical practice, the primary endpoint standard deviation (SD) was assumed to be 0.03. A non-inferiority margin of 0.03 was adopted in our study in accordance with the previous studies.4,12 One-tailed power analysis for the outcome of UA pH indicated that a sample size of 21 patients per group would provide at least 90% power with an alpha of 0.025 to demonstrate the non-inferiority of both metaraminol and phenylephrine to norepinephrine (PASS 2008; NCSS, Kaysville, Utah, USA). Therefore, we planned to recruit 25 patients in each group to compensate for dropouts.\nThe sample size for this three-arm trial was determined according to the primary outcome of UA pH. Based on the data from our clinical practice, the primary endpoint standard deviation (SD) was assumed to be 0.03. A non-inferiority margin of 0.03 was adopted in our study in accordance with the previous studies.4,12 One-tailed power analysis for the outcome of UA pH indicated that a sample size of 21 patients per group would provide at least 90% power with an alpha of 0.025 to demonstrate the non-inferiority of both metaraminol and phenylephrine to norepinephrine (PASS 2008; NCSS, Kaysville, Utah, USA). Therefore, we planned to recruit 25 patients in each group to compensate for dropouts.\n Statistical Analysis All of our analyses were performed using a per-protocol approach. The Shapiro–Wilk test was used to confirm the normality of data distribution. We presented continuous data as mean ± SD and a one-way ANOVA combined with the Tukey’s test for post hoc testing was used in analyzing the normally distributed data; Nonparametric data were reported as median (25th, 75th percentiles) and were analyzed using the Kruskal–Wallis test with the Dunn’s test for post hoc testing. The categorical data were presented as numbers or percentages and the chi-square test was used in analyzing the categorical data. P<0.05 was considered significant. If the significant effect was indicated among three groups in chi-square, pairwise chi-square comparisons were followed with a more conservative alpha level of 0.017. Non-inferiority testing was done by comparing the 95% CI of the difference between groups to the predetermined non-inferiority margin of −0.03. Since the interval till delivery varied among patients, intergroup trends of SBP and heart rate for 15 minutes from vasopressor administration were compared. Serial changes in SBP and HR were analyzed using a 2-factor (treatment and time) repeated measures analysis of variance model. The outliers were detected by judging whether the studentized residuals exceed ±3 times the SD. The normality of data distribution was tested through the analysis of studentized residuals and the Shapiro–Wilk test. The sphericity was estimated by the Mauchly test. If the Mauchly test was significant, Greenhouse-Geisser epsilon adjustment was adopted. If there was a significant difference between groups, we performed simple comparisons between groups for all time levels with Bonferroni adjustments. The above statistical analyses were performed by GraphPad Prism version 5.0 (GraphPad Software Inc., San Diego, CA, USA) and IBM SPSS Statistics for Windows version 22.0 (IBM Corp, Armonk, NY, USA).\nAll of our analyses were performed using a per-protocol approach. The Shapiro–Wilk test was used to confirm the normality of data distribution. We presented continuous data as mean ± SD and a one-way ANOVA combined with the Tukey’s test for post hoc testing was used in analyzing the normally distributed data; Nonparametric data were reported as median (25th, 75th percentiles) and were analyzed using the Kruskal–Wallis test with the Dunn’s test for post hoc testing. The categorical data were presented as numbers or percentages and the chi-square test was used in analyzing the categorical data. P<0.05 was considered significant. If the significant effect was indicated among three groups in chi-square, pairwise chi-square comparisons were followed with a more conservative alpha level of 0.017. Non-inferiority testing was done by comparing the 95% CI of the difference between groups to the predetermined non-inferiority margin of −0.03. Since the interval till delivery varied among patients, intergroup trends of SBP and heart rate for 15 minutes from vasopressor administration were compared. Serial changes in SBP and HR were analyzed using a 2-factor (treatment and time) repeated measures analysis of variance model. The outliers were detected by judging whether the studentized residuals exceed ±3 times the SD. The normality of data distribution was tested through the analysis of studentized residuals and the Shapiro–Wilk test. The sphericity was estimated by the Mauchly test. If the Mauchly test was significant, Greenhouse-Geisser epsilon adjustment was adopted. If there was a significant difference between groups, we performed simple comparisons between groups for all time levels with Bonferroni adjustments. The above statistical analyses were performed by GraphPad Prism version 5.0 (GraphPad Software Inc., San Diego, CA, USA) and IBM SPSS Statistics for Windows version 22.0 (IBM Corp, Armonk, NY, USA).", "This prospective, three-arm, randomized, double-blind non-inferiority trial (KY20191203-14) was conducted after obtaining approval from the Clinical Research Ethics Committee of Sir Run Run Shaw Hospital, School of Medicine, Zhejiang University (Chairperson Prof Limin Liu) on December 03, 2019. The trial was registered before patient enrollment in the Chinese Clinical Trial Registry (registration No. ChiCTR1900028150; principal investigator, Chen Gang; date of registration, December 13, 2019) and conducted in accordance with the Declaration of Helsinki. All patients gave written informed consent before recruitment.", "Full-term pregnant women aged over 18 years old scheduled for elective caesarean section were recruited. Exclusion criteria were American Society of Anesthesiologists physical status ≥ 3, weight <50 kg or >100kg, height <140 cm or >180 cm, preexisting or pregnancy-induced hypertension, known fetal abnormality or intrauterine growth restriction, known cardiovascular or cerebrovascular disease, thrombocytopenia, coagulopathy, any medical contraindication to combined spinal-epidural anaesthesia, known allergy to phenylephrine, norepinephrine or metaraminol, inability or refusal to give informed consent. Patients were excluded from subsequent analysis if combined spinal-epidural (CSE) anaesthesia was not established successfully, epidural drugs were required before delivery of the fetus, or severe shivering made non-invasive blood pressure monitoring unreliable.\nPatients were randomly assigned in 1:1:1 ratios using computer-generated random number sequence in blocks of six to metaraminol group (M group), phenylephrine group (P group), or norepinephrine group (N group). The randomization codes were concealed in consecutively numbered, sealed opaque envelopes by a secretarial staff who was not involved with the following study. The envelope was opened just before the enrolled patients entered the operation room.\nA researcher who had no role in patient management or data collection and analysis opened the envelope and prepared two syringes, one 5-mL syringe labeled “bolus” the other 50-mL syringe labeled “infusion” for each patient. In group M, the bolus syringe contained 1.25mg metaraminol (250 µg/mL) and the infusion syringe contained 25mg metaraminol (500 µg/mL). In group P, the bolus syringe contained 250µg phenylephrine (50 µg/mL) and the infusion syringe contained 5000 µg phenylephrine (100µg/mL). In group N, the bolus syringe contained 20µg norepinephrine (4 µg/mL) and the infusion syringe contained 400µg norepinephrine (8 µg/mL). The study drugs were administered by the Anesthesiologist who was blinded to the group assignment. The infusion syringe was placed in a syringe pump (Graseby 3500 Anaesthesia Pump; Graseby Medical Ltd, Watford, UK) that was connected to a 3-way stopcock attached directly to the patient’s IV cannula.", "All participants were fasted for at least 8 hours before surgery and no premedication was given. An 18-G IV catheter was inserted and no prehydration was given in the holding area. Upon entering the operating room, the patient was positioned supine with left uterine displacement by tilting the operating table to the left, and standard monitoring including noninvasive BP, pulse oximetry, and 5-lead electrocardiography was applied. We allowed patients to rest for several minutes before baseline values for systolic BP (SBP) and maternal HR were recorded as the means of three consecutive readings with a difference of no more than 10% at 3 min intervals. Blood pressure was measured at 1-min intervals after induction of spinal anaesthesia and 5-min intervals after delivery of the fetus.\nCombined spinal-epidural anaesthesia was performed with patients in the right lateral position at the L2–3 or L3–4 vertebral interspace. After confirming cerebrospinal fluid (CSF), 2.5 mL hyperbaric bupivacaine 0.5% was injected into the subarachnoid space over 30 seconds. Gentle aspiration was applied to verify the successful administration of the spinal solution during the injection of local anesthetics.\nImmediately after the injection of the spinal anesthetic, a 1-mL bolus of the solution from the bolus syringe was administered and the continued infusion was started at a rate of 30 mL/h. Simultaneously, 10 mL/kg of lactated Ringer’s solution was infused over 20–30 minutes. After that, the rate of Ringer’s solution was then reduced to 1 mL/kg/h to keep the vein open until delivery of the fetus.\nAn 18-gauge epidural catheter was inserted and secured. The catheter was gently aspirated and observed for the presence of blood or CSF and was then flushed with 3 mL saline. No epidural test dose was given. Patients were positioned supine with left uterine displacement, and 5 L/min oxygen was delivered via a face mask. The sensory block level was defined as any loss of cold sensation to ice. Surgery was not permitted until the sensory block to the T5 dermatome was confirmed.", "Blood pressure and heart rate were measured at 1-minute intervals. If the systolic arterial pressure decreased to <90% baseline at any time, the study drug infusion rate was increased by 5 mL/h. If the systolic arterial pressure fell to <80% baseline, a bolus of 1 mL study drug was given. If at any time, the SBP rose>110% baseline, the infusion rate was reduced by 5 mL/h. If a reading >120% baseline occurred, the infusion was stopped until pressure returned to <120% baseline. Bradycardia was defined as HR < 50 beats/min. If bradycardia was accompanied by hypotension, it was treated with an IV bolus of 0.5 mg atropine; if not accompanied by hypotension, the infusion was stopped and then restarted when HR exceeded 50 beats/min. The study ended at the delivery of the fetus. Arterial and venous blood samples were taken from a double-clamped segment of the umbilical cord by the obstetrician at birth and immediately analyzed through a blood gas analyzer in the operative room by an investigator who was blinded to the patient allocation.\nDemographic characteristics of participants including age, height, and weight were recorded, as well as the duration of surgery, induction-to-delivery interval, uterine incision-to-delivery interval, and the number of physician interventions (such as stopping or restarting infusion, administering rescue bolus). Episodes of hypotension (defined as SBP below the 80% of baseline value), hypertension (defined as SBP above the 120% of baseline value), bradycardia, nausea, vomiting, dizziness, and chest distress were recorded. Neonatal Apgar scores were assessed by the neonatology team at 1 min and 5 min after birth. The anesthesiologist who recorded the above data was also blinded to the group assignment.\nThe primary outcome was umbilical artery (UA) pH and other intra-operative outcomes were secondary outcomes in the current study.", "The sample size for this three-arm trial was determined according to the primary outcome of UA pH. Based on the data from our clinical practice, the primary endpoint standard deviation (SD) was assumed to be 0.03. A non-inferiority margin of 0.03 was adopted in our study in accordance with the previous studies.4,12 One-tailed power analysis for the outcome of UA pH indicated that a sample size of 21 patients per group would provide at least 90% power with an alpha of 0.025 to demonstrate the non-inferiority of both metaraminol and phenylephrine to norepinephrine (PASS 2008; NCSS, Kaysville, Utah, USA). Therefore, we planned to recruit 25 patients in each group to compensate for dropouts.", "All of our analyses were performed using a per-protocol approach. The Shapiro–Wilk test was used to confirm the normality of data distribution. We presented continuous data as mean ± SD and a one-way ANOVA combined with the Tukey’s test for post hoc testing was used in analyzing the normally distributed data; Nonparametric data were reported as median (25th, 75th percentiles) and were analyzed using the Kruskal–Wallis test with the Dunn’s test for post hoc testing. The categorical data were presented as numbers or percentages and the chi-square test was used in analyzing the categorical data. P<0.05 was considered significant. If the significant effect was indicated among three groups in chi-square, pairwise chi-square comparisons were followed with a more conservative alpha level of 0.017. Non-inferiority testing was done by comparing the 95% CI of the difference between groups to the predetermined non-inferiority margin of −0.03. Since the interval till delivery varied among patients, intergroup trends of SBP and heart rate for 15 minutes from vasopressor administration were compared. Serial changes in SBP and HR were analyzed using a 2-factor (treatment and time) repeated measures analysis of variance model. The outliers were detected by judging whether the studentized residuals exceed ±3 times the SD. The normality of data distribution was tested through the analysis of studentized residuals and the Shapiro–Wilk test. The sphericity was estimated by the Mauchly test. If the Mauchly test was significant, Greenhouse-Geisser epsilon adjustment was adopted. If there was a significant difference between groups, we performed simple comparisons between groups for all time levels with Bonferroni adjustments. The above statistical analyses were performed by GraphPad Prism version 5.0 (GraphPad Software Inc., San Diego, CA, USA) and IBM SPSS Statistics for Windows version 22.0 (IBM Corp, Armonk, NY, USA).", "A total of 253 patients were screened for eligibility from December 13, 2019, to March 11, 2020. Among them, 178 were excluded (95 did not meet exclusion criteria, 78 refused to participate in the trial, 5 had their surgery canceled). A total of 75 patients were randomized, allocated, completed the study protocol, and had their data analyzed (25 patients in each group). The CONSORT flow diagram showing the research progress is presented in Figure 1. There were no statistically significant differences in maternal characteristics, baseline SBP and surgical time from incision to delivery among the three groups (Table 1).Table 1Patient and Procedural CharacteristicsCharacteristicsMetaraminol (n=25)Phenylephrine (n=25)Noradrenaline (n=25)P valueAge, years32±332±532±40.963Gestation, weeks39 (38.5,39)39 (38.5,39)39 (38,39)0.490BMI, kg/m226.44 (25.03,27.12)26.73±2.7627.67±2.310.125Parity2 (1,2)2 (1,2)2 (1,2)0.772Baseline systolic arterial pressure; mmHg116.7±8.7114.8±9.0116.7±10.00.701Uterine incision-delivery time; min1 (1,2)2 (1,2)1 (1,2)0.455Dermatic incision-delivery time; min8 (6,10)10 (9,11)9.56±2.830.075Anesthesia-delivery time, min27±628 (26,32)28±70.528Highest sensory blockT4 (T4, T5)T4 (T4, T5)T4 (T4, T4)0.731Volume of intravenous fluids administered until delivery, mL1000 (800, 1000)1000 (500, 1000)1000 (500, 1000)0.422Note: Values are mean±SD or median (IQR).\nFigure 1CONSORT diagram.\nPatient and Procedural Characteristics\nNote: Values are mean±SD or median (IQR).\nCONSORT diagram.\nNon-inferior was showed for both metaraminol and phenylephrine compared with norepinephrine with a non-inferiority margin of 0.03 units. In the comparison of metaraminol and norepinephrine, the umbilical arterial pH was 7.32±0.03 for metaraminol and 7.31±0.03 for norepinephrine (n=25; difference 0.008; 95% CI 0.011–to 0.026). Comparing phenylephrine with norepinephrine, the umbilical arterial pH was 7.31±0.03 in both groups. The estimated mean difference was nearly 0 and the 95% CI of the estimated difference was −0.0181 to 0.0182. Both lower bounds of the 95% CI of the estimated difference in the above two comparisons were above the predetermined lower boundary of clinical non-inferiority of −0.03, indicating that both metaraminol and phenylephrine were non-inferior to norepinephrine (Figure 2). Other neonatal outcomes were not different across the three groups except for the umbilical arterial pO2, which was significantly higher in the M group compared with the N group (Table 2).Table 2Umbilical Vessel Biochemical Values and Apgar Scores in NeonatesGroupPairwise ComparisonsOutcomeMetaraminol (n=25)Phenylephrine (n=25)Norepinephrine (n=25)Overall P valueMetaraminol vs PhenylephrineMetaraminol vs NorepinephrinePhenylephrine vs NorepinephrineUmbilical arterypH7.32±0.037.31±0.037.31±0.030.548pCO2; mmHg49.53±4.6151.02±4.6651.14±5.120.423pO2; mmHg20.47±4.0519.54±3.0316.40 (14.90,20.70)0.021>0.9990.0210.169Base excess; mmol.l−1−1.20 (−2.40,0)−1.34±1.59−1.44±1.650.965Lactate; mmol.l−11.60 (1.30,1.70)1.60 (1.40,1.85)1.67±0.300.358Umbilical veinpH7.37±0.027.36±0.027.37±0.020.815pCO2; mmHg41.16±3.4441.32±3.8839.81±4.570.343pO2; mmHg32.50±4.5030.13±4.8031.75±5.150.211Base excess; mmol.l−1−1.76±1.05−1.86±1.55−1.92±1.200.910Lactate; mmol.l−11.40 (1.30,1.60)1.45±0.321.47±0.210.842Apgar score at 1 min10 (10,10)10 (10,10)10 (10,10)0.77Apgar score at 5 min10 (10,10)10 (10,10)10 (10,10)0.60Note: Values are mean ± SD or median (IQR).\nFigure 2Differences in umbilical arterial pH compared both metaraminol group and phenylephrine group with norepinephrine group. The confidence intervals of both comparisons do not cross the non-inferiority margin, which was set at −0.03 pH units, indicating that both phenylephrine and metaraminol are non-inferior to norepinephrine.\nUmbilical Vessel Biochemical Values and Apgar Scores in Neonates\nNote: Values are mean ± SD or median (IQR).\nDifferences in umbilical arterial pH compared both metaraminol group and phenylephrine group with norepinephrine group. The confidence intervals of both comparisons do not cross the non-inferiority margin, which was set at −0.03 pH units, indicating that both phenylephrine and metaraminol are non-inferior to norepinephrine.\nFor the intra-operative outcomes of the participants, there was no significant difference among the three groups with respect to the incidence of bradycardia, dizziness, chest distress, nausea, and vomiting. Significant differences in the incidence of hypotension, hypertension, the number of rescue bolus doses, and pump adjustments among the three groups were indicated by the chi-square test. Moreover, the pairwise chi-square comparisons with a more conservative alpha level of 0.017 suggested that the incidence of hypotension was significantly lower in the M group compared with the N group. However, the number of pump adjustments and the incidence of hypertension were significantly higher in the P group and M group compared with the N group (Table 3).Table 3Intraoperative Data of Different GroupsGroupPairwise ComparisonsOutcomeMetaraminol (n=25)Phenylephrine (n=25)Norepinephrine (n=25)Overall P valueMetaraminol vs PhenylephrineMetaraminol vs NoradrenalinePhenylephrine vs NoradrenalineHypotension1580.03880.08170.01000.3334Hypertension1792<0.00010.0235<0.00010.0169Bradycardia1300.1575Nausea1210.8071Vomiting000Dizziness0020.1405Chest distress3320.8694Number of rescue bolus doses0 (0,0)0 (0,0)0 (0,1)0.04270.38510.0390>0.9999Number of pump adjustments4 (3,4)4 (3,4)2 (0,3)<0.0001>0.99990.00040.0004Note: Values are number or median (IQR).\n\nIntraoperative Data of Different Groups\nNote: Values are number or median (IQR).\nSerial changes of SBP and HR were respectively presented in Figures 3 and 4. In general, the M group had higher SBP compared with the N group and the P group (Figure 3); the N group had higher HR compared with the M group and the P group in most readings (Figure 4).Figure 3Serial changes in SBP in the first 15 min after induction of spinal anaesthesia for different groups. Data are shown as mean (standard deviation, SD). *Statistical significance between the P group and the N group. †Statistical significance between the M group and the N group. ‡Statistical significance between the M group and the P group.Figure 4Serial changes in HR in the first 15 min after induction of spinal anaesthesia for different groups. Data are shown as mean (standard deviation, SD). *Statistical significance between the P group and the N group. †Statistical significance between the M group and the N group; ‡Statistical significance between the M group and the P group.\nSerial changes in SBP in the first 15 min after induction of spinal anaesthesia for different groups. Data are shown as mean (standard deviation, SD). *Statistical significance between the P group and the N group. †Statistical significance between the M group and the N group. ‡Statistical significance between the M group and the P group.\nSerial changes in HR in the first 15 min after induction of spinal anaesthesia for different groups. Data are shown as mean (standard deviation, SD). *Statistical significance between the P group and the N group. †Statistical significance between the M group and the N group; ‡Statistical significance between the M group and the P group.", "In the current study, we found that prophylactic use of both metaraminol and phenylephrine infusions to prevent maternal hypotension in caesarean section were non-inferior to norepinephrine infusion concerning neonatal umbilical arterial pH. However, the umbilical arterial pO2 was significantly higher in the M group compared with the N group. Moreover, the incidence of hypotension was significantly lower in the M group compared with the N group and the number of pump adjustments and the incidence of hypertension were significantly higher in the P group and M group compared with the N group. In addition, significant differences were indicated in SBP and HR at each time interval among the three groups except during the first 1 to 5 minutes.\nUA pH is a well-established measure of neonatal condition at birth that reflects both the metabolic and the respiratory parts of fetal acidaemia. The respiratory fetal acidaemia is mainly caused by carbon dioxide accumulation due to acute insufficient perfusion of the placenta. Both spinal anaesthesia and intraoperative vasopressors administration are risk factors of the acute insufficient perfusion of the placenta. BE is also an appropriate indicator of outcome since it reflects the metabolic fetal acidaemia. However, a previous study suggested that the metabolic component does not predict those at risk of adverse outcomes once pH is taken into account.13 Therefore, we took the UA pH as the primary outcome. Nonetheless, we compared UA BE among groups as a secondary outcome.\nIn consideration of the reflex decrease in HR and an associated decrease in CO induced by a pure vasoconstrictor, alternative agents such as dilute norepinephrine and metaraminol combine α- and β-adrenergic receptor agonist activity and may be a more ideal agent for the management of spinal-induced hypotension. Several studies comparing norepinephrine and phenylephrine for preventing hypotension during spinal anaesthesia for caesarean section have been conducted in recent years.6,8,14–17 However, most of the previous studies focused on hemodynamic differences between norepinephrine and phenylephrine with fetal outcomes included as secondary outcomes. In the current study, we took UA pH as the primary outcome and found that phenylephrine was non-inferior to norepinephrine concerning the fetal outcome which was consistent with a newly published study.18 Unlike the newly published study, we also compared norepinephrine with metaraminol which is another alternative agent with combined α- and β-adrenergic receptor agonist activity in the current study. There is still no published study that compared norepinephrine with metaraminol in preventing hypotension during caesarean section. The current study for the first time demonstrated that metaraminol was also non-inferior to norepinephrine regarding UA pH. Moreover, the other outcomes of UA and UV blood gases were also comparable among the three groups including BE. However, there is an exception that the umbilical arterial pO2 was significantly higher in the M group compared with the N group. The difference in maternal hemodynamics between the two groups may account for this phenomenon. As showed in the current study, the SBP and HR were relatively stable in the three groups and sufficient perfusion of the placenta was indicated by normal UA pH. However, the SBP in the M group was the highest one among the three groups at most time intervals with SBP in the N group being the lowest one. Therefore, the fetuses in group M will have a more adequate supply of oxygen manifested as higher umbilical arterial pO2.\nMany studies have investigated the potency ratio for norepinephrine/phenylephrine. At first, Ngan et al suggested that the potency ratio for norepinephrine/phenylephrine was 17:1 (norepinephrine 6 μg equivalent to phenylephrine 100 μg).6 However, the subsequent works suggested that the real potency ratio may be smaller with a potency ratio of 13:1 (norepinephrine 7.6 μg equivalent to phenylephrine 100μg)19 and 11:1 (norepinephrine 8.8 μg equivalent to phenylephrine 100μg).20 Therefore, we chose to study norepinephrine at a concentration of 8μg/mL and phenylephrine at 100μg/mL. Since the potency ratio for metaraminol/ phenylephrine has been widely demonstrated to be 5:1, we studied metaraminol at 500μg /mL. Moreover, some studies have suggested that a bolus of vasoconstrictor before starting continuous infusion may reduce the rates of maternal hypotension and nausea.21,22 Therefore, we gave the participants a bolus of norepinephrine 4 μg, phenylephrine 50 μg, or metaraminol 250 μg before starting the continuous infusion. A rate of 25–50 μg/min was reported to provide the best balance in maintaining maternal blood pressure without reactive hypertension or bradycardia23,24 for phenylephrine. Therefore, the initial infusion rate was set to 30 mL/h (50 ug/min for phenylephrine) in all groups to ensure the anesthesiologists were blinded to the patients’ allocation.\nIn the current study, we found that most intra-operative data including the incidence of bradycardia, dizziness, chest distress, nausea, and vomiting were comparable among the three groups. However, the incidence of hypotension was significantly lower in the M group compared with the N group and the number of pump adjustments and the incidence of hypertension was significantly higher in the P group and M group compared with the N group. In addition, the M group had higher SBP compared with the N group and P group at most time points. Regardless of the potential differences in pharmacodynamics, metaraminol may have an advantage over phenylephrine or norepinephrine due to the potential bias induced by drug preparation for infusion. A very small part of the solution will inevitably remain in the ampoules, which will cause the deviation between the actual concentration and the target concentration. The concentration deviation caused by the dilution process is most obvious in the N group among the three groups due to its highest potency. Therefore, the incidence of hypotension could be significantly higher in the N group compared with the M group due to concentration deviation related to the huge difference in their potencies. The above reason could also account for the differences in the incidence of hypertension, the number of pump adjustments, and serial SBP among the three groups.\nThere are some limitations in our study. Firstly, the subjects were all healthy women and fetuses. The results might not be applicable for women with cardiovascular disease or fetuses with uteroplacental insufficiency. Secondly, not all cases were the first cases of the day, therefore, women who have longer fasting periods may be more likely to suffer from intraoperative hypotension due to fasting. In addition, there may be potential bias in the process of drug preparation for infusion which may affect the authenticity of the results.", "Both metaraminol and phenylephrine were non-inferior to norepinephrine in preventing maternal hypotension during caesarean section concerning neonatal UA pH. Future studies should be performed to further compare the potential differences among phenylephrine, metaraminol, and norepinephrine on side effects or obstetric outcomes." ]
[ null, null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Patients and Methods", "Ethics", "Patients and Randomization", "Procedures", "Measurements", "Sample Size Calculation", "Statistical Analysis", "Results", "Discussion", "Conclusion" ]
[ "Caesarean section is one of the most commonly performed surgical procedures; spinal anaesthesia and combined spinal-epidural anaesthesia are the most commonly used methods of anaesthesia for caesarean section. However, their use is associated with a high incidence of hypotension, which can result in adverse maternal and fetal outcomes.1 A number of methods to prevent hypotension have been investigated and prophylactic infusion of vasopressors is commonly recommended.2,3\nIn the last decade, phenylephrine has been widely used as a vasopressor for maintaining blood pressure (BP) during spinal anaesthesia for caesarean delivery.4 However, as a pure the α-agonist, phenylephrine is often associated with baroreceptor-mediated bradycardia and thus leads to a subsequent decrease in cardiac output (CO).5 Although the decrease in CO is generally back to the pre-spinal anesthetic baseline in a short time,6 it may cause adverse effects in some high-risk situations such as maternal cardiac disease, placental insufficiency, and fetal distress.\nNorepinephrine with α- agonist and slight β-agonist activity has been put forward as an alternative vasopressor during caesarean section due to its ability to treat hypotension while maintaining heart rate (HR).7 Moreover, recent studies have suggested that norepinephrine is non-inferior at maintaining BP while conferring a greater HR and CO compared with phenylephrine,6,8 which indicated that norepinephrine is the superior vasopressor for use in obstetric spinal anaesthesia.\nMetaraminol, another vasopressor with α- and β-agonist activity, has also been suggested to be effective in the management of maternal hypotension during caesarean section.9–11 It was reported that metaraminol is at least non-inferior to phenylephrine in preventing hypotension of parturients concerning neonatal acid-base outcomes.12 However, there is still no study that directly compares metaraminol with norepinephrine in preventing hypotension of parturients with spinal anaesthesia.\nThe aim of this prospective, three-arm, randomized, double-blind trial was to directly compare the effect of prophylactic infusions of metaraminol, phenylephrine, and norepinephrine in women undergoing elective caesarean section under combined spinal-epidural (CSE) anaesthesia. We assumed that both metaraminol and phenylephrine infusions would be non-inferior to norepinephrine infusion to prevent maternal hypotension concerning neonatal acid-base status.", " Ethics This prospective, three-arm, randomized, double-blind non-inferiority trial (KY20191203-14) was conducted after obtaining approval from the Clinical Research Ethics Committee of Sir Run Run Shaw Hospital, School of Medicine, Zhejiang University (Chairperson Prof Limin Liu) on December 03, 2019. The trial was registered before patient enrollment in the Chinese Clinical Trial Registry (registration No. ChiCTR1900028150; principal investigator, Chen Gang; date of registration, December 13, 2019) and conducted in accordance with the Declaration of Helsinki. All patients gave written informed consent before recruitment.\nThis prospective, three-arm, randomized, double-blind non-inferiority trial (KY20191203-14) was conducted after obtaining approval from the Clinical Research Ethics Committee of Sir Run Run Shaw Hospital, School of Medicine, Zhejiang University (Chairperson Prof Limin Liu) on December 03, 2019. The trial was registered before patient enrollment in the Chinese Clinical Trial Registry (registration No. ChiCTR1900028150; principal investigator, Chen Gang; date of registration, December 13, 2019) and conducted in accordance with the Declaration of Helsinki. All patients gave written informed consent before recruitment.\n Patients and Randomization Full-term pregnant women aged over 18 years old scheduled for elective caesarean section were recruited. Exclusion criteria were American Society of Anesthesiologists physical status ≥ 3, weight <50 kg or >100kg, height <140 cm or >180 cm, preexisting or pregnancy-induced hypertension, known fetal abnormality or intrauterine growth restriction, known cardiovascular or cerebrovascular disease, thrombocytopenia, coagulopathy, any medical contraindication to combined spinal-epidural anaesthesia, known allergy to phenylephrine, norepinephrine or metaraminol, inability or refusal to give informed consent. Patients were excluded from subsequent analysis if combined spinal-epidural (CSE) anaesthesia was not established successfully, epidural drugs were required before delivery of the fetus, or severe shivering made non-invasive blood pressure monitoring unreliable.\nPatients were randomly assigned in 1:1:1 ratios using computer-generated random number sequence in blocks of six to metaraminol group (M group), phenylephrine group (P group), or norepinephrine group (N group). The randomization codes were concealed in consecutively numbered, sealed opaque envelopes by a secretarial staff who was not involved with the following study. The envelope was opened just before the enrolled patients entered the operation room.\nA researcher who had no role in patient management or data collection and analysis opened the envelope and prepared two syringes, one 5-mL syringe labeled “bolus” the other 50-mL syringe labeled “infusion” for each patient. In group M, the bolus syringe contained 1.25mg metaraminol (250 µg/mL) and the infusion syringe contained 25mg metaraminol (500 µg/mL). In group P, the bolus syringe contained 250µg phenylephrine (50 µg/mL) and the infusion syringe contained 5000 µg phenylephrine (100µg/mL). In group N, the bolus syringe contained 20µg norepinephrine (4 µg/mL) and the infusion syringe contained 400µg norepinephrine (8 µg/mL). The study drugs were administered by the Anesthesiologist who was blinded to the group assignment. The infusion syringe was placed in a syringe pump (Graseby 3500 Anaesthesia Pump; Graseby Medical Ltd, Watford, UK) that was connected to a 3-way stopcock attached directly to the patient’s IV cannula.\nFull-term pregnant women aged over 18 years old scheduled for elective caesarean section were recruited. Exclusion criteria were American Society of Anesthesiologists physical status ≥ 3, weight <50 kg or >100kg, height <140 cm or >180 cm, preexisting or pregnancy-induced hypertension, known fetal abnormality or intrauterine growth restriction, known cardiovascular or cerebrovascular disease, thrombocytopenia, coagulopathy, any medical contraindication to combined spinal-epidural anaesthesia, known allergy to phenylephrine, norepinephrine or metaraminol, inability or refusal to give informed consent. Patients were excluded from subsequent analysis if combined spinal-epidural (CSE) anaesthesia was not established successfully, epidural drugs were required before delivery of the fetus, or severe shivering made non-invasive blood pressure monitoring unreliable.\nPatients were randomly assigned in 1:1:1 ratios using computer-generated random number sequence in blocks of six to metaraminol group (M group), phenylephrine group (P group), or norepinephrine group (N group). The randomization codes were concealed in consecutively numbered, sealed opaque envelopes by a secretarial staff who was not involved with the following study. The envelope was opened just before the enrolled patients entered the operation room.\nA researcher who had no role in patient management or data collection and analysis opened the envelope and prepared two syringes, one 5-mL syringe labeled “bolus” the other 50-mL syringe labeled “infusion” for each patient. In group M, the bolus syringe contained 1.25mg metaraminol (250 µg/mL) and the infusion syringe contained 25mg metaraminol (500 µg/mL). In group P, the bolus syringe contained 250µg phenylephrine (50 µg/mL) and the infusion syringe contained 5000 µg phenylephrine (100µg/mL). In group N, the bolus syringe contained 20µg norepinephrine (4 µg/mL) and the infusion syringe contained 400µg norepinephrine (8 µg/mL). The study drugs were administered by the Anesthesiologist who was blinded to the group assignment. The infusion syringe was placed in a syringe pump (Graseby 3500 Anaesthesia Pump; Graseby Medical Ltd, Watford, UK) that was connected to a 3-way stopcock attached directly to the patient’s IV cannula.\n Procedures All participants were fasted for at least 8 hours before surgery and no premedication was given. An 18-G IV catheter was inserted and no prehydration was given in the holding area. Upon entering the operating room, the patient was positioned supine with left uterine displacement by tilting the operating table to the left, and standard monitoring including noninvasive BP, pulse oximetry, and 5-lead electrocardiography was applied. We allowed patients to rest for several minutes before baseline values for systolic BP (SBP) and maternal HR were recorded as the means of three consecutive readings with a difference of no more than 10% at 3 min intervals. Blood pressure was measured at 1-min intervals after induction of spinal anaesthesia and 5-min intervals after delivery of the fetus.\nCombined spinal-epidural anaesthesia was performed with patients in the right lateral position at the L2–3 or L3–4 vertebral interspace. After confirming cerebrospinal fluid (CSF), 2.5 mL hyperbaric bupivacaine 0.5% was injected into the subarachnoid space over 30 seconds. Gentle aspiration was applied to verify the successful administration of the spinal solution during the injection of local anesthetics.\nImmediately after the injection of the spinal anesthetic, a 1-mL bolus of the solution from the bolus syringe was administered and the continued infusion was started at a rate of 30 mL/h. Simultaneously, 10 mL/kg of lactated Ringer’s solution was infused over 20–30 minutes. After that, the rate of Ringer’s solution was then reduced to 1 mL/kg/h to keep the vein open until delivery of the fetus.\nAn 18-gauge epidural catheter was inserted and secured. The catheter was gently aspirated and observed for the presence of blood or CSF and was then flushed with 3 mL saline. No epidural test dose was given. Patients were positioned supine with left uterine displacement, and 5 L/min oxygen was delivered via a face mask. The sensory block level was defined as any loss of cold sensation to ice. Surgery was not permitted until the sensory block to the T5 dermatome was confirmed.\nAll participants were fasted for at least 8 hours before surgery and no premedication was given. An 18-G IV catheter was inserted and no prehydration was given in the holding area. Upon entering the operating room, the patient was positioned supine with left uterine displacement by tilting the operating table to the left, and standard monitoring including noninvasive BP, pulse oximetry, and 5-lead electrocardiography was applied. We allowed patients to rest for several minutes before baseline values for systolic BP (SBP) and maternal HR were recorded as the means of three consecutive readings with a difference of no more than 10% at 3 min intervals. Blood pressure was measured at 1-min intervals after induction of spinal anaesthesia and 5-min intervals after delivery of the fetus.\nCombined spinal-epidural anaesthesia was performed with patients in the right lateral position at the L2–3 or L3–4 vertebral interspace. After confirming cerebrospinal fluid (CSF), 2.5 mL hyperbaric bupivacaine 0.5% was injected into the subarachnoid space over 30 seconds. Gentle aspiration was applied to verify the successful administration of the spinal solution during the injection of local anesthetics.\nImmediately after the injection of the spinal anesthetic, a 1-mL bolus of the solution from the bolus syringe was administered and the continued infusion was started at a rate of 30 mL/h. Simultaneously, 10 mL/kg of lactated Ringer’s solution was infused over 20–30 minutes. After that, the rate of Ringer’s solution was then reduced to 1 mL/kg/h to keep the vein open until delivery of the fetus.\nAn 18-gauge epidural catheter was inserted and secured. The catheter was gently aspirated and observed for the presence of blood or CSF and was then flushed with 3 mL saline. No epidural test dose was given. Patients were positioned supine with left uterine displacement, and 5 L/min oxygen was delivered via a face mask. The sensory block level was defined as any loss of cold sensation to ice. Surgery was not permitted until the sensory block to the T5 dermatome was confirmed.\n Measurements Blood pressure and heart rate were measured at 1-minute intervals. If the systolic arterial pressure decreased to <90% baseline at any time, the study drug infusion rate was increased by 5 mL/h. If the systolic arterial pressure fell to <80% baseline, a bolus of 1 mL study drug was given. If at any time, the SBP rose>110% baseline, the infusion rate was reduced by 5 mL/h. If a reading >120% baseline occurred, the infusion was stopped until pressure returned to <120% baseline. Bradycardia was defined as HR < 50 beats/min. If bradycardia was accompanied by hypotension, it was treated with an IV bolus of 0.5 mg atropine; if not accompanied by hypotension, the infusion was stopped and then restarted when HR exceeded 50 beats/min. The study ended at the delivery of the fetus. Arterial and venous blood samples were taken from a double-clamped segment of the umbilical cord by the obstetrician at birth and immediately analyzed through a blood gas analyzer in the operative room by an investigator who was blinded to the patient allocation.\nDemographic characteristics of participants including age, height, and weight were recorded, as well as the duration of surgery, induction-to-delivery interval, uterine incision-to-delivery interval, and the number of physician interventions (such as stopping or restarting infusion, administering rescue bolus). Episodes of hypotension (defined as SBP below the 80% of baseline value), hypertension (defined as SBP above the 120% of baseline value), bradycardia, nausea, vomiting, dizziness, and chest distress were recorded. Neonatal Apgar scores were assessed by the neonatology team at 1 min and 5 min after birth. The anesthesiologist who recorded the above data was also blinded to the group assignment.\nThe primary outcome was umbilical artery (UA) pH and other intra-operative outcomes were secondary outcomes in the current study.\nBlood pressure and heart rate were measured at 1-minute intervals. If the systolic arterial pressure decreased to <90% baseline at any time, the study drug infusion rate was increased by 5 mL/h. If the systolic arterial pressure fell to <80% baseline, a bolus of 1 mL study drug was given. If at any time, the SBP rose>110% baseline, the infusion rate was reduced by 5 mL/h. If a reading >120% baseline occurred, the infusion was stopped until pressure returned to <120% baseline. Bradycardia was defined as HR < 50 beats/min. If bradycardia was accompanied by hypotension, it was treated with an IV bolus of 0.5 mg atropine; if not accompanied by hypotension, the infusion was stopped and then restarted when HR exceeded 50 beats/min. The study ended at the delivery of the fetus. Arterial and venous blood samples were taken from a double-clamped segment of the umbilical cord by the obstetrician at birth and immediately analyzed through a blood gas analyzer in the operative room by an investigator who was blinded to the patient allocation.\nDemographic characteristics of participants including age, height, and weight were recorded, as well as the duration of surgery, induction-to-delivery interval, uterine incision-to-delivery interval, and the number of physician interventions (such as stopping or restarting infusion, administering rescue bolus). Episodes of hypotension (defined as SBP below the 80% of baseline value), hypertension (defined as SBP above the 120% of baseline value), bradycardia, nausea, vomiting, dizziness, and chest distress were recorded. Neonatal Apgar scores were assessed by the neonatology team at 1 min and 5 min after birth. The anesthesiologist who recorded the above data was also blinded to the group assignment.\nThe primary outcome was umbilical artery (UA) pH and other intra-operative outcomes were secondary outcomes in the current study.\n Sample Size Calculation The sample size for this three-arm trial was determined according to the primary outcome of UA pH. Based on the data from our clinical practice, the primary endpoint standard deviation (SD) was assumed to be 0.03. A non-inferiority margin of 0.03 was adopted in our study in accordance with the previous studies.4,12 One-tailed power analysis for the outcome of UA pH indicated that a sample size of 21 patients per group would provide at least 90% power with an alpha of 0.025 to demonstrate the non-inferiority of both metaraminol and phenylephrine to norepinephrine (PASS 2008; NCSS, Kaysville, Utah, USA). Therefore, we planned to recruit 25 patients in each group to compensate for dropouts.\nThe sample size for this three-arm trial was determined according to the primary outcome of UA pH. Based on the data from our clinical practice, the primary endpoint standard deviation (SD) was assumed to be 0.03. A non-inferiority margin of 0.03 was adopted in our study in accordance with the previous studies.4,12 One-tailed power analysis for the outcome of UA pH indicated that a sample size of 21 patients per group would provide at least 90% power with an alpha of 0.025 to demonstrate the non-inferiority of both metaraminol and phenylephrine to norepinephrine (PASS 2008; NCSS, Kaysville, Utah, USA). Therefore, we planned to recruit 25 patients in each group to compensate for dropouts.\n Statistical Analysis All of our analyses were performed using a per-protocol approach. The Shapiro–Wilk test was used to confirm the normality of data distribution. We presented continuous data as mean ± SD and a one-way ANOVA combined with the Tukey’s test for post hoc testing was used in analyzing the normally distributed data; Nonparametric data were reported as median (25th, 75th percentiles) and were analyzed using the Kruskal–Wallis test with the Dunn’s test for post hoc testing. The categorical data were presented as numbers or percentages and the chi-square test was used in analyzing the categorical data. P<0.05 was considered significant. If the significant effect was indicated among three groups in chi-square, pairwise chi-square comparisons were followed with a more conservative alpha level of 0.017. Non-inferiority testing was done by comparing the 95% CI of the difference between groups to the predetermined non-inferiority margin of −0.03. Since the interval till delivery varied among patients, intergroup trends of SBP and heart rate for 15 minutes from vasopressor administration were compared. Serial changes in SBP and HR were analyzed using a 2-factor (treatment and time) repeated measures analysis of variance model. The outliers were detected by judging whether the studentized residuals exceed ±3 times the SD. The normality of data distribution was tested through the analysis of studentized residuals and the Shapiro–Wilk test. The sphericity was estimated by the Mauchly test. If the Mauchly test was significant, Greenhouse-Geisser epsilon adjustment was adopted. If there was a significant difference between groups, we performed simple comparisons between groups for all time levels with Bonferroni adjustments. The above statistical analyses were performed by GraphPad Prism version 5.0 (GraphPad Software Inc., San Diego, CA, USA) and IBM SPSS Statistics for Windows version 22.0 (IBM Corp, Armonk, NY, USA).\nAll of our analyses were performed using a per-protocol approach. The Shapiro–Wilk test was used to confirm the normality of data distribution. We presented continuous data as mean ± SD and a one-way ANOVA combined with the Tukey’s test for post hoc testing was used in analyzing the normally distributed data; Nonparametric data were reported as median (25th, 75th percentiles) and were analyzed using the Kruskal–Wallis test with the Dunn’s test for post hoc testing. The categorical data were presented as numbers or percentages and the chi-square test was used in analyzing the categorical data. P<0.05 was considered significant. If the significant effect was indicated among three groups in chi-square, pairwise chi-square comparisons were followed with a more conservative alpha level of 0.017. Non-inferiority testing was done by comparing the 95% CI of the difference between groups to the predetermined non-inferiority margin of −0.03. Since the interval till delivery varied among patients, intergroup trends of SBP and heart rate for 15 minutes from vasopressor administration were compared. Serial changes in SBP and HR were analyzed using a 2-factor (treatment and time) repeated measures analysis of variance model. The outliers were detected by judging whether the studentized residuals exceed ±3 times the SD. The normality of data distribution was tested through the analysis of studentized residuals and the Shapiro–Wilk test. The sphericity was estimated by the Mauchly test. If the Mauchly test was significant, Greenhouse-Geisser epsilon adjustment was adopted. If there was a significant difference between groups, we performed simple comparisons between groups for all time levels with Bonferroni adjustments. The above statistical analyses were performed by GraphPad Prism version 5.0 (GraphPad Software Inc., San Diego, CA, USA) and IBM SPSS Statistics for Windows version 22.0 (IBM Corp, Armonk, NY, USA).", "This prospective, three-arm, randomized, double-blind non-inferiority trial (KY20191203-14) was conducted after obtaining approval from the Clinical Research Ethics Committee of Sir Run Run Shaw Hospital, School of Medicine, Zhejiang University (Chairperson Prof Limin Liu) on December 03, 2019. The trial was registered before patient enrollment in the Chinese Clinical Trial Registry (registration No. ChiCTR1900028150; principal investigator, Chen Gang; date of registration, December 13, 2019) and conducted in accordance with the Declaration of Helsinki. All patients gave written informed consent before recruitment.", "Full-term pregnant women aged over 18 years old scheduled for elective caesarean section were recruited. Exclusion criteria were American Society of Anesthesiologists physical status ≥ 3, weight <50 kg or >100kg, height <140 cm or >180 cm, preexisting or pregnancy-induced hypertension, known fetal abnormality or intrauterine growth restriction, known cardiovascular or cerebrovascular disease, thrombocytopenia, coagulopathy, any medical contraindication to combined spinal-epidural anaesthesia, known allergy to phenylephrine, norepinephrine or metaraminol, inability or refusal to give informed consent. Patients were excluded from subsequent analysis if combined spinal-epidural (CSE) anaesthesia was not established successfully, epidural drugs were required before delivery of the fetus, or severe shivering made non-invasive blood pressure monitoring unreliable.\nPatients were randomly assigned in 1:1:1 ratios using computer-generated random number sequence in blocks of six to metaraminol group (M group), phenylephrine group (P group), or norepinephrine group (N group). The randomization codes were concealed in consecutively numbered, sealed opaque envelopes by a secretarial staff who was not involved with the following study. The envelope was opened just before the enrolled patients entered the operation room.\nA researcher who had no role in patient management or data collection and analysis opened the envelope and prepared two syringes, one 5-mL syringe labeled “bolus” the other 50-mL syringe labeled “infusion” for each patient. In group M, the bolus syringe contained 1.25mg metaraminol (250 µg/mL) and the infusion syringe contained 25mg metaraminol (500 µg/mL). In group P, the bolus syringe contained 250µg phenylephrine (50 µg/mL) and the infusion syringe contained 5000 µg phenylephrine (100µg/mL). In group N, the bolus syringe contained 20µg norepinephrine (4 µg/mL) and the infusion syringe contained 400µg norepinephrine (8 µg/mL). The study drugs were administered by the Anesthesiologist who was blinded to the group assignment. The infusion syringe was placed in a syringe pump (Graseby 3500 Anaesthesia Pump; Graseby Medical Ltd, Watford, UK) that was connected to a 3-way stopcock attached directly to the patient’s IV cannula.", "All participants were fasted for at least 8 hours before surgery and no premedication was given. An 18-G IV catheter was inserted and no prehydration was given in the holding area. Upon entering the operating room, the patient was positioned supine with left uterine displacement by tilting the operating table to the left, and standard monitoring including noninvasive BP, pulse oximetry, and 5-lead electrocardiography was applied. We allowed patients to rest for several minutes before baseline values for systolic BP (SBP) and maternal HR were recorded as the means of three consecutive readings with a difference of no more than 10% at 3 min intervals. Blood pressure was measured at 1-min intervals after induction of spinal anaesthesia and 5-min intervals after delivery of the fetus.\nCombined spinal-epidural anaesthesia was performed with patients in the right lateral position at the L2–3 or L3–4 vertebral interspace. After confirming cerebrospinal fluid (CSF), 2.5 mL hyperbaric bupivacaine 0.5% was injected into the subarachnoid space over 30 seconds. Gentle aspiration was applied to verify the successful administration of the spinal solution during the injection of local anesthetics.\nImmediately after the injection of the spinal anesthetic, a 1-mL bolus of the solution from the bolus syringe was administered and the continued infusion was started at a rate of 30 mL/h. Simultaneously, 10 mL/kg of lactated Ringer’s solution was infused over 20–30 minutes. After that, the rate of Ringer’s solution was then reduced to 1 mL/kg/h to keep the vein open until delivery of the fetus.\nAn 18-gauge epidural catheter was inserted and secured. The catheter was gently aspirated and observed for the presence of blood or CSF and was then flushed with 3 mL saline. No epidural test dose was given. Patients were positioned supine with left uterine displacement, and 5 L/min oxygen was delivered via a face mask. The sensory block level was defined as any loss of cold sensation to ice. Surgery was not permitted until the sensory block to the T5 dermatome was confirmed.", "Blood pressure and heart rate were measured at 1-minute intervals. If the systolic arterial pressure decreased to <90% baseline at any time, the study drug infusion rate was increased by 5 mL/h. If the systolic arterial pressure fell to <80% baseline, a bolus of 1 mL study drug was given. If at any time, the SBP rose>110% baseline, the infusion rate was reduced by 5 mL/h. If a reading >120% baseline occurred, the infusion was stopped until pressure returned to <120% baseline. Bradycardia was defined as HR < 50 beats/min. If bradycardia was accompanied by hypotension, it was treated with an IV bolus of 0.5 mg atropine; if not accompanied by hypotension, the infusion was stopped and then restarted when HR exceeded 50 beats/min. The study ended at the delivery of the fetus. Arterial and venous blood samples were taken from a double-clamped segment of the umbilical cord by the obstetrician at birth and immediately analyzed through a blood gas analyzer in the operative room by an investigator who was blinded to the patient allocation.\nDemographic characteristics of participants including age, height, and weight were recorded, as well as the duration of surgery, induction-to-delivery interval, uterine incision-to-delivery interval, and the number of physician interventions (such as stopping or restarting infusion, administering rescue bolus). Episodes of hypotension (defined as SBP below the 80% of baseline value), hypertension (defined as SBP above the 120% of baseline value), bradycardia, nausea, vomiting, dizziness, and chest distress were recorded. Neonatal Apgar scores were assessed by the neonatology team at 1 min and 5 min after birth. The anesthesiologist who recorded the above data was also blinded to the group assignment.\nThe primary outcome was umbilical artery (UA) pH and other intra-operative outcomes were secondary outcomes in the current study.", "The sample size for this three-arm trial was determined according to the primary outcome of UA pH. Based on the data from our clinical practice, the primary endpoint standard deviation (SD) was assumed to be 0.03. A non-inferiority margin of 0.03 was adopted in our study in accordance with the previous studies.4,12 One-tailed power analysis for the outcome of UA pH indicated that a sample size of 21 patients per group would provide at least 90% power with an alpha of 0.025 to demonstrate the non-inferiority of both metaraminol and phenylephrine to norepinephrine (PASS 2008; NCSS, Kaysville, Utah, USA). Therefore, we planned to recruit 25 patients in each group to compensate for dropouts.", "All of our analyses were performed using a per-protocol approach. The Shapiro–Wilk test was used to confirm the normality of data distribution. We presented continuous data as mean ± SD and a one-way ANOVA combined with the Tukey’s test for post hoc testing was used in analyzing the normally distributed data; Nonparametric data were reported as median (25th, 75th percentiles) and were analyzed using the Kruskal–Wallis test with the Dunn’s test for post hoc testing. The categorical data were presented as numbers or percentages and the chi-square test was used in analyzing the categorical data. P<0.05 was considered significant. If the significant effect was indicated among three groups in chi-square, pairwise chi-square comparisons were followed with a more conservative alpha level of 0.017. Non-inferiority testing was done by comparing the 95% CI of the difference between groups to the predetermined non-inferiority margin of −0.03. Since the interval till delivery varied among patients, intergroup trends of SBP and heart rate for 15 minutes from vasopressor administration were compared. Serial changes in SBP and HR were analyzed using a 2-factor (treatment and time) repeated measures analysis of variance model. The outliers were detected by judging whether the studentized residuals exceed ±3 times the SD. The normality of data distribution was tested through the analysis of studentized residuals and the Shapiro–Wilk test. The sphericity was estimated by the Mauchly test. If the Mauchly test was significant, Greenhouse-Geisser epsilon adjustment was adopted. If there was a significant difference between groups, we performed simple comparisons between groups for all time levels with Bonferroni adjustments. The above statistical analyses were performed by GraphPad Prism version 5.0 (GraphPad Software Inc., San Diego, CA, USA) and IBM SPSS Statistics for Windows version 22.0 (IBM Corp, Armonk, NY, USA).", "A total of 253 patients were screened for eligibility from December 13, 2019, to March 11, 2020. Among them, 178 were excluded (95 did not meet exclusion criteria, 78 refused to participate in the trial, 5 had their surgery canceled). A total of 75 patients were randomized, allocated, completed the study protocol, and had their data analyzed (25 patients in each group). The CONSORT flow diagram showing the research progress is presented in Figure 1. There were no statistically significant differences in maternal characteristics, baseline SBP and surgical time from incision to delivery among the three groups (Table 1).Table 1Patient and Procedural CharacteristicsCharacteristicsMetaraminol (n=25)Phenylephrine (n=25)Noradrenaline (n=25)P valueAge, years32±332±532±40.963Gestation, weeks39 (38.5,39)39 (38.5,39)39 (38,39)0.490BMI, kg/m226.44 (25.03,27.12)26.73±2.7627.67±2.310.125Parity2 (1,2)2 (1,2)2 (1,2)0.772Baseline systolic arterial pressure; mmHg116.7±8.7114.8±9.0116.7±10.00.701Uterine incision-delivery time; min1 (1,2)2 (1,2)1 (1,2)0.455Dermatic incision-delivery time; min8 (6,10)10 (9,11)9.56±2.830.075Anesthesia-delivery time, min27±628 (26,32)28±70.528Highest sensory blockT4 (T4, T5)T4 (T4, T5)T4 (T4, T4)0.731Volume of intravenous fluids administered until delivery, mL1000 (800, 1000)1000 (500, 1000)1000 (500, 1000)0.422Note: Values are mean±SD or median (IQR).\nFigure 1CONSORT diagram.\nPatient and Procedural Characteristics\nNote: Values are mean±SD or median (IQR).\nCONSORT diagram.\nNon-inferior was showed for both metaraminol and phenylephrine compared with norepinephrine with a non-inferiority margin of 0.03 units. In the comparison of metaraminol and norepinephrine, the umbilical arterial pH was 7.32±0.03 for metaraminol and 7.31±0.03 for norepinephrine (n=25; difference 0.008; 95% CI 0.011–to 0.026). Comparing phenylephrine with norepinephrine, the umbilical arterial pH was 7.31±0.03 in both groups. The estimated mean difference was nearly 0 and the 95% CI of the estimated difference was −0.0181 to 0.0182. Both lower bounds of the 95% CI of the estimated difference in the above two comparisons were above the predetermined lower boundary of clinical non-inferiority of −0.03, indicating that both metaraminol and phenylephrine were non-inferior to norepinephrine (Figure 2). Other neonatal outcomes were not different across the three groups except for the umbilical arterial pO2, which was significantly higher in the M group compared with the N group (Table 2).Table 2Umbilical Vessel Biochemical Values and Apgar Scores in NeonatesGroupPairwise ComparisonsOutcomeMetaraminol (n=25)Phenylephrine (n=25)Norepinephrine (n=25)Overall P valueMetaraminol vs PhenylephrineMetaraminol vs NorepinephrinePhenylephrine vs NorepinephrineUmbilical arterypH7.32±0.037.31±0.037.31±0.030.548pCO2; mmHg49.53±4.6151.02±4.6651.14±5.120.423pO2; mmHg20.47±4.0519.54±3.0316.40 (14.90,20.70)0.021>0.9990.0210.169Base excess; mmol.l−1−1.20 (−2.40,0)−1.34±1.59−1.44±1.650.965Lactate; mmol.l−11.60 (1.30,1.70)1.60 (1.40,1.85)1.67±0.300.358Umbilical veinpH7.37±0.027.36±0.027.37±0.020.815pCO2; mmHg41.16±3.4441.32±3.8839.81±4.570.343pO2; mmHg32.50±4.5030.13±4.8031.75±5.150.211Base excess; mmol.l−1−1.76±1.05−1.86±1.55−1.92±1.200.910Lactate; mmol.l−11.40 (1.30,1.60)1.45±0.321.47±0.210.842Apgar score at 1 min10 (10,10)10 (10,10)10 (10,10)0.77Apgar score at 5 min10 (10,10)10 (10,10)10 (10,10)0.60Note: Values are mean ± SD or median (IQR).\nFigure 2Differences in umbilical arterial pH compared both metaraminol group and phenylephrine group with norepinephrine group. The confidence intervals of both comparisons do not cross the non-inferiority margin, which was set at −0.03 pH units, indicating that both phenylephrine and metaraminol are non-inferior to norepinephrine.\nUmbilical Vessel Biochemical Values and Apgar Scores in Neonates\nNote: Values are mean ± SD or median (IQR).\nDifferences in umbilical arterial pH compared both metaraminol group and phenylephrine group with norepinephrine group. The confidence intervals of both comparisons do not cross the non-inferiority margin, which was set at −0.03 pH units, indicating that both phenylephrine and metaraminol are non-inferior to norepinephrine.\nFor the intra-operative outcomes of the participants, there was no significant difference among the three groups with respect to the incidence of bradycardia, dizziness, chest distress, nausea, and vomiting. Significant differences in the incidence of hypotension, hypertension, the number of rescue bolus doses, and pump adjustments among the three groups were indicated by the chi-square test. Moreover, the pairwise chi-square comparisons with a more conservative alpha level of 0.017 suggested that the incidence of hypotension was significantly lower in the M group compared with the N group. However, the number of pump adjustments and the incidence of hypertension were significantly higher in the P group and M group compared with the N group (Table 3).Table 3Intraoperative Data of Different GroupsGroupPairwise ComparisonsOutcomeMetaraminol (n=25)Phenylephrine (n=25)Norepinephrine (n=25)Overall P valueMetaraminol vs PhenylephrineMetaraminol vs NoradrenalinePhenylephrine vs NoradrenalineHypotension1580.03880.08170.01000.3334Hypertension1792<0.00010.0235<0.00010.0169Bradycardia1300.1575Nausea1210.8071Vomiting000Dizziness0020.1405Chest distress3320.8694Number of rescue bolus doses0 (0,0)0 (0,0)0 (0,1)0.04270.38510.0390>0.9999Number of pump adjustments4 (3,4)4 (3,4)2 (0,3)<0.0001>0.99990.00040.0004Note: Values are number or median (IQR).\n\nIntraoperative Data of Different Groups\nNote: Values are number or median (IQR).\nSerial changes of SBP and HR were respectively presented in Figures 3 and 4. In general, the M group had higher SBP compared with the N group and the P group (Figure 3); the N group had higher HR compared with the M group and the P group in most readings (Figure 4).Figure 3Serial changes in SBP in the first 15 min after induction of spinal anaesthesia for different groups. Data are shown as mean (standard deviation, SD). *Statistical significance between the P group and the N group. †Statistical significance between the M group and the N group. ‡Statistical significance between the M group and the P group.Figure 4Serial changes in HR in the first 15 min after induction of spinal anaesthesia for different groups. Data are shown as mean (standard deviation, SD). *Statistical significance between the P group and the N group. †Statistical significance between the M group and the N group; ‡Statistical significance between the M group and the P group.\nSerial changes in SBP in the first 15 min after induction of spinal anaesthesia for different groups. Data are shown as mean (standard deviation, SD). *Statistical significance between the P group and the N group. †Statistical significance between the M group and the N group. ‡Statistical significance between the M group and the P group.\nSerial changes in HR in the first 15 min after induction of spinal anaesthesia for different groups. Data are shown as mean (standard deviation, SD). *Statistical significance between the P group and the N group. †Statistical significance between the M group and the N group; ‡Statistical significance between the M group and the P group.", "In the current study, we found that prophylactic use of both metaraminol and phenylephrine infusions to prevent maternal hypotension in caesarean section were non-inferior to norepinephrine infusion concerning neonatal umbilical arterial pH. However, the umbilical arterial pO2 was significantly higher in the M group compared with the N group. Moreover, the incidence of hypotension was significantly lower in the M group compared with the N group and the number of pump adjustments and the incidence of hypertension were significantly higher in the P group and M group compared with the N group. In addition, significant differences were indicated in SBP and HR at each time interval among the three groups except during the first 1 to 5 minutes.\nUA pH is a well-established measure of neonatal condition at birth that reflects both the metabolic and the respiratory parts of fetal acidaemia. The respiratory fetal acidaemia is mainly caused by carbon dioxide accumulation due to acute insufficient perfusion of the placenta. Both spinal anaesthesia and intraoperative vasopressors administration are risk factors of the acute insufficient perfusion of the placenta. BE is also an appropriate indicator of outcome since it reflects the metabolic fetal acidaemia. However, a previous study suggested that the metabolic component does not predict those at risk of adverse outcomes once pH is taken into account.13 Therefore, we took the UA pH as the primary outcome. Nonetheless, we compared UA BE among groups as a secondary outcome.\nIn consideration of the reflex decrease in HR and an associated decrease in CO induced by a pure vasoconstrictor, alternative agents such as dilute norepinephrine and metaraminol combine α- and β-adrenergic receptor agonist activity and may be a more ideal agent for the management of spinal-induced hypotension. Several studies comparing norepinephrine and phenylephrine for preventing hypotension during spinal anaesthesia for caesarean section have been conducted in recent years.6,8,14–17 However, most of the previous studies focused on hemodynamic differences between norepinephrine and phenylephrine with fetal outcomes included as secondary outcomes. In the current study, we took UA pH as the primary outcome and found that phenylephrine was non-inferior to norepinephrine concerning the fetal outcome which was consistent with a newly published study.18 Unlike the newly published study, we also compared norepinephrine with metaraminol which is another alternative agent with combined α- and β-adrenergic receptor agonist activity in the current study. There is still no published study that compared norepinephrine with metaraminol in preventing hypotension during caesarean section. The current study for the first time demonstrated that metaraminol was also non-inferior to norepinephrine regarding UA pH. Moreover, the other outcomes of UA and UV blood gases were also comparable among the three groups including BE. However, there is an exception that the umbilical arterial pO2 was significantly higher in the M group compared with the N group. The difference in maternal hemodynamics between the two groups may account for this phenomenon. As showed in the current study, the SBP and HR were relatively stable in the three groups and sufficient perfusion of the placenta was indicated by normal UA pH. However, the SBP in the M group was the highest one among the three groups at most time intervals with SBP in the N group being the lowest one. Therefore, the fetuses in group M will have a more adequate supply of oxygen manifested as higher umbilical arterial pO2.\nMany studies have investigated the potency ratio for norepinephrine/phenylephrine. At first, Ngan et al suggested that the potency ratio for norepinephrine/phenylephrine was 17:1 (norepinephrine 6 μg equivalent to phenylephrine 100 μg).6 However, the subsequent works suggested that the real potency ratio may be smaller with a potency ratio of 13:1 (norepinephrine 7.6 μg equivalent to phenylephrine 100μg)19 and 11:1 (norepinephrine 8.8 μg equivalent to phenylephrine 100μg).20 Therefore, we chose to study norepinephrine at a concentration of 8μg/mL and phenylephrine at 100μg/mL. Since the potency ratio for metaraminol/ phenylephrine has been widely demonstrated to be 5:1, we studied metaraminol at 500μg /mL. Moreover, some studies have suggested that a bolus of vasoconstrictor before starting continuous infusion may reduce the rates of maternal hypotension and nausea.21,22 Therefore, we gave the participants a bolus of norepinephrine 4 μg, phenylephrine 50 μg, or metaraminol 250 μg before starting the continuous infusion. A rate of 25–50 μg/min was reported to provide the best balance in maintaining maternal blood pressure without reactive hypertension or bradycardia23,24 for phenylephrine. Therefore, the initial infusion rate was set to 30 mL/h (50 ug/min for phenylephrine) in all groups to ensure the anesthesiologists were blinded to the patients’ allocation.\nIn the current study, we found that most intra-operative data including the incidence of bradycardia, dizziness, chest distress, nausea, and vomiting were comparable among the three groups. However, the incidence of hypotension was significantly lower in the M group compared with the N group and the number of pump adjustments and the incidence of hypertension was significantly higher in the P group and M group compared with the N group. In addition, the M group had higher SBP compared with the N group and P group at most time points. Regardless of the potential differences in pharmacodynamics, metaraminol may have an advantage over phenylephrine or norepinephrine due to the potential bias induced by drug preparation for infusion. A very small part of the solution will inevitably remain in the ampoules, which will cause the deviation between the actual concentration and the target concentration. The concentration deviation caused by the dilution process is most obvious in the N group among the three groups due to its highest potency. Therefore, the incidence of hypotension could be significantly higher in the N group compared with the M group due to concentration deviation related to the huge difference in their potencies. The above reason could also account for the differences in the incidence of hypertension, the number of pump adjustments, and serial SBP among the three groups.\nThere are some limitations in our study. Firstly, the subjects were all healthy women and fetuses. The results might not be applicable for women with cardiovascular disease or fetuses with uteroplacental insufficiency. Secondly, not all cases were the first cases of the day, therefore, women who have longer fasting periods may be more likely to suffer from intraoperative hypotension due to fasting. In addition, there may be potential bias in the process of drug preparation for infusion which may affect the authenticity of the results.", "Both metaraminol and phenylephrine were non-inferior to norepinephrine in preventing maternal hypotension during caesarean section concerning neonatal UA pH. Future studies should be performed to further compare the potential differences among phenylephrine, metaraminol, and norepinephrine on side effects or obstetric outcomes." ]
[ "intro", null, null, null, null, null, null, null, null, null, null ]
[ "caesarean section", "hypotension", "metaraminol", "phenylephrine", "norepinephrine" ]
Introduction: Caesarean section is one of the most commonly performed surgical procedures; spinal anaesthesia and combined spinal-epidural anaesthesia are the most commonly used methods of anaesthesia for caesarean section. However, their use is associated with a high incidence of hypotension, which can result in adverse maternal and fetal outcomes.1 A number of methods to prevent hypotension have been investigated and prophylactic infusion of vasopressors is commonly recommended.2,3 In the last decade, phenylephrine has been widely used as a vasopressor for maintaining blood pressure (BP) during spinal anaesthesia for caesarean delivery.4 However, as a pure the α-agonist, phenylephrine is often associated with baroreceptor-mediated bradycardia and thus leads to a subsequent decrease in cardiac output (CO).5 Although the decrease in CO is generally back to the pre-spinal anesthetic baseline in a short time,6 it may cause adverse effects in some high-risk situations such as maternal cardiac disease, placental insufficiency, and fetal distress. Norepinephrine with α- agonist and slight β-agonist activity has been put forward as an alternative vasopressor during caesarean section due to its ability to treat hypotension while maintaining heart rate (HR).7 Moreover, recent studies have suggested that norepinephrine is non-inferior at maintaining BP while conferring a greater HR and CO compared with phenylephrine,6,8 which indicated that norepinephrine is the superior vasopressor for use in obstetric spinal anaesthesia. Metaraminol, another vasopressor with α- and β-agonist activity, has also been suggested to be effective in the management of maternal hypotension during caesarean section.9–11 It was reported that metaraminol is at least non-inferior to phenylephrine in preventing hypotension of parturients concerning neonatal acid-base outcomes.12 However, there is still no study that directly compares metaraminol with norepinephrine in preventing hypotension of parturients with spinal anaesthesia. The aim of this prospective, three-arm, randomized, double-blind trial was to directly compare the effect of prophylactic infusions of metaraminol, phenylephrine, and norepinephrine in women undergoing elective caesarean section under combined spinal-epidural (CSE) anaesthesia. We assumed that both metaraminol and phenylephrine infusions would be non-inferior to norepinephrine infusion to prevent maternal hypotension concerning neonatal acid-base status. Patients and Methods: Ethics This prospective, three-arm, randomized, double-blind non-inferiority trial (KY20191203-14) was conducted after obtaining approval from the Clinical Research Ethics Committee of Sir Run Run Shaw Hospital, School of Medicine, Zhejiang University (Chairperson Prof Limin Liu) on December 03, 2019. The trial was registered before patient enrollment in the Chinese Clinical Trial Registry (registration No. ChiCTR1900028150; principal investigator, Chen Gang; date of registration, December 13, 2019) and conducted in accordance with the Declaration of Helsinki. All patients gave written informed consent before recruitment. This prospective, three-arm, randomized, double-blind non-inferiority trial (KY20191203-14) was conducted after obtaining approval from the Clinical Research Ethics Committee of Sir Run Run Shaw Hospital, School of Medicine, Zhejiang University (Chairperson Prof Limin Liu) on December 03, 2019. The trial was registered before patient enrollment in the Chinese Clinical Trial Registry (registration No. ChiCTR1900028150; principal investigator, Chen Gang; date of registration, December 13, 2019) and conducted in accordance with the Declaration of Helsinki. All patients gave written informed consent before recruitment. Patients and Randomization Full-term pregnant women aged over 18 years old scheduled for elective caesarean section were recruited. Exclusion criteria were American Society of Anesthesiologists physical status ≥ 3, weight <50 kg or >100kg, height <140 cm or >180 cm, preexisting or pregnancy-induced hypertension, known fetal abnormality or intrauterine growth restriction, known cardiovascular or cerebrovascular disease, thrombocytopenia, coagulopathy, any medical contraindication to combined spinal-epidural anaesthesia, known allergy to phenylephrine, norepinephrine or metaraminol, inability or refusal to give informed consent. Patients were excluded from subsequent analysis if combined spinal-epidural (CSE) anaesthesia was not established successfully, epidural drugs were required before delivery of the fetus, or severe shivering made non-invasive blood pressure monitoring unreliable. Patients were randomly assigned in 1:1:1 ratios using computer-generated random number sequence in blocks of six to metaraminol group (M group), phenylephrine group (P group), or norepinephrine group (N group). The randomization codes were concealed in consecutively numbered, sealed opaque envelopes by a secretarial staff who was not involved with the following study. The envelope was opened just before the enrolled patients entered the operation room. A researcher who had no role in patient management or data collection and analysis opened the envelope and prepared two syringes, one 5-mL syringe labeled “bolus” the other 50-mL syringe labeled “infusion” for each patient. In group M, the bolus syringe contained 1.25mg metaraminol (250 µg/mL) and the infusion syringe contained 25mg metaraminol (500 µg/mL). In group P, the bolus syringe contained 250µg phenylephrine (50 µg/mL) and the infusion syringe contained 5000 µg phenylephrine (100µg/mL). In group N, the bolus syringe contained 20µg norepinephrine (4 µg/mL) and the infusion syringe contained 400µg norepinephrine (8 µg/mL). The study drugs were administered by the Anesthesiologist who was blinded to the group assignment. The infusion syringe was placed in a syringe pump (Graseby 3500 Anaesthesia Pump; Graseby Medical Ltd, Watford, UK) that was connected to a 3-way stopcock attached directly to the patient’s IV cannula. Full-term pregnant women aged over 18 years old scheduled for elective caesarean section were recruited. Exclusion criteria were American Society of Anesthesiologists physical status ≥ 3, weight <50 kg or >100kg, height <140 cm or >180 cm, preexisting or pregnancy-induced hypertension, known fetal abnormality or intrauterine growth restriction, known cardiovascular or cerebrovascular disease, thrombocytopenia, coagulopathy, any medical contraindication to combined spinal-epidural anaesthesia, known allergy to phenylephrine, norepinephrine or metaraminol, inability or refusal to give informed consent. Patients were excluded from subsequent analysis if combined spinal-epidural (CSE) anaesthesia was not established successfully, epidural drugs were required before delivery of the fetus, or severe shivering made non-invasive blood pressure monitoring unreliable. Patients were randomly assigned in 1:1:1 ratios using computer-generated random number sequence in blocks of six to metaraminol group (M group), phenylephrine group (P group), or norepinephrine group (N group). The randomization codes were concealed in consecutively numbered, sealed opaque envelopes by a secretarial staff who was not involved with the following study. The envelope was opened just before the enrolled patients entered the operation room. A researcher who had no role in patient management or data collection and analysis opened the envelope and prepared two syringes, one 5-mL syringe labeled “bolus” the other 50-mL syringe labeled “infusion” for each patient. In group M, the bolus syringe contained 1.25mg metaraminol (250 µg/mL) and the infusion syringe contained 25mg metaraminol (500 µg/mL). In group P, the bolus syringe contained 250µg phenylephrine (50 µg/mL) and the infusion syringe contained 5000 µg phenylephrine (100µg/mL). In group N, the bolus syringe contained 20µg norepinephrine (4 µg/mL) and the infusion syringe contained 400µg norepinephrine (8 µg/mL). The study drugs were administered by the Anesthesiologist who was blinded to the group assignment. The infusion syringe was placed in a syringe pump (Graseby 3500 Anaesthesia Pump; Graseby Medical Ltd, Watford, UK) that was connected to a 3-way stopcock attached directly to the patient’s IV cannula. Procedures All participants were fasted for at least 8 hours before surgery and no premedication was given. An 18-G IV catheter was inserted and no prehydration was given in the holding area. Upon entering the operating room, the patient was positioned supine with left uterine displacement by tilting the operating table to the left, and standard monitoring including noninvasive BP, pulse oximetry, and 5-lead electrocardiography was applied. We allowed patients to rest for several minutes before baseline values for systolic BP (SBP) and maternal HR were recorded as the means of three consecutive readings with a difference of no more than 10% at 3 min intervals. Blood pressure was measured at 1-min intervals after induction of spinal anaesthesia and 5-min intervals after delivery of the fetus. Combined spinal-epidural anaesthesia was performed with patients in the right lateral position at the L2–3 or L3–4 vertebral interspace. After confirming cerebrospinal fluid (CSF), 2.5 mL hyperbaric bupivacaine 0.5% was injected into the subarachnoid space over 30 seconds. Gentle aspiration was applied to verify the successful administration of the spinal solution during the injection of local anesthetics. Immediately after the injection of the spinal anesthetic, a 1-mL bolus of the solution from the bolus syringe was administered and the continued infusion was started at a rate of 30 mL/h. Simultaneously, 10 mL/kg of lactated Ringer’s solution was infused over 20–30 minutes. After that, the rate of Ringer’s solution was then reduced to 1 mL/kg/h to keep the vein open until delivery of the fetus. An 18-gauge epidural catheter was inserted and secured. The catheter was gently aspirated and observed for the presence of blood or CSF and was then flushed with 3 mL saline. No epidural test dose was given. Patients were positioned supine with left uterine displacement, and 5 L/min oxygen was delivered via a face mask. The sensory block level was defined as any loss of cold sensation to ice. Surgery was not permitted until the sensory block to the T5 dermatome was confirmed. All participants were fasted for at least 8 hours before surgery and no premedication was given. An 18-G IV catheter was inserted and no prehydration was given in the holding area. Upon entering the operating room, the patient was positioned supine with left uterine displacement by tilting the operating table to the left, and standard monitoring including noninvasive BP, pulse oximetry, and 5-lead electrocardiography was applied. We allowed patients to rest for several minutes before baseline values for systolic BP (SBP) and maternal HR were recorded as the means of three consecutive readings with a difference of no more than 10% at 3 min intervals. Blood pressure was measured at 1-min intervals after induction of spinal anaesthesia and 5-min intervals after delivery of the fetus. Combined spinal-epidural anaesthesia was performed with patients in the right lateral position at the L2–3 or L3–4 vertebral interspace. After confirming cerebrospinal fluid (CSF), 2.5 mL hyperbaric bupivacaine 0.5% was injected into the subarachnoid space over 30 seconds. Gentle aspiration was applied to verify the successful administration of the spinal solution during the injection of local anesthetics. Immediately after the injection of the spinal anesthetic, a 1-mL bolus of the solution from the bolus syringe was administered and the continued infusion was started at a rate of 30 mL/h. Simultaneously, 10 mL/kg of lactated Ringer’s solution was infused over 20–30 minutes. After that, the rate of Ringer’s solution was then reduced to 1 mL/kg/h to keep the vein open until delivery of the fetus. An 18-gauge epidural catheter was inserted and secured. The catheter was gently aspirated and observed for the presence of blood or CSF and was then flushed with 3 mL saline. No epidural test dose was given. Patients were positioned supine with left uterine displacement, and 5 L/min oxygen was delivered via a face mask. The sensory block level was defined as any loss of cold sensation to ice. Surgery was not permitted until the sensory block to the T5 dermatome was confirmed. Measurements Blood pressure and heart rate were measured at 1-minute intervals. If the systolic arterial pressure decreased to <90% baseline at any time, the study drug infusion rate was increased by 5 mL/h. If the systolic arterial pressure fell to <80% baseline, a bolus of 1 mL study drug was given. If at any time, the SBP rose>110% baseline, the infusion rate was reduced by 5 mL/h. If a reading >120% baseline occurred, the infusion was stopped until pressure returned to <120% baseline. Bradycardia was defined as HR < 50 beats/min. If bradycardia was accompanied by hypotension, it was treated with an IV bolus of 0.5 mg atropine; if not accompanied by hypotension, the infusion was stopped and then restarted when HR exceeded 50 beats/min. The study ended at the delivery of the fetus. Arterial and venous blood samples were taken from a double-clamped segment of the umbilical cord by the obstetrician at birth and immediately analyzed through a blood gas analyzer in the operative room by an investigator who was blinded to the patient allocation. Demographic characteristics of participants including age, height, and weight were recorded, as well as the duration of surgery, induction-to-delivery interval, uterine incision-to-delivery interval, and the number of physician interventions (such as stopping or restarting infusion, administering rescue bolus). Episodes of hypotension (defined as SBP below the 80% of baseline value), hypertension (defined as SBP above the 120% of baseline value), bradycardia, nausea, vomiting, dizziness, and chest distress were recorded. Neonatal Apgar scores were assessed by the neonatology team at 1 min and 5 min after birth. The anesthesiologist who recorded the above data was also blinded to the group assignment. The primary outcome was umbilical artery (UA) pH and other intra-operative outcomes were secondary outcomes in the current study. Blood pressure and heart rate were measured at 1-minute intervals. If the systolic arterial pressure decreased to <90% baseline at any time, the study drug infusion rate was increased by 5 mL/h. If the systolic arterial pressure fell to <80% baseline, a bolus of 1 mL study drug was given. If at any time, the SBP rose>110% baseline, the infusion rate was reduced by 5 mL/h. If a reading >120% baseline occurred, the infusion was stopped until pressure returned to <120% baseline. Bradycardia was defined as HR < 50 beats/min. If bradycardia was accompanied by hypotension, it was treated with an IV bolus of 0.5 mg atropine; if not accompanied by hypotension, the infusion was stopped and then restarted when HR exceeded 50 beats/min. The study ended at the delivery of the fetus. Arterial and venous blood samples were taken from a double-clamped segment of the umbilical cord by the obstetrician at birth and immediately analyzed through a blood gas analyzer in the operative room by an investigator who was blinded to the patient allocation. Demographic characteristics of participants including age, height, and weight were recorded, as well as the duration of surgery, induction-to-delivery interval, uterine incision-to-delivery interval, and the number of physician interventions (such as stopping or restarting infusion, administering rescue bolus). Episodes of hypotension (defined as SBP below the 80% of baseline value), hypertension (defined as SBP above the 120% of baseline value), bradycardia, nausea, vomiting, dizziness, and chest distress were recorded. Neonatal Apgar scores were assessed by the neonatology team at 1 min and 5 min after birth. The anesthesiologist who recorded the above data was also blinded to the group assignment. The primary outcome was umbilical artery (UA) pH and other intra-operative outcomes were secondary outcomes in the current study. Sample Size Calculation The sample size for this three-arm trial was determined according to the primary outcome of UA pH. Based on the data from our clinical practice, the primary endpoint standard deviation (SD) was assumed to be 0.03. A non-inferiority margin of 0.03 was adopted in our study in accordance with the previous studies.4,12 One-tailed power analysis for the outcome of UA pH indicated that a sample size of 21 patients per group would provide at least 90% power with an alpha of 0.025 to demonstrate the non-inferiority of both metaraminol and phenylephrine to norepinephrine (PASS 2008; NCSS, Kaysville, Utah, USA). Therefore, we planned to recruit 25 patients in each group to compensate for dropouts. The sample size for this three-arm trial was determined according to the primary outcome of UA pH. Based on the data from our clinical practice, the primary endpoint standard deviation (SD) was assumed to be 0.03. A non-inferiority margin of 0.03 was adopted in our study in accordance with the previous studies.4,12 One-tailed power analysis for the outcome of UA pH indicated that a sample size of 21 patients per group would provide at least 90% power with an alpha of 0.025 to demonstrate the non-inferiority of both metaraminol and phenylephrine to norepinephrine (PASS 2008; NCSS, Kaysville, Utah, USA). Therefore, we planned to recruit 25 patients in each group to compensate for dropouts. Statistical Analysis All of our analyses were performed using a per-protocol approach. The Shapiro–Wilk test was used to confirm the normality of data distribution. We presented continuous data as mean ± SD and a one-way ANOVA combined with the Tukey’s test for post hoc testing was used in analyzing the normally distributed data; Nonparametric data were reported as median (25th, 75th percentiles) and were analyzed using the Kruskal–Wallis test with the Dunn’s test for post hoc testing. The categorical data were presented as numbers or percentages and the chi-square test was used in analyzing the categorical data. P<0.05 was considered significant. If the significant effect was indicated among three groups in chi-square, pairwise chi-square comparisons were followed with a more conservative alpha level of 0.017. Non-inferiority testing was done by comparing the 95% CI of the difference between groups to the predetermined non-inferiority margin of −0.03. Since the interval till delivery varied among patients, intergroup trends of SBP and heart rate for 15 minutes from vasopressor administration were compared. Serial changes in SBP and HR were analyzed using a 2-factor (treatment and time) repeated measures analysis of variance model. The outliers were detected by judging whether the studentized residuals exceed ±3 times the SD. The normality of data distribution was tested through the analysis of studentized residuals and the Shapiro–Wilk test. The sphericity was estimated by the Mauchly test. If the Mauchly test was significant, Greenhouse-Geisser epsilon adjustment was adopted. If there was a significant difference between groups, we performed simple comparisons between groups for all time levels with Bonferroni adjustments. The above statistical analyses were performed by GraphPad Prism version 5.0 (GraphPad Software Inc., San Diego, CA, USA) and IBM SPSS Statistics for Windows version 22.0 (IBM Corp, Armonk, NY, USA). All of our analyses were performed using a per-protocol approach. The Shapiro–Wilk test was used to confirm the normality of data distribution. We presented continuous data as mean ± SD and a one-way ANOVA combined with the Tukey’s test for post hoc testing was used in analyzing the normally distributed data; Nonparametric data were reported as median (25th, 75th percentiles) and were analyzed using the Kruskal–Wallis test with the Dunn’s test for post hoc testing. The categorical data were presented as numbers or percentages and the chi-square test was used in analyzing the categorical data. P<0.05 was considered significant. If the significant effect was indicated among three groups in chi-square, pairwise chi-square comparisons were followed with a more conservative alpha level of 0.017. Non-inferiority testing was done by comparing the 95% CI of the difference between groups to the predetermined non-inferiority margin of −0.03. Since the interval till delivery varied among patients, intergroup trends of SBP and heart rate for 15 minutes from vasopressor administration were compared. Serial changes in SBP and HR were analyzed using a 2-factor (treatment and time) repeated measures analysis of variance model. The outliers were detected by judging whether the studentized residuals exceed ±3 times the SD. The normality of data distribution was tested through the analysis of studentized residuals and the Shapiro–Wilk test. The sphericity was estimated by the Mauchly test. If the Mauchly test was significant, Greenhouse-Geisser epsilon adjustment was adopted. If there was a significant difference between groups, we performed simple comparisons between groups for all time levels with Bonferroni adjustments. The above statistical analyses were performed by GraphPad Prism version 5.0 (GraphPad Software Inc., San Diego, CA, USA) and IBM SPSS Statistics for Windows version 22.0 (IBM Corp, Armonk, NY, USA). Ethics: This prospective, three-arm, randomized, double-blind non-inferiority trial (KY20191203-14) was conducted after obtaining approval from the Clinical Research Ethics Committee of Sir Run Run Shaw Hospital, School of Medicine, Zhejiang University (Chairperson Prof Limin Liu) on December 03, 2019. The trial was registered before patient enrollment in the Chinese Clinical Trial Registry (registration No. ChiCTR1900028150; principal investigator, Chen Gang; date of registration, December 13, 2019) and conducted in accordance with the Declaration of Helsinki. All patients gave written informed consent before recruitment. Patients and Randomization: Full-term pregnant women aged over 18 years old scheduled for elective caesarean section were recruited. Exclusion criteria were American Society of Anesthesiologists physical status ≥ 3, weight <50 kg or >100kg, height <140 cm or >180 cm, preexisting or pregnancy-induced hypertension, known fetal abnormality or intrauterine growth restriction, known cardiovascular or cerebrovascular disease, thrombocytopenia, coagulopathy, any medical contraindication to combined spinal-epidural anaesthesia, known allergy to phenylephrine, norepinephrine or metaraminol, inability or refusal to give informed consent. Patients were excluded from subsequent analysis if combined spinal-epidural (CSE) anaesthesia was not established successfully, epidural drugs were required before delivery of the fetus, or severe shivering made non-invasive blood pressure monitoring unreliable. Patients were randomly assigned in 1:1:1 ratios using computer-generated random number sequence in blocks of six to metaraminol group (M group), phenylephrine group (P group), or norepinephrine group (N group). The randomization codes were concealed in consecutively numbered, sealed opaque envelopes by a secretarial staff who was not involved with the following study. The envelope was opened just before the enrolled patients entered the operation room. A researcher who had no role in patient management or data collection and analysis opened the envelope and prepared two syringes, one 5-mL syringe labeled “bolus” the other 50-mL syringe labeled “infusion” for each patient. In group M, the bolus syringe contained 1.25mg metaraminol (250 µg/mL) and the infusion syringe contained 25mg metaraminol (500 µg/mL). In group P, the bolus syringe contained 250µg phenylephrine (50 µg/mL) and the infusion syringe contained 5000 µg phenylephrine (100µg/mL). In group N, the bolus syringe contained 20µg norepinephrine (4 µg/mL) and the infusion syringe contained 400µg norepinephrine (8 µg/mL). The study drugs were administered by the Anesthesiologist who was blinded to the group assignment. The infusion syringe was placed in a syringe pump (Graseby 3500 Anaesthesia Pump; Graseby Medical Ltd, Watford, UK) that was connected to a 3-way stopcock attached directly to the patient’s IV cannula. Procedures: All participants were fasted for at least 8 hours before surgery and no premedication was given. An 18-G IV catheter was inserted and no prehydration was given in the holding area. Upon entering the operating room, the patient was positioned supine with left uterine displacement by tilting the operating table to the left, and standard monitoring including noninvasive BP, pulse oximetry, and 5-lead electrocardiography was applied. We allowed patients to rest for several minutes before baseline values for systolic BP (SBP) and maternal HR were recorded as the means of three consecutive readings with a difference of no more than 10% at 3 min intervals. Blood pressure was measured at 1-min intervals after induction of spinal anaesthesia and 5-min intervals after delivery of the fetus. Combined spinal-epidural anaesthesia was performed with patients in the right lateral position at the L2–3 or L3–4 vertebral interspace. After confirming cerebrospinal fluid (CSF), 2.5 mL hyperbaric bupivacaine 0.5% was injected into the subarachnoid space over 30 seconds. Gentle aspiration was applied to verify the successful administration of the spinal solution during the injection of local anesthetics. Immediately after the injection of the spinal anesthetic, a 1-mL bolus of the solution from the bolus syringe was administered and the continued infusion was started at a rate of 30 mL/h. Simultaneously, 10 mL/kg of lactated Ringer’s solution was infused over 20–30 minutes. After that, the rate of Ringer’s solution was then reduced to 1 mL/kg/h to keep the vein open until delivery of the fetus. An 18-gauge epidural catheter was inserted and secured. The catheter was gently aspirated and observed for the presence of blood or CSF and was then flushed with 3 mL saline. No epidural test dose was given. Patients were positioned supine with left uterine displacement, and 5 L/min oxygen was delivered via a face mask. The sensory block level was defined as any loss of cold sensation to ice. Surgery was not permitted until the sensory block to the T5 dermatome was confirmed. Measurements: Blood pressure and heart rate were measured at 1-minute intervals. If the systolic arterial pressure decreased to <90% baseline at any time, the study drug infusion rate was increased by 5 mL/h. If the systolic arterial pressure fell to <80% baseline, a bolus of 1 mL study drug was given. If at any time, the SBP rose>110% baseline, the infusion rate was reduced by 5 mL/h. If a reading >120% baseline occurred, the infusion was stopped until pressure returned to <120% baseline. Bradycardia was defined as HR < 50 beats/min. If bradycardia was accompanied by hypotension, it was treated with an IV bolus of 0.5 mg atropine; if not accompanied by hypotension, the infusion was stopped and then restarted when HR exceeded 50 beats/min. The study ended at the delivery of the fetus. Arterial and venous blood samples were taken from a double-clamped segment of the umbilical cord by the obstetrician at birth and immediately analyzed through a blood gas analyzer in the operative room by an investigator who was blinded to the patient allocation. Demographic characteristics of participants including age, height, and weight were recorded, as well as the duration of surgery, induction-to-delivery interval, uterine incision-to-delivery interval, and the number of physician interventions (such as stopping or restarting infusion, administering rescue bolus). Episodes of hypotension (defined as SBP below the 80% of baseline value), hypertension (defined as SBP above the 120% of baseline value), bradycardia, nausea, vomiting, dizziness, and chest distress were recorded. Neonatal Apgar scores were assessed by the neonatology team at 1 min and 5 min after birth. The anesthesiologist who recorded the above data was also blinded to the group assignment. The primary outcome was umbilical artery (UA) pH and other intra-operative outcomes were secondary outcomes in the current study. Sample Size Calculation: The sample size for this three-arm trial was determined according to the primary outcome of UA pH. Based on the data from our clinical practice, the primary endpoint standard deviation (SD) was assumed to be 0.03. A non-inferiority margin of 0.03 was adopted in our study in accordance with the previous studies.4,12 One-tailed power analysis for the outcome of UA pH indicated that a sample size of 21 patients per group would provide at least 90% power with an alpha of 0.025 to demonstrate the non-inferiority of both metaraminol and phenylephrine to norepinephrine (PASS 2008; NCSS, Kaysville, Utah, USA). Therefore, we planned to recruit 25 patients in each group to compensate for dropouts. Statistical Analysis: All of our analyses were performed using a per-protocol approach. The Shapiro–Wilk test was used to confirm the normality of data distribution. We presented continuous data as mean ± SD and a one-way ANOVA combined with the Tukey’s test for post hoc testing was used in analyzing the normally distributed data; Nonparametric data were reported as median (25th, 75th percentiles) and were analyzed using the Kruskal–Wallis test with the Dunn’s test for post hoc testing. The categorical data were presented as numbers or percentages and the chi-square test was used in analyzing the categorical data. P<0.05 was considered significant. If the significant effect was indicated among three groups in chi-square, pairwise chi-square comparisons were followed with a more conservative alpha level of 0.017. Non-inferiority testing was done by comparing the 95% CI of the difference between groups to the predetermined non-inferiority margin of −0.03. Since the interval till delivery varied among patients, intergroup trends of SBP and heart rate for 15 minutes from vasopressor administration were compared. Serial changes in SBP and HR were analyzed using a 2-factor (treatment and time) repeated measures analysis of variance model. The outliers were detected by judging whether the studentized residuals exceed ±3 times the SD. The normality of data distribution was tested through the analysis of studentized residuals and the Shapiro–Wilk test. The sphericity was estimated by the Mauchly test. If the Mauchly test was significant, Greenhouse-Geisser epsilon adjustment was adopted. If there was a significant difference between groups, we performed simple comparisons between groups for all time levels with Bonferroni adjustments. The above statistical analyses were performed by GraphPad Prism version 5.0 (GraphPad Software Inc., San Diego, CA, USA) and IBM SPSS Statistics for Windows version 22.0 (IBM Corp, Armonk, NY, USA). Results: A total of 253 patients were screened for eligibility from December 13, 2019, to March 11, 2020. Among them, 178 were excluded (95 did not meet exclusion criteria, 78 refused to participate in the trial, 5 had their surgery canceled). A total of 75 patients were randomized, allocated, completed the study protocol, and had their data analyzed (25 patients in each group). The CONSORT flow diagram showing the research progress is presented in Figure 1. There were no statistically significant differences in maternal characteristics, baseline SBP and surgical time from incision to delivery among the three groups (Table 1).Table 1Patient and Procedural CharacteristicsCharacteristicsMetaraminol (n=25)Phenylephrine (n=25)Noradrenaline (n=25)P valueAge, years32±332±532±40.963Gestation, weeks39 (38.5,39)39 (38.5,39)39 (38,39)0.490BMI, kg/m226.44 (25.03,27.12)26.73±2.7627.67±2.310.125Parity2 (1,2)2 (1,2)2 (1,2)0.772Baseline systolic arterial pressure; mmHg116.7±8.7114.8±9.0116.7±10.00.701Uterine incision-delivery time; min1 (1,2)2 (1,2)1 (1,2)0.455Dermatic incision-delivery time; min8 (6,10)10 (9,11)9.56±2.830.075Anesthesia-delivery time, min27±628 (26,32)28±70.528Highest sensory blockT4 (T4, T5)T4 (T4, T5)T4 (T4, T4)0.731Volume of intravenous fluids administered until delivery, mL1000 (800, 1000)1000 (500, 1000)1000 (500, 1000)0.422Note: Values are mean±SD or median (IQR). Figure 1CONSORT diagram. Patient and Procedural Characteristics Note: Values are mean±SD or median (IQR). CONSORT diagram. Non-inferior was showed for both metaraminol and phenylephrine compared with norepinephrine with a non-inferiority margin of 0.03 units. In the comparison of metaraminol and norepinephrine, the umbilical arterial pH was 7.32±0.03 for metaraminol and 7.31±0.03 for norepinephrine (n=25; difference 0.008; 95% CI 0.011–to 0.026). Comparing phenylephrine with norepinephrine, the umbilical arterial pH was 7.31±0.03 in both groups. The estimated mean difference was nearly 0 and the 95% CI of the estimated difference was −0.0181 to 0.0182. Both lower bounds of the 95% CI of the estimated difference in the above two comparisons were above the predetermined lower boundary of clinical non-inferiority of −0.03, indicating that both metaraminol and phenylephrine were non-inferior to norepinephrine (Figure 2). Other neonatal outcomes were not different across the three groups except for the umbilical arterial pO2, which was significantly higher in the M group compared with the N group (Table 2).Table 2Umbilical Vessel Biochemical Values and Apgar Scores in NeonatesGroupPairwise ComparisonsOutcomeMetaraminol (n=25)Phenylephrine (n=25)Norepinephrine (n=25)Overall P valueMetaraminol vs PhenylephrineMetaraminol vs NorepinephrinePhenylephrine vs NorepinephrineUmbilical arterypH7.32±0.037.31±0.037.31±0.030.548pCO2; mmHg49.53±4.6151.02±4.6651.14±5.120.423pO2; mmHg20.47±4.0519.54±3.0316.40 (14.90,20.70)0.021>0.9990.0210.169Base excess; mmol.l−1−1.20 (−2.40,0)−1.34±1.59−1.44±1.650.965Lactate; mmol.l−11.60 (1.30,1.70)1.60 (1.40,1.85)1.67±0.300.358Umbilical veinpH7.37±0.027.36±0.027.37±0.020.815pCO2; mmHg41.16±3.4441.32±3.8839.81±4.570.343pO2; mmHg32.50±4.5030.13±4.8031.75±5.150.211Base excess; mmol.l−1−1.76±1.05−1.86±1.55−1.92±1.200.910Lactate; mmol.l−11.40 (1.30,1.60)1.45±0.321.47±0.210.842Apgar score at 1 min10 (10,10)10 (10,10)10 (10,10)0.77Apgar score at 5 min10 (10,10)10 (10,10)10 (10,10)0.60Note: Values are mean ± SD or median (IQR). Figure 2Differences in umbilical arterial pH compared both metaraminol group and phenylephrine group with norepinephrine group. The confidence intervals of both comparisons do not cross the non-inferiority margin, which was set at −0.03 pH units, indicating that both phenylephrine and metaraminol are non-inferior to norepinephrine. Umbilical Vessel Biochemical Values and Apgar Scores in Neonates Note: Values are mean ± SD or median (IQR). Differences in umbilical arterial pH compared both metaraminol group and phenylephrine group with norepinephrine group. The confidence intervals of both comparisons do not cross the non-inferiority margin, which was set at −0.03 pH units, indicating that both phenylephrine and metaraminol are non-inferior to norepinephrine. For the intra-operative outcomes of the participants, there was no significant difference among the three groups with respect to the incidence of bradycardia, dizziness, chest distress, nausea, and vomiting. Significant differences in the incidence of hypotension, hypertension, the number of rescue bolus doses, and pump adjustments among the three groups were indicated by the chi-square test. Moreover, the pairwise chi-square comparisons with a more conservative alpha level of 0.017 suggested that the incidence of hypotension was significantly lower in the M group compared with the N group. However, the number of pump adjustments and the incidence of hypertension were significantly higher in the P group and M group compared with the N group (Table 3).Table 3Intraoperative Data of Different GroupsGroupPairwise ComparisonsOutcomeMetaraminol (n=25)Phenylephrine (n=25)Norepinephrine (n=25)Overall P valueMetaraminol vs PhenylephrineMetaraminol vs NoradrenalinePhenylephrine vs NoradrenalineHypotension1580.03880.08170.01000.3334Hypertension1792<0.00010.0235<0.00010.0169Bradycardia1300.1575Nausea1210.8071Vomiting000Dizziness0020.1405Chest distress3320.8694Number of rescue bolus doses0 (0,0)0 (0,0)0 (0,1)0.04270.38510.0390>0.9999Number of pump adjustments4 (3,4)4 (3,4)2 (0,3)<0.0001>0.99990.00040.0004Note: Values are number or median (IQR). Intraoperative Data of Different Groups Note: Values are number or median (IQR). Serial changes of SBP and HR were respectively presented in Figures 3 and 4. In general, the M group had higher SBP compared with the N group and the P group (Figure 3); the N group had higher HR compared with the M group and the P group in most readings (Figure 4).Figure 3Serial changes in SBP in the first 15 min after induction of spinal anaesthesia for different groups. Data are shown as mean (standard deviation, SD). *Statistical significance between the P group and the N group. †Statistical significance between the M group and the N group. ‡Statistical significance between the M group and the P group.Figure 4Serial changes in HR in the first 15 min after induction of spinal anaesthesia for different groups. Data are shown as mean (standard deviation, SD). *Statistical significance between the P group and the N group. †Statistical significance between the M group and the N group; ‡Statistical significance between the M group and the P group. Serial changes in SBP in the first 15 min after induction of spinal anaesthesia for different groups. Data are shown as mean (standard deviation, SD). *Statistical significance between the P group and the N group. †Statistical significance between the M group and the N group. ‡Statistical significance between the M group and the P group. Serial changes in HR in the first 15 min after induction of spinal anaesthesia for different groups. Data are shown as mean (standard deviation, SD). *Statistical significance between the P group and the N group. †Statistical significance between the M group and the N group; ‡Statistical significance between the M group and the P group. Discussion: In the current study, we found that prophylactic use of both metaraminol and phenylephrine infusions to prevent maternal hypotension in caesarean section were non-inferior to norepinephrine infusion concerning neonatal umbilical arterial pH. However, the umbilical arterial pO2 was significantly higher in the M group compared with the N group. Moreover, the incidence of hypotension was significantly lower in the M group compared with the N group and the number of pump adjustments and the incidence of hypertension were significantly higher in the P group and M group compared with the N group. In addition, significant differences were indicated in SBP and HR at each time interval among the three groups except during the first 1 to 5 minutes. UA pH is a well-established measure of neonatal condition at birth that reflects both the metabolic and the respiratory parts of fetal acidaemia. The respiratory fetal acidaemia is mainly caused by carbon dioxide accumulation due to acute insufficient perfusion of the placenta. Both spinal anaesthesia and intraoperative vasopressors administration are risk factors of the acute insufficient perfusion of the placenta. BE is also an appropriate indicator of outcome since it reflects the metabolic fetal acidaemia. However, a previous study suggested that the metabolic component does not predict those at risk of adverse outcomes once pH is taken into account.13 Therefore, we took the UA pH as the primary outcome. Nonetheless, we compared UA BE among groups as a secondary outcome. In consideration of the reflex decrease in HR and an associated decrease in CO induced by a pure vasoconstrictor, alternative agents such as dilute norepinephrine and metaraminol combine α- and β-adrenergic receptor agonist activity and may be a more ideal agent for the management of spinal-induced hypotension. Several studies comparing norepinephrine and phenylephrine for preventing hypotension during spinal anaesthesia for caesarean section have been conducted in recent years.6,8,14–17 However, most of the previous studies focused on hemodynamic differences between norepinephrine and phenylephrine with fetal outcomes included as secondary outcomes. In the current study, we took UA pH as the primary outcome and found that phenylephrine was non-inferior to norepinephrine concerning the fetal outcome which was consistent with a newly published study.18 Unlike the newly published study, we also compared norepinephrine with metaraminol which is another alternative agent with combined α- and β-adrenergic receptor agonist activity in the current study. There is still no published study that compared norepinephrine with metaraminol in preventing hypotension during caesarean section. The current study for the first time demonstrated that metaraminol was also non-inferior to norepinephrine regarding UA pH. Moreover, the other outcomes of UA and UV blood gases were also comparable among the three groups including BE. However, there is an exception that the umbilical arterial pO2 was significantly higher in the M group compared with the N group. The difference in maternal hemodynamics between the two groups may account for this phenomenon. As showed in the current study, the SBP and HR were relatively stable in the three groups and sufficient perfusion of the placenta was indicated by normal UA pH. However, the SBP in the M group was the highest one among the three groups at most time intervals with SBP in the N group being the lowest one. Therefore, the fetuses in group M will have a more adequate supply of oxygen manifested as higher umbilical arterial pO2. Many studies have investigated the potency ratio for norepinephrine/phenylephrine. At first, Ngan et al suggested that the potency ratio for norepinephrine/phenylephrine was 17:1 (norepinephrine 6 μg equivalent to phenylephrine 100 μg).6 However, the subsequent works suggested that the real potency ratio may be smaller with a potency ratio of 13:1 (norepinephrine 7.6 μg equivalent to phenylephrine 100μg)19 and 11:1 (norepinephrine 8.8 μg equivalent to phenylephrine 100μg).20 Therefore, we chose to study norepinephrine at a concentration of 8μg/mL and phenylephrine at 100μg/mL. Since the potency ratio for metaraminol/ phenylephrine has been widely demonstrated to be 5:1, we studied metaraminol at 500μg /mL. Moreover, some studies have suggested that a bolus of vasoconstrictor before starting continuous infusion may reduce the rates of maternal hypotension and nausea.21,22 Therefore, we gave the participants a bolus of norepinephrine 4 μg, phenylephrine 50 μg, or metaraminol 250 μg before starting the continuous infusion. A rate of 25–50 μg/min was reported to provide the best balance in maintaining maternal blood pressure without reactive hypertension or bradycardia23,24 for phenylephrine. Therefore, the initial infusion rate was set to 30 mL/h (50 ug/min for phenylephrine) in all groups to ensure the anesthesiologists were blinded to the patients’ allocation. In the current study, we found that most intra-operative data including the incidence of bradycardia, dizziness, chest distress, nausea, and vomiting were comparable among the three groups. However, the incidence of hypotension was significantly lower in the M group compared with the N group and the number of pump adjustments and the incidence of hypertension was significantly higher in the P group and M group compared with the N group. In addition, the M group had higher SBP compared with the N group and P group at most time points. Regardless of the potential differences in pharmacodynamics, metaraminol may have an advantage over phenylephrine or norepinephrine due to the potential bias induced by drug preparation for infusion. A very small part of the solution will inevitably remain in the ampoules, which will cause the deviation between the actual concentration and the target concentration. The concentration deviation caused by the dilution process is most obvious in the N group among the three groups due to its highest potency. Therefore, the incidence of hypotension could be significantly higher in the N group compared with the M group due to concentration deviation related to the huge difference in their potencies. The above reason could also account for the differences in the incidence of hypertension, the number of pump adjustments, and serial SBP among the three groups. There are some limitations in our study. Firstly, the subjects were all healthy women and fetuses. The results might not be applicable for women with cardiovascular disease or fetuses with uteroplacental insufficiency. Secondly, not all cases were the first cases of the day, therefore, women who have longer fasting periods may be more likely to suffer from intraoperative hypotension due to fasting. In addition, there may be potential bias in the process of drug preparation for infusion which may affect the authenticity of the results. Conclusion: Both metaraminol and phenylephrine were non-inferior to norepinephrine in preventing maternal hypotension during caesarean section concerning neonatal UA pH. Future studies should be performed to further compare the potential differences among phenylephrine, metaraminol, and norepinephrine on side effects or obstetric outcomes.
Background: A direct comparison of phenylephrine, metaraminol, and norepinephrine in preventing hypotension during spinal anaesthesia for elective caesarean section has never been made. Methods: Seventy-five parturients scheduled for elective caesarean section were randomly assigned into the three groups. After spinal anaesthesia induction, patients received a bonus dose of vasopressor (norepinephrine 4ug, phenylephrine 50ug, or metaraminol 250ug) combined with continuous infusion (norepinephrine 8ug/mL, phenylephrine 100ug/mL, or metaraminol 500ug/mL) at a rate of 30 mL/h to prevent hypotension. The primary outcome was umbilical arterial (UA) pH and other intraoperative data were also recorded. Results: The UA pH was 7.32±0.03 for metaraminol, 7.31±0.03 for phenylephrine, and 7.31±0.03 for norepinephrine. The 95% CI of MD was -0.011 to 0.026 comparing metaraminol with norepinephrine and 0.0181 to 0.0182 comparing phenylephrine with norepinephrine. Both lower bounds of the 95% CI of MD were above the predetermined lower boundary of clinical non-inferiority of -0.03, indicating both metaraminol and phenylephrine were non-inferior to norepinephrine. Moreover, the incidence of hypotension was lower in metaraminol compared with norepinephrine (P = 0.01). However, the incidence of hypertension was significantly lower in both phenylephrine and metaraminol compared with norepinephrine. Conclusions: Both metaraminol and phenylephrine were non-inferior to norepinephrine with respect to neonatal UA pH when used as a bolus and continuous infusion to prevent hypotension during combined spinal-epidural anaesthesia for elective caesarean section.
Introduction: Caesarean section is one of the most commonly performed surgical procedures; spinal anaesthesia and combined spinal-epidural anaesthesia are the most commonly used methods of anaesthesia for caesarean section. However, their use is associated with a high incidence of hypotension, which can result in adverse maternal and fetal outcomes.1 A number of methods to prevent hypotension have been investigated and prophylactic infusion of vasopressors is commonly recommended.2,3 In the last decade, phenylephrine has been widely used as a vasopressor for maintaining blood pressure (BP) during spinal anaesthesia for caesarean delivery.4 However, as a pure the α-agonist, phenylephrine is often associated with baroreceptor-mediated bradycardia and thus leads to a subsequent decrease in cardiac output (CO).5 Although the decrease in CO is generally back to the pre-spinal anesthetic baseline in a short time,6 it may cause adverse effects in some high-risk situations such as maternal cardiac disease, placental insufficiency, and fetal distress. Norepinephrine with α- agonist and slight β-agonist activity has been put forward as an alternative vasopressor during caesarean section due to its ability to treat hypotension while maintaining heart rate (HR).7 Moreover, recent studies have suggested that norepinephrine is non-inferior at maintaining BP while conferring a greater HR and CO compared with phenylephrine,6,8 which indicated that norepinephrine is the superior vasopressor for use in obstetric spinal anaesthesia. Metaraminol, another vasopressor with α- and β-agonist activity, has also been suggested to be effective in the management of maternal hypotension during caesarean section.9–11 It was reported that metaraminol is at least non-inferior to phenylephrine in preventing hypotension of parturients concerning neonatal acid-base outcomes.12 However, there is still no study that directly compares metaraminol with norepinephrine in preventing hypotension of parturients with spinal anaesthesia. The aim of this prospective, three-arm, randomized, double-blind trial was to directly compare the effect of prophylactic infusions of metaraminol, phenylephrine, and norepinephrine in women undergoing elective caesarean section under combined spinal-epidural (CSE) anaesthesia. We assumed that both metaraminol and phenylephrine infusions would be non-inferior to norepinephrine infusion to prevent maternal hypotension concerning neonatal acid-base status. Conclusion: Both metaraminol and phenylephrine were non-inferior to norepinephrine in preventing maternal hypotension during caesarean section concerning neonatal UA pH. Future studies should be performed to further compare the potential differences among phenylephrine, metaraminol, and norepinephrine on side effects or obstetric outcomes.
Background: A direct comparison of phenylephrine, metaraminol, and norepinephrine in preventing hypotension during spinal anaesthesia for elective caesarean section has never been made. Methods: Seventy-five parturients scheduled for elective caesarean section were randomly assigned into the three groups. After spinal anaesthesia induction, patients received a bonus dose of vasopressor (norepinephrine 4ug, phenylephrine 50ug, or metaraminol 250ug) combined with continuous infusion (norepinephrine 8ug/mL, phenylephrine 100ug/mL, or metaraminol 500ug/mL) at a rate of 30 mL/h to prevent hypotension. The primary outcome was umbilical arterial (UA) pH and other intraoperative data were also recorded. Results: The UA pH was 7.32±0.03 for metaraminol, 7.31±0.03 for phenylephrine, and 7.31±0.03 for norepinephrine. The 95% CI of MD was -0.011 to 0.026 comparing metaraminol with norepinephrine and 0.0181 to 0.0182 comparing phenylephrine with norepinephrine. Both lower bounds of the 95% CI of MD were above the predetermined lower boundary of clinical non-inferiority of -0.03, indicating both metaraminol and phenylephrine were non-inferior to norepinephrine. Moreover, the incidence of hypotension was lower in metaraminol compared with norepinephrine (P = 0.01). However, the incidence of hypertension was significantly lower in both phenylephrine and metaraminol compared with norepinephrine. Conclusions: Both metaraminol and phenylephrine were non-inferior to norepinephrine with respect to neonatal UA pH when used as a bolus and continuous infusion to prevent hypotension during combined spinal-epidural anaesthesia for elective caesarean section.
8,211
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[ 3587, 110, 421, 391, 370, 135, 352, 1171, 1179, 46 ]
11
[ "group", "ml", "norepinephrine", "phenylephrine", "infusion", "metaraminol", "data", "patients", "study", "syringe" ]
[ "phenylephrine infusions prevent", "phenylephrine preventing hypotension", "norepinephrine effects obstetric", "alternative vasopressor caesarean", "maternal hypotension caesarean" ]
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[CONTENT] caesarean section | hypotension | metaraminol | phenylephrine | norepinephrine [SUMMARY]
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[CONTENT] caesarean section | hypotension | metaraminol | phenylephrine | norepinephrine [SUMMARY]
[CONTENT] caesarean section | hypotension | metaraminol | phenylephrine | norepinephrine [SUMMARY]
[CONTENT] caesarean section | hypotension | metaraminol | phenylephrine | norepinephrine [SUMMARY]
[CONTENT] Adult | Anesthesia, Epidural | Anesthesia, Spinal | Cesarean Section | Double-Blind Method | Female | Humans | Hypotension | Infusions, Intravenous | Metaraminol | Norepinephrine | Phenylephrine | Pregnancy | Prospective Studies | Sympathomimetics [SUMMARY]
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[CONTENT] Adult | Anesthesia, Epidural | Anesthesia, Spinal | Cesarean Section | Double-Blind Method | Female | Humans | Hypotension | Infusions, Intravenous | Metaraminol | Norepinephrine | Phenylephrine | Pregnancy | Prospective Studies | Sympathomimetics [SUMMARY]
[CONTENT] Adult | Anesthesia, Epidural | Anesthesia, Spinal | Cesarean Section | Double-Blind Method | Female | Humans | Hypotension | Infusions, Intravenous | Metaraminol | Norepinephrine | Phenylephrine | Pregnancy | Prospective Studies | Sympathomimetics [SUMMARY]
[CONTENT] Adult | Anesthesia, Epidural | Anesthesia, Spinal | Cesarean Section | Double-Blind Method | Female | Humans | Hypotension | Infusions, Intravenous | Metaraminol | Norepinephrine | Phenylephrine | Pregnancy | Prospective Studies | Sympathomimetics [SUMMARY]
[CONTENT] phenylephrine infusions prevent | phenylephrine preventing hypotension | norepinephrine effects obstetric | alternative vasopressor caesarean | maternal hypotension caesarean [SUMMARY]
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[CONTENT] phenylephrine infusions prevent | phenylephrine preventing hypotension | norepinephrine effects obstetric | alternative vasopressor caesarean | maternal hypotension caesarean [SUMMARY]
[CONTENT] phenylephrine infusions prevent | phenylephrine preventing hypotension | norepinephrine effects obstetric | alternative vasopressor caesarean | maternal hypotension caesarean [SUMMARY]
[CONTENT] phenylephrine infusions prevent | phenylephrine preventing hypotension | norepinephrine effects obstetric | alternative vasopressor caesarean | maternal hypotension caesarean [SUMMARY]
[CONTENT] group | ml | norepinephrine | phenylephrine | infusion | metaraminol | data | patients | study | syringe [SUMMARY]
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[CONTENT] group | ml | norepinephrine | phenylephrine | infusion | metaraminol | data | patients | study | syringe [SUMMARY]
[CONTENT] group | ml | norepinephrine | phenylephrine | infusion | metaraminol | data | patients | study | syringe [SUMMARY]
[CONTENT] group | ml | norepinephrine | phenylephrine | infusion | metaraminol | data | patients | study | syringe [SUMMARY]
[CONTENT] anaesthesia | spinal | hypotension | caesarean | agonist | section | caesarean section | phenylephrine | norepinephrine | vasopressor [SUMMARY]
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[CONTENT] norepinephrine | phenylephrine | metaraminol | section concerning neonatal ua | inferior norepinephrine preventing maternal | differences phenylephrine | section concerning neonatal | caesarean section concerning neonatal | caesarean section concerning | hypotension caesarean section concerning [SUMMARY]
[CONTENT] group | ml | norepinephrine | phenylephrine | metaraminol | infusion | syringe | hypotension | spinal | test [SUMMARY]
[CONTENT] group | ml | norepinephrine | phenylephrine | metaraminol | infusion | syringe | hypotension | spinal | test [SUMMARY]
[CONTENT] metaraminol | anaesthesia [SUMMARY]
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[CONTENT] UA | anaesthesia [SUMMARY]
[CONTENT] metaraminol | anaesthesia ||| Seventy-five | three ||| anaesthesia | 50ug | 100ug/mL | 30 mL/ ||| UA ||| ||| ||| 95% | CI | MD | 0.026 | 0.0181 | 0.0182 ||| 95% | CI | MD ||| 0.01 ||| ||| UA | anaesthesia [SUMMARY]
[CONTENT] metaraminol | anaesthesia ||| Seventy-five | three ||| anaesthesia | 50ug | 100ug/mL | 30 mL/ ||| UA ||| ||| ||| 95% | CI | MD | 0.026 | 0.0181 | 0.0182 ||| 95% | CI | MD ||| 0.01 ||| ||| UA | anaesthesia [SUMMARY]
Effects of receptor for advanced glycation endproducts on microvessel formation in endometrial cancer.
26873694
The receptor for advanced glycation endproducts (RAGE) and microvascular status both play a critical role in cancer progression. However, the crosstalk between RAGE and microvascular formation in endometrial cancer remains largely unknown.
BACKGROUND
RAGE expression and microvessel density were examined in 20 cases of normal endometrial tissue, 37 cases of well-differentiated endometrial cancer tissue, and 35 cases of poorly-differentiated endometrial cancer tissue. Regression analysis was used to examine the relationship between RAGE and microvessel density. The knockdown of RAGE was achieved using a small interfering RNA in HEC-1A endometrial cancer cells. A xenografted tumour model was used to evaluate RAGE-mediated microvascular formation and proliferation of endometrial cancer cells.
METHODS
It was shown that (i) RAGE expression gradually increased in normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively; (ii) a positive correlation existed between RAGE and microvessel density in human endometrial cancer samples; (iii) RAGE knockdown was effective in decreasing microvessel formation in xenografted tumour models; and (iv) RAGE knockdown can significantly inhibit the proliferation of endometrial cancer cells in vivo.
RESULTS
These results indicate that RAGE may be a potential trigger in microvascular formation and proliferation in the development of endometrial cancer.
CONCLUSIONS
[ "Aged", "Animals", "Cell Line, Tumor", "Cell Proliferation", "Endometrial Neoplasms", "Female", "Gene Expression Regulation, Neoplastic", "Humans", "Mice", "Microvessels", "Middle Aged", "Receptor for Advanced Glycation End Products", "Transfection", "Xenograft Model Antitumor Assays" ]
4751660
Background
Endometrial cancer is the most common gynaecologic malignancy, and its incidence is increasing [1]. Accumulating evidence suggests that diabetes is a high risk factor for endometrial cancer [2], with an epidemiological study demonstrating an increased incidence of endometrial cancer in diabetic patients [3]. The receptor for advanced glycation endproducts (RAGE) was first identified as a signal receptor for advanced glycation endproducts (AGEs) [4], the products of non-enzymatic glycation/oxidation of proteins/lipids which have been linked to an increased risk of microvascular complications associated with diabetes [4, 5]. Interestingly, several studies have indicated that (i) microvessel density was significantly lower in renal cell carcinoma expressing low levels of RAGE [6]; (ii) RAGE was highly expressed in colorectal cancer tissues, and was associated with increased microvessel density [7]; (iii) blockade of ligand-RAGE interactions can prevent or delay diabetes-related structural microvessel complications in mice [8]; (iv) microvessel density may be a novel prognostic factor in various tumours [9, 10]. However, the role of RAGE and its related microvascular status in the pathogenesis of endometrial cancer remains largely unknown. In addition, although little is known to date on the direct role of RAGE in the proliferation of endometrial cancer, an emerging body of evidence suggests that RAGE plays an important role in promoting cell proliferation and survival in prostate cancer [11], lung cancer [12], breast cancer [13], and eukaemia cells [14]. Therefore, insights into the complex interrelationship among RAGE, microvascular formation and proliferation might improve current understanding of the basic molecular mechanisms of endometrial cancer.
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Results
Differences in RAGE expression patterns in endometrial cancer and endometrial cancer cell lines Immunohistochemical analysis showed that the levels of RAGE expression gradually increased in normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively (Fig. 1a-e). It is interesting to note that poorly-differentiated endometrial cancer cell (HEC-1A) showed significantly increased expression of RAGE compared with well-differentiated endometrial cancer cells (Ishikawa) (Fig. 1f).Fig. 1Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines Immunohistochemical analysis showed that the levels of RAGE expression gradually increased in normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively (Fig. 1a-e). It is interesting to note that poorly-differentiated endometrial cancer cell (HEC-1A) showed significantly increased expression of RAGE compared with well-differentiated endometrial cancer cells (Ishikawa) (Fig. 1f).Fig. 1Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines RAGE expression correlated positively with microvessel density in endometrial cancer samples Of particular interest and potential clinical relevance, the relationship between RAGE expression and microvessel density was studied in 72 human endometrial cancer specimens. Our results suggested that high levels of RAGE were associated with higher microvessel densities (Fig. 2a(i) and a(ii)), while low levels of RAGE were observed along with lower microvessel densities (Fig. 2b(i) and b(ii)) in endometrial cancer tissues. A significant positive association was shown to exist between RAGE expression and microvessel density in both well-differentiated (R = 0.812, P < 0.001) and poorly-differentiated endometrial cancer (R = 0.657, P < 0.001) (Fig. 2c). Poorly-differentiated endometrial cancer tissues consistently displayed higher levels of RAGE and microvessel density, compared with well-differentiated endometrial cancer tissues (Fig. 2d and e).Fig. 2Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control Of particular interest and potential clinical relevance, the relationship between RAGE expression and microvessel density was studied in 72 human endometrial cancer specimens. Our results suggested that high levels of RAGE were associated with higher microvessel densities (Fig. 2a(i) and a(ii)), while low levels of RAGE were observed along with lower microvessel densities (Fig. 2b(i) and b(ii)) in endometrial cancer tissues. A significant positive association was shown to exist between RAGE expression and microvessel density in both well-differentiated (R = 0.812, P < 0.001) and poorly-differentiated endometrial cancer (R = 0.657, P < 0.001) (Fig. 2c). Poorly-differentiated endometrial cancer tissues consistently displayed higher levels of RAGE and microvessel density, compared with well-differentiated endometrial cancer tissues (Fig. 2d and e).Fig. 2Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control RAGE can regulate microvessel formation in xenografted tumour models To further examine the role of RAGE in the regulation of microvessel formation, the effects of RAGE knockdown were evaluated in xenografted tumour models, HEC-1A cells, or RAGE-knockdown HEC-1A cells (Fig. 3a) were subcutaneously transplanted into nude mice. After 20 days, knockdown of RAGE (Fig. 3b and c) was shown to have effectively decreased microvessel density (Fig. 3d-f) in xenografted tumours.Fig. 3Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control To further examine the role of RAGE in the regulation of microvessel formation, the effects of RAGE knockdown were evaluated in xenografted tumour models, HEC-1A cells, or RAGE-knockdown HEC-1A cells (Fig. 3a) were subcutaneously transplanted into nude mice. After 20 days, knockdown of RAGE (Fig. 3b and c) was shown to have effectively decreased microvessel density (Fig. 3d-f) in xenografted tumours.Fig. 3Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control RAGE knockdown can significantly inhibit the proliferation of endometrial cancer cells in vivo Notably, we observed that the knockdown of RAGE significantly decreased xenografted tumour volume (Fig. 4a-c), diameter (Fig. 4d and e), and weight (Fig. 4f). In addition, the proliferation marker Ki-67 was also decreased after RAGE knockdown, suggesting that RAGE inhibition was an effective way to regulate endometrial cancer cell proliferation (Fig. 4g-i).Fig. 4Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control Notably, we observed that the knockdown of RAGE significantly decreased xenografted tumour volume (Fig. 4a-c), diameter (Fig. 4d and e), and weight (Fig. 4f). In addition, the proliferation marker Ki-67 was also decreased after RAGE knockdown, suggesting that RAGE inhibition was an effective way to regulate endometrial cancer cell proliferation (Fig. 4g-i).Fig. 4Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control
Conclusions
Our results indicate that RAGE may be a potential regulator of microvessel density and cell proliferation in endometrial cancer. Based on these findings, some interesting considerations for future studies can be identified; for example, how RAGE expression affects microvessel formation and the specific mechanism of RAGE-related endometrial cancer cell proliferation. The outcomes of this future work may improve our understanding of the basic molecular mechanisms behind RAGE-related endometrial cancer progression.
[ "Patients and tissue collection", "Cell culture and transfection", "Xenografted tumour model", "Immunohistochemical analysis", "Western blotting for RAGE", "Statistical analyses", "Differences in RAGE expression patterns in endometrial cancer and endometrial cancer cell lines", "RAGE expression correlated positively with microvessel density in endometrial cancer samples", "RAGE can regulate microvessel formation in xenografted tumour models", "RAGE knockdown can significantly inhibit the proliferation of endometrial cancer cells in vivo" ]
[ "This study was approved by the Institutional Review Board at China Medical University, and all subjects provided informed consent. Twenty cases of normal endometrial tissue (mean age, 55.6 ± 14.5), thirty-seven cases of well-differentiated endometrial cancer tissue (mean age, 58.4 ± 20.2), and thirty-five cases of poorly-differentiated endometrial cancer tissue (mean age, 60.3 ± 17.6) were collected from subjects at Shengjing Hospital of China Medical University between 2008 and 2012. Their characteristics are given in Additional file 1. All tissues were obtained during primary surgery, prior to administration of chemotherapy or radiotherapy, and were pathologically examined by haematoxylin and eosin staining. Endometrial cancer tissues were staged according to the International Federation of Gynecology and Obstetrics (FIGO 2009) by three experienced pathologists.", "Well-differentiated (Ishikawa) and poorly-differentiated endometrial cancer cell lines (HEC-1A) were maintained in DMEM supplemented with 10 % foetal bovine serum (Invitrogen, CA, USA). Cholesterol-conjugated small interfering RNA (siRNA) against RAGE was obtained from Biomics Biotechnologies (Shanghai, China), and synthesized as follows: 5′-GACCAACUCUCUCCUGUAUTT-3′ and 5′-AUACAGGAGAGAGUUGGUCTT-3′. A non-targeting siRNA duplex sequence was used as a negative control. The transfection protocol was as follows: 10 μl of siRNA was added to 175 μl of Opti-MEM (Invitrogen) reduced serum medium and mixed gently. At the same time, 4 μl of oligofectamin (Invitrogen) was added to 11 μl of Opti-MEM. After 5 min, Opti-MEM containing the siRNA was mixed gently with Opti-MEM containing oligofectamin. After 20 min, the mixture was added to the culture wells, and plates were incubated at 37 °C and 5 % CO2 for 24 h. Stable cell clones were identified by western blotting.", "All experiments were conducted according to the NIH Guide for Care and Use of Laboratory Animals, and all experimental procedures involving animals were approved by the Animal Care and Use Committee of China Medical University. Female BALB/c nude mice (5 weeks old) were purchased from the China Medical University Animal Centre. HEC-1A cells or RAGE-knockdown HEC-1A cells (1 × 107 cells mixed with Matrigel in a final volume of 200 μl) were injected subcutaneously into the right armpit of BALB/c nude mice (n = 12 for each group). The growth of xenografted tumours was observed daily and the long and short diameters of tumours were recorded every 5 days; tumour volume was subsequently calculated by V (mm3) = (π × long diameter × short diameter2)/6. At 20 days, the animals were sacrificed and tumour tissues were collected. The expression of RAGE, Ki67 and CD34 in tumour tissues was determined by immunohistochemistry.", "Immunohistochemistry was performed as previously described [15]. The primary antibodies used were anti-RAGE (1:200; Santa Cruz Biotechnology, CA, USA), anti-CD34 (1:100; Dako, Glostrup, Denmark), and anti-Ki67 (1:100; Dako, Glostrup, Denmark). Microvessel density was assessed in anti-CD34-(for blood vessels) immunostained specimens. Area quantification was performed by light microscopy and analysed by Image-Pro Plus 6.0 (Media 2 Cybernetics, USA). Immunostaining was evaluated by two independent pathologists, blinded to the identity of the subject groups.", "Western blotting was performed as previously described [16]. Briefly, 30 μg protein was separated on 10 % SDS polyacrylamide gels and transferred to polyvinyl difluoride membranes (Millipore, MA, USA). The membranes were blocked in TBS containing 0.1 % Tween-20 and 5 % non-fat dry milk for 30 min at room temperature, and incubated with antibody to RAGE (1:500; Santa Cruz Biotechnology) overnight at 4 °C. Then, membranes were washed with PBS-Tween followed by 1 h incubation at room temperature with horseradish peroxidase-conjugated secondary antibody (1:5000; Santa Cruz Biotechnology) and detected using enhanced chemiluminescence (Amersham Life Science, NJ, USA).", "Regression analysis was used to examine the relationship between RAGE and microvessel density. The data are presented as mean ± SD. Statistical differences in the data were evaluated by Student’s t test or one-way ANOVA as appropriate, and were considered significant at P < 0.05.", "Immunohistochemical analysis showed that the levels of RAGE expression gradually increased in normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively (Fig. 1a-e). It is interesting to note that poorly-differentiated endometrial cancer cell (HEC-1A) showed significantly increased expression of RAGE compared with well-differentiated endometrial cancer cells (Ishikawa) (Fig. 1f).Fig. 1Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines\nExpression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines", "Of particular interest and potential clinical relevance, the relationship between RAGE expression and microvessel density was studied in 72 human endometrial cancer specimens. Our results suggested that high levels of RAGE were associated with higher microvessel densities (Fig. 2a(i) and a(ii)), while low levels of RAGE were observed along with lower microvessel densities (Fig. 2b(i) and b(ii)) in endometrial cancer tissues. A significant positive association was shown to exist between RAGE expression and microvessel density in both well-differentiated (R = 0.812, P < 0.001) and poorly-differentiated endometrial cancer (R = 0.657, P < 0.001) (Fig. 2c). Poorly-differentiated endometrial cancer tissues consistently displayed higher levels of RAGE and microvessel density, compared with well-differentiated endometrial cancer tissues (Fig. 2d and e).Fig. 2Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control\nCorrelation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control", "To further examine the role of RAGE in the regulation of microvessel formation, the effects of RAGE knockdown were evaluated in xenografted tumour models, HEC-1A cells, or RAGE-knockdown HEC-1A cells (Fig. 3a) were subcutaneously transplanted into nude mice. After 20 days, knockdown of RAGE (Fig. 3b and c) was shown to have effectively decreased microvessel density (Fig. 3d-f) in xenografted tumours.Fig. 3Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control\nEffects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control", "Notably, we observed that the knockdown of RAGE significantly decreased xenografted tumour volume (Fig. 4a-c), diameter (Fig. 4d and e), and weight (Fig. 4f). In addition, the proliferation marker Ki-67 was also decreased after RAGE knockdown, suggesting that RAGE inhibition was an effective way to regulate endometrial cancer cell proliferation (Fig. 4g-i).Fig. 4Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control\nEffects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control" ]
[ null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Patients and tissue collection", "Cell culture and transfection", "Xenografted tumour model", "Immunohistochemical analysis", "Western blotting for RAGE", "Statistical analyses", "Results", "Differences in RAGE expression patterns in endometrial cancer and endometrial cancer cell lines", "RAGE expression correlated positively with microvessel density in endometrial cancer samples", "RAGE can regulate microvessel formation in xenografted tumour models", "RAGE knockdown can significantly inhibit the proliferation of endometrial cancer cells in vivo", "Discussion", "Conclusions" ]
[ "Endometrial cancer is the most common gynaecologic malignancy, and its incidence is increasing [1]. Accumulating evidence suggests that diabetes is a high risk factor for endometrial cancer [2], with an epidemiological study demonstrating an increased incidence of endometrial cancer in diabetic patients [3]. The receptor for advanced glycation endproducts (RAGE) was first identified as a signal receptor for advanced glycation endproducts (AGEs) [4], the products of non-enzymatic glycation/oxidation of proteins/lipids which have been linked to an increased risk of microvascular complications associated with diabetes [4, 5]. Interestingly, several studies have indicated that (i) microvessel density was significantly lower in renal cell carcinoma expressing low levels of RAGE [6]; (ii) RAGE was highly expressed in colorectal cancer tissues, and was associated with increased microvessel density [7]; (iii) blockade of ligand-RAGE interactions can prevent or delay diabetes-related structural microvessel complications in mice [8]; (iv) microvessel density may be a novel prognostic factor in various tumours [9, 10]. However, the role of RAGE and its related microvascular status in the pathogenesis of endometrial cancer remains largely unknown. In addition, although little is known to date on the direct role of RAGE in the proliferation of endometrial cancer, an emerging body of evidence suggests that RAGE plays an important role in promoting cell proliferation and survival in prostate cancer [11], lung cancer [12], breast cancer [13], and eukaemia cells [14]. Therefore, insights into the complex interrelationship among RAGE, microvascular formation and proliferation might improve current understanding of the basic molecular mechanisms of endometrial cancer.", " Patients and tissue collection This study was approved by the Institutional Review Board at China Medical University, and all subjects provided informed consent. Twenty cases of normal endometrial tissue (mean age, 55.6 ± 14.5), thirty-seven cases of well-differentiated endometrial cancer tissue (mean age, 58.4 ± 20.2), and thirty-five cases of poorly-differentiated endometrial cancer tissue (mean age, 60.3 ± 17.6) were collected from subjects at Shengjing Hospital of China Medical University between 2008 and 2012. Their characteristics are given in Additional file 1. All tissues were obtained during primary surgery, prior to administration of chemotherapy or radiotherapy, and were pathologically examined by haematoxylin and eosin staining. Endometrial cancer tissues were staged according to the International Federation of Gynecology and Obstetrics (FIGO 2009) by three experienced pathologists.\nThis study was approved by the Institutional Review Board at China Medical University, and all subjects provided informed consent. Twenty cases of normal endometrial tissue (mean age, 55.6 ± 14.5), thirty-seven cases of well-differentiated endometrial cancer tissue (mean age, 58.4 ± 20.2), and thirty-five cases of poorly-differentiated endometrial cancer tissue (mean age, 60.3 ± 17.6) were collected from subjects at Shengjing Hospital of China Medical University between 2008 and 2012. Their characteristics are given in Additional file 1. All tissues were obtained during primary surgery, prior to administration of chemotherapy or radiotherapy, and were pathologically examined by haematoxylin and eosin staining. Endometrial cancer tissues were staged according to the International Federation of Gynecology and Obstetrics (FIGO 2009) by three experienced pathologists.\n Cell culture and transfection Well-differentiated (Ishikawa) and poorly-differentiated endometrial cancer cell lines (HEC-1A) were maintained in DMEM supplemented with 10 % foetal bovine serum (Invitrogen, CA, USA). Cholesterol-conjugated small interfering RNA (siRNA) against RAGE was obtained from Biomics Biotechnologies (Shanghai, China), and synthesized as follows: 5′-GACCAACUCUCUCCUGUAUTT-3′ and 5′-AUACAGGAGAGAGUUGGUCTT-3′. A non-targeting siRNA duplex sequence was used as a negative control. The transfection protocol was as follows: 10 μl of siRNA was added to 175 μl of Opti-MEM (Invitrogen) reduced serum medium and mixed gently. At the same time, 4 μl of oligofectamin (Invitrogen) was added to 11 μl of Opti-MEM. After 5 min, Opti-MEM containing the siRNA was mixed gently with Opti-MEM containing oligofectamin. After 20 min, the mixture was added to the culture wells, and plates were incubated at 37 °C and 5 % CO2 for 24 h. Stable cell clones were identified by western blotting.\nWell-differentiated (Ishikawa) and poorly-differentiated endometrial cancer cell lines (HEC-1A) were maintained in DMEM supplemented with 10 % foetal bovine serum (Invitrogen, CA, USA). Cholesterol-conjugated small interfering RNA (siRNA) against RAGE was obtained from Biomics Biotechnologies (Shanghai, China), and synthesized as follows: 5′-GACCAACUCUCUCCUGUAUTT-3′ and 5′-AUACAGGAGAGAGUUGGUCTT-3′. A non-targeting siRNA duplex sequence was used as a negative control. The transfection protocol was as follows: 10 μl of siRNA was added to 175 μl of Opti-MEM (Invitrogen) reduced serum medium and mixed gently. At the same time, 4 μl of oligofectamin (Invitrogen) was added to 11 μl of Opti-MEM. After 5 min, Opti-MEM containing the siRNA was mixed gently with Opti-MEM containing oligofectamin. After 20 min, the mixture was added to the culture wells, and plates were incubated at 37 °C and 5 % CO2 for 24 h. Stable cell clones were identified by western blotting.\n Xenografted tumour model All experiments were conducted according to the NIH Guide for Care and Use of Laboratory Animals, and all experimental procedures involving animals were approved by the Animal Care and Use Committee of China Medical University. Female BALB/c nude mice (5 weeks old) were purchased from the China Medical University Animal Centre. HEC-1A cells or RAGE-knockdown HEC-1A cells (1 × 107 cells mixed with Matrigel in a final volume of 200 μl) were injected subcutaneously into the right armpit of BALB/c nude mice (n = 12 for each group). The growth of xenografted tumours was observed daily and the long and short diameters of tumours were recorded every 5 days; tumour volume was subsequently calculated by V (mm3) = (π × long diameter × short diameter2)/6. At 20 days, the animals were sacrificed and tumour tissues were collected. The expression of RAGE, Ki67 and CD34 in tumour tissues was determined by immunohistochemistry.\nAll experiments were conducted according to the NIH Guide for Care and Use of Laboratory Animals, and all experimental procedures involving animals were approved by the Animal Care and Use Committee of China Medical University. Female BALB/c nude mice (5 weeks old) were purchased from the China Medical University Animal Centre. HEC-1A cells or RAGE-knockdown HEC-1A cells (1 × 107 cells mixed with Matrigel in a final volume of 200 μl) were injected subcutaneously into the right armpit of BALB/c nude mice (n = 12 for each group). The growth of xenografted tumours was observed daily and the long and short diameters of tumours were recorded every 5 days; tumour volume was subsequently calculated by V (mm3) = (π × long diameter × short diameter2)/6. At 20 days, the animals were sacrificed and tumour tissues were collected. The expression of RAGE, Ki67 and CD34 in tumour tissues was determined by immunohistochemistry.\n Immunohistochemical analysis Immunohistochemistry was performed as previously described [15]. The primary antibodies used were anti-RAGE (1:200; Santa Cruz Biotechnology, CA, USA), anti-CD34 (1:100; Dako, Glostrup, Denmark), and anti-Ki67 (1:100; Dako, Glostrup, Denmark). Microvessel density was assessed in anti-CD34-(for blood vessels) immunostained specimens. Area quantification was performed by light microscopy and analysed by Image-Pro Plus 6.0 (Media 2 Cybernetics, USA). Immunostaining was evaluated by two independent pathologists, blinded to the identity of the subject groups.\nImmunohistochemistry was performed as previously described [15]. The primary antibodies used were anti-RAGE (1:200; Santa Cruz Biotechnology, CA, USA), anti-CD34 (1:100; Dako, Glostrup, Denmark), and anti-Ki67 (1:100; Dako, Glostrup, Denmark). Microvessel density was assessed in anti-CD34-(for blood vessels) immunostained specimens. Area quantification was performed by light microscopy and analysed by Image-Pro Plus 6.0 (Media 2 Cybernetics, USA). Immunostaining was evaluated by two independent pathologists, blinded to the identity of the subject groups.\n Western blotting for RAGE Western blotting was performed as previously described [16]. Briefly, 30 μg protein was separated on 10 % SDS polyacrylamide gels and transferred to polyvinyl difluoride membranes (Millipore, MA, USA). The membranes were blocked in TBS containing 0.1 % Tween-20 and 5 % non-fat dry milk for 30 min at room temperature, and incubated with antibody to RAGE (1:500; Santa Cruz Biotechnology) overnight at 4 °C. Then, membranes were washed with PBS-Tween followed by 1 h incubation at room temperature with horseradish peroxidase-conjugated secondary antibody (1:5000; Santa Cruz Biotechnology) and detected using enhanced chemiluminescence (Amersham Life Science, NJ, USA).\nWestern blotting was performed as previously described [16]. Briefly, 30 μg protein was separated on 10 % SDS polyacrylamide gels and transferred to polyvinyl difluoride membranes (Millipore, MA, USA). The membranes were blocked in TBS containing 0.1 % Tween-20 and 5 % non-fat dry milk for 30 min at room temperature, and incubated with antibody to RAGE (1:500; Santa Cruz Biotechnology) overnight at 4 °C. Then, membranes were washed with PBS-Tween followed by 1 h incubation at room temperature with horseradish peroxidase-conjugated secondary antibody (1:5000; Santa Cruz Biotechnology) and detected using enhanced chemiluminescence (Amersham Life Science, NJ, USA).\n Statistical analyses Regression analysis was used to examine the relationship between RAGE and microvessel density. The data are presented as mean ± SD. Statistical differences in the data were evaluated by Student’s t test or one-way ANOVA as appropriate, and were considered significant at P < 0.05.\nRegression analysis was used to examine the relationship between RAGE and microvessel density. The data are presented as mean ± SD. Statistical differences in the data were evaluated by Student’s t test or one-way ANOVA as appropriate, and were considered significant at P < 0.05.", "This study was approved by the Institutional Review Board at China Medical University, and all subjects provided informed consent. Twenty cases of normal endometrial tissue (mean age, 55.6 ± 14.5), thirty-seven cases of well-differentiated endometrial cancer tissue (mean age, 58.4 ± 20.2), and thirty-five cases of poorly-differentiated endometrial cancer tissue (mean age, 60.3 ± 17.6) were collected from subjects at Shengjing Hospital of China Medical University between 2008 and 2012. Their characteristics are given in Additional file 1. All tissues were obtained during primary surgery, prior to administration of chemotherapy or radiotherapy, and were pathologically examined by haematoxylin and eosin staining. Endometrial cancer tissues were staged according to the International Federation of Gynecology and Obstetrics (FIGO 2009) by three experienced pathologists.", "Well-differentiated (Ishikawa) and poorly-differentiated endometrial cancer cell lines (HEC-1A) were maintained in DMEM supplemented with 10 % foetal bovine serum (Invitrogen, CA, USA). Cholesterol-conjugated small interfering RNA (siRNA) against RAGE was obtained from Biomics Biotechnologies (Shanghai, China), and synthesized as follows: 5′-GACCAACUCUCUCCUGUAUTT-3′ and 5′-AUACAGGAGAGAGUUGGUCTT-3′. A non-targeting siRNA duplex sequence was used as a negative control. The transfection protocol was as follows: 10 μl of siRNA was added to 175 μl of Opti-MEM (Invitrogen) reduced serum medium and mixed gently. At the same time, 4 μl of oligofectamin (Invitrogen) was added to 11 μl of Opti-MEM. After 5 min, Opti-MEM containing the siRNA was mixed gently with Opti-MEM containing oligofectamin. After 20 min, the mixture was added to the culture wells, and plates were incubated at 37 °C and 5 % CO2 for 24 h. Stable cell clones were identified by western blotting.", "All experiments were conducted according to the NIH Guide for Care and Use of Laboratory Animals, and all experimental procedures involving animals were approved by the Animal Care and Use Committee of China Medical University. Female BALB/c nude mice (5 weeks old) were purchased from the China Medical University Animal Centre. HEC-1A cells or RAGE-knockdown HEC-1A cells (1 × 107 cells mixed with Matrigel in a final volume of 200 μl) were injected subcutaneously into the right armpit of BALB/c nude mice (n = 12 for each group). The growth of xenografted tumours was observed daily and the long and short diameters of tumours were recorded every 5 days; tumour volume was subsequently calculated by V (mm3) = (π × long diameter × short diameter2)/6. At 20 days, the animals were sacrificed and tumour tissues were collected. The expression of RAGE, Ki67 and CD34 in tumour tissues was determined by immunohistochemistry.", "Immunohistochemistry was performed as previously described [15]. The primary antibodies used were anti-RAGE (1:200; Santa Cruz Biotechnology, CA, USA), anti-CD34 (1:100; Dako, Glostrup, Denmark), and anti-Ki67 (1:100; Dako, Glostrup, Denmark). Microvessel density was assessed in anti-CD34-(for blood vessels) immunostained specimens. Area quantification was performed by light microscopy and analysed by Image-Pro Plus 6.0 (Media 2 Cybernetics, USA). Immunostaining was evaluated by two independent pathologists, blinded to the identity of the subject groups.", "Western blotting was performed as previously described [16]. Briefly, 30 μg protein was separated on 10 % SDS polyacrylamide gels and transferred to polyvinyl difluoride membranes (Millipore, MA, USA). The membranes were blocked in TBS containing 0.1 % Tween-20 and 5 % non-fat dry milk for 30 min at room temperature, and incubated with antibody to RAGE (1:500; Santa Cruz Biotechnology) overnight at 4 °C. Then, membranes were washed with PBS-Tween followed by 1 h incubation at room temperature with horseradish peroxidase-conjugated secondary antibody (1:5000; Santa Cruz Biotechnology) and detected using enhanced chemiluminescence (Amersham Life Science, NJ, USA).", "Regression analysis was used to examine the relationship between RAGE and microvessel density. The data are presented as mean ± SD. Statistical differences in the data were evaluated by Student’s t test or one-way ANOVA as appropriate, and were considered significant at P < 0.05.", " Differences in RAGE expression patterns in endometrial cancer and endometrial cancer cell lines Immunohistochemical analysis showed that the levels of RAGE expression gradually increased in normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively (Fig. 1a-e). It is interesting to note that poorly-differentiated endometrial cancer cell (HEC-1A) showed significantly increased expression of RAGE compared with well-differentiated endometrial cancer cells (Ishikawa) (Fig. 1f).Fig. 1Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines\nExpression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines\nImmunohistochemical analysis showed that the levels of RAGE expression gradually increased in normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively (Fig. 1a-e). It is interesting to note that poorly-differentiated endometrial cancer cell (HEC-1A) showed significantly increased expression of RAGE compared with well-differentiated endometrial cancer cells (Ishikawa) (Fig. 1f).Fig. 1Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines\nExpression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines\n RAGE expression correlated positively with microvessel density in endometrial cancer samples Of particular interest and potential clinical relevance, the relationship between RAGE expression and microvessel density was studied in 72 human endometrial cancer specimens. Our results suggested that high levels of RAGE were associated with higher microvessel densities (Fig. 2a(i) and a(ii)), while low levels of RAGE were observed along with lower microvessel densities (Fig. 2b(i) and b(ii)) in endometrial cancer tissues. A significant positive association was shown to exist between RAGE expression and microvessel density in both well-differentiated (R = 0.812, P < 0.001) and poorly-differentiated endometrial cancer (R = 0.657, P < 0.001) (Fig. 2c). Poorly-differentiated endometrial cancer tissues consistently displayed higher levels of RAGE and microvessel density, compared with well-differentiated endometrial cancer tissues (Fig. 2d and e).Fig. 2Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control\nCorrelation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control\nOf particular interest and potential clinical relevance, the relationship between RAGE expression and microvessel density was studied in 72 human endometrial cancer specimens. Our results suggested that high levels of RAGE were associated with higher microvessel densities (Fig. 2a(i) and a(ii)), while low levels of RAGE were observed along with lower microvessel densities (Fig. 2b(i) and b(ii)) in endometrial cancer tissues. A significant positive association was shown to exist between RAGE expression and microvessel density in both well-differentiated (R = 0.812, P < 0.001) and poorly-differentiated endometrial cancer (R = 0.657, P < 0.001) (Fig. 2c). Poorly-differentiated endometrial cancer tissues consistently displayed higher levels of RAGE and microvessel density, compared with well-differentiated endometrial cancer tissues (Fig. 2d and e).Fig. 2Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control\nCorrelation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control\n RAGE can regulate microvessel formation in xenografted tumour models To further examine the role of RAGE in the regulation of microvessel formation, the effects of RAGE knockdown were evaluated in xenografted tumour models, HEC-1A cells, or RAGE-knockdown HEC-1A cells (Fig. 3a) were subcutaneously transplanted into nude mice. After 20 days, knockdown of RAGE (Fig. 3b and c) was shown to have effectively decreased microvessel density (Fig. 3d-f) in xenografted tumours.Fig. 3Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control\nEffects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control\nTo further examine the role of RAGE in the regulation of microvessel formation, the effects of RAGE knockdown were evaluated in xenografted tumour models, HEC-1A cells, or RAGE-knockdown HEC-1A cells (Fig. 3a) were subcutaneously transplanted into nude mice. After 20 days, knockdown of RAGE (Fig. 3b and c) was shown to have effectively decreased microvessel density (Fig. 3d-f) in xenografted tumours.Fig. 3Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control\nEffects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control\n RAGE knockdown can significantly inhibit the proliferation of endometrial cancer cells in vivo Notably, we observed that the knockdown of RAGE significantly decreased xenografted tumour volume (Fig. 4a-c), diameter (Fig. 4d and e), and weight (Fig. 4f). In addition, the proliferation marker Ki-67 was also decreased after RAGE knockdown, suggesting that RAGE inhibition was an effective way to regulate endometrial cancer cell proliferation (Fig. 4g-i).Fig. 4Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control\nEffects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control\nNotably, we observed that the knockdown of RAGE significantly decreased xenografted tumour volume (Fig. 4a-c), diameter (Fig. 4d and e), and weight (Fig. 4f). In addition, the proliferation marker Ki-67 was also decreased after RAGE knockdown, suggesting that RAGE inhibition was an effective way to regulate endometrial cancer cell proliferation (Fig. 4g-i).Fig. 4Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control\nEffects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control", "Immunohistochemical analysis showed that the levels of RAGE expression gradually increased in normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively (Fig. 1a-e). It is interesting to note that poorly-differentiated endometrial cancer cell (HEC-1A) showed significantly increased expression of RAGE compared with well-differentiated endometrial cancer cells (Ishikawa) (Fig. 1f).Fig. 1Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines\nExpression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines", "Of particular interest and potential clinical relevance, the relationship between RAGE expression and microvessel density was studied in 72 human endometrial cancer specimens. Our results suggested that high levels of RAGE were associated with higher microvessel densities (Fig. 2a(i) and a(ii)), while low levels of RAGE were observed along with lower microvessel densities (Fig. 2b(i) and b(ii)) in endometrial cancer tissues. A significant positive association was shown to exist between RAGE expression and microvessel density in both well-differentiated (R = 0.812, P < 0.001) and poorly-differentiated endometrial cancer (R = 0.657, P < 0.001) (Fig. 2c). Poorly-differentiated endometrial cancer tissues consistently displayed higher levels of RAGE and microvessel density, compared with well-differentiated endometrial cancer tissues (Fig. 2d and e).Fig. 2Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control\nCorrelation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control", "To further examine the role of RAGE in the regulation of microvessel formation, the effects of RAGE knockdown were evaluated in xenografted tumour models, HEC-1A cells, or RAGE-knockdown HEC-1A cells (Fig. 3a) were subcutaneously transplanted into nude mice. After 20 days, knockdown of RAGE (Fig. 3b and c) was shown to have effectively decreased microvessel density (Fig. 3d-f) in xenografted tumours.Fig. 3Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control\nEffects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control", "Notably, we observed that the knockdown of RAGE significantly decreased xenografted tumour volume (Fig. 4a-c), diameter (Fig. 4d and e), and weight (Fig. 4f). In addition, the proliferation marker Ki-67 was also decreased after RAGE knockdown, suggesting that RAGE inhibition was an effective way to regulate endometrial cancer cell proliferation (Fig. 4g-i).Fig. 4Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control\nEffects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control", "In this study, we report for the first time an association between RAGE and microvessel formation in endometrial cancer, as (i) RAGE expression was significantly higher in poorly-differentiated endometrial cancer compared with well-differentiated endometrial cancer and normal endometrial tissues; (ii) a positive correlation was shown to exist between RAGE expression and microvessel density in human endometrial cancer samples; (iii) RAGE knockdown was effective in decreasing microvessel density in xenografted tumour models; and (iv) Kaplan-Meier analysis and log-rank tests for overall survival revealed that RAGE levels showed a trend for poor overall survival (Additional file 2), but no significant difference was observed (P = 0.167). These results suggest that RAGE may act as a potential regulatory factor of microvessel formation in endometrial cancer, although a similar phenomenon has previously been observed in renal cell carcinoma [6] and colorectal cancer [7]. Folkman (1971) first proposed the concept of angiogenesis-dependent tumour growth [17], as once the original blood supply is exhausted, the tumour cannot grow without further blood supply [18, 19]. The evidence accumulated to date indicates a direct link between microvessel status and cancer development, and a growing body of data suggests that microvessel density is potentially involved in tumour recurrence, metastasis, and survival [9, 10, 20]. Therefore, the role of RAGE-mediated microvessel formation may provide new insights into the pathophysiology of endometrial cancer, although the precise nature of the regulatory mechanisms involved in this process requires further investigation. In addition, this study showed that RAGE may function as a key factor in the proliferation of endometrial cancer cells in vivo, although the molecular mechanisms are unclear, it is possible that (i) AGE/RAGE/PI3K/Akt signalling pathway-mediated Rb phosphorylation enhances prostate cancer cell proliferation [11]; (ii) the HMGB1-RAGE/TLR4-PI3K-Akt/Erk1/2 pathway contributes to the proliferation of lung cancer cells [12]; (iii) HMGB1-RAGE stimulates the phosphorylation of the JNK signalling pathway which promotes neural stem/progenitor cell proliferation [21]; (iv) RAGE inhibits osteoblast proliferation through the suppression of Wnt, PI3K, and ERK signalling [22]; (v) RAGE is involved in the proliferation of leukaemia cells via the MAPK, PI3K and JAK/STAT pathways [14]; and (vi) metformin inhibits AGEs-RAGE-mediated growth of MCF-7 breast cancer cells by the AMP-activated protein kinase pathway [13]. Some or all of these mechanisms may also be involved in RAGE-mediated proliferation of endometrial cancer cells.", "Our results indicate that RAGE may be a potential regulator of microvessel density and cell proliferation in endometrial cancer. Based on these findings, some interesting considerations for future studies can be identified; for example, how RAGE expression affects microvessel formation and the specific mechanism of RAGE-related endometrial cancer cell proliferation. The outcomes of this future work may improve our understanding of the basic molecular mechanisms behind RAGE-related endometrial cancer progression." ]
[ "introduction", "materials|methods", null, null, null, null, null, null, "results", null, null, null, null, "discussion", "conclusion" ]
[ "RAGE", "Microvascular", "Proliferation", "Endometrial cancer" ]
Background: Endometrial cancer is the most common gynaecologic malignancy, and its incidence is increasing [1]. Accumulating evidence suggests that diabetes is a high risk factor for endometrial cancer [2], with an epidemiological study demonstrating an increased incidence of endometrial cancer in diabetic patients [3]. The receptor for advanced glycation endproducts (RAGE) was first identified as a signal receptor for advanced glycation endproducts (AGEs) [4], the products of non-enzymatic glycation/oxidation of proteins/lipids which have been linked to an increased risk of microvascular complications associated with diabetes [4, 5]. Interestingly, several studies have indicated that (i) microvessel density was significantly lower in renal cell carcinoma expressing low levels of RAGE [6]; (ii) RAGE was highly expressed in colorectal cancer tissues, and was associated with increased microvessel density [7]; (iii) blockade of ligand-RAGE interactions can prevent or delay diabetes-related structural microvessel complications in mice [8]; (iv) microvessel density may be a novel prognostic factor in various tumours [9, 10]. However, the role of RAGE and its related microvascular status in the pathogenesis of endometrial cancer remains largely unknown. In addition, although little is known to date on the direct role of RAGE in the proliferation of endometrial cancer, an emerging body of evidence suggests that RAGE plays an important role in promoting cell proliferation and survival in prostate cancer [11], lung cancer [12], breast cancer [13], and eukaemia cells [14]. Therefore, insights into the complex interrelationship among RAGE, microvascular formation and proliferation might improve current understanding of the basic molecular mechanisms of endometrial cancer. Methods: Patients and tissue collection This study was approved by the Institutional Review Board at China Medical University, and all subjects provided informed consent. Twenty cases of normal endometrial tissue (mean age, 55.6 ± 14.5), thirty-seven cases of well-differentiated endometrial cancer tissue (mean age, 58.4 ± 20.2), and thirty-five cases of poorly-differentiated endometrial cancer tissue (mean age, 60.3 ± 17.6) were collected from subjects at Shengjing Hospital of China Medical University between 2008 and 2012. Their characteristics are given in Additional file 1. All tissues were obtained during primary surgery, prior to administration of chemotherapy or radiotherapy, and were pathologically examined by haematoxylin and eosin staining. Endometrial cancer tissues were staged according to the International Federation of Gynecology and Obstetrics (FIGO 2009) by three experienced pathologists. This study was approved by the Institutional Review Board at China Medical University, and all subjects provided informed consent. Twenty cases of normal endometrial tissue (mean age, 55.6 ± 14.5), thirty-seven cases of well-differentiated endometrial cancer tissue (mean age, 58.4 ± 20.2), and thirty-five cases of poorly-differentiated endometrial cancer tissue (mean age, 60.3 ± 17.6) were collected from subjects at Shengjing Hospital of China Medical University between 2008 and 2012. Their characteristics are given in Additional file 1. All tissues were obtained during primary surgery, prior to administration of chemotherapy or radiotherapy, and were pathologically examined by haematoxylin and eosin staining. Endometrial cancer tissues were staged according to the International Federation of Gynecology and Obstetrics (FIGO 2009) by three experienced pathologists. Cell culture and transfection Well-differentiated (Ishikawa) and poorly-differentiated endometrial cancer cell lines (HEC-1A) were maintained in DMEM supplemented with 10 % foetal bovine serum (Invitrogen, CA, USA). Cholesterol-conjugated small interfering RNA (siRNA) against RAGE was obtained from Biomics Biotechnologies (Shanghai, China), and synthesized as follows: 5′-GACCAACUCUCUCCUGUAUTT-3′ and 5′-AUACAGGAGAGAGUUGGUCTT-3′. A non-targeting siRNA duplex sequence was used as a negative control. The transfection protocol was as follows: 10 μl of siRNA was added to 175 μl of Opti-MEM (Invitrogen) reduced serum medium and mixed gently. At the same time, 4 μl of oligofectamin (Invitrogen) was added to 11 μl of Opti-MEM. After 5 min, Opti-MEM containing the siRNA was mixed gently with Opti-MEM containing oligofectamin. After 20 min, the mixture was added to the culture wells, and plates were incubated at 37 °C and 5 % CO2 for 24 h. Stable cell clones were identified by western blotting. Well-differentiated (Ishikawa) and poorly-differentiated endometrial cancer cell lines (HEC-1A) were maintained in DMEM supplemented with 10 % foetal bovine serum (Invitrogen, CA, USA). Cholesterol-conjugated small interfering RNA (siRNA) against RAGE was obtained from Biomics Biotechnologies (Shanghai, China), and synthesized as follows: 5′-GACCAACUCUCUCCUGUAUTT-3′ and 5′-AUACAGGAGAGAGUUGGUCTT-3′. A non-targeting siRNA duplex sequence was used as a negative control. The transfection protocol was as follows: 10 μl of siRNA was added to 175 μl of Opti-MEM (Invitrogen) reduced serum medium and mixed gently. At the same time, 4 μl of oligofectamin (Invitrogen) was added to 11 μl of Opti-MEM. After 5 min, Opti-MEM containing the siRNA was mixed gently with Opti-MEM containing oligofectamin. After 20 min, the mixture was added to the culture wells, and plates were incubated at 37 °C and 5 % CO2 for 24 h. Stable cell clones were identified by western blotting. Xenografted tumour model All experiments were conducted according to the NIH Guide for Care and Use of Laboratory Animals, and all experimental procedures involving animals were approved by the Animal Care and Use Committee of China Medical University. Female BALB/c nude mice (5 weeks old) were purchased from the China Medical University Animal Centre. HEC-1A cells or RAGE-knockdown HEC-1A cells (1 × 107 cells mixed with Matrigel in a final volume of 200 μl) were injected subcutaneously into the right armpit of BALB/c nude mice (n = 12 for each group). The growth of xenografted tumours was observed daily and the long and short diameters of tumours were recorded every 5 days; tumour volume was subsequently calculated by V (mm3) = (π × long diameter × short diameter2)/6. At 20 days, the animals were sacrificed and tumour tissues were collected. The expression of RAGE, Ki67 and CD34 in tumour tissues was determined by immunohistochemistry. All experiments were conducted according to the NIH Guide for Care and Use of Laboratory Animals, and all experimental procedures involving animals were approved by the Animal Care and Use Committee of China Medical University. Female BALB/c nude mice (5 weeks old) were purchased from the China Medical University Animal Centre. HEC-1A cells or RAGE-knockdown HEC-1A cells (1 × 107 cells mixed with Matrigel in a final volume of 200 μl) were injected subcutaneously into the right armpit of BALB/c nude mice (n = 12 for each group). The growth of xenografted tumours was observed daily and the long and short diameters of tumours were recorded every 5 days; tumour volume was subsequently calculated by V (mm3) = (π × long diameter × short diameter2)/6. At 20 days, the animals were sacrificed and tumour tissues were collected. The expression of RAGE, Ki67 and CD34 in tumour tissues was determined by immunohistochemistry. Immunohistochemical analysis Immunohistochemistry was performed as previously described [15]. The primary antibodies used were anti-RAGE (1:200; Santa Cruz Biotechnology, CA, USA), anti-CD34 (1:100; Dako, Glostrup, Denmark), and anti-Ki67 (1:100; Dako, Glostrup, Denmark). Microvessel density was assessed in anti-CD34-(for blood vessels) immunostained specimens. Area quantification was performed by light microscopy and analysed by Image-Pro Plus 6.0 (Media 2 Cybernetics, USA). Immunostaining was evaluated by two independent pathologists, blinded to the identity of the subject groups. Immunohistochemistry was performed as previously described [15]. The primary antibodies used were anti-RAGE (1:200; Santa Cruz Biotechnology, CA, USA), anti-CD34 (1:100; Dako, Glostrup, Denmark), and anti-Ki67 (1:100; Dako, Glostrup, Denmark). Microvessel density was assessed in anti-CD34-(for blood vessels) immunostained specimens. Area quantification was performed by light microscopy and analysed by Image-Pro Plus 6.0 (Media 2 Cybernetics, USA). Immunostaining was evaluated by two independent pathologists, blinded to the identity of the subject groups. Western blotting for RAGE Western blotting was performed as previously described [16]. Briefly, 30 μg protein was separated on 10 % SDS polyacrylamide gels and transferred to polyvinyl difluoride membranes (Millipore, MA, USA). The membranes were blocked in TBS containing 0.1 % Tween-20 and 5 % non-fat dry milk for 30 min at room temperature, and incubated with antibody to RAGE (1:500; Santa Cruz Biotechnology) overnight at 4 °C. Then, membranes were washed with PBS-Tween followed by 1 h incubation at room temperature with horseradish peroxidase-conjugated secondary antibody (1:5000; Santa Cruz Biotechnology) and detected using enhanced chemiluminescence (Amersham Life Science, NJ, USA). Western blotting was performed as previously described [16]. Briefly, 30 μg protein was separated on 10 % SDS polyacrylamide gels and transferred to polyvinyl difluoride membranes (Millipore, MA, USA). The membranes were blocked in TBS containing 0.1 % Tween-20 and 5 % non-fat dry milk for 30 min at room temperature, and incubated with antibody to RAGE (1:500; Santa Cruz Biotechnology) overnight at 4 °C. Then, membranes were washed with PBS-Tween followed by 1 h incubation at room temperature with horseradish peroxidase-conjugated secondary antibody (1:5000; Santa Cruz Biotechnology) and detected using enhanced chemiluminescence (Amersham Life Science, NJ, USA). Statistical analyses Regression analysis was used to examine the relationship between RAGE and microvessel density. The data are presented as mean ± SD. Statistical differences in the data were evaluated by Student’s t test or one-way ANOVA as appropriate, and were considered significant at P < 0.05. Regression analysis was used to examine the relationship between RAGE and microvessel density. The data are presented as mean ± SD. Statistical differences in the data were evaluated by Student’s t test or one-way ANOVA as appropriate, and were considered significant at P < 0.05. Patients and tissue collection: This study was approved by the Institutional Review Board at China Medical University, and all subjects provided informed consent. Twenty cases of normal endometrial tissue (mean age, 55.6 ± 14.5), thirty-seven cases of well-differentiated endometrial cancer tissue (mean age, 58.4 ± 20.2), and thirty-five cases of poorly-differentiated endometrial cancer tissue (mean age, 60.3 ± 17.6) were collected from subjects at Shengjing Hospital of China Medical University between 2008 and 2012. Their characteristics are given in Additional file 1. All tissues were obtained during primary surgery, prior to administration of chemotherapy or radiotherapy, and were pathologically examined by haematoxylin and eosin staining. Endometrial cancer tissues were staged according to the International Federation of Gynecology and Obstetrics (FIGO 2009) by three experienced pathologists. Cell culture and transfection: Well-differentiated (Ishikawa) and poorly-differentiated endometrial cancer cell lines (HEC-1A) were maintained in DMEM supplemented with 10 % foetal bovine serum (Invitrogen, CA, USA). Cholesterol-conjugated small interfering RNA (siRNA) against RAGE was obtained from Biomics Biotechnologies (Shanghai, China), and synthesized as follows: 5′-GACCAACUCUCUCCUGUAUTT-3′ and 5′-AUACAGGAGAGAGUUGGUCTT-3′. A non-targeting siRNA duplex sequence was used as a negative control. The transfection protocol was as follows: 10 μl of siRNA was added to 175 μl of Opti-MEM (Invitrogen) reduced serum medium and mixed gently. At the same time, 4 μl of oligofectamin (Invitrogen) was added to 11 μl of Opti-MEM. After 5 min, Opti-MEM containing the siRNA was mixed gently with Opti-MEM containing oligofectamin. After 20 min, the mixture was added to the culture wells, and plates were incubated at 37 °C and 5 % CO2 for 24 h. Stable cell clones were identified by western blotting. Xenografted tumour model: All experiments were conducted according to the NIH Guide for Care and Use of Laboratory Animals, and all experimental procedures involving animals were approved by the Animal Care and Use Committee of China Medical University. Female BALB/c nude mice (5 weeks old) were purchased from the China Medical University Animal Centre. HEC-1A cells or RAGE-knockdown HEC-1A cells (1 × 107 cells mixed with Matrigel in a final volume of 200 μl) were injected subcutaneously into the right armpit of BALB/c nude mice (n = 12 for each group). The growth of xenografted tumours was observed daily and the long and short diameters of tumours were recorded every 5 days; tumour volume was subsequently calculated by V (mm3) = (π × long diameter × short diameter2)/6. At 20 days, the animals were sacrificed and tumour tissues were collected. The expression of RAGE, Ki67 and CD34 in tumour tissues was determined by immunohistochemistry. Immunohistochemical analysis: Immunohistochemistry was performed as previously described [15]. The primary antibodies used were anti-RAGE (1:200; Santa Cruz Biotechnology, CA, USA), anti-CD34 (1:100; Dako, Glostrup, Denmark), and anti-Ki67 (1:100; Dako, Glostrup, Denmark). Microvessel density was assessed in anti-CD34-(for blood vessels) immunostained specimens. Area quantification was performed by light microscopy and analysed by Image-Pro Plus 6.0 (Media 2 Cybernetics, USA). Immunostaining was evaluated by two independent pathologists, blinded to the identity of the subject groups. Western blotting for RAGE: Western blotting was performed as previously described [16]. Briefly, 30 μg protein was separated on 10 % SDS polyacrylamide gels and transferred to polyvinyl difluoride membranes (Millipore, MA, USA). The membranes were blocked in TBS containing 0.1 % Tween-20 and 5 % non-fat dry milk for 30 min at room temperature, and incubated with antibody to RAGE (1:500; Santa Cruz Biotechnology) overnight at 4 °C. Then, membranes were washed with PBS-Tween followed by 1 h incubation at room temperature with horseradish peroxidase-conjugated secondary antibody (1:5000; Santa Cruz Biotechnology) and detected using enhanced chemiluminescence (Amersham Life Science, NJ, USA). Statistical analyses: Regression analysis was used to examine the relationship between RAGE and microvessel density. The data are presented as mean ± SD. Statistical differences in the data were evaluated by Student’s t test or one-way ANOVA as appropriate, and were considered significant at P < 0.05. Results: Differences in RAGE expression patterns in endometrial cancer and endometrial cancer cell lines Immunohistochemical analysis showed that the levels of RAGE expression gradually increased in normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively (Fig. 1a-e). It is interesting to note that poorly-differentiated endometrial cancer cell (HEC-1A) showed significantly increased expression of RAGE compared with well-differentiated endometrial cancer cells (Ishikawa) (Fig. 1f).Fig. 1Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines Immunohistochemical analysis showed that the levels of RAGE expression gradually increased in normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively (Fig. 1a-e). It is interesting to note that poorly-differentiated endometrial cancer cell (HEC-1A) showed significantly increased expression of RAGE compared with well-differentiated endometrial cancer cells (Ishikawa) (Fig. 1f).Fig. 1Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines RAGE expression correlated positively with microvessel density in endometrial cancer samples Of particular interest and potential clinical relevance, the relationship between RAGE expression and microvessel density was studied in 72 human endometrial cancer specimens. Our results suggested that high levels of RAGE were associated with higher microvessel densities (Fig. 2a(i) and a(ii)), while low levels of RAGE were observed along with lower microvessel densities (Fig. 2b(i) and b(ii)) in endometrial cancer tissues. A significant positive association was shown to exist between RAGE expression and microvessel density in both well-differentiated (R = 0.812, P < 0.001) and poorly-differentiated endometrial cancer (R = 0.657, P < 0.001) (Fig. 2c). Poorly-differentiated endometrial cancer tissues consistently displayed higher levels of RAGE and microvessel density, compared with well-differentiated endometrial cancer tissues (Fig. 2d and e).Fig. 2Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control Of particular interest and potential clinical relevance, the relationship between RAGE expression and microvessel density was studied in 72 human endometrial cancer specimens. Our results suggested that high levels of RAGE were associated with higher microvessel densities (Fig. 2a(i) and a(ii)), while low levels of RAGE were observed along with lower microvessel densities (Fig. 2b(i) and b(ii)) in endometrial cancer tissues. A significant positive association was shown to exist between RAGE expression and microvessel density in both well-differentiated (R = 0.812, P < 0.001) and poorly-differentiated endometrial cancer (R = 0.657, P < 0.001) (Fig. 2c). Poorly-differentiated endometrial cancer tissues consistently displayed higher levels of RAGE and microvessel density, compared with well-differentiated endometrial cancer tissues (Fig. 2d and e).Fig. 2Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control RAGE can regulate microvessel formation in xenografted tumour models To further examine the role of RAGE in the regulation of microvessel formation, the effects of RAGE knockdown were evaluated in xenografted tumour models, HEC-1A cells, or RAGE-knockdown HEC-1A cells (Fig. 3a) were subcutaneously transplanted into nude mice. After 20 days, knockdown of RAGE (Fig. 3b and c) was shown to have effectively decreased microvessel density (Fig. 3d-f) in xenografted tumours.Fig. 3Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control To further examine the role of RAGE in the regulation of microvessel formation, the effects of RAGE knockdown were evaluated in xenografted tumour models, HEC-1A cells, or RAGE-knockdown HEC-1A cells (Fig. 3a) were subcutaneously transplanted into nude mice. After 20 days, knockdown of RAGE (Fig. 3b and c) was shown to have effectively decreased microvessel density (Fig. 3d-f) in xenografted tumours.Fig. 3Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control RAGE knockdown can significantly inhibit the proliferation of endometrial cancer cells in vivo Notably, we observed that the knockdown of RAGE significantly decreased xenografted tumour volume (Fig. 4a-c), diameter (Fig. 4d and e), and weight (Fig. 4f). In addition, the proliferation marker Ki-67 was also decreased after RAGE knockdown, suggesting that RAGE inhibition was an effective way to regulate endometrial cancer cell proliferation (Fig. 4g-i).Fig. 4Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control Notably, we observed that the knockdown of RAGE significantly decreased xenografted tumour volume (Fig. 4a-c), diameter (Fig. 4d and e), and weight (Fig. 4f). In addition, the proliferation marker Ki-67 was also decreased after RAGE knockdown, suggesting that RAGE inhibition was an effective way to regulate endometrial cancer cell proliferation (Fig. 4g-i).Fig. 4Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control Differences in RAGE expression patterns in endometrial cancer and endometrial cancer cell lines: Immunohistochemical analysis showed that the levels of RAGE expression gradually increased in normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively (Fig. 1a-e). It is interesting to note that poorly-differentiated endometrial cancer cell (HEC-1A) showed significantly increased expression of RAGE compared with well-differentiated endometrial cancer cells (Ishikawa) (Fig. 1f).Fig. 1Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines Expression patterns of RAGE in endometrial cancer and endometrial cancer cell lines. a-d, sections were subjected to immunostaining for RAGE in intestinal mucosa (positive control), normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively. Magnification is 100×. E, summary of the integrated optical densities of RAGE from the measurements taken in b-d. Bar graphs display mean ± SD. * P < 0.05 vs. normal. F, detection of RAGE protein levels in well-differentiated (Ishikawa) and poorly-differentiated (HEC-1A) endometrial cancer cell lines RAGE expression correlated positively with microvessel density in endometrial cancer samples: Of particular interest and potential clinical relevance, the relationship between RAGE expression and microvessel density was studied in 72 human endometrial cancer specimens. Our results suggested that high levels of RAGE were associated with higher microvessel densities (Fig. 2a(i) and a(ii)), while low levels of RAGE were observed along with lower microvessel densities (Fig. 2b(i) and b(ii)) in endometrial cancer tissues. A significant positive association was shown to exist between RAGE expression and microvessel density in both well-differentiated (R = 0.812, P < 0.001) and poorly-differentiated endometrial cancer (R = 0.657, P < 0.001) (Fig. 2c). Poorly-differentiated endometrial cancer tissues consistently displayed higher levels of RAGE and microvessel density, compared with well-differentiated endometrial cancer tissues (Fig. 2d and e).Fig. 2Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control Correlation between RAGE expression and microvessel density in endometrial cancer samples. a and b, examples of immunostaining showing the positive correlation between the expression levels of RAGE and microvessel density in 72 endometrial cancer tissue samples. a(i) and a(ii), high RAGE levels and high microvessel density. b(i) and b(ii), low RAGE levels and low microvessel density. Magnification is 100× for a(i) and b(i), 200× for a(ii) and b(ii). c, correlation between RAGE expression and microvessel density in well-differentiated and poorly-differentiated endometrial cancer tissues, respectively. d, summary of the results obtained from the measurements shown in a(i) and b(i). E, summary of the results obtained from the measurements shown in a(ii) and b(ii). Bar graphs display mean ± SD. * P < 0.05 vs. control RAGE can regulate microvessel formation in xenografted tumour models: To further examine the role of RAGE in the regulation of microvessel formation, the effects of RAGE knockdown were evaluated in xenografted tumour models, HEC-1A cells, or RAGE-knockdown HEC-1A cells (Fig. 3a) were subcutaneously transplanted into nude mice. After 20 days, knockdown of RAGE (Fig. 3b and c) was shown to have effectively decreased microvessel density (Fig. 3d-f) in xenografted tumours.Fig. 3Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control Effects of RAGE on microvessel density. a, western blot of RAGE expression before and after knockdown by siRNA in HEC-1A cells. b and c, sections subjected to immunostaining for RAGE in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 100×. d and e, sections subjected to immunostaining for microvessel density in xenografted tumours of transfected control or RAGE-knockdown HEC-1A cells. Magnification is 400×. f, summary of microvessel density from the measurements shown in D and E. Each group, n = 12. Bar graphs display mean ± SD. * P < 0.05 vs. control RAGE knockdown can significantly inhibit the proliferation of endometrial cancer cells in vivo: Notably, we observed that the knockdown of RAGE significantly decreased xenografted tumour volume (Fig. 4a-c), diameter (Fig. 4d and e), and weight (Fig. 4f). In addition, the proliferation marker Ki-67 was also decreased after RAGE knockdown, suggesting that RAGE inhibition was an effective way to regulate endometrial cancer cell proliferation (Fig. 4g-i).Fig. 4Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control Effects of RAGE expression on xenografted tumour growth in nude mice. The xenografted tumour volume (a and b) and diameter (d and e) of nude mice transfected with control or RAGE-knockdown HEC-1A cells was shown. Magnification is 200×. c, summary of xenografted tumour volume at 0, 5, 10, 15, 20 days after transfection with HEC-1A cells (control) or RAGE-knockdown HEC-1A cells. F, xenografted tumour weight at 20 days in transfected control or RAGE-knockdown HEC-1A cells. g and h, sections were subjected to immunostaining for Ki67 in xenografted tumour with transfected control or RAGE-knockdown HEC-1A cells. Magnification is 200×. i, summary of the Ki67 levels from the measurements shown in g and h. Each group, n = 12. Bar graphs show mean ± SD. * P < 0.05 vs. control Discussion: In this study, we report for the first time an association between RAGE and microvessel formation in endometrial cancer, as (i) RAGE expression was significantly higher in poorly-differentiated endometrial cancer compared with well-differentiated endometrial cancer and normal endometrial tissues; (ii) a positive correlation was shown to exist between RAGE expression and microvessel density in human endometrial cancer samples; (iii) RAGE knockdown was effective in decreasing microvessel density in xenografted tumour models; and (iv) Kaplan-Meier analysis and log-rank tests for overall survival revealed that RAGE levels showed a trend for poor overall survival (Additional file 2), but no significant difference was observed (P = 0.167). These results suggest that RAGE may act as a potential regulatory factor of microvessel formation in endometrial cancer, although a similar phenomenon has previously been observed in renal cell carcinoma [6] and colorectal cancer [7]. Folkman (1971) first proposed the concept of angiogenesis-dependent tumour growth [17], as once the original blood supply is exhausted, the tumour cannot grow without further blood supply [18, 19]. The evidence accumulated to date indicates a direct link between microvessel status and cancer development, and a growing body of data suggests that microvessel density is potentially involved in tumour recurrence, metastasis, and survival [9, 10, 20]. Therefore, the role of RAGE-mediated microvessel formation may provide new insights into the pathophysiology of endometrial cancer, although the precise nature of the regulatory mechanisms involved in this process requires further investigation. In addition, this study showed that RAGE may function as a key factor in the proliferation of endometrial cancer cells in vivo, although the molecular mechanisms are unclear, it is possible that (i) AGE/RAGE/PI3K/Akt signalling pathway-mediated Rb phosphorylation enhances prostate cancer cell proliferation [11]; (ii) the HMGB1-RAGE/TLR4-PI3K-Akt/Erk1/2 pathway contributes to the proliferation of lung cancer cells [12]; (iii) HMGB1-RAGE stimulates the phosphorylation of the JNK signalling pathway which promotes neural stem/progenitor cell proliferation [21]; (iv) RAGE inhibits osteoblast proliferation through the suppression of Wnt, PI3K, and ERK signalling [22]; (v) RAGE is involved in the proliferation of leukaemia cells via the MAPK, PI3K and JAK/STAT pathways [14]; and (vi) metformin inhibits AGEs-RAGE-mediated growth of MCF-7 breast cancer cells by the AMP-activated protein kinase pathway [13]. Some or all of these mechanisms may also be involved in RAGE-mediated proliferation of endometrial cancer cells. Conclusions: Our results indicate that RAGE may be a potential regulator of microvessel density and cell proliferation in endometrial cancer. Based on these findings, some interesting considerations for future studies can be identified; for example, how RAGE expression affects microvessel formation and the specific mechanism of RAGE-related endometrial cancer cell proliferation. The outcomes of this future work may improve our understanding of the basic molecular mechanisms behind RAGE-related endometrial cancer progression.
Background: The receptor for advanced glycation endproducts (RAGE) and microvascular status both play a critical role in cancer progression. However, the crosstalk between RAGE and microvascular formation in endometrial cancer remains largely unknown. Methods: RAGE expression and microvessel density were examined in 20 cases of normal endometrial tissue, 37 cases of well-differentiated endometrial cancer tissue, and 35 cases of poorly-differentiated endometrial cancer tissue. Regression analysis was used to examine the relationship between RAGE and microvessel density. The knockdown of RAGE was achieved using a small interfering RNA in HEC-1A endometrial cancer cells. A xenografted tumour model was used to evaluate RAGE-mediated microvascular formation and proliferation of endometrial cancer cells. Results: It was shown that (i) RAGE expression gradually increased in normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively; (ii) a positive correlation existed between RAGE and microvessel density in human endometrial cancer samples; (iii) RAGE knockdown was effective in decreasing microvessel formation in xenografted tumour models; and (iv) RAGE knockdown can significantly inhibit the proliferation of endometrial cancer cells in vivo. Conclusions: These results indicate that RAGE may be a potential trigger in microvascular formation and proliferation in the development of endometrial cancer.
Background: Endometrial cancer is the most common gynaecologic malignancy, and its incidence is increasing [1]. Accumulating evidence suggests that diabetes is a high risk factor for endometrial cancer [2], with an epidemiological study demonstrating an increased incidence of endometrial cancer in diabetic patients [3]. The receptor for advanced glycation endproducts (RAGE) was first identified as a signal receptor for advanced glycation endproducts (AGEs) [4], the products of non-enzymatic glycation/oxidation of proteins/lipids which have been linked to an increased risk of microvascular complications associated with diabetes [4, 5]. Interestingly, several studies have indicated that (i) microvessel density was significantly lower in renal cell carcinoma expressing low levels of RAGE [6]; (ii) RAGE was highly expressed in colorectal cancer tissues, and was associated with increased microvessel density [7]; (iii) blockade of ligand-RAGE interactions can prevent or delay diabetes-related structural microvessel complications in mice [8]; (iv) microvessel density may be a novel prognostic factor in various tumours [9, 10]. However, the role of RAGE and its related microvascular status in the pathogenesis of endometrial cancer remains largely unknown. In addition, although little is known to date on the direct role of RAGE in the proliferation of endometrial cancer, an emerging body of evidence suggests that RAGE plays an important role in promoting cell proliferation and survival in prostate cancer [11], lung cancer [12], breast cancer [13], and eukaemia cells [14]. Therefore, insights into the complex interrelationship among RAGE, microvascular formation and proliferation might improve current understanding of the basic molecular mechanisms of endometrial cancer. Conclusions: Our results indicate that RAGE may be a potential regulator of microvessel density and cell proliferation in endometrial cancer. Based on these findings, some interesting considerations for future studies can be identified; for example, how RAGE expression affects microvessel formation and the specific mechanism of RAGE-related endometrial cancer cell proliferation. The outcomes of this future work may improve our understanding of the basic molecular mechanisms behind RAGE-related endometrial cancer progression.
Background: The receptor for advanced glycation endproducts (RAGE) and microvascular status both play a critical role in cancer progression. However, the crosstalk between RAGE and microvascular formation in endometrial cancer remains largely unknown. Methods: RAGE expression and microvessel density were examined in 20 cases of normal endometrial tissue, 37 cases of well-differentiated endometrial cancer tissue, and 35 cases of poorly-differentiated endometrial cancer tissue. Regression analysis was used to examine the relationship between RAGE and microvessel density. The knockdown of RAGE was achieved using a small interfering RNA in HEC-1A endometrial cancer cells. A xenografted tumour model was used to evaluate RAGE-mediated microvascular formation and proliferation of endometrial cancer cells. Results: It was shown that (i) RAGE expression gradually increased in normal endometrium, well-differentiated endometrial cancer, and poorly-differentiated endometrial cancer, respectively; (ii) a positive correlation existed between RAGE and microvessel density in human endometrial cancer samples; (iii) RAGE knockdown was effective in decreasing microvessel formation in xenografted tumour models; and (iv) RAGE knockdown can significantly inhibit the proliferation of endometrial cancer cells in vivo. Conclusions: These results indicate that RAGE may be a potential trigger in microvascular formation and proliferation in the development of endometrial cancer.
8,250
243
[ 156, 199, 190, 111, 135, 56, 305, 490, 321, 413 ]
15
[ "rage", "cancer", "endometrial", "endometrial cancer", "microvessel", "density", "1a", "microvessel density", "cells", "differentiated" ]
[ "glycation endproducts rage", "diabetic patients receptor", "endometrial cancer cell", "regulate endometrial cancer", "receptor advanced glycation" ]
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[CONTENT] RAGE | Microvascular | Proliferation | Endometrial cancer [SUMMARY]
null
[CONTENT] RAGE | Microvascular | Proliferation | Endometrial cancer [SUMMARY]
[CONTENT] RAGE | Microvascular | Proliferation | Endometrial cancer [SUMMARY]
[CONTENT] RAGE | Microvascular | Proliferation | Endometrial cancer [SUMMARY]
[CONTENT] RAGE | Microvascular | Proliferation | Endometrial cancer [SUMMARY]
[CONTENT] Aged | Animals | Cell Line, Tumor | Cell Proliferation | Endometrial Neoplasms | Female | Gene Expression Regulation, Neoplastic | Humans | Mice | Microvessels | Middle Aged | Receptor for Advanced Glycation End Products | Transfection | Xenograft Model Antitumor Assays [SUMMARY]
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[CONTENT] Aged | Animals | Cell Line, Tumor | Cell Proliferation | Endometrial Neoplasms | Female | Gene Expression Regulation, Neoplastic | Humans | Mice | Microvessels | Middle Aged | Receptor for Advanced Glycation End Products | Transfection | Xenograft Model Antitumor Assays [SUMMARY]
[CONTENT] Aged | Animals | Cell Line, Tumor | Cell Proliferation | Endometrial Neoplasms | Female | Gene Expression Regulation, Neoplastic | Humans | Mice | Microvessels | Middle Aged | Receptor for Advanced Glycation End Products | Transfection | Xenograft Model Antitumor Assays [SUMMARY]
[CONTENT] Aged | Animals | Cell Line, Tumor | Cell Proliferation | Endometrial Neoplasms | Female | Gene Expression Regulation, Neoplastic | Humans | Mice | Microvessels | Middle Aged | Receptor for Advanced Glycation End Products | Transfection | Xenograft Model Antitumor Assays [SUMMARY]
[CONTENT] Aged | Animals | Cell Line, Tumor | Cell Proliferation | Endometrial Neoplasms | Female | Gene Expression Regulation, Neoplastic | Humans | Mice | Microvessels | Middle Aged | Receptor for Advanced Glycation End Products | Transfection | Xenograft Model Antitumor Assays [SUMMARY]
[CONTENT] glycation endproducts rage | diabetic patients receptor | endometrial cancer cell | regulate endometrial cancer | receptor advanced glycation [SUMMARY]
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[CONTENT] glycation endproducts rage | diabetic patients receptor | endometrial cancer cell | regulate endometrial cancer | receptor advanced glycation [SUMMARY]
[CONTENT] glycation endproducts rage | diabetic patients receptor | endometrial cancer cell | regulate endometrial cancer | receptor advanced glycation [SUMMARY]
[CONTENT] glycation endproducts rage | diabetic patients receptor | endometrial cancer cell | regulate endometrial cancer | receptor advanced glycation [SUMMARY]
[CONTENT] glycation endproducts rage | diabetic patients receptor | endometrial cancer cell | regulate endometrial cancer | receptor advanced glycation [SUMMARY]
[CONTENT] rage | cancer | endometrial | endometrial cancer | microvessel | density | 1a | microvessel density | cells | differentiated [SUMMARY]
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[CONTENT] rage | cancer | endometrial | endometrial cancer | microvessel | density | 1a | microvessel density | cells | differentiated [SUMMARY]
[CONTENT] rage | cancer | endometrial | endometrial cancer | microvessel | density | 1a | microvessel density | cells | differentiated [SUMMARY]
[CONTENT] rage | cancer | endometrial | endometrial cancer | microvessel | density | 1a | microvessel density | cells | differentiated [SUMMARY]
[CONTENT] rage | cancer | endometrial | endometrial cancer | microvessel | density | 1a | microvessel density | cells | differentiated [SUMMARY]
[CONTENT] cancer | microvascular | diabetes | glycation | rage | endometrial | endometrial cancer | increased | role | glycation endproducts [SUMMARY]
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[CONTENT] rage | endometrial cancer | endometrial | cancer | 1a | hec 1a cells | 1a cells | knockdown | hec 1a | hec [SUMMARY]
[CONTENT] related endometrial | future | rage related endometrial cancer | rage related endometrial | related endometrial cancer | rage related | related | rage | cancer | endometrial cancer [SUMMARY]
[CONTENT] rage | cancer | endometrial | endometrial cancer | microvessel | differentiated | density | microvessel density | 1a | cells [SUMMARY]
[CONTENT] rage | cancer | endometrial | endometrial cancer | microvessel | differentiated | density | microvessel density | 1a | cells [SUMMARY]
[CONTENT] ||| RAGE [SUMMARY]
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[CONTENT] RAGE [SUMMARY]
[CONTENT] [SUMMARY]
[CONTENT] ||| RAGE ||| 20 | 37 | 35 ||| RAGE ||| RAGE | RNA ||| ||| RAGE ||| [SUMMARY]
[CONTENT] ||| RAGE ||| 20 | 37 | 35 ||| RAGE ||| RAGE | RNA ||| ||| RAGE ||| [SUMMARY]
Laparoendoscopic single-site surgery for urachal remnant with extraperitoneal approach through a suprapubic port.
35307970
No standard procedure has been established for laparoendoscopic single-site surgery for urachal remnants (LESS-U). This study aimed to report the novel surgical techniques and initial outcomes of laparoendoscopic single-site surgery with an extraperitoneal approach through a suprapubic port for urachal remnants (spLESS).
INTRODUCTION
Fifty-five patients (median age, 27 years; range, 15-69 years) who underwent LESS-U were analyzed. To overcome the limitations inherent in the conventional procedure (LESS-U through an umbilical port: uLESS), we modified the port placement and approached via the extraperitoneal space. spLESS is a novel procedure which reduces intestinal damage caused by the extraperitoneal approach and overcomes incomplete resection of the urachal remnant, especially in the bladder dome. Three trocars are inserted into the extraperitoneal space through a suprapubic port in spLESS, and complete resection of the urachal remnant from the umbilicus to the bladder is performed with an appropriate incision line. Patient characteristics and perioperative results were retrospectively collected. Cosmetic outcomes were prospectively evaluated using self-administered questionnaires (body image and photo-series questionnaire).
METHODS
spLESS and uLESS were performed in 43 and 12 patients, respectively. No differences were observed between the perioperative results. The cosmetic outcomes were compared between the groups using body image and photo-series questionnaires. No patient developed major complications; there was no recurrence in either group.
RESULTS
spLESS is a novel procedure which can completely resect the urachal remnant and reduce the risk of intestinal damage. spLESS is a safe, effective, and feasible procedure with high postoperative cosmesis.
CONCLUSIONS
[ "Adult", "Humans", "Laparoscopy", "Retrospective Studies", "Umbilicus", "Urachus", "Urinary Bladder" ]
9313573
INTRODUCTION
A urachal remnant (UR) is a rare congenital anomaly which occurs in approximately 0.02%–0.064% of adults. 1 , 2 Previously, symptomatic UR was treated with open surgery. However, laparoscopic resection of UR (LAP‐U) has been introduced as a less invasive treatment in recent years. 3 Laparoendoscopic single‐site surgery for UR (LESS‐U) was reported as a new procedure, which provides improved cosmetic outcomes by reducing the number of ports. 4 Modified LESS‐U procedures have been reported by several institutes. 5 , 6 , 7 , 8 , 9 , 10 , 11 , 12 In these reports, LESS‐U through an umbilical port (uLESS) with an intraperitoneal approach is the standard procedure. This procedure is simple and has high perioperative cosmesis. In July 2017, we began performing uLESS. In January 2018, uLESS approach was changed to an extraperitoneal approach to preserve the peritoneum and reduce the risk of intestinal complications. uLESS with extraperitoneal approach was considered a safer procedure because it was easy to repair the peritoneum for defects due to inflammatory adhesions with UR. However, uLESS is associated with two problems, regardless of the approach selected. First, the distance of the surgical field from the umbilicus is very narrow, whether under direct vision or laparoscopy, and it is difficult to resect the inflamed UR from the surrounding normal tissue, such as the skin of the umbilicus and peritoneum. In cases where UR, peritoneum, and intestine have severe inflammatory adhesion, the risk of intestinal damage is elevated. 11 Second, there is a problem related to the resection range of UR, particularly on the bladder dome. The necessity of bladder dome cuff resection (BR) is controversial; however, we believe that BR is necessary for complete resection of UR. To overcome these problems, we improved and modified LESS‐U procedure. We started performing laparoendoscopic single‐site surgery for UR with an extraperitoneal approach through a suprapubic port (spLESS) in December 2018. Unlike uLESS, spLESS allows UR to be resected at an appropriate and safe incision line as the distance between the port and UR attached to the umbilicus is appropriate. In addition, peritoneal preservation and repair are easy, reducing the risk of intestinal complications. Furthermore, BR from the suprapubic port wound can be easily performed under direct vision. We believe that the new techniques of spLESS are ideal for overcoming the problems associated with uLESS. In this study, we report on these novel surgical techniques and the initial results of spLESS.
null
null
RESULTS
The patient characteristics and perioperative results are presented in Table 1. There were no significant differences in patient characteristics between the two procedures. Umbilical resection was performed in almost all cases in both groups. In contrast, the frequency of the extraperitoneal approach and BR was significantly higher in the spLESS group (P < .01). The median operative time and estimated blood loss in the spLESS group were 160 minutes and 5 mL, equivalent to that of the uLESS group (P = .36 and .2), despite the significantly higher rate of BR in the spLESS group. The median time for umbilicoplasty was 93 minutes (range, 39–187 minutes) in the spLESS group, including the time for port placement and wound closure. There were no instances of intraoperative complications. There were three cases of postoperative surgical site infections of the umbilicus (Clavien‐Dindo grade II), and there was no difference between the two groups (P = .53). The median follow‐up was 25.5 months (range, 1–54 months), and no patients have developed recurrences of periumbilical discharge to date. Patient characteristics, perioperative results in spLESS and uLESS Abbreviations: extra, extraperitoneal approach; intra, intraperitoneal approach; NS, not significant; spLESS, suprapubic laparoendoscopic single‐site surgery; SSI, surgical site injury; uLESS, umbilical port laparoendoscopic single‐site surgery. The cosmetic outcomes for the spLESS and uLESS groups are shown in Table 2. Thirty‐four of the 55 patients (62%) answered the QOL questionnaires: 27 out of 43 (63%) in the spLESS group and seven out of 12 (58%) in the uLESS group. The median time when answering the questionnaire was 6 months after surgery. The median BIS, CS, and PSQ scores of the spLESS group were 20, 19, and nine, respectively, and those of the uLESS group were 19, 18, and eight, respectively. There were no significant differences between the two groups (P = .15, .49 and .35). Cosmetic outcomes in spLESS and uLESS Abbreviations: BIS, body image score; CS, cosmetic scale; NS, not significant; PSQ, photo‐series questionnaire; spLESS, suprapubic laparoendoscopic single‐site surgery; uLESS, umbilical port laparoendoscopic single‐site surgery.
null
null
[ "INTRODUCTION", "Procedure of spLESS\n", "AUTHORSHIP DECLARATION" ]
[ "A urachal remnant (UR) is a rare congenital anomaly which occurs in approximately 0.02%–0.064% of adults.\n1\n, \n2\n Previously, symptomatic UR was treated with open surgery. However, laparoscopic resection of UR (LAP‐U) has been introduced as a less invasive treatment in recent years.\n3\n Laparoendoscopic single‐site surgery for UR (LESS‐U) was reported as a new procedure, which provides improved cosmetic outcomes by reducing the number of ports.\n4\n Modified LESS‐U procedures have been reported by several institutes.\n5\n, \n6\n, \n7\n, \n8\n, \n9\n, \n10\n, \n11\n, \n12\n In these reports, LESS‐U through an umbilical port (uLESS) with an intraperitoneal approach is the standard procedure. This procedure is simple and has high perioperative cosmesis. In July 2017, we began performing uLESS. In January 2018, uLESS approach was changed to an extraperitoneal approach to preserve the peritoneum and reduce the risk of intestinal complications. uLESS with extraperitoneal approach was considered a safer procedure because it was easy to repair the peritoneum for defects due to inflammatory adhesions with UR.\nHowever, uLESS is associated with two problems, regardless of the approach selected. First, the distance of the surgical field from the umbilicus is very narrow, whether under direct vision or laparoscopy, and it is difficult to resect the inflamed UR from the surrounding normal tissue, such as the skin of the umbilicus and peritoneum. In cases where UR, peritoneum, and intestine have severe inflammatory adhesion, the risk of intestinal damage is elevated.\n11\n Second, there is a problem related to the resection range of UR, particularly on the bladder dome. The necessity of bladder dome cuff resection (BR) is controversial; however, we believe that BR is necessary for complete resection of UR. To overcome these problems, we improved and modified LESS‐U procedure.\nWe started performing laparoendoscopic single‐site surgery for UR with an extraperitoneal approach through a suprapubic port (spLESS) in December 2018. Unlike uLESS, spLESS allows UR to be resected at an appropriate and safe incision line as the distance between the port and UR attached to the umbilicus is appropriate. In addition, peritoneal preservation and repair are easy, reducing the risk of intestinal complications. Furthermore, BR from the suprapubic port wound can be easily performed under direct vision. We believe that the new techniques of spLESS are ideal for overcoming the problems associated with uLESS. In this study, we report on these novel surgical techniques and the initial results of spLESS.", "The patients were placed in a lithotomy position with the surgeon standing between the legs of the patient. A transverse incision of approximately 3 cm was made 4 cm above the pubic bone (Figure 1A). From this window, the space of Retzius was bluntly dilated with the forefinger. Multi‐channel extraperitoneal port, LAP PROTECTOR and EZ Access (Hakko, Tokyo, Japan), were introduced into the space of Retzius through the incision. Three trocars were inserted through the multi‐channel port into the extraperitoneal cavity (Figure 1B). A 5‐mm flexible laparoscope (Olympus, Tokyo, Japan) was used for the laparoscopic procedure.\n(A) Incision site (white line), (B) position of instruments\nScissors were used to carefully dissect UR, covered by preperitoneal fat, from the posterior layer of the rectus abdominis sheath, while avoiding damage to the peritoneum. UR was further dissected in the cranial direction, and UR just below the umbilicus was sufficiently dissected from the rectus abdominis sheath (Figure 2A). An incision was made in the posterior layer of the rectus abdominis sheath. The umbilicus was pushed from outside the body, and the skin of the umbilicus was confirmed. UR and surrounding inflammatory tissues were excised from the umbilical skin at an appropriate resection line (Figure 2B). As the separation between UR and the umbilicus progressed, the wall of the fistula between the inflammatory tissue of UR and the dermis of the umbilicus could be confirmed (Figure 2C). The ligament (the wall of the fistula) of UR was cut at the bottom of the umbilicus. After complete separation of UR and the umbilicus, UR and surrounding inflammatory tissue were carefully dissected in the direction of the bladder while preserving the peritoneum. The umbilical arteries were transected using a vessel‐sealing device. In cases where the peritoneum was resected due to severe adhesion to UR, the peritoneum was repaired with running sutures using 3–0 V‐Loc (Medtronic, Minneapolis, MN, USA) to prevent postoperative adhesion between the bowel and the abdominal wall (Figure 2D).\nLaparoscopic technique for suprapubic laparoendoscopic single‐site surgery (spLESS). (A) Laparoscopic findings of urachal remnant. UR: urachal remnant. (B) Laparoscopic findings of dermis of umbilicus. Asterisk: dermis of umbilicus; RM: rectus abdominis muscle; arrow: resection edge of the posterior layer of rectus abdominis sheath; arrowhead: fat tissue surrounding the umbilicus. (C) Laparoscopic findings of the wall of the fistula of UR attached to the bottom of the umbilicus (arrow). Asterisk: dermis of the umbilicus; UR: urachal remnant. (D) Laparoscopic findings of suturing technique for defect of peritoneum\nAfter excision of the full length of UR, except for the bladder dome, UR was pulled out of the body through the suprapubic incision (Figure 3A). Thereby, the bladder dome could be confirmed under direct vision, and BR could be performed out of the incision. As a result, UR in the bladder dome could be completely resected, and watertight bladder repair was easily performed with double‐layer suturing (Figure 3B and C).\nTechnique for bladder dome cuff resection under direct vision. (A) Findings of resected urachal remnant. (B,C) Findings of bladder dome cuff resection. Arrow: resected mucus of bladder dome\nFollowing the resection of UR, a modified three‐flap umbilicoplasty was performed. The original method was reported by Kim et al.\n11\n The umbilicus was everted to confirm the fistula at the bottom of the umbilicus (Figure 4A). A circular incision was then created around the fistula, and an inverted Y‐shaped incision was made in the skin within the umbilical ring to produce the three skin flaps. After unfolding the three skin flaps, any inflammatory tissue remaining in the umbilical skin was excised (Figure 4B). The subumbilical defect of the rectus abdominis was sutured closed, and the three flaps were sutured to the fascia. The postoperative appearance is shown in Figure 4C.\nTechniques for umbilicoplasty. (A) Findings of skin of the umbilicus. Arrow: the fistula of urachal remnant. (B) Findings of three skin flaps. Arrow: the defect of the rectus abdominis fascia. (C) Postoperative appearance. Arrow: suprapubic wound", "Akio Hoshi designed this study. Akio Hoshi, Takashi Kawahara, Shuya Kandori, Hiromitsu Negoro, and Hiroyuki Nishiyama analyzed the patient data. Ichiro Chihara, Masanobu Shiga, Satoshi Nitta, Yoshiyuki Nagumo, Shotaro Sakka, Kosuke Kojo, Atsushi Ikeda, Takayuki Yoshino, and Tomokazu Kimura performed data collection. Akio Hoshi drafted the manuscript. All authors read and approved the final version of the manuscript." ]
[ null, null, null ]
[ "INTRODUCTION", "MATERIALS AND METHODS", "Procedure of spLESS\n", "RESULTS", "DISCUSSION", "AUTHORSHIP DECLARATION" ]
[ "A urachal remnant (UR) is a rare congenital anomaly which occurs in approximately 0.02%–0.064% of adults.\n1\n, \n2\n Previously, symptomatic UR was treated with open surgery. However, laparoscopic resection of UR (LAP‐U) has been introduced as a less invasive treatment in recent years.\n3\n Laparoendoscopic single‐site surgery for UR (LESS‐U) was reported as a new procedure, which provides improved cosmetic outcomes by reducing the number of ports.\n4\n Modified LESS‐U procedures have been reported by several institutes.\n5\n, \n6\n, \n7\n, \n8\n, \n9\n, \n10\n, \n11\n, \n12\n In these reports, LESS‐U through an umbilical port (uLESS) with an intraperitoneal approach is the standard procedure. This procedure is simple and has high perioperative cosmesis. In July 2017, we began performing uLESS. In January 2018, uLESS approach was changed to an extraperitoneal approach to preserve the peritoneum and reduce the risk of intestinal complications. uLESS with extraperitoneal approach was considered a safer procedure because it was easy to repair the peritoneum for defects due to inflammatory adhesions with UR.\nHowever, uLESS is associated with two problems, regardless of the approach selected. First, the distance of the surgical field from the umbilicus is very narrow, whether under direct vision or laparoscopy, and it is difficult to resect the inflamed UR from the surrounding normal tissue, such as the skin of the umbilicus and peritoneum. In cases where UR, peritoneum, and intestine have severe inflammatory adhesion, the risk of intestinal damage is elevated.\n11\n Second, there is a problem related to the resection range of UR, particularly on the bladder dome. The necessity of bladder dome cuff resection (BR) is controversial; however, we believe that BR is necessary for complete resection of UR. To overcome these problems, we improved and modified LESS‐U procedure.\nWe started performing laparoendoscopic single‐site surgery for UR with an extraperitoneal approach through a suprapubic port (spLESS) in December 2018. Unlike uLESS, spLESS allows UR to be resected at an appropriate and safe incision line as the distance between the port and UR attached to the umbilicus is appropriate. In addition, peritoneal preservation and repair are easy, reducing the risk of intestinal complications. Furthermore, BR from the suprapubic port wound can be easily performed under direct vision. We believe that the new techniques of spLESS are ideal for overcoming the problems associated with uLESS. In this study, we report on these novel surgical techniques and the initial results of spLESS.", "The present study included 55 patients with symptomatic UR who underwent LESS‐U at the University of Tsukuba Hospital, Ibaraki, Japan, between July 2017 and December 2021. Among these 55 patients, 43 underwent spLESS, and 12 underwent uLESS. All patients had complete control of the umbilical infection with antibiotics and/or drainage. None of the patients had an active infection at the time of surgery. The clinical and perioperative data were retrospectively analyzed to compare the safety and efficacy of this novel LESS‐U technique. Patient satisfaction with cosmesis of the operative scar after LESS‐U was evaluated using postoperative self‐administered quality‐of‐life (QOL) questionnaires: the body image questionnaire (BIQ) and photo‐series questionnaire (PSQ).\n6\n, \n13\n BIQ includes the body image score (BIS) and cosmetic scale (CS). BIS is calculated as the sum of the five questions concerning the patient's perception of and satisfaction with their body after surgery. The total BIS ranged from 5–20. CS is the sum of three questions that assess the patient's satisfaction with the surgical scar. The total CS ranged from 3–24. To assess PSQ, patients were asked to rate photographs of representative scars after spLESS and uLESS on a scale of 1–10. The patients were then asked to rate their own scars. In this study, we evaluated the patients' personal scores of their own scars. Higher BIS, CS, and PSQ scores indicated greater patient satisfaction.\n6\n, \n13\n\n\nContinuous variables were compared using the Mann–Whitney U test. Nominal data were compared using the Chi‐square test. Statistical significance was set at P < .05. Statistical analysis was performed using JMP® version 12.0.1 (SAS Institute Inc., Cary, NC, USA).\nData were collected prospectively after obtaining approval from the institutional ethics committee (IRB No. R01‐214). Informed consent was obtained from all the patients in this study.\nProcedure of spLESS\n The patients were placed in a lithotomy position with the surgeon standing between the legs of the patient. A transverse incision of approximately 3 cm was made 4 cm above the pubic bone (Figure 1A). From this window, the space of Retzius was bluntly dilated with the forefinger. Multi‐channel extraperitoneal port, LAP PROTECTOR and EZ Access (Hakko, Tokyo, Japan), were introduced into the space of Retzius through the incision. Three trocars were inserted through the multi‐channel port into the extraperitoneal cavity (Figure 1B). A 5‐mm flexible laparoscope (Olympus, Tokyo, Japan) was used for the laparoscopic procedure.\n(A) Incision site (white line), (B) position of instruments\nScissors were used to carefully dissect UR, covered by preperitoneal fat, from the posterior layer of the rectus abdominis sheath, while avoiding damage to the peritoneum. UR was further dissected in the cranial direction, and UR just below the umbilicus was sufficiently dissected from the rectus abdominis sheath (Figure 2A). An incision was made in the posterior layer of the rectus abdominis sheath. The umbilicus was pushed from outside the body, and the skin of the umbilicus was confirmed. UR and surrounding inflammatory tissues were excised from the umbilical skin at an appropriate resection line (Figure 2B). As the separation between UR and the umbilicus progressed, the wall of the fistula between the inflammatory tissue of UR and the dermis of the umbilicus could be confirmed (Figure 2C). The ligament (the wall of the fistula) of UR was cut at the bottom of the umbilicus. After complete separation of UR and the umbilicus, UR and surrounding inflammatory tissue were carefully dissected in the direction of the bladder while preserving the peritoneum. The umbilical arteries were transected using a vessel‐sealing device. In cases where the peritoneum was resected due to severe adhesion to UR, the peritoneum was repaired with running sutures using 3–0 V‐Loc (Medtronic, Minneapolis, MN, USA) to prevent postoperative adhesion between the bowel and the abdominal wall (Figure 2D).\nLaparoscopic technique for suprapubic laparoendoscopic single‐site surgery (spLESS). (A) Laparoscopic findings of urachal remnant. UR: urachal remnant. (B) Laparoscopic findings of dermis of umbilicus. Asterisk: dermis of umbilicus; RM: rectus abdominis muscle; arrow: resection edge of the posterior layer of rectus abdominis sheath; arrowhead: fat tissue surrounding the umbilicus. (C) Laparoscopic findings of the wall of the fistula of UR attached to the bottom of the umbilicus (arrow). Asterisk: dermis of the umbilicus; UR: urachal remnant. (D) Laparoscopic findings of suturing technique for defect of peritoneum\nAfter excision of the full length of UR, except for the bladder dome, UR was pulled out of the body through the suprapubic incision (Figure 3A). Thereby, the bladder dome could be confirmed under direct vision, and BR could be performed out of the incision. As a result, UR in the bladder dome could be completely resected, and watertight bladder repair was easily performed with double‐layer suturing (Figure 3B and C).\nTechnique for bladder dome cuff resection under direct vision. (A) Findings of resected urachal remnant. (B,C) Findings of bladder dome cuff resection. Arrow: resected mucus of bladder dome\nFollowing the resection of UR, a modified three‐flap umbilicoplasty was performed. The original method was reported by Kim et al.\n11\n The umbilicus was everted to confirm the fistula at the bottom of the umbilicus (Figure 4A). A circular incision was then created around the fistula, and an inverted Y‐shaped incision was made in the skin within the umbilical ring to produce the three skin flaps. After unfolding the three skin flaps, any inflammatory tissue remaining in the umbilical skin was excised (Figure 4B). The subumbilical defect of the rectus abdominis was sutured closed, and the three flaps were sutured to the fascia. The postoperative appearance is shown in Figure 4C.\nTechniques for umbilicoplasty. (A) Findings of skin of the umbilicus. Arrow: the fistula of urachal remnant. (B) Findings of three skin flaps. Arrow: the defect of the rectus abdominis fascia. (C) Postoperative appearance. Arrow: suprapubic wound\nThe patients were placed in a lithotomy position with the surgeon standing between the legs of the patient. A transverse incision of approximately 3 cm was made 4 cm above the pubic bone (Figure 1A). From this window, the space of Retzius was bluntly dilated with the forefinger. Multi‐channel extraperitoneal port, LAP PROTECTOR and EZ Access (Hakko, Tokyo, Japan), were introduced into the space of Retzius through the incision. Three trocars were inserted through the multi‐channel port into the extraperitoneal cavity (Figure 1B). A 5‐mm flexible laparoscope (Olympus, Tokyo, Japan) was used for the laparoscopic procedure.\n(A) Incision site (white line), (B) position of instruments\nScissors were used to carefully dissect UR, covered by preperitoneal fat, from the posterior layer of the rectus abdominis sheath, while avoiding damage to the peritoneum. UR was further dissected in the cranial direction, and UR just below the umbilicus was sufficiently dissected from the rectus abdominis sheath (Figure 2A). An incision was made in the posterior layer of the rectus abdominis sheath. The umbilicus was pushed from outside the body, and the skin of the umbilicus was confirmed. UR and surrounding inflammatory tissues were excised from the umbilical skin at an appropriate resection line (Figure 2B). As the separation between UR and the umbilicus progressed, the wall of the fistula between the inflammatory tissue of UR and the dermis of the umbilicus could be confirmed (Figure 2C). The ligament (the wall of the fistula) of UR was cut at the bottom of the umbilicus. After complete separation of UR and the umbilicus, UR and surrounding inflammatory tissue were carefully dissected in the direction of the bladder while preserving the peritoneum. The umbilical arteries were transected using a vessel‐sealing device. In cases where the peritoneum was resected due to severe adhesion to UR, the peritoneum was repaired with running sutures using 3–0 V‐Loc (Medtronic, Minneapolis, MN, USA) to prevent postoperative adhesion between the bowel and the abdominal wall (Figure 2D).\nLaparoscopic technique for suprapubic laparoendoscopic single‐site surgery (spLESS). (A) Laparoscopic findings of urachal remnant. UR: urachal remnant. (B) Laparoscopic findings of dermis of umbilicus. Asterisk: dermis of umbilicus; RM: rectus abdominis muscle; arrow: resection edge of the posterior layer of rectus abdominis sheath; arrowhead: fat tissue surrounding the umbilicus. (C) Laparoscopic findings of the wall of the fistula of UR attached to the bottom of the umbilicus (arrow). Asterisk: dermis of the umbilicus; UR: urachal remnant. (D) Laparoscopic findings of suturing technique for defect of peritoneum\nAfter excision of the full length of UR, except for the bladder dome, UR was pulled out of the body through the suprapubic incision (Figure 3A). Thereby, the bladder dome could be confirmed under direct vision, and BR could be performed out of the incision. As a result, UR in the bladder dome could be completely resected, and watertight bladder repair was easily performed with double‐layer suturing (Figure 3B and C).\nTechnique for bladder dome cuff resection under direct vision. (A) Findings of resected urachal remnant. (B,C) Findings of bladder dome cuff resection. Arrow: resected mucus of bladder dome\nFollowing the resection of UR, a modified three‐flap umbilicoplasty was performed. The original method was reported by Kim et al.\n11\n The umbilicus was everted to confirm the fistula at the bottom of the umbilicus (Figure 4A). A circular incision was then created around the fistula, and an inverted Y‐shaped incision was made in the skin within the umbilical ring to produce the three skin flaps. After unfolding the three skin flaps, any inflammatory tissue remaining in the umbilical skin was excised (Figure 4B). The subumbilical defect of the rectus abdominis was sutured closed, and the three flaps were sutured to the fascia. The postoperative appearance is shown in Figure 4C.\nTechniques for umbilicoplasty. (A) Findings of skin of the umbilicus. Arrow: the fistula of urachal remnant. (B) Findings of three skin flaps. Arrow: the defect of the rectus abdominis fascia. (C) Postoperative appearance. Arrow: suprapubic wound", "The patients were placed in a lithotomy position with the surgeon standing between the legs of the patient. A transverse incision of approximately 3 cm was made 4 cm above the pubic bone (Figure 1A). From this window, the space of Retzius was bluntly dilated with the forefinger. Multi‐channel extraperitoneal port, LAP PROTECTOR and EZ Access (Hakko, Tokyo, Japan), were introduced into the space of Retzius through the incision. Three trocars were inserted through the multi‐channel port into the extraperitoneal cavity (Figure 1B). A 5‐mm flexible laparoscope (Olympus, Tokyo, Japan) was used for the laparoscopic procedure.\n(A) Incision site (white line), (B) position of instruments\nScissors were used to carefully dissect UR, covered by preperitoneal fat, from the posterior layer of the rectus abdominis sheath, while avoiding damage to the peritoneum. UR was further dissected in the cranial direction, and UR just below the umbilicus was sufficiently dissected from the rectus abdominis sheath (Figure 2A). An incision was made in the posterior layer of the rectus abdominis sheath. The umbilicus was pushed from outside the body, and the skin of the umbilicus was confirmed. UR and surrounding inflammatory tissues were excised from the umbilical skin at an appropriate resection line (Figure 2B). As the separation between UR and the umbilicus progressed, the wall of the fistula between the inflammatory tissue of UR and the dermis of the umbilicus could be confirmed (Figure 2C). The ligament (the wall of the fistula) of UR was cut at the bottom of the umbilicus. After complete separation of UR and the umbilicus, UR and surrounding inflammatory tissue were carefully dissected in the direction of the bladder while preserving the peritoneum. The umbilical arteries were transected using a vessel‐sealing device. In cases where the peritoneum was resected due to severe adhesion to UR, the peritoneum was repaired with running sutures using 3–0 V‐Loc (Medtronic, Minneapolis, MN, USA) to prevent postoperative adhesion between the bowel and the abdominal wall (Figure 2D).\nLaparoscopic technique for suprapubic laparoendoscopic single‐site surgery (spLESS). (A) Laparoscopic findings of urachal remnant. UR: urachal remnant. (B) Laparoscopic findings of dermis of umbilicus. Asterisk: dermis of umbilicus; RM: rectus abdominis muscle; arrow: resection edge of the posterior layer of rectus abdominis sheath; arrowhead: fat tissue surrounding the umbilicus. (C) Laparoscopic findings of the wall of the fistula of UR attached to the bottom of the umbilicus (arrow). Asterisk: dermis of the umbilicus; UR: urachal remnant. (D) Laparoscopic findings of suturing technique for defect of peritoneum\nAfter excision of the full length of UR, except for the bladder dome, UR was pulled out of the body through the suprapubic incision (Figure 3A). Thereby, the bladder dome could be confirmed under direct vision, and BR could be performed out of the incision. As a result, UR in the bladder dome could be completely resected, and watertight bladder repair was easily performed with double‐layer suturing (Figure 3B and C).\nTechnique for bladder dome cuff resection under direct vision. (A) Findings of resected urachal remnant. (B,C) Findings of bladder dome cuff resection. Arrow: resected mucus of bladder dome\nFollowing the resection of UR, a modified three‐flap umbilicoplasty was performed. The original method was reported by Kim et al.\n11\n The umbilicus was everted to confirm the fistula at the bottom of the umbilicus (Figure 4A). A circular incision was then created around the fistula, and an inverted Y‐shaped incision was made in the skin within the umbilical ring to produce the three skin flaps. After unfolding the three skin flaps, any inflammatory tissue remaining in the umbilical skin was excised (Figure 4B). The subumbilical defect of the rectus abdominis was sutured closed, and the three flaps were sutured to the fascia. The postoperative appearance is shown in Figure 4C.\nTechniques for umbilicoplasty. (A) Findings of skin of the umbilicus. Arrow: the fistula of urachal remnant. (B) Findings of three skin flaps. Arrow: the defect of the rectus abdominis fascia. (C) Postoperative appearance. Arrow: suprapubic wound", "The patient characteristics and perioperative results are presented in Table 1. There were no significant differences in patient characteristics between the two procedures. Umbilical resection was performed in almost all cases in both groups. In contrast, the frequency of the extraperitoneal approach and BR was significantly higher in the spLESS group (P < .01). The median operative time and estimated blood loss in the spLESS group were 160 minutes and 5 mL, equivalent to that of the uLESS group (P = .36 and .2), despite the significantly higher rate of BR in the spLESS group. The median time for umbilicoplasty was 93 minutes (range, 39–187 minutes) in the spLESS group, including the time for port placement and wound closure. There were no instances of intraoperative complications. There were three cases of postoperative surgical site infections of the umbilicus (Clavien‐Dindo grade II), and there was no difference between the two groups (P = .53). The median follow‐up was 25.5 months (range, 1–54 months), and no patients have developed recurrences of periumbilical discharge to date.\nPatient characteristics, perioperative results in spLESS and uLESS\nAbbreviations: extra, extraperitoneal approach; intra, intraperitoneal approach; NS, not significant; spLESS, suprapubic laparoendoscopic single‐site surgery; SSI, surgical site injury; uLESS, umbilical port laparoendoscopic single‐site surgery.\nThe cosmetic outcomes for the spLESS and uLESS groups are shown in Table 2. Thirty‐four of the 55 patients (62%) answered the QOL questionnaires: 27 out of 43 (63%) in the spLESS group and seven out of 12 (58%) in the uLESS group. The median time when answering the questionnaire was 6 months after surgery. The median BIS, CS, and PSQ scores of the spLESS group were 20, 19, and nine, respectively, and those of the uLESS group were 19, 18, and eight, respectively. There were no significant differences between the two groups (P = .15, .49 and .35).\nCosmetic outcomes in spLESS and uLESS\nAbbreviations: BIS, body image score; CS, cosmetic scale; NS, not significant; PSQ, photo‐series questionnaire; spLESS, suprapubic laparoendoscopic single‐site surgery; uLESS, umbilical port laparoendoscopic single‐site surgery.", "To overcome limitations inherent in uLESS procedure, we modified the port placement and changed to approach via the extraperitoneal space. In this study, we evaluated the safety and feasibility of this novel procedure as an alternative to uLESS.\nLAP‐U was first reported in 1993,\n3\n and various LAP‐U port placement techniques have since been reported.\n14\n, \n15\n, \n16\n, \n17\n, \n18\n, \n19\n, \n20\n, \n21\n, \n22\n In 2010, Patrzyk et al. first reported LESS‐U as a highly cosmetic and useful procedure.\n4\n Since then, LESS‐U has been used in several institutes, and its usefulness and safety have been reported.\n5\n, \n6\n, \n7\n, \n8\n, \n9\n, \n10\n, \n11\n, \n12\n In addition, it has been reported that reduced port surgeries, such as LESS‐U, are highly satisfactory for postoperative patients in cosmesis, especially in young patients.\n5\n, \n6\n, \n23\n URs are more common in young patients who are interested in wound cosmesis. For this reason, we believe that postoperative cosmetics are more important in LESS‐U than in other surgeries. In this respect, LESS‐U could be considered the most suitable surgery for symptomatic UR.\nFor LAP‐U, including LESS‐U, the transperitoneal approach was selected in all cases that have been reported,\n3\n, \n4\n, \n5\n, \n6\n, \n7\n, \n8\n, \n9\n, \n10\n, \n11\n, \n12\n, \n14\n, \n15\n, \n16\n, \n17\n, \n18\n, \n19\n, \n20\n, \n21\n, \n22\n and there are no reports on the extraperitoneal approach. In the transperitoneal approach, a peritoneal defect during ureteral resection is inevitable, and complete closure by suturing the peritoneum is technically difficult. There is no consensus concerning peritoneal suture repair; however, we believe that it is ideal to preserve the peritoneum as much as possible and repair it, as this may reduce the risk of intestinal complications. There was a report of serosal injury of the colon during LESS‐U with the transperitoneal approach,\n11\n which may have been avoided by the retroperitoneal approach. We selected the extraperitoneal approach from the fifth case of LESS‐U, and the patients did not develop any intestinal complications, such as intestinal injury or ileus.\nLESS‐U is commonly performed through the umbilical wound.\n5\n, \n6\n, \n7\n, \n8\n, \n9\n, \n10\n, \n11\n, \n12\n The uLESS technique is probably the best technique in terms of cosmesis. However, a major problem with uLESS is the difficulty in resecting UR around the umbilicus. Under direct vision, it is difficult to resect UR from the surrounding tissue as the umbilical wound used for the multi‐channel port is small in diameter. In laparoscopy, UR (especially in case of urachal sinus) is very close to the multi‐channel port, making it difficult to resect UR at a safe distance. Therefore, we repositioned the multi‐channel port from the umbilicus to the suprapubis. In this technique (spLESS), the distance between the umbilicus and the suprapubic port is appropriate, and it is easy to perform laparoscopic dissection around the umbilicus at an appropriate incision line. In addition, this procedure minimized the defect of the rectus abdominis fascia (Figure 4B, arrow). Extensive resection of the rectus abdominis fascia has been reported to cause periumbilical hemorrhage.\n21\n Furthermore, to prevent postoperative umbilical hernia, it is desirable that the defect be as small as possible. In this regard, we considered spLESS as the most appropriate technique.\nThe suprapubic port provided a good view of the full length of UR and allowed adequate access to the umbilicus and bladder dome. This technique is feasible for excising URs, whether the inflammatory lesion is at the umbilicus or at the bladder, and it may reduce the risk of incomplete excision of UR. Regarding the extent of resection, Maemoto et al. reviewed 210 cases of LAP‐U22 and reported that 102 patients (48.6%) underwent umbilical resection (the wall of the fistula resection at the bottom of the umbilicus). The recurrence of periumbilical discharge has been reported to develop in cases without umbilical resection.\n15\n, \n19\n, \n22\n To prevent recurrence, we believe that umbilical resection and complete resection of inflammatory tissue are necessary.\nIn addition, spLESS has another advantage in that the bladder can be more easily and reliably resected under direct view by pulling the bladder dome out of the suprapubic incision. In contrast to open surgery, there are no general criteria for the indication of BR in LAP‐U. The main reason for this may be that BR is difficult in laparoscopy, especially in uLESS. There are various discussions on the necessity of BR. Some report that BR was not required if there were no findings on the image,\n16\n, \n18\n, \n19\n while others affirm that BR is necessary considering future malignant transformation.\n6\n, \n9\n, \n15\n, \n24\n However, it is difficult to find a minute lesion at the bladder dome, even if various imaging studies (cystoscopy, ultrasound, computed tomography and magnetic resonance imaging) are performed. In addition, Maemoto et al. reported that epithelium was present in the resected UR tissue in four out of 14 and 44 out of 210 cases reviewed.\n22\n Therefore, we investigated the presence of epithelium in the muscle of the bladder dome. We performed a pathological investigation of the muscle at the bladder dome in patients with no evidence of epithelium in the preoperative images. As a result, epithelium was found within the muscle layer of the bladder in 16 out of 22 cases (73%) (Figure 5A). Among them, urothelial cells were found in 11 cases, while columnar epithelium or stratified squamous epithelium was found in five cases. One case showed mucus‐producing columnar epithelium (Figure 5B). We presume that such epithelia have malignant potential. For this reason, unless the entire length of UR, including the bladder dome, is resected, epithelial components with malignant potential may remain in the body. To prevent malignant transformation in the future, we suggest BR as a standard procedure, even in cases where there are no findings in the bladder dome in preoperative images. As BR can be performed easily and reliably under direct vision, spLESS is a highly curative surgery.\nMicroscopic findings of the urachal remnant in the muscle of the bladder dome with hematoxylin and eosin stain. (A) Finding of a typical epithelium. (B) Finding of the mucus‐production columnar epithelium\nA significant problem with umbilical resection is the postoperative deformation of the umbilicus. There are several reports of umbilicoplasty to minimize deformation.\n9\n, \n11\n, \n16\n, \n21\n We improved the method by Kim et al.\n11\n to perform umbilicoplasty. Our modified method differs from the original method in that the skin of the umbilicus is everted before incision (Figure 4A). Therefore, the wall of the fistula at the bottom of the umbilicus can be confirmed and completely resected without any problem even in patients with severe preoperative inflammation and deformity of the umbilics. This method minimized incision of the skin in the umbilical ring ensuring that the umbilical skin can be preserved as much as possible. Thus, the postoperative deformation of the umbilicus is minimized (Figure 4C). Regarding the postoperative appearance, the difference between uLESS and spLESS is the presence of a suprapubic wound. The suprapubic wound was hidden by underwear and/or pubic hair; however, we expected a reduction in postoperative patient satisfaction with cosmesis. However, there were no differences between the two procedures in the self‐completed questionnaires. This led to the conclusion that the suprapubic wound had minimal effect on patient satisfaction with regard to cosmesis.\nTable 1 shows the perioperative results of LESS‐U performed at our institute. There was no difference in the results between the spLESS and uLESS groups, including the complication and recurrence rates. Perioperative results of LESS‐U from other institutions reported that the mean operative time was 80–150 minutes and the mean estimated blood loss was 5–50 mL,\n4\n, \n5\n, \n6\n, \n7\n, \n8\n, \n9\n, \n10\n, \n11\n, \n12\n which was not different from the present study. Based on these results, we concluded that spLESS is a safe and feasible procedure.\nThis study had several limitations. This study is relatively large for LAP‐U in a single institute; however, the small number of patients and retrospective analysis of perioperative results are limited. Although a larger, prospective randomized study is required, it would be difficult because UR is a rare congenital anomaly. In terms of cosmetic outcomes, there are some limitations. The low response rate for BIQ and the cross‐sectional research, which was the time spent answering the questionnaire in each group, was imbalanced. Longitudinal research with a larger number of patients is required to better understand the cosmetic outcomes of spLESS.\nIn conclusion, the perioperative results and cosmetic outcomes for spLESS were not significantly different from those of uLESS. Thus, we consider spLESS as an effective and feasible procedure to overcome the problems associated with uLESS.\nAUTHORSHIP DECLARATION Akio Hoshi designed this study. Akio Hoshi, Takashi Kawahara, Shuya Kandori, Hiromitsu Negoro, and Hiroyuki Nishiyama analyzed the patient data. Ichiro Chihara, Masanobu Shiga, Satoshi Nitta, Yoshiyuki Nagumo, Shotaro Sakka, Kosuke Kojo, Atsushi Ikeda, Takayuki Yoshino, and Tomokazu Kimura performed data collection. Akio Hoshi drafted the manuscript. All authors read and approved the final version of the manuscript.\nAkio Hoshi designed this study. Akio Hoshi, Takashi Kawahara, Shuya Kandori, Hiromitsu Negoro, and Hiroyuki Nishiyama analyzed the patient data. Ichiro Chihara, Masanobu Shiga, Satoshi Nitta, Yoshiyuki Nagumo, Shotaro Sakka, Kosuke Kojo, Atsushi Ikeda, Takayuki Yoshino, and Tomokazu Kimura performed data collection. Akio Hoshi drafted the manuscript. All authors read and approved the final version of the manuscript.", "Akio Hoshi designed this study. Akio Hoshi, Takashi Kawahara, Shuya Kandori, Hiromitsu Negoro, and Hiroyuki Nishiyama analyzed the patient data. Ichiro Chihara, Masanobu Shiga, Satoshi Nitta, Yoshiyuki Nagumo, Shotaro Sakka, Kosuke Kojo, Atsushi Ikeda, Takayuki Yoshino, and Tomokazu Kimura performed data collection. Akio Hoshi drafted the manuscript. All authors read and approved the final version of the manuscript." ]
[ null, "materials-and-methods", null, "results", "discussion", null ]
[ "extraperitoneal approach", "laparoendoscopic single‐site surgery (LESS)", "urachal remnant" ]
INTRODUCTION: A urachal remnant (UR) is a rare congenital anomaly which occurs in approximately 0.02%–0.064% of adults. 1 , 2 Previously, symptomatic UR was treated with open surgery. However, laparoscopic resection of UR (LAP‐U) has been introduced as a less invasive treatment in recent years. 3 Laparoendoscopic single‐site surgery for UR (LESS‐U) was reported as a new procedure, which provides improved cosmetic outcomes by reducing the number of ports. 4 Modified LESS‐U procedures have been reported by several institutes. 5 , 6 , 7 , 8 , 9 , 10 , 11 , 12 In these reports, LESS‐U through an umbilical port (uLESS) with an intraperitoneal approach is the standard procedure. This procedure is simple and has high perioperative cosmesis. In July 2017, we began performing uLESS. In January 2018, uLESS approach was changed to an extraperitoneal approach to preserve the peritoneum and reduce the risk of intestinal complications. uLESS with extraperitoneal approach was considered a safer procedure because it was easy to repair the peritoneum for defects due to inflammatory adhesions with UR. However, uLESS is associated with two problems, regardless of the approach selected. First, the distance of the surgical field from the umbilicus is very narrow, whether under direct vision or laparoscopy, and it is difficult to resect the inflamed UR from the surrounding normal tissue, such as the skin of the umbilicus and peritoneum. In cases where UR, peritoneum, and intestine have severe inflammatory adhesion, the risk of intestinal damage is elevated. 11 Second, there is a problem related to the resection range of UR, particularly on the bladder dome. The necessity of bladder dome cuff resection (BR) is controversial; however, we believe that BR is necessary for complete resection of UR. To overcome these problems, we improved and modified LESS‐U procedure. We started performing laparoendoscopic single‐site surgery for UR with an extraperitoneal approach through a suprapubic port (spLESS) in December 2018. Unlike uLESS, spLESS allows UR to be resected at an appropriate and safe incision line as the distance between the port and UR attached to the umbilicus is appropriate. In addition, peritoneal preservation and repair are easy, reducing the risk of intestinal complications. Furthermore, BR from the suprapubic port wound can be easily performed under direct vision. We believe that the new techniques of spLESS are ideal for overcoming the problems associated with uLESS. In this study, we report on these novel surgical techniques and the initial results of spLESS. MATERIALS AND METHODS: The present study included 55 patients with symptomatic UR who underwent LESS‐U at the University of Tsukuba Hospital, Ibaraki, Japan, between July 2017 and December 2021. Among these 55 patients, 43 underwent spLESS, and 12 underwent uLESS. All patients had complete control of the umbilical infection with antibiotics and/or drainage. None of the patients had an active infection at the time of surgery. The clinical and perioperative data were retrospectively analyzed to compare the safety and efficacy of this novel LESS‐U technique. Patient satisfaction with cosmesis of the operative scar after LESS‐U was evaluated using postoperative self‐administered quality‐of‐life (QOL) questionnaires: the body image questionnaire (BIQ) and photo‐series questionnaire (PSQ). 6 , 13 BIQ includes the body image score (BIS) and cosmetic scale (CS). BIS is calculated as the sum of the five questions concerning the patient's perception of and satisfaction with their body after surgery. The total BIS ranged from 5–20. CS is the sum of three questions that assess the patient's satisfaction with the surgical scar. The total CS ranged from 3–24. To assess PSQ, patients were asked to rate photographs of representative scars after spLESS and uLESS on a scale of 1–10. The patients were then asked to rate their own scars. In this study, we evaluated the patients' personal scores of their own scars. Higher BIS, CS, and PSQ scores indicated greater patient satisfaction. 6 , 13 Continuous variables were compared using the Mann–Whitney U test. Nominal data were compared using the Chi‐square test. Statistical significance was set at P < .05. Statistical analysis was performed using JMP® version 12.0.1 (SAS Institute Inc., Cary, NC, USA). Data were collected prospectively after obtaining approval from the institutional ethics committee (IRB No. R01‐214). Informed consent was obtained from all the patients in this study. Procedure of spLESS The patients were placed in a lithotomy position with the surgeon standing between the legs of the patient. A transverse incision of approximately 3 cm was made 4 cm above the pubic bone (Figure 1A). From this window, the space of Retzius was bluntly dilated with the forefinger. Multi‐channel extraperitoneal port, LAP PROTECTOR and EZ Access (Hakko, Tokyo, Japan), were introduced into the space of Retzius through the incision. Three trocars were inserted through the multi‐channel port into the extraperitoneal cavity (Figure 1B). A 5‐mm flexible laparoscope (Olympus, Tokyo, Japan) was used for the laparoscopic procedure. (A) Incision site (white line), (B) position of instruments Scissors were used to carefully dissect UR, covered by preperitoneal fat, from the posterior layer of the rectus abdominis sheath, while avoiding damage to the peritoneum. UR was further dissected in the cranial direction, and UR just below the umbilicus was sufficiently dissected from the rectus abdominis sheath (Figure 2A). An incision was made in the posterior layer of the rectus abdominis sheath. The umbilicus was pushed from outside the body, and the skin of the umbilicus was confirmed. UR and surrounding inflammatory tissues were excised from the umbilical skin at an appropriate resection line (Figure 2B). As the separation between UR and the umbilicus progressed, the wall of the fistula between the inflammatory tissue of UR and the dermis of the umbilicus could be confirmed (Figure 2C). The ligament (the wall of the fistula) of UR was cut at the bottom of the umbilicus. After complete separation of UR and the umbilicus, UR and surrounding inflammatory tissue were carefully dissected in the direction of the bladder while preserving the peritoneum. The umbilical arteries were transected using a vessel‐sealing device. In cases where the peritoneum was resected due to severe adhesion to UR, the peritoneum was repaired with running sutures using 3–0 V‐Loc (Medtronic, Minneapolis, MN, USA) to prevent postoperative adhesion between the bowel and the abdominal wall (Figure 2D). Laparoscopic technique for suprapubic laparoendoscopic single‐site surgery (spLESS). (A) Laparoscopic findings of urachal remnant. UR: urachal remnant. (B) Laparoscopic findings of dermis of umbilicus. Asterisk: dermis of umbilicus; RM: rectus abdominis muscle; arrow: resection edge of the posterior layer of rectus abdominis sheath; arrowhead: fat tissue surrounding the umbilicus. (C) Laparoscopic findings of the wall of the fistula of UR attached to the bottom of the umbilicus (arrow). Asterisk: dermis of the umbilicus; UR: urachal remnant. (D) Laparoscopic findings of suturing technique for defect of peritoneum After excision of the full length of UR, except for the bladder dome, UR was pulled out of the body through the suprapubic incision (Figure 3A). Thereby, the bladder dome could be confirmed under direct vision, and BR could be performed out of the incision. As a result, UR in the bladder dome could be completely resected, and watertight bladder repair was easily performed with double‐layer suturing (Figure 3B and C). Technique for bladder dome cuff resection under direct vision. (A) Findings of resected urachal remnant. (B,C) Findings of bladder dome cuff resection. Arrow: resected mucus of bladder dome Following the resection of UR, a modified three‐flap umbilicoplasty was performed. The original method was reported by Kim et al. 11 The umbilicus was everted to confirm the fistula at the bottom of the umbilicus (Figure 4A). A circular incision was then created around the fistula, and an inverted Y‐shaped incision was made in the skin within the umbilical ring to produce the three skin flaps. After unfolding the three skin flaps, any inflammatory tissue remaining in the umbilical skin was excised (Figure 4B). The subumbilical defect of the rectus abdominis was sutured closed, and the three flaps were sutured to the fascia. The postoperative appearance is shown in Figure 4C. Techniques for umbilicoplasty. (A) Findings of skin of the umbilicus. Arrow: the fistula of urachal remnant. (B) Findings of three skin flaps. Arrow: the defect of the rectus abdominis fascia. (C) Postoperative appearance. Arrow: suprapubic wound The patients were placed in a lithotomy position with the surgeon standing between the legs of the patient. A transverse incision of approximately 3 cm was made 4 cm above the pubic bone (Figure 1A). From this window, the space of Retzius was bluntly dilated with the forefinger. Multi‐channel extraperitoneal port, LAP PROTECTOR and EZ Access (Hakko, Tokyo, Japan), were introduced into the space of Retzius through the incision. Three trocars were inserted through the multi‐channel port into the extraperitoneal cavity (Figure 1B). A 5‐mm flexible laparoscope (Olympus, Tokyo, Japan) was used for the laparoscopic procedure. (A) Incision site (white line), (B) position of instruments Scissors were used to carefully dissect UR, covered by preperitoneal fat, from the posterior layer of the rectus abdominis sheath, while avoiding damage to the peritoneum. UR was further dissected in the cranial direction, and UR just below the umbilicus was sufficiently dissected from the rectus abdominis sheath (Figure 2A). An incision was made in the posterior layer of the rectus abdominis sheath. The umbilicus was pushed from outside the body, and the skin of the umbilicus was confirmed. UR and surrounding inflammatory tissues were excised from the umbilical skin at an appropriate resection line (Figure 2B). As the separation between UR and the umbilicus progressed, the wall of the fistula between the inflammatory tissue of UR and the dermis of the umbilicus could be confirmed (Figure 2C). The ligament (the wall of the fistula) of UR was cut at the bottom of the umbilicus. After complete separation of UR and the umbilicus, UR and surrounding inflammatory tissue were carefully dissected in the direction of the bladder while preserving the peritoneum. The umbilical arteries were transected using a vessel‐sealing device. In cases where the peritoneum was resected due to severe adhesion to UR, the peritoneum was repaired with running sutures using 3–0 V‐Loc (Medtronic, Minneapolis, MN, USA) to prevent postoperative adhesion between the bowel and the abdominal wall (Figure 2D). Laparoscopic technique for suprapubic laparoendoscopic single‐site surgery (spLESS). (A) Laparoscopic findings of urachal remnant. UR: urachal remnant. (B) Laparoscopic findings of dermis of umbilicus. Asterisk: dermis of umbilicus; RM: rectus abdominis muscle; arrow: resection edge of the posterior layer of rectus abdominis sheath; arrowhead: fat tissue surrounding the umbilicus. (C) Laparoscopic findings of the wall of the fistula of UR attached to the bottom of the umbilicus (arrow). Asterisk: dermis of the umbilicus; UR: urachal remnant. (D) Laparoscopic findings of suturing technique for defect of peritoneum After excision of the full length of UR, except for the bladder dome, UR was pulled out of the body through the suprapubic incision (Figure 3A). Thereby, the bladder dome could be confirmed under direct vision, and BR could be performed out of the incision. As a result, UR in the bladder dome could be completely resected, and watertight bladder repair was easily performed with double‐layer suturing (Figure 3B and C). Technique for bladder dome cuff resection under direct vision. (A) Findings of resected urachal remnant. (B,C) Findings of bladder dome cuff resection. Arrow: resected mucus of bladder dome Following the resection of UR, a modified three‐flap umbilicoplasty was performed. The original method was reported by Kim et al. 11 The umbilicus was everted to confirm the fistula at the bottom of the umbilicus (Figure 4A). A circular incision was then created around the fistula, and an inverted Y‐shaped incision was made in the skin within the umbilical ring to produce the three skin flaps. After unfolding the three skin flaps, any inflammatory tissue remaining in the umbilical skin was excised (Figure 4B). The subumbilical defect of the rectus abdominis was sutured closed, and the three flaps were sutured to the fascia. The postoperative appearance is shown in Figure 4C. Techniques for umbilicoplasty. (A) Findings of skin of the umbilicus. Arrow: the fistula of urachal remnant. (B) Findings of three skin flaps. Arrow: the defect of the rectus abdominis fascia. (C) Postoperative appearance. Arrow: suprapubic wound Procedure of spLESS : The patients were placed in a lithotomy position with the surgeon standing between the legs of the patient. A transverse incision of approximately 3 cm was made 4 cm above the pubic bone (Figure 1A). From this window, the space of Retzius was bluntly dilated with the forefinger. Multi‐channel extraperitoneal port, LAP PROTECTOR and EZ Access (Hakko, Tokyo, Japan), were introduced into the space of Retzius through the incision. Three trocars were inserted through the multi‐channel port into the extraperitoneal cavity (Figure 1B). A 5‐mm flexible laparoscope (Olympus, Tokyo, Japan) was used for the laparoscopic procedure. (A) Incision site (white line), (B) position of instruments Scissors were used to carefully dissect UR, covered by preperitoneal fat, from the posterior layer of the rectus abdominis sheath, while avoiding damage to the peritoneum. UR was further dissected in the cranial direction, and UR just below the umbilicus was sufficiently dissected from the rectus abdominis sheath (Figure 2A). An incision was made in the posterior layer of the rectus abdominis sheath. The umbilicus was pushed from outside the body, and the skin of the umbilicus was confirmed. UR and surrounding inflammatory tissues were excised from the umbilical skin at an appropriate resection line (Figure 2B). As the separation between UR and the umbilicus progressed, the wall of the fistula between the inflammatory tissue of UR and the dermis of the umbilicus could be confirmed (Figure 2C). The ligament (the wall of the fistula) of UR was cut at the bottom of the umbilicus. After complete separation of UR and the umbilicus, UR and surrounding inflammatory tissue were carefully dissected in the direction of the bladder while preserving the peritoneum. The umbilical arteries were transected using a vessel‐sealing device. In cases where the peritoneum was resected due to severe adhesion to UR, the peritoneum was repaired with running sutures using 3–0 V‐Loc (Medtronic, Minneapolis, MN, USA) to prevent postoperative adhesion between the bowel and the abdominal wall (Figure 2D). Laparoscopic technique for suprapubic laparoendoscopic single‐site surgery (spLESS). (A) Laparoscopic findings of urachal remnant. UR: urachal remnant. (B) Laparoscopic findings of dermis of umbilicus. Asterisk: dermis of umbilicus; RM: rectus abdominis muscle; arrow: resection edge of the posterior layer of rectus abdominis sheath; arrowhead: fat tissue surrounding the umbilicus. (C) Laparoscopic findings of the wall of the fistula of UR attached to the bottom of the umbilicus (arrow). Asterisk: dermis of the umbilicus; UR: urachal remnant. (D) Laparoscopic findings of suturing technique for defect of peritoneum After excision of the full length of UR, except for the bladder dome, UR was pulled out of the body through the suprapubic incision (Figure 3A). Thereby, the bladder dome could be confirmed under direct vision, and BR could be performed out of the incision. As a result, UR in the bladder dome could be completely resected, and watertight bladder repair was easily performed with double‐layer suturing (Figure 3B and C). Technique for bladder dome cuff resection under direct vision. (A) Findings of resected urachal remnant. (B,C) Findings of bladder dome cuff resection. Arrow: resected mucus of bladder dome Following the resection of UR, a modified three‐flap umbilicoplasty was performed. The original method was reported by Kim et al. 11 The umbilicus was everted to confirm the fistula at the bottom of the umbilicus (Figure 4A). A circular incision was then created around the fistula, and an inverted Y‐shaped incision was made in the skin within the umbilical ring to produce the three skin flaps. After unfolding the three skin flaps, any inflammatory tissue remaining in the umbilical skin was excised (Figure 4B). The subumbilical defect of the rectus abdominis was sutured closed, and the three flaps were sutured to the fascia. The postoperative appearance is shown in Figure 4C. Techniques for umbilicoplasty. (A) Findings of skin of the umbilicus. Arrow: the fistula of urachal remnant. (B) Findings of three skin flaps. Arrow: the defect of the rectus abdominis fascia. (C) Postoperative appearance. Arrow: suprapubic wound RESULTS: The patient characteristics and perioperative results are presented in Table 1. There were no significant differences in patient characteristics between the two procedures. Umbilical resection was performed in almost all cases in both groups. In contrast, the frequency of the extraperitoneal approach and BR was significantly higher in the spLESS group (P < .01). The median operative time and estimated blood loss in the spLESS group were 160 minutes and 5 mL, equivalent to that of the uLESS group (P = .36 and .2), despite the significantly higher rate of BR in the spLESS group. The median time for umbilicoplasty was 93 minutes (range, 39–187 minutes) in the spLESS group, including the time for port placement and wound closure. There were no instances of intraoperative complications. There were three cases of postoperative surgical site infections of the umbilicus (Clavien‐Dindo grade II), and there was no difference between the two groups (P = .53). The median follow‐up was 25.5 months (range, 1–54 months), and no patients have developed recurrences of periumbilical discharge to date. Patient characteristics, perioperative results in spLESS and uLESS Abbreviations: extra, extraperitoneal approach; intra, intraperitoneal approach; NS, not significant; spLESS, suprapubic laparoendoscopic single‐site surgery; SSI, surgical site injury; uLESS, umbilical port laparoendoscopic single‐site surgery. The cosmetic outcomes for the spLESS and uLESS groups are shown in Table 2. Thirty‐four of the 55 patients (62%) answered the QOL questionnaires: 27 out of 43 (63%) in the spLESS group and seven out of 12 (58%) in the uLESS group. The median time when answering the questionnaire was 6 months after surgery. The median BIS, CS, and PSQ scores of the spLESS group were 20, 19, and nine, respectively, and those of the uLESS group were 19, 18, and eight, respectively. There were no significant differences between the two groups (P = .15, .49 and .35). Cosmetic outcomes in spLESS and uLESS Abbreviations: BIS, body image score; CS, cosmetic scale; NS, not significant; PSQ, photo‐series questionnaire; spLESS, suprapubic laparoendoscopic single‐site surgery; uLESS, umbilical port laparoendoscopic single‐site surgery. DISCUSSION: To overcome limitations inherent in uLESS procedure, we modified the port placement and changed to approach via the extraperitoneal space. In this study, we evaluated the safety and feasibility of this novel procedure as an alternative to uLESS. LAP‐U was first reported in 1993, 3 and various LAP‐U port placement techniques have since been reported. 14 , 15 , 16 , 17 , 18 , 19 , 20 , 21 , 22 In 2010, Patrzyk et al. first reported LESS‐U as a highly cosmetic and useful procedure. 4 Since then, LESS‐U has been used in several institutes, and its usefulness and safety have been reported. 5 , 6 , 7 , 8 , 9 , 10 , 11 , 12 In addition, it has been reported that reduced port surgeries, such as LESS‐U, are highly satisfactory for postoperative patients in cosmesis, especially in young patients. 5 , 6 , 23 URs are more common in young patients who are interested in wound cosmesis. For this reason, we believe that postoperative cosmetics are more important in LESS‐U than in other surgeries. In this respect, LESS‐U could be considered the most suitable surgery for symptomatic UR. For LAP‐U, including LESS‐U, the transperitoneal approach was selected in all cases that have been reported, 3 , 4 , 5 , 6 , 7 , 8 , 9 , 10 , 11 , 12 , 14 , 15 , 16 , 17 , 18 , 19 , 20 , 21 , 22 and there are no reports on the extraperitoneal approach. In the transperitoneal approach, a peritoneal defect during ureteral resection is inevitable, and complete closure by suturing the peritoneum is technically difficult. There is no consensus concerning peritoneal suture repair; however, we believe that it is ideal to preserve the peritoneum as much as possible and repair it, as this may reduce the risk of intestinal complications. There was a report of serosal injury of the colon during LESS‐U with the transperitoneal approach, 11 which may have been avoided by the retroperitoneal approach. We selected the extraperitoneal approach from the fifth case of LESS‐U, and the patients did not develop any intestinal complications, such as intestinal injury or ileus. LESS‐U is commonly performed through the umbilical wound. 5 , 6 , 7 , 8 , 9 , 10 , 11 , 12 The uLESS technique is probably the best technique in terms of cosmesis. However, a major problem with uLESS is the difficulty in resecting UR around the umbilicus. Under direct vision, it is difficult to resect UR from the surrounding tissue as the umbilical wound used for the multi‐channel port is small in diameter. In laparoscopy, UR (especially in case of urachal sinus) is very close to the multi‐channel port, making it difficult to resect UR at a safe distance. Therefore, we repositioned the multi‐channel port from the umbilicus to the suprapubis. In this technique (spLESS), the distance between the umbilicus and the suprapubic port is appropriate, and it is easy to perform laparoscopic dissection around the umbilicus at an appropriate incision line. In addition, this procedure minimized the defect of the rectus abdominis fascia (Figure 4B, arrow). Extensive resection of the rectus abdominis fascia has been reported to cause periumbilical hemorrhage. 21 Furthermore, to prevent postoperative umbilical hernia, it is desirable that the defect be as small as possible. In this regard, we considered spLESS as the most appropriate technique. The suprapubic port provided a good view of the full length of UR and allowed adequate access to the umbilicus and bladder dome. This technique is feasible for excising URs, whether the inflammatory lesion is at the umbilicus or at the bladder, and it may reduce the risk of incomplete excision of UR. Regarding the extent of resection, Maemoto et al. reviewed 210 cases of LAP‐U22 and reported that 102 patients (48.6%) underwent umbilical resection (the wall of the fistula resection at the bottom of the umbilicus). The recurrence of periumbilical discharge has been reported to develop in cases without umbilical resection. 15 , 19 , 22 To prevent recurrence, we believe that umbilical resection and complete resection of inflammatory tissue are necessary. In addition, spLESS has another advantage in that the bladder can be more easily and reliably resected under direct view by pulling the bladder dome out of the suprapubic incision. In contrast to open surgery, there are no general criteria for the indication of BR in LAP‐U. The main reason for this may be that BR is difficult in laparoscopy, especially in uLESS. There are various discussions on the necessity of BR. Some report that BR was not required if there were no findings on the image, 16 , 18 , 19 while others affirm that BR is necessary considering future malignant transformation. 6 , 9 , 15 , 24 However, it is difficult to find a minute lesion at the bladder dome, even if various imaging studies (cystoscopy, ultrasound, computed tomography and magnetic resonance imaging) are performed. In addition, Maemoto et al. reported that epithelium was present in the resected UR tissue in four out of 14 and 44 out of 210 cases reviewed. 22 Therefore, we investigated the presence of epithelium in the muscle of the bladder dome. We performed a pathological investigation of the muscle at the bladder dome in patients with no evidence of epithelium in the preoperative images. As a result, epithelium was found within the muscle layer of the bladder in 16 out of 22 cases (73%) (Figure 5A). Among them, urothelial cells were found in 11 cases, while columnar epithelium or stratified squamous epithelium was found in five cases. One case showed mucus‐producing columnar epithelium (Figure 5B). We presume that such epithelia have malignant potential. For this reason, unless the entire length of UR, including the bladder dome, is resected, epithelial components with malignant potential may remain in the body. To prevent malignant transformation in the future, we suggest BR as a standard procedure, even in cases where there are no findings in the bladder dome in preoperative images. As BR can be performed easily and reliably under direct vision, spLESS is a highly curative surgery. Microscopic findings of the urachal remnant in the muscle of the bladder dome with hematoxylin and eosin stain. (A) Finding of a typical epithelium. (B) Finding of the mucus‐production columnar epithelium A significant problem with umbilical resection is the postoperative deformation of the umbilicus. There are several reports of umbilicoplasty to minimize deformation. 9 , 11 , 16 , 21 We improved the method by Kim et al. 11 to perform umbilicoplasty. Our modified method differs from the original method in that the skin of the umbilicus is everted before incision (Figure 4A). Therefore, the wall of the fistula at the bottom of the umbilicus can be confirmed and completely resected without any problem even in patients with severe preoperative inflammation and deformity of the umbilics. This method minimized incision of the skin in the umbilical ring ensuring that the umbilical skin can be preserved as much as possible. Thus, the postoperative deformation of the umbilicus is minimized (Figure 4C). Regarding the postoperative appearance, the difference between uLESS and spLESS is the presence of a suprapubic wound. The suprapubic wound was hidden by underwear and/or pubic hair; however, we expected a reduction in postoperative patient satisfaction with cosmesis. However, there were no differences between the two procedures in the self‐completed questionnaires. This led to the conclusion that the suprapubic wound had minimal effect on patient satisfaction with regard to cosmesis. Table 1 shows the perioperative results of LESS‐U performed at our institute. There was no difference in the results between the spLESS and uLESS groups, including the complication and recurrence rates. Perioperative results of LESS‐U from other institutions reported that the mean operative time was 80–150 minutes and the mean estimated blood loss was 5–50 mL, 4 , 5 , 6 , 7 , 8 , 9 , 10 , 11 , 12 which was not different from the present study. Based on these results, we concluded that spLESS is a safe and feasible procedure. This study had several limitations. This study is relatively large for LAP‐U in a single institute; however, the small number of patients and retrospective analysis of perioperative results are limited. Although a larger, prospective randomized study is required, it would be difficult because UR is a rare congenital anomaly. In terms of cosmetic outcomes, there are some limitations. The low response rate for BIQ and the cross‐sectional research, which was the time spent answering the questionnaire in each group, was imbalanced. Longitudinal research with a larger number of patients is required to better understand the cosmetic outcomes of spLESS. In conclusion, the perioperative results and cosmetic outcomes for spLESS were not significantly different from those of uLESS. Thus, we consider spLESS as an effective and feasible procedure to overcome the problems associated with uLESS. AUTHORSHIP DECLARATION Akio Hoshi designed this study. Akio Hoshi, Takashi Kawahara, Shuya Kandori, Hiromitsu Negoro, and Hiroyuki Nishiyama analyzed the patient data. Ichiro Chihara, Masanobu Shiga, Satoshi Nitta, Yoshiyuki Nagumo, Shotaro Sakka, Kosuke Kojo, Atsushi Ikeda, Takayuki Yoshino, and Tomokazu Kimura performed data collection. Akio Hoshi drafted the manuscript. All authors read and approved the final version of the manuscript. Akio Hoshi designed this study. Akio Hoshi, Takashi Kawahara, Shuya Kandori, Hiromitsu Negoro, and Hiroyuki Nishiyama analyzed the patient data. Ichiro Chihara, Masanobu Shiga, Satoshi Nitta, Yoshiyuki Nagumo, Shotaro Sakka, Kosuke Kojo, Atsushi Ikeda, Takayuki Yoshino, and Tomokazu Kimura performed data collection. Akio Hoshi drafted the manuscript. All authors read and approved the final version of the manuscript. AUTHORSHIP DECLARATION: Akio Hoshi designed this study. Akio Hoshi, Takashi Kawahara, Shuya Kandori, Hiromitsu Negoro, and Hiroyuki Nishiyama analyzed the patient data. Ichiro Chihara, Masanobu Shiga, Satoshi Nitta, Yoshiyuki Nagumo, Shotaro Sakka, Kosuke Kojo, Atsushi Ikeda, Takayuki Yoshino, and Tomokazu Kimura performed data collection. Akio Hoshi drafted the manuscript. All authors read and approved the final version of the manuscript.
Background: No standard procedure has been established for laparoendoscopic single-site surgery for urachal remnants (LESS-U). This study aimed to report the novel surgical techniques and initial outcomes of laparoendoscopic single-site surgery with an extraperitoneal approach through a suprapubic port for urachal remnants (spLESS). Methods: Fifty-five patients (median age, 27 years; range, 15-69 years) who underwent LESS-U were analyzed. To overcome the limitations inherent in the conventional procedure (LESS-U through an umbilical port: uLESS), we modified the port placement and approached via the extraperitoneal space. spLESS is a novel procedure which reduces intestinal damage caused by the extraperitoneal approach and overcomes incomplete resection of the urachal remnant, especially in the bladder dome. Three trocars are inserted into the extraperitoneal space through a suprapubic port in spLESS, and complete resection of the urachal remnant from the umbilicus to the bladder is performed with an appropriate incision line. Patient characteristics and perioperative results were retrospectively collected. Cosmetic outcomes were prospectively evaluated using self-administered questionnaires (body image and photo-series questionnaire). Results: spLESS and uLESS were performed in 43 and 12 patients, respectively. No differences were observed between the perioperative results. The cosmetic outcomes were compared between the groups using body image and photo-series questionnaires. No patient developed major complications; there was no recurrence in either group. Conclusions: spLESS is a novel procedure which can completely resect the urachal remnant and reduce the risk of intestinal damage. spLESS is a safe, effective, and feasible procedure with high postoperative cosmesis.
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5,861
312
[ 493, 823, 75 ]
6
[ "ur", "umbilicus", "figure", "bladder", "spless", "incision", "resection", "skin", "bladder dome", "dome" ]
[ "surgery ur extraperitoneal", "umbilicus laparoscopic", "umbilical port uless", "port uless intraperitoneal", "laparoscopic findings urachal" ]
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null
null
[CONTENT] extraperitoneal approach | laparoendoscopic single‐site surgery (LESS) | urachal remnant [SUMMARY]
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[CONTENT] extraperitoneal approach | laparoendoscopic single‐site surgery (LESS) | urachal remnant [SUMMARY]
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[CONTENT] extraperitoneal approach | laparoendoscopic single‐site surgery (LESS) | urachal remnant [SUMMARY]
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[CONTENT] Adult | Humans | Laparoscopy | Retrospective Studies | Umbilicus | Urachus | Urinary Bladder [SUMMARY]
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[CONTENT] Adult | Humans | Laparoscopy | Retrospective Studies | Umbilicus | Urachus | Urinary Bladder [SUMMARY]
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[CONTENT] Adult | Humans | Laparoscopy | Retrospective Studies | Umbilicus | Urachus | Urinary Bladder [SUMMARY]
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[CONTENT] surgery ur extraperitoneal | umbilicus laparoscopic | umbilical port uless | port uless intraperitoneal | laparoscopic findings urachal [SUMMARY]
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[CONTENT] surgery ur extraperitoneal | umbilicus laparoscopic | umbilical port uless | port uless intraperitoneal | laparoscopic findings urachal [SUMMARY]
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[CONTENT] surgery ur extraperitoneal | umbilicus laparoscopic | umbilical port uless | port uless intraperitoneal | laparoscopic findings urachal [SUMMARY]
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[CONTENT] ur | umbilicus | figure | bladder | spless | incision | resection | skin | bladder dome | dome [SUMMARY]
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[CONTENT] ur | umbilicus | figure | bladder | spless | incision | resection | skin | bladder dome | dome [SUMMARY]
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[CONTENT] ur | umbilicus | figure | bladder | spless | incision | resection | skin | bladder dome | dome [SUMMARY]
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[CONTENT] ur | approach | uless | procedure | risk intestinal | problems | intestinal | risk | peritoneum | extraperitoneal approach [SUMMARY]
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[CONTENT] group | spless group | spless | median | uless | site | significant | groups | uless group | characteristics [SUMMARY]
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[CONTENT] ur | umbilicus | figure | uless | bladder | spless | findings | incision | dome | bladder dome [SUMMARY]
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[CONTENT] ||| [SUMMARY]
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[CONTENT] 43 | 12 ||| ||| ||| [SUMMARY]
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[CONTENT] ||| ||| Fifty-five | 27 years | 15-69 years ||| ||| ||| Three ||| ||| ||| 43 | 12 ||| ||| ||| ||| ||| [SUMMARY]
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Characteristics of patients who had a stroke not initially identified during emergency prehospital assessment: a systematic review.
33608393
Around 25% of patients who had a stroke do not present with typical 'face, arm, speech' symptoms at onset, and are challenging for emergency medical services (EMS) to identify. The aim of this systematic review was to identify the characteristics of acute stroke presentations associated with inaccurate EMS identification (false negatives).
BACKGROUND
We performed a systematic search of MEDLINE, EMBASE, CINAHL and PubMed from 1995 to August 2020 using key terms: stroke, EMS, paramedics, identification and assessment. Studies included: patients who had a stroke or patient records; ≥18 years; any stroke type; prehospital assessment undertaken by health professionals including paramedics or technicians; data reported on prehospital diagnostic accuracy and/or presenting symptoms. Data were extracted and study quality assessed by two researchers using the Quality Assessment of Diagnostic Accuracy Studies V.2 tool.
METHOD
Of 845 studies initially identified, 21 observational studies met the inclusion criteria. Of the 6934 stroke and Transient Ischaemic Attack patients included, there were 1774 (26%) false negative patients (range from 4 (2%) to 247 (52%)). Commonly documented symptoms in false negative cases were speech problems (n=107; 13%-28%), nausea/vomiting (n=94; 8%-38%), dizziness (n=86; 23%-27%), changes in mental status (n=51; 8%-25%) and visual disturbance/impairment (n=43; 13%-28%).
RESULTS
Speech problems and posterior circulation symptoms were the most commonly documented symptoms among stroke presentations that were not correctly identified by EMS (false negatives). However, the addition of further symptoms to stroke screening tools requires valuation of subsequent sensitivity and specificity, training needs and possible overuse of high priority resources.
CONCLUSION
[ "Diagnostic Errors", "Emergency Medical Technicians", "Emergency Service, Hospital", "Humans", "Ischemic Attack, Transient", "Observational Studies as Topic", "Retrospective Studies", "Stroke" ]
8077214
Background
Worldwide, each year approximately 20 million people experience a stroke, of whom 5 million will die and 5 million will be disabled by their stroke.1 Accurate, early recognition is necessary to maximise benefits of hyperacute treatment with intravenous thrombolysis and/or mechanical thrombectomy, where indicated and early specialist multidisciplinary care.2 3 With up to 70% of patients who had a stroke accessing the emergency medical services (EMS),4 the efficiency of the ‘stroke chain of survival’ relies heavily on the accuracy and timeliness of EMS identification of stroke symptoms and the ability to distinguish between stroke and non-stroke cases. The use of screening tools to identify stroke by the EMS is recommended internationally including in guidelines for Australia, New Zealand, Europe and the USA. The majority of prehospital screening tools feature assessments for the most common stroke symptoms, as first reported in the Cincinnati Prehospital Stroke Scale (CPSS), also known as the Face Arm Speech Test (FAST).5 However, the accuracy of prehospital screening tools varies: sensitivity is reported ranging from 44% to 97% and specificity from 13% to 92%.6 The diverse nature of less common stroke symptoms such as visual disturbance, confusion and loss of balance can make correct identification challenging, particularly as up to 25% of patients who had a stroke do not present with symptoms commonly featured in screening tools.7 To date, there has not been an overview describing which symptoms are most common among patients who are not identified by the EMS, and there is currently no consensus about whether to assess symptoms with reduced specificity for stroke. Without screening tools and training to improve the identification of patients with less common stroke symptoms, inequity of available stroke care for patients will remain, particularly for patients with posterior stroke.8 The aim of this systematic review was to identify the characteristics of acute stroke presentations associated with inaccurate EMS identification (false negatives). Research objectives were to identify what proportion of patients who had a stroke are not identified by EMS/prehospital tools, to examine any differences in outcomes between false negative cases and those which are correctly identified, and to explore which symptoms are most commonly present in false negative cases.
Methods
Search strategy and study selection A search strategy was developed (online supplemental file 1), including the Medical Subject Heading terms stroke, EMS, paramedics, recognition and screening. The search strategy was adapted to search MEDLINE, EMBASE, CINAHL and PubMed from 1995 to August 2020. Studies were included from any country if published in English, with no restrictions on study design or quality. Inclusion criteria: studies including patients who had a stroke (either actual patients ≥18 years or their records, any stroke type); studies including patients screened by health professionals including paramedics or technicians within the prehospital setting; data reported on prehospital diagnostic accuracy and/or symptoms present. Exclusion criteria: non-stroke populations, studies including only stroke mimics, studies utilising prehospital screening tools to identify large vessel occlusion. A search strategy was developed (online supplemental file 1), including the Medical Subject Heading terms stroke, EMS, paramedics, recognition and screening. The search strategy was adapted to search MEDLINE, EMBASE, CINAHL and PubMed from 1995 to August 2020. Studies were included from any country if published in English, with no restrictions on study design or quality. Inclusion criteria: studies including patients who had a stroke (either actual patients ≥18 years or their records, any stroke type); studies including patients screened by health professionals including paramedics or technicians within the prehospital setting; data reported on prehospital diagnostic accuracy and/or symptoms present. Exclusion criteria: non-stroke populations, studies including only stroke mimics, studies utilising prehospital screening tools to identify large vessel occlusion. Review methods Citations were screened independently by two researchers on title and then abstract. Any articles that met the inclusion criteria were read in full. Disagreements over the inclusion of any articles were discussed by members of the project steering group (SPJ, JMEG and CM). Backward and forward citation searches were performed to identify further studies and to test the quality of the search strategy. Citations were screened independently by two researchers on title and then abstract. Any articles that met the inclusion criteria were read in full. Disagreements over the inclusion of any articles were discussed by members of the project steering group (SPJ, JMEG and CM). Backward and forward citation searches were performed to identify further studies and to test the quality of the search strategy. Assessment of risk of bias in included studies Study quality was assessed using the Quality Assessment of Diagnostic Accuracy Studies V.2 (QUADAS-2) tool,9 comprising four domains: patient selection, index test, reference standard and flow and timing. We added the signalling question ‘is data collected prospectively or retrospectively’ within the patient selection domain. Any retrospective studies were categorised as high risk for the patient selection domain. Study quality was assessed using the Quality Assessment of Diagnostic Accuracy Studies V.2 (QUADAS-2) tool,9 comprising four domains: patient selection, index test, reference standard and flow and timing. We added the signalling question ‘is data collected prospectively or retrospectively’ within the patient selection domain. Any retrospective studies were categorised as high risk for the patient selection domain. Data extraction and management We designed a data extraction form that summarised the following characteristics: (1) Study detail (author, year of publication, study type, screening completed by, timing of data collection, screening tool used); (2) Patient characteristics (population, sample size, age, sex, stroke type, signs and symptoms of patients missed by the EMS recorded in prehospital and/or hospital records, hospital diagnosis of stroke); and (3) Study quality (patient selection, risk of bias and applicability). The accuracy of data extraction was checked by a second independent extractor for all included studies. We contacted study authors for missing data but at the time of writing had not received any responses. The protocol for the review was registered on PROSPERO.10 The reporting of this review is in accordance with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses.11 We designed a data extraction form that summarised the following characteristics: (1) Study detail (author, year of publication, study type, screening completed by, timing of data collection, screening tool used); (2) Patient characteristics (population, sample size, age, sex, stroke type, signs and symptoms of patients missed by the EMS recorded in prehospital and/or hospital records, hospital diagnosis of stroke); and (3) Study quality (patient selection, risk of bias and applicability). The accuracy of data extraction was checked by a second independent extractor for all included studies. We contacted study authors for missing data but at the time of writing had not received any responses. The protocol for the review was registered on PROSPERO.10 The reporting of this review is in accordance with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses.11 Analysis A priori it had been intended to perform a meta-analysis but due to heterogeneity between study settings, designs and screening tools used, the included studies have been described narratively. Results are reported as presented in the original studies, and no additional secondary analyses have been undertaken. A priori it had been intended to perform a meta-analysis but due to heterogeneity between study settings, designs and screening tools used, the included studies have been described narratively. Results are reported as presented in the original studies, and no additional secondary analyses have been undertaken. Results The search strategy initially identified 845 articles. Following screening of the title, abstract or complete article, 21 studies met the inclusion criteria (see figure 1). Across all 21 studies, the number of included stroke patients totalled 6934, ranging from 35 to 997. Studies took place in the following countries: 10 in the USA5 12–20; 3 in the UK21–23; 3 in Australia24–26; 2 in China,27 28 2 in Sweden29 30 and 1 in Canada.31 Of the 21 included studies, 11 reported limited data and included no information on age, sex or symptoms. Flow diagram. The search strategy initially identified 845 articles. Following screening of the title, abstract or complete article, 21 studies met the inclusion criteria (see figure 1). Across all 21 studies, the number of included stroke patients totalled 6934, ranging from 35 to 997. Studies took place in the following countries: 10 in the USA5 12–20; 3 in the UK21–23; 3 in Australia24–26; 2 in China,27 28 2 in Sweden29 30 and 1 in Canada.31 Of the 21 included studies, 11 reported limited data and included no information on age, sex or symptoms. Flow diagram. Study quality The studies’ overall quality can be seen in online supplemental file 2. Six studies were identified as having a low risk of bias across 4 domains of the QUADAS-2,12 24 26–28 31 although only four reported symptom data.12 24 26 27 The majority of studies had a low risk of bias in terms of the screening tool used, confirmed diagnosis of stroke or non-stroke, flow and timing of emergency screening and final diagnosis. Fourteen studies had a high risk of selection bias, 12 due to retrospective designs13–18 22 23 26 29–31; others due to select patient groups including: only patients who were transported to a specialist centre,21 participants defined by paramedic impression only19 and a convenience sample of patients presenting to the ED or inpatient neurology services.5 The studies’ overall quality can be seen in online supplemental file 2. Six studies were identified as having a low risk of bias across 4 domains of the QUADAS-2,12 24 26–28 31 although only four reported symptom data.12 24 26 27 The majority of studies had a low risk of bias in terms of the screening tool used, confirmed diagnosis of stroke or non-stroke, flow and timing of emergency screening and final diagnosis. Fourteen studies had a high risk of selection bias, 12 due to retrospective designs13–18 22 23 26 29–31; others due to select patient groups including: only patients who were transported to a specialist centre,21 participants defined by paramedic impression only19 and a convenience sample of patients presenting to the ED or inpatient neurology services.5 False negative cases In all 21 studies, the number of false negative patients totalled 1774 (26%), ranging from 4 (2%) to 247 (52%). Only 10 of the 21 studies reported any further patient information. Details of the 10 studies with presentation of data describing a complete suspected stroke cohort are summarised in table 1. Symptom data are presented in table 2 and details of the remaining 11 studies in table 3. Of these 10 studies, the number of included stroke patients totalled 3012 of whom 868 (29%) were false negative, ranging from 4 (2%) to 282 (38%). Only five studies reported mean age or sex: in these studies, the mean age was 74.7 years and 57% of participants were female. Four studies reported specific stroke types, with the majority of false negative patients having ischaemic strokes, followed by primary intracerebral haemorrhage (41, 15%) and subarachnoid haemorrhage (15, 6%). Study characteristics of 10 detailed studies *FAST (language, visual field, motor strength and gait) CPSS, Cincinnati Prehospital Stroke Scale; ED, Emergency Department; EMS, emergency medical service; FAST, Face Arm Speech Test; LAPSS, Los Angeles Prehospital Stroke Scale; MASS, Melbourne Ambulance Stroke Screen; NS, not stated; PICH, primary intracerebral haemorrhage; SAH, subarachnoid haemorrhage. Frequency (%) of all symptoms reported for false negative stroke patients Study characteristics of 11 limited detail studies CPSS, Cincinnati Prehospital Stroke Scale; C-STAT, Cincinnati Stroke Triage Assessment Tool; EMS, emergency medical service; FAST, Face Arm Speech Test; MedPACS, Medic Prehospital Assessment for Code Stroke; NS, not stated; OPSS, Ontario Prehospital Stroke Screening; ROSIER, Recognition of Stroke in the Emergency Room; ROSIER, Recognition of Stroke in the Emergency Room; TIA, transient ischaemic attack. In all 21 studies, the number of false negative patients totalled 1774 (26%), ranging from 4 (2%) to 247 (52%). Only 10 of the 21 studies reported any further patient information. Details of the 10 studies with presentation of data describing a complete suspected stroke cohort are summarised in table 1. Symptom data are presented in table 2 and details of the remaining 11 studies in table 3. Of these 10 studies, the number of included stroke patients totalled 3012 of whom 868 (29%) were false negative, ranging from 4 (2%) to 282 (38%). Only five studies reported mean age or sex: in these studies, the mean age was 74.7 years and 57% of participants were female. Four studies reported specific stroke types, with the majority of false negative patients having ischaemic strokes, followed by primary intracerebral haemorrhage (41, 15%) and subarachnoid haemorrhage (15, 6%). Study characteristics of 10 detailed studies *FAST (language, visual field, motor strength and gait) CPSS, Cincinnati Prehospital Stroke Scale; ED, Emergency Department; EMS, emergency medical service; FAST, Face Arm Speech Test; LAPSS, Los Angeles Prehospital Stroke Scale; MASS, Melbourne Ambulance Stroke Screen; NS, not stated; PICH, primary intracerebral haemorrhage; SAH, subarachnoid haemorrhage. Frequency (%) of all symptoms reported for false negative stroke patients Study characteristics of 11 limited detail studies CPSS, Cincinnati Prehospital Stroke Scale; C-STAT, Cincinnati Stroke Triage Assessment Tool; EMS, emergency medical service; FAST, Face Arm Speech Test; MedPACS, Medic Prehospital Assessment for Code Stroke; NS, not stated; OPSS, Ontario Prehospital Stroke Screening; ROSIER, Recognition of Stroke in the Emergency Room; ROSIER, Recognition of Stroke in the Emergency Room; TIA, transient ischaemic attack. Use of prehospital screening tools A range of stroke screening tools were used: the CPSS (five studies)5 13 14 18 20; the FAST (three studies)22 23 30; the Los Angeles Prehospital Stroke Scale (LAPSS) (two studies)12 27; the Melbourne Ambulance Stroke Screen (two studies).24 26 One study used each of the following: Cincinnati Stroke Triage Assessment Too19; the Ontario Prehospital Stroke Screening Too31; LAPSS and CPSS17; Medic Prehospital Assessment for Code Stroke and CPSS16; Recognition of Stroke in the Emergency Room (ROSIER) and FAST21; ROSIER and CPSS.28 A range of stroke screening tools were used: the CPSS (five studies)5 13 14 18 20; the FAST (three studies)22 23 30; the Los Angeles Prehospital Stroke Scale (LAPSS) (two studies)12 27; the Melbourne Ambulance Stroke Screen (two studies).24 26 One study used each of the following: Cincinnati Stroke Triage Assessment Too19; the Ontario Prehospital Stroke Screening Too31; LAPSS and CPSS17; Medic Prehospital Assessment for Code Stroke and CPSS16; Recognition of Stroke in the Emergency Room (ROSIER) and FAST21; ROSIER and CPSS.28 Symptoms experienced by the false negative stroke patients From the data available, it was not possible to determine whether symptoms were recorded by the EMS or identified later in hospital. In 10 studies reporting symptom data for false negative patients, the most commonly recorded were: speech problems (n=107; 13%–28%)20 25 26 29; nausea/vomiting (n=94; 8%–38%)18 20 26 29; dizziness (n=86; 23%–27%)5 18 20 26; visual disturbance/impairment (visual loss, diplopia or blurring) (n=43; 13%–29%)5 20 24 29 and changes in mental status (n=51; 8%–25%).5 15 18 20 26 From the data available, it was not possible to determine whether symptoms were recorded by the EMS or identified later in hospital. In 10 studies reporting symptom data for false negative patients, the most commonly recorded were: speech problems (n=107; 13%–28%)20 25 26 29; nausea/vomiting (n=94; 8%–38%)18 20 26 29; dizziness (n=86; 23%–27%)5 18 20 26; visual disturbance/impairment (visual loss, diplopia or blurring) (n=43; 13%–29%)5 20 24 29 and changes in mental status (n=51; 8%–25%).5 15 18 20 26 Acute clinical outcomes in false negative cases Of the 21 studies in total, only 8 (38%) reported any information in relation to management and treatment pathways. Five of these were undertaken between 1997 and 2009,5 12 26 31 all of which stated that false negative patients had minimal or atypical symptoms and would not have been candidates for thrombolysis based on protocols at the time. Three further studies took place between 2010 and 2019.20 23 29 In these studies, EMS-recognised strokes had significantly faster door-to-CT times (34.6 vs 84.7 min; p<0.001), but this did not translate into significantly higher rates of thrombolysis delivery (14.9% vs 4.4%; p=0.074). When patients were FAST-positive or a prealert was made, the median time from hospital arrival to CT request and scan was 39 and 57 min and 26 and 39 min, respectively, compared with medians of 120 and 155 min for FAST negative patients and 125 and 185 min for patients arriving at hospital without a prealert.23 One study reported that a pre-alert was made for only 11% of patients who had a stroke who were not identified by the EMS compared with 70% of stroke patients who were identified (p<0.001).29 Patients for whom the EMS did not identify stroke nor pre-alert the receiving centre had the longest time from ambulance call to first medical assessment in the Emergency Department (ED) at 87 min (68–147) and 52 min (45–73), respectively.25 Of the 21 studies in total, only 8 (38%) reported any information in relation to management and treatment pathways. Five of these were undertaken between 1997 and 2009,5 12 26 31 all of which stated that false negative patients had minimal or atypical symptoms and would not have been candidates for thrombolysis based on protocols at the time. Three further studies took place between 2010 and 2019.20 23 29 In these studies, EMS-recognised strokes had significantly faster door-to-CT times (34.6 vs 84.7 min; p<0.001), but this did not translate into significantly higher rates of thrombolysis delivery (14.9% vs 4.4%; p=0.074). When patients were FAST-positive or a prealert was made, the median time from hospital arrival to CT request and scan was 39 and 57 min and 26 and 39 min, respectively, compared with medians of 120 and 155 min for FAST negative patients and 125 and 185 min for patients arriving at hospital without a prealert.23 One study reported that a pre-alert was made for only 11% of patients who had a stroke who were not identified by the EMS compared with 70% of stroke patients who were identified (p<0.001).29 Patients for whom the EMS did not identify stroke nor pre-alert the receiving centre had the longest time from ambulance call to first medical assessment in the Emergency Department (ED) at 87 min (68–147) and 52 min (45–73), respectively.25
null
null
Conclusions
Stroke presentations that are most frequently missed by the EMS commonly include symptoms of: speech problems, nausea/vomiting, dizziness, changes in mental status and visual disturbance/impairment. However, the addition of further symptoms to stroke screening tools would require evaluation of their sensitivity and specificity, any associated training needs, and the impact on EMS resource use. Despite the inclusion of speech symptoms in most prehospital screening tools, this symptom is often overlooked and the reasons for this may need to be explored further.
[ "Background", "Search strategy and study selection", "Review methods", "Assessment of risk of bias in included studies", "Data extraction and management", "Analysis", "Results", "Study quality", "False negative cases", "Use of prehospital screening tools", "Symptoms experienced by the false negative stroke patients", "Acute clinical outcomes in false negative cases" ]
[ "Worldwide, each year approximately 20 million people experience a stroke, of whom 5 million will die and 5 million will be disabled by their stroke.1 Accurate, early recognition is necessary to maximise benefits of hyperacute treatment with intravenous thrombolysis and/or mechanical thrombectomy, where indicated and early specialist multidisciplinary care.2 3 With up to 70% of patients who had a stroke accessing the emergency medical services (EMS),4 the efficiency of the ‘stroke chain of survival’ relies heavily on the accuracy and timeliness of EMS identification of stroke symptoms and the ability to distinguish between stroke and non-stroke cases.\nThe use of screening tools to identify stroke by the EMS is recommended internationally including in guidelines for Australia, New Zealand, Europe and the USA. The majority of prehospital screening tools feature assessments for the most common stroke symptoms, as first reported in the Cincinnati Prehospital Stroke Scale (CPSS), also known as the Face Arm Speech Test (FAST).5 However, the accuracy of prehospital screening tools varies: sensitivity is reported ranging from 44% to 97% and specificity from 13% to 92%.6 The diverse nature of less common stroke symptoms such as visual disturbance, confusion and loss of balance can make correct identification challenging, particularly as up to 25% of patients who had a stroke do not present with symptoms commonly featured in screening tools.7\n\nTo date, there has not been an overview describing which symptoms are most common among patients who are not identified by the EMS, and there is currently no consensus about whether to assess symptoms with reduced specificity for stroke. Without screening tools and training to improve the identification of patients with less common stroke symptoms, inequity of available stroke care for patients will remain, particularly for patients with posterior stroke.8 The aim of this systematic review was to identify the characteristics of acute stroke presentations associated with inaccurate EMS identification (false negatives). Research objectives were to identify what proportion of patients who had a stroke are not identified by EMS/prehospital tools, to examine any differences in outcomes between false negative cases and those which are correctly identified, and to explore which symptoms are most commonly present in false negative cases.", "A search strategy was developed (online supplemental file 1), including the Medical Subject Heading terms stroke, EMS, paramedics, recognition and screening. The search strategy was adapted to search MEDLINE, EMBASE, CINAHL and PubMed from 1995 to August 2020. Studies were included from any country if published in English, with no restrictions on study design or quality.\n\n\n\nInclusion criteria: studies including patients who had a stroke (either actual patients ≥18 years or their records, any stroke type); studies including patients screened by health professionals including paramedics or technicians within the prehospital setting; data reported on prehospital diagnostic accuracy and/or symptoms present.\nExclusion criteria: non-stroke populations, studies including only stroke mimics, studies utilising prehospital screening tools to identify large vessel occlusion.", "Citations were screened independently by two researchers on title and then abstract. Any articles that met the inclusion criteria were read in full. Disagreements over the inclusion of any articles were discussed by members of the project steering group (SPJ, JMEG and CM). Backward and forward citation searches were performed to identify further studies and to test the quality of the search strategy.", "Study quality was assessed using the Quality Assessment of Diagnostic Accuracy Studies V.2 (QUADAS-2) tool,9 comprising four domains: patient selection, index test, reference standard and flow and timing. We added the signalling question ‘is data collected prospectively or retrospectively’ within the patient selection domain. Any retrospective studies were categorised as high risk for the patient selection domain.", "We designed a data extraction form that summarised the following characteristics: (1) Study detail (author, year of publication, study type, screening completed by, timing of data collection, screening tool used); (2) Patient characteristics (population, sample size, age, sex, stroke type, signs and symptoms of patients missed by the EMS recorded in prehospital and/or hospital records, hospital diagnosis of stroke); and (3) Study quality (patient selection, risk of bias and applicability).\nThe accuracy of data extraction was checked by a second independent extractor for all included studies. We contacted study authors for missing data but at the time of writing had not received any responses. The protocol for the review was registered on PROSPERO.10 The reporting of this review is in accordance with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses.11\n", "A priori it had been intended to perform a meta-analysis but due to heterogeneity between study settings, designs and screening tools used, the included studies have been described narratively. Results are reported as presented in the original studies, and no additional secondary analyses have been undertaken.", "The search strategy initially identified 845 articles. Following screening of the title, abstract or complete article, 21 studies met the inclusion criteria (see figure 1). Across all 21 studies, the number of included stroke patients totalled 6934, ranging from 35 to 997. Studies took place in the following countries: 10 in the USA5 12–20; 3 in the UK21–23; 3 in Australia24–26; 2 in China,27 28 2 in Sweden29 30 and 1 in Canada.31 Of the 21 included studies, 11 reported limited data and included no information on age, sex or symptoms.\nFlow diagram.", "The studies’ overall quality can be seen in online supplemental file 2. Six studies were identified as having a low risk of bias across 4 domains of the QUADAS-2,12 24 26–28 31 although only four reported symptom data.12 24 26 27 The majority of studies had a low risk of bias in terms of the screening tool used, confirmed diagnosis of stroke or non-stroke, flow and timing of emergency screening and final diagnosis. Fourteen studies had a high risk of selection bias, 12 due to retrospective designs13–18 22 23 26 29–31; others due to select patient groups including: only patients who were transported to a specialist centre,21 participants defined by paramedic impression only19 and a convenience sample of patients presenting to the ED or inpatient neurology services.5\n\n\n\n", "In all 21 studies, the number of false negative patients totalled 1774 (26%), ranging from 4 (2%) to 247 (52%). Only 10 of the 21 studies reported any further patient information. Details of the 10 studies with presentation of data describing a complete suspected stroke cohort are summarised in table 1. Symptom data are presented in table 2 and details of the remaining 11 studies in table 3. Of these 10 studies, the number of included stroke patients totalled 3012 of whom 868 (29%) were false negative, ranging from 4 (2%) to 282 (38%). Only five studies reported mean age or sex: in these studies, the mean age was 74.7 years and 57% of participants were female. Four studies reported specific stroke types, with the majority of false negative patients having ischaemic strokes, followed by primary intracerebral haemorrhage (41, 15%) and subarachnoid haemorrhage (15, 6%).\nStudy characteristics of 10 detailed studies\n*FAST (language, visual field, motor strength and gait)\nCPSS, Cincinnati Prehospital Stroke Scale; ED, Emergency Department; EMS, emergency medical service; FAST, Face Arm Speech Test; LAPSS, Los Angeles Prehospital Stroke Scale; MASS, Melbourne Ambulance Stroke Screen; NS, not stated; PICH, primary intracerebral haemorrhage; SAH, subarachnoid haemorrhage.\nFrequency (%) of all symptoms reported for false negative stroke patients\nStudy characteristics of 11 limited detail studies\nCPSS, Cincinnati Prehospital Stroke Scale; C-STAT, Cincinnati Stroke Triage Assessment Tool; EMS, emergency medical service; FAST, Face Arm Speech Test; MedPACS, Medic Prehospital Assessment for Code Stroke; NS, not stated; OPSS, Ontario Prehospital Stroke Screening; ROSIER, Recognition of Stroke in the Emergency Room; ROSIER, Recognition of Stroke in the Emergency Room; TIA, transient ischaemic attack.", "A range of stroke screening tools were used: the CPSS (five studies)5 13 14 18 20; the FAST (three studies)22 23 30; the Los Angeles Prehospital Stroke Scale (LAPSS) (two studies)12 27; the Melbourne Ambulance Stroke Screen (two studies).24 26 One study used each of the following: Cincinnati Stroke Triage Assessment Too19; the Ontario Prehospital Stroke Screening Too31; LAPSS and CPSS17; Medic Prehospital Assessment for Code Stroke and CPSS16; Recognition of Stroke in the Emergency Room (ROSIER) and FAST21; ROSIER and CPSS.28\n", "From the data available, it was not possible to determine whether symptoms were recorded by the EMS or identified later in hospital. In 10 studies reporting symptom data for false negative patients, the most commonly recorded were: speech problems (n=107; 13%–28%)20 25 26 29; nausea/vomiting (n=94; 8%–38%)18 20 26 29; dizziness (n=86; 23%–27%)5 18 20 26; visual disturbance/impairment (visual loss, diplopia or blurring) (n=43; 13%–29%)5 20 24 29 and changes in mental status (n=51; 8%–25%).5 15 18 20 26\n", "Of the 21 studies in total, only 8 (38%) reported any information in relation to management and treatment pathways. Five of these were undertaken between 1997 and 2009,5 12 26 31 all of which stated that false negative patients had minimal or atypical symptoms and would not have been candidates for thrombolysis based on protocols at the time. Three further studies took place between 2010 and 2019.20 23 29 In these studies, EMS-recognised strokes had significantly faster door-to-CT times (34.6 vs 84.7 min; p<0.001), but this did not translate into significantly higher rates of thrombolysis delivery (14.9% vs 4.4%; p=0.074). When patients were FAST-positive or a prealert was made, the median time from hospital arrival to CT request and scan was 39 and 57 min and 26 and 39 min, respectively, compared with medians of 120 and 155 min for FAST negative patients and 125 and 185 min for patients arriving at hospital without a prealert.23 One study reported that a pre-alert was made for only 11% of patients who had a stroke who were not identified by the EMS compared with 70% of stroke patients who were identified (p<0.001).29 Patients for whom the EMS did not identify stroke nor pre-alert the receiving centre had the longest time from ambulance call to first medical assessment in the Emergency Department (ED) at 87 min (68–147) and 52 min (45–73), respectively.25\n" ]
[ null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Search strategy and study selection", "Review methods", "Assessment of risk of bias in included studies", "Data extraction and management", "Analysis", "Results", "Study quality", "False negative cases", "Use of prehospital screening tools", "Symptoms experienced by the false negative stroke patients", "Acute clinical outcomes in false negative cases", "Discussion", "Conclusions" ]
[ "Worldwide, each year approximately 20 million people experience a stroke, of whom 5 million will die and 5 million will be disabled by their stroke.1 Accurate, early recognition is necessary to maximise benefits of hyperacute treatment with intravenous thrombolysis and/or mechanical thrombectomy, where indicated and early specialist multidisciplinary care.2 3 With up to 70% of patients who had a stroke accessing the emergency medical services (EMS),4 the efficiency of the ‘stroke chain of survival’ relies heavily on the accuracy and timeliness of EMS identification of stroke symptoms and the ability to distinguish between stroke and non-stroke cases.\nThe use of screening tools to identify stroke by the EMS is recommended internationally including in guidelines for Australia, New Zealand, Europe and the USA. The majority of prehospital screening tools feature assessments for the most common stroke symptoms, as first reported in the Cincinnati Prehospital Stroke Scale (CPSS), also known as the Face Arm Speech Test (FAST).5 However, the accuracy of prehospital screening tools varies: sensitivity is reported ranging from 44% to 97% and specificity from 13% to 92%.6 The diverse nature of less common stroke symptoms such as visual disturbance, confusion and loss of balance can make correct identification challenging, particularly as up to 25% of patients who had a stroke do not present with symptoms commonly featured in screening tools.7\n\nTo date, there has not been an overview describing which symptoms are most common among patients who are not identified by the EMS, and there is currently no consensus about whether to assess symptoms with reduced specificity for stroke. Without screening tools and training to improve the identification of patients with less common stroke symptoms, inequity of available stroke care for patients will remain, particularly for patients with posterior stroke.8 The aim of this systematic review was to identify the characteristics of acute stroke presentations associated with inaccurate EMS identification (false negatives). Research objectives were to identify what proportion of patients who had a stroke are not identified by EMS/prehospital tools, to examine any differences in outcomes between false negative cases and those which are correctly identified, and to explore which symptoms are most commonly present in false negative cases.", "Search strategy and study selection A search strategy was developed (online supplemental file 1), including the Medical Subject Heading terms stroke, EMS, paramedics, recognition and screening. The search strategy was adapted to search MEDLINE, EMBASE, CINAHL and PubMed from 1995 to August 2020. Studies were included from any country if published in English, with no restrictions on study design or quality.\n\n\n\nInclusion criteria: studies including patients who had a stroke (either actual patients ≥18 years or their records, any stroke type); studies including patients screened by health professionals including paramedics or technicians within the prehospital setting; data reported on prehospital diagnostic accuracy and/or symptoms present.\nExclusion criteria: non-stroke populations, studies including only stroke mimics, studies utilising prehospital screening tools to identify large vessel occlusion.\nA search strategy was developed (online supplemental file 1), including the Medical Subject Heading terms stroke, EMS, paramedics, recognition and screening. The search strategy was adapted to search MEDLINE, EMBASE, CINAHL and PubMed from 1995 to August 2020. Studies were included from any country if published in English, with no restrictions on study design or quality.\n\n\n\nInclusion criteria: studies including patients who had a stroke (either actual patients ≥18 years or their records, any stroke type); studies including patients screened by health professionals including paramedics or technicians within the prehospital setting; data reported on prehospital diagnostic accuracy and/or symptoms present.\nExclusion criteria: non-stroke populations, studies including only stroke mimics, studies utilising prehospital screening tools to identify large vessel occlusion.\nReview methods Citations were screened independently by two researchers on title and then abstract. Any articles that met the inclusion criteria were read in full. Disagreements over the inclusion of any articles were discussed by members of the project steering group (SPJ, JMEG and CM). Backward and forward citation searches were performed to identify further studies and to test the quality of the search strategy.\nCitations were screened independently by two researchers on title and then abstract. Any articles that met the inclusion criteria were read in full. Disagreements over the inclusion of any articles were discussed by members of the project steering group (SPJ, JMEG and CM). Backward and forward citation searches were performed to identify further studies and to test the quality of the search strategy.\nAssessment of risk of bias in included studies Study quality was assessed using the Quality Assessment of Diagnostic Accuracy Studies V.2 (QUADAS-2) tool,9 comprising four domains: patient selection, index test, reference standard and flow and timing. We added the signalling question ‘is data collected prospectively or retrospectively’ within the patient selection domain. Any retrospective studies were categorised as high risk for the patient selection domain.\nStudy quality was assessed using the Quality Assessment of Diagnostic Accuracy Studies V.2 (QUADAS-2) tool,9 comprising four domains: patient selection, index test, reference standard and flow and timing. We added the signalling question ‘is data collected prospectively or retrospectively’ within the patient selection domain. Any retrospective studies were categorised as high risk for the patient selection domain.\nData extraction and management We designed a data extraction form that summarised the following characteristics: (1) Study detail (author, year of publication, study type, screening completed by, timing of data collection, screening tool used); (2) Patient characteristics (population, sample size, age, sex, stroke type, signs and symptoms of patients missed by the EMS recorded in prehospital and/or hospital records, hospital diagnosis of stroke); and (3) Study quality (patient selection, risk of bias and applicability).\nThe accuracy of data extraction was checked by a second independent extractor for all included studies. We contacted study authors for missing data but at the time of writing had not received any responses. The protocol for the review was registered on PROSPERO.10 The reporting of this review is in accordance with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses.11\n\nWe designed a data extraction form that summarised the following characteristics: (1) Study detail (author, year of publication, study type, screening completed by, timing of data collection, screening tool used); (2) Patient characteristics (population, sample size, age, sex, stroke type, signs and symptoms of patients missed by the EMS recorded in prehospital and/or hospital records, hospital diagnosis of stroke); and (3) Study quality (patient selection, risk of bias and applicability).\nThe accuracy of data extraction was checked by a second independent extractor for all included studies. We contacted study authors for missing data but at the time of writing had not received any responses. The protocol for the review was registered on PROSPERO.10 The reporting of this review is in accordance with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses.11\n\nAnalysis A priori it had been intended to perform a meta-analysis but due to heterogeneity between study settings, designs and screening tools used, the included studies have been described narratively. Results are reported as presented in the original studies, and no additional secondary analyses have been undertaken.\nA priori it had been intended to perform a meta-analysis but due to heterogeneity between study settings, designs and screening tools used, the included studies have been described narratively. Results are reported as presented in the original studies, and no additional secondary analyses have been undertaken.\nResults The search strategy initially identified 845 articles. Following screening of the title, abstract or complete article, 21 studies met the inclusion criteria (see figure 1). Across all 21 studies, the number of included stroke patients totalled 6934, ranging from 35 to 997. Studies took place in the following countries: 10 in the USA5 12–20; 3 in the UK21–23; 3 in Australia24–26; 2 in China,27 28 2 in Sweden29 30 and 1 in Canada.31 Of the 21 included studies, 11 reported limited data and included no information on age, sex or symptoms.\nFlow diagram.\nThe search strategy initially identified 845 articles. Following screening of the title, abstract or complete article, 21 studies met the inclusion criteria (see figure 1). Across all 21 studies, the number of included stroke patients totalled 6934, ranging from 35 to 997. Studies took place in the following countries: 10 in the USA5 12–20; 3 in the UK21–23; 3 in Australia24–26; 2 in China,27 28 2 in Sweden29 30 and 1 in Canada.31 Of the 21 included studies, 11 reported limited data and included no information on age, sex or symptoms.\nFlow diagram.\nStudy quality The studies’ overall quality can be seen in online supplemental file 2. Six studies were identified as having a low risk of bias across 4 domains of the QUADAS-2,12 24 26–28 31 although only four reported symptom data.12 24 26 27 The majority of studies had a low risk of bias in terms of the screening tool used, confirmed diagnosis of stroke or non-stroke, flow and timing of emergency screening and final diagnosis. Fourteen studies had a high risk of selection bias, 12 due to retrospective designs13–18 22 23 26 29–31; others due to select patient groups including: only patients who were transported to a specialist centre,21 participants defined by paramedic impression only19 and a convenience sample of patients presenting to the ED or inpatient neurology services.5\n\n\n\n\nThe studies’ overall quality can be seen in online supplemental file 2. Six studies were identified as having a low risk of bias across 4 domains of the QUADAS-2,12 24 26–28 31 although only four reported symptom data.12 24 26 27 The majority of studies had a low risk of bias in terms of the screening tool used, confirmed diagnosis of stroke or non-stroke, flow and timing of emergency screening and final diagnosis. Fourteen studies had a high risk of selection bias, 12 due to retrospective designs13–18 22 23 26 29–31; others due to select patient groups including: only patients who were transported to a specialist centre,21 participants defined by paramedic impression only19 and a convenience sample of patients presenting to the ED or inpatient neurology services.5\n\n\n\n\nFalse negative cases In all 21 studies, the number of false negative patients totalled 1774 (26%), ranging from 4 (2%) to 247 (52%). Only 10 of the 21 studies reported any further patient information. Details of the 10 studies with presentation of data describing a complete suspected stroke cohort are summarised in table 1. Symptom data are presented in table 2 and details of the remaining 11 studies in table 3. Of these 10 studies, the number of included stroke patients totalled 3012 of whom 868 (29%) were false negative, ranging from 4 (2%) to 282 (38%). Only five studies reported mean age or sex: in these studies, the mean age was 74.7 years and 57% of participants were female. Four studies reported specific stroke types, with the majority of false negative patients having ischaemic strokes, followed by primary intracerebral haemorrhage (41, 15%) and subarachnoid haemorrhage (15, 6%).\nStudy characteristics of 10 detailed studies\n*FAST (language, visual field, motor strength and gait)\nCPSS, Cincinnati Prehospital Stroke Scale; ED, Emergency Department; EMS, emergency medical service; FAST, Face Arm Speech Test; LAPSS, Los Angeles Prehospital Stroke Scale; MASS, Melbourne Ambulance Stroke Screen; NS, not stated; PICH, primary intracerebral haemorrhage; SAH, subarachnoid haemorrhage.\nFrequency (%) of all symptoms reported for false negative stroke patients\nStudy characteristics of 11 limited detail studies\nCPSS, Cincinnati Prehospital Stroke Scale; C-STAT, Cincinnati Stroke Triage Assessment Tool; EMS, emergency medical service; FAST, Face Arm Speech Test; MedPACS, Medic Prehospital Assessment for Code Stroke; NS, not stated; OPSS, Ontario Prehospital Stroke Screening; ROSIER, Recognition of Stroke in the Emergency Room; ROSIER, Recognition of Stroke in the Emergency Room; TIA, transient ischaemic attack.\nIn all 21 studies, the number of false negative patients totalled 1774 (26%), ranging from 4 (2%) to 247 (52%). Only 10 of the 21 studies reported any further patient information. Details of the 10 studies with presentation of data describing a complete suspected stroke cohort are summarised in table 1. Symptom data are presented in table 2 and details of the remaining 11 studies in table 3. Of these 10 studies, the number of included stroke patients totalled 3012 of whom 868 (29%) were false negative, ranging from 4 (2%) to 282 (38%). Only five studies reported mean age or sex: in these studies, the mean age was 74.7 years and 57% of participants were female. Four studies reported specific stroke types, with the majority of false negative patients having ischaemic strokes, followed by primary intracerebral haemorrhage (41, 15%) and subarachnoid haemorrhage (15, 6%).\nStudy characteristics of 10 detailed studies\n*FAST (language, visual field, motor strength and gait)\nCPSS, Cincinnati Prehospital Stroke Scale; ED, Emergency Department; EMS, emergency medical service; FAST, Face Arm Speech Test; LAPSS, Los Angeles Prehospital Stroke Scale; MASS, Melbourne Ambulance Stroke Screen; NS, not stated; PICH, primary intracerebral haemorrhage; SAH, subarachnoid haemorrhage.\nFrequency (%) of all symptoms reported for false negative stroke patients\nStudy characteristics of 11 limited detail studies\nCPSS, Cincinnati Prehospital Stroke Scale; C-STAT, Cincinnati Stroke Triage Assessment Tool; EMS, emergency medical service; FAST, Face Arm Speech Test; MedPACS, Medic Prehospital Assessment for Code Stroke; NS, not stated; OPSS, Ontario Prehospital Stroke Screening; ROSIER, Recognition of Stroke in the Emergency Room; ROSIER, Recognition of Stroke in the Emergency Room; TIA, transient ischaemic attack.\nUse of prehospital screening tools A range of stroke screening tools were used: the CPSS (five studies)5 13 14 18 20; the FAST (three studies)22 23 30; the Los Angeles Prehospital Stroke Scale (LAPSS) (two studies)12 27; the Melbourne Ambulance Stroke Screen (two studies).24 26 One study used each of the following: Cincinnati Stroke Triage Assessment Too19; the Ontario Prehospital Stroke Screening Too31; LAPSS and CPSS17; Medic Prehospital Assessment for Code Stroke and CPSS16; Recognition of Stroke in the Emergency Room (ROSIER) and FAST21; ROSIER and CPSS.28\n\nA range of stroke screening tools were used: the CPSS (five studies)5 13 14 18 20; the FAST (three studies)22 23 30; the Los Angeles Prehospital Stroke Scale (LAPSS) (two studies)12 27; the Melbourne Ambulance Stroke Screen (two studies).24 26 One study used each of the following: Cincinnati Stroke Triage Assessment Too19; the Ontario Prehospital Stroke Screening Too31; LAPSS and CPSS17; Medic Prehospital Assessment for Code Stroke and CPSS16; Recognition of Stroke in the Emergency Room (ROSIER) and FAST21; ROSIER and CPSS.28\n\nSymptoms experienced by the false negative stroke patients From the data available, it was not possible to determine whether symptoms were recorded by the EMS or identified later in hospital. In 10 studies reporting symptom data for false negative patients, the most commonly recorded were: speech problems (n=107; 13%–28%)20 25 26 29; nausea/vomiting (n=94; 8%–38%)18 20 26 29; dizziness (n=86; 23%–27%)5 18 20 26; visual disturbance/impairment (visual loss, diplopia or blurring) (n=43; 13%–29%)5 20 24 29 and changes in mental status (n=51; 8%–25%).5 15 18 20 26\n\nFrom the data available, it was not possible to determine whether symptoms were recorded by the EMS or identified later in hospital. In 10 studies reporting symptom data for false negative patients, the most commonly recorded were: speech problems (n=107; 13%–28%)20 25 26 29; nausea/vomiting (n=94; 8%–38%)18 20 26 29; dizziness (n=86; 23%–27%)5 18 20 26; visual disturbance/impairment (visual loss, diplopia or blurring) (n=43; 13%–29%)5 20 24 29 and changes in mental status (n=51; 8%–25%).5 15 18 20 26\n\nAcute clinical outcomes in false negative cases Of the 21 studies in total, only 8 (38%) reported any information in relation to management and treatment pathways. Five of these were undertaken between 1997 and 2009,5 12 26 31 all of which stated that false negative patients had minimal or atypical symptoms and would not have been candidates for thrombolysis based on protocols at the time. Three further studies took place between 2010 and 2019.20 23 29 In these studies, EMS-recognised strokes had significantly faster door-to-CT times (34.6 vs 84.7 min; p<0.001), but this did not translate into significantly higher rates of thrombolysis delivery (14.9% vs 4.4%; p=0.074). When patients were FAST-positive or a prealert was made, the median time from hospital arrival to CT request and scan was 39 and 57 min and 26 and 39 min, respectively, compared with medians of 120 and 155 min for FAST negative patients and 125 and 185 min for patients arriving at hospital without a prealert.23 One study reported that a pre-alert was made for only 11% of patients who had a stroke who were not identified by the EMS compared with 70% of stroke patients who were identified (p<0.001).29 Patients for whom the EMS did not identify stroke nor pre-alert the receiving centre had the longest time from ambulance call to first medical assessment in the Emergency Department (ED) at 87 min (68–147) and 52 min (45–73), respectively.25\n\nOf the 21 studies in total, only 8 (38%) reported any information in relation to management and treatment pathways. Five of these were undertaken between 1997 and 2009,5 12 26 31 all of which stated that false negative patients had minimal or atypical symptoms and would not have been candidates for thrombolysis based on protocols at the time. Three further studies took place between 2010 and 2019.20 23 29 In these studies, EMS-recognised strokes had significantly faster door-to-CT times (34.6 vs 84.7 min; p<0.001), but this did not translate into significantly higher rates of thrombolysis delivery (14.9% vs 4.4%; p=0.074). When patients were FAST-positive or a prealert was made, the median time from hospital arrival to CT request and scan was 39 and 57 min and 26 and 39 min, respectively, compared with medians of 120 and 155 min for FAST negative patients and 125 and 185 min for patients arriving at hospital without a prealert.23 One study reported that a pre-alert was made for only 11% of patients who had a stroke who were not identified by the EMS compared with 70% of stroke patients who were identified (p<0.001).29 Patients for whom the EMS did not identify stroke nor pre-alert the receiving centre had the longest time from ambulance call to first medical assessment in the Emergency Department (ED) at 87 min (68–147) and 52 min (45–73), respectively.25\n", "A search strategy was developed (online supplemental file 1), including the Medical Subject Heading terms stroke, EMS, paramedics, recognition and screening. The search strategy was adapted to search MEDLINE, EMBASE, CINAHL and PubMed from 1995 to August 2020. Studies were included from any country if published in English, with no restrictions on study design or quality.\n\n\n\nInclusion criteria: studies including patients who had a stroke (either actual patients ≥18 years or their records, any stroke type); studies including patients screened by health professionals including paramedics or technicians within the prehospital setting; data reported on prehospital diagnostic accuracy and/or symptoms present.\nExclusion criteria: non-stroke populations, studies including only stroke mimics, studies utilising prehospital screening tools to identify large vessel occlusion.", "Citations were screened independently by two researchers on title and then abstract. Any articles that met the inclusion criteria were read in full. Disagreements over the inclusion of any articles were discussed by members of the project steering group (SPJ, JMEG and CM). Backward and forward citation searches were performed to identify further studies and to test the quality of the search strategy.", "Study quality was assessed using the Quality Assessment of Diagnostic Accuracy Studies V.2 (QUADAS-2) tool,9 comprising four domains: patient selection, index test, reference standard and flow and timing. We added the signalling question ‘is data collected prospectively or retrospectively’ within the patient selection domain. Any retrospective studies were categorised as high risk for the patient selection domain.", "We designed a data extraction form that summarised the following characteristics: (1) Study detail (author, year of publication, study type, screening completed by, timing of data collection, screening tool used); (2) Patient characteristics (population, sample size, age, sex, stroke type, signs and symptoms of patients missed by the EMS recorded in prehospital and/or hospital records, hospital diagnosis of stroke); and (3) Study quality (patient selection, risk of bias and applicability).\nThe accuracy of data extraction was checked by a second independent extractor for all included studies. We contacted study authors for missing data but at the time of writing had not received any responses. The protocol for the review was registered on PROSPERO.10 The reporting of this review is in accordance with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses.11\n", "A priori it had been intended to perform a meta-analysis but due to heterogeneity between study settings, designs and screening tools used, the included studies have been described narratively. Results are reported as presented in the original studies, and no additional secondary analyses have been undertaken.", "The search strategy initially identified 845 articles. Following screening of the title, abstract or complete article, 21 studies met the inclusion criteria (see figure 1). Across all 21 studies, the number of included stroke patients totalled 6934, ranging from 35 to 997. Studies took place in the following countries: 10 in the USA5 12–20; 3 in the UK21–23; 3 in Australia24–26; 2 in China,27 28 2 in Sweden29 30 and 1 in Canada.31 Of the 21 included studies, 11 reported limited data and included no information on age, sex or symptoms.\nFlow diagram.", "The studies’ overall quality can be seen in online supplemental file 2. Six studies were identified as having a low risk of bias across 4 domains of the QUADAS-2,12 24 26–28 31 although only four reported symptom data.12 24 26 27 The majority of studies had a low risk of bias in terms of the screening tool used, confirmed diagnosis of stroke or non-stroke, flow and timing of emergency screening and final diagnosis. Fourteen studies had a high risk of selection bias, 12 due to retrospective designs13–18 22 23 26 29–31; others due to select patient groups including: only patients who were transported to a specialist centre,21 participants defined by paramedic impression only19 and a convenience sample of patients presenting to the ED or inpatient neurology services.5\n\n\n\n", "In all 21 studies, the number of false negative patients totalled 1774 (26%), ranging from 4 (2%) to 247 (52%). Only 10 of the 21 studies reported any further patient information. Details of the 10 studies with presentation of data describing a complete suspected stroke cohort are summarised in table 1. Symptom data are presented in table 2 and details of the remaining 11 studies in table 3. Of these 10 studies, the number of included stroke patients totalled 3012 of whom 868 (29%) were false negative, ranging from 4 (2%) to 282 (38%). Only five studies reported mean age or sex: in these studies, the mean age was 74.7 years and 57% of participants were female. Four studies reported specific stroke types, with the majority of false negative patients having ischaemic strokes, followed by primary intracerebral haemorrhage (41, 15%) and subarachnoid haemorrhage (15, 6%).\nStudy characteristics of 10 detailed studies\n*FAST (language, visual field, motor strength and gait)\nCPSS, Cincinnati Prehospital Stroke Scale; ED, Emergency Department; EMS, emergency medical service; FAST, Face Arm Speech Test; LAPSS, Los Angeles Prehospital Stroke Scale; MASS, Melbourne Ambulance Stroke Screen; NS, not stated; PICH, primary intracerebral haemorrhage; SAH, subarachnoid haemorrhage.\nFrequency (%) of all symptoms reported for false negative stroke patients\nStudy characteristics of 11 limited detail studies\nCPSS, Cincinnati Prehospital Stroke Scale; C-STAT, Cincinnati Stroke Triage Assessment Tool; EMS, emergency medical service; FAST, Face Arm Speech Test; MedPACS, Medic Prehospital Assessment for Code Stroke; NS, not stated; OPSS, Ontario Prehospital Stroke Screening; ROSIER, Recognition of Stroke in the Emergency Room; ROSIER, Recognition of Stroke in the Emergency Room; TIA, transient ischaemic attack.", "A range of stroke screening tools were used: the CPSS (five studies)5 13 14 18 20; the FAST (three studies)22 23 30; the Los Angeles Prehospital Stroke Scale (LAPSS) (two studies)12 27; the Melbourne Ambulance Stroke Screen (two studies).24 26 One study used each of the following: Cincinnati Stroke Triage Assessment Too19; the Ontario Prehospital Stroke Screening Too31; LAPSS and CPSS17; Medic Prehospital Assessment for Code Stroke and CPSS16; Recognition of Stroke in the Emergency Room (ROSIER) and FAST21; ROSIER and CPSS.28\n", "From the data available, it was not possible to determine whether symptoms were recorded by the EMS or identified later in hospital. In 10 studies reporting symptom data for false negative patients, the most commonly recorded were: speech problems (n=107; 13%–28%)20 25 26 29; nausea/vomiting (n=94; 8%–38%)18 20 26 29; dizziness (n=86; 23%–27%)5 18 20 26; visual disturbance/impairment (visual loss, diplopia or blurring) (n=43; 13%–29%)5 20 24 29 and changes in mental status (n=51; 8%–25%).5 15 18 20 26\n", "Of the 21 studies in total, only 8 (38%) reported any information in relation to management and treatment pathways. Five of these were undertaken between 1997 and 2009,5 12 26 31 all of which stated that false negative patients had minimal or atypical symptoms and would not have been candidates for thrombolysis based on protocols at the time. Three further studies took place between 2010 and 2019.20 23 29 In these studies, EMS-recognised strokes had significantly faster door-to-CT times (34.6 vs 84.7 min; p<0.001), but this did not translate into significantly higher rates of thrombolysis delivery (14.9% vs 4.4%; p=0.074). When patients were FAST-positive or a prealert was made, the median time from hospital arrival to CT request and scan was 39 and 57 min and 26 and 39 min, respectively, compared with medians of 120 and 155 min for FAST negative patients and 125 and 185 min for patients arriving at hospital without a prealert.23 One study reported that a pre-alert was made for only 11% of patients who had a stroke who were not identified by the EMS compared with 70% of stroke patients who were identified (p<0.001).29 Patients for whom the EMS did not identify stroke nor pre-alert the receiving centre had the longest time from ambulance call to first medical assessment in the Emergency Department (ED) at 87 min (68–147) and 52 min (45–73), respectively.25\n", "This is the first review that has systematically synthesised the research evidence identifying the signs and symptoms of patients who had a stroke who were not initially identified by the EMS. Across 21 studies, 26% of patients who had a stroke were not recognised by the EMS, ranging from between 2% and 52% of stroke presentations not identified in the prehospital setting. It should be noted that study quality and size varied considerably, with even studies using the same screening tools reporting substantial differences in the proportion of false negative patients.13 14\n\nEMS identification of patients who had a stroke enables patients to access the stroke pathway at the earliest opportunity, which expedites, where indicated, a prealert to the receiving hospital and subsequent transfer to a specialist centre. Research suggests that patients who had a stroke who are prealerted to the receiving hospital have significantly reduced times from onset to hospital arrival and specialist assessment, leading to higher thrombolysis rates and better outcomes.23\n\nAlthough a total of 30 different stroke symptoms were reported across 10 studies, the most common symptoms among false negative patients were speech problems, nausea/vomiting, dizziness, changes in mental status and visual disturbance/impairment. While in some cases, individual patient presentations can hinder assessment, it is surprising that patients who had a stroke with speech problems are so often misidentified by the EMS, especially given that speech problems are the most commonly reported stroke symptom of patients and callers to the EMS for suspected stroke.26 32 33 In studies using prehospital screening tools, the majority of tools, including the widely used FAST test, include assessment of speech (excluding LAPSS and C-STAT). It may be challenging to identify milder speech problems, especially in patients presenting with confusion or where the history is not clear, in the prehospital setting. It is also possible that for some patients in the included studies, their speech problems were not present on initial assessment and evolved only after hospital admission.\nNausea/vomiting occurs in around 20% of acute stroke patients, most frequently in those with vertebrobasilar stroke. One ambulance service in the UK has recently added nausea/vomiting to their prehospital screening tool for stroke, which also includes vertigo, visual problems and ataxia.34 The impact of this on the specificity of EMS stroke identification is unknown but may be considerable given that nausea/vomiting is a common symptom across a range of acute illnesses.\nDizziness is one of the most commonly reported symptoms in cerebellar stroke, occurring in up to three-quarters of patients. The term dizziness is non-specific but may be used to describe vertigo and presyncope. Although other focal neurological symptoms may accompany dizziness, dizziness alone presents in fewer than 1% of all patients who had a stroke.35 In a recent retrospective analysis of National Institutes of Health Stroke Scale data, the addition of balance (defined as gait imbalance or leg weakness) and visual symptoms (visual loss and diplopia) to FAST symptoms would have improved recognition of stroke from 86% to 96% (p<0.0001).36 Similarly, in another study, the addition of ataxia or visual symptoms to the FAST would have increased sensitivity from 61% to 80% (p<0.001) and 82% (p<0.001), respectively37; and in a further study of patients with posterior circulation stroke, FAST combined with ataxia and visual disturbance or blindness would have improved sensitivity from 70% to 84%.22 However, these studies preclude any estimate of specificity because they were limited to patients with confirmed stroke22 36 37; further, sample sizes were small23 and retrospective designs were used.22 37 In a further study aiming to increasing sensitivity to posterior circulation stroke, balance and eyes were added to the FAST (BEFAST). The Balance component of the BEFAST scale was scored by finger-to-nose testing and the Eyes component by assessing for diplopia using finger tracking. However, the addition of these additional symptoms did not improve stroke recognition.38 Stroke-related visual problems also occur commonly during posterior circulation stroke but are challenging to recognise for both health professionals and patients and only around 20% of patients who had a stroke presenting predominantly with visual symptoms contact the EMS. While EMS identification of visual disturbance/impairment may be feasible, agreement would be needed around which visual problems should be assessed, how and by whom.\nFive studies reported changes in mental status, ranging from 8% to 25%.5 15 18 20 26 Mental status was largely undefined in these studies but may include a range of symptoms: confusion, delirium, altered orientation and memory are more common in older patients, those with pre-existing cognitive impairments and underlying infections. While changes in mental status occur in up to one-third of patients who had a stroke, stroke is a rare cause (<3%) of isolated changes in mental status.\nAlthough limited data were reported regarding patient eligibility for thrombolysis, recent research suggests that EMS-recognised strokes are more likely to be prealerted to hospital29; are assessed more rapidly in the ED25; have faster door-to-CT times20 23 and a greater likelihood of thrombolysis.20 Further research is needed to explore the impact of a missed prehospital diagnosis on eligibility for time-dependent stroke treatments and on patient outcomes.\nThere were a number of limitations of the studies included. The majority of studies involved the validation or performance of prehospital stroke screening tools, entailed specialist training, and were mainly undertaken in selected groups of patients with confirmed or suspected stroke/TIA. Therefore, screening might only have been completed in patients for whom the EMS clinician already had a high index of suspicion for stroke and their subsequent labelling of stroke was determined by a clinical protocol. It was not clear in any of the studies whether symptom data had been recorded by the EMS or whether symptoms had been completely missed by the EMS and only recorded in hospital. Fourteen of the 21 included studies were at high risk of selection bias mainly due to retrospective data collection, which may have resulted in not all relevant patient symptoms being recorded; the majority of studies were conducted in single EMS and hospital centres. Study quality and size varied considerably and there was a lack of reported data, limiting the generalisability of study findings. Only four studies reported stroke type. Of these, although three studies reported symptoms for all false negative patients, these were not reported by stroke subtype. It is unknown whether false negatives have the same proportion of ICH and ischaemic strokes as the standard stroke population, or whether there are factors to do with symptom recognition which made affect this balance, for example, change in conscious level. A further limitation of the review was the inclusion only of studies that were published in English. Although we contacted authors for further information, at the time of writing no responses had been received. Some studies were excluded where the characteristics of false negative patients and patients with stroke mimics were not reported separately. As this review focused on the emergency assessment of stroke patients in prehospital settings, there may be other studies not included in this review that have reported data on false negative stroke patients. Eleven further papers reported the numbers of false negative patients but very little other data. Previous research has highlighted the failure of studies to identify and report false negative stroke patients, particularly in studies which involve the selection and transportation of patients to specialist stroke centres.39 It is important that future research studies which include false negative patients report more detail about this population to further understand their characteristics, the symptoms they experienced and any impact on patient outcomes.\nWhile it may not be possible for EMS personnel to identify all stroke patients without reducing specificity, ongoing research in selected patients is exploring the use of point-of-care diagnostics. A range of diagnostic techniques are currently in development, but none are currently used routinely in practice.40 Therefore, the recognition of suspected patients who had a stroke with the triaging of patients who present with stroke mimics and associated overuse of high priority EMS resources will continue to be challenging for the EMS.", "Stroke presentations that are most frequently missed by the EMS commonly include symptoms of: speech problems, nausea/vomiting, dizziness, changes in mental status and visual disturbance/impairment. However, the addition of further symptoms to stroke screening tools would require evaluation of their sensitivity and specificity, any associated training needs, and the impact on EMS resource use. Despite the inclusion of speech symptoms in most prehospital screening tools, this symptom is often overlooked and the reasons for this may need to be explored further." ]
[ null, "methods", null, null, null, null, null, null, null, null, null, null, null, "discussion", "conclusions" ]
[ "stroke", "pre-hospital", "diagnosis" ]
Background: Worldwide, each year approximately 20 million people experience a stroke, of whom 5 million will die and 5 million will be disabled by their stroke.1 Accurate, early recognition is necessary to maximise benefits of hyperacute treatment with intravenous thrombolysis and/or mechanical thrombectomy, where indicated and early specialist multidisciplinary care.2 3 With up to 70% of patients who had a stroke accessing the emergency medical services (EMS),4 the efficiency of the ‘stroke chain of survival’ relies heavily on the accuracy and timeliness of EMS identification of stroke symptoms and the ability to distinguish between stroke and non-stroke cases. The use of screening tools to identify stroke by the EMS is recommended internationally including in guidelines for Australia, New Zealand, Europe and the USA. The majority of prehospital screening tools feature assessments for the most common stroke symptoms, as first reported in the Cincinnati Prehospital Stroke Scale (CPSS), also known as the Face Arm Speech Test (FAST).5 However, the accuracy of prehospital screening tools varies: sensitivity is reported ranging from 44% to 97% and specificity from 13% to 92%.6 The diverse nature of less common stroke symptoms such as visual disturbance, confusion and loss of balance can make correct identification challenging, particularly as up to 25% of patients who had a stroke do not present with symptoms commonly featured in screening tools.7 To date, there has not been an overview describing which symptoms are most common among patients who are not identified by the EMS, and there is currently no consensus about whether to assess symptoms with reduced specificity for stroke. Without screening tools and training to improve the identification of patients with less common stroke symptoms, inequity of available stroke care for patients will remain, particularly for patients with posterior stroke.8 The aim of this systematic review was to identify the characteristics of acute stroke presentations associated with inaccurate EMS identification (false negatives). Research objectives were to identify what proportion of patients who had a stroke are not identified by EMS/prehospital tools, to examine any differences in outcomes between false negative cases and those which are correctly identified, and to explore which symptoms are most commonly present in false negative cases. Methods: Search strategy and study selection A search strategy was developed (online supplemental file 1), including the Medical Subject Heading terms stroke, EMS, paramedics, recognition and screening. The search strategy was adapted to search MEDLINE, EMBASE, CINAHL and PubMed from 1995 to August 2020. Studies were included from any country if published in English, with no restrictions on study design or quality. Inclusion criteria: studies including patients who had a stroke (either actual patients ≥18 years or their records, any stroke type); studies including patients screened by health professionals including paramedics or technicians within the prehospital setting; data reported on prehospital diagnostic accuracy and/or symptoms present. Exclusion criteria: non-stroke populations, studies including only stroke mimics, studies utilising prehospital screening tools to identify large vessel occlusion. A search strategy was developed (online supplemental file 1), including the Medical Subject Heading terms stroke, EMS, paramedics, recognition and screening. The search strategy was adapted to search MEDLINE, EMBASE, CINAHL and PubMed from 1995 to August 2020. Studies were included from any country if published in English, with no restrictions on study design or quality. Inclusion criteria: studies including patients who had a stroke (either actual patients ≥18 years or their records, any stroke type); studies including patients screened by health professionals including paramedics or technicians within the prehospital setting; data reported on prehospital diagnostic accuracy and/or symptoms present. Exclusion criteria: non-stroke populations, studies including only stroke mimics, studies utilising prehospital screening tools to identify large vessel occlusion. Review methods Citations were screened independently by two researchers on title and then abstract. Any articles that met the inclusion criteria were read in full. Disagreements over the inclusion of any articles were discussed by members of the project steering group (SPJ, JMEG and CM). Backward and forward citation searches were performed to identify further studies and to test the quality of the search strategy. Citations were screened independently by two researchers on title and then abstract. Any articles that met the inclusion criteria were read in full. Disagreements over the inclusion of any articles were discussed by members of the project steering group (SPJ, JMEG and CM). Backward and forward citation searches were performed to identify further studies and to test the quality of the search strategy. Assessment of risk of bias in included studies Study quality was assessed using the Quality Assessment of Diagnostic Accuracy Studies V.2 (QUADAS-2) tool,9 comprising four domains: patient selection, index test, reference standard and flow and timing. We added the signalling question ‘is data collected prospectively or retrospectively’ within the patient selection domain. Any retrospective studies were categorised as high risk for the patient selection domain. Study quality was assessed using the Quality Assessment of Diagnostic Accuracy Studies V.2 (QUADAS-2) tool,9 comprising four domains: patient selection, index test, reference standard and flow and timing. We added the signalling question ‘is data collected prospectively or retrospectively’ within the patient selection domain. Any retrospective studies were categorised as high risk for the patient selection domain. Data extraction and management We designed a data extraction form that summarised the following characteristics: (1) Study detail (author, year of publication, study type, screening completed by, timing of data collection, screening tool used); (2) Patient characteristics (population, sample size, age, sex, stroke type, signs and symptoms of patients missed by the EMS recorded in prehospital and/or hospital records, hospital diagnosis of stroke); and (3) Study quality (patient selection, risk of bias and applicability). The accuracy of data extraction was checked by a second independent extractor for all included studies. We contacted study authors for missing data but at the time of writing had not received any responses. The protocol for the review was registered on PROSPERO.10 The reporting of this review is in accordance with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses.11 We designed a data extraction form that summarised the following characteristics: (1) Study detail (author, year of publication, study type, screening completed by, timing of data collection, screening tool used); (2) Patient characteristics (population, sample size, age, sex, stroke type, signs and symptoms of patients missed by the EMS recorded in prehospital and/or hospital records, hospital diagnosis of stroke); and (3) Study quality (patient selection, risk of bias and applicability). The accuracy of data extraction was checked by a second independent extractor for all included studies. We contacted study authors for missing data but at the time of writing had not received any responses. The protocol for the review was registered on PROSPERO.10 The reporting of this review is in accordance with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses.11 Analysis A priori it had been intended to perform a meta-analysis but due to heterogeneity between study settings, designs and screening tools used, the included studies have been described narratively. Results are reported as presented in the original studies, and no additional secondary analyses have been undertaken. A priori it had been intended to perform a meta-analysis but due to heterogeneity between study settings, designs and screening tools used, the included studies have been described narratively. Results are reported as presented in the original studies, and no additional secondary analyses have been undertaken. Results The search strategy initially identified 845 articles. Following screening of the title, abstract or complete article, 21 studies met the inclusion criteria (see figure 1). Across all 21 studies, the number of included stroke patients totalled 6934, ranging from 35 to 997. Studies took place in the following countries: 10 in the USA5 12–20; 3 in the UK21–23; 3 in Australia24–26; 2 in China,27 28 2 in Sweden29 30 and 1 in Canada.31 Of the 21 included studies, 11 reported limited data and included no information on age, sex or symptoms. Flow diagram. The search strategy initially identified 845 articles. Following screening of the title, abstract or complete article, 21 studies met the inclusion criteria (see figure 1). Across all 21 studies, the number of included stroke patients totalled 6934, ranging from 35 to 997. Studies took place in the following countries: 10 in the USA5 12–20; 3 in the UK21–23; 3 in Australia24–26; 2 in China,27 28 2 in Sweden29 30 and 1 in Canada.31 Of the 21 included studies, 11 reported limited data and included no information on age, sex or symptoms. Flow diagram. Study quality The studies’ overall quality can be seen in online supplemental file 2. Six studies were identified as having a low risk of bias across 4 domains of the QUADAS-2,12 24 26–28 31 although only four reported symptom data.12 24 26 27 The majority of studies had a low risk of bias in terms of the screening tool used, confirmed diagnosis of stroke or non-stroke, flow and timing of emergency screening and final diagnosis. Fourteen studies had a high risk of selection bias, 12 due to retrospective designs13–18 22 23 26 29–31; others due to select patient groups including: only patients who were transported to a specialist centre,21 participants defined by paramedic impression only19 and a convenience sample of patients presenting to the ED or inpatient neurology services.5 The studies’ overall quality can be seen in online supplemental file 2. Six studies were identified as having a low risk of bias across 4 domains of the QUADAS-2,12 24 26–28 31 although only four reported symptom data.12 24 26 27 The majority of studies had a low risk of bias in terms of the screening tool used, confirmed diagnosis of stroke or non-stroke, flow and timing of emergency screening and final diagnosis. Fourteen studies had a high risk of selection bias, 12 due to retrospective designs13–18 22 23 26 29–31; others due to select patient groups including: only patients who were transported to a specialist centre,21 participants defined by paramedic impression only19 and a convenience sample of patients presenting to the ED or inpatient neurology services.5 False negative cases In all 21 studies, the number of false negative patients totalled 1774 (26%), ranging from 4 (2%) to 247 (52%). Only 10 of the 21 studies reported any further patient information. Details of the 10 studies with presentation of data describing a complete suspected stroke cohort are summarised in table 1. Symptom data are presented in table 2 and details of the remaining 11 studies in table 3. Of these 10 studies, the number of included stroke patients totalled 3012 of whom 868 (29%) were false negative, ranging from 4 (2%) to 282 (38%). Only five studies reported mean age or sex: in these studies, the mean age was 74.7 years and 57% of participants were female. Four studies reported specific stroke types, with the majority of false negative patients having ischaemic strokes, followed by primary intracerebral haemorrhage (41, 15%) and subarachnoid haemorrhage (15, 6%). Study characteristics of 10 detailed studies *FAST (language, visual field, motor strength and gait) CPSS, Cincinnati Prehospital Stroke Scale; ED, Emergency Department; EMS, emergency medical service; FAST, Face Arm Speech Test; LAPSS, Los Angeles Prehospital Stroke Scale; MASS, Melbourne Ambulance Stroke Screen; NS, not stated; PICH, primary intracerebral haemorrhage; SAH, subarachnoid haemorrhage. Frequency (%) of all symptoms reported for false negative stroke patients Study characteristics of 11 limited detail studies CPSS, Cincinnati Prehospital Stroke Scale; C-STAT, Cincinnati Stroke Triage Assessment Tool; EMS, emergency medical service; FAST, Face Arm Speech Test; MedPACS, Medic Prehospital Assessment for Code Stroke; NS, not stated; OPSS, Ontario Prehospital Stroke Screening; ROSIER, Recognition of Stroke in the Emergency Room; ROSIER, Recognition of Stroke in the Emergency Room; TIA, transient ischaemic attack. In all 21 studies, the number of false negative patients totalled 1774 (26%), ranging from 4 (2%) to 247 (52%). Only 10 of the 21 studies reported any further patient information. Details of the 10 studies with presentation of data describing a complete suspected stroke cohort are summarised in table 1. Symptom data are presented in table 2 and details of the remaining 11 studies in table 3. Of these 10 studies, the number of included stroke patients totalled 3012 of whom 868 (29%) were false negative, ranging from 4 (2%) to 282 (38%). Only five studies reported mean age or sex: in these studies, the mean age was 74.7 years and 57% of participants were female. Four studies reported specific stroke types, with the majority of false negative patients having ischaemic strokes, followed by primary intracerebral haemorrhage (41, 15%) and subarachnoid haemorrhage (15, 6%). Study characteristics of 10 detailed studies *FAST (language, visual field, motor strength and gait) CPSS, Cincinnati Prehospital Stroke Scale; ED, Emergency Department; EMS, emergency medical service; FAST, Face Arm Speech Test; LAPSS, Los Angeles Prehospital Stroke Scale; MASS, Melbourne Ambulance Stroke Screen; NS, not stated; PICH, primary intracerebral haemorrhage; SAH, subarachnoid haemorrhage. Frequency (%) of all symptoms reported for false negative stroke patients Study characteristics of 11 limited detail studies CPSS, Cincinnati Prehospital Stroke Scale; C-STAT, Cincinnati Stroke Triage Assessment Tool; EMS, emergency medical service; FAST, Face Arm Speech Test; MedPACS, Medic Prehospital Assessment for Code Stroke; NS, not stated; OPSS, Ontario Prehospital Stroke Screening; ROSIER, Recognition of Stroke in the Emergency Room; ROSIER, Recognition of Stroke in the Emergency Room; TIA, transient ischaemic attack. Use of prehospital screening tools A range of stroke screening tools were used: the CPSS (five studies)5 13 14 18 20; the FAST (three studies)22 23 30; the Los Angeles Prehospital Stroke Scale (LAPSS) (two studies)12 27; the Melbourne Ambulance Stroke Screen (two studies).24 26 One study used each of the following: Cincinnati Stroke Triage Assessment Too19; the Ontario Prehospital Stroke Screening Too31; LAPSS and CPSS17; Medic Prehospital Assessment for Code Stroke and CPSS16; Recognition of Stroke in the Emergency Room (ROSIER) and FAST21; ROSIER and CPSS.28 A range of stroke screening tools were used: the CPSS (five studies)5 13 14 18 20; the FAST (three studies)22 23 30; the Los Angeles Prehospital Stroke Scale (LAPSS) (two studies)12 27; the Melbourne Ambulance Stroke Screen (two studies).24 26 One study used each of the following: Cincinnati Stroke Triage Assessment Too19; the Ontario Prehospital Stroke Screening Too31; LAPSS and CPSS17; Medic Prehospital Assessment for Code Stroke and CPSS16; Recognition of Stroke in the Emergency Room (ROSIER) and FAST21; ROSIER and CPSS.28 Symptoms experienced by the false negative stroke patients From the data available, it was not possible to determine whether symptoms were recorded by the EMS or identified later in hospital. In 10 studies reporting symptom data for false negative patients, the most commonly recorded were: speech problems (n=107; 13%–28%)20 25 26 29; nausea/vomiting (n=94; 8%–38%)18 20 26 29; dizziness (n=86; 23%–27%)5 18 20 26; visual disturbance/impairment (visual loss, diplopia or blurring) (n=43; 13%–29%)5 20 24 29 and changes in mental status (n=51; 8%–25%).5 15 18 20 26 From the data available, it was not possible to determine whether symptoms were recorded by the EMS or identified later in hospital. In 10 studies reporting symptom data for false negative patients, the most commonly recorded were: speech problems (n=107; 13%–28%)20 25 26 29; nausea/vomiting (n=94; 8%–38%)18 20 26 29; dizziness (n=86; 23%–27%)5 18 20 26; visual disturbance/impairment (visual loss, diplopia or blurring) (n=43; 13%–29%)5 20 24 29 and changes in mental status (n=51; 8%–25%).5 15 18 20 26 Acute clinical outcomes in false negative cases Of the 21 studies in total, only 8 (38%) reported any information in relation to management and treatment pathways. Five of these were undertaken between 1997 and 2009,5 12 26 31 all of which stated that false negative patients had minimal or atypical symptoms and would not have been candidates for thrombolysis based on protocols at the time. Three further studies took place between 2010 and 2019.20 23 29 In these studies, EMS-recognised strokes had significantly faster door-to-CT times (34.6 vs 84.7 min; p<0.001), but this did not translate into significantly higher rates of thrombolysis delivery (14.9% vs 4.4%; p=0.074). When patients were FAST-positive or a prealert was made, the median time from hospital arrival to CT request and scan was 39 and 57 min and 26 and 39 min, respectively, compared with medians of 120 and 155 min for FAST negative patients and 125 and 185 min for patients arriving at hospital without a prealert.23 One study reported that a pre-alert was made for only 11% of patients who had a stroke who were not identified by the EMS compared with 70% of stroke patients who were identified (p<0.001).29 Patients for whom the EMS did not identify stroke nor pre-alert the receiving centre had the longest time from ambulance call to first medical assessment in the Emergency Department (ED) at 87 min (68–147) and 52 min (45–73), respectively.25 Of the 21 studies in total, only 8 (38%) reported any information in relation to management and treatment pathways. Five of these were undertaken between 1997 and 2009,5 12 26 31 all of which stated that false negative patients had minimal or atypical symptoms and would not have been candidates for thrombolysis based on protocols at the time. Three further studies took place between 2010 and 2019.20 23 29 In these studies, EMS-recognised strokes had significantly faster door-to-CT times (34.6 vs 84.7 min; p<0.001), but this did not translate into significantly higher rates of thrombolysis delivery (14.9% vs 4.4%; p=0.074). When patients were FAST-positive or a prealert was made, the median time from hospital arrival to CT request and scan was 39 and 57 min and 26 and 39 min, respectively, compared with medians of 120 and 155 min for FAST negative patients and 125 and 185 min for patients arriving at hospital without a prealert.23 One study reported that a pre-alert was made for only 11% of patients who had a stroke who were not identified by the EMS compared with 70% of stroke patients who were identified (p<0.001).29 Patients for whom the EMS did not identify stroke nor pre-alert the receiving centre had the longest time from ambulance call to first medical assessment in the Emergency Department (ED) at 87 min (68–147) and 52 min (45–73), respectively.25 Search strategy and study selection: A search strategy was developed (online supplemental file 1), including the Medical Subject Heading terms stroke, EMS, paramedics, recognition and screening. The search strategy was adapted to search MEDLINE, EMBASE, CINAHL and PubMed from 1995 to August 2020. Studies were included from any country if published in English, with no restrictions on study design or quality. Inclusion criteria: studies including patients who had a stroke (either actual patients ≥18 years or their records, any stroke type); studies including patients screened by health professionals including paramedics or technicians within the prehospital setting; data reported on prehospital diagnostic accuracy and/or symptoms present. Exclusion criteria: non-stroke populations, studies including only stroke mimics, studies utilising prehospital screening tools to identify large vessel occlusion. Review methods: Citations were screened independently by two researchers on title and then abstract. Any articles that met the inclusion criteria were read in full. Disagreements over the inclusion of any articles were discussed by members of the project steering group (SPJ, JMEG and CM). Backward and forward citation searches were performed to identify further studies and to test the quality of the search strategy. Assessment of risk of bias in included studies: Study quality was assessed using the Quality Assessment of Diagnostic Accuracy Studies V.2 (QUADAS-2) tool,9 comprising four domains: patient selection, index test, reference standard and flow and timing. We added the signalling question ‘is data collected prospectively or retrospectively’ within the patient selection domain. Any retrospective studies were categorised as high risk for the patient selection domain. Data extraction and management: We designed a data extraction form that summarised the following characteristics: (1) Study detail (author, year of publication, study type, screening completed by, timing of data collection, screening tool used); (2) Patient characteristics (population, sample size, age, sex, stroke type, signs and symptoms of patients missed by the EMS recorded in prehospital and/or hospital records, hospital diagnosis of stroke); and (3) Study quality (patient selection, risk of bias and applicability). The accuracy of data extraction was checked by a second independent extractor for all included studies. We contacted study authors for missing data but at the time of writing had not received any responses. The protocol for the review was registered on PROSPERO.10 The reporting of this review is in accordance with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses.11 Analysis: A priori it had been intended to perform a meta-analysis but due to heterogeneity between study settings, designs and screening tools used, the included studies have been described narratively. Results are reported as presented in the original studies, and no additional secondary analyses have been undertaken. Results: The search strategy initially identified 845 articles. Following screening of the title, abstract or complete article, 21 studies met the inclusion criteria (see figure 1). Across all 21 studies, the number of included stroke patients totalled 6934, ranging from 35 to 997. Studies took place in the following countries: 10 in the USA5 12–20; 3 in the UK21–23; 3 in Australia24–26; 2 in China,27 28 2 in Sweden29 30 and 1 in Canada.31 Of the 21 included studies, 11 reported limited data and included no information on age, sex or symptoms. Flow diagram. Study quality: The studies’ overall quality can be seen in online supplemental file 2. Six studies were identified as having a low risk of bias across 4 domains of the QUADAS-2,12 24 26–28 31 although only four reported symptom data.12 24 26 27 The majority of studies had a low risk of bias in terms of the screening tool used, confirmed diagnosis of stroke or non-stroke, flow and timing of emergency screening and final diagnosis. Fourteen studies had a high risk of selection bias, 12 due to retrospective designs13–18 22 23 26 29–31; others due to select patient groups including: only patients who were transported to a specialist centre,21 participants defined by paramedic impression only19 and a convenience sample of patients presenting to the ED or inpatient neurology services.5 False negative cases: In all 21 studies, the number of false negative patients totalled 1774 (26%), ranging from 4 (2%) to 247 (52%). Only 10 of the 21 studies reported any further patient information. Details of the 10 studies with presentation of data describing a complete suspected stroke cohort are summarised in table 1. Symptom data are presented in table 2 and details of the remaining 11 studies in table 3. Of these 10 studies, the number of included stroke patients totalled 3012 of whom 868 (29%) were false negative, ranging from 4 (2%) to 282 (38%). Only five studies reported mean age or sex: in these studies, the mean age was 74.7 years and 57% of participants were female. Four studies reported specific stroke types, with the majority of false negative patients having ischaemic strokes, followed by primary intracerebral haemorrhage (41, 15%) and subarachnoid haemorrhage (15, 6%). Study characteristics of 10 detailed studies *FAST (language, visual field, motor strength and gait) CPSS, Cincinnati Prehospital Stroke Scale; ED, Emergency Department; EMS, emergency medical service; FAST, Face Arm Speech Test; LAPSS, Los Angeles Prehospital Stroke Scale; MASS, Melbourne Ambulance Stroke Screen; NS, not stated; PICH, primary intracerebral haemorrhage; SAH, subarachnoid haemorrhage. Frequency (%) of all symptoms reported for false negative stroke patients Study characteristics of 11 limited detail studies CPSS, Cincinnati Prehospital Stroke Scale; C-STAT, Cincinnati Stroke Triage Assessment Tool; EMS, emergency medical service; FAST, Face Arm Speech Test; MedPACS, Medic Prehospital Assessment for Code Stroke; NS, not stated; OPSS, Ontario Prehospital Stroke Screening; ROSIER, Recognition of Stroke in the Emergency Room; ROSIER, Recognition of Stroke in the Emergency Room; TIA, transient ischaemic attack. Use of prehospital screening tools: A range of stroke screening tools were used: the CPSS (five studies)5 13 14 18 20; the FAST (three studies)22 23 30; the Los Angeles Prehospital Stroke Scale (LAPSS) (two studies)12 27; the Melbourne Ambulance Stroke Screen (two studies).24 26 One study used each of the following: Cincinnati Stroke Triage Assessment Too19; the Ontario Prehospital Stroke Screening Too31; LAPSS and CPSS17; Medic Prehospital Assessment for Code Stroke and CPSS16; Recognition of Stroke in the Emergency Room (ROSIER) and FAST21; ROSIER and CPSS.28 Symptoms experienced by the false negative stroke patients: From the data available, it was not possible to determine whether symptoms were recorded by the EMS or identified later in hospital. In 10 studies reporting symptom data for false negative patients, the most commonly recorded were: speech problems (n=107; 13%–28%)20 25 26 29; nausea/vomiting (n=94; 8%–38%)18 20 26 29; dizziness (n=86; 23%–27%)5 18 20 26; visual disturbance/impairment (visual loss, diplopia or blurring) (n=43; 13%–29%)5 20 24 29 and changes in mental status (n=51; 8%–25%).5 15 18 20 26 Acute clinical outcomes in false negative cases: Of the 21 studies in total, only 8 (38%) reported any information in relation to management and treatment pathways. Five of these were undertaken between 1997 and 2009,5 12 26 31 all of which stated that false negative patients had minimal or atypical symptoms and would not have been candidates for thrombolysis based on protocols at the time. Three further studies took place between 2010 and 2019.20 23 29 In these studies, EMS-recognised strokes had significantly faster door-to-CT times (34.6 vs 84.7 min; p<0.001), but this did not translate into significantly higher rates of thrombolysis delivery (14.9% vs 4.4%; p=0.074). When patients were FAST-positive or a prealert was made, the median time from hospital arrival to CT request and scan was 39 and 57 min and 26 and 39 min, respectively, compared with medians of 120 and 155 min for FAST negative patients and 125 and 185 min for patients arriving at hospital without a prealert.23 One study reported that a pre-alert was made for only 11% of patients who had a stroke who were not identified by the EMS compared with 70% of stroke patients who were identified (p<0.001).29 Patients for whom the EMS did not identify stroke nor pre-alert the receiving centre had the longest time from ambulance call to first medical assessment in the Emergency Department (ED) at 87 min (68–147) and 52 min (45–73), respectively.25 Discussion: This is the first review that has systematically synthesised the research evidence identifying the signs and symptoms of patients who had a stroke who were not initially identified by the EMS. Across 21 studies, 26% of patients who had a stroke were not recognised by the EMS, ranging from between 2% and 52% of stroke presentations not identified in the prehospital setting. It should be noted that study quality and size varied considerably, with even studies using the same screening tools reporting substantial differences in the proportion of false negative patients.13 14 EMS identification of patients who had a stroke enables patients to access the stroke pathway at the earliest opportunity, which expedites, where indicated, a prealert to the receiving hospital and subsequent transfer to a specialist centre. Research suggests that patients who had a stroke who are prealerted to the receiving hospital have significantly reduced times from onset to hospital arrival and specialist assessment, leading to higher thrombolysis rates and better outcomes.23 Although a total of 30 different stroke symptoms were reported across 10 studies, the most common symptoms among false negative patients were speech problems, nausea/vomiting, dizziness, changes in mental status and visual disturbance/impairment. While in some cases, individual patient presentations can hinder assessment, it is surprising that patients who had a stroke with speech problems are so often misidentified by the EMS, especially given that speech problems are the most commonly reported stroke symptom of patients and callers to the EMS for suspected stroke.26 32 33 In studies using prehospital screening tools, the majority of tools, including the widely used FAST test, include assessment of speech (excluding LAPSS and C-STAT). It may be challenging to identify milder speech problems, especially in patients presenting with confusion or where the history is not clear, in the prehospital setting. It is also possible that for some patients in the included studies, their speech problems were not present on initial assessment and evolved only after hospital admission. Nausea/vomiting occurs in around 20% of acute stroke patients, most frequently in those with vertebrobasilar stroke. One ambulance service in the UK has recently added nausea/vomiting to their prehospital screening tool for stroke, which also includes vertigo, visual problems and ataxia.34 The impact of this on the specificity of EMS stroke identification is unknown but may be considerable given that nausea/vomiting is a common symptom across a range of acute illnesses. Dizziness is one of the most commonly reported symptoms in cerebellar stroke, occurring in up to three-quarters of patients. The term dizziness is non-specific but may be used to describe vertigo and presyncope. Although other focal neurological symptoms may accompany dizziness, dizziness alone presents in fewer than 1% of all patients who had a stroke.35 In a recent retrospective analysis of National Institutes of Health Stroke Scale data, the addition of balance (defined as gait imbalance or leg weakness) and visual symptoms (visual loss and diplopia) to FAST symptoms would have improved recognition of stroke from 86% to 96% (p<0.0001).36 Similarly, in another study, the addition of ataxia or visual symptoms to the FAST would have increased sensitivity from 61% to 80% (p<0.001) and 82% (p<0.001), respectively37; and in a further study of patients with posterior circulation stroke, FAST combined with ataxia and visual disturbance or blindness would have improved sensitivity from 70% to 84%.22 However, these studies preclude any estimate of specificity because they were limited to patients with confirmed stroke22 36 37; further, sample sizes were small23 and retrospective designs were used.22 37 In a further study aiming to increasing sensitivity to posterior circulation stroke, balance and eyes were added to the FAST (BEFAST). The Balance component of the BEFAST scale was scored by finger-to-nose testing and the Eyes component by assessing for diplopia using finger tracking. However, the addition of these additional symptoms did not improve stroke recognition.38 Stroke-related visual problems also occur commonly during posterior circulation stroke but are challenging to recognise for both health professionals and patients and only around 20% of patients who had a stroke presenting predominantly with visual symptoms contact the EMS. While EMS identification of visual disturbance/impairment may be feasible, agreement would be needed around which visual problems should be assessed, how and by whom. Five studies reported changes in mental status, ranging from 8% to 25%.5 15 18 20 26 Mental status was largely undefined in these studies but may include a range of symptoms: confusion, delirium, altered orientation and memory are more common in older patients, those with pre-existing cognitive impairments and underlying infections. While changes in mental status occur in up to one-third of patients who had a stroke, stroke is a rare cause (<3%) of isolated changes in mental status. Although limited data were reported regarding patient eligibility for thrombolysis, recent research suggests that EMS-recognised strokes are more likely to be prealerted to hospital29; are assessed more rapidly in the ED25; have faster door-to-CT times20 23 and a greater likelihood of thrombolysis.20 Further research is needed to explore the impact of a missed prehospital diagnosis on eligibility for time-dependent stroke treatments and on patient outcomes. There were a number of limitations of the studies included. The majority of studies involved the validation or performance of prehospital stroke screening tools, entailed specialist training, and were mainly undertaken in selected groups of patients with confirmed or suspected stroke/TIA. Therefore, screening might only have been completed in patients for whom the EMS clinician already had a high index of suspicion for stroke and their subsequent labelling of stroke was determined by a clinical protocol. It was not clear in any of the studies whether symptom data had been recorded by the EMS or whether symptoms had been completely missed by the EMS and only recorded in hospital. Fourteen of the 21 included studies were at high risk of selection bias mainly due to retrospective data collection, which may have resulted in not all relevant patient symptoms being recorded; the majority of studies were conducted in single EMS and hospital centres. Study quality and size varied considerably and there was a lack of reported data, limiting the generalisability of study findings. Only four studies reported stroke type. Of these, although three studies reported symptoms for all false negative patients, these were not reported by stroke subtype. It is unknown whether false negatives have the same proportion of ICH and ischaemic strokes as the standard stroke population, or whether there are factors to do with symptom recognition which made affect this balance, for example, change in conscious level. A further limitation of the review was the inclusion only of studies that were published in English. Although we contacted authors for further information, at the time of writing no responses had been received. Some studies were excluded where the characteristics of false negative patients and patients with stroke mimics were not reported separately. As this review focused on the emergency assessment of stroke patients in prehospital settings, there may be other studies not included in this review that have reported data on false negative stroke patients. Eleven further papers reported the numbers of false negative patients but very little other data. Previous research has highlighted the failure of studies to identify and report false negative stroke patients, particularly in studies which involve the selection and transportation of patients to specialist stroke centres.39 It is important that future research studies which include false negative patients report more detail about this population to further understand their characteristics, the symptoms they experienced and any impact on patient outcomes. While it may not be possible for EMS personnel to identify all stroke patients without reducing specificity, ongoing research in selected patients is exploring the use of point-of-care diagnostics. A range of diagnostic techniques are currently in development, but none are currently used routinely in practice.40 Therefore, the recognition of suspected patients who had a stroke with the triaging of patients who present with stroke mimics and associated overuse of high priority EMS resources will continue to be challenging for the EMS. Conclusions: Stroke presentations that are most frequently missed by the EMS commonly include symptoms of: speech problems, nausea/vomiting, dizziness, changes in mental status and visual disturbance/impairment. However, the addition of further symptoms to stroke screening tools would require evaluation of their sensitivity and specificity, any associated training needs, and the impact on EMS resource use. Despite the inclusion of speech symptoms in most prehospital screening tools, this symptom is often overlooked and the reasons for this may need to be explored further.
Background: Around 25% of patients who had a stroke do not present with typical 'face, arm, speech' symptoms at onset, and are challenging for emergency medical services (EMS) to identify. The aim of this systematic review was to identify the characteristics of acute stroke presentations associated with inaccurate EMS identification (false negatives). Methods: We performed a systematic search of MEDLINE, EMBASE, CINAHL and PubMed from 1995 to August 2020 using key terms: stroke, EMS, paramedics, identification and assessment. Studies included: patients who had a stroke or patient records; ≥18 years; any stroke type; prehospital assessment undertaken by health professionals including paramedics or technicians; data reported on prehospital diagnostic accuracy and/or presenting symptoms. Data were extracted and study quality assessed by two researchers using the Quality Assessment of Diagnostic Accuracy Studies V.2 tool. Results: Of 845 studies initially identified, 21 observational studies met the inclusion criteria. Of the 6934 stroke and Transient Ischaemic Attack patients included, there were 1774 (26%) false negative patients (range from 4 (2%) to 247 (52%)). Commonly documented symptoms in false negative cases were speech problems (n=107; 13%-28%), nausea/vomiting (n=94; 8%-38%), dizziness (n=86; 23%-27%), changes in mental status (n=51; 8%-25%) and visual disturbance/impairment (n=43; 13%-28%). Conclusions: Speech problems and posterior circulation symptoms were the most commonly documented symptoms among stroke presentations that were not correctly identified by EMS (false negatives). However, the addition of further symptoms to stroke screening tools requires valuation of subsequent sensitivity and specificity, training needs and possible overuse of high priority resources.
Background: Worldwide, each year approximately 20 million people experience a stroke, of whom 5 million will die and 5 million will be disabled by their stroke.1 Accurate, early recognition is necessary to maximise benefits of hyperacute treatment with intravenous thrombolysis and/or mechanical thrombectomy, where indicated and early specialist multidisciplinary care.2 3 With up to 70% of patients who had a stroke accessing the emergency medical services (EMS),4 the efficiency of the ‘stroke chain of survival’ relies heavily on the accuracy and timeliness of EMS identification of stroke symptoms and the ability to distinguish between stroke and non-stroke cases. The use of screening tools to identify stroke by the EMS is recommended internationally including in guidelines for Australia, New Zealand, Europe and the USA. The majority of prehospital screening tools feature assessments for the most common stroke symptoms, as first reported in the Cincinnati Prehospital Stroke Scale (CPSS), also known as the Face Arm Speech Test (FAST).5 However, the accuracy of prehospital screening tools varies: sensitivity is reported ranging from 44% to 97% and specificity from 13% to 92%.6 The diverse nature of less common stroke symptoms such as visual disturbance, confusion and loss of balance can make correct identification challenging, particularly as up to 25% of patients who had a stroke do not present with symptoms commonly featured in screening tools.7 To date, there has not been an overview describing which symptoms are most common among patients who are not identified by the EMS, and there is currently no consensus about whether to assess symptoms with reduced specificity for stroke. Without screening tools and training to improve the identification of patients with less common stroke symptoms, inequity of available stroke care for patients will remain, particularly for patients with posterior stroke.8 The aim of this systematic review was to identify the characteristics of acute stroke presentations associated with inaccurate EMS identification (false negatives). Research objectives were to identify what proportion of patients who had a stroke are not identified by EMS/prehospital tools, to examine any differences in outcomes between false negative cases and those which are correctly identified, and to explore which symptoms are most commonly present in false negative cases. Conclusions: Stroke presentations that are most frequently missed by the EMS commonly include symptoms of: speech problems, nausea/vomiting, dizziness, changes in mental status and visual disturbance/impairment. However, the addition of further symptoms to stroke screening tools would require evaluation of their sensitivity and specificity, any associated training needs, and the impact on EMS resource use. Despite the inclusion of speech symptoms in most prehospital screening tools, this symptom is often overlooked and the reasons for this may need to be explored further.
Background: Around 25% of patients who had a stroke do not present with typical 'face, arm, speech' symptoms at onset, and are challenging for emergency medical services (EMS) to identify. The aim of this systematic review was to identify the characteristics of acute stroke presentations associated with inaccurate EMS identification (false negatives). Methods: We performed a systematic search of MEDLINE, EMBASE, CINAHL and PubMed from 1995 to August 2020 using key terms: stroke, EMS, paramedics, identification and assessment. Studies included: patients who had a stroke or patient records; ≥18 years; any stroke type; prehospital assessment undertaken by health professionals including paramedics or technicians; data reported on prehospital diagnostic accuracy and/or presenting symptoms. Data were extracted and study quality assessed by two researchers using the Quality Assessment of Diagnostic Accuracy Studies V.2 tool. Results: Of 845 studies initially identified, 21 observational studies met the inclusion criteria. Of the 6934 stroke and Transient Ischaemic Attack patients included, there were 1774 (26%) false negative patients (range from 4 (2%) to 247 (52%)). Commonly documented symptoms in false negative cases were speech problems (n=107; 13%-28%), nausea/vomiting (n=94; 8%-38%), dizziness (n=86; 23%-27%), changes in mental status (n=51; 8%-25%) and visual disturbance/impairment (n=43; 13%-28%). Conclusions: Speech problems and posterior circulation symptoms were the most commonly documented symptoms among stroke presentations that were not correctly identified by EMS (false negatives). However, the addition of further symptoms to stroke screening tools requires valuation of subsequent sensitivity and specificity, training needs and possible overuse of high priority resources.
6,956
335
[ 406, 146, 70, 67, 165, 53, 111, 138, 365, 101, 104, 279 ]
15
[ "stroke", "studies", "patients", "prehospital", "ems", "screening", "symptoms", "data", "reported", "study" ]
[ "recognition stroke emergency", "stroke recognised ems", "accuracy prehospital screening", "symptoms stroke screening", "performance prehospital stroke" ]
null
[CONTENT] stroke | pre-hospital | diagnosis [SUMMARY]
[CONTENT] stroke | pre-hospital | diagnosis [SUMMARY]
null
[CONTENT] stroke | pre-hospital | diagnosis [SUMMARY]
[CONTENT] stroke | pre-hospital | diagnosis [SUMMARY]
[CONTENT] stroke | pre-hospital | diagnosis [SUMMARY]
[CONTENT] Diagnostic Errors | Emergency Medical Technicians | Emergency Service, Hospital | Humans | Ischemic Attack, Transient | Observational Studies as Topic | Retrospective Studies | Stroke [SUMMARY]
[CONTENT] Diagnostic Errors | Emergency Medical Technicians | Emergency Service, Hospital | Humans | Ischemic Attack, Transient | Observational Studies as Topic | Retrospective Studies | Stroke [SUMMARY]
null
[CONTENT] Diagnostic Errors | Emergency Medical Technicians | Emergency Service, Hospital | Humans | Ischemic Attack, Transient | Observational Studies as Topic | Retrospective Studies | Stroke [SUMMARY]
[CONTENT] Diagnostic Errors | Emergency Medical Technicians | Emergency Service, Hospital | Humans | Ischemic Attack, Transient | Observational Studies as Topic | Retrospective Studies | Stroke [SUMMARY]
[CONTENT] Diagnostic Errors | Emergency Medical Technicians | Emergency Service, Hospital | Humans | Ischemic Attack, Transient | Observational Studies as Topic | Retrospective Studies | Stroke [SUMMARY]
[CONTENT] recognition stroke emergency | stroke recognised ems | accuracy prehospital screening | symptoms stroke screening | performance prehospital stroke [SUMMARY]
[CONTENT] recognition stroke emergency | stroke recognised ems | accuracy prehospital screening | symptoms stroke screening | performance prehospital stroke [SUMMARY]
null
[CONTENT] recognition stroke emergency | stroke recognised ems | accuracy prehospital screening | symptoms stroke screening | performance prehospital stroke [SUMMARY]
[CONTENT] recognition stroke emergency | stroke recognised ems | accuracy prehospital screening | symptoms stroke screening | performance prehospital stroke [SUMMARY]
[CONTENT] recognition stroke emergency | stroke recognised ems | accuracy prehospital screening | symptoms stroke screening | performance prehospital stroke [SUMMARY]
[CONTENT] stroke | studies | patients | prehospital | ems | screening | symptoms | data | reported | study [SUMMARY]
[CONTENT] stroke | studies | patients | prehospital | ems | screening | symptoms | data | reported | study [SUMMARY]
null
[CONTENT] stroke | studies | patients | prehospital | ems | screening | symptoms | data | reported | study [SUMMARY]
[CONTENT] stroke | studies | patients | prehospital | ems | screening | symptoms | data | reported | study [SUMMARY]
[CONTENT] stroke | studies | patients | prehospital | ems | screening | symptoms | data | reported | study [SUMMARY]
[CONTENT] stroke | symptoms | identification | common | stroke symptoms | tools | patients | common stroke symptoms | million | common stroke [SUMMARY]
[CONTENT] stroke | studies | patients | prehospital | 26 | min | data | study | 29 | negative [SUMMARY]
null
[CONTENT] symptoms | speech | screening tools | tools | specificity associated training needs | commonly include symptoms | commonly include | tools symptom overlooked reasons | tools symptom overlooked | tools symptom [SUMMARY]
[CONTENT] stroke | studies | patients | prehospital | screening | ems | symptoms | data | 26 | study [SUMMARY]
[CONTENT] stroke | studies | patients | prehospital | screening | ems | symptoms | data | 26 | study [SUMMARY]
[CONTENT] Around 25% | EMS ||| EMS [SUMMARY]
[CONTENT] MEDLINE | EMBASE | PubMed | 1995 | August 2020 | EMS ||| years ||| two | the Quality Assessment of Diagnostic Accuracy Studies [SUMMARY]
null
[CONTENT] EMS ||| [SUMMARY]
[CONTENT] Around 25% | EMS ||| EMS ||| MEDLINE | EMBASE | PubMed | 1995 | August 2020 | EMS ||| years ||| two | the Quality Assessment of Diagnostic Accuracy Studies ||| 845 | 21 ||| 6934 | 1774 | 26% | 4 | 2% | 247 | 52% ||| 13%-28% | n=94 | 8%-38% | n=86 | 23%-27% | n=51 | 8%-25% | 13%-28% ||| EMS ||| [SUMMARY]
[CONTENT] Around 25% | EMS ||| EMS ||| MEDLINE | EMBASE | PubMed | 1995 | August 2020 | EMS ||| years ||| two | the Quality Assessment of Diagnostic Accuracy Studies ||| 845 | 21 ||| 6934 | 1774 | 26% | 4 | 2% | 247 | 52% ||| 13%-28% | n=94 | 8%-38% | n=86 | 23%-27% | n=51 | 8%-25% | 13%-28% ||| EMS ||| [SUMMARY]
Prediction of early postoperative atrial fibrillation after cardiac surgery: is it possible?
22331249
Postoperative atrial fibrillation is common after cardiac surgery. In this study, we aimed to investigate the value of interatrial conduction time for the prediction of early postoperative atrial fibrillation, using intra-operative transoesophageal echocardiography.
BACKGROUND
A total of 65 patients undergoing cardiac surgery in our hospital between January and March 2007 were prospectively evaluated, and 59 patients with sinus rhythm were included in the study. We performed transoesophageal echocardiography on all patients, and intra-operatively measured the interatrial conduction time, as recently described. The patients with episodes of atrial fibrillation during the postsurgery hospitalisation period were defined as group 1 and those without episodes were defined as group 2.
METHODS
Mean interatrial conduction time was 74 ± 15.9 ms in group 1 and 54 ± 7.9 ms in group 2. The difference in interatrial conduction time between the two groups was statistically significant (p < 0.05). In this study we found a statistically significant interatrial conduction delay between the groups. Postoperative atrial fibrillation was more frequent in patients with a longer interatrial conduction time.
RESULTS
Increased interatrial conduction time may cause postoperative atrial fibrillation and it can be measured intraoperatively by transoesophageal echocardiography.
CONCLUSION
[ "Atrial Fibrillation", "Cardiac Surgical Procedures", "Echocardiography, Transesophageal", "Electrocardiography", "Heart Conduction System", "Humans" ]
3734751
null
null
Methods
Sixty-five patients undergoing cardiac surgery in our hospital between January and March 2007 were prospectively evaluated. Patients in sinus rhythm and with no known history of episodes of atrial fibrillation before surgery were included in the study. Patients were followed for the occurrence of atrial fibrillation during the hospitalisation period. We collected the clinical data with the permission of the local ethics committee. All clinical characteristics of patients were noted (hypertension, diabetes mellitus, age, gender, indications for surgery, etc). After discharge from the postoperative care unit, all patients were followed for the occurrence of episodes of atrial fibrillation using ECG holter monitoring, which was performed for all patients until discharge from hospital. Transthoracic echocardiography was performed in all patients before surgery. Left ventricular function was evaluated and the diameters of the cardiac chambers were measured. The diameters of the left ventricle and left atrium were measured from the parasternal short-axis view. The left ventricular ejection fraction was calculated by the Simpson method. Intra-operative TEE was performed on all patients included in the study after the induction of anesthesia. Interatrial conduction times were measured as published previously.8 The time between the origin of the P wave on the surface electrocardiogram and the left atrial appendage ejection flow (P-LAA) was measured by TEE and defined as interatrial conduction time (Fig. 1). The cross-clamp time was also reported. Patients with at least one atrial fibrillation episode after surgery during the hospitalisation period were placed into group 1 and the patients without episodes were in group 2. We compared the interatrial conduction times between these two groups. P-LAA was measured as the time interval from the initiation of the P wave on surface ECG to the start of the left atrial appendix ejection flow demonstrated by transoesophageal echocardiography.
Results
A total of 59 patients in sinus rhythm were included in the study. Thirty-nine of the patients were operated on for coronary artery disease only, and 14 for valvular heart disease only. Six of the 59 patients were operated on for both coronary artery and valvular heart disease. Atrial fibrillation was observed in 22 patients (37%) in the follow-up period. Baseline clinical characteristics were not statistically different between the two groups. Intravenous and oral amiodarone was initiated for patients developing post-operative atrial fibrillation. In two of the cases, electrocardioversion was necessary for maintaining sinus rhythm. All of the patients were discharged from the hospital in sinus rhythm. The frequency of occurrence of atrial fibrillation was similar to that reported recently. The clinical properties are summarised in Table 1. *Patients with atrial fibrillation episode in follow up. **Patients without atrial fibrillation episode in follow up. Atrial fibrillation has been detected more frequently in females than males (46 vs 30%). In our study, hypertension was more common in patients with atrial fibrillation than those without but the difference did not reach statistical significance. Additionally, patients with atrial fibrillation were older, although the difference did not reach statistical significance. Valvular heart disease seemed more likely to cause atrial fibrillation than coronary artery disease within the postoperative period (Table 2). *Patients with atrial fibrillation episode in follow up. **Patients without atrial fibrillation episode in follow up. The echocardiographic properties are summarised in Table 3. The mean left atrial diameter was slightly larger in group 1, and the mean left ventricular ejection fraction was slightly reduced but these values were not statistically significant. *Patients with atrial fibrillation episode in follow up. **Patients without atrial fibrillation episode in follow up. NS = not significant. Mean interatrial conduction time was 74 ± 15.9 ms in group 1 and 54 ± 7.9 ms in group 2. The difference in interatrial conduction time between the two groups was statistically significant (p < 0.05). Mean cross-clamp time was 32.2 ± 9.5 minutes and there was no statistically significant difference between the groups.
Conclusion
In this study we found that postoperative atrial fibrillation was more frequent in patients with longer interatrial conduction times. Measurement of interatrial conduction time by TEE may be a valuable method for the prediction of postoperative atrial fibrillation, and interatrial conduction delay is an important risk factor. We need more studies to define the cut-off point for interatrial conduction time.
[ "Abstract", "Statistical analysis" ]
[ "Postoperative atrial fibrillation is a frequent complication, occurring in 30 to 50% of patients after cardiac surgery.1 It is associated with an increased risk of morbidity and mortality, it predisposes patients to a higher risk of stroke, requires additional treatment, and increases the costs of postoperative care.2,3\nThere are many clinical risk factors for developing postoperative atrial fibrillation, including age, gender, obesity, hypertension, diabetes mellitus, low left ventricular ejection fraction, hypoxia, chronic pulmonary lung disease, and left atrial size and diameter.4,5 In the study by Straus et al., important peri-operative factors for the development of atrial fibrillation were: longer extracorporeal circulation, increased dose/number of inotropic drugs, blood transfusion, and elevated postoperative white blood cell count.6\nProlonged interatrial conduction time has been reported in patients with paroxysmal atrial fibrillation.7 Interatrial conduction delay may be an important parameter for the development of atrial fibrillation after cardiac surgery and it can be measured as accurately by transoesophageal echocardiography as by invasive electrophysiological methods.8\nThe prediction of atrial fibrillation may reduce postoperative complications and hospitalisation time after cardiac surgery. Previously published studies investigating the value of echocardiography or electrocardiography (ECG) for the prediction of postoperative atrial fibrillation indicate the need for other methods to predict early postoperative atrial fibrillation.\nIn this study, we aimed to investigate the value of interatrial conduction time for the prediction of early postoperative atrial fibrillation using intra-operative transoesophageal echocardiography (TEE).", "Data are expressed as mean ± SD for continuous data and as number and percentage for categorical data. A p-value < 0.05 was considered significant. Differences between groups were compared with the Student’s t-test on SPSS." ]
[ null, null ]
[ "Abstract", "Methods", "Statistical analysis", "Results", "Discussion", "Conclusion" ]
[ "Postoperative atrial fibrillation is a frequent complication, occurring in 30 to 50% of patients after cardiac surgery.1 It is associated with an increased risk of morbidity and mortality, it predisposes patients to a higher risk of stroke, requires additional treatment, and increases the costs of postoperative care.2,3\nThere are many clinical risk factors for developing postoperative atrial fibrillation, including age, gender, obesity, hypertension, diabetes mellitus, low left ventricular ejection fraction, hypoxia, chronic pulmonary lung disease, and left atrial size and diameter.4,5 In the study by Straus et al., important peri-operative factors for the development of atrial fibrillation were: longer extracorporeal circulation, increased dose/number of inotropic drugs, blood transfusion, and elevated postoperative white blood cell count.6\nProlonged interatrial conduction time has been reported in patients with paroxysmal atrial fibrillation.7 Interatrial conduction delay may be an important parameter for the development of atrial fibrillation after cardiac surgery and it can be measured as accurately by transoesophageal echocardiography as by invasive electrophysiological methods.8\nThe prediction of atrial fibrillation may reduce postoperative complications and hospitalisation time after cardiac surgery. Previously published studies investigating the value of echocardiography or electrocardiography (ECG) for the prediction of postoperative atrial fibrillation indicate the need for other methods to predict early postoperative atrial fibrillation.\nIn this study, we aimed to investigate the value of interatrial conduction time for the prediction of early postoperative atrial fibrillation using intra-operative transoesophageal echocardiography (TEE).", "Sixty-five patients undergoing cardiac surgery in our hospital between January and March 2007 were prospectively evaluated. Patients in sinus rhythm and with no known history of episodes of atrial fibrillation before surgery were included in the study. Patients were followed for the occurrence of atrial fibrillation during the hospitalisation period. We collected the clinical data with the permission of the local ethics committee.\nAll clinical characteristics of patients were noted (hypertension, diabetes mellitus, age, gender, indications for surgery, etc). After discharge from the postoperative care unit, all patients were followed for the occurrence of episodes of atrial fibrillation using ECG holter monitoring, which was performed for all patients until discharge from hospital.\nTransthoracic echocardiography was performed in all patients before surgery. Left ventricular function was evaluated and the diameters of the cardiac chambers were measured. The diameters of the left ventricle and left atrium were measured from the parasternal short-axis view. The left ventricular ejection fraction was calculated by the Simpson method.\nIntra-operative TEE was performed on all patients included in the study after the induction of anesthesia. Interatrial conduction times were measured as published previously.8\nThe time between the origin of the P wave on the surface electrocardiogram and the left atrial appendage ejection flow (P-LAA) was measured by TEE and defined as interatrial conduction time (Fig. 1). The cross-clamp time was also reported. Patients with at least one atrial fibrillation episode after surgery during the hospitalisation period were placed into group 1 and the patients without episodes were in group 2. We compared the interatrial conduction times between these two groups.\nP-LAA was measured as the time interval from the initiation of the P wave on surface ECG to the start of the left atrial appendix ejection flow demonstrated by transoesophageal echocardiography.", "Data are expressed as mean ± SD for continuous data and as number and percentage for categorical data. A p-value < 0.05 was considered significant. Differences between groups were compared with the Student’s t-test on SPSS.", "A total of 59 patients in sinus rhythm were included in the study. Thirty-nine of the patients were operated on for coronary artery disease only, and 14 for valvular heart disease only. Six of the 59 patients were operated on for both coronary artery and valvular heart disease. Atrial fibrillation was observed in 22 patients (37%) in the follow-up period. Baseline clinical characteristics were not statistically different between the two groups.\nIntravenous and oral amiodarone was initiated for patients developing post-operative atrial fibrillation. In two of the cases, electrocardioversion was necessary for maintaining sinus rhythm. All of the patients were discharged from the hospital in sinus rhythm. The frequency of occurrence of atrial fibrillation was similar to that reported recently. The clinical properties are summarised in Table 1.\n*Patients with atrial fibrillation episode in follow up.\n**Patients without atrial fibrillation episode in follow up.\nAtrial fibrillation has been detected more frequently in females than males (46 vs 30%). In our study, hypertension was more common in patients with atrial fibrillation than those without but the difference did not reach statistical significance. Additionally, patients with atrial fibrillation were older, although the difference did not reach statistical significance. Valvular heart disease seemed more likely to cause atrial fibrillation than coronary artery disease within the postoperative period (Table 2).\n*Patients with atrial fibrillation episode in follow up.\n**Patients without atrial fibrillation episode in follow up.\nThe echocardiographic properties are summarised in Table 3. The mean left atrial diameter was slightly larger in group 1, and the mean left ventricular ejection fraction was slightly reduced but these values were not statistically significant.\n*Patients with atrial fibrillation episode in follow up.\n**Patients without atrial fibrillation episode in follow up.\nNS = not significant.\nMean interatrial conduction time was 74 ± 15.9 ms in group 1 and 54 ± 7.9 ms in group 2. The difference in interatrial conduction time between the two groups was statistically significant (p < 0.05). Mean cross-clamp time was 32.2 ± 9.5 minutes and there was no statistically significant difference between the groups.", "Postoperative atrial fibrillation causes prolongation of hospital stay and it is a frequent complication occurring in 30 to 50% of the patients after cardiac surgery.9 There are many defined clinical risk factors for atrial fibrillation following cardiac surgery. Previous studies have shown that age and hypertension are important risk factors for atrial fibrillation.10 However in our study, there was no statistically significant difference between the two groups, possibly because our study population was too small to detect a difference.\nRecent clinical trials have investigated echocardiographic parameters for the prediction of postoperative atrial fibrillation. P-wave duration on surface ECG and P-wave dispersion were found to be important and easily obtainable parameters for the prediction of postoperative atrial fibrillation.11,12 Prior to this, Stafford et al. found that signal-averaged P-wave duration was a better predictor of atrial fibrillation after coronary artery bypass grafting (CABG) than standard echocardiographic criteria.13 In our study, we did not investigate any electrocardiographic parameters for prediction.\nTransthoracic echocardiography is a useful technique for the prediction of postoperative atrial fibrillation. In most of the recent trials, left atrial size and left ventricular systolic function were easily obtained for the prediction.13 Roshanali et al. investigated the importance of atrial electromechanical interval using transthoracic tissue Doppler echocardiography, and found it to be a valuable method for identifying patients vulnerable to post-CABG atrial fibrillation.14 Further clinical trials were necessary for the prediction of postoperative atrial fibrillation using tissue Doppler echocardiography.15 Interatrial conduction time can therefore be used for the prediction of postoperative atrial fibrillation.\nFuenmayor et al. found a new method for measuring interatrial conduction time, using transthoracic echocardiography. They simultaneously measured the time interval between the electrocardiographic P wave and the mitral a wave using transthoracic Doppler echocardiography and compared this with another more invasive method. They found similar results and concluded that transthoracic Doppler echocardiography combined with surface electrocardiography can be used for measuring the interatrial conduction time with a similar accuracy as other more invasive methods.16\nTransoesophageal echocardiography has not frequently been used for the prediction of postoperative atrial fibrillation in recent clinical trials. TEE was however found to be a useful tool for measuring interatrial conduction time.8 In the study by Kinay et al., a correlation between the interatrial conduction time and recurrence of atrial fibrillation was established. We therefore concluded that intra-operative measurement of interatrial conduction time by TEE could predict postoperative atrial fibrillation.8,17\nIn this study we found a statistically significant interatrial conduction delay in group 1. Increased interatrial conduction time may result in postoperative atrial fibrillation and it can be measured by intraoperative TEE.\nPostoperative atrial fibrillation may prolong the hospitalisation period, particularly time in the intensive care unit, which may increase the risk of postoperative complications such as nosocomial infections. Using anti-arrhythmic agents for patients with prolonged interatrial conduction time before postoperative atrial fibrillation occurs could decrease the risk of postoperative complications.", "In this study we found that postoperative atrial fibrillation was more frequent in patients with longer interatrial conduction times. Measurement of interatrial conduction time by TEE may be a valuable method for the prediction of postoperative atrial fibrillation, and interatrial conduction delay is an important risk factor. We need more studies to define the cut-off point for interatrial conduction time." ]
[ null, "methods", null, "results", "discussion", "conclusion" ]
[ "atrial fibrillation", "interatrial conduction time", "cardiac surgery", "transoesophageal echocardiography" ]
Abstract: Postoperative atrial fibrillation is a frequent complication, occurring in 30 to 50% of patients after cardiac surgery.1 It is associated with an increased risk of morbidity and mortality, it predisposes patients to a higher risk of stroke, requires additional treatment, and increases the costs of postoperative care.2,3 There are many clinical risk factors for developing postoperative atrial fibrillation, including age, gender, obesity, hypertension, diabetes mellitus, low left ventricular ejection fraction, hypoxia, chronic pulmonary lung disease, and left atrial size and diameter.4,5 In the study by Straus et al., important peri-operative factors for the development of atrial fibrillation were: longer extracorporeal circulation, increased dose/number of inotropic drugs, blood transfusion, and elevated postoperative white blood cell count.6 Prolonged interatrial conduction time has been reported in patients with paroxysmal atrial fibrillation.7 Interatrial conduction delay may be an important parameter for the development of atrial fibrillation after cardiac surgery and it can be measured as accurately by transoesophageal echocardiography as by invasive electrophysiological methods.8 The prediction of atrial fibrillation may reduce postoperative complications and hospitalisation time after cardiac surgery. Previously published studies investigating the value of echocardiography or electrocardiography (ECG) for the prediction of postoperative atrial fibrillation indicate the need for other methods to predict early postoperative atrial fibrillation. In this study, we aimed to investigate the value of interatrial conduction time for the prediction of early postoperative atrial fibrillation using intra-operative transoesophageal echocardiography (TEE). Methods: Sixty-five patients undergoing cardiac surgery in our hospital between January and March 2007 were prospectively evaluated. Patients in sinus rhythm and with no known history of episodes of atrial fibrillation before surgery were included in the study. Patients were followed for the occurrence of atrial fibrillation during the hospitalisation period. We collected the clinical data with the permission of the local ethics committee. All clinical characteristics of patients were noted (hypertension, diabetes mellitus, age, gender, indications for surgery, etc). After discharge from the postoperative care unit, all patients were followed for the occurrence of episodes of atrial fibrillation using ECG holter monitoring, which was performed for all patients until discharge from hospital. Transthoracic echocardiography was performed in all patients before surgery. Left ventricular function was evaluated and the diameters of the cardiac chambers were measured. The diameters of the left ventricle and left atrium were measured from the parasternal short-axis view. The left ventricular ejection fraction was calculated by the Simpson method. Intra-operative TEE was performed on all patients included in the study after the induction of anesthesia. Interatrial conduction times were measured as published previously.8 The time between the origin of the P wave on the surface electrocardiogram and the left atrial appendage ejection flow (P-LAA) was measured by TEE and defined as interatrial conduction time (Fig. 1). The cross-clamp time was also reported. Patients with at least one atrial fibrillation episode after surgery during the hospitalisation period were placed into group 1 and the patients without episodes were in group 2. We compared the interatrial conduction times between these two groups. P-LAA was measured as the time interval from the initiation of the P wave on surface ECG to the start of the left atrial appendix ejection flow demonstrated by transoesophageal echocardiography. Statistical analysis: Data are expressed as mean ± SD for continuous data and as number and percentage for categorical data. A p-value < 0.05 was considered significant. Differences between groups were compared with the Student’s t-test on SPSS. Results: A total of 59 patients in sinus rhythm were included in the study. Thirty-nine of the patients were operated on for coronary artery disease only, and 14 for valvular heart disease only. Six of the 59 patients were operated on for both coronary artery and valvular heart disease. Atrial fibrillation was observed in 22 patients (37%) in the follow-up period. Baseline clinical characteristics were not statistically different between the two groups. Intravenous and oral amiodarone was initiated for patients developing post-operative atrial fibrillation. In two of the cases, electrocardioversion was necessary for maintaining sinus rhythm. All of the patients were discharged from the hospital in sinus rhythm. The frequency of occurrence of atrial fibrillation was similar to that reported recently. The clinical properties are summarised in Table 1. *Patients with atrial fibrillation episode in follow up. **Patients without atrial fibrillation episode in follow up. Atrial fibrillation has been detected more frequently in females than males (46 vs 30%). In our study, hypertension was more common in patients with atrial fibrillation than those without but the difference did not reach statistical significance. Additionally, patients with atrial fibrillation were older, although the difference did not reach statistical significance. Valvular heart disease seemed more likely to cause atrial fibrillation than coronary artery disease within the postoperative period (Table 2). *Patients with atrial fibrillation episode in follow up. **Patients without atrial fibrillation episode in follow up. The echocardiographic properties are summarised in Table 3. The mean left atrial diameter was slightly larger in group 1, and the mean left ventricular ejection fraction was slightly reduced but these values were not statistically significant. *Patients with atrial fibrillation episode in follow up. **Patients without atrial fibrillation episode in follow up. NS = not significant. Mean interatrial conduction time was 74 ± 15.9 ms in group 1 and 54 ± 7.9 ms in group 2. The difference in interatrial conduction time between the two groups was statistically significant (p < 0.05). Mean cross-clamp time was 32.2 ± 9.5 minutes and there was no statistically significant difference between the groups. Discussion: Postoperative atrial fibrillation causes prolongation of hospital stay and it is a frequent complication occurring in 30 to 50% of the patients after cardiac surgery.9 There are many defined clinical risk factors for atrial fibrillation following cardiac surgery. Previous studies have shown that age and hypertension are important risk factors for atrial fibrillation.10 However in our study, there was no statistically significant difference between the two groups, possibly because our study population was too small to detect a difference. Recent clinical trials have investigated echocardiographic parameters for the prediction of postoperative atrial fibrillation. P-wave duration on surface ECG and P-wave dispersion were found to be important and easily obtainable parameters for the prediction of postoperative atrial fibrillation.11,12 Prior to this, Stafford et al. found that signal-averaged P-wave duration was a better predictor of atrial fibrillation after coronary artery bypass grafting (CABG) than standard echocardiographic criteria.13 In our study, we did not investigate any electrocardiographic parameters for prediction. Transthoracic echocardiography is a useful technique for the prediction of postoperative atrial fibrillation. In most of the recent trials, left atrial size and left ventricular systolic function were easily obtained for the prediction.13 Roshanali et al. investigated the importance of atrial electromechanical interval using transthoracic tissue Doppler echocardiography, and found it to be a valuable method for identifying patients vulnerable to post-CABG atrial fibrillation.14 Further clinical trials were necessary for the prediction of postoperative atrial fibrillation using tissue Doppler echocardiography.15 Interatrial conduction time can therefore be used for the prediction of postoperative atrial fibrillation. Fuenmayor et al. found a new method for measuring interatrial conduction time, using transthoracic echocardiography. They simultaneously measured the time interval between the electrocardiographic P wave and the mitral a wave using transthoracic Doppler echocardiography and compared this with another more invasive method. They found similar results and concluded that transthoracic Doppler echocardiography combined with surface electrocardiography can be used for measuring the interatrial conduction time with a similar accuracy as other more invasive methods.16 Transoesophageal echocardiography has not frequently been used for the prediction of postoperative atrial fibrillation in recent clinical trials. TEE was however found to be a useful tool for measuring interatrial conduction time.8 In the study by Kinay et al., a correlation between the interatrial conduction time and recurrence of atrial fibrillation was established. We therefore concluded that intra-operative measurement of interatrial conduction time by TEE could predict postoperative atrial fibrillation.8,17 In this study we found a statistically significant interatrial conduction delay in group 1. Increased interatrial conduction time may result in postoperative atrial fibrillation and it can be measured by intraoperative TEE. Postoperative atrial fibrillation may prolong the hospitalisation period, particularly time in the intensive care unit, which may increase the risk of postoperative complications such as nosocomial infections. Using anti-arrhythmic agents for patients with prolonged interatrial conduction time before postoperative atrial fibrillation occurs could decrease the risk of postoperative complications. Conclusion: In this study we found that postoperative atrial fibrillation was more frequent in patients with longer interatrial conduction times. Measurement of interatrial conduction time by TEE may be a valuable method for the prediction of postoperative atrial fibrillation, and interatrial conduction delay is an important risk factor. We need more studies to define the cut-off point for interatrial conduction time.
Background: Postoperative atrial fibrillation is common after cardiac surgery. In this study, we aimed to investigate the value of interatrial conduction time for the prediction of early postoperative atrial fibrillation, using intra-operative transoesophageal echocardiography. Methods: A total of 65 patients undergoing cardiac surgery in our hospital between January and March 2007 were prospectively evaluated, and 59 patients with sinus rhythm were included in the study. We performed transoesophageal echocardiography on all patients, and intra-operatively measured the interatrial conduction time, as recently described. The patients with episodes of atrial fibrillation during the postsurgery hospitalisation period were defined as group 1 and those without episodes were defined as group 2. Results: Mean interatrial conduction time was 74 ± 15.9 ms in group 1 and 54 ± 7.9 ms in group 2. The difference in interatrial conduction time between the two groups was statistically significant (p < 0.05). In this study we found a statistically significant interatrial conduction delay between the groups. Postoperative atrial fibrillation was more frequent in patients with a longer interatrial conduction time. Conclusions: Increased interatrial conduction time may cause postoperative atrial fibrillation and it can be measured intraoperatively by transoesophageal echocardiography.
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1,685
225
[ 269, 44 ]
6
[ "atrial", "fibrillation", "atrial fibrillation", "patients", "postoperative", "time", "interatrial", "interatrial conduction", "conduction", "postoperative atrial" ]
[ "factors atrial fibrillation", "atrial fibrillation difference", "atrial fibrillation longer", "atrial fibrillation surgery", "postoperative atrial fibrillation" ]
null
null
null
[CONTENT] atrial fibrillation | interatrial conduction time | cardiac surgery | transoesophageal echocardiography [SUMMARY]
[CONTENT] atrial fibrillation | interatrial conduction time | cardiac surgery | transoesophageal echocardiography [SUMMARY]
[CONTENT] atrial fibrillation | interatrial conduction time | cardiac surgery | transoesophageal echocardiography [SUMMARY]
[CONTENT] atrial fibrillation | interatrial conduction time | cardiac surgery | transoesophageal echocardiography [SUMMARY]
null
null
[CONTENT] Atrial Fibrillation | Cardiac Surgical Procedures | Echocardiography, Transesophageal | Electrocardiography | Heart Conduction System | Humans [SUMMARY]
[CONTENT] Atrial Fibrillation | Cardiac Surgical Procedures | Echocardiography, Transesophageal | Electrocardiography | Heart Conduction System | Humans [SUMMARY]
[CONTENT] Atrial Fibrillation | Cardiac Surgical Procedures | Echocardiography, Transesophageal | Electrocardiography | Heart Conduction System | Humans [SUMMARY]
[CONTENT] Atrial Fibrillation | Cardiac Surgical Procedures | Echocardiography, Transesophageal | Electrocardiography | Heart Conduction System | Humans [SUMMARY]
null
null
[CONTENT] factors atrial fibrillation | atrial fibrillation difference | atrial fibrillation longer | atrial fibrillation surgery | postoperative atrial fibrillation [SUMMARY]
[CONTENT] factors atrial fibrillation | atrial fibrillation difference | atrial fibrillation longer | atrial fibrillation surgery | postoperative atrial fibrillation [SUMMARY]
[CONTENT] factors atrial fibrillation | atrial fibrillation difference | atrial fibrillation longer | atrial fibrillation surgery | postoperative atrial fibrillation [SUMMARY]
[CONTENT] factors atrial fibrillation | atrial fibrillation difference | atrial fibrillation longer | atrial fibrillation surgery | postoperative atrial fibrillation [SUMMARY]
null
null
[CONTENT] atrial | fibrillation | atrial fibrillation | patients | postoperative | time | interatrial | interatrial conduction | conduction | postoperative atrial [SUMMARY]
[CONTENT] atrial | fibrillation | atrial fibrillation | patients | postoperative | time | interatrial | interatrial conduction | conduction | postoperative atrial [SUMMARY]
[CONTENT] atrial | fibrillation | atrial fibrillation | patients | postoperative | time | interatrial | interatrial conduction | conduction | postoperative atrial [SUMMARY]
[CONTENT] atrial | fibrillation | atrial fibrillation | patients | postoperative | time | interatrial | interatrial conduction | conduction | postoperative atrial [SUMMARY]
null
null
[CONTENT] patients | left | measured | surgery | atrial | performed patients | episodes | performed | ejection | fibrillation [SUMMARY]
[CONTENT] patients | atrial | follow | atrial fibrillation | fibrillation | patients atrial fibrillation | patients atrial | atrial fibrillation episode follow | fibrillation episode follow | episode follow [SUMMARY]
[CONTENT] interatrial | interatrial conduction | conduction | postoperative atrial | postoperative atrial fibrillation | atrial fibrillation | postoperative | atrial | conduction time | fibrillation [SUMMARY]
[CONTENT] atrial | atrial fibrillation | fibrillation | patients | postoperative | conduction | interatrial conduction | interatrial | postoperative atrial fibrillation | postoperative atrial [SUMMARY]
null
null
[CONTENT] 65 | between January and March 2007 | 59 ||| ||| 1 | 2 [SUMMARY]
[CONTENT] 74 | 15.9 | 1 | 7.9 | 2 ||| two ||| ||| [SUMMARY]
[CONTENT] [SUMMARY]
[CONTENT] ||| ||| 65 | between January and March 2007 | 59 ||| ||| 1 | 2 ||| 74 | 15.9 | 1 | 7.9 | 2 ||| two ||| ||| ||| [SUMMARY]
null
[Ischaemic or transient attack? Magnetic resonance imaging in transient ischaemic attack: a review of 106 cases].
36440745
Transient ischaemic attack (TIA) has classically been defined as an episode of self-limited focal neurological deficit lasting up to 24 hours, with no neuroimaging evidence of established acute ischaemic injury. However, the definition of this entity is changing, and is adapting to new times and new diagnostic techniques, including magnetic resonance imaging (MRI) with diffusion sequences. An early and comprehensive approach to TIA, including MRI, is important to rule out clinically recovered established ischaemic strokes, in order to optimise the diagnostic and therapeutic management of patients.
INTRODUCTION
Patients admitted to our stroke unit over a six-month period with suspected TIA were identified, and the definitive diagnosis and approach was studied based on the tests performed.
PATIENTS AND METHODS
A sample of 106 suspected cases of TIA were studied, in which early MRI was performed. Of these, 42 (39.62%) were clinically recovered ischaemic strokes (CRIS); 32 (30.18%), other pathologies (six epileptic seizures, five migraine auras, nine functional disorders, two amyloid spells and nine other causes, totalling 31); 26 (24.52%), TIAs; and six (5.66%), haemorrhagic stroke. Of 43 CRIS, eight (18.6%) were cardioembolic; eight (18.6%), atherothrombotic; eight (18.6%), embolic stroke of unknown origin; six (13.95%), lacunar stroke; five (11.62%) of infrequent cause; and four (9.3%), totalling 39, of undetermined cause. CRIS patients received significantly more individualised therapeutic management than TIA patients.
RESULTS
The early use of MRI in the clinical suspicion of TIA makes it possible to gather evidence of CRIS and optimises the diagnostic and therapeutic approach for patients.
CONCLUSIONS
[ "Humans", "Ischemic Attack, Transient", "Stroke", "Magnetic Resonance Imaging", "Ischemic Stroke", "Stroke, Lacunar" ]
10280743
Introducción
El accidente isquémico transitorio (AIT) es una patología altamente incidente en todo el mundo, con aproximadamente 7,5 millones de eventos anualmente, de los cuales un 10-15% se seguirá de un ictus isquémico en los tres meses posteriores [1]. La gran importancia pronóstica de esta entidad ha hecho que, en los últimos años, su definición y caracterización hayan avanzado en la línea de lograr una mayor concreción diagnóstica. Aunque todavía encontramos definiciones clásicas del AIT, como la de la European Stroke Organisation u otros grupos de estudio, en las que esta patología se define como el déficit focal neurológico transitorio sin hallazgos isquémicos agudos en la neuroimagen y con una duración inferior a 24 horas [2,3]; últimamente se están haciendo esfuerzos por concretar la descripción de esta entidad. Así, algunos autores comienzan a definir el AIT como el déficit focal neurológico de etiología claramente cerebrovascular y de duración menor de una hora [4]. Con los avances en las técnicas de neuroimagen, y más concretamente con las secuencias en difusión en la resonancia magnética (RM) cerebral, esta prueba se empieza a considerar fundamental en la evaluación del AIT [5]. Esto se basa en que entre el 30 y el 50% de los pacientes con AIT presentan lesiones isquémicas establecidas en la RM con secuencias en difusión a pesar de la reversibilidad clínica [6]. La presencia de estas lesiones confiere un riesgo añadido de padecer un nuevo ictus clínicamente establecido a corto plazo [7]. Por tanto, realizar una RM con secuencias en difusión, a poder ser de forma precoz [7], al estudiar una sospecha de AIT, tiene importantes implicaciones pronósticas [8]. De esta manera, se logra una precisión diagnóstica en el abordaje del AIT no alcanzable con otras técnicas de neuroimagen, como la tomografía computarizada cerebral [4,9]. Presentamos así un estudio realizado en nuestro centro en el que todos los pacientes analizados ingresaron por sospecha de AIT. Se llevaron a cabo en todos ellos estudios de patología cerebrovascular, incluida la RM de forma precoz, con el objetivo de valorar la existencia de lesiones isquémicas establecidas en la neuroimagen. Posteriormente, se analizaron los diagnósticos de dichos pacientes y el manejo diferencial realizado en los pacientes diagnosticados de AIT, en contraposición a aquéllos con lesión isquémica establecida en la RM. A efectos prácticos de este estudio, este último cuadro clínico se ha denominado a efectos prácticos de este estudio ictus isquémico clínicamente recuperado (IICR). Por último, una vez clasificado cada paciente por su diagnóstico, se estudió el manejo realizado gracias a los hallazgos de la RM en los pacientes diagnosticados de AIT en contraposición a los diagnosticados de IICR.
Pacientes y métodos
Se realizó un estudio unicéntrico, observacional, transversal, descriptivo y analítico de los pacientes ingresados en la unidad de ictus del Hospital Universitario de Cabueñes con sospecha clínica de AIT. Estos pacientes se definieron como aquéllos que consultaron por un déficit neurológico transitorio de instauración súbita, con resolución espontánea en menos de 24 horas de acuerdo con la historia referida por el paciente, con exploración neurológica con una puntuación en la National Institute of Health Stroke Scale de 0 y sin otros datos de déficits neurológicos en el momento del ingreso. Se estudió a los pacientes ingresados en un período de seis meses (enero a junio de 2021). Se analizaron las siguientes variables: edad, sexo, historia de hábito tabáquico (no fumador, exfumador o fumador activo), consumo perjudicial de alcohol (en hombres, más de 21 unidades de bebida estándar semanales o más de 40 g/día de alcohol puro; en mujeres, más de 15 unidades de bebida estándar semanales o más de 25 g/día de alcohol puro), hipertensión arterial, dislipidemia o diabetes mellitus; historia de fibrilación auricular, historia de ictus o AIT previo, síntoma guía de consulta y duración de la clínica, pruebas complementarias realizadas (análisis, estudio neurosonológico o ecocardiograma), diagnóstico emitido y tratamiento al alta; además de puntualizar si el tratamiento sufrió modificaciones. Asimismo, en todos los pacientes se realizaron estudios de RM cerebral de forma precoz y se recogieron los datos correspondientes al tiempo de demora en realizar la prueba desde el momento del ingreso, así como los hallazgos en la neuroimagen y la localización de las lesiones isquémicas si las hubiese. El diagnostico de IICR y no de otras patologías que produjesen lesiones hiperintensas en secuencias de RM en difusión se realizó basándose en estos criterios: sintomatología altamente sugestiva de patología cerebrovascular, presencia de factores de riesgo para patología cerebrovascular y otras características de los pacientes que aumentasen dicho riesgo; datos en el estudio Doppler, presencia de una fuente cardioembólica u otra etiología sugestiva de embolismo cerebral; y características de las lesiones en la RM, todo ello en ausencia de otras causas justificativas de dichas lesiones. Recogidos estos datos, se procedió a calcular los porcentajes correspondientes a cada uno de los diagnósticos emitidos en la totalidad de los pacientes estudiados. Establecidos los diagnósticos, así como el número de pacientes que correspondían a cada categoría diagnóstica, se completaron los datos de los pacientes con IICR con los hallazgos de RM cerebral, detallando la localización de la lesión isquémica establecida, así como la etiología en el caso de los IICR. También se detalló la etiología probable de los pacientes diagnosticados como AIT. Por último, se compararon los datos de los pacientes diagnosticados de IICR con respecto a los diagnosticados de AIT, excluyendo en este grupo a los pacientes que tuviesen un diagnóstico de otra patología diferente a la cerebrovascular (o stroke mimic). Se realizó un estudio comparativo de todas las variables en ambos grupos, IICR y AIT. Se aplicó un análisis univariante con la prueba t de Student para el caso de las variables cuantitativas paramétricas, la U de Mann-Whitney en el caso de variables cuantitativas no paramétricas y la prueba χ2 para las variables categóricas, buscando diferencias estadísticamente significativas entre ambos grupos (p < 0,05). También se compararon las frecuencias de estudios realizados y la diferencias entre los tratamientos establecidos en ambas categorías diagnósticas en busca de diferencias estadísticamente significativas (p < 0,05). Este trabajo contó con la aprobación del comité de ética correspondiente para su realización.
Resultados
Se hallaron 106 pacientes ingresados en nuestra unidad de ictus con sospecha clínica de AIT. Cuarenta y tres pacientes (40,57%) fueron diagnosticados de IICR gracias a la realización de una RM cerebral; 26 (24,53%) fueron diagnosticados de AIT; y el resto, 37 (34,90%), recibieron otros diagnósticos: trastornos funcionales, ictus hemorrágicos, crisis epilépticas, auras migrañosas, amyloid spells u otras causas no neurológicas de los episodios (Fig. 1). Diagnósticos emitidos. AIT: accidente isquémico transitorio; IICR: ictus isquémico clínicamente recuperado. De los 43 pacientes diagnosticados de IICR, ocho (18,60%) fueron ictus embólicos de origen desconocido (embolic stroke of unknown source, ESUS); ocho (18,60%), cardioembólicos; ocho (18,60%), aterotrombóticos; y el resto, 19 (44,19%), otras etiologías (Fig. 2). Etiología de los ictus isquémicos clínicamente recuperados. ESUS: ictus embólicos de origen desconocido (del inglés, embolic stroke of unknown source). Veintiún IICR (48,84%) se localizaron en territorio de circulación cerebral anterior; ocho (18,6%) fueron multiterritorio; cinco (11,33%) de localización troncoencefálica; cinco (11,33%) en los ganglios basales; dos (4,66%) en territorio de circulación cerebral posterior; y dos (4,66%), cerebelosos (Fig. 3). Localización de los ictus isquémicos clínicamente recuperados. ACM: arteria cerebral media; ACP: arteria cerebral posterior; D: derecha/o; I: izquierda/o; TE: troncoencefálico. No se encontraron diferencias significativamente estadísticas entre los pacientes con AIT y aquellos con IICR en ninguna de las variables basales estudiadas, ni tampoco entre los síntomas guía de consulta (Tabla). La duración de la sintomatología de consulta entre los pacientes con AIT y aquellos con IICR no difirió de forma significativa –media (minutos), 36,76 (σ ± 68,46) frente a 50,56 (σ ± 57,21); p = 0,3125–, aunque sólo se pudieron recabar datos precisos de ocho pacientes con AIT (30,77%) y de 27 pacientes con IICR (62,79%). No se evidenciaron diferencias significativas entre las frecuencias de tratamientos prescritos al alta. Tampoco existieron diferencias significativas en el tiempo de demora para realizar la RM cerebral desde el momento del ingreso en nuestra unidad de ictus entre los AIT y los IICR –media (días), 2,74 (σ ± 1,33) frente a 3,19 (σ ± 1,61); p = 0,36812; rango (días), 1-6 y 1-9, respectivamente–. Comparativa entre accidente isquémico transitorio e ictus isquémico clínicamente recuperado. AAS: ácido acetilsalicílico; AIT: accidente isquémico transitorio; FA: fibrilación auricular; H: hombre; IICR: ictus isquémico clínicamente recuperado; M: mujer; TEA: tromboendarterectomía. Se incluyen perfil de hipercoagulabilidad (estudios genéticos y de factores de coagulación), síndrome antifosfolípido y serologías; Se incluyen los ocho ictus embólicos de origen desconocido en esta categoría, dado el abordaje diagnóstico y terapéutico individualizado de esta patología. Sí que se ha evidenciado una mayor realización de pruebas complementarias de forma significativa en el subgrupo de pacientes con diagnóstico de IICR de perfil embólico (suma de IICR cardioembólico e IICR ESUS) con respecto a los AIT de perfil embólico (suma de AIT cardioembólico y AIT de perfil embólico de etiología indeterminada). Además, también se ha observado una diferencia estadísticamente significativa en las modificaciones de los tratamientos al alta al ser descubierta la etiología del IICR. Esta tendencia no se ha confirmado en los pacientes con diagnóstico de AIT (Tabla).
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[ "Introducción", "Pacientes y métodos", "Resultados", "Discusión" ]
[ "El accidente isquémico transitorio (AIT) es una patología altamente incidente en todo el mundo, con aproximadamente 7,5 millones de eventos anualmente, de los cuales un 10-15% se seguirá de un ictus isquémico en los tres meses posteriores [1]. La gran importancia pronóstica de esta entidad ha hecho que, en los últimos años, su definición y caracterización hayan avanzado en la línea de lograr una mayor concreción diagnóstica. Aunque todavía encontramos definiciones clásicas del AIT, como la de la European Stroke Organisation u otros grupos de estudio, en las que esta patología se define como el déficit focal neurológico transitorio sin hallazgos isquémicos agudos en la neuroimagen y con una duración inferior a 24 horas [2,3]; últimamente se están haciendo esfuerzos por concretar la descripción de esta entidad. Así, algunos autores comienzan a definir el AIT como el déficit focal neurológico de etiología claramente cerebrovascular y de duración menor de una hora [4].\nCon los avances en las técnicas de neuroimagen, y más concretamente con las secuencias en difusión en la resonancia magnética (RM) cerebral, esta prueba se empieza a considerar fundamental en la evaluación del AIT [5]. Esto se basa en que entre el 30 y el 50% de los pacientes con AIT presentan lesiones isquémicas establecidas en la RM con secuencias en difusión a pesar de la reversibilidad clínica [6]. La presencia de estas lesiones confiere un riesgo añadido de padecer un nuevo ictus clínicamente establecido a corto plazo [7]. Por tanto, realizar una RM con secuencias en difusión, a poder ser de forma precoz [7], al estudiar una sospecha de AIT, tiene importantes implicaciones pronósticas [8]. De esta manera, se logra una precisión diagnóstica en el abordaje del AIT no alcanzable con otras técnicas de neuroimagen, como la tomografía computarizada cerebral [4,9].\nPresentamos así un estudio realizado en nuestro centro en el que todos los pacientes analizados ingresaron por sospecha de AIT. Se llevaron a cabo en todos ellos estudios de patología cerebrovascular, incluida la RM de forma precoz, con el objetivo de valorar la existencia de lesiones isquémicas establecidas en la neuroimagen. Posteriormente, se analizaron los diagnósticos de dichos pacientes y el manejo diferencial realizado en los pacientes diagnosticados de AIT, en contraposición a aquéllos con lesión isquémica establecida en la RM. A efectos prácticos de este estudio, este último cuadro clínico se ha denominado a efectos prácticos de este estudio ictus isquémico clínicamente recuperado (IICR). Por último, una vez clasificado cada paciente por su diagnóstico, se estudió el manejo realizado gracias a los hallazgos de la RM en los pacientes diagnosticados de AIT en contraposición a los diagnosticados de IICR.", "Se realizó un estudio unicéntrico, observacional, transversal, descriptivo y analítico de los pacientes ingresados en la unidad de ictus del Hospital Universitario de Cabueñes con sospecha clínica de AIT. Estos pacientes se definieron como aquéllos que consultaron por un déficit neurológico transitorio de instauración súbita, con resolución espontánea en menos de 24 horas de acuerdo con la historia referida por el paciente, con exploración neurológica con una puntuación en la National Institute of Health Stroke Scale de 0 y sin otros datos de déficits neurológicos en el momento del ingreso. Se estudió a los pacientes ingresados en un período de seis meses (enero a junio de 2021).\nSe analizaron las siguientes variables: edad, sexo, historia de hábito tabáquico (no fumador, exfumador o fumador activo), consumo perjudicial de alcohol (en hombres, más de 21 unidades de bebida estándar semanales o más de 40 g/día de alcohol puro; en mujeres, más de 15 unidades de bebida estándar semanales o más de 25 g/día de alcohol puro), hipertensión arterial, dislipidemia o diabetes mellitus; historia de fibrilación auricular, historia de ictus o AIT previo, síntoma guía de consulta y duración de la clínica, pruebas complementarias realizadas (análisis, estudio neurosonológico o ecocardiograma), diagnóstico emitido y tratamiento al alta; además de puntualizar si el tratamiento sufrió modificaciones. Asimismo, en todos los pacientes se realizaron estudios de RM cerebral de forma precoz y se recogieron los datos correspondientes al tiempo de demora en realizar la prueba desde el momento del ingreso, así como los hallazgos en la neuroimagen y la localización de las lesiones isquémicas si las hubiese. El diagnostico de IICR y no de otras patologías que produjesen lesiones hiperintensas en secuencias de RM en difusión se realizó basándose en estos criterios: sintomatología altamente sugestiva de patología cerebrovascular, presencia de factores de riesgo para patología cerebrovascular y otras características de los pacientes que aumentasen dicho riesgo; datos en el estudio Doppler, presencia de una fuente cardioembólica u otra etiología sugestiva de embolismo cerebral; y características de las lesiones en la RM, todo ello en ausencia de otras causas justificativas de dichas lesiones.\nRecogidos estos datos, se procedió a calcular los porcentajes correspondientes a cada uno de los diagnósticos emitidos en la totalidad de los pacientes estudiados. Establecidos los diagnósticos, así como el número de pacientes que correspondían a cada categoría diagnóstica, se completaron los datos de los pacientes con IICR con los hallazgos de RM cerebral, detallando la localización de la lesión isquémica establecida, así como la etiología en el caso de los IICR. También se detalló la etiología probable de los pacientes diagnosticados como AIT.\nPor último, se compararon los datos de los pacientes diagnosticados de IICR con respecto a los diagnosticados de AIT, excluyendo en este grupo a los pacientes que tuviesen un diagnóstico de otra patología diferente a la cerebrovascular (o stroke mimic). Se realizó un estudio comparativo de todas las variables en ambos grupos, IICR y AIT. Se aplicó un análisis univariante con la prueba t de Student para el caso de las variables cuantitativas paramétricas, la U de Mann-Whitney en el caso de variables cuantitativas no paramétricas y la prueba χ2 para las variables categóricas, buscando diferencias estadísticamente significativas entre ambos grupos (p < 0,05). También se compararon las frecuencias de estudios realizados y la diferencias entre los tratamientos establecidos en ambas categorías diagnósticas en busca de diferencias estadísticamente significativas (p < 0,05).\nEste trabajo contó con la aprobación del comité de ética correspondiente para su realización.", "Se hallaron 106 pacientes ingresados en nuestra unidad de ictus con sospecha clínica de AIT. Cuarenta y tres pacientes (40,57%) fueron diagnosticados de IICR gracias a la realización de una RM cerebral; 26 (24,53%) fueron diagnosticados de AIT; y el resto, 37 (34,90%), recibieron otros diagnósticos: trastornos funcionales, ictus hemorrágicos, crisis epilépticas, auras migrañosas, amyloid spells u otras causas no neurológicas de los episodios (Fig. 1).\nDiagnósticos emitidos.\nAIT: accidente isquémico transitorio; IICR: ictus isquémico clínicamente recuperado.\nDe los 43 pacientes diagnosticados de IICR, ocho (18,60%) fueron ictus embólicos de origen desconocido (embolic stroke of unknown source, ESUS); ocho (18,60%), cardioembólicos; ocho (18,60%), aterotrombóticos; y el resto, 19 (44,19%), otras etiologías (Fig. 2).\nEtiología de los ictus isquémicos clínicamente recuperados.\nESUS: ictus embólicos de origen desconocido (del inglés, embolic stroke of unknown source).\nVeintiún IICR (48,84%) se localizaron en territorio de circulación cerebral anterior; ocho (18,6%) fueron multiterritorio; cinco (11,33%) de localización troncoencefálica; cinco (11,33%) en los ganglios basales; dos (4,66%) en territorio de circulación cerebral posterior; y dos (4,66%), cerebelosos (Fig. 3).\nLocalización de los ictus isquémicos clínicamente recuperados.\nACM: arteria cerebral media; ACP: arteria cerebral posterior; D: derecha/o; I: izquierda/o; TE: troncoencefálico.\nNo se encontraron diferencias significativamente estadísticas entre los pacientes con AIT y aquellos con IICR en ninguna de las variables basales estudiadas, ni tampoco entre los síntomas guía de consulta (Tabla). La duración de la sintomatología de consulta entre los pacientes con AIT y aquellos con IICR no difirió de forma significativa –media (minutos), 36,76 (σ ± 68,46) frente a 50,56 (σ ± 57,21); p = 0,3125–, aunque sólo se pudieron recabar datos precisos de ocho pacientes con AIT (30,77%) y de 27 pacientes con IICR (62,79%). No se evidenciaron diferencias significativas entre las frecuencias de tratamientos prescritos al alta. Tampoco existieron diferencias significativas en el tiempo de demora para realizar la RM cerebral desde el momento del ingreso en nuestra unidad de ictus entre los AIT y los IICR –media (días), 2,74 (σ ± 1,33) frente a 3,19 (σ ± 1,61); p = 0,36812; rango (días), 1-6 y 1-9, respectivamente–.\nComparativa entre accidente isquémico transitorio e ictus isquémico clínicamente recuperado.\nAAS: ácido acetilsalicílico; AIT: accidente isquémico transitorio; FA: fibrilación auricular; H: hombre; IICR: ictus isquémico clínicamente recuperado; M: mujer; TEA: tromboendarterectomía.\nSe incluyen perfil de hipercoagulabilidad (estudios genéticos y de factores de coagulación), síndrome antifosfolípido y serologías;\nSe incluyen los ocho ictus embólicos de origen desconocido en esta categoría, dado el abordaje diagnóstico y terapéutico individualizado de esta patología.\nSí que se ha evidenciado una mayor realización de pruebas complementarias de forma significativa en el subgrupo de pacientes con diagnóstico de IICR de perfil embólico (suma de IICR cardioembólico e IICR ESUS) con respecto a los AIT de perfil embólico (suma de AIT cardioembólico y AIT de perfil embólico de etiología indeterminada). Además, también se ha observado una diferencia estadísticamente significativa en las modificaciones de los tratamientos al alta al ser descubierta la etiología del IICR. Esta tendencia no se ha confirmado en los pacientes con diagnóstico de AIT (Tabla).", "Antes de iniciar la discusión, queremos destacar la importancia de realizar un correcto diagnóstico de IICR, descartando otras patologías que puedan presentar lesiones hiperintensas en secuencias en difusión [1], para así poder hacer una mejor comparativa entre AIT e IICR. Una vez descartadas otras etiologías de la sintomatología de los pacientes, en nuestro estudio destaca la mayor proporción de IICR, 43 pacientes (40,57% del total), en comparación con los AIT definidos, 26 (24,53% del total). Algunos estudios han mostrado una menor proporción de pacientes con lesión establecida en la RM (los IICR de nuestro trabajo) en contraposición a aquéllos con un AIT definido [8,10]. Sin embargo, otros trabajos muestran proporciones similares a las halladas en nuestra serie de casos [1].\nNinguna característica basal o antecedente personal, ni la sintomatología o su duración referidas fueron significativamente diferentes entre los pacientes con AIT y los pacientes con IICR. Estas características carecen, de acuerdo con nuestros resultados, de valor pronóstico para distinguir entre AIT e IICR. Por tanto, realizar una RM con secuencias en difusión a todos los pacientes con sospecha de AIT parece fundamental para poder orientar mejor el caso particular de cada paciente. Esto se debe a que se ha visto que los pacientes que presenten lesiones isquémicas establecidas tienen mayores probabilidades de padecer un ictus isquémico clínicamente establecido en el futuro [7,11]. Varios estudios enfatizan la necesidad de hacer una RM de forma precoz en este sentido, ya que tras sólo 48 horas de desaparición de la clínica, la RM en secuencia en difusión puede negativizarse [12]. Otros trabajos recomiendan realizar la RM en las primeras 24 horas desde el inicio de la asistencia médica al paciente, ya que la localización y la distribución de las lesiones en la neuroimagen pueden tener valor diagnóstico [1,13]. En nuestro estudio, por razones logísticas, el tiempo medio de demora para realizar la RM desde el ingreso superó esta ventana temporal, pero creemos que posiblemente haya sido suficiente para diagnosticar la mayoría de los IICR potenciales.\nLos IICR en nuestra serie de casos fueron en un 37,2% de etiología embólica, sumando los ocho pacientes con ictus de etiología cardioembólica y los ocho con ESUS. Se puede entender este gran porcentaje de ictus embólicos por la propensión de este tipo de ictus a producir un mayor número de ictus leves, sobre todo en el caso de los ESUS [14]. Esto podría explicar la reversibilidad clínica que manifiestan estos pacientes. Además, hay que destacar que la mayoría de los pacientes con IICR de perfil embólico han sido diagnosticados de la etiología de su ictus, o al menos se ha orientado el caso que correspondiese como ESUS, gracias a la monitorización y, en gran medida, a la RM y a las características de las lesiones isquémicas en las secuencias en difusión. Incidiendo en esta cuestión, esta última prueba ha sido crucial, particularmente en los pacientes con ESUS, ya que catalogarlos como tal gracias a realizar una RM ha llevado a que significativamente se hayan realizado más estudios diagnósticos para intentar buscar la fuente embolígena de la lesión isquémica, siguiendo las más recientes recomendaciones al respecto [15,16].\nLos tratamientos entre los pacientes con AIT y aquéllos con IICR no han diferido de forma significativa en nuestro estudio, aunque se observa una tendencia numérica a prescribir más pauta de doble antiagregación (ácido acetilsalicílico y clopidogrel). Esto se sitúa en consonancia con estudios previos en los que se recomienda iniciar terapia con doble antiagregación en los ictus minor (puntuación en la National Institute of Health Stroke Scale <5) [17-19]. Esta diferencia podría explicarse porque la mayor parte de los AIT de nuestra serie no se consideraron de alto riesgo al no puntuar 4 o más en la escala ABCD2 [20,21], o por no considerar adecuado iniciar esta terapia teniendo en cuenta el balance riesgo-beneficio, dado el riesgo de hemorragias que conlleva [22]. Asimismo, la antiagregación es el tratamiento estándar en pacientes con ESUS [15], grupo relativamente numeroso entre los IICR de nuestro estudio. Todas estas cuestiones probablemente hayan contribuido a que, al comparar AIT e IICR, exista una tendencia significativa a modificar la actitud terapéutica una vez que se ha orientado la etiología del IICR en contraposición a lo que sucede con el AIT, en los que no es inusual que no se modifique el tratamiento establecido si el paciente ya empleaba uno previamente. El hallazgo de un ictus es posible que confiera al evento clínico la gravedad necesaria para reconsiderar el abordaje del paciente. La RM en nuestro estudio ha desempeñado un papel fundamental en esta cuestión.\nQueremos también poner en valor la necesidad de una correcta clasificación de los pacientes que sufren un IICR. Motivo de controversia [23], creemos en la importancia de que esta entidad tenga nombre propio, empleando IICR u otros términos similares, por todas las implicaciones pronósticas y terapéuticas anteriormente mencionadas.\nEs destacable la elevada cantidad de pacientes en nuestra serie que no presentaron patología cerebrovascular, sino stroke mimics [24]. Ejemplos de ello serían crisis epilépticas, auras migrañosas o incluso patología neurológica funcional; etiologías de stroke mimics en consonancia con trabajos previos [25]. En nuestro estudio a 31 pacientes (29,24% del total) se les diagnosticó stroke mimics, porcentaje similar también a otros estudios [9]. La RM cerebral con secuencias en difusión fue fundamental para delimitar estas patologías, y estudios previos ya han puesto también en valor la importancia de esta prueba en el estudio de los stroke mimics [9, 24,25].\nNuestro estudio presenta varias limitaciones. Por un lado, nuestra muestra de pacientes es reducida y puede no haber alcanzado la significación estadística por este motivo en alguna de las variables estudiadas de forma comparada entre los AIT y los IICR. Asimismo, otras variables clínicas no estudiadas pueden tener importancia en la valoración de los resultados de nuestro trabajo. El tiempo de evolución de la clínica puede presentar un sesgo de selección importante, dada la cantidad de datos perdidos a la hora de evaluar esta variable. Además, reiteramos la posibilidad de que la demora en realizar las RM haya producido falsos negativos en los pacientes catalogados como AIT, y que estos en realidad sean IICR que han presentado lesiones isquémicas visibles de forma fugaz en las secuencias en difusión. Por último, las características de nuestro estudio y la ausencia de seguimiento imposibilitan la visualización de la evolución de las lesiones en la RM, así como la evolución de los pacientes tras el alta.\nEn conclusión, la RM es una herramienta fundamental en el abordaje diagnóstico de los pacientes que consultan por sospecha de AIT. Muchos de estos pacientes presentarán un stroke mimic. En otro porcentaje importante se evidenciarán lesiones isquémicas establecidas a pesar de la reversibilidad clínica. Las características radiológicas de estas lesiones isquémicas pueden ayudan a determinar la posible etiología de la patología cerebrovascular, lo que optimizaría el manejo de estos pacientes, así como su pronóstico. Se necesitan más estudios que validen esta hipótesis." ]
[ "intro", "methods", "results", "discussion" ]
[ "Accidente isquémico transitorio", "Ictus isquémico", "Recuperado", "Resonancia magnética", "Resonancia magnética con secuencias en difusión", "\nStroke mimic\n", "Diffusion-weighted magnetic resonance sequences", "Ischaemic stroke", "Magnetic resonance", "Recovered", "Stroke mimic", "Transient ischaemic attack" ]
Introducción: El accidente isquémico transitorio (AIT) es una patología altamente incidente en todo el mundo, con aproximadamente 7,5 millones de eventos anualmente, de los cuales un 10-15% se seguirá de un ictus isquémico en los tres meses posteriores [1]. La gran importancia pronóstica de esta entidad ha hecho que, en los últimos años, su definición y caracterización hayan avanzado en la línea de lograr una mayor concreción diagnóstica. Aunque todavía encontramos definiciones clásicas del AIT, como la de la European Stroke Organisation u otros grupos de estudio, en las que esta patología se define como el déficit focal neurológico transitorio sin hallazgos isquémicos agudos en la neuroimagen y con una duración inferior a 24 horas [2,3]; últimamente se están haciendo esfuerzos por concretar la descripción de esta entidad. Así, algunos autores comienzan a definir el AIT como el déficit focal neurológico de etiología claramente cerebrovascular y de duración menor de una hora [4]. Con los avances en las técnicas de neuroimagen, y más concretamente con las secuencias en difusión en la resonancia magnética (RM) cerebral, esta prueba se empieza a considerar fundamental en la evaluación del AIT [5]. Esto se basa en que entre el 30 y el 50% de los pacientes con AIT presentan lesiones isquémicas establecidas en la RM con secuencias en difusión a pesar de la reversibilidad clínica [6]. La presencia de estas lesiones confiere un riesgo añadido de padecer un nuevo ictus clínicamente establecido a corto plazo [7]. Por tanto, realizar una RM con secuencias en difusión, a poder ser de forma precoz [7], al estudiar una sospecha de AIT, tiene importantes implicaciones pronósticas [8]. De esta manera, se logra una precisión diagnóstica en el abordaje del AIT no alcanzable con otras técnicas de neuroimagen, como la tomografía computarizada cerebral [4,9]. Presentamos así un estudio realizado en nuestro centro en el que todos los pacientes analizados ingresaron por sospecha de AIT. Se llevaron a cabo en todos ellos estudios de patología cerebrovascular, incluida la RM de forma precoz, con el objetivo de valorar la existencia de lesiones isquémicas establecidas en la neuroimagen. Posteriormente, se analizaron los diagnósticos de dichos pacientes y el manejo diferencial realizado en los pacientes diagnosticados de AIT, en contraposición a aquéllos con lesión isquémica establecida en la RM. A efectos prácticos de este estudio, este último cuadro clínico se ha denominado a efectos prácticos de este estudio ictus isquémico clínicamente recuperado (IICR). Por último, una vez clasificado cada paciente por su diagnóstico, se estudió el manejo realizado gracias a los hallazgos de la RM en los pacientes diagnosticados de AIT en contraposición a los diagnosticados de IICR. Pacientes y métodos: Se realizó un estudio unicéntrico, observacional, transversal, descriptivo y analítico de los pacientes ingresados en la unidad de ictus del Hospital Universitario de Cabueñes con sospecha clínica de AIT. Estos pacientes se definieron como aquéllos que consultaron por un déficit neurológico transitorio de instauración súbita, con resolución espontánea en menos de 24 horas de acuerdo con la historia referida por el paciente, con exploración neurológica con una puntuación en la National Institute of Health Stroke Scale de 0 y sin otros datos de déficits neurológicos en el momento del ingreso. Se estudió a los pacientes ingresados en un período de seis meses (enero a junio de 2021). Se analizaron las siguientes variables: edad, sexo, historia de hábito tabáquico (no fumador, exfumador o fumador activo), consumo perjudicial de alcohol (en hombres, más de 21 unidades de bebida estándar semanales o más de 40 g/día de alcohol puro; en mujeres, más de 15 unidades de bebida estándar semanales o más de 25 g/día de alcohol puro), hipertensión arterial, dislipidemia o diabetes mellitus; historia de fibrilación auricular, historia de ictus o AIT previo, síntoma guía de consulta y duración de la clínica, pruebas complementarias realizadas (análisis, estudio neurosonológico o ecocardiograma), diagnóstico emitido y tratamiento al alta; además de puntualizar si el tratamiento sufrió modificaciones. Asimismo, en todos los pacientes se realizaron estudios de RM cerebral de forma precoz y se recogieron los datos correspondientes al tiempo de demora en realizar la prueba desde el momento del ingreso, así como los hallazgos en la neuroimagen y la localización de las lesiones isquémicas si las hubiese. El diagnostico de IICR y no de otras patologías que produjesen lesiones hiperintensas en secuencias de RM en difusión se realizó basándose en estos criterios: sintomatología altamente sugestiva de patología cerebrovascular, presencia de factores de riesgo para patología cerebrovascular y otras características de los pacientes que aumentasen dicho riesgo; datos en el estudio Doppler, presencia de una fuente cardioembólica u otra etiología sugestiva de embolismo cerebral; y características de las lesiones en la RM, todo ello en ausencia de otras causas justificativas de dichas lesiones. Recogidos estos datos, se procedió a calcular los porcentajes correspondientes a cada uno de los diagnósticos emitidos en la totalidad de los pacientes estudiados. Establecidos los diagnósticos, así como el número de pacientes que correspondían a cada categoría diagnóstica, se completaron los datos de los pacientes con IICR con los hallazgos de RM cerebral, detallando la localización de la lesión isquémica establecida, así como la etiología en el caso de los IICR. También se detalló la etiología probable de los pacientes diagnosticados como AIT. Por último, se compararon los datos de los pacientes diagnosticados de IICR con respecto a los diagnosticados de AIT, excluyendo en este grupo a los pacientes que tuviesen un diagnóstico de otra patología diferente a la cerebrovascular (o stroke mimic). Se realizó un estudio comparativo de todas las variables en ambos grupos, IICR y AIT. Se aplicó un análisis univariante con la prueba t de Student para el caso de las variables cuantitativas paramétricas, la U de Mann-Whitney en el caso de variables cuantitativas no paramétricas y la prueba χ2 para las variables categóricas, buscando diferencias estadísticamente significativas entre ambos grupos (p < 0,05). También se compararon las frecuencias de estudios realizados y la diferencias entre los tratamientos establecidos en ambas categorías diagnósticas en busca de diferencias estadísticamente significativas (p < 0,05). Este trabajo contó con la aprobación del comité de ética correspondiente para su realización. Resultados: Se hallaron 106 pacientes ingresados en nuestra unidad de ictus con sospecha clínica de AIT. Cuarenta y tres pacientes (40,57%) fueron diagnosticados de IICR gracias a la realización de una RM cerebral; 26 (24,53%) fueron diagnosticados de AIT; y el resto, 37 (34,90%), recibieron otros diagnósticos: trastornos funcionales, ictus hemorrágicos, crisis epilépticas, auras migrañosas, amyloid spells u otras causas no neurológicas de los episodios (Fig. 1). Diagnósticos emitidos. AIT: accidente isquémico transitorio; IICR: ictus isquémico clínicamente recuperado. De los 43 pacientes diagnosticados de IICR, ocho (18,60%) fueron ictus embólicos de origen desconocido (embolic stroke of unknown source, ESUS); ocho (18,60%), cardioembólicos; ocho (18,60%), aterotrombóticos; y el resto, 19 (44,19%), otras etiologías (Fig. 2). Etiología de los ictus isquémicos clínicamente recuperados. ESUS: ictus embólicos de origen desconocido (del inglés, embolic stroke of unknown source). Veintiún IICR (48,84%) se localizaron en territorio de circulación cerebral anterior; ocho (18,6%) fueron multiterritorio; cinco (11,33%) de localización troncoencefálica; cinco (11,33%) en los ganglios basales; dos (4,66%) en territorio de circulación cerebral posterior; y dos (4,66%), cerebelosos (Fig. 3). Localización de los ictus isquémicos clínicamente recuperados. ACM: arteria cerebral media; ACP: arteria cerebral posterior; D: derecha/o; I: izquierda/o; TE: troncoencefálico. No se encontraron diferencias significativamente estadísticas entre los pacientes con AIT y aquellos con IICR en ninguna de las variables basales estudiadas, ni tampoco entre los síntomas guía de consulta (Tabla). La duración de la sintomatología de consulta entre los pacientes con AIT y aquellos con IICR no difirió de forma significativa –media (minutos), 36,76 (σ ± 68,46) frente a 50,56 (σ ± 57,21); p = 0,3125–, aunque sólo se pudieron recabar datos precisos de ocho pacientes con AIT (30,77%) y de 27 pacientes con IICR (62,79%). No se evidenciaron diferencias significativas entre las frecuencias de tratamientos prescritos al alta. Tampoco existieron diferencias significativas en el tiempo de demora para realizar la RM cerebral desde el momento del ingreso en nuestra unidad de ictus entre los AIT y los IICR –media (días), 2,74 (σ ± 1,33) frente a 3,19 (σ ± 1,61); p = 0,36812; rango (días), 1-6 y 1-9, respectivamente–. Comparativa entre accidente isquémico transitorio e ictus isquémico clínicamente recuperado. AAS: ácido acetilsalicílico; AIT: accidente isquémico transitorio; FA: fibrilación auricular; H: hombre; IICR: ictus isquémico clínicamente recuperado; M: mujer; TEA: tromboendarterectomía. Se incluyen perfil de hipercoagulabilidad (estudios genéticos y de factores de coagulación), síndrome antifosfolípido y serologías; Se incluyen los ocho ictus embólicos de origen desconocido en esta categoría, dado el abordaje diagnóstico y terapéutico individualizado de esta patología. Sí que se ha evidenciado una mayor realización de pruebas complementarias de forma significativa en el subgrupo de pacientes con diagnóstico de IICR de perfil embólico (suma de IICR cardioembólico e IICR ESUS) con respecto a los AIT de perfil embólico (suma de AIT cardioembólico y AIT de perfil embólico de etiología indeterminada). Además, también se ha observado una diferencia estadísticamente significativa en las modificaciones de los tratamientos al alta al ser descubierta la etiología del IICR. Esta tendencia no se ha confirmado en los pacientes con diagnóstico de AIT (Tabla). Discusión: Antes de iniciar la discusión, queremos destacar la importancia de realizar un correcto diagnóstico de IICR, descartando otras patologías que puedan presentar lesiones hiperintensas en secuencias en difusión [1], para así poder hacer una mejor comparativa entre AIT e IICR. Una vez descartadas otras etiologías de la sintomatología de los pacientes, en nuestro estudio destaca la mayor proporción de IICR, 43 pacientes (40,57% del total), en comparación con los AIT definidos, 26 (24,53% del total). Algunos estudios han mostrado una menor proporción de pacientes con lesión establecida en la RM (los IICR de nuestro trabajo) en contraposición a aquéllos con un AIT definido [8,10]. Sin embargo, otros trabajos muestran proporciones similares a las halladas en nuestra serie de casos [1]. Ninguna característica basal o antecedente personal, ni la sintomatología o su duración referidas fueron significativamente diferentes entre los pacientes con AIT y los pacientes con IICR. Estas características carecen, de acuerdo con nuestros resultados, de valor pronóstico para distinguir entre AIT e IICR. Por tanto, realizar una RM con secuencias en difusión a todos los pacientes con sospecha de AIT parece fundamental para poder orientar mejor el caso particular de cada paciente. Esto se debe a que se ha visto que los pacientes que presenten lesiones isquémicas establecidas tienen mayores probabilidades de padecer un ictus isquémico clínicamente establecido en el futuro [7,11]. Varios estudios enfatizan la necesidad de hacer una RM de forma precoz en este sentido, ya que tras sólo 48 horas de desaparición de la clínica, la RM en secuencia en difusión puede negativizarse [12]. Otros trabajos recomiendan realizar la RM en las primeras 24 horas desde el inicio de la asistencia médica al paciente, ya que la localización y la distribución de las lesiones en la neuroimagen pueden tener valor diagnóstico [1,13]. En nuestro estudio, por razones logísticas, el tiempo medio de demora para realizar la RM desde el ingreso superó esta ventana temporal, pero creemos que posiblemente haya sido suficiente para diagnosticar la mayoría de los IICR potenciales. Los IICR en nuestra serie de casos fueron en un 37,2% de etiología embólica, sumando los ocho pacientes con ictus de etiología cardioembólica y los ocho con ESUS. Se puede entender este gran porcentaje de ictus embólicos por la propensión de este tipo de ictus a producir un mayor número de ictus leves, sobre todo en el caso de los ESUS [14]. Esto podría explicar la reversibilidad clínica que manifiestan estos pacientes. Además, hay que destacar que la mayoría de los pacientes con IICR de perfil embólico han sido diagnosticados de la etiología de su ictus, o al menos se ha orientado el caso que correspondiese como ESUS, gracias a la monitorización y, en gran medida, a la RM y a las características de las lesiones isquémicas en las secuencias en difusión. Incidiendo en esta cuestión, esta última prueba ha sido crucial, particularmente en los pacientes con ESUS, ya que catalogarlos como tal gracias a realizar una RM ha llevado a que significativamente se hayan realizado más estudios diagnósticos para intentar buscar la fuente embolígena de la lesión isquémica, siguiendo las más recientes recomendaciones al respecto [15,16]. Los tratamientos entre los pacientes con AIT y aquéllos con IICR no han diferido de forma significativa en nuestro estudio, aunque se observa una tendencia numérica a prescribir más pauta de doble antiagregación (ácido acetilsalicílico y clopidogrel). Esto se sitúa en consonancia con estudios previos en los que se recomienda iniciar terapia con doble antiagregación en los ictus minor (puntuación en la National Institute of Health Stroke Scale <5) [17-19]. Esta diferencia podría explicarse porque la mayor parte de los AIT de nuestra serie no se consideraron de alto riesgo al no puntuar 4 o más en la escala ABCD2 [20,21], o por no considerar adecuado iniciar esta terapia teniendo en cuenta el balance riesgo-beneficio, dado el riesgo de hemorragias que conlleva [22]. Asimismo, la antiagregación es el tratamiento estándar en pacientes con ESUS [15], grupo relativamente numeroso entre los IICR de nuestro estudio. Todas estas cuestiones probablemente hayan contribuido a que, al comparar AIT e IICR, exista una tendencia significativa a modificar la actitud terapéutica una vez que se ha orientado la etiología del IICR en contraposición a lo que sucede con el AIT, en los que no es inusual que no se modifique el tratamiento establecido si el paciente ya empleaba uno previamente. El hallazgo de un ictus es posible que confiera al evento clínico la gravedad necesaria para reconsiderar el abordaje del paciente. La RM en nuestro estudio ha desempeñado un papel fundamental en esta cuestión. Queremos también poner en valor la necesidad de una correcta clasificación de los pacientes que sufren un IICR. Motivo de controversia [23], creemos en la importancia de que esta entidad tenga nombre propio, empleando IICR u otros términos similares, por todas las implicaciones pronósticas y terapéuticas anteriormente mencionadas. Es destacable la elevada cantidad de pacientes en nuestra serie que no presentaron patología cerebrovascular, sino stroke mimics [24]. Ejemplos de ello serían crisis epilépticas, auras migrañosas o incluso patología neurológica funcional; etiologías de stroke mimics en consonancia con trabajos previos [25]. En nuestro estudio a 31 pacientes (29,24% del total) se les diagnosticó stroke mimics, porcentaje similar también a otros estudios [9]. La RM cerebral con secuencias en difusión fue fundamental para delimitar estas patologías, y estudios previos ya han puesto también en valor la importancia de esta prueba en el estudio de los stroke mimics [9, 24,25]. Nuestro estudio presenta varias limitaciones. Por un lado, nuestra muestra de pacientes es reducida y puede no haber alcanzado la significación estadística por este motivo en alguna de las variables estudiadas de forma comparada entre los AIT y los IICR. Asimismo, otras variables clínicas no estudiadas pueden tener importancia en la valoración de los resultados de nuestro trabajo. El tiempo de evolución de la clínica puede presentar un sesgo de selección importante, dada la cantidad de datos perdidos a la hora de evaluar esta variable. Además, reiteramos la posibilidad de que la demora en realizar las RM haya producido falsos negativos en los pacientes catalogados como AIT, y que estos en realidad sean IICR que han presentado lesiones isquémicas visibles de forma fugaz en las secuencias en difusión. Por último, las características de nuestro estudio y la ausencia de seguimiento imposibilitan la visualización de la evolución de las lesiones en la RM, así como la evolución de los pacientes tras el alta. En conclusión, la RM es una herramienta fundamental en el abordaje diagnóstico de los pacientes que consultan por sospecha de AIT. Muchos de estos pacientes presentarán un stroke mimic. En otro porcentaje importante se evidenciarán lesiones isquémicas establecidas a pesar de la reversibilidad clínica. Las características radiológicas de estas lesiones isquémicas pueden ayudan a determinar la posible etiología de la patología cerebrovascular, lo que optimizaría el manejo de estos pacientes, así como su pronóstico. Se necesitan más estudios que validen esta hipótesis.
Background: Transient ischaemic attack (TIA) has classically been defined as an episode of self-limited focal neurological deficit lasting up to 24 hours, with no neuroimaging evidence of established acute ischaemic injury. However, the definition of this entity is changing, and is adapting to new times and new diagnostic techniques, including magnetic resonance imaging (MRI) with diffusion sequences. An early and comprehensive approach to TIA, including MRI, is important to rule out clinically recovered established ischaemic strokes, in order to optimise the diagnostic and therapeutic management of patients. Methods: Patients admitted to our stroke unit over a six-month period with suspected TIA were identified, and the definitive diagnosis and approach was studied based on the tests performed. Results: A sample of 106 suspected cases of TIA were studied, in which early MRI was performed. Of these, 42 (39.62%) were clinically recovered ischaemic strokes (CRIS); 32 (30.18%), other pathologies (six epileptic seizures, five migraine auras, nine functional disorders, two amyloid spells and nine other causes, totalling 31); 26 (24.52%), TIAs; and six (5.66%), haemorrhagic stroke. Of 43 CRIS, eight (18.6%) were cardioembolic; eight (18.6%), atherothrombotic; eight (18.6%), embolic stroke of unknown origin; six (13.95%), lacunar stroke; five (11.62%) of infrequent cause; and four (9.3%), totalling 39, of undetermined cause. CRIS patients received significantly more individualised therapeutic management than TIA patients. Conclusions: The early use of MRI in the clinical suspicion of TIA makes it possible to gather evidence of CRIS and optimises the diagnostic and therapeutic approach for patients.
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[ "de", "en", "la", "los", "con", "pacientes", "se", "el", "que", "ait" ]
[ "neurológico transitorio de", "neuroimagen más concretamente", "déficits neurológicos en", "diagnosticó stroke", "exploración neurológica con" ]
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[CONTENT] Accidente isquémico transitorio | Ictus isquémico | Recuperado | Resonancia magnética | Resonancia magnética con secuencias en difusión | Stroke mimic | Diffusion-weighted magnetic resonance sequences | Ischaemic stroke | Magnetic resonance | Recovered | Stroke mimic | Transient ischaemic attack [SUMMARY]
[CONTENT] Accidente isquémico transitorio | Ictus isquémico | Recuperado | Resonancia magnética | Resonancia magnética con secuencias en difusión | Stroke mimic | Diffusion-weighted magnetic resonance sequences | Ischaemic stroke | Magnetic resonance | Recovered | Stroke mimic | Transient ischaemic attack [SUMMARY]
[CONTENT] Accidente isquémico transitorio | Ictus isquémico | Recuperado | Resonancia magnética | Resonancia magnética con secuencias en difusión | Stroke mimic | Diffusion-weighted magnetic resonance sequences | Ischaemic stroke | Magnetic resonance | Recovered | Stroke mimic | Transient ischaemic attack [SUMMARY]
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[CONTENT] Accidente isquémico transitorio | Ictus isquémico | Recuperado | Resonancia magnética | Resonancia magnética con secuencias en difusión | Stroke mimic | Diffusion-weighted magnetic resonance sequences | Ischaemic stroke | Magnetic resonance | Recovered | Stroke mimic | Transient ischaemic attack [SUMMARY]
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[CONTENT] Humans | Ischemic Attack, Transient | Stroke | Magnetic Resonance Imaging | Ischemic Stroke | Stroke, Lacunar [SUMMARY]
[CONTENT] Humans | Ischemic Attack, Transient | Stroke | Magnetic Resonance Imaging | Ischemic Stroke | Stroke, Lacunar [SUMMARY]
[CONTENT] Humans | Ischemic Attack, Transient | Stroke | Magnetic Resonance Imaging | Ischemic Stroke | Stroke, Lacunar [SUMMARY]
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[CONTENT] Humans | Ischemic Attack, Transient | Stroke | Magnetic Resonance Imaging | Ischemic Stroke | Stroke, Lacunar [SUMMARY]
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[CONTENT] neurológico transitorio de | neuroimagen más concretamente | déficits neurológicos en | diagnosticó stroke | exploración neurológica con [SUMMARY]
[CONTENT] neurológico transitorio de | neuroimagen más concretamente | déficits neurológicos en | diagnosticó stroke | exploración neurológica con [SUMMARY]
[CONTENT] neurológico transitorio de | neuroimagen más concretamente | déficits neurológicos en | diagnosticó stroke | exploración neurológica con [SUMMARY]
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[CONTENT] neurológico transitorio de | neuroimagen más concretamente | déficits neurológicos en | diagnosticó stroke | exploración neurológica con [SUMMARY]
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[CONTENT] de | en | la | los | con | pacientes | se | el | que | ait [SUMMARY]
[CONTENT] de | en | la | los | con | pacientes | se | el | que | ait [SUMMARY]
[CONTENT] de | en | la | los | con | pacientes | se | el | que | ait [SUMMARY]
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[CONTENT] de | en | la | los | con | pacientes | se | el | que | ait [SUMMARY]
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[CONTENT] de | en | la | el | los | con | ait | se | en la | una [SUMMARY]
[CONTENT] de | en | los | la | se | pacientes | con | el | los pacientes | de los [SUMMARY]
[CONTENT] de | los | iicr | ait | ictus | en | se | con | ocho | pacientes [SUMMARY]
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[CONTENT] de | en | la | los | se | con | el | pacientes | ait | iicr [SUMMARY]
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[CONTENT] up to 24 hours ||| ||| [SUMMARY]
[CONTENT] six-month [SUMMARY]
[CONTENT] 106 ||| 42 | 39.62% | CRIS | 32 | 30.18% | six | five | nine | two | nine | 31 | 26 | 24.52% | six (5.66% ||| 43 | CRIS | eight | 18.6% | eight | 18.6% | eight | 18.6% | six | 13.95% | five | 11.62% | four | 9.3% | 39 ||| CRIS [SUMMARY]
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[CONTENT] up to 24 hours ||| ||| ||| six-month ||| ||| 106 ||| 42 | 39.62% | CRIS | 32 | 30.18% | six | five | nine | two | nine | 31 | 26 | 24.52% | six (5.66% ||| 43 | CRIS | eight | 18.6% | eight | 18.6% | eight | 18.6% | six | 13.95% | five | 11.62% | four | 9.3% | 39 ||| CRIS ||| TIA | CRIS [SUMMARY]
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The combination of serum oligosaccharide chain (G-test), alpha-fetoprotein, and aspartate aminotransferase to alanine aminotransferase ratio provides the optimal diagnostic value for early detection of hepatocellular carcinoma.
36241994
The purpose of this study was to compare the diagnostic value of serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP) and aspartic aminotransferase to alanine aminotransferase ratios (AAR), both alone and in combination, for predicting hepatocellular carcinoma (HCC) onset.
BACKGROUND
Between Januarys 2020-2022, 152 subjects admitted to the First Affiliated Hospital of Nanchang University was enrolled in this study, of which 77 had HCC, 18 chronic hepatitis (CH), 37 liver cirrhosis (LC) and 20 were healthy. Data for patient characteristics were collected, and differences between groups were analyzed by either Mann-Whitney U or χ2 tests. Receiver operating characteristic (ROC) curve analysis was used to determine the diagnostic value of AFP, G-test, and AAR for HCC.
METHODS
G-test, AFP, and AAR were all found to have close correlations with HCC among the different patient groups, with G-test being the most predictive for HCC among healthy and CL patients, as represented by respective areas under the curve (AUC) of 0.953 and 0.792 (P < 0.001). By contrast, AAR had the greatest diagnostic ability for HCC among CH patients (AUC = 0.850; P < 0.001). However, the combination of all 3 biomarkers obtained the most optimal results for predicting HCC onset, in terms of predictive capability for all 3 non-HCC patient groups, yielding AUCs of 0.958, 0.898, and 0.808 (P < 0.001) for, respectively, healthy, CH, and LC patients. Additionally, AFP had higher specificity, but lower sensitivity, with increased threshold values, as the recommended threshold of AFP ≥ 400 ng/mL yielded a missed diagnosis rate of 72.7%. For AFP-negative HCC (AFP-NHCC) patients, G-test alone had the greatest diagnostic capability (AUC = 0.855; P < 0.001), sensitivity (83.8%), and specificity (87.5%).
RESULTS
G-test has the greatest diagnostic capability for HCC and AFP-NHCC, with high sensitivity and specificity, among healthy and LC patients. However, AAR had the highest diagnostic capability and sensitivity for HCC in CH. Overall, though, the combination of G-test, AFP and AAR provided the most optimal outcomes for predicting HCC onset, no matter the patient pre-conditions.
CONCLUSION
[ "Alanine Transaminase", "Aspartate Aminotransferases", "Biomarkers", "Biomarkers, Tumor", "Carcinoma, Hepatocellular", "Humans", "Liver Cirrhosis", "Liver Neoplasms", "Oligosaccharides", "ROC Curve", "alpha-Fetoproteins" ]
9563102
Introduction
Hepatocellular carcinoma (HCC) is one of the leading causes of cancer-related death worldwide; its high morbidity and mortality rate has resulted in the cancer being considered a significant global health risk. Its occurrence is most commonly attributed to chronic viral hepatitis, alcohol intake and aflatoxin exposure. Owing to the lack of obvious symptoms at the early stages, most patients end up diagnosed with HCC after it has progressed to its advanced stages, contributing to its extremely low overall five-year survival rates of < 16% [1–4]. Currently, HCC is diagnosed based on a combination of serological, radiological, and pathological features, with liver biopsy being considered the gold standard; however, the procedure is limited by its invasiveness and risks for sampling errors [5]. As a result, alternative approaches for diagnosing HCC has been developed, such as imaging technologies, though this has its own shortcomings. For instance, it is difficult under conventional ultrasound to distinguish between benign and malignant small hepatocellular nodules [6, 7]. Thus, identifying a non-invasive, rapid, and easy-to-measure marker for HCC would be of great utility for clinical screening and development of more effective treatment approaches. The ideal biomarker is one that is easily detected in serum, plasma, bile, and other body fluids. Serum alpha fetoprotein (AFP) has long been considered as such a biomarker, but its usage, though widespread, has been controversial, owing to its low sensitivity to HCC, especially at its early stages, of 10–20%. This has led to its recommendation in HCC screening guidelines being highly controversial [1, 8]. An alternative proposed biomarker that has emerged is aspartate aminotransferase (AST) to alanine aminotransferase (ALT) ratio (AAR), which had already been used as an indicator of liver fibrosis. AAR has also been found to be able to serve as a biomarker for the identification and early prediction of HCC recurrence [9–11], leading to it being proposed as an effective marker for AFP-negative HCC (AFP-NHCC) [12]. More recently, changes in the N-glycome has been identified as a potential effective serum marker for liver disease. In particular, abnormal changes in the glycosylation modifications on glycoproteins have been observed throughout the progression of chronic liver disease into HCC [13–15]. This finding has led to the emergence of serum oligosaccharide chain (G-test) detection technology. G-test was first defined by Liu et al. [13] as the GlycoHCCTest, which was the log ratio of peak 9 to peak 7 obtained from DNA sequencer–assisted fluorophore-assisted carbohydrate electrophoresis of patient serum, followed by normal-phase high-performance liquid chromatography and digestion with exoglycosidases. The resulting peak 9 represented a branch α-(1,3)-fucosylated triantennary glycan, which was more abundant among HCC patients, compared to those without HCC. By contrast, peak 7, representing bisecting core α-(1,6)-fucosylated biantennary glycans, decreased with increasing stages of HCC. Therefore, higher G-test measurements correlated with HCC progression [13]. This finding was further verified in a previous study [16], in which higher G-test levels were associated with HCC onset among patients with chronic hepatitis B and related cirrhosis, and that G-test was better than AFP for predicting HCC. However, the effectiveness for G-test to diagnose HCC among broader patient demographics, as well as its predictive capabilities compared to other diagnostic markers, is still scarce. In this study, we aim to fill in this knowledge gap by comparing the diagnostic value of G-test versus other markers. We examined the predictive capabilities of G-test, AFP, and AAR, both as single markers, and combined together, for detecting HCC in its early stages. We found that G-test had the greatest diagnostic ability for detecting HCC among healthy and liver cirrhosis (LC) patients, as well as AFP-NHCC among healthy, LC, and chronic hepatitis (CH) individuals. By contrast, AAR had the greatest diagnostic ability among CH. Regardless, the combination of all 3 tests yielded the most optimal outcomes with respect to diagnostic capability, sensitivity, and specificity for HCC.
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Results
Clinical characteristics for the study subjects A total of 159 subjects were initially selected, of which 152 were analyzed in the final study. The remaining 7 were excluded for the following reasons: 2 for lack of clear diagnosis, 1 for having a liver abscess, 1 for drug-induced hepatitis, and 3 for lack of AFP or G-test results. As shown in Table 1, a greater proportion of male patients was present in the HCC group (87.0%), compared to CH (22.2%), LC (21.6%) or healthy control groups (25%). The median age for HCC was 55.0 years (47.5–67.0), higher than LC and CH, respectively at 51.0 (42.0-65.5) and 43.0 (31.5–50.5), but lower than the healthy control, at 66.5 (48.3–75.8). Positive AFP readings and G-test readings were observed in, respectively, 51.9% (40/77 patients), and 90.9% (70/77) of the HCC group, while negative AFP and G-test results were found among 64% (48/75) and 77.3% (58/75) of the non-HCC groups (Table 2). Figure 1 summarizes the comparison between G-test, AFP and AAR levels for HCC, versus healthy (Fig. 1 A-C), CH (Fig. 1D-F), and LC (Fig. 1G-I) patient groups. Statistically significant differences were found between HCC versus all 3 non-HCC groups for G-test and AFP. For AAR, significant differences were only present for HCC versus CH patients. Additionally, the HCC group had the highest G-test value (Table 1). Table 2Numbers of non- and HCC patients with AFP or G-test-negative/positive HCCVariablesNon-HCCHCCTotal Healthy Hepatitis Cirrhosis Total AFP+ (Positive)01413274067− (Negative)20424483785Total2018377577152G-Test+ (Positive)0413177087− (Negative)20142458765Total2018377577152AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Numbers of non- and HCC patients with AFP or G-test-negative/positive HCC AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Fig. 1Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC). Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC). A total of 159 subjects were initially selected, of which 152 were analyzed in the final study. The remaining 7 were excluded for the following reasons: 2 for lack of clear diagnosis, 1 for having a liver abscess, 1 for drug-induced hepatitis, and 3 for lack of AFP or G-test results. As shown in Table 1, a greater proportion of male patients was present in the HCC group (87.0%), compared to CH (22.2%), LC (21.6%) or healthy control groups (25%). The median age for HCC was 55.0 years (47.5–67.0), higher than LC and CH, respectively at 51.0 (42.0-65.5) and 43.0 (31.5–50.5), but lower than the healthy control, at 66.5 (48.3–75.8). Positive AFP readings and G-test readings were observed in, respectively, 51.9% (40/77 patients), and 90.9% (70/77) of the HCC group, while negative AFP and G-test results were found among 64% (48/75) and 77.3% (58/75) of the non-HCC groups (Table 2). Figure 1 summarizes the comparison between G-test, AFP and AAR levels for HCC, versus healthy (Fig. 1 A-C), CH (Fig. 1D-F), and LC (Fig. 1G-I) patient groups. Statistically significant differences were found between HCC versus all 3 non-HCC groups for G-test and AFP. For AAR, significant differences were only present for HCC versus CH patients. Additionally, the HCC group had the highest G-test value (Table 1). Table 2Numbers of non- and HCC patients with AFP or G-test-negative/positive HCCVariablesNon-HCCHCCTotal Healthy Hepatitis Cirrhosis Total AFP+ (Positive)01413274067− (Negative)20424483785Total2018377577152G-Test+ (Positive)0413177087− (Negative)20142458765Total2018377577152AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Numbers of non- and HCC patients with AFP or G-test-negative/positive HCC AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Fig. 1Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC). Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC). Comparing differences in sensitivity for HCC between different AFP thresholds Table 3 shows the AFP levels for 77 patients in the HCC group, and different AFP threshold levels were established to determine its diagnostic capability for HCC, with the normal reference value set at 0–7 ng/mL. It was found that at AFP ≥ 7 ng/mL, 45 cases, or 58.4%, were diagnosed as HCC, but AFP sensitivity decreased to 41.6% at AFP ≥ 100 ng/mL. This sensitivity rate, however, was much greater than for the currently-recommended AFP diagnostic guidelines for liver cancer of ≥ 400 ng/mL. There, AFP sensitivity was only 27.3%, with missed diagnosis rate being as high as 72.7% (21/77). Table 3Percentages of correct and missed diagnoses for different biomarker thresholds in HCC groupBiomarker cutoffsPositive/total casesRate of correct diagnosis (%)Missed diagnosis rate (%)G-Test70/7790.99.1AFP ≥ 745/7758.441.6AFP ≥ 2040/7751.948.1AFP ≥ 10032/7741.658.4AFP ≥ 20028/7736.463.6AFP ≥ 40021/7727.372.7AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain Percentages of correct and missed diagnoses for different biomarker thresholds in HCC group AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain Table 3 shows the AFP levels for 77 patients in the HCC group, and different AFP threshold levels were established to determine its diagnostic capability for HCC, with the normal reference value set at 0–7 ng/mL. It was found that at AFP ≥ 7 ng/mL, 45 cases, or 58.4%, were diagnosed as HCC, but AFP sensitivity decreased to 41.6% at AFP ≥ 100 ng/mL. This sensitivity rate, however, was much greater than for the currently-recommended AFP diagnostic guidelines for liver cancer of ≥ 400 ng/mL. There, AFP sensitivity was only 27.3%, with missed diagnosis rate being as high as 72.7% (21/77). Table 3Percentages of correct and missed diagnoses for different biomarker thresholds in HCC groupBiomarker cutoffsPositive/total casesRate of correct diagnosis (%)Missed diagnosis rate (%)G-Test70/7790.99.1AFP ≥ 745/7758.441.6AFP ≥ 2040/7751.948.1AFP ≥ 10032/7741.658.4AFP ≥ 20028/7736.463.6AFP ≥ 40021/7727.372.7AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain Percentages of correct and missed diagnoses for different biomarker thresholds in HCC group AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain Evaluating the diagnostic values of the 3 biomarkers for HCC among different patient groups To further evaluate the diagnostic value of G-test, AFP, and AAR, either alone or in combination, for HCC versus healthy controls, ROC curve analysis was used, as shown in Fig. 2 A. Out of the 3 diagnostic tests, G-test had the greatest diagnostic ability, with AUC of 0.953 (0.890–0.986), significantly higher than for AFP with 0.827 (0.736–0.896), and AAR with 0.546 (0.441–0.648). Additionally, G-test had the highest sensitivity and specificity, at 90.9% (82.2–96.3) and 100.0% (83.2–100.0), respectively (Table 4). The AUC for G-test, AAR and AFP combined was similar to that of G-test, at 0.958 (0.896–0.988), suggesting that G-test alone was as predictive for detecting HCC onset, compared to all 3 tests in combination, among healthy controls. Fig. 2Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC. Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC. Table 4Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination)AUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PVp value Healthy vs. HCC G-Test0.953 (0.890–0.986)4.7390.9 (82.2–96.3)100.0 (83.2–100.0)0.9090.091 (0.04–0.2)100.074.1 (58.5–85.3)< 0.001AFP0.827 (0.736–0.896)5.2861.0 (49.2–72.0)95.0 (75.1–99.9)0.56012.2 (1.8–83.2)0.4 (0.3–0.6)97.9 (87.3–99.7)38.8 (32.0–46.0)< 0.001AAR0.546 (0.441–0.648)1.7570.1 (58.6–80.0)47.4 (24.4–71.1)0.1751.3 (0.8–2.1)0.63 (0.4–1.1)84.4 (77.5–89.4)28.1 (17.9–41.2)0.552G-Test + AFP + AAR0.958 (0.896–0.988)0.83988.3 (79.0-94.5)100.0 (82.4–100.0)0.8830.12 (0.06–0.2)100.067.9 (53.3–79.6)< 0.001 Hepatitis vs. HCC G-Test0.786 (0.690–0.864)4.4790.9 (82.2–96.3)77.8 (52.4–93.6)0.6874.1 (1.7–9.7)0.1 (0.06–0.2)94.6 (88.0-97.7)66.7 (48.6–80.9)< 0.001AFP0.652 (0.547–0.746)96.1458.4 (46.6–69.6)77.8 (52.4–93.6)0.3622.6 (1.1–6.4)0.5 (0.4–0.8)91.8 (82.3–96.5)30.4 (23.3–38.6)0.013AAR0.850 (0.762–0.915)1.5396.1 (89.0-99.2)72.2 (46.5–90.3)0.6833.5 (1.6–7.3)0.1 (0.02–0.2)93.7 (87.5–96.9)81.2 (57.9–93.2)< 0.001G-Test + AFP + AAR0.898 (0.818–0.950)0.8381.8 (71.4–89.7)88.9 (65.3–98.6)0.7077.4 (2.0-27.3)0.2 (0.1–0.3)96.9 (89.5–99.2)53.3 (40.9–65.4)< 0.001 Cirrhosis vs. HCC G-Test0.792 (0.705–0.862)5.5884.4 (74.4–91.7)73.0 (55.9–86.2)0.5743.1 (1.8–5.3)0.2 (0.1–0.4)86.7 (79.1–91.8)69.2 (56.3–79.7)< 0.001AFP0.655 (0.561–0.742)201.836.4 (25.7–48.1)94.6 (81.8–99.3)0.316.7 (1.7–26.7)0.8 (0.6–0.8)93.3 (77.9–98.2)41.7 (37.2–46.2)0.003AAR0.544 (0.448–0.638)0.5833.8 (23.4–45.4)81.1 (64.8–92.0)0.1491.8 (0.9–3.7)0.8 (0.7-1.0)78.8 (64.0-88.6)37.0 (32.0-42.4)0.427G-Test + AFP + AAR0.808 (0.723–0.876)0.6289.6 (80.6–95.4)67.6 (50.2–82.0)0.5722.8 (1.7–4.4)0.2 (0.08–0.3)85.2 (78.2–90.2)75.8 (61.0-86.2)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination) ±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma By contrast, the ROC curve analysis for G-test, AFP, and AAR among HCC versus CH patients found that AAR had the greatest diagnostic ability, with AUC of 0.850 (0.762–0.915), compared to 0.786 (0.690–0.864) and 0.652 (0.547–0.746) for, respectively, G-test and AFP (Fig. 2B). Furthermore, AAR had the highest sensitivity among the 3 tests, at 96.1% (89.0-99.2), but the lowest specificity, at 72.2% (46.5–90.3), compared to 77.8% (52.4–93.6) for G-test and AFP (Table 4). However, the diagnostic ability of all 3 tests combined was higher than for any of the tests alone, with AUC of 0.898 (0.818–0.950), as well as sensitivity at 81.8% (71.4–89.7) and specificity at 88.9% (65.3–98.6). Therefore, the combination of all 3 tests was determined to be the most optimal for detecting the presence of HCC among CH. As for HCC versus LC patients, G-test was the most predictive for HCC occurrence, compared to AFP and AAR, with AUC of 0.792 (0.705–0.862) (Fig. 2 C). Additionally, G-test had the highest sensitivity, at 84.4% (78.4–91.7); however, AFP had the highest specificity, at 94.6% (81.8–99.3). All 3 tests combined, though, yielded the greatest diagnostic ability and highest sensitivity values, at respectively, AUC of 0.808 (0.723–0.876) and 89.6% (80.6–95.4) (Table 4). Therefore, the combination of all 3 tests was generally the most optimal for detecting HCC in LC, albeit it was slightly less specific in its detection, compared to AFP alone. To further evaluate the diagnostic value of G-test, AFP, and AAR, either alone or in combination, for HCC versus healthy controls, ROC curve analysis was used, as shown in Fig. 2 A. Out of the 3 diagnostic tests, G-test had the greatest diagnostic ability, with AUC of 0.953 (0.890–0.986), significantly higher than for AFP with 0.827 (0.736–0.896), and AAR with 0.546 (0.441–0.648). Additionally, G-test had the highest sensitivity and specificity, at 90.9% (82.2–96.3) and 100.0% (83.2–100.0), respectively (Table 4). The AUC for G-test, AAR and AFP combined was similar to that of G-test, at 0.958 (0.896–0.988), suggesting that G-test alone was as predictive for detecting HCC onset, compared to all 3 tests in combination, among healthy controls. Fig. 2Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC. Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC. Table 4Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination)AUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PVp value Healthy vs. HCC G-Test0.953 (0.890–0.986)4.7390.9 (82.2–96.3)100.0 (83.2–100.0)0.9090.091 (0.04–0.2)100.074.1 (58.5–85.3)< 0.001AFP0.827 (0.736–0.896)5.2861.0 (49.2–72.0)95.0 (75.1–99.9)0.56012.2 (1.8–83.2)0.4 (0.3–0.6)97.9 (87.3–99.7)38.8 (32.0–46.0)< 0.001AAR0.546 (0.441–0.648)1.7570.1 (58.6–80.0)47.4 (24.4–71.1)0.1751.3 (0.8–2.1)0.63 (0.4–1.1)84.4 (77.5–89.4)28.1 (17.9–41.2)0.552G-Test + AFP + AAR0.958 (0.896–0.988)0.83988.3 (79.0-94.5)100.0 (82.4–100.0)0.8830.12 (0.06–0.2)100.067.9 (53.3–79.6)< 0.001 Hepatitis vs. HCC G-Test0.786 (0.690–0.864)4.4790.9 (82.2–96.3)77.8 (52.4–93.6)0.6874.1 (1.7–9.7)0.1 (0.06–0.2)94.6 (88.0-97.7)66.7 (48.6–80.9)< 0.001AFP0.652 (0.547–0.746)96.1458.4 (46.6–69.6)77.8 (52.4–93.6)0.3622.6 (1.1–6.4)0.5 (0.4–0.8)91.8 (82.3–96.5)30.4 (23.3–38.6)0.013AAR0.850 (0.762–0.915)1.5396.1 (89.0-99.2)72.2 (46.5–90.3)0.6833.5 (1.6–7.3)0.1 (0.02–0.2)93.7 (87.5–96.9)81.2 (57.9–93.2)< 0.001G-Test + AFP + AAR0.898 (0.818–0.950)0.8381.8 (71.4–89.7)88.9 (65.3–98.6)0.7077.4 (2.0-27.3)0.2 (0.1–0.3)96.9 (89.5–99.2)53.3 (40.9–65.4)< 0.001 Cirrhosis vs. HCC G-Test0.792 (0.705–0.862)5.5884.4 (74.4–91.7)73.0 (55.9–86.2)0.5743.1 (1.8–5.3)0.2 (0.1–0.4)86.7 (79.1–91.8)69.2 (56.3–79.7)< 0.001AFP0.655 (0.561–0.742)201.836.4 (25.7–48.1)94.6 (81.8–99.3)0.316.7 (1.7–26.7)0.8 (0.6–0.8)93.3 (77.9–98.2)41.7 (37.2–46.2)0.003AAR0.544 (0.448–0.638)0.5833.8 (23.4–45.4)81.1 (64.8–92.0)0.1491.8 (0.9–3.7)0.8 (0.7-1.0)78.8 (64.0-88.6)37.0 (32.0-42.4)0.427G-Test + AFP + AAR0.808 (0.723–0.876)0.6289.6 (80.6–95.4)67.6 (50.2–82.0)0.5722.8 (1.7–4.4)0.2 (0.08–0.3)85.2 (78.2–90.2)75.8 (61.0-86.2)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination) ±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma By contrast, the ROC curve analysis for G-test, AFP, and AAR among HCC versus CH patients found that AAR had the greatest diagnostic ability, with AUC of 0.850 (0.762–0.915), compared to 0.786 (0.690–0.864) and 0.652 (0.547–0.746) for, respectively, G-test and AFP (Fig. 2B). Furthermore, AAR had the highest sensitivity among the 3 tests, at 96.1% (89.0-99.2), but the lowest specificity, at 72.2% (46.5–90.3), compared to 77.8% (52.4–93.6) for G-test and AFP (Table 4). However, the diagnostic ability of all 3 tests combined was higher than for any of the tests alone, with AUC of 0.898 (0.818–0.950), as well as sensitivity at 81.8% (71.4–89.7) and specificity at 88.9% (65.3–98.6). Therefore, the combination of all 3 tests was determined to be the most optimal for detecting the presence of HCC among CH. As for HCC versus LC patients, G-test was the most predictive for HCC occurrence, compared to AFP and AAR, with AUC of 0.792 (0.705–0.862) (Fig. 2 C). Additionally, G-test had the highest sensitivity, at 84.4% (78.4–91.7); however, AFP had the highest specificity, at 94.6% (81.8–99.3). All 3 tests combined, though, yielded the greatest diagnostic ability and highest sensitivity values, at respectively, AUC of 0.808 (0.723–0.876) and 89.6% (80.6–95.4) (Table 4). Therefore, the combination of all 3 tests was generally the most optimal for detecting HCC in LC, albeit it was slightly less specific in its detection, compared to AFP alone. Predictive capability, sensitivity, and specificity of the 3 biomarkers for AFP-NHCC Among 152 subjects enrolled in the study, 85 were determined as being AFP-negative (Table 5), accounting for 70.6% of males. Out of those 85 patients, 37 patients (43.5%) were AFP-NHCC. ROC curve analysis was used to determine the diagnostic value for G-test and AAR, both separately and combined, for AFP-NHCC patients. The results showed that G-test had the highest diagnostic capability, with AUC of 0.855 (0.762–0.922), compared to 0.500 (0.389–0.611) for AAR (Fig. 2D). G-test also had the highest sensitivity and specificity, at 83.8% (68.0-93.8) and 87.5% (74.8–95.3), respectively. All these values for diagnostic capability, sensitivity, and specificity were similar for the combination of G-test and AAR versus G-test alone, indicating that G-test is sufficient for detecting AFP-NHCC. Table 5Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCCVariablesAUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PV p value G-Test0.855 (0.762–0.922)4.7383.8 (68.0-93.8)87.5 (74.8–95.3)0.7136.7 (3.1–14.4)0.19 (0.09–0.4)93.8 (70.7–91.7)87.5 (77.0-93.6)< 0.001AAR0.500 (0.389–0.611)1.3454.0 (36.9–70.5)53.2 (38.1–67.9)0.0721.2 (0.8–1.8)0.86 (0.6–1.3)47.6 (37.3–58.2)59.5 (48.6–69.6)0.996G-Test + AAR0.852 (0.758–0.920)0.4483.8 (68.0-93.8)87.2 (74.3–95.2)0.7106.6 (3.1–14.0)0.19 (0.09–0.4)83.8 (70.7–91.7)87.2 (76.5–93.5)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCC ±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Among 152 subjects enrolled in the study, 85 were determined as being AFP-negative (Table 5), accounting for 70.6% of males. Out of those 85 patients, 37 patients (43.5%) were AFP-NHCC. ROC curve analysis was used to determine the diagnostic value for G-test and AAR, both separately and combined, for AFP-NHCC patients. The results showed that G-test had the highest diagnostic capability, with AUC of 0.855 (0.762–0.922), compared to 0.500 (0.389–0.611) for AAR (Fig. 2D). G-test also had the highest sensitivity and specificity, at 83.8% (68.0-93.8) and 87.5% (74.8–95.3), respectively. All these values for diagnostic capability, sensitivity, and specificity were similar for the combination of G-test and AAR versus G-test alone, indicating that G-test is sufficient for detecting AFP-NHCC. Table 5Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCCVariablesAUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PV p value G-Test0.855 (0.762–0.922)4.7383.8 (68.0-93.8)87.5 (74.8–95.3)0.7136.7 (3.1–14.4)0.19 (0.09–0.4)93.8 (70.7–91.7)87.5 (77.0-93.6)< 0.001AAR0.500 (0.389–0.611)1.3454.0 (36.9–70.5)53.2 (38.1–67.9)0.0721.2 (0.8–1.8)0.86 (0.6–1.3)47.6 (37.3–58.2)59.5 (48.6–69.6)0.996G-Test + AAR0.852 (0.758–0.920)0.4483.8 (68.0-93.8)87.2 (74.3–95.2)0.7106.6 (3.1–14.0)0.19 (0.09–0.4)83.8 (70.7–91.7)87.2 (76.5–93.5)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCC ±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma
Conclusion
The biomarkers of G-test, AFP and AAR were examined as diagnostic indicators for HCC onset, and their predictive value was confirmed. Out of those 3 biomarkers, G-test had the highest predictive ability among healthy, LC, and AFP-NHCC patients, while AAR was the most predictive among CH. However, the combination of G-test, AFP and AAR has the highest diagnostic capability, sensitivity, and specificity for HCC, suggesting a possible new approach for screening and early detection of HCC. This finding thus facilitates interventions against HCC in its early stages among patient populations.
[ "Methods", "Study design and population", "Data collection", "Statistical analysis", "Clinical characteristics for the study subjects", "Comparing differences in sensitivity for HCC between different AFP thresholds", "Evaluating the diagnostic values of the 3 biomarkers for HCC among different patient groups", "Predictive capability, sensitivity, and specificity of the 3 biomarkers for AFP-NHCC" ]
[ "Study design and population Between Januarys 2020–2022, 152 subjects from the First Affiliated Hospital of Nanchang University were recruited and examined. HCC diagnoses among these subjects were based on histopathological analyses, according to the Guidelines of the American Association for the Study of Liver Diseases (AASLD) [17]. LC was diagnosed based on physical examinations, laboratory tests, as well as either B-mode ultrasound imaging or computed tomography (CT) of the liver. CH was diagnosed as stemming from a hepatitis B virus infection for more than 6 months, as well as presenting with persistent or intermittent elevated ALT and AST levels, along with chronic necrotic hepatitis tissue being present under liver biopsy [18]. Patients were excluded based on the following baseline criteria: (1) Absence of G-test, AFP, and/or AAR measurements, (2) Presence of other types of primary tumors, (3) Presence of other infectious diseases, such as HIV or non-HCC/LC/CH liver diseases (ex. drug-induced hepatitis, fatty liver, alcoholic liver disease, etc.), or (4) Presence of blood- or immune-related diseases. Application of the exclusion criteria yielded the aforementioned 152 subjects, of which 77 had HCC, 37 LC, 18 CH, and 20 served as healthy controls. The study protocol was approved by the Ethics Committee of the First Affiliated Hospital of Nanchang University. All patients provided written informed consent to participate in the study, and the study was conducted in full accordance with the Declaration of Helsinki.\nBetween Januarys 2020–2022, 152 subjects from the First Affiliated Hospital of Nanchang University were recruited and examined. HCC diagnoses among these subjects were based on histopathological analyses, according to the Guidelines of the American Association for the Study of Liver Diseases (AASLD) [17]. LC was diagnosed based on physical examinations, laboratory tests, as well as either B-mode ultrasound imaging or computed tomography (CT) of the liver. CH was diagnosed as stemming from a hepatitis B virus infection for more than 6 months, as well as presenting with persistent or intermittent elevated ALT and AST levels, along with chronic necrotic hepatitis tissue being present under liver biopsy [18]. Patients were excluded based on the following baseline criteria: (1) Absence of G-test, AFP, and/or AAR measurements, (2) Presence of other types of primary tumors, (3) Presence of other infectious diseases, such as HIV or non-HCC/LC/CH liver diseases (ex. drug-induced hepatitis, fatty liver, alcoholic liver disease, etc.), or (4) Presence of blood- or immune-related diseases. Application of the exclusion criteria yielded the aforementioned 152 subjects, of which 77 had HCC, 37 LC, 18 CH, and 20 served as healthy controls. The study protocol was approved by the Ethics Committee of the First Affiliated Hospital of Nanchang University. All patients provided written informed consent to participate in the study, and the study was conducted in full accordance with the Declaration of Helsinki.\nData collection All patient data was obtained from electronic medical records. Venous blood was collected after fasting and analyzed for the biochemical indices of AST, ALT, white blood cell (WBC) and platelet counts (PLT), as well as random blood glucose (RBG), total cholesterol (TC), triglyceride (TG), carcinoma embryonic antigen (CEA), total bilirubin (TBIL), albumin (ALB), prothrombin time (PT), AFP and G-test measurements. Most indices were measured using the Hitachi automatic biochemical analyzer (LABOSPECT008AS), though ALT and AST were determined by, respectively alanine and aspartate substrate method, with normal ranges defined as ~ 7–40 U/L for each. AAR was then calculated as AST/ALT. G-test levels were separated by fluorescence-labeled capillary micro-electrophoresis, with the positive standard for G-test being set at values > 5. AFP level was detected by electrochemiluminescence using the Roche automatic immune analyzer, with normal reference levels being ~ 0–7 ng/ml. AFP-NHCC was defined as AFP being < 20 µg/L, while AFP-positive HCC was defined as AFP ≥ 20 µg/L.\nAll patient data was obtained from electronic medical records. Venous blood was collected after fasting and analyzed for the biochemical indices of AST, ALT, white blood cell (WBC) and platelet counts (PLT), as well as random blood glucose (RBG), total cholesterol (TC), triglyceride (TG), carcinoma embryonic antigen (CEA), total bilirubin (TBIL), albumin (ALB), prothrombin time (PT), AFP and G-test measurements. Most indices were measured using the Hitachi automatic biochemical analyzer (LABOSPECT008AS), though ALT and AST were determined by, respectively alanine and aspartate substrate method, with normal ranges defined as ~ 7–40 U/L for each. AAR was then calculated as AST/ALT. G-test levels were separated by fluorescence-labeled capillary micro-electrophoresis, with the positive standard for G-test being set at values > 5. AFP level was detected by electrochemiluminescence using the Roche automatic immune analyzer, with normal reference levels being ~ 0–7 ng/ml. AFP-NHCC was defined as AFP being < 20 µg/L, while AFP-positive HCC was defined as AFP ≥ 20 µg/L.\nStatistical analysis SPSS 22.0 (SPSS Inc. Chicago, IL, USA), MedCalc v. 18.3.1 (MedCalc Software, Mariakerke, Belgium) and GraphPad Prism (version 8.0.2) software were used for all data analyses. The data for patient parameters were represented as mean ± standard deviation (SD) if it was normally-distributed, while non-normally distributed data was represented by medians (quartile). Classification data was represented as frequency and proportions. Differences between HCC, LC, CH, and healthy control groups for the different parameters were evaluated using either the non-parametric test for continuous variables, or χ2 test for categorical variables. Receiver operation characteristic (ROC) curves were then used to determine the areas under the curve (AUC), as well as the optimal cut-off values, sensitivity, specificity, plus positive and negative likelihood ratio (± LR) and predictive values (± PV), to determine the diagnostic values for AFP, G-test and AAR as predictive markers, either singly or in combination, for HCC occurrence. P < 0.05 was considered statistically significant for all analyses.\n\nTable 1Comparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groupsCharacteristicsNon-HCCHCCp value\nHealthy\n\nChronic hepatitis\n\nLiver Cirrhosis\nGender, male/female (n)5/154/148/2967/10< 0.001Age (years)66.5 (48.3–75.8)43.0 (31.5–50.5)51.0 (42.0-65.5)55.0 (47.5–67.0)< 0.001ALT (U/L)17.3 (10.0–26.7)132.5 (82.8-345.5)37.4 (26.6–65.4)31.0 (20.0-53.3)< 0.001AST (U/L)25.4 (20.8–31.1)70.3 (31.8–177.0)45.9 (34.6–87.3)42.5 (27.5–89.7)< 0.001TBIL (µmol/L)15.3 (12.4–18.4)78.5 (50.0-125.7)25.4 (17.5–56.3)20.4 (13.1–48.2)< 0.001ALB (g/L)44.5 (43.0-45.8)34.4 (29.6–35.0)36.3 (30.3–61.9)34.1 (28.1–37.4)< 0.001RBG (mmol/L)5.23 (4.97–5.44)4.64 (4.11–5.43)4.81 (4.28–6.05)4.80 (4.26–5.96)< 0.001TC (mmol/L)5.26 (3.92–6.08)3.65 (2.96–4.30)3.42 (2.59–3.74)3.89 (3.13–4.54)< 0.001TG (mmol/L)0.98 (0.73–1.36)0.87 (0.55–1.32)0.61 (0.44–0.98)0.88 (0.59–1.26)0.002PT (seconds)NA14.30 (12.30-16.45)15.95 (14.30-17.48)13.05 (11.90-15.15)< 0.001WBC count (×109/L)5.39 (4.82–6.63)5.45 (3.22–7.29)3.73 (2.54–4.73)4.45 (2.97–5.94)0.007Platelet count (×109/L)234.0 (196.5-289.8)172.0 (114.5-232.3)67.0 (51.0-99.5)91.0 (63.0-150.0)< 0.001AFP (ng/mL)2.39 (1.77–3.95)407.95 (84.90-817.35)5.99 (2.05–44.82)22.72 (2.92–608.70)< 0.001CEA (ng/mL)1.88 (0.98–2.77)3.08 (1.82–5.87)2.67 (1.64–4.60)2.93 (2.00-4.79)0.011AAR1.44 (1.03–2.15)0.58 (0.35–0.94)1.35 (1.07–1.64)1.40 (1.03–1.93)< 0.001G-Test3.04 (1.54-4.00)3.64 (2.77–5.12)3.85 (2.59–6.03)6.53 (5.87–7.38)< 0.001AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count\n\nComparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groups\nAAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count\nSPSS 22.0 (SPSS Inc. Chicago, IL, USA), MedCalc v. 18.3.1 (MedCalc Software, Mariakerke, Belgium) and GraphPad Prism (version 8.0.2) software were used for all data analyses. The data for patient parameters were represented as mean ± standard deviation (SD) if it was normally-distributed, while non-normally distributed data was represented by medians (quartile). Classification data was represented as frequency and proportions. Differences between HCC, LC, CH, and healthy control groups for the different parameters were evaluated using either the non-parametric test for continuous variables, or χ2 test for categorical variables. Receiver operation characteristic (ROC) curves were then used to determine the areas under the curve (AUC), as well as the optimal cut-off values, sensitivity, specificity, plus positive and negative likelihood ratio (± LR) and predictive values (± PV), to determine the diagnostic values for AFP, G-test and AAR as predictive markers, either singly or in combination, for HCC occurrence. P < 0.05 was considered statistically significant for all analyses.\n\nTable 1Comparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groupsCharacteristicsNon-HCCHCCp value\nHealthy\n\nChronic hepatitis\n\nLiver Cirrhosis\nGender, male/female (n)5/154/148/2967/10< 0.001Age (years)66.5 (48.3–75.8)43.0 (31.5–50.5)51.0 (42.0-65.5)55.0 (47.5–67.0)< 0.001ALT (U/L)17.3 (10.0–26.7)132.5 (82.8-345.5)37.4 (26.6–65.4)31.0 (20.0-53.3)< 0.001AST (U/L)25.4 (20.8–31.1)70.3 (31.8–177.0)45.9 (34.6–87.3)42.5 (27.5–89.7)< 0.001TBIL (µmol/L)15.3 (12.4–18.4)78.5 (50.0-125.7)25.4 (17.5–56.3)20.4 (13.1–48.2)< 0.001ALB (g/L)44.5 (43.0-45.8)34.4 (29.6–35.0)36.3 (30.3–61.9)34.1 (28.1–37.4)< 0.001RBG (mmol/L)5.23 (4.97–5.44)4.64 (4.11–5.43)4.81 (4.28–6.05)4.80 (4.26–5.96)< 0.001TC (mmol/L)5.26 (3.92–6.08)3.65 (2.96–4.30)3.42 (2.59–3.74)3.89 (3.13–4.54)< 0.001TG (mmol/L)0.98 (0.73–1.36)0.87 (0.55–1.32)0.61 (0.44–0.98)0.88 (0.59–1.26)0.002PT (seconds)NA14.30 (12.30-16.45)15.95 (14.30-17.48)13.05 (11.90-15.15)< 0.001WBC count (×109/L)5.39 (4.82–6.63)5.45 (3.22–7.29)3.73 (2.54–4.73)4.45 (2.97–5.94)0.007Platelet count (×109/L)234.0 (196.5-289.8)172.0 (114.5-232.3)67.0 (51.0-99.5)91.0 (63.0-150.0)< 0.001AFP (ng/mL)2.39 (1.77–3.95)407.95 (84.90-817.35)5.99 (2.05–44.82)22.72 (2.92–608.70)< 0.001CEA (ng/mL)1.88 (0.98–2.77)3.08 (1.82–5.87)2.67 (1.64–4.60)2.93 (2.00-4.79)0.011AAR1.44 (1.03–2.15)0.58 (0.35–0.94)1.35 (1.07–1.64)1.40 (1.03–1.93)< 0.001G-Test3.04 (1.54-4.00)3.64 (2.77–5.12)3.85 (2.59–6.03)6.53 (5.87–7.38)< 0.001AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count\n\nComparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groups\nAAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count", "Between Januarys 2020–2022, 152 subjects from the First Affiliated Hospital of Nanchang University were recruited and examined. HCC diagnoses among these subjects were based on histopathological analyses, according to the Guidelines of the American Association for the Study of Liver Diseases (AASLD) [17]. LC was diagnosed based on physical examinations, laboratory tests, as well as either B-mode ultrasound imaging or computed tomography (CT) of the liver. CH was diagnosed as stemming from a hepatitis B virus infection for more than 6 months, as well as presenting with persistent or intermittent elevated ALT and AST levels, along with chronic necrotic hepatitis tissue being present under liver biopsy [18]. Patients were excluded based on the following baseline criteria: (1) Absence of G-test, AFP, and/or AAR measurements, (2) Presence of other types of primary tumors, (3) Presence of other infectious diseases, such as HIV or non-HCC/LC/CH liver diseases (ex. drug-induced hepatitis, fatty liver, alcoholic liver disease, etc.), or (4) Presence of blood- or immune-related diseases. Application of the exclusion criteria yielded the aforementioned 152 subjects, of which 77 had HCC, 37 LC, 18 CH, and 20 served as healthy controls. The study protocol was approved by the Ethics Committee of the First Affiliated Hospital of Nanchang University. All patients provided written informed consent to participate in the study, and the study was conducted in full accordance with the Declaration of Helsinki.", "All patient data was obtained from electronic medical records. Venous blood was collected after fasting and analyzed for the biochemical indices of AST, ALT, white blood cell (WBC) and platelet counts (PLT), as well as random blood glucose (RBG), total cholesterol (TC), triglyceride (TG), carcinoma embryonic antigen (CEA), total bilirubin (TBIL), albumin (ALB), prothrombin time (PT), AFP and G-test measurements. Most indices were measured using the Hitachi automatic biochemical analyzer (LABOSPECT008AS), though ALT and AST were determined by, respectively alanine and aspartate substrate method, with normal ranges defined as ~ 7–40 U/L for each. AAR was then calculated as AST/ALT. G-test levels were separated by fluorescence-labeled capillary micro-electrophoresis, with the positive standard for G-test being set at values > 5. AFP level was detected by electrochemiluminescence using the Roche automatic immune analyzer, with normal reference levels being ~ 0–7 ng/ml. AFP-NHCC was defined as AFP being < 20 µg/L, while AFP-positive HCC was defined as AFP ≥ 20 µg/L.", "SPSS 22.0 (SPSS Inc. Chicago, IL, USA), MedCalc v. 18.3.1 (MedCalc Software, Mariakerke, Belgium) and GraphPad Prism (version 8.0.2) software were used for all data analyses. The data for patient parameters were represented as mean ± standard deviation (SD) if it was normally-distributed, while non-normally distributed data was represented by medians (quartile). Classification data was represented as frequency and proportions. Differences between HCC, LC, CH, and healthy control groups for the different parameters were evaluated using either the non-parametric test for continuous variables, or χ2 test for categorical variables. Receiver operation characteristic (ROC) curves were then used to determine the areas under the curve (AUC), as well as the optimal cut-off values, sensitivity, specificity, plus positive and negative likelihood ratio (± LR) and predictive values (± PV), to determine the diagnostic values for AFP, G-test and AAR as predictive markers, either singly or in combination, for HCC occurrence. P < 0.05 was considered statistically significant for all analyses.\n\nTable 1Comparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groupsCharacteristicsNon-HCCHCCp value\nHealthy\n\nChronic hepatitis\n\nLiver Cirrhosis\nGender, male/female (n)5/154/148/2967/10< 0.001Age (years)66.5 (48.3–75.8)43.0 (31.5–50.5)51.0 (42.0-65.5)55.0 (47.5–67.0)< 0.001ALT (U/L)17.3 (10.0–26.7)132.5 (82.8-345.5)37.4 (26.6–65.4)31.0 (20.0-53.3)< 0.001AST (U/L)25.4 (20.8–31.1)70.3 (31.8–177.0)45.9 (34.6–87.3)42.5 (27.5–89.7)< 0.001TBIL (µmol/L)15.3 (12.4–18.4)78.5 (50.0-125.7)25.4 (17.5–56.3)20.4 (13.1–48.2)< 0.001ALB (g/L)44.5 (43.0-45.8)34.4 (29.6–35.0)36.3 (30.3–61.9)34.1 (28.1–37.4)< 0.001RBG (mmol/L)5.23 (4.97–5.44)4.64 (4.11–5.43)4.81 (4.28–6.05)4.80 (4.26–5.96)< 0.001TC (mmol/L)5.26 (3.92–6.08)3.65 (2.96–4.30)3.42 (2.59–3.74)3.89 (3.13–4.54)< 0.001TG (mmol/L)0.98 (0.73–1.36)0.87 (0.55–1.32)0.61 (0.44–0.98)0.88 (0.59–1.26)0.002PT (seconds)NA14.30 (12.30-16.45)15.95 (14.30-17.48)13.05 (11.90-15.15)< 0.001WBC count (×109/L)5.39 (4.82–6.63)5.45 (3.22–7.29)3.73 (2.54–4.73)4.45 (2.97–5.94)0.007Platelet count (×109/L)234.0 (196.5-289.8)172.0 (114.5-232.3)67.0 (51.0-99.5)91.0 (63.0-150.0)< 0.001AFP (ng/mL)2.39 (1.77–3.95)407.95 (84.90-817.35)5.99 (2.05–44.82)22.72 (2.92–608.70)< 0.001CEA (ng/mL)1.88 (0.98–2.77)3.08 (1.82–5.87)2.67 (1.64–4.60)2.93 (2.00-4.79)0.011AAR1.44 (1.03–2.15)0.58 (0.35–0.94)1.35 (1.07–1.64)1.40 (1.03–1.93)< 0.001G-Test3.04 (1.54-4.00)3.64 (2.77–5.12)3.85 (2.59–6.03)6.53 (5.87–7.38)< 0.001AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count\n\nComparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groups\nAAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count", "A total of 159 subjects were initially selected, of which 152 were analyzed in the final study. The remaining 7 were excluded for the following reasons: 2 for lack of clear diagnosis, 1 for having a liver abscess, 1 for drug-induced hepatitis, and 3 for lack of AFP or G-test results. As shown in Table 1, a greater proportion of male patients was present in the HCC group (87.0%), compared to CH (22.2%), LC (21.6%) or healthy control groups (25%). The median age for HCC was 55.0 years (47.5–67.0), higher than LC and CH, respectively at 51.0 (42.0-65.5) and 43.0 (31.5–50.5), but lower than the healthy control, at 66.5 (48.3–75.8). Positive AFP readings and G-test readings were observed in, respectively, 51.9% (40/77 patients), and 90.9% (70/77) of the HCC group, while negative AFP and G-test results were found among 64% (48/75) and 77.3% (58/75) of the non-HCC groups (Table 2). Figure 1 summarizes the comparison between G-test, AFP and AAR levels for HCC, versus healthy (Fig. 1 A-C), CH (Fig. 1D-F), and LC (Fig. 1G-I) patient groups. Statistically significant differences were found between HCC versus all 3 non-HCC groups for G-test and AFP. For AAR, significant differences were only present for HCC versus CH patients. Additionally, the HCC group had the highest G-test value (Table 1).\n\nTable 2Numbers of non- and HCC patients with AFP or G-test-negative/positive HCCVariablesNon-HCCHCCTotal\nHealthy\n\nHepatitis\n\nCirrhosis\n\nTotal\nAFP+ (Positive)01413274067− (Negative)20424483785Total2018377577152G-Test+ (Positive)0413177087− (Negative)20142458765Total2018377577152AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nNumbers of non- and HCC patients with AFP or G-test-negative/positive HCC\nAFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nFig. 1Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC).\n\nComparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC).", "Table 3 shows the AFP levels for 77 patients in the HCC group, and different AFP threshold levels were established to determine its diagnostic capability for HCC, with the normal reference value set at 0–7 ng/mL. It was found that at AFP ≥ 7 ng/mL, 45 cases, or 58.4%, were diagnosed as HCC, but AFP sensitivity decreased to 41.6% at AFP ≥ 100 ng/mL. This sensitivity rate, however, was much greater than for the currently-recommended AFP diagnostic guidelines for liver cancer of ≥ 400 ng/mL. There, AFP sensitivity was only 27.3%, with missed diagnosis rate being as high as 72.7% (21/77).\n\nTable 3Percentages of correct and missed diagnoses for different biomarker thresholds in HCC groupBiomarker cutoffsPositive/total casesRate of correct diagnosis (%)Missed diagnosis rate (%)G-Test70/7790.99.1AFP ≥ 745/7758.441.6AFP ≥ 2040/7751.948.1AFP ≥ 10032/7741.658.4AFP ≥ 20028/7736.463.6AFP ≥ 40021/7727.372.7AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain\n\nPercentages of correct and missed diagnoses for different biomarker thresholds in HCC group\nAFP: alpha-fetoprotein; G-test: serum oligosaccharide chain", "To further evaluate the diagnostic value of G-test, AFP, and AAR, either alone or in combination, for HCC versus healthy controls, ROC curve analysis was used, as shown in Fig. 2 A. Out of the 3 diagnostic tests, G-test had the greatest diagnostic ability, with AUC of 0.953 (0.890–0.986), significantly higher than for AFP with 0.827 (0.736–0.896), and AAR with 0.546 (0.441–0.648). Additionally, G-test had the highest sensitivity and specificity, at 90.9% (82.2–96.3) and 100.0% (83.2–100.0), respectively (Table 4). The AUC for G-test, AAR and AFP combined was similar to that of G-test, at 0.958 (0.896–0.988), suggesting that G-test alone was as predictive for detecting HCC onset, compared to all 3 tests in combination, among healthy controls.\n\nFig. 2Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC.\n\nReceiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC.\n\nTable 4Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination)AUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PVp value\nHealthy vs. HCC\nG-Test0.953 (0.890–0.986)4.7390.9 (82.2–96.3)100.0 (83.2–100.0)0.9090.091 (0.04–0.2)100.074.1 (58.5–85.3)< 0.001AFP0.827 (0.736–0.896)5.2861.0 (49.2–72.0)95.0 (75.1–99.9)0.56012.2 (1.8–83.2)0.4 (0.3–0.6)97.9 (87.3–99.7)38.8 (32.0–46.0)< 0.001AAR0.546 (0.441–0.648)1.7570.1 (58.6–80.0)47.4 (24.4–71.1)0.1751.3 (0.8–2.1)0.63 (0.4–1.1)84.4 (77.5–89.4)28.1 (17.9–41.2)0.552G-Test + AFP + AAR0.958 (0.896–0.988)0.83988.3 (79.0-94.5)100.0 (82.4–100.0)0.8830.12 (0.06–0.2)100.067.9 (53.3–79.6)< 0.001\nHepatitis vs. HCC\nG-Test0.786 (0.690–0.864)4.4790.9 (82.2–96.3)77.8 (52.4–93.6)0.6874.1 (1.7–9.7)0.1 (0.06–0.2)94.6 (88.0-97.7)66.7 (48.6–80.9)< 0.001AFP0.652 (0.547–0.746)96.1458.4 (46.6–69.6)77.8 (52.4–93.6)0.3622.6 (1.1–6.4)0.5 (0.4–0.8)91.8 (82.3–96.5)30.4 (23.3–38.6)0.013AAR0.850 (0.762–0.915)1.5396.1 (89.0-99.2)72.2 (46.5–90.3)0.6833.5 (1.6–7.3)0.1 (0.02–0.2)93.7 (87.5–96.9)81.2 (57.9–93.2)< 0.001G-Test + AFP + AAR0.898 (0.818–0.950)0.8381.8 (71.4–89.7)88.9 (65.3–98.6)0.7077.4 (2.0-27.3)0.2 (0.1–0.3)96.9 (89.5–99.2)53.3 (40.9–65.4)< 0.001\nCirrhosis vs. HCC\nG-Test0.792 (0.705–0.862)5.5884.4 (74.4–91.7)73.0 (55.9–86.2)0.5743.1 (1.8–5.3)0.2 (0.1–0.4)86.7 (79.1–91.8)69.2 (56.3–79.7)< 0.001AFP0.655 (0.561–0.742)201.836.4 (25.7–48.1)94.6 (81.8–99.3)0.316.7 (1.7–26.7)0.8 (0.6–0.8)93.3 (77.9–98.2)41.7 (37.2–46.2)0.003AAR0.544 (0.448–0.638)0.5833.8 (23.4–45.4)81.1 (64.8–92.0)0.1491.8 (0.9–3.7)0.8 (0.7-1.0)78.8 (64.0-88.6)37.0 (32.0-42.4)0.427G-Test + AFP + AAR0.808 (0.723–0.876)0.6289.6 (80.6–95.4)67.6 (50.2–82.0)0.5722.8 (1.7–4.4)0.2 (0.08–0.3)85.2 (78.2–90.2)75.8 (61.0-86.2)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nAreas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination)\n±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\nBy contrast, the ROC curve analysis for G-test, AFP, and AAR among HCC versus CH patients found that AAR had the greatest diagnostic ability, with AUC of 0.850 (0.762–0.915), compared to 0.786 (0.690–0.864) and 0.652 (0.547–0.746) for, respectively, G-test and AFP (Fig. 2B). Furthermore, AAR had the highest sensitivity among the 3 tests, at 96.1% (89.0-99.2), but the lowest specificity, at 72.2% (46.5–90.3), compared to 77.8% (52.4–93.6) for G-test and AFP (Table 4). However, the diagnostic ability of all 3 tests combined was higher than for any of the tests alone, with AUC of 0.898 (0.818–0.950), as well as sensitivity at 81.8% (71.4–89.7) and specificity at 88.9% (65.3–98.6). Therefore, the combination of all 3 tests was determined to be the most optimal for detecting the presence of HCC among CH.\nAs for HCC versus LC patients, G-test was the most predictive for HCC occurrence, compared to AFP and AAR, with AUC of 0.792 (0.705–0.862) (Fig. 2 C). Additionally, G-test had the highest sensitivity, at 84.4% (78.4–91.7); however, AFP had the highest specificity, at 94.6% (81.8–99.3). All 3 tests combined, though, yielded the greatest diagnostic ability and highest sensitivity values, at respectively, AUC of 0.808 (0.723–0.876) and 89.6% (80.6–95.4) (Table 4). Therefore, the combination of all 3 tests was generally the most optimal for detecting HCC in LC, albeit it was slightly less specific in its detection, compared to AFP alone.", "Among 152 subjects enrolled in the study, 85 were determined as being AFP-negative (Table 5), accounting for 70.6% of males. Out of those 85 patients, 37 patients (43.5%) were AFP-NHCC. ROC curve analysis was used to determine the diagnostic value for G-test and AAR, both separately and combined, for AFP-NHCC patients. The results showed that G-test had the highest diagnostic capability, with AUC of 0.855 (0.762–0.922), compared to 0.500 (0.389–0.611) for AAR (Fig. 2D). G-test also had the highest sensitivity and specificity, at 83.8% (68.0-93.8) and 87.5% (74.8–95.3), respectively. All these values for diagnostic capability, sensitivity, and specificity were similar for the combination of G-test and AAR versus G-test alone, indicating that G-test is sufficient for detecting AFP-NHCC.\n\nTable 5Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCCVariablesAUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PV\np value\nG-Test0.855 (0.762–0.922)4.7383.8 (68.0-93.8)87.5 (74.8–95.3)0.7136.7 (3.1–14.4)0.19 (0.09–0.4)93.8 (70.7–91.7)87.5 (77.0-93.6)< 0.001AAR0.500 (0.389–0.611)1.3454.0 (36.9–70.5)53.2 (38.1–67.9)0.0721.2 (0.8–1.8)0.86 (0.6–1.3)47.6 (37.3–58.2)59.5 (48.6–69.6)0.996G-Test + AAR0.852 (0.758–0.920)0.4483.8 (68.0-93.8)87.2 (74.3–95.2)0.7106.6 (3.1–14.0)0.19 (0.09–0.4)83.8 (70.7–91.7)87.2 (76.5–93.5)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nAreas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCC\n±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma" ]
[ null, null, null, null, null, null, null, null ]
[ "Introduction", "Methods", "Study design and population", "Data collection", "Statistical analysis", "Results", "Clinical characteristics for the study subjects", "Comparing differences in sensitivity for HCC between different AFP thresholds", "Evaluating the diagnostic values of the 3 biomarkers for HCC among different patient groups", "Predictive capability, sensitivity, and specificity of the 3 biomarkers for AFP-NHCC", "Discussion", "Conclusion" ]
[ "Hepatocellular carcinoma (HCC) is one of the leading causes of cancer-related death worldwide; its high morbidity and mortality rate has resulted in the cancer being considered a significant global health risk. Its occurrence is most commonly attributed to chronic viral hepatitis, alcohol intake and aflatoxin exposure. Owing to the lack of obvious symptoms at the early stages, most patients end up diagnosed with HCC after it has progressed to its advanced stages, contributing to its extremely low overall five-year survival rates of < 16% [1–4]. Currently, HCC is diagnosed based on a combination of serological, radiological, and pathological features, with liver biopsy being considered the gold standard; however, the procedure is limited by its invasiveness and risks for sampling errors [5]. As a result, alternative approaches for diagnosing HCC has been developed, such as imaging technologies, though this has its own shortcomings. For instance, it is difficult under conventional ultrasound to distinguish between benign and malignant small hepatocellular nodules [6, 7]. Thus, identifying a non-invasive, rapid, and easy-to-measure marker for HCC would be of great utility for clinical screening and development of more effective treatment approaches. The ideal biomarker is one that is easily detected in serum, plasma, bile, and other body fluids. Serum alpha fetoprotein (AFP) has long been considered as such a biomarker, but its usage, though widespread, has been controversial, owing to its low sensitivity to HCC, especially at its early stages, of 10–20%. This has led to its recommendation in HCC screening guidelines being highly controversial [1, 8]. An alternative proposed biomarker that has emerged is aspartate aminotransferase (AST) to alanine aminotransferase (ALT) ratio (AAR), which had already been used as an indicator of liver fibrosis. AAR has also been found to be able to serve as a biomarker for the identification and early prediction of HCC recurrence [9–11], leading to it being proposed as an effective marker for AFP-negative HCC (AFP-NHCC) [12]. More recently, changes in the N-glycome has been identified as a potential effective serum marker for liver disease. In particular, abnormal changes in the glycosylation modifications on glycoproteins have been observed throughout the progression of chronic liver disease into HCC [13–15]. This finding has led to the emergence of serum oligosaccharide chain (G-test) detection technology. G-test was first defined by Liu et al. [13] as the GlycoHCCTest, which was the log ratio of peak 9 to peak 7 obtained from DNA sequencer–assisted fluorophore-assisted carbohydrate electrophoresis of patient serum, followed by normal-phase high-performance liquid chromatography and digestion with exoglycosidases. The resulting peak 9 represented a branch α-(1,3)-fucosylated triantennary glycan, which was more abundant among HCC patients, compared to those without HCC. By contrast, peak 7, representing bisecting core α-(1,6)-fucosylated biantennary glycans, decreased with increasing stages of HCC. Therefore, higher G-test measurements correlated with HCC progression [13]. This finding was further verified in a previous study [16], in which higher G-test levels were associated with HCC onset among patients with chronic hepatitis B and related cirrhosis, and that G-test was better than AFP for predicting HCC. However, the effectiveness for G-test to diagnose HCC among broader patient demographics, as well as its predictive capabilities compared to other diagnostic markers, is still scarce.\nIn this study, we aim to fill in this knowledge gap by comparing the diagnostic value of G-test versus other markers. We examined the predictive capabilities of G-test, AFP, and AAR, both as single markers, and combined together, for detecting HCC in its early stages. We found that G-test had the greatest diagnostic ability for detecting HCC among healthy and liver cirrhosis (LC) patients, as well as AFP-NHCC among healthy, LC, and chronic hepatitis (CH) individuals. By contrast, AAR had the greatest diagnostic ability among CH. Regardless, the combination of all 3 tests yielded the most optimal outcomes with respect to diagnostic capability, sensitivity, and specificity for HCC.", "Study design and population Between Januarys 2020–2022, 152 subjects from the First Affiliated Hospital of Nanchang University were recruited and examined. HCC diagnoses among these subjects were based on histopathological analyses, according to the Guidelines of the American Association for the Study of Liver Diseases (AASLD) [17]. LC was diagnosed based on physical examinations, laboratory tests, as well as either B-mode ultrasound imaging or computed tomography (CT) of the liver. CH was diagnosed as stemming from a hepatitis B virus infection for more than 6 months, as well as presenting with persistent or intermittent elevated ALT and AST levels, along with chronic necrotic hepatitis tissue being present under liver biopsy [18]. Patients were excluded based on the following baseline criteria: (1) Absence of G-test, AFP, and/or AAR measurements, (2) Presence of other types of primary tumors, (3) Presence of other infectious diseases, such as HIV or non-HCC/LC/CH liver diseases (ex. drug-induced hepatitis, fatty liver, alcoholic liver disease, etc.), or (4) Presence of blood- or immune-related diseases. Application of the exclusion criteria yielded the aforementioned 152 subjects, of which 77 had HCC, 37 LC, 18 CH, and 20 served as healthy controls. The study protocol was approved by the Ethics Committee of the First Affiliated Hospital of Nanchang University. All patients provided written informed consent to participate in the study, and the study was conducted in full accordance with the Declaration of Helsinki.\nBetween Januarys 2020–2022, 152 subjects from the First Affiliated Hospital of Nanchang University were recruited and examined. HCC diagnoses among these subjects were based on histopathological analyses, according to the Guidelines of the American Association for the Study of Liver Diseases (AASLD) [17]. LC was diagnosed based on physical examinations, laboratory tests, as well as either B-mode ultrasound imaging or computed tomography (CT) of the liver. CH was diagnosed as stemming from a hepatitis B virus infection for more than 6 months, as well as presenting with persistent or intermittent elevated ALT and AST levels, along with chronic necrotic hepatitis tissue being present under liver biopsy [18]. Patients were excluded based on the following baseline criteria: (1) Absence of G-test, AFP, and/or AAR measurements, (2) Presence of other types of primary tumors, (3) Presence of other infectious diseases, such as HIV or non-HCC/LC/CH liver diseases (ex. drug-induced hepatitis, fatty liver, alcoholic liver disease, etc.), or (4) Presence of blood- or immune-related diseases. Application of the exclusion criteria yielded the aforementioned 152 subjects, of which 77 had HCC, 37 LC, 18 CH, and 20 served as healthy controls. The study protocol was approved by the Ethics Committee of the First Affiliated Hospital of Nanchang University. All patients provided written informed consent to participate in the study, and the study was conducted in full accordance with the Declaration of Helsinki.\nData collection All patient data was obtained from electronic medical records. Venous blood was collected after fasting and analyzed for the biochemical indices of AST, ALT, white blood cell (WBC) and platelet counts (PLT), as well as random blood glucose (RBG), total cholesterol (TC), triglyceride (TG), carcinoma embryonic antigen (CEA), total bilirubin (TBIL), albumin (ALB), prothrombin time (PT), AFP and G-test measurements. Most indices were measured using the Hitachi automatic biochemical analyzer (LABOSPECT008AS), though ALT and AST were determined by, respectively alanine and aspartate substrate method, with normal ranges defined as ~ 7–40 U/L for each. AAR was then calculated as AST/ALT. G-test levels were separated by fluorescence-labeled capillary micro-electrophoresis, with the positive standard for G-test being set at values > 5. AFP level was detected by electrochemiluminescence using the Roche automatic immune analyzer, with normal reference levels being ~ 0–7 ng/ml. AFP-NHCC was defined as AFP being < 20 µg/L, while AFP-positive HCC was defined as AFP ≥ 20 µg/L.\nAll patient data was obtained from electronic medical records. Venous blood was collected after fasting and analyzed for the biochemical indices of AST, ALT, white blood cell (WBC) and platelet counts (PLT), as well as random blood glucose (RBG), total cholesterol (TC), triglyceride (TG), carcinoma embryonic antigen (CEA), total bilirubin (TBIL), albumin (ALB), prothrombin time (PT), AFP and G-test measurements. Most indices were measured using the Hitachi automatic biochemical analyzer (LABOSPECT008AS), though ALT and AST were determined by, respectively alanine and aspartate substrate method, with normal ranges defined as ~ 7–40 U/L for each. AAR was then calculated as AST/ALT. G-test levels were separated by fluorescence-labeled capillary micro-electrophoresis, with the positive standard for G-test being set at values > 5. AFP level was detected by electrochemiluminescence using the Roche automatic immune analyzer, with normal reference levels being ~ 0–7 ng/ml. AFP-NHCC was defined as AFP being < 20 µg/L, while AFP-positive HCC was defined as AFP ≥ 20 µg/L.\nStatistical analysis SPSS 22.0 (SPSS Inc. Chicago, IL, USA), MedCalc v. 18.3.1 (MedCalc Software, Mariakerke, Belgium) and GraphPad Prism (version 8.0.2) software were used for all data analyses. The data for patient parameters were represented as mean ± standard deviation (SD) if it was normally-distributed, while non-normally distributed data was represented by medians (quartile). Classification data was represented as frequency and proportions. Differences between HCC, LC, CH, and healthy control groups for the different parameters were evaluated using either the non-parametric test for continuous variables, or χ2 test for categorical variables. Receiver operation characteristic (ROC) curves were then used to determine the areas under the curve (AUC), as well as the optimal cut-off values, sensitivity, specificity, plus positive and negative likelihood ratio (± LR) and predictive values (± PV), to determine the diagnostic values for AFP, G-test and AAR as predictive markers, either singly or in combination, for HCC occurrence. P < 0.05 was considered statistically significant for all analyses.\n\nTable 1Comparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groupsCharacteristicsNon-HCCHCCp value\nHealthy\n\nChronic hepatitis\n\nLiver Cirrhosis\nGender, male/female (n)5/154/148/2967/10< 0.001Age (years)66.5 (48.3–75.8)43.0 (31.5–50.5)51.0 (42.0-65.5)55.0 (47.5–67.0)< 0.001ALT (U/L)17.3 (10.0–26.7)132.5 (82.8-345.5)37.4 (26.6–65.4)31.0 (20.0-53.3)< 0.001AST (U/L)25.4 (20.8–31.1)70.3 (31.8–177.0)45.9 (34.6–87.3)42.5 (27.5–89.7)< 0.001TBIL (µmol/L)15.3 (12.4–18.4)78.5 (50.0-125.7)25.4 (17.5–56.3)20.4 (13.1–48.2)< 0.001ALB (g/L)44.5 (43.0-45.8)34.4 (29.6–35.0)36.3 (30.3–61.9)34.1 (28.1–37.4)< 0.001RBG (mmol/L)5.23 (4.97–5.44)4.64 (4.11–5.43)4.81 (4.28–6.05)4.80 (4.26–5.96)< 0.001TC (mmol/L)5.26 (3.92–6.08)3.65 (2.96–4.30)3.42 (2.59–3.74)3.89 (3.13–4.54)< 0.001TG (mmol/L)0.98 (0.73–1.36)0.87 (0.55–1.32)0.61 (0.44–0.98)0.88 (0.59–1.26)0.002PT (seconds)NA14.30 (12.30-16.45)15.95 (14.30-17.48)13.05 (11.90-15.15)< 0.001WBC count (×109/L)5.39 (4.82–6.63)5.45 (3.22–7.29)3.73 (2.54–4.73)4.45 (2.97–5.94)0.007Platelet count (×109/L)234.0 (196.5-289.8)172.0 (114.5-232.3)67.0 (51.0-99.5)91.0 (63.0-150.0)< 0.001AFP (ng/mL)2.39 (1.77–3.95)407.95 (84.90-817.35)5.99 (2.05–44.82)22.72 (2.92–608.70)< 0.001CEA (ng/mL)1.88 (0.98–2.77)3.08 (1.82–5.87)2.67 (1.64–4.60)2.93 (2.00-4.79)0.011AAR1.44 (1.03–2.15)0.58 (0.35–0.94)1.35 (1.07–1.64)1.40 (1.03–1.93)< 0.001G-Test3.04 (1.54-4.00)3.64 (2.77–5.12)3.85 (2.59–6.03)6.53 (5.87–7.38)< 0.001AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count\n\nComparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groups\nAAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count\nSPSS 22.0 (SPSS Inc. Chicago, IL, USA), MedCalc v. 18.3.1 (MedCalc Software, Mariakerke, Belgium) and GraphPad Prism (version 8.0.2) software were used for all data analyses. The data for patient parameters were represented as mean ± standard deviation (SD) if it was normally-distributed, while non-normally distributed data was represented by medians (quartile). Classification data was represented as frequency and proportions. Differences between HCC, LC, CH, and healthy control groups for the different parameters were evaluated using either the non-parametric test for continuous variables, or χ2 test for categorical variables. Receiver operation characteristic (ROC) curves were then used to determine the areas under the curve (AUC), as well as the optimal cut-off values, sensitivity, specificity, plus positive and negative likelihood ratio (± LR) and predictive values (± PV), to determine the diagnostic values for AFP, G-test and AAR as predictive markers, either singly or in combination, for HCC occurrence. P < 0.05 was considered statistically significant for all analyses.\n\nTable 1Comparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groupsCharacteristicsNon-HCCHCCp value\nHealthy\n\nChronic hepatitis\n\nLiver Cirrhosis\nGender, male/female (n)5/154/148/2967/10< 0.001Age (years)66.5 (48.3–75.8)43.0 (31.5–50.5)51.0 (42.0-65.5)55.0 (47.5–67.0)< 0.001ALT (U/L)17.3 (10.0–26.7)132.5 (82.8-345.5)37.4 (26.6–65.4)31.0 (20.0-53.3)< 0.001AST (U/L)25.4 (20.8–31.1)70.3 (31.8–177.0)45.9 (34.6–87.3)42.5 (27.5–89.7)< 0.001TBIL (µmol/L)15.3 (12.4–18.4)78.5 (50.0-125.7)25.4 (17.5–56.3)20.4 (13.1–48.2)< 0.001ALB (g/L)44.5 (43.0-45.8)34.4 (29.6–35.0)36.3 (30.3–61.9)34.1 (28.1–37.4)< 0.001RBG (mmol/L)5.23 (4.97–5.44)4.64 (4.11–5.43)4.81 (4.28–6.05)4.80 (4.26–5.96)< 0.001TC (mmol/L)5.26 (3.92–6.08)3.65 (2.96–4.30)3.42 (2.59–3.74)3.89 (3.13–4.54)< 0.001TG (mmol/L)0.98 (0.73–1.36)0.87 (0.55–1.32)0.61 (0.44–0.98)0.88 (0.59–1.26)0.002PT (seconds)NA14.30 (12.30-16.45)15.95 (14.30-17.48)13.05 (11.90-15.15)< 0.001WBC count (×109/L)5.39 (4.82–6.63)5.45 (3.22–7.29)3.73 (2.54–4.73)4.45 (2.97–5.94)0.007Platelet count (×109/L)234.0 (196.5-289.8)172.0 (114.5-232.3)67.0 (51.0-99.5)91.0 (63.0-150.0)< 0.001AFP (ng/mL)2.39 (1.77–3.95)407.95 (84.90-817.35)5.99 (2.05–44.82)22.72 (2.92–608.70)< 0.001CEA (ng/mL)1.88 (0.98–2.77)3.08 (1.82–5.87)2.67 (1.64–4.60)2.93 (2.00-4.79)0.011AAR1.44 (1.03–2.15)0.58 (0.35–0.94)1.35 (1.07–1.64)1.40 (1.03–1.93)< 0.001G-Test3.04 (1.54-4.00)3.64 (2.77–5.12)3.85 (2.59–6.03)6.53 (5.87–7.38)< 0.001AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count\n\nComparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groups\nAAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count", "Between Januarys 2020–2022, 152 subjects from the First Affiliated Hospital of Nanchang University were recruited and examined. HCC diagnoses among these subjects were based on histopathological analyses, according to the Guidelines of the American Association for the Study of Liver Diseases (AASLD) [17]. LC was diagnosed based on physical examinations, laboratory tests, as well as either B-mode ultrasound imaging or computed tomography (CT) of the liver. CH was diagnosed as stemming from a hepatitis B virus infection for more than 6 months, as well as presenting with persistent or intermittent elevated ALT and AST levels, along with chronic necrotic hepatitis tissue being present under liver biopsy [18]. Patients were excluded based on the following baseline criteria: (1) Absence of G-test, AFP, and/or AAR measurements, (2) Presence of other types of primary tumors, (3) Presence of other infectious diseases, such as HIV or non-HCC/LC/CH liver diseases (ex. drug-induced hepatitis, fatty liver, alcoholic liver disease, etc.), or (4) Presence of blood- or immune-related diseases. Application of the exclusion criteria yielded the aforementioned 152 subjects, of which 77 had HCC, 37 LC, 18 CH, and 20 served as healthy controls. The study protocol was approved by the Ethics Committee of the First Affiliated Hospital of Nanchang University. All patients provided written informed consent to participate in the study, and the study was conducted in full accordance with the Declaration of Helsinki.", "All patient data was obtained from electronic medical records. Venous blood was collected after fasting and analyzed for the biochemical indices of AST, ALT, white blood cell (WBC) and platelet counts (PLT), as well as random blood glucose (RBG), total cholesterol (TC), triglyceride (TG), carcinoma embryonic antigen (CEA), total bilirubin (TBIL), albumin (ALB), prothrombin time (PT), AFP and G-test measurements. Most indices were measured using the Hitachi automatic biochemical analyzer (LABOSPECT008AS), though ALT and AST were determined by, respectively alanine and aspartate substrate method, with normal ranges defined as ~ 7–40 U/L for each. AAR was then calculated as AST/ALT. G-test levels were separated by fluorescence-labeled capillary micro-electrophoresis, with the positive standard for G-test being set at values > 5. AFP level was detected by electrochemiluminescence using the Roche automatic immune analyzer, with normal reference levels being ~ 0–7 ng/ml. AFP-NHCC was defined as AFP being < 20 µg/L, while AFP-positive HCC was defined as AFP ≥ 20 µg/L.", "SPSS 22.0 (SPSS Inc. Chicago, IL, USA), MedCalc v. 18.3.1 (MedCalc Software, Mariakerke, Belgium) and GraphPad Prism (version 8.0.2) software were used for all data analyses. The data for patient parameters were represented as mean ± standard deviation (SD) if it was normally-distributed, while non-normally distributed data was represented by medians (quartile). Classification data was represented as frequency and proportions. Differences between HCC, LC, CH, and healthy control groups for the different parameters were evaluated using either the non-parametric test for continuous variables, or χ2 test for categorical variables. Receiver operation characteristic (ROC) curves were then used to determine the areas under the curve (AUC), as well as the optimal cut-off values, sensitivity, specificity, plus positive and negative likelihood ratio (± LR) and predictive values (± PV), to determine the diagnostic values for AFP, G-test and AAR as predictive markers, either singly or in combination, for HCC occurrence. P < 0.05 was considered statistically significant for all analyses.\n\nTable 1Comparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groupsCharacteristicsNon-HCCHCCp value\nHealthy\n\nChronic hepatitis\n\nLiver Cirrhosis\nGender, male/female (n)5/154/148/2967/10< 0.001Age (years)66.5 (48.3–75.8)43.0 (31.5–50.5)51.0 (42.0-65.5)55.0 (47.5–67.0)< 0.001ALT (U/L)17.3 (10.0–26.7)132.5 (82.8-345.5)37.4 (26.6–65.4)31.0 (20.0-53.3)< 0.001AST (U/L)25.4 (20.8–31.1)70.3 (31.8–177.0)45.9 (34.6–87.3)42.5 (27.5–89.7)< 0.001TBIL (µmol/L)15.3 (12.4–18.4)78.5 (50.0-125.7)25.4 (17.5–56.3)20.4 (13.1–48.2)< 0.001ALB (g/L)44.5 (43.0-45.8)34.4 (29.6–35.0)36.3 (30.3–61.9)34.1 (28.1–37.4)< 0.001RBG (mmol/L)5.23 (4.97–5.44)4.64 (4.11–5.43)4.81 (4.28–6.05)4.80 (4.26–5.96)< 0.001TC (mmol/L)5.26 (3.92–6.08)3.65 (2.96–4.30)3.42 (2.59–3.74)3.89 (3.13–4.54)< 0.001TG (mmol/L)0.98 (0.73–1.36)0.87 (0.55–1.32)0.61 (0.44–0.98)0.88 (0.59–1.26)0.002PT (seconds)NA14.30 (12.30-16.45)15.95 (14.30-17.48)13.05 (11.90-15.15)< 0.001WBC count (×109/L)5.39 (4.82–6.63)5.45 (3.22–7.29)3.73 (2.54–4.73)4.45 (2.97–5.94)0.007Platelet count (×109/L)234.0 (196.5-289.8)172.0 (114.5-232.3)67.0 (51.0-99.5)91.0 (63.0-150.0)< 0.001AFP (ng/mL)2.39 (1.77–3.95)407.95 (84.90-817.35)5.99 (2.05–44.82)22.72 (2.92–608.70)< 0.001CEA (ng/mL)1.88 (0.98–2.77)3.08 (1.82–5.87)2.67 (1.64–4.60)2.93 (2.00-4.79)0.011AAR1.44 (1.03–2.15)0.58 (0.35–0.94)1.35 (1.07–1.64)1.40 (1.03–1.93)< 0.001G-Test3.04 (1.54-4.00)3.64 (2.77–5.12)3.85 (2.59–6.03)6.53 (5.87–7.38)< 0.001AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count\n\nComparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groups\nAAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count", "Clinical characteristics for the study subjects A total of 159 subjects were initially selected, of which 152 were analyzed in the final study. The remaining 7 were excluded for the following reasons: 2 for lack of clear diagnosis, 1 for having a liver abscess, 1 for drug-induced hepatitis, and 3 for lack of AFP or G-test results. As shown in Table 1, a greater proportion of male patients was present in the HCC group (87.0%), compared to CH (22.2%), LC (21.6%) or healthy control groups (25%). The median age for HCC was 55.0 years (47.5–67.0), higher than LC and CH, respectively at 51.0 (42.0-65.5) and 43.0 (31.5–50.5), but lower than the healthy control, at 66.5 (48.3–75.8). Positive AFP readings and G-test readings were observed in, respectively, 51.9% (40/77 patients), and 90.9% (70/77) of the HCC group, while negative AFP and G-test results were found among 64% (48/75) and 77.3% (58/75) of the non-HCC groups (Table 2). Figure 1 summarizes the comparison between G-test, AFP and AAR levels for HCC, versus healthy (Fig. 1 A-C), CH (Fig. 1D-F), and LC (Fig. 1G-I) patient groups. Statistically significant differences were found between HCC versus all 3 non-HCC groups for G-test and AFP. For AAR, significant differences were only present for HCC versus CH patients. Additionally, the HCC group had the highest G-test value (Table 1).\n\nTable 2Numbers of non- and HCC patients with AFP or G-test-negative/positive HCCVariablesNon-HCCHCCTotal\nHealthy\n\nHepatitis\n\nCirrhosis\n\nTotal\nAFP+ (Positive)01413274067− (Negative)20424483785Total2018377577152G-Test+ (Positive)0413177087− (Negative)20142458765Total2018377577152AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nNumbers of non- and HCC patients with AFP or G-test-negative/positive HCC\nAFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nFig. 1Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC).\n\nComparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC).\nA total of 159 subjects were initially selected, of which 152 were analyzed in the final study. The remaining 7 were excluded for the following reasons: 2 for lack of clear diagnosis, 1 for having a liver abscess, 1 for drug-induced hepatitis, and 3 for lack of AFP or G-test results. As shown in Table 1, a greater proportion of male patients was present in the HCC group (87.0%), compared to CH (22.2%), LC (21.6%) or healthy control groups (25%). The median age for HCC was 55.0 years (47.5–67.0), higher than LC and CH, respectively at 51.0 (42.0-65.5) and 43.0 (31.5–50.5), but lower than the healthy control, at 66.5 (48.3–75.8). Positive AFP readings and G-test readings were observed in, respectively, 51.9% (40/77 patients), and 90.9% (70/77) of the HCC group, while negative AFP and G-test results were found among 64% (48/75) and 77.3% (58/75) of the non-HCC groups (Table 2). Figure 1 summarizes the comparison between G-test, AFP and AAR levels for HCC, versus healthy (Fig. 1 A-C), CH (Fig. 1D-F), and LC (Fig. 1G-I) patient groups. Statistically significant differences were found between HCC versus all 3 non-HCC groups for G-test and AFP. For AAR, significant differences were only present for HCC versus CH patients. Additionally, the HCC group had the highest G-test value (Table 1).\n\nTable 2Numbers of non- and HCC patients with AFP or G-test-negative/positive HCCVariablesNon-HCCHCCTotal\nHealthy\n\nHepatitis\n\nCirrhosis\n\nTotal\nAFP+ (Positive)01413274067− (Negative)20424483785Total2018377577152G-Test+ (Positive)0413177087− (Negative)20142458765Total2018377577152AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nNumbers of non- and HCC patients with AFP or G-test-negative/positive HCC\nAFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nFig. 1Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC).\n\nComparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC).\nComparing differences in sensitivity for HCC between different AFP thresholds Table 3 shows the AFP levels for 77 patients in the HCC group, and different AFP threshold levels were established to determine its diagnostic capability for HCC, with the normal reference value set at 0–7 ng/mL. It was found that at AFP ≥ 7 ng/mL, 45 cases, or 58.4%, were diagnosed as HCC, but AFP sensitivity decreased to 41.6% at AFP ≥ 100 ng/mL. This sensitivity rate, however, was much greater than for the currently-recommended AFP diagnostic guidelines for liver cancer of ≥ 400 ng/mL. There, AFP sensitivity was only 27.3%, with missed diagnosis rate being as high as 72.7% (21/77).\n\nTable 3Percentages of correct and missed diagnoses for different biomarker thresholds in HCC groupBiomarker cutoffsPositive/total casesRate of correct diagnosis (%)Missed diagnosis rate (%)G-Test70/7790.99.1AFP ≥ 745/7758.441.6AFP ≥ 2040/7751.948.1AFP ≥ 10032/7741.658.4AFP ≥ 20028/7736.463.6AFP ≥ 40021/7727.372.7AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain\n\nPercentages of correct and missed diagnoses for different biomarker thresholds in HCC group\nAFP: alpha-fetoprotein; G-test: serum oligosaccharide chain\nTable 3 shows the AFP levels for 77 patients in the HCC group, and different AFP threshold levels were established to determine its diagnostic capability for HCC, with the normal reference value set at 0–7 ng/mL. It was found that at AFP ≥ 7 ng/mL, 45 cases, or 58.4%, were diagnosed as HCC, but AFP sensitivity decreased to 41.6% at AFP ≥ 100 ng/mL. This sensitivity rate, however, was much greater than for the currently-recommended AFP diagnostic guidelines for liver cancer of ≥ 400 ng/mL. There, AFP sensitivity was only 27.3%, with missed diagnosis rate being as high as 72.7% (21/77).\n\nTable 3Percentages of correct and missed diagnoses for different biomarker thresholds in HCC groupBiomarker cutoffsPositive/total casesRate of correct diagnosis (%)Missed diagnosis rate (%)G-Test70/7790.99.1AFP ≥ 745/7758.441.6AFP ≥ 2040/7751.948.1AFP ≥ 10032/7741.658.4AFP ≥ 20028/7736.463.6AFP ≥ 40021/7727.372.7AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain\n\nPercentages of correct and missed diagnoses for different biomarker thresholds in HCC group\nAFP: alpha-fetoprotein; G-test: serum oligosaccharide chain\nEvaluating the diagnostic values of the 3 biomarkers for HCC among different patient groups To further evaluate the diagnostic value of G-test, AFP, and AAR, either alone or in combination, for HCC versus healthy controls, ROC curve analysis was used, as shown in Fig. 2 A. Out of the 3 diagnostic tests, G-test had the greatest diagnostic ability, with AUC of 0.953 (0.890–0.986), significantly higher than for AFP with 0.827 (0.736–0.896), and AAR with 0.546 (0.441–0.648). Additionally, G-test had the highest sensitivity and specificity, at 90.9% (82.2–96.3) and 100.0% (83.2–100.0), respectively (Table 4). The AUC for G-test, AAR and AFP combined was similar to that of G-test, at 0.958 (0.896–0.988), suggesting that G-test alone was as predictive for detecting HCC onset, compared to all 3 tests in combination, among healthy controls.\n\nFig. 2Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC.\n\nReceiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC.\n\nTable 4Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination)AUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PVp value\nHealthy vs. HCC\nG-Test0.953 (0.890–0.986)4.7390.9 (82.2–96.3)100.0 (83.2–100.0)0.9090.091 (0.04–0.2)100.074.1 (58.5–85.3)< 0.001AFP0.827 (0.736–0.896)5.2861.0 (49.2–72.0)95.0 (75.1–99.9)0.56012.2 (1.8–83.2)0.4 (0.3–0.6)97.9 (87.3–99.7)38.8 (32.0–46.0)< 0.001AAR0.546 (0.441–0.648)1.7570.1 (58.6–80.0)47.4 (24.4–71.1)0.1751.3 (0.8–2.1)0.63 (0.4–1.1)84.4 (77.5–89.4)28.1 (17.9–41.2)0.552G-Test + AFP + AAR0.958 (0.896–0.988)0.83988.3 (79.0-94.5)100.0 (82.4–100.0)0.8830.12 (0.06–0.2)100.067.9 (53.3–79.6)< 0.001\nHepatitis vs. HCC\nG-Test0.786 (0.690–0.864)4.4790.9 (82.2–96.3)77.8 (52.4–93.6)0.6874.1 (1.7–9.7)0.1 (0.06–0.2)94.6 (88.0-97.7)66.7 (48.6–80.9)< 0.001AFP0.652 (0.547–0.746)96.1458.4 (46.6–69.6)77.8 (52.4–93.6)0.3622.6 (1.1–6.4)0.5 (0.4–0.8)91.8 (82.3–96.5)30.4 (23.3–38.6)0.013AAR0.850 (0.762–0.915)1.5396.1 (89.0-99.2)72.2 (46.5–90.3)0.6833.5 (1.6–7.3)0.1 (0.02–0.2)93.7 (87.5–96.9)81.2 (57.9–93.2)< 0.001G-Test + AFP + AAR0.898 (0.818–0.950)0.8381.8 (71.4–89.7)88.9 (65.3–98.6)0.7077.4 (2.0-27.3)0.2 (0.1–0.3)96.9 (89.5–99.2)53.3 (40.9–65.4)< 0.001\nCirrhosis vs. HCC\nG-Test0.792 (0.705–0.862)5.5884.4 (74.4–91.7)73.0 (55.9–86.2)0.5743.1 (1.8–5.3)0.2 (0.1–0.4)86.7 (79.1–91.8)69.2 (56.3–79.7)< 0.001AFP0.655 (0.561–0.742)201.836.4 (25.7–48.1)94.6 (81.8–99.3)0.316.7 (1.7–26.7)0.8 (0.6–0.8)93.3 (77.9–98.2)41.7 (37.2–46.2)0.003AAR0.544 (0.448–0.638)0.5833.8 (23.4–45.4)81.1 (64.8–92.0)0.1491.8 (0.9–3.7)0.8 (0.7-1.0)78.8 (64.0-88.6)37.0 (32.0-42.4)0.427G-Test + AFP + AAR0.808 (0.723–0.876)0.6289.6 (80.6–95.4)67.6 (50.2–82.0)0.5722.8 (1.7–4.4)0.2 (0.08–0.3)85.2 (78.2–90.2)75.8 (61.0-86.2)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nAreas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination)\n±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\nBy contrast, the ROC curve analysis for G-test, AFP, and AAR among HCC versus CH patients found that AAR had the greatest diagnostic ability, with AUC of 0.850 (0.762–0.915), compared to 0.786 (0.690–0.864) and 0.652 (0.547–0.746) for, respectively, G-test and AFP (Fig. 2B). Furthermore, AAR had the highest sensitivity among the 3 tests, at 96.1% (89.0-99.2), but the lowest specificity, at 72.2% (46.5–90.3), compared to 77.8% (52.4–93.6) for G-test and AFP (Table 4). However, the diagnostic ability of all 3 tests combined was higher than for any of the tests alone, with AUC of 0.898 (0.818–0.950), as well as sensitivity at 81.8% (71.4–89.7) and specificity at 88.9% (65.3–98.6). Therefore, the combination of all 3 tests was determined to be the most optimal for detecting the presence of HCC among CH.\nAs for HCC versus LC patients, G-test was the most predictive for HCC occurrence, compared to AFP and AAR, with AUC of 0.792 (0.705–0.862) (Fig. 2 C). Additionally, G-test had the highest sensitivity, at 84.4% (78.4–91.7); however, AFP had the highest specificity, at 94.6% (81.8–99.3). All 3 tests combined, though, yielded the greatest diagnostic ability and highest sensitivity values, at respectively, AUC of 0.808 (0.723–0.876) and 89.6% (80.6–95.4) (Table 4). Therefore, the combination of all 3 tests was generally the most optimal for detecting HCC in LC, albeit it was slightly less specific in its detection, compared to AFP alone.\nTo further evaluate the diagnostic value of G-test, AFP, and AAR, either alone or in combination, for HCC versus healthy controls, ROC curve analysis was used, as shown in Fig. 2 A. Out of the 3 diagnostic tests, G-test had the greatest diagnostic ability, with AUC of 0.953 (0.890–0.986), significantly higher than for AFP with 0.827 (0.736–0.896), and AAR with 0.546 (0.441–0.648). Additionally, G-test had the highest sensitivity and specificity, at 90.9% (82.2–96.3) and 100.0% (83.2–100.0), respectively (Table 4). The AUC for G-test, AAR and AFP combined was similar to that of G-test, at 0.958 (0.896–0.988), suggesting that G-test alone was as predictive for detecting HCC onset, compared to all 3 tests in combination, among healthy controls.\n\nFig. 2Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC.\n\nReceiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC.\n\nTable 4Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination)AUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PVp value\nHealthy vs. HCC\nG-Test0.953 (0.890–0.986)4.7390.9 (82.2–96.3)100.0 (83.2–100.0)0.9090.091 (0.04–0.2)100.074.1 (58.5–85.3)< 0.001AFP0.827 (0.736–0.896)5.2861.0 (49.2–72.0)95.0 (75.1–99.9)0.56012.2 (1.8–83.2)0.4 (0.3–0.6)97.9 (87.3–99.7)38.8 (32.0–46.0)< 0.001AAR0.546 (0.441–0.648)1.7570.1 (58.6–80.0)47.4 (24.4–71.1)0.1751.3 (0.8–2.1)0.63 (0.4–1.1)84.4 (77.5–89.4)28.1 (17.9–41.2)0.552G-Test + AFP + AAR0.958 (0.896–0.988)0.83988.3 (79.0-94.5)100.0 (82.4–100.0)0.8830.12 (0.06–0.2)100.067.9 (53.3–79.6)< 0.001\nHepatitis vs. HCC\nG-Test0.786 (0.690–0.864)4.4790.9 (82.2–96.3)77.8 (52.4–93.6)0.6874.1 (1.7–9.7)0.1 (0.06–0.2)94.6 (88.0-97.7)66.7 (48.6–80.9)< 0.001AFP0.652 (0.547–0.746)96.1458.4 (46.6–69.6)77.8 (52.4–93.6)0.3622.6 (1.1–6.4)0.5 (0.4–0.8)91.8 (82.3–96.5)30.4 (23.3–38.6)0.013AAR0.850 (0.762–0.915)1.5396.1 (89.0-99.2)72.2 (46.5–90.3)0.6833.5 (1.6–7.3)0.1 (0.02–0.2)93.7 (87.5–96.9)81.2 (57.9–93.2)< 0.001G-Test + AFP + AAR0.898 (0.818–0.950)0.8381.8 (71.4–89.7)88.9 (65.3–98.6)0.7077.4 (2.0-27.3)0.2 (0.1–0.3)96.9 (89.5–99.2)53.3 (40.9–65.4)< 0.001\nCirrhosis vs. HCC\nG-Test0.792 (0.705–0.862)5.5884.4 (74.4–91.7)73.0 (55.9–86.2)0.5743.1 (1.8–5.3)0.2 (0.1–0.4)86.7 (79.1–91.8)69.2 (56.3–79.7)< 0.001AFP0.655 (0.561–0.742)201.836.4 (25.7–48.1)94.6 (81.8–99.3)0.316.7 (1.7–26.7)0.8 (0.6–0.8)93.3 (77.9–98.2)41.7 (37.2–46.2)0.003AAR0.544 (0.448–0.638)0.5833.8 (23.4–45.4)81.1 (64.8–92.0)0.1491.8 (0.9–3.7)0.8 (0.7-1.0)78.8 (64.0-88.6)37.0 (32.0-42.4)0.427G-Test + AFP + AAR0.808 (0.723–0.876)0.6289.6 (80.6–95.4)67.6 (50.2–82.0)0.5722.8 (1.7–4.4)0.2 (0.08–0.3)85.2 (78.2–90.2)75.8 (61.0-86.2)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nAreas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination)\n±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\nBy contrast, the ROC curve analysis for G-test, AFP, and AAR among HCC versus CH patients found that AAR had the greatest diagnostic ability, with AUC of 0.850 (0.762–0.915), compared to 0.786 (0.690–0.864) and 0.652 (0.547–0.746) for, respectively, G-test and AFP (Fig. 2B). Furthermore, AAR had the highest sensitivity among the 3 tests, at 96.1% (89.0-99.2), but the lowest specificity, at 72.2% (46.5–90.3), compared to 77.8% (52.4–93.6) for G-test and AFP (Table 4). However, the diagnostic ability of all 3 tests combined was higher than for any of the tests alone, with AUC of 0.898 (0.818–0.950), as well as sensitivity at 81.8% (71.4–89.7) and specificity at 88.9% (65.3–98.6). Therefore, the combination of all 3 tests was determined to be the most optimal for detecting the presence of HCC among CH.\nAs for HCC versus LC patients, G-test was the most predictive for HCC occurrence, compared to AFP and AAR, with AUC of 0.792 (0.705–0.862) (Fig. 2 C). Additionally, G-test had the highest sensitivity, at 84.4% (78.4–91.7); however, AFP had the highest specificity, at 94.6% (81.8–99.3). All 3 tests combined, though, yielded the greatest diagnostic ability and highest sensitivity values, at respectively, AUC of 0.808 (0.723–0.876) and 89.6% (80.6–95.4) (Table 4). Therefore, the combination of all 3 tests was generally the most optimal for detecting HCC in LC, albeit it was slightly less specific in its detection, compared to AFP alone.\nPredictive capability, sensitivity, and specificity of the 3 biomarkers for AFP-NHCC Among 152 subjects enrolled in the study, 85 were determined as being AFP-negative (Table 5), accounting for 70.6% of males. Out of those 85 patients, 37 patients (43.5%) were AFP-NHCC. ROC curve analysis was used to determine the diagnostic value for G-test and AAR, both separately and combined, for AFP-NHCC patients. The results showed that G-test had the highest diagnostic capability, with AUC of 0.855 (0.762–0.922), compared to 0.500 (0.389–0.611) for AAR (Fig. 2D). G-test also had the highest sensitivity and specificity, at 83.8% (68.0-93.8) and 87.5% (74.8–95.3), respectively. All these values for diagnostic capability, sensitivity, and specificity were similar for the combination of G-test and AAR versus G-test alone, indicating that G-test is sufficient for detecting AFP-NHCC.\n\nTable 5Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCCVariablesAUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PV\np value\nG-Test0.855 (0.762–0.922)4.7383.8 (68.0-93.8)87.5 (74.8–95.3)0.7136.7 (3.1–14.4)0.19 (0.09–0.4)93.8 (70.7–91.7)87.5 (77.0-93.6)< 0.001AAR0.500 (0.389–0.611)1.3454.0 (36.9–70.5)53.2 (38.1–67.9)0.0721.2 (0.8–1.8)0.86 (0.6–1.3)47.6 (37.3–58.2)59.5 (48.6–69.6)0.996G-Test + AAR0.852 (0.758–0.920)0.4483.8 (68.0-93.8)87.2 (74.3–95.2)0.7106.6 (3.1–14.0)0.19 (0.09–0.4)83.8 (70.7–91.7)87.2 (76.5–93.5)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nAreas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCC\n±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\nAmong 152 subjects enrolled in the study, 85 were determined as being AFP-negative (Table 5), accounting for 70.6% of males. Out of those 85 patients, 37 patients (43.5%) were AFP-NHCC. ROC curve analysis was used to determine the diagnostic value for G-test and AAR, both separately and combined, for AFP-NHCC patients. The results showed that G-test had the highest diagnostic capability, with AUC of 0.855 (0.762–0.922), compared to 0.500 (0.389–0.611) for AAR (Fig. 2D). G-test also had the highest sensitivity and specificity, at 83.8% (68.0-93.8) and 87.5% (74.8–95.3), respectively. All these values for diagnostic capability, sensitivity, and specificity were similar for the combination of G-test and AAR versus G-test alone, indicating that G-test is sufficient for detecting AFP-NHCC.\n\nTable 5Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCCVariablesAUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PV\np value\nG-Test0.855 (0.762–0.922)4.7383.8 (68.0-93.8)87.5 (74.8–95.3)0.7136.7 (3.1–14.4)0.19 (0.09–0.4)93.8 (70.7–91.7)87.5 (77.0-93.6)< 0.001AAR0.500 (0.389–0.611)1.3454.0 (36.9–70.5)53.2 (38.1–67.9)0.0721.2 (0.8–1.8)0.86 (0.6–1.3)47.6 (37.3–58.2)59.5 (48.6–69.6)0.996G-Test + AAR0.852 (0.758–0.920)0.4483.8 (68.0-93.8)87.2 (74.3–95.2)0.7106.6 (3.1–14.0)0.19 (0.09–0.4)83.8 (70.7–91.7)87.2 (76.5–93.5)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nAreas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCC\n±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma", "A total of 159 subjects were initially selected, of which 152 were analyzed in the final study. The remaining 7 were excluded for the following reasons: 2 for lack of clear diagnosis, 1 for having a liver abscess, 1 for drug-induced hepatitis, and 3 for lack of AFP or G-test results. As shown in Table 1, a greater proportion of male patients was present in the HCC group (87.0%), compared to CH (22.2%), LC (21.6%) or healthy control groups (25%). The median age for HCC was 55.0 years (47.5–67.0), higher than LC and CH, respectively at 51.0 (42.0-65.5) and 43.0 (31.5–50.5), but lower than the healthy control, at 66.5 (48.3–75.8). Positive AFP readings and G-test readings were observed in, respectively, 51.9% (40/77 patients), and 90.9% (70/77) of the HCC group, while negative AFP and G-test results were found among 64% (48/75) and 77.3% (58/75) of the non-HCC groups (Table 2). Figure 1 summarizes the comparison between G-test, AFP and AAR levels for HCC, versus healthy (Fig. 1 A-C), CH (Fig. 1D-F), and LC (Fig. 1G-I) patient groups. Statistically significant differences were found between HCC versus all 3 non-HCC groups for G-test and AFP. For AAR, significant differences were only present for HCC versus CH patients. Additionally, the HCC group had the highest G-test value (Table 1).\n\nTable 2Numbers of non- and HCC patients with AFP or G-test-negative/positive HCCVariablesNon-HCCHCCTotal\nHealthy\n\nHepatitis\n\nCirrhosis\n\nTotal\nAFP+ (Positive)01413274067− (Negative)20424483785Total2018377577152G-Test+ (Positive)0413177087− (Negative)20142458765Total2018377577152AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nNumbers of non- and HCC patients with AFP or G-test-negative/positive HCC\nAFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nFig. 1Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC).\n\nComparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC).", "Table 3 shows the AFP levels for 77 patients in the HCC group, and different AFP threshold levels were established to determine its diagnostic capability for HCC, with the normal reference value set at 0–7 ng/mL. It was found that at AFP ≥ 7 ng/mL, 45 cases, or 58.4%, were diagnosed as HCC, but AFP sensitivity decreased to 41.6% at AFP ≥ 100 ng/mL. This sensitivity rate, however, was much greater than for the currently-recommended AFP diagnostic guidelines for liver cancer of ≥ 400 ng/mL. There, AFP sensitivity was only 27.3%, with missed diagnosis rate being as high as 72.7% (21/77).\n\nTable 3Percentages of correct and missed diagnoses for different biomarker thresholds in HCC groupBiomarker cutoffsPositive/total casesRate of correct diagnosis (%)Missed diagnosis rate (%)G-Test70/7790.99.1AFP ≥ 745/7758.441.6AFP ≥ 2040/7751.948.1AFP ≥ 10032/7741.658.4AFP ≥ 20028/7736.463.6AFP ≥ 40021/7727.372.7AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain\n\nPercentages of correct and missed diagnoses for different biomarker thresholds in HCC group\nAFP: alpha-fetoprotein; G-test: serum oligosaccharide chain", "To further evaluate the diagnostic value of G-test, AFP, and AAR, either alone or in combination, for HCC versus healthy controls, ROC curve analysis was used, as shown in Fig. 2 A. Out of the 3 diagnostic tests, G-test had the greatest diagnostic ability, with AUC of 0.953 (0.890–0.986), significantly higher than for AFP with 0.827 (0.736–0.896), and AAR with 0.546 (0.441–0.648). Additionally, G-test had the highest sensitivity and specificity, at 90.9% (82.2–96.3) and 100.0% (83.2–100.0), respectively (Table 4). The AUC for G-test, AAR and AFP combined was similar to that of G-test, at 0.958 (0.896–0.988), suggesting that G-test alone was as predictive for detecting HCC onset, compared to all 3 tests in combination, among healthy controls.\n\nFig. 2Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC.\n\nReceiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC.\n\nTable 4Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination)AUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PVp value\nHealthy vs. HCC\nG-Test0.953 (0.890–0.986)4.7390.9 (82.2–96.3)100.0 (83.2–100.0)0.9090.091 (0.04–0.2)100.074.1 (58.5–85.3)< 0.001AFP0.827 (0.736–0.896)5.2861.0 (49.2–72.0)95.0 (75.1–99.9)0.56012.2 (1.8–83.2)0.4 (0.3–0.6)97.9 (87.3–99.7)38.8 (32.0–46.0)< 0.001AAR0.546 (0.441–0.648)1.7570.1 (58.6–80.0)47.4 (24.4–71.1)0.1751.3 (0.8–2.1)0.63 (0.4–1.1)84.4 (77.5–89.4)28.1 (17.9–41.2)0.552G-Test + AFP + AAR0.958 (0.896–0.988)0.83988.3 (79.0-94.5)100.0 (82.4–100.0)0.8830.12 (0.06–0.2)100.067.9 (53.3–79.6)< 0.001\nHepatitis vs. HCC\nG-Test0.786 (0.690–0.864)4.4790.9 (82.2–96.3)77.8 (52.4–93.6)0.6874.1 (1.7–9.7)0.1 (0.06–0.2)94.6 (88.0-97.7)66.7 (48.6–80.9)< 0.001AFP0.652 (0.547–0.746)96.1458.4 (46.6–69.6)77.8 (52.4–93.6)0.3622.6 (1.1–6.4)0.5 (0.4–0.8)91.8 (82.3–96.5)30.4 (23.3–38.6)0.013AAR0.850 (0.762–0.915)1.5396.1 (89.0-99.2)72.2 (46.5–90.3)0.6833.5 (1.6–7.3)0.1 (0.02–0.2)93.7 (87.5–96.9)81.2 (57.9–93.2)< 0.001G-Test + AFP + AAR0.898 (0.818–0.950)0.8381.8 (71.4–89.7)88.9 (65.3–98.6)0.7077.4 (2.0-27.3)0.2 (0.1–0.3)96.9 (89.5–99.2)53.3 (40.9–65.4)< 0.001\nCirrhosis vs. HCC\nG-Test0.792 (0.705–0.862)5.5884.4 (74.4–91.7)73.0 (55.9–86.2)0.5743.1 (1.8–5.3)0.2 (0.1–0.4)86.7 (79.1–91.8)69.2 (56.3–79.7)< 0.001AFP0.655 (0.561–0.742)201.836.4 (25.7–48.1)94.6 (81.8–99.3)0.316.7 (1.7–26.7)0.8 (0.6–0.8)93.3 (77.9–98.2)41.7 (37.2–46.2)0.003AAR0.544 (0.448–0.638)0.5833.8 (23.4–45.4)81.1 (64.8–92.0)0.1491.8 (0.9–3.7)0.8 (0.7-1.0)78.8 (64.0-88.6)37.0 (32.0-42.4)0.427G-Test + AFP + AAR0.808 (0.723–0.876)0.6289.6 (80.6–95.4)67.6 (50.2–82.0)0.5722.8 (1.7–4.4)0.2 (0.08–0.3)85.2 (78.2–90.2)75.8 (61.0-86.2)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nAreas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination)\n±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\nBy contrast, the ROC curve analysis for G-test, AFP, and AAR among HCC versus CH patients found that AAR had the greatest diagnostic ability, with AUC of 0.850 (0.762–0.915), compared to 0.786 (0.690–0.864) and 0.652 (0.547–0.746) for, respectively, G-test and AFP (Fig. 2B). Furthermore, AAR had the highest sensitivity among the 3 tests, at 96.1% (89.0-99.2), but the lowest specificity, at 72.2% (46.5–90.3), compared to 77.8% (52.4–93.6) for G-test and AFP (Table 4). However, the diagnostic ability of all 3 tests combined was higher than for any of the tests alone, with AUC of 0.898 (0.818–0.950), as well as sensitivity at 81.8% (71.4–89.7) and specificity at 88.9% (65.3–98.6). Therefore, the combination of all 3 tests was determined to be the most optimal for detecting the presence of HCC among CH.\nAs for HCC versus LC patients, G-test was the most predictive for HCC occurrence, compared to AFP and AAR, with AUC of 0.792 (0.705–0.862) (Fig. 2 C). Additionally, G-test had the highest sensitivity, at 84.4% (78.4–91.7); however, AFP had the highest specificity, at 94.6% (81.8–99.3). All 3 tests combined, though, yielded the greatest diagnostic ability and highest sensitivity values, at respectively, AUC of 0.808 (0.723–0.876) and 89.6% (80.6–95.4) (Table 4). Therefore, the combination of all 3 tests was generally the most optimal for detecting HCC in LC, albeit it was slightly less specific in its detection, compared to AFP alone.", "Among 152 subjects enrolled in the study, 85 were determined as being AFP-negative (Table 5), accounting for 70.6% of males. Out of those 85 patients, 37 patients (43.5%) were AFP-NHCC. ROC curve analysis was used to determine the diagnostic value for G-test and AAR, both separately and combined, for AFP-NHCC patients. The results showed that G-test had the highest diagnostic capability, with AUC of 0.855 (0.762–0.922), compared to 0.500 (0.389–0.611) for AAR (Fig. 2D). G-test also had the highest sensitivity and specificity, at 83.8% (68.0-93.8) and 87.5% (74.8–95.3), respectively. All these values for diagnostic capability, sensitivity, and specificity were similar for the combination of G-test and AAR versus G-test alone, indicating that G-test is sufficient for detecting AFP-NHCC.\n\nTable 5Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCCVariablesAUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PV\np value\nG-Test0.855 (0.762–0.922)4.7383.8 (68.0-93.8)87.5 (74.8–95.3)0.7136.7 (3.1–14.4)0.19 (0.09–0.4)93.8 (70.7–91.7)87.5 (77.0-93.6)< 0.001AAR0.500 (0.389–0.611)1.3454.0 (36.9–70.5)53.2 (38.1–67.9)0.0721.2 (0.8–1.8)0.86 (0.6–1.3)47.6 (37.3–58.2)59.5 (48.6–69.6)0.996G-Test + AAR0.852 (0.758–0.920)0.4483.8 (68.0-93.8)87.2 (74.3–95.2)0.7106.6 (3.1–14.0)0.19 (0.09–0.4)83.8 (70.7–91.7)87.2 (76.5–93.5)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma\n\nAreas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCC\n±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma", "HCC is one of the most common malignancies globally, with incidence increasing yearly by 3–9%, posing a huge global health risk. HCC patients typically have a low 5-year overall survival rate and poor clinical prognoses, due to the delay in diagnosing the disease. As a result, effective biomarkers have been long sought to increase HCC detection rates, for guiding individualized patient treatments [19, 20]. Some examples of biomarkers examined include G-test, AFP, and AAR. In this study, we also investigated these 3 biomarkers, both alone and in combination, to determine their predictive capabilities for diagnosing HCC. We found that G-test, AFP, and AAR levels were closely related to the occurrence of HCC, and that out of the 3 parameters, G-test had the greatest diagnostic value for predicting HCC, compared to AFP and AAR, as determined by AUC values. In particular, G-test had the highest specificity and sensitivity, compared to the other 2 markers, for LC and healthy individuals. However, for CH patients, AAR had the greatest sensitivity. Overall, though, the combination of all 3 biomarkers provided the most optimal sensitivity, specificity, and predictive capabilities for diagnosing HCC.\nAFP was first proposed as a tumor marker for HCC in the 1960s and has since been widely used for clinical HCC detection. However, its utility for screening and diagnosis of HCC has been criticized, due to its low sensitivity and specificity [21–23]. It has been noted in multiple studies, though, that AFP sensitivity and specificity for HCC varied with the AFP threshold value; some studies showed that an AFP threshold of 20 ng/mL yielded sensitivity and specificity values for HCC detection of, respectively, 41-65% and 80-94% [24]. Increasing the AFP threshold from 20 to 50 ng/mL, though, yielded a significantly increased specificity value of 96%, along with a positive predictive value of 75%. On the other hand, sensitivity was only 47% [25]. Therefore, a lower AFP threshold value would yield increased sensitivity, but lower specificity, possibly leading to a greater risk for HCC false positives. These findings were in line with what was observed from 77 HCC patients in our study, in which at AFP thresholds of 7, 100, and 400 ng/mL, sensitivity for HCC was, respectively, 58.4%, 41.6% and 27.3%, while the rate of missed diagnosis increased from 41.6 to 72.7%. All these observations thus indicate the necessity of combining AFP with more effective biomarkers to obtain a better detection strategy for HCC. AAR has been used as an indicator to evaluate liver fibrosis in chronic liver disease [9, 26], and more recent studies have suggested that it can also be used to distinguish cirrhosis from HCC [10], with a sensitivity of 75.9% and specificity 55.7%. Additionally, AAR has been independently associated with early recurrence of HCC [11]. In this study, we evaluated the diagnostic ability of AAR, in terms of AUC, for HCC, and found that it had the highest value among CH patients, compared to G-test and AFP. This higher measurement is in line with AAR also having the greatest sensitivity among those patients. However, AAR, compared to G-test and AFP, had the lowest specificity for detecting HCC in CH.\nAbnormal structural changes in liver glycosyltransferase have been noted as a key feature in the development of HCC, which could be reflected in the resulting serum N-glycan branching [27]. A study from Liu et al. [13] evaluated changes of the serum N-glycan spectrum among HCC patients using DNA sequencer-aided fluorophore-assisted carbohydrate electrophoresis, and the ratio of log (peak value 9/peak value 7 in the N-glycan spectrum) was named the GlycoHCCTest, or G-test for short. G-test has been found to be an effective and non-invasive means for detecting HCC among cirrhosis patients [28]. Our G-test results demonstrated that the test values was much higher among HCC, compared to CH and LC patients, which was consistent with the HCC developmental process progressing from hepatitis to cirrhosis to liver cancer experienced by most HCC patients. G-test was found by Wan et al. [16] to be superior to AFP in screening for liver cancer among patients with chronic hepatitis B and cirrhosis. Additionally, the combination of both parameters further improved the diagnosis rate for hepatitis B virus-related liver cancer. These findings were in line with our study, which evaluated a larger sample size and added AAR as a biomarker of interest, along with G-test, and AFP. We found that G-test was significantly better than AFP in distinguishing between those who developed HCC from those who did not, including healthy, CH, and LC individuals, while AAR was the most optimal only for differentiating between HCC and CH individuals. Nevertheless, the combination of G-test, AFP and AAR demonstrated the highest diagnostic capability, suggesting that this was likely the optimal approach for detecting HCC onset.\nCirrhosis and inflammation during HCC development complicate the early diagnosis of HCC. Due to the high rate of false negatives from AFP for HCC, biomarkers for AFP-NHCC have recently become a significant topic of interest. A study from Li et al. found that the gamma-glutamyl transpeptidase (GGT) to alkaline phosphatase ratio, combined with GGT to AST ratio and AAR, were effective diagnostic markers for AFP-NHCC [12]. In our study, we further analyzed the diagnostic ability of G-test and AAR for AFP-NHCC, and found that G-test, as well as the combination of G-test and AAR, was able to effectively detect AFP-NHCC. By contrast, AAR was significantly less effective for diagnosing AFP-NHCC. Furthermore, although both approaches used AAR levels as part of diagnosing HCC, our method was able to diagnose HCC onset using G-test and AFP, on top of AAR. The Li et al. method focused on detecting AFP-NHCC, while our method focused more on diagnosing HCC in general, being able to predict the occurrence of HCC [12], whether AFP-positive or negative (AFP-NHCC), among healthy, cirrhotic, and hepatitis (non-cancerous) patients. In addition, the Li et al. method was most effective during the early stages of AFP-NHCC, when the tumor size is small [12]. Nevertheless, additional studies are needed to unravel the true association between AAR and AFP-NHCC.\nChanges in IgG antibody-linked oligosaccharides, in terms of both types and levels, have also been used as diagnostic markers for the onset and progression of various types of cancer. For instance, Kanoah et al. found that NSCLC progression was associated with significant decreases in mono- (Fr1) and digalactosyl (Fr2) IgG oligosaccharide levels, coupled with increases in agalactosyl IgG oligosaccharide (Fr4) [29]. Similar changes, entailing decreased Fr1 and F2, coupled with increased Fr4, were previously observed among that research group for prostate cancer [30]. More recently, changes in glycosylation patterns were observed in epithelial ovarian cancer patients, compared to healthy ones, with respect to IgG1, 2 and 3. In particular, IgG1 had significantly lower sialylation, and higher fucosylation, among cancer patients, while those patients also had increased agalactyosylation, along with decreased digalactosylation and sialylation, for IgG3. These alterations, especially for agalactosylation, were also found to be positively correlated with the widely utilized diagnostic marker CA125 [31]. However, the methods used to identify the oligosaccharide chains, such as fluorophore-associated carbohydrate electrophoresis and matrix-assisted laser desorption/ionization coupled with time-of-flight mass spectrometry are approaches that may be difficult to apply for widespread clinical use. Therefore, less cumbersome methods may need to be developed before IgG oligosaccharide chains could be utilized as a clinical diagnostic marker.\nMoreover, it is worth noting that other methods for diagnosing HCC through serum diagnostic markers, such as exosomal DNA containing the TP53 gene mutation [32], phenylalanyl-tryptophan [33], miRNAs, such as miR-10b [34], prothrombin induced by vitamin K deficiency or antagonist-II [35], lncRNA-D16366[36], des-gamma-carboxyprothrombin [37], and dickkopf-1 [38], etc., have been documented. However, the widespread adoption for a number of these biomarkers as a diagnostic tool has been limited, owing to low sensitivity, which is exacerbated by HCC often being found alongside chronic liver disease and inflammation [39]. Furthermore, determining the appropriate cut-off values for detecting HCC onset with high specificity and sensitivity, as well as developing cost-effective approaches for measuring serum miRNA, lncRNA, and exosomal DNA levels, is a continued work in progress [39].\nOur results provide a new predictor for diagnosing HCC, particularly AFP-NHCC. However, there are still a number of limitations in our study, one of which is its retrospective nature, which may reduce the predictive value of the results. Additionally, the sample size was small, possibly resulting in sampling biases. Lastly, there is a lack of sufficient HCC staging and follow-up data, limiting our ability to evaluate the association between the screening value of indicators with different HCC stages and follow-up findings. Therefore, future prospective studies with large sample sizes, multiple centers and adequate follow-up data collection are needed to validate the results.", "The biomarkers of G-test, AFP and AAR were examined as diagnostic indicators for HCC onset, and their predictive value was confirmed. Out of those 3 biomarkers, G-test had the highest predictive ability among healthy, LC, and AFP-NHCC patients, while AAR was the most predictive among CH. However, the combination of G-test, AFP and AAR has the highest diagnostic capability, sensitivity, and specificity for HCC, suggesting a possible new approach for screening and early detection of HCC. This finding thus facilitates interventions against HCC in its early stages among patient populations." ]
[ "introduction", null, null, null, null, "results", null, null, null, null, "discussion", "conclusion" ]
[ "Hepatocellular carcinoma", "Chronic hepatitis", "Liver cirrhosis", "G-test", "Alpha-fetoprotein", "Aspartate aminotransferase to alanine aminotransferase ratio", "Serological markers", "Receiver operating characteristic curve" ]
Introduction: Hepatocellular carcinoma (HCC) is one of the leading causes of cancer-related death worldwide; its high morbidity and mortality rate has resulted in the cancer being considered a significant global health risk. Its occurrence is most commonly attributed to chronic viral hepatitis, alcohol intake and aflatoxin exposure. Owing to the lack of obvious symptoms at the early stages, most patients end up diagnosed with HCC after it has progressed to its advanced stages, contributing to its extremely low overall five-year survival rates of < 16% [1–4]. Currently, HCC is diagnosed based on a combination of serological, radiological, and pathological features, with liver biopsy being considered the gold standard; however, the procedure is limited by its invasiveness and risks for sampling errors [5]. As a result, alternative approaches for diagnosing HCC has been developed, such as imaging technologies, though this has its own shortcomings. For instance, it is difficult under conventional ultrasound to distinguish between benign and malignant small hepatocellular nodules [6, 7]. Thus, identifying a non-invasive, rapid, and easy-to-measure marker for HCC would be of great utility for clinical screening and development of more effective treatment approaches. The ideal biomarker is one that is easily detected in serum, plasma, bile, and other body fluids. Serum alpha fetoprotein (AFP) has long been considered as such a biomarker, but its usage, though widespread, has been controversial, owing to its low sensitivity to HCC, especially at its early stages, of 10–20%. This has led to its recommendation in HCC screening guidelines being highly controversial [1, 8]. An alternative proposed biomarker that has emerged is aspartate aminotransferase (AST) to alanine aminotransferase (ALT) ratio (AAR), which had already been used as an indicator of liver fibrosis. AAR has also been found to be able to serve as a biomarker for the identification and early prediction of HCC recurrence [9–11], leading to it being proposed as an effective marker for AFP-negative HCC (AFP-NHCC) [12]. More recently, changes in the N-glycome has been identified as a potential effective serum marker for liver disease. In particular, abnormal changes in the glycosylation modifications on glycoproteins have been observed throughout the progression of chronic liver disease into HCC [13–15]. This finding has led to the emergence of serum oligosaccharide chain (G-test) detection technology. G-test was first defined by Liu et al. [13] as the GlycoHCCTest, which was the log ratio of peak 9 to peak 7 obtained from DNA sequencer–assisted fluorophore-assisted carbohydrate electrophoresis of patient serum, followed by normal-phase high-performance liquid chromatography and digestion with exoglycosidases. The resulting peak 9 represented a branch α-(1,3)-fucosylated triantennary glycan, which was more abundant among HCC patients, compared to those without HCC. By contrast, peak 7, representing bisecting core α-(1,6)-fucosylated biantennary glycans, decreased with increasing stages of HCC. Therefore, higher G-test measurements correlated with HCC progression [13]. This finding was further verified in a previous study [16], in which higher G-test levels were associated with HCC onset among patients with chronic hepatitis B and related cirrhosis, and that G-test was better than AFP for predicting HCC. However, the effectiveness for G-test to diagnose HCC among broader patient demographics, as well as its predictive capabilities compared to other diagnostic markers, is still scarce. In this study, we aim to fill in this knowledge gap by comparing the diagnostic value of G-test versus other markers. We examined the predictive capabilities of G-test, AFP, and AAR, both as single markers, and combined together, for detecting HCC in its early stages. We found that G-test had the greatest diagnostic ability for detecting HCC among healthy and liver cirrhosis (LC) patients, as well as AFP-NHCC among healthy, LC, and chronic hepatitis (CH) individuals. By contrast, AAR had the greatest diagnostic ability among CH. Regardless, the combination of all 3 tests yielded the most optimal outcomes with respect to diagnostic capability, sensitivity, and specificity for HCC. Methods: Study design and population Between Januarys 2020–2022, 152 subjects from the First Affiliated Hospital of Nanchang University were recruited and examined. HCC diagnoses among these subjects were based on histopathological analyses, according to the Guidelines of the American Association for the Study of Liver Diseases (AASLD) [17]. LC was diagnosed based on physical examinations, laboratory tests, as well as either B-mode ultrasound imaging or computed tomography (CT) of the liver. CH was diagnosed as stemming from a hepatitis B virus infection for more than 6 months, as well as presenting with persistent or intermittent elevated ALT and AST levels, along with chronic necrotic hepatitis tissue being present under liver biopsy [18]. Patients were excluded based on the following baseline criteria: (1) Absence of G-test, AFP, and/or AAR measurements, (2) Presence of other types of primary tumors, (3) Presence of other infectious diseases, such as HIV or non-HCC/LC/CH liver diseases (ex. drug-induced hepatitis, fatty liver, alcoholic liver disease, etc.), or (4) Presence of blood- or immune-related diseases. Application of the exclusion criteria yielded the aforementioned 152 subjects, of which 77 had HCC, 37 LC, 18 CH, and 20 served as healthy controls. The study protocol was approved by the Ethics Committee of the First Affiliated Hospital of Nanchang University. All patients provided written informed consent to participate in the study, and the study was conducted in full accordance with the Declaration of Helsinki. Between Januarys 2020–2022, 152 subjects from the First Affiliated Hospital of Nanchang University were recruited and examined. HCC diagnoses among these subjects were based on histopathological analyses, according to the Guidelines of the American Association for the Study of Liver Diseases (AASLD) [17]. LC was diagnosed based on physical examinations, laboratory tests, as well as either B-mode ultrasound imaging or computed tomography (CT) of the liver. CH was diagnosed as stemming from a hepatitis B virus infection for more than 6 months, as well as presenting with persistent or intermittent elevated ALT and AST levels, along with chronic necrotic hepatitis tissue being present under liver biopsy [18]. Patients were excluded based on the following baseline criteria: (1) Absence of G-test, AFP, and/or AAR measurements, (2) Presence of other types of primary tumors, (3) Presence of other infectious diseases, such as HIV or non-HCC/LC/CH liver diseases (ex. drug-induced hepatitis, fatty liver, alcoholic liver disease, etc.), or (4) Presence of blood- or immune-related diseases. Application of the exclusion criteria yielded the aforementioned 152 subjects, of which 77 had HCC, 37 LC, 18 CH, and 20 served as healthy controls. The study protocol was approved by the Ethics Committee of the First Affiliated Hospital of Nanchang University. All patients provided written informed consent to participate in the study, and the study was conducted in full accordance with the Declaration of Helsinki. Data collection All patient data was obtained from electronic medical records. Venous blood was collected after fasting and analyzed for the biochemical indices of AST, ALT, white blood cell (WBC) and platelet counts (PLT), as well as random blood glucose (RBG), total cholesterol (TC), triglyceride (TG), carcinoma embryonic antigen (CEA), total bilirubin (TBIL), albumin (ALB), prothrombin time (PT), AFP and G-test measurements. Most indices were measured using the Hitachi automatic biochemical analyzer (LABOSPECT008AS), though ALT and AST were determined by, respectively alanine and aspartate substrate method, with normal ranges defined as ~ 7–40 U/L for each. AAR was then calculated as AST/ALT. G-test levels were separated by fluorescence-labeled capillary micro-electrophoresis, with the positive standard for G-test being set at values > 5. AFP level was detected by electrochemiluminescence using the Roche automatic immune analyzer, with normal reference levels being ~ 0–7 ng/ml. AFP-NHCC was defined as AFP being < 20 µg/L, while AFP-positive HCC was defined as AFP ≥ 20 µg/L. All patient data was obtained from electronic medical records. Venous blood was collected after fasting and analyzed for the biochemical indices of AST, ALT, white blood cell (WBC) and platelet counts (PLT), as well as random blood glucose (RBG), total cholesterol (TC), triglyceride (TG), carcinoma embryonic antigen (CEA), total bilirubin (TBIL), albumin (ALB), prothrombin time (PT), AFP and G-test measurements. Most indices were measured using the Hitachi automatic biochemical analyzer (LABOSPECT008AS), though ALT and AST were determined by, respectively alanine and aspartate substrate method, with normal ranges defined as ~ 7–40 U/L for each. AAR was then calculated as AST/ALT. G-test levels were separated by fluorescence-labeled capillary micro-electrophoresis, with the positive standard for G-test being set at values > 5. AFP level was detected by electrochemiluminescence using the Roche automatic immune analyzer, with normal reference levels being ~ 0–7 ng/ml. AFP-NHCC was defined as AFP being < 20 µg/L, while AFP-positive HCC was defined as AFP ≥ 20 µg/L. Statistical analysis SPSS 22.0 (SPSS Inc. Chicago, IL, USA), MedCalc v. 18.3.1 (MedCalc Software, Mariakerke, Belgium) and GraphPad Prism (version 8.0.2) software were used for all data analyses. The data for patient parameters were represented as mean ± standard deviation (SD) if it was normally-distributed, while non-normally distributed data was represented by medians (quartile). Classification data was represented as frequency and proportions. Differences between HCC, LC, CH, and healthy control groups for the different parameters were evaluated using either the non-parametric test for continuous variables, or χ2 test for categorical variables. Receiver operation characteristic (ROC) curves were then used to determine the areas under the curve (AUC), as well as the optimal cut-off values, sensitivity, specificity, plus positive and negative likelihood ratio (± LR) and predictive values (± PV), to determine the diagnostic values for AFP, G-test and AAR as predictive markers, either singly or in combination, for HCC occurrence. P < 0.05 was considered statistically significant for all analyses. Table 1Comparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groupsCharacteristicsNon-HCCHCCp value Healthy Chronic hepatitis Liver Cirrhosis Gender, male/female (n)5/154/148/2967/10< 0.001Age (years)66.5 (48.3–75.8)43.0 (31.5–50.5)51.0 (42.0-65.5)55.0 (47.5–67.0)< 0.001ALT (U/L)17.3 (10.0–26.7)132.5 (82.8-345.5)37.4 (26.6–65.4)31.0 (20.0-53.3)< 0.001AST (U/L)25.4 (20.8–31.1)70.3 (31.8–177.0)45.9 (34.6–87.3)42.5 (27.5–89.7)< 0.001TBIL (µmol/L)15.3 (12.4–18.4)78.5 (50.0-125.7)25.4 (17.5–56.3)20.4 (13.1–48.2)< 0.001ALB (g/L)44.5 (43.0-45.8)34.4 (29.6–35.0)36.3 (30.3–61.9)34.1 (28.1–37.4)< 0.001RBG (mmol/L)5.23 (4.97–5.44)4.64 (4.11–5.43)4.81 (4.28–6.05)4.80 (4.26–5.96)< 0.001TC (mmol/L)5.26 (3.92–6.08)3.65 (2.96–4.30)3.42 (2.59–3.74)3.89 (3.13–4.54)< 0.001TG (mmol/L)0.98 (0.73–1.36)0.87 (0.55–1.32)0.61 (0.44–0.98)0.88 (0.59–1.26)0.002PT (seconds)NA14.30 (12.30-16.45)15.95 (14.30-17.48)13.05 (11.90-15.15)< 0.001WBC count (×109/L)5.39 (4.82–6.63)5.45 (3.22–7.29)3.73 (2.54–4.73)4.45 (2.97–5.94)0.007Platelet count (×109/L)234.0 (196.5-289.8)172.0 (114.5-232.3)67.0 (51.0-99.5)91.0 (63.0-150.0)< 0.001AFP (ng/mL)2.39 (1.77–3.95)407.95 (84.90-817.35)5.99 (2.05–44.82)22.72 (2.92–608.70)< 0.001CEA (ng/mL)1.88 (0.98–2.77)3.08 (1.82–5.87)2.67 (1.64–4.60)2.93 (2.00-4.79)0.011AAR1.44 (1.03–2.15)0.58 (0.35–0.94)1.35 (1.07–1.64)1.40 (1.03–1.93)< 0.001G-Test3.04 (1.54-4.00)3.64 (2.77–5.12)3.85 (2.59–6.03)6.53 (5.87–7.38)< 0.001AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count Comparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groups AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count SPSS 22.0 (SPSS Inc. Chicago, IL, USA), MedCalc v. 18.3.1 (MedCalc Software, Mariakerke, Belgium) and GraphPad Prism (version 8.0.2) software were used for all data analyses. The data for patient parameters were represented as mean ± standard deviation (SD) if it was normally-distributed, while non-normally distributed data was represented by medians (quartile). Classification data was represented as frequency and proportions. Differences between HCC, LC, CH, and healthy control groups for the different parameters were evaluated using either the non-parametric test for continuous variables, or χ2 test for categorical variables. Receiver operation characteristic (ROC) curves were then used to determine the areas under the curve (AUC), as well as the optimal cut-off values, sensitivity, specificity, plus positive and negative likelihood ratio (± LR) and predictive values (± PV), to determine the diagnostic values for AFP, G-test and AAR as predictive markers, either singly or in combination, for HCC occurrence. P < 0.05 was considered statistically significant for all analyses. Table 1Comparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groupsCharacteristicsNon-HCCHCCp value Healthy Chronic hepatitis Liver Cirrhosis Gender, male/female (n)5/154/148/2967/10< 0.001Age (years)66.5 (48.3–75.8)43.0 (31.5–50.5)51.0 (42.0-65.5)55.0 (47.5–67.0)< 0.001ALT (U/L)17.3 (10.0–26.7)132.5 (82.8-345.5)37.4 (26.6–65.4)31.0 (20.0-53.3)< 0.001AST (U/L)25.4 (20.8–31.1)70.3 (31.8–177.0)45.9 (34.6–87.3)42.5 (27.5–89.7)< 0.001TBIL (µmol/L)15.3 (12.4–18.4)78.5 (50.0-125.7)25.4 (17.5–56.3)20.4 (13.1–48.2)< 0.001ALB (g/L)44.5 (43.0-45.8)34.4 (29.6–35.0)36.3 (30.3–61.9)34.1 (28.1–37.4)< 0.001RBG (mmol/L)5.23 (4.97–5.44)4.64 (4.11–5.43)4.81 (4.28–6.05)4.80 (4.26–5.96)< 0.001TC (mmol/L)5.26 (3.92–6.08)3.65 (2.96–4.30)3.42 (2.59–3.74)3.89 (3.13–4.54)< 0.001TG (mmol/L)0.98 (0.73–1.36)0.87 (0.55–1.32)0.61 (0.44–0.98)0.88 (0.59–1.26)0.002PT (seconds)NA14.30 (12.30-16.45)15.95 (14.30-17.48)13.05 (11.90-15.15)< 0.001WBC count (×109/L)5.39 (4.82–6.63)5.45 (3.22–7.29)3.73 (2.54–4.73)4.45 (2.97–5.94)0.007Platelet count (×109/L)234.0 (196.5-289.8)172.0 (114.5-232.3)67.0 (51.0-99.5)91.0 (63.0-150.0)< 0.001AFP (ng/mL)2.39 (1.77–3.95)407.95 (84.90-817.35)5.99 (2.05–44.82)22.72 (2.92–608.70)< 0.001CEA (ng/mL)1.88 (0.98–2.77)3.08 (1.82–5.87)2.67 (1.64–4.60)2.93 (2.00-4.79)0.011AAR1.44 (1.03–2.15)0.58 (0.35–0.94)1.35 (1.07–1.64)1.40 (1.03–1.93)< 0.001G-Test3.04 (1.54-4.00)3.64 (2.77–5.12)3.85 (2.59–6.03)6.53 (5.87–7.38)< 0.001AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count Comparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groups AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count Study design and population: Between Januarys 2020–2022, 152 subjects from the First Affiliated Hospital of Nanchang University were recruited and examined. HCC diagnoses among these subjects were based on histopathological analyses, according to the Guidelines of the American Association for the Study of Liver Diseases (AASLD) [17]. LC was diagnosed based on physical examinations, laboratory tests, as well as either B-mode ultrasound imaging or computed tomography (CT) of the liver. CH was diagnosed as stemming from a hepatitis B virus infection for more than 6 months, as well as presenting with persistent or intermittent elevated ALT and AST levels, along with chronic necrotic hepatitis tissue being present under liver biopsy [18]. Patients were excluded based on the following baseline criteria: (1) Absence of G-test, AFP, and/or AAR measurements, (2) Presence of other types of primary tumors, (3) Presence of other infectious diseases, such as HIV or non-HCC/LC/CH liver diseases (ex. drug-induced hepatitis, fatty liver, alcoholic liver disease, etc.), or (4) Presence of blood- or immune-related diseases. Application of the exclusion criteria yielded the aforementioned 152 subjects, of which 77 had HCC, 37 LC, 18 CH, and 20 served as healthy controls. The study protocol was approved by the Ethics Committee of the First Affiliated Hospital of Nanchang University. All patients provided written informed consent to participate in the study, and the study was conducted in full accordance with the Declaration of Helsinki. Data collection: All patient data was obtained from electronic medical records. Venous blood was collected after fasting and analyzed for the biochemical indices of AST, ALT, white blood cell (WBC) and platelet counts (PLT), as well as random blood glucose (RBG), total cholesterol (TC), triglyceride (TG), carcinoma embryonic antigen (CEA), total bilirubin (TBIL), albumin (ALB), prothrombin time (PT), AFP and G-test measurements. Most indices were measured using the Hitachi automatic biochemical analyzer (LABOSPECT008AS), though ALT and AST were determined by, respectively alanine and aspartate substrate method, with normal ranges defined as ~ 7–40 U/L for each. AAR was then calculated as AST/ALT. G-test levels were separated by fluorescence-labeled capillary micro-electrophoresis, with the positive standard for G-test being set at values > 5. AFP level was detected by electrochemiluminescence using the Roche automatic immune analyzer, with normal reference levels being ~ 0–7 ng/ml. AFP-NHCC was defined as AFP being < 20 µg/L, while AFP-positive HCC was defined as AFP ≥ 20 µg/L. Statistical analysis: SPSS 22.0 (SPSS Inc. Chicago, IL, USA), MedCalc v. 18.3.1 (MedCalc Software, Mariakerke, Belgium) and GraphPad Prism (version 8.0.2) software were used for all data analyses. The data for patient parameters were represented as mean ± standard deviation (SD) if it was normally-distributed, while non-normally distributed data was represented by medians (quartile). Classification data was represented as frequency and proportions. Differences between HCC, LC, CH, and healthy control groups for the different parameters were evaluated using either the non-parametric test for continuous variables, or χ2 test for categorical variables. Receiver operation characteristic (ROC) curves were then used to determine the areas under the curve (AUC), as well as the optimal cut-off values, sensitivity, specificity, plus positive and negative likelihood ratio (± LR) and predictive values (± PV), to determine the diagnostic values for AFP, G-test and AAR as predictive markers, either singly or in combination, for HCC occurrence. P < 0.05 was considered statistically significant for all analyses. Table 1Comparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groupsCharacteristicsNon-HCCHCCp value Healthy Chronic hepatitis Liver Cirrhosis Gender, male/female (n)5/154/148/2967/10< 0.001Age (years)66.5 (48.3–75.8)43.0 (31.5–50.5)51.0 (42.0-65.5)55.0 (47.5–67.0)< 0.001ALT (U/L)17.3 (10.0–26.7)132.5 (82.8-345.5)37.4 (26.6–65.4)31.0 (20.0-53.3)< 0.001AST (U/L)25.4 (20.8–31.1)70.3 (31.8–177.0)45.9 (34.6–87.3)42.5 (27.5–89.7)< 0.001TBIL (µmol/L)15.3 (12.4–18.4)78.5 (50.0-125.7)25.4 (17.5–56.3)20.4 (13.1–48.2)< 0.001ALB (g/L)44.5 (43.0-45.8)34.4 (29.6–35.0)36.3 (30.3–61.9)34.1 (28.1–37.4)< 0.001RBG (mmol/L)5.23 (4.97–5.44)4.64 (4.11–5.43)4.81 (4.28–6.05)4.80 (4.26–5.96)< 0.001TC (mmol/L)5.26 (3.92–6.08)3.65 (2.96–4.30)3.42 (2.59–3.74)3.89 (3.13–4.54)< 0.001TG (mmol/L)0.98 (0.73–1.36)0.87 (0.55–1.32)0.61 (0.44–0.98)0.88 (0.59–1.26)0.002PT (seconds)NA14.30 (12.30-16.45)15.95 (14.30-17.48)13.05 (11.90-15.15)< 0.001WBC count (×109/L)5.39 (4.82–6.63)5.45 (3.22–7.29)3.73 (2.54–4.73)4.45 (2.97–5.94)0.007Platelet count (×109/L)234.0 (196.5-289.8)172.0 (114.5-232.3)67.0 (51.0-99.5)91.0 (63.0-150.0)< 0.001AFP (ng/mL)2.39 (1.77–3.95)407.95 (84.90-817.35)5.99 (2.05–44.82)22.72 (2.92–608.70)< 0.001CEA (ng/mL)1.88 (0.98–2.77)3.08 (1.82–5.87)2.67 (1.64–4.60)2.93 (2.00-4.79)0.011AAR1.44 (1.03–2.15)0.58 (0.35–0.94)1.35 (1.07–1.64)1.40 (1.03–1.93)< 0.001G-Test3.04 (1.54-4.00)3.64 (2.77–5.12)3.85 (2.59–6.03)6.53 (5.87–7.38)< 0.001AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count Comparison of patient characteristics between non- and hepatocellular carcinoma (HCC) patient groups AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; ALB: albumin; ALT: alanine aminotransferase; AST: aspartate aminotransferase; CEA: carcinoma embryonic antigen; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma; PT: prothrombin time; RBG: random blood glucose; TBIL: total bilirubin; TC: total cholesterol; TG: triglyceride; WBC: white blood cell count Results: Clinical characteristics for the study subjects A total of 159 subjects were initially selected, of which 152 were analyzed in the final study. The remaining 7 were excluded for the following reasons: 2 for lack of clear diagnosis, 1 for having a liver abscess, 1 for drug-induced hepatitis, and 3 for lack of AFP or G-test results. As shown in Table 1, a greater proportion of male patients was present in the HCC group (87.0%), compared to CH (22.2%), LC (21.6%) or healthy control groups (25%). The median age for HCC was 55.0 years (47.5–67.0), higher than LC and CH, respectively at 51.0 (42.0-65.5) and 43.0 (31.5–50.5), but lower than the healthy control, at 66.5 (48.3–75.8). Positive AFP readings and G-test readings were observed in, respectively, 51.9% (40/77 patients), and 90.9% (70/77) of the HCC group, while negative AFP and G-test results were found among 64% (48/75) and 77.3% (58/75) of the non-HCC groups (Table 2). Figure 1 summarizes the comparison between G-test, AFP and AAR levels for HCC, versus healthy (Fig. 1 A-C), CH (Fig. 1D-F), and LC (Fig. 1G-I) patient groups. Statistically significant differences were found between HCC versus all 3 non-HCC groups for G-test and AFP. For AAR, significant differences were only present for HCC versus CH patients. Additionally, the HCC group had the highest G-test value (Table 1). Table 2Numbers of non- and HCC patients with AFP or G-test-negative/positive HCCVariablesNon-HCCHCCTotal Healthy Hepatitis Cirrhosis Total AFP+ (Positive)01413274067− (Negative)20424483785Total2018377577152G-Test+ (Positive)0413177087− (Negative)20142458765Total2018377577152AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Numbers of non- and HCC patients with AFP or G-test-negative/positive HCC AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Fig. 1Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC). Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC). A total of 159 subjects were initially selected, of which 152 were analyzed in the final study. The remaining 7 were excluded for the following reasons: 2 for lack of clear diagnosis, 1 for having a liver abscess, 1 for drug-induced hepatitis, and 3 for lack of AFP or G-test results. As shown in Table 1, a greater proportion of male patients was present in the HCC group (87.0%), compared to CH (22.2%), LC (21.6%) or healthy control groups (25%). The median age for HCC was 55.0 years (47.5–67.0), higher than LC and CH, respectively at 51.0 (42.0-65.5) and 43.0 (31.5–50.5), but lower than the healthy control, at 66.5 (48.3–75.8). Positive AFP readings and G-test readings were observed in, respectively, 51.9% (40/77 patients), and 90.9% (70/77) of the HCC group, while negative AFP and G-test results were found among 64% (48/75) and 77.3% (58/75) of the non-HCC groups (Table 2). Figure 1 summarizes the comparison between G-test, AFP and AAR levels for HCC, versus healthy (Fig. 1 A-C), CH (Fig. 1D-F), and LC (Fig. 1G-I) patient groups. Statistically significant differences were found between HCC versus all 3 non-HCC groups for G-test and AFP. For AAR, significant differences were only present for HCC versus CH patients. Additionally, the HCC group had the highest G-test value (Table 1). Table 2Numbers of non- and HCC patients with AFP or G-test-negative/positive HCCVariablesNon-HCCHCCTotal Healthy Hepatitis Cirrhosis Total AFP+ (Positive)01413274067− (Negative)20424483785Total2018377577152G-Test+ (Positive)0413177087− (Negative)20142458765Total2018377577152AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Numbers of non- and HCC patients with AFP or G-test-negative/positive HCC AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Fig. 1Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC). Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC). Comparing differences in sensitivity for HCC between different AFP thresholds Table 3 shows the AFP levels for 77 patients in the HCC group, and different AFP threshold levels were established to determine its diagnostic capability for HCC, with the normal reference value set at 0–7 ng/mL. It was found that at AFP ≥ 7 ng/mL, 45 cases, or 58.4%, were diagnosed as HCC, but AFP sensitivity decreased to 41.6% at AFP ≥ 100 ng/mL. This sensitivity rate, however, was much greater than for the currently-recommended AFP diagnostic guidelines for liver cancer of ≥ 400 ng/mL. There, AFP sensitivity was only 27.3%, with missed diagnosis rate being as high as 72.7% (21/77). Table 3Percentages of correct and missed diagnoses for different biomarker thresholds in HCC groupBiomarker cutoffsPositive/total casesRate of correct diagnosis (%)Missed diagnosis rate (%)G-Test70/7790.99.1AFP ≥ 745/7758.441.6AFP ≥ 2040/7751.948.1AFP ≥ 10032/7741.658.4AFP ≥ 20028/7736.463.6AFP ≥ 40021/7727.372.7AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain Percentages of correct and missed diagnoses for different biomarker thresholds in HCC group AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain Table 3 shows the AFP levels for 77 patients in the HCC group, and different AFP threshold levels were established to determine its diagnostic capability for HCC, with the normal reference value set at 0–7 ng/mL. It was found that at AFP ≥ 7 ng/mL, 45 cases, or 58.4%, were diagnosed as HCC, but AFP sensitivity decreased to 41.6% at AFP ≥ 100 ng/mL. This sensitivity rate, however, was much greater than for the currently-recommended AFP diagnostic guidelines for liver cancer of ≥ 400 ng/mL. There, AFP sensitivity was only 27.3%, with missed diagnosis rate being as high as 72.7% (21/77). Table 3Percentages of correct and missed diagnoses for different biomarker thresholds in HCC groupBiomarker cutoffsPositive/total casesRate of correct diagnosis (%)Missed diagnosis rate (%)G-Test70/7790.99.1AFP ≥ 745/7758.441.6AFP ≥ 2040/7751.948.1AFP ≥ 10032/7741.658.4AFP ≥ 20028/7736.463.6AFP ≥ 40021/7727.372.7AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain Percentages of correct and missed diagnoses for different biomarker thresholds in HCC group AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain Evaluating the diagnostic values of the 3 biomarkers for HCC among different patient groups To further evaluate the diagnostic value of G-test, AFP, and AAR, either alone or in combination, for HCC versus healthy controls, ROC curve analysis was used, as shown in Fig. 2 A. Out of the 3 diagnostic tests, G-test had the greatest diagnostic ability, with AUC of 0.953 (0.890–0.986), significantly higher than for AFP with 0.827 (0.736–0.896), and AAR with 0.546 (0.441–0.648). Additionally, G-test had the highest sensitivity and specificity, at 90.9% (82.2–96.3) and 100.0% (83.2–100.0), respectively (Table 4). The AUC for G-test, AAR and AFP combined was similar to that of G-test, at 0.958 (0.896–0.988), suggesting that G-test alone was as predictive for detecting HCC onset, compared to all 3 tests in combination, among healthy controls. Fig. 2Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC. Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC. Table 4Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination)AUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PVp value Healthy vs. HCC G-Test0.953 (0.890–0.986)4.7390.9 (82.2–96.3)100.0 (83.2–100.0)0.9090.091 (0.04–0.2)100.074.1 (58.5–85.3)< 0.001AFP0.827 (0.736–0.896)5.2861.0 (49.2–72.0)95.0 (75.1–99.9)0.56012.2 (1.8–83.2)0.4 (0.3–0.6)97.9 (87.3–99.7)38.8 (32.0–46.0)< 0.001AAR0.546 (0.441–0.648)1.7570.1 (58.6–80.0)47.4 (24.4–71.1)0.1751.3 (0.8–2.1)0.63 (0.4–1.1)84.4 (77.5–89.4)28.1 (17.9–41.2)0.552G-Test + AFP + AAR0.958 (0.896–0.988)0.83988.3 (79.0-94.5)100.0 (82.4–100.0)0.8830.12 (0.06–0.2)100.067.9 (53.3–79.6)< 0.001 Hepatitis vs. HCC G-Test0.786 (0.690–0.864)4.4790.9 (82.2–96.3)77.8 (52.4–93.6)0.6874.1 (1.7–9.7)0.1 (0.06–0.2)94.6 (88.0-97.7)66.7 (48.6–80.9)< 0.001AFP0.652 (0.547–0.746)96.1458.4 (46.6–69.6)77.8 (52.4–93.6)0.3622.6 (1.1–6.4)0.5 (0.4–0.8)91.8 (82.3–96.5)30.4 (23.3–38.6)0.013AAR0.850 (0.762–0.915)1.5396.1 (89.0-99.2)72.2 (46.5–90.3)0.6833.5 (1.6–7.3)0.1 (0.02–0.2)93.7 (87.5–96.9)81.2 (57.9–93.2)< 0.001G-Test + AFP + AAR0.898 (0.818–0.950)0.8381.8 (71.4–89.7)88.9 (65.3–98.6)0.7077.4 (2.0-27.3)0.2 (0.1–0.3)96.9 (89.5–99.2)53.3 (40.9–65.4)< 0.001 Cirrhosis vs. HCC G-Test0.792 (0.705–0.862)5.5884.4 (74.4–91.7)73.0 (55.9–86.2)0.5743.1 (1.8–5.3)0.2 (0.1–0.4)86.7 (79.1–91.8)69.2 (56.3–79.7)< 0.001AFP0.655 (0.561–0.742)201.836.4 (25.7–48.1)94.6 (81.8–99.3)0.316.7 (1.7–26.7)0.8 (0.6–0.8)93.3 (77.9–98.2)41.7 (37.2–46.2)0.003AAR0.544 (0.448–0.638)0.5833.8 (23.4–45.4)81.1 (64.8–92.0)0.1491.8 (0.9–3.7)0.8 (0.7-1.0)78.8 (64.0-88.6)37.0 (32.0-42.4)0.427G-Test + AFP + AAR0.808 (0.723–0.876)0.6289.6 (80.6–95.4)67.6 (50.2–82.0)0.5722.8 (1.7–4.4)0.2 (0.08–0.3)85.2 (78.2–90.2)75.8 (61.0-86.2)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination) ±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma By contrast, the ROC curve analysis for G-test, AFP, and AAR among HCC versus CH patients found that AAR had the greatest diagnostic ability, with AUC of 0.850 (0.762–0.915), compared to 0.786 (0.690–0.864) and 0.652 (0.547–0.746) for, respectively, G-test and AFP (Fig. 2B). Furthermore, AAR had the highest sensitivity among the 3 tests, at 96.1% (89.0-99.2), but the lowest specificity, at 72.2% (46.5–90.3), compared to 77.8% (52.4–93.6) for G-test and AFP (Table 4). However, the diagnostic ability of all 3 tests combined was higher than for any of the tests alone, with AUC of 0.898 (0.818–0.950), as well as sensitivity at 81.8% (71.4–89.7) and specificity at 88.9% (65.3–98.6). Therefore, the combination of all 3 tests was determined to be the most optimal for detecting the presence of HCC among CH. As for HCC versus LC patients, G-test was the most predictive for HCC occurrence, compared to AFP and AAR, with AUC of 0.792 (0.705–0.862) (Fig. 2 C). Additionally, G-test had the highest sensitivity, at 84.4% (78.4–91.7); however, AFP had the highest specificity, at 94.6% (81.8–99.3). All 3 tests combined, though, yielded the greatest diagnostic ability and highest sensitivity values, at respectively, AUC of 0.808 (0.723–0.876) and 89.6% (80.6–95.4) (Table 4). Therefore, the combination of all 3 tests was generally the most optimal for detecting HCC in LC, albeit it was slightly less specific in its detection, compared to AFP alone. To further evaluate the diagnostic value of G-test, AFP, and AAR, either alone or in combination, for HCC versus healthy controls, ROC curve analysis was used, as shown in Fig. 2 A. Out of the 3 diagnostic tests, G-test had the greatest diagnostic ability, with AUC of 0.953 (0.890–0.986), significantly higher than for AFP with 0.827 (0.736–0.896), and AAR with 0.546 (0.441–0.648). Additionally, G-test had the highest sensitivity and specificity, at 90.9% (82.2–96.3) and 100.0% (83.2–100.0), respectively (Table 4). The AUC for G-test, AAR and AFP combined was similar to that of G-test, at 0.958 (0.896–0.988), suggesting that G-test alone was as predictive for detecting HCC onset, compared to all 3 tests in combination, among healthy controls. Fig. 2Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC. Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC. Table 4Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination)AUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PVp value Healthy vs. HCC G-Test0.953 (0.890–0.986)4.7390.9 (82.2–96.3)100.0 (83.2–100.0)0.9090.091 (0.04–0.2)100.074.1 (58.5–85.3)< 0.001AFP0.827 (0.736–0.896)5.2861.0 (49.2–72.0)95.0 (75.1–99.9)0.56012.2 (1.8–83.2)0.4 (0.3–0.6)97.9 (87.3–99.7)38.8 (32.0–46.0)< 0.001AAR0.546 (0.441–0.648)1.7570.1 (58.6–80.0)47.4 (24.4–71.1)0.1751.3 (0.8–2.1)0.63 (0.4–1.1)84.4 (77.5–89.4)28.1 (17.9–41.2)0.552G-Test + AFP + AAR0.958 (0.896–0.988)0.83988.3 (79.0-94.5)100.0 (82.4–100.0)0.8830.12 (0.06–0.2)100.067.9 (53.3–79.6)< 0.001 Hepatitis vs. HCC G-Test0.786 (0.690–0.864)4.4790.9 (82.2–96.3)77.8 (52.4–93.6)0.6874.1 (1.7–9.7)0.1 (0.06–0.2)94.6 (88.0-97.7)66.7 (48.6–80.9)< 0.001AFP0.652 (0.547–0.746)96.1458.4 (46.6–69.6)77.8 (52.4–93.6)0.3622.6 (1.1–6.4)0.5 (0.4–0.8)91.8 (82.3–96.5)30.4 (23.3–38.6)0.013AAR0.850 (0.762–0.915)1.5396.1 (89.0-99.2)72.2 (46.5–90.3)0.6833.5 (1.6–7.3)0.1 (0.02–0.2)93.7 (87.5–96.9)81.2 (57.9–93.2)< 0.001G-Test + AFP + AAR0.898 (0.818–0.950)0.8381.8 (71.4–89.7)88.9 (65.3–98.6)0.7077.4 (2.0-27.3)0.2 (0.1–0.3)96.9 (89.5–99.2)53.3 (40.9–65.4)< 0.001 Cirrhosis vs. HCC G-Test0.792 (0.705–0.862)5.5884.4 (74.4–91.7)73.0 (55.9–86.2)0.5743.1 (1.8–5.3)0.2 (0.1–0.4)86.7 (79.1–91.8)69.2 (56.3–79.7)< 0.001AFP0.655 (0.561–0.742)201.836.4 (25.7–48.1)94.6 (81.8–99.3)0.316.7 (1.7–26.7)0.8 (0.6–0.8)93.3 (77.9–98.2)41.7 (37.2–46.2)0.003AAR0.544 (0.448–0.638)0.5833.8 (23.4–45.4)81.1 (64.8–92.0)0.1491.8 (0.9–3.7)0.8 (0.7-1.0)78.8 (64.0-88.6)37.0 (32.0-42.4)0.427G-Test + AFP + AAR0.808 (0.723–0.876)0.6289.6 (80.6–95.4)67.6 (50.2–82.0)0.5722.8 (1.7–4.4)0.2 (0.08–0.3)85.2 (78.2–90.2)75.8 (61.0-86.2)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination) ±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma By contrast, the ROC curve analysis for G-test, AFP, and AAR among HCC versus CH patients found that AAR had the greatest diagnostic ability, with AUC of 0.850 (0.762–0.915), compared to 0.786 (0.690–0.864) and 0.652 (0.547–0.746) for, respectively, G-test and AFP (Fig. 2B). Furthermore, AAR had the highest sensitivity among the 3 tests, at 96.1% (89.0-99.2), but the lowest specificity, at 72.2% (46.5–90.3), compared to 77.8% (52.4–93.6) for G-test and AFP (Table 4). However, the diagnostic ability of all 3 tests combined was higher than for any of the tests alone, with AUC of 0.898 (0.818–0.950), as well as sensitivity at 81.8% (71.4–89.7) and specificity at 88.9% (65.3–98.6). Therefore, the combination of all 3 tests was determined to be the most optimal for detecting the presence of HCC among CH. As for HCC versus LC patients, G-test was the most predictive for HCC occurrence, compared to AFP and AAR, with AUC of 0.792 (0.705–0.862) (Fig. 2 C). Additionally, G-test had the highest sensitivity, at 84.4% (78.4–91.7); however, AFP had the highest specificity, at 94.6% (81.8–99.3). All 3 tests combined, though, yielded the greatest diagnostic ability and highest sensitivity values, at respectively, AUC of 0.808 (0.723–0.876) and 89.6% (80.6–95.4) (Table 4). Therefore, the combination of all 3 tests was generally the most optimal for detecting HCC in LC, albeit it was slightly less specific in its detection, compared to AFP alone. Predictive capability, sensitivity, and specificity of the 3 biomarkers for AFP-NHCC Among 152 subjects enrolled in the study, 85 were determined as being AFP-negative (Table 5), accounting for 70.6% of males. Out of those 85 patients, 37 patients (43.5%) were AFP-NHCC. ROC curve analysis was used to determine the diagnostic value for G-test and AAR, both separately and combined, for AFP-NHCC patients. The results showed that G-test had the highest diagnostic capability, with AUC of 0.855 (0.762–0.922), compared to 0.500 (0.389–0.611) for AAR (Fig. 2D). G-test also had the highest sensitivity and specificity, at 83.8% (68.0-93.8) and 87.5% (74.8–95.3), respectively. All these values for diagnostic capability, sensitivity, and specificity were similar for the combination of G-test and AAR versus G-test alone, indicating that G-test is sufficient for detecting AFP-NHCC. Table 5Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCCVariablesAUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PV p value G-Test0.855 (0.762–0.922)4.7383.8 (68.0-93.8)87.5 (74.8–95.3)0.7136.7 (3.1–14.4)0.19 (0.09–0.4)93.8 (70.7–91.7)87.5 (77.0-93.6)< 0.001AAR0.500 (0.389–0.611)1.3454.0 (36.9–70.5)53.2 (38.1–67.9)0.0721.2 (0.8–1.8)0.86 (0.6–1.3)47.6 (37.3–58.2)59.5 (48.6–69.6)0.996G-Test + AAR0.852 (0.758–0.920)0.4483.8 (68.0-93.8)87.2 (74.3–95.2)0.7106.6 (3.1–14.0)0.19 (0.09–0.4)83.8 (70.7–91.7)87.2 (76.5–93.5)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCC ±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Among 152 subjects enrolled in the study, 85 were determined as being AFP-negative (Table 5), accounting for 70.6% of males. Out of those 85 patients, 37 patients (43.5%) were AFP-NHCC. ROC curve analysis was used to determine the diagnostic value for G-test and AAR, both separately and combined, for AFP-NHCC patients. The results showed that G-test had the highest diagnostic capability, with AUC of 0.855 (0.762–0.922), compared to 0.500 (0.389–0.611) for AAR (Fig. 2D). G-test also had the highest sensitivity and specificity, at 83.8% (68.0-93.8) and 87.5% (74.8–95.3), respectively. All these values for diagnostic capability, sensitivity, and specificity were similar for the combination of G-test and AAR versus G-test alone, indicating that G-test is sufficient for detecting AFP-NHCC. Table 5Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCCVariablesAUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PV p value G-Test0.855 (0.762–0.922)4.7383.8 (68.0-93.8)87.5 (74.8–95.3)0.7136.7 (3.1–14.4)0.19 (0.09–0.4)93.8 (70.7–91.7)87.5 (77.0-93.6)< 0.001AAR0.500 (0.389–0.611)1.3454.0 (36.9–70.5)53.2 (38.1–67.9)0.0721.2 (0.8–1.8)0.86 (0.6–1.3)47.6 (37.3–58.2)59.5 (48.6–69.6)0.996G-Test + AAR0.852 (0.758–0.920)0.4483.8 (68.0-93.8)87.2 (74.3–95.2)0.7106.6 (3.1–14.0)0.19 (0.09–0.4)83.8 (70.7–91.7)87.2 (76.5–93.5)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCC ±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Clinical characteristics for the study subjects: A total of 159 subjects were initially selected, of which 152 were analyzed in the final study. The remaining 7 were excluded for the following reasons: 2 for lack of clear diagnosis, 1 for having a liver abscess, 1 for drug-induced hepatitis, and 3 for lack of AFP or G-test results. As shown in Table 1, a greater proportion of male patients was present in the HCC group (87.0%), compared to CH (22.2%), LC (21.6%) or healthy control groups (25%). The median age for HCC was 55.0 years (47.5–67.0), higher than LC and CH, respectively at 51.0 (42.0-65.5) and 43.0 (31.5–50.5), but lower than the healthy control, at 66.5 (48.3–75.8). Positive AFP readings and G-test readings were observed in, respectively, 51.9% (40/77 patients), and 90.9% (70/77) of the HCC group, while negative AFP and G-test results were found among 64% (48/75) and 77.3% (58/75) of the non-HCC groups (Table 2). Figure 1 summarizes the comparison between G-test, AFP and AAR levels for HCC, versus healthy (Fig. 1 A-C), CH (Fig. 1D-F), and LC (Fig. 1G-I) patient groups. Statistically significant differences were found between HCC versus all 3 non-HCC groups for G-test and AFP. For AAR, significant differences were only present for HCC versus CH patients. Additionally, the HCC group had the highest G-test value (Table 1). Table 2Numbers of non- and HCC patients with AFP or G-test-negative/positive HCCVariablesNon-HCCHCCTotal Healthy Hepatitis Cirrhosis Total AFP+ (Positive)01413274067− (Negative)20424483785Total2018377577152G-Test+ (Positive)0413177087− (Negative)20142458765Total2018377577152AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Numbers of non- and HCC patients with AFP or G-test-negative/positive HCC AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Fig. 1Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC). Comparisons between serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP), and aspartate aminotransferase to alanine aminotransferase ratio (AAR) readings between A-C healthy, D-F chronic hepatitis (CH), and G-I liver cirrhosis (LC) groups versus hepatocellular carcinoma (HCC). Comparing differences in sensitivity for HCC between different AFP thresholds: Table 3 shows the AFP levels for 77 patients in the HCC group, and different AFP threshold levels were established to determine its diagnostic capability for HCC, with the normal reference value set at 0–7 ng/mL. It was found that at AFP ≥ 7 ng/mL, 45 cases, or 58.4%, were diagnosed as HCC, but AFP sensitivity decreased to 41.6% at AFP ≥ 100 ng/mL. This sensitivity rate, however, was much greater than for the currently-recommended AFP diagnostic guidelines for liver cancer of ≥ 400 ng/mL. There, AFP sensitivity was only 27.3%, with missed diagnosis rate being as high as 72.7% (21/77). Table 3Percentages of correct and missed diagnoses for different biomarker thresholds in HCC groupBiomarker cutoffsPositive/total casesRate of correct diagnosis (%)Missed diagnosis rate (%)G-Test70/7790.99.1AFP ≥ 745/7758.441.6AFP ≥ 2040/7751.948.1AFP ≥ 10032/7741.658.4AFP ≥ 20028/7736.463.6AFP ≥ 40021/7727.372.7AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain Percentages of correct and missed diagnoses for different biomarker thresholds in HCC group AFP: alpha-fetoprotein; G-test: serum oligosaccharide chain Evaluating the diagnostic values of the 3 biomarkers for HCC among different patient groups: To further evaluate the diagnostic value of G-test, AFP, and AAR, either alone or in combination, for HCC versus healthy controls, ROC curve analysis was used, as shown in Fig. 2 A. Out of the 3 diagnostic tests, G-test had the greatest diagnostic ability, with AUC of 0.953 (0.890–0.986), significantly higher than for AFP with 0.827 (0.736–0.896), and AAR with 0.546 (0.441–0.648). Additionally, G-test had the highest sensitivity and specificity, at 90.9% (82.2–96.3) and 100.0% (83.2–100.0), respectively (Table 4). The AUC for G-test, AAR and AFP combined was similar to that of G-test, at 0.958 (0.896–0.988), suggesting that G-test alone was as predictive for detecting HCC onset, compared to all 3 tests in combination, among healthy controls. Fig. 2Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC. Receiver operating characteristic (ROC) curves for G-test, AFP, and AAR, both singly and in combination, among A healthy, B CH, and C LC with respect to HCC. D ROC curve for G-test and AAR, both singly and in combination, for AFP-negative HCC, compared to HCC. Table 4Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination)AUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PVp value Healthy vs. HCC G-Test0.953 (0.890–0.986)4.7390.9 (82.2–96.3)100.0 (83.2–100.0)0.9090.091 (0.04–0.2)100.074.1 (58.5–85.3)< 0.001AFP0.827 (0.736–0.896)5.2861.0 (49.2–72.0)95.0 (75.1–99.9)0.56012.2 (1.8–83.2)0.4 (0.3–0.6)97.9 (87.3–99.7)38.8 (32.0–46.0)< 0.001AAR0.546 (0.441–0.648)1.7570.1 (58.6–80.0)47.4 (24.4–71.1)0.1751.3 (0.8–2.1)0.63 (0.4–1.1)84.4 (77.5–89.4)28.1 (17.9–41.2)0.552G-Test + AFP + AAR0.958 (0.896–0.988)0.83988.3 (79.0-94.5)100.0 (82.4–100.0)0.8830.12 (0.06–0.2)100.067.9 (53.3–79.6)< 0.001 Hepatitis vs. HCC G-Test0.786 (0.690–0.864)4.4790.9 (82.2–96.3)77.8 (52.4–93.6)0.6874.1 (1.7–9.7)0.1 (0.06–0.2)94.6 (88.0-97.7)66.7 (48.6–80.9)< 0.001AFP0.652 (0.547–0.746)96.1458.4 (46.6–69.6)77.8 (52.4–93.6)0.3622.6 (1.1–6.4)0.5 (0.4–0.8)91.8 (82.3–96.5)30.4 (23.3–38.6)0.013AAR0.850 (0.762–0.915)1.5396.1 (89.0-99.2)72.2 (46.5–90.3)0.6833.5 (1.6–7.3)0.1 (0.02–0.2)93.7 (87.5–96.9)81.2 (57.9–93.2)< 0.001G-Test + AFP + AAR0.898 (0.818–0.950)0.8381.8 (71.4–89.7)88.9 (65.3–98.6)0.7077.4 (2.0-27.3)0.2 (0.1–0.3)96.9 (89.5–99.2)53.3 (40.9–65.4)< 0.001 Cirrhosis vs. HCC G-Test0.792 (0.705–0.862)5.5884.4 (74.4–91.7)73.0 (55.9–86.2)0.5743.1 (1.8–5.3)0.2 (0.1–0.4)86.7 (79.1–91.8)69.2 (56.3–79.7)< 0.001AFP0.655 (0.561–0.742)201.836.4 (25.7–48.1)94.6 (81.8–99.3)0.316.7 (1.7–26.7)0.8 (0.6–0.8)93.3 (77.9–98.2)41.7 (37.2–46.2)0.003AAR0.544 (0.448–0.638)0.5833.8 (23.4–45.4)81.1 (64.8–92.0)0.1491.8 (0.9–3.7)0.8 (0.7-1.0)78.8 (64.0-88.6)37.0 (32.0-42.4)0.427G-Test + AFP + AAR0.808 (0.723–0.876)0.6289.6 (80.6–95.4)67.6 (50.2–82.0)0.5722.8 (1.7–4.4)0.2 (0.08–0.3)85.2 (78.2–90.2)75.8 (61.0-86.2)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Areas under the curve (AUC), sensitivity, and specificity measurements for G-test, AFP, and AAR (single and combination) ±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma By contrast, the ROC curve analysis for G-test, AFP, and AAR among HCC versus CH patients found that AAR had the greatest diagnostic ability, with AUC of 0.850 (0.762–0.915), compared to 0.786 (0.690–0.864) and 0.652 (0.547–0.746) for, respectively, G-test and AFP (Fig. 2B). Furthermore, AAR had the highest sensitivity among the 3 tests, at 96.1% (89.0-99.2), but the lowest specificity, at 72.2% (46.5–90.3), compared to 77.8% (52.4–93.6) for G-test and AFP (Table 4). However, the diagnostic ability of all 3 tests combined was higher than for any of the tests alone, with AUC of 0.898 (0.818–0.950), as well as sensitivity at 81.8% (71.4–89.7) and specificity at 88.9% (65.3–98.6). Therefore, the combination of all 3 tests was determined to be the most optimal for detecting the presence of HCC among CH. As for HCC versus LC patients, G-test was the most predictive for HCC occurrence, compared to AFP and AAR, with AUC of 0.792 (0.705–0.862) (Fig. 2 C). Additionally, G-test had the highest sensitivity, at 84.4% (78.4–91.7); however, AFP had the highest specificity, at 94.6% (81.8–99.3). All 3 tests combined, though, yielded the greatest diagnostic ability and highest sensitivity values, at respectively, AUC of 0.808 (0.723–0.876) and 89.6% (80.6–95.4) (Table 4). Therefore, the combination of all 3 tests was generally the most optimal for detecting HCC in LC, albeit it was slightly less specific in its detection, compared to AFP alone. Predictive capability, sensitivity, and specificity of the 3 biomarkers for AFP-NHCC: Among 152 subjects enrolled in the study, 85 were determined as being AFP-negative (Table 5), accounting for 70.6% of males. Out of those 85 patients, 37 patients (43.5%) were AFP-NHCC. ROC curve analysis was used to determine the diagnostic value for G-test and AAR, both separately and combined, for AFP-NHCC patients. The results showed that G-test had the highest diagnostic capability, with AUC of 0.855 (0.762–0.922), compared to 0.500 (0.389–0.611) for AAR (Fig. 2D). G-test also had the highest sensitivity and specificity, at 83.8% (68.0-93.8) and 87.5% (74.8–95.3), respectively. All these values for diagnostic capability, sensitivity, and specificity were similar for the combination of G-test and AAR versus G-test alone, indicating that G-test is sufficient for detecting AFP-NHCC. Table 5Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCCVariablesAUCCut-offsSensitivity (%)Specificity (%)Youden index+LR-LR+PV-PV p value G-Test0.855 (0.762–0.922)4.7383.8 (68.0-93.8)87.5 (74.8–95.3)0.7136.7 (3.1–14.4)0.19 (0.09–0.4)93.8 (70.7–91.7)87.5 (77.0-93.6)< 0.001AAR0.500 (0.389–0.611)1.3454.0 (36.9–70.5)53.2 (38.1–67.9)0.0721.2 (0.8–1.8)0.86 (0.6–1.3)47.6 (37.3–58.2)59.5 (48.6–69.6)0.996G-Test + AAR0.852 (0.758–0.920)0.4483.8 (68.0-93.8)87.2 (74.3–95.2)0.7106.6 (3.1–14.0)0.19 (0.09–0.4)83.8 (70.7–91.7)87.2 (76.5–93.5)< 0.001±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Areas under the curve (AUC), sensitivity, and specificity measurements for G-test and AAR (single and combination) between AFP-NHCC versus HCC ±LR: positive/negative likelihood ratio; ±PV: positive/negative predictive value; AAR: aspartate aminotransferase to alanine aminotransferase ratio; AFP: alpha-fetoprotein; AFP-NHCC: alpha-fetoprotein negative hepatocellular carcinoma; AUC: area under the curve; G-test: serum oligosaccharide chain; HCC: hepatocellular carcinoma Discussion: HCC is one of the most common malignancies globally, with incidence increasing yearly by 3–9%, posing a huge global health risk. HCC patients typically have a low 5-year overall survival rate and poor clinical prognoses, due to the delay in diagnosing the disease. As a result, effective biomarkers have been long sought to increase HCC detection rates, for guiding individualized patient treatments [19, 20]. Some examples of biomarkers examined include G-test, AFP, and AAR. In this study, we also investigated these 3 biomarkers, both alone and in combination, to determine their predictive capabilities for diagnosing HCC. We found that G-test, AFP, and AAR levels were closely related to the occurrence of HCC, and that out of the 3 parameters, G-test had the greatest diagnostic value for predicting HCC, compared to AFP and AAR, as determined by AUC values. In particular, G-test had the highest specificity and sensitivity, compared to the other 2 markers, for LC and healthy individuals. However, for CH patients, AAR had the greatest sensitivity. Overall, though, the combination of all 3 biomarkers provided the most optimal sensitivity, specificity, and predictive capabilities for diagnosing HCC. AFP was first proposed as a tumor marker for HCC in the 1960s and has since been widely used for clinical HCC detection. However, its utility for screening and diagnosis of HCC has been criticized, due to its low sensitivity and specificity [21–23]. It has been noted in multiple studies, though, that AFP sensitivity and specificity for HCC varied with the AFP threshold value; some studies showed that an AFP threshold of 20 ng/mL yielded sensitivity and specificity values for HCC detection of, respectively, 41-65% and 80-94% [24]. Increasing the AFP threshold from 20 to 50 ng/mL, though, yielded a significantly increased specificity value of 96%, along with a positive predictive value of 75%. On the other hand, sensitivity was only 47% [25]. Therefore, a lower AFP threshold value would yield increased sensitivity, but lower specificity, possibly leading to a greater risk for HCC false positives. These findings were in line with what was observed from 77 HCC patients in our study, in which at AFP thresholds of 7, 100, and 400 ng/mL, sensitivity for HCC was, respectively, 58.4%, 41.6% and 27.3%, while the rate of missed diagnosis increased from 41.6 to 72.7%. All these observations thus indicate the necessity of combining AFP with more effective biomarkers to obtain a better detection strategy for HCC. AAR has been used as an indicator to evaluate liver fibrosis in chronic liver disease [9, 26], and more recent studies have suggested that it can also be used to distinguish cirrhosis from HCC [10], with a sensitivity of 75.9% and specificity 55.7%. Additionally, AAR has been independently associated with early recurrence of HCC [11]. In this study, we evaluated the diagnostic ability of AAR, in terms of AUC, for HCC, and found that it had the highest value among CH patients, compared to G-test and AFP. This higher measurement is in line with AAR also having the greatest sensitivity among those patients. However, AAR, compared to G-test and AFP, had the lowest specificity for detecting HCC in CH. Abnormal structural changes in liver glycosyltransferase have been noted as a key feature in the development of HCC, which could be reflected in the resulting serum N-glycan branching [27]. A study from Liu et al. [13] evaluated changes of the serum N-glycan spectrum among HCC patients using DNA sequencer-aided fluorophore-assisted carbohydrate electrophoresis, and the ratio of log (peak value 9/peak value 7 in the N-glycan spectrum) was named the GlycoHCCTest, or G-test for short. G-test has been found to be an effective and non-invasive means for detecting HCC among cirrhosis patients [28]. Our G-test results demonstrated that the test values was much higher among HCC, compared to CH and LC patients, which was consistent with the HCC developmental process progressing from hepatitis to cirrhosis to liver cancer experienced by most HCC patients. G-test was found by Wan et al. [16] to be superior to AFP in screening for liver cancer among patients with chronic hepatitis B and cirrhosis. Additionally, the combination of both parameters further improved the diagnosis rate for hepatitis B virus-related liver cancer. These findings were in line with our study, which evaluated a larger sample size and added AAR as a biomarker of interest, along with G-test, and AFP. We found that G-test was significantly better than AFP in distinguishing between those who developed HCC from those who did not, including healthy, CH, and LC individuals, while AAR was the most optimal only for differentiating between HCC and CH individuals. Nevertheless, the combination of G-test, AFP and AAR demonstrated the highest diagnostic capability, suggesting that this was likely the optimal approach for detecting HCC onset. Cirrhosis and inflammation during HCC development complicate the early diagnosis of HCC. Due to the high rate of false negatives from AFP for HCC, biomarkers for AFP-NHCC have recently become a significant topic of interest. A study from Li et al. found that the gamma-glutamyl transpeptidase (GGT) to alkaline phosphatase ratio, combined with GGT to AST ratio and AAR, were effective diagnostic markers for AFP-NHCC [12]. In our study, we further analyzed the diagnostic ability of G-test and AAR for AFP-NHCC, and found that G-test, as well as the combination of G-test and AAR, was able to effectively detect AFP-NHCC. By contrast, AAR was significantly less effective for diagnosing AFP-NHCC. Furthermore, although both approaches used AAR levels as part of diagnosing HCC, our method was able to diagnose HCC onset using G-test and AFP, on top of AAR. The Li et al. method focused on detecting AFP-NHCC, while our method focused more on diagnosing HCC in general, being able to predict the occurrence of HCC [12], whether AFP-positive or negative (AFP-NHCC), among healthy, cirrhotic, and hepatitis (non-cancerous) patients. In addition, the Li et al. method was most effective during the early stages of AFP-NHCC, when the tumor size is small [12]. Nevertheless, additional studies are needed to unravel the true association between AAR and AFP-NHCC. Changes in IgG antibody-linked oligosaccharides, in terms of both types and levels, have also been used as diagnostic markers for the onset and progression of various types of cancer. For instance, Kanoah et al. found that NSCLC progression was associated with significant decreases in mono- (Fr1) and digalactosyl (Fr2) IgG oligosaccharide levels, coupled with increases in agalactosyl IgG oligosaccharide (Fr4) [29]. Similar changes, entailing decreased Fr1 and F2, coupled with increased Fr4, were previously observed among that research group for prostate cancer [30]. More recently, changes in glycosylation patterns were observed in epithelial ovarian cancer patients, compared to healthy ones, with respect to IgG1, 2 and 3. In particular, IgG1 had significantly lower sialylation, and higher fucosylation, among cancer patients, while those patients also had increased agalactyosylation, along with decreased digalactosylation and sialylation, for IgG3. These alterations, especially for agalactosylation, were also found to be positively correlated with the widely utilized diagnostic marker CA125 [31]. However, the methods used to identify the oligosaccharide chains, such as fluorophore-associated carbohydrate electrophoresis and matrix-assisted laser desorption/ionization coupled with time-of-flight mass spectrometry are approaches that may be difficult to apply for widespread clinical use. Therefore, less cumbersome methods may need to be developed before IgG oligosaccharide chains could be utilized as a clinical diagnostic marker. Moreover, it is worth noting that other methods for diagnosing HCC through serum diagnostic markers, such as exosomal DNA containing the TP53 gene mutation [32], phenylalanyl-tryptophan [33], miRNAs, such as miR-10b [34], prothrombin induced by vitamin K deficiency or antagonist-II [35], lncRNA-D16366[36], des-gamma-carboxyprothrombin [37], and dickkopf-1 [38], etc., have been documented. However, the widespread adoption for a number of these biomarkers as a diagnostic tool has been limited, owing to low sensitivity, which is exacerbated by HCC often being found alongside chronic liver disease and inflammation [39]. Furthermore, determining the appropriate cut-off values for detecting HCC onset with high specificity and sensitivity, as well as developing cost-effective approaches for measuring serum miRNA, lncRNA, and exosomal DNA levels, is a continued work in progress [39]. Our results provide a new predictor for diagnosing HCC, particularly AFP-NHCC. However, there are still a number of limitations in our study, one of which is its retrospective nature, which may reduce the predictive value of the results. Additionally, the sample size was small, possibly resulting in sampling biases. Lastly, there is a lack of sufficient HCC staging and follow-up data, limiting our ability to evaluate the association between the screening value of indicators with different HCC stages and follow-up findings. Therefore, future prospective studies with large sample sizes, multiple centers and adequate follow-up data collection are needed to validate the results. Conclusion: The biomarkers of G-test, AFP and AAR were examined as diagnostic indicators for HCC onset, and their predictive value was confirmed. Out of those 3 biomarkers, G-test had the highest predictive ability among healthy, LC, and AFP-NHCC patients, while AAR was the most predictive among CH. However, the combination of G-test, AFP and AAR has the highest diagnostic capability, sensitivity, and specificity for HCC, suggesting a possible new approach for screening and early detection of HCC. This finding thus facilitates interventions against HCC in its early stages among patient populations.
Background: The purpose of this study was to compare the diagnostic value of serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP) and aspartic aminotransferase to alanine aminotransferase ratios (AAR), both alone and in combination, for predicting hepatocellular carcinoma (HCC) onset. Methods: Between Januarys 2020-2022, 152 subjects admitted to the First Affiliated Hospital of Nanchang University was enrolled in this study, of which 77 had HCC, 18 chronic hepatitis (CH), 37 liver cirrhosis (LC) and 20 were healthy. Data for patient characteristics were collected, and differences between groups were analyzed by either Mann-Whitney U or χ2 tests. Receiver operating characteristic (ROC) curve analysis was used to determine the diagnostic value of AFP, G-test, and AAR for HCC. Results: G-test, AFP, and AAR were all found to have close correlations with HCC among the different patient groups, with G-test being the most predictive for HCC among healthy and CL patients, as represented by respective areas under the curve (AUC) of 0.953 and 0.792 (P < 0.001). By contrast, AAR had the greatest diagnostic ability for HCC among CH patients (AUC = 0.850; P < 0.001). However, the combination of all 3 biomarkers obtained the most optimal results for predicting HCC onset, in terms of predictive capability for all 3 non-HCC patient groups, yielding AUCs of 0.958, 0.898, and 0.808 (P < 0.001) for, respectively, healthy, CH, and LC patients. Additionally, AFP had higher specificity, but lower sensitivity, with increased threshold values, as the recommended threshold of AFP ≥ 400 ng/mL yielded a missed diagnosis rate of 72.7%. For AFP-negative HCC (AFP-NHCC) patients, G-test alone had the greatest diagnostic capability (AUC = 0.855; P < 0.001), sensitivity (83.8%), and specificity (87.5%). Conclusions: G-test has the greatest diagnostic capability for HCC and AFP-NHCC, with high sensitivity and specificity, among healthy and LC patients. However, AAR had the highest diagnostic capability and sensitivity for HCC in CH. Overall, though, the combination of G-test, AFP and AAR provided the most optimal outcomes for predicting HCC onset, no matter the patient pre-conditions.
Introduction: Hepatocellular carcinoma (HCC) is one of the leading causes of cancer-related death worldwide; its high morbidity and mortality rate has resulted in the cancer being considered a significant global health risk. Its occurrence is most commonly attributed to chronic viral hepatitis, alcohol intake and aflatoxin exposure. Owing to the lack of obvious symptoms at the early stages, most patients end up diagnosed with HCC after it has progressed to its advanced stages, contributing to its extremely low overall five-year survival rates of < 16% [1–4]. Currently, HCC is diagnosed based on a combination of serological, radiological, and pathological features, with liver biopsy being considered the gold standard; however, the procedure is limited by its invasiveness and risks for sampling errors [5]. As a result, alternative approaches for diagnosing HCC has been developed, such as imaging technologies, though this has its own shortcomings. For instance, it is difficult under conventional ultrasound to distinguish between benign and malignant small hepatocellular nodules [6, 7]. Thus, identifying a non-invasive, rapid, and easy-to-measure marker for HCC would be of great utility for clinical screening and development of more effective treatment approaches. The ideal biomarker is one that is easily detected in serum, plasma, bile, and other body fluids. Serum alpha fetoprotein (AFP) has long been considered as such a biomarker, but its usage, though widespread, has been controversial, owing to its low sensitivity to HCC, especially at its early stages, of 10–20%. This has led to its recommendation in HCC screening guidelines being highly controversial [1, 8]. An alternative proposed biomarker that has emerged is aspartate aminotransferase (AST) to alanine aminotransferase (ALT) ratio (AAR), which had already been used as an indicator of liver fibrosis. AAR has also been found to be able to serve as a biomarker for the identification and early prediction of HCC recurrence [9–11], leading to it being proposed as an effective marker for AFP-negative HCC (AFP-NHCC) [12]. More recently, changes in the N-glycome has been identified as a potential effective serum marker for liver disease. In particular, abnormal changes in the glycosylation modifications on glycoproteins have been observed throughout the progression of chronic liver disease into HCC [13–15]. This finding has led to the emergence of serum oligosaccharide chain (G-test) detection technology. G-test was first defined by Liu et al. [13] as the GlycoHCCTest, which was the log ratio of peak 9 to peak 7 obtained from DNA sequencer–assisted fluorophore-assisted carbohydrate electrophoresis of patient serum, followed by normal-phase high-performance liquid chromatography and digestion with exoglycosidases. The resulting peak 9 represented a branch α-(1,3)-fucosylated triantennary glycan, which was more abundant among HCC patients, compared to those without HCC. By contrast, peak 7, representing bisecting core α-(1,6)-fucosylated biantennary glycans, decreased with increasing stages of HCC. Therefore, higher G-test measurements correlated with HCC progression [13]. This finding was further verified in a previous study [16], in which higher G-test levels were associated with HCC onset among patients with chronic hepatitis B and related cirrhosis, and that G-test was better than AFP for predicting HCC. However, the effectiveness for G-test to diagnose HCC among broader patient demographics, as well as its predictive capabilities compared to other diagnostic markers, is still scarce. In this study, we aim to fill in this knowledge gap by comparing the diagnostic value of G-test versus other markers. We examined the predictive capabilities of G-test, AFP, and AAR, both as single markers, and combined together, for detecting HCC in its early stages. We found that G-test had the greatest diagnostic ability for detecting HCC among healthy and liver cirrhosis (LC) patients, as well as AFP-NHCC among healthy, LC, and chronic hepatitis (CH) individuals. By contrast, AAR had the greatest diagnostic ability among CH. Regardless, the combination of all 3 tests yielded the most optimal outcomes with respect to diagnostic capability, sensitivity, and specificity for HCC. Conclusion: The biomarkers of G-test, AFP and AAR were examined as diagnostic indicators for HCC onset, and their predictive value was confirmed. Out of those 3 biomarkers, G-test had the highest predictive ability among healthy, LC, and AFP-NHCC patients, while AAR was the most predictive among CH. However, the combination of G-test, AFP and AAR has the highest diagnostic capability, sensitivity, and specificity for HCC, suggesting a possible new approach for screening and early detection of HCC. This finding thus facilitates interventions against HCC in its early stages among patient populations.
Background: The purpose of this study was to compare the diagnostic value of serum oligosaccharide chain (G-test), alpha-fetoprotein (AFP) and aspartic aminotransferase to alanine aminotransferase ratios (AAR), both alone and in combination, for predicting hepatocellular carcinoma (HCC) onset. Methods: Between Januarys 2020-2022, 152 subjects admitted to the First Affiliated Hospital of Nanchang University was enrolled in this study, of which 77 had HCC, 18 chronic hepatitis (CH), 37 liver cirrhosis (LC) and 20 were healthy. Data for patient characteristics were collected, and differences between groups were analyzed by either Mann-Whitney U or χ2 tests. Receiver operating characteristic (ROC) curve analysis was used to determine the diagnostic value of AFP, G-test, and AAR for HCC. Results: G-test, AFP, and AAR were all found to have close correlations with HCC among the different patient groups, with G-test being the most predictive for HCC among healthy and CL patients, as represented by respective areas under the curve (AUC) of 0.953 and 0.792 (P < 0.001). By contrast, AAR had the greatest diagnostic ability for HCC among CH patients (AUC = 0.850; P < 0.001). However, the combination of all 3 biomarkers obtained the most optimal results for predicting HCC onset, in terms of predictive capability for all 3 non-HCC patient groups, yielding AUCs of 0.958, 0.898, and 0.808 (P < 0.001) for, respectively, healthy, CH, and LC patients. Additionally, AFP had higher specificity, but lower sensitivity, with increased threshold values, as the recommended threshold of AFP ≥ 400 ng/mL yielded a missed diagnosis rate of 72.7%. For AFP-negative HCC (AFP-NHCC) patients, G-test alone had the greatest diagnostic capability (AUC = 0.855; P < 0.001), sensitivity (83.8%), and specificity (87.5%). Conclusions: G-test has the greatest diagnostic capability for HCC and AFP-NHCC, with high sensitivity and specificity, among healthy and LC patients. However, AAR had the highest diagnostic capability and sensitivity for HCC in CH. Overall, though, the combination of G-test, AFP and AAR provided the most optimal outcomes for predicting HCC onset, no matter the patient pre-conditions.
13,411
475
[ 2413, 291, 234, 675, 547, 228, 1070, 448 ]
12
[ "hcc", "afp", "test", "aar", "sensitivity", "aminotransferase", "negative", "patients", "diagnostic", "specificity" ]
[ "liver biopsy considered", "hepatocellular nodules identifying", "screening liver cancer", "hepatocellular carcinoma contrast", "hcc hepatocellular carcinoma" ]
null
[CONTENT] Hepatocellular carcinoma | Chronic hepatitis | Liver cirrhosis | G-test | Alpha-fetoprotein | Aspartate aminotransferase to alanine aminotransferase ratio | Serological markers | Receiver operating characteristic curve [SUMMARY]
null
[CONTENT] Hepatocellular carcinoma | Chronic hepatitis | Liver cirrhosis | G-test | Alpha-fetoprotein | Aspartate aminotransferase to alanine aminotransferase ratio | Serological markers | Receiver operating characteristic curve [SUMMARY]
[CONTENT] Hepatocellular carcinoma | Chronic hepatitis | Liver cirrhosis | G-test | Alpha-fetoprotein | Aspartate aminotransferase to alanine aminotransferase ratio | Serological markers | Receiver operating characteristic curve [SUMMARY]
[CONTENT] Hepatocellular carcinoma | Chronic hepatitis | Liver cirrhosis | G-test | Alpha-fetoprotein | Aspartate aminotransferase to alanine aminotransferase ratio | Serological markers | Receiver operating characteristic curve [SUMMARY]
[CONTENT] Hepatocellular carcinoma | Chronic hepatitis | Liver cirrhosis | G-test | Alpha-fetoprotein | Aspartate aminotransferase to alanine aminotransferase ratio | Serological markers | Receiver operating characteristic curve [SUMMARY]
[CONTENT] Alanine Transaminase | Aspartate Aminotransferases | Biomarkers | Biomarkers, Tumor | Carcinoma, Hepatocellular | Humans | Liver Cirrhosis | Liver Neoplasms | Oligosaccharides | ROC Curve | alpha-Fetoproteins [SUMMARY]
null
[CONTENT] Alanine Transaminase | Aspartate Aminotransferases | Biomarkers | Biomarkers, Tumor | Carcinoma, Hepatocellular | Humans | Liver Cirrhosis | Liver Neoplasms | Oligosaccharides | ROC Curve | alpha-Fetoproteins [SUMMARY]
[CONTENT] Alanine Transaminase | Aspartate Aminotransferases | Biomarkers | Biomarkers, Tumor | Carcinoma, Hepatocellular | Humans | Liver Cirrhosis | Liver Neoplasms | Oligosaccharides | ROC Curve | alpha-Fetoproteins [SUMMARY]
[CONTENT] Alanine Transaminase | Aspartate Aminotransferases | Biomarkers | Biomarkers, Tumor | Carcinoma, Hepatocellular | Humans | Liver Cirrhosis | Liver Neoplasms | Oligosaccharides | ROC Curve | alpha-Fetoproteins [SUMMARY]
[CONTENT] Alanine Transaminase | Aspartate Aminotransferases | Biomarkers | Biomarkers, Tumor | Carcinoma, Hepatocellular | Humans | Liver Cirrhosis | Liver Neoplasms | Oligosaccharides | ROC Curve | alpha-Fetoproteins [SUMMARY]
[CONTENT] liver biopsy considered | hepatocellular nodules identifying | screening liver cancer | hepatocellular carcinoma contrast | hcc hepatocellular carcinoma [SUMMARY]
null
[CONTENT] liver biopsy considered | hepatocellular nodules identifying | screening liver cancer | hepatocellular carcinoma contrast | hcc hepatocellular carcinoma [SUMMARY]
[CONTENT] liver biopsy considered | hepatocellular nodules identifying | screening liver cancer | hepatocellular carcinoma contrast | hcc hepatocellular carcinoma [SUMMARY]
[CONTENT] liver biopsy considered | hepatocellular nodules identifying | screening liver cancer | hepatocellular carcinoma contrast | hcc hepatocellular carcinoma [SUMMARY]
[CONTENT] liver biopsy considered | hepatocellular nodules identifying | screening liver cancer | hepatocellular carcinoma contrast | hcc hepatocellular carcinoma [SUMMARY]
[CONTENT] hcc | afp | test | aar | sensitivity | aminotransferase | negative | patients | diagnostic | specificity [SUMMARY]
null
[CONTENT] hcc | afp | test | aar | sensitivity | aminotransferase | negative | patients | diagnostic | specificity [SUMMARY]
[CONTENT] hcc | afp | test | aar | sensitivity | aminotransferase | negative | patients | diagnostic | specificity [SUMMARY]
[CONTENT] hcc | afp | test | aar | sensitivity | aminotransferase | negative | patients | diagnostic | specificity [SUMMARY]
[CONTENT] hcc | afp | test | aar | sensitivity | aminotransferase | negative | patients | diagnostic | specificity [SUMMARY]
[CONTENT] hcc | stages | peak | test | early | biomarker | marker | effective | liver | early stages [SUMMARY]
null
[CONTENT] afp | test | hcc | aar | negative | auc | curve | 93 | versus | sensitivity [SUMMARY]
[CONTENT] biomarkers test | biomarkers | early | predictive | hcc | aar | highest | afp | test | predictive value confirmed [SUMMARY]
[CONTENT] hcc | afp | test | aar | aminotransferase | sensitivity | liver | patients | diagnostic | negative [SUMMARY]
[CONTENT] hcc | afp | test | aar | aminotransferase | sensitivity | liver | patients | diagnostic | negative [SUMMARY]
[CONTENT] AFP | AAR [SUMMARY]
null
[CONTENT] AFP | AAR | HCC | HCC | CL | 0.953 | 0.792 | 0.001 ||| AAR | HCC | 0.850 | 0.001 ||| 3 | HCC | 3 | 0.958 | 0.898 | 0.808 | 0.001 ||| AFP | AFP | 400 ng/mL | 72.7% ||| 0.855 | 0.001 | 83.8% | 87.5% [SUMMARY]
[CONTENT] HCC | AFP-NHCC ||| AAR ||| AFP | AAR | HCC [SUMMARY]
[CONTENT] AFP | AAR ||| 152 | the First Affiliated Hospital of Nanchang University | 77 | HCC | 18 | 37 | 20 ||| Mann-Whitney U ||| ROC | AFP | AAR | HCC ||| AFP | AAR | HCC | HCC | CL | 0.953 | 0.792 | 0.001 ||| AAR | HCC | 0.850 | 0.001 ||| 3 | HCC | 3 | 0.958 | 0.898 | 0.808 | 0.001 ||| AFP | AFP | 400 ng/mL | 72.7% ||| 0.855 | 0.001 | 83.8% | 87.5% ||| HCC | AFP-NHCC ||| AAR ||| AFP | AAR | HCC [SUMMARY]
[CONTENT] AFP | AAR ||| 152 | the First Affiliated Hospital of Nanchang University | 77 | HCC | 18 | 37 | 20 ||| Mann-Whitney U ||| ROC | AFP | AAR | HCC ||| AFP | AAR | HCC | HCC | CL | 0.953 | 0.792 | 0.001 ||| AAR | HCC | 0.850 | 0.001 ||| 3 | HCC | 3 | 0.958 | 0.898 | 0.808 | 0.001 ||| AFP | AFP | 400 ng/mL | 72.7% ||| 0.855 | 0.001 | 83.8% | 87.5% ||| HCC | AFP-NHCC ||| AAR ||| AFP | AAR | HCC [SUMMARY]
Effects of Electrode-Tissue Proximity on Cardiac Lesion Formation Using Pulsed Field Ablation.
36166690
Pulsed field ablation (PFA) is a novel energy modality for treatment of cardiac arrhythmias. The impact of electrode-tissue proximity on lesion formation by PFA has not been conclusively assessed. The objective of this investigation was to evaluate the effects of electrode-tissue proximity on cardiac lesion formation with a biphasic, bipolar PFA system.
BACKGROUND
PFA was delivered on the ventricular epicardial surface in an isolated porcine heart model (n=8) via a 4-electrode prototype catheter. An offset tool was designed to control the distance between electrodes and target tissue; deliveries were placed 0 mm (0 mm offset), 2 mm (2 mm offset), and 4 mm away from the tissue (4 mm offset). Lesions were assessed using tetrazolium chloride staining. Numerical models for the experimental setup with and without the offset tool validated and supported results.
METHODS
Cardiac lesion dimensions decreased proportional to the distance between epicardial surface and electrodes. Lesion depth averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0, 2, and 4 mm and lesion width averaged 9.4±1.1 mm, 7.5±0.8 mm and 5.8±1.4 mm for the 0, 2, and 4 mm offset distances, respectively. Numerical modeling matched ex vivo results well and predicted lesion creation with and without the offset tool.
RESULTS
Using a biphasic, bipolar PFA system resulted in cardiac lesions even in the 0 mm offset distance case. The relationship between lesion depth and offset distance was linear, and the deepest lesions were created with 0 mm offset distance, that is, with electrodes in contact with tissue. Therefore, close electrode-tissue proximity increases the likelihood of achieving transmural lesions by maximizing the electric field penetration into the target tissue.
CONCLUSIONS
[ "Swine", "Animals", "Catheter Ablation", "Chlorides", "Electrodes", "Heart Ventricles", "Heart" ]
9584049
null
null
Statistical Methods
One-way ANOVA using the Tukey method for multiple comparisons or linear regression analyses was used to evaluate the relationship between lesion size and offset of lesions (Minitab 20.1.3). A mixed effects model was used to evaluate inter-animal variability. Statistical significance was inferred if P values were <0.05.
Results
Lesion Assessment (Isolated Heart Tissue) A total of 32 ablations were performed across the 8 hearts; 11 at 0 mm offset, 11 at 2 mm offset, and 10 at 4 mm offset. Figure 3 shows superficial TTC-stained images from transversely cut TTC-stained images from tissue (left) and uncut tissue slices (right) for PFA applications at 0 mm, 2 mm and 4 mm offset. Lesion depth (Figure 4A and 4B) and width (Figure 4C and 4D) decreased significantly as the distance between epicardial surface and electrodes increased. Lesion depths averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Lesion widths averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Shown are individual lesion depths (in mm) with linear regression curves (Figure 4A: linear slope −0.7413, R2=0.91, P<0.0001; Figure 4C: linear slope=−0.8979, R2=0.65, P<0.0001), as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (Figure 4B and 4D). One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P values for between-group comparisons are P<0.001 for depth, and P<0.01 for width). Accounting for multiple lesions performed on each porcine heart with a mixed model, the results were similar to the linear regression model due to no significant difference or major variability in lesion depth or width between each animal. Sample lesion images. We need to change this Figure legend to as follows: Shown are superficial tetrazolium chloride (TTC) stained images from transversely cut tissue slices (left) at 0 mm, 2 mm, and 4 mm offset as well as uncut tissue slices (lesions seen from above, width measurements indicated by yellow lines, right). Lesion depth (A and B) and width (C and D) decreased significantly as the distance between epicardial surface and electrodes increased. Shown are individual lesion depths (in mm) with linear regression curves (A: linear slope −0.7413, R2=0.91; C: linear slope=−0.8979, R2=0.65) as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (B and D). Lesion depth-averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. Lesion width averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P<0.001 for depth, and P<0.01 for width). A total of 32 ablations were performed across the 8 hearts; 11 at 0 mm offset, 11 at 2 mm offset, and 10 at 4 mm offset. Figure 3 shows superficial TTC-stained images from transversely cut TTC-stained images from tissue (left) and uncut tissue slices (right) for PFA applications at 0 mm, 2 mm and 4 mm offset. Lesion depth (Figure 4A and 4B) and width (Figure 4C and 4D) decreased significantly as the distance between epicardial surface and electrodes increased. Lesion depths averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Lesion widths averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Shown are individual lesion depths (in mm) with linear regression curves (Figure 4A: linear slope −0.7413, R2=0.91, P<0.0001; Figure 4C: linear slope=−0.8979, R2=0.65, P<0.0001), as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (Figure 4B and 4D). One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P values for between-group comparisons are P<0.001 for depth, and P<0.01 for width). Accounting for multiple lesions performed on each porcine heart with a mixed model, the results were similar to the linear regression model due to no significant difference or major variability in lesion depth or width between each animal. Sample lesion images. We need to change this Figure legend to as follows: Shown are superficial tetrazolium chloride (TTC) stained images from transversely cut tissue slices (left) at 0 mm, 2 mm, and 4 mm offset as well as uncut tissue slices (lesions seen from above, width measurements indicated by yellow lines, right). Lesion depth (A and B) and width (C and D) decreased significantly as the distance between epicardial surface and electrodes increased. Shown are individual lesion depths (in mm) with linear regression curves (A: linear slope −0.7413, R2=0.91; C: linear slope=−0.8979, R2=0.65) as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (B and D). Lesion depth-averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. Lesion width averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P<0.001 for depth, and P<0.01 for width). Numerical Modeling The average lethal dose threshold value of cardiac tissue (N=6) was determined to be 489±22 V/cm. That means the model on average best matched the ex vivo data when 489±22 V/cm was used as the threshold for defining the lesion boundary. This value was used to generate 2 optimized models: the Numerical model and the Numerical model without the offset tool (Figure 5). Numerically predicted lesion sizes. This figure shows the Numerical model (blue area, continuous outline) compared with the Numerical model without the offset tool (pink area, dotted outline). The offset tool induced some additional lesion formation at the edges, where the concentration of the current density resulted in higher local electric field in comparison to the unlimited model, which is most obvious in the top view and consistent with the experimental results shown in Figure 2. Figure 6 presents the ex vivo data, the modeling of the ex vivo data (Numerical model), and an infinite blood pool model which removes the offset tool (Numerical model without the offset tool). The results of the numerical models correspond well with linear trends observed in the ex vivo data. Regression lines calculated for the ex vivo data and the Numerical model had slopes of –0.740 and –0.723 (mm depth/ mm offset) respectively (regression lines are not shown in Figure 6). The Numerical model without the offset tool had a slope of –0.947 (mm depth/ mm offset). Lesion depth as a function of offset distance observed experimentally (ex vivo), compared to lesion depth calculated using a numerical model mimicking the experimental model (numerical model), as well as using a model in which the offset tool was removed (numerical model without offset tool). The average lethal dose threshold value of cardiac tissue (N=6) was determined to be 489±22 V/cm. That means the model on average best matched the ex vivo data when 489±22 V/cm was used as the threshold for defining the lesion boundary. This value was used to generate 2 optimized models: the Numerical model and the Numerical model without the offset tool (Figure 5). Numerically predicted lesion sizes. This figure shows the Numerical model (blue area, continuous outline) compared with the Numerical model without the offset tool (pink area, dotted outline). The offset tool induced some additional lesion formation at the edges, where the concentration of the current density resulted in higher local electric field in comparison to the unlimited model, which is most obvious in the top view and consistent with the experimental results shown in Figure 2. Figure 6 presents the ex vivo data, the modeling of the ex vivo data (Numerical model), and an infinite blood pool model which removes the offset tool (Numerical model without the offset tool). The results of the numerical models correspond well with linear trends observed in the ex vivo data. Regression lines calculated for the ex vivo data and the Numerical model had slopes of –0.740 and –0.723 (mm depth/ mm offset) respectively (regression lines are not shown in Figure 6). The Numerical model without the offset tool had a slope of –0.947 (mm depth/ mm offset). Lesion depth as a function of offset distance observed experimentally (ex vivo), compared to lesion depth calculated using a numerical model mimicking the experimental model (numerical model), as well as using a model in which the offset tool was removed (numerical model without offset tool).
Conclusions
This study provides strong evidence that pulsed electric fields create cardiac lesions even in the absence of direct electrode-tissue contact case. We demonstrate lesion creation even when the PFA electrodes were as far as 4 mm from the epicardial surface. However, the optimal, deepest lesions were created with 0 mm offset distance.
[ "What Is Known?", "What this Study Adds", "Methods", "Isolated Heart Preparation", "Overview of Experimental Procedure", "PFA Catheter and System", "Offset Tool", "Lesion Imaging and Analysis", "Modeling", "Lesion Assessment (Isolated Heart Tissue)", "Numerical Modeling", "Limitations", "Article Information", "Sources of Funding", "Supplemental Material" ]
[ "Temperature-based ablation technologies such as radiofrequency ablation or cryoablation require direct tissue contact for energy transfer.\nPulsed field ablation is a field-based technology resulting in cell death via exposure of tissue to electric fields exceeding the threshold for irreversible electroporation.", "Although ablation using pulsed fields does not require direct tissue contact for myocardial lesion creation, the deepest lesion were observed with direct tissue contact.", "This research protocol was approved by the Institutional Animal Care and Use Committee of the University of Minnesota and the animal experiments were performed at the University of Minnesota. The data that support the findings of this study are available from the corresponding author upon reasonable request.\n Isolated Heart Preparation Isolated hearts were prepared from male Yorkshire pigs (n=8, mean weight 76.4±9.4 kg [SD]) as previously described.18 In brief, the hearts are explanted in toto, and, after a period of cardioplegic cardiac arrest, reperfused with modified Krebs-Henseleit buffer during which sinus cardiac rhythm, physiological temperatures (37 °C), and pressures were maintained throughout the experiment.\nIsolated hearts were prepared from male Yorkshire pigs (n=8, mean weight 76.4±9.4 kg [SD]) as previously described.18 In brief, the hearts are explanted in toto, and, after a period of cardioplegic cardiac arrest, reperfused with modified Krebs-Henseleit buffer during which sinus cardiac rhythm, physiological temperatures (37 °C), and pressures were maintained throughout the experiment.\n Overview of Experimental Procedure The isolated porcine heart was reanimated on the apparatus,18 and once stable function was achieved, lesions were created on the epicardial surface of the beating ventricles using an offset tool filled with heparinized blood, PFA catheter, and PFA generator as described below. Three to 5 PFA lesions were created on the epicardial surface of the heart. For each lesion, 4 pulse trains were delivered. The left ventricle was chosen due to its wall thickness, to optimize a lesion dose-response curve. After a period of 2 hours of continued beating heart perfusion, tissue sections were excised for imaging. Freshly excised lesions, the triphenyl tetrazolium chloride (TTC) stained lesions, and cross-sections of TTC-stained lesions were imaged and analyzed using ImageJ software.19 Cross-sectioning was performed on the long axis of the lesion approximately orthogonal to the surface.\nThe isolated porcine heart was reanimated on the apparatus,18 and once stable function was achieved, lesions were created on the epicardial surface of the beating ventricles using an offset tool filled with heparinized blood, PFA catheter, and PFA generator as described below. Three to 5 PFA lesions were created on the epicardial surface of the heart. For each lesion, 4 pulse trains were delivered. The left ventricle was chosen due to its wall thickness, to optimize a lesion dose-response curve. After a period of 2 hours of continued beating heart perfusion, tissue sections were excised for imaging. Freshly excised lesions, the triphenyl tetrazolium chloride (TTC) stained lesions, and cross-sections of TTC-stained lesions were imaged and analyzed using ImageJ software.19 Cross-sectioning was performed on the long axis of the lesion approximately orthogonal to the surface.\n PFA Catheter and System A prototype PFA catheter with a linear arrangement of 4 electrodes was built as shown in Figures 1A and 1B. A custom PFA research generator delivered 4 trains of high-voltage (1500 V) biphasic, bipolar pulses to the catheter.\nOffset tool and experimental setup. Pulsed field ablation (PFA) catheter with linear 4-electrode array with offset tool open and electrode 1 on the far left (A). The catheter located within the offset tool (with transparent front view) as well as a rendering of the cardiac pulsed field ablation lesion is shown (B). Experimental setup during epicardial PFA lesion creation. The chamber was filled with heparinized blood prior to initiating pulsed field ablation deliveries. C, During placement of the offset apparatus with electrode array positioned against epicardial surface, there was direct electrode-tissue proximity (0 mm, left) or the catheter was pulled back against the pins to ensure consistent distance from the tissue for 2 mm (middle) and 4 mm (right) electrode-tissue distances (D).\nA prototype PFA catheter with a linear arrangement of 4 electrodes was built as shown in Figures 1A and 1B. A custom PFA research generator delivered 4 trains of high-voltage (1500 V) biphasic, bipolar pulses to the catheter.\nOffset tool and experimental setup. Pulsed field ablation (PFA) catheter with linear 4-electrode array with offset tool open and electrode 1 on the far left (A). The catheter located within the offset tool (with transparent front view) as well as a rendering of the cardiac pulsed field ablation lesion is shown (B). Experimental setup during epicardial PFA lesion creation. The chamber was filled with heparinized blood prior to initiating pulsed field ablation deliveries. C, During placement of the offset apparatus with electrode array positioned against epicardial surface, there was direct electrode-tissue proximity (0 mm, left) or the catheter was pulled back against the pins to ensure consistent distance from the tissue for 2 mm (middle) and 4 mm (right) electrode-tissue distances (D).\n Offset Tool An offset tool was developed to precisely control distance of the PFA electrodes from the epicardial surface (Figure 1A through 1C). Using different configurations, this tool allowed the PFA electrode array to be placed either directly on the epicardial surface (0 mm, Figure 1D, left), or at an offset of either 2 mm or 4 mm (Figure 1D, middle and right, respectively) as measured between the electrodes and the tissue surface. The electrodes were held against the pegs opposite of the tissue to ensure that there were no obstructions between the electrode array and the tissue to minimize any effect of the tool on the electric field distribution. During energy delivery, the catheter electrode chamber of the offset tool was filled with noncirculating heparinized blood. Three to 5 lesions were made on each porcine heart. Each heart had ablations performed at 0, 2, and 4 mm offset with additional ablations randomized (giving equal probability to additional 0, 2, and 4 mm offset) when surface area allowed.\nAn offset tool was developed to precisely control distance of the PFA electrodes from the epicardial surface (Figure 1A through 1C). Using different configurations, this tool allowed the PFA electrode array to be placed either directly on the epicardial surface (0 mm, Figure 1D, left), or at an offset of either 2 mm or 4 mm (Figure 1D, middle and right, respectively) as measured between the electrodes and the tissue surface. The electrodes were held against the pegs opposite of the tissue to ensure that there were no obstructions between the electrode array and the tissue to minimize any effect of the tool on the electric field distribution. During energy delivery, the catheter electrode chamber of the offset tool was filled with noncirculating heparinized blood. Three to 5 lesions were made on each porcine heart. Each heart had ablations performed at 0, 2, and 4 mm offset with additional ablations randomized (giving equal probability to additional 0, 2, and 4 mm offset) when surface area allowed.\n Lesion Imaging and Analysis The primary endpoint to demonstrate the effect of electrode-tissue proximity on PFA ablation was lesion depth. Tissue was stained using 1% TTC at ≈37 °C for 3 minutes. Lesion dimensions were then measured using ImageJ software (National Institute of Health).\nThe primary endpoint to demonstrate the effect of electrode-tissue proximity on PFA ablation was lesion depth. Tissue was stained using 1% TTC at ≈37 °C for 3 minutes. Lesion dimensions were then measured using ImageJ software (National Institute of Health).\n Modeling COMSOL Multiphysics (Comsol AB, Stockholm, Sweden) was used for numerical simulation. The CAD model of the offset tool and catheter was placed adjacent to a 35×65×10 mm cuboid representing the ventricular tissue. A cuboid with the same dimensions was placed below the ventricular tissue to represent the perfusate-filled heart chamber (Figure 2). The tissue was modeled with anisotropic conductivity of myocardium, with a change in fiber direction of 180° between the epicardial and endocardial surface.20 The tissue conductivity also included an electric field–dependent conductivity increase. A similar model was created (marked as unlimited model) in which the offset tool was removed (Figure 2). A more detailed description of the model and equations used in the modeling as well as the material properties used in the simulations are listed in Supplementary Materials (Table S1).\nVisual comparison of the 2 COMSOL Multiphysics geometries used in the numerical simulations at a distance of 2 mm from tissue. Both parts have the blood (and offset tool) cut out for better clarity through a plane passing through the center of the experimental catheter. A, Numerical model. B, Numerical model without offset tool. The blood pool and myocardium were extended by 10 mm on each side to prevent the edge of the model space from affecting the results.\nThe models were solved in a time domain study, where 1500 V was applied to the electrodes as a boundary condition. The calculated electric field at the end of the pulse trains was exported to MATLAB (Mathworks, Natick, MA) for extracting the lesion width and depth in the same locations as in the experiments. For model validation, simulated current was compared with measured values, and a good agreement was obtained (Table S2).\nThe numerical model was used to extract lesion depths at 7 sites below the catheter using a range of electric field thresholds (400–800 V/cm in 10 V/cm increments). These data were used to train an explicit numerical model of depth as a function of electrode-tissue distance and threshold that included all values not directly modeled. Subsequently, this model was used to calculate the threshold electric field value for the cardiac tissue that best fit each experimental result.\nCOMSOL Multiphysics (Comsol AB, Stockholm, Sweden) was used for numerical simulation. The CAD model of the offset tool and catheter was placed adjacent to a 35×65×10 mm cuboid representing the ventricular tissue. A cuboid with the same dimensions was placed below the ventricular tissue to represent the perfusate-filled heart chamber (Figure 2). The tissue was modeled with anisotropic conductivity of myocardium, with a change in fiber direction of 180° between the epicardial and endocardial surface.20 The tissue conductivity also included an electric field–dependent conductivity increase. A similar model was created (marked as unlimited model) in which the offset tool was removed (Figure 2). A more detailed description of the model and equations used in the modeling as well as the material properties used in the simulations are listed in Supplementary Materials (Table S1).\nVisual comparison of the 2 COMSOL Multiphysics geometries used in the numerical simulations at a distance of 2 mm from tissue. Both parts have the blood (and offset tool) cut out for better clarity through a plane passing through the center of the experimental catheter. A, Numerical model. B, Numerical model without offset tool. The blood pool and myocardium were extended by 10 mm on each side to prevent the edge of the model space from affecting the results.\nThe models were solved in a time domain study, where 1500 V was applied to the electrodes as a boundary condition. The calculated electric field at the end of the pulse trains was exported to MATLAB (Mathworks, Natick, MA) for extracting the lesion width and depth in the same locations as in the experiments. For model validation, simulated current was compared with measured values, and a good agreement was obtained (Table S2).\nThe numerical model was used to extract lesion depths at 7 sites below the catheter using a range of electric field thresholds (400–800 V/cm in 10 V/cm increments). These data were used to train an explicit numerical model of depth as a function of electrode-tissue distance and threshold that included all values not directly modeled. Subsequently, this model was used to calculate the threshold electric field value for the cardiac tissue that best fit each experimental result.\n Statistical Methods One-way ANOVA using the Tukey method for multiple comparisons or linear regression analyses was used to evaluate the relationship between lesion size and offset of lesions (Minitab 20.1.3). A mixed effects model was used to evaluate inter-animal variability. Statistical significance was inferred if P values were <0.05.\nOne-way ANOVA using the Tukey method for multiple comparisons or linear regression analyses was used to evaluate the relationship between lesion size and offset of lesions (Minitab 20.1.3). A mixed effects model was used to evaluate inter-animal variability. Statistical significance was inferred if P values were <0.05.", "Isolated hearts were prepared from male Yorkshire pigs (n=8, mean weight 76.4±9.4 kg [SD]) as previously described.18 In brief, the hearts are explanted in toto, and, after a period of cardioplegic cardiac arrest, reperfused with modified Krebs-Henseleit buffer during which sinus cardiac rhythm, physiological temperatures (37 °C), and pressures were maintained throughout the experiment.", "The isolated porcine heart was reanimated on the apparatus,18 and once stable function was achieved, lesions were created on the epicardial surface of the beating ventricles using an offset tool filled with heparinized blood, PFA catheter, and PFA generator as described below. Three to 5 PFA lesions were created on the epicardial surface of the heart. For each lesion, 4 pulse trains were delivered. The left ventricle was chosen due to its wall thickness, to optimize a lesion dose-response curve. After a period of 2 hours of continued beating heart perfusion, tissue sections were excised for imaging. Freshly excised lesions, the triphenyl tetrazolium chloride (TTC) stained lesions, and cross-sections of TTC-stained lesions were imaged and analyzed using ImageJ software.19 Cross-sectioning was performed on the long axis of the lesion approximately orthogonal to the surface.", "A prototype PFA catheter with a linear arrangement of 4 electrodes was built as shown in Figures 1A and 1B. A custom PFA research generator delivered 4 trains of high-voltage (1500 V) biphasic, bipolar pulses to the catheter.\nOffset tool and experimental setup. Pulsed field ablation (PFA) catheter with linear 4-electrode array with offset tool open and electrode 1 on the far left (A). The catheter located within the offset tool (with transparent front view) as well as a rendering of the cardiac pulsed field ablation lesion is shown (B). Experimental setup during epicardial PFA lesion creation. The chamber was filled with heparinized blood prior to initiating pulsed field ablation deliveries. C, During placement of the offset apparatus with electrode array positioned against epicardial surface, there was direct electrode-tissue proximity (0 mm, left) or the catheter was pulled back against the pins to ensure consistent distance from the tissue for 2 mm (middle) and 4 mm (right) electrode-tissue distances (D).", "An offset tool was developed to precisely control distance of the PFA electrodes from the epicardial surface (Figure 1A through 1C). Using different configurations, this tool allowed the PFA electrode array to be placed either directly on the epicardial surface (0 mm, Figure 1D, left), or at an offset of either 2 mm or 4 mm (Figure 1D, middle and right, respectively) as measured between the electrodes and the tissue surface. The electrodes were held against the pegs opposite of the tissue to ensure that there were no obstructions between the electrode array and the tissue to minimize any effect of the tool on the electric field distribution. During energy delivery, the catheter electrode chamber of the offset tool was filled with noncirculating heparinized blood. Three to 5 lesions were made on each porcine heart. Each heart had ablations performed at 0, 2, and 4 mm offset with additional ablations randomized (giving equal probability to additional 0, 2, and 4 mm offset) when surface area allowed.", "The primary endpoint to demonstrate the effect of electrode-tissue proximity on PFA ablation was lesion depth. Tissue was stained using 1% TTC at ≈37 °C for 3 minutes. Lesion dimensions were then measured using ImageJ software (National Institute of Health).", "COMSOL Multiphysics (Comsol AB, Stockholm, Sweden) was used for numerical simulation. The CAD model of the offset tool and catheter was placed adjacent to a 35×65×10 mm cuboid representing the ventricular tissue. A cuboid with the same dimensions was placed below the ventricular tissue to represent the perfusate-filled heart chamber (Figure 2). The tissue was modeled with anisotropic conductivity of myocardium, with a change in fiber direction of 180° between the epicardial and endocardial surface.20 The tissue conductivity also included an electric field–dependent conductivity increase. A similar model was created (marked as unlimited model) in which the offset tool was removed (Figure 2). A more detailed description of the model and equations used in the modeling as well as the material properties used in the simulations are listed in Supplementary Materials (Table S1).\nVisual comparison of the 2 COMSOL Multiphysics geometries used in the numerical simulations at a distance of 2 mm from tissue. Both parts have the blood (and offset tool) cut out for better clarity through a plane passing through the center of the experimental catheter. A, Numerical model. B, Numerical model without offset tool. The blood pool and myocardium were extended by 10 mm on each side to prevent the edge of the model space from affecting the results.\nThe models were solved in a time domain study, where 1500 V was applied to the electrodes as a boundary condition. The calculated electric field at the end of the pulse trains was exported to MATLAB (Mathworks, Natick, MA) for extracting the lesion width and depth in the same locations as in the experiments. For model validation, simulated current was compared with measured values, and a good agreement was obtained (Table S2).\nThe numerical model was used to extract lesion depths at 7 sites below the catheter using a range of electric field thresholds (400–800 V/cm in 10 V/cm increments). These data were used to train an explicit numerical model of depth as a function of electrode-tissue distance and threshold that included all values not directly modeled. Subsequently, this model was used to calculate the threshold electric field value for the cardiac tissue that best fit each experimental result.", "A total of 32 ablations were performed across the 8 hearts; 11 at 0 mm offset, 11 at 2 mm offset, and 10 at 4 mm offset. Figure 3 shows superficial TTC-stained images from transversely cut TTC-stained images from tissue (left) and uncut tissue slices (right) for PFA applications at 0 mm, 2 mm and 4 mm offset. Lesion depth (Figure 4A and 4B) and width (Figure 4C and 4D) decreased significantly as the distance between epicardial surface and electrodes increased. Lesion depths averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Lesion widths averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Shown are individual lesion depths (in mm) with linear regression curves (Figure 4A: linear slope −0.7413, R2=0.91, P<0.0001; Figure 4C: linear slope=−0.8979, R2=0.65, P<0.0001), as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (Figure 4B and 4D). One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P values for between-group comparisons are P<0.001 for depth, and P<0.01 for width). Accounting for multiple lesions performed on each porcine heart with a mixed model, the results were similar to the linear regression model due to no significant difference or major variability in lesion depth or width between each animal.\nSample lesion images. We need to change this Figure legend to as follows: Shown are superficial tetrazolium chloride (TTC) stained images from transversely cut tissue slices (left) at 0 mm, 2 mm, and 4 mm offset as well as uncut tissue slices (lesions seen from above, width measurements indicated by yellow lines, right).\nLesion depth (A and B) and width (C and D) decreased significantly as the distance between epicardial surface and electrodes increased. Shown are individual lesion depths (in mm) with linear regression curves (A: linear slope −0.7413, R2=0.91; C: linear slope=−0.8979, R2=0.65) as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (B and D). Lesion depth-averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. Lesion width averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P<0.001 for depth, and P<0.01 for width).", "The average lethal dose threshold value of cardiac tissue (N=6) was determined to be 489±22 V/cm. That means the model on average best matched the ex vivo data when 489±22 V/cm was used as the threshold for defining the lesion boundary. This value was used to generate 2 optimized models: the Numerical model and the Numerical model without the offset tool (Figure 5).\nNumerically predicted lesion sizes. This figure shows the Numerical model (blue area, continuous outline) compared with the Numerical model without the offset tool (pink area, dotted outline). The offset tool induced some additional lesion formation at the edges, where the concentration of the current density resulted in higher local electric field in comparison to the unlimited model, which is most obvious in the top view and consistent with the experimental results shown in Figure 2.\nFigure 6 presents the ex vivo data, the modeling of the ex vivo data (Numerical model), and an infinite blood pool model which removes the offset tool (Numerical model without the offset tool). The results of the numerical models correspond well with linear trends observed in the ex vivo data. Regression lines calculated for the ex vivo data and the Numerical model had slopes of –0.740 and –0.723 (mm depth/ mm offset) respectively (regression lines are not shown in Figure 6). The Numerical model without the offset tool had a slope of –0.947 (mm depth/ mm offset).\n\nLesion depth as a function of offset distance observed experimentally (ex vivo), compared to lesion depth calculated using a numerical model mimicking the experimental model (numerical model), as well as using a model in which the offset tool was removed (numerical model without offset tool).\n", "This experimental study was conducted under controlled laboratory conditions using an isolated porcine working heart model perfused with Krebs-Henseleit buffer. Only the ventricular myocardium was targeted in order to facilitate clear lesion visualization and measurements. Applicability of this work to clinical practice will require further study, including in diseased cardiac tissues (eg, remodeled atrial tissue, infarcted fibrotic ventricular tissue) and long-term durability of lesions. With regards to the limitation of lesion durability, it should be noted that tetrazolium chloride has been shown to correlate very well with histological cell damage in cardiac ischemic cell death and is widely used in preclinical histopathological studies.23 Also, reported lesion dimensions of these epicardial lesions may not be representative of endocardial lesion dimensions.\nIn order to address the potential limitation of directing the electrical field with the offset tool, we modeled the catheter offset and its effects on cardiac lesions without the offset tool. The Unlimited model was comprehensive, including electrical and thermal conductivity and heat capacity (Supplementary Appendix). Although a small effect of the offset tool was observed, the numerical model with the offset tool matched the experimental setup very well, providing good confidence that the Unlimited model represents reality accurately.\nThis investigation employed a prototype catheter that was custom-built for research purposes and does not represent PFA systems in clinical use. Each PFA system design is different, and this data cannot be extrapolated to other PFA systems, waveforms, or catheters. Furthermore, we have only investigated one set of pulse wave parameters based on what has been investigated in the PULSED AF clinical study (https://clinicaltrials.gov/ct2/show/NCT04198701), which has not yet been Food and Drug Administration approved or received regulatory approval for commercialization.11 For example, we do not know if a similar phenomenon could be observed using unipolar PFA delivery.", " Sources of Funding This study was funded by Medtronic.\nThis study was funded by Medtronic.\n Disclosures Dr Howard, Dr Mattison, Dr Onal, M.T. Stewart, and Dr Sigg are employees of Medtronic. Drs Verma, Tzou, Kos, and Miklavčič are Medtronic consultants.\nDr Howard, Dr Mattison, Dr Onal, M.T. Stewart, and Dr Sigg are employees of Medtronic. Drs Verma, Tzou, Kos, and Miklavčič are Medtronic consultants.\n Supplemental Material Supplemental Methods\nDetailed Model Description\nTables S1–S2\nReferences24–29\nSupplemental Methods\nDetailed Model Description\nTables S1–S2\nReferences24–29", "This study was funded by Medtronic.", "Supplemental Methods\nDetailed Model Description\nTables S1–S2\nReferences24–29" ]
[ null, null, "methods", null, "methods", null, null, null, null, null, null, null, null, null, null ]
[ "What Is Known?", "What this Study Adds", "Methods", "Isolated Heart Preparation", "Overview of Experimental Procedure", "PFA Catheter and System", "Offset Tool", "Lesion Imaging and Analysis", "Modeling", "Statistical Methods", "Results", "Lesion Assessment (Isolated Heart Tissue)", "Numerical Modeling", "Discussion", "Limitations", "Conclusions", "Article Information", "Sources of Funding", "Disclosures", "Supplemental Material", "Supplementary Material" ]
[ "Temperature-based ablation technologies such as radiofrequency ablation or cryoablation require direct tissue contact for energy transfer.\nPulsed field ablation is a field-based technology resulting in cell death via exposure of tissue to electric fields exceeding the threshold for irreversible electroporation.", "Although ablation using pulsed fields does not require direct tissue contact for myocardial lesion creation, the deepest lesion were observed with direct tissue contact.", "This research protocol was approved by the Institutional Animal Care and Use Committee of the University of Minnesota and the animal experiments were performed at the University of Minnesota. The data that support the findings of this study are available from the corresponding author upon reasonable request.\n Isolated Heart Preparation Isolated hearts were prepared from male Yorkshire pigs (n=8, mean weight 76.4±9.4 kg [SD]) as previously described.18 In brief, the hearts are explanted in toto, and, after a period of cardioplegic cardiac arrest, reperfused with modified Krebs-Henseleit buffer during which sinus cardiac rhythm, physiological temperatures (37 °C), and pressures were maintained throughout the experiment.\nIsolated hearts were prepared from male Yorkshire pigs (n=8, mean weight 76.4±9.4 kg [SD]) as previously described.18 In brief, the hearts are explanted in toto, and, after a period of cardioplegic cardiac arrest, reperfused with modified Krebs-Henseleit buffer during which sinus cardiac rhythm, physiological temperatures (37 °C), and pressures were maintained throughout the experiment.\n Overview of Experimental Procedure The isolated porcine heart was reanimated on the apparatus,18 and once stable function was achieved, lesions were created on the epicardial surface of the beating ventricles using an offset tool filled with heparinized blood, PFA catheter, and PFA generator as described below. Three to 5 PFA lesions were created on the epicardial surface of the heart. For each lesion, 4 pulse trains were delivered. The left ventricle was chosen due to its wall thickness, to optimize a lesion dose-response curve. After a period of 2 hours of continued beating heart perfusion, tissue sections were excised for imaging. Freshly excised lesions, the triphenyl tetrazolium chloride (TTC) stained lesions, and cross-sections of TTC-stained lesions were imaged and analyzed using ImageJ software.19 Cross-sectioning was performed on the long axis of the lesion approximately orthogonal to the surface.\nThe isolated porcine heart was reanimated on the apparatus,18 and once stable function was achieved, lesions were created on the epicardial surface of the beating ventricles using an offset tool filled with heparinized blood, PFA catheter, and PFA generator as described below. Three to 5 PFA lesions were created on the epicardial surface of the heart. For each lesion, 4 pulse trains were delivered. The left ventricle was chosen due to its wall thickness, to optimize a lesion dose-response curve. After a period of 2 hours of continued beating heart perfusion, tissue sections were excised for imaging. Freshly excised lesions, the triphenyl tetrazolium chloride (TTC) stained lesions, and cross-sections of TTC-stained lesions were imaged and analyzed using ImageJ software.19 Cross-sectioning was performed on the long axis of the lesion approximately orthogonal to the surface.\n PFA Catheter and System A prototype PFA catheter with a linear arrangement of 4 electrodes was built as shown in Figures 1A and 1B. A custom PFA research generator delivered 4 trains of high-voltage (1500 V) biphasic, bipolar pulses to the catheter.\nOffset tool and experimental setup. Pulsed field ablation (PFA) catheter with linear 4-electrode array with offset tool open and electrode 1 on the far left (A). The catheter located within the offset tool (with transparent front view) as well as a rendering of the cardiac pulsed field ablation lesion is shown (B). Experimental setup during epicardial PFA lesion creation. The chamber was filled with heparinized blood prior to initiating pulsed field ablation deliveries. C, During placement of the offset apparatus with electrode array positioned against epicardial surface, there was direct electrode-tissue proximity (0 mm, left) or the catheter was pulled back against the pins to ensure consistent distance from the tissue for 2 mm (middle) and 4 mm (right) electrode-tissue distances (D).\nA prototype PFA catheter with a linear arrangement of 4 electrodes was built as shown in Figures 1A and 1B. A custom PFA research generator delivered 4 trains of high-voltage (1500 V) biphasic, bipolar pulses to the catheter.\nOffset tool and experimental setup. Pulsed field ablation (PFA) catheter with linear 4-electrode array with offset tool open and electrode 1 on the far left (A). The catheter located within the offset tool (with transparent front view) as well as a rendering of the cardiac pulsed field ablation lesion is shown (B). Experimental setup during epicardial PFA lesion creation. The chamber was filled with heparinized blood prior to initiating pulsed field ablation deliveries. C, During placement of the offset apparatus with electrode array positioned against epicardial surface, there was direct electrode-tissue proximity (0 mm, left) or the catheter was pulled back against the pins to ensure consistent distance from the tissue for 2 mm (middle) and 4 mm (right) electrode-tissue distances (D).\n Offset Tool An offset tool was developed to precisely control distance of the PFA electrodes from the epicardial surface (Figure 1A through 1C). Using different configurations, this tool allowed the PFA electrode array to be placed either directly on the epicardial surface (0 mm, Figure 1D, left), or at an offset of either 2 mm or 4 mm (Figure 1D, middle and right, respectively) as measured between the electrodes and the tissue surface. The electrodes were held against the pegs opposite of the tissue to ensure that there were no obstructions between the electrode array and the tissue to minimize any effect of the tool on the electric field distribution. During energy delivery, the catheter electrode chamber of the offset tool was filled with noncirculating heparinized blood. Three to 5 lesions were made on each porcine heart. Each heart had ablations performed at 0, 2, and 4 mm offset with additional ablations randomized (giving equal probability to additional 0, 2, and 4 mm offset) when surface area allowed.\nAn offset tool was developed to precisely control distance of the PFA electrodes from the epicardial surface (Figure 1A through 1C). Using different configurations, this tool allowed the PFA electrode array to be placed either directly on the epicardial surface (0 mm, Figure 1D, left), or at an offset of either 2 mm or 4 mm (Figure 1D, middle and right, respectively) as measured between the electrodes and the tissue surface. The electrodes were held against the pegs opposite of the tissue to ensure that there were no obstructions between the electrode array and the tissue to minimize any effect of the tool on the electric field distribution. During energy delivery, the catheter electrode chamber of the offset tool was filled with noncirculating heparinized blood. Three to 5 lesions were made on each porcine heart. Each heart had ablations performed at 0, 2, and 4 mm offset with additional ablations randomized (giving equal probability to additional 0, 2, and 4 mm offset) when surface area allowed.\n Lesion Imaging and Analysis The primary endpoint to demonstrate the effect of electrode-tissue proximity on PFA ablation was lesion depth. Tissue was stained using 1% TTC at ≈37 °C for 3 minutes. Lesion dimensions were then measured using ImageJ software (National Institute of Health).\nThe primary endpoint to demonstrate the effect of electrode-tissue proximity on PFA ablation was lesion depth. Tissue was stained using 1% TTC at ≈37 °C for 3 minutes. Lesion dimensions were then measured using ImageJ software (National Institute of Health).\n Modeling COMSOL Multiphysics (Comsol AB, Stockholm, Sweden) was used for numerical simulation. The CAD model of the offset tool and catheter was placed adjacent to a 35×65×10 mm cuboid representing the ventricular tissue. A cuboid with the same dimensions was placed below the ventricular tissue to represent the perfusate-filled heart chamber (Figure 2). The tissue was modeled with anisotropic conductivity of myocardium, with a change in fiber direction of 180° between the epicardial and endocardial surface.20 The tissue conductivity also included an electric field–dependent conductivity increase. A similar model was created (marked as unlimited model) in which the offset tool was removed (Figure 2). A more detailed description of the model and equations used in the modeling as well as the material properties used in the simulations are listed in Supplementary Materials (Table S1).\nVisual comparison of the 2 COMSOL Multiphysics geometries used in the numerical simulations at a distance of 2 mm from tissue. Both parts have the blood (and offset tool) cut out for better clarity through a plane passing through the center of the experimental catheter. A, Numerical model. B, Numerical model without offset tool. The blood pool and myocardium were extended by 10 mm on each side to prevent the edge of the model space from affecting the results.\nThe models were solved in a time domain study, where 1500 V was applied to the electrodes as a boundary condition. The calculated electric field at the end of the pulse trains was exported to MATLAB (Mathworks, Natick, MA) for extracting the lesion width and depth in the same locations as in the experiments. For model validation, simulated current was compared with measured values, and a good agreement was obtained (Table S2).\nThe numerical model was used to extract lesion depths at 7 sites below the catheter using a range of electric field thresholds (400–800 V/cm in 10 V/cm increments). These data were used to train an explicit numerical model of depth as a function of electrode-tissue distance and threshold that included all values not directly modeled. Subsequently, this model was used to calculate the threshold electric field value for the cardiac tissue that best fit each experimental result.\nCOMSOL Multiphysics (Comsol AB, Stockholm, Sweden) was used for numerical simulation. The CAD model of the offset tool and catheter was placed adjacent to a 35×65×10 mm cuboid representing the ventricular tissue. A cuboid with the same dimensions was placed below the ventricular tissue to represent the perfusate-filled heart chamber (Figure 2). The tissue was modeled with anisotropic conductivity of myocardium, with a change in fiber direction of 180° between the epicardial and endocardial surface.20 The tissue conductivity also included an electric field–dependent conductivity increase. A similar model was created (marked as unlimited model) in which the offset tool was removed (Figure 2). A more detailed description of the model and equations used in the modeling as well as the material properties used in the simulations are listed in Supplementary Materials (Table S1).\nVisual comparison of the 2 COMSOL Multiphysics geometries used in the numerical simulations at a distance of 2 mm from tissue. Both parts have the blood (and offset tool) cut out for better clarity through a plane passing through the center of the experimental catheter. A, Numerical model. B, Numerical model without offset tool. The blood pool and myocardium were extended by 10 mm on each side to prevent the edge of the model space from affecting the results.\nThe models were solved in a time domain study, where 1500 V was applied to the electrodes as a boundary condition. The calculated electric field at the end of the pulse trains was exported to MATLAB (Mathworks, Natick, MA) for extracting the lesion width and depth in the same locations as in the experiments. For model validation, simulated current was compared with measured values, and a good agreement was obtained (Table S2).\nThe numerical model was used to extract lesion depths at 7 sites below the catheter using a range of electric field thresholds (400–800 V/cm in 10 V/cm increments). These data were used to train an explicit numerical model of depth as a function of electrode-tissue distance and threshold that included all values not directly modeled. Subsequently, this model was used to calculate the threshold electric field value for the cardiac tissue that best fit each experimental result.\n Statistical Methods One-way ANOVA using the Tukey method for multiple comparisons or linear regression analyses was used to evaluate the relationship between lesion size and offset of lesions (Minitab 20.1.3). A mixed effects model was used to evaluate inter-animal variability. Statistical significance was inferred if P values were <0.05.\nOne-way ANOVA using the Tukey method for multiple comparisons or linear regression analyses was used to evaluate the relationship between lesion size and offset of lesions (Minitab 20.1.3). A mixed effects model was used to evaluate inter-animal variability. Statistical significance was inferred if P values were <0.05.", "Isolated hearts were prepared from male Yorkshire pigs (n=8, mean weight 76.4±9.4 kg [SD]) as previously described.18 In brief, the hearts are explanted in toto, and, after a period of cardioplegic cardiac arrest, reperfused with modified Krebs-Henseleit buffer during which sinus cardiac rhythm, physiological temperatures (37 °C), and pressures were maintained throughout the experiment.", "The isolated porcine heart was reanimated on the apparatus,18 and once stable function was achieved, lesions were created on the epicardial surface of the beating ventricles using an offset tool filled with heparinized blood, PFA catheter, and PFA generator as described below. Three to 5 PFA lesions were created on the epicardial surface of the heart. For each lesion, 4 pulse trains were delivered. The left ventricle was chosen due to its wall thickness, to optimize a lesion dose-response curve. After a period of 2 hours of continued beating heart perfusion, tissue sections were excised for imaging. Freshly excised lesions, the triphenyl tetrazolium chloride (TTC) stained lesions, and cross-sections of TTC-stained lesions were imaged and analyzed using ImageJ software.19 Cross-sectioning was performed on the long axis of the lesion approximately orthogonal to the surface.", "A prototype PFA catheter with a linear arrangement of 4 electrodes was built as shown in Figures 1A and 1B. A custom PFA research generator delivered 4 trains of high-voltage (1500 V) biphasic, bipolar pulses to the catheter.\nOffset tool and experimental setup. Pulsed field ablation (PFA) catheter with linear 4-electrode array with offset tool open and electrode 1 on the far left (A). The catheter located within the offset tool (with transparent front view) as well as a rendering of the cardiac pulsed field ablation lesion is shown (B). Experimental setup during epicardial PFA lesion creation. The chamber was filled with heparinized blood prior to initiating pulsed field ablation deliveries. C, During placement of the offset apparatus with electrode array positioned against epicardial surface, there was direct electrode-tissue proximity (0 mm, left) or the catheter was pulled back against the pins to ensure consistent distance from the tissue for 2 mm (middle) and 4 mm (right) electrode-tissue distances (D).", "An offset tool was developed to precisely control distance of the PFA electrodes from the epicardial surface (Figure 1A through 1C). Using different configurations, this tool allowed the PFA electrode array to be placed either directly on the epicardial surface (0 mm, Figure 1D, left), or at an offset of either 2 mm or 4 mm (Figure 1D, middle and right, respectively) as measured between the electrodes and the tissue surface. The electrodes were held against the pegs opposite of the tissue to ensure that there were no obstructions between the electrode array and the tissue to minimize any effect of the tool on the electric field distribution. During energy delivery, the catheter electrode chamber of the offset tool was filled with noncirculating heparinized blood. Three to 5 lesions were made on each porcine heart. Each heart had ablations performed at 0, 2, and 4 mm offset with additional ablations randomized (giving equal probability to additional 0, 2, and 4 mm offset) when surface area allowed.", "The primary endpoint to demonstrate the effect of electrode-tissue proximity on PFA ablation was lesion depth. Tissue was stained using 1% TTC at ≈37 °C for 3 minutes. Lesion dimensions were then measured using ImageJ software (National Institute of Health).", "COMSOL Multiphysics (Comsol AB, Stockholm, Sweden) was used for numerical simulation. The CAD model of the offset tool and catheter was placed adjacent to a 35×65×10 mm cuboid representing the ventricular tissue. A cuboid with the same dimensions was placed below the ventricular tissue to represent the perfusate-filled heart chamber (Figure 2). The tissue was modeled with anisotropic conductivity of myocardium, with a change in fiber direction of 180° between the epicardial and endocardial surface.20 The tissue conductivity also included an electric field–dependent conductivity increase. A similar model was created (marked as unlimited model) in which the offset tool was removed (Figure 2). A more detailed description of the model and equations used in the modeling as well as the material properties used in the simulations are listed in Supplementary Materials (Table S1).\nVisual comparison of the 2 COMSOL Multiphysics geometries used in the numerical simulations at a distance of 2 mm from tissue. Both parts have the blood (and offset tool) cut out for better clarity through a plane passing through the center of the experimental catheter. A, Numerical model. B, Numerical model without offset tool. The blood pool and myocardium were extended by 10 mm on each side to prevent the edge of the model space from affecting the results.\nThe models were solved in a time domain study, where 1500 V was applied to the electrodes as a boundary condition. The calculated electric field at the end of the pulse trains was exported to MATLAB (Mathworks, Natick, MA) for extracting the lesion width and depth in the same locations as in the experiments. For model validation, simulated current was compared with measured values, and a good agreement was obtained (Table S2).\nThe numerical model was used to extract lesion depths at 7 sites below the catheter using a range of electric field thresholds (400–800 V/cm in 10 V/cm increments). These data were used to train an explicit numerical model of depth as a function of electrode-tissue distance and threshold that included all values not directly modeled. Subsequently, this model was used to calculate the threshold electric field value for the cardiac tissue that best fit each experimental result.", "One-way ANOVA using the Tukey method for multiple comparisons or linear regression analyses was used to evaluate the relationship between lesion size and offset of lesions (Minitab 20.1.3). A mixed effects model was used to evaluate inter-animal variability. Statistical significance was inferred if P values were <0.05.", " Lesion Assessment (Isolated Heart Tissue) A total of 32 ablations were performed across the 8 hearts; 11 at 0 mm offset, 11 at 2 mm offset, and 10 at 4 mm offset. Figure 3 shows superficial TTC-stained images from transversely cut TTC-stained images from tissue (left) and uncut tissue slices (right) for PFA applications at 0 mm, 2 mm and 4 mm offset. Lesion depth (Figure 4A and 4B) and width (Figure 4C and 4D) decreased significantly as the distance between epicardial surface and electrodes increased. Lesion depths averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Lesion widths averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Shown are individual lesion depths (in mm) with linear regression curves (Figure 4A: linear slope −0.7413, R2=0.91, P<0.0001; Figure 4C: linear slope=−0.8979, R2=0.65, P<0.0001), as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (Figure 4B and 4D). One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P values for between-group comparisons are P<0.001 for depth, and P<0.01 for width). Accounting for multiple lesions performed on each porcine heart with a mixed model, the results were similar to the linear regression model due to no significant difference or major variability in lesion depth or width between each animal.\nSample lesion images. We need to change this Figure legend to as follows: Shown are superficial tetrazolium chloride (TTC) stained images from transversely cut tissue slices (left) at 0 mm, 2 mm, and 4 mm offset as well as uncut tissue slices (lesions seen from above, width measurements indicated by yellow lines, right).\nLesion depth (A and B) and width (C and D) decreased significantly as the distance between epicardial surface and electrodes increased. Shown are individual lesion depths (in mm) with linear regression curves (A: linear slope −0.7413, R2=0.91; C: linear slope=−0.8979, R2=0.65) as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (B and D). Lesion depth-averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. Lesion width averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P<0.001 for depth, and P<0.01 for width).\nA total of 32 ablations were performed across the 8 hearts; 11 at 0 mm offset, 11 at 2 mm offset, and 10 at 4 mm offset. Figure 3 shows superficial TTC-stained images from transversely cut TTC-stained images from tissue (left) and uncut tissue slices (right) for PFA applications at 0 mm, 2 mm and 4 mm offset. Lesion depth (Figure 4A and 4B) and width (Figure 4C and 4D) decreased significantly as the distance between epicardial surface and electrodes increased. Lesion depths averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Lesion widths averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Shown are individual lesion depths (in mm) with linear regression curves (Figure 4A: linear slope −0.7413, R2=0.91, P<0.0001; Figure 4C: linear slope=−0.8979, R2=0.65, P<0.0001), as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (Figure 4B and 4D). One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P values for between-group comparisons are P<0.001 for depth, and P<0.01 for width). Accounting for multiple lesions performed on each porcine heart with a mixed model, the results were similar to the linear regression model due to no significant difference or major variability in lesion depth or width between each animal.\nSample lesion images. We need to change this Figure legend to as follows: Shown are superficial tetrazolium chloride (TTC) stained images from transversely cut tissue slices (left) at 0 mm, 2 mm, and 4 mm offset as well as uncut tissue slices (lesions seen from above, width measurements indicated by yellow lines, right).\nLesion depth (A and B) and width (C and D) decreased significantly as the distance between epicardial surface and electrodes increased. Shown are individual lesion depths (in mm) with linear regression curves (A: linear slope −0.7413, R2=0.91; C: linear slope=−0.8979, R2=0.65) as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (B and D). Lesion depth-averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. Lesion width averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P<0.001 for depth, and P<0.01 for width).\n Numerical Modeling The average lethal dose threshold value of cardiac tissue (N=6) was determined to be 489±22 V/cm. That means the model on average best matched the ex vivo data when 489±22 V/cm was used as the threshold for defining the lesion boundary. This value was used to generate 2 optimized models: the Numerical model and the Numerical model without the offset tool (Figure 5).\nNumerically predicted lesion sizes. This figure shows the Numerical model (blue area, continuous outline) compared with the Numerical model without the offset tool (pink area, dotted outline). The offset tool induced some additional lesion formation at the edges, where the concentration of the current density resulted in higher local electric field in comparison to the unlimited model, which is most obvious in the top view and consistent with the experimental results shown in Figure 2.\nFigure 6 presents the ex vivo data, the modeling of the ex vivo data (Numerical model), and an infinite blood pool model which removes the offset tool (Numerical model without the offset tool). The results of the numerical models correspond well with linear trends observed in the ex vivo data. Regression lines calculated for the ex vivo data and the Numerical model had slopes of –0.740 and –0.723 (mm depth/ mm offset) respectively (regression lines are not shown in Figure 6). The Numerical model without the offset tool had a slope of –0.947 (mm depth/ mm offset).\n\nLesion depth as a function of offset distance observed experimentally (ex vivo), compared to lesion depth calculated using a numerical model mimicking the experimental model (numerical model), as well as using a model in which the offset tool was removed (numerical model without offset tool).\n\nThe average lethal dose threshold value of cardiac tissue (N=6) was determined to be 489±22 V/cm. That means the model on average best matched the ex vivo data when 489±22 V/cm was used as the threshold for defining the lesion boundary. This value was used to generate 2 optimized models: the Numerical model and the Numerical model without the offset tool (Figure 5).\nNumerically predicted lesion sizes. This figure shows the Numerical model (blue area, continuous outline) compared with the Numerical model without the offset tool (pink area, dotted outline). The offset tool induced some additional lesion formation at the edges, where the concentration of the current density resulted in higher local electric field in comparison to the unlimited model, which is most obvious in the top view and consistent with the experimental results shown in Figure 2.\nFigure 6 presents the ex vivo data, the modeling of the ex vivo data (Numerical model), and an infinite blood pool model which removes the offset tool (Numerical model without the offset tool). The results of the numerical models correspond well with linear trends observed in the ex vivo data. Regression lines calculated for the ex vivo data and the Numerical model had slopes of –0.740 and –0.723 (mm depth/ mm offset) respectively (regression lines are not shown in Figure 6). The Numerical model without the offset tool had a slope of –0.947 (mm depth/ mm offset).\n\nLesion depth as a function of offset distance observed experimentally (ex vivo), compared to lesion depth calculated using a numerical model mimicking the experimental model (numerical model), as well as using a model in which the offset tool was removed (numerical model without offset tool).\n", "A total of 32 ablations were performed across the 8 hearts; 11 at 0 mm offset, 11 at 2 mm offset, and 10 at 4 mm offset. Figure 3 shows superficial TTC-stained images from transversely cut TTC-stained images from tissue (left) and uncut tissue slices (right) for PFA applications at 0 mm, 2 mm and 4 mm offset. Lesion depth (Figure 4A and 4B) and width (Figure 4C and 4D) decreased significantly as the distance between epicardial surface and electrodes increased. Lesion depths averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Lesion widths averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Shown are individual lesion depths (in mm) with linear regression curves (Figure 4A: linear slope −0.7413, R2=0.91, P<0.0001; Figure 4C: linear slope=−0.8979, R2=0.65, P<0.0001), as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (Figure 4B and 4D). One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P values for between-group comparisons are P<0.001 for depth, and P<0.01 for width). Accounting for multiple lesions performed on each porcine heart with a mixed model, the results were similar to the linear regression model due to no significant difference or major variability in lesion depth or width between each animal.\nSample lesion images. We need to change this Figure legend to as follows: Shown are superficial tetrazolium chloride (TTC) stained images from transversely cut tissue slices (left) at 0 mm, 2 mm, and 4 mm offset as well as uncut tissue slices (lesions seen from above, width measurements indicated by yellow lines, right).\nLesion depth (A and B) and width (C and D) decreased significantly as the distance between epicardial surface and electrodes increased. Shown are individual lesion depths (in mm) with linear regression curves (A: linear slope −0.7413, R2=0.91; C: linear slope=−0.8979, R2=0.65) as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (B and D). Lesion depth-averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. Lesion width averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P<0.001 for depth, and P<0.01 for width).", "The average lethal dose threshold value of cardiac tissue (N=6) was determined to be 489±22 V/cm. That means the model on average best matched the ex vivo data when 489±22 V/cm was used as the threshold for defining the lesion boundary. This value was used to generate 2 optimized models: the Numerical model and the Numerical model without the offset tool (Figure 5).\nNumerically predicted lesion sizes. This figure shows the Numerical model (blue area, continuous outline) compared with the Numerical model without the offset tool (pink area, dotted outline). The offset tool induced some additional lesion formation at the edges, where the concentration of the current density resulted in higher local electric field in comparison to the unlimited model, which is most obvious in the top view and consistent with the experimental results shown in Figure 2.\nFigure 6 presents the ex vivo data, the modeling of the ex vivo data (Numerical model), and an infinite blood pool model which removes the offset tool (Numerical model without the offset tool). The results of the numerical models correspond well with linear trends observed in the ex vivo data. Regression lines calculated for the ex vivo data and the Numerical model had slopes of –0.740 and –0.723 (mm depth/ mm offset) respectively (regression lines are not shown in Figure 6). The Numerical model without the offset tool had a slope of –0.947 (mm depth/ mm offset).\n\nLesion depth as a function of offset distance observed experimentally (ex vivo), compared to lesion depth calculated using a numerical model mimicking the experimental model (numerical model), as well as using a model in which the offset tool was removed (numerical model without offset tool).\n", "We have demonstrated that biphasic, bipolar PFA deliveries using a prototype catheter can form cardiac lesions even in the absence of direct electrode-tissue contact. Although direct electrode-tissue contact was not required to achieve a lesion, we demonstrated that a distance of 0 mm between the electrodes and target tissue resulted in the deepest lesions. The relationship between electrode-tissue proximity and lesion size showed a high linear correlation of R2=0.91. Furthermore, comparison of the experimental results to numerical modeling gave an estimate of the threshold value of cardiac susceptibility to PFA of 489±22 V/cm, which needs to be considered specific to this waveform delivery and system.\nExisting preclinical work has indicated that heavily trabeculated appendages can be ablated in a durable, transmural manner with a circular PFA catheter, providing indirect evidence that PFA may result in lesions without direct electrode-tissue contact.16 Recently, Nakagawa et al21 reported no lesions when a focal catheter (3.5 mm irrigated TactiCath SE, Abbott) was ≈2 mm from the endocardium after PFA (Centauri, Galaxy Medical) when used in conjunction with electro-anatomical mapping and a unipolar PFA ablation system. Nevertheless, the well-controlled electrode-tissue proximity used in our study provides direct evidence of the ability of a biphasic, bipolar PFA system to create cardiac lesions in a beating heart ex vivo in the 0 mm offset distance case. Given challenges in achieving consistent and safe catheter stability using standard ablation catheters, particularly in trabeculated tissue or intracavitary cardiac structures, the ability to create lesions without need for perfect placement of electrodes on the target tissue is appealing.\nLesion dimension assessments were consistent with numerical modeling; both lesion depth and width decrease with increasing electrode-tissue distance. The slopes observed in the ex vivo study and the numerical model showed values of −0.74 (ex vivo), and −0.72 (Numerical model), respectively. This means that for every millimeter of offset distance added, the lesion depth decreased by an average of 0.74 mm (ex vivo) and 0.72 mm (Numerical model). However, when modeling the system without the offset tool (Numerical model without the offset tool), the calculated slope was −0.945, suggesting that the field distribution in blood and tissue was similar and approximating a 1:1 relationship.\nAlthough these findings are specific to this device and waveform, clinically these results may be relevant to the growing field of PFA, in which multiple systems are employing multipolar PFA catheters. This is advantageous since larger regions can be targeted (like entire pulmonary veins), allowing for a shorter, more time-efficient procedure. However, given the natural variations in human cardiac anatomy, it is often not possible to orient a large, multipolar device to have complete and perfect electrode-tissue proximity along its entire circumference. As we are still able to create lesions without direct electrode-tissue contact, PFA can be considered more forgiving than thermal sources of ablation where a lack of direct electrode-tissue proximity results in no lesion formation. However, inadequate lesion formation may result without direct electrode-tissue contact.22 Current clinical workflow of most PFA systems involving multiple applications and overlapping catheter positioning is therefore likely justified to ensure optimal, contiguous lesion formation.\n Limitations This experimental study was conducted under controlled laboratory conditions using an isolated porcine working heart model perfused with Krebs-Henseleit buffer. Only the ventricular myocardium was targeted in order to facilitate clear lesion visualization and measurements. Applicability of this work to clinical practice will require further study, including in diseased cardiac tissues (eg, remodeled atrial tissue, infarcted fibrotic ventricular tissue) and long-term durability of lesions. With regards to the limitation of lesion durability, it should be noted that tetrazolium chloride has been shown to correlate very well with histological cell damage in cardiac ischemic cell death and is widely used in preclinical histopathological studies.23 Also, reported lesion dimensions of these epicardial lesions may not be representative of endocardial lesion dimensions.\nIn order to address the potential limitation of directing the electrical field with the offset tool, we modeled the catheter offset and its effects on cardiac lesions without the offset tool. The Unlimited model was comprehensive, including electrical and thermal conductivity and heat capacity (Supplementary Appendix). Although a small effect of the offset tool was observed, the numerical model with the offset tool matched the experimental setup very well, providing good confidence that the Unlimited model represents reality accurately.\nThis investigation employed a prototype catheter that was custom-built for research purposes and does not represent PFA systems in clinical use. Each PFA system design is different, and this data cannot be extrapolated to other PFA systems, waveforms, or catheters. Furthermore, we have only investigated one set of pulse wave parameters based on what has been investigated in the PULSED AF clinical study (https://clinicaltrials.gov/ct2/show/NCT04198701), which has not yet been Food and Drug Administration approved or received regulatory approval for commercialization.11 For example, we do not know if a similar phenomenon could be observed using unipolar PFA delivery.\nThis experimental study was conducted under controlled laboratory conditions using an isolated porcine working heart model perfused with Krebs-Henseleit buffer. Only the ventricular myocardium was targeted in order to facilitate clear lesion visualization and measurements. Applicability of this work to clinical practice will require further study, including in diseased cardiac tissues (eg, remodeled atrial tissue, infarcted fibrotic ventricular tissue) and long-term durability of lesions. With regards to the limitation of lesion durability, it should be noted that tetrazolium chloride has been shown to correlate very well with histological cell damage in cardiac ischemic cell death and is widely used in preclinical histopathological studies.23 Also, reported lesion dimensions of these epicardial lesions may not be representative of endocardial lesion dimensions.\nIn order to address the potential limitation of directing the electrical field with the offset tool, we modeled the catheter offset and its effects on cardiac lesions without the offset tool. The Unlimited model was comprehensive, including electrical and thermal conductivity and heat capacity (Supplementary Appendix). Although a small effect of the offset tool was observed, the numerical model with the offset tool matched the experimental setup very well, providing good confidence that the Unlimited model represents reality accurately.\nThis investigation employed a prototype catheter that was custom-built for research purposes and does not represent PFA systems in clinical use. Each PFA system design is different, and this data cannot be extrapolated to other PFA systems, waveforms, or catheters. Furthermore, we have only investigated one set of pulse wave parameters based on what has been investigated in the PULSED AF clinical study (https://clinicaltrials.gov/ct2/show/NCT04198701), which has not yet been Food and Drug Administration approved or received regulatory approval for commercialization.11 For example, we do not know if a similar phenomenon could be observed using unipolar PFA delivery.\n Conclusions This study provides strong evidence that pulsed electric fields create cardiac lesions even in the absence of direct electrode-tissue contact case. We demonstrate lesion creation even when the PFA electrodes were as far as 4 mm from the epicardial surface. However, the optimal, deepest lesions were created with 0 mm offset distance.\nThis study provides strong evidence that pulsed electric fields create cardiac lesions even in the absence of direct electrode-tissue contact case. We demonstrate lesion creation even when the PFA electrodes were as far as 4 mm from the epicardial surface. However, the optimal, deepest lesions were created with 0 mm offset distance.", "This experimental study was conducted under controlled laboratory conditions using an isolated porcine working heart model perfused with Krebs-Henseleit buffer. Only the ventricular myocardium was targeted in order to facilitate clear lesion visualization and measurements. Applicability of this work to clinical practice will require further study, including in diseased cardiac tissues (eg, remodeled atrial tissue, infarcted fibrotic ventricular tissue) and long-term durability of lesions. With regards to the limitation of lesion durability, it should be noted that tetrazolium chloride has been shown to correlate very well with histological cell damage in cardiac ischemic cell death and is widely used in preclinical histopathological studies.23 Also, reported lesion dimensions of these epicardial lesions may not be representative of endocardial lesion dimensions.\nIn order to address the potential limitation of directing the electrical field with the offset tool, we modeled the catheter offset and its effects on cardiac lesions without the offset tool. The Unlimited model was comprehensive, including electrical and thermal conductivity and heat capacity (Supplementary Appendix). Although a small effect of the offset tool was observed, the numerical model with the offset tool matched the experimental setup very well, providing good confidence that the Unlimited model represents reality accurately.\nThis investigation employed a prototype catheter that was custom-built for research purposes and does not represent PFA systems in clinical use. Each PFA system design is different, and this data cannot be extrapolated to other PFA systems, waveforms, or catheters. Furthermore, we have only investigated one set of pulse wave parameters based on what has been investigated in the PULSED AF clinical study (https://clinicaltrials.gov/ct2/show/NCT04198701), which has not yet been Food and Drug Administration approved or received regulatory approval for commercialization.11 For example, we do not know if a similar phenomenon could be observed using unipolar PFA delivery.", "This study provides strong evidence that pulsed electric fields create cardiac lesions even in the absence of direct electrode-tissue contact case. We demonstrate lesion creation even when the PFA electrodes were as far as 4 mm from the epicardial surface. However, the optimal, deepest lesions were created with 0 mm offset distance.", " Sources of Funding This study was funded by Medtronic.\nThis study was funded by Medtronic.\n Disclosures Dr Howard, Dr Mattison, Dr Onal, M.T. Stewart, and Dr Sigg are employees of Medtronic. Drs Verma, Tzou, Kos, and Miklavčič are Medtronic consultants.\nDr Howard, Dr Mattison, Dr Onal, M.T. Stewart, and Dr Sigg are employees of Medtronic. Drs Verma, Tzou, Kos, and Miklavčič are Medtronic consultants.\n Supplemental Material Supplemental Methods\nDetailed Model Description\nTables S1–S2\nReferences24–29\nSupplemental Methods\nDetailed Model Description\nTables S1–S2\nReferences24–29", "This study was funded by Medtronic.", "Dr Howard, Dr Mattison, Dr Onal, M.T. Stewart, and Dr Sigg are employees of Medtronic. Drs Verma, Tzou, Kos, and Miklavčič are Medtronic consultants.", "Supplemental Methods\nDetailed Model Description\nTables S1–S2\nReferences24–29", "" ]
[ null, null, "methods", null, "methods", null, null, null, null, "methods", "results", null, null, "discussion", null, "conclusions", null, null, "COI-Statement", null, "supplementary-material" ]
[ "arrhythmia, cardiac", "atrial fibrillation", "cardiac ablation", "chloride", "electrode" ]
What Is Known?: Temperature-based ablation technologies such as radiofrequency ablation or cryoablation require direct tissue contact for energy transfer. Pulsed field ablation is a field-based technology resulting in cell death via exposure of tissue to electric fields exceeding the threshold for irreversible electroporation. What this Study Adds: Although ablation using pulsed fields does not require direct tissue contact for myocardial lesion creation, the deepest lesion were observed with direct tissue contact. Methods: This research protocol was approved by the Institutional Animal Care and Use Committee of the University of Minnesota and the animal experiments were performed at the University of Minnesota. The data that support the findings of this study are available from the corresponding author upon reasonable request. Isolated Heart Preparation Isolated hearts were prepared from male Yorkshire pigs (n=8, mean weight 76.4±9.4 kg [SD]) as previously described.18 In brief, the hearts are explanted in toto, and, after a period of cardioplegic cardiac arrest, reperfused with modified Krebs-Henseleit buffer during which sinus cardiac rhythm, physiological temperatures (37 °C), and pressures were maintained throughout the experiment. Isolated hearts were prepared from male Yorkshire pigs (n=8, mean weight 76.4±9.4 kg [SD]) as previously described.18 In brief, the hearts are explanted in toto, and, after a period of cardioplegic cardiac arrest, reperfused with modified Krebs-Henseleit buffer during which sinus cardiac rhythm, physiological temperatures (37 °C), and pressures were maintained throughout the experiment. Overview of Experimental Procedure The isolated porcine heart was reanimated on the apparatus,18 and once stable function was achieved, lesions were created on the epicardial surface of the beating ventricles using an offset tool filled with heparinized blood, PFA catheter, and PFA generator as described below. Three to 5 PFA lesions were created on the epicardial surface of the heart. For each lesion, 4 pulse trains were delivered. The left ventricle was chosen due to its wall thickness, to optimize a lesion dose-response curve. After a period of 2 hours of continued beating heart perfusion, tissue sections were excised for imaging. Freshly excised lesions, the triphenyl tetrazolium chloride (TTC) stained lesions, and cross-sections of TTC-stained lesions were imaged and analyzed using ImageJ software.19 Cross-sectioning was performed on the long axis of the lesion approximately orthogonal to the surface. The isolated porcine heart was reanimated on the apparatus,18 and once stable function was achieved, lesions were created on the epicardial surface of the beating ventricles using an offset tool filled with heparinized blood, PFA catheter, and PFA generator as described below. Three to 5 PFA lesions were created on the epicardial surface of the heart. For each lesion, 4 pulse trains were delivered. The left ventricle was chosen due to its wall thickness, to optimize a lesion dose-response curve. After a period of 2 hours of continued beating heart perfusion, tissue sections were excised for imaging. Freshly excised lesions, the triphenyl tetrazolium chloride (TTC) stained lesions, and cross-sections of TTC-stained lesions were imaged and analyzed using ImageJ software.19 Cross-sectioning was performed on the long axis of the lesion approximately orthogonal to the surface. PFA Catheter and System A prototype PFA catheter with a linear arrangement of 4 electrodes was built as shown in Figures 1A and 1B. A custom PFA research generator delivered 4 trains of high-voltage (1500 V) biphasic, bipolar pulses to the catheter. Offset tool and experimental setup. Pulsed field ablation (PFA) catheter with linear 4-electrode array with offset tool open and electrode 1 on the far left (A). The catheter located within the offset tool (with transparent front view) as well as a rendering of the cardiac pulsed field ablation lesion is shown (B). Experimental setup during epicardial PFA lesion creation. The chamber was filled with heparinized blood prior to initiating pulsed field ablation deliveries. C, During placement of the offset apparatus with electrode array positioned against epicardial surface, there was direct electrode-tissue proximity (0 mm, left) or the catheter was pulled back against the pins to ensure consistent distance from the tissue for 2 mm (middle) and 4 mm (right) electrode-tissue distances (D). A prototype PFA catheter with a linear arrangement of 4 electrodes was built as shown in Figures 1A and 1B. A custom PFA research generator delivered 4 trains of high-voltage (1500 V) biphasic, bipolar pulses to the catheter. Offset tool and experimental setup. Pulsed field ablation (PFA) catheter with linear 4-electrode array with offset tool open and electrode 1 on the far left (A). The catheter located within the offset tool (with transparent front view) as well as a rendering of the cardiac pulsed field ablation lesion is shown (B). Experimental setup during epicardial PFA lesion creation. The chamber was filled with heparinized blood prior to initiating pulsed field ablation deliveries. C, During placement of the offset apparatus with electrode array positioned against epicardial surface, there was direct electrode-tissue proximity (0 mm, left) or the catheter was pulled back against the pins to ensure consistent distance from the tissue for 2 mm (middle) and 4 mm (right) electrode-tissue distances (D). Offset Tool An offset tool was developed to precisely control distance of the PFA electrodes from the epicardial surface (Figure 1A through 1C). Using different configurations, this tool allowed the PFA electrode array to be placed either directly on the epicardial surface (0 mm, Figure 1D, left), or at an offset of either 2 mm or 4 mm (Figure 1D, middle and right, respectively) as measured between the electrodes and the tissue surface. The electrodes were held against the pegs opposite of the tissue to ensure that there were no obstructions between the electrode array and the tissue to minimize any effect of the tool on the electric field distribution. During energy delivery, the catheter electrode chamber of the offset tool was filled with noncirculating heparinized blood. Three to 5 lesions were made on each porcine heart. Each heart had ablations performed at 0, 2, and 4 mm offset with additional ablations randomized (giving equal probability to additional 0, 2, and 4 mm offset) when surface area allowed. An offset tool was developed to precisely control distance of the PFA electrodes from the epicardial surface (Figure 1A through 1C). Using different configurations, this tool allowed the PFA electrode array to be placed either directly on the epicardial surface (0 mm, Figure 1D, left), or at an offset of either 2 mm or 4 mm (Figure 1D, middle and right, respectively) as measured between the electrodes and the tissue surface. The electrodes were held against the pegs opposite of the tissue to ensure that there were no obstructions between the electrode array and the tissue to minimize any effect of the tool on the electric field distribution. During energy delivery, the catheter electrode chamber of the offset tool was filled with noncirculating heparinized blood. Three to 5 lesions were made on each porcine heart. Each heart had ablations performed at 0, 2, and 4 mm offset with additional ablations randomized (giving equal probability to additional 0, 2, and 4 mm offset) when surface area allowed. Lesion Imaging and Analysis The primary endpoint to demonstrate the effect of electrode-tissue proximity on PFA ablation was lesion depth. Tissue was stained using 1% TTC at ≈37 °C for 3 minutes. Lesion dimensions were then measured using ImageJ software (National Institute of Health). The primary endpoint to demonstrate the effect of electrode-tissue proximity on PFA ablation was lesion depth. Tissue was stained using 1% TTC at ≈37 °C for 3 minutes. Lesion dimensions were then measured using ImageJ software (National Institute of Health). Modeling COMSOL Multiphysics (Comsol AB, Stockholm, Sweden) was used for numerical simulation. The CAD model of the offset tool and catheter was placed adjacent to a 35×65×10 mm cuboid representing the ventricular tissue. A cuboid with the same dimensions was placed below the ventricular tissue to represent the perfusate-filled heart chamber (Figure 2). The tissue was modeled with anisotropic conductivity of myocardium, with a change in fiber direction of 180° between the epicardial and endocardial surface.20 The tissue conductivity also included an electric field–dependent conductivity increase. A similar model was created (marked as unlimited model) in which the offset tool was removed (Figure 2). A more detailed description of the model and equations used in the modeling as well as the material properties used in the simulations are listed in Supplementary Materials (Table S1). Visual comparison of the 2 COMSOL Multiphysics geometries used in the numerical simulations at a distance of 2 mm from tissue. Both parts have the blood (and offset tool) cut out for better clarity through a plane passing through the center of the experimental catheter. A, Numerical model. B, Numerical model without offset tool. The blood pool and myocardium were extended by 10 mm on each side to prevent the edge of the model space from affecting the results. The models were solved in a time domain study, where 1500 V was applied to the electrodes as a boundary condition. The calculated electric field at the end of the pulse trains was exported to MATLAB (Mathworks, Natick, MA) for extracting the lesion width and depth in the same locations as in the experiments. For model validation, simulated current was compared with measured values, and a good agreement was obtained (Table S2). The numerical model was used to extract lesion depths at 7 sites below the catheter using a range of electric field thresholds (400–800 V/cm in 10 V/cm increments). These data were used to train an explicit numerical model of depth as a function of electrode-tissue distance and threshold that included all values not directly modeled. Subsequently, this model was used to calculate the threshold electric field value for the cardiac tissue that best fit each experimental result. COMSOL Multiphysics (Comsol AB, Stockholm, Sweden) was used for numerical simulation. The CAD model of the offset tool and catheter was placed adjacent to a 35×65×10 mm cuboid representing the ventricular tissue. A cuboid with the same dimensions was placed below the ventricular tissue to represent the perfusate-filled heart chamber (Figure 2). The tissue was modeled with anisotropic conductivity of myocardium, with a change in fiber direction of 180° between the epicardial and endocardial surface.20 The tissue conductivity also included an electric field–dependent conductivity increase. A similar model was created (marked as unlimited model) in which the offset tool was removed (Figure 2). A more detailed description of the model and equations used in the modeling as well as the material properties used in the simulations are listed in Supplementary Materials (Table S1). Visual comparison of the 2 COMSOL Multiphysics geometries used in the numerical simulations at a distance of 2 mm from tissue. Both parts have the blood (and offset tool) cut out for better clarity through a plane passing through the center of the experimental catheter. A, Numerical model. B, Numerical model without offset tool. The blood pool and myocardium were extended by 10 mm on each side to prevent the edge of the model space from affecting the results. The models were solved in a time domain study, where 1500 V was applied to the electrodes as a boundary condition. The calculated electric field at the end of the pulse trains was exported to MATLAB (Mathworks, Natick, MA) for extracting the lesion width and depth in the same locations as in the experiments. For model validation, simulated current was compared with measured values, and a good agreement was obtained (Table S2). The numerical model was used to extract lesion depths at 7 sites below the catheter using a range of electric field thresholds (400–800 V/cm in 10 V/cm increments). These data were used to train an explicit numerical model of depth as a function of electrode-tissue distance and threshold that included all values not directly modeled. Subsequently, this model was used to calculate the threshold electric field value for the cardiac tissue that best fit each experimental result. Statistical Methods One-way ANOVA using the Tukey method for multiple comparisons or linear regression analyses was used to evaluate the relationship between lesion size and offset of lesions (Minitab 20.1.3). A mixed effects model was used to evaluate inter-animal variability. Statistical significance was inferred if P values were <0.05. One-way ANOVA using the Tukey method for multiple comparisons or linear regression analyses was used to evaluate the relationship between lesion size and offset of lesions (Minitab 20.1.3). A mixed effects model was used to evaluate inter-animal variability. Statistical significance was inferred if P values were <0.05. Isolated Heart Preparation: Isolated hearts were prepared from male Yorkshire pigs (n=8, mean weight 76.4±9.4 kg [SD]) as previously described.18 In brief, the hearts are explanted in toto, and, after a period of cardioplegic cardiac arrest, reperfused with modified Krebs-Henseleit buffer during which sinus cardiac rhythm, physiological temperatures (37 °C), and pressures were maintained throughout the experiment. Overview of Experimental Procedure: The isolated porcine heart was reanimated on the apparatus,18 and once stable function was achieved, lesions were created on the epicardial surface of the beating ventricles using an offset tool filled with heparinized blood, PFA catheter, and PFA generator as described below. Three to 5 PFA lesions were created on the epicardial surface of the heart. For each lesion, 4 pulse trains were delivered. The left ventricle was chosen due to its wall thickness, to optimize a lesion dose-response curve. After a period of 2 hours of continued beating heart perfusion, tissue sections were excised for imaging. Freshly excised lesions, the triphenyl tetrazolium chloride (TTC) stained lesions, and cross-sections of TTC-stained lesions were imaged and analyzed using ImageJ software.19 Cross-sectioning was performed on the long axis of the lesion approximately orthogonal to the surface. PFA Catheter and System: A prototype PFA catheter with a linear arrangement of 4 electrodes was built as shown in Figures 1A and 1B. A custom PFA research generator delivered 4 trains of high-voltage (1500 V) biphasic, bipolar pulses to the catheter. Offset tool and experimental setup. Pulsed field ablation (PFA) catheter with linear 4-electrode array with offset tool open and electrode 1 on the far left (A). The catheter located within the offset tool (with transparent front view) as well as a rendering of the cardiac pulsed field ablation lesion is shown (B). Experimental setup during epicardial PFA lesion creation. The chamber was filled with heparinized blood prior to initiating pulsed field ablation deliveries. C, During placement of the offset apparatus with electrode array positioned against epicardial surface, there was direct electrode-tissue proximity (0 mm, left) or the catheter was pulled back against the pins to ensure consistent distance from the tissue for 2 mm (middle) and 4 mm (right) electrode-tissue distances (D). Offset Tool: An offset tool was developed to precisely control distance of the PFA electrodes from the epicardial surface (Figure 1A through 1C). Using different configurations, this tool allowed the PFA electrode array to be placed either directly on the epicardial surface (0 mm, Figure 1D, left), or at an offset of either 2 mm or 4 mm (Figure 1D, middle and right, respectively) as measured between the electrodes and the tissue surface. The electrodes were held against the pegs opposite of the tissue to ensure that there were no obstructions between the electrode array and the tissue to minimize any effect of the tool on the electric field distribution. During energy delivery, the catheter electrode chamber of the offset tool was filled with noncirculating heparinized blood. Three to 5 lesions were made on each porcine heart. Each heart had ablations performed at 0, 2, and 4 mm offset with additional ablations randomized (giving equal probability to additional 0, 2, and 4 mm offset) when surface area allowed. Lesion Imaging and Analysis: The primary endpoint to demonstrate the effect of electrode-tissue proximity on PFA ablation was lesion depth. Tissue was stained using 1% TTC at ≈37 °C for 3 minutes. Lesion dimensions were then measured using ImageJ software (National Institute of Health). Modeling: COMSOL Multiphysics (Comsol AB, Stockholm, Sweden) was used for numerical simulation. The CAD model of the offset tool and catheter was placed adjacent to a 35×65×10 mm cuboid representing the ventricular tissue. A cuboid with the same dimensions was placed below the ventricular tissue to represent the perfusate-filled heart chamber (Figure 2). The tissue was modeled with anisotropic conductivity of myocardium, with a change in fiber direction of 180° between the epicardial and endocardial surface.20 The tissue conductivity also included an electric field–dependent conductivity increase. A similar model was created (marked as unlimited model) in which the offset tool was removed (Figure 2). A more detailed description of the model and equations used in the modeling as well as the material properties used in the simulations are listed in Supplementary Materials (Table S1). Visual comparison of the 2 COMSOL Multiphysics geometries used in the numerical simulations at a distance of 2 mm from tissue. Both parts have the blood (and offset tool) cut out for better clarity through a plane passing through the center of the experimental catheter. A, Numerical model. B, Numerical model without offset tool. The blood pool and myocardium were extended by 10 mm on each side to prevent the edge of the model space from affecting the results. The models were solved in a time domain study, where 1500 V was applied to the electrodes as a boundary condition. The calculated electric field at the end of the pulse trains was exported to MATLAB (Mathworks, Natick, MA) for extracting the lesion width and depth in the same locations as in the experiments. For model validation, simulated current was compared with measured values, and a good agreement was obtained (Table S2). The numerical model was used to extract lesion depths at 7 sites below the catheter using a range of electric field thresholds (400–800 V/cm in 10 V/cm increments). These data were used to train an explicit numerical model of depth as a function of electrode-tissue distance and threshold that included all values not directly modeled. Subsequently, this model was used to calculate the threshold electric field value for the cardiac tissue that best fit each experimental result. Statistical Methods: One-way ANOVA using the Tukey method for multiple comparisons or linear regression analyses was used to evaluate the relationship between lesion size and offset of lesions (Minitab 20.1.3). A mixed effects model was used to evaluate inter-animal variability. Statistical significance was inferred if P values were <0.05. Results: Lesion Assessment (Isolated Heart Tissue) A total of 32 ablations were performed across the 8 hearts; 11 at 0 mm offset, 11 at 2 mm offset, and 10 at 4 mm offset. Figure 3 shows superficial TTC-stained images from transversely cut TTC-stained images from tissue (left) and uncut tissue slices (right) for PFA applications at 0 mm, 2 mm and 4 mm offset. Lesion depth (Figure 4A and 4B) and width (Figure 4C and 4D) decreased significantly as the distance between epicardial surface and electrodes increased. Lesion depths averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Lesion widths averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Shown are individual lesion depths (in mm) with linear regression curves (Figure 4A: linear slope −0.7413, R2=0.91, P<0.0001; Figure 4C: linear slope=−0.8979, R2=0.65, P<0.0001), as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (Figure 4B and 4D). One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P values for between-group comparisons are P<0.001 for depth, and P<0.01 for width). Accounting for multiple lesions performed on each porcine heart with a mixed model, the results were similar to the linear regression model due to no significant difference or major variability in lesion depth or width between each animal. Sample lesion images. We need to change this Figure legend to as follows: Shown are superficial tetrazolium chloride (TTC) stained images from transversely cut tissue slices (left) at 0 mm, 2 mm, and 4 mm offset as well as uncut tissue slices (lesions seen from above, width measurements indicated by yellow lines, right). Lesion depth (A and B) and width (C and D) decreased significantly as the distance between epicardial surface and electrodes increased. Shown are individual lesion depths (in mm) with linear regression curves (A: linear slope −0.7413, R2=0.91; C: linear slope=−0.8979, R2=0.65) as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (B and D). Lesion depth-averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. Lesion width averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P<0.001 for depth, and P<0.01 for width). A total of 32 ablations were performed across the 8 hearts; 11 at 0 mm offset, 11 at 2 mm offset, and 10 at 4 mm offset. Figure 3 shows superficial TTC-stained images from transversely cut TTC-stained images from tissue (left) and uncut tissue slices (right) for PFA applications at 0 mm, 2 mm and 4 mm offset. Lesion depth (Figure 4A and 4B) and width (Figure 4C and 4D) decreased significantly as the distance between epicardial surface and electrodes increased. Lesion depths averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Lesion widths averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Shown are individual lesion depths (in mm) with linear regression curves (Figure 4A: linear slope −0.7413, R2=0.91, P<0.0001; Figure 4C: linear slope=−0.8979, R2=0.65, P<0.0001), as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (Figure 4B and 4D). One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P values for between-group comparisons are P<0.001 for depth, and P<0.01 for width). Accounting for multiple lesions performed on each porcine heart with a mixed model, the results were similar to the linear regression model due to no significant difference or major variability in lesion depth or width between each animal. Sample lesion images. We need to change this Figure legend to as follows: Shown are superficial tetrazolium chloride (TTC) stained images from transversely cut tissue slices (left) at 0 mm, 2 mm, and 4 mm offset as well as uncut tissue slices (lesions seen from above, width measurements indicated by yellow lines, right). Lesion depth (A and B) and width (C and D) decreased significantly as the distance between epicardial surface and electrodes increased. Shown are individual lesion depths (in mm) with linear regression curves (A: linear slope −0.7413, R2=0.91; C: linear slope=−0.8979, R2=0.65) as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (B and D). Lesion depth-averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. Lesion width averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P<0.001 for depth, and P<0.01 for width). Numerical Modeling The average lethal dose threshold value of cardiac tissue (N=6) was determined to be 489±22 V/cm. That means the model on average best matched the ex vivo data when 489±22 V/cm was used as the threshold for defining the lesion boundary. This value was used to generate 2 optimized models: the Numerical model and the Numerical model without the offset tool (Figure 5). Numerically predicted lesion sizes. This figure shows the Numerical model (blue area, continuous outline) compared with the Numerical model without the offset tool (pink area, dotted outline). The offset tool induced some additional lesion formation at the edges, where the concentration of the current density resulted in higher local electric field in comparison to the unlimited model, which is most obvious in the top view and consistent with the experimental results shown in Figure 2. Figure 6 presents the ex vivo data, the modeling of the ex vivo data (Numerical model), and an infinite blood pool model which removes the offset tool (Numerical model without the offset tool). The results of the numerical models correspond well with linear trends observed in the ex vivo data. Regression lines calculated for the ex vivo data and the Numerical model had slopes of –0.740 and –0.723 (mm depth/ mm offset) respectively (regression lines are not shown in Figure 6). The Numerical model without the offset tool had a slope of –0.947 (mm depth/ mm offset). Lesion depth as a function of offset distance observed experimentally (ex vivo), compared to lesion depth calculated using a numerical model mimicking the experimental model (numerical model), as well as using a model in which the offset tool was removed (numerical model without offset tool). The average lethal dose threshold value of cardiac tissue (N=6) was determined to be 489±22 V/cm. That means the model on average best matched the ex vivo data when 489±22 V/cm was used as the threshold for defining the lesion boundary. This value was used to generate 2 optimized models: the Numerical model and the Numerical model without the offset tool (Figure 5). Numerically predicted lesion sizes. This figure shows the Numerical model (blue area, continuous outline) compared with the Numerical model without the offset tool (pink area, dotted outline). The offset tool induced some additional lesion formation at the edges, where the concentration of the current density resulted in higher local electric field in comparison to the unlimited model, which is most obvious in the top view and consistent with the experimental results shown in Figure 2. Figure 6 presents the ex vivo data, the modeling of the ex vivo data (Numerical model), and an infinite blood pool model which removes the offset tool (Numerical model without the offset tool). The results of the numerical models correspond well with linear trends observed in the ex vivo data. Regression lines calculated for the ex vivo data and the Numerical model had slopes of –0.740 and –0.723 (mm depth/ mm offset) respectively (regression lines are not shown in Figure 6). The Numerical model without the offset tool had a slope of –0.947 (mm depth/ mm offset). Lesion depth as a function of offset distance observed experimentally (ex vivo), compared to lesion depth calculated using a numerical model mimicking the experimental model (numerical model), as well as using a model in which the offset tool was removed (numerical model without offset tool). Lesion Assessment (Isolated Heart Tissue): A total of 32 ablations were performed across the 8 hearts; 11 at 0 mm offset, 11 at 2 mm offset, and 10 at 4 mm offset. Figure 3 shows superficial TTC-stained images from transversely cut TTC-stained images from tissue (left) and uncut tissue slices (right) for PFA applications at 0 mm, 2 mm and 4 mm offset. Lesion depth (Figure 4A and 4B) and width (Figure 4C and 4D) decreased significantly as the distance between epicardial surface and electrodes increased. Lesion depths averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Lesion widths averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0, 2, and 4 mm electrode-tissue distances, respectively. Shown are individual lesion depths (in mm) with linear regression curves (Figure 4A: linear slope −0.7413, R2=0.91, P<0.0001; Figure 4C: linear slope=−0.8979, R2=0.65, P<0.0001), as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (Figure 4B and 4D). One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P values for between-group comparisons are P<0.001 for depth, and P<0.01 for width). Accounting for multiple lesions performed on each porcine heart with a mixed model, the results were similar to the linear regression model due to no significant difference or major variability in lesion depth or width between each animal. Sample lesion images. We need to change this Figure legend to as follows: Shown are superficial tetrazolium chloride (TTC) stained images from transversely cut tissue slices (left) at 0 mm, 2 mm, and 4 mm offset as well as uncut tissue slices (lesions seen from above, width measurements indicated by yellow lines, right). Lesion depth (A and B) and width (C and D) decreased significantly as the distance between epicardial surface and electrodes increased. Shown are individual lesion depths (in mm) with linear regression curves (A: linear slope −0.7413, R2=0.91; C: linear slope=−0.8979, R2=0.65) as well as Box-Whiskers plots with median, 25th to 75th percentile and minimum to maximum whiskers (B and D). Lesion depth-averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. Lesion width averaged 9.4±1.1 mm, 7.5±0.8 mm, and 5.8±1.4 mm for the 0-, 2-, and 4-mm electrode-tissue distances respectively. One-way ANOVA analysis using the Tukey multiple comparison test showed significant differences between the 0 mm, 2 mm, and 4 mm groups (P<0.001 for depth, and P<0.01 for width). Numerical Modeling: The average lethal dose threshold value of cardiac tissue (N=6) was determined to be 489±22 V/cm. That means the model on average best matched the ex vivo data when 489±22 V/cm was used as the threshold for defining the lesion boundary. This value was used to generate 2 optimized models: the Numerical model and the Numerical model without the offset tool (Figure 5). Numerically predicted lesion sizes. This figure shows the Numerical model (blue area, continuous outline) compared with the Numerical model without the offset tool (pink area, dotted outline). The offset tool induced some additional lesion formation at the edges, where the concentration of the current density resulted in higher local electric field in comparison to the unlimited model, which is most obvious in the top view and consistent with the experimental results shown in Figure 2. Figure 6 presents the ex vivo data, the modeling of the ex vivo data (Numerical model), and an infinite blood pool model which removes the offset tool (Numerical model without the offset tool). The results of the numerical models correspond well with linear trends observed in the ex vivo data. Regression lines calculated for the ex vivo data and the Numerical model had slopes of –0.740 and –0.723 (mm depth/ mm offset) respectively (regression lines are not shown in Figure 6). The Numerical model without the offset tool had a slope of –0.947 (mm depth/ mm offset). Lesion depth as a function of offset distance observed experimentally (ex vivo), compared to lesion depth calculated using a numerical model mimicking the experimental model (numerical model), as well as using a model in which the offset tool was removed (numerical model without offset tool). Discussion: We have demonstrated that biphasic, bipolar PFA deliveries using a prototype catheter can form cardiac lesions even in the absence of direct electrode-tissue contact. Although direct electrode-tissue contact was not required to achieve a lesion, we demonstrated that a distance of 0 mm between the electrodes and target tissue resulted in the deepest lesions. The relationship between electrode-tissue proximity and lesion size showed a high linear correlation of R2=0.91. Furthermore, comparison of the experimental results to numerical modeling gave an estimate of the threshold value of cardiac susceptibility to PFA of 489±22 V/cm, which needs to be considered specific to this waveform delivery and system. Existing preclinical work has indicated that heavily trabeculated appendages can be ablated in a durable, transmural manner with a circular PFA catheter, providing indirect evidence that PFA may result in lesions without direct electrode-tissue contact.16 Recently, Nakagawa et al21 reported no lesions when a focal catheter (3.5 mm irrigated TactiCath SE, Abbott) was ≈2 mm from the endocardium after PFA (Centauri, Galaxy Medical) when used in conjunction with electro-anatomical mapping and a unipolar PFA ablation system. Nevertheless, the well-controlled electrode-tissue proximity used in our study provides direct evidence of the ability of a biphasic, bipolar PFA system to create cardiac lesions in a beating heart ex vivo in the 0 mm offset distance case. Given challenges in achieving consistent and safe catheter stability using standard ablation catheters, particularly in trabeculated tissue or intracavitary cardiac structures, the ability to create lesions without need for perfect placement of electrodes on the target tissue is appealing. Lesion dimension assessments were consistent with numerical modeling; both lesion depth and width decrease with increasing electrode-tissue distance. The slopes observed in the ex vivo study and the numerical model showed values of −0.74 (ex vivo), and −0.72 (Numerical model), respectively. This means that for every millimeter of offset distance added, the lesion depth decreased by an average of 0.74 mm (ex vivo) and 0.72 mm (Numerical model). However, when modeling the system without the offset tool (Numerical model without the offset tool), the calculated slope was −0.945, suggesting that the field distribution in blood and tissue was similar and approximating a 1:1 relationship. Although these findings are specific to this device and waveform, clinically these results may be relevant to the growing field of PFA, in which multiple systems are employing multipolar PFA catheters. This is advantageous since larger regions can be targeted (like entire pulmonary veins), allowing for a shorter, more time-efficient procedure. However, given the natural variations in human cardiac anatomy, it is often not possible to orient a large, multipolar device to have complete and perfect electrode-tissue proximity along its entire circumference. As we are still able to create lesions without direct electrode-tissue contact, PFA can be considered more forgiving than thermal sources of ablation where a lack of direct electrode-tissue proximity results in no lesion formation. However, inadequate lesion formation may result without direct electrode-tissue contact.22 Current clinical workflow of most PFA systems involving multiple applications and overlapping catheter positioning is therefore likely justified to ensure optimal, contiguous lesion formation. Limitations This experimental study was conducted under controlled laboratory conditions using an isolated porcine working heart model perfused with Krebs-Henseleit buffer. Only the ventricular myocardium was targeted in order to facilitate clear lesion visualization and measurements. Applicability of this work to clinical practice will require further study, including in diseased cardiac tissues (eg, remodeled atrial tissue, infarcted fibrotic ventricular tissue) and long-term durability of lesions. With regards to the limitation of lesion durability, it should be noted that tetrazolium chloride has been shown to correlate very well with histological cell damage in cardiac ischemic cell death and is widely used in preclinical histopathological studies.23 Also, reported lesion dimensions of these epicardial lesions may not be representative of endocardial lesion dimensions. In order to address the potential limitation of directing the electrical field with the offset tool, we modeled the catheter offset and its effects on cardiac lesions without the offset tool. The Unlimited model was comprehensive, including electrical and thermal conductivity and heat capacity (Supplementary Appendix). Although a small effect of the offset tool was observed, the numerical model with the offset tool matched the experimental setup very well, providing good confidence that the Unlimited model represents reality accurately. This investigation employed a prototype catheter that was custom-built for research purposes and does not represent PFA systems in clinical use. Each PFA system design is different, and this data cannot be extrapolated to other PFA systems, waveforms, or catheters. Furthermore, we have only investigated one set of pulse wave parameters based on what has been investigated in the PULSED AF clinical study (https://clinicaltrials.gov/ct2/show/NCT04198701), which has not yet been Food and Drug Administration approved or received regulatory approval for commercialization.11 For example, we do not know if a similar phenomenon could be observed using unipolar PFA delivery. This experimental study was conducted under controlled laboratory conditions using an isolated porcine working heart model perfused with Krebs-Henseleit buffer. Only the ventricular myocardium was targeted in order to facilitate clear lesion visualization and measurements. Applicability of this work to clinical practice will require further study, including in diseased cardiac tissues (eg, remodeled atrial tissue, infarcted fibrotic ventricular tissue) and long-term durability of lesions. With regards to the limitation of lesion durability, it should be noted that tetrazolium chloride has been shown to correlate very well with histological cell damage in cardiac ischemic cell death and is widely used in preclinical histopathological studies.23 Also, reported lesion dimensions of these epicardial lesions may not be representative of endocardial lesion dimensions. In order to address the potential limitation of directing the electrical field with the offset tool, we modeled the catheter offset and its effects on cardiac lesions without the offset tool. The Unlimited model was comprehensive, including electrical and thermal conductivity and heat capacity (Supplementary Appendix). Although a small effect of the offset tool was observed, the numerical model with the offset tool matched the experimental setup very well, providing good confidence that the Unlimited model represents reality accurately. This investigation employed a prototype catheter that was custom-built for research purposes and does not represent PFA systems in clinical use. Each PFA system design is different, and this data cannot be extrapolated to other PFA systems, waveforms, or catheters. Furthermore, we have only investigated one set of pulse wave parameters based on what has been investigated in the PULSED AF clinical study (https://clinicaltrials.gov/ct2/show/NCT04198701), which has not yet been Food and Drug Administration approved or received regulatory approval for commercialization.11 For example, we do not know if a similar phenomenon could be observed using unipolar PFA delivery. Conclusions This study provides strong evidence that pulsed electric fields create cardiac lesions even in the absence of direct electrode-tissue contact case. We demonstrate lesion creation even when the PFA electrodes were as far as 4 mm from the epicardial surface. However, the optimal, deepest lesions were created with 0 mm offset distance. This study provides strong evidence that pulsed electric fields create cardiac lesions even in the absence of direct electrode-tissue contact case. We demonstrate lesion creation even when the PFA electrodes were as far as 4 mm from the epicardial surface. However, the optimal, deepest lesions were created with 0 mm offset distance. Limitations: This experimental study was conducted under controlled laboratory conditions using an isolated porcine working heart model perfused with Krebs-Henseleit buffer. Only the ventricular myocardium was targeted in order to facilitate clear lesion visualization and measurements. Applicability of this work to clinical practice will require further study, including in diseased cardiac tissues (eg, remodeled atrial tissue, infarcted fibrotic ventricular tissue) and long-term durability of lesions. With regards to the limitation of lesion durability, it should be noted that tetrazolium chloride has been shown to correlate very well with histological cell damage in cardiac ischemic cell death and is widely used in preclinical histopathological studies.23 Also, reported lesion dimensions of these epicardial lesions may not be representative of endocardial lesion dimensions. In order to address the potential limitation of directing the electrical field with the offset tool, we modeled the catheter offset and its effects on cardiac lesions without the offset tool. The Unlimited model was comprehensive, including electrical and thermal conductivity and heat capacity (Supplementary Appendix). Although a small effect of the offset tool was observed, the numerical model with the offset tool matched the experimental setup very well, providing good confidence that the Unlimited model represents reality accurately. This investigation employed a prototype catheter that was custom-built for research purposes and does not represent PFA systems in clinical use. Each PFA system design is different, and this data cannot be extrapolated to other PFA systems, waveforms, or catheters. Furthermore, we have only investigated one set of pulse wave parameters based on what has been investigated in the PULSED AF clinical study (https://clinicaltrials.gov/ct2/show/NCT04198701), which has not yet been Food and Drug Administration approved or received regulatory approval for commercialization.11 For example, we do not know if a similar phenomenon could be observed using unipolar PFA delivery. Conclusions: This study provides strong evidence that pulsed electric fields create cardiac lesions even in the absence of direct electrode-tissue contact case. We demonstrate lesion creation even when the PFA electrodes were as far as 4 mm from the epicardial surface. However, the optimal, deepest lesions were created with 0 mm offset distance. Article Information: Sources of Funding This study was funded by Medtronic. This study was funded by Medtronic. Disclosures Dr Howard, Dr Mattison, Dr Onal, M.T. Stewart, and Dr Sigg are employees of Medtronic. Drs Verma, Tzou, Kos, and Miklavčič are Medtronic consultants. Dr Howard, Dr Mattison, Dr Onal, M.T. Stewart, and Dr Sigg are employees of Medtronic. Drs Verma, Tzou, Kos, and Miklavčič are Medtronic consultants. Supplemental Material Supplemental Methods Detailed Model Description Tables S1–S2 References24–29 Supplemental Methods Detailed Model Description Tables S1–S2 References24–29 Sources of Funding: This study was funded by Medtronic. Disclosures: Dr Howard, Dr Mattison, Dr Onal, M.T. Stewart, and Dr Sigg are employees of Medtronic. Drs Verma, Tzou, Kos, and Miklavčič are Medtronic consultants. Supplemental Material: Supplemental Methods Detailed Model Description Tables S1–S2 References24–29 Supplementary Material:
Background: Pulsed field ablation (PFA) is a novel energy modality for treatment of cardiac arrhythmias. The impact of electrode-tissue proximity on lesion formation by PFA has not been conclusively assessed. The objective of this investigation was to evaluate the effects of electrode-tissue proximity on cardiac lesion formation with a biphasic, bipolar PFA system. Methods: PFA was delivered on the ventricular epicardial surface in an isolated porcine heart model (n=8) via a 4-electrode prototype catheter. An offset tool was designed to control the distance between electrodes and target tissue; deliveries were placed 0 mm (0 mm offset), 2 mm (2 mm offset), and 4 mm away from the tissue (4 mm offset). Lesions were assessed using tetrazolium chloride staining. Numerical models for the experimental setup with and without the offset tool validated and supported results. Results: Cardiac lesion dimensions decreased proportional to the distance between epicardial surface and electrodes. Lesion depth averaged 4.3±0.4 mm, 2.7±0.4 mm, and 1.3±0.4 mm for the 0, 2, and 4 mm and lesion width averaged 9.4±1.1 mm, 7.5±0.8 mm and 5.8±1.4 mm for the 0, 2, and 4 mm offset distances, respectively. Numerical modeling matched ex vivo results well and predicted lesion creation with and without the offset tool. Conclusions: Using a biphasic, bipolar PFA system resulted in cardiac lesions even in the 0 mm offset distance case. The relationship between lesion depth and offset distance was linear, and the deepest lesions were created with 0 mm offset distance, that is, with electrodes in contact with tissue. Therefore, close electrode-tissue proximity increases the likelihood of achieving transmural lesions by maximizing the electric field penetration into the target tissue.
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8,337
331
[ 47, 26, 2384, 72, 158, 198, 191, 50, 421, 545, 335, 335, 121, 7, 13 ]
21
[ "mm", "offset", "model", "lesion", "tissue", "tool", "offset tool", "numerical", "mm mm", "pfa" ]
[ "cardiac pulsed field", "field ablation", "cardiac pulsed", "ablation pulsed", "ablations performed hearts" ]
null
null
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[CONTENT] arrhythmia, cardiac | atrial fibrillation | cardiac ablation | chloride | electrode [SUMMARY]
[CONTENT] arrhythmia, cardiac | atrial fibrillation | cardiac ablation | chloride | electrode [SUMMARY]
[CONTENT] arrhythmia, cardiac | atrial fibrillation | cardiac ablation | chloride | electrode [SUMMARY]
[CONTENT] arrhythmia, cardiac | atrial fibrillation | cardiac ablation | chloride | electrode [SUMMARY]
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[CONTENT] Swine | Animals | Catheter Ablation | Chlorides | Electrodes | Heart Ventricles | Heart [SUMMARY]
[CONTENT] Swine | Animals | Catheter Ablation | Chlorides | Electrodes | Heart Ventricles | Heart [SUMMARY]
[CONTENT] Swine | Animals | Catheter Ablation | Chlorides | Electrodes | Heart Ventricles | Heart [SUMMARY]
[CONTENT] Swine | Animals | Catheter Ablation | Chlorides | Electrodes | Heart Ventricles | Heart [SUMMARY]
null
null
[CONTENT] cardiac pulsed field | field ablation | cardiac pulsed | ablation pulsed | ablations performed hearts [SUMMARY]
[CONTENT] cardiac pulsed field | field ablation | cardiac pulsed | ablation pulsed | ablations performed hearts [SUMMARY]
[CONTENT] cardiac pulsed field | field ablation | cardiac pulsed | ablation pulsed | ablations performed hearts [SUMMARY]
[CONTENT] cardiac pulsed field | field ablation | cardiac pulsed | ablation pulsed | ablations performed hearts [SUMMARY]
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[CONTENT] mm | offset | model | lesion | tissue | tool | offset tool | numerical | mm mm | pfa [SUMMARY]
[CONTENT] mm | offset | model | lesion | tissue | tool | offset tool | numerical | mm mm | pfa [SUMMARY]
[CONTENT] mm | offset | model | lesion | tissue | tool | offset tool | numerical | mm mm | pfa [SUMMARY]
[CONTENT] mm | offset | model | lesion | tissue | tool | offset tool | numerical | mm mm | pfa [SUMMARY]
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[CONTENT] evaluate | method | regression analyses evaluate relationship | evaluate relationship lesion size | relationship lesion size offset | relationship lesion size | relationship lesion | significance inferred values 05 | significance inferred values | significance inferred [SUMMARY]
[CONTENT] mm | mm mm | mm mm mm | model | numerical | figure | offset | numerical model | lesion | depth [SUMMARY]
[CONTENT] lesions | mm | fields create cardiac lesions | study provides strong evidence | case | absence | absence direct | absence direct electrode | absence direct electrode tissue | creation pfa electrodes far [SUMMARY]
[CONTENT] mm | model | offset | tissue | lesion | tool | medtronic | dr | offset tool | pfa [SUMMARY]
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[CONTENT] PFA | 4 ||| 0 mm | 0 mm | 2 mm | 2 mm | 4 mm | 4 mm ||| ||| [SUMMARY]
[CONTENT] Cardiac ||| 4.3±0.4 mm | 2.7±0.4 mm | 1.3±0.4 mm | 0 | 2 | 4 mm | 9.4±1.1 mm | 7.5±0.8 mm | 5.8±1.4 mm | 0 | 2 | 4 mm ||| [SUMMARY]
[CONTENT] PFA | 0 mm ||| linear | 0 mm ||| [SUMMARY]
[CONTENT] PFA ||| PFA ||| PFA ||| PFA | 4 ||| 0 mm | 0 mm | 2 mm | 2 mm | 4 mm | 4 mm ||| ||| ||| ||| 4.3±0.4 mm | 2.7±0.4 mm | 1.3±0.4 mm | 0 | 2 | 4 mm | 9.4±1.1 mm | 7.5±0.8 mm | 5.8±1.4 mm | 0 | 2 | 4 mm ||| ||| PFA | 0 mm ||| linear | 0 mm ||| [SUMMARY]
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The association of TP53 mutations with the resistance of colorectal carcinoma to the insulin-like growth factor-1 receptor inhibitor picropodophyllin.
24182354
There is growing evidence indicating the insulin-like growth factor 1 receptor (IGF-1R) plays a critical role in the progression of human colorectal carcinomas. IGF-1R is an attractive drug target for the treatment of colon cancer. Picropodophyllin (PPP), of the cyclolignan family, has recently been identified as an IGF-1R inhibitor. The aim of this study is to determine the therapeutic response and mechanism after colorectal carcinoma treatment with PPP.
BACKGROUND
Seven colorectal carcinoma cell lines were treated with PPP. Following treatment, cells were analyzed for growth by a cell viability assay, sub-G1 apoptosis by flow cytometry, caspase cleavage and activation of AKT and extracellular signal-regulated kinase (ERK) by western blot analysis. To examine the in vivo therapeutic efficacy of PPP, mice implanted with human colorectal carcinoma xenografts underwent PPP treatment.
METHODS
PPP treatment blocked the phosphorylation of IGF-1R, AKT and ERK and inhibited the growth of TP53 wild-type but not mutated colorectal carcinoma cell lines. The treatment of PPP also induced apoptosis in TP53 wild-type cells as evident by the presence of sub-G1 cells and the cleavage of caspase-9, caspase-3, DNA fragmentation factor-45 (DFF45), poly (ADP-ribose) polymerase (PARP), and X-linked inhibitor of apoptosis protein (XIAP). The loss of BAD phosphorylation in the PPP-treated TP53 wild type cells further suggested that the treatment induced apoptosis through the BAD-mediated mitochondrial pathway. In contrast, PPP treatment failed to induce the phosphorylation of AKT and ERK and caspase cleavage in TP53 mutated colorectal carcinoma cell lines. Finally, PPP treatment suppressed the growth of xenografts derived from TP53 wild type but not mutated colorectal carcinoma cells.
RESULTS
We report the association of TP53 mutations with the resistance of treatment of colorectal carcinoma cells in culture and in a xenograft mouse model with the IGF-1R inhibitor PPP. TP53 mutations often occur in colorectal carcinomas and could be used as a biomarker to predict the resistance of colorectal carcinomas to the treatment by this IGF-1R inhibitor.
CONCLUSIONS
[ "Animals", "Apoptosis", "Cell Line, Tumor", "Colorectal Neoplasms", "Disease Models, Animal", "Drug Resistance, Neoplasm", "Extracellular Signal-Regulated MAP Kinases", "Humans", "Mice", "Mutation", "Phosphorylation", "Podophyllotoxin", "Proto-Oncogene Proteins c-akt", "Receptor, IGF Type 1", "Tumor Burden", "Tumor Suppressor Protein p53", "Xenograft Model Antitumor Assays" ]
3840673
Background
The IGF-1R signaling pathway plays an important role in the formation and progression of human cancers and has been targeted for cancer treatment [1]. IGF-1R is a membrane- associated receptor tyrosine kinase that controls both cell growth and apoptosis. Insulin-like growth factor-I and -II (IGF-I; IGF-II) ligand binding to IGF-1R leads to the phosphorylation of insulin receptor substrate (IRS) proteins, resulting in the activation of phosphoinositide 3-kinase (PI3K)/AKT and downstream signaling pathways [2]. IGF-1R inhibits the apoptosis pathway through AKT-mediated phosphorylation of BAD, a pro-apoptotic protein of the BCL2 family [3]. Phosphorylated BAD is dissociated from the BCL-2 family proteins that protect mitochondrial membrane potential and thus inhibit mitochondrial release of apoptotic factors [4]. In addition, IGF-1R activates the extracellular signal-regulated kinase (ERK) and nuclear factor-κB (NF-κB) pathway that protect colorectal carcinoma cells from tumor necrosis factor-α (TNFα) induced apoptosis [5]. By activating PI3K/AKT and ERK growth pathways and inhibiting the BAD and TNFα-mediated apoptosis, the IGF-1R signaling pathway promotes the survival, growth, and metastasis of colorectal carcinomas [1,6]. Epidemiological studies have revealed the association of high concentrations of serum IGF-I and IGF-II with the increased risk of developing several human cancers including colorectal carcinomas [7-10]. Examination of colorectal carcinomas has revealed elevation of the transcripts of IGF-I/II [11-13] and IGF-1R [14,15]. These findings suggest that IGF-I/II may interact with IGF-1R on the cancer cell surface and promote cancer growth through paracrine and autocrine loops and targeting of the IGF-IGF-1R pathway may lead to the development of cancer therapeutics [6]. IGF-1R has been targeted by two types of therapeutic agents: IGR-1R neutralizing monoclonal antibodies and small molecule IGF-1R inhibitors [16,17]. Monoclonal antibodies and kinase inhibitors have been characterized in preclinical studies [18] and some have been taken to clinical trials for cancer treatments [19,20]. Preliminary data from current clinical trials have revealed resistance of human cancers to treatment [1,16]. For example, a phase II trial of an IGF-1R antibody has shown a limited response with treatment of metastatic colorectal carcinomas [21]. The characterization of the crystallographic structures of the insulin receptor and IGF-1R has enabled the development of IGF-1R specific inhibitors [22-24]. Picropodophyllin (PPP), a member of the cyclolignan family, has been identified as an IGF-1R inhibitor [25] since it specifically blocks the phosphorylation of the Tyr 1136 residue in the IGF-1R activation loop and thus inhibits the phosphorylation and kinase activity of the receptor [26]. PPP blocks the PI3K/AKT pathway [25], induces apoptosis in multiple myeloma cells [27], and suppresses the growth of multiple myeloma and glioblastoma xenografts [28-30]. Phase I/II trials have been launched for treatment of glioblastoma, hematological malignancies, and non-small cell lung carcinoma by picropodophyllin (AXL1717). In this study, we investigated the therapeutic response of human colorectal carcinomas with the recently identified IGF-1R inhibitor, PPP [25]. Multiple colorectal carcinoma cell lines were used in addition to colorectal xenografts generated in mice to study the therapeutic response. We examined the IGF-1R downstream AKT and ERK growth pathways and BAD-mediated mitochondrial apoptotic pathway in PPP-treated colorectal carcinoma cells. These studies found the majority of the carcinoma cell lines were resistant to PPP treatment due to the failure of AKT and ERK activation as well as induction of BAD-mediated mitochondrial apoptotic pathways. Furthermore, these studies revealed the association of TP53 mutations with PPP resistance in the carcinoma cell lines in culture and a xenograft model. While human colorectal carcinomas harbor frequent mutations of APC, TP53, PIK3CA and KRAS[31], our findings suggest that the TP53 mutations are associated with the resistance of colorectal carcinoma to the IGF-1R inhibitor, PPP.
Methods
Human colorectal carcinoma cell lines, tumors and normal colon tissues Human colorectal carcinoma cell lines CACAO-2, COLO-205, COLO-320, DLD-1, HCT-8, HT29 and SW948 were purchased from American Type Collection (ATCC; Rockville, MD). Each cell line was grown in RPMI1640 medium (Invitrogen, Carlsbad, CA) supplemented with 10% fetal bovine serum (FBS). Cells were maintained in a humidified 37°C and 5% CO2 incubator. Human colorectal carcinoma and matched adjacent normal colorectal tissue samples were collected in accordance with the protocols approved by the institutional Review Board of the First Hospital of Jilin University. All patients provided written informed consent for the tissue sample collection. This study was approved by the First Hospital Ethical Committee of Jilin University. Human colorectal carcinoma cell lines CACAO-2, COLO-205, COLO-320, DLD-1, HCT-8, HT29 and SW948 were purchased from American Type Collection (ATCC; Rockville, MD). Each cell line was grown in RPMI1640 medium (Invitrogen, Carlsbad, CA) supplemented with 10% fetal bovine serum (FBS). Cells were maintained in a humidified 37°C and 5% CO2 incubator. Human colorectal carcinoma and matched adjacent normal colorectal tissue samples were collected in accordance with the protocols approved by the institutional Review Board of the First Hospital of Jilin University. All patients provided written informed consent for the tissue sample collection. This study was approved by the First Hospital Ethical Committee of Jilin University. IGF-1R inhibitor and antibodies PPP were purchased from Calbiochem (EMD Millipore) and dissolved in dimethyl sulfoxide (DSMO) at the concentration of 10 mM and stored in aliquots at −80°C. Recombinant human IGF-I was also purchased from Calbiochem and stored in aliquots at −80°C. The antibodies used in this study were purchased from Cell Signaling Technology (Beverly, MA) against the human caspase-9, phospho-IRS-1, AKT, phospho-AKT (Ser473), ERK, phopho-ERK (Thr202/Thr204), IGF-1R, phospho-IGF-1R (Y1135/1136), BAD and phospho-BAD (Ser112/Ser136). Other primary antibodies used in the study included those against the human poly (ADP-ribose) polymerase (PARP), caspase-3 (StressGen, Ann Harbor, MI), DNF fragmentation factor-45 (DFF45), β-actin, BCL-2 (Santa Cruz Biotechnology, Santa Cruz, CA), MDM2 (sigma Aldrich) and X-linked inhibitor of apoptosis protein (XIAP; Transduction Laboratories, Lexington, KY). The secondary antibodies used in this study were horseradish peroxidase (HRP)-conjugated goat anti-mouse (Southern Biotech, Birmingham, AL) and goat anti-rabbit antibody (Jackson ImmunoResearch Laboratories, West Grove, PA). Protease inhibitor mixture, Triton x-100 and other chemicals were purchased from Sigma-Aldrich. Chemiluminescence was from Amersham Biosciences (Piscataway, NJ). PPP were purchased from Calbiochem (EMD Millipore) and dissolved in dimethyl sulfoxide (DSMO) at the concentration of 10 mM and stored in aliquots at −80°C. Recombinant human IGF-I was also purchased from Calbiochem and stored in aliquots at −80°C. The antibodies used in this study were purchased from Cell Signaling Technology (Beverly, MA) against the human caspase-9, phospho-IRS-1, AKT, phospho-AKT (Ser473), ERK, phopho-ERK (Thr202/Thr204), IGF-1R, phospho-IGF-1R (Y1135/1136), BAD and phospho-BAD (Ser112/Ser136). Other primary antibodies used in the study included those against the human poly (ADP-ribose) polymerase (PARP), caspase-3 (StressGen, Ann Harbor, MI), DNF fragmentation factor-45 (DFF45), β-actin, BCL-2 (Santa Cruz Biotechnology, Santa Cruz, CA), MDM2 (sigma Aldrich) and X-linked inhibitor of apoptosis protein (XIAP; Transduction Laboratories, Lexington, KY). The secondary antibodies used in this study were horseradish peroxidase (HRP)-conjugated goat anti-mouse (Southern Biotech, Birmingham, AL) and goat anti-rabbit antibody (Jackson ImmunoResearch Laboratories, West Grove, PA). Protease inhibitor mixture, Triton x-100 and other chemicals were purchased from Sigma-Aldrich. Chemiluminescence was from Amersham Biosciences (Piscataway, NJ). Cell viability assay Cells were grown in 96-well plates at 8x103 cells per well in 100 μl of growth medium. Cells were treated or untreated with PPP in the concentrations as indicated in the Results. After incubation for the times indicated in the Results, cells were washed with a phosphate buffer and 100 μl buffer 0.2 M containing sodium acetate (pH 5.5), 0.1% (v/v) Triton X-100 and 20 mM p-nitrophenyl phosphate was added to each of the wells. The plates were incubated at 37°C for 1.5 hours and the reaction was stopped by the addition of 10 μl 1 M NaOH to each well, Absorbance were measured at 405 nm by a microplate reader (BioRad). Cells were grown in 96-well plates at 8x103 cells per well in 100 μl of growth medium. Cells were treated or untreated with PPP in the concentrations as indicated in the Results. After incubation for the times indicated in the Results, cells were washed with a phosphate buffer and 100 μl buffer 0.2 M containing sodium acetate (pH 5.5), 0.1% (v/v) Triton X-100 and 20 mM p-nitrophenyl phosphate was added to each of the wells. The plates were incubated at 37°C for 1.5 hours and the reaction was stopped by the addition of 10 μl 1 M NaOH to each well, Absorbance were measured at 405 nm by a microplate reader (BioRad). Flow cytometric assay for the cell cycle and sub-G1 apoptotic cells Cells were treated with 1 μM PP242 and 2 μM erlotinib, alone or in combination, for 20 hours, harvested, fixed with 70% ethanol, and stained with propidium iodide. The data were acquired using flow cytometry (FACSCanto II Becton Dickinson, Franklin Lakes, NY) and were analyzed using FlowJo software (Tree Star Inc. Ashland, OR). Sub-G1 apoptotic cells were determined as a percentage of the cells. Cells were treated with 1 μM PP242 and 2 μM erlotinib, alone or in combination, for 20 hours, harvested, fixed with 70% ethanol, and stained with propidium iodide. The data were acquired using flow cytometry (FACSCanto II Becton Dickinson, Franklin Lakes, NY) and were analyzed using FlowJo software (Tree Star Inc. Ashland, OR). Sub-G1 apoptotic cells were determined as a percentage of the cells. Western blotting Western blotting was performed according to our laboratory protocols [32]. In brief, cells were lysed in a cell lysis buffer (20 nM Tris pH7.4, 150 mM NaCL, 1% NP-40, 10% glycerol,1 mM EGTA, 1 mM EDTA, 5 mM sodium pyrophosphate, 50 mM sodium fluoride, 10 mM β-glycerophosphate, 1 mM sodium vanadate, 0.5 mM DTT, 1 mM PMSF, 2 mM imidazole, 1.15 mM sodium molybdate, 4 mM sodium tartrate dihydrate, and 1x protease inhibitor cocktail). Cell lysates were cleared by centrifugation at 18,000 x g for 15 minutes at 4°C. The supernatant was collected and protein concentrations were determined by the Bradford protein assay following the manufacturer’s protocol (Bio-Rad Laboratories). Equal amounts of protein were separated through SDS-PAGE gels and transferred onto nitrocellulose membranes (Bio-Rad Laboratories). The membranes were incubated overnight at 4°C with primary antibody and then for 1 hour with HP-conjugated secondary antibody. The membranes were developed by chemiluminescence. Western blotting was performed according to our laboratory protocols [32]. In brief, cells were lysed in a cell lysis buffer (20 nM Tris pH7.4, 150 mM NaCL, 1% NP-40, 10% glycerol,1 mM EGTA, 1 mM EDTA, 5 mM sodium pyrophosphate, 50 mM sodium fluoride, 10 mM β-glycerophosphate, 1 mM sodium vanadate, 0.5 mM DTT, 1 mM PMSF, 2 mM imidazole, 1.15 mM sodium molybdate, 4 mM sodium tartrate dihydrate, and 1x protease inhibitor cocktail). Cell lysates were cleared by centrifugation at 18,000 x g for 15 minutes at 4°C. The supernatant was collected and protein concentrations were determined by the Bradford protein assay following the manufacturer’s protocol (Bio-Rad Laboratories). Equal amounts of protein were separated through SDS-PAGE gels and transferred onto nitrocellulose membranes (Bio-Rad Laboratories). The membranes were incubated overnight at 4°C with primary antibody and then for 1 hour with HP-conjugated secondary antibody. The membranes were developed by chemiluminescence. Mouse subcutaneous xenografts and treatments The animal studies were approved by the Institutional Animal Care and Use Committee of Emory University. The HCT-8 cells or Caco2 cells (7 × 106) were implanted subcutaneously into the flank regions of six-week old (about 20 g of body weight) female athymic (nu/nu) mice (Taconic, Hudson, NY). The mice were allowed to develop subcutaneous xenografts and tumor volumes were measured using caliper measurements. When tumors reached approximately 150–200 mm3, mice were assigned randomly to 2 experimental groups (n = 4 per group) and treated either with saline as control or PPP (50 mg/kg) through oral gavages, twice per week. Tumor volumes were measured once every 3 days and calculated based on the formula: V =4/3 × π × (length/2 × [width/2]2). At the end of treatment, the mice were sacrificed and the tumors were harvested and weighed at necropsy. The animal studies were approved by the Institutional Animal Care and Use Committee of Emory University. The HCT-8 cells or Caco2 cells (7 × 106) were implanted subcutaneously into the flank regions of six-week old (about 20 g of body weight) female athymic (nu/nu) mice (Taconic, Hudson, NY). The mice were allowed to develop subcutaneous xenografts and tumor volumes were measured using caliper measurements. When tumors reached approximately 150–200 mm3, mice were assigned randomly to 2 experimental groups (n = 4 per group) and treated either with saline as control or PPP (50 mg/kg) through oral gavages, twice per week. Tumor volumes were measured once every 3 days and calculated based on the formula: V =4/3 × π × (length/2 × [width/2]2). At the end of treatment, the mice were sacrificed and the tumors were harvested and weighed at necropsy. Statistical analysis All data were presented as means ± SE. Statistical analyses were performed by GraphPad Prism version 5.01 software for Windows (GraphPad Software). The differences in the means between two groups were analyzed with two-tailed unpaired Student’s t-test. Results were considered to be statistically significant at P <0.05. All data were presented as means ± SE. Statistical analyses were performed by GraphPad Prism version 5.01 software for Windows (GraphPad Software). The differences in the means between two groups were analyzed with two-tailed unpaired Student’s t-test. Results were considered to be statistically significant at P <0.05.
Results
TP53 mutated colorectal carcinoma cells are resistant to PPP treatment Earlier studies have revealed increased levels of the IGF-1R mRNA in human colorectal carcinoma tumors [14,15]. To examine the expression of IGF-1R protein, we carried out a western blot analysis of human colorectal carcinoma tumors, together with matched normal colorectal tissue. The results showed that IGF-1R proteins were expressed in the carcinoma tumors at much higher levels than in the matched normal tissue (Figure 1A). We then examined a panel of seven colorectal carcinoma cell lines by western blotting and identified the expression of IGF-1R in each of these cell lines. Nearly half of the cell lines expressed much higher levels of IGF-1R as compared with other cell lines (Figure 1B). TP53 mutation is associated with PPP resistance in colorectal carcinoma cells. (A). Western blot analysis of the expression of IGF-1R protein in colorectal carcinoma tumor tissues (T) and matched adjacent normal colorectal tissue (N). β-actin was used as the protein loading control. (B). Western blot detection of IGF-1R protein in a panel of seven colorectal carcinoma cell lines as indicated on the top of the panel. (C). Each of the cell lines was treated with the indicated concentrations of PPP for 72 hours and then analyzed by cell viability assay. The experiment was repeated three times and the data presented as mean + SD (standard deviation). **, p < 0.01. Next, we examined how colorectal carcinoma cell lines respond to PPP treatment. To this end, each of the cell lines was treated with a series of PPP concentrations for 72 hours. A cell viability assay showed PPP treatment significantly inhibited the growth of the sensitive cell lines HCT-8 and SW948. Slight inhibition of the growth of the resistant cell lines CACO-2, COLO-205, COLO-320, DLD-1 and HT-29 was found at much higher doses (Figure 1C). The PPP resistant cell lines were reported with TP53 mutations [33] according to the Catalogue of Somatic Mutations in Cancer (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic). In contrast, HCT-8 [34] and SW948 (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic) are TP53 wild-type cell lines. These analyses suggest the association of TP53 mutations with the PPP resistance of colorectal carcinoma cells to PPP treatment. Earlier studies have revealed increased levels of the IGF-1R mRNA in human colorectal carcinoma tumors [14,15]. To examine the expression of IGF-1R protein, we carried out a western blot analysis of human colorectal carcinoma tumors, together with matched normal colorectal tissue. The results showed that IGF-1R proteins were expressed in the carcinoma tumors at much higher levels than in the matched normal tissue (Figure 1A). We then examined a panel of seven colorectal carcinoma cell lines by western blotting and identified the expression of IGF-1R in each of these cell lines. Nearly half of the cell lines expressed much higher levels of IGF-1R as compared with other cell lines (Figure 1B). TP53 mutation is associated with PPP resistance in colorectal carcinoma cells. (A). Western blot analysis of the expression of IGF-1R protein in colorectal carcinoma tumor tissues (T) and matched adjacent normal colorectal tissue (N). β-actin was used as the protein loading control. (B). Western blot detection of IGF-1R protein in a panel of seven colorectal carcinoma cell lines as indicated on the top of the panel. (C). Each of the cell lines was treated with the indicated concentrations of PPP for 72 hours and then analyzed by cell viability assay. The experiment was repeated three times and the data presented as mean + SD (standard deviation). **, p < 0.01. Next, we examined how colorectal carcinoma cell lines respond to PPP treatment. To this end, each of the cell lines was treated with a series of PPP concentrations for 72 hours. A cell viability assay showed PPP treatment significantly inhibited the growth of the sensitive cell lines HCT-8 and SW948. Slight inhibition of the growth of the resistant cell lines CACO-2, COLO-205, COLO-320, DLD-1 and HT-29 was found at much higher doses (Figure 1C). The PPP resistant cell lines were reported with TP53 mutations [33] according to the Catalogue of Somatic Mutations in Cancer (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic). In contrast, HCT-8 [34] and SW948 (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic) are TP53 wild-type cell lines. These analyses suggest the association of TP53 mutations with the PPP resistance of colorectal carcinoma cells to PPP treatment. PPP treatment enhances AKT and ERK phosphorylation in TP53 mt carcinoma cells To examine the mechanism of PPP resistance, we evaluated whether PPP treatment blocks IGF-1R auto-phosphorylation [26] and inhibits the downstream AKT and ERK pathways [25]. Since IGF-I and IGF-II activate IGF-1R through paracrine and autocrine loops [6], each of the cell lines was therefore treated with 50 ng IGF-I. Western blotting showed that the IGF-I treatment resulted in the phosphorylation of IGF-1R in both the TP53 wild-type HCT8 and mutated CACO-2 cells (Figure 2A). The cell lines were then treated with 500 nM PPP in the presence of IGF-I and western blotting revealed a decrease in phosphorylation of IGF-1R in a time dependent manner. In contrast, total IGF-1R levels remained unchanged during the treatment. These data indicate that PPP blocks IGF-1R phosphorylation in both TP53 wild-type and mutated cells. PPP treatment reduced the levels of phosphorylated AKT and ERK in the TP53 wild-type HCT-8 but not the TP53 mutated CACO-2 cells; the results suggest that the PPP resistance occurs at IGF-1R downstream intracellular levels in TP53 mutated cells. PPP treatment triggers apoptosis in TP53 wild-type but not mutated cells. (A). The TP53 wild-type HCT-8 and mutated CACO-2 cells were treated with 500 nM PPP in the presence or absence of 50 ng/ml IGF-I for the hours as indicated. The treated cells were then examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK with β-actin as the loading control. (B). The TP53 wild-type HCT8 and SW948 and mutated CACO-2 and HT29 were examined by western blotting for the levels of MDM2 protein. (C). The TP53 wild-type SW948 and mutated CACO-2 cells were treated with 500 nM PPP and 50 ng/ml IGF-I, alone and in combination, for the indicated hours. The cells were then examined by western blotting for the levels of IGF-1R protein. (D). SW948 and CACO-2 cells were treated with 500 nM PPP for the indicated minutes and then analyzed by western blotting for the levels of unphosphorylated and phosphorylated ERK (p-ERK). Earlier studies have clearly shown that PPP treatment leads to the downregulation of IGF-1R through MDM2-mediated ubiquitination and degradation of the IGF-1R protein [35]. Both IGF-1R and p53 proteins are the substrates of the ubiquitin ligase MDM2 [36]. To explore the role of MDM2 in the resistance of mutated TP53 cell lines to PPP, we examined the protein levels of MDM2 in wild-type and mutated TP53 cell lines by western blotting. The data revealed no difference in the expression of MDM2 protein between TP53 wild-type and mutated cell lines (Figure 2B). Next, we examined the kinetics of IGF-1R degradation under the treatment of IGF-1 and PPP, alone and in combination. To this end, we compared the IGF-1R protein levels between the TP53 wild-type SW948 and mutated CACO-2 since these two cell lines expressed IGF-1R protein at similar levels (Figure 1B). Western blotting revealed that PPP treatment reduced the levels of IGF-1R protein in both SW948 and CACO-2 cells (Figure 2C) due to the similar expression levels of MDM2 protein between these two cell lines (Figure 2B). These results confirm the earlier reports [35,36] that PPP treatment induces IGF-1R degradation through MDM2-medicated ubiquitination in a p53-independent manner. MDM2-mediated ubiquitination of IGF-1R with PPP treatment leads to the activation of ERK pathway [37], resulting in the resistance of Ewing’s sarcoma to the treatment of the anti-IGF-1R antibody figitumuab [38]. To explore this mechanism in colorectal carcinoma, we treated SW948 and CACO-2 cell lines with PPP in a dose-dependent manner and found that PPP treatment increased the levels of p-ERK in the TP53 mutated CACO-2 but not in the TP53 wild-type SW948 cells (Figure 2D). Taken together, the results suggest that PPP treatment bocks the phosphorylation of IGF-1R and inhibits the downstream ERK pathway in TP53 wild type colorectal carcinoma cells. In contrast, TP53 mutated carcinoma cells are resistant to the PPP treatment in part due to its failure of inhibition of the intracellular ERK pathway. To examine the mechanism of PPP resistance, we evaluated whether PPP treatment blocks IGF-1R auto-phosphorylation [26] and inhibits the downstream AKT and ERK pathways [25]. Since IGF-I and IGF-II activate IGF-1R through paracrine and autocrine loops [6], each of the cell lines was therefore treated with 50 ng IGF-I. Western blotting showed that the IGF-I treatment resulted in the phosphorylation of IGF-1R in both the TP53 wild-type HCT8 and mutated CACO-2 cells (Figure 2A). The cell lines were then treated with 500 nM PPP in the presence of IGF-I and western blotting revealed a decrease in phosphorylation of IGF-1R in a time dependent manner. In contrast, total IGF-1R levels remained unchanged during the treatment. These data indicate that PPP blocks IGF-1R phosphorylation in both TP53 wild-type and mutated cells. PPP treatment reduced the levels of phosphorylated AKT and ERK in the TP53 wild-type HCT-8 but not the TP53 mutated CACO-2 cells; the results suggest that the PPP resistance occurs at IGF-1R downstream intracellular levels in TP53 mutated cells. PPP treatment triggers apoptosis in TP53 wild-type but not mutated cells. (A). The TP53 wild-type HCT-8 and mutated CACO-2 cells were treated with 500 nM PPP in the presence or absence of 50 ng/ml IGF-I for the hours as indicated. The treated cells were then examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK with β-actin as the loading control. (B). The TP53 wild-type HCT8 and SW948 and mutated CACO-2 and HT29 were examined by western blotting for the levels of MDM2 protein. (C). The TP53 wild-type SW948 and mutated CACO-2 cells were treated with 500 nM PPP and 50 ng/ml IGF-I, alone and in combination, for the indicated hours. The cells were then examined by western blotting for the levels of IGF-1R protein. (D). SW948 and CACO-2 cells were treated with 500 nM PPP for the indicated minutes and then analyzed by western blotting for the levels of unphosphorylated and phosphorylated ERK (p-ERK). Earlier studies have clearly shown that PPP treatment leads to the downregulation of IGF-1R through MDM2-mediated ubiquitination and degradation of the IGF-1R protein [35]. Both IGF-1R and p53 proteins are the substrates of the ubiquitin ligase MDM2 [36]. To explore the role of MDM2 in the resistance of mutated TP53 cell lines to PPP, we examined the protein levels of MDM2 in wild-type and mutated TP53 cell lines by western blotting. The data revealed no difference in the expression of MDM2 protein between TP53 wild-type and mutated cell lines (Figure 2B). Next, we examined the kinetics of IGF-1R degradation under the treatment of IGF-1 and PPP, alone and in combination. To this end, we compared the IGF-1R protein levels between the TP53 wild-type SW948 and mutated CACO-2 since these two cell lines expressed IGF-1R protein at similar levels (Figure 1B). Western blotting revealed that PPP treatment reduced the levels of IGF-1R protein in both SW948 and CACO-2 cells (Figure 2C) due to the similar expression levels of MDM2 protein between these two cell lines (Figure 2B). These results confirm the earlier reports [35,36] that PPP treatment induces IGF-1R degradation through MDM2-medicated ubiquitination in a p53-independent manner. MDM2-mediated ubiquitination of IGF-1R with PPP treatment leads to the activation of ERK pathway [37], resulting in the resistance of Ewing’s sarcoma to the treatment of the anti-IGF-1R antibody figitumuab [38]. To explore this mechanism in colorectal carcinoma, we treated SW948 and CACO-2 cell lines with PPP in a dose-dependent manner and found that PPP treatment increased the levels of p-ERK in the TP53 mutated CACO-2 but not in the TP53 wild-type SW948 cells (Figure 2D). Taken together, the results suggest that PPP treatment bocks the phosphorylation of IGF-1R and inhibits the downstream ERK pathway in TP53 wild type colorectal carcinoma cells. In contrast, TP53 mutated carcinoma cells are resistant to the PPP treatment in part due to its failure of inhibition of the intracellular ERK pathway. PPP treatment induces apoptosis in TP53 wild-type but not mutated carcinoma cells Earlier studies have shown that PPP treatment inhibits cell growth and induces apoptosis in different types of cancer cells [25,27]. To examine this in colorectal carcinoma cells, we analyzed PPP-treated cells by flow cytometry. The results showed that PPP treatment led to a significant increase of sub-G1 apoptotic cells in the TP53 wild-type but not mutated cell lines (Figure 3A,B). The results further suggest that TP53 mutated carcinoma cells are resistant to PPP treatment in part due to its failure of induction of apoptosis in these cells. PPP treatment triggers apoptosis in TP53 wild type but not mutated cells. (A). Each of the cell lines was treated with 500 nM PPP for 24 hours and subjected to flow cytometry for the detection of the cells in sub-G1 and cell cycle phases. (B). The experiment was repeated three times and the percentage of sub-G1 apoptotic cells is summarized in this histogram as mean + SD. **, p < 0.01. IGF-1R activation leads to the inhibition of apoptosis through the AKT/ERK-mediated phosphorylation of BAD [3]. The failure in AKT/ERK activation and apoptosis induction in TP53 mutated cells under PPP treatment suggests the possibility that BAD phosphorylation may play a role in the PPP resistance. To test this notion, we treated the TP53 wild type HCT-8 and mutated CACO-2 cells with 500 nM PPP. Lysates from the treated cells were examined by western blot analysis using antibodies against the phosphorylated and unphosphorylated form of BAD. The results showed that the PPP treatment inhibited BAD phosphorylation in TP53 wild-type but not mutated cells (Figure 4A). PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial pathway. (A). The TP53 wild type HCT-8 and mutated CACO-2 were treated with 500 nM PPP for the indicated hours and then subjected to western blotting for the presence of the phosphorylated and unphosphorylated BAD and cleavage of XIAP protein. (B). The PPP treated cells were further examined by western blotting for the cleavage of caspase-9, caspase-3, PARP and DFF45 in HCT-8 and CACO-2 cells with the proteins and cleavage products indicated to the right side of the panel. Unphosphorylated BAD interacts with the BCL2 family of proteins and releases their inhibition of the mitochondrial membrane potential [4], leading to the mitochondrial release of apoptosis factors and resulting in caspase-9 activation and initiation of apoptosis through cleavage of the downstream effectors caspase-3, DFF45, and PARP [39]. In addition, the second mitochondria-derived activator of caspase/direct inhibitor of apoptosis binding protein with low pI (SMAC/DIABLO) interacts with THE X-linked inhibitor of apoptosis protein (XIAP), which releases XIAP from binding to caspase-3 and allows caspase-9 cleavage of caspase-3 [40,41]. To examine this mitochondrial pathway in PPP-induced apoptosis, we showed that the treatment of PPP led to the cleavage of XIAP (Figure 4A) and caspase-9, caspase-3, PARP, and DFF45 in the TP53 wild-type HCT-8 but not the mutated CACO-2 cells (Figure 4B). Collectively, the PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial apoptosis in TP53 mutated colorectal carcinoma cells. Earlier studies have shown that PPP treatment inhibits cell growth and induces apoptosis in different types of cancer cells [25,27]. To examine this in colorectal carcinoma cells, we analyzed PPP-treated cells by flow cytometry. The results showed that PPP treatment led to a significant increase of sub-G1 apoptotic cells in the TP53 wild-type but not mutated cell lines (Figure 3A,B). The results further suggest that TP53 mutated carcinoma cells are resistant to PPP treatment in part due to its failure of induction of apoptosis in these cells. PPP treatment triggers apoptosis in TP53 wild type but not mutated cells. (A). Each of the cell lines was treated with 500 nM PPP for 24 hours and subjected to flow cytometry for the detection of the cells in sub-G1 and cell cycle phases. (B). The experiment was repeated three times and the percentage of sub-G1 apoptotic cells is summarized in this histogram as mean + SD. **, p < 0.01. IGF-1R activation leads to the inhibition of apoptosis through the AKT/ERK-mediated phosphorylation of BAD [3]. The failure in AKT/ERK activation and apoptosis induction in TP53 mutated cells under PPP treatment suggests the possibility that BAD phosphorylation may play a role in the PPP resistance. To test this notion, we treated the TP53 wild type HCT-8 and mutated CACO-2 cells with 500 nM PPP. Lysates from the treated cells were examined by western blot analysis using antibodies against the phosphorylated and unphosphorylated form of BAD. The results showed that the PPP treatment inhibited BAD phosphorylation in TP53 wild-type but not mutated cells (Figure 4A). PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial pathway. (A). The TP53 wild type HCT-8 and mutated CACO-2 were treated with 500 nM PPP for the indicated hours and then subjected to western blotting for the presence of the phosphorylated and unphosphorylated BAD and cleavage of XIAP protein. (B). The PPP treated cells were further examined by western blotting for the cleavage of caspase-9, caspase-3, PARP and DFF45 in HCT-8 and CACO-2 cells with the proteins and cleavage products indicated to the right side of the panel. Unphosphorylated BAD interacts with the BCL2 family of proteins and releases their inhibition of the mitochondrial membrane potential [4], leading to the mitochondrial release of apoptosis factors and resulting in caspase-9 activation and initiation of apoptosis through cleavage of the downstream effectors caspase-3, DFF45, and PARP [39]. In addition, the second mitochondria-derived activator of caspase/direct inhibitor of apoptosis binding protein with low pI (SMAC/DIABLO) interacts with THE X-linked inhibitor of apoptosis protein (XIAP), which releases XIAP from binding to caspase-3 and allows caspase-9 cleavage of caspase-3 [40,41]. To examine this mitochondrial pathway in PPP-induced apoptosis, we showed that the treatment of PPP led to the cleavage of XIAP (Figure 4A) and caspase-9, caspase-3, PARP, and DFF45 in the TP53 wild-type HCT-8 but not the mutated CACO-2 cells (Figure 4B). Collectively, the PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial apoptosis in TP53 mutated colorectal carcinoma cells. PPP treatment inhibits TP53 wild type but not mutated colorectal carcinoma xenografts To examine the potential of PPP in treatment of colorectal carcinoma, we first injected the TP53 wild-type HCT-8 cells subcutaneously in athymic (nu/nu) mice for the generation of subcutaneous flank xenografts. The mice were closely monitored and once xenografts reached approximate size of 150–200 mm3, the mice were divided into two groups. In the treatment group, mice were treated with PPP (50 mg/kg) and in the control group, mice were treated with saline. The mice were treated through oral gavage, twice per week for three weeks. Tumor volumes were measured and the results showed that PPP treatment significantly inhibited the growth of the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5A). At necropsy, a significant difference in the tumor sizes was observed between the control and treatment mice (Figure 5B). The xenografts were removed and tumor lysates were subjected to western blot analysis. The results showed that PPP treatment inhibited the phosphorylation of IGF-1R, AKT, and ERK in the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5C). PPP treatment inhibits the growth of TP53 wild type carcinoma xenografts. (A). HCT-8 cells were injected subcutaneously in athymic mice for xenograft formation. Once the xenografts were formed, the mice were treated either with PPP (50 mg/kg) in the treatment group or saline in the control group through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The representative mice bearing xenografts were shown at necropsy with saline-treated mouse on the left and PPP-treated mouse on the right. (C). The preventative xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were subjected to western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK. To examine whether the TP53 mutated colorectal carcinoma xenografts resist the treatment of PPP, we injected CACO-2 cells subcutaneously in athymic (nu/nu) mice. Once subcutaneous xenografts were formed approximately 150–200 mm3 in size, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week for three weeks. The results showed no significant difference in the tumor sizes between the treatment and control group of mice, as indicated by the measured tumor volumes (Figure 6A) and the tumor sizes as observed at necropsy (Figure 6B). Western blot analysis of the representative xenograft tissues showed that PPP treatment failed to inhibit the phosphorylation of IGF-1R, AKT and ERK in the TP53 mutated CACO-2 colorectal carcinoma xenografts (Figure 6C). Taken together, these studies suggest that TP53 wild type colorectal carcinoma may respond to the treatment of PPP whereas TP53 mutated carcinomas are most likely resistant to the treatment. TP53 mutated colorectal carcinoma xenografts are resistant to PPP treatment. (A). The TP53 mutated CACO-2 cells were injected subcutaneously in mice and once the subcutaneous xenografts were formed, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The mice bearing xenografts were shown at necropsy with a saline-treated mouse on the left and a PPP-treated mouse on the right. (C). The xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK. To examine the potential of PPP in treatment of colorectal carcinoma, we first injected the TP53 wild-type HCT-8 cells subcutaneously in athymic (nu/nu) mice for the generation of subcutaneous flank xenografts. The mice were closely monitored and once xenografts reached approximate size of 150–200 mm3, the mice were divided into two groups. In the treatment group, mice were treated with PPP (50 mg/kg) and in the control group, mice were treated with saline. The mice were treated through oral gavage, twice per week for three weeks. Tumor volumes were measured and the results showed that PPP treatment significantly inhibited the growth of the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5A). At necropsy, a significant difference in the tumor sizes was observed between the control and treatment mice (Figure 5B). The xenografts were removed and tumor lysates were subjected to western blot analysis. The results showed that PPP treatment inhibited the phosphorylation of IGF-1R, AKT, and ERK in the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5C). PPP treatment inhibits the growth of TP53 wild type carcinoma xenografts. (A). HCT-8 cells were injected subcutaneously in athymic mice for xenograft formation. Once the xenografts were formed, the mice were treated either with PPP (50 mg/kg) in the treatment group or saline in the control group through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The representative mice bearing xenografts were shown at necropsy with saline-treated mouse on the left and PPP-treated mouse on the right. (C). The preventative xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were subjected to western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK. To examine whether the TP53 mutated colorectal carcinoma xenografts resist the treatment of PPP, we injected CACO-2 cells subcutaneously in athymic (nu/nu) mice. Once subcutaneous xenografts were formed approximately 150–200 mm3 in size, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week for three weeks. The results showed no significant difference in the tumor sizes between the treatment and control group of mice, as indicated by the measured tumor volumes (Figure 6A) and the tumor sizes as observed at necropsy (Figure 6B). Western blot analysis of the representative xenograft tissues showed that PPP treatment failed to inhibit the phosphorylation of IGF-1R, AKT and ERK in the TP53 mutated CACO-2 colorectal carcinoma xenografts (Figure 6C). Taken together, these studies suggest that TP53 wild type colorectal carcinoma may respond to the treatment of PPP whereas TP53 mutated carcinomas are most likely resistant to the treatment. TP53 mutated colorectal carcinoma xenografts are resistant to PPP treatment. (A). The TP53 mutated CACO-2 cells were injected subcutaneously in mice and once the subcutaneous xenografts were formed, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The mice bearing xenografts were shown at necropsy with a saline-treated mouse on the left and a PPP-treated mouse on the right. (C). The xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK.
Conclusions
The IGF-1R inhibitor, PPP, is currently in clinical trials for the treatment of human cancers. We have found the majority of colorectal carcinoma cell lines are resistant to PPP treatment due to failure of activation of the intracellular AKT and ERK growth pathway and induction of the BAD-induced mitochondrial apoptosis pathway. Furthermore, we have found that TP53 mutations are associated with PPP resistance in colorectal carcinoma and indicated that determining the TP53 gene status as wild-type or mutated can be used as a biomarker to predict the responsiveness of colorectal carcinoma in human clinical trials.
[ "Background", "Human colorectal carcinoma cell lines, tumors and normal colon tissues", "IGF-1R inhibitor and antibodies", "Cell viability assay", "Flow cytometric assay for the cell cycle and sub-G1 apoptotic cells", "Western blotting", "Mouse subcutaneous xenografts and treatments", "Statistical analysis", "TP53 mutated colorectal carcinoma cells are resistant to PPP treatment", "PPP treatment enhances AKT and ERK phosphorylation in TP53 mt carcinoma cells", "PPP treatment induces apoptosis in TP53 wild-type but not mutated carcinoma cells", "PPP treatment inhibits TP53 wild type but not mutated colorectal carcinoma xenografts", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "The IGF-1R signaling pathway plays an important role in the formation and progression of human cancers and has been targeted for cancer treatment [1]. IGF-1R is a membrane- associated receptor tyrosine kinase that controls both cell growth and apoptosis. Insulin-like growth factor-I and -II (IGF-I; IGF-II) ligand binding to IGF-1R leads to the phosphorylation of insulin receptor substrate (IRS) proteins, resulting in the activation of phosphoinositide 3-kinase (PI3K)/AKT and downstream signaling pathways [2]. IGF-1R inhibits the apoptosis pathway through AKT-mediated phosphorylation of BAD, a pro-apoptotic protein of the BCL2 family [3]. Phosphorylated BAD is dissociated from the BCL-2 family proteins that protect mitochondrial membrane potential and thus inhibit mitochondrial release of apoptotic factors [4]. In addition, IGF-1R activates the extracellular signal-regulated kinase (ERK) and nuclear factor-κB (NF-κB) pathway that protect colorectal carcinoma cells from tumor necrosis factor-α (TNFα) induced apoptosis [5]. By activating PI3K/AKT and ERK growth pathways and inhibiting the BAD and TNFα-mediated apoptosis, the IGF-1R signaling pathway promotes the survival, growth, and metastasis of colorectal carcinomas [1,6].\nEpidemiological studies have revealed the association of high concentrations of serum IGF-I and IGF-II with the increased risk of developing several human cancers including colorectal carcinomas [7-10]. Examination of colorectal carcinomas has revealed elevation of the transcripts of IGF-I/II [11-13] and IGF-1R [14,15]. These findings suggest that IGF-I/II may interact with IGF-1R on the cancer cell surface and promote cancer growth through paracrine and autocrine loops and targeting of the IGF-IGF-1R pathway may lead to the development of cancer therapeutics [6]. IGF-1R has been targeted by two types of therapeutic agents: IGR-1R neutralizing monoclonal antibodies and small molecule IGF-1R inhibitors [16,17]. Monoclonal antibodies and kinase inhibitors have been characterized in preclinical studies [18] and some have been taken to clinical trials for cancer treatments [19,20]. Preliminary data from current clinical trials have revealed resistance of human cancers to treatment [1,16]. For example, a phase II trial of an IGF-1R antibody has shown a limited response with treatment of metastatic colorectal carcinomas [21].\nThe characterization of the crystallographic structures of the insulin receptor and IGF-1R has enabled the development of IGF-1R specific inhibitors [22-24]. Picropodophyllin (PPP), a member of the cyclolignan family, has been identified as an IGF-1R inhibitor [25] since it specifically blocks the phosphorylation of the Tyr 1136 residue in the IGF-1R activation loop and thus inhibits the phosphorylation and kinase activity of the receptor [26]. PPP blocks the PI3K/AKT pathway [25], induces apoptosis in multiple myeloma cells [27], and suppresses the growth of multiple myeloma and glioblastoma xenografts [28-30]. Phase I/II trials have been launched for treatment of glioblastoma, hematological malignancies, and non-small cell lung carcinoma by picropodophyllin (AXL1717).\nIn this study, we investigated the therapeutic response of human colorectal carcinomas with the recently identified IGF-1R inhibitor, PPP [25]. Multiple colorectal carcinoma cell lines were used in addition to colorectal xenografts generated in mice to study the therapeutic response. We examined the IGF-1R downstream AKT and ERK growth pathways and BAD-mediated mitochondrial apoptotic pathway in PPP-treated colorectal carcinoma cells. These studies found the majority of the carcinoma cell lines were resistant to PPP treatment due to the failure of AKT and ERK activation as well as induction of BAD-mediated mitochondrial apoptotic pathways. Furthermore, these studies revealed the association of TP53 mutations with PPP resistance in the carcinoma cell lines in culture and a xenograft model. While human colorectal carcinomas harbor frequent mutations of APC, TP53, PIK3CA and KRAS[31], our findings suggest that the TP53 mutations are associated with the resistance of colorectal carcinoma to the IGF-1R inhibitor, PPP.", "Human colorectal carcinoma cell lines CACAO-2, COLO-205, COLO-320, DLD-1, HCT-8, HT29 and SW948 were purchased from American Type Collection (ATCC; Rockville, MD). Each cell line was grown in RPMI1640 medium (Invitrogen, Carlsbad, CA) supplemented with 10% fetal bovine serum (FBS). Cells were maintained in a humidified 37°C and 5% CO2 incubator. Human colorectal carcinoma and matched adjacent normal colorectal tissue samples were collected in accordance with the protocols approved by the institutional Review Board of the First Hospital of Jilin University. All patients provided written informed consent for the tissue sample collection. This study was approved by the First Hospital Ethical Committee of Jilin University.", "PPP were purchased from Calbiochem (EMD Millipore) and dissolved in dimethyl sulfoxide (DSMO) at the concentration of 10 mM and stored in aliquots at −80°C. Recombinant human IGF-I was also purchased from Calbiochem and stored in aliquots at −80°C. The antibodies used in this study were purchased from Cell Signaling Technology (Beverly, MA) against the human caspase-9, phospho-IRS-1, AKT, phospho-AKT (Ser473), ERK, phopho-ERK (Thr202/Thr204), IGF-1R, phospho-IGF-1R (Y1135/1136), BAD and phospho-BAD (Ser112/Ser136). Other primary antibodies used in the study included those against the human poly (ADP-ribose) polymerase (PARP), caspase-3 (StressGen, Ann Harbor, MI), DNF fragmentation factor-45 (DFF45), β-actin, BCL-2 (Santa Cruz Biotechnology, Santa Cruz, CA), MDM2 (sigma Aldrich) and X-linked inhibitor of apoptosis protein (XIAP; Transduction Laboratories, Lexington, KY). The secondary antibodies used in this study were horseradish peroxidase (HRP)-conjugated goat anti-mouse (Southern Biotech, Birmingham, AL) and goat anti-rabbit antibody (Jackson ImmunoResearch Laboratories, West Grove, PA). Protease inhibitor mixture, Triton x-100 and other chemicals were purchased from Sigma-Aldrich. Chemiluminescence was from Amersham Biosciences (Piscataway, NJ).", "Cells were grown in 96-well plates at 8x103 cells per well in 100 μl of growth medium. Cells were treated or untreated with PPP in the concentrations as indicated in the Results. After incubation for the times indicated in the Results, cells were washed with a phosphate buffer and 100 μl buffer 0.2 M containing sodium acetate (pH 5.5), 0.1% (v/v) Triton X-100 and 20 mM p-nitrophenyl phosphate was added to each of the wells. The plates were incubated at 37°C for 1.5 hours and the reaction was stopped by the addition of 10 μl 1 M NaOH to each well, Absorbance were measured at 405 nm by a microplate reader (BioRad).", "Cells were treated with 1 μM PP242 and 2 μM erlotinib, alone or in combination, for 20 hours, harvested, fixed with 70% ethanol, and stained with propidium iodide. The data were acquired using flow cytometry (FACSCanto II Becton Dickinson, Franklin Lakes, NY) and were analyzed using FlowJo software (Tree Star Inc. Ashland, OR). Sub-G1 apoptotic cells were determined as a percentage of the cells.", "Western blotting was performed according to our laboratory protocols [32]. In brief, cells were lysed in a cell lysis buffer (20 nM Tris pH7.4, 150 mM NaCL, 1% NP-40, 10% glycerol,1 mM EGTA, 1 mM EDTA, 5 mM sodium pyrophosphate, 50 mM sodium fluoride, 10 mM β-glycerophosphate, 1 mM sodium vanadate, 0.5 mM DTT, 1 mM PMSF, 2 mM imidazole, 1.15 mM sodium molybdate, 4 mM sodium tartrate dihydrate, and 1x protease inhibitor cocktail). Cell lysates were cleared by centrifugation at 18,000 x g for 15 minutes at 4°C. The supernatant was collected and protein concentrations were determined by the Bradford protein assay following the manufacturer’s protocol (Bio-Rad Laboratories). Equal amounts of protein were separated through SDS-PAGE gels and transferred onto nitrocellulose membranes (Bio-Rad Laboratories). The membranes were incubated overnight at 4°C with primary antibody and then for 1 hour with HP-conjugated secondary antibody. The membranes were developed by chemiluminescence.", "The animal studies were approved by the Institutional Animal Care and Use Committee of Emory University. The HCT-8 cells or Caco2 cells (7 × 106) were implanted subcutaneously into the flank regions of six-week old (about 20 g of body weight) female athymic (nu/nu) mice (Taconic, Hudson, NY). The mice were allowed to develop subcutaneous xenografts and tumor volumes were measured using caliper measurements. When tumors reached approximately 150–200 mm3, mice were assigned randomly to 2 experimental groups (n = 4 per group) and treated either with saline as control or PPP (50 mg/kg) through oral gavages, twice per week. Tumor volumes were measured once every 3 days and calculated based on the formula: V =4/3 × π × (length/2 × [width/2]2). At the end of treatment, the mice were sacrificed and the tumors were harvested and weighed at necropsy.", "All data were presented as means ± SE. Statistical analyses were performed by GraphPad Prism version 5.01 software for Windows (GraphPad Software). The differences in the means between two groups were analyzed with two-tailed unpaired Student’s t-test. Results were considered to be statistically significant at P <0.05.", "Earlier studies have revealed increased levels of the IGF-1R mRNA in human colorectal carcinoma tumors [14,15]. To examine the expression of IGF-1R protein, we carried out a western blot analysis of human colorectal carcinoma tumors, together with matched normal colorectal tissue. The results showed that IGF-1R proteins were expressed in the carcinoma tumors at much higher levels than in the matched normal tissue (Figure 1A). We then examined a panel of seven colorectal carcinoma cell lines by western blotting and identified the expression of IGF-1R in each of these cell lines. Nearly half of the cell lines expressed much higher levels of IGF-1R as compared with other cell lines (Figure 1B).\nTP53 mutation is associated with PPP resistance in colorectal carcinoma cells. (A). Western blot analysis of the expression of IGF-1R protein in colorectal carcinoma tumor tissues (T) and matched adjacent normal colorectal tissue (N). β-actin was used as the protein loading control. (B). Western blot detection of IGF-1R protein in a panel of seven colorectal carcinoma cell lines as indicated on the top of the panel. (C). Each of the cell lines was treated with the indicated concentrations of PPP for 72 hours and then analyzed by cell viability assay. The experiment was repeated three times and the data presented as mean + SD (standard deviation). **, p < 0.01.\nNext, we examined how colorectal carcinoma cell lines respond to PPP treatment. To this end, each of the cell lines was treated with a series of PPP concentrations for 72 hours. A cell viability assay showed PPP treatment significantly inhibited the growth of the sensitive cell lines HCT-8 and SW948. Slight inhibition of the growth of the resistant cell lines CACO-2, COLO-205, COLO-320, DLD-1 and HT-29 was found at much higher doses (Figure 1C). The PPP resistant cell lines were reported with TP53 mutations [33] according to the Catalogue of Somatic Mutations in Cancer (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic). In contrast, HCT-8 [34] and SW948 (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic) are TP53 wild-type cell lines. These analyses suggest the association of TP53 mutations with the PPP resistance of colorectal carcinoma cells to PPP treatment.", "To examine the mechanism of PPP resistance, we evaluated whether PPP treatment blocks IGF-1R auto-phosphorylation [26] and inhibits the downstream AKT and ERK pathways [25]. Since IGF-I and IGF-II activate IGF-1R through paracrine and autocrine loops [6], each of the cell lines was therefore treated with 50 ng IGF-I. Western blotting showed that the IGF-I treatment resulted in the phosphorylation of IGF-1R in both the TP53 wild-type HCT8 and mutated CACO-2 cells (Figure 2A). The cell lines were then treated with 500 nM PPP in the presence of IGF-I and western blotting revealed a decrease in phosphorylation of IGF-1R in a time dependent manner. In contrast, total IGF-1R levels remained unchanged during the treatment. These data indicate that PPP blocks IGF-1R phosphorylation in both TP53 wild-type and mutated cells. PPP treatment reduced the levels of phosphorylated AKT and ERK in the TP53 wild-type HCT-8 but not the TP53 mutated CACO-2 cells; the results suggest that the PPP resistance occurs at IGF-1R downstream intracellular levels in TP53 mutated cells.\nPPP treatment triggers apoptosis in TP53 wild-type but not mutated cells. (A). The TP53 wild-type HCT-8 and mutated CACO-2 cells were treated with 500 nM PPP in the presence or absence of 50 ng/ml IGF-I for the hours as indicated. The treated cells were then examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK with β-actin as the loading control. (B). The TP53 wild-type HCT8 and SW948 and mutated CACO-2 and HT29 were examined by western blotting for the levels of MDM2 protein. (C). The TP53 wild-type SW948 and mutated CACO-2 cells were treated with 500 nM PPP and 50 ng/ml IGF-I, alone and in combination, for the indicated hours. The cells were then examined by western blotting for the levels of IGF-1R protein. (D). SW948 and CACO-2 cells were treated with 500 nM PPP for the indicated minutes and then analyzed by western blotting for the levels of unphosphorylated and phosphorylated ERK (p-ERK).\nEarlier studies have clearly shown that PPP treatment leads to the downregulation of IGF-1R through MDM2-mediated ubiquitination and degradation of the IGF-1R protein [35]. Both IGF-1R and p53 proteins are the substrates of the ubiquitin ligase MDM2 [36]. To explore the role of MDM2 in the resistance of mutated TP53 cell lines to PPP, we examined the protein levels of MDM2 in wild-type and mutated TP53 cell lines by western blotting. The data revealed no difference in the expression of MDM2 protein between TP53 wild-type and mutated cell lines (Figure 2B). Next, we examined the kinetics of IGF-1R degradation under the treatment of IGF-1 and PPP, alone and in combination. To this end, we compared the IGF-1R protein levels between the TP53 wild-type SW948 and mutated CACO-2 since these two cell lines expressed IGF-1R protein at similar levels (Figure 1B). Western blotting revealed that PPP treatment reduced the levels of IGF-1R protein in both SW948 and CACO-2 cells (Figure 2C) due to the similar expression levels of MDM2 protein between these two cell lines (Figure 2B). These results confirm the earlier reports [35,36] that PPP treatment induces IGF-1R degradation through MDM2-medicated ubiquitination in a p53-independent manner.\nMDM2-mediated ubiquitination of IGF-1R with PPP treatment leads to the activation of ERK pathway [37], resulting in the resistance of Ewing’s sarcoma to the treatment of the anti-IGF-1R antibody figitumuab [38]. To explore this mechanism in colorectal carcinoma, we treated SW948 and CACO-2 cell lines with PPP in a dose-dependent manner and found that PPP treatment increased the levels of p-ERK in the TP53 mutated CACO-2 but not in the TP53 wild-type SW948 cells (Figure 2D). Taken together, the results suggest that PPP treatment bocks the phosphorylation of IGF-1R and inhibits the downstream ERK pathway in TP53 wild type colorectal carcinoma cells. In contrast, TP53 mutated carcinoma cells are resistant to the PPP treatment in part due to its failure of inhibition of the intracellular ERK pathway.", "Earlier studies have shown that PPP treatment inhibits cell growth and induces apoptosis in different types of cancer cells [25,27]. To examine this in colorectal carcinoma cells, we analyzed PPP-treated cells by flow cytometry. The results showed that PPP treatment led to a significant increase of sub-G1 apoptotic cells in the TP53 wild-type but not mutated cell lines (Figure 3A,B). The results further suggest that TP53 mutated carcinoma cells are resistant to PPP treatment in part due to its failure of induction of apoptosis in these cells.\nPPP treatment triggers apoptosis in TP53 wild type but not mutated cells. (A). Each of the cell lines was treated with 500 nM PPP for 24 hours and subjected to flow cytometry for the detection of the cells in sub-G1 and cell cycle phases. (B). The experiment was repeated three times and the percentage of sub-G1 apoptotic cells is summarized in this histogram as mean + SD. **, p < 0.01.\nIGF-1R activation leads to the inhibition of apoptosis through the AKT/ERK-mediated phosphorylation of BAD [3]. The failure in AKT/ERK activation and apoptosis induction in TP53 mutated cells under PPP treatment suggests the possibility that BAD phosphorylation may play a role in the PPP resistance. To test this notion, we treated the TP53 wild type HCT-8 and mutated CACO-2 cells with 500 nM PPP. Lysates from the treated cells were examined by western blot analysis using antibodies against the phosphorylated and unphosphorylated form of BAD. The results showed that the PPP treatment inhibited BAD phosphorylation in TP53 wild-type but not mutated cells (Figure 4A).\nPPP resistance is in part due to the inhibition of BAD-mediated mitochondrial pathway. (A). The TP53 wild type HCT-8 and mutated CACO-2 were treated with 500 nM PPP for the indicated hours and then subjected to western blotting for the presence of the phosphorylated and unphosphorylated BAD and cleavage of XIAP protein. (B). The PPP treated cells were further examined by western blotting for the cleavage of caspase-9, caspase-3, PARP and DFF45 in HCT-8 and CACO-2 cells with the proteins and cleavage products indicated to the right side of the panel.\nUnphosphorylated BAD interacts with the BCL2 family of proteins and releases their inhibition of the mitochondrial membrane potential [4], leading to the mitochondrial release of apoptosis factors and resulting in caspase-9 activation and initiation of apoptosis through cleavage of the downstream effectors caspase-3, DFF45, and PARP [39]. In addition, the second mitochondria-derived activator of caspase/direct inhibitor of apoptosis binding protein with low pI (SMAC/DIABLO) interacts with THE X-linked inhibitor of apoptosis protein (XIAP), which releases XIAP from binding to caspase-3 and allows caspase-9 cleavage of caspase-3 [40,41]. To examine this mitochondrial pathway in PPP-induced apoptosis, we showed that the treatment of PPP led to the cleavage of XIAP (Figure 4A) and caspase-9, caspase-3, PARP, and DFF45 in the TP53 wild-type HCT-8 but not the mutated CACO-2 cells (Figure 4B). Collectively, the PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial apoptosis in TP53 mutated colorectal carcinoma cells.", "To examine the potential of PPP in treatment of colorectal carcinoma, we first injected the TP53 wild-type HCT-8 cells subcutaneously in athymic (nu/nu) mice for the generation of subcutaneous flank xenografts. The mice were closely monitored and once xenografts reached approximate size of 150–200 mm3, the mice were divided into two groups. In the treatment group, mice were treated with PPP (50 mg/kg) and in the control group, mice were treated with saline. The mice were treated through oral gavage, twice per week for three weeks. Tumor volumes were measured and the results showed that PPP treatment significantly inhibited the growth of the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5A). At necropsy, a significant difference in the tumor sizes was observed between the control and treatment mice (Figure 5B). The xenografts were removed and tumor lysates were subjected to western blot analysis. The results showed that PPP treatment inhibited the phosphorylation of IGF-1R, AKT, and ERK in the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5C).\nPPP treatment inhibits the growth of TP53 wild type carcinoma xenografts. (A). HCT-8 cells were injected subcutaneously in athymic mice for xenograft formation. Once the xenografts were formed, the mice were treated either with PPP (50 mg/kg) in the treatment group or saline in the control group through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The representative mice bearing xenografts were shown at necropsy with saline-treated mouse on the left and PPP-treated mouse on the right. (C). The preventative xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were subjected to western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK.\nTo examine whether the TP53 mutated colorectal carcinoma xenografts resist the treatment of PPP, we injected CACO-2 cells subcutaneously in athymic (nu/nu) mice. Once subcutaneous xenografts were formed approximately 150–200 mm3 in size, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week for three weeks. The results showed no significant difference in the tumor sizes between the treatment and control group of mice, as indicated by the measured tumor volumes (Figure 6A) and the tumor sizes as observed at necropsy (Figure 6B). Western blot analysis of the representative xenograft tissues showed that PPP treatment failed to inhibit the phosphorylation of IGF-1R, AKT and ERK in the TP53 mutated CACO-2 colorectal carcinoma xenografts (Figure 6C). Taken together, these studies suggest that TP53 wild type colorectal carcinoma may respond to the treatment of PPP whereas TP53 mutated carcinomas are most likely resistant to the treatment.\nTP53 mutated colorectal carcinoma xenografts are resistant to PPP treatment. (A). The TP53 mutated CACO-2 cells were injected subcutaneously in mice and once the subcutaneous xenografts were formed, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The mice bearing xenografts were shown at necropsy with a saline-treated mouse on the left and a PPP-treated mouse on the right. (C). The xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK.", "The authors declare that they have no competing interests.", "QW and ABC designed the study; QW, FW, CL, KZ and ACB performed the experiments; QW and FW analyzed and interpreted the results; GL, TL and CH contributed materials. ACB and CH wrote the manuscript. CGH edited and revised the manuscript. All authors read and approved the final manuscript.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2407/13/521/prepub\n" ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Human colorectal carcinoma cell lines, tumors and normal colon tissues", "IGF-1R inhibitor and antibodies", "Cell viability assay", "Flow cytometric assay for the cell cycle and sub-G1 apoptotic cells", "Western blotting", "Mouse subcutaneous xenografts and treatments", "Statistical analysis", "Results", "TP53 mutated colorectal carcinoma cells are resistant to PPP treatment", "PPP treatment enhances AKT and ERK phosphorylation in TP53 mt carcinoma cells", "PPP treatment induces apoptosis in TP53 wild-type but not mutated carcinoma cells", "PPP treatment inhibits TP53 wild type but not mutated colorectal carcinoma xenografts", "Discussion", "Conclusions", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "The IGF-1R signaling pathway plays an important role in the formation and progression of human cancers and has been targeted for cancer treatment [1]. IGF-1R is a membrane- associated receptor tyrosine kinase that controls both cell growth and apoptosis. Insulin-like growth factor-I and -II (IGF-I; IGF-II) ligand binding to IGF-1R leads to the phosphorylation of insulin receptor substrate (IRS) proteins, resulting in the activation of phosphoinositide 3-kinase (PI3K)/AKT and downstream signaling pathways [2]. IGF-1R inhibits the apoptosis pathway through AKT-mediated phosphorylation of BAD, a pro-apoptotic protein of the BCL2 family [3]. Phosphorylated BAD is dissociated from the BCL-2 family proteins that protect mitochondrial membrane potential and thus inhibit mitochondrial release of apoptotic factors [4]. In addition, IGF-1R activates the extracellular signal-regulated kinase (ERK) and nuclear factor-κB (NF-κB) pathway that protect colorectal carcinoma cells from tumor necrosis factor-α (TNFα) induced apoptosis [5]. By activating PI3K/AKT and ERK growth pathways and inhibiting the BAD and TNFα-mediated apoptosis, the IGF-1R signaling pathway promotes the survival, growth, and metastasis of colorectal carcinomas [1,6].\nEpidemiological studies have revealed the association of high concentrations of serum IGF-I and IGF-II with the increased risk of developing several human cancers including colorectal carcinomas [7-10]. Examination of colorectal carcinomas has revealed elevation of the transcripts of IGF-I/II [11-13] and IGF-1R [14,15]. These findings suggest that IGF-I/II may interact with IGF-1R on the cancer cell surface and promote cancer growth through paracrine and autocrine loops and targeting of the IGF-IGF-1R pathway may lead to the development of cancer therapeutics [6]. IGF-1R has been targeted by two types of therapeutic agents: IGR-1R neutralizing monoclonal antibodies and small molecule IGF-1R inhibitors [16,17]. Monoclonal antibodies and kinase inhibitors have been characterized in preclinical studies [18] and some have been taken to clinical trials for cancer treatments [19,20]. Preliminary data from current clinical trials have revealed resistance of human cancers to treatment [1,16]. For example, a phase II trial of an IGF-1R antibody has shown a limited response with treatment of metastatic colorectal carcinomas [21].\nThe characterization of the crystallographic structures of the insulin receptor and IGF-1R has enabled the development of IGF-1R specific inhibitors [22-24]. Picropodophyllin (PPP), a member of the cyclolignan family, has been identified as an IGF-1R inhibitor [25] since it specifically blocks the phosphorylation of the Tyr 1136 residue in the IGF-1R activation loop and thus inhibits the phosphorylation and kinase activity of the receptor [26]. PPP blocks the PI3K/AKT pathway [25], induces apoptosis in multiple myeloma cells [27], and suppresses the growth of multiple myeloma and glioblastoma xenografts [28-30]. Phase I/II trials have been launched for treatment of glioblastoma, hematological malignancies, and non-small cell lung carcinoma by picropodophyllin (AXL1717).\nIn this study, we investigated the therapeutic response of human colorectal carcinomas with the recently identified IGF-1R inhibitor, PPP [25]. Multiple colorectal carcinoma cell lines were used in addition to colorectal xenografts generated in mice to study the therapeutic response. We examined the IGF-1R downstream AKT and ERK growth pathways and BAD-mediated mitochondrial apoptotic pathway in PPP-treated colorectal carcinoma cells. These studies found the majority of the carcinoma cell lines were resistant to PPP treatment due to the failure of AKT and ERK activation as well as induction of BAD-mediated mitochondrial apoptotic pathways. Furthermore, these studies revealed the association of TP53 mutations with PPP resistance in the carcinoma cell lines in culture and a xenograft model. While human colorectal carcinomas harbor frequent mutations of APC, TP53, PIK3CA and KRAS[31], our findings suggest that the TP53 mutations are associated with the resistance of colorectal carcinoma to the IGF-1R inhibitor, PPP.", " Human colorectal carcinoma cell lines, tumors and normal colon tissues Human colorectal carcinoma cell lines CACAO-2, COLO-205, COLO-320, DLD-1, HCT-8, HT29 and SW948 were purchased from American Type Collection (ATCC; Rockville, MD). Each cell line was grown in RPMI1640 medium (Invitrogen, Carlsbad, CA) supplemented with 10% fetal bovine serum (FBS). Cells were maintained in a humidified 37°C and 5% CO2 incubator. Human colorectal carcinoma and matched adjacent normal colorectal tissue samples were collected in accordance with the protocols approved by the institutional Review Board of the First Hospital of Jilin University. All patients provided written informed consent for the tissue sample collection. This study was approved by the First Hospital Ethical Committee of Jilin University.\nHuman colorectal carcinoma cell lines CACAO-2, COLO-205, COLO-320, DLD-1, HCT-8, HT29 and SW948 were purchased from American Type Collection (ATCC; Rockville, MD). Each cell line was grown in RPMI1640 medium (Invitrogen, Carlsbad, CA) supplemented with 10% fetal bovine serum (FBS). Cells were maintained in a humidified 37°C and 5% CO2 incubator. Human colorectal carcinoma and matched adjacent normal colorectal tissue samples were collected in accordance with the protocols approved by the institutional Review Board of the First Hospital of Jilin University. All patients provided written informed consent for the tissue sample collection. This study was approved by the First Hospital Ethical Committee of Jilin University.\n IGF-1R inhibitor and antibodies PPP were purchased from Calbiochem (EMD Millipore) and dissolved in dimethyl sulfoxide (DSMO) at the concentration of 10 mM and stored in aliquots at −80°C. Recombinant human IGF-I was also purchased from Calbiochem and stored in aliquots at −80°C. The antibodies used in this study were purchased from Cell Signaling Technology (Beverly, MA) against the human caspase-9, phospho-IRS-1, AKT, phospho-AKT (Ser473), ERK, phopho-ERK (Thr202/Thr204), IGF-1R, phospho-IGF-1R (Y1135/1136), BAD and phospho-BAD (Ser112/Ser136). Other primary antibodies used in the study included those against the human poly (ADP-ribose) polymerase (PARP), caspase-3 (StressGen, Ann Harbor, MI), DNF fragmentation factor-45 (DFF45), β-actin, BCL-2 (Santa Cruz Biotechnology, Santa Cruz, CA), MDM2 (sigma Aldrich) and X-linked inhibitor of apoptosis protein (XIAP; Transduction Laboratories, Lexington, KY). The secondary antibodies used in this study were horseradish peroxidase (HRP)-conjugated goat anti-mouse (Southern Biotech, Birmingham, AL) and goat anti-rabbit antibody (Jackson ImmunoResearch Laboratories, West Grove, PA). Protease inhibitor mixture, Triton x-100 and other chemicals were purchased from Sigma-Aldrich. Chemiluminescence was from Amersham Biosciences (Piscataway, NJ).\nPPP were purchased from Calbiochem (EMD Millipore) and dissolved in dimethyl sulfoxide (DSMO) at the concentration of 10 mM and stored in aliquots at −80°C. Recombinant human IGF-I was also purchased from Calbiochem and stored in aliquots at −80°C. The antibodies used in this study were purchased from Cell Signaling Technology (Beverly, MA) against the human caspase-9, phospho-IRS-1, AKT, phospho-AKT (Ser473), ERK, phopho-ERK (Thr202/Thr204), IGF-1R, phospho-IGF-1R (Y1135/1136), BAD and phospho-BAD (Ser112/Ser136). Other primary antibodies used in the study included those against the human poly (ADP-ribose) polymerase (PARP), caspase-3 (StressGen, Ann Harbor, MI), DNF fragmentation factor-45 (DFF45), β-actin, BCL-2 (Santa Cruz Biotechnology, Santa Cruz, CA), MDM2 (sigma Aldrich) and X-linked inhibitor of apoptosis protein (XIAP; Transduction Laboratories, Lexington, KY). The secondary antibodies used in this study were horseradish peroxidase (HRP)-conjugated goat anti-mouse (Southern Biotech, Birmingham, AL) and goat anti-rabbit antibody (Jackson ImmunoResearch Laboratories, West Grove, PA). Protease inhibitor mixture, Triton x-100 and other chemicals were purchased from Sigma-Aldrich. Chemiluminescence was from Amersham Biosciences (Piscataway, NJ).\n Cell viability assay Cells were grown in 96-well plates at 8x103 cells per well in 100 μl of growth medium. Cells were treated or untreated with PPP in the concentrations as indicated in the Results. After incubation for the times indicated in the Results, cells were washed with a phosphate buffer and 100 μl buffer 0.2 M containing sodium acetate (pH 5.5), 0.1% (v/v) Triton X-100 and 20 mM p-nitrophenyl phosphate was added to each of the wells. The plates were incubated at 37°C for 1.5 hours and the reaction was stopped by the addition of 10 μl 1 M NaOH to each well, Absorbance were measured at 405 nm by a microplate reader (BioRad).\nCells were grown in 96-well plates at 8x103 cells per well in 100 μl of growth medium. Cells were treated or untreated with PPP in the concentrations as indicated in the Results. After incubation for the times indicated in the Results, cells were washed with a phosphate buffer and 100 μl buffer 0.2 M containing sodium acetate (pH 5.5), 0.1% (v/v) Triton X-100 and 20 mM p-nitrophenyl phosphate was added to each of the wells. The plates were incubated at 37°C for 1.5 hours and the reaction was stopped by the addition of 10 μl 1 M NaOH to each well, Absorbance were measured at 405 nm by a microplate reader (BioRad).\n Flow cytometric assay for the cell cycle and sub-G1 apoptotic cells Cells were treated with 1 μM PP242 and 2 μM erlotinib, alone or in combination, for 20 hours, harvested, fixed with 70% ethanol, and stained with propidium iodide. The data were acquired using flow cytometry (FACSCanto II Becton Dickinson, Franklin Lakes, NY) and were analyzed using FlowJo software (Tree Star Inc. Ashland, OR). Sub-G1 apoptotic cells were determined as a percentage of the cells.\nCells were treated with 1 μM PP242 and 2 μM erlotinib, alone or in combination, for 20 hours, harvested, fixed with 70% ethanol, and stained with propidium iodide. The data were acquired using flow cytometry (FACSCanto II Becton Dickinson, Franklin Lakes, NY) and were analyzed using FlowJo software (Tree Star Inc. Ashland, OR). Sub-G1 apoptotic cells were determined as a percentage of the cells.\n Western blotting Western blotting was performed according to our laboratory protocols [32]. In brief, cells were lysed in a cell lysis buffer (20 nM Tris pH7.4, 150 mM NaCL, 1% NP-40, 10% glycerol,1 mM EGTA, 1 mM EDTA, 5 mM sodium pyrophosphate, 50 mM sodium fluoride, 10 mM β-glycerophosphate, 1 mM sodium vanadate, 0.5 mM DTT, 1 mM PMSF, 2 mM imidazole, 1.15 mM sodium molybdate, 4 mM sodium tartrate dihydrate, and 1x protease inhibitor cocktail). Cell lysates were cleared by centrifugation at 18,000 x g for 15 minutes at 4°C. The supernatant was collected and protein concentrations were determined by the Bradford protein assay following the manufacturer’s protocol (Bio-Rad Laboratories). Equal amounts of protein were separated through SDS-PAGE gels and transferred onto nitrocellulose membranes (Bio-Rad Laboratories). The membranes were incubated overnight at 4°C with primary antibody and then for 1 hour with HP-conjugated secondary antibody. The membranes were developed by chemiluminescence.\nWestern blotting was performed according to our laboratory protocols [32]. In brief, cells were lysed in a cell lysis buffer (20 nM Tris pH7.4, 150 mM NaCL, 1% NP-40, 10% glycerol,1 mM EGTA, 1 mM EDTA, 5 mM sodium pyrophosphate, 50 mM sodium fluoride, 10 mM β-glycerophosphate, 1 mM sodium vanadate, 0.5 mM DTT, 1 mM PMSF, 2 mM imidazole, 1.15 mM sodium molybdate, 4 mM sodium tartrate dihydrate, and 1x protease inhibitor cocktail). Cell lysates were cleared by centrifugation at 18,000 x g for 15 minutes at 4°C. The supernatant was collected and protein concentrations were determined by the Bradford protein assay following the manufacturer’s protocol (Bio-Rad Laboratories). Equal amounts of protein were separated through SDS-PAGE gels and transferred onto nitrocellulose membranes (Bio-Rad Laboratories). The membranes were incubated overnight at 4°C with primary antibody and then for 1 hour with HP-conjugated secondary antibody. The membranes were developed by chemiluminescence.\n Mouse subcutaneous xenografts and treatments The animal studies were approved by the Institutional Animal Care and Use Committee of Emory University. The HCT-8 cells or Caco2 cells (7 × 106) were implanted subcutaneously into the flank regions of six-week old (about 20 g of body weight) female athymic (nu/nu) mice (Taconic, Hudson, NY). The mice were allowed to develop subcutaneous xenografts and tumor volumes were measured using caliper measurements. When tumors reached approximately 150–200 mm3, mice were assigned randomly to 2 experimental groups (n = 4 per group) and treated either with saline as control or PPP (50 mg/kg) through oral gavages, twice per week. Tumor volumes were measured once every 3 days and calculated based on the formula: V =4/3 × π × (length/2 × [width/2]2). At the end of treatment, the mice were sacrificed and the tumors were harvested and weighed at necropsy.\nThe animal studies were approved by the Institutional Animal Care and Use Committee of Emory University. The HCT-8 cells or Caco2 cells (7 × 106) were implanted subcutaneously into the flank regions of six-week old (about 20 g of body weight) female athymic (nu/nu) mice (Taconic, Hudson, NY). The mice were allowed to develop subcutaneous xenografts and tumor volumes were measured using caliper measurements. When tumors reached approximately 150–200 mm3, mice were assigned randomly to 2 experimental groups (n = 4 per group) and treated either with saline as control or PPP (50 mg/kg) through oral gavages, twice per week. Tumor volumes were measured once every 3 days and calculated based on the formula: V =4/3 × π × (length/2 × [width/2]2). At the end of treatment, the mice were sacrificed and the tumors were harvested and weighed at necropsy.\n Statistical analysis All data were presented as means ± SE. Statistical analyses were performed by GraphPad Prism version 5.01 software for Windows (GraphPad Software). The differences in the means between two groups were analyzed with two-tailed unpaired Student’s t-test. Results were considered to be statistically significant at P <0.05.\nAll data were presented as means ± SE. Statistical analyses were performed by GraphPad Prism version 5.01 software for Windows (GraphPad Software). The differences in the means between two groups were analyzed with two-tailed unpaired Student’s t-test. Results were considered to be statistically significant at P <0.05.", "Human colorectal carcinoma cell lines CACAO-2, COLO-205, COLO-320, DLD-1, HCT-8, HT29 and SW948 were purchased from American Type Collection (ATCC; Rockville, MD). Each cell line was grown in RPMI1640 medium (Invitrogen, Carlsbad, CA) supplemented with 10% fetal bovine serum (FBS). Cells were maintained in a humidified 37°C and 5% CO2 incubator. Human colorectal carcinoma and matched adjacent normal colorectal tissue samples were collected in accordance with the protocols approved by the institutional Review Board of the First Hospital of Jilin University. All patients provided written informed consent for the tissue sample collection. This study was approved by the First Hospital Ethical Committee of Jilin University.", "PPP were purchased from Calbiochem (EMD Millipore) and dissolved in dimethyl sulfoxide (DSMO) at the concentration of 10 mM and stored in aliquots at −80°C. Recombinant human IGF-I was also purchased from Calbiochem and stored in aliquots at −80°C. The antibodies used in this study were purchased from Cell Signaling Technology (Beverly, MA) against the human caspase-9, phospho-IRS-1, AKT, phospho-AKT (Ser473), ERK, phopho-ERK (Thr202/Thr204), IGF-1R, phospho-IGF-1R (Y1135/1136), BAD and phospho-BAD (Ser112/Ser136). Other primary antibodies used in the study included those against the human poly (ADP-ribose) polymerase (PARP), caspase-3 (StressGen, Ann Harbor, MI), DNF fragmentation factor-45 (DFF45), β-actin, BCL-2 (Santa Cruz Biotechnology, Santa Cruz, CA), MDM2 (sigma Aldrich) and X-linked inhibitor of apoptosis protein (XIAP; Transduction Laboratories, Lexington, KY). The secondary antibodies used in this study were horseradish peroxidase (HRP)-conjugated goat anti-mouse (Southern Biotech, Birmingham, AL) and goat anti-rabbit antibody (Jackson ImmunoResearch Laboratories, West Grove, PA). Protease inhibitor mixture, Triton x-100 and other chemicals were purchased from Sigma-Aldrich. Chemiluminescence was from Amersham Biosciences (Piscataway, NJ).", "Cells were grown in 96-well plates at 8x103 cells per well in 100 μl of growth medium. Cells were treated or untreated with PPP in the concentrations as indicated in the Results. After incubation for the times indicated in the Results, cells were washed with a phosphate buffer and 100 μl buffer 0.2 M containing sodium acetate (pH 5.5), 0.1% (v/v) Triton X-100 and 20 mM p-nitrophenyl phosphate was added to each of the wells. The plates were incubated at 37°C for 1.5 hours and the reaction was stopped by the addition of 10 μl 1 M NaOH to each well, Absorbance were measured at 405 nm by a microplate reader (BioRad).", "Cells were treated with 1 μM PP242 and 2 μM erlotinib, alone or in combination, for 20 hours, harvested, fixed with 70% ethanol, and stained with propidium iodide. The data were acquired using flow cytometry (FACSCanto II Becton Dickinson, Franklin Lakes, NY) and were analyzed using FlowJo software (Tree Star Inc. Ashland, OR). Sub-G1 apoptotic cells were determined as a percentage of the cells.", "Western blotting was performed according to our laboratory protocols [32]. In brief, cells were lysed in a cell lysis buffer (20 nM Tris pH7.4, 150 mM NaCL, 1% NP-40, 10% glycerol,1 mM EGTA, 1 mM EDTA, 5 mM sodium pyrophosphate, 50 mM sodium fluoride, 10 mM β-glycerophosphate, 1 mM sodium vanadate, 0.5 mM DTT, 1 mM PMSF, 2 mM imidazole, 1.15 mM sodium molybdate, 4 mM sodium tartrate dihydrate, and 1x protease inhibitor cocktail). Cell lysates were cleared by centrifugation at 18,000 x g for 15 minutes at 4°C. The supernatant was collected and protein concentrations were determined by the Bradford protein assay following the manufacturer’s protocol (Bio-Rad Laboratories). Equal amounts of protein were separated through SDS-PAGE gels and transferred onto nitrocellulose membranes (Bio-Rad Laboratories). The membranes were incubated overnight at 4°C with primary antibody and then for 1 hour with HP-conjugated secondary antibody. The membranes were developed by chemiluminescence.", "The animal studies were approved by the Institutional Animal Care and Use Committee of Emory University. The HCT-8 cells or Caco2 cells (7 × 106) were implanted subcutaneously into the flank regions of six-week old (about 20 g of body weight) female athymic (nu/nu) mice (Taconic, Hudson, NY). The mice were allowed to develop subcutaneous xenografts and tumor volumes were measured using caliper measurements. When tumors reached approximately 150–200 mm3, mice were assigned randomly to 2 experimental groups (n = 4 per group) and treated either with saline as control or PPP (50 mg/kg) through oral gavages, twice per week. Tumor volumes were measured once every 3 days and calculated based on the formula: V =4/3 × π × (length/2 × [width/2]2). At the end of treatment, the mice were sacrificed and the tumors were harvested and weighed at necropsy.", "All data were presented as means ± SE. Statistical analyses were performed by GraphPad Prism version 5.01 software for Windows (GraphPad Software). The differences in the means between two groups were analyzed with two-tailed unpaired Student’s t-test. Results were considered to be statistically significant at P <0.05.", " TP53 mutated colorectal carcinoma cells are resistant to PPP treatment Earlier studies have revealed increased levels of the IGF-1R mRNA in human colorectal carcinoma tumors [14,15]. To examine the expression of IGF-1R protein, we carried out a western blot analysis of human colorectal carcinoma tumors, together with matched normal colorectal tissue. The results showed that IGF-1R proteins were expressed in the carcinoma tumors at much higher levels than in the matched normal tissue (Figure 1A). We then examined a panel of seven colorectal carcinoma cell lines by western blotting and identified the expression of IGF-1R in each of these cell lines. Nearly half of the cell lines expressed much higher levels of IGF-1R as compared with other cell lines (Figure 1B).\nTP53 mutation is associated with PPP resistance in colorectal carcinoma cells. (A). Western blot analysis of the expression of IGF-1R protein in colorectal carcinoma tumor tissues (T) and matched adjacent normal colorectal tissue (N). β-actin was used as the protein loading control. (B). Western blot detection of IGF-1R protein in a panel of seven colorectal carcinoma cell lines as indicated on the top of the panel. (C). Each of the cell lines was treated with the indicated concentrations of PPP for 72 hours and then analyzed by cell viability assay. The experiment was repeated three times and the data presented as mean + SD (standard deviation). **, p < 0.01.\nNext, we examined how colorectal carcinoma cell lines respond to PPP treatment. To this end, each of the cell lines was treated with a series of PPP concentrations for 72 hours. A cell viability assay showed PPP treatment significantly inhibited the growth of the sensitive cell lines HCT-8 and SW948. Slight inhibition of the growth of the resistant cell lines CACO-2, COLO-205, COLO-320, DLD-1 and HT-29 was found at much higher doses (Figure 1C). The PPP resistant cell lines were reported with TP53 mutations [33] according to the Catalogue of Somatic Mutations in Cancer (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic). In contrast, HCT-8 [34] and SW948 (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic) are TP53 wild-type cell lines. These analyses suggest the association of TP53 mutations with the PPP resistance of colorectal carcinoma cells to PPP treatment.\nEarlier studies have revealed increased levels of the IGF-1R mRNA in human colorectal carcinoma tumors [14,15]. To examine the expression of IGF-1R protein, we carried out a western blot analysis of human colorectal carcinoma tumors, together with matched normal colorectal tissue. The results showed that IGF-1R proteins were expressed in the carcinoma tumors at much higher levels than in the matched normal tissue (Figure 1A). We then examined a panel of seven colorectal carcinoma cell lines by western blotting and identified the expression of IGF-1R in each of these cell lines. Nearly half of the cell lines expressed much higher levels of IGF-1R as compared with other cell lines (Figure 1B).\nTP53 mutation is associated with PPP resistance in colorectal carcinoma cells. (A). Western blot analysis of the expression of IGF-1R protein in colorectal carcinoma tumor tissues (T) and matched adjacent normal colorectal tissue (N). β-actin was used as the protein loading control. (B). Western blot detection of IGF-1R protein in a panel of seven colorectal carcinoma cell lines as indicated on the top of the panel. (C). Each of the cell lines was treated with the indicated concentrations of PPP for 72 hours and then analyzed by cell viability assay. The experiment was repeated three times and the data presented as mean + SD (standard deviation). **, p < 0.01.\nNext, we examined how colorectal carcinoma cell lines respond to PPP treatment. To this end, each of the cell lines was treated with a series of PPP concentrations for 72 hours. A cell viability assay showed PPP treatment significantly inhibited the growth of the sensitive cell lines HCT-8 and SW948. Slight inhibition of the growth of the resistant cell lines CACO-2, COLO-205, COLO-320, DLD-1 and HT-29 was found at much higher doses (Figure 1C). The PPP resistant cell lines were reported with TP53 mutations [33] according to the Catalogue of Somatic Mutations in Cancer (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic). In contrast, HCT-8 [34] and SW948 (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic) are TP53 wild-type cell lines. These analyses suggest the association of TP53 mutations with the PPP resistance of colorectal carcinoma cells to PPP treatment.\n PPP treatment enhances AKT and ERK phosphorylation in TP53 mt carcinoma cells To examine the mechanism of PPP resistance, we evaluated whether PPP treatment blocks IGF-1R auto-phosphorylation [26] and inhibits the downstream AKT and ERK pathways [25]. Since IGF-I and IGF-II activate IGF-1R through paracrine and autocrine loops [6], each of the cell lines was therefore treated with 50 ng IGF-I. Western blotting showed that the IGF-I treatment resulted in the phosphorylation of IGF-1R in both the TP53 wild-type HCT8 and mutated CACO-2 cells (Figure 2A). The cell lines were then treated with 500 nM PPP in the presence of IGF-I and western blotting revealed a decrease in phosphorylation of IGF-1R in a time dependent manner. In contrast, total IGF-1R levels remained unchanged during the treatment. These data indicate that PPP blocks IGF-1R phosphorylation in both TP53 wild-type and mutated cells. PPP treatment reduced the levels of phosphorylated AKT and ERK in the TP53 wild-type HCT-8 but not the TP53 mutated CACO-2 cells; the results suggest that the PPP resistance occurs at IGF-1R downstream intracellular levels in TP53 mutated cells.\nPPP treatment triggers apoptosis in TP53 wild-type but not mutated cells. (A). The TP53 wild-type HCT-8 and mutated CACO-2 cells were treated with 500 nM PPP in the presence or absence of 50 ng/ml IGF-I for the hours as indicated. The treated cells were then examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK with β-actin as the loading control. (B). The TP53 wild-type HCT8 and SW948 and mutated CACO-2 and HT29 were examined by western blotting for the levels of MDM2 protein. (C). The TP53 wild-type SW948 and mutated CACO-2 cells were treated with 500 nM PPP and 50 ng/ml IGF-I, alone and in combination, for the indicated hours. The cells were then examined by western blotting for the levels of IGF-1R protein. (D). SW948 and CACO-2 cells were treated with 500 nM PPP for the indicated minutes and then analyzed by western blotting for the levels of unphosphorylated and phosphorylated ERK (p-ERK).\nEarlier studies have clearly shown that PPP treatment leads to the downregulation of IGF-1R through MDM2-mediated ubiquitination and degradation of the IGF-1R protein [35]. Both IGF-1R and p53 proteins are the substrates of the ubiquitin ligase MDM2 [36]. To explore the role of MDM2 in the resistance of mutated TP53 cell lines to PPP, we examined the protein levels of MDM2 in wild-type and mutated TP53 cell lines by western blotting. The data revealed no difference in the expression of MDM2 protein between TP53 wild-type and mutated cell lines (Figure 2B). Next, we examined the kinetics of IGF-1R degradation under the treatment of IGF-1 and PPP, alone and in combination. To this end, we compared the IGF-1R protein levels between the TP53 wild-type SW948 and mutated CACO-2 since these two cell lines expressed IGF-1R protein at similar levels (Figure 1B). Western blotting revealed that PPP treatment reduced the levels of IGF-1R protein in both SW948 and CACO-2 cells (Figure 2C) due to the similar expression levels of MDM2 protein between these two cell lines (Figure 2B). These results confirm the earlier reports [35,36] that PPP treatment induces IGF-1R degradation through MDM2-medicated ubiquitination in a p53-independent manner.\nMDM2-mediated ubiquitination of IGF-1R with PPP treatment leads to the activation of ERK pathway [37], resulting in the resistance of Ewing’s sarcoma to the treatment of the anti-IGF-1R antibody figitumuab [38]. To explore this mechanism in colorectal carcinoma, we treated SW948 and CACO-2 cell lines with PPP in a dose-dependent manner and found that PPP treatment increased the levels of p-ERK in the TP53 mutated CACO-2 but not in the TP53 wild-type SW948 cells (Figure 2D). Taken together, the results suggest that PPP treatment bocks the phosphorylation of IGF-1R and inhibits the downstream ERK pathway in TP53 wild type colorectal carcinoma cells. In contrast, TP53 mutated carcinoma cells are resistant to the PPP treatment in part due to its failure of inhibition of the intracellular ERK pathway.\nTo examine the mechanism of PPP resistance, we evaluated whether PPP treatment blocks IGF-1R auto-phosphorylation [26] and inhibits the downstream AKT and ERK pathways [25]. Since IGF-I and IGF-II activate IGF-1R through paracrine and autocrine loops [6], each of the cell lines was therefore treated with 50 ng IGF-I. Western blotting showed that the IGF-I treatment resulted in the phosphorylation of IGF-1R in both the TP53 wild-type HCT8 and mutated CACO-2 cells (Figure 2A). The cell lines were then treated with 500 nM PPP in the presence of IGF-I and western blotting revealed a decrease in phosphorylation of IGF-1R in a time dependent manner. In contrast, total IGF-1R levels remained unchanged during the treatment. These data indicate that PPP blocks IGF-1R phosphorylation in both TP53 wild-type and mutated cells. PPP treatment reduced the levels of phosphorylated AKT and ERK in the TP53 wild-type HCT-8 but not the TP53 mutated CACO-2 cells; the results suggest that the PPP resistance occurs at IGF-1R downstream intracellular levels in TP53 mutated cells.\nPPP treatment triggers apoptosis in TP53 wild-type but not mutated cells. (A). The TP53 wild-type HCT-8 and mutated CACO-2 cells were treated with 500 nM PPP in the presence or absence of 50 ng/ml IGF-I for the hours as indicated. The treated cells were then examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK with β-actin as the loading control. (B). The TP53 wild-type HCT8 and SW948 and mutated CACO-2 and HT29 were examined by western blotting for the levels of MDM2 protein. (C). The TP53 wild-type SW948 and mutated CACO-2 cells were treated with 500 nM PPP and 50 ng/ml IGF-I, alone and in combination, for the indicated hours. The cells were then examined by western blotting for the levels of IGF-1R protein. (D). SW948 and CACO-2 cells were treated with 500 nM PPP for the indicated minutes and then analyzed by western blotting for the levels of unphosphorylated and phosphorylated ERK (p-ERK).\nEarlier studies have clearly shown that PPP treatment leads to the downregulation of IGF-1R through MDM2-mediated ubiquitination and degradation of the IGF-1R protein [35]. Both IGF-1R and p53 proteins are the substrates of the ubiquitin ligase MDM2 [36]. To explore the role of MDM2 in the resistance of mutated TP53 cell lines to PPP, we examined the protein levels of MDM2 in wild-type and mutated TP53 cell lines by western blotting. The data revealed no difference in the expression of MDM2 protein between TP53 wild-type and mutated cell lines (Figure 2B). Next, we examined the kinetics of IGF-1R degradation under the treatment of IGF-1 and PPP, alone and in combination. To this end, we compared the IGF-1R protein levels between the TP53 wild-type SW948 and mutated CACO-2 since these two cell lines expressed IGF-1R protein at similar levels (Figure 1B). Western blotting revealed that PPP treatment reduced the levels of IGF-1R protein in both SW948 and CACO-2 cells (Figure 2C) due to the similar expression levels of MDM2 protein between these two cell lines (Figure 2B). These results confirm the earlier reports [35,36] that PPP treatment induces IGF-1R degradation through MDM2-medicated ubiquitination in a p53-independent manner.\nMDM2-mediated ubiquitination of IGF-1R with PPP treatment leads to the activation of ERK pathway [37], resulting in the resistance of Ewing’s sarcoma to the treatment of the anti-IGF-1R antibody figitumuab [38]. To explore this mechanism in colorectal carcinoma, we treated SW948 and CACO-2 cell lines with PPP in a dose-dependent manner and found that PPP treatment increased the levels of p-ERK in the TP53 mutated CACO-2 but not in the TP53 wild-type SW948 cells (Figure 2D). Taken together, the results suggest that PPP treatment bocks the phosphorylation of IGF-1R and inhibits the downstream ERK pathway in TP53 wild type colorectal carcinoma cells. In contrast, TP53 mutated carcinoma cells are resistant to the PPP treatment in part due to its failure of inhibition of the intracellular ERK pathway.\n PPP treatment induces apoptosis in TP53 wild-type but not mutated carcinoma cells Earlier studies have shown that PPP treatment inhibits cell growth and induces apoptosis in different types of cancer cells [25,27]. To examine this in colorectal carcinoma cells, we analyzed PPP-treated cells by flow cytometry. The results showed that PPP treatment led to a significant increase of sub-G1 apoptotic cells in the TP53 wild-type but not mutated cell lines (Figure 3A,B). The results further suggest that TP53 mutated carcinoma cells are resistant to PPP treatment in part due to its failure of induction of apoptosis in these cells.\nPPP treatment triggers apoptosis in TP53 wild type but not mutated cells. (A). Each of the cell lines was treated with 500 nM PPP for 24 hours and subjected to flow cytometry for the detection of the cells in sub-G1 and cell cycle phases. (B). The experiment was repeated three times and the percentage of sub-G1 apoptotic cells is summarized in this histogram as mean + SD. **, p < 0.01.\nIGF-1R activation leads to the inhibition of apoptosis through the AKT/ERK-mediated phosphorylation of BAD [3]. The failure in AKT/ERK activation and apoptosis induction in TP53 mutated cells under PPP treatment suggests the possibility that BAD phosphorylation may play a role in the PPP resistance. To test this notion, we treated the TP53 wild type HCT-8 and mutated CACO-2 cells with 500 nM PPP. Lysates from the treated cells were examined by western blot analysis using antibodies against the phosphorylated and unphosphorylated form of BAD. The results showed that the PPP treatment inhibited BAD phosphorylation in TP53 wild-type but not mutated cells (Figure 4A).\nPPP resistance is in part due to the inhibition of BAD-mediated mitochondrial pathway. (A). The TP53 wild type HCT-8 and mutated CACO-2 were treated with 500 nM PPP for the indicated hours and then subjected to western blotting for the presence of the phosphorylated and unphosphorylated BAD and cleavage of XIAP protein. (B). The PPP treated cells were further examined by western blotting for the cleavage of caspase-9, caspase-3, PARP and DFF45 in HCT-8 and CACO-2 cells with the proteins and cleavage products indicated to the right side of the panel.\nUnphosphorylated BAD interacts with the BCL2 family of proteins and releases their inhibition of the mitochondrial membrane potential [4], leading to the mitochondrial release of apoptosis factors and resulting in caspase-9 activation and initiation of apoptosis through cleavage of the downstream effectors caspase-3, DFF45, and PARP [39]. In addition, the second mitochondria-derived activator of caspase/direct inhibitor of apoptosis binding protein with low pI (SMAC/DIABLO) interacts with THE X-linked inhibitor of apoptosis protein (XIAP), which releases XIAP from binding to caspase-3 and allows caspase-9 cleavage of caspase-3 [40,41]. To examine this mitochondrial pathway in PPP-induced apoptosis, we showed that the treatment of PPP led to the cleavage of XIAP (Figure 4A) and caspase-9, caspase-3, PARP, and DFF45 in the TP53 wild-type HCT-8 but not the mutated CACO-2 cells (Figure 4B). Collectively, the PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial apoptosis in TP53 mutated colorectal carcinoma cells.\nEarlier studies have shown that PPP treatment inhibits cell growth and induces apoptosis in different types of cancer cells [25,27]. To examine this in colorectal carcinoma cells, we analyzed PPP-treated cells by flow cytometry. The results showed that PPP treatment led to a significant increase of sub-G1 apoptotic cells in the TP53 wild-type but not mutated cell lines (Figure 3A,B). The results further suggest that TP53 mutated carcinoma cells are resistant to PPP treatment in part due to its failure of induction of apoptosis in these cells.\nPPP treatment triggers apoptosis in TP53 wild type but not mutated cells. (A). Each of the cell lines was treated with 500 nM PPP for 24 hours and subjected to flow cytometry for the detection of the cells in sub-G1 and cell cycle phases. (B). The experiment was repeated three times and the percentage of sub-G1 apoptotic cells is summarized in this histogram as mean + SD. **, p < 0.01.\nIGF-1R activation leads to the inhibition of apoptosis through the AKT/ERK-mediated phosphorylation of BAD [3]. The failure in AKT/ERK activation and apoptosis induction in TP53 mutated cells under PPP treatment suggests the possibility that BAD phosphorylation may play a role in the PPP resistance. To test this notion, we treated the TP53 wild type HCT-8 and mutated CACO-2 cells with 500 nM PPP. Lysates from the treated cells were examined by western blot analysis using antibodies against the phosphorylated and unphosphorylated form of BAD. The results showed that the PPP treatment inhibited BAD phosphorylation in TP53 wild-type but not mutated cells (Figure 4A).\nPPP resistance is in part due to the inhibition of BAD-mediated mitochondrial pathway. (A). The TP53 wild type HCT-8 and mutated CACO-2 were treated with 500 nM PPP for the indicated hours and then subjected to western blotting for the presence of the phosphorylated and unphosphorylated BAD and cleavage of XIAP protein. (B). The PPP treated cells were further examined by western blotting for the cleavage of caspase-9, caspase-3, PARP and DFF45 in HCT-8 and CACO-2 cells with the proteins and cleavage products indicated to the right side of the panel.\nUnphosphorylated BAD interacts with the BCL2 family of proteins and releases their inhibition of the mitochondrial membrane potential [4], leading to the mitochondrial release of apoptosis factors and resulting in caspase-9 activation and initiation of apoptosis through cleavage of the downstream effectors caspase-3, DFF45, and PARP [39]. In addition, the second mitochondria-derived activator of caspase/direct inhibitor of apoptosis binding protein with low pI (SMAC/DIABLO) interacts with THE X-linked inhibitor of apoptosis protein (XIAP), which releases XIAP from binding to caspase-3 and allows caspase-9 cleavage of caspase-3 [40,41]. To examine this mitochondrial pathway in PPP-induced apoptosis, we showed that the treatment of PPP led to the cleavage of XIAP (Figure 4A) and caspase-9, caspase-3, PARP, and DFF45 in the TP53 wild-type HCT-8 but not the mutated CACO-2 cells (Figure 4B). Collectively, the PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial apoptosis in TP53 mutated colorectal carcinoma cells.\n PPP treatment inhibits TP53 wild type but not mutated colorectal carcinoma xenografts To examine the potential of PPP in treatment of colorectal carcinoma, we first injected the TP53 wild-type HCT-8 cells subcutaneously in athymic (nu/nu) mice for the generation of subcutaneous flank xenografts. The mice were closely monitored and once xenografts reached approximate size of 150–200 mm3, the mice were divided into two groups. In the treatment group, mice were treated with PPP (50 mg/kg) and in the control group, mice were treated with saline. The mice were treated through oral gavage, twice per week for three weeks. Tumor volumes were measured and the results showed that PPP treatment significantly inhibited the growth of the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5A). At necropsy, a significant difference in the tumor sizes was observed between the control and treatment mice (Figure 5B). The xenografts were removed and tumor lysates were subjected to western blot analysis. The results showed that PPP treatment inhibited the phosphorylation of IGF-1R, AKT, and ERK in the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5C).\nPPP treatment inhibits the growth of TP53 wild type carcinoma xenografts. (A). HCT-8 cells were injected subcutaneously in athymic mice for xenograft formation. Once the xenografts were formed, the mice were treated either with PPP (50 mg/kg) in the treatment group or saline in the control group through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The representative mice bearing xenografts were shown at necropsy with saline-treated mouse on the left and PPP-treated mouse on the right. (C). The preventative xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were subjected to western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK.\nTo examine whether the TP53 mutated colorectal carcinoma xenografts resist the treatment of PPP, we injected CACO-2 cells subcutaneously in athymic (nu/nu) mice. Once subcutaneous xenografts were formed approximately 150–200 mm3 in size, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week for three weeks. The results showed no significant difference in the tumor sizes between the treatment and control group of mice, as indicated by the measured tumor volumes (Figure 6A) and the tumor sizes as observed at necropsy (Figure 6B). Western blot analysis of the representative xenograft tissues showed that PPP treatment failed to inhibit the phosphorylation of IGF-1R, AKT and ERK in the TP53 mutated CACO-2 colorectal carcinoma xenografts (Figure 6C). Taken together, these studies suggest that TP53 wild type colorectal carcinoma may respond to the treatment of PPP whereas TP53 mutated carcinomas are most likely resistant to the treatment.\nTP53 mutated colorectal carcinoma xenografts are resistant to PPP treatment. (A). The TP53 mutated CACO-2 cells were injected subcutaneously in mice and once the subcutaneous xenografts were formed, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The mice bearing xenografts were shown at necropsy with a saline-treated mouse on the left and a PPP-treated mouse on the right. (C). The xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK.\nTo examine the potential of PPP in treatment of colorectal carcinoma, we first injected the TP53 wild-type HCT-8 cells subcutaneously in athymic (nu/nu) mice for the generation of subcutaneous flank xenografts. The mice were closely monitored and once xenografts reached approximate size of 150–200 mm3, the mice were divided into two groups. In the treatment group, mice were treated with PPP (50 mg/kg) and in the control group, mice were treated with saline. The mice were treated through oral gavage, twice per week for three weeks. Tumor volumes were measured and the results showed that PPP treatment significantly inhibited the growth of the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5A). At necropsy, a significant difference in the tumor sizes was observed between the control and treatment mice (Figure 5B). The xenografts were removed and tumor lysates were subjected to western blot analysis. The results showed that PPP treatment inhibited the phosphorylation of IGF-1R, AKT, and ERK in the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5C).\nPPP treatment inhibits the growth of TP53 wild type carcinoma xenografts. (A). HCT-8 cells were injected subcutaneously in athymic mice for xenograft formation. Once the xenografts were formed, the mice were treated either with PPP (50 mg/kg) in the treatment group or saline in the control group through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The representative mice bearing xenografts were shown at necropsy with saline-treated mouse on the left and PPP-treated mouse on the right. (C). The preventative xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were subjected to western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK.\nTo examine whether the TP53 mutated colorectal carcinoma xenografts resist the treatment of PPP, we injected CACO-2 cells subcutaneously in athymic (nu/nu) mice. Once subcutaneous xenografts were formed approximately 150–200 mm3 in size, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week for three weeks. The results showed no significant difference in the tumor sizes between the treatment and control group of mice, as indicated by the measured tumor volumes (Figure 6A) and the tumor sizes as observed at necropsy (Figure 6B). Western blot analysis of the representative xenograft tissues showed that PPP treatment failed to inhibit the phosphorylation of IGF-1R, AKT and ERK in the TP53 mutated CACO-2 colorectal carcinoma xenografts (Figure 6C). Taken together, these studies suggest that TP53 wild type colorectal carcinoma may respond to the treatment of PPP whereas TP53 mutated carcinomas are most likely resistant to the treatment.\nTP53 mutated colorectal carcinoma xenografts are resistant to PPP treatment. (A). The TP53 mutated CACO-2 cells were injected subcutaneously in mice and once the subcutaneous xenografts were formed, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The mice bearing xenografts were shown at necropsy with a saline-treated mouse on the left and a PPP-treated mouse on the right. (C). The xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK.", "Earlier studies have revealed increased levels of the IGF-1R mRNA in human colorectal carcinoma tumors [14,15]. To examine the expression of IGF-1R protein, we carried out a western blot analysis of human colorectal carcinoma tumors, together with matched normal colorectal tissue. The results showed that IGF-1R proteins were expressed in the carcinoma tumors at much higher levels than in the matched normal tissue (Figure 1A). We then examined a panel of seven colorectal carcinoma cell lines by western blotting and identified the expression of IGF-1R in each of these cell lines. Nearly half of the cell lines expressed much higher levels of IGF-1R as compared with other cell lines (Figure 1B).\nTP53 mutation is associated with PPP resistance in colorectal carcinoma cells. (A). Western blot analysis of the expression of IGF-1R protein in colorectal carcinoma tumor tissues (T) and matched adjacent normal colorectal tissue (N). β-actin was used as the protein loading control. (B). Western blot detection of IGF-1R protein in a panel of seven colorectal carcinoma cell lines as indicated on the top of the panel. (C). Each of the cell lines was treated with the indicated concentrations of PPP for 72 hours and then analyzed by cell viability assay. The experiment was repeated three times and the data presented as mean + SD (standard deviation). **, p < 0.01.\nNext, we examined how colorectal carcinoma cell lines respond to PPP treatment. To this end, each of the cell lines was treated with a series of PPP concentrations for 72 hours. A cell viability assay showed PPP treatment significantly inhibited the growth of the sensitive cell lines HCT-8 and SW948. Slight inhibition of the growth of the resistant cell lines CACO-2, COLO-205, COLO-320, DLD-1 and HT-29 was found at much higher doses (Figure 1C). The PPP resistant cell lines were reported with TP53 mutations [33] according to the Catalogue of Somatic Mutations in Cancer (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic). In contrast, HCT-8 [34] and SW948 (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic) are TP53 wild-type cell lines. These analyses suggest the association of TP53 mutations with the PPP resistance of colorectal carcinoma cells to PPP treatment.", "To examine the mechanism of PPP resistance, we evaluated whether PPP treatment blocks IGF-1R auto-phosphorylation [26] and inhibits the downstream AKT and ERK pathways [25]. Since IGF-I and IGF-II activate IGF-1R through paracrine and autocrine loops [6], each of the cell lines was therefore treated with 50 ng IGF-I. Western blotting showed that the IGF-I treatment resulted in the phosphorylation of IGF-1R in both the TP53 wild-type HCT8 and mutated CACO-2 cells (Figure 2A). The cell lines were then treated with 500 nM PPP in the presence of IGF-I and western blotting revealed a decrease in phosphorylation of IGF-1R in a time dependent manner. In contrast, total IGF-1R levels remained unchanged during the treatment. These data indicate that PPP blocks IGF-1R phosphorylation in both TP53 wild-type and mutated cells. PPP treatment reduced the levels of phosphorylated AKT and ERK in the TP53 wild-type HCT-8 but not the TP53 mutated CACO-2 cells; the results suggest that the PPP resistance occurs at IGF-1R downstream intracellular levels in TP53 mutated cells.\nPPP treatment triggers apoptosis in TP53 wild-type but not mutated cells. (A). The TP53 wild-type HCT-8 and mutated CACO-2 cells were treated with 500 nM PPP in the presence or absence of 50 ng/ml IGF-I for the hours as indicated. The treated cells were then examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK with β-actin as the loading control. (B). The TP53 wild-type HCT8 and SW948 and mutated CACO-2 and HT29 were examined by western blotting for the levels of MDM2 protein. (C). The TP53 wild-type SW948 and mutated CACO-2 cells were treated with 500 nM PPP and 50 ng/ml IGF-I, alone and in combination, for the indicated hours. The cells were then examined by western blotting for the levels of IGF-1R protein. (D). SW948 and CACO-2 cells were treated with 500 nM PPP for the indicated minutes and then analyzed by western blotting for the levels of unphosphorylated and phosphorylated ERK (p-ERK).\nEarlier studies have clearly shown that PPP treatment leads to the downregulation of IGF-1R through MDM2-mediated ubiquitination and degradation of the IGF-1R protein [35]. Both IGF-1R and p53 proteins are the substrates of the ubiquitin ligase MDM2 [36]. To explore the role of MDM2 in the resistance of mutated TP53 cell lines to PPP, we examined the protein levels of MDM2 in wild-type and mutated TP53 cell lines by western blotting. The data revealed no difference in the expression of MDM2 protein between TP53 wild-type and mutated cell lines (Figure 2B). Next, we examined the kinetics of IGF-1R degradation under the treatment of IGF-1 and PPP, alone and in combination. To this end, we compared the IGF-1R protein levels between the TP53 wild-type SW948 and mutated CACO-2 since these two cell lines expressed IGF-1R protein at similar levels (Figure 1B). Western blotting revealed that PPP treatment reduced the levels of IGF-1R protein in both SW948 and CACO-2 cells (Figure 2C) due to the similar expression levels of MDM2 protein between these two cell lines (Figure 2B). These results confirm the earlier reports [35,36] that PPP treatment induces IGF-1R degradation through MDM2-medicated ubiquitination in a p53-independent manner.\nMDM2-mediated ubiquitination of IGF-1R with PPP treatment leads to the activation of ERK pathway [37], resulting in the resistance of Ewing’s sarcoma to the treatment of the anti-IGF-1R antibody figitumuab [38]. To explore this mechanism in colorectal carcinoma, we treated SW948 and CACO-2 cell lines with PPP in a dose-dependent manner and found that PPP treatment increased the levels of p-ERK in the TP53 mutated CACO-2 but not in the TP53 wild-type SW948 cells (Figure 2D). Taken together, the results suggest that PPP treatment bocks the phosphorylation of IGF-1R and inhibits the downstream ERK pathway in TP53 wild type colorectal carcinoma cells. In contrast, TP53 mutated carcinoma cells are resistant to the PPP treatment in part due to its failure of inhibition of the intracellular ERK pathway.", "Earlier studies have shown that PPP treatment inhibits cell growth and induces apoptosis in different types of cancer cells [25,27]. To examine this in colorectal carcinoma cells, we analyzed PPP-treated cells by flow cytometry. The results showed that PPP treatment led to a significant increase of sub-G1 apoptotic cells in the TP53 wild-type but not mutated cell lines (Figure 3A,B). The results further suggest that TP53 mutated carcinoma cells are resistant to PPP treatment in part due to its failure of induction of apoptosis in these cells.\nPPP treatment triggers apoptosis in TP53 wild type but not mutated cells. (A). Each of the cell lines was treated with 500 nM PPP for 24 hours and subjected to flow cytometry for the detection of the cells in sub-G1 and cell cycle phases. (B). The experiment was repeated three times and the percentage of sub-G1 apoptotic cells is summarized in this histogram as mean + SD. **, p < 0.01.\nIGF-1R activation leads to the inhibition of apoptosis through the AKT/ERK-mediated phosphorylation of BAD [3]. The failure in AKT/ERK activation and apoptosis induction in TP53 mutated cells under PPP treatment suggests the possibility that BAD phosphorylation may play a role in the PPP resistance. To test this notion, we treated the TP53 wild type HCT-8 and mutated CACO-2 cells with 500 nM PPP. Lysates from the treated cells were examined by western blot analysis using antibodies against the phosphorylated and unphosphorylated form of BAD. The results showed that the PPP treatment inhibited BAD phosphorylation in TP53 wild-type but not mutated cells (Figure 4A).\nPPP resistance is in part due to the inhibition of BAD-mediated mitochondrial pathway. (A). The TP53 wild type HCT-8 and mutated CACO-2 were treated with 500 nM PPP for the indicated hours and then subjected to western blotting for the presence of the phosphorylated and unphosphorylated BAD and cleavage of XIAP protein. (B). The PPP treated cells were further examined by western blotting for the cleavage of caspase-9, caspase-3, PARP and DFF45 in HCT-8 and CACO-2 cells with the proteins and cleavage products indicated to the right side of the panel.\nUnphosphorylated BAD interacts with the BCL2 family of proteins and releases their inhibition of the mitochondrial membrane potential [4], leading to the mitochondrial release of apoptosis factors and resulting in caspase-9 activation and initiation of apoptosis through cleavage of the downstream effectors caspase-3, DFF45, and PARP [39]. In addition, the second mitochondria-derived activator of caspase/direct inhibitor of apoptosis binding protein with low pI (SMAC/DIABLO) interacts with THE X-linked inhibitor of apoptosis protein (XIAP), which releases XIAP from binding to caspase-3 and allows caspase-9 cleavage of caspase-3 [40,41]. To examine this mitochondrial pathway in PPP-induced apoptosis, we showed that the treatment of PPP led to the cleavage of XIAP (Figure 4A) and caspase-9, caspase-3, PARP, and DFF45 in the TP53 wild-type HCT-8 but not the mutated CACO-2 cells (Figure 4B). Collectively, the PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial apoptosis in TP53 mutated colorectal carcinoma cells.", "To examine the potential of PPP in treatment of colorectal carcinoma, we first injected the TP53 wild-type HCT-8 cells subcutaneously in athymic (nu/nu) mice for the generation of subcutaneous flank xenografts. The mice were closely monitored and once xenografts reached approximate size of 150–200 mm3, the mice were divided into two groups. In the treatment group, mice were treated with PPP (50 mg/kg) and in the control group, mice were treated with saline. The mice were treated through oral gavage, twice per week for three weeks. Tumor volumes were measured and the results showed that PPP treatment significantly inhibited the growth of the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5A). At necropsy, a significant difference in the tumor sizes was observed between the control and treatment mice (Figure 5B). The xenografts were removed and tumor lysates were subjected to western blot analysis. The results showed that PPP treatment inhibited the phosphorylation of IGF-1R, AKT, and ERK in the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5C).\nPPP treatment inhibits the growth of TP53 wild type carcinoma xenografts. (A). HCT-8 cells were injected subcutaneously in athymic mice for xenograft formation. Once the xenografts were formed, the mice were treated either with PPP (50 mg/kg) in the treatment group or saline in the control group through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The representative mice bearing xenografts were shown at necropsy with saline-treated mouse on the left and PPP-treated mouse on the right. (C). The preventative xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were subjected to western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK.\nTo examine whether the TP53 mutated colorectal carcinoma xenografts resist the treatment of PPP, we injected CACO-2 cells subcutaneously in athymic (nu/nu) mice. Once subcutaneous xenografts were formed approximately 150–200 mm3 in size, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week for three weeks. The results showed no significant difference in the tumor sizes between the treatment and control group of mice, as indicated by the measured tumor volumes (Figure 6A) and the tumor sizes as observed at necropsy (Figure 6B). Western blot analysis of the representative xenograft tissues showed that PPP treatment failed to inhibit the phosphorylation of IGF-1R, AKT and ERK in the TP53 mutated CACO-2 colorectal carcinoma xenografts (Figure 6C). Taken together, these studies suggest that TP53 wild type colorectal carcinoma may respond to the treatment of PPP whereas TP53 mutated carcinomas are most likely resistant to the treatment.\nTP53 mutated colorectal carcinoma xenografts are resistant to PPP treatment. (A). The TP53 mutated CACO-2 cells were injected subcutaneously in mice and once the subcutaneous xenografts were formed, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The mice bearing xenografts were shown at necropsy with a saline-treated mouse on the left and a PPP-treated mouse on the right. (C). The xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK.", "Colorectal carcinoma is the second leading cause of cancer-related deaths in the United States [42]; thus, there is an urgent need for the development of novel and effective treatment of this devastating human disease. Recent studies have provided several lines of evidence indicating that targeting of IGF-1R may as serve as the basis for clinical treatment of colorectal carcinoma. High concentrations of serum IGF-I/IGF-II are associated with increased risk for developing colorectal carcinoma [7-9] and the IGF-II gene is the single most overexpressed gene in colorectal carcinomas [43]. Furthermore, colorectal carcinomas express high levels of IGF-I/IGF-II [11-13], IGF-1R mRNA [14,15], and IGF-1R protein, as shown in this study. The higher expression levels of IGF-1R are associated with a higher malignant pathologic grade and late stage of colorectal carcinomas [44].\nPreclinical studies have shown that the GEO colorectal carcinoma cell line and xenografts respond to the treatment of a dual IGF-1R/insulin receptor kinase inhibitor, PQIP [45]. However, examination of a large panel of colorectal carcinoma cell lines has suggested that the majority of the cell lines are resistant to this dual inhibitor [46]. The combined treatment of the IGF-1R kinase inhibitor, NVP-AFW541 or PQIP with the epidermal growth factor receptor (EGFR) inhibitor erlotinib or tarceva triggers apoptosis and inhibits growth of colorectal carcinoma cell lines [47,48]. A phase II trial, however, has concluded that the IGF-1R neutralizing antibody IMC-A12, alone or in combination with the EGFR antibody cetuximab, is insufficient for the treatment of colorectal carcinomas [21]. Currently, clinical trials of IGF-1R antibodies and kinase inhibitors are ongoing in treating various human cancers. These trails may benefit from studies of the mechanisms in drug resistance and identification of biomarkers that can predict cancer responsiveness to IGF-1R targeted therapies.\nAfter examining a panel of colorectal carcinoma cell lines and xenografts, we have found that the cell lines respond differently to the treatment of PPP, an IGF-1R inhibitor [25]. Some of the cell lines are sensitive whereas other cell lines are resistant to PPP treatment. In the sensitive lines HCT-8 and SW948, PPP treatment blocks IGF-1R phosphorylation and inhibits its downstream AKT and ERK pathway, and suppresses carcinoma cell growth and xenograft progression. In addition, PPP treatment blocks BAD phosphorylation and activates BAD-mediated apoptosis through the mitochondrial pathway. These findings are consistent with other reports that PPP treatment triggers apoptosis in multiple myeloma cells [27] and suppresses the progression of multiple myeloma and glioblastoma xenografts [28-30]. Phase I/II trails of PPP are currently in place for treating patients with glioblastoma, hematological malignancies, and non-small cell lung carcinoma.\nThe salient feature of this study is that most colorectal carcinoma cell lines are resistant to the treatment of PPP. PPP treatment does block IGF-1R phosphorylation but fails to inhibit the downstream AKT and ERK pathway or induce BAD-mediated mitochondrial apoptosis. These findings are consistent with the clinical trials of IGF-1R targeted agents that have not shown much clinical activity against human cancers [1,16]. Our data suggest that the lack of therapeutic effect is due to the association of PPP resistance with TP53 mutations in colorectal carcinomas. The p53 tumor suppressor regulates apoptosis in many types of cells and mutations of the TP53 gene result in the loss of its function in control of apoptosis in cancer cells [49]. TP53 mutations commonly occur in human colorectal carcinomas [31]. Our study suggests that TP53 gene status can be used as a biomarker to predict the responsiveness of colorectal carcinomas to the treatment of IGF-1R targeted therapies.\nThe discovery of PPP as an IGF-1R inhibitor [25] by a research group at the Karolinska Institute has revealed its mechanism of action through inhibition of IGF-1R phosphorylation [26], which induces G2/M-phase accumulation and apoptosis [27]. This group has further shown that PPP treatment down-regulates the IGF-1R protein through MDM2-mediated ubiquitination and degradation [35]. The MDM2-mediated IGF-1R ubiquitination activates the ERK pathway [37] and leads to the cancer resistance to PPP [38]. The data presented in this manuscript have confirmed the action of PPP in inhibition of cell growth and induction of apoptosis in TP53 wild-type colorectal carcinoma cells. We have also found a correlation between TP53 mutation and PPP resistance in human colorectal carcinoma cells. Both p53 and IGF-1R proteins are the substrates of MDM2 and the presence of MDM2 in both TP53 wild-type and mutated carcinoma cells suggests that PPP-induced ERK activation in TP53 mutated carcinoma cells occurs through a p53-independent manner. The PPP-induced ERK activation contributes in part to the resistance of TP53 mutated colorectal carcinoma to the IGF-1R inhibitor PPP.", "The IGF-1R inhibitor, PPP, is currently in clinical trials for the treatment of human cancers. We have found the majority of colorectal carcinoma cell lines are resistant to PPP treatment due to failure of activation of the intracellular AKT and ERK growth pathway and induction of the BAD-induced mitochondrial apoptosis pathway. Furthermore, we have found that TP53 mutations are associated with PPP resistance in colorectal carcinoma and indicated that determining the TP53 gene status as wild-type or mutated can be used as a biomarker to predict the responsiveness of colorectal carcinoma in human clinical trials.", "The authors declare that they have no competing interests.", "QW and ABC designed the study; QW, FW, CL, KZ and ACB performed the experiments; QW and FW analyzed and interpreted the results; GL, TL and CH contributed materials. ACB and CH wrote the manuscript. CGH edited and revised the manuscript. All authors read and approved the final manuscript.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2407/13/521/prepub\n" ]
[ null, "methods", null, null, null, null, null, null, null, "results", null, null, null, null, "discussion", "conclusions", null, null, null ]
[ "Apoptosis", "Colorectal carcinoma", "ERK", "IGF-1R", "IGF-1R inhibitor", "\nTP53\n" ]
Background: The IGF-1R signaling pathway plays an important role in the formation and progression of human cancers and has been targeted for cancer treatment [1]. IGF-1R is a membrane- associated receptor tyrosine kinase that controls both cell growth and apoptosis. Insulin-like growth factor-I and -II (IGF-I; IGF-II) ligand binding to IGF-1R leads to the phosphorylation of insulin receptor substrate (IRS) proteins, resulting in the activation of phosphoinositide 3-kinase (PI3K)/AKT and downstream signaling pathways [2]. IGF-1R inhibits the apoptosis pathway through AKT-mediated phosphorylation of BAD, a pro-apoptotic protein of the BCL2 family [3]. Phosphorylated BAD is dissociated from the BCL-2 family proteins that protect mitochondrial membrane potential and thus inhibit mitochondrial release of apoptotic factors [4]. In addition, IGF-1R activates the extracellular signal-regulated kinase (ERK) and nuclear factor-κB (NF-κB) pathway that protect colorectal carcinoma cells from tumor necrosis factor-α (TNFα) induced apoptosis [5]. By activating PI3K/AKT and ERK growth pathways and inhibiting the BAD and TNFα-mediated apoptosis, the IGF-1R signaling pathway promotes the survival, growth, and metastasis of colorectal carcinomas [1,6]. Epidemiological studies have revealed the association of high concentrations of serum IGF-I and IGF-II with the increased risk of developing several human cancers including colorectal carcinomas [7-10]. Examination of colorectal carcinomas has revealed elevation of the transcripts of IGF-I/II [11-13] and IGF-1R [14,15]. These findings suggest that IGF-I/II may interact with IGF-1R on the cancer cell surface and promote cancer growth through paracrine and autocrine loops and targeting of the IGF-IGF-1R pathway may lead to the development of cancer therapeutics [6]. IGF-1R has been targeted by two types of therapeutic agents: IGR-1R neutralizing monoclonal antibodies and small molecule IGF-1R inhibitors [16,17]. Monoclonal antibodies and kinase inhibitors have been characterized in preclinical studies [18] and some have been taken to clinical trials for cancer treatments [19,20]. Preliminary data from current clinical trials have revealed resistance of human cancers to treatment [1,16]. For example, a phase II trial of an IGF-1R antibody has shown a limited response with treatment of metastatic colorectal carcinomas [21]. The characterization of the crystallographic structures of the insulin receptor and IGF-1R has enabled the development of IGF-1R specific inhibitors [22-24]. Picropodophyllin (PPP), a member of the cyclolignan family, has been identified as an IGF-1R inhibitor [25] since it specifically blocks the phosphorylation of the Tyr 1136 residue in the IGF-1R activation loop and thus inhibits the phosphorylation and kinase activity of the receptor [26]. PPP blocks the PI3K/AKT pathway [25], induces apoptosis in multiple myeloma cells [27], and suppresses the growth of multiple myeloma and glioblastoma xenografts [28-30]. Phase I/II trials have been launched for treatment of glioblastoma, hematological malignancies, and non-small cell lung carcinoma by picropodophyllin (AXL1717). In this study, we investigated the therapeutic response of human colorectal carcinomas with the recently identified IGF-1R inhibitor, PPP [25]. Multiple colorectal carcinoma cell lines were used in addition to colorectal xenografts generated in mice to study the therapeutic response. We examined the IGF-1R downstream AKT and ERK growth pathways and BAD-mediated mitochondrial apoptotic pathway in PPP-treated colorectal carcinoma cells. These studies found the majority of the carcinoma cell lines were resistant to PPP treatment due to the failure of AKT and ERK activation as well as induction of BAD-mediated mitochondrial apoptotic pathways. Furthermore, these studies revealed the association of TP53 mutations with PPP resistance in the carcinoma cell lines in culture and a xenograft model. While human colorectal carcinomas harbor frequent mutations of APC, TP53, PIK3CA and KRAS[31], our findings suggest that the TP53 mutations are associated with the resistance of colorectal carcinoma to the IGF-1R inhibitor, PPP. Methods: Human colorectal carcinoma cell lines, tumors and normal colon tissues Human colorectal carcinoma cell lines CACAO-2, COLO-205, COLO-320, DLD-1, HCT-8, HT29 and SW948 were purchased from American Type Collection (ATCC; Rockville, MD). Each cell line was grown in RPMI1640 medium (Invitrogen, Carlsbad, CA) supplemented with 10% fetal bovine serum (FBS). Cells were maintained in a humidified 37°C and 5% CO2 incubator. Human colorectal carcinoma and matched adjacent normal colorectal tissue samples were collected in accordance with the protocols approved by the institutional Review Board of the First Hospital of Jilin University. All patients provided written informed consent for the tissue sample collection. This study was approved by the First Hospital Ethical Committee of Jilin University. Human colorectal carcinoma cell lines CACAO-2, COLO-205, COLO-320, DLD-1, HCT-8, HT29 and SW948 were purchased from American Type Collection (ATCC; Rockville, MD). Each cell line was grown in RPMI1640 medium (Invitrogen, Carlsbad, CA) supplemented with 10% fetal bovine serum (FBS). Cells were maintained in a humidified 37°C and 5% CO2 incubator. Human colorectal carcinoma and matched adjacent normal colorectal tissue samples were collected in accordance with the protocols approved by the institutional Review Board of the First Hospital of Jilin University. All patients provided written informed consent for the tissue sample collection. This study was approved by the First Hospital Ethical Committee of Jilin University. IGF-1R inhibitor and antibodies PPP were purchased from Calbiochem (EMD Millipore) and dissolved in dimethyl sulfoxide (DSMO) at the concentration of 10 mM and stored in aliquots at −80°C. Recombinant human IGF-I was also purchased from Calbiochem and stored in aliquots at −80°C. The antibodies used in this study were purchased from Cell Signaling Technology (Beverly, MA) against the human caspase-9, phospho-IRS-1, AKT, phospho-AKT (Ser473), ERK, phopho-ERK (Thr202/Thr204), IGF-1R, phospho-IGF-1R (Y1135/1136), BAD and phospho-BAD (Ser112/Ser136). Other primary antibodies used in the study included those against the human poly (ADP-ribose) polymerase (PARP), caspase-3 (StressGen, Ann Harbor, MI), DNF fragmentation factor-45 (DFF45), β-actin, BCL-2 (Santa Cruz Biotechnology, Santa Cruz, CA), MDM2 (sigma Aldrich) and X-linked inhibitor of apoptosis protein (XIAP; Transduction Laboratories, Lexington, KY). The secondary antibodies used in this study were horseradish peroxidase (HRP)-conjugated goat anti-mouse (Southern Biotech, Birmingham, AL) and goat anti-rabbit antibody (Jackson ImmunoResearch Laboratories, West Grove, PA). Protease inhibitor mixture, Triton x-100 and other chemicals were purchased from Sigma-Aldrich. Chemiluminescence was from Amersham Biosciences (Piscataway, NJ). PPP were purchased from Calbiochem (EMD Millipore) and dissolved in dimethyl sulfoxide (DSMO) at the concentration of 10 mM and stored in aliquots at −80°C. Recombinant human IGF-I was also purchased from Calbiochem and stored in aliquots at −80°C. The antibodies used in this study were purchased from Cell Signaling Technology (Beverly, MA) against the human caspase-9, phospho-IRS-1, AKT, phospho-AKT (Ser473), ERK, phopho-ERK (Thr202/Thr204), IGF-1R, phospho-IGF-1R (Y1135/1136), BAD and phospho-BAD (Ser112/Ser136). Other primary antibodies used in the study included those against the human poly (ADP-ribose) polymerase (PARP), caspase-3 (StressGen, Ann Harbor, MI), DNF fragmentation factor-45 (DFF45), β-actin, BCL-2 (Santa Cruz Biotechnology, Santa Cruz, CA), MDM2 (sigma Aldrich) and X-linked inhibitor of apoptosis protein (XIAP; Transduction Laboratories, Lexington, KY). The secondary antibodies used in this study were horseradish peroxidase (HRP)-conjugated goat anti-mouse (Southern Biotech, Birmingham, AL) and goat anti-rabbit antibody (Jackson ImmunoResearch Laboratories, West Grove, PA). Protease inhibitor mixture, Triton x-100 and other chemicals were purchased from Sigma-Aldrich. Chemiluminescence was from Amersham Biosciences (Piscataway, NJ). Cell viability assay Cells were grown in 96-well plates at 8x103 cells per well in 100 μl of growth medium. Cells were treated or untreated with PPP in the concentrations as indicated in the Results. After incubation for the times indicated in the Results, cells were washed with a phosphate buffer and 100 μl buffer 0.2 M containing sodium acetate (pH 5.5), 0.1% (v/v) Triton X-100 and 20 mM p-nitrophenyl phosphate was added to each of the wells. The plates were incubated at 37°C for 1.5 hours and the reaction was stopped by the addition of 10 μl 1 M NaOH to each well, Absorbance were measured at 405 nm by a microplate reader (BioRad). Cells were grown in 96-well plates at 8x103 cells per well in 100 μl of growth medium. Cells were treated or untreated with PPP in the concentrations as indicated in the Results. After incubation for the times indicated in the Results, cells were washed with a phosphate buffer and 100 μl buffer 0.2 M containing sodium acetate (pH 5.5), 0.1% (v/v) Triton X-100 and 20 mM p-nitrophenyl phosphate was added to each of the wells. The plates were incubated at 37°C for 1.5 hours and the reaction was stopped by the addition of 10 μl 1 M NaOH to each well, Absorbance were measured at 405 nm by a microplate reader (BioRad). Flow cytometric assay for the cell cycle and sub-G1 apoptotic cells Cells were treated with 1 μM PP242 and 2 μM erlotinib, alone or in combination, for 20 hours, harvested, fixed with 70% ethanol, and stained with propidium iodide. The data were acquired using flow cytometry (FACSCanto II Becton Dickinson, Franklin Lakes, NY) and were analyzed using FlowJo software (Tree Star Inc. Ashland, OR). Sub-G1 apoptotic cells were determined as a percentage of the cells. Cells were treated with 1 μM PP242 and 2 μM erlotinib, alone or in combination, for 20 hours, harvested, fixed with 70% ethanol, and stained with propidium iodide. The data were acquired using flow cytometry (FACSCanto II Becton Dickinson, Franklin Lakes, NY) and were analyzed using FlowJo software (Tree Star Inc. Ashland, OR). Sub-G1 apoptotic cells were determined as a percentage of the cells. Western blotting Western blotting was performed according to our laboratory protocols [32]. In brief, cells were lysed in a cell lysis buffer (20 nM Tris pH7.4, 150 mM NaCL, 1% NP-40, 10% glycerol,1 mM EGTA, 1 mM EDTA, 5 mM sodium pyrophosphate, 50 mM sodium fluoride, 10 mM β-glycerophosphate, 1 mM sodium vanadate, 0.5 mM DTT, 1 mM PMSF, 2 mM imidazole, 1.15 mM sodium molybdate, 4 mM sodium tartrate dihydrate, and 1x protease inhibitor cocktail). Cell lysates were cleared by centrifugation at 18,000 x g for 15 minutes at 4°C. The supernatant was collected and protein concentrations were determined by the Bradford protein assay following the manufacturer’s protocol (Bio-Rad Laboratories). Equal amounts of protein were separated through SDS-PAGE gels and transferred onto nitrocellulose membranes (Bio-Rad Laboratories). The membranes were incubated overnight at 4°C with primary antibody and then for 1 hour with HP-conjugated secondary antibody. The membranes were developed by chemiluminescence. Western blotting was performed according to our laboratory protocols [32]. In brief, cells were lysed in a cell lysis buffer (20 nM Tris pH7.4, 150 mM NaCL, 1% NP-40, 10% glycerol,1 mM EGTA, 1 mM EDTA, 5 mM sodium pyrophosphate, 50 mM sodium fluoride, 10 mM β-glycerophosphate, 1 mM sodium vanadate, 0.5 mM DTT, 1 mM PMSF, 2 mM imidazole, 1.15 mM sodium molybdate, 4 mM sodium tartrate dihydrate, and 1x protease inhibitor cocktail). Cell lysates were cleared by centrifugation at 18,000 x g for 15 minutes at 4°C. The supernatant was collected and protein concentrations were determined by the Bradford protein assay following the manufacturer’s protocol (Bio-Rad Laboratories). Equal amounts of protein were separated through SDS-PAGE gels and transferred onto nitrocellulose membranes (Bio-Rad Laboratories). The membranes were incubated overnight at 4°C with primary antibody and then for 1 hour with HP-conjugated secondary antibody. The membranes were developed by chemiluminescence. Mouse subcutaneous xenografts and treatments The animal studies were approved by the Institutional Animal Care and Use Committee of Emory University. The HCT-8 cells or Caco2 cells (7 × 106) were implanted subcutaneously into the flank regions of six-week old (about 20 g of body weight) female athymic (nu/nu) mice (Taconic, Hudson, NY). The mice were allowed to develop subcutaneous xenografts and tumor volumes were measured using caliper measurements. When tumors reached approximately 150–200 mm3, mice were assigned randomly to 2 experimental groups (n = 4 per group) and treated either with saline as control or PPP (50 mg/kg) through oral gavages, twice per week. Tumor volumes were measured once every 3 days and calculated based on the formula: V =4/3 × π × (length/2 × [width/2]2). At the end of treatment, the mice were sacrificed and the tumors were harvested and weighed at necropsy. The animal studies were approved by the Institutional Animal Care and Use Committee of Emory University. The HCT-8 cells or Caco2 cells (7 × 106) were implanted subcutaneously into the flank regions of six-week old (about 20 g of body weight) female athymic (nu/nu) mice (Taconic, Hudson, NY). The mice were allowed to develop subcutaneous xenografts and tumor volumes were measured using caliper measurements. When tumors reached approximately 150–200 mm3, mice were assigned randomly to 2 experimental groups (n = 4 per group) and treated either with saline as control or PPP (50 mg/kg) through oral gavages, twice per week. Tumor volumes were measured once every 3 days and calculated based on the formula: V =4/3 × π × (length/2 × [width/2]2). At the end of treatment, the mice were sacrificed and the tumors were harvested and weighed at necropsy. Statistical analysis All data were presented as means ± SE. Statistical analyses were performed by GraphPad Prism version 5.01 software for Windows (GraphPad Software). The differences in the means between two groups were analyzed with two-tailed unpaired Student’s t-test. Results were considered to be statistically significant at P <0.05. All data were presented as means ± SE. Statistical analyses were performed by GraphPad Prism version 5.01 software for Windows (GraphPad Software). The differences in the means between two groups were analyzed with two-tailed unpaired Student’s t-test. Results were considered to be statistically significant at P <0.05. Human colorectal carcinoma cell lines, tumors and normal colon tissues: Human colorectal carcinoma cell lines CACAO-2, COLO-205, COLO-320, DLD-1, HCT-8, HT29 and SW948 were purchased from American Type Collection (ATCC; Rockville, MD). Each cell line was grown in RPMI1640 medium (Invitrogen, Carlsbad, CA) supplemented with 10% fetal bovine serum (FBS). Cells were maintained in a humidified 37°C and 5% CO2 incubator. Human colorectal carcinoma and matched adjacent normal colorectal tissue samples were collected in accordance with the protocols approved by the institutional Review Board of the First Hospital of Jilin University. All patients provided written informed consent for the tissue sample collection. This study was approved by the First Hospital Ethical Committee of Jilin University. IGF-1R inhibitor and antibodies: PPP were purchased from Calbiochem (EMD Millipore) and dissolved in dimethyl sulfoxide (DSMO) at the concentration of 10 mM and stored in aliquots at −80°C. Recombinant human IGF-I was also purchased from Calbiochem and stored in aliquots at −80°C. The antibodies used in this study were purchased from Cell Signaling Technology (Beverly, MA) against the human caspase-9, phospho-IRS-1, AKT, phospho-AKT (Ser473), ERK, phopho-ERK (Thr202/Thr204), IGF-1R, phospho-IGF-1R (Y1135/1136), BAD and phospho-BAD (Ser112/Ser136). Other primary antibodies used in the study included those against the human poly (ADP-ribose) polymerase (PARP), caspase-3 (StressGen, Ann Harbor, MI), DNF fragmentation factor-45 (DFF45), β-actin, BCL-2 (Santa Cruz Biotechnology, Santa Cruz, CA), MDM2 (sigma Aldrich) and X-linked inhibitor of apoptosis protein (XIAP; Transduction Laboratories, Lexington, KY). The secondary antibodies used in this study were horseradish peroxidase (HRP)-conjugated goat anti-mouse (Southern Biotech, Birmingham, AL) and goat anti-rabbit antibody (Jackson ImmunoResearch Laboratories, West Grove, PA). Protease inhibitor mixture, Triton x-100 and other chemicals were purchased from Sigma-Aldrich. Chemiluminescence was from Amersham Biosciences (Piscataway, NJ). Cell viability assay: Cells were grown in 96-well plates at 8x103 cells per well in 100 μl of growth medium. Cells were treated or untreated with PPP in the concentrations as indicated in the Results. After incubation for the times indicated in the Results, cells were washed with a phosphate buffer and 100 μl buffer 0.2 M containing sodium acetate (pH 5.5), 0.1% (v/v) Triton X-100 and 20 mM p-nitrophenyl phosphate was added to each of the wells. The plates were incubated at 37°C for 1.5 hours and the reaction was stopped by the addition of 10 μl 1 M NaOH to each well, Absorbance were measured at 405 nm by a microplate reader (BioRad). Flow cytometric assay for the cell cycle and sub-G1 apoptotic cells: Cells were treated with 1 μM PP242 and 2 μM erlotinib, alone or in combination, for 20 hours, harvested, fixed with 70% ethanol, and stained with propidium iodide. The data were acquired using flow cytometry (FACSCanto II Becton Dickinson, Franklin Lakes, NY) and were analyzed using FlowJo software (Tree Star Inc. Ashland, OR). Sub-G1 apoptotic cells were determined as a percentage of the cells. Western blotting: Western blotting was performed according to our laboratory protocols [32]. In brief, cells were lysed in a cell lysis buffer (20 nM Tris pH7.4, 150 mM NaCL, 1% NP-40, 10% glycerol,1 mM EGTA, 1 mM EDTA, 5 mM sodium pyrophosphate, 50 mM sodium fluoride, 10 mM β-glycerophosphate, 1 mM sodium vanadate, 0.5 mM DTT, 1 mM PMSF, 2 mM imidazole, 1.15 mM sodium molybdate, 4 mM sodium tartrate dihydrate, and 1x protease inhibitor cocktail). Cell lysates were cleared by centrifugation at 18,000 x g for 15 minutes at 4°C. The supernatant was collected and protein concentrations were determined by the Bradford protein assay following the manufacturer’s protocol (Bio-Rad Laboratories). Equal amounts of protein were separated through SDS-PAGE gels and transferred onto nitrocellulose membranes (Bio-Rad Laboratories). The membranes were incubated overnight at 4°C with primary antibody and then for 1 hour with HP-conjugated secondary antibody. The membranes were developed by chemiluminescence. Mouse subcutaneous xenografts and treatments: The animal studies were approved by the Institutional Animal Care and Use Committee of Emory University. The HCT-8 cells or Caco2 cells (7 × 106) were implanted subcutaneously into the flank regions of six-week old (about 20 g of body weight) female athymic (nu/nu) mice (Taconic, Hudson, NY). The mice were allowed to develop subcutaneous xenografts and tumor volumes were measured using caliper measurements. When tumors reached approximately 150–200 mm3, mice were assigned randomly to 2 experimental groups (n = 4 per group) and treated either with saline as control or PPP (50 mg/kg) through oral gavages, twice per week. Tumor volumes were measured once every 3 days and calculated based on the formula: V =4/3 × π × (length/2 × [width/2]2). At the end of treatment, the mice were sacrificed and the tumors were harvested and weighed at necropsy. Statistical analysis: All data were presented as means ± SE. Statistical analyses were performed by GraphPad Prism version 5.01 software for Windows (GraphPad Software). The differences in the means between two groups were analyzed with two-tailed unpaired Student’s t-test. Results were considered to be statistically significant at P <0.05. Results: TP53 mutated colorectal carcinoma cells are resistant to PPP treatment Earlier studies have revealed increased levels of the IGF-1R mRNA in human colorectal carcinoma tumors [14,15]. To examine the expression of IGF-1R protein, we carried out a western blot analysis of human colorectal carcinoma tumors, together with matched normal colorectal tissue. The results showed that IGF-1R proteins were expressed in the carcinoma tumors at much higher levels than in the matched normal tissue (Figure 1A). We then examined a panel of seven colorectal carcinoma cell lines by western blotting and identified the expression of IGF-1R in each of these cell lines. Nearly half of the cell lines expressed much higher levels of IGF-1R as compared with other cell lines (Figure 1B). TP53 mutation is associated with PPP resistance in colorectal carcinoma cells. (A). Western blot analysis of the expression of IGF-1R protein in colorectal carcinoma tumor tissues (T) and matched adjacent normal colorectal tissue (N). β-actin was used as the protein loading control. (B). Western blot detection of IGF-1R protein in a panel of seven colorectal carcinoma cell lines as indicated on the top of the panel. (C). Each of the cell lines was treated with the indicated concentrations of PPP for 72 hours and then analyzed by cell viability assay. The experiment was repeated three times and the data presented as mean + SD (standard deviation). **, p < 0.01. Next, we examined how colorectal carcinoma cell lines respond to PPP treatment. To this end, each of the cell lines was treated with a series of PPP concentrations for 72 hours. A cell viability assay showed PPP treatment significantly inhibited the growth of the sensitive cell lines HCT-8 and SW948. Slight inhibition of the growth of the resistant cell lines CACO-2, COLO-205, COLO-320, DLD-1 and HT-29 was found at much higher doses (Figure 1C). The PPP resistant cell lines were reported with TP53 mutations [33] according to the Catalogue of Somatic Mutations in Cancer (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic). In contrast, HCT-8 [34] and SW948 (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic) are TP53 wild-type cell lines. These analyses suggest the association of TP53 mutations with the PPP resistance of colorectal carcinoma cells to PPP treatment. Earlier studies have revealed increased levels of the IGF-1R mRNA in human colorectal carcinoma tumors [14,15]. To examine the expression of IGF-1R protein, we carried out a western blot analysis of human colorectal carcinoma tumors, together with matched normal colorectal tissue. The results showed that IGF-1R proteins were expressed in the carcinoma tumors at much higher levels than in the matched normal tissue (Figure 1A). We then examined a panel of seven colorectal carcinoma cell lines by western blotting and identified the expression of IGF-1R in each of these cell lines. Nearly half of the cell lines expressed much higher levels of IGF-1R as compared with other cell lines (Figure 1B). TP53 mutation is associated with PPP resistance in colorectal carcinoma cells. (A). Western blot analysis of the expression of IGF-1R protein in colorectal carcinoma tumor tissues (T) and matched adjacent normal colorectal tissue (N). β-actin was used as the protein loading control. (B). Western blot detection of IGF-1R protein in a panel of seven colorectal carcinoma cell lines as indicated on the top of the panel. (C). Each of the cell lines was treated with the indicated concentrations of PPP for 72 hours and then analyzed by cell viability assay. The experiment was repeated three times and the data presented as mean + SD (standard deviation). **, p < 0.01. Next, we examined how colorectal carcinoma cell lines respond to PPP treatment. To this end, each of the cell lines was treated with a series of PPP concentrations for 72 hours. A cell viability assay showed PPP treatment significantly inhibited the growth of the sensitive cell lines HCT-8 and SW948. Slight inhibition of the growth of the resistant cell lines CACO-2, COLO-205, COLO-320, DLD-1 and HT-29 was found at much higher doses (Figure 1C). The PPP resistant cell lines were reported with TP53 mutations [33] according to the Catalogue of Somatic Mutations in Cancer (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic). In contrast, HCT-8 [34] and SW948 (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic) are TP53 wild-type cell lines. These analyses suggest the association of TP53 mutations with the PPP resistance of colorectal carcinoma cells to PPP treatment. PPP treatment enhances AKT and ERK phosphorylation in TP53 mt carcinoma cells To examine the mechanism of PPP resistance, we evaluated whether PPP treatment blocks IGF-1R auto-phosphorylation [26] and inhibits the downstream AKT and ERK pathways [25]. Since IGF-I and IGF-II activate IGF-1R through paracrine and autocrine loops [6], each of the cell lines was therefore treated with 50 ng IGF-I. Western blotting showed that the IGF-I treatment resulted in the phosphorylation of IGF-1R in both the TP53 wild-type HCT8 and mutated CACO-2 cells (Figure 2A). The cell lines were then treated with 500 nM PPP in the presence of IGF-I and western blotting revealed a decrease in phosphorylation of IGF-1R in a time dependent manner. In contrast, total IGF-1R levels remained unchanged during the treatment. These data indicate that PPP blocks IGF-1R phosphorylation in both TP53 wild-type and mutated cells. PPP treatment reduced the levels of phosphorylated AKT and ERK in the TP53 wild-type HCT-8 but not the TP53 mutated CACO-2 cells; the results suggest that the PPP resistance occurs at IGF-1R downstream intracellular levels in TP53 mutated cells. PPP treatment triggers apoptosis in TP53 wild-type but not mutated cells. (A). The TP53 wild-type HCT-8 and mutated CACO-2 cells were treated with 500 nM PPP in the presence or absence of 50 ng/ml IGF-I for the hours as indicated. The treated cells were then examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK with β-actin as the loading control. (B). The TP53 wild-type HCT8 and SW948 and mutated CACO-2 and HT29 were examined by western blotting for the levels of MDM2 protein. (C). The TP53 wild-type SW948 and mutated CACO-2 cells were treated with 500 nM PPP and 50 ng/ml IGF-I, alone and in combination, for the indicated hours. The cells were then examined by western blotting for the levels of IGF-1R protein. (D). SW948 and CACO-2 cells were treated with 500 nM PPP for the indicated minutes and then analyzed by western blotting for the levels of unphosphorylated and phosphorylated ERK (p-ERK). Earlier studies have clearly shown that PPP treatment leads to the downregulation of IGF-1R through MDM2-mediated ubiquitination and degradation of the IGF-1R protein [35]. Both IGF-1R and p53 proteins are the substrates of the ubiquitin ligase MDM2 [36]. To explore the role of MDM2 in the resistance of mutated TP53 cell lines to PPP, we examined the protein levels of MDM2 in wild-type and mutated TP53 cell lines by western blotting. The data revealed no difference in the expression of MDM2 protein between TP53 wild-type and mutated cell lines (Figure 2B). Next, we examined the kinetics of IGF-1R degradation under the treatment of IGF-1 and PPP, alone and in combination. To this end, we compared the IGF-1R protein levels between the TP53 wild-type SW948 and mutated CACO-2 since these two cell lines expressed IGF-1R protein at similar levels (Figure 1B). Western blotting revealed that PPP treatment reduced the levels of IGF-1R protein in both SW948 and CACO-2 cells (Figure 2C) due to the similar expression levels of MDM2 protein between these two cell lines (Figure 2B). These results confirm the earlier reports [35,36] that PPP treatment induces IGF-1R degradation through MDM2-medicated ubiquitination in a p53-independent manner. MDM2-mediated ubiquitination of IGF-1R with PPP treatment leads to the activation of ERK pathway [37], resulting in the resistance of Ewing’s sarcoma to the treatment of the anti-IGF-1R antibody figitumuab [38]. To explore this mechanism in colorectal carcinoma, we treated SW948 and CACO-2 cell lines with PPP in a dose-dependent manner and found that PPP treatment increased the levels of p-ERK in the TP53 mutated CACO-2 but not in the TP53 wild-type SW948 cells (Figure 2D). Taken together, the results suggest that PPP treatment bocks the phosphorylation of IGF-1R and inhibits the downstream ERK pathway in TP53 wild type colorectal carcinoma cells. In contrast, TP53 mutated carcinoma cells are resistant to the PPP treatment in part due to its failure of inhibition of the intracellular ERK pathway. To examine the mechanism of PPP resistance, we evaluated whether PPP treatment blocks IGF-1R auto-phosphorylation [26] and inhibits the downstream AKT and ERK pathways [25]. Since IGF-I and IGF-II activate IGF-1R through paracrine and autocrine loops [6], each of the cell lines was therefore treated with 50 ng IGF-I. Western blotting showed that the IGF-I treatment resulted in the phosphorylation of IGF-1R in both the TP53 wild-type HCT8 and mutated CACO-2 cells (Figure 2A). The cell lines were then treated with 500 nM PPP in the presence of IGF-I and western blotting revealed a decrease in phosphorylation of IGF-1R in a time dependent manner. In contrast, total IGF-1R levels remained unchanged during the treatment. These data indicate that PPP blocks IGF-1R phosphorylation in both TP53 wild-type and mutated cells. PPP treatment reduced the levels of phosphorylated AKT and ERK in the TP53 wild-type HCT-8 but not the TP53 mutated CACO-2 cells; the results suggest that the PPP resistance occurs at IGF-1R downstream intracellular levels in TP53 mutated cells. PPP treatment triggers apoptosis in TP53 wild-type but not mutated cells. (A). The TP53 wild-type HCT-8 and mutated CACO-2 cells were treated with 500 nM PPP in the presence or absence of 50 ng/ml IGF-I for the hours as indicated. The treated cells were then examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK with β-actin as the loading control. (B). The TP53 wild-type HCT8 and SW948 and mutated CACO-2 and HT29 were examined by western blotting for the levels of MDM2 protein. (C). The TP53 wild-type SW948 and mutated CACO-2 cells were treated with 500 nM PPP and 50 ng/ml IGF-I, alone and in combination, for the indicated hours. The cells were then examined by western blotting for the levels of IGF-1R protein. (D). SW948 and CACO-2 cells were treated with 500 nM PPP for the indicated minutes and then analyzed by western blotting for the levels of unphosphorylated and phosphorylated ERK (p-ERK). Earlier studies have clearly shown that PPP treatment leads to the downregulation of IGF-1R through MDM2-mediated ubiquitination and degradation of the IGF-1R protein [35]. Both IGF-1R and p53 proteins are the substrates of the ubiquitin ligase MDM2 [36]. To explore the role of MDM2 in the resistance of mutated TP53 cell lines to PPP, we examined the protein levels of MDM2 in wild-type and mutated TP53 cell lines by western blotting. The data revealed no difference in the expression of MDM2 protein between TP53 wild-type and mutated cell lines (Figure 2B). Next, we examined the kinetics of IGF-1R degradation under the treatment of IGF-1 and PPP, alone and in combination. To this end, we compared the IGF-1R protein levels between the TP53 wild-type SW948 and mutated CACO-2 since these two cell lines expressed IGF-1R protein at similar levels (Figure 1B). Western blotting revealed that PPP treatment reduced the levels of IGF-1R protein in both SW948 and CACO-2 cells (Figure 2C) due to the similar expression levels of MDM2 protein between these two cell lines (Figure 2B). These results confirm the earlier reports [35,36] that PPP treatment induces IGF-1R degradation through MDM2-medicated ubiquitination in a p53-independent manner. MDM2-mediated ubiquitination of IGF-1R with PPP treatment leads to the activation of ERK pathway [37], resulting in the resistance of Ewing’s sarcoma to the treatment of the anti-IGF-1R antibody figitumuab [38]. To explore this mechanism in colorectal carcinoma, we treated SW948 and CACO-2 cell lines with PPP in a dose-dependent manner and found that PPP treatment increased the levels of p-ERK in the TP53 mutated CACO-2 but not in the TP53 wild-type SW948 cells (Figure 2D). Taken together, the results suggest that PPP treatment bocks the phosphorylation of IGF-1R and inhibits the downstream ERK pathway in TP53 wild type colorectal carcinoma cells. In contrast, TP53 mutated carcinoma cells are resistant to the PPP treatment in part due to its failure of inhibition of the intracellular ERK pathway. PPP treatment induces apoptosis in TP53 wild-type but not mutated carcinoma cells Earlier studies have shown that PPP treatment inhibits cell growth and induces apoptosis in different types of cancer cells [25,27]. To examine this in colorectal carcinoma cells, we analyzed PPP-treated cells by flow cytometry. The results showed that PPP treatment led to a significant increase of sub-G1 apoptotic cells in the TP53 wild-type but not mutated cell lines (Figure 3A,B). The results further suggest that TP53 mutated carcinoma cells are resistant to PPP treatment in part due to its failure of induction of apoptosis in these cells. PPP treatment triggers apoptosis in TP53 wild type but not mutated cells. (A). Each of the cell lines was treated with 500 nM PPP for 24 hours and subjected to flow cytometry for the detection of the cells in sub-G1 and cell cycle phases. (B). The experiment was repeated three times and the percentage of sub-G1 apoptotic cells is summarized in this histogram as mean + SD. **, p < 0.01. IGF-1R activation leads to the inhibition of apoptosis through the AKT/ERK-mediated phosphorylation of BAD [3]. The failure in AKT/ERK activation and apoptosis induction in TP53 mutated cells under PPP treatment suggests the possibility that BAD phosphorylation may play a role in the PPP resistance. To test this notion, we treated the TP53 wild type HCT-8 and mutated CACO-2 cells with 500 nM PPP. Lysates from the treated cells were examined by western blot analysis using antibodies against the phosphorylated and unphosphorylated form of BAD. The results showed that the PPP treatment inhibited BAD phosphorylation in TP53 wild-type but not mutated cells (Figure 4A). PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial pathway. (A). The TP53 wild type HCT-8 and mutated CACO-2 were treated with 500 nM PPP for the indicated hours and then subjected to western blotting for the presence of the phosphorylated and unphosphorylated BAD and cleavage of XIAP protein. (B). The PPP treated cells were further examined by western blotting for the cleavage of caspase-9, caspase-3, PARP and DFF45 in HCT-8 and CACO-2 cells with the proteins and cleavage products indicated to the right side of the panel. Unphosphorylated BAD interacts with the BCL2 family of proteins and releases their inhibition of the mitochondrial membrane potential [4], leading to the mitochondrial release of apoptosis factors and resulting in caspase-9 activation and initiation of apoptosis through cleavage of the downstream effectors caspase-3, DFF45, and PARP [39]. In addition, the second mitochondria-derived activator of caspase/direct inhibitor of apoptosis binding protein with low pI (SMAC/DIABLO) interacts with THE X-linked inhibitor of apoptosis protein (XIAP), which releases XIAP from binding to caspase-3 and allows caspase-9 cleavage of caspase-3 [40,41]. To examine this mitochondrial pathway in PPP-induced apoptosis, we showed that the treatment of PPP led to the cleavage of XIAP (Figure 4A) and caspase-9, caspase-3, PARP, and DFF45 in the TP53 wild-type HCT-8 but not the mutated CACO-2 cells (Figure 4B). Collectively, the PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial apoptosis in TP53 mutated colorectal carcinoma cells. Earlier studies have shown that PPP treatment inhibits cell growth and induces apoptosis in different types of cancer cells [25,27]. To examine this in colorectal carcinoma cells, we analyzed PPP-treated cells by flow cytometry. The results showed that PPP treatment led to a significant increase of sub-G1 apoptotic cells in the TP53 wild-type but not mutated cell lines (Figure 3A,B). The results further suggest that TP53 mutated carcinoma cells are resistant to PPP treatment in part due to its failure of induction of apoptosis in these cells. PPP treatment triggers apoptosis in TP53 wild type but not mutated cells. (A). Each of the cell lines was treated with 500 nM PPP for 24 hours and subjected to flow cytometry for the detection of the cells in sub-G1 and cell cycle phases. (B). The experiment was repeated three times and the percentage of sub-G1 apoptotic cells is summarized in this histogram as mean + SD. **, p < 0.01. IGF-1R activation leads to the inhibition of apoptosis through the AKT/ERK-mediated phosphorylation of BAD [3]. The failure in AKT/ERK activation and apoptosis induction in TP53 mutated cells under PPP treatment suggests the possibility that BAD phosphorylation may play a role in the PPP resistance. To test this notion, we treated the TP53 wild type HCT-8 and mutated CACO-2 cells with 500 nM PPP. Lysates from the treated cells were examined by western blot analysis using antibodies against the phosphorylated and unphosphorylated form of BAD. The results showed that the PPP treatment inhibited BAD phosphorylation in TP53 wild-type but not mutated cells (Figure 4A). PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial pathway. (A). The TP53 wild type HCT-8 and mutated CACO-2 were treated with 500 nM PPP for the indicated hours and then subjected to western blotting for the presence of the phosphorylated and unphosphorylated BAD and cleavage of XIAP protein. (B). The PPP treated cells were further examined by western blotting for the cleavage of caspase-9, caspase-3, PARP and DFF45 in HCT-8 and CACO-2 cells with the proteins and cleavage products indicated to the right side of the panel. Unphosphorylated BAD interacts with the BCL2 family of proteins and releases their inhibition of the mitochondrial membrane potential [4], leading to the mitochondrial release of apoptosis factors and resulting in caspase-9 activation and initiation of apoptosis through cleavage of the downstream effectors caspase-3, DFF45, and PARP [39]. In addition, the second mitochondria-derived activator of caspase/direct inhibitor of apoptosis binding protein with low pI (SMAC/DIABLO) interacts with THE X-linked inhibitor of apoptosis protein (XIAP), which releases XIAP from binding to caspase-3 and allows caspase-9 cleavage of caspase-3 [40,41]. To examine this mitochondrial pathway in PPP-induced apoptosis, we showed that the treatment of PPP led to the cleavage of XIAP (Figure 4A) and caspase-9, caspase-3, PARP, and DFF45 in the TP53 wild-type HCT-8 but not the mutated CACO-2 cells (Figure 4B). Collectively, the PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial apoptosis in TP53 mutated colorectal carcinoma cells. PPP treatment inhibits TP53 wild type but not mutated colorectal carcinoma xenografts To examine the potential of PPP in treatment of colorectal carcinoma, we first injected the TP53 wild-type HCT-8 cells subcutaneously in athymic (nu/nu) mice for the generation of subcutaneous flank xenografts. The mice were closely monitored and once xenografts reached approximate size of 150–200 mm3, the mice were divided into two groups. In the treatment group, mice were treated with PPP (50 mg/kg) and in the control group, mice were treated with saline. The mice were treated through oral gavage, twice per week for three weeks. Tumor volumes were measured and the results showed that PPP treatment significantly inhibited the growth of the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5A). At necropsy, a significant difference in the tumor sizes was observed between the control and treatment mice (Figure 5B). The xenografts were removed and tumor lysates were subjected to western blot analysis. The results showed that PPP treatment inhibited the phosphorylation of IGF-1R, AKT, and ERK in the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5C). PPP treatment inhibits the growth of TP53 wild type carcinoma xenografts. (A). HCT-8 cells were injected subcutaneously in athymic mice for xenograft formation. Once the xenografts were formed, the mice were treated either with PPP (50 mg/kg) in the treatment group or saline in the control group through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The representative mice bearing xenografts were shown at necropsy with saline-treated mouse on the left and PPP-treated mouse on the right. (C). The preventative xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were subjected to western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK. To examine whether the TP53 mutated colorectal carcinoma xenografts resist the treatment of PPP, we injected CACO-2 cells subcutaneously in athymic (nu/nu) mice. Once subcutaneous xenografts were formed approximately 150–200 mm3 in size, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week for three weeks. The results showed no significant difference in the tumor sizes between the treatment and control group of mice, as indicated by the measured tumor volumes (Figure 6A) and the tumor sizes as observed at necropsy (Figure 6B). Western blot analysis of the representative xenograft tissues showed that PPP treatment failed to inhibit the phosphorylation of IGF-1R, AKT and ERK in the TP53 mutated CACO-2 colorectal carcinoma xenografts (Figure 6C). Taken together, these studies suggest that TP53 wild type colorectal carcinoma may respond to the treatment of PPP whereas TP53 mutated carcinomas are most likely resistant to the treatment. TP53 mutated colorectal carcinoma xenografts are resistant to PPP treatment. (A). The TP53 mutated CACO-2 cells were injected subcutaneously in mice and once the subcutaneous xenografts were formed, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The mice bearing xenografts were shown at necropsy with a saline-treated mouse on the left and a PPP-treated mouse on the right. (C). The xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK. To examine the potential of PPP in treatment of colorectal carcinoma, we first injected the TP53 wild-type HCT-8 cells subcutaneously in athymic (nu/nu) mice for the generation of subcutaneous flank xenografts. The mice were closely monitored and once xenografts reached approximate size of 150–200 mm3, the mice were divided into two groups. In the treatment group, mice were treated with PPP (50 mg/kg) and in the control group, mice were treated with saline. The mice were treated through oral gavage, twice per week for three weeks. Tumor volumes were measured and the results showed that PPP treatment significantly inhibited the growth of the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5A). At necropsy, a significant difference in the tumor sizes was observed between the control and treatment mice (Figure 5B). The xenografts were removed and tumor lysates were subjected to western blot analysis. The results showed that PPP treatment inhibited the phosphorylation of IGF-1R, AKT, and ERK in the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5C). PPP treatment inhibits the growth of TP53 wild type carcinoma xenografts. (A). HCT-8 cells were injected subcutaneously in athymic mice for xenograft formation. Once the xenografts were formed, the mice were treated either with PPP (50 mg/kg) in the treatment group or saline in the control group through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The representative mice bearing xenografts were shown at necropsy with saline-treated mouse on the left and PPP-treated mouse on the right. (C). The preventative xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were subjected to western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK. To examine whether the TP53 mutated colorectal carcinoma xenografts resist the treatment of PPP, we injected CACO-2 cells subcutaneously in athymic (nu/nu) mice. Once subcutaneous xenografts were formed approximately 150–200 mm3 in size, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week for three weeks. The results showed no significant difference in the tumor sizes between the treatment and control group of mice, as indicated by the measured tumor volumes (Figure 6A) and the tumor sizes as observed at necropsy (Figure 6B). Western blot analysis of the representative xenograft tissues showed that PPP treatment failed to inhibit the phosphorylation of IGF-1R, AKT and ERK in the TP53 mutated CACO-2 colorectal carcinoma xenografts (Figure 6C). Taken together, these studies suggest that TP53 wild type colorectal carcinoma may respond to the treatment of PPP whereas TP53 mutated carcinomas are most likely resistant to the treatment. TP53 mutated colorectal carcinoma xenografts are resistant to PPP treatment. (A). The TP53 mutated CACO-2 cells were injected subcutaneously in mice and once the subcutaneous xenografts were formed, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The mice bearing xenografts were shown at necropsy with a saline-treated mouse on the left and a PPP-treated mouse on the right. (C). The xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK. TP53 mutated colorectal carcinoma cells are resistant to PPP treatment: Earlier studies have revealed increased levels of the IGF-1R mRNA in human colorectal carcinoma tumors [14,15]. To examine the expression of IGF-1R protein, we carried out a western blot analysis of human colorectal carcinoma tumors, together with matched normal colorectal tissue. The results showed that IGF-1R proteins were expressed in the carcinoma tumors at much higher levels than in the matched normal tissue (Figure 1A). We then examined a panel of seven colorectal carcinoma cell lines by western blotting and identified the expression of IGF-1R in each of these cell lines. Nearly half of the cell lines expressed much higher levels of IGF-1R as compared with other cell lines (Figure 1B). TP53 mutation is associated with PPP resistance in colorectal carcinoma cells. (A). Western blot analysis of the expression of IGF-1R protein in colorectal carcinoma tumor tissues (T) and matched adjacent normal colorectal tissue (N). β-actin was used as the protein loading control. (B). Western blot detection of IGF-1R protein in a panel of seven colorectal carcinoma cell lines as indicated on the top of the panel. (C). Each of the cell lines was treated with the indicated concentrations of PPP for 72 hours and then analyzed by cell viability assay. The experiment was repeated three times and the data presented as mean + SD (standard deviation). **, p < 0.01. Next, we examined how colorectal carcinoma cell lines respond to PPP treatment. To this end, each of the cell lines was treated with a series of PPP concentrations for 72 hours. A cell viability assay showed PPP treatment significantly inhibited the growth of the sensitive cell lines HCT-8 and SW948. Slight inhibition of the growth of the resistant cell lines CACO-2, COLO-205, COLO-320, DLD-1 and HT-29 was found at much higher doses (Figure 1C). The PPP resistant cell lines were reported with TP53 mutations [33] according to the Catalogue of Somatic Mutations in Cancer (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic). In contrast, HCT-8 [34] and SW948 (http://cancer.sanger.ac.uk/cancergenome/projects/cosmic) are TP53 wild-type cell lines. These analyses suggest the association of TP53 mutations with the PPP resistance of colorectal carcinoma cells to PPP treatment. PPP treatment enhances AKT and ERK phosphorylation in TP53 mt carcinoma cells: To examine the mechanism of PPP resistance, we evaluated whether PPP treatment blocks IGF-1R auto-phosphorylation [26] and inhibits the downstream AKT and ERK pathways [25]. Since IGF-I and IGF-II activate IGF-1R through paracrine and autocrine loops [6], each of the cell lines was therefore treated with 50 ng IGF-I. Western blotting showed that the IGF-I treatment resulted in the phosphorylation of IGF-1R in both the TP53 wild-type HCT8 and mutated CACO-2 cells (Figure 2A). The cell lines were then treated with 500 nM PPP in the presence of IGF-I and western blotting revealed a decrease in phosphorylation of IGF-1R in a time dependent manner. In contrast, total IGF-1R levels remained unchanged during the treatment. These data indicate that PPP blocks IGF-1R phosphorylation in both TP53 wild-type and mutated cells. PPP treatment reduced the levels of phosphorylated AKT and ERK in the TP53 wild-type HCT-8 but not the TP53 mutated CACO-2 cells; the results suggest that the PPP resistance occurs at IGF-1R downstream intracellular levels in TP53 mutated cells. PPP treatment triggers apoptosis in TP53 wild-type but not mutated cells. (A). The TP53 wild-type HCT-8 and mutated CACO-2 cells were treated with 500 nM PPP in the presence or absence of 50 ng/ml IGF-I for the hours as indicated. The treated cells were then examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK with β-actin as the loading control. (B). The TP53 wild-type HCT8 and SW948 and mutated CACO-2 and HT29 were examined by western blotting for the levels of MDM2 protein. (C). The TP53 wild-type SW948 and mutated CACO-2 cells were treated with 500 nM PPP and 50 ng/ml IGF-I, alone and in combination, for the indicated hours. The cells were then examined by western blotting for the levels of IGF-1R protein. (D). SW948 and CACO-2 cells were treated with 500 nM PPP for the indicated minutes and then analyzed by western blotting for the levels of unphosphorylated and phosphorylated ERK (p-ERK). Earlier studies have clearly shown that PPP treatment leads to the downregulation of IGF-1R through MDM2-mediated ubiquitination and degradation of the IGF-1R protein [35]. Both IGF-1R and p53 proteins are the substrates of the ubiquitin ligase MDM2 [36]. To explore the role of MDM2 in the resistance of mutated TP53 cell lines to PPP, we examined the protein levels of MDM2 in wild-type and mutated TP53 cell lines by western blotting. The data revealed no difference in the expression of MDM2 protein between TP53 wild-type and mutated cell lines (Figure 2B). Next, we examined the kinetics of IGF-1R degradation under the treatment of IGF-1 and PPP, alone and in combination. To this end, we compared the IGF-1R protein levels between the TP53 wild-type SW948 and mutated CACO-2 since these two cell lines expressed IGF-1R protein at similar levels (Figure 1B). Western blotting revealed that PPP treatment reduced the levels of IGF-1R protein in both SW948 and CACO-2 cells (Figure 2C) due to the similar expression levels of MDM2 protein between these two cell lines (Figure 2B). These results confirm the earlier reports [35,36] that PPP treatment induces IGF-1R degradation through MDM2-medicated ubiquitination in a p53-independent manner. MDM2-mediated ubiquitination of IGF-1R with PPP treatment leads to the activation of ERK pathway [37], resulting in the resistance of Ewing’s sarcoma to the treatment of the anti-IGF-1R antibody figitumuab [38]. To explore this mechanism in colorectal carcinoma, we treated SW948 and CACO-2 cell lines with PPP in a dose-dependent manner and found that PPP treatment increased the levels of p-ERK in the TP53 mutated CACO-2 but not in the TP53 wild-type SW948 cells (Figure 2D). Taken together, the results suggest that PPP treatment bocks the phosphorylation of IGF-1R and inhibits the downstream ERK pathway in TP53 wild type colorectal carcinoma cells. In contrast, TP53 mutated carcinoma cells are resistant to the PPP treatment in part due to its failure of inhibition of the intracellular ERK pathway. PPP treatment induces apoptosis in TP53 wild-type but not mutated carcinoma cells: Earlier studies have shown that PPP treatment inhibits cell growth and induces apoptosis in different types of cancer cells [25,27]. To examine this in colorectal carcinoma cells, we analyzed PPP-treated cells by flow cytometry. The results showed that PPP treatment led to a significant increase of sub-G1 apoptotic cells in the TP53 wild-type but not mutated cell lines (Figure 3A,B). The results further suggest that TP53 mutated carcinoma cells are resistant to PPP treatment in part due to its failure of induction of apoptosis in these cells. PPP treatment triggers apoptosis in TP53 wild type but not mutated cells. (A). Each of the cell lines was treated with 500 nM PPP for 24 hours and subjected to flow cytometry for the detection of the cells in sub-G1 and cell cycle phases. (B). The experiment was repeated three times and the percentage of sub-G1 apoptotic cells is summarized in this histogram as mean + SD. **, p < 0.01. IGF-1R activation leads to the inhibition of apoptosis through the AKT/ERK-mediated phosphorylation of BAD [3]. The failure in AKT/ERK activation and apoptosis induction in TP53 mutated cells under PPP treatment suggests the possibility that BAD phosphorylation may play a role in the PPP resistance. To test this notion, we treated the TP53 wild type HCT-8 and mutated CACO-2 cells with 500 nM PPP. Lysates from the treated cells were examined by western blot analysis using antibodies against the phosphorylated and unphosphorylated form of BAD. The results showed that the PPP treatment inhibited BAD phosphorylation in TP53 wild-type but not mutated cells (Figure 4A). PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial pathway. (A). The TP53 wild type HCT-8 and mutated CACO-2 were treated with 500 nM PPP for the indicated hours and then subjected to western blotting for the presence of the phosphorylated and unphosphorylated BAD and cleavage of XIAP protein. (B). The PPP treated cells were further examined by western blotting for the cleavage of caspase-9, caspase-3, PARP and DFF45 in HCT-8 and CACO-2 cells with the proteins and cleavage products indicated to the right side of the panel. Unphosphorylated BAD interacts with the BCL2 family of proteins and releases their inhibition of the mitochondrial membrane potential [4], leading to the mitochondrial release of apoptosis factors and resulting in caspase-9 activation and initiation of apoptosis through cleavage of the downstream effectors caspase-3, DFF45, and PARP [39]. In addition, the second mitochondria-derived activator of caspase/direct inhibitor of apoptosis binding protein with low pI (SMAC/DIABLO) interacts with THE X-linked inhibitor of apoptosis protein (XIAP), which releases XIAP from binding to caspase-3 and allows caspase-9 cleavage of caspase-3 [40,41]. To examine this mitochondrial pathway in PPP-induced apoptosis, we showed that the treatment of PPP led to the cleavage of XIAP (Figure 4A) and caspase-9, caspase-3, PARP, and DFF45 in the TP53 wild-type HCT-8 but not the mutated CACO-2 cells (Figure 4B). Collectively, the PPP resistance is in part due to the inhibition of BAD-mediated mitochondrial apoptosis in TP53 mutated colorectal carcinoma cells. PPP treatment inhibits TP53 wild type but not mutated colorectal carcinoma xenografts: To examine the potential of PPP in treatment of colorectal carcinoma, we first injected the TP53 wild-type HCT-8 cells subcutaneously in athymic (nu/nu) mice for the generation of subcutaneous flank xenografts. The mice were closely monitored and once xenografts reached approximate size of 150–200 mm3, the mice were divided into two groups. In the treatment group, mice were treated with PPP (50 mg/kg) and in the control group, mice were treated with saline. The mice were treated through oral gavage, twice per week for three weeks. Tumor volumes were measured and the results showed that PPP treatment significantly inhibited the growth of the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5A). At necropsy, a significant difference in the tumor sizes was observed between the control and treatment mice (Figure 5B). The xenografts were removed and tumor lysates were subjected to western blot analysis. The results showed that PPP treatment inhibited the phosphorylation of IGF-1R, AKT, and ERK in the TP53 wild-type HCT-8 colorectal carcinoma xenografts (Figure 5C). PPP treatment inhibits the growth of TP53 wild type carcinoma xenografts. (A). HCT-8 cells were injected subcutaneously in athymic mice for xenograft formation. Once the xenografts were formed, the mice were treated either with PPP (50 mg/kg) in the treatment group or saline in the control group through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The representative mice bearing xenografts were shown at necropsy with saline-treated mouse on the left and PPP-treated mouse on the right. (C). The preventative xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were subjected to western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK. To examine whether the TP53 mutated colorectal carcinoma xenografts resist the treatment of PPP, we injected CACO-2 cells subcutaneously in athymic (nu/nu) mice. Once subcutaneous xenografts were formed approximately 150–200 mm3 in size, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week for three weeks. The results showed no significant difference in the tumor sizes between the treatment and control group of mice, as indicated by the measured tumor volumes (Figure 6A) and the tumor sizes as observed at necropsy (Figure 6B). Western blot analysis of the representative xenograft tissues showed that PPP treatment failed to inhibit the phosphorylation of IGF-1R, AKT and ERK in the TP53 mutated CACO-2 colorectal carcinoma xenografts (Figure 6C). Taken together, these studies suggest that TP53 wild type colorectal carcinoma may respond to the treatment of PPP whereas TP53 mutated carcinomas are most likely resistant to the treatment. TP53 mutated colorectal carcinoma xenografts are resistant to PPP treatment. (A). The TP53 mutated CACO-2 cells were injected subcutaneously in mice and once the subcutaneous xenografts were formed, the mice were treated either with PPP (50 mg/kg) or saline through oral gavage, twice per week. The tumor volumes from the same group of mice were grouped and presented as mean ± SD. **, p < 0.01. (B). The mice bearing xenografts were shown at necropsy with a saline-treated mouse on the left and a PPP-treated mouse on the right. (C). The xenograft tumors (T) from saline treated (−) and PPP treated mice (+) were examined by western blotting for the presence of the phosphorylated and unphosphorylated IGF-1R, AKT and ERK. Discussion: Colorectal carcinoma is the second leading cause of cancer-related deaths in the United States [42]; thus, there is an urgent need for the development of novel and effective treatment of this devastating human disease. Recent studies have provided several lines of evidence indicating that targeting of IGF-1R may as serve as the basis for clinical treatment of colorectal carcinoma. High concentrations of serum IGF-I/IGF-II are associated with increased risk for developing colorectal carcinoma [7-9] and the IGF-II gene is the single most overexpressed gene in colorectal carcinomas [43]. Furthermore, colorectal carcinomas express high levels of IGF-I/IGF-II [11-13], IGF-1R mRNA [14,15], and IGF-1R protein, as shown in this study. The higher expression levels of IGF-1R are associated with a higher malignant pathologic grade and late stage of colorectal carcinomas [44]. Preclinical studies have shown that the GEO colorectal carcinoma cell line and xenografts respond to the treatment of a dual IGF-1R/insulin receptor kinase inhibitor, PQIP [45]. However, examination of a large panel of colorectal carcinoma cell lines has suggested that the majority of the cell lines are resistant to this dual inhibitor [46]. The combined treatment of the IGF-1R kinase inhibitor, NVP-AFW541 or PQIP with the epidermal growth factor receptor (EGFR) inhibitor erlotinib or tarceva triggers apoptosis and inhibits growth of colorectal carcinoma cell lines [47,48]. A phase II trial, however, has concluded that the IGF-1R neutralizing antibody IMC-A12, alone or in combination with the EGFR antibody cetuximab, is insufficient for the treatment of colorectal carcinomas [21]. Currently, clinical trials of IGF-1R antibodies and kinase inhibitors are ongoing in treating various human cancers. These trails may benefit from studies of the mechanisms in drug resistance and identification of biomarkers that can predict cancer responsiveness to IGF-1R targeted therapies. After examining a panel of colorectal carcinoma cell lines and xenografts, we have found that the cell lines respond differently to the treatment of PPP, an IGF-1R inhibitor [25]. Some of the cell lines are sensitive whereas other cell lines are resistant to PPP treatment. In the sensitive lines HCT-8 and SW948, PPP treatment blocks IGF-1R phosphorylation and inhibits its downstream AKT and ERK pathway, and suppresses carcinoma cell growth and xenograft progression. In addition, PPP treatment blocks BAD phosphorylation and activates BAD-mediated apoptosis through the mitochondrial pathway. These findings are consistent with other reports that PPP treatment triggers apoptosis in multiple myeloma cells [27] and suppresses the progression of multiple myeloma and glioblastoma xenografts [28-30]. Phase I/II trails of PPP are currently in place for treating patients with glioblastoma, hematological malignancies, and non-small cell lung carcinoma. The salient feature of this study is that most colorectal carcinoma cell lines are resistant to the treatment of PPP. PPP treatment does block IGF-1R phosphorylation but fails to inhibit the downstream AKT and ERK pathway or induce BAD-mediated mitochondrial apoptosis. These findings are consistent with the clinical trials of IGF-1R targeted agents that have not shown much clinical activity against human cancers [1,16]. Our data suggest that the lack of therapeutic effect is due to the association of PPP resistance with TP53 mutations in colorectal carcinomas. The p53 tumor suppressor regulates apoptosis in many types of cells and mutations of the TP53 gene result in the loss of its function in control of apoptosis in cancer cells [49]. TP53 mutations commonly occur in human colorectal carcinomas [31]. Our study suggests that TP53 gene status can be used as a biomarker to predict the responsiveness of colorectal carcinomas to the treatment of IGF-1R targeted therapies. The discovery of PPP as an IGF-1R inhibitor [25] by a research group at the Karolinska Institute has revealed its mechanism of action through inhibition of IGF-1R phosphorylation [26], which induces G2/M-phase accumulation and apoptosis [27]. This group has further shown that PPP treatment down-regulates the IGF-1R protein through MDM2-mediated ubiquitination and degradation [35]. The MDM2-mediated IGF-1R ubiquitination activates the ERK pathway [37] and leads to the cancer resistance to PPP [38]. The data presented in this manuscript have confirmed the action of PPP in inhibition of cell growth and induction of apoptosis in TP53 wild-type colorectal carcinoma cells. We have also found a correlation between TP53 mutation and PPP resistance in human colorectal carcinoma cells. Both p53 and IGF-1R proteins are the substrates of MDM2 and the presence of MDM2 in both TP53 wild-type and mutated carcinoma cells suggests that PPP-induced ERK activation in TP53 mutated carcinoma cells occurs through a p53-independent manner. The PPP-induced ERK activation contributes in part to the resistance of TP53 mutated colorectal carcinoma to the IGF-1R inhibitor PPP. Conclusions: The IGF-1R inhibitor, PPP, is currently in clinical trials for the treatment of human cancers. We have found the majority of colorectal carcinoma cell lines are resistant to PPP treatment due to failure of activation of the intracellular AKT and ERK growth pathway and induction of the BAD-induced mitochondrial apoptosis pathway. Furthermore, we have found that TP53 mutations are associated with PPP resistance in colorectal carcinoma and indicated that determining the TP53 gene status as wild-type or mutated can be used as a biomarker to predict the responsiveness of colorectal carcinoma in human clinical trials. Competing interests: The authors declare that they have no competing interests. Authors’ contributions: QW and ABC designed the study; QW, FW, CL, KZ and ACB performed the experiments; QW and FW analyzed and interpreted the results; GL, TL and CH contributed materials. ACB and CH wrote the manuscript. CGH edited and revised the manuscript. All authors read and approved the final manuscript. Pre-publication history: The pre-publication history for this paper can be accessed here: http://www.biomedcentral.com/1471-2407/13/521/prepub
Background: There is growing evidence indicating the insulin-like growth factor 1 receptor (IGF-1R) plays a critical role in the progression of human colorectal carcinomas. IGF-1R is an attractive drug target for the treatment of colon cancer. Picropodophyllin (PPP), of the cyclolignan family, has recently been identified as an IGF-1R inhibitor. The aim of this study is to determine the therapeutic response and mechanism after colorectal carcinoma treatment with PPP. Methods: Seven colorectal carcinoma cell lines were treated with PPP. Following treatment, cells were analyzed for growth by a cell viability assay, sub-G1 apoptosis by flow cytometry, caspase cleavage and activation of AKT and extracellular signal-regulated kinase (ERK) by western blot analysis. To examine the in vivo therapeutic efficacy of PPP, mice implanted with human colorectal carcinoma xenografts underwent PPP treatment. Results: PPP treatment blocked the phosphorylation of IGF-1R, AKT and ERK and inhibited the growth of TP53 wild-type but not mutated colorectal carcinoma cell lines. The treatment of PPP also induced apoptosis in TP53 wild-type cells as evident by the presence of sub-G1 cells and the cleavage of caspase-9, caspase-3, DNA fragmentation factor-45 (DFF45), poly (ADP-ribose) polymerase (PARP), and X-linked inhibitor of apoptosis protein (XIAP). The loss of BAD phosphorylation in the PPP-treated TP53 wild type cells further suggested that the treatment induced apoptosis through the BAD-mediated mitochondrial pathway. In contrast, PPP treatment failed to induce the phosphorylation of AKT and ERK and caspase cleavage in TP53 mutated colorectal carcinoma cell lines. Finally, PPP treatment suppressed the growth of xenografts derived from TP53 wild type but not mutated colorectal carcinoma cells. Conclusions: We report the association of TP53 mutations with the resistance of treatment of colorectal carcinoma cells in culture and in a xenograft mouse model with the IGF-1R inhibitor PPP. TP53 mutations often occur in colorectal carcinomas and could be used as a biomarker to predict the resistance of colorectal carcinomas to the treatment by this IGF-1R inhibitor.
Background: The IGF-1R signaling pathway plays an important role in the formation and progression of human cancers and has been targeted for cancer treatment [1]. IGF-1R is a membrane- associated receptor tyrosine kinase that controls both cell growth and apoptosis. Insulin-like growth factor-I and -II (IGF-I; IGF-II) ligand binding to IGF-1R leads to the phosphorylation of insulin receptor substrate (IRS) proteins, resulting in the activation of phosphoinositide 3-kinase (PI3K)/AKT and downstream signaling pathways [2]. IGF-1R inhibits the apoptosis pathway through AKT-mediated phosphorylation of BAD, a pro-apoptotic protein of the BCL2 family [3]. Phosphorylated BAD is dissociated from the BCL-2 family proteins that protect mitochondrial membrane potential and thus inhibit mitochondrial release of apoptotic factors [4]. In addition, IGF-1R activates the extracellular signal-regulated kinase (ERK) and nuclear factor-κB (NF-κB) pathway that protect colorectal carcinoma cells from tumor necrosis factor-α (TNFα) induced apoptosis [5]. By activating PI3K/AKT and ERK growth pathways and inhibiting the BAD and TNFα-mediated apoptosis, the IGF-1R signaling pathway promotes the survival, growth, and metastasis of colorectal carcinomas [1,6]. Epidemiological studies have revealed the association of high concentrations of serum IGF-I and IGF-II with the increased risk of developing several human cancers including colorectal carcinomas [7-10]. Examination of colorectal carcinomas has revealed elevation of the transcripts of IGF-I/II [11-13] and IGF-1R [14,15]. These findings suggest that IGF-I/II may interact with IGF-1R on the cancer cell surface and promote cancer growth through paracrine and autocrine loops and targeting of the IGF-IGF-1R pathway may lead to the development of cancer therapeutics [6]. IGF-1R has been targeted by two types of therapeutic agents: IGR-1R neutralizing monoclonal antibodies and small molecule IGF-1R inhibitors [16,17]. Monoclonal antibodies and kinase inhibitors have been characterized in preclinical studies [18] and some have been taken to clinical trials for cancer treatments [19,20]. Preliminary data from current clinical trials have revealed resistance of human cancers to treatment [1,16]. For example, a phase II trial of an IGF-1R antibody has shown a limited response with treatment of metastatic colorectal carcinomas [21]. The characterization of the crystallographic structures of the insulin receptor and IGF-1R has enabled the development of IGF-1R specific inhibitors [22-24]. Picropodophyllin (PPP), a member of the cyclolignan family, has been identified as an IGF-1R inhibitor [25] since it specifically blocks the phosphorylation of the Tyr 1136 residue in the IGF-1R activation loop and thus inhibits the phosphorylation and kinase activity of the receptor [26]. PPP blocks the PI3K/AKT pathway [25], induces apoptosis in multiple myeloma cells [27], and suppresses the growth of multiple myeloma and glioblastoma xenografts [28-30]. Phase I/II trials have been launched for treatment of glioblastoma, hematological malignancies, and non-small cell lung carcinoma by picropodophyllin (AXL1717). In this study, we investigated the therapeutic response of human colorectal carcinomas with the recently identified IGF-1R inhibitor, PPP [25]. Multiple colorectal carcinoma cell lines were used in addition to colorectal xenografts generated in mice to study the therapeutic response. We examined the IGF-1R downstream AKT and ERK growth pathways and BAD-mediated mitochondrial apoptotic pathway in PPP-treated colorectal carcinoma cells. These studies found the majority of the carcinoma cell lines were resistant to PPP treatment due to the failure of AKT and ERK activation as well as induction of BAD-mediated mitochondrial apoptotic pathways. Furthermore, these studies revealed the association of TP53 mutations with PPP resistance in the carcinoma cell lines in culture and a xenograft model. While human colorectal carcinomas harbor frequent mutations of APC, TP53, PIK3CA and KRAS[31], our findings suggest that the TP53 mutations are associated with the resistance of colorectal carcinoma to the IGF-1R inhibitor, PPP. Conclusions: The IGF-1R inhibitor, PPP, is currently in clinical trials for the treatment of human cancers. We have found the majority of colorectal carcinoma cell lines are resistant to PPP treatment due to failure of activation of the intracellular AKT and ERK growth pathway and induction of the BAD-induced mitochondrial apoptosis pathway. Furthermore, we have found that TP53 mutations are associated with PPP resistance in colorectal carcinoma and indicated that determining the TP53 gene status as wild-type or mutated can be used as a biomarker to predict the responsiveness of colorectal carcinoma in human clinical trials.
Background: There is growing evidence indicating the insulin-like growth factor 1 receptor (IGF-1R) plays a critical role in the progression of human colorectal carcinomas. IGF-1R is an attractive drug target for the treatment of colon cancer. Picropodophyllin (PPP), of the cyclolignan family, has recently been identified as an IGF-1R inhibitor. The aim of this study is to determine the therapeutic response and mechanism after colorectal carcinoma treatment with PPP. Methods: Seven colorectal carcinoma cell lines were treated with PPP. Following treatment, cells were analyzed for growth by a cell viability assay, sub-G1 apoptosis by flow cytometry, caspase cleavage and activation of AKT and extracellular signal-regulated kinase (ERK) by western blot analysis. To examine the in vivo therapeutic efficacy of PPP, mice implanted with human colorectal carcinoma xenografts underwent PPP treatment. Results: PPP treatment blocked the phosphorylation of IGF-1R, AKT and ERK and inhibited the growth of TP53 wild-type but not mutated colorectal carcinoma cell lines. The treatment of PPP also induced apoptosis in TP53 wild-type cells as evident by the presence of sub-G1 cells and the cleavage of caspase-9, caspase-3, DNA fragmentation factor-45 (DFF45), poly (ADP-ribose) polymerase (PARP), and X-linked inhibitor of apoptosis protein (XIAP). The loss of BAD phosphorylation in the PPP-treated TP53 wild type cells further suggested that the treatment induced apoptosis through the BAD-mediated mitochondrial pathway. In contrast, PPP treatment failed to induce the phosphorylation of AKT and ERK and caspase cleavage in TP53 mutated colorectal carcinoma cell lines. Finally, PPP treatment suppressed the growth of xenografts derived from TP53 wild type but not mutated colorectal carcinoma cells. Conclusions: We report the association of TP53 mutations with the resistance of treatment of colorectal carcinoma cells in culture and in a xenograft mouse model with the IGF-1R inhibitor PPP. TP53 mutations often occur in colorectal carcinomas and could be used as a biomarker to predict the resistance of colorectal carcinomas to the treatment by this IGF-1R inhibitor.
13,079
391
[ 758, 130, 266, 143, 85, 211, 182, 61, 422, 807, 621, 719, 10, 60, 16 ]
19
[ "ppp", "igf", "cells", "1r", "igf 1r", "treatment", "tp53", "cell", "colorectal", "carcinoma" ]
[ "decrease phosphorylation igf", "apoptosis igf", "igf 1r kinase", "mediated apoptosis igf", "phosphorylation igf 1r" ]
[CONTENT] Apoptosis | Colorectal carcinoma | ERK | IGF-1R | IGF-1R inhibitor | TP53 [SUMMARY]
[CONTENT] Apoptosis | Colorectal carcinoma | ERK | IGF-1R | IGF-1R inhibitor | TP53 [SUMMARY]
[CONTENT] Apoptosis | Colorectal carcinoma | ERK | IGF-1R | IGF-1R inhibitor | TP53 [SUMMARY]
[CONTENT] Apoptosis | Colorectal carcinoma | ERK | IGF-1R | IGF-1R inhibitor | TP53 [SUMMARY]
[CONTENT] Apoptosis | Colorectal carcinoma | ERK | IGF-1R | IGF-1R inhibitor | TP53 [SUMMARY]
[CONTENT] Apoptosis | Colorectal carcinoma | ERK | IGF-1R | IGF-1R inhibitor | TP53 [SUMMARY]
[CONTENT] Animals | Apoptosis | Cell Line, Tumor | Colorectal Neoplasms | Disease Models, Animal | Drug Resistance, Neoplasm | Extracellular Signal-Regulated MAP Kinases | Humans | Mice | Mutation | Phosphorylation | Podophyllotoxin | Proto-Oncogene Proteins c-akt | Receptor, IGF Type 1 | Tumor Burden | Tumor Suppressor Protein p53 | Xenograft Model Antitumor Assays [SUMMARY]
[CONTENT] Animals | Apoptosis | Cell Line, Tumor | Colorectal Neoplasms | Disease Models, Animal | Drug Resistance, Neoplasm | Extracellular Signal-Regulated MAP Kinases | Humans | Mice | Mutation | Phosphorylation | Podophyllotoxin | Proto-Oncogene Proteins c-akt | Receptor, IGF Type 1 | Tumor Burden | Tumor Suppressor Protein p53 | Xenograft Model Antitumor Assays [SUMMARY]
[CONTENT] Animals | Apoptosis | Cell Line, Tumor | Colorectal Neoplasms | Disease Models, Animal | Drug Resistance, Neoplasm | Extracellular Signal-Regulated MAP Kinases | Humans | Mice | Mutation | Phosphorylation | Podophyllotoxin | Proto-Oncogene Proteins c-akt | Receptor, IGF Type 1 | Tumor Burden | Tumor Suppressor Protein p53 | Xenograft Model Antitumor Assays [SUMMARY]
[CONTENT] Animals | Apoptosis | Cell Line, Tumor | Colorectal Neoplasms | Disease Models, Animal | Drug Resistance, Neoplasm | Extracellular Signal-Regulated MAP Kinases | Humans | Mice | Mutation | Phosphorylation | Podophyllotoxin | Proto-Oncogene Proteins c-akt | Receptor, IGF Type 1 | Tumor Burden | Tumor Suppressor Protein p53 | Xenograft Model Antitumor Assays [SUMMARY]
[CONTENT] Animals | Apoptosis | Cell Line, Tumor | Colorectal Neoplasms | Disease Models, Animal | Drug Resistance, Neoplasm | Extracellular Signal-Regulated MAP Kinases | Humans | Mice | Mutation | Phosphorylation | Podophyllotoxin | Proto-Oncogene Proteins c-akt | Receptor, IGF Type 1 | Tumor Burden | Tumor Suppressor Protein p53 | Xenograft Model Antitumor Assays [SUMMARY]
[CONTENT] Animals | Apoptosis | Cell Line, Tumor | Colorectal Neoplasms | Disease Models, Animal | Drug Resistance, Neoplasm | Extracellular Signal-Regulated MAP Kinases | Humans | Mice | Mutation | Phosphorylation | Podophyllotoxin | Proto-Oncogene Proteins c-akt | Receptor, IGF Type 1 | Tumor Burden | Tumor Suppressor Protein p53 | Xenograft Model Antitumor Assays [SUMMARY]
[CONTENT] decrease phosphorylation igf | apoptosis igf | igf 1r kinase | mediated apoptosis igf | phosphorylation igf 1r [SUMMARY]
[CONTENT] decrease phosphorylation igf | apoptosis igf | igf 1r kinase | mediated apoptosis igf | phosphorylation igf 1r [SUMMARY]
[CONTENT] decrease phosphorylation igf | apoptosis igf | igf 1r kinase | mediated apoptosis igf | phosphorylation igf 1r [SUMMARY]
[CONTENT] decrease phosphorylation igf | apoptosis igf | igf 1r kinase | mediated apoptosis igf | phosphorylation igf 1r [SUMMARY]
[CONTENT] decrease phosphorylation igf | apoptosis igf | igf 1r kinase | mediated apoptosis igf | phosphorylation igf 1r [SUMMARY]
[CONTENT] decrease phosphorylation igf | apoptosis igf | igf 1r kinase | mediated apoptosis igf | phosphorylation igf 1r [SUMMARY]
[CONTENT] ppp | igf | cells | 1r | igf 1r | treatment | tp53 | cell | colorectal | carcinoma [SUMMARY]
[CONTENT] ppp | igf | cells | 1r | igf 1r | treatment | tp53 | cell | colorectal | carcinoma [SUMMARY]
[CONTENT] ppp | igf | cells | 1r | igf 1r | treatment | tp53 | cell | colorectal | carcinoma [SUMMARY]
[CONTENT] ppp | igf | cells | 1r | igf 1r | treatment | tp53 | cell | colorectal | carcinoma [SUMMARY]
[CONTENT] ppp | igf | cells | 1r | igf 1r | treatment | tp53 | cell | colorectal | carcinoma [SUMMARY]
[CONTENT] ppp | igf | cells | 1r | igf 1r | treatment | tp53 | cell | colorectal | carcinoma [SUMMARY]
[CONTENT] igf | 1r | igf 1r | colorectal | colorectal carcinomas | kinase | pathway | ii | carcinomas | growth [SUMMARY]
[CONTENT] mm | sodium | cells | mm sodium | purchased | phospho | laboratories | 100 | 10 | human [SUMMARY]
[CONTENT] ppp | tp53 | igf | treatment | mutated | cells | 1r | igf 1r | tp53 wild | tp53 wild type [SUMMARY]
[CONTENT] trials | clinical trials | clinical | colorectal | colorectal carcinoma | carcinoma | ppp | found | pathway | tp53 [SUMMARY]
[CONTENT] ppp | igf | cells | 1r | igf 1r | tp53 | colorectal | treatment | cell | carcinoma [SUMMARY]
[CONTENT] ppp | igf | cells | 1r | igf 1r | tp53 | colorectal | treatment | cell | carcinoma [SUMMARY]
[CONTENT] 1 | carcinomas ||| ||| IGF-1R ||| PPP [SUMMARY]
[CONTENT] Seven | carcinoma cell lines | PPP ||| AKT | ERK ||| PPP | carcinoma xenografts | PPP [SUMMARY]
[CONTENT] PPP | IGF-1R | AKT | ERK | carcinoma cell lines ||| PPP | sub-G1 | factor-45 | DFF45 ||| BAD | PPP | BAD ||| PPP | AKT | ERK | carcinoma cell lines ||| PPP [SUMMARY]
[CONTENT] xenograft | IGF-1R | PPP ||| carcinomas | IGF-1R [SUMMARY]
[CONTENT] 1 | carcinomas ||| ||| IGF-1R ||| PPP ||| Seven | carcinoma cell lines | PPP ||| AKT | ERK ||| PPP | carcinoma xenografts | PPP ||| IGF-1R | AKT | ERK | carcinoma cell lines ||| PPP | sub-G1 | factor-45 | DFF45 ||| BAD | PPP | BAD ||| PPP | AKT | ERK | carcinoma cell lines ||| PPP ||| xenograft | IGF-1R | PPP ||| carcinomas | IGF-1R [SUMMARY]
[CONTENT] 1 | carcinomas ||| ||| IGF-1R ||| PPP ||| Seven | carcinoma cell lines | PPP ||| AKT | ERK ||| PPP | carcinoma xenografts | PPP ||| IGF-1R | AKT | ERK | carcinoma cell lines ||| PPP | sub-G1 | factor-45 | DFF45 ||| BAD | PPP | BAD ||| PPP | AKT | ERK | carcinoma cell lines ||| PPP ||| xenograft | IGF-1R | PPP ||| carcinomas | IGF-1R [SUMMARY]
Obstructive sleep apnea and multimorbidity.
23006602
Obstructive sleep apnea (OSA) is becoming increasingly prevalent in North America and has been described in association with specific chronic diseases, particularly cardiovascular diseases. In primary care, where the prevalence of co-occurring chronic conditions is very high, the potential association with OSA is unknown. The purpose of this study was to explore the association between OSA and 1) the presence and severity of multimorbidity (multiple co-occurring chronic conditions), and 2) subcategories of multimorbidity.
BACKGROUND
A cluster sampling technique was used to recruit 120 patients presenting with OSA of various severities from the records of a sleep laboratory in 2008. Severity of OSA was based on the results of the polysomnography. Patients invited to participate received a mail questionnaire including questions on sociodemographic characteristics and the Disease Burden Morbidity Assessment (DBMA). They also consented to give access to their medical records. The DBMA was used to provide an overall multimorbidity score and sub-score of diseases affecting various systems.
METHODS
Bivariate analysis did not demonstrate an association between OSA and multimorbidity (r = 0.117; p = 0.205). However, severe OSA was associated with multimorbidity (adjusted odds ratio = 7.33 [1.67-32.23], p = 0.05). OSA was moderately correlated with vascular (r = 0.26, p = 0.01) and metabolic syndrome (r = 0.26, p = 0.01) multimorbidity sub-scores.
RESULTS
This study showed that severe OSA is associated with severe multimorbidity and sub-scores of multimorbidity. These results do not allow any causal inference. More research is required to confirm these associations. However, primary care providers should be aware of these potential associations and investigate OSA when deemed appropriate.
CONCLUSIONS
[ "Cardiovascular Diseases", "Cluster Analysis", "Comorbidity", "Dyslipidemias", "Female", "Humans", "Logistic Models", "Male", "Mass Screening", "Metabolic Syndrome", "Middle Aged", "Obesity", "Polysomnography", "Primary Health Care", "Retrospective Studies", "Severity of Illness Index", "Sleep Apnea, Obstructive" ]
3515504
Background
Millions of North Americans are affected by the consequences of sleep disorders. Among these disorders, sleep apnea syndrome has the highest rate of mortality and morbidity [1]. According to the Public Health Agency of Canada, 858,900 Canadians reported suffering from sleep apnea, and almost 26% of Canadians are at high risk of developing the condition [2]. This disorder poses a major public health problem due to its prevalence, severity and socioeconomic burden. Obstructive sleep apnea (OSA) is defined as the cessation of naso-buccal air flow for more than 10 seconds [3], and is diagnosed based on an apnea–hypopnea index (AHI) value greater than five per hour of sleep [4], usually accompanied by a 4% decrease in oxygen saturation [4]. It is estimated that 80% of obstructive sleep apnea cases remain undiagnosed [5], making it difficult to identify patients at risk of associated comorbidities [6]. Reuveni et al. suggest that programs be developed to increase the level of suspicion of OSA among primary care providers [7]. OSA syndrome is independently associated with an increased risk of mortality [8,9]. Fletcher [10] reported that 70% to 90% of patients with OSA have hypertension [10]. Associations between OSA and heart failure [11], OSA and arrhythmias [12], OSA and diabetes [13], OSA and insulin resistance [14] and OSA and metabolic syndrome [15] have also been reported. Successful treatment of OSA helps to better control many of the associated diseases and chronic conditions [11,16-18]. Men, people 40 years old and over, and those with a high body mass index (BMI) or a large neck circumference are at greater risk for OSA [19-21]. Multimorbidity—the co-occurrence of two or more chronic diseases—is an emerging concept in the medical literature [22]. One study showed that nine out of ten primary care patients had more than one chronic condition, while approximately 50% had five or more [23]. Multimorbidity has been associated with several adverse effects, such as a reduction in quality of life [24,25], an increase in psychological distress [26], medical complications and increased mortality [27]. Evidence of an association between OSA and multimorbidity could be an important incentive for the systematic screening for OSA in primary care settings—where the prevalence of multimorbidity is very high. The first objective of this study was to measure the association between the severity of OSA and the severity of multimorbidity, and second, to explore the association between OSA and various categories of multimorbidity.
Methods
This study used data from the sleep laboratory of the Centre de santé et de services sociaux de Chicoutimi (CSSSC), a regional health centre in the Saguenay region of Québec (Canada). As a first step in the recruitment process, a list of patients who had undergone polysomnography in 2008 was compiled. Patients were categorized according to the severity of their OSA, based on their polysomnography results (absent: AHI 0-4; mild: AHI 5-14; moderate: AHI 15-29; severe: AHI ≥ 30). We selected consecutive patients from each category to ensure a proportional representation (25% each) of the four OSA categories. French-speaking patients were selected between 30 and 75 years of age, to ensure adequate variation in degrees of multimorbidity. Each patient underwent polysomnography after January 1, 2008, either in the sleep laboratory as a full night or a split-night study: the first half of the night is used to obtain a diagnosis, the second half is used to perform continuous positive airway pressure (CPAP) titration (level I), or, at home as an outpatient (level II). Patients with a diagnosis of upper airway resistance were excluded from the study, as were people who slept less than three hours a night and those referred for a diagnosis other than apnea, such as parasomnia. After providing informed consent, participants selected at this stage received a questionnaire covering multimorbidity and socio-demographic variables. Data related to variables of the evaluation conducted at the sleep laboratory were recorded: age, sex, polysomnography results, neck circumference, weight and height. Several tools are available for measuring multimorbidity. The Disease Burden Morbidity Assessment (DBMA) was selected for this study as it allows to report the absence or presence of 21 predetermined chronic conditions and additional chronic conditions and to determine a functional impact score for each condition on daily life activities [28]. The DBMA is a self-report questionnaire. For each condition present, the patient assesses a degree to which the condition limits his or her activities on a five-point descriptive scale (1: Not at all – 5: A lot). The total score is made up of the sum of all limitations. The metrological qualities and validity of this instrument have been described by Bayliss et al. [28] and a French version was validated in a recent study: sensitivity 73.9% (62.5%-90%); specificity 92.2% (77.6%-98.6%) [29]. The questionnaire was sent by mail based on a modified Dillman method [30]. A second questionnaire was sent to non-respondents 30 days following the first one. Estimated time to complete the questionnaire is approximately 15 minutes. Due to the exploratory nature of the study, we based our sample size estimation on the availability of the data and feasibility. We aimed for a sample size of 120 (30 per OSA group) to ensure a good representation of each category of the independent variable. We oversampled for a potential non response of 30 to 40%. Consequently, the questionnaire was sent to a convenience sample, as recommended by Dillman [31], of 194 people who had undergone polysomnography at the sleep laboratory of the CSSSC for a diagnosis of sleep apnea in 2008. The study received ethics approval from the Research Ethics Board of the CSSSC. The subject’s characteristics were described using medians (in the case of asymmetric distributions), means, standard deviations (for continuous variables) and proportions (for categorical variables). A Kolmogorov-Smirnoff test was performed to test for normality of the distributions. In the absence of normality, non-parametric tests were conducted. Bivariate (Spearman rank) correlations were conducted. We dichotomized the AHI by grouping together absent and mild as well as moderate and severe to ensure sufficient size of each group. We performed logistic regression analyses to study the relationship between multimorbidity and OSA. The significance level was set at 0.05, and confidence intervals were calculated at 95%. The DBMA constituted the dependent variable and OSA classification, the independent variable. Other variables were included in the models as adjustment variables (BMI, sociodemographic variables). Neck circumference was not included, as 25% of the data was missing. We dichotomized the DBMA using the median and threshold values of 10 and 20, respectively, to explore the association with clinical variables. Cut-off points were chosen based on the definition of multimorbidity and the results of previous studies [23,32]. A score of 10 means a high impact and at least two chronic conditions; a score of 20 represents a very high impact and at least four chronic conditions (considered here as severe multimorbidity). DBMA sub-groups were formed on the basis of the correlation of each disease with OSA and the conceptual association. We tested three sub-groups: vascular DBMA (hypertension, heart disease, dyslipidemia, heart failure and stroke); cardio DBMA (hypertension, heart disease, dyslipidemia, heart failure) and metabolic syndrome DBMA (hypertension, cholesterol, obesity and diabetes). Data were analyzed using the SPSS package (19.0, SPSS, Chicago. IL).
Results
Of the 194 patients solicited, seven were non-eligible: five were suffering from parasomnia, one was too old and one we were unable to reach to complete the questionnaire. In total, 187 eligible patients were invited to participate and 120 completed the questionnaire (64.2% response rate). No patients were excluded. Among these, 89.2% of participants had OSA. The average age of patients was 55.5 years, with a predominance of males (65%). Table 1 presents the characteristics of the 120 patients. The average neck circumference (absent: 41.17 cm; mild: 40.5 cm; moderate: 42.59 cm; severe: 43.99 cm) and BMI average (absent: 32.00; mild: 30.13; moderate: 34.39; severe: 35.77) were higher in moderate and severe OSA. Patient characteristics * N = 90. The 120 respondents presented six chronic diseases in average. The average number of diseases did not increase in accordance with the severity of OSA (absent: seven diseases; mild: five diseases; moderate: eight diseases; severe: five diseases). Table 2 (DMBA results) shows the distribution of diseases in the sample. The following conditions were present in 50% or more of the patients: obesity (80.8%), hypertension (52.5%) and dyslipidemia (50%). DBMA results Table 3 reveals an association between polysomnography results (absent + mild vs. moderate + severe) and BMI (r = 0.261, p = 0.01) and gender (r = 0.244, p = 0.01) and a similar trend with neck circumference (r = 0.265, p = 0.05), and with income (r = 0.218, p = 0.05). We were unable to demonstrate a statistically significant association between the DBMA score and dichotomized polysomnography (absent + mild vs. moderate + severe) (r = 0.117, p = NS) in this analysis. With regard to multimorbidity sub-scores, Table 3 shows weak correlations between sleep apnea and vascular DBMA and between OSA and metabolic syndrome DBMA. None of the sociodemographic variables were associated with OSA. Bivariate analysis with dichotomized polysomnography results Dichotomized polysomnography: 0 = absent + mild; 1 = moderate + severe DBMA sub-score: Cardiac DBMA: Hypertension, heart disease, dyslipidemia, heart failure; Vascular DBMA: Hypertension, heart disease, dyslipidemia, heart failure, stroke; Metabolic syndrome DBMA: Hypertension, cholesterol, obesity and diabetes *Spearman correlation. Tables 4 and 5 show a significant association between severity of DBMA and severe OSA. There was also a significant association between DBMA and severe OSA (an AHI over 30). This association was not observed in patients with mild to moderate OSA. None of the sub-scores presented in Table 3 showed an association with severity of OSA in logistic regression analyses (results not shown). Logistic regressions unadjusted Median DBMA: 0 = DBMA from 0 to 13.99 and 1 = 14 and over. DBMA 10: 0 = DBMA from 0 to 9.99 and 1 = 10 and over. DBMA 20: 0 = DBMA from 0 to 19.99 and 1 = 20 and over. Logistic regression analyses adjusted for sex, age, BMI and income Median DBMA: 0 = DBMA from 0 to 13.99 and 1 = 14 and over. DBMA 10: 0 = DBMA from 0 to 9.99 and 1 = 10 and over. DBMA 20: 0 = DBMA from 0 to 19.99 and 1 = 20 and over.
Conclusions
In this study we found a link between severe obstructive sleep apnea and severity of multimorbidity. These results represent the first documentation of a relationship between severity of OSA and severity of multimorbidity. The study also showed an association between OSA and multimorbidity sub-scores (cardiac, vascular, metabolic syndrome). Primary care providers should be aware of these potential associations and investigate OSA when deemed appropriate. There is a need for additional research in this area, and our findings may help raise awareness among family physicians about this condition and improve access to diagnosis and treatment. Research would benefit from repeating the same study using a longitudinal study design.
[ "Background", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "Millions of North Americans are affected by the consequences of sleep disorders. Among these disorders, sleep apnea syndrome has the highest rate of mortality and morbidity\n[1]. According to the Public Health Agency of Canada, 858,900 Canadians reported suffering from sleep apnea, and almost 26% of Canadians are at high risk of developing the condition\n[2]. This disorder poses a major public health problem due to its prevalence, severity and socioeconomic burden. Obstructive sleep apnea (OSA) is defined as the cessation of naso-buccal air flow for more than 10 seconds\n[3], and is diagnosed based on an apnea–hypopnea index (AHI) value greater than five per hour of sleep\n[4], usually accompanied by a 4% decrease in oxygen saturation\n[4]. It is estimated that 80% of obstructive sleep apnea cases remain undiagnosed\n[5], making it difficult to identify patients at risk of associated comorbidities\n[6]. Reuveni et al. suggest that programs be developed to increase the level of suspicion of OSA among primary care providers\n[7].\nOSA syndrome is independently associated with an increased risk of mortality\n[8,9]. Fletcher\n[10] reported that 70% to 90% of patients with OSA have hypertension\n[10]. Associations between OSA and heart failure\n[11], OSA and arrhythmias\n[12], OSA and diabetes\n[13], OSA and insulin resistance\n[14] and OSA and metabolic syndrome\n[15] have also been reported. Successful treatment of OSA helps to better control many of the associated diseases and chronic conditions\n[11,16-18]. Men, people 40 years old and over, and those with a high body mass index (BMI) or a large neck circumference are at greater risk for OSA\n[19-21].\nMultimorbidity—the co-occurrence of two or more chronic diseases—is an emerging concept in the medical literature\n[22]. One study showed that nine out of ten primary care patients had more than one chronic condition, while approximately 50% had five or more\n[23]. Multimorbidity has been associated with several adverse effects, such as a reduction in quality of life\n[24,25], an increase in psychological distress\n[26], medical complications and increased mortality\n[27].\nEvidence of an association between OSA and multimorbidity could be an important incentive for the systematic screening for OSA in primary care settings—where the prevalence of multimorbidity is very high. The first objective of this study was to measure the association between the severity of OSA and the severity of multimorbidity, and second, to explore the association between OSA and various categories of multimorbidity.", "This was not an industry-supported study and the authors have indicated no financial conflict of interest. This research received financial supported from the CIHR Applied Research Chair – Health Services and Policy Research on Chronic Diseases in Primary Care/Canadian Institutes of Health Research-Institute of Health Services and Policy Research, Canadian Health Services Research Foundation and Centre de santé et de services sociaux de Chicoutimi.", "LRH conceived the study, conducted the data collection, and participated in its design and in the data analysis. LRH also wrote the manuscript. MB and MF supervised the first author’s work and participated in its design and data analysis. All authors read and approved the final manuscript. LRH takes responsibility for the integrity of the work as a whole.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2466/12/60/prepub\n" ]
[ null, null, null, null ]
[ "Background", "Methods", "Results", "Discussion", "Conclusions", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "Millions of North Americans are affected by the consequences of sleep disorders. Among these disorders, sleep apnea syndrome has the highest rate of mortality and morbidity\n[1]. According to the Public Health Agency of Canada, 858,900 Canadians reported suffering from sleep apnea, and almost 26% of Canadians are at high risk of developing the condition\n[2]. This disorder poses a major public health problem due to its prevalence, severity and socioeconomic burden. Obstructive sleep apnea (OSA) is defined as the cessation of naso-buccal air flow for more than 10 seconds\n[3], and is diagnosed based on an apnea–hypopnea index (AHI) value greater than five per hour of sleep\n[4], usually accompanied by a 4% decrease in oxygen saturation\n[4]. It is estimated that 80% of obstructive sleep apnea cases remain undiagnosed\n[5], making it difficult to identify patients at risk of associated comorbidities\n[6]. Reuveni et al. suggest that programs be developed to increase the level of suspicion of OSA among primary care providers\n[7].\nOSA syndrome is independently associated with an increased risk of mortality\n[8,9]. Fletcher\n[10] reported that 70% to 90% of patients with OSA have hypertension\n[10]. Associations between OSA and heart failure\n[11], OSA and arrhythmias\n[12], OSA and diabetes\n[13], OSA and insulin resistance\n[14] and OSA and metabolic syndrome\n[15] have also been reported. Successful treatment of OSA helps to better control many of the associated diseases and chronic conditions\n[11,16-18]. Men, people 40 years old and over, and those with a high body mass index (BMI) or a large neck circumference are at greater risk for OSA\n[19-21].\nMultimorbidity—the co-occurrence of two or more chronic diseases—is an emerging concept in the medical literature\n[22]. One study showed that nine out of ten primary care patients had more than one chronic condition, while approximately 50% had five or more\n[23]. Multimorbidity has been associated with several adverse effects, such as a reduction in quality of life\n[24,25], an increase in psychological distress\n[26], medical complications and increased mortality\n[27].\nEvidence of an association between OSA and multimorbidity could be an important incentive for the systematic screening for OSA in primary care settings—where the prevalence of multimorbidity is very high. The first objective of this study was to measure the association between the severity of OSA and the severity of multimorbidity, and second, to explore the association between OSA and various categories of multimorbidity.", "This study used data from the sleep laboratory of the Centre de santé et de services sociaux de Chicoutimi (CSSSC), a regional health centre in the Saguenay region of Québec (Canada). As a first step in the recruitment process, a list of patients who had undergone polysomnography in 2008 was compiled. Patients were categorized according to the severity of their OSA, based on their polysomnography results (absent: AHI 0-4; mild: AHI 5-14; moderate: AHI 15-29; severe: AHI ≥ 30). We selected consecutive patients from each category to ensure a proportional representation (25% each) of the four OSA categories. French-speaking patients were selected between 30 and 75 years of age, to ensure adequate variation in degrees of multimorbidity. Each patient underwent polysomnography after January 1, 2008, either in the sleep laboratory as a full night or a split-night study: the first half of the night is used to obtain a diagnosis, the second half is used to perform continuous positive airway pressure (CPAP) titration (level I), or, at home as an outpatient (level II). Patients with a diagnosis of upper airway resistance were excluded from the study, as were people who slept less than three hours a night and those referred for a diagnosis other than apnea, such as parasomnia.\nAfter providing informed consent, participants selected at this stage received a questionnaire covering multimorbidity and socio-demographic variables. Data related to variables of the evaluation conducted at the sleep laboratory were recorded: age, sex, polysomnography results, neck circumference, weight and height.\nSeveral tools are available for measuring multimorbidity. The Disease Burden Morbidity Assessment (DBMA) was selected for this study as it allows to report the absence or presence of 21 predetermined chronic conditions and additional chronic conditions and to determine a functional impact score for each condition on daily life activities\n[28]. The DBMA is a self-report questionnaire. For each condition present, the patient assesses a degree to which the condition limits his or her activities on a five-point descriptive scale (1: Not at all – 5: A lot). The total score is made up of the sum of all limitations. The metrological qualities and validity of this instrument have been described by Bayliss et al.\n[28] and a French version was validated in a recent study: sensitivity 73.9% (62.5%-90%); specificity 92.2% (77.6%-98.6%)\n[29]. The questionnaire was sent by mail based on a modified Dillman method\n[30]. A second questionnaire was sent to non-respondents 30 days following the first one. Estimated time to complete the questionnaire is approximately 15 minutes.\nDue to the exploratory nature of the study, we based our sample size estimation on the availability of the data and feasibility. We aimed for a sample size of 120 (30 per OSA group) to ensure a good representation of each category of the independent variable. We oversampled for a potential non response of 30 to 40%. Consequently, the questionnaire was sent to a convenience sample, as recommended by Dillman\n[31], of 194 people who had undergone polysomnography at the sleep laboratory of the CSSSC for a diagnosis of sleep apnea in 2008. The study received ethics approval from the Research Ethics Board of the CSSSC.\nThe subject’s characteristics were described using medians (in the case of asymmetric distributions), means, standard deviations (for continuous variables) and proportions (for categorical variables). A Kolmogorov-Smirnoff test was performed to test for normality of the distributions. In the absence of normality, non-parametric tests were conducted. Bivariate (Spearman rank) correlations were conducted. We dichotomized the AHI by grouping together absent and mild as well as moderate and severe to ensure sufficient size of each group. We performed logistic regression analyses to study the relationship between multimorbidity and OSA. The significance level was set at 0.05, and confidence intervals were calculated at 95%. The DBMA constituted the dependent variable and OSA classification, the independent variable. Other variables were included in the models as adjustment variables (BMI, sociodemographic variables). Neck circumference was not included, as 25% of the data was missing. We dichotomized the DBMA using the median and threshold values of 10 and 20, respectively, to explore the association with clinical variables. Cut-off points were chosen based on the definition of multimorbidity and the results of previous studies\n[23,32]. A score of 10 means a high impact and at least two chronic conditions; a score of 20 represents a very high impact and at least four chronic conditions (considered here as severe multimorbidity). DBMA sub-groups were formed on the basis of the correlation of each disease with OSA and the conceptual association. We tested three sub-groups: vascular DBMA (hypertension, heart disease, dyslipidemia, heart failure and stroke); cardio DBMA (hypertension, heart disease, dyslipidemia, heart failure) and metabolic syndrome DBMA (hypertension, cholesterol, obesity and diabetes). Data were analyzed using the SPSS package (19.0, SPSS, Chicago. IL).", "Of the 194 patients solicited, seven were non-eligible: five were suffering from parasomnia, one was too old and one we were unable to reach to complete the questionnaire. In total, 187 eligible patients were invited to participate and 120 completed the questionnaire (64.2% response rate). No patients were excluded. Among these, 89.2% of participants had OSA. The average age of patients was 55.5 years, with a predominance of males (65%).\nTable\n1 presents the characteristics of the 120 patients. The average neck circumference (absent: 41.17 cm; mild: 40.5 cm; moderate: 42.59 cm; severe: 43.99 cm) and BMI average (absent: 32.00; mild: 30.13; moderate: 34.39; severe: 35.77) were higher in moderate and severe OSA.\nPatient characteristics\n* N = 90.\nThe 120 respondents presented six chronic diseases in average. The average number of diseases did not increase in accordance with the severity of OSA (absent: seven diseases; mild: five diseases; moderate: eight diseases; severe: five diseases). Table\n2 (DMBA results) shows the distribution of diseases in the sample. The following conditions were present in 50% or more of the patients: obesity (80.8%), hypertension (52.5%) and dyslipidemia (50%).\nDBMA results\nTable\n3 reveals an association between polysomnography results (absent + mild vs. moderate + severe) and BMI (r = 0.261, p = 0.01) and gender (r = 0.244, p = 0.01) and a similar trend with neck circumference (r = 0.265, p = 0.05), and with income (r = 0.218, p = 0.05). We were unable to demonstrate a statistically significant association between the DBMA score and dichotomized polysomnography (absent + mild vs. moderate + severe) (r = 0.117, p = NS) in this analysis. With regard to multimorbidity sub-scores, Table\n3 shows weak correlations between sleep apnea and vascular DBMA and between OSA and metabolic syndrome DBMA. None of the sociodemographic variables were associated with OSA.\nBivariate analysis with dichotomized polysomnography results\nDichotomized polysomnography: 0 = absent + mild; 1 = moderate + severe\nDBMA sub-score: Cardiac DBMA: Hypertension, heart disease, dyslipidemia, heart failure; Vascular DBMA: Hypertension, heart disease, dyslipidemia, heart failure, stroke;\nMetabolic syndrome DBMA: Hypertension, cholesterol, obesity and diabetes\n*Spearman correlation.\nTables\n4 and\n5 show a significant association between severity of DBMA and severe OSA. There was also a significant association between DBMA and severe OSA (an AHI over 30). This association was not observed in patients with mild to moderate OSA. None of the sub-scores presented in Table\n3 showed an association with severity of OSA in logistic regression analyses (results not shown).\nLogistic regressions unadjusted\nMedian DBMA: 0 = DBMA from 0 to 13.99 and 1 = 14 and over.\nDBMA 10: 0 = DBMA from 0 to 9.99 and 1 = 10 and over.\nDBMA 20: 0 = DBMA from 0 to 19.99 and 1 = 20 and over.\nLogistic regression analyses adjusted for sex, age, BMI and income\nMedian DBMA: 0 = DBMA from 0 to 13.99 and 1 = 14 and over.\nDBMA 10: 0 = DBMA from 0 to 9.99 and 1 = 10 and over.\nDBMA 20: 0 = DBMA from 0 to 19.99 and 1 = 20 and over.", "The present study revealed an association between severe OSA and severity of multimorbidity as measured by the DBMA. The relationship was still present after adjusting for several potential confounders.\nThese findings have implications for general practice. Many patients seen in primary care practices present with multimorbidity. In order to investigate the potential association between multimorbidity and OSA, screening could be done clinically or by using a tool such as the Epworth Instrument which is highly correlated with OSA\n[33]. Patients could be referred to a sleep lab for evaluation when OSA is suspected. If OSA is confirmed, it may affect the management of the patient who could benefit from treatment that has been demonstrated to help control many associated diseases and chronic conditions\n[11,16-18].\nOne previous study suggests that multimorbidity exists in OSA\n[34]. To our knowledge, this is the first study to report an association between severe OSA and multimorbidity. We searched for an exposure–response relationship between OSA and multimorbidity but the composition of our sample prevented us from observing such a relationship. In our sample we did not obtain the desired proportion representation (25% each) of the four severity categories of the independent variable (OSA: absent, mild, moderate and severe). We sent the DBMA questionnaire to 50 people in each OSA classification category but we had a disproportionately high response rate in the severe category (48 out of the 50 patients) compared to the others. On the other hand, we obtained a sample of relatively sicker subjects (an average DBMA of 16). Patients in this study presented more chronic conditions (six per person) than reported by Fortin\n[23] (4.6 per person) or Kadam (1.3 per person)\n[32] in their assessment of multimorbidity in primary care practices. We suspect that the disproportionate response rate is due to the fact that patients who were sicker were more interested in participating in this study.\nRegarding other characteristics and associations, the respondents were fairly representative of the sleep apnea population, with a predominance of male subjects\n[21]. Neck circumference and BMI were found to be positively associated with OSA, which was expected\n[21]. We observed an association between the AHI and metabolic syndrome. This association had been previously found by other groups\n[35,36]. Although not addressed in our study, associations were also found between OSA and each component of the metabolic syndrome. In fact, the evidence suggests that OSA is actually part of the metabolic syndrome. One study suggests that OSA symptoms (snoring, hyper somnolence) predict the development of metabolic syndrome. In addition, evaluation of OSA symptoms can help identify individuals who are at risk of developing metabolic syndrome\n[35].\nOur sleep laboratory uses a definition of hypopnea which is accepted in the literature: a decrease in respiratory amplitude of 50% or more, accompanied by a desaturation of 3%\n[37]. However, other laboratories require a 4% desaturation for a positive diagnosis. The method used in this study is therefore more sensitive than the diagnostic criteria used in some laboratories. This could result in higher AHI values and the number of diagnoses of patients with mild or moderate symptoms who would not have been diagnosed by other laboratories. Several epidemiological studies have established a relationship between OSA and vascular morbidity using the 4% cut-off point\n[38]. This may explain why we did not observe any link between our groups of mild or moderate subjects and a measure of morbidity. It is especially important that studies showing a link between sleep apnea and morbidity examine these associations, particularly in the case of severe OSA (AHI greater than 30). Also, if OSA is an intermediate factor in the development of hypertension, diabetes, dyslipidemia or other conditions, controlling for these variables represents a case of \"over adjustment,\" potentially affecting the association between dependent and independent variables\n[39,40].\nFor more than 20 years, cross-sectional studies, control cases and other evidence have suggested an association between OSA and heart disease, heart failure, arrhythmias and cerebrovascular diseases\n[8,9,12,40]. A gradation of vascular risk in relation to AHI has been proposed\n[40]. We observed an association between vascular DBMA and AHI when AHI was dichotomized into absent and mild versus moderate and severe. Similar results were obtained in prospective population studies, such as the Sleep Heart Health Study\n[41] and the Wisconsin Sleep Cohort Study\n[42]. In the first study, Gottlieb identified an association between incident heart failure and OSA. Although there is no defined threshold value, this association is especially important in subjects with an AHI greater than 30. In the Wisconsin study, the associations were significant only in subjects with an AHI greater than 30 (odds ratios of 4.5 and 5.2, respectively, for risks of cerebral vascular disease and cardiovascular death). Furthermore, a longitudinal study showed that men are at increased risk of stroke when the AHI is greater than 19 per hour of sleep. Among women, unadjusted overall results showed an increased risk threshold at 25 AHI per hour of sleep (p = 0.002)\n[39].\nThis study has limitations. With a limited response rate of 64%, we were unable to obtain a proportional representation in categories of OSA classification in our sample, and this may have confounded the relationship between the DBMA and OSA. In addition, we had to remove one variable from the analysis (neck circumference) due to a high number of missing values. Another limitation of the study is the use of the DBMA as a measure of multimorbidity. The DBMA measures self-reported disease burden that correlates well with quality of life outcomes\n[28]. However, in other multimorbidity measures, disease severity is evaluated based on purely clinical criteria assessed by health professionals. The different methods of evaluating disease severity may have an impact on the association between multimorbidity and OSA.", "In this study we found a link between severe obstructive sleep apnea and severity of multimorbidity. These results represent the first documentation of a relationship between severity of OSA and severity of multimorbidity. The study also showed an association between OSA and multimorbidity sub-scores (cardiac, vascular, metabolic syndrome). Primary care providers should be aware of these potential associations and investigate OSA when deemed appropriate. There is a need for additional research in this area, and our findings may help raise awareness among family physicians about this condition and improve access to diagnosis and treatment. Research would benefit from repeating the same study using a longitudinal study design.", "This was not an industry-supported study and the authors have indicated no financial conflict of interest. This research received financial supported from the CIHR Applied Research Chair – Health Services and Policy Research on Chronic Diseases in Primary Care/Canadian Institutes of Health Research-Institute of Health Services and Policy Research, Canadian Health Services Research Foundation and Centre de santé et de services sociaux de Chicoutimi.", "LRH conceived the study, conducted the data collection, and participated in its design and in the data analysis. LRH also wrote the manuscript. MB and MF supervised the first author’s work and participated in its design and data analysis. All authors read and approved the final manuscript. LRH takes responsibility for the integrity of the work as a whole.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2466/12/60/prepub\n" ]
[ null, "methods", "results", "discussion", "conclusions", null, null, null ]
[ "Obstructive sleep apnea", "Multimorbidity", "Disease Burden Morbidity Assessment", "Chronic disease", "Severity" ]
Background: Millions of North Americans are affected by the consequences of sleep disorders. Among these disorders, sleep apnea syndrome has the highest rate of mortality and morbidity [1]. According to the Public Health Agency of Canada, 858,900 Canadians reported suffering from sleep apnea, and almost 26% of Canadians are at high risk of developing the condition [2]. This disorder poses a major public health problem due to its prevalence, severity and socioeconomic burden. Obstructive sleep apnea (OSA) is defined as the cessation of naso-buccal air flow for more than 10 seconds [3], and is diagnosed based on an apnea–hypopnea index (AHI) value greater than five per hour of sleep [4], usually accompanied by a 4% decrease in oxygen saturation [4]. It is estimated that 80% of obstructive sleep apnea cases remain undiagnosed [5], making it difficult to identify patients at risk of associated comorbidities [6]. Reuveni et al. suggest that programs be developed to increase the level of suspicion of OSA among primary care providers [7]. OSA syndrome is independently associated with an increased risk of mortality [8,9]. Fletcher [10] reported that 70% to 90% of patients with OSA have hypertension [10]. Associations between OSA and heart failure [11], OSA and arrhythmias [12], OSA and diabetes [13], OSA and insulin resistance [14] and OSA and metabolic syndrome [15] have also been reported. Successful treatment of OSA helps to better control many of the associated diseases and chronic conditions [11,16-18]. Men, people 40 years old and over, and those with a high body mass index (BMI) or a large neck circumference are at greater risk for OSA [19-21]. Multimorbidity—the co-occurrence of two or more chronic diseases—is an emerging concept in the medical literature [22]. One study showed that nine out of ten primary care patients had more than one chronic condition, while approximately 50% had five or more [23]. Multimorbidity has been associated with several adverse effects, such as a reduction in quality of life [24,25], an increase in psychological distress [26], medical complications and increased mortality [27]. Evidence of an association between OSA and multimorbidity could be an important incentive for the systematic screening for OSA in primary care settings—where the prevalence of multimorbidity is very high. The first objective of this study was to measure the association between the severity of OSA and the severity of multimorbidity, and second, to explore the association between OSA and various categories of multimorbidity. Methods: This study used data from the sleep laboratory of the Centre de santé et de services sociaux de Chicoutimi (CSSSC), a regional health centre in the Saguenay region of Québec (Canada). As a first step in the recruitment process, a list of patients who had undergone polysomnography in 2008 was compiled. Patients were categorized according to the severity of their OSA, based on their polysomnography results (absent: AHI 0-4; mild: AHI 5-14; moderate: AHI 15-29; severe: AHI ≥ 30). We selected consecutive patients from each category to ensure a proportional representation (25% each) of the four OSA categories. French-speaking patients were selected between 30 and 75 years of age, to ensure adequate variation in degrees of multimorbidity. Each patient underwent polysomnography after January 1, 2008, either in the sleep laboratory as a full night or a split-night study: the first half of the night is used to obtain a diagnosis, the second half is used to perform continuous positive airway pressure (CPAP) titration (level I), or, at home as an outpatient (level II). Patients with a diagnosis of upper airway resistance were excluded from the study, as were people who slept less than three hours a night and those referred for a diagnosis other than apnea, such as parasomnia. After providing informed consent, participants selected at this stage received a questionnaire covering multimorbidity and socio-demographic variables. Data related to variables of the evaluation conducted at the sleep laboratory were recorded: age, sex, polysomnography results, neck circumference, weight and height. Several tools are available for measuring multimorbidity. The Disease Burden Morbidity Assessment (DBMA) was selected for this study as it allows to report the absence or presence of 21 predetermined chronic conditions and additional chronic conditions and to determine a functional impact score for each condition on daily life activities [28]. The DBMA is a self-report questionnaire. For each condition present, the patient assesses a degree to which the condition limits his or her activities on a five-point descriptive scale (1: Not at all – 5: A lot). The total score is made up of the sum of all limitations. The metrological qualities and validity of this instrument have been described by Bayliss et al. [28] and a French version was validated in a recent study: sensitivity 73.9% (62.5%-90%); specificity 92.2% (77.6%-98.6%) [29]. The questionnaire was sent by mail based on a modified Dillman method [30]. A second questionnaire was sent to non-respondents 30 days following the first one. Estimated time to complete the questionnaire is approximately 15 minutes. Due to the exploratory nature of the study, we based our sample size estimation on the availability of the data and feasibility. We aimed for a sample size of 120 (30 per OSA group) to ensure a good representation of each category of the independent variable. We oversampled for a potential non response of 30 to 40%. Consequently, the questionnaire was sent to a convenience sample, as recommended by Dillman [31], of 194 people who had undergone polysomnography at the sleep laboratory of the CSSSC for a diagnosis of sleep apnea in 2008. The study received ethics approval from the Research Ethics Board of the CSSSC. The subject’s characteristics were described using medians (in the case of asymmetric distributions), means, standard deviations (for continuous variables) and proportions (for categorical variables). A Kolmogorov-Smirnoff test was performed to test for normality of the distributions. In the absence of normality, non-parametric tests were conducted. Bivariate (Spearman rank) correlations were conducted. We dichotomized the AHI by grouping together absent and mild as well as moderate and severe to ensure sufficient size of each group. We performed logistic regression analyses to study the relationship between multimorbidity and OSA. The significance level was set at 0.05, and confidence intervals were calculated at 95%. The DBMA constituted the dependent variable and OSA classification, the independent variable. Other variables were included in the models as adjustment variables (BMI, sociodemographic variables). Neck circumference was not included, as 25% of the data was missing. We dichotomized the DBMA using the median and threshold values of 10 and 20, respectively, to explore the association with clinical variables. Cut-off points were chosen based on the definition of multimorbidity and the results of previous studies [23,32]. A score of 10 means a high impact and at least two chronic conditions; a score of 20 represents a very high impact and at least four chronic conditions (considered here as severe multimorbidity). DBMA sub-groups were formed on the basis of the correlation of each disease with OSA and the conceptual association. We tested three sub-groups: vascular DBMA (hypertension, heart disease, dyslipidemia, heart failure and stroke); cardio DBMA (hypertension, heart disease, dyslipidemia, heart failure) and metabolic syndrome DBMA (hypertension, cholesterol, obesity and diabetes). Data were analyzed using the SPSS package (19.0, SPSS, Chicago. IL). Results: Of the 194 patients solicited, seven were non-eligible: five were suffering from parasomnia, one was too old and one we were unable to reach to complete the questionnaire. In total, 187 eligible patients were invited to participate and 120 completed the questionnaire (64.2% response rate). No patients were excluded. Among these, 89.2% of participants had OSA. The average age of patients was 55.5 years, with a predominance of males (65%). Table 1 presents the characteristics of the 120 patients. The average neck circumference (absent: 41.17 cm; mild: 40.5 cm; moderate: 42.59 cm; severe: 43.99 cm) and BMI average (absent: 32.00; mild: 30.13; moderate: 34.39; severe: 35.77) were higher in moderate and severe OSA. Patient characteristics * N = 90. The 120 respondents presented six chronic diseases in average. The average number of diseases did not increase in accordance with the severity of OSA (absent: seven diseases; mild: five diseases; moderate: eight diseases; severe: five diseases). Table 2 (DMBA results) shows the distribution of diseases in the sample. The following conditions were present in 50% or more of the patients: obesity (80.8%), hypertension (52.5%) and dyslipidemia (50%). DBMA results Table 3 reveals an association between polysomnography results (absent + mild vs. moderate + severe) and BMI (r = 0.261, p = 0.01) and gender (r = 0.244, p = 0.01) and a similar trend with neck circumference (r = 0.265, p = 0.05), and with income (r = 0.218, p = 0.05). We were unable to demonstrate a statistically significant association between the DBMA score and dichotomized polysomnography (absent + mild vs. moderate + severe) (r = 0.117, p = NS) in this analysis. With regard to multimorbidity sub-scores, Table 3 shows weak correlations between sleep apnea and vascular DBMA and between OSA and metabolic syndrome DBMA. None of the sociodemographic variables were associated with OSA. Bivariate analysis with dichotomized polysomnography results Dichotomized polysomnography: 0 = absent + mild; 1 = moderate + severe DBMA sub-score: Cardiac DBMA: Hypertension, heart disease, dyslipidemia, heart failure; Vascular DBMA: Hypertension, heart disease, dyslipidemia, heart failure, stroke; Metabolic syndrome DBMA: Hypertension, cholesterol, obesity and diabetes *Spearman correlation. Tables 4 and 5 show a significant association between severity of DBMA and severe OSA. There was also a significant association between DBMA and severe OSA (an AHI over 30). This association was not observed in patients with mild to moderate OSA. None of the sub-scores presented in Table 3 showed an association with severity of OSA in logistic regression analyses (results not shown). Logistic regressions unadjusted Median DBMA: 0 = DBMA from 0 to 13.99 and 1 = 14 and over. DBMA 10: 0 = DBMA from 0 to 9.99 and 1 = 10 and over. DBMA 20: 0 = DBMA from 0 to 19.99 and 1 = 20 and over. Logistic regression analyses adjusted for sex, age, BMI and income Median DBMA: 0 = DBMA from 0 to 13.99 and 1 = 14 and over. DBMA 10: 0 = DBMA from 0 to 9.99 and 1 = 10 and over. DBMA 20: 0 = DBMA from 0 to 19.99 and 1 = 20 and over. Discussion: The present study revealed an association between severe OSA and severity of multimorbidity as measured by the DBMA. The relationship was still present after adjusting for several potential confounders. These findings have implications for general practice. Many patients seen in primary care practices present with multimorbidity. In order to investigate the potential association between multimorbidity and OSA, screening could be done clinically or by using a tool such as the Epworth Instrument which is highly correlated with OSA [33]. Patients could be referred to a sleep lab for evaluation when OSA is suspected. If OSA is confirmed, it may affect the management of the patient who could benefit from treatment that has been demonstrated to help control many associated diseases and chronic conditions [11,16-18]. One previous study suggests that multimorbidity exists in OSA [34]. To our knowledge, this is the first study to report an association between severe OSA and multimorbidity. We searched for an exposure–response relationship between OSA and multimorbidity but the composition of our sample prevented us from observing such a relationship. In our sample we did not obtain the desired proportion representation (25% each) of the four severity categories of the independent variable (OSA: absent, mild, moderate and severe). We sent the DBMA questionnaire to 50 people in each OSA classification category but we had a disproportionately high response rate in the severe category (48 out of the 50 patients) compared to the others. On the other hand, we obtained a sample of relatively sicker subjects (an average DBMA of 16). Patients in this study presented more chronic conditions (six per person) than reported by Fortin [23] (4.6 per person) or Kadam (1.3 per person) [32] in their assessment of multimorbidity in primary care practices. We suspect that the disproportionate response rate is due to the fact that patients who were sicker were more interested in participating in this study. Regarding other characteristics and associations, the respondents were fairly representative of the sleep apnea population, with a predominance of male subjects [21]. Neck circumference and BMI were found to be positively associated with OSA, which was expected [21]. We observed an association between the AHI and metabolic syndrome. This association had been previously found by other groups [35,36]. Although not addressed in our study, associations were also found between OSA and each component of the metabolic syndrome. In fact, the evidence suggests that OSA is actually part of the metabolic syndrome. One study suggests that OSA symptoms (snoring, hyper somnolence) predict the development of metabolic syndrome. In addition, evaluation of OSA symptoms can help identify individuals who are at risk of developing metabolic syndrome [35]. Our sleep laboratory uses a definition of hypopnea which is accepted in the literature: a decrease in respiratory amplitude of 50% or more, accompanied by a desaturation of 3% [37]. However, other laboratories require a 4% desaturation for a positive diagnosis. The method used in this study is therefore more sensitive than the diagnostic criteria used in some laboratories. This could result in higher AHI values and the number of diagnoses of patients with mild or moderate symptoms who would not have been diagnosed by other laboratories. Several epidemiological studies have established a relationship between OSA and vascular morbidity using the 4% cut-off point [38]. This may explain why we did not observe any link between our groups of mild or moderate subjects and a measure of morbidity. It is especially important that studies showing a link between sleep apnea and morbidity examine these associations, particularly in the case of severe OSA (AHI greater than 30). Also, if OSA is an intermediate factor in the development of hypertension, diabetes, dyslipidemia or other conditions, controlling for these variables represents a case of "over adjustment," potentially affecting the association between dependent and independent variables [39,40]. For more than 20 years, cross-sectional studies, control cases and other evidence have suggested an association between OSA and heart disease, heart failure, arrhythmias and cerebrovascular diseases [8,9,12,40]. A gradation of vascular risk in relation to AHI has been proposed [40]. We observed an association between vascular DBMA and AHI when AHI was dichotomized into absent and mild versus moderate and severe. Similar results were obtained in prospective population studies, such as the Sleep Heart Health Study [41] and the Wisconsin Sleep Cohort Study [42]. In the first study, Gottlieb identified an association between incident heart failure and OSA. Although there is no defined threshold value, this association is especially important in subjects with an AHI greater than 30. In the Wisconsin study, the associations were significant only in subjects with an AHI greater than 30 (odds ratios of 4.5 and 5.2, respectively, for risks of cerebral vascular disease and cardiovascular death). Furthermore, a longitudinal study showed that men are at increased risk of stroke when the AHI is greater than 19 per hour of sleep. Among women, unadjusted overall results showed an increased risk threshold at 25 AHI per hour of sleep (p = 0.002) [39]. This study has limitations. With a limited response rate of 64%, we were unable to obtain a proportional representation in categories of OSA classification in our sample, and this may have confounded the relationship between the DBMA and OSA. In addition, we had to remove one variable from the analysis (neck circumference) due to a high number of missing values. Another limitation of the study is the use of the DBMA as a measure of multimorbidity. The DBMA measures self-reported disease burden that correlates well with quality of life outcomes [28]. However, in other multimorbidity measures, disease severity is evaluated based on purely clinical criteria assessed by health professionals. The different methods of evaluating disease severity may have an impact on the association between multimorbidity and OSA. Conclusions: In this study we found a link between severe obstructive sleep apnea and severity of multimorbidity. These results represent the first documentation of a relationship between severity of OSA and severity of multimorbidity. The study also showed an association between OSA and multimorbidity sub-scores (cardiac, vascular, metabolic syndrome). Primary care providers should be aware of these potential associations and investigate OSA when deemed appropriate. There is a need for additional research in this area, and our findings may help raise awareness among family physicians about this condition and improve access to diagnosis and treatment. Research would benefit from repeating the same study using a longitudinal study design. Competing interests: This was not an industry-supported study and the authors have indicated no financial conflict of interest. This research received financial supported from the CIHR Applied Research Chair – Health Services and Policy Research on Chronic Diseases in Primary Care/Canadian Institutes of Health Research-Institute of Health Services and Policy Research, Canadian Health Services Research Foundation and Centre de santé et de services sociaux de Chicoutimi. Authors’ contributions: LRH conceived the study, conducted the data collection, and participated in its design and in the data analysis. LRH also wrote the manuscript. MB and MF supervised the first author’s work and participated in its design and data analysis. All authors read and approved the final manuscript. LRH takes responsibility for the integrity of the work as a whole. Pre-publication history: The pre-publication history for this paper can be accessed here: http://www.biomedcentral.com/1471-2466/12/60/prepub
Background: Obstructive sleep apnea (OSA) is becoming increasingly prevalent in North America and has been described in association with specific chronic diseases, particularly cardiovascular diseases. In primary care, where the prevalence of co-occurring chronic conditions is very high, the potential association with OSA is unknown. The purpose of this study was to explore the association between OSA and 1) the presence and severity of multimorbidity (multiple co-occurring chronic conditions), and 2) subcategories of multimorbidity. Methods: A cluster sampling technique was used to recruit 120 patients presenting with OSA of various severities from the records of a sleep laboratory in 2008. Severity of OSA was based on the results of the polysomnography. Patients invited to participate received a mail questionnaire including questions on sociodemographic characteristics and the Disease Burden Morbidity Assessment (DBMA). They also consented to give access to their medical records. The DBMA was used to provide an overall multimorbidity score and sub-score of diseases affecting various systems. Results: Bivariate analysis did not demonstrate an association between OSA and multimorbidity (r = 0.117; p = 0.205). However, severe OSA was associated with multimorbidity (adjusted odds ratio = 7.33 [1.67-32.23], p = 0.05). OSA was moderately correlated with vascular (r = 0.26, p = 0.01) and metabolic syndrome (r = 0.26, p = 0.01) multimorbidity sub-scores. Conclusions: This study showed that severe OSA is associated with severe multimorbidity and sub-scores of multimorbidity. These results do not allow any causal inference. More research is required to confirm these associations. However, primary care providers should be aware of these potential associations and investigate OSA when deemed appropriate.
Background: Millions of North Americans are affected by the consequences of sleep disorders. Among these disorders, sleep apnea syndrome has the highest rate of mortality and morbidity [1]. According to the Public Health Agency of Canada, 858,900 Canadians reported suffering from sleep apnea, and almost 26% of Canadians are at high risk of developing the condition [2]. This disorder poses a major public health problem due to its prevalence, severity and socioeconomic burden. Obstructive sleep apnea (OSA) is defined as the cessation of naso-buccal air flow for more than 10 seconds [3], and is diagnosed based on an apnea–hypopnea index (AHI) value greater than five per hour of sleep [4], usually accompanied by a 4% decrease in oxygen saturation [4]. It is estimated that 80% of obstructive sleep apnea cases remain undiagnosed [5], making it difficult to identify patients at risk of associated comorbidities [6]. Reuveni et al. suggest that programs be developed to increase the level of suspicion of OSA among primary care providers [7]. OSA syndrome is independently associated with an increased risk of mortality [8,9]. Fletcher [10] reported that 70% to 90% of patients with OSA have hypertension [10]. Associations between OSA and heart failure [11], OSA and arrhythmias [12], OSA and diabetes [13], OSA and insulin resistance [14] and OSA and metabolic syndrome [15] have also been reported. Successful treatment of OSA helps to better control many of the associated diseases and chronic conditions [11,16-18]. Men, people 40 years old and over, and those with a high body mass index (BMI) or a large neck circumference are at greater risk for OSA [19-21]. Multimorbidity—the co-occurrence of two or more chronic diseases—is an emerging concept in the medical literature [22]. One study showed that nine out of ten primary care patients had more than one chronic condition, while approximately 50% had five or more [23]. Multimorbidity has been associated with several adverse effects, such as a reduction in quality of life [24,25], an increase in psychological distress [26], medical complications and increased mortality [27]. Evidence of an association between OSA and multimorbidity could be an important incentive for the systematic screening for OSA in primary care settings—where the prevalence of multimorbidity is very high. The first objective of this study was to measure the association between the severity of OSA and the severity of multimorbidity, and second, to explore the association between OSA and various categories of multimorbidity. Conclusions: In this study we found a link between severe obstructive sleep apnea and severity of multimorbidity. These results represent the first documentation of a relationship between severity of OSA and severity of multimorbidity. The study also showed an association between OSA and multimorbidity sub-scores (cardiac, vascular, metabolic syndrome). Primary care providers should be aware of these potential associations and investigate OSA when deemed appropriate. There is a need for additional research in this area, and our findings may help raise awareness among family physicians about this condition and improve access to diagnosis and treatment. Research would benefit from repeating the same study using a longitudinal study design.
Background: Obstructive sleep apnea (OSA) is becoming increasingly prevalent in North America and has been described in association with specific chronic diseases, particularly cardiovascular diseases. In primary care, where the prevalence of co-occurring chronic conditions is very high, the potential association with OSA is unknown. The purpose of this study was to explore the association between OSA and 1) the presence and severity of multimorbidity (multiple co-occurring chronic conditions), and 2) subcategories of multimorbidity. Methods: A cluster sampling technique was used to recruit 120 patients presenting with OSA of various severities from the records of a sleep laboratory in 2008. Severity of OSA was based on the results of the polysomnography. Patients invited to participate received a mail questionnaire including questions on sociodemographic characteristics and the Disease Burden Morbidity Assessment (DBMA). They also consented to give access to their medical records. The DBMA was used to provide an overall multimorbidity score and sub-score of diseases affecting various systems. Results: Bivariate analysis did not demonstrate an association between OSA and multimorbidity (r = 0.117; p = 0.205). However, severe OSA was associated with multimorbidity (adjusted odds ratio = 7.33 [1.67-32.23], p = 0.05). OSA was moderately correlated with vascular (r = 0.26, p = 0.01) and metabolic syndrome (r = 0.26, p = 0.01) multimorbidity sub-scores. Conclusions: This study showed that severe OSA is associated with severe multimorbidity and sub-scores of multimorbidity. These results do not allow any causal inference. More research is required to confirm these associations. However, primary care providers should be aware of these potential associations and investigate OSA when deemed appropriate.
3,729
346
[ 536, 73, 67, 16 ]
8
[ "osa", "dbma", "study", "multimorbidity", "association", "patients", "sleep", "severe", "ahi", "severity" ]
[ "diagnosis sleep apnea", "sleep apnea severity", "apnea osa", "apnea osa defined", "sleep apnea morbidity" ]
[CONTENT] Obstructive sleep apnea | Multimorbidity | Disease Burden Morbidity Assessment | Chronic disease | Severity [SUMMARY]
[CONTENT] Obstructive sleep apnea | Multimorbidity | Disease Burden Morbidity Assessment | Chronic disease | Severity [SUMMARY]
[CONTENT] Obstructive sleep apnea | Multimorbidity | Disease Burden Morbidity Assessment | Chronic disease | Severity [SUMMARY]
[CONTENT] Obstructive sleep apnea | Multimorbidity | Disease Burden Morbidity Assessment | Chronic disease | Severity [SUMMARY]
[CONTENT] Obstructive sleep apnea | Multimorbidity | Disease Burden Morbidity Assessment | Chronic disease | Severity [SUMMARY]
[CONTENT] Obstructive sleep apnea | Multimorbidity | Disease Burden Morbidity Assessment | Chronic disease | Severity [SUMMARY]
[CONTENT] Cardiovascular Diseases | Cluster Analysis | Comorbidity | Dyslipidemias | Female | Humans | Logistic Models | Male | Mass Screening | Metabolic Syndrome | Middle Aged | Obesity | Polysomnography | Primary Health Care | Retrospective Studies | Severity of Illness Index | Sleep Apnea, Obstructive [SUMMARY]
[CONTENT] Cardiovascular Diseases | Cluster Analysis | Comorbidity | Dyslipidemias | Female | Humans | Logistic Models | Male | Mass Screening | Metabolic Syndrome | Middle Aged | Obesity | Polysomnography | Primary Health Care | Retrospective Studies | Severity of Illness Index | Sleep Apnea, Obstructive [SUMMARY]
[CONTENT] Cardiovascular Diseases | Cluster Analysis | Comorbidity | Dyslipidemias | Female | Humans | Logistic Models | Male | Mass Screening | Metabolic Syndrome | Middle Aged | Obesity | Polysomnography | Primary Health Care | Retrospective Studies | Severity of Illness Index | Sleep Apnea, Obstructive [SUMMARY]
[CONTENT] Cardiovascular Diseases | Cluster Analysis | Comorbidity | Dyslipidemias | Female | Humans | Logistic Models | Male | Mass Screening | Metabolic Syndrome | Middle Aged | Obesity | Polysomnography | Primary Health Care | Retrospective Studies | Severity of Illness Index | Sleep Apnea, Obstructive [SUMMARY]
[CONTENT] Cardiovascular Diseases | Cluster Analysis | Comorbidity | Dyslipidemias | Female | Humans | Logistic Models | Male | Mass Screening | Metabolic Syndrome | Middle Aged | Obesity | Polysomnography | Primary Health Care | Retrospective Studies | Severity of Illness Index | Sleep Apnea, Obstructive [SUMMARY]
[CONTENT] Cardiovascular Diseases | Cluster Analysis | Comorbidity | Dyslipidemias | Female | Humans | Logistic Models | Male | Mass Screening | Metabolic Syndrome | Middle Aged | Obesity | Polysomnography | Primary Health Care | Retrospective Studies | Severity of Illness Index | Sleep Apnea, Obstructive [SUMMARY]
[CONTENT] diagnosis sleep apnea | sleep apnea severity | apnea osa | apnea osa defined | sleep apnea morbidity [SUMMARY]
[CONTENT] diagnosis sleep apnea | sleep apnea severity | apnea osa | apnea osa defined | sleep apnea morbidity [SUMMARY]
[CONTENT] diagnosis sleep apnea | sleep apnea severity | apnea osa | apnea osa defined | sleep apnea morbidity [SUMMARY]
[CONTENT] diagnosis sleep apnea | sleep apnea severity | apnea osa | apnea osa defined | sleep apnea morbidity [SUMMARY]
[CONTENT] diagnosis sleep apnea | sleep apnea severity | apnea osa | apnea osa defined | sleep apnea morbidity [SUMMARY]
[CONTENT] diagnosis sleep apnea | sleep apnea severity | apnea osa | apnea osa defined | sleep apnea morbidity [SUMMARY]
[CONTENT] osa | dbma | study | multimorbidity | association | patients | sleep | severe | ahi | severity [SUMMARY]
[CONTENT] osa | dbma | study | multimorbidity | association | patients | sleep | severe | ahi | severity [SUMMARY]
[CONTENT] osa | dbma | study | multimorbidity | association | patients | sleep | severe | ahi | severity [SUMMARY]
[CONTENT] osa | dbma | study | multimorbidity | association | patients | sleep | severe | ahi | severity [SUMMARY]
[CONTENT] osa | dbma | study | multimorbidity | association | patients | sleep | severe | ahi | severity [SUMMARY]
[CONTENT] osa | dbma | study | multimorbidity | association | patients | sleep | severe | ahi | severity [SUMMARY]
[CONTENT] osa | multimorbidity | sleep | risk | mortality | associated | apnea | reported | sleep apnea | high [SUMMARY]
[CONTENT] variables | dbma | questionnaire | 30 | data | polysomnography | selected | night | ensure | study [SUMMARY]
[CONTENT] dbma | 99 | moderate | severe | mild | osa | table | patients | diseases | absent [SUMMARY]
[CONTENT] study | osa | severity | multimorbidity | severity multimorbidity | research | link severe obstructive | study longitudinal study design | study longitudinal study | potential associations investigate [SUMMARY]
[CONTENT] osa | dbma | study | multimorbidity | research | association | sleep | patients | data | severe [SUMMARY]
[CONTENT] osa | dbma | study | multimorbidity | research | association | sleep | patients | data | severe [SUMMARY]
[CONTENT] North America ||| ||| 1 | 2 [SUMMARY]
[CONTENT] 120 | 2008 ||| ||| the Disease Burden Morbidity Assessment ||| ||| DBMA [SUMMARY]
[CONTENT] 0.117 | 0.205 ||| 7.33 ||| 1.67 | 0.05 ||| 0.26 | 0.01 | 0.26 | 0.01 [SUMMARY]
[CONTENT] ||| ||| ||| [SUMMARY]
[CONTENT] North America ||| ||| 1 | 2 ||| 120 | 2008 ||| ||| the Disease Burden Morbidity Assessment ||| ||| DBMA ||| ||| 0.117 | 0.205 ||| 7.33 ||| 1.67 | 0.05 ||| 0.26 | 0.01 | 0.26 | 0.01 ||| ||| ||| ||| [SUMMARY]
[CONTENT] North America ||| ||| 1 | 2 ||| 120 | 2008 ||| ||| the Disease Burden Morbidity Assessment ||| ||| DBMA ||| ||| 0.117 | 0.205 ||| 7.33 ||| 1.67 | 0.05 ||| 0.26 | 0.01 | 0.26 | 0.01 ||| ||| ||| ||| [SUMMARY]
IS IT POSSIBLE TO OPTIMIZE STAPLED HEMORRHOIDOPEXY OUTCOMES BY ENLARGING OPERATIVE CRITERIA INDICATIONS? RESULTS OF A TAILORED PROCEDURE WITH ASSOCIATED RESECTION IN A COMPARATIVE PERSONAL SERIES.
36449865
Since its introduction, stapled hemorrhoidopexy has been increasingly indicated in the management of hemorrhoidal disease.
BACKGROUND
We retrospectively reviewed 196 patients (103 males and 93 females) with a median age of 47.9 years (range, 17-78) who were undergoing stapled hemorrhoidopexy alone (STG; n=65) or combined surgery (CSG; n=131, stapled hemorrhoidopexy associated with resection).
METHODS
Complications were detected in 11 (5.6%) patients (4.6% for STG vs. 6.1% for CSG; p=0.95). At the same time, symptoms recurrence (13.8% vs. 8.4%; p=034), reoperation rate for complications (3.1% vs. 3.0%; p=1.0), and reoperation rate for recurrence (6.1% vs. 4.6%; p=1.0) were not different among groups. Grade IV patients were more commonly managed with simultaneous stapling and resection (63% vs. 49.5%), but none of them presented symptoms recurrence nor need reoperation due to recurrence. Median pain score during the first week was higher in CSG patients (0.8 vs. 1.7). After a follow-up of 24.9 months, satisfaction scores were similar (8.6; p=0.8).
RESULTS
Recurrent symptoms were observed in 10% of patients, requiring surgery in approximately half of them. Even though the association of techniques may raise pain scores, a tailored approach based on amplified indication criteria and combined techniques seems to be an effective and safe alternative, with decreased relapse rates in patients suffering from more advanced hemorrhoidal disease. Satisfaction scores after hemorrhoidopexy are high.
CONCLUSION
[ "Female", "Male", "Humans", "Adolescent", "Young Adult", "Adult", "Middle Aged", "Aged", "Hemorrhoids", "Retrospective Studies", "Reoperation", "Pain" ]
9704851
INTRODUCTION
Hemorrhoidal disease (HD) is an extremely frequent anorectal condition in adults, with estimates around 4.4% of the population and peak incidence from 45 to 65 years of age. Physiopathology includes vascular alterations (capillary shunts), inflammation (chronic irritation), mechanical (chronic constipation, frequent bowel motion, obesity, supine position, pregnancy, physical exercises), degenerative (connective and muscular support tissue destruction), and hormonal (pregnancy) factors 16 . Prevalence of symptoms is greater with age and among women. Episodes of thrombosis lead to pain, local discomfort, and skin tags formation, mainly in supine position, when seating, or after defecation. Gradually, an external thrombosed and edematous blue pile covered by anoderm may ulcerate and bleed. In other patients, internal pinkish piles may prolapse from the anal verge and cause bleeding and irritation. Although an initial conservative treatment (fiber supplementation, warm water baths, suppositories, and creams) may attenuate symptoms, a proportion of patients will require other forms of treatment 11 . The opportunity to choose the best treatment depends on personal experience, clinical presentation, and patient features. While grades I and II patients may be managed with conservative measures (such as rubber band ligation), more advanced disease will probably need surgical treatment (by excisional and nonexcisional techniques). Classical hemorrhoidectomy techniques are still considered the “state of the art” for HD management. Recent data showed that the closed technique (Ferguson's) is superior to the open hemorrhoidectomy operation (Milligan-Morgan) in terms of reducing postoperative bleeding or severe pain. Ferguson's technique was also proven to be associated with faster wound healing 2 . However, the associated pain and slow recovery after excisional surgery led to the development of innovative nonexcisional procedures such as stapled hemorrhoidopexy (SH) and Doppler-guided hemorrhoidal dearterialization with mucopexy (DG-HAL) for grades III and IV patients 11 . The concept of SH (also called stapled hemorrhoidectomy or mechanical anopexy) was introduced by Longo in 1998 12 as an alternative for conventional techniques, shifting our attention to the rectal wall above the prolapsed hemorrhoids. The use of circular stapler allows to excise a circumferential strip of mucosa that reduces prolapse degree and pulls the hemorrhoidal cushions to their original anatomical position. Thus, the mucosectomy aims to obtain prolapse correction (rectopexy), reduce submucosal vascular supply to hemorrhoidal plexus, and preserve the anoderm. In conjunction, these modifications may control symptoms and restore anal canal function and anatomy. Besides its advantages, higher recurrence rates and severe complications related to the stapling have been reported 8,10,13 . Throughout time, improvement of devices, close adhesion to technical details, and progressive experience have played a key role to achieve better outcomes. Within this context, the aim of this study was to present technical modifications and change of concepts we have developed overtime in this operative technique and to analyze postoperative outcomes after a tailored management according to clinical presentation.
METHODS
A retrospective analysis of patients undergoing SH in a private setting was performed. Clinical and surgical data of those operated from 2010 to 2020 were retrieved from medical records containing prospectively registered data. Our primary end point was to evaluate the incidence of recurrent disease or symptoms requiring another surgical intervention. On a secondary analysis, we compared pain, complications, and satisfaction after procedures indicated selectively according to disease features. Retrieved data included age, gender, symptoms (prolapse, bleeding, local pain, itching, burning), complaints of chronic constipation, family history of HD, previous operations, HD grade, type of operative procedure (SH or SH combined with resection), postoperative pain (pain scale), operative morbidity, complications related to reoperations, length of follow-up (months), symptoms of hemorrhoidal recurrence, and need for medical treatment or reoperations due to recurrent disease. A visual analog scale was used to evaluate postoperative pain at the end of the first week after surgery. Data collection was complemented by sending a questionnaire to all patients and through telephone calls. A last evaluation was performed through a written questionnaire sent to all patients, in order to check their satisfaction. This was categorized as low (1–3), moderate (4–6), satisfied (7–8), and very satisfied (9–10). Surgical Technique None of the patients were treated in an outpatient basis or with local anesthesia. Preoperative preparation included rectal washout and endovenous antibiotics 1 h before the procedure. Under sedation (to avoid unconscious movements) and spinal anesthesia, they were placed in lithotomy and Trendelenburg position. The internal anorectal prolapse was assessed through digital examination and with endoanal gauze introduction-retrieved movement. Prolapse was then reduced with the introduction of Circular Anal Dilator (CAD) via endoanal and positioning of the Purse-String Suture Anoscope. A submucosal continuous suture using 2–0 Prolene was started at 3 o'clock position and progressed clockwise. At the left lateral position (9 o'clock), the Prolene suture was enlaced with another 2–0 nonabsorbable stitch and the suture progressed toward the point at the right lateral where it was started. At the end, we obtained 2 traction points situated at the right (3 o'clock) and left (9 o'clock). The head of the 33 mm circular stapler was then introduced beyond the suture to allow mucosal approximation around the stapler axis. After stapler closing and firing, it was opened and removed. The staple line and the mucosectomy specimen were checked for bleeding and integrity. The verification of dehiscence or bleeding at the staple line was immediately corrected with absorbable stiches involving the suture line. Statistical analysis was performed employing the chi-square test and Yates correction, Fischer's exact test, and Kruskal-Wallis test. The study was approved by the Ethics Committee of the University Hospital of the Universidade de São Paulo (USP). None of the patients were treated in an outpatient basis or with local anesthesia. Preoperative preparation included rectal washout and endovenous antibiotics 1 h before the procedure. Under sedation (to avoid unconscious movements) and spinal anesthesia, they were placed in lithotomy and Trendelenburg position. The internal anorectal prolapse was assessed through digital examination and with endoanal gauze introduction-retrieved movement. Prolapse was then reduced with the introduction of Circular Anal Dilator (CAD) via endoanal and positioning of the Purse-String Suture Anoscope. A submucosal continuous suture using 2–0 Prolene was started at 3 o'clock position and progressed clockwise. At the left lateral position (9 o'clock), the Prolene suture was enlaced with another 2–0 nonabsorbable stitch and the suture progressed toward the point at the right lateral where it was started. At the end, we obtained 2 traction points situated at the right (3 o'clock) and left (9 o'clock). The head of the 33 mm circular stapler was then introduced beyond the suture to allow mucosal approximation around the stapler axis. After stapler closing and firing, it was opened and removed. The staple line and the mucosectomy specimen were checked for bleeding and integrity. The verification of dehiscence or bleeding at the staple line was immediately corrected with absorbable stiches involving the suture line. Statistical analysis was performed employing the chi-square test and Yates correction, Fischer's exact test, and Kruskal-Wallis test. The study was approved by the Ethics Committee of the University Hospital of the Universidade de São Paulo (USP).
RESULTS
During the study period, we identified 280 patients operated for HD. Operative procedures included SH (196; 74.8%), excisional hemorrhoidectomy (66; 23.5%), and DHAL (18; 6.4%). Among the 196 SH patients, we identified 65 (33.2%) treated only with mechanical anopexy (named SH group or SHG) and 131 (66.8%) who underwent mechanical anopexy complemented with hemorrhoids or skin tags resection (named combined surgery group or CSG). Combined procedure was indicated in cases presenting external disease on proctological examination or at the external evaluation after stapling. The most common reported hemorrhoidal symptoms reported by the 196 SH patients are listed on Table 1. Intestinal constipation, family history of HD, and previous surgery were mentioned by 64 (32.5%), 35 (17.9%), and 11 (5.8%) patients, respectively. Patients undergoing SH comprised 103 (52.5%) males and 93 (47.4%) females, with ages varied from 17 to 78 years (median 47.9). These characteristics and other data regarding comparative results among SHG and CSG are summarized in Table 2. Most patients belonged to HD stage II (44; 22.4%) and stage III (129; 65.8%). qui-square and Yates correction; +Fischer Exact test; Kruskal-Wallis test; SHG: mechanical anopexy; CSG: mechanical anopexy complemented with hemorrhoids or skin tags resection. Patients classified maximal pain intensity during the first postoperative week as 0.8 (0–8) in SHG and 1.7 (0–10) in CSG, respectively. Overall, 30 days morbidity was registered in 11 (5.6%) patients, being 3 (4.6%) in SHG and 8 (6.1%) in CSG. Operative complications are listed in Table 3. Persistent anal pain and/or tenesmus were classified as complications when it affected quality of life. There was no statistical difference among both groups regarding morbidity, symptoms recurrence, and reoperations. Recurrent symptoms of HD requiring clinical management were registered in 20 (10.2%) patients [9 (13.8%) vs. 11 (8.4%)]. However, reoperations for recurrence were necessary in only 10 (5.1%) patients, with no difference among STG (4; 6.1%) and CSG (6; 4.6%). These reoperated patients were classified as stage II (3; 6.8%) and IV (7; 5.4%) diseases. Reoperations due to postoperative complications were necessary in 6 (3.0%) of total patients (or 60% of those who presented complications), being 2 (3.5%) in SHG and 4 (2.9%) in CSG. These 6 patients were stage III (5/129; 3.9%) and stage IV (1/4.7%) diseases. Our questionnaire was responded by 44 SHG and 99 CSG patients. After more than 20 months of follow-up, patients attributed similar median satisfaction score of 8.6 in SHG (50–10) and CSG (4–10). Satisfaction was considered complete (scale 8–10) for 36 patients in SHG (44 answers) and 86 (86.9%) patients among 99 who responded that answer in the questionnaire.
CONCLUSION
The comparative results observed in the present study suggest that improved outcomes after SH may be achieved when indications criteria include those diagnosed with larger piles, external thrombosis, and skin tags, by performing additional limited resection. Thus, a tailored approach to HD seems to be an effective alternative aiming to decrease relapse in cases suffering from more advanced disease, even though the combination of techniques demonstrated to be associated with greater pain in this group (1.7 vs. 0.8). Moreover, although we do not have comparative results to analyze, the technical modification characterized by the presence of two opposite traction points in the submucosal circumferential suture seems to lead a greater mucosectomy. This optimized mucosectomy probably contributed to the excellent long-term results we have observed among our patients.
[ "Surgical Technique" ]
[ "None of the patients were treated in an outpatient basis or with local anesthesia. Preoperative preparation included rectal washout and endovenous antibiotics 1 h before the procedure. Under sedation (to avoid unconscious movements) and spinal anesthesia, they were placed in lithotomy and Trendelenburg position. The internal anorectal prolapse was assessed through digital examination and with endoanal gauze introduction-retrieved movement. Prolapse was then reduced with the introduction of Circular Anal Dilator (CAD) via endoanal and positioning of the Purse-String Suture Anoscope.\nA submucosal continuous suture using 2–0 Prolene was started at 3 o'clock position and progressed clockwise. At the left lateral position (9 o'clock), the Prolene suture was enlaced with another 2–0 nonabsorbable stitch and the suture progressed toward the point at the right lateral where it was started. At the end, we obtained 2 traction points situated at the right (3 o'clock) and left (9 o'clock). The head of the 33 mm circular stapler was then introduced beyond the suture to allow mucosal approximation around the stapler axis. After stapler closing and firing, it was opened and removed. The staple line and the mucosectomy specimen were checked for bleeding and integrity. The verification of dehiscence or bleeding at the staple line was immediately corrected with absorbable stiches involving the suture line.\nStatistical analysis was performed employing the chi-square test and Yates correction, Fischer's exact test, and Kruskal-Wallis test. The study was approved by the Ethics Committee of the University Hospital of the Universidade de São Paulo (USP)." ]
[ null ]
[ "INTRODUCTION", "METHODS", "Surgical Technique", "RESULTS", "DISCUSSION", "CONCLUSION" ]
[ "Hemorrhoidal disease (HD) is an extremely frequent anorectal condition in adults, with estimates around 4.4% of the population and peak incidence from 45 to 65 years of age. Physiopathology includes vascular alterations (capillary shunts), inflammation (chronic irritation), mechanical (chronic constipation, frequent bowel motion, obesity, supine position, pregnancy, physical exercises), degenerative (connective and muscular support tissue destruction), and hormonal (pregnancy) factors\n16\n.\nPrevalence of symptoms is greater with age and among women. Episodes of thrombosis lead to pain, local discomfort, and skin tags formation, mainly in supine position, when seating, or after defecation. Gradually, an external thrombosed and edematous blue pile covered by anoderm may ulcerate and bleed. In other patients, internal pinkish piles may prolapse from the anal verge and cause bleeding and irritation. Although an initial conservative treatment (fiber supplementation, warm water baths, suppositories, and creams) may attenuate symptoms, a proportion of patients will require other forms of treatment\n11\n.\nThe opportunity to choose the best treatment depends on personal experience, clinical presentation, and patient features. While grades I and II patients may be managed with conservative measures (such as rubber band ligation), more advanced disease will probably need surgical treatment (by excisional and nonexcisional techniques).\nClassical hemorrhoidectomy techniques are still considered the “state of the art” for HD management. Recent data showed that the closed technique (Ferguson's) is superior to the open hemorrhoidectomy operation (Milligan-Morgan) in terms of reducing postoperative bleeding or severe pain. Ferguson's technique was also proven to be associated with faster wound healing\n2\n.\nHowever, the associated pain and slow recovery after excisional surgery led to the development of innovative nonexcisional procedures such as stapled hemorrhoidopexy (SH) and Doppler-guided hemorrhoidal dearterialization with mucopexy (DG-HAL) for grades III and IV patients\n11\n.\nThe concept of SH (also called stapled hemorrhoidectomy or mechanical anopexy) was introduced by Longo in 1998\n12\n as an alternative for conventional techniques, shifting our attention to the rectal wall above the prolapsed hemorrhoids. The use of circular stapler allows to excise a circumferential strip of mucosa that reduces prolapse degree and pulls the hemorrhoidal cushions to their original anatomical position. Thus, the mucosectomy aims to obtain prolapse correction (rectopexy), reduce submucosal vascular supply to hemorrhoidal plexus, and preserve the anoderm. In conjunction, these modifications may control symptoms and restore anal canal function and anatomy.\nBesides its advantages, higher recurrence rates and severe complications related to the stapling have been reported\n8,10,13\n. Throughout time, improvement of devices, close adhesion to technical details, and progressive experience have played a key role to achieve better outcomes. Within this context, the aim of this study was to present technical modifications and change of concepts we have developed overtime in this operative technique and to analyze postoperative outcomes after a tailored management according to clinical presentation.", "A retrospective analysis of patients undergoing SH in a private setting was performed. Clinical and surgical data of those operated from 2010 to 2020 were retrieved from medical records containing prospectively registered data. Our primary end point was to evaluate the incidence of recurrent disease or symptoms requiring another surgical intervention. On a secondary analysis, we compared pain, complications, and satisfaction after procedures indicated selectively according to disease features.\nRetrieved data included age, gender, symptoms (prolapse, bleeding, local pain, itching, burning), complaints of chronic constipation, family history of HD, previous operations, HD grade, type of operative procedure (SH or SH combined with resection), postoperative pain (pain scale), operative morbidity, complications related to reoperations, length of follow-up (months), symptoms of hemorrhoidal recurrence, and need for medical treatment or reoperations due to recurrent disease. A visual analog scale was used to evaluate postoperative pain at the end of the first week after surgery.\nData collection was complemented by sending a questionnaire to all patients and through telephone calls. A last evaluation was performed through a written questionnaire sent to all patients, in order to check their satisfaction. This was categorized as low (1–3), moderate (4–6), satisfied (7–8), and very satisfied (9–10).\nSurgical Technique None of the patients were treated in an outpatient basis or with local anesthesia. Preoperative preparation included rectal washout and endovenous antibiotics 1 h before the procedure. Under sedation (to avoid unconscious movements) and spinal anesthesia, they were placed in lithotomy and Trendelenburg position. The internal anorectal prolapse was assessed through digital examination and with endoanal gauze introduction-retrieved movement. Prolapse was then reduced with the introduction of Circular Anal Dilator (CAD) via endoanal and positioning of the Purse-String Suture Anoscope.\nA submucosal continuous suture using 2–0 Prolene was started at 3 o'clock position and progressed clockwise. At the left lateral position (9 o'clock), the Prolene suture was enlaced with another 2–0 nonabsorbable stitch and the suture progressed toward the point at the right lateral where it was started. At the end, we obtained 2 traction points situated at the right (3 o'clock) and left (9 o'clock). The head of the 33 mm circular stapler was then introduced beyond the suture to allow mucosal approximation around the stapler axis. After stapler closing and firing, it was opened and removed. The staple line and the mucosectomy specimen were checked for bleeding and integrity. The verification of dehiscence or bleeding at the staple line was immediately corrected with absorbable stiches involving the suture line.\nStatistical analysis was performed employing the chi-square test and Yates correction, Fischer's exact test, and Kruskal-Wallis test. The study was approved by the Ethics Committee of the University Hospital of the Universidade de São Paulo (USP).\nNone of the patients were treated in an outpatient basis or with local anesthesia. Preoperative preparation included rectal washout and endovenous antibiotics 1 h before the procedure. Under sedation (to avoid unconscious movements) and spinal anesthesia, they were placed in lithotomy and Trendelenburg position. The internal anorectal prolapse was assessed through digital examination and with endoanal gauze introduction-retrieved movement. Prolapse was then reduced with the introduction of Circular Anal Dilator (CAD) via endoanal and positioning of the Purse-String Suture Anoscope.\nA submucosal continuous suture using 2–0 Prolene was started at 3 o'clock position and progressed clockwise. At the left lateral position (9 o'clock), the Prolene suture was enlaced with another 2–0 nonabsorbable stitch and the suture progressed toward the point at the right lateral where it was started. At the end, we obtained 2 traction points situated at the right (3 o'clock) and left (9 o'clock). The head of the 33 mm circular stapler was then introduced beyond the suture to allow mucosal approximation around the stapler axis. After stapler closing and firing, it was opened and removed. The staple line and the mucosectomy specimen were checked for bleeding and integrity. The verification of dehiscence or bleeding at the staple line was immediately corrected with absorbable stiches involving the suture line.\nStatistical analysis was performed employing the chi-square test and Yates correction, Fischer's exact test, and Kruskal-Wallis test. The study was approved by the Ethics Committee of the University Hospital of the Universidade de São Paulo (USP).", "None of the patients were treated in an outpatient basis or with local anesthesia. Preoperative preparation included rectal washout and endovenous antibiotics 1 h before the procedure. Under sedation (to avoid unconscious movements) and spinal anesthesia, they were placed in lithotomy and Trendelenburg position. The internal anorectal prolapse was assessed through digital examination and with endoanal gauze introduction-retrieved movement. Prolapse was then reduced with the introduction of Circular Anal Dilator (CAD) via endoanal and positioning of the Purse-String Suture Anoscope.\nA submucosal continuous suture using 2–0 Prolene was started at 3 o'clock position and progressed clockwise. At the left lateral position (9 o'clock), the Prolene suture was enlaced with another 2–0 nonabsorbable stitch and the suture progressed toward the point at the right lateral where it was started. At the end, we obtained 2 traction points situated at the right (3 o'clock) and left (9 o'clock). The head of the 33 mm circular stapler was then introduced beyond the suture to allow mucosal approximation around the stapler axis. After stapler closing and firing, it was opened and removed. The staple line and the mucosectomy specimen were checked for bleeding and integrity. The verification of dehiscence or bleeding at the staple line was immediately corrected with absorbable stiches involving the suture line.\nStatistical analysis was performed employing the chi-square test and Yates correction, Fischer's exact test, and Kruskal-Wallis test. The study was approved by the Ethics Committee of the University Hospital of the Universidade de São Paulo (USP).", "During the study period, we identified 280 patients operated for HD. Operative procedures included SH (196; 74.8%), excisional hemorrhoidectomy (66; 23.5%), and DHAL (18; 6.4%). Among the 196 SH patients, we identified 65 (33.2%) treated only with mechanical anopexy (named SH group or SHG) and 131 (66.8%) who underwent mechanical anopexy complemented with hemorrhoids or skin tags resection (named combined surgery group or CSG). Combined procedure was indicated in cases presenting external disease on proctological examination or at the external evaluation after stapling.\nThe most common reported hemorrhoidal symptoms reported by the 196 SH patients are listed on Table 1. Intestinal constipation, family history of HD, and previous surgery were mentioned by 64 (32.5%), 35 (17.9%), and 11 (5.8%) patients, respectively.\nPatients undergoing SH comprised 103 (52.5%) males and 93 (47.4%) females, with ages varied from 17 to 78 years (median 47.9). These characteristics and other data regarding comparative results among SHG and CSG are summarized in Table 2. Most patients belonged to HD stage II (44; 22.4%) and stage III (129; 65.8%).\nqui-square and Yates correction; +Fischer Exact test;\nKruskal-Wallis test; SHG: mechanical anopexy; CSG: mechanical anopexy complemented with hemorrhoids or skin tags resection.\nPatients classified maximal pain intensity during the first postoperative week as 0.8 (0–8) in SHG and 1.7 (0–10) in CSG, respectively. Overall, 30 days morbidity was registered in 11 (5.6%) patients, being 3 (4.6%) in SHG and 8 (6.1%) in CSG. Operative complications are listed in Table 3. Persistent anal pain and/or tenesmus were classified as complications when it affected quality of life.\nThere was no statistical difference among both groups regarding morbidity, symptoms recurrence, and reoperations. Recurrent symptoms of HD requiring clinical management were registered in 20 (10.2%) patients [9 (13.8%) vs. 11 (8.4%)]. However, reoperations for recurrence were necessary in only 10 (5.1%) patients, with no difference among STG (4; 6.1%) and CSG (6; 4.6%). These reoperated patients were classified as stage II (3; 6.8%) and IV (7; 5.4%) diseases.\nReoperations due to postoperative complications were necessary in 6 (3.0%) of total patients (or 60% of those who presented complications), being 2 (3.5%) in SHG and 4 (2.9%) in CSG. These 6 patients were stage III (5/129; 3.9%) and stage IV (1/4.7%) diseases.\nOur questionnaire was responded by 44 SHG and 99 CSG patients. After more than 20 months of follow-up, patients attributed similar median satisfaction score of 8.6 in SHG (50–10) and CSG (4–10). Satisfaction was considered complete (scale 8–10) for 36 patients in SHG (44 answers) and 86 (86.9%) patients among 99 who responded that answer in the questionnaire.", "Introduction of SH into clinical practice has provided better postoperative outcomes concerning postoperative comfort and recovery18. Symptoms control is attributed to interruption of blood supply, improvement of venous drainage, and anatomical repositioning. Within the period of the present study, SH comprised 75% of all surgical options.\nWhen the technique was originally described, cases of the third and fourth degrees internal prolapses and patients exhibiting minor disease considered refractory to medical management were considered the ideal candidates. On the contrary, those presenting prolapsed cushions or fibrotic piles were preferably treated by resection techniques.\nOvertime, indications criteria have been amplified, and factors related to anatomy (one or two prolapsed piles, external thrombosis), symptoms (bleeding, thrombosis), or associated diseases (obstructed defecation) were no longer considered obstacles to perform SH\n19\n.\nIt has been widely recognized that a meticulous observation of technical details is crucial to avoid complications and recurrence. Morbidity rates varying from 9 to 15% have been reported, which include bleeding, persistent rectal pain, urgency to defecate, partial stenosis, external thrombosis, suture dehiscence, and local submucosal abscess\n18\n. Although majority of symptoms are of minor importance, some rare life-threatening events may also occur. Gradually, the development of new devices turned bleeding a very rare occurrence. Furthermore, a meticulous inspection after firing may preclude the need for an easy manual suture with absorbable stiches to avoid local bleeding\n19\n.\nAs summarized in Tables 2 and 3, we registered complications in only 11 (5.6%) patients, with no difference among SHG (5.2%) and CSG (5.7%). Partial stenosis was diagnosed in 5 (2.5%) patients, but only 3 (1.5%) required surgical correction. This is the reason why we advocate digital rectal examination in the postoperative period, aiming to detect and avoid the development of anal stenosis, especially when the final suture line remains too close to the dentate line. In these cases, pain and tenesmus may be lessened by repeated digital rectal examinations, surgical plasty of anorectal stricture, or even scar tissue removal. This complication may be surgically managed with low morbidity and high efficacy, mainly when revisional surgery is performed within 3 months after surgery\n18\n.\nAs a matter of fact, the purse-string suture must not be too high (to provide an adequate prolapse retraction), too deep (to avoid muscular inclusion), or too low (so the stapler line could involve the dentate line and cause pain). Most commonly, the circular manual suture is fashioned 2.5–3.5 cm proximally to the dentate line\n5\n. Besides, 3 (1.5%) of our patients had a complaint of important anal pain. As the extent of the transitional epithelium may vary individually, some cases may experience occasional discomfort. Also, the eventual presence of muscular fibers in the surgical specimen has not been associated with rectal pain or functional disturbances.\nWe do believe that the correct application of an operative technique plays a major role in its recurrence rates. Literature reviews have demonstrated greater recurrence rates after SH when compared to excisional techniques. Some controversy exists among those who believe these higher rates are due to improper inclusion of residual skin tags into the recurrence data\n8\n.\nConsequently, SH must be offered to patients after information of these data and confirmation of surgeon's experience. In our series, only 10.2% of patients referred recurrent symptoms during follow-up, with a not statistical difference among both surgical options (13.8% for SHG vs. 8.4% for CSG), similarly to other series\n1\n. In a group of 257 patients followed more than 10 years, recurrence has been reported in up to 47% of patients, although reintervention was necessary in only 15%\n17\n.\nAmong our patients, half (5.1%) of those presenting symptoms required a subsequent reoperation, with no different rates between the two groups. When we add all reoperations due to complications and recurrences (total 16 cases, 8.2%), both SHG (6; 6.3%) and CSG (10; 7.6%) seemed to provide similar outcomes in this setting. If we think that a combined surgery was offered to patients probably presenting a more advanced disease (exhibiting external thrombosis, skin tags, or refractory prolapse even after firing the stapler), we should expect higher rates of recurrence and reoperations among this specific group. Fortunately, we were probably capable of preventing this unfortunate evolution by adding an additional resection to the mucosectomy with stapling.\nCertainly, such a heterogeneous disease should not receive a standardized management for all cases. Previous reports have already suggested that, in selected cases, different strategies could be employed in the presence of inelastic internal piles, external disease, or skin tag not tolerated by the patient\n4,6,7,14\n. Consequently, a more effective disease control may be accomplished by performing additional or combined procedures, even if they cause pain. The present study raises the importance of complementing SH by adding procedures such as limited resections of internal and external thrombosed hemorrhoids or skin tags, aiming to improve long-term outcomes.\nAs expected, grade III patients manifested recurrence of symptoms more frequently than grade II (Table 3), even though with similar index of reoperations. Among our 196 patients, grade IV patients were more commonly managed with simultaneous stapling and resection (63% vs. 49.5%). As summarized in Table 3, none of those classified as grade IV presented symptoms recurrence nor they need reoperation due to recurrence (Table 4).\np=0.56 Kruskal-Wallis test; SHG: stapled hemorrhoidopexy group; CSG: combined surgery group.\nIn the literature, greater recurrence rates and persistence of HD currently observed after treating grade IV patients may suggest that the device could be insufficient to adequately resect a great extension (or volume) of internal prolapse\n7\n. Our results in this group of patients suggest that the association of two procedures in the same patient may provide a more effective disease control.\nA total of 73% of the questionnaires were sent back, allowing us to verify a high score of patients’ satisfaction (8.6), meaning they were very happy with treatment. In Table 5, similar impressions reported by others are presented.\nBased on the concept that internal rectal prolapse participates in the disease process, the current experience allows us to consider SH as a major innovative and revolutionary advance in HD treatment. Similarly, dearterialization technical options (Doppler and non-Doppler-guided, tailored mucosectomy) also deal with the same problem. These interesting alternatives should deserve correct indication and proper technical execution by experienced surgeons aware of technical details and potential morbidity.\nCurrently, comparison of these two techniques still leads to different conclusions. In a recent comparative study\n9\n, early and late results of SH (50) and HD (100) for grades III and IV after 2 years of follow-up showed greater recurrence rates (16% vs. 4%), pain scores, operative length, and recovery period for HD. These results turn general adoption of dearterialization a difficult task\n3,15\n. A meta-analysis that reviewed six randomized trials comparing 274 SH and 280 HD demonstrated greater recurrence rates (13.2% vs. 6.9%) for HD, whereas complications (17.1% vs. 23.3%) and patients’ satisfaction were similar in both groups\n7\n.", "The comparative results observed in the present study suggest that improved outcomes after SH may be achieved when indications criteria include those diagnosed with larger piles, external thrombosis, and skin tags, by performing additional limited resection. Thus, a tailored approach to HD seems to be an effective alternative aiming to decrease relapse in cases suffering from more advanced disease, even though the combination of techniques demonstrated to be associated with greater pain in this group (1.7 vs. 0.8).\nMoreover, although we do not have comparative results to analyze, the technical modification characterized by the presence of two opposite traction points in the submucosal circumferential suture seems to lead a greater mucosectomy. This optimized mucosectomy probably contributed to the excellent long-term results we have observed among our patients." ]
[ "intro", "methods", null, "results", "discussion", "conclusions" ]
[ "Hemorrhoids", "Hemorrhoidectomy", "Recurrence", "Rectal Prolapse", "Treatment Failure", "Hemorroidas", "Hemorroidectomia", "Recidiva", "Prolapso Retal", "Falha de Tratamento" ]
INTRODUCTION: Hemorrhoidal disease (HD) is an extremely frequent anorectal condition in adults, with estimates around 4.4% of the population and peak incidence from 45 to 65 years of age. Physiopathology includes vascular alterations (capillary shunts), inflammation (chronic irritation), mechanical (chronic constipation, frequent bowel motion, obesity, supine position, pregnancy, physical exercises), degenerative (connective and muscular support tissue destruction), and hormonal (pregnancy) factors 16 . Prevalence of symptoms is greater with age and among women. Episodes of thrombosis lead to pain, local discomfort, and skin tags formation, mainly in supine position, when seating, or after defecation. Gradually, an external thrombosed and edematous blue pile covered by anoderm may ulcerate and bleed. In other patients, internal pinkish piles may prolapse from the anal verge and cause bleeding and irritation. Although an initial conservative treatment (fiber supplementation, warm water baths, suppositories, and creams) may attenuate symptoms, a proportion of patients will require other forms of treatment 11 . The opportunity to choose the best treatment depends on personal experience, clinical presentation, and patient features. While grades I and II patients may be managed with conservative measures (such as rubber band ligation), more advanced disease will probably need surgical treatment (by excisional and nonexcisional techniques). Classical hemorrhoidectomy techniques are still considered the “state of the art” for HD management. Recent data showed that the closed technique (Ferguson's) is superior to the open hemorrhoidectomy operation (Milligan-Morgan) in terms of reducing postoperative bleeding or severe pain. Ferguson's technique was also proven to be associated with faster wound healing 2 . However, the associated pain and slow recovery after excisional surgery led to the development of innovative nonexcisional procedures such as stapled hemorrhoidopexy (SH) and Doppler-guided hemorrhoidal dearterialization with mucopexy (DG-HAL) for grades III and IV patients 11 . The concept of SH (also called stapled hemorrhoidectomy or mechanical anopexy) was introduced by Longo in 1998 12 as an alternative for conventional techniques, shifting our attention to the rectal wall above the prolapsed hemorrhoids. The use of circular stapler allows to excise a circumferential strip of mucosa that reduces prolapse degree and pulls the hemorrhoidal cushions to their original anatomical position. Thus, the mucosectomy aims to obtain prolapse correction (rectopexy), reduce submucosal vascular supply to hemorrhoidal plexus, and preserve the anoderm. In conjunction, these modifications may control symptoms and restore anal canal function and anatomy. Besides its advantages, higher recurrence rates and severe complications related to the stapling have been reported 8,10,13 . Throughout time, improvement of devices, close adhesion to technical details, and progressive experience have played a key role to achieve better outcomes. Within this context, the aim of this study was to present technical modifications and change of concepts we have developed overtime in this operative technique and to analyze postoperative outcomes after a tailored management according to clinical presentation. METHODS: A retrospective analysis of patients undergoing SH in a private setting was performed. Clinical and surgical data of those operated from 2010 to 2020 were retrieved from medical records containing prospectively registered data. Our primary end point was to evaluate the incidence of recurrent disease or symptoms requiring another surgical intervention. On a secondary analysis, we compared pain, complications, and satisfaction after procedures indicated selectively according to disease features. Retrieved data included age, gender, symptoms (prolapse, bleeding, local pain, itching, burning), complaints of chronic constipation, family history of HD, previous operations, HD grade, type of operative procedure (SH or SH combined with resection), postoperative pain (pain scale), operative morbidity, complications related to reoperations, length of follow-up (months), symptoms of hemorrhoidal recurrence, and need for medical treatment or reoperations due to recurrent disease. A visual analog scale was used to evaluate postoperative pain at the end of the first week after surgery. Data collection was complemented by sending a questionnaire to all patients and through telephone calls. A last evaluation was performed through a written questionnaire sent to all patients, in order to check their satisfaction. This was categorized as low (1–3), moderate (4–6), satisfied (7–8), and very satisfied (9–10). Surgical Technique None of the patients were treated in an outpatient basis or with local anesthesia. Preoperative preparation included rectal washout and endovenous antibiotics 1 h before the procedure. Under sedation (to avoid unconscious movements) and spinal anesthesia, they were placed in lithotomy and Trendelenburg position. The internal anorectal prolapse was assessed through digital examination and with endoanal gauze introduction-retrieved movement. Prolapse was then reduced with the introduction of Circular Anal Dilator (CAD) via endoanal and positioning of the Purse-String Suture Anoscope. A submucosal continuous suture using 2–0 Prolene was started at 3 o'clock position and progressed clockwise. At the left lateral position (9 o'clock), the Prolene suture was enlaced with another 2–0 nonabsorbable stitch and the suture progressed toward the point at the right lateral where it was started. At the end, we obtained 2 traction points situated at the right (3 o'clock) and left (9 o'clock). The head of the 33 mm circular stapler was then introduced beyond the suture to allow mucosal approximation around the stapler axis. After stapler closing and firing, it was opened and removed. The staple line and the mucosectomy specimen were checked for bleeding and integrity. The verification of dehiscence or bleeding at the staple line was immediately corrected with absorbable stiches involving the suture line. Statistical analysis was performed employing the chi-square test and Yates correction, Fischer's exact test, and Kruskal-Wallis test. The study was approved by the Ethics Committee of the University Hospital of the Universidade de São Paulo (USP). None of the patients were treated in an outpatient basis or with local anesthesia. Preoperative preparation included rectal washout and endovenous antibiotics 1 h before the procedure. Under sedation (to avoid unconscious movements) and spinal anesthesia, they were placed in lithotomy and Trendelenburg position. The internal anorectal prolapse was assessed through digital examination and with endoanal gauze introduction-retrieved movement. Prolapse was then reduced with the introduction of Circular Anal Dilator (CAD) via endoanal and positioning of the Purse-String Suture Anoscope. A submucosal continuous suture using 2–0 Prolene was started at 3 o'clock position and progressed clockwise. At the left lateral position (9 o'clock), the Prolene suture was enlaced with another 2–0 nonabsorbable stitch and the suture progressed toward the point at the right lateral where it was started. At the end, we obtained 2 traction points situated at the right (3 o'clock) and left (9 o'clock). The head of the 33 mm circular stapler was then introduced beyond the suture to allow mucosal approximation around the stapler axis. After stapler closing and firing, it was opened and removed. The staple line and the mucosectomy specimen were checked for bleeding and integrity. The verification of dehiscence or bleeding at the staple line was immediately corrected with absorbable stiches involving the suture line. Statistical analysis was performed employing the chi-square test and Yates correction, Fischer's exact test, and Kruskal-Wallis test. The study was approved by the Ethics Committee of the University Hospital of the Universidade de São Paulo (USP). Surgical Technique: None of the patients were treated in an outpatient basis or with local anesthesia. Preoperative preparation included rectal washout and endovenous antibiotics 1 h before the procedure. Under sedation (to avoid unconscious movements) and spinal anesthesia, they were placed in lithotomy and Trendelenburg position. The internal anorectal prolapse was assessed through digital examination and with endoanal gauze introduction-retrieved movement. Prolapse was then reduced with the introduction of Circular Anal Dilator (CAD) via endoanal and positioning of the Purse-String Suture Anoscope. A submucosal continuous suture using 2–0 Prolene was started at 3 o'clock position and progressed clockwise. At the left lateral position (9 o'clock), the Prolene suture was enlaced with another 2–0 nonabsorbable stitch and the suture progressed toward the point at the right lateral where it was started. At the end, we obtained 2 traction points situated at the right (3 o'clock) and left (9 o'clock). The head of the 33 mm circular stapler was then introduced beyond the suture to allow mucosal approximation around the stapler axis. After stapler closing and firing, it was opened and removed. The staple line and the mucosectomy specimen were checked for bleeding and integrity. The verification of dehiscence or bleeding at the staple line was immediately corrected with absorbable stiches involving the suture line. Statistical analysis was performed employing the chi-square test and Yates correction, Fischer's exact test, and Kruskal-Wallis test. The study was approved by the Ethics Committee of the University Hospital of the Universidade de São Paulo (USP). RESULTS: During the study period, we identified 280 patients operated for HD. Operative procedures included SH (196; 74.8%), excisional hemorrhoidectomy (66; 23.5%), and DHAL (18; 6.4%). Among the 196 SH patients, we identified 65 (33.2%) treated only with mechanical anopexy (named SH group or SHG) and 131 (66.8%) who underwent mechanical anopexy complemented with hemorrhoids or skin tags resection (named combined surgery group or CSG). Combined procedure was indicated in cases presenting external disease on proctological examination or at the external evaluation after stapling. The most common reported hemorrhoidal symptoms reported by the 196 SH patients are listed on Table 1. Intestinal constipation, family history of HD, and previous surgery were mentioned by 64 (32.5%), 35 (17.9%), and 11 (5.8%) patients, respectively. Patients undergoing SH comprised 103 (52.5%) males and 93 (47.4%) females, with ages varied from 17 to 78 years (median 47.9). These characteristics and other data regarding comparative results among SHG and CSG are summarized in Table 2. Most patients belonged to HD stage II (44; 22.4%) and stage III (129; 65.8%). qui-square and Yates correction; +Fischer Exact test; Kruskal-Wallis test; SHG: mechanical anopexy; CSG: mechanical anopexy complemented with hemorrhoids or skin tags resection. Patients classified maximal pain intensity during the first postoperative week as 0.8 (0–8) in SHG and 1.7 (0–10) in CSG, respectively. Overall, 30 days morbidity was registered in 11 (5.6%) patients, being 3 (4.6%) in SHG and 8 (6.1%) in CSG. Operative complications are listed in Table 3. Persistent anal pain and/or tenesmus were classified as complications when it affected quality of life. There was no statistical difference among both groups regarding morbidity, symptoms recurrence, and reoperations. Recurrent symptoms of HD requiring clinical management were registered in 20 (10.2%) patients [9 (13.8%) vs. 11 (8.4%)]. However, reoperations for recurrence were necessary in only 10 (5.1%) patients, with no difference among STG (4; 6.1%) and CSG (6; 4.6%). These reoperated patients were classified as stage II (3; 6.8%) and IV (7; 5.4%) diseases. Reoperations due to postoperative complications were necessary in 6 (3.0%) of total patients (or 60% of those who presented complications), being 2 (3.5%) in SHG and 4 (2.9%) in CSG. These 6 patients were stage III (5/129; 3.9%) and stage IV (1/4.7%) diseases. Our questionnaire was responded by 44 SHG and 99 CSG patients. After more than 20 months of follow-up, patients attributed similar median satisfaction score of 8.6 in SHG (50–10) and CSG (4–10). Satisfaction was considered complete (scale 8–10) for 36 patients in SHG (44 answers) and 86 (86.9%) patients among 99 who responded that answer in the questionnaire. DISCUSSION: Introduction of SH into clinical practice has provided better postoperative outcomes concerning postoperative comfort and recovery18. Symptoms control is attributed to interruption of blood supply, improvement of venous drainage, and anatomical repositioning. Within the period of the present study, SH comprised 75% of all surgical options. When the technique was originally described, cases of the third and fourth degrees internal prolapses and patients exhibiting minor disease considered refractory to medical management were considered the ideal candidates. On the contrary, those presenting prolapsed cushions or fibrotic piles were preferably treated by resection techniques. Overtime, indications criteria have been amplified, and factors related to anatomy (one or two prolapsed piles, external thrombosis), symptoms (bleeding, thrombosis), or associated diseases (obstructed defecation) were no longer considered obstacles to perform SH 19 . It has been widely recognized that a meticulous observation of technical details is crucial to avoid complications and recurrence. Morbidity rates varying from 9 to 15% have been reported, which include bleeding, persistent rectal pain, urgency to defecate, partial stenosis, external thrombosis, suture dehiscence, and local submucosal abscess 18 . Although majority of symptoms are of minor importance, some rare life-threatening events may also occur. Gradually, the development of new devices turned bleeding a very rare occurrence. Furthermore, a meticulous inspection after firing may preclude the need for an easy manual suture with absorbable stiches to avoid local bleeding 19 . As summarized in Tables 2 and 3, we registered complications in only 11 (5.6%) patients, with no difference among SHG (5.2%) and CSG (5.7%). Partial stenosis was diagnosed in 5 (2.5%) patients, but only 3 (1.5%) required surgical correction. This is the reason why we advocate digital rectal examination in the postoperative period, aiming to detect and avoid the development of anal stenosis, especially when the final suture line remains too close to the dentate line. In these cases, pain and tenesmus may be lessened by repeated digital rectal examinations, surgical plasty of anorectal stricture, or even scar tissue removal. This complication may be surgically managed with low morbidity and high efficacy, mainly when revisional surgery is performed within 3 months after surgery 18 . As a matter of fact, the purse-string suture must not be too high (to provide an adequate prolapse retraction), too deep (to avoid muscular inclusion), or too low (so the stapler line could involve the dentate line and cause pain). Most commonly, the circular manual suture is fashioned 2.5–3.5 cm proximally to the dentate line 5 . Besides, 3 (1.5%) of our patients had a complaint of important anal pain. As the extent of the transitional epithelium may vary individually, some cases may experience occasional discomfort. Also, the eventual presence of muscular fibers in the surgical specimen has not been associated with rectal pain or functional disturbances. We do believe that the correct application of an operative technique plays a major role in its recurrence rates. Literature reviews have demonstrated greater recurrence rates after SH when compared to excisional techniques. Some controversy exists among those who believe these higher rates are due to improper inclusion of residual skin tags into the recurrence data 8 . Consequently, SH must be offered to patients after information of these data and confirmation of surgeon's experience. In our series, only 10.2% of patients referred recurrent symptoms during follow-up, with a not statistical difference among both surgical options (13.8% for SHG vs. 8.4% for CSG), similarly to other series 1 . In a group of 257 patients followed more than 10 years, recurrence has been reported in up to 47% of patients, although reintervention was necessary in only 15% 17 . Among our patients, half (5.1%) of those presenting symptoms required a subsequent reoperation, with no different rates between the two groups. When we add all reoperations due to complications and recurrences (total 16 cases, 8.2%), both SHG (6; 6.3%) and CSG (10; 7.6%) seemed to provide similar outcomes in this setting. If we think that a combined surgery was offered to patients probably presenting a more advanced disease (exhibiting external thrombosis, skin tags, or refractory prolapse even after firing the stapler), we should expect higher rates of recurrence and reoperations among this specific group. Fortunately, we were probably capable of preventing this unfortunate evolution by adding an additional resection to the mucosectomy with stapling. Certainly, such a heterogeneous disease should not receive a standardized management for all cases. Previous reports have already suggested that, in selected cases, different strategies could be employed in the presence of inelastic internal piles, external disease, or skin tag not tolerated by the patient 4,6,7,14 . Consequently, a more effective disease control may be accomplished by performing additional or combined procedures, even if they cause pain. The present study raises the importance of complementing SH by adding procedures such as limited resections of internal and external thrombosed hemorrhoids or skin tags, aiming to improve long-term outcomes. As expected, grade III patients manifested recurrence of symptoms more frequently than grade II (Table 3), even though with similar index of reoperations. Among our 196 patients, grade IV patients were more commonly managed with simultaneous stapling and resection (63% vs. 49.5%). As summarized in Table 3, none of those classified as grade IV presented symptoms recurrence nor they need reoperation due to recurrence (Table 4). p=0.56 Kruskal-Wallis test; SHG: stapled hemorrhoidopexy group; CSG: combined surgery group. In the literature, greater recurrence rates and persistence of HD currently observed after treating grade IV patients may suggest that the device could be insufficient to adequately resect a great extension (or volume) of internal prolapse 7 . Our results in this group of patients suggest that the association of two procedures in the same patient may provide a more effective disease control. A total of 73% of the questionnaires were sent back, allowing us to verify a high score of patients’ satisfaction (8.6), meaning they were very happy with treatment. In Table 5, similar impressions reported by others are presented. Based on the concept that internal rectal prolapse participates in the disease process, the current experience allows us to consider SH as a major innovative and revolutionary advance in HD treatment. Similarly, dearterialization technical options (Doppler and non-Doppler-guided, tailored mucosectomy) also deal with the same problem. These interesting alternatives should deserve correct indication and proper technical execution by experienced surgeons aware of technical details and potential morbidity. Currently, comparison of these two techniques still leads to different conclusions. In a recent comparative study 9 , early and late results of SH (50) and HD (100) for grades III and IV after 2 years of follow-up showed greater recurrence rates (16% vs. 4%), pain scores, operative length, and recovery period for HD. These results turn general adoption of dearterialization a difficult task 3,15 . A meta-analysis that reviewed six randomized trials comparing 274 SH and 280 HD demonstrated greater recurrence rates (13.2% vs. 6.9%) for HD, whereas complications (17.1% vs. 23.3%) and patients’ satisfaction were similar in both groups 7 . CONCLUSION: The comparative results observed in the present study suggest that improved outcomes after SH may be achieved when indications criteria include those diagnosed with larger piles, external thrombosis, and skin tags, by performing additional limited resection. Thus, a tailored approach to HD seems to be an effective alternative aiming to decrease relapse in cases suffering from more advanced disease, even though the combination of techniques demonstrated to be associated with greater pain in this group (1.7 vs. 0.8). Moreover, although we do not have comparative results to analyze, the technical modification characterized by the presence of two opposite traction points in the submucosal circumferential suture seems to lead a greater mucosectomy. This optimized mucosectomy probably contributed to the excellent long-term results we have observed among our patients.
Background: Since its introduction, stapled hemorrhoidopexy has been increasingly indicated in the management of hemorrhoidal disease. Methods: We retrospectively reviewed 196 patients (103 males and 93 females) with a median age of 47.9 years (range, 17-78) who were undergoing stapled hemorrhoidopexy alone (STG; n=65) or combined surgery (CSG; n=131, stapled hemorrhoidopexy associated with resection). Results: Complications were detected in 11 (5.6%) patients (4.6% for STG vs. 6.1% for CSG; p=0.95). At the same time, symptoms recurrence (13.8% vs. 8.4%; p=034), reoperation rate for complications (3.1% vs. 3.0%; p=1.0), and reoperation rate for recurrence (6.1% vs. 4.6%; p=1.0) were not different among groups. Grade IV patients were more commonly managed with simultaneous stapling and resection (63% vs. 49.5%), but none of them presented symptoms recurrence nor need reoperation due to recurrence. Median pain score during the first week was higher in CSG patients (0.8 vs. 1.7). After a follow-up of 24.9 months, satisfaction scores were similar (8.6; p=0.8). Conclusions: Recurrent symptoms were observed in 10% of patients, requiring surgery in approximately half of them. Even though the association of techniques may raise pain scores, a tailored approach based on amplified indication criteria and combined techniques seems to be an effective and safe alternative, with decreased relapse rates in patients suffering from more advanced hemorrhoidal disease. Satisfaction scores after hemorrhoidopexy are high.
INTRODUCTION: Hemorrhoidal disease (HD) is an extremely frequent anorectal condition in adults, with estimates around 4.4% of the population and peak incidence from 45 to 65 years of age. Physiopathology includes vascular alterations (capillary shunts), inflammation (chronic irritation), mechanical (chronic constipation, frequent bowel motion, obesity, supine position, pregnancy, physical exercises), degenerative (connective and muscular support tissue destruction), and hormonal (pregnancy) factors 16 . Prevalence of symptoms is greater with age and among women. Episodes of thrombosis lead to pain, local discomfort, and skin tags formation, mainly in supine position, when seating, or after defecation. Gradually, an external thrombosed and edematous blue pile covered by anoderm may ulcerate and bleed. In other patients, internal pinkish piles may prolapse from the anal verge and cause bleeding and irritation. Although an initial conservative treatment (fiber supplementation, warm water baths, suppositories, and creams) may attenuate symptoms, a proportion of patients will require other forms of treatment 11 . The opportunity to choose the best treatment depends on personal experience, clinical presentation, and patient features. While grades I and II patients may be managed with conservative measures (such as rubber band ligation), more advanced disease will probably need surgical treatment (by excisional and nonexcisional techniques). Classical hemorrhoidectomy techniques are still considered the “state of the art” for HD management. Recent data showed that the closed technique (Ferguson's) is superior to the open hemorrhoidectomy operation (Milligan-Morgan) in terms of reducing postoperative bleeding or severe pain. Ferguson's technique was also proven to be associated with faster wound healing 2 . However, the associated pain and slow recovery after excisional surgery led to the development of innovative nonexcisional procedures such as stapled hemorrhoidopexy (SH) and Doppler-guided hemorrhoidal dearterialization with mucopexy (DG-HAL) for grades III and IV patients 11 . The concept of SH (also called stapled hemorrhoidectomy or mechanical anopexy) was introduced by Longo in 1998 12 as an alternative for conventional techniques, shifting our attention to the rectal wall above the prolapsed hemorrhoids. The use of circular stapler allows to excise a circumferential strip of mucosa that reduces prolapse degree and pulls the hemorrhoidal cushions to their original anatomical position. Thus, the mucosectomy aims to obtain prolapse correction (rectopexy), reduce submucosal vascular supply to hemorrhoidal plexus, and preserve the anoderm. In conjunction, these modifications may control symptoms and restore anal canal function and anatomy. Besides its advantages, higher recurrence rates and severe complications related to the stapling have been reported 8,10,13 . Throughout time, improvement of devices, close adhesion to technical details, and progressive experience have played a key role to achieve better outcomes. Within this context, the aim of this study was to present technical modifications and change of concepts we have developed overtime in this operative technique and to analyze postoperative outcomes after a tailored management according to clinical presentation. CONCLUSION: The comparative results observed in the present study suggest that improved outcomes after SH may be achieved when indications criteria include those diagnosed with larger piles, external thrombosis, and skin tags, by performing additional limited resection. Thus, a tailored approach to HD seems to be an effective alternative aiming to decrease relapse in cases suffering from more advanced disease, even though the combination of techniques demonstrated to be associated with greater pain in this group (1.7 vs. 0.8). Moreover, although we do not have comparative results to analyze, the technical modification characterized by the presence of two opposite traction points in the submucosal circumferential suture seems to lead a greater mucosectomy. This optimized mucosectomy probably contributed to the excellent long-term results we have observed among our patients.
Background: Since its introduction, stapled hemorrhoidopexy has been increasingly indicated in the management of hemorrhoidal disease. Methods: We retrospectively reviewed 196 patients (103 males and 93 females) with a median age of 47.9 years (range, 17-78) who were undergoing stapled hemorrhoidopexy alone (STG; n=65) or combined surgery (CSG; n=131, stapled hemorrhoidopexy associated with resection). Results: Complications were detected in 11 (5.6%) patients (4.6% for STG vs. 6.1% for CSG; p=0.95). At the same time, symptoms recurrence (13.8% vs. 8.4%; p=034), reoperation rate for complications (3.1% vs. 3.0%; p=1.0), and reoperation rate for recurrence (6.1% vs. 4.6%; p=1.0) were not different among groups. Grade IV patients were more commonly managed with simultaneous stapling and resection (63% vs. 49.5%), but none of them presented symptoms recurrence nor need reoperation due to recurrence. Median pain score during the first week was higher in CSG patients (0.8 vs. 1.7). After a follow-up of 24.9 months, satisfaction scores were similar (8.6; p=0.8). Conclusions: Recurrent symptoms were observed in 10% of patients, requiring surgery in approximately half of them. Even though the association of techniques may raise pain scores, a tailored approach based on amplified indication criteria and combined techniques seems to be an effective and safe alternative, with decreased relapse rates in patients suffering from more advanced hemorrhoidal disease. Satisfaction scores after hemorrhoidopexy are high.
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[ 290 ]
6
[ "patients", "suture", "sh", "pain", "symptoms", "recurrence", "hd", "prolapse", "disease", "line" ]
[ "hemorrhoidal disease", "hemorrhoids skin", "pinkish piles prolapse", "internal pinkish piles", "piles external thrombosis" ]
[CONTENT] Hemorrhoids | Hemorrhoidectomy | Recurrence | Rectal Prolapse | Treatment Failure | Hemorroidas | Hemorroidectomia | Recidiva | Prolapso Retal | Falha de Tratamento [SUMMARY]
[CONTENT] Hemorrhoids | Hemorrhoidectomy | Recurrence | Rectal Prolapse | Treatment Failure | Hemorroidas | Hemorroidectomia | Recidiva | Prolapso Retal | Falha de Tratamento [SUMMARY]
[CONTENT] Hemorrhoids | Hemorrhoidectomy | Recurrence | Rectal Prolapse | Treatment Failure | Hemorroidas | Hemorroidectomia | Recidiva | Prolapso Retal | Falha de Tratamento [SUMMARY]
[CONTENT] Hemorrhoids | Hemorrhoidectomy | Recurrence | Rectal Prolapse | Treatment Failure | Hemorroidas | Hemorroidectomia | Recidiva | Prolapso Retal | Falha de Tratamento [SUMMARY]
[CONTENT] Hemorrhoids | Hemorrhoidectomy | Recurrence | Rectal Prolapse | Treatment Failure | Hemorroidas | Hemorroidectomia | Recidiva | Prolapso Retal | Falha de Tratamento [SUMMARY]
[CONTENT] Hemorrhoids | Hemorrhoidectomy | Recurrence | Rectal Prolapse | Treatment Failure | Hemorroidas | Hemorroidectomia | Recidiva | Prolapso Retal | Falha de Tratamento [SUMMARY]
[CONTENT] Female | Male | Humans | Adolescent | Young Adult | Adult | Middle Aged | Aged | Hemorrhoids | Retrospective Studies | Reoperation | Pain [SUMMARY]
[CONTENT] Female | Male | Humans | Adolescent | Young Adult | Adult | Middle Aged | Aged | Hemorrhoids | Retrospective Studies | Reoperation | Pain [SUMMARY]
[CONTENT] Female | Male | Humans | Adolescent | Young Adult | Adult | Middle Aged | Aged | Hemorrhoids | Retrospective Studies | Reoperation | Pain [SUMMARY]
[CONTENT] Female | Male | Humans | Adolescent | Young Adult | Adult | Middle Aged | Aged | Hemorrhoids | Retrospective Studies | Reoperation | Pain [SUMMARY]
[CONTENT] Female | Male | Humans | Adolescent | Young Adult | Adult | Middle Aged | Aged | Hemorrhoids | Retrospective Studies | Reoperation | Pain [SUMMARY]
[CONTENT] Female | Male | Humans | Adolescent | Young Adult | Adult | Middle Aged | Aged | Hemorrhoids | Retrospective Studies | Reoperation | Pain [SUMMARY]
[CONTENT] hemorrhoidal disease | hemorrhoids skin | pinkish piles prolapse | internal pinkish piles | piles external thrombosis [SUMMARY]
[CONTENT] hemorrhoidal disease | hemorrhoids skin | pinkish piles prolapse | internal pinkish piles | piles external thrombosis [SUMMARY]
[CONTENT] hemorrhoidal disease | hemorrhoids skin | pinkish piles prolapse | internal pinkish piles | piles external thrombosis [SUMMARY]
[CONTENT] hemorrhoidal disease | hemorrhoids skin | pinkish piles prolapse | internal pinkish piles | piles external thrombosis [SUMMARY]
[CONTENT] hemorrhoidal disease | hemorrhoids skin | pinkish piles prolapse | internal pinkish piles | piles external thrombosis [SUMMARY]
[CONTENT] hemorrhoidal disease | hemorrhoids skin | pinkish piles prolapse | internal pinkish piles | piles external thrombosis [SUMMARY]
[CONTENT] patients | suture | sh | pain | symptoms | recurrence | hd | prolapse | disease | line [SUMMARY]
[CONTENT] patients | suture | sh | pain | symptoms | recurrence | hd | prolapse | disease | line [SUMMARY]
[CONTENT] patients | suture | sh | pain | symptoms | recurrence | hd | prolapse | disease | line [SUMMARY]
[CONTENT] patients | suture | sh | pain | symptoms | recurrence | hd | prolapse | disease | line [SUMMARY]
[CONTENT] patients | suture | sh | pain | symptoms | recurrence | hd | prolapse | disease | line [SUMMARY]
[CONTENT] patients | suture | sh | pain | symptoms | recurrence | hd | prolapse | disease | line [SUMMARY]
[CONTENT] hemorrhoidal | treatment | hemorrhoidectomy | position | technique | techniques | supine | clinical presentation | conservative | modifications [SUMMARY]
[CONTENT] suture | clock | position | line | test | stapler | retrieved | staple | left | end [SUMMARY]
[CONTENT] patients | shg | csg | stage | 10 | mechanical | anopexy | mechanical anopexy | 44 | sh [SUMMARY]
[CONTENT] results | results observed | observed | comparative results | greater | comparative | mucosectomy | mucosectomy probably contributed | thrombosis skin tags performing | mucosectomy probably [SUMMARY]
[CONTENT] patients | suture | clock | csg | shg | line | position | sh | pain | prolapse [SUMMARY]
[CONTENT] patients | suture | clock | csg | shg | line | position | sh | pain | prolapse [SUMMARY]
[CONTENT] [SUMMARY]
[CONTENT] 196 | 103 | 93 | 47.9 years | 17 | STG | n=65 | CSG [SUMMARY]
[CONTENT] 11 | 5.6% | 4.6% | STG | 6.1% | CSG ||| 13.8% | 8.4% | 3.1% | 3.0% | 6.1% | 4.6% ||| 63% | 49.5% ||| the first week | CSG | 0.8 | 1.7 ||| 24.9 months | 8.6; p=0.8 [SUMMARY]
[CONTENT] 10% | approximately half ||| ||| [SUMMARY]
[CONTENT] ||| 196 | 103 | 93 | 47.9 years | 17 | STG | n=65 | CSG ||| ||| 11 | 5.6% | 4.6% | STG | 6.1% | CSG ||| 13.8% | 8.4% | 3.1% | 3.0% | 6.1% | 4.6% ||| 63% | 49.5% ||| the first week | CSG | 0.8 | 1.7 ||| 24.9 months | 8.6; p=0.8 ||| 10% | approximately half ||| ||| [SUMMARY]
[CONTENT] ||| 196 | 103 | 93 | 47.9 years | 17 | STG | n=65 | CSG ||| ||| 11 | 5.6% | 4.6% | STG | 6.1% | CSG ||| 13.8% | 8.4% | 3.1% | 3.0% | 6.1% | 4.6% ||| 63% | 49.5% ||| the first week | CSG | 0.8 | 1.7 ||| 24.9 months | 8.6; p=0.8 ||| 10% | approximately half ||| ||| [SUMMARY]
MRI-based assessment of the pineal gland in a large population of children aged 0-5 years and comparison with pineoblastoma: part II, the cystic gland.
27130617
Pineal cysts are a common incidental finding on brain MRI with resulting difficulties in differentiation between normal glands and pineal pathologies. The aim of this study was to assess the size and morphology of the cystic pineal gland in children (0-5 years) and compare the findings with published pineoblastoma cases.
INTRODUCTION
In this retrospective multicenter study, 257 MR examinations (232 children, 0-5 years) were evaluated regarding pineal gland size (width, height, planimetric area, maximal cyst(s) size) and morphology. We performed linear regression analysis with 99 % prediction intervals of gland size versus age for the size parameters. Results were compared with a recent meta-analysis of pineoblastoma by de Jong et al.
METHODS
Follow-up was available in 25 children showing stable cystic findings in 48 %, cyst size increase in 36 %, and decrease in 16 %. Linear regression analysis gave 99 % upper prediction bounds of 10.8 mm, 10.9 mm, 7.7 mm and 66.9 mm(2), respectively, for cyst size, width, height, and area. The slopes (size increase per month) of each parameter were 0.030, 0.046, 0.021, and 0.25, respectively. Most of the pineoblastomas showed a size larger than the 99 % upper prediction margin, but with considerable overlap between the groups.
RESULTS
We presented age-adapted normal values for size and morphology of the cystic pineal gland in children aged 0 to 5 years. Analysis of size is helpful in discriminating normal glands from cystic pineal pathologies such as pineoblastoma. We also presented guidelines for the approach of a solid or cystic pineal gland in hereditary retinoblastoma patients.
CONCLUSION
[ "Brain Neoplasms", "Central Nervous System Cysts", "Child, Preschool", "Diagnosis, Differential", "Europe", "Female", "Humans", "Infant", "Infant, Newborn", "Magnetic Resonance Imaging", "Male", "Pineal Gland", "Pinealoma", "Reference Values", "Reproducibility of Results", "Retrospective Studies", "Sensitivity and Specificity" ]
4958131
Introduction
Pineoblastoma presents in about 3–4 % of children with hereditary retinoblastoma typically within the first 5 years of age [1, 2]; the combination of hereditary retinoblastoma and pineoblastoma is also referred to as trilateral retinoblastoma. The differentiation between cystic variants of pineoblastoma and pineal cysts, which have been reported to appear similar on MRI [3–5], is of high clinical importance, because survival has been reported to be much better in asymptomatic patients with small tumors [1]. Asymptomatic patients showed a 5-year survival of 50 % whereas of patients with symptomatic disease, only 4 % survived [1], emphasizing the importance of early detection. Additionally, it has recently be shown that abnormal growth of the pineal gland might be the most alerting sign for pineoblastoma and that the size of the pineal gland is comparable between retinoblastoma patients without pineoblastoma and age-matched controls [6]. Therefore, normal values of the size of cystic pineal glands in non-retinoblastoma patients in this age group are expected to be helpful in this differentiation. Several aspects have to be considered in the size evaluation of the pineal gland in children. Due to the high incidence [7, 8], pineal cysts are usually rated as normal variant [9], although they might sometimes be symptomatic requiring treatment [10]. Compared to solid (non-cystic) pineal glands, a higher interindividual variability has been postulated for the size of the pineal gland in the presence of pineal cysts [8]. Additionally, several studies showed that the size of the pineal gland is age-dependent especially in the first years of age [7, 8, 11]. Al-Holou et al. showed that younger age was associated with cyst change or growth [12], which might also result in higher intraindividual and interindividual variability. These aspects reflect the problematic rating of the size of the cystic pineal gland as normal or enlarged that the radiologist and clinicians are faced with especially in young children in the first years of age. The aims of this retrospective study were (1) to establish normal values for the size of the cystic pineal gland in children 0–5 years in a large patient group, (2) to evaluate the normal morphology of the cystic pineal gland, (3) to assess the development of the cystic pineal gland in those children that received a follow-up, and (4) to compare the results with the results of a large collective of children with pineoblastoma. The solid pineal gland was analyzed in part I of this study. Finally, we present a flowchart for follow-up of pineal glands in retinoblastoma patients.
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Results
Size of the cystic pineal gland and the pineal cyst(s) The measurements of pineal width, height, and cyst size showed ICCs of 0.995 (95 % confidence interval [CI] 0.989–0.998), 0.996 (95 % CI 0.992–0.998), and 0.998 (95 % CI 0.996–0.999), respectively. Figure 2 shows the distribution of male and female cases for each age category (52.2 % male, 47.8 % female). The Kolmogorov-Smirnov test did not reject the null hypothesis that the variable age of female and male subsamples came from the same continuous distribution (p = 0.37). The χ2 test did not show a statistically significant interaction between age and gender; therefore, we assumed that the age distribution did not relate to gender (p = 0.53). Levene’s test showed that the homoscedasticity assumption (homogeneity of variance) was met by all gland size variables (area had to be log transformed) across the age intervals by gender (Appendix A). The two-way ANOVA showed that age significantly predicted the size variables (width, height, area, and cyst size), whereas gender did not predict gland size. None of the interaction terms were statistically significant for gland size, but the interaction term age*gender was statistically significant for cyst size (Appendix A). Post hoc analysis suggests that especially in the first year of age, the size parameters increased substantially; all size parameters were significantly lower than in the other age categories (Appendix B).Fig. 2Frequency distribution of cases across the size categories by gender Frequency distribution of cases across the size categories by gender Figure 3 shows the linear regression analysis of pineal width, height, area, and cyst size, with each having a 99 % prediction interval. The upper (and lower) 99 % prediction intervals approach linearity and therefore share the slope with the regression line (Table 2). Because the interaction term age*gender was statistically significant for cyst size, we also plotted the separate regression lines for male and female (Fig. 3d); even though the regression lines of male and female patients indeed deviate, the differences are not large and based on visual assessment differentiation by gender is not necessary, and the summary regression line and 99 % prediction interval can be used in our view. The data suggests a rapid size increase in the first year(s) of age and a decrease towards the fourth and fifth year of age, which might be better described by a quadratic function (Appendix C). We therefore also plotted quadratic regression line with 99 % prediction interval for each size variable (Appendix D). Appendix E shows the results from quadratic regression of all size variables. The values of the adjusted R2 of the regression analysis showed a better fit for all size parameters in quadratic regression compared to linear regression (Table 2 and Appendix E).Fig. 3Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d)Table 2Results of linear regression analysis: cystic pineal gland size versus ageRelationshipMean intercept (mm)Upper bound (mm)a Slope (mm/month) p valueAdjusted R 2  Cyst sizeb vs. age3,810.80.0300.00250.035 Width vs. age5.710.90.046<0.00010.137 Height vs. age4.07.70.0210.00010.058RelationshipMean intercept (mm2)Upper bound (mm2)a Slope (mm2/month) p valueAdjusted R 2  Area vs. age19.666.90.250.00020.053 aThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used bMaximum diameter of the cyst(s) within the pineal gland Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d) Results of linear regression analysis: cystic pineal gland size versus age aThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used bMaximum diameter of the cyst(s) within the pineal gland The measurements of pineal width, height, and cyst size showed ICCs of 0.995 (95 % confidence interval [CI] 0.989–0.998), 0.996 (95 % CI 0.992–0.998), and 0.998 (95 % CI 0.996–0.999), respectively. Figure 2 shows the distribution of male and female cases for each age category (52.2 % male, 47.8 % female). The Kolmogorov-Smirnov test did not reject the null hypothesis that the variable age of female and male subsamples came from the same continuous distribution (p = 0.37). The χ2 test did not show a statistically significant interaction between age and gender; therefore, we assumed that the age distribution did not relate to gender (p = 0.53). Levene’s test showed that the homoscedasticity assumption (homogeneity of variance) was met by all gland size variables (area had to be log transformed) across the age intervals by gender (Appendix A). The two-way ANOVA showed that age significantly predicted the size variables (width, height, area, and cyst size), whereas gender did not predict gland size. None of the interaction terms were statistically significant for gland size, but the interaction term age*gender was statistically significant for cyst size (Appendix A). Post hoc analysis suggests that especially in the first year of age, the size parameters increased substantially; all size parameters were significantly lower than in the other age categories (Appendix B).Fig. 2Frequency distribution of cases across the size categories by gender Frequency distribution of cases across the size categories by gender Figure 3 shows the linear regression analysis of pineal width, height, area, and cyst size, with each having a 99 % prediction interval. The upper (and lower) 99 % prediction intervals approach linearity and therefore share the slope with the regression line (Table 2). Because the interaction term age*gender was statistically significant for cyst size, we also plotted the separate regression lines for male and female (Fig. 3d); even though the regression lines of male and female patients indeed deviate, the differences are not large and based on visual assessment differentiation by gender is not necessary, and the summary regression line and 99 % prediction interval can be used in our view. The data suggests a rapid size increase in the first year(s) of age and a decrease towards the fourth and fifth year of age, which might be better described by a quadratic function (Appendix C). We therefore also plotted quadratic regression line with 99 % prediction interval for each size variable (Appendix D). Appendix E shows the results from quadratic regression of all size variables. The values of the adjusted R2 of the regression analysis showed a better fit for all size parameters in quadratic regression compared to linear regression (Table 2 and Appendix E).Fig. 3Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d)Table 2Results of linear regression analysis: cystic pineal gland size versus ageRelationshipMean intercept (mm)Upper bound (mm)a Slope (mm/month) p valueAdjusted R 2  Cyst sizeb vs. age3,810.80.0300.00250.035 Width vs. age5.710.90.046<0.00010.137 Height vs. age4.07.70.0210.00010.058RelationshipMean intercept (mm2)Upper bound (mm2)a Slope (mm2/month) p valueAdjusted R 2  Area vs. age19.666.90.250.00020.053 aThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used bMaximum diameter of the cyst(s) within the pineal gland Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d) Results of linear regression analysis: cystic pineal gland size versus age aThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used bMaximum diameter of the cyst(s) within the pineal gland Morphology of the cystic pineal gland and classification Of the 232 patients, 45.3 % showed a singular cyst (mean size 3.0 mm (SD 2.1, range 0.7–11.2 mm)) and 54.7 % a multicystic pineal gland (mean size of the cystic part 5.9 mm (SD 2.4, range 2.0–16.1 mm)). The classification of the cystic pineal glands according to the classification system is shown in Table 3; examples are shown in Fig. 4. Appendix F shows the mean gland areas of male and female cases for each cyst classification. Pineal glands with cysts of the fourth class were considerably larger than the glands in the other three categories (p < 0.0001, Mann-Whitney U test; appendix F).Table 3Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basisTypeSuffixTotal (100 %)abc1103 (88.0 %)12 (10.3 %)2 (1.7 %)117223 (63.9 %)13 (36.1 %)0 (0.0 %)36329 (48.3 %)31 (51.7 %)0 (0.0 %)60411 (25.0 %)22 (50.0 %)11 (25.0 %)44Total166 (64.6 %)78 (30.4 %)13 (5.1 %)257Fig. 4Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basis Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c Of the 232 patients, 45.3 % showed a singular cyst (mean size 3.0 mm (SD 2.1, range 0.7–11.2 mm)) and 54.7 % a multicystic pineal gland (mean size of the cystic part 5.9 mm (SD 2.4, range 2.0–16.1 mm)). The classification of the cystic pineal glands according to the classification system is shown in Table 3; examples are shown in Fig. 4. Appendix F shows the mean gland areas of male and female cases for each cyst classification. Pineal glands with cysts of the fourth class were considerably larger than the glands in the other three categories (p < 0.0001, Mann-Whitney U test; appendix F).Table 3Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basisTypeSuffixTotal (100 %)abc1103 (88.0 %)12 (10.3 %)2 (1.7 %)117223 (63.9 %)13 (36.1 %)0 (0.0 %)36329 (48.3 %)31 (51.7 %)0 (0.0 %)60411 (25.0 %)22 (50.0 %)11 (25.0 %)44Total166 (64.6 %)78 (30.4 %)13 (5.1 %)257Fig. 4Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basis Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c Follow-up Of the 25 children with available follow-up imaging (median 12 months, range 3 to 49 months, 11 males, 14 females), 48 % showed a singular pineal gland cyst and 52 % a multicystic pineal gland. Stable cystic findings were found in 48 %, cyst size increase in 36 % and decrease in 16 % (Fig. 5). Eighty-three percent (5/6) of the children with follow-up examinations performed within 6 months showed a stable finding (Table 4).In 2 children (17 %), the follow-up exam showed a development of the initial singular cyst to a multicystic pineal gland (Fig. 5). At both time points, all 25 children showed size parameters (width, height, area, and cyst size) that remained below the upper 99 % prediction bound.Fig. 5Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 monthsTable 4Pineal gland size changes over timeTime between examinationsEvaluation of the pineal gland size over timeTotalStableIncreaseDecrease<6 months5 (83 %)1 (17 %)0 (0 %)6 (24 %)6–12 months3 (50 %)1 (17 %)2 (33 %)6 (24 %)12–24 months2 (40 %)1 (20 %)2(40 %)5 (20 %)24–36 months1 (20 %)4 (80 %)0 (0 %)5 (20 %)36–48 months0 (0 %)2 (100 %)0 (0 %)2 (8 %)48–60 months1 (100 %)0 (0 %)0 (0 %)1 (4 %)Total12 (48 %)9 (36 %)4 (16 %)25 (100 %) Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 months Pineal gland size changes over time Of the 25 children with available follow-up imaging (median 12 months, range 3 to 49 months, 11 males, 14 females), 48 % showed a singular pineal gland cyst and 52 % a multicystic pineal gland. Stable cystic findings were found in 48 %, cyst size increase in 36 % and decrease in 16 % (Fig. 5). Eighty-three percent (5/6) of the children with follow-up examinations performed within 6 months showed a stable finding (Table 4).In 2 children (17 %), the follow-up exam showed a development of the initial singular cyst to a multicystic pineal gland (Fig. 5). At both time points, all 25 children showed size parameters (width, height, area, and cyst size) that remained below the upper 99 % prediction bound.Fig. 5Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 monthsTable 4Pineal gland size changes over timeTime between examinationsEvaluation of the pineal gland size over timeTotalStableIncreaseDecrease<6 months5 (83 %)1 (17 %)0 (0 %)6 (24 %)6–12 months3 (50 %)1 (17 %)2 (33 %)6 (24 %)12–24 months2 (40 %)1 (20 %)2(40 %)5 (20 %)24–36 months1 (20 %)4 (80 %)0 (0 %)5 (20 %)36–48 months0 (0 %)2 (100 %)0 (0 %)2 (8 %)48–60 months1 (100 %)0 (0 %)0 (0 %)1 (4 %)Total12 (48 %)9 (36 %)4 (16 %)25 (100 %) Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 months Pineal gland size changes over time Comparison with pineoblastoma In Fig. 6, we compared the width of the normal cystic glands with the regression line with 99 % prediction interval with the maximum diameter of several pineoblastomas from which we were able to collect data. A considerable number of pineoblastomas overlapped in terms of size with the sizes of normal cystic pineal glands. Especially of interest are the cystic (n = 2), partly cystic (n = 1), and maybe those of unknown type (n = 6) in asymptomatic pineoblastomas (Fig. 6a). Three cystic and one partly cystic pineoblastoma had a larger maximum diameter than the 99 % upper prediction margin (Fig. 6a). In Fig. 7, we present our guidelines (flowchart) for the follow-up of the cystic and solid (see part I) pineal gland in children with retinoblastoma.Fig. 6Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mmFig. 7Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mm Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate In Fig. 6, we compared the width of the normal cystic glands with the regression line with 99 % prediction interval with the maximum diameter of several pineoblastomas from which we were able to collect data. A considerable number of pineoblastomas overlapped in terms of size with the sizes of normal cystic pineal glands. Especially of interest are the cystic (n = 2), partly cystic (n = 1), and maybe those of unknown type (n = 6) in asymptomatic pineoblastomas (Fig. 6a). Three cystic and one partly cystic pineoblastoma had a larger maximum diameter than the 99 % upper prediction margin (Fig. 6a). In Fig. 7, we present our guidelines (flowchart) for the follow-up of the cystic and solid (see part I) pineal gland in children with retinoblastoma.Fig. 6Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mmFig. 7Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mm Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate
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[ "Patients", "MR imaging", "MR data analysis", "Statistical analysis and comparison with pineoblastoma", "Size of the cystic pineal gland and the pineal cyst(s)", "Morphology of the cystic pineal gland and classification", "Follow-up", "Comparison with pineoblastoma", "" ]
[ "This retrospective study included patients from four European neuroimaging or radiology departments of university hospitals in Amsterdam, Essen, Lausanne, and Siena. Inclusion criteria for this retrospective study were (1) the acquisition of sagittal T2-weighted sequences of the pineal gland with a slice thickness of not more than 2 mm in patients without any known or visible pineal pathology and (2) an age 0–5 years at time of the MRI. Exclusion criteria were the diagnosis of retinoblastoma, known endocrinologic or neurological disorders (possibly) affecting or related to the pineal gland, pineal pathologies or distortion of the pineal gland from adjacent pathologies, ongoing radiation therapy or chemotherapy, and relevant MR artifacts at the level of the pineal gland.\nGlands with a cystic part were present in a total of 257 examinations of 232 patients (55.8 % of all included patients, n = 216 examinations of 191 patients from Essen, n = 25 examinations of 25 patients from Siena, n = 11 examinations of 11 patients from Amsterdam, and n = 5 examinations of 5 patients from Lausanne). These patients are evaluated in this study; the solid pineal glands (184/416 patients, 44.2 %) were assessed separately, see part I of this article. Indications for imaging were not related with pineal gland alterations; MRI was mainly performed in children with developmental retardation, brain malformation, seizures, trauma, prematurity, neonatal asphyxia, infectious disease, hydrocephalus, and pathologies in other parts of the brain. Mean age at the time of the first MR examination was 23.3 months (SD 17.1, range 0–60 months).", "Due to the multicenter setting of this study, the examinations were performed on different 1.5 and 3.0 Tesla MR systems (Magnetom Avanto, Aera, Symphony or Skyra, Siemens Healthcare, Erlangen, Germany) and different T2-weighted sequences were used. We only included MR examinations if the sagittal T2-weighted sequences had a slice thickness of no more than 2 mm to minimize partial volume effects. The slice thickness of the included patients varied between 0.6 and 2 mm.", "The datasets were anonymized prior to analysis. All pineal glands were assessed by four senior neuroradiologists (S.L.G., P.d.G., P.G., and P.M.) with 12, 12, 17, and 26 years of experience, retrospectively. The largest anteroposterior (width) and craniocaudal (height) diameters of each pineal gland were reported on the sagittal T2-weighted sequences (as shown in Fig. 1), and the planimetric area (A) was calculated according to the formula A = (width/2) ⨯ (height/2) ⨯ π. Additionally, the maximum diameter of the pineal cyst or the cystic part of the pineal gland (in patients with multicystic pineal gland) was measured. Additionally, the morphology of the pineal gland was classified according to a newly proposed classification system for pineal glands (type 0 to 4) shown in Table 1, which was generated and approved by all involved radiologists in consensus. A suffix was added for type 1 to 4 considering the size of the cyst(s) (a ≤5 mm, b 6–9 mm, and c ≥10 mm).Fig. 1The largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted imageTable 1Classification system for the (cystic) pineal glandTypeDefinition0No cyst1Singular cyst2Multicystic pineal gland (without enlargement)3Multicystic pineal gland (enlargement without shift of the margin)4Multicystic pineal gland (enlargement and shift of the margin)\nThe largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted image\nClassification system for the (cystic) pineal gland", "The statistical analysis is similar to part I of this article, except, thanks to a more even distribution of cases across the age interval, created five age categories of 1 year in this part. The clinical usefulness of the age-dependent prediction intervals were compared with pineoblastomas from the meta-analysis by De Jong and colleagues ([1], see part I for more details). The results from parts I and II of this article are combined in a flow chart. During a consensus meeting of the European Retinoblastoma Imaging Collaboration (ERIC), these guidelines were constructed.", "The measurements of pineal width, height, and cyst size showed ICCs of 0.995 (95 % confidence interval [CI] 0.989–0.998), 0.996 (95 % CI 0.992–0.998), and 0.998 (95 % CI 0.996–0.999), respectively.\nFigure 2 shows the distribution of male and female cases for each age category (52.2 % male, 47.8 % female). The Kolmogorov-Smirnov test did not reject the null hypothesis that the variable age of female and male subsamples came from the same continuous distribution (p = 0.37). The χ2 test did not show a statistically significant interaction between age and gender; therefore, we assumed that the age distribution did not relate to gender (p = 0.53). Levene’s test showed that the homoscedasticity assumption (homogeneity of variance) was met by all gland size variables (area had to be log transformed) across the age intervals by gender (Appendix A). The two-way ANOVA showed that age significantly predicted the size variables (width, height, area, and cyst size), whereas gender did not predict gland size. None of the interaction terms were statistically significant for gland size, but the interaction term age*gender was statistically significant for cyst size (Appendix A). Post hoc analysis suggests that especially in the first year of age, the size parameters increased substantially; all size parameters were significantly lower than in the other age categories (Appendix B).Fig. 2Frequency distribution of cases across the size categories by gender\nFrequency distribution of cases across the size categories by gender\nFigure 3 shows the linear regression analysis of pineal width, height, area, and cyst size, with each having a 99 % prediction interval. The upper (and lower) 99 % prediction intervals approach linearity and therefore share the slope with the regression line (Table 2). Because the interaction term age*gender was statistically significant for cyst size, we also plotted the separate regression lines for male and female (Fig. 3d); even though the regression lines of male and female patients indeed deviate, the differences are not large and based on visual assessment differentiation by gender is not necessary, and the summary regression line and 99 % prediction interval can be used in our view. The data suggests a rapid size increase in the first year(s) of age and a decrease towards the fourth and fifth year of age, which might be better described by a quadratic function (Appendix C). We therefore also plotted quadratic regression line with 99 % prediction interval for each size variable (Appendix D). Appendix E shows the results from quadratic regression of all size variables. The values of the adjusted R2 of the regression analysis showed a better fit for all size parameters in quadratic regression compared to linear regression (Table 2 and Appendix E).Fig. 3Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d)Table 2Results of linear regression analysis: cystic pineal gland size versus ageRelationshipMean intercept (mm)Upper bound (mm)a\nSlope (mm/month)\np valueAdjusted R\n2\n Cyst sizeb vs. age3,810.80.0300.00250.035 Width vs. age5.710.90.046<0.00010.137 Height vs. age4.07.70.0210.00010.058RelationshipMean intercept (mm2)Upper bound (mm2)a\nSlope (mm2/month)\np valueAdjusted R\n2\n Area vs. age19.666.90.250.00020.053\naThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used\nbMaximum diameter of the cyst(s) within the pineal gland\nLinear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d)\nResults of linear regression analysis: cystic pineal gland size versus age\n\naThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used\n\nbMaximum diameter of the cyst(s) within the pineal gland", "Of the 232 patients, 45.3 % showed a singular cyst (mean size 3.0 mm (SD 2.1, range 0.7–11.2 mm)) and 54.7 % a multicystic pineal gland (mean size of the cystic part 5.9 mm (SD 2.4, range 2.0–16.1 mm)). The classification of the cystic pineal glands according to the classification system is shown in Table 3; examples are shown in Fig. 4. Appendix F shows the mean gland areas of male and female cases for each cyst classification. Pineal glands with cysts of the fourth class were considerably larger than the glands in the other three categories (p < 0.0001, Mann-Whitney U test; appendix F).Table 3Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basisTypeSuffixTotal (100 %)abc1103 (88.0 %)12 (10.3 %)2 (1.7 %)117223 (63.9 %)13 (36.1 %)0 (0.0 %)36329 (48.3 %)31 (51.7 %)0 (0.0 %)60411 (25.0 %)22 (50.0 %)11 (25.0 %)44Total166 (64.6 %)78 (30.4 %)13 (5.1 %)257Fig. 4Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c\nClassification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basis\nExamples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c", "Of the 25 children with available follow-up imaging (median 12 months, range 3 to 49 months, 11 males, 14 females), 48 % showed a singular pineal gland cyst and 52 % a multicystic pineal gland. Stable cystic findings were found in 48 %, cyst size increase in 36 % and decrease in 16 % (Fig. 5). Eighty-three percent (5/6) of the children with follow-up examinations performed within 6 months showed a stable finding (Table 4).In 2 children (17 %), the follow-up exam showed a development of the initial singular cyst to a multicystic pineal gland (Fig. 5). At both time points, all 25 children showed size parameters (width, height, area, and cyst size) that remained below the upper 99 % prediction bound.Fig. 5Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 monthsTable 4Pineal gland size changes over timeTime between examinationsEvaluation of the pineal gland size over timeTotalStableIncreaseDecrease<6 months5 (83 %)1 (17 %)0 (0 %)6 (24 %)6–12 months3 (50 %)1 (17 %)2 (33 %)6 (24 %)12–24 months2 (40 %)1 (20 %)2(40 %)5 (20 %)24–36 months1 (20 %)4 (80 %)0 (0 %)5 (20 %)36–48 months0 (0 %)2 (100 %)0 (0 %)2 (8 %)48–60 months1 (100 %)0 (0 %)0 (0 %)1 (4 %)Total12 (48 %)9 (36 %)4 (16 %)25 (100 %)\nFollow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 months\nPineal gland size changes over time", "In Fig. 6, we compared the width of the normal cystic glands with the regression line with 99 % prediction interval with the maximum diameter of several pineoblastomas from which we were able to collect data. A considerable number of pineoblastomas overlapped in terms of size with the sizes of normal cystic pineal glands. Especially of interest are the cystic (n = 2), partly cystic (n = 1), and maybe those of unknown type (n = 6) in asymptomatic pineoblastomas (Fig. 6a). Three cystic and one partly cystic pineoblastoma had a larger maximum diameter than the 99 % upper prediction margin (Fig. 6a). In Fig. 7, we present our guidelines (flowchart) for the follow-up of the cystic and solid (see part I) pineal gland in children with retinoblastoma.Fig. 6Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mmFig. 7Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate\nCystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mm\nConsensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate", "Below is the link to the electronic supplementary material.ESM 1(PDF 69 kb)ESM 2(PDF 49 kb)ESM 3(PDF 147 kb)ESM 4(PDF 399 kb)ESM 5(PDF 114 kb)\n(PDF 69 kb)\n(PDF 49 kb)\n(PDF 147 kb)\n(PDF 399 kb)\n(PDF 114 kb)" ]
[ null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Material and methods", "Patients", "MR imaging", "MR data analysis", "Statistical analysis and comparison with pineoblastoma", "Results", "Size of the cystic pineal gland and the pineal cyst(s)", "Morphology of the cystic pineal gland and classification", "Follow-up", "Comparison with pineoblastoma", "Discussion", "Electronic supplementary material", "" ]
[ "Pineoblastoma presents in about 3–4 % of children with hereditary retinoblastoma typically within the first 5 years of age [1, 2]; the combination of hereditary retinoblastoma and pineoblastoma is also referred to as trilateral retinoblastoma. The differentiation between cystic variants of pineoblastoma and pineal cysts, which have been reported to appear similar on MRI [3–5], is of high clinical importance, because survival has been reported to be much better in asymptomatic patients with small tumors [1]. Asymptomatic patients showed a 5-year survival of 50 % whereas of patients with symptomatic disease, only 4 % survived [1], emphasizing the importance of early detection. Additionally, it has recently be shown that abnormal growth of the pineal gland might be the most alerting sign for pineoblastoma and that the size of the pineal gland is comparable between retinoblastoma patients without pineoblastoma and age-matched controls [6]. Therefore, normal values of the size of cystic pineal glands in non-retinoblastoma patients in this age group are expected to be helpful in this differentiation.\nSeveral aspects have to be considered in the size evaluation of the pineal gland in children. Due to the high incidence [7, 8], pineal cysts are usually rated as normal variant [9], although they might sometimes be symptomatic requiring treatment [10]. Compared to solid (non-cystic) pineal glands, a higher interindividual variability has been postulated for the size of the pineal gland in the presence of pineal cysts [8]. Additionally, several studies showed that the size of the pineal gland is age-dependent especially in the first years of age [7, 8, 11]. Al-Holou et al. showed that younger age was associated with cyst change or growth [12], which might also result in higher intraindividual and interindividual variability. These aspects reflect the problematic rating of the size of the cystic pineal gland as normal or enlarged that the radiologist and clinicians are faced with especially in young children in the first years of age.\nThe aims of this retrospective study were (1) to establish normal values for the size of the cystic pineal gland in children 0–5 years in a large patient group, (2) to evaluate the normal morphology of the cystic pineal gland, (3) to assess the development of the cystic pineal gland in those children that received a follow-up, and (4) to compare the results with the results of a large collective of children with pineoblastoma. The solid pineal gland was analyzed in part I of this study. Finally, we present a flowchart for follow-up of pineal glands in retinoblastoma patients.", "The retrospective study was approved by the institutional review boards.\n Patients This retrospective study included patients from four European neuroimaging or radiology departments of university hospitals in Amsterdam, Essen, Lausanne, and Siena. Inclusion criteria for this retrospective study were (1) the acquisition of sagittal T2-weighted sequences of the pineal gland with a slice thickness of not more than 2 mm in patients without any known or visible pineal pathology and (2) an age 0–5 years at time of the MRI. Exclusion criteria were the diagnosis of retinoblastoma, known endocrinologic or neurological disorders (possibly) affecting or related to the pineal gland, pineal pathologies or distortion of the pineal gland from adjacent pathologies, ongoing radiation therapy or chemotherapy, and relevant MR artifacts at the level of the pineal gland.\nGlands with a cystic part were present in a total of 257 examinations of 232 patients (55.8 % of all included patients, n = 216 examinations of 191 patients from Essen, n = 25 examinations of 25 patients from Siena, n = 11 examinations of 11 patients from Amsterdam, and n = 5 examinations of 5 patients from Lausanne). These patients are evaluated in this study; the solid pineal glands (184/416 patients, 44.2 %) were assessed separately, see part I of this article. Indications for imaging were not related with pineal gland alterations; MRI was mainly performed in children with developmental retardation, brain malformation, seizures, trauma, prematurity, neonatal asphyxia, infectious disease, hydrocephalus, and pathologies in other parts of the brain. Mean age at the time of the first MR examination was 23.3 months (SD 17.1, range 0–60 months).\nThis retrospective study included patients from four European neuroimaging or radiology departments of university hospitals in Amsterdam, Essen, Lausanne, and Siena. Inclusion criteria for this retrospective study were (1) the acquisition of sagittal T2-weighted sequences of the pineal gland with a slice thickness of not more than 2 mm in patients without any known or visible pineal pathology and (2) an age 0–5 years at time of the MRI. Exclusion criteria were the diagnosis of retinoblastoma, known endocrinologic or neurological disorders (possibly) affecting or related to the pineal gland, pineal pathologies or distortion of the pineal gland from adjacent pathologies, ongoing radiation therapy or chemotherapy, and relevant MR artifacts at the level of the pineal gland.\nGlands with a cystic part were present in a total of 257 examinations of 232 patients (55.8 % of all included patients, n = 216 examinations of 191 patients from Essen, n = 25 examinations of 25 patients from Siena, n = 11 examinations of 11 patients from Amsterdam, and n = 5 examinations of 5 patients from Lausanne). These patients are evaluated in this study; the solid pineal glands (184/416 patients, 44.2 %) were assessed separately, see part I of this article. Indications for imaging were not related with pineal gland alterations; MRI was mainly performed in children with developmental retardation, brain malformation, seizures, trauma, prematurity, neonatal asphyxia, infectious disease, hydrocephalus, and pathologies in other parts of the brain. Mean age at the time of the first MR examination was 23.3 months (SD 17.1, range 0–60 months).\n MR imaging Due to the multicenter setting of this study, the examinations were performed on different 1.5 and 3.0 Tesla MR systems (Magnetom Avanto, Aera, Symphony or Skyra, Siemens Healthcare, Erlangen, Germany) and different T2-weighted sequences were used. We only included MR examinations if the sagittal T2-weighted sequences had a slice thickness of no more than 2 mm to minimize partial volume effects. The slice thickness of the included patients varied between 0.6 and 2 mm.\nDue to the multicenter setting of this study, the examinations were performed on different 1.5 and 3.0 Tesla MR systems (Magnetom Avanto, Aera, Symphony or Skyra, Siemens Healthcare, Erlangen, Germany) and different T2-weighted sequences were used. We only included MR examinations if the sagittal T2-weighted sequences had a slice thickness of no more than 2 mm to minimize partial volume effects. The slice thickness of the included patients varied between 0.6 and 2 mm.\n MR data analysis The datasets were anonymized prior to analysis. All pineal glands were assessed by four senior neuroradiologists (S.L.G., P.d.G., P.G., and P.M.) with 12, 12, 17, and 26 years of experience, retrospectively. The largest anteroposterior (width) and craniocaudal (height) diameters of each pineal gland were reported on the sagittal T2-weighted sequences (as shown in Fig. 1), and the planimetric area (A) was calculated according to the formula A = (width/2) ⨯ (height/2) ⨯ π. Additionally, the maximum diameter of the pineal cyst or the cystic part of the pineal gland (in patients with multicystic pineal gland) was measured. Additionally, the morphology of the pineal gland was classified according to a newly proposed classification system for pineal glands (type 0 to 4) shown in Table 1, which was generated and approved by all involved radiologists in consensus. A suffix was added for type 1 to 4 considering the size of the cyst(s) (a ≤5 mm, b 6–9 mm, and c ≥10 mm).Fig. 1The largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted imageTable 1Classification system for the (cystic) pineal glandTypeDefinition0No cyst1Singular cyst2Multicystic pineal gland (without enlargement)3Multicystic pineal gland (enlargement without shift of the margin)4Multicystic pineal gland (enlargement and shift of the margin)\nThe largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted image\nClassification system for the (cystic) pineal gland\nThe datasets were anonymized prior to analysis. All pineal glands were assessed by four senior neuroradiologists (S.L.G., P.d.G., P.G., and P.M.) with 12, 12, 17, and 26 years of experience, retrospectively. The largest anteroposterior (width) and craniocaudal (height) diameters of each pineal gland were reported on the sagittal T2-weighted sequences (as shown in Fig. 1), and the planimetric area (A) was calculated according to the formula A = (width/2) ⨯ (height/2) ⨯ π. Additionally, the maximum diameter of the pineal cyst or the cystic part of the pineal gland (in patients with multicystic pineal gland) was measured. Additionally, the morphology of the pineal gland was classified according to a newly proposed classification system for pineal glands (type 0 to 4) shown in Table 1, which was generated and approved by all involved radiologists in consensus. A suffix was added for type 1 to 4 considering the size of the cyst(s) (a ≤5 mm, b 6–9 mm, and c ≥10 mm).Fig. 1The largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted imageTable 1Classification system for the (cystic) pineal glandTypeDefinition0No cyst1Singular cyst2Multicystic pineal gland (without enlargement)3Multicystic pineal gland (enlargement without shift of the margin)4Multicystic pineal gland (enlargement and shift of the margin)\nThe largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted image\nClassification system for the (cystic) pineal gland\n Statistical analysis and comparison with pineoblastoma The statistical analysis is similar to part I of this article, except, thanks to a more even distribution of cases across the age interval, created five age categories of 1 year in this part. The clinical usefulness of the age-dependent prediction intervals were compared with pineoblastomas from the meta-analysis by De Jong and colleagues ([1], see part I for more details). The results from parts I and II of this article are combined in a flow chart. During a consensus meeting of the European Retinoblastoma Imaging Collaboration (ERIC), these guidelines were constructed.\nThe statistical analysis is similar to part I of this article, except, thanks to a more even distribution of cases across the age interval, created five age categories of 1 year in this part. The clinical usefulness of the age-dependent prediction intervals were compared with pineoblastomas from the meta-analysis by De Jong and colleagues ([1], see part I for more details). The results from parts I and II of this article are combined in a flow chart. During a consensus meeting of the European Retinoblastoma Imaging Collaboration (ERIC), these guidelines were constructed.", "This retrospective study included patients from four European neuroimaging or radiology departments of university hospitals in Amsterdam, Essen, Lausanne, and Siena. Inclusion criteria for this retrospective study were (1) the acquisition of sagittal T2-weighted sequences of the pineal gland with a slice thickness of not more than 2 mm in patients without any known or visible pineal pathology and (2) an age 0–5 years at time of the MRI. Exclusion criteria were the diagnosis of retinoblastoma, known endocrinologic or neurological disorders (possibly) affecting or related to the pineal gland, pineal pathologies or distortion of the pineal gland from adjacent pathologies, ongoing radiation therapy or chemotherapy, and relevant MR artifacts at the level of the pineal gland.\nGlands with a cystic part were present in a total of 257 examinations of 232 patients (55.8 % of all included patients, n = 216 examinations of 191 patients from Essen, n = 25 examinations of 25 patients from Siena, n = 11 examinations of 11 patients from Amsterdam, and n = 5 examinations of 5 patients from Lausanne). These patients are evaluated in this study; the solid pineal glands (184/416 patients, 44.2 %) were assessed separately, see part I of this article. Indications for imaging were not related with pineal gland alterations; MRI was mainly performed in children with developmental retardation, brain malformation, seizures, trauma, prematurity, neonatal asphyxia, infectious disease, hydrocephalus, and pathologies in other parts of the brain. Mean age at the time of the first MR examination was 23.3 months (SD 17.1, range 0–60 months).", "Due to the multicenter setting of this study, the examinations were performed on different 1.5 and 3.0 Tesla MR systems (Magnetom Avanto, Aera, Symphony or Skyra, Siemens Healthcare, Erlangen, Germany) and different T2-weighted sequences were used. We only included MR examinations if the sagittal T2-weighted sequences had a slice thickness of no more than 2 mm to minimize partial volume effects. The slice thickness of the included patients varied between 0.6 and 2 mm.", "The datasets were anonymized prior to analysis. All pineal glands were assessed by four senior neuroradiologists (S.L.G., P.d.G., P.G., and P.M.) with 12, 12, 17, and 26 years of experience, retrospectively. The largest anteroposterior (width) and craniocaudal (height) diameters of each pineal gland were reported on the sagittal T2-weighted sequences (as shown in Fig. 1), and the planimetric area (A) was calculated according to the formula A = (width/2) ⨯ (height/2) ⨯ π. Additionally, the maximum diameter of the pineal cyst or the cystic part of the pineal gland (in patients with multicystic pineal gland) was measured. Additionally, the morphology of the pineal gland was classified according to a newly proposed classification system for pineal glands (type 0 to 4) shown in Table 1, which was generated and approved by all involved radiologists in consensus. A suffix was added for type 1 to 4 considering the size of the cyst(s) (a ≤5 mm, b 6–9 mm, and c ≥10 mm).Fig. 1The largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted imageTable 1Classification system for the (cystic) pineal glandTypeDefinition0No cyst1Singular cyst2Multicystic pineal gland (without enlargement)3Multicystic pineal gland (enlargement without shift of the margin)4Multicystic pineal gland (enlargement and shift of the margin)\nThe largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted image\nClassification system for the (cystic) pineal gland", "The statistical analysis is similar to part I of this article, except, thanks to a more even distribution of cases across the age interval, created five age categories of 1 year in this part. The clinical usefulness of the age-dependent prediction intervals were compared with pineoblastomas from the meta-analysis by De Jong and colleagues ([1], see part I for more details). The results from parts I and II of this article are combined in a flow chart. During a consensus meeting of the European Retinoblastoma Imaging Collaboration (ERIC), these guidelines were constructed.", " Size of the cystic pineal gland and the pineal cyst(s) The measurements of pineal width, height, and cyst size showed ICCs of 0.995 (95 % confidence interval [CI] 0.989–0.998), 0.996 (95 % CI 0.992–0.998), and 0.998 (95 % CI 0.996–0.999), respectively.\nFigure 2 shows the distribution of male and female cases for each age category (52.2 % male, 47.8 % female). The Kolmogorov-Smirnov test did not reject the null hypothesis that the variable age of female and male subsamples came from the same continuous distribution (p = 0.37). The χ2 test did not show a statistically significant interaction between age and gender; therefore, we assumed that the age distribution did not relate to gender (p = 0.53). Levene’s test showed that the homoscedasticity assumption (homogeneity of variance) was met by all gland size variables (area had to be log transformed) across the age intervals by gender (Appendix A). The two-way ANOVA showed that age significantly predicted the size variables (width, height, area, and cyst size), whereas gender did not predict gland size. None of the interaction terms were statistically significant for gland size, but the interaction term age*gender was statistically significant for cyst size (Appendix A). Post hoc analysis suggests that especially in the first year of age, the size parameters increased substantially; all size parameters were significantly lower than in the other age categories (Appendix B).Fig. 2Frequency distribution of cases across the size categories by gender\nFrequency distribution of cases across the size categories by gender\nFigure 3 shows the linear regression analysis of pineal width, height, area, and cyst size, with each having a 99 % prediction interval. The upper (and lower) 99 % prediction intervals approach linearity and therefore share the slope with the regression line (Table 2). Because the interaction term age*gender was statistically significant for cyst size, we also plotted the separate regression lines for male and female (Fig. 3d); even though the regression lines of male and female patients indeed deviate, the differences are not large and based on visual assessment differentiation by gender is not necessary, and the summary regression line and 99 % prediction interval can be used in our view. The data suggests a rapid size increase in the first year(s) of age and a decrease towards the fourth and fifth year of age, which might be better described by a quadratic function (Appendix C). We therefore also plotted quadratic regression line with 99 % prediction interval for each size variable (Appendix D). Appendix E shows the results from quadratic regression of all size variables. The values of the adjusted R2 of the regression analysis showed a better fit for all size parameters in quadratic regression compared to linear regression (Table 2 and Appendix E).Fig. 3Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d)Table 2Results of linear regression analysis: cystic pineal gland size versus ageRelationshipMean intercept (mm)Upper bound (mm)a\nSlope (mm/month)\np valueAdjusted R\n2\n Cyst sizeb vs. age3,810.80.0300.00250.035 Width vs. age5.710.90.046<0.00010.137 Height vs. age4.07.70.0210.00010.058RelationshipMean intercept (mm2)Upper bound (mm2)a\nSlope (mm2/month)\np valueAdjusted R\n2\n Area vs. age19.666.90.250.00020.053\naThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used\nbMaximum diameter of the cyst(s) within the pineal gland\nLinear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d)\nResults of linear regression analysis: cystic pineal gland size versus age\n\naThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used\n\nbMaximum diameter of the cyst(s) within the pineal gland\nThe measurements of pineal width, height, and cyst size showed ICCs of 0.995 (95 % confidence interval [CI] 0.989–0.998), 0.996 (95 % CI 0.992–0.998), and 0.998 (95 % CI 0.996–0.999), respectively.\nFigure 2 shows the distribution of male and female cases for each age category (52.2 % male, 47.8 % female). The Kolmogorov-Smirnov test did not reject the null hypothesis that the variable age of female and male subsamples came from the same continuous distribution (p = 0.37). The χ2 test did not show a statistically significant interaction between age and gender; therefore, we assumed that the age distribution did not relate to gender (p = 0.53). Levene’s test showed that the homoscedasticity assumption (homogeneity of variance) was met by all gland size variables (area had to be log transformed) across the age intervals by gender (Appendix A). The two-way ANOVA showed that age significantly predicted the size variables (width, height, area, and cyst size), whereas gender did not predict gland size. None of the interaction terms were statistically significant for gland size, but the interaction term age*gender was statistically significant for cyst size (Appendix A). Post hoc analysis suggests that especially in the first year of age, the size parameters increased substantially; all size parameters were significantly lower than in the other age categories (Appendix B).Fig. 2Frequency distribution of cases across the size categories by gender\nFrequency distribution of cases across the size categories by gender\nFigure 3 shows the linear regression analysis of pineal width, height, area, and cyst size, with each having a 99 % prediction interval. The upper (and lower) 99 % prediction intervals approach linearity and therefore share the slope with the regression line (Table 2). Because the interaction term age*gender was statistically significant for cyst size, we also plotted the separate regression lines for male and female (Fig. 3d); even though the regression lines of male and female patients indeed deviate, the differences are not large and based on visual assessment differentiation by gender is not necessary, and the summary regression line and 99 % prediction interval can be used in our view. The data suggests a rapid size increase in the first year(s) of age and a decrease towards the fourth and fifth year of age, which might be better described by a quadratic function (Appendix C). We therefore also plotted quadratic regression line with 99 % prediction interval for each size variable (Appendix D). Appendix E shows the results from quadratic regression of all size variables. The values of the adjusted R2 of the regression analysis showed a better fit for all size parameters in quadratic regression compared to linear regression (Table 2 and Appendix E).Fig. 3Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d)Table 2Results of linear regression analysis: cystic pineal gland size versus ageRelationshipMean intercept (mm)Upper bound (mm)a\nSlope (mm/month)\np valueAdjusted R\n2\n Cyst sizeb vs. age3,810.80.0300.00250.035 Width vs. age5.710.90.046<0.00010.137 Height vs. age4.07.70.0210.00010.058RelationshipMean intercept (mm2)Upper bound (mm2)a\nSlope (mm2/month)\np valueAdjusted R\n2\n Area vs. age19.666.90.250.00020.053\naThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used\nbMaximum diameter of the cyst(s) within the pineal gland\nLinear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d)\nResults of linear regression analysis: cystic pineal gland size versus age\n\naThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used\n\nbMaximum diameter of the cyst(s) within the pineal gland\n Morphology of the cystic pineal gland and classification Of the 232 patients, 45.3 % showed a singular cyst (mean size 3.0 mm (SD 2.1, range 0.7–11.2 mm)) and 54.7 % a multicystic pineal gland (mean size of the cystic part 5.9 mm (SD 2.4, range 2.0–16.1 mm)). The classification of the cystic pineal glands according to the classification system is shown in Table 3; examples are shown in Fig. 4. Appendix F shows the mean gland areas of male and female cases for each cyst classification. Pineal glands with cysts of the fourth class were considerably larger than the glands in the other three categories (p < 0.0001, Mann-Whitney U test; appendix F).Table 3Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basisTypeSuffixTotal (100 %)abc1103 (88.0 %)12 (10.3 %)2 (1.7 %)117223 (63.9 %)13 (36.1 %)0 (0.0 %)36329 (48.3 %)31 (51.7 %)0 (0.0 %)60411 (25.0 %)22 (50.0 %)11 (25.0 %)44Total166 (64.6 %)78 (30.4 %)13 (5.1 %)257Fig. 4Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c\nClassification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basis\nExamples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c\nOf the 232 patients, 45.3 % showed a singular cyst (mean size 3.0 mm (SD 2.1, range 0.7–11.2 mm)) and 54.7 % a multicystic pineal gland (mean size of the cystic part 5.9 mm (SD 2.4, range 2.0–16.1 mm)). The classification of the cystic pineal glands according to the classification system is shown in Table 3; examples are shown in Fig. 4. Appendix F shows the mean gland areas of male and female cases for each cyst classification. Pineal glands with cysts of the fourth class were considerably larger than the glands in the other three categories (p < 0.0001, Mann-Whitney U test; appendix F).Table 3Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basisTypeSuffixTotal (100 %)abc1103 (88.0 %)12 (10.3 %)2 (1.7 %)117223 (63.9 %)13 (36.1 %)0 (0.0 %)36329 (48.3 %)31 (51.7 %)0 (0.0 %)60411 (25.0 %)22 (50.0 %)11 (25.0 %)44Total166 (64.6 %)78 (30.4 %)13 (5.1 %)257Fig. 4Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c\nClassification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basis\nExamples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c\n Follow-up Of the 25 children with available follow-up imaging (median 12 months, range 3 to 49 months, 11 males, 14 females), 48 % showed a singular pineal gland cyst and 52 % a multicystic pineal gland. Stable cystic findings were found in 48 %, cyst size increase in 36 % and decrease in 16 % (Fig. 5). Eighty-three percent (5/6) of the children with follow-up examinations performed within 6 months showed a stable finding (Table 4).In 2 children (17 %), the follow-up exam showed a development of the initial singular cyst to a multicystic pineal gland (Fig. 5). At both time points, all 25 children showed size parameters (width, height, area, and cyst size) that remained below the upper 99 % prediction bound.Fig. 5Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 monthsTable 4Pineal gland size changes over timeTime between examinationsEvaluation of the pineal gland size over timeTotalStableIncreaseDecrease<6 months5 (83 %)1 (17 %)0 (0 %)6 (24 %)6–12 months3 (50 %)1 (17 %)2 (33 %)6 (24 %)12–24 months2 (40 %)1 (20 %)2(40 %)5 (20 %)24–36 months1 (20 %)4 (80 %)0 (0 %)5 (20 %)36–48 months0 (0 %)2 (100 %)0 (0 %)2 (8 %)48–60 months1 (100 %)0 (0 %)0 (0 %)1 (4 %)Total12 (48 %)9 (36 %)4 (16 %)25 (100 %)\nFollow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 months\nPineal gland size changes over time\nOf the 25 children with available follow-up imaging (median 12 months, range 3 to 49 months, 11 males, 14 females), 48 % showed a singular pineal gland cyst and 52 % a multicystic pineal gland. Stable cystic findings were found in 48 %, cyst size increase in 36 % and decrease in 16 % (Fig. 5). Eighty-three percent (5/6) of the children with follow-up examinations performed within 6 months showed a stable finding (Table 4).In 2 children (17 %), the follow-up exam showed a development of the initial singular cyst to a multicystic pineal gland (Fig. 5). At both time points, all 25 children showed size parameters (width, height, area, and cyst size) that remained below the upper 99 % prediction bound.Fig. 5Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 monthsTable 4Pineal gland size changes over timeTime between examinationsEvaluation of the pineal gland size over timeTotalStableIncreaseDecrease<6 months5 (83 %)1 (17 %)0 (0 %)6 (24 %)6–12 months3 (50 %)1 (17 %)2 (33 %)6 (24 %)12–24 months2 (40 %)1 (20 %)2(40 %)5 (20 %)24–36 months1 (20 %)4 (80 %)0 (0 %)5 (20 %)36–48 months0 (0 %)2 (100 %)0 (0 %)2 (8 %)48–60 months1 (100 %)0 (0 %)0 (0 %)1 (4 %)Total12 (48 %)9 (36 %)4 (16 %)25 (100 %)\nFollow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 months\nPineal gland size changes over time\n Comparison with pineoblastoma In Fig. 6, we compared the width of the normal cystic glands with the regression line with 99 % prediction interval with the maximum diameter of several pineoblastomas from which we were able to collect data. A considerable number of pineoblastomas overlapped in terms of size with the sizes of normal cystic pineal glands. Especially of interest are the cystic (n = 2), partly cystic (n = 1), and maybe those of unknown type (n = 6) in asymptomatic pineoblastomas (Fig. 6a). Three cystic and one partly cystic pineoblastoma had a larger maximum diameter than the 99 % upper prediction margin (Fig. 6a). In Fig. 7, we present our guidelines (flowchart) for the follow-up of the cystic and solid (see part I) pineal gland in children with retinoblastoma.Fig. 6Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mmFig. 7Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate\nCystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mm\nConsensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate\nIn Fig. 6, we compared the width of the normal cystic glands with the regression line with 99 % prediction interval with the maximum diameter of several pineoblastomas from which we were able to collect data. A considerable number of pineoblastomas overlapped in terms of size with the sizes of normal cystic pineal glands. Especially of interest are the cystic (n = 2), partly cystic (n = 1), and maybe those of unknown type (n = 6) in asymptomatic pineoblastomas (Fig. 6a). Three cystic and one partly cystic pineoblastoma had a larger maximum diameter than the 99 % upper prediction margin (Fig. 6a). In Fig. 7, we present our guidelines (flowchart) for the follow-up of the cystic and solid (see part I) pineal gland in children with retinoblastoma.Fig. 6Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mmFig. 7Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate\nCystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mm\nConsensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate", "The measurements of pineal width, height, and cyst size showed ICCs of 0.995 (95 % confidence interval [CI] 0.989–0.998), 0.996 (95 % CI 0.992–0.998), and 0.998 (95 % CI 0.996–0.999), respectively.\nFigure 2 shows the distribution of male and female cases for each age category (52.2 % male, 47.8 % female). The Kolmogorov-Smirnov test did not reject the null hypothesis that the variable age of female and male subsamples came from the same continuous distribution (p = 0.37). The χ2 test did not show a statistically significant interaction between age and gender; therefore, we assumed that the age distribution did not relate to gender (p = 0.53). Levene’s test showed that the homoscedasticity assumption (homogeneity of variance) was met by all gland size variables (area had to be log transformed) across the age intervals by gender (Appendix A). The two-way ANOVA showed that age significantly predicted the size variables (width, height, area, and cyst size), whereas gender did not predict gland size. None of the interaction terms were statistically significant for gland size, but the interaction term age*gender was statistically significant for cyst size (Appendix A). Post hoc analysis suggests that especially in the first year of age, the size parameters increased substantially; all size parameters were significantly lower than in the other age categories (Appendix B).Fig. 2Frequency distribution of cases across the size categories by gender\nFrequency distribution of cases across the size categories by gender\nFigure 3 shows the linear regression analysis of pineal width, height, area, and cyst size, with each having a 99 % prediction interval. The upper (and lower) 99 % prediction intervals approach linearity and therefore share the slope with the regression line (Table 2). Because the interaction term age*gender was statistically significant for cyst size, we also plotted the separate regression lines for male and female (Fig. 3d); even though the regression lines of male and female patients indeed deviate, the differences are not large and based on visual assessment differentiation by gender is not necessary, and the summary regression line and 99 % prediction interval can be used in our view. The data suggests a rapid size increase in the first year(s) of age and a decrease towards the fourth and fifth year of age, which might be better described by a quadratic function (Appendix C). We therefore also plotted quadratic regression line with 99 % prediction interval for each size variable (Appendix D). Appendix E shows the results from quadratic regression of all size variables. The values of the adjusted R2 of the regression analysis showed a better fit for all size parameters in quadratic regression compared to linear regression (Table 2 and Appendix E).Fig. 3Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d)Table 2Results of linear regression analysis: cystic pineal gland size versus ageRelationshipMean intercept (mm)Upper bound (mm)a\nSlope (mm/month)\np valueAdjusted R\n2\n Cyst sizeb vs. age3,810.80.0300.00250.035 Width vs. age5.710.90.046<0.00010.137 Height vs. age4.07.70.0210.00010.058RelationshipMean intercept (mm2)Upper bound (mm2)a\nSlope (mm2/month)\np valueAdjusted R\n2\n Area vs. age19.666.90.250.00020.053\naThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used\nbMaximum diameter of the cyst(s) within the pineal gland\nLinear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d)\nResults of linear regression analysis: cystic pineal gland size versus age\n\naThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used\n\nbMaximum diameter of the cyst(s) within the pineal gland", "Of the 232 patients, 45.3 % showed a singular cyst (mean size 3.0 mm (SD 2.1, range 0.7–11.2 mm)) and 54.7 % a multicystic pineal gland (mean size of the cystic part 5.9 mm (SD 2.4, range 2.0–16.1 mm)). The classification of the cystic pineal glands according to the classification system is shown in Table 3; examples are shown in Fig. 4. Appendix F shows the mean gland areas of male and female cases for each cyst classification. Pineal glands with cysts of the fourth class were considerably larger than the glands in the other three categories (p < 0.0001, Mann-Whitney U test; appendix F).Table 3Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basisTypeSuffixTotal (100 %)abc1103 (88.0 %)12 (10.3 %)2 (1.7 %)117223 (63.9 %)13 (36.1 %)0 (0.0 %)36329 (48.3 %)31 (51.7 %)0 (0.0 %)60411 (25.0 %)22 (50.0 %)11 (25.0 %)44Total166 (64.6 %)78 (30.4 %)13 (5.1 %)257Fig. 4Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c\nClassification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basis\nExamples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c", "Of the 25 children with available follow-up imaging (median 12 months, range 3 to 49 months, 11 males, 14 females), 48 % showed a singular pineal gland cyst and 52 % a multicystic pineal gland. Stable cystic findings were found in 48 %, cyst size increase in 36 % and decrease in 16 % (Fig. 5). Eighty-three percent (5/6) of the children with follow-up examinations performed within 6 months showed a stable finding (Table 4).In 2 children (17 %), the follow-up exam showed a development of the initial singular cyst to a multicystic pineal gland (Fig. 5). At both time points, all 25 children showed size parameters (width, height, area, and cyst size) that remained below the upper 99 % prediction bound.Fig. 5Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 monthsTable 4Pineal gland size changes over timeTime between examinationsEvaluation of the pineal gland size over timeTotalStableIncreaseDecrease<6 months5 (83 %)1 (17 %)0 (0 %)6 (24 %)6–12 months3 (50 %)1 (17 %)2 (33 %)6 (24 %)12–24 months2 (40 %)1 (20 %)2(40 %)5 (20 %)24–36 months1 (20 %)4 (80 %)0 (0 %)5 (20 %)36–48 months0 (0 %)2 (100 %)0 (0 %)2 (8 %)48–60 months1 (100 %)0 (0 %)0 (0 %)1 (4 %)Total12 (48 %)9 (36 %)4 (16 %)25 (100 %)\nFollow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 months\nPineal gland size changes over time", "In Fig. 6, we compared the width of the normal cystic glands with the regression line with 99 % prediction interval with the maximum diameter of several pineoblastomas from which we were able to collect data. A considerable number of pineoblastomas overlapped in terms of size with the sizes of normal cystic pineal glands. Especially of interest are the cystic (n = 2), partly cystic (n = 1), and maybe those of unknown type (n = 6) in asymptomatic pineoblastomas (Fig. 6a). Three cystic and one partly cystic pineoblastoma had a larger maximum diameter than the 99 % upper prediction margin (Fig. 6a). In Fig. 7, we present our guidelines (flowchart) for the follow-up of the cystic and solid (see part I) pineal gland in children with retinoblastoma.Fig. 6Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mmFig. 7Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate\nCystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mm\nConsensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate", "Cystic pineal glands are a frequent finding in children [7, 8] and are a challenge for radiologists and clinicians especially in the first years of life, because in this age group, rating of the size is difficult and imaging parameters can be very similar to cystic pineal pathologies [3, 13, 14]. We believe that knowledge of the normal size and morphology of the cystic pineal gland might be helpful for this differentiation. Until now, only a few studies exist evaluating the size of the pineal gland in childhood, mostly without differentiating between the solid and the cystic pineal gland and with low patient numbers between an age of 0 and 5 years [7, 8, 11, 15]. Additionally, different size parameters were used in the studies; therefore, the results are difficult to compare. We used measurements of height and width of the pineal gland and of the maximum cyst(s) size on sagittal high-resolution T2-weighted images and calculation of the planimetric area to provide a practical clinical approach. In our experience, it is more difficult to detect pineal cysts on postgadolinium T1-weighted images, because of the diffusion of contrast agent into the cysts. In accordance to the literature, age significantly predicted pineal size variables in our study [7, 8]. Interestingly, our data suggests a rapid increase of the pineal gland and the cyst size in the first year(s) of age and a decrease toward the fourth and fifth year of age. One possible explanation might be that melatonin (the principle secretory product of the pineal) reaches its highest levels at the age of 1–3 years and drops by 80 % by adolescence [16], which could be related to pineal gland size. Gender did not predict gland size in our study in accordance to prior studies [7, 8]. Altogether, our age-adapted normal values might serve as a reference standard for the size parameters of the pineal gland and the pineal cyst(s) in the first years of age.\nKnowledge of the normal size of the pineal gland is important for the differentiation to cystic pineal pathologies. As the ERIC, we are especially interested in the differentiation of pineal cysts from cystic pineoblastoma. Normal values for pineal size of children without retinoblastoma are expected to be also applicable in children with retinoblastoma, because it has been shown that pineal gland size is comparable in retinoblastoma patients and age-matched controls [6]. Pineoblastoma typically develops within the first 5 years of life with an incidence of 3–4 % in children with hereditary retinoblastoma [2] and a much better survival has been shown for asymptomatic patients and patients with small tumors (≤15 mm) in a recent meta-analysis about trilateral retinoblastoma [1]. The comparison of our normal values of the cystic pineal gland size parameters to the available patients of this meta-analysis showed that some of the asymptomatic (partly) cystic pineoblastomas might have been classified as abnormal based on size alone. Therefore, we believe that our normal values may be helpful to detect and treat (partly) cystic pineoblastomas earlier with resulting better survival, as shown by the meta-analysis [1]. Nevertheless, other additional parameters such as evaluation of the solid part in terms of morphology (irregularity and changes over time), contrast enhancement, and MR signal intensity have to be evaluated further to identify those pineoblastomas with overlap in size. Our presented guidelines for follow-up might be helpful for a standardized evaluation of pineal glands in retinoblastoma.\nIt is the first classification system for the cystic pineal gland based on the number and the morphology of the pineal cysts. The incidence of multicystic pineal glands in children ranges from 3.6 to 74 % in the literature [9, 15], which might be a result of the different imaging parameters. In our patients, we found multicystic pineal glands in 53 %. All multicystic pineal glands with a maximum diameter of more than 1 cm of the cystic part interestingly showed a shift of the gland margin (type 4). The impact of this classification system for the cystic pineal gland for detecting pineoblastoma has to be evaluated in future studies, because the available data of the meta-analysis was insufficient to evaluate this aspect [1].\nWe were able to show that size and morphology of pineal gland cysts changed over time in our study as suggested before [7, 17]. Al-Holou et al. [12] showed that cysts are more likely to grow or change in younger compared to older children. Several mechanisms for pineal cyst size change have been proposed such as enlargement as a result of hormonal influence, due to hemorrhage or through remaining connection with the ventricular enlargement [8, 18]. Our findings of the pineal and cyst size development between the age of 0 and 5 years together with the results of the patients with follow-up especially support the first hypothesis, because cyst size decreased together with pineal gland size parameters after the age of 3, the time of the known decrease of melatonin [16]. These aspects have to be considered in the evaluation of the cystic pineal gland, because an increase of the cyst or pineal gland size, especially between the first and second year of life, should not be mistaken as pathologic enlargement.\nLimitations of our study have to be acknowledged. We chose to focus only on the evaluation of size and morphology of the cystic pineal gland, because tumor size has been shown to be a prognostic factor for the outcome of children with pineal trilateral retinoblastoma, and abnormal growth of the pineal gland has been suggested to be the most alerting sign for pineoblastoma. We did not evaluate other parameters such as contrast enhancement or signal intensity; this was already done in prior studies [3–7, 15]. Additionally, due to the retrospective and multicenter character of this work, different MR parameters and scanners were used, which might have influenced our results.\nIn conclusion, we present age-adapted normal values for size and morphology of the cystic pineal gland in children aged 0–5 years without known pineal pathology or retinoblastoma that might be helpful in clinical routine and serve as comparison in future studies of (cystic) pineal pathologies. Analysis of pineal gland size is helpful in discriminating normal solid and cystic glands from pineoblastoma. We presented guidelines for the approach of a solid or cystic pineal gland in hereditary retinoblastoma patients.", " Below is the link to the electronic supplementary material.ESM 1(PDF 69 kb)ESM 2(PDF 49 kb)ESM 3(PDF 147 kb)ESM 4(PDF 399 kb)ESM 5(PDF 114 kb)\n(PDF 69 kb)\n(PDF 49 kb)\n(PDF 147 kb)\n(PDF 399 kb)\n(PDF 114 kb)\nBelow is the link to the electronic supplementary material.ESM 1(PDF 69 kb)ESM 2(PDF 49 kb)ESM 3(PDF 147 kb)ESM 4(PDF 399 kb)ESM 5(PDF 114 kb)\n(PDF 69 kb)\n(PDF 49 kb)\n(PDF 147 kb)\n(PDF 399 kb)\n(PDF 114 kb)", "Below is the link to the electronic supplementary material.ESM 1(PDF 69 kb)ESM 2(PDF 49 kb)ESM 3(PDF 147 kb)ESM 4(PDF 399 kb)ESM 5(PDF 114 kb)\n(PDF 69 kb)\n(PDF 49 kb)\n(PDF 147 kb)\n(PDF 399 kb)\n(PDF 114 kb)" ]
[ "introduction", "materials|methods", null, null, null, null, "results", null, null, null, null, "discussion", "supplementary-material", null ]
[ "Pineal gland", "Pineoblastoma", "Retinoblastoma", "Pediatric", "Gland size" ]
Introduction: Pineoblastoma presents in about 3–4 % of children with hereditary retinoblastoma typically within the first 5 years of age [1, 2]; the combination of hereditary retinoblastoma and pineoblastoma is also referred to as trilateral retinoblastoma. The differentiation between cystic variants of pineoblastoma and pineal cysts, which have been reported to appear similar on MRI [3–5], is of high clinical importance, because survival has been reported to be much better in asymptomatic patients with small tumors [1]. Asymptomatic patients showed a 5-year survival of 50 % whereas of patients with symptomatic disease, only 4 % survived [1], emphasizing the importance of early detection. Additionally, it has recently be shown that abnormal growth of the pineal gland might be the most alerting sign for pineoblastoma and that the size of the pineal gland is comparable between retinoblastoma patients without pineoblastoma and age-matched controls [6]. Therefore, normal values of the size of cystic pineal glands in non-retinoblastoma patients in this age group are expected to be helpful in this differentiation. Several aspects have to be considered in the size evaluation of the pineal gland in children. Due to the high incidence [7, 8], pineal cysts are usually rated as normal variant [9], although they might sometimes be symptomatic requiring treatment [10]. Compared to solid (non-cystic) pineal glands, a higher interindividual variability has been postulated for the size of the pineal gland in the presence of pineal cysts [8]. Additionally, several studies showed that the size of the pineal gland is age-dependent especially in the first years of age [7, 8, 11]. Al-Holou et al. showed that younger age was associated with cyst change or growth [12], which might also result in higher intraindividual and interindividual variability. These aspects reflect the problematic rating of the size of the cystic pineal gland as normal or enlarged that the radiologist and clinicians are faced with especially in young children in the first years of age. The aims of this retrospective study were (1) to establish normal values for the size of the cystic pineal gland in children 0–5 years in a large patient group, (2) to evaluate the normal morphology of the cystic pineal gland, (3) to assess the development of the cystic pineal gland in those children that received a follow-up, and (4) to compare the results with the results of a large collective of children with pineoblastoma. The solid pineal gland was analyzed in part I of this study. Finally, we present a flowchart for follow-up of pineal glands in retinoblastoma patients. Material and methods: The retrospective study was approved by the institutional review boards. Patients This retrospective study included patients from four European neuroimaging or radiology departments of university hospitals in Amsterdam, Essen, Lausanne, and Siena. Inclusion criteria for this retrospective study were (1) the acquisition of sagittal T2-weighted sequences of the pineal gland with a slice thickness of not more than 2 mm in patients without any known or visible pineal pathology and (2) an age 0–5 years at time of the MRI. Exclusion criteria were the diagnosis of retinoblastoma, known endocrinologic or neurological disorders (possibly) affecting or related to the pineal gland, pineal pathologies or distortion of the pineal gland from adjacent pathologies, ongoing radiation therapy or chemotherapy, and relevant MR artifacts at the level of the pineal gland. Glands with a cystic part were present in a total of 257 examinations of 232 patients (55.8 % of all included patients, n = 216 examinations of 191 patients from Essen, n = 25 examinations of 25 patients from Siena, n = 11 examinations of 11 patients from Amsterdam, and n = 5 examinations of 5 patients from Lausanne). These patients are evaluated in this study; the solid pineal glands (184/416 patients, 44.2 %) were assessed separately, see part I of this article. Indications for imaging were not related with pineal gland alterations; MRI was mainly performed in children with developmental retardation, brain malformation, seizures, trauma, prematurity, neonatal asphyxia, infectious disease, hydrocephalus, and pathologies in other parts of the brain. Mean age at the time of the first MR examination was 23.3 months (SD 17.1, range 0–60 months). This retrospective study included patients from four European neuroimaging or radiology departments of university hospitals in Amsterdam, Essen, Lausanne, and Siena. Inclusion criteria for this retrospective study were (1) the acquisition of sagittal T2-weighted sequences of the pineal gland with a slice thickness of not more than 2 mm in patients without any known or visible pineal pathology and (2) an age 0–5 years at time of the MRI. Exclusion criteria were the diagnosis of retinoblastoma, known endocrinologic or neurological disorders (possibly) affecting or related to the pineal gland, pineal pathologies or distortion of the pineal gland from adjacent pathologies, ongoing radiation therapy or chemotherapy, and relevant MR artifacts at the level of the pineal gland. Glands with a cystic part were present in a total of 257 examinations of 232 patients (55.8 % of all included patients, n = 216 examinations of 191 patients from Essen, n = 25 examinations of 25 patients from Siena, n = 11 examinations of 11 patients from Amsterdam, and n = 5 examinations of 5 patients from Lausanne). These patients are evaluated in this study; the solid pineal glands (184/416 patients, 44.2 %) were assessed separately, see part I of this article. Indications for imaging were not related with pineal gland alterations; MRI was mainly performed in children with developmental retardation, brain malformation, seizures, trauma, prematurity, neonatal asphyxia, infectious disease, hydrocephalus, and pathologies in other parts of the brain. Mean age at the time of the first MR examination was 23.3 months (SD 17.1, range 0–60 months). MR imaging Due to the multicenter setting of this study, the examinations were performed on different 1.5 and 3.0 Tesla MR systems (Magnetom Avanto, Aera, Symphony or Skyra, Siemens Healthcare, Erlangen, Germany) and different T2-weighted sequences were used. We only included MR examinations if the sagittal T2-weighted sequences had a slice thickness of no more than 2 mm to minimize partial volume effects. The slice thickness of the included patients varied between 0.6 and 2 mm. Due to the multicenter setting of this study, the examinations were performed on different 1.5 and 3.0 Tesla MR systems (Magnetom Avanto, Aera, Symphony or Skyra, Siemens Healthcare, Erlangen, Germany) and different T2-weighted sequences were used. We only included MR examinations if the sagittal T2-weighted sequences had a slice thickness of no more than 2 mm to minimize partial volume effects. The slice thickness of the included patients varied between 0.6 and 2 mm. MR data analysis The datasets were anonymized prior to analysis. All pineal glands were assessed by four senior neuroradiologists (S.L.G., P.d.G., P.G., and P.M.) with 12, 12, 17, and 26 years of experience, retrospectively. The largest anteroposterior (width) and craniocaudal (height) diameters of each pineal gland were reported on the sagittal T2-weighted sequences (as shown in Fig. 1), and the planimetric area (A) was calculated according to the formula A = (width/2) ⨯ (height/2) ⨯ π. Additionally, the maximum diameter of the pineal cyst or the cystic part of the pineal gland (in patients with multicystic pineal gland) was measured. Additionally, the morphology of the pineal gland was classified according to a newly proposed classification system for pineal glands (type 0 to 4) shown in Table 1, which was generated and approved by all involved radiologists in consensus. A suffix was added for type 1 to 4 considering the size of the cyst(s) (a ≤5 mm, b 6–9 mm, and c ≥10 mm).Fig. 1The largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted imageTable 1Classification system for the (cystic) pineal glandTypeDefinition0No cyst1Singular cyst2Multicystic pineal gland (without enlargement)3Multicystic pineal gland (enlargement without shift of the margin)4Multicystic pineal gland (enlargement and shift of the margin) The largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted image Classification system for the (cystic) pineal gland The datasets were anonymized prior to analysis. All pineal glands were assessed by four senior neuroradiologists (S.L.G., P.d.G., P.G., and P.M.) with 12, 12, 17, and 26 years of experience, retrospectively. The largest anteroposterior (width) and craniocaudal (height) diameters of each pineal gland were reported on the sagittal T2-weighted sequences (as shown in Fig. 1), and the planimetric area (A) was calculated according to the formula A = (width/2) ⨯ (height/2) ⨯ π. Additionally, the maximum diameter of the pineal cyst or the cystic part of the pineal gland (in patients with multicystic pineal gland) was measured. Additionally, the morphology of the pineal gland was classified according to a newly proposed classification system for pineal glands (type 0 to 4) shown in Table 1, which was generated and approved by all involved radiologists in consensus. A suffix was added for type 1 to 4 considering the size of the cyst(s) (a ≤5 mm, b 6–9 mm, and c ≥10 mm).Fig. 1The largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted imageTable 1Classification system for the (cystic) pineal glandTypeDefinition0No cyst1Singular cyst2Multicystic pineal gland (without enlargement)3Multicystic pineal gland (enlargement without shift of the margin)4Multicystic pineal gland (enlargement and shift of the margin) The largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted image Classification system for the (cystic) pineal gland Statistical analysis and comparison with pineoblastoma The statistical analysis is similar to part I of this article, except, thanks to a more even distribution of cases across the age interval, created five age categories of 1 year in this part. The clinical usefulness of the age-dependent prediction intervals were compared with pineoblastomas from the meta-analysis by De Jong and colleagues ([1], see part I for more details). The results from parts I and II of this article are combined in a flow chart. During a consensus meeting of the European Retinoblastoma Imaging Collaboration (ERIC), these guidelines were constructed. The statistical analysis is similar to part I of this article, except, thanks to a more even distribution of cases across the age interval, created five age categories of 1 year in this part. The clinical usefulness of the age-dependent prediction intervals were compared with pineoblastomas from the meta-analysis by De Jong and colleagues ([1], see part I for more details). The results from parts I and II of this article are combined in a flow chart. During a consensus meeting of the European Retinoblastoma Imaging Collaboration (ERIC), these guidelines were constructed. Patients: This retrospective study included patients from four European neuroimaging or radiology departments of university hospitals in Amsterdam, Essen, Lausanne, and Siena. Inclusion criteria for this retrospective study were (1) the acquisition of sagittal T2-weighted sequences of the pineal gland with a slice thickness of not more than 2 mm in patients without any known or visible pineal pathology and (2) an age 0–5 years at time of the MRI. Exclusion criteria were the diagnosis of retinoblastoma, known endocrinologic or neurological disorders (possibly) affecting or related to the pineal gland, pineal pathologies or distortion of the pineal gland from adjacent pathologies, ongoing radiation therapy or chemotherapy, and relevant MR artifacts at the level of the pineal gland. Glands with a cystic part were present in a total of 257 examinations of 232 patients (55.8 % of all included patients, n = 216 examinations of 191 patients from Essen, n = 25 examinations of 25 patients from Siena, n = 11 examinations of 11 patients from Amsterdam, and n = 5 examinations of 5 patients from Lausanne). These patients are evaluated in this study; the solid pineal glands (184/416 patients, 44.2 %) were assessed separately, see part I of this article. Indications for imaging were not related with pineal gland alterations; MRI was mainly performed in children with developmental retardation, brain malformation, seizures, trauma, prematurity, neonatal asphyxia, infectious disease, hydrocephalus, and pathologies in other parts of the brain. Mean age at the time of the first MR examination was 23.3 months (SD 17.1, range 0–60 months). MR imaging: Due to the multicenter setting of this study, the examinations were performed on different 1.5 and 3.0 Tesla MR systems (Magnetom Avanto, Aera, Symphony or Skyra, Siemens Healthcare, Erlangen, Germany) and different T2-weighted sequences were used. We only included MR examinations if the sagittal T2-weighted sequences had a slice thickness of no more than 2 mm to minimize partial volume effects. The slice thickness of the included patients varied between 0.6 and 2 mm. MR data analysis: The datasets were anonymized prior to analysis. All pineal glands were assessed by four senior neuroradiologists (S.L.G., P.d.G., P.G., and P.M.) with 12, 12, 17, and 26 years of experience, retrospectively. The largest anteroposterior (width) and craniocaudal (height) diameters of each pineal gland were reported on the sagittal T2-weighted sequences (as shown in Fig. 1), and the planimetric area (A) was calculated according to the formula A = (width/2) ⨯ (height/2) ⨯ π. Additionally, the maximum diameter of the pineal cyst or the cystic part of the pineal gland (in patients with multicystic pineal gland) was measured. Additionally, the morphology of the pineal gland was classified according to a newly proposed classification system for pineal glands (type 0 to 4) shown in Table 1, which was generated and approved by all involved radiologists in consensus. A suffix was added for type 1 to 4 considering the size of the cyst(s) (a ≤5 mm, b 6–9 mm, and c ≥10 mm).Fig. 1The largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted imageTable 1Classification system for the (cystic) pineal glandTypeDefinition0No cyst1Singular cyst2Multicystic pineal gland (without enlargement)3Multicystic pineal gland (enlargement without shift of the margin)4Multicystic pineal gland (enlargement and shift of the margin) The largest anteroposterior (width) and craniocaudal (height) diameters of the pineal gland were measured as shown in this sagittal T2-weighted image Classification system for the (cystic) pineal gland Statistical analysis and comparison with pineoblastoma: The statistical analysis is similar to part I of this article, except, thanks to a more even distribution of cases across the age interval, created five age categories of 1 year in this part. The clinical usefulness of the age-dependent prediction intervals were compared with pineoblastomas from the meta-analysis by De Jong and colleagues ([1], see part I for more details). The results from parts I and II of this article are combined in a flow chart. During a consensus meeting of the European Retinoblastoma Imaging Collaboration (ERIC), these guidelines were constructed. Results: Size of the cystic pineal gland and the pineal cyst(s) The measurements of pineal width, height, and cyst size showed ICCs of 0.995 (95 % confidence interval [CI] 0.989–0.998), 0.996 (95 % CI 0.992–0.998), and 0.998 (95 % CI 0.996–0.999), respectively. Figure 2 shows the distribution of male and female cases for each age category (52.2 % male, 47.8 % female). The Kolmogorov-Smirnov test did not reject the null hypothesis that the variable age of female and male subsamples came from the same continuous distribution (p = 0.37). The χ2 test did not show a statistically significant interaction between age and gender; therefore, we assumed that the age distribution did not relate to gender (p = 0.53). Levene’s test showed that the homoscedasticity assumption (homogeneity of variance) was met by all gland size variables (area had to be log transformed) across the age intervals by gender (Appendix A). The two-way ANOVA showed that age significantly predicted the size variables (width, height, area, and cyst size), whereas gender did not predict gland size. None of the interaction terms were statistically significant for gland size, but the interaction term age*gender was statistically significant for cyst size (Appendix A). Post hoc analysis suggests that especially in the first year of age, the size parameters increased substantially; all size parameters were significantly lower than in the other age categories (Appendix B).Fig. 2Frequency distribution of cases across the size categories by gender Frequency distribution of cases across the size categories by gender Figure 3 shows the linear regression analysis of pineal width, height, area, and cyst size, with each having a 99 % prediction interval. The upper (and lower) 99 % prediction intervals approach linearity and therefore share the slope with the regression line (Table 2). Because the interaction term age*gender was statistically significant for cyst size, we also plotted the separate regression lines for male and female (Fig. 3d); even though the regression lines of male and female patients indeed deviate, the differences are not large and based on visual assessment differentiation by gender is not necessary, and the summary regression line and 99 % prediction interval can be used in our view. The data suggests a rapid size increase in the first year(s) of age and a decrease towards the fourth and fifth year of age, which might be better described by a quadratic function (Appendix C). We therefore also plotted quadratic regression line with 99 % prediction interval for each size variable (Appendix D). Appendix E shows the results from quadratic regression of all size variables. The values of the adjusted R2 of the regression analysis showed a better fit for all size parameters in quadratic regression compared to linear regression (Table 2 and Appendix E).Fig. 3Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d)Table 2Results of linear regression analysis: cystic pineal gland size versus ageRelationshipMean intercept (mm)Upper bound (mm)a Slope (mm/month) p valueAdjusted R 2  Cyst sizeb vs. age3,810.80.0300.00250.035 Width vs. age5.710.90.046<0.00010.137 Height vs. age4.07.70.0210.00010.058RelationshipMean intercept (mm2)Upper bound (mm2)a Slope (mm2/month) p valueAdjusted R 2  Area vs. age19.666.90.250.00020.053 aThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used bMaximum diameter of the cyst(s) within the pineal gland Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d) Results of linear regression analysis: cystic pineal gland size versus age aThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used bMaximum diameter of the cyst(s) within the pineal gland The measurements of pineal width, height, and cyst size showed ICCs of 0.995 (95 % confidence interval [CI] 0.989–0.998), 0.996 (95 % CI 0.992–0.998), and 0.998 (95 % CI 0.996–0.999), respectively. Figure 2 shows the distribution of male and female cases for each age category (52.2 % male, 47.8 % female). The Kolmogorov-Smirnov test did not reject the null hypothesis that the variable age of female and male subsamples came from the same continuous distribution (p = 0.37). The χ2 test did not show a statistically significant interaction between age and gender; therefore, we assumed that the age distribution did not relate to gender (p = 0.53). Levene’s test showed that the homoscedasticity assumption (homogeneity of variance) was met by all gland size variables (area had to be log transformed) across the age intervals by gender (Appendix A). The two-way ANOVA showed that age significantly predicted the size variables (width, height, area, and cyst size), whereas gender did not predict gland size. None of the interaction terms were statistically significant for gland size, but the interaction term age*gender was statistically significant for cyst size (Appendix A). Post hoc analysis suggests that especially in the first year of age, the size parameters increased substantially; all size parameters were significantly lower than in the other age categories (Appendix B).Fig. 2Frequency distribution of cases across the size categories by gender Frequency distribution of cases across the size categories by gender Figure 3 shows the linear regression analysis of pineal width, height, area, and cyst size, with each having a 99 % prediction interval. The upper (and lower) 99 % prediction intervals approach linearity and therefore share the slope with the regression line (Table 2). Because the interaction term age*gender was statistically significant for cyst size, we also plotted the separate regression lines for male and female (Fig. 3d); even though the regression lines of male and female patients indeed deviate, the differences are not large and based on visual assessment differentiation by gender is not necessary, and the summary regression line and 99 % prediction interval can be used in our view. The data suggests a rapid size increase in the first year(s) of age and a decrease towards the fourth and fifth year of age, which might be better described by a quadratic function (Appendix C). We therefore also plotted quadratic regression line with 99 % prediction interval for each size variable (Appendix D). Appendix E shows the results from quadratic regression of all size variables. The values of the adjusted R2 of the regression analysis showed a better fit for all size parameters in quadratic regression compared to linear regression (Table 2 and Appendix E).Fig. 3Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d)Table 2Results of linear regression analysis: cystic pineal gland size versus ageRelationshipMean intercept (mm)Upper bound (mm)a Slope (mm/month) p valueAdjusted R 2  Cyst sizeb vs. age3,810.80.0300.00250.035 Width vs. age5.710.90.046<0.00010.137 Height vs. age4.07.70.0210.00010.058RelationshipMean intercept (mm2)Upper bound (mm2)a Slope (mm2/month) p valueAdjusted R 2  Area vs. age19.666.90.250.00020.053 aThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used bMaximum diameter of the cyst(s) within the pineal gland Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d) Results of linear regression analysis: cystic pineal gland size versus age aThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used bMaximum diameter of the cyst(s) within the pineal gland Morphology of the cystic pineal gland and classification Of the 232 patients, 45.3 % showed a singular cyst (mean size 3.0 mm (SD 2.1, range 0.7–11.2 mm)) and 54.7 % a multicystic pineal gland (mean size of the cystic part 5.9 mm (SD 2.4, range 2.0–16.1 mm)). The classification of the cystic pineal glands according to the classification system is shown in Table 3; examples are shown in Fig. 4. Appendix F shows the mean gland areas of male and female cases for each cyst classification. Pineal glands with cysts of the fourth class were considerably larger than the glands in the other three categories (p < 0.0001, Mann-Whitney U test; appendix F).Table 3Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basisTypeSuffixTotal (100 %)abc1103 (88.0 %)12 (10.3 %)2 (1.7 %)117223 (63.9 %)13 (36.1 %)0 (0.0 %)36329 (48.3 %)31 (51.7 %)0 (0.0 %)60411 (25.0 %)22 (50.0 %)11 (25.0 %)44Total166 (64.6 %)78 (30.4 %)13 (5.1 %)257Fig. 4Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basis Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c Of the 232 patients, 45.3 % showed a singular cyst (mean size 3.0 mm (SD 2.1, range 0.7–11.2 mm)) and 54.7 % a multicystic pineal gland (mean size of the cystic part 5.9 mm (SD 2.4, range 2.0–16.1 mm)). The classification of the cystic pineal glands according to the classification system is shown in Table 3; examples are shown in Fig. 4. Appendix F shows the mean gland areas of male and female cases for each cyst classification. Pineal glands with cysts of the fourth class were considerably larger than the glands in the other three categories (p < 0.0001, Mann-Whitney U test; appendix F).Table 3Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basisTypeSuffixTotal (100 %)abc1103 (88.0 %)12 (10.3 %)2 (1.7 %)117223 (63.9 %)13 (36.1 %)0 (0.0 %)36329 (48.3 %)31 (51.7 %)0 (0.0 %)60411 (25.0 %)22 (50.0 %)11 (25.0 %)44Total166 (64.6 %)78 (30.4 %)13 (5.1 %)257Fig. 4Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basis Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c Follow-up Of the 25 children with available follow-up imaging (median 12 months, range 3 to 49 months, 11 males, 14 females), 48 % showed a singular pineal gland cyst and 52 % a multicystic pineal gland. Stable cystic findings were found in 48 %, cyst size increase in 36 % and decrease in 16 % (Fig. 5). Eighty-three percent (5/6) of the children with follow-up examinations performed within 6 months showed a stable finding (Table 4).In 2 children (17 %), the follow-up exam showed a development of the initial singular cyst to a multicystic pineal gland (Fig. 5). At both time points, all 25 children showed size parameters (width, height, area, and cyst size) that remained below the upper 99 % prediction bound.Fig. 5Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 monthsTable 4Pineal gland size changes over timeTime between examinationsEvaluation of the pineal gland size over timeTotalStableIncreaseDecrease<6 months5 (83 %)1 (17 %)0 (0 %)6 (24 %)6–12 months3 (50 %)1 (17 %)2 (33 %)6 (24 %)12–24 months2 (40 %)1 (20 %)2(40 %)5 (20 %)24–36 months1 (20 %)4 (80 %)0 (0 %)5 (20 %)36–48 months0 (0 %)2 (100 %)0 (0 %)2 (8 %)48–60 months1 (100 %)0 (0 %)0 (0 %)1 (4 %)Total12 (48 %)9 (36 %)4 (16 %)25 (100 %) Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 months Pineal gland size changes over time Of the 25 children with available follow-up imaging (median 12 months, range 3 to 49 months, 11 males, 14 females), 48 % showed a singular pineal gland cyst and 52 % a multicystic pineal gland. Stable cystic findings were found in 48 %, cyst size increase in 36 % and decrease in 16 % (Fig. 5). Eighty-three percent (5/6) of the children with follow-up examinations performed within 6 months showed a stable finding (Table 4).In 2 children (17 %), the follow-up exam showed a development of the initial singular cyst to a multicystic pineal gland (Fig. 5). At both time points, all 25 children showed size parameters (width, height, area, and cyst size) that remained below the upper 99 % prediction bound.Fig. 5Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 monthsTable 4Pineal gland size changes over timeTime between examinationsEvaluation of the pineal gland size over timeTotalStableIncreaseDecrease<6 months5 (83 %)1 (17 %)0 (0 %)6 (24 %)6–12 months3 (50 %)1 (17 %)2 (33 %)6 (24 %)12–24 months2 (40 %)1 (20 %)2(40 %)5 (20 %)24–36 months1 (20 %)4 (80 %)0 (0 %)5 (20 %)36–48 months0 (0 %)2 (100 %)0 (0 %)2 (8 %)48–60 months1 (100 %)0 (0 %)0 (0 %)1 (4 %)Total12 (48 %)9 (36 %)4 (16 %)25 (100 %) Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 months Pineal gland size changes over time Comparison with pineoblastoma In Fig. 6, we compared the width of the normal cystic glands with the regression line with 99 % prediction interval with the maximum diameter of several pineoblastomas from which we were able to collect data. A considerable number of pineoblastomas overlapped in terms of size with the sizes of normal cystic pineal glands. Especially of interest are the cystic (n = 2), partly cystic (n = 1), and maybe those of unknown type (n = 6) in asymptomatic pineoblastomas (Fig. 6a). Three cystic and one partly cystic pineoblastoma had a larger maximum diameter than the 99 % upper prediction margin (Fig. 6a). In Fig. 7, we present our guidelines (flowchart) for the follow-up of the cystic and solid (see part I) pineal gland in children with retinoblastoma.Fig. 6Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mmFig. 7Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mm Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate In Fig. 6, we compared the width of the normal cystic glands with the regression line with 99 % prediction interval with the maximum diameter of several pineoblastomas from which we were able to collect data. A considerable number of pineoblastomas overlapped in terms of size with the sizes of normal cystic pineal glands. Especially of interest are the cystic (n = 2), partly cystic (n = 1), and maybe those of unknown type (n = 6) in asymptomatic pineoblastomas (Fig. 6a). Three cystic and one partly cystic pineoblastoma had a larger maximum diameter than the 99 % upper prediction margin (Fig. 6a). In Fig. 7, we present our guidelines (flowchart) for the follow-up of the cystic and solid (see part I) pineal gland in children with retinoblastoma.Fig. 6Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mmFig. 7Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mm Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate Size of the cystic pineal gland and the pineal cyst(s): The measurements of pineal width, height, and cyst size showed ICCs of 0.995 (95 % confidence interval [CI] 0.989–0.998), 0.996 (95 % CI 0.992–0.998), and 0.998 (95 % CI 0.996–0.999), respectively. Figure 2 shows the distribution of male and female cases for each age category (52.2 % male, 47.8 % female). The Kolmogorov-Smirnov test did not reject the null hypothesis that the variable age of female and male subsamples came from the same continuous distribution (p = 0.37). The χ2 test did not show a statistically significant interaction between age and gender; therefore, we assumed that the age distribution did not relate to gender (p = 0.53). Levene’s test showed that the homoscedasticity assumption (homogeneity of variance) was met by all gland size variables (area had to be log transformed) across the age intervals by gender (Appendix A). The two-way ANOVA showed that age significantly predicted the size variables (width, height, area, and cyst size), whereas gender did not predict gland size. None of the interaction terms were statistically significant for gland size, but the interaction term age*gender was statistically significant for cyst size (Appendix A). Post hoc analysis suggests that especially in the first year of age, the size parameters increased substantially; all size parameters were significantly lower than in the other age categories (Appendix B).Fig. 2Frequency distribution of cases across the size categories by gender Frequency distribution of cases across the size categories by gender Figure 3 shows the linear regression analysis of pineal width, height, area, and cyst size, with each having a 99 % prediction interval. The upper (and lower) 99 % prediction intervals approach linearity and therefore share the slope with the regression line (Table 2). Because the interaction term age*gender was statistically significant for cyst size, we also plotted the separate regression lines for male and female (Fig. 3d); even though the regression lines of male and female patients indeed deviate, the differences are not large and based on visual assessment differentiation by gender is not necessary, and the summary regression line and 99 % prediction interval can be used in our view. The data suggests a rapid size increase in the first year(s) of age and a decrease towards the fourth and fifth year of age, which might be better described by a quadratic function (Appendix C). We therefore also plotted quadratic regression line with 99 % prediction interval for each size variable (Appendix D). Appendix E shows the results from quadratic regression of all size variables. The values of the adjusted R2 of the regression analysis showed a better fit for all size parameters in quadratic regression compared to linear regression (Table 2 and Appendix E).Fig. 3Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d)Table 2Results of linear regression analysis: cystic pineal gland size versus ageRelationshipMean intercept (mm)Upper bound (mm)a Slope (mm/month) p valueAdjusted R 2  Cyst sizeb vs. age3,810.80.0300.00250.035 Width vs. age5.710.90.046<0.00010.137 Height vs. age4.07.70.0210.00010.058RelationshipMean intercept (mm2)Upper bound (mm2)a Slope (mm2/month) p valueAdjusted R 2  Area vs. age19.666.90.250.00020.053 aThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used bMaximum diameter of the cyst(s) within the pineal gland Linear regression line with 99 % prediction intervals of width (a), height (b), area (c), and cyst size (d) Results of linear regression analysis: cystic pineal gland size versus age aThe upper 99 % prediction bound approaches linearity; therefore, the slope of the linear regression line can be used bMaximum diameter of the cyst(s) within the pineal gland Morphology of the cystic pineal gland and classification: Of the 232 patients, 45.3 % showed a singular cyst (mean size 3.0 mm (SD 2.1, range 0.7–11.2 mm)) and 54.7 % a multicystic pineal gland (mean size of the cystic part 5.9 mm (SD 2.4, range 2.0–16.1 mm)). The classification of the cystic pineal glands according to the classification system is shown in Table 3; examples are shown in Fig. 4. Appendix F shows the mean gland areas of male and female cases for each cyst classification. Pineal glands with cysts of the fourth class were considerably larger than the glands in the other three categories (p < 0.0001, Mann-Whitney U test; appendix F).Table 3Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basisTypeSuffixTotal (100 %)abc1103 (88.0 %)12 (10.3 %)2 (1.7 %)117223 (63.9 %)13 (36.1 %)0 (0.0 %)36329 (48.3 %)31 (51.7 %)0 (0.0 %)60411 (25.0 %)22 (50.0 %)11 (25.0 %)44Total166 (64.6 %)78 (30.4 %)13 (5.1 %)257Fig. 4Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c Classification of the cystic pineal gland according to the classification system shown in Table 1 with size suffix (a ≤5 mm, b 6–9 mm, c ≥10 mm) on a per-scan basis Examples for the cystic pineal gland classification (arrows: pineal cysts, arrowhead: marked shift of the margin of the pineal gland). a Singular pineal cysts rated 1b, b multicystic pineal gland without enlargement rated 2a, c multicystic pineal gland with enlargement without shift of the margin rated 3b, and d large multicystic pineal gland with enlargement and shift of the margin rated 4c Follow-up: Of the 25 children with available follow-up imaging (median 12 months, range 3 to 49 months, 11 males, 14 females), 48 % showed a singular pineal gland cyst and 52 % a multicystic pineal gland. Stable cystic findings were found in 48 %, cyst size increase in 36 % and decrease in 16 % (Fig. 5). Eighty-three percent (5/6) of the children with follow-up examinations performed within 6 months showed a stable finding (Table 4).In 2 children (17 %), the follow-up exam showed a development of the initial singular cyst to a multicystic pineal gland (Fig. 5). At both time points, all 25 children showed size parameters (width, height, area, and cyst size) that remained below the upper 99 % prediction bound.Fig. 5Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 monthsTable 4Pineal gland size changes over timeTime between examinationsEvaluation of the pineal gland size over timeTotalStableIncreaseDecrease<6 months5 (83 %)1 (17 %)0 (0 %)6 (24 %)6–12 months3 (50 %)1 (17 %)2 (33 %)6 (24 %)12–24 months2 (40 %)1 (20 %)2(40 %)5 (20 %)24–36 months1 (20 %)4 (80 %)0 (0 %)5 (20 %)36–48 months0 (0 %)2 (100 %)0 (0 %)2 (8 %)48–60 months1 (100 %)0 (0 %)0 (0 %)1 (4 %)Total12 (48 %)9 (36 %)4 (16 %)25 (100 %) Follow-up of three patients with cystic pineal glands. a Polycystic pineal gland with decreasing cystic part especially in the anterior part of the cystic gland in the follow-up exam b after 11 months. c Polycystic pineal gland with an increase of the cystic part in the follow-up d after 28 months. e Initial exam of patient 1 with pineal gland type 1 (singular cyst) with development to a multicystic pineal gland in the follow-up exam after 47 months Pineal gland size changes over time Comparison with pineoblastoma: In Fig. 6, we compared the width of the normal cystic glands with the regression line with 99 % prediction interval with the maximum diameter of several pineoblastomas from which we were able to collect data. A considerable number of pineoblastomas overlapped in terms of size with the sizes of normal cystic pineal glands. Especially of interest are the cystic (n = 2), partly cystic (n = 1), and maybe those of unknown type (n = 6) in asymptomatic pineoblastomas (Fig. 6a). Three cystic and one partly cystic pineoblastoma had a larger maximum diameter than the 99 % upper prediction margin (Fig. 6a). In Fig. 7, we present our guidelines (flowchart) for the follow-up of the cystic and solid (see part I) pineal gland in children with retinoblastoma.Fig. 6Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mmFig. 7Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate Cystic pineal gland width (mm) versus a the maximum diameter (mm) of only asymptomatic pineoblastomas, b of all pineoblastomas, and c of only symptomatic pineoblastomas. TRb = trilateral retinoblastoma. *99 % prediction intervals. †Of these pineoblastomas, the maximum diameter ranged from 5–15 mm Consensus flowchart of the ERIC group for the evaluation, pineal gland follow-up, and necessity of treatment in children with retinoblastoma (sizes within the 99 % prediction intervals are considered normal for solid glands [part I] and type 1 and 2 cystic glands [this part]. †With a focus on the morphology: irregular or atypical aspect of the solid part in terms of shape, signal alteration, or irregular enhancement. §In case of a cystic gland, the focus of size change should be on the solid part. ‡Age-appropriate growth within 99 % prediction interval. *Not age appropriate/disproportionate Discussion: Cystic pineal glands are a frequent finding in children [7, 8] and are a challenge for radiologists and clinicians especially in the first years of life, because in this age group, rating of the size is difficult and imaging parameters can be very similar to cystic pineal pathologies [3, 13, 14]. We believe that knowledge of the normal size and morphology of the cystic pineal gland might be helpful for this differentiation. Until now, only a few studies exist evaluating the size of the pineal gland in childhood, mostly without differentiating between the solid and the cystic pineal gland and with low patient numbers between an age of 0 and 5 years [7, 8, 11, 15]. Additionally, different size parameters were used in the studies; therefore, the results are difficult to compare. We used measurements of height and width of the pineal gland and of the maximum cyst(s) size on sagittal high-resolution T2-weighted images and calculation of the planimetric area to provide a practical clinical approach. In our experience, it is more difficult to detect pineal cysts on postgadolinium T1-weighted images, because of the diffusion of contrast agent into the cysts. In accordance to the literature, age significantly predicted pineal size variables in our study [7, 8]. Interestingly, our data suggests a rapid increase of the pineal gland and the cyst size in the first year(s) of age and a decrease toward the fourth and fifth year of age. One possible explanation might be that melatonin (the principle secretory product of the pineal) reaches its highest levels at the age of 1–3 years and drops by 80 % by adolescence [16], which could be related to pineal gland size. Gender did not predict gland size in our study in accordance to prior studies [7, 8]. Altogether, our age-adapted normal values might serve as a reference standard for the size parameters of the pineal gland and the pineal cyst(s) in the first years of age. Knowledge of the normal size of the pineal gland is important for the differentiation to cystic pineal pathologies. As the ERIC, we are especially interested in the differentiation of pineal cysts from cystic pineoblastoma. Normal values for pineal size of children without retinoblastoma are expected to be also applicable in children with retinoblastoma, because it has been shown that pineal gland size is comparable in retinoblastoma patients and age-matched controls [6]. Pineoblastoma typically develops within the first 5 years of life with an incidence of 3–4 % in children with hereditary retinoblastoma [2] and a much better survival has been shown for asymptomatic patients and patients with small tumors (≤15 mm) in a recent meta-analysis about trilateral retinoblastoma [1]. The comparison of our normal values of the cystic pineal gland size parameters to the available patients of this meta-analysis showed that some of the asymptomatic (partly) cystic pineoblastomas might have been classified as abnormal based on size alone. Therefore, we believe that our normal values may be helpful to detect and treat (partly) cystic pineoblastomas earlier with resulting better survival, as shown by the meta-analysis [1]. Nevertheless, other additional parameters such as evaluation of the solid part in terms of morphology (irregularity and changes over time), contrast enhancement, and MR signal intensity have to be evaluated further to identify those pineoblastomas with overlap in size. Our presented guidelines for follow-up might be helpful for a standardized evaluation of pineal glands in retinoblastoma. It is the first classification system for the cystic pineal gland based on the number and the morphology of the pineal cysts. The incidence of multicystic pineal glands in children ranges from 3.6 to 74 % in the literature [9, 15], which might be a result of the different imaging parameters. In our patients, we found multicystic pineal glands in 53 %. All multicystic pineal glands with a maximum diameter of more than 1 cm of the cystic part interestingly showed a shift of the gland margin (type 4). The impact of this classification system for the cystic pineal gland for detecting pineoblastoma has to be evaluated in future studies, because the available data of the meta-analysis was insufficient to evaluate this aspect [1]. We were able to show that size and morphology of pineal gland cysts changed over time in our study as suggested before [7, 17]. Al-Holou et al. [12] showed that cysts are more likely to grow or change in younger compared to older children. Several mechanisms for pineal cyst size change have been proposed such as enlargement as a result of hormonal influence, due to hemorrhage or through remaining connection with the ventricular enlargement [8, 18]. Our findings of the pineal and cyst size development between the age of 0 and 5 years together with the results of the patients with follow-up especially support the first hypothesis, because cyst size decreased together with pineal gland size parameters after the age of 3, the time of the known decrease of melatonin [16]. These aspects have to be considered in the evaluation of the cystic pineal gland, because an increase of the cyst or pineal gland size, especially between the first and second year of life, should not be mistaken as pathologic enlargement. Limitations of our study have to be acknowledged. We chose to focus only on the evaluation of size and morphology of the cystic pineal gland, because tumor size has been shown to be a prognostic factor for the outcome of children with pineal trilateral retinoblastoma, and abnormal growth of the pineal gland has been suggested to be the most alerting sign for pineoblastoma. We did not evaluate other parameters such as contrast enhancement or signal intensity; this was already done in prior studies [3–7, 15]. Additionally, due to the retrospective and multicenter character of this work, different MR parameters and scanners were used, which might have influenced our results. In conclusion, we present age-adapted normal values for size and morphology of the cystic pineal gland in children aged 0–5 years without known pineal pathology or retinoblastoma that might be helpful in clinical routine and serve as comparison in future studies of (cystic) pineal pathologies. Analysis of pineal gland size is helpful in discriminating normal solid and cystic glands from pineoblastoma. We presented guidelines for the approach of a solid or cystic pineal gland in hereditary retinoblastoma patients. Electronic supplementary material: Below is the link to the electronic supplementary material.ESM 1(PDF 69 kb)ESM 2(PDF 49 kb)ESM 3(PDF 147 kb)ESM 4(PDF 399 kb)ESM 5(PDF 114 kb) (PDF 69 kb) (PDF 49 kb) (PDF 147 kb) (PDF 399 kb) (PDF 114 kb) Below is the link to the electronic supplementary material.ESM 1(PDF 69 kb)ESM 2(PDF 49 kb)ESM 3(PDF 147 kb)ESM 4(PDF 399 kb)ESM 5(PDF 114 kb) (PDF 69 kb) (PDF 49 kb) (PDF 147 kb) (PDF 399 kb) (PDF 114 kb) : Below is the link to the electronic supplementary material.ESM 1(PDF 69 kb)ESM 2(PDF 49 kb)ESM 3(PDF 147 kb)ESM 4(PDF 399 kb)ESM 5(PDF 114 kb) (PDF 69 kb) (PDF 49 kb) (PDF 147 kb) (PDF 399 kb) (PDF 114 kb)
Background: Pineal cysts are a common incidental finding on brain MRI with resulting difficulties in differentiation between normal glands and pineal pathologies. The aim of this study was to assess the size and morphology of the cystic pineal gland in children (0-5 years) and compare the findings with published pineoblastoma cases. Methods: In this retrospective multicenter study, 257 MR examinations (232 children, 0-5 years) were evaluated regarding pineal gland size (width, height, planimetric area, maximal cyst(s) size) and morphology. We performed linear regression analysis with 99 % prediction intervals of gland size versus age for the size parameters. Results were compared with a recent meta-analysis of pineoblastoma by de Jong et al. Results: Follow-up was available in 25 children showing stable cystic findings in 48 %, cyst size increase in 36 %, and decrease in 16 %. Linear regression analysis gave 99 % upper prediction bounds of 10.8 mm, 10.9 mm, 7.7 mm and 66.9 mm(2), respectively, for cyst size, width, height, and area. The slopes (size increase per month) of each parameter were 0.030, 0.046, 0.021, and 0.25, respectively. Most of the pineoblastomas showed a size larger than the 99 % upper prediction margin, but with considerable overlap between the groups. Conclusions: We presented age-adapted normal values for size and morphology of the cystic pineal gland in children aged 0 to 5 years. Analysis of size is helpful in discriminating normal glands from cystic pineal pathologies such as pineoblastoma. We also presented guidelines for the approach of a solid or cystic pineal gland in hereditary retinoblastoma patients.
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[ 314, 91, 315, 112, 753, 456, 561, 528, 57 ]
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[ "pineal", "gland", "pineal gland", "size", "cystic", "age", "mm", "cyst", "cystic pineal", "patients" ]
[ "cystic pineoblastomas earlier", "retinoblastoma shown pineal", "cysts cystic pineoblastoma", "pineal glands retinoblastoma", "hereditary retinoblastoma pineoblastoma" ]
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[CONTENT] Pineal gland | Pineoblastoma | Retinoblastoma | Pediatric | Gland size [SUMMARY]
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[CONTENT] Pineal gland | Pineoblastoma | Retinoblastoma | Pediatric | Gland size [SUMMARY]
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[CONTENT] Pineal gland | Pineoblastoma | Retinoblastoma | Pediatric | Gland size [SUMMARY]
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[CONTENT] Brain Neoplasms | Central Nervous System Cysts | Child, Preschool | Diagnosis, Differential | Europe | Female | Humans | Infant | Infant, Newborn | Magnetic Resonance Imaging | Male | Pineal Gland | Pinealoma | Reference Values | Reproducibility of Results | Retrospective Studies | Sensitivity and Specificity [SUMMARY]
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[CONTENT] Brain Neoplasms | Central Nervous System Cysts | Child, Preschool | Diagnosis, Differential | Europe | Female | Humans | Infant | Infant, Newborn | Magnetic Resonance Imaging | Male | Pineal Gland | Pinealoma | Reference Values | Reproducibility of Results | Retrospective Studies | Sensitivity and Specificity [SUMMARY]
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[CONTENT] Brain Neoplasms | Central Nervous System Cysts | Child, Preschool | Diagnosis, Differential | Europe | Female | Humans | Infant | Infant, Newborn | Magnetic Resonance Imaging | Male | Pineal Gland | Pinealoma | Reference Values | Reproducibility of Results | Retrospective Studies | Sensitivity and Specificity [SUMMARY]
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[CONTENT] cystic pineoblastomas earlier | retinoblastoma shown pineal | cysts cystic pineoblastoma | pineal glands retinoblastoma | hereditary retinoblastoma pineoblastoma [SUMMARY]
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[CONTENT] cystic pineoblastomas earlier | retinoblastoma shown pineal | cysts cystic pineoblastoma | pineal glands retinoblastoma | hereditary retinoblastoma pineoblastoma [SUMMARY]
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[CONTENT] cystic pineoblastomas earlier | retinoblastoma shown pineal | cysts cystic pineoblastoma | pineal glands retinoblastoma | hereditary retinoblastoma pineoblastoma [SUMMARY]
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[CONTENT] pineal | gland | pineal gland | size | cystic | age | mm | cyst | cystic pineal | patients [SUMMARY]
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[CONTENT] pineal | gland | pineal gland | size | cystic | age | mm | cyst | cystic pineal | patients [SUMMARY]
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[CONTENT] pineal | gland | pineal gland | size | cystic | age | mm | cyst | cystic pineal | patients [SUMMARY]
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[CONTENT] pineal | pineal gland | gland | pineoblastoma | age | normal | size | retinoblastoma | children | cystic [SUMMARY]
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[CONTENT] pineal | gland | size | pineal gland | regression | cystic | 99 | 99 prediction | prediction | cyst [SUMMARY]
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[CONTENT] pineal | gland | pineal gland | pdf | kb | size | cystic | age | patients | mm [SUMMARY]
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[CONTENT] Pineal ||| 0-5 years [SUMMARY]
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[CONTENT] 25 | 48 % | 36 % | 16 % ||| Linear | 99 % | 10.8 mm | 10.9 mm | 7.7 mm | 66.9 ||| 0.030 | 0.046 | 0.021 | 0.25 ||| the 99 % [SUMMARY]
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[CONTENT] Pineal ||| 0-5 years ||| 257 | 232 | 0-5 years ||| linear | 99 % ||| ||| de Jong | al. | 25 | 48 % | 36 % | 16 % ||| Linear | 99 % | 10.8 mm | 10.9 mm | 7.7 mm | 66.9 ||| 0.030 | 0.046 | 0.021 | 0.25 ||| the 99 % ||| 0 to 5 years ||| ||| [SUMMARY]
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The effect and safety of Bushen Huoxue Method combined with cyclophosphamide in the treatment of systemic lupus erythematosus: A protocol for systematic review and meta-analysis.
36451435
Systemic lupus erythematosus (SLE) is an autoimmune disease that involves multiple systemic organs. Bushen Huoxue Method (BSHXM) is a traditional Chinese medicine treatment, which is used for the treatment of SLE combining with cyclophosphamide. However, no systematic review has been performed to describe its effectiveness. This study provides a protocol for systematic review and meta-analysis of currently published randomized controlled trials (RCTs) reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE, thus providing evidences to support clinical practice.
BACKGROUND
RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE before October 2022 will be searched in the online databases, including the PubMed, Cochrane, Embase, Web of Science, CNKI, Wanfang, VIP databases and CBM. The Cochrane Risk of Bias 2 (RoB2) tool will be used to evaluate the quality of included RCTs. Meta-analysis will be performed using Stata 14.0.
METHODS
Results to be published in a peer-reviewed journal providing evidence for the efficacy and safety of the combination of BSHXM and cyclophosphamide on the treatment of SLE.
RESULTS
This study will provide a strong basis for the effectiveness and safety of the combination of BSHXM and cyclophosphamide on the treatment of SLE.
CONCLUSIONS
[ "Humans", "Systematic Reviews as Topic", "Meta-Analysis as Topic", "Cyclophosphamide", "Lupus Erythematosus, Systemic", "Randomized Controlled Trials as Topic" ]
9704948
1. Introduction
Systemic lupus erythematosus (SLE) is autoimmune-mediated and diffuse connective tissue disease that is highlighted by an immune inflammatory response.[1] The clinical manifestations of SLE are complex, with fever and facial butterfly erythema as the typical manifestations. SLE not only damages the skin, mucous membranes and joints, but also often harms internal organs like the heart, lung, liver, kidney, and blood system. It eventually causes multisystem damage.[2] Conventional Western medicine for the treatment of SLE includes glucocorticoids, immunosuppressants, nonsteroidal anti-inflammatory drugs, and biological agents.[3,4] However, long-term use of drugs causes adverse events, which should not be underestimated.[5] Therefore, novel treatment methods need to be developed. SLE belongs to the category of “butterfly sore,” “horse sore,” and “sun sore” in the traditional Chinese medicine (TCM).[6] TCM has good therapeutic prospects and achieves good therapeutic outcomes for SLE due to its low side effects and multi-targeting characteristics.[7] The TCM theory believes that SLE is usually caused by congenital deficiency of endowment, deficiency of kidney yin, imbalance of yin and yang, imbalance of qi and blood, and stagnation of qi and blood stasis.[8] Deficiency of kidney yin, combined with external evil from six sexes, or exertion or emotional injury, resulting in deficiency of true yin, internal heat stasis, paralysis and obstruction of veins and channels, external invasion of the skin, and internal organ damages.[9] Tonifying the kidneys is the general principle for the treatment of SLE. The long-term course of SLE would result in the entrance of evil into the ligaments and blockage caused by the stasis of blood.[10] Bushen Huoxue Method (BSHXM) is a common treatment method for SLE in clinical practice, which has achieved good therapeutic effects after long-term clinical practice.[11,12] In China, BSHXM is often used in the combination with cyclophosphamide for the treatment of SLE. However, systematic evaluation on its effects is scant. In this study, we will collect clinical evidence of the combination of BSHXM and cyclophosphamide for the treatment of SLE, thus assessing its efficacy and safety by systematic evaluation and meta-analysis.
2. Methods
2.1. Study registration This protocol has been registered on the International Prospective Register of Systematic Reviews (PROSPERO) with registration number CRD42022357993, basing on the Preferred Reporting Items for Systematic Reviews and Meta-analysis Protocols (PRISMA-P) statement guidelines.[13] This protocol has been registered on the International Prospective Register of Systematic Reviews (PROSPERO) with registration number CRD42022357993, basing on the Preferred Reporting Items for Systematic Reviews and Meta-analysis Protocols (PRISMA-P) statement guidelines.[13] 2.2. Inclusion criteria for study selection 2.2.1. Types of studies. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE. 2.2.2. Types of participants. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin. 2.2.3. Types of interventions. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups. 2.2.4. Outcomes Primary outcome: Total effective rate. Secondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events. Primary outcome: Total effective rate. Secondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events. 2.2.1. Types of studies. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE. 2.2.2. Types of participants. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin. 2.2.3. Types of interventions. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups. 2.2.4. Outcomes Primary outcome: Total effective rate. Secondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events. Primary outcome: Total effective rate. Secondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events. 2.3. Exclusion criteria Duplicate or unpublished literatures. Non-RCTs. Literatures with unclear diagnostic criteria. Literature review or case report. Duplicate or unpublished literatures. Non-RCTs. Literatures with unclear diagnostic criteria. Literature review or case report. 2.4. Searching strategy RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE before October 2022 will be searched in the online databases, including the PubMed, Cochrane, Embase, Web of Science, CNKI, Wanfang, VIP databases, and CBM. MeSH terms and free terms will be searched. The searching strategy in the PubMed was shown in Table 1. Search strategy in PubMed database. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE before October 2022 will be searched in the online databases, including the PubMed, Cochrane, Embase, Web of Science, CNKI, Wanfang, VIP databases, and CBM. MeSH terms and free terms will be searched. The searching strategy in the PubMed was shown in Table 1. Search strategy in PubMed database. 2.5. Data collection and analysis 2.5.1. Literature screening and data extraction. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1. Flow diagram of study selection process. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1. Flow diagram of study selection process. 2.5.2. Assessment of the risk of bias. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes. 2.5.3. Measures of therapeutic efficacy. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated. 2.5.4. Management of missing data. Missing data in the included literatures will be acquired by e-mailing the corresponding author. Missing data in the included literatures will be acquired by e-mailing the corresponding author. 2.5.5. Assessment of heterogeneity and data synthesis. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used. 2.5.6. Assessment of publication biases. Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18] Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18] 2.5.7. Subgroup analysis. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity. 2.5.8. Sensitivity analysis. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures. 2.5.9. Ethics and dissemination. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal. 2.5.1. Literature screening and data extraction. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1. Flow diagram of study selection process. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1. Flow diagram of study selection process. 2.5.2. Assessment of the risk of bias. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes. 2.5.3. Measures of therapeutic efficacy. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated. 2.5.4. Management of missing data. Missing data in the included literatures will be acquired by e-mailing the corresponding author. Missing data in the included literatures will be acquired by e-mailing the corresponding author. 2.5.5. Assessment of heterogeneity and data synthesis. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used. 2.5.6. Assessment of publication biases. Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18] Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18] 2.5.7. Subgroup analysis. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity. 2.5.8. Sensitivity analysis. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures. 2.5.9. Ethics and dissemination. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal.
null
null
null
null
[ "2.1. Study registration", "2.2. Inclusion criteria for study selection", "2.2.1. Types of studies.", "2.2.2. Types of participants.", "2.2.3. Types of interventions.", "2.2.4. Outcomes", "2.3. Exclusion criteria", "2.4. Searching strategy", "2.5. Data collection and analysis", "2.5.1. Literature screening and data extraction.", "2.5.2. Assessment of the risk of bias.", "2.5.3. Measures of therapeutic efficacy.", "2.5.4. Management of missing data.", "2.5.5. Assessment of heterogeneity and data synthesis.", "2.5.6. Assessment of publication biases.", "2.5.7. Subgroup analysis.", "2.5.8. Sensitivity analysis.", "2.5.9. Ethics and dissemination.", "Author contributions" ]
[ "This protocol has been registered on the International Prospective Register of Systematic Reviews (PROSPERO) with registration number CRD42022357993, basing on the Preferred Reporting Items for Systematic Reviews and Meta-analysis Protocols (PRISMA-P) statement guidelines.[13]", "2.2.1. Types of studies. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE.\nRCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE.\n2.2.2. Types of participants. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin.\nSLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin.\n2.2.3. Types of interventions. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups.\nThe combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups.\n2.2.4. Outcomes Primary outcome: Total effective rate.\nSecondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events.\nPrimary outcome: Total effective rate.\nSecondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events.", "RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE.", "SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin.", "The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups.", "Primary outcome: Total effective rate.\nSecondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events.", "Duplicate or unpublished literatures.\nNon-RCTs.\nLiteratures with unclear diagnostic criteria.\nLiterature review or case report.", "RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE before October 2022 will be searched in the online databases, including the PubMed, Cochrane, Embase, Web of Science, CNKI, Wanfang, VIP databases, and CBM. MeSH terms and free terms will be searched. The searching strategy in the PubMed was shown in Table 1.\nSearch strategy in PubMed database.", "2.5.1. Literature screening and data extraction. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1.\nFlow diagram of study selection process.\nAll literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1.\nFlow diagram of study selection process.\n2.5.2. Assessment of the risk of bias. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes.\nThe Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes.\n2.5.3. Measures of therapeutic efficacy. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated.\nRelative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated.\n2.5.4. Management of missing data. Missing data in the included literatures will be acquired by e-mailing the corresponding author.\nMissing data in the included literatures will be acquired by e-mailing the corresponding author.\n2.5.5. Assessment of heterogeneity and data synthesis. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used.\nStata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used.\n2.5.6. Assessment of publication biases. Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18]\nFunnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18]\n2.5.7. Subgroup analysis. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity.\nSubgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity.\n2.5.8. Sensitivity analysis. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures.\nSensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures.\n2.5.9. Ethics and dissemination. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal.\nAs this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal.", "All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1.\nFlow diagram of study selection process.", "The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes.", "Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated.", "Missing data in the included literatures will be acquired by e-mailing the corresponding author.", "Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used.", "Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18]", "Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity.", "Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures.", "As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal.", "Resources: Fengming Dai.\nData collection: Fengming Dai.\nWriting—original draft: Huihui Mao and Zonghua Du.\nWriting—review and editing: Huihui Mao and Zonghua Du.\nFunding support: Zonghua Du.\nSupervision: Zonghua Du.\nSoftware operating: Fengming Dai.\nConceptualization: Huihui Mao, Zonghua Du.\nData curation: Huihui Mao, Fengming Dai.\nFunding acquisition: Zonghua Du.\nInvestigation: Huihui Mao, Fengming Dai.\nMethodology: Fengming Dai.\nResources: Fengming Dai, Zonghua Du.\nSoftware: Fengming Dai.\nSoftware: Zonghua Du.\nValidation: Zonghua Du.\nVisualization: Zonghua Du.\nWriting—original draft: Huihui Mao, Zonghua Du.\nWriting—review and editing: Huihui Mao." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "1. Introduction", "2. Methods", "2.1. Study registration", "2.2. Inclusion criteria for study selection", "2.2.1. Types of studies.", "2.2.2. Types of participants.", "2.2.3. Types of interventions.", "2.2.4. Outcomes", "2.3. Exclusion criteria", "2.4. Searching strategy", "2.5. Data collection and analysis", "2.5.1. Literature screening and data extraction.", "2.5.2. Assessment of the risk of bias.", "2.5.3. Measures of therapeutic efficacy.", "2.5.4. Management of missing data.", "2.5.5. Assessment of heterogeneity and data synthesis.", "2.5.6. Assessment of publication biases.", "2.5.7. Subgroup analysis.", "2.5.8. Sensitivity analysis.", "2.5.9. Ethics and dissemination.", "3. Discussion", "Author contributions" ]
[ "Systemic lupus erythematosus (SLE) is autoimmune-mediated and diffuse connective tissue disease that is highlighted by an immune inflammatory response.[1] The clinical manifestations of SLE are complex, with fever and facial butterfly erythema as the typical manifestations. SLE not only damages the skin, mucous membranes and joints, but also often harms internal organs like the heart, lung, liver, kidney, and blood system. It eventually causes multisystem damage.[2] Conventional Western medicine for the treatment of SLE includes glucocorticoids, immunosuppressants, nonsteroidal anti-inflammatory drugs, and biological agents.[3,4] However, long-term use of drugs causes adverse events, which should not be underestimated.[5] Therefore, novel treatment methods need to be developed.\nSLE belongs to the category of “butterfly sore,” “horse sore,” and “sun sore” in the traditional Chinese medicine (TCM).[6] TCM has good therapeutic prospects and achieves good therapeutic outcomes for SLE due to its low side effects and multi-targeting characteristics.[7] The TCM theory believes that SLE is usually caused by congenital deficiency of endowment, deficiency of kidney yin, imbalance of yin and yang, imbalance of qi and blood, and stagnation of qi and blood stasis.[8] Deficiency of kidney yin, combined with external evil from six sexes, or exertion or emotional injury, resulting in deficiency of true yin, internal heat stasis, paralysis and obstruction of veins and channels, external invasion of the skin, and internal organ damages.[9] Tonifying the kidneys is the general principle for the treatment of SLE. The long-term course of SLE would result in the entrance of evil into the ligaments and blockage caused by the stasis of blood.[10] Bushen Huoxue Method (BSHXM) is a common treatment method for SLE in clinical practice, which has achieved good therapeutic effects after long-term clinical practice.[11,12]\nIn China, BSHXM is often used in the combination with cyclophosphamide for the treatment of SLE. However, systematic evaluation on its effects is scant. In this study, we will collect clinical evidence of the combination of BSHXM and cyclophosphamide for the treatment of SLE, thus assessing its efficacy and safety by systematic evaluation and meta-analysis.", "2.1. Study registration This protocol has been registered on the International Prospective Register of Systematic Reviews (PROSPERO) with registration number CRD42022357993, basing on the Preferred Reporting Items for Systematic Reviews and Meta-analysis Protocols (PRISMA-P) statement guidelines.[13]\nThis protocol has been registered on the International Prospective Register of Systematic Reviews (PROSPERO) with registration number CRD42022357993, basing on the Preferred Reporting Items for Systematic Reviews and Meta-analysis Protocols (PRISMA-P) statement guidelines.[13]\n2.2. Inclusion criteria for study selection 2.2.1. Types of studies. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE.\nRCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE.\n2.2.2. Types of participants. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin.\nSLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin.\n2.2.3. Types of interventions. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups.\nThe combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups.\n2.2.4. Outcomes Primary outcome: Total effective rate.\nSecondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events.\nPrimary outcome: Total effective rate.\nSecondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events.\n2.2.1. Types of studies. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE.\nRCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE.\n2.2.2. Types of participants. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin.\nSLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin.\n2.2.3. Types of interventions. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups.\nThe combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups.\n2.2.4. Outcomes Primary outcome: Total effective rate.\nSecondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events.\nPrimary outcome: Total effective rate.\nSecondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events.\n2.3. Exclusion criteria Duplicate or unpublished literatures.\nNon-RCTs.\nLiteratures with unclear diagnostic criteria.\nLiterature review or case report.\nDuplicate or unpublished literatures.\nNon-RCTs.\nLiteratures with unclear diagnostic criteria.\nLiterature review or case report.\n2.4. Searching strategy RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE before October 2022 will be searched in the online databases, including the PubMed, Cochrane, Embase, Web of Science, CNKI, Wanfang, VIP databases, and CBM. MeSH terms and free terms will be searched. The searching strategy in the PubMed was shown in Table 1.\nSearch strategy in PubMed database.\nRCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE before October 2022 will be searched in the online databases, including the PubMed, Cochrane, Embase, Web of Science, CNKI, Wanfang, VIP databases, and CBM. MeSH terms and free terms will be searched. The searching strategy in the PubMed was shown in Table 1.\nSearch strategy in PubMed database.\n2.5. Data collection and analysis 2.5.1. Literature screening and data extraction. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1.\nFlow diagram of study selection process.\nAll literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1.\nFlow diagram of study selection process.\n2.5.2. Assessment of the risk of bias. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes.\nThe Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes.\n2.5.3. Measures of therapeutic efficacy. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated.\nRelative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated.\n2.5.4. Management of missing data. Missing data in the included literatures will be acquired by e-mailing the corresponding author.\nMissing data in the included literatures will be acquired by e-mailing the corresponding author.\n2.5.5. Assessment of heterogeneity and data synthesis. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used.\nStata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used.\n2.5.6. Assessment of publication biases. Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18]\nFunnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18]\n2.5.7. Subgroup analysis. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity.\nSubgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity.\n2.5.8. Sensitivity analysis. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures.\nSensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures.\n2.5.9. Ethics and dissemination. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal.\nAs this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal.\n2.5.1. Literature screening and data extraction. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1.\nFlow diagram of study selection process.\nAll literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1.\nFlow diagram of study selection process.\n2.5.2. Assessment of the risk of bias. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes.\nThe Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes.\n2.5.3. Measures of therapeutic efficacy. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated.\nRelative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated.\n2.5.4. Management of missing data. Missing data in the included literatures will be acquired by e-mailing the corresponding author.\nMissing data in the included literatures will be acquired by e-mailing the corresponding author.\n2.5.5. Assessment of heterogeneity and data synthesis. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used.\nStata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used.\n2.5.6. Assessment of publication biases. Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18]\nFunnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18]\n2.5.7. Subgroup analysis. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity.\nSubgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity.\n2.5.8. Sensitivity analysis. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures.\nSensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures.\n2.5.9. Ethics and dissemination. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal.\nAs this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal.", "This protocol has been registered on the International Prospective Register of Systematic Reviews (PROSPERO) with registration number CRD42022357993, basing on the Preferred Reporting Items for Systematic Reviews and Meta-analysis Protocols (PRISMA-P) statement guidelines.[13]", "2.2.1. Types of studies. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE.\nRCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE.\n2.2.2. Types of participants. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin.\nSLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin.\n2.2.3. Types of interventions. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups.\nThe combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups.\n2.2.4. Outcomes Primary outcome: Total effective rate.\nSecondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events.\nPrimary outcome: Total effective rate.\nSecondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events.", "RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE.", "SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin.", "The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups.", "Primary outcome: Total effective rate.\nSecondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events.", "Duplicate or unpublished literatures.\nNon-RCTs.\nLiteratures with unclear diagnostic criteria.\nLiterature review or case report.", "RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE before October 2022 will be searched in the online databases, including the PubMed, Cochrane, Embase, Web of Science, CNKI, Wanfang, VIP databases, and CBM. MeSH terms and free terms will be searched. The searching strategy in the PubMed was shown in Table 1.\nSearch strategy in PubMed database.", "2.5.1. Literature screening and data extraction. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1.\nFlow diagram of study selection process.\nAll literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1.\nFlow diagram of study selection process.\n2.5.2. Assessment of the risk of bias. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes.\nThe Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes.\n2.5.3. Measures of therapeutic efficacy. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated.\nRelative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated.\n2.5.4. Management of missing data. Missing data in the included literatures will be acquired by e-mailing the corresponding author.\nMissing data in the included literatures will be acquired by e-mailing the corresponding author.\n2.5.5. Assessment of heterogeneity and data synthesis. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used.\nStata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used.\n2.5.6. Assessment of publication biases. Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18]\nFunnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18]\n2.5.7. Subgroup analysis. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity.\nSubgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity.\n2.5.8. Sensitivity analysis. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures.\nSensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures.\n2.5.9. Ethics and dissemination. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal.\nAs this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal.", "All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1.\nFlow diagram of study selection process.", "The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes.", "Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated.", "Missing data in the included literatures will be acquired by e-mailing the corresponding author.", "Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used.", "Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18]", "Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity.", "Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures.", "As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal.", "SLE is an autoimmune disease that involves multiple systemic organs. Due to SLE-induced humoral immune dysfunction, glucocorticoids and immunosuppressants are used to the treatment. However, their long-term use produces significant adverse events..[19,20] The combination of BSHXM and cyclophosphamide for the treatment of SLE has the unique advantage in improving clinical efficacy and reducing adverse effects. However, relevant RCTs reporting the combination BSHXM and cyclophosphamide for the treatment of SLE vary a lot, and their efficacy and safety are unclear. This systematic review will provide a comprehensive evaluation of the efficacy and safety of the combination of BSHXM and cyclophosphamide for the treatment of SLE. Evidence from this systematic review may be beneficial to SLE patients and clinicians applying BSHXM.", "Resources: Fengming Dai.\nData collection: Fengming Dai.\nWriting—original draft: Huihui Mao and Zonghua Du.\nWriting—review and editing: Huihui Mao and Zonghua Du.\nFunding support: Zonghua Du.\nSupervision: Zonghua Du.\nSoftware operating: Fengming Dai.\nConceptualization: Huihui Mao, Zonghua Du.\nData curation: Huihui Mao, Fengming Dai.\nFunding acquisition: Zonghua Du.\nInvestigation: Huihui Mao, Fengming Dai.\nMethodology: Fengming Dai.\nResources: Fengming Dai, Zonghua Du.\nSoftware: Fengming Dai.\nSoftware: Zonghua Du.\nValidation: Zonghua Du.\nVisualization: Zonghua Du.\nWriting—original draft: Huihui Mao, Zonghua Du.\nWriting—review and editing: Huihui Mao." ]
[ "intro", "methods", null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, "discussion", null ]
[ "Bushen Huoxue Method", "cyclophosphamide", "meta-analysis", "protocol", "systemic lupus erythematosus" ]
1. Introduction: Systemic lupus erythematosus (SLE) is autoimmune-mediated and diffuse connective tissue disease that is highlighted by an immune inflammatory response.[1] The clinical manifestations of SLE are complex, with fever and facial butterfly erythema as the typical manifestations. SLE not only damages the skin, mucous membranes and joints, but also often harms internal organs like the heart, lung, liver, kidney, and blood system. It eventually causes multisystem damage.[2] Conventional Western medicine for the treatment of SLE includes glucocorticoids, immunosuppressants, nonsteroidal anti-inflammatory drugs, and biological agents.[3,4] However, long-term use of drugs causes adverse events, which should not be underestimated.[5] Therefore, novel treatment methods need to be developed. SLE belongs to the category of “butterfly sore,” “horse sore,” and “sun sore” in the traditional Chinese medicine (TCM).[6] TCM has good therapeutic prospects and achieves good therapeutic outcomes for SLE due to its low side effects and multi-targeting characteristics.[7] The TCM theory believes that SLE is usually caused by congenital deficiency of endowment, deficiency of kidney yin, imbalance of yin and yang, imbalance of qi and blood, and stagnation of qi and blood stasis.[8] Deficiency of kidney yin, combined with external evil from six sexes, or exertion or emotional injury, resulting in deficiency of true yin, internal heat stasis, paralysis and obstruction of veins and channels, external invasion of the skin, and internal organ damages.[9] Tonifying the kidneys is the general principle for the treatment of SLE. The long-term course of SLE would result in the entrance of evil into the ligaments and blockage caused by the stasis of blood.[10] Bushen Huoxue Method (BSHXM) is a common treatment method for SLE in clinical practice, which has achieved good therapeutic effects after long-term clinical practice.[11,12] In China, BSHXM is often used in the combination with cyclophosphamide for the treatment of SLE. However, systematic evaluation on its effects is scant. In this study, we will collect clinical evidence of the combination of BSHXM and cyclophosphamide for the treatment of SLE, thus assessing its efficacy and safety by systematic evaluation and meta-analysis. 2. Methods: 2.1. Study registration This protocol has been registered on the International Prospective Register of Systematic Reviews (PROSPERO) with registration number CRD42022357993, basing on the Preferred Reporting Items for Systematic Reviews and Meta-analysis Protocols (PRISMA-P) statement guidelines.[13] This protocol has been registered on the International Prospective Register of Systematic Reviews (PROSPERO) with registration number CRD42022357993, basing on the Preferred Reporting Items for Systematic Reviews and Meta-analysis Protocols (PRISMA-P) statement guidelines.[13] 2.2. Inclusion criteria for study selection 2.2.1. Types of studies. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE. 2.2.2. Types of participants. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin. 2.2.3. Types of interventions. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups. 2.2.4. Outcomes Primary outcome: Total effective rate. Secondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events. Primary outcome: Total effective rate. Secondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events. 2.2.1. Types of studies. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE. 2.2.2. Types of participants. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin. 2.2.3. Types of interventions. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups. 2.2.4. Outcomes Primary outcome: Total effective rate. Secondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events. Primary outcome: Total effective rate. Secondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events. 2.3. Exclusion criteria Duplicate or unpublished literatures. Non-RCTs. Literatures with unclear diagnostic criteria. Literature review or case report. Duplicate or unpublished literatures. Non-RCTs. Literatures with unclear diagnostic criteria. Literature review or case report. 2.4. Searching strategy RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE before October 2022 will be searched in the online databases, including the PubMed, Cochrane, Embase, Web of Science, CNKI, Wanfang, VIP databases, and CBM. MeSH terms and free terms will be searched. The searching strategy in the PubMed was shown in Table 1. Search strategy in PubMed database. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE before October 2022 will be searched in the online databases, including the PubMed, Cochrane, Embase, Web of Science, CNKI, Wanfang, VIP databases, and CBM. MeSH terms and free terms will be searched. The searching strategy in the PubMed was shown in Table 1. Search strategy in PubMed database. 2.5. Data collection and analysis 2.5.1. Literature screening and data extraction. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1. Flow diagram of study selection process. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1. Flow diagram of study selection process. 2.5.2. Assessment of the risk of bias. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes. 2.5.3. Measures of therapeutic efficacy. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated. 2.5.4. Management of missing data. Missing data in the included literatures will be acquired by e-mailing the corresponding author. Missing data in the included literatures will be acquired by e-mailing the corresponding author. 2.5.5. Assessment of heterogeneity and data synthesis. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used. 2.5.6. Assessment of publication biases. Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18] Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18] 2.5.7. Subgroup analysis. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity. 2.5.8. Sensitivity analysis. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures. 2.5.9. Ethics and dissemination. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal. 2.5.1. Literature screening and data extraction. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1. Flow diagram of study selection process. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1. Flow diagram of study selection process. 2.5.2. Assessment of the risk of bias. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes. 2.5.3. Measures of therapeutic efficacy. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated. 2.5.4. Management of missing data. Missing data in the included literatures will be acquired by e-mailing the corresponding author. Missing data in the included literatures will be acquired by e-mailing the corresponding author. 2.5.5. Assessment of heterogeneity and data synthesis. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used. 2.5.6. Assessment of publication biases. Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18] Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18] 2.5.7. Subgroup analysis. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity. 2.5.8. Sensitivity analysis. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures. 2.5.9. Ethics and dissemination. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal. 2.1. Study registration: This protocol has been registered on the International Prospective Register of Systematic Reviews (PROSPERO) with registration number CRD42022357993, basing on the Preferred Reporting Items for Systematic Reviews and Meta-analysis Protocols (PRISMA-P) statement guidelines.[13] 2.2. Inclusion criteria for study selection: 2.2.1. Types of studies. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE. RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE. 2.2.2. Types of participants. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin. SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin. 2.2.3. Types of interventions. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups. The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups. 2.2.4. Outcomes Primary outcome: Total effective rate. Secondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events. Primary outcome: Total effective rate. Secondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events. 2.2.1. Types of studies.: RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE. 2.2.2. Types of participants.: SLE is diagnosed based on the guidelines proposed by the American College of Rheumatology in 1997.[14] All patients are clearly diagnosed with SLE, with no restrictions on gender, age, or case origin. 2.2.3. Types of interventions.: The combination BSHXM and cyclophosphamide is given to SLE patients of intervention group, and cyclophosphamide alone is given to those of control group. Conventional treatment and care are given to both groups. 2.2.4. Outcomes: Primary outcome: Total effective rate. Secondary outcomes: Blood sedimentation, IgA, IgG, C3, C4, and the incidence of adverse events. 2.3. Exclusion criteria: Duplicate or unpublished literatures. Non-RCTs. Literatures with unclear diagnostic criteria. Literature review or case report. 2.4. Searching strategy: RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE before October 2022 will be searched in the online databases, including the PubMed, Cochrane, Embase, Web of Science, CNKI, Wanfang, VIP databases, and CBM. MeSH terms and free terms will be searched. The searching strategy in the PubMed was shown in Table 1. Search strategy in PubMed database. 2.5. Data collection and analysis: 2.5.1. Literature screening and data extraction. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1. Flow diagram of study selection process. All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1. Flow diagram of study selection process. 2.5.2. Assessment of the risk of bias. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes. The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes. 2.5.3. Measures of therapeutic efficacy. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated. Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated. 2.5.4. Management of missing data. Missing data in the included literatures will be acquired by e-mailing the corresponding author. Missing data in the included literatures will be acquired by e-mailing the corresponding author. 2.5.5. Assessment of heterogeneity and data synthesis. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used. Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used. 2.5.6. Assessment of publication biases. Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18] Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18] 2.5.7. Subgroup analysis. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity. Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity. 2.5.8. Sensitivity analysis. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures. Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures. 2.5.9. Ethics and dissemination. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal. As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal. 2.5.1. Literature screening and data extraction.: All literatures will be independently screened by 2 researchers. After reviewing the titles or abstracts, qualified literatures will be further reviewed for the full-text according to PICOS principles and inclusion and exclusion criteria. Any inconsistency will be discussed by a third investigator. The following information will be extracted: authors, year of study inclusion, sample size, number of participants and dropout rates, type and content of intervention, dose, and duration of intervention. The screening flow chart of this study was presented in Figure 1. Flow diagram of study selection process. 2.5.2. Assessment of the risk of bias.: The Risk Bias Assessment Tool for Randomized Controlled Trials Revision 2. 0 (RoB2) will be used to assess risk bias in the included literature.[15] RoB2 contains five modules, namely, bias arising from the randomization process, bias from deviations from the established intervention, bias from missing outcome data, bias from outcome measures, and bias from selective reporting of outcomes. 2.5.3. Measures of therapeutic efficacy.: Relative risk and weighted mean difference will be calculated for dichotomous variables and continuous variables, respectively. Corresponding 95% confidence interval will be calculated. 2.5.4. Management of missing data.: Missing data in the included literatures will be acquired by e-mailing the corresponding author. 2.5.5. Assessment of heterogeneity and data synthesis.: Stata 14. 0 software will be used for data analysis. The heterogeneity will be examined by Q test and measuring I2 value. P > .1 and I2 < 50% suggests a low heterogeneity, and the fixed-effects model will be used; Otherwise, the random-effects model will be used. 2.5.6. Assessment of publication biases.: Funnel plots will be made to qualitatively assess the publication bias of the included literatures.[16–18] 2.5.7. Subgroup analysis.: Subgroup analyses based on the patient age, race, BSHXM, and disease subtype will be performed to explore potential sources of heterogeneity. 2.5.8. Sensitivity analysis.: Sensitivity analysis will be performed by eliminating one literature at one time and calculating the remaining data. The results of the meta-analysis will be considered robust and reliable if there is no significant change in the data of remaining literatures. 2.5.9. Ethics and dissemination.: As this study is a protocol for systematic review and meta-analysis, it does not involve individual patient data and therefore does not require ethical approval. The results of this study will be published in a peer-reviewed journal. 3. Discussion: SLE is an autoimmune disease that involves multiple systemic organs. Due to SLE-induced humoral immune dysfunction, glucocorticoids and immunosuppressants are used to the treatment. However, their long-term use produces significant adverse events..[19,20] The combination of BSHXM and cyclophosphamide for the treatment of SLE has the unique advantage in improving clinical efficacy and reducing adverse effects. However, relevant RCTs reporting the combination BSHXM and cyclophosphamide for the treatment of SLE vary a lot, and their efficacy and safety are unclear. This systematic review will provide a comprehensive evaluation of the efficacy and safety of the combination of BSHXM and cyclophosphamide for the treatment of SLE. Evidence from this systematic review may be beneficial to SLE patients and clinicians applying BSHXM. Author contributions: Resources: Fengming Dai. Data collection: Fengming Dai. Writing—original draft: Huihui Mao and Zonghua Du. Writing—review and editing: Huihui Mao and Zonghua Du. Funding support: Zonghua Du. Supervision: Zonghua Du. Software operating: Fengming Dai. Conceptualization: Huihui Mao, Zonghua Du. Data curation: Huihui Mao, Fengming Dai. Funding acquisition: Zonghua Du. Investigation: Huihui Mao, Fengming Dai. Methodology: Fengming Dai. Resources: Fengming Dai, Zonghua Du. Software: Fengming Dai. Software: Zonghua Du. Validation: Zonghua Du. Visualization: Zonghua Du. Writing—original draft: Huihui Mao, Zonghua Du. Writing—review and editing: Huihui Mao.
Background: Systemic lupus erythematosus (SLE) is an autoimmune disease that involves multiple systemic organs. Bushen Huoxue Method (BSHXM) is a traditional Chinese medicine treatment, which is used for the treatment of SLE combining with cyclophosphamide. However, no systematic review has been performed to describe its effectiveness. This study provides a protocol for systematic review and meta-analysis of currently published randomized controlled trials (RCTs) reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE, thus providing evidences to support clinical practice. Methods: RCTs reporting the combination of BSHXM and cyclophosphamide for the treatment of SLE before October 2022 will be searched in the online databases, including the PubMed, Cochrane, Embase, Web of Science, CNKI, Wanfang, VIP databases and CBM. The Cochrane Risk of Bias 2 (RoB2) tool will be used to evaluate the quality of included RCTs. Meta-analysis will be performed using Stata 14.0. Results: Results to be published in a peer-reviewed journal providing evidence for the efficacy and safety of the combination of BSHXM and cyclophosphamide on the treatment of SLE. Conclusions: This study will provide a strong basis for the effectiveness and safety of the combination of BSHXM and cyclophosphamide on the treatment of SLE.
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5,347
242
[ 43, 258, 14, 37, 35, 29, 24, 74, 902, 106, 69, 27, 17, 63, 16, 25, 44, 44, 153 ]
22
[ "bias", "data", "sle", "analysis", "literatures", "study", "bshxm", "cyclophosphamide", "intervention", "treatment" ]
[ "discussion sle autoimmune", "sle autoimmune mediated", "lupus", "introduction systemic lupus", "lupus erythematosus" ]
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[CONTENT] Bushen Huoxue Method | cyclophosphamide | meta-analysis | protocol | systemic lupus erythematosus [SUMMARY]
[CONTENT] Bushen Huoxue Method | cyclophosphamide | meta-analysis | protocol | systemic lupus erythematosus [SUMMARY]
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[CONTENT] Bushen Huoxue Method | cyclophosphamide | meta-analysis | protocol | systemic lupus erythematosus [SUMMARY]
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[CONTENT] Humans | Systematic Reviews as Topic | Meta-Analysis as Topic | Cyclophosphamide | Lupus Erythematosus, Systemic | Randomized Controlled Trials as Topic [SUMMARY]
[CONTENT] Humans | Systematic Reviews as Topic | Meta-Analysis as Topic | Cyclophosphamide | Lupus Erythematosus, Systemic | Randomized Controlled Trials as Topic [SUMMARY]
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[CONTENT] Humans | Systematic Reviews as Topic | Meta-Analysis as Topic | Cyclophosphamide | Lupus Erythematosus, Systemic | Randomized Controlled Trials as Topic [SUMMARY]
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[CONTENT] discussion sle autoimmune | sle autoimmune mediated | lupus | introduction systemic lupus | lupus erythematosus [SUMMARY]
[CONTENT] discussion sle autoimmune | sle autoimmune mediated | lupus | introduction systemic lupus | lupus erythematosus [SUMMARY]
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[CONTENT] discussion sle autoimmune | sle autoimmune mediated | lupus | introduction systemic lupus | lupus erythematosus [SUMMARY]
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[CONTENT] bias | data | sle | analysis | literatures | study | bshxm | cyclophosphamide | intervention | treatment [SUMMARY]
[CONTENT] bias | data | sle | analysis | literatures | study | bshxm | cyclophosphamide | intervention | treatment [SUMMARY]
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[CONTENT] bias | data | sle | analysis | literatures | study | bshxm | cyclophosphamide | intervention | treatment [SUMMARY]
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[CONTENT] sle | deficiency | yin | treatment | clinical | internal | sore | kidney | good | good therapeutic [SUMMARY]
[CONTENT] bias | data | study | literatures | analysis | heterogeneity | risk | intervention | sle | given [SUMMARY]
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[CONTENT] sle | bias | literatures | data | cyclophosphamide | bshxm | treatment | study | analysis | combination [SUMMARY]
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[CONTENT] SLE ||| Bushen Huoxue Method | BSHXM | Chinese | SLE ||| ||| BSHXM | SLE [SUMMARY]
[CONTENT] BSHXM | SLE | October 2022 | PubMed | Cochrane | Embase | Wanfang | CBM ||| The Cochrane Risk of Bias 2 ||| Stata | 14.0 [SUMMARY]
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[CONTENT] SLE ||| Bushen Huoxue Method | BSHXM | Chinese | SLE ||| ||| BSHXM | SLE ||| BSHXM | SLE | October 2022 | PubMed | Cochrane | Embase | Wanfang | CBM ||| The Cochrane Risk of Bias 2 ||| Stata 14.0 ||| BSHXM | SLE ||| BSHXM | SLE [SUMMARY]
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Validation and Translation of the Relational Aspect of Care Questionnaire into the Malay Language (RAC-QM) to Evaluate the Compassionate Care Level of Healthcare Workers from the Patient's Perspective.
36294066
Compassionate care has been increasingly highlighted in the past few decades worldwide, including in Malaysia. Despite acknowledging its importance, Malaysia still lacks a validated tool that can be used to assess the level of compassionate care from the patient's perspective. Therefore, this study aims to validate and translate the Relational Aspect of Care Questionnaire (RAC-Q) into the Malay language.
BACKGROUND
Permission to use and translate the original RAC-Q into the Malay language was obtained. The RAC-Q was then translated into the Malay language following the 10 steps proposed for the translation of a patient-reported outcome questionnaire. A pretest was conducted based on 30 inpatients to assess the appropriateness and clarity of the finalized translated questionnaire. A cross-sectional study was performed based on 138 inpatients from six adult wards of a teaching hospital so as to validate the translated questionnaire. The data were analyzed using R software version 4.1.3 (R Core Team, Vienna, Austria, 2020). The results were presented descriptively as numbers and percentages or means and standard deviations. A confirmatory factor analysis was performed using robust estimators.
METHODS
The analysis showed that the measurement model of the RAC-Q Malay version (RAC-QM) fits well based on several fit indices: a standardized factor loading range from 0.40 to 0.73, comparative fit index (CFI) of 0.917, Tucker-Lewis fit index (TLI) of 0.904, root mean square error of approximation (RMSEA) of 0.06, and a standardized root mean square residual (SRMR) of 0.073. It has good reliability, with a Cronbach's alpha of 0.857 and a composite ratio of 0.857.
RESULTS
The RAC-QM demonstrated good psychometric properties and is valid and reliable based on the confirmatory analysis, and it can thus be used as a tool for evaluating the level of compassionate care in Malaysia.
CONCLUSION
[ "Adult", "Humans", "Language", "Reproducibility of Results", "Cross-Sectional Studies", "Malaysia", "Surveys and Questionnaires", "Psychometrics", "Health Personnel" ]
9602943
1. Introduction
The evaluation of patients’ experience when receiving healthcare services has become an important topic worldwide, especially in the past few decades. In 2001, the Institute of Medicine (IOM) released its Patient Safety Goals, which emphasized patient-centered care as one of the goals [1]. Before then, little attention was given to this aspect of quality care. This could be attributed to many factors, such as the shifting of tax-funded healthcare systems to privatized and performance-based payments. The revolution of industries also places constant pressure on healthcare systems worldwide to take into account patients’ experiences of receiving care. In general, a good patient experience should encompass all aspects of care, which include the functional, transactional, and relational aspects of care. The scarcity of resources in the healthcare system should not act as a barrier to the provision of high-quality care, which includes all aspects of their management. It is certain that a good patient experience not only improves the well-being of patients but also benefits the healthcare system as a whole. However, these aspects of care are, indeed, very complex and depend on the subjective experiences of individual patients [2], especially the relational aspect. Much work has been conducted in order to develop tools that can help us to accurately measure the relational aspect of care so that improvements can be made. Most of them have been developed for a unique target population. The importance of the relational aspect of care has also been emphasized in many other reports [3,4,5]. One of the infamous public inquiry reports that highlighted compassionate care is the Francis Report [6]. The inquiry was conducted as a consequence of many public complaints against the Mid-Staffordshire National Health Service (NHS) Foundation Trust concerning poor care. The report revealed many weaknesses in the system, but the most prominent was the lack of compassion among its staff. The report also highlighted the need for a measurement tool with which to properly assess compassion [6]. The Picker Institute Europe is among the organizations dedicated to nurturing compassionate care in the healthcare system. The organization has developed many measurement tools to cater to different target groups or healthcare settings. One of them is the Relational Aspect of Care Questionnaire (RAC-Q), which has been widely used across the UK. Many other measurement tools are being developed, validated, and reviewed. Nevertheless, a review of nine studies that reported on the measurement tools for compassionate care in healthcare found that there is still an unmet need for a psychometrically validated tool that can comprehensively measure the construct of compassion in healthcare settings [7]. In Malaysia, efforts to improve patient experiences can be seen in many initiatives. Among the earliest was the incorporation of budaya penyayang or “caring” as one of the central values of the Ministry of Health’s (MOH) corporate culture. MOH’s corporate culture committee was formed in the 1990s, with three central values: caring, professionalism, and teamwork. The committee undertook many initiatives in order to instill these values through corporate songs, workshops, and exhibitions. However, after more than three decades since its introduction, there was very limited published evidence regarding the program’s effectiveness, especially from the patient’s perspective. MOH received over five thousand official complaints each year, and at least a quarter of the complaints were related to poor service quality [8]. However, contrary to the common belief that the lack of compassionate care is due to healthcare worker’s (HCW) weakness and ignorance, evidence showed that patients’ characteristics and the care environment considerably affect patients’ perspectives on the compassionate care provided [9,10,11,12]. As long as these factors are not recognized, the quality of our image of healthcare will be jeopardized. The Model of the Interpersonal Process of Compassion [9], as shown in Figure 1, highlights the complexity of compassionate care, which involves many aspects related to different parties. The lack of a clinical measure of compassion with solid evidence of the measurements’ validity is a significant barrier to the improvement and development of clinical practice and patient satisfaction [10]. Therefore, a psychometrically valid measurement tool is needed in order to correctly measure this crucial aspect of care. To date, the RAC-Q is among the available, validated tools used to measure healthcare workers’ compassionate care for inpatients. The RAC-Q was developed and validated by researchers from the Picker Institute Europe and Nuffield Department of Population Health, University of Oxford. It is based on data from the 2012 NHS Emergency Department Survey and the 2013 NHS Adult Inpatient Survey. The initial questionnaire contained 20 closed-ended questions, with a very high reliability (factor loading of 0.458–0.870, Cronbach’s alpha of 0.950, and McDonald’s omega of 0.951). It was then subsequently reduced to a 12-item questionnaire. The short version of the questionnaire has a better completion rate but is still able to retain its strong psychometric properties (Cronbach’s alpha of 0.92 and intraclass correlation coefficient of 0.97). It measures the relational aspect of care across 22 themes [11]. The completion of the survey requires a mean time of 8.5 min, with a standard deviation of 9.9 min [12]. The original RAC-Q was administered digitally, and the responses were captured in near real time. Therefore, prompt actions could be taken by the service provider in response to the feedback received. A similar method can be applied to assess and improve compassionate care among healthcare workers in Malaysia. However, for this purpose, the RAC-Q would need to be translated, since most respondents will be Malays. Linguistic appropriateness is one of the key factors that can improve the results’ validity and reliability [13,14].
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3. Results
Data from 138 inpatients were eligible for analysis. Sociodemographic characteristics of the patients were described quantitatively, and CFA was performed in order to validate the RAC-QM. 3.1. Sociodemographic Characteristics of Inpatients Initially, 150 respondents were recruited from six adult wards: the surgical ward, medical ward, orthopedic ward, oncology ward, obstetrics and gynecology ward, and a multidisciplinary executive ward. Of all the responses from 150 respondents, those from 12 respondents had to be removed owing to missing data. With regard to the sociodemographic background of the respondents, there was an almost equal proportion of males and females. Half of them were aged below 40 years old, and the majority were Malays and Muslim. About one-quarter of the respondents did not have legal partners at the time of the study. More than 60 percent of the respondents completed secondary school, and almost 60 percent of the respondents were in the B40 income category, as classified on the basis of the Household Income and Basic Amenities survey of 2019, Department of Statistics, Malaysia [22]. In Malaysia, household income can be classified into three categories: B40, M40, and T20. B40 represents the bottom 40%, which, as of 2021, means a monthly household income of RM 4850 or less. M40 represents the middle 40%, which means a household income of RM 4851–10,970. T20 represents the top 20%, which can be further divided into T1 (household income ranging from RM 10,971 up to 15,040) and T2 (more than RM 15,041). Table 1 shows the details of the sociodemographic finding. Initially, 150 respondents were recruited from six adult wards: the surgical ward, medical ward, orthopedic ward, oncology ward, obstetrics and gynecology ward, and a multidisciplinary executive ward. Of all the responses from 150 respondents, those from 12 respondents had to be removed owing to missing data. With regard to the sociodemographic background of the respondents, there was an almost equal proportion of males and females. Half of them were aged below 40 years old, and the majority were Malays and Muslim. About one-quarter of the respondents did not have legal partners at the time of the study. More than 60 percent of the respondents completed secondary school, and almost 60 percent of the respondents were in the B40 income category, as classified on the basis of the Household Income and Basic Amenities survey of 2019, Department of Statistics, Malaysia [22]. In Malaysia, household income can be classified into three categories: B40, M40, and T20. B40 represents the bottom 40%, which, as of 2021, means a monthly household income of RM 4850 or less. M40 represents the middle 40%, which means a household income of RM 4851–10,970. T20 represents the top 20%, which can be further divided into T1 (household income ranging from RM 10,971 up to 15,040) and T2 (more than RM 15,041). Table 1 shows the details of the sociodemographic finding. 3.2. Medical and Admission Background The patients’ medical background and details of their admission at the time were also gathered. The median admission period was four days, with an IQR of 8.25 days. Half of the patients had at least one chronic disease. The majority of the patients lived with other family members at home. However, only half of them were accompanied all the time while in the ward. More than 80 percent of them did not receive any visitors while in hospital. For almost 40 percent of the patients, this was the first time in their lives that they had ever been admitted to the ward. About half of the patients were dependent on others to move, practice self-care, or perform activities of daily living. About 60 percent of the patients experienced pain or discomfort. However, more than half reported no anxiety or depression issues. Table 2 summarizes all the findings. The patients’ medical background and details of their admission at the time were also gathered. The median admission period was four days, with an IQR of 8.25 days. Half of the patients had at least one chronic disease. The majority of the patients lived with other family members at home. However, only half of them were accompanied all the time while in the ward. More than 80 percent of them did not receive any visitors while in hospital. For almost 40 percent of the patients, this was the first time in their lives that they had ever been admitted to the ward. About half of the patients were dependent on others to move, practice self-care, or perform activities of daily living. About 60 percent of the patients experienced pain or discomfort. However, more than half reported no anxiety or depression issues. Table 2 summarizes all the findings. 3.3. Patients’ Responses to Questionnaire Table 3 shows the patients’ responses to the questionnaire. The questionnaire contained 12 items. Five of the items had three answer options, whereas the other seven questions had four answer options. All questions except for numbers four and twelve provided answer options in agreement form. For question numbers four and twelve, answer options were in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes”, one point was given for “never”, and two points were given for “unsure”. Therefore, the maximum score a patient can provide is 48 points, and the minimum is 12 points. The total score that a patient provides is divided by 48 and multiplied by 100 to convert it to percent. The higher the score is, the more compassionate the healthcare provider is, as perceived by the patients. In general, the average points given by the patients for each item were between 3.42 and 3.91. The lowest points were given for question number one: “Did staff members introduce themselves before treating or caring for you?”. At the same time, patients could appreciate the staff members’ competency and gave them, on average, 3.91 points out of 4.0. Table 3 shows the patients’ responses to the questionnaire. The questionnaire contained 12 items. Five of the items had three answer options, whereas the other seven questions had four answer options. All questions except for numbers four and twelve provided answer options in agreement form. For question numbers four and twelve, answer options were in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes”, one point was given for “never”, and two points were given for “unsure”. Therefore, the maximum score a patient can provide is 48 points, and the minimum is 12 points. The total score that a patient provides is divided by 48 and multiplied by 100 to convert it to percent. The higher the score is, the more compassionate the healthcare provider is, as perceived by the patients. In general, the average points given by the patients for each item were between 3.42 and 3.91. The lowest points were given for question number one: “Did staff members introduce themselves before treating or caring for you?”. At the same time, patients could appreciate the staff members’ competency and gave them, on average, 3.91 points out of 4.0. 3.4. Translation and Validation of RAC-Q The translation and validation processes was performed according to the 10 proposed steps. In general, there was no significant difficulty faced during the process. The forward translation was carried out by two independent translators, who produced comparable and highly similar forward translations. An important point that was discussed was the appropriate Malay term for compassion. Both translators chose “penyayang” for “compassion”. Deeper consideration was given, as one of the central values of MOH’s corporate culture is “penyayang”, but it was translated into English as “caring”. After an in-depth discussion about the connotations of “budaya penyayang” in MOH’s corporate culture, the committee agreed that “penyayang”, in the corporate culture, is equivalent to compassion. “Penyayang” has also been used in the local healthcare system since the beginning of its service. Moreover, the concept of compassion has emerged relatively recently. No major modification was applied during the cognitive debriefing. The respondents gave feedback indicating that the questionnaire could be easily understood. The questions also sufficiently covered their thoughts about compassion. Some of the respondents suggested providing a short video to explain the survey before the respondents started to answer. Thus, a short introductory video was prepared and distributed during the pretest and actual survey. The translation and validation processes was performed according to the 10 proposed steps. In general, there was no significant difficulty faced during the process. The forward translation was carried out by two independent translators, who produced comparable and highly similar forward translations. An important point that was discussed was the appropriate Malay term for compassion. Both translators chose “penyayang” for “compassion”. Deeper consideration was given, as one of the central values of MOH’s corporate culture is “penyayang”, but it was translated into English as “caring”. After an in-depth discussion about the connotations of “budaya penyayang” in MOH’s corporate culture, the committee agreed that “penyayang”, in the corporate culture, is equivalent to compassion. “Penyayang” has also been used in the local healthcare system since the beginning of its service. Moreover, the concept of compassion has emerged relatively recently. No major modification was applied during the cognitive debriefing. The respondents gave feedback indicating that the questionnaire could be easily understood. The questions also sufficiently covered their thoughts about compassion. Some of the respondents suggested providing a short video to explain the survey before the respondents started to answer. Thus, a short introductory video was prepared and distributed during the pretest and actual survey. 3.5. Confirmatory Factor Analysis of the RAC-QM The construct validity of the initial model (model 1) was determined using CFA. Model 1 contains items similar to the original version. In general, model 1 had a reasonable goodness of fit, with a chi-square statistic divided by the degree of freedom of 1.43, SRMR of 0.07, RMSEA of 0.06, CFI of 0.92, and TLI of 0.90. Model 1 also showed good reliability, with a Cronbach’s alpha of 0.85. The standardized factor loadings for all items were >0.40, except that for question number eight, which was 0.40, as shown in Table 4. Model 2 was created by excluding question number eight. Overall, model 2 did not have significantly better indices, and removing question number eight did not improve any other item’s factor loading, as shown in Table 5. Figure 2 shows the path diagram of the RAC-Q. There was no multicollinearity between items, and all the factor loadings were acceptable. The construct validity of the initial model (model 1) was determined using CFA. Model 1 contains items similar to the original version. In general, model 1 had a reasonable goodness of fit, with a chi-square statistic divided by the degree of freedom of 1.43, SRMR of 0.07, RMSEA of 0.06, CFI of 0.92, and TLI of 0.90. Model 1 also showed good reliability, with a Cronbach’s alpha of 0.85. The standardized factor loadings for all items were >0.40, except that for question number eight, which was 0.40, as shown in Table 4. Model 2 was created by excluding question number eight. Overall, model 2 did not have significantly better indices, and removing question number eight did not improve any other item’s factor loading, as shown in Table 5. Figure 2 shows the path diagram of the RAC-Q. There was no multicollinearity between items, and all the factor loadings were acceptable.
5. Conclusions
In conclusion, the RAC-QM was proven to have good psychometric properties and can be used in Malaysia in order to measure the compassion level of healthcare providers from the patient’s perspective. With the availability of this tool for measuring the level of compassionate care, MOH can start to evaluate this crucial aspect of quality care and carry out the necessary improvements.
[ "2. Materials and Methods", "2.1. Study Setting and Participants", "2.2. Relational Aspect of Care Questionnaire (RAC-Q)", "2.3. Translation and Cultural Adaptation of the RAC-Q", "2.4. Pretesting of RAC-QM", "2.5. Statistical Analysis", "2.6. Ethical Consideration", "3.2. Medical and Admission Background", "3.3. Patients’ Responses to Questionnaire ", "3.4. Translation and Validation of RAC-Q", "3.5. Confirmatory Factor Analysis of the RAC-QM" ]
[ " 2.1. Study Setting and Participants Owing to the fact that the data collection was carried out during the COVID-19 pandemic, along with the Movement Control Order (MCO) in Malaysia, several special considerations had to be taken. A teaching hospital in Kelantan, Malaysia, was selected as the study location. A prior meeting with the head nurse was conducted to obtain an overview of the wards’ usage, since many wards had been reassigned for COVID-19 cases during the pandemic. There were also strict measures regarding access to the wards. After a thorough discussion of the study, it was concluded that there were only six adult wards suitable for the study, namely, the surgical ward, orthopedic ward, medical ward, and oncology ward, as well as the obstetrics and gynecological ward and a multidisciplinary executive ward. According to Kline, for freely estimated parameters, a minimum of 10 samples used to represent each item can provide adequate statistical power [14]. The RAC-Q contains 12 items; therefore, a minimum of 120 samples were required. A high dropout rate of 20% was applied because of unpredictable bed occupancy rates and the capacity of the inpatients to answer the questionnaire during the pandemic.\nA second briefing session with the head nurses from each ward was held. Details of the study, including how it would be conducted, its purpose, and its benefits, were explained. The standard operating procedures, in accordance with guidelines for conducting research during the MCO, were carefully discussed. The expected daily bed occupancy rate was also noted during the meeting to help us in determining the sampling size. A stratified sampling proportionate to the number of beds was conducted in order to determine the number of participants needed from each ward. The executive ward had the lowest number of beds, followed by the oncology ward. The medical, surgical, and orthopedic wards had similar numbers of beds, whereas the obstetrics and gynecology ward had double the number of beds compared with the rest. A minimum of five days and a maximum of ten days were allocated to each ward in order to complete the data collection. On the day of the data collection, the eligible study population was determined according to strict criteria. Study participants were selected through computer-generated random numbers based on their bed numbers. The patients selected for the study were those aged 18 and above who had been in the ward for at least 24 h, were able to read and write, and were clinically stable enough to answer the questionnaire by themselves. Those who consented to participate were given the paper-based questionnaire and were asked to read the patient information sheet and answer the questions by themselves. They were also encouraged to watch a short video about the study, which was provided through a QR-coded link. Completed questionnaires were collected afterward by the researcher. \nOwing to the fact that the data collection was carried out during the COVID-19 pandemic, along with the Movement Control Order (MCO) in Malaysia, several special considerations had to be taken. A teaching hospital in Kelantan, Malaysia, was selected as the study location. A prior meeting with the head nurse was conducted to obtain an overview of the wards’ usage, since many wards had been reassigned for COVID-19 cases during the pandemic. There were also strict measures regarding access to the wards. After a thorough discussion of the study, it was concluded that there were only six adult wards suitable for the study, namely, the surgical ward, orthopedic ward, medical ward, and oncology ward, as well as the obstetrics and gynecological ward and a multidisciplinary executive ward. According to Kline, for freely estimated parameters, a minimum of 10 samples used to represent each item can provide adequate statistical power [14]. The RAC-Q contains 12 items; therefore, a minimum of 120 samples were required. A high dropout rate of 20% was applied because of unpredictable bed occupancy rates and the capacity of the inpatients to answer the questionnaire during the pandemic.\nA second briefing session with the head nurses from each ward was held. Details of the study, including how it would be conducted, its purpose, and its benefits, were explained. The standard operating procedures, in accordance with guidelines for conducting research during the MCO, were carefully discussed. The expected daily bed occupancy rate was also noted during the meeting to help us in determining the sampling size. A stratified sampling proportionate to the number of beds was conducted in order to determine the number of participants needed from each ward. The executive ward had the lowest number of beds, followed by the oncology ward. The medical, surgical, and orthopedic wards had similar numbers of beds, whereas the obstetrics and gynecology ward had double the number of beds compared with the rest. A minimum of five days and a maximum of ten days were allocated to each ward in order to complete the data collection. On the day of the data collection, the eligible study population was determined according to strict criteria. Study participants were selected through computer-generated random numbers based on their bed numbers. The patients selected for the study were those aged 18 and above who had been in the ward for at least 24 h, were able to read and write, and were clinically stable enough to answer the questionnaire by themselves. Those who consented to participate were given the paper-based questionnaire and were asked to read the patient information sheet and answer the questions by themselves. They were also encouraged to watch a short video about the study, which was provided through a QR-coded link. Completed questionnaires were collected afterward by the researcher. \n 2.2. Relational Aspect of Care Questionnaire (RAC-Q) The RAC-Q was developed in 2017 in response to the Francis Report that highlighted the lack of compassionate care as the crucial cause that led to the failure of the UK Mid-Staffordshire NHS Foundation Trust. One of the report’s important recommendations was the need for a reliable measurement tool that could be sued to correctly measure compassionate care. The Picker Institute Europe, a non-governmental organization dedicated to compassionate care, collaborated with the University of Oxford to develop a questionnaire measuring this critical aspect of relational care, namely, compassionate care. The questionnaire was developed using a combination of quantitative, qualitative, and participatory research approaches [11]. During the initial development process, they identified 22 themes that included patient-perceived levels of security, knowledge, and personal value during their hospital stay or visit. The original questionnaire contained 20 items but was then successfully reduced to 12 items with only one domain. Five of the questions had a three-point Likert scale, whereas the other seven questions used four points. The responses were either in agreement form or in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes,” one point was given for “never,” and two points were given for “unsure”. The total score given by the patients was then converted into percent. The survey tool kit was widely used in regions under the UK’s NHS. However, few publications on its usage were found. Moreover, it has not been translated into any other language. It is a self-administered questionnaire that is answered on designated computer tablets. It was selected from among other measurement tools owing to its good psychometric properties, its focus on similar target groups, namely inpatients, and because it also assesses the relational aspects of care among healthcare providers as a whole rather than a particular, individual provider. \nThe RAC-Q was developed in 2017 in response to the Francis Report that highlighted the lack of compassionate care as the crucial cause that led to the failure of the UK Mid-Staffordshire NHS Foundation Trust. One of the report’s important recommendations was the need for a reliable measurement tool that could be sued to correctly measure compassionate care. The Picker Institute Europe, a non-governmental organization dedicated to compassionate care, collaborated with the University of Oxford to develop a questionnaire measuring this critical aspect of relational care, namely, compassionate care. The questionnaire was developed using a combination of quantitative, qualitative, and participatory research approaches [11]. During the initial development process, they identified 22 themes that included patient-perceived levels of security, knowledge, and personal value during their hospital stay or visit. The original questionnaire contained 20 items but was then successfully reduced to 12 items with only one domain. Five of the questions had a three-point Likert scale, whereas the other seven questions used four points. The responses were either in agreement form or in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes,” one point was given for “never,” and two points were given for “unsure”. The total score given by the patients was then converted into percent. The survey tool kit was widely used in regions under the UK’s NHS. However, few publications on its usage were found. Moreover, it has not been translated into any other language. It is a self-administered questionnaire that is answered on designated computer tablets. It was selected from among other measurement tools owing to its good psychometric properties, its focus on similar target groups, namely inpatients, and because it also assesses the relational aspects of care among healthcare providers as a whole rather than a particular, individual provider. \n 2.3. Translation and Cultural Adaptation of the RAC-Q Before the RAC-Q underwent translation and cultural adaptation, permission to use the questionnaire was obtained from the corresponding author. The translation process followed the 10 steps proposed by established guidelines [13]. The steps were as follows below.\n\nPreparation\n\nThis initial phase involved the members of the research team members brainstorming about the translation and validation process, including three public health physicians and the main researcher. The translators, field experts, sampling population, and mode of data collection were meticulously discussed, considering the standard operating procedures and restrictions during the MCO due to COVID-19.\n\nForward Translation\n\nThis step focused on translating the English version of the RAC-Q into the Malay language. Two independent translators were recruited to perform the task. The first translator is a professional translator with credible experience in translating medical-based materials and appointed by the Linguistic Department of Universiti Sains, Malaysia. The second translator is a medical doctor with a public health qualification and has vast experience in quality assurance programs in healthcare. Both translators are native Malay speakers and can converse in English fluently. Each translator carried out the translation independently, and they were asked to notify the team if they encountered any difficulties in translating any word or sentence from the original questionnaire. \n\nReconciliation\n\nThis step aimed to produce a single forward translation by comparing and merging both forward translations of the translators. A committee consisting of experienced personnel working in hospital management, quality of care, nursing and clinical care, and language teaching was formed in order to review both forward translations. Both versions of the forward translations were compared with the original RAC-Q. The reconciliation process was completed by comparing each sentence in both translations. Words or phrases not relevant within the Malaysian context were replaced with alternative words or phrases. The content validity of the questionnaire was also determined at this stage. At the end of the meeting, one standard forward translation of the RAC-Q was produced and agreed upon by the review committee for its use in the next stage. \n\nBack Translation\n\nNext, two independent translators translated the reconciled Malay version of the RAC-Q into English. This step aimed to compare the back-translated questionnaire with the original questionnaire and determine whether there were changes to the words or meanings. The first translator is a professional translator appointed by the Linguistic Department of Universiti Sains, Malaysia (different from the forward translator). The second translator was a postgraduate student enrolled in a public health course at Universiti Sains, Malaysia. Both are fluent in both languages and were blinded to the original questionnaire. \n\nBack Translation Review\n\nAt this stage, the same committee reviewed the back-translated questionnaire and compared it with the original English version. They examined the equivalence in terms of the concepts, items, and semantics of both versions. The conceptual equivalence assessment aimed to ascertain whether the theme of compassionate care in healthcare was present in both settings, whereas the item equivalence was examined to determine whether or not specific items were relevant and acceptable to both populations [15]. Semantic equivalence, on the other hand, was assessed to ensure that the original and translated questionnaires had similar meanings. Generally, the review committee was satisfied with the forward translation of the RAC-Q. Thus, the standard forward translation was agreed upon as the preliminary RAC-Q Malay version (RAC-QM) to be used in the next stage.\n\nHarmonization\n\nAn additional quality check was carried out to ensure that the back-translated RAC-QM was in harmony with the original English version. It was performed in order to detect any translation discrepancies between the two languages. \n\nCognitive Debriefing\n\nCognitive debriefing was performed in order to test the translated version’s understandability, interpretation, and cultural relevance among a small group of relevant respondents. This enables one to detect any item that may be inappropriate and identify any other issues that may be confusing or misleading [16]. The cognitive debriefing was carried out by six respondents, namely, two males and four females in the age range from 30 to 45. Four of the respondents were inpatients who actually fulfilled the study criteria, and the other two respondents were nurses who worked in the wards. The respondents were briefed about the purpose of the cognitive debriefing. The preliminary RAC-QM was given to each respondent, and they were given time to answer all of the questions. They were then asked to give feedback on any confusing, unclear, or misleading sentences. They were also asked about their impression and understanding when they initially read particular phrases. \n\nReview of Cognitive Debriefing Results and Finalization\n\nAt this stage, feedback from the cognitive debriefing was presented and discussed with the review committee. The committee evaluated all of the comments, and necessary changes were made.\n\nProofreading\n\nProofreading was performed as a final step to consolidate the RAC-QM and inspect it for grammatical or typographical errors. Lastly, the committee conducted a final check to ensure that any corrections had been made. \n\nFinal Report\n\nLastly, a final report was created in order to document the whole process of the translation. This stage is essential for future translations and to ensure harmonization with the previously developed original-language version. \nBefore the RAC-Q underwent translation and cultural adaptation, permission to use the questionnaire was obtained from the corresponding author. The translation process followed the 10 steps proposed by established guidelines [13]. The steps were as follows below.\n\nPreparation\n\nThis initial phase involved the members of the research team members brainstorming about the translation and validation process, including three public health physicians and the main researcher. The translators, field experts, sampling population, and mode of data collection were meticulously discussed, considering the standard operating procedures and restrictions during the MCO due to COVID-19.\n\nForward Translation\n\nThis step focused on translating the English version of the RAC-Q into the Malay language. Two independent translators were recruited to perform the task. The first translator is a professional translator with credible experience in translating medical-based materials and appointed by the Linguistic Department of Universiti Sains, Malaysia. The second translator is a medical doctor with a public health qualification and has vast experience in quality assurance programs in healthcare. Both translators are native Malay speakers and can converse in English fluently. Each translator carried out the translation independently, and they were asked to notify the team if they encountered any difficulties in translating any word or sentence from the original questionnaire. \n\nReconciliation\n\nThis step aimed to produce a single forward translation by comparing and merging both forward translations of the translators. A committee consisting of experienced personnel working in hospital management, quality of care, nursing and clinical care, and language teaching was formed in order to review both forward translations. Both versions of the forward translations were compared with the original RAC-Q. The reconciliation process was completed by comparing each sentence in both translations. Words or phrases not relevant within the Malaysian context were replaced with alternative words or phrases. The content validity of the questionnaire was also determined at this stage. At the end of the meeting, one standard forward translation of the RAC-Q was produced and agreed upon by the review committee for its use in the next stage. \n\nBack Translation\n\nNext, two independent translators translated the reconciled Malay version of the RAC-Q into English. This step aimed to compare the back-translated questionnaire with the original questionnaire and determine whether there were changes to the words or meanings. The first translator is a professional translator appointed by the Linguistic Department of Universiti Sains, Malaysia (different from the forward translator). The second translator was a postgraduate student enrolled in a public health course at Universiti Sains, Malaysia. Both are fluent in both languages and were blinded to the original questionnaire. \n\nBack Translation Review\n\nAt this stage, the same committee reviewed the back-translated questionnaire and compared it with the original English version. They examined the equivalence in terms of the concepts, items, and semantics of both versions. The conceptual equivalence assessment aimed to ascertain whether the theme of compassionate care in healthcare was present in both settings, whereas the item equivalence was examined to determine whether or not specific items were relevant and acceptable to both populations [15]. Semantic equivalence, on the other hand, was assessed to ensure that the original and translated questionnaires had similar meanings. Generally, the review committee was satisfied with the forward translation of the RAC-Q. Thus, the standard forward translation was agreed upon as the preliminary RAC-Q Malay version (RAC-QM) to be used in the next stage.\n\nHarmonization\n\nAn additional quality check was carried out to ensure that the back-translated RAC-QM was in harmony with the original English version. It was performed in order to detect any translation discrepancies between the two languages. \n\nCognitive Debriefing\n\nCognitive debriefing was performed in order to test the translated version’s understandability, interpretation, and cultural relevance among a small group of relevant respondents. This enables one to detect any item that may be inappropriate and identify any other issues that may be confusing or misleading [16]. The cognitive debriefing was carried out by six respondents, namely, two males and four females in the age range from 30 to 45. Four of the respondents were inpatients who actually fulfilled the study criteria, and the other two respondents were nurses who worked in the wards. The respondents were briefed about the purpose of the cognitive debriefing. The preliminary RAC-QM was given to each respondent, and they were given time to answer all of the questions. They were then asked to give feedback on any confusing, unclear, or misleading sentences. They were also asked about their impression and understanding when they initially read particular phrases. \n\nReview of Cognitive Debriefing Results and Finalization\n\nAt this stage, feedback from the cognitive debriefing was presented and discussed with the review committee. The committee evaluated all of the comments, and necessary changes were made.\n\nProofreading\n\nProofreading was performed as a final step to consolidate the RAC-QM and inspect it for grammatical or typographical errors. Lastly, the committee conducted a final check to ensure that any corrections had been made. \n\nFinal Report\n\nLastly, a final report was created in order to document the whole process of the translation. This stage is essential for future translations and to ensure harmonization with the previously developed original-language version. \n 2.4. Pretesting of RAC-QM Pretesting was conducted at a teaching hospital and involved 30 adult inpatients that fit the study participants’ criteria. This step was carried out in order to further evaluate any shortcoming related to the questionnaire from the target population’s viewpoint. The RAC-QM was distributed to the participants through a QR code linked to a brief introductory video about the study.\nPretesting was conducted at a teaching hospital and involved 30 adult inpatients that fit the study participants’ criteria. This step was carried out in order to further evaluate any shortcoming related to the questionnaire from the target population’s viewpoint. The RAC-QM was distributed to the participants through a QR code linked to a brief introductory video about the study.\n 2.5. Statistical Analysis Data were analyzed using R software version 4.1.3 (R Core Team: Vienna, Austria, 2020). Owing to the non-normality of the data distribution, the robust maximum likelihood was preferred [17]. The construct validity was determined using CFA, and the internal reliability consistency was assessed using Cronbach’s alpha. Standardized factor loadings were measured, and items with factor loadings of >0.3 were considered acceptable [18]. The models’ goodness of fit was assessed using SRMR, RMSEA, CFI, and chi-squared tests following the values recommended by Schreiber et al. [19] and Brown [20]. The following cut-off values were taken into consideration to determine the goodness fit of the model: the comparative fit index (CFI) and Tucker–Lewis fit index (TLI) of >0.90, and the root mean square error of approximation (RMSEA) and standardized root mean square residual (SRMR) of <0.08 [17]. The revision of the model was considered on the basis of the factor loadings, standardized residuals (SRs), modification indices (MIs), and theoretical justification. Parameters with SR ≥ 2.58 and MI ≥ 3.84 were considered for the model. Factors were checked for multicollinearity if r > 0.85. The model was also selected on the basis of the Akaike Information Criterion (AIC) and Bayesian Information Criterion (BIC). Models with low values of the AIC and BIC were chosen [21]. A Cronbach’s alpha of ≥0.7 in the reliability assessment was considered acceptable [17].\nData were analyzed using R software version 4.1.3 (R Core Team: Vienna, Austria, 2020). Owing to the non-normality of the data distribution, the robust maximum likelihood was preferred [17]. The construct validity was determined using CFA, and the internal reliability consistency was assessed using Cronbach’s alpha. Standardized factor loadings were measured, and items with factor loadings of >0.3 were considered acceptable [18]. The models’ goodness of fit was assessed using SRMR, RMSEA, CFI, and chi-squared tests following the values recommended by Schreiber et al. [19] and Brown [20]. The following cut-off values were taken into consideration to determine the goodness fit of the model: the comparative fit index (CFI) and Tucker–Lewis fit index (TLI) of >0.90, and the root mean square error of approximation (RMSEA) and standardized root mean square residual (SRMR) of <0.08 [17]. The revision of the model was considered on the basis of the factor loadings, standardized residuals (SRs), modification indices (MIs), and theoretical justification. Parameters with SR ≥ 2.58 and MI ≥ 3.84 were considered for the model. Factors were checked for multicollinearity if r > 0.85. The model was also selected on the basis of the Akaike Information Criterion (AIC) and Bayesian Information Criterion (BIC). Models with low values of the AIC and BIC were chosen [21]. A Cronbach’s alpha of ≥0.7 in the reliability assessment was considered acceptable [17].\n 2.6. Ethical Consideration Ethical clearance for this research was obtained from the Human Research Ethics Committee of Universiti Sains, Malaysia (JEPeM Code: USM/JEPeM/21030208), and the National Medical Research Register (NMMR) Malaysia (NMRR-21-344-58027). The confidentiality of the data was strictly prioritized.\nEthical clearance for this research was obtained from the Human Research Ethics Committee of Universiti Sains, Malaysia (JEPeM Code: USM/JEPeM/21030208), and the National Medical Research Register (NMMR) Malaysia (NMRR-21-344-58027). The confidentiality of the data was strictly prioritized.", "Owing to the fact that the data collection was carried out during the COVID-19 pandemic, along with the Movement Control Order (MCO) in Malaysia, several special considerations had to be taken. A teaching hospital in Kelantan, Malaysia, was selected as the study location. A prior meeting with the head nurse was conducted to obtain an overview of the wards’ usage, since many wards had been reassigned for COVID-19 cases during the pandemic. There were also strict measures regarding access to the wards. After a thorough discussion of the study, it was concluded that there were only six adult wards suitable for the study, namely, the surgical ward, orthopedic ward, medical ward, and oncology ward, as well as the obstetrics and gynecological ward and a multidisciplinary executive ward. According to Kline, for freely estimated parameters, a minimum of 10 samples used to represent each item can provide adequate statistical power [14]. The RAC-Q contains 12 items; therefore, a minimum of 120 samples were required. A high dropout rate of 20% was applied because of unpredictable bed occupancy rates and the capacity of the inpatients to answer the questionnaire during the pandemic.\nA second briefing session with the head nurses from each ward was held. Details of the study, including how it would be conducted, its purpose, and its benefits, were explained. The standard operating procedures, in accordance with guidelines for conducting research during the MCO, were carefully discussed. The expected daily bed occupancy rate was also noted during the meeting to help us in determining the sampling size. A stratified sampling proportionate to the number of beds was conducted in order to determine the number of participants needed from each ward. The executive ward had the lowest number of beds, followed by the oncology ward. The medical, surgical, and orthopedic wards had similar numbers of beds, whereas the obstetrics and gynecology ward had double the number of beds compared with the rest. A minimum of five days and a maximum of ten days were allocated to each ward in order to complete the data collection. On the day of the data collection, the eligible study population was determined according to strict criteria. Study participants were selected through computer-generated random numbers based on their bed numbers. The patients selected for the study were those aged 18 and above who had been in the ward for at least 24 h, were able to read and write, and were clinically stable enough to answer the questionnaire by themselves. Those who consented to participate were given the paper-based questionnaire and were asked to read the patient information sheet and answer the questions by themselves. They were also encouraged to watch a short video about the study, which was provided through a QR-coded link. Completed questionnaires were collected afterward by the researcher. ", "The RAC-Q was developed in 2017 in response to the Francis Report that highlighted the lack of compassionate care as the crucial cause that led to the failure of the UK Mid-Staffordshire NHS Foundation Trust. One of the report’s important recommendations was the need for a reliable measurement tool that could be sued to correctly measure compassionate care. The Picker Institute Europe, a non-governmental organization dedicated to compassionate care, collaborated with the University of Oxford to develop a questionnaire measuring this critical aspect of relational care, namely, compassionate care. The questionnaire was developed using a combination of quantitative, qualitative, and participatory research approaches [11]. During the initial development process, they identified 22 themes that included patient-perceived levels of security, knowledge, and personal value during their hospital stay or visit. The original questionnaire contained 20 items but was then successfully reduced to 12 items with only one domain. Five of the questions had a three-point Likert scale, whereas the other seven questions used four points. The responses were either in agreement form or in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes,” one point was given for “never,” and two points were given for “unsure”. The total score given by the patients was then converted into percent. The survey tool kit was widely used in regions under the UK’s NHS. However, few publications on its usage were found. Moreover, it has not been translated into any other language. It is a self-administered questionnaire that is answered on designated computer tablets. It was selected from among other measurement tools owing to its good psychometric properties, its focus on similar target groups, namely inpatients, and because it also assesses the relational aspects of care among healthcare providers as a whole rather than a particular, individual provider. ", "Before the RAC-Q underwent translation and cultural adaptation, permission to use the questionnaire was obtained from the corresponding author. The translation process followed the 10 steps proposed by established guidelines [13]. The steps were as follows below.\n\nPreparation\n\nThis initial phase involved the members of the research team members brainstorming about the translation and validation process, including three public health physicians and the main researcher. The translators, field experts, sampling population, and mode of data collection were meticulously discussed, considering the standard operating procedures and restrictions during the MCO due to COVID-19.\n\nForward Translation\n\nThis step focused on translating the English version of the RAC-Q into the Malay language. Two independent translators were recruited to perform the task. The first translator is a professional translator with credible experience in translating medical-based materials and appointed by the Linguistic Department of Universiti Sains, Malaysia. The second translator is a medical doctor with a public health qualification and has vast experience in quality assurance programs in healthcare. Both translators are native Malay speakers and can converse in English fluently. Each translator carried out the translation independently, and they were asked to notify the team if they encountered any difficulties in translating any word or sentence from the original questionnaire. \n\nReconciliation\n\nThis step aimed to produce a single forward translation by comparing and merging both forward translations of the translators. A committee consisting of experienced personnel working in hospital management, quality of care, nursing and clinical care, and language teaching was formed in order to review both forward translations. Both versions of the forward translations were compared with the original RAC-Q. The reconciliation process was completed by comparing each sentence in both translations. Words or phrases not relevant within the Malaysian context were replaced with alternative words or phrases. The content validity of the questionnaire was also determined at this stage. At the end of the meeting, one standard forward translation of the RAC-Q was produced and agreed upon by the review committee for its use in the next stage. \n\nBack Translation\n\nNext, two independent translators translated the reconciled Malay version of the RAC-Q into English. This step aimed to compare the back-translated questionnaire with the original questionnaire and determine whether there were changes to the words or meanings. The first translator is a professional translator appointed by the Linguistic Department of Universiti Sains, Malaysia (different from the forward translator). The second translator was a postgraduate student enrolled in a public health course at Universiti Sains, Malaysia. Both are fluent in both languages and were blinded to the original questionnaire. \n\nBack Translation Review\n\nAt this stage, the same committee reviewed the back-translated questionnaire and compared it with the original English version. They examined the equivalence in terms of the concepts, items, and semantics of both versions. The conceptual equivalence assessment aimed to ascertain whether the theme of compassionate care in healthcare was present in both settings, whereas the item equivalence was examined to determine whether or not specific items were relevant and acceptable to both populations [15]. Semantic equivalence, on the other hand, was assessed to ensure that the original and translated questionnaires had similar meanings. Generally, the review committee was satisfied with the forward translation of the RAC-Q. Thus, the standard forward translation was agreed upon as the preliminary RAC-Q Malay version (RAC-QM) to be used in the next stage.\n\nHarmonization\n\nAn additional quality check was carried out to ensure that the back-translated RAC-QM was in harmony with the original English version. It was performed in order to detect any translation discrepancies between the two languages. \n\nCognitive Debriefing\n\nCognitive debriefing was performed in order to test the translated version’s understandability, interpretation, and cultural relevance among a small group of relevant respondents. This enables one to detect any item that may be inappropriate and identify any other issues that may be confusing or misleading [16]. The cognitive debriefing was carried out by six respondents, namely, two males and four females in the age range from 30 to 45. Four of the respondents were inpatients who actually fulfilled the study criteria, and the other two respondents were nurses who worked in the wards. The respondents were briefed about the purpose of the cognitive debriefing. The preliminary RAC-QM was given to each respondent, and they were given time to answer all of the questions. They were then asked to give feedback on any confusing, unclear, or misleading sentences. They were also asked about their impression and understanding when they initially read particular phrases. \n\nReview of Cognitive Debriefing Results and Finalization\n\nAt this stage, feedback from the cognitive debriefing was presented and discussed with the review committee. The committee evaluated all of the comments, and necessary changes were made.\n\nProofreading\n\nProofreading was performed as a final step to consolidate the RAC-QM and inspect it for grammatical or typographical errors. Lastly, the committee conducted a final check to ensure that any corrections had been made. \n\nFinal Report\n\nLastly, a final report was created in order to document the whole process of the translation. This stage is essential for future translations and to ensure harmonization with the previously developed original-language version. ", "Pretesting was conducted at a teaching hospital and involved 30 adult inpatients that fit the study participants’ criteria. This step was carried out in order to further evaluate any shortcoming related to the questionnaire from the target population’s viewpoint. The RAC-QM was distributed to the participants through a QR code linked to a brief introductory video about the study.", "Data were analyzed using R software version 4.1.3 (R Core Team: Vienna, Austria, 2020). Owing to the non-normality of the data distribution, the robust maximum likelihood was preferred [17]. The construct validity was determined using CFA, and the internal reliability consistency was assessed using Cronbach’s alpha. Standardized factor loadings were measured, and items with factor loadings of >0.3 were considered acceptable [18]. The models’ goodness of fit was assessed using SRMR, RMSEA, CFI, and chi-squared tests following the values recommended by Schreiber et al. [19] and Brown [20]. The following cut-off values were taken into consideration to determine the goodness fit of the model: the comparative fit index (CFI) and Tucker–Lewis fit index (TLI) of >0.90, and the root mean square error of approximation (RMSEA) and standardized root mean square residual (SRMR) of <0.08 [17]. The revision of the model was considered on the basis of the factor loadings, standardized residuals (SRs), modification indices (MIs), and theoretical justification. Parameters with SR ≥ 2.58 and MI ≥ 3.84 were considered for the model. Factors were checked for multicollinearity if r > 0.85. The model was also selected on the basis of the Akaike Information Criterion (AIC) and Bayesian Information Criterion (BIC). Models with low values of the AIC and BIC were chosen [21]. A Cronbach’s alpha of ≥0.7 in the reliability assessment was considered acceptable [17].", "Ethical clearance for this research was obtained from the Human Research Ethics Committee of Universiti Sains, Malaysia (JEPeM Code: USM/JEPeM/21030208), and the National Medical Research Register (NMMR) Malaysia (NMRR-21-344-58027). The confidentiality of the data was strictly prioritized.", "The patients’ medical background and details of their admission at the time were also gathered. The median admission period was four days, with an IQR of 8.25 days. Half of the patients had at least one chronic disease. The majority of the patients lived with other family members at home. However, only half of them were accompanied all the time while in the ward. More than 80 percent of them did not receive any visitors while in hospital. For almost 40 percent of the patients, this was the first time in their lives that they had ever been admitted to the ward. About half of the patients were dependent on others to move, practice self-care, or perform activities of daily living. About 60 percent of the patients experienced pain or discomfort. However, more than half reported no anxiety or depression issues. Table 2 summarizes all the findings.", "Table 3 shows the patients’ responses to the questionnaire. The questionnaire contained 12 items. Five of the items had three answer options, whereas the other seven questions had four answer options. All questions except for numbers four and twelve provided answer options in agreement form. For question numbers four and twelve, answer options were in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes”, one point was given for “never”, and two points were given for “unsure”. \nTherefore, the maximum score a patient can provide is 48 points, and the minimum is 12 points. The total score that a patient provides is divided by 48 and multiplied by 100 to convert it to percent. The higher the score is, the more compassionate the healthcare provider is, as perceived by the patients. In general, the average points given by the patients for each item were between 3.42 and 3.91. The lowest points were given for question number one: “Did staff members introduce themselves before treating or caring for you?”. At the same time, patients could appreciate the staff members’ competency and gave them, on average, 3.91 points out of 4.0. ", "The translation and validation processes was performed according to the 10 proposed steps. In general, there was no significant difficulty faced during the process. The forward translation was carried out by two independent translators, who produced comparable and highly similar forward translations. An important point that was discussed was the appropriate Malay term for compassion. Both translators chose “penyayang” for “compassion”. Deeper consideration was given, as one of the central values of MOH’s corporate culture is “penyayang”, but it was translated into English as “caring”. After an in-depth discussion about the connotations of “budaya penyayang” in MOH’s corporate culture, the committee agreed that “penyayang”, in the corporate culture, is equivalent to compassion. “Penyayang” has also been used in the local healthcare system since the beginning of its service. Moreover, the concept of compassion has emerged relatively recently. No major modification was applied during the cognitive debriefing. The respondents gave feedback indicating that the questionnaire could be easily understood. The questions also sufficiently covered their thoughts about compassion. Some of the respondents suggested providing a short video to explain the survey before the respondents started to answer. Thus, a short introductory video was prepared and distributed during the pretest and actual survey.", "The construct validity of the initial model (model 1) was determined using CFA. Model 1 contains items similar to the original version. In general, model 1 had a reasonable goodness of fit, with a chi-square statistic divided by the degree of freedom of 1.43, SRMR of 0.07, RMSEA of 0.06, CFI of 0.92, and TLI of 0.90. Model 1 also showed good reliability, with a Cronbach’s alpha of 0.85. The standardized factor loadings for all items were >0.40, except that for question number eight, which was 0.40, as shown in Table 4. Model 2 was created by excluding question number eight. Overall, model 2 did not have significantly better indices, and removing question number eight did not improve any other item’s factor loading, as shown in Table 5. Figure 2 shows the path diagram of the RAC-Q. There was no multicollinearity between items, and all the factor loadings were acceptable. " ]
[ null, "subjects", null, null, null, null, null, null, null, null, null ]
[ "1. Introduction", "2. Materials and Methods", "2.1. Study Setting and Participants", "2.2. Relational Aspect of Care Questionnaire (RAC-Q)", "2.3. Translation and Cultural Adaptation of the RAC-Q", "2.4. Pretesting of RAC-QM", "2.5. Statistical Analysis", "2.6. Ethical Consideration", "3. Results", "3.1. Sociodemographic Characteristics of Inpatients", "3.2. Medical and Admission Background", "3.3. Patients’ Responses to Questionnaire ", "3.4. Translation and Validation of RAC-Q", "3.5. Confirmatory Factor Analysis of the RAC-QM", "4. Discussion", "5. Conclusions" ]
[ "The evaluation of patients’ experience when receiving healthcare services has become an important topic worldwide, especially in the past few decades. In 2001, the Institute of Medicine (IOM) released its Patient Safety Goals, which emphasized patient-centered care as one of the goals [1]. Before then, little attention was given to this aspect of quality care. This could be attributed to many factors, such as the shifting of tax-funded healthcare systems to privatized and performance-based payments. The revolution of industries also places constant pressure on healthcare systems worldwide to take into account patients’ experiences of receiving care. In general, a good patient experience should encompass all aspects of care, which include the functional, transactional, and relational aspects of care. The scarcity of resources in the healthcare system should not act as a barrier to the provision of high-quality care, which includes all aspects of their management. It is certain that a good patient experience not only improves the well-being of patients but also benefits the healthcare system as a whole. However, these aspects of care are, indeed, very complex and depend on the subjective experiences of individual patients [2], especially the relational aspect. Much work has been conducted in order to develop tools that can help us to accurately measure the relational aspect of care so that improvements can be made. Most of them have been developed for a unique target population.\nThe importance of the relational aspect of care has also been emphasized in many other reports [3,4,5]. One of the infamous public inquiry reports that highlighted compassionate care is the Francis Report [6]. The inquiry was conducted as a consequence of many public complaints against the Mid-Staffordshire National Health Service (NHS) Foundation Trust concerning poor care. The report revealed many weaknesses in the system, but the most prominent was the lack of compassion among its staff. The report also highlighted the need for a measurement tool with which to properly assess compassion [6]. The Picker Institute Europe is among the organizations dedicated to nurturing compassionate care in the healthcare system. The organization has developed many measurement tools to cater to different target groups or healthcare settings. One of them is the Relational Aspect of Care Questionnaire (RAC-Q), which has been widely used across the UK. Many other measurement tools are being developed, validated, and reviewed. Nevertheless, a review of nine studies that reported on the measurement tools for compassionate care in healthcare found that there is still an unmet need for a psychometrically validated tool that can comprehensively measure the construct of compassion in healthcare settings [7]. \nIn Malaysia, efforts to improve patient experiences can be seen in many initiatives. Among the earliest was the incorporation of budaya penyayang or “caring” as one of the central values of the Ministry of Health’s (MOH) corporate culture. MOH’s corporate culture committee was formed in the 1990s, with three central values: caring, professionalism, and teamwork. The committee undertook many initiatives in order to instill these values through corporate songs, workshops, and exhibitions. However, after more than three decades since its introduction, there was very limited published evidence regarding the program’s effectiveness, especially from the patient’s perspective. MOH received over five thousand official complaints each year, and at least a quarter of the complaints were related to poor service quality [8]. However, contrary to the common belief that the lack of compassionate care is due to healthcare worker’s (HCW) weakness and ignorance, evidence showed that patients’ characteristics and the care environment considerably affect patients’ perspectives on the compassionate care provided [9,10,11,12]. As long as these factors are not recognized, the quality of our image of healthcare will be jeopardized. The Model of the Interpersonal Process of Compassion [9], as shown in Figure 1, highlights the complexity of compassionate care, which involves many aspects related to different parties. The lack of a clinical measure of compassion with solid evidence of the measurements’ validity is a significant barrier to the improvement and development of clinical practice and patient satisfaction [10]. Therefore, a psychometrically valid measurement tool is needed in order to correctly measure this crucial aspect of care.\nTo date, the RAC-Q is among the available, validated tools used to measure healthcare workers’ compassionate care for inpatients. The RAC-Q was developed and validated by researchers from the Picker Institute Europe and Nuffield Department of Population Health, University of Oxford. It is based on data from the 2012 NHS Emergency Department Survey and the 2013 NHS Adult Inpatient Survey. The initial questionnaire contained 20 closed-ended questions, with a very high reliability (factor loading of 0.458–0.870, Cronbach’s alpha of 0.950, and McDonald’s omega of 0.951). It was then subsequently reduced to a 12-item questionnaire. The short version of the questionnaire has a better completion rate but is still able to retain its strong psychometric properties (Cronbach’s alpha of 0.92 and intraclass correlation coefficient of 0.97). It measures the relational aspect of care across 22 themes [11]. The completion of the survey requires a mean time of 8.5 min, with a standard deviation of 9.9 min [12]. The original RAC-Q was administered digitally, and the responses were captured in near real time. Therefore, prompt actions could be taken by the service provider in response to the feedback received. A similar method can be applied to assess and improve compassionate care among healthcare workers in Malaysia. However, for this purpose, the RAC-Q would need to be translated, since most respondents will be Malays. Linguistic appropriateness is one of the key factors that can improve the results’ validity and reliability [13,14].", " 2.1. Study Setting and Participants Owing to the fact that the data collection was carried out during the COVID-19 pandemic, along with the Movement Control Order (MCO) in Malaysia, several special considerations had to be taken. A teaching hospital in Kelantan, Malaysia, was selected as the study location. A prior meeting with the head nurse was conducted to obtain an overview of the wards’ usage, since many wards had been reassigned for COVID-19 cases during the pandemic. There were also strict measures regarding access to the wards. After a thorough discussion of the study, it was concluded that there were only six adult wards suitable for the study, namely, the surgical ward, orthopedic ward, medical ward, and oncology ward, as well as the obstetrics and gynecological ward and a multidisciplinary executive ward. According to Kline, for freely estimated parameters, a minimum of 10 samples used to represent each item can provide adequate statistical power [14]. The RAC-Q contains 12 items; therefore, a minimum of 120 samples were required. A high dropout rate of 20% was applied because of unpredictable bed occupancy rates and the capacity of the inpatients to answer the questionnaire during the pandemic.\nA second briefing session with the head nurses from each ward was held. Details of the study, including how it would be conducted, its purpose, and its benefits, were explained. The standard operating procedures, in accordance with guidelines for conducting research during the MCO, were carefully discussed. The expected daily bed occupancy rate was also noted during the meeting to help us in determining the sampling size. A stratified sampling proportionate to the number of beds was conducted in order to determine the number of participants needed from each ward. The executive ward had the lowest number of beds, followed by the oncology ward. The medical, surgical, and orthopedic wards had similar numbers of beds, whereas the obstetrics and gynecology ward had double the number of beds compared with the rest. A minimum of five days and a maximum of ten days were allocated to each ward in order to complete the data collection. On the day of the data collection, the eligible study population was determined according to strict criteria. Study participants were selected through computer-generated random numbers based on their bed numbers. The patients selected for the study were those aged 18 and above who had been in the ward for at least 24 h, were able to read and write, and were clinically stable enough to answer the questionnaire by themselves. Those who consented to participate were given the paper-based questionnaire and were asked to read the patient information sheet and answer the questions by themselves. They were also encouraged to watch a short video about the study, which was provided through a QR-coded link. Completed questionnaires were collected afterward by the researcher. \nOwing to the fact that the data collection was carried out during the COVID-19 pandemic, along with the Movement Control Order (MCO) in Malaysia, several special considerations had to be taken. A teaching hospital in Kelantan, Malaysia, was selected as the study location. A prior meeting with the head nurse was conducted to obtain an overview of the wards’ usage, since many wards had been reassigned for COVID-19 cases during the pandemic. There were also strict measures regarding access to the wards. After a thorough discussion of the study, it was concluded that there were only six adult wards suitable for the study, namely, the surgical ward, orthopedic ward, medical ward, and oncology ward, as well as the obstetrics and gynecological ward and a multidisciplinary executive ward. According to Kline, for freely estimated parameters, a minimum of 10 samples used to represent each item can provide adequate statistical power [14]. The RAC-Q contains 12 items; therefore, a minimum of 120 samples were required. A high dropout rate of 20% was applied because of unpredictable bed occupancy rates and the capacity of the inpatients to answer the questionnaire during the pandemic.\nA second briefing session with the head nurses from each ward was held. Details of the study, including how it would be conducted, its purpose, and its benefits, were explained. The standard operating procedures, in accordance with guidelines for conducting research during the MCO, were carefully discussed. The expected daily bed occupancy rate was also noted during the meeting to help us in determining the sampling size. A stratified sampling proportionate to the number of beds was conducted in order to determine the number of participants needed from each ward. The executive ward had the lowest number of beds, followed by the oncology ward. The medical, surgical, and orthopedic wards had similar numbers of beds, whereas the obstetrics and gynecology ward had double the number of beds compared with the rest. A minimum of five days and a maximum of ten days were allocated to each ward in order to complete the data collection. On the day of the data collection, the eligible study population was determined according to strict criteria. Study participants were selected through computer-generated random numbers based on their bed numbers. The patients selected for the study were those aged 18 and above who had been in the ward for at least 24 h, were able to read and write, and were clinically stable enough to answer the questionnaire by themselves. Those who consented to participate were given the paper-based questionnaire and were asked to read the patient information sheet and answer the questions by themselves. They were also encouraged to watch a short video about the study, which was provided through a QR-coded link. Completed questionnaires were collected afterward by the researcher. \n 2.2. Relational Aspect of Care Questionnaire (RAC-Q) The RAC-Q was developed in 2017 in response to the Francis Report that highlighted the lack of compassionate care as the crucial cause that led to the failure of the UK Mid-Staffordshire NHS Foundation Trust. One of the report’s important recommendations was the need for a reliable measurement tool that could be sued to correctly measure compassionate care. The Picker Institute Europe, a non-governmental organization dedicated to compassionate care, collaborated with the University of Oxford to develop a questionnaire measuring this critical aspect of relational care, namely, compassionate care. The questionnaire was developed using a combination of quantitative, qualitative, and participatory research approaches [11]. During the initial development process, they identified 22 themes that included patient-perceived levels of security, knowledge, and personal value during their hospital stay or visit. The original questionnaire contained 20 items but was then successfully reduced to 12 items with only one domain. Five of the questions had a three-point Likert scale, whereas the other seven questions used four points. The responses were either in agreement form or in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes,” one point was given for “never,” and two points were given for “unsure”. The total score given by the patients was then converted into percent. The survey tool kit was widely used in regions under the UK’s NHS. However, few publications on its usage were found. Moreover, it has not been translated into any other language. It is a self-administered questionnaire that is answered on designated computer tablets. It was selected from among other measurement tools owing to its good psychometric properties, its focus on similar target groups, namely inpatients, and because it also assesses the relational aspects of care among healthcare providers as a whole rather than a particular, individual provider. \nThe RAC-Q was developed in 2017 in response to the Francis Report that highlighted the lack of compassionate care as the crucial cause that led to the failure of the UK Mid-Staffordshire NHS Foundation Trust. One of the report’s important recommendations was the need for a reliable measurement tool that could be sued to correctly measure compassionate care. The Picker Institute Europe, a non-governmental organization dedicated to compassionate care, collaborated with the University of Oxford to develop a questionnaire measuring this critical aspect of relational care, namely, compassionate care. The questionnaire was developed using a combination of quantitative, qualitative, and participatory research approaches [11]. During the initial development process, they identified 22 themes that included patient-perceived levels of security, knowledge, and personal value during their hospital stay or visit. The original questionnaire contained 20 items but was then successfully reduced to 12 items with only one domain. Five of the questions had a three-point Likert scale, whereas the other seven questions used four points. The responses were either in agreement form or in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes,” one point was given for “never,” and two points were given for “unsure”. The total score given by the patients was then converted into percent. The survey tool kit was widely used in regions under the UK’s NHS. However, few publications on its usage were found. Moreover, it has not been translated into any other language. It is a self-administered questionnaire that is answered on designated computer tablets. It was selected from among other measurement tools owing to its good psychometric properties, its focus on similar target groups, namely inpatients, and because it also assesses the relational aspects of care among healthcare providers as a whole rather than a particular, individual provider. \n 2.3. Translation and Cultural Adaptation of the RAC-Q Before the RAC-Q underwent translation and cultural adaptation, permission to use the questionnaire was obtained from the corresponding author. The translation process followed the 10 steps proposed by established guidelines [13]. The steps were as follows below.\n\nPreparation\n\nThis initial phase involved the members of the research team members brainstorming about the translation and validation process, including three public health physicians and the main researcher. The translators, field experts, sampling population, and mode of data collection were meticulously discussed, considering the standard operating procedures and restrictions during the MCO due to COVID-19.\n\nForward Translation\n\nThis step focused on translating the English version of the RAC-Q into the Malay language. Two independent translators were recruited to perform the task. The first translator is a professional translator with credible experience in translating medical-based materials and appointed by the Linguistic Department of Universiti Sains, Malaysia. The second translator is a medical doctor with a public health qualification and has vast experience in quality assurance programs in healthcare. Both translators are native Malay speakers and can converse in English fluently. Each translator carried out the translation independently, and they were asked to notify the team if they encountered any difficulties in translating any word or sentence from the original questionnaire. \n\nReconciliation\n\nThis step aimed to produce a single forward translation by comparing and merging both forward translations of the translators. A committee consisting of experienced personnel working in hospital management, quality of care, nursing and clinical care, and language teaching was formed in order to review both forward translations. Both versions of the forward translations were compared with the original RAC-Q. The reconciliation process was completed by comparing each sentence in both translations. Words or phrases not relevant within the Malaysian context were replaced with alternative words or phrases. The content validity of the questionnaire was also determined at this stage. At the end of the meeting, one standard forward translation of the RAC-Q was produced and agreed upon by the review committee for its use in the next stage. \n\nBack Translation\n\nNext, two independent translators translated the reconciled Malay version of the RAC-Q into English. This step aimed to compare the back-translated questionnaire with the original questionnaire and determine whether there were changes to the words or meanings. The first translator is a professional translator appointed by the Linguistic Department of Universiti Sains, Malaysia (different from the forward translator). The second translator was a postgraduate student enrolled in a public health course at Universiti Sains, Malaysia. Both are fluent in both languages and were blinded to the original questionnaire. \n\nBack Translation Review\n\nAt this stage, the same committee reviewed the back-translated questionnaire and compared it with the original English version. They examined the equivalence in terms of the concepts, items, and semantics of both versions. The conceptual equivalence assessment aimed to ascertain whether the theme of compassionate care in healthcare was present in both settings, whereas the item equivalence was examined to determine whether or not specific items were relevant and acceptable to both populations [15]. Semantic equivalence, on the other hand, was assessed to ensure that the original and translated questionnaires had similar meanings. Generally, the review committee was satisfied with the forward translation of the RAC-Q. Thus, the standard forward translation was agreed upon as the preliminary RAC-Q Malay version (RAC-QM) to be used in the next stage.\n\nHarmonization\n\nAn additional quality check was carried out to ensure that the back-translated RAC-QM was in harmony with the original English version. It was performed in order to detect any translation discrepancies between the two languages. \n\nCognitive Debriefing\n\nCognitive debriefing was performed in order to test the translated version’s understandability, interpretation, and cultural relevance among a small group of relevant respondents. This enables one to detect any item that may be inappropriate and identify any other issues that may be confusing or misleading [16]. The cognitive debriefing was carried out by six respondents, namely, two males and four females in the age range from 30 to 45. Four of the respondents were inpatients who actually fulfilled the study criteria, and the other two respondents were nurses who worked in the wards. The respondents were briefed about the purpose of the cognitive debriefing. The preliminary RAC-QM was given to each respondent, and they were given time to answer all of the questions. They were then asked to give feedback on any confusing, unclear, or misleading sentences. They were also asked about their impression and understanding when they initially read particular phrases. \n\nReview of Cognitive Debriefing Results and Finalization\n\nAt this stage, feedback from the cognitive debriefing was presented and discussed with the review committee. The committee evaluated all of the comments, and necessary changes were made.\n\nProofreading\n\nProofreading was performed as a final step to consolidate the RAC-QM and inspect it for grammatical or typographical errors. Lastly, the committee conducted a final check to ensure that any corrections had been made. \n\nFinal Report\n\nLastly, a final report was created in order to document the whole process of the translation. This stage is essential for future translations and to ensure harmonization with the previously developed original-language version. \nBefore the RAC-Q underwent translation and cultural adaptation, permission to use the questionnaire was obtained from the corresponding author. The translation process followed the 10 steps proposed by established guidelines [13]. The steps were as follows below.\n\nPreparation\n\nThis initial phase involved the members of the research team members brainstorming about the translation and validation process, including three public health physicians and the main researcher. The translators, field experts, sampling population, and mode of data collection were meticulously discussed, considering the standard operating procedures and restrictions during the MCO due to COVID-19.\n\nForward Translation\n\nThis step focused on translating the English version of the RAC-Q into the Malay language. Two independent translators were recruited to perform the task. The first translator is a professional translator with credible experience in translating medical-based materials and appointed by the Linguistic Department of Universiti Sains, Malaysia. The second translator is a medical doctor with a public health qualification and has vast experience in quality assurance programs in healthcare. Both translators are native Malay speakers and can converse in English fluently. Each translator carried out the translation independently, and they were asked to notify the team if they encountered any difficulties in translating any word or sentence from the original questionnaire. \n\nReconciliation\n\nThis step aimed to produce a single forward translation by comparing and merging both forward translations of the translators. A committee consisting of experienced personnel working in hospital management, quality of care, nursing and clinical care, and language teaching was formed in order to review both forward translations. Both versions of the forward translations were compared with the original RAC-Q. The reconciliation process was completed by comparing each sentence in both translations. Words or phrases not relevant within the Malaysian context were replaced with alternative words or phrases. The content validity of the questionnaire was also determined at this stage. At the end of the meeting, one standard forward translation of the RAC-Q was produced and agreed upon by the review committee for its use in the next stage. \n\nBack Translation\n\nNext, two independent translators translated the reconciled Malay version of the RAC-Q into English. This step aimed to compare the back-translated questionnaire with the original questionnaire and determine whether there were changes to the words or meanings. The first translator is a professional translator appointed by the Linguistic Department of Universiti Sains, Malaysia (different from the forward translator). The second translator was a postgraduate student enrolled in a public health course at Universiti Sains, Malaysia. Both are fluent in both languages and were blinded to the original questionnaire. \n\nBack Translation Review\n\nAt this stage, the same committee reviewed the back-translated questionnaire and compared it with the original English version. They examined the equivalence in terms of the concepts, items, and semantics of both versions. The conceptual equivalence assessment aimed to ascertain whether the theme of compassionate care in healthcare was present in both settings, whereas the item equivalence was examined to determine whether or not specific items were relevant and acceptable to both populations [15]. Semantic equivalence, on the other hand, was assessed to ensure that the original and translated questionnaires had similar meanings. Generally, the review committee was satisfied with the forward translation of the RAC-Q. Thus, the standard forward translation was agreed upon as the preliminary RAC-Q Malay version (RAC-QM) to be used in the next stage.\n\nHarmonization\n\nAn additional quality check was carried out to ensure that the back-translated RAC-QM was in harmony with the original English version. It was performed in order to detect any translation discrepancies between the two languages. \n\nCognitive Debriefing\n\nCognitive debriefing was performed in order to test the translated version’s understandability, interpretation, and cultural relevance among a small group of relevant respondents. This enables one to detect any item that may be inappropriate and identify any other issues that may be confusing or misleading [16]. The cognitive debriefing was carried out by six respondents, namely, two males and four females in the age range from 30 to 45. Four of the respondents were inpatients who actually fulfilled the study criteria, and the other two respondents were nurses who worked in the wards. The respondents were briefed about the purpose of the cognitive debriefing. The preliminary RAC-QM was given to each respondent, and they were given time to answer all of the questions. They were then asked to give feedback on any confusing, unclear, or misleading sentences. They were also asked about their impression and understanding when they initially read particular phrases. \n\nReview of Cognitive Debriefing Results and Finalization\n\nAt this stage, feedback from the cognitive debriefing was presented and discussed with the review committee. The committee evaluated all of the comments, and necessary changes were made.\n\nProofreading\n\nProofreading was performed as a final step to consolidate the RAC-QM and inspect it for grammatical or typographical errors. Lastly, the committee conducted a final check to ensure that any corrections had been made. \n\nFinal Report\n\nLastly, a final report was created in order to document the whole process of the translation. This stage is essential for future translations and to ensure harmonization with the previously developed original-language version. \n 2.4. Pretesting of RAC-QM Pretesting was conducted at a teaching hospital and involved 30 adult inpatients that fit the study participants’ criteria. This step was carried out in order to further evaluate any shortcoming related to the questionnaire from the target population’s viewpoint. The RAC-QM was distributed to the participants through a QR code linked to a brief introductory video about the study.\nPretesting was conducted at a teaching hospital and involved 30 adult inpatients that fit the study participants’ criteria. This step was carried out in order to further evaluate any shortcoming related to the questionnaire from the target population’s viewpoint. The RAC-QM was distributed to the participants through a QR code linked to a brief introductory video about the study.\n 2.5. Statistical Analysis Data were analyzed using R software version 4.1.3 (R Core Team: Vienna, Austria, 2020). Owing to the non-normality of the data distribution, the robust maximum likelihood was preferred [17]. The construct validity was determined using CFA, and the internal reliability consistency was assessed using Cronbach’s alpha. Standardized factor loadings were measured, and items with factor loadings of >0.3 were considered acceptable [18]. The models’ goodness of fit was assessed using SRMR, RMSEA, CFI, and chi-squared tests following the values recommended by Schreiber et al. [19] and Brown [20]. The following cut-off values were taken into consideration to determine the goodness fit of the model: the comparative fit index (CFI) and Tucker–Lewis fit index (TLI) of >0.90, and the root mean square error of approximation (RMSEA) and standardized root mean square residual (SRMR) of <0.08 [17]. The revision of the model was considered on the basis of the factor loadings, standardized residuals (SRs), modification indices (MIs), and theoretical justification. Parameters with SR ≥ 2.58 and MI ≥ 3.84 were considered for the model. Factors were checked for multicollinearity if r > 0.85. The model was also selected on the basis of the Akaike Information Criterion (AIC) and Bayesian Information Criterion (BIC). Models with low values of the AIC and BIC were chosen [21]. A Cronbach’s alpha of ≥0.7 in the reliability assessment was considered acceptable [17].\nData were analyzed using R software version 4.1.3 (R Core Team: Vienna, Austria, 2020). Owing to the non-normality of the data distribution, the robust maximum likelihood was preferred [17]. The construct validity was determined using CFA, and the internal reliability consistency was assessed using Cronbach’s alpha. Standardized factor loadings were measured, and items with factor loadings of >0.3 were considered acceptable [18]. The models’ goodness of fit was assessed using SRMR, RMSEA, CFI, and chi-squared tests following the values recommended by Schreiber et al. [19] and Brown [20]. The following cut-off values were taken into consideration to determine the goodness fit of the model: the comparative fit index (CFI) and Tucker–Lewis fit index (TLI) of >0.90, and the root mean square error of approximation (RMSEA) and standardized root mean square residual (SRMR) of <0.08 [17]. The revision of the model was considered on the basis of the factor loadings, standardized residuals (SRs), modification indices (MIs), and theoretical justification. Parameters with SR ≥ 2.58 and MI ≥ 3.84 were considered for the model. Factors were checked for multicollinearity if r > 0.85. The model was also selected on the basis of the Akaike Information Criterion (AIC) and Bayesian Information Criterion (BIC). Models with low values of the AIC and BIC were chosen [21]. A Cronbach’s alpha of ≥0.7 in the reliability assessment was considered acceptable [17].\n 2.6. Ethical Consideration Ethical clearance for this research was obtained from the Human Research Ethics Committee of Universiti Sains, Malaysia (JEPeM Code: USM/JEPeM/21030208), and the National Medical Research Register (NMMR) Malaysia (NMRR-21-344-58027). The confidentiality of the data was strictly prioritized.\nEthical clearance for this research was obtained from the Human Research Ethics Committee of Universiti Sains, Malaysia (JEPeM Code: USM/JEPeM/21030208), and the National Medical Research Register (NMMR) Malaysia (NMRR-21-344-58027). The confidentiality of the data was strictly prioritized.", "Owing to the fact that the data collection was carried out during the COVID-19 pandemic, along with the Movement Control Order (MCO) in Malaysia, several special considerations had to be taken. A teaching hospital in Kelantan, Malaysia, was selected as the study location. A prior meeting with the head nurse was conducted to obtain an overview of the wards’ usage, since many wards had been reassigned for COVID-19 cases during the pandemic. There were also strict measures regarding access to the wards. After a thorough discussion of the study, it was concluded that there were only six adult wards suitable for the study, namely, the surgical ward, orthopedic ward, medical ward, and oncology ward, as well as the obstetrics and gynecological ward and a multidisciplinary executive ward. According to Kline, for freely estimated parameters, a minimum of 10 samples used to represent each item can provide adequate statistical power [14]. The RAC-Q contains 12 items; therefore, a minimum of 120 samples were required. A high dropout rate of 20% was applied because of unpredictable bed occupancy rates and the capacity of the inpatients to answer the questionnaire during the pandemic.\nA second briefing session with the head nurses from each ward was held. Details of the study, including how it would be conducted, its purpose, and its benefits, were explained. The standard operating procedures, in accordance with guidelines for conducting research during the MCO, were carefully discussed. The expected daily bed occupancy rate was also noted during the meeting to help us in determining the sampling size. A stratified sampling proportionate to the number of beds was conducted in order to determine the number of participants needed from each ward. The executive ward had the lowest number of beds, followed by the oncology ward. The medical, surgical, and orthopedic wards had similar numbers of beds, whereas the obstetrics and gynecology ward had double the number of beds compared with the rest. A minimum of five days and a maximum of ten days were allocated to each ward in order to complete the data collection. On the day of the data collection, the eligible study population was determined according to strict criteria. Study participants were selected through computer-generated random numbers based on their bed numbers. The patients selected for the study were those aged 18 and above who had been in the ward for at least 24 h, were able to read and write, and were clinically stable enough to answer the questionnaire by themselves. Those who consented to participate were given the paper-based questionnaire and were asked to read the patient information sheet and answer the questions by themselves. They were also encouraged to watch a short video about the study, which was provided through a QR-coded link. Completed questionnaires were collected afterward by the researcher. ", "The RAC-Q was developed in 2017 in response to the Francis Report that highlighted the lack of compassionate care as the crucial cause that led to the failure of the UK Mid-Staffordshire NHS Foundation Trust. One of the report’s important recommendations was the need for a reliable measurement tool that could be sued to correctly measure compassionate care. The Picker Institute Europe, a non-governmental organization dedicated to compassionate care, collaborated with the University of Oxford to develop a questionnaire measuring this critical aspect of relational care, namely, compassionate care. The questionnaire was developed using a combination of quantitative, qualitative, and participatory research approaches [11]. During the initial development process, they identified 22 themes that included patient-perceived levels of security, knowledge, and personal value during their hospital stay or visit. The original questionnaire contained 20 items but was then successfully reduced to 12 items with only one domain. Five of the questions had a three-point Likert scale, whereas the other seven questions used four points. The responses were either in agreement form or in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes,” one point was given for “never,” and two points were given for “unsure”. The total score given by the patients was then converted into percent. The survey tool kit was widely used in regions under the UK’s NHS. However, few publications on its usage were found. Moreover, it has not been translated into any other language. It is a self-administered questionnaire that is answered on designated computer tablets. It was selected from among other measurement tools owing to its good psychometric properties, its focus on similar target groups, namely inpatients, and because it also assesses the relational aspects of care among healthcare providers as a whole rather than a particular, individual provider. ", "Before the RAC-Q underwent translation and cultural adaptation, permission to use the questionnaire was obtained from the corresponding author. The translation process followed the 10 steps proposed by established guidelines [13]. The steps were as follows below.\n\nPreparation\n\nThis initial phase involved the members of the research team members brainstorming about the translation and validation process, including three public health physicians and the main researcher. The translators, field experts, sampling population, and mode of data collection were meticulously discussed, considering the standard operating procedures and restrictions during the MCO due to COVID-19.\n\nForward Translation\n\nThis step focused on translating the English version of the RAC-Q into the Malay language. Two independent translators were recruited to perform the task. The first translator is a professional translator with credible experience in translating medical-based materials and appointed by the Linguistic Department of Universiti Sains, Malaysia. The second translator is a medical doctor with a public health qualification and has vast experience in quality assurance programs in healthcare. Both translators are native Malay speakers and can converse in English fluently. Each translator carried out the translation independently, and they were asked to notify the team if they encountered any difficulties in translating any word or sentence from the original questionnaire. \n\nReconciliation\n\nThis step aimed to produce a single forward translation by comparing and merging both forward translations of the translators. A committee consisting of experienced personnel working in hospital management, quality of care, nursing and clinical care, and language teaching was formed in order to review both forward translations. Both versions of the forward translations were compared with the original RAC-Q. The reconciliation process was completed by comparing each sentence in both translations. Words or phrases not relevant within the Malaysian context were replaced with alternative words or phrases. The content validity of the questionnaire was also determined at this stage. At the end of the meeting, one standard forward translation of the RAC-Q was produced and agreed upon by the review committee for its use in the next stage. \n\nBack Translation\n\nNext, two independent translators translated the reconciled Malay version of the RAC-Q into English. This step aimed to compare the back-translated questionnaire with the original questionnaire and determine whether there were changes to the words or meanings. The first translator is a professional translator appointed by the Linguistic Department of Universiti Sains, Malaysia (different from the forward translator). The second translator was a postgraduate student enrolled in a public health course at Universiti Sains, Malaysia. Both are fluent in both languages and were blinded to the original questionnaire. \n\nBack Translation Review\n\nAt this stage, the same committee reviewed the back-translated questionnaire and compared it with the original English version. They examined the equivalence in terms of the concepts, items, and semantics of both versions. The conceptual equivalence assessment aimed to ascertain whether the theme of compassionate care in healthcare was present in both settings, whereas the item equivalence was examined to determine whether or not specific items were relevant and acceptable to both populations [15]. Semantic equivalence, on the other hand, was assessed to ensure that the original and translated questionnaires had similar meanings. Generally, the review committee was satisfied with the forward translation of the RAC-Q. Thus, the standard forward translation was agreed upon as the preliminary RAC-Q Malay version (RAC-QM) to be used in the next stage.\n\nHarmonization\n\nAn additional quality check was carried out to ensure that the back-translated RAC-QM was in harmony with the original English version. It was performed in order to detect any translation discrepancies between the two languages. \n\nCognitive Debriefing\n\nCognitive debriefing was performed in order to test the translated version’s understandability, interpretation, and cultural relevance among a small group of relevant respondents. This enables one to detect any item that may be inappropriate and identify any other issues that may be confusing or misleading [16]. The cognitive debriefing was carried out by six respondents, namely, two males and four females in the age range from 30 to 45. Four of the respondents were inpatients who actually fulfilled the study criteria, and the other two respondents were nurses who worked in the wards. The respondents were briefed about the purpose of the cognitive debriefing. The preliminary RAC-QM was given to each respondent, and they were given time to answer all of the questions. They were then asked to give feedback on any confusing, unclear, or misleading sentences. They were also asked about their impression and understanding when they initially read particular phrases. \n\nReview of Cognitive Debriefing Results and Finalization\n\nAt this stage, feedback from the cognitive debriefing was presented and discussed with the review committee. The committee evaluated all of the comments, and necessary changes were made.\n\nProofreading\n\nProofreading was performed as a final step to consolidate the RAC-QM and inspect it for grammatical or typographical errors. Lastly, the committee conducted a final check to ensure that any corrections had been made. \n\nFinal Report\n\nLastly, a final report was created in order to document the whole process of the translation. This stage is essential for future translations and to ensure harmonization with the previously developed original-language version. ", "Pretesting was conducted at a teaching hospital and involved 30 adult inpatients that fit the study participants’ criteria. This step was carried out in order to further evaluate any shortcoming related to the questionnaire from the target population’s viewpoint. The RAC-QM was distributed to the participants through a QR code linked to a brief introductory video about the study.", "Data were analyzed using R software version 4.1.3 (R Core Team: Vienna, Austria, 2020). Owing to the non-normality of the data distribution, the robust maximum likelihood was preferred [17]. The construct validity was determined using CFA, and the internal reliability consistency was assessed using Cronbach’s alpha. Standardized factor loadings were measured, and items with factor loadings of >0.3 were considered acceptable [18]. The models’ goodness of fit was assessed using SRMR, RMSEA, CFI, and chi-squared tests following the values recommended by Schreiber et al. [19] and Brown [20]. The following cut-off values were taken into consideration to determine the goodness fit of the model: the comparative fit index (CFI) and Tucker–Lewis fit index (TLI) of >0.90, and the root mean square error of approximation (RMSEA) and standardized root mean square residual (SRMR) of <0.08 [17]. The revision of the model was considered on the basis of the factor loadings, standardized residuals (SRs), modification indices (MIs), and theoretical justification. Parameters with SR ≥ 2.58 and MI ≥ 3.84 were considered for the model. Factors were checked for multicollinearity if r > 0.85. The model was also selected on the basis of the Akaike Information Criterion (AIC) and Bayesian Information Criterion (BIC). Models with low values of the AIC and BIC were chosen [21]. A Cronbach’s alpha of ≥0.7 in the reliability assessment was considered acceptable [17].", "Ethical clearance for this research was obtained from the Human Research Ethics Committee of Universiti Sains, Malaysia (JEPeM Code: USM/JEPeM/21030208), and the National Medical Research Register (NMMR) Malaysia (NMRR-21-344-58027). The confidentiality of the data was strictly prioritized.", "Data from 138 inpatients were eligible for analysis. Sociodemographic characteristics of the patients were described quantitatively, and CFA was performed in order to validate the RAC-QM. \n 3.1. Sociodemographic Characteristics of Inpatients Initially, 150 respondents were recruited from six adult wards: the surgical ward, medical ward, orthopedic ward, oncology ward, obstetrics and gynecology ward, and a multidisciplinary executive ward. Of all the responses from 150 respondents, those from 12 respondents had to be removed owing to missing data.\nWith regard to the sociodemographic background of the respondents, there was an almost equal proportion of males and females. Half of them were aged below 40 years old, and the majority were Malays and Muslim. About one-quarter of the respondents did not have legal partners at the time of the study. More than 60 percent of the respondents completed secondary school, and almost 60 percent of the respondents were in the B40 income category, as classified on the basis of the Household Income and Basic Amenities survey of 2019, Department of Statistics, Malaysia [22]. In Malaysia, household income can be classified into three categories: B40, M40, and T20. B40 represents the bottom 40%, which, as of 2021, means a monthly household income of RM 4850 or less. M40 represents the middle 40%, which means a household income of RM 4851–10,970. T20 represents the top 20%, which can be further divided into T1 (household income ranging from RM 10,971 up to 15,040) and T2 (more than RM 15,041). Table 1 shows the details of the sociodemographic finding.\nInitially, 150 respondents were recruited from six adult wards: the surgical ward, medical ward, orthopedic ward, oncology ward, obstetrics and gynecology ward, and a multidisciplinary executive ward. Of all the responses from 150 respondents, those from 12 respondents had to be removed owing to missing data.\nWith regard to the sociodemographic background of the respondents, there was an almost equal proportion of males and females. Half of them were aged below 40 years old, and the majority were Malays and Muslim. About one-quarter of the respondents did not have legal partners at the time of the study. More than 60 percent of the respondents completed secondary school, and almost 60 percent of the respondents were in the B40 income category, as classified on the basis of the Household Income and Basic Amenities survey of 2019, Department of Statistics, Malaysia [22]. In Malaysia, household income can be classified into three categories: B40, M40, and T20. B40 represents the bottom 40%, which, as of 2021, means a monthly household income of RM 4850 or less. M40 represents the middle 40%, which means a household income of RM 4851–10,970. T20 represents the top 20%, which can be further divided into T1 (household income ranging from RM 10,971 up to 15,040) and T2 (more than RM 15,041). Table 1 shows the details of the sociodemographic finding.\n 3.2. Medical and Admission Background The patients’ medical background and details of their admission at the time were also gathered. The median admission period was four days, with an IQR of 8.25 days. Half of the patients had at least one chronic disease. The majority of the patients lived with other family members at home. However, only half of them were accompanied all the time while in the ward. More than 80 percent of them did not receive any visitors while in hospital. For almost 40 percent of the patients, this was the first time in their lives that they had ever been admitted to the ward. About half of the patients were dependent on others to move, practice self-care, or perform activities of daily living. About 60 percent of the patients experienced pain or discomfort. However, more than half reported no anxiety or depression issues. Table 2 summarizes all the findings.\nThe patients’ medical background and details of their admission at the time were also gathered. The median admission period was four days, with an IQR of 8.25 days. Half of the patients had at least one chronic disease. The majority of the patients lived with other family members at home. However, only half of them were accompanied all the time while in the ward. More than 80 percent of them did not receive any visitors while in hospital. For almost 40 percent of the patients, this was the first time in their lives that they had ever been admitted to the ward. About half of the patients were dependent on others to move, practice self-care, or perform activities of daily living. About 60 percent of the patients experienced pain or discomfort. However, more than half reported no anxiety or depression issues. Table 2 summarizes all the findings.\n 3.3. Patients’ Responses to Questionnaire Table 3 shows the patients’ responses to the questionnaire. The questionnaire contained 12 items. Five of the items had three answer options, whereas the other seven questions had four answer options. All questions except for numbers four and twelve provided answer options in agreement form. For question numbers four and twelve, answer options were in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes”, one point was given for “never”, and two points were given for “unsure”. \nTherefore, the maximum score a patient can provide is 48 points, and the minimum is 12 points. The total score that a patient provides is divided by 48 and multiplied by 100 to convert it to percent. The higher the score is, the more compassionate the healthcare provider is, as perceived by the patients. In general, the average points given by the patients for each item were between 3.42 and 3.91. The lowest points were given for question number one: “Did staff members introduce themselves before treating or caring for you?”. At the same time, patients could appreciate the staff members’ competency and gave them, on average, 3.91 points out of 4.0. \nTable 3 shows the patients’ responses to the questionnaire. The questionnaire contained 12 items. Five of the items had three answer options, whereas the other seven questions had four answer options. All questions except for numbers four and twelve provided answer options in agreement form. For question numbers four and twelve, answer options were in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes”, one point was given for “never”, and two points were given for “unsure”. \nTherefore, the maximum score a patient can provide is 48 points, and the minimum is 12 points. The total score that a patient provides is divided by 48 and multiplied by 100 to convert it to percent. The higher the score is, the more compassionate the healthcare provider is, as perceived by the patients. In general, the average points given by the patients for each item were between 3.42 and 3.91. The lowest points were given for question number one: “Did staff members introduce themselves before treating or caring for you?”. At the same time, patients could appreciate the staff members’ competency and gave them, on average, 3.91 points out of 4.0. \n 3.4. Translation and Validation of RAC-Q The translation and validation processes was performed according to the 10 proposed steps. In general, there was no significant difficulty faced during the process. The forward translation was carried out by two independent translators, who produced comparable and highly similar forward translations. An important point that was discussed was the appropriate Malay term for compassion. Both translators chose “penyayang” for “compassion”. Deeper consideration was given, as one of the central values of MOH’s corporate culture is “penyayang”, but it was translated into English as “caring”. After an in-depth discussion about the connotations of “budaya penyayang” in MOH’s corporate culture, the committee agreed that “penyayang”, in the corporate culture, is equivalent to compassion. “Penyayang” has also been used in the local healthcare system since the beginning of its service. Moreover, the concept of compassion has emerged relatively recently. No major modification was applied during the cognitive debriefing. The respondents gave feedback indicating that the questionnaire could be easily understood. The questions also sufficiently covered their thoughts about compassion. Some of the respondents suggested providing a short video to explain the survey before the respondents started to answer. Thus, a short introductory video was prepared and distributed during the pretest and actual survey.\nThe translation and validation processes was performed according to the 10 proposed steps. In general, there was no significant difficulty faced during the process. The forward translation was carried out by two independent translators, who produced comparable and highly similar forward translations. An important point that was discussed was the appropriate Malay term for compassion. Both translators chose “penyayang” for “compassion”. Deeper consideration was given, as one of the central values of MOH’s corporate culture is “penyayang”, but it was translated into English as “caring”. After an in-depth discussion about the connotations of “budaya penyayang” in MOH’s corporate culture, the committee agreed that “penyayang”, in the corporate culture, is equivalent to compassion. “Penyayang” has also been used in the local healthcare system since the beginning of its service. Moreover, the concept of compassion has emerged relatively recently. No major modification was applied during the cognitive debriefing. The respondents gave feedback indicating that the questionnaire could be easily understood. The questions also sufficiently covered their thoughts about compassion. Some of the respondents suggested providing a short video to explain the survey before the respondents started to answer. Thus, a short introductory video was prepared and distributed during the pretest and actual survey.\n 3.5. Confirmatory Factor Analysis of the RAC-QM The construct validity of the initial model (model 1) was determined using CFA. Model 1 contains items similar to the original version. In general, model 1 had a reasonable goodness of fit, with a chi-square statistic divided by the degree of freedom of 1.43, SRMR of 0.07, RMSEA of 0.06, CFI of 0.92, and TLI of 0.90. Model 1 also showed good reliability, with a Cronbach’s alpha of 0.85. The standardized factor loadings for all items were >0.40, except that for question number eight, which was 0.40, as shown in Table 4. Model 2 was created by excluding question number eight. Overall, model 2 did not have significantly better indices, and removing question number eight did not improve any other item’s factor loading, as shown in Table 5. Figure 2 shows the path diagram of the RAC-Q. There was no multicollinearity between items, and all the factor loadings were acceptable. \nThe construct validity of the initial model (model 1) was determined using CFA. Model 1 contains items similar to the original version. In general, model 1 had a reasonable goodness of fit, with a chi-square statistic divided by the degree of freedom of 1.43, SRMR of 0.07, RMSEA of 0.06, CFI of 0.92, and TLI of 0.90. Model 1 also showed good reliability, with a Cronbach’s alpha of 0.85. The standardized factor loadings for all items were >0.40, except that for question number eight, which was 0.40, as shown in Table 4. Model 2 was created by excluding question number eight. Overall, model 2 did not have significantly better indices, and removing question number eight did not improve any other item’s factor loading, as shown in Table 5. Figure 2 shows the path diagram of the RAC-Q. There was no multicollinearity between items, and all the factor loadings were acceptable. ", "Initially, 150 respondents were recruited from six adult wards: the surgical ward, medical ward, orthopedic ward, oncology ward, obstetrics and gynecology ward, and a multidisciplinary executive ward. Of all the responses from 150 respondents, those from 12 respondents had to be removed owing to missing data.\nWith regard to the sociodemographic background of the respondents, there was an almost equal proportion of males and females. Half of them were aged below 40 years old, and the majority were Malays and Muslim. About one-quarter of the respondents did not have legal partners at the time of the study. More than 60 percent of the respondents completed secondary school, and almost 60 percent of the respondents were in the B40 income category, as classified on the basis of the Household Income and Basic Amenities survey of 2019, Department of Statistics, Malaysia [22]. In Malaysia, household income can be classified into three categories: B40, M40, and T20. B40 represents the bottom 40%, which, as of 2021, means a monthly household income of RM 4850 or less. M40 represents the middle 40%, which means a household income of RM 4851–10,970. T20 represents the top 20%, which can be further divided into T1 (household income ranging from RM 10,971 up to 15,040) and T2 (more than RM 15,041). Table 1 shows the details of the sociodemographic finding.", "The patients’ medical background and details of their admission at the time were also gathered. The median admission period was four days, with an IQR of 8.25 days. Half of the patients had at least one chronic disease. The majority of the patients lived with other family members at home. However, only half of them were accompanied all the time while in the ward. More than 80 percent of them did not receive any visitors while in hospital. For almost 40 percent of the patients, this was the first time in their lives that they had ever been admitted to the ward. About half of the patients were dependent on others to move, practice self-care, or perform activities of daily living. About 60 percent of the patients experienced pain or discomfort. However, more than half reported no anxiety or depression issues. Table 2 summarizes all the findings.", "Table 3 shows the patients’ responses to the questionnaire. The questionnaire contained 12 items. Five of the items had three answer options, whereas the other seven questions had four answer options. All questions except for numbers four and twelve provided answer options in agreement form. For question numbers four and twelve, answer options were in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes”, one point was given for “never”, and two points were given for “unsure”. \nTherefore, the maximum score a patient can provide is 48 points, and the minimum is 12 points. The total score that a patient provides is divided by 48 and multiplied by 100 to convert it to percent. The higher the score is, the more compassionate the healthcare provider is, as perceived by the patients. In general, the average points given by the patients for each item were between 3.42 and 3.91. The lowest points were given for question number one: “Did staff members introduce themselves before treating or caring for you?”. At the same time, patients could appreciate the staff members’ competency and gave them, on average, 3.91 points out of 4.0. ", "The translation and validation processes was performed according to the 10 proposed steps. In general, there was no significant difficulty faced during the process. The forward translation was carried out by two independent translators, who produced comparable and highly similar forward translations. An important point that was discussed was the appropriate Malay term for compassion. Both translators chose “penyayang” for “compassion”. Deeper consideration was given, as one of the central values of MOH’s corporate culture is “penyayang”, but it was translated into English as “caring”. After an in-depth discussion about the connotations of “budaya penyayang” in MOH’s corporate culture, the committee agreed that “penyayang”, in the corporate culture, is equivalent to compassion. “Penyayang” has also been used in the local healthcare system since the beginning of its service. Moreover, the concept of compassion has emerged relatively recently. No major modification was applied during the cognitive debriefing. The respondents gave feedback indicating that the questionnaire could be easily understood. The questions also sufficiently covered their thoughts about compassion. Some of the respondents suggested providing a short video to explain the survey before the respondents started to answer. Thus, a short introductory video was prepared and distributed during the pretest and actual survey.", "The construct validity of the initial model (model 1) was determined using CFA. Model 1 contains items similar to the original version. In general, model 1 had a reasonable goodness of fit, with a chi-square statistic divided by the degree of freedom of 1.43, SRMR of 0.07, RMSEA of 0.06, CFI of 0.92, and TLI of 0.90. Model 1 also showed good reliability, with a Cronbach’s alpha of 0.85. The standardized factor loadings for all items were >0.40, except that for question number eight, which was 0.40, as shown in Table 4. Model 2 was created by excluding question number eight. Overall, model 2 did not have significantly better indices, and removing question number eight did not improve any other item’s factor loading, as shown in Table 5. Figure 2 shows the path diagram of the RAC-Q. There was no multicollinearity between items, and all the factor loadings were acceptable. ", "A healthcare organization is and has always been known as a place to relieve human suffering. However, assessments of medical care have traditionally been conducted based on technical and physiological reports of outcomes rather than from a patient’s perspective [21]. However, it is comforting to see that more healthcare systems all over the world have sought to achieve balance in the services that offer clinically effective and evidence-based care and that are also perceived by patients as acceptable and beneficial [21]. To properly assess a patient’s perception of the relational aspect of care that they experience, a valid measurement tool must be available, as suggested by a well-known report [11]. Reviews showed that most of the available patient-reported experience measures are still lacking in their psychometric properties [23]. Compassionate care is one of Malaysia’s MOH pillars. However, no tool has been psychometrically developed in order to assess whether this aspect of care is properly embedded among all healthcare workers. Therefore, in this study, we aimed to validate and translate the RAC-Q into the Malay language to enable its use in Malaysia. \nAlthough there are many other tools available that can be used to measure compassion, the RAC-Q was primarily chosen because it has very good psychometric properties, and the background of the original study population was similar to the targeted population of our study, that is, inpatients. Furthermore, the RAC-Q was developed on the basis of the relational aspect of care, based on evidence gathered from a wide selection of existing surveys, namely, the PEECH measure, NHS Adult Inpatient Survey, 2012 NHS Emergency Department Survey, CARE measure, Hospital Consumer Assessment of Healthcare Providers and Systems (HCAPS) questionnaire, and General Practice Patient Survey (GPPS), and also from a qualitative study [11]. It incorporates 22 elements of the relational aspect of care. Even though the original paper did not provide details about the specific themes that each question represented, the committee members tried to identify these during the cognitive debriefing and agreed that the questionnaire represented the 22 themes. \nModel 1 contained all 12 original items, with good indices (χ2/df = 1.43, SRMR = 0.07, RMSEA = 0.06, CFI = 0.92, and TLI = 0.90) and a good reliability, with a Cronbach’s alpha of 0.86. All factor loadings were also acceptable, with a value of >0.40, except for question number eight, the item that asks “have you had enough time to discuss your health or medical problem with a doctor or nurse?”. Therefore, Model 2 was built and tested by removing question number eight in order to decide which model has the better goodness of fit. Compared with model 1, model 2 has no significant difference in terms of the indices, although it leads to lower AIC (1006.14 vs. 1137.52) and BIC (1070.54 vs. 1207.77)). Therefore, model 1 was retained. According to Hair et al., a factor loading of >0.3 is still acceptable [17]. In addition, removing an important item from the questionnaire affects the intended functionality of the questionnaire. The reliability of the RAC-QM in assessing the compassionate care offered by healthcare providers was ascertained based on a good Cronbach’s alpha of ≥0.7. The overall consistency of the items in the questionnaire indicates that all the items measure the same constructs. The convergent validity of the questionnaire is also adequate, with a composite ratio of 0.857 and AVE of 0.344. Even though many studies suggested that the AVE should be more than 0.5, many lines of evidence also showed that a measurement model with a composite ratio of more than 0.6 is still adequate even if the AVE is less than 0.5 [24,25]. This means that similar results can be expected even if the testing process is repeated. \nAs seen in the case of many other patient-reported experience measures, this survey also showed a ceiling effect, in which the majority of the responses skewed towards higher scores, that is, three and four. Even though this may indicate that the patients perceived all the healthcare workers they encountered as compassionate, research studies showed that their judgement could be influenced by many factors, such as social desirability bias, as a sign of appreciation, respect, deference, or generosity [26]. This small variation in the responses could pose a challenge when determining which areas require focus for improvement. That being said, it does not necessarily mean that the questionnaire could not be used to assess the problem that it was intended to address or that improvements could not be made. A skewness towards high scores was also observed in the original paper. Despite this, the authors were still able to make improvements and had a significant, positive outcome [11]. The responses could be analyzed item-by-item, and the questions that did not receive a full score could be treated as areas requiring attention and improvement. In this sense, we can treat the responses as dichotomous, that is, we can define a full score as “compassionate” and anything less as “not compassionate”. This has been practiced in the case of many patient-reported measures in view of the high prevalence of the ceiling effect [27,28]. In this study, we found that only question numbers seven and 10 had ceiling effects of more than 90 percent. There are several methods known to reduce the ceiling effect, even though they do not have strong evidence. These methods include removing neutral responses [29,30], making the responses more extreme [31], making statements regarding anonymity and the need for feedback in order to help future patients [32], changing the scale type, and applying the iterative Guttman-style scale [33,34]. These methods could be tested in future studies. \nThe RAC-QM is a 12-item, self-administered questionnaire and relatively easy to understand. Even though it is short and straightforward, it is proven to measure compassionate care, as it was intended to do. This feature improves its clinical utility. As in the original study, this study also involved patients from multidisciplinary wards who had heterogeneous backgrounds. Thus, the generalizability and representativeness of the data can be viewed as a strength of this study. The ease of administration might also contribute to the clinical utility of the RAC-QM. Although the original version of the questionnaire originated from a western country, the RAC-QM still maintains good psychometric properties, which are attributable to the rigorous methods of translation and validation. \nThis study should be considered in light of its limitations. Firstly, the study was carried out during the MCO due to COVID-19 in Malaysia. Most of the discussions were conducted virtually through calls, online discussions, and video conferences. Different methods of discussion or meeting may lead to different outcomes [35,36,37]. The study was also conducted in a university hospital and involved non-paying patients who were mostly unemployed, not highly educated, and had repeated hospitalizations, which may have altered their expectations of the free service they received. In addition, during the MCO, visitors were not allowed in the wards, and a companion was only allowed in special cases. In this sense, the patients depended entirely on the staff members for their treatment and care. Appreciation, respect, and generosity may have affected their responses as well. ", "In conclusion, the RAC-QM was proven to have good psychometric properties and can be used in Malaysia in order to measure the compassion level of healthcare providers from the patient’s perspective. With the availability of this tool for measuring the level of compassionate care, MOH can start to evaluate this crucial aspect of quality care and carry out the necessary improvements. " ]
[ "intro", null, "subjects", null, null, null, null, null, "results", "subjects", null, null, null, null, "discussion", "conclusions" ]
[ "compassionate care", "relational aspect of care questionnaire", "confirmatory factor analysis", "validity", "reliability" ]
1. Introduction: The evaluation of patients’ experience when receiving healthcare services has become an important topic worldwide, especially in the past few decades. In 2001, the Institute of Medicine (IOM) released its Patient Safety Goals, which emphasized patient-centered care as one of the goals [1]. Before then, little attention was given to this aspect of quality care. This could be attributed to many factors, such as the shifting of tax-funded healthcare systems to privatized and performance-based payments. The revolution of industries also places constant pressure on healthcare systems worldwide to take into account patients’ experiences of receiving care. In general, a good patient experience should encompass all aspects of care, which include the functional, transactional, and relational aspects of care. The scarcity of resources in the healthcare system should not act as a barrier to the provision of high-quality care, which includes all aspects of their management. It is certain that a good patient experience not only improves the well-being of patients but also benefits the healthcare system as a whole. However, these aspects of care are, indeed, very complex and depend on the subjective experiences of individual patients [2], especially the relational aspect. Much work has been conducted in order to develop tools that can help us to accurately measure the relational aspect of care so that improvements can be made. Most of them have been developed for a unique target population. The importance of the relational aspect of care has also been emphasized in many other reports [3,4,5]. One of the infamous public inquiry reports that highlighted compassionate care is the Francis Report [6]. The inquiry was conducted as a consequence of many public complaints against the Mid-Staffordshire National Health Service (NHS) Foundation Trust concerning poor care. The report revealed many weaknesses in the system, but the most prominent was the lack of compassion among its staff. The report also highlighted the need for a measurement tool with which to properly assess compassion [6]. The Picker Institute Europe is among the organizations dedicated to nurturing compassionate care in the healthcare system. The organization has developed many measurement tools to cater to different target groups or healthcare settings. One of them is the Relational Aspect of Care Questionnaire (RAC-Q), which has been widely used across the UK. Many other measurement tools are being developed, validated, and reviewed. Nevertheless, a review of nine studies that reported on the measurement tools for compassionate care in healthcare found that there is still an unmet need for a psychometrically validated tool that can comprehensively measure the construct of compassion in healthcare settings [7]. In Malaysia, efforts to improve patient experiences can be seen in many initiatives. Among the earliest was the incorporation of budaya penyayang or “caring” as one of the central values of the Ministry of Health’s (MOH) corporate culture. MOH’s corporate culture committee was formed in the 1990s, with three central values: caring, professionalism, and teamwork. The committee undertook many initiatives in order to instill these values through corporate songs, workshops, and exhibitions. However, after more than three decades since its introduction, there was very limited published evidence regarding the program’s effectiveness, especially from the patient’s perspective. MOH received over five thousand official complaints each year, and at least a quarter of the complaints were related to poor service quality [8]. However, contrary to the common belief that the lack of compassionate care is due to healthcare worker’s (HCW) weakness and ignorance, evidence showed that patients’ characteristics and the care environment considerably affect patients’ perspectives on the compassionate care provided [9,10,11,12]. As long as these factors are not recognized, the quality of our image of healthcare will be jeopardized. The Model of the Interpersonal Process of Compassion [9], as shown in Figure 1, highlights the complexity of compassionate care, which involves many aspects related to different parties. The lack of a clinical measure of compassion with solid evidence of the measurements’ validity is a significant barrier to the improvement and development of clinical practice and patient satisfaction [10]. Therefore, a psychometrically valid measurement tool is needed in order to correctly measure this crucial aspect of care. To date, the RAC-Q is among the available, validated tools used to measure healthcare workers’ compassionate care for inpatients. The RAC-Q was developed and validated by researchers from the Picker Institute Europe and Nuffield Department of Population Health, University of Oxford. It is based on data from the 2012 NHS Emergency Department Survey and the 2013 NHS Adult Inpatient Survey. The initial questionnaire contained 20 closed-ended questions, with a very high reliability (factor loading of 0.458–0.870, Cronbach’s alpha of 0.950, and McDonald’s omega of 0.951). It was then subsequently reduced to a 12-item questionnaire. The short version of the questionnaire has a better completion rate but is still able to retain its strong psychometric properties (Cronbach’s alpha of 0.92 and intraclass correlation coefficient of 0.97). It measures the relational aspect of care across 22 themes [11]. The completion of the survey requires a mean time of 8.5 min, with a standard deviation of 9.9 min [12]. The original RAC-Q was administered digitally, and the responses were captured in near real time. Therefore, prompt actions could be taken by the service provider in response to the feedback received. A similar method can be applied to assess and improve compassionate care among healthcare workers in Malaysia. However, for this purpose, the RAC-Q would need to be translated, since most respondents will be Malays. Linguistic appropriateness is one of the key factors that can improve the results’ validity and reliability [13,14]. 2. Materials and Methods: 2.1. Study Setting and Participants Owing to the fact that the data collection was carried out during the COVID-19 pandemic, along with the Movement Control Order (MCO) in Malaysia, several special considerations had to be taken. A teaching hospital in Kelantan, Malaysia, was selected as the study location. A prior meeting with the head nurse was conducted to obtain an overview of the wards’ usage, since many wards had been reassigned for COVID-19 cases during the pandemic. There were also strict measures regarding access to the wards. After a thorough discussion of the study, it was concluded that there were only six adult wards suitable for the study, namely, the surgical ward, orthopedic ward, medical ward, and oncology ward, as well as the obstetrics and gynecological ward and a multidisciplinary executive ward. According to Kline, for freely estimated parameters, a minimum of 10 samples used to represent each item can provide adequate statistical power [14]. The RAC-Q contains 12 items; therefore, a minimum of 120 samples were required. A high dropout rate of 20% was applied because of unpredictable bed occupancy rates and the capacity of the inpatients to answer the questionnaire during the pandemic. A second briefing session with the head nurses from each ward was held. Details of the study, including how it would be conducted, its purpose, and its benefits, were explained. The standard operating procedures, in accordance with guidelines for conducting research during the MCO, were carefully discussed. The expected daily bed occupancy rate was also noted during the meeting to help us in determining the sampling size. A stratified sampling proportionate to the number of beds was conducted in order to determine the number of participants needed from each ward. The executive ward had the lowest number of beds, followed by the oncology ward. The medical, surgical, and orthopedic wards had similar numbers of beds, whereas the obstetrics and gynecology ward had double the number of beds compared with the rest. A minimum of five days and a maximum of ten days were allocated to each ward in order to complete the data collection. On the day of the data collection, the eligible study population was determined according to strict criteria. Study participants were selected through computer-generated random numbers based on their bed numbers. The patients selected for the study were those aged 18 and above who had been in the ward for at least 24 h, were able to read and write, and were clinically stable enough to answer the questionnaire by themselves. Those who consented to participate were given the paper-based questionnaire and were asked to read the patient information sheet and answer the questions by themselves. They were also encouraged to watch a short video about the study, which was provided through a QR-coded link. Completed questionnaires were collected afterward by the researcher. Owing to the fact that the data collection was carried out during the COVID-19 pandemic, along with the Movement Control Order (MCO) in Malaysia, several special considerations had to be taken. A teaching hospital in Kelantan, Malaysia, was selected as the study location. A prior meeting with the head nurse was conducted to obtain an overview of the wards’ usage, since many wards had been reassigned for COVID-19 cases during the pandemic. There were also strict measures regarding access to the wards. After a thorough discussion of the study, it was concluded that there were only six adult wards suitable for the study, namely, the surgical ward, orthopedic ward, medical ward, and oncology ward, as well as the obstetrics and gynecological ward and a multidisciplinary executive ward. According to Kline, for freely estimated parameters, a minimum of 10 samples used to represent each item can provide adequate statistical power [14]. The RAC-Q contains 12 items; therefore, a minimum of 120 samples were required. A high dropout rate of 20% was applied because of unpredictable bed occupancy rates and the capacity of the inpatients to answer the questionnaire during the pandemic. A second briefing session with the head nurses from each ward was held. Details of the study, including how it would be conducted, its purpose, and its benefits, were explained. The standard operating procedures, in accordance with guidelines for conducting research during the MCO, were carefully discussed. The expected daily bed occupancy rate was also noted during the meeting to help us in determining the sampling size. A stratified sampling proportionate to the number of beds was conducted in order to determine the number of participants needed from each ward. The executive ward had the lowest number of beds, followed by the oncology ward. The medical, surgical, and orthopedic wards had similar numbers of beds, whereas the obstetrics and gynecology ward had double the number of beds compared with the rest. A minimum of five days and a maximum of ten days were allocated to each ward in order to complete the data collection. On the day of the data collection, the eligible study population was determined according to strict criteria. Study participants were selected through computer-generated random numbers based on their bed numbers. The patients selected for the study were those aged 18 and above who had been in the ward for at least 24 h, were able to read and write, and were clinically stable enough to answer the questionnaire by themselves. Those who consented to participate were given the paper-based questionnaire and were asked to read the patient information sheet and answer the questions by themselves. They were also encouraged to watch a short video about the study, which was provided through a QR-coded link. Completed questionnaires were collected afterward by the researcher. 2.2. Relational Aspect of Care Questionnaire (RAC-Q) The RAC-Q was developed in 2017 in response to the Francis Report that highlighted the lack of compassionate care as the crucial cause that led to the failure of the UK Mid-Staffordshire NHS Foundation Trust. One of the report’s important recommendations was the need for a reliable measurement tool that could be sued to correctly measure compassionate care. The Picker Institute Europe, a non-governmental organization dedicated to compassionate care, collaborated with the University of Oxford to develop a questionnaire measuring this critical aspect of relational care, namely, compassionate care. The questionnaire was developed using a combination of quantitative, qualitative, and participatory research approaches [11]. During the initial development process, they identified 22 themes that included patient-perceived levels of security, knowledge, and personal value during their hospital stay or visit. The original questionnaire contained 20 items but was then successfully reduced to 12 items with only one domain. Five of the questions had a three-point Likert scale, whereas the other seven questions used four points. The responses were either in agreement form or in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes,” one point was given for “never,” and two points were given for “unsure”. The total score given by the patients was then converted into percent. The survey tool kit was widely used in regions under the UK’s NHS. However, few publications on its usage were found. Moreover, it has not been translated into any other language. It is a self-administered questionnaire that is answered on designated computer tablets. It was selected from among other measurement tools owing to its good psychometric properties, its focus on similar target groups, namely inpatients, and because it also assesses the relational aspects of care among healthcare providers as a whole rather than a particular, individual provider. The RAC-Q was developed in 2017 in response to the Francis Report that highlighted the lack of compassionate care as the crucial cause that led to the failure of the UK Mid-Staffordshire NHS Foundation Trust. One of the report’s important recommendations was the need for a reliable measurement tool that could be sued to correctly measure compassionate care. The Picker Institute Europe, a non-governmental organization dedicated to compassionate care, collaborated with the University of Oxford to develop a questionnaire measuring this critical aspect of relational care, namely, compassionate care. The questionnaire was developed using a combination of quantitative, qualitative, and participatory research approaches [11]. During the initial development process, they identified 22 themes that included patient-perceived levels of security, knowledge, and personal value during their hospital stay or visit. The original questionnaire contained 20 items but was then successfully reduced to 12 items with only one domain. Five of the questions had a three-point Likert scale, whereas the other seven questions used four points. The responses were either in agreement form or in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes,” one point was given for “never,” and two points were given for “unsure”. The total score given by the patients was then converted into percent. The survey tool kit was widely used in regions under the UK’s NHS. However, few publications on its usage were found. Moreover, it has not been translated into any other language. It is a self-administered questionnaire that is answered on designated computer tablets. It was selected from among other measurement tools owing to its good psychometric properties, its focus on similar target groups, namely inpatients, and because it also assesses the relational aspects of care among healthcare providers as a whole rather than a particular, individual provider. 2.3. Translation and Cultural Adaptation of the RAC-Q Before the RAC-Q underwent translation and cultural adaptation, permission to use the questionnaire was obtained from the corresponding author. The translation process followed the 10 steps proposed by established guidelines [13]. The steps were as follows below. Preparation This initial phase involved the members of the research team members brainstorming about the translation and validation process, including three public health physicians and the main researcher. The translators, field experts, sampling population, and mode of data collection were meticulously discussed, considering the standard operating procedures and restrictions during the MCO due to COVID-19. Forward Translation This step focused on translating the English version of the RAC-Q into the Malay language. Two independent translators were recruited to perform the task. The first translator is a professional translator with credible experience in translating medical-based materials and appointed by the Linguistic Department of Universiti Sains, Malaysia. The second translator is a medical doctor with a public health qualification and has vast experience in quality assurance programs in healthcare. Both translators are native Malay speakers and can converse in English fluently. Each translator carried out the translation independently, and they were asked to notify the team if they encountered any difficulties in translating any word or sentence from the original questionnaire. Reconciliation This step aimed to produce a single forward translation by comparing and merging both forward translations of the translators. A committee consisting of experienced personnel working in hospital management, quality of care, nursing and clinical care, and language teaching was formed in order to review both forward translations. Both versions of the forward translations were compared with the original RAC-Q. The reconciliation process was completed by comparing each sentence in both translations. Words or phrases not relevant within the Malaysian context were replaced with alternative words or phrases. The content validity of the questionnaire was also determined at this stage. At the end of the meeting, one standard forward translation of the RAC-Q was produced and agreed upon by the review committee for its use in the next stage. Back Translation Next, two independent translators translated the reconciled Malay version of the RAC-Q into English. This step aimed to compare the back-translated questionnaire with the original questionnaire and determine whether there were changes to the words or meanings. The first translator is a professional translator appointed by the Linguistic Department of Universiti Sains, Malaysia (different from the forward translator). The second translator was a postgraduate student enrolled in a public health course at Universiti Sains, Malaysia. Both are fluent in both languages and were blinded to the original questionnaire. Back Translation Review At this stage, the same committee reviewed the back-translated questionnaire and compared it with the original English version. They examined the equivalence in terms of the concepts, items, and semantics of both versions. The conceptual equivalence assessment aimed to ascertain whether the theme of compassionate care in healthcare was present in both settings, whereas the item equivalence was examined to determine whether or not specific items were relevant and acceptable to both populations [15]. Semantic equivalence, on the other hand, was assessed to ensure that the original and translated questionnaires had similar meanings. Generally, the review committee was satisfied with the forward translation of the RAC-Q. Thus, the standard forward translation was agreed upon as the preliminary RAC-Q Malay version (RAC-QM) to be used in the next stage. Harmonization An additional quality check was carried out to ensure that the back-translated RAC-QM was in harmony with the original English version. It was performed in order to detect any translation discrepancies between the two languages. Cognitive Debriefing Cognitive debriefing was performed in order to test the translated version’s understandability, interpretation, and cultural relevance among a small group of relevant respondents. This enables one to detect any item that may be inappropriate and identify any other issues that may be confusing or misleading [16]. The cognitive debriefing was carried out by six respondents, namely, two males and four females in the age range from 30 to 45. Four of the respondents were inpatients who actually fulfilled the study criteria, and the other two respondents were nurses who worked in the wards. The respondents were briefed about the purpose of the cognitive debriefing. The preliminary RAC-QM was given to each respondent, and they were given time to answer all of the questions. They were then asked to give feedback on any confusing, unclear, or misleading sentences. They were also asked about their impression and understanding when they initially read particular phrases. Review of Cognitive Debriefing Results and Finalization At this stage, feedback from the cognitive debriefing was presented and discussed with the review committee. The committee evaluated all of the comments, and necessary changes were made. Proofreading Proofreading was performed as a final step to consolidate the RAC-QM and inspect it for grammatical or typographical errors. Lastly, the committee conducted a final check to ensure that any corrections had been made. Final Report Lastly, a final report was created in order to document the whole process of the translation. This stage is essential for future translations and to ensure harmonization with the previously developed original-language version. Before the RAC-Q underwent translation and cultural adaptation, permission to use the questionnaire was obtained from the corresponding author. The translation process followed the 10 steps proposed by established guidelines [13]. The steps were as follows below. Preparation This initial phase involved the members of the research team members brainstorming about the translation and validation process, including three public health physicians and the main researcher. The translators, field experts, sampling population, and mode of data collection were meticulously discussed, considering the standard operating procedures and restrictions during the MCO due to COVID-19. Forward Translation This step focused on translating the English version of the RAC-Q into the Malay language. Two independent translators were recruited to perform the task. The first translator is a professional translator with credible experience in translating medical-based materials and appointed by the Linguistic Department of Universiti Sains, Malaysia. The second translator is a medical doctor with a public health qualification and has vast experience in quality assurance programs in healthcare. Both translators are native Malay speakers and can converse in English fluently. Each translator carried out the translation independently, and they were asked to notify the team if they encountered any difficulties in translating any word or sentence from the original questionnaire. Reconciliation This step aimed to produce a single forward translation by comparing and merging both forward translations of the translators. A committee consisting of experienced personnel working in hospital management, quality of care, nursing and clinical care, and language teaching was formed in order to review both forward translations. Both versions of the forward translations were compared with the original RAC-Q. The reconciliation process was completed by comparing each sentence in both translations. Words or phrases not relevant within the Malaysian context were replaced with alternative words or phrases. The content validity of the questionnaire was also determined at this stage. At the end of the meeting, one standard forward translation of the RAC-Q was produced and agreed upon by the review committee for its use in the next stage. Back Translation Next, two independent translators translated the reconciled Malay version of the RAC-Q into English. This step aimed to compare the back-translated questionnaire with the original questionnaire and determine whether there were changes to the words or meanings. The first translator is a professional translator appointed by the Linguistic Department of Universiti Sains, Malaysia (different from the forward translator). The second translator was a postgraduate student enrolled in a public health course at Universiti Sains, Malaysia. Both are fluent in both languages and were blinded to the original questionnaire. Back Translation Review At this stage, the same committee reviewed the back-translated questionnaire and compared it with the original English version. They examined the equivalence in terms of the concepts, items, and semantics of both versions. The conceptual equivalence assessment aimed to ascertain whether the theme of compassionate care in healthcare was present in both settings, whereas the item equivalence was examined to determine whether or not specific items were relevant and acceptable to both populations [15]. Semantic equivalence, on the other hand, was assessed to ensure that the original and translated questionnaires had similar meanings. Generally, the review committee was satisfied with the forward translation of the RAC-Q. Thus, the standard forward translation was agreed upon as the preliminary RAC-Q Malay version (RAC-QM) to be used in the next stage. Harmonization An additional quality check was carried out to ensure that the back-translated RAC-QM was in harmony with the original English version. It was performed in order to detect any translation discrepancies between the two languages. Cognitive Debriefing Cognitive debriefing was performed in order to test the translated version’s understandability, interpretation, and cultural relevance among a small group of relevant respondents. This enables one to detect any item that may be inappropriate and identify any other issues that may be confusing or misleading [16]. The cognitive debriefing was carried out by six respondents, namely, two males and four females in the age range from 30 to 45. Four of the respondents were inpatients who actually fulfilled the study criteria, and the other two respondents were nurses who worked in the wards. The respondents were briefed about the purpose of the cognitive debriefing. The preliminary RAC-QM was given to each respondent, and they were given time to answer all of the questions. They were then asked to give feedback on any confusing, unclear, or misleading sentences. They were also asked about their impression and understanding when they initially read particular phrases. Review of Cognitive Debriefing Results and Finalization At this stage, feedback from the cognitive debriefing was presented and discussed with the review committee. The committee evaluated all of the comments, and necessary changes were made. Proofreading Proofreading was performed as a final step to consolidate the RAC-QM and inspect it for grammatical or typographical errors. Lastly, the committee conducted a final check to ensure that any corrections had been made. Final Report Lastly, a final report was created in order to document the whole process of the translation. This stage is essential for future translations and to ensure harmonization with the previously developed original-language version. 2.4. Pretesting of RAC-QM Pretesting was conducted at a teaching hospital and involved 30 adult inpatients that fit the study participants’ criteria. This step was carried out in order to further evaluate any shortcoming related to the questionnaire from the target population’s viewpoint. The RAC-QM was distributed to the participants through a QR code linked to a brief introductory video about the study. Pretesting was conducted at a teaching hospital and involved 30 adult inpatients that fit the study participants’ criteria. This step was carried out in order to further evaluate any shortcoming related to the questionnaire from the target population’s viewpoint. The RAC-QM was distributed to the participants through a QR code linked to a brief introductory video about the study. 2.5. Statistical Analysis Data were analyzed using R software version 4.1.3 (R Core Team: Vienna, Austria, 2020). Owing to the non-normality of the data distribution, the robust maximum likelihood was preferred [17]. The construct validity was determined using CFA, and the internal reliability consistency was assessed using Cronbach’s alpha. Standardized factor loadings were measured, and items with factor loadings of >0.3 were considered acceptable [18]. The models’ goodness of fit was assessed using SRMR, RMSEA, CFI, and chi-squared tests following the values recommended by Schreiber et al. [19] and Brown [20]. The following cut-off values were taken into consideration to determine the goodness fit of the model: the comparative fit index (CFI) and Tucker–Lewis fit index (TLI) of >0.90, and the root mean square error of approximation (RMSEA) and standardized root mean square residual (SRMR) of <0.08 [17]. The revision of the model was considered on the basis of the factor loadings, standardized residuals (SRs), modification indices (MIs), and theoretical justification. Parameters with SR ≥ 2.58 and MI ≥ 3.84 were considered for the model. Factors were checked for multicollinearity if r > 0.85. The model was also selected on the basis of the Akaike Information Criterion (AIC) and Bayesian Information Criterion (BIC). Models with low values of the AIC and BIC were chosen [21]. A Cronbach’s alpha of ≥0.7 in the reliability assessment was considered acceptable [17]. Data were analyzed using R software version 4.1.3 (R Core Team: Vienna, Austria, 2020). Owing to the non-normality of the data distribution, the robust maximum likelihood was preferred [17]. The construct validity was determined using CFA, and the internal reliability consistency was assessed using Cronbach’s alpha. Standardized factor loadings were measured, and items with factor loadings of >0.3 were considered acceptable [18]. The models’ goodness of fit was assessed using SRMR, RMSEA, CFI, and chi-squared tests following the values recommended by Schreiber et al. [19] and Brown [20]. The following cut-off values were taken into consideration to determine the goodness fit of the model: the comparative fit index (CFI) and Tucker–Lewis fit index (TLI) of >0.90, and the root mean square error of approximation (RMSEA) and standardized root mean square residual (SRMR) of <0.08 [17]. The revision of the model was considered on the basis of the factor loadings, standardized residuals (SRs), modification indices (MIs), and theoretical justification. Parameters with SR ≥ 2.58 and MI ≥ 3.84 were considered for the model. Factors were checked for multicollinearity if r > 0.85. The model was also selected on the basis of the Akaike Information Criterion (AIC) and Bayesian Information Criterion (BIC). Models with low values of the AIC and BIC were chosen [21]. A Cronbach’s alpha of ≥0.7 in the reliability assessment was considered acceptable [17]. 2.6. Ethical Consideration Ethical clearance for this research was obtained from the Human Research Ethics Committee of Universiti Sains, Malaysia (JEPeM Code: USM/JEPeM/21030208), and the National Medical Research Register (NMMR) Malaysia (NMRR-21-344-58027). The confidentiality of the data was strictly prioritized. Ethical clearance for this research was obtained from the Human Research Ethics Committee of Universiti Sains, Malaysia (JEPeM Code: USM/JEPeM/21030208), and the National Medical Research Register (NMMR) Malaysia (NMRR-21-344-58027). The confidentiality of the data was strictly prioritized. 2.1. Study Setting and Participants: Owing to the fact that the data collection was carried out during the COVID-19 pandemic, along with the Movement Control Order (MCO) in Malaysia, several special considerations had to be taken. A teaching hospital in Kelantan, Malaysia, was selected as the study location. A prior meeting with the head nurse was conducted to obtain an overview of the wards’ usage, since many wards had been reassigned for COVID-19 cases during the pandemic. There were also strict measures regarding access to the wards. After a thorough discussion of the study, it was concluded that there were only six adult wards suitable for the study, namely, the surgical ward, orthopedic ward, medical ward, and oncology ward, as well as the obstetrics and gynecological ward and a multidisciplinary executive ward. According to Kline, for freely estimated parameters, a minimum of 10 samples used to represent each item can provide adequate statistical power [14]. The RAC-Q contains 12 items; therefore, a minimum of 120 samples were required. A high dropout rate of 20% was applied because of unpredictable bed occupancy rates and the capacity of the inpatients to answer the questionnaire during the pandemic. A second briefing session with the head nurses from each ward was held. Details of the study, including how it would be conducted, its purpose, and its benefits, were explained. The standard operating procedures, in accordance with guidelines for conducting research during the MCO, were carefully discussed. The expected daily bed occupancy rate was also noted during the meeting to help us in determining the sampling size. A stratified sampling proportionate to the number of beds was conducted in order to determine the number of participants needed from each ward. The executive ward had the lowest number of beds, followed by the oncology ward. The medical, surgical, and orthopedic wards had similar numbers of beds, whereas the obstetrics and gynecology ward had double the number of beds compared with the rest. A minimum of five days and a maximum of ten days were allocated to each ward in order to complete the data collection. On the day of the data collection, the eligible study population was determined according to strict criteria. Study participants were selected through computer-generated random numbers based on their bed numbers. The patients selected for the study were those aged 18 and above who had been in the ward for at least 24 h, were able to read and write, and were clinically stable enough to answer the questionnaire by themselves. Those who consented to participate were given the paper-based questionnaire and were asked to read the patient information sheet and answer the questions by themselves. They were also encouraged to watch a short video about the study, which was provided through a QR-coded link. Completed questionnaires were collected afterward by the researcher. 2.2. Relational Aspect of Care Questionnaire (RAC-Q): The RAC-Q was developed in 2017 in response to the Francis Report that highlighted the lack of compassionate care as the crucial cause that led to the failure of the UK Mid-Staffordshire NHS Foundation Trust. One of the report’s important recommendations was the need for a reliable measurement tool that could be sued to correctly measure compassionate care. The Picker Institute Europe, a non-governmental organization dedicated to compassionate care, collaborated with the University of Oxford to develop a questionnaire measuring this critical aspect of relational care, namely, compassionate care. The questionnaire was developed using a combination of quantitative, qualitative, and participatory research approaches [11]. During the initial development process, they identified 22 themes that included patient-perceived levels of security, knowledge, and personal value during their hospital stay or visit. The original questionnaire contained 20 items but was then successfully reduced to 12 items with only one domain. Five of the questions had a three-point Likert scale, whereas the other seven questions used four points. The responses were either in agreement form or in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes,” one point was given for “never,” and two points were given for “unsure”. The total score given by the patients was then converted into percent. The survey tool kit was widely used in regions under the UK’s NHS. However, few publications on its usage were found. Moreover, it has not been translated into any other language. It is a self-administered questionnaire that is answered on designated computer tablets. It was selected from among other measurement tools owing to its good psychometric properties, its focus on similar target groups, namely inpatients, and because it also assesses the relational aspects of care among healthcare providers as a whole rather than a particular, individual provider. 2.3. Translation and Cultural Adaptation of the RAC-Q: Before the RAC-Q underwent translation and cultural adaptation, permission to use the questionnaire was obtained from the corresponding author. The translation process followed the 10 steps proposed by established guidelines [13]. The steps were as follows below. Preparation This initial phase involved the members of the research team members brainstorming about the translation and validation process, including three public health physicians and the main researcher. The translators, field experts, sampling population, and mode of data collection were meticulously discussed, considering the standard operating procedures and restrictions during the MCO due to COVID-19. Forward Translation This step focused on translating the English version of the RAC-Q into the Malay language. Two independent translators were recruited to perform the task. The first translator is a professional translator with credible experience in translating medical-based materials and appointed by the Linguistic Department of Universiti Sains, Malaysia. The second translator is a medical doctor with a public health qualification and has vast experience in quality assurance programs in healthcare. Both translators are native Malay speakers and can converse in English fluently. Each translator carried out the translation independently, and they were asked to notify the team if they encountered any difficulties in translating any word or sentence from the original questionnaire. Reconciliation This step aimed to produce a single forward translation by comparing and merging both forward translations of the translators. A committee consisting of experienced personnel working in hospital management, quality of care, nursing and clinical care, and language teaching was formed in order to review both forward translations. Both versions of the forward translations were compared with the original RAC-Q. The reconciliation process was completed by comparing each sentence in both translations. Words or phrases not relevant within the Malaysian context were replaced with alternative words or phrases. The content validity of the questionnaire was also determined at this stage. At the end of the meeting, one standard forward translation of the RAC-Q was produced and agreed upon by the review committee for its use in the next stage. Back Translation Next, two independent translators translated the reconciled Malay version of the RAC-Q into English. This step aimed to compare the back-translated questionnaire with the original questionnaire and determine whether there were changes to the words or meanings. The first translator is a professional translator appointed by the Linguistic Department of Universiti Sains, Malaysia (different from the forward translator). The second translator was a postgraduate student enrolled in a public health course at Universiti Sains, Malaysia. Both are fluent in both languages and were blinded to the original questionnaire. Back Translation Review At this stage, the same committee reviewed the back-translated questionnaire and compared it with the original English version. They examined the equivalence in terms of the concepts, items, and semantics of both versions. The conceptual equivalence assessment aimed to ascertain whether the theme of compassionate care in healthcare was present in both settings, whereas the item equivalence was examined to determine whether or not specific items were relevant and acceptable to both populations [15]. Semantic equivalence, on the other hand, was assessed to ensure that the original and translated questionnaires had similar meanings. Generally, the review committee was satisfied with the forward translation of the RAC-Q. Thus, the standard forward translation was agreed upon as the preliminary RAC-Q Malay version (RAC-QM) to be used in the next stage. Harmonization An additional quality check was carried out to ensure that the back-translated RAC-QM was in harmony with the original English version. It was performed in order to detect any translation discrepancies between the two languages. Cognitive Debriefing Cognitive debriefing was performed in order to test the translated version’s understandability, interpretation, and cultural relevance among a small group of relevant respondents. This enables one to detect any item that may be inappropriate and identify any other issues that may be confusing or misleading [16]. The cognitive debriefing was carried out by six respondents, namely, two males and four females in the age range from 30 to 45. Four of the respondents were inpatients who actually fulfilled the study criteria, and the other two respondents were nurses who worked in the wards. The respondents were briefed about the purpose of the cognitive debriefing. The preliminary RAC-QM was given to each respondent, and they were given time to answer all of the questions. They were then asked to give feedback on any confusing, unclear, or misleading sentences. They were also asked about their impression and understanding when they initially read particular phrases. Review of Cognitive Debriefing Results and Finalization At this stage, feedback from the cognitive debriefing was presented and discussed with the review committee. The committee evaluated all of the comments, and necessary changes were made. Proofreading Proofreading was performed as a final step to consolidate the RAC-QM and inspect it for grammatical or typographical errors. Lastly, the committee conducted a final check to ensure that any corrections had been made. Final Report Lastly, a final report was created in order to document the whole process of the translation. This stage is essential for future translations and to ensure harmonization with the previously developed original-language version. 2.4. Pretesting of RAC-QM: Pretesting was conducted at a teaching hospital and involved 30 adult inpatients that fit the study participants’ criteria. This step was carried out in order to further evaluate any shortcoming related to the questionnaire from the target population’s viewpoint. The RAC-QM was distributed to the participants through a QR code linked to a brief introductory video about the study. 2.5. Statistical Analysis: Data were analyzed using R software version 4.1.3 (R Core Team: Vienna, Austria, 2020). Owing to the non-normality of the data distribution, the robust maximum likelihood was preferred [17]. The construct validity was determined using CFA, and the internal reliability consistency was assessed using Cronbach’s alpha. Standardized factor loadings were measured, and items with factor loadings of >0.3 were considered acceptable [18]. The models’ goodness of fit was assessed using SRMR, RMSEA, CFI, and chi-squared tests following the values recommended by Schreiber et al. [19] and Brown [20]. The following cut-off values were taken into consideration to determine the goodness fit of the model: the comparative fit index (CFI) and Tucker–Lewis fit index (TLI) of >0.90, and the root mean square error of approximation (RMSEA) and standardized root mean square residual (SRMR) of <0.08 [17]. The revision of the model was considered on the basis of the factor loadings, standardized residuals (SRs), modification indices (MIs), and theoretical justification. Parameters with SR ≥ 2.58 and MI ≥ 3.84 were considered for the model. Factors were checked for multicollinearity if r > 0.85. The model was also selected on the basis of the Akaike Information Criterion (AIC) and Bayesian Information Criterion (BIC). Models with low values of the AIC and BIC were chosen [21]. A Cronbach’s alpha of ≥0.7 in the reliability assessment was considered acceptable [17]. 2.6. Ethical Consideration: Ethical clearance for this research was obtained from the Human Research Ethics Committee of Universiti Sains, Malaysia (JEPeM Code: USM/JEPeM/21030208), and the National Medical Research Register (NMMR) Malaysia (NMRR-21-344-58027). The confidentiality of the data was strictly prioritized. 3. Results: Data from 138 inpatients were eligible for analysis. Sociodemographic characteristics of the patients were described quantitatively, and CFA was performed in order to validate the RAC-QM. 3.1. Sociodemographic Characteristics of Inpatients Initially, 150 respondents were recruited from six adult wards: the surgical ward, medical ward, orthopedic ward, oncology ward, obstetrics and gynecology ward, and a multidisciplinary executive ward. Of all the responses from 150 respondents, those from 12 respondents had to be removed owing to missing data. With regard to the sociodemographic background of the respondents, there was an almost equal proportion of males and females. Half of them were aged below 40 years old, and the majority were Malays and Muslim. About one-quarter of the respondents did not have legal partners at the time of the study. More than 60 percent of the respondents completed secondary school, and almost 60 percent of the respondents were in the B40 income category, as classified on the basis of the Household Income and Basic Amenities survey of 2019, Department of Statistics, Malaysia [22]. In Malaysia, household income can be classified into three categories: B40, M40, and T20. B40 represents the bottom 40%, which, as of 2021, means a monthly household income of RM 4850 or less. M40 represents the middle 40%, which means a household income of RM 4851–10,970. T20 represents the top 20%, which can be further divided into T1 (household income ranging from RM 10,971 up to 15,040) and T2 (more than RM 15,041). Table 1 shows the details of the sociodemographic finding. Initially, 150 respondents were recruited from six adult wards: the surgical ward, medical ward, orthopedic ward, oncology ward, obstetrics and gynecology ward, and a multidisciplinary executive ward. Of all the responses from 150 respondents, those from 12 respondents had to be removed owing to missing data. With regard to the sociodemographic background of the respondents, there was an almost equal proportion of males and females. Half of them were aged below 40 years old, and the majority were Malays and Muslim. About one-quarter of the respondents did not have legal partners at the time of the study. More than 60 percent of the respondents completed secondary school, and almost 60 percent of the respondents were in the B40 income category, as classified on the basis of the Household Income and Basic Amenities survey of 2019, Department of Statistics, Malaysia [22]. In Malaysia, household income can be classified into three categories: B40, M40, and T20. B40 represents the bottom 40%, which, as of 2021, means a monthly household income of RM 4850 or less. M40 represents the middle 40%, which means a household income of RM 4851–10,970. T20 represents the top 20%, which can be further divided into T1 (household income ranging from RM 10,971 up to 15,040) and T2 (more than RM 15,041). Table 1 shows the details of the sociodemographic finding. 3.2. Medical and Admission Background The patients’ medical background and details of their admission at the time were also gathered. The median admission period was four days, with an IQR of 8.25 days. Half of the patients had at least one chronic disease. The majority of the patients lived with other family members at home. However, only half of them were accompanied all the time while in the ward. More than 80 percent of them did not receive any visitors while in hospital. For almost 40 percent of the patients, this was the first time in their lives that they had ever been admitted to the ward. About half of the patients were dependent on others to move, practice self-care, or perform activities of daily living. About 60 percent of the patients experienced pain or discomfort. However, more than half reported no anxiety or depression issues. Table 2 summarizes all the findings. The patients’ medical background and details of their admission at the time were also gathered. The median admission period was four days, with an IQR of 8.25 days. Half of the patients had at least one chronic disease. The majority of the patients lived with other family members at home. However, only half of them were accompanied all the time while in the ward. More than 80 percent of them did not receive any visitors while in hospital. For almost 40 percent of the patients, this was the first time in their lives that they had ever been admitted to the ward. About half of the patients were dependent on others to move, practice self-care, or perform activities of daily living. About 60 percent of the patients experienced pain or discomfort. However, more than half reported no anxiety or depression issues. Table 2 summarizes all the findings. 3.3. Patients’ Responses to Questionnaire Table 3 shows the patients’ responses to the questionnaire. The questionnaire contained 12 items. Five of the items had three answer options, whereas the other seven questions had four answer options. All questions except for numbers four and twelve provided answer options in agreement form. For question numbers four and twelve, answer options were in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes”, one point was given for “never”, and two points were given for “unsure”. Therefore, the maximum score a patient can provide is 48 points, and the minimum is 12 points. The total score that a patient provides is divided by 48 and multiplied by 100 to convert it to percent. The higher the score is, the more compassionate the healthcare provider is, as perceived by the patients. In general, the average points given by the patients for each item were between 3.42 and 3.91. The lowest points were given for question number one: “Did staff members introduce themselves before treating or caring for you?”. At the same time, patients could appreciate the staff members’ competency and gave them, on average, 3.91 points out of 4.0. Table 3 shows the patients’ responses to the questionnaire. The questionnaire contained 12 items. Five of the items had three answer options, whereas the other seven questions had four answer options. All questions except for numbers four and twelve provided answer options in agreement form. For question numbers four and twelve, answer options were in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes”, one point was given for “never”, and two points were given for “unsure”. Therefore, the maximum score a patient can provide is 48 points, and the minimum is 12 points. The total score that a patient provides is divided by 48 and multiplied by 100 to convert it to percent. The higher the score is, the more compassionate the healthcare provider is, as perceived by the patients. In general, the average points given by the patients for each item were between 3.42 and 3.91. The lowest points were given for question number one: “Did staff members introduce themselves before treating or caring for you?”. At the same time, patients could appreciate the staff members’ competency and gave them, on average, 3.91 points out of 4.0. 3.4. Translation and Validation of RAC-Q The translation and validation processes was performed according to the 10 proposed steps. In general, there was no significant difficulty faced during the process. The forward translation was carried out by two independent translators, who produced comparable and highly similar forward translations. An important point that was discussed was the appropriate Malay term for compassion. Both translators chose “penyayang” for “compassion”. Deeper consideration was given, as one of the central values of MOH’s corporate culture is “penyayang”, but it was translated into English as “caring”. After an in-depth discussion about the connotations of “budaya penyayang” in MOH’s corporate culture, the committee agreed that “penyayang”, in the corporate culture, is equivalent to compassion. “Penyayang” has also been used in the local healthcare system since the beginning of its service. Moreover, the concept of compassion has emerged relatively recently. No major modification was applied during the cognitive debriefing. The respondents gave feedback indicating that the questionnaire could be easily understood. The questions also sufficiently covered their thoughts about compassion. Some of the respondents suggested providing a short video to explain the survey before the respondents started to answer. Thus, a short introductory video was prepared and distributed during the pretest and actual survey. The translation and validation processes was performed according to the 10 proposed steps. In general, there was no significant difficulty faced during the process. The forward translation was carried out by two independent translators, who produced comparable and highly similar forward translations. An important point that was discussed was the appropriate Malay term for compassion. Both translators chose “penyayang” for “compassion”. Deeper consideration was given, as one of the central values of MOH’s corporate culture is “penyayang”, but it was translated into English as “caring”. After an in-depth discussion about the connotations of “budaya penyayang” in MOH’s corporate culture, the committee agreed that “penyayang”, in the corporate culture, is equivalent to compassion. “Penyayang” has also been used in the local healthcare system since the beginning of its service. Moreover, the concept of compassion has emerged relatively recently. No major modification was applied during the cognitive debriefing. The respondents gave feedback indicating that the questionnaire could be easily understood. The questions also sufficiently covered their thoughts about compassion. Some of the respondents suggested providing a short video to explain the survey before the respondents started to answer. Thus, a short introductory video was prepared and distributed during the pretest and actual survey. 3.5. Confirmatory Factor Analysis of the RAC-QM The construct validity of the initial model (model 1) was determined using CFA. Model 1 contains items similar to the original version. In general, model 1 had a reasonable goodness of fit, with a chi-square statistic divided by the degree of freedom of 1.43, SRMR of 0.07, RMSEA of 0.06, CFI of 0.92, and TLI of 0.90. Model 1 also showed good reliability, with a Cronbach’s alpha of 0.85. The standardized factor loadings for all items were >0.40, except that for question number eight, which was 0.40, as shown in Table 4. Model 2 was created by excluding question number eight. Overall, model 2 did not have significantly better indices, and removing question number eight did not improve any other item’s factor loading, as shown in Table 5. Figure 2 shows the path diagram of the RAC-Q. There was no multicollinearity between items, and all the factor loadings were acceptable. The construct validity of the initial model (model 1) was determined using CFA. Model 1 contains items similar to the original version. In general, model 1 had a reasonable goodness of fit, with a chi-square statistic divided by the degree of freedom of 1.43, SRMR of 0.07, RMSEA of 0.06, CFI of 0.92, and TLI of 0.90. Model 1 also showed good reliability, with a Cronbach’s alpha of 0.85. The standardized factor loadings for all items were >0.40, except that for question number eight, which was 0.40, as shown in Table 4. Model 2 was created by excluding question number eight. Overall, model 2 did not have significantly better indices, and removing question number eight did not improve any other item’s factor loading, as shown in Table 5. Figure 2 shows the path diagram of the RAC-Q. There was no multicollinearity between items, and all the factor loadings were acceptable. 3.1. Sociodemographic Characteristics of Inpatients: Initially, 150 respondents were recruited from six adult wards: the surgical ward, medical ward, orthopedic ward, oncology ward, obstetrics and gynecology ward, and a multidisciplinary executive ward. Of all the responses from 150 respondents, those from 12 respondents had to be removed owing to missing data. With regard to the sociodemographic background of the respondents, there was an almost equal proportion of males and females. Half of them were aged below 40 years old, and the majority were Malays and Muslim. About one-quarter of the respondents did not have legal partners at the time of the study. More than 60 percent of the respondents completed secondary school, and almost 60 percent of the respondents were in the B40 income category, as classified on the basis of the Household Income and Basic Amenities survey of 2019, Department of Statistics, Malaysia [22]. In Malaysia, household income can be classified into three categories: B40, M40, and T20. B40 represents the bottom 40%, which, as of 2021, means a monthly household income of RM 4850 or less. M40 represents the middle 40%, which means a household income of RM 4851–10,970. T20 represents the top 20%, which can be further divided into T1 (household income ranging from RM 10,971 up to 15,040) and T2 (more than RM 15,041). Table 1 shows the details of the sociodemographic finding. 3.2. Medical and Admission Background: The patients’ medical background and details of their admission at the time were also gathered. The median admission period was four days, with an IQR of 8.25 days. Half of the patients had at least one chronic disease. The majority of the patients lived with other family members at home. However, only half of them were accompanied all the time while in the ward. More than 80 percent of them did not receive any visitors while in hospital. For almost 40 percent of the patients, this was the first time in their lives that they had ever been admitted to the ward. About half of the patients were dependent on others to move, practice self-care, or perform activities of daily living. About 60 percent of the patients experienced pain or discomfort. However, more than half reported no anxiety or depression issues. Table 2 summarizes all the findings. 3.3. Patients’ Responses to Questionnaire : Table 3 shows the patients’ responses to the questionnaire. The questionnaire contained 12 items. Five of the items had three answer options, whereas the other seven questions had four answer options. All questions except for numbers four and twelve provided answer options in agreement form. For question numbers four and twelve, answer options were in frequency form. For the answers in agreement form, four points were given for “definitely true”, three points were given for “mostly true”, one point was given for “definitely false”, and two points were given for “unsure”. For the answers in frequency form, four points were given for “every time”, three points were given for “sometimes”, one point was given for “never”, and two points were given for “unsure”. Therefore, the maximum score a patient can provide is 48 points, and the minimum is 12 points. The total score that a patient provides is divided by 48 and multiplied by 100 to convert it to percent. The higher the score is, the more compassionate the healthcare provider is, as perceived by the patients. In general, the average points given by the patients for each item were between 3.42 and 3.91. The lowest points were given for question number one: “Did staff members introduce themselves before treating or caring for you?”. At the same time, patients could appreciate the staff members’ competency and gave them, on average, 3.91 points out of 4.0. 3.4. Translation and Validation of RAC-Q: The translation and validation processes was performed according to the 10 proposed steps. In general, there was no significant difficulty faced during the process. The forward translation was carried out by two independent translators, who produced comparable and highly similar forward translations. An important point that was discussed was the appropriate Malay term for compassion. Both translators chose “penyayang” for “compassion”. Deeper consideration was given, as one of the central values of MOH’s corporate culture is “penyayang”, but it was translated into English as “caring”. After an in-depth discussion about the connotations of “budaya penyayang” in MOH’s corporate culture, the committee agreed that “penyayang”, in the corporate culture, is equivalent to compassion. “Penyayang” has also been used in the local healthcare system since the beginning of its service. Moreover, the concept of compassion has emerged relatively recently. No major modification was applied during the cognitive debriefing. The respondents gave feedback indicating that the questionnaire could be easily understood. The questions also sufficiently covered their thoughts about compassion. Some of the respondents suggested providing a short video to explain the survey before the respondents started to answer. Thus, a short introductory video was prepared and distributed during the pretest and actual survey. 3.5. Confirmatory Factor Analysis of the RAC-QM: The construct validity of the initial model (model 1) was determined using CFA. Model 1 contains items similar to the original version. In general, model 1 had a reasonable goodness of fit, with a chi-square statistic divided by the degree of freedom of 1.43, SRMR of 0.07, RMSEA of 0.06, CFI of 0.92, and TLI of 0.90. Model 1 also showed good reliability, with a Cronbach’s alpha of 0.85. The standardized factor loadings for all items were >0.40, except that for question number eight, which was 0.40, as shown in Table 4. Model 2 was created by excluding question number eight. Overall, model 2 did not have significantly better indices, and removing question number eight did not improve any other item’s factor loading, as shown in Table 5. Figure 2 shows the path diagram of the RAC-Q. There was no multicollinearity between items, and all the factor loadings were acceptable. 4. Discussion: A healthcare organization is and has always been known as a place to relieve human suffering. However, assessments of medical care have traditionally been conducted based on technical and physiological reports of outcomes rather than from a patient’s perspective [21]. However, it is comforting to see that more healthcare systems all over the world have sought to achieve balance in the services that offer clinically effective and evidence-based care and that are also perceived by patients as acceptable and beneficial [21]. To properly assess a patient’s perception of the relational aspect of care that they experience, a valid measurement tool must be available, as suggested by a well-known report [11]. Reviews showed that most of the available patient-reported experience measures are still lacking in their psychometric properties [23]. Compassionate care is one of Malaysia’s MOH pillars. However, no tool has been psychometrically developed in order to assess whether this aspect of care is properly embedded among all healthcare workers. Therefore, in this study, we aimed to validate and translate the RAC-Q into the Malay language to enable its use in Malaysia. Although there are many other tools available that can be used to measure compassion, the RAC-Q was primarily chosen because it has very good psychometric properties, and the background of the original study population was similar to the targeted population of our study, that is, inpatients. Furthermore, the RAC-Q was developed on the basis of the relational aspect of care, based on evidence gathered from a wide selection of existing surveys, namely, the PEECH measure, NHS Adult Inpatient Survey, 2012 NHS Emergency Department Survey, CARE measure, Hospital Consumer Assessment of Healthcare Providers and Systems (HCAPS) questionnaire, and General Practice Patient Survey (GPPS), and also from a qualitative study [11]. It incorporates 22 elements of the relational aspect of care. Even though the original paper did not provide details about the specific themes that each question represented, the committee members tried to identify these during the cognitive debriefing and agreed that the questionnaire represented the 22 themes. Model 1 contained all 12 original items, with good indices (χ2/df = 1.43, SRMR = 0.07, RMSEA = 0.06, CFI = 0.92, and TLI = 0.90) and a good reliability, with a Cronbach’s alpha of 0.86. All factor loadings were also acceptable, with a value of >0.40, except for question number eight, the item that asks “have you had enough time to discuss your health or medical problem with a doctor or nurse?”. Therefore, Model 2 was built and tested by removing question number eight in order to decide which model has the better goodness of fit. Compared with model 1, model 2 has no significant difference in terms of the indices, although it leads to lower AIC (1006.14 vs. 1137.52) and BIC (1070.54 vs. 1207.77)). Therefore, model 1 was retained. According to Hair et al., a factor loading of >0.3 is still acceptable [17]. In addition, removing an important item from the questionnaire affects the intended functionality of the questionnaire. The reliability of the RAC-QM in assessing the compassionate care offered by healthcare providers was ascertained based on a good Cronbach’s alpha of ≥0.7. The overall consistency of the items in the questionnaire indicates that all the items measure the same constructs. The convergent validity of the questionnaire is also adequate, with a composite ratio of 0.857 and AVE of 0.344. Even though many studies suggested that the AVE should be more than 0.5, many lines of evidence also showed that a measurement model with a composite ratio of more than 0.6 is still adequate even if the AVE is less than 0.5 [24,25]. This means that similar results can be expected even if the testing process is repeated. As seen in the case of many other patient-reported experience measures, this survey also showed a ceiling effect, in which the majority of the responses skewed towards higher scores, that is, three and four. Even though this may indicate that the patients perceived all the healthcare workers they encountered as compassionate, research studies showed that their judgement could be influenced by many factors, such as social desirability bias, as a sign of appreciation, respect, deference, or generosity [26]. This small variation in the responses could pose a challenge when determining which areas require focus for improvement. That being said, it does not necessarily mean that the questionnaire could not be used to assess the problem that it was intended to address or that improvements could not be made. A skewness towards high scores was also observed in the original paper. Despite this, the authors were still able to make improvements and had a significant, positive outcome [11]. The responses could be analyzed item-by-item, and the questions that did not receive a full score could be treated as areas requiring attention and improvement. In this sense, we can treat the responses as dichotomous, that is, we can define a full score as “compassionate” and anything less as “not compassionate”. This has been practiced in the case of many patient-reported measures in view of the high prevalence of the ceiling effect [27,28]. In this study, we found that only question numbers seven and 10 had ceiling effects of more than 90 percent. There are several methods known to reduce the ceiling effect, even though they do not have strong evidence. These methods include removing neutral responses [29,30], making the responses more extreme [31], making statements regarding anonymity and the need for feedback in order to help future patients [32], changing the scale type, and applying the iterative Guttman-style scale [33,34]. These methods could be tested in future studies. The RAC-QM is a 12-item, self-administered questionnaire and relatively easy to understand. Even though it is short and straightforward, it is proven to measure compassionate care, as it was intended to do. This feature improves its clinical utility. As in the original study, this study also involved patients from multidisciplinary wards who had heterogeneous backgrounds. Thus, the generalizability and representativeness of the data can be viewed as a strength of this study. The ease of administration might also contribute to the clinical utility of the RAC-QM. Although the original version of the questionnaire originated from a western country, the RAC-QM still maintains good psychometric properties, which are attributable to the rigorous methods of translation and validation. This study should be considered in light of its limitations. Firstly, the study was carried out during the MCO due to COVID-19 in Malaysia. Most of the discussions were conducted virtually through calls, online discussions, and video conferences. Different methods of discussion or meeting may lead to different outcomes [35,36,37]. The study was also conducted in a university hospital and involved non-paying patients who were mostly unemployed, not highly educated, and had repeated hospitalizations, which may have altered their expectations of the free service they received. In addition, during the MCO, visitors were not allowed in the wards, and a companion was only allowed in special cases. In this sense, the patients depended entirely on the staff members for their treatment and care. Appreciation, respect, and generosity may have affected their responses as well. 5. Conclusions: In conclusion, the RAC-QM was proven to have good psychometric properties and can be used in Malaysia in order to measure the compassion level of healthcare providers from the patient’s perspective. With the availability of this tool for measuring the level of compassionate care, MOH can start to evaluate this crucial aspect of quality care and carry out the necessary improvements.
Background: Compassionate care has been increasingly highlighted in the past few decades worldwide, including in Malaysia. Despite acknowledging its importance, Malaysia still lacks a validated tool that can be used to assess the level of compassionate care from the patient's perspective. Therefore, this study aims to validate and translate the Relational Aspect of Care Questionnaire (RAC-Q) into the Malay language. Methods: Permission to use and translate the original RAC-Q into the Malay language was obtained. The RAC-Q was then translated into the Malay language following the 10 steps proposed for the translation of a patient-reported outcome questionnaire. A pretest was conducted based on 30 inpatients to assess the appropriateness and clarity of the finalized translated questionnaire. A cross-sectional study was performed based on 138 inpatients from six adult wards of a teaching hospital so as to validate the translated questionnaire. The data were analyzed using R software version 4.1.3 (R Core Team, Vienna, Austria, 2020). The results were presented descriptively as numbers and percentages or means and standard deviations. A confirmatory factor analysis was performed using robust estimators. Results: The analysis showed that the measurement model of the RAC-Q Malay version (RAC-QM) fits well based on several fit indices: a standardized factor loading range from 0.40 to 0.73, comparative fit index (CFI) of 0.917, Tucker-Lewis fit index (TLI) of 0.904, root mean square error of approximation (RMSEA) of 0.06, and a standardized root mean square residual (SRMR) of 0.073. It has good reliability, with a Cronbach's alpha of 0.857 and a composite ratio of 0.857. Conclusions: The RAC-QM demonstrated good psychometric properties and is valid and reliable based on the confirmatory analysis, and it can thus be used as a tool for evaluating the level of compassionate care in Malaysia.
1. Introduction: The evaluation of patients’ experience when receiving healthcare services has become an important topic worldwide, especially in the past few decades. In 2001, the Institute of Medicine (IOM) released its Patient Safety Goals, which emphasized patient-centered care as one of the goals [1]. Before then, little attention was given to this aspect of quality care. This could be attributed to many factors, such as the shifting of tax-funded healthcare systems to privatized and performance-based payments. The revolution of industries also places constant pressure on healthcare systems worldwide to take into account patients’ experiences of receiving care. In general, a good patient experience should encompass all aspects of care, which include the functional, transactional, and relational aspects of care. The scarcity of resources in the healthcare system should not act as a barrier to the provision of high-quality care, which includes all aspects of their management. It is certain that a good patient experience not only improves the well-being of patients but also benefits the healthcare system as a whole. However, these aspects of care are, indeed, very complex and depend on the subjective experiences of individual patients [2], especially the relational aspect. Much work has been conducted in order to develop tools that can help us to accurately measure the relational aspect of care so that improvements can be made. Most of them have been developed for a unique target population. The importance of the relational aspect of care has also been emphasized in many other reports [3,4,5]. One of the infamous public inquiry reports that highlighted compassionate care is the Francis Report [6]. The inquiry was conducted as a consequence of many public complaints against the Mid-Staffordshire National Health Service (NHS) Foundation Trust concerning poor care. The report revealed many weaknesses in the system, but the most prominent was the lack of compassion among its staff. The report also highlighted the need for a measurement tool with which to properly assess compassion [6]. The Picker Institute Europe is among the organizations dedicated to nurturing compassionate care in the healthcare system. The organization has developed many measurement tools to cater to different target groups or healthcare settings. One of them is the Relational Aspect of Care Questionnaire (RAC-Q), which has been widely used across the UK. Many other measurement tools are being developed, validated, and reviewed. Nevertheless, a review of nine studies that reported on the measurement tools for compassionate care in healthcare found that there is still an unmet need for a psychometrically validated tool that can comprehensively measure the construct of compassion in healthcare settings [7]. In Malaysia, efforts to improve patient experiences can be seen in many initiatives. Among the earliest was the incorporation of budaya penyayang or “caring” as one of the central values of the Ministry of Health’s (MOH) corporate culture. MOH’s corporate culture committee was formed in the 1990s, with three central values: caring, professionalism, and teamwork. The committee undertook many initiatives in order to instill these values through corporate songs, workshops, and exhibitions. However, after more than three decades since its introduction, there was very limited published evidence regarding the program’s effectiveness, especially from the patient’s perspective. MOH received over five thousand official complaints each year, and at least a quarter of the complaints were related to poor service quality [8]. However, contrary to the common belief that the lack of compassionate care is due to healthcare worker’s (HCW) weakness and ignorance, evidence showed that patients’ characteristics and the care environment considerably affect patients’ perspectives on the compassionate care provided [9,10,11,12]. As long as these factors are not recognized, the quality of our image of healthcare will be jeopardized. The Model of the Interpersonal Process of Compassion [9], as shown in Figure 1, highlights the complexity of compassionate care, which involves many aspects related to different parties. The lack of a clinical measure of compassion with solid evidence of the measurements’ validity is a significant barrier to the improvement and development of clinical practice and patient satisfaction [10]. Therefore, a psychometrically valid measurement tool is needed in order to correctly measure this crucial aspect of care. To date, the RAC-Q is among the available, validated tools used to measure healthcare workers’ compassionate care for inpatients. The RAC-Q was developed and validated by researchers from the Picker Institute Europe and Nuffield Department of Population Health, University of Oxford. It is based on data from the 2012 NHS Emergency Department Survey and the 2013 NHS Adult Inpatient Survey. The initial questionnaire contained 20 closed-ended questions, with a very high reliability (factor loading of 0.458–0.870, Cronbach’s alpha of 0.950, and McDonald’s omega of 0.951). It was then subsequently reduced to a 12-item questionnaire. The short version of the questionnaire has a better completion rate but is still able to retain its strong psychometric properties (Cronbach’s alpha of 0.92 and intraclass correlation coefficient of 0.97). It measures the relational aspect of care across 22 themes [11]. The completion of the survey requires a mean time of 8.5 min, with a standard deviation of 9.9 min [12]. The original RAC-Q was administered digitally, and the responses were captured in near real time. Therefore, prompt actions could be taken by the service provider in response to the feedback received. A similar method can be applied to assess and improve compassionate care among healthcare workers in Malaysia. However, for this purpose, the RAC-Q would need to be translated, since most respondents will be Malays. Linguistic appropriateness is one of the key factors that can improve the results’ validity and reliability [13,14]. 5. Conclusions: In conclusion, the RAC-QM was proven to have good psychometric properties and can be used in Malaysia in order to measure the compassion level of healthcare providers from the patient’s perspective. With the availability of this tool for measuring the level of compassionate care, MOH can start to evaluate this crucial aspect of quality care and carry out the necessary improvements.
Background: Compassionate care has been increasingly highlighted in the past few decades worldwide, including in Malaysia. Despite acknowledging its importance, Malaysia still lacks a validated tool that can be used to assess the level of compassionate care from the patient's perspective. Therefore, this study aims to validate and translate the Relational Aspect of Care Questionnaire (RAC-Q) into the Malay language. Methods: Permission to use and translate the original RAC-Q into the Malay language was obtained. The RAC-Q was then translated into the Malay language following the 10 steps proposed for the translation of a patient-reported outcome questionnaire. A pretest was conducted based on 30 inpatients to assess the appropriateness and clarity of the finalized translated questionnaire. A cross-sectional study was performed based on 138 inpatients from six adult wards of a teaching hospital so as to validate the translated questionnaire. The data were analyzed using R software version 4.1.3 (R Core Team, Vienna, Austria, 2020). The results were presented descriptively as numbers and percentages or means and standard deviations. A confirmatory factor analysis was performed using robust estimators. Results: The analysis showed that the measurement model of the RAC-Q Malay version (RAC-QM) fits well based on several fit indices: a standardized factor loading range from 0.40 to 0.73, comparative fit index (CFI) of 0.917, Tucker-Lewis fit index (TLI) of 0.904, root mean square error of approximation (RMSEA) of 0.06, and a standardized root mean square residual (SRMR) of 0.073. It has good reliability, with a Cronbach's alpha of 0.857 and a composite ratio of 0.857. Conclusions: The RAC-QM demonstrated good psychometric properties and is valid and reliable based on the confirmatory analysis, and it can thus be used as a tool for evaluating the level of compassionate care in Malaysia.
13,384
361
[ 4774, 533, 412, 993, 66, 298, 54, 167, 289, 242, 181 ]
16
[ "questionnaire", "given", "rac", "care", "ward", "points", "patients", "translation", "study", "respondents" ]
[ "good patient experience", "receiving healthcare services", "healthcare provider perceived", "practice patient satisfaction", "experiences receiving care" ]
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[CONTENT] compassionate care | relational aspect of care questionnaire | confirmatory factor analysis | validity | reliability [SUMMARY]
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[CONTENT] compassionate care | relational aspect of care questionnaire | confirmatory factor analysis | validity | reliability [SUMMARY]
[CONTENT] compassionate care | relational aspect of care questionnaire | confirmatory factor analysis | validity | reliability [SUMMARY]
[CONTENT] compassionate care | relational aspect of care questionnaire | confirmatory factor analysis | validity | reliability [SUMMARY]
[CONTENT] compassionate care | relational aspect of care questionnaire | confirmatory factor analysis | validity | reliability [SUMMARY]
[CONTENT] Adult | Humans | Language | Reproducibility of Results | Cross-Sectional Studies | Malaysia | Surveys and Questionnaires | Psychometrics | Health Personnel [SUMMARY]
null
[CONTENT] Adult | Humans | Language | Reproducibility of Results | Cross-Sectional Studies | Malaysia | Surveys and Questionnaires | Psychometrics | Health Personnel [SUMMARY]
[CONTENT] Adult | Humans | Language | Reproducibility of Results | Cross-Sectional Studies | Malaysia | Surveys and Questionnaires | Psychometrics | Health Personnel [SUMMARY]
[CONTENT] Adult | Humans | Language | Reproducibility of Results | Cross-Sectional Studies | Malaysia | Surveys and Questionnaires | Psychometrics | Health Personnel [SUMMARY]
[CONTENT] Adult | Humans | Language | Reproducibility of Results | Cross-Sectional Studies | Malaysia | Surveys and Questionnaires | Psychometrics | Health Personnel [SUMMARY]
[CONTENT] good patient experience | receiving healthcare services | healthcare provider perceived | practice patient satisfaction | experiences receiving care [SUMMARY]
null
[CONTENT] good patient experience | receiving healthcare services | healthcare provider perceived | practice patient satisfaction | experiences receiving care [SUMMARY]
[CONTENT] good patient experience | receiving healthcare services | healthcare provider perceived | practice patient satisfaction | experiences receiving care [SUMMARY]
[CONTENT] good patient experience | receiving healthcare services | healthcare provider perceived | practice patient satisfaction | experiences receiving care [SUMMARY]
[CONTENT] good patient experience | receiving healthcare services | healthcare provider perceived | practice patient satisfaction | experiences receiving care [SUMMARY]
[CONTENT] questionnaire | given | rac | care | ward | points | patients | translation | study | respondents [SUMMARY]
null
[CONTENT] questionnaire | given | rac | care | ward | points | patients | translation | study | respondents [SUMMARY]
[CONTENT] questionnaire | given | rac | care | ward | points | patients | translation | study | respondents [SUMMARY]
[CONTENT] questionnaire | given | rac | care | ward | points | patients | translation | study | respondents [SUMMARY]
[CONTENT] questionnaire | given | rac | care | ward | points | patients | translation | study | respondents [SUMMARY]
[CONTENT] care | healthcare | compassionate care | aspect | relational | compassionate | validated | aspect care | aspects | relational aspect [SUMMARY]
null
[CONTENT] points | respondents | given | patients | points given | income | ward | household income | household | model [SUMMARY]
[CONTENT] level | care | crucial aspect quality care | care carry necessary | tool measuring | evaluate crucial | evaluate crucial aspect | evaluate crucial aspect quality | level compassionate | level compassionate care [SUMMARY]
[CONTENT] points | ward | given | care | points given | patients | model | questionnaire | respondents | study [SUMMARY]
[CONTENT] points | ward | given | care | points given | patients | model | questionnaire | respondents | study [SUMMARY]
[CONTENT] the past few decades | Malaysia ||| Malaysia ||| the Relational Aspect of Care Questionnaire | Malay [SUMMARY]
null
[CONTENT] Malay | 0.40 | 0.73 | 0.917 | Tucker-Lewis | TLI | 0.904 | 0.06 | 0.073 ||| Cronbach | 0.857 | 0.857 [SUMMARY]
[CONTENT] RAC | Malaysia [SUMMARY]
[CONTENT] the past few decades | Malaysia ||| Malaysia ||| the Relational Aspect of Care Questionnaire | Malay ||| Malay ||| Malay | 10 ||| 30 ||| 138 | six ||| 4.1.3 | Vienna | Austria | 2020 ||| ||| ||| ||| Malay | 0.40 | 0.73 | 0.917 | Tucker-Lewis | TLI | 0.904 | 0.06 | 0.073 ||| Cronbach | 0.857 | 0.857 ||| Malaysia [SUMMARY]
[CONTENT] the past few decades | Malaysia ||| Malaysia ||| the Relational Aspect of Care Questionnaire | Malay ||| Malay ||| Malay | 10 ||| 30 ||| 138 | six ||| 4.1.3 | Vienna | Austria | 2020 ||| ||| ||| ||| Malay | 0.40 | 0.73 | 0.917 | Tucker-Lewis | TLI | 0.904 | 0.06 | 0.073 ||| Cronbach | 0.857 | 0.857 ||| Malaysia [SUMMARY]
EASIX for Prediction of Outcome in Hospitalized SARS-CoV-2 Infected Patients.
34248931
The coronavirus disease 2019 (COVID-19) is caused by severe acute respiratory syndrome coronavirus-2 (SARS-CoV-2) and has evoked a pandemic that challenges public health-care systems worldwide. Endothelial cell dysfunction plays a key role in pathophysiology, and simple prognosticators may help to optimize allocation of limited resources. Endothelial activation and stress index (EASIX) is a validated predictor of endothelial complications and outcome after allogeneic stem cell transplantation. Aim of this study was to test if EASIX could predict life-threatening complications in patients with COVID-19.
BACKGROUND
SARS-CoV-2-positive, hospitalized patients were enrolled onto a prospective non-interventional register study (n=100). Biomarkers were assessed at hospital admission. Primary endpoint was severe course of disease (mechanical ventilation and/or death, V/D). Results were validated in 126 patients treated in two independent institutions.
METHODS
EASIX at admission was a strong predictor of severe course of the disease (odds ratio for a two-fold change 3.4, 95%CI 1.8-6.3, p<0.001), time to V/D (hazard ratio (HR) for a two-fold change 2.0, 95%CI 1.5-2.6, p<0.001) as well as survival (HR for a two-fold change 1.7, 95%CI 1.2-2.5, p=0.006). The effect was retained in multivariable analysis adjusting for age, gender, and comorbidities and could be validated in the independent cohort. At hospital admission EASIX correlated with increased suppressor of tumorigenicity-2, soluble thrombomodulin, angiopoietin-2, CXCL8, CXCL9 and interleukin-18, but not interferon-alpha.
RESULTS
EASIX is a validated predictor of COVID19 outcome and an easy-to-access tool to segregate patients in need for intensive surveillance.
CONCLUSION
[ "Adolescent", "Adult", "Aged", "Aged, 80 and over", "Biomarkers", "COVID-19", "Endothelial Cells", "Female", "Hematopoietic Stem Cell Transplantation", "Hospitalization", "Humans", "Male", "Middle Aged", "Prognosis", "Prospective Studies", "Respiration, Artificial", "SARS-CoV-2", "Severity of Illness Index", "Survival Analysis", "Transplantation, Homologous", "Treatment Outcome", "Young Adult" ]
8261154
Introduction
Since the first cases of SARS-CoV-2 infection reported in Hubei, China, in December 2019, the virus has spread worldwide causing a still unrestrained pandemic with millions of infections and hundreds of thousands of virus-associated deaths (https://coronavirus.jhu.edu/data/new-cases). In most cases, the disease caused by SARS-CoV-2 (COVID-19) follows a mild or moderate cause with symptoms of upper airway infections, fever, fatigue, anosmia, hypogeusia, and diarrhea (1, 2). Yet, severe courses resulting in acute respiratory distress syndrome (ARDS), sepsis, hypercoagulation, myocardial injury and multi-organ failure are not uncommon and frequently require aggressive management on an intensive care unit (3). Elderly male patients with pre-existing cardio-vascular conditions have highest risk of severe morbidity and fatal outcome (4–6), however, there is an eminent heterogeneity of clinical courses, and even children may suffer from severe complications (7, 8). Given the considerable variability of clinical courses and the huge challenge of the COVID-19 pandemic to clinical resources, a reliable and readily available biomarker for early prediction of severity of COVID-19 is urgently needed in order to assign hospital resources most efficiently. A key role for endothelial cells in the pathophysiology of ARDS, multi-organ failure and mortality associated with COVID-19 has been postulated (9–12). There is good morphological evidence for endothelial cell infection and endotheliitis in COVID-19 disease (11, 13), mediated by viral binding to the receptor for angiotensin converting enzyme 2 (ACE2) (14). These observations are in line with clinical and serological findings suggesting that endothelial activation and damage may play a central role in the pathogenesis of COVID-19-associated complications (6, 15). Specifically, there is evidence that in COVID 19, endothelial inflammatory cytokines including Angiopoietin-2 and CXCL8 enhance vascular leakage and recruit activated neutrophils, respectively (16), and that dysfunctional interaction with platelets activates coagulation and complement pathways (12). In fact, the clinical presentation of severe COVID-19 is generally consistent with the presence of microangiopathy (elevated LDH and d-dimers, complement activation, decreased platelets and renal impairment) which may predispose patients to thrombotic disease and micro-infarcts promoting multi-organ failure (9, 17, 18). Beyond this background, we have tested if the EASIX (Endothelial Activation and Stress Index) might help to predict the clinical course of COVID-19. We developed EASIX as a simple score based on readily available routine parameters (LDH, creatinine, platelet count) in order to predict endothelial complications after allogeneic stem cell transplantation. We initially wanted to understand why patients died from immune mediated complications, such as graft-versus-host disease (GVHD), despite a large variety of readily available immunosuppressant drugs. We found that a progressive endothelial damage, i.e. transplant-associated microangiopathy (TAM), was present in most lethal courses of acute GVHD (19, 20). TAM is characterized by high LDH, high creatinine and low platelet counts, amongst others (21). We wondered if high LDH and creatinine together with low platelets (that is high EASIX) could predict these endothelial complications earlier than the accepted diagnostic criteria. Indeed, EASIX measured at onset of acute GVHD, on the day of transplantation, and even before starting the conditioning therapy for allogeneic stem cell transplantation predicted risk of mortality, as well as endothelial complications such as sinusoidal obstruction syndrome/veno-occlusive disease (SOS/VOD) and early fluid overload (22–26). EASIX also associated with mortality of lower and intermediate risk patients with myelodysplastic syndromes (27), and with mortality of multiple myeloma patients (28). EASIX is therefore a validated marker of endothelial risk both in immune mediated and malignant diseases. Cytokines associating with EASIX and outcome of post-transplant complications include ANG2, sCD141, ST2 (19, 20, 29), CXCL9 (30) and IL18 (31, 32). Interferon-alpha represents an early but transient immune response to viral infections that appeared deficient in COVID-19 patients (33). ANG2 and other endothelial serum markers were already shown to predict severe clinical courses of COVID-19 (16, 34). The endothelial association of COVID-19 associated complications led us to investigate EASIX together with endothelial and immune markers in COVID-19 patients admitted to the hospital. For this purpose, we performed a prospective non-interventional study and validated it retrospectively on independent datasets. The results suggest that EASIX appears to be valuable for segregating patients in need for intensive surveillance from those with an uneventful clinical course. In addition, we provide further evidence for endothelial involvement in COVID-19 pathogenesis delineating cytokine profiles associated with courses of different severity.
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Results
Patients Between February 2020 and September 2020, 100 consecutive patients were enrolled onto the prospective registry study at the University of Heidelberg, whereas the validation cohort comprised 126 patients (Munich, n=88; Ludwigshafen, n=38). Patient characteristics are summarized in Table 1 . The two cohorts were comparable in terms of gender and comorbidities, but patients from the prospective cohort were significantly older. Moreover, there were significant differences for the single EASIX parameters (higher LDH and platelets in the training cohort, higher creatinine in the validation cohort, resulting in a balanced EASIX ratio). Age positively correlated with both EASIX and LDH (Spearman-rho 0.316, p<0.001 for EASIX and 0.352, p<0.001 for LDH), whereas no correlation with age was found for creatinine and platelets. This association with age was similar in male and female patients. Patient characteristics. CVD, cardiovascular disease; LDH, lactate dehydrogenase; EASIX, endothelial activation and stress index. Between February 2020 and September 2020, 100 consecutive patients were enrolled onto the prospective registry study at the University of Heidelberg, whereas the validation cohort comprised 126 patients (Munich, n=88; Ludwigshafen, n=38). Patient characteristics are summarized in Table 1 . The two cohorts were comparable in terms of gender and comorbidities, but patients from the prospective cohort were significantly older. Moreover, there were significant differences for the single EASIX parameters (higher LDH and platelets in the training cohort, higher creatinine in the validation cohort, resulting in a balanced EASIX ratio). Age positively correlated with both EASIX and LDH (Spearman-rho 0.316, p<0.001 for EASIX and 0.352, p<0.001 for LDH), whereas no correlation with age was found for creatinine and platelets. This association with age was similar in male and female patients. Patient characteristics. CVD, cardiovascular disease; LDH, lactate dehydrogenase; EASIX, endothelial activation and stress index. EASIX and Outcome of COVID-19 Patients in the Prospective Cohort Within a median observation period of 61 days (95%CI 59-64 days), a total of 23 patients had V/D, including 13 deaths. EASIX showed a significant effect on V/D events within the observation period of 28 days in univariable (OR 3.4, 95%CI 1.8-6.3, p<0.001) and multivariable (OR 3.4, 95%CI 1.8-6.7, p<0.001) logistic regression analysis ( Table 2 ). Uni- and multivariable analyses for endpoint severe course of the disease and survival in the training and validation cohort. *logistic regression analysis; **Cox regression analysis. V/D, ventilation and/or death; EASIX, endothelial activation and stress index; HR, hazard ratio; CI, confidentiality interval. EASIX at admission was also a strong predictor of time to V/D (HR for a two-fold change 2.0, 95%CI 1.5-2.6, p<0.001) as well as survival (HR for a two-fold change 1.7, 95%CI 1.2-2.5, p=0.006). This strong effect was retained in multivariable analysis adjusting for age, gender, and comorbidities, although the reliability of this analysis is limited due to the small numbers of events ( Table 2 ). An EASIX cut-off optimized by maximal selected log rank statistics was identified for both endpoints (V/D and death) to be at >2.0 ( Supplementary Figure 1 ). Of note, only 3 of 21 V/D events and 1 of 13 deaths occurred among the patients who had an EASIX ≦2 ( Figure 1 ). Patient characteristics according to EASIX are shown in Supplementary Table 1 . Patients with EASIX>2 were older, predominantly male and more often had comorbidities. The expected differences (high LDH, high creatinine, low platelets for EASIX>2) were significant in all three single EASIX parameters ( Supplementary Table 1 ). Outcome of COVID-19 patients according to EASIX. Outcome of COVID-19 patients according to EASIX (cut-off 2) in the training cohort (left panels) and the validation cohort (right panels). (A) Cumulative incidence of severe courses of disease (mechanical ventilation and/or death, V/D). (B) Kaplan-Meier plots of overall survival. We observed significantly higher EASIX values ad admission to hospital in male as compared to female patients. Nevertheless, patients with V/D events had significantly higher EASIX values in both gender subgroups ( Supplementary Figure 2A ). EASIX-log2 and EASIX>2 significantly predicted V/D events in both, male and female patients. Within a median observation period of 61 days (95%CI 59-64 days), a total of 23 patients had V/D, including 13 deaths. EASIX showed a significant effect on V/D events within the observation period of 28 days in univariable (OR 3.4, 95%CI 1.8-6.3, p<0.001) and multivariable (OR 3.4, 95%CI 1.8-6.7, p<0.001) logistic regression analysis ( Table 2 ). Uni- and multivariable analyses for endpoint severe course of the disease and survival in the training and validation cohort. *logistic regression analysis; **Cox regression analysis. V/D, ventilation and/or death; EASIX, endothelial activation and stress index; HR, hazard ratio; CI, confidentiality interval. EASIX at admission was also a strong predictor of time to V/D (HR for a two-fold change 2.0, 95%CI 1.5-2.6, p<0.001) as well as survival (HR for a two-fold change 1.7, 95%CI 1.2-2.5, p=0.006). This strong effect was retained in multivariable analysis adjusting for age, gender, and comorbidities, although the reliability of this analysis is limited due to the small numbers of events ( Table 2 ). An EASIX cut-off optimized by maximal selected log rank statistics was identified for both endpoints (V/D and death) to be at >2.0 ( Supplementary Figure 1 ). Of note, only 3 of 21 V/D events and 1 of 13 deaths occurred among the patients who had an EASIX ≦2 ( Figure 1 ). Patient characteristics according to EASIX are shown in Supplementary Table 1 . Patients with EASIX>2 were older, predominantly male and more often had comorbidities. The expected differences (high LDH, high creatinine, low platelets for EASIX>2) were significant in all three single EASIX parameters ( Supplementary Table 1 ). Outcome of COVID-19 patients according to EASIX. Outcome of COVID-19 patients according to EASIX (cut-off 2) in the training cohort (left panels) and the validation cohort (right panels). (A) Cumulative incidence of severe courses of disease (mechanical ventilation and/or death, V/D). (B) Kaplan-Meier plots of overall survival. We observed significantly higher EASIX values ad admission to hospital in male as compared to female patients. Nevertheless, patients with V/D events had significantly higher EASIX values in both gender subgroups ( Supplementary Figure 2A ). EASIX-log2 and EASIX>2 significantly predicted V/D events in both, male and female patients. EASIX and Outcome of COVID-19 Patients in the Validation Cohort Within a median observation period of 41 days (IQR 24-56 days), a total of 33 patients had V/D in the validation cohort, including 12 deaths. Similar to the training cohort, EASIX was also significantly associated with V/D in the univariable logistic regression model (OR 6.2 (95%CI 3.0-12.8, p<0.001). Validation of the predictive impact of EASIX on V/D events was achieved by calculating the area under the ROC curve in the validation set with the model of the training cohort. We observed an AUC of 88.8% for the univariable and 87.9% for the multivariable model ( Supplementary Figure 3 ). Uni- and multivariable models confirmed the significant impact of EASIX on time to V/D and survival ( Table 2 ). Lower prediction errors confirmed the predictive effect of EASIX: Integrated Brier score (IBS) (time day+28) for time to V/D: reference 0.175, validation cohort based on the model developed for the training cohort: 0.126. Validation of the uni- and multivariable time-dependent models with the offset of the prospective cohort was performed using again the time-dependent Brier score. Lower prediction errors for prediction of V/D or survival were found both for uni- and multivariable models including EASIX (continuous variable) ( Supplementary Figure 4 ). Accordingly using the same EASIX cut-off as defined in the prospective cohort (≤2), the low-risk group in the validation cohort had a strongly reduced risk of V/D and death (9 of 33 V/D events and 2 of 12 deaths occurred among the patients who had an EASIX ≦2) ( Figure 1 ). Similar to the prospective cohort, the high-risk EASIX group (>2) of the validation set was enriched for elderly male patients and those with comorbidities ( Supplementary Table 1 ). Again, all three single EASIX parameters were significantly involved ( Supplementary Table 1 ). Within a median observation period of 41 days (IQR 24-56 days), a total of 33 patients had V/D in the validation cohort, including 12 deaths. Similar to the training cohort, EASIX was also significantly associated with V/D in the univariable logistic regression model (OR 6.2 (95%CI 3.0-12.8, p<0.001). Validation of the predictive impact of EASIX on V/D events was achieved by calculating the area under the ROC curve in the validation set with the model of the training cohort. We observed an AUC of 88.8% for the univariable and 87.9% for the multivariable model ( Supplementary Figure 3 ). Uni- and multivariable models confirmed the significant impact of EASIX on time to V/D and survival ( Table 2 ). Lower prediction errors confirmed the predictive effect of EASIX: Integrated Brier score (IBS) (time day+28) for time to V/D: reference 0.175, validation cohort based on the model developed for the training cohort: 0.126. Validation of the uni- and multivariable time-dependent models with the offset of the prospective cohort was performed using again the time-dependent Brier score. Lower prediction errors for prediction of V/D or survival were found both for uni- and multivariable models including EASIX (continuous variable) ( Supplementary Figure 4 ). Accordingly using the same EASIX cut-off as defined in the prospective cohort (≤2), the low-risk group in the validation cohort had a strongly reduced risk of V/D and death (9 of 33 V/D events and 2 of 12 deaths occurred among the patients who had an EASIX ≦2) ( Figure 1 ). Similar to the prospective cohort, the high-risk EASIX group (>2) of the validation set was enriched for elderly male patients and those with comorbidities ( Supplementary Table 1 ). Again, all three single EASIX parameters were significantly involved ( Supplementary Table 1 ). EASIX and Endothelial and Inflammatory Biomarkers Serum was only available for patients of the prospective cohort. Patients with V/D showed significantly higher serum levels of the endothelial markers ANG2, sCD141, ST2, and CXCL8 at admission (3.1-, 1.5-, 4.0- and 4.0-fold, respectively, Table 3 ). Similarly, the inflammatory markers CXCL9, IL18 and IL18BPa were also increased in patients with later severe disease courses (5.3-, 1.2- and 1.5-fold, respectively Table 3 ). EASIX>2 correlated significantly with increased serum levels at admission of both, endothelial and inflammatory markers ( Figure 2 ). Interferon-alpha (IFNα) serum levels above the lower detection threshold (1 pg/ml) were found in only 16 of 86 patients, and no association was observed with EASIX or severe courses of the disease. Similar to EASIX, we found that age correlated with all serum markers except IFNα (n=87, Spearman-rho, p): ANG2 0.355, <0.001; sCD141 0.397, <0.001; ST2 0.397, <0.001; CXCL8 0.347, <0.001; IL-18 0.318, 0.003; IL18BPa 0.260, 0.015, CXCL9 0.453, <0.001; IFNα -0.009, 0.932. In addition, the higher level of endothelial distress in male patients shown by EASIX was mirrored by ANG2, sCD141 and ST2 ( Supplementary Figures 2B–D ). Endothelial and immune markers at hospital admission in the training cohort (total, n=83; no V/D, n=62; V/D, n=21). ANG2, angiopoietin-2; sTM, soluble thrombomodulin; ST2, suppressor of tumorigenicity-2, CXCL8, chemokine-X-C-ligand 8, (interleukin 8); CXCL9, chemokine-X-C-ligand 9, (monokine induced by gamma interferon, MIG); IL18, interleukin 18; IL18BPa, interleukin 18 binding protein A; IFNα, interferon-alpha; IQR, interquartile range (IQR=Q3-Q1); V/D, ventilation and/or death (until day+28 after admission). Endothelial markers and EASIX. Boxplots of serum levels of endothelial markers according to the EASIX cut-off: angiopoietin-2 (ANG2), suppressor of tumorigenicity-2 (ST2), soluble thrombomodulin (sTM), CXCL8 (interleukin-8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18) and IL18 binding protein A (IL18BPa). P-values for Kruskal-Wallis tests, n=87. Spearman-rho correlation coefficients with EASIX as continuous variable (n=87): ANG2 0.355, p < 0.001; sCD141 0.397, p < 0.001; ST2 0.397, p < 0.001; CXCL8 0.347, p < 0.001; IL-18 0.318, p=0.003; IL18BPa 0.260, p=0.015, CXCL9 0.453, p < 0.001. Serum was only available for patients of the prospective cohort. Patients with V/D showed significantly higher serum levels of the endothelial markers ANG2, sCD141, ST2, and CXCL8 at admission (3.1-, 1.5-, 4.0- and 4.0-fold, respectively, Table 3 ). Similarly, the inflammatory markers CXCL9, IL18 and IL18BPa were also increased in patients with later severe disease courses (5.3-, 1.2- and 1.5-fold, respectively Table 3 ). EASIX>2 correlated significantly with increased serum levels at admission of both, endothelial and inflammatory markers ( Figure 2 ). Interferon-alpha (IFNα) serum levels above the lower detection threshold (1 pg/ml) were found in only 16 of 86 patients, and no association was observed with EASIX or severe courses of the disease. Similar to EASIX, we found that age correlated with all serum markers except IFNα (n=87, Spearman-rho, p): ANG2 0.355, <0.001; sCD141 0.397, <0.001; ST2 0.397, <0.001; CXCL8 0.347, <0.001; IL-18 0.318, 0.003; IL18BPa 0.260, 0.015, CXCL9 0.453, <0.001; IFNα -0.009, 0.932. In addition, the higher level of endothelial distress in male patients shown by EASIX was mirrored by ANG2, sCD141 and ST2 ( Supplementary Figures 2B–D ). Endothelial and immune markers at hospital admission in the training cohort (total, n=83; no V/D, n=62; V/D, n=21). ANG2, angiopoietin-2; sTM, soluble thrombomodulin; ST2, suppressor of tumorigenicity-2, CXCL8, chemokine-X-C-ligand 8, (interleukin 8); CXCL9, chemokine-X-C-ligand 9, (monokine induced by gamma interferon, MIG); IL18, interleukin 18; IL18BPa, interleukin 18 binding protein A; IFNα, interferon-alpha; IQR, interquartile range (IQR=Q3-Q1); V/D, ventilation and/or death (until day+28 after admission). Endothelial markers and EASIX. Boxplots of serum levels of endothelial markers according to the EASIX cut-off: angiopoietin-2 (ANG2), suppressor of tumorigenicity-2 (ST2), soluble thrombomodulin (sTM), CXCL8 (interleukin-8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18) and IL18 binding protein A (IL18BPa). P-values for Kruskal-Wallis tests, n=87. Spearman-rho correlation coefficients with EASIX as continuous variable (n=87): ANG2 0.355, p < 0.001; sCD141 0.397, p < 0.001; ST2 0.397, p < 0.001; CXCL8 0.347, p < 0.001; IL-18 0.318, p=0.003; IL18BPa 0.260, p=0.015, CXCL9 0.453, p < 0.001.
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[ "Patients and Methods", "Study Design and Data Collection", "Diagnosis, Supportive Care and Treatment", "Assessment of Cytokine Serum Levels", "Statistics", "Patients", "EASIX and Outcome of COVID-19 Patients in the Prospective Cohort", "EASIX and Outcome of COVID-19 Patients in the Validation Cohort", "EASIX and Endothelial and Inflammatory Biomarkers", "Ethics Statement", "Author Contributions" ]
[ "Study Design and Data Collection Eligible for the prospective non-interventional study conducted at the University of Heidelberg were all patients who were admitted for symptomatic SARS-CoV-2 infection between February 28th and May 2nd, 2020, and had consented to study participation. Primary endpoint was severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D). Symptomatic SARS-CoV-2-positive patients from the Munich Clinic Schwabing (n=88) and Ludwigshafen Hospital (n=38) admitted during the same time period constituted the validation cohort (n=126). Written informed consent according to the Declaration of Helsinki was obtained for all patients and the local Ethics committees had approved data collection and analysis (reference numbers: S-771/2020, S-148/2020, 20-265, and 202-14949, respectively). In all centers, patients were tested for SARS-CoV-2 infection following local guidelines (https://www.muenchen-klinik.de/covid-19-share/#c57673) and in accordance with the latest recommendations of the Robert Koch Institute:\n(https://www.rki.de/DE/Content/Kommissionen/Stakob/Stellungnahmen/Stellungnahme-Covid-19).\nData on lactate dehydrogenase (LDH) levels, serum creatinine levels and thrombocyte counts were raised in certified routine laboratories. For calculation of EASIX, parameters obtained at the time of hospital admission were considered.\nEligible for the prospective non-interventional study conducted at the University of Heidelberg were all patients who were admitted for symptomatic SARS-CoV-2 infection between February 28th and May 2nd, 2020, and had consented to study participation. Primary endpoint was severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D). Symptomatic SARS-CoV-2-positive patients from the Munich Clinic Schwabing (n=88) and Ludwigshafen Hospital (n=38) admitted during the same time period constituted the validation cohort (n=126). Written informed consent according to the Declaration of Helsinki was obtained for all patients and the local Ethics committees had approved data collection and analysis (reference numbers: S-771/2020, S-148/2020, 20-265, and 202-14949, respectively). In all centers, patients were tested for SARS-CoV-2 infection following local guidelines (https://www.muenchen-klinik.de/covid-19-share/#c57673) and in accordance with the latest recommendations of the Robert Koch Institute:\n(https://www.rki.de/DE/Content/Kommissionen/Stakob/Stellungnahmen/Stellungnahme-Covid-19).\nData on lactate dehydrogenase (LDH) levels, serum creatinine levels and thrombocyte counts were raised in certified routine laboratories. For calculation of EASIX, parameters obtained at the time of hospital admission were considered.\nDiagnosis, Supportive Care and Treatment In Heidelberg, RNA was isolated from nasopharyngeal and oropharyngeal swab specimens using QIAGEN Kits (QIAGEN, Hilden, Germany) automated on the QIASymphony (DSP Virus/Pathogen mini Kits) or QIAcube (QIAamp Viral RNA mini Kits) devices and eluted in 115 μl elution buffer. RT-PCR was carried out using various reagent mixes – LightMix Modular SARS and Wuhan CoV E-gene, LightMix Modular SARS and Wuhan CoV N-gene, LightMix Modular Wuhan CoV RdRP-gene and LightMix Modular EAV RNA Extraction Control (as internal Control) from TIB MOLBIOL Syntheselabor GmbH (Berlin, Germany) and LightCycler Multiplex RNA Virus Master (Roche, Germany) – according to manufacturer’s instructions. RT-PCR was performed on LightCycler 480 oder 480 II (Roche, Germany).\nIn Ludwigshafen, the same protocol was used except that extraction was carried out using magnetic Nuclesens easyMag® silica beads of Biomerieux followed by one-step qRT-PCR (SuperScript III Plantinum qRT-PCR Kit of ThermoFisher Scientific for qualitative and quantitative real-time PCR on Roche 480 II instruments. The analytical sensitivity was 100 copies/ml in both procedures. In Munich, laboratory confirmation of SARS-CoV-2 infection was done using the Abbott RealTime SARS-CoV-2 test kit (dual target Assay to detect the RdRp- and N-Gene), Abbott m2000sp extracting the probes and Abbott m2000rt for the RT-PCR. The analytical sensitivity was 100 copies/ml.\nCriteria for initiation of mechanical ventilation were failure to maintain adequate ventilation or oxygenation in spite of high FiO2 delivery. Patients were treated with standard supportive care including antibiotic and antifungal therapy, whereas additional immunomodulatory therapy was inconsistently applied (azithromycin, hydroxychloroquine, tocilicumab, anakinra, prednisolone, maraviroc, remdesivir, Cytosorb™, plasmapheresis). Strategies of extracorporeal life support (extracorporeal CO2 elimination, veno-veno ECMO, veno-arterial ECMO) followed institutional policies. Routine CT scans of all patients were performed at hospital admission in all centers.\nIn Heidelberg, RNA was isolated from nasopharyngeal and oropharyngeal swab specimens using QIAGEN Kits (QIAGEN, Hilden, Germany) automated on the QIASymphony (DSP Virus/Pathogen mini Kits) or QIAcube (QIAamp Viral RNA mini Kits) devices and eluted in 115 μl elution buffer. RT-PCR was carried out using various reagent mixes – LightMix Modular SARS and Wuhan CoV E-gene, LightMix Modular SARS and Wuhan CoV N-gene, LightMix Modular Wuhan CoV RdRP-gene and LightMix Modular EAV RNA Extraction Control (as internal Control) from TIB MOLBIOL Syntheselabor GmbH (Berlin, Germany) and LightCycler Multiplex RNA Virus Master (Roche, Germany) – according to manufacturer’s instructions. RT-PCR was performed on LightCycler 480 oder 480 II (Roche, Germany).\nIn Ludwigshafen, the same protocol was used except that extraction was carried out using magnetic Nuclesens easyMag® silica beads of Biomerieux followed by one-step qRT-PCR (SuperScript III Plantinum qRT-PCR Kit of ThermoFisher Scientific for qualitative and quantitative real-time PCR on Roche 480 II instruments. The analytical sensitivity was 100 copies/ml in both procedures. In Munich, laboratory confirmation of SARS-CoV-2 infection was done using the Abbott RealTime SARS-CoV-2 test kit (dual target Assay to detect the RdRp- and N-Gene), Abbott m2000sp extracting the probes and Abbott m2000rt for the RT-PCR. The analytical sensitivity was 100 copies/ml.\nCriteria for initiation of mechanical ventilation were failure to maintain adequate ventilation or oxygenation in spite of high FiO2 delivery. Patients were treated with standard supportive care including antibiotic and antifungal therapy, whereas additional immunomodulatory therapy was inconsistently applied (azithromycin, hydroxychloroquine, tocilicumab, anakinra, prednisolone, maraviroc, remdesivir, Cytosorb™, plasmapheresis). Strategies of extracorporeal life support (extracorporeal CO2 elimination, veno-veno ECMO, veno-arterial ECMO) followed institutional policies. Routine CT scans of all patients were performed at hospital admission in all centers.\nAssessment of Cytokine Serum Levels Serum samples were collected in gel tubes (S-Monovette® Z-Gel, SARSTEDT AG & Co. KG, Nuembrecht, Germany) at the time SARS-CoV-2 testing and cryopreserved at −80°C. Serum levels of soluble thrombomodulin (sTM, sCD141), suppressor of tumorigenicity 2 (ST2), Angiopoietin-2 (Ang2), chemokine-X-C-ligand 8 (CXCL8, interleukin 8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18), interleukin-18 binding protein A (IL18BPa), and interferon-alpha (IFNα) were assessed by ELISA using commercial kits (DuoSet, R&D Systems, Wiesbaden, Germany) according to the manufacturer’s instructions as reported previously (19, 20).\nSerum samples were collected in gel tubes (S-Monovette® Z-Gel, SARSTEDT AG & Co. KG, Nuembrecht, Germany) at the time SARS-CoV-2 testing and cryopreserved at −80°C. Serum levels of soluble thrombomodulin (sTM, sCD141), suppressor of tumorigenicity 2 (ST2), Angiopoietin-2 (Ang2), chemokine-X-C-ligand 8 (CXCL8, interleukin 8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18), interleukin-18 binding protein A (IL18BPa), and interferon-alpha (IFNα) were assessed by ELISA using commercial kits (DuoSet, R&D Systems, Wiesbaden, Germany) according to the manufacturer’s instructions as reported previously (19, 20).\nStatistics Categorical data of patient characteristics were compared using the Fisher exact test. Continuous variables were compared applying the Kruskal-Wallis test. Endothelial Activation and Stress Index (EASIX) was calculated according to the formula: LDH [U/L] x creatinine [mg/dL]/thrombocytes [10^9 cells per L] (23, 24, 27).\nSurvival was calculated from the date of admission to last follow up or death of any cause. Patients alive were censored at the date of last contact. Patients who were alive without necessary ventilation were censored at the time of the last contact. In addition, time to severe course of disease was analyzed, defined as time without mechanical ventilation and/or death (V/D) until reference day +28. Survival curves were calculated using Kaplan-Meier estimates, the follow-up distribution was estimated using the reverse Kaplan-Meier method.\nThe primary endpoint, severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D) until reference day +28 was analyzed using uni- and multivariable logistic regression models. For uni- and multivariable analysis of time to V/D and survival, Cox regression models were used. Confounders known to be associated with COVID-19 mortality (5, 6, 35) (age, gender, comorbidity) were used as covariates in the multivariable models. Predictive accuracy of EASIX was evaluated by the Brier score and the AUC, the area under the receiver operating characteristic (ROC) curve for severity of disease (36). For time-to-event analysis time-dependent versions of the Brier score and the AUC were used to measure the predictive performance of EASIX (37, 38). For illustration purposes, an optimal EASIX cut point with respect to the different endpoints was determined by generalized maximally selected statistics using Monte Carlo resampling (39). The calculated cut point >2 (2.03) could be used to define high-risk groups.\nCalculations were done using IBM® SPSS® Statistics, Version 24.0.0 and R, version 3.6.3 together with R packages coin, version 1.3-1, ModelGood, version 1.0.9, pec, version 2019.11.03, and riskRegression, version 2020.02.05. All statistical tests were two-sided at a significance level of 5%. Odds ratios (OR) and hazard ratios (HR) were estimated with 95% confidence interval (95% CI).\nCategorical data of patient characteristics were compared using the Fisher exact test. Continuous variables were compared applying the Kruskal-Wallis test. Endothelial Activation and Stress Index (EASIX) was calculated according to the formula: LDH [U/L] x creatinine [mg/dL]/thrombocytes [10^9 cells per L] (23, 24, 27).\nSurvival was calculated from the date of admission to last follow up or death of any cause. Patients alive were censored at the date of last contact. Patients who were alive without necessary ventilation were censored at the time of the last contact. In addition, time to severe course of disease was analyzed, defined as time without mechanical ventilation and/or death (V/D) until reference day +28. Survival curves were calculated using Kaplan-Meier estimates, the follow-up distribution was estimated using the reverse Kaplan-Meier method.\nThe primary endpoint, severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D) until reference day +28 was analyzed using uni- and multivariable logistic regression models. For uni- and multivariable analysis of time to V/D and survival, Cox regression models were used. Confounders known to be associated with COVID-19 mortality (5, 6, 35) (age, gender, comorbidity) were used as covariates in the multivariable models. Predictive accuracy of EASIX was evaluated by the Brier score and the AUC, the area under the receiver operating characteristic (ROC) curve for severity of disease (36). For time-to-event analysis time-dependent versions of the Brier score and the AUC were used to measure the predictive performance of EASIX (37, 38). For illustration purposes, an optimal EASIX cut point with respect to the different endpoints was determined by generalized maximally selected statistics using Monte Carlo resampling (39). The calculated cut point >2 (2.03) could be used to define high-risk groups.\nCalculations were done using IBM® SPSS® Statistics, Version 24.0.0 and R, version 3.6.3 together with R packages coin, version 1.3-1, ModelGood, version 1.0.9, pec, version 2019.11.03, and riskRegression, version 2020.02.05. All statistical tests were two-sided at a significance level of 5%. Odds ratios (OR) and hazard ratios (HR) were estimated with 95% confidence interval (95% CI).", "Eligible for the prospective non-interventional study conducted at the University of Heidelberg were all patients who were admitted for symptomatic SARS-CoV-2 infection between February 28th and May 2nd, 2020, and had consented to study participation. Primary endpoint was severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D). Symptomatic SARS-CoV-2-positive patients from the Munich Clinic Schwabing (n=88) and Ludwigshafen Hospital (n=38) admitted during the same time period constituted the validation cohort (n=126). Written informed consent according to the Declaration of Helsinki was obtained for all patients and the local Ethics committees had approved data collection and analysis (reference numbers: S-771/2020, S-148/2020, 20-265, and 202-14949, respectively). In all centers, patients were tested for SARS-CoV-2 infection following local guidelines (https://www.muenchen-klinik.de/covid-19-share/#c57673) and in accordance with the latest recommendations of the Robert Koch Institute:\n(https://www.rki.de/DE/Content/Kommissionen/Stakob/Stellungnahmen/Stellungnahme-Covid-19).\nData on lactate dehydrogenase (LDH) levels, serum creatinine levels and thrombocyte counts were raised in certified routine laboratories. For calculation of EASIX, parameters obtained at the time of hospital admission were considered.", "In Heidelberg, RNA was isolated from nasopharyngeal and oropharyngeal swab specimens using QIAGEN Kits (QIAGEN, Hilden, Germany) automated on the QIASymphony (DSP Virus/Pathogen mini Kits) or QIAcube (QIAamp Viral RNA mini Kits) devices and eluted in 115 μl elution buffer. RT-PCR was carried out using various reagent mixes – LightMix Modular SARS and Wuhan CoV E-gene, LightMix Modular SARS and Wuhan CoV N-gene, LightMix Modular Wuhan CoV RdRP-gene and LightMix Modular EAV RNA Extraction Control (as internal Control) from TIB MOLBIOL Syntheselabor GmbH (Berlin, Germany) and LightCycler Multiplex RNA Virus Master (Roche, Germany) – according to manufacturer’s instructions. RT-PCR was performed on LightCycler 480 oder 480 II (Roche, Germany).\nIn Ludwigshafen, the same protocol was used except that extraction was carried out using magnetic Nuclesens easyMag® silica beads of Biomerieux followed by one-step qRT-PCR (SuperScript III Plantinum qRT-PCR Kit of ThermoFisher Scientific for qualitative and quantitative real-time PCR on Roche 480 II instruments. The analytical sensitivity was 100 copies/ml in both procedures. In Munich, laboratory confirmation of SARS-CoV-2 infection was done using the Abbott RealTime SARS-CoV-2 test kit (dual target Assay to detect the RdRp- and N-Gene), Abbott m2000sp extracting the probes and Abbott m2000rt for the RT-PCR. The analytical sensitivity was 100 copies/ml.\nCriteria for initiation of mechanical ventilation were failure to maintain adequate ventilation or oxygenation in spite of high FiO2 delivery. Patients were treated with standard supportive care including antibiotic and antifungal therapy, whereas additional immunomodulatory therapy was inconsistently applied (azithromycin, hydroxychloroquine, tocilicumab, anakinra, prednisolone, maraviroc, remdesivir, Cytosorb™, plasmapheresis). Strategies of extracorporeal life support (extracorporeal CO2 elimination, veno-veno ECMO, veno-arterial ECMO) followed institutional policies. Routine CT scans of all patients were performed at hospital admission in all centers.", "Serum samples were collected in gel tubes (S-Monovette® Z-Gel, SARSTEDT AG & Co. KG, Nuembrecht, Germany) at the time SARS-CoV-2 testing and cryopreserved at −80°C. Serum levels of soluble thrombomodulin (sTM, sCD141), suppressor of tumorigenicity 2 (ST2), Angiopoietin-2 (Ang2), chemokine-X-C-ligand 8 (CXCL8, interleukin 8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18), interleukin-18 binding protein A (IL18BPa), and interferon-alpha (IFNα) were assessed by ELISA using commercial kits (DuoSet, R&D Systems, Wiesbaden, Germany) according to the manufacturer’s instructions as reported previously (19, 20).", "Categorical data of patient characteristics were compared using the Fisher exact test. Continuous variables were compared applying the Kruskal-Wallis test. Endothelial Activation and Stress Index (EASIX) was calculated according to the formula: LDH [U/L] x creatinine [mg/dL]/thrombocytes [10^9 cells per L] (23, 24, 27).\nSurvival was calculated from the date of admission to last follow up or death of any cause. Patients alive were censored at the date of last contact. Patients who were alive without necessary ventilation were censored at the time of the last contact. In addition, time to severe course of disease was analyzed, defined as time without mechanical ventilation and/or death (V/D) until reference day +28. Survival curves were calculated using Kaplan-Meier estimates, the follow-up distribution was estimated using the reverse Kaplan-Meier method.\nThe primary endpoint, severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D) until reference day +28 was analyzed using uni- and multivariable logistic regression models. For uni- and multivariable analysis of time to V/D and survival, Cox regression models were used. Confounders known to be associated with COVID-19 mortality (5, 6, 35) (age, gender, comorbidity) were used as covariates in the multivariable models. Predictive accuracy of EASIX was evaluated by the Brier score and the AUC, the area under the receiver operating characteristic (ROC) curve for severity of disease (36). For time-to-event analysis time-dependent versions of the Brier score and the AUC were used to measure the predictive performance of EASIX (37, 38). For illustration purposes, an optimal EASIX cut point with respect to the different endpoints was determined by generalized maximally selected statistics using Monte Carlo resampling (39). The calculated cut point >2 (2.03) could be used to define high-risk groups.\nCalculations were done using IBM® SPSS® Statistics, Version 24.0.0 and R, version 3.6.3 together with R packages coin, version 1.3-1, ModelGood, version 1.0.9, pec, version 2019.11.03, and riskRegression, version 2020.02.05. All statistical tests were two-sided at a significance level of 5%. Odds ratios (OR) and hazard ratios (HR) were estimated with 95% confidence interval (95% CI).", "Between February 2020 and September 2020, 100 consecutive patients were enrolled onto the prospective registry study at the University of Heidelberg, whereas the validation cohort comprised 126 patients (Munich, n=88; Ludwigshafen, n=38). Patient characteristics are summarized in \nTable 1\n. The two cohorts were comparable in terms of gender and comorbidities, but patients from the prospective cohort were significantly older. Moreover, there were significant differences for the single EASIX parameters (higher LDH and platelets in the training cohort, higher creatinine in the validation cohort, resulting in a balanced EASIX ratio). Age positively correlated with both EASIX and LDH (Spearman-rho 0.316, p<0.001 for EASIX and 0.352, p<0.001 for LDH), whereas no correlation with age was found for creatinine and platelets. This association with age was similar in male and female patients.\nPatient characteristics.\nCVD, cardiovascular disease; LDH, lactate dehydrogenase; EASIX, endothelial activation and stress index.", "Within a median observation period of 61 days (95%CI 59-64 days), a total of 23 patients had V/D, including 13 deaths. EASIX showed a significant effect on V/D events within the observation period of 28 days in univariable (OR 3.4, 95%CI 1.8-6.3, p<0.001) and multivariable (OR 3.4, 95%CI 1.8-6.7, p<0.001) logistic regression analysis (\nTable 2\n).\nUni- and multivariable analyses for endpoint severe course of the disease and survival in the training and validation cohort.\n*logistic regression analysis; **Cox regression analysis.\nV/D, ventilation and/or death; EASIX, endothelial activation and stress index; HR, hazard ratio; CI, confidentiality interval.\nEASIX at admission was also a strong predictor of time to V/D (HR for a two-fold change 2.0, 95%CI 1.5-2.6, p<0.001) as well as survival (HR for a two-fold change 1.7, 95%CI 1.2-2.5, p=0.006). This strong effect was retained in multivariable analysis adjusting for age, gender, and comorbidities, although the reliability of this analysis is limited due to the small numbers of events (\nTable 2\n). An EASIX cut-off optimized by maximal selected log rank statistics was identified for both endpoints (V/D and death) to be at >2.0 (\nSupplementary Figure 1\n). Of note, only 3 of 21 V/D events and 1 of 13 deaths occurred among the patients who had an EASIX ≦2 (\nFigure 1\n). Patient characteristics according to EASIX are shown in \nSupplementary Table 1\n. Patients with EASIX>2 were older, predominantly male and more often had comorbidities. The expected differences (high LDH, high creatinine, low platelets for EASIX>2) were significant in all three single EASIX parameters (\nSupplementary Table 1\n).\nOutcome of COVID-19 patients according to EASIX. Outcome of COVID-19 patients according to EASIX (cut-off 2) in the training cohort (left panels) and the validation cohort (right panels). (A) Cumulative incidence of severe courses of disease (mechanical ventilation and/or death, V/D). (B) Kaplan-Meier plots of overall survival.\nWe observed significantly higher EASIX values ad admission to hospital in male as compared to female patients. Nevertheless, patients with V/D events had significantly higher EASIX values in both gender subgroups (\nSupplementary Figure 2A\n). EASIX-log2 and EASIX>2 significantly predicted V/D events in both, male and female patients.", "Within a median observation period of 41 days (IQR 24-56 days), a total of 33 patients had V/D in the validation cohort, including 12 deaths. Similar to the training cohort, EASIX was also significantly associated with V/D in the univariable logistic regression model (OR 6.2 (95%CI 3.0-12.8, p<0.001). Validation of the predictive impact of EASIX on V/D events was achieved by calculating the area under the ROC curve in the validation set with the model of the training cohort. We observed an AUC of 88.8% for the univariable and 87.9% for the multivariable model (\nSupplementary Figure 3\n).\nUni- and multivariable models confirmed the significant impact of EASIX on time to V/D and survival (\nTable 2\n). Lower prediction errors confirmed the predictive effect of EASIX: Integrated Brier score (IBS) (time day+28) for time to V/D: reference 0.175, validation cohort based on the model developed for the training cohort: 0.126.\nValidation of the uni- and multivariable time-dependent models with the offset of the prospective cohort was performed using again the time-dependent Brier score. Lower prediction errors for prediction of V/D or survival were found both for uni- and multivariable models including EASIX (continuous variable) (\nSupplementary Figure 4\n).\nAccordingly using the same EASIX cut-off as defined in the prospective cohort (≤2), the low-risk group in the validation cohort had a strongly reduced risk of V/D and death (9 of 33 V/D events and 2 of 12 deaths occurred among the patients who had an EASIX ≦2) (\nFigure 1\n). Similar to the prospective cohort, the high-risk EASIX group (>2) of the validation set was enriched for elderly male patients and those with comorbidities (\nSupplementary Table 1\n). Again, all three single EASIX parameters were significantly involved (\nSupplementary Table 1\n).", "Serum was only available for patients of the prospective cohort. Patients with V/D showed significantly higher serum levels of the endothelial markers ANG2, sCD141, ST2, and CXCL8 at admission (3.1-, 1.5-, 4.0- and 4.0-fold, respectively, \nTable 3\n). Similarly, the inflammatory markers CXCL9, IL18 and IL18BPa were also increased in patients with later severe disease courses (5.3-, 1.2- and 1.5-fold, respectively \nTable 3\n). EASIX>2 correlated significantly with increased serum levels at admission of both, endothelial and inflammatory markers (\nFigure 2\n). Interferon-alpha (IFNα) serum levels above the lower detection threshold (1 pg/ml) were found in only 16 of 86 patients, and no association was observed with EASIX or severe courses of the disease. Similar to EASIX, we found that age correlated with all serum markers except IFNα (n=87, Spearman-rho, p): ANG2 0.355, <0.001; sCD141 0.397, <0.001; ST2 0.397, <0.001; CXCL8 0.347, <0.001; IL-18 0.318, 0.003; IL18BPa 0.260, 0.015, CXCL9 0.453, <0.001; IFNα -0.009, 0.932. In addition, the higher level of endothelial distress in male patients shown by EASIX was mirrored by ANG2, sCD141 and ST2 (\nSupplementary Figures 2B–D\n).\nEndothelial and immune markers at hospital admission in the training cohort (total, n=83; no V/D, n=62; V/D, n=21).\nANG2, angiopoietin-2; sTM, soluble thrombomodulin; ST2, suppressor of tumorigenicity-2, CXCL8, chemokine-X-C-ligand 8, (interleukin 8); CXCL9, chemokine-X-C-ligand 9, (monokine induced by gamma interferon, MIG); IL18, interleukin 18; IL18BPa, interleukin 18 binding protein A; IFNα, interferon-alpha; IQR, interquartile range (IQR=Q3-Q1); V/D, ventilation and/or death (until day+28 after admission).\nEndothelial markers and EASIX. Boxplots of serum levels of endothelial markers according to the EASIX cut-off: angiopoietin-2 (ANG2), suppressor of tumorigenicity-2 (ST2), soluble thrombomodulin (sTM), CXCL8 (interleukin-8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18) and IL18 binding protein A (IL18BPa). P-values for Kruskal-Wallis tests, n=87. Spearman-rho correlation coefficients with EASIX as continuous variable (n=87): ANG2 0.355, p < 0.001; sCD141 0.397, p < 0.001; ST2 0.397, p < 0.001; CXCL8 0.347, p < 0.001; IL-18 0.318, p=0.003; IL18BPa 0.260, p=0.015, CXCL9 0.453, p < 0.001.", "The studies involving human participants were reviewed and approved by University Hospital Heidelberg Ethics Committee. The patients/participants provided their written informed consent to participate in this study.", "All authors listed have made a substantial, direct, and intellectual contribution to the work and approved it for publication." ]
[ null, null, null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Patients and Methods", "Study Design and Data Collection", "Diagnosis, Supportive Care and Treatment", "Assessment of Cytokine Serum Levels", "Statistics", "Results", "Patients", "EASIX and Outcome of COVID-19 Patients in the Prospective Cohort", "EASIX and Outcome of COVID-19 Patients in the Validation Cohort", "EASIX and Endothelial and Inflammatory Biomarkers", "Discussion", "Data Availability Statement", "Ethics Statement", "Author Contributions", "Conflict of Interest" ]
[ "Since the first cases of SARS-CoV-2 infection reported in Hubei, China, in December 2019, the virus has spread worldwide causing a still unrestrained pandemic with millions of infections and hundreds of thousands of virus-associated deaths (https://coronavirus.jhu.edu/data/new-cases). In most cases, the disease caused by SARS-CoV-2 (COVID-19) follows a mild or moderate cause with symptoms of upper airway infections, fever, fatigue, anosmia, hypogeusia, and diarrhea (1, 2). Yet, severe courses resulting in acute respiratory distress syndrome (ARDS), sepsis, hypercoagulation, myocardial injury and multi-organ failure are not uncommon and frequently require aggressive management on an intensive care unit (3). Elderly male patients with pre-existing cardio-vascular conditions have highest risk of severe morbidity and fatal outcome (4–6), however, there is an eminent heterogeneity of clinical courses, and even children may suffer from severe complications (7, 8). Given the considerable variability of clinical courses and the huge challenge of the COVID-19 pandemic to clinical resources, a reliable and readily available biomarker for early prediction of severity of COVID-19 is urgently needed in order to assign hospital resources most efficiently.\nA key role for endothelial cells in the pathophysiology of ARDS, multi-organ failure and mortality associated with COVID-19 has been postulated (9–12). There is good morphological evidence for endothelial cell infection and endotheliitis in COVID-19 disease (11, 13), mediated by viral binding to the receptor for angiotensin converting enzyme 2 (ACE2) (14). These observations are in line with clinical and serological findings suggesting that endothelial activation and damage may play a central role in the pathogenesis of COVID-19-associated complications (6, 15). Specifically, there is evidence that in COVID 19, endothelial inflammatory cytokines including Angiopoietin-2 and CXCL8 enhance vascular leakage and recruit activated neutrophils, respectively (16), and that dysfunctional interaction with platelets activates coagulation and complement pathways (12). In fact, the clinical presentation of severe COVID-19 is generally consistent with the presence of microangiopathy (elevated LDH and d-dimers, complement activation, decreased platelets and renal impairment) which may predispose patients to thrombotic disease and micro-infarcts promoting multi-organ failure (9, 17, 18).\nBeyond this background, we have tested if the EASIX (Endothelial Activation and Stress Index) might help to predict the clinical course of COVID-19. We developed EASIX as a simple score based on readily available routine parameters (LDH, creatinine, platelet count) in order to predict endothelial complications after allogeneic stem cell transplantation. We initially wanted to understand why patients died from immune mediated complications, such as graft-versus-host disease (GVHD), despite a large variety of readily available immunosuppressant drugs. We found that a progressive endothelial damage, i.e. transplant-associated microangiopathy (TAM), was present in most lethal courses of acute GVHD (19, 20). TAM is characterized by high LDH, high creatinine and low platelet counts, amongst others (21). We wondered if high LDH and creatinine together with low platelets (that is high EASIX) could predict these endothelial complications earlier than the accepted diagnostic criteria. Indeed, EASIX measured at onset of acute GVHD, on the day of transplantation, and even before starting the conditioning therapy for allogeneic stem cell transplantation predicted risk of mortality, as well as endothelial complications such as sinusoidal obstruction syndrome/veno-occlusive disease (SOS/VOD) and early fluid overload (22–26). EASIX also associated with mortality of lower and intermediate risk patients with myelodysplastic syndromes (27), and with mortality of multiple myeloma patients (28). EASIX is therefore a validated marker of endothelial risk both in immune mediated and malignant diseases.\nCytokines associating with EASIX and outcome of post-transplant complications include ANG2, sCD141, ST2 (19, 20, 29), CXCL9 (30) and IL18 (31, 32). Interferon-alpha represents an early but transient immune response to viral infections that appeared deficient in COVID-19 patients (33). ANG2 and other endothelial serum markers were already shown to predict severe clinical courses of COVID-19 (16, 34).\nThe endothelial association of COVID-19 associated complications led us to investigate EASIX together with endothelial and immune markers in COVID-19 patients admitted to the hospital. For this purpose, we performed a prospective non-interventional study and validated it retrospectively on independent datasets. The results suggest that EASIX appears to be valuable for segregating patients in need for intensive surveillance from those with an uneventful clinical course. In addition, we provide further evidence for endothelial involvement in COVID-19 pathogenesis delineating cytokine profiles associated with courses of different severity.", "Study Design and Data Collection Eligible for the prospective non-interventional study conducted at the University of Heidelberg were all patients who were admitted for symptomatic SARS-CoV-2 infection between February 28th and May 2nd, 2020, and had consented to study participation. Primary endpoint was severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D). Symptomatic SARS-CoV-2-positive patients from the Munich Clinic Schwabing (n=88) and Ludwigshafen Hospital (n=38) admitted during the same time period constituted the validation cohort (n=126). Written informed consent according to the Declaration of Helsinki was obtained for all patients and the local Ethics committees had approved data collection and analysis (reference numbers: S-771/2020, S-148/2020, 20-265, and 202-14949, respectively). In all centers, patients were tested for SARS-CoV-2 infection following local guidelines (https://www.muenchen-klinik.de/covid-19-share/#c57673) and in accordance with the latest recommendations of the Robert Koch Institute:\n(https://www.rki.de/DE/Content/Kommissionen/Stakob/Stellungnahmen/Stellungnahme-Covid-19).\nData on lactate dehydrogenase (LDH) levels, serum creatinine levels and thrombocyte counts were raised in certified routine laboratories. For calculation of EASIX, parameters obtained at the time of hospital admission were considered.\nEligible for the prospective non-interventional study conducted at the University of Heidelberg were all patients who were admitted for symptomatic SARS-CoV-2 infection between February 28th and May 2nd, 2020, and had consented to study participation. Primary endpoint was severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D). Symptomatic SARS-CoV-2-positive patients from the Munich Clinic Schwabing (n=88) and Ludwigshafen Hospital (n=38) admitted during the same time period constituted the validation cohort (n=126). Written informed consent according to the Declaration of Helsinki was obtained for all patients and the local Ethics committees had approved data collection and analysis (reference numbers: S-771/2020, S-148/2020, 20-265, and 202-14949, respectively). In all centers, patients were tested for SARS-CoV-2 infection following local guidelines (https://www.muenchen-klinik.de/covid-19-share/#c57673) and in accordance with the latest recommendations of the Robert Koch Institute:\n(https://www.rki.de/DE/Content/Kommissionen/Stakob/Stellungnahmen/Stellungnahme-Covid-19).\nData on lactate dehydrogenase (LDH) levels, serum creatinine levels and thrombocyte counts were raised in certified routine laboratories. For calculation of EASIX, parameters obtained at the time of hospital admission were considered.\nDiagnosis, Supportive Care and Treatment In Heidelberg, RNA was isolated from nasopharyngeal and oropharyngeal swab specimens using QIAGEN Kits (QIAGEN, Hilden, Germany) automated on the QIASymphony (DSP Virus/Pathogen mini Kits) or QIAcube (QIAamp Viral RNA mini Kits) devices and eluted in 115 μl elution buffer. RT-PCR was carried out using various reagent mixes – LightMix Modular SARS and Wuhan CoV E-gene, LightMix Modular SARS and Wuhan CoV N-gene, LightMix Modular Wuhan CoV RdRP-gene and LightMix Modular EAV RNA Extraction Control (as internal Control) from TIB MOLBIOL Syntheselabor GmbH (Berlin, Germany) and LightCycler Multiplex RNA Virus Master (Roche, Germany) – according to manufacturer’s instructions. RT-PCR was performed on LightCycler 480 oder 480 II (Roche, Germany).\nIn Ludwigshafen, the same protocol was used except that extraction was carried out using magnetic Nuclesens easyMag® silica beads of Biomerieux followed by one-step qRT-PCR (SuperScript III Plantinum qRT-PCR Kit of ThermoFisher Scientific for qualitative and quantitative real-time PCR on Roche 480 II instruments. The analytical sensitivity was 100 copies/ml in both procedures. In Munich, laboratory confirmation of SARS-CoV-2 infection was done using the Abbott RealTime SARS-CoV-2 test kit (dual target Assay to detect the RdRp- and N-Gene), Abbott m2000sp extracting the probes and Abbott m2000rt for the RT-PCR. The analytical sensitivity was 100 copies/ml.\nCriteria for initiation of mechanical ventilation were failure to maintain adequate ventilation or oxygenation in spite of high FiO2 delivery. Patients were treated with standard supportive care including antibiotic and antifungal therapy, whereas additional immunomodulatory therapy was inconsistently applied (azithromycin, hydroxychloroquine, tocilicumab, anakinra, prednisolone, maraviroc, remdesivir, Cytosorb™, plasmapheresis). Strategies of extracorporeal life support (extracorporeal CO2 elimination, veno-veno ECMO, veno-arterial ECMO) followed institutional policies. Routine CT scans of all patients were performed at hospital admission in all centers.\nIn Heidelberg, RNA was isolated from nasopharyngeal and oropharyngeal swab specimens using QIAGEN Kits (QIAGEN, Hilden, Germany) automated on the QIASymphony (DSP Virus/Pathogen mini Kits) or QIAcube (QIAamp Viral RNA mini Kits) devices and eluted in 115 μl elution buffer. RT-PCR was carried out using various reagent mixes – LightMix Modular SARS and Wuhan CoV E-gene, LightMix Modular SARS and Wuhan CoV N-gene, LightMix Modular Wuhan CoV RdRP-gene and LightMix Modular EAV RNA Extraction Control (as internal Control) from TIB MOLBIOL Syntheselabor GmbH (Berlin, Germany) and LightCycler Multiplex RNA Virus Master (Roche, Germany) – according to manufacturer’s instructions. RT-PCR was performed on LightCycler 480 oder 480 II (Roche, Germany).\nIn Ludwigshafen, the same protocol was used except that extraction was carried out using magnetic Nuclesens easyMag® silica beads of Biomerieux followed by one-step qRT-PCR (SuperScript III Plantinum qRT-PCR Kit of ThermoFisher Scientific for qualitative and quantitative real-time PCR on Roche 480 II instruments. The analytical sensitivity was 100 copies/ml in both procedures. In Munich, laboratory confirmation of SARS-CoV-2 infection was done using the Abbott RealTime SARS-CoV-2 test kit (dual target Assay to detect the RdRp- and N-Gene), Abbott m2000sp extracting the probes and Abbott m2000rt for the RT-PCR. The analytical sensitivity was 100 copies/ml.\nCriteria for initiation of mechanical ventilation were failure to maintain adequate ventilation or oxygenation in spite of high FiO2 delivery. Patients were treated with standard supportive care including antibiotic and antifungal therapy, whereas additional immunomodulatory therapy was inconsistently applied (azithromycin, hydroxychloroquine, tocilicumab, anakinra, prednisolone, maraviroc, remdesivir, Cytosorb™, plasmapheresis). Strategies of extracorporeal life support (extracorporeal CO2 elimination, veno-veno ECMO, veno-arterial ECMO) followed institutional policies. Routine CT scans of all patients were performed at hospital admission in all centers.\nAssessment of Cytokine Serum Levels Serum samples were collected in gel tubes (S-Monovette® Z-Gel, SARSTEDT AG & Co. KG, Nuembrecht, Germany) at the time SARS-CoV-2 testing and cryopreserved at −80°C. Serum levels of soluble thrombomodulin (sTM, sCD141), suppressor of tumorigenicity 2 (ST2), Angiopoietin-2 (Ang2), chemokine-X-C-ligand 8 (CXCL8, interleukin 8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18), interleukin-18 binding protein A (IL18BPa), and interferon-alpha (IFNα) were assessed by ELISA using commercial kits (DuoSet, R&D Systems, Wiesbaden, Germany) according to the manufacturer’s instructions as reported previously (19, 20).\nSerum samples were collected in gel tubes (S-Monovette® Z-Gel, SARSTEDT AG & Co. KG, Nuembrecht, Germany) at the time SARS-CoV-2 testing and cryopreserved at −80°C. Serum levels of soluble thrombomodulin (sTM, sCD141), suppressor of tumorigenicity 2 (ST2), Angiopoietin-2 (Ang2), chemokine-X-C-ligand 8 (CXCL8, interleukin 8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18), interleukin-18 binding protein A (IL18BPa), and interferon-alpha (IFNα) were assessed by ELISA using commercial kits (DuoSet, R&D Systems, Wiesbaden, Germany) according to the manufacturer’s instructions as reported previously (19, 20).\nStatistics Categorical data of patient characteristics were compared using the Fisher exact test. Continuous variables were compared applying the Kruskal-Wallis test. Endothelial Activation and Stress Index (EASIX) was calculated according to the formula: LDH [U/L] x creatinine [mg/dL]/thrombocytes [10^9 cells per L] (23, 24, 27).\nSurvival was calculated from the date of admission to last follow up or death of any cause. Patients alive were censored at the date of last contact. Patients who were alive without necessary ventilation were censored at the time of the last contact. In addition, time to severe course of disease was analyzed, defined as time without mechanical ventilation and/or death (V/D) until reference day +28. Survival curves were calculated using Kaplan-Meier estimates, the follow-up distribution was estimated using the reverse Kaplan-Meier method.\nThe primary endpoint, severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D) until reference day +28 was analyzed using uni- and multivariable logistic regression models. For uni- and multivariable analysis of time to V/D and survival, Cox regression models were used. Confounders known to be associated with COVID-19 mortality (5, 6, 35) (age, gender, comorbidity) were used as covariates in the multivariable models. Predictive accuracy of EASIX was evaluated by the Brier score and the AUC, the area under the receiver operating characteristic (ROC) curve for severity of disease (36). For time-to-event analysis time-dependent versions of the Brier score and the AUC were used to measure the predictive performance of EASIX (37, 38). For illustration purposes, an optimal EASIX cut point with respect to the different endpoints was determined by generalized maximally selected statistics using Monte Carlo resampling (39). The calculated cut point >2 (2.03) could be used to define high-risk groups.\nCalculations were done using IBM® SPSS® Statistics, Version 24.0.0 and R, version 3.6.3 together with R packages coin, version 1.3-1, ModelGood, version 1.0.9, pec, version 2019.11.03, and riskRegression, version 2020.02.05. All statistical tests were two-sided at a significance level of 5%. Odds ratios (OR) and hazard ratios (HR) were estimated with 95% confidence interval (95% CI).\nCategorical data of patient characteristics were compared using the Fisher exact test. Continuous variables were compared applying the Kruskal-Wallis test. Endothelial Activation and Stress Index (EASIX) was calculated according to the formula: LDH [U/L] x creatinine [mg/dL]/thrombocytes [10^9 cells per L] (23, 24, 27).\nSurvival was calculated from the date of admission to last follow up or death of any cause. Patients alive were censored at the date of last contact. Patients who were alive without necessary ventilation were censored at the time of the last contact. In addition, time to severe course of disease was analyzed, defined as time without mechanical ventilation and/or death (V/D) until reference day +28. Survival curves were calculated using Kaplan-Meier estimates, the follow-up distribution was estimated using the reverse Kaplan-Meier method.\nThe primary endpoint, severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D) until reference day +28 was analyzed using uni- and multivariable logistic regression models. For uni- and multivariable analysis of time to V/D and survival, Cox regression models were used. Confounders known to be associated with COVID-19 mortality (5, 6, 35) (age, gender, comorbidity) were used as covariates in the multivariable models. Predictive accuracy of EASIX was evaluated by the Brier score and the AUC, the area under the receiver operating characteristic (ROC) curve for severity of disease (36). For time-to-event analysis time-dependent versions of the Brier score and the AUC were used to measure the predictive performance of EASIX (37, 38). For illustration purposes, an optimal EASIX cut point with respect to the different endpoints was determined by generalized maximally selected statistics using Monte Carlo resampling (39). The calculated cut point >2 (2.03) could be used to define high-risk groups.\nCalculations were done using IBM® SPSS® Statistics, Version 24.0.0 and R, version 3.6.3 together with R packages coin, version 1.3-1, ModelGood, version 1.0.9, pec, version 2019.11.03, and riskRegression, version 2020.02.05. All statistical tests were two-sided at a significance level of 5%. Odds ratios (OR) and hazard ratios (HR) were estimated with 95% confidence interval (95% CI).", "Eligible for the prospective non-interventional study conducted at the University of Heidelberg were all patients who were admitted for symptomatic SARS-CoV-2 infection between February 28th and May 2nd, 2020, and had consented to study participation. Primary endpoint was severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D). Symptomatic SARS-CoV-2-positive patients from the Munich Clinic Schwabing (n=88) and Ludwigshafen Hospital (n=38) admitted during the same time period constituted the validation cohort (n=126). Written informed consent according to the Declaration of Helsinki was obtained for all patients and the local Ethics committees had approved data collection and analysis (reference numbers: S-771/2020, S-148/2020, 20-265, and 202-14949, respectively). In all centers, patients were tested for SARS-CoV-2 infection following local guidelines (https://www.muenchen-klinik.de/covid-19-share/#c57673) and in accordance with the latest recommendations of the Robert Koch Institute:\n(https://www.rki.de/DE/Content/Kommissionen/Stakob/Stellungnahmen/Stellungnahme-Covid-19).\nData on lactate dehydrogenase (LDH) levels, serum creatinine levels and thrombocyte counts were raised in certified routine laboratories. For calculation of EASIX, parameters obtained at the time of hospital admission were considered.", "In Heidelberg, RNA was isolated from nasopharyngeal and oropharyngeal swab specimens using QIAGEN Kits (QIAGEN, Hilden, Germany) automated on the QIASymphony (DSP Virus/Pathogen mini Kits) or QIAcube (QIAamp Viral RNA mini Kits) devices and eluted in 115 μl elution buffer. RT-PCR was carried out using various reagent mixes – LightMix Modular SARS and Wuhan CoV E-gene, LightMix Modular SARS and Wuhan CoV N-gene, LightMix Modular Wuhan CoV RdRP-gene and LightMix Modular EAV RNA Extraction Control (as internal Control) from TIB MOLBIOL Syntheselabor GmbH (Berlin, Germany) and LightCycler Multiplex RNA Virus Master (Roche, Germany) – according to manufacturer’s instructions. RT-PCR was performed on LightCycler 480 oder 480 II (Roche, Germany).\nIn Ludwigshafen, the same protocol was used except that extraction was carried out using magnetic Nuclesens easyMag® silica beads of Biomerieux followed by one-step qRT-PCR (SuperScript III Plantinum qRT-PCR Kit of ThermoFisher Scientific for qualitative and quantitative real-time PCR on Roche 480 II instruments. The analytical sensitivity was 100 copies/ml in both procedures. In Munich, laboratory confirmation of SARS-CoV-2 infection was done using the Abbott RealTime SARS-CoV-2 test kit (dual target Assay to detect the RdRp- and N-Gene), Abbott m2000sp extracting the probes and Abbott m2000rt for the RT-PCR. The analytical sensitivity was 100 copies/ml.\nCriteria for initiation of mechanical ventilation were failure to maintain adequate ventilation or oxygenation in spite of high FiO2 delivery. Patients were treated with standard supportive care including antibiotic and antifungal therapy, whereas additional immunomodulatory therapy was inconsistently applied (azithromycin, hydroxychloroquine, tocilicumab, anakinra, prednisolone, maraviroc, remdesivir, Cytosorb™, plasmapheresis). Strategies of extracorporeal life support (extracorporeal CO2 elimination, veno-veno ECMO, veno-arterial ECMO) followed institutional policies. Routine CT scans of all patients were performed at hospital admission in all centers.", "Serum samples were collected in gel tubes (S-Monovette® Z-Gel, SARSTEDT AG & Co. KG, Nuembrecht, Germany) at the time SARS-CoV-2 testing and cryopreserved at −80°C. Serum levels of soluble thrombomodulin (sTM, sCD141), suppressor of tumorigenicity 2 (ST2), Angiopoietin-2 (Ang2), chemokine-X-C-ligand 8 (CXCL8, interleukin 8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18), interleukin-18 binding protein A (IL18BPa), and interferon-alpha (IFNα) were assessed by ELISA using commercial kits (DuoSet, R&D Systems, Wiesbaden, Germany) according to the manufacturer’s instructions as reported previously (19, 20).", "Categorical data of patient characteristics were compared using the Fisher exact test. Continuous variables were compared applying the Kruskal-Wallis test. Endothelial Activation and Stress Index (EASIX) was calculated according to the formula: LDH [U/L] x creatinine [mg/dL]/thrombocytes [10^9 cells per L] (23, 24, 27).\nSurvival was calculated from the date of admission to last follow up or death of any cause. Patients alive were censored at the date of last contact. Patients who were alive without necessary ventilation were censored at the time of the last contact. In addition, time to severe course of disease was analyzed, defined as time without mechanical ventilation and/or death (V/D) until reference day +28. Survival curves were calculated using Kaplan-Meier estimates, the follow-up distribution was estimated using the reverse Kaplan-Meier method.\nThe primary endpoint, severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D) until reference day +28 was analyzed using uni- and multivariable logistic regression models. For uni- and multivariable analysis of time to V/D and survival, Cox regression models were used. Confounders known to be associated with COVID-19 mortality (5, 6, 35) (age, gender, comorbidity) were used as covariates in the multivariable models. Predictive accuracy of EASIX was evaluated by the Brier score and the AUC, the area under the receiver operating characteristic (ROC) curve for severity of disease (36). For time-to-event analysis time-dependent versions of the Brier score and the AUC were used to measure the predictive performance of EASIX (37, 38). For illustration purposes, an optimal EASIX cut point with respect to the different endpoints was determined by generalized maximally selected statistics using Monte Carlo resampling (39). The calculated cut point >2 (2.03) could be used to define high-risk groups.\nCalculations were done using IBM® SPSS® Statistics, Version 24.0.0 and R, version 3.6.3 together with R packages coin, version 1.3-1, ModelGood, version 1.0.9, pec, version 2019.11.03, and riskRegression, version 2020.02.05. All statistical tests were two-sided at a significance level of 5%. Odds ratios (OR) and hazard ratios (HR) were estimated with 95% confidence interval (95% CI).", "Patients Between February 2020 and September 2020, 100 consecutive patients were enrolled onto the prospective registry study at the University of Heidelberg, whereas the validation cohort comprised 126 patients (Munich, n=88; Ludwigshafen, n=38). Patient characteristics are summarized in \nTable 1\n. The two cohorts were comparable in terms of gender and comorbidities, but patients from the prospective cohort were significantly older. Moreover, there were significant differences for the single EASIX parameters (higher LDH and platelets in the training cohort, higher creatinine in the validation cohort, resulting in a balanced EASIX ratio). Age positively correlated with both EASIX and LDH (Spearman-rho 0.316, p<0.001 for EASIX and 0.352, p<0.001 for LDH), whereas no correlation with age was found for creatinine and platelets. This association with age was similar in male and female patients.\nPatient characteristics.\nCVD, cardiovascular disease; LDH, lactate dehydrogenase; EASIX, endothelial activation and stress index.\nBetween February 2020 and September 2020, 100 consecutive patients were enrolled onto the prospective registry study at the University of Heidelberg, whereas the validation cohort comprised 126 patients (Munich, n=88; Ludwigshafen, n=38). Patient characteristics are summarized in \nTable 1\n. The two cohorts were comparable in terms of gender and comorbidities, but patients from the prospective cohort were significantly older. Moreover, there were significant differences for the single EASIX parameters (higher LDH and platelets in the training cohort, higher creatinine in the validation cohort, resulting in a balanced EASIX ratio). Age positively correlated with both EASIX and LDH (Spearman-rho 0.316, p<0.001 for EASIX and 0.352, p<0.001 for LDH), whereas no correlation with age was found for creatinine and platelets. This association with age was similar in male and female patients.\nPatient characteristics.\nCVD, cardiovascular disease; LDH, lactate dehydrogenase; EASIX, endothelial activation and stress index.\nEASIX and Outcome of COVID-19 Patients in the Prospective Cohort Within a median observation period of 61 days (95%CI 59-64 days), a total of 23 patients had V/D, including 13 deaths. EASIX showed a significant effect on V/D events within the observation period of 28 days in univariable (OR 3.4, 95%CI 1.8-6.3, p<0.001) and multivariable (OR 3.4, 95%CI 1.8-6.7, p<0.001) logistic regression analysis (\nTable 2\n).\nUni- and multivariable analyses for endpoint severe course of the disease and survival in the training and validation cohort.\n*logistic regression analysis; **Cox regression analysis.\nV/D, ventilation and/or death; EASIX, endothelial activation and stress index; HR, hazard ratio; CI, confidentiality interval.\nEASIX at admission was also a strong predictor of time to V/D (HR for a two-fold change 2.0, 95%CI 1.5-2.6, p<0.001) as well as survival (HR for a two-fold change 1.7, 95%CI 1.2-2.5, p=0.006). This strong effect was retained in multivariable analysis adjusting for age, gender, and comorbidities, although the reliability of this analysis is limited due to the small numbers of events (\nTable 2\n). An EASIX cut-off optimized by maximal selected log rank statistics was identified for both endpoints (V/D and death) to be at >2.0 (\nSupplementary Figure 1\n). Of note, only 3 of 21 V/D events and 1 of 13 deaths occurred among the patients who had an EASIX ≦2 (\nFigure 1\n). Patient characteristics according to EASIX are shown in \nSupplementary Table 1\n. Patients with EASIX>2 were older, predominantly male and more often had comorbidities. The expected differences (high LDH, high creatinine, low platelets for EASIX>2) were significant in all three single EASIX parameters (\nSupplementary Table 1\n).\nOutcome of COVID-19 patients according to EASIX. Outcome of COVID-19 patients according to EASIX (cut-off 2) in the training cohort (left panels) and the validation cohort (right panels). (A) Cumulative incidence of severe courses of disease (mechanical ventilation and/or death, V/D). (B) Kaplan-Meier plots of overall survival.\nWe observed significantly higher EASIX values ad admission to hospital in male as compared to female patients. Nevertheless, patients with V/D events had significantly higher EASIX values in both gender subgroups (\nSupplementary Figure 2A\n). EASIX-log2 and EASIX>2 significantly predicted V/D events in both, male and female patients.\nWithin a median observation period of 61 days (95%CI 59-64 days), a total of 23 patients had V/D, including 13 deaths. EASIX showed a significant effect on V/D events within the observation period of 28 days in univariable (OR 3.4, 95%CI 1.8-6.3, p<0.001) and multivariable (OR 3.4, 95%CI 1.8-6.7, p<0.001) logistic regression analysis (\nTable 2\n).\nUni- and multivariable analyses for endpoint severe course of the disease and survival in the training and validation cohort.\n*logistic regression analysis; **Cox regression analysis.\nV/D, ventilation and/or death; EASIX, endothelial activation and stress index; HR, hazard ratio; CI, confidentiality interval.\nEASIX at admission was also a strong predictor of time to V/D (HR for a two-fold change 2.0, 95%CI 1.5-2.6, p<0.001) as well as survival (HR for a two-fold change 1.7, 95%CI 1.2-2.5, p=0.006). This strong effect was retained in multivariable analysis adjusting for age, gender, and comorbidities, although the reliability of this analysis is limited due to the small numbers of events (\nTable 2\n). An EASIX cut-off optimized by maximal selected log rank statistics was identified for both endpoints (V/D and death) to be at >2.0 (\nSupplementary Figure 1\n). Of note, only 3 of 21 V/D events and 1 of 13 deaths occurred among the patients who had an EASIX ≦2 (\nFigure 1\n). Patient characteristics according to EASIX are shown in \nSupplementary Table 1\n. Patients with EASIX>2 were older, predominantly male and more often had comorbidities. The expected differences (high LDH, high creatinine, low platelets for EASIX>2) were significant in all three single EASIX parameters (\nSupplementary Table 1\n).\nOutcome of COVID-19 patients according to EASIX. Outcome of COVID-19 patients according to EASIX (cut-off 2) in the training cohort (left panels) and the validation cohort (right panels). (A) Cumulative incidence of severe courses of disease (mechanical ventilation and/or death, V/D). (B) Kaplan-Meier plots of overall survival.\nWe observed significantly higher EASIX values ad admission to hospital in male as compared to female patients. Nevertheless, patients with V/D events had significantly higher EASIX values in both gender subgroups (\nSupplementary Figure 2A\n). EASIX-log2 and EASIX>2 significantly predicted V/D events in both, male and female patients.\nEASIX and Outcome of COVID-19 Patients in the Validation Cohort Within a median observation period of 41 days (IQR 24-56 days), a total of 33 patients had V/D in the validation cohort, including 12 deaths. Similar to the training cohort, EASIX was also significantly associated with V/D in the univariable logistic regression model (OR 6.2 (95%CI 3.0-12.8, p<0.001). Validation of the predictive impact of EASIX on V/D events was achieved by calculating the area under the ROC curve in the validation set with the model of the training cohort. We observed an AUC of 88.8% for the univariable and 87.9% for the multivariable model (\nSupplementary Figure 3\n).\nUni- and multivariable models confirmed the significant impact of EASIX on time to V/D and survival (\nTable 2\n). Lower prediction errors confirmed the predictive effect of EASIX: Integrated Brier score (IBS) (time day+28) for time to V/D: reference 0.175, validation cohort based on the model developed for the training cohort: 0.126.\nValidation of the uni- and multivariable time-dependent models with the offset of the prospective cohort was performed using again the time-dependent Brier score. Lower prediction errors for prediction of V/D or survival were found both for uni- and multivariable models including EASIX (continuous variable) (\nSupplementary Figure 4\n).\nAccordingly using the same EASIX cut-off as defined in the prospective cohort (≤2), the low-risk group in the validation cohort had a strongly reduced risk of V/D and death (9 of 33 V/D events and 2 of 12 deaths occurred among the patients who had an EASIX ≦2) (\nFigure 1\n). Similar to the prospective cohort, the high-risk EASIX group (>2) of the validation set was enriched for elderly male patients and those with comorbidities (\nSupplementary Table 1\n). Again, all three single EASIX parameters were significantly involved (\nSupplementary Table 1\n).\nWithin a median observation period of 41 days (IQR 24-56 days), a total of 33 patients had V/D in the validation cohort, including 12 deaths. Similar to the training cohort, EASIX was also significantly associated with V/D in the univariable logistic regression model (OR 6.2 (95%CI 3.0-12.8, p<0.001). Validation of the predictive impact of EASIX on V/D events was achieved by calculating the area under the ROC curve in the validation set with the model of the training cohort. We observed an AUC of 88.8% for the univariable and 87.9% for the multivariable model (\nSupplementary Figure 3\n).\nUni- and multivariable models confirmed the significant impact of EASIX on time to V/D and survival (\nTable 2\n). Lower prediction errors confirmed the predictive effect of EASIX: Integrated Brier score (IBS) (time day+28) for time to V/D: reference 0.175, validation cohort based on the model developed for the training cohort: 0.126.\nValidation of the uni- and multivariable time-dependent models with the offset of the prospective cohort was performed using again the time-dependent Brier score. Lower prediction errors for prediction of V/D or survival were found both for uni- and multivariable models including EASIX (continuous variable) (\nSupplementary Figure 4\n).\nAccordingly using the same EASIX cut-off as defined in the prospective cohort (≤2), the low-risk group in the validation cohort had a strongly reduced risk of V/D and death (9 of 33 V/D events and 2 of 12 deaths occurred among the patients who had an EASIX ≦2) (\nFigure 1\n). Similar to the prospective cohort, the high-risk EASIX group (>2) of the validation set was enriched for elderly male patients and those with comorbidities (\nSupplementary Table 1\n). Again, all three single EASIX parameters were significantly involved (\nSupplementary Table 1\n).\nEASIX and Endothelial and Inflammatory Biomarkers Serum was only available for patients of the prospective cohort. Patients with V/D showed significantly higher serum levels of the endothelial markers ANG2, sCD141, ST2, and CXCL8 at admission (3.1-, 1.5-, 4.0- and 4.0-fold, respectively, \nTable 3\n). Similarly, the inflammatory markers CXCL9, IL18 and IL18BPa were also increased in patients with later severe disease courses (5.3-, 1.2- and 1.5-fold, respectively \nTable 3\n). EASIX>2 correlated significantly with increased serum levels at admission of both, endothelial and inflammatory markers (\nFigure 2\n). Interferon-alpha (IFNα) serum levels above the lower detection threshold (1 pg/ml) were found in only 16 of 86 patients, and no association was observed with EASIX or severe courses of the disease. Similar to EASIX, we found that age correlated with all serum markers except IFNα (n=87, Spearman-rho, p): ANG2 0.355, <0.001; sCD141 0.397, <0.001; ST2 0.397, <0.001; CXCL8 0.347, <0.001; IL-18 0.318, 0.003; IL18BPa 0.260, 0.015, CXCL9 0.453, <0.001; IFNα -0.009, 0.932. In addition, the higher level of endothelial distress in male patients shown by EASIX was mirrored by ANG2, sCD141 and ST2 (\nSupplementary Figures 2B–D\n).\nEndothelial and immune markers at hospital admission in the training cohort (total, n=83; no V/D, n=62; V/D, n=21).\nANG2, angiopoietin-2; sTM, soluble thrombomodulin; ST2, suppressor of tumorigenicity-2, CXCL8, chemokine-X-C-ligand 8, (interleukin 8); CXCL9, chemokine-X-C-ligand 9, (monokine induced by gamma interferon, MIG); IL18, interleukin 18; IL18BPa, interleukin 18 binding protein A; IFNα, interferon-alpha; IQR, interquartile range (IQR=Q3-Q1); V/D, ventilation and/or death (until day+28 after admission).\nEndothelial markers and EASIX. Boxplots of serum levels of endothelial markers according to the EASIX cut-off: angiopoietin-2 (ANG2), suppressor of tumorigenicity-2 (ST2), soluble thrombomodulin (sTM), CXCL8 (interleukin-8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18) and IL18 binding protein A (IL18BPa). P-values for Kruskal-Wallis tests, n=87. Spearman-rho correlation coefficients with EASIX as continuous variable (n=87): ANG2 0.355, p < 0.001; sCD141 0.397, p < 0.001; ST2 0.397, p < 0.001; CXCL8 0.347, p < 0.001; IL-18 0.318, p=0.003; IL18BPa 0.260, p=0.015, CXCL9 0.453, p < 0.001.\nSerum was only available for patients of the prospective cohort. Patients with V/D showed significantly higher serum levels of the endothelial markers ANG2, sCD141, ST2, and CXCL8 at admission (3.1-, 1.5-, 4.0- and 4.0-fold, respectively, \nTable 3\n). Similarly, the inflammatory markers CXCL9, IL18 and IL18BPa were also increased in patients with later severe disease courses (5.3-, 1.2- and 1.5-fold, respectively \nTable 3\n). EASIX>2 correlated significantly with increased serum levels at admission of both, endothelial and inflammatory markers (\nFigure 2\n). Interferon-alpha (IFNα) serum levels above the lower detection threshold (1 pg/ml) were found in only 16 of 86 patients, and no association was observed with EASIX or severe courses of the disease. Similar to EASIX, we found that age correlated with all serum markers except IFNα (n=87, Spearman-rho, p): ANG2 0.355, <0.001; sCD141 0.397, <0.001; ST2 0.397, <0.001; CXCL8 0.347, <0.001; IL-18 0.318, 0.003; IL18BPa 0.260, 0.015, CXCL9 0.453, <0.001; IFNα -0.009, 0.932. In addition, the higher level of endothelial distress in male patients shown by EASIX was mirrored by ANG2, sCD141 and ST2 (\nSupplementary Figures 2B–D\n).\nEndothelial and immune markers at hospital admission in the training cohort (total, n=83; no V/D, n=62; V/D, n=21).\nANG2, angiopoietin-2; sTM, soluble thrombomodulin; ST2, suppressor of tumorigenicity-2, CXCL8, chemokine-X-C-ligand 8, (interleukin 8); CXCL9, chemokine-X-C-ligand 9, (monokine induced by gamma interferon, MIG); IL18, interleukin 18; IL18BPa, interleukin 18 binding protein A; IFNα, interferon-alpha; IQR, interquartile range (IQR=Q3-Q1); V/D, ventilation and/or death (until day+28 after admission).\nEndothelial markers and EASIX. Boxplots of serum levels of endothelial markers according to the EASIX cut-off: angiopoietin-2 (ANG2), suppressor of tumorigenicity-2 (ST2), soluble thrombomodulin (sTM), CXCL8 (interleukin-8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18) and IL18 binding protein A (IL18BPa). P-values for Kruskal-Wallis tests, n=87. Spearman-rho correlation coefficients with EASIX as continuous variable (n=87): ANG2 0.355, p < 0.001; sCD141 0.397, p < 0.001; ST2 0.397, p < 0.001; CXCL8 0.347, p < 0.001; IL-18 0.318, p=0.003; IL18BPa 0.260, p=0.015, CXCL9 0.453, p < 0.001.", "Between February 2020 and September 2020, 100 consecutive patients were enrolled onto the prospective registry study at the University of Heidelberg, whereas the validation cohort comprised 126 patients (Munich, n=88; Ludwigshafen, n=38). Patient characteristics are summarized in \nTable 1\n. The two cohorts were comparable in terms of gender and comorbidities, but patients from the prospective cohort were significantly older. Moreover, there were significant differences for the single EASIX parameters (higher LDH and platelets in the training cohort, higher creatinine in the validation cohort, resulting in a balanced EASIX ratio). Age positively correlated with both EASIX and LDH (Spearman-rho 0.316, p<0.001 for EASIX and 0.352, p<0.001 for LDH), whereas no correlation with age was found for creatinine and platelets. This association with age was similar in male and female patients.\nPatient characteristics.\nCVD, cardiovascular disease; LDH, lactate dehydrogenase; EASIX, endothelial activation and stress index.", "Within a median observation period of 61 days (95%CI 59-64 days), a total of 23 patients had V/D, including 13 deaths. EASIX showed a significant effect on V/D events within the observation period of 28 days in univariable (OR 3.4, 95%CI 1.8-6.3, p<0.001) and multivariable (OR 3.4, 95%CI 1.8-6.7, p<0.001) logistic regression analysis (\nTable 2\n).\nUni- and multivariable analyses for endpoint severe course of the disease and survival in the training and validation cohort.\n*logistic regression analysis; **Cox regression analysis.\nV/D, ventilation and/or death; EASIX, endothelial activation and stress index; HR, hazard ratio; CI, confidentiality interval.\nEASIX at admission was also a strong predictor of time to V/D (HR for a two-fold change 2.0, 95%CI 1.5-2.6, p<0.001) as well as survival (HR for a two-fold change 1.7, 95%CI 1.2-2.5, p=0.006). This strong effect was retained in multivariable analysis adjusting for age, gender, and comorbidities, although the reliability of this analysis is limited due to the small numbers of events (\nTable 2\n). An EASIX cut-off optimized by maximal selected log rank statistics was identified for both endpoints (V/D and death) to be at >2.0 (\nSupplementary Figure 1\n). Of note, only 3 of 21 V/D events and 1 of 13 deaths occurred among the patients who had an EASIX ≦2 (\nFigure 1\n). Patient characteristics according to EASIX are shown in \nSupplementary Table 1\n. Patients with EASIX>2 were older, predominantly male and more often had comorbidities. The expected differences (high LDH, high creatinine, low platelets for EASIX>2) were significant in all three single EASIX parameters (\nSupplementary Table 1\n).\nOutcome of COVID-19 patients according to EASIX. Outcome of COVID-19 patients according to EASIX (cut-off 2) in the training cohort (left panels) and the validation cohort (right panels). (A) Cumulative incidence of severe courses of disease (mechanical ventilation and/or death, V/D). (B) Kaplan-Meier plots of overall survival.\nWe observed significantly higher EASIX values ad admission to hospital in male as compared to female patients. Nevertheless, patients with V/D events had significantly higher EASIX values in both gender subgroups (\nSupplementary Figure 2A\n). EASIX-log2 and EASIX>2 significantly predicted V/D events in both, male and female patients.", "Within a median observation period of 41 days (IQR 24-56 days), a total of 33 patients had V/D in the validation cohort, including 12 deaths. Similar to the training cohort, EASIX was also significantly associated with V/D in the univariable logistic regression model (OR 6.2 (95%CI 3.0-12.8, p<0.001). Validation of the predictive impact of EASIX on V/D events was achieved by calculating the area under the ROC curve in the validation set with the model of the training cohort. We observed an AUC of 88.8% for the univariable and 87.9% for the multivariable model (\nSupplementary Figure 3\n).\nUni- and multivariable models confirmed the significant impact of EASIX on time to V/D and survival (\nTable 2\n). Lower prediction errors confirmed the predictive effect of EASIX: Integrated Brier score (IBS) (time day+28) for time to V/D: reference 0.175, validation cohort based on the model developed for the training cohort: 0.126.\nValidation of the uni- and multivariable time-dependent models with the offset of the prospective cohort was performed using again the time-dependent Brier score. Lower prediction errors for prediction of V/D or survival were found both for uni- and multivariable models including EASIX (continuous variable) (\nSupplementary Figure 4\n).\nAccordingly using the same EASIX cut-off as defined in the prospective cohort (≤2), the low-risk group in the validation cohort had a strongly reduced risk of V/D and death (9 of 33 V/D events and 2 of 12 deaths occurred among the patients who had an EASIX ≦2) (\nFigure 1\n). Similar to the prospective cohort, the high-risk EASIX group (>2) of the validation set was enriched for elderly male patients and those with comorbidities (\nSupplementary Table 1\n). Again, all three single EASIX parameters were significantly involved (\nSupplementary Table 1\n).", "Serum was only available for patients of the prospective cohort. Patients with V/D showed significantly higher serum levels of the endothelial markers ANG2, sCD141, ST2, and CXCL8 at admission (3.1-, 1.5-, 4.0- and 4.0-fold, respectively, \nTable 3\n). Similarly, the inflammatory markers CXCL9, IL18 and IL18BPa were also increased in patients with later severe disease courses (5.3-, 1.2- and 1.5-fold, respectively \nTable 3\n). EASIX>2 correlated significantly with increased serum levels at admission of both, endothelial and inflammatory markers (\nFigure 2\n). Interferon-alpha (IFNα) serum levels above the lower detection threshold (1 pg/ml) were found in only 16 of 86 patients, and no association was observed with EASIX or severe courses of the disease. Similar to EASIX, we found that age correlated with all serum markers except IFNα (n=87, Spearman-rho, p): ANG2 0.355, <0.001; sCD141 0.397, <0.001; ST2 0.397, <0.001; CXCL8 0.347, <0.001; IL-18 0.318, 0.003; IL18BPa 0.260, 0.015, CXCL9 0.453, <0.001; IFNα -0.009, 0.932. In addition, the higher level of endothelial distress in male patients shown by EASIX was mirrored by ANG2, sCD141 and ST2 (\nSupplementary Figures 2B–D\n).\nEndothelial and immune markers at hospital admission in the training cohort (total, n=83; no V/D, n=62; V/D, n=21).\nANG2, angiopoietin-2; sTM, soluble thrombomodulin; ST2, suppressor of tumorigenicity-2, CXCL8, chemokine-X-C-ligand 8, (interleukin 8); CXCL9, chemokine-X-C-ligand 9, (monokine induced by gamma interferon, MIG); IL18, interleukin 18; IL18BPa, interleukin 18 binding protein A; IFNα, interferon-alpha; IQR, interquartile range (IQR=Q3-Q1); V/D, ventilation and/or death (until day+28 after admission).\nEndothelial markers and EASIX. Boxplots of serum levels of endothelial markers according to the EASIX cut-off: angiopoietin-2 (ANG2), suppressor of tumorigenicity-2 (ST2), soluble thrombomodulin (sTM), CXCL8 (interleukin-8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18) and IL18 binding protein A (IL18BPa). P-values for Kruskal-Wallis tests, n=87. Spearman-rho correlation coefficients with EASIX as continuous variable (n=87): ANG2 0.355, p < 0.001; sCD141 0.397, p < 0.001; ST2 0.397, p < 0.001; CXCL8 0.347, p < 0.001; IL-18 0.318, p=0.003; IL18BPa 0.260, p=0.015, CXCL9 0.453, p < 0.001.", "This study reports EASIX as a validated predictor of mechanical ventilation and/or death of hospitalized COVID-19 patients.\nGiven the urgent clinical need of early distinction of unspectacular from severe COVID-19 courses, a large variety of prognostic markers have been proposed since the pandemic began in early 2020. These include, amongst others, high creatinine, high LDH, and low platelets (40–44). EASIX, however, amalgamates these markers into a score that distinguishes high- and low-risk patients with high accuracy: Whereas about half of those patients who present with EASIX ≥2 at admission will face a severe course and a mortality risk of 40%-60%, patients with admission EASIX <2 have a likelihood of severe complications of less than 15%, and less than 5% will die from the disease. This excellent selectivity of EASIX in COVID-19 might rely on the fact that it integrates biomarkers reflecting different mechanisms of endothelial dysfunction, thereby highlighting the endothelium as critical driver of COVID-19 pathogenesis (10–13).\nTo further elucidate the involvement of the endothelium in COVID-19 and its relation to EASIX, we have applied an endothelial biomarker panel to COVID-19, including angiopoietin-2 (ANG2), soluble thrombomodulin (sTM), suppressor of tumorigenicity-2 protein (ST2), and correlated them with EASIX. ANG2 antagonizes ANG1 at the Tie2 receptor and enhances vascular permeability. This cytokine was already shown to associate with severe COVID-19 courses (16). sTM is lost from surfaces of distressed endothelial cells where it usually mediates endothelial protective effects (45). ST2 is also produced by distressed endothelial cells and is a predictor of cardiovascular death (46, 47). All three serum markers were shown to associate with endothelial complications and outcome after allogeneic stem cell transplantation (alloSCT) (19, 48, 49). Here we demonstrate that these three endothelial markers are strongly increased in patients with severe disease courses. Similarly, high EASIX ratios (≥2) strongly correlated with high serum levels of endothelial markers. In this line of evidence, circulating endothelial cells (CECs) and high Angiopoietin-2 were found to associate with severity of COVID-19 (16, 50, 51). Accordingly, the ESC Working Group for Atherosclerosis and Vascular Biology, and the ESC Council of Basic Cardiovascular Science proposed that endothelial biomarkers and tests of function should be evaluated for their usefulness in the risk stratification of COVID-19 patients (52).\nDue to the heterogeneity of endothelial response patterns it is difficult to define global or tissue specific endothelial distress markers that predict in all clinical settings. EASIX was developed to address this problem in allogeneic stem cell transplantation, where a variety of complications associating with non-relapse mortality represent endothelial complications. EASIX derives from diagnostic parameters associating with transplant-associated thrombotic microangiopathy (TAM) (21). High LDH, high creatinine and low platelets are the typical lab marker constellation in this microangiopathy, therefore we assessed if the ratio LDH*creatinine/platelets contains information on the endothelial system. Indeed, EASIX predicted TAM already prior to conditioning therapy, but it also predicted sinusoidal obstruction syndrome/veno-occlusive disease (SOS/VOD) (22), early fluid retention (26), and death after acute graft-versus-host disease (GVHD) (23). Recently, EASIX was also shown to predict survival of lower risk myelodysplastic syndromes (MDS) (27), which is a condition with a high risk of death from cardiovascular complications.\nThere is now good evidence that EASIX indeed represents systemic endothelial dysfunction. This is further underlined by the correlation of EASIX with other endothelial stress markers measured at the beginning of hospitalization, such as ANG2, ST2 und soluble thrombomodulin. Endotheliitis and cardiovascular vulnerability of COVID-19 patients led us to test if EASIX might help to prognosticate this disease as well.\nWe observed a gender-indifferent association of EASIX and LDH with age. Similarly, higher age strongly correlated with higher ANG2, ST2, and sCD141. In addition, male COVID-19 patients had significantly higher EASIX values, but also higher serum levels of ANG2, sCD141 and ST2. As neither age nor gender were associated with EASIX in other contexts (23, 24) we think that this reflects the higher vulnerability of elderly male endothelial cells towards viral challenge.\nIn summary, EASIX is a reliable and validated early predictor of COVID19 outcome. Specifically, EASIX≥2 appears to be a valuable and easy-to-access tool to segregate patients in need for intensive surveillance because of high risk of severe complications and mortality from those who have a very low risk of a fatal outcome. This is of tremendous clinical importance since in the absence of an effective causal treatment for COVID-19 and with limited intensive care capacities, identification of markers reliably predicting the course of infection may help in efficient resource allocation during the pandemic.\nMoreover, the results of our study emphasize the importance of endothelial damage as a key factor in COVID-19 pathogenesis and may help deciphering disease biology. Further understanding of endothelial involvement may provide a rationale for interventions supporting endothelial cell integrity as part of clinical management of SARS-CoV-2 infected patients.", "The raw data supporting the conclusions of this article will be made available by the authors, without undue reservation.", "The studies involving human participants were reviewed and approved by University Hospital Heidelberg Ethics Committee. The patients/participants provided their written informed consent to participate in this study.", "All authors listed have made a substantial, direct, and intellectual contribution to the work and approved it for publication.", "The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest." ]
[ "intro", null, null, null, null, null, "results", null, null, null, null, "discussion", "data-availability", null, null, "COI-statement" ]
[ "endothelial activation and stress index", "EASIX", "SARS-CoV2 (COVID- 19)", "suppressor of tumorigenicity 2 (ST2)", "soluble thrombomodulin", "angiopoietin-2 (Ang-2)", "prediction of outcome" ]
Introduction: Since the first cases of SARS-CoV-2 infection reported in Hubei, China, in December 2019, the virus has spread worldwide causing a still unrestrained pandemic with millions of infections and hundreds of thousands of virus-associated deaths (https://coronavirus.jhu.edu/data/new-cases). In most cases, the disease caused by SARS-CoV-2 (COVID-19) follows a mild or moderate cause with symptoms of upper airway infections, fever, fatigue, anosmia, hypogeusia, and diarrhea (1, 2). Yet, severe courses resulting in acute respiratory distress syndrome (ARDS), sepsis, hypercoagulation, myocardial injury and multi-organ failure are not uncommon and frequently require aggressive management on an intensive care unit (3). Elderly male patients with pre-existing cardio-vascular conditions have highest risk of severe morbidity and fatal outcome (4–6), however, there is an eminent heterogeneity of clinical courses, and even children may suffer from severe complications (7, 8). Given the considerable variability of clinical courses and the huge challenge of the COVID-19 pandemic to clinical resources, a reliable and readily available biomarker for early prediction of severity of COVID-19 is urgently needed in order to assign hospital resources most efficiently. A key role for endothelial cells in the pathophysiology of ARDS, multi-organ failure and mortality associated with COVID-19 has been postulated (9–12). There is good morphological evidence for endothelial cell infection and endotheliitis in COVID-19 disease (11, 13), mediated by viral binding to the receptor for angiotensin converting enzyme 2 (ACE2) (14). These observations are in line with clinical and serological findings suggesting that endothelial activation and damage may play a central role in the pathogenesis of COVID-19-associated complications (6, 15). Specifically, there is evidence that in COVID 19, endothelial inflammatory cytokines including Angiopoietin-2 and CXCL8 enhance vascular leakage and recruit activated neutrophils, respectively (16), and that dysfunctional interaction with platelets activates coagulation and complement pathways (12). In fact, the clinical presentation of severe COVID-19 is generally consistent with the presence of microangiopathy (elevated LDH and d-dimers, complement activation, decreased platelets and renal impairment) which may predispose patients to thrombotic disease and micro-infarcts promoting multi-organ failure (9, 17, 18). Beyond this background, we have tested if the EASIX (Endothelial Activation and Stress Index) might help to predict the clinical course of COVID-19. We developed EASIX as a simple score based on readily available routine parameters (LDH, creatinine, platelet count) in order to predict endothelial complications after allogeneic stem cell transplantation. We initially wanted to understand why patients died from immune mediated complications, such as graft-versus-host disease (GVHD), despite a large variety of readily available immunosuppressant drugs. We found that a progressive endothelial damage, i.e. transplant-associated microangiopathy (TAM), was present in most lethal courses of acute GVHD (19, 20). TAM is characterized by high LDH, high creatinine and low platelet counts, amongst others (21). We wondered if high LDH and creatinine together with low platelets (that is high EASIX) could predict these endothelial complications earlier than the accepted diagnostic criteria. Indeed, EASIX measured at onset of acute GVHD, on the day of transplantation, and even before starting the conditioning therapy for allogeneic stem cell transplantation predicted risk of mortality, as well as endothelial complications such as sinusoidal obstruction syndrome/veno-occlusive disease (SOS/VOD) and early fluid overload (22–26). EASIX also associated with mortality of lower and intermediate risk patients with myelodysplastic syndromes (27), and with mortality of multiple myeloma patients (28). EASIX is therefore a validated marker of endothelial risk both in immune mediated and malignant diseases. Cytokines associating with EASIX and outcome of post-transplant complications include ANG2, sCD141, ST2 (19, 20, 29), CXCL9 (30) and IL18 (31, 32). Interferon-alpha represents an early but transient immune response to viral infections that appeared deficient in COVID-19 patients (33). ANG2 and other endothelial serum markers were already shown to predict severe clinical courses of COVID-19 (16, 34). The endothelial association of COVID-19 associated complications led us to investigate EASIX together with endothelial and immune markers in COVID-19 patients admitted to the hospital. For this purpose, we performed a prospective non-interventional study and validated it retrospectively on independent datasets. The results suggest that EASIX appears to be valuable for segregating patients in need for intensive surveillance from those with an uneventful clinical course. In addition, we provide further evidence for endothelial involvement in COVID-19 pathogenesis delineating cytokine profiles associated with courses of different severity. Patients and Methods: Study Design and Data Collection Eligible for the prospective non-interventional study conducted at the University of Heidelberg were all patients who were admitted for symptomatic SARS-CoV-2 infection between February 28th and May 2nd, 2020, and had consented to study participation. Primary endpoint was severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D). Symptomatic SARS-CoV-2-positive patients from the Munich Clinic Schwabing (n=88) and Ludwigshafen Hospital (n=38) admitted during the same time period constituted the validation cohort (n=126). Written informed consent according to the Declaration of Helsinki was obtained for all patients and the local Ethics committees had approved data collection and analysis (reference numbers: S-771/2020, S-148/2020, 20-265, and 202-14949, respectively). In all centers, patients were tested for SARS-CoV-2 infection following local guidelines (https://www.muenchen-klinik.de/covid-19-share/#c57673) and in accordance with the latest recommendations of the Robert Koch Institute: (https://www.rki.de/DE/Content/Kommissionen/Stakob/Stellungnahmen/Stellungnahme-Covid-19). Data on lactate dehydrogenase (LDH) levels, serum creatinine levels and thrombocyte counts were raised in certified routine laboratories. For calculation of EASIX, parameters obtained at the time of hospital admission were considered. Eligible for the prospective non-interventional study conducted at the University of Heidelberg were all patients who were admitted for symptomatic SARS-CoV-2 infection between February 28th and May 2nd, 2020, and had consented to study participation. Primary endpoint was severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D). Symptomatic SARS-CoV-2-positive patients from the Munich Clinic Schwabing (n=88) and Ludwigshafen Hospital (n=38) admitted during the same time period constituted the validation cohort (n=126). Written informed consent according to the Declaration of Helsinki was obtained for all patients and the local Ethics committees had approved data collection and analysis (reference numbers: S-771/2020, S-148/2020, 20-265, and 202-14949, respectively). In all centers, patients were tested for SARS-CoV-2 infection following local guidelines (https://www.muenchen-klinik.de/covid-19-share/#c57673) and in accordance with the latest recommendations of the Robert Koch Institute: (https://www.rki.de/DE/Content/Kommissionen/Stakob/Stellungnahmen/Stellungnahme-Covid-19). Data on lactate dehydrogenase (LDH) levels, serum creatinine levels and thrombocyte counts were raised in certified routine laboratories. For calculation of EASIX, parameters obtained at the time of hospital admission were considered. Diagnosis, Supportive Care and Treatment In Heidelberg, RNA was isolated from nasopharyngeal and oropharyngeal swab specimens using QIAGEN Kits (QIAGEN, Hilden, Germany) automated on the QIASymphony (DSP Virus/Pathogen mini Kits) or QIAcube (QIAamp Viral RNA mini Kits) devices and eluted in 115 μl elution buffer. RT-PCR was carried out using various reagent mixes – LightMix Modular SARS and Wuhan CoV E-gene, LightMix Modular SARS and Wuhan CoV N-gene, LightMix Modular Wuhan CoV RdRP-gene and LightMix Modular EAV RNA Extraction Control (as internal Control) from TIB MOLBIOL Syntheselabor GmbH (Berlin, Germany) and LightCycler Multiplex RNA Virus Master (Roche, Germany) – according to manufacturer’s instructions. RT-PCR was performed on LightCycler 480 oder 480 II (Roche, Germany). In Ludwigshafen, the same protocol was used except that extraction was carried out using magnetic Nuclesens easyMag® silica beads of Biomerieux followed by one-step qRT-PCR (SuperScript III Plantinum qRT-PCR Kit of ThermoFisher Scientific for qualitative and quantitative real-time PCR on Roche 480 II instruments. The analytical sensitivity was 100 copies/ml in both procedures. In Munich, laboratory confirmation of SARS-CoV-2 infection was done using the Abbott RealTime SARS-CoV-2 test kit (dual target Assay to detect the RdRp- and N-Gene), Abbott m2000sp extracting the probes and Abbott m2000rt for the RT-PCR. The analytical sensitivity was 100 copies/ml. Criteria for initiation of mechanical ventilation were failure to maintain adequate ventilation or oxygenation in spite of high FiO2 delivery. Patients were treated with standard supportive care including antibiotic and antifungal therapy, whereas additional immunomodulatory therapy was inconsistently applied (azithromycin, hydroxychloroquine, tocilicumab, anakinra, prednisolone, maraviroc, remdesivir, Cytosorb™, plasmapheresis). Strategies of extracorporeal life support (extracorporeal CO2 elimination, veno-veno ECMO, veno-arterial ECMO) followed institutional policies. Routine CT scans of all patients were performed at hospital admission in all centers. In Heidelberg, RNA was isolated from nasopharyngeal and oropharyngeal swab specimens using QIAGEN Kits (QIAGEN, Hilden, Germany) automated on the QIASymphony (DSP Virus/Pathogen mini Kits) or QIAcube (QIAamp Viral RNA mini Kits) devices and eluted in 115 μl elution buffer. RT-PCR was carried out using various reagent mixes – LightMix Modular SARS and Wuhan CoV E-gene, LightMix Modular SARS and Wuhan CoV N-gene, LightMix Modular Wuhan CoV RdRP-gene and LightMix Modular EAV RNA Extraction Control (as internal Control) from TIB MOLBIOL Syntheselabor GmbH (Berlin, Germany) and LightCycler Multiplex RNA Virus Master (Roche, Germany) – according to manufacturer’s instructions. RT-PCR was performed on LightCycler 480 oder 480 II (Roche, Germany). In Ludwigshafen, the same protocol was used except that extraction was carried out using magnetic Nuclesens easyMag® silica beads of Biomerieux followed by one-step qRT-PCR (SuperScript III Plantinum qRT-PCR Kit of ThermoFisher Scientific for qualitative and quantitative real-time PCR on Roche 480 II instruments. The analytical sensitivity was 100 copies/ml in both procedures. In Munich, laboratory confirmation of SARS-CoV-2 infection was done using the Abbott RealTime SARS-CoV-2 test kit (dual target Assay to detect the RdRp- and N-Gene), Abbott m2000sp extracting the probes and Abbott m2000rt for the RT-PCR. The analytical sensitivity was 100 copies/ml. Criteria for initiation of mechanical ventilation were failure to maintain adequate ventilation or oxygenation in spite of high FiO2 delivery. Patients were treated with standard supportive care including antibiotic and antifungal therapy, whereas additional immunomodulatory therapy was inconsistently applied (azithromycin, hydroxychloroquine, tocilicumab, anakinra, prednisolone, maraviroc, remdesivir, Cytosorb™, plasmapheresis). Strategies of extracorporeal life support (extracorporeal CO2 elimination, veno-veno ECMO, veno-arterial ECMO) followed institutional policies. Routine CT scans of all patients were performed at hospital admission in all centers. Assessment of Cytokine Serum Levels Serum samples were collected in gel tubes (S-Monovette® Z-Gel, SARSTEDT AG & Co. KG, Nuembrecht, Germany) at the time SARS-CoV-2 testing and cryopreserved at −80°C. Serum levels of soluble thrombomodulin (sTM, sCD141), suppressor of tumorigenicity 2 (ST2), Angiopoietin-2 (Ang2), chemokine-X-C-ligand 8 (CXCL8, interleukin 8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18), interleukin-18 binding protein A (IL18BPa), and interferon-alpha (IFNα) were assessed by ELISA using commercial kits (DuoSet, R&D Systems, Wiesbaden, Germany) according to the manufacturer’s instructions as reported previously (19, 20). Serum samples were collected in gel tubes (S-Monovette® Z-Gel, SARSTEDT AG & Co. KG, Nuembrecht, Germany) at the time SARS-CoV-2 testing and cryopreserved at −80°C. Serum levels of soluble thrombomodulin (sTM, sCD141), suppressor of tumorigenicity 2 (ST2), Angiopoietin-2 (Ang2), chemokine-X-C-ligand 8 (CXCL8, interleukin 8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18), interleukin-18 binding protein A (IL18BPa), and interferon-alpha (IFNα) were assessed by ELISA using commercial kits (DuoSet, R&D Systems, Wiesbaden, Germany) according to the manufacturer’s instructions as reported previously (19, 20). Statistics Categorical data of patient characteristics were compared using the Fisher exact test. Continuous variables were compared applying the Kruskal-Wallis test. Endothelial Activation and Stress Index (EASIX) was calculated according to the formula: LDH [U/L] x creatinine [mg/dL]/thrombocytes [10^9 cells per L] (23, 24, 27). Survival was calculated from the date of admission to last follow up or death of any cause. Patients alive were censored at the date of last contact. Patients who were alive without necessary ventilation were censored at the time of the last contact. In addition, time to severe course of disease was analyzed, defined as time without mechanical ventilation and/or death (V/D) until reference day +28. Survival curves were calculated using Kaplan-Meier estimates, the follow-up distribution was estimated using the reverse Kaplan-Meier method. The primary endpoint, severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D) until reference day +28 was analyzed using uni- and multivariable logistic regression models. For uni- and multivariable analysis of time to V/D and survival, Cox regression models were used. Confounders known to be associated with COVID-19 mortality (5, 6, 35) (age, gender, comorbidity) were used as covariates in the multivariable models. Predictive accuracy of EASIX was evaluated by the Brier score and the AUC, the area under the receiver operating characteristic (ROC) curve for severity of disease (36). For time-to-event analysis time-dependent versions of the Brier score and the AUC were used to measure the predictive performance of EASIX (37, 38). For illustration purposes, an optimal EASIX cut point with respect to the different endpoints was determined by generalized maximally selected statistics using Monte Carlo resampling (39). The calculated cut point >2 (2.03) could be used to define high-risk groups. Calculations were done using IBM® SPSS® Statistics, Version 24.0.0 and R, version 3.6.3 together with R packages coin, version 1.3-1, ModelGood, version 1.0.9, pec, version 2019.11.03, and riskRegression, version 2020.02.05. All statistical tests were two-sided at a significance level of 5%. Odds ratios (OR) and hazard ratios (HR) were estimated with 95% confidence interval (95% CI). Categorical data of patient characteristics were compared using the Fisher exact test. Continuous variables were compared applying the Kruskal-Wallis test. Endothelial Activation and Stress Index (EASIX) was calculated according to the formula: LDH [U/L] x creatinine [mg/dL]/thrombocytes [10^9 cells per L] (23, 24, 27). Survival was calculated from the date of admission to last follow up or death of any cause. Patients alive were censored at the date of last contact. Patients who were alive without necessary ventilation were censored at the time of the last contact. In addition, time to severe course of disease was analyzed, defined as time without mechanical ventilation and/or death (V/D) until reference day +28. Survival curves were calculated using Kaplan-Meier estimates, the follow-up distribution was estimated using the reverse Kaplan-Meier method. The primary endpoint, severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D) until reference day +28 was analyzed using uni- and multivariable logistic regression models. For uni- and multivariable analysis of time to V/D and survival, Cox regression models were used. Confounders known to be associated with COVID-19 mortality (5, 6, 35) (age, gender, comorbidity) were used as covariates in the multivariable models. Predictive accuracy of EASIX was evaluated by the Brier score and the AUC, the area under the receiver operating characteristic (ROC) curve for severity of disease (36). For time-to-event analysis time-dependent versions of the Brier score and the AUC were used to measure the predictive performance of EASIX (37, 38). For illustration purposes, an optimal EASIX cut point with respect to the different endpoints was determined by generalized maximally selected statistics using Monte Carlo resampling (39). The calculated cut point >2 (2.03) could be used to define high-risk groups. Calculations were done using IBM® SPSS® Statistics, Version 24.0.0 and R, version 3.6.3 together with R packages coin, version 1.3-1, ModelGood, version 1.0.9, pec, version 2019.11.03, and riskRegression, version 2020.02.05. All statistical tests were two-sided at a significance level of 5%. Odds ratios (OR) and hazard ratios (HR) were estimated with 95% confidence interval (95% CI). Study Design and Data Collection: Eligible for the prospective non-interventional study conducted at the University of Heidelberg were all patients who were admitted for symptomatic SARS-CoV-2 infection between February 28th and May 2nd, 2020, and had consented to study participation. Primary endpoint was severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D). Symptomatic SARS-CoV-2-positive patients from the Munich Clinic Schwabing (n=88) and Ludwigshafen Hospital (n=38) admitted during the same time period constituted the validation cohort (n=126). Written informed consent according to the Declaration of Helsinki was obtained for all patients and the local Ethics committees had approved data collection and analysis (reference numbers: S-771/2020, S-148/2020, 20-265, and 202-14949, respectively). In all centers, patients were tested for SARS-CoV-2 infection following local guidelines (https://www.muenchen-klinik.de/covid-19-share/#c57673) and in accordance with the latest recommendations of the Robert Koch Institute: (https://www.rki.de/DE/Content/Kommissionen/Stakob/Stellungnahmen/Stellungnahme-Covid-19). Data on lactate dehydrogenase (LDH) levels, serum creatinine levels and thrombocyte counts were raised in certified routine laboratories. For calculation of EASIX, parameters obtained at the time of hospital admission were considered. Diagnosis, Supportive Care and Treatment: In Heidelberg, RNA was isolated from nasopharyngeal and oropharyngeal swab specimens using QIAGEN Kits (QIAGEN, Hilden, Germany) automated on the QIASymphony (DSP Virus/Pathogen mini Kits) or QIAcube (QIAamp Viral RNA mini Kits) devices and eluted in 115 μl elution buffer. RT-PCR was carried out using various reagent mixes – LightMix Modular SARS and Wuhan CoV E-gene, LightMix Modular SARS and Wuhan CoV N-gene, LightMix Modular Wuhan CoV RdRP-gene and LightMix Modular EAV RNA Extraction Control (as internal Control) from TIB MOLBIOL Syntheselabor GmbH (Berlin, Germany) and LightCycler Multiplex RNA Virus Master (Roche, Germany) – according to manufacturer’s instructions. RT-PCR was performed on LightCycler 480 oder 480 II (Roche, Germany). In Ludwigshafen, the same protocol was used except that extraction was carried out using magnetic Nuclesens easyMag® silica beads of Biomerieux followed by one-step qRT-PCR (SuperScript III Plantinum qRT-PCR Kit of ThermoFisher Scientific for qualitative and quantitative real-time PCR on Roche 480 II instruments. The analytical sensitivity was 100 copies/ml in both procedures. In Munich, laboratory confirmation of SARS-CoV-2 infection was done using the Abbott RealTime SARS-CoV-2 test kit (dual target Assay to detect the RdRp- and N-Gene), Abbott m2000sp extracting the probes and Abbott m2000rt for the RT-PCR. The analytical sensitivity was 100 copies/ml. Criteria for initiation of mechanical ventilation were failure to maintain adequate ventilation or oxygenation in spite of high FiO2 delivery. Patients were treated with standard supportive care including antibiotic and antifungal therapy, whereas additional immunomodulatory therapy was inconsistently applied (azithromycin, hydroxychloroquine, tocilicumab, anakinra, prednisolone, maraviroc, remdesivir, Cytosorb™, plasmapheresis). Strategies of extracorporeal life support (extracorporeal CO2 elimination, veno-veno ECMO, veno-arterial ECMO) followed institutional policies. Routine CT scans of all patients were performed at hospital admission in all centers. Assessment of Cytokine Serum Levels: Serum samples were collected in gel tubes (S-Monovette® Z-Gel, SARSTEDT AG & Co. KG, Nuembrecht, Germany) at the time SARS-CoV-2 testing and cryopreserved at −80°C. Serum levels of soluble thrombomodulin (sTM, sCD141), suppressor of tumorigenicity 2 (ST2), Angiopoietin-2 (Ang2), chemokine-X-C-ligand 8 (CXCL8, interleukin 8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18), interleukin-18 binding protein A (IL18BPa), and interferon-alpha (IFNα) were assessed by ELISA using commercial kits (DuoSet, R&D Systems, Wiesbaden, Germany) according to the manufacturer’s instructions as reported previously (19, 20). Statistics: Categorical data of patient characteristics were compared using the Fisher exact test. Continuous variables were compared applying the Kruskal-Wallis test. Endothelial Activation and Stress Index (EASIX) was calculated according to the formula: LDH [U/L] x creatinine [mg/dL]/thrombocytes [10^9 cells per L] (23, 24, 27). Survival was calculated from the date of admission to last follow up or death of any cause. Patients alive were censored at the date of last contact. Patients who were alive without necessary ventilation were censored at the time of the last contact. In addition, time to severe course of disease was analyzed, defined as time without mechanical ventilation and/or death (V/D) until reference day +28. Survival curves were calculated using Kaplan-Meier estimates, the follow-up distribution was estimated using the reverse Kaplan-Meier method. The primary endpoint, severe course of the disease defined as mechanical ventilation and/or death of any cause (V/D) until reference day +28 was analyzed using uni- and multivariable logistic regression models. For uni- and multivariable analysis of time to V/D and survival, Cox regression models were used. Confounders known to be associated with COVID-19 mortality (5, 6, 35) (age, gender, comorbidity) were used as covariates in the multivariable models. Predictive accuracy of EASIX was evaluated by the Brier score and the AUC, the area under the receiver operating characteristic (ROC) curve for severity of disease (36). For time-to-event analysis time-dependent versions of the Brier score and the AUC were used to measure the predictive performance of EASIX (37, 38). For illustration purposes, an optimal EASIX cut point with respect to the different endpoints was determined by generalized maximally selected statistics using Monte Carlo resampling (39). The calculated cut point >2 (2.03) could be used to define high-risk groups. Calculations were done using IBM® SPSS® Statistics, Version 24.0.0 and R, version 3.6.3 together with R packages coin, version 1.3-1, ModelGood, version 1.0.9, pec, version 2019.11.03, and riskRegression, version 2020.02.05. All statistical tests were two-sided at a significance level of 5%. Odds ratios (OR) and hazard ratios (HR) were estimated with 95% confidence interval (95% CI). Results: Patients Between February 2020 and September 2020, 100 consecutive patients were enrolled onto the prospective registry study at the University of Heidelberg, whereas the validation cohort comprised 126 patients (Munich, n=88; Ludwigshafen, n=38). Patient characteristics are summarized in Table 1 . The two cohorts were comparable in terms of gender and comorbidities, but patients from the prospective cohort were significantly older. Moreover, there were significant differences for the single EASIX parameters (higher LDH and platelets in the training cohort, higher creatinine in the validation cohort, resulting in a balanced EASIX ratio). Age positively correlated with both EASIX and LDH (Spearman-rho 0.316, p<0.001 for EASIX and 0.352, p<0.001 for LDH), whereas no correlation with age was found for creatinine and platelets. This association with age was similar in male and female patients. Patient characteristics. CVD, cardiovascular disease; LDH, lactate dehydrogenase; EASIX, endothelial activation and stress index. Between February 2020 and September 2020, 100 consecutive patients were enrolled onto the prospective registry study at the University of Heidelberg, whereas the validation cohort comprised 126 patients (Munich, n=88; Ludwigshafen, n=38). Patient characteristics are summarized in Table 1 . The two cohorts were comparable in terms of gender and comorbidities, but patients from the prospective cohort were significantly older. Moreover, there were significant differences for the single EASIX parameters (higher LDH and platelets in the training cohort, higher creatinine in the validation cohort, resulting in a balanced EASIX ratio). Age positively correlated with both EASIX and LDH (Spearman-rho 0.316, p<0.001 for EASIX and 0.352, p<0.001 for LDH), whereas no correlation with age was found for creatinine and platelets. This association with age was similar in male and female patients. Patient characteristics. CVD, cardiovascular disease; LDH, lactate dehydrogenase; EASIX, endothelial activation and stress index. EASIX and Outcome of COVID-19 Patients in the Prospective Cohort Within a median observation period of 61 days (95%CI 59-64 days), a total of 23 patients had V/D, including 13 deaths. EASIX showed a significant effect on V/D events within the observation period of 28 days in univariable (OR 3.4, 95%CI 1.8-6.3, p<0.001) and multivariable (OR 3.4, 95%CI 1.8-6.7, p<0.001) logistic regression analysis ( Table 2 ). Uni- and multivariable analyses for endpoint severe course of the disease and survival in the training and validation cohort. *logistic regression analysis; **Cox regression analysis. V/D, ventilation and/or death; EASIX, endothelial activation and stress index; HR, hazard ratio; CI, confidentiality interval. EASIX at admission was also a strong predictor of time to V/D (HR for a two-fold change 2.0, 95%CI 1.5-2.6, p<0.001) as well as survival (HR for a two-fold change 1.7, 95%CI 1.2-2.5, p=0.006). This strong effect was retained in multivariable analysis adjusting for age, gender, and comorbidities, although the reliability of this analysis is limited due to the small numbers of events ( Table 2 ). An EASIX cut-off optimized by maximal selected log rank statistics was identified for both endpoints (V/D and death) to be at >2.0 ( Supplementary Figure 1 ). Of note, only 3 of 21 V/D events and 1 of 13 deaths occurred among the patients who had an EASIX ≦2 ( Figure 1 ). Patient characteristics according to EASIX are shown in Supplementary Table 1 . Patients with EASIX>2 were older, predominantly male and more often had comorbidities. The expected differences (high LDH, high creatinine, low platelets for EASIX>2) were significant in all three single EASIX parameters ( Supplementary Table 1 ). Outcome of COVID-19 patients according to EASIX. Outcome of COVID-19 patients according to EASIX (cut-off 2) in the training cohort (left panels) and the validation cohort (right panels). (A) Cumulative incidence of severe courses of disease (mechanical ventilation and/or death, V/D). (B) Kaplan-Meier plots of overall survival. We observed significantly higher EASIX values ad admission to hospital in male as compared to female patients. Nevertheless, patients with V/D events had significantly higher EASIX values in both gender subgroups ( Supplementary Figure 2A ). EASIX-log2 and EASIX>2 significantly predicted V/D events in both, male and female patients. Within a median observation period of 61 days (95%CI 59-64 days), a total of 23 patients had V/D, including 13 deaths. EASIX showed a significant effect on V/D events within the observation period of 28 days in univariable (OR 3.4, 95%CI 1.8-6.3, p<0.001) and multivariable (OR 3.4, 95%CI 1.8-6.7, p<0.001) logistic regression analysis ( Table 2 ). Uni- and multivariable analyses for endpoint severe course of the disease and survival in the training and validation cohort. *logistic regression analysis; **Cox regression analysis. V/D, ventilation and/or death; EASIX, endothelial activation and stress index; HR, hazard ratio; CI, confidentiality interval. EASIX at admission was also a strong predictor of time to V/D (HR for a two-fold change 2.0, 95%CI 1.5-2.6, p<0.001) as well as survival (HR for a two-fold change 1.7, 95%CI 1.2-2.5, p=0.006). This strong effect was retained in multivariable analysis adjusting for age, gender, and comorbidities, although the reliability of this analysis is limited due to the small numbers of events ( Table 2 ). An EASIX cut-off optimized by maximal selected log rank statistics was identified for both endpoints (V/D and death) to be at >2.0 ( Supplementary Figure 1 ). Of note, only 3 of 21 V/D events and 1 of 13 deaths occurred among the patients who had an EASIX ≦2 ( Figure 1 ). Patient characteristics according to EASIX are shown in Supplementary Table 1 . Patients with EASIX>2 were older, predominantly male and more often had comorbidities. The expected differences (high LDH, high creatinine, low platelets for EASIX>2) were significant in all three single EASIX parameters ( Supplementary Table 1 ). Outcome of COVID-19 patients according to EASIX. Outcome of COVID-19 patients according to EASIX (cut-off 2) in the training cohort (left panels) and the validation cohort (right panels). (A) Cumulative incidence of severe courses of disease (mechanical ventilation and/or death, V/D). (B) Kaplan-Meier plots of overall survival. We observed significantly higher EASIX values ad admission to hospital in male as compared to female patients. Nevertheless, patients with V/D events had significantly higher EASIX values in both gender subgroups ( Supplementary Figure 2A ). EASIX-log2 and EASIX>2 significantly predicted V/D events in both, male and female patients. EASIX and Outcome of COVID-19 Patients in the Validation Cohort Within a median observation period of 41 days (IQR 24-56 days), a total of 33 patients had V/D in the validation cohort, including 12 deaths. Similar to the training cohort, EASIX was also significantly associated with V/D in the univariable logistic regression model (OR 6.2 (95%CI 3.0-12.8, p<0.001). Validation of the predictive impact of EASIX on V/D events was achieved by calculating the area under the ROC curve in the validation set with the model of the training cohort. We observed an AUC of 88.8% for the univariable and 87.9% for the multivariable model ( Supplementary Figure 3 ). Uni- and multivariable models confirmed the significant impact of EASIX on time to V/D and survival ( Table 2 ). Lower prediction errors confirmed the predictive effect of EASIX: Integrated Brier score (IBS) (time day+28) for time to V/D: reference 0.175, validation cohort based on the model developed for the training cohort: 0.126. Validation of the uni- and multivariable time-dependent models with the offset of the prospective cohort was performed using again the time-dependent Brier score. Lower prediction errors for prediction of V/D or survival were found both for uni- and multivariable models including EASIX (continuous variable) ( Supplementary Figure 4 ). Accordingly using the same EASIX cut-off as defined in the prospective cohort (≤2), the low-risk group in the validation cohort had a strongly reduced risk of V/D and death (9 of 33 V/D events and 2 of 12 deaths occurred among the patients who had an EASIX ≦2) ( Figure 1 ). Similar to the prospective cohort, the high-risk EASIX group (>2) of the validation set was enriched for elderly male patients and those with comorbidities ( Supplementary Table 1 ). Again, all three single EASIX parameters were significantly involved ( Supplementary Table 1 ). Within a median observation period of 41 days (IQR 24-56 days), a total of 33 patients had V/D in the validation cohort, including 12 deaths. Similar to the training cohort, EASIX was also significantly associated with V/D in the univariable logistic regression model (OR 6.2 (95%CI 3.0-12.8, p<0.001). Validation of the predictive impact of EASIX on V/D events was achieved by calculating the area under the ROC curve in the validation set with the model of the training cohort. We observed an AUC of 88.8% for the univariable and 87.9% for the multivariable model ( Supplementary Figure 3 ). Uni- and multivariable models confirmed the significant impact of EASIX on time to V/D and survival ( Table 2 ). Lower prediction errors confirmed the predictive effect of EASIX: Integrated Brier score (IBS) (time day+28) for time to V/D: reference 0.175, validation cohort based on the model developed for the training cohort: 0.126. Validation of the uni- and multivariable time-dependent models with the offset of the prospective cohort was performed using again the time-dependent Brier score. Lower prediction errors for prediction of V/D or survival were found both for uni- and multivariable models including EASIX (continuous variable) ( Supplementary Figure 4 ). Accordingly using the same EASIX cut-off as defined in the prospective cohort (≤2), the low-risk group in the validation cohort had a strongly reduced risk of V/D and death (9 of 33 V/D events and 2 of 12 deaths occurred among the patients who had an EASIX ≦2) ( Figure 1 ). Similar to the prospective cohort, the high-risk EASIX group (>2) of the validation set was enriched for elderly male patients and those with comorbidities ( Supplementary Table 1 ). Again, all three single EASIX parameters were significantly involved ( Supplementary Table 1 ). EASIX and Endothelial and Inflammatory Biomarkers Serum was only available for patients of the prospective cohort. Patients with V/D showed significantly higher serum levels of the endothelial markers ANG2, sCD141, ST2, and CXCL8 at admission (3.1-, 1.5-, 4.0- and 4.0-fold, respectively, Table 3 ). Similarly, the inflammatory markers CXCL9, IL18 and IL18BPa were also increased in patients with later severe disease courses (5.3-, 1.2- and 1.5-fold, respectively Table 3 ). EASIX>2 correlated significantly with increased serum levels at admission of both, endothelial and inflammatory markers ( Figure 2 ). Interferon-alpha (IFNα) serum levels above the lower detection threshold (1 pg/ml) were found in only 16 of 86 patients, and no association was observed with EASIX or severe courses of the disease. Similar to EASIX, we found that age correlated with all serum markers except IFNα (n=87, Spearman-rho, p): ANG2 0.355, <0.001; sCD141 0.397, <0.001; ST2 0.397, <0.001; CXCL8 0.347, <0.001; IL-18 0.318, 0.003; IL18BPa 0.260, 0.015, CXCL9 0.453, <0.001; IFNα -0.009, 0.932. In addition, the higher level of endothelial distress in male patients shown by EASIX was mirrored by ANG2, sCD141 and ST2 ( Supplementary Figures 2B–D ). Endothelial and immune markers at hospital admission in the training cohort (total, n=83; no V/D, n=62; V/D, n=21). ANG2, angiopoietin-2; sTM, soluble thrombomodulin; ST2, suppressor of tumorigenicity-2, CXCL8, chemokine-X-C-ligand 8, (interleukin 8); CXCL9, chemokine-X-C-ligand 9, (monokine induced by gamma interferon, MIG); IL18, interleukin 18; IL18BPa, interleukin 18 binding protein A; IFNα, interferon-alpha; IQR, interquartile range (IQR=Q3-Q1); V/D, ventilation and/or death (until day+28 after admission). Endothelial markers and EASIX. Boxplots of serum levels of endothelial markers according to the EASIX cut-off: angiopoietin-2 (ANG2), suppressor of tumorigenicity-2 (ST2), soluble thrombomodulin (sTM), CXCL8 (interleukin-8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18) and IL18 binding protein A (IL18BPa). P-values for Kruskal-Wallis tests, n=87. Spearman-rho correlation coefficients with EASIX as continuous variable (n=87): ANG2 0.355, p < 0.001; sCD141 0.397, p < 0.001; ST2 0.397, p < 0.001; CXCL8 0.347, p < 0.001; IL-18 0.318, p=0.003; IL18BPa 0.260, p=0.015, CXCL9 0.453, p < 0.001. Serum was only available for patients of the prospective cohort. Patients with V/D showed significantly higher serum levels of the endothelial markers ANG2, sCD141, ST2, and CXCL8 at admission (3.1-, 1.5-, 4.0- and 4.0-fold, respectively, Table 3 ). Similarly, the inflammatory markers CXCL9, IL18 and IL18BPa were also increased in patients with later severe disease courses (5.3-, 1.2- and 1.5-fold, respectively Table 3 ). EASIX>2 correlated significantly with increased serum levels at admission of both, endothelial and inflammatory markers ( Figure 2 ). Interferon-alpha (IFNα) serum levels above the lower detection threshold (1 pg/ml) were found in only 16 of 86 patients, and no association was observed with EASIX or severe courses of the disease. Similar to EASIX, we found that age correlated with all serum markers except IFNα (n=87, Spearman-rho, p): ANG2 0.355, <0.001; sCD141 0.397, <0.001; ST2 0.397, <0.001; CXCL8 0.347, <0.001; IL-18 0.318, 0.003; IL18BPa 0.260, 0.015, CXCL9 0.453, <0.001; IFNα -0.009, 0.932. In addition, the higher level of endothelial distress in male patients shown by EASIX was mirrored by ANG2, sCD141 and ST2 ( Supplementary Figures 2B–D ). Endothelial and immune markers at hospital admission in the training cohort (total, n=83; no V/D, n=62; V/D, n=21). ANG2, angiopoietin-2; sTM, soluble thrombomodulin; ST2, suppressor of tumorigenicity-2, CXCL8, chemokine-X-C-ligand 8, (interleukin 8); CXCL9, chemokine-X-C-ligand 9, (monokine induced by gamma interferon, MIG); IL18, interleukin 18; IL18BPa, interleukin 18 binding protein A; IFNα, interferon-alpha; IQR, interquartile range (IQR=Q3-Q1); V/D, ventilation and/or death (until day+28 after admission). Endothelial markers and EASIX. Boxplots of serum levels of endothelial markers according to the EASIX cut-off: angiopoietin-2 (ANG2), suppressor of tumorigenicity-2 (ST2), soluble thrombomodulin (sTM), CXCL8 (interleukin-8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18) and IL18 binding protein A (IL18BPa). P-values for Kruskal-Wallis tests, n=87. Spearman-rho correlation coefficients with EASIX as continuous variable (n=87): ANG2 0.355, p < 0.001; sCD141 0.397, p < 0.001; ST2 0.397, p < 0.001; CXCL8 0.347, p < 0.001; IL-18 0.318, p=0.003; IL18BPa 0.260, p=0.015, CXCL9 0.453, p < 0.001. Patients: Between February 2020 and September 2020, 100 consecutive patients were enrolled onto the prospective registry study at the University of Heidelberg, whereas the validation cohort comprised 126 patients (Munich, n=88; Ludwigshafen, n=38). Patient characteristics are summarized in Table 1 . The two cohorts were comparable in terms of gender and comorbidities, but patients from the prospective cohort were significantly older. Moreover, there were significant differences for the single EASIX parameters (higher LDH and platelets in the training cohort, higher creatinine in the validation cohort, resulting in a balanced EASIX ratio). Age positively correlated with both EASIX and LDH (Spearman-rho 0.316, p<0.001 for EASIX and 0.352, p<0.001 for LDH), whereas no correlation with age was found for creatinine and platelets. This association with age was similar in male and female patients. Patient characteristics. CVD, cardiovascular disease; LDH, lactate dehydrogenase; EASIX, endothelial activation and stress index. EASIX and Outcome of COVID-19 Patients in the Prospective Cohort: Within a median observation period of 61 days (95%CI 59-64 days), a total of 23 patients had V/D, including 13 deaths. EASIX showed a significant effect on V/D events within the observation period of 28 days in univariable (OR 3.4, 95%CI 1.8-6.3, p<0.001) and multivariable (OR 3.4, 95%CI 1.8-6.7, p<0.001) logistic regression analysis ( Table 2 ). Uni- and multivariable analyses for endpoint severe course of the disease and survival in the training and validation cohort. *logistic regression analysis; **Cox regression analysis. V/D, ventilation and/or death; EASIX, endothelial activation and stress index; HR, hazard ratio; CI, confidentiality interval. EASIX at admission was also a strong predictor of time to V/D (HR for a two-fold change 2.0, 95%CI 1.5-2.6, p<0.001) as well as survival (HR for a two-fold change 1.7, 95%CI 1.2-2.5, p=0.006). This strong effect was retained in multivariable analysis adjusting for age, gender, and comorbidities, although the reliability of this analysis is limited due to the small numbers of events ( Table 2 ). An EASIX cut-off optimized by maximal selected log rank statistics was identified for both endpoints (V/D and death) to be at >2.0 ( Supplementary Figure 1 ). Of note, only 3 of 21 V/D events and 1 of 13 deaths occurred among the patients who had an EASIX ≦2 ( Figure 1 ). Patient characteristics according to EASIX are shown in Supplementary Table 1 . Patients with EASIX>2 were older, predominantly male and more often had comorbidities. The expected differences (high LDH, high creatinine, low platelets for EASIX>2) were significant in all three single EASIX parameters ( Supplementary Table 1 ). Outcome of COVID-19 patients according to EASIX. Outcome of COVID-19 patients according to EASIX (cut-off 2) in the training cohort (left panels) and the validation cohort (right panels). (A) Cumulative incidence of severe courses of disease (mechanical ventilation and/or death, V/D). (B) Kaplan-Meier plots of overall survival. We observed significantly higher EASIX values ad admission to hospital in male as compared to female patients. Nevertheless, patients with V/D events had significantly higher EASIX values in both gender subgroups ( Supplementary Figure 2A ). EASIX-log2 and EASIX>2 significantly predicted V/D events in both, male and female patients. EASIX and Outcome of COVID-19 Patients in the Validation Cohort: Within a median observation period of 41 days (IQR 24-56 days), a total of 33 patients had V/D in the validation cohort, including 12 deaths. Similar to the training cohort, EASIX was also significantly associated with V/D in the univariable logistic regression model (OR 6.2 (95%CI 3.0-12.8, p<0.001). Validation of the predictive impact of EASIX on V/D events was achieved by calculating the area under the ROC curve in the validation set with the model of the training cohort. We observed an AUC of 88.8% for the univariable and 87.9% for the multivariable model ( Supplementary Figure 3 ). Uni- and multivariable models confirmed the significant impact of EASIX on time to V/D and survival ( Table 2 ). Lower prediction errors confirmed the predictive effect of EASIX: Integrated Brier score (IBS) (time day+28) for time to V/D: reference 0.175, validation cohort based on the model developed for the training cohort: 0.126. Validation of the uni- and multivariable time-dependent models with the offset of the prospective cohort was performed using again the time-dependent Brier score. Lower prediction errors for prediction of V/D or survival were found both for uni- and multivariable models including EASIX (continuous variable) ( Supplementary Figure 4 ). Accordingly using the same EASIX cut-off as defined in the prospective cohort (≤2), the low-risk group in the validation cohort had a strongly reduced risk of V/D and death (9 of 33 V/D events and 2 of 12 deaths occurred among the patients who had an EASIX ≦2) ( Figure 1 ). Similar to the prospective cohort, the high-risk EASIX group (>2) of the validation set was enriched for elderly male patients and those with comorbidities ( Supplementary Table 1 ). Again, all three single EASIX parameters were significantly involved ( Supplementary Table 1 ). EASIX and Endothelial and Inflammatory Biomarkers: Serum was only available for patients of the prospective cohort. Patients with V/D showed significantly higher serum levels of the endothelial markers ANG2, sCD141, ST2, and CXCL8 at admission (3.1-, 1.5-, 4.0- and 4.0-fold, respectively, Table 3 ). Similarly, the inflammatory markers CXCL9, IL18 and IL18BPa were also increased in patients with later severe disease courses (5.3-, 1.2- and 1.5-fold, respectively Table 3 ). EASIX>2 correlated significantly with increased serum levels at admission of both, endothelial and inflammatory markers ( Figure 2 ). Interferon-alpha (IFNα) serum levels above the lower detection threshold (1 pg/ml) were found in only 16 of 86 patients, and no association was observed with EASIX or severe courses of the disease. Similar to EASIX, we found that age correlated with all serum markers except IFNα (n=87, Spearman-rho, p): ANG2 0.355, <0.001; sCD141 0.397, <0.001; ST2 0.397, <0.001; CXCL8 0.347, <0.001; IL-18 0.318, 0.003; IL18BPa 0.260, 0.015, CXCL9 0.453, <0.001; IFNα -0.009, 0.932. In addition, the higher level of endothelial distress in male patients shown by EASIX was mirrored by ANG2, sCD141 and ST2 ( Supplementary Figures 2B–D ). Endothelial and immune markers at hospital admission in the training cohort (total, n=83; no V/D, n=62; V/D, n=21). ANG2, angiopoietin-2; sTM, soluble thrombomodulin; ST2, suppressor of tumorigenicity-2, CXCL8, chemokine-X-C-ligand 8, (interleukin 8); CXCL9, chemokine-X-C-ligand 9, (monokine induced by gamma interferon, MIG); IL18, interleukin 18; IL18BPa, interleukin 18 binding protein A; IFNα, interferon-alpha; IQR, interquartile range (IQR=Q3-Q1); V/D, ventilation and/or death (until day+28 after admission). Endothelial markers and EASIX. Boxplots of serum levels of endothelial markers according to the EASIX cut-off: angiopoietin-2 (ANG2), suppressor of tumorigenicity-2 (ST2), soluble thrombomodulin (sTM), CXCL8 (interleukin-8), CXCL9 (monokine induced by gamma interferon, MIG), interleukin-18 (IL18) and IL18 binding protein A (IL18BPa). P-values for Kruskal-Wallis tests, n=87. Spearman-rho correlation coefficients with EASIX as continuous variable (n=87): ANG2 0.355, p < 0.001; sCD141 0.397, p < 0.001; ST2 0.397, p < 0.001; CXCL8 0.347, p < 0.001; IL-18 0.318, p=0.003; IL18BPa 0.260, p=0.015, CXCL9 0.453, p < 0.001. Discussion: This study reports EASIX as a validated predictor of mechanical ventilation and/or death of hospitalized COVID-19 patients. Given the urgent clinical need of early distinction of unspectacular from severe COVID-19 courses, a large variety of prognostic markers have been proposed since the pandemic began in early 2020. These include, amongst others, high creatinine, high LDH, and low platelets (40–44). EASIX, however, amalgamates these markers into a score that distinguishes high- and low-risk patients with high accuracy: Whereas about half of those patients who present with EASIX ≥2 at admission will face a severe course and a mortality risk of 40%-60%, patients with admission EASIX <2 have a likelihood of severe complications of less than 15%, and less than 5% will die from the disease. This excellent selectivity of EASIX in COVID-19 might rely on the fact that it integrates biomarkers reflecting different mechanisms of endothelial dysfunction, thereby highlighting the endothelium as critical driver of COVID-19 pathogenesis (10–13). To further elucidate the involvement of the endothelium in COVID-19 and its relation to EASIX, we have applied an endothelial biomarker panel to COVID-19, including angiopoietin-2 (ANG2), soluble thrombomodulin (sTM), suppressor of tumorigenicity-2 protein (ST2), and correlated them with EASIX. ANG2 antagonizes ANG1 at the Tie2 receptor and enhances vascular permeability. This cytokine was already shown to associate with severe COVID-19 courses (16). sTM is lost from surfaces of distressed endothelial cells where it usually mediates endothelial protective effects (45). ST2 is also produced by distressed endothelial cells and is a predictor of cardiovascular death (46, 47). All three serum markers were shown to associate with endothelial complications and outcome after allogeneic stem cell transplantation (alloSCT) (19, 48, 49). Here we demonstrate that these three endothelial markers are strongly increased in patients with severe disease courses. Similarly, high EASIX ratios (≥2) strongly correlated with high serum levels of endothelial markers. In this line of evidence, circulating endothelial cells (CECs) and high Angiopoietin-2 were found to associate with severity of COVID-19 (16, 50, 51). Accordingly, the ESC Working Group for Atherosclerosis and Vascular Biology, and the ESC Council of Basic Cardiovascular Science proposed that endothelial biomarkers and tests of function should be evaluated for their usefulness in the risk stratification of COVID-19 patients (52). Due to the heterogeneity of endothelial response patterns it is difficult to define global or tissue specific endothelial distress markers that predict in all clinical settings. EASIX was developed to address this problem in allogeneic stem cell transplantation, where a variety of complications associating with non-relapse mortality represent endothelial complications. EASIX derives from diagnostic parameters associating with transplant-associated thrombotic microangiopathy (TAM) (21). High LDH, high creatinine and low platelets are the typical lab marker constellation in this microangiopathy, therefore we assessed if the ratio LDH*creatinine/platelets contains information on the endothelial system. Indeed, EASIX predicted TAM already prior to conditioning therapy, but it also predicted sinusoidal obstruction syndrome/veno-occlusive disease (SOS/VOD) (22), early fluid retention (26), and death after acute graft-versus-host disease (GVHD) (23). Recently, EASIX was also shown to predict survival of lower risk myelodysplastic syndromes (MDS) (27), which is a condition with a high risk of death from cardiovascular complications. There is now good evidence that EASIX indeed represents systemic endothelial dysfunction. This is further underlined by the correlation of EASIX with other endothelial stress markers measured at the beginning of hospitalization, such as ANG2, ST2 und soluble thrombomodulin. Endotheliitis and cardiovascular vulnerability of COVID-19 patients led us to test if EASIX might help to prognosticate this disease as well. We observed a gender-indifferent association of EASIX and LDH with age. Similarly, higher age strongly correlated with higher ANG2, ST2, and sCD141. In addition, male COVID-19 patients had significantly higher EASIX values, but also higher serum levels of ANG2, sCD141 and ST2. As neither age nor gender were associated with EASIX in other contexts (23, 24) we think that this reflects the higher vulnerability of elderly male endothelial cells towards viral challenge. In summary, EASIX is a reliable and validated early predictor of COVID19 outcome. Specifically, EASIX≥2 appears to be a valuable and easy-to-access tool to segregate patients in need for intensive surveillance because of high risk of severe complications and mortality from those who have a very low risk of a fatal outcome. This is of tremendous clinical importance since in the absence of an effective causal treatment for COVID-19 and with limited intensive care capacities, identification of markers reliably predicting the course of infection may help in efficient resource allocation during the pandemic. Moreover, the results of our study emphasize the importance of endothelial damage as a key factor in COVID-19 pathogenesis and may help deciphering disease biology. Further understanding of endothelial involvement may provide a rationale for interventions supporting endothelial cell integrity as part of clinical management of SARS-CoV-2 infected patients. Data Availability Statement: The raw data supporting the conclusions of this article will be made available by the authors, without undue reservation. Ethics Statement: The studies involving human participants were reviewed and approved by University Hospital Heidelberg Ethics Committee. The patients/participants provided their written informed consent to participate in this study. Author Contributions: All authors listed have made a substantial, direct, and intellectual contribution to the work and approved it for publication. Conflict of Interest: The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.
Background: The coronavirus disease 2019 (COVID-19) is caused by severe acute respiratory syndrome coronavirus-2 (SARS-CoV-2) and has evoked a pandemic that challenges public health-care systems worldwide. Endothelial cell dysfunction plays a key role in pathophysiology, and simple prognosticators may help to optimize allocation of limited resources. Endothelial activation and stress index (EASIX) is a validated predictor of endothelial complications and outcome after allogeneic stem cell transplantation. Aim of this study was to test if EASIX could predict life-threatening complications in patients with COVID-19. Methods: SARS-CoV-2-positive, hospitalized patients were enrolled onto a prospective non-interventional register study (n=100). Biomarkers were assessed at hospital admission. Primary endpoint was severe course of disease (mechanical ventilation and/or death, V/D). Results were validated in 126 patients treated in two independent institutions. Results: EASIX at admission was a strong predictor of severe course of the disease (odds ratio for a two-fold change 3.4, 95%CI 1.8-6.3, p<0.001), time to V/D (hazard ratio (HR) for a two-fold change 2.0, 95%CI 1.5-2.6, p<0.001) as well as survival (HR for a two-fold change 1.7, 95%CI 1.2-2.5, p=0.006). The effect was retained in multivariable analysis adjusting for age, gender, and comorbidities and could be validated in the independent cohort. At hospital admission EASIX correlated with increased suppressor of tumorigenicity-2, soluble thrombomodulin, angiopoietin-2, CXCL8, CXCL9 and interleukin-18, but not interferon-alpha. Conclusions: EASIX is a validated predictor of COVID19 outcome and an easy-to-access tool to segregate patients in need for intensive surveillance.
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10,507
330
[ 2412, 220, 376, 141, 457, 181, 505, 389, 526, 31, 26 ]
16
[ "easix", "patients", "endothelial", "cohort", "19", "001", "time", "covid 19", "covid", "disease" ]
[ "hospitalized covid", "19 pandemic clinical", "covid 19 mortality", "symptomatic sars cov", "sars cov infection" ]
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[CONTENT] endothelial activation and stress index | EASIX | SARS-CoV2 (COVID- 19) | suppressor of tumorigenicity 2 (ST2) | soluble thrombomodulin | angiopoietin-2 (Ang-2) | prediction of outcome [SUMMARY]
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[CONTENT] endothelial activation and stress index | EASIX | SARS-CoV2 (COVID- 19) | suppressor of tumorigenicity 2 (ST2) | soluble thrombomodulin | angiopoietin-2 (Ang-2) | prediction of outcome [SUMMARY]
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[CONTENT] endothelial activation and stress index | EASIX | SARS-CoV2 (COVID- 19) | suppressor of tumorigenicity 2 (ST2) | soluble thrombomodulin | angiopoietin-2 (Ang-2) | prediction of outcome [SUMMARY]
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[CONTENT] Adolescent | Adult | Aged | Aged, 80 and over | Biomarkers | COVID-19 | Endothelial Cells | Female | Hematopoietic Stem Cell Transplantation | Hospitalization | Humans | Male | Middle Aged | Prognosis | Prospective Studies | Respiration, Artificial | SARS-CoV-2 | Severity of Illness Index | Survival Analysis | Transplantation, Homologous | Treatment Outcome | Young Adult [SUMMARY]
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[CONTENT] Adolescent | Adult | Aged | Aged, 80 and over | Biomarkers | COVID-19 | Endothelial Cells | Female | Hematopoietic Stem Cell Transplantation | Hospitalization | Humans | Male | Middle Aged | Prognosis | Prospective Studies | Respiration, Artificial | SARS-CoV-2 | Severity of Illness Index | Survival Analysis | Transplantation, Homologous | Treatment Outcome | Young Adult [SUMMARY]
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[CONTENT] Adolescent | Adult | Aged | Aged, 80 and over | Biomarkers | COVID-19 | Endothelial Cells | Female | Hematopoietic Stem Cell Transplantation | Hospitalization | Humans | Male | Middle Aged | Prognosis | Prospective Studies | Respiration, Artificial | SARS-CoV-2 | Severity of Illness Index | Survival Analysis | Transplantation, Homologous | Treatment Outcome | Young Adult [SUMMARY]
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[CONTENT] hospitalized covid | 19 pandemic clinical | covid 19 mortality | symptomatic sars cov | sars cov infection [SUMMARY]
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[CONTENT] hospitalized covid | 19 pandemic clinical | covid 19 mortality | symptomatic sars cov | sars cov infection [SUMMARY]
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[CONTENT] hospitalized covid | 19 pandemic clinical | covid 19 mortality | symptomatic sars cov | sars cov infection [SUMMARY]
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[CONTENT] easix | patients | endothelial | cohort | 19 | 001 | time | covid 19 | covid | disease [SUMMARY]
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[CONTENT] easix | patients | endothelial | cohort | 19 | 001 | time | covid 19 | covid | disease [SUMMARY]
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[CONTENT] easix | patients | endothelial | cohort | 19 | 001 | time | covid 19 | covid | disease [SUMMARY]
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[CONTENT] 19 | covid 19 | covid | endothelial | complications | clinical | associated | easix | courses | predict [SUMMARY]
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[CONTENT] easix | cohort | 001 | patients | validation | table | supplementary | events | figure | markers [SUMMARY]
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[CONTENT] easix | patients | cohort | endothelial | 001 | 19 | time | covid 19 | covid | validation [SUMMARY]
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[CONTENT] 2019 | COVID-19 ||| ||| ||| COVID-19 [SUMMARY]
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[CONTENT] two-fold | 3.4 | 1.8-6.3 | two-fold | 2.0 | 1.5-2.6 | two-fold | 1.7 | 1.2-2.5 ||| ||| CXCL8 | CXCL9 | interleukin-18 [SUMMARY]
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[CONTENT] 2019 | COVID-19 ||| ||| ||| COVID-19 ||| ||| ||| ||| 126 | two ||| two-fold | 3.4 | 1.8-6.3 | two-fold | 2.0 | 1.5-2.6 | two-fold | 1.7 | 1.2-2.5 ||| ||| CXCL8 | CXCL9 | interleukin-18 ||| COVID19 [SUMMARY]
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Trends in Confirmed COVID-19 Cases in the Korean Military Before and After the Emergence of the Omicron Variant.
36038957
Due to the higher transmissibility and increased immune escape of the omicron variant of severe acute respiratory syndrome coronavirus 2, the number of patients with coronavirus disease 2019 (COVID-19) has skyrocketed in the Republic of Korea. Here, we analyzed the change in trend of the number of confirmed COVID-19 cases in the Korean military after the emergence of the omicron variant on December 5, 2021.
BACKGROUND
An interrupted time-series analysis was performed of the daily number of newly confirmed COVID-19 cases in the Korean military from September 1, 2021 to April 10, 2022, before and after the emergence of the omicron variant. Moreover, the daily number of newly confirmed COVID-19 cases in the Korean military and in the population of Korean civilians adjusted to the same with military were compared.
METHODS
The trends of COVID-19 occurrence in the military after emergence of the omicron variant was significantly increased (regression coefficient, 23.071; 95% confidence interval, 16.122-30.020; P < 0.001). The COVID-19 incidence rate in the Korean military was lower than that in the civilians, but after the emergence of the omicron variant, the increased incidence rate in the military followed that of the civilian population.
RESULTS
The outbreak of the omicron variant occurred in the Korean military despite maintaining high vaccination coverage and intensive non-pharmacological interventions.
CONCLUSION
[ "COVID-19", "Humans", "Military Personnel", "Republic of Korea", "SARS-CoV-2" ]
9424697
INTRODUCTION
The coronavirus disease 2019 (COVID-19) pandemic, declared by the World Health Organization in 2020, continues.1 Several effective vaccines have been developed against COVID-19, but the new omicron variant is more transmissible than the delta variant as well as increased immune escape.23 The number of confirmed COVID-19 cases increased markedly after the emergence of the omicron variant in Korea, even though the vaccination completion rate exceeded 80% in December 2021.4 In a previous study, we reported that the incidence rates of COVID-19 infection in the Korean military were lower than those in the general Korean population, due to mass vaccination of COVID-19 conducted from July 2021 to early August 2021.5 However, after the omicron variant became dominant in January 2022, the number of confirmed COVID-19 cases skyrocketed among military personnel, as it did among Korean civilians. During this period, to prevent the spread of the disease, the military maintained strict non-pharmacological interventions (NPI), such as performing proactive real-time reverse transcription polymerase chain reaction (PCR) testing and applying prolonged isolation guidelines. Further, mass vaccination with a third dose of COVID-19 vaccine was performed in December 2021. In this study, we analyzed the trend in the daily number of confirmed COVID-19 cases before and after the outbreak of the omicron variant on December 5, 2021 among the Korean military in a setting of intensive NPI and mass booster vaccination.
METHODS
Study design Epidemiological data of confirmed COVID-19 cases in the Korean military were collected from September 1, 2021 to April 10, 2022. The change in trend in the daily number of newly confirmed COVID-19 cases was analyzed using November 1 and December 5, 2021 as reference dates. November 1, 2021 was approximately 3 months after the end of administering the second dose of COVID-19 vaccine in military. Additionally, it was the time when the third dose of vaccine could be administered, according to the guidelines of the Korea Disease Control and Prevention Agency (KDCA) in relation to the waning of the protective effect of the vaccine against symptomatic COVID-19.6 December 5, 2021, was the first day of the week on which the first case of the omicron variant was detected in the Korean military. The trends in daily number of newly confirmed COVID-19 cases in the Korean military and in the population of Korean civilians adjusted to same population with the military are compared. The vaccination status of each confirmed COVID-19 case in the military was reviewed, and the change in the proportions of the status among confirmed cases were also checked. Epidemiological data of confirmed COVID-19 cases in the Korean military were collected from September 1, 2021 to April 10, 2022. The change in trend in the daily number of newly confirmed COVID-19 cases was analyzed using November 1 and December 5, 2021 as reference dates. November 1, 2021 was approximately 3 months after the end of administering the second dose of COVID-19 vaccine in military. Additionally, it was the time when the third dose of vaccine could be administered, according to the guidelines of the Korea Disease Control and Prevention Agency (KDCA) in relation to the waning of the protective effect of the vaccine against symptomatic COVID-19.6 December 5, 2021, was the first day of the week on which the first case of the omicron variant was detected in the Korean military. The trends in daily number of newly confirmed COVID-19 cases in the Korean military and in the population of Korean civilians adjusted to same population with the military are compared. The vaccination status of each confirmed COVID-19 case in the military was reviewed, and the change in the proportions of the status among confirmed cases were also checked. Definitions As of September 2021, 567,062 military personnel were on active duty as officers and soldiers in the Korean military. According to previous research about immunity waning after vaccination,7 if less than 3 months had passed since the second dose of vaccine (one dose for the Ad.26.COV2.S vaccine) or after the booster vaccination, individuals with confirmed COVID-19 were classified as “fully vaccinated.” Conversely, if more than 3 months had passed since the primary vaccination, the cases were classified as “not adequately vaccinated.” As of September 2021, 567,062 military personnel were on active duty as officers and soldiers in the Korean military. According to previous research about immunity waning after vaccination,7 if less than 3 months had passed since the second dose of vaccine (one dose for the Ad.26.COV2.S vaccine) or after the booster vaccination, individuals with confirmed COVID-19 were classified as “fully vaccinated.” Conversely, if more than 3 months had passed since the primary vaccination, the cases were classified as “not adequately vaccinated.” Diagnostic tests for COVID-19 and severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) variants Diagnosis of COVID-19 and variant testing was conducted in both the Korean military and civilian laboratory institutions, and detailed methods are described in Supplementary Data 1. Confirmed COVID-19 cases were diagnosed by PCR testing of respiratory specimens, approved by the Ministry of Food and Drug Safety of the Republic of Korea.8 From March 14, 2022, rapid antigen testing was also approved for confirmatory testing in the military and individuals with a positive rapid antigen test result were regarded as confirmed COVID-19 cases. The 2 variant tests in the military were conducted by the Armed Forces Medical Research Institute and were performed on mean 16 samples (standard deviation 13) per week randomly selected from samples of military personnel with confirmed COVID-19. Diagnosis of COVID-19 and variant testing was conducted in both the Korean military and civilian laboratory institutions, and detailed methods are described in Supplementary Data 1. Confirmed COVID-19 cases were diagnosed by PCR testing of respiratory specimens, approved by the Ministry of Food and Drug Safety of the Republic of Korea.8 From March 14, 2022, rapid antigen testing was also approved for confirmatory testing in the military and individuals with a positive rapid antigen test result were regarded as confirmed COVID-19 cases. The 2 variant tests in the military were conducted by the Armed Forces Medical Research Institute and were performed on mean 16 samples (standard deviation 13) per week randomly selected from samples of military personnel with confirmed COVID-19. Vaccination strategy in the Korean military The major events, including mass COVID-19 vaccination are summarized in Fig. 1. After the second dose of vaccine (June 26 to August 6, 2021), 85.730% of military personnel were fully vaccinated by September 15, 2021. The exact vaccine coverage was not monitored after the end of vaccination program, but the vaccination coverage continued to increase due to a strong vaccination incentive policy. Non-vaccinated personnel were required to have weekly PCR tests, and were disincentivized by various quarantine guidelines, including leave. New recruits were strongly recommended to undergo vaccination before joining the military camps. However, because this recommendation was not well followed, and cluster infections occurred among unvaccinated soldiers, vaccination of trainees was started in the camps on September 27, 2021. COVID-19 = coronavirus disease 2019. aMilitary personnel who received the first dose of ChAdOx1 nCoV-19 vaccine were given a second dose of ChAdOx1 nCoV-19 or BNT162b2 vaccine, depending on the individual’s choice. Excluding the untracked units under the direct control of the Ministry of National Defense, which make up 4.4% of the military, mass vaccination was performed as follows: ChAdOx1 nCoV-19, 0.67%; BNT162b2, 78.12%; Ad.26.COV2.S, 0.57%; and heterologous vaccination (ChAdOx1 nCoV-19 followed by BNT162b2), 20.64%. bAll military personnel received the BNT162b2 vaccine as the third dose of vaccine. Individuals who were vaccinated in civilian institutions were considered as having missing data. After the booster vaccination (December 6, 2021, to January 14, 2022), 62.216% of military personnel received a booster dose of the BNT162b2 vaccine by January 14, 2022. The military strongly recommended a booster vaccination if more than 3 months had passed since the primary vaccination, and after 6 months without a booster vaccination, personnel were treated the same as those who had not been vaccinated. The major events, including mass COVID-19 vaccination are summarized in Fig. 1. After the second dose of vaccine (June 26 to August 6, 2021), 85.730% of military personnel were fully vaccinated by September 15, 2021. The exact vaccine coverage was not monitored after the end of vaccination program, but the vaccination coverage continued to increase due to a strong vaccination incentive policy. Non-vaccinated personnel were required to have weekly PCR tests, and were disincentivized by various quarantine guidelines, including leave. New recruits were strongly recommended to undergo vaccination before joining the military camps. However, because this recommendation was not well followed, and cluster infections occurred among unvaccinated soldiers, vaccination of trainees was started in the camps on September 27, 2021. COVID-19 = coronavirus disease 2019. aMilitary personnel who received the first dose of ChAdOx1 nCoV-19 vaccine were given a second dose of ChAdOx1 nCoV-19 or BNT162b2 vaccine, depending on the individual’s choice. Excluding the untracked units under the direct control of the Ministry of National Defense, which make up 4.4% of the military, mass vaccination was performed as follows: ChAdOx1 nCoV-19, 0.67%; BNT162b2, 78.12%; Ad.26.COV2.S, 0.57%; and heterologous vaccination (ChAdOx1 nCoV-19 followed by BNT162b2), 20.64%. bAll military personnel received the BNT162b2 vaccine as the third dose of vaccine. Individuals who were vaccinated in civilian institutions were considered as having missing data. After the booster vaccination (December 6, 2021, to January 14, 2022), 62.216% of military personnel received a booster dose of the BNT162b2 vaccine by January 14, 2022. The military strongly recommended a booster vaccination if more than 3 months had passed since the primary vaccination, and after 6 months without a booster vaccination, personnel were treated the same as those who had not been vaccinated. NPI in the Korean military The strict NPI strategy in the military is detailed in Supplementary Data 2. Periodic PCR tests were not performed on asymptomatic personnel, but non-vaccinated personnel were required to have weekly PCR tests as part of the vaccination incentive policy. Personnel had to undergo 2 PCR tests if they had had close contact or shared an area of activity with individuals with confirmed COVID-19. Thus, if 1 case was confirmed, it often caused more than 1 battalion to be tested. For individuals with confirmed COVID-19, the isolation period was 14 days, which was longer than the 7 days of the KDCA guidelines. The strict NPI strategy in the military is detailed in Supplementary Data 2. Periodic PCR tests were not performed on asymptomatic personnel, but non-vaccinated personnel were required to have weekly PCR tests as part of the vaccination incentive policy. Personnel had to undergo 2 PCR tests if they had had close contact or shared an area of activity with individuals with confirmed COVID-19. Thus, if 1 case was confirmed, it often caused more than 1 battalion to be tested. For individuals with confirmed COVID-19, the isolation period was 14 days, which was longer than the 7 days of the KDCA guidelines. Statistical analysis The trend in the daily number of newly confirmed COVID-19 cases in the Korean military was analyzed using segmented regression analysis of interrupted time-series.9 Statistical significance was set at P < 0.050. Level change is a difference in the absolute value of confirmed cases, and the difference in trends was shown as the trend change. If the trend change was positive, there was a statistically significant increase based on the reference date. The detailed methods of analysis and modeling are described in Supplementary Data 3. All statistical analyses were performed using R version 4.2.0 (R Core Team, Vienna, Austria). The trend in the daily number of newly confirmed COVID-19 cases in the Korean military was analyzed using segmented regression analysis of interrupted time-series.9 Statistical significance was set at P < 0.050. Level change is a difference in the absolute value of confirmed cases, and the difference in trends was shown as the trend change. If the trend change was positive, there was a statistically significant increase based on the reference date. The detailed methods of analysis and modeling are described in Supplementary Data 3. All statistical analyses were performed using R version 4.2.0 (R Core Team, Vienna, Austria). Ethics statement This study was approved by the Institutional Review Board of the Armed Forces Capital Hospital (No. AFMC-202202-HR-010-01), and the need to obtain written informed consent was waived by the board because of the retrospective nature of the study. This study was approved by the Institutional Review Board of the Armed Forces Capital Hospital (No. AFMC-202202-HR-010-01), and the need to obtain written informed consent was waived by the board because of the retrospective nature of the study.
RESULTS
Daily number of confirmed COVID-19 cases in the Korean military before and after the emergence of the omicron variant The daily number of newly confirmed COVID-19 cases in the Korean military is shown in Fig. 2. A statistically significant increase trend for COVID-19 occurrence after emergence of the omicron variant was observed (regression coefficient, 23.071; 95% confidence interval [CI], 16.122–30.020; P < 0.001). Soldiers accounted for 51.800% of the confirmed cases during the study period. However, since there are 1.684 times more soldiers than officers among military personnel, the incidence rate of COVID-19 was 1.567 times higher in officers than in soldiers. Even after the emergence of the omicron variant, the incidence rate of officers was 1.566 times higher than that of soldiers. COVID-19 = coronavirus disease 2019, CI = confidence interval. aThe trends in daily confirmed COVID-19 cases in Korean civilians adjusted to same population with the military are shown. bThe change in trend in the daily number of confirmed COVID-19 cases in military was analyzed before and after December 5, 2021, when the first case with the omicron variant was detected in the Korean military. The trend was analyzed using segmented regression analysis of interrupted time-series. cThe Armed Forces Medical Research Institute conducted variant tests on a mean of 16 samples (standard deviation: 13) of personnel with confirmed COVID-19 per week. The data on Korean civilians was obtained from the data published weekly by the Korea Disease Control and Prevention Agency (uniform resource locator: https://www.kdca.go.kr/contents.es?mid=a20107040000). The trends in daily number of newly confirmed COVID-19 cases in the population of Korean civilians adjusted to same population with the military are also described. The vaccination completion rate among Korean civilians was 41.36% by the end of the primary vaccination phase of the military, 75.97% by November 1, 2021, and 80.84% by December 5, 2021.4 The booster vaccination coverage among Korean civilians was 44.96% after completion of the third vaccination phase of the military, and 64.18% at April 10, 2022, at the end of the study period. When the study period was divided into 3 periods based on the November 1 and December 5, 2021 reference dates, the number of daily confirmed cases among Korean civilians adjusted to same population with the military was a mean of 5.553 (standard deviation [SD] ± 4.918), 4.190 (SD ± 3.459), and 2.273 (SD ± 2.988) times higher than that of military personnel. The proportion of the delta and omicron variants among confirmed COVID-19 cases over time is shown in Fig. 2. Among military personnel, the proportion of cases due to the omicron variant exceeded 50% on January 2, 2022, and the omicron variant emerged more rapidly among military personnel than among Korean civilians. The daily number of newly confirmed COVID-19 cases in the Korean military is shown in Fig. 2. A statistically significant increase trend for COVID-19 occurrence after emergence of the omicron variant was observed (regression coefficient, 23.071; 95% confidence interval [CI], 16.122–30.020; P < 0.001). Soldiers accounted for 51.800% of the confirmed cases during the study period. However, since there are 1.684 times more soldiers than officers among military personnel, the incidence rate of COVID-19 was 1.567 times higher in officers than in soldiers. Even after the emergence of the omicron variant, the incidence rate of officers was 1.566 times higher than that of soldiers. COVID-19 = coronavirus disease 2019, CI = confidence interval. aThe trends in daily confirmed COVID-19 cases in Korean civilians adjusted to same population with the military are shown. bThe change in trend in the daily number of confirmed COVID-19 cases in military was analyzed before and after December 5, 2021, when the first case with the omicron variant was detected in the Korean military. The trend was analyzed using segmented regression analysis of interrupted time-series. cThe Armed Forces Medical Research Institute conducted variant tests on a mean of 16 samples (standard deviation: 13) of personnel with confirmed COVID-19 per week. The data on Korean civilians was obtained from the data published weekly by the Korea Disease Control and Prevention Agency (uniform resource locator: https://www.kdca.go.kr/contents.es?mid=a20107040000). The trends in daily number of newly confirmed COVID-19 cases in the population of Korean civilians adjusted to same population with the military are also described. The vaccination completion rate among Korean civilians was 41.36% by the end of the primary vaccination phase of the military, 75.97% by November 1, 2021, and 80.84% by December 5, 2021.4 The booster vaccination coverage among Korean civilians was 44.96% after completion of the third vaccination phase of the military, and 64.18% at April 10, 2022, at the end of the study period. When the study period was divided into 3 periods based on the November 1 and December 5, 2021 reference dates, the number of daily confirmed cases among Korean civilians adjusted to same population with the military was a mean of 5.553 (standard deviation [SD] ± 4.918), 4.190 (SD ± 3.459), and 2.273 (SD ± 2.988) times higher than that of military personnel. The proportion of the delta and omicron variants among confirmed COVID-19 cases over time is shown in Fig. 2. Among military personnel, the proportion of cases due to the omicron variant exceeded 50% on January 2, 2022, and the omicron variant emerged more rapidly among military personnel than among Korean civilians. Daily number of confirmed COVID-19 cases in the Korean military during the wave of the delta variant The number of newly confirmed COVID-19 cases per day in the period when almost 100% of the confirmed cases were due to the delta variant is shown in Supplementary Fig. 1. With the reference date of November 1, 2021, approximately 3 months after the primary vaccination in the military, the number of confirmed COVID-19 cases increased significantly (regression coefficient, 0.832; 95% CI, 0.418–1.245; P < 0.001). The number of newly confirmed COVID-19 cases per day in the period when almost 100% of the confirmed cases were due to the delta variant is shown in Supplementary Fig. 1. With the reference date of November 1, 2021, approximately 3 months after the primary vaccination in the military, the number of confirmed COVID-19 cases increased significantly (regression coefficient, 0.832; 95% CI, 0.418–1.245; P < 0.001). Trend in vaccination coverage of Korean military personnel with confirmed COVID-19 by week The vaccination coverage of Korean military personnel with confirmed COVID-19 is shown by week in Supplementary Fig. 2. Except for a cluster of cases of COVID-19 at the beginning of October 2021 among personnel on a naval warship who had departed without vaccination, the proportion of confirmed cases of COVID-19 in unvaccinated personnel, who accounted for less than 10% of all military personnel, was similar to that among vaccinated personnel. Due to the mass vaccination with a second dose of vaccine in July 2021, the proportion of individuals classified as “not adequately vaccinated” increased from October 2021, and when the third vaccination was carried out from December 6, 2021, to January 14, 2022, the proportion of fully vaccinated confirmed personnel increased. The vaccination coverage of Korean military personnel with confirmed COVID-19 is shown by week in Supplementary Fig. 2. Except for a cluster of cases of COVID-19 at the beginning of October 2021 among personnel on a naval warship who had departed without vaccination, the proportion of confirmed cases of COVID-19 in unvaccinated personnel, who accounted for less than 10% of all military personnel, was similar to that among vaccinated personnel. Due to the mass vaccination with a second dose of vaccine in July 2021, the proportion of individuals classified as “not adequately vaccinated” increased from October 2021, and when the third vaccination was carried out from December 6, 2021, to January 14, 2022, the proportion of fully vaccinated confirmed personnel increased.
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[ "Study design", "Definitions", "Diagnostic tests for COVID-19 and severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) variants", "Vaccination strategy in the Korean military", "NPI in the Korean military", "Statistical analysis", "Daily number of confirmed COVID-19 cases in the Korean military before and after the emergence of the omicron variant", "Daily number of confirmed COVID-19 cases in the Korean military during the wave of the delta variant", "Trend in vaccination coverage of Korean military personnel with confirmed COVID-19 by week" ]
[ "Epidemiological data of confirmed COVID-19 cases in the Korean military were collected from September 1, 2021 to April 10, 2022. The change in trend in the daily number of newly confirmed COVID-19 cases was analyzed using November 1 and December 5, 2021 as reference dates. November 1, 2021 was approximately 3 months after the end of administering the second dose of COVID-19 vaccine in military. Additionally, it was the time when the third dose of vaccine could be administered, according to the guidelines of the Korea Disease Control and Prevention Agency (KDCA) in relation to the waning of the protective effect of the vaccine against symptomatic COVID-19.6 December 5, 2021, was the first day of the week on which the first case of the omicron variant was detected in the Korean military.\nThe trends in daily number of newly confirmed COVID-19 cases in the Korean military and in the population of Korean civilians adjusted to same population with the military are compared. The vaccination status of each confirmed COVID-19 case in the military was reviewed, and the change in the proportions of the status among confirmed cases were also checked.", "As of September 2021, 567,062 military personnel were on active duty as officers and soldiers in the Korean military. According to previous research about immunity waning after vaccination,7 if less than 3 months had passed since the second dose of vaccine (one dose for the Ad.26.COV2.S vaccine) or after the booster vaccination, individuals with confirmed COVID-19 were classified as “fully vaccinated.” Conversely, if more than 3 months had passed since the primary vaccination, the cases were classified as “not adequately vaccinated.”", "Diagnosis of COVID-19 and variant testing was conducted in both the Korean military and civilian laboratory institutions, and detailed methods are described in Supplementary Data 1. Confirmed COVID-19 cases were diagnosed by PCR testing of respiratory specimens, approved by the Ministry of Food and Drug Safety of the Republic of Korea.8 From March 14, 2022, rapid antigen testing was also approved for confirmatory testing in the military and individuals with a positive rapid antigen test result were regarded as confirmed COVID-19 cases. The 2 variant tests in the military were conducted by the Armed Forces Medical Research Institute and were performed on mean 16 samples (standard deviation 13) per week randomly selected from samples of military personnel with confirmed COVID-19.", "The major events, including mass COVID-19 vaccination are summarized in Fig. 1. After the second dose of vaccine (June 26 to August 6, 2021), 85.730% of military personnel were fully vaccinated by September 15, 2021. The exact vaccine coverage was not monitored after the end of vaccination program, but the vaccination coverage continued to increase due to a strong vaccination incentive policy. Non-vaccinated personnel were required to have weekly PCR tests, and were disincentivized by various quarantine guidelines, including leave. New recruits were strongly recommended to undergo vaccination before joining the military camps. However, because this recommendation was not well followed, and cluster infections occurred among unvaccinated soldiers, vaccination of trainees was started in the camps on September 27, 2021.\nCOVID-19 = coronavirus disease 2019.\naMilitary personnel who received the first dose of ChAdOx1 nCoV-19 vaccine were given a second dose of ChAdOx1 nCoV-19 or BNT162b2 vaccine, depending on the individual’s choice. Excluding the untracked units under the direct control of the Ministry of National Defense, which make up 4.4% of the military, mass vaccination was performed as follows: ChAdOx1 nCoV-19, 0.67%; BNT162b2, 78.12%; Ad.26.COV2.S, 0.57%; and heterologous vaccination (ChAdOx1 nCoV-19 followed by BNT162b2), 20.64%.\nbAll military personnel received the BNT162b2 vaccine as the third dose of vaccine. Individuals who were vaccinated in civilian institutions were considered as having missing data.\nAfter the booster vaccination (December 6, 2021, to January 14, 2022), 62.216% of military personnel received a booster dose of the BNT162b2 vaccine by January 14, 2022. The military strongly recommended a booster vaccination if more than 3 months had passed since the primary vaccination, and after 6 months without a booster vaccination, personnel were treated the same as those who had not been vaccinated.", "The strict NPI strategy in the military is detailed in Supplementary Data 2. Periodic PCR tests were not performed on asymptomatic personnel, but non-vaccinated personnel were required to have weekly PCR tests as part of the vaccination incentive policy. Personnel had to undergo 2 PCR tests if they had had close contact or shared an area of activity with individuals with confirmed COVID-19. Thus, if 1 case was confirmed, it often caused more than 1 battalion to be tested. For individuals with confirmed COVID-19, the isolation period was 14 days, which was longer than the 7 days of the KDCA guidelines.", "The trend in the daily number of newly confirmed COVID-19 cases in the Korean military was analyzed using segmented regression analysis of interrupted time-series.9 Statistical significance was set at P < 0.050. Level change is a difference in the absolute value of confirmed cases, and the difference in trends was shown as the trend change. If the trend change was positive, there was a statistically significant increase based on the reference date. The detailed methods of analysis and modeling are described in Supplementary Data 3. All statistical analyses were performed using R version 4.2.0 (R Core Team, Vienna, Austria).", "The daily number of newly confirmed COVID-19 cases in the Korean military is shown in Fig. 2. A statistically significant increase trend for COVID-19 occurrence after emergence of the omicron variant was observed (regression coefficient, 23.071; 95% confidence interval [CI], 16.122–30.020; P < 0.001). Soldiers accounted for 51.800% of the confirmed cases during the study period. However, since there are 1.684 times more soldiers than officers among military personnel, the incidence rate of COVID-19 was 1.567 times higher in officers than in soldiers. Even after the emergence of the omicron variant, the incidence rate of officers was 1.566 times higher than that of soldiers.\nCOVID-19 = coronavirus disease 2019, CI = confidence interval.\naThe trends in daily confirmed COVID-19 cases in Korean civilians adjusted to same population with the military are shown.\nbThe change in trend in the daily number of confirmed COVID-19 cases in military was analyzed before and after December 5, 2021, when the first case with the omicron variant was detected in the Korean military. The trend was analyzed using segmented regression analysis of interrupted time-series.\ncThe Armed Forces Medical Research Institute conducted variant tests on a mean of 16 samples (standard deviation: 13) of personnel with confirmed COVID-19 per week. The data on Korean civilians was obtained from the data published weekly by the Korea Disease Control and Prevention Agency (uniform resource locator: https://www.kdca.go.kr/contents.es?mid=a20107040000).\nThe trends in daily number of newly confirmed COVID-19 cases in the population of Korean civilians adjusted to same population with the military are also described. The vaccination completion rate among Korean civilians was 41.36% by the end of the primary vaccination phase of the military, 75.97% by November 1, 2021, and 80.84% by December 5, 2021.4 The booster vaccination coverage among Korean civilians was 44.96% after completion of the third vaccination phase of the military, and 64.18% at April 10, 2022, at the end of the study period. When the study period was divided into 3 periods based on the November 1 and December 5, 2021 reference dates, the number of daily confirmed cases among Korean civilians adjusted to same population with the military was a mean of 5.553 (standard deviation [SD] ± 4.918), 4.190 (SD ± 3.459), and 2.273 (SD ± 2.988) times higher than that of military personnel. The proportion of the delta and omicron variants among confirmed COVID-19 cases over time is shown in Fig. 2. Among military personnel, the proportion of cases due to the omicron variant exceeded 50% on January 2, 2022, and the omicron variant emerged more rapidly among military personnel than among Korean civilians.", "The number of newly confirmed COVID-19 cases per day in the period when almost 100% of the confirmed cases were due to the delta variant is shown in Supplementary Fig. 1. With the reference date of November 1, 2021, approximately 3 months after the primary vaccination in the military, the number of confirmed COVID-19 cases increased significantly (regression coefficient, 0.832; 95% CI, 0.418–1.245; P < 0.001).", "The vaccination coverage of Korean military personnel with confirmed COVID-19 is shown by week in Supplementary Fig. 2. Except for a cluster of cases of COVID-19 at the beginning of October 2021 among personnel on a naval warship who had departed without vaccination, the proportion of confirmed cases of COVID-19 in unvaccinated personnel, who accounted for less than 10% of all military personnel, was similar to that among vaccinated personnel. Due to the mass vaccination with a second dose of vaccine in July 2021, the proportion of individuals classified as “not adequately vaccinated” increased from October 2021, and when the third vaccination was carried out from December 6, 2021, to January 14, 2022, the proportion of fully vaccinated confirmed personnel increased." ]
[ null, null, null, null, null, null, null, null, null ]
[ "INTRODUCTION", "METHODS", "Study design", "Definitions", "Diagnostic tests for COVID-19 and severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) variants", "Vaccination strategy in the Korean military", "NPI in the Korean military", "Statistical analysis", "Ethics statement", "RESULTS", "Daily number of confirmed COVID-19 cases in the Korean military before and after the emergence of the omicron variant", "Daily number of confirmed COVID-19 cases in the Korean military during the wave of the delta variant", "Trend in vaccination coverage of Korean military personnel with confirmed COVID-19 by week", "DISCUSSION" ]
[ "The coronavirus disease 2019 (COVID-19) pandemic, declared by the World Health Organization in 2020, continues.1 Several effective vaccines have been developed against COVID-19, but the new omicron variant is more transmissible than the delta variant as well as increased immune escape.23 The number of confirmed COVID-19 cases increased markedly after the emergence of the omicron variant in Korea, even though the vaccination completion rate exceeded 80% in December 2021.4\nIn a previous study, we reported that the incidence rates of COVID-19 infection in the Korean military were lower than those in the general Korean population, due to mass vaccination of COVID-19 conducted from July 2021 to early August 2021.5 However, after the omicron variant became dominant in January 2022, the number of confirmed COVID-19 cases skyrocketed among military personnel, as it did among Korean civilians. During this period, to prevent the spread of the disease, the military maintained strict non-pharmacological interventions (NPI), such as performing proactive real-time reverse transcription polymerase chain reaction (PCR) testing and applying prolonged isolation guidelines. Further, mass vaccination with a third dose of COVID-19 vaccine was performed in December 2021.\nIn this study, we analyzed the trend in the daily number of confirmed COVID-19 cases before and after the outbreak of the omicron variant on December 5, 2021 among the Korean military in a setting of intensive NPI and mass booster vaccination.", "Study design Epidemiological data of confirmed COVID-19 cases in the Korean military were collected from September 1, 2021 to April 10, 2022. The change in trend in the daily number of newly confirmed COVID-19 cases was analyzed using November 1 and December 5, 2021 as reference dates. November 1, 2021 was approximately 3 months after the end of administering the second dose of COVID-19 vaccine in military. Additionally, it was the time when the third dose of vaccine could be administered, according to the guidelines of the Korea Disease Control and Prevention Agency (KDCA) in relation to the waning of the protective effect of the vaccine against symptomatic COVID-19.6 December 5, 2021, was the first day of the week on which the first case of the omicron variant was detected in the Korean military.\nThe trends in daily number of newly confirmed COVID-19 cases in the Korean military and in the population of Korean civilians adjusted to same population with the military are compared. The vaccination status of each confirmed COVID-19 case in the military was reviewed, and the change in the proportions of the status among confirmed cases were also checked.\nEpidemiological data of confirmed COVID-19 cases in the Korean military were collected from September 1, 2021 to April 10, 2022. The change in trend in the daily number of newly confirmed COVID-19 cases was analyzed using November 1 and December 5, 2021 as reference dates. November 1, 2021 was approximately 3 months after the end of administering the second dose of COVID-19 vaccine in military. Additionally, it was the time when the third dose of vaccine could be administered, according to the guidelines of the Korea Disease Control and Prevention Agency (KDCA) in relation to the waning of the protective effect of the vaccine against symptomatic COVID-19.6 December 5, 2021, was the first day of the week on which the first case of the omicron variant was detected in the Korean military.\nThe trends in daily number of newly confirmed COVID-19 cases in the Korean military and in the population of Korean civilians adjusted to same population with the military are compared. The vaccination status of each confirmed COVID-19 case in the military was reviewed, and the change in the proportions of the status among confirmed cases were also checked.\nDefinitions As of September 2021, 567,062 military personnel were on active duty as officers and soldiers in the Korean military. According to previous research about immunity waning after vaccination,7 if less than 3 months had passed since the second dose of vaccine (one dose for the Ad.26.COV2.S vaccine) or after the booster vaccination, individuals with confirmed COVID-19 were classified as “fully vaccinated.” Conversely, if more than 3 months had passed since the primary vaccination, the cases were classified as “not adequately vaccinated.”\nAs of September 2021, 567,062 military personnel were on active duty as officers and soldiers in the Korean military. According to previous research about immunity waning after vaccination,7 if less than 3 months had passed since the second dose of vaccine (one dose for the Ad.26.COV2.S vaccine) or after the booster vaccination, individuals with confirmed COVID-19 were classified as “fully vaccinated.” Conversely, if more than 3 months had passed since the primary vaccination, the cases were classified as “not adequately vaccinated.”\nDiagnostic tests for COVID-19 and severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) variants Diagnosis of COVID-19 and variant testing was conducted in both the Korean military and civilian laboratory institutions, and detailed methods are described in Supplementary Data 1. Confirmed COVID-19 cases were diagnosed by PCR testing of respiratory specimens, approved by the Ministry of Food and Drug Safety of the Republic of Korea.8 From March 14, 2022, rapid antigen testing was also approved for confirmatory testing in the military and individuals with a positive rapid antigen test result were regarded as confirmed COVID-19 cases. The 2 variant tests in the military were conducted by the Armed Forces Medical Research Institute and were performed on mean 16 samples (standard deviation 13) per week randomly selected from samples of military personnel with confirmed COVID-19.\nDiagnosis of COVID-19 and variant testing was conducted in both the Korean military and civilian laboratory institutions, and detailed methods are described in Supplementary Data 1. Confirmed COVID-19 cases were diagnosed by PCR testing of respiratory specimens, approved by the Ministry of Food and Drug Safety of the Republic of Korea.8 From March 14, 2022, rapid antigen testing was also approved for confirmatory testing in the military and individuals with a positive rapid antigen test result were regarded as confirmed COVID-19 cases. The 2 variant tests in the military were conducted by the Armed Forces Medical Research Institute and were performed on mean 16 samples (standard deviation 13) per week randomly selected from samples of military personnel with confirmed COVID-19.\nVaccination strategy in the Korean military The major events, including mass COVID-19 vaccination are summarized in Fig. 1. After the second dose of vaccine (June 26 to August 6, 2021), 85.730% of military personnel were fully vaccinated by September 15, 2021. The exact vaccine coverage was not monitored after the end of vaccination program, but the vaccination coverage continued to increase due to a strong vaccination incentive policy. Non-vaccinated personnel were required to have weekly PCR tests, and were disincentivized by various quarantine guidelines, including leave. New recruits were strongly recommended to undergo vaccination before joining the military camps. However, because this recommendation was not well followed, and cluster infections occurred among unvaccinated soldiers, vaccination of trainees was started in the camps on September 27, 2021.\nCOVID-19 = coronavirus disease 2019.\naMilitary personnel who received the first dose of ChAdOx1 nCoV-19 vaccine were given a second dose of ChAdOx1 nCoV-19 or BNT162b2 vaccine, depending on the individual’s choice. Excluding the untracked units under the direct control of the Ministry of National Defense, which make up 4.4% of the military, mass vaccination was performed as follows: ChAdOx1 nCoV-19, 0.67%; BNT162b2, 78.12%; Ad.26.COV2.S, 0.57%; and heterologous vaccination (ChAdOx1 nCoV-19 followed by BNT162b2), 20.64%.\nbAll military personnel received the BNT162b2 vaccine as the third dose of vaccine. Individuals who were vaccinated in civilian institutions were considered as having missing data.\nAfter the booster vaccination (December 6, 2021, to January 14, 2022), 62.216% of military personnel received a booster dose of the BNT162b2 vaccine by January 14, 2022. The military strongly recommended a booster vaccination if more than 3 months had passed since the primary vaccination, and after 6 months without a booster vaccination, personnel were treated the same as those who had not been vaccinated.\nThe major events, including mass COVID-19 vaccination are summarized in Fig. 1. After the second dose of vaccine (June 26 to August 6, 2021), 85.730% of military personnel were fully vaccinated by September 15, 2021. The exact vaccine coverage was not monitored after the end of vaccination program, but the vaccination coverage continued to increase due to a strong vaccination incentive policy. Non-vaccinated personnel were required to have weekly PCR tests, and were disincentivized by various quarantine guidelines, including leave. New recruits were strongly recommended to undergo vaccination before joining the military camps. However, because this recommendation was not well followed, and cluster infections occurred among unvaccinated soldiers, vaccination of trainees was started in the camps on September 27, 2021.\nCOVID-19 = coronavirus disease 2019.\naMilitary personnel who received the first dose of ChAdOx1 nCoV-19 vaccine were given a second dose of ChAdOx1 nCoV-19 or BNT162b2 vaccine, depending on the individual’s choice. Excluding the untracked units under the direct control of the Ministry of National Defense, which make up 4.4% of the military, mass vaccination was performed as follows: ChAdOx1 nCoV-19, 0.67%; BNT162b2, 78.12%; Ad.26.COV2.S, 0.57%; and heterologous vaccination (ChAdOx1 nCoV-19 followed by BNT162b2), 20.64%.\nbAll military personnel received the BNT162b2 vaccine as the third dose of vaccine. Individuals who were vaccinated in civilian institutions were considered as having missing data.\nAfter the booster vaccination (December 6, 2021, to January 14, 2022), 62.216% of military personnel received a booster dose of the BNT162b2 vaccine by January 14, 2022. The military strongly recommended a booster vaccination if more than 3 months had passed since the primary vaccination, and after 6 months without a booster vaccination, personnel were treated the same as those who had not been vaccinated.\nNPI in the Korean military The strict NPI strategy in the military is detailed in Supplementary Data 2. Periodic PCR tests were not performed on asymptomatic personnel, but non-vaccinated personnel were required to have weekly PCR tests as part of the vaccination incentive policy. Personnel had to undergo 2 PCR tests if they had had close contact or shared an area of activity with individuals with confirmed COVID-19. Thus, if 1 case was confirmed, it often caused more than 1 battalion to be tested. For individuals with confirmed COVID-19, the isolation period was 14 days, which was longer than the 7 days of the KDCA guidelines.\nThe strict NPI strategy in the military is detailed in Supplementary Data 2. Periodic PCR tests were not performed on asymptomatic personnel, but non-vaccinated personnel were required to have weekly PCR tests as part of the vaccination incentive policy. Personnel had to undergo 2 PCR tests if they had had close contact or shared an area of activity with individuals with confirmed COVID-19. Thus, if 1 case was confirmed, it often caused more than 1 battalion to be tested. For individuals with confirmed COVID-19, the isolation period was 14 days, which was longer than the 7 days of the KDCA guidelines.\nStatistical analysis The trend in the daily number of newly confirmed COVID-19 cases in the Korean military was analyzed using segmented regression analysis of interrupted time-series.9 Statistical significance was set at P < 0.050. Level change is a difference in the absolute value of confirmed cases, and the difference in trends was shown as the trend change. If the trend change was positive, there was a statistically significant increase based on the reference date. The detailed methods of analysis and modeling are described in Supplementary Data 3. All statistical analyses were performed using R version 4.2.0 (R Core Team, Vienna, Austria).\nThe trend in the daily number of newly confirmed COVID-19 cases in the Korean military was analyzed using segmented regression analysis of interrupted time-series.9 Statistical significance was set at P < 0.050. Level change is a difference in the absolute value of confirmed cases, and the difference in trends was shown as the trend change. If the trend change was positive, there was a statistically significant increase based on the reference date. The detailed methods of analysis and modeling are described in Supplementary Data 3. All statistical analyses were performed using R version 4.2.0 (R Core Team, Vienna, Austria).\nEthics statement This study was approved by the Institutional Review Board of the Armed Forces Capital Hospital (No. AFMC-202202-HR-010-01), and the need to obtain written informed consent was waived by the board because of the retrospective nature of the study.\nThis study was approved by the Institutional Review Board of the Armed Forces Capital Hospital (No. AFMC-202202-HR-010-01), and the need to obtain written informed consent was waived by the board because of the retrospective nature of the study.", "Epidemiological data of confirmed COVID-19 cases in the Korean military were collected from September 1, 2021 to April 10, 2022. The change in trend in the daily number of newly confirmed COVID-19 cases was analyzed using November 1 and December 5, 2021 as reference dates. November 1, 2021 was approximately 3 months after the end of administering the second dose of COVID-19 vaccine in military. Additionally, it was the time when the third dose of vaccine could be administered, according to the guidelines of the Korea Disease Control and Prevention Agency (KDCA) in relation to the waning of the protective effect of the vaccine against symptomatic COVID-19.6 December 5, 2021, was the first day of the week on which the first case of the omicron variant was detected in the Korean military.\nThe trends in daily number of newly confirmed COVID-19 cases in the Korean military and in the population of Korean civilians adjusted to same population with the military are compared. The vaccination status of each confirmed COVID-19 case in the military was reviewed, and the change in the proportions of the status among confirmed cases were also checked.", "As of September 2021, 567,062 military personnel were on active duty as officers and soldiers in the Korean military. According to previous research about immunity waning after vaccination,7 if less than 3 months had passed since the second dose of vaccine (one dose for the Ad.26.COV2.S vaccine) or after the booster vaccination, individuals with confirmed COVID-19 were classified as “fully vaccinated.” Conversely, if more than 3 months had passed since the primary vaccination, the cases were classified as “not adequately vaccinated.”", "Diagnosis of COVID-19 and variant testing was conducted in both the Korean military and civilian laboratory institutions, and detailed methods are described in Supplementary Data 1. Confirmed COVID-19 cases were diagnosed by PCR testing of respiratory specimens, approved by the Ministry of Food and Drug Safety of the Republic of Korea.8 From March 14, 2022, rapid antigen testing was also approved for confirmatory testing in the military and individuals with a positive rapid antigen test result were regarded as confirmed COVID-19 cases. The 2 variant tests in the military were conducted by the Armed Forces Medical Research Institute and were performed on mean 16 samples (standard deviation 13) per week randomly selected from samples of military personnel with confirmed COVID-19.", "The major events, including mass COVID-19 vaccination are summarized in Fig. 1. After the second dose of vaccine (June 26 to August 6, 2021), 85.730% of military personnel were fully vaccinated by September 15, 2021. The exact vaccine coverage was not monitored after the end of vaccination program, but the vaccination coverage continued to increase due to a strong vaccination incentive policy. Non-vaccinated personnel were required to have weekly PCR tests, and were disincentivized by various quarantine guidelines, including leave. New recruits were strongly recommended to undergo vaccination before joining the military camps. However, because this recommendation was not well followed, and cluster infections occurred among unvaccinated soldiers, vaccination of trainees was started in the camps on September 27, 2021.\nCOVID-19 = coronavirus disease 2019.\naMilitary personnel who received the first dose of ChAdOx1 nCoV-19 vaccine were given a second dose of ChAdOx1 nCoV-19 or BNT162b2 vaccine, depending on the individual’s choice. Excluding the untracked units under the direct control of the Ministry of National Defense, which make up 4.4% of the military, mass vaccination was performed as follows: ChAdOx1 nCoV-19, 0.67%; BNT162b2, 78.12%; Ad.26.COV2.S, 0.57%; and heterologous vaccination (ChAdOx1 nCoV-19 followed by BNT162b2), 20.64%.\nbAll military personnel received the BNT162b2 vaccine as the third dose of vaccine. Individuals who were vaccinated in civilian institutions were considered as having missing data.\nAfter the booster vaccination (December 6, 2021, to January 14, 2022), 62.216% of military personnel received a booster dose of the BNT162b2 vaccine by January 14, 2022. The military strongly recommended a booster vaccination if more than 3 months had passed since the primary vaccination, and after 6 months without a booster vaccination, personnel were treated the same as those who had not been vaccinated.", "The strict NPI strategy in the military is detailed in Supplementary Data 2. Periodic PCR tests were not performed on asymptomatic personnel, but non-vaccinated personnel were required to have weekly PCR tests as part of the vaccination incentive policy. Personnel had to undergo 2 PCR tests if they had had close contact or shared an area of activity with individuals with confirmed COVID-19. Thus, if 1 case was confirmed, it often caused more than 1 battalion to be tested. For individuals with confirmed COVID-19, the isolation period was 14 days, which was longer than the 7 days of the KDCA guidelines.", "The trend in the daily number of newly confirmed COVID-19 cases in the Korean military was analyzed using segmented regression analysis of interrupted time-series.9 Statistical significance was set at P < 0.050. Level change is a difference in the absolute value of confirmed cases, and the difference in trends was shown as the trend change. If the trend change was positive, there was a statistically significant increase based on the reference date. The detailed methods of analysis and modeling are described in Supplementary Data 3. All statistical analyses were performed using R version 4.2.0 (R Core Team, Vienna, Austria).", "This study was approved by the Institutional Review Board of the Armed Forces Capital Hospital (No. AFMC-202202-HR-010-01), and the need to obtain written informed consent was waived by the board because of the retrospective nature of the study.", "Daily number of confirmed COVID-19 cases in the Korean military before and after the emergence of the omicron variant The daily number of newly confirmed COVID-19 cases in the Korean military is shown in Fig. 2. A statistically significant increase trend for COVID-19 occurrence after emergence of the omicron variant was observed (regression coefficient, 23.071; 95% confidence interval [CI], 16.122–30.020; P < 0.001). Soldiers accounted for 51.800% of the confirmed cases during the study period. However, since there are 1.684 times more soldiers than officers among military personnel, the incidence rate of COVID-19 was 1.567 times higher in officers than in soldiers. Even after the emergence of the omicron variant, the incidence rate of officers was 1.566 times higher than that of soldiers.\nCOVID-19 = coronavirus disease 2019, CI = confidence interval.\naThe trends in daily confirmed COVID-19 cases in Korean civilians adjusted to same population with the military are shown.\nbThe change in trend in the daily number of confirmed COVID-19 cases in military was analyzed before and after December 5, 2021, when the first case with the omicron variant was detected in the Korean military. The trend was analyzed using segmented regression analysis of interrupted time-series.\ncThe Armed Forces Medical Research Institute conducted variant tests on a mean of 16 samples (standard deviation: 13) of personnel with confirmed COVID-19 per week. The data on Korean civilians was obtained from the data published weekly by the Korea Disease Control and Prevention Agency (uniform resource locator: https://www.kdca.go.kr/contents.es?mid=a20107040000).\nThe trends in daily number of newly confirmed COVID-19 cases in the population of Korean civilians adjusted to same population with the military are also described. The vaccination completion rate among Korean civilians was 41.36% by the end of the primary vaccination phase of the military, 75.97% by November 1, 2021, and 80.84% by December 5, 2021.4 The booster vaccination coverage among Korean civilians was 44.96% after completion of the third vaccination phase of the military, and 64.18% at April 10, 2022, at the end of the study period. When the study period was divided into 3 periods based on the November 1 and December 5, 2021 reference dates, the number of daily confirmed cases among Korean civilians adjusted to same population with the military was a mean of 5.553 (standard deviation [SD] ± 4.918), 4.190 (SD ± 3.459), and 2.273 (SD ± 2.988) times higher than that of military personnel. The proportion of the delta and omicron variants among confirmed COVID-19 cases over time is shown in Fig. 2. Among military personnel, the proportion of cases due to the omicron variant exceeded 50% on January 2, 2022, and the omicron variant emerged more rapidly among military personnel than among Korean civilians.\nThe daily number of newly confirmed COVID-19 cases in the Korean military is shown in Fig. 2. A statistically significant increase trend for COVID-19 occurrence after emergence of the omicron variant was observed (regression coefficient, 23.071; 95% confidence interval [CI], 16.122–30.020; P < 0.001). Soldiers accounted for 51.800% of the confirmed cases during the study period. However, since there are 1.684 times more soldiers than officers among military personnel, the incidence rate of COVID-19 was 1.567 times higher in officers than in soldiers. Even after the emergence of the omicron variant, the incidence rate of officers was 1.566 times higher than that of soldiers.\nCOVID-19 = coronavirus disease 2019, CI = confidence interval.\naThe trends in daily confirmed COVID-19 cases in Korean civilians adjusted to same population with the military are shown.\nbThe change in trend in the daily number of confirmed COVID-19 cases in military was analyzed before and after December 5, 2021, when the first case with the omicron variant was detected in the Korean military. The trend was analyzed using segmented regression analysis of interrupted time-series.\ncThe Armed Forces Medical Research Institute conducted variant tests on a mean of 16 samples (standard deviation: 13) of personnel with confirmed COVID-19 per week. The data on Korean civilians was obtained from the data published weekly by the Korea Disease Control and Prevention Agency (uniform resource locator: https://www.kdca.go.kr/contents.es?mid=a20107040000).\nThe trends in daily number of newly confirmed COVID-19 cases in the population of Korean civilians adjusted to same population with the military are also described. The vaccination completion rate among Korean civilians was 41.36% by the end of the primary vaccination phase of the military, 75.97% by November 1, 2021, and 80.84% by December 5, 2021.4 The booster vaccination coverage among Korean civilians was 44.96% after completion of the third vaccination phase of the military, and 64.18% at April 10, 2022, at the end of the study period. When the study period was divided into 3 periods based on the November 1 and December 5, 2021 reference dates, the number of daily confirmed cases among Korean civilians adjusted to same population with the military was a mean of 5.553 (standard deviation [SD] ± 4.918), 4.190 (SD ± 3.459), and 2.273 (SD ± 2.988) times higher than that of military personnel. The proportion of the delta and omicron variants among confirmed COVID-19 cases over time is shown in Fig. 2. Among military personnel, the proportion of cases due to the omicron variant exceeded 50% on January 2, 2022, and the omicron variant emerged more rapidly among military personnel than among Korean civilians.\nDaily number of confirmed COVID-19 cases in the Korean military during the wave of the delta variant The number of newly confirmed COVID-19 cases per day in the period when almost 100% of the confirmed cases were due to the delta variant is shown in Supplementary Fig. 1. With the reference date of November 1, 2021, approximately 3 months after the primary vaccination in the military, the number of confirmed COVID-19 cases increased significantly (regression coefficient, 0.832; 95% CI, 0.418–1.245; P < 0.001).\nThe number of newly confirmed COVID-19 cases per day in the period when almost 100% of the confirmed cases were due to the delta variant is shown in Supplementary Fig. 1. With the reference date of November 1, 2021, approximately 3 months after the primary vaccination in the military, the number of confirmed COVID-19 cases increased significantly (regression coefficient, 0.832; 95% CI, 0.418–1.245; P < 0.001).\nTrend in vaccination coverage of Korean military personnel with confirmed COVID-19 by week The vaccination coverage of Korean military personnel with confirmed COVID-19 is shown by week in Supplementary Fig. 2. Except for a cluster of cases of COVID-19 at the beginning of October 2021 among personnel on a naval warship who had departed without vaccination, the proportion of confirmed cases of COVID-19 in unvaccinated personnel, who accounted for less than 10% of all military personnel, was similar to that among vaccinated personnel. Due to the mass vaccination with a second dose of vaccine in July 2021, the proportion of individuals classified as “not adequately vaccinated” increased from October 2021, and when the third vaccination was carried out from December 6, 2021, to January 14, 2022, the proportion of fully vaccinated confirmed personnel increased.\nThe vaccination coverage of Korean military personnel with confirmed COVID-19 is shown by week in Supplementary Fig. 2. Except for a cluster of cases of COVID-19 at the beginning of October 2021 among personnel on a naval warship who had departed without vaccination, the proportion of confirmed cases of COVID-19 in unvaccinated personnel, who accounted for less than 10% of all military personnel, was similar to that among vaccinated personnel. Due to the mass vaccination with a second dose of vaccine in July 2021, the proportion of individuals classified as “not adequately vaccinated” increased from October 2021, and when the third vaccination was carried out from December 6, 2021, to January 14, 2022, the proportion of fully vaccinated confirmed personnel increased.", "The daily number of newly confirmed COVID-19 cases in the Korean military is shown in Fig. 2. A statistically significant increase trend for COVID-19 occurrence after emergence of the omicron variant was observed (regression coefficient, 23.071; 95% confidence interval [CI], 16.122–30.020; P < 0.001). Soldiers accounted for 51.800% of the confirmed cases during the study period. However, since there are 1.684 times more soldiers than officers among military personnel, the incidence rate of COVID-19 was 1.567 times higher in officers than in soldiers. Even after the emergence of the omicron variant, the incidence rate of officers was 1.566 times higher than that of soldiers.\nCOVID-19 = coronavirus disease 2019, CI = confidence interval.\naThe trends in daily confirmed COVID-19 cases in Korean civilians adjusted to same population with the military are shown.\nbThe change in trend in the daily number of confirmed COVID-19 cases in military was analyzed before and after December 5, 2021, when the first case with the omicron variant was detected in the Korean military. The trend was analyzed using segmented regression analysis of interrupted time-series.\ncThe Armed Forces Medical Research Institute conducted variant tests on a mean of 16 samples (standard deviation: 13) of personnel with confirmed COVID-19 per week. The data on Korean civilians was obtained from the data published weekly by the Korea Disease Control and Prevention Agency (uniform resource locator: https://www.kdca.go.kr/contents.es?mid=a20107040000).\nThe trends in daily number of newly confirmed COVID-19 cases in the population of Korean civilians adjusted to same population with the military are also described. The vaccination completion rate among Korean civilians was 41.36% by the end of the primary vaccination phase of the military, 75.97% by November 1, 2021, and 80.84% by December 5, 2021.4 The booster vaccination coverage among Korean civilians was 44.96% after completion of the third vaccination phase of the military, and 64.18% at April 10, 2022, at the end of the study period. When the study period was divided into 3 periods based on the November 1 and December 5, 2021 reference dates, the number of daily confirmed cases among Korean civilians adjusted to same population with the military was a mean of 5.553 (standard deviation [SD] ± 4.918), 4.190 (SD ± 3.459), and 2.273 (SD ± 2.988) times higher than that of military personnel. The proportion of the delta and omicron variants among confirmed COVID-19 cases over time is shown in Fig. 2. Among military personnel, the proportion of cases due to the omicron variant exceeded 50% on January 2, 2022, and the omicron variant emerged more rapidly among military personnel than among Korean civilians.", "The number of newly confirmed COVID-19 cases per day in the period when almost 100% of the confirmed cases were due to the delta variant is shown in Supplementary Fig. 1. With the reference date of November 1, 2021, approximately 3 months after the primary vaccination in the military, the number of confirmed COVID-19 cases increased significantly (regression coefficient, 0.832; 95% CI, 0.418–1.245; P < 0.001).", "The vaccination coverage of Korean military personnel with confirmed COVID-19 is shown by week in Supplementary Fig. 2. Except for a cluster of cases of COVID-19 at the beginning of October 2021 among personnel on a naval warship who had departed without vaccination, the proportion of confirmed cases of COVID-19 in unvaccinated personnel, who accounted for less than 10% of all military personnel, was similar to that among vaccinated personnel. Due to the mass vaccination with a second dose of vaccine in July 2021, the proportion of individuals classified as “not adequately vaccinated” increased from October 2021, and when the third vaccination was carried out from December 6, 2021, to January 14, 2022, the proportion of fully vaccinated confirmed personnel increased.", "The results of the present study showed that the number of confirmed COVID-19 cases in the Korean military increased during 2 periods: there was a small increase after waning of the disease-protective immunity provided by the second dose of vaccine, and an exponential increase after the omicron variant became dominant. During the study period, although there was no significant change in the NPI strategies in the military and although a high vaccination coverage was maintained, after the emergence of the omicron variant, the increasing trend of the number of confirmed cases in the military followed that of the Korean civilian population.\nDuring the wave of the delta variant, the number of confirmed COVID-19 cases in the military significantly increased 3 months after the primary vaccination. As in a previous study,10 it appears that the effectiveness of COVID-19 vaccination on the delta variant decreased with time. Considering that booster vaccination also increased the effect on the omicron variant,11 these trends support the vaccination guidelines of KDCA, which recommends booster mRNA vaccination 3 months after the second dose of vaccine to reduce transmission.\nBefore the emergence of the omicron variant, it was thought that, when over 70% of the population had completed the primary COVID-19 vaccination, the number of newly confirmed patients would be reduced due to herd immunity.12 In fact, after rapidly achieving a vaccination coverage of over 85% in the Korean military, the number of daily confirmed cases remained stable at less than 50 until November 2021, except for clusters of infection in units with a large proportion of unvaccinated personnel. However, after the emergence of the omicron variant, COVID-19 continued to spread, even after the third mass vaccination. These results are consistent with previous studies that have shown that the protective effect of the existing vaccine against symptomatic disease caused by the omicron variant was 62.4–73.9%, even shortly after the booster vaccination,13 and that it was not possible to achieve herd immunity with a vaccine that provided less than 70% protection against disease.14\nThe incidence rate of COVID-19 in the military was less than that among Korean civilians, which may have been due to not only the high vaccination coverage, but also to the NPI, including proactive PCR testing and isolation. However, considering that military personnel are relatively young and healthy, with few comorbidities, and given that the protective effect of the vaccine for severe COVID-19 is maintained even for the omicron variant,15 the probability of military personnel with COVID-19 progressing to severe disease is very low. If new SARS-CoV-2 variants with high transmissibility and low virulence emerge, according to the trend to date,16 an intensive NPI strategy within the military would increase the socioeconomic cost for excessive PCR testing and work disruption, which would outweigh the gains. Therefore, the target for disease control strategy should be revised from elimination of COVID-1917 to a “new normal” of life with COVID-19.18 For example, promoting the relatively inexpensive rapid antigen tests, and shortening the isolation period, would be effective for reducing the social cost and psychological stress that accompanies excessive regulation.\nAccording to several previous studies,192021 soldiers living in groups often have close contact with each other without masks in their daily life, and are at risk of developing clusters of infection. However, in this study, the COVID-19 incidence rate during the study period was higher among officers than among soldiers. As most transmission among soldiers occurred in the form of clusters of infection, it can be inferred that relatively higher occurrence of COVID-19 among officers was because they had more contact with civilians and infected family members. During the COVID-19 pandemic, soldiers were health checked twice a day, and early detection and isolation strategy was conducted for symptomatic soldiers. Also, the space between beds in barrack is more than 1 m, and the wearing of masks is emphasized during official activities. To keep the COVID-19 incidence of soldiers low, even if other NPIs are alleviated, interventions to reduce the density of living spaces of soldiers would still be needed.\nOur study had some limitations. First, because the data of the study were reviewed retrospectively, it was difficult to track vaccination status of approximately 30% of personnel with COVID-19. Second, except during the period directly after the primary vaccination and booster vaccination, data were not collected on vaccination coverage among military personnel. As some personnel received a third vaccination in civilian institutions, the coverage of third vaccination was underestimated. Third, as the disease severity among confirmed cases was unknown, effectiveness of COVID-19 vaccines for preventing severe disease caused by the delta and omicron variants could not be analyzed. Last, variant tests were conducted on only an average of 16 specimens per week in the military. Due to small number of specimens, there may be differences from the actual proportion of variants among confirmed military personnel, but to have representativeness, random samples from different units were selected every day.\nIn conclusion, the spread of the omicron variant occurred in the Korean military, despite more than 60% of Korean military personnel having received a third COVID-19 vaccination and the military maintaining intensive NPI." ]
[ "intro", "methods", null, null, null, null, null, null, "ethics-statement", "results", null, null, null, "discussion" ]
[ "COVID-19", "Military Personnel", "SARS-CoV-2 Omicron Variant", "Interrupted Time-Series Analysis" ]
INTRODUCTION: The coronavirus disease 2019 (COVID-19) pandemic, declared by the World Health Organization in 2020, continues.1 Several effective vaccines have been developed against COVID-19, but the new omicron variant is more transmissible than the delta variant as well as increased immune escape.23 The number of confirmed COVID-19 cases increased markedly after the emergence of the omicron variant in Korea, even though the vaccination completion rate exceeded 80% in December 2021.4 In a previous study, we reported that the incidence rates of COVID-19 infection in the Korean military were lower than those in the general Korean population, due to mass vaccination of COVID-19 conducted from July 2021 to early August 2021.5 However, after the omicron variant became dominant in January 2022, the number of confirmed COVID-19 cases skyrocketed among military personnel, as it did among Korean civilians. During this period, to prevent the spread of the disease, the military maintained strict non-pharmacological interventions (NPI), such as performing proactive real-time reverse transcription polymerase chain reaction (PCR) testing and applying prolonged isolation guidelines. Further, mass vaccination with a third dose of COVID-19 vaccine was performed in December 2021. In this study, we analyzed the trend in the daily number of confirmed COVID-19 cases before and after the outbreak of the omicron variant on December 5, 2021 among the Korean military in a setting of intensive NPI and mass booster vaccination. METHODS: Study design Epidemiological data of confirmed COVID-19 cases in the Korean military were collected from September 1, 2021 to April 10, 2022. The change in trend in the daily number of newly confirmed COVID-19 cases was analyzed using November 1 and December 5, 2021 as reference dates. November 1, 2021 was approximately 3 months after the end of administering the second dose of COVID-19 vaccine in military. Additionally, it was the time when the third dose of vaccine could be administered, according to the guidelines of the Korea Disease Control and Prevention Agency (KDCA) in relation to the waning of the protective effect of the vaccine against symptomatic COVID-19.6 December 5, 2021, was the first day of the week on which the first case of the omicron variant was detected in the Korean military. The trends in daily number of newly confirmed COVID-19 cases in the Korean military and in the population of Korean civilians adjusted to same population with the military are compared. The vaccination status of each confirmed COVID-19 case in the military was reviewed, and the change in the proportions of the status among confirmed cases were also checked. Epidemiological data of confirmed COVID-19 cases in the Korean military were collected from September 1, 2021 to April 10, 2022. The change in trend in the daily number of newly confirmed COVID-19 cases was analyzed using November 1 and December 5, 2021 as reference dates. November 1, 2021 was approximately 3 months after the end of administering the second dose of COVID-19 vaccine in military. Additionally, it was the time when the third dose of vaccine could be administered, according to the guidelines of the Korea Disease Control and Prevention Agency (KDCA) in relation to the waning of the protective effect of the vaccine against symptomatic COVID-19.6 December 5, 2021, was the first day of the week on which the first case of the omicron variant was detected in the Korean military. The trends in daily number of newly confirmed COVID-19 cases in the Korean military and in the population of Korean civilians adjusted to same population with the military are compared. The vaccination status of each confirmed COVID-19 case in the military was reviewed, and the change in the proportions of the status among confirmed cases were also checked. Definitions As of September 2021, 567,062 military personnel were on active duty as officers and soldiers in the Korean military. According to previous research about immunity waning after vaccination,7 if less than 3 months had passed since the second dose of vaccine (one dose for the Ad.26.COV2.S vaccine) or after the booster vaccination, individuals with confirmed COVID-19 were classified as “fully vaccinated.” Conversely, if more than 3 months had passed since the primary vaccination, the cases were classified as “not adequately vaccinated.” As of September 2021, 567,062 military personnel were on active duty as officers and soldiers in the Korean military. According to previous research about immunity waning after vaccination,7 if less than 3 months had passed since the second dose of vaccine (one dose for the Ad.26.COV2.S vaccine) or after the booster vaccination, individuals with confirmed COVID-19 were classified as “fully vaccinated.” Conversely, if more than 3 months had passed since the primary vaccination, the cases were classified as “not adequately vaccinated.” Diagnostic tests for COVID-19 and severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) variants Diagnosis of COVID-19 and variant testing was conducted in both the Korean military and civilian laboratory institutions, and detailed methods are described in Supplementary Data 1. Confirmed COVID-19 cases were diagnosed by PCR testing of respiratory specimens, approved by the Ministry of Food and Drug Safety of the Republic of Korea.8 From March 14, 2022, rapid antigen testing was also approved for confirmatory testing in the military and individuals with a positive rapid antigen test result were regarded as confirmed COVID-19 cases. The 2 variant tests in the military were conducted by the Armed Forces Medical Research Institute and were performed on mean 16 samples (standard deviation 13) per week randomly selected from samples of military personnel with confirmed COVID-19. Diagnosis of COVID-19 and variant testing was conducted in both the Korean military and civilian laboratory institutions, and detailed methods are described in Supplementary Data 1. Confirmed COVID-19 cases were diagnosed by PCR testing of respiratory specimens, approved by the Ministry of Food and Drug Safety of the Republic of Korea.8 From March 14, 2022, rapid antigen testing was also approved for confirmatory testing in the military and individuals with a positive rapid antigen test result were regarded as confirmed COVID-19 cases. The 2 variant tests in the military were conducted by the Armed Forces Medical Research Institute and were performed on mean 16 samples (standard deviation 13) per week randomly selected from samples of military personnel with confirmed COVID-19. Vaccination strategy in the Korean military The major events, including mass COVID-19 vaccination are summarized in Fig. 1. After the second dose of vaccine (June 26 to August 6, 2021), 85.730% of military personnel were fully vaccinated by September 15, 2021. The exact vaccine coverage was not monitored after the end of vaccination program, but the vaccination coverage continued to increase due to a strong vaccination incentive policy. Non-vaccinated personnel were required to have weekly PCR tests, and were disincentivized by various quarantine guidelines, including leave. New recruits were strongly recommended to undergo vaccination before joining the military camps. However, because this recommendation was not well followed, and cluster infections occurred among unvaccinated soldiers, vaccination of trainees was started in the camps on September 27, 2021. COVID-19 = coronavirus disease 2019. aMilitary personnel who received the first dose of ChAdOx1 nCoV-19 vaccine were given a second dose of ChAdOx1 nCoV-19 or BNT162b2 vaccine, depending on the individual’s choice. Excluding the untracked units under the direct control of the Ministry of National Defense, which make up 4.4% of the military, mass vaccination was performed as follows: ChAdOx1 nCoV-19, 0.67%; BNT162b2, 78.12%; Ad.26.COV2.S, 0.57%; and heterologous vaccination (ChAdOx1 nCoV-19 followed by BNT162b2), 20.64%. bAll military personnel received the BNT162b2 vaccine as the third dose of vaccine. Individuals who were vaccinated in civilian institutions were considered as having missing data. After the booster vaccination (December 6, 2021, to January 14, 2022), 62.216% of military personnel received a booster dose of the BNT162b2 vaccine by January 14, 2022. The military strongly recommended a booster vaccination if more than 3 months had passed since the primary vaccination, and after 6 months without a booster vaccination, personnel were treated the same as those who had not been vaccinated. The major events, including mass COVID-19 vaccination are summarized in Fig. 1. After the second dose of vaccine (June 26 to August 6, 2021), 85.730% of military personnel were fully vaccinated by September 15, 2021. The exact vaccine coverage was not monitored after the end of vaccination program, but the vaccination coverage continued to increase due to a strong vaccination incentive policy. Non-vaccinated personnel were required to have weekly PCR tests, and were disincentivized by various quarantine guidelines, including leave. New recruits were strongly recommended to undergo vaccination before joining the military camps. However, because this recommendation was not well followed, and cluster infections occurred among unvaccinated soldiers, vaccination of trainees was started in the camps on September 27, 2021. COVID-19 = coronavirus disease 2019. aMilitary personnel who received the first dose of ChAdOx1 nCoV-19 vaccine were given a second dose of ChAdOx1 nCoV-19 or BNT162b2 vaccine, depending on the individual’s choice. Excluding the untracked units under the direct control of the Ministry of National Defense, which make up 4.4% of the military, mass vaccination was performed as follows: ChAdOx1 nCoV-19, 0.67%; BNT162b2, 78.12%; Ad.26.COV2.S, 0.57%; and heterologous vaccination (ChAdOx1 nCoV-19 followed by BNT162b2), 20.64%. bAll military personnel received the BNT162b2 vaccine as the third dose of vaccine. Individuals who were vaccinated in civilian institutions were considered as having missing data. After the booster vaccination (December 6, 2021, to January 14, 2022), 62.216% of military personnel received a booster dose of the BNT162b2 vaccine by January 14, 2022. The military strongly recommended a booster vaccination if more than 3 months had passed since the primary vaccination, and after 6 months without a booster vaccination, personnel were treated the same as those who had not been vaccinated. NPI in the Korean military The strict NPI strategy in the military is detailed in Supplementary Data 2. Periodic PCR tests were not performed on asymptomatic personnel, but non-vaccinated personnel were required to have weekly PCR tests as part of the vaccination incentive policy. Personnel had to undergo 2 PCR tests if they had had close contact or shared an area of activity with individuals with confirmed COVID-19. Thus, if 1 case was confirmed, it often caused more than 1 battalion to be tested. For individuals with confirmed COVID-19, the isolation period was 14 days, which was longer than the 7 days of the KDCA guidelines. The strict NPI strategy in the military is detailed in Supplementary Data 2. Periodic PCR tests were not performed on asymptomatic personnel, but non-vaccinated personnel were required to have weekly PCR tests as part of the vaccination incentive policy. Personnel had to undergo 2 PCR tests if they had had close contact or shared an area of activity with individuals with confirmed COVID-19. Thus, if 1 case was confirmed, it often caused more than 1 battalion to be tested. For individuals with confirmed COVID-19, the isolation period was 14 days, which was longer than the 7 days of the KDCA guidelines. Statistical analysis The trend in the daily number of newly confirmed COVID-19 cases in the Korean military was analyzed using segmented regression analysis of interrupted time-series.9 Statistical significance was set at P < 0.050. Level change is a difference in the absolute value of confirmed cases, and the difference in trends was shown as the trend change. If the trend change was positive, there was a statistically significant increase based on the reference date. The detailed methods of analysis and modeling are described in Supplementary Data 3. All statistical analyses were performed using R version 4.2.0 (R Core Team, Vienna, Austria). The trend in the daily number of newly confirmed COVID-19 cases in the Korean military was analyzed using segmented regression analysis of interrupted time-series.9 Statistical significance was set at P < 0.050. Level change is a difference in the absolute value of confirmed cases, and the difference in trends was shown as the trend change. If the trend change was positive, there was a statistically significant increase based on the reference date. The detailed methods of analysis and modeling are described in Supplementary Data 3. All statistical analyses were performed using R version 4.2.0 (R Core Team, Vienna, Austria). Ethics statement This study was approved by the Institutional Review Board of the Armed Forces Capital Hospital (No. AFMC-202202-HR-010-01), and the need to obtain written informed consent was waived by the board because of the retrospective nature of the study. This study was approved by the Institutional Review Board of the Armed Forces Capital Hospital (No. AFMC-202202-HR-010-01), and the need to obtain written informed consent was waived by the board because of the retrospective nature of the study. Study design: Epidemiological data of confirmed COVID-19 cases in the Korean military were collected from September 1, 2021 to April 10, 2022. The change in trend in the daily number of newly confirmed COVID-19 cases was analyzed using November 1 and December 5, 2021 as reference dates. November 1, 2021 was approximately 3 months after the end of administering the second dose of COVID-19 vaccine in military. Additionally, it was the time when the third dose of vaccine could be administered, according to the guidelines of the Korea Disease Control and Prevention Agency (KDCA) in relation to the waning of the protective effect of the vaccine against symptomatic COVID-19.6 December 5, 2021, was the first day of the week on which the first case of the omicron variant was detected in the Korean military. The trends in daily number of newly confirmed COVID-19 cases in the Korean military and in the population of Korean civilians adjusted to same population with the military are compared. The vaccination status of each confirmed COVID-19 case in the military was reviewed, and the change in the proportions of the status among confirmed cases were also checked. Definitions: As of September 2021, 567,062 military personnel were on active duty as officers and soldiers in the Korean military. According to previous research about immunity waning after vaccination,7 if less than 3 months had passed since the second dose of vaccine (one dose for the Ad.26.COV2.S vaccine) or after the booster vaccination, individuals with confirmed COVID-19 were classified as “fully vaccinated.” Conversely, if more than 3 months had passed since the primary vaccination, the cases were classified as “not adequately vaccinated.” Diagnostic tests for COVID-19 and severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) variants: Diagnosis of COVID-19 and variant testing was conducted in both the Korean military and civilian laboratory institutions, and detailed methods are described in Supplementary Data 1. Confirmed COVID-19 cases were diagnosed by PCR testing of respiratory specimens, approved by the Ministry of Food and Drug Safety of the Republic of Korea.8 From March 14, 2022, rapid antigen testing was also approved for confirmatory testing in the military and individuals with a positive rapid antigen test result were regarded as confirmed COVID-19 cases. The 2 variant tests in the military were conducted by the Armed Forces Medical Research Institute and were performed on mean 16 samples (standard deviation 13) per week randomly selected from samples of military personnel with confirmed COVID-19. Vaccination strategy in the Korean military: The major events, including mass COVID-19 vaccination are summarized in Fig. 1. After the second dose of vaccine (June 26 to August 6, 2021), 85.730% of military personnel were fully vaccinated by September 15, 2021. The exact vaccine coverage was not monitored after the end of vaccination program, but the vaccination coverage continued to increase due to a strong vaccination incentive policy. Non-vaccinated personnel were required to have weekly PCR tests, and were disincentivized by various quarantine guidelines, including leave. New recruits were strongly recommended to undergo vaccination before joining the military camps. However, because this recommendation was not well followed, and cluster infections occurred among unvaccinated soldiers, vaccination of trainees was started in the camps on September 27, 2021. COVID-19 = coronavirus disease 2019. aMilitary personnel who received the first dose of ChAdOx1 nCoV-19 vaccine were given a second dose of ChAdOx1 nCoV-19 or BNT162b2 vaccine, depending on the individual’s choice. Excluding the untracked units under the direct control of the Ministry of National Defense, which make up 4.4% of the military, mass vaccination was performed as follows: ChAdOx1 nCoV-19, 0.67%; BNT162b2, 78.12%; Ad.26.COV2.S, 0.57%; and heterologous vaccination (ChAdOx1 nCoV-19 followed by BNT162b2), 20.64%. bAll military personnel received the BNT162b2 vaccine as the third dose of vaccine. Individuals who were vaccinated in civilian institutions were considered as having missing data. After the booster vaccination (December 6, 2021, to January 14, 2022), 62.216% of military personnel received a booster dose of the BNT162b2 vaccine by January 14, 2022. The military strongly recommended a booster vaccination if more than 3 months had passed since the primary vaccination, and after 6 months without a booster vaccination, personnel were treated the same as those who had not been vaccinated. NPI in the Korean military: The strict NPI strategy in the military is detailed in Supplementary Data 2. Periodic PCR tests were not performed on asymptomatic personnel, but non-vaccinated personnel were required to have weekly PCR tests as part of the vaccination incentive policy. Personnel had to undergo 2 PCR tests if they had had close contact or shared an area of activity with individuals with confirmed COVID-19. Thus, if 1 case was confirmed, it often caused more than 1 battalion to be tested. For individuals with confirmed COVID-19, the isolation period was 14 days, which was longer than the 7 days of the KDCA guidelines. Statistical analysis: The trend in the daily number of newly confirmed COVID-19 cases in the Korean military was analyzed using segmented regression analysis of interrupted time-series.9 Statistical significance was set at P < 0.050. Level change is a difference in the absolute value of confirmed cases, and the difference in trends was shown as the trend change. If the trend change was positive, there was a statistically significant increase based on the reference date. The detailed methods of analysis and modeling are described in Supplementary Data 3. All statistical analyses were performed using R version 4.2.0 (R Core Team, Vienna, Austria). Ethics statement: This study was approved by the Institutional Review Board of the Armed Forces Capital Hospital (No. AFMC-202202-HR-010-01), and the need to obtain written informed consent was waived by the board because of the retrospective nature of the study. RESULTS: Daily number of confirmed COVID-19 cases in the Korean military before and after the emergence of the omicron variant The daily number of newly confirmed COVID-19 cases in the Korean military is shown in Fig. 2. A statistically significant increase trend for COVID-19 occurrence after emergence of the omicron variant was observed (regression coefficient, 23.071; 95% confidence interval [CI], 16.122–30.020; P < 0.001). Soldiers accounted for 51.800% of the confirmed cases during the study period. However, since there are 1.684 times more soldiers than officers among military personnel, the incidence rate of COVID-19 was 1.567 times higher in officers than in soldiers. Even after the emergence of the omicron variant, the incidence rate of officers was 1.566 times higher than that of soldiers. COVID-19 = coronavirus disease 2019, CI = confidence interval. aThe trends in daily confirmed COVID-19 cases in Korean civilians adjusted to same population with the military are shown. bThe change in trend in the daily number of confirmed COVID-19 cases in military was analyzed before and after December 5, 2021, when the first case with the omicron variant was detected in the Korean military. The trend was analyzed using segmented regression analysis of interrupted time-series. cThe Armed Forces Medical Research Institute conducted variant tests on a mean of 16 samples (standard deviation: 13) of personnel with confirmed COVID-19 per week. The data on Korean civilians was obtained from the data published weekly by the Korea Disease Control and Prevention Agency (uniform resource locator: https://www.kdca.go.kr/contents.es?mid=a20107040000). The trends in daily number of newly confirmed COVID-19 cases in the population of Korean civilians adjusted to same population with the military are also described. The vaccination completion rate among Korean civilians was 41.36% by the end of the primary vaccination phase of the military, 75.97% by November 1, 2021, and 80.84% by December 5, 2021.4 The booster vaccination coverage among Korean civilians was 44.96% after completion of the third vaccination phase of the military, and 64.18% at April 10, 2022, at the end of the study period. When the study period was divided into 3 periods based on the November 1 and December 5, 2021 reference dates, the number of daily confirmed cases among Korean civilians adjusted to same population with the military was a mean of 5.553 (standard deviation [SD] ± 4.918), 4.190 (SD ± 3.459), and 2.273 (SD ± 2.988) times higher than that of military personnel. The proportion of the delta and omicron variants among confirmed COVID-19 cases over time is shown in Fig. 2. Among military personnel, the proportion of cases due to the omicron variant exceeded 50% on January 2, 2022, and the omicron variant emerged more rapidly among military personnel than among Korean civilians. The daily number of newly confirmed COVID-19 cases in the Korean military is shown in Fig. 2. A statistically significant increase trend for COVID-19 occurrence after emergence of the omicron variant was observed (regression coefficient, 23.071; 95% confidence interval [CI], 16.122–30.020; P < 0.001). Soldiers accounted for 51.800% of the confirmed cases during the study period. However, since there are 1.684 times more soldiers than officers among military personnel, the incidence rate of COVID-19 was 1.567 times higher in officers than in soldiers. Even after the emergence of the omicron variant, the incidence rate of officers was 1.566 times higher than that of soldiers. COVID-19 = coronavirus disease 2019, CI = confidence interval. aThe trends in daily confirmed COVID-19 cases in Korean civilians adjusted to same population with the military are shown. bThe change in trend in the daily number of confirmed COVID-19 cases in military was analyzed before and after December 5, 2021, when the first case with the omicron variant was detected in the Korean military. The trend was analyzed using segmented regression analysis of interrupted time-series. cThe Armed Forces Medical Research Institute conducted variant tests on a mean of 16 samples (standard deviation: 13) of personnel with confirmed COVID-19 per week. The data on Korean civilians was obtained from the data published weekly by the Korea Disease Control and Prevention Agency (uniform resource locator: https://www.kdca.go.kr/contents.es?mid=a20107040000). The trends in daily number of newly confirmed COVID-19 cases in the population of Korean civilians adjusted to same population with the military are also described. The vaccination completion rate among Korean civilians was 41.36% by the end of the primary vaccination phase of the military, 75.97% by November 1, 2021, and 80.84% by December 5, 2021.4 The booster vaccination coverage among Korean civilians was 44.96% after completion of the third vaccination phase of the military, and 64.18% at April 10, 2022, at the end of the study period. When the study period was divided into 3 periods based on the November 1 and December 5, 2021 reference dates, the number of daily confirmed cases among Korean civilians adjusted to same population with the military was a mean of 5.553 (standard deviation [SD] ± 4.918), 4.190 (SD ± 3.459), and 2.273 (SD ± 2.988) times higher than that of military personnel. The proportion of the delta and omicron variants among confirmed COVID-19 cases over time is shown in Fig. 2. Among military personnel, the proportion of cases due to the omicron variant exceeded 50% on January 2, 2022, and the omicron variant emerged more rapidly among military personnel than among Korean civilians. Daily number of confirmed COVID-19 cases in the Korean military during the wave of the delta variant The number of newly confirmed COVID-19 cases per day in the period when almost 100% of the confirmed cases were due to the delta variant is shown in Supplementary Fig. 1. With the reference date of November 1, 2021, approximately 3 months after the primary vaccination in the military, the number of confirmed COVID-19 cases increased significantly (regression coefficient, 0.832; 95% CI, 0.418–1.245; P < 0.001). The number of newly confirmed COVID-19 cases per day in the period when almost 100% of the confirmed cases were due to the delta variant is shown in Supplementary Fig. 1. With the reference date of November 1, 2021, approximately 3 months after the primary vaccination in the military, the number of confirmed COVID-19 cases increased significantly (regression coefficient, 0.832; 95% CI, 0.418–1.245; P < 0.001). Trend in vaccination coverage of Korean military personnel with confirmed COVID-19 by week The vaccination coverage of Korean military personnel with confirmed COVID-19 is shown by week in Supplementary Fig. 2. Except for a cluster of cases of COVID-19 at the beginning of October 2021 among personnel on a naval warship who had departed without vaccination, the proportion of confirmed cases of COVID-19 in unvaccinated personnel, who accounted for less than 10% of all military personnel, was similar to that among vaccinated personnel. Due to the mass vaccination with a second dose of vaccine in July 2021, the proportion of individuals classified as “not adequately vaccinated” increased from October 2021, and when the third vaccination was carried out from December 6, 2021, to January 14, 2022, the proportion of fully vaccinated confirmed personnel increased. The vaccination coverage of Korean military personnel with confirmed COVID-19 is shown by week in Supplementary Fig. 2. Except for a cluster of cases of COVID-19 at the beginning of October 2021 among personnel on a naval warship who had departed without vaccination, the proportion of confirmed cases of COVID-19 in unvaccinated personnel, who accounted for less than 10% of all military personnel, was similar to that among vaccinated personnel. Due to the mass vaccination with a second dose of vaccine in July 2021, the proportion of individuals classified as “not adequately vaccinated” increased from October 2021, and when the third vaccination was carried out from December 6, 2021, to January 14, 2022, the proportion of fully vaccinated confirmed personnel increased. Daily number of confirmed COVID-19 cases in the Korean military before and after the emergence of the omicron variant: The daily number of newly confirmed COVID-19 cases in the Korean military is shown in Fig. 2. A statistically significant increase trend for COVID-19 occurrence after emergence of the omicron variant was observed (regression coefficient, 23.071; 95% confidence interval [CI], 16.122–30.020; P < 0.001). Soldiers accounted for 51.800% of the confirmed cases during the study period. However, since there are 1.684 times more soldiers than officers among military personnel, the incidence rate of COVID-19 was 1.567 times higher in officers than in soldiers. Even after the emergence of the omicron variant, the incidence rate of officers was 1.566 times higher than that of soldiers. COVID-19 = coronavirus disease 2019, CI = confidence interval. aThe trends in daily confirmed COVID-19 cases in Korean civilians adjusted to same population with the military are shown. bThe change in trend in the daily number of confirmed COVID-19 cases in military was analyzed before and after December 5, 2021, when the first case with the omicron variant was detected in the Korean military. The trend was analyzed using segmented regression analysis of interrupted time-series. cThe Armed Forces Medical Research Institute conducted variant tests on a mean of 16 samples (standard deviation: 13) of personnel with confirmed COVID-19 per week. The data on Korean civilians was obtained from the data published weekly by the Korea Disease Control and Prevention Agency (uniform resource locator: https://www.kdca.go.kr/contents.es?mid=a20107040000). The trends in daily number of newly confirmed COVID-19 cases in the population of Korean civilians adjusted to same population with the military are also described. The vaccination completion rate among Korean civilians was 41.36% by the end of the primary vaccination phase of the military, 75.97% by November 1, 2021, and 80.84% by December 5, 2021.4 The booster vaccination coverage among Korean civilians was 44.96% after completion of the third vaccination phase of the military, and 64.18% at April 10, 2022, at the end of the study period. When the study period was divided into 3 periods based on the November 1 and December 5, 2021 reference dates, the number of daily confirmed cases among Korean civilians adjusted to same population with the military was a mean of 5.553 (standard deviation [SD] ± 4.918), 4.190 (SD ± 3.459), and 2.273 (SD ± 2.988) times higher than that of military personnel. The proportion of the delta and omicron variants among confirmed COVID-19 cases over time is shown in Fig. 2. Among military personnel, the proportion of cases due to the omicron variant exceeded 50% on January 2, 2022, and the omicron variant emerged more rapidly among military personnel than among Korean civilians. Daily number of confirmed COVID-19 cases in the Korean military during the wave of the delta variant: The number of newly confirmed COVID-19 cases per day in the period when almost 100% of the confirmed cases were due to the delta variant is shown in Supplementary Fig. 1. With the reference date of November 1, 2021, approximately 3 months after the primary vaccination in the military, the number of confirmed COVID-19 cases increased significantly (regression coefficient, 0.832; 95% CI, 0.418–1.245; P < 0.001). Trend in vaccination coverage of Korean military personnel with confirmed COVID-19 by week: The vaccination coverage of Korean military personnel with confirmed COVID-19 is shown by week in Supplementary Fig. 2. Except for a cluster of cases of COVID-19 at the beginning of October 2021 among personnel on a naval warship who had departed without vaccination, the proportion of confirmed cases of COVID-19 in unvaccinated personnel, who accounted for less than 10% of all military personnel, was similar to that among vaccinated personnel. Due to the mass vaccination with a second dose of vaccine in July 2021, the proportion of individuals classified as “not adequately vaccinated” increased from October 2021, and when the third vaccination was carried out from December 6, 2021, to January 14, 2022, the proportion of fully vaccinated confirmed personnel increased. DISCUSSION: The results of the present study showed that the number of confirmed COVID-19 cases in the Korean military increased during 2 periods: there was a small increase after waning of the disease-protective immunity provided by the second dose of vaccine, and an exponential increase after the omicron variant became dominant. During the study period, although there was no significant change in the NPI strategies in the military and although a high vaccination coverage was maintained, after the emergence of the omicron variant, the increasing trend of the number of confirmed cases in the military followed that of the Korean civilian population. During the wave of the delta variant, the number of confirmed COVID-19 cases in the military significantly increased 3 months after the primary vaccination. As in a previous study,10 it appears that the effectiveness of COVID-19 vaccination on the delta variant decreased with time. Considering that booster vaccination also increased the effect on the omicron variant,11 these trends support the vaccination guidelines of KDCA, which recommends booster mRNA vaccination 3 months after the second dose of vaccine to reduce transmission. Before the emergence of the omicron variant, it was thought that, when over 70% of the population had completed the primary COVID-19 vaccination, the number of newly confirmed patients would be reduced due to herd immunity.12 In fact, after rapidly achieving a vaccination coverage of over 85% in the Korean military, the number of daily confirmed cases remained stable at less than 50 until November 2021, except for clusters of infection in units with a large proportion of unvaccinated personnel. However, after the emergence of the omicron variant, COVID-19 continued to spread, even after the third mass vaccination. These results are consistent with previous studies that have shown that the protective effect of the existing vaccine against symptomatic disease caused by the omicron variant was 62.4–73.9%, even shortly after the booster vaccination,13 and that it was not possible to achieve herd immunity with a vaccine that provided less than 70% protection against disease.14 The incidence rate of COVID-19 in the military was less than that among Korean civilians, which may have been due to not only the high vaccination coverage, but also to the NPI, including proactive PCR testing and isolation. However, considering that military personnel are relatively young and healthy, with few comorbidities, and given that the protective effect of the vaccine for severe COVID-19 is maintained even for the omicron variant,15 the probability of military personnel with COVID-19 progressing to severe disease is very low. If new SARS-CoV-2 variants with high transmissibility and low virulence emerge, according to the trend to date,16 an intensive NPI strategy within the military would increase the socioeconomic cost for excessive PCR testing and work disruption, which would outweigh the gains. Therefore, the target for disease control strategy should be revised from elimination of COVID-1917 to a “new normal” of life with COVID-19.18 For example, promoting the relatively inexpensive rapid antigen tests, and shortening the isolation period, would be effective for reducing the social cost and psychological stress that accompanies excessive regulation. According to several previous studies,192021 soldiers living in groups often have close contact with each other without masks in their daily life, and are at risk of developing clusters of infection. However, in this study, the COVID-19 incidence rate during the study period was higher among officers than among soldiers. As most transmission among soldiers occurred in the form of clusters of infection, it can be inferred that relatively higher occurrence of COVID-19 among officers was because they had more contact with civilians and infected family members. During the COVID-19 pandemic, soldiers were health checked twice a day, and early detection and isolation strategy was conducted for symptomatic soldiers. Also, the space between beds in barrack is more than 1 m, and the wearing of masks is emphasized during official activities. To keep the COVID-19 incidence of soldiers low, even if other NPIs are alleviated, interventions to reduce the density of living spaces of soldiers would still be needed. Our study had some limitations. First, because the data of the study were reviewed retrospectively, it was difficult to track vaccination status of approximately 30% of personnel with COVID-19. Second, except during the period directly after the primary vaccination and booster vaccination, data were not collected on vaccination coverage among military personnel. As some personnel received a third vaccination in civilian institutions, the coverage of third vaccination was underestimated. Third, as the disease severity among confirmed cases was unknown, effectiveness of COVID-19 vaccines for preventing severe disease caused by the delta and omicron variants could not be analyzed. Last, variant tests were conducted on only an average of 16 specimens per week in the military. Due to small number of specimens, there may be differences from the actual proportion of variants among confirmed military personnel, but to have representativeness, random samples from different units were selected every day. In conclusion, the spread of the omicron variant occurred in the Korean military, despite more than 60% of Korean military personnel having received a third COVID-19 vaccination and the military maintaining intensive NPI.
Background: Due to the higher transmissibility and increased immune escape of the omicron variant of severe acute respiratory syndrome coronavirus 2, the number of patients with coronavirus disease 2019 (COVID-19) has skyrocketed in the Republic of Korea. Here, we analyzed the change in trend of the number of confirmed COVID-19 cases in the Korean military after the emergence of the omicron variant on December 5, 2021. Methods: An interrupted time-series analysis was performed of the daily number of newly confirmed COVID-19 cases in the Korean military from September 1, 2021 to April 10, 2022, before and after the emergence of the omicron variant. Moreover, the daily number of newly confirmed COVID-19 cases in the Korean military and in the population of Korean civilians adjusted to the same with military were compared. Results: The trends of COVID-19 occurrence in the military after emergence of the omicron variant was significantly increased (regression coefficient, 23.071; 95% confidence interval, 16.122-30.020; P < 0.001). The COVID-19 incidence rate in the Korean military was lower than that in the civilians, but after the emergence of the omicron variant, the increased incidence rate in the military followed that of the civilian population. Conclusions: The outbreak of the omicron variant occurred in the Korean military despite maintaining high vaccination coverage and intensive non-pharmacological interventions.
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6,757
258
[ 208, 94, 129, 349, 113, 112, 505, 80, 137 ]
14
[ "19", "military", "covid", "covid 19", "vaccination", "confirmed", "cases", "personnel", "korean", "confirmed covid 19" ]
[ "covid 19 incidence", "covid 19 vaccines", "19 infection korean", "vaccination strategy korean", "korea vaccination completion" ]
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[CONTENT] COVID-19 | Military Personnel | SARS-CoV-2 Omicron Variant | Interrupted Time-Series Analysis [SUMMARY]
[CONTENT] COVID-19 | Military Personnel | SARS-CoV-2 Omicron Variant | Interrupted Time-Series Analysis [SUMMARY]
[CONTENT] COVID-19 | Military Personnel | SARS-CoV-2 Omicron Variant | Interrupted Time-Series Analysis [SUMMARY]
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[CONTENT] COVID-19 | Military Personnel | SARS-CoV-2 Omicron Variant | Interrupted Time-Series Analysis [SUMMARY]
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[CONTENT] COVID-19 | Humans | Military Personnel | Republic of Korea | SARS-CoV-2 [SUMMARY]
[CONTENT] COVID-19 | Humans | Military Personnel | Republic of Korea | SARS-CoV-2 [SUMMARY]
[CONTENT] COVID-19 | Humans | Military Personnel | Republic of Korea | SARS-CoV-2 [SUMMARY]
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[CONTENT] COVID-19 | Humans | Military Personnel | Republic of Korea | SARS-CoV-2 [SUMMARY]
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[CONTENT] covid 19 incidence | covid 19 vaccines | 19 infection korean | vaccination strategy korean | korea vaccination completion [SUMMARY]
[CONTENT] covid 19 incidence | covid 19 vaccines | 19 infection korean | vaccination strategy korean | korea vaccination completion [SUMMARY]
[CONTENT] covid 19 incidence | covid 19 vaccines | 19 infection korean | vaccination strategy korean | korea vaccination completion [SUMMARY]
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[CONTENT] covid 19 incidence | covid 19 vaccines | 19 infection korean | vaccination strategy korean | korea vaccination completion [SUMMARY]
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[CONTENT] 19 | military | covid | covid 19 | vaccination | confirmed | cases | personnel | korean | confirmed covid 19 [SUMMARY]
[CONTENT] 19 | military | covid | covid 19 | vaccination | confirmed | cases | personnel | korean | confirmed covid 19 [SUMMARY]
[CONTENT] 19 | military | covid | covid 19 | vaccination | confirmed | cases | personnel | korean | confirmed covid 19 [SUMMARY]
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[CONTENT] 19 | military | covid | covid 19 | vaccination | confirmed | cases | personnel | korean | confirmed covid 19 [SUMMARY]
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[CONTENT] covid 19 | 19 | covid | variant | omicron variant | omicron | 2021 | number confirmed | number confirmed covid 19 | number confirmed covid [SUMMARY]
[CONTENT] military | 19 | vaccination | vaccine | covid | covid 19 | confirmed | personnel | dose | bnt162b2 [SUMMARY]
[CONTENT] confirmed | military | cases | 19 | covid 19 | covid | korean | personnel | civilians | korean civilians [SUMMARY]
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[CONTENT] 19 | covid | military | covid 19 | vaccination | confirmed | cases | personnel | confirmed covid 19 | confirmed covid [SUMMARY]
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[CONTENT] 2 | 2019 | COVID-19 | the Republic of Korea ||| COVID-19 | Korean | December 5, 2021 [SUMMARY]
[CONTENT] daily | COVID-19 | Korean | September 1, 2021 to April 10, 2022 ||| COVID-19 | Korean | Korean [SUMMARY]
[CONTENT] COVID-19 | 23.071 | 95% | 16.122-30.020 | P < 0.001 ||| COVID-19 | Korean [SUMMARY]
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[CONTENT] 2 | 2019 | COVID-19 | the Republic of Korea ||| COVID-19 | Korean | December 5, 2021 ||| daily | COVID-19 | Korean | September 1, 2021 to April 10, 2022 ||| COVID-19 | Korean | Korean ||| ||| COVID-19 | 23.071 | 95% | 16.122-30.020 | P < 0.001 ||| COVID-19 | Korean ||| Korean [SUMMARY]
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Improving Healthcare Workers' Adherence to Surgical Safety Checklist: The Impact of a Short Training.
35211450
Although surgery is essential in healthcare, a significant number of patients suffer unfair harm while undergoing surgery. Many of these originate from failures in non-technical aspects, especially communication among operators. A surgical safety checklist is a simple tool that helps to reduce surgical adverse events, but even if it is fast to fill out, its compilation is often neglected by the healthcare workers because of unprepared cultural background. The present study aims to value the efficacy of a free intervention, such as a short training about risk management and safety checklist, to improve checklist adherence.
BACKGROUND
In March 2019, the medical and nursing staff of the General Surgical Unit attended a two-lesson theoretical training concerning surgical safety and risk management tools such as the surgical safety checklist. The authors compared the completeness of the surgical checklists after and before the training, considering the same period (2 months) for both groups.
METHODS
The surgical safety checklists were present in 198 cases (70.97%) before the intervention and 231 cases (96.25%) after that. After the training, the compilation adherence increased for every different type of healthcare worker of the unit (surgeons, nurses, anesthetists, and scrab nurses). Furthermore, a longer hospitalization was associated with a higher surgical checklist adherence by the operators.
RESULT
The results showed that a free and simple intervention, such as a two-lesson training, significantly stimulated the correct use of the surgical safety checklist. Moreover, the checklist adherence increased even for the operators who did not attend the training, maybe because of the positive influence of the colleagues' positive behaviors. As the results were promising with only two theoretical lessons, much more can be done to build a new safety culture in healthcare.
CONCLUSIONS
[ "Checklist", "Health Personnel", "Humans", "Patient Safety", "Safety Management" ]
8860967
Introduction
The operating room is a complex system that involves many professionals with different technical tasks. An incompressible risk for the patient is inherent in any type of surgery (especially in emergency or urgent conditions), hence a significant number of patients suffer from harm while undergoing a surgical procedure (1). Around one in twenty patients are exposed to preventable harm, 10% of which was reported in surgery (2). Furthermore, although surgery is an essential resource for health care, the resources invested in it are often inadequate (3). In such a context of limited funds, a surgical error causing serious harm to the patient poses a medical liability issue as well as an ethical one. The four most frequent consequences of surgical errors are surgical wound infection, anatomical dehiscence, deep venous thrombosis, and surgical mortality (4). This also means an increase in the length of hospitalization and costs. Many surgical adverse events originate from failures in non-technical aspects such as leadership, situation awareness, decision making, and especially communication and teamwork among operators (5, 6). Some special incidents within healthcare have been included in a list known as “never events,” which are defined as wholly preventable serious healthcare-related adverse events (7). Regarding surgery, there are three such “never events,” all depending on non-technical aspects: wrong-site surgery, retained foreign object, and incorrect implant (8). Despite their name, the surgical “never events” still happen. Therefore, many attempts to improve communicative aspects of healthcare practice have been described in the literature. For example, in the Policlinico University Hospital of Bari (Italy), Ferorelli et al. tried to standardize the communication in handover by developing a handover checklist model, while in the Columbia University Medical Center of New York City, Nakagawa et al. had positive results by developing a 2-h communication skills training program for general surgery residents (9, 10). A widely employed tool in error management is the checklist, a systematically arranged list of actions, steps, or objects, that allows the user to ensure that all the listed items are considered (11). In 2004, the WHO launched the program “Safe surgery saves life” to improve the safety of surgical care around the world by defining a core set of safety standards that can be applied in all countries and settings. The program regards the surgical checklist as essential and promotes its adoption worldwide (12, 13). Hynes et al., in 2009, demonstrated that the adoption of the surgical checklist reduced the rates of death and complications among surgical patients (14). From 2013, in Apulia Region, Italy, the Units of Regional Health Service applied a revised surgical safety checklist (CL). The CL comprises four parts (called “times”: transfer, sign-in, time-out, and sign-out), each containing different sections that should be filled by every professional involved (surgeons, anesthetists, nurses, and scrab nurses). Still today, the CL is not drawn up regularly and completely, despite the simplicity of compilation and the commitment to include it into the medical records. The correct utilization of such instruments partly depends on the safety knowledge and safety attitudes of healthcare workers (15). The present study aims to measure the impact of the two-lessons training concerning risk management in healthcare. The authors verified the presence and completeness of CL in a third-level hospital after and before such intervention.
Methods
Context In March 2019, the Clinical Risk Board of the Apulia Region, together with the Clinical Risk Unit of a third level university hospital (Policlinico University Hospital of Bari, over 1,000 beds), set up an operative group that involved the medical and nursing staff of the General Surgery Unit, which aimed to promote surgical safety. In April 2019, the members of the operative group attended two theoretical lessons of 1.5 h each about surgical safety and the risk management tools held by an expert of the Clinical Risk Unit. The General Surgery Unit of the Policlinico University Hospital of Bari (which had more than 1,000 beds) has 2 operating rooms and 25 beds. Ten physicians and 24 nurses worked in the unit. In March 2019, the Clinical Risk Board of the Apulia Region, together with the Clinical Risk Unit of a third level university hospital (Policlinico University Hospital of Bari, over 1,000 beds), set up an operative group that involved the medical and nursing staff of the General Surgery Unit, which aimed to promote surgical safety. In April 2019, the members of the operative group attended two theoretical lessons of 1.5 h each about surgical safety and the risk management tools held by an expert of the Clinical Risk Unit. The General Surgery Unit of the Policlinico University Hospital of Bari (which had more than 1,000 beds) has 2 operating rooms and 25 beds. Ten physicians and 24 nurses worked in the unit. Intervention The program contained the following lessons: Ricks and safety in a complex system (first session) The risk management in healthcare (first session) Incident reporting and no-blame culture (second session) Clinical safety checklist: history and achievement of a safety tool (second session). Every physician and nurse in the unit attended at least one of the lessons but the anesthetists and the scrub nurses did not because they rotate between the different surgery units. The authors valued the completeness of the CL in the General Surgery Unit after and before this intervention by checking the clinical records. The participants did not know about the study. The program contained the following lessons: Ricks and safety in a complex system (first session) The risk management in healthcare (first session) Incident reporting and no-blame culture (second session) Clinical safety checklist: history and achievement of a safety tool (second session). Every physician and nurse in the unit attended at least one of the lessons but the anesthetists and the scrub nurses did not because they rotate between the different surgery units. The authors valued the completeness of the CL in the General Surgery Unit after and before this intervention by checking the clinical records. The participants did not know about the study. Study of the Intervention and Measures First, the investigator retrospectively analyzed the clinical records of the 318 patients discharged before the operative group was activated (Before-training group: January 1, 2019–March 31, 2019). Then, the investigator collected the clinical records of the 280 patients discharged after the CL training (After-training group: April 1, 2019–June 30, 2019). The recorded data for each patient were as follows: number of clinical records, date of surgical procedure (if performed), type of procedure, length of hospitalization, presence/absence of CL, and completeness of each different section. The completeness of the sections of CL and the presence/absence of CL were measured to assess the efficacy of the intervention in increasing adherence of operators to CL. The single section completeness was used to draw out the defaulting operator in order to measure the differences. The length of hospitalization and the type of surgery were measured to verify their eventual influence on CL adherence. Excel was employed for data collection, and the statistical analyses were performed by using R software (Pearson χ2 test and Unpaired two-sample Wilcoxon test); p < 0.05 was considered significant. First, the investigator retrospectively analyzed the clinical records of the 318 patients discharged before the operative group was activated (Before-training group: January 1, 2019–March 31, 2019). Then, the investigator collected the clinical records of the 280 patients discharged after the CL training (After-training group: April 1, 2019–June 30, 2019). The recorded data for each patient were as follows: number of clinical records, date of surgical procedure (if performed), type of procedure, length of hospitalization, presence/absence of CL, and completeness of each different section. The completeness of the sections of CL and the presence/absence of CL were measured to assess the efficacy of the intervention in increasing adherence of operators to CL. The single section completeness was used to draw out the defaulting operator in order to measure the differences. The length of hospitalization and the type of surgery were measured to verify their eventual influence on CL adherence. Excel was employed for data collection, and the statistical analyses were performed by using R software (Pearson χ2 test and Unpaired two-sample Wilcoxon test); p < 0.05 was considered significant. Ethical Considerations As no experimentations were conducted and no personal data were collected, according to the local regulation, the study did not require any approval from the Ethical Committee. As no experimentations were conducted and no personal data were collected, according to the local regulation, the study did not require any approval from the Ethical Committee.
Results
A total amount of 598 clinical records of the General Surgery Unit were analyzed. A total of 519 patients (89.79%) had surgery during their hospitalization, with 279 patients in the before-training group (87.74%) and 240 in the after-training group (85.71%) (p = 0.47). According to the type of surgical procedure, the population was divided as follows: 161 patients (78 before-training and 83 after-training) had an intestinal operation; 117 patients (73 before-training and 44 after-training) had a breast operation; 99 patients (49 before-training and 50 after-training) had an hepato-biliary district operation; 45 patients (26 before-training and 19 after-training) had thyroid surgery; 24 patients (13 before-training and 11 after-training) had an operation for hernia; 22 patients (17 before-training and 5 after-training) had an esophagus or stomach surgery; and 51 patients (23 before-training and 28 after-training) had another type of operation (p = 0.06). The CL was present (completely or partially filled) in 198 procedures (70.97%) in the pre-training group, and 231 (96.25%) in the after-training group (p < 0.01) (Table 1). Completeness of checklists. The CL was wholly filled in 57 cases (20.43%) in the before-training group and 105 (43.75%) in the after-training group (p < 0.01), while incompletely filled in 141 cases (50.54%) before the training and 126 cases (52.50%) after the training (p < 0.01). Among all the incomplete CL, it was pointed out which was the defaulting operator. The “transfer time” comprises one section for the surgeons and one for the nurses, while the “sign-in time,” the “time-out time,” and “sign-out time” contain one section for each of the surgeons, nurses, anesthetists, and scrub nurses. So, every CL contains 14 sections. All the professionals showed a significant increase in CL adherence (Table 2). Incomplete checklist per operator. S, surgeon; A, anesthetist; N, nurse; SN, scrab nurse. The length of hospitalization of each included patient was measured before and after the training. Both the before-training (median = 3; interquartile range: 2–6) and the after-training (median = 4; interquartile range: 2–7) groups have a similar non-parametric distribution of length of hospitalization (p = 0.72). Considering all patients, the hospitalization is significantly longer when the CL is present (Median = 3; interquartile range: 2–7) than when it is absent (median = 2; interquartile range: 2–5) (p < 0.01) (Table 3). Length of hospitalization (days). CL, checklist.
null
null
[ "Context", "Intervention", "Study of the Intervention and Measures", "Ethical Considerations", "Author Contributions" ]
[ "In March 2019, the Clinical Risk Board of the Apulia Region, together with the Clinical Risk Unit of a third level university hospital (Policlinico University Hospital of Bari, over 1,000 beds), set up an operative group that involved the medical and nursing staff of the General Surgery Unit, which aimed to promote surgical safety. In April 2019, the members of the operative group attended two theoretical lessons of 1.5 h each about surgical safety and the risk management tools held by an expert of the Clinical Risk Unit.\nThe General Surgery Unit of the Policlinico University Hospital of Bari (which had more than 1,000 beds) has 2 operating rooms and 25 beds. Ten physicians and 24 nurses worked in the unit.", "The program contained the following lessons:\nRicks and safety in a complex system (first session)\nThe risk management in healthcare (first session)\nIncident reporting and no-blame culture (second session)\nClinical safety checklist: history and achievement of a safety tool (second session).\nEvery physician and nurse in the unit attended at least one of the lessons but the anesthetists and the scrub nurses did not because they rotate between the different surgery units. The authors valued the completeness of the CL in the General Surgery Unit after and before this intervention by checking the clinical records. The participants did not know about the study.", "First, the investigator retrospectively analyzed the clinical records of the 318 patients discharged before the operative group was activated (Before-training group: January 1, 2019–March 31, 2019). Then, the investigator collected the clinical records of the 280 patients discharged after the CL training (After-training group: April 1, 2019–June 30, 2019).\nThe recorded data for each patient were as follows: number of clinical records, date of surgical procedure (if performed), type of procedure, length of hospitalization, presence/absence of CL, and completeness of each different section. The completeness of the sections of CL and the presence/absence of CL were measured to assess the efficacy of the intervention in increasing adherence of operators to CL. The single section completeness was used to draw out the defaulting operator in order to measure the differences. The length of hospitalization and the type of surgery were measured to verify their eventual influence on CL adherence.\nExcel was employed for data collection, and the statistical analyses were performed by using R software (Pearson χ2 test and Unpaired two-sample Wilcoxon test); p < 0.05 was considered significant.", "As no experimentations were conducted and no personal data were collected, according to the local regulation, the study did not require any approval from the Ethical Committee.", "DF conceptualized the study and wrote the original draft. MB was responsible for data curation and analysis. LD, AC, LS, and FZ collaborated in investigation and data collection. LV and GM lead writing, reviewing, and editing. AD and BS supervised the research project. All authors have read and agreed to the published version of the manuscript." ]
[ null, null, null, null, null ]
[ "Introduction", "Methods", "Context", "Intervention", "Study of the Intervention and Measures", "Ethical Considerations", "Results", "Discussion", "Data Availability Statement", "Author Contributions", "Conflict of Interest", "Publisher's Note" ]
[ "The operating room is a complex system that involves many professionals with different technical tasks. An incompressible risk for the patient is inherent in any type of surgery (especially in emergency or urgent conditions), hence a significant number of patients suffer from harm while undergoing a surgical procedure (1). Around one in twenty patients are exposed to preventable harm, 10% of which was reported in surgery (2). Furthermore, although surgery is an essential resource for health care, the resources invested in it are often inadequate (3). In such a context of limited funds, a surgical error causing serious harm to the patient poses a medical liability issue as well as an ethical one.\nThe four most frequent consequences of surgical errors are surgical wound infection, anatomical dehiscence, deep venous thrombosis, and surgical mortality (4). This also means an increase in the length of hospitalization and costs. Many surgical adverse events originate from failures in non-technical aspects such as leadership, situation awareness, decision making, and especially communication and teamwork among operators (5, 6).\nSome special incidents within healthcare have been included in a list known as “never events,” which are defined as wholly preventable serious healthcare-related adverse events (7). Regarding surgery, there are three such “never events,” all depending on non-technical aspects: wrong-site surgery, retained foreign object, and incorrect implant (8). Despite their name, the surgical “never events” still happen. Therefore, many attempts to improve communicative aspects of healthcare practice have been described in the literature. For example, in the Policlinico University Hospital of Bari (Italy), Ferorelli et al. tried to standardize the communication in handover by developing a handover checklist model, while in the Columbia University Medical Center of New York City, Nakagawa et al. had positive results by developing a 2-h communication skills training program for general surgery residents (9, 10).\nA widely employed tool in error management is the checklist, a systematically arranged list of actions, steps, or objects, that allows the user to ensure that all the listed items are considered (11). In 2004, the WHO launched the program “Safe surgery saves life” to improve the safety of surgical care around the world by defining a core set of safety standards that can be applied in all countries and settings. The program regards the surgical checklist as essential and promotes its adoption worldwide (12, 13). Hynes et al., in 2009, demonstrated that the adoption of the surgical checklist reduced the rates of death and complications among surgical patients (14).\nFrom 2013, in Apulia Region, Italy, the Units of Regional Health Service applied a revised surgical safety checklist (CL). The CL comprises four parts (called “times”: transfer, sign-in, time-out, and sign-out), each containing different sections that should be filled by every professional involved (surgeons, anesthetists, nurses, and scrab nurses). Still today, the CL is not drawn up regularly and completely, despite the simplicity of compilation and the commitment to include it into the medical records. The correct utilization of such instruments partly depends on the safety knowledge and safety attitudes of healthcare workers (15).\nThe present study aims to measure the impact of the two-lessons training concerning risk management in healthcare. The authors verified the presence and completeness of CL in a third-level hospital after and before such intervention.", "Context In March 2019, the Clinical Risk Board of the Apulia Region, together with the Clinical Risk Unit of a third level university hospital (Policlinico University Hospital of Bari, over 1,000 beds), set up an operative group that involved the medical and nursing staff of the General Surgery Unit, which aimed to promote surgical safety. In April 2019, the members of the operative group attended two theoretical lessons of 1.5 h each about surgical safety and the risk management tools held by an expert of the Clinical Risk Unit.\nThe General Surgery Unit of the Policlinico University Hospital of Bari (which had more than 1,000 beds) has 2 operating rooms and 25 beds. Ten physicians and 24 nurses worked in the unit.\nIn March 2019, the Clinical Risk Board of the Apulia Region, together with the Clinical Risk Unit of a third level university hospital (Policlinico University Hospital of Bari, over 1,000 beds), set up an operative group that involved the medical and nursing staff of the General Surgery Unit, which aimed to promote surgical safety. In April 2019, the members of the operative group attended two theoretical lessons of 1.5 h each about surgical safety and the risk management tools held by an expert of the Clinical Risk Unit.\nThe General Surgery Unit of the Policlinico University Hospital of Bari (which had more than 1,000 beds) has 2 operating rooms and 25 beds. Ten physicians and 24 nurses worked in the unit.\nIntervention The program contained the following lessons:\nRicks and safety in a complex system (first session)\nThe risk management in healthcare (first session)\nIncident reporting and no-blame culture (second session)\nClinical safety checklist: history and achievement of a safety tool (second session).\nEvery physician and nurse in the unit attended at least one of the lessons but the anesthetists and the scrub nurses did not because they rotate between the different surgery units. The authors valued the completeness of the CL in the General Surgery Unit after and before this intervention by checking the clinical records. The participants did not know about the study.\nThe program contained the following lessons:\nRicks and safety in a complex system (first session)\nThe risk management in healthcare (first session)\nIncident reporting and no-blame culture (second session)\nClinical safety checklist: history and achievement of a safety tool (second session).\nEvery physician and nurse in the unit attended at least one of the lessons but the anesthetists and the scrub nurses did not because they rotate between the different surgery units. The authors valued the completeness of the CL in the General Surgery Unit after and before this intervention by checking the clinical records. The participants did not know about the study.\nStudy of the Intervention and Measures First, the investigator retrospectively analyzed the clinical records of the 318 patients discharged before the operative group was activated (Before-training group: January 1, 2019–March 31, 2019). Then, the investigator collected the clinical records of the 280 patients discharged after the CL training (After-training group: April 1, 2019–June 30, 2019).\nThe recorded data for each patient were as follows: number of clinical records, date of surgical procedure (if performed), type of procedure, length of hospitalization, presence/absence of CL, and completeness of each different section. The completeness of the sections of CL and the presence/absence of CL were measured to assess the efficacy of the intervention in increasing adherence of operators to CL. The single section completeness was used to draw out the defaulting operator in order to measure the differences. The length of hospitalization and the type of surgery were measured to verify their eventual influence on CL adherence.\nExcel was employed for data collection, and the statistical analyses were performed by using R software (Pearson χ2 test and Unpaired two-sample Wilcoxon test); p < 0.05 was considered significant.\nFirst, the investigator retrospectively analyzed the clinical records of the 318 patients discharged before the operative group was activated (Before-training group: January 1, 2019–March 31, 2019). Then, the investigator collected the clinical records of the 280 patients discharged after the CL training (After-training group: April 1, 2019–June 30, 2019).\nThe recorded data for each patient were as follows: number of clinical records, date of surgical procedure (if performed), type of procedure, length of hospitalization, presence/absence of CL, and completeness of each different section. The completeness of the sections of CL and the presence/absence of CL were measured to assess the efficacy of the intervention in increasing adherence of operators to CL. The single section completeness was used to draw out the defaulting operator in order to measure the differences. The length of hospitalization and the type of surgery were measured to verify their eventual influence on CL adherence.\nExcel was employed for data collection, and the statistical analyses were performed by using R software (Pearson χ2 test and Unpaired two-sample Wilcoxon test); p < 0.05 was considered significant.\nEthical Considerations As no experimentations were conducted and no personal data were collected, according to the local regulation, the study did not require any approval from the Ethical Committee.\nAs no experimentations were conducted and no personal data were collected, according to the local regulation, the study did not require any approval from the Ethical Committee.", "In March 2019, the Clinical Risk Board of the Apulia Region, together with the Clinical Risk Unit of a third level university hospital (Policlinico University Hospital of Bari, over 1,000 beds), set up an operative group that involved the medical and nursing staff of the General Surgery Unit, which aimed to promote surgical safety. In April 2019, the members of the operative group attended two theoretical lessons of 1.5 h each about surgical safety and the risk management tools held by an expert of the Clinical Risk Unit.\nThe General Surgery Unit of the Policlinico University Hospital of Bari (which had more than 1,000 beds) has 2 operating rooms and 25 beds. Ten physicians and 24 nurses worked in the unit.", "The program contained the following lessons:\nRicks and safety in a complex system (first session)\nThe risk management in healthcare (first session)\nIncident reporting and no-blame culture (second session)\nClinical safety checklist: history and achievement of a safety tool (second session).\nEvery physician and nurse in the unit attended at least one of the lessons but the anesthetists and the scrub nurses did not because they rotate between the different surgery units. The authors valued the completeness of the CL in the General Surgery Unit after and before this intervention by checking the clinical records. The participants did not know about the study.", "First, the investigator retrospectively analyzed the clinical records of the 318 patients discharged before the operative group was activated (Before-training group: January 1, 2019–March 31, 2019). Then, the investigator collected the clinical records of the 280 patients discharged after the CL training (After-training group: April 1, 2019–June 30, 2019).\nThe recorded data for each patient were as follows: number of clinical records, date of surgical procedure (if performed), type of procedure, length of hospitalization, presence/absence of CL, and completeness of each different section. The completeness of the sections of CL and the presence/absence of CL were measured to assess the efficacy of the intervention in increasing adherence of operators to CL. The single section completeness was used to draw out the defaulting operator in order to measure the differences. The length of hospitalization and the type of surgery were measured to verify their eventual influence on CL adherence.\nExcel was employed for data collection, and the statistical analyses were performed by using R software (Pearson χ2 test and Unpaired two-sample Wilcoxon test); p < 0.05 was considered significant.", "As no experimentations were conducted and no personal data were collected, according to the local regulation, the study did not require any approval from the Ethical Committee.", "A total amount of 598 clinical records of the General Surgery Unit were analyzed. A total of 519 patients (89.79%) had surgery during their hospitalization, with 279 patients in the before-training group (87.74%) and 240 in the after-training group (85.71%) (p = 0.47).\nAccording to the type of surgical procedure, the population was divided as follows: 161 patients (78 before-training and 83 after-training) had an intestinal operation; 117 patients (73 before-training and 44 after-training) had a breast operation; 99 patients (49 before-training and 50 after-training) had an hepato-biliary district operation; 45 patients (26 before-training and 19 after-training) had thyroid surgery; 24 patients (13 before-training and 11 after-training) had an operation for hernia; 22 patients (17 before-training and 5 after-training) had an esophagus or stomach surgery; and 51 patients (23 before-training and 28 after-training) had another type of operation (p = 0.06).\nThe CL was present (completely or partially filled) in 198 procedures (70.97%) in the pre-training group, and 231 (96.25%) in the after-training group (p < 0.01) (Table 1).\nCompleteness of checklists.\nThe CL was wholly filled in 57 cases (20.43%) in the before-training group and 105 (43.75%) in the after-training group (p < 0.01), while incompletely filled in 141 cases (50.54%) before the training and 126 cases (52.50%) after the training (p < 0.01). Among all the incomplete CL, it was pointed out which was the defaulting operator. The “transfer time” comprises one section for the surgeons and one for the nurses, while the “sign-in time,” the “time-out time,” and “sign-out time” contain one section for each of the surgeons, nurses, anesthetists, and scrub nurses. So, every CL contains 14 sections. All the professionals showed a significant increase in CL adherence (Table 2).\nIncomplete checklist per operator.\nS, surgeon; A, anesthetist; N, nurse; SN, scrab nurse.\nThe length of hospitalization of each included patient was measured before and after the training. Both the before-training (median = 3; interquartile range: 2–6) and the after-training (median = 4; interquartile range: 2–7) groups have a similar non-parametric distribution of length of hospitalization (p = 0.72). Considering all patients, the hospitalization is significantly longer when the CL is present (Median = 3; interquartile range: 2–7) than when it is absent (median = 2; interquartile range: 2–5) (p < 0.01) (Table 3).\nLength of hospitalization (days).\nCL, checklist.", "The present study was aimed to value the efficacy of a simple intervention promoting CL adherence. The authors valued the presence and the completeness of the CL in the clinical records of patients discharged from the General Surgery Unit before (before-training group) and after (after-training group) that operators attended a short training about surgical risk management and the use of CL. According to the results, the CL was often incomplete or absent.\nStudying adherence to the CL may help to understand how to improve such risk management tools. According to a Brazilian study, the American Society of Anaesthesia score (ASA score) and the length of hospitalization of each patient may influence CL adherence (16). The ASA score provides a baseline metric for the fitness of a patient before undergoing surgery in addition to predicting mortality (17). Similarly, the length of hospitalization is partially a function of patient and disease factors (18). The before-training and after-training groups have similar numbers and types of surgeries performed and length of hospitalization.\nThe present study noticed a positive association between the length of hospitalization and CL adherence for both after-training groups and before-training groups. A hypothesis may be that the operators believe that those patients with bad fitness and a high length of hospitalization have an elevated risk of experiencing adverse events, causing them to be more careful about safety tools. Hence, even if every patient requires to be treated in a safe condition, and the CL is quite simple and fast to fill out, as suggested by Weaver et al., the shared (and maybe insufficient) safety culture seems to shape the perception of health operators about “normal” behavior related to patient safety and appears to be change-resistant (19). Therefore, it is essential to ceaselessly carry out proactive clinical risk management in order to achieve a new safety culture in healthcare (20).\nAfter the training, it was observed that there was a sharp increase of present CL (from 70.97 to 96.25%). The wholly filled CL increased from 20.43 to 43.75%, and there was a slight increase of incomplete CL (from 50.50 to 52.50%). Even if those results were promising, similar studies reported even better ones (16, 21).\nAmong all sections of CL, it was possible to identify which operator was the defaulting one. It was just the surgeons and nurses who attended the lessons, as the anesthetists and scrub nurses were not assigned to the General Surgery Unit as they rotated among the different surgical units. Notwithstanding this, all the professionals showed a significant increase in CL compliance. A hypothesis is that the non-trained operators were influenced by the positive behaviors of their colleagues. It means that a simple intervention such as the short theoretical training stimulated a behavioral change that can may be “self-feed.”\nIn conclusion, as shown by several authors, CL compliance is essentially a cultural issue (22–24). Educate the healthcare workers is necessary in order to achieve a new safety culture and a more general no-blame culture (25). The increase in CL adherence is indeed demonstrated to have a positive association with the reduction of complications, morbidity, and mortality after surgery (26–29). It also means a reduction in costs for the healthcare system through different mechanisms. A reduction of direct costs of beds and therapies, the decrease of adverse events, and the better quality of documentation in clinical records could ensure savings in medical liability costs (30).\nThe main limitation of the study is that just a few healthcare workers participated in it. Moreover, other clinical data might be considered as variables. Another limitation is the lack of depth analysis of the specific cultural context. The main strength is that the participants did not know about the study.\nThe next step will be to involve all the professional figures in the training and find new trainers among the training participants (including nurses and anesthetists) to actively involve the operators in risk management. Any clinical and economic results must be longitudinally monitored over time to be able to attract investments in clinical risk governance. The present study reported a significant increase in CL compliance obtained with a short training. To ensure CL adherence among healthcare operators means to promote a new safety culture and to require both an “external” intervention (such as CL training) and an “internal” one (by actively involving operators as trainers).", "The raw data supporting the conclusions of this article will be made available by the authors, without undue reservation.", "DF conceptualized the study and wrote the original draft. MB was responsible for data curation and analysis. LD, AC, LS, and FZ collaborated in investigation and data collection. LV and GM lead writing, reviewing, and editing. AD and BS supervised the research project. All authors have read and agreed to the published version of the manuscript.", "The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.", "All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher." ]
[ "intro", "methods", null, null, null, null, "results", "discussion", "data-availability", null, "COI-statement", "disclaimer" ]
[ "surgical safety checklist", "risk management", "clinical governance", "safety culture", "patient's safety" ]
Introduction: The operating room is a complex system that involves many professionals with different technical tasks. An incompressible risk for the patient is inherent in any type of surgery (especially in emergency or urgent conditions), hence a significant number of patients suffer from harm while undergoing a surgical procedure (1). Around one in twenty patients are exposed to preventable harm, 10% of which was reported in surgery (2). Furthermore, although surgery is an essential resource for health care, the resources invested in it are often inadequate (3). In such a context of limited funds, a surgical error causing serious harm to the patient poses a medical liability issue as well as an ethical one. The four most frequent consequences of surgical errors are surgical wound infection, anatomical dehiscence, deep venous thrombosis, and surgical mortality (4). This also means an increase in the length of hospitalization and costs. Many surgical adverse events originate from failures in non-technical aspects such as leadership, situation awareness, decision making, and especially communication and teamwork among operators (5, 6). Some special incidents within healthcare have been included in a list known as “never events,” which are defined as wholly preventable serious healthcare-related adverse events (7). Regarding surgery, there are three such “never events,” all depending on non-technical aspects: wrong-site surgery, retained foreign object, and incorrect implant (8). Despite their name, the surgical “never events” still happen. Therefore, many attempts to improve communicative aspects of healthcare practice have been described in the literature. For example, in the Policlinico University Hospital of Bari (Italy), Ferorelli et al. tried to standardize the communication in handover by developing a handover checklist model, while in the Columbia University Medical Center of New York City, Nakagawa et al. had positive results by developing a 2-h communication skills training program for general surgery residents (9, 10). A widely employed tool in error management is the checklist, a systematically arranged list of actions, steps, or objects, that allows the user to ensure that all the listed items are considered (11). In 2004, the WHO launched the program “Safe surgery saves life” to improve the safety of surgical care around the world by defining a core set of safety standards that can be applied in all countries and settings. The program regards the surgical checklist as essential and promotes its adoption worldwide (12, 13). Hynes et al., in 2009, demonstrated that the adoption of the surgical checklist reduced the rates of death and complications among surgical patients (14). From 2013, in Apulia Region, Italy, the Units of Regional Health Service applied a revised surgical safety checklist (CL). The CL comprises four parts (called “times”: transfer, sign-in, time-out, and sign-out), each containing different sections that should be filled by every professional involved (surgeons, anesthetists, nurses, and scrab nurses). Still today, the CL is not drawn up regularly and completely, despite the simplicity of compilation and the commitment to include it into the medical records. The correct utilization of such instruments partly depends on the safety knowledge and safety attitudes of healthcare workers (15). The present study aims to measure the impact of the two-lessons training concerning risk management in healthcare. The authors verified the presence and completeness of CL in a third-level hospital after and before such intervention. Methods: Context In March 2019, the Clinical Risk Board of the Apulia Region, together with the Clinical Risk Unit of a third level university hospital (Policlinico University Hospital of Bari, over 1,000 beds), set up an operative group that involved the medical and nursing staff of the General Surgery Unit, which aimed to promote surgical safety. In April 2019, the members of the operative group attended two theoretical lessons of 1.5 h each about surgical safety and the risk management tools held by an expert of the Clinical Risk Unit. The General Surgery Unit of the Policlinico University Hospital of Bari (which had more than 1,000 beds) has 2 operating rooms and 25 beds. Ten physicians and 24 nurses worked in the unit. In March 2019, the Clinical Risk Board of the Apulia Region, together with the Clinical Risk Unit of a third level university hospital (Policlinico University Hospital of Bari, over 1,000 beds), set up an operative group that involved the medical and nursing staff of the General Surgery Unit, which aimed to promote surgical safety. In April 2019, the members of the operative group attended two theoretical lessons of 1.5 h each about surgical safety and the risk management tools held by an expert of the Clinical Risk Unit. The General Surgery Unit of the Policlinico University Hospital of Bari (which had more than 1,000 beds) has 2 operating rooms and 25 beds. Ten physicians and 24 nurses worked in the unit. Intervention The program contained the following lessons: Ricks and safety in a complex system (first session) The risk management in healthcare (first session) Incident reporting and no-blame culture (second session) Clinical safety checklist: history and achievement of a safety tool (second session). Every physician and nurse in the unit attended at least one of the lessons but the anesthetists and the scrub nurses did not because they rotate between the different surgery units. The authors valued the completeness of the CL in the General Surgery Unit after and before this intervention by checking the clinical records. The participants did not know about the study. The program contained the following lessons: Ricks and safety in a complex system (first session) The risk management in healthcare (first session) Incident reporting and no-blame culture (second session) Clinical safety checklist: history and achievement of a safety tool (second session). Every physician and nurse in the unit attended at least one of the lessons but the anesthetists and the scrub nurses did not because they rotate between the different surgery units. The authors valued the completeness of the CL in the General Surgery Unit after and before this intervention by checking the clinical records. The participants did not know about the study. Study of the Intervention and Measures First, the investigator retrospectively analyzed the clinical records of the 318 patients discharged before the operative group was activated (Before-training group: January 1, 2019–March 31, 2019). Then, the investigator collected the clinical records of the 280 patients discharged after the CL training (After-training group: April 1, 2019–June 30, 2019). The recorded data for each patient were as follows: number of clinical records, date of surgical procedure (if performed), type of procedure, length of hospitalization, presence/absence of CL, and completeness of each different section. The completeness of the sections of CL and the presence/absence of CL were measured to assess the efficacy of the intervention in increasing adherence of operators to CL. The single section completeness was used to draw out the defaulting operator in order to measure the differences. The length of hospitalization and the type of surgery were measured to verify their eventual influence on CL adherence. Excel was employed for data collection, and the statistical analyses were performed by using R software (Pearson χ2 test and Unpaired two-sample Wilcoxon test); p < 0.05 was considered significant. First, the investigator retrospectively analyzed the clinical records of the 318 patients discharged before the operative group was activated (Before-training group: January 1, 2019–March 31, 2019). Then, the investigator collected the clinical records of the 280 patients discharged after the CL training (After-training group: April 1, 2019–June 30, 2019). The recorded data for each patient were as follows: number of clinical records, date of surgical procedure (if performed), type of procedure, length of hospitalization, presence/absence of CL, and completeness of each different section. The completeness of the sections of CL and the presence/absence of CL were measured to assess the efficacy of the intervention in increasing adherence of operators to CL. The single section completeness was used to draw out the defaulting operator in order to measure the differences. The length of hospitalization and the type of surgery were measured to verify their eventual influence on CL adherence. Excel was employed for data collection, and the statistical analyses were performed by using R software (Pearson χ2 test and Unpaired two-sample Wilcoxon test); p < 0.05 was considered significant. Ethical Considerations As no experimentations were conducted and no personal data were collected, according to the local regulation, the study did not require any approval from the Ethical Committee. As no experimentations were conducted and no personal data were collected, according to the local regulation, the study did not require any approval from the Ethical Committee. Context: In March 2019, the Clinical Risk Board of the Apulia Region, together with the Clinical Risk Unit of a third level university hospital (Policlinico University Hospital of Bari, over 1,000 beds), set up an operative group that involved the medical and nursing staff of the General Surgery Unit, which aimed to promote surgical safety. In April 2019, the members of the operative group attended two theoretical lessons of 1.5 h each about surgical safety and the risk management tools held by an expert of the Clinical Risk Unit. The General Surgery Unit of the Policlinico University Hospital of Bari (which had more than 1,000 beds) has 2 operating rooms and 25 beds. Ten physicians and 24 nurses worked in the unit. Intervention: The program contained the following lessons: Ricks and safety in a complex system (first session) The risk management in healthcare (first session) Incident reporting and no-blame culture (second session) Clinical safety checklist: history and achievement of a safety tool (second session). Every physician and nurse in the unit attended at least one of the lessons but the anesthetists and the scrub nurses did not because they rotate between the different surgery units. The authors valued the completeness of the CL in the General Surgery Unit after and before this intervention by checking the clinical records. The participants did not know about the study. Study of the Intervention and Measures: First, the investigator retrospectively analyzed the clinical records of the 318 patients discharged before the operative group was activated (Before-training group: January 1, 2019–March 31, 2019). Then, the investigator collected the clinical records of the 280 patients discharged after the CL training (After-training group: April 1, 2019–June 30, 2019). The recorded data for each patient were as follows: number of clinical records, date of surgical procedure (if performed), type of procedure, length of hospitalization, presence/absence of CL, and completeness of each different section. The completeness of the sections of CL and the presence/absence of CL were measured to assess the efficacy of the intervention in increasing adherence of operators to CL. The single section completeness was used to draw out the defaulting operator in order to measure the differences. The length of hospitalization and the type of surgery were measured to verify their eventual influence on CL adherence. Excel was employed for data collection, and the statistical analyses were performed by using R software (Pearson χ2 test and Unpaired two-sample Wilcoxon test); p < 0.05 was considered significant. Ethical Considerations: As no experimentations were conducted and no personal data were collected, according to the local regulation, the study did not require any approval from the Ethical Committee. Results: A total amount of 598 clinical records of the General Surgery Unit were analyzed. A total of 519 patients (89.79%) had surgery during their hospitalization, with 279 patients in the before-training group (87.74%) and 240 in the after-training group (85.71%) (p = 0.47). According to the type of surgical procedure, the population was divided as follows: 161 patients (78 before-training and 83 after-training) had an intestinal operation; 117 patients (73 before-training and 44 after-training) had a breast operation; 99 patients (49 before-training and 50 after-training) had an hepato-biliary district operation; 45 patients (26 before-training and 19 after-training) had thyroid surgery; 24 patients (13 before-training and 11 after-training) had an operation for hernia; 22 patients (17 before-training and 5 after-training) had an esophagus or stomach surgery; and 51 patients (23 before-training and 28 after-training) had another type of operation (p = 0.06). The CL was present (completely or partially filled) in 198 procedures (70.97%) in the pre-training group, and 231 (96.25%) in the after-training group (p < 0.01) (Table 1). Completeness of checklists. The CL was wholly filled in 57 cases (20.43%) in the before-training group and 105 (43.75%) in the after-training group (p < 0.01), while incompletely filled in 141 cases (50.54%) before the training and 126 cases (52.50%) after the training (p < 0.01). Among all the incomplete CL, it was pointed out which was the defaulting operator. The “transfer time” comprises one section for the surgeons and one for the nurses, while the “sign-in time,” the “time-out time,” and “sign-out time” contain one section for each of the surgeons, nurses, anesthetists, and scrub nurses. So, every CL contains 14 sections. All the professionals showed a significant increase in CL adherence (Table 2). Incomplete checklist per operator. S, surgeon; A, anesthetist; N, nurse; SN, scrab nurse. The length of hospitalization of each included patient was measured before and after the training. Both the before-training (median = 3; interquartile range: 2–6) and the after-training (median = 4; interquartile range: 2–7) groups have a similar non-parametric distribution of length of hospitalization (p = 0.72). Considering all patients, the hospitalization is significantly longer when the CL is present (Median = 3; interquartile range: 2–7) than when it is absent (median = 2; interquartile range: 2–5) (p < 0.01) (Table 3). Length of hospitalization (days). CL, checklist. Discussion: The present study was aimed to value the efficacy of a simple intervention promoting CL adherence. The authors valued the presence and the completeness of the CL in the clinical records of patients discharged from the General Surgery Unit before (before-training group) and after (after-training group) that operators attended a short training about surgical risk management and the use of CL. According to the results, the CL was often incomplete or absent. Studying adherence to the CL may help to understand how to improve such risk management tools. According to a Brazilian study, the American Society of Anaesthesia score (ASA score) and the length of hospitalization of each patient may influence CL adherence (16). The ASA score provides a baseline metric for the fitness of a patient before undergoing surgery in addition to predicting mortality (17). Similarly, the length of hospitalization is partially a function of patient and disease factors (18). The before-training and after-training groups have similar numbers and types of surgeries performed and length of hospitalization. The present study noticed a positive association between the length of hospitalization and CL adherence for both after-training groups and before-training groups. A hypothesis may be that the operators believe that those patients with bad fitness and a high length of hospitalization have an elevated risk of experiencing adverse events, causing them to be more careful about safety tools. Hence, even if every patient requires to be treated in a safe condition, and the CL is quite simple and fast to fill out, as suggested by Weaver et al., the shared (and maybe insufficient) safety culture seems to shape the perception of health operators about “normal” behavior related to patient safety and appears to be change-resistant (19). Therefore, it is essential to ceaselessly carry out proactive clinical risk management in order to achieve a new safety culture in healthcare (20). After the training, it was observed that there was a sharp increase of present CL (from 70.97 to 96.25%). The wholly filled CL increased from 20.43 to 43.75%, and there was a slight increase of incomplete CL (from 50.50 to 52.50%). Even if those results were promising, similar studies reported even better ones (16, 21). Among all sections of CL, it was possible to identify which operator was the defaulting one. It was just the surgeons and nurses who attended the lessons, as the anesthetists and scrub nurses were not assigned to the General Surgery Unit as they rotated among the different surgical units. Notwithstanding this, all the professionals showed a significant increase in CL compliance. A hypothesis is that the non-trained operators were influenced by the positive behaviors of their colleagues. It means that a simple intervention such as the short theoretical training stimulated a behavioral change that can may be “self-feed.” In conclusion, as shown by several authors, CL compliance is essentially a cultural issue (22–24). Educate the healthcare workers is necessary in order to achieve a new safety culture and a more general no-blame culture (25). The increase in CL adherence is indeed demonstrated to have a positive association with the reduction of complications, morbidity, and mortality after surgery (26–29). It also means a reduction in costs for the healthcare system through different mechanisms. A reduction of direct costs of beds and therapies, the decrease of adverse events, and the better quality of documentation in clinical records could ensure savings in medical liability costs (30). The main limitation of the study is that just a few healthcare workers participated in it. Moreover, other clinical data might be considered as variables. Another limitation is the lack of depth analysis of the specific cultural context. The main strength is that the participants did not know about the study. The next step will be to involve all the professional figures in the training and find new trainers among the training participants (including nurses and anesthetists) to actively involve the operators in risk management. Any clinical and economic results must be longitudinally monitored over time to be able to attract investments in clinical risk governance. The present study reported a significant increase in CL compliance obtained with a short training. To ensure CL adherence among healthcare operators means to promote a new safety culture and to require both an “external” intervention (such as CL training) and an “internal” one (by actively involving operators as trainers). Data Availability Statement: The raw data supporting the conclusions of this article will be made available by the authors, without undue reservation. Author Contributions: DF conceptualized the study and wrote the original draft. MB was responsible for data curation and analysis. LD, AC, LS, and FZ collaborated in investigation and data collection. LV and GM lead writing, reviewing, and editing. AD and BS supervised the research project. All authors have read and agreed to the published version of the manuscript. Conflict of Interest: The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest. Publisher's Note: All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.
Background: Although surgery is essential in healthcare, a significant number of patients suffer unfair harm while undergoing surgery. Many of these originate from failures in non-technical aspects, especially communication among operators. A surgical safety checklist is a simple tool that helps to reduce surgical adverse events, but even if it is fast to fill out, its compilation is often neglected by the healthcare workers because of unprepared cultural background. The present study aims to value the efficacy of a free intervention, such as a short training about risk management and safety checklist, to improve checklist adherence. Methods: In March 2019, the medical and nursing staff of the General Surgical Unit attended a two-lesson theoretical training concerning surgical safety and risk management tools such as the surgical safety checklist. The authors compared the completeness of the surgical checklists after and before the training, considering the same period (2 months) for both groups. Results: The surgical safety checklists were present in 198 cases (70.97%) before the intervention and 231 cases (96.25%) after that. After the training, the compilation adherence increased for every different type of healthcare worker of the unit (surgeons, nurses, anesthetists, and scrab nurses). Furthermore, a longer hospitalization was associated with a higher surgical checklist adherence by the operators. Conclusions: The results showed that a free and simple intervention, such as a two-lesson training, significantly stimulated the correct use of the surgical safety checklist. Moreover, the checklist adherence increased even for the operators who did not attend the training, maybe because of the positive influence of the colleagues' positive behaviors. As the results were promising with only two theoretical lessons, much more can be done to build a new safety culture in healthcare.
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3,921
341
[ 136, 124, 225, 30, 67 ]
12
[ "cl", "training", "clinical", "surgery", "safety", "unit", "surgical", "risk", "group", "patients" ]
[ "promote surgical safety", "harm undergoing surgical", "surgical risk management", "surgical adverse events", "consequences surgical errors" ]
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[CONTENT] surgical safety checklist | risk management | clinical governance | safety culture | patient's safety [SUMMARY]
[CONTENT] surgical safety checklist | risk management | clinical governance | safety culture | patient's safety [SUMMARY]
[CONTENT] surgical safety checklist | risk management | clinical governance | safety culture | patient's safety [SUMMARY]
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[CONTENT] surgical safety checklist | risk management | clinical governance | safety culture | patient's safety [SUMMARY]
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[CONTENT] Checklist | Health Personnel | Humans | Patient Safety | Safety Management [SUMMARY]
[CONTENT] Checklist | Health Personnel | Humans | Patient Safety | Safety Management [SUMMARY]
[CONTENT] Checklist | Health Personnel | Humans | Patient Safety | Safety Management [SUMMARY]
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[CONTENT] Checklist | Health Personnel | Humans | Patient Safety | Safety Management [SUMMARY]
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[CONTENT] promote surgical safety | harm undergoing surgical | surgical risk management | surgical adverse events | consequences surgical errors [SUMMARY]
[CONTENT] promote surgical safety | harm undergoing surgical | surgical risk management | surgical adverse events | consequences surgical errors [SUMMARY]
[CONTENT] promote surgical safety | harm undergoing surgical | surgical risk management | surgical adverse events | consequences surgical errors [SUMMARY]
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[CONTENT] promote surgical safety | harm undergoing surgical | surgical risk management | surgical adverse events | consequences surgical errors [SUMMARY]
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[CONTENT] cl | training | clinical | surgery | safety | unit | surgical | risk | group | patients [SUMMARY]
[CONTENT] cl | training | clinical | surgery | safety | unit | surgical | risk | group | patients [SUMMARY]
[CONTENT] cl | training | clinical | surgery | safety | unit | surgical | risk | group | patients [SUMMARY]
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[CONTENT] cl | training | clinical | surgery | safety | unit | surgical | risk | group | patients [SUMMARY]
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[CONTENT] surgical | events | surgery | healthcare | checklist | safety | communication | harm | aspects | technical [SUMMARY]
[CONTENT] 2019 | clinical | unit | cl | session | safety | group | risk | surgery | clinical records [SUMMARY]
[CONTENT] training | patients | operation | training group | interquartile | median | median interquartile | median interquartile range | 01 | range [SUMMARY]
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[CONTENT] training | cl | clinical | safety | unit | surgery | data | risk | 2019 | group [SUMMARY]
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[CONTENT] ||| ||| ||| [SUMMARY]
[CONTENT] March 2019 | the General Surgical Unit | two ||| 2 months [SUMMARY]
[CONTENT] 198 | 70.97% | 231 | 96.25% ||| ||| [SUMMARY]
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[CONTENT] ||| ||| ||| ||| March 2019 | the General Surgical Unit | two ||| 2 months ||| ||| 198 | 70.97% | 231 | 96.25% ||| ||| ||| two ||| ||| only two [SUMMARY]
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Physician self-reported treatment of brain metastases according to patients' clinical and demographic factors and physician practice setting.
23136987
Limited data guide radiotherapy choices for patients with brain metastases. This survey aimed to identify patient, physician, and practice setting variables associated with reported preferences for different treatment techniques.
BACKGROUND
277 members of the American Society for Radiation Oncology (6% of surveyed physicians) completed a survey regarding treatment preferences for 21 hypothetical patients with brain metastases. Treatment choices included combinations of whole brain radiation therapy (WBRT), stereotactic radiosurgery (SRS), and surgery. Vignettes varied histology, extracranial disease status, Karnofsky Performance Status (KPS), presence of neurologic deficits, lesion size and number. Multivariate generalized estimating equation regression models were used to estimate odds ratios.
METHOD
For a hypothetical patient with 3 lesions or 8 lesions, 21% and 91% of physicians, respectively, chose WBRT alone, compared with 1% selecting WBRT alone for a patient with 1 lesion. 51% chose WBRT alone for a patient with active extracranial disease or KPS=50%. 40% chose SRS alone for an 80 year-old patient with 1 lesion, compared to 29% for a 55 year-old patient. Multivariate modeling detailed factors associated with SRS use, including availability of SRS within one's practice (OR 2.22, 95% CI 1.46-3.37).
RESULTS
Poor prognostic factors, such as advanced age, poor performance status, or active extracranial disease, correspond with an increase in physicians' reported preference for using WBRT. When controlling for clinical factors, equipment access was independently associated with choice of SRS. The large variability in preferences suggests that more information about the relative harms and benefits of these options is needed to guide decision-making.
CONCLUSIONS
[ "Adult", "Aged", "Aged, 80 and over", "Brain Neoplasms", "Carcinoma, Non-Small-Cell Lung", "Choice Behavior", "Combined Modality Therapy", "Cranial Irradiation", "Data Collection", "Demography", "Female", "Humans", "Karnofsky Performance Status", "Lung Neoplasms", "Male", "Melanoma", "Middle Aged", "Neurosurgery", "Patient Selection", "Physicians", "Professional Practice", "Professional Practice Location", "Radiosurgery", "Self Report", "Socioeconomic Factors" ]
3533820
Background
Brain metastases are the most common intracranial tumor, occurring in 20-40% of cancer patients and accounting for 20% of cancer deaths annually [1]. Median survival is 1–2 months with corticosteroids alone [2] or six months with whole brain radiation therapy (WBRT) [3,4]. A major advance in the treatment of these patients was addition of surgery to WBRT for treatment of a single metastasis, which improved local control, distant intracranial control and neurologic survival compared to either modality alone [5,6]. A retrospective study demonstrated differential survival among patients undergoing WBRT according to recursive partitioning analysis (RPA) classes [7]; further prognostic refinements have incorporated histology and number of lesions [8]. More recently, stereotactic radiosurgery (SRS) has been used alone or with WBRT in patients with up to 4 metastases. When compared with WBRT alone, the addition of SRS has improved local control, functional autonomy and survival [5,9-11]. However, WBRT can have significant toxicities, including fatigue, drowsiness and suppressed appetite, and long-term difficulties with learning, memory, concentration, and depression [12-14]. The use of SRS alone controls limited disease and delays the time until WBRT is necessary for distant intracranial progression [12,15,16]. In most clinical trials of therapies for brain metastases, patients have been selected on the basis of having few metastases, stable extracranial disease, and excellent performance status. In clinical practice, patients with brain metastases are a heterogeneous population, and decision-making requires the synthesis of multiple variables. The objective of this survey of radiation oncologists was to identify patient factors, physician characteristics, and practice setting variables associated with physicians’ preferred use of different techniques for treating brain metastases. This survey aimed to generate data that would allow physicians to: (1) compare their practice patterns to a national sample; (2) assess the influence of their practice environment on treatment choice; and (3) generate new hypotheses regarding appropriate treatment.
Methods
This project was approved by the IRB of Harvard Medical School. The survey was launched online, and physician members of the American Society for Therapeutic Radiology and Oncology (ASTRO) were emailed a recruitment letter. Eligibility criteria included respondent status as a U.S. or Canadian physician in the ASTRO database, valid email address, and current management of patients with brain metastases, as reflected by the screener question. Respondents linked directly to the survey from the email, and there was no incentive for survey participation. Data collection Data was de-identified and collected through the online survey tool for one month. We emailed surveys to 4357 physician members of ASTRO on September 26, 2008, and the survey was closed on October 26, 2008. 417 respondents answered at least one question, and 277 answered all demographic and clinical questions, for a response rate of 6%. Despite our low response rate, physician respondents were representative of practicing radiation oncologists when compared to respondents to the American College of Radiology’s (ACR) Survey of Radiation Oncologists. Our sample was similar to the ACR survey on selected characteristics such as sex (73% male in our survey, 77% in ACR), age (62% ages 35–54 in our survey, 65% in ACR) and being in private practice (52% in our survey, 48% in ACR) [17]. However, it was not possible to assess interest in SRS or palliative care, or use of advanced technology, among those included in the ACR sample, which limits the comparison. The survey was designed to: (1) describe radiation oncologists’ patterns of treatment of patients with brain metastases; and (2) identify clinical, demographic, and practice setting factors associated with treatment patterns. To test physician practices, a series of short hypothetical clinical vignettes were developed to assess respondents’ preferred treatment modalities. Vignettes have been demonstrated to be a valid study tool when compared with actual clinical practice patterns [18]. Treatment options for each vignette were identical: WBRT alone; WBRT with SRS; SRS alone; WBRT with surgery; or no treatment. We constructed 3 versions of a reference vignette: the first with 1 metastasis, the next with 3 metastases, and one with 8 metastases. Each reference vignette described a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, Karnofsky Performance Status (KPS) 80%, and asymptomatic, small brain lesion(s). For each of these 3 vignettes, we asked about 6 additional patients, modifying a single variable: melanoma histology, active extracranial disease, KPS 50%, presence of neurologic deficit, age of 80 years old, and large lesion (Figure 1). Variations under assumptions of 1, 3, 8 metastases in each Reference Patient. The survey sequentially varied the characteristics of each Reference Patient to create vignettes for Patients 1–6. The effect of each variation was evaluated under assumptions of 1, 3, and 8 lesions, respective to each vignette’s Reference Patient. Other survey items assessed factors related to the patient, physician, or practice setting. These questions included physician demographics, practice environment, availability of SRS, and opinions about the nature of intracranial disease and the toxicity of its treatment. A copy of our survey is included as supplementary material (Additional file 1: Appendix 1). Data regarding non-respondents were not collected. Data was de-identified and collected through the online survey tool for one month. We emailed surveys to 4357 physician members of ASTRO on September 26, 2008, and the survey was closed on October 26, 2008. 417 respondents answered at least one question, and 277 answered all demographic and clinical questions, for a response rate of 6%. Despite our low response rate, physician respondents were representative of practicing radiation oncologists when compared to respondents to the American College of Radiology’s (ACR) Survey of Radiation Oncologists. Our sample was similar to the ACR survey on selected characteristics such as sex (73% male in our survey, 77% in ACR), age (62% ages 35–54 in our survey, 65% in ACR) and being in private practice (52% in our survey, 48% in ACR) [17]. However, it was not possible to assess interest in SRS or palliative care, or use of advanced technology, among those included in the ACR sample, which limits the comparison. The survey was designed to: (1) describe radiation oncologists’ patterns of treatment of patients with brain metastases; and (2) identify clinical, demographic, and practice setting factors associated with treatment patterns. To test physician practices, a series of short hypothetical clinical vignettes were developed to assess respondents’ preferred treatment modalities. Vignettes have been demonstrated to be a valid study tool when compared with actual clinical practice patterns [18]. Treatment options for each vignette were identical: WBRT alone; WBRT with SRS; SRS alone; WBRT with surgery; or no treatment. We constructed 3 versions of a reference vignette: the first with 1 metastasis, the next with 3 metastases, and one with 8 metastases. Each reference vignette described a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, Karnofsky Performance Status (KPS) 80%, and asymptomatic, small brain lesion(s). For each of these 3 vignettes, we asked about 6 additional patients, modifying a single variable: melanoma histology, active extracranial disease, KPS 50%, presence of neurologic deficit, age of 80 years old, and large lesion (Figure 1). Variations under assumptions of 1, 3, 8 metastases in each Reference Patient. The survey sequentially varied the characteristics of each Reference Patient to create vignettes for Patients 1–6. The effect of each variation was evaluated under assumptions of 1, 3, and 8 lesions, respective to each vignette’s Reference Patient. Other survey items assessed factors related to the patient, physician, or practice setting. These questions included physician demographics, practice environment, availability of SRS, and opinions about the nature of intracranial disease and the toxicity of its treatment. A copy of our survey is included as supplementary material (Additional file 1: Appendix 1). Data regarding non-respondents were not collected. Statistical analysis Effects of patient clinical characteristics on treatment choices For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19]. For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19]. Effects of patient &physician characteristics on odds of including SRS We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models. All parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses. We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models. All parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses. Effects of patient clinical characteristics on treatment choices For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19]. For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19]. Effects of patient &physician characteristics on odds of including SRS We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models. All parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses. We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models. All parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses.
Results
Physician demographics and practice environment The characteristics of our survey respondents are shown in Table 1. Sixty percent of respondents were in single-specialty group practices. Most practices were hospital-based, academic (38%) or private (30%). Seventy-six percent of respondents treated 10–50 patients with brain metastases per year. Forty-four percent of respondents performed SRS, while 35% had a colleague at their institution who performed SRS. Sixty-one percent of respondents had LINAC-based SRS, and 18% had no SRS equipment. Distribution of Physician Characteristics (N=277) 1 Respondents were permitted to select more than one modality. 2 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases. * Stereotactic radiosurgery. Physicians’ responses to the 21 vignettes varied substantially (Table 2). Multivariable modeling revealed clinical factors influencing treatment selection (Tables 3, 4, 5; complete results in Additional file 2: Appendix 2). Unadjusted Response (in %) Among Radiation Oncologist (N=277) 1 Abbreviations as follows: Whole Brain Radiation Therapy (WBRT); Whole Brain Radiation Therapy with Stereotactic Radiosurgery (WBRT+SRS); Stereotactic Radiosurgery (SRS); Surgery with Whole Brain Radiation Therapy (SURG+WBRT). 2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion. 3 Patient characteristics were varied sequentially with each patient differing by a single characteristic from the reference patient as shown in Figure 1. * Whole brain radiation therapy. † Stereotactic radiosurgery. Odds Ratios for Choice of WBRT* alone versus SRS† Alone Odds Ratios for Choice of WBRT alone versus WBRT with SRS Odds Ratios for Choice of WBRT with SRS versus SRS alone Notes Odds ratios (OR) are quoted with their 95% confidence intervals in parentheses. "*" Denotes significant odds ratios at the 0.05 level. The odds ratios compare odds of choosing each given treatment, with the odds of choosing the treatments serving as reference categories. * Whole brain radiation therapy. † Stereotactic radiosurgery. †† Confidence intervals. § Karnofsky Performance Status. ¶ Non-Small Cell Lung Cancer. The characteristics of our survey respondents are shown in Table 1. Sixty percent of respondents were in single-specialty group practices. Most practices were hospital-based, academic (38%) or private (30%). Seventy-six percent of respondents treated 10–50 patients with brain metastases per year. Forty-four percent of respondents performed SRS, while 35% had a colleague at their institution who performed SRS. Sixty-one percent of respondents had LINAC-based SRS, and 18% had no SRS equipment. Distribution of Physician Characteristics (N=277) 1 Respondents were permitted to select more than one modality. 2 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases. * Stereotactic radiosurgery. Physicians’ responses to the 21 vignettes varied substantially (Table 2). Multivariable modeling revealed clinical factors influencing treatment selection (Tables 3, 4, 5; complete results in Additional file 2: Appendix 2). Unadjusted Response (in %) Among Radiation Oncologist (N=277) 1 Abbreviations as follows: Whole Brain Radiation Therapy (WBRT); Whole Brain Radiation Therapy with Stereotactic Radiosurgery (WBRT+SRS); Stereotactic Radiosurgery (SRS); Surgery with Whole Brain Radiation Therapy (SURG+WBRT). 2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion. 3 Patient characteristics were varied sequentially with each patient differing by a single characteristic from the reference patient as shown in Figure 1. * Whole brain radiation therapy. † Stereotactic radiosurgery. Odds Ratios for Choice of WBRT* alone versus SRS† Alone Odds Ratios for Choice of WBRT alone versus WBRT with SRS Odds Ratios for Choice of WBRT with SRS versus SRS alone Notes Odds ratios (OR) are quoted with their 95% confidence intervals in parentheses. "*" Denotes significant odds ratios at the 0.05 level. The odds ratios compare odds of choosing each given treatment, with the odds of choosing the treatments serving as reference categories. * Whole brain radiation therapy. † Stereotactic radiosurgery. †† Confidence intervals. § Karnofsky Performance Status. ¶ Non-Small Cell Lung Cancer. Whole brain radiation therapy alone WBRT alone was selected frequently, particularly for patients with 8 metastases. For the 80 year-old patient with 3 or 8 metastases, WBRT was commonly preferred (52% and 96% vs. 21% and 91%, respectively, for the 55-year old patient, Table 2). Even for a patient with a single metastasis, 56% of respondents preferred WBRT alone if that patient had KPS 50%; 51% would choose WBRT if the patient had active extracranial disease. In adjusted analyses, all of the clinical variables (melanoma histology, KPS 50%, active extracranial disease, age of 80 years old, presence of focal neurologic deficits, and large lesion) were associated with a higher likelihood of respondents preferring WBRT alone versus either SRS alone (Table 3) or WBRT with SRS (Table 4), except for radioresistant histology. WBRT alone was selected frequently, particularly for patients with 8 metastases. For the 80 year-old patient with 3 or 8 metastases, WBRT was commonly preferred (52% and 96% vs. 21% and 91%, respectively, for the 55-year old patient, Table 2). Even for a patient with a single metastasis, 56% of respondents preferred WBRT alone if that patient had KPS 50%; 51% would choose WBRT if the patient had active extracranial disease. In adjusted analyses, all of the clinical variables (melanoma histology, KPS 50%, active extracranial disease, age of 80 years old, presence of focal neurologic deficits, and large lesion) were associated with a higher likelihood of respondents preferring WBRT alone versus either SRS alone (Table 3) or WBRT with SRS (Table 4), except for radioresistant histology. Addition of surgery For the reference patient with a single metastasis, 44% of respondents selected surgery with WBRT, although most respondents selected a non-operative approach that included SRS (26% WBRT with SRS; 29% SRS alone, for a total of 55% of respondents). When the reference vignette was revised to include the presence of focal neurologic deficits, the distribution of responses was similar for those with 1 lesion, with 48% of respondents preferring surgery with WBRT. When considering patients with a single, large lesion, the percent of respondents choosing surgery with WBRT increased from 44% to 63%. After adjusting for all other clinical factors, respondents were more likely to choose surgery with WBRT rather than WBRT alone for patients with large versus smaller lesions (OR=1.9, 95% CI 1.3-2.8). For 3 or 8 lesions, age 80, active extracranial disease, and KPS 50%, respondents were more likely to choose WBRT alone than surgery with WBRT (Additional file 2: Appendix 2). Melanoma histology and presence of neurologic deficits did not correlate with respondents’ selections. For the reference patient with a single metastasis, 44% of respondents selected surgery with WBRT, although most respondents selected a non-operative approach that included SRS (26% WBRT with SRS; 29% SRS alone, for a total of 55% of respondents). When the reference vignette was revised to include the presence of focal neurologic deficits, the distribution of responses was similar for those with 1 lesion, with 48% of respondents preferring surgery with WBRT. When considering patients with a single, large lesion, the percent of respondents choosing surgery with WBRT increased from 44% to 63%. After adjusting for all other clinical factors, respondents were more likely to choose surgery with WBRT rather than WBRT alone for patients with large versus smaller lesions (OR=1.9, 95% CI 1.3-2.8). For 3 or 8 lesions, age 80, active extracranial disease, and KPS 50%, respondents were more likely to choose WBRT alone than surgery with WBRT (Additional file 2: Appendix 2). Melanoma histology and presence of neurologic deficits did not correlate with respondents’ selections. Addition of stereotactic radiosurgery SRS was commonly preferred by respondents for patients with 3 lesions (23% SRS alone; 54% SRS with WBRT, Table 2), and it largely replaced the use of surgery for the older patient with a single lesion (25% WBRT with SRS; 40% chose SRS alone). Presence of neurological deficits and large lesion size were associated with physicians’ preference for WBRT with SRS over SRS alone (Table 5). However, older age, poorer performance status and melanoma histology were associated with less frequent selection of WBRT with SRS versus SRS alone. SRS was commonly preferred by respondents for patients with 3 lesions (23% SRS alone; 54% SRS with WBRT, Table 2), and it largely replaced the use of surgery for the older patient with a single lesion (25% WBRT with SRS; 40% chose SRS alone). Presence of neurological deficits and large lesion size were associated with physicians’ preference for WBRT with SRS over SRS alone (Table 5). However, older age, poorer performance status and melanoma histology were associated with less frequent selection of WBRT with SRS versus SRS alone. Use of stereotactic radiosurgery Multivariable analysis was performed to identify which factors were independently associated with including SRS as part of treatment (SRS or WBRT with SRS) compared to all other treatment choices (WBRT, WBRT with surgery, no treatment), adjusting for all other characteristics in Table 6. Number of metastases was strongly associated with treatment preferences: after adjustment for all other factors in the model, respondents were significantly more likely to favor SRS for 3 lesions than for 1 (OR=2.22, 95% CI 1.96-2.51), and physicians were 5 times less likely to choose an approach that included SRS for a patient with 8 lesions relative to patients with 1 lesion (OR=0.19, 95% CI 0.15-0.23). Results of logistic regression model showing the reported use of SRS * as part of treatment for brain metastases according to multiple clinical, sociodemographic, and practice setting factors 2 1 Including SRS was defined as either use of SRS alone or with Whole Brain Radiation Therapy (WBRT). 2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion. 3 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases. * Stereotactic radiosurgery. † Whole brain radiation therapy. Across all clinical vignettes, after adjusting for all other factors, poor KPS (OR=0.38, 95% CI 0.31-0.46), active extracranial disease (OR=0.56, 95% CI 0.47-0.65), and large lesion (OR=0.58, 95% CI 0.47-0.71) remained strongly negatively associated with the choice of SRS, while melanoma histology (OR=2.84, 95% CI 2.45-3.29) and advanced age (OR=1.23, 95% CI 1.07-1.41) were positively associated with choice of SRS. Physician access was the strongest factor associated with choosing SRS as part of treatment. Respondents with SRS capability in their own practice were more likely to favor its use for hypothetical patients than those without it (OR=2.22, 95% CI 1.46-3.37). As expected, those physicians who personally used SRS were more likely to recommend it than those who did not have it or use it personally in their practice (OR=3.57, 95% CI 2.42-5.26). Patient volume and physician seniority were examined, but were not associated with SRS use. Multivariable analysis was performed to identify which factors were independently associated with including SRS as part of treatment (SRS or WBRT with SRS) compared to all other treatment choices (WBRT, WBRT with surgery, no treatment), adjusting for all other characteristics in Table 6. Number of metastases was strongly associated with treatment preferences: after adjustment for all other factors in the model, respondents were significantly more likely to favor SRS for 3 lesions than for 1 (OR=2.22, 95% CI 1.96-2.51), and physicians were 5 times less likely to choose an approach that included SRS for a patient with 8 lesions relative to patients with 1 lesion (OR=0.19, 95% CI 0.15-0.23). Results of logistic regression model showing the reported use of SRS * as part of treatment for brain metastases according to multiple clinical, sociodemographic, and practice setting factors 2 1 Including SRS was defined as either use of SRS alone or with Whole Brain Radiation Therapy (WBRT). 2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion. 3 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases. * Stereotactic radiosurgery. † Whole brain radiation therapy. Across all clinical vignettes, after adjusting for all other factors, poor KPS (OR=0.38, 95% CI 0.31-0.46), active extracranial disease (OR=0.56, 95% CI 0.47-0.65), and large lesion (OR=0.58, 95% CI 0.47-0.71) remained strongly negatively associated with the choice of SRS, while melanoma histology (OR=2.84, 95% CI 2.45-3.29) and advanced age (OR=1.23, 95% CI 1.07-1.41) were positively associated with choice of SRS. Physician access was the strongest factor associated with choosing SRS as part of treatment. Respondents with SRS capability in their own practice were more likely to favor its use for hypothetical patients than those without it (OR=2.22, 95% CI 1.46-3.37). As expected, those physicians who personally used SRS were more likely to recommend it than those who did not have it or use it personally in their practice (OR=3.57, 95% CI 2.42-5.26). Patient volume and physician seniority were examined, but were not associated with SRS use.
Conclusions
Although many patients with cancer develop brain metastases, there is little data to guide treatment decisions. Our study demonstrates the significant heterogeneity among radiation oncologists in general clinical practice even for patients with identical clinical characteristics. Certain non-clinical factors, such as access to SRS, appear to be key drivers of use of advanced technology. This finding raises the question about what additional incentives could be driving treatment selection in the absence of gold-standard evidence of the superiority of a single approach over other alternatives. Our findings from this survey also underscore the likely uncertainty or disagreement that may exist among radiation oncologists about the relative harms and benefits of different treatment approaches. This uncertainty is likely related to the lack of prospective randomized studies that compare specific single- and multi-modality approaches for the treatment of brain metastases. More research is needed that directly compares the effectiveness of these approaches for a variety of different clinical circumstances. It would also be important to investigate underlying non-clinical factors, such as physician environment, reimbursement, and technology access, which likely contribute to observed heterogeneity of care for patients with brain metastases.
[ "Background", "Data collection", "Statistical analysis", "\nEffects of patient clinical characteristics on treatment choices\n", "Effects of patient &physician characteristics on odds of including SRS", "Physician demographics and practice environment", "Whole brain radiation therapy alone", "Addition of surgery", "Addition of stereotactic radiosurgery", "Use of stereotactic radiosurgery", "Abbreviations", "Competing interests", "Authors’ contributions" ]
[ "Brain metastases are the most common intracranial tumor, occurring in 20-40% of cancer patients and accounting for 20% of cancer deaths annually [1]. Median survival is 1–2 months with corticosteroids alone [2] or six months with whole brain radiation therapy (WBRT) [3,4].\nA major advance in the treatment of these patients was addition of surgery to WBRT for treatment of a single metastasis, which improved local control, distant intracranial control and neurologic survival compared to either modality alone [5,6]. A retrospective study demonstrated differential survival among patients undergoing WBRT according to recursive partitioning analysis (RPA) classes [7]; further prognostic refinements have incorporated histology and number of lesions [8].\nMore recently, stereotactic radiosurgery (SRS) has been used alone or with WBRT in patients with up to 4 metastases. When compared with WBRT alone, the addition of SRS has improved local control, functional autonomy and survival [5,9-11]. However, WBRT can have significant toxicities, including fatigue, drowsiness and suppressed appetite, and long-term difficulties with learning, memory, concentration, and depression [12-14]. The use of SRS alone controls limited disease and delays the time until WBRT is necessary for distant intracranial progression [12,15,16].\nIn most clinical trials of therapies for brain metastases, patients have been selected on the basis of having few metastases, stable extracranial disease, and excellent performance status. In clinical practice, patients with brain metastases are a heterogeneous population, and decision-making requires the synthesis of multiple variables.\nThe objective of this survey of radiation oncologists was to identify patient factors, physician characteristics, and practice setting variables associated with physicians’ preferred use of different techniques for treating brain metastases. This survey aimed to generate data that would allow physicians to: (1) compare their practice patterns to a national sample; (2) assess the influence of their practice environment on treatment choice; and (3) generate new hypotheses regarding appropriate treatment.", "Data was de-identified and collected through the online survey tool for one month. We emailed surveys to 4357 physician members of ASTRO on September 26, 2008, and the survey was closed on October 26, 2008. 417 respondents answered at least one question, and 277 answered all demographic and clinical questions, for a response rate of 6%. Despite our low response rate, physician respondents were representative of practicing radiation oncologists when compared to respondents to the American College of Radiology’s (ACR) Survey of Radiation Oncologists. Our sample was similar to the ACR survey on selected characteristics such as sex (73% male in our survey, 77% in ACR), age (62% ages 35–54 in our survey, 65% in ACR) and being in private practice (52% in our survey, 48% in ACR) [17]. However, it was not possible to assess interest in SRS or palliative care, or use of advanced technology, among those included in the ACR sample, which limits the comparison.\nThe survey was designed to: (1) describe radiation oncologists’ patterns of treatment of patients with brain metastases; and (2) identify clinical, demographic, and practice setting factors associated with treatment patterns. To test physician practices, a series of short hypothetical clinical vignettes were developed to assess respondents’ preferred treatment modalities. Vignettes have been demonstrated to be a valid study tool when compared with actual clinical practice patterns [18]. Treatment options for each vignette were identical: WBRT alone; WBRT with SRS; SRS alone; WBRT with surgery; or no treatment. We constructed 3 versions of a reference vignette: the first with 1 metastasis, the next with 3 metastases, and one with 8 metastases. Each reference vignette described a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, Karnofsky Performance Status (KPS) 80%, and asymptomatic, small brain lesion(s). For each of these 3 vignettes, we asked about 6 additional patients, modifying a single variable: melanoma histology, active extracranial disease, KPS 50%, presence of neurologic deficit, age of 80 years old, and large lesion (Figure 1).\nVariations under assumptions of 1, 3, 8 metastases in each Reference Patient. The survey sequentially varied the characteristics of each Reference Patient to create vignettes for Patients 1–6. The effect of each variation was evaluated under assumptions of 1, 3, and 8 lesions, respective to each vignette’s Reference Patient.\nOther survey items assessed factors related to the patient, physician, or practice setting. These questions included physician demographics, practice environment, availability of SRS, and opinions about the nature of intracranial disease and the toxicity of its treatment. A copy of our survey is included as supplementary material (Additional file 1: Appendix 1). Data regarding non-respondents were not collected.", " \nEffects of patient clinical characteristics on treatment choices\n For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19].\nFor the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19].\n Effects of patient &physician characteristics on odds of including SRS We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models.\nAll parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses.\nWe grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models.\nAll parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses.", "For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19].", "We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models.\nAll parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses.", "The characteristics of our survey respondents are shown in Table 1. Sixty percent of respondents were in single-specialty group practices. Most practices were hospital-based, academic (38%) or private (30%). Seventy-six percent of respondents treated 10–50 patients with brain metastases per year. Forty-four percent of respondents performed SRS, while 35% had a colleague at their institution who performed SRS. Sixty-one percent of respondents had LINAC-based SRS, and 18% had no SRS equipment.\nDistribution of Physician Characteristics (N=277)\n1 Respondents were permitted to select more than one modality.\n2 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases.\n* Stereotactic radiosurgery.\nPhysicians’ responses to the 21 vignettes varied substantially (Table 2). Multivariable modeling revealed clinical factors influencing treatment selection (Tables 3, 4, 5; complete results in Additional file 2: Appendix 2).\nUnadjusted Response (in %) Among Radiation Oncologist (N=277)\n1 Abbreviations as follows: Whole Brain Radiation Therapy (WBRT); Whole Brain Radiation Therapy with Stereotactic Radiosurgery (WBRT+SRS); Stereotactic Radiosurgery (SRS); Surgery with Whole Brain Radiation Therapy (SURG+WBRT).\n2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion.\n3 Patient characteristics were varied sequentially with each patient differing by a single characteristic from the reference patient as shown in Figure 1.\n* Whole brain radiation therapy.\n† Stereotactic radiosurgery.\nOdds Ratios for Choice of WBRT* alone versus SRS† Alone\nOdds Ratios for Choice of WBRT alone versus WBRT with SRS\nOdds Ratios for Choice of WBRT with SRS versus SRS alone\nNotes\nOdds ratios (OR) are quoted with their 95% confidence intervals in parentheses. \"*\" Denotes significant odds ratios at the 0.05 level.\nThe odds ratios compare odds of choosing each given treatment, with the odds of choosing the treatments serving as reference categories.\n* Whole brain radiation therapy.\n† Stereotactic radiosurgery.\n†† Confidence intervals.\n§ Karnofsky Performance Status.\n¶ Non-Small Cell Lung Cancer.", "WBRT alone was selected frequently, particularly for patients with 8 metastases. For the 80 year-old patient with 3 or 8 metastases, WBRT was commonly preferred (52% and 96% vs. 21% and 91%, respectively, for the 55-year old patient, Table 2). Even for a patient with a single metastasis, 56% of respondents preferred WBRT alone if that patient had KPS 50%; 51% would choose WBRT if the patient had active extracranial disease. In adjusted analyses, all of the clinical variables (melanoma histology, KPS 50%, active extracranial disease, age of 80 years old, presence of focal neurologic deficits, and large lesion) were associated with a higher likelihood of respondents preferring WBRT alone versus either SRS alone (Table 3) or WBRT with SRS (Table 4), except for radioresistant histology.", "For the reference patient with a single metastasis, 44% of respondents selected surgery with WBRT, although most respondents selected a non-operative approach that included SRS (26% WBRT with SRS; 29% SRS alone, for a total of 55% of respondents). When the reference vignette was revised to include the presence of focal neurologic deficits, the distribution of responses was similar for those with 1 lesion, with 48% of respondents preferring surgery with WBRT. When considering patients with a single, large lesion, the percent of respondents choosing surgery with WBRT increased from 44% to 63%. After adjusting for all other clinical factors, respondents were more likely to choose surgery with WBRT rather than WBRT alone for patients with large versus smaller lesions (OR=1.9, 95% CI 1.3-2.8). For 3 or 8 lesions, age 80, active extracranial disease, and KPS 50%, respondents were more likely to choose WBRT alone than surgery with WBRT (Additional file 2: Appendix 2). Melanoma histology and presence of neurologic deficits did not correlate with respondents’ selections.", "SRS was commonly preferred by respondents for patients with 3 lesions (23% SRS alone; 54% SRS with WBRT, Table 2), and it largely replaced the use of surgery for the older patient with a single lesion (25% WBRT with SRS; 40% chose SRS alone). Presence of neurological deficits and large lesion size were associated with physicians’ preference for WBRT with SRS over SRS alone (Table 5). However, older age, poorer performance status and melanoma histology were associated with less frequent selection of WBRT with SRS versus SRS alone.", "Multivariable analysis was performed to identify which factors were independently associated with including SRS as part of treatment (SRS or WBRT with SRS) compared to all other treatment choices (WBRT, WBRT with surgery, no treatment), adjusting for all other characteristics in Table 6. Number of metastases was strongly associated with treatment preferences: after adjustment for all other factors in the model, respondents were significantly more likely to favor SRS for 3 lesions than for 1 (OR=2.22, 95% CI 1.96-2.51), and physicians were 5 times less likely to choose an approach that included SRS for a patient with 8 lesions relative to patients with 1 lesion (OR=0.19, 95% CI 0.15-0.23).\n\nResults of logistic regression model showing the reported use of SRS\n\n* \n\nas part of treatment for brain metastases according to multiple clinical, sociodemographic, and practice setting factors\n\n2\n\n\n1 Including SRS was defined as either use of SRS alone or with Whole Brain Radiation Therapy (WBRT).\n2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion.\n3 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases.\n* Stereotactic radiosurgery.\n† Whole brain radiation therapy.\nAcross all clinical vignettes, after adjusting for all other factors, poor KPS (OR=0.38, 95% CI 0.31-0.46), active extracranial disease (OR=0.56, 95% CI 0.47-0.65), and large lesion (OR=0.58, 95% CI 0.47-0.71) remained strongly negatively associated with the choice of SRS, while melanoma histology (OR=2.84, 95% CI 2.45-3.29) and advanced age (OR=1.23, 95% CI 1.07-1.41) were positively associated with choice of SRS. Physician access was the strongest factor associated with choosing SRS as part of treatment. Respondents with SRS capability in their own practice were more likely to favor its use for hypothetical patients than those without it (OR=2.22, 95% CI 1.46-3.37). As expected, those physicians who personally used SRS were more likely to recommend it than those who did not have it or use it personally in their practice (OR=3.57, 95% CI 2.42-5.26). Patient volume and physician seniority were examined, but were not associated with SRS use.", "WBRT: Whole brain radiation therapy; SRS: Stereotactic radiosurgery; KPS: Karnofsky performance status; RPA: Recursive partitioning analysis; ASTRO: American society for therapeutic radiation oncology; ACR: American college of radiology; GEE: Generalized estimating equation; NCCN: National comprehensive cancer network.", "Dr. Ramakrishna has received speaker’s honoraria from and prepared educational materials for Brainlab Ag, Heimstetten, Germany. The remaining authors have no conflicts of interest to disclose.", "NR and MK conceived of the study, designed the survey, and completed data collection. MK, KU, SM, and AP performed statistical analysis and data interpretation. MK, SM, and AP drafted the manuscript. All authors read and approved the final manuscript." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Data collection", "Statistical analysis", "\nEffects of patient clinical characteristics on treatment choices\n", "Effects of patient &physician characteristics on odds of including SRS", "Results", "Physician demographics and practice environment", "Whole brain radiation therapy alone", "Addition of surgery", "Addition of stereotactic radiosurgery", "Use of stereotactic radiosurgery", "Discussion", "Conclusions", "Abbreviations", "Competing interests", "Authors’ contributions", "Supplementary Material" ]
[ "Brain metastases are the most common intracranial tumor, occurring in 20-40% of cancer patients and accounting for 20% of cancer deaths annually [1]. Median survival is 1–2 months with corticosteroids alone [2] or six months with whole brain radiation therapy (WBRT) [3,4].\nA major advance in the treatment of these patients was addition of surgery to WBRT for treatment of a single metastasis, which improved local control, distant intracranial control and neurologic survival compared to either modality alone [5,6]. A retrospective study demonstrated differential survival among patients undergoing WBRT according to recursive partitioning analysis (RPA) classes [7]; further prognostic refinements have incorporated histology and number of lesions [8].\nMore recently, stereotactic radiosurgery (SRS) has been used alone or with WBRT in patients with up to 4 metastases. When compared with WBRT alone, the addition of SRS has improved local control, functional autonomy and survival [5,9-11]. However, WBRT can have significant toxicities, including fatigue, drowsiness and suppressed appetite, and long-term difficulties with learning, memory, concentration, and depression [12-14]. The use of SRS alone controls limited disease and delays the time until WBRT is necessary for distant intracranial progression [12,15,16].\nIn most clinical trials of therapies for brain metastases, patients have been selected on the basis of having few metastases, stable extracranial disease, and excellent performance status. In clinical practice, patients with brain metastases are a heterogeneous population, and decision-making requires the synthesis of multiple variables.\nThe objective of this survey of radiation oncologists was to identify patient factors, physician characteristics, and practice setting variables associated with physicians’ preferred use of different techniques for treating brain metastases. This survey aimed to generate data that would allow physicians to: (1) compare their practice patterns to a national sample; (2) assess the influence of their practice environment on treatment choice; and (3) generate new hypotheses regarding appropriate treatment.", "This project was approved by the IRB of Harvard Medical School. The survey was launched online, and physician members of the American Society for Therapeutic Radiology and Oncology (ASTRO) were emailed a recruitment letter. Eligibility criteria included respondent status as a U.S. or Canadian physician in the ASTRO database, valid email address, and current management of patients with brain metastases, as reflected by the screener question. Respondents linked directly to the survey from the email, and there was no incentive for survey participation.\n Data collection Data was de-identified and collected through the online survey tool for one month. We emailed surveys to 4357 physician members of ASTRO on September 26, 2008, and the survey was closed on October 26, 2008. 417 respondents answered at least one question, and 277 answered all demographic and clinical questions, for a response rate of 6%. Despite our low response rate, physician respondents were representative of practicing radiation oncologists when compared to respondents to the American College of Radiology’s (ACR) Survey of Radiation Oncologists. Our sample was similar to the ACR survey on selected characteristics such as sex (73% male in our survey, 77% in ACR), age (62% ages 35–54 in our survey, 65% in ACR) and being in private practice (52% in our survey, 48% in ACR) [17]. However, it was not possible to assess interest in SRS or palliative care, or use of advanced technology, among those included in the ACR sample, which limits the comparison.\nThe survey was designed to: (1) describe radiation oncologists’ patterns of treatment of patients with brain metastases; and (2) identify clinical, demographic, and practice setting factors associated with treatment patterns. To test physician practices, a series of short hypothetical clinical vignettes were developed to assess respondents’ preferred treatment modalities. Vignettes have been demonstrated to be a valid study tool when compared with actual clinical practice patterns [18]. Treatment options for each vignette were identical: WBRT alone; WBRT with SRS; SRS alone; WBRT with surgery; or no treatment. We constructed 3 versions of a reference vignette: the first with 1 metastasis, the next with 3 metastases, and one with 8 metastases. Each reference vignette described a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, Karnofsky Performance Status (KPS) 80%, and asymptomatic, small brain lesion(s). For each of these 3 vignettes, we asked about 6 additional patients, modifying a single variable: melanoma histology, active extracranial disease, KPS 50%, presence of neurologic deficit, age of 80 years old, and large lesion (Figure 1).\nVariations under assumptions of 1, 3, 8 metastases in each Reference Patient. The survey sequentially varied the characteristics of each Reference Patient to create vignettes for Patients 1–6. The effect of each variation was evaluated under assumptions of 1, 3, and 8 lesions, respective to each vignette’s Reference Patient.\nOther survey items assessed factors related to the patient, physician, or practice setting. These questions included physician demographics, practice environment, availability of SRS, and opinions about the nature of intracranial disease and the toxicity of its treatment. A copy of our survey is included as supplementary material (Additional file 1: Appendix 1). Data regarding non-respondents were not collected.\nData was de-identified and collected through the online survey tool for one month. We emailed surveys to 4357 physician members of ASTRO on September 26, 2008, and the survey was closed on October 26, 2008. 417 respondents answered at least one question, and 277 answered all demographic and clinical questions, for a response rate of 6%. Despite our low response rate, physician respondents were representative of practicing radiation oncologists when compared to respondents to the American College of Radiology’s (ACR) Survey of Radiation Oncologists. Our sample was similar to the ACR survey on selected characteristics such as sex (73% male in our survey, 77% in ACR), age (62% ages 35–54 in our survey, 65% in ACR) and being in private practice (52% in our survey, 48% in ACR) [17]. However, it was not possible to assess interest in SRS or palliative care, or use of advanced technology, among those included in the ACR sample, which limits the comparison.\nThe survey was designed to: (1) describe radiation oncologists’ patterns of treatment of patients with brain metastases; and (2) identify clinical, demographic, and practice setting factors associated with treatment patterns. To test physician practices, a series of short hypothetical clinical vignettes were developed to assess respondents’ preferred treatment modalities. Vignettes have been demonstrated to be a valid study tool when compared with actual clinical practice patterns [18]. Treatment options for each vignette were identical: WBRT alone; WBRT with SRS; SRS alone; WBRT with surgery; or no treatment. We constructed 3 versions of a reference vignette: the first with 1 metastasis, the next with 3 metastases, and one with 8 metastases. Each reference vignette described a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, Karnofsky Performance Status (KPS) 80%, and asymptomatic, small brain lesion(s). For each of these 3 vignettes, we asked about 6 additional patients, modifying a single variable: melanoma histology, active extracranial disease, KPS 50%, presence of neurologic deficit, age of 80 years old, and large lesion (Figure 1).\nVariations under assumptions of 1, 3, 8 metastases in each Reference Patient. The survey sequentially varied the characteristics of each Reference Patient to create vignettes for Patients 1–6. The effect of each variation was evaluated under assumptions of 1, 3, and 8 lesions, respective to each vignette’s Reference Patient.\nOther survey items assessed factors related to the patient, physician, or practice setting. These questions included physician demographics, practice environment, availability of SRS, and opinions about the nature of intracranial disease and the toxicity of its treatment. A copy of our survey is included as supplementary material (Additional file 1: Appendix 1). Data regarding non-respondents were not collected.\n Statistical analysis \nEffects of patient clinical characteristics on treatment choices\n For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19].\nFor the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19].\n Effects of patient &physician characteristics on odds of including SRS We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models.\nAll parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses.\nWe grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models.\nAll parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses.\n \nEffects of patient clinical characteristics on treatment choices\n For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19].\nFor the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19].\n Effects of patient &physician characteristics on odds of including SRS We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models.\nAll parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses.\nWe grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models.\nAll parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses.", "Data was de-identified and collected through the online survey tool for one month. We emailed surveys to 4357 physician members of ASTRO on September 26, 2008, and the survey was closed on October 26, 2008. 417 respondents answered at least one question, and 277 answered all demographic and clinical questions, for a response rate of 6%. Despite our low response rate, physician respondents were representative of practicing radiation oncologists when compared to respondents to the American College of Radiology’s (ACR) Survey of Radiation Oncologists. Our sample was similar to the ACR survey on selected characteristics such as sex (73% male in our survey, 77% in ACR), age (62% ages 35–54 in our survey, 65% in ACR) and being in private practice (52% in our survey, 48% in ACR) [17]. However, it was not possible to assess interest in SRS or palliative care, or use of advanced technology, among those included in the ACR sample, which limits the comparison.\nThe survey was designed to: (1) describe radiation oncologists’ patterns of treatment of patients with brain metastases; and (2) identify clinical, demographic, and practice setting factors associated with treatment patterns. To test physician practices, a series of short hypothetical clinical vignettes were developed to assess respondents’ preferred treatment modalities. Vignettes have been demonstrated to be a valid study tool when compared with actual clinical practice patterns [18]. Treatment options for each vignette were identical: WBRT alone; WBRT with SRS; SRS alone; WBRT with surgery; or no treatment. We constructed 3 versions of a reference vignette: the first with 1 metastasis, the next with 3 metastases, and one with 8 metastases. Each reference vignette described a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, Karnofsky Performance Status (KPS) 80%, and asymptomatic, small brain lesion(s). For each of these 3 vignettes, we asked about 6 additional patients, modifying a single variable: melanoma histology, active extracranial disease, KPS 50%, presence of neurologic deficit, age of 80 years old, and large lesion (Figure 1).\nVariations under assumptions of 1, 3, 8 metastases in each Reference Patient. The survey sequentially varied the characteristics of each Reference Patient to create vignettes for Patients 1–6. The effect of each variation was evaluated under assumptions of 1, 3, and 8 lesions, respective to each vignette’s Reference Patient.\nOther survey items assessed factors related to the patient, physician, or practice setting. These questions included physician demographics, practice environment, availability of SRS, and opinions about the nature of intracranial disease and the toxicity of its treatment. A copy of our survey is included as supplementary material (Additional file 1: Appendix 1). Data regarding non-respondents were not collected.", " \nEffects of patient clinical characteristics on treatment choices\n For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19].\nFor the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19].\n Effects of patient &physician characteristics on odds of including SRS We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models.\nAll parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses.\nWe grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models.\nAll parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses.", "For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19].", "We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models.\nAll parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses.", " Physician demographics and practice environment The characteristics of our survey respondents are shown in Table 1. Sixty percent of respondents were in single-specialty group practices. Most practices were hospital-based, academic (38%) or private (30%). Seventy-six percent of respondents treated 10–50 patients with brain metastases per year. Forty-four percent of respondents performed SRS, while 35% had a colleague at their institution who performed SRS. Sixty-one percent of respondents had LINAC-based SRS, and 18% had no SRS equipment.\nDistribution of Physician Characteristics (N=277)\n1 Respondents were permitted to select more than one modality.\n2 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases.\n* Stereotactic radiosurgery.\nPhysicians’ responses to the 21 vignettes varied substantially (Table 2). Multivariable modeling revealed clinical factors influencing treatment selection (Tables 3, 4, 5; complete results in Additional file 2: Appendix 2).\nUnadjusted Response (in %) Among Radiation Oncologist (N=277)\n1 Abbreviations as follows: Whole Brain Radiation Therapy (WBRT); Whole Brain Radiation Therapy with Stereotactic Radiosurgery (WBRT+SRS); Stereotactic Radiosurgery (SRS); Surgery with Whole Brain Radiation Therapy (SURG+WBRT).\n2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion.\n3 Patient characteristics were varied sequentially with each patient differing by a single characteristic from the reference patient as shown in Figure 1.\n* Whole brain radiation therapy.\n† Stereotactic radiosurgery.\nOdds Ratios for Choice of WBRT* alone versus SRS† Alone\nOdds Ratios for Choice of WBRT alone versus WBRT with SRS\nOdds Ratios for Choice of WBRT with SRS versus SRS alone\nNotes\nOdds ratios (OR) are quoted with their 95% confidence intervals in parentheses. \"*\" Denotes significant odds ratios at the 0.05 level.\nThe odds ratios compare odds of choosing each given treatment, with the odds of choosing the treatments serving as reference categories.\n* Whole brain radiation therapy.\n† Stereotactic radiosurgery.\n†† Confidence intervals.\n§ Karnofsky Performance Status.\n¶ Non-Small Cell Lung Cancer.\nThe characteristics of our survey respondents are shown in Table 1. Sixty percent of respondents were in single-specialty group practices. Most practices were hospital-based, academic (38%) or private (30%). Seventy-six percent of respondents treated 10–50 patients with brain metastases per year. Forty-four percent of respondents performed SRS, while 35% had a colleague at their institution who performed SRS. Sixty-one percent of respondents had LINAC-based SRS, and 18% had no SRS equipment.\nDistribution of Physician Characteristics (N=277)\n1 Respondents were permitted to select more than one modality.\n2 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases.\n* Stereotactic radiosurgery.\nPhysicians’ responses to the 21 vignettes varied substantially (Table 2). Multivariable modeling revealed clinical factors influencing treatment selection (Tables 3, 4, 5; complete results in Additional file 2: Appendix 2).\nUnadjusted Response (in %) Among Radiation Oncologist (N=277)\n1 Abbreviations as follows: Whole Brain Radiation Therapy (WBRT); Whole Brain Radiation Therapy with Stereotactic Radiosurgery (WBRT+SRS); Stereotactic Radiosurgery (SRS); Surgery with Whole Brain Radiation Therapy (SURG+WBRT).\n2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion.\n3 Patient characteristics were varied sequentially with each patient differing by a single characteristic from the reference patient as shown in Figure 1.\n* Whole brain radiation therapy.\n† Stereotactic radiosurgery.\nOdds Ratios for Choice of WBRT* alone versus SRS† Alone\nOdds Ratios for Choice of WBRT alone versus WBRT with SRS\nOdds Ratios for Choice of WBRT with SRS versus SRS alone\nNotes\nOdds ratios (OR) are quoted with their 95% confidence intervals in parentheses. \"*\" Denotes significant odds ratios at the 0.05 level.\nThe odds ratios compare odds of choosing each given treatment, with the odds of choosing the treatments serving as reference categories.\n* Whole brain radiation therapy.\n† Stereotactic radiosurgery.\n†† Confidence intervals.\n§ Karnofsky Performance Status.\n¶ Non-Small Cell Lung Cancer.\n Whole brain radiation therapy alone WBRT alone was selected frequently, particularly for patients with 8 metastases. For the 80 year-old patient with 3 or 8 metastases, WBRT was commonly preferred (52% and 96% vs. 21% and 91%, respectively, for the 55-year old patient, Table 2). Even for a patient with a single metastasis, 56% of respondents preferred WBRT alone if that patient had KPS 50%; 51% would choose WBRT if the patient had active extracranial disease. In adjusted analyses, all of the clinical variables (melanoma histology, KPS 50%, active extracranial disease, age of 80 years old, presence of focal neurologic deficits, and large lesion) were associated with a higher likelihood of respondents preferring WBRT alone versus either SRS alone (Table 3) or WBRT with SRS (Table 4), except for radioresistant histology.\nWBRT alone was selected frequently, particularly for patients with 8 metastases. For the 80 year-old patient with 3 or 8 metastases, WBRT was commonly preferred (52% and 96% vs. 21% and 91%, respectively, for the 55-year old patient, Table 2). Even for a patient with a single metastasis, 56% of respondents preferred WBRT alone if that patient had KPS 50%; 51% would choose WBRT if the patient had active extracranial disease. In adjusted analyses, all of the clinical variables (melanoma histology, KPS 50%, active extracranial disease, age of 80 years old, presence of focal neurologic deficits, and large lesion) were associated with a higher likelihood of respondents preferring WBRT alone versus either SRS alone (Table 3) or WBRT with SRS (Table 4), except for radioresistant histology.\n Addition of surgery For the reference patient with a single metastasis, 44% of respondents selected surgery with WBRT, although most respondents selected a non-operative approach that included SRS (26% WBRT with SRS; 29% SRS alone, for a total of 55% of respondents). When the reference vignette was revised to include the presence of focal neurologic deficits, the distribution of responses was similar for those with 1 lesion, with 48% of respondents preferring surgery with WBRT. When considering patients with a single, large lesion, the percent of respondents choosing surgery with WBRT increased from 44% to 63%. After adjusting for all other clinical factors, respondents were more likely to choose surgery with WBRT rather than WBRT alone for patients with large versus smaller lesions (OR=1.9, 95% CI 1.3-2.8). For 3 or 8 lesions, age 80, active extracranial disease, and KPS 50%, respondents were more likely to choose WBRT alone than surgery with WBRT (Additional file 2: Appendix 2). Melanoma histology and presence of neurologic deficits did not correlate with respondents’ selections.\nFor the reference patient with a single metastasis, 44% of respondents selected surgery with WBRT, although most respondents selected a non-operative approach that included SRS (26% WBRT with SRS; 29% SRS alone, for a total of 55% of respondents). When the reference vignette was revised to include the presence of focal neurologic deficits, the distribution of responses was similar for those with 1 lesion, with 48% of respondents preferring surgery with WBRT. When considering patients with a single, large lesion, the percent of respondents choosing surgery with WBRT increased from 44% to 63%. After adjusting for all other clinical factors, respondents were more likely to choose surgery with WBRT rather than WBRT alone for patients with large versus smaller lesions (OR=1.9, 95% CI 1.3-2.8). For 3 or 8 lesions, age 80, active extracranial disease, and KPS 50%, respondents were more likely to choose WBRT alone than surgery with WBRT (Additional file 2: Appendix 2). Melanoma histology and presence of neurologic deficits did not correlate with respondents’ selections.\n Addition of stereotactic radiosurgery SRS was commonly preferred by respondents for patients with 3 lesions (23% SRS alone; 54% SRS with WBRT, Table 2), and it largely replaced the use of surgery for the older patient with a single lesion (25% WBRT with SRS; 40% chose SRS alone). Presence of neurological deficits and large lesion size were associated with physicians’ preference for WBRT with SRS over SRS alone (Table 5). However, older age, poorer performance status and melanoma histology were associated with less frequent selection of WBRT with SRS versus SRS alone.\nSRS was commonly preferred by respondents for patients with 3 lesions (23% SRS alone; 54% SRS with WBRT, Table 2), and it largely replaced the use of surgery for the older patient with a single lesion (25% WBRT with SRS; 40% chose SRS alone). Presence of neurological deficits and large lesion size were associated with physicians’ preference for WBRT with SRS over SRS alone (Table 5). However, older age, poorer performance status and melanoma histology were associated with less frequent selection of WBRT with SRS versus SRS alone.\n Use of stereotactic radiosurgery Multivariable analysis was performed to identify which factors were independently associated with including SRS as part of treatment (SRS or WBRT with SRS) compared to all other treatment choices (WBRT, WBRT with surgery, no treatment), adjusting for all other characteristics in Table 6. Number of metastases was strongly associated with treatment preferences: after adjustment for all other factors in the model, respondents were significantly more likely to favor SRS for 3 lesions than for 1 (OR=2.22, 95% CI 1.96-2.51), and physicians were 5 times less likely to choose an approach that included SRS for a patient with 8 lesions relative to patients with 1 lesion (OR=0.19, 95% CI 0.15-0.23).\n\nResults of logistic regression model showing the reported use of SRS\n\n* \n\nas part of treatment for brain metastases according to multiple clinical, sociodemographic, and practice setting factors\n\n2\n\n\n1 Including SRS was defined as either use of SRS alone or with Whole Brain Radiation Therapy (WBRT).\n2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion.\n3 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases.\n* Stereotactic radiosurgery.\n† Whole brain radiation therapy.\nAcross all clinical vignettes, after adjusting for all other factors, poor KPS (OR=0.38, 95% CI 0.31-0.46), active extracranial disease (OR=0.56, 95% CI 0.47-0.65), and large lesion (OR=0.58, 95% CI 0.47-0.71) remained strongly negatively associated with the choice of SRS, while melanoma histology (OR=2.84, 95% CI 2.45-3.29) and advanced age (OR=1.23, 95% CI 1.07-1.41) were positively associated with choice of SRS. Physician access was the strongest factor associated with choosing SRS as part of treatment. Respondents with SRS capability in their own practice were more likely to favor its use for hypothetical patients than those without it (OR=2.22, 95% CI 1.46-3.37). As expected, those physicians who personally used SRS were more likely to recommend it than those who did not have it or use it personally in their practice (OR=3.57, 95% CI 2.42-5.26). Patient volume and physician seniority were examined, but were not associated with SRS use.\nMultivariable analysis was performed to identify which factors were independently associated with including SRS as part of treatment (SRS or WBRT with SRS) compared to all other treatment choices (WBRT, WBRT with surgery, no treatment), adjusting for all other characteristics in Table 6. Number of metastases was strongly associated with treatment preferences: after adjustment for all other factors in the model, respondents were significantly more likely to favor SRS for 3 lesions than for 1 (OR=2.22, 95% CI 1.96-2.51), and physicians were 5 times less likely to choose an approach that included SRS for a patient with 8 lesions relative to patients with 1 lesion (OR=0.19, 95% CI 0.15-0.23).\n\nResults of logistic regression model showing the reported use of SRS\n\n* \n\nas part of treatment for brain metastases according to multiple clinical, sociodemographic, and practice setting factors\n\n2\n\n\n1 Including SRS was defined as either use of SRS alone or with Whole Brain Radiation Therapy (WBRT).\n2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion.\n3 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases.\n* Stereotactic radiosurgery.\n† Whole brain radiation therapy.\nAcross all clinical vignettes, after adjusting for all other factors, poor KPS (OR=0.38, 95% CI 0.31-0.46), active extracranial disease (OR=0.56, 95% CI 0.47-0.65), and large lesion (OR=0.58, 95% CI 0.47-0.71) remained strongly negatively associated with the choice of SRS, while melanoma histology (OR=2.84, 95% CI 2.45-3.29) and advanced age (OR=1.23, 95% CI 1.07-1.41) were positively associated with choice of SRS. Physician access was the strongest factor associated with choosing SRS as part of treatment. Respondents with SRS capability in their own practice were more likely to favor its use for hypothetical patients than those without it (OR=2.22, 95% CI 1.46-3.37). As expected, those physicians who personally used SRS were more likely to recommend it than those who did not have it or use it personally in their practice (OR=3.57, 95% CI 2.42-5.26). Patient volume and physician seniority were examined, but were not associated with SRS use.", "The characteristics of our survey respondents are shown in Table 1. Sixty percent of respondents were in single-specialty group practices. Most practices were hospital-based, academic (38%) or private (30%). Seventy-six percent of respondents treated 10–50 patients with brain metastases per year. Forty-four percent of respondents performed SRS, while 35% had a colleague at their institution who performed SRS. Sixty-one percent of respondents had LINAC-based SRS, and 18% had no SRS equipment.\nDistribution of Physician Characteristics (N=277)\n1 Respondents were permitted to select more than one modality.\n2 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases.\n* Stereotactic radiosurgery.\nPhysicians’ responses to the 21 vignettes varied substantially (Table 2). Multivariable modeling revealed clinical factors influencing treatment selection (Tables 3, 4, 5; complete results in Additional file 2: Appendix 2).\nUnadjusted Response (in %) Among Radiation Oncologist (N=277)\n1 Abbreviations as follows: Whole Brain Radiation Therapy (WBRT); Whole Brain Radiation Therapy with Stereotactic Radiosurgery (WBRT+SRS); Stereotactic Radiosurgery (SRS); Surgery with Whole Brain Radiation Therapy (SURG+WBRT).\n2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion.\n3 Patient characteristics were varied sequentially with each patient differing by a single characteristic from the reference patient as shown in Figure 1.\n* Whole brain radiation therapy.\n† Stereotactic radiosurgery.\nOdds Ratios for Choice of WBRT* alone versus SRS† Alone\nOdds Ratios for Choice of WBRT alone versus WBRT with SRS\nOdds Ratios for Choice of WBRT with SRS versus SRS alone\nNotes\nOdds ratios (OR) are quoted with their 95% confidence intervals in parentheses. \"*\" Denotes significant odds ratios at the 0.05 level.\nThe odds ratios compare odds of choosing each given treatment, with the odds of choosing the treatments serving as reference categories.\n* Whole brain radiation therapy.\n† Stereotactic radiosurgery.\n†† Confidence intervals.\n§ Karnofsky Performance Status.\n¶ Non-Small Cell Lung Cancer.", "WBRT alone was selected frequently, particularly for patients with 8 metastases. For the 80 year-old patient with 3 or 8 metastases, WBRT was commonly preferred (52% and 96% vs. 21% and 91%, respectively, for the 55-year old patient, Table 2). Even for a patient with a single metastasis, 56% of respondents preferred WBRT alone if that patient had KPS 50%; 51% would choose WBRT if the patient had active extracranial disease. In adjusted analyses, all of the clinical variables (melanoma histology, KPS 50%, active extracranial disease, age of 80 years old, presence of focal neurologic deficits, and large lesion) were associated with a higher likelihood of respondents preferring WBRT alone versus either SRS alone (Table 3) or WBRT with SRS (Table 4), except for radioresistant histology.", "For the reference patient with a single metastasis, 44% of respondents selected surgery with WBRT, although most respondents selected a non-operative approach that included SRS (26% WBRT with SRS; 29% SRS alone, for a total of 55% of respondents). When the reference vignette was revised to include the presence of focal neurologic deficits, the distribution of responses was similar for those with 1 lesion, with 48% of respondents preferring surgery with WBRT. When considering patients with a single, large lesion, the percent of respondents choosing surgery with WBRT increased from 44% to 63%. After adjusting for all other clinical factors, respondents were more likely to choose surgery with WBRT rather than WBRT alone for patients with large versus smaller lesions (OR=1.9, 95% CI 1.3-2.8). For 3 or 8 lesions, age 80, active extracranial disease, and KPS 50%, respondents were more likely to choose WBRT alone than surgery with WBRT (Additional file 2: Appendix 2). Melanoma histology and presence of neurologic deficits did not correlate with respondents’ selections.", "SRS was commonly preferred by respondents for patients with 3 lesions (23% SRS alone; 54% SRS with WBRT, Table 2), and it largely replaced the use of surgery for the older patient with a single lesion (25% WBRT with SRS; 40% chose SRS alone). Presence of neurological deficits and large lesion size were associated with physicians’ preference for WBRT with SRS over SRS alone (Table 5). However, older age, poorer performance status and melanoma histology were associated with less frequent selection of WBRT with SRS versus SRS alone.", "Multivariable analysis was performed to identify which factors were independently associated with including SRS as part of treatment (SRS or WBRT with SRS) compared to all other treatment choices (WBRT, WBRT with surgery, no treatment), adjusting for all other characteristics in Table 6. Number of metastases was strongly associated with treatment preferences: after adjustment for all other factors in the model, respondents were significantly more likely to favor SRS for 3 lesions than for 1 (OR=2.22, 95% CI 1.96-2.51), and physicians were 5 times less likely to choose an approach that included SRS for a patient with 8 lesions relative to patients with 1 lesion (OR=0.19, 95% CI 0.15-0.23).\n\nResults of logistic regression model showing the reported use of SRS\n\n* \n\nas part of treatment for brain metastases according to multiple clinical, sociodemographic, and practice setting factors\n\n2\n\n\n1 Including SRS was defined as either use of SRS alone or with Whole Brain Radiation Therapy (WBRT).\n2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion.\n3 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases.\n* Stereotactic radiosurgery.\n† Whole brain radiation therapy.\nAcross all clinical vignettes, after adjusting for all other factors, poor KPS (OR=0.38, 95% CI 0.31-0.46), active extracranial disease (OR=0.56, 95% CI 0.47-0.65), and large lesion (OR=0.58, 95% CI 0.47-0.71) remained strongly negatively associated with the choice of SRS, while melanoma histology (OR=2.84, 95% CI 2.45-3.29) and advanced age (OR=1.23, 95% CI 1.07-1.41) were positively associated with choice of SRS. Physician access was the strongest factor associated with choosing SRS as part of treatment. Respondents with SRS capability in their own practice were more likely to favor its use for hypothetical patients than those without it (OR=2.22, 95% CI 1.46-3.37). As expected, those physicians who personally used SRS were more likely to recommend it than those who did not have it or use it personally in their practice (OR=3.57, 95% CI 2.42-5.26). Patient volume and physician seniority were examined, but were not associated with SRS use.", "Treatment of patients with brain metastases is heterogeneous. WBRT is a standard therapy, with the addition of surgery or SRS to WBRT, or SRS used alone, reserved for selected patients on the basis of their clinical characteristics. One potential advantage of local therapy may be avoiding the toxicity of WBRT [12-14]. However, SRS, when used alone, has several disadvantages. SRS alone has been shown to be inferior to the combination of SRS with WBRT for durable local control and distant intracranial control [15]. When studying patients initially undergoing any local therapy – surgery or SRS – more patients required salvage if treated without WBRT [20]. Long-term cognitive outcomes have been shown to be more closely correlated with intracranial progression than with treatment modality, emphasizing the significance of intracranial control over short-term side effects [21,22].\nGiven the limited scope of current studies and the variability in outcomes, National Comprehensive Cancer Network (NCCN) guidelines allow for a wide range of treatment options including WBRT, surgical resection, or SRS, alone or in combinations [23]. Previous reviews of treatment patterns have demonstrated stable rates of surgery since the 1980s, with an increasing use of SRS [24]. Despite clinical trials limiting eligible patients to those with limited central nervous system disease, a recent survey demonstrated that more than half of physician respondents would consider using SRS as an initial treatment for patients with 5 or more intracranial lesions [25]. The increased utilization of SRS as well as the persistent heterogeneity in practice may be due to the time of dissemination of research into clinical practice, or the time to purchase and adoption of new technologies.\nWith mixed evidence and a heterogeneous patient population, treatment decision-making is complex. Significantly, our study demonstrates that although clinical factors, such as number of lesions and patient age, affected treatment selection, physician practice environment had a strong, independent effect on the use of SRS.\nFactors related to the patient’s clinical condition affected treatment selection. There was increased use of WBRT for increasing number of lesions, which is consistent with the lack of evidence to support the use of local techniques for patients with numerous metastases. However, we observed that a substantial proportion of physicians still chose SRS as part of their approach for patients with multiple lesions, particularly for patients with 3 lesions. The increased use of SRS with 3 lesions as compared with 1 was possibly due to the use of surgery for a substantial proportion of patients with 1 lesion, and due to the use of SRS combined with WBRT in patients with 3 lesions. Interestingly, physicians overall selected WBRT for patients with 1, 3, or 8 lesions more often for patients who were frail (increased age, low KPS) and might suffer increased morbidity from WBRT. This finding was unexpected, since WBRT has been shown to cause side effects that might be difficult for frail patients with limited life expectancy to tolerate, such as increasing fatigue, worsening physical function, and deterioration of appetite [7,14,26]. Additional clinical factors may influence treatment selection, but were not addressed in this study, including tumor location and surgical accessibility; additional treatment options not evaluated include the use of SRS in combination with surgery, chemotherapy, and the role of hospice.\nPractice environment and clinical expertise also influenced the use of SRS, even when controlling for clinical factors. Although practice type was not associated with the preference for SRS, the availability of SRS was significantly associated with its use, indicating that patients are more likely to receive this treatment if the physician they see practices it herself or has it available within her practice. This pattern of care could lead to under- or over-utilization of SRS: patients may have treatment guided more by a provider’s practice than by the patient’s clinical condition. Previous studies have demonstrated the association of physician specialization, board certification, treatment volume and time in practice with other cancer-related treatment decisions [27,28]. For example, diagnostic imaging use has increased when such imaging is performed at a self-referred facility [29]. Similarly, radiation oncologists may be prescribing complex treatment approaches more frequently when they have access to the facilities or equipment. Alternatively, this propensity for increased use of SRS with easy access may relate to physicians’ familiarity with their own clinical outcomes when using new technology. Our respondents may also have rates of access to SRS that are not comparable to those available nationwide, since the ACR survey did not report on the availability of SRS equipment.\nOur study has several limitations due to its reliance on physician self-report as a proxy for practice, its timing, and the limited number of respondents. Clinical scenarios were hypothetical and treatment options were limited. Although physician surveys have shown a strong correlation between vignettes and actual practice [18], further objective validation of these data would be desirable, as the vignettes used in this survey were novel. Respondents to this survey were dominantly radiation oncologists, whose treatment decisions may be greatly impacted by other members of the inter-disciplinary oncology team not represented in this survey. Rates of radiosurgery utilization more than doubled between 2000 and 2005, so continued increases in the use of radiosurgery could have occurred since the completion of this survey [30]. Additional research has been published since 2008 that may have resulted in further shifts in practice patterns.\nThe limited number of respondents to our survey limits the generalizability of our findings. The response rate of 6% may indicate that the practice patterns outlined in this study are specific to a subgroup of clinicians with particular interest or expertise in radiosurgery and may not be indicative of global patterns of care. Although respondents were similar to those in the ACR survey, the comparison is limited due to the nature of the variables available; key issues, such as expertise with SRS or volume of patients brain metastases, were not available in the ACR survey for comparison. However, ours is the first study to document practice patterns using vignettes in this clinical setting.", "Although many patients with cancer develop brain metastases, there is little data to guide treatment decisions. Our study demonstrates the significant heterogeneity among radiation oncologists in general clinical practice even for patients with identical clinical characteristics. Certain non-clinical factors, such as access to SRS, appear to be key drivers of use of advanced technology. This finding raises the question about what additional incentives could be driving treatment selection in the absence of gold-standard evidence of the superiority of a single approach over other alternatives. Our findings from this survey also underscore the likely uncertainty or disagreement that may exist among radiation oncologists about the relative harms and benefits of different treatment approaches. This uncertainty is likely related to the lack of prospective randomized studies that compare specific single- and multi-modality approaches for the treatment of brain metastases. More research is needed that directly compares the effectiveness of these approaches for a variety of different clinical circumstances. It would also be important to investigate underlying non-clinical factors, such as physician environment, reimbursement, and technology access, which likely contribute to observed heterogeneity of care for patients with brain metastases.", "WBRT: Whole brain radiation therapy; SRS: Stereotactic radiosurgery; KPS: Karnofsky performance status; RPA: Recursive partitioning analysis; ASTRO: American society for therapeutic radiation oncology; ACR: American college of radiology; GEE: Generalized estimating equation; NCCN: National comprehensive cancer network.", "Dr. Ramakrishna has received speaker’s honoraria from and prepared educational materials for Brainlab Ag, Heimstetten, Germany. The remaining authors have no conflicts of interest to disclose.", "NR and MK conceived of the study, designed the survey, and completed data collection. MK, KU, SM, and AP performed statistical analysis and data interpretation. MK, SM, and AP drafted the manuscript. All authors read and approved the final manuscript.", "Appendix 1. Complete physician survey.\nClick here for file\nAppendix 2. Odds Ratios and Confidence Intervals Comparing the Odds of Treatment Choices for Different Patient Characteristics.\nClick here for file" ]
[ null, "methods", null, null, null, null, "results", null, null, null, null, null, "discussion", "conclusions", null, null, null, "supplementary-material" ]
[ "Brain metastases", "Stereotactic radiosurgery", "Whole brain radiation therapy", "Treatment patterns", "Physician survey" ]
Background: Brain metastases are the most common intracranial tumor, occurring in 20-40% of cancer patients and accounting for 20% of cancer deaths annually [1]. Median survival is 1–2 months with corticosteroids alone [2] or six months with whole brain radiation therapy (WBRT) [3,4]. A major advance in the treatment of these patients was addition of surgery to WBRT for treatment of a single metastasis, which improved local control, distant intracranial control and neurologic survival compared to either modality alone [5,6]. A retrospective study demonstrated differential survival among patients undergoing WBRT according to recursive partitioning analysis (RPA) classes [7]; further prognostic refinements have incorporated histology and number of lesions [8]. More recently, stereotactic radiosurgery (SRS) has been used alone or with WBRT in patients with up to 4 metastases. When compared with WBRT alone, the addition of SRS has improved local control, functional autonomy and survival [5,9-11]. However, WBRT can have significant toxicities, including fatigue, drowsiness and suppressed appetite, and long-term difficulties with learning, memory, concentration, and depression [12-14]. The use of SRS alone controls limited disease and delays the time until WBRT is necessary for distant intracranial progression [12,15,16]. In most clinical trials of therapies for brain metastases, patients have been selected on the basis of having few metastases, stable extracranial disease, and excellent performance status. In clinical practice, patients with brain metastases are a heterogeneous population, and decision-making requires the synthesis of multiple variables. The objective of this survey of radiation oncologists was to identify patient factors, physician characteristics, and practice setting variables associated with physicians’ preferred use of different techniques for treating brain metastases. This survey aimed to generate data that would allow physicians to: (1) compare their practice patterns to a national sample; (2) assess the influence of their practice environment on treatment choice; and (3) generate new hypotheses regarding appropriate treatment. Methods: This project was approved by the IRB of Harvard Medical School. The survey was launched online, and physician members of the American Society for Therapeutic Radiology and Oncology (ASTRO) were emailed a recruitment letter. Eligibility criteria included respondent status as a U.S. or Canadian physician in the ASTRO database, valid email address, and current management of patients with brain metastases, as reflected by the screener question. Respondents linked directly to the survey from the email, and there was no incentive for survey participation. Data collection Data was de-identified and collected through the online survey tool for one month. We emailed surveys to 4357 physician members of ASTRO on September 26, 2008, and the survey was closed on October 26, 2008. 417 respondents answered at least one question, and 277 answered all demographic and clinical questions, for a response rate of 6%. Despite our low response rate, physician respondents were representative of practicing radiation oncologists when compared to respondents to the American College of Radiology’s (ACR) Survey of Radiation Oncologists. Our sample was similar to the ACR survey on selected characteristics such as sex (73% male in our survey, 77% in ACR), age (62% ages 35–54 in our survey, 65% in ACR) and being in private practice (52% in our survey, 48% in ACR) [17]. However, it was not possible to assess interest in SRS or palliative care, or use of advanced technology, among those included in the ACR sample, which limits the comparison. The survey was designed to: (1) describe radiation oncologists’ patterns of treatment of patients with brain metastases; and (2) identify clinical, demographic, and practice setting factors associated with treatment patterns. To test physician practices, a series of short hypothetical clinical vignettes were developed to assess respondents’ preferred treatment modalities. Vignettes have been demonstrated to be a valid study tool when compared with actual clinical practice patterns [18]. Treatment options for each vignette were identical: WBRT alone; WBRT with SRS; SRS alone; WBRT with surgery; or no treatment. We constructed 3 versions of a reference vignette: the first with 1 metastasis, the next with 3 metastases, and one with 8 metastases. Each reference vignette described a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, Karnofsky Performance Status (KPS) 80%, and asymptomatic, small brain lesion(s). For each of these 3 vignettes, we asked about 6 additional patients, modifying a single variable: melanoma histology, active extracranial disease, KPS 50%, presence of neurologic deficit, age of 80 years old, and large lesion (Figure 1). Variations under assumptions of 1, 3, 8 metastases in each Reference Patient. The survey sequentially varied the characteristics of each Reference Patient to create vignettes for Patients 1–6. The effect of each variation was evaluated under assumptions of 1, 3, and 8 lesions, respective to each vignette’s Reference Patient. Other survey items assessed factors related to the patient, physician, or practice setting. These questions included physician demographics, practice environment, availability of SRS, and opinions about the nature of intracranial disease and the toxicity of its treatment. A copy of our survey is included as supplementary material (Additional file 1: Appendix 1). Data regarding non-respondents were not collected. Data was de-identified and collected through the online survey tool for one month. We emailed surveys to 4357 physician members of ASTRO on September 26, 2008, and the survey was closed on October 26, 2008. 417 respondents answered at least one question, and 277 answered all demographic and clinical questions, for a response rate of 6%. Despite our low response rate, physician respondents were representative of practicing radiation oncologists when compared to respondents to the American College of Radiology’s (ACR) Survey of Radiation Oncologists. Our sample was similar to the ACR survey on selected characteristics such as sex (73% male in our survey, 77% in ACR), age (62% ages 35–54 in our survey, 65% in ACR) and being in private practice (52% in our survey, 48% in ACR) [17]. However, it was not possible to assess interest in SRS or palliative care, or use of advanced technology, among those included in the ACR sample, which limits the comparison. The survey was designed to: (1) describe radiation oncologists’ patterns of treatment of patients with brain metastases; and (2) identify clinical, demographic, and practice setting factors associated with treatment patterns. To test physician practices, a series of short hypothetical clinical vignettes were developed to assess respondents’ preferred treatment modalities. Vignettes have been demonstrated to be a valid study tool when compared with actual clinical practice patterns [18]. Treatment options for each vignette were identical: WBRT alone; WBRT with SRS; SRS alone; WBRT with surgery; or no treatment. We constructed 3 versions of a reference vignette: the first with 1 metastasis, the next with 3 metastases, and one with 8 metastases. Each reference vignette described a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, Karnofsky Performance Status (KPS) 80%, and asymptomatic, small brain lesion(s). For each of these 3 vignettes, we asked about 6 additional patients, modifying a single variable: melanoma histology, active extracranial disease, KPS 50%, presence of neurologic deficit, age of 80 years old, and large lesion (Figure 1). Variations under assumptions of 1, 3, 8 metastases in each Reference Patient. The survey sequentially varied the characteristics of each Reference Patient to create vignettes for Patients 1–6. The effect of each variation was evaluated under assumptions of 1, 3, and 8 lesions, respective to each vignette’s Reference Patient. Other survey items assessed factors related to the patient, physician, or practice setting. These questions included physician demographics, practice environment, availability of SRS, and opinions about the nature of intracranial disease and the toxicity of its treatment. A copy of our survey is included as supplementary material (Additional file 1: Appendix 1). Data regarding non-respondents were not collected. Statistical analysis Effects of patient clinical characteristics on treatment choices For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19]. For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19]. Effects of patient &physician characteristics on odds of including SRS We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models. All parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses. We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models. All parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses. Effects of patient clinical characteristics on treatment choices For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19]. For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19]. Effects of patient &physician characteristics on odds of including SRS We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models. All parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses. We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models. All parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses. Data collection: Data was de-identified and collected through the online survey tool for one month. We emailed surveys to 4357 physician members of ASTRO on September 26, 2008, and the survey was closed on October 26, 2008. 417 respondents answered at least one question, and 277 answered all demographic and clinical questions, for a response rate of 6%. Despite our low response rate, physician respondents were representative of practicing radiation oncologists when compared to respondents to the American College of Radiology’s (ACR) Survey of Radiation Oncologists. Our sample was similar to the ACR survey on selected characteristics such as sex (73% male in our survey, 77% in ACR), age (62% ages 35–54 in our survey, 65% in ACR) and being in private practice (52% in our survey, 48% in ACR) [17]. However, it was not possible to assess interest in SRS or palliative care, or use of advanced technology, among those included in the ACR sample, which limits the comparison. The survey was designed to: (1) describe radiation oncologists’ patterns of treatment of patients with brain metastases; and (2) identify clinical, demographic, and practice setting factors associated with treatment patterns. To test physician practices, a series of short hypothetical clinical vignettes were developed to assess respondents’ preferred treatment modalities. Vignettes have been demonstrated to be a valid study tool when compared with actual clinical practice patterns [18]. Treatment options for each vignette were identical: WBRT alone; WBRT with SRS; SRS alone; WBRT with surgery; or no treatment. We constructed 3 versions of a reference vignette: the first with 1 metastasis, the next with 3 metastases, and one with 8 metastases. Each reference vignette described a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, Karnofsky Performance Status (KPS) 80%, and asymptomatic, small brain lesion(s). For each of these 3 vignettes, we asked about 6 additional patients, modifying a single variable: melanoma histology, active extracranial disease, KPS 50%, presence of neurologic deficit, age of 80 years old, and large lesion (Figure 1). Variations under assumptions of 1, 3, 8 metastases in each Reference Patient. The survey sequentially varied the characteristics of each Reference Patient to create vignettes for Patients 1–6. The effect of each variation was evaluated under assumptions of 1, 3, and 8 lesions, respective to each vignette’s Reference Patient. Other survey items assessed factors related to the patient, physician, or practice setting. These questions included physician demographics, practice environment, availability of SRS, and opinions about the nature of intracranial disease and the toxicity of its treatment. A copy of our survey is included as supplementary material (Additional file 1: Appendix 1). Data regarding non-respondents were not collected. Statistical analysis: Effects of patient clinical characteristics on treatment choices For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19]. For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19]. Effects of patient &physician characteristics on odds of including SRS We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models. All parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses. We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models. All parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses. Effects of patient clinical characteristics on treatment choices : For the four category treatment choice responses (WBRT alone, WBRT with SRS, SRS alone, or surgery with WBRT), we used a series of multivariate binomial generalized estimating equation (GEE) models to estimate odds ratios that measured the effects of each change in patients’ clinical characteristics on the odds of each of 4 treatments choices relative to the odds of the remaining 3 alternatives. Since each vignette represented a repeat measurement on a physician, we considered treatment choices as correlated observations clustered within individual physicians. We used an exchangeable correlation structure to account for the correlation of physician responses between vignettes. Graphical techniques were used to assess model adequacy. We chose to use a series of binomial models to model a multi-category response because of the lack of available statistical software to implement multi-category GEE models with exchangeable correlation structure [19]. Effects of patient &physician characteristics on odds of including SRS: We grouped treatment responses that included SRS (SRS or WBRT with SRS) and compared them with the 3 remaining alternatives as a combined reference group (WBRT, WBRT with surgery, or no treatment) in a binomial GEE model that included patient clinical, physician and practice setting characteristics as covariates. These groupings were created to allow for exploration of factors contributing to integrating advanced technology (SRS) into the treatment plan, despite the fact that each treatment approach may have different clinical indications, as explored through the above-detailed models. Working correlations and clustering were treated as in the previous models. All parameter estimates were tested for statistical significance at the 0.05 level. SAS® software version 9.2 was used in all analyses. Results: Physician demographics and practice environment The characteristics of our survey respondents are shown in Table 1. Sixty percent of respondents were in single-specialty group practices. Most practices were hospital-based, academic (38%) or private (30%). Seventy-six percent of respondents treated 10–50 patients with brain metastases per year. Forty-four percent of respondents performed SRS, while 35% had a colleague at their institution who performed SRS. Sixty-one percent of respondents had LINAC-based SRS, and 18% had no SRS equipment. Distribution of Physician Characteristics (N=277) 1 Respondents were permitted to select more than one modality. 2 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases. * Stereotactic radiosurgery. Physicians’ responses to the 21 vignettes varied substantially (Table 2). Multivariable modeling revealed clinical factors influencing treatment selection (Tables 3, 4, 5; complete results in Additional file 2: Appendix 2). Unadjusted Response (in %) Among Radiation Oncologist (N=277) 1 Abbreviations as follows: Whole Brain Radiation Therapy (WBRT); Whole Brain Radiation Therapy with Stereotactic Radiosurgery (WBRT+SRS); Stereotactic Radiosurgery (SRS); Surgery with Whole Brain Radiation Therapy (SURG+WBRT). 2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion. 3 Patient characteristics were varied sequentially with each patient differing by a single characteristic from the reference patient as shown in Figure 1. * Whole brain radiation therapy. † Stereotactic radiosurgery. Odds Ratios for Choice of WBRT* alone versus SRS† Alone Odds Ratios for Choice of WBRT alone versus WBRT with SRS Odds Ratios for Choice of WBRT with SRS versus SRS alone Notes Odds ratios (OR) are quoted with their 95% confidence intervals in parentheses. "*" Denotes significant odds ratios at the 0.05 level. The odds ratios compare odds of choosing each given treatment, with the odds of choosing the treatments serving as reference categories. * Whole brain radiation therapy. † Stereotactic radiosurgery. †† Confidence intervals. § Karnofsky Performance Status. ¶ Non-Small Cell Lung Cancer. The characteristics of our survey respondents are shown in Table 1. Sixty percent of respondents were in single-specialty group practices. Most practices were hospital-based, academic (38%) or private (30%). Seventy-six percent of respondents treated 10–50 patients with brain metastases per year. Forty-four percent of respondents performed SRS, while 35% had a colleague at their institution who performed SRS. Sixty-one percent of respondents had LINAC-based SRS, and 18% had no SRS equipment. Distribution of Physician Characteristics (N=277) 1 Respondents were permitted to select more than one modality. 2 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases. * Stereotactic radiosurgery. Physicians’ responses to the 21 vignettes varied substantially (Table 2). Multivariable modeling revealed clinical factors influencing treatment selection (Tables 3, 4, 5; complete results in Additional file 2: Appendix 2). Unadjusted Response (in %) Among Radiation Oncologist (N=277) 1 Abbreviations as follows: Whole Brain Radiation Therapy (WBRT); Whole Brain Radiation Therapy with Stereotactic Radiosurgery (WBRT+SRS); Stereotactic Radiosurgery (SRS); Surgery with Whole Brain Radiation Therapy (SURG+WBRT). 2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion. 3 Patient characteristics were varied sequentially with each patient differing by a single characteristic from the reference patient as shown in Figure 1. * Whole brain radiation therapy. † Stereotactic radiosurgery. Odds Ratios for Choice of WBRT* alone versus SRS† Alone Odds Ratios for Choice of WBRT alone versus WBRT with SRS Odds Ratios for Choice of WBRT with SRS versus SRS alone Notes Odds ratios (OR) are quoted with their 95% confidence intervals in parentheses. "*" Denotes significant odds ratios at the 0.05 level. The odds ratios compare odds of choosing each given treatment, with the odds of choosing the treatments serving as reference categories. * Whole brain radiation therapy. † Stereotactic radiosurgery. †† Confidence intervals. § Karnofsky Performance Status. ¶ Non-Small Cell Lung Cancer. Whole brain radiation therapy alone WBRT alone was selected frequently, particularly for patients with 8 metastases. For the 80 year-old patient with 3 or 8 metastases, WBRT was commonly preferred (52% and 96% vs. 21% and 91%, respectively, for the 55-year old patient, Table 2). Even for a patient with a single metastasis, 56% of respondents preferred WBRT alone if that patient had KPS 50%; 51% would choose WBRT if the patient had active extracranial disease. In adjusted analyses, all of the clinical variables (melanoma histology, KPS 50%, active extracranial disease, age of 80 years old, presence of focal neurologic deficits, and large lesion) were associated with a higher likelihood of respondents preferring WBRT alone versus either SRS alone (Table 3) or WBRT with SRS (Table 4), except for radioresistant histology. WBRT alone was selected frequently, particularly for patients with 8 metastases. For the 80 year-old patient with 3 or 8 metastases, WBRT was commonly preferred (52% and 96% vs. 21% and 91%, respectively, for the 55-year old patient, Table 2). Even for a patient with a single metastasis, 56% of respondents preferred WBRT alone if that patient had KPS 50%; 51% would choose WBRT if the patient had active extracranial disease. In adjusted analyses, all of the clinical variables (melanoma histology, KPS 50%, active extracranial disease, age of 80 years old, presence of focal neurologic deficits, and large lesion) were associated with a higher likelihood of respondents preferring WBRT alone versus either SRS alone (Table 3) or WBRT with SRS (Table 4), except for radioresistant histology. Addition of surgery For the reference patient with a single metastasis, 44% of respondents selected surgery with WBRT, although most respondents selected a non-operative approach that included SRS (26% WBRT with SRS; 29% SRS alone, for a total of 55% of respondents). When the reference vignette was revised to include the presence of focal neurologic deficits, the distribution of responses was similar for those with 1 lesion, with 48% of respondents preferring surgery with WBRT. When considering patients with a single, large lesion, the percent of respondents choosing surgery with WBRT increased from 44% to 63%. After adjusting for all other clinical factors, respondents were more likely to choose surgery with WBRT rather than WBRT alone for patients with large versus smaller lesions (OR=1.9, 95% CI 1.3-2.8). For 3 or 8 lesions, age 80, active extracranial disease, and KPS 50%, respondents were more likely to choose WBRT alone than surgery with WBRT (Additional file 2: Appendix 2). Melanoma histology and presence of neurologic deficits did not correlate with respondents’ selections. For the reference patient with a single metastasis, 44% of respondents selected surgery with WBRT, although most respondents selected a non-operative approach that included SRS (26% WBRT with SRS; 29% SRS alone, for a total of 55% of respondents). When the reference vignette was revised to include the presence of focal neurologic deficits, the distribution of responses was similar for those with 1 lesion, with 48% of respondents preferring surgery with WBRT. When considering patients with a single, large lesion, the percent of respondents choosing surgery with WBRT increased from 44% to 63%. After adjusting for all other clinical factors, respondents were more likely to choose surgery with WBRT rather than WBRT alone for patients with large versus smaller lesions (OR=1.9, 95% CI 1.3-2.8). For 3 or 8 lesions, age 80, active extracranial disease, and KPS 50%, respondents were more likely to choose WBRT alone than surgery with WBRT (Additional file 2: Appendix 2). Melanoma histology and presence of neurologic deficits did not correlate with respondents’ selections. Addition of stereotactic radiosurgery SRS was commonly preferred by respondents for patients with 3 lesions (23% SRS alone; 54% SRS with WBRT, Table 2), and it largely replaced the use of surgery for the older patient with a single lesion (25% WBRT with SRS; 40% chose SRS alone). Presence of neurological deficits and large lesion size were associated with physicians’ preference for WBRT with SRS over SRS alone (Table 5). However, older age, poorer performance status and melanoma histology were associated with less frequent selection of WBRT with SRS versus SRS alone. SRS was commonly preferred by respondents for patients with 3 lesions (23% SRS alone; 54% SRS with WBRT, Table 2), and it largely replaced the use of surgery for the older patient with a single lesion (25% WBRT with SRS; 40% chose SRS alone). Presence of neurological deficits and large lesion size were associated with physicians’ preference for WBRT with SRS over SRS alone (Table 5). However, older age, poorer performance status and melanoma histology were associated with less frequent selection of WBRT with SRS versus SRS alone. Use of stereotactic radiosurgery Multivariable analysis was performed to identify which factors were independently associated with including SRS as part of treatment (SRS or WBRT with SRS) compared to all other treatment choices (WBRT, WBRT with surgery, no treatment), adjusting for all other characteristics in Table 6. Number of metastases was strongly associated with treatment preferences: after adjustment for all other factors in the model, respondents were significantly more likely to favor SRS for 3 lesions than for 1 (OR=2.22, 95% CI 1.96-2.51), and physicians were 5 times less likely to choose an approach that included SRS for a patient with 8 lesions relative to patients with 1 lesion (OR=0.19, 95% CI 0.15-0.23). Results of logistic regression model showing the reported use of SRS * as part of treatment for brain metastases according to multiple clinical, sociodemographic, and practice setting factors 2 1 Including SRS was defined as either use of SRS alone or with Whole Brain Radiation Therapy (WBRT). 2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion. 3 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases. * Stereotactic radiosurgery. † Whole brain radiation therapy. Across all clinical vignettes, after adjusting for all other factors, poor KPS (OR=0.38, 95% CI 0.31-0.46), active extracranial disease (OR=0.56, 95% CI 0.47-0.65), and large lesion (OR=0.58, 95% CI 0.47-0.71) remained strongly negatively associated with the choice of SRS, while melanoma histology (OR=2.84, 95% CI 2.45-3.29) and advanced age (OR=1.23, 95% CI 1.07-1.41) were positively associated with choice of SRS. Physician access was the strongest factor associated with choosing SRS as part of treatment. Respondents with SRS capability in their own practice were more likely to favor its use for hypothetical patients than those without it (OR=2.22, 95% CI 1.46-3.37). As expected, those physicians who personally used SRS were more likely to recommend it than those who did not have it or use it personally in their practice (OR=3.57, 95% CI 2.42-5.26). Patient volume and physician seniority were examined, but were not associated with SRS use. Multivariable analysis was performed to identify which factors were independently associated with including SRS as part of treatment (SRS or WBRT with SRS) compared to all other treatment choices (WBRT, WBRT with surgery, no treatment), adjusting for all other characteristics in Table 6. Number of metastases was strongly associated with treatment preferences: after adjustment for all other factors in the model, respondents were significantly more likely to favor SRS for 3 lesions than for 1 (OR=2.22, 95% CI 1.96-2.51), and physicians were 5 times less likely to choose an approach that included SRS for a patient with 8 lesions relative to patients with 1 lesion (OR=0.19, 95% CI 0.15-0.23). Results of logistic regression model showing the reported use of SRS * as part of treatment for brain metastases according to multiple clinical, sociodemographic, and practice setting factors 2 1 Including SRS was defined as either use of SRS alone or with Whole Brain Radiation Therapy (WBRT). 2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion. 3 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases. * Stereotactic radiosurgery. † Whole brain radiation therapy. Across all clinical vignettes, after adjusting for all other factors, poor KPS (OR=0.38, 95% CI 0.31-0.46), active extracranial disease (OR=0.56, 95% CI 0.47-0.65), and large lesion (OR=0.58, 95% CI 0.47-0.71) remained strongly negatively associated with the choice of SRS, while melanoma histology (OR=2.84, 95% CI 2.45-3.29) and advanced age (OR=1.23, 95% CI 1.07-1.41) were positively associated with choice of SRS. Physician access was the strongest factor associated with choosing SRS as part of treatment. Respondents with SRS capability in their own practice were more likely to favor its use for hypothetical patients than those without it (OR=2.22, 95% CI 1.46-3.37). As expected, those physicians who personally used SRS were more likely to recommend it than those who did not have it or use it personally in their practice (OR=3.57, 95% CI 2.42-5.26). Patient volume and physician seniority were examined, but were not associated with SRS use. Physician demographics and practice environment: The characteristics of our survey respondents are shown in Table 1. Sixty percent of respondents were in single-specialty group practices. Most practices were hospital-based, academic (38%) or private (30%). Seventy-six percent of respondents treated 10–50 patients with brain metastases per year. Forty-four percent of respondents performed SRS, while 35% had a colleague at their institution who performed SRS. Sixty-one percent of respondents had LINAC-based SRS, and 18% had no SRS equipment. Distribution of Physician Characteristics (N=277) 1 Respondents were permitted to select more than one modality. 2 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases. * Stereotactic radiosurgery. Physicians’ responses to the 21 vignettes varied substantially (Table 2). Multivariable modeling revealed clinical factors influencing treatment selection (Tables 3, 4, 5; complete results in Additional file 2: Appendix 2). Unadjusted Response (in %) Among Radiation Oncologist (N=277) 1 Abbreviations as follows: Whole Brain Radiation Therapy (WBRT); Whole Brain Radiation Therapy with Stereotactic Radiosurgery (WBRT+SRS); Stereotactic Radiosurgery (SRS); Surgery with Whole Brain Radiation Therapy (SURG+WBRT). 2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion. 3 Patient characteristics were varied sequentially with each patient differing by a single characteristic from the reference patient as shown in Figure 1. * Whole brain radiation therapy. † Stereotactic radiosurgery. Odds Ratios for Choice of WBRT* alone versus SRS† Alone Odds Ratios for Choice of WBRT alone versus WBRT with SRS Odds Ratios for Choice of WBRT with SRS versus SRS alone Notes Odds ratios (OR) are quoted with their 95% confidence intervals in parentheses. "*" Denotes significant odds ratios at the 0.05 level. The odds ratios compare odds of choosing each given treatment, with the odds of choosing the treatments serving as reference categories. * Whole brain radiation therapy. † Stereotactic radiosurgery. †† Confidence intervals. § Karnofsky Performance Status. ¶ Non-Small Cell Lung Cancer. Whole brain radiation therapy alone: WBRT alone was selected frequently, particularly for patients with 8 metastases. For the 80 year-old patient with 3 or 8 metastases, WBRT was commonly preferred (52% and 96% vs. 21% and 91%, respectively, for the 55-year old patient, Table 2). Even for a patient with a single metastasis, 56% of respondents preferred WBRT alone if that patient had KPS 50%; 51% would choose WBRT if the patient had active extracranial disease. In adjusted analyses, all of the clinical variables (melanoma histology, KPS 50%, active extracranial disease, age of 80 years old, presence of focal neurologic deficits, and large lesion) were associated with a higher likelihood of respondents preferring WBRT alone versus either SRS alone (Table 3) or WBRT with SRS (Table 4), except for radioresistant histology. Addition of surgery: For the reference patient with a single metastasis, 44% of respondents selected surgery with WBRT, although most respondents selected a non-operative approach that included SRS (26% WBRT with SRS; 29% SRS alone, for a total of 55% of respondents). When the reference vignette was revised to include the presence of focal neurologic deficits, the distribution of responses was similar for those with 1 lesion, with 48% of respondents preferring surgery with WBRT. When considering patients with a single, large lesion, the percent of respondents choosing surgery with WBRT increased from 44% to 63%. After adjusting for all other clinical factors, respondents were more likely to choose surgery with WBRT rather than WBRT alone for patients with large versus smaller lesions (OR=1.9, 95% CI 1.3-2.8). For 3 or 8 lesions, age 80, active extracranial disease, and KPS 50%, respondents were more likely to choose WBRT alone than surgery with WBRT (Additional file 2: Appendix 2). Melanoma histology and presence of neurologic deficits did not correlate with respondents’ selections. Addition of stereotactic radiosurgery: SRS was commonly preferred by respondents for patients with 3 lesions (23% SRS alone; 54% SRS with WBRT, Table 2), and it largely replaced the use of surgery for the older patient with a single lesion (25% WBRT with SRS; 40% chose SRS alone). Presence of neurological deficits and large lesion size were associated with physicians’ preference for WBRT with SRS over SRS alone (Table 5). However, older age, poorer performance status and melanoma histology were associated with less frequent selection of WBRT with SRS versus SRS alone. Use of stereotactic radiosurgery: Multivariable analysis was performed to identify which factors were independently associated with including SRS as part of treatment (SRS or WBRT with SRS) compared to all other treatment choices (WBRT, WBRT with surgery, no treatment), adjusting for all other characteristics in Table 6. Number of metastases was strongly associated with treatment preferences: after adjustment for all other factors in the model, respondents were significantly more likely to favor SRS for 3 lesions than for 1 (OR=2.22, 95% CI 1.96-2.51), and physicians were 5 times less likely to choose an approach that included SRS for a patient with 8 lesions relative to patients with 1 lesion (OR=0.19, 95% CI 0.15-0.23). Results of logistic regression model showing the reported use of SRS * as part of treatment for brain metastases according to multiple clinical, sociodemographic, and practice setting factors 2 1 Including SRS was defined as either use of SRS alone or with Whole Brain Radiation Therapy (WBRT). 2 The reference patient was a 55 year-old patient with non-small cell lung cancer, inactive extracranial disease, KPS 80%, and an asymptomatic, small brain lesion. 3 Personal experience includes the respondent personally being treated for brain metastases, or having had a friend or family member treated for brain metastases. * Stereotactic radiosurgery. † Whole brain radiation therapy. Across all clinical vignettes, after adjusting for all other factors, poor KPS (OR=0.38, 95% CI 0.31-0.46), active extracranial disease (OR=0.56, 95% CI 0.47-0.65), and large lesion (OR=0.58, 95% CI 0.47-0.71) remained strongly negatively associated with the choice of SRS, while melanoma histology (OR=2.84, 95% CI 2.45-3.29) and advanced age (OR=1.23, 95% CI 1.07-1.41) were positively associated with choice of SRS. Physician access was the strongest factor associated with choosing SRS as part of treatment. Respondents with SRS capability in their own practice were more likely to favor its use for hypothetical patients than those without it (OR=2.22, 95% CI 1.46-3.37). As expected, those physicians who personally used SRS were more likely to recommend it than those who did not have it or use it personally in their practice (OR=3.57, 95% CI 2.42-5.26). Patient volume and physician seniority were examined, but were not associated with SRS use. Discussion: Treatment of patients with brain metastases is heterogeneous. WBRT is a standard therapy, with the addition of surgery or SRS to WBRT, or SRS used alone, reserved for selected patients on the basis of their clinical characteristics. One potential advantage of local therapy may be avoiding the toxicity of WBRT [12-14]. However, SRS, when used alone, has several disadvantages. SRS alone has been shown to be inferior to the combination of SRS with WBRT for durable local control and distant intracranial control [15]. When studying patients initially undergoing any local therapy – surgery or SRS – more patients required salvage if treated without WBRT [20]. Long-term cognitive outcomes have been shown to be more closely correlated with intracranial progression than with treatment modality, emphasizing the significance of intracranial control over short-term side effects [21,22]. Given the limited scope of current studies and the variability in outcomes, National Comprehensive Cancer Network (NCCN) guidelines allow for a wide range of treatment options including WBRT, surgical resection, or SRS, alone or in combinations [23]. Previous reviews of treatment patterns have demonstrated stable rates of surgery since the 1980s, with an increasing use of SRS [24]. Despite clinical trials limiting eligible patients to those with limited central nervous system disease, a recent survey demonstrated that more than half of physician respondents would consider using SRS as an initial treatment for patients with 5 or more intracranial lesions [25]. The increased utilization of SRS as well as the persistent heterogeneity in practice may be due to the time of dissemination of research into clinical practice, or the time to purchase and adoption of new technologies. With mixed evidence and a heterogeneous patient population, treatment decision-making is complex. Significantly, our study demonstrates that although clinical factors, such as number of lesions and patient age, affected treatment selection, physician practice environment had a strong, independent effect on the use of SRS. Factors related to the patient’s clinical condition affected treatment selection. There was increased use of WBRT for increasing number of lesions, which is consistent with the lack of evidence to support the use of local techniques for patients with numerous metastases. However, we observed that a substantial proportion of physicians still chose SRS as part of their approach for patients with multiple lesions, particularly for patients with 3 lesions. The increased use of SRS with 3 lesions as compared with 1 was possibly due to the use of surgery for a substantial proportion of patients with 1 lesion, and due to the use of SRS combined with WBRT in patients with 3 lesions. Interestingly, physicians overall selected WBRT for patients with 1, 3, or 8 lesions more often for patients who were frail (increased age, low KPS) and might suffer increased morbidity from WBRT. This finding was unexpected, since WBRT has been shown to cause side effects that might be difficult for frail patients with limited life expectancy to tolerate, such as increasing fatigue, worsening physical function, and deterioration of appetite [7,14,26]. Additional clinical factors may influence treatment selection, but were not addressed in this study, including tumor location and surgical accessibility; additional treatment options not evaluated include the use of SRS in combination with surgery, chemotherapy, and the role of hospice. Practice environment and clinical expertise also influenced the use of SRS, even when controlling for clinical factors. Although practice type was not associated with the preference for SRS, the availability of SRS was significantly associated with its use, indicating that patients are more likely to receive this treatment if the physician they see practices it herself or has it available within her practice. This pattern of care could lead to under- or over-utilization of SRS: patients may have treatment guided more by a provider’s practice than by the patient’s clinical condition. Previous studies have demonstrated the association of physician specialization, board certification, treatment volume and time in practice with other cancer-related treatment decisions [27,28]. For example, diagnostic imaging use has increased when such imaging is performed at a self-referred facility [29]. Similarly, radiation oncologists may be prescribing complex treatment approaches more frequently when they have access to the facilities or equipment. Alternatively, this propensity for increased use of SRS with easy access may relate to physicians’ familiarity with their own clinical outcomes when using new technology. Our respondents may also have rates of access to SRS that are not comparable to those available nationwide, since the ACR survey did not report on the availability of SRS equipment. Our study has several limitations due to its reliance on physician self-report as a proxy for practice, its timing, and the limited number of respondents. Clinical scenarios were hypothetical and treatment options were limited. Although physician surveys have shown a strong correlation between vignettes and actual practice [18], further objective validation of these data would be desirable, as the vignettes used in this survey were novel. Respondents to this survey were dominantly radiation oncologists, whose treatment decisions may be greatly impacted by other members of the inter-disciplinary oncology team not represented in this survey. Rates of radiosurgery utilization more than doubled between 2000 and 2005, so continued increases in the use of radiosurgery could have occurred since the completion of this survey [30]. Additional research has been published since 2008 that may have resulted in further shifts in practice patterns. The limited number of respondents to our survey limits the generalizability of our findings. The response rate of 6% may indicate that the practice patterns outlined in this study are specific to a subgroup of clinicians with particular interest or expertise in radiosurgery and may not be indicative of global patterns of care. Although respondents were similar to those in the ACR survey, the comparison is limited due to the nature of the variables available; key issues, such as expertise with SRS or volume of patients brain metastases, were not available in the ACR survey for comparison. However, ours is the first study to document practice patterns using vignettes in this clinical setting. Conclusions: Although many patients with cancer develop brain metastases, there is little data to guide treatment decisions. Our study demonstrates the significant heterogeneity among radiation oncologists in general clinical practice even for patients with identical clinical characteristics. Certain non-clinical factors, such as access to SRS, appear to be key drivers of use of advanced technology. This finding raises the question about what additional incentives could be driving treatment selection in the absence of gold-standard evidence of the superiority of a single approach over other alternatives. Our findings from this survey also underscore the likely uncertainty or disagreement that may exist among radiation oncologists about the relative harms and benefits of different treatment approaches. This uncertainty is likely related to the lack of prospective randomized studies that compare specific single- and multi-modality approaches for the treatment of brain metastases. More research is needed that directly compares the effectiveness of these approaches for a variety of different clinical circumstances. It would also be important to investigate underlying non-clinical factors, such as physician environment, reimbursement, and technology access, which likely contribute to observed heterogeneity of care for patients with brain metastases. Abbreviations: WBRT: Whole brain radiation therapy; SRS: Stereotactic radiosurgery; KPS: Karnofsky performance status; RPA: Recursive partitioning analysis; ASTRO: American society for therapeutic radiation oncology; ACR: American college of radiology; GEE: Generalized estimating equation; NCCN: National comprehensive cancer network. Competing interests: Dr. Ramakrishna has received speaker’s honoraria from and prepared educational materials for Brainlab Ag, Heimstetten, Germany. The remaining authors have no conflicts of interest to disclose. Authors’ contributions: NR and MK conceived of the study, designed the survey, and completed data collection. MK, KU, SM, and AP performed statistical analysis and data interpretation. MK, SM, and AP drafted the manuscript. All authors read and approved the final manuscript. Supplementary Material: Appendix 1. Complete physician survey. Click here for file Appendix 2. Odds Ratios and Confidence Intervals Comparing the Odds of Treatment Choices for Different Patient Characteristics. Click here for file
Background: Limited data guide radiotherapy choices for patients with brain metastases. This survey aimed to identify patient, physician, and practice setting variables associated with reported preferences for different treatment techniques. Methods: 277 members of the American Society for Radiation Oncology (6% of surveyed physicians) completed a survey regarding treatment preferences for 21 hypothetical patients with brain metastases. Treatment choices included combinations of whole brain radiation therapy (WBRT), stereotactic radiosurgery (SRS), and surgery. Vignettes varied histology, extracranial disease status, Karnofsky Performance Status (KPS), presence of neurologic deficits, lesion size and number. Multivariate generalized estimating equation regression models were used to estimate odds ratios. Results: For a hypothetical patient with 3 lesions or 8 lesions, 21% and 91% of physicians, respectively, chose WBRT alone, compared with 1% selecting WBRT alone for a patient with 1 lesion. 51% chose WBRT alone for a patient with active extracranial disease or KPS=50%. 40% chose SRS alone for an 80 year-old patient with 1 lesion, compared to 29% for a 55 year-old patient. Multivariate modeling detailed factors associated with SRS use, including availability of SRS within one's practice (OR 2.22, 95% CI 1.46-3.37). Conclusions: Poor prognostic factors, such as advanced age, poor performance status, or active extracranial disease, correspond with an increase in physicians' reported preference for using WBRT. When controlling for clinical factors, equipment access was independently associated with choice of SRS. The large variability in preferences suggests that more information about the relative harms and benefits of these options is needed to guide decision-making.
Background: Brain metastases are the most common intracranial tumor, occurring in 20-40% of cancer patients and accounting for 20% of cancer deaths annually [1]. Median survival is 1–2 months with corticosteroids alone [2] or six months with whole brain radiation therapy (WBRT) [3,4]. A major advance in the treatment of these patients was addition of surgery to WBRT for treatment of a single metastasis, which improved local control, distant intracranial control and neurologic survival compared to either modality alone [5,6]. A retrospective study demonstrated differential survival among patients undergoing WBRT according to recursive partitioning analysis (RPA) classes [7]; further prognostic refinements have incorporated histology and number of lesions [8]. More recently, stereotactic radiosurgery (SRS) has been used alone or with WBRT in patients with up to 4 metastases. When compared with WBRT alone, the addition of SRS has improved local control, functional autonomy and survival [5,9-11]. However, WBRT can have significant toxicities, including fatigue, drowsiness and suppressed appetite, and long-term difficulties with learning, memory, concentration, and depression [12-14]. The use of SRS alone controls limited disease and delays the time until WBRT is necessary for distant intracranial progression [12,15,16]. In most clinical trials of therapies for brain metastases, patients have been selected on the basis of having few metastases, stable extracranial disease, and excellent performance status. In clinical practice, patients with brain metastases are a heterogeneous population, and decision-making requires the synthesis of multiple variables. The objective of this survey of radiation oncologists was to identify patient factors, physician characteristics, and practice setting variables associated with physicians’ preferred use of different techniques for treating brain metastases. This survey aimed to generate data that would allow physicians to: (1) compare their practice patterns to a national sample; (2) assess the influence of their practice environment on treatment choice; and (3) generate new hypotheses regarding appropriate treatment. Conclusions: Although many patients with cancer develop brain metastases, there is little data to guide treatment decisions. Our study demonstrates the significant heterogeneity among radiation oncologists in general clinical practice even for patients with identical clinical characteristics. Certain non-clinical factors, such as access to SRS, appear to be key drivers of use of advanced technology. This finding raises the question about what additional incentives could be driving treatment selection in the absence of gold-standard evidence of the superiority of a single approach over other alternatives. Our findings from this survey also underscore the likely uncertainty or disagreement that may exist among radiation oncologists about the relative harms and benefits of different treatment approaches. This uncertainty is likely related to the lack of prospective randomized studies that compare specific single- and multi-modality approaches for the treatment of brain metastases. More research is needed that directly compares the effectiveness of these approaches for a variety of different clinical circumstances. It would also be important to investigate underlying non-clinical factors, such as physician environment, reimbursement, and technology access, which likely contribute to observed heterogeneity of care for patients with brain metastases.
Background: Limited data guide radiotherapy choices for patients with brain metastases. This survey aimed to identify patient, physician, and practice setting variables associated with reported preferences for different treatment techniques. Methods: 277 members of the American Society for Radiation Oncology (6% of surveyed physicians) completed a survey regarding treatment preferences for 21 hypothetical patients with brain metastases. Treatment choices included combinations of whole brain radiation therapy (WBRT), stereotactic radiosurgery (SRS), and surgery. Vignettes varied histology, extracranial disease status, Karnofsky Performance Status (KPS), presence of neurologic deficits, lesion size and number. Multivariate generalized estimating equation regression models were used to estimate odds ratios. Results: For a hypothetical patient with 3 lesions or 8 lesions, 21% and 91% of physicians, respectively, chose WBRT alone, compared with 1% selecting WBRT alone for a patient with 1 lesion. 51% chose WBRT alone for a patient with active extracranial disease or KPS=50%. 40% chose SRS alone for an 80 year-old patient with 1 lesion, compared to 29% for a 55 year-old patient. Multivariate modeling detailed factors associated with SRS use, including availability of SRS within one's practice (OR 2.22, 95% CI 1.46-3.37). Conclusions: Poor prognostic factors, such as advanced age, poor performance status, or active extracranial disease, correspond with an increase in physicians' reported preference for using WBRT. When controlling for clinical factors, equipment access was independently associated with choice of SRS. The large variability in preferences suggests that more information about the relative harms and benefits of these options is needed to guide decision-making.
10,202
323
[ 387, 556, 623, 161, 138, 448, 167, 208, 110, 467, 53, 31, 51 ]
18
[ "srs", "wbrt", "treatment", "patient", "respondents", "clinical", "brain", "patients", "physician", "survey" ]
[ "stereotactic radiosurgery wbrt", "therapy stereotactic radiosurgery", "patients brain metastases", "treating brain metastases", "radiosurgery brain radiation" ]
[CONTENT] Brain metastases | Stereotactic radiosurgery | Whole brain radiation therapy | Treatment patterns | Physician survey [SUMMARY]
[CONTENT] Brain metastases | Stereotactic radiosurgery | Whole brain radiation therapy | Treatment patterns | Physician survey [SUMMARY]
[CONTENT] Brain metastases | Stereotactic radiosurgery | Whole brain radiation therapy | Treatment patterns | Physician survey [SUMMARY]
[CONTENT] Brain metastases | Stereotactic radiosurgery | Whole brain radiation therapy | Treatment patterns | Physician survey [SUMMARY]
[CONTENT] Brain metastases | Stereotactic radiosurgery | Whole brain radiation therapy | Treatment patterns | Physician survey [SUMMARY]
[CONTENT] Brain metastases | Stereotactic radiosurgery | Whole brain radiation therapy | Treatment patterns | Physician survey [SUMMARY]
[CONTENT] Adult | Aged | Aged, 80 and over | Brain Neoplasms | Carcinoma, Non-Small-Cell Lung | Choice Behavior | Combined Modality Therapy | Cranial Irradiation | Data Collection | Demography | Female | Humans | Karnofsky Performance Status | Lung Neoplasms | Male | Melanoma | Middle Aged | Neurosurgery | Patient Selection | Physicians | Professional Practice | Professional Practice Location | Radiosurgery | Self Report | Socioeconomic Factors [SUMMARY]
[CONTENT] Adult | Aged | Aged, 80 and over | Brain Neoplasms | Carcinoma, Non-Small-Cell Lung | Choice Behavior | Combined Modality Therapy | Cranial Irradiation | Data Collection | Demography | Female | Humans | Karnofsky Performance Status | Lung Neoplasms | Male | Melanoma | Middle Aged | Neurosurgery | Patient Selection | Physicians | Professional Practice | Professional Practice Location | Radiosurgery | Self Report | Socioeconomic Factors [SUMMARY]
[CONTENT] Adult | Aged | Aged, 80 and over | Brain Neoplasms | Carcinoma, Non-Small-Cell Lung | Choice Behavior | Combined Modality Therapy | Cranial Irradiation | Data Collection | Demography | Female | Humans | Karnofsky Performance Status | Lung Neoplasms | Male | Melanoma | Middle Aged | Neurosurgery | Patient Selection | Physicians | Professional Practice | Professional Practice Location | Radiosurgery | Self Report | Socioeconomic Factors [SUMMARY]
[CONTENT] Adult | Aged | Aged, 80 and over | Brain Neoplasms | Carcinoma, Non-Small-Cell Lung | Choice Behavior | Combined Modality Therapy | Cranial Irradiation | Data Collection | Demography | Female | Humans | Karnofsky Performance Status | Lung Neoplasms | Male | Melanoma | Middle Aged | Neurosurgery | Patient Selection | Physicians | Professional Practice | Professional Practice Location | Radiosurgery | Self Report | Socioeconomic Factors [SUMMARY]
[CONTENT] Adult | Aged | Aged, 80 and over | Brain Neoplasms | Carcinoma, Non-Small-Cell Lung | Choice Behavior | Combined Modality Therapy | Cranial Irradiation | Data Collection | Demography | Female | Humans | Karnofsky Performance Status | Lung Neoplasms | Male | Melanoma | Middle Aged | Neurosurgery | Patient Selection | Physicians | Professional Practice | Professional Practice Location | Radiosurgery | Self Report | Socioeconomic Factors [SUMMARY]
[CONTENT] Adult | Aged | Aged, 80 and over | Brain Neoplasms | Carcinoma, Non-Small-Cell Lung | Choice Behavior | Combined Modality Therapy | Cranial Irradiation | Data Collection | Demography | Female | Humans | Karnofsky Performance Status | Lung Neoplasms | Male | Melanoma | Middle Aged | Neurosurgery | Patient Selection | Physicians | Professional Practice | Professional Practice Location | Radiosurgery | Self Report | Socioeconomic Factors [SUMMARY]
[CONTENT] stereotactic radiosurgery wbrt | therapy stereotactic radiosurgery | patients brain metastases | treating brain metastases | radiosurgery brain radiation [SUMMARY]
[CONTENT] stereotactic radiosurgery wbrt | therapy stereotactic radiosurgery | patients brain metastases | treating brain metastases | radiosurgery brain radiation [SUMMARY]
[CONTENT] stereotactic radiosurgery wbrt | therapy stereotactic radiosurgery | patients brain metastases | treating brain metastases | radiosurgery brain radiation [SUMMARY]
[CONTENT] stereotactic radiosurgery wbrt | therapy stereotactic radiosurgery | patients brain metastases | treating brain metastases | radiosurgery brain radiation [SUMMARY]
[CONTENT] stereotactic radiosurgery wbrt | therapy stereotactic radiosurgery | patients brain metastases | treating brain metastases | radiosurgery brain radiation [SUMMARY]
[CONTENT] stereotactic radiosurgery wbrt | therapy stereotactic radiosurgery | patients brain metastases | treating brain metastases | radiosurgery brain radiation [SUMMARY]
[CONTENT] srs | wbrt | treatment | patient | respondents | clinical | brain | patients | physician | survey [SUMMARY]
[CONTENT] srs | wbrt | treatment | patient | respondents | clinical | brain | patients | physician | survey [SUMMARY]
[CONTENT] srs | wbrt | treatment | patient | respondents | clinical | brain | patients | physician | survey [SUMMARY]
[CONTENT] srs | wbrt | treatment | patient | respondents | clinical | brain | patients | physician | survey [SUMMARY]
[CONTENT] srs | wbrt | treatment | patient | respondents | clinical | brain | patients | physician | survey [SUMMARY]
[CONTENT] srs | wbrt | treatment | patient | respondents | clinical | brain | patients | physician | survey [SUMMARY]
[CONTENT] survival | metastases | wbrt | control | brain | patients | intracranial | brain metastases | practice | months [SUMMARY]
[CONTENT] treatment | models | survey | srs | wbrt | physician | category | clinical | acr | correlation [SUMMARY]
[CONTENT] srs | wbrt | respondents | 95 | 95 ci | ci | brain | patient | table | radiation therapy [SUMMARY]
[CONTENT] approaches | clinical | non clinical | non clinical factors | uncertainty | likely | heterogeneity | treatment | brain metastases | brain [SUMMARY]
[CONTENT] srs | wbrt | treatment | respondents | patient | odds | brain | clinical | patients | metastases [SUMMARY]
[CONTENT] srs | wbrt | treatment | respondents | patient | odds | brain | clinical | patients | metastases [SUMMARY]
[CONTENT] ||| [SUMMARY]
[CONTENT] 277 | the American Society for Radiation Oncology | 6% | 21 ||| WBRT ||| Karnofsky Performance Status | KPS ||| [SUMMARY]
[CONTENT] 3 | 8 | 21% and 91% | WBRT | 1% | WBRT | 1 ||| 51% | WBRT | KPS=50% ||| 40% | SRS | 80 year-old | 1 | 29% | 55 year-old ||| SRS | SRS | 2.22 | 95% | CI | 1.46-3.37 [SUMMARY]
[CONTENT] WBRT ||| SRS ||| [SUMMARY]
[CONTENT] ||| ||| 277 | the American Society for Radiation Oncology | 6% | 21 ||| WBRT ||| Karnofsky Performance Status | KPS ||| ||| 3 | 8 | 21% and 91% | WBRT | 1% | WBRT | 1 ||| 51% | WBRT | KPS=50% ||| 40% | SRS | 80 year-old | 1 | 29% | 55 year-old ||| SRS | SRS | 2.22 | 95% | CI | 1.46-3.37 ||| WBRT ||| SRS ||| [SUMMARY]
[CONTENT] ||| ||| 277 | the American Society for Radiation Oncology | 6% | 21 ||| WBRT ||| Karnofsky Performance Status | KPS ||| ||| 3 | 8 | 21% and 91% | WBRT | 1% | WBRT | 1 ||| 51% | WBRT | KPS=50% ||| 40% | SRS | 80 year-old | 1 | 29% | 55 year-old ||| SRS | SRS | 2.22 | 95% | CI | 1.46-3.37 ||| WBRT ||| SRS ||| [SUMMARY]
[Development and validation of a checklist for evaluating videos for learning resuscitation measures].
34468770
Well-performed resuscitation measures can improve the outcome in the event of cardiovascular arrest. Medical students often use teaching videos to learn practical skills. Studies confirmed the often inadequate quality of the videos on resuscitation available on the Internet. An evaluation using a validated checklist based on the current guidelines has so far been lacking.
BACKGROUND
In an expert workshop, checklist items were formulated based on the current guidelines. The checklist was tested by emergency physicians in a 4-step review process. The evaluations were analyzed and the items adjusted and specified if necessary. After the review process was completed, the checklist was applied to 74 videos on the topic of resuscitation.
MATERIAL AND METHODS
The checklist consists of 25 items in 4 categories (initial measures, chest compression, AED use, breathing), which are rated on a 3-level Likert scale. A total of 16 emergency doctors participated in the study and rated an average of 9.3 ± 5.7 videos each. The reviewers agreed in 65.1 ± 12.6% of the cases. The highest agreement was achieved in the subtopic AED, with the item "do not touch patients in shock" having the highest agreement. The items in the thoracic compression category were most often rated differently.
RESULTS
For the first time, a checklist for evaluating instructional videos for resuscitation was created and validated for German-speaking countries.
CONCLUSION
[ "Checklist", "Clinical Competence", "Humans", "Resuscitation", "Students, Medical" ]
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Fazit für die Praxis
Durch die vorliegende Studie existiert nun eine validierte, auf den aktuellen „guidelines“ basierende Checkliste zur Bewertung von Lehrvideos zur Reanimation.Die Checkliste kann nicht nur zur nachträglichen Bewertung der Videos dienen, sondern auch bei der Erstellung neuer Videos.Die Bewertung der korrekten Durchführung der Maßnahmen der kardiopulmonalen Reanimation in einem Lehrvideo erscheint schon für erfahrene NotärztInnen schwierig. Gerade für diese erscheinen somit klar definierte Gütekriterien zur Einordnung der Qualität eines Lehrvideos zur Reanimation notwendig. Durch die vorliegende Studie existiert nun eine validierte, auf den aktuellen „guidelines“ basierende Checkliste zur Bewertung von Lehrvideos zur Reanimation. Die Checkliste kann nicht nur zur nachträglichen Bewertung der Videos dienen, sondern auch bei der Erstellung neuer Videos. Die Bewertung der korrekten Durchführung der Maßnahmen der kardiopulmonalen Reanimation in einem Lehrvideo erscheint schon für erfahrene NotärztInnen schwierig. Gerade für diese erscheinen somit klar definierte Gütekriterien zur Einordnung der Qualität eines Lehrvideos zur Reanimation notwendig.
[ "Hintergrund und Fragestellung", "Studiendesign und Untersuchungsmethoden", "Erarbeitung der Checklistenitems", "Datenauswertung", "Ergebnisse", "Übereinstimmung der beiden ReviewerInnen", "ReviewerInnen", "Diskussion", "Schlussfolgerung" ]
[ "Die Inzidenz außerklinischer Reanimationen liegt in Deutschland bei 116/100.000 pro Jahr [22]. Obwohl sich in über 90 % der Notfälle Ersthelfer vor Ort befinden [3], werden in Deutschland nur 43,5 % der Patienten mit Herzstillstand durch anwesende Laien reanimiert [22], insgesamt liegt Deutschland im europäischen Vergleich bezüglich der Anzahl der Laienreanimationen im unteren Drittel [23]. Als Gründe hierfür wurden Panik (37,5 %), Angst vor falscher Durchführung (10,8 %) und Angst, die Person zu verletzen (1,8 %), angegeben [20].\nJedoch zeigen sich nicht nur bei medizinischen Laien, sondern bereits bei Medizinstudierenden deutliche Kompetenzdefizite: Baldi et al. konnten zeigen, dass selbst bei Medizinstudierenden deutliche Kompetenzdefizite bestehen: Nur 57,8 % der europäischen Medizinstudierenden kennen die korrekte Kompressionsrate [2]. Zudem sind vielen Mitarbeitern im Gesundheitswesen Aspekte wie die Drucktiefe oder der korrekte Druckpunkt unklar [4, 16].\nAufgrund der fast ubiquitären Nutzbarkeit bieten online verfügbare Videos ein häufig genutztes Lernmedium. Medizinstudierende geben an, mit Videos effektiver lernen zu können als mit Büchern bzw. reinen Texten oder Bildern [6]. Besonders bei praktischen Fertigkeiten greifen sie oft auf Lehrvideos zurück [11, 24]. Die Videoplattform YouTube kann hierbei eine hilfreiche Unterstützung sein [21]. Neben hochwertigen Videos in vielen YouTube-Kanälen gibt es sehr viele Videos mit falschen oder veralteten Informationen [5, 15]. Da es für die meisten Inhalte keine Qualitätskontrolle gibt, ist die Gefahr groß, dass durch das Lernen mit diesen Videos Fehler und falsche Abläufe erlernt werden.\nYaylaci et al. analysierten 2014 die Qualität von YouTube-Videos zur Reanimation, dabei zeigte sich, dass nur 11,5 % der Videos die notwendigen Maßnahmen in der korrekten Reihenfolge darstellten. Die Reliabilität der erstellten Checkliste bestehend aus sieben Items wurde nicht untersucht [25]. Weitere Studien zu dem Thema bestätigten die häufig unzureichende Qualität der im Internet zur Verfügung gestellten Videos zur Reanimation [10, 14]. In keiner dieser Arbeiten erfolgte jedoch die Verwendung einer validierten, auf den aktuellen „guidelines“ [1] zur kardiopulmonalen Reanimation basierten Checkliste.\nZwar existiert zur themenunabhängigen Bewertung von Lehrvideos hinsichtlich der didaktischen Ausgestaltung bereits eine validierte Checkliste [17], für die kardiopulmonale Reanimation fehlt aber eine darüber hinausgehende inhaltliche Bewertungscheckliste. Ziel der vorliegenden Arbeit war daher die Entwicklung und Implementierung einer Checkliste zur inhaltlichen Bewertung von Videos zur Reanimation mit dem langfristigen Ziel, Lehrenden und Lernenden qualitativ überprüfte, frei zugängliche Videos zur Verfügung zu stellen.", "Erarbeitung der Checklistenitems In einem Expertenworkshop wurden basierend auf den aktuellen „guidelines“ die im Rahmen der präklinischen Reanimation durchzuführenden Schritte identifiziert und vier Kategorien zugeordnet: initiale Maßnahmen, Thoraxkompression, Verwendung des AED und Atmung. Mitglieder des Expertenworkshops waren neben medizindidaktischen (Absolventen des Masterstudiengangs Medical Education) und fachlichen Experten (Notärzt:innen mit langjähriger Berufserfahrung) auch Medizinstudierende als Vertreter der Zielgruppe der Lehrvideos.\nZu den identifizierten Schritten wurden kurze, präzise Checklistenitems formuliert. Diese Items wurden im Rahmen des Workshops an Beispielsvideos getestet, im Hinblick auf ihre Verständlichkeit und Eignung analysiert und, wenn nötig, angepasst oder spezifiziert. Die Bewertung erfolgte auf einer 3‑stufigen Skala (0 = nicht erwähnt; 1 = falsch oder unvollständig durchgeführt und 2 = richtig durchgeführt).\nOptimierung und Analyse der Checkliste:\nDie so erstellte erste Version der Checkliste wurde in einem vierstufigen Reviewprozess hinsichtlich Qualität, Verständlichkeit und Anwendbarkeit getestet und überarbeitet. Hierfür bewerteten jeweils zwei bis drei nicht an der Erstellung der Checkliste beteiligte NotärztInnen jeweils zwei Videos. Die Bewertung wurde ohne vorherige Schulung und ohne die Möglichkeit zu Absprachen zwischen den Reviewern durchgeführt. Analysiert wurden Videos der Plattform YouTube, die unter den folgenden Suchbegriffen gefunden werden konnten:ThoraxkompressionHerzdruckmassageCPRCardiac MassageCardiopulmonary ResuscitationBasic Life SupportHerzstillstand Erste HilfeHerz Erste HilfeReanimationWiederbelebung\nThoraxkompression\nHerzdruckmassage\nCPR\nCardiac Massage\nCardiopulmonary Resuscitation\nBasic Life Support\nHerzstillstand Erste Hilfe\nHerz Erste Hilfe\nReanimation\nWiederbelebung\nAusgeschlossen wurden Videos, die offensichtlich nicht ernst gemeint waren, keinen Ton oder kein Bild hatten, Videos in anderen Sprachen als Deutsch oder Englisch, die Reanimationen an Kindern oder Tieren zeigten oder die reale, intraoperative oder Reanimation unter Verwendung einer mechanischen Kompressionshilfe zeigten.\nIm Anschluss wurden die einzelnen Bewertungen analysiert und von den Reviewern sowie den Autoren gemeinsam kritisch insbesondere im Hinblick auf Gründe für die jeweilige Punktevergabe, Stärken und Schwächen der Items diskutiert. Basierend hierauf wurden die Items angepasst und spezifiziert. An der folgenden Reviewrunde nahmen dann nur NotärztInnen teil, die bisher noch nicht beteiligt waren.\nDieses mehrstufige Verfahren diente der Qualitätssicherung und Validierung der Checkliste hinsichtlich der Testgütekriterien Objektivität, Reliabilität und Validität. Hierbei bezeichnet die Reliabilität den Grad der Genauigkeit, mit dem das geprüfte Merkmal gemessen wird, sowie die Wiederholbarkeit der Messung. Ein wichtiger Aspekt hierbei ist die Überprüfung, ob verschiedene ReviewerInnen dasselbe Video identisch beurteilen. Hierfür erfolgte die Analyse der Übereinstimmung zwischen den Reviewern.\nDie Objektivität lässt sich in mehrere Unterformen unterteilen, unter anderem die Durchführungs- und die Auswertungsobjektivität. Durch sie soll gewährleistet werden, dass die Bewertung eines Videos unabhängig von den Reviewern ist. Hierfür ist besonders eine präzise Formulierung der Items von Bedeutung. Dies wurde in der vorliegenden Arbeit durch die wiederholte Diskussion der Interpretation der Items zwischen den ReviewerInnen sichergestellt.\nDie Validität eines Messinstruments gibt an, wie gut das Instrument das misst, was es zu messen vorgibt. Hierbei wird die Inhaltsvalidität von der Kriteriumsvalidität unterschieden. Die Kriteriumsvalidität beschreibt den Grad der Übereinstimmung des Messinstruments mit einem Goldstandard. Da dieser für die Bewertung von Lehrvideos zur Reanimation bisher nicht vorliegt, wurde ein besonderes Augenmerk auf die Inhaltsvalidität gelegt. Diese beschreibt, ob und in welchem Maß die Checklistenitems den zu messenden Merkmalsbereich ausreichend genau repräsentieren. Dies wurde durch die Erstellung der Checklistenitems basierend auf den aktuellen „guidelines“, die Erstellung im Rahmen eines Expertenworkshops und die Anwendung im Rahmen des Reviewprozesses sichergestellt.\nDie so erstellte Checkliste wurde an insgesamt 74 Videos zum Thema Reanimation, die basierend auf den oben beschriebenen Ein- und Ausschlusskriterien identifiziert werden konnten, angewendet. Hierbei wurde jedes Video von insgesamt 2 NotärztInnen bewertet. Als ReviewerInnen wurden gezielt NotärztInnen aus verschiedenen deutschen Städten und sowohl universitär arbeitende als auch nichtuniversitär arbeitende ÄrztInnen rekrutiert. Die Teilnahme erfolgte freiwillig nach mündlicher und schriftlicher Aufklärung.\nIn einem Expertenworkshop wurden basierend auf den aktuellen „guidelines“ die im Rahmen der präklinischen Reanimation durchzuführenden Schritte identifiziert und vier Kategorien zugeordnet: initiale Maßnahmen, Thoraxkompression, Verwendung des AED und Atmung. Mitglieder des Expertenworkshops waren neben medizindidaktischen (Absolventen des Masterstudiengangs Medical Education) und fachlichen Experten (Notärzt:innen mit langjähriger Berufserfahrung) auch Medizinstudierende als Vertreter der Zielgruppe der Lehrvideos.\nZu den identifizierten Schritten wurden kurze, präzise Checklistenitems formuliert. Diese Items wurden im Rahmen des Workshops an Beispielsvideos getestet, im Hinblick auf ihre Verständlichkeit und Eignung analysiert und, wenn nötig, angepasst oder spezifiziert. Die Bewertung erfolgte auf einer 3‑stufigen Skala (0 = nicht erwähnt; 1 = falsch oder unvollständig durchgeführt und 2 = richtig durchgeführt).\nOptimierung und Analyse der Checkliste:\nDie so erstellte erste Version der Checkliste wurde in einem vierstufigen Reviewprozess hinsichtlich Qualität, Verständlichkeit und Anwendbarkeit getestet und überarbeitet. Hierfür bewerteten jeweils zwei bis drei nicht an der Erstellung der Checkliste beteiligte NotärztInnen jeweils zwei Videos. Die Bewertung wurde ohne vorherige Schulung und ohne die Möglichkeit zu Absprachen zwischen den Reviewern durchgeführt. Analysiert wurden Videos der Plattform YouTube, die unter den folgenden Suchbegriffen gefunden werden konnten:ThoraxkompressionHerzdruckmassageCPRCardiac MassageCardiopulmonary ResuscitationBasic Life SupportHerzstillstand Erste HilfeHerz Erste HilfeReanimationWiederbelebung\nThoraxkompression\nHerzdruckmassage\nCPR\nCardiac Massage\nCardiopulmonary Resuscitation\nBasic Life Support\nHerzstillstand Erste Hilfe\nHerz Erste Hilfe\nReanimation\nWiederbelebung\nAusgeschlossen wurden Videos, die offensichtlich nicht ernst gemeint waren, keinen Ton oder kein Bild hatten, Videos in anderen Sprachen als Deutsch oder Englisch, die Reanimationen an Kindern oder Tieren zeigten oder die reale, intraoperative oder Reanimation unter Verwendung einer mechanischen Kompressionshilfe zeigten.\nIm Anschluss wurden die einzelnen Bewertungen analysiert und von den Reviewern sowie den Autoren gemeinsam kritisch insbesondere im Hinblick auf Gründe für die jeweilige Punktevergabe, Stärken und Schwächen der Items diskutiert. Basierend hierauf wurden die Items angepasst und spezifiziert. An der folgenden Reviewrunde nahmen dann nur NotärztInnen teil, die bisher noch nicht beteiligt waren.\nDieses mehrstufige Verfahren diente der Qualitätssicherung und Validierung der Checkliste hinsichtlich der Testgütekriterien Objektivität, Reliabilität und Validität. Hierbei bezeichnet die Reliabilität den Grad der Genauigkeit, mit dem das geprüfte Merkmal gemessen wird, sowie die Wiederholbarkeit der Messung. Ein wichtiger Aspekt hierbei ist die Überprüfung, ob verschiedene ReviewerInnen dasselbe Video identisch beurteilen. Hierfür erfolgte die Analyse der Übereinstimmung zwischen den Reviewern.\nDie Objektivität lässt sich in mehrere Unterformen unterteilen, unter anderem die Durchführungs- und die Auswertungsobjektivität. Durch sie soll gewährleistet werden, dass die Bewertung eines Videos unabhängig von den Reviewern ist. Hierfür ist besonders eine präzise Formulierung der Items von Bedeutung. Dies wurde in der vorliegenden Arbeit durch die wiederholte Diskussion der Interpretation der Items zwischen den ReviewerInnen sichergestellt.\nDie Validität eines Messinstruments gibt an, wie gut das Instrument das misst, was es zu messen vorgibt. Hierbei wird die Inhaltsvalidität von der Kriteriumsvalidität unterschieden. Die Kriteriumsvalidität beschreibt den Grad der Übereinstimmung des Messinstruments mit einem Goldstandard. Da dieser für die Bewertung von Lehrvideos zur Reanimation bisher nicht vorliegt, wurde ein besonderes Augenmerk auf die Inhaltsvalidität gelegt. Diese beschreibt, ob und in welchem Maß die Checklistenitems den zu messenden Merkmalsbereich ausreichend genau repräsentieren. Dies wurde durch die Erstellung der Checklistenitems basierend auf den aktuellen „guidelines“, die Erstellung im Rahmen eines Expertenworkshops und die Anwendung im Rahmen des Reviewprozesses sichergestellt.\nDie so erstellte Checkliste wurde an insgesamt 74 Videos zum Thema Reanimation, die basierend auf den oben beschriebenen Ein- und Ausschlusskriterien identifiziert werden konnten, angewendet. Hierbei wurde jedes Video von insgesamt 2 NotärztInnen bewertet. Als ReviewerInnen wurden gezielt NotärztInnen aus verschiedenen deutschen Städten und sowohl universitär arbeitende als auch nichtuniversitär arbeitende ÄrztInnen rekrutiert. Die Teilnahme erfolgte freiwillig nach mündlicher und schriftlicher Aufklärung.\nDatenauswertung Die Datenerfassung sowie Auswertung der Mittelwerte, Standardabweichung, einzelnen Items beider Checklisten und der Vergleichbarkeit der beiden ReviewerInnen erfolgte in Microsoft Excel (Microsoft Corporation, Redmond, USA).\nDie Datenerfassung sowie Auswertung der Mittelwerte, Standardabweichung, einzelnen Items beider Checklisten und der Vergleichbarkeit der beiden ReviewerInnen erfolgte in Microsoft Excel (Microsoft Corporation, Redmond, USA).", "In einem Expertenworkshop wurden basierend auf den aktuellen „guidelines“ die im Rahmen der präklinischen Reanimation durchzuführenden Schritte identifiziert und vier Kategorien zugeordnet: initiale Maßnahmen, Thoraxkompression, Verwendung des AED und Atmung. Mitglieder des Expertenworkshops waren neben medizindidaktischen (Absolventen des Masterstudiengangs Medical Education) und fachlichen Experten (Notärzt:innen mit langjähriger Berufserfahrung) auch Medizinstudierende als Vertreter der Zielgruppe der Lehrvideos.\nZu den identifizierten Schritten wurden kurze, präzise Checklistenitems formuliert. Diese Items wurden im Rahmen des Workshops an Beispielsvideos getestet, im Hinblick auf ihre Verständlichkeit und Eignung analysiert und, wenn nötig, angepasst oder spezifiziert. Die Bewertung erfolgte auf einer 3‑stufigen Skala (0 = nicht erwähnt; 1 = falsch oder unvollständig durchgeführt und 2 = richtig durchgeführt).\nOptimierung und Analyse der Checkliste:\nDie so erstellte erste Version der Checkliste wurde in einem vierstufigen Reviewprozess hinsichtlich Qualität, Verständlichkeit und Anwendbarkeit getestet und überarbeitet. Hierfür bewerteten jeweils zwei bis drei nicht an der Erstellung der Checkliste beteiligte NotärztInnen jeweils zwei Videos. Die Bewertung wurde ohne vorherige Schulung und ohne die Möglichkeit zu Absprachen zwischen den Reviewern durchgeführt. Analysiert wurden Videos der Plattform YouTube, die unter den folgenden Suchbegriffen gefunden werden konnten:ThoraxkompressionHerzdruckmassageCPRCardiac MassageCardiopulmonary ResuscitationBasic Life SupportHerzstillstand Erste HilfeHerz Erste HilfeReanimationWiederbelebung\nThoraxkompression\nHerzdruckmassage\nCPR\nCardiac Massage\nCardiopulmonary Resuscitation\nBasic Life Support\nHerzstillstand Erste Hilfe\nHerz Erste Hilfe\nReanimation\nWiederbelebung\nAusgeschlossen wurden Videos, die offensichtlich nicht ernst gemeint waren, keinen Ton oder kein Bild hatten, Videos in anderen Sprachen als Deutsch oder Englisch, die Reanimationen an Kindern oder Tieren zeigten oder die reale, intraoperative oder Reanimation unter Verwendung einer mechanischen Kompressionshilfe zeigten.\nIm Anschluss wurden die einzelnen Bewertungen analysiert und von den Reviewern sowie den Autoren gemeinsam kritisch insbesondere im Hinblick auf Gründe für die jeweilige Punktevergabe, Stärken und Schwächen der Items diskutiert. Basierend hierauf wurden die Items angepasst und spezifiziert. An der folgenden Reviewrunde nahmen dann nur NotärztInnen teil, die bisher noch nicht beteiligt waren.\nDieses mehrstufige Verfahren diente der Qualitätssicherung und Validierung der Checkliste hinsichtlich der Testgütekriterien Objektivität, Reliabilität und Validität. Hierbei bezeichnet die Reliabilität den Grad der Genauigkeit, mit dem das geprüfte Merkmal gemessen wird, sowie die Wiederholbarkeit der Messung. Ein wichtiger Aspekt hierbei ist die Überprüfung, ob verschiedene ReviewerInnen dasselbe Video identisch beurteilen. Hierfür erfolgte die Analyse der Übereinstimmung zwischen den Reviewern.\nDie Objektivität lässt sich in mehrere Unterformen unterteilen, unter anderem die Durchführungs- und die Auswertungsobjektivität. Durch sie soll gewährleistet werden, dass die Bewertung eines Videos unabhängig von den Reviewern ist. Hierfür ist besonders eine präzise Formulierung der Items von Bedeutung. Dies wurde in der vorliegenden Arbeit durch die wiederholte Diskussion der Interpretation der Items zwischen den ReviewerInnen sichergestellt.\nDie Validität eines Messinstruments gibt an, wie gut das Instrument das misst, was es zu messen vorgibt. Hierbei wird die Inhaltsvalidität von der Kriteriumsvalidität unterschieden. Die Kriteriumsvalidität beschreibt den Grad der Übereinstimmung des Messinstruments mit einem Goldstandard. Da dieser für die Bewertung von Lehrvideos zur Reanimation bisher nicht vorliegt, wurde ein besonderes Augenmerk auf die Inhaltsvalidität gelegt. Diese beschreibt, ob und in welchem Maß die Checklistenitems den zu messenden Merkmalsbereich ausreichend genau repräsentieren. Dies wurde durch die Erstellung der Checklistenitems basierend auf den aktuellen „guidelines“, die Erstellung im Rahmen eines Expertenworkshops und die Anwendung im Rahmen des Reviewprozesses sichergestellt.\nDie so erstellte Checkliste wurde an insgesamt 74 Videos zum Thema Reanimation, die basierend auf den oben beschriebenen Ein- und Ausschlusskriterien identifiziert werden konnten, angewendet. Hierbei wurde jedes Video von insgesamt 2 NotärztInnen bewertet. Als ReviewerInnen wurden gezielt NotärztInnen aus verschiedenen deutschen Städten und sowohl universitär arbeitende als auch nichtuniversitär arbeitende ÄrztInnen rekrutiert. Die Teilnahme erfolgte freiwillig nach mündlicher und schriftlicher Aufklärung.", "Die Datenerfassung sowie Auswertung der Mittelwerte, Standardabweichung, einzelnen Items beider Checklisten und der Vergleichbarkeit der beiden ReviewerInnen erfolgte in Microsoft Excel (Microsoft Corporation, Redmond, USA).", "Die resultierende Checkliste umfasst 25 Items in vier Kategorien. Sieben Items entfallen auf die Kategorie ‚initiale Maßnahmen‘, acht auf ‚Thoraxkompression‘, sechs auf ‚AED-Nutzung‘ und vier auf ‚Atmung‘. Die Bewertung der Items erfolgt auf einer 3‑stufigen Likert-Skala (0 = nicht erwähnt; 1 = falsch oder unvollständig durchgeführt und 2 = richtig durchgeführt). Während des Reviewverfahrens zeigte sich, dass nicht immer alle Items auf alle Videos zutreffend sind. Daher wurde die Option ergänzt, Items auszuschließen, falls das Item im Kontext des Videos nicht zutrifft oder bereits erfolgt war.\nDie Items der ‚AED-Nutzung‘ und ‚Atmung‘ sind optional, d. h., falls die Nutzung des AED bzw. die Atmung nicht im Video behandelt wird, besteht die Möglichkeit, die Auswahl „nicht vorhanden“ bzw. „nicht zutreffend“ für die gesamte Untergruppe zu wählen. Grund hierfür ist, dass die Beatmung durch Laien ohne Training nicht mehr empfohlen wird. Zusätzlich fällt diese Untergruppe bei erfolgter Intubation weg. In diesem Fall werden die Items dieser Untergruppen aus der Gesamtwertung des Videos ausgeschlossen. Insgesamt ergibt sich so eine erreichbare Gesamtpunktzahl von mindestens 22 bis zu 50 maximalen Punkten.\nWährend des Reviewprozesses zeigte sich, dass zur eindeutigen Beantwortung der Checkliste eine kurze Anleitung nötig ist, die den Umgang mit der Option „nicht zutreffend/bereits erfolgt“ erklärt und klarstellt, dass Maßnahmen nur dann als richtig bewertet werden dürfen, wenn sie sowohl richtig durchgeführt als auch angesagt wurden. Hiervon ausgenommen sind nur die Items „Kompressor nach 2 min wechseln“ und „Zyklen wiederholen, bis Hilfe eintrifft“, bei denen das Erläutern der Maßnahmen ausreichend ist. Wird eine andere Maßnahme nur benannt, aber nicht gezeigt, ist die Bewertung „unvollständig/falsch durchgeführt“ zu wählen.\nDie erstellte Checkliste zur inhaltlichen Bewertung von Lehrvideos zur Reanimation ist diesem Artikel als Supplement beigefügt.", "ReviewerInnen Tab. 1 zeigt die Verteilung der NotärztInnen nach Geschlecht, Fachrichtung und Anzahl der bewerteten Videos. Die ReviewerInnen bewerteten im Durchschnitt 9,25 Videos ± 5,69.ReviewerFachrichtungGeschlecht1UnfallchirurgieM2InnereM3AnästhesieM4Mund‑, Kiefer‑, GesichtschirurgieM5UnfallchirurgieW6UnfallchirurgieW7UnfallchirurgieW8AnästhesieW9AnästhesieW10PädiatrieM11AnästhesieM12UnfallchirurgieM13UnfallchirurgieM14UnfallchirurgieW15UnfallchirurgieM16UnfallchirurgieM\nInsgesamt stimmten die ReviewerInnen in 65,06 ± 12,56 % der Fälle überein. Die höchsten Übereinstimmungen erzielten die ReviewerInnen im Unterthema AED, wobei das Item „Beim Schock Patienten nicht berühren“ mit 85,14 % die höchste Übereinstimmung aufwies. Die Items der Kategorie Thoraxkompression wurden am häufigsten unterschiedlich bewertet. Dabei liegt die Übereinstimmung für das Item „Unterbrechung < 10 Sek“ bei 47,29 %, die Items „Kompressionstiefe 5 cm“ und „Entlastung“ werden jeweils in 48,64 % der Fälle gleich bewertet. Tab. 2 zeigt die Übereinstimmung der ReviewerInnen für die jeweiligen Items der Checkliste.ItemÜbereinstimmung [%]Initiale MaßnahmenAnsprechen64,86Schmerzreiz67,56Atemwege52,70Atmung prüfen63,51Notruf68,91Entkleiden48,64Hinlegen56,75ThoraxkompressionHarte Unterlage54,05100–120/Min66,22Korrekter Druckpunkt58,11Kompressionstiefe 5 cm48,65Entlastung48,65Kompressor tauschen62,16Zyklen wiederholen52,70Unterbrechung < 10 Sek47,29AEDNicht vorhanden → Unterpunkte fallen weg91,892. Priorität67,57Elektroden aufkleben75,68Rhythmusanalyse83,78Beim Schock Pat nicht berühren85,14Sofort nach Schock Thoraxkompression83,78Erneute Rhythmuskontrolle nach 2 Min81,08AtmungNicht zutreffend, da Laien-Reanimation → Unterpunkte fallen weg77,0330 zu 266,22Kopf überstrecken62,16Nase zuhalten über den Mund beatmen/Maske mit C‑Griff58,11Auf Thoraxhebung als Feedback63,51\nTab. 1 zeigt die Verteilung der NotärztInnen nach Geschlecht, Fachrichtung und Anzahl der bewerteten Videos. Die ReviewerInnen bewerteten im Durchschnitt 9,25 Videos ± 5,69.ReviewerFachrichtungGeschlecht1UnfallchirurgieM2InnereM3AnästhesieM4Mund‑, Kiefer‑, GesichtschirurgieM5UnfallchirurgieW6UnfallchirurgieW7UnfallchirurgieW8AnästhesieW9AnästhesieW10PädiatrieM11AnästhesieM12UnfallchirurgieM13UnfallchirurgieM14UnfallchirurgieW15UnfallchirurgieM16UnfallchirurgieM\nInsgesamt stimmten die ReviewerInnen in 65,06 ± 12,56 % der Fälle überein. Die höchsten Übereinstimmungen erzielten die ReviewerInnen im Unterthema AED, wobei das Item „Beim Schock Patienten nicht berühren“ mit 85,14 % die höchste Übereinstimmung aufwies. Die Items der Kategorie Thoraxkompression wurden am häufigsten unterschiedlich bewertet. Dabei liegt die Übereinstimmung für das Item „Unterbrechung < 10 Sek“ bei 47,29 %, die Items „Kompressionstiefe 5 cm“ und „Entlastung“ werden jeweils in 48,64 % der Fälle gleich bewertet. Tab. 2 zeigt die Übereinstimmung der ReviewerInnen für die jeweiligen Items der Checkliste.ItemÜbereinstimmung [%]Initiale MaßnahmenAnsprechen64,86Schmerzreiz67,56Atemwege52,70Atmung prüfen63,51Notruf68,91Entkleiden48,64Hinlegen56,75ThoraxkompressionHarte Unterlage54,05100–120/Min66,22Korrekter Druckpunkt58,11Kompressionstiefe 5 cm48,65Entlastung48,65Kompressor tauschen62,16Zyklen wiederholen52,70Unterbrechung < 10 Sek47,29AEDNicht vorhanden → Unterpunkte fallen weg91,892. Priorität67,57Elektroden aufkleben75,68Rhythmusanalyse83,78Beim Schock Pat nicht berühren85,14Sofort nach Schock Thoraxkompression83,78Erneute Rhythmuskontrolle nach 2 Min81,08AtmungNicht zutreffend, da Laien-Reanimation → Unterpunkte fallen weg77,0330 zu 266,22Kopf überstrecken62,16Nase zuhalten über den Mund beatmen/Maske mit C‑Griff58,11Auf Thoraxhebung als Feedback63,51", "Tab. 1 zeigt die Verteilung der NotärztInnen nach Geschlecht, Fachrichtung und Anzahl der bewerteten Videos. Die ReviewerInnen bewerteten im Durchschnitt 9,25 Videos ± 5,69.ReviewerFachrichtungGeschlecht1UnfallchirurgieM2InnereM3AnästhesieM4Mund‑, Kiefer‑, GesichtschirurgieM5UnfallchirurgieW6UnfallchirurgieW7UnfallchirurgieW8AnästhesieW9AnästhesieW10PädiatrieM11AnästhesieM12UnfallchirurgieM13UnfallchirurgieM14UnfallchirurgieW15UnfallchirurgieM16UnfallchirurgieM\nInsgesamt stimmten die ReviewerInnen in 65,06 ± 12,56 % der Fälle überein. Die höchsten Übereinstimmungen erzielten die ReviewerInnen im Unterthema AED, wobei das Item „Beim Schock Patienten nicht berühren“ mit 85,14 % die höchste Übereinstimmung aufwies. Die Items der Kategorie Thoraxkompression wurden am häufigsten unterschiedlich bewertet. Dabei liegt die Übereinstimmung für das Item „Unterbrechung < 10 Sek“ bei 47,29 %, die Items „Kompressionstiefe 5 cm“ und „Entlastung“ werden jeweils in 48,64 % der Fälle gleich bewertet. Tab. 2 zeigt die Übereinstimmung der ReviewerInnen für die jeweiligen Items der Checkliste.ItemÜbereinstimmung [%]Initiale MaßnahmenAnsprechen64,86Schmerzreiz67,56Atemwege52,70Atmung prüfen63,51Notruf68,91Entkleiden48,64Hinlegen56,75ThoraxkompressionHarte Unterlage54,05100–120/Min66,22Korrekter Druckpunkt58,11Kompressionstiefe 5 cm48,65Entlastung48,65Kompressor tauschen62,16Zyklen wiederholen52,70Unterbrechung < 10 Sek47,29AEDNicht vorhanden → Unterpunkte fallen weg91,892. Priorität67,57Elektroden aufkleben75,68Rhythmusanalyse83,78Beim Schock Pat nicht berühren85,14Sofort nach Schock Thoraxkompression83,78Erneute Rhythmuskontrolle nach 2 Min81,08AtmungNicht zutreffend, da Laien-Reanimation → Unterpunkte fallen weg77,0330 zu 266,22Kopf überstrecken62,16Nase zuhalten über den Mund beatmen/Maske mit C‑Griff58,11Auf Thoraxhebung als Feedback63,51", "In der vorliegenden Arbeit wurde erstmals eine auf den aktuellen „guidelines“ [1] basierende Checkliste für die Qualität von Lehrvideos zum Thema Reanimation erstellt und validiert. Diese Checkliste bewertet die Videos anhand von 25 Items in vier Kategorien.\nObwohl die entwickelte Checkliste im Rahmen eines ausführlichen, mehrstufigen Reviewverfahrens mehrfach angepasst und validiert wurde, ist die Übereinstimmung zwischen den ReviewerInnen im Rahmen der Anwendung an insgesamt 74 Videos mit 65,06 ± 12,56 % moderat. Hierbei zeigt sich eine große Spanne von einer Übereinstimmung von 85,14 % für das Item „Beim Schock Patienten nicht berühren“ bis zu 47,29 % für das Item „Unterbrechung < 10 Sek“. Diese Diskrepanz zeigt, wie schwer es selbst für erfahrene NotärztInnen ist, die Qualität der durchgeführten Maßnahmen einzuschätzen, insbesondere wenn es sich um Kriterien handelt, die nicht mit dem bloßen Auge abzuschätzen sind (z. B. exakte Drucktiefe, konkrete Zeitspannen). Dies entspricht auch den bisher publizierten Analysen von Lehrvideos zur Behandlung von medizinischen Notfällen: Viele Arbeiten, die Videos anhand von Checklisten bewerteten, geben Übereinstimmung zwischen den ReviewerInnen nicht an [7, 12, 18]. So bewerten beispielsweise in den Arbeiten von Elicabuk et al. und Katipoğlu et al. zwei ReviewerInnen Lehrvideos zur Reanimation. Wichen die Bewertungen dieser beiden ReviewerInnen in einem Item voneinander ab, bewertete ein dritter Reviewer das Video und diejenige Bewertung wurde für das Gesamtergebnis berücksichtig, die die Mehrheit der ReviewerInnen ausgewählt hatte [7, 12].\nDie Ergebnisse der vorliegenden Arbeit konnten zeigen, dass die Bewertung der korrekten Durchführung der Reanimation in einem Lehrvideo auch für erfahrene NotärztInnen schwierig ist, für Novizen oder gar medizinische Laien kann sie daher kaum möglich sein. Dies ist umso gravierender, da eine präklinische Reanimation vor Eintreffen des Rettungsdiensts in den allermeisten Fällen durch medizinische Laien erfolgt [22]. Gerade für diese Zielgruppe erscheinen somit klar definierte Gütekriterien zur Einordnung der Qualität eines Lehrvideos zur Reanimation notwendig. Studien haben allerdings gezeigt, dass die bisher auf den Plattformen verwendeten Kriterien wie Aufrufe oder Bewertungen durch User nur bedingt als Gütekriterium geeignet sind. So bewerteten beispielsweise Şaşmaz et al. 67 YouTube-Videos zum Erlernen von Traumamanagement anhand von zehn Items, die basierend auf den „ATLS guidelines“ erstellt wurden. Dabei zeigte sich keine Korrelation der Bewertung anhand der Checkliste mit der Anzahl der Aufrufe oder Bewertung auf der Website [18].\nVor diesem Hintergrund ist es wünschenswert, auf Basis einer validierten, auf aktuellen „guidelines“ basierenden Checkliste wie der in der vorliegenden Arbeit erstellten die auf öffentlich zugänglichen Plattformen vorhandenen Videos zu bewerten und diese Bewertung in Form eines Katalogs der empfehlenswerten Videos zu publizieren.\nNeben der Bewertung bereits vorhandener Videos kann diese Checkliste aber auch zur Erstellung eigener Videos als Schablone herangezogen werden. Somit wird die korrekte Darstellung der notwendigen Maßnahmen bereits bei der Erstellung des Videos sichergestellt. Die so erstellten Lehrvideos können dann von Studierenden sowohl zur Vorbereitung als auch während einer Lehrveranstaltung genutzt werden. Verschiedene Studien zeigen, dass durch die Nutzung von Lehrvideos das Erlernen praktischer Fertigkeiten verbessert werden kann [9, 11, 13]. Darüber hinaus kann eine Verknüpfung von Gesehenem mit Erlebtem anhand der Videos wiederholt werden [8, 19]. Dies ist besonders für die Reanimation wichtig, da diese in der Realität häufig nicht in einer Situation passiert, die für Studierende adäquat vor- oder nachbereitet werden kann. Somit erscheint in diesem Bereich eine Analyse der Qualität der vorhandenen Videos auf Grundlage einer validierten Checkliste von immenser Bedeutung. Mit der in der vorliegenden Arbeit entwickelten Checkliste wurde erstmals ein Bewertungsinstrument für eine solche Analyse entwickelt.", "In der vorliegenden Studie konnte erstmalig für den deutschsprachigen Raum eine Checkliste zur Bewertung von Lehrvideos zur Reanimation erstellt und validiert werden. Sie kann nicht nur zur nachträglichen Bewertung bereits vorhandener Videos genutzt werden, sondern gleichzeitig auch bei der Erstellung neuer Videos hilfreich sein." ]
[ null, null, null, null, null, null, null, null, null ]
[ "Hintergrund und Fragestellung", "Studiendesign und Untersuchungsmethoden", "Erarbeitung der Checklistenitems", "Datenauswertung", "Ergebnisse", "Übereinstimmung der beiden ReviewerInnen", "ReviewerInnen", "Diskussion", "Schlussfolgerung", "Fazit für die Praxis" ]
[ "Die Inzidenz außerklinischer Reanimationen liegt in Deutschland bei 116/100.000 pro Jahr [22]. Obwohl sich in über 90 % der Notfälle Ersthelfer vor Ort befinden [3], werden in Deutschland nur 43,5 % der Patienten mit Herzstillstand durch anwesende Laien reanimiert [22], insgesamt liegt Deutschland im europäischen Vergleich bezüglich der Anzahl der Laienreanimationen im unteren Drittel [23]. Als Gründe hierfür wurden Panik (37,5 %), Angst vor falscher Durchführung (10,8 %) und Angst, die Person zu verletzen (1,8 %), angegeben [20].\nJedoch zeigen sich nicht nur bei medizinischen Laien, sondern bereits bei Medizinstudierenden deutliche Kompetenzdefizite: Baldi et al. konnten zeigen, dass selbst bei Medizinstudierenden deutliche Kompetenzdefizite bestehen: Nur 57,8 % der europäischen Medizinstudierenden kennen die korrekte Kompressionsrate [2]. Zudem sind vielen Mitarbeitern im Gesundheitswesen Aspekte wie die Drucktiefe oder der korrekte Druckpunkt unklar [4, 16].\nAufgrund der fast ubiquitären Nutzbarkeit bieten online verfügbare Videos ein häufig genutztes Lernmedium. Medizinstudierende geben an, mit Videos effektiver lernen zu können als mit Büchern bzw. reinen Texten oder Bildern [6]. Besonders bei praktischen Fertigkeiten greifen sie oft auf Lehrvideos zurück [11, 24]. Die Videoplattform YouTube kann hierbei eine hilfreiche Unterstützung sein [21]. Neben hochwertigen Videos in vielen YouTube-Kanälen gibt es sehr viele Videos mit falschen oder veralteten Informationen [5, 15]. Da es für die meisten Inhalte keine Qualitätskontrolle gibt, ist die Gefahr groß, dass durch das Lernen mit diesen Videos Fehler und falsche Abläufe erlernt werden.\nYaylaci et al. analysierten 2014 die Qualität von YouTube-Videos zur Reanimation, dabei zeigte sich, dass nur 11,5 % der Videos die notwendigen Maßnahmen in der korrekten Reihenfolge darstellten. Die Reliabilität der erstellten Checkliste bestehend aus sieben Items wurde nicht untersucht [25]. Weitere Studien zu dem Thema bestätigten die häufig unzureichende Qualität der im Internet zur Verfügung gestellten Videos zur Reanimation [10, 14]. In keiner dieser Arbeiten erfolgte jedoch die Verwendung einer validierten, auf den aktuellen „guidelines“ [1] zur kardiopulmonalen Reanimation basierten Checkliste.\nZwar existiert zur themenunabhängigen Bewertung von Lehrvideos hinsichtlich der didaktischen Ausgestaltung bereits eine validierte Checkliste [17], für die kardiopulmonale Reanimation fehlt aber eine darüber hinausgehende inhaltliche Bewertungscheckliste. Ziel der vorliegenden Arbeit war daher die Entwicklung und Implementierung einer Checkliste zur inhaltlichen Bewertung von Videos zur Reanimation mit dem langfristigen Ziel, Lehrenden und Lernenden qualitativ überprüfte, frei zugängliche Videos zur Verfügung zu stellen.", "Erarbeitung der Checklistenitems In einem Expertenworkshop wurden basierend auf den aktuellen „guidelines“ die im Rahmen der präklinischen Reanimation durchzuführenden Schritte identifiziert und vier Kategorien zugeordnet: initiale Maßnahmen, Thoraxkompression, Verwendung des AED und Atmung. Mitglieder des Expertenworkshops waren neben medizindidaktischen (Absolventen des Masterstudiengangs Medical Education) und fachlichen Experten (Notärzt:innen mit langjähriger Berufserfahrung) auch Medizinstudierende als Vertreter der Zielgruppe der Lehrvideos.\nZu den identifizierten Schritten wurden kurze, präzise Checklistenitems formuliert. Diese Items wurden im Rahmen des Workshops an Beispielsvideos getestet, im Hinblick auf ihre Verständlichkeit und Eignung analysiert und, wenn nötig, angepasst oder spezifiziert. Die Bewertung erfolgte auf einer 3‑stufigen Skala (0 = nicht erwähnt; 1 = falsch oder unvollständig durchgeführt und 2 = richtig durchgeführt).\nOptimierung und Analyse der Checkliste:\nDie so erstellte erste Version der Checkliste wurde in einem vierstufigen Reviewprozess hinsichtlich Qualität, Verständlichkeit und Anwendbarkeit getestet und überarbeitet. Hierfür bewerteten jeweils zwei bis drei nicht an der Erstellung der Checkliste beteiligte NotärztInnen jeweils zwei Videos. Die Bewertung wurde ohne vorherige Schulung und ohne die Möglichkeit zu Absprachen zwischen den Reviewern durchgeführt. Analysiert wurden Videos der Plattform YouTube, die unter den folgenden Suchbegriffen gefunden werden konnten:ThoraxkompressionHerzdruckmassageCPRCardiac MassageCardiopulmonary ResuscitationBasic Life SupportHerzstillstand Erste HilfeHerz Erste HilfeReanimationWiederbelebung\nThoraxkompression\nHerzdruckmassage\nCPR\nCardiac Massage\nCardiopulmonary Resuscitation\nBasic Life Support\nHerzstillstand Erste Hilfe\nHerz Erste Hilfe\nReanimation\nWiederbelebung\nAusgeschlossen wurden Videos, die offensichtlich nicht ernst gemeint waren, keinen Ton oder kein Bild hatten, Videos in anderen Sprachen als Deutsch oder Englisch, die Reanimationen an Kindern oder Tieren zeigten oder die reale, intraoperative oder Reanimation unter Verwendung einer mechanischen Kompressionshilfe zeigten.\nIm Anschluss wurden die einzelnen Bewertungen analysiert und von den Reviewern sowie den Autoren gemeinsam kritisch insbesondere im Hinblick auf Gründe für die jeweilige Punktevergabe, Stärken und Schwächen der Items diskutiert. Basierend hierauf wurden die Items angepasst und spezifiziert. An der folgenden Reviewrunde nahmen dann nur NotärztInnen teil, die bisher noch nicht beteiligt waren.\nDieses mehrstufige Verfahren diente der Qualitätssicherung und Validierung der Checkliste hinsichtlich der Testgütekriterien Objektivität, Reliabilität und Validität. Hierbei bezeichnet die Reliabilität den Grad der Genauigkeit, mit dem das geprüfte Merkmal gemessen wird, sowie die Wiederholbarkeit der Messung. Ein wichtiger Aspekt hierbei ist die Überprüfung, ob verschiedene ReviewerInnen dasselbe Video identisch beurteilen. Hierfür erfolgte die Analyse der Übereinstimmung zwischen den Reviewern.\nDie Objektivität lässt sich in mehrere Unterformen unterteilen, unter anderem die Durchführungs- und die Auswertungsobjektivität. Durch sie soll gewährleistet werden, dass die Bewertung eines Videos unabhängig von den Reviewern ist. Hierfür ist besonders eine präzise Formulierung der Items von Bedeutung. Dies wurde in der vorliegenden Arbeit durch die wiederholte Diskussion der Interpretation der Items zwischen den ReviewerInnen sichergestellt.\nDie Validität eines Messinstruments gibt an, wie gut das Instrument das misst, was es zu messen vorgibt. Hierbei wird die Inhaltsvalidität von der Kriteriumsvalidität unterschieden. Die Kriteriumsvalidität beschreibt den Grad der Übereinstimmung des Messinstruments mit einem Goldstandard. Da dieser für die Bewertung von Lehrvideos zur Reanimation bisher nicht vorliegt, wurde ein besonderes Augenmerk auf die Inhaltsvalidität gelegt. Diese beschreibt, ob und in welchem Maß die Checklistenitems den zu messenden Merkmalsbereich ausreichend genau repräsentieren. Dies wurde durch die Erstellung der Checklistenitems basierend auf den aktuellen „guidelines“, die Erstellung im Rahmen eines Expertenworkshops und die Anwendung im Rahmen des Reviewprozesses sichergestellt.\nDie so erstellte Checkliste wurde an insgesamt 74 Videos zum Thema Reanimation, die basierend auf den oben beschriebenen Ein- und Ausschlusskriterien identifiziert werden konnten, angewendet. Hierbei wurde jedes Video von insgesamt 2 NotärztInnen bewertet. Als ReviewerInnen wurden gezielt NotärztInnen aus verschiedenen deutschen Städten und sowohl universitär arbeitende als auch nichtuniversitär arbeitende ÄrztInnen rekrutiert. Die Teilnahme erfolgte freiwillig nach mündlicher und schriftlicher Aufklärung.\nIn einem Expertenworkshop wurden basierend auf den aktuellen „guidelines“ die im Rahmen der präklinischen Reanimation durchzuführenden Schritte identifiziert und vier Kategorien zugeordnet: initiale Maßnahmen, Thoraxkompression, Verwendung des AED und Atmung. Mitglieder des Expertenworkshops waren neben medizindidaktischen (Absolventen des Masterstudiengangs Medical Education) und fachlichen Experten (Notärzt:innen mit langjähriger Berufserfahrung) auch Medizinstudierende als Vertreter der Zielgruppe der Lehrvideos.\nZu den identifizierten Schritten wurden kurze, präzise Checklistenitems formuliert. Diese Items wurden im Rahmen des Workshops an Beispielsvideos getestet, im Hinblick auf ihre Verständlichkeit und Eignung analysiert und, wenn nötig, angepasst oder spezifiziert. Die Bewertung erfolgte auf einer 3‑stufigen Skala (0 = nicht erwähnt; 1 = falsch oder unvollständig durchgeführt und 2 = richtig durchgeführt).\nOptimierung und Analyse der Checkliste:\nDie so erstellte erste Version der Checkliste wurde in einem vierstufigen Reviewprozess hinsichtlich Qualität, Verständlichkeit und Anwendbarkeit getestet und überarbeitet. Hierfür bewerteten jeweils zwei bis drei nicht an der Erstellung der Checkliste beteiligte NotärztInnen jeweils zwei Videos. Die Bewertung wurde ohne vorherige Schulung und ohne die Möglichkeit zu Absprachen zwischen den Reviewern durchgeführt. Analysiert wurden Videos der Plattform YouTube, die unter den folgenden Suchbegriffen gefunden werden konnten:ThoraxkompressionHerzdruckmassageCPRCardiac MassageCardiopulmonary ResuscitationBasic Life SupportHerzstillstand Erste HilfeHerz Erste HilfeReanimationWiederbelebung\nThoraxkompression\nHerzdruckmassage\nCPR\nCardiac Massage\nCardiopulmonary Resuscitation\nBasic Life Support\nHerzstillstand Erste Hilfe\nHerz Erste Hilfe\nReanimation\nWiederbelebung\nAusgeschlossen wurden Videos, die offensichtlich nicht ernst gemeint waren, keinen Ton oder kein Bild hatten, Videos in anderen Sprachen als Deutsch oder Englisch, die Reanimationen an Kindern oder Tieren zeigten oder die reale, intraoperative oder Reanimation unter Verwendung einer mechanischen Kompressionshilfe zeigten.\nIm Anschluss wurden die einzelnen Bewertungen analysiert und von den Reviewern sowie den Autoren gemeinsam kritisch insbesondere im Hinblick auf Gründe für die jeweilige Punktevergabe, Stärken und Schwächen der Items diskutiert. Basierend hierauf wurden die Items angepasst und spezifiziert. An der folgenden Reviewrunde nahmen dann nur NotärztInnen teil, die bisher noch nicht beteiligt waren.\nDieses mehrstufige Verfahren diente der Qualitätssicherung und Validierung der Checkliste hinsichtlich der Testgütekriterien Objektivität, Reliabilität und Validität. Hierbei bezeichnet die Reliabilität den Grad der Genauigkeit, mit dem das geprüfte Merkmal gemessen wird, sowie die Wiederholbarkeit der Messung. Ein wichtiger Aspekt hierbei ist die Überprüfung, ob verschiedene ReviewerInnen dasselbe Video identisch beurteilen. Hierfür erfolgte die Analyse der Übereinstimmung zwischen den Reviewern.\nDie Objektivität lässt sich in mehrere Unterformen unterteilen, unter anderem die Durchführungs- und die Auswertungsobjektivität. Durch sie soll gewährleistet werden, dass die Bewertung eines Videos unabhängig von den Reviewern ist. Hierfür ist besonders eine präzise Formulierung der Items von Bedeutung. Dies wurde in der vorliegenden Arbeit durch die wiederholte Diskussion der Interpretation der Items zwischen den ReviewerInnen sichergestellt.\nDie Validität eines Messinstruments gibt an, wie gut das Instrument das misst, was es zu messen vorgibt. Hierbei wird die Inhaltsvalidität von der Kriteriumsvalidität unterschieden. Die Kriteriumsvalidität beschreibt den Grad der Übereinstimmung des Messinstruments mit einem Goldstandard. Da dieser für die Bewertung von Lehrvideos zur Reanimation bisher nicht vorliegt, wurde ein besonderes Augenmerk auf die Inhaltsvalidität gelegt. Diese beschreibt, ob und in welchem Maß die Checklistenitems den zu messenden Merkmalsbereich ausreichend genau repräsentieren. Dies wurde durch die Erstellung der Checklistenitems basierend auf den aktuellen „guidelines“, die Erstellung im Rahmen eines Expertenworkshops und die Anwendung im Rahmen des Reviewprozesses sichergestellt.\nDie so erstellte Checkliste wurde an insgesamt 74 Videos zum Thema Reanimation, die basierend auf den oben beschriebenen Ein- und Ausschlusskriterien identifiziert werden konnten, angewendet. Hierbei wurde jedes Video von insgesamt 2 NotärztInnen bewertet. Als ReviewerInnen wurden gezielt NotärztInnen aus verschiedenen deutschen Städten und sowohl universitär arbeitende als auch nichtuniversitär arbeitende ÄrztInnen rekrutiert. Die Teilnahme erfolgte freiwillig nach mündlicher und schriftlicher Aufklärung.\nDatenauswertung Die Datenerfassung sowie Auswertung der Mittelwerte, Standardabweichung, einzelnen Items beider Checklisten und der Vergleichbarkeit der beiden ReviewerInnen erfolgte in Microsoft Excel (Microsoft Corporation, Redmond, USA).\nDie Datenerfassung sowie Auswertung der Mittelwerte, Standardabweichung, einzelnen Items beider Checklisten und der Vergleichbarkeit der beiden ReviewerInnen erfolgte in Microsoft Excel (Microsoft Corporation, Redmond, USA).", "In einem Expertenworkshop wurden basierend auf den aktuellen „guidelines“ die im Rahmen der präklinischen Reanimation durchzuführenden Schritte identifiziert und vier Kategorien zugeordnet: initiale Maßnahmen, Thoraxkompression, Verwendung des AED und Atmung. Mitglieder des Expertenworkshops waren neben medizindidaktischen (Absolventen des Masterstudiengangs Medical Education) und fachlichen Experten (Notärzt:innen mit langjähriger Berufserfahrung) auch Medizinstudierende als Vertreter der Zielgruppe der Lehrvideos.\nZu den identifizierten Schritten wurden kurze, präzise Checklistenitems formuliert. Diese Items wurden im Rahmen des Workshops an Beispielsvideos getestet, im Hinblick auf ihre Verständlichkeit und Eignung analysiert und, wenn nötig, angepasst oder spezifiziert. Die Bewertung erfolgte auf einer 3‑stufigen Skala (0 = nicht erwähnt; 1 = falsch oder unvollständig durchgeführt und 2 = richtig durchgeführt).\nOptimierung und Analyse der Checkliste:\nDie so erstellte erste Version der Checkliste wurde in einem vierstufigen Reviewprozess hinsichtlich Qualität, Verständlichkeit und Anwendbarkeit getestet und überarbeitet. Hierfür bewerteten jeweils zwei bis drei nicht an der Erstellung der Checkliste beteiligte NotärztInnen jeweils zwei Videos. Die Bewertung wurde ohne vorherige Schulung und ohne die Möglichkeit zu Absprachen zwischen den Reviewern durchgeführt. Analysiert wurden Videos der Plattform YouTube, die unter den folgenden Suchbegriffen gefunden werden konnten:ThoraxkompressionHerzdruckmassageCPRCardiac MassageCardiopulmonary ResuscitationBasic Life SupportHerzstillstand Erste HilfeHerz Erste HilfeReanimationWiederbelebung\nThoraxkompression\nHerzdruckmassage\nCPR\nCardiac Massage\nCardiopulmonary Resuscitation\nBasic Life Support\nHerzstillstand Erste Hilfe\nHerz Erste Hilfe\nReanimation\nWiederbelebung\nAusgeschlossen wurden Videos, die offensichtlich nicht ernst gemeint waren, keinen Ton oder kein Bild hatten, Videos in anderen Sprachen als Deutsch oder Englisch, die Reanimationen an Kindern oder Tieren zeigten oder die reale, intraoperative oder Reanimation unter Verwendung einer mechanischen Kompressionshilfe zeigten.\nIm Anschluss wurden die einzelnen Bewertungen analysiert und von den Reviewern sowie den Autoren gemeinsam kritisch insbesondere im Hinblick auf Gründe für die jeweilige Punktevergabe, Stärken und Schwächen der Items diskutiert. Basierend hierauf wurden die Items angepasst und spezifiziert. An der folgenden Reviewrunde nahmen dann nur NotärztInnen teil, die bisher noch nicht beteiligt waren.\nDieses mehrstufige Verfahren diente der Qualitätssicherung und Validierung der Checkliste hinsichtlich der Testgütekriterien Objektivität, Reliabilität und Validität. Hierbei bezeichnet die Reliabilität den Grad der Genauigkeit, mit dem das geprüfte Merkmal gemessen wird, sowie die Wiederholbarkeit der Messung. Ein wichtiger Aspekt hierbei ist die Überprüfung, ob verschiedene ReviewerInnen dasselbe Video identisch beurteilen. Hierfür erfolgte die Analyse der Übereinstimmung zwischen den Reviewern.\nDie Objektivität lässt sich in mehrere Unterformen unterteilen, unter anderem die Durchführungs- und die Auswertungsobjektivität. Durch sie soll gewährleistet werden, dass die Bewertung eines Videos unabhängig von den Reviewern ist. Hierfür ist besonders eine präzise Formulierung der Items von Bedeutung. Dies wurde in der vorliegenden Arbeit durch die wiederholte Diskussion der Interpretation der Items zwischen den ReviewerInnen sichergestellt.\nDie Validität eines Messinstruments gibt an, wie gut das Instrument das misst, was es zu messen vorgibt. Hierbei wird die Inhaltsvalidität von der Kriteriumsvalidität unterschieden. Die Kriteriumsvalidität beschreibt den Grad der Übereinstimmung des Messinstruments mit einem Goldstandard. Da dieser für die Bewertung von Lehrvideos zur Reanimation bisher nicht vorliegt, wurde ein besonderes Augenmerk auf die Inhaltsvalidität gelegt. Diese beschreibt, ob und in welchem Maß die Checklistenitems den zu messenden Merkmalsbereich ausreichend genau repräsentieren. Dies wurde durch die Erstellung der Checklistenitems basierend auf den aktuellen „guidelines“, die Erstellung im Rahmen eines Expertenworkshops und die Anwendung im Rahmen des Reviewprozesses sichergestellt.\nDie so erstellte Checkliste wurde an insgesamt 74 Videos zum Thema Reanimation, die basierend auf den oben beschriebenen Ein- und Ausschlusskriterien identifiziert werden konnten, angewendet. Hierbei wurde jedes Video von insgesamt 2 NotärztInnen bewertet. Als ReviewerInnen wurden gezielt NotärztInnen aus verschiedenen deutschen Städten und sowohl universitär arbeitende als auch nichtuniversitär arbeitende ÄrztInnen rekrutiert. Die Teilnahme erfolgte freiwillig nach mündlicher und schriftlicher Aufklärung.", "Die Datenerfassung sowie Auswertung der Mittelwerte, Standardabweichung, einzelnen Items beider Checklisten und der Vergleichbarkeit der beiden ReviewerInnen erfolgte in Microsoft Excel (Microsoft Corporation, Redmond, USA).", "Die resultierende Checkliste umfasst 25 Items in vier Kategorien. Sieben Items entfallen auf die Kategorie ‚initiale Maßnahmen‘, acht auf ‚Thoraxkompression‘, sechs auf ‚AED-Nutzung‘ und vier auf ‚Atmung‘. Die Bewertung der Items erfolgt auf einer 3‑stufigen Likert-Skala (0 = nicht erwähnt; 1 = falsch oder unvollständig durchgeführt und 2 = richtig durchgeführt). Während des Reviewverfahrens zeigte sich, dass nicht immer alle Items auf alle Videos zutreffend sind. Daher wurde die Option ergänzt, Items auszuschließen, falls das Item im Kontext des Videos nicht zutrifft oder bereits erfolgt war.\nDie Items der ‚AED-Nutzung‘ und ‚Atmung‘ sind optional, d. h., falls die Nutzung des AED bzw. die Atmung nicht im Video behandelt wird, besteht die Möglichkeit, die Auswahl „nicht vorhanden“ bzw. „nicht zutreffend“ für die gesamte Untergruppe zu wählen. Grund hierfür ist, dass die Beatmung durch Laien ohne Training nicht mehr empfohlen wird. Zusätzlich fällt diese Untergruppe bei erfolgter Intubation weg. In diesem Fall werden die Items dieser Untergruppen aus der Gesamtwertung des Videos ausgeschlossen. Insgesamt ergibt sich so eine erreichbare Gesamtpunktzahl von mindestens 22 bis zu 50 maximalen Punkten.\nWährend des Reviewprozesses zeigte sich, dass zur eindeutigen Beantwortung der Checkliste eine kurze Anleitung nötig ist, die den Umgang mit der Option „nicht zutreffend/bereits erfolgt“ erklärt und klarstellt, dass Maßnahmen nur dann als richtig bewertet werden dürfen, wenn sie sowohl richtig durchgeführt als auch angesagt wurden. Hiervon ausgenommen sind nur die Items „Kompressor nach 2 min wechseln“ und „Zyklen wiederholen, bis Hilfe eintrifft“, bei denen das Erläutern der Maßnahmen ausreichend ist. Wird eine andere Maßnahme nur benannt, aber nicht gezeigt, ist die Bewertung „unvollständig/falsch durchgeführt“ zu wählen.\nDie erstellte Checkliste zur inhaltlichen Bewertung von Lehrvideos zur Reanimation ist diesem Artikel als Supplement beigefügt.", "ReviewerInnen Tab. 1 zeigt die Verteilung der NotärztInnen nach Geschlecht, Fachrichtung und Anzahl der bewerteten Videos. Die ReviewerInnen bewerteten im Durchschnitt 9,25 Videos ± 5,69.ReviewerFachrichtungGeschlecht1UnfallchirurgieM2InnereM3AnästhesieM4Mund‑, Kiefer‑, GesichtschirurgieM5UnfallchirurgieW6UnfallchirurgieW7UnfallchirurgieW8AnästhesieW9AnästhesieW10PädiatrieM11AnästhesieM12UnfallchirurgieM13UnfallchirurgieM14UnfallchirurgieW15UnfallchirurgieM16UnfallchirurgieM\nInsgesamt stimmten die ReviewerInnen in 65,06 ± 12,56 % der Fälle überein. Die höchsten Übereinstimmungen erzielten die ReviewerInnen im Unterthema AED, wobei das Item „Beim Schock Patienten nicht berühren“ mit 85,14 % die höchste Übereinstimmung aufwies. Die Items der Kategorie Thoraxkompression wurden am häufigsten unterschiedlich bewertet. Dabei liegt die Übereinstimmung für das Item „Unterbrechung < 10 Sek“ bei 47,29 %, die Items „Kompressionstiefe 5 cm“ und „Entlastung“ werden jeweils in 48,64 % der Fälle gleich bewertet. Tab. 2 zeigt die Übereinstimmung der ReviewerInnen für die jeweiligen Items der Checkliste.ItemÜbereinstimmung [%]Initiale MaßnahmenAnsprechen64,86Schmerzreiz67,56Atemwege52,70Atmung prüfen63,51Notruf68,91Entkleiden48,64Hinlegen56,75ThoraxkompressionHarte Unterlage54,05100–120/Min66,22Korrekter Druckpunkt58,11Kompressionstiefe 5 cm48,65Entlastung48,65Kompressor tauschen62,16Zyklen wiederholen52,70Unterbrechung < 10 Sek47,29AEDNicht vorhanden → Unterpunkte fallen weg91,892. Priorität67,57Elektroden aufkleben75,68Rhythmusanalyse83,78Beim Schock Pat nicht berühren85,14Sofort nach Schock Thoraxkompression83,78Erneute Rhythmuskontrolle nach 2 Min81,08AtmungNicht zutreffend, da Laien-Reanimation → Unterpunkte fallen weg77,0330 zu 266,22Kopf überstrecken62,16Nase zuhalten über den Mund beatmen/Maske mit C‑Griff58,11Auf Thoraxhebung als Feedback63,51\nTab. 1 zeigt die Verteilung der NotärztInnen nach Geschlecht, Fachrichtung und Anzahl der bewerteten Videos. Die ReviewerInnen bewerteten im Durchschnitt 9,25 Videos ± 5,69.ReviewerFachrichtungGeschlecht1UnfallchirurgieM2InnereM3AnästhesieM4Mund‑, Kiefer‑, GesichtschirurgieM5UnfallchirurgieW6UnfallchirurgieW7UnfallchirurgieW8AnästhesieW9AnästhesieW10PädiatrieM11AnästhesieM12UnfallchirurgieM13UnfallchirurgieM14UnfallchirurgieW15UnfallchirurgieM16UnfallchirurgieM\nInsgesamt stimmten die ReviewerInnen in 65,06 ± 12,56 % der Fälle überein. Die höchsten Übereinstimmungen erzielten die ReviewerInnen im Unterthema AED, wobei das Item „Beim Schock Patienten nicht berühren“ mit 85,14 % die höchste Übereinstimmung aufwies. Die Items der Kategorie Thoraxkompression wurden am häufigsten unterschiedlich bewertet. Dabei liegt die Übereinstimmung für das Item „Unterbrechung < 10 Sek“ bei 47,29 %, die Items „Kompressionstiefe 5 cm“ und „Entlastung“ werden jeweils in 48,64 % der Fälle gleich bewertet. Tab. 2 zeigt die Übereinstimmung der ReviewerInnen für die jeweiligen Items der Checkliste.ItemÜbereinstimmung [%]Initiale MaßnahmenAnsprechen64,86Schmerzreiz67,56Atemwege52,70Atmung prüfen63,51Notruf68,91Entkleiden48,64Hinlegen56,75ThoraxkompressionHarte Unterlage54,05100–120/Min66,22Korrekter Druckpunkt58,11Kompressionstiefe 5 cm48,65Entlastung48,65Kompressor tauschen62,16Zyklen wiederholen52,70Unterbrechung < 10 Sek47,29AEDNicht vorhanden → Unterpunkte fallen weg91,892. Priorität67,57Elektroden aufkleben75,68Rhythmusanalyse83,78Beim Schock Pat nicht berühren85,14Sofort nach Schock Thoraxkompression83,78Erneute Rhythmuskontrolle nach 2 Min81,08AtmungNicht zutreffend, da Laien-Reanimation → Unterpunkte fallen weg77,0330 zu 266,22Kopf überstrecken62,16Nase zuhalten über den Mund beatmen/Maske mit C‑Griff58,11Auf Thoraxhebung als Feedback63,51", "Tab. 1 zeigt die Verteilung der NotärztInnen nach Geschlecht, Fachrichtung und Anzahl der bewerteten Videos. Die ReviewerInnen bewerteten im Durchschnitt 9,25 Videos ± 5,69.ReviewerFachrichtungGeschlecht1UnfallchirurgieM2InnereM3AnästhesieM4Mund‑, Kiefer‑, GesichtschirurgieM5UnfallchirurgieW6UnfallchirurgieW7UnfallchirurgieW8AnästhesieW9AnästhesieW10PädiatrieM11AnästhesieM12UnfallchirurgieM13UnfallchirurgieM14UnfallchirurgieW15UnfallchirurgieM16UnfallchirurgieM\nInsgesamt stimmten die ReviewerInnen in 65,06 ± 12,56 % der Fälle überein. Die höchsten Übereinstimmungen erzielten die ReviewerInnen im Unterthema AED, wobei das Item „Beim Schock Patienten nicht berühren“ mit 85,14 % die höchste Übereinstimmung aufwies. Die Items der Kategorie Thoraxkompression wurden am häufigsten unterschiedlich bewertet. Dabei liegt die Übereinstimmung für das Item „Unterbrechung < 10 Sek“ bei 47,29 %, die Items „Kompressionstiefe 5 cm“ und „Entlastung“ werden jeweils in 48,64 % der Fälle gleich bewertet. Tab. 2 zeigt die Übereinstimmung der ReviewerInnen für die jeweiligen Items der Checkliste.ItemÜbereinstimmung [%]Initiale MaßnahmenAnsprechen64,86Schmerzreiz67,56Atemwege52,70Atmung prüfen63,51Notruf68,91Entkleiden48,64Hinlegen56,75ThoraxkompressionHarte Unterlage54,05100–120/Min66,22Korrekter Druckpunkt58,11Kompressionstiefe 5 cm48,65Entlastung48,65Kompressor tauschen62,16Zyklen wiederholen52,70Unterbrechung < 10 Sek47,29AEDNicht vorhanden → Unterpunkte fallen weg91,892. Priorität67,57Elektroden aufkleben75,68Rhythmusanalyse83,78Beim Schock Pat nicht berühren85,14Sofort nach Schock Thoraxkompression83,78Erneute Rhythmuskontrolle nach 2 Min81,08AtmungNicht zutreffend, da Laien-Reanimation → Unterpunkte fallen weg77,0330 zu 266,22Kopf überstrecken62,16Nase zuhalten über den Mund beatmen/Maske mit C‑Griff58,11Auf Thoraxhebung als Feedback63,51", "In der vorliegenden Arbeit wurde erstmals eine auf den aktuellen „guidelines“ [1] basierende Checkliste für die Qualität von Lehrvideos zum Thema Reanimation erstellt und validiert. Diese Checkliste bewertet die Videos anhand von 25 Items in vier Kategorien.\nObwohl die entwickelte Checkliste im Rahmen eines ausführlichen, mehrstufigen Reviewverfahrens mehrfach angepasst und validiert wurde, ist die Übereinstimmung zwischen den ReviewerInnen im Rahmen der Anwendung an insgesamt 74 Videos mit 65,06 ± 12,56 % moderat. Hierbei zeigt sich eine große Spanne von einer Übereinstimmung von 85,14 % für das Item „Beim Schock Patienten nicht berühren“ bis zu 47,29 % für das Item „Unterbrechung < 10 Sek“. Diese Diskrepanz zeigt, wie schwer es selbst für erfahrene NotärztInnen ist, die Qualität der durchgeführten Maßnahmen einzuschätzen, insbesondere wenn es sich um Kriterien handelt, die nicht mit dem bloßen Auge abzuschätzen sind (z. B. exakte Drucktiefe, konkrete Zeitspannen). Dies entspricht auch den bisher publizierten Analysen von Lehrvideos zur Behandlung von medizinischen Notfällen: Viele Arbeiten, die Videos anhand von Checklisten bewerteten, geben Übereinstimmung zwischen den ReviewerInnen nicht an [7, 12, 18]. So bewerten beispielsweise in den Arbeiten von Elicabuk et al. und Katipoğlu et al. zwei ReviewerInnen Lehrvideos zur Reanimation. Wichen die Bewertungen dieser beiden ReviewerInnen in einem Item voneinander ab, bewertete ein dritter Reviewer das Video und diejenige Bewertung wurde für das Gesamtergebnis berücksichtig, die die Mehrheit der ReviewerInnen ausgewählt hatte [7, 12].\nDie Ergebnisse der vorliegenden Arbeit konnten zeigen, dass die Bewertung der korrekten Durchführung der Reanimation in einem Lehrvideo auch für erfahrene NotärztInnen schwierig ist, für Novizen oder gar medizinische Laien kann sie daher kaum möglich sein. Dies ist umso gravierender, da eine präklinische Reanimation vor Eintreffen des Rettungsdiensts in den allermeisten Fällen durch medizinische Laien erfolgt [22]. Gerade für diese Zielgruppe erscheinen somit klar definierte Gütekriterien zur Einordnung der Qualität eines Lehrvideos zur Reanimation notwendig. Studien haben allerdings gezeigt, dass die bisher auf den Plattformen verwendeten Kriterien wie Aufrufe oder Bewertungen durch User nur bedingt als Gütekriterium geeignet sind. So bewerteten beispielsweise Şaşmaz et al. 67 YouTube-Videos zum Erlernen von Traumamanagement anhand von zehn Items, die basierend auf den „ATLS guidelines“ erstellt wurden. Dabei zeigte sich keine Korrelation der Bewertung anhand der Checkliste mit der Anzahl der Aufrufe oder Bewertung auf der Website [18].\nVor diesem Hintergrund ist es wünschenswert, auf Basis einer validierten, auf aktuellen „guidelines“ basierenden Checkliste wie der in der vorliegenden Arbeit erstellten die auf öffentlich zugänglichen Plattformen vorhandenen Videos zu bewerten und diese Bewertung in Form eines Katalogs der empfehlenswerten Videos zu publizieren.\nNeben der Bewertung bereits vorhandener Videos kann diese Checkliste aber auch zur Erstellung eigener Videos als Schablone herangezogen werden. Somit wird die korrekte Darstellung der notwendigen Maßnahmen bereits bei der Erstellung des Videos sichergestellt. Die so erstellten Lehrvideos können dann von Studierenden sowohl zur Vorbereitung als auch während einer Lehrveranstaltung genutzt werden. Verschiedene Studien zeigen, dass durch die Nutzung von Lehrvideos das Erlernen praktischer Fertigkeiten verbessert werden kann [9, 11, 13]. Darüber hinaus kann eine Verknüpfung von Gesehenem mit Erlebtem anhand der Videos wiederholt werden [8, 19]. Dies ist besonders für die Reanimation wichtig, da diese in der Realität häufig nicht in einer Situation passiert, die für Studierende adäquat vor- oder nachbereitet werden kann. Somit erscheint in diesem Bereich eine Analyse der Qualität der vorhandenen Videos auf Grundlage einer validierten Checkliste von immenser Bedeutung. Mit der in der vorliegenden Arbeit entwickelten Checkliste wurde erstmals ein Bewertungsinstrument für eine solche Analyse entwickelt.", "In der vorliegenden Studie konnte erstmalig für den deutschsprachigen Raum eine Checkliste zur Bewertung von Lehrvideos zur Reanimation erstellt und validiert werden. Sie kann nicht nur zur nachträglichen Bewertung bereits vorhandener Videos genutzt werden, sondern gleichzeitig auch bei der Erstellung neuer Videos hilfreich sein.", "\nDurch die vorliegende Studie existiert nun eine validierte, auf den aktuellen „guidelines“ basierende Checkliste zur Bewertung von Lehrvideos zur Reanimation.Die Checkliste kann nicht nur zur nachträglichen Bewertung der Videos dienen, sondern auch bei der Erstellung neuer Videos.Die Bewertung der korrekten Durchführung der Maßnahmen der kardiopulmonalen Reanimation in einem Lehrvideo erscheint schon für erfahrene NotärztInnen schwierig. Gerade für diese erscheinen somit klar definierte Gütekriterien zur Einordnung der Qualität eines Lehrvideos zur Reanimation notwendig.\n\nDurch die vorliegende Studie existiert nun eine validierte, auf den aktuellen „guidelines“ basierende Checkliste zur Bewertung von Lehrvideos zur Reanimation.\nDie Checkliste kann nicht nur zur nachträglichen Bewertung der Videos dienen, sondern auch bei der Erstellung neuer Videos.\nDie Bewertung der korrekten Durchführung der Maßnahmen der kardiopulmonalen Reanimation in einem Lehrvideo erscheint schon für erfahrene NotärztInnen schwierig. Gerade für diese erscheinen somit klar definierte Gütekriterien zur Einordnung der Qualität eines Lehrvideos zur Reanimation notwendig." ]
[ null, null, null, null, null, null, null, null, null, "conclusion" ]
[ "Lehrvideos", "Qualitätssicherung", "Reanimation", "Checkliste", "Lehrforschung", "Instructional videos", "Quality assurance", "Resuscitation", "Checklist", "Educational research" ]
Hintergrund und Fragestellung: Die Inzidenz außerklinischer Reanimationen liegt in Deutschland bei 116/100.000 pro Jahr [22]. Obwohl sich in über 90 % der Notfälle Ersthelfer vor Ort befinden [3], werden in Deutschland nur 43,5 % der Patienten mit Herzstillstand durch anwesende Laien reanimiert [22], insgesamt liegt Deutschland im europäischen Vergleich bezüglich der Anzahl der Laienreanimationen im unteren Drittel [23]. Als Gründe hierfür wurden Panik (37,5 %), Angst vor falscher Durchführung (10,8 %) und Angst, die Person zu verletzen (1,8 %), angegeben [20]. Jedoch zeigen sich nicht nur bei medizinischen Laien, sondern bereits bei Medizinstudierenden deutliche Kompetenzdefizite: Baldi et al. konnten zeigen, dass selbst bei Medizinstudierenden deutliche Kompetenzdefizite bestehen: Nur 57,8 % der europäischen Medizinstudierenden kennen die korrekte Kompressionsrate [2]. Zudem sind vielen Mitarbeitern im Gesundheitswesen Aspekte wie die Drucktiefe oder der korrekte Druckpunkt unklar [4, 16]. Aufgrund der fast ubiquitären Nutzbarkeit bieten online verfügbare Videos ein häufig genutztes Lernmedium. Medizinstudierende geben an, mit Videos effektiver lernen zu können als mit Büchern bzw. reinen Texten oder Bildern [6]. Besonders bei praktischen Fertigkeiten greifen sie oft auf Lehrvideos zurück [11, 24]. Die Videoplattform YouTube kann hierbei eine hilfreiche Unterstützung sein [21]. Neben hochwertigen Videos in vielen YouTube-Kanälen gibt es sehr viele Videos mit falschen oder veralteten Informationen [5, 15]. Da es für die meisten Inhalte keine Qualitätskontrolle gibt, ist die Gefahr groß, dass durch das Lernen mit diesen Videos Fehler und falsche Abläufe erlernt werden. Yaylaci et al. analysierten 2014 die Qualität von YouTube-Videos zur Reanimation, dabei zeigte sich, dass nur 11,5 % der Videos die notwendigen Maßnahmen in der korrekten Reihenfolge darstellten. Die Reliabilität der erstellten Checkliste bestehend aus sieben Items wurde nicht untersucht [25]. Weitere Studien zu dem Thema bestätigten die häufig unzureichende Qualität der im Internet zur Verfügung gestellten Videos zur Reanimation [10, 14]. In keiner dieser Arbeiten erfolgte jedoch die Verwendung einer validierten, auf den aktuellen „guidelines“ [1] zur kardiopulmonalen Reanimation basierten Checkliste. Zwar existiert zur themenunabhängigen Bewertung von Lehrvideos hinsichtlich der didaktischen Ausgestaltung bereits eine validierte Checkliste [17], für die kardiopulmonale Reanimation fehlt aber eine darüber hinausgehende inhaltliche Bewertungscheckliste. Ziel der vorliegenden Arbeit war daher die Entwicklung und Implementierung einer Checkliste zur inhaltlichen Bewertung von Videos zur Reanimation mit dem langfristigen Ziel, Lehrenden und Lernenden qualitativ überprüfte, frei zugängliche Videos zur Verfügung zu stellen. Studiendesign und Untersuchungsmethoden: Erarbeitung der Checklistenitems In einem Expertenworkshop wurden basierend auf den aktuellen „guidelines“ die im Rahmen der präklinischen Reanimation durchzuführenden Schritte identifiziert und vier Kategorien zugeordnet: initiale Maßnahmen, Thoraxkompression, Verwendung des AED und Atmung. Mitglieder des Expertenworkshops waren neben medizindidaktischen (Absolventen des Masterstudiengangs Medical Education) und fachlichen Experten (Notärzt:innen mit langjähriger Berufserfahrung) auch Medizinstudierende als Vertreter der Zielgruppe der Lehrvideos. Zu den identifizierten Schritten wurden kurze, präzise Checklistenitems formuliert. Diese Items wurden im Rahmen des Workshops an Beispielsvideos getestet, im Hinblick auf ihre Verständlichkeit und Eignung analysiert und, wenn nötig, angepasst oder spezifiziert. Die Bewertung erfolgte auf einer 3‑stufigen Skala (0 = nicht erwähnt; 1 = falsch oder unvollständig durchgeführt und 2 = richtig durchgeführt). Optimierung und Analyse der Checkliste: Die so erstellte erste Version der Checkliste wurde in einem vierstufigen Reviewprozess hinsichtlich Qualität, Verständlichkeit und Anwendbarkeit getestet und überarbeitet. Hierfür bewerteten jeweils zwei bis drei nicht an der Erstellung der Checkliste beteiligte NotärztInnen jeweils zwei Videos. Die Bewertung wurde ohne vorherige Schulung und ohne die Möglichkeit zu Absprachen zwischen den Reviewern durchgeführt. Analysiert wurden Videos der Plattform YouTube, die unter den folgenden Suchbegriffen gefunden werden konnten:ThoraxkompressionHerzdruckmassageCPRCardiac MassageCardiopulmonary ResuscitationBasic Life SupportHerzstillstand Erste HilfeHerz Erste HilfeReanimationWiederbelebung Thoraxkompression Herzdruckmassage CPR Cardiac Massage Cardiopulmonary Resuscitation Basic Life Support Herzstillstand Erste Hilfe Herz Erste Hilfe Reanimation Wiederbelebung Ausgeschlossen wurden Videos, die offensichtlich nicht ernst gemeint waren, keinen Ton oder kein Bild hatten, Videos in anderen Sprachen als Deutsch oder Englisch, die Reanimationen an Kindern oder Tieren zeigten oder die reale, intraoperative oder Reanimation unter Verwendung einer mechanischen Kompressionshilfe zeigten. Im Anschluss wurden die einzelnen Bewertungen analysiert und von den Reviewern sowie den Autoren gemeinsam kritisch insbesondere im Hinblick auf Gründe für die jeweilige Punktevergabe, Stärken und Schwächen der Items diskutiert. Basierend hierauf wurden die Items angepasst und spezifiziert. An der folgenden Reviewrunde nahmen dann nur NotärztInnen teil, die bisher noch nicht beteiligt waren. Dieses mehrstufige Verfahren diente der Qualitätssicherung und Validierung der Checkliste hinsichtlich der Testgütekriterien Objektivität, Reliabilität und Validität. Hierbei bezeichnet die Reliabilität den Grad der Genauigkeit, mit dem das geprüfte Merkmal gemessen wird, sowie die Wiederholbarkeit der Messung. Ein wichtiger Aspekt hierbei ist die Überprüfung, ob verschiedene ReviewerInnen dasselbe Video identisch beurteilen. Hierfür erfolgte die Analyse der Übereinstimmung zwischen den Reviewern. Die Objektivität lässt sich in mehrere Unterformen unterteilen, unter anderem die Durchführungs- und die Auswertungsobjektivität. Durch sie soll gewährleistet werden, dass die Bewertung eines Videos unabhängig von den Reviewern ist. Hierfür ist besonders eine präzise Formulierung der Items von Bedeutung. Dies wurde in der vorliegenden Arbeit durch die wiederholte Diskussion der Interpretation der Items zwischen den ReviewerInnen sichergestellt. Die Validität eines Messinstruments gibt an, wie gut das Instrument das misst, was es zu messen vorgibt. Hierbei wird die Inhaltsvalidität von der Kriteriumsvalidität unterschieden. Die Kriteriumsvalidität beschreibt den Grad der Übereinstimmung des Messinstruments mit einem Goldstandard. Da dieser für die Bewertung von Lehrvideos zur Reanimation bisher nicht vorliegt, wurde ein besonderes Augenmerk auf die Inhaltsvalidität gelegt. Diese beschreibt, ob und in welchem Maß die Checklistenitems den zu messenden Merkmalsbereich ausreichend genau repräsentieren. Dies wurde durch die Erstellung der Checklistenitems basierend auf den aktuellen „guidelines“, die Erstellung im Rahmen eines Expertenworkshops und die Anwendung im Rahmen des Reviewprozesses sichergestellt. Die so erstellte Checkliste wurde an insgesamt 74 Videos zum Thema Reanimation, die basierend auf den oben beschriebenen Ein- und Ausschlusskriterien identifiziert werden konnten, angewendet. Hierbei wurde jedes Video von insgesamt 2 NotärztInnen bewertet. Als ReviewerInnen wurden gezielt NotärztInnen aus verschiedenen deutschen Städten und sowohl universitär arbeitende als auch nichtuniversitär arbeitende ÄrztInnen rekrutiert. Die Teilnahme erfolgte freiwillig nach mündlicher und schriftlicher Aufklärung. In einem Expertenworkshop wurden basierend auf den aktuellen „guidelines“ die im Rahmen der präklinischen Reanimation durchzuführenden Schritte identifiziert und vier Kategorien zugeordnet: initiale Maßnahmen, Thoraxkompression, Verwendung des AED und Atmung. Mitglieder des Expertenworkshops waren neben medizindidaktischen (Absolventen des Masterstudiengangs Medical Education) und fachlichen Experten (Notärzt:innen mit langjähriger Berufserfahrung) auch Medizinstudierende als Vertreter der Zielgruppe der Lehrvideos. Zu den identifizierten Schritten wurden kurze, präzise Checklistenitems formuliert. Diese Items wurden im Rahmen des Workshops an Beispielsvideos getestet, im Hinblick auf ihre Verständlichkeit und Eignung analysiert und, wenn nötig, angepasst oder spezifiziert. Die Bewertung erfolgte auf einer 3‑stufigen Skala (0 = nicht erwähnt; 1 = falsch oder unvollständig durchgeführt und 2 = richtig durchgeführt). Optimierung und Analyse der Checkliste: Die so erstellte erste Version der Checkliste wurde in einem vierstufigen Reviewprozess hinsichtlich Qualität, Verständlichkeit und Anwendbarkeit getestet und überarbeitet. Hierfür bewerteten jeweils zwei bis drei nicht an der Erstellung der Checkliste beteiligte NotärztInnen jeweils zwei Videos. Die Bewertung wurde ohne vorherige Schulung und ohne die Möglichkeit zu Absprachen zwischen den Reviewern durchgeführt. Analysiert wurden Videos der Plattform YouTube, die unter den folgenden Suchbegriffen gefunden werden konnten:ThoraxkompressionHerzdruckmassageCPRCardiac MassageCardiopulmonary ResuscitationBasic Life SupportHerzstillstand Erste HilfeHerz Erste HilfeReanimationWiederbelebung Thoraxkompression Herzdruckmassage CPR Cardiac Massage Cardiopulmonary Resuscitation Basic Life Support Herzstillstand Erste Hilfe Herz Erste Hilfe Reanimation Wiederbelebung Ausgeschlossen wurden Videos, die offensichtlich nicht ernst gemeint waren, keinen Ton oder kein Bild hatten, Videos in anderen Sprachen als Deutsch oder Englisch, die Reanimationen an Kindern oder Tieren zeigten oder die reale, intraoperative oder Reanimation unter Verwendung einer mechanischen Kompressionshilfe zeigten. Im Anschluss wurden die einzelnen Bewertungen analysiert und von den Reviewern sowie den Autoren gemeinsam kritisch insbesondere im Hinblick auf Gründe für die jeweilige Punktevergabe, Stärken und Schwächen der Items diskutiert. Basierend hierauf wurden die Items angepasst und spezifiziert. An der folgenden Reviewrunde nahmen dann nur NotärztInnen teil, die bisher noch nicht beteiligt waren. Dieses mehrstufige Verfahren diente der Qualitätssicherung und Validierung der Checkliste hinsichtlich der Testgütekriterien Objektivität, Reliabilität und Validität. Hierbei bezeichnet die Reliabilität den Grad der Genauigkeit, mit dem das geprüfte Merkmal gemessen wird, sowie die Wiederholbarkeit der Messung. Ein wichtiger Aspekt hierbei ist die Überprüfung, ob verschiedene ReviewerInnen dasselbe Video identisch beurteilen. Hierfür erfolgte die Analyse der Übereinstimmung zwischen den Reviewern. Die Objektivität lässt sich in mehrere Unterformen unterteilen, unter anderem die Durchführungs- und die Auswertungsobjektivität. Durch sie soll gewährleistet werden, dass die Bewertung eines Videos unabhängig von den Reviewern ist. Hierfür ist besonders eine präzise Formulierung der Items von Bedeutung. Dies wurde in der vorliegenden Arbeit durch die wiederholte Diskussion der Interpretation der Items zwischen den ReviewerInnen sichergestellt. Die Validität eines Messinstruments gibt an, wie gut das Instrument das misst, was es zu messen vorgibt. Hierbei wird die Inhaltsvalidität von der Kriteriumsvalidität unterschieden. Die Kriteriumsvalidität beschreibt den Grad der Übereinstimmung des Messinstruments mit einem Goldstandard. Da dieser für die Bewertung von Lehrvideos zur Reanimation bisher nicht vorliegt, wurde ein besonderes Augenmerk auf die Inhaltsvalidität gelegt. Diese beschreibt, ob und in welchem Maß die Checklistenitems den zu messenden Merkmalsbereich ausreichend genau repräsentieren. Dies wurde durch die Erstellung der Checklistenitems basierend auf den aktuellen „guidelines“, die Erstellung im Rahmen eines Expertenworkshops und die Anwendung im Rahmen des Reviewprozesses sichergestellt. Die so erstellte Checkliste wurde an insgesamt 74 Videos zum Thema Reanimation, die basierend auf den oben beschriebenen Ein- und Ausschlusskriterien identifiziert werden konnten, angewendet. Hierbei wurde jedes Video von insgesamt 2 NotärztInnen bewertet. Als ReviewerInnen wurden gezielt NotärztInnen aus verschiedenen deutschen Städten und sowohl universitär arbeitende als auch nichtuniversitär arbeitende ÄrztInnen rekrutiert. Die Teilnahme erfolgte freiwillig nach mündlicher und schriftlicher Aufklärung. Datenauswertung Die Datenerfassung sowie Auswertung der Mittelwerte, Standardabweichung, einzelnen Items beider Checklisten und der Vergleichbarkeit der beiden ReviewerInnen erfolgte in Microsoft Excel (Microsoft Corporation, Redmond, USA). Die Datenerfassung sowie Auswertung der Mittelwerte, Standardabweichung, einzelnen Items beider Checklisten und der Vergleichbarkeit der beiden ReviewerInnen erfolgte in Microsoft Excel (Microsoft Corporation, Redmond, USA). Erarbeitung der Checklistenitems: In einem Expertenworkshop wurden basierend auf den aktuellen „guidelines“ die im Rahmen der präklinischen Reanimation durchzuführenden Schritte identifiziert und vier Kategorien zugeordnet: initiale Maßnahmen, Thoraxkompression, Verwendung des AED und Atmung. Mitglieder des Expertenworkshops waren neben medizindidaktischen (Absolventen des Masterstudiengangs Medical Education) und fachlichen Experten (Notärzt:innen mit langjähriger Berufserfahrung) auch Medizinstudierende als Vertreter der Zielgruppe der Lehrvideos. Zu den identifizierten Schritten wurden kurze, präzise Checklistenitems formuliert. Diese Items wurden im Rahmen des Workshops an Beispielsvideos getestet, im Hinblick auf ihre Verständlichkeit und Eignung analysiert und, wenn nötig, angepasst oder spezifiziert. Die Bewertung erfolgte auf einer 3‑stufigen Skala (0 = nicht erwähnt; 1 = falsch oder unvollständig durchgeführt und 2 = richtig durchgeführt). Optimierung und Analyse der Checkliste: Die so erstellte erste Version der Checkliste wurde in einem vierstufigen Reviewprozess hinsichtlich Qualität, Verständlichkeit und Anwendbarkeit getestet und überarbeitet. Hierfür bewerteten jeweils zwei bis drei nicht an der Erstellung der Checkliste beteiligte NotärztInnen jeweils zwei Videos. Die Bewertung wurde ohne vorherige Schulung und ohne die Möglichkeit zu Absprachen zwischen den Reviewern durchgeführt. Analysiert wurden Videos der Plattform YouTube, die unter den folgenden Suchbegriffen gefunden werden konnten:ThoraxkompressionHerzdruckmassageCPRCardiac MassageCardiopulmonary ResuscitationBasic Life SupportHerzstillstand Erste HilfeHerz Erste HilfeReanimationWiederbelebung Thoraxkompression Herzdruckmassage CPR Cardiac Massage Cardiopulmonary Resuscitation Basic Life Support Herzstillstand Erste Hilfe Herz Erste Hilfe Reanimation Wiederbelebung Ausgeschlossen wurden Videos, die offensichtlich nicht ernst gemeint waren, keinen Ton oder kein Bild hatten, Videos in anderen Sprachen als Deutsch oder Englisch, die Reanimationen an Kindern oder Tieren zeigten oder die reale, intraoperative oder Reanimation unter Verwendung einer mechanischen Kompressionshilfe zeigten. Im Anschluss wurden die einzelnen Bewertungen analysiert und von den Reviewern sowie den Autoren gemeinsam kritisch insbesondere im Hinblick auf Gründe für die jeweilige Punktevergabe, Stärken und Schwächen der Items diskutiert. Basierend hierauf wurden die Items angepasst und spezifiziert. An der folgenden Reviewrunde nahmen dann nur NotärztInnen teil, die bisher noch nicht beteiligt waren. Dieses mehrstufige Verfahren diente der Qualitätssicherung und Validierung der Checkliste hinsichtlich der Testgütekriterien Objektivität, Reliabilität und Validität. Hierbei bezeichnet die Reliabilität den Grad der Genauigkeit, mit dem das geprüfte Merkmal gemessen wird, sowie die Wiederholbarkeit der Messung. Ein wichtiger Aspekt hierbei ist die Überprüfung, ob verschiedene ReviewerInnen dasselbe Video identisch beurteilen. Hierfür erfolgte die Analyse der Übereinstimmung zwischen den Reviewern. Die Objektivität lässt sich in mehrere Unterformen unterteilen, unter anderem die Durchführungs- und die Auswertungsobjektivität. Durch sie soll gewährleistet werden, dass die Bewertung eines Videos unabhängig von den Reviewern ist. Hierfür ist besonders eine präzise Formulierung der Items von Bedeutung. Dies wurde in der vorliegenden Arbeit durch die wiederholte Diskussion der Interpretation der Items zwischen den ReviewerInnen sichergestellt. Die Validität eines Messinstruments gibt an, wie gut das Instrument das misst, was es zu messen vorgibt. Hierbei wird die Inhaltsvalidität von der Kriteriumsvalidität unterschieden. Die Kriteriumsvalidität beschreibt den Grad der Übereinstimmung des Messinstruments mit einem Goldstandard. Da dieser für die Bewertung von Lehrvideos zur Reanimation bisher nicht vorliegt, wurde ein besonderes Augenmerk auf die Inhaltsvalidität gelegt. Diese beschreibt, ob und in welchem Maß die Checklistenitems den zu messenden Merkmalsbereich ausreichend genau repräsentieren. Dies wurde durch die Erstellung der Checklistenitems basierend auf den aktuellen „guidelines“, die Erstellung im Rahmen eines Expertenworkshops und die Anwendung im Rahmen des Reviewprozesses sichergestellt. Die so erstellte Checkliste wurde an insgesamt 74 Videos zum Thema Reanimation, die basierend auf den oben beschriebenen Ein- und Ausschlusskriterien identifiziert werden konnten, angewendet. Hierbei wurde jedes Video von insgesamt 2 NotärztInnen bewertet. Als ReviewerInnen wurden gezielt NotärztInnen aus verschiedenen deutschen Städten und sowohl universitär arbeitende als auch nichtuniversitär arbeitende ÄrztInnen rekrutiert. Die Teilnahme erfolgte freiwillig nach mündlicher und schriftlicher Aufklärung. Datenauswertung: Die Datenerfassung sowie Auswertung der Mittelwerte, Standardabweichung, einzelnen Items beider Checklisten und der Vergleichbarkeit der beiden ReviewerInnen erfolgte in Microsoft Excel (Microsoft Corporation, Redmond, USA). Ergebnisse: Die resultierende Checkliste umfasst 25 Items in vier Kategorien. Sieben Items entfallen auf die Kategorie ‚initiale Maßnahmen‘, acht auf ‚Thoraxkompression‘, sechs auf ‚AED-Nutzung‘ und vier auf ‚Atmung‘. Die Bewertung der Items erfolgt auf einer 3‑stufigen Likert-Skala (0 = nicht erwähnt; 1 = falsch oder unvollständig durchgeführt und 2 = richtig durchgeführt). Während des Reviewverfahrens zeigte sich, dass nicht immer alle Items auf alle Videos zutreffend sind. Daher wurde die Option ergänzt, Items auszuschließen, falls das Item im Kontext des Videos nicht zutrifft oder bereits erfolgt war. Die Items der ‚AED-Nutzung‘ und ‚Atmung‘ sind optional, d. h., falls die Nutzung des AED bzw. die Atmung nicht im Video behandelt wird, besteht die Möglichkeit, die Auswahl „nicht vorhanden“ bzw. „nicht zutreffend“ für die gesamte Untergruppe zu wählen. Grund hierfür ist, dass die Beatmung durch Laien ohne Training nicht mehr empfohlen wird. Zusätzlich fällt diese Untergruppe bei erfolgter Intubation weg. In diesem Fall werden die Items dieser Untergruppen aus der Gesamtwertung des Videos ausgeschlossen. Insgesamt ergibt sich so eine erreichbare Gesamtpunktzahl von mindestens 22 bis zu 50 maximalen Punkten. Während des Reviewprozesses zeigte sich, dass zur eindeutigen Beantwortung der Checkliste eine kurze Anleitung nötig ist, die den Umgang mit der Option „nicht zutreffend/bereits erfolgt“ erklärt und klarstellt, dass Maßnahmen nur dann als richtig bewertet werden dürfen, wenn sie sowohl richtig durchgeführt als auch angesagt wurden. Hiervon ausgenommen sind nur die Items „Kompressor nach 2 min wechseln“ und „Zyklen wiederholen, bis Hilfe eintrifft“, bei denen das Erläutern der Maßnahmen ausreichend ist. Wird eine andere Maßnahme nur benannt, aber nicht gezeigt, ist die Bewertung „unvollständig/falsch durchgeführt“ zu wählen. Die erstellte Checkliste zur inhaltlichen Bewertung von Lehrvideos zur Reanimation ist diesem Artikel als Supplement beigefügt. Übereinstimmung der beiden ReviewerInnen: ReviewerInnen Tab. 1 zeigt die Verteilung der NotärztInnen nach Geschlecht, Fachrichtung und Anzahl der bewerteten Videos. Die ReviewerInnen bewerteten im Durchschnitt 9,25 Videos ± 5,69.ReviewerFachrichtungGeschlecht1UnfallchirurgieM2InnereM3AnästhesieM4Mund‑, Kiefer‑, GesichtschirurgieM5UnfallchirurgieW6UnfallchirurgieW7UnfallchirurgieW8AnästhesieW9AnästhesieW10PädiatrieM11AnästhesieM12UnfallchirurgieM13UnfallchirurgieM14UnfallchirurgieW15UnfallchirurgieM16UnfallchirurgieM Insgesamt stimmten die ReviewerInnen in 65,06 ± 12,56 % der Fälle überein. Die höchsten Übereinstimmungen erzielten die ReviewerInnen im Unterthema AED, wobei das Item „Beim Schock Patienten nicht berühren“ mit 85,14 % die höchste Übereinstimmung aufwies. Die Items der Kategorie Thoraxkompression wurden am häufigsten unterschiedlich bewertet. Dabei liegt die Übereinstimmung für das Item „Unterbrechung < 10 Sek“ bei 47,29 %, die Items „Kompressionstiefe 5 cm“ und „Entlastung“ werden jeweils in 48,64 % der Fälle gleich bewertet. Tab. 2 zeigt die Übereinstimmung der ReviewerInnen für die jeweiligen Items der Checkliste.ItemÜbereinstimmung [%]Initiale MaßnahmenAnsprechen64,86Schmerzreiz67,56Atemwege52,70Atmung prüfen63,51Notruf68,91Entkleiden48,64Hinlegen56,75ThoraxkompressionHarte Unterlage54,05100–120/Min66,22Korrekter Druckpunkt58,11Kompressionstiefe 5 cm48,65Entlastung48,65Kompressor tauschen62,16Zyklen wiederholen52,70Unterbrechung < 10 Sek47,29AEDNicht vorhanden → Unterpunkte fallen weg91,892. Priorität67,57Elektroden aufkleben75,68Rhythmusanalyse83,78Beim Schock Pat nicht berühren85,14Sofort nach Schock Thoraxkompression83,78Erneute Rhythmuskontrolle nach 2 Min81,08AtmungNicht zutreffend, da Laien-Reanimation → Unterpunkte fallen weg77,0330 zu 266,22Kopf überstrecken62,16Nase zuhalten über den Mund beatmen/Maske mit C‑Griff58,11Auf Thoraxhebung als Feedback63,51 Tab. 1 zeigt die Verteilung der NotärztInnen nach Geschlecht, Fachrichtung und Anzahl der bewerteten Videos. Die ReviewerInnen bewerteten im Durchschnitt 9,25 Videos ± 5,69.ReviewerFachrichtungGeschlecht1UnfallchirurgieM2InnereM3AnästhesieM4Mund‑, Kiefer‑, GesichtschirurgieM5UnfallchirurgieW6UnfallchirurgieW7UnfallchirurgieW8AnästhesieW9AnästhesieW10PädiatrieM11AnästhesieM12UnfallchirurgieM13UnfallchirurgieM14UnfallchirurgieW15UnfallchirurgieM16UnfallchirurgieM Insgesamt stimmten die ReviewerInnen in 65,06 ± 12,56 % der Fälle überein. Die höchsten Übereinstimmungen erzielten die ReviewerInnen im Unterthema AED, wobei das Item „Beim Schock Patienten nicht berühren“ mit 85,14 % die höchste Übereinstimmung aufwies. Die Items der Kategorie Thoraxkompression wurden am häufigsten unterschiedlich bewertet. Dabei liegt die Übereinstimmung für das Item „Unterbrechung < 10 Sek“ bei 47,29 %, die Items „Kompressionstiefe 5 cm“ und „Entlastung“ werden jeweils in 48,64 % der Fälle gleich bewertet. Tab. 2 zeigt die Übereinstimmung der ReviewerInnen für die jeweiligen Items der Checkliste.ItemÜbereinstimmung [%]Initiale MaßnahmenAnsprechen64,86Schmerzreiz67,56Atemwege52,70Atmung prüfen63,51Notruf68,91Entkleiden48,64Hinlegen56,75ThoraxkompressionHarte Unterlage54,05100–120/Min66,22Korrekter Druckpunkt58,11Kompressionstiefe 5 cm48,65Entlastung48,65Kompressor tauschen62,16Zyklen wiederholen52,70Unterbrechung < 10 Sek47,29AEDNicht vorhanden → Unterpunkte fallen weg91,892. Priorität67,57Elektroden aufkleben75,68Rhythmusanalyse83,78Beim Schock Pat nicht berühren85,14Sofort nach Schock Thoraxkompression83,78Erneute Rhythmuskontrolle nach 2 Min81,08AtmungNicht zutreffend, da Laien-Reanimation → Unterpunkte fallen weg77,0330 zu 266,22Kopf überstrecken62,16Nase zuhalten über den Mund beatmen/Maske mit C‑Griff58,11Auf Thoraxhebung als Feedback63,51 ReviewerInnen: Tab. 1 zeigt die Verteilung der NotärztInnen nach Geschlecht, Fachrichtung und Anzahl der bewerteten Videos. Die ReviewerInnen bewerteten im Durchschnitt 9,25 Videos ± 5,69.ReviewerFachrichtungGeschlecht1UnfallchirurgieM2InnereM3AnästhesieM4Mund‑, Kiefer‑, GesichtschirurgieM5UnfallchirurgieW6UnfallchirurgieW7UnfallchirurgieW8AnästhesieW9AnästhesieW10PädiatrieM11AnästhesieM12UnfallchirurgieM13UnfallchirurgieM14UnfallchirurgieW15UnfallchirurgieM16UnfallchirurgieM Insgesamt stimmten die ReviewerInnen in 65,06 ± 12,56 % der Fälle überein. Die höchsten Übereinstimmungen erzielten die ReviewerInnen im Unterthema AED, wobei das Item „Beim Schock Patienten nicht berühren“ mit 85,14 % die höchste Übereinstimmung aufwies. Die Items der Kategorie Thoraxkompression wurden am häufigsten unterschiedlich bewertet. Dabei liegt die Übereinstimmung für das Item „Unterbrechung < 10 Sek“ bei 47,29 %, die Items „Kompressionstiefe 5 cm“ und „Entlastung“ werden jeweils in 48,64 % der Fälle gleich bewertet. Tab. 2 zeigt die Übereinstimmung der ReviewerInnen für die jeweiligen Items der Checkliste.ItemÜbereinstimmung [%]Initiale MaßnahmenAnsprechen64,86Schmerzreiz67,56Atemwege52,70Atmung prüfen63,51Notruf68,91Entkleiden48,64Hinlegen56,75ThoraxkompressionHarte Unterlage54,05100–120/Min66,22Korrekter Druckpunkt58,11Kompressionstiefe 5 cm48,65Entlastung48,65Kompressor tauschen62,16Zyklen wiederholen52,70Unterbrechung < 10 Sek47,29AEDNicht vorhanden → Unterpunkte fallen weg91,892. Priorität67,57Elektroden aufkleben75,68Rhythmusanalyse83,78Beim Schock Pat nicht berühren85,14Sofort nach Schock Thoraxkompression83,78Erneute Rhythmuskontrolle nach 2 Min81,08AtmungNicht zutreffend, da Laien-Reanimation → Unterpunkte fallen weg77,0330 zu 266,22Kopf überstrecken62,16Nase zuhalten über den Mund beatmen/Maske mit C‑Griff58,11Auf Thoraxhebung als Feedback63,51 Diskussion: In der vorliegenden Arbeit wurde erstmals eine auf den aktuellen „guidelines“ [1] basierende Checkliste für die Qualität von Lehrvideos zum Thema Reanimation erstellt und validiert. Diese Checkliste bewertet die Videos anhand von 25 Items in vier Kategorien. Obwohl die entwickelte Checkliste im Rahmen eines ausführlichen, mehrstufigen Reviewverfahrens mehrfach angepasst und validiert wurde, ist die Übereinstimmung zwischen den ReviewerInnen im Rahmen der Anwendung an insgesamt 74 Videos mit 65,06 ± 12,56 % moderat. Hierbei zeigt sich eine große Spanne von einer Übereinstimmung von 85,14 % für das Item „Beim Schock Patienten nicht berühren“ bis zu 47,29 % für das Item „Unterbrechung < 10 Sek“. Diese Diskrepanz zeigt, wie schwer es selbst für erfahrene NotärztInnen ist, die Qualität der durchgeführten Maßnahmen einzuschätzen, insbesondere wenn es sich um Kriterien handelt, die nicht mit dem bloßen Auge abzuschätzen sind (z. B. exakte Drucktiefe, konkrete Zeitspannen). Dies entspricht auch den bisher publizierten Analysen von Lehrvideos zur Behandlung von medizinischen Notfällen: Viele Arbeiten, die Videos anhand von Checklisten bewerteten, geben Übereinstimmung zwischen den ReviewerInnen nicht an [7, 12, 18]. So bewerten beispielsweise in den Arbeiten von Elicabuk et al. und Katipoğlu et al. zwei ReviewerInnen Lehrvideos zur Reanimation. Wichen die Bewertungen dieser beiden ReviewerInnen in einem Item voneinander ab, bewertete ein dritter Reviewer das Video und diejenige Bewertung wurde für das Gesamtergebnis berücksichtig, die die Mehrheit der ReviewerInnen ausgewählt hatte [7, 12]. Die Ergebnisse der vorliegenden Arbeit konnten zeigen, dass die Bewertung der korrekten Durchführung der Reanimation in einem Lehrvideo auch für erfahrene NotärztInnen schwierig ist, für Novizen oder gar medizinische Laien kann sie daher kaum möglich sein. Dies ist umso gravierender, da eine präklinische Reanimation vor Eintreffen des Rettungsdiensts in den allermeisten Fällen durch medizinische Laien erfolgt [22]. Gerade für diese Zielgruppe erscheinen somit klar definierte Gütekriterien zur Einordnung der Qualität eines Lehrvideos zur Reanimation notwendig. Studien haben allerdings gezeigt, dass die bisher auf den Plattformen verwendeten Kriterien wie Aufrufe oder Bewertungen durch User nur bedingt als Gütekriterium geeignet sind. So bewerteten beispielsweise Şaşmaz et al. 67 YouTube-Videos zum Erlernen von Traumamanagement anhand von zehn Items, die basierend auf den „ATLS guidelines“ erstellt wurden. Dabei zeigte sich keine Korrelation der Bewertung anhand der Checkliste mit der Anzahl der Aufrufe oder Bewertung auf der Website [18]. Vor diesem Hintergrund ist es wünschenswert, auf Basis einer validierten, auf aktuellen „guidelines“ basierenden Checkliste wie der in der vorliegenden Arbeit erstellten die auf öffentlich zugänglichen Plattformen vorhandenen Videos zu bewerten und diese Bewertung in Form eines Katalogs der empfehlenswerten Videos zu publizieren. Neben der Bewertung bereits vorhandener Videos kann diese Checkliste aber auch zur Erstellung eigener Videos als Schablone herangezogen werden. Somit wird die korrekte Darstellung der notwendigen Maßnahmen bereits bei der Erstellung des Videos sichergestellt. Die so erstellten Lehrvideos können dann von Studierenden sowohl zur Vorbereitung als auch während einer Lehrveranstaltung genutzt werden. Verschiedene Studien zeigen, dass durch die Nutzung von Lehrvideos das Erlernen praktischer Fertigkeiten verbessert werden kann [9, 11, 13]. Darüber hinaus kann eine Verknüpfung von Gesehenem mit Erlebtem anhand der Videos wiederholt werden [8, 19]. Dies ist besonders für die Reanimation wichtig, da diese in der Realität häufig nicht in einer Situation passiert, die für Studierende adäquat vor- oder nachbereitet werden kann. Somit erscheint in diesem Bereich eine Analyse der Qualität der vorhandenen Videos auf Grundlage einer validierten Checkliste von immenser Bedeutung. Mit der in der vorliegenden Arbeit entwickelten Checkliste wurde erstmals ein Bewertungsinstrument für eine solche Analyse entwickelt. Schlussfolgerung: In der vorliegenden Studie konnte erstmalig für den deutschsprachigen Raum eine Checkliste zur Bewertung von Lehrvideos zur Reanimation erstellt und validiert werden. Sie kann nicht nur zur nachträglichen Bewertung bereits vorhandener Videos genutzt werden, sondern gleichzeitig auch bei der Erstellung neuer Videos hilfreich sein. Fazit für die Praxis: Durch die vorliegende Studie existiert nun eine validierte, auf den aktuellen „guidelines“ basierende Checkliste zur Bewertung von Lehrvideos zur Reanimation.Die Checkliste kann nicht nur zur nachträglichen Bewertung der Videos dienen, sondern auch bei der Erstellung neuer Videos.Die Bewertung der korrekten Durchführung der Maßnahmen der kardiopulmonalen Reanimation in einem Lehrvideo erscheint schon für erfahrene NotärztInnen schwierig. Gerade für diese erscheinen somit klar definierte Gütekriterien zur Einordnung der Qualität eines Lehrvideos zur Reanimation notwendig. Durch die vorliegende Studie existiert nun eine validierte, auf den aktuellen „guidelines“ basierende Checkliste zur Bewertung von Lehrvideos zur Reanimation. Die Checkliste kann nicht nur zur nachträglichen Bewertung der Videos dienen, sondern auch bei der Erstellung neuer Videos. Die Bewertung der korrekten Durchführung der Maßnahmen der kardiopulmonalen Reanimation in einem Lehrvideo erscheint schon für erfahrene NotärztInnen schwierig. Gerade für diese erscheinen somit klar definierte Gütekriterien zur Einordnung der Qualität eines Lehrvideos zur Reanimation notwendig.
Background: Well-performed resuscitation measures can improve the outcome in the event of cardiovascular arrest. Medical students often use teaching videos to learn practical skills. Studies confirmed the often inadequate quality of the videos on resuscitation available on the Internet. An evaluation using a validated checklist based on the current guidelines has so far been lacking. Methods: In an expert workshop, checklist items were formulated based on the current guidelines. The checklist was tested by emergency physicians in a 4-step review process. The evaluations were analyzed and the items adjusted and specified if necessary. After the review process was completed, the checklist was applied to 74 videos on the topic of resuscitation. Results: The checklist consists of 25 items in 4 categories (initial measures, chest compression, AED use, breathing), which are rated on a 3-level Likert scale. A total of 16 emergency doctors participated in the study and rated an average of 9.3 ± 5.7 videos each. The reviewers agreed in 65.1 ± 12.6% of the cases. The highest agreement was achieved in the subtopic AED, with the item "do not touch patients in shock" having the highest agreement. The items in the thoracic compression category were most often rated differently. Conclusions: For the first time, a checklist for evaluating instructional videos for resuscitation was created and validated for German-speaking countries.
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[ 474, 1457, 693, 32, 366, 452, 225, 667, 47 ]
10
[ "die", "der", "und", "den", "videos", "von", "nicht", "auf", "items", "checkliste" ]
[ "reanimationen liegt", "präklinischen reanimation durchzuführenden", "bereits bei medizinstudierenden", "medizinischen laien", "bei medizinischen laien" ]
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[CONTENT] Lehrvideos | Qualitätssicherung | Reanimation | Checkliste | Lehrforschung | Instructional videos | Quality assurance | Resuscitation | Checklist | Educational research [SUMMARY]
[CONTENT] Lehrvideos | Qualitätssicherung | Reanimation | Checkliste | Lehrforschung | Instructional videos | Quality assurance | Resuscitation | Checklist | Educational research [SUMMARY]
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[CONTENT] Checklist | Clinical Competence | Humans | Resuscitation | Students, Medical [SUMMARY]
[CONTENT] Checklist | Clinical Competence | Humans | Resuscitation | Students, Medical [SUMMARY]
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[CONTENT] reanimationen liegt | präklinischen reanimation durchzuführenden | bereits bei medizinstudierenden | medizinischen laien | bei medizinischen laien [SUMMARY]
[CONTENT] reanimationen liegt | präklinischen reanimation durchzuführenden | bereits bei medizinstudierenden | medizinischen laien | bei medizinischen laien [SUMMARY]
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[CONTENT] die | der | und | den | videos | von | nicht | auf | items | checkliste [SUMMARY]
[CONTENT] die | der | und | den | videos | von | nicht | auf | items | checkliste [SUMMARY]
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[CONTENT] zur | der | bewertung der | bewertung | die | reanimation | lehrvideos zur reanimation | lehrvideos zur | erfahrene notärztinnen schwierig gerade | maßnahmen der kardiopulmonalen reanimation [SUMMARY]
[CONTENT] die | der | und | videos | zur | den | items | auf | von | bewertung [SUMMARY]
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[CONTENT] first | German [SUMMARY]
[CONTENT] ||| ||| ||| ||| ||| 4 ||| ||| 74 ||| ||| 25 | 4 | AED | 3 | Likert ||| 16 | 9.3 ± | 5.7 ||| 65.1 | 12.6% ||| AED ||| ||| first | German [SUMMARY]
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Schirmer tear test and strip meniscometry in healthy cats.
35070866
The surface of the eye is covered by the preocular tear film, which is critical for maintaining a normal, healthy, visual, and comfortable vision. The Schirmer tear test (STT) and, more recently, strip meniscometry (SM) are used to evaluate tear production.
BACKGROUND
A total of 25 mixed breed cats, aging from 8 months to 13 years of both genders (10 females and 15 males) were included in the study. All the cats were assigned to the study as being both clinically and ophthalmologically healthy. For the SM test, the tip of the strip was used to evaluate the meniscus without touching the eyelid or the cornea for 5 seconds. After a full tear washout period of 10 minutes, the STT was performed using a standard STT strip.
METHODS
In the right eyes, the mean ± standard deviation (SD) of SM was 4.32 ± 2.27 mm/5 seconds, and in the left eyes it was 5.04 ± 2.24 mm/5 seconds (for both eyes combined: 4.68 ± 2.26 mm/5 seconds), with a median of 4 in both eyes; the reference values ranged from 4.04 to 5.32 mm/5 seconds. No significant differences were recorded in the SM between the right and left eyes of the cats when using the SM (p > 0.05). When the STT was used, the mean ± SD for the cats' right eyes was 12.16 ± 4.04 mm/minute, and for the left eyes, it was 12.76 ± 4.1 mm/minute (for both eyes combined: 12.46 ± 4.20 mm/minute), with a median of 13.50 for both eyes. Reference values were calculated and ranged from 11.27 to 13.65 mm/minute. No significant differences were recorded between the STT for the right and left eyes (p > 0.05).
RESULTS
Both tests can, therefore, be used to assess tear production in cats. For more precise results, SM should be evaluated according to the cat's eye position-whether it is a brachiocephalic cat or a normaloid cat-and according to the age. In all cases, STT and SM should be evaluated according to the animal's clinical status and the results of other diagnostic tools.
CONCLUSION
[ "Animals", "Cat Diseases", "Cats", "Diagnostic Techniques, Ophthalmological", "Female", "Lacrimal Apparatus Diseases", "Male", "Reference Values", "Tears" ]
8770198
Introduction
The eye’s surface is covered by the precorneal tear film, which is critical for maintaining a normal, healthy, visual, and comfortable eye (Dilly, 1994; Ohashi et al., 2006). The aqueous portion, the middle layer of the tear film, plays an essential role in providing the necessary ocular surface moisture, a normal nutrient supply, and the oxygenation needed to maintain a smooth and transparent cornea (Grahn and Storey, 2004). If the tear film is lost, the eye loses its protective ability, which may lead to ocular infection, corneal abrasion, and erosion, or even a corneal ulcer and keratitis, which can lead to keratoconjunctivitis sicca. The Schirmer tear test (STT) provides a vital measurement in all animals as part of an initial ophthalmic examination. For years, the use of the STT with cats was controversial, with low STT values being interpreted as indicative of cat stress (Lim et al., 2009). In a clinical setting, the STT is the primary quantitative tear test. More recently, the strip meniscometry (SM) test, which was initially used in human medicine, has also been used in animals (Dogru et al., 2006; Miyasaka et al., 2019). However, limited data are available on the normal values for SM and the correlation between STT and SM although some positive correlations have been found in both humans and dogs (Dogru et al., 2006; Kazama et al., 2014; Miyasaka et al., 2019). The STT is the conventional test, and it requires the placement of a paper strip in the ventral conjunctival fornix for one minute. In contrast, SM is performed by placing the tip of a strip in the meniscus for just 5 seconds. This study aimed to establish the normal values for STT and SM in healthy cats and to discover the correlation between the results of these tests.
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[ "Statistical analysis", "Ethical approval" ]
[ "Statistical analysis of the data was performed using the statistical software programs Statistical Package for the Social Sciences and Microsoft Excel. The arithmetic mean values (X) as mean ± standard deviation (SD) and the reference values for STT and SM were calculated for each eye separately and for both eyes combined. Normality was tested using the Shapiro–Wilk test. The Mann-Whitney U test compared the STT and SM mean values obtained from the right and left eyes. The Pearson Correlation was used to determine the correlation between STT and SM. p values of less than 0.05 were considered to be statistically significant.", "The present study did not require specific ethical approval, and all examinations were performed during the routine clinical examination before the cats were neutered or spayed. In all cases, informed consent was obtained from the pet owners for the study." ]
[ null, null ]
[ "Introduction", "Materials and Methods", "Statistical analysis", "Ethical approval", "Results and Discussion" ]
[ "The eye’s surface is covered by the precorneal tear film, which is critical for maintaining a normal, healthy, visual, and comfortable eye (Dilly, 1994; Ohashi et al., 2006). The aqueous portion, the middle layer of the tear film, plays an essential role in providing the necessary ocular surface moisture, a normal nutrient supply, and the oxygenation needed to maintain a smooth and transparent cornea (Grahn and Storey, 2004). If the tear film is lost, the eye loses its protective ability, which may lead to ocular infection, corneal abrasion, and erosion, or even a corneal ulcer and keratitis, which can lead to keratoconjunctivitis sicca. The Schirmer tear test (STT) provides a vital measurement in all animals as part of an initial ophthalmic examination. For years, the use of the STT with cats was controversial, with low STT values being interpreted as indicative of cat stress (Lim et al., 2009). In a clinical setting, the STT is the primary quantitative tear test. More recently, the strip meniscometry (SM) test, which was initially used in human medicine, has also been used in animals (Dogru et al., 2006; Miyasaka et al., 2019). However, limited data are available on the normal values for SM and the correlation between STT and SM although some positive correlations have been found in both humans and dogs (Dogru et al., 2006; Kazama et al., 2014; Miyasaka et al., 2019). \nThe STT is the conventional test, and it requires the placement of a paper strip in the ventral conjunctival fornix for one minute. In contrast, SM is performed by placing the tip of a strip in the meniscus for just 5 seconds.\nThis study aimed to establish the normal values for STT and SM in healthy cats and to discover the correlation between the results of these tests.", "The study was performed with full respect for ethical criteria and the welfare of the cats involved. All the animals examined were privately owned and were outpatients at the Latvia University of Life Sciences and Technologies (LLU) veterinary clinic. \nTwenty five mixed breeds cats, aged from 8 months to 13 years of both genders (10 females and 15 males) were included. To ensure uniformity in the results, the ophthalmological examination of all animals was conducted by the same person, the veterinarian/ophthalmologist of the Clinical Institute of the Faculty of Veterinary Medicine at the LLU. The ophthalmic examination included direct ophthalmoscopy (Keeler Practitioner, Windsor, UK), monocular ophthalmoscopy with the PanOptic ophthalmoscope (Welch Alynn, Romford, UK), slit-lamp biomicroscopy (Kowa SL15, Nagoya, Aichi, Japan), and rebound tonometry (TonoVet®, Tiolat Ltd., Finland). All cats were assessed as being both clinically and ophthalmologically healthy. \nFor the SM (SMTube, Fukushima-ken, Japan), the tip of the measurement strip was placed precisely at the edge of the lower tear meniscus without touching the eyelid or the cornea (Fig. 1) for 5 seconds, and the result was immediately determined (Dogru et al., 2006).\nAfter 10 minutes of a complete tear washout period (Sebbag et al., 2019), STT was performed using standardized sterile strips (Eickemeyer, Tuttlingen, Germany). The strip tip was inserted over the lower lateral eyelid margin into the conjunctival fornix for 60 seconds. After removing the test strip, the length of the wet part of the strip was immediately measured in millimetres.\nStatistical analysis Statistical analysis of the data was performed using the statistical software programs Statistical Package for the Social Sciences and Microsoft Excel. The arithmetic mean values (X) as mean ± standard deviation (SD) and the reference values for STT and SM were calculated for each eye separately and for both eyes combined. Normality was tested using the Shapiro–Wilk test. The Mann-Whitney U test compared the STT and SM mean values obtained from the right and left eyes. The Pearson Correlation was used to determine the correlation between STT and SM. p values of less than 0.05 were considered to be statistically significant.\nStatistical analysis of the data was performed using the statistical software programs Statistical Package for the Social Sciences and Microsoft Excel. The arithmetic mean values (X) as mean ± standard deviation (SD) and the reference values for STT and SM were calculated for each eye separately and for both eyes combined. Normality was tested using the Shapiro–Wilk test. The Mann-Whitney U test compared the STT and SM mean values obtained from the right and left eyes. The Pearson Correlation was used to determine the correlation between STT and SM. p values of less than 0.05 were considered to be statistically significant.\nEthical approval The present study did not require specific ethical approval, and all examinations were performed during the routine clinical examination before the cats were neutered or spayed. In all cases, informed consent was obtained from the pet owners for the study.\nThe present study did not require specific ethical approval, and all examinations were performed during the routine clinical examination before the cats were neutered or spayed. In all cases, informed consent was obtained from the pet owners for the study.", "Statistical analysis of the data was performed using the statistical software programs Statistical Package for the Social Sciences and Microsoft Excel. The arithmetic mean values (X) as mean ± standard deviation (SD) and the reference values for STT and SM were calculated for each eye separately and for both eyes combined. Normality was tested using the Shapiro–Wilk test. The Mann-Whitney U test compared the STT and SM mean values obtained from the right and left eyes. The Pearson Correlation was used to determine the correlation between STT and SM. p values of less than 0.05 were considered to be statistically significant.", "The present study did not require specific ethical approval, and all examinations were performed during the routine clinical examination before the cats were neutered or spayed. In all cases, informed consent was obtained from the pet owners for the study.", "STT is a standard method commonly used during an ophthalmic examination. However, some difficulties may occur with animals showing aggression or being uncooperative. There also may be medical issues, such as eyelid trauma, deep corneal ulcers, or laceration, for which STT is not applicable. In these cases, other tear film assessment methods should be considered. \nSM was initially used in human ophthalmology and has only relatively recently been introduced into veterinary ophthalmology. Some data has been obtained from dogs and, recently, from cats and rabbits in veterinary studies. Similar to what Rajaei et al. (2018) describe in their study, we also observed that some cats showed fear-induced restlessness when the test was done, but this did not affect the SM results. \nIn our study, the SM average for the right eye was 4.32 ± 2.27 mm/5 seconds; in the left eye, it was 5.04 ± 2.24 mm/5 seconds (in both eyes combined: 4.68 ± 2.26 mm/5 seconds), with a median of 4 in both eyes. Reference values ranged from 4.04 to 5.32 mm/5 seconds (Table 1). These results were much lower than the 10.50 ± 0.7 mm/5 seconds reported previously by Rajaei et al. (2018). The difference between our and Rajaei results can be more likely due to the human factor or different cat breed and age. When the SM test was applied, no significant differences were recorded between the right and left eyes (p > 0.05).\nDuring the meniscometry, the cats generally did not show any pronounced discomfort or awareness of the test being applied, as confirmed by other studies (Ibrahim et al., 2011). However, in some cases, this test was more difficult for the researcher to administer than the STT due to the precise application of the strip to the meniscus of the eye and, as mentioned, the slight fear-induced restlessness shown by some cats. Therefore, the cooperation of the cat and, moreover, human factors can influence these results. To analyse the correlation between SM and STT, the classical tear test was also performed. The average STT for the right eyes was 12.16 ± 4.04 mm/minute, and for the left eyes, it was 12.76 ± 4.41 mm/minute (for both eyes: 12.46 ± 4.20 mm/minute), with a median of 13.50 for both eyes (Table 1). Reference values were calculated, and they ranged from 11.27 to 13.65 mm/minute. No significant differences were recorded in the STT for the right and left eyes of the cats (p > 0.05). Our results were slightly lower than in our previous observations (15.8 ± 6.1 mm/minute in the right eye and 17.3 ± 5.6 mm/minute in the left eye) (Kovalcuka and Nikolajenko, 2020). In other studies, STT-1 has ranged between 11.00 ± 1.41 and 20.80 ± 2.25 mm/minute (Aftab et al., 2018; Rajaei et al., 2018; Sebbag et al., 2020). This variability is high, but none of the researchers have shown less than 10 mm/minute. In the course of our study, no significant signs of ocular pain were detected in any of the animals examined at any time. Still, some of the cats showed mild discomfort and impatience, which clinically could cause reflex tearing both during and after the examination. \nOn average, STT is higher in dogs, ranging from 20.4 ± 2.89 to 23.56 ± 3.98 mm/minute (Hartly et al., 2006; Visser et al., 2017), than in cats, where it ranges from 13.7 ± 4.6 to 15.7 ± 3.7 mm/minute (Sebbag et al., 2020). This difference possibly correlates with SM results. Rajaei et al. (2018) reported results for dogs where STT averaged 15.10 mm/minute and SM averaged 9.66 mm/5 seconds. However, in cats they reported STT as 11 mm/minute and SM as 10.5 mm/5 seconds. These results for cats do not correlate with those obtained for dogs. As for the cats, the results from STT and SM were similar. In our research, we found a significant medium positive correlation between the STT and SM results for cats (r = 0.411; p = 0.003) (Fig. 2). The STT and SM results for the individual cats are shown in Figure 3.\nThe SM should be evaluated according to the cat’s eye position—brachiocephalic cats or normaloid cats—and age for more precise results. However, the authors of this study advise clinicians to perform the STT-1 as part of their ophthalmic examination in cats, particularly in cats with an ocular surface disease. More data is needed to assess the values for SM at different stages of keratoconjunctivitis and understand at what level SM values increase during painful conditions. In every case, both the STT and SM should be evaluated according to the animal’s clinical status and the results of other diagnostic tests. " ]
[ "intro", "materialsandmethods", null, null, "resultsanddiscussion" ]
[ "Cat", "STT-1", "Meniscometry", "Tears" ]
Introduction: The eye’s surface is covered by the precorneal tear film, which is critical for maintaining a normal, healthy, visual, and comfortable eye (Dilly, 1994; Ohashi et al., 2006). The aqueous portion, the middle layer of the tear film, plays an essential role in providing the necessary ocular surface moisture, a normal nutrient supply, and the oxygenation needed to maintain a smooth and transparent cornea (Grahn and Storey, 2004). If the tear film is lost, the eye loses its protective ability, which may lead to ocular infection, corneal abrasion, and erosion, or even a corneal ulcer and keratitis, which can lead to keratoconjunctivitis sicca. The Schirmer tear test (STT) provides a vital measurement in all animals as part of an initial ophthalmic examination. For years, the use of the STT with cats was controversial, with low STT values being interpreted as indicative of cat stress (Lim et al., 2009). In a clinical setting, the STT is the primary quantitative tear test. More recently, the strip meniscometry (SM) test, which was initially used in human medicine, has also been used in animals (Dogru et al., 2006; Miyasaka et al., 2019). However, limited data are available on the normal values for SM and the correlation between STT and SM although some positive correlations have been found in both humans and dogs (Dogru et al., 2006; Kazama et al., 2014; Miyasaka et al., 2019). The STT is the conventional test, and it requires the placement of a paper strip in the ventral conjunctival fornix for one minute. In contrast, SM is performed by placing the tip of a strip in the meniscus for just 5 seconds. This study aimed to establish the normal values for STT and SM in healthy cats and to discover the correlation between the results of these tests. Materials and Methods: The study was performed with full respect for ethical criteria and the welfare of the cats involved. All the animals examined were privately owned and were outpatients at the Latvia University of Life Sciences and Technologies (LLU) veterinary clinic. Twenty five mixed breeds cats, aged from 8 months to 13 years of both genders (10 females and 15 males) were included. To ensure uniformity in the results, the ophthalmological examination of all animals was conducted by the same person, the veterinarian/ophthalmologist of the Clinical Institute of the Faculty of Veterinary Medicine at the LLU. The ophthalmic examination included direct ophthalmoscopy (Keeler Practitioner, Windsor, UK), monocular ophthalmoscopy with the PanOptic ophthalmoscope (Welch Alynn, Romford, UK), slit-lamp biomicroscopy (Kowa SL15, Nagoya, Aichi, Japan), and rebound tonometry (TonoVet®, Tiolat Ltd., Finland). All cats were assessed as being both clinically and ophthalmologically healthy. For the SM (SMTube, Fukushima-ken, Japan), the tip of the measurement strip was placed precisely at the edge of the lower tear meniscus without touching the eyelid or the cornea (Fig. 1) for 5 seconds, and the result was immediately determined (Dogru et al., 2006). After 10 minutes of a complete tear washout period (Sebbag et al., 2019), STT was performed using standardized sterile strips (Eickemeyer, Tuttlingen, Germany). The strip tip was inserted over the lower lateral eyelid margin into the conjunctival fornix for 60 seconds. After removing the test strip, the length of the wet part of the strip was immediately measured in millimetres. Statistical analysis Statistical analysis of the data was performed using the statistical software programs Statistical Package for the Social Sciences and Microsoft Excel. The arithmetic mean values (X) as mean ± standard deviation (SD) and the reference values for STT and SM were calculated for each eye separately and for both eyes combined. Normality was tested using the Shapiro–Wilk test. The Mann-Whitney U test compared the STT and SM mean values obtained from the right and left eyes. The Pearson Correlation was used to determine the correlation between STT and SM. p values of less than 0.05 were considered to be statistically significant. Statistical analysis of the data was performed using the statistical software programs Statistical Package for the Social Sciences and Microsoft Excel. The arithmetic mean values (X) as mean ± standard deviation (SD) and the reference values for STT and SM were calculated for each eye separately and for both eyes combined. Normality was tested using the Shapiro–Wilk test. The Mann-Whitney U test compared the STT and SM mean values obtained from the right and left eyes. The Pearson Correlation was used to determine the correlation between STT and SM. p values of less than 0.05 were considered to be statistically significant. Ethical approval The present study did not require specific ethical approval, and all examinations were performed during the routine clinical examination before the cats were neutered or spayed. In all cases, informed consent was obtained from the pet owners for the study. The present study did not require specific ethical approval, and all examinations were performed during the routine clinical examination before the cats were neutered or spayed. In all cases, informed consent was obtained from the pet owners for the study. Statistical analysis: Statistical analysis of the data was performed using the statistical software programs Statistical Package for the Social Sciences and Microsoft Excel. The arithmetic mean values (X) as mean ± standard deviation (SD) and the reference values for STT and SM were calculated for each eye separately and for both eyes combined. Normality was tested using the Shapiro–Wilk test. The Mann-Whitney U test compared the STT and SM mean values obtained from the right and left eyes. The Pearson Correlation was used to determine the correlation between STT and SM. p values of less than 0.05 were considered to be statistically significant. Ethical approval: The present study did not require specific ethical approval, and all examinations were performed during the routine clinical examination before the cats were neutered or spayed. In all cases, informed consent was obtained from the pet owners for the study. Results and Discussion: STT is a standard method commonly used during an ophthalmic examination. However, some difficulties may occur with animals showing aggression or being uncooperative. There also may be medical issues, such as eyelid trauma, deep corneal ulcers, or laceration, for which STT is not applicable. In these cases, other tear film assessment methods should be considered. SM was initially used in human ophthalmology and has only relatively recently been introduced into veterinary ophthalmology. Some data has been obtained from dogs and, recently, from cats and rabbits in veterinary studies. Similar to what Rajaei et al. (2018) describe in their study, we also observed that some cats showed fear-induced restlessness when the test was done, but this did not affect the SM results. In our study, the SM average for the right eye was 4.32 ± 2.27 mm/5 seconds; in the left eye, it was 5.04 ± 2.24 mm/5 seconds (in both eyes combined: 4.68 ± 2.26 mm/5 seconds), with a median of 4 in both eyes. Reference values ranged from 4.04 to 5.32 mm/5 seconds (Table 1). These results were much lower than the 10.50 ± 0.7 mm/5 seconds reported previously by Rajaei et al. (2018). The difference between our and Rajaei results can be more likely due to the human factor or different cat breed and age. When the SM test was applied, no significant differences were recorded between the right and left eyes (p > 0.05). During the meniscometry, the cats generally did not show any pronounced discomfort or awareness of the test being applied, as confirmed by other studies (Ibrahim et al., 2011). However, in some cases, this test was more difficult for the researcher to administer than the STT due to the precise application of the strip to the meniscus of the eye and, as mentioned, the slight fear-induced restlessness shown by some cats. Therefore, the cooperation of the cat and, moreover, human factors can influence these results. To analyse the correlation between SM and STT, the classical tear test was also performed. The average STT for the right eyes was 12.16 ± 4.04 mm/minute, and for the left eyes, it was 12.76 ± 4.41 mm/minute (for both eyes: 12.46 ± 4.20 mm/minute), with a median of 13.50 for both eyes (Table 1). Reference values were calculated, and they ranged from 11.27 to 13.65 mm/minute. No significant differences were recorded in the STT for the right and left eyes of the cats (p > 0.05). Our results were slightly lower than in our previous observations (15.8 ± 6.1 mm/minute in the right eye and 17.3 ± 5.6 mm/minute in the left eye) (Kovalcuka and Nikolajenko, 2020). In other studies, STT-1 has ranged between 11.00 ± 1.41 and 20.80 ± 2.25 mm/minute (Aftab et al., 2018; Rajaei et al., 2018; Sebbag et al., 2020). This variability is high, but none of the researchers have shown less than 10 mm/minute. In the course of our study, no significant signs of ocular pain were detected in any of the animals examined at any time. Still, some of the cats showed mild discomfort and impatience, which clinically could cause reflex tearing both during and after the examination. On average, STT is higher in dogs, ranging from 20.4 ± 2.89 to 23.56 ± 3.98 mm/minute (Hartly et al., 2006; Visser et al., 2017), than in cats, where it ranges from 13.7 ± 4.6 to 15.7 ± 3.7 mm/minute (Sebbag et al., 2020). This difference possibly correlates with SM results. Rajaei et al. (2018) reported results for dogs where STT averaged 15.10 mm/minute and SM averaged 9.66 mm/5 seconds. However, in cats they reported STT as 11 mm/minute and SM as 10.5 mm/5 seconds. These results for cats do not correlate with those obtained for dogs. As for the cats, the results from STT and SM were similar. In our research, we found a significant medium positive correlation between the STT and SM results for cats (r = 0.411; p = 0.003) (Fig. 2). The STT and SM results for the individual cats are shown in Figure 3. The SM should be evaluated according to the cat’s eye position—brachiocephalic cats or normaloid cats—and age for more precise results. However, the authors of this study advise clinicians to perform the STT-1 as part of their ophthalmic examination in cats, particularly in cats with an ocular surface disease. More data is needed to assess the values for SM at different stages of keratoconjunctivitis and understand at what level SM values increase during painful conditions. In every case, both the STT and SM should be evaluated according to the animal’s clinical status and the results of other diagnostic tests.
Background: The surface of the eye is covered by the preocular tear film, which is critical for maintaining a normal, healthy, visual, and comfortable vision. The Schirmer tear test (STT) and, more recently, strip meniscometry (SM) are used to evaluate tear production. Methods: A total of 25 mixed breed cats, aging from 8 months to 13 years of both genders (10 females and 15 males) were included in the study. All the cats were assigned to the study as being both clinically and ophthalmologically healthy. For the SM test, the tip of the strip was used to evaluate the meniscus without touching the eyelid or the cornea for 5 seconds. After a full tear washout period of 10 minutes, the STT was performed using a standard STT strip. Results: In the right eyes, the mean ± standard deviation (SD) of SM was 4.32 ± 2.27 mm/5 seconds, and in the left eyes it was 5.04 ± 2.24 mm/5 seconds (for both eyes combined: 4.68 ± 2.26 mm/5 seconds), with a median of 4 in both eyes; the reference values ranged from 4.04 to 5.32 mm/5 seconds. No significant differences were recorded in the SM between the right and left eyes of the cats when using the SM (p > 0.05). When the STT was used, the mean ± SD for the cats' right eyes was 12.16 ± 4.04 mm/minute, and for the left eyes, it was 12.76 ± 4.1 mm/minute (for both eyes combined: 12.46 ± 4.20 mm/minute), with a median of 13.50 for both eyes. Reference values were calculated and ranged from 11.27 to 13.65 mm/minute. No significant differences were recorded between the STT for the right and left eyes (p > 0.05). Conclusions: Both tests can, therefore, be used to assess tear production in cats. For more precise results, SM should be evaluated according to the cat's eye position-whether it is a brachiocephalic cat or a normaloid cat-and according to the age. In all cases, STT and SM should be evaluated according to the animal's clinical status and the results of other diagnostic tools.
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425
[ 115, 44 ]
5
[ "stt", "sm", "cats", "mm", "values", "results", "test", "stt sm", "eyes", "minute" ]
[ "primary quantitative tear", "precorneal tear film", "schirmer tear test", "tear film assessment", "tear test stt" ]
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[CONTENT] Cat | STT-1 | Meniscometry | Tears [SUMMARY]
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[CONTENT] Cat | STT-1 | Meniscometry | Tears [SUMMARY]
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[CONTENT] Animals | Cat Diseases | Cats | Diagnostic Techniques, Ophthalmological | Female | Lacrimal Apparatus Diseases | Male | Reference Values | Tears [SUMMARY]
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[CONTENT] Animals | Cat Diseases | Cats | Diagnostic Techniques, Ophthalmological | Female | Lacrimal Apparatus Diseases | Male | Reference Values | Tears [SUMMARY]
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[CONTENT] primary quantitative tear | precorneal tear film | schirmer tear test | tear film assessment | tear test stt [SUMMARY]
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[CONTENT] primary quantitative tear | precorneal tear film | schirmer tear test | tear film assessment | tear test stt [SUMMARY]
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[CONTENT] stt | sm | cats | mm | values | results | test | stt sm | eyes | minute [SUMMARY]
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[CONTENT] stt | sm | cats | mm | values | results | test | stt sm | eyes | minute [SUMMARY]
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[CONTENT] normal | stt | tear | sm | film | tear film | test | strip | 2006 | normal values [SUMMARY]
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[CONTENT] stt | sm | values | cats | mm | statistical | mean | stt sm | test | study [SUMMARY]
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[CONTENT] ||| Schirmer [SUMMARY]
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[CONTENT] ||| Schirmer ||| 25 | 8 months to 13 years | 10 | 15 ||| ||| SM | 5 seconds ||| 10 minutes | STT ||| ||| SM | 4.32 | 2.27 mm/5 seconds | 5.04 | 2.24 mm/5 seconds | 4.68 | 2.26 mm/5 seconds | 4 | 4.04 | 5.32 mm/5 seconds ||| SM | SM | 0.05 ||| 12.16 | 4.04 mm/minute | 12.76 | 4.1 mm/minute | 12.46 ± | 4.20 mm/minute | 13.50 ||| 11.27 | 13.65 mm/minute ||| 0.05 ||| ||| SM ||| STT | SM [SUMMARY]
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Temporal variation in the prognosis and treatment of advanced heart failure - before and after 2000.
24759950
The treatment of heart failure has evolved in recent decades suggesting that survival is increasing.
BACKGROUND
We retrospectively compared the treatment and follow-up data from two cohorts of patients with systolic heart failure admitted for compensation up to 2000 (n = 353) and after 2000 (n = 279). We analyzed in-hospital death, re-hospitalization and death in 1 year of follow-up. We used Mann-Whitney U test and chi-square test for comparison between groups. The predictors of mortality were identified by regression analysis through Cox proportional hazards model and survival analysis by the Kaplan-Meier survival analysis.
METHODS
The patients admitted until 2000 were younger, had lower left ventricular impairment and received a lower proportion of beta-blockers at discharge. The survival of patients hospitalized before 2000 was lower than those hospitalized after 2000 (40.1% vs. 67.4%; p<0.001). The independent predictors of mortality in the regression analysis were: Chagas disease (hazard ratio: 1.9; 95% confidence interval: 1.3-3.0), angiotensin-converting-enzyme inhibitors (hazard ratio: 0.6; 95% confidence interval: 0.4-0.9), beta-blockers (hazard ratio: 0.3; 95% confidence interval: 0.2-0.5), creatinine ≥ 1.4 mg/dL (hazard ratio: 2.0; 95% confidence interval: 1.3-3.0), serum sodium ≤ 135 mEq/L (hazard ratio: 1.8; 95% confidence interval: 1.2-2.7).
RESULTS
Patients with advanced heart failure showed a significant improvement in survival and reduction in re-hospitalizations. The neurohormonal blockade, with angiotensin-converting-enzyme inhibitors and beta-blockers, had an important role in increasing survival of these patients with advanced heart failure.
CONCLUSIONS
[ "Adrenergic beta-Antagonists", "Adult", "Aged", "Angiotensin-Converting Enzyme Inhibitors", "Blood Pressure", "Brazil", "Epidemiologic Methods", "Female", "Heart Failure", "Hospital Mortality", "Hospitalization", "Humans", "Male", "Middle Aged", "Prognosis", "Retrospective Studies", "Survival Rate", "Time Factors" ]
4051453
Introduction
Heart failure (HF) is a clinical syndrome of which evolution is known to have high morbidity and mortality1,2. In epidemiological studies, HF patients showed a significant reduction in quality of life and a worse evolution than many types of cancer3. Treatment with neurohormonal blockers has modified this history, reducing the high mortality, the rate of re-hospitalizations and improving quality of life in patients with this syndrome4. This improvement has been demonstrated in clinical trials and controlled studies, but we do not know whether this improvement has also been observed in the real world, among patients in the institutions, clinics and offices, and particularly, we have no data on the Brazilian population4. Working in a tertiary hospital in São Paulo, we followed the evolution of HF patients in the last two decades and observed that the population we treated during these years has not changed substantially regarding characteristics, as the admission criteria have not changed. This fact allowed us to compares the outcome of patients, considering two periods: before and after the year 2000. This study sought to assess whether the outcomes of patients with HF changed when comparing the two periods and verify, among the studied variables, which were associated with prognosis of this syndrome.
Methods
A total of 632 hospitalized patients were prospectively studied in a tertiary hospital in São Paulo, all with advanced HF, systolic dysfunction with ejection fraction < 40%, in NYHA (New York Heart Association) III / IV. Patients in this hospital came from the emergency room and were transferred there when they did not compensate after the first measures or because they required inotropic support for compensation. These selection criteria for hospitalization led to the admission of more severe patients with severe clinical manifestation. All patients underwent clinical and laboratory assessment, including biochemical analysis, CBC, echocardiography and radiological examinations. Regarding the etiology of heart disease, patients were divided into three groups: those with chagasic etiology, those with ischemic etiology and those with nonischemic etiology. The diagnosis of Chagasic heart disease was established by the presence of positive serological reactions, and ischemic heart disease was confirmed by the presence of a history of heart attack, angina or confirmed by coronary angiography. In the absence of these characteristics, the patient was considered to have non-ischemic heart disease. These patients are part of a prospective study database of patients hospitalized in our service, due to advanced, decompensated HF and all met the same abovementioned inclusion criteria2,5-8. Patients were included in different years, which allowed us to perform a temporal analysis regarding the evolution of prognosis and treatment of this syndrome. For the purpose of this analysis, performed retrospectively, the patients were divided into two groups: those admitted until December 31, 2000 and those admitted after that date. Patients included in the study admitted before 2000 were part of prospective studies in the years 1992, 1994, 1996 and 19995-8. Patients enrolled after 2000 were studied in 2005 and 20062. We compared the characteristics of the two groups, considering clinical, laboratory, and evolution aspects. Patients were followed for 1 year, and the vital status of the patients, number of visits to the emergency room and need for rehospitalization were determined by telephone or by reviewing electronic medical records. The clinical outcome analyzed was mortality from all causes during the follow-up period. Among these patients, a subgroup had the treatment analyzed during and after discharge, and predictors of mortality were assessed in this subgroup, consisting of 333 patients (52.7% of total)2,8. This subgroup was selected based on the availability of data on drug therapy used during hospitalization and pre-hospital discharge. Continuous variables were shown as means ± standard deviation and categorical variables as frequencies and percentages. We compared the characteristics of patients regarding mortality at the end of follow-up. Continuous variables were analyzed by Mann-Whitney U test and categorical variables by the chi-square test or Fisher exact test. Predictors of mortality were determined by uni- and multivariate analysis, using the Cox proportional hazards method. A regression model was constructed for the primary endpoint, adjusted for clinical and laboratory characteristics as well as those of administered drugs. The criterion for model variable selection was a p value < 0.200 in the univariate analysis. The final model was built using a stepwise forward procedure. All predictor variables with p < 0.05 were mantained in the final model. Hazard ratio was shown, with the corresponding confidence interval of 95% (95% CI) and p value. Based on the follow-up data, survival curves were constructed using the Kaplan-Meier method. All statistical analyses were performed using the statistical software Statistical Package for Social Sciences (SPSS). P values are two-tailed and the significance level was set at 5%.
Results
The mean age of patients was 54.8 ± 15.1 years and most were males, 435 (68.8%). The mean left ventricular ejection fraction (LVEF) was 28.2 ± 7.2% and mean Systolic Blood Pressure (SBP) was 104.6 ± 22.9 mmHg. The most frequent cause of heart disease was non-ischemic, followed by chagasic and ischemic. Most patients had non-dialytic kidney failure. A total of 353 patients hospitalized from 1992 to December 31, 2000, and 279 patients hospitalized between 2005 and 2006 were included in the study. Table 1, shows the comparison of baseline characteristics between patients admitted until 2000 and after 2000. Comparison of characteristics between the groups before and after 2000 LVEF: left ventricular ejection fraction; SBP: systolic blood pressure. Patients hospitalized until the year 2000 were 7.5 years younger than those admitted after 2000 and had a less impaired LVEF and lower levels of plasma sodium. The percentage of patients with Chagas disease was higher in admissions until 2000. The survival of patients hospitalized until the year 2000 was 40.1% and 67.4%, among those hospitalized after the year 2000, with a 68% increase in the survival rate in the first year of follow-up (Figure 1). Survival of patients hospitalized for decompensated heart failure before and after the year 2000. The probability of survival at 1 year of follow-up was 40.1% in hospitalized patients before 2000 and 67.4% in hospitalized patients after 2000 (p < 0.001). To analyze the possible variables related to survival, we evaluated the data of 333 patients (52.7% of the total). These data are shown in Table 2. This analysis showed that 209 patients (62.8%) needed inotropes in the compensation period. At discharge, most patients were receiving a prescription of renin-angiotensin system blocker (72.4%) and a beta-blocker (59.8%). A total of 186 (55.9%) patients were treated with carvedilol and 13 patients (3.9%) with metoprolol succinate. When comparing the two groups, patients admitted until 2000 received a lower proportion of beta-blocker prescriptions and a higher proportion of digoxin. Comparison of patients in relation to the year of treatment Data are expressed as mean ± standard deviation or number (percentage). LVEF: left ventricular ejection fraction; SBP: systolic blood pressure; DBP: diastolic blood pressure; ACEI: angiotensin-converting enzyme inhibitor. Clinical events, death or rehospitalization within 1 year. In this analysis, patients admitted until the year 2000 had higher in-hospital mortality (20.0% vs 8.7%, p = 0.008) and a higher number of re-hospitalizations than those admitted after 2000 (51.4% vs. 27.9%, p < 0.001). At 1 year of follow up, mortality of those admitted until the year 2000 was 62.9% vs. 23.6% for those hospitalized after 2000 (p < 0.001). The length of hospital stay did not differ between the two groups, being 28.3 ± 21.1 days in those admitted until 2000 and 25.1 ± 16.7 days (p = 0.251) in those hospitalized after the year 2000. Tables 3 and 4 show the comparison of patient characteristics regarding mortality at 1 year of follow up and the univariate and multivariate regression analysis of predictors of death in this period. Chagasic etiology, presence of renal impairment (higher urea levels and creatinine), lower levels of sodium and nitrate use were predictors of increased mortality. Variables associated with reduced mortality were the prescription of Angiotensin-Converting Enzyme Inhibitor (ACEI) and beta-blockers. In the multivariate regression analysis, five variables were identified as independent predictors of mortality, with three being associated with worse prognosis (Chagas disease, creatinine ≥ 1.4 mg/dL, and sodium ≤ 135 mEq/L) and two associated with improved prognosis: the prescription of ACEI and beta-blockers. Comparison of patients in relation to 1-year mortality Data are expressed as mean ± standard deviation or number (percentage). LVEF: left ventricular ejection fraction; SBP: systolic blood pressure; DBP: diastolic blood pressure; ACEI: angiotensin-converting enzyme inhibitor. Univariate and multivariate analysis regression (Cox) of predictors of death LVEF: left ventricular ejection fraction; SBP: systolic blood pressure; ACEI: angiotensin-converting enzyme inhibitor. Figures 2 and 3 show survival curves stratified for ACEI and beta-blockers. In Figure 4, the survival curve was stratified for the combined use of ACEI and beta-blockers, demonstrating improvement in survival of patients who received the combined therapy with the two medications. Survival at 1 year of follow-up of patients hospitalized for decompensated heart failure, according to the use of beta-blockers: 73.9% vs. 35.0% (p <0.001). Survival at 1 year of follow-up of patients hospitalized for decompensated heart failure according to the use of angiotensin-converting enzyme inhibitors: 59.5% vs. 41.8% (p = 0.018). Survival at 1 year of follow-up of patients hospitalized for heart failure, according to the combined use of beta-blockers (BB) and angiotensin-converting enzyme inhibitors (ACEI). Patients were stratified into four groups according to the use of BB / ACEI: yes/yes, yes/no, no/yes, no/no. The probability of survival was, respectively: 78.7%, 58.5%, 38.9% and 25.5% (p < 0.001).
Conclusion
This study provided some evidence that, in the real world, the survival of patients with heart failure has increased and that treatment optimization with neurohormonal blockers have had an important role in improving prognosis.
[ "Study limitations" ]
[ "Although the analyzed groups (before and after 2000) are not homogeneous (Table 2) due to the nature of this study\n(observational and retrospective), it is noteworthy the fact that, although patients\nin the group after 2000 were more severe (older mean age, lower LVEF and lower mean\nSBP), this group - the most severe - was precisely the one that had the best clinical\noutcomes at follow-up with lower mortality and lower rates of re-hospitalization. One\nmust consider that these results are observational and that other factors such as\nimproved treatment adherence and cointerventions (e.g., cardiac surgery and\ninterventional procedures), after discharge, were not quantified and may have\ninfluenced the improvement in prognosis, in addition to the higher rate of\nprescription of neurohormonal blockers, particularly beta-blockers. It should be\nnoted that a possible selection bias was the fact that we performed analyses of\nsurvival in little more than 50% of the study patients, of which data regarding\ntherapy used was available. Moreover, regarding therapy, we performed the qualitative\nanalysis, while the quantitative analysis of the dose at discharge and at follow-up\nwould be important to evaluate the influence of optimized dose of these medications\non patients' prognosis. However, these issues could be addressed in future\nstudies." ]
[ null ]
[ "Introduction", "Methods", "Results", "Discussion", "Study limitations", "Conclusion" ]
[ "Heart failure (HF) is a clinical syndrome of which evolution is known to have high\nmorbidity and mortality1,2. In epidemiological studies, HF patients\nshowed a significant reduction in quality of life and a worse evolution than many types\nof cancer3.\nTreatment with neurohormonal blockers has modified this history, reducing the high\nmortality, the rate of re-hospitalizations and improving quality of life in patients\nwith this syndrome4. This improvement\nhas been demonstrated in clinical trials and controlled studies, but we do not know\nwhether this improvement has also been observed in the real world, among patients in the\ninstitutions, clinics and offices, and particularly, we have no data on the Brazilian\npopulation4.\nWorking in a tertiary hospital in São Paulo, we followed the evolution of HF\npatients in the last two decades and observed that the population we treated during\nthese years has not changed substantially regarding characteristics, as the admission\ncriteria have not changed. This fact allowed us to compares the outcome of patients,\nconsidering two periods: before and after the year 2000.\nThis study sought to assess whether the outcomes of patients with HF changed when\ncomparing the two periods and verify, among the studied variables, which were associated\nwith prognosis of this syndrome.", "A total of 632 hospitalized patients were prospectively studied in a tertiary hospital\nin São Paulo, all with advanced HF, systolic dysfunction with ejection fraction\n< 40%, in NYHA (New York Heart Association) III / IV. Patients in this hospital came\nfrom the emergency room and were transferred there when they did not compensate after\nthe first measures or because they required inotropic support for compensation. These\nselection criteria for hospitalization led to the admission of more severe patients with\nsevere clinical manifestation.\nAll patients underwent clinical and laboratory assessment, including biochemical\nanalysis, CBC, echocardiography and radiological examinations. Regarding the etiology of\nheart disease, patients were divided into three groups: those with chagasic etiology,\nthose with ischemic etiology and those with nonischemic etiology. The diagnosis of\nChagasic heart disease was established by the presence of positive serological\nreactions, and ischemic heart disease was confirmed by the presence of a history of\nheart attack, angina or confirmed by coronary angiography. In the absence of these\ncharacteristics, the patient was considered to have non-ischemic heart disease.\nThese patients are part of a prospective study database of patients hospitalized in our\nservice, due to advanced, decompensated HF and all met the same abovementioned inclusion\ncriteria2,5-8. Patients were\nincluded in different years, which allowed us to perform a temporal analysis regarding\nthe evolution of prognosis and treatment of this syndrome. For the purpose of this\nanalysis, performed retrospectively, the patients were divided into two groups: those\nadmitted until December 31, 2000 and those admitted after that date. Patients included\nin the study admitted before 2000 were part of prospective studies in the years 1992,\n1994, 1996 and 19995-8. Patients enrolled after 2000 were studied in 2005 and\n20062. We compared the\ncharacteristics of the two groups, considering clinical, laboratory, and evolution\naspects.\nPatients were followed for 1 year, and the vital status of the patients, number of\nvisits to the emergency room and need for rehospitalization were determined by telephone\nor by reviewing electronic medical records. The clinical outcome analyzed was mortality\nfrom all causes during the follow-up period.\nAmong these patients, a subgroup had the treatment analyzed during and after discharge,\nand predictors of mortality were assessed in this subgroup, consisting of 333 patients\n(52.7% of total)2,8. This subgroup was selected based on the availability of\ndata on drug therapy used during hospitalization and pre-hospital discharge.\nContinuous variables were shown as means ± standard deviation and categorical\nvariables as frequencies and percentages. We compared the characteristics of patients\nregarding mortality at the end of follow-up. Continuous variables were analyzed by\nMann-Whitney U test and categorical variables by the chi-square test or Fisher exact\ntest.\nPredictors of mortality were determined by uni- and multivariate analysis, using the Cox\nproportional hazards method. A regression model was constructed for the primary\nendpoint, adjusted for clinical and laboratory characteristics as well as those of\nadministered drugs. The criterion for model variable selection was a p value < 0.200\nin the univariate analysis. The final model was built using a stepwise forward\nprocedure. All predictor variables with p < 0.05 were mantained in the final model.\nHazard ratio was shown, with the corresponding confidence interval of 95% (95% CI) and p\nvalue.\nBased on the follow-up data, survival curves were constructed using the Kaplan-Meier\nmethod. All statistical analyses were performed using the statistical software\nStatistical Package for Social Sciences (SPSS).\nP values are two-tailed and the significance level was set at 5%.", "The mean age of patients was 54.8 ± 15.1 years and most were males, 435 (68.8%).\nThe mean left ventricular ejection fraction (LVEF) was 28.2 ± 7.2% and mean\nSystolic Blood Pressure (SBP) was 104.6 ± 22.9 mmHg. The most frequent cause of\nheart disease was non-ischemic, followed by chagasic and ischemic.\nMost patients had non-dialytic kidney failure.\nA total of 353 patients hospitalized from 1992 to December 31, 2000, and 279 patients\nhospitalized between 2005 and 2006 were included in the study.\nTable 1, shows the comparison of baseline\ncharacteristics between patients admitted until 2000 and after 2000.\nComparison of characteristics between the groups before and after 2000\nLVEF: left ventricular ejection fraction; SBP: systolic blood pressure.\nPatients hospitalized until the year 2000 were 7.5 years younger than those admitted\nafter 2000 and had a less impaired LVEF and lower levels of plasma sodium. The\npercentage of patients with Chagas disease was higher in admissions until 2000.\nThe survival of patients hospitalized until the year 2000 was 40.1% and 67.4%, among\nthose hospitalized after the year 2000, with a 68% increase in the survival rate in the\nfirst year of follow-up (Figure 1).\nSurvival of patients hospitalized for decompensated heart failure before and after\nthe year 2000. The probability of survival at 1 year of follow-up was 40.1% in\nhospitalized patients before 2000 and 67.4% in hospitalized patients after 2000 (p\n< 0.001).\nTo analyze the possible variables related to survival, we evaluated the data of 333\npatients (52.7% of the total). These data are shown in Table 2. This analysis showed that 209 patients (62.8%) needed inotropes in\nthe compensation period. At discharge, most patients were receiving a prescription of\nrenin-angiotensin system blocker (72.4%) and a beta-blocker (59.8%). A total of 186\n(55.9%) patients were treated with carvedilol and 13 patients (3.9%) with metoprolol\nsuccinate. When comparing the two groups, patients admitted until 2000 received a lower\nproportion of beta-blocker prescriptions and a higher proportion of digoxin.\nComparison of patients in relation to the year of treatment\nData are expressed as mean ± standard deviation or number (percentage).\nLVEF: left ventricular ejection fraction; SBP: systolic blood pressure; DBP:\ndiastolic blood pressure; ACEI: angiotensin-converting enzyme inhibitor.\nClinical events, death or rehospitalization within 1 year.\nIn this analysis, patients admitted until the year 2000 had higher in-hospital mortality\n(20.0% vs 8.7%, p = 0.008) and a higher number of re-hospitalizations than those\nadmitted after 2000 (51.4% vs. 27.9%, p < 0.001). At 1 year of follow up, mortality\nof those admitted until the year 2000 was 62.9% vs. 23.6% for those hospitalized after\n2000 (p < 0.001).\nThe length of hospital stay did not differ between the two groups, being 28.3 ±\n21.1 days in those admitted until 2000 and 25.1 ± 16.7 days (p = 0.251) in those\nhospitalized after the year 2000.\nTables 3 and 4 show the comparison of patient characteristics regarding mortality at 1\nyear of follow up and the univariate and multivariate regression analysis of predictors\nof death in this period. Chagasic etiology, presence of renal impairment (higher urea\nlevels and creatinine), lower levels of sodium and nitrate use were predictors of\nincreased mortality. Variables associated with reduced mortality were the prescription\nof Angiotensin-Converting Enzyme Inhibitor (ACEI) and beta-blockers. In the multivariate\nregression analysis, five variables were identified as independent predictors of\nmortality, with three being associated with worse prognosis (Chagas disease, creatinine\n≥ 1.4 mg/dL, and sodium ≤ 135 mEq/L) and two associated with improved\nprognosis: the prescription of ACEI and beta-blockers.\nComparison of patients in relation to 1-year mortality\nData are expressed as mean ± standard deviation or number (percentage).\nLVEF: left ventricular ejection fraction; SBP: systolic blood pressure; DBP:\ndiastolic blood pressure; ACEI: angiotensin-converting enzyme inhibitor.\nUnivariate and multivariate analysis regression (Cox) of predictors of death\nLVEF: left ventricular ejection fraction; SBP: systolic blood pressure; ACEI:\nangiotensin-converting enzyme inhibitor.\nFigures 2 and 3 show survival curves stratified for ACEI and beta-blockers. In Figure 4, the survival curve was stratified for the\ncombined use of ACEI and beta-blockers, demonstrating improvement in survival of\npatients who received the combined therapy with the two medications.\nSurvival at 1 year of follow-up of patients hospitalized for decompensated heart\nfailure, according to the use of beta-blockers: 73.9% vs. 35.0% (p <0.001).\nSurvival at 1 year of follow-up of patients hospitalized for decompensated heart\nfailure according to the use of angiotensin-converting enzyme inhibitors: 59.5%\nvs. 41.8% (p = 0.018).\nSurvival at 1 year of follow-up of patients hospitalized for heart failure,\naccording to the combined use of beta-blockers (BB) and angiotensin-converting\nenzyme inhibitors (ACEI). Patients were stratified into four groups according to\nthe use of BB / ACEI: yes/yes, yes/no, no/yes, no/no. The probability of survival\nwas, respectively: 78.7%, 58.5%, 38.9% and 25.5% (p < 0.001).", "According to the results of this observational study, we observed that in this new\ncentury, the survival of patients with advanced HF has improved significantly, as well\nas the rates of re-hospitalization. Treatment with neurohormonal blockers, especially\nACEI and beta-blockers, was associated with this increase in survival rates.\nHeart failure, in its advanced form, is a malignant disease with a higher mortality rate\nthan a few types of cancer3. Even with\nthe current treatment, mortality can be high in the most severe forms, as it has an\nassociation with the intensity of the heart disease and its clinical\nmanifestations9. Patients with\nadvanced disease are referred to our institution, a tertiary hospital in São\nPaulo, which results in higher mortality than that observed in other institutions. Our\ncurrent mortality rate is approximately 8% and we observed that approximately a quarter\nof patients who were discharged died in the first year of follow-up2.\nAlthough this mortality rate is still high, when we compared data from patients\nhospitalized until the year 2000, we found a significant reduction. It should be noted\nthat when comparing the characteristics of the study population in two periods, before\nand after 2000, we observed that they are quite similar, but the hospitalized population\nafter 2000 shows alterations that indicate more pronounced clinical manifestations, such\nas higher levels of urea and creatinine at admission and lower LVEF. Despite these signs\nof greater severity, when comparing the two periods, there was a significant reduction\nin mortality, which decreased from 20% to the current 8.8%2. This reduction was probably due to more aggressive\nmanagement of cardiac decompensation and the higher proportion of patients currently\nbeing treated with ACEI and beta-blockers10,11.\nIn our institution, ACEI and beta-blockers are not systematically withdrawn at\nhospitalization for cardiac decompensation12. In general, ACEI have their dose increased, as vasoconstriction is\nthe major pathophysiological alteration in cardiac decompensation. The beta-blocker is\nmaintained and in cases that need inotropes, the dose of the beta-blocker is halved,\nwhich results in the fact many patients continue taking 6.25 mg or 12.5 mg of carvedilol\ntwice daily. In the multivariate analysis, the prescription of ACEI and beta-blockers\nwas associated with reduced mortality. Therefore, the most intense neurohormonal\nblockade played an important role in this increase in in-hospital survival. Thus,\nalthough the mortality rate is still high, it is decreasing, when one considers the data\nfrom the two periods at our institution. It is noteworthy the fact that data from the\nNational Health System (SUS) do not show the occurrence of the reduction we observed,\nbut showing in fact, an increase in mortality (5.41 % to 6.97 %) from 1992 to 2002, when\nanalyzing all hospitalizations for HF in Brazil2.\nWhen comparing our rates with data from Europe and the United States in different\nregistries of HF, mortality in our hospitals is higher in general. But much of this high\nmortality is probably due to the greater severity of patients admitted to our service.\nWhen comparing the characteristics of hospitalized patients, this greater severity can\nbe observed among Brazilian patients.\nFor instance, when we compare our data with those of the U.S. ADHERE registry, it can be\nseen that 74.9% of hospitalized patients in our hospital had systolic BP < 115 mm Hg,\nwhereas in the ADHERE registry only 18.5% were hypotensive9. Low BP is an important prognostic marker in several\nstudies, including the ADHERE registry. An important point to note is that, despite the\nhigher overall mortality rate of our patients, when we analyzed the total number of more\nsevere patients (BUN > 43 mg/dL, BP < 115 mmHg and creatinine > 2.75 mg/dL),\nmortality did not differ significantly, with our patient population being numerically\nlower than that of the American study (14.0% vs. 15.3%), suggesting that our treatment,\nin addition to being adequate, have reduced the mortality a severe group of\npatients9.\nEven regarding hospitals in Brazil, although data are scarce, we observed that mortality\nin our hospital, despite the greater severity of our cases, was lower than that observed\nin these other institutions. In Rio de Janeiro, among patients treated at the emergency\nroom of a private institution, the mortality was 10.6% and, in Porto Alegre, a teaching\nhospital like ours, it was 11%13,14. These differences in mortality are\nprobably due to selection criteria for admission and the period of data collection, but\nthe numbers are very similar to ours.\nMore significant, however, was the reduction in mortality at the follow-up. We observed\na reduction in mortality in the first year of follow up, going from more than 50% to the\ncurrent 23.6%, a relative reduction of approximately 50%. This result was similar to\nthat observed in Spain, where mortality in the 1991-1996 period was 24%, decreasing to\n16% in 2000 and 200115. Improved\nprognosis was also reported in Baltimore and Sweden, and in these studies, the authors\nreported that this improvement occurred after the establishment of treatment with ACEI\nand beta-blockers, but did not specifically analyze the role of their prescriptions,\ndifferent from our study16,17.\nThe year 2000 can be considered a watershed for the treatment of chronic HF, as in 1999,\ntwo important studies were published on beta blockers in HF, the MERIT-HF and the\nCIBIS-II study, which reinforced the indication of beta-blockers for treatment of\nchronic HF18,19. We observed this increase in the prescription in our hospital\nas, until 2000, at the outpatient clinic, the prescription of beta-blockers reached\nabout 10% of patients, increasing 70% in the 2004 assessment20. This increased prescription of beta-blockers\nunquestionably played a key role in improving the prognosis of HF in our hospital.\nAt the univariate analysis of predictors of mortality, it can be observed that the\nprescription of ACEI and beta-blockers was associated with improved prognosis. Markers\nof increased cardiac and systemic involvement, usually identified in studies evaluating\nprognosis (renal and ventricular function) were associated with a worse prognosis, as\nwell as Chagas etiology. In the multivariate analysis, ACEI and beta blockers persisted\nas markers, with the latter having a greater impact.\nIn addition to the recording of the neurohormonal blockade value promoting increased\nsurvival, this study also shows that Chagas disease was accompanied by worse prognosis,\nconfirming the findings of other Brazilian studies21,22.\n Study limitations Although the analyzed groups (before and after 2000) are not homogeneous (Table 2) due to the nature of this study\n(observational and retrospective), it is noteworthy the fact that, although patients\nin the group after 2000 were more severe (older mean age, lower LVEF and lower mean\nSBP), this group - the most severe - was precisely the one that had the best clinical\noutcomes at follow-up with lower mortality and lower rates of re-hospitalization. One\nmust consider that these results are observational and that other factors such as\nimproved treatment adherence and cointerventions (e.g., cardiac surgery and\ninterventional procedures), after discharge, were not quantified and may have\ninfluenced the improvement in prognosis, in addition to the higher rate of\nprescription of neurohormonal blockers, particularly beta-blockers. It should be\nnoted that a possible selection bias was the fact that we performed analyses of\nsurvival in little more than 50% of the study patients, of which data regarding\ntherapy used was available. Moreover, regarding therapy, we performed the qualitative\nanalysis, while the quantitative analysis of the dose at discharge and at follow-up\nwould be important to evaluate the influence of optimized dose of these medications\non patients' prognosis. However, these issues could be addressed in future\nstudies.\nAlthough the analyzed groups (before and after 2000) are not homogeneous (Table 2) due to the nature of this study\n(observational and retrospective), it is noteworthy the fact that, although patients\nin the group after 2000 were more severe (older mean age, lower LVEF and lower mean\nSBP), this group - the most severe - was precisely the one that had the best clinical\noutcomes at follow-up with lower mortality and lower rates of re-hospitalization. One\nmust consider that these results are observational and that other factors such as\nimproved treatment adherence and cointerventions (e.g., cardiac surgery and\ninterventional procedures), after discharge, were not quantified and may have\ninfluenced the improvement in prognosis, in addition to the higher rate of\nprescription of neurohormonal blockers, particularly beta-blockers. It should be\nnoted that a possible selection bias was the fact that we performed analyses of\nsurvival in little more than 50% of the study patients, of which data regarding\ntherapy used was available. Moreover, regarding therapy, we performed the qualitative\nanalysis, while the quantitative analysis of the dose at discharge and at follow-up\nwould be important to evaluate the influence of optimized dose of these medications\non patients' prognosis. However, these issues could be addressed in future\nstudies.", "Although the analyzed groups (before and after 2000) are not homogeneous (Table 2) due to the nature of this study\n(observational and retrospective), it is noteworthy the fact that, although patients\nin the group after 2000 were more severe (older mean age, lower LVEF and lower mean\nSBP), this group - the most severe - was precisely the one that had the best clinical\noutcomes at follow-up with lower mortality and lower rates of re-hospitalization. One\nmust consider that these results are observational and that other factors such as\nimproved treatment adherence and cointerventions (e.g., cardiac surgery and\ninterventional procedures), after discharge, were not quantified and may have\ninfluenced the improvement in prognosis, in addition to the higher rate of\nprescription of neurohormonal blockers, particularly beta-blockers. It should be\nnoted that a possible selection bias was the fact that we performed analyses of\nsurvival in little more than 50% of the study patients, of which data regarding\ntherapy used was available. Moreover, regarding therapy, we performed the qualitative\nanalysis, while the quantitative analysis of the dose at discharge and at follow-up\nwould be important to evaluate the influence of optimized dose of these medications\non patients' prognosis. However, these issues could be addressed in future\nstudies.", "This study provided some evidence that, in the real world, the survival of patients with\nheart failure has increased and that treatment optimization with neurohormonal blockers\nhave had an important role in improving prognosis." ]
[ "intro", "methods", "results", "discussion", null, "conclusions" ]
[ "Heart Failure / therapy", "Prognosis", "Heart Failure / mortality", "Chagas Disease" ]
Introduction: Heart failure (HF) is a clinical syndrome of which evolution is known to have high morbidity and mortality1,2. In epidemiological studies, HF patients showed a significant reduction in quality of life and a worse evolution than many types of cancer3. Treatment with neurohormonal blockers has modified this history, reducing the high mortality, the rate of re-hospitalizations and improving quality of life in patients with this syndrome4. This improvement has been demonstrated in clinical trials and controlled studies, but we do not know whether this improvement has also been observed in the real world, among patients in the institutions, clinics and offices, and particularly, we have no data on the Brazilian population4. Working in a tertiary hospital in São Paulo, we followed the evolution of HF patients in the last two decades and observed that the population we treated during these years has not changed substantially regarding characteristics, as the admission criteria have not changed. This fact allowed us to compares the outcome of patients, considering two periods: before and after the year 2000. This study sought to assess whether the outcomes of patients with HF changed when comparing the two periods and verify, among the studied variables, which were associated with prognosis of this syndrome. Methods: A total of 632 hospitalized patients were prospectively studied in a tertiary hospital in São Paulo, all with advanced HF, systolic dysfunction with ejection fraction < 40%, in NYHA (New York Heart Association) III / IV. Patients in this hospital came from the emergency room and were transferred there when they did not compensate after the first measures or because they required inotropic support for compensation. These selection criteria for hospitalization led to the admission of more severe patients with severe clinical manifestation. All patients underwent clinical and laboratory assessment, including biochemical analysis, CBC, echocardiography and radiological examinations. Regarding the etiology of heart disease, patients were divided into three groups: those with chagasic etiology, those with ischemic etiology and those with nonischemic etiology. The diagnosis of Chagasic heart disease was established by the presence of positive serological reactions, and ischemic heart disease was confirmed by the presence of a history of heart attack, angina or confirmed by coronary angiography. In the absence of these characteristics, the patient was considered to have non-ischemic heart disease. These patients are part of a prospective study database of patients hospitalized in our service, due to advanced, decompensated HF and all met the same abovementioned inclusion criteria2,5-8. Patients were included in different years, which allowed us to perform a temporal analysis regarding the evolution of prognosis and treatment of this syndrome. For the purpose of this analysis, performed retrospectively, the patients were divided into two groups: those admitted until December 31, 2000 and those admitted after that date. Patients included in the study admitted before 2000 were part of prospective studies in the years 1992, 1994, 1996 and 19995-8. Patients enrolled after 2000 were studied in 2005 and 20062. We compared the characteristics of the two groups, considering clinical, laboratory, and evolution aspects. Patients were followed for 1 year, and the vital status of the patients, number of visits to the emergency room and need for rehospitalization were determined by telephone or by reviewing electronic medical records. The clinical outcome analyzed was mortality from all causes during the follow-up period. Among these patients, a subgroup had the treatment analyzed during and after discharge, and predictors of mortality were assessed in this subgroup, consisting of 333 patients (52.7% of total)2,8. This subgroup was selected based on the availability of data on drug therapy used during hospitalization and pre-hospital discharge. Continuous variables were shown as means ± standard deviation and categorical variables as frequencies and percentages. We compared the characteristics of patients regarding mortality at the end of follow-up. Continuous variables were analyzed by Mann-Whitney U test and categorical variables by the chi-square test or Fisher exact test. Predictors of mortality were determined by uni- and multivariate analysis, using the Cox proportional hazards method. A regression model was constructed for the primary endpoint, adjusted for clinical and laboratory characteristics as well as those of administered drugs. The criterion for model variable selection was a p value < 0.200 in the univariate analysis. The final model was built using a stepwise forward procedure. All predictor variables with p < 0.05 were mantained in the final model. Hazard ratio was shown, with the corresponding confidence interval of 95% (95% CI) and p value. Based on the follow-up data, survival curves were constructed using the Kaplan-Meier method. All statistical analyses were performed using the statistical software Statistical Package for Social Sciences (SPSS). P values are two-tailed and the significance level was set at 5%. Results: The mean age of patients was 54.8 ± 15.1 years and most were males, 435 (68.8%). The mean left ventricular ejection fraction (LVEF) was 28.2 ± 7.2% and mean Systolic Blood Pressure (SBP) was 104.6 ± 22.9 mmHg. The most frequent cause of heart disease was non-ischemic, followed by chagasic and ischemic. Most patients had non-dialytic kidney failure. A total of 353 patients hospitalized from 1992 to December 31, 2000, and 279 patients hospitalized between 2005 and 2006 were included in the study. Table 1, shows the comparison of baseline characteristics between patients admitted until 2000 and after 2000. Comparison of characteristics between the groups before and after 2000 LVEF: left ventricular ejection fraction; SBP: systolic blood pressure. Patients hospitalized until the year 2000 were 7.5 years younger than those admitted after 2000 and had a less impaired LVEF and lower levels of plasma sodium. The percentage of patients with Chagas disease was higher in admissions until 2000. The survival of patients hospitalized until the year 2000 was 40.1% and 67.4%, among those hospitalized after the year 2000, with a 68% increase in the survival rate in the first year of follow-up (Figure 1). Survival of patients hospitalized for decompensated heart failure before and after the year 2000. The probability of survival at 1 year of follow-up was 40.1% in hospitalized patients before 2000 and 67.4% in hospitalized patients after 2000 (p < 0.001). To analyze the possible variables related to survival, we evaluated the data of 333 patients (52.7% of the total). These data are shown in Table 2. This analysis showed that 209 patients (62.8%) needed inotropes in the compensation period. At discharge, most patients were receiving a prescription of renin-angiotensin system blocker (72.4%) and a beta-blocker (59.8%). A total of 186 (55.9%) patients were treated with carvedilol and 13 patients (3.9%) with metoprolol succinate. When comparing the two groups, patients admitted until 2000 received a lower proportion of beta-blocker prescriptions and a higher proportion of digoxin. Comparison of patients in relation to the year of treatment Data are expressed as mean ± standard deviation or number (percentage). LVEF: left ventricular ejection fraction; SBP: systolic blood pressure; DBP: diastolic blood pressure; ACEI: angiotensin-converting enzyme inhibitor. Clinical events, death or rehospitalization within 1 year. In this analysis, patients admitted until the year 2000 had higher in-hospital mortality (20.0% vs 8.7%, p = 0.008) and a higher number of re-hospitalizations than those admitted after 2000 (51.4% vs. 27.9%, p < 0.001). At 1 year of follow up, mortality of those admitted until the year 2000 was 62.9% vs. 23.6% for those hospitalized after 2000 (p < 0.001). The length of hospital stay did not differ between the two groups, being 28.3 ± 21.1 days in those admitted until 2000 and 25.1 ± 16.7 days (p = 0.251) in those hospitalized after the year 2000. Tables 3 and 4 show the comparison of patient characteristics regarding mortality at 1 year of follow up and the univariate and multivariate regression analysis of predictors of death in this period. Chagasic etiology, presence of renal impairment (higher urea levels and creatinine), lower levels of sodium and nitrate use were predictors of increased mortality. Variables associated with reduced mortality were the prescription of Angiotensin-Converting Enzyme Inhibitor (ACEI) and beta-blockers. In the multivariate regression analysis, five variables were identified as independent predictors of mortality, with three being associated with worse prognosis (Chagas disease, creatinine ≥ 1.4 mg/dL, and sodium ≤ 135 mEq/L) and two associated with improved prognosis: the prescription of ACEI and beta-blockers. Comparison of patients in relation to 1-year mortality Data are expressed as mean ± standard deviation or number (percentage). LVEF: left ventricular ejection fraction; SBP: systolic blood pressure; DBP: diastolic blood pressure; ACEI: angiotensin-converting enzyme inhibitor. Univariate and multivariate analysis regression (Cox) of predictors of death LVEF: left ventricular ejection fraction; SBP: systolic blood pressure; ACEI: angiotensin-converting enzyme inhibitor. Figures 2 and 3 show survival curves stratified for ACEI and beta-blockers. In Figure 4, the survival curve was stratified for the combined use of ACEI and beta-blockers, demonstrating improvement in survival of patients who received the combined therapy with the two medications. Survival at 1 year of follow-up of patients hospitalized for decompensated heart failure, according to the use of beta-blockers: 73.9% vs. 35.0% (p <0.001). Survival at 1 year of follow-up of patients hospitalized for decompensated heart failure according to the use of angiotensin-converting enzyme inhibitors: 59.5% vs. 41.8% (p = 0.018). Survival at 1 year of follow-up of patients hospitalized for heart failure, according to the combined use of beta-blockers (BB) and angiotensin-converting enzyme inhibitors (ACEI). Patients were stratified into four groups according to the use of BB / ACEI: yes/yes, yes/no, no/yes, no/no. The probability of survival was, respectively: 78.7%, 58.5%, 38.9% and 25.5% (p < 0.001). Discussion: According to the results of this observational study, we observed that in this new century, the survival of patients with advanced HF has improved significantly, as well as the rates of re-hospitalization. Treatment with neurohormonal blockers, especially ACEI and beta-blockers, was associated with this increase in survival rates. Heart failure, in its advanced form, is a malignant disease with a higher mortality rate than a few types of cancer3. Even with the current treatment, mortality can be high in the most severe forms, as it has an association with the intensity of the heart disease and its clinical manifestations9. Patients with advanced disease are referred to our institution, a tertiary hospital in São Paulo, which results in higher mortality than that observed in other institutions. Our current mortality rate is approximately 8% and we observed that approximately a quarter of patients who were discharged died in the first year of follow-up2. Although this mortality rate is still high, when we compared data from patients hospitalized until the year 2000, we found a significant reduction. It should be noted that when comparing the characteristics of the study population in two periods, before and after 2000, we observed that they are quite similar, but the hospitalized population after 2000 shows alterations that indicate more pronounced clinical manifestations, such as higher levels of urea and creatinine at admission and lower LVEF. Despite these signs of greater severity, when comparing the two periods, there was a significant reduction in mortality, which decreased from 20% to the current 8.8%2. This reduction was probably due to more aggressive management of cardiac decompensation and the higher proportion of patients currently being treated with ACEI and beta-blockers10,11. In our institution, ACEI and beta-blockers are not systematically withdrawn at hospitalization for cardiac decompensation12. In general, ACEI have their dose increased, as vasoconstriction is the major pathophysiological alteration in cardiac decompensation. The beta-blocker is maintained and in cases that need inotropes, the dose of the beta-blocker is halved, which results in the fact many patients continue taking 6.25 mg or 12.5 mg of carvedilol twice daily. In the multivariate analysis, the prescription of ACEI and beta-blockers was associated with reduced mortality. Therefore, the most intense neurohormonal blockade played an important role in this increase in in-hospital survival. Thus, although the mortality rate is still high, it is decreasing, when one considers the data from the two periods at our institution. It is noteworthy the fact that data from the National Health System (SUS) do not show the occurrence of the reduction we observed, but showing in fact, an increase in mortality (5.41 % to 6.97 %) from 1992 to 2002, when analyzing all hospitalizations for HF in Brazil2. When comparing our rates with data from Europe and the United States in different registries of HF, mortality in our hospitals is higher in general. But much of this high mortality is probably due to the greater severity of patients admitted to our service. When comparing the characteristics of hospitalized patients, this greater severity can be observed among Brazilian patients. For instance, when we compare our data with those of the U.S. ADHERE registry, it can be seen that 74.9% of hospitalized patients in our hospital had systolic BP < 115 mm Hg, whereas in the ADHERE registry only 18.5% were hypotensive9. Low BP is an important prognostic marker in several studies, including the ADHERE registry. An important point to note is that, despite the higher overall mortality rate of our patients, when we analyzed the total number of more severe patients (BUN > 43 mg/dL, BP < 115 mmHg and creatinine > 2.75 mg/dL), mortality did not differ significantly, with our patient population being numerically lower than that of the American study (14.0% vs. 15.3%), suggesting that our treatment, in addition to being adequate, have reduced the mortality a severe group of patients9. Even regarding hospitals in Brazil, although data are scarce, we observed that mortality in our hospital, despite the greater severity of our cases, was lower than that observed in these other institutions. In Rio de Janeiro, among patients treated at the emergency room of a private institution, the mortality was 10.6% and, in Porto Alegre, a teaching hospital like ours, it was 11%13,14. These differences in mortality are probably due to selection criteria for admission and the period of data collection, but the numbers are very similar to ours. More significant, however, was the reduction in mortality at the follow-up. We observed a reduction in mortality in the first year of follow up, going from more than 50% to the current 23.6%, a relative reduction of approximately 50%. This result was similar to that observed in Spain, where mortality in the 1991-1996 period was 24%, decreasing to 16% in 2000 and 200115. Improved prognosis was also reported in Baltimore and Sweden, and in these studies, the authors reported that this improvement occurred after the establishment of treatment with ACEI and beta-blockers, but did not specifically analyze the role of their prescriptions, different from our study16,17. The year 2000 can be considered a watershed for the treatment of chronic HF, as in 1999, two important studies were published on beta blockers in HF, the MERIT-HF and the CIBIS-II study, which reinforced the indication of beta-blockers for treatment of chronic HF18,19. We observed this increase in the prescription in our hospital as, until 2000, at the outpatient clinic, the prescription of beta-blockers reached about 10% of patients, increasing 70% in the 2004 assessment20. This increased prescription of beta-blockers unquestionably played a key role in improving the prognosis of HF in our hospital. At the univariate analysis of predictors of mortality, it can be observed that the prescription of ACEI and beta-blockers was associated with improved prognosis. Markers of increased cardiac and systemic involvement, usually identified in studies evaluating prognosis (renal and ventricular function) were associated with a worse prognosis, as well as Chagas etiology. In the multivariate analysis, ACEI and beta blockers persisted as markers, with the latter having a greater impact. In addition to the recording of the neurohormonal blockade value promoting increased survival, this study also shows that Chagas disease was accompanied by worse prognosis, confirming the findings of other Brazilian studies21,22. Study limitations Although the analyzed groups (before and after 2000) are not homogeneous (Table 2) due to the nature of this study (observational and retrospective), it is noteworthy the fact that, although patients in the group after 2000 were more severe (older mean age, lower LVEF and lower mean SBP), this group - the most severe - was precisely the one that had the best clinical outcomes at follow-up with lower mortality and lower rates of re-hospitalization. One must consider that these results are observational and that other factors such as improved treatment adherence and cointerventions (e.g., cardiac surgery and interventional procedures), after discharge, were not quantified and may have influenced the improvement in prognosis, in addition to the higher rate of prescription of neurohormonal blockers, particularly beta-blockers. It should be noted that a possible selection bias was the fact that we performed analyses of survival in little more than 50% of the study patients, of which data regarding therapy used was available. Moreover, regarding therapy, we performed the qualitative analysis, while the quantitative analysis of the dose at discharge and at follow-up would be important to evaluate the influence of optimized dose of these medications on patients' prognosis. However, these issues could be addressed in future studies. Although the analyzed groups (before and after 2000) are not homogeneous (Table 2) due to the nature of this study (observational and retrospective), it is noteworthy the fact that, although patients in the group after 2000 were more severe (older mean age, lower LVEF and lower mean SBP), this group - the most severe - was precisely the one that had the best clinical outcomes at follow-up with lower mortality and lower rates of re-hospitalization. One must consider that these results are observational and that other factors such as improved treatment adherence and cointerventions (e.g., cardiac surgery and interventional procedures), after discharge, were not quantified and may have influenced the improvement in prognosis, in addition to the higher rate of prescription of neurohormonal blockers, particularly beta-blockers. It should be noted that a possible selection bias was the fact that we performed analyses of survival in little more than 50% of the study patients, of which data regarding therapy used was available. Moreover, regarding therapy, we performed the qualitative analysis, while the quantitative analysis of the dose at discharge and at follow-up would be important to evaluate the influence of optimized dose of these medications on patients' prognosis. However, these issues could be addressed in future studies. Study limitations: Although the analyzed groups (before and after 2000) are not homogeneous (Table 2) due to the nature of this study (observational and retrospective), it is noteworthy the fact that, although patients in the group after 2000 were more severe (older mean age, lower LVEF and lower mean SBP), this group - the most severe - was precisely the one that had the best clinical outcomes at follow-up with lower mortality and lower rates of re-hospitalization. One must consider that these results are observational and that other factors such as improved treatment adherence and cointerventions (e.g., cardiac surgery and interventional procedures), after discharge, were not quantified and may have influenced the improvement in prognosis, in addition to the higher rate of prescription of neurohormonal blockers, particularly beta-blockers. It should be noted that a possible selection bias was the fact that we performed analyses of survival in little more than 50% of the study patients, of which data regarding therapy used was available. Moreover, regarding therapy, we performed the qualitative analysis, while the quantitative analysis of the dose at discharge and at follow-up would be important to evaluate the influence of optimized dose of these medications on patients' prognosis. However, these issues could be addressed in future studies. Conclusion: This study provided some evidence that, in the real world, the survival of patients with heart failure has increased and that treatment optimization with neurohormonal blockers have had an important role in improving prognosis.
Background: The treatment of heart failure has evolved in recent decades suggesting that survival is increasing. Methods: We retrospectively compared the treatment and follow-up data from two cohorts of patients with systolic heart failure admitted for compensation up to 2000 (n = 353) and after 2000 (n = 279). We analyzed in-hospital death, re-hospitalization and death in 1 year of follow-up. We used Mann-Whitney U test and chi-square test for comparison between groups. The predictors of mortality were identified by regression analysis through Cox proportional hazards model and survival analysis by the Kaplan-Meier survival analysis. Results: The patients admitted until 2000 were younger, had lower left ventricular impairment and received a lower proportion of beta-blockers at discharge. The survival of patients hospitalized before 2000 was lower than those hospitalized after 2000 (40.1% vs. 67.4%; p<0.001). The independent predictors of mortality in the regression analysis were: Chagas disease (hazard ratio: 1.9; 95% confidence interval: 1.3-3.0), angiotensin-converting-enzyme inhibitors (hazard ratio: 0.6; 95% confidence interval: 0.4-0.9), beta-blockers (hazard ratio: 0.3; 95% confidence interval: 0.2-0.5), creatinine ≥ 1.4 mg/dL (hazard ratio: 2.0; 95% confidence interval: 1.3-3.0), serum sodium ≤ 135 mEq/L (hazard ratio: 1.8; 95% confidence interval: 1.2-2.7). Conclusions: Patients with advanced heart failure showed a significant improvement in survival and reduction in re-hospitalizations. The neurohormonal blockade, with angiotensin-converting-enzyme inhibitors and beta-blockers, had an important role in increasing survival of these patients with advanced heart failure.
Introduction: Heart failure (HF) is a clinical syndrome of which evolution is known to have high morbidity and mortality1,2. In epidemiological studies, HF patients showed a significant reduction in quality of life and a worse evolution than many types of cancer3. Treatment with neurohormonal blockers has modified this history, reducing the high mortality, the rate of re-hospitalizations and improving quality of life in patients with this syndrome4. This improvement has been demonstrated in clinical trials and controlled studies, but we do not know whether this improvement has also been observed in the real world, among patients in the institutions, clinics and offices, and particularly, we have no data on the Brazilian population4. Working in a tertiary hospital in São Paulo, we followed the evolution of HF patients in the last two decades and observed that the population we treated during these years has not changed substantially regarding characteristics, as the admission criteria have not changed. This fact allowed us to compares the outcome of patients, considering two periods: before and after the year 2000. This study sought to assess whether the outcomes of patients with HF changed when comparing the two periods and verify, among the studied variables, which were associated with prognosis of this syndrome. Conclusion: This study provided some evidence that, in the real world, the survival of patients with heart failure has increased and that treatment optimization with neurohormonal blockers have had an important role in improving prognosis.
Background: The treatment of heart failure has evolved in recent decades suggesting that survival is increasing. Methods: We retrospectively compared the treatment and follow-up data from two cohorts of patients with systolic heart failure admitted for compensation up to 2000 (n = 353) and after 2000 (n = 279). We analyzed in-hospital death, re-hospitalization and death in 1 year of follow-up. We used Mann-Whitney U test and chi-square test for comparison between groups. The predictors of mortality were identified by regression analysis through Cox proportional hazards model and survival analysis by the Kaplan-Meier survival analysis. Results: The patients admitted until 2000 were younger, had lower left ventricular impairment and received a lower proportion of beta-blockers at discharge. The survival of patients hospitalized before 2000 was lower than those hospitalized after 2000 (40.1% vs. 67.4%; p<0.001). The independent predictors of mortality in the regression analysis were: Chagas disease (hazard ratio: 1.9; 95% confidence interval: 1.3-3.0), angiotensin-converting-enzyme inhibitors (hazard ratio: 0.6; 95% confidence interval: 0.4-0.9), beta-blockers (hazard ratio: 0.3; 95% confidence interval: 0.2-0.5), creatinine ≥ 1.4 mg/dL (hazard ratio: 2.0; 95% confidence interval: 1.3-3.0), serum sodium ≤ 135 mEq/L (hazard ratio: 1.8; 95% confidence interval: 1.2-2.7). Conclusions: Patients with advanced heart failure showed a significant improvement in survival and reduction in re-hospitalizations. The neurohormonal blockade, with angiotensin-converting-enzyme inhibitors and beta-blockers, had an important role in increasing survival of these patients with advanced heart failure.
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[ "patients", "mortality", "2000", "blockers", "beta", "year", "survival", "beta blockers", "follow", "hospitalized" ]
[ "hospitalizations hf brazil2", "survival patients heart", "heart failure hf", "rates heart failure", "heart failure increased" ]
[CONTENT] Heart Failure / therapy | Prognosis | Heart Failure / mortality | Chagas Disease [SUMMARY]
[CONTENT] Heart Failure / therapy | Prognosis | Heart Failure / mortality | Chagas Disease [SUMMARY]
[CONTENT] Heart Failure / therapy | Prognosis | Heart Failure / mortality | Chagas Disease [SUMMARY]
[CONTENT] Heart Failure / therapy | Prognosis | Heart Failure / mortality | Chagas Disease [SUMMARY]
[CONTENT] Heart Failure / therapy | Prognosis | Heart Failure / mortality | Chagas Disease [SUMMARY]
[CONTENT] Heart Failure / therapy | Prognosis | Heart Failure / mortality | Chagas Disease [SUMMARY]
[CONTENT] Adrenergic beta-Antagonists | Adult | Aged | Angiotensin-Converting Enzyme Inhibitors | Blood Pressure | Brazil | Epidemiologic Methods | Female | Heart Failure | Hospital Mortality | Hospitalization | Humans | Male | Middle Aged | Prognosis | Retrospective Studies | Survival Rate | Time Factors [SUMMARY]
[CONTENT] Adrenergic beta-Antagonists | Adult | Aged | Angiotensin-Converting Enzyme Inhibitors | Blood Pressure | Brazil | Epidemiologic Methods | Female | Heart Failure | Hospital Mortality | Hospitalization | Humans | Male | Middle Aged | Prognosis | Retrospective Studies | Survival Rate | Time Factors [SUMMARY]
[CONTENT] Adrenergic beta-Antagonists | Adult | Aged | Angiotensin-Converting Enzyme Inhibitors | Blood Pressure | Brazil | Epidemiologic Methods | Female | Heart Failure | Hospital Mortality | Hospitalization | Humans | Male | Middle Aged | Prognosis | Retrospective Studies | Survival Rate | Time Factors [SUMMARY]
[CONTENT] Adrenergic beta-Antagonists | Adult | Aged | Angiotensin-Converting Enzyme Inhibitors | Blood Pressure | Brazil | Epidemiologic Methods | Female | Heart Failure | Hospital Mortality | Hospitalization | Humans | Male | Middle Aged | Prognosis | Retrospective Studies | Survival Rate | Time Factors [SUMMARY]
[CONTENT] Adrenergic beta-Antagonists | Adult | Aged | Angiotensin-Converting Enzyme Inhibitors | Blood Pressure | Brazil | Epidemiologic Methods | Female | Heart Failure | Hospital Mortality | Hospitalization | Humans | Male | Middle Aged | Prognosis | Retrospective Studies | Survival Rate | Time Factors [SUMMARY]
[CONTENT] Adrenergic beta-Antagonists | Adult | Aged | Angiotensin-Converting Enzyme Inhibitors | Blood Pressure | Brazil | Epidemiologic Methods | Female | Heart Failure | Hospital Mortality | Hospitalization | Humans | Male | Middle Aged | Prognosis | Retrospective Studies | Survival Rate | Time Factors [SUMMARY]
[CONTENT] hospitalizations hf brazil2 | survival patients heart | heart failure hf | rates heart failure | heart failure increased [SUMMARY]
[CONTENT] hospitalizations hf brazil2 | survival patients heart | heart failure hf | rates heart failure | heart failure increased [SUMMARY]
[CONTENT] hospitalizations hf brazil2 | survival patients heart | heart failure hf | rates heart failure | heart failure increased [SUMMARY]
[CONTENT] hospitalizations hf brazil2 | survival patients heart | heart failure hf | rates heart failure | heart failure increased [SUMMARY]
[CONTENT] hospitalizations hf brazil2 | survival patients heart | heart failure hf | rates heart failure | heart failure increased [SUMMARY]
[CONTENT] hospitalizations hf brazil2 | survival patients heart | heart failure hf | rates heart failure | heart failure increased [SUMMARY]
[CONTENT] patients | mortality | 2000 | blockers | beta | year | survival | beta blockers | follow | hospitalized [SUMMARY]
[CONTENT] patients | mortality | 2000 | blockers | beta | year | survival | beta blockers | follow | hospitalized [SUMMARY]
[CONTENT] patients | mortality | 2000 | blockers | beta | year | survival | beta blockers | follow | hospitalized [SUMMARY]
[CONTENT] patients | mortality | 2000 | blockers | beta | year | survival | beta blockers | follow | hospitalized [SUMMARY]
[CONTENT] patients | mortality | 2000 | blockers | beta | year | survival | beta blockers | follow | hospitalized [SUMMARY]
[CONTENT] patients | mortality | 2000 | blockers | beta | year | survival | beta blockers | follow | hospitalized [SUMMARY]
[CONTENT] changed | hf | patients | evolution | hf patients | life | quality | quality life | syndrome | high [SUMMARY]
[CONTENT] patients | model | variables | heart | subgroup | test | statistical | clinical laboratory | laboratory | analysis [SUMMARY]
[CONTENT] patients | year | 2000 | hospitalized | acei | angiotensin | blood | blood pressure | pressure | survival [SUMMARY]
[CONTENT] world survival patients | optimization neurohormonal blockers important | blockers important role improving | neurohormonal blockers important | neurohormonal blockers important role | survival patients heart failure | blockers important role | blockers important | survival patients heart | failure increased treatment optimization [SUMMARY]
[CONTENT] patients | 2000 | mortality | blockers | lower | beta | analysis | survival | follow | hf [SUMMARY]
[CONTENT] patients | 2000 | mortality | blockers | lower | beta | analysis | survival | follow | hf [SUMMARY]
[CONTENT] recent decades [SUMMARY]
[CONTENT] two | 353 | 2000 | 279 ||| 1 year ||| Mann-Whitney U ||| Cox [SUMMARY]
[CONTENT] 2000 ||| 2000 | 2000 | 40.1% | 67.4% ||| 1.9 | 95% | 1.3-3.0 | 0.6 | 95% | 0.4-0.9 | 0.3 | 95% | 0.2-0.5 | ≥ | 1.4 mg/dL | 2.0 | 95% | 1.3-3.0 | ≤ 135 mEq | 1.8 | 95% | 1.2-2.7 [SUMMARY]
[CONTENT] ||| [SUMMARY]
[CONTENT] recent decades ||| two | 353 | 2000 | 279 ||| 1 year ||| Mann-Whitney U ||| Cox ||| ||| 2000 ||| 2000 | 2000 | 40.1% | 67.4% ||| 1.9 | 95% | 1.3-3.0 | 0.6 | 95% | 0.4-0.9 | 0.3 | 95% | 0.2-0.5 | ≥ | 1.4 mg/dL | 2.0 | 95% | 1.3-3.0 | ≤ 135 mEq | 1.8 | 95% | 1.2-2.7 ||| ||| [SUMMARY]
[CONTENT] recent decades ||| two | 353 | 2000 | 279 ||| 1 year ||| Mann-Whitney U ||| Cox ||| ||| 2000 ||| 2000 | 2000 | 40.1% | 67.4% ||| 1.9 | 95% | 1.3-3.0 | 0.6 | 95% | 0.4-0.9 | 0.3 | 95% | 0.2-0.5 | ≥ | 1.4 mg/dL | 2.0 | 95% | 1.3-3.0 | ≤ 135 mEq | 1.8 | 95% | 1.2-2.7 ||| ||| [SUMMARY]
Association of a longitudinal, preclinical ultrasound curriculum with medical student performance.
35062942
Point-of-care ultrasound (US) is used in clinical practice across many specialties. Ultrasound (US) curricula for medical students are increasingly common. Optimal timing, structure, and effect of ultrasound education during medical school remains poorly understood. This study aims to retrospectively determine the association between participation in a preclinical, longitudinal US curriculum and medical student academic performance.
INTRODUCTION
All first-year medical students at a medical school in the Midwest region of the United States were offered a voluntary longitudinal US curriculum. Participants were selected by random lottery. The curriculum consisted of five three-hour hands on-sessions with matching asynchronous content covering anatomy and pathologic findings. Content was paired with organ system blocks in the standard first year curriculum at our medical school. Exam scores between the participating and non-participating students were compared to evaluate the objective impact of US education on performance in an existing curriculum. We hypothesized that there would be an association between participation in the curriculum and improved medical student performance. Secondary outcomes included shelf exam scores for the surgery, internal medicine, neurology clerkships and USMLE Step 1. A multivariable linear regression model was used to evaluate the association of US curriculum participation with student performance. Scores were adjusted for age, gender, MCAT percentile, and science or engineering degree.
METHODS
76 of 178 students applied to participate in the curriculum, of which 51 were accepted. US curriculum students were compared to non-participating students (n = 127) from the same class. The US curriculum students performed better in cardiovascular anatomy (mean score 92.1 vs. 88.7, p = 0.048 after adjustment for multiple comparisons). There were no significant differences in cumulative cardiovascular exam scores, or in anatomy and cumulative exam scores for the gastroenterology and neurology blocks. The effect of US curriculum participation on cardiovascular anatomy scores was estimated to be an improvement of 3.48 points (95% CI 0.78-6.18). No significant differences were observed for USMLE Step 1 or clerkship shelf exams. There were no significant differences in either preclinical, clerkship or Step 1 score for the 25 students who applied and were not accepted and the 102 who did not apply.
RESULTS
Participation in a preclinical longitudinal US curriculum was associated with improved exam performance in cardiovascular anatomy but not examination of other cardiovascular system concepts. Neither anatomy or comprehensive exam scores for neurology and gastrointestinal organ system blocks were improved.
CONCLUSIONS
[ "Clinical Clerkship", "Curriculum", "Education, Medical, Undergraduate", "Educational Measurement", "Humans", "Internal Medicine", "Retrospective Studies", "Students, Medical", "United States" ]
8780388
Introduction
Background Point-of-care ultrasound (POCUS) is an integral component of patient care and an important aspect of resident education across a variety of specialties such as emergency medicine [1, 2],, internal medicine [3, 4], family medicine [5], surgery [6], and anesthesiology [7]. POCUS curricula have been developed in medical schools across the country in recognition of the increasingly important role POCUS has across disciplines [8–11]. Undergraduate medical education (UME) POCUS curricula include one-day simulation labs, electives, longitudinal preclinical and clinical courses but these different approaches of POCUS education have had unclear association with medical student performance [11–13]. Students consider POCUS education to be an important part of their clinical education and future practice of medicine [14]. Trainees view POCUS education as valuable and provides them with more confidence in their diagnostic capabilities and ultrasound skills [12, 15, 16]. POCUS education is associated with improved student attitude, confidence, and ability to perform physical exams and improved evaluation of these exam skills in Objective Standardized Clinical Examination (OSCE) scores [17–20]. POCUS education has also been associated with increased student confidence in performance of bedside procedures [19, 21–23]. Kondrashov et al. evaluated the impact of an US course on anatomy knowledge, however a pre- and post-test created specifically for the course was used for assessment [24]. Overall, multiple studies have shown that student comprehension of anatomic concepts improve after completion of an US curriculum but have relied on student survey data as the method of assessment with limited longitudinal evaluation of student performance. A systematic and critical review published in 2017 reported that despite the growing support for POCUS education in UME, there is limited data to objectively express the impact of POCUS education on preclinical assessments and insufficient empirical evidence to substantiate claims of benefit [25]. This has led to calls for further evidence to define the optimal timing and role for ultrasound in UME [26]. Given the limited data, we sought to determine the effects of a longitudinal preclinical ultrasound (US) curriculum on medical student performance. Objectives Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Point-of-care ultrasound (POCUS) is an integral component of patient care and an important aspect of resident education across a variety of specialties such as emergency medicine [1, 2],, internal medicine [3, 4], family medicine [5], surgery [6], and anesthesiology [7]. POCUS curricula have been developed in medical schools across the country in recognition of the increasingly important role POCUS has across disciplines [8–11]. Undergraduate medical education (UME) POCUS curricula include one-day simulation labs, electives, longitudinal preclinical and clinical courses but these different approaches of POCUS education have had unclear association with medical student performance [11–13]. Students consider POCUS education to be an important part of their clinical education and future practice of medicine [14]. Trainees view POCUS education as valuable and provides them with more confidence in their diagnostic capabilities and ultrasound skills [12, 15, 16]. POCUS education is associated with improved student attitude, confidence, and ability to perform physical exams and improved evaluation of these exam skills in Objective Standardized Clinical Examination (OSCE) scores [17–20]. POCUS education has also been associated with increased student confidence in performance of bedside procedures [19, 21–23]. Kondrashov et al. evaluated the impact of an US course on anatomy knowledge, however a pre- and post-test created specifically for the course was used for assessment [24]. Overall, multiple studies have shown that student comprehension of anatomic concepts improve after completion of an US curriculum but have relied on student survey data as the method of assessment with limited longitudinal evaluation of student performance. A systematic and critical review published in 2017 reported that despite the growing support for POCUS education in UME, there is limited data to objectively express the impact of POCUS education on preclinical assessments and insufficient empirical evidence to substantiate claims of benefit [25]. This has led to calls for further evidence to define the optimal timing and role for ultrasound in UME [26]. Given the limited data, we sought to determine the effects of a longitudinal preclinical ultrasound (US) curriculum on medical student performance. Objectives Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content.
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Results
Student characteristics One hundred and seventy-eight medical students in the class were studied. Seventy-six (43%) applied for the longitudinal US curriculum and of these, fifty-one (29%) were accepted. These groups are enumerated in the study flow diagram (Fig. 1). There were no statistically significant differences between students who participated in the US curriculum and those that did not for age, gender, science or engineering undergraduate degree or MCAT percentile (Table 1). There were also no significant differences when these characteristics were compared with those students that applied but were not accepted as a separate group (Table S2). Table 1Student CharacteristicsUS CurriculumNo US Curriculump-valueNumber of students, n (%)51 (28.7%)127 (71.3%)Age, mean years (SD)24.9 (2.1)25 (2.1)0.696Female, n (%)23 (45.1%)74 (58.3%)0.153Science or engineering degree, n (%)33 (64.7%)14 (59.1%)0.597MCAT percentile, mean (SD)a91 (9.3)89.5 (10.5)0.371a3 students in the cohort did not have MCAT scores available Student Characteristics a3 students in the cohort did not have MCAT scores available One hundred and seventy-eight medical students in the class were studied. Seventy-six (43%) applied for the longitudinal US curriculum and of these, fifty-one (29%) were accepted. These groups are enumerated in the study flow diagram (Fig. 1). There were no statistically significant differences between students who participated in the US curriculum and those that did not for age, gender, science or engineering undergraduate degree or MCAT percentile (Table 1). There were also no significant differences when these characteristics were compared with those students that applied but were not accepted as a separate group (Table S2). Table 1Student CharacteristicsUS CurriculumNo US Curriculump-valueNumber of students, n (%)51 (28.7%)127 (71.3%)Age, mean years (SD)24.9 (2.1)25 (2.1)0.696Female, n (%)23 (45.1%)74 (58.3%)0.153Science or engineering degree, n (%)33 (64.7%)14 (59.1%)0.597MCAT percentile, mean (SD)a91 (9.3)89.5 (10.5)0.371a3 students in the cohort did not have MCAT scores available Student Characteristics a3 students in the cohort did not have MCAT scores available Preclinical organ block performance Students who participated in the US curriculum had a higher mean score for the CV anatomy Sect. (92.1 v 88.7, p = 0.008) (Table 2). However, this difference was not seen in the cumulative CV scores. There were no significant differences in either anatomy or cumulative exam scores in the GI and neurology blocks. After correction for multiple comparisons, the difference in mean CV anatomy scores remained statistically significant (p = 0.048). When students that applied but were not accepted were treated as a third separate group, students who participated in the US curriculum continued to have a higher mean score for CV anatomy (Table S3). The association between participation in the US curriculum and CV exam scores was estimated using multivariable linear regression with student age, gender, science or engineering degree status, and MCAT percentile as a priori selected covariates (Fig. 2). Participation in the US curriculum resulted in a significant increase in predicted CV anatomy scores (3.48 points, 95% CI 0.78 - 6.18). Other covariates were not associated with a significant effect. For the CV cumulative score, participation did not result in a significant effect although MCAT percentile did predict better performance (0.15 CV cumulative score points per MCAT percentile point, 95% CI 0.08 - 0.23). When students who applied but were not accepted were treated as a separate group in this model (Fig. S1), participation in the US curriculum also predicted higher CV anatomy scores with a similar magnitude (3.18 points, 95% CI 0.38 - 5.98). There was also no difference in CV cumulative scores with unaccepted students as a separate group and MCAT percentile remained predictive of higher CV cumulative score in this model (Fig. S2). Table 2First year organ block scoresOrgan system block, mean score (SD)US CurriculumNo US CurriculumDifference in meansc (95% CI)Cardiovascular - Anatomy92.1 (7.3)88.5 (8.3)3.4 (0.9 - 6.2)%Cardiovascular - Cumulativea90.5 (4.8)90.3 (5.3)0.2 (-1.5 - 1.9)Gastrointestinal - Anatomy84.6 (6.8)83.5 (8.9)0.8 (-1.6 - 3.9)Gastrointestinal - Cumulative87.0 (5.1)86.6 (5.7)0.2 (-1.4 - 2.2)Neurological - Anatomy81.7 (8.9)81.5 (8.8)0.2 (-2.7 - 3.1)Neurological – Cumulativeb82.8 (5.3)83.0 (5.1)-0.2 (-1.9 - 1.5)%p-value = 0.008 (0.048 after correction for six comparisons)a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excludedb1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excludedcNo US Curriculum is the reference group for difference in means First year organ block scores %p-value = 0.008 (0.048 after correction for six comparisons) a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excluded b1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excluded cNo US Curriculum is the reference group for difference in means Fig. 2A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test Students who participated in the US curriculum had a higher mean score for the CV anatomy Sect. (92.1 v 88.7, p = 0.008) (Table 2). However, this difference was not seen in the cumulative CV scores. There were no significant differences in either anatomy or cumulative exam scores in the GI and neurology blocks. After correction for multiple comparisons, the difference in mean CV anatomy scores remained statistically significant (p = 0.048). When students that applied but were not accepted were treated as a third separate group, students who participated in the US curriculum continued to have a higher mean score for CV anatomy (Table S3). The association between participation in the US curriculum and CV exam scores was estimated using multivariable linear regression with student age, gender, science or engineering degree status, and MCAT percentile as a priori selected covariates (Fig. 2). Participation in the US curriculum resulted in a significant increase in predicted CV anatomy scores (3.48 points, 95% CI 0.78 - 6.18). Other covariates were not associated with a significant effect. For the CV cumulative score, participation did not result in a significant effect although MCAT percentile did predict better performance (0.15 CV cumulative score points per MCAT percentile point, 95% CI 0.08 - 0.23). When students who applied but were not accepted were treated as a separate group in this model (Fig. S1), participation in the US curriculum also predicted higher CV anatomy scores with a similar magnitude (3.18 points, 95% CI 0.38 - 5.98). There was also no difference in CV cumulative scores with unaccepted students as a separate group and MCAT percentile remained predictive of higher CV cumulative score in this model (Fig. S2). Table 2First year organ block scoresOrgan system block, mean score (SD)US CurriculumNo US CurriculumDifference in meansc (95% CI)Cardiovascular - Anatomy92.1 (7.3)88.5 (8.3)3.4 (0.9 - 6.2)%Cardiovascular - Cumulativea90.5 (4.8)90.3 (5.3)0.2 (-1.5 - 1.9)Gastrointestinal - Anatomy84.6 (6.8)83.5 (8.9)0.8 (-1.6 - 3.9)Gastrointestinal - Cumulative87.0 (5.1)86.6 (5.7)0.2 (-1.4 - 2.2)Neurological - Anatomy81.7 (8.9)81.5 (8.8)0.2 (-2.7 - 3.1)Neurological – Cumulativeb82.8 (5.3)83.0 (5.1)-0.2 (-1.9 - 1.5)%p-value = 0.008 (0.048 after correction for six comparisons)a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excludedb1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excludedcNo US Curriculum is the reference group for difference in means First year organ block scores %p-value = 0.008 (0.048 after correction for six comparisons) a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excluded b1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excluded cNo US Curriculum is the reference group for difference in means Fig. 2A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test Clinical clerkship shelf exam and USMLE Step 1 performance Clerkship and USMLE Step 1 scores are detailed Table 3. Students who participated in the US curriculum did not score significantly higher in shelf exams for internal medicine, surgery and neurology. Mean surgery shelf exam scores were higher (77.3 vs. 74.6) for students who participated in the US curriculum although this difference did not reach statistical significance (p = 0.051). Students who participated in the US curriculum also had a mean USMLE Step 1 score that was higher (241.9 vs. 237.3) than students who did not participate in the US curriculum, but this difference was also not statistically significant (p = 0.081). Table 3Clerkship shelf scores and USMLE Step 1US CurriculumNo US Curriculump-valueUSMLE Step 1, mean score (SD)a241.9 (13.5)237.2 (17.1)0.081Internal medicine shelf exam, mean score (SD)b76.9 (7.7)75.1 (9.3)0.360Neurology shelf exam, mean score (SD)c87.1 (6.0)86.4 (6.5)0.212Surgery shelf exam, mean score (SD)d77.3 (7.0)74.6 (8.5)0.051a7 students in the cohort did not have USMLE Step 1 scores availableb3 students did not have internal medicine shelf exam scores availablec2 students did not have neurology shelf exam scores availabled2 students did not have surgery shelf exam scores available Clerkship shelf scores and USMLE Step 1 a7 students in the cohort did not have USMLE Step 1 scores available b3 students did not have internal medicine shelf exam scores available c2 students did not have neurology shelf exam scores available d2 students did not have surgery shelf exam scores available Clerkship and USMLE Step 1 scores are detailed Table 3. Students who participated in the US curriculum did not score significantly higher in shelf exams for internal medicine, surgery and neurology. Mean surgery shelf exam scores were higher (77.3 vs. 74.6) for students who participated in the US curriculum although this difference did not reach statistical significance (p = 0.051). Students who participated in the US curriculum also had a mean USMLE Step 1 score that was higher (241.9 vs. 237.3) than students who did not participate in the US curriculum, but this difference was also not statistically significant (p = 0.081). Table 3Clerkship shelf scores and USMLE Step 1US CurriculumNo US Curriculump-valueUSMLE Step 1, mean score (SD)a241.9 (13.5)237.2 (17.1)0.081Internal medicine shelf exam, mean score (SD)b76.9 (7.7)75.1 (9.3)0.360Neurology shelf exam, mean score (SD)c87.1 (6.0)86.4 (6.5)0.212Surgery shelf exam, mean score (SD)d77.3 (7.0)74.6 (8.5)0.051a7 students in the cohort did not have USMLE Step 1 scores availableb3 students did not have internal medicine shelf exam scores availablec2 students did not have neurology shelf exam scores availabled2 students did not have surgery shelf exam scores available Clerkship shelf scores and USMLE Step 1 a7 students in the cohort did not have USMLE Step 1 scores available b3 students did not have internal medicine shelf exam scores available c2 students did not have neurology shelf exam scores available d2 students did not have surgery shelf exam scores available
Conclusions
Participation in a preclinical longitudinal US curriculum was associated with improved exam performance in cardiovascular anatomy but not the exam score for a comprehensive exam of other cardiovascular system concepts. Neither anatomy or comprehensive exam scores for neurology and gastrointestinal organ system blocks were improved. Future studies can further evaluate this association with a more expansive curriculum to include renal, musculoskeletal, and obstetric ultrasound and its association with the corresponding preclinical and clinical courses. Additionally, prospective data collection for US curriculum specific effects or use of a control intervention may be required to further elucidate the impact of preclinical US curricula. While further studies across multiple institutions and medical school classes is required, implementation of a dedicated US curriculum early in medical training may improve performance in subsequent preclinical and clinical coursework.
[ "Background", "Objectives", "Methods", "Study Design", "Study setting and medical school curriculum", "Testing and evaluation", "Selection of participants and predictor variables", "Ultrasound curriculum", "Selection of preclinical and clinical block outcomes", "Statistical Analysis", "Student characteristics", "Preclinical organ block performance", "Clinical clerkship shelf exam and USMLE Step 1 performance", "Limitations", "" ]
[ "Point-of-care ultrasound (POCUS) is an integral component of patient care and an important aspect of resident education across a variety of specialties such as emergency medicine [1, 2],, internal medicine [3, 4], family medicine [5], surgery [6], and anesthesiology [7]. POCUS curricula have been developed in medical schools across the country in recognition of the increasingly important role POCUS has across disciplines [8–11]. Undergraduate medical education (UME) POCUS curricula include one-day simulation labs, electives, longitudinal preclinical and clinical courses but these different approaches of POCUS education have had unclear association with medical student performance [11–13].\nStudents consider POCUS education to be an important part of their clinical education and future practice of medicine [14]. Trainees view POCUS education as valuable and provides them with more confidence in their diagnostic capabilities and ultrasound skills [12, 15, 16]. POCUS education is associated with improved student attitude, confidence, and ability to perform physical exams and improved evaluation of these exam skills in Objective Standardized Clinical Examination (OSCE) scores [17–20]. POCUS education has also been associated with increased student confidence in performance of bedside procedures [19, 21–23]. Kondrashov et al. evaluated the impact of an US course on anatomy knowledge, however a pre- and post-test created specifically for the course was used for assessment [24].\nOverall, multiple studies have shown that student comprehension of anatomic concepts improve after completion of an US curriculum but have relied on student survey data as the method of assessment with limited longitudinal evaluation of student performance. A systematic and critical review published in 2017 reported that despite the growing support for POCUS education in UME, there is limited data to objectively express the impact of POCUS education on preclinical assessments and insufficient empirical evidence to substantiate claims of benefit [25]. This has led to calls for further evidence to define the optimal timing and role for ultrasound in UME [26]. Given the limited data, we sought to determine the effects of a longitudinal preclinical ultrasound (US) curriculum on medical student performance.\n Objectives Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content.\nOur primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content.", "Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content.", " Study Design This study was determined to be exempt by our institution’s IRB and was approved by the medical school’s Office of Evaluation and Assessment. This study was as a retrospective cohort study conducted at a single medical school in the Midwest region of the United States. The outcomes of interest were medical student performance in preclinical and clinical courses as well as the USMLE Step 1. The primary exposure of interest was participation in an optional preclinical, longitudinal US curriculum that occurred during the students’ first year.\nThis study was determined to be exempt by our institution’s IRB and was approved by the medical school’s Office of Evaluation and Assessment. This study was as a retrospective cohort study conducted at a single medical school in the Midwest region of the United States. The outcomes of interest were medical student performance in preclinical and clinical courses as well as the USMLE Step 1. The primary exposure of interest was participation in an optional preclinical, longitudinal US curriculum that occurred during the students’ first year.\n Study setting and medical school curriculum Our institution’s medical school has approximately 180 students per class. During this study, the preclinical curriculum was divided into blocks by organ system. The organ systems were divided into cardiovascular, pulmonary, renal, gastrointestinal, hematology/oncology, endocrine/reproduction, musculoskeletal, neurology, dermatology, psychiatry, and infectious diseases blocks. The preclinical curriculum is approximately 1.5 years with students learning normal anatomy, physiology, histology, embryology, pharmacology and pathophysiology within each block. The anatomy lab curriculum ran concurrently within these organ blocks. Students met for in-person cadaver lab sessions one to two times per week. Students began clinical rotations 1.5 years after matriculating to medical school. Core required clinical rotations included internal medicine, surgery, neurology, psychiatry, obstetrics/gynecology, pediatrics, and family medicine. USMLE Step 1 examination occurred at the end of their clinical rotations, which was generally 2.5 years into their training.\nOur institution’s medical school has approximately 180 students per class. During this study, the preclinical curriculum was divided into blocks by organ system. The organ systems were divided into cardiovascular, pulmonary, renal, gastrointestinal, hematology/oncology, endocrine/reproduction, musculoskeletal, neurology, dermatology, psychiatry, and infectious diseases blocks. The preclinical curriculum is approximately 1.5 years with students learning normal anatomy, physiology, histology, embryology, pharmacology and pathophysiology within each block. The anatomy lab curriculum ran concurrently within these organ blocks. Students met for in-person cadaver lab sessions one to two times per week. Students began clinical rotations 1.5 years after matriculating to medical school. Core required clinical rotations included internal medicine, surgery, neurology, psychiatry, obstetrics/gynecology, pediatrics, and family medicine. USMLE Step 1 examination occurred at the end of their clinical rotations, which was generally 2.5 years into their training.\n Testing and evaluation During the preclinical curriculum, students were evaluated with weekly or biweekly online multiple-choice exams followed by an end of block online multiple-choice final exam. The periodic exams included two anatomy questions per exam, and the final exam had two questions per cadaver lab session per block. The final exam was also accompanied by an in-person anatomy practical for which students were required to identify structures in a write-in exam. The anatomy exam score for each block was derived from the in-person practical as the percentage of correct out of total questions. The comprehensive exam score for each block was the percentage correct of all other evaluations including periodic quizzes and final exam, excluding the anatomy practical. During clinical rotations, students are evaluated with standardized National Board of Medical Examiners (NBME) shelf exams with the exception of the neurology exam, which was an institutional exam developed by the neurology clerkship director.\nDuring the preclinical curriculum, students were evaluated with weekly or biweekly online multiple-choice exams followed by an end of block online multiple-choice final exam. The periodic exams included two anatomy questions per exam, and the final exam had two questions per cadaver lab session per block. The final exam was also accompanied by an in-person anatomy practical for which students were required to identify structures in a write-in exam. The anatomy exam score for each block was derived from the in-person practical as the percentage of correct out of total questions. The comprehensive exam score for each block was the percentage correct of all other evaluations including periodic quizzes and final exam, excluding the anatomy practical. During clinical rotations, students are evaluated with standardized National Board of Medical Examiners (NBME) shelf exams with the exception of the neurology exam, which was an institutional exam developed by the neurology clerkship director.\n Selection of participants and predictor variables Shortly after matriculating, all students entering medical school in the fall of 2018 were offered a voluntary longitudinal US curriculum that was paired with their organ system blocks. The optional curriculum was advertised via email to the entire class and two email reminders were also delivered. Students were not asked to specifically decline the curriculum. Students applied for the curriculum and participants were selected by random lottery. Random selection was required because the maximum number of students was limited by physical space and number of instructors. The study flow diagram is detailed in Fig. 1. Students were considered using two different sets of categories. The primary set of comparisons was between students who participated and those that did not. The second set of comparisons, which was conducted as a supplemental analysis, was between three groups: accepted to the US curriculum, applied but not accepted, or did not apply. Acceptance into the program was randomly assigned from all applicants and does not represent selection based on merit. We conducted this second set of comparisons to control for students who might have shown more inherent interest in US and anatomy that might be associated with participation in the US program. For primary analyses age, gender, undergraduate degree, and Medical College Admission Test (MCAT) score percentile were also selected a priori as predictor variables.\n\nFig. 1Study flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class\nStudy flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class\nShortly after matriculating, all students entering medical school in the fall of 2018 were offered a voluntary longitudinal US curriculum that was paired with their organ system blocks. The optional curriculum was advertised via email to the entire class and two email reminders were also delivered. Students were not asked to specifically decline the curriculum. Students applied for the curriculum and participants were selected by random lottery. Random selection was required because the maximum number of students was limited by physical space and number of instructors. The study flow diagram is detailed in Fig. 1. Students were considered using two different sets of categories. The primary set of comparisons was between students who participated and those that did not. The second set of comparisons, which was conducted as a supplemental analysis, was between three groups: accepted to the US curriculum, applied but not accepted, or did not apply. Acceptance into the program was randomly assigned from all applicants and does not represent selection based on merit. We conducted this second set of comparisons to control for students who might have shown more inherent interest in US and anatomy that might be associated with participation in the US program. For primary analyses age, gender, undergraduate degree, and Medical College Admission Test (MCAT) score percentile were also selected a priori as predictor variables.\n\nFig. 1Study flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class\nStudy flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class\n Ultrasound curriculum The selected students participated in five separate three hour hands-on sessions for a total of 15 h of in-person ultrasound education. Attendance by the selected students for all the sessions was mandatory. The five sessions were focused on head & neck, cardiovascular, abdominal, musculoskeletal, and procedural ultrasound. The sessions temporally aligned with the current block in their regular curriculum except for the procedural ultrasound session, which occurred during the students’ neurology block. Topics covered during each session are detailed in Table S1.\nEach session was led by ultrasound trained faculty from the Departments of Emergency Medicine (EM) and Radiology with ultrasound trained residents and fellows also serving as small group instructors. Faculty from Radiology were board certified radiologists. Faculty from EM were designated Clinical Ultrasound faculty by the department. Fellows were either board eligible radiologists training in a radiology subspecialty or board eligible emergency physicians in fellowship for advanced emergency ultrasound. Residents leading small groups were senior EM residents participating in the advance ultrasound professional development track. Students performed instructor led practice scans on each other or paid models. Prior to the session, students were sent instructional videos detailing image acquisition and a review of anatomy using ultrasound images. The instructional videos were created by senior medical students with supervision by ultrasound trained faculty and each was less than 10 min in length. During the procedural ultrasound session, they practiced basic bedside procedures such as central and peripheral intravenous line placement on simulators. Students were divided into groups of up to 5 students per instructor for the hands-on practice. For each session, the videos and small groups covered the topics listed in Table S1. Small group instructors provided bedside teaching including guidance on anatomy, external landmarks, machine use, image acquisition technique, and clinical relevance of ultrasound findings.\nThe selected students participated in five separate three hour hands-on sessions for a total of 15 h of in-person ultrasound education. Attendance by the selected students for all the sessions was mandatory. The five sessions were focused on head & neck, cardiovascular, abdominal, musculoskeletal, and procedural ultrasound. The sessions temporally aligned with the current block in their regular curriculum except for the procedural ultrasound session, which occurred during the students’ neurology block. Topics covered during each session are detailed in Table S1.\nEach session was led by ultrasound trained faculty from the Departments of Emergency Medicine (EM) and Radiology with ultrasound trained residents and fellows also serving as small group instructors. Faculty from Radiology were board certified radiologists. Faculty from EM were designated Clinical Ultrasound faculty by the department. Fellows were either board eligible radiologists training in a radiology subspecialty or board eligible emergency physicians in fellowship for advanced emergency ultrasound. Residents leading small groups were senior EM residents participating in the advance ultrasound professional development track. Students performed instructor led practice scans on each other or paid models. Prior to the session, students were sent instructional videos detailing image acquisition and a review of anatomy using ultrasound images. The instructional videos were created by senior medical students with supervision by ultrasound trained faculty and each was less than 10 min in length. During the procedural ultrasound session, they practiced basic bedside procedures such as central and peripheral intravenous line placement on simulators. Students were divided into groups of up to 5 students per instructor for the hands-on practice. For each session, the videos and small groups covered the topics listed in Table S1. Small group instructors provided bedside teaching including guidance on anatomy, external landmarks, machine use, image acquisition technique, and clinical relevance of ultrasound findings.\n Selection of preclinical and clinical block outcomes Cardiovascular (CV), gastrointestinal (GI) and neurology block outcomes were selected from the preclinical curriculum. CV and GI blocks were matched to ultrasound curriculum hands-on sessions. The neurology block was not matched to an ultrasound session and served as a control. The musculoskeletal block was not included due to limited content overlap with the ultrasound session. We considered preclinical performance to be the primary outcome and within each block we analyzed cumulative block grades and separate anatomy grades. Secondary outcomes included shelf exam scores from the internal medicine, surgery, and neurology clerkships as well as USMLE Step 1 score. These clerkship exams were selected for overlap in content areas with the selected preclinical blocks. Other clinical and preclinical blocks were not selected because they were not matched in content to an ultrasound curriculum session and to limit multiple hypothesis testing.\nCardiovascular (CV), gastrointestinal (GI) and neurology block outcomes were selected from the preclinical curriculum. CV and GI blocks were matched to ultrasound curriculum hands-on sessions. The neurology block was not matched to an ultrasound session and served as a control. The musculoskeletal block was not included due to limited content overlap with the ultrasound session. We considered preclinical performance to be the primary outcome and within each block we analyzed cumulative block grades and separate anatomy grades. Secondary outcomes included shelf exam scores from the internal medicine, surgery, and neurology clerkships as well as USMLE Step 1 score. These clerkship exams were selected for overlap in content areas with the selected preclinical blocks. Other clinical and preclinical blocks were not selected because they were not matched in content to an ultrasound curriculum session and to limit multiple hypothesis testing.\n Statistical Analysis Descriptive statistics were performed on all predictor and outcome variables. Continuous variables were described by means with standard deviations and evaluation for statistically significant differences by group using two sample t-tests or one-way analysis of variance for the supplemental three-group comparison. Categorical variables were described by counts with percentages and compared using the chi squared test. Multivariable linear regression was used to determine the association of participation in the US curriculum with preclinical exam scores after adjustment for MCAT percentile, undergraduate science or engineering major, age and gender of the student. Bonferroni correction was used to adjust p-values for six comparisons in the analysis of preclinical exam scores. All statistical analyses were performed in RStudio version 1.2.5 (RStudio, Boston, MA) with R version 3.6.2 (The R Foundation, Vienna, Austria).\nDescriptive statistics were performed on all predictor and outcome variables. Continuous variables were described by means with standard deviations and evaluation for statistically significant differences by group using two sample t-tests or one-way analysis of variance for the supplemental three-group comparison. Categorical variables were described by counts with percentages and compared using the chi squared test. Multivariable linear regression was used to determine the association of participation in the US curriculum with preclinical exam scores after adjustment for MCAT percentile, undergraduate science or engineering major, age and gender of the student. Bonferroni correction was used to adjust p-values for six comparisons in the analysis of preclinical exam scores. All statistical analyses were performed in RStudio version 1.2.5 (RStudio, Boston, MA) with R version 3.6.2 (The R Foundation, Vienna, Austria).", "This study was determined to be exempt by our institution’s IRB and was approved by the medical school’s Office of Evaluation and Assessment. This study was as a retrospective cohort study conducted at a single medical school in the Midwest region of the United States. The outcomes of interest were medical student performance in preclinical and clinical courses as well as the USMLE Step 1. The primary exposure of interest was participation in an optional preclinical, longitudinal US curriculum that occurred during the students’ first year.", "Our institution’s medical school has approximately 180 students per class. During this study, the preclinical curriculum was divided into blocks by organ system. The organ systems were divided into cardiovascular, pulmonary, renal, gastrointestinal, hematology/oncology, endocrine/reproduction, musculoskeletal, neurology, dermatology, psychiatry, and infectious diseases blocks. The preclinical curriculum is approximately 1.5 years with students learning normal anatomy, physiology, histology, embryology, pharmacology and pathophysiology within each block. The anatomy lab curriculum ran concurrently within these organ blocks. Students met for in-person cadaver lab sessions one to two times per week. Students began clinical rotations 1.5 years after matriculating to medical school. Core required clinical rotations included internal medicine, surgery, neurology, psychiatry, obstetrics/gynecology, pediatrics, and family medicine. USMLE Step 1 examination occurred at the end of their clinical rotations, which was generally 2.5 years into their training.", "During the preclinical curriculum, students were evaluated with weekly or biweekly online multiple-choice exams followed by an end of block online multiple-choice final exam. The periodic exams included two anatomy questions per exam, and the final exam had two questions per cadaver lab session per block. The final exam was also accompanied by an in-person anatomy practical for which students were required to identify structures in a write-in exam. The anatomy exam score for each block was derived from the in-person practical as the percentage of correct out of total questions. The comprehensive exam score for each block was the percentage correct of all other evaluations including periodic quizzes and final exam, excluding the anatomy practical. During clinical rotations, students are evaluated with standardized National Board of Medical Examiners (NBME) shelf exams with the exception of the neurology exam, which was an institutional exam developed by the neurology clerkship director.", "Shortly after matriculating, all students entering medical school in the fall of 2018 were offered a voluntary longitudinal US curriculum that was paired with their organ system blocks. The optional curriculum was advertised via email to the entire class and two email reminders were also delivered. Students were not asked to specifically decline the curriculum. Students applied for the curriculum and participants were selected by random lottery. Random selection was required because the maximum number of students was limited by physical space and number of instructors. The study flow diagram is detailed in Fig. 1. Students were considered using two different sets of categories. The primary set of comparisons was between students who participated and those that did not. The second set of comparisons, which was conducted as a supplemental analysis, was between three groups: accepted to the US curriculum, applied but not accepted, or did not apply. Acceptance into the program was randomly assigned from all applicants and does not represent selection based on merit. We conducted this second set of comparisons to control for students who might have shown more inherent interest in US and anatomy that might be associated with participation in the US program. For primary analyses age, gender, undergraduate degree, and Medical College Admission Test (MCAT) score percentile were also selected a priori as predictor variables.\n\nFig. 1Study flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class\nStudy flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class", "The selected students participated in five separate three hour hands-on sessions for a total of 15 h of in-person ultrasound education. Attendance by the selected students for all the sessions was mandatory. The five sessions were focused on head & neck, cardiovascular, abdominal, musculoskeletal, and procedural ultrasound. The sessions temporally aligned with the current block in their regular curriculum except for the procedural ultrasound session, which occurred during the students’ neurology block. Topics covered during each session are detailed in Table S1.\nEach session was led by ultrasound trained faculty from the Departments of Emergency Medicine (EM) and Radiology with ultrasound trained residents and fellows also serving as small group instructors. Faculty from Radiology were board certified radiologists. Faculty from EM were designated Clinical Ultrasound faculty by the department. Fellows were either board eligible radiologists training in a radiology subspecialty or board eligible emergency physicians in fellowship for advanced emergency ultrasound. Residents leading small groups were senior EM residents participating in the advance ultrasound professional development track. Students performed instructor led practice scans on each other or paid models. Prior to the session, students were sent instructional videos detailing image acquisition and a review of anatomy using ultrasound images. The instructional videos were created by senior medical students with supervision by ultrasound trained faculty and each was less than 10 min in length. During the procedural ultrasound session, they practiced basic bedside procedures such as central and peripheral intravenous line placement on simulators. Students were divided into groups of up to 5 students per instructor for the hands-on practice. For each session, the videos and small groups covered the topics listed in Table S1. Small group instructors provided bedside teaching including guidance on anatomy, external landmarks, machine use, image acquisition technique, and clinical relevance of ultrasound findings.", "Cardiovascular (CV), gastrointestinal (GI) and neurology block outcomes were selected from the preclinical curriculum. CV and GI blocks were matched to ultrasound curriculum hands-on sessions. The neurology block was not matched to an ultrasound session and served as a control. The musculoskeletal block was not included due to limited content overlap with the ultrasound session. We considered preclinical performance to be the primary outcome and within each block we analyzed cumulative block grades and separate anatomy grades. Secondary outcomes included shelf exam scores from the internal medicine, surgery, and neurology clerkships as well as USMLE Step 1 score. These clerkship exams were selected for overlap in content areas with the selected preclinical blocks. Other clinical and preclinical blocks were not selected because they were not matched in content to an ultrasound curriculum session and to limit multiple hypothesis testing.", "Descriptive statistics were performed on all predictor and outcome variables. Continuous variables were described by means with standard deviations and evaluation for statistically significant differences by group using two sample t-tests or one-way analysis of variance for the supplemental three-group comparison. Categorical variables were described by counts with percentages and compared using the chi squared test. Multivariable linear regression was used to determine the association of participation in the US curriculum with preclinical exam scores after adjustment for MCAT percentile, undergraduate science or engineering major, age and gender of the student. Bonferroni correction was used to adjust p-values for six comparisons in the analysis of preclinical exam scores. All statistical analyses were performed in RStudio version 1.2.5 (RStudio, Boston, MA) with R version 3.6.2 (The R Foundation, Vienna, Austria).", "One hundred and seventy-eight medical students in the class were studied. Seventy-six (43%) applied for the longitudinal US curriculum and of these, fifty-one (29%) were accepted. These groups are enumerated in the study flow diagram (Fig. 1). There were no statistically significant differences between students who participated in the US curriculum and those that did not for age, gender, science or engineering undergraduate degree or MCAT percentile (Table 1). There were also no significant differences when these characteristics were compared with those students that applied but were not accepted as a separate group (Table S2).\nTable 1Student CharacteristicsUS CurriculumNo US Curriculump-valueNumber of students, n (%)51 (28.7%)127 (71.3%)Age, mean years (SD)24.9 (2.1)25 (2.1)0.696Female, n (%)23 (45.1%)74 (58.3%)0.153Science or engineering degree, n (%)33 (64.7%)14 (59.1%)0.597MCAT percentile, mean (SD)a91 (9.3)89.5 (10.5)0.371a3 students in the cohort did not have MCAT scores available\nStudent Characteristics\na3 students in the cohort did not have MCAT scores available", "Students who participated in the US curriculum had a higher mean score for the CV anatomy Sect. (92.1 v 88.7, p = 0.008) (Table 2). However, this difference was not seen in the cumulative CV scores. There were no significant differences in either anatomy or cumulative exam scores in the GI and neurology blocks. After correction for multiple comparisons, the difference in mean CV anatomy scores remained statistically significant (p = 0.048). When students that applied but were not accepted were treated as a third separate group, students who participated in the US curriculum continued to have a higher mean score for CV anatomy (Table S3). The association between participation in the US curriculum and CV exam scores was estimated using multivariable linear regression with student age, gender, science or engineering degree status, and MCAT percentile as a priori selected covariates (Fig. 2). Participation in the US curriculum resulted in a significant increase in predicted CV anatomy scores (3.48 points, 95% CI 0.78 - 6.18). Other covariates were not associated with a significant effect. For the CV cumulative score, participation did not result in a significant effect although MCAT percentile did predict better performance (0.15 CV cumulative score points per MCAT percentile point, 95% CI 0.08 - 0.23). When students who applied but were not accepted were treated as a separate group in this model (Fig. S1), participation in the US curriculum also predicted higher CV anatomy scores with a similar magnitude (3.18 points, 95% CI 0.38 - 5.98). There was also no difference in CV cumulative scores with unaccepted students as a separate group and MCAT percentile remained predictive of higher CV cumulative score in this model (Fig. S2).\nTable 2First year organ block scoresOrgan system block, mean score (SD)US CurriculumNo US CurriculumDifference in meansc (95% CI)Cardiovascular - Anatomy92.1 (7.3)88.5 (8.3)3.4 (0.9 - 6.2)%Cardiovascular - Cumulativea90.5 (4.8)90.3 (5.3)0.2 (-1.5 - 1.9)Gastrointestinal - Anatomy84.6 (6.8)83.5 (8.9)0.8 (-1.6 - 3.9)Gastrointestinal - Cumulative87.0 (5.1)86.6 (5.7)0.2 (-1.4 - 2.2)Neurological - Anatomy81.7 (8.9)81.5 (8.8)0.2 (-2.7 - 3.1)Neurological – Cumulativeb82.8 (5.3)83.0 (5.1)-0.2 (-1.9 - 1.5)%p-value = 0.008 (0.048 after correction for six comparisons)a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excludedb1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excludedcNo US Curriculum is the reference group for difference in means\nFirst year organ block scores\n%p-value = 0.008 (0.048 after correction for six comparisons)\na1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excluded\nb1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excluded\ncNo US Curriculum is the reference group for difference in means\n\nFig. 2A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test\nA Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test", "Clerkship and USMLE Step 1 scores are detailed Table 3. Students who participated in the US curriculum did not score significantly higher in shelf exams for internal medicine, surgery and neurology. Mean surgery shelf exam scores were higher (77.3 vs. 74.6) for students who participated in the US curriculum although this difference did not reach statistical significance (p = 0.051). Students who participated in the US curriculum also had a mean USMLE Step 1 score that was higher (241.9 vs. 237.3) than students who did not participate in the US curriculum, but this difference was also not statistically significant (p = 0.081).\nTable 3Clerkship shelf scores and USMLE Step 1US CurriculumNo US Curriculump-valueUSMLE Step 1, mean score (SD)a241.9 (13.5)237.2 (17.1)0.081Internal medicine shelf exam, mean score (SD)b76.9 (7.7)75.1 (9.3)0.360Neurology shelf exam, mean score (SD)c87.1 (6.0)86.4 (6.5)0.212Surgery shelf exam, mean score (SD)d77.3 (7.0)74.6 (8.5)0.051a7 students in the cohort did not have USMLE Step 1 scores availableb3 students did not have internal medicine shelf exam scores availablec2 students did not have neurology shelf exam scores availabled2 students did not have surgery shelf exam scores available\nClerkship shelf scores and USMLE Step 1\na7 students in the cohort did not have USMLE Step 1 scores available\nb3 students did not have internal medicine shelf exam scores available\nc2 students did not have neurology shelf exam scores available\nd2 students did not have surgery shelf exam scores available", "Our study was limited in size to a single medical school class entering in the Fall of 2018. Thus, preclinical and clinical performance may have been affected by class specific effects. However, this may also have the effect of limiting heterogeneity from other curriculum and evaluation changes that occur year-to-year. Selection bias may also have impacted our results, as we relied on volunteers to sign up for the ultrasound curriculum. This could lead to a self-selecting population of anatomy-savvy students or higher performing students signing up for this course. However, when comparing students that volunteered for the US curriculum but were not accepted, students that participated in the curriculum continued to outperform both those that did not apply and those that were not selected in CV anatomy (Figure S1). We were not able to provide the US curriculum to all students who applied due to limitations on physical space, equipment and instructors. These resource limitations necessitated random selection of students from the pool that applied.\nOur US curriculum included an additional 15 h of structured instruction time but students that did not participate in the US curriculum were not required to attend other structured coursework during this time. This may confound interpretation of our results as some students may have used this additional time for independent study or non-academic activities. Furthermore, students participated in the US curriculum only during their first year and the effect of the US curriculum may wane over subsequent years.\nOur study’s generalizability and reliability is subject to some of the same issues as many single-site interventions. While our institution’s medical school uses standardized, best practices based assessments of medical students this is not universal. Specific organ block preclinical exams covering anatomy, physiology and pathophysiology may differ across institutions and by year within institutions. Additionally, our neurology shelf exam is not a nationally standardized exam. Our US curriculum was primarily taught by instructors from the Departments of Emergency Medicine and Radiology leading to a focus on application of ultrasound specific to these two specialties. This may limit the applicability of our results to institutions with similar instructors. Despite these limitations, to our knowledge, this is the first study to evaluate the influence of a longitudinal US curriculum on medical student performance on individual preclinical and clinical courses as well as USMLE Step 1.", "\nAdditional file 1.Additional file 2.Additional file 3.\nAdditional file 1.\nAdditional file 2.\nAdditional file 3." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Background", "Objectives", "Methods", "Study Design", "Study setting and medical school curriculum", "Testing and evaluation", "Selection of participants and predictor variables", "Ultrasound curriculum", "Selection of preclinical and clinical block outcomes", "Statistical Analysis", "Results", "Student characteristics", "Preclinical organ block performance", "Clinical clerkship shelf exam and USMLE Step 1 performance", "Discussion", "Limitations", "Conclusions", "Supplementary Information", "" ]
[ " Background Point-of-care ultrasound (POCUS) is an integral component of patient care and an important aspect of resident education across a variety of specialties such as emergency medicine [1, 2],, internal medicine [3, 4], family medicine [5], surgery [6], and anesthesiology [7]. POCUS curricula have been developed in medical schools across the country in recognition of the increasingly important role POCUS has across disciplines [8–11]. Undergraduate medical education (UME) POCUS curricula include one-day simulation labs, electives, longitudinal preclinical and clinical courses but these different approaches of POCUS education have had unclear association with medical student performance [11–13].\nStudents consider POCUS education to be an important part of their clinical education and future practice of medicine [14]. Trainees view POCUS education as valuable and provides them with more confidence in their diagnostic capabilities and ultrasound skills [12, 15, 16]. POCUS education is associated with improved student attitude, confidence, and ability to perform physical exams and improved evaluation of these exam skills in Objective Standardized Clinical Examination (OSCE) scores [17–20]. POCUS education has also been associated with increased student confidence in performance of bedside procedures [19, 21–23]. Kondrashov et al. evaluated the impact of an US course on anatomy knowledge, however a pre- and post-test created specifically for the course was used for assessment [24].\nOverall, multiple studies have shown that student comprehension of anatomic concepts improve after completion of an US curriculum but have relied on student survey data as the method of assessment with limited longitudinal evaluation of student performance. A systematic and critical review published in 2017 reported that despite the growing support for POCUS education in UME, there is limited data to objectively express the impact of POCUS education on preclinical assessments and insufficient empirical evidence to substantiate claims of benefit [25]. This has led to calls for further evidence to define the optimal timing and role for ultrasound in UME [26]. Given the limited data, we sought to determine the effects of a longitudinal preclinical ultrasound (US) curriculum on medical student performance.\n Objectives Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content.\nOur primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content.\nPoint-of-care ultrasound (POCUS) is an integral component of patient care and an important aspect of resident education across a variety of specialties such as emergency medicine [1, 2],, internal medicine [3, 4], family medicine [5], surgery [6], and anesthesiology [7]. POCUS curricula have been developed in medical schools across the country in recognition of the increasingly important role POCUS has across disciplines [8–11]. Undergraduate medical education (UME) POCUS curricula include one-day simulation labs, electives, longitudinal preclinical and clinical courses but these different approaches of POCUS education have had unclear association with medical student performance [11–13].\nStudents consider POCUS education to be an important part of their clinical education and future practice of medicine [14]. Trainees view POCUS education as valuable and provides them with more confidence in their diagnostic capabilities and ultrasound skills [12, 15, 16]. POCUS education is associated with improved student attitude, confidence, and ability to perform physical exams and improved evaluation of these exam skills in Objective Standardized Clinical Examination (OSCE) scores [17–20]. POCUS education has also been associated with increased student confidence in performance of bedside procedures [19, 21–23]. Kondrashov et al. evaluated the impact of an US course on anatomy knowledge, however a pre- and post-test created specifically for the course was used for assessment [24].\nOverall, multiple studies have shown that student comprehension of anatomic concepts improve after completion of an US curriculum but have relied on student survey data as the method of assessment with limited longitudinal evaluation of student performance. A systematic and critical review published in 2017 reported that despite the growing support for POCUS education in UME, there is limited data to objectively express the impact of POCUS education on preclinical assessments and insufficient empirical evidence to substantiate claims of benefit [25]. This has led to calls for further evidence to define the optimal timing and role for ultrasound in UME [26]. Given the limited data, we sought to determine the effects of a longitudinal preclinical ultrasound (US) curriculum on medical student performance.\n Objectives Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content.\nOur primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content.", "Point-of-care ultrasound (POCUS) is an integral component of patient care and an important aspect of resident education across a variety of specialties such as emergency medicine [1, 2],, internal medicine [3, 4], family medicine [5], surgery [6], and anesthesiology [7]. POCUS curricula have been developed in medical schools across the country in recognition of the increasingly important role POCUS has across disciplines [8–11]. Undergraduate medical education (UME) POCUS curricula include one-day simulation labs, electives, longitudinal preclinical and clinical courses but these different approaches of POCUS education have had unclear association with medical student performance [11–13].\nStudents consider POCUS education to be an important part of their clinical education and future practice of medicine [14]. Trainees view POCUS education as valuable and provides them with more confidence in their diagnostic capabilities and ultrasound skills [12, 15, 16]. POCUS education is associated with improved student attitude, confidence, and ability to perform physical exams and improved evaluation of these exam skills in Objective Standardized Clinical Examination (OSCE) scores [17–20]. POCUS education has also been associated with increased student confidence in performance of bedside procedures [19, 21–23]. Kondrashov et al. evaluated the impact of an US course on anatomy knowledge, however a pre- and post-test created specifically for the course was used for assessment [24].\nOverall, multiple studies have shown that student comprehension of anatomic concepts improve after completion of an US curriculum but have relied on student survey data as the method of assessment with limited longitudinal evaluation of student performance. A systematic and critical review published in 2017 reported that despite the growing support for POCUS education in UME, there is limited data to objectively express the impact of POCUS education on preclinical assessments and insufficient empirical evidence to substantiate claims of benefit [25]. This has led to calls for further evidence to define the optimal timing and role for ultrasound in UME [26]. Given the limited data, we sought to determine the effects of a longitudinal preclinical ultrasound (US) curriculum on medical student performance.\n Objectives Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content.\nOur primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content.", "Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content.", " Study Design This study was determined to be exempt by our institution’s IRB and was approved by the medical school’s Office of Evaluation and Assessment. This study was as a retrospective cohort study conducted at a single medical school in the Midwest region of the United States. The outcomes of interest were medical student performance in preclinical and clinical courses as well as the USMLE Step 1. The primary exposure of interest was participation in an optional preclinical, longitudinal US curriculum that occurred during the students’ first year.\nThis study was determined to be exempt by our institution’s IRB and was approved by the medical school’s Office of Evaluation and Assessment. This study was as a retrospective cohort study conducted at a single medical school in the Midwest region of the United States. The outcomes of interest were medical student performance in preclinical and clinical courses as well as the USMLE Step 1. The primary exposure of interest was participation in an optional preclinical, longitudinal US curriculum that occurred during the students’ first year.\n Study setting and medical school curriculum Our institution’s medical school has approximately 180 students per class. During this study, the preclinical curriculum was divided into blocks by organ system. The organ systems were divided into cardiovascular, pulmonary, renal, gastrointestinal, hematology/oncology, endocrine/reproduction, musculoskeletal, neurology, dermatology, psychiatry, and infectious diseases blocks. The preclinical curriculum is approximately 1.5 years with students learning normal anatomy, physiology, histology, embryology, pharmacology and pathophysiology within each block. The anatomy lab curriculum ran concurrently within these organ blocks. Students met for in-person cadaver lab sessions one to two times per week. Students began clinical rotations 1.5 years after matriculating to medical school. Core required clinical rotations included internal medicine, surgery, neurology, psychiatry, obstetrics/gynecology, pediatrics, and family medicine. USMLE Step 1 examination occurred at the end of their clinical rotations, which was generally 2.5 years into their training.\nOur institution’s medical school has approximately 180 students per class. During this study, the preclinical curriculum was divided into blocks by organ system. The organ systems were divided into cardiovascular, pulmonary, renal, gastrointestinal, hematology/oncology, endocrine/reproduction, musculoskeletal, neurology, dermatology, psychiatry, and infectious diseases blocks. The preclinical curriculum is approximately 1.5 years with students learning normal anatomy, physiology, histology, embryology, pharmacology and pathophysiology within each block. The anatomy lab curriculum ran concurrently within these organ blocks. Students met for in-person cadaver lab sessions one to two times per week. Students began clinical rotations 1.5 years after matriculating to medical school. Core required clinical rotations included internal medicine, surgery, neurology, psychiatry, obstetrics/gynecology, pediatrics, and family medicine. USMLE Step 1 examination occurred at the end of their clinical rotations, which was generally 2.5 years into their training.\n Testing and evaluation During the preclinical curriculum, students were evaluated with weekly or biweekly online multiple-choice exams followed by an end of block online multiple-choice final exam. The periodic exams included two anatomy questions per exam, and the final exam had two questions per cadaver lab session per block. The final exam was also accompanied by an in-person anatomy practical for which students were required to identify structures in a write-in exam. The anatomy exam score for each block was derived from the in-person practical as the percentage of correct out of total questions. The comprehensive exam score for each block was the percentage correct of all other evaluations including periodic quizzes and final exam, excluding the anatomy practical. During clinical rotations, students are evaluated with standardized National Board of Medical Examiners (NBME) shelf exams with the exception of the neurology exam, which was an institutional exam developed by the neurology clerkship director.\nDuring the preclinical curriculum, students were evaluated with weekly or biweekly online multiple-choice exams followed by an end of block online multiple-choice final exam. The periodic exams included two anatomy questions per exam, and the final exam had two questions per cadaver lab session per block. The final exam was also accompanied by an in-person anatomy practical for which students were required to identify structures in a write-in exam. The anatomy exam score for each block was derived from the in-person practical as the percentage of correct out of total questions. The comprehensive exam score for each block was the percentage correct of all other evaluations including periodic quizzes and final exam, excluding the anatomy practical. During clinical rotations, students are evaluated with standardized National Board of Medical Examiners (NBME) shelf exams with the exception of the neurology exam, which was an institutional exam developed by the neurology clerkship director.\n Selection of participants and predictor variables Shortly after matriculating, all students entering medical school in the fall of 2018 were offered a voluntary longitudinal US curriculum that was paired with their organ system blocks. The optional curriculum was advertised via email to the entire class and two email reminders were also delivered. Students were not asked to specifically decline the curriculum. Students applied for the curriculum and participants were selected by random lottery. Random selection was required because the maximum number of students was limited by physical space and number of instructors. The study flow diagram is detailed in Fig. 1. Students were considered using two different sets of categories. The primary set of comparisons was between students who participated and those that did not. The second set of comparisons, which was conducted as a supplemental analysis, was between three groups: accepted to the US curriculum, applied but not accepted, or did not apply. Acceptance into the program was randomly assigned from all applicants and does not represent selection based on merit. We conducted this second set of comparisons to control for students who might have shown more inherent interest in US and anatomy that might be associated with participation in the US program. For primary analyses age, gender, undergraduate degree, and Medical College Admission Test (MCAT) score percentile were also selected a priori as predictor variables.\n\nFig. 1Study flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class\nStudy flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class\nShortly after matriculating, all students entering medical school in the fall of 2018 were offered a voluntary longitudinal US curriculum that was paired with their organ system blocks. The optional curriculum was advertised via email to the entire class and two email reminders were also delivered. Students were not asked to specifically decline the curriculum. Students applied for the curriculum and participants were selected by random lottery. Random selection was required because the maximum number of students was limited by physical space and number of instructors. The study flow diagram is detailed in Fig. 1. Students were considered using two different sets of categories. The primary set of comparisons was between students who participated and those that did not. The second set of comparisons, which was conducted as a supplemental analysis, was between three groups: accepted to the US curriculum, applied but not accepted, or did not apply. Acceptance into the program was randomly assigned from all applicants and does not represent selection based on merit. We conducted this second set of comparisons to control for students who might have shown more inherent interest in US and anatomy that might be associated with participation in the US program. For primary analyses age, gender, undergraduate degree, and Medical College Admission Test (MCAT) score percentile were also selected a priori as predictor variables.\n\nFig. 1Study flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class\nStudy flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class\n Ultrasound curriculum The selected students participated in five separate three hour hands-on sessions for a total of 15 h of in-person ultrasound education. Attendance by the selected students for all the sessions was mandatory. The five sessions were focused on head & neck, cardiovascular, abdominal, musculoskeletal, and procedural ultrasound. The sessions temporally aligned with the current block in their regular curriculum except for the procedural ultrasound session, which occurred during the students’ neurology block. Topics covered during each session are detailed in Table S1.\nEach session was led by ultrasound trained faculty from the Departments of Emergency Medicine (EM) and Radiology with ultrasound trained residents and fellows also serving as small group instructors. Faculty from Radiology were board certified radiologists. Faculty from EM were designated Clinical Ultrasound faculty by the department. Fellows were either board eligible radiologists training in a radiology subspecialty or board eligible emergency physicians in fellowship for advanced emergency ultrasound. Residents leading small groups were senior EM residents participating in the advance ultrasound professional development track. Students performed instructor led practice scans on each other or paid models. Prior to the session, students were sent instructional videos detailing image acquisition and a review of anatomy using ultrasound images. The instructional videos were created by senior medical students with supervision by ultrasound trained faculty and each was less than 10 min in length. During the procedural ultrasound session, they practiced basic bedside procedures such as central and peripheral intravenous line placement on simulators. Students were divided into groups of up to 5 students per instructor for the hands-on practice. For each session, the videos and small groups covered the topics listed in Table S1. Small group instructors provided bedside teaching including guidance on anatomy, external landmarks, machine use, image acquisition technique, and clinical relevance of ultrasound findings.\nThe selected students participated in five separate three hour hands-on sessions for a total of 15 h of in-person ultrasound education. Attendance by the selected students for all the sessions was mandatory. The five sessions were focused on head & neck, cardiovascular, abdominal, musculoskeletal, and procedural ultrasound. The sessions temporally aligned with the current block in their regular curriculum except for the procedural ultrasound session, which occurred during the students’ neurology block. Topics covered during each session are detailed in Table S1.\nEach session was led by ultrasound trained faculty from the Departments of Emergency Medicine (EM) and Radiology with ultrasound trained residents and fellows also serving as small group instructors. Faculty from Radiology were board certified radiologists. Faculty from EM were designated Clinical Ultrasound faculty by the department. Fellows were either board eligible radiologists training in a radiology subspecialty or board eligible emergency physicians in fellowship for advanced emergency ultrasound. Residents leading small groups were senior EM residents participating in the advance ultrasound professional development track. Students performed instructor led practice scans on each other or paid models. Prior to the session, students were sent instructional videos detailing image acquisition and a review of anatomy using ultrasound images. The instructional videos were created by senior medical students with supervision by ultrasound trained faculty and each was less than 10 min in length. During the procedural ultrasound session, they practiced basic bedside procedures such as central and peripheral intravenous line placement on simulators. Students were divided into groups of up to 5 students per instructor for the hands-on practice. For each session, the videos and small groups covered the topics listed in Table S1. Small group instructors provided bedside teaching including guidance on anatomy, external landmarks, machine use, image acquisition technique, and clinical relevance of ultrasound findings.\n Selection of preclinical and clinical block outcomes Cardiovascular (CV), gastrointestinal (GI) and neurology block outcomes were selected from the preclinical curriculum. CV and GI blocks were matched to ultrasound curriculum hands-on sessions. The neurology block was not matched to an ultrasound session and served as a control. The musculoskeletal block was not included due to limited content overlap with the ultrasound session. We considered preclinical performance to be the primary outcome and within each block we analyzed cumulative block grades and separate anatomy grades. Secondary outcomes included shelf exam scores from the internal medicine, surgery, and neurology clerkships as well as USMLE Step 1 score. These clerkship exams were selected for overlap in content areas with the selected preclinical blocks. Other clinical and preclinical blocks were not selected because they were not matched in content to an ultrasound curriculum session and to limit multiple hypothesis testing.\nCardiovascular (CV), gastrointestinal (GI) and neurology block outcomes were selected from the preclinical curriculum. CV and GI blocks were matched to ultrasound curriculum hands-on sessions. The neurology block was not matched to an ultrasound session and served as a control. The musculoskeletal block was not included due to limited content overlap with the ultrasound session. We considered preclinical performance to be the primary outcome and within each block we analyzed cumulative block grades and separate anatomy grades. Secondary outcomes included shelf exam scores from the internal medicine, surgery, and neurology clerkships as well as USMLE Step 1 score. These clerkship exams were selected for overlap in content areas with the selected preclinical blocks. Other clinical and preclinical blocks were not selected because they were not matched in content to an ultrasound curriculum session and to limit multiple hypothesis testing.\n Statistical Analysis Descriptive statistics were performed on all predictor and outcome variables. Continuous variables were described by means with standard deviations and evaluation for statistically significant differences by group using two sample t-tests or one-way analysis of variance for the supplemental three-group comparison. Categorical variables were described by counts with percentages and compared using the chi squared test. Multivariable linear regression was used to determine the association of participation in the US curriculum with preclinical exam scores after adjustment for MCAT percentile, undergraduate science or engineering major, age and gender of the student. Bonferroni correction was used to adjust p-values for six comparisons in the analysis of preclinical exam scores. All statistical analyses were performed in RStudio version 1.2.5 (RStudio, Boston, MA) with R version 3.6.2 (The R Foundation, Vienna, Austria).\nDescriptive statistics were performed on all predictor and outcome variables. Continuous variables were described by means with standard deviations and evaluation for statistically significant differences by group using two sample t-tests or one-way analysis of variance for the supplemental three-group comparison. Categorical variables were described by counts with percentages and compared using the chi squared test. Multivariable linear regression was used to determine the association of participation in the US curriculum with preclinical exam scores after adjustment for MCAT percentile, undergraduate science or engineering major, age and gender of the student. Bonferroni correction was used to adjust p-values for six comparisons in the analysis of preclinical exam scores. All statistical analyses were performed in RStudio version 1.2.5 (RStudio, Boston, MA) with R version 3.6.2 (The R Foundation, Vienna, Austria).", "This study was determined to be exempt by our institution’s IRB and was approved by the medical school’s Office of Evaluation and Assessment. This study was as a retrospective cohort study conducted at a single medical school in the Midwest region of the United States. The outcomes of interest were medical student performance in preclinical and clinical courses as well as the USMLE Step 1. The primary exposure of interest was participation in an optional preclinical, longitudinal US curriculum that occurred during the students’ first year.", "Our institution’s medical school has approximately 180 students per class. During this study, the preclinical curriculum was divided into blocks by organ system. The organ systems were divided into cardiovascular, pulmonary, renal, gastrointestinal, hematology/oncology, endocrine/reproduction, musculoskeletal, neurology, dermatology, psychiatry, and infectious diseases blocks. The preclinical curriculum is approximately 1.5 years with students learning normal anatomy, physiology, histology, embryology, pharmacology and pathophysiology within each block. The anatomy lab curriculum ran concurrently within these organ blocks. Students met for in-person cadaver lab sessions one to two times per week. Students began clinical rotations 1.5 years after matriculating to medical school. Core required clinical rotations included internal medicine, surgery, neurology, psychiatry, obstetrics/gynecology, pediatrics, and family medicine. USMLE Step 1 examination occurred at the end of their clinical rotations, which was generally 2.5 years into their training.", "During the preclinical curriculum, students were evaluated with weekly or biweekly online multiple-choice exams followed by an end of block online multiple-choice final exam. The periodic exams included two anatomy questions per exam, and the final exam had two questions per cadaver lab session per block. The final exam was also accompanied by an in-person anatomy practical for which students were required to identify structures in a write-in exam. The anatomy exam score for each block was derived from the in-person practical as the percentage of correct out of total questions. The comprehensive exam score for each block was the percentage correct of all other evaluations including periodic quizzes and final exam, excluding the anatomy practical. During clinical rotations, students are evaluated with standardized National Board of Medical Examiners (NBME) shelf exams with the exception of the neurology exam, which was an institutional exam developed by the neurology clerkship director.", "Shortly after matriculating, all students entering medical school in the fall of 2018 were offered a voluntary longitudinal US curriculum that was paired with their organ system blocks. The optional curriculum was advertised via email to the entire class and two email reminders were also delivered. Students were not asked to specifically decline the curriculum. Students applied for the curriculum and participants were selected by random lottery. Random selection was required because the maximum number of students was limited by physical space and number of instructors. The study flow diagram is detailed in Fig. 1. Students were considered using two different sets of categories. The primary set of comparisons was between students who participated and those that did not. The second set of comparisons, which was conducted as a supplemental analysis, was between three groups: accepted to the US curriculum, applied but not accepted, or did not apply. Acceptance into the program was randomly assigned from all applicants and does not represent selection based on merit. We conducted this second set of comparisons to control for students who might have shown more inherent interest in US and anatomy that might be associated with participation in the US program. For primary analyses age, gender, undergraduate degree, and Medical College Admission Test (MCAT) score percentile were also selected a priori as predictor variables.\n\nFig. 1Study flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class\nStudy flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class", "The selected students participated in five separate three hour hands-on sessions for a total of 15 h of in-person ultrasound education. Attendance by the selected students for all the sessions was mandatory. The five sessions were focused on head & neck, cardiovascular, abdominal, musculoskeletal, and procedural ultrasound. The sessions temporally aligned with the current block in their regular curriculum except for the procedural ultrasound session, which occurred during the students’ neurology block. Topics covered during each session are detailed in Table S1.\nEach session was led by ultrasound trained faculty from the Departments of Emergency Medicine (EM) and Radiology with ultrasound trained residents and fellows also serving as small group instructors. Faculty from Radiology were board certified radiologists. Faculty from EM were designated Clinical Ultrasound faculty by the department. Fellows were either board eligible radiologists training in a radiology subspecialty or board eligible emergency physicians in fellowship for advanced emergency ultrasound. Residents leading small groups were senior EM residents participating in the advance ultrasound professional development track. Students performed instructor led practice scans on each other or paid models. Prior to the session, students were sent instructional videos detailing image acquisition and a review of anatomy using ultrasound images. The instructional videos were created by senior medical students with supervision by ultrasound trained faculty and each was less than 10 min in length. During the procedural ultrasound session, they practiced basic bedside procedures such as central and peripheral intravenous line placement on simulators. Students were divided into groups of up to 5 students per instructor for the hands-on practice. For each session, the videos and small groups covered the topics listed in Table S1. Small group instructors provided bedside teaching including guidance on anatomy, external landmarks, machine use, image acquisition technique, and clinical relevance of ultrasound findings.", "Cardiovascular (CV), gastrointestinal (GI) and neurology block outcomes were selected from the preclinical curriculum. CV and GI blocks were matched to ultrasound curriculum hands-on sessions. The neurology block was not matched to an ultrasound session and served as a control. The musculoskeletal block was not included due to limited content overlap with the ultrasound session. We considered preclinical performance to be the primary outcome and within each block we analyzed cumulative block grades and separate anatomy grades. Secondary outcomes included shelf exam scores from the internal medicine, surgery, and neurology clerkships as well as USMLE Step 1 score. These clerkship exams were selected for overlap in content areas with the selected preclinical blocks. Other clinical and preclinical blocks were not selected because they were not matched in content to an ultrasound curriculum session and to limit multiple hypothesis testing.", "Descriptive statistics were performed on all predictor and outcome variables. Continuous variables were described by means with standard deviations and evaluation for statistically significant differences by group using two sample t-tests or one-way analysis of variance for the supplemental three-group comparison. Categorical variables were described by counts with percentages and compared using the chi squared test. Multivariable linear regression was used to determine the association of participation in the US curriculum with preclinical exam scores after adjustment for MCAT percentile, undergraduate science or engineering major, age and gender of the student. Bonferroni correction was used to adjust p-values for six comparisons in the analysis of preclinical exam scores. All statistical analyses were performed in RStudio version 1.2.5 (RStudio, Boston, MA) with R version 3.6.2 (The R Foundation, Vienna, Austria).", " Student characteristics One hundred and seventy-eight medical students in the class were studied. Seventy-six (43%) applied for the longitudinal US curriculum and of these, fifty-one (29%) were accepted. These groups are enumerated in the study flow diagram (Fig. 1). There were no statistically significant differences between students who participated in the US curriculum and those that did not for age, gender, science or engineering undergraduate degree or MCAT percentile (Table 1). There were also no significant differences when these characteristics were compared with those students that applied but were not accepted as a separate group (Table S2).\nTable 1Student CharacteristicsUS CurriculumNo US Curriculump-valueNumber of students, n (%)51 (28.7%)127 (71.3%)Age, mean years (SD)24.9 (2.1)25 (2.1)0.696Female, n (%)23 (45.1%)74 (58.3%)0.153Science or engineering degree, n (%)33 (64.7%)14 (59.1%)0.597MCAT percentile, mean (SD)a91 (9.3)89.5 (10.5)0.371a3 students in the cohort did not have MCAT scores available\nStudent Characteristics\na3 students in the cohort did not have MCAT scores available\nOne hundred and seventy-eight medical students in the class were studied. Seventy-six (43%) applied for the longitudinal US curriculum and of these, fifty-one (29%) were accepted. These groups are enumerated in the study flow diagram (Fig. 1). There were no statistically significant differences between students who participated in the US curriculum and those that did not for age, gender, science or engineering undergraduate degree or MCAT percentile (Table 1). There were also no significant differences when these characteristics were compared with those students that applied but were not accepted as a separate group (Table S2).\nTable 1Student CharacteristicsUS CurriculumNo US Curriculump-valueNumber of students, n (%)51 (28.7%)127 (71.3%)Age, mean years (SD)24.9 (2.1)25 (2.1)0.696Female, n (%)23 (45.1%)74 (58.3%)0.153Science or engineering degree, n (%)33 (64.7%)14 (59.1%)0.597MCAT percentile, mean (SD)a91 (9.3)89.5 (10.5)0.371a3 students in the cohort did not have MCAT scores available\nStudent Characteristics\na3 students in the cohort did not have MCAT scores available\n Preclinical organ block performance Students who participated in the US curriculum had a higher mean score for the CV anatomy Sect. (92.1 v 88.7, p = 0.008) (Table 2). However, this difference was not seen in the cumulative CV scores. There were no significant differences in either anatomy or cumulative exam scores in the GI and neurology blocks. After correction for multiple comparisons, the difference in mean CV anatomy scores remained statistically significant (p = 0.048). When students that applied but were not accepted were treated as a third separate group, students who participated in the US curriculum continued to have a higher mean score for CV anatomy (Table S3). The association between participation in the US curriculum and CV exam scores was estimated using multivariable linear regression with student age, gender, science or engineering degree status, and MCAT percentile as a priori selected covariates (Fig. 2). Participation in the US curriculum resulted in a significant increase in predicted CV anatomy scores (3.48 points, 95% CI 0.78 - 6.18). Other covariates were not associated with a significant effect. For the CV cumulative score, participation did not result in a significant effect although MCAT percentile did predict better performance (0.15 CV cumulative score points per MCAT percentile point, 95% CI 0.08 - 0.23). When students who applied but were not accepted were treated as a separate group in this model (Fig. S1), participation in the US curriculum also predicted higher CV anatomy scores with a similar magnitude (3.18 points, 95% CI 0.38 - 5.98). There was also no difference in CV cumulative scores with unaccepted students as a separate group and MCAT percentile remained predictive of higher CV cumulative score in this model (Fig. S2).\nTable 2First year organ block scoresOrgan system block, mean score (SD)US CurriculumNo US CurriculumDifference in meansc (95% CI)Cardiovascular - Anatomy92.1 (7.3)88.5 (8.3)3.4 (0.9 - 6.2)%Cardiovascular - Cumulativea90.5 (4.8)90.3 (5.3)0.2 (-1.5 - 1.9)Gastrointestinal - Anatomy84.6 (6.8)83.5 (8.9)0.8 (-1.6 - 3.9)Gastrointestinal - Cumulative87.0 (5.1)86.6 (5.7)0.2 (-1.4 - 2.2)Neurological - Anatomy81.7 (8.9)81.5 (8.8)0.2 (-2.7 - 3.1)Neurological – Cumulativeb82.8 (5.3)83.0 (5.1)-0.2 (-1.9 - 1.5)%p-value = 0.008 (0.048 after correction for six comparisons)a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excludedb1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excludedcNo US Curriculum is the reference group for difference in means\nFirst year organ block scores\n%p-value = 0.008 (0.048 after correction for six comparisons)\na1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excluded\nb1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excluded\ncNo US Curriculum is the reference group for difference in means\n\nFig. 2A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test\nA Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test\nStudents who participated in the US curriculum had a higher mean score for the CV anatomy Sect. (92.1 v 88.7, p = 0.008) (Table 2). However, this difference was not seen in the cumulative CV scores. There were no significant differences in either anatomy or cumulative exam scores in the GI and neurology blocks. After correction for multiple comparisons, the difference in mean CV anatomy scores remained statistically significant (p = 0.048). When students that applied but were not accepted were treated as a third separate group, students who participated in the US curriculum continued to have a higher mean score for CV anatomy (Table S3). The association between participation in the US curriculum and CV exam scores was estimated using multivariable linear regression with student age, gender, science or engineering degree status, and MCAT percentile as a priori selected covariates (Fig. 2). Participation in the US curriculum resulted in a significant increase in predicted CV anatomy scores (3.48 points, 95% CI 0.78 - 6.18). Other covariates were not associated with a significant effect. For the CV cumulative score, participation did not result in a significant effect although MCAT percentile did predict better performance (0.15 CV cumulative score points per MCAT percentile point, 95% CI 0.08 - 0.23). When students who applied but were not accepted were treated as a separate group in this model (Fig. S1), participation in the US curriculum also predicted higher CV anatomy scores with a similar magnitude (3.18 points, 95% CI 0.38 - 5.98). There was also no difference in CV cumulative scores with unaccepted students as a separate group and MCAT percentile remained predictive of higher CV cumulative score in this model (Fig. S2).\nTable 2First year organ block scoresOrgan system block, mean score (SD)US CurriculumNo US CurriculumDifference in meansc (95% CI)Cardiovascular - Anatomy92.1 (7.3)88.5 (8.3)3.4 (0.9 - 6.2)%Cardiovascular - Cumulativea90.5 (4.8)90.3 (5.3)0.2 (-1.5 - 1.9)Gastrointestinal - Anatomy84.6 (6.8)83.5 (8.9)0.8 (-1.6 - 3.9)Gastrointestinal - Cumulative87.0 (5.1)86.6 (5.7)0.2 (-1.4 - 2.2)Neurological - Anatomy81.7 (8.9)81.5 (8.8)0.2 (-2.7 - 3.1)Neurological – Cumulativeb82.8 (5.3)83.0 (5.1)-0.2 (-1.9 - 1.5)%p-value = 0.008 (0.048 after correction for six comparisons)a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excludedb1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excludedcNo US Curriculum is the reference group for difference in means\nFirst year organ block scores\n%p-value = 0.008 (0.048 after correction for six comparisons)\na1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excluded\nb1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excluded\ncNo US Curriculum is the reference group for difference in means\n\nFig. 2A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test\nA Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test\n Clinical clerkship shelf exam and USMLE Step 1 performance Clerkship and USMLE Step 1 scores are detailed Table 3. Students who participated in the US curriculum did not score significantly higher in shelf exams for internal medicine, surgery and neurology. Mean surgery shelf exam scores were higher (77.3 vs. 74.6) for students who participated in the US curriculum although this difference did not reach statistical significance (p = 0.051). Students who participated in the US curriculum also had a mean USMLE Step 1 score that was higher (241.9 vs. 237.3) than students who did not participate in the US curriculum, but this difference was also not statistically significant (p = 0.081).\nTable 3Clerkship shelf scores and USMLE Step 1US CurriculumNo US Curriculump-valueUSMLE Step 1, mean score (SD)a241.9 (13.5)237.2 (17.1)0.081Internal medicine shelf exam, mean score (SD)b76.9 (7.7)75.1 (9.3)0.360Neurology shelf exam, mean score (SD)c87.1 (6.0)86.4 (6.5)0.212Surgery shelf exam, mean score (SD)d77.3 (7.0)74.6 (8.5)0.051a7 students in the cohort did not have USMLE Step 1 scores availableb3 students did not have internal medicine shelf exam scores availablec2 students did not have neurology shelf exam scores availabled2 students did not have surgery shelf exam scores available\nClerkship shelf scores and USMLE Step 1\na7 students in the cohort did not have USMLE Step 1 scores available\nb3 students did not have internal medicine shelf exam scores available\nc2 students did not have neurology shelf exam scores available\nd2 students did not have surgery shelf exam scores available\nClerkship and USMLE Step 1 scores are detailed Table 3. Students who participated in the US curriculum did not score significantly higher in shelf exams for internal medicine, surgery and neurology. Mean surgery shelf exam scores were higher (77.3 vs. 74.6) for students who participated in the US curriculum although this difference did not reach statistical significance (p = 0.051). Students who participated in the US curriculum also had a mean USMLE Step 1 score that was higher (241.9 vs. 237.3) than students who did not participate in the US curriculum, but this difference was also not statistically significant (p = 0.081).\nTable 3Clerkship shelf scores and USMLE Step 1US CurriculumNo US Curriculump-valueUSMLE Step 1, mean score (SD)a241.9 (13.5)237.2 (17.1)0.081Internal medicine shelf exam, mean score (SD)b76.9 (7.7)75.1 (9.3)0.360Neurology shelf exam, mean score (SD)c87.1 (6.0)86.4 (6.5)0.212Surgery shelf exam, mean score (SD)d77.3 (7.0)74.6 (8.5)0.051a7 students in the cohort did not have USMLE Step 1 scores availableb3 students did not have internal medicine shelf exam scores availablec2 students did not have neurology shelf exam scores availabled2 students did not have surgery shelf exam scores available\nClerkship shelf scores and USMLE Step 1\na7 students in the cohort did not have USMLE Step 1 scores available\nb3 students did not have internal medicine shelf exam scores available\nc2 students did not have neurology shelf exam scores available\nd2 students did not have surgery shelf exam scores available", "One hundred and seventy-eight medical students in the class were studied. Seventy-six (43%) applied for the longitudinal US curriculum and of these, fifty-one (29%) were accepted. These groups are enumerated in the study flow diagram (Fig. 1). There were no statistically significant differences between students who participated in the US curriculum and those that did not for age, gender, science or engineering undergraduate degree or MCAT percentile (Table 1). There were also no significant differences when these characteristics were compared with those students that applied but were not accepted as a separate group (Table S2).\nTable 1Student CharacteristicsUS CurriculumNo US Curriculump-valueNumber of students, n (%)51 (28.7%)127 (71.3%)Age, mean years (SD)24.9 (2.1)25 (2.1)0.696Female, n (%)23 (45.1%)74 (58.3%)0.153Science or engineering degree, n (%)33 (64.7%)14 (59.1%)0.597MCAT percentile, mean (SD)a91 (9.3)89.5 (10.5)0.371a3 students in the cohort did not have MCAT scores available\nStudent Characteristics\na3 students in the cohort did not have MCAT scores available", "Students who participated in the US curriculum had a higher mean score for the CV anatomy Sect. (92.1 v 88.7, p = 0.008) (Table 2). However, this difference was not seen in the cumulative CV scores. There were no significant differences in either anatomy or cumulative exam scores in the GI and neurology blocks. After correction for multiple comparisons, the difference in mean CV anatomy scores remained statistically significant (p = 0.048). When students that applied but were not accepted were treated as a third separate group, students who participated in the US curriculum continued to have a higher mean score for CV anatomy (Table S3). The association between participation in the US curriculum and CV exam scores was estimated using multivariable linear regression with student age, gender, science or engineering degree status, and MCAT percentile as a priori selected covariates (Fig. 2). Participation in the US curriculum resulted in a significant increase in predicted CV anatomy scores (3.48 points, 95% CI 0.78 - 6.18). Other covariates were not associated with a significant effect. For the CV cumulative score, participation did not result in a significant effect although MCAT percentile did predict better performance (0.15 CV cumulative score points per MCAT percentile point, 95% CI 0.08 - 0.23). When students who applied but were not accepted were treated as a separate group in this model (Fig. S1), participation in the US curriculum also predicted higher CV anatomy scores with a similar magnitude (3.18 points, 95% CI 0.38 - 5.98). There was also no difference in CV cumulative scores with unaccepted students as a separate group and MCAT percentile remained predictive of higher CV cumulative score in this model (Fig. S2).\nTable 2First year organ block scoresOrgan system block, mean score (SD)US CurriculumNo US CurriculumDifference in meansc (95% CI)Cardiovascular - Anatomy92.1 (7.3)88.5 (8.3)3.4 (0.9 - 6.2)%Cardiovascular - Cumulativea90.5 (4.8)90.3 (5.3)0.2 (-1.5 - 1.9)Gastrointestinal - Anatomy84.6 (6.8)83.5 (8.9)0.8 (-1.6 - 3.9)Gastrointestinal - Cumulative87.0 (5.1)86.6 (5.7)0.2 (-1.4 - 2.2)Neurological - Anatomy81.7 (8.9)81.5 (8.8)0.2 (-2.7 - 3.1)Neurological – Cumulativeb82.8 (5.3)83.0 (5.1)-0.2 (-1.9 - 1.5)%p-value = 0.008 (0.048 after correction for six comparisons)a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excludedb1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excludedcNo US Curriculum is the reference group for difference in means\nFirst year organ block scores\n%p-value = 0.008 (0.048 after correction for six comparisons)\na1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excluded\nb1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excluded\ncNo US Curriculum is the reference group for difference in means\n\nFig. 2A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test\nA Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test", "Clerkship and USMLE Step 1 scores are detailed Table 3. Students who participated in the US curriculum did not score significantly higher in shelf exams for internal medicine, surgery and neurology. Mean surgery shelf exam scores were higher (77.3 vs. 74.6) for students who participated in the US curriculum although this difference did not reach statistical significance (p = 0.051). Students who participated in the US curriculum also had a mean USMLE Step 1 score that was higher (241.9 vs. 237.3) than students who did not participate in the US curriculum, but this difference was also not statistically significant (p = 0.081).\nTable 3Clerkship shelf scores and USMLE Step 1US CurriculumNo US Curriculump-valueUSMLE Step 1, mean score (SD)a241.9 (13.5)237.2 (17.1)0.081Internal medicine shelf exam, mean score (SD)b76.9 (7.7)75.1 (9.3)0.360Neurology shelf exam, mean score (SD)c87.1 (6.0)86.4 (6.5)0.212Surgery shelf exam, mean score (SD)d77.3 (7.0)74.6 (8.5)0.051a7 students in the cohort did not have USMLE Step 1 scores availableb3 students did not have internal medicine shelf exam scores availablec2 students did not have neurology shelf exam scores availabled2 students did not have surgery shelf exam scores available\nClerkship shelf scores and USMLE Step 1\na7 students in the cohort did not have USMLE Step 1 scores available\nb3 students did not have internal medicine shelf exam scores available\nc2 students did not have neurology shelf exam scores available\nd2 students did not have surgery shelf exam scores available", "Medical students who participated in the longitudinal US curriculum did not have improved preclinical exam scores in gastrointestinal or neurology preclinical blocks. Within the cardiovascular block, medical students who participated in the US curriculum had improved performance on the anatomy practical. This supports our hypothesis that an US curriculum would be associated with improved performance in blocks where the US application was more closely linked to anatomy; as in the link between echocardiography and cardiac anatomy. Thus, the US curriculum as a supplement to the cardiovascular block may have reinforced the information and improved exam scores. We did not expect the US curriculum to impact neurology scores since there were no US curriculum sessions were dedicated to neurological anatomy. The head and neck session did not cover brain, spine or other neuroanatomy. Contrary to our hypothesis, there were no significant differences in GI anatomy exam scores between US curriculum groups. Given the relatively common application of ultrasound to hepatobiliary disease, we expected improvement in GI anatomy exam scores for students that participated in the US curriculum. However, the GI block content and anatomy exam focused primarily on luminal structures, thus limiting anatomic relevance of common US applications for this block.\nThere were no statistically significant differences in surgery, internal medicine or neurology shelf exam scores as a result of participation in the US curriculum. On the surgery shelf exam, students who participated in the US curriculum scored better but this difference did not reach statistical significance (77.3 vs. 74.6, p = 0.051). Our US curriculum covered the FAST exam extensively, which provides a practical overview of abdominal anatomy. This correlation could have led to these improved exam scores, as Blackstock et al. previously demonstrated that a dedicated US curriculum led to a better understanding of the focused assessment with sonography in trauma (FAST) [9].\nThere were also no statistically significant differences in USMLE Step 1 scores associated with participation in the US curriculum (mean 241.9 for those students in the US curriculum vs. 237.3 for students not in the curriculum, p = 0.081). Liu et al. also reported finding no difference associated with participation in the US curriculum for USMLE Step 1 [27]. Contrary to our results, Liu et al. found no difference in anatomy exam scores, but did find an association with improved assessment of physical examination skills [27]. There are several key differences between our study and Liu et al. First, our study examined individual organ block performance rather than anatomy or physiology across multiple organ systems, likely leading to a specific association between the US curriculum and performance. We also evaluated all students as a cohort from a single medical school class rather than small samples from two classes (51 students in the US curriculum in one year vs. 34 total over two years). Indeed, Liu et al. reported heterogeneity in their results across years including anatomy performance which was significantly improved by the US curriculum in one year but not the other. Exams at our institution were considered summative rather than formative which may also have increased individual student motivation to maximize exam performance. Finally, while a common method of assessment, standardized exam scores have been shown to correlate poorly with clinical performance [28] and thus are likely to be limited as a marker of learning success from an US curriculum. Future studies should consider other markers of learning success such as student evaluations in clerkships with significant POCUS use such as emergency medicine, anesthesia and critical care.\n Limitations Our study was limited in size to a single medical school class entering in the Fall of 2018. Thus, preclinical and clinical performance may have been affected by class specific effects. However, this may also have the effect of limiting heterogeneity from other curriculum and evaluation changes that occur year-to-year. Selection bias may also have impacted our results, as we relied on volunteers to sign up for the ultrasound curriculum. This could lead to a self-selecting population of anatomy-savvy students or higher performing students signing up for this course. However, when comparing students that volunteered for the US curriculum but were not accepted, students that participated in the curriculum continued to outperform both those that did not apply and those that were not selected in CV anatomy (Figure S1). We were not able to provide the US curriculum to all students who applied due to limitations on physical space, equipment and instructors. These resource limitations necessitated random selection of students from the pool that applied.\nOur US curriculum included an additional 15 h of structured instruction time but students that did not participate in the US curriculum were not required to attend other structured coursework during this time. This may confound interpretation of our results as some students may have used this additional time for independent study or non-academic activities. Furthermore, students participated in the US curriculum only during their first year and the effect of the US curriculum may wane over subsequent years.\nOur study’s generalizability and reliability is subject to some of the same issues as many single-site interventions. While our institution’s medical school uses standardized, best practices based assessments of medical students this is not universal. Specific organ block preclinical exams covering anatomy, physiology and pathophysiology may differ across institutions and by year within institutions. Additionally, our neurology shelf exam is not a nationally standardized exam. Our US curriculum was primarily taught by instructors from the Departments of Emergency Medicine and Radiology leading to a focus on application of ultrasound specific to these two specialties. This may limit the applicability of our results to institutions with similar instructors. Despite these limitations, to our knowledge, this is the first study to evaluate the influence of a longitudinal US curriculum on medical student performance on individual preclinical and clinical courses as well as USMLE Step 1.\nOur study was limited in size to a single medical school class entering in the Fall of 2018. Thus, preclinical and clinical performance may have been affected by class specific effects. However, this may also have the effect of limiting heterogeneity from other curriculum and evaluation changes that occur year-to-year. Selection bias may also have impacted our results, as we relied on volunteers to sign up for the ultrasound curriculum. This could lead to a self-selecting population of anatomy-savvy students or higher performing students signing up for this course. However, when comparing students that volunteered for the US curriculum but were not accepted, students that participated in the curriculum continued to outperform both those that did not apply and those that were not selected in CV anatomy (Figure S1). We were not able to provide the US curriculum to all students who applied due to limitations on physical space, equipment and instructors. These resource limitations necessitated random selection of students from the pool that applied.\nOur US curriculum included an additional 15 h of structured instruction time but students that did not participate in the US curriculum were not required to attend other structured coursework during this time. This may confound interpretation of our results as some students may have used this additional time for independent study or non-academic activities. Furthermore, students participated in the US curriculum only during their first year and the effect of the US curriculum may wane over subsequent years.\nOur study’s generalizability and reliability is subject to some of the same issues as many single-site interventions. While our institution’s medical school uses standardized, best practices based assessments of medical students this is not universal. Specific organ block preclinical exams covering anatomy, physiology and pathophysiology may differ across institutions and by year within institutions. Additionally, our neurology shelf exam is not a nationally standardized exam. Our US curriculum was primarily taught by instructors from the Departments of Emergency Medicine and Radiology leading to a focus on application of ultrasound specific to these two specialties. This may limit the applicability of our results to institutions with similar instructors. Despite these limitations, to our knowledge, this is the first study to evaluate the influence of a longitudinal US curriculum on medical student performance on individual preclinical and clinical courses as well as USMLE Step 1.", "Our study was limited in size to a single medical school class entering in the Fall of 2018. Thus, preclinical and clinical performance may have been affected by class specific effects. However, this may also have the effect of limiting heterogeneity from other curriculum and evaluation changes that occur year-to-year. Selection bias may also have impacted our results, as we relied on volunteers to sign up for the ultrasound curriculum. This could lead to a self-selecting population of anatomy-savvy students or higher performing students signing up for this course. However, when comparing students that volunteered for the US curriculum but were not accepted, students that participated in the curriculum continued to outperform both those that did not apply and those that were not selected in CV anatomy (Figure S1). We were not able to provide the US curriculum to all students who applied due to limitations on physical space, equipment and instructors. These resource limitations necessitated random selection of students from the pool that applied.\nOur US curriculum included an additional 15 h of structured instruction time but students that did not participate in the US curriculum were not required to attend other structured coursework during this time. This may confound interpretation of our results as some students may have used this additional time for independent study or non-academic activities. Furthermore, students participated in the US curriculum only during their first year and the effect of the US curriculum may wane over subsequent years.\nOur study’s generalizability and reliability is subject to some of the same issues as many single-site interventions. While our institution’s medical school uses standardized, best practices based assessments of medical students this is not universal. Specific organ block preclinical exams covering anatomy, physiology and pathophysiology may differ across institutions and by year within institutions. Additionally, our neurology shelf exam is not a nationally standardized exam. Our US curriculum was primarily taught by instructors from the Departments of Emergency Medicine and Radiology leading to a focus on application of ultrasound specific to these two specialties. This may limit the applicability of our results to institutions with similar instructors. Despite these limitations, to our knowledge, this is the first study to evaluate the influence of a longitudinal US curriculum on medical student performance on individual preclinical and clinical courses as well as USMLE Step 1.", "Participation in a preclinical longitudinal US curriculum was associated with improved exam performance in cardiovascular anatomy but not the exam score for a comprehensive exam of other cardiovascular system concepts. Neither anatomy or comprehensive exam scores for neurology and gastrointestinal organ system blocks were improved. Future studies can further evaluate this association with a more expansive curriculum to include renal, musculoskeletal, and obstetric ultrasound and its association with the corresponding preclinical and clinical courses. Additionally, prospective data collection for US curriculum specific effects or use of a control intervention may be required to further elucidate the impact of preclinical US curricula. While further studies across multiple institutions and medical school classes is required, implementation of a dedicated US curriculum early in medical training may improve performance in subsequent preclinical and clinical coursework.", " \nAdditional file 1.Additional file 2.Additional file 3.\nAdditional file 1.\nAdditional file 2.\nAdditional file 3.\n\nAdditional file 1.Additional file 2.Additional file 3.\nAdditional file 1.\nAdditional file 2.\nAdditional file 3.", "\nAdditional file 1.Additional file 2.Additional file 3.\nAdditional file 1.\nAdditional file 2.\nAdditional file 3." ]
[ "introduction", null, null, null, null, null, null, null, null, null, null, "results", null, null, null, "discussion", null, "conclusion", "supplementary-material", null ]
[ "Ultrasound", "POCUS", "Medical student", "Step1", "Anatomy", "Grades" ]
Introduction: Background Point-of-care ultrasound (POCUS) is an integral component of patient care and an important aspect of resident education across a variety of specialties such as emergency medicine [1, 2],, internal medicine [3, 4], family medicine [5], surgery [6], and anesthesiology [7]. POCUS curricula have been developed in medical schools across the country in recognition of the increasingly important role POCUS has across disciplines [8–11]. Undergraduate medical education (UME) POCUS curricula include one-day simulation labs, electives, longitudinal preclinical and clinical courses but these different approaches of POCUS education have had unclear association with medical student performance [11–13]. Students consider POCUS education to be an important part of their clinical education and future practice of medicine [14]. Trainees view POCUS education as valuable and provides them with more confidence in their diagnostic capabilities and ultrasound skills [12, 15, 16]. POCUS education is associated with improved student attitude, confidence, and ability to perform physical exams and improved evaluation of these exam skills in Objective Standardized Clinical Examination (OSCE) scores [17–20]. POCUS education has also been associated with increased student confidence in performance of bedside procedures [19, 21–23]. Kondrashov et al. evaluated the impact of an US course on anatomy knowledge, however a pre- and post-test created specifically for the course was used for assessment [24]. Overall, multiple studies have shown that student comprehension of anatomic concepts improve after completion of an US curriculum but have relied on student survey data as the method of assessment with limited longitudinal evaluation of student performance. A systematic and critical review published in 2017 reported that despite the growing support for POCUS education in UME, there is limited data to objectively express the impact of POCUS education on preclinical assessments and insufficient empirical evidence to substantiate claims of benefit [25]. This has led to calls for further evidence to define the optimal timing and role for ultrasound in UME [26]. Given the limited data, we sought to determine the effects of a longitudinal preclinical ultrasound (US) curriculum on medical student performance. Objectives Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Point-of-care ultrasound (POCUS) is an integral component of patient care and an important aspect of resident education across a variety of specialties such as emergency medicine [1, 2],, internal medicine [3, 4], family medicine [5], surgery [6], and anesthesiology [7]. POCUS curricula have been developed in medical schools across the country in recognition of the increasingly important role POCUS has across disciplines [8–11]. Undergraduate medical education (UME) POCUS curricula include one-day simulation labs, electives, longitudinal preclinical and clinical courses but these different approaches of POCUS education have had unclear association with medical student performance [11–13]. Students consider POCUS education to be an important part of their clinical education and future practice of medicine [14]. Trainees view POCUS education as valuable and provides them with more confidence in their diagnostic capabilities and ultrasound skills [12, 15, 16]. POCUS education is associated with improved student attitude, confidence, and ability to perform physical exams and improved evaluation of these exam skills in Objective Standardized Clinical Examination (OSCE) scores [17–20]. POCUS education has also been associated with increased student confidence in performance of bedside procedures [19, 21–23]. Kondrashov et al. evaluated the impact of an US course on anatomy knowledge, however a pre- and post-test created specifically for the course was used for assessment [24]. Overall, multiple studies have shown that student comprehension of anatomic concepts improve after completion of an US curriculum but have relied on student survey data as the method of assessment with limited longitudinal evaluation of student performance. A systematic and critical review published in 2017 reported that despite the growing support for POCUS education in UME, there is limited data to objectively express the impact of POCUS education on preclinical assessments and insufficient empirical evidence to substantiate claims of benefit [25]. This has led to calls for further evidence to define the optimal timing and role for ultrasound in UME [26]. Given the limited data, we sought to determine the effects of a longitudinal preclinical ultrasound (US) curriculum on medical student performance. Objectives Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Background: Point-of-care ultrasound (POCUS) is an integral component of patient care and an important aspect of resident education across a variety of specialties such as emergency medicine [1, 2],, internal medicine [3, 4], family medicine [5], surgery [6], and anesthesiology [7]. POCUS curricula have been developed in medical schools across the country in recognition of the increasingly important role POCUS has across disciplines [8–11]. Undergraduate medical education (UME) POCUS curricula include one-day simulation labs, electives, longitudinal preclinical and clinical courses but these different approaches of POCUS education have had unclear association with medical student performance [11–13]. Students consider POCUS education to be an important part of their clinical education and future practice of medicine [14]. Trainees view POCUS education as valuable and provides them with more confidence in their diagnostic capabilities and ultrasound skills [12, 15, 16]. POCUS education is associated with improved student attitude, confidence, and ability to perform physical exams and improved evaluation of these exam skills in Objective Standardized Clinical Examination (OSCE) scores [17–20]. POCUS education has also been associated with increased student confidence in performance of bedside procedures [19, 21–23]. Kondrashov et al. evaluated the impact of an US course on anatomy knowledge, however a pre- and post-test created specifically for the course was used for assessment [24]. Overall, multiple studies have shown that student comprehension of anatomic concepts improve after completion of an US curriculum but have relied on student survey data as the method of assessment with limited longitudinal evaluation of student performance. A systematic and critical review published in 2017 reported that despite the growing support for POCUS education in UME, there is limited data to objectively express the impact of POCUS education on preclinical assessments and insufficient empirical evidence to substantiate claims of benefit [25]. This has led to calls for further evidence to define the optimal timing and role for ultrasound in UME [26]. Given the limited data, we sought to determine the effects of a longitudinal preclinical ultrasound (US) curriculum on medical student performance. Objectives Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Objectives: Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Methods: Study Design This study was determined to be exempt by our institution’s IRB and was approved by the medical school’s Office of Evaluation and Assessment. This study was as a retrospective cohort study conducted at a single medical school in the Midwest region of the United States. The outcomes of interest were medical student performance in preclinical and clinical courses as well as the USMLE Step 1. The primary exposure of interest was participation in an optional preclinical, longitudinal US curriculum that occurred during the students’ first year. This study was determined to be exempt by our institution’s IRB and was approved by the medical school’s Office of Evaluation and Assessment. This study was as a retrospective cohort study conducted at a single medical school in the Midwest region of the United States. The outcomes of interest were medical student performance in preclinical and clinical courses as well as the USMLE Step 1. The primary exposure of interest was participation in an optional preclinical, longitudinal US curriculum that occurred during the students’ first year. Study setting and medical school curriculum Our institution’s medical school has approximately 180 students per class. During this study, the preclinical curriculum was divided into blocks by organ system. The organ systems were divided into cardiovascular, pulmonary, renal, gastrointestinal, hematology/oncology, endocrine/reproduction, musculoskeletal, neurology, dermatology, psychiatry, and infectious diseases blocks. The preclinical curriculum is approximately 1.5 years with students learning normal anatomy, physiology, histology, embryology, pharmacology and pathophysiology within each block. The anatomy lab curriculum ran concurrently within these organ blocks. Students met for in-person cadaver lab sessions one to two times per week. Students began clinical rotations 1.5 years after matriculating to medical school. Core required clinical rotations included internal medicine, surgery, neurology, psychiatry, obstetrics/gynecology, pediatrics, and family medicine. USMLE Step 1 examination occurred at the end of their clinical rotations, which was generally 2.5 years into their training. Our institution’s medical school has approximately 180 students per class. During this study, the preclinical curriculum was divided into blocks by organ system. The organ systems were divided into cardiovascular, pulmonary, renal, gastrointestinal, hematology/oncology, endocrine/reproduction, musculoskeletal, neurology, dermatology, psychiatry, and infectious diseases blocks. The preclinical curriculum is approximately 1.5 years with students learning normal anatomy, physiology, histology, embryology, pharmacology and pathophysiology within each block. The anatomy lab curriculum ran concurrently within these organ blocks. Students met for in-person cadaver lab sessions one to two times per week. Students began clinical rotations 1.5 years after matriculating to medical school. Core required clinical rotations included internal medicine, surgery, neurology, psychiatry, obstetrics/gynecology, pediatrics, and family medicine. USMLE Step 1 examination occurred at the end of their clinical rotations, which was generally 2.5 years into their training. Testing and evaluation During the preclinical curriculum, students were evaluated with weekly or biweekly online multiple-choice exams followed by an end of block online multiple-choice final exam. The periodic exams included two anatomy questions per exam, and the final exam had two questions per cadaver lab session per block. The final exam was also accompanied by an in-person anatomy practical for which students were required to identify structures in a write-in exam. The anatomy exam score for each block was derived from the in-person practical as the percentage of correct out of total questions. The comprehensive exam score for each block was the percentage correct of all other evaluations including periodic quizzes and final exam, excluding the anatomy practical. During clinical rotations, students are evaluated with standardized National Board of Medical Examiners (NBME) shelf exams with the exception of the neurology exam, which was an institutional exam developed by the neurology clerkship director. During the preclinical curriculum, students were evaluated with weekly or biweekly online multiple-choice exams followed by an end of block online multiple-choice final exam. The periodic exams included two anatomy questions per exam, and the final exam had two questions per cadaver lab session per block. The final exam was also accompanied by an in-person anatomy practical for which students were required to identify structures in a write-in exam. The anatomy exam score for each block was derived from the in-person practical as the percentage of correct out of total questions. The comprehensive exam score for each block was the percentage correct of all other evaluations including periodic quizzes and final exam, excluding the anatomy practical. During clinical rotations, students are evaluated with standardized National Board of Medical Examiners (NBME) shelf exams with the exception of the neurology exam, which was an institutional exam developed by the neurology clerkship director. Selection of participants and predictor variables Shortly after matriculating, all students entering medical school in the fall of 2018 were offered a voluntary longitudinal US curriculum that was paired with their organ system blocks. The optional curriculum was advertised via email to the entire class and two email reminders were also delivered. Students were not asked to specifically decline the curriculum. Students applied for the curriculum and participants were selected by random lottery. Random selection was required because the maximum number of students was limited by physical space and number of instructors. The study flow diagram is detailed in Fig. 1. Students were considered using two different sets of categories. The primary set of comparisons was between students who participated and those that did not. The second set of comparisons, which was conducted as a supplemental analysis, was between three groups: accepted to the US curriculum, applied but not accepted, or did not apply. Acceptance into the program was randomly assigned from all applicants and does not represent selection based on merit. We conducted this second set of comparisons to control for students who might have shown more inherent interest in US and anatomy that might be associated with participation in the US program. For primary analyses age, gender, undergraduate degree, and Medical College Admission Test (MCAT) score percentile were also selected a priori as predictor variables. Fig. 1Study flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class Study flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class Shortly after matriculating, all students entering medical school in the fall of 2018 were offered a voluntary longitudinal US curriculum that was paired with their organ system blocks. The optional curriculum was advertised via email to the entire class and two email reminders were also delivered. Students were not asked to specifically decline the curriculum. Students applied for the curriculum and participants were selected by random lottery. Random selection was required because the maximum number of students was limited by physical space and number of instructors. The study flow diagram is detailed in Fig. 1. Students were considered using two different sets of categories. The primary set of comparisons was between students who participated and those that did not. The second set of comparisons, which was conducted as a supplemental analysis, was between three groups: accepted to the US curriculum, applied but not accepted, or did not apply. Acceptance into the program was randomly assigned from all applicants and does not represent selection based on merit. We conducted this second set of comparisons to control for students who might have shown more inherent interest in US and anatomy that might be associated with participation in the US program. For primary analyses age, gender, undergraduate degree, and Medical College Admission Test (MCAT) score percentile were also selected a priori as predictor variables. Fig. 1Study flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class Study flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class Ultrasound curriculum The selected students participated in five separate three hour hands-on sessions for a total of 15 h of in-person ultrasound education. Attendance by the selected students for all the sessions was mandatory. The five sessions were focused on head & neck, cardiovascular, abdominal, musculoskeletal, and procedural ultrasound. The sessions temporally aligned with the current block in their regular curriculum except for the procedural ultrasound session, which occurred during the students’ neurology block. Topics covered during each session are detailed in Table S1. Each session was led by ultrasound trained faculty from the Departments of Emergency Medicine (EM) and Radiology with ultrasound trained residents and fellows also serving as small group instructors. Faculty from Radiology were board certified radiologists. Faculty from EM were designated Clinical Ultrasound faculty by the department. Fellows were either board eligible radiologists training in a radiology subspecialty or board eligible emergency physicians in fellowship for advanced emergency ultrasound. Residents leading small groups were senior EM residents participating in the advance ultrasound professional development track. Students performed instructor led practice scans on each other or paid models. Prior to the session, students were sent instructional videos detailing image acquisition and a review of anatomy using ultrasound images. The instructional videos were created by senior medical students with supervision by ultrasound trained faculty and each was less than 10 min in length. During the procedural ultrasound session, they practiced basic bedside procedures such as central and peripheral intravenous line placement on simulators. Students were divided into groups of up to 5 students per instructor for the hands-on practice. For each session, the videos and small groups covered the topics listed in Table S1. Small group instructors provided bedside teaching including guidance on anatomy, external landmarks, machine use, image acquisition technique, and clinical relevance of ultrasound findings. The selected students participated in five separate three hour hands-on sessions for a total of 15 h of in-person ultrasound education. Attendance by the selected students for all the sessions was mandatory. The five sessions were focused on head & neck, cardiovascular, abdominal, musculoskeletal, and procedural ultrasound. The sessions temporally aligned with the current block in their regular curriculum except for the procedural ultrasound session, which occurred during the students’ neurology block. Topics covered during each session are detailed in Table S1. Each session was led by ultrasound trained faculty from the Departments of Emergency Medicine (EM) and Radiology with ultrasound trained residents and fellows also serving as small group instructors. Faculty from Radiology were board certified radiologists. Faculty from EM were designated Clinical Ultrasound faculty by the department. Fellows were either board eligible radiologists training in a radiology subspecialty or board eligible emergency physicians in fellowship for advanced emergency ultrasound. Residents leading small groups were senior EM residents participating in the advance ultrasound professional development track. Students performed instructor led practice scans on each other or paid models. Prior to the session, students were sent instructional videos detailing image acquisition and a review of anatomy using ultrasound images. The instructional videos were created by senior medical students with supervision by ultrasound trained faculty and each was less than 10 min in length. During the procedural ultrasound session, they practiced basic bedside procedures such as central and peripheral intravenous line placement on simulators. Students were divided into groups of up to 5 students per instructor for the hands-on practice. For each session, the videos and small groups covered the topics listed in Table S1. Small group instructors provided bedside teaching including guidance on anatomy, external landmarks, machine use, image acquisition technique, and clinical relevance of ultrasound findings. Selection of preclinical and clinical block outcomes Cardiovascular (CV), gastrointestinal (GI) and neurology block outcomes were selected from the preclinical curriculum. CV and GI blocks were matched to ultrasound curriculum hands-on sessions. The neurology block was not matched to an ultrasound session and served as a control. The musculoskeletal block was not included due to limited content overlap with the ultrasound session. We considered preclinical performance to be the primary outcome and within each block we analyzed cumulative block grades and separate anatomy grades. Secondary outcomes included shelf exam scores from the internal medicine, surgery, and neurology clerkships as well as USMLE Step 1 score. These clerkship exams were selected for overlap in content areas with the selected preclinical blocks. Other clinical and preclinical blocks were not selected because they were not matched in content to an ultrasound curriculum session and to limit multiple hypothesis testing. Cardiovascular (CV), gastrointestinal (GI) and neurology block outcomes were selected from the preclinical curriculum. CV and GI blocks were matched to ultrasound curriculum hands-on sessions. The neurology block was not matched to an ultrasound session and served as a control. The musculoskeletal block was not included due to limited content overlap with the ultrasound session. We considered preclinical performance to be the primary outcome and within each block we analyzed cumulative block grades and separate anatomy grades. Secondary outcomes included shelf exam scores from the internal medicine, surgery, and neurology clerkships as well as USMLE Step 1 score. These clerkship exams were selected for overlap in content areas with the selected preclinical blocks. Other clinical and preclinical blocks were not selected because they were not matched in content to an ultrasound curriculum session and to limit multiple hypothesis testing. Statistical Analysis Descriptive statistics were performed on all predictor and outcome variables. Continuous variables were described by means with standard deviations and evaluation for statistically significant differences by group using two sample t-tests or one-way analysis of variance for the supplemental three-group comparison. Categorical variables were described by counts with percentages and compared using the chi squared test. Multivariable linear regression was used to determine the association of participation in the US curriculum with preclinical exam scores after adjustment for MCAT percentile, undergraduate science or engineering major, age and gender of the student. Bonferroni correction was used to adjust p-values for six comparisons in the analysis of preclinical exam scores. All statistical analyses were performed in RStudio version 1.2.5 (RStudio, Boston, MA) with R version 3.6.2 (The R Foundation, Vienna, Austria). Descriptive statistics were performed on all predictor and outcome variables. Continuous variables were described by means with standard deviations and evaluation for statistically significant differences by group using two sample t-tests or one-way analysis of variance for the supplemental three-group comparison. Categorical variables were described by counts with percentages and compared using the chi squared test. Multivariable linear regression was used to determine the association of participation in the US curriculum with preclinical exam scores after adjustment for MCAT percentile, undergraduate science or engineering major, age and gender of the student. Bonferroni correction was used to adjust p-values for six comparisons in the analysis of preclinical exam scores. All statistical analyses were performed in RStudio version 1.2.5 (RStudio, Boston, MA) with R version 3.6.2 (The R Foundation, Vienna, Austria). Study Design: This study was determined to be exempt by our institution’s IRB and was approved by the medical school’s Office of Evaluation and Assessment. This study was as a retrospective cohort study conducted at a single medical school in the Midwest region of the United States. The outcomes of interest were medical student performance in preclinical and clinical courses as well as the USMLE Step 1. The primary exposure of interest was participation in an optional preclinical, longitudinal US curriculum that occurred during the students’ first year. Study setting and medical school curriculum: Our institution’s medical school has approximately 180 students per class. During this study, the preclinical curriculum was divided into blocks by organ system. The organ systems were divided into cardiovascular, pulmonary, renal, gastrointestinal, hematology/oncology, endocrine/reproduction, musculoskeletal, neurology, dermatology, psychiatry, and infectious diseases blocks. The preclinical curriculum is approximately 1.5 years with students learning normal anatomy, physiology, histology, embryology, pharmacology and pathophysiology within each block. The anatomy lab curriculum ran concurrently within these organ blocks. Students met for in-person cadaver lab sessions one to two times per week. Students began clinical rotations 1.5 years after matriculating to medical school. Core required clinical rotations included internal medicine, surgery, neurology, psychiatry, obstetrics/gynecology, pediatrics, and family medicine. USMLE Step 1 examination occurred at the end of their clinical rotations, which was generally 2.5 years into their training. Testing and evaluation: During the preclinical curriculum, students were evaluated with weekly or biweekly online multiple-choice exams followed by an end of block online multiple-choice final exam. The periodic exams included two anatomy questions per exam, and the final exam had two questions per cadaver lab session per block. The final exam was also accompanied by an in-person anatomy practical for which students were required to identify structures in a write-in exam. The anatomy exam score for each block was derived from the in-person practical as the percentage of correct out of total questions. The comprehensive exam score for each block was the percentage correct of all other evaluations including periodic quizzes and final exam, excluding the anatomy practical. During clinical rotations, students are evaluated with standardized National Board of Medical Examiners (NBME) shelf exams with the exception of the neurology exam, which was an institutional exam developed by the neurology clerkship director. Selection of participants and predictor variables: Shortly after matriculating, all students entering medical school in the fall of 2018 were offered a voluntary longitudinal US curriculum that was paired with their organ system blocks. The optional curriculum was advertised via email to the entire class and two email reminders were also delivered. Students were not asked to specifically decline the curriculum. Students applied for the curriculum and participants were selected by random lottery. Random selection was required because the maximum number of students was limited by physical space and number of instructors. The study flow diagram is detailed in Fig. 1. Students were considered using two different sets of categories. The primary set of comparisons was between students who participated and those that did not. The second set of comparisons, which was conducted as a supplemental analysis, was between three groups: accepted to the US curriculum, applied but not accepted, or did not apply. Acceptance into the program was randomly assigned from all applicants and does not represent selection based on merit. We conducted this second set of comparisons to control for students who might have shown more inherent interest in US and anatomy that might be associated with participation in the US program. For primary analyses age, gender, undergraduate degree, and Medical College Admission Test (MCAT) score percentile were also selected a priori as predictor variables. Fig. 1Study flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class Study flow diagram. Students who applied to the US curriculum were selected at random for 51 available spots. All students matriculated to the same first year medical school class Ultrasound curriculum: The selected students participated in five separate three hour hands-on sessions for a total of 15 h of in-person ultrasound education. Attendance by the selected students for all the sessions was mandatory. The five sessions were focused on head & neck, cardiovascular, abdominal, musculoskeletal, and procedural ultrasound. The sessions temporally aligned with the current block in their regular curriculum except for the procedural ultrasound session, which occurred during the students’ neurology block. Topics covered during each session are detailed in Table S1. Each session was led by ultrasound trained faculty from the Departments of Emergency Medicine (EM) and Radiology with ultrasound trained residents and fellows also serving as small group instructors. Faculty from Radiology were board certified radiologists. Faculty from EM were designated Clinical Ultrasound faculty by the department. Fellows were either board eligible radiologists training in a radiology subspecialty or board eligible emergency physicians in fellowship for advanced emergency ultrasound. Residents leading small groups were senior EM residents participating in the advance ultrasound professional development track. Students performed instructor led practice scans on each other or paid models. Prior to the session, students were sent instructional videos detailing image acquisition and a review of anatomy using ultrasound images. The instructional videos were created by senior medical students with supervision by ultrasound trained faculty and each was less than 10 min in length. During the procedural ultrasound session, they practiced basic bedside procedures such as central and peripheral intravenous line placement on simulators. Students were divided into groups of up to 5 students per instructor for the hands-on practice. For each session, the videos and small groups covered the topics listed in Table S1. Small group instructors provided bedside teaching including guidance on anatomy, external landmarks, machine use, image acquisition technique, and clinical relevance of ultrasound findings. Selection of preclinical and clinical block outcomes: Cardiovascular (CV), gastrointestinal (GI) and neurology block outcomes were selected from the preclinical curriculum. CV and GI blocks were matched to ultrasound curriculum hands-on sessions. The neurology block was not matched to an ultrasound session and served as a control. The musculoskeletal block was not included due to limited content overlap with the ultrasound session. We considered preclinical performance to be the primary outcome and within each block we analyzed cumulative block grades and separate anatomy grades. Secondary outcomes included shelf exam scores from the internal medicine, surgery, and neurology clerkships as well as USMLE Step 1 score. These clerkship exams were selected for overlap in content areas with the selected preclinical blocks. Other clinical and preclinical blocks were not selected because they were not matched in content to an ultrasound curriculum session and to limit multiple hypothesis testing. Statistical Analysis: Descriptive statistics were performed on all predictor and outcome variables. Continuous variables were described by means with standard deviations and evaluation for statistically significant differences by group using two sample t-tests or one-way analysis of variance for the supplemental three-group comparison. Categorical variables were described by counts with percentages and compared using the chi squared test. Multivariable linear regression was used to determine the association of participation in the US curriculum with preclinical exam scores after adjustment for MCAT percentile, undergraduate science or engineering major, age and gender of the student. Bonferroni correction was used to adjust p-values for six comparisons in the analysis of preclinical exam scores. All statistical analyses were performed in RStudio version 1.2.5 (RStudio, Boston, MA) with R version 3.6.2 (The R Foundation, Vienna, Austria). Results: Student characteristics One hundred and seventy-eight medical students in the class were studied. Seventy-six (43%) applied for the longitudinal US curriculum and of these, fifty-one (29%) were accepted. These groups are enumerated in the study flow diagram (Fig. 1). There were no statistically significant differences between students who participated in the US curriculum and those that did not for age, gender, science or engineering undergraduate degree or MCAT percentile (Table 1). There were also no significant differences when these characteristics were compared with those students that applied but were not accepted as a separate group (Table S2). Table 1Student CharacteristicsUS CurriculumNo US Curriculump-valueNumber of students, n (%)51 (28.7%)127 (71.3%)Age, mean years (SD)24.9 (2.1)25 (2.1)0.696Female, n (%)23 (45.1%)74 (58.3%)0.153Science or engineering degree, n (%)33 (64.7%)14 (59.1%)0.597MCAT percentile, mean (SD)a91 (9.3)89.5 (10.5)0.371a3 students in the cohort did not have MCAT scores available Student Characteristics a3 students in the cohort did not have MCAT scores available One hundred and seventy-eight medical students in the class were studied. Seventy-six (43%) applied for the longitudinal US curriculum and of these, fifty-one (29%) were accepted. These groups are enumerated in the study flow diagram (Fig. 1). There were no statistically significant differences between students who participated in the US curriculum and those that did not for age, gender, science or engineering undergraduate degree or MCAT percentile (Table 1). There were also no significant differences when these characteristics were compared with those students that applied but were not accepted as a separate group (Table S2). Table 1Student CharacteristicsUS CurriculumNo US Curriculump-valueNumber of students, n (%)51 (28.7%)127 (71.3%)Age, mean years (SD)24.9 (2.1)25 (2.1)0.696Female, n (%)23 (45.1%)74 (58.3%)0.153Science or engineering degree, n (%)33 (64.7%)14 (59.1%)0.597MCAT percentile, mean (SD)a91 (9.3)89.5 (10.5)0.371a3 students in the cohort did not have MCAT scores available Student Characteristics a3 students in the cohort did not have MCAT scores available Preclinical organ block performance Students who participated in the US curriculum had a higher mean score for the CV anatomy Sect. (92.1 v 88.7, p = 0.008) (Table 2). However, this difference was not seen in the cumulative CV scores. There were no significant differences in either anatomy or cumulative exam scores in the GI and neurology blocks. After correction for multiple comparisons, the difference in mean CV anatomy scores remained statistically significant (p = 0.048). When students that applied but were not accepted were treated as a third separate group, students who participated in the US curriculum continued to have a higher mean score for CV anatomy (Table S3). The association between participation in the US curriculum and CV exam scores was estimated using multivariable linear regression with student age, gender, science or engineering degree status, and MCAT percentile as a priori selected covariates (Fig. 2). Participation in the US curriculum resulted in a significant increase in predicted CV anatomy scores (3.48 points, 95% CI 0.78 - 6.18). Other covariates were not associated with a significant effect. For the CV cumulative score, participation did not result in a significant effect although MCAT percentile did predict better performance (0.15 CV cumulative score points per MCAT percentile point, 95% CI 0.08 - 0.23). When students who applied but were not accepted were treated as a separate group in this model (Fig. S1), participation in the US curriculum also predicted higher CV anatomy scores with a similar magnitude (3.18 points, 95% CI 0.38 - 5.98). There was also no difference in CV cumulative scores with unaccepted students as a separate group and MCAT percentile remained predictive of higher CV cumulative score in this model (Fig. S2). Table 2First year organ block scoresOrgan system block, mean score (SD)US CurriculumNo US CurriculumDifference in meansc (95% CI)Cardiovascular - Anatomy92.1 (7.3)88.5 (8.3)3.4 (0.9 - 6.2)%Cardiovascular - Cumulativea90.5 (4.8)90.3 (5.3)0.2 (-1.5 - 1.9)Gastrointestinal - Anatomy84.6 (6.8)83.5 (8.9)0.8 (-1.6 - 3.9)Gastrointestinal - Cumulative87.0 (5.1)86.6 (5.7)0.2 (-1.4 - 2.2)Neurological - Anatomy81.7 (8.9)81.5 (8.8)0.2 (-2.7 - 3.1)Neurological – Cumulativeb82.8 (5.3)83.0 (5.1)-0.2 (-1.9 - 1.5)%p-value = 0.008 (0.048 after correction for six comparisons)a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excludedb1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excludedcNo US Curriculum is the reference group for difference in means First year organ block scores %p-value = 0.008 (0.048 after correction for six comparisons) a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excluded b1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excluded cNo US Curriculum is the reference group for difference in means Fig. 2A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test Students who participated in the US curriculum had a higher mean score for the CV anatomy Sect. (92.1 v 88.7, p = 0.008) (Table 2). However, this difference was not seen in the cumulative CV scores. There were no significant differences in either anatomy or cumulative exam scores in the GI and neurology blocks. After correction for multiple comparisons, the difference in mean CV anatomy scores remained statistically significant (p = 0.048). When students that applied but were not accepted were treated as a third separate group, students who participated in the US curriculum continued to have a higher mean score for CV anatomy (Table S3). The association between participation in the US curriculum and CV exam scores was estimated using multivariable linear regression with student age, gender, science or engineering degree status, and MCAT percentile as a priori selected covariates (Fig. 2). Participation in the US curriculum resulted in a significant increase in predicted CV anatomy scores (3.48 points, 95% CI 0.78 - 6.18). Other covariates were not associated with a significant effect. For the CV cumulative score, participation did not result in a significant effect although MCAT percentile did predict better performance (0.15 CV cumulative score points per MCAT percentile point, 95% CI 0.08 - 0.23). When students who applied but were not accepted were treated as a separate group in this model (Fig. S1), participation in the US curriculum also predicted higher CV anatomy scores with a similar magnitude (3.18 points, 95% CI 0.38 - 5.98). There was also no difference in CV cumulative scores with unaccepted students as a separate group and MCAT percentile remained predictive of higher CV cumulative score in this model (Fig. S2). Table 2First year organ block scoresOrgan system block, mean score (SD)US CurriculumNo US CurriculumDifference in meansc (95% CI)Cardiovascular - Anatomy92.1 (7.3)88.5 (8.3)3.4 (0.9 - 6.2)%Cardiovascular - Cumulativea90.5 (4.8)90.3 (5.3)0.2 (-1.5 - 1.9)Gastrointestinal - Anatomy84.6 (6.8)83.5 (8.9)0.8 (-1.6 - 3.9)Gastrointestinal - Cumulative87.0 (5.1)86.6 (5.7)0.2 (-1.4 - 2.2)Neurological - Anatomy81.7 (8.9)81.5 (8.8)0.2 (-2.7 - 3.1)Neurological – Cumulativeb82.8 (5.3)83.0 (5.1)-0.2 (-1.9 - 1.5)%p-value = 0.008 (0.048 after correction for six comparisons)a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excludedb1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excludedcNo US Curriculum is the reference group for difference in means First year organ block scores %p-value = 0.008 (0.048 after correction for six comparisons) a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excluded b1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excluded cNo US Curriculum is the reference group for difference in means Fig. 2A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test Clinical clerkship shelf exam and USMLE Step 1 performance Clerkship and USMLE Step 1 scores are detailed Table 3. Students who participated in the US curriculum did not score significantly higher in shelf exams for internal medicine, surgery and neurology. Mean surgery shelf exam scores were higher (77.3 vs. 74.6) for students who participated in the US curriculum although this difference did not reach statistical significance (p = 0.051). Students who participated in the US curriculum also had a mean USMLE Step 1 score that was higher (241.9 vs. 237.3) than students who did not participate in the US curriculum, but this difference was also not statistically significant (p = 0.081). Table 3Clerkship shelf scores and USMLE Step 1US CurriculumNo US Curriculump-valueUSMLE Step 1, mean score (SD)a241.9 (13.5)237.2 (17.1)0.081Internal medicine shelf exam, mean score (SD)b76.9 (7.7)75.1 (9.3)0.360Neurology shelf exam, mean score (SD)c87.1 (6.0)86.4 (6.5)0.212Surgery shelf exam, mean score (SD)d77.3 (7.0)74.6 (8.5)0.051a7 students in the cohort did not have USMLE Step 1 scores availableb3 students did not have internal medicine shelf exam scores availablec2 students did not have neurology shelf exam scores availabled2 students did not have surgery shelf exam scores available Clerkship shelf scores and USMLE Step 1 a7 students in the cohort did not have USMLE Step 1 scores available b3 students did not have internal medicine shelf exam scores available c2 students did not have neurology shelf exam scores available d2 students did not have surgery shelf exam scores available Clerkship and USMLE Step 1 scores are detailed Table 3. Students who participated in the US curriculum did not score significantly higher in shelf exams for internal medicine, surgery and neurology. Mean surgery shelf exam scores were higher (77.3 vs. 74.6) for students who participated in the US curriculum although this difference did not reach statistical significance (p = 0.051). Students who participated in the US curriculum also had a mean USMLE Step 1 score that was higher (241.9 vs. 237.3) than students who did not participate in the US curriculum, but this difference was also not statistically significant (p = 0.081). Table 3Clerkship shelf scores and USMLE Step 1US CurriculumNo US Curriculump-valueUSMLE Step 1, mean score (SD)a241.9 (13.5)237.2 (17.1)0.081Internal medicine shelf exam, mean score (SD)b76.9 (7.7)75.1 (9.3)0.360Neurology shelf exam, mean score (SD)c87.1 (6.0)86.4 (6.5)0.212Surgery shelf exam, mean score (SD)d77.3 (7.0)74.6 (8.5)0.051a7 students in the cohort did not have USMLE Step 1 scores availableb3 students did not have internal medicine shelf exam scores availablec2 students did not have neurology shelf exam scores availabled2 students did not have surgery shelf exam scores available Clerkship shelf scores and USMLE Step 1 a7 students in the cohort did not have USMLE Step 1 scores available b3 students did not have internal medicine shelf exam scores available c2 students did not have neurology shelf exam scores available d2 students did not have surgery shelf exam scores available Student characteristics: One hundred and seventy-eight medical students in the class were studied. Seventy-six (43%) applied for the longitudinal US curriculum and of these, fifty-one (29%) were accepted. These groups are enumerated in the study flow diagram (Fig. 1). There were no statistically significant differences between students who participated in the US curriculum and those that did not for age, gender, science or engineering undergraduate degree or MCAT percentile (Table 1). There were also no significant differences when these characteristics were compared with those students that applied but were not accepted as a separate group (Table S2). Table 1Student CharacteristicsUS CurriculumNo US Curriculump-valueNumber of students, n (%)51 (28.7%)127 (71.3%)Age, mean years (SD)24.9 (2.1)25 (2.1)0.696Female, n (%)23 (45.1%)74 (58.3%)0.153Science or engineering degree, n (%)33 (64.7%)14 (59.1%)0.597MCAT percentile, mean (SD)a91 (9.3)89.5 (10.5)0.371a3 students in the cohort did not have MCAT scores available Student Characteristics a3 students in the cohort did not have MCAT scores available Preclinical organ block performance: Students who participated in the US curriculum had a higher mean score for the CV anatomy Sect. (92.1 v 88.7, p = 0.008) (Table 2). However, this difference was not seen in the cumulative CV scores. There were no significant differences in either anatomy or cumulative exam scores in the GI and neurology blocks. After correction for multiple comparisons, the difference in mean CV anatomy scores remained statistically significant (p = 0.048). When students that applied but were not accepted were treated as a third separate group, students who participated in the US curriculum continued to have a higher mean score for CV anatomy (Table S3). The association between participation in the US curriculum and CV exam scores was estimated using multivariable linear regression with student age, gender, science or engineering degree status, and MCAT percentile as a priori selected covariates (Fig. 2). Participation in the US curriculum resulted in a significant increase in predicted CV anatomy scores (3.48 points, 95% CI 0.78 - 6.18). Other covariates were not associated with a significant effect. For the CV cumulative score, participation did not result in a significant effect although MCAT percentile did predict better performance (0.15 CV cumulative score points per MCAT percentile point, 95% CI 0.08 - 0.23). When students who applied but were not accepted were treated as a separate group in this model (Fig. S1), participation in the US curriculum also predicted higher CV anatomy scores with a similar magnitude (3.18 points, 95% CI 0.38 - 5.98). There was also no difference in CV cumulative scores with unaccepted students as a separate group and MCAT percentile remained predictive of higher CV cumulative score in this model (Fig. S2). Table 2First year organ block scoresOrgan system block, mean score (SD)US CurriculumNo US CurriculumDifference in meansc (95% CI)Cardiovascular - Anatomy92.1 (7.3)88.5 (8.3)3.4 (0.9 - 6.2)%Cardiovascular - Cumulativea90.5 (4.8)90.3 (5.3)0.2 (-1.5 - 1.9)Gastrointestinal - Anatomy84.6 (6.8)83.5 (8.9)0.8 (-1.6 - 3.9)Gastrointestinal - Cumulative87.0 (5.1)86.6 (5.7)0.2 (-1.4 - 2.2)Neurological - Anatomy81.7 (8.9)81.5 (8.8)0.2 (-2.7 - 3.1)Neurological – Cumulativeb82.8 (5.3)83.0 (5.1)-0.2 (-1.9 - 1.5)%p-value = 0.008 (0.048 after correction for six comparisons)a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excludedb1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excludedcNo US Curriculum is the reference group for difference in means First year organ block scores %p-value = 0.008 (0.048 after correction for six comparisons) a1 zero score was reported in the Cardiovascular - Cumulative Exam in the No US Curriculum group and excluded b1 zero score was reported in the Neurological - Cumulative Exam in the No US Curriculum group and excluded cNo US Curriculum is the reference group for difference in means Fig. 2A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test A Forest plot for estimate of effect on cardiovascular anatomy score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular anatomy exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT scores available and these observations were subject to listwise deletion. MCAT = Medical College Admission Test. B Forest plot for estimate of effect on cardiovascular cumulative score. The estimate effect for each variable is plotted in the middle column. The square represents the point estimate of effect and error bars are the 95% confidence interval. Higher estimate indicates higher score on the cardiovascular cumulative exam. Estimate for age is per year and estimate for MCAT percentile is per percentile point. Three students did not have MCAT score available and one student received a zero score on this exam. These observations were subject to listwise deletion. MCAT = Medical College Admission Test Clinical clerkship shelf exam and USMLE Step 1 performance: Clerkship and USMLE Step 1 scores are detailed Table 3. Students who participated in the US curriculum did not score significantly higher in shelf exams for internal medicine, surgery and neurology. Mean surgery shelf exam scores were higher (77.3 vs. 74.6) for students who participated in the US curriculum although this difference did not reach statistical significance (p = 0.051). Students who participated in the US curriculum also had a mean USMLE Step 1 score that was higher (241.9 vs. 237.3) than students who did not participate in the US curriculum, but this difference was also not statistically significant (p = 0.081). Table 3Clerkship shelf scores and USMLE Step 1US CurriculumNo US Curriculump-valueUSMLE Step 1, mean score (SD)a241.9 (13.5)237.2 (17.1)0.081Internal medicine shelf exam, mean score (SD)b76.9 (7.7)75.1 (9.3)0.360Neurology shelf exam, mean score (SD)c87.1 (6.0)86.4 (6.5)0.212Surgery shelf exam, mean score (SD)d77.3 (7.0)74.6 (8.5)0.051a7 students in the cohort did not have USMLE Step 1 scores availableb3 students did not have internal medicine shelf exam scores availablec2 students did not have neurology shelf exam scores availabled2 students did not have surgery shelf exam scores available Clerkship shelf scores and USMLE Step 1 a7 students in the cohort did not have USMLE Step 1 scores available b3 students did not have internal medicine shelf exam scores available c2 students did not have neurology shelf exam scores available d2 students did not have surgery shelf exam scores available Discussion: Medical students who participated in the longitudinal US curriculum did not have improved preclinical exam scores in gastrointestinal or neurology preclinical blocks. Within the cardiovascular block, medical students who participated in the US curriculum had improved performance on the anatomy practical. This supports our hypothesis that an US curriculum would be associated with improved performance in blocks where the US application was more closely linked to anatomy; as in the link between echocardiography and cardiac anatomy. Thus, the US curriculum as a supplement to the cardiovascular block may have reinforced the information and improved exam scores. We did not expect the US curriculum to impact neurology scores since there were no US curriculum sessions were dedicated to neurological anatomy. The head and neck session did not cover brain, spine or other neuroanatomy. Contrary to our hypothesis, there were no significant differences in GI anatomy exam scores between US curriculum groups. Given the relatively common application of ultrasound to hepatobiliary disease, we expected improvement in GI anatomy exam scores for students that participated in the US curriculum. However, the GI block content and anatomy exam focused primarily on luminal structures, thus limiting anatomic relevance of common US applications for this block. There were no statistically significant differences in surgery, internal medicine or neurology shelf exam scores as a result of participation in the US curriculum. On the surgery shelf exam, students who participated in the US curriculum scored better but this difference did not reach statistical significance (77.3 vs. 74.6, p = 0.051). Our US curriculum covered the FAST exam extensively, which provides a practical overview of abdominal anatomy. This correlation could have led to these improved exam scores, as Blackstock et al. previously demonstrated that a dedicated US curriculum led to a better understanding of the focused assessment with sonography in trauma (FAST) [9]. There were also no statistically significant differences in USMLE Step 1 scores associated with participation in the US curriculum (mean 241.9 for those students in the US curriculum vs. 237.3 for students not in the curriculum, p = 0.081). Liu et al. also reported finding no difference associated with participation in the US curriculum for USMLE Step 1 [27]. Contrary to our results, Liu et al. found no difference in anatomy exam scores, but did find an association with improved assessment of physical examination skills [27]. There are several key differences between our study and Liu et al. First, our study examined individual organ block performance rather than anatomy or physiology across multiple organ systems, likely leading to a specific association between the US curriculum and performance. We also evaluated all students as a cohort from a single medical school class rather than small samples from two classes (51 students in the US curriculum in one year vs. 34 total over two years). Indeed, Liu et al. reported heterogeneity in their results across years including anatomy performance which was significantly improved by the US curriculum in one year but not the other. Exams at our institution were considered summative rather than formative which may also have increased individual student motivation to maximize exam performance. Finally, while a common method of assessment, standardized exam scores have been shown to correlate poorly with clinical performance [28] and thus are likely to be limited as a marker of learning success from an US curriculum. Future studies should consider other markers of learning success such as student evaluations in clerkships with significant POCUS use such as emergency medicine, anesthesia and critical care. Limitations Our study was limited in size to a single medical school class entering in the Fall of 2018. Thus, preclinical and clinical performance may have been affected by class specific effects. However, this may also have the effect of limiting heterogeneity from other curriculum and evaluation changes that occur year-to-year. Selection bias may also have impacted our results, as we relied on volunteers to sign up for the ultrasound curriculum. This could lead to a self-selecting population of anatomy-savvy students or higher performing students signing up for this course. However, when comparing students that volunteered for the US curriculum but were not accepted, students that participated in the curriculum continued to outperform both those that did not apply and those that were not selected in CV anatomy (Figure S1). We were not able to provide the US curriculum to all students who applied due to limitations on physical space, equipment and instructors. These resource limitations necessitated random selection of students from the pool that applied. Our US curriculum included an additional 15 h of structured instruction time but students that did not participate in the US curriculum were not required to attend other structured coursework during this time. This may confound interpretation of our results as some students may have used this additional time for independent study or non-academic activities. Furthermore, students participated in the US curriculum only during their first year and the effect of the US curriculum may wane over subsequent years. Our study’s generalizability and reliability is subject to some of the same issues as many single-site interventions. While our institution’s medical school uses standardized, best practices based assessments of medical students this is not universal. Specific organ block preclinical exams covering anatomy, physiology and pathophysiology may differ across institutions and by year within institutions. Additionally, our neurology shelf exam is not a nationally standardized exam. Our US curriculum was primarily taught by instructors from the Departments of Emergency Medicine and Radiology leading to a focus on application of ultrasound specific to these two specialties. This may limit the applicability of our results to institutions with similar instructors. Despite these limitations, to our knowledge, this is the first study to evaluate the influence of a longitudinal US curriculum on medical student performance on individual preclinical and clinical courses as well as USMLE Step 1. Our study was limited in size to a single medical school class entering in the Fall of 2018. Thus, preclinical and clinical performance may have been affected by class specific effects. However, this may also have the effect of limiting heterogeneity from other curriculum and evaluation changes that occur year-to-year. Selection bias may also have impacted our results, as we relied on volunteers to sign up for the ultrasound curriculum. This could lead to a self-selecting population of anatomy-savvy students or higher performing students signing up for this course. However, when comparing students that volunteered for the US curriculum but were not accepted, students that participated in the curriculum continued to outperform both those that did not apply and those that were not selected in CV anatomy (Figure S1). We were not able to provide the US curriculum to all students who applied due to limitations on physical space, equipment and instructors. These resource limitations necessitated random selection of students from the pool that applied. Our US curriculum included an additional 15 h of structured instruction time but students that did not participate in the US curriculum were not required to attend other structured coursework during this time. This may confound interpretation of our results as some students may have used this additional time for independent study or non-academic activities. Furthermore, students participated in the US curriculum only during their first year and the effect of the US curriculum may wane over subsequent years. Our study’s generalizability and reliability is subject to some of the same issues as many single-site interventions. While our institution’s medical school uses standardized, best practices based assessments of medical students this is not universal. Specific organ block preclinical exams covering anatomy, physiology and pathophysiology may differ across institutions and by year within institutions. Additionally, our neurology shelf exam is not a nationally standardized exam. Our US curriculum was primarily taught by instructors from the Departments of Emergency Medicine and Radiology leading to a focus on application of ultrasound specific to these two specialties. This may limit the applicability of our results to institutions with similar instructors. Despite these limitations, to our knowledge, this is the first study to evaluate the influence of a longitudinal US curriculum on medical student performance on individual preclinical and clinical courses as well as USMLE Step 1. Limitations: Our study was limited in size to a single medical school class entering in the Fall of 2018. Thus, preclinical and clinical performance may have been affected by class specific effects. However, this may also have the effect of limiting heterogeneity from other curriculum and evaluation changes that occur year-to-year. Selection bias may also have impacted our results, as we relied on volunteers to sign up for the ultrasound curriculum. This could lead to a self-selecting population of anatomy-savvy students or higher performing students signing up for this course. However, when comparing students that volunteered for the US curriculum but were not accepted, students that participated in the curriculum continued to outperform both those that did not apply and those that were not selected in CV anatomy (Figure S1). We were not able to provide the US curriculum to all students who applied due to limitations on physical space, equipment and instructors. These resource limitations necessitated random selection of students from the pool that applied. Our US curriculum included an additional 15 h of structured instruction time but students that did not participate in the US curriculum were not required to attend other structured coursework during this time. This may confound interpretation of our results as some students may have used this additional time for independent study or non-academic activities. Furthermore, students participated in the US curriculum only during their first year and the effect of the US curriculum may wane over subsequent years. Our study’s generalizability and reliability is subject to some of the same issues as many single-site interventions. While our institution’s medical school uses standardized, best practices based assessments of medical students this is not universal. Specific organ block preclinical exams covering anatomy, physiology and pathophysiology may differ across institutions and by year within institutions. Additionally, our neurology shelf exam is not a nationally standardized exam. Our US curriculum was primarily taught by instructors from the Departments of Emergency Medicine and Radiology leading to a focus on application of ultrasound specific to these two specialties. This may limit the applicability of our results to institutions with similar instructors. Despite these limitations, to our knowledge, this is the first study to evaluate the influence of a longitudinal US curriculum on medical student performance on individual preclinical and clinical courses as well as USMLE Step 1. Conclusions: Participation in a preclinical longitudinal US curriculum was associated with improved exam performance in cardiovascular anatomy but not the exam score for a comprehensive exam of other cardiovascular system concepts. Neither anatomy or comprehensive exam scores for neurology and gastrointestinal organ system blocks were improved. Future studies can further evaluate this association with a more expansive curriculum to include renal, musculoskeletal, and obstetric ultrasound and its association with the corresponding preclinical and clinical courses. Additionally, prospective data collection for US curriculum specific effects or use of a control intervention may be required to further elucidate the impact of preclinical US curricula. While further studies across multiple institutions and medical school classes is required, implementation of a dedicated US curriculum early in medical training may improve performance in subsequent preclinical and clinical coursework. Supplementary Information: Additional file 1.Additional file 2.Additional file 3. Additional file 1. Additional file 2. Additional file 3. Additional file 1.Additional file 2.Additional file 3. Additional file 1. Additional file 2. Additional file 3. : Additional file 1.Additional file 2.Additional file 3. Additional file 1. Additional file 2. Additional file 3.
Background: Point-of-care ultrasound (US) is used in clinical practice across many specialties. Ultrasound (US) curricula for medical students are increasingly common. Optimal timing, structure, and effect of ultrasound education during medical school remains poorly understood. This study aims to retrospectively determine the association between participation in a preclinical, longitudinal US curriculum and medical student academic performance. Methods: All first-year medical students at a medical school in the Midwest region of the United States were offered a voluntary longitudinal US curriculum. Participants were selected by random lottery. The curriculum consisted of five three-hour hands on-sessions with matching asynchronous content covering anatomy and pathologic findings. Content was paired with organ system blocks in the standard first year curriculum at our medical school. Exam scores between the participating and non-participating students were compared to evaluate the objective impact of US education on performance in an existing curriculum. We hypothesized that there would be an association between participation in the curriculum and improved medical student performance. Secondary outcomes included shelf exam scores for the surgery, internal medicine, neurology clerkships and USMLE Step 1. A multivariable linear regression model was used to evaluate the association of US curriculum participation with student performance. Scores were adjusted for age, gender, MCAT percentile, and science or engineering degree. Results: 76 of 178 students applied to participate in the curriculum, of which 51 were accepted. US curriculum students were compared to non-participating students (n = 127) from the same class. The US curriculum students performed better in cardiovascular anatomy (mean score 92.1 vs. 88.7, p = 0.048 after adjustment for multiple comparisons). There were no significant differences in cumulative cardiovascular exam scores, or in anatomy and cumulative exam scores for the gastroenterology and neurology blocks. The effect of US curriculum participation on cardiovascular anatomy scores was estimated to be an improvement of 3.48 points (95% CI 0.78-6.18). No significant differences were observed for USMLE Step 1 or clerkship shelf exams. There were no significant differences in either preclinical, clerkship or Step 1 score for the 25 students who applied and were not accepted and the 102 who did not apply. Conclusions: Participation in a preclinical longitudinal US curriculum was associated with improved exam performance in cardiovascular anatomy but not examination of other cardiovascular system concepts. Neither anatomy or comprehensive exam scores for neurology and gastrointestinal organ system blocks were improved.
Introduction: Background Point-of-care ultrasound (POCUS) is an integral component of patient care and an important aspect of resident education across a variety of specialties such as emergency medicine [1, 2],, internal medicine [3, 4], family medicine [5], surgery [6], and anesthesiology [7]. POCUS curricula have been developed in medical schools across the country in recognition of the increasingly important role POCUS has across disciplines [8–11]. Undergraduate medical education (UME) POCUS curricula include one-day simulation labs, electives, longitudinal preclinical and clinical courses but these different approaches of POCUS education have had unclear association with medical student performance [11–13]. Students consider POCUS education to be an important part of their clinical education and future practice of medicine [14]. Trainees view POCUS education as valuable and provides them with more confidence in their diagnostic capabilities and ultrasound skills [12, 15, 16]. POCUS education is associated with improved student attitude, confidence, and ability to perform physical exams and improved evaluation of these exam skills in Objective Standardized Clinical Examination (OSCE) scores [17–20]. POCUS education has also been associated with increased student confidence in performance of bedside procedures [19, 21–23]. Kondrashov et al. evaluated the impact of an US course on anatomy knowledge, however a pre- and post-test created specifically for the course was used for assessment [24]. Overall, multiple studies have shown that student comprehension of anatomic concepts improve after completion of an US curriculum but have relied on student survey data as the method of assessment with limited longitudinal evaluation of student performance. A systematic and critical review published in 2017 reported that despite the growing support for POCUS education in UME, there is limited data to objectively express the impact of POCUS education on preclinical assessments and insufficient empirical evidence to substantiate claims of benefit [25]. This has led to calls for further evidence to define the optimal timing and role for ultrasound in UME [26]. Given the limited data, we sought to determine the effects of a longitudinal preclinical ultrasound (US) curriculum on medical student performance. Objectives Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Point-of-care ultrasound (POCUS) is an integral component of patient care and an important aspect of resident education across a variety of specialties such as emergency medicine [1, 2],, internal medicine [3, 4], family medicine [5], surgery [6], and anesthesiology [7]. POCUS curricula have been developed in medical schools across the country in recognition of the increasingly important role POCUS has across disciplines [8–11]. Undergraduate medical education (UME) POCUS curricula include one-day simulation labs, electives, longitudinal preclinical and clinical courses but these different approaches of POCUS education have had unclear association with medical student performance [11–13]. Students consider POCUS education to be an important part of their clinical education and future practice of medicine [14]. Trainees view POCUS education as valuable and provides them with more confidence in their diagnostic capabilities and ultrasound skills [12, 15, 16]. POCUS education is associated with improved student attitude, confidence, and ability to perform physical exams and improved evaluation of these exam skills in Objective Standardized Clinical Examination (OSCE) scores [17–20]. POCUS education has also been associated with increased student confidence in performance of bedside procedures [19, 21–23]. Kondrashov et al. evaluated the impact of an US course on anatomy knowledge, however a pre- and post-test created specifically for the course was used for assessment [24]. Overall, multiple studies have shown that student comprehension of anatomic concepts improve after completion of an US curriculum but have relied on student survey data as the method of assessment with limited longitudinal evaluation of student performance. A systematic and critical review published in 2017 reported that despite the growing support for POCUS education in UME, there is limited data to objectively express the impact of POCUS education on preclinical assessments and insufficient empirical evidence to substantiate claims of benefit [25]. This has led to calls for further evidence to define the optimal timing and role for ultrasound in UME [26]. Given the limited data, we sought to determine the effects of a longitudinal preclinical ultrasound (US) curriculum on medical student performance. Objectives Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Our primary objective was to evaluate the association of a pilot preclinical longitudinal US curriculum with medical student performance in the cardiovascular, gastrointestinal, and neurology preclinical courses; which were divided into the comprehensive and anatomy practical exam scores. Our secondary objectives were to evaluate impact on the internal medicine, neurology and surgery clinical clerkship shelf exams and the United States Medical Licensing Examination (USMLE) Step 1 exam. We hypothesized that participation in the US curriculum would be associated with improved performance in content areas (cardiovascular and gastrointestinal courses) with clear POCUS applications but not in other areas (neurology) where the POCUS curriculum was not as well matched to the course content. Conclusions: Participation in a preclinical longitudinal US curriculum was associated with improved exam performance in cardiovascular anatomy but not the exam score for a comprehensive exam of other cardiovascular system concepts. Neither anatomy or comprehensive exam scores for neurology and gastrointestinal organ system blocks were improved. Future studies can further evaluate this association with a more expansive curriculum to include renal, musculoskeletal, and obstetric ultrasound and its association with the corresponding preclinical and clinical courses. Additionally, prospective data collection for US curriculum specific effects or use of a control intervention may be required to further elucidate the impact of preclinical US curricula. While further studies across multiple institutions and medical school classes is required, implementation of a dedicated US curriculum early in medical training may improve performance in subsequent preclinical and clinical coursework.
Background: Point-of-care ultrasound (US) is used in clinical practice across many specialties. Ultrasound (US) curricula for medical students are increasingly common. Optimal timing, structure, and effect of ultrasound education during medical school remains poorly understood. This study aims to retrospectively determine the association between participation in a preclinical, longitudinal US curriculum and medical student academic performance. Methods: All first-year medical students at a medical school in the Midwest region of the United States were offered a voluntary longitudinal US curriculum. Participants were selected by random lottery. The curriculum consisted of five three-hour hands on-sessions with matching asynchronous content covering anatomy and pathologic findings. Content was paired with organ system blocks in the standard first year curriculum at our medical school. Exam scores between the participating and non-participating students were compared to evaluate the objective impact of US education on performance in an existing curriculum. We hypothesized that there would be an association between participation in the curriculum and improved medical student performance. Secondary outcomes included shelf exam scores for the surgery, internal medicine, neurology clerkships and USMLE Step 1. A multivariable linear regression model was used to evaluate the association of US curriculum participation with student performance. Scores were adjusted for age, gender, MCAT percentile, and science or engineering degree. Results: 76 of 178 students applied to participate in the curriculum, of which 51 were accepted. US curriculum students were compared to non-participating students (n = 127) from the same class. The US curriculum students performed better in cardiovascular anatomy (mean score 92.1 vs. 88.7, p = 0.048 after adjustment for multiple comparisons). There were no significant differences in cumulative cardiovascular exam scores, or in anatomy and cumulative exam scores for the gastroenterology and neurology blocks. The effect of US curriculum participation on cardiovascular anatomy scores was estimated to be an improvement of 3.48 points (95% CI 0.78-6.18). No significant differences were observed for USMLE Step 1 or clerkship shelf exams. There were no significant differences in either preclinical, clerkship or Step 1 score for the 25 students who applied and were not accepted and the 102 who did not apply. Conclusions: Participation in a preclinical longitudinal US curriculum was associated with improved exam performance in cardiovascular anatomy but not examination of other cardiovascular system concepts. Neither anatomy or comprehensive exam scores for neurology and gastrointestinal organ system blocks were improved.
12,953
464
[ 662, 124, 2847, 94, 173, 173, 312, 338, 156, 153, 211, 946, 272, 436, 24 ]
20
[ "students", "curriculum", "exam", "scores", "score", "medical", "anatomy", "preclinical", "estimate", "ultrasound" ]
[ "pocus education unclear", "pocus education associated", "person ultrasound education", "preclinical ultrasound curriculum", "ultrasound curriculum medical" ]
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[CONTENT] Ultrasound | POCUS | Medical student | Step1 | Anatomy | Grades [SUMMARY]
null
[CONTENT] Ultrasound | POCUS | Medical student | Step1 | Anatomy | Grades [SUMMARY]
[CONTENT] Ultrasound | POCUS | Medical student | Step1 | Anatomy | Grades [SUMMARY]
[CONTENT] Ultrasound | POCUS | Medical student | Step1 | Anatomy | Grades [SUMMARY]
[CONTENT] Ultrasound | POCUS | Medical student | Step1 | Anatomy | Grades [SUMMARY]
[CONTENT] Clinical Clerkship | Curriculum | Education, Medical, Undergraduate | Educational Measurement | Humans | Internal Medicine | Retrospective Studies | Students, Medical | United States [SUMMARY]
null
[CONTENT] Clinical Clerkship | Curriculum | Education, Medical, Undergraduate | Educational Measurement | Humans | Internal Medicine | Retrospective Studies | Students, Medical | United States [SUMMARY]
[CONTENT] Clinical Clerkship | Curriculum | Education, Medical, Undergraduate | Educational Measurement | Humans | Internal Medicine | Retrospective Studies | Students, Medical | United States [SUMMARY]
[CONTENT] Clinical Clerkship | Curriculum | Education, Medical, Undergraduate | Educational Measurement | Humans | Internal Medicine | Retrospective Studies | Students, Medical | United States [SUMMARY]
[CONTENT] Clinical Clerkship | Curriculum | Education, Medical, Undergraduate | Educational Measurement | Humans | Internal Medicine | Retrospective Studies | Students, Medical | United States [SUMMARY]
[CONTENT] pocus education unclear | pocus education associated | person ultrasound education | preclinical ultrasound curriculum | ultrasound curriculum medical [SUMMARY]
null
[CONTENT] pocus education unclear | pocus education associated | person ultrasound education | preclinical ultrasound curriculum | ultrasound curriculum medical [SUMMARY]
[CONTENT] pocus education unclear | pocus education associated | person ultrasound education | preclinical ultrasound curriculum | ultrasound curriculum medical [SUMMARY]
[CONTENT] pocus education unclear | pocus education associated | person ultrasound education | preclinical ultrasound curriculum | ultrasound curriculum medical [SUMMARY]
[CONTENT] pocus education unclear | pocus education associated | person ultrasound education | preclinical ultrasound curriculum | ultrasound curriculum medical [SUMMARY]
[CONTENT] students | curriculum | exam | scores | score | medical | anatomy | preclinical | estimate | ultrasound [SUMMARY]
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[CONTENT] students | curriculum | exam | scores | score | medical | anatomy | preclinical | estimate | ultrasound [SUMMARY]
[CONTENT] students | curriculum | exam | scores | score | medical | anatomy | preclinical | estimate | ultrasound [SUMMARY]
[CONTENT] students | curriculum | exam | scores | score | medical | anatomy | preclinical | estimate | ultrasound [SUMMARY]
[CONTENT] students | curriculum | exam | scores | score | medical | anatomy | preclinical | estimate | ultrasound [SUMMARY]
[CONTENT] pocus | education | pocus education | student | performance | cardiovascular gastrointestinal | medical | preclinical | student performance | medicine [SUMMARY]
null
[CONTENT] estimate | score | mcat | students | scores | estimate effect | cumulative | effect | higher | exam [SUMMARY]
[CONTENT] exam | preclinical | comprehensive exam | studies | improved | curriculum | system | comprehensive | required | preclinical clinical [SUMMARY]
[CONTENT] students | curriculum | exam | preclinical | medical | file | additional file | ultrasound | additional | scores [SUMMARY]
[CONTENT] students | curriculum | exam | preclinical | medical | file | additional file | ultrasound | additional | scores [SUMMARY]
[CONTENT] US ||| US ||| ||| US [SUMMARY]
null
[CONTENT] 76 | 178 | 51 ||| US | 127 ||| US | 92.1 | 88.7 | 0.048 ||| ||| US | 3.48 | 95% | CI | 0.78-6.18 ||| 1 ||| 1 | 25 | 102 [SUMMARY]
[CONTENT] US ||| [SUMMARY]
[CONTENT] US ||| US ||| ||| US ||| first-year | Midwest | the United States | US ||| ||| five | three-hour ||| first year ||| US ||| ||| 1 ||| linear | US ||| MCAT ||| 76 | 178 | 51 ||| US | 127 ||| US | 92.1 | 88.7 | 0.048 ||| ||| US | 3.48 | 95% | CI | 0.78-6.18 ||| 1 ||| 1 | 25 | 102 ||| US ||| [SUMMARY]
[CONTENT] US ||| US ||| ||| US ||| first-year | Midwest | the United States | US ||| ||| five | three-hour ||| first year ||| US ||| ||| 1 ||| linear | US ||| MCAT ||| 76 | 178 | 51 ||| US | 127 ||| US | 92.1 | 88.7 | 0.048 ||| ||| US | 3.48 | 95% | CI | 0.78-6.18 ||| 1 ||| 1 | 25 | 102 ||| US ||| [SUMMARY]
Do chronic disease patients value generic health states differently from individuals with no chronic disease? A case of a multicultural Asian population.
25617062
There is conflicting evidence as to whether patients with chronic disease value hypothetical health states differently from individuals who have not experienced any long-lasting diseases. Furthermore, most studies regarding this issue have been conducted in western countries, with only one conducted in Asia. We aimed to evaluate possible systematic differences in the valuation of EuroQol Group five dimensions 3-level (EQ-5D-3L) health states by chronic disease patients and a population with no chronic disease in Singapore.
BACKGROUND
A face-to-face survey for the valuation of the 42 health states of the EQ-5D-3L using the visual analogue scale (VAS) method was conducted in Singapore. The survey also asked participants to report any chronic diseases they had. Ordinary least-square regression models were employed to assess possible differences in the valuation scores of all health states, severe health states and non-severe health states by individual chronic disease patient groups (diabetes, rheumatism, hypertension, heart diseases and lung diseases) and by a group of participants with no chronic disease. A difference of 4 to 8 points on the 100-point VAS was considered to be of practical significance.
METHODS
The analysis included 332 participants with at least one chronic disease and 651 participants with no chronic disease. After taking health state descriptors and covariates into account, mean valuation scores of the 42 health states by the heart disease group were higher by 4.6 points (p-value = 0.032) compared to the no chronic disease group. Specifically, the heart disease group valued severe health states 5.4 points higher (p-value = 0.025) than the no chronic disease group. There was no practically significant difference in the mean valuation score of non-severe health states between the heart disease group and the no chronic disease group. No practically significant differences were found in the mean valuation score of all health states, severe health states and non-severe health states between any other chronic disease group and the no chronic disease group.
RESULTS
In Singapore, heart disease patients valued EQ-5D-3L severe health states differently from individuals with no chronic disease. Other chronic disease groups did not value EQ-5D-3L health states differently from the no chronic disease group.
CONCLUSIONS
[ "Adult", "Chronic Disease", "Cross-Sectional Studies", "Female", "Health Status Indicators", "Humans", "Male", "Middle Aged", "Models, Theoretical", "Quality of Life", "Singapore", "Surveys and Questionnaires", "Visual Analog Scale" ]
4311410
Background
There is conflicting evidence as to whether patients with chronic disease value their own health states differently from individuals who have not experienced any such diseases [1,2]. Similar conflicting results have been reported for how patients with chronic disease and individuals with no such disease experience value hypothetical health states [1,2]. The difference in valuation of health states between the patients and individuals with no disease experience may arise because the patients might have adapted to their condition or because individuals with no disease experience overestimate the impact of disease or disability on quality of life [3]. Most studies that have evaluated differences in valuations by these two groups have been conducted in western countries; only one study has reported on an Asian population [1,4]. This is important as there is evidence of meaningful differences between populations of different countries regarding the valuation of health states [5,6]. In addition, most of the studies that have compared the valuation by chronic disease patients and that of by a no chronic disease population have compared the valuation of only selected disease-related health states, without covering a range of mild to severe states. Only a few studies have investigated the potential systemic difference between valuation by specific chronic disease patients and individuals with no experience of chronic disease regarding health states with a wide range of severity [7,8]. Differences in valuation between chronic disease patients and individual with no chronic disease may affect the outcomes of analyses of healthcare interventions. Cost-utility analysis (CUA) is a cost-effectiveness analysis in which the effect of health-care interventions is measured in terms of quality-adjusted life-years (QALYs) gained. QALYs are estimated as the time spent in a health state (quantity of life) multiplied by its utility (quality of life). QALYs are also an important outcome for monitoring health status in individual patients, measuring population health and measuring the impact of health-care intervention in clinical studies [9]. The question of whose utility (general-population-derived or patient-derived) should be used in clinical decision making and economic evaluations of health-care interventions has been debated in the literature [10,11]. The answer depends on the purpose for which the utility is used and context in which it is used. A general population-derived utility is desirable when the utility is needed to inform decisions that allocate societal resources, while a patient-derived utility may be more appropriate when making treatment decisions guided by patient preferences. The Panel on Cost-Effectiveness in Health and Medicine in the United States and the National Institute for Health and Care Excellence in England and Wales recommend that a general-population-derived utility for health states be used for cost-effectiveness analyses [12,13]. However, the latest systematic review revealed that less than one-third of published CUAs use a general-population-derived utility; the remainder used a patient-derived utility, a clinician- or expert-derived utility, or authors’ judgments [14]. Many investigators use a patient-derived utility because they believe that patients who have experienced the disease conditions can appraise their conditions more accurately than individuals who have not experienced such conditions [15]. On the other hand, CUAs using a general population-derived utility can help broader system-level decision making to prioritize health care funding in order to maximize the benefit for patients with different medical conditions- considering patients’ as well as non-patients’ perspectives [11]. This is a recommended approach when the health care is funded by the public/tax payers. However, if the health care costs are mostly paid by patients themselves, patient-derived utility should be considered. In Singapore, more than 60% of the health care costs are borne by patients [16]; and therefore patient-derived utility is relevant. Utilities of health states from generic quality of life instruments, such as the EuroQoL Group five dimensions (EQ-5D) or Short Form six dimension (SF-6D), are preferred over health states from disease-specific quality of life instrument for CUAs. Utilities of generic health states allow comparisons of the effects on quality of life of different health-care interventions in different diseases. Currently, the EQ-5D is the most commonly used generic instrument for CUAs [14]. The present study draws on data from a valuation study of EQ-5D 3-level (EQ-5D-3L) health states in the Singapore general population which involves self-reporting of chronic diseases. We aimed to explore whether there are systematic differences in values for health states elicited by specific chronic disease patients (CDP) and by the no chronic disease population (NCDP). We also explored how the most severe health state and unconscious state were valued in relation to dead state by specific CDP and NCDP.
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Results
All 1034 participants provided demographic and health characteristic information. Nine participants had chronic diseases other than diabetes, high blood pressure/hypertension, heart disease, asthma/lung disease or rheumatism/back pain/other bone-muscle illness. Thirty-four participants valued ‘dead’ state higher than all the other states, 3 participants valued ‘unconscious’ state higher than all the other states, 1 participant did not value the ‘all-worst’ state and 4 participants were observed to have a poor understanding of valuation tasks. Hence, a total of 51 participants were excluded from the analysis. Table 1 shows the demographic and health characteristics of the 983 participants that were included in the analysis. The percentage of participants who had good-to-excellent self-reported general health varied between 68% and 75% among the CDP groups (Diabetes: 70/102, Rheumatism: 122/162, Hypertension: 107/145, Heart diseases: 29/44, Lung diseases: 30/44) as compared to 95% among NCDP group (621/651). Participants in the CDP groups were older, had lower education level and lower self-reported general health compared to participants in the NCDP group.Table 1 Demographic and health characteristics of the study participants Characteristics All participants (N = 983) No chronic disease group (N = 651) Diabetes (N = 102) Rheumatism (N = 162) Hypertension (N = 145) Heart diseases (N = 44) Lung diseases (N = 44) n (%) n (%) n (%) P-value* n (%) P-value* n (%) P-value* n (%) P-value* n (%) P-value* Female493 (50.2)329 (50.5)47 (46.1)0.40492 (56.8)0.07169 (47.6)0.5309 (20.5)<0.00129 (65.9)0.044Age (years)<0.001<0.001<0.001<0.0010.048  21-29190 (19.3)168 (25.8)0 (0.0)7 (4.3)2 (1.4)0 (0.0)14 (31.8)  30-39218 (22.2)178 (27.3)6 (5.9)21 (13.0)7 (4.8)1 (2.3)9 (20.5)  40-49261 (26.6)181 (27.8)22 (21.6)43 (26.5)24 (16.6)7 (15.9)5 (11.4)  50-59192 (19.5)91 (14.0)41 (40.2)40 (24.7)57 (39.3)18 (40.9)8 (18.2)  60+122 (12.4)33 (5.1)33 (32.4)51 (31.5)55 (37.9)18 (40.9)8 (18.2)Ethnicity0.0010.0240.9140.0010.287  Chinese363 (36.9)234 (35.9)26 (25.5)67 (41.4)56 (38.6)9 (20.5)16 (36.4)  Malay395 (40.2)284 (43.6)37 (36.3)50 (30.9)57 (39.3)14 (31.8)14 (31.8)  Indian225 (22.9)133 (20.4)39 (38.2)45 (27.8)32 (22.1)21 (47.7)14 (31.8)Education level<0.001<0.001<0.001<0.0010.352  Primary (6 years) or less187 (19.0)74 (11.4)48 (47.1)60 (37.0)58 (40.0)22 (50.0)12 (27.3)  Secondary (11 years)555 (56.5)387 (59.5)44 (43.1)79 (48.8)77 (53.1)18 (40.9)22 (50.0)  Diploma/degree or higher241 (24.5)190 (29.2)10 (9.8)23 (14.2)10 (6.9)4 (9.1)10 (22.7)Married/living with partner739 (75.2)481 (73.9)84 (82.4)0.090128 (79.0)0.233120 (82.8)0.02238 (86.4)0.10623 (52.3)0.001Religion0.0510.0940.7960.0170.894  Buddhism/Taoism224 (22.8)139 (21.4)19 (18.6)43 (26.5)37 (25.5)4 (9.1)12 (27.3)  Islam410 (41.7)289 (44.4)41 (40.2)53 (32.7)63 (43.5)17 (38.6)16 (36.4)  Hinduism/Sikhism192 (19.5)117 (18.0)31 (30.4)40 (24.7)24 (16.6)17 (38.6)10 (22.7)  Christianity80 (8.1)54 (8.3)7 (6.9)14 (8.6)10 (6.9)3 (6.8)3 (6.8)  No religion77 (7.8)52 (8.0)4 (3.9)12 (7.4)11 (7.6)3 (6.8)3 (6.8)House type0.3770.1750.7860.2040.533  Government owned: 4 rooms or smaller668 (68.0)449 (69.0)71 (69.6)106 (65.4)96 (66.2)25 (56.8)27 (61.4)  Government owned: 5 rooms or bigger292 (29.7)191 (29.3)27 (26.5)49 (30.3)45 (31.0)18 (40.9)16 (36.4)  Private23 (2.3)11 (1.7)4 (3.9)7 (4.3)4 (2.8)1 (2.3)1 (2.3)General health status<0.001<0.001<0.001<0.001<0.001  Excellent97 (9.9)85 (13.1)3 (2.9)5 (3.1)2 (1.4)2 (4.6)2 (4.6)  Very good376 (38.3)302 (46.4)19 (18.6)24 (14.8)31 (21.4)6 (13.6)9 (20.5)  Good409 (41.6)234 (35.9)48 (47.1)93 (57.4)74 (51.0)21 (47.7)19 (43.2)  Fair93 (9.5)30 (4.6)27 (26.5)36 (22.2)32 (22.1)13 (29.6)11 (25.0)  Poor8 (0.8)0 (0.0)5 (4.9)4 (2.5)6 (4.1)2 (4.6)3 (6.8)*Comparison with the no chronic disease group using Fisher’s exact test. Demographic and health characteristics of the study participants *Comparison with the no chronic disease group using Fisher’s exact test. Table 2 summarizes the comparison of health state valuation scores between the CDP groups and the NCDP group. Mean observed differences between the CDP groups and the NCDP group regarding the valuation score of all the 42 EQ-5D health states, non-severe health states and severe health states ranged from −3.3 to 0.5, −3.7 to −1.0 and −2.8 to 2.1, respectively. After taking health state descriptors and covariates into account in the regression analysis, the mean differences between the CDP groups and the NCDP group regarding valuation scores of all the health states ranged from −2.5 to 1.6 (each p-value >0.05), except for the heart disease group. The adjusted mean valuation score of all the health states for the heart disease group was 4.6 points higher (95% CI: 0.4 to 8.9; p-value = 0.032) than that of the NCDP group. Similarly, after taking health state descriptors and covariates into account, the mean differences between the CDP group and the NCDP group regarding severe health state valuation scores ranged from −2.4 to 1.8 (each p-value >0.05), except for the heart disease group. The adjusted mean valuation score of severe states for the heart disease group was 5.4 points higher (95% CI: 0.7 to 10.1; p-value = 0.025) than that of the NCDP group. After taking health state descriptors and covariates into account, there was no practically significant difference in the mean valuation scores of non-severe health states between any CDP group and the NCDP group. The changes in the mean differences after the adjustment for the covariates could be due to differences in the distribution of demographic characteristics between the CDP and NCDP groups (please see Table 1). For example, the NCDP group had more participants married/living with partners, which was associated with higher value, compared with unmarried participants in multivariable analysis. After statistical adjustment, the difference between NCDP and lung disease groups would become smaller. Similarly, the NCDP group had differences in multiple demographic characteristics, such as more female participants, fewer Indian participants, and more participants following Buddhism/Taoism, which were associated with higher value, compared to the heart disease group. Thus, after statistical adjustment, the heart disease group had higher valuation score compared to the NCDP group. Other demographic characteristics did not have much influence on the valuation score (Details not shown).Table 2 Comparison of valuation of health states between the chronic disease groups and the no chronic disease group taking into account health state descriptors and covariates Health States Diabetes (n = 102) Rheumatism (n = 162) Hypertension (n = 145) Heart diseases (n = 44) Lung diseases (n = 44) No chronic disease (n = 651) All health states1   Mean (SD)43.6 (30.0)43.4 (30.6)44.4 (30.0)43.1 (28.7)40.6 (29.5)43.9 (30.6)  Mean difference (95% CI)2,3 1.6 (−1.2, 4.3)0.4 (−2.0, 2.8)0.7 (−1.7, 3.1)4.6 (0.4, 8.9)*−2.5 (−6.2, 1.2)-Non-severe health states1,4   Mean (SD)71.6 (18.8)71.3 (20.0)71.2 (19.7)69.8 (16.8)69.0 (22.1)72.7 (19.3)  Mean difference (95% CI)2,3 1.0 (−2.5, 4.6)−0.3 (−3.4, 2.9)−1.0 (−4.3, 2.3)2.6 (−2.4, 7.6)−2.6 (−9.0, 3.8)-Severe health states1,4   Mean (SD)31.4 (25.4)31.9 (26.6)33.6 (26.5)33.7 (26.0)28.7 (23.6)31.5 (25.8)  Mean difference (95% CI)2,3 1.8 (−1.2, 4.7)0.7 (−1.9, 3.3)1.3 (−1.2, 3.9)5.4 (0.7, 10.1)*−2.4 (−6.1, 1.2)- 1The study included 42 EQ-5D-3L health states, not including perfect health, unconscious and dead states. The perfect health state of EQ-5D-3L was assigned default value of 100 points on the visual analogue scale. 2Difference: mean scores of participants with chronic diseases minus mean scores of participants with no chronic disease. 3Using ordinary least square regression model adjusted for health state descriptors, disutility due to severe problems, ethnicity, gender, age, marital status, education level, religion and house type (see Methods section). 4EQ-5D-3L health states with at least one domain at severity level 3 are considered as ‘severe’ health states. Remaining health states are considered as ‘non-severe’ health states.*P-value <0.05. Comparison of valuation of health states between the chronic disease groups and the no chronic disease group taking into account health state descriptors and covariates 1The study included 42 EQ-5D-3L health states, not including perfect health, unconscious and dead states. The perfect health state of EQ-5D-3L was assigned default value of 100 points on the visual analogue scale. 2Difference: mean scores of participants with chronic diseases minus mean scores of participants with no chronic disease. 3Using ordinary least square regression model adjusted for health state descriptors, disutility due to severe problems, ethnicity, gender, age, marital status, education level, religion and house type (see Methods section). 4EQ-5D-3L health states with at least one domain at severity level 3 are considered as ‘severe’ health states. Remaining health states are considered as ‘non-severe’ health states. *P-value <0.05. Table 3 summarizes the comparison of valuation scores for the ‘all-worst’ state with those of the ‘dead’ state by disease group. Except for the heart disease group, the mean difference in valuation scores of ‘all-worst’ state and ‘dead’ state by the CDP groups and the NCDP group were within the range of −8.4 points (95% CI: −11.8 to −4.9; p-value < 0.001) to −5.3 points (95% CI: −8.8 to −1.8; p-value = 0.003). For the heart disease group, this difference was −2.3 points (95% CI: −7.3 to 2.8; p-value = 0.370).Table 3 Comparison of valuation scores between the ‘all-worst’ state and the ‘dead’ state by disease group Valuation Scores Diabetes (n = 102) Rheumatism (n = 162) Hypertension (n = 145) Heart diseases (n = 44) Lung diseases (n = 44) No chronic disease (n = 651) All-worst#   Mean (SD)3.3 (8.4)2.1 (6.0)3.1 (8.6)4.8 (9.9)1.7 (5.2)3.1 (8.3)Dead  Mean (SD)8.6 (13.3)10.3 (15.9)11.4 (17.1)7.1 (10.4)8.5 (10.9)9.4 (14.1)All-worst - Dead  Mean difference (95% CI)−5.3 (−8.8, −1.8)*−8.1 (−11.0, −5.3)*−8.4 (−11.8, −4.9)*−2.3 (−7.3, 2.8)−6.8 (−10.8, −2.7)*−6.3 (−7.6, −4.9)* #EQ-5L-3L health state with all its domains at severity level 3 is labelled as ‘all-worst’ health state.*P-value < 0.05. Comparison of valuation scores between the ‘all-worst’ state and the ‘dead’ state by disease group #EQ-5L-3L health state with all its domains at severity level 3 is labelled as ‘all-worst’ health state. *P-value < 0.05. Table 4 summarizes the comparison of valuation scores for ‘unconscious’ state with those of the ‘dead’ state by disease group. Except for the heart disease group, the mean difference in valuation scores of ‘unconscious’ state and ‘dead’ state by the CDP groups and the NCDP group were within the range of −0.1 points (95% CI: −3.0 to 2.7; p-value = 0.922) to 3.0 points (95%CI: −0.1 to 6.0; p-value = 0.057). For the heart disease group, this difference was 4.2 points (95% CI: 0.4 to 8.0; p-value = 0.030).Table 4 Comparison of valuation scores between the ‘unconscious’ state and the ‘dead’ state by disease group Valuation Scores Diabetes (n = 102) Rheumatism (n = 167) Hypertension (n = 147) Heart diseases (n = 46) Lung diseases (n = 44) No chronic disease (n = 667) Unconscious  Mean (SD)11.6 (11.1)10.1 (12.3)12.0 (13.0)11.3 (11.7)10.6 (9.6)11.8 (12.6)Dead  Mean (SD)8.6 (13.3)10.3 (15.9)11.4 (17.1)7.1 (10.4)8.5 (10.9)9.4 (14.1)Unconscious - Dead  Mean difference (95% CI)3.0 (−0.1, 6.0)−0.1 (−3.0, 2.7)0.6 (−2.6, 3.8)4.2 (0.4, 8.0)*2.1 (−1.4, 5.7)2.4 (1.2, 3.6)**P-value < 0.05. Comparison of valuation scores between the ‘unconscious’ state and the ‘dead’ state by disease group *P-value < 0.05.
Conclusions
Our study findings suggest that heart disease patients value severe EQ-5D-3L health states differently than individuals who have no experience with chronic disease when analyzed using the VAS method in a Singaporean population. However, the experience of chronic diseases other than heart disease does not necessarily result in a higher or lower valuation across all the health states of EQ-5D-3L.
[ "Valuation survey procedures", "Analyses" ]
[ "In 2009, the EQ-5D-3L—using the visual analogue scale (VAS) method—was used to conduct a cross-sectional, face-to-face survey of health state valuation in a representative sample of 1034 participants from the general population of Singapore. Singapore is a multi-ethnic city state with a rapidly increasing aging population. Its population is 75% Chinese, 13% Malay, 9% Indian (mostly Tamil speaking) and 3% others [17]. A multi-stage sampling approach was used to randomly select residential blocks, within which households were selected. We interviewed potential participants (one per household) who satisfied the pre-set recruitment quotas for ethnicity (400 Chinese, 400 Malay, and 234 Indians), gender (50% Female) and age (30% of 21–34 years, 40% of 35–49 years, and 30% of 50+ years). Within each ethnicity, there was a quota that half of the participants would use English for the interview and the remaining half would use their native language (i.e., Mandarin for Chinese, Malay for Malays and Tamil for Indians).\nThe EQ-5D-3L consists of 5 dimensions (mobility, self-care, usual activities, pain/discomfort, and anxiety/depression) with 3 response levels for each dimension (1: no problems, 2: some problems, and 3: extreme problems). This instrument thus describes 243 health states. Each health state is represented by one response level from each of the 5 dimensions. For example, 11112 describes a health state with no problems on the first 4 dimensions and some problem related to anxiety/depression. A subset of 42 EQ-5D-3L states was selected based on the protocol of Dolan [18]. Immediate death and the most severe state (‘33333’) were labeled as ‘dead’ and ‘all-worst’, respectively. Each participant was asked to compare between ‘dying now’ and ‘living for the rest of his/her life in all-worst’, from which the less desirable state was assigned a value 0 on the VAS. Each participant was then asked to value a unique set of 6 states from the subset of EQ-5D-3L states and either ‘dead’ or the ‘all-worst’ state, whichever one was not valued earlier at 0. The unique set of 6 health states that was assigned to each participant included states that were spread widely over the valuation space. A 100-point “feeling thermometer” with endpoints of 100 (most desirable, i.e., perfect health) and 0 (least desirable) was used as a VAS. For the six assigned states, participants were required to indicate where they would rate each of the states on the “feeling thermometer” by imagining themselves in that state for the rest of their life without changing. The participants were allowed to value more than one health state at the same level of VAS. In addition to the six assigned states, ‘unconscious’ state was also valued.\nParticipants were also asked to report their chronic diseases. The list of chronic diseases included diabetes, high blood pressure (hypertension), heart diseases, stroke, asthma or other lung diseases, cancer, rheumatism/back pain or other bone or muscle illness, mental illness (e.g., depression, anxiety neurosis, schizophrenia) and other illness (e.g., kidney problems or dialysis).\nThis study was approved by the SingHealth Centralized Institutional Review Board.", "The analysis included participants with diabetes, high blood pressure/hypertension, heart diseases, asthma/lung diseases, rheumatism/back pain/other bone-muscle illness, or no chronic disease. The number of participants with other chronic diseases was small (<10) and these participants were not included in the analyses described in this manuscript.\nParticipants who met the following criteria were excluded from our analysis: a) valued less than 3 health states, b) did not value ‘dead’ or ‘all-worst’ state, c) valued ‘dead’ or ‘all-worst’ or ‘unconscious’ state higher than all of the other states, d) gave the same valuation score to all the health states, e) self-reported or rated by the interviewers as having a poor understanding of the health states description or valuation tasks. The valuation score used in the analyses was ‘raw’ VAS valuation score, which ranged from 0 (worst possible score) to 100 (best possible score). There is no consensus among researchers or regulatory bodies regarding the optimal method of transforming the valuation scores into utility [19].\nWe performed a separate analysis to compare the valuations by participants in each of the CDP groups with those of the NCDP group. Each analysis included two ordinary least-square regression models. Model I was used for the comparison of overall difference in valuation scores (including all the health states) between each CDP group and the NCDP group. Model II was used for the comparison of the differences in valuation scores of non-severe health states and severe health states by including an interaction term between the indicator variable for severe health state (versus non-severe health state) and the indicator variable for the specific CDP group (versus the NCDP group). We considered health states with at least one dimension at level 3 as “severe” health states, and the remaining states as “non-severe”.\nModel I was performed for the valuation score with an indicator variable representing a specific CDP group, the members of which might have co-morbid conditions, versus the NCDP group as the independent variable. The model adjusted for indicator variables that represented the level of severity in each dimension of the health states. That is, including 2 indicator variables for each of the 5 dimensions of EQ-5D-3L. Furthermore, we included an indicator variable (commonly called ‘N3’ in the cost-utility analysis literature) to take into account additional disutilities when a severe problem (level 3) was reported on at least one dimension [20]. Finally, the comparison adjusted for ethnicity, gender, age, marital status, education level, religion and house type because the CDP group being analyzed and NCDP group might differ in these background characteristics.\nModel II further included an interaction term between the CDP group indicator and the N3 in Model I. In this model, the coefficient of the CDP group provides an estimate of the difference between valuation scores of non-severe health states; whereas its sum with the interaction term provides an estimate of the difference between valuation scores of severe health states by the specific CDP group and the NCDP group after taking the health state descriptors and participants’ background characteristics into account. Perfect health state, ‘unconscious’ state and ‘dead’ state were excluded from Models I and II. The perfect health state was assigned a valuation score of 100 for each participant. Since each of the participants valued 6 health states, we used the Eicker-Huber-White robust standard error for cluster data for statistical inference [21].\nWe compared the valuation of the ‘all-worst’ and ‘unconscious’ health states with the valuation of ‘dead’ state by each of the CDP groups and the NCDP group. The mean valuation scores of the ‘all-worst’ state and ‘unconscious’ state were compared with the ‘dead’ state using a paired t-test.\nAll the analyses were carried out using Stata/MP 10.1 for Windows. A minimally important difference of 4 to 8 points on the 100-point VAS was considered to be of practical significance [22-24]." ]
[ null, null ]
[ "Background", "Methods", "Valuation survey procedures", "Analyses", "Results", "Discussion", "Conclusions" ]
[ "There is conflicting evidence as to whether patients with chronic disease value their own health states differently from individuals who have not experienced any such diseases [1,2]. Similar conflicting results have been reported for how patients with chronic disease and individuals with no such disease experience value hypothetical health states [1,2]. The difference in valuation of health states between the patients and individuals with no disease experience may arise because the patients might have adapted to their condition or because individuals with no disease experience overestimate the impact of disease or disability on quality of life [3]. Most studies that have evaluated differences in valuations by these two groups have been conducted in western countries; only one study has reported on an Asian population [1,4]. This is important as there is evidence of meaningful differences between populations of different countries regarding the valuation of health states [5,6]. In addition, most of the studies that have compared the valuation by chronic disease patients and that of by a no chronic disease population have compared the valuation of only selected disease-related health states, without covering a range of mild to severe states. Only a few studies have investigated the potential systemic difference between valuation by specific chronic disease patients and individuals with no experience of chronic disease regarding health states with a wide range of severity [7,8].\nDifferences in valuation between chronic disease patients and individual with no chronic disease may affect the outcomes of analyses of healthcare interventions. Cost-utility analysis (CUA) is a cost-effectiveness analysis in which the effect of health-care interventions is measured in terms of quality-adjusted life-years (QALYs) gained. QALYs are estimated as the time spent in a health state (quantity of life) multiplied by its utility (quality of life). QALYs are also an important outcome for monitoring health status in individual patients, measuring population health and measuring the impact of health-care intervention in clinical studies [9]. The question of whose utility (general-population-derived or patient-derived) should be used in clinical decision making and economic evaluations of health-care interventions has been debated in the literature [10,11]. The answer depends on the purpose for which the utility is used and context in which it is used. A general population-derived utility is desirable when the utility is needed to inform decisions that allocate societal resources, while a patient-derived utility may be more appropriate when making treatment decisions guided by patient preferences. The Panel on Cost-Effectiveness in Health and Medicine in the United States and the National Institute for Health and Care Excellence in England and Wales recommend that a general-population-derived utility for health states be used for cost-effectiveness analyses [12,13]. However, the latest systematic review revealed that less than one-third of published CUAs use a general-population-derived utility; the remainder used a patient-derived utility, a clinician- or expert-derived utility, or authors’ judgments [14]. Many investigators use a patient-derived utility because they believe that patients who have experienced the disease conditions can appraise their conditions more accurately than individuals who have not experienced such conditions [15]. On the other hand, CUAs using a general population-derived utility can help broader system-level decision making to prioritize health care funding in order to maximize the benefit for patients with different medical conditions- considering patients’ as well as non-patients’ perspectives [11]. This is a recommended approach when the health care is funded by the public/tax payers. However, if the health care costs are mostly paid by patients themselves, patient-derived utility should be considered. In Singapore, more than 60% of the health care costs are borne by patients [16]; and therefore patient-derived utility is relevant.\nUtilities of health states from generic quality of life instruments, such as the EuroQoL Group five dimensions (EQ-5D) or Short Form six dimension (SF-6D), are preferred over health states from disease-specific quality of life instrument for CUAs. Utilities of generic health states allow comparisons of the effects on quality of life of different health-care interventions in different diseases. Currently, the EQ-5D is the most commonly used generic instrument for CUAs [14].\nThe present study draws on data from a valuation study of EQ-5D 3-level (EQ-5D-3L) health states in the Singapore general population which involves self-reporting of chronic diseases. We aimed to explore whether there are systematic differences in values for health states elicited by specific chronic disease patients (CDP) and by the no chronic disease population (NCDP). We also explored how the most severe health state and unconscious state were valued in relation to dead state by specific CDP and NCDP.", " Valuation survey procedures In 2009, the EQ-5D-3L—using the visual analogue scale (VAS) method—was used to conduct a cross-sectional, face-to-face survey of health state valuation in a representative sample of 1034 participants from the general population of Singapore. Singapore is a multi-ethnic city state with a rapidly increasing aging population. Its population is 75% Chinese, 13% Malay, 9% Indian (mostly Tamil speaking) and 3% others [17]. A multi-stage sampling approach was used to randomly select residential blocks, within which households were selected. We interviewed potential participants (one per household) who satisfied the pre-set recruitment quotas for ethnicity (400 Chinese, 400 Malay, and 234 Indians), gender (50% Female) and age (30% of 21–34 years, 40% of 35–49 years, and 30% of 50+ years). Within each ethnicity, there was a quota that half of the participants would use English for the interview and the remaining half would use their native language (i.e., Mandarin for Chinese, Malay for Malays and Tamil for Indians).\nThe EQ-5D-3L consists of 5 dimensions (mobility, self-care, usual activities, pain/discomfort, and anxiety/depression) with 3 response levels for each dimension (1: no problems, 2: some problems, and 3: extreme problems). This instrument thus describes 243 health states. Each health state is represented by one response level from each of the 5 dimensions. For example, 11112 describes a health state with no problems on the first 4 dimensions and some problem related to anxiety/depression. A subset of 42 EQ-5D-3L states was selected based on the protocol of Dolan [18]. Immediate death and the most severe state (‘33333’) were labeled as ‘dead’ and ‘all-worst’, respectively. Each participant was asked to compare between ‘dying now’ and ‘living for the rest of his/her life in all-worst’, from which the less desirable state was assigned a value 0 on the VAS. Each participant was then asked to value a unique set of 6 states from the subset of EQ-5D-3L states and either ‘dead’ or the ‘all-worst’ state, whichever one was not valued earlier at 0. The unique set of 6 health states that was assigned to each participant included states that were spread widely over the valuation space. A 100-point “feeling thermometer” with endpoints of 100 (most desirable, i.e., perfect health) and 0 (least desirable) was used as a VAS. For the six assigned states, participants were required to indicate where they would rate each of the states on the “feeling thermometer” by imagining themselves in that state for the rest of their life without changing. The participants were allowed to value more than one health state at the same level of VAS. In addition to the six assigned states, ‘unconscious’ state was also valued.\nParticipants were also asked to report their chronic diseases. The list of chronic diseases included diabetes, high blood pressure (hypertension), heart diseases, stroke, asthma or other lung diseases, cancer, rheumatism/back pain or other bone or muscle illness, mental illness (e.g., depression, anxiety neurosis, schizophrenia) and other illness (e.g., kidney problems or dialysis).\nThis study was approved by the SingHealth Centralized Institutional Review Board.\nIn 2009, the EQ-5D-3L—using the visual analogue scale (VAS) method—was used to conduct a cross-sectional, face-to-face survey of health state valuation in a representative sample of 1034 participants from the general population of Singapore. Singapore is a multi-ethnic city state with a rapidly increasing aging population. Its population is 75% Chinese, 13% Malay, 9% Indian (mostly Tamil speaking) and 3% others [17]. A multi-stage sampling approach was used to randomly select residential blocks, within which households were selected. We interviewed potential participants (one per household) who satisfied the pre-set recruitment quotas for ethnicity (400 Chinese, 400 Malay, and 234 Indians), gender (50% Female) and age (30% of 21–34 years, 40% of 35–49 years, and 30% of 50+ years). Within each ethnicity, there was a quota that half of the participants would use English for the interview and the remaining half would use their native language (i.e., Mandarin for Chinese, Malay for Malays and Tamil for Indians).\nThe EQ-5D-3L consists of 5 dimensions (mobility, self-care, usual activities, pain/discomfort, and anxiety/depression) with 3 response levels for each dimension (1: no problems, 2: some problems, and 3: extreme problems). This instrument thus describes 243 health states. Each health state is represented by one response level from each of the 5 dimensions. For example, 11112 describes a health state with no problems on the first 4 dimensions and some problem related to anxiety/depression. A subset of 42 EQ-5D-3L states was selected based on the protocol of Dolan [18]. Immediate death and the most severe state (‘33333’) were labeled as ‘dead’ and ‘all-worst’, respectively. Each participant was asked to compare between ‘dying now’ and ‘living for the rest of his/her life in all-worst’, from which the less desirable state was assigned a value 0 on the VAS. Each participant was then asked to value a unique set of 6 states from the subset of EQ-5D-3L states and either ‘dead’ or the ‘all-worst’ state, whichever one was not valued earlier at 0. The unique set of 6 health states that was assigned to each participant included states that were spread widely over the valuation space. A 100-point “feeling thermometer” with endpoints of 100 (most desirable, i.e., perfect health) and 0 (least desirable) was used as a VAS. For the six assigned states, participants were required to indicate where they would rate each of the states on the “feeling thermometer” by imagining themselves in that state for the rest of their life without changing. The participants were allowed to value more than one health state at the same level of VAS. In addition to the six assigned states, ‘unconscious’ state was also valued.\nParticipants were also asked to report their chronic diseases. The list of chronic diseases included diabetes, high blood pressure (hypertension), heart diseases, stroke, asthma or other lung diseases, cancer, rheumatism/back pain or other bone or muscle illness, mental illness (e.g., depression, anxiety neurosis, schizophrenia) and other illness (e.g., kidney problems or dialysis).\nThis study was approved by the SingHealth Centralized Institutional Review Board.\n Analyses The analysis included participants with diabetes, high blood pressure/hypertension, heart diseases, asthma/lung diseases, rheumatism/back pain/other bone-muscle illness, or no chronic disease. The number of participants with other chronic diseases was small (<10) and these participants were not included in the analyses described in this manuscript.\nParticipants who met the following criteria were excluded from our analysis: a) valued less than 3 health states, b) did not value ‘dead’ or ‘all-worst’ state, c) valued ‘dead’ or ‘all-worst’ or ‘unconscious’ state higher than all of the other states, d) gave the same valuation score to all the health states, e) self-reported or rated by the interviewers as having a poor understanding of the health states description or valuation tasks. The valuation score used in the analyses was ‘raw’ VAS valuation score, which ranged from 0 (worst possible score) to 100 (best possible score). There is no consensus among researchers or regulatory bodies regarding the optimal method of transforming the valuation scores into utility [19].\nWe performed a separate analysis to compare the valuations by participants in each of the CDP groups with those of the NCDP group. Each analysis included two ordinary least-square regression models. Model I was used for the comparison of overall difference in valuation scores (including all the health states) between each CDP group and the NCDP group. Model II was used for the comparison of the differences in valuation scores of non-severe health states and severe health states by including an interaction term between the indicator variable for severe health state (versus non-severe health state) and the indicator variable for the specific CDP group (versus the NCDP group). We considered health states with at least one dimension at level 3 as “severe” health states, and the remaining states as “non-severe”.\nModel I was performed for the valuation score with an indicator variable representing a specific CDP group, the members of which might have co-morbid conditions, versus the NCDP group as the independent variable. The model adjusted for indicator variables that represented the level of severity in each dimension of the health states. That is, including 2 indicator variables for each of the 5 dimensions of EQ-5D-3L. Furthermore, we included an indicator variable (commonly called ‘N3’ in the cost-utility analysis literature) to take into account additional disutilities when a severe problem (level 3) was reported on at least one dimension [20]. Finally, the comparison adjusted for ethnicity, gender, age, marital status, education level, religion and house type because the CDP group being analyzed and NCDP group might differ in these background characteristics.\nModel II further included an interaction term between the CDP group indicator and the N3 in Model I. In this model, the coefficient of the CDP group provides an estimate of the difference between valuation scores of non-severe health states; whereas its sum with the interaction term provides an estimate of the difference between valuation scores of severe health states by the specific CDP group and the NCDP group after taking the health state descriptors and participants’ background characteristics into account. Perfect health state, ‘unconscious’ state and ‘dead’ state were excluded from Models I and II. The perfect health state was assigned a valuation score of 100 for each participant. Since each of the participants valued 6 health states, we used the Eicker-Huber-White robust standard error for cluster data for statistical inference [21].\nWe compared the valuation of the ‘all-worst’ and ‘unconscious’ health states with the valuation of ‘dead’ state by each of the CDP groups and the NCDP group. The mean valuation scores of the ‘all-worst’ state and ‘unconscious’ state were compared with the ‘dead’ state using a paired t-test.\nAll the analyses were carried out using Stata/MP 10.1 for Windows. A minimally important difference of 4 to 8 points on the 100-point VAS was considered to be of practical significance [22-24].\nThe analysis included participants with diabetes, high blood pressure/hypertension, heart diseases, asthma/lung diseases, rheumatism/back pain/other bone-muscle illness, or no chronic disease. The number of participants with other chronic diseases was small (<10) and these participants were not included in the analyses described in this manuscript.\nParticipants who met the following criteria were excluded from our analysis: a) valued less than 3 health states, b) did not value ‘dead’ or ‘all-worst’ state, c) valued ‘dead’ or ‘all-worst’ or ‘unconscious’ state higher than all of the other states, d) gave the same valuation score to all the health states, e) self-reported or rated by the interviewers as having a poor understanding of the health states description or valuation tasks. The valuation score used in the analyses was ‘raw’ VAS valuation score, which ranged from 0 (worst possible score) to 100 (best possible score). There is no consensus among researchers or regulatory bodies regarding the optimal method of transforming the valuation scores into utility [19].\nWe performed a separate analysis to compare the valuations by participants in each of the CDP groups with those of the NCDP group. Each analysis included two ordinary least-square regression models. Model I was used for the comparison of overall difference in valuation scores (including all the health states) between each CDP group and the NCDP group. Model II was used for the comparison of the differences in valuation scores of non-severe health states and severe health states by including an interaction term between the indicator variable for severe health state (versus non-severe health state) and the indicator variable for the specific CDP group (versus the NCDP group). We considered health states with at least one dimension at level 3 as “severe” health states, and the remaining states as “non-severe”.\nModel I was performed for the valuation score with an indicator variable representing a specific CDP group, the members of which might have co-morbid conditions, versus the NCDP group as the independent variable. The model adjusted for indicator variables that represented the level of severity in each dimension of the health states. That is, including 2 indicator variables for each of the 5 dimensions of EQ-5D-3L. Furthermore, we included an indicator variable (commonly called ‘N3’ in the cost-utility analysis literature) to take into account additional disutilities when a severe problem (level 3) was reported on at least one dimension [20]. Finally, the comparison adjusted for ethnicity, gender, age, marital status, education level, religion and house type because the CDP group being analyzed and NCDP group might differ in these background characteristics.\nModel II further included an interaction term between the CDP group indicator and the N3 in Model I. In this model, the coefficient of the CDP group provides an estimate of the difference between valuation scores of non-severe health states; whereas its sum with the interaction term provides an estimate of the difference between valuation scores of severe health states by the specific CDP group and the NCDP group after taking the health state descriptors and participants’ background characteristics into account. Perfect health state, ‘unconscious’ state and ‘dead’ state were excluded from Models I and II. The perfect health state was assigned a valuation score of 100 for each participant. Since each of the participants valued 6 health states, we used the Eicker-Huber-White robust standard error for cluster data for statistical inference [21].\nWe compared the valuation of the ‘all-worst’ and ‘unconscious’ health states with the valuation of ‘dead’ state by each of the CDP groups and the NCDP group. The mean valuation scores of the ‘all-worst’ state and ‘unconscious’ state were compared with the ‘dead’ state using a paired t-test.\nAll the analyses were carried out using Stata/MP 10.1 for Windows. A minimally important difference of 4 to 8 points on the 100-point VAS was considered to be of practical significance [22-24].", "In 2009, the EQ-5D-3L—using the visual analogue scale (VAS) method—was used to conduct a cross-sectional, face-to-face survey of health state valuation in a representative sample of 1034 participants from the general population of Singapore. Singapore is a multi-ethnic city state with a rapidly increasing aging population. Its population is 75% Chinese, 13% Malay, 9% Indian (mostly Tamil speaking) and 3% others [17]. A multi-stage sampling approach was used to randomly select residential blocks, within which households were selected. We interviewed potential participants (one per household) who satisfied the pre-set recruitment quotas for ethnicity (400 Chinese, 400 Malay, and 234 Indians), gender (50% Female) and age (30% of 21–34 years, 40% of 35–49 years, and 30% of 50+ years). Within each ethnicity, there was a quota that half of the participants would use English for the interview and the remaining half would use their native language (i.e., Mandarin for Chinese, Malay for Malays and Tamil for Indians).\nThe EQ-5D-3L consists of 5 dimensions (mobility, self-care, usual activities, pain/discomfort, and anxiety/depression) with 3 response levels for each dimension (1: no problems, 2: some problems, and 3: extreme problems). This instrument thus describes 243 health states. Each health state is represented by one response level from each of the 5 dimensions. For example, 11112 describes a health state with no problems on the first 4 dimensions and some problem related to anxiety/depression. A subset of 42 EQ-5D-3L states was selected based on the protocol of Dolan [18]. Immediate death and the most severe state (‘33333’) were labeled as ‘dead’ and ‘all-worst’, respectively. Each participant was asked to compare between ‘dying now’ and ‘living for the rest of his/her life in all-worst’, from which the less desirable state was assigned a value 0 on the VAS. Each participant was then asked to value a unique set of 6 states from the subset of EQ-5D-3L states and either ‘dead’ or the ‘all-worst’ state, whichever one was not valued earlier at 0. The unique set of 6 health states that was assigned to each participant included states that were spread widely over the valuation space. A 100-point “feeling thermometer” with endpoints of 100 (most desirable, i.e., perfect health) and 0 (least desirable) was used as a VAS. For the six assigned states, participants were required to indicate where they would rate each of the states on the “feeling thermometer” by imagining themselves in that state for the rest of their life without changing. The participants were allowed to value more than one health state at the same level of VAS. In addition to the six assigned states, ‘unconscious’ state was also valued.\nParticipants were also asked to report their chronic diseases. The list of chronic diseases included diabetes, high blood pressure (hypertension), heart diseases, stroke, asthma or other lung diseases, cancer, rheumatism/back pain or other bone or muscle illness, mental illness (e.g., depression, anxiety neurosis, schizophrenia) and other illness (e.g., kidney problems or dialysis).\nThis study was approved by the SingHealth Centralized Institutional Review Board.", "The analysis included participants with diabetes, high blood pressure/hypertension, heart diseases, asthma/lung diseases, rheumatism/back pain/other bone-muscle illness, or no chronic disease. The number of participants with other chronic diseases was small (<10) and these participants were not included in the analyses described in this manuscript.\nParticipants who met the following criteria were excluded from our analysis: a) valued less than 3 health states, b) did not value ‘dead’ or ‘all-worst’ state, c) valued ‘dead’ or ‘all-worst’ or ‘unconscious’ state higher than all of the other states, d) gave the same valuation score to all the health states, e) self-reported or rated by the interviewers as having a poor understanding of the health states description or valuation tasks. The valuation score used in the analyses was ‘raw’ VAS valuation score, which ranged from 0 (worst possible score) to 100 (best possible score). There is no consensus among researchers or regulatory bodies regarding the optimal method of transforming the valuation scores into utility [19].\nWe performed a separate analysis to compare the valuations by participants in each of the CDP groups with those of the NCDP group. Each analysis included two ordinary least-square regression models. Model I was used for the comparison of overall difference in valuation scores (including all the health states) between each CDP group and the NCDP group. Model II was used for the comparison of the differences in valuation scores of non-severe health states and severe health states by including an interaction term between the indicator variable for severe health state (versus non-severe health state) and the indicator variable for the specific CDP group (versus the NCDP group). We considered health states with at least one dimension at level 3 as “severe” health states, and the remaining states as “non-severe”.\nModel I was performed for the valuation score with an indicator variable representing a specific CDP group, the members of which might have co-morbid conditions, versus the NCDP group as the independent variable. The model adjusted for indicator variables that represented the level of severity in each dimension of the health states. That is, including 2 indicator variables for each of the 5 dimensions of EQ-5D-3L. Furthermore, we included an indicator variable (commonly called ‘N3’ in the cost-utility analysis literature) to take into account additional disutilities when a severe problem (level 3) was reported on at least one dimension [20]. Finally, the comparison adjusted for ethnicity, gender, age, marital status, education level, religion and house type because the CDP group being analyzed and NCDP group might differ in these background characteristics.\nModel II further included an interaction term between the CDP group indicator and the N3 in Model I. In this model, the coefficient of the CDP group provides an estimate of the difference between valuation scores of non-severe health states; whereas its sum with the interaction term provides an estimate of the difference between valuation scores of severe health states by the specific CDP group and the NCDP group after taking the health state descriptors and participants’ background characteristics into account. Perfect health state, ‘unconscious’ state and ‘dead’ state were excluded from Models I and II. The perfect health state was assigned a valuation score of 100 for each participant. Since each of the participants valued 6 health states, we used the Eicker-Huber-White robust standard error for cluster data for statistical inference [21].\nWe compared the valuation of the ‘all-worst’ and ‘unconscious’ health states with the valuation of ‘dead’ state by each of the CDP groups and the NCDP group. The mean valuation scores of the ‘all-worst’ state and ‘unconscious’ state were compared with the ‘dead’ state using a paired t-test.\nAll the analyses were carried out using Stata/MP 10.1 for Windows. A minimally important difference of 4 to 8 points on the 100-point VAS was considered to be of practical significance [22-24].", "All 1034 participants provided demographic and health characteristic information. Nine participants had chronic diseases other than diabetes, high blood pressure/hypertension, heart disease, asthma/lung disease or rheumatism/back pain/other bone-muscle illness. Thirty-four participants valued ‘dead’ state higher than all the other states, 3 participants valued ‘unconscious’ state higher than all the other states, 1 participant did not value the ‘all-worst’ state and 4 participants were observed to have a poor understanding of valuation tasks. Hence, a total of 51 participants were excluded from the analysis. Table 1 shows the demographic and health characteristics of the 983 participants that were included in the analysis. The percentage of participants who had good-to-excellent self-reported general health varied between 68% and 75% among the CDP groups (Diabetes: 70/102, Rheumatism: 122/162, Hypertension: 107/145, Heart diseases: 29/44, Lung diseases: 30/44) as compared to 95% among NCDP group (621/651). Participants in the CDP groups were older, had lower education level and lower self-reported general health compared to participants in the NCDP group.Table 1\nDemographic and health characteristics of the study participants\n\nCharacteristics\n\nAll participants (N = 983)\n\nNo chronic disease group (N = 651)\n\nDiabetes (N = 102)\n\nRheumatism (N = 162)\n\nHypertension (N = 145)\n\nHeart diseases (N = 44)\n\nLung diseases (N = 44)\n\nn (%)\n\nn (%)\n\nn (%)\n\nP-value*\n\nn (%)\n\nP-value*\n\nn (%)\n\nP-value*\n\nn (%)\n\nP-value*\n\nn (%)\n\nP-value*\nFemale493 (50.2)329 (50.5)47 (46.1)0.40492 (56.8)0.07169 (47.6)0.5309 (20.5)<0.00129 (65.9)0.044Age (years)<0.001<0.001<0.001<0.0010.048  21-29190 (19.3)168 (25.8)0 (0.0)7 (4.3)2 (1.4)0 (0.0)14 (31.8)  30-39218 (22.2)178 (27.3)6 (5.9)21 (13.0)7 (4.8)1 (2.3)9 (20.5)  40-49261 (26.6)181 (27.8)22 (21.6)43 (26.5)24 (16.6)7 (15.9)5 (11.4)  50-59192 (19.5)91 (14.0)41 (40.2)40 (24.7)57 (39.3)18 (40.9)8 (18.2)  60+122 (12.4)33 (5.1)33 (32.4)51 (31.5)55 (37.9)18 (40.9)8 (18.2)Ethnicity0.0010.0240.9140.0010.287  Chinese363 (36.9)234 (35.9)26 (25.5)67 (41.4)56 (38.6)9 (20.5)16 (36.4)  Malay395 (40.2)284 (43.6)37 (36.3)50 (30.9)57 (39.3)14 (31.8)14 (31.8)  Indian225 (22.9)133 (20.4)39 (38.2)45 (27.8)32 (22.1)21 (47.7)14 (31.8)Education level<0.001<0.001<0.001<0.0010.352  Primary (6 years) or less187 (19.0)74 (11.4)48 (47.1)60 (37.0)58 (40.0)22 (50.0)12 (27.3)  Secondary (11 years)555 (56.5)387 (59.5)44 (43.1)79 (48.8)77 (53.1)18 (40.9)22 (50.0)  Diploma/degree or higher241 (24.5)190 (29.2)10 (9.8)23 (14.2)10 (6.9)4 (9.1)10 (22.7)Married/living with partner739 (75.2)481 (73.9)84 (82.4)0.090128 (79.0)0.233120 (82.8)0.02238 (86.4)0.10623 (52.3)0.001Religion0.0510.0940.7960.0170.894  Buddhism/Taoism224 (22.8)139 (21.4)19 (18.6)43 (26.5)37 (25.5)4 (9.1)12 (27.3)  Islam410 (41.7)289 (44.4)41 (40.2)53 (32.7)63 (43.5)17 (38.6)16 (36.4)  Hinduism/Sikhism192 (19.5)117 (18.0)31 (30.4)40 (24.7)24 (16.6)17 (38.6)10 (22.7)  Christianity80 (8.1)54 (8.3)7 (6.9)14 (8.6)10 (6.9)3 (6.8)3 (6.8)  No religion77 (7.8)52 (8.0)4 (3.9)12 (7.4)11 (7.6)3 (6.8)3 (6.8)House type0.3770.1750.7860.2040.533  Government owned: 4 rooms or smaller668 (68.0)449 (69.0)71 (69.6)106 (65.4)96 (66.2)25 (56.8)27 (61.4)  Government owned: 5 rooms or bigger292 (29.7)191 (29.3)27 (26.5)49 (30.3)45 (31.0)18 (40.9)16 (36.4)  Private23 (2.3)11 (1.7)4 (3.9)7 (4.3)4 (2.8)1 (2.3)1 (2.3)General health status<0.001<0.001<0.001<0.001<0.001  Excellent97 (9.9)85 (13.1)3 (2.9)5 (3.1)2 (1.4)2 (4.6)2 (4.6)  Very good376 (38.3)302 (46.4)19 (18.6)24 (14.8)31 (21.4)6 (13.6)9 (20.5)  Good409 (41.6)234 (35.9)48 (47.1)93 (57.4)74 (51.0)21 (47.7)19 (43.2)  Fair93 (9.5)30 (4.6)27 (26.5)36 (22.2)32 (22.1)13 (29.6)11 (25.0)  Poor8 (0.8)0 (0.0)5 (4.9)4 (2.5)6 (4.1)2 (4.6)3 (6.8)*Comparison with the no chronic disease group using Fisher’s exact test.\n\nDemographic and health characteristics of the study participants\n\n*Comparison with the no chronic disease group using Fisher’s exact test.\nTable 2 summarizes the comparison of health state valuation scores between the CDP groups and the NCDP group. Mean observed differences between the CDP groups and the NCDP group regarding the valuation score of all the 42 EQ-5D health states, non-severe health states and severe health states ranged from −3.3 to 0.5, −3.7 to −1.0 and −2.8 to 2.1, respectively. After taking health state descriptors and covariates into account in the regression analysis, the mean differences between the CDP groups and the NCDP group regarding valuation scores of all the health states ranged from −2.5 to 1.6 (each p-value >0.05), except for the heart disease group. The adjusted mean valuation score of all the health states for the heart disease group was 4.6 points higher (95% CI: 0.4 to 8.9; p-value = 0.032) than that of the NCDP group. Similarly, after taking health state descriptors and covariates into account, the mean differences between the CDP group and the NCDP group regarding severe health state valuation scores ranged from −2.4 to 1.8 (each p-value >0.05), except for the heart disease group. The adjusted mean valuation score of severe states for the heart disease group was 5.4 points higher (95% CI: 0.7 to 10.1; p-value = 0.025) than that of the NCDP group. After taking health state descriptors and covariates into account, there was no practically significant difference in the mean valuation scores of non-severe health states between any CDP group and the NCDP group. The changes in the mean differences after the adjustment for the covariates could be due to differences in the distribution of demographic characteristics between the CDP and NCDP groups (please see Table 1). For example, the NCDP group had more participants married/living with partners, which was associated with higher value, compared with unmarried participants in multivariable analysis. After statistical adjustment, the difference between NCDP and lung disease groups would become smaller. Similarly, the NCDP group had differences in multiple demographic characteristics, such as more female participants, fewer Indian participants, and more participants following Buddhism/Taoism, which were associated with higher value, compared to the heart disease group. Thus, after statistical adjustment, the heart disease group had higher valuation score compared to the NCDP group. Other demographic characteristics did not have much influence on the valuation score (Details not shown).Table 2\nComparison of valuation of health states between the chronic disease groups and the no chronic disease group taking into account health state descriptors and covariates\n\nHealth States\n\nDiabetes (n = 102)\n\nRheumatism (n = 162)\n\nHypertension (n = 145)\n\nHeart diseases (n = 44)\n\nLung diseases (n = 44)\n\nNo chronic disease (n = 651)\nAll health states1\n  Mean (SD)43.6 (30.0)43.4 (30.6)44.4 (30.0)43.1 (28.7)40.6 (29.5)43.9 (30.6)  Mean difference (95% CI)2,3\n1.6 (−1.2, 4.3)0.4 (−2.0, 2.8)0.7 (−1.7, 3.1)4.6 (0.4, 8.9)*−2.5 (−6.2, 1.2)-Non-severe health states1,4\n  Mean (SD)71.6 (18.8)71.3 (20.0)71.2 (19.7)69.8 (16.8)69.0 (22.1)72.7 (19.3)  Mean difference (95% CI)2,3\n1.0 (−2.5, 4.6)−0.3 (−3.4, 2.9)−1.0 (−4.3, 2.3)2.6 (−2.4, 7.6)−2.6 (−9.0, 3.8)-Severe health states1,4\n  Mean (SD)31.4 (25.4)31.9 (26.6)33.6 (26.5)33.7 (26.0)28.7 (23.6)31.5 (25.8)  Mean difference (95% CI)2,3\n1.8 (−1.2, 4.7)0.7 (−1.9, 3.3)1.3 (−1.2, 3.9)5.4 (0.7, 10.1)*−2.4 (−6.1, 1.2)-\n1The study included 42 EQ-5D-3L health states, not including perfect health, unconscious and dead states. The perfect health state of EQ-5D-3L was assigned default value of 100 points on the visual analogue scale.\n2Difference: mean scores of participants with chronic diseases minus mean scores of participants with no chronic disease.\n3Using ordinary least square regression model adjusted for health state descriptors, disutility due to severe problems, ethnicity, gender, age, marital status, education level, religion and house type (see Methods section).\n4EQ-5D-3L health states with at least one domain at severity level 3 are considered as ‘severe’ health states. Remaining health states are considered as ‘non-severe’ health states.*P-value <0.05.\n\nComparison of valuation of health states between the chronic disease groups and the no chronic disease group taking into account health state descriptors and covariates\n\n\n1The study included 42 EQ-5D-3L health states, not including perfect health, unconscious and dead states. The perfect health state of EQ-5D-3L was assigned default value of 100 points on the visual analogue scale.\n\n2Difference: mean scores of participants with chronic diseases minus mean scores of participants with no chronic disease.\n\n3Using ordinary least square regression model adjusted for health state descriptors, disutility due to severe problems, ethnicity, gender, age, marital status, education level, religion and house type (see Methods section).\n\n4EQ-5D-3L health states with at least one domain at severity level 3 are considered as ‘severe’ health states. Remaining health states are considered as ‘non-severe’ health states.\n*P-value <0.05.\nTable 3 summarizes the comparison of valuation scores for the ‘all-worst’ state with those of the ‘dead’ state by disease group. Except for the heart disease group, the mean difference in valuation scores of ‘all-worst’ state and ‘dead’ state by the CDP groups and the NCDP group were within the range of −8.4 points (95% CI: −11.8 to −4.9; p-value < 0.001) to −5.3 points (95% CI: −8.8 to −1.8; p-value = 0.003). For the heart disease group, this difference was −2.3 points (95% CI: −7.3 to 2.8; p-value = 0.370).Table 3\nComparison of valuation scores between the ‘all-worst’ state and the ‘dead’ state by disease group\n\nValuation Scores\n\nDiabetes (n = 102)\n\nRheumatism (n = 162)\n\nHypertension (n = 145)\n\nHeart diseases (n = 44)\n\nLung diseases (n = 44)\n\nNo chronic disease (n = 651)\nAll-worst#\n  Mean (SD)3.3 (8.4)2.1 (6.0)3.1 (8.6)4.8 (9.9)1.7 (5.2)3.1 (8.3)Dead  Mean (SD)8.6 (13.3)10.3 (15.9)11.4 (17.1)7.1 (10.4)8.5 (10.9)9.4 (14.1)All-worst - Dead  Mean difference (95% CI)−5.3 (−8.8, −1.8)*−8.1 (−11.0, −5.3)*−8.4 (−11.8, −4.9)*−2.3 (−7.3, 2.8)−6.8 (−10.8, −2.7)*−6.3 (−7.6, −4.9)*\n#EQ-5L-3L health state with all its domains at severity level 3 is labelled as ‘all-worst’ health state.*P-value < 0.05.\n\nComparison of valuation scores between the ‘all-worst’ state and the ‘dead’ state by disease group\n\n\n#EQ-5L-3L health state with all its domains at severity level 3 is labelled as ‘all-worst’ health state.\n*P-value < 0.05.\nTable 4 summarizes the comparison of valuation scores for ‘unconscious’ state with those of the ‘dead’ state by disease group. Except for the heart disease group, the mean difference in valuation scores of ‘unconscious’ state and ‘dead’ state by the CDP groups and the NCDP group were within the range of −0.1 points (95% CI: −3.0 to 2.7; p-value = 0.922) to 3.0 points (95%CI: −0.1 to 6.0; p-value = 0.057). For the heart disease group, this difference was 4.2 points (95% CI: 0.4 to 8.0; p-value = 0.030).Table 4\nComparison of valuation scores between the ‘unconscious’ state and the ‘dead’ state by disease group\n\nValuation Scores\n\nDiabetes (n = 102)\n\nRheumatism (n = 167)\n\nHypertension (n = 147)\n\nHeart diseases (n = 46)\n\nLung diseases (n = 44)\n\nNo chronic disease (n = 667)\nUnconscious  Mean (SD)11.6 (11.1)10.1 (12.3)12.0 (13.0)11.3 (11.7)10.6 (9.6)11.8 (12.6)Dead  Mean (SD)8.6 (13.3)10.3 (15.9)11.4 (17.1)7.1 (10.4)8.5 (10.9)9.4 (14.1)Unconscious - Dead  Mean difference (95% CI)3.0 (−0.1, 6.0)−0.1 (−3.0, 2.7)0.6 (−2.6, 3.8)4.2 (0.4, 8.0)*2.1 (−1.4, 5.7)2.4 (1.2, 3.6)**P-value < 0.05.\n\nComparison of valuation scores between the ‘unconscious’ state and the ‘dead’ state by disease group\n\n*P-value < 0.05.", "We examined the potential effect of experience with chronic disease on the valuation of EQ-5D-3L health states using the VAS method in a multicultural Asian population. Valuation by participants with five different types of chronic disease (diabetes, rheumatism, hypertension, heart disease and lung disease) was compared with valuation by participants with no chronic disease.\nThe heart disease group valued the health states 5 points higher than did the NCDP group (p-value = 0.032), which is mainly attributed to the heart participants’ valuation of the severe health states. This difference was statistically significant and larger than the minimal important difference of 4 points for the EQ-5D-3L valuation score, which indicates that the result is practically meaningful. The mean differences between the valuation by other CDP groups (diabetes, rheumatism, hypertension and lung diseases) and the NCDP group were all smaller than the minimal important difference.\nThe ‘all-worst’ state (the most severe state of EQ-5D with all dimensions at extreme severity) was valued worse than the ‘dead’ state by the majority of participants across the different types of chronic diseases and the NCDP group. Except for the heart disease group, all CDP groups and the NCDP group valued the ‘all worst’ state statistically and practically significantly lower than the ‘dead’ state. The heart disease group’s valuation of the ‘all-worst’ state was not statistically and practically significantly different from their valuation of the ‘dead’ state (difference = −2.3, p-value = 0.370).\nWe also found that the mean valuation score of the ‘unconscious’ state was likely to be equivalent to the ‘dead’ state by the NCDP group and all of the CDP groups except for the heart disease group. The difference in the mean valuation score of the ‘unconscious’ state and the ‘dead’ state by heart disease group was statistically significant and higher than the minimal important difference (difference = 4.2, p-value = 0.030), whereas the difference was statistically non-significant and less than 4 (minimal important difference) for the diabetes, rheumatism, hypertension, asthma/lung disease groups and the NCDP group.\nA possible reason for heart disease patients giving higher valuation scores could be that a higher proportion of heart disease patients might have experienced one or more severe heath states, and this might have changed their perception regarding these health states. This might not be the case with other CDP groups and the NCDP group. On the other hand, the majority of CDP groups and the NCDP group might have experienced the non-severe health states, thus leading to their similar valuation of non-severe health states.\nWang et al. [5] in Singapore found that after adjusting for health state descriptors and demographic characteristics, there was no meaningful difference in the valuation of severe health states by diabetes patients and a population without diabetes. However, the study reported that diabetes patients valued the non-severe health states 13 points higher than did the no-diabetes population. Our findings do not fully support their results. It should be noted that Wang et al. included only 3 non-severe health states; hence their findings have limited applicability. On the other hand, we used 14 non-severe health states, which represent more generalized findings.\nOur study findings are consistent with those of Pickard et al. [8]. Using the time trade-off method, Pickard et al. found no meaningful difference in valuation scores between CDP (arthritis, diabetes, depression, hay fever, cancer) and NCDP, except for heart failure patients [8]. Pickard et al. found that after adjusting for covariates, patients with heart failure only, and patients with heart failure and at least one other chronic disease, gave valuation scores higher by 25 points (n = 6, p-value = 0.222) and 7 points (n = 129, p-value = 0.049), respectively, compared to NCDP.\nA possible explanation for no practical differences in the mean valuation score between individuals with chronic diseases and individuals without any chronic diseases might be because in this exercise, individuals with and without chronic diseases are valuing many hypothetical health states that are unlikely to reflect the actual health state(s) that one has experienced. As such, it is probably not surprising that generally speaking, individuals with chronic disease might value them similarly to individuals with no chronic disease.\nThis study has several potential limitations. First, the chronic disease conditions were self-reported by the participants. We did not collect any further information to confirm the disease, the severity of the disease or the time spent with the disease. Hence, there could be a chance of misclassification regarding reported diseases. A Finnish study showed that the sensitivity and specificity of self-reported chronic diseases (diabetes, hypertension, coronary heart disease, asthma and rheumatoid arthritis) could range from 78% to 96% and 96% to 99%, respectively [25]. This indicates a relatively large possibility that patients with chronic diseases could be misclassified into the NCDP group, but a small possibility that those with no chronic disease could be misclassified into a chronic disease group. This should mean that the difference between CDP and NCDP might be under-estimated but not over-estimated. Furthermore, this is a secondary analysis of existing data. The limited information related to disease conditions does not allow us to investigate any concrete reasons for the differences or lack of differences between the CDP and NCDP. Second, although our study had a sizable CDP group, nearly 80% of the CDP group self-reported their health status as good to excellent. Hence, our study findings may not be generalized to patients at a severe or unstable stage of chronic disease. Third, our study included only five chronic diseases (with a relatively small number of participants) and only one life-threatening chronic disease (heart diseases). Thus, our study findings may not be assumed to generalize to other life-threatening chronic diseases. Fourth, we performed separate statistical tests for comparing valuation by each CDP group with valuation by the NCDP group without multiplicity adjustment. Furthermore, the sample size was not powered for this analysis. Thus, the statistically significant findings might be due to inflated Type I error and therefore require further confirmation. Nevertheless, our findings are based on a random sample of a chronic disease population from the Asian general population. It also included many health states with a wide range of severity. It also has potential to generalize the findings for non-life-threatening chronic disease patients. We encourage conducting a larger study that includes a greater variety of life-threatening chronic disease patients, as well as varying severity levels and the verification of disease conditions and severity.", "Our study findings suggest that heart disease patients value severe EQ-5D-3L health states differently than individuals who have no experience with chronic disease when analyzed using the VAS method in a Singaporean population. However, the experience of chronic diseases other than heart disease does not necessarily result in a higher or lower valuation across all the health states of EQ-5D-3L." ]
[ "introduction", "materials|methods", null, null, "results", "discussion", "conclusion" ]
[ "Chronic disease", "EQ-5D", "Utility", "Valuation" ]
Background: There is conflicting evidence as to whether patients with chronic disease value their own health states differently from individuals who have not experienced any such diseases [1,2]. Similar conflicting results have been reported for how patients with chronic disease and individuals with no such disease experience value hypothetical health states [1,2]. The difference in valuation of health states between the patients and individuals with no disease experience may arise because the patients might have adapted to their condition or because individuals with no disease experience overestimate the impact of disease or disability on quality of life [3]. Most studies that have evaluated differences in valuations by these two groups have been conducted in western countries; only one study has reported on an Asian population [1,4]. This is important as there is evidence of meaningful differences between populations of different countries regarding the valuation of health states [5,6]. In addition, most of the studies that have compared the valuation by chronic disease patients and that of by a no chronic disease population have compared the valuation of only selected disease-related health states, without covering a range of mild to severe states. Only a few studies have investigated the potential systemic difference between valuation by specific chronic disease patients and individuals with no experience of chronic disease regarding health states with a wide range of severity [7,8]. Differences in valuation between chronic disease patients and individual with no chronic disease may affect the outcomes of analyses of healthcare interventions. Cost-utility analysis (CUA) is a cost-effectiveness analysis in which the effect of health-care interventions is measured in terms of quality-adjusted life-years (QALYs) gained. QALYs are estimated as the time spent in a health state (quantity of life) multiplied by its utility (quality of life). QALYs are also an important outcome for monitoring health status in individual patients, measuring population health and measuring the impact of health-care intervention in clinical studies [9]. The question of whose utility (general-population-derived or patient-derived) should be used in clinical decision making and economic evaluations of health-care interventions has been debated in the literature [10,11]. The answer depends on the purpose for which the utility is used and context in which it is used. A general population-derived utility is desirable when the utility is needed to inform decisions that allocate societal resources, while a patient-derived utility may be more appropriate when making treatment decisions guided by patient preferences. The Panel on Cost-Effectiveness in Health and Medicine in the United States and the National Institute for Health and Care Excellence in England and Wales recommend that a general-population-derived utility for health states be used for cost-effectiveness analyses [12,13]. However, the latest systematic review revealed that less than one-third of published CUAs use a general-population-derived utility; the remainder used a patient-derived utility, a clinician- or expert-derived utility, or authors’ judgments [14]. Many investigators use a patient-derived utility because they believe that patients who have experienced the disease conditions can appraise their conditions more accurately than individuals who have not experienced such conditions [15]. On the other hand, CUAs using a general population-derived utility can help broader system-level decision making to prioritize health care funding in order to maximize the benefit for patients with different medical conditions- considering patients’ as well as non-patients’ perspectives [11]. This is a recommended approach when the health care is funded by the public/tax payers. However, if the health care costs are mostly paid by patients themselves, patient-derived utility should be considered. In Singapore, more than 60% of the health care costs are borne by patients [16]; and therefore patient-derived utility is relevant. Utilities of health states from generic quality of life instruments, such as the EuroQoL Group five dimensions (EQ-5D) or Short Form six dimension (SF-6D), are preferred over health states from disease-specific quality of life instrument for CUAs. Utilities of generic health states allow comparisons of the effects on quality of life of different health-care interventions in different diseases. Currently, the EQ-5D is the most commonly used generic instrument for CUAs [14]. The present study draws on data from a valuation study of EQ-5D 3-level (EQ-5D-3L) health states in the Singapore general population which involves self-reporting of chronic diseases. We aimed to explore whether there are systematic differences in values for health states elicited by specific chronic disease patients (CDP) and by the no chronic disease population (NCDP). We also explored how the most severe health state and unconscious state were valued in relation to dead state by specific CDP and NCDP. Methods: Valuation survey procedures In 2009, the EQ-5D-3L—using the visual analogue scale (VAS) method—was used to conduct a cross-sectional, face-to-face survey of health state valuation in a representative sample of 1034 participants from the general population of Singapore. Singapore is a multi-ethnic city state with a rapidly increasing aging population. Its population is 75% Chinese, 13% Malay, 9% Indian (mostly Tamil speaking) and 3% others [17]. A multi-stage sampling approach was used to randomly select residential blocks, within which households were selected. We interviewed potential participants (one per household) who satisfied the pre-set recruitment quotas for ethnicity (400 Chinese, 400 Malay, and 234 Indians), gender (50% Female) and age (30% of 21–34 years, 40% of 35–49 years, and 30% of 50+ years). Within each ethnicity, there was a quota that half of the participants would use English for the interview and the remaining half would use their native language (i.e., Mandarin for Chinese, Malay for Malays and Tamil for Indians). The EQ-5D-3L consists of 5 dimensions (mobility, self-care, usual activities, pain/discomfort, and anxiety/depression) with 3 response levels for each dimension (1: no problems, 2: some problems, and 3: extreme problems). This instrument thus describes 243 health states. Each health state is represented by one response level from each of the 5 dimensions. For example, 11112 describes a health state with no problems on the first 4 dimensions and some problem related to anxiety/depression. A subset of 42 EQ-5D-3L states was selected based on the protocol of Dolan [18]. Immediate death and the most severe state (‘33333’) were labeled as ‘dead’ and ‘all-worst’, respectively. Each participant was asked to compare between ‘dying now’ and ‘living for the rest of his/her life in all-worst’, from which the less desirable state was assigned a value 0 on the VAS. Each participant was then asked to value a unique set of 6 states from the subset of EQ-5D-3L states and either ‘dead’ or the ‘all-worst’ state, whichever one was not valued earlier at 0. The unique set of 6 health states that was assigned to each participant included states that were spread widely over the valuation space. A 100-point “feeling thermometer” with endpoints of 100 (most desirable, i.e., perfect health) and 0 (least desirable) was used as a VAS. For the six assigned states, participants were required to indicate where they would rate each of the states on the “feeling thermometer” by imagining themselves in that state for the rest of their life without changing. The participants were allowed to value more than one health state at the same level of VAS. In addition to the six assigned states, ‘unconscious’ state was also valued. Participants were also asked to report their chronic diseases. The list of chronic diseases included diabetes, high blood pressure (hypertension), heart diseases, stroke, asthma or other lung diseases, cancer, rheumatism/back pain or other bone or muscle illness, mental illness (e.g., depression, anxiety neurosis, schizophrenia) and other illness (e.g., kidney problems or dialysis). This study was approved by the SingHealth Centralized Institutional Review Board. In 2009, the EQ-5D-3L—using the visual analogue scale (VAS) method—was used to conduct a cross-sectional, face-to-face survey of health state valuation in a representative sample of 1034 participants from the general population of Singapore. Singapore is a multi-ethnic city state with a rapidly increasing aging population. Its population is 75% Chinese, 13% Malay, 9% Indian (mostly Tamil speaking) and 3% others [17]. A multi-stage sampling approach was used to randomly select residential blocks, within which households were selected. We interviewed potential participants (one per household) who satisfied the pre-set recruitment quotas for ethnicity (400 Chinese, 400 Malay, and 234 Indians), gender (50% Female) and age (30% of 21–34 years, 40% of 35–49 years, and 30% of 50+ years). Within each ethnicity, there was a quota that half of the participants would use English for the interview and the remaining half would use their native language (i.e., Mandarin for Chinese, Malay for Malays and Tamil for Indians). The EQ-5D-3L consists of 5 dimensions (mobility, self-care, usual activities, pain/discomfort, and anxiety/depression) with 3 response levels for each dimension (1: no problems, 2: some problems, and 3: extreme problems). This instrument thus describes 243 health states. Each health state is represented by one response level from each of the 5 dimensions. For example, 11112 describes a health state with no problems on the first 4 dimensions and some problem related to anxiety/depression. A subset of 42 EQ-5D-3L states was selected based on the protocol of Dolan [18]. Immediate death and the most severe state (‘33333’) were labeled as ‘dead’ and ‘all-worst’, respectively. Each participant was asked to compare between ‘dying now’ and ‘living for the rest of his/her life in all-worst’, from which the less desirable state was assigned a value 0 on the VAS. Each participant was then asked to value a unique set of 6 states from the subset of EQ-5D-3L states and either ‘dead’ or the ‘all-worst’ state, whichever one was not valued earlier at 0. The unique set of 6 health states that was assigned to each participant included states that were spread widely over the valuation space. A 100-point “feeling thermometer” with endpoints of 100 (most desirable, i.e., perfect health) and 0 (least desirable) was used as a VAS. For the six assigned states, participants were required to indicate where they would rate each of the states on the “feeling thermometer” by imagining themselves in that state for the rest of their life without changing. The participants were allowed to value more than one health state at the same level of VAS. In addition to the six assigned states, ‘unconscious’ state was also valued. Participants were also asked to report their chronic diseases. The list of chronic diseases included diabetes, high blood pressure (hypertension), heart diseases, stroke, asthma or other lung diseases, cancer, rheumatism/back pain or other bone or muscle illness, mental illness (e.g., depression, anxiety neurosis, schizophrenia) and other illness (e.g., kidney problems or dialysis). This study was approved by the SingHealth Centralized Institutional Review Board. Analyses The analysis included participants with diabetes, high blood pressure/hypertension, heart diseases, asthma/lung diseases, rheumatism/back pain/other bone-muscle illness, or no chronic disease. The number of participants with other chronic diseases was small (<10) and these participants were not included in the analyses described in this manuscript. Participants who met the following criteria were excluded from our analysis: a) valued less than 3 health states, b) did not value ‘dead’ or ‘all-worst’ state, c) valued ‘dead’ or ‘all-worst’ or ‘unconscious’ state higher than all of the other states, d) gave the same valuation score to all the health states, e) self-reported or rated by the interviewers as having a poor understanding of the health states description or valuation tasks. The valuation score used in the analyses was ‘raw’ VAS valuation score, which ranged from 0 (worst possible score) to 100 (best possible score). There is no consensus among researchers or regulatory bodies regarding the optimal method of transforming the valuation scores into utility [19]. We performed a separate analysis to compare the valuations by participants in each of the CDP groups with those of the NCDP group. Each analysis included two ordinary least-square regression models. Model I was used for the comparison of overall difference in valuation scores (including all the health states) between each CDP group and the NCDP group. Model II was used for the comparison of the differences in valuation scores of non-severe health states and severe health states by including an interaction term between the indicator variable for severe health state (versus non-severe health state) and the indicator variable for the specific CDP group (versus the NCDP group). We considered health states with at least one dimension at level 3 as “severe” health states, and the remaining states as “non-severe”. Model I was performed for the valuation score with an indicator variable representing a specific CDP group, the members of which might have co-morbid conditions, versus the NCDP group as the independent variable. The model adjusted for indicator variables that represented the level of severity in each dimension of the health states. That is, including 2 indicator variables for each of the 5 dimensions of EQ-5D-3L. Furthermore, we included an indicator variable (commonly called ‘N3’ in the cost-utility analysis literature) to take into account additional disutilities when a severe problem (level 3) was reported on at least one dimension [20]. Finally, the comparison adjusted for ethnicity, gender, age, marital status, education level, religion and house type because the CDP group being analyzed and NCDP group might differ in these background characteristics. Model II further included an interaction term between the CDP group indicator and the N3 in Model I. In this model, the coefficient of the CDP group provides an estimate of the difference between valuation scores of non-severe health states; whereas its sum with the interaction term provides an estimate of the difference between valuation scores of severe health states by the specific CDP group and the NCDP group after taking the health state descriptors and participants’ background characteristics into account. Perfect health state, ‘unconscious’ state and ‘dead’ state were excluded from Models I and II. The perfect health state was assigned a valuation score of 100 for each participant. Since each of the participants valued 6 health states, we used the Eicker-Huber-White robust standard error for cluster data for statistical inference [21]. We compared the valuation of the ‘all-worst’ and ‘unconscious’ health states with the valuation of ‘dead’ state by each of the CDP groups and the NCDP group. The mean valuation scores of the ‘all-worst’ state and ‘unconscious’ state were compared with the ‘dead’ state using a paired t-test. All the analyses were carried out using Stata/MP 10.1 for Windows. A minimally important difference of 4 to 8 points on the 100-point VAS was considered to be of practical significance [22-24]. The analysis included participants with diabetes, high blood pressure/hypertension, heart diseases, asthma/lung diseases, rheumatism/back pain/other bone-muscle illness, or no chronic disease. The number of participants with other chronic diseases was small (<10) and these participants were not included in the analyses described in this manuscript. Participants who met the following criteria were excluded from our analysis: a) valued less than 3 health states, b) did not value ‘dead’ or ‘all-worst’ state, c) valued ‘dead’ or ‘all-worst’ or ‘unconscious’ state higher than all of the other states, d) gave the same valuation score to all the health states, e) self-reported or rated by the interviewers as having a poor understanding of the health states description or valuation tasks. The valuation score used in the analyses was ‘raw’ VAS valuation score, which ranged from 0 (worst possible score) to 100 (best possible score). There is no consensus among researchers or regulatory bodies regarding the optimal method of transforming the valuation scores into utility [19]. We performed a separate analysis to compare the valuations by participants in each of the CDP groups with those of the NCDP group. Each analysis included two ordinary least-square regression models. Model I was used for the comparison of overall difference in valuation scores (including all the health states) between each CDP group and the NCDP group. Model II was used for the comparison of the differences in valuation scores of non-severe health states and severe health states by including an interaction term between the indicator variable for severe health state (versus non-severe health state) and the indicator variable for the specific CDP group (versus the NCDP group). We considered health states with at least one dimension at level 3 as “severe” health states, and the remaining states as “non-severe”. Model I was performed for the valuation score with an indicator variable representing a specific CDP group, the members of which might have co-morbid conditions, versus the NCDP group as the independent variable. The model adjusted for indicator variables that represented the level of severity in each dimension of the health states. That is, including 2 indicator variables for each of the 5 dimensions of EQ-5D-3L. Furthermore, we included an indicator variable (commonly called ‘N3’ in the cost-utility analysis literature) to take into account additional disutilities when a severe problem (level 3) was reported on at least one dimension [20]. Finally, the comparison adjusted for ethnicity, gender, age, marital status, education level, religion and house type because the CDP group being analyzed and NCDP group might differ in these background characteristics. Model II further included an interaction term between the CDP group indicator and the N3 in Model I. In this model, the coefficient of the CDP group provides an estimate of the difference between valuation scores of non-severe health states; whereas its sum with the interaction term provides an estimate of the difference between valuation scores of severe health states by the specific CDP group and the NCDP group after taking the health state descriptors and participants’ background characteristics into account. Perfect health state, ‘unconscious’ state and ‘dead’ state were excluded from Models I and II. The perfect health state was assigned a valuation score of 100 for each participant. Since each of the participants valued 6 health states, we used the Eicker-Huber-White robust standard error for cluster data for statistical inference [21]. We compared the valuation of the ‘all-worst’ and ‘unconscious’ health states with the valuation of ‘dead’ state by each of the CDP groups and the NCDP group. The mean valuation scores of the ‘all-worst’ state and ‘unconscious’ state were compared with the ‘dead’ state using a paired t-test. All the analyses were carried out using Stata/MP 10.1 for Windows. A minimally important difference of 4 to 8 points on the 100-point VAS was considered to be of practical significance [22-24]. Valuation survey procedures: In 2009, the EQ-5D-3L—using the visual analogue scale (VAS) method—was used to conduct a cross-sectional, face-to-face survey of health state valuation in a representative sample of 1034 participants from the general population of Singapore. Singapore is a multi-ethnic city state with a rapidly increasing aging population. Its population is 75% Chinese, 13% Malay, 9% Indian (mostly Tamil speaking) and 3% others [17]. A multi-stage sampling approach was used to randomly select residential blocks, within which households were selected. We interviewed potential participants (one per household) who satisfied the pre-set recruitment quotas for ethnicity (400 Chinese, 400 Malay, and 234 Indians), gender (50% Female) and age (30% of 21–34 years, 40% of 35–49 years, and 30% of 50+ years). Within each ethnicity, there was a quota that half of the participants would use English for the interview and the remaining half would use their native language (i.e., Mandarin for Chinese, Malay for Malays and Tamil for Indians). The EQ-5D-3L consists of 5 dimensions (mobility, self-care, usual activities, pain/discomfort, and anxiety/depression) with 3 response levels for each dimension (1: no problems, 2: some problems, and 3: extreme problems). This instrument thus describes 243 health states. Each health state is represented by one response level from each of the 5 dimensions. For example, 11112 describes a health state with no problems on the first 4 dimensions and some problem related to anxiety/depression. A subset of 42 EQ-5D-3L states was selected based on the protocol of Dolan [18]. Immediate death and the most severe state (‘33333’) were labeled as ‘dead’ and ‘all-worst’, respectively. Each participant was asked to compare between ‘dying now’ and ‘living for the rest of his/her life in all-worst’, from which the less desirable state was assigned a value 0 on the VAS. Each participant was then asked to value a unique set of 6 states from the subset of EQ-5D-3L states and either ‘dead’ or the ‘all-worst’ state, whichever one was not valued earlier at 0. The unique set of 6 health states that was assigned to each participant included states that were spread widely over the valuation space. A 100-point “feeling thermometer” with endpoints of 100 (most desirable, i.e., perfect health) and 0 (least desirable) was used as a VAS. For the six assigned states, participants were required to indicate where they would rate each of the states on the “feeling thermometer” by imagining themselves in that state for the rest of their life without changing. The participants were allowed to value more than one health state at the same level of VAS. In addition to the six assigned states, ‘unconscious’ state was also valued. Participants were also asked to report their chronic diseases. The list of chronic diseases included diabetes, high blood pressure (hypertension), heart diseases, stroke, asthma or other lung diseases, cancer, rheumatism/back pain or other bone or muscle illness, mental illness (e.g., depression, anxiety neurosis, schizophrenia) and other illness (e.g., kidney problems or dialysis). This study was approved by the SingHealth Centralized Institutional Review Board. Analyses: The analysis included participants with diabetes, high blood pressure/hypertension, heart diseases, asthma/lung diseases, rheumatism/back pain/other bone-muscle illness, or no chronic disease. The number of participants with other chronic diseases was small (<10) and these participants were not included in the analyses described in this manuscript. Participants who met the following criteria were excluded from our analysis: a) valued less than 3 health states, b) did not value ‘dead’ or ‘all-worst’ state, c) valued ‘dead’ or ‘all-worst’ or ‘unconscious’ state higher than all of the other states, d) gave the same valuation score to all the health states, e) self-reported or rated by the interviewers as having a poor understanding of the health states description or valuation tasks. The valuation score used in the analyses was ‘raw’ VAS valuation score, which ranged from 0 (worst possible score) to 100 (best possible score). There is no consensus among researchers or regulatory bodies regarding the optimal method of transforming the valuation scores into utility [19]. We performed a separate analysis to compare the valuations by participants in each of the CDP groups with those of the NCDP group. Each analysis included two ordinary least-square regression models. Model I was used for the comparison of overall difference in valuation scores (including all the health states) between each CDP group and the NCDP group. Model II was used for the comparison of the differences in valuation scores of non-severe health states and severe health states by including an interaction term between the indicator variable for severe health state (versus non-severe health state) and the indicator variable for the specific CDP group (versus the NCDP group). We considered health states with at least one dimension at level 3 as “severe” health states, and the remaining states as “non-severe”. Model I was performed for the valuation score with an indicator variable representing a specific CDP group, the members of which might have co-morbid conditions, versus the NCDP group as the independent variable. The model adjusted for indicator variables that represented the level of severity in each dimension of the health states. That is, including 2 indicator variables for each of the 5 dimensions of EQ-5D-3L. Furthermore, we included an indicator variable (commonly called ‘N3’ in the cost-utility analysis literature) to take into account additional disutilities when a severe problem (level 3) was reported on at least one dimension [20]. Finally, the comparison adjusted for ethnicity, gender, age, marital status, education level, religion and house type because the CDP group being analyzed and NCDP group might differ in these background characteristics. Model II further included an interaction term between the CDP group indicator and the N3 in Model I. In this model, the coefficient of the CDP group provides an estimate of the difference between valuation scores of non-severe health states; whereas its sum with the interaction term provides an estimate of the difference between valuation scores of severe health states by the specific CDP group and the NCDP group after taking the health state descriptors and participants’ background characteristics into account. Perfect health state, ‘unconscious’ state and ‘dead’ state were excluded from Models I and II. The perfect health state was assigned a valuation score of 100 for each participant. Since each of the participants valued 6 health states, we used the Eicker-Huber-White robust standard error for cluster data for statistical inference [21]. We compared the valuation of the ‘all-worst’ and ‘unconscious’ health states with the valuation of ‘dead’ state by each of the CDP groups and the NCDP group. The mean valuation scores of the ‘all-worst’ state and ‘unconscious’ state were compared with the ‘dead’ state using a paired t-test. All the analyses were carried out using Stata/MP 10.1 for Windows. A minimally important difference of 4 to 8 points on the 100-point VAS was considered to be of practical significance [22-24]. Results: All 1034 participants provided demographic and health characteristic information. Nine participants had chronic diseases other than diabetes, high blood pressure/hypertension, heart disease, asthma/lung disease or rheumatism/back pain/other bone-muscle illness. Thirty-four participants valued ‘dead’ state higher than all the other states, 3 participants valued ‘unconscious’ state higher than all the other states, 1 participant did not value the ‘all-worst’ state and 4 participants were observed to have a poor understanding of valuation tasks. Hence, a total of 51 participants were excluded from the analysis. Table 1 shows the demographic and health characteristics of the 983 participants that were included in the analysis. The percentage of participants who had good-to-excellent self-reported general health varied between 68% and 75% among the CDP groups (Diabetes: 70/102, Rheumatism: 122/162, Hypertension: 107/145, Heart diseases: 29/44, Lung diseases: 30/44) as compared to 95% among NCDP group (621/651). Participants in the CDP groups were older, had lower education level and lower self-reported general health compared to participants in the NCDP group.Table 1 Demographic and health characteristics of the study participants Characteristics All participants (N = 983) No chronic disease group (N = 651) Diabetes (N = 102) Rheumatism (N = 162) Hypertension (N = 145) Heart diseases (N = 44) Lung diseases (N = 44) n (%) n (%) n (%) P-value* n (%) P-value* n (%) P-value* n (%) P-value* n (%) P-value* Female493 (50.2)329 (50.5)47 (46.1)0.40492 (56.8)0.07169 (47.6)0.5309 (20.5)<0.00129 (65.9)0.044Age (years)<0.001<0.001<0.001<0.0010.048  21-29190 (19.3)168 (25.8)0 (0.0)7 (4.3)2 (1.4)0 (0.0)14 (31.8)  30-39218 (22.2)178 (27.3)6 (5.9)21 (13.0)7 (4.8)1 (2.3)9 (20.5)  40-49261 (26.6)181 (27.8)22 (21.6)43 (26.5)24 (16.6)7 (15.9)5 (11.4)  50-59192 (19.5)91 (14.0)41 (40.2)40 (24.7)57 (39.3)18 (40.9)8 (18.2)  60+122 (12.4)33 (5.1)33 (32.4)51 (31.5)55 (37.9)18 (40.9)8 (18.2)Ethnicity0.0010.0240.9140.0010.287  Chinese363 (36.9)234 (35.9)26 (25.5)67 (41.4)56 (38.6)9 (20.5)16 (36.4)  Malay395 (40.2)284 (43.6)37 (36.3)50 (30.9)57 (39.3)14 (31.8)14 (31.8)  Indian225 (22.9)133 (20.4)39 (38.2)45 (27.8)32 (22.1)21 (47.7)14 (31.8)Education level<0.001<0.001<0.001<0.0010.352  Primary (6 years) or less187 (19.0)74 (11.4)48 (47.1)60 (37.0)58 (40.0)22 (50.0)12 (27.3)  Secondary (11 years)555 (56.5)387 (59.5)44 (43.1)79 (48.8)77 (53.1)18 (40.9)22 (50.0)  Diploma/degree or higher241 (24.5)190 (29.2)10 (9.8)23 (14.2)10 (6.9)4 (9.1)10 (22.7)Married/living with partner739 (75.2)481 (73.9)84 (82.4)0.090128 (79.0)0.233120 (82.8)0.02238 (86.4)0.10623 (52.3)0.001Religion0.0510.0940.7960.0170.894  Buddhism/Taoism224 (22.8)139 (21.4)19 (18.6)43 (26.5)37 (25.5)4 (9.1)12 (27.3)  Islam410 (41.7)289 (44.4)41 (40.2)53 (32.7)63 (43.5)17 (38.6)16 (36.4)  Hinduism/Sikhism192 (19.5)117 (18.0)31 (30.4)40 (24.7)24 (16.6)17 (38.6)10 (22.7)  Christianity80 (8.1)54 (8.3)7 (6.9)14 (8.6)10 (6.9)3 (6.8)3 (6.8)  No religion77 (7.8)52 (8.0)4 (3.9)12 (7.4)11 (7.6)3 (6.8)3 (6.8)House type0.3770.1750.7860.2040.533  Government owned: 4 rooms or smaller668 (68.0)449 (69.0)71 (69.6)106 (65.4)96 (66.2)25 (56.8)27 (61.4)  Government owned: 5 rooms or bigger292 (29.7)191 (29.3)27 (26.5)49 (30.3)45 (31.0)18 (40.9)16 (36.4)  Private23 (2.3)11 (1.7)4 (3.9)7 (4.3)4 (2.8)1 (2.3)1 (2.3)General health status<0.001<0.001<0.001<0.001<0.001  Excellent97 (9.9)85 (13.1)3 (2.9)5 (3.1)2 (1.4)2 (4.6)2 (4.6)  Very good376 (38.3)302 (46.4)19 (18.6)24 (14.8)31 (21.4)6 (13.6)9 (20.5)  Good409 (41.6)234 (35.9)48 (47.1)93 (57.4)74 (51.0)21 (47.7)19 (43.2)  Fair93 (9.5)30 (4.6)27 (26.5)36 (22.2)32 (22.1)13 (29.6)11 (25.0)  Poor8 (0.8)0 (0.0)5 (4.9)4 (2.5)6 (4.1)2 (4.6)3 (6.8)*Comparison with the no chronic disease group using Fisher’s exact test. Demographic and health characteristics of the study participants *Comparison with the no chronic disease group using Fisher’s exact test. Table 2 summarizes the comparison of health state valuation scores between the CDP groups and the NCDP group. Mean observed differences between the CDP groups and the NCDP group regarding the valuation score of all the 42 EQ-5D health states, non-severe health states and severe health states ranged from −3.3 to 0.5, −3.7 to −1.0 and −2.8 to 2.1, respectively. After taking health state descriptors and covariates into account in the regression analysis, the mean differences between the CDP groups and the NCDP group regarding valuation scores of all the health states ranged from −2.5 to 1.6 (each p-value >0.05), except for the heart disease group. The adjusted mean valuation score of all the health states for the heart disease group was 4.6 points higher (95% CI: 0.4 to 8.9; p-value = 0.032) than that of the NCDP group. Similarly, after taking health state descriptors and covariates into account, the mean differences between the CDP group and the NCDP group regarding severe health state valuation scores ranged from −2.4 to 1.8 (each p-value >0.05), except for the heart disease group. The adjusted mean valuation score of severe states for the heart disease group was 5.4 points higher (95% CI: 0.7 to 10.1; p-value = 0.025) than that of the NCDP group. After taking health state descriptors and covariates into account, there was no practically significant difference in the mean valuation scores of non-severe health states between any CDP group and the NCDP group. The changes in the mean differences after the adjustment for the covariates could be due to differences in the distribution of demographic characteristics between the CDP and NCDP groups (please see Table 1). For example, the NCDP group had more participants married/living with partners, which was associated with higher value, compared with unmarried participants in multivariable analysis. After statistical adjustment, the difference between NCDP and lung disease groups would become smaller. Similarly, the NCDP group had differences in multiple demographic characteristics, such as more female participants, fewer Indian participants, and more participants following Buddhism/Taoism, which were associated with higher value, compared to the heart disease group. Thus, after statistical adjustment, the heart disease group had higher valuation score compared to the NCDP group. Other demographic characteristics did not have much influence on the valuation score (Details not shown).Table 2 Comparison of valuation of health states between the chronic disease groups and the no chronic disease group taking into account health state descriptors and covariates Health States Diabetes (n = 102) Rheumatism (n = 162) Hypertension (n = 145) Heart diseases (n = 44) Lung diseases (n = 44) No chronic disease (n = 651) All health states1   Mean (SD)43.6 (30.0)43.4 (30.6)44.4 (30.0)43.1 (28.7)40.6 (29.5)43.9 (30.6)  Mean difference (95% CI)2,3 1.6 (−1.2, 4.3)0.4 (−2.0, 2.8)0.7 (−1.7, 3.1)4.6 (0.4, 8.9)*−2.5 (−6.2, 1.2)-Non-severe health states1,4   Mean (SD)71.6 (18.8)71.3 (20.0)71.2 (19.7)69.8 (16.8)69.0 (22.1)72.7 (19.3)  Mean difference (95% CI)2,3 1.0 (−2.5, 4.6)−0.3 (−3.4, 2.9)−1.0 (−4.3, 2.3)2.6 (−2.4, 7.6)−2.6 (−9.0, 3.8)-Severe health states1,4   Mean (SD)31.4 (25.4)31.9 (26.6)33.6 (26.5)33.7 (26.0)28.7 (23.6)31.5 (25.8)  Mean difference (95% CI)2,3 1.8 (−1.2, 4.7)0.7 (−1.9, 3.3)1.3 (−1.2, 3.9)5.4 (0.7, 10.1)*−2.4 (−6.1, 1.2)- 1The study included 42 EQ-5D-3L health states, not including perfect health, unconscious and dead states. The perfect health state of EQ-5D-3L was assigned default value of 100 points on the visual analogue scale. 2Difference: mean scores of participants with chronic diseases minus mean scores of participants with no chronic disease. 3Using ordinary least square regression model adjusted for health state descriptors, disutility due to severe problems, ethnicity, gender, age, marital status, education level, religion and house type (see Methods section). 4EQ-5D-3L health states with at least one domain at severity level 3 are considered as ‘severe’ health states. Remaining health states are considered as ‘non-severe’ health states.*P-value <0.05. Comparison of valuation of health states between the chronic disease groups and the no chronic disease group taking into account health state descriptors and covariates 1The study included 42 EQ-5D-3L health states, not including perfect health, unconscious and dead states. The perfect health state of EQ-5D-3L was assigned default value of 100 points on the visual analogue scale. 2Difference: mean scores of participants with chronic diseases minus mean scores of participants with no chronic disease. 3Using ordinary least square regression model adjusted for health state descriptors, disutility due to severe problems, ethnicity, gender, age, marital status, education level, religion and house type (see Methods section). 4EQ-5D-3L health states with at least one domain at severity level 3 are considered as ‘severe’ health states. Remaining health states are considered as ‘non-severe’ health states. *P-value <0.05. Table 3 summarizes the comparison of valuation scores for the ‘all-worst’ state with those of the ‘dead’ state by disease group. Except for the heart disease group, the mean difference in valuation scores of ‘all-worst’ state and ‘dead’ state by the CDP groups and the NCDP group were within the range of −8.4 points (95% CI: −11.8 to −4.9; p-value < 0.001) to −5.3 points (95% CI: −8.8 to −1.8; p-value = 0.003). For the heart disease group, this difference was −2.3 points (95% CI: −7.3 to 2.8; p-value = 0.370).Table 3 Comparison of valuation scores between the ‘all-worst’ state and the ‘dead’ state by disease group Valuation Scores Diabetes (n = 102) Rheumatism (n = 162) Hypertension (n = 145) Heart diseases (n = 44) Lung diseases (n = 44) No chronic disease (n = 651) All-worst#   Mean (SD)3.3 (8.4)2.1 (6.0)3.1 (8.6)4.8 (9.9)1.7 (5.2)3.1 (8.3)Dead  Mean (SD)8.6 (13.3)10.3 (15.9)11.4 (17.1)7.1 (10.4)8.5 (10.9)9.4 (14.1)All-worst - Dead  Mean difference (95% CI)−5.3 (−8.8, −1.8)*−8.1 (−11.0, −5.3)*−8.4 (−11.8, −4.9)*−2.3 (−7.3, 2.8)−6.8 (−10.8, −2.7)*−6.3 (−7.6, −4.9)* #EQ-5L-3L health state with all its domains at severity level 3 is labelled as ‘all-worst’ health state.*P-value < 0.05. Comparison of valuation scores between the ‘all-worst’ state and the ‘dead’ state by disease group #EQ-5L-3L health state with all its domains at severity level 3 is labelled as ‘all-worst’ health state. *P-value < 0.05. Table 4 summarizes the comparison of valuation scores for ‘unconscious’ state with those of the ‘dead’ state by disease group. Except for the heart disease group, the mean difference in valuation scores of ‘unconscious’ state and ‘dead’ state by the CDP groups and the NCDP group were within the range of −0.1 points (95% CI: −3.0 to 2.7; p-value = 0.922) to 3.0 points (95%CI: −0.1 to 6.0; p-value = 0.057). For the heart disease group, this difference was 4.2 points (95% CI: 0.4 to 8.0; p-value = 0.030).Table 4 Comparison of valuation scores between the ‘unconscious’ state and the ‘dead’ state by disease group Valuation Scores Diabetes (n = 102) Rheumatism (n = 167) Hypertension (n = 147) Heart diseases (n = 46) Lung diseases (n = 44) No chronic disease (n = 667) Unconscious  Mean (SD)11.6 (11.1)10.1 (12.3)12.0 (13.0)11.3 (11.7)10.6 (9.6)11.8 (12.6)Dead  Mean (SD)8.6 (13.3)10.3 (15.9)11.4 (17.1)7.1 (10.4)8.5 (10.9)9.4 (14.1)Unconscious - Dead  Mean difference (95% CI)3.0 (−0.1, 6.0)−0.1 (−3.0, 2.7)0.6 (−2.6, 3.8)4.2 (0.4, 8.0)*2.1 (−1.4, 5.7)2.4 (1.2, 3.6)**P-value < 0.05. Comparison of valuation scores between the ‘unconscious’ state and the ‘dead’ state by disease group *P-value < 0.05. Discussion: We examined the potential effect of experience with chronic disease on the valuation of EQ-5D-3L health states using the VAS method in a multicultural Asian population. Valuation by participants with five different types of chronic disease (diabetes, rheumatism, hypertension, heart disease and lung disease) was compared with valuation by participants with no chronic disease. The heart disease group valued the health states 5 points higher than did the NCDP group (p-value = 0.032), which is mainly attributed to the heart participants’ valuation of the severe health states. This difference was statistically significant and larger than the minimal important difference of 4 points for the EQ-5D-3L valuation score, which indicates that the result is practically meaningful. The mean differences between the valuation by other CDP groups (diabetes, rheumatism, hypertension and lung diseases) and the NCDP group were all smaller than the minimal important difference. The ‘all-worst’ state (the most severe state of EQ-5D with all dimensions at extreme severity) was valued worse than the ‘dead’ state by the majority of participants across the different types of chronic diseases and the NCDP group. Except for the heart disease group, all CDP groups and the NCDP group valued the ‘all worst’ state statistically and practically significantly lower than the ‘dead’ state. The heart disease group’s valuation of the ‘all-worst’ state was not statistically and practically significantly different from their valuation of the ‘dead’ state (difference = −2.3, p-value = 0.370). We also found that the mean valuation score of the ‘unconscious’ state was likely to be equivalent to the ‘dead’ state by the NCDP group and all of the CDP groups except for the heart disease group. The difference in the mean valuation score of the ‘unconscious’ state and the ‘dead’ state by heart disease group was statistically significant and higher than the minimal important difference (difference = 4.2, p-value = 0.030), whereas the difference was statistically non-significant and less than 4 (minimal important difference) for the diabetes, rheumatism, hypertension, asthma/lung disease groups and the NCDP group. A possible reason for heart disease patients giving higher valuation scores could be that a higher proportion of heart disease patients might have experienced one or more severe heath states, and this might have changed their perception regarding these health states. This might not be the case with other CDP groups and the NCDP group. On the other hand, the majority of CDP groups and the NCDP group might have experienced the non-severe health states, thus leading to their similar valuation of non-severe health states. Wang et al. [5] in Singapore found that after adjusting for health state descriptors and demographic characteristics, there was no meaningful difference in the valuation of severe health states by diabetes patients and a population without diabetes. However, the study reported that diabetes patients valued the non-severe health states 13 points higher than did the no-diabetes population. Our findings do not fully support their results. It should be noted that Wang et al. included only 3 non-severe health states; hence their findings have limited applicability. On the other hand, we used 14 non-severe health states, which represent more generalized findings. Our study findings are consistent with those of Pickard et al. [8]. Using the time trade-off method, Pickard et al. found no meaningful difference in valuation scores between CDP (arthritis, diabetes, depression, hay fever, cancer) and NCDP, except for heart failure patients [8]. Pickard et al. found that after adjusting for covariates, patients with heart failure only, and patients with heart failure and at least one other chronic disease, gave valuation scores higher by 25 points (n = 6, p-value = 0.222) and 7 points (n = 129, p-value = 0.049), respectively, compared to NCDP. A possible explanation for no practical differences in the mean valuation score between individuals with chronic diseases and individuals without any chronic diseases might be because in this exercise, individuals with and without chronic diseases are valuing many hypothetical health states that are unlikely to reflect the actual health state(s) that one has experienced. As such, it is probably not surprising that generally speaking, individuals with chronic disease might value them similarly to individuals with no chronic disease. This study has several potential limitations. First, the chronic disease conditions were self-reported by the participants. We did not collect any further information to confirm the disease, the severity of the disease or the time spent with the disease. Hence, there could be a chance of misclassification regarding reported diseases. A Finnish study showed that the sensitivity and specificity of self-reported chronic diseases (diabetes, hypertension, coronary heart disease, asthma and rheumatoid arthritis) could range from 78% to 96% and 96% to 99%, respectively [25]. This indicates a relatively large possibility that patients with chronic diseases could be misclassified into the NCDP group, but a small possibility that those with no chronic disease could be misclassified into a chronic disease group. This should mean that the difference between CDP and NCDP might be under-estimated but not over-estimated. Furthermore, this is a secondary analysis of existing data. The limited information related to disease conditions does not allow us to investigate any concrete reasons for the differences or lack of differences between the CDP and NCDP. Second, although our study had a sizable CDP group, nearly 80% of the CDP group self-reported their health status as good to excellent. Hence, our study findings may not be generalized to patients at a severe or unstable stage of chronic disease. Third, our study included only five chronic diseases (with a relatively small number of participants) and only one life-threatening chronic disease (heart diseases). Thus, our study findings may not be assumed to generalize to other life-threatening chronic diseases. Fourth, we performed separate statistical tests for comparing valuation by each CDP group with valuation by the NCDP group without multiplicity adjustment. Furthermore, the sample size was not powered for this analysis. Thus, the statistically significant findings might be due to inflated Type I error and therefore require further confirmation. Nevertheless, our findings are based on a random sample of a chronic disease population from the Asian general population. It also included many health states with a wide range of severity. It also has potential to generalize the findings for non-life-threatening chronic disease patients. We encourage conducting a larger study that includes a greater variety of life-threatening chronic disease patients, as well as varying severity levels and the verification of disease conditions and severity. Conclusions: Our study findings suggest that heart disease patients value severe EQ-5D-3L health states differently than individuals who have no experience with chronic disease when analyzed using the VAS method in a Singaporean population. However, the experience of chronic diseases other than heart disease does not necessarily result in a higher or lower valuation across all the health states of EQ-5D-3L.
Background: There is conflicting evidence as to whether patients with chronic disease value hypothetical health states differently from individuals who have not experienced any long-lasting diseases. Furthermore, most studies regarding this issue have been conducted in western countries, with only one conducted in Asia. We aimed to evaluate possible systematic differences in the valuation of EuroQol Group five dimensions 3-level (EQ-5D-3L) health states by chronic disease patients and a population with no chronic disease in Singapore. Methods: A face-to-face survey for the valuation of the 42 health states of the EQ-5D-3L using the visual analogue scale (VAS) method was conducted in Singapore. The survey also asked participants to report any chronic diseases they had. Ordinary least-square regression models were employed to assess possible differences in the valuation scores of all health states, severe health states and non-severe health states by individual chronic disease patient groups (diabetes, rheumatism, hypertension, heart diseases and lung diseases) and by a group of participants with no chronic disease. A difference of 4 to 8 points on the 100-point VAS was considered to be of practical significance. Results: The analysis included 332 participants with at least one chronic disease and 651 participants with no chronic disease. After taking health state descriptors and covariates into account, mean valuation scores of the 42 health states by the heart disease group were higher by 4.6 points (p-value = 0.032) compared to the no chronic disease group. Specifically, the heart disease group valued severe health states 5.4 points higher (p-value = 0.025) than the no chronic disease group. There was no practically significant difference in the mean valuation score of non-severe health states between the heart disease group and the no chronic disease group. No practically significant differences were found in the mean valuation score of all health states, severe health states and non-severe health states between any other chronic disease group and the no chronic disease group. Conclusions: In Singapore, heart disease patients valued EQ-5D-3L severe health states differently from individuals with no chronic disease. Other chronic disease groups did not value EQ-5D-3L health states differently from the no chronic disease group.
Background: There is conflicting evidence as to whether patients with chronic disease value their own health states differently from individuals who have not experienced any such diseases [1,2]. Similar conflicting results have been reported for how patients with chronic disease and individuals with no such disease experience value hypothetical health states [1,2]. The difference in valuation of health states between the patients and individuals with no disease experience may arise because the patients might have adapted to their condition or because individuals with no disease experience overestimate the impact of disease or disability on quality of life [3]. Most studies that have evaluated differences in valuations by these two groups have been conducted in western countries; only one study has reported on an Asian population [1,4]. This is important as there is evidence of meaningful differences between populations of different countries regarding the valuation of health states [5,6]. In addition, most of the studies that have compared the valuation by chronic disease patients and that of by a no chronic disease population have compared the valuation of only selected disease-related health states, without covering a range of mild to severe states. Only a few studies have investigated the potential systemic difference between valuation by specific chronic disease patients and individuals with no experience of chronic disease regarding health states with a wide range of severity [7,8]. Differences in valuation between chronic disease patients and individual with no chronic disease may affect the outcomes of analyses of healthcare interventions. Cost-utility analysis (CUA) is a cost-effectiveness analysis in which the effect of health-care interventions is measured in terms of quality-adjusted life-years (QALYs) gained. QALYs are estimated as the time spent in a health state (quantity of life) multiplied by its utility (quality of life). QALYs are also an important outcome for monitoring health status in individual patients, measuring population health and measuring the impact of health-care intervention in clinical studies [9]. The question of whose utility (general-population-derived or patient-derived) should be used in clinical decision making and economic evaluations of health-care interventions has been debated in the literature [10,11]. The answer depends on the purpose for which the utility is used and context in which it is used. A general population-derived utility is desirable when the utility is needed to inform decisions that allocate societal resources, while a patient-derived utility may be more appropriate when making treatment decisions guided by patient preferences. The Panel on Cost-Effectiveness in Health and Medicine in the United States and the National Institute for Health and Care Excellence in England and Wales recommend that a general-population-derived utility for health states be used for cost-effectiveness analyses [12,13]. However, the latest systematic review revealed that less than one-third of published CUAs use a general-population-derived utility; the remainder used a patient-derived utility, a clinician- or expert-derived utility, or authors’ judgments [14]. Many investigators use a patient-derived utility because they believe that patients who have experienced the disease conditions can appraise their conditions more accurately than individuals who have not experienced such conditions [15]. On the other hand, CUAs using a general population-derived utility can help broader system-level decision making to prioritize health care funding in order to maximize the benefit for patients with different medical conditions- considering patients’ as well as non-patients’ perspectives [11]. This is a recommended approach when the health care is funded by the public/tax payers. However, if the health care costs are mostly paid by patients themselves, patient-derived utility should be considered. In Singapore, more than 60% of the health care costs are borne by patients [16]; and therefore patient-derived utility is relevant. Utilities of health states from generic quality of life instruments, such as the EuroQoL Group five dimensions (EQ-5D) or Short Form six dimension (SF-6D), are preferred over health states from disease-specific quality of life instrument for CUAs. Utilities of generic health states allow comparisons of the effects on quality of life of different health-care interventions in different diseases. Currently, the EQ-5D is the most commonly used generic instrument for CUAs [14]. The present study draws on data from a valuation study of EQ-5D 3-level (EQ-5D-3L) health states in the Singapore general population which involves self-reporting of chronic diseases. We aimed to explore whether there are systematic differences in values for health states elicited by specific chronic disease patients (CDP) and by the no chronic disease population (NCDP). We also explored how the most severe health state and unconscious state were valued in relation to dead state by specific CDP and NCDP. Conclusions: Our study findings suggest that heart disease patients value severe EQ-5D-3L health states differently than individuals who have no experience with chronic disease when analyzed using the VAS method in a Singaporean population. However, the experience of chronic diseases other than heart disease does not necessarily result in a higher or lower valuation across all the health states of EQ-5D-3L.
Background: There is conflicting evidence as to whether patients with chronic disease value hypothetical health states differently from individuals who have not experienced any long-lasting diseases. Furthermore, most studies regarding this issue have been conducted in western countries, with only one conducted in Asia. We aimed to evaluate possible systematic differences in the valuation of EuroQol Group five dimensions 3-level (EQ-5D-3L) health states by chronic disease patients and a population with no chronic disease in Singapore. Methods: A face-to-face survey for the valuation of the 42 health states of the EQ-5D-3L using the visual analogue scale (VAS) method was conducted in Singapore. The survey also asked participants to report any chronic diseases they had. Ordinary least-square regression models were employed to assess possible differences in the valuation scores of all health states, severe health states and non-severe health states by individual chronic disease patient groups (diabetes, rheumatism, hypertension, heart diseases and lung diseases) and by a group of participants with no chronic disease. A difference of 4 to 8 points on the 100-point VAS was considered to be of practical significance. Results: The analysis included 332 participants with at least one chronic disease and 651 participants with no chronic disease. After taking health state descriptors and covariates into account, mean valuation scores of the 42 health states by the heart disease group were higher by 4.6 points (p-value = 0.032) compared to the no chronic disease group. Specifically, the heart disease group valued severe health states 5.4 points higher (p-value = 0.025) than the no chronic disease group. There was no practically significant difference in the mean valuation score of non-severe health states between the heart disease group and the no chronic disease group. No practically significant differences were found in the mean valuation score of all health states, severe health states and non-severe health states between any other chronic disease group and the no chronic disease group. Conclusions: In Singapore, heart disease patients valued EQ-5D-3L severe health states differently from individuals with no chronic disease. Other chronic disease groups did not value EQ-5D-3L health states differently from the no chronic disease group.
9,300
424
[ 664, 801 ]
7
[ "health", "states", "state", "group", "valuation", "health states", "disease", "participants", "chronic", "severe" ]
[ "countries valuation health", "health states valuation", "difference valuation health", "chronic disease value", "chronic diseases valuing" ]
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[CONTENT] Chronic disease | EQ-5D | Utility | Valuation [SUMMARY]
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[CONTENT] Chronic disease | EQ-5D | Utility | Valuation [SUMMARY]
[CONTENT] Chronic disease | EQ-5D | Utility | Valuation [SUMMARY]
[CONTENT] Chronic disease | EQ-5D | Utility | Valuation [SUMMARY]
[CONTENT] Chronic disease | EQ-5D | Utility | Valuation [SUMMARY]
[CONTENT] Adult | Chronic Disease | Cross-Sectional Studies | Female | Health Status Indicators | Humans | Male | Middle Aged | Models, Theoretical | Quality of Life | Singapore | Surveys and Questionnaires | Visual Analog Scale [SUMMARY]
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[CONTENT] Adult | Chronic Disease | Cross-Sectional Studies | Female | Health Status Indicators | Humans | Male | Middle Aged | Models, Theoretical | Quality of Life | Singapore | Surveys and Questionnaires | Visual Analog Scale [SUMMARY]
[CONTENT] Adult | Chronic Disease | Cross-Sectional Studies | Female | Health Status Indicators | Humans | Male | Middle Aged | Models, Theoretical | Quality of Life | Singapore | Surveys and Questionnaires | Visual Analog Scale [SUMMARY]
[CONTENT] Adult | Chronic Disease | Cross-Sectional Studies | Female | Health Status Indicators | Humans | Male | Middle Aged | Models, Theoretical | Quality of Life | Singapore | Surveys and Questionnaires | Visual Analog Scale [SUMMARY]
[CONTENT] Adult | Chronic Disease | Cross-Sectional Studies | Female | Health Status Indicators | Humans | Male | Middle Aged | Models, Theoretical | Quality of Life | Singapore | Surveys and Questionnaires | Visual Analog Scale [SUMMARY]
[CONTENT] countries valuation health | health states valuation | difference valuation health | chronic disease value | chronic diseases valuing [SUMMARY]
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[CONTENT] countries valuation health | health states valuation | difference valuation health | chronic disease value | chronic diseases valuing [SUMMARY]
[CONTENT] countries valuation health | health states valuation | difference valuation health | chronic disease value | chronic diseases valuing [SUMMARY]
[CONTENT] countries valuation health | health states valuation | difference valuation health | chronic disease value | chronic diseases valuing [SUMMARY]
[CONTENT] countries valuation health | health states valuation | difference valuation health | chronic disease value | chronic diseases valuing [SUMMARY]
[CONTENT] health | states | state | group | valuation | health states | disease | participants | chronic | severe [SUMMARY]
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[CONTENT] health | states | state | group | valuation | health states | disease | participants | chronic | severe [SUMMARY]
[CONTENT] health | states | state | group | valuation | health states | disease | participants | chronic | severe [SUMMARY]
[CONTENT] health | states | state | group | valuation | health states | disease | participants | chronic | severe [SUMMARY]
[CONTENT] health | states | state | group | valuation | health states | disease | participants | chronic | severe [SUMMARY]
[CONTENT] derived | health | utility | patients | derived utility | health care | disease | patient | care | quality [SUMMARY]
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[CONTENT] group | health | disease group | state | mean | disease | 95 | 11 | 95 ci | ci [SUMMARY]
[CONTENT] disease | experience chronic | heart disease | experience | necessarily result | states eq 5d | states eq | chronic disease analyzed vas | health states eq | health states eq 5d [SUMMARY]
[CONTENT] health | states | state | group | disease | health states | valuation | participants | chronic | patients [SUMMARY]
[CONTENT] health | states | state | group | disease | health states | valuation | participants | chronic | patients [SUMMARY]
[CONTENT] ||| only one | Asia ||| EuroQol Group | five | 3 | Singapore [SUMMARY]
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[CONTENT] 332 | at least one | 651 ||| 42 | 4.6 | 0.032 ||| 5.4 | 0.025 ||| ||| [SUMMARY]
[CONTENT] Singapore | EQ-5D-3L ||| [SUMMARY]
[CONTENT] ||| only one | Asia ||| EuroQol Group | five | 3 | Singapore ||| 42 | EQ-5D-3L | Singapore ||| ||| ||| 4 to 8 | 100 | VAS ||| ||| 332 | at least one | 651 ||| 42 | 4.6 | 0.032 ||| 5.4 | 0.025 ||| ||| ||| Singapore | EQ-5D-3L ||| [SUMMARY]
[CONTENT] ||| only one | Asia ||| EuroQol Group | five | 3 | Singapore ||| 42 | EQ-5D-3L | Singapore ||| ||| ||| 4 to 8 | 100 | VAS ||| ||| 332 | at least one | 651 ||| 42 | 4.6 | 0.032 ||| 5.4 | 0.025 ||| ||| ||| Singapore | EQ-5D-3L ||| [SUMMARY]
Myrtenol improves brain damage and promotes angiogenesis in rats with cerebral infarction by activating the ERK1/2 signalling pathway.
34010584
Cerebral ischaemia/reperfusion (I/R) injury has a high disability and fatality worldwide. Myrtenol has protective effects on myocardial I/R injury through antioxidant and anti-apoptotic effects.
CONTEXT
Cerebral I/R injury was induced in adult Sprague-Dawley rats by middle cerebral artery occlusion (MCAO) for 90 min. MCAO rats were treated with or without myrtenol (10, 30, or 50 mg/kg/day) or/and U0126 (10 μL) intraperitoneally for 7 days.
MATERIALS AND METHODS
In the present study, myrtenol had no toxicity at concentrations up to 1.3 g/kg. Myrtenol treatment improved neurological function of MCAO rats, with significantly (p < 0.05) improved neurological deficits (4.31 ± 1.29 vs. 0.00) and reduced brain edoema (78.95 ± 2.27% vs. 85.48 ± 1.24%). Myrtenol extenuated brain tissue injury and neuronal apoptosis, with increased Bcl-2 expression (0.48-fold) and decreased Bax expression (2.02-fold) and caspase-3 activity (1.36-fold). Myrtenol promoted angiogenesis in the brain tissues of MCAO rats, which was reflected by increased VEGF (0.86-fold) and FGF2 (0.51-fold). Myrtenol promoted the phosphorylation of MEK1/2 (0.80-fold) and ERK1/2 (0.97-fold) in MCAO rats. U0126, the inhibitor of ERK1/2 pathway, reversed the protective effects of myrtenol on brain tissue damage and angiogenesis in MCAO rats.
RESULTS
Myrtenol reduced brain damage and angiogenesis through activating the ERK1/2 signalling pathway, which may provide a novel alternative strategy for preventing cerebral I/R injury. Further in vitro work detailing its mechanism-of-action for improving ischaemic cerebral infarction is needed.
DISCUSSION AND CONCLUSIONS
[ "Angiogenesis Inducing Agents", "Animals", "Bicyclic Monoterpenes", "Cerebral Infarction", "Dose-Response Relationship, Drug", "MAP Kinase Signaling System", "Male", "Rats", "Rats, Sprague-Dawley", "Reperfusion Injury" ]
8143630
Introduction
Cerebral infarction (CI), also known as cerebral ischaemia stroke, is mainly caused by focal cerebral ischaemia/reperfusion (I/R) injury, with high disability and lethality worldwide (Iizuka et al. 2019). Numerous studies have demonstrated that multiple physiopathologic processes, such as, inflammation, oxidative stress, apoptosis and vascular dysfunction, are involved in the pathogenesis of CI (Dojo Soeandy et al. 2020; Surinkaew et al. 2020; Morris-Blanco et al. 2021). Recently, angiogenesis, which is regulated by a large number of factors, such as vascular endothelial growth factor (VEGF), and fibroblast growth factor 2 (FGF2), has become a hot spot in cerebrovascular disease studies, and enhancing angiogenesis in ischaemia brain tissue might be an effective method for improving blood supply in the brain (Chan et al. 2020; Li et al. 2020). However, the pathogenesis of CI is complicated, and an effective intervention method to prevent or cure the disease has not yet found (Reis et al. 2017). It is a critical to explore an effective multi-target drug to prevent or ameliorate cerebral I/R injury. Myrtenol is a bicyclic alcohol monoterpene which was found in essential oils of several medicinal plants, such as Myrtus communis L. (Myrtaceae), Rhodiola rosea L. (Crassulaceae) (Rosenroot), etc. (Rajizadeh et al. 2019). Several reports have confirmed that myrtenol has anxiolytic, antinociceptive, anti-inflammatory, anticancer, antioxidant, and neuroprotectant properties (Rajizadeh et al. 2019; García et al. 2020; Heimfarth et al. 2020). Myrtenol has been used for treatment of anxiety, gastrointestinal pain, inflammations and infections (Moreira et al. 2014; Viana et al. 2016; Gomes et al. 2017). The protective effect of myrtenol against myocardial I/R injury has been demonstrated (Britto et al. 2018). Although multiple biological actions of myrtenol have been reported, there are no studies on whether the myrtenol is an effective multi-target drug to improve cerebral I/R injury. In the present study, rats with focal cerebral I/R injury were used to investigate the protective effect of myrtenol against cerebral I/R injury and its underlying mechanism.
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Results
Myrtenol improved neurological function and cerebral infarction of MCAO rats Rats subjected to 90 min of MCAO followed by reperfusion were used to simulate the pathology of cerebral I/R injury. To assess the effects of myrtenol on cerebral I/R injury, myrtenol (10, 30, or 50 mg/kg) were intraperitoneally injected into MCAO rats. MCAO rats showed prominent neurological deficit, while myrtenol could ameliorate the neurological function of MCAO rats (p < 0.05 vs. sham group; Figure 2(A)). The memory and learning capacity were also assessed using diving platform experiment and Y-maze test. As shown in Figure 2(B,C), myrtenol could decrease the frequency of mistakes in the diving platform experiment (2.02 ± 0.98% for 10 mg/kg myrtenol group, 1.07 ± 0.93% for 30 mg/kg myrtenol group, 0.82 ± 0.21% for 50 mg/kg myrtenol group; p < 0.05), whereas increase the times of entries arm in Y-maze test of MCAO rats (15.03 ± 5.04% for 10 mg/kg myrtenol group, 22.14 ± 4.96% for 30 mg/kg myrtenol group, 27.97 ± 4.02% for 50 mg/kg myrtenol group; p < 0.05). Additionally, myrtenol could reduce cerebral edoema in MCAO rats, which was confirmed by the reduced brain water content (p < 0.05 vs. sham group; Figure 2(D)). Moreover, TTC staining was performed to assess the cerebral infarction of MCAO rats. As expected, myrtenol treatment markedly attenuate the cerebral infarct volume of MCAO rats (34.11 ± 6.02% for 10 mg/kg myrtenol group, 26.06 ± 5.33% for 30 mg/kg myrtenol group, 18.16 ± 4.08% for 50 mg/kg myrtenol group; p < 0.05; Figure 2(E)). We also evaluated the expression of brain-derived neurotrophic factor (BDNF) and nerve growth factor (NGF) in hippocampus, which are considered to be the most important neurotrophins closely related to cognitive function. Western blot assay showed that MCAO could down-regulated the expression of BDNF and NGF in brain tissues of rats, while myrtenol treatment could restore the expression of BDNF and NGF (p < 0.05 vs. sham group Figure 2(F–H)). The results suggested that myrtenol could improve the neurological function and reduced the cerebral infarct volume in the rats with cerebral I/R. Myrtenol improved neurological function and cerebral infarction of MCAO rats. (A) The neurological score of rats in each group at 24 h after administration (n = 15). (B) The frequency of mistakes by rats in each group was detected by diving platform experiment (n = 15). (C) The times of entries arm of rats in each group was detected by Y-maze testing (n = 15). (D) The brain water content of rats in each group (n = 5). (E) Effect of myrtenol on the cerebral infarct volume of rats in each group was measured by TTC staining (n = 4). (F-H) The expression of BDNF and NGF in brain tissues of rats in each group was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Except for the sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. Sham group and MCAO group, given saline after cerebral I/R surgery. MCAO + Myr groups, administered 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively. All rats were treated once daily for seven consecutive days. Rats subjected to 90 min of MCAO followed by reperfusion were used to simulate the pathology of cerebral I/R injury. To assess the effects of myrtenol on cerebral I/R injury, myrtenol (10, 30, or 50 mg/kg) were intraperitoneally injected into MCAO rats. MCAO rats showed prominent neurological deficit, while myrtenol could ameliorate the neurological function of MCAO rats (p < 0.05 vs. sham group; Figure 2(A)). The memory and learning capacity were also assessed using diving platform experiment and Y-maze test. As shown in Figure 2(B,C), myrtenol could decrease the frequency of mistakes in the diving platform experiment (2.02 ± 0.98% for 10 mg/kg myrtenol group, 1.07 ± 0.93% for 30 mg/kg myrtenol group, 0.82 ± 0.21% for 50 mg/kg myrtenol group; p < 0.05), whereas increase the times of entries arm in Y-maze test of MCAO rats (15.03 ± 5.04% for 10 mg/kg myrtenol group, 22.14 ± 4.96% for 30 mg/kg myrtenol group, 27.97 ± 4.02% for 50 mg/kg myrtenol group; p < 0.05). Additionally, myrtenol could reduce cerebral edoema in MCAO rats, which was confirmed by the reduced brain water content (p < 0.05 vs. sham group; Figure 2(D)). Moreover, TTC staining was performed to assess the cerebral infarction of MCAO rats. As expected, myrtenol treatment markedly attenuate the cerebral infarct volume of MCAO rats (34.11 ± 6.02% for 10 mg/kg myrtenol group, 26.06 ± 5.33% for 30 mg/kg myrtenol group, 18.16 ± 4.08% for 50 mg/kg myrtenol group; p < 0.05; Figure 2(E)). We also evaluated the expression of brain-derived neurotrophic factor (BDNF) and nerve growth factor (NGF) in hippocampus, which are considered to be the most important neurotrophins closely related to cognitive function. Western blot assay showed that MCAO could down-regulated the expression of BDNF and NGF in brain tissues of rats, while myrtenol treatment could restore the expression of BDNF and NGF (p < 0.05 vs. sham group Figure 2(F–H)). The results suggested that myrtenol could improve the neurological function and reduced the cerebral infarct volume in the rats with cerebral I/R. Myrtenol improved neurological function and cerebral infarction of MCAO rats. (A) The neurological score of rats in each group at 24 h after administration (n = 15). (B) The frequency of mistakes by rats in each group was detected by diving platform experiment (n = 15). (C) The times of entries arm of rats in each group was detected by Y-maze testing (n = 15). (D) The brain water content of rats in each group (n = 5). (E) Effect of myrtenol on the cerebral infarct volume of rats in each group was measured by TTC staining (n = 4). (F-H) The expression of BDNF and NGF in brain tissues of rats in each group was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Except for the sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. Sham group and MCAO group, given saline after cerebral I/R surgery. MCAO + Myr groups, administered 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively. All rats were treated once daily for seven consecutive days. Myrtenol improved hippocampus and reduced cell apoptosis in MCAO rats Cerebral ischaemia is often accompanied by morphological and functional changes in the hippocampus (Li et al. 2020). Therefore, the histopathological damage of hippocampus was evaluated by HE staining. In the sham group, the cell outline was clear and structure was compact, the nucleolus was clearly visible, without interstitial. However, cells were arranged sparsely and structure was disorder in the MCAO group. Additionally, nerve cells swelling, interstitial oedema, nerve cell deformation, nuclear pyknosis and tissue necrosis were also found in the hippocampus of MCAO rats. Myrtenol treatment could improve nerve cell swelling, interstitial edoema, cell degeneration and necrosis (Figure 3(A)). TUNEL staining assay revealed that cell apoptosis in the hippocampus of MCAO rats was obviously increased (Figure 3(A)). Simultaneously, western blot assays also showed that the expression of Bcl-2 was down-regulated, while Bax was up-regulated in the hippocampus of MCAO rats (p < 0.05; Figure 3(B–D)). Additionally, the caspase-3 activity was also increased in MCAO rats (2.07 ± 0.21%-fold change for 10 mg/kg myrtenol group, 1.78 ± 0.18%-fold change for 30 mg/kg myrtenol group, 1.36 ± 0.19%-fold change for 50 mg/kg myrtenol group; p < 0.05; Figure 3(E)). However, myrtenol treatment could reduce cell apoptosis in brain tissues induced by MCAO (Figure 3(A–E)). The data indicated that myrtenol suppressed the histopathological damage and apoptosis of hippocampus induced by MCAO in vivo. Myrtenol improved hippocampus damage and reduced cell apoptosis in MCAO rats. (A) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (B–D) The expression of apoptosis marker protein, Bcl-2 and Bax, in hippocampus of rats in each group was detected by western blot (n = 6). (E) The caspase-3 activity in hippocampus of rats in each group (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Cerebral ischaemia is often accompanied by morphological and functional changes in the hippocampus (Li et al. 2020). Therefore, the histopathological damage of hippocampus was evaluated by HE staining. In the sham group, the cell outline was clear and structure was compact, the nucleolus was clearly visible, without interstitial. However, cells were arranged sparsely and structure was disorder in the MCAO group. Additionally, nerve cells swelling, interstitial oedema, nerve cell deformation, nuclear pyknosis and tissue necrosis were also found in the hippocampus of MCAO rats. Myrtenol treatment could improve nerve cell swelling, interstitial edoema, cell degeneration and necrosis (Figure 3(A)). TUNEL staining assay revealed that cell apoptosis in the hippocampus of MCAO rats was obviously increased (Figure 3(A)). Simultaneously, western blot assays also showed that the expression of Bcl-2 was down-regulated, while Bax was up-regulated in the hippocampus of MCAO rats (p < 0.05; Figure 3(B–D)). Additionally, the caspase-3 activity was also increased in MCAO rats (2.07 ± 0.21%-fold change for 10 mg/kg myrtenol group, 1.78 ± 0.18%-fold change for 30 mg/kg myrtenol group, 1.36 ± 0.19%-fold change for 50 mg/kg myrtenol group; p < 0.05; Figure 3(E)). However, myrtenol treatment could reduce cell apoptosis in brain tissues induced by MCAO (Figure 3(A–E)). The data indicated that myrtenol suppressed the histopathological damage and apoptosis of hippocampus induced by MCAO in vivo. Myrtenol improved hippocampus damage and reduced cell apoptosis in MCAO rats. (A) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (B–D) The expression of apoptosis marker protein, Bcl-2 and Bax, in hippocampus of rats in each group was detected by western blot (n = 6). (E) The caspase-3 activity in hippocampus of rats in each group (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Myrtenol promoted angiogenesis in MCAO rats Angiogenesis in ischaemic penumbra is one of the important early events after cerebral ischaemia (Taguchi et al. 2004). To further evaluate whether myrtenol affects angiogenesis in ischaemic penumbra of MCAO rats, we detected the expression of pro-angiogenic factors VEGF and FGF2. The IHC showed that the positive expression of VEGF in ischaemic penumbra of MCAO rats was lower than that in the sham group, while myrtenol treatment could increase the positive staining of VEGF to a certain extent (Figure 4(A,B)). Furthermore, western blot assay also showed increased expression of VEGF and FGF2 in MCAO rats (p < 0.05 vs. sham group), whereas myrtenol treatment could markedly increase the expression of VEGF and FGF2 in brain tissues of MCAO rats (p < 0.05 vs. MCAO group; Figure 4(C–E)). The results revealed that myrtenol could up-regulate the expression of VEGF and FGF2 to promote angiogenesis. Mytenol promoted angiogenesis in MCAO rats. (A–B) VEGF expression in ischaemic penumbra were determined by IHC staining (n = 6). (C–E) The relative expression of VEGF and FGF2 protein was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Angiogenesis in ischaemic penumbra is one of the important early events after cerebral ischaemia (Taguchi et al. 2004). To further evaluate whether myrtenol affects angiogenesis in ischaemic penumbra of MCAO rats, we detected the expression of pro-angiogenic factors VEGF and FGF2. The IHC showed that the positive expression of VEGF in ischaemic penumbra of MCAO rats was lower than that in the sham group, while myrtenol treatment could increase the positive staining of VEGF to a certain extent (Figure 4(A,B)). Furthermore, western blot assay also showed increased expression of VEGF and FGF2 in MCAO rats (p < 0.05 vs. sham group), whereas myrtenol treatment could markedly increase the expression of VEGF and FGF2 in brain tissues of MCAO rats (p < 0.05 vs. MCAO group; Figure 4(C–E)). The results revealed that myrtenol could up-regulate the expression of VEGF and FGF2 to promote angiogenesis. Mytenol promoted angiogenesis in MCAO rats. (A–B) VEGF expression in ischaemic penumbra were determined by IHC staining (n = 6). (C–E) The relative expression of VEGF and FGF2 protein was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Myrtenol activated ERK1/2 signalling pathway in MCAO rats The ERK1/2 signalling pathway has been identified as a potentially important role in cerebral ischaemia reperfusion injury (Shi et al. 2021). Western blot assay confirmed the inhibition of the ERK1/2 pathway in the brain tissues of MCAO rats, which was manifested by increased phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. sham group; Figure 5(A–C)). Myrtenol treatment could increase the phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. MCAO group; Figure 5(A–C)), suggesting that myrtenol activated the ERK1/2 signalling pathway. We also performed rescue experiments by using U0126, the specific inhibitor of ERK1/2 pathway. The activation of myrtenol on the ERK1/2 pathway could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 5(D–F)). Mytenol activated ERK1/2 signalling pathway in MCAO rats. (A) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (B–C) The relative expression ratio of p-MEK1/2/MEK1/2, p-ERK1/2/ERK1/2. (D) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (E-F): MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. n = 6. Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. The ERK1/2 signalling pathway has been identified as a potentially important role in cerebral ischaemia reperfusion injury (Shi et al. 2021). Western blot assay confirmed the inhibition of the ERK1/2 pathway in the brain tissues of MCAO rats, which was manifested by increased phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. sham group; Figure 5(A–C)). Myrtenol treatment could increase the phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. MCAO group; Figure 5(A–C)), suggesting that myrtenol activated the ERK1/2 signalling pathway. We also performed rescue experiments by using U0126, the specific inhibitor of ERK1/2 pathway. The activation of myrtenol on the ERK1/2 pathway could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 5(D–F)). Mytenol activated ERK1/2 signalling pathway in MCAO rats. (A) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (B–C) The relative expression ratio of p-MEK1/2/MEK1/2, p-ERK1/2/ERK1/2. (D) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (E-F): MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. n = 6. Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. U0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in rats with cerebral I/R Next, we explored whether myrtenol improved brain damage and angiogenesis by activating the ERK1/2 signalling pathway. Diving platform experiment and Y-maze test showed that U0126 could suppress the improvement of myrtenol on memory and learning capacity of MCAO rats (p < 0.05 vs. MCAO + Myr group; Figure 6(A)). Similarly, U0126 also restrained the inhibitory effect of myrtenol on cerebral edoema (p < 0.05 vs. MCAO + Myr group; Figure 6(B)). Additionally, the increased expression of BDNF and NGF in MCAO rats treated with myrtenol could be abolished by U0126 pre-treatment (p < 0.05 vs. MCAO + Myr group; Figure 6(C)). The HE staining also showed that the U0126 could eliminate the improvement effect of myrtenol on brain tissue damage in MCAO rats (Figure 6(D)). Similarly, TUNEL assay also showed that U0126 treatment could reverse the inhibitory effect of myrtenol on MCAO-induced apoptosis (Figure 6(D and E)). Consistently, the inhibition of Bax expression and caspase-3, as well as the promotion of Bcl-2 expression induced by myrtenol treated in MCAO rats could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 6(F and G)). Additionally, U0126 also eliminated the promotion of myrtenol on angiogenesis in the brain tissues of MCAO rats, which was demonstrated by inhibiting the expression of VEGF and FGF2 (p < 0.05 vs. MCAO + Myr group; Figure 6(H and I)). Collectively, U0126 reversed the protective effect of myrtenol on cerebral I/R injury, which was associated with the improvement of brain damage and angiogenesis. U0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in MCAO rats. (A) Frequency of mistakes, times of entries arm of rat in each group were detected by diving platform experiment, Y-maze testing (n = 15). (B) Brain oedema was assessed by brain water content (n = 5). (C) Relative expression of BDNG and NGF in brain tissues was detected by western blot (n = 6). (D–E) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (F) Relative expression of Bcl-2, Bax was detected by western blot (n = 6). (G) The caspase-3 activity. (H) IHC staining showed the VEGF positive cells (n = 6). (I) Relative expression of VEGF and FGF2 was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. **p < 0.01. Except for sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. sham group and MCAO group, given with saline after cerebral I/R surgery. MCAO + Myr group, administered 50 mg/kg myrtenol after cerebral I/R surgery; MCAO + Myr + U0126 group, injected with U0126 at 30 min prior to myrtenol treatment. All rats were administered once daily for 7 consecutive days. Next, we explored whether myrtenol improved brain damage and angiogenesis by activating the ERK1/2 signalling pathway. Diving platform experiment and Y-maze test showed that U0126 could suppress the improvement of myrtenol on memory and learning capacity of MCAO rats (p < 0.05 vs. MCAO + Myr group; Figure 6(A)). Similarly, U0126 also restrained the inhibitory effect of myrtenol on cerebral edoema (p < 0.05 vs. MCAO + Myr group; Figure 6(B)). Additionally, the increased expression of BDNF and NGF in MCAO rats treated with myrtenol could be abolished by U0126 pre-treatment (p < 0.05 vs. MCAO + Myr group; Figure 6(C)). The HE staining also showed that the U0126 could eliminate the improvement effect of myrtenol on brain tissue damage in MCAO rats (Figure 6(D)). Similarly, TUNEL assay also showed that U0126 treatment could reverse the inhibitory effect of myrtenol on MCAO-induced apoptosis (Figure 6(D and E)). Consistently, the inhibition of Bax expression and caspase-3, as well as the promotion of Bcl-2 expression induced by myrtenol treated in MCAO rats could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 6(F and G)). Additionally, U0126 also eliminated the promotion of myrtenol on angiogenesis in the brain tissues of MCAO rats, which was demonstrated by inhibiting the expression of VEGF and FGF2 (p < 0.05 vs. MCAO + Myr group; Figure 6(H and I)). Collectively, U0126 reversed the protective effect of myrtenol on cerebral I/R injury, which was associated with the improvement of brain damage and angiogenesis. U0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in MCAO rats. (A) Frequency of mistakes, times of entries arm of rat in each group were detected by diving platform experiment, Y-maze testing (n = 15). (B) Brain oedema was assessed by brain water content (n = 5). (C) Relative expression of BDNG and NGF in brain tissues was detected by western blot (n = 6). (D–E) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (F) Relative expression of Bcl-2, Bax was detected by western blot (n = 6). (G) The caspase-3 activity. (H) IHC staining showed the VEGF positive cells (n = 6). (I) Relative expression of VEGF and FGF2 was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. **p < 0.01. Except for sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. sham group and MCAO group, given with saline after cerebral I/R surgery. MCAO + Myr group, administered 50 mg/kg myrtenol after cerebral I/R surgery; MCAO + Myr + U0126 group, injected with U0126 at 30 min prior to myrtenol treatment. All rats were administered once daily for 7 consecutive days.
Conclusions
The data demonstrated that the ERK1/2 signalling pathway contributed to the protective effects of myrtenol against cerebral I/R injury in rats, which was associated with the attenuation of brain damage and angiogenesis. These findings provided further insight into the specific mechanisms of how myrtenol exerted its protective effects on cerebral I/R injury and also provided more theoretical basis for the clinical application of myrtenol.
[ "Animals", "Groups and drug administration", "Focal cerebral I/R model", "Neurological deficits evaluation", "Diving platform experiment and Y-maze test", "Measurement of the brain water content", "2,3,5-Triphenyltetrazolium chloride (TTC) staining", "Western blot", "Haematoxylin eosin (HE) staining", "Terminal deoxynucleotidyl transferase dUTP nick end-labelling (TUNEL) assay", "Immunohistochemical staining (IHC)", "Caspase-3 activity assay", "Statistical analysis", "Myrtenol improved neurological function and cerebral infarction of MCAO rats", "Myrtenol improved hippocampus and reduced cell apoptosis in MCAO rats", "Myrtenol promoted angiogenesis in MCAO rats", "Myrtenol activated ERK1/2 signalling pathway in MCAO rats", "U0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in rats with cerebral I/R" ]
[ "Adult male Sprague-Dawley (SD) rats weighing 220–300 g were provided by Laboratory Animal Centre of Shanghai, Chinese Academy of Sciences, and housed in standard cages under controlled temperature of 23 ± 2 °C and a 12-h light/dark cycle, with free access to water and food. All rats were acclimated for 5 days before experimental manipulation. All animal experiments were conducted in accordance with the National Institute of Health Guideline for the Care and Use Committee of Luohe Central Hospital.", "Myrtenol was purchased from Sigma-Aldrich Corporation (W343900, CAS-No.19894-97-4, purity ≥95%; Figure 1). Seventy-five SD rats were randomly divided into five groups (n = 15): sham group: rats were treated with saline but without middle cerebral artery occlusion (MCAO). MCAO group: rats were given with saline alone with cerebral ischaemia/reperfusion (I/R) surgery. MCAO + Myr groups: rats were intraperitoneally injected with 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively (Britto et al. 2018), once daily for seven consecutive days. The remaining 60 SD rats were randomly divided into four groups (n = 15): sham group, MCAO group, MCAO + Myr (50 mg/kg) group: rats were treated as above, MCAO + Myr + U0126 group: rats were intracerebroventricularly injected with 10 μL U0126 (Cell Signalling Technology, USA), a highly selective inhibitor of MEK (Ahnstedt et al. 2015), into the cerebral ischaemia side at 30 min prior to myrtenol treatment, once daily for 7 consecutive days. The intracerebral ventricular injection and the dose of U0126 were based on the work of Ye et al. (2018).\nChemical structure of myrtenol.", "The rat model of focal cerebral I/R by performing MCAO in the left hemisphere, also known as MCAO rats, as previously described (Liu et al. 2018a). All rats were anaesthetized with 10% chloral hydrate by intraperitoneally injection. In brief, the left common carotid artery (CCA) was separated carefully, the external carotid artery (ECA) and internal carotid artery (ICA) were exposed gently. A 3.0 monofilament suture was inserted to cut off the origin of the MCA after clipped the ECA. After 90 min of ischaemia, the monofilament was removed, inducing cerebral reperfusion. Laser Doppler Flowmetry (LDF, PerFlux 5000 Perimed Co., China) was applied to monitor the regional cerebral blood flow (rCBF) during the surgical procedure and at the reperfusion as described previously (Wild et al. 2000). A successful MCAO model was accepted when rCBF < 20% and recovered to higher than 80% of baseline. A total of 135 rats were included in the present experiments. The rats in sham group underwent the same surgery, except that the filament was inserted to cut off the origin of the MCA. The cardiovascular rate and rectal temperature were monitored and maintained during the surgical procedure.", "Twenty-four h after administration, the neurological deficits score of all rats were estimated by a researcher blinded, according to the previous method described by Garcia et al. (1995). The scores were evaluated from motor function and sensory function with minimum neurological deficits score 3 and the maximum 18.", "The memory and learning capacity of rats in each group were evaluated by diving platform experiment and Y maze test. The diving platform instrument (10 cm × 10 cm × 60 cm) consisted of a reflex box divided into 5 rooms by black plastic board. Copper shutter at 0.5 cm intervals connected with a 36 V electrical current were placed on the bottom of the diving platform instrument. An insulated platform (4.0 cm in diameter, 4.0 cm in height) was placed in the back left corner of each room. Y-maze was consisted of three arms (regions I-III, 30 cm l × 8 cm w × 20 cm h), with the arm at a 120° angle from each other. Three were randomly marked as novel arm, star arm, and other arm. The diving platform experiment and the Y-maze testing were performed as the previously reported (Wen et al. 2014; Liu et al. 2019). The memory differences between the rats of different groups were studied by comparing the frequency of mistake of rats jumping from the insulated platform down to the shutter within 5 min. The times of entries into novel arm for each rat were analysed.", "After evaluation of the neurological deficits, all rats were anaesthetized and decapitated rapidly. The brain tissues were removed quickly for the following experiment. The wet weight (A) and dry weight (B, tissues were dried in an oven for 24 h) of brain tissue from three rats in each group were weighed. The brain water content was calculated in accordance with the formula: Brain water content = (A - B)/A × 100%.", "TTC staining method was used to measure the cerebral infarct volume. After being rapid-frozen in −20 °C for 20 min, the brain tissues were sliced into 2 mm thick section. And the slices were stained in 2% TTC for 20 min and fixed in 4% paraformaldehyde buffer. The infarcted brain tissue appeared white, whereas the normal tissues showed a red colour. The sections were photographed and the infarct volumes were measured using Image J software.", "Western blotting was used to detect the expression of proteins involved in apoptosis, angiogenesis and the MEK/ERK signalling pathway at 24 h after administration. Total protein was extracted using protein extraction kit, according to the manufacturer’s instructions and the protein concentration were measured with BCA method. Protein samples (40 μg) were subjected to 10% SDS-polyacrylamide gels electrophoresis (SDS-PAGE) to separate. Then transferred to poly-vinylidnene fluoride (PVDF, Millipore) membranes and blocked in PBST solution with 5% non-fat milk. The membranes were incubated in primary antibodies against brain derived neurotrophic factor (BDNF), nerve growth factor (NGF), Bax, Bcl-2, VEGF, FGF2, MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 (1:2000 dilution, Proteintech, USA) at 4 °C overnight. Secondary antibodies: HRP-conjugated anti-mouse or anti-rabbit IgG (1:5000, Proteintech, USA) were incubated 1 h at 37 °C. Finally, the enhanced chemiluminescent reagent (Thermo Fisher, USA) was added in the membranes and band intensity signals were observed. GAPDH was used as an internal reference, and the optical densities of protein bands were analysed by Image J software to represent the relative expression of target protein.", "After completing neurological deficits evaluation, the rats were decapitated under deep anaesthesia. The brains were rapidly removed, the hippocampus was separated, fixed in 10% formalin solution and embedded in paraffin. Coronal sections (4 μm) were obtained and stained with haematoxylin-eosin (HE) solution for the histopathological examination. The scores of histopathological damages were determined as follows: 0, no morphological damage; 1, (slight) edoema or dark neurons; 2, (moderate), edoema or haemorrhages; 3, (severe) local necrosis.", "Apoptosis was examined by TUNEL assay. The histological sections (4 μm) were obtained from the paraffin-embedded brains. TUNEL assay was performed using an in situ apoptosis detection kit, in accordance with the manufacturer’s instruction. The apoptosis cells were identified as cells with brown-stained nuclei. The number of TUNEL-positive cells was counted in each single visual field and the percentage was calculated as follows: TUNEL-positive cells (%) = (the numbers of TUNEL-positive cells/all cells in a single visual field) × 100%.", "The expression of vascular endothelial growth factor (VEGF) in cortical penumbra was detected by IHC staining. Paraffin-embedded brain sections were dewaxed, rehydrated, treated with 0.3% H2O2 for 10 min, and blocked with 5% goat serum for 1 h at 37 °C. Then, the sections were incubated with an anti-VEGF mouse monclonal antibody (1:200, Abcam, USA) at 4 °C overnight. After washing, the secondary antibody: Goat Anti-Mouse HRP-IgG (1:1000) were incubated for 2 h at room temperature. After washing, DAB solution was added into sections to provide the staining for 5 min. And sections were counterstained with haematoxylin and observed under a light microscope. The VEGF-positive cells were characterised by brown granules. The expression of VEGF was represented by the percentage of positive cells in each view at 200× magnification. Five fields were randomly selected in each section.", "Caspase-3 activity of tissue homogenate was measured by Caspase 3 Assay Kit, colorimetric (Sigma-Aldrich, Germany), according to the manufacturer’s protocol.", "The data were analysed by SPSS19.0 software. Measurement data were presented as means ± standard deviation from at least three repeated experiments, and the comparison among multiple groups were analysed by one-way analysis of variance, between-group differences were detected by Tukey’s post hoc test. p < 0.05 was considered the significant difference.", "Rats subjected to 90 min of MCAO followed by reperfusion were used to simulate the pathology of cerebral I/R injury. To assess the effects of myrtenol on cerebral I/R injury, myrtenol (10, 30, or 50 mg/kg) were intraperitoneally injected into MCAO rats. MCAO rats showed prominent neurological deficit, while myrtenol could ameliorate the neurological function of MCAO rats (p < 0.05 vs. sham group; Figure 2(A)). The memory and learning capacity were also assessed using diving platform experiment and Y-maze test. As shown in Figure 2(B,C), myrtenol could decrease the frequency of mistakes in the diving platform experiment (2.02 ± 0.98% for 10 mg/kg myrtenol group, 1.07 ± 0.93% for 30 mg/kg myrtenol group, 0.82 ± 0.21% for 50 mg/kg myrtenol group; p < 0.05), whereas increase the times of entries arm in Y-maze test of MCAO rats (15.03 ± 5.04% for 10 mg/kg myrtenol group, 22.14 ± 4.96% for 30 mg/kg myrtenol group, 27.97 ± 4.02% for 50 mg/kg myrtenol group; p < 0.05). Additionally, myrtenol could reduce cerebral edoema in MCAO rats, which was confirmed by the reduced brain water content (p < 0.05 vs. sham group; Figure 2(D)). Moreover, TTC staining was performed to assess the cerebral infarction of MCAO rats. As expected, myrtenol treatment markedly attenuate the cerebral infarct volume of MCAO rats (34.11 ± 6.02% for 10 mg/kg myrtenol group, 26.06 ± 5.33% for 30 mg/kg myrtenol group, 18.16 ± 4.08% for 50 mg/kg myrtenol group; p < 0.05; Figure 2(E)).\nWe also evaluated the expression of brain-derived neurotrophic factor (BDNF) and nerve growth factor (NGF) in hippocampus, which are considered to be the most important neurotrophins closely related to cognitive function. Western blot assay showed that MCAO could down-regulated the expression of BDNF and NGF in brain tissues of rats, while myrtenol treatment could restore the expression of BDNF and NGF (p < 0.05 vs. sham group Figure 2(F–H)). The results suggested that myrtenol could improve the neurological function and reduced the cerebral infarct volume in the rats with cerebral I/R.\nMyrtenol improved neurological function and cerebral infarction of MCAO rats. (A) The neurological score of rats in each group at 24 h after administration (n = 15). (B) The frequency of mistakes by rats in each group was detected by diving platform experiment (n = 15). (C) The times of entries arm of rats in each group was detected by Y-maze testing (n = 15). (D) The brain water content of rats in each group (n = 5). (E) Effect of myrtenol on the cerebral infarct volume of rats in each group was measured by TTC staining (n = 4). (F-H) The expression of BDNF and NGF in brain tissues of rats in each group was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Except for the sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. Sham group and MCAO group, given saline after cerebral I/R surgery. MCAO + Myr groups, administered 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively. All rats were treated once daily for seven consecutive days.", "Cerebral ischaemia is often accompanied by morphological and functional changes in the hippocampus (Li et al. 2020). Therefore, the histopathological damage of hippocampus was evaluated by HE staining. In the sham group, the cell outline was clear and structure was compact, the nucleolus was clearly visible, without interstitial. However, cells were arranged sparsely and structure was disorder in the MCAO group. Additionally, nerve cells swelling, interstitial oedema, nerve cell deformation, nuclear pyknosis and tissue necrosis were also found in the hippocampus of MCAO rats. Myrtenol treatment could improve nerve cell swelling, interstitial edoema, cell degeneration and necrosis (Figure 3(A)). TUNEL staining assay revealed that cell apoptosis in the hippocampus of MCAO rats was obviously increased (Figure 3(A)). Simultaneously, western blot assays also showed that the expression of Bcl-2 was down-regulated, while Bax was up-regulated in the hippocampus of MCAO rats (p < 0.05; Figure 3(B–D)). Additionally, the caspase-3 activity was also increased in MCAO rats (2.07 ± 0.21%-fold change for 10 mg/kg myrtenol group, 1.78 ± 0.18%-fold change for 30 mg/kg myrtenol group, 1.36 ± 0.19%-fold change for 50 mg/kg myrtenol group; p < 0.05; Figure 3(E)). However, myrtenol treatment could reduce cell apoptosis in brain tissues induced by MCAO (Figure 3(A–E)). The data indicated that myrtenol suppressed the histopathological damage and apoptosis of hippocampus induced by MCAO in vivo.\nMyrtenol improved hippocampus damage and reduced cell apoptosis in MCAO rats. (A) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (B–D) The expression of apoptosis marker protein, Bcl-2 and Bax, in hippocampus of rats in each group was detected by western blot (n = 6). (E) The caspase-3 activity in hippocampus of rats in each group (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group.", "Angiogenesis in ischaemic penumbra is one of the important early events after cerebral ischaemia (Taguchi et al. 2004). To further evaluate whether myrtenol affects angiogenesis in ischaemic penumbra of MCAO rats, we detected the expression of pro-angiogenic factors VEGF and FGF2. The IHC showed that the positive expression of VEGF in ischaemic penumbra of MCAO rats was lower than that in the sham group, while myrtenol treatment could increase the positive staining of VEGF to a certain extent (Figure 4(A,B)). Furthermore, western blot assay also showed increased expression of VEGF and FGF2 in MCAO rats (p < 0.05 vs. sham group), whereas myrtenol treatment could markedly increase the expression of VEGF and FGF2 in brain tissues of MCAO rats (p < 0.05 vs. MCAO group; Figure 4(C–E)). The results revealed that myrtenol could up-regulate the expression of VEGF and FGF2 to promote angiogenesis.\nMytenol promoted angiogenesis in MCAO rats. (A–B) VEGF expression in ischaemic penumbra were determined by IHC staining (n = 6). (C–E) The relative expression of VEGF and FGF2 protein was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group.", "The ERK1/2 signalling pathway has been identified as a potentially important role in cerebral ischaemia reperfusion injury (Shi et al. 2021). Western blot assay confirmed the inhibition of the ERK1/2 pathway in the brain tissues of MCAO rats, which was manifested by increased phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. sham group; Figure 5(A–C)). Myrtenol treatment could increase the phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. MCAO group; Figure 5(A–C)), suggesting that myrtenol activated the ERK1/2 signalling pathway. We also performed rescue experiments by using U0126, the specific inhibitor of ERK1/2 pathway. The activation of myrtenol on the ERK1/2 pathway could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 5(D–F)).\nMytenol activated ERK1/2 signalling pathway in MCAO rats. (A) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (B–C) The relative expression ratio of p-MEK1/2/MEK1/2, p-ERK1/2/ERK1/2. (D) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (E-F): MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. n = 6. Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group.", "Next, we explored whether myrtenol improved brain damage and angiogenesis by activating the ERK1/2 signalling pathway. Diving platform experiment and Y-maze test showed that U0126 could suppress the improvement of myrtenol on memory and learning capacity of MCAO rats (p < 0.05 vs. MCAO + Myr group; Figure 6(A)). Similarly, U0126 also restrained the inhibitory effect of myrtenol on cerebral edoema (p < 0.05 vs. MCAO + Myr group; Figure 6(B)). Additionally, the increased expression of BDNF and NGF in MCAO rats treated with myrtenol could be abolished by U0126 pre-treatment (p < 0.05 vs. MCAO + Myr group; Figure 6(C)). The HE staining also showed that the U0126 could eliminate the improvement effect of myrtenol on brain tissue damage in MCAO rats (Figure 6(D)). Similarly, TUNEL assay also showed that U0126 treatment could reverse the inhibitory effect of myrtenol on MCAO-induced apoptosis (Figure 6(D and E)). Consistently, the inhibition of Bax expression and caspase-3, as well as the promotion of Bcl-2 expression induced by myrtenol treated in MCAO rats could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 6(F and G)). Additionally, U0126 also eliminated the promotion of myrtenol on angiogenesis in the brain tissues of MCAO rats, which was demonstrated by inhibiting the expression of VEGF and FGF2 (p < 0.05 vs. MCAO + Myr group; Figure 6(H and I)). Collectively, U0126 reversed the protective effect of myrtenol on cerebral I/R injury, which was associated with the improvement of brain damage and angiogenesis.\nU0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in MCAO rats. (A) Frequency of mistakes, times of entries arm of rat in each group were detected by diving platform experiment, Y-maze testing (n = 15). (B) Brain oedema was assessed by brain water content (n = 5). (C) Relative expression of BDNG and NGF in brain tissues was detected by western blot (n = 6). (D–E) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (F) Relative expression of Bcl-2, Bax was detected by western blot (n = 6). (G) The caspase-3 activity. (H) IHC staining showed the VEGF positive cells (n = 6). (I) Relative expression of VEGF and FGF2 was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. **p < 0.01. Except for sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. sham group and MCAO group, given with saline after cerebral I/R surgery. MCAO + Myr group, administered 50 mg/kg myrtenol after cerebral I/R surgery; MCAO + Myr + U0126 group, injected with U0126 at 30 min prior to myrtenol treatment. All rats were administered once daily for 7 consecutive days." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Materials and methods", "Animals", "Groups and drug administration", "Focal cerebral I/R model", "Neurological deficits evaluation", "Diving platform experiment and Y-maze test", "Measurement of the brain water content", "2,3,5-Triphenyltetrazolium chloride (TTC) staining", "Western blot", "Haematoxylin eosin (HE) staining", "Terminal deoxynucleotidyl transferase dUTP nick end-labelling (TUNEL) assay", "Immunohistochemical staining (IHC)", "Caspase-3 activity assay", "Statistical analysis", "Results", "Myrtenol improved neurological function and cerebral infarction of MCAO rats", "Myrtenol improved hippocampus and reduced cell apoptosis in MCAO rats", "Myrtenol promoted angiogenesis in MCAO rats", "Myrtenol activated ERK1/2 signalling pathway in MCAO rats", "U0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in rats with cerebral I/R", "Discussion", "Conclusions" ]
[ "Cerebral infarction (CI), also known as cerebral ischaemia stroke, is mainly caused by focal cerebral ischaemia/reperfusion (I/R) injury, with high disability and lethality worldwide (Iizuka et al. 2019). Numerous studies have demonstrated that multiple physiopathologic processes, such as, inflammation, oxidative stress, apoptosis and vascular dysfunction, are involved in the pathogenesis of CI (Dojo Soeandy et al. 2020; Surinkaew et al. 2020; Morris-Blanco et al. 2021). Recently, angiogenesis, which is regulated by a large number of factors, such as vascular endothelial growth factor (VEGF), and fibroblast growth factor 2 (FGF2), has become a hot spot in cerebrovascular disease studies, and enhancing angiogenesis in ischaemia brain tissue might be an effective method for improving blood supply in the brain (Chan et al. 2020; Li et al. 2020). However, the pathogenesis of CI is complicated, and an effective intervention method to prevent or cure the disease has not yet found (Reis et al. 2017). It is a critical to explore an effective multi-target drug to prevent or ameliorate cerebral I/R injury.\nMyrtenol is a bicyclic alcohol monoterpene which was found in essential oils of several medicinal plants, such as Myrtus communis L. (Myrtaceae), Rhodiola rosea L. (Crassulaceae) (Rosenroot), etc. (Rajizadeh et al. 2019). Several reports have confirmed that myrtenol has anxiolytic, antinociceptive, anti-inflammatory, anticancer, antioxidant, and neuroprotectant properties (Rajizadeh et al. 2019; García et al. 2020; Heimfarth et al. 2020). Myrtenol has been used for treatment of anxiety, gastrointestinal pain, inflammations and infections (Moreira et al. 2014; Viana et al. 2016; Gomes et al. 2017). The protective effect of myrtenol against myocardial I/R injury has been demonstrated (Britto et al. 2018). Although multiple biological actions of myrtenol have been reported, there are no studies on whether the myrtenol is an effective multi-target drug to improve cerebral I/R injury.\nIn the present study, rats with focal cerebral I/R injury were used to investigate the protective effect of myrtenol against cerebral I/R injury and its underlying mechanism.", "Animals Adult male Sprague-Dawley (SD) rats weighing 220–300 g were provided by Laboratory Animal Centre of Shanghai, Chinese Academy of Sciences, and housed in standard cages under controlled temperature of 23 ± 2 °C and a 12-h light/dark cycle, with free access to water and food. All rats were acclimated for 5 days before experimental manipulation. All animal experiments were conducted in accordance with the National Institute of Health Guideline for the Care and Use Committee of Luohe Central Hospital.\nAdult male Sprague-Dawley (SD) rats weighing 220–300 g were provided by Laboratory Animal Centre of Shanghai, Chinese Academy of Sciences, and housed in standard cages under controlled temperature of 23 ± 2 °C and a 12-h light/dark cycle, with free access to water and food. All rats were acclimated for 5 days before experimental manipulation. All animal experiments were conducted in accordance with the National Institute of Health Guideline for the Care and Use Committee of Luohe Central Hospital.\nGroups and drug administration Myrtenol was purchased from Sigma-Aldrich Corporation (W343900, CAS-No.19894-97-4, purity ≥95%; Figure 1). Seventy-five SD rats were randomly divided into five groups (n = 15): sham group: rats were treated with saline but without middle cerebral artery occlusion (MCAO). MCAO group: rats were given with saline alone with cerebral ischaemia/reperfusion (I/R) surgery. MCAO + Myr groups: rats were intraperitoneally injected with 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively (Britto et al. 2018), once daily for seven consecutive days. The remaining 60 SD rats were randomly divided into four groups (n = 15): sham group, MCAO group, MCAO + Myr (50 mg/kg) group: rats were treated as above, MCAO + Myr + U0126 group: rats were intracerebroventricularly injected with 10 μL U0126 (Cell Signalling Technology, USA), a highly selective inhibitor of MEK (Ahnstedt et al. 2015), into the cerebral ischaemia side at 30 min prior to myrtenol treatment, once daily for 7 consecutive days. The intracerebral ventricular injection and the dose of U0126 were based on the work of Ye et al. (2018).\nChemical structure of myrtenol.\nMyrtenol was purchased from Sigma-Aldrich Corporation (W343900, CAS-No.19894-97-4, purity ≥95%; Figure 1). Seventy-five SD rats were randomly divided into five groups (n = 15): sham group: rats were treated with saline but without middle cerebral artery occlusion (MCAO). MCAO group: rats were given with saline alone with cerebral ischaemia/reperfusion (I/R) surgery. MCAO + Myr groups: rats were intraperitoneally injected with 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively (Britto et al. 2018), once daily for seven consecutive days. The remaining 60 SD rats were randomly divided into four groups (n = 15): sham group, MCAO group, MCAO + Myr (50 mg/kg) group: rats were treated as above, MCAO + Myr + U0126 group: rats were intracerebroventricularly injected with 10 μL U0126 (Cell Signalling Technology, USA), a highly selective inhibitor of MEK (Ahnstedt et al. 2015), into the cerebral ischaemia side at 30 min prior to myrtenol treatment, once daily for 7 consecutive days. The intracerebral ventricular injection and the dose of U0126 were based on the work of Ye et al. (2018).\nChemical structure of myrtenol.\nFocal cerebral I/R model The rat model of focal cerebral I/R by performing MCAO in the left hemisphere, also known as MCAO rats, as previously described (Liu et al. 2018a). All rats were anaesthetized with 10% chloral hydrate by intraperitoneally injection. In brief, the left common carotid artery (CCA) was separated carefully, the external carotid artery (ECA) and internal carotid artery (ICA) were exposed gently. A 3.0 monofilament suture was inserted to cut off the origin of the MCA after clipped the ECA. After 90 min of ischaemia, the monofilament was removed, inducing cerebral reperfusion. Laser Doppler Flowmetry (LDF, PerFlux 5000 Perimed Co., China) was applied to monitor the regional cerebral blood flow (rCBF) during the surgical procedure and at the reperfusion as described previously (Wild et al. 2000). A successful MCAO model was accepted when rCBF < 20% and recovered to higher than 80% of baseline. A total of 135 rats were included in the present experiments. The rats in sham group underwent the same surgery, except that the filament was inserted to cut off the origin of the MCA. The cardiovascular rate and rectal temperature were monitored and maintained during the surgical procedure.\nThe rat model of focal cerebral I/R by performing MCAO in the left hemisphere, also known as MCAO rats, as previously described (Liu et al. 2018a). All rats were anaesthetized with 10% chloral hydrate by intraperitoneally injection. In brief, the left common carotid artery (CCA) was separated carefully, the external carotid artery (ECA) and internal carotid artery (ICA) were exposed gently. A 3.0 monofilament suture was inserted to cut off the origin of the MCA after clipped the ECA. After 90 min of ischaemia, the monofilament was removed, inducing cerebral reperfusion. Laser Doppler Flowmetry (LDF, PerFlux 5000 Perimed Co., China) was applied to monitor the regional cerebral blood flow (rCBF) during the surgical procedure and at the reperfusion as described previously (Wild et al. 2000). A successful MCAO model was accepted when rCBF < 20% and recovered to higher than 80% of baseline. A total of 135 rats were included in the present experiments. The rats in sham group underwent the same surgery, except that the filament was inserted to cut off the origin of the MCA. The cardiovascular rate and rectal temperature were monitored and maintained during the surgical procedure.\nNeurological deficits evaluation Twenty-four h after administration, the neurological deficits score of all rats were estimated by a researcher blinded, according to the previous method described by Garcia et al. (1995). The scores were evaluated from motor function and sensory function with minimum neurological deficits score 3 and the maximum 18.\nTwenty-four h after administration, the neurological deficits score of all rats were estimated by a researcher blinded, according to the previous method described by Garcia et al. (1995). The scores were evaluated from motor function and sensory function with minimum neurological deficits score 3 and the maximum 18.\nDiving platform experiment and Y-maze test The memory and learning capacity of rats in each group were evaluated by diving platform experiment and Y maze test. The diving platform instrument (10 cm × 10 cm × 60 cm) consisted of a reflex box divided into 5 rooms by black plastic board. Copper shutter at 0.5 cm intervals connected with a 36 V electrical current were placed on the bottom of the diving platform instrument. An insulated platform (4.0 cm in diameter, 4.0 cm in height) was placed in the back left corner of each room. Y-maze was consisted of three arms (regions I-III, 30 cm l × 8 cm w × 20 cm h), with the arm at a 120° angle from each other. Three were randomly marked as novel arm, star arm, and other arm. The diving platform experiment and the Y-maze testing were performed as the previously reported (Wen et al. 2014; Liu et al. 2019). The memory differences between the rats of different groups were studied by comparing the frequency of mistake of rats jumping from the insulated platform down to the shutter within 5 min. The times of entries into novel arm for each rat were analysed.\nThe memory and learning capacity of rats in each group were evaluated by diving platform experiment and Y maze test. The diving platform instrument (10 cm × 10 cm × 60 cm) consisted of a reflex box divided into 5 rooms by black plastic board. Copper shutter at 0.5 cm intervals connected with a 36 V electrical current were placed on the bottom of the diving platform instrument. An insulated platform (4.0 cm in diameter, 4.0 cm in height) was placed in the back left corner of each room. Y-maze was consisted of three arms (regions I-III, 30 cm l × 8 cm w × 20 cm h), with the arm at a 120° angle from each other. Three were randomly marked as novel arm, star arm, and other arm. The diving platform experiment and the Y-maze testing were performed as the previously reported (Wen et al. 2014; Liu et al. 2019). The memory differences between the rats of different groups were studied by comparing the frequency of mistake of rats jumping from the insulated platform down to the shutter within 5 min. The times of entries into novel arm for each rat were analysed.\nMeasurement of the brain water content After evaluation of the neurological deficits, all rats were anaesthetized and decapitated rapidly. The brain tissues were removed quickly for the following experiment. The wet weight (A) and dry weight (B, tissues were dried in an oven for 24 h) of brain tissue from three rats in each group were weighed. The brain water content was calculated in accordance with the formula: Brain water content = (A - B)/A × 100%.\nAfter evaluation of the neurological deficits, all rats were anaesthetized and decapitated rapidly. The brain tissues were removed quickly for the following experiment. The wet weight (A) and dry weight (B, tissues were dried in an oven for 24 h) of brain tissue from three rats in each group were weighed. The brain water content was calculated in accordance with the formula: Brain water content = (A - B)/A × 100%.\n2,3,5-Triphenyltetrazolium chloride (TTC) staining TTC staining method was used to measure the cerebral infarct volume. After being rapid-frozen in −20 °C for 20 min, the brain tissues were sliced into 2 mm thick section. And the slices were stained in 2% TTC for 20 min and fixed in 4% paraformaldehyde buffer. The infarcted brain tissue appeared white, whereas the normal tissues showed a red colour. The sections were photographed and the infarct volumes were measured using Image J software.\nTTC staining method was used to measure the cerebral infarct volume. After being rapid-frozen in −20 °C for 20 min, the brain tissues were sliced into 2 mm thick section. And the slices were stained in 2% TTC for 20 min and fixed in 4% paraformaldehyde buffer. The infarcted brain tissue appeared white, whereas the normal tissues showed a red colour. The sections were photographed and the infarct volumes were measured using Image J software.\nWestern blot Western blotting was used to detect the expression of proteins involved in apoptosis, angiogenesis and the MEK/ERK signalling pathway at 24 h after administration. Total protein was extracted using protein extraction kit, according to the manufacturer’s instructions and the protein concentration were measured with BCA method. Protein samples (40 μg) were subjected to 10% SDS-polyacrylamide gels electrophoresis (SDS-PAGE) to separate. Then transferred to poly-vinylidnene fluoride (PVDF, Millipore) membranes and blocked in PBST solution with 5% non-fat milk. The membranes were incubated in primary antibodies against brain derived neurotrophic factor (BDNF), nerve growth factor (NGF), Bax, Bcl-2, VEGF, FGF2, MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 (1:2000 dilution, Proteintech, USA) at 4 °C overnight. Secondary antibodies: HRP-conjugated anti-mouse or anti-rabbit IgG (1:5000, Proteintech, USA) were incubated 1 h at 37 °C. Finally, the enhanced chemiluminescent reagent (Thermo Fisher, USA) was added in the membranes and band intensity signals were observed. GAPDH was used as an internal reference, and the optical densities of protein bands were analysed by Image J software to represent the relative expression of target protein.\nWestern blotting was used to detect the expression of proteins involved in apoptosis, angiogenesis and the MEK/ERK signalling pathway at 24 h after administration. Total protein was extracted using protein extraction kit, according to the manufacturer’s instructions and the protein concentration were measured with BCA method. Protein samples (40 μg) were subjected to 10% SDS-polyacrylamide gels electrophoresis (SDS-PAGE) to separate. Then transferred to poly-vinylidnene fluoride (PVDF, Millipore) membranes and blocked in PBST solution with 5% non-fat milk. The membranes were incubated in primary antibodies against brain derived neurotrophic factor (BDNF), nerve growth factor (NGF), Bax, Bcl-2, VEGF, FGF2, MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 (1:2000 dilution, Proteintech, USA) at 4 °C overnight. Secondary antibodies: HRP-conjugated anti-mouse or anti-rabbit IgG (1:5000, Proteintech, USA) were incubated 1 h at 37 °C. Finally, the enhanced chemiluminescent reagent (Thermo Fisher, USA) was added in the membranes and band intensity signals were observed. GAPDH was used as an internal reference, and the optical densities of protein bands were analysed by Image J software to represent the relative expression of target protein.\nHaematoxylin eosin (HE) staining After completing neurological deficits evaluation, the rats were decapitated under deep anaesthesia. The brains were rapidly removed, the hippocampus was separated, fixed in 10% formalin solution and embedded in paraffin. Coronal sections (4 μm) were obtained and stained with haematoxylin-eosin (HE) solution for the histopathological examination. The scores of histopathological damages were determined as follows: 0, no morphological damage; 1, (slight) edoema or dark neurons; 2, (moderate), edoema or haemorrhages; 3, (severe) local necrosis.\nAfter completing neurological deficits evaluation, the rats were decapitated under deep anaesthesia. The brains were rapidly removed, the hippocampus was separated, fixed in 10% formalin solution and embedded in paraffin. Coronal sections (4 μm) were obtained and stained with haematoxylin-eosin (HE) solution for the histopathological examination. The scores of histopathological damages were determined as follows: 0, no morphological damage; 1, (slight) edoema or dark neurons; 2, (moderate), edoema or haemorrhages; 3, (severe) local necrosis.\nTerminal deoxynucleotidyl transferase dUTP nick end-labelling (TUNEL) assay Apoptosis was examined by TUNEL assay. The histological sections (4 μm) were obtained from the paraffin-embedded brains. TUNEL assay was performed using an in situ apoptosis detection kit, in accordance with the manufacturer’s instruction. The apoptosis cells were identified as cells with brown-stained nuclei. The number of TUNEL-positive cells was counted in each single visual field and the percentage was calculated as follows: TUNEL-positive cells (%) = (the numbers of TUNEL-positive cells/all cells in a single visual field) × 100%.\nApoptosis was examined by TUNEL assay. The histological sections (4 μm) were obtained from the paraffin-embedded brains. TUNEL assay was performed using an in situ apoptosis detection kit, in accordance with the manufacturer’s instruction. The apoptosis cells were identified as cells with brown-stained nuclei. The number of TUNEL-positive cells was counted in each single visual field and the percentage was calculated as follows: TUNEL-positive cells (%) = (the numbers of TUNEL-positive cells/all cells in a single visual field) × 100%.\nImmunohistochemical staining (IHC) The expression of vascular endothelial growth factor (VEGF) in cortical penumbra was detected by IHC staining. Paraffin-embedded brain sections were dewaxed, rehydrated, treated with 0.3% H2O2 for 10 min, and blocked with 5% goat serum for 1 h at 37 °C. Then, the sections were incubated with an anti-VEGF mouse monclonal antibody (1:200, Abcam, USA) at 4 °C overnight. After washing, the secondary antibody: Goat Anti-Mouse HRP-IgG (1:1000) were incubated for 2 h at room temperature. After washing, DAB solution was added into sections to provide the staining for 5 min. And sections were counterstained with haematoxylin and observed under a light microscope. The VEGF-positive cells were characterised by brown granules. The expression of VEGF was represented by the percentage of positive cells in each view at 200× magnification. Five fields were randomly selected in each section.\nThe expression of vascular endothelial growth factor (VEGF) in cortical penumbra was detected by IHC staining. Paraffin-embedded brain sections were dewaxed, rehydrated, treated with 0.3% H2O2 for 10 min, and blocked with 5% goat serum for 1 h at 37 °C. Then, the sections were incubated with an anti-VEGF mouse monclonal antibody (1:200, Abcam, USA) at 4 °C overnight. After washing, the secondary antibody: Goat Anti-Mouse HRP-IgG (1:1000) were incubated for 2 h at room temperature. After washing, DAB solution was added into sections to provide the staining for 5 min. And sections were counterstained with haematoxylin and observed under a light microscope. The VEGF-positive cells were characterised by brown granules. The expression of VEGF was represented by the percentage of positive cells in each view at 200× magnification. Five fields were randomly selected in each section.\nCaspase-3 activity assay Caspase-3 activity of tissue homogenate was measured by Caspase 3 Assay Kit, colorimetric (Sigma-Aldrich, Germany), according to the manufacturer’s protocol.\nCaspase-3 activity of tissue homogenate was measured by Caspase 3 Assay Kit, colorimetric (Sigma-Aldrich, Germany), according to the manufacturer’s protocol.\nStatistical analysis The data were analysed by SPSS19.0 software. Measurement data were presented as means ± standard deviation from at least three repeated experiments, and the comparison among multiple groups were analysed by one-way analysis of variance, between-group differences were detected by Tukey’s post hoc test. p < 0.05 was considered the significant difference.\nThe data were analysed by SPSS19.0 software. Measurement data were presented as means ± standard deviation from at least three repeated experiments, and the comparison among multiple groups were analysed by one-way analysis of variance, between-group differences were detected by Tukey’s post hoc test. p < 0.05 was considered the significant difference.", "Adult male Sprague-Dawley (SD) rats weighing 220–300 g were provided by Laboratory Animal Centre of Shanghai, Chinese Academy of Sciences, and housed in standard cages under controlled temperature of 23 ± 2 °C and a 12-h light/dark cycle, with free access to water and food. All rats were acclimated for 5 days before experimental manipulation. All animal experiments were conducted in accordance with the National Institute of Health Guideline for the Care and Use Committee of Luohe Central Hospital.", "Myrtenol was purchased from Sigma-Aldrich Corporation (W343900, CAS-No.19894-97-4, purity ≥95%; Figure 1). Seventy-five SD rats were randomly divided into five groups (n = 15): sham group: rats were treated with saline but without middle cerebral artery occlusion (MCAO). MCAO group: rats were given with saline alone with cerebral ischaemia/reperfusion (I/R) surgery. MCAO + Myr groups: rats were intraperitoneally injected with 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively (Britto et al. 2018), once daily for seven consecutive days. The remaining 60 SD rats were randomly divided into four groups (n = 15): sham group, MCAO group, MCAO + Myr (50 mg/kg) group: rats were treated as above, MCAO + Myr + U0126 group: rats were intracerebroventricularly injected with 10 μL U0126 (Cell Signalling Technology, USA), a highly selective inhibitor of MEK (Ahnstedt et al. 2015), into the cerebral ischaemia side at 30 min prior to myrtenol treatment, once daily for 7 consecutive days. The intracerebral ventricular injection and the dose of U0126 were based on the work of Ye et al. (2018).\nChemical structure of myrtenol.", "The rat model of focal cerebral I/R by performing MCAO in the left hemisphere, also known as MCAO rats, as previously described (Liu et al. 2018a). All rats were anaesthetized with 10% chloral hydrate by intraperitoneally injection. In brief, the left common carotid artery (CCA) was separated carefully, the external carotid artery (ECA) and internal carotid artery (ICA) were exposed gently. A 3.0 monofilament suture was inserted to cut off the origin of the MCA after clipped the ECA. After 90 min of ischaemia, the monofilament was removed, inducing cerebral reperfusion. Laser Doppler Flowmetry (LDF, PerFlux 5000 Perimed Co., China) was applied to monitor the regional cerebral blood flow (rCBF) during the surgical procedure and at the reperfusion as described previously (Wild et al. 2000). A successful MCAO model was accepted when rCBF < 20% and recovered to higher than 80% of baseline. A total of 135 rats were included in the present experiments. The rats in sham group underwent the same surgery, except that the filament was inserted to cut off the origin of the MCA. The cardiovascular rate and rectal temperature were monitored and maintained during the surgical procedure.", "Twenty-four h after administration, the neurological deficits score of all rats were estimated by a researcher blinded, according to the previous method described by Garcia et al. (1995). The scores were evaluated from motor function and sensory function with minimum neurological deficits score 3 and the maximum 18.", "The memory and learning capacity of rats in each group were evaluated by diving platform experiment and Y maze test. The diving platform instrument (10 cm × 10 cm × 60 cm) consisted of a reflex box divided into 5 rooms by black plastic board. Copper shutter at 0.5 cm intervals connected with a 36 V electrical current were placed on the bottom of the diving platform instrument. An insulated platform (4.0 cm in diameter, 4.0 cm in height) was placed in the back left corner of each room. Y-maze was consisted of three arms (regions I-III, 30 cm l × 8 cm w × 20 cm h), with the arm at a 120° angle from each other. Three were randomly marked as novel arm, star arm, and other arm. The diving platform experiment and the Y-maze testing were performed as the previously reported (Wen et al. 2014; Liu et al. 2019). The memory differences between the rats of different groups were studied by comparing the frequency of mistake of rats jumping from the insulated platform down to the shutter within 5 min. The times of entries into novel arm for each rat were analysed.", "After evaluation of the neurological deficits, all rats were anaesthetized and decapitated rapidly. The brain tissues were removed quickly for the following experiment. The wet weight (A) and dry weight (B, tissues were dried in an oven for 24 h) of brain tissue from three rats in each group were weighed. The brain water content was calculated in accordance with the formula: Brain water content = (A - B)/A × 100%.", "TTC staining method was used to measure the cerebral infarct volume. After being rapid-frozen in −20 °C for 20 min, the brain tissues were sliced into 2 mm thick section. And the slices were stained in 2% TTC for 20 min and fixed in 4% paraformaldehyde buffer. The infarcted brain tissue appeared white, whereas the normal tissues showed a red colour. The sections were photographed and the infarct volumes were measured using Image J software.", "Western blotting was used to detect the expression of proteins involved in apoptosis, angiogenesis and the MEK/ERK signalling pathway at 24 h after administration. Total protein was extracted using protein extraction kit, according to the manufacturer’s instructions and the protein concentration were measured with BCA method. Protein samples (40 μg) were subjected to 10% SDS-polyacrylamide gels electrophoresis (SDS-PAGE) to separate. Then transferred to poly-vinylidnene fluoride (PVDF, Millipore) membranes and blocked in PBST solution with 5% non-fat milk. The membranes were incubated in primary antibodies against brain derived neurotrophic factor (BDNF), nerve growth factor (NGF), Bax, Bcl-2, VEGF, FGF2, MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 (1:2000 dilution, Proteintech, USA) at 4 °C overnight. Secondary antibodies: HRP-conjugated anti-mouse or anti-rabbit IgG (1:5000, Proteintech, USA) were incubated 1 h at 37 °C. Finally, the enhanced chemiluminescent reagent (Thermo Fisher, USA) was added in the membranes and band intensity signals were observed. GAPDH was used as an internal reference, and the optical densities of protein bands were analysed by Image J software to represent the relative expression of target protein.", "After completing neurological deficits evaluation, the rats were decapitated under deep anaesthesia. The brains were rapidly removed, the hippocampus was separated, fixed in 10% formalin solution and embedded in paraffin. Coronal sections (4 μm) were obtained and stained with haematoxylin-eosin (HE) solution for the histopathological examination. The scores of histopathological damages were determined as follows: 0, no morphological damage; 1, (slight) edoema or dark neurons; 2, (moderate), edoema or haemorrhages; 3, (severe) local necrosis.", "Apoptosis was examined by TUNEL assay. The histological sections (4 μm) were obtained from the paraffin-embedded brains. TUNEL assay was performed using an in situ apoptosis detection kit, in accordance with the manufacturer’s instruction. The apoptosis cells were identified as cells with brown-stained nuclei. The number of TUNEL-positive cells was counted in each single visual field and the percentage was calculated as follows: TUNEL-positive cells (%) = (the numbers of TUNEL-positive cells/all cells in a single visual field) × 100%.", "The expression of vascular endothelial growth factor (VEGF) in cortical penumbra was detected by IHC staining. Paraffin-embedded brain sections were dewaxed, rehydrated, treated with 0.3% H2O2 for 10 min, and blocked with 5% goat serum for 1 h at 37 °C. Then, the sections were incubated with an anti-VEGF mouse monclonal antibody (1:200, Abcam, USA) at 4 °C overnight. After washing, the secondary antibody: Goat Anti-Mouse HRP-IgG (1:1000) were incubated for 2 h at room temperature. After washing, DAB solution was added into sections to provide the staining for 5 min. And sections were counterstained with haematoxylin and observed under a light microscope. The VEGF-positive cells were characterised by brown granules. The expression of VEGF was represented by the percentage of positive cells in each view at 200× magnification. Five fields were randomly selected in each section.", "Caspase-3 activity of tissue homogenate was measured by Caspase 3 Assay Kit, colorimetric (Sigma-Aldrich, Germany), according to the manufacturer’s protocol.", "The data were analysed by SPSS19.0 software. Measurement data were presented as means ± standard deviation from at least three repeated experiments, and the comparison among multiple groups were analysed by one-way analysis of variance, between-group differences were detected by Tukey’s post hoc test. p < 0.05 was considered the significant difference.", "Myrtenol improved neurological function and cerebral infarction of MCAO rats Rats subjected to 90 min of MCAO followed by reperfusion were used to simulate the pathology of cerebral I/R injury. To assess the effects of myrtenol on cerebral I/R injury, myrtenol (10, 30, or 50 mg/kg) were intraperitoneally injected into MCAO rats. MCAO rats showed prominent neurological deficit, while myrtenol could ameliorate the neurological function of MCAO rats (p < 0.05 vs. sham group; Figure 2(A)). The memory and learning capacity were also assessed using diving platform experiment and Y-maze test. As shown in Figure 2(B,C), myrtenol could decrease the frequency of mistakes in the diving platform experiment (2.02 ± 0.98% for 10 mg/kg myrtenol group, 1.07 ± 0.93% for 30 mg/kg myrtenol group, 0.82 ± 0.21% for 50 mg/kg myrtenol group; p < 0.05), whereas increase the times of entries arm in Y-maze test of MCAO rats (15.03 ± 5.04% for 10 mg/kg myrtenol group, 22.14 ± 4.96% for 30 mg/kg myrtenol group, 27.97 ± 4.02% for 50 mg/kg myrtenol group; p < 0.05). Additionally, myrtenol could reduce cerebral edoema in MCAO rats, which was confirmed by the reduced brain water content (p < 0.05 vs. sham group; Figure 2(D)). Moreover, TTC staining was performed to assess the cerebral infarction of MCAO rats. As expected, myrtenol treatment markedly attenuate the cerebral infarct volume of MCAO rats (34.11 ± 6.02% for 10 mg/kg myrtenol group, 26.06 ± 5.33% for 30 mg/kg myrtenol group, 18.16 ± 4.08% for 50 mg/kg myrtenol group; p < 0.05; Figure 2(E)).\nWe also evaluated the expression of brain-derived neurotrophic factor (BDNF) and nerve growth factor (NGF) in hippocampus, which are considered to be the most important neurotrophins closely related to cognitive function. Western blot assay showed that MCAO could down-regulated the expression of BDNF and NGF in brain tissues of rats, while myrtenol treatment could restore the expression of BDNF and NGF (p < 0.05 vs. sham group Figure 2(F–H)). The results suggested that myrtenol could improve the neurological function and reduced the cerebral infarct volume in the rats with cerebral I/R.\nMyrtenol improved neurological function and cerebral infarction of MCAO rats. (A) The neurological score of rats in each group at 24 h after administration (n = 15). (B) The frequency of mistakes by rats in each group was detected by diving platform experiment (n = 15). (C) The times of entries arm of rats in each group was detected by Y-maze testing (n = 15). (D) The brain water content of rats in each group (n = 5). (E) Effect of myrtenol on the cerebral infarct volume of rats in each group was measured by TTC staining (n = 4). (F-H) The expression of BDNF and NGF in brain tissues of rats in each group was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Except for the sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. Sham group and MCAO group, given saline after cerebral I/R surgery. MCAO + Myr groups, administered 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively. All rats were treated once daily for seven consecutive days.\nRats subjected to 90 min of MCAO followed by reperfusion were used to simulate the pathology of cerebral I/R injury. To assess the effects of myrtenol on cerebral I/R injury, myrtenol (10, 30, or 50 mg/kg) were intraperitoneally injected into MCAO rats. MCAO rats showed prominent neurological deficit, while myrtenol could ameliorate the neurological function of MCAO rats (p < 0.05 vs. sham group; Figure 2(A)). The memory and learning capacity were also assessed using diving platform experiment and Y-maze test. As shown in Figure 2(B,C), myrtenol could decrease the frequency of mistakes in the diving platform experiment (2.02 ± 0.98% for 10 mg/kg myrtenol group, 1.07 ± 0.93% for 30 mg/kg myrtenol group, 0.82 ± 0.21% for 50 mg/kg myrtenol group; p < 0.05), whereas increase the times of entries arm in Y-maze test of MCAO rats (15.03 ± 5.04% for 10 mg/kg myrtenol group, 22.14 ± 4.96% for 30 mg/kg myrtenol group, 27.97 ± 4.02% for 50 mg/kg myrtenol group; p < 0.05). Additionally, myrtenol could reduce cerebral edoema in MCAO rats, which was confirmed by the reduced brain water content (p < 0.05 vs. sham group; Figure 2(D)). Moreover, TTC staining was performed to assess the cerebral infarction of MCAO rats. As expected, myrtenol treatment markedly attenuate the cerebral infarct volume of MCAO rats (34.11 ± 6.02% for 10 mg/kg myrtenol group, 26.06 ± 5.33% for 30 mg/kg myrtenol group, 18.16 ± 4.08% for 50 mg/kg myrtenol group; p < 0.05; Figure 2(E)).\nWe also evaluated the expression of brain-derived neurotrophic factor (BDNF) and nerve growth factor (NGF) in hippocampus, which are considered to be the most important neurotrophins closely related to cognitive function. Western blot assay showed that MCAO could down-regulated the expression of BDNF and NGF in brain tissues of rats, while myrtenol treatment could restore the expression of BDNF and NGF (p < 0.05 vs. sham group Figure 2(F–H)). The results suggested that myrtenol could improve the neurological function and reduced the cerebral infarct volume in the rats with cerebral I/R.\nMyrtenol improved neurological function and cerebral infarction of MCAO rats. (A) The neurological score of rats in each group at 24 h after administration (n = 15). (B) The frequency of mistakes by rats in each group was detected by diving platform experiment (n = 15). (C) The times of entries arm of rats in each group was detected by Y-maze testing (n = 15). (D) The brain water content of rats in each group (n = 5). (E) Effect of myrtenol on the cerebral infarct volume of rats in each group was measured by TTC staining (n = 4). (F-H) The expression of BDNF and NGF in brain tissues of rats in each group was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Except for the sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. Sham group and MCAO group, given saline after cerebral I/R surgery. MCAO + Myr groups, administered 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively. All rats were treated once daily for seven consecutive days.\nMyrtenol improved hippocampus and reduced cell apoptosis in MCAO rats Cerebral ischaemia is often accompanied by morphological and functional changes in the hippocampus (Li et al. 2020). Therefore, the histopathological damage of hippocampus was evaluated by HE staining. In the sham group, the cell outline was clear and structure was compact, the nucleolus was clearly visible, without interstitial. However, cells were arranged sparsely and structure was disorder in the MCAO group. Additionally, nerve cells swelling, interstitial oedema, nerve cell deformation, nuclear pyknosis and tissue necrosis were also found in the hippocampus of MCAO rats. Myrtenol treatment could improve nerve cell swelling, interstitial edoema, cell degeneration and necrosis (Figure 3(A)). TUNEL staining assay revealed that cell apoptosis in the hippocampus of MCAO rats was obviously increased (Figure 3(A)). Simultaneously, western blot assays also showed that the expression of Bcl-2 was down-regulated, while Bax was up-regulated in the hippocampus of MCAO rats (p < 0.05; Figure 3(B–D)). Additionally, the caspase-3 activity was also increased in MCAO rats (2.07 ± 0.21%-fold change for 10 mg/kg myrtenol group, 1.78 ± 0.18%-fold change for 30 mg/kg myrtenol group, 1.36 ± 0.19%-fold change for 50 mg/kg myrtenol group; p < 0.05; Figure 3(E)). However, myrtenol treatment could reduce cell apoptosis in brain tissues induced by MCAO (Figure 3(A–E)). The data indicated that myrtenol suppressed the histopathological damage and apoptosis of hippocampus induced by MCAO in vivo.\nMyrtenol improved hippocampus damage and reduced cell apoptosis in MCAO rats. (A) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (B–D) The expression of apoptosis marker protein, Bcl-2 and Bax, in hippocampus of rats in each group was detected by western blot (n = 6). (E) The caspase-3 activity in hippocampus of rats in each group (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group.\nCerebral ischaemia is often accompanied by morphological and functional changes in the hippocampus (Li et al. 2020). Therefore, the histopathological damage of hippocampus was evaluated by HE staining. In the sham group, the cell outline was clear and structure was compact, the nucleolus was clearly visible, without interstitial. However, cells were arranged sparsely and structure was disorder in the MCAO group. Additionally, nerve cells swelling, interstitial oedema, nerve cell deformation, nuclear pyknosis and tissue necrosis were also found in the hippocampus of MCAO rats. Myrtenol treatment could improve nerve cell swelling, interstitial edoema, cell degeneration and necrosis (Figure 3(A)). TUNEL staining assay revealed that cell apoptosis in the hippocampus of MCAO rats was obviously increased (Figure 3(A)). Simultaneously, western blot assays also showed that the expression of Bcl-2 was down-regulated, while Bax was up-regulated in the hippocampus of MCAO rats (p < 0.05; Figure 3(B–D)). Additionally, the caspase-3 activity was also increased in MCAO rats (2.07 ± 0.21%-fold change for 10 mg/kg myrtenol group, 1.78 ± 0.18%-fold change for 30 mg/kg myrtenol group, 1.36 ± 0.19%-fold change for 50 mg/kg myrtenol group; p < 0.05; Figure 3(E)). However, myrtenol treatment could reduce cell apoptosis in brain tissues induced by MCAO (Figure 3(A–E)). The data indicated that myrtenol suppressed the histopathological damage and apoptosis of hippocampus induced by MCAO in vivo.\nMyrtenol improved hippocampus damage and reduced cell apoptosis in MCAO rats. (A) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (B–D) The expression of apoptosis marker protein, Bcl-2 and Bax, in hippocampus of rats in each group was detected by western blot (n = 6). (E) The caspase-3 activity in hippocampus of rats in each group (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group.\nMyrtenol promoted angiogenesis in MCAO rats Angiogenesis in ischaemic penumbra is one of the important early events after cerebral ischaemia (Taguchi et al. 2004). To further evaluate whether myrtenol affects angiogenesis in ischaemic penumbra of MCAO rats, we detected the expression of pro-angiogenic factors VEGF and FGF2. The IHC showed that the positive expression of VEGF in ischaemic penumbra of MCAO rats was lower than that in the sham group, while myrtenol treatment could increase the positive staining of VEGF to a certain extent (Figure 4(A,B)). Furthermore, western blot assay also showed increased expression of VEGF and FGF2 in MCAO rats (p < 0.05 vs. sham group), whereas myrtenol treatment could markedly increase the expression of VEGF and FGF2 in brain tissues of MCAO rats (p < 0.05 vs. MCAO group; Figure 4(C–E)). The results revealed that myrtenol could up-regulate the expression of VEGF and FGF2 to promote angiogenesis.\nMytenol promoted angiogenesis in MCAO rats. (A–B) VEGF expression in ischaemic penumbra were determined by IHC staining (n = 6). (C–E) The relative expression of VEGF and FGF2 protein was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group.\nAngiogenesis in ischaemic penumbra is one of the important early events after cerebral ischaemia (Taguchi et al. 2004). To further evaluate whether myrtenol affects angiogenesis in ischaemic penumbra of MCAO rats, we detected the expression of pro-angiogenic factors VEGF and FGF2. The IHC showed that the positive expression of VEGF in ischaemic penumbra of MCAO rats was lower than that in the sham group, while myrtenol treatment could increase the positive staining of VEGF to a certain extent (Figure 4(A,B)). Furthermore, western blot assay also showed increased expression of VEGF and FGF2 in MCAO rats (p < 0.05 vs. sham group), whereas myrtenol treatment could markedly increase the expression of VEGF and FGF2 in brain tissues of MCAO rats (p < 0.05 vs. MCAO group; Figure 4(C–E)). The results revealed that myrtenol could up-regulate the expression of VEGF and FGF2 to promote angiogenesis.\nMytenol promoted angiogenesis in MCAO rats. (A–B) VEGF expression in ischaemic penumbra were determined by IHC staining (n = 6). (C–E) The relative expression of VEGF and FGF2 protein was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group.\nMyrtenol activated ERK1/2 signalling pathway in MCAO rats The ERK1/2 signalling pathway has been identified as a potentially important role in cerebral ischaemia reperfusion injury (Shi et al. 2021). Western blot assay confirmed the inhibition of the ERK1/2 pathway in the brain tissues of MCAO rats, which was manifested by increased phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. sham group; Figure 5(A–C)). Myrtenol treatment could increase the phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. MCAO group; Figure 5(A–C)), suggesting that myrtenol activated the ERK1/2 signalling pathway. We also performed rescue experiments by using U0126, the specific inhibitor of ERK1/2 pathway. The activation of myrtenol on the ERK1/2 pathway could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 5(D–F)).\nMytenol activated ERK1/2 signalling pathway in MCAO rats. (A) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (B–C) The relative expression ratio of p-MEK1/2/MEK1/2, p-ERK1/2/ERK1/2. (D) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (E-F): MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. n = 6. Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group.\nThe ERK1/2 signalling pathway has been identified as a potentially important role in cerebral ischaemia reperfusion injury (Shi et al. 2021). Western blot assay confirmed the inhibition of the ERK1/2 pathway in the brain tissues of MCAO rats, which was manifested by increased phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. sham group; Figure 5(A–C)). Myrtenol treatment could increase the phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. MCAO group; Figure 5(A–C)), suggesting that myrtenol activated the ERK1/2 signalling pathway. We also performed rescue experiments by using U0126, the specific inhibitor of ERK1/2 pathway. The activation of myrtenol on the ERK1/2 pathway could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 5(D–F)).\nMytenol activated ERK1/2 signalling pathway in MCAO rats. (A) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (B–C) The relative expression ratio of p-MEK1/2/MEK1/2, p-ERK1/2/ERK1/2. (D) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (E-F): MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. n = 6. Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group.\nU0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in rats with cerebral I/R Next, we explored whether myrtenol improved brain damage and angiogenesis by activating the ERK1/2 signalling pathway. Diving platform experiment and Y-maze test showed that U0126 could suppress the improvement of myrtenol on memory and learning capacity of MCAO rats (p < 0.05 vs. MCAO + Myr group; Figure 6(A)). Similarly, U0126 also restrained the inhibitory effect of myrtenol on cerebral edoema (p < 0.05 vs. MCAO + Myr group; Figure 6(B)). Additionally, the increased expression of BDNF and NGF in MCAO rats treated with myrtenol could be abolished by U0126 pre-treatment (p < 0.05 vs. MCAO + Myr group; Figure 6(C)). The HE staining also showed that the U0126 could eliminate the improvement effect of myrtenol on brain tissue damage in MCAO rats (Figure 6(D)). Similarly, TUNEL assay also showed that U0126 treatment could reverse the inhibitory effect of myrtenol on MCAO-induced apoptosis (Figure 6(D and E)). Consistently, the inhibition of Bax expression and caspase-3, as well as the promotion of Bcl-2 expression induced by myrtenol treated in MCAO rats could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 6(F and G)). Additionally, U0126 also eliminated the promotion of myrtenol on angiogenesis in the brain tissues of MCAO rats, which was demonstrated by inhibiting the expression of VEGF and FGF2 (p < 0.05 vs. MCAO + Myr group; Figure 6(H and I)). Collectively, U0126 reversed the protective effect of myrtenol on cerebral I/R injury, which was associated with the improvement of brain damage and angiogenesis.\nU0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in MCAO rats. (A) Frequency of mistakes, times of entries arm of rat in each group were detected by diving platform experiment, Y-maze testing (n = 15). (B) Brain oedema was assessed by brain water content (n = 5). (C) Relative expression of BDNG and NGF in brain tissues was detected by western blot (n = 6). (D–E) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (F) Relative expression of Bcl-2, Bax was detected by western blot (n = 6). (G) The caspase-3 activity. (H) IHC staining showed the VEGF positive cells (n = 6). (I) Relative expression of VEGF and FGF2 was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. **p < 0.01. Except for sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. sham group and MCAO group, given with saline after cerebral I/R surgery. MCAO + Myr group, administered 50 mg/kg myrtenol after cerebral I/R surgery; MCAO + Myr + U0126 group, injected with U0126 at 30 min prior to myrtenol treatment. All rats were administered once daily for 7 consecutive days.\nNext, we explored whether myrtenol improved brain damage and angiogenesis by activating the ERK1/2 signalling pathway. Diving platform experiment and Y-maze test showed that U0126 could suppress the improvement of myrtenol on memory and learning capacity of MCAO rats (p < 0.05 vs. MCAO + Myr group; Figure 6(A)). Similarly, U0126 also restrained the inhibitory effect of myrtenol on cerebral edoema (p < 0.05 vs. MCAO + Myr group; Figure 6(B)). Additionally, the increased expression of BDNF and NGF in MCAO rats treated with myrtenol could be abolished by U0126 pre-treatment (p < 0.05 vs. MCAO + Myr group; Figure 6(C)). The HE staining also showed that the U0126 could eliminate the improvement effect of myrtenol on brain tissue damage in MCAO rats (Figure 6(D)). Similarly, TUNEL assay also showed that U0126 treatment could reverse the inhibitory effect of myrtenol on MCAO-induced apoptosis (Figure 6(D and E)). Consistently, the inhibition of Bax expression and caspase-3, as well as the promotion of Bcl-2 expression induced by myrtenol treated in MCAO rats could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 6(F and G)). Additionally, U0126 also eliminated the promotion of myrtenol on angiogenesis in the brain tissues of MCAO rats, which was demonstrated by inhibiting the expression of VEGF and FGF2 (p < 0.05 vs. MCAO + Myr group; Figure 6(H and I)). Collectively, U0126 reversed the protective effect of myrtenol on cerebral I/R injury, which was associated with the improvement of brain damage and angiogenesis.\nU0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in MCAO rats. (A) Frequency of mistakes, times of entries arm of rat in each group were detected by diving platform experiment, Y-maze testing (n = 15). (B) Brain oedema was assessed by brain water content (n = 5). (C) Relative expression of BDNG and NGF in brain tissues was detected by western blot (n = 6). (D–E) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (F) Relative expression of Bcl-2, Bax was detected by western blot (n = 6). (G) The caspase-3 activity. (H) IHC staining showed the VEGF positive cells (n = 6). (I) Relative expression of VEGF and FGF2 was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. **p < 0.01. Except for sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. sham group and MCAO group, given with saline after cerebral I/R surgery. MCAO + Myr group, administered 50 mg/kg myrtenol after cerebral I/R surgery; MCAO + Myr + U0126 group, injected with U0126 at 30 min prior to myrtenol treatment. All rats were administered once daily for 7 consecutive days.", "Rats subjected to 90 min of MCAO followed by reperfusion were used to simulate the pathology of cerebral I/R injury. To assess the effects of myrtenol on cerebral I/R injury, myrtenol (10, 30, or 50 mg/kg) were intraperitoneally injected into MCAO rats. MCAO rats showed prominent neurological deficit, while myrtenol could ameliorate the neurological function of MCAO rats (p < 0.05 vs. sham group; Figure 2(A)). The memory and learning capacity were also assessed using diving platform experiment and Y-maze test. As shown in Figure 2(B,C), myrtenol could decrease the frequency of mistakes in the diving platform experiment (2.02 ± 0.98% for 10 mg/kg myrtenol group, 1.07 ± 0.93% for 30 mg/kg myrtenol group, 0.82 ± 0.21% for 50 mg/kg myrtenol group; p < 0.05), whereas increase the times of entries arm in Y-maze test of MCAO rats (15.03 ± 5.04% for 10 mg/kg myrtenol group, 22.14 ± 4.96% for 30 mg/kg myrtenol group, 27.97 ± 4.02% for 50 mg/kg myrtenol group; p < 0.05). Additionally, myrtenol could reduce cerebral edoema in MCAO rats, which was confirmed by the reduced brain water content (p < 0.05 vs. sham group; Figure 2(D)). Moreover, TTC staining was performed to assess the cerebral infarction of MCAO rats. As expected, myrtenol treatment markedly attenuate the cerebral infarct volume of MCAO rats (34.11 ± 6.02% for 10 mg/kg myrtenol group, 26.06 ± 5.33% for 30 mg/kg myrtenol group, 18.16 ± 4.08% for 50 mg/kg myrtenol group; p < 0.05; Figure 2(E)).\nWe also evaluated the expression of brain-derived neurotrophic factor (BDNF) and nerve growth factor (NGF) in hippocampus, which are considered to be the most important neurotrophins closely related to cognitive function. Western blot assay showed that MCAO could down-regulated the expression of BDNF and NGF in brain tissues of rats, while myrtenol treatment could restore the expression of BDNF and NGF (p < 0.05 vs. sham group Figure 2(F–H)). The results suggested that myrtenol could improve the neurological function and reduced the cerebral infarct volume in the rats with cerebral I/R.\nMyrtenol improved neurological function and cerebral infarction of MCAO rats. (A) The neurological score of rats in each group at 24 h after administration (n = 15). (B) The frequency of mistakes by rats in each group was detected by diving platform experiment (n = 15). (C) The times of entries arm of rats in each group was detected by Y-maze testing (n = 15). (D) The brain water content of rats in each group (n = 5). (E) Effect of myrtenol on the cerebral infarct volume of rats in each group was measured by TTC staining (n = 4). (F-H) The expression of BDNF and NGF in brain tissues of rats in each group was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Except for the sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. Sham group and MCAO group, given saline after cerebral I/R surgery. MCAO + Myr groups, administered 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively. All rats were treated once daily for seven consecutive days.", "Cerebral ischaemia is often accompanied by morphological and functional changes in the hippocampus (Li et al. 2020). Therefore, the histopathological damage of hippocampus was evaluated by HE staining. In the sham group, the cell outline was clear and structure was compact, the nucleolus was clearly visible, without interstitial. However, cells were arranged sparsely and structure was disorder in the MCAO group. Additionally, nerve cells swelling, interstitial oedema, nerve cell deformation, nuclear pyknosis and tissue necrosis were also found in the hippocampus of MCAO rats. Myrtenol treatment could improve nerve cell swelling, interstitial edoema, cell degeneration and necrosis (Figure 3(A)). TUNEL staining assay revealed that cell apoptosis in the hippocampus of MCAO rats was obviously increased (Figure 3(A)). Simultaneously, western blot assays also showed that the expression of Bcl-2 was down-regulated, while Bax was up-regulated in the hippocampus of MCAO rats (p < 0.05; Figure 3(B–D)). Additionally, the caspase-3 activity was also increased in MCAO rats (2.07 ± 0.21%-fold change for 10 mg/kg myrtenol group, 1.78 ± 0.18%-fold change for 30 mg/kg myrtenol group, 1.36 ± 0.19%-fold change for 50 mg/kg myrtenol group; p < 0.05; Figure 3(E)). However, myrtenol treatment could reduce cell apoptosis in brain tissues induced by MCAO (Figure 3(A–E)). The data indicated that myrtenol suppressed the histopathological damage and apoptosis of hippocampus induced by MCAO in vivo.\nMyrtenol improved hippocampus damage and reduced cell apoptosis in MCAO rats. (A) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (B–D) The expression of apoptosis marker protein, Bcl-2 and Bax, in hippocampus of rats in each group was detected by western blot (n = 6). (E) The caspase-3 activity in hippocampus of rats in each group (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group.", "Angiogenesis in ischaemic penumbra is one of the important early events after cerebral ischaemia (Taguchi et al. 2004). To further evaluate whether myrtenol affects angiogenesis in ischaemic penumbra of MCAO rats, we detected the expression of pro-angiogenic factors VEGF and FGF2. The IHC showed that the positive expression of VEGF in ischaemic penumbra of MCAO rats was lower than that in the sham group, while myrtenol treatment could increase the positive staining of VEGF to a certain extent (Figure 4(A,B)). Furthermore, western blot assay also showed increased expression of VEGF and FGF2 in MCAO rats (p < 0.05 vs. sham group), whereas myrtenol treatment could markedly increase the expression of VEGF and FGF2 in brain tissues of MCAO rats (p < 0.05 vs. MCAO group; Figure 4(C–E)). The results revealed that myrtenol could up-regulate the expression of VEGF and FGF2 to promote angiogenesis.\nMytenol promoted angiogenesis in MCAO rats. (A–B) VEGF expression in ischaemic penumbra were determined by IHC staining (n = 6). (C–E) The relative expression of VEGF and FGF2 protein was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group.", "The ERK1/2 signalling pathway has been identified as a potentially important role in cerebral ischaemia reperfusion injury (Shi et al. 2021). Western blot assay confirmed the inhibition of the ERK1/2 pathway in the brain tissues of MCAO rats, which was manifested by increased phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. sham group; Figure 5(A–C)). Myrtenol treatment could increase the phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. MCAO group; Figure 5(A–C)), suggesting that myrtenol activated the ERK1/2 signalling pathway. We also performed rescue experiments by using U0126, the specific inhibitor of ERK1/2 pathway. The activation of myrtenol on the ERK1/2 pathway could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 5(D–F)).\nMytenol activated ERK1/2 signalling pathway in MCAO rats. (A) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (B–C) The relative expression ratio of p-MEK1/2/MEK1/2, p-ERK1/2/ERK1/2. (D) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (E-F): MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. n = 6. Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group.", "Next, we explored whether myrtenol improved brain damage and angiogenesis by activating the ERK1/2 signalling pathway. Diving platform experiment and Y-maze test showed that U0126 could suppress the improvement of myrtenol on memory and learning capacity of MCAO rats (p < 0.05 vs. MCAO + Myr group; Figure 6(A)). Similarly, U0126 also restrained the inhibitory effect of myrtenol on cerebral edoema (p < 0.05 vs. MCAO + Myr group; Figure 6(B)). Additionally, the increased expression of BDNF and NGF in MCAO rats treated with myrtenol could be abolished by U0126 pre-treatment (p < 0.05 vs. MCAO + Myr group; Figure 6(C)). The HE staining also showed that the U0126 could eliminate the improvement effect of myrtenol on brain tissue damage in MCAO rats (Figure 6(D)). Similarly, TUNEL assay also showed that U0126 treatment could reverse the inhibitory effect of myrtenol on MCAO-induced apoptosis (Figure 6(D and E)). Consistently, the inhibition of Bax expression and caspase-3, as well as the promotion of Bcl-2 expression induced by myrtenol treated in MCAO rats could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 6(F and G)). Additionally, U0126 also eliminated the promotion of myrtenol on angiogenesis in the brain tissues of MCAO rats, which was demonstrated by inhibiting the expression of VEGF and FGF2 (p < 0.05 vs. MCAO + Myr group; Figure 6(H and I)). Collectively, U0126 reversed the protective effect of myrtenol on cerebral I/R injury, which was associated with the improvement of brain damage and angiogenesis.\nU0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in MCAO rats. (A) Frequency of mistakes, times of entries arm of rat in each group were detected by diving platform experiment, Y-maze testing (n = 15). (B) Brain oedema was assessed by brain water content (n = 5). (C) Relative expression of BDNG and NGF in brain tissues was detected by western blot (n = 6). (D–E) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (F) Relative expression of Bcl-2, Bax was detected by western blot (n = 6). (G) The caspase-3 activity. (H) IHC staining showed the VEGF positive cells (n = 6). (I) Relative expression of VEGF and FGF2 was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. **p < 0.01. Except for sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. sham group and MCAO group, given with saline after cerebral I/R surgery. MCAO + Myr group, administered 50 mg/kg myrtenol after cerebral I/R surgery; MCAO + Myr + U0126 group, injected with U0126 at 30 min prior to myrtenol treatment. All rats were administered once daily for 7 consecutive days.", "Cerebral I/R injury often accompany by high mortality and long-term disabilities. As a member of bicyclic monoterpene alcohols family, the traditional medicine myrtenol presented important biological properties and therapeutic potential, such as anti-inflammatory, antioxidant (Viana et al. 2019). However, the role of myrtenol in cerebral I/R injury is unclear. It is worth noting that Britto et al. (2018) revealed myrtenol protected heart against myocardial I/R injury by anti-apoptotic and antioxidant. In this study, the results showed that myrtenol treatment could improve neurological function, cerebral infarction and brain tissue pathological damage of MCAO rats. Additionally, the protective effect of myrtenol on MCAO rats was related to its inhibition of hippocampal neuronal apoptosis and promotion of cerebral angiogenesis, which may be achieved by activating ERK1/2 signalling pathway. Our findings provided evidence indicating that myrtenol may become a promising drug for the therapy of CI injury.\nApoptosis is a vital pathophysiological mechanism associated with I/R, and reperfusion could accelerate the apoptotic death process induced by ischaemia (Villa et al. 2003). Compelling findings indicate the inhibition of apoptosis as a key protective mechanism against cerebral I/R injury (Baldrati et al. 2020; Yu et al. 2020). Wen et al. (2019) demonstrated that N-Myc downstream-regulated gene 4 (NDRG4) protected cerebral IR injury by inhibiting cell apoptosis and regulated cerebral cell apoptosis by increasing BDNF expression. In this study, the results also revealed that the apoptosis of hippocampal neurons was significantly increased after cerebral I/R injury, and myrtenol could suppress the apoptosis in brain tissues. Bcl-2 family related proteins, including anti-apoptotic proteins (such as Bcl-2, Bcl-xL) and pro-apoptotic proteins (such as Bax, Bcl-xS), has been proven to play an important role in the execution of apoptosis (Sergio et al. 2018). It has been confirmed that Bcl-2 can inhibit oxide-induced apoptosis, while Bax promotes the release of cytochrome C and activates caspase-3, which is considered to be the ultimate executor of apoptosis (Abu Zeid et al. 2018). In addition, the increase in Bcl-2 expression and the decrease in Bax expression in the hippocampus after ischaemia can protect against cerebral ischaemic injury by reducing neuronal cell apoptosis (Yi et al. 2020). We also found that myrtenol prevented the down-regulation of Bcl-2 and the upregulation of Bax, as well as the activity of caspase-3 induced by MCAO. Therefore, the inhibitory effect of myrtenol on neuronal apoptosis in MCAO rats may involve its regulation of apoptosis-related proteins.\nAngiogenesis is a process of growing new capillaries from pre-existing vessels during some pathophysiological conditions, such as tumour growth, tissue ischaemia (Liu et al. 2014). Emerging evidences have shown that angiogenesis is the most effective way to restore blood supply and improve functional recovery of ischaemic brain tissue, ameliorating cerebral I/R injury (Lapi and Colantuoni 2015; Peng et al. 2019). As a pro-angiogenic factor, VEGF is produced and secreted by many neurovascular cells in brain and considered as a central mediator in post-ischaemic angiogenesis (Liu et al. 2018b). VEGF increases the expression of other pro-angiogenic factors, including fibroblast growth factor 2 (FGF2), which binds to FGF receptors playing a crucial role in the angiogenic process (Liu and Chen 1994; Seo et al. 2013). In this study, we also found that myrtenol promotes angiogenesis, which was demonstrated by the up-regulation of VEGF and FGF2 expression. Relevant studies on drug components to reduce ischaemic stroke by promoting angiogenesis have been widely confirmed. For example, bilobalide benefits post-ischaemia stroke symptoms by promoting angiogenesis and reducing both apoptosis and autophagy (Zheng et al. 2018b), Buyang Huanwu Decoction exerted neuroprotection targeting angiogenesis through the up-regulation of SIRT1/VEGF pathway against cerebral ischaemic injury in rats (Zheng et al. 2018a). We speculated that the improvement effect of myrtenol on cerebral I/R injury may involve its promotion of angiogenesis.\nMEK1/2/ERK1/2 signalling pathway participate in cell growth, apoptosis, and involved in the neuroprotection against ischaemia brain damage, likely playing a critical role in recovery of ischaemia injury (Krylatov et al. 2021). Therefore, we investigated whether the ERK1/2 pathway was related to the protective effect of myrtenol in cerebral I/R injury. We found that myrtenol treatment eliminated the inhibitory effect of the ERK1/2 pathway caused by MCAO, which suggested that the protective effect of myrtenol on cerebral I/R injury may be related to the activation of the ERK1/2 pathway. Additionally, the activation effect of myrtenol on the ERK1/2 pathway could be eliminated by U0126. Consistently, U0126 treatment could reverse the neuroprotective effect of myrtenol on MCAO rats to a certain extent. The ERK1/2 pathway regulates cell apoptosis by regulating Bcl-2 family proteins (Ren et al. 2020). The phosphorylation of ERK1/2 can cause the phosphorylation of Bad protein and make it lose its ability to bind to Bcl-2, which leads to the combination of Bcl-2 and Bax to form a dimer and ultimately increase the cell's resistance to apoptosis. Besides, the induction of ERK1/2 activation is related to the activation of the caspase-8/caspase-3 pathway (Snyder et al. 2010). Moreover, The ERK1/2 pathway is necessary for angiogenesis stimulated by multiple growth factors (such as VEGF and FGF) (Dai et al. 2009). Song et al. (2012) found that inhibition of VEGF receptor-mediated ERK1/2 signalling pathway can inhibit breast cancer cell proliferation and angiogenesis in vitro. Based on these studies, we speculated that the anti-apoptotic and pro-angiogenesis effects of myrtenol in cerebral I/R injury were achieved to some extent by activating the ERK1/2 pathway.", "The data demonstrated that the ERK1/2 signalling pathway contributed to the protective effects of myrtenol against cerebral I/R injury in rats, which was associated with the attenuation of brain damage and angiogenesis. These findings provided further insight into the specific mechanisms of how myrtenol exerted its protective effects on cerebral I/R injury and also provided more theoretical basis for the clinical application of myrtenol." ]
[ "intro", "materials", null, null, null, null, null, null, null, null, null, null, null, null, null, "results", null, null, null, null, null, "discussion", "conclusions" ]
[ "Cerebral ischaemia/reperfusion", "middle cerebral artery occlusion", "neurological deficits", "VEGF" ]
Introduction: Cerebral infarction (CI), also known as cerebral ischaemia stroke, is mainly caused by focal cerebral ischaemia/reperfusion (I/R) injury, with high disability and lethality worldwide (Iizuka et al. 2019). Numerous studies have demonstrated that multiple physiopathologic processes, such as, inflammation, oxidative stress, apoptosis and vascular dysfunction, are involved in the pathogenesis of CI (Dojo Soeandy et al. 2020; Surinkaew et al. 2020; Morris-Blanco et al. 2021). Recently, angiogenesis, which is regulated by a large number of factors, such as vascular endothelial growth factor (VEGF), and fibroblast growth factor 2 (FGF2), has become a hot spot in cerebrovascular disease studies, and enhancing angiogenesis in ischaemia brain tissue might be an effective method for improving blood supply in the brain (Chan et al. 2020; Li et al. 2020). However, the pathogenesis of CI is complicated, and an effective intervention method to prevent or cure the disease has not yet found (Reis et al. 2017). It is a critical to explore an effective multi-target drug to prevent or ameliorate cerebral I/R injury. Myrtenol is a bicyclic alcohol monoterpene which was found in essential oils of several medicinal plants, such as Myrtus communis L. (Myrtaceae), Rhodiola rosea L. (Crassulaceae) (Rosenroot), etc. (Rajizadeh et al. 2019). Several reports have confirmed that myrtenol has anxiolytic, antinociceptive, anti-inflammatory, anticancer, antioxidant, and neuroprotectant properties (Rajizadeh et al. 2019; García et al. 2020; Heimfarth et al. 2020). Myrtenol has been used for treatment of anxiety, gastrointestinal pain, inflammations and infections (Moreira et al. 2014; Viana et al. 2016; Gomes et al. 2017). The protective effect of myrtenol against myocardial I/R injury has been demonstrated (Britto et al. 2018). Although multiple biological actions of myrtenol have been reported, there are no studies on whether the myrtenol is an effective multi-target drug to improve cerebral I/R injury. In the present study, rats with focal cerebral I/R injury were used to investigate the protective effect of myrtenol against cerebral I/R injury and its underlying mechanism. Materials and methods: Animals Adult male Sprague-Dawley (SD) rats weighing 220–300 g were provided by Laboratory Animal Centre of Shanghai, Chinese Academy of Sciences, and housed in standard cages under controlled temperature of 23 ± 2 °C and a 12-h light/dark cycle, with free access to water and food. All rats were acclimated for 5 days before experimental manipulation. All animal experiments were conducted in accordance with the National Institute of Health Guideline for the Care and Use Committee of Luohe Central Hospital. Adult male Sprague-Dawley (SD) rats weighing 220–300 g were provided by Laboratory Animal Centre of Shanghai, Chinese Academy of Sciences, and housed in standard cages under controlled temperature of 23 ± 2 °C and a 12-h light/dark cycle, with free access to water and food. All rats were acclimated for 5 days before experimental manipulation. All animal experiments were conducted in accordance with the National Institute of Health Guideline for the Care and Use Committee of Luohe Central Hospital. Groups and drug administration Myrtenol was purchased from Sigma-Aldrich Corporation (W343900, CAS-No.19894-97-4, purity ≥95%; Figure 1). Seventy-five SD rats were randomly divided into five groups (n = 15): sham group: rats were treated with saline but without middle cerebral artery occlusion (MCAO). MCAO group: rats were given with saline alone with cerebral ischaemia/reperfusion (I/R) surgery. MCAO + Myr groups: rats were intraperitoneally injected with 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively (Britto et al. 2018), once daily for seven consecutive days. The remaining 60 SD rats were randomly divided into four groups (n = 15): sham group, MCAO group, MCAO + Myr (50 mg/kg) group: rats were treated as above, MCAO + Myr + U0126 group: rats were intracerebroventricularly injected with 10 μL U0126 (Cell Signalling Technology, USA), a highly selective inhibitor of MEK (Ahnstedt et al. 2015), into the cerebral ischaemia side at 30 min prior to myrtenol treatment, once daily for 7 consecutive days. The intracerebral ventricular injection and the dose of U0126 were based on the work of Ye et al. (2018). Chemical structure of myrtenol. Myrtenol was purchased from Sigma-Aldrich Corporation (W343900, CAS-No.19894-97-4, purity ≥95%; Figure 1). Seventy-five SD rats were randomly divided into five groups (n = 15): sham group: rats were treated with saline but without middle cerebral artery occlusion (MCAO). MCAO group: rats were given with saline alone with cerebral ischaemia/reperfusion (I/R) surgery. MCAO + Myr groups: rats were intraperitoneally injected with 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively (Britto et al. 2018), once daily for seven consecutive days. The remaining 60 SD rats were randomly divided into four groups (n = 15): sham group, MCAO group, MCAO + Myr (50 mg/kg) group: rats were treated as above, MCAO + Myr + U0126 group: rats were intracerebroventricularly injected with 10 μL U0126 (Cell Signalling Technology, USA), a highly selective inhibitor of MEK (Ahnstedt et al. 2015), into the cerebral ischaemia side at 30 min prior to myrtenol treatment, once daily for 7 consecutive days. The intracerebral ventricular injection and the dose of U0126 were based on the work of Ye et al. (2018). Chemical structure of myrtenol. Focal cerebral I/R model The rat model of focal cerebral I/R by performing MCAO in the left hemisphere, also known as MCAO rats, as previously described (Liu et al. 2018a). All rats were anaesthetized with 10% chloral hydrate by intraperitoneally injection. In brief, the left common carotid artery (CCA) was separated carefully, the external carotid artery (ECA) and internal carotid artery (ICA) were exposed gently. A 3.0 monofilament suture was inserted to cut off the origin of the MCA after clipped the ECA. After 90 min of ischaemia, the monofilament was removed, inducing cerebral reperfusion. Laser Doppler Flowmetry (LDF, PerFlux 5000 Perimed Co., China) was applied to monitor the regional cerebral blood flow (rCBF) during the surgical procedure and at the reperfusion as described previously (Wild et al. 2000). A successful MCAO model was accepted when rCBF < 20% and recovered to higher than 80% of baseline. A total of 135 rats were included in the present experiments. The rats in sham group underwent the same surgery, except that the filament was inserted to cut off the origin of the MCA. The cardiovascular rate and rectal temperature were monitored and maintained during the surgical procedure. The rat model of focal cerebral I/R by performing MCAO in the left hemisphere, also known as MCAO rats, as previously described (Liu et al. 2018a). All rats were anaesthetized with 10% chloral hydrate by intraperitoneally injection. In brief, the left common carotid artery (CCA) was separated carefully, the external carotid artery (ECA) and internal carotid artery (ICA) were exposed gently. A 3.0 monofilament suture was inserted to cut off the origin of the MCA after clipped the ECA. After 90 min of ischaemia, the monofilament was removed, inducing cerebral reperfusion. Laser Doppler Flowmetry (LDF, PerFlux 5000 Perimed Co., China) was applied to monitor the regional cerebral blood flow (rCBF) during the surgical procedure and at the reperfusion as described previously (Wild et al. 2000). A successful MCAO model was accepted when rCBF < 20% and recovered to higher than 80% of baseline. A total of 135 rats were included in the present experiments. The rats in sham group underwent the same surgery, except that the filament was inserted to cut off the origin of the MCA. The cardiovascular rate and rectal temperature were monitored and maintained during the surgical procedure. Neurological deficits evaluation Twenty-four h after administration, the neurological deficits score of all rats were estimated by a researcher blinded, according to the previous method described by Garcia et al. (1995). The scores were evaluated from motor function and sensory function with minimum neurological deficits score 3 and the maximum 18. Twenty-four h after administration, the neurological deficits score of all rats were estimated by a researcher blinded, according to the previous method described by Garcia et al. (1995). The scores were evaluated from motor function and sensory function with minimum neurological deficits score 3 and the maximum 18. Diving platform experiment and Y-maze test The memory and learning capacity of rats in each group were evaluated by diving platform experiment and Y maze test. The diving platform instrument (10 cm × 10 cm × 60 cm) consisted of a reflex box divided into 5 rooms by black plastic board. Copper shutter at 0.5 cm intervals connected with a 36 V electrical current were placed on the bottom of the diving platform instrument. An insulated platform (4.0 cm in diameter, 4.0 cm in height) was placed in the back left corner of each room. Y-maze was consisted of three arms (regions I-III, 30 cm l × 8 cm w × 20 cm h), with the arm at a 120° angle from each other. Three were randomly marked as novel arm, star arm, and other arm. The diving platform experiment and the Y-maze testing were performed as the previously reported (Wen et al. 2014; Liu et al. 2019). The memory differences between the rats of different groups were studied by comparing the frequency of mistake of rats jumping from the insulated platform down to the shutter within 5 min. The times of entries into novel arm for each rat were analysed. The memory and learning capacity of rats in each group were evaluated by diving platform experiment and Y maze test. The diving platform instrument (10 cm × 10 cm × 60 cm) consisted of a reflex box divided into 5 rooms by black plastic board. Copper shutter at 0.5 cm intervals connected with a 36 V electrical current were placed on the bottom of the diving platform instrument. An insulated platform (4.0 cm in diameter, 4.0 cm in height) was placed in the back left corner of each room. Y-maze was consisted of three arms (regions I-III, 30 cm l × 8 cm w × 20 cm h), with the arm at a 120° angle from each other. Three were randomly marked as novel arm, star arm, and other arm. The diving platform experiment and the Y-maze testing were performed as the previously reported (Wen et al. 2014; Liu et al. 2019). The memory differences between the rats of different groups were studied by comparing the frequency of mistake of rats jumping from the insulated platform down to the shutter within 5 min. The times of entries into novel arm for each rat were analysed. Measurement of the brain water content After evaluation of the neurological deficits, all rats were anaesthetized and decapitated rapidly. The brain tissues were removed quickly for the following experiment. The wet weight (A) and dry weight (B, tissues were dried in an oven for 24 h) of brain tissue from three rats in each group were weighed. The brain water content was calculated in accordance with the formula: Brain water content = (A - B)/A × 100%. After evaluation of the neurological deficits, all rats were anaesthetized and decapitated rapidly. The brain tissues were removed quickly for the following experiment. The wet weight (A) and dry weight (B, tissues were dried in an oven for 24 h) of brain tissue from three rats in each group were weighed. The brain water content was calculated in accordance with the formula: Brain water content = (A - B)/A × 100%. 2,3,5-Triphenyltetrazolium chloride (TTC) staining TTC staining method was used to measure the cerebral infarct volume. After being rapid-frozen in −20 °C for 20 min, the brain tissues were sliced into 2 mm thick section. And the slices were stained in 2% TTC for 20 min and fixed in 4% paraformaldehyde buffer. The infarcted brain tissue appeared white, whereas the normal tissues showed a red colour. The sections were photographed and the infarct volumes were measured using Image J software. TTC staining method was used to measure the cerebral infarct volume. After being rapid-frozen in −20 °C for 20 min, the brain tissues were sliced into 2 mm thick section. And the slices were stained in 2% TTC for 20 min and fixed in 4% paraformaldehyde buffer. The infarcted brain tissue appeared white, whereas the normal tissues showed a red colour. The sections were photographed and the infarct volumes were measured using Image J software. Western blot Western blotting was used to detect the expression of proteins involved in apoptosis, angiogenesis and the MEK/ERK signalling pathway at 24 h after administration. Total protein was extracted using protein extraction kit, according to the manufacturer’s instructions and the protein concentration were measured with BCA method. Protein samples (40 μg) were subjected to 10% SDS-polyacrylamide gels electrophoresis (SDS-PAGE) to separate. Then transferred to poly-vinylidnene fluoride (PVDF, Millipore) membranes and blocked in PBST solution with 5% non-fat milk. The membranes were incubated in primary antibodies against brain derived neurotrophic factor (BDNF), nerve growth factor (NGF), Bax, Bcl-2, VEGF, FGF2, MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 (1:2000 dilution, Proteintech, USA) at 4 °C overnight. Secondary antibodies: HRP-conjugated anti-mouse or anti-rabbit IgG (1:5000, Proteintech, USA) were incubated 1 h at 37 °C. Finally, the enhanced chemiluminescent reagent (Thermo Fisher, USA) was added in the membranes and band intensity signals were observed. GAPDH was used as an internal reference, and the optical densities of protein bands were analysed by Image J software to represent the relative expression of target protein. Western blotting was used to detect the expression of proteins involved in apoptosis, angiogenesis and the MEK/ERK signalling pathway at 24 h after administration. Total protein was extracted using protein extraction kit, according to the manufacturer’s instructions and the protein concentration were measured with BCA method. Protein samples (40 μg) were subjected to 10% SDS-polyacrylamide gels electrophoresis (SDS-PAGE) to separate. Then transferred to poly-vinylidnene fluoride (PVDF, Millipore) membranes and blocked in PBST solution with 5% non-fat milk. The membranes were incubated in primary antibodies against brain derived neurotrophic factor (BDNF), nerve growth factor (NGF), Bax, Bcl-2, VEGF, FGF2, MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 (1:2000 dilution, Proteintech, USA) at 4 °C overnight. Secondary antibodies: HRP-conjugated anti-mouse or anti-rabbit IgG (1:5000, Proteintech, USA) were incubated 1 h at 37 °C. Finally, the enhanced chemiluminescent reagent (Thermo Fisher, USA) was added in the membranes and band intensity signals were observed. GAPDH was used as an internal reference, and the optical densities of protein bands were analysed by Image J software to represent the relative expression of target protein. Haematoxylin eosin (HE) staining After completing neurological deficits evaluation, the rats were decapitated under deep anaesthesia. The brains were rapidly removed, the hippocampus was separated, fixed in 10% formalin solution and embedded in paraffin. Coronal sections (4 μm) were obtained and stained with haematoxylin-eosin (HE) solution for the histopathological examination. The scores of histopathological damages were determined as follows: 0, no morphological damage; 1, (slight) edoema or dark neurons; 2, (moderate), edoema or haemorrhages; 3, (severe) local necrosis. After completing neurological deficits evaluation, the rats were decapitated under deep anaesthesia. The brains were rapidly removed, the hippocampus was separated, fixed in 10% formalin solution and embedded in paraffin. Coronal sections (4 μm) were obtained and stained with haematoxylin-eosin (HE) solution for the histopathological examination. The scores of histopathological damages were determined as follows: 0, no morphological damage; 1, (slight) edoema or dark neurons; 2, (moderate), edoema or haemorrhages; 3, (severe) local necrosis. Terminal deoxynucleotidyl transferase dUTP nick end-labelling (TUNEL) assay Apoptosis was examined by TUNEL assay. The histological sections (4 μm) were obtained from the paraffin-embedded brains. TUNEL assay was performed using an in situ apoptosis detection kit, in accordance with the manufacturer’s instruction. The apoptosis cells were identified as cells with brown-stained nuclei. The number of TUNEL-positive cells was counted in each single visual field and the percentage was calculated as follows: TUNEL-positive cells (%) = (the numbers of TUNEL-positive cells/all cells in a single visual field) × 100%. Apoptosis was examined by TUNEL assay. The histological sections (4 μm) were obtained from the paraffin-embedded brains. TUNEL assay was performed using an in situ apoptosis detection kit, in accordance with the manufacturer’s instruction. The apoptosis cells were identified as cells with brown-stained nuclei. The number of TUNEL-positive cells was counted in each single visual field and the percentage was calculated as follows: TUNEL-positive cells (%) = (the numbers of TUNEL-positive cells/all cells in a single visual field) × 100%. Immunohistochemical staining (IHC) The expression of vascular endothelial growth factor (VEGF) in cortical penumbra was detected by IHC staining. Paraffin-embedded brain sections were dewaxed, rehydrated, treated with 0.3% H2O2 for 10 min, and blocked with 5% goat serum for 1 h at 37 °C. Then, the sections were incubated with an anti-VEGF mouse monclonal antibody (1:200, Abcam, USA) at 4 °C overnight. After washing, the secondary antibody: Goat Anti-Mouse HRP-IgG (1:1000) were incubated for 2 h at room temperature. After washing, DAB solution was added into sections to provide the staining for 5 min. And sections were counterstained with haematoxylin and observed under a light microscope. The VEGF-positive cells were characterised by brown granules. The expression of VEGF was represented by the percentage of positive cells in each view at 200× magnification. Five fields were randomly selected in each section. The expression of vascular endothelial growth factor (VEGF) in cortical penumbra was detected by IHC staining. Paraffin-embedded brain sections were dewaxed, rehydrated, treated with 0.3% H2O2 for 10 min, and blocked with 5% goat serum for 1 h at 37 °C. Then, the sections were incubated with an anti-VEGF mouse monclonal antibody (1:200, Abcam, USA) at 4 °C overnight. After washing, the secondary antibody: Goat Anti-Mouse HRP-IgG (1:1000) were incubated for 2 h at room temperature. After washing, DAB solution was added into sections to provide the staining for 5 min. And sections were counterstained with haematoxylin and observed under a light microscope. The VEGF-positive cells were characterised by brown granules. The expression of VEGF was represented by the percentage of positive cells in each view at 200× magnification. Five fields were randomly selected in each section. Caspase-3 activity assay Caspase-3 activity of tissue homogenate was measured by Caspase 3 Assay Kit, colorimetric (Sigma-Aldrich, Germany), according to the manufacturer’s protocol. Caspase-3 activity of tissue homogenate was measured by Caspase 3 Assay Kit, colorimetric (Sigma-Aldrich, Germany), according to the manufacturer’s protocol. Statistical analysis The data were analysed by SPSS19.0 software. Measurement data were presented as means ± standard deviation from at least three repeated experiments, and the comparison among multiple groups were analysed by one-way analysis of variance, between-group differences were detected by Tukey’s post hoc test. p < 0.05 was considered the significant difference. The data were analysed by SPSS19.0 software. Measurement data were presented as means ± standard deviation from at least three repeated experiments, and the comparison among multiple groups were analysed by one-way analysis of variance, between-group differences were detected by Tukey’s post hoc test. p < 0.05 was considered the significant difference. Animals: Adult male Sprague-Dawley (SD) rats weighing 220–300 g were provided by Laboratory Animal Centre of Shanghai, Chinese Academy of Sciences, and housed in standard cages under controlled temperature of 23 ± 2 °C and a 12-h light/dark cycle, with free access to water and food. All rats were acclimated for 5 days before experimental manipulation. All animal experiments were conducted in accordance with the National Institute of Health Guideline for the Care and Use Committee of Luohe Central Hospital. Groups and drug administration: Myrtenol was purchased from Sigma-Aldrich Corporation (W343900, CAS-No.19894-97-4, purity ≥95%; Figure 1). Seventy-five SD rats were randomly divided into five groups (n = 15): sham group: rats were treated with saline but without middle cerebral artery occlusion (MCAO). MCAO group: rats were given with saline alone with cerebral ischaemia/reperfusion (I/R) surgery. MCAO + Myr groups: rats were intraperitoneally injected with 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively (Britto et al. 2018), once daily for seven consecutive days. The remaining 60 SD rats were randomly divided into four groups (n = 15): sham group, MCAO group, MCAO + Myr (50 mg/kg) group: rats were treated as above, MCAO + Myr + U0126 group: rats were intracerebroventricularly injected with 10 μL U0126 (Cell Signalling Technology, USA), a highly selective inhibitor of MEK (Ahnstedt et al. 2015), into the cerebral ischaemia side at 30 min prior to myrtenol treatment, once daily for 7 consecutive days. The intracerebral ventricular injection and the dose of U0126 were based on the work of Ye et al. (2018). Chemical structure of myrtenol. Focal cerebral I/R model: The rat model of focal cerebral I/R by performing MCAO in the left hemisphere, also known as MCAO rats, as previously described (Liu et al. 2018a). All rats were anaesthetized with 10% chloral hydrate by intraperitoneally injection. In brief, the left common carotid artery (CCA) was separated carefully, the external carotid artery (ECA) and internal carotid artery (ICA) were exposed gently. A 3.0 monofilament suture was inserted to cut off the origin of the MCA after clipped the ECA. After 90 min of ischaemia, the monofilament was removed, inducing cerebral reperfusion. Laser Doppler Flowmetry (LDF, PerFlux 5000 Perimed Co., China) was applied to monitor the regional cerebral blood flow (rCBF) during the surgical procedure and at the reperfusion as described previously (Wild et al. 2000). A successful MCAO model was accepted when rCBF < 20% and recovered to higher than 80% of baseline. A total of 135 rats were included in the present experiments. The rats in sham group underwent the same surgery, except that the filament was inserted to cut off the origin of the MCA. The cardiovascular rate and rectal temperature were monitored and maintained during the surgical procedure. Neurological deficits evaluation: Twenty-four h after administration, the neurological deficits score of all rats were estimated by a researcher blinded, according to the previous method described by Garcia et al. (1995). The scores were evaluated from motor function and sensory function with minimum neurological deficits score 3 and the maximum 18. Diving platform experiment and Y-maze test: The memory and learning capacity of rats in each group were evaluated by diving platform experiment and Y maze test. The diving platform instrument (10 cm × 10 cm × 60 cm) consisted of a reflex box divided into 5 rooms by black plastic board. Copper shutter at 0.5 cm intervals connected with a 36 V electrical current were placed on the bottom of the diving platform instrument. An insulated platform (4.0 cm in diameter, 4.0 cm in height) was placed in the back left corner of each room. Y-maze was consisted of three arms (regions I-III, 30 cm l × 8 cm w × 20 cm h), with the arm at a 120° angle from each other. Three were randomly marked as novel arm, star arm, and other arm. The diving platform experiment and the Y-maze testing were performed as the previously reported (Wen et al. 2014; Liu et al. 2019). The memory differences between the rats of different groups were studied by comparing the frequency of mistake of rats jumping from the insulated platform down to the shutter within 5 min. The times of entries into novel arm for each rat were analysed. Measurement of the brain water content: After evaluation of the neurological deficits, all rats were anaesthetized and decapitated rapidly. The brain tissues were removed quickly for the following experiment. The wet weight (A) and dry weight (B, tissues were dried in an oven for 24 h) of brain tissue from three rats in each group were weighed. The brain water content was calculated in accordance with the formula: Brain water content = (A - B)/A × 100%. 2,3,5-Triphenyltetrazolium chloride (TTC) staining: TTC staining method was used to measure the cerebral infarct volume. After being rapid-frozen in −20 °C for 20 min, the brain tissues were sliced into 2 mm thick section. And the slices were stained in 2% TTC for 20 min and fixed in 4% paraformaldehyde buffer. The infarcted brain tissue appeared white, whereas the normal tissues showed a red colour. The sections were photographed and the infarct volumes were measured using Image J software. Western blot: Western blotting was used to detect the expression of proteins involved in apoptosis, angiogenesis and the MEK/ERK signalling pathway at 24 h after administration. Total protein was extracted using protein extraction kit, according to the manufacturer’s instructions and the protein concentration were measured with BCA method. Protein samples (40 μg) were subjected to 10% SDS-polyacrylamide gels electrophoresis (SDS-PAGE) to separate. Then transferred to poly-vinylidnene fluoride (PVDF, Millipore) membranes and blocked in PBST solution with 5% non-fat milk. The membranes were incubated in primary antibodies against brain derived neurotrophic factor (BDNF), nerve growth factor (NGF), Bax, Bcl-2, VEGF, FGF2, MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 (1:2000 dilution, Proteintech, USA) at 4 °C overnight. Secondary antibodies: HRP-conjugated anti-mouse or anti-rabbit IgG (1:5000, Proteintech, USA) were incubated 1 h at 37 °C. Finally, the enhanced chemiluminescent reagent (Thermo Fisher, USA) was added in the membranes and band intensity signals were observed. GAPDH was used as an internal reference, and the optical densities of protein bands were analysed by Image J software to represent the relative expression of target protein. Haematoxylin eosin (HE) staining: After completing neurological deficits evaluation, the rats were decapitated under deep anaesthesia. The brains were rapidly removed, the hippocampus was separated, fixed in 10% formalin solution and embedded in paraffin. Coronal sections (4 μm) were obtained and stained with haematoxylin-eosin (HE) solution for the histopathological examination. The scores of histopathological damages were determined as follows: 0, no morphological damage; 1, (slight) edoema or dark neurons; 2, (moderate), edoema or haemorrhages; 3, (severe) local necrosis. Terminal deoxynucleotidyl transferase dUTP nick end-labelling (TUNEL) assay: Apoptosis was examined by TUNEL assay. The histological sections (4 μm) were obtained from the paraffin-embedded brains. TUNEL assay was performed using an in situ apoptosis detection kit, in accordance with the manufacturer’s instruction. The apoptosis cells were identified as cells with brown-stained nuclei. The number of TUNEL-positive cells was counted in each single visual field and the percentage was calculated as follows: TUNEL-positive cells (%) = (the numbers of TUNEL-positive cells/all cells in a single visual field) × 100%. Immunohistochemical staining (IHC): The expression of vascular endothelial growth factor (VEGF) in cortical penumbra was detected by IHC staining. Paraffin-embedded brain sections were dewaxed, rehydrated, treated with 0.3% H2O2 for 10 min, and blocked with 5% goat serum for 1 h at 37 °C. Then, the sections were incubated with an anti-VEGF mouse monclonal antibody (1:200, Abcam, USA) at 4 °C overnight. After washing, the secondary antibody: Goat Anti-Mouse HRP-IgG (1:1000) were incubated for 2 h at room temperature. After washing, DAB solution was added into sections to provide the staining for 5 min. And sections were counterstained with haematoxylin and observed under a light microscope. The VEGF-positive cells were characterised by brown granules. The expression of VEGF was represented by the percentage of positive cells in each view at 200× magnification. Five fields were randomly selected in each section. Caspase-3 activity assay: Caspase-3 activity of tissue homogenate was measured by Caspase 3 Assay Kit, colorimetric (Sigma-Aldrich, Germany), according to the manufacturer’s protocol. Statistical analysis: The data were analysed by SPSS19.0 software. Measurement data were presented as means ± standard deviation from at least three repeated experiments, and the comparison among multiple groups were analysed by one-way analysis of variance, between-group differences were detected by Tukey’s post hoc test. p < 0.05 was considered the significant difference. Results: Myrtenol improved neurological function and cerebral infarction of MCAO rats Rats subjected to 90 min of MCAO followed by reperfusion were used to simulate the pathology of cerebral I/R injury. To assess the effects of myrtenol on cerebral I/R injury, myrtenol (10, 30, or 50 mg/kg) were intraperitoneally injected into MCAO rats. MCAO rats showed prominent neurological deficit, while myrtenol could ameliorate the neurological function of MCAO rats (p < 0.05 vs. sham group; Figure 2(A)). The memory and learning capacity were also assessed using diving platform experiment and Y-maze test. As shown in Figure 2(B,C), myrtenol could decrease the frequency of mistakes in the diving platform experiment (2.02 ± 0.98% for 10 mg/kg myrtenol group, 1.07 ± 0.93% for 30 mg/kg myrtenol group, 0.82 ± 0.21% for 50 mg/kg myrtenol group; p < 0.05), whereas increase the times of entries arm in Y-maze test of MCAO rats (15.03 ± 5.04% for 10 mg/kg myrtenol group, 22.14 ± 4.96% for 30 mg/kg myrtenol group, 27.97 ± 4.02% for 50 mg/kg myrtenol group; p < 0.05). Additionally, myrtenol could reduce cerebral edoema in MCAO rats, which was confirmed by the reduced brain water content (p < 0.05 vs. sham group; Figure 2(D)). Moreover, TTC staining was performed to assess the cerebral infarction of MCAO rats. As expected, myrtenol treatment markedly attenuate the cerebral infarct volume of MCAO rats (34.11 ± 6.02% for 10 mg/kg myrtenol group, 26.06 ± 5.33% for 30 mg/kg myrtenol group, 18.16 ± 4.08% for 50 mg/kg myrtenol group; p < 0.05; Figure 2(E)). We also evaluated the expression of brain-derived neurotrophic factor (BDNF) and nerve growth factor (NGF) in hippocampus, which are considered to be the most important neurotrophins closely related to cognitive function. Western blot assay showed that MCAO could down-regulated the expression of BDNF and NGF in brain tissues of rats, while myrtenol treatment could restore the expression of BDNF and NGF (p < 0.05 vs. sham group Figure 2(F–H)). The results suggested that myrtenol could improve the neurological function and reduced the cerebral infarct volume in the rats with cerebral I/R. Myrtenol improved neurological function and cerebral infarction of MCAO rats. (A) The neurological score of rats in each group at 24 h after administration (n = 15). (B) The frequency of mistakes by rats in each group was detected by diving platform experiment (n = 15). (C) The times of entries arm of rats in each group was detected by Y-maze testing (n = 15). (D) The brain water content of rats in each group (n = 5). (E) Effect of myrtenol on the cerebral infarct volume of rats in each group was measured by TTC staining (n = 4). (F-H) The expression of BDNF and NGF in brain tissues of rats in each group was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Except for the sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. Sham group and MCAO group, given saline after cerebral I/R surgery. MCAO + Myr groups, administered 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively. All rats were treated once daily for seven consecutive days. Rats subjected to 90 min of MCAO followed by reperfusion were used to simulate the pathology of cerebral I/R injury. To assess the effects of myrtenol on cerebral I/R injury, myrtenol (10, 30, or 50 mg/kg) were intraperitoneally injected into MCAO rats. MCAO rats showed prominent neurological deficit, while myrtenol could ameliorate the neurological function of MCAO rats (p < 0.05 vs. sham group; Figure 2(A)). The memory and learning capacity were also assessed using diving platform experiment and Y-maze test. As shown in Figure 2(B,C), myrtenol could decrease the frequency of mistakes in the diving platform experiment (2.02 ± 0.98% for 10 mg/kg myrtenol group, 1.07 ± 0.93% for 30 mg/kg myrtenol group, 0.82 ± 0.21% for 50 mg/kg myrtenol group; p < 0.05), whereas increase the times of entries arm in Y-maze test of MCAO rats (15.03 ± 5.04% for 10 mg/kg myrtenol group, 22.14 ± 4.96% for 30 mg/kg myrtenol group, 27.97 ± 4.02% for 50 mg/kg myrtenol group; p < 0.05). Additionally, myrtenol could reduce cerebral edoema in MCAO rats, which was confirmed by the reduced brain water content (p < 0.05 vs. sham group; Figure 2(D)). Moreover, TTC staining was performed to assess the cerebral infarction of MCAO rats. As expected, myrtenol treatment markedly attenuate the cerebral infarct volume of MCAO rats (34.11 ± 6.02% for 10 mg/kg myrtenol group, 26.06 ± 5.33% for 30 mg/kg myrtenol group, 18.16 ± 4.08% for 50 mg/kg myrtenol group; p < 0.05; Figure 2(E)). We also evaluated the expression of brain-derived neurotrophic factor (BDNF) and nerve growth factor (NGF) in hippocampus, which are considered to be the most important neurotrophins closely related to cognitive function. Western blot assay showed that MCAO could down-regulated the expression of BDNF and NGF in brain tissues of rats, while myrtenol treatment could restore the expression of BDNF and NGF (p < 0.05 vs. sham group Figure 2(F–H)). The results suggested that myrtenol could improve the neurological function and reduced the cerebral infarct volume in the rats with cerebral I/R. Myrtenol improved neurological function and cerebral infarction of MCAO rats. (A) The neurological score of rats in each group at 24 h after administration (n = 15). (B) The frequency of mistakes by rats in each group was detected by diving platform experiment (n = 15). (C) The times of entries arm of rats in each group was detected by Y-maze testing (n = 15). (D) The brain water content of rats in each group (n = 5). (E) Effect of myrtenol on the cerebral infarct volume of rats in each group was measured by TTC staining (n = 4). (F-H) The expression of BDNF and NGF in brain tissues of rats in each group was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Except for the sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. Sham group and MCAO group, given saline after cerebral I/R surgery. MCAO + Myr groups, administered 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively. All rats were treated once daily for seven consecutive days. Myrtenol improved hippocampus and reduced cell apoptosis in MCAO rats Cerebral ischaemia is often accompanied by morphological and functional changes in the hippocampus (Li et al. 2020). Therefore, the histopathological damage of hippocampus was evaluated by HE staining. In the sham group, the cell outline was clear and structure was compact, the nucleolus was clearly visible, without interstitial. However, cells were arranged sparsely and structure was disorder in the MCAO group. Additionally, nerve cells swelling, interstitial oedema, nerve cell deformation, nuclear pyknosis and tissue necrosis were also found in the hippocampus of MCAO rats. Myrtenol treatment could improve nerve cell swelling, interstitial edoema, cell degeneration and necrosis (Figure 3(A)). TUNEL staining assay revealed that cell apoptosis in the hippocampus of MCAO rats was obviously increased (Figure 3(A)). Simultaneously, western blot assays also showed that the expression of Bcl-2 was down-regulated, while Bax was up-regulated in the hippocampus of MCAO rats (p < 0.05; Figure 3(B–D)). Additionally, the caspase-3 activity was also increased in MCAO rats (2.07 ± 0.21%-fold change for 10 mg/kg myrtenol group, 1.78 ± 0.18%-fold change for 30 mg/kg myrtenol group, 1.36 ± 0.19%-fold change for 50 mg/kg myrtenol group; p < 0.05; Figure 3(E)). However, myrtenol treatment could reduce cell apoptosis in brain tissues induced by MCAO (Figure 3(A–E)). The data indicated that myrtenol suppressed the histopathological damage and apoptosis of hippocampus induced by MCAO in vivo. Myrtenol improved hippocampus damage and reduced cell apoptosis in MCAO rats. (A) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (B–D) The expression of apoptosis marker protein, Bcl-2 and Bax, in hippocampus of rats in each group was detected by western blot (n = 6). (E) The caspase-3 activity in hippocampus of rats in each group (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Cerebral ischaemia is often accompanied by morphological and functional changes in the hippocampus (Li et al. 2020). Therefore, the histopathological damage of hippocampus was evaluated by HE staining. In the sham group, the cell outline was clear and structure was compact, the nucleolus was clearly visible, without interstitial. However, cells were arranged sparsely and structure was disorder in the MCAO group. Additionally, nerve cells swelling, interstitial oedema, nerve cell deformation, nuclear pyknosis and tissue necrosis were also found in the hippocampus of MCAO rats. Myrtenol treatment could improve nerve cell swelling, interstitial edoema, cell degeneration and necrosis (Figure 3(A)). TUNEL staining assay revealed that cell apoptosis in the hippocampus of MCAO rats was obviously increased (Figure 3(A)). Simultaneously, western blot assays also showed that the expression of Bcl-2 was down-regulated, while Bax was up-regulated in the hippocampus of MCAO rats (p < 0.05; Figure 3(B–D)). Additionally, the caspase-3 activity was also increased in MCAO rats (2.07 ± 0.21%-fold change for 10 mg/kg myrtenol group, 1.78 ± 0.18%-fold change for 30 mg/kg myrtenol group, 1.36 ± 0.19%-fold change for 50 mg/kg myrtenol group; p < 0.05; Figure 3(E)). However, myrtenol treatment could reduce cell apoptosis in brain tissues induced by MCAO (Figure 3(A–E)). The data indicated that myrtenol suppressed the histopathological damage and apoptosis of hippocampus induced by MCAO in vivo. Myrtenol improved hippocampus damage and reduced cell apoptosis in MCAO rats. (A) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (B–D) The expression of apoptosis marker protein, Bcl-2 and Bax, in hippocampus of rats in each group was detected by western blot (n = 6). (E) The caspase-3 activity in hippocampus of rats in each group (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Myrtenol promoted angiogenesis in MCAO rats Angiogenesis in ischaemic penumbra is one of the important early events after cerebral ischaemia (Taguchi et al. 2004). To further evaluate whether myrtenol affects angiogenesis in ischaemic penumbra of MCAO rats, we detected the expression of pro-angiogenic factors VEGF and FGF2. The IHC showed that the positive expression of VEGF in ischaemic penumbra of MCAO rats was lower than that in the sham group, while myrtenol treatment could increase the positive staining of VEGF to a certain extent (Figure 4(A,B)). Furthermore, western blot assay also showed increased expression of VEGF and FGF2 in MCAO rats (p < 0.05 vs. sham group), whereas myrtenol treatment could markedly increase the expression of VEGF and FGF2 in brain tissues of MCAO rats (p < 0.05 vs. MCAO group; Figure 4(C–E)). The results revealed that myrtenol could up-regulate the expression of VEGF and FGF2 to promote angiogenesis. Mytenol promoted angiogenesis in MCAO rats. (A–B) VEGF expression in ischaemic penumbra were determined by IHC staining (n = 6). (C–E) The relative expression of VEGF and FGF2 protein was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Angiogenesis in ischaemic penumbra is one of the important early events after cerebral ischaemia (Taguchi et al. 2004). To further evaluate whether myrtenol affects angiogenesis in ischaemic penumbra of MCAO rats, we detected the expression of pro-angiogenic factors VEGF and FGF2. The IHC showed that the positive expression of VEGF in ischaemic penumbra of MCAO rats was lower than that in the sham group, while myrtenol treatment could increase the positive staining of VEGF to a certain extent (Figure 4(A,B)). Furthermore, western blot assay also showed increased expression of VEGF and FGF2 in MCAO rats (p < 0.05 vs. sham group), whereas myrtenol treatment could markedly increase the expression of VEGF and FGF2 in brain tissues of MCAO rats (p < 0.05 vs. MCAO group; Figure 4(C–E)). The results revealed that myrtenol could up-regulate the expression of VEGF and FGF2 to promote angiogenesis. Mytenol promoted angiogenesis in MCAO rats. (A–B) VEGF expression in ischaemic penumbra were determined by IHC staining (n = 6). (C–E) The relative expression of VEGF and FGF2 protein was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Myrtenol activated ERK1/2 signalling pathway in MCAO rats The ERK1/2 signalling pathway has been identified as a potentially important role in cerebral ischaemia reperfusion injury (Shi et al. 2021). Western blot assay confirmed the inhibition of the ERK1/2 pathway in the brain tissues of MCAO rats, which was manifested by increased phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. sham group; Figure 5(A–C)). Myrtenol treatment could increase the phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. MCAO group; Figure 5(A–C)), suggesting that myrtenol activated the ERK1/2 signalling pathway. We also performed rescue experiments by using U0126, the specific inhibitor of ERK1/2 pathway. The activation of myrtenol on the ERK1/2 pathway could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 5(D–F)). Mytenol activated ERK1/2 signalling pathway in MCAO rats. (A) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (B–C) The relative expression ratio of p-MEK1/2/MEK1/2, p-ERK1/2/ERK1/2. (D) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (E-F): MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. n = 6. Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. The ERK1/2 signalling pathway has been identified as a potentially important role in cerebral ischaemia reperfusion injury (Shi et al. 2021). Western blot assay confirmed the inhibition of the ERK1/2 pathway in the brain tissues of MCAO rats, which was manifested by increased phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. sham group; Figure 5(A–C)). Myrtenol treatment could increase the phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. MCAO group; Figure 5(A–C)), suggesting that myrtenol activated the ERK1/2 signalling pathway. We also performed rescue experiments by using U0126, the specific inhibitor of ERK1/2 pathway. The activation of myrtenol on the ERK1/2 pathway could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 5(D–F)). Mytenol activated ERK1/2 signalling pathway in MCAO rats. (A) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (B–C) The relative expression ratio of p-MEK1/2/MEK1/2, p-ERK1/2/ERK1/2. (D) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (E-F): MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. n = 6. Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. U0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in rats with cerebral I/R Next, we explored whether myrtenol improved brain damage and angiogenesis by activating the ERK1/2 signalling pathway. Diving platform experiment and Y-maze test showed that U0126 could suppress the improvement of myrtenol on memory and learning capacity of MCAO rats (p < 0.05 vs. MCAO + Myr group; Figure 6(A)). Similarly, U0126 also restrained the inhibitory effect of myrtenol on cerebral edoema (p < 0.05 vs. MCAO + Myr group; Figure 6(B)). Additionally, the increased expression of BDNF and NGF in MCAO rats treated with myrtenol could be abolished by U0126 pre-treatment (p < 0.05 vs. MCAO + Myr group; Figure 6(C)). The HE staining also showed that the U0126 could eliminate the improvement effect of myrtenol on brain tissue damage in MCAO rats (Figure 6(D)). Similarly, TUNEL assay also showed that U0126 treatment could reverse the inhibitory effect of myrtenol on MCAO-induced apoptosis (Figure 6(D and E)). Consistently, the inhibition of Bax expression and caspase-3, as well as the promotion of Bcl-2 expression induced by myrtenol treated in MCAO rats could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 6(F and G)). Additionally, U0126 also eliminated the promotion of myrtenol on angiogenesis in the brain tissues of MCAO rats, which was demonstrated by inhibiting the expression of VEGF and FGF2 (p < 0.05 vs. MCAO + Myr group; Figure 6(H and I)). Collectively, U0126 reversed the protective effect of myrtenol on cerebral I/R injury, which was associated with the improvement of brain damage and angiogenesis. U0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in MCAO rats. (A) Frequency of mistakes, times of entries arm of rat in each group were detected by diving platform experiment, Y-maze testing (n = 15). (B) Brain oedema was assessed by brain water content (n = 5). (C) Relative expression of BDNG and NGF in brain tissues was detected by western blot (n = 6). (D–E) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (F) Relative expression of Bcl-2, Bax was detected by western blot (n = 6). (G) The caspase-3 activity. (H) IHC staining showed the VEGF positive cells (n = 6). (I) Relative expression of VEGF and FGF2 was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. **p < 0.01. Except for sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. sham group and MCAO group, given with saline after cerebral I/R surgery. MCAO + Myr group, administered 50 mg/kg myrtenol after cerebral I/R surgery; MCAO + Myr + U0126 group, injected with U0126 at 30 min prior to myrtenol treatment. All rats were administered once daily for 7 consecutive days. Next, we explored whether myrtenol improved brain damage and angiogenesis by activating the ERK1/2 signalling pathway. Diving platform experiment and Y-maze test showed that U0126 could suppress the improvement of myrtenol on memory and learning capacity of MCAO rats (p < 0.05 vs. MCAO + Myr group; Figure 6(A)). Similarly, U0126 also restrained the inhibitory effect of myrtenol on cerebral edoema (p < 0.05 vs. MCAO + Myr group; Figure 6(B)). Additionally, the increased expression of BDNF and NGF in MCAO rats treated with myrtenol could be abolished by U0126 pre-treatment (p < 0.05 vs. MCAO + Myr group; Figure 6(C)). The HE staining also showed that the U0126 could eliminate the improvement effect of myrtenol on brain tissue damage in MCAO rats (Figure 6(D)). Similarly, TUNEL assay also showed that U0126 treatment could reverse the inhibitory effect of myrtenol on MCAO-induced apoptosis (Figure 6(D and E)). Consistently, the inhibition of Bax expression and caspase-3, as well as the promotion of Bcl-2 expression induced by myrtenol treated in MCAO rats could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 6(F and G)). Additionally, U0126 also eliminated the promotion of myrtenol on angiogenesis in the brain tissues of MCAO rats, which was demonstrated by inhibiting the expression of VEGF and FGF2 (p < 0.05 vs. MCAO + Myr group; Figure 6(H and I)). Collectively, U0126 reversed the protective effect of myrtenol on cerebral I/R injury, which was associated with the improvement of brain damage and angiogenesis. U0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in MCAO rats. (A) Frequency of mistakes, times of entries arm of rat in each group were detected by diving platform experiment, Y-maze testing (n = 15). (B) Brain oedema was assessed by brain water content (n = 5). (C) Relative expression of BDNG and NGF in brain tissues was detected by western blot (n = 6). (D–E) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (F) Relative expression of Bcl-2, Bax was detected by western blot (n = 6). (G) The caspase-3 activity. (H) IHC staining showed the VEGF positive cells (n = 6). (I) Relative expression of VEGF and FGF2 was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. **p < 0.01. Except for sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. sham group and MCAO group, given with saline after cerebral I/R surgery. MCAO + Myr group, administered 50 mg/kg myrtenol after cerebral I/R surgery; MCAO + Myr + U0126 group, injected with U0126 at 30 min prior to myrtenol treatment. All rats were administered once daily for 7 consecutive days. Myrtenol improved neurological function and cerebral infarction of MCAO rats: Rats subjected to 90 min of MCAO followed by reperfusion were used to simulate the pathology of cerebral I/R injury. To assess the effects of myrtenol on cerebral I/R injury, myrtenol (10, 30, or 50 mg/kg) were intraperitoneally injected into MCAO rats. MCAO rats showed prominent neurological deficit, while myrtenol could ameliorate the neurological function of MCAO rats (p < 0.05 vs. sham group; Figure 2(A)). The memory and learning capacity were also assessed using diving platform experiment and Y-maze test. As shown in Figure 2(B,C), myrtenol could decrease the frequency of mistakes in the diving platform experiment (2.02 ± 0.98% for 10 mg/kg myrtenol group, 1.07 ± 0.93% for 30 mg/kg myrtenol group, 0.82 ± 0.21% for 50 mg/kg myrtenol group; p < 0.05), whereas increase the times of entries arm in Y-maze test of MCAO rats (15.03 ± 5.04% for 10 mg/kg myrtenol group, 22.14 ± 4.96% for 30 mg/kg myrtenol group, 27.97 ± 4.02% for 50 mg/kg myrtenol group; p < 0.05). Additionally, myrtenol could reduce cerebral edoema in MCAO rats, which was confirmed by the reduced brain water content (p < 0.05 vs. sham group; Figure 2(D)). Moreover, TTC staining was performed to assess the cerebral infarction of MCAO rats. As expected, myrtenol treatment markedly attenuate the cerebral infarct volume of MCAO rats (34.11 ± 6.02% for 10 mg/kg myrtenol group, 26.06 ± 5.33% for 30 mg/kg myrtenol group, 18.16 ± 4.08% for 50 mg/kg myrtenol group; p < 0.05; Figure 2(E)). We also evaluated the expression of brain-derived neurotrophic factor (BDNF) and nerve growth factor (NGF) in hippocampus, which are considered to be the most important neurotrophins closely related to cognitive function. Western blot assay showed that MCAO could down-regulated the expression of BDNF and NGF in brain tissues of rats, while myrtenol treatment could restore the expression of BDNF and NGF (p < 0.05 vs. sham group Figure 2(F–H)). The results suggested that myrtenol could improve the neurological function and reduced the cerebral infarct volume in the rats with cerebral I/R. Myrtenol improved neurological function and cerebral infarction of MCAO rats. (A) The neurological score of rats in each group at 24 h after administration (n = 15). (B) The frequency of mistakes by rats in each group was detected by diving platform experiment (n = 15). (C) The times of entries arm of rats in each group was detected by Y-maze testing (n = 15). (D) The brain water content of rats in each group (n = 5). (E) Effect of myrtenol on the cerebral infarct volume of rats in each group was measured by TTC staining (n = 4). (F-H) The expression of BDNF and NGF in brain tissues of rats in each group was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Except for the sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. Sham group and MCAO group, given saline after cerebral I/R surgery. MCAO + Myr groups, administered 10, 30, or 50 mg/kg myrtenol after cerebral I/R surgery, respectively. All rats were treated once daily for seven consecutive days. Myrtenol improved hippocampus and reduced cell apoptosis in MCAO rats: Cerebral ischaemia is often accompanied by morphological and functional changes in the hippocampus (Li et al. 2020). Therefore, the histopathological damage of hippocampus was evaluated by HE staining. In the sham group, the cell outline was clear and structure was compact, the nucleolus was clearly visible, without interstitial. However, cells were arranged sparsely and structure was disorder in the MCAO group. Additionally, nerve cells swelling, interstitial oedema, nerve cell deformation, nuclear pyknosis and tissue necrosis were also found in the hippocampus of MCAO rats. Myrtenol treatment could improve nerve cell swelling, interstitial edoema, cell degeneration and necrosis (Figure 3(A)). TUNEL staining assay revealed that cell apoptosis in the hippocampus of MCAO rats was obviously increased (Figure 3(A)). Simultaneously, western blot assays also showed that the expression of Bcl-2 was down-regulated, while Bax was up-regulated in the hippocampus of MCAO rats (p < 0.05; Figure 3(B–D)). Additionally, the caspase-3 activity was also increased in MCAO rats (2.07 ± 0.21%-fold change for 10 mg/kg myrtenol group, 1.78 ± 0.18%-fold change for 30 mg/kg myrtenol group, 1.36 ± 0.19%-fold change for 50 mg/kg myrtenol group; p < 0.05; Figure 3(E)). However, myrtenol treatment could reduce cell apoptosis in brain tissues induced by MCAO (Figure 3(A–E)). The data indicated that myrtenol suppressed the histopathological damage and apoptosis of hippocampus induced by MCAO in vivo. Myrtenol improved hippocampus damage and reduced cell apoptosis in MCAO rats. (A) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (B–D) The expression of apoptosis marker protein, Bcl-2 and Bax, in hippocampus of rats in each group was detected by western blot (n = 6). (E) The caspase-3 activity in hippocampus of rats in each group (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Myrtenol promoted angiogenesis in MCAO rats: Angiogenesis in ischaemic penumbra is one of the important early events after cerebral ischaemia (Taguchi et al. 2004). To further evaluate whether myrtenol affects angiogenesis in ischaemic penumbra of MCAO rats, we detected the expression of pro-angiogenic factors VEGF and FGF2. The IHC showed that the positive expression of VEGF in ischaemic penumbra of MCAO rats was lower than that in the sham group, while myrtenol treatment could increase the positive staining of VEGF to a certain extent (Figure 4(A,B)). Furthermore, western blot assay also showed increased expression of VEGF and FGF2 in MCAO rats (p < 0.05 vs. sham group), whereas myrtenol treatment could markedly increase the expression of VEGF and FGF2 in brain tissues of MCAO rats (p < 0.05 vs. MCAO group; Figure 4(C–E)). The results revealed that myrtenol could up-regulate the expression of VEGF and FGF2 to promote angiogenesis. Mytenol promoted angiogenesis in MCAO rats. (A–B) VEGF expression in ischaemic penumbra were determined by IHC staining (n = 6). (C–E) The relative expression of VEGF and FGF2 protein was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. Myrtenol activated ERK1/2 signalling pathway in MCAO rats: The ERK1/2 signalling pathway has been identified as a potentially important role in cerebral ischaemia reperfusion injury (Shi et al. 2021). Western blot assay confirmed the inhibition of the ERK1/2 pathway in the brain tissues of MCAO rats, which was manifested by increased phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. sham group; Figure 5(A–C)). Myrtenol treatment could increase the phosphorylation of MEK1/2 and ERK1/2 (p < 0.05 vs. MCAO group; Figure 5(A–C)), suggesting that myrtenol activated the ERK1/2 signalling pathway. We also performed rescue experiments by using U0126, the specific inhibitor of ERK1/2 pathway. The activation of myrtenol on the ERK1/2 pathway could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 5(D–F)). Mytenol activated ERK1/2 signalling pathway in MCAO rats. (A) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (B–C) The relative expression ratio of p-MEK1/2/MEK1/2, p-ERK1/2/ERK1/2. (D) MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. (E-F): MEK1/2, p-MEK1/2, ERK1/2, p-ERK1/2 expression in brain tissues were detected by western blot. n = 6. Data were presented as the mean ± SD of at least three repeated experiments. ##p < 0.01, compared with the sham group; *p < 0.05, **p < 0.01, compared with the MCAO group. U0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in rats with cerebral I/R: Next, we explored whether myrtenol improved brain damage and angiogenesis by activating the ERK1/2 signalling pathway. Diving platform experiment and Y-maze test showed that U0126 could suppress the improvement of myrtenol on memory and learning capacity of MCAO rats (p < 0.05 vs. MCAO + Myr group; Figure 6(A)). Similarly, U0126 also restrained the inhibitory effect of myrtenol on cerebral edoema (p < 0.05 vs. MCAO + Myr group; Figure 6(B)). Additionally, the increased expression of BDNF and NGF in MCAO rats treated with myrtenol could be abolished by U0126 pre-treatment (p < 0.05 vs. MCAO + Myr group; Figure 6(C)). The HE staining also showed that the U0126 could eliminate the improvement effect of myrtenol on brain tissue damage in MCAO rats (Figure 6(D)). Similarly, TUNEL assay also showed that U0126 treatment could reverse the inhibitory effect of myrtenol on MCAO-induced apoptosis (Figure 6(D and E)). Consistently, the inhibition of Bax expression and caspase-3, as well as the promotion of Bcl-2 expression induced by myrtenol treated in MCAO rats could be eliminated by U0126 (p < 0.05 vs. MCAO + Myr group; Figure 6(F and G)). Additionally, U0126 also eliminated the promotion of myrtenol on angiogenesis in the brain tissues of MCAO rats, which was demonstrated by inhibiting the expression of VEGF and FGF2 (p < 0.05 vs. MCAO + Myr group; Figure 6(H and I)). Collectively, U0126 reversed the protective effect of myrtenol on cerebral I/R injury, which was associated with the improvement of brain damage and angiogenesis. U0126 reversed the effect of myrtenol on the improvement of brain damage and angiogenesis in MCAO rats. (A) Frequency of mistakes, times of entries arm of rat in each group were detected by diving platform experiment, Y-maze testing (n = 15). (B) Brain oedema was assessed by brain water content (n = 5). (C) Relative expression of BDNG and NGF in brain tissues was detected by western blot (n = 6). (D–E) Histological damage and apoptosis of hippocampus were analysed using HE staining and TUNEL assay (n = 6). (F) Relative expression of Bcl-2, Bax was detected by western blot (n = 6). (G) The caspase-3 activity. (H) IHC staining showed the VEGF positive cells (n = 6). (I) Relative expression of VEGF and FGF2 was detected by western blot (n = 6). Data were presented as the mean ± SD of at least three repeated experiments. **p < 0.01. Except for sham group, all rats in other groups were constructed for cerebral I/R injury by MCAO. sham group and MCAO group, given with saline after cerebral I/R surgery. MCAO + Myr group, administered 50 mg/kg myrtenol after cerebral I/R surgery; MCAO + Myr + U0126 group, injected with U0126 at 30 min prior to myrtenol treatment. All rats were administered once daily for 7 consecutive days. Discussion: Cerebral I/R injury often accompany by high mortality and long-term disabilities. As a member of bicyclic monoterpene alcohols family, the traditional medicine myrtenol presented important biological properties and therapeutic potential, such as anti-inflammatory, antioxidant (Viana et al. 2019). However, the role of myrtenol in cerebral I/R injury is unclear. It is worth noting that Britto et al. (2018) revealed myrtenol protected heart against myocardial I/R injury by anti-apoptotic and antioxidant. In this study, the results showed that myrtenol treatment could improve neurological function, cerebral infarction and brain tissue pathological damage of MCAO rats. Additionally, the protective effect of myrtenol on MCAO rats was related to its inhibition of hippocampal neuronal apoptosis and promotion of cerebral angiogenesis, which may be achieved by activating ERK1/2 signalling pathway. Our findings provided evidence indicating that myrtenol may become a promising drug for the therapy of CI injury. Apoptosis is a vital pathophysiological mechanism associated with I/R, and reperfusion could accelerate the apoptotic death process induced by ischaemia (Villa et al. 2003). Compelling findings indicate the inhibition of apoptosis as a key protective mechanism against cerebral I/R injury (Baldrati et al. 2020; Yu et al. 2020). Wen et al. (2019) demonstrated that N-Myc downstream-regulated gene 4 (NDRG4) protected cerebral IR injury by inhibiting cell apoptosis and regulated cerebral cell apoptosis by increasing BDNF expression. In this study, the results also revealed that the apoptosis of hippocampal neurons was significantly increased after cerebral I/R injury, and myrtenol could suppress the apoptosis in brain tissues. Bcl-2 family related proteins, including anti-apoptotic proteins (such as Bcl-2, Bcl-xL) and pro-apoptotic proteins (such as Bax, Bcl-xS), has been proven to play an important role in the execution of apoptosis (Sergio et al. 2018). It has been confirmed that Bcl-2 can inhibit oxide-induced apoptosis, while Bax promotes the release of cytochrome C and activates caspase-3, which is considered to be the ultimate executor of apoptosis (Abu Zeid et al. 2018). In addition, the increase in Bcl-2 expression and the decrease in Bax expression in the hippocampus after ischaemia can protect against cerebral ischaemic injury by reducing neuronal cell apoptosis (Yi et al. 2020). We also found that myrtenol prevented the down-regulation of Bcl-2 and the upregulation of Bax, as well as the activity of caspase-3 induced by MCAO. Therefore, the inhibitory effect of myrtenol on neuronal apoptosis in MCAO rats may involve its regulation of apoptosis-related proteins. Angiogenesis is a process of growing new capillaries from pre-existing vessels during some pathophysiological conditions, such as tumour growth, tissue ischaemia (Liu et al. 2014). Emerging evidences have shown that angiogenesis is the most effective way to restore blood supply and improve functional recovery of ischaemic brain tissue, ameliorating cerebral I/R injury (Lapi and Colantuoni 2015; Peng et al. 2019). As a pro-angiogenic factor, VEGF is produced and secreted by many neurovascular cells in brain and considered as a central mediator in post-ischaemic angiogenesis (Liu et al. 2018b). VEGF increases the expression of other pro-angiogenic factors, including fibroblast growth factor 2 (FGF2), which binds to FGF receptors playing a crucial role in the angiogenic process (Liu and Chen 1994; Seo et al. 2013). In this study, we also found that myrtenol promotes angiogenesis, which was demonstrated by the up-regulation of VEGF and FGF2 expression. Relevant studies on drug components to reduce ischaemic stroke by promoting angiogenesis have been widely confirmed. For example, bilobalide benefits post-ischaemia stroke symptoms by promoting angiogenesis and reducing both apoptosis and autophagy (Zheng et al. 2018b), Buyang Huanwu Decoction exerted neuroprotection targeting angiogenesis through the up-regulation of SIRT1/VEGF pathway against cerebral ischaemic injury in rats (Zheng et al. 2018a). We speculated that the improvement effect of myrtenol on cerebral I/R injury may involve its promotion of angiogenesis. MEK1/2/ERK1/2 signalling pathway participate in cell growth, apoptosis, and involved in the neuroprotection against ischaemia brain damage, likely playing a critical role in recovery of ischaemia injury (Krylatov et al. 2021). Therefore, we investigated whether the ERK1/2 pathway was related to the protective effect of myrtenol in cerebral I/R injury. We found that myrtenol treatment eliminated the inhibitory effect of the ERK1/2 pathway caused by MCAO, which suggested that the protective effect of myrtenol on cerebral I/R injury may be related to the activation of the ERK1/2 pathway. Additionally, the activation effect of myrtenol on the ERK1/2 pathway could be eliminated by U0126. Consistently, U0126 treatment could reverse the neuroprotective effect of myrtenol on MCAO rats to a certain extent. The ERK1/2 pathway regulates cell apoptosis by regulating Bcl-2 family proteins (Ren et al. 2020). The phosphorylation of ERK1/2 can cause the phosphorylation of Bad protein and make it lose its ability to bind to Bcl-2, which leads to the combination of Bcl-2 and Bax to form a dimer and ultimately increase the cell's resistance to apoptosis. Besides, the induction of ERK1/2 activation is related to the activation of the caspase-8/caspase-3 pathway (Snyder et al. 2010). Moreover, The ERK1/2 pathway is necessary for angiogenesis stimulated by multiple growth factors (such as VEGF and FGF) (Dai et al. 2009). Song et al. (2012) found that inhibition of VEGF receptor-mediated ERK1/2 signalling pathway can inhibit breast cancer cell proliferation and angiogenesis in vitro. Based on these studies, we speculated that the anti-apoptotic and pro-angiogenesis effects of myrtenol in cerebral I/R injury were achieved to some extent by activating the ERK1/2 pathway. Conclusions: The data demonstrated that the ERK1/2 signalling pathway contributed to the protective effects of myrtenol against cerebral I/R injury in rats, which was associated with the attenuation of brain damage and angiogenesis. These findings provided further insight into the specific mechanisms of how myrtenol exerted its protective effects on cerebral I/R injury and also provided more theoretical basis for the clinical application of myrtenol.
Background: Cerebral ischaemia/reperfusion (I/R) injury has a high disability and fatality worldwide. Myrtenol has protective effects on myocardial I/R injury through antioxidant and anti-apoptotic effects. Methods: Cerebral I/R injury was induced in adult Sprague-Dawley rats by middle cerebral artery occlusion (MCAO) for 90 min. MCAO rats were treated with or without myrtenol (10, 30, or 50 mg/kg/day) or/and U0126 (10 μL) intraperitoneally for 7 days. Results: In the present study, myrtenol had no toxicity at concentrations up to 1.3 g/kg. Myrtenol treatment improved neurological function of MCAO rats, with significantly (p < 0.05) improved neurological deficits (4.31 ± 1.29 vs. 0.00) and reduced brain edoema (78.95 ± 2.27% vs. 85.48 ± 1.24%). Myrtenol extenuated brain tissue injury and neuronal apoptosis, with increased Bcl-2 expression (0.48-fold) and decreased Bax expression (2.02-fold) and caspase-3 activity (1.36-fold). Myrtenol promoted angiogenesis in the brain tissues of MCAO rats, which was reflected by increased VEGF (0.86-fold) and FGF2 (0.51-fold). Myrtenol promoted the phosphorylation of MEK1/2 (0.80-fold) and ERK1/2 (0.97-fold) in MCAO rats. U0126, the inhibitor of ERK1/2 pathway, reversed the protective effects of myrtenol on brain tissue damage and angiogenesis in MCAO rats. Conclusions: Myrtenol reduced brain damage and angiogenesis through activating the ERK1/2 signalling pathway, which may provide a novel alternative strategy for preventing cerebral I/R injury. Further in vitro work detailing its mechanism-of-action for improving ischaemic cerebral infarction is needed.
Introduction: Cerebral infarction (CI), also known as cerebral ischaemia stroke, is mainly caused by focal cerebral ischaemia/reperfusion (I/R) injury, with high disability and lethality worldwide (Iizuka et al. 2019). Numerous studies have demonstrated that multiple physiopathologic processes, such as, inflammation, oxidative stress, apoptosis and vascular dysfunction, are involved in the pathogenesis of CI (Dojo Soeandy et al. 2020; Surinkaew et al. 2020; Morris-Blanco et al. 2021). Recently, angiogenesis, which is regulated by a large number of factors, such as vascular endothelial growth factor (VEGF), and fibroblast growth factor 2 (FGF2), has become a hot spot in cerebrovascular disease studies, and enhancing angiogenesis in ischaemia brain tissue might be an effective method for improving blood supply in the brain (Chan et al. 2020; Li et al. 2020). However, the pathogenesis of CI is complicated, and an effective intervention method to prevent or cure the disease has not yet found (Reis et al. 2017). It is a critical to explore an effective multi-target drug to prevent or ameliorate cerebral I/R injury. Myrtenol is a bicyclic alcohol monoterpene which was found in essential oils of several medicinal plants, such as Myrtus communis L. (Myrtaceae), Rhodiola rosea L. (Crassulaceae) (Rosenroot), etc. (Rajizadeh et al. 2019). Several reports have confirmed that myrtenol has anxiolytic, antinociceptive, anti-inflammatory, anticancer, antioxidant, and neuroprotectant properties (Rajizadeh et al. 2019; García et al. 2020; Heimfarth et al. 2020). Myrtenol has been used for treatment of anxiety, gastrointestinal pain, inflammations and infections (Moreira et al. 2014; Viana et al. 2016; Gomes et al. 2017). The protective effect of myrtenol against myocardial I/R injury has been demonstrated (Britto et al. 2018). Although multiple biological actions of myrtenol have been reported, there are no studies on whether the myrtenol is an effective multi-target drug to improve cerebral I/R injury. In the present study, rats with focal cerebral I/R injury were used to investigate the protective effect of myrtenol against cerebral I/R injury and its underlying mechanism. Conclusions: The data demonstrated that the ERK1/2 signalling pathway contributed to the protective effects of myrtenol against cerebral I/R injury in rats, which was associated with the attenuation of brain damage and angiogenesis. These findings provided further insight into the specific mechanisms of how myrtenol exerted its protective effects on cerebral I/R injury and also provided more theoretical basis for the clinical application of myrtenol.
Background: Cerebral ischaemia/reperfusion (I/R) injury has a high disability and fatality worldwide. Myrtenol has protective effects on myocardial I/R injury through antioxidant and anti-apoptotic effects. Methods: Cerebral I/R injury was induced in adult Sprague-Dawley rats by middle cerebral artery occlusion (MCAO) for 90 min. MCAO rats were treated with or without myrtenol (10, 30, or 50 mg/kg/day) or/and U0126 (10 μL) intraperitoneally for 7 days. Results: In the present study, myrtenol had no toxicity at concentrations up to 1.3 g/kg. Myrtenol treatment improved neurological function of MCAO rats, with significantly (p < 0.05) improved neurological deficits (4.31 ± 1.29 vs. 0.00) and reduced brain edoema (78.95 ± 2.27% vs. 85.48 ± 1.24%). Myrtenol extenuated brain tissue injury and neuronal apoptosis, with increased Bcl-2 expression (0.48-fold) and decreased Bax expression (2.02-fold) and caspase-3 activity (1.36-fold). Myrtenol promoted angiogenesis in the brain tissues of MCAO rats, which was reflected by increased VEGF (0.86-fold) and FGF2 (0.51-fold). Myrtenol promoted the phosphorylation of MEK1/2 (0.80-fold) and ERK1/2 (0.97-fold) in MCAO rats. U0126, the inhibitor of ERK1/2 pathway, reversed the protective effects of myrtenol on brain tissue damage and angiogenesis in MCAO rats. Conclusions: Myrtenol reduced brain damage and angiogenesis through activating the ERK1/2 signalling pathway, which may provide a novel alternative strategy for preventing cerebral I/R injury. Further in vitro work detailing its mechanism-of-action for improving ischaemic cerebral infarction is needed.
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[ 99, 268, 234, 58, 244, 87, 91, 248, 104, 108, 181, 29, 66, 783, 445, 286, 321, 634 ]
23
[ "rats", "mcao", "group", "myrtenol", "cerebral", "mcao rats", "brain", "expression", "erk1", "figure" ]
[ "cerebral angiogenesis achieved", "angiogenesis ischaemia", "promotion cerebral angiogenesis", "affects angiogenesis ischaemic", "stroke promoting angiogenesis" ]
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[CONTENT] Cerebral ischaemia/reperfusion | middle cerebral artery occlusion | neurological deficits | VEGF [SUMMARY]
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[CONTENT] Cerebral ischaemia/reperfusion | middle cerebral artery occlusion | neurological deficits | VEGF [SUMMARY]
[CONTENT] Cerebral ischaemia/reperfusion | middle cerebral artery occlusion | neurological deficits | VEGF [SUMMARY]
[CONTENT] Cerebral ischaemia/reperfusion | middle cerebral artery occlusion | neurological deficits | VEGF [SUMMARY]
[CONTENT] Cerebral ischaemia/reperfusion | middle cerebral artery occlusion | neurological deficits | VEGF [SUMMARY]
[CONTENT] Angiogenesis Inducing Agents | Animals | Bicyclic Monoterpenes | Cerebral Infarction | Dose-Response Relationship, Drug | MAP Kinase Signaling System | Male | Rats | Rats, Sprague-Dawley | Reperfusion Injury [SUMMARY]
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[CONTENT] Angiogenesis Inducing Agents | Animals | Bicyclic Monoterpenes | Cerebral Infarction | Dose-Response Relationship, Drug | MAP Kinase Signaling System | Male | Rats | Rats, Sprague-Dawley | Reperfusion Injury [SUMMARY]
[CONTENT] Angiogenesis Inducing Agents | Animals | Bicyclic Monoterpenes | Cerebral Infarction | Dose-Response Relationship, Drug | MAP Kinase Signaling System | Male | Rats | Rats, Sprague-Dawley | Reperfusion Injury [SUMMARY]
[CONTENT] Angiogenesis Inducing Agents | Animals | Bicyclic Monoterpenes | Cerebral Infarction | Dose-Response Relationship, Drug | MAP Kinase Signaling System | Male | Rats | Rats, Sprague-Dawley | Reperfusion Injury [SUMMARY]
[CONTENT] Angiogenesis Inducing Agents | Animals | Bicyclic Monoterpenes | Cerebral Infarction | Dose-Response Relationship, Drug | MAP Kinase Signaling System | Male | Rats | Rats, Sprague-Dawley | Reperfusion Injury [SUMMARY]
[CONTENT] cerebral angiogenesis achieved | angiogenesis ischaemia | promotion cerebral angiogenesis | affects angiogenesis ischaemic | stroke promoting angiogenesis [SUMMARY]
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[CONTENT] cerebral angiogenesis achieved | angiogenesis ischaemia | promotion cerebral angiogenesis | affects angiogenesis ischaemic | stroke promoting angiogenesis [SUMMARY]
[CONTENT] cerebral angiogenesis achieved | angiogenesis ischaemia | promotion cerebral angiogenesis | affects angiogenesis ischaemic | stroke promoting angiogenesis [SUMMARY]
[CONTENT] cerebral angiogenesis achieved | angiogenesis ischaemia | promotion cerebral angiogenesis | affects angiogenesis ischaemic | stroke promoting angiogenesis [SUMMARY]
[CONTENT] cerebral angiogenesis achieved | angiogenesis ischaemia | promotion cerebral angiogenesis | affects angiogenesis ischaemic | stroke promoting angiogenesis [SUMMARY]
[CONTENT] rats | mcao | group | myrtenol | cerebral | mcao rats | brain | expression | erk1 | figure [SUMMARY]
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[CONTENT] rats | mcao | group | myrtenol | cerebral | mcao rats | brain | expression | erk1 | figure [SUMMARY]
[CONTENT] rats | mcao | group | myrtenol | cerebral | mcao rats | brain | expression | erk1 | figure [SUMMARY]
[CONTENT] rats | mcao | group | myrtenol | cerebral | mcao rats | brain | expression | erk1 | figure [SUMMARY]
[CONTENT] rats | mcao | group | myrtenol | cerebral | mcao rats | brain | expression | erk1 | figure [SUMMARY]
[CONTENT] 2020 | injury | effective | myrtenol | cerebral | ci | studies | cerebral injury | 2019 | effective multi target [SUMMARY]
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[CONTENT] mcao | group | myrtenol | rats | mcao rats | 05 | figure | expression | erk1 | mg kg myrtenol group [SUMMARY]
[CONTENT] protective effects | effects | provided | myrtenol | protective | cerebral injury | injury | attenuation brain | theoretical basis clinical application | associated attenuation brain [SUMMARY]
[CONTENT] mcao | myrtenol | group | rats | cerebral | brain | erk1 | expression | mcao rats | vegf [SUMMARY]
[CONTENT] mcao | myrtenol | group | rats | cerebral | brain | erk1 | expression | mcao rats | vegf [SUMMARY]
[CONTENT] ||| Myrtenol [SUMMARY]
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[CONTENT] 1.3  ||| Myrtenol | MCAO | 0.05 | 4.31 ± | 1.29 | 0.00 | 78.95 ± | 2.27% | 85.48 ±  | 1.24% ||| Myrtenol | Bcl-2 | 0.48-fold | Bax | 2.02-fold | 1.36-fold ||| Myrtenol | MCAO | VEGF | 0.86-fold | 0.51-fold ||| Myrtenol | MEK1/2 | 0.80-fold | ERK1/2 | 0.97-fold | MCAO ||| ERK1/2 | MCAO [SUMMARY]
[CONTENT] Myrtenol | ERK1/2 ||| [SUMMARY]
[CONTENT] ||| Myrtenol ||| Sprague-Dawley | MCAO | 90 | MCAO | 10, 30 | 50 mg/kg/day | 10 μL | 7 days ||| ||| 1.3  ||| Myrtenol | MCAO | 0.05 | 4.31 ± | 1.29 | 0.00 | 78.95 ± | 2.27% | 85.48 ±  | 1.24% ||| Myrtenol | Bcl-2 | 0.48-fold | Bax | 2.02-fold | 1.36-fold ||| Myrtenol | MCAO | VEGF | 0.86-fold | 0.51-fold ||| Myrtenol | MEK1/2 | 0.80-fold | ERK1/2 | 0.97-fold | MCAO ||| ERK1/2 | MCAO ||| ERK1/2 ||| [SUMMARY]
[CONTENT] ||| Myrtenol ||| Sprague-Dawley | MCAO | 90 | MCAO | 10, 30 | 50 mg/kg/day | 10 μL | 7 days ||| ||| 1.3  ||| Myrtenol | MCAO | 0.05 | 4.31 ± | 1.29 | 0.00 | 78.95 ± | 2.27% | 85.48 ±  | 1.24% ||| Myrtenol | Bcl-2 | 0.48-fold | Bax | 2.02-fold | 1.36-fold ||| Myrtenol | MCAO | VEGF | 0.86-fold | 0.51-fold ||| Myrtenol | MEK1/2 | 0.80-fold | ERK1/2 | 0.97-fold | MCAO ||| ERK1/2 | MCAO ||| ERK1/2 ||| [SUMMARY]
The influence of nutritional state on the fatty acid composition of circulating lipid fractions: implications for their use as biomarkers of dietary fat intake.
34471486
The fatty acid (FA) composition of blood can be used as an objective biomarker of dietary FA intake. It remains unclear how the nutritional state influences the FA composition of plasma lipid fractions, and thus their usefulness as biomarkers in a non-fasted state.
BACKGROUND
Analysis was performed in plasma samples collected from 49 (34 males and 15 females) participants aged 26-57 years with a body mass index (BMI) between 21.6 and 34.2 kg/m2, all of whom had participated in multiple study visits, thus a pooled cohort of 98 data sets was available for analysis. A subset (n = 25) had undergone nutritional interventions and was therefore used to investigate the relationship between the FA composition of plasma lipid fractions and dietary fat intake.
DESIGN
Significant (P < 0.05) positive associations were observed between dietary polyunsaturated fat and linoleate abundance in plasma CE. When investigating the influence of meal consumption on postprandial FA composition, we found plasma TG palmitate significantly (P < 0.05) decreased across the postprandial period, whereas oleate and linoleate increased. A similar pattern was observed in plasma PL, whereas linoleate abundance decreased in the plasma CE.
RESULTS
Our data demonstrate that the FA composition of plasma CE may be the lipid fraction to utilise as an objective biomarker when investigating recent (i.e. previous weeks-months) dietary FA intakes. In addition, we show that the consumption of a high-fat meal influences the FA composition of plasma TG, PL and CE over the course of the postprandial period, and therefore, suggest that fasting blood samples should be utilised when using FA composition as a biomarker of dietary FA intake.
CONCLUSION
[ "Biomarkers", "Dietary Fats", "Fatty Acids", "Female", "Humans", "Lipids", "Male", "Triglycerides" ]
8384057
Introduction
The high prevalence of metabolic diseases such as cardiovascular disease (CVD) and type 2 diabetes (T2D) are recognised as a global health issue (1). The relationship between dietary fat quantity and quality and metabolic health is highly debated with some suggesting that increased intake of saturated fat is associated with an increased risk for the development of cardiometabolic diseases (e.g. CVD and T2D), whereas others suggest that no relationship exists (2–5). The conflicting findings may be partly attributable to the methods of dietary assessment used in epidemiological studies, which typically involve the use of food-frequency questionnaires or food diaries, which have known limitations (6–8). Using the fatty acid (FA) composition of blood and tissues as a biomarker of dietary FA intake is an additional and objective method of dietary assessment (9, 10). Typically, the FA composition of lipid fractions in blood is measured in the fasting state to avoid the potentially confounding influence of recent dietary FA intake (11, 12). However, although it is often assumed that non-fasting samples cannot be used to investigate biomarkers of dietary FA intake, this assumption has not been fully investigated; it remains unclear as to whether nutritional state influences the FA composition of circulating lipid fractions. For large-scale observational studies, where it can be logistically challenging to obtain fasting samples, it would be useful to determine whether nutritional state influences circulating FA composition as it may potentially reduce the burden on researchers and participants. Although a number of observational studies have previously obtained non-fasted samples from participants (13–17), or have obtained samples after only a relatively short fasting period (minimum of 4 h fasting) (18, 19), it remains unclear whether the presence of recently ingested fat influenced their findings. Therefore, the aim of this study was to investigate: (1) the association between the dietary saturated (SFA), monounsaturated (MUFA) and polyunsaturated (PUFA) FAs in plasma lipid fractions and self-reported dietary FA intakes, and (2) the influence of meal consumption on the relative abundance of specific SFA, MUFA and PUFA in plasma lipid fractions across a 6-h postprandial period.
null
null
Results
Relationship between dietary FA intake and the FA composition of circulating plasma lipid fractions The fasting FA composition of plasma TG, PL and CE fractions is presented in Figure 1. As data were obtained from participants undertaking various dietary interventions, some of which involved increasing dietary carbohydrates/free sugars, and some increasing dietary fat/saturated fat, there were wide variations in self-reported intakes of total fat, SFA, MUFA and PUFA, which is reflective of the specific dietary interventions which were undertaken (Table 2). We assessed the association between dietary FA intake and the abundance of specific FA that represent the major dietary SFA, MUFA and PUFA sources, in the respective plasma lipid fractions. We found no significant associations between dietary FA and the abundance of palmitate, oleate and linoleate in plasma TG or PL (Table 3). However, significant (P < 0.05) positive associations were observed between dietary PUFA and linoleate in plasma CE, whilst there were no associations between dietary SFA and the abundance of plasma CE palmitate, or dietary MUFA and plasma CE oleate (Table 3). Fasting plasma FA composition for (a) TG (n = 98), (b) PL (n = 76) and (c) CE (n = 96). AA, arachidonic acid; EPA, eicosapentaenoic acid; DHA, docosahexaenoic acid. Data are mean ± SD. Dietary fat intake as a proportion of total energy (TE) intake. Data are mean ± SD. n = 46. Spearmans rank correlation coefficients between the abundance of palmitate, oleate, and linoleate in circulating lipid fractions and the relative percentages of energy intake from dietary saturated fatty acids (SFA), polyunsaturated fatty acids (PUFA) and monounsaturated fatty acids (MUFA). P < 0.05. n = 46 for TG, n = 27 for PL and n = 44 for CE. The fasting FA composition of plasma TG, PL and CE fractions is presented in Figure 1. As data were obtained from participants undertaking various dietary interventions, some of which involved increasing dietary carbohydrates/free sugars, and some increasing dietary fat/saturated fat, there were wide variations in self-reported intakes of total fat, SFA, MUFA and PUFA, which is reflective of the specific dietary interventions which were undertaken (Table 2). We assessed the association between dietary FA intake and the abundance of specific FA that represent the major dietary SFA, MUFA and PUFA sources, in the respective plasma lipid fractions. We found no significant associations between dietary FA and the abundance of palmitate, oleate and linoleate in plasma TG or PL (Table 3). However, significant (P < 0.05) positive associations were observed between dietary PUFA and linoleate in plasma CE, whilst there were no associations between dietary SFA and the abundance of plasma CE palmitate, or dietary MUFA and plasma CE oleate (Table 3). Fasting plasma FA composition for (a) TG (n = 98), (b) PL (n = 76) and (c) CE (n = 96). AA, arachidonic acid; EPA, eicosapentaenoic acid; DHA, docosahexaenoic acid. Data are mean ± SD. Dietary fat intake as a proportion of total energy (TE) intake. Data are mean ± SD. n = 46. Spearmans rank correlation coefficients between the abundance of palmitate, oleate, and linoleate in circulating lipid fractions and the relative percentages of energy intake from dietary saturated fatty acids (SFA), polyunsaturated fatty acids (PUFA) and monounsaturated fatty acids (MUFA). P < 0.05. n = 46 for TG, n = 27 for PL and n = 44 for CE. Temporal changes in FA composition following meal consumption As FA composition is typically measured in the fasting state, we investigated whether the consumption of a meal influences the relative abundance of palmitate, oleate and linoleate in circulating lipid fractions. We achieved this by feeding participants a high-fat test meal, of known FA composition, and assessing changes in plasma palmitate, oleate and linoleate over the course of the postprandial period in the respective lipid fractions. The consumption of the test meal significantly (P < 0.05) decreased the abundance of palmitate in plasma TG, with time points 240–360 min being significantly (P < 0.05) lower than time 0 (fasting), and the greatest differences (i.e. ~1.3 mol%) being apparent between 240 min and 0 min (Figure 2a). Conversely, meal consumption significantly (P < 0.05) increased the abundance of oleate, and linoleate in plasma TG, with the oleate peaking at 240 min, which was ~3.8 mol% greater than 0 min (Figure 2b), and linoleate peaking at time point 360 min, which was ~1.1 mol% greater than 0 min (Figure 2c). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma TG in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 98. *P < 0.05 compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. For plasma PL, the general trend was similar to the changes observed in plasma TG, although not as striking. The relative abundance of palmitate was significantly (P < 0.05) decreased by the consumption of the test meal, with significant differences apparent between time points 240–300 min and 0 min, with a nadir at 300 min, which was ~0.7 mol% lower than 0 min (Figure 3a). The relative abundance of oleate was not influenced by meal consumption (Figure 3b). The abundance of linoleate was significantly increased (P < 0.05) following meal consumption, with time points 120 min onwards significantly greater than 0 min, and peaking at 300 min (i.e. ~1.2 mol% greater than 0 min) (Figure 3c). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma PL in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 76. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. In contrast to the FA composition of plasma TG and PL, the consumption of the test meal did not influence the relative abundance of palmitate in plasma CE (Figure 4a). There was, however, a significant (P < 0.05) main effect of time for oleate in plasma CE, although Bonferroni post hoc comparisons revealed no statistically significant differences between any postprandial time points and 0 min (Figure 4b). The abundance of linoleate in plasma CE significantly (P < 0.05) decreased following meal consumption, reaching a nadir at 300 min, which was ~2.6 mol% lower than 0 min (Figure 4). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma CE in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 96. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. As FA composition is typically measured in the fasting state, we investigated whether the consumption of a meal influences the relative abundance of palmitate, oleate and linoleate in circulating lipid fractions. We achieved this by feeding participants a high-fat test meal, of known FA composition, and assessing changes in plasma palmitate, oleate and linoleate over the course of the postprandial period in the respective lipid fractions. The consumption of the test meal significantly (P < 0.05) decreased the abundance of palmitate in plasma TG, with time points 240–360 min being significantly (P < 0.05) lower than time 0 (fasting), and the greatest differences (i.e. ~1.3 mol%) being apparent between 240 min and 0 min (Figure 2a). Conversely, meal consumption significantly (P < 0.05) increased the abundance of oleate, and linoleate in plasma TG, with the oleate peaking at 240 min, which was ~3.8 mol% greater than 0 min (Figure 2b), and linoleate peaking at time point 360 min, which was ~1.1 mol% greater than 0 min (Figure 2c). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma TG in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 98. *P < 0.05 compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. For plasma PL, the general trend was similar to the changes observed in plasma TG, although not as striking. The relative abundance of palmitate was significantly (P < 0.05) decreased by the consumption of the test meal, with significant differences apparent between time points 240–300 min and 0 min, with a nadir at 300 min, which was ~0.7 mol% lower than 0 min (Figure 3a). The relative abundance of oleate was not influenced by meal consumption (Figure 3b). The abundance of linoleate was significantly increased (P < 0.05) following meal consumption, with time points 120 min onwards significantly greater than 0 min, and peaking at 300 min (i.e. ~1.2 mol% greater than 0 min) (Figure 3c). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma PL in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 76. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. In contrast to the FA composition of plasma TG and PL, the consumption of the test meal did not influence the relative abundance of palmitate in plasma CE (Figure 4a). There was, however, a significant (P < 0.05) main effect of time for oleate in plasma CE, although Bonferroni post hoc comparisons revealed no statistically significant differences between any postprandial time points and 0 min (Figure 4b). The abundance of linoleate in plasma CE significantly (P < 0.05) decreased following meal consumption, reaching a nadir at 300 min, which was ~2.6 mol% lower than 0 min (Figure 4). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma CE in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 96. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal.
null
null
[ "Participants", "Dietary interventions and assessments", "Standardised test meal", "Analytical procedures", "Fatty acid composition", "Statistical analysis", "Relationship between dietary FA intake and the FA composition of circulating plasma lipid fractions", "Temporal changes in FA composition following meal consumption" ]
[ "Participants were recruited from the Oxford Biobank (www.oxfordbiobank.org.uk) (20) or from the wider Oxfordshire area through advertisement. Based on data provided at screening, all volunteers were non-diabetic and free from any known disease, were not taking medication known to affect lipid or glucose metabolism, and did not consume alcohol above recommended limits. Some, but not all, of the data reported in this work constitute a reanalysis of previously published studies (21, 22) and ongoing dietary intervention trials (ClinicalTrials.gov identifiers: NCT03090347 and NCT03587753). Data in this manuscript were from a total of 49 (34 males and 15 females) participants aged 26–57 years with a body mass index (BMI) between 21.6 and 34.2 kg/m2 (Table 1). Twenty-five participants were enrolled in one of two dietary intervention studies, both of which involved changing their relative intakes of fat and carbohydrate. The 25 participants were representative of the study population, as they were aged 38–54 years, with a BMI between 22.0 and 34.2 kg/m2. Data from this subset were used to investigate the relationship between dietary FA intake and the fasting FA composition of circulating plasma lipid fractions. However, within this subset, four food diaries were missing or incomplete, leaving 46 complete sets of data for analysis.\nBaseline characteristics of participants.\nData are mean ± SD. n = 49.\nM, male; F, female; HDL, high-density lipoprotein; HOMA-IR, Homeostatic Model Assessment for Insulin Resistance.\nOf the total 49 participants, the remaining 24 participants were enrolled in a randomised crossover study, involving two postprandial study days separated by a 2-week washout period, during which they were asked to maintain their habitual diet and physical activity patterns (21). As all participants (n = 49) included in this study took part in two postprandial study visits, this gave a total of 98 data sets to investigate the temporal changes in plasma FA composition in response to meal consumption. A flow chart of participant recruitment and experimental procedures is presented in Supplementary Fig. 1.\nAll studies were approved by the respective Research Ethics Committee, and all subjects provided written informed consent. Prior to study days, subjects were asked to refrain from strenuous physical activity and to not consume alcohol for a minimum of 24 h. After an overnight fast, subjects came to the Clinical Research Unit at the Oxford Centre for Diabetes, Endocrinology and Metabolism, and a fasting venous blood sample was taken. Subjects were then given a standardised test meal, and venous blood samples were taken at regular intervals for 6 h after meal consumption.", "A subset (n = 25) of participants included in this study underwent dietary interventions. Of these, 16 participated in a randomised crossover trial in which they underwent two dietary interventions: 1) a 4-week low-fat, high-carbohydrate diet enriched in free-sugars and 2) a 4-week high-fat, low-carbohydrate diet enriched in SFA (22). The remaining nine participants were included in an ongoing study (NCT03090347) and underwent either a 2-week low-fat, high-carbohydrate diet enriched in free-sugars (n = 8) or a 2-week high-fat, low-carbohydrate diet enriched in SFA (n = 1) (Supplementary Fig. 1).\nDietary intakes were assessed by food diaries collected on 3 days, including a weekend day. Participants taking part in dietary interventions were instructed to maintain their usual body weight, physical activity levels and alcohol intakes throughout the intervention periods, and were contacted weekly by a member of the research team to aid adherence. Dietary intakes were analysed using the Nutritics dietary analysis online software (Dublin, UK), by a registered dietitian to determine energy and nutrient intakes.", "On the study day, participants consumed a standardised test meal consisting of 40 g cereal (Kellogg’s Rice Krispies), 200 g skimmed milk and a chocolate drink containing 40 g oil, providing 591 kcal, with ~64% energy as fat, ~30% energy as carbohydrate and ~6% energy as protein. The oil used was either olive oil (Meal A) or 15 g sunflower oil plus 25 g palm oil (Meal B). The FA composition of Meal A was ~13% palmitate, ~64% oleate, ~11% linoleate, ~3% stearate and ~9% minor FA, whilst the FA composition of Meal B was ~32% palmitate, ~35% oleate, ~27% linoeate, ~5% stearate and ~1% minor FA. All subjects consumed the same meal twice, separated by a period of 2–11 weeks.", "Whole-blood was collected into heparinised tubes, and plasma was immediately separated for analysis by centrifugation at 4°C. Plasma glucose, triglycerides (TGs), total cholesterol and high-density lipoprotein (HDL) cholesterol were analysed enzymatically (Ilab 600/650 Clinical Chemistry, Werfen).", "Total lipids were extracted from plasma by using chloroform–methanol (2:1, v/v) (23), and plasma lipid fractions (TG, phospholipid [PL] and cholesterol esters [CEs]) were separated by solid-phase extraction (24), followed by methylation using acidified methanol. The FA profile of extracted samples was then determined via gas chromatography with flame ionisation detection (25). FAs were identified by comparing sample retention times to a known standard, and results are expressed as mol%.", "Data were analysed using SPSS (version 25.0). The specific FAs investigated were restricted to the major dietary SFA, MUFA and PUFA (i.e. palmitate, oleate and linoleate, respectively). Normality of variables was assessed by Shapiro–Wilk test and visually by histograms. The Spearmans rank correlation coefficient was used to assess the associations between the specific FAs in lipid fractions and the relative percentages of energy intake from SFA, MUFA and PUFA calculated from 3-day diet diaries. Differences in FA abundance in response to meal consumption were analysed using one-way repeated measures (time) ANOVA. Where a significant main effect of time was noted, Bonferroni post-hoc comparisons were made for postprandial vs. fasting time points (0 min). Data are presented as mean and standard deviation (SD).", "The fasting FA composition of plasma TG, PL and CE fractions is presented in Figure 1. As data were obtained from participants undertaking various dietary interventions, some of which involved increasing dietary carbohydrates/free sugars, and some increasing dietary fat/saturated fat, there were wide variations in self-reported intakes of total fat, SFA, MUFA and PUFA, which is reflective of the specific dietary interventions which were undertaken (Table 2). We assessed the association between dietary FA intake and the abundance of specific FA that represent the major dietary SFA, MUFA and PUFA sources, in the respective plasma lipid fractions. We found no significant associations between dietary FA and the abundance of palmitate, oleate and linoleate in plasma TG or PL (Table 3). However, significant (P < 0.05) positive associations were observed between dietary PUFA and linoleate in plasma CE, whilst there were no associations between dietary SFA and the abundance of plasma CE palmitate, or dietary MUFA and plasma CE oleate (Table 3).\nFasting plasma FA composition for (a) TG (n = 98), (b) PL (n = 76) and (c) CE (n = 96). AA, arachidonic acid; EPA, eicosapentaenoic acid; DHA, docosahexaenoic acid. Data are mean ± SD.\nDietary fat intake as a proportion of total energy (TE) intake.\nData are mean ± SD. n = 46.\nSpearmans rank correlation coefficients between the abundance of palmitate, oleate, and linoleate in circulating lipid fractions and the relative percentages of energy intake from dietary saturated fatty acids (SFA), polyunsaturated fatty acids (PUFA) and monounsaturated fatty acids (MUFA).\nP < 0.05. n = 46 for TG, n = 27 for PL and n = 44 for CE.", "As FA composition is typically measured in the fasting state, we investigated whether the consumption of a meal influences the relative abundance of palmitate, oleate and linoleate in circulating lipid fractions. We achieved this by feeding participants a high-fat test meal, of known FA composition, and assessing changes in plasma palmitate, oleate and linoleate over the course of the postprandial period in the respective lipid fractions.\nThe consumption of the test meal significantly (P < 0.05) decreased the abundance of palmitate in plasma TG, with time points 240–360 min being significantly (P < 0.05) lower than time 0 (fasting), and the greatest differences (i.e. ~1.3 mol%) being apparent between 240 min and 0 min (Figure 2a). Conversely, meal consumption significantly (P < 0.05) increased the abundance of oleate, and linoleate in plasma TG, with the oleate peaking at 240 min, which was ~3.8 mol% greater than 0 min (Figure 2b), and linoleate peaking at time point 360 min, which was ~1.1 mol% greater than 0 min (Figure 2c).\nTemporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma TG in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 98. *P < 0.05 compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal.\nFor plasma PL, the general trend was similar to the changes observed in plasma TG, although not as striking. The relative abundance of palmitate was significantly (P < 0.05) decreased by the consumption of the test meal, with significant differences apparent between time points 240–300 min and 0 min, with a nadir at 300 min, which was ~0.7 mol% lower than 0 min (Figure 3a). The relative abundance of oleate was not influenced by meal consumption (Figure 3b). The abundance of linoleate was significantly increased (P < 0.05) following meal consumption, with time points 120 min onwards significantly greater than 0 min, and peaking at 300 min (i.e. ~1.2 mol% greater than 0 min) (Figure 3c).\nTemporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma PL in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 76. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal.\nIn contrast to the FA composition of plasma TG and PL, the consumption of the test meal did not influence the relative abundance of palmitate in plasma CE (Figure 4a). There was, however, a significant (P < 0.05) main effect of time for oleate in plasma CE, although Bonferroni post hoc comparisons revealed no statistically significant differences between any postprandial time points and 0 min (Figure 4b). The abundance of linoleate in plasma CE significantly (P < 0.05) decreased following meal consumption, reaching a nadir at 300 min, which was ~2.6 mol% lower than 0 min (Figure 4).\nTemporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma CE in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 96. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal." ]
[ null, null, null, null, null, null, null, null ]
[ "Introduction", "Materials and methods", "Participants", "Dietary interventions and assessments", "Standardised test meal", "Analytical procedures", "Fatty acid composition", "Statistical analysis", "Results", "Relationship between dietary FA intake and the FA composition of circulating plasma lipid fractions", "Temporal changes in FA composition following meal consumption", "Discussion" ]
[ "The high prevalence of metabolic diseases such as cardiovascular disease (CVD) and type 2 diabetes (T2D) are recognised as a global health issue (1). The relationship between dietary fat quantity and quality and metabolic health is highly debated with some suggesting that increased intake of saturated fat is associated with an increased risk for the development of cardiometabolic diseases (e.g. CVD and T2D), whereas others suggest that no relationship exists (2–5). The conflicting findings may be partly attributable to the methods of dietary assessment used in epidemiological studies, which typically involve the use of food-frequency questionnaires or food diaries, which have known limitations (6–8). Using the fatty acid (FA) composition of blood and tissues as a biomarker of dietary FA intake is an additional and objective method of dietary assessment (9, 10). Typically, the FA composition of lipid fractions in blood is measured in the fasting state to avoid the potentially confounding influence of recent dietary FA intake (11, 12). However, although it is often assumed that non-fasting samples cannot be used to investigate biomarkers of dietary FA intake, this assumption has not been fully investigated; it remains unclear as to whether nutritional state influences the FA composition of circulating lipid fractions. For large-scale observational studies, where it can be logistically challenging to obtain fasting samples, it would be useful to determine whether nutritional state influences circulating FA composition as it may potentially reduce the burden on researchers and participants. Although a number of observational studies have previously obtained non-fasted samples from participants (13–17), or have obtained samples after only a relatively short fasting period (minimum of 4 h fasting) (18, 19), it remains unclear whether the presence of recently ingested fat influenced their findings. Therefore, the aim of this study was to investigate: (1) the association between the dietary saturated (SFA), monounsaturated (MUFA) and polyunsaturated (PUFA) FAs in plasma lipid fractions and self-reported dietary FA intakes, and (2) the influence of meal consumption on the relative abundance of specific SFA, MUFA and PUFA in plasma lipid fractions across a 6-h postprandial period.", "Participants Participants were recruited from the Oxford Biobank (www.oxfordbiobank.org.uk) (20) or from the wider Oxfordshire area through advertisement. Based on data provided at screening, all volunteers were non-diabetic and free from any known disease, were not taking medication known to affect lipid or glucose metabolism, and did not consume alcohol above recommended limits. Some, but not all, of the data reported in this work constitute a reanalysis of previously published studies (21, 22) and ongoing dietary intervention trials (ClinicalTrials.gov identifiers: NCT03090347 and NCT03587753). Data in this manuscript were from a total of 49 (34 males and 15 females) participants aged 26–57 years with a body mass index (BMI) between 21.6 and 34.2 kg/m2 (Table 1). Twenty-five participants were enrolled in one of two dietary intervention studies, both of which involved changing their relative intakes of fat and carbohydrate. The 25 participants were representative of the study population, as they were aged 38–54 years, with a BMI between 22.0 and 34.2 kg/m2. Data from this subset were used to investigate the relationship between dietary FA intake and the fasting FA composition of circulating plasma lipid fractions. However, within this subset, four food diaries were missing or incomplete, leaving 46 complete sets of data for analysis.\nBaseline characteristics of participants.\nData are mean ± SD. n = 49.\nM, male; F, female; HDL, high-density lipoprotein; HOMA-IR, Homeostatic Model Assessment for Insulin Resistance.\nOf the total 49 participants, the remaining 24 participants were enrolled in a randomised crossover study, involving two postprandial study days separated by a 2-week washout period, during which they were asked to maintain their habitual diet and physical activity patterns (21). As all participants (n = 49) included in this study took part in two postprandial study visits, this gave a total of 98 data sets to investigate the temporal changes in plasma FA composition in response to meal consumption. A flow chart of participant recruitment and experimental procedures is presented in Supplementary Fig. 1.\nAll studies were approved by the respective Research Ethics Committee, and all subjects provided written informed consent. Prior to study days, subjects were asked to refrain from strenuous physical activity and to not consume alcohol for a minimum of 24 h. After an overnight fast, subjects came to the Clinical Research Unit at the Oxford Centre for Diabetes, Endocrinology and Metabolism, and a fasting venous blood sample was taken. Subjects were then given a standardised test meal, and venous blood samples were taken at regular intervals for 6 h after meal consumption.\nParticipants were recruited from the Oxford Biobank (www.oxfordbiobank.org.uk) (20) or from the wider Oxfordshire area through advertisement. Based on data provided at screening, all volunteers were non-diabetic and free from any known disease, were not taking medication known to affect lipid or glucose metabolism, and did not consume alcohol above recommended limits. Some, but not all, of the data reported in this work constitute a reanalysis of previously published studies (21, 22) and ongoing dietary intervention trials (ClinicalTrials.gov identifiers: NCT03090347 and NCT03587753). Data in this manuscript were from a total of 49 (34 males and 15 females) participants aged 26–57 years with a body mass index (BMI) between 21.6 and 34.2 kg/m2 (Table 1). Twenty-five participants were enrolled in one of two dietary intervention studies, both of which involved changing their relative intakes of fat and carbohydrate. The 25 participants were representative of the study population, as they were aged 38–54 years, with a BMI between 22.0 and 34.2 kg/m2. Data from this subset were used to investigate the relationship between dietary FA intake and the fasting FA composition of circulating plasma lipid fractions. However, within this subset, four food diaries were missing or incomplete, leaving 46 complete sets of data for analysis.\nBaseline characteristics of participants.\nData are mean ± SD. n = 49.\nM, male; F, female; HDL, high-density lipoprotein; HOMA-IR, Homeostatic Model Assessment for Insulin Resistance.\nOf the total 49 participants, the remaining 24 participants were enrolled in a randomised crossover study, involving two postprandial study days separated by a 2-week washout period, during which they were asked to maintain their habitual diet and physical activity patterns (21). As all participants (n = 49) included in this study took part in two postprandial study visits, this gave a total of 98 data sets to investigate the temporal changes in plasma FA composition in response to meal consumption. A flow chart of participant recruitment and experimental procedures is presented in Supplementary Fig. 1.\nAll studies were approved by the respective Research Ethics Committee, and all subjects provided written informed consent. Prior to study days, subjects were asked to refrain from strenuous physical activity and to not consume alcohol for a minimum of 24 h. After an overnight fast, subjects came to the Clinical Research Unit at the Oxford Centre for Diabetes, Endocrinology and Metabolism, and a fasting venous blood sample was taken. Subjects were then given a standardised test meal, and venous blood samples were taken at regular intervals for 6 h after meal consumption.\nDietary interventions and assessments A subset (n = 25) of participants included in this study underwent dietary interventions. Of these, 16 participated in a randomised crossover trial in which they underwent two dietary interventions: 1) a 4-week low-fat, high-carbohydrate diet enriched in free-sugars and 2) a 4-week high-fat, low-carbohydrate diet enriched in SFA (22). The remaining nine participants were included in an ongoing study (NCT03090347) and underwent either a 2-week low-fat, high-carbohydrate diet enriched in free-sugars (n = 8) or a 2-week high-fat, low-carbohydrate diet enriched in SFA (n = 1) (Supplementary Fig. 1).\nDietary intakes were assessed by food diaries collected on 3 days, including a weekend day. Participants taking part in dietary interventions were instructed to maintain their usual body weight, physical activity levels and alcohol intakes throughout the intervention periods, and were contacted weekly by a member of the research team to aid adherence. Dietary intakes were analysed using the Nutritics dietary analysis online software (Dublin, UK), by a registered dietitian to determine energy and nutrient intakes.\nA subset (n = 25) of participants included in this study underwent dietary interventions. Of these, 16 participated in a randomised crossover trial in which they underwent two dietary interventions: 1) a 4-week low-fat, high-carbohydrate diet enriched in free-sugars and 2) a 4-week high-fat, low-carbohydrate diet enriched in SFA (22). The remaining nine participants were included in an ongoing study (NCT03090347) and underwent either a 2-week low-fat, high-carbohydrate diet enriched in free-sugars (n = 8) or a 2-week high-fat, low-carbohydrate diet enriched in SFA (n = 1) (Supplementary Fig. 1).\nDietary intakes were assessed by food diaries collected on 3 days, including a weekend day. Participants taking part in dietary interventions were instructed to maintain their usual body weight, physical activity levels and alcohol intakes throughout the intervention periods, and were contacted weekly by a member of the research team to aid adherence. Dietary intakes were analysed using the Nutritics dietary analysis online software (Dublin, UK), by a registered dietitian to determine energy and nutrient intakes.\nStandardised test meal On the study day, participants consumed a standardised test meal consisting of 40 g cereal (Kellogg’s Rice Krispies), 200 g skimmed milk and a chocolate drink containing 40 g oil, providing 591 kcal, with ~64% energy as fat, ~30% energy as carbohydrate and ~6% energy as protein. The oil used was either olive oil (Meal A) or 15 g sunflower oil plus 25 g palm oil (Meal B). The FA composition of Meal A was ~13% palmitate, ~64% oleate, ~11% linoleate, ~3% stearate and ~9% minor FA, whilst the FA composition of Meal B was ~32% palmitate, ~35% oleate, ~27% linoeate, ~5% stearate and ~1% minor FA. All subjects consumed the same meal twice, separated by a period of 2–11 weeks.\nOn the study day, participants consumed a standardised test meal consisting of 40 g cereal (Kellogg’s Rice Krispies), 200 g skimmed milk and a chocolate drink containing 40 g oil, providing 591 kcal, with ~64% energy as fat, ~30% energy as carbohydrate and ~6% energy as protein. The oil used was either olive oil (Meal A) or 15 g sunflower oil plus 25 g palm oil (Meal B). The FA composition of Meal A was ~13% palmitate, ~64% oleate, ~11% linoleate, ~3% stearate and ~9% minor FA, whilst the FA composition of Meal B was ~32% palmitate, ~35% oleate, ~27% linoeate, ~5% stearate and ~1% minor FA. All subjects consumed the same meal twice, separated by a period of 2–11 weeks.\nAnalytical procedures Whole-blood was collected into heparinised tubes, and plasma was immediately separated for analysis by centrifugation at 4°C. Plasma glucose, triglycerides (TGs), total cholesterol and high-density lipoprotein (HDL) cholesterol were analysed enzymatically (Ilab 600/650 Clinical Chemistry, Werfen).\nWhole-blood was collected into heparinised tubes, and plasma was immediately separated for analysis by centrifugation at 4°C. Plasma glucose, triglycerides (TGs), total cholesterol and high-density lipoprotein (HDL) cholesterol were analysed enzymatically (Ilab 600/650 Clinical Chemistry, Werfen).\nFatty acid composition Total lipids were extracted from plasma by using chloroform–methanol (2:1, v/v) (23), and plasma lipid fractions (TG, phospholipid [PL] and cholesterol esters [CEs]) were separated by solid-phase extraction (24), followed by methylation using acidified methanol. The FA profile of extracted samples was then determined via gas chromatography with flame ionisation detection (25). FAs were identified by comparing sample retention times to a known standard, and results are expressed as mol%.\nTotal lipids were extracted from plasma by using chloroform–methanol (2:1, v/v) (23), and plasma lipid fractions (TG, phospholipid [PL] and cholesterol esters [CEs]) were separated by solid-phase extraction (24), followed by methylation using acidified methanol. The FA profile of extracted samples was then determined via gas chromatography with flame ionisation detection (25). FAs were identified by comparing sample retention times to a known standard, and results are expressed as mol%.\nStatistical analysis Data were analysed using SPSS (version 25.0). The specific FAs investigated were restricted to the major dietary SFA, MUFA and PUFA (i.e. palmitate, oleate and linoleate, respectively). Normality of variables was assessed by Shapiro–Wilk test and visually by histograms. The Spearmans rank correlation coefficient was used to assess the associations between the specific FAs in lipid fractions and the relative percentages of energy intake from SFA, MUFA and PUFA calculated from 3-day diet diaries. Differences in FA abundance in response to meal consumption were analysed using one-way repeated measures (time) ANOVA. Where a significant main effect of time was noted, Bonferroni post-hoc comparisons were made for postprandial vs. fasting time points (0 min). Data are presented as mean and standard deviation (SD).\nData were analysed using SPSS (version 25.0). The specific FAs investigated were restricted to the major dietary SFA, MUFA and PUFA (i.e. palmitate, oleate and linoleate, respectively). Normality of variables was assessed by Shapiro–Wilk test and visually by histograms. The Spearmans rank correlation coefficient was used to assess the associations between the specific FAs in lipid fractions and the relative percentages of energy intake from SFA, MUFA and PUFA calculated from 3-day diet diaries. Differences in FA abundance in response to meal consumption were analysed using one-way repeated measures (time) ANOVA. Where a significant main effect of time was noted, Bonferroni post-hoc comparisons were made for postprandial vs. fasting time points (0 min). Data are presented as mean and standard deviation (SD).", "Participants were recruited from the Oxford Biobank (www.oxfordbiobank.org.uk) (20) or from the wider Oxfordshire area through advertisement. Based on data provided at screening, all volunteers were non-diabetic and free from any known disease, were not taking medication known to affect lipid or glucose metabolism, and did not consume alcohol above recommended limits. Some, but not all, of the data reported in this work constitute a reanalysis of previously published studies (21, 22) and ongoing dietary intervention trials (ClinicalTrials.gov identifiers: NCT03090347 and NCT03587753). Data in this manuscript were from a total of 49 (34 males and 15 females) participants aged 26–57 years with a body mass index (BMI) between 21.6 and 34.2 kg/m2 (Table 1). Twenty-five participants were enrolled in one of two dietary intervention studies, both of which involved changing their relative intakes of fat and carbohydrate. The 25 participants were representative of the study population, as they were aged 38–54 years, with a BMI between 22.0 and 34.2 kg/m2. Data from this subset were used to investigate the relationship between dietary FA intake and the fasting FA composition of circulating plasma lipid fractions. However, within this subset, four food diaries were missing or incomplete, leaving 46 complete sets of data for analysis.\nBaseline characteristics of participants.\nData are mean ± SD. n = 49.\nM, male; F, female; HDL, high-density lipoprotein; HOMA-IR, Homeostatic Model Assessment for Insulin Resistance.\nOf the total 49 participants, the remaining 24 participants were enrolled in a randomised crossover study, involving two postprandial study days separated by a 2-week washout period, during which they were asked to maintain their habitual diet and physical activity patterns (21). As all participants (n = 49) included in this study took part in two postprandial study visits, this gave a total of 98 data sets to investigate the temporal changes in plasma FA composition in response to meal consumption. A flow chart of participant recruitment and experimental procedures is presented in Supplementary Fig. 1.\nAll studies were approved by the respective Research Ethics Committee, and all subjects provided written informed consent. Prior to study days, subjects were asked to refrain from strenuous physical activity and to not consume alcohol for a minimum of 24 h. After an overnight fast, subjects came to the Clinical Research Unit at the Oxford Centre for Diabetes, Endocrinology and Metabolism, and a fasting venous blood sample was taken. Subjects were then given a standardised test meal, and venous blood samples were taken at regular intervals for 6 h after meal consumption.", "A subset (n = 25) of participants included in this study underwent dietary interventions. Of these, 16 participated in a randomised crossover trial in which they underwent two dietary interventions: 1) a 4-week low-fat, high-carbohydrate diet enriched in free-sugars and 2) a 4-week high-fat, low-carbohydrate diet enriched in SFA (22). The remaining nine participants were included in an ongoing study (NCT03090347) and underwent either a 2-week low-fat, high-carbohydrate diet enriched in free-sugars (n = 8) or a 2-week high-fat, low-carbohydrate diet enriched in SFA (n = 1) (Supplementary Fig. 1).\nDietary intakes were assessed by food diaries collected on 3 days, including a weekend day. Participants taking part in dietary interventions were instructed to maintain their usual body weight, physical activity levels and alcohol intakes throughout the intervention periods, and were contacted weekly by a member of the research team to aid adherence. Dietary intakes were analysed using the Nutritics dietary analysis online software (Dublin, UK), by a registered dietitian to determine energy and nutrient intakes.", "On the study day, participants consumed a standardised test meal consisting of 40 g cereal (Kellogg’s Rice Krispies), 200 g skimmed milk and a chocolate drink containing 40 g oil, providing 591 kcal, with ~64% energy as fat, ~30% energy as carbohydrate and ~6% energy as protein. The oil used was either olive oil (Meal A) or 15 g sunflower oil plus 25 g palm oil (Meal B). The FA composition of Meal A was ~13% palmitate, ~64% oleate, ~11% linoleate, ~3% stearate and ~9% minor FA, whilst the FA composition of Meal B was ~32% palmitate, ~35% oleate, ~27% linoeate, ~5% stearate and ~1% minor FA. All subjects consumed the same meal twice, separated by a period of 2–11 weeks.", "Whole-blood was collected into heparinised tubes, and plasma was immediately separated for analysis by centrifugation at 4°C. Plasma glucose, triglycerides (TGs), total cholesterol and high-density lipoprotein (HDL) cholesterol were analysed enzymatically (Ilab 600/650 Clinical Chemistry, Werfen).", "Total lipids were extracted from plasma by using chloroform–methanol (2:1, v/v) (23), and plasma lipid fractions (TG, phospholipid [PL] and cholesterol esters [CEs]) were separated by solid-phase extraction (24), followed by methylation using acidified methanol. The FA profile of extracted samples was then determined via gas chromatography with flame ionisation detection (25). FAs were identified by comparing sample retention times to a known standard, and results are expressed as mol%.", "Data were analysed using SPSS (version 25.0). The specific FAs investigated were restricted to the major dietary SFA, MUFA and PUFA (i.e. palmitate, oleate and linoleate, respectively). Normality of variables was assessed by Shapiro–Wilk test and visually by histograms. The Spearmans rank correlation coefficient was used to assess the associations between the specific FAs in lipid fractions and the relative percentages of energy intake from SFA, MUFA and PUFA calculated from 3-day diet diaries. Differences in FA abundance in response to meal consumption were analysed using one-way repeated measures (time) ANOVA. Where a significant main effect of time was noted, Bonferroni post-hoc comparisons were made for postprandial vs. fasting time points (0 min). Data are presented as mean and standard deviation (SD).", "Relationship between dietary FA intake and the FA composition of circulating plasma lipid fractions The fasting FA composition of plasma TG, PL and CE fractions is presented in Figure 1. As data were obtained from participants undertaking various dietary interventions, some of which involved increasing dietary carbohydrates/free sugars, and some increasing dietary fat/saturated fat, there were wide variations in self-reported intakes of total fat, SFA, MUFA and PUFA, which is reflective of the specific dietary interventions which were undertaken (Table 2). We assessed the association between dietary FA intake and the abundance of specific FA that represent the major dietary SFA, MUFA and PUFA sources, in the respective plasma lipid fractions. We found no significant associations between dietary FA and the abundance of palmitate, oleate and linoleate in plasma TG or PL (Table 3). However, significant (P < 0.05) positive associations were observed between dietary PUFA and linoleate in plasma CE, whilst there were no associations between dietary SFA and the abundance of plasma CE palmitate, or dietary MUFA and plasma CE oleate (Table 3).\nFasting plasma FA composition for (a) TG (n = 98), (b) PL (n = 76) and (c) CE (n = 96). AA, arachidonic acid; EPA, eicosapentaenoic acid; DHA, docosahexaenoic acid. Data are mean ± SD.\nDietary fat intake as a proportion of total energy (TE) intake.\nData are mean ± SD. n = 46.\nSpearmans rank correlation coefficients between the abundance of palmitate, oleate, and linoleate in circulating lipid fractions and the relative percentages of energy intake from dietary saturated fatty acids (SFA), polyunsaturated fatty acids (PUFA) and monounsaturated fatty acids (MUFA).\nP < 0.05. n = 46 for TG, n = 27 for PL and n = 44 for CE.\nThe fasting FA composition of plasma TG, PL and CE fractions is presented in Figure 1. As data were obtained from participants undertaking various dietary interventions, some of which involved increasing dietary carbohydrates/free sugars, and some increasing dietary fat/saturated fat, there were wide variations in self-reported intakes of total fat, SFA, MUFA and PUFA, which is reflective of the specific dietary interventions which were undertaken (Table 2). We assessed the association between dietary FA intake and the abundance of specific FA that represent the major dietary SFA, MUFA and PUFA sources, in the respective plasma lipid fractions. We found no significant associations between dietary FA and the abundance of palmitate, oleate and linoleate in plasma TG or PL (Table 3). However, significant (P < 0.05) positive associations were observed between dietary PUFA and linoleate in plasma CE, whilst there were no associations between dietary SFA and the abundance of plasma CE palmitate, or dietary MUFA and plasma CE oleate (Table 3).\nFasting plasma FA composition for (a) TG (n = 98), (b) PL (n = 76) and (c) CE (n = 96). AA, arachidonic acid; EPA, eicosapentaenoic acid; DHA, docosahexaenoic acid. Data are mean ± SD.\nDietary fat intake as a proportion of total energy (TE) intake.\nData are mean ± SD. n = 46.\nSpearmans rank correlation coefficients between the abundance of palmitate, oleate, and linoleate in circulating lipid fractions and the relative percentages of energy intake from dietary saturated fatty acids (SFA), polyunsaturated fatty acids (PUFA) and monounsaturated fatty acids (MUFA).\nP < 0.05. n = 46 for TG, n = 27 for PL and n = 44 for CE.\nTemporal changes in FA composition following meal consumption As FA composition is typically measured in the fasting state, we investigated whether the consumption of a meal influences the relative abundance of palmitate, oleate and linoleate in circulating lipid fractions. We achieved this by feeding participants a high-fat test meal, of known FA composition, and assessing changes in plasma palmitate, oleate and linoleate over the course of the postprandial period in the respective lipid fractions.\nThe consumption of the test meal significantly (P < 0.05) decreased the abundance of palmitate in plasma TG, with time points 240–360 min being significantly (P < 0.05) lower than time 0 (fasting), and the greatest differences (i.e. ~1.3 mol%) being apparent between 240 min and 0 min (Figure 2a). Conversely, meal consumption significantly (P < 0.05) increased the abundance of oleate, and linoleate in plasma TG, with the oleate peaking at 240 min, which was ~3.8 mol% greater than 0 min (Figure 2b), and linoleate peaking at time point 360 min, which was ~1.1 mol% greater than 0 min (Figure 2c).\nTemporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma TG in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 98. *P < 0.05 compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal.\nFor plasma PL, the general trend was similar to the changes observed in plasma TG, although not as striking. The relative abundance of palmitate was significantly (P < 0.05) decreased by the consumption of the test meal, with significant differences apparent between time points 240–300 min and 0 min, with a nadir at 300 min, which was ~0.7 mol% lower than 0 min (Figure 3a). The relative abundance of oleate was not influenced by meal consumption (Figure 3b). The abundance of linoleate was significantly increased (P < 0.05) following meal consumption, with time points 120 min onwards significantly greater than 0 min, and peaking at 300 min (i.e. ~1.2 mol% greater than 0 min) (Figure 3c).\nTemporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma PL in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 76. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal.\nIn contrast to the FA composition of plasma TG and PL, the consumption of the test meal did not influence the relative abundance of palmitate in plasma CE (Figure 4a). There was, however, a significant (P < 0.05) main effect of time for oleate in plasma CE, although Bonferroni post hoc comparisons revealed no statistically significant differences between any postprandial time points and 0 min (Figure 4b). The abundance of linoleate in plasma CE significantly (P < 0.05) decreased following meal consumption, reaching a nadir at 300 min, which was ~2.6 mol% lower than 0 min (Figure 4).\nTemporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma CE in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 96. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal.\nAs FA composition is typically measured in the fasting state, we investigated whether the consumption of a meal influences the relative abundance of palmitate, oleate and linoleate in circulating lipid fractions. We achieved this by feeding participants a high-fat test meal, of known FA composition, and assessing changes in plasma palmitate, oleate and linoleate over the course of the postprandial period in the respective lipid fractions.\nThe consumption of the test meal significantly (P < 0.05) decreased the abundance of palmitate in plasma TG, with time points 240–360 min being significantly (P < 0.05) lower than time 0 (fasting), and the greatest differences (i.e. ~1.3 mol%) being apparent between 240 min and 0 min (Figure 2a). Conversely, meal consumption significantly (P < 0.05) increased the abundance of oleate, and linoleate in plasma TG, with the oleate peaking at 240 min, which was ~3.8 mol% greater than 0 min (Figure 2b), and linoleate peaking at time point 360 min, which was ~1.1 mol% greater than 0 min (Figure 2c).\nTemporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma TG in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 98. *P < 0.05 compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal.\nFor plasma PL, the general trend was similar to the changes observed in plasma TG, although not as striking. The relative abundance of palmitate was significantly (P < 0.05) decreased by the consumption of the test meal, with significant differences apparent between time points 240–300 min and 0 min, with a nadir at 300 min, which was ~0.7 mol% lower than 0 min (Figure 3a). The relative abundance of oleate was not influenced by meal consumption (Figure 3b). The abundance of linoleate was significantly increased (P < 0.05) following meal consumption, with time points 120 min onwards significantly greater than 0 min, and peaking at 300 min (i.e. ~1.2 mol% greater than 0 min) (Figure 3c).\nTemporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma PL in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 76. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal.\nIn contrast to the FA composition of plasma TG and PL, the consumption of the test meal did not influence the relative abundance of palmitate in plasma CE (Figure 4a). There was, however, a significant (P < 0.05) main effect of time for oleate in plasma CE, although Bonferroni post hoc comparisons revealed no statistically significant differences between any postprandial time points and 0 min (Figure 4b). The abundance of linoleate in plasma CE significantly (P < 0.05) decreased following meal consumption, reaching a nadir at 300 min, which was ~2.6 mol% lower than 0 min (Figure 4).\nTemporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma CE in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 96. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal.", "The fasting FA composition of plasma TG, PL and CE fractions is presented in Figure 1. As data were obtained from participants undertaking various dietary interventions, some of which involved increasing dietary carbohydrates/free sugars, and some increasing dietary fat/saturated fat, there were wide variations in self-reported intakes of total fat, SFA, MUFA and PUFA, which is reflective of the specific dietary interventions which were undertaken (Table 2). We assessed the association between dietary FA intake and the abundance of specific FA that represent the major dietary SFA, MUFA and PUFA sources, in the respective plasma lipid fractions. We found no significant associations between dietary FA and the abundance of palmitate, oleate and linoleate in plasma TG or PL (Table 3). However, significant (P < 0.05) positive associations were observed between dietary PUFA and linoleate in plasma CE, whilst there were no associations between dietary SFA and the abundance of plasma CE palmitate, or dietary MUFA and plasma CE oleate (Table 3).\nFasting plasma FA composition for (a) TG (n = 98), (b) PL (n = 76) and (c) CE (n = 96). AA, arachidonic acid; EPA, eicosapentaenoic acid; DHA, docosahexaenoic acid. Data are mean ± SD.\nDietary fat intake as a proportion of total energy (TE) intake.\nData are mean ± SD. n = 46.\nSpearmans rank correlation coefficients between the abundance of palmitate, oleate, and linoleate in circulating lipid fractions and the relative percentages of energy intake from dietary saturated fatty acids (SFA), polyunsaturated fatty acids (PUFA) and monounsaturated fatty acids (MUFA).\nP < 0.05. n = 46 for TG, n = 27 for PL and n = 44 for CE.", "As FA composition is typically measured in the fasting state, we investigated whether the consumption of a meal influences the relative abundance of palmitate, oleate and linoleate in circulating lipid fractions. We achieved this by feeding participants a high-fat test meal, of known FA composition, and assessing changes in plasma palmitate, oleate and linoleate over the course of the postprandial period in the respective lipid fractions.\nThe consumption of the test meal significantly (P < 0.05) decreased the abundance of palmitate in plasma TG, with time points 240–360 min being significantly (P < 0.05) lower than time 0 (fasting), and the greatest differences (i.e. ~1.3 mol%) being apparent between 240 min and 0 min (Figure 2a). Conversely, meal consumption significantly (P < 0.05) increased the abundance of oleate, and linoleate in plasma TG, with the oleate peaking at 240 min, which was ~3.8 mol% greater than 0 min (Figure 2b), and linoleate peaking at time point 360 min, which was ~1.1 mol% greater than 0 min (Figure 2c).\nTemporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma TG in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 98. *P < 0.05 compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal.\nFor plasma PL, the general trend was similar to the changes observed in plasma TG, although not as striking. The relative abundance of palmitate was significantly (P < 0.05) decreased by the consumption of the test meal, with significant differences apparent between time points 240–300 min and 0 min, with a nadir at 300 min, which was ~0.7 mol% lower than 0 min (Figure 3a). The relative abundance of oleate was not influenced by meal consumption (Figure 3b). The abundance of linoleate was significantly increased (P < 0.05) following meal consumption, with time points 120 min onwards significantly greater than 0 min, and peaking at 300 min (i.e. ~1.2 mol% greater than 0 min) (Figure 3c).\nTemporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma PL in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 76. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal.\nIn contrast to the FA composition of plasma TG and PL, the consumption of the test meal did not influence the relative abundance of palmitate in plasma CE (Figure 4a). There was, however, a significant (P < 0.05) main effect of time for oleate in plasma CE, although Bonferroni post hoc comparisons revealed no statistically significant differences between any postprandial time points and 0 min (Figure 4b). The abundance of linoleate in plasma CE significantly (P < 0.05) decreased following meal consumption, reaching a nadir at 300 min, which was ~2.6 mol% lower than 0 min (Figure 4).\nTemporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma CE in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 96. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal.", "The FA composition of blood and tissues has frequently been used as a biomarker of dietary FA intake (9). Typically, the FA composition of blood lipids is measured in blood samples taken from individuals after an overnight fast. However, some large-scale observational studies have utilised non-fasting samples (13–17), and it remains unclear if feeding influences the postprandial FA composition of plasma lipid fractions. We therefore aimed to assess the associations between FA composition in plasma lipid fractions and dietary FA intake in participants who had undergone dietary interventions to investigate biomarkers of dietary FA intake. In addition, we aimed to determine the influence of meal consumption on the postprandial FA composition of plasma TG, PL and CE. Overall, our findings suggest that the FA composition of plasma TG or PL does not reflect dietary fat intakes over the short term (2–4 weeks), whereas the relative abundance of plasma CE linoleate was positively associated with self-reported intakes of PUFA. Thus, plasma CE linoleate may represent a valid biomarker of dietary PUFA even in situations where individuals have recently altered their dietary FA intakes. Moreover, our data indicate that the consumption of a high-fat test meal acutely influences the FA composition of plasma TG, PL and CE. Therefore, it would seem prudent to suggest that fasting blood samples should be utilised when using FA composition as a biomarker of dietary FA intake, as the consumption of a high-fat meal may confound measurements of FA composition taken in a non-fasting state.\nMeasurement of FA composition in various tissue and plasma lipid pools provides an objective assessment of dietary FA intake, which may strengthen data obtained from self-reported dietary records which have limitations (e.g. underreporting) (7, 8, 26). It has been suggested that due to the slow turnover of adipose tissue (i.e. half-life of ~600 days), adipose tissue FA composition may be most reflective of long-term (i.e. 2–3 years) fat intake (27–29). In contrast, the FA composition of red blood cells, plasma CE and PL has been shown to reflect dietary fat intakes within weeks (29–31). Epidemiological investigations have generally used the FA composition of various plasma/serum lipid fractions as biomarkers of dietary FA intake (32, 33), which may be because blood sampling is relatively simpler than adipose tissue biopsies. However, there is heterogeneity between the metabolism and turnover of circulating lipid fractions, which is reflected in their FA composition, and debate continues as to which plasma lipid fraction represents the most accurate biomarker of dietary fat intake. We therefore investigated the relationship between self-reported dietary fat intake and the relative abundance of palmitate, oleate and linoleate (representative of the major SFA, MUFA and PUFA) in plasma TG, PL and CE.\nIn line with previous observations (9), we found a positive association between the abundance of linoleate in plasma CE and dietary PUFA intake, but observed no significant associations relative abundance of palmitate or oleate in plasma CE and dietary SFA and MUFA, respectively. We also observed no associations between specific FAs in the plasma TG or PL fraction and self-reported intake of dietary SFA, MUFA and PUFA. It is plausible that positive associations are observed more often for PUFA than other FAs as linoleate represents an essential FA, whereas the in vivo synthesis of palmitate and oleate may influence their circulating abundance independently of dietary intake. Equally, palmitate and oleate are relatively ubiquitous in foods, which, when combined with the inability of FA composition measures to establish quantitative intakes, may make it challenging to separate individuals with low and high intakes of these FA. When comparing the utility of FAs in various lipid fractions as biomarkers of dietary FA intake, Furtado et al. (12) reported that combining plasma TG and non-esterified FA (NEFA) fractions was more reflective of dietary FA intake than total plasma, CE or PL FA composition. The difference between our findings and those of Furtado et al. (12) is likely due to differences in study design. Participants in our study completed 2–4 weeks dietary interventions at the time of assessment, whereas those studied by Furtado et al. (12) had not undertaken a dietary intervention and were consuming their habitual diet, which was assessed using a food frequency questionnaire examining intakes over the previous year. It is therefore plausible that the strength of the correlation for the combined TG and NEFA fraction was driven by NEFA FA composition, which has been suggested to be reflective of adipose tissue FA composition (34).\nWe found that the abundance of palmitate, oleate and linoleate in plasma TG, PL and CE was influenced by a high-fat meal in a manner which reflected, to a degree, the FA composition of the test meal. Changes in FA abundance were specific to lipid fractions. The plasma TG and PL fractions were influenced to a greater extent than plasma CE. It is unsurprising that the composition of circulating TG was altered during the postprandial period as ingested FAs are initially incorporated into chylomicron-TG prior to entering the circulation (35), and the incorporation of dietary FA into hepatic very low-density lipoprotein (VLDL) TG also occurs relatively soon after ingestion (25). Thus, our data are in-line with others who have previously demonstrated that changes in the non-fasting FA composition of plasma TG are reflective of the recently ingested meal FA composition (36–38). We also show that the FA composition of plasma PL and CE is influenced by the intake of a high-fat mixed meal with significant differences apparent from 60-min onwards, dependent on the fraction and FA. Recently, Shokry et al. demonstrated that the abundance of some FA in plasma TG and NEFA, including linoleate, changed during a 7-h postprandial period following a high-calorie mixed macronutrient test meal (45 g of fat and 97 g of carbohydrate); the plasma PL FA composition was unaffected (38). This finding is in contrast to our observations, but may be explained in part by the difference in the FA composition of the meals, with Shokry et al. feeding a test meal containing 26.4 g of linoleate (i.e. over 50% of the fat component). Meal consumption has also been shown to influence the FA composition of plasma PL when assessed using lipidomic methodologies (39, 40). Our observations are in line with Karupaiah et al. who reported changes in plasma CE within 7-h, which reflected the fat composition of the consumed meal (41). Thus, regardless of methodology (GC or lipidomics), it would seem that changes in both PL and CE species have been observed in the non-fasting compared with the fasting state, but the degree and manner of change may be dependent on the composition of the test meal.\nIn the present work, the abundance of linoleate increased in the TG and PL fractions but decreased in the CE. These differences may be explained by differences in FA incorporation time between the fractions, as the synthesis of CE involves the enzymatic transfer of an FA from PL and cholesterol precursors, typically from the sn-2 position of PL, which is commonly occupied by a PUFA (9). Using stable isotope tracer methodology, we have previously shown the incorporation of linoleate in plasma PL is greater than palmitate following a high-fat mixed meal (21), demonstrating the metabolic heterogeneity of specific FA in lipid fractions. It is therefore plausible that the incorporation time of linoleate in plasma CE from PL is longer than we have investigated, and that the abundance of linoleate in plasma CE may have increased at a time point later than the 6-h period examined here.\nOur study has a number of limitations, including: all subjects were free from known metabolic disease, and results may therefore not be reflective of other metabolic phenotypes. For instance, individuals with metabolic-associated fatty liver disease (MAFLD) demonstrate increased de novo lipogenesis (DNL) relative to their non-MAFLD counterparts (42), which may lead to an increased palmitate abundance in plasma lipid fractions. Participants consumed a single test meal, which was high in fat; therefore, we cannot exclude the possibility that non-fasting FA composition would change further if we had given a subsequent/second meal (i.e. more reflective of habitual dietary pattern in most individuals). Moreover, it remains unclear if the responses observed were mediated by the quantity, along with the quality of FA in the meal; it could be speculated that a lower fat meal may result in less notable/obvious responses/changes. Our test meals were devoid of marine n-3 FA; thus, we are unable to comment on the stability of these FA across the postprandial period, but it would be of interest to investigate this given their usefulness as biomarkers (43–45). Similarly, we only assessed the most abundant SFA, MUFA and PUFA; therefore, our findings cannot be extrapolated to FA of lower abundance, for example, myristate, pentadecanoic acid, stearate and arachidonic acid. We did not assess the FA composition of plasma NEFA, which whilst being a potentially good marker of long-term dietary FA intake (as it reflects AT FA composition) (9), likely does not reflect short- to medium-term dietary intake. In addition, we and others have previously shown that during the postprandial period chylomicron-derived dietary FA spillover contributes 10–50% of FA within the systemic NEFA pool (46–48). Thus, similar to plasma TG FA composition with meal consumption, the FA composition of plasma NEFA would be highly influenced over the postprandial period by the fat content and FA composition of the recently consumed meal.\nIn conclusion, our data demonstrate that the FA composition of plasma TG and CE does not reflect short-term (i.e. previous weeks) dietary FA intakes, and that the FA composition of plasma CE may be the lipid fraction to utilise as an objective biomarker when investigating recent dietary FA intakes over this period. In addition, we show that the consumption of a high-fat meal influences the FA composition of plasma TG, PL and CE over the course of the postprandial period, with responses appearing to be specific to FAs in the different lipid fractions. Thus, the FA composition of plasma lipid fractions during the postprandial period (i.e. 1–6 h post meal) may not reflect fasting values. Based on these observations, it would be prudent to suggest that fasting blood samples should be utilised when using FA composition as a biomarker of dietary FA intake." ]
[ "intro", "material|methods", null, null, null, null, null, null, "results", null, null, "discussion" ]
[ "Postprandial", "fatty acids", "biomarker", "lipid fractions", "fatty acid composition" ]
Introduction: The high prevalence of metabolic diseases such as cardiovascular disease (CVD) and type 2 diabetes (T2D) are recognised as a global health issue (1). The relationship between dietary fat quantity and quality and metabolic health is highly debated with some suggesting that increased intake of saturated fat is associated with an increased risk for the development of cardiometabolic diseases (e.g. CVD and T2D), whereas others suggest that no relationship exists (2–5). The conflicting findings may be partly attributable to the methods of dietary assessment used in epidemiological studies, which typically involve the use of food-frequency questionnaires or food diaries, which have known limitations (6–8). Using the fatty acid (FA) composition of blood and tissues as a biomarker of dietary FA intake is an additional and objective method of dietary assessment (9, 10). Typically, the FA composition of lipid fractions in blood is measured in the fasting state to avoid the potentially confounding influence of recent dietary FA intake (11, 12). However, although it is often assumed that non-fasting samples cannot be used to investigate biomarkers of dietary FA intake, this assumption has not been fully investigated; it remains unclear as to whether nutritional state influences the FA composition of circulating lipid fractions. For large-scale observational studies, where it can be logistically challenging to obtain fasting samples, it would be useful to determine whether nutritional state influences circulating FA composition as it may potentially reduce the burden on researchers and participants. Although a number of observational studies have previously obtained non-fasted samples from participants (13–17), or have obtained samples after only a relatively short fasting period (minimum of 4 h fasting) (18, 19), it remains unclear whether the presence of recently ingested fat influenced their findings. Therefore, the aim of this study was to investigate: (1) the association between the dietary saturated (SFA), monounsaturated (MUFA) and polyunsaturated (PUFA) FAs in plasma lipid fractions and self-reported dietary FA intakes, and (2) the influence of meal consumption on the relative abundance of specific SFA, MUFA and PUFA in plasma lipid fractions across a 6-h postprandial period. Materials and methods: Participants Participants were recruited from the Oxford Biobank (www.oxfordbiobank.org.uk) (20) or from the wider Oxfordshire area through advertisement. Based on data provided at screening, all volunteers were non-diabetic and free from any known disease, were not taking medication known to affect lipid or glucose metabolism, and did not consume alcohol above recommended limits. Some, but not all, of the data reported in this work constitute a reanalysis of previously published studies (21, 22) and ongoing dietary intervention trials (ClinicalTrials.gov identifiers: NCT03090347 and NCT03587753). Data in this manuscript were from a total of 49 (34 males and 15 females) participants aged 26–57 years with a body mass index (BMI) between 21.6 and 34.2 kg/m2 (Table 1). Twenty-five participants were enrolled in one of two dietary intervention studies, both of which involved changing their relative intakes of fat and carbohydrate. The 25 participants were representative of the study population, as they were aged 38–54 years, with a BMI between 22.0 and 34.2 kg/m2. Data from this subset were used to investigate the relationship between dietary FA intake and the fasting FA composition of circulating plasma lipid fractions. However, within this subset, four food diaries were missing or incomplete, leaving 46 complete sets of data for analysis. Baseline characteristics of participants. Data are mean ± SD. n = 49. M, male; F, female; HDL, high-density lipoprotein; HOMA-IR, Homeostatic Model Assessment for Insulin Resistance. Of the total 49 participants, the remaining 24 participants were enrolled in a randomised crossover study, involving two postprandial study days separated by a 2-week washout period, during which they were asked to maintain their habitual diet and physical activity patterns (21). As all participants (n = 49) included in this study took part in two postprandial study visits, this gave a total of 98 data sets to investigate the temporal changes in plasma FA composition in response to meal consumption. A flow chart of participant recruitment and experimental procedures is presented in Supplementary Fig. 1. All studies were approved by the respective Research Ethics Committee, and all subjects provided written informed consent. Prior to study days, subjects were asked to refrain from strenuous physical activity and to not consume alcohol for a minimum of 24 h. After an overnight fast, subjects came to the Clinical Research Unit at the Oxford Centre for Diabetes, Endocrinology and Metabolism, and a fasting venous blood sample was taken. Subjects were then given a standardised test meal, and venous blood samples were taken at regular intervals for 6 h after meal consumption. Participants were recruited from the Oxford Biobank (www.oxfordbiobank.org.uk) (20) or from the wider Oxfordshire area through advertisement. Based on data provided at screening, all volunteers were non-diabetic and free from any known disease, were not taking medication known to affect lipid or glucose metabolism, and did not consume alcohol above recommended limits. Some, but not all, of the data reported in this work constitute a reanalysis of previously published studies (21, 22) and ongoing dietary intervention trials (ClinicalTrials.gov identifiers: NCT03090347 and NCT03587753). Data in this manuscript were from a total of 49 (34 males and 15 females) participants aged 26–57 years with a body mass index (BMI) between 21.6 and 34.2 kg/m2 (Table 1). Twenty-five participants were enrolled in one of two dietary intervention studies, both of which involved changing their relative intakes of fat and carbohydrate. The 25 participants were representative of the study population, as they were aged 38–54 years, with a BMI between 22.0 and 34.2 kg/m2. Data from this subset were used to investigate the relationship between dietary FA intake and the fasting FA composition of circulating plasma lipid fractions. However, within this subset, four food diaries were missing or incomplete, leaving 46 complete sets of data for analysis. Baseline characteristics of participants. Data are mean ± SD. n = 49. M, male; F, female; HDL, high-density lipoprotein; HOMA-IR, Homeostatic Model Assessment for Insulin Resistance. Of the total 49 participants, the remaining 24 participants were enrolled in a randomised crossover study, involving two postprandial study days separated by a 2-week washout period, during which they were asked to maintain their habitual diet and physical activity patterns (21). As all participants (n = 49) included in this study took part in two postprandial study visits, this gave a total of 98 data sets to investigate the temporal changes in plasma FA composition in response to meal consumption. A flow chart of participant recruitment and experimental procedures is presented in Supplementary Fig. 1. All studies were approved by the respective Research Ethics Committee, and all subjects provided written informed consent. Prior to study days, subjects were asked to refrain from strenuous physical activity and to not consume alcohol for a minimum of 24 h. After an overnight fast, subjects came to the Clinical Research Unit at the Oxford Centre for Diabetes, Endocrinology and Metabolism, and a fasting venous blood sample was taken. Subjects were then given a standardised test meal, and venous blood samples were taken at regular intervals for 6 h after meal consumption. Dietary interventions and assessments A subset (n = 25) of participants included in this study underwent dietary interventions. Of these, 16 participated in a randomised crossover trial in which they underwent two dietary interventions: 1) a 4-week low-fat, high-carbohydrate diet enriched in free-sugars and 2) a 4-week high-fat, low-carbohydrate diet enriched in SFA (22). The remaining nine participants were included in an ongoing study (NCT03090347) and underwent either a 2-week low-fat, high-carbohydrate diet enriched in free-sugars (n = 8) or a 2-week high-fat, low-carbohydrate diet enriched in SFA (n = 1) (Supplementary Fig. 1). Dietary intakes were assessed by food diaries collected on 3 days, including a weekend day. Participants taking part in dietary interventions were instructed to maintain their usual body weight, physical activity levels and alcohol intakes throughout the intervention periods, and were contacted weekly by a member of the research team to aid adherence. Dietary intakes were analysed using the Nutritics dietary analysis online software (Dublin, UK), by a registered dietitian to determine energy and nutrient intakes. A subset (n = 25) of participants included in this study underwent dietary interventions. Of these, 16 participated in a randomised crossover trial in which they underwent two dietary interventions: 1) a 4-week low-fat, high-carbohydrate diet enriched in free-sugars and 2) a 4-week high-fat, low-carbohydrate diet enriched in SFA (22). The remaining nine participants were included in an ongoing study (NCT03090347) and underwent either a 2-week low-fat, high-carbohydrate diet enriched in free-sugars (n = 8) or a 2-week high-fat, low-carbohydrate diet enriched in SFA (n = 1) (Supplementary Fig. 1). Dietary intakes were assessed by food diaries collected on 3 days, including a weekend day. Participants taking part in dietary interventions were instructed to maintain their usual body weight, physical activity levels and alcohol intakes throughout the intervention periods, and were contacted weekly by a member of the research team to aid adherence. Dietary intakes were analysed using the Nutritics dietary analysis online software (Dublin, UK), by a registered dietitian to determine energy and nutrient intakes. Standardised test meal On the study day, participants consumed a standardised test meal consisting of 40 g cereal (Kellogg’s Rice Krispies), 200 g skimmed milk and a chocolate drink containing 40 g oil, providing 591 kcal, with ~64% energy as fat, ~30% energy as carbohydrate and ~6% energy as protein. The oil used was either olive oil (Meal A) or 15 g sunflower oil plus 25 g palm oil (Meal B). The FA composition of Meal A was ~13% palmitate, ~64% oleate, ~11% linoleate, ~3% stearate and ~9% minor FA, whilst the FA composition of Meal B was ~32% palmitate, ~35% oleate, ~27% linoeate, ~5% stearate and ~1% minor FA. All subjects consumed the same meal twice, separated by a period of 2–11 weeks. On the study day, participants consumed a standardised test meal consisting of 40 g cereal (Kellogg’s Rice Krispies), 200 g skimmed milk and a chocolate drink containing 40 g oil, providing 591 kcal, with ~64% energy as fat, ~30% energy as carbohydrate and ~6% energy as protein. The oil used was either olive oil (Meal A) or 15 g sunflower oil plus 25 g palm oil (Meal B). The FA composition of Meal A was ~13% palmitate, ~64% oleate, ~11% linoleate, ~3% stearate and ~9% minor FA, whilst the FA composition of Meal B was ~32% palmitate, ~35% oleate, ~27% linoeate, ~5% stearate and ~1% minor FA. All subjects consumed the same meal twice, separated by a period of 2–11 weeks. Analytical procedures Whole-blood was collected into heparinised tubes, and plasma was immediately separated for analysis by centrifugation at 4°C. Plasma glucose, triglycerides (TGs), total cholesterol and high-density lipoprotein (HDL) cholesterol were analysed enzymatically (Ilab 600/650 Clinical Chemistry, Werfen). Whole-blood was collected into heparinised tubes, and plasma was immediately separated for analysis by centrifugation at 4°C. Plasma glucose, triglycerides (TGs), total cholesterol and high-density lipoprotein (HDL) cholesterol were analysed enzymatically (Ilab 600/650 Clinical Chemistry, Werfen). Fatty acid composition Total lipids were extracted from plasma by using chloroform–methanol (2:1, v/v) (23), and plasma lipid fractions (TG, phospholipid [PL] and cholesterol esters [CEs]) were separated by solid-phase extraction (24), followed by methylation using acidified methanol. The FA profile of extracted samples was then determined via gas chromatography with flame ionisation detection (25). FAs were identified by comparing sample retention times to a known standard, and results are expressed as mol%. Total lipids were extracted from plasma by using chloroform–methanol (2:1, v/v) (23), and plasma lipid fractions (TG, phospholipid [PL] and cholesterol esters [CEs]) were separated by solid-phase extraction (24), followed by methylation using acidified methanol. The FA profile of extracted samples was then determined via gas chromatography with flame ionisation detection (25). FAs were identified by comparing sample retention times to a known standard, and results are expressed as mol%. Statistical analysis Data were analysed using SPSS (version 25.0). The specific FAs investigated were restricted to the major dietary SFA, MUFA and PUFA (i.e. palmitate, oleate and linoleate, respectively). Normality of variables was assessed by Shapiro–Wilk test and visually by histograms. The Spearmans rank correlation coefficient was used to assess the associations between the specific FAs in lipid fractions and the relative percentages of energy intake from SFA, MUFA and PUFA calculated from 3-day diet diaries. Differences in FA abundance in response to meal consumption were analysed using one-way repeated measures (time) ANOVA. Where a significant main effect of time was noted, Bonferroni post-hoc comparisons were made for postprandial vs. fasting time points (0 min). Data are presented as mean and standard deviation (SD). Data were analysed using SPSS (version 25.0). The specific FAs investigated were restricted to the major dietary SFA, MUFA and PUFA (i.e. palmitate, oleate and linoleate, respectively). Normality of variables was assessed by Shapiro–Wilk test and visually by histograms. The Spearmans rank correlation coefficient was used to assess the associations between the specific FAs in lipid fractions and the relative percentages of energy intake from SFA, MUFA and PUFA calculated from 3-day diet diaries. Differences in FA abundance in response to meal consumption were analysed using one-way repeated measures (time) ANOVA. Where a significant main effect of time was noted, Bonferroni post-hoc comparisons were made for postprandial vs. fasting time points (0 min). Data are presented as mean and standard deviation (SD). Participants: Participants were recruited from the Oxford Biobank (www.oxfordbiobank.org.uk) (20) or from the wider Oxfordshire area through advertisement. Based on data provided at screening, all volunteers were non-diabetic and free from any known disease, were not taking medication known to affect lipid or glucose metabolism, and did not consume alcohol above recommended limits. Some, but not all, of the data reported in this work constitute a reanalysis of previously published studies (21, 22) and ongoing dietary intervention trials (ClinicalTrials.gov identifiers: NCT03090347 and NCT03587753). Data in this manuscript were from a total of 49 (34 males and 15 females) participants aged 26–57 years with a body mass index (BMI) between 21.6 and 34.2 kg/m2 (Table 1). Twenty-five participants were enrolled in one of two dietary intervention studies, both of which involved changing their relative intakes of fat and carbohydrate. The 25 participants were representative of the study population, as they were aged 38–54 years, with a BMI between 22.0 and 34.2 kg/m2. Data from this subset were used to investigate the relationship between dietary FA intake and the fasting FA composition of circulating plasma lipid fractions. However, within this subset, four food diaries were missing or incomplete, leaving 46 complete sets of data for analysis. Baseline characteristics of participants. Data are mean ± SD. n = 49. M, male; F, female; HDL, high-density lipoprotein; HOMA-IR, Homeostatic Model Assessment for Insulin Resistance. Of the total 49 participants, the remaining 24 participants were enrolled in a randomised crossover study, involving two postprandial study days separated by a 2-week washout period, during which they were asked to maintain their habitual diet and physical activity patterns (21). As all participants (n = 49) included in this study took part in two postprandial study visits, this gave a total of 98 data sets to investigate the temporal changes in plasma FA composition in response to meal consumption. A flow chart of participant recruitment and experimental procedures is presented in Supplementary Fig. 1. All studies were approved by the respective Research Ethics Committee, and all subjects provided written informed consent. Prior to study days, subjects were asked to refrain from strenuous physical activity and to not consume alcohol for a minimum of 24 h. After an overnight fast, subjects came to the Clinical Research Unit at the Oxford Centre for Diabetes, Endocrinology and Metabolism, and a fasting venous blood sample was taken. Subjects were then given a standardised test meal, and venous blood samples were taken at regular intervals for 6 h after meal consumption. Dietary interventions and assessments: A subset (n = 25) of participants included in this study underwent dietary interventions. Of these, 16 participated in a randomised crossover trial in which they underwent two dietary interventions: 1) a 4-week low-fat, high-carbohydrate diet enriched in free-sugars and 2) a 4-week high-fat, low-carbohydrate diet enriched in SFA (22). The remaining nine participants were included in an ongoing study (NCT03090347) and underwent either a 2-week low-fat, high-carbohydrate diet enriched in free-sugars (n = 8) or a 2-week high-fat, low-carbohydrate diet enriched in SFA (n = 1) (Supplementary Fig. 1). Dietary intakes were assessed by food diaries collected on 3 days, including a weekend day. Participants taking part in dietary interventions were instructed to maintain their usual body weight, physical activity levels and alcohol intakes throughout the intervention periods, and were contacted weekly by a member of the research team to aid adherence. Dietary intakes were analysed using the Nutritics dietary analysis online software (Dublin, UK), by a registered dietitian to determine energy and nutrient intakes. Standardised test meal: On the study day, participants consumed a standardised test meal consisting of 40 g cereal (Kellogg’s Rice Krispies), 200 g skimmed milk and a chocolate drink containing 40 g oil, providing 591 kcal, with ~64% energy as fat, ~30% energy as carbohydrate and ~6% energy as protein. The oil used was either olive oil (Meal A) or 15 g sunflower oil plus 25 g palm oil (Meal B). The FA composition of Meal A was ~13% palmitate, ~64% oleate, ~11% linoleate, ~3% stearate and ~9% minor FA, whilst the FA composition of Meal B was ~32% palmitate, ~35% oleate, ~27% linoeate, ~5% stearate and ~1% minor FA. All subjects consumed the same meal twice, separated by a period of 2–11 weeks. Analytical procedures: Whole-blood was collected into heparinised tubes, and plasma was immediately separated for analysis by centrifugation at 4°C. Plasma glucose, triglycerides (TGs), total cholesterol and high-density lipoprotein (HDL) cholesterol were analysed enzymatically (Ilab 600/650 Clinical Chemistry, Werfen). Fatty acid composition: Total lipids were extracted from plasma by using chloroform–methanol (2:1, v/v) (23), and plasma lipid fractions (TG, phospholipid [PL] and cholesterol esters [CEs]) were separated by solid-phase extraction (24), followed by methylation using acidified methanol. The FA profile of extracted samples was then determined via gas chromatography with flame ionisation detection (25). FAs were identified by comparing sample retention times to a known standard, and results are expressed as mol%. Statistical analysis: Data were analysed using SPSS (version 25.0). The specific FAs investigated were restricted to the major dietary SFA, MUFA and PUFA (i.e. palmitate, oleate and linoleate, respectively). Normality of variables was assessed by Shapiro–Wilk test and visually by histograms. The Spearmans rank correlation coefficient was used to assess the associations between the specific FAs in lipid fractions and the relative percentages of energy intake from SFA, MUFA and PUFA calculated from 3-day diet diaries. Differences in FA abundance in response to meal consumption were analysed using one-way repeated measures (time) ANOVA. Where a significant main effect of time was noted, Bonferroni post-hoc comparisons were made for postprandial vs. fasting time points (0 min). Data are presented as mean and standard deviation (SD). Results: Relationship between dietary FA intake and the FA composition of circulating plasma lipid fractions The fasting FA composition of plasma TG, PL and CE fractions is presented in Figure 1. As data were obtained from participants undertaking various dietary interventions, some of which involved increasing dietary carbohydrates/free sugars, and some increasing dietary fat/saturated fat, there were wide variations in self-reported intakes of total fat, SFA, MUFA and PUFA, which is reflective of the specific dietary interventions which were undertaken (Table 2). We assessed the association between dietary FA intake and the abundance of specific FA that represent the major dietary SFA, MUFA and PUFA sources, in the respective plasma lipid fractions. We found no significant associations between dietary FA and the abundance of palmitate, oleate and linoleate in plasma TG or PL (Table 3). However, significant (P < 0.05) positive associations were observed between dietary PUFA and linoleate in plasma CE, whilst there were no associations between dietary SFA and the abundance of plasma CE palmitate, or dietary MUFA and plasma CE oleate (Table 3). Fasting plasma FA composition for (a) TG (n = 98), (b) PL (n = 76) and (c) CE (n = 96). AA, arachidonic acid; EPA, eicosapentaenoic acid; DHA, docosahexaenoic acid. Data are mean ± SD. Dietary fat intake as a proportion of total energy (TE) intake. Data are mean ± SD. n = 46. Spearmans rank correlation coefficients between the abundance of palmitate, oleate, and linoleate in circulating lipid fractions and the relative percentages of energy intake from dietary saturated fatty acids (SFA), polyunsaturated fatty acids (PUFA) and monounsaturated fatty acids (MUFA). P < 0.05. n = 46 for TG, n = 27 for PL and n = 44 for CE. The fasting FA composition of plasma TG, PL and CE fractions is presented in Figure 1. As data were obtained from participants undertaking various dietary interventions, some of which involved increasing dietary carbohydrates/free sugars, and some increasing dietary fat/saturated fat, there were wide variations in self-reported intakes of total fat, SFA, MUFA and PUFA, which is reflective of the specific dietary interventions which were undertaken (Table 2). We assessed the association between dietary FA intake and the abundance of specific FA that represent the major dietary SFA, MUFA and PUFA sources, in the respective plasma lipid fractions. We found no significant associations between dietary FA and the abundance of palmitate, oleate and linoleate in plasma TG or PL (Table 3). However, significant (P < 0.05) positive associations were observed between dietary PUFA and linoleate in plasma CE, whilst there were no associations between dietary SFA and the abundance of plasma CE palmitate, or dietary MUFA and plasma CE oleate (Table 3). Fasting plasma FA composition for (a) TG (n = 98), (b) PL (n = 76) and (c) CE (n = 96). AA, arachidonic acid; EPA, eicosapentaenoic acid; DHA, docosahexaenoic acid. Data are mean ± SD. Dietary fat intake as a proportion of total energy (TE) intake. Data are mean ± SD. n = 46. Spearmans rank correlation coefficients between the abundance of palmitate, oleate, and linoleate in circulating lipid fractions and the relative percentages of energy intake from dietary saturated fatty acids (SFA), polyunsaturated fatty acids (PUFA) and monounsaturated fatty acids (MUFA). P < 0.05. n = 46 for TG, n = 27 for PL and n = 44 for CE. Temporal changes in FA composition following meal consumption As FA composition is typically measured in the fasting state, we investigated whether the consumption of a meal influences the relative abundance of palmitate, oleate and linoleate in circulating lipid fractions. We achieved this by feeding participants a high-fat test meal, of known FA composition, and assessing changes in plasma palmitate, oleate and linoleate over the course of the postprandial period in the respective lipid fractions. The consumption of the test meal significantly (P < 0.05) decreased the abundance of palmitate in plasma TG, with time points 240–360 min being significantly (P < 0.05) lower than time 0 (fasting), and the greatest differences (i.e. ~1.3 mol%) being apparent between 240 min and 0 min (Figure 2a). Conversely, meal consumption significantly (P < 0.05) increased the abundance of oleate, and linoleate in plasma TG, with the oleate peaking at 240 min, which was ~3.8 mol% greater than 0 min (Figure 2b), and linoleate peaking at time point 360 min, which was ~1.1 mol% greater than 0 min (Figure 2c). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma TG in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 98. *P < 0.05 compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. For plasma PL, the general trend was similar to the changes observed in plasma TG, although not as striking. The relative abundance of palmitate was significantly (P < 0.05) decreased by the consumption of the test meal, with significant differences apparent between time points 240–300 min and 0 min, with a nadir at 300 min, which was ~0.7 mol% lower than 0 min (Figure 3a). The relative abundance of oleate was not influenced by meal consumption (Figure 3b). The abundance of linoleate was significantly increased (P < 0.05) following meal consumption, with time points 120 min onwards significantly greater than 0 min, and peaking at 300 min (i.e. ~1.2 mol% greater than 0 min) (Figure 3c). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma PL in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 76. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. In contrast to the FA composition of plasma TG and PL, the consumption of the test meal did not influence the relative abundance of palmitate in plasma CE (Figure 4a). There was, however, a significant (P < 0.05) main effect of time for oleate in plasma CE, although Bonferroni post hoc comparisons revealed no statistically significant differences between any postprandial time points and 0 min (Figure 4b). The abundance of linoleate in plasma CE significantly (P < 0.05) decreased following meal consumption, reaching a nadir at 300 min, which was ~2.6 mol% lower than 0 min (Figure 4). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma CE in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 96. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. As FA composition is typically measured in the fasting state, we investigated whether the consumption of a meal influences the relative abundance of palmitate, oleate and linoleate in circulating lipid fractions. We achieved this by feeding participants a high-fat test meal, of known FA composition, and assessing changes in plasma palmitate, oleate and linoleate over the course of the postprandial period in the respective lipid fractions. The consumption of the test meal significantly (P < 0.05) decreased the abundance of palmitate in plasma TG, with time points 240–360 min being significantly (P < 0.05) lower than time 0 (fasting), and the greatest differences (i.e. ~1.3 mol%) being apparent between 240 min and 0 min (Figure 2a). Conversely, meal consumption significantly (P < 0.05) increased the abundance of oleate, and linoleate in plasma TG, with the oleate peaking at 240 min, which was ~3.8 mol% greater than 0 min (Figure 2b), and linoleate peaking at time point 360 min, which was ~1.1 mol% greater than 0 min (Figure 2c). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma TG in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 98. *P < 0.05 compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. For plasma PL, the general trend was similar to the changes observed in plasma TG, although not as striking. The relative abundance of palmitate was significantly (P < 0.05) decreased by the consumption of the test meal, with significant differences apparent between time points 240–300 min and 0 min, with a nadir at 300 min, which was ~0.7 mol% lower than 0 min (Figure 3a). The relative abundance of oleate was not influenced by meal consumption (Figure 3b). The abundance of linoleate was significantly increased (P < 0.05) following meal consumption, with time points 120 min onwards significantly greater than 0 min, and peaking at 300 min (i.e. ~1.2 mol% greater than 0 min) (Figure 3c). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma PL in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 76. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. In contrast to the FA composition of plasma TG and PL, the consumption of the test meal did not influence the relative abundance of palmitate in plasma CE (Figure 4a). There was, however, a significant (P < 0.05) main effect of time for oleate in plasma CE, although Bonferroni post hoc comparisons revealed no statistically significant differences between any postprandial time points and 0 min (Figure 4b). The abundance of linoleate in plasma CE significantly (P < 0.05) decreased following meal consumption, reaching a nadir at 300 min, which was ~2.6 mol% lower than 0 min (Figure 4). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma CE in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 96. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. Relationship between dietary FA intake and the FA composition of circulating plasma lipid fractions: The fasting FA composition of plasma TG, PL and CE fractions is presented in Figure 1. As data were obtained from participants undertaking various dietary interventions, some of which involved increasing dietary carbohydrates/free sugars, and some increasing dietary fat/saturated fat, there were wide variations in self-reported intakes of total fat, SFA, MUFA and PUFA, which is reflective of the specific dietary interventions which were undertaken (Table 2). We assessed the association between dietary FA intake and the abundance of specific FA that represent the major dietary SFA, MUFA and PUFA sources, in the respective plasma lipid fractions. We found no significant associations between dietary FA and the abundance of palmitate, oleate and linoleate in plasma TG or PL (Table 3). However, significant (P < 0.05) positive associations were observed between dietary PUFA and linoleate in plasma CE, whilst there were no associations between dietary SFA and the abundance of plasma CE palmitate, or dietary MUFA and plasma CE oleate (Table 3). Fasting plasma FA composition for (a) TG (n = 98), (b) PL (n = 76) and (c) CE (n = 96). AA, arachidonic acid; EPA, eicosapentaenoic acid; DHA, docosahexaenoic acid. Data are mean ± SD. Dietary fat intake as a proportion of total energy (TE) intake. Data are mean ± SD. n = 46. Spearmans rank correlation coefficients between the abundance of palmitate, oleate, and linoleate in circulating lipid fractions and the relative percentages of energy intake from dietary saturated fatty acids (SFA), polyunsaturated fatty acids (PUFA) and monounsaturated fatty acids (MUFA). P < 0.05. n = 46 for TG, n = 27 for PL and n = 44 for CE. Temporal changes in FA composition following meal consumption: As FA composition is typically measured in the fasting state, we investigated whether the consumption of a meal influences the relative abundance of palmitate, oleate and linoleate in circulating lipid fractions. We achieved this by feeding participants a high-fat test meal, of known FA composition, and assessing changes in plasma palmitate, oleate and linoleate over the course of the postprandial period in the respective lipid fractions. The consumption of the test meal significantly (P < 0.05) decreased the abundance of palmitate in plasma TG, with time points 240–360 min being significantly (P < 0.05) lower than time 0 (fasting), and the greatest differences (i.e. ~1.3 mol%) being apparent between 240 min and 0 min (Figure 2a). Conversely, meal consumption significantly (P < 0.05) increased the abundance of oleate, and linoleate in plasma TG, with the oleate peaking at 240 min, which was ~3.8 mol% greater than 0 min (Figure 2b), and linoleate peaking at time point 360 min, which was ~1.1 mol% greater than 0 min (Figure 2c). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma TG in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 98. *P < 0.05 compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. For plasma PL, the general trend was similar to the changes observed in plasma TG, although not as striking. The relative abundance of palmitate was significantly (P < 0.05) decreased by the consumption of the test meal, with significant differences apparent between time points 240–300 min and 0 min, with a nadir at 300 min, which was ~0.7 mol% lower than 0 min (Figure 3a). The relative abundance of oleate was not influenced by meal consumption (Figure 3b). The abundance of linoleate was significantly increased (P < 0.05) following meal consumption, with time points 120 min onwards significantly greater than 0 min, and peaking at 300 min (i.e. ~1.2 mol% greater than 0 min) (Figure 3c). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma PL in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 76. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. In contrast to the FA composition of plasma TG and PL, the consumption of the test meal did not influence the relative abundance of palmitate in plasma CE (Figure 4a). There was, however, a significant (P < 0.05) main effect of time for oleate in plasma CE, although Bonferroni post hoc comparisons revealed no statistically significant differences between any postprandial time points and 0 min (Figure 4b). The abundance of linoleate in plasma CE significantly (P < 0.05) decreased following meal consumption, reaching a nadir at 300 min, which was ~2.6 mol% lower than 0 min (Figure 4). Temporal changes in the relative abundance of (a) palmitate, (b) oleate and (c) linoleate in plasma CE in response to the consumption of a high-fat test meal. Data are presented as mean ± SD. n = 96. *P < 0.05 when compared to fasting (Time 0). The dotted line at Time 0 denotes the consumption of the experimental test meal. Discussion: The FA composition of blood and tissues has frequently been used as a biomarker of dietary FA intake (9). Typically, the FA composition of blood lipids is measured in blood samples taken from individuals after an overnight fast. However, some large-scale observational studies have utilised non-fasting samples (13–17), and it remains unclear if feeding influences the postprandial FA composition of plasma lipid fractions. We therefore aimed to assess the associations between FA composition in plasma lipid fractions and dietary FA intake in participants who had undergone dietary interventions to investigate biomarkers of dietary FA intake. In addition, we aimed to determine the influence of meal consumption on the postprandial FA composition of plasma TG, PL and CE. Overall, our findings suggest that the FA composition of plasma TG or PL does not reflect dietary fat intakes over the short term (2–4 weeks), whereas the relative abundance of plasma CE linoleate was positively associated with self-reported intakes of PUFA. Thus, plasma CE linoleate may represent a valid biomarker of dietary PUFA even in situations where individuals have recently altered their dietary FA intakes. Moreover, our data indicate that the consumption of a high-fat test meal acutely influences the FA composition of plasma TG, PL and CE. Therefore, it would seem prudent to suggest that fasting blood samples should be utilised when using FA composition as a biomarker of dietary FA intake, as the consumption of a high-fat meal may confound measurements of FA composition taken in a non-fasting state. Measurement of FA composition in various tissue and plasma lipid pools provides an objective assessment of dietary FA intake, which may strengthen data obtained from self-reported dietary records which have limitations (e.g. underreporting) (7, 8, 26). It has been suggested that due to the slow turnover of adipose tissue (i.e. half-life of ~600 days), adipose tissue FA composition may be most reflective of long-term (i.e. 2–3 years) fat intake (27–29). In contrast, the FA composition of red blood cells, plasma CE and PL has been shown to reflect dietary fat intakes within weeks (29–31). Epidemiological investigations have generally used the FA composition of various plasma/serum lipid fractions as biomarkers of dietary FA intake (32, 33), which may be because blood sampling is relatively simpler than adipose tissue biopsies. However, there is heterogeneity between the metabolism and turnover of circulating lipid fractions, which is reflected in their FA composition, and debate continues as to which plasma lipid fraction represents the most accurate biomarker of dietary fat intake. We therefore investigated the relationship between self-reported dietary fat intake and the relative abundance of palmitate, oleate and linoleate (representative of the major SFA, MUFA and PUFA) in plasma TG, PL and CE. In line with previous observations (9), we found a positive association between the abundance of linoleate in plasma CE and dietary PUFA intake, but observed no significant associations relative abundance of palmitate or oleate in plasma CE and dietary SFA and MUFA, respectively. We also observed no associations between specific FAs in the plasma TG or PL fraction and self-reported intake of dietary SFA, MUFA and PUFA. It is plausible that positive associations are observed more often for PUFA than other FAs as linoleate represents an essential FA, whereas the in vivo synthesis of palmitate and oleate may influence their circulating abundance independently of dietary intake. Equally, palmitate and oleate are relatively ubiquitous in foods, which, when combined with the inability of FA composition measures to establish quantitative intakes, may make it challenging to separate individuals with low and high intakes of these FA. When comparing the utility of FAs in various lipid fractions as biomarkers of dietary FA intake, Furtado et al. (12) reported that combining plasma TG and non-esterified FA (NEFA) fractions was more reflective of dietary FA intake than total plasma, CE or PL FA composition. The difference between our findings and those of Furtado et al. (12) is likely due to differences in study design. Participants in our study completed 2–4 weeks dietary interventions at the time of assessment, whereas those studied by Furtado et al. (12) had not undertaken a dietary intervention and were consuming their habitual diet, which was assessed using a food frequency questionnaire examining intakes over the previous year. It is therefore plausible that the strength of the correlation for the combined TG and NEFA fraction was driven by NEFA FA composition, which has been suggested to be reflective of adipose tissue FA composition (34). We found that the abundance of palmitate, oleate and linoleate in plasma TG, PL and CE was influenced by a high-fat meal in a manner which reflected, to a degree, the FA composition of the test meal. Changes in FA abundance were specific to lipid fractions. The plasma TG and PL fractions were influenced to a greater extent than plasma CE. It is unsurprising that the composition of circulating TG was altered during the postprandial period as ingested FAs are initially incorporated into chylomicron-TG prior to entering the circulation (35), and the incorporation of dietary FA into hepatic very low-density lipoprotein (VLDL) TG also occurs relatively soon after ingestion (25). Thus, our data are in-line with others who have previously demonstrated that changes in the non-fasting FA composition of plasma TG are reflective of the recently ingested meal FA composition (36–38). We also show that the FA composition of plasma PL and CE is influenced by the intake of a high-fat mixed meal with significant differences apparent from 60-min onwards, dependent on the fraction and FA. Recently, Shokry et al. demonstrated that the abundance of some FA in plasma TG and NEFA, including linoleate, changed during a 7-h postprandial period following a high-calorie mixed macronutrient test meal (45 g of fat and 97 g of carbohydrate); the plasma PL FA composition was unaffected (38). This finding is in contrast to our observations, but may be explained in part by the difference in the FA composition of the meals, with Shokry et al. feeding a test meal containing 26.4 g of linoleate (i.e. over 50% of the fat component). Meal consumption has also been shown to influence the FA composition of plasma PL when assessed using lipidomic methodologies (39, 40). Our observations are in line with Karupaiah et al. who reported changes in plasma CE within 7-h, which reflected the fat composition of the consumed meal (41). Thus, regardless of methodology (GC or lipidomics), it would seem that changes in both PL and CE species have been observed in the non-fasting compared with the fasting state, but the degree and manner of change may be dependent on the composition of the test meal. In the present work, the abundance of linoleate increased in the TG and PL fractions but decreased in the CE. These differences may be explained by differences in FA incorporation time between the fractions, as the synthesis of CE involves the enzymatic transfer of an FA from PL and cholesterol precursors, typically from the sn-2 position of PL, which is commonly occupied by a PUFA (9). Using stable isotope tracer methodology, we have previously shown the incorporation of linoleate in plasma PL is greater than palmitate following a high-fat mixed meal (21), demonstrating the metabolic heterogeneity of specific FA in lipid fractions. It is therefore plausible that the incorporation time of linoleate in plasma CE from PL is longer than we have investigated, and that the abundance of linoleate in plasma CE may have increased at a time point later than the 6-h period examined here. Our study has a number of limitations, including: all subjects were free from known metabolic disease, and results may therefore not be reflective of other metabolic phenotypes. For instance, individuals with metabolic-associated fatty liver disease (MAFLD) demonstrate increased de novo lipogenesis (DNL) relative to their non-MAFLD counterparts (42), which may lead to an increased palmitate abundance in plasma lipid fractions. Participants consumed a single test meal, which was high in fat; therefore, we cannot exclude the possibility that non-fasting FA composition would change further if we had given a subsequent/second meal (i.e. more reflective of habitual dietary pattern in most individuals). Moreover, it remains unclear if the responses observed were mediated by the quantity, along with the quality of FA in the meal; it could be speculated that a lower fat meal may result in less notable/obvious responses/changes. Our test meals were devoid of marine n-3 FA; thus, we are unable to comment on the stability of these FA across the postprandial period, but it would be of interest to investigate this given their usefulness as biomarkers (43–45). Similarly, we only assessed the most abundant SFA, MUFA and PUFA; therefore, our findings cannot be extrapolated to FA of lower abundance, for example, myristate, pentadecanoic acid, stearate and arachidonic acid. We did not assess the FA composition of plasma NEFA, which whilst being a potentially good marker of long-term dietary FA intake (as it reflects AT FA composition) (9), likely does not reflect short- to medium-term dietary intake. In addition, we and others have previously shown that during the postprandial period chylomicron-derived dietary FA spillover contributes 10–50% of FA within the systemic NEFA pool (46–48). Thus, similar to plasma TG FA composition with meal consumption, the FA composition of plasma NEFA would be highly influenced over the postprandial period by the fat content and FA composition of the recently consumed meal. In conclusion, our data demonstrate that the FA composition of plasma TG and CE does not reflect short-term (i.e. previous weeks) dietary FA intakes, and that the FA composition of plasma CE may be the lipid fraction to utilise as an objective biomarker when investigating recent dietary FA intakes over this period. In addition, we show that the consumption of a high-fat meal influences the FA composition of plasma TG, PL and CE over the course of the postprandial period, with responses appearing to be specific to FAs in the different lipid fractions. Thus, the FA composition of plasma lipid fractions during the postprandial period (i.e. 1–6 h post meal) may not reflect fasting values. Based on these observations, it would be prudent to suggest that fasting blood samples should be utilised when using FA composition as a biomarker of dietary FA intake.
Background: The fatty acid (FA) composition of blood can be used as an objective biomarker of dietary FA intake. It remains unclear how the nutritional state influences the FA composition of plasma lipid fractions, and thus their usefulness as biomarkers in a non-fasted state. Methods: Analysis was performed in plasma samples collected from 49 (34 males and 15 females) participants aged 26-57 years with a body mass index (BMI) between 21.6 and 34.2 kg/m2, all of whom had participated in multiple study visits, thus a pooled cohort of 98 data sets was available for analysis. A subset (n = 25) had undergone nutritional interventions and was therefore used to investigate the relationship between the FA composition of plasma lipid fractions and dietary fat intake. Results: Significant (P < 0.05) positive associations were observed between dietary polyunsaturated fat and linoleate abundance in plasma CE. When investigating the influence of meal consumption on postprandial FA composition, we found plasma TG palmitate significantly (P < 0.05) decreased across the postprandial period, whereas oleate and linoleate increased. A similar pattern was observed in plasma PL, whereas linoleate abundance decreased in the plasma CE. Conclusions: Our data demonstrate that the FA composition of plasma CE may be the lipid fraction to utilise as an objective biomarker when investigating recent (i.e. previous weeks-months) dietary FA intakes. In addition, we show that the consumption of a high-fat meal influences the FA composition of plasma TG, PL and CE over the course of the postprandial period, and therefore, suggest that fasting blood samples should be utilised when using FA composition as a biomarker of dietary FA intake.
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9,275
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[ 503, 228, 158, 54, 98, 152, 348, 695 ]
12
[ "fa", "plasma", "dietary", "meal", "composition", "fa composition", "fat", "abundance", "consumption", "min" ]
[ "dietary fat intake", "fat intake investigated", "investigate biomarkers dietary", "valid biomarker dietary", "reported dietary fat" ]
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[CONTENT] Postprandial | fatty acids | biomarker | lipid fractions | fatty acid composition [SUMMARY]
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[CONTENT] Postprandial | fatty acids | biomarker | lipid fractions | fatty acid composition [SUMMARY]
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[CONTENT] Postprandial | fatty acids | biomarker | lipid fractions | fatty acid composition [SUMMARY]
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[CONTENT] Biomarkers | Dietary Fats | Fatty Acids | Female | Humans | Lipids | Male | Triglycerides [SUMMARY]
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[CONTENT] Biomarkers | Dietary Fats | Fatty Acids | Female | Humans | Lipids | Male | Triglycerides [SUMMARY]
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[CONTENT] Biomarkers | Dietary Fats | Fatty Acids | Female | Humans | Lipids | Male | Triglycerides [SUMMARY]
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[CONTENT] dietary fat intake | fat intake investigated | investigate biomarkers dietary | valid biomarker dietary | reported dietary fat [SUMMARY]
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[CONTENT] dietary fat intake | fat intake investigated | investigate biomarkers dietary | valid biomarker dietary | reported dietary fat [SUMMARY]
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[CONTENT] dietary fat intake | fat intake investigated | investigate biomarkers dietary | valid biomarker dietary | reported dietary fat [SUMMARY]
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[CONTENT] fa | plasma | dietary | meal | composition | fa composition | fat | abundance | consumption | min [SUMMARY]
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[CONTENT] fa | plasma | dietary | meal | composition | fa composition | fat | abundance | consumption | min [SUMMARY]
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[CONTENT] fa | plasma | dietary | meal | composition | fa composition | fat | abundance | consumption | min [SUMMARY]
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[CONTENT] dietary | fa | samples | fasting | dietary fa | intake | studies | state | nutritional state influences | nutritional state [SUMMARY]
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[CONTENT] min | 05 | plasma | time | abundance | figure | consumption | meal | ce | linoleate [SUMMARY]
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[CONTENT] dietary | fa | plasma | meal | composition | fa composition | ce | time | min | fat [SUMMARY]
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[CONTENT] ||| [SUMMARY]
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[CONTENT] CE ||| TG ||| PL | CE [SUMMARY]
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[CONTENT] ||| ||| 49 | 34 | 15 | 26-57 years | BMI | 21.6 | 34.2 kg | m2 | 98 ||| 25 ||| ||| CE ||| TG ||| PL | CE ||| CE | previous weeks-months ||| TG | PL | CE [SUMMARY]
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Fibromyalgia with severe forms of progression in a multidisciplinary therapy setting with emphasis on hyperthermia therapy--a prospective controlled study.
25565789
Fibromyalgia syndrome (FMS) is a multi-factorial disease involving physiological as well as psychological factors. The aim of the study was to investigate a multidisciplinary inpatient treatment with emphasis on hyperthermia therapy by patients with widespread pain.
INTRODUCTION
The study involved 104 patients suffering from severely progressive FMS. A convenience sample and a prospective cohort design were used. The patients were treated in an acute hospital focusing on rheumatologic pain therapy and multidisciplinary complementary medicine. One patient group was treated with inclusion of hyperthermia therapy and the other group without. The therapy density (number of performed therapies per patient) was determined for every patient. Functional capacity measured by the Hannover functional status questionnaire (Funktionsfragebogen Hannover) and symptoms (von Zerssen complaint list) were analyzed for both groups on admission and on discharge.
MATERIALS AND METHODS
On admission, no significant difference could be established between control group (CG; multimodal without hyperthermia) and hyperthermia group (HG; multimodal with hyperthermia) (functional capacity, P=0.936). Functional capacity improved for the CG and the HG. On discharge, there was a significant difference between the two groups (functional capacity, P=0.039). There were no significant differences in fibromyalgia symptoms between CG (mean 41.8) and HG (mean 41.8) on their admission to hospital (P=0.988). On discharge, there was a significant difference (P=0.024) between the two groups (HG, mean 30.6; CG, mean 36.6). The inpatient therapy of patients with severely progressive fibromyalgia is characterized by a high frequency of therapy input.
RESULTS
FMS, especially with severe progression and a high degree of chronification, demands a multidisciplinary approach. In addition to the use of complementary medical procedures, integration of hyperthermia in the treatment process is a useful option.
CONCLUSION
[ "Austria", "Cohort Studies", "Complementary Therapies", "Disease Progression", "Female", "Fibromyalgia", "Hospitalization", "Humans", "Hyperthermia, Induced", "Male", "Middle Aged", "Pain Management", "Pain Measurement", "Patient Care Team", "Prospective Studies", "Severity of Illness Index", "Treatment Outcome" ]
4279606
Background
Fibromyalgia syndrome (FMS) is a multi-factorial disease involving physiological as well as psychological factors. It is characterized by widespread pain and muscle tenderness accompanied by other comorbid symptoms.1,2 Those affected report chronic pain, which persists for at least 3 months in several regions of the body. The affected areas include the neck or upper or middle back, the small of the back, ribcage or abdomen, and at least one site of pain in both arms and both legs. Patients can also have difficulty in falling asleep and sleeping through the night; in the morning, they feel that they have had too little sleep, and in many cases, feel mentally and physically exhausted. Numerous studies describe depression, anxiety, and panic disorders as comorbidities of FMS.3–5 Many sufferers report additional symptoms affecting the stomach, intestines, cardiovascular system, nervous system, or urinary passages.6,7 The pathophysiology of FMS is still unknown. It is assumed that the levels of biogenic amines such as 5-hydroxytryptamine (5-HT) and norepinephrine are reduced in persons with FMS. A dysfunction of the 5-HT system may lead to panic disorders and depression.8,9 Predictors of FMS are obesity, missing physical activity, high workload,10,11 increased physical discomfort, and permanent local pain for more than 6 years.12 Prevalence of FMS is estimated to be 5%–6% of women in the USA and Europe.13,14 Individuals with FMS report frequent health care use15 concomitantly with lost productivity through higher absenteeism and unemployment.16 FMS places a significant economic burden on patients and health care systems.17,18 The complexity of the FMS, its chronic progression, and the heavy burden of suffering present health care providers with an extensive set of problems. There is no universally acceptable treatment for this condition.19 FMS leads to substantial limitations in physical functioning and activities of daily living. A higher absenteeism, unemployment, and disability lead to significant costs. Multidisciplinary approaches are recommended for the treatment of fibromyalgia. These should include both psychotherapeutic methods (patient education and/or cognitive behavioral therapy) and exercise and activating therapeutic procedures.20,21 These complementary methods do not exert their effects individually, but exert synergistic effects. Decisions to use a multidisciplinary approach to therapy should be determined based on a structured health care assessment of the individual.22 Multidisciplinary approaches may include hydrotherapeutic and thermotherapeutic methods, hydrogalvanic baths (medical treatment [a type of electrotherapy] based on the simultaneous use of water and electric current), and acupuncture. Hydrotherapeutic methods are used by many individuals with FMS.23 These methods include balneotherapeutic methods of hydrotherapy (part of naturopathy and physiotherapy, that involves the use of water for pain relief and treatment), such as herbal baths, mud baths, steam baths, and hot water whirlpool baths to soothe muscles and stimulate circulation. Hydrotherapy can contribute in particular to reduce pain safely24–26 and offers beneficial treatment with no hidden side effects.26 Hot baths27,28 are favored by many individuals with FMS and can be a therapy option to reduce high pain intensity.29 Acupuncture may be integrated into a multimodal therapy as an adjunctive treatment30 and may help to reduce FMS symptoms31,32 and to increase the quality of life.33 Conversations between health care providers during hospitalization should be client centered to improve and solidify the client–provider relationship.34 The therapist is able to understand what the individuals are feeling and provide care that is more specific to their needs and therefore provide better care. Individuals are more likely to engage in treatment decisions, feel supported to make behavioral changes, and so feel empowered to self-manage. Psychotherapy should include established methods of coping with pain and deflecting attention,35 other problem-solving strategies,36 and cognitive behavioral therapy.37 Cognitive behavioral therapy is effective at helping you learn to manage your illness more effectively and it is based on the gate-control theory of pain and operant behavioral conditioning.38 Physical therapies are found to be especially effective in the treatment of FMS39 and also reflexology (physical act of applying pressure to the feet, hands, or ears with specific thumb, finger, and hand techniques).40 Therefore, these therapies are integral components of the physiotherapy used in performing the study.
Analysis of the therapy density of the therapy areas for both groups
Physical therapy (hydrotherapy) Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0). Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0). Physical therapy (thermotherapy) The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5). The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5). Physiotherapy Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5). Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5). Phytotherapy The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506). The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506). Psychotherapy/mind body medicine Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0). Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0). Movement therapy The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001). The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001). Detoxifying process There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0). There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0). Neural therapy/infiltration/acupuncture Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0). Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0). Homeopathy No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5). No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5). Diet advice The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0). The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0).
Findings
A total of 104 patients were studied; the average age of all fibromyalgia patients was 56.05 years (Table 2). A total of 272 hyperthermia treatments were performed in the hyper-thermia group (HG). During their stay in hospital, the HG received on average 4.86 hyperthermia sessions (hs) (0–2 hs, N=0; 3–4 hs, N=10; 5–6 hs, N=46) in the mildly warm temperature range between 37.5°C and 38.5°C. All patients showed a polysymptomatic progression with lasting, persistent pain in muscles and joints, and with rare intervals with reduced symptoms. The overwhelming majority of the patients were subject to private and/or professional stressors with health-related anxieties. The disease activity was elevated significantly and all subjects suffered from considerable morning stiffness. The great majority of the patients were in Stage 3 of the Mainz Pain Staging System according to Gerbershagen. As part of the study, an analysis of secondary diagnoses was performed involving the comparison of several hundred secondary diagnoses. The basis of the analysis was allocation of the diagnoses in accordance with the International Statistical Classification of Diseases and Related Health Problems and the Major Diagnostic Category. Comparison of the secondary diagnoses revealed only a significant difference of Diagnostic Category “Circulatory system” in control group (CG) vs HG (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.049). This had no influence on results because this was no exclusion criterion for HG. There was no significant difference between the age of the two groups (t-test, P=0.350). The members of both groups were predominantly female (48 women in CG; 56 women in HG). Hospitalization for the HG was 16.2 days (minimum 12 days and maximum 17 days, standard deviation 1.1) and in the CG 15.7 days (minimum 10 days and maximum 19 days, standard deviation 2.2). Comparison of CG and HG showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.211). The mean level of pain (admission) was 6.8 (CG) on the VAS and 8.2 (HG). The mean level of pain (discharge) was 4.8 (CG) on the VAS and 4.0 (HG).
Discussion and conclusion
The participants were predominantly female, as also reported by other studies.84,85 The longer hospitalization time of these integratively treated patients also agrees with the findings of previous large-scale scientific studies.56 The mean age of the patients in this study corresponds with the analysis of ages ascertained at the German national level. Out of 6.452 inpatients in Germany whose main diagnosis was FMS, >55% of patients in 2008 were between 40 years and 59 years of age. Software: G-DRG-Browser G-DRG-Version 2011, Daten 2010 gem; §21 KHEntgG. For 2011, data were available for 1,929 cases receiving inpatient treatment, of whom the majority also fell within this age range.86 This study shows that interdisciplinary therapeutic approaches are worthwhile in the treatment of FMS. Despite the severity of the disease with a pain-supporting mental-accompanying disease, a significant improvement in the symptoms was evident on discharge from hospital (P=0.024; Tables 3 and 4). The complex somatic and mental symptoms that were recorded with the von Zerssen score could also be alleviated by means of the complementary use of hyperthermia. The use of hyperthermia improved the outcome still further. The superior outcome for the HG was manifested in a significant improvement in the patient’s functional capacity. A greater therapeutic density of both physiotherapeutic interventions and methods of movement therapy in the CG proved unable to equal the added benefit of hyperthermia. Whole-body hyperthermia is a part of a multidisciplinary approach.48,53 Previous studies with hyperthermia were performed in a rehabilitative setting.52,53,87,88 Hyperthermia has been carried out for several weeks. A sustained pain reduction was observed in a 6-month follow-up after intervention ended in patients with FMS.52 There were no specifications for other therapy methods, and their density and the form of progression were not described accurately. Acute care is a care setting where an individual is treated for a brief but severe episode of illness. Acute programs in Germany have increased numbers of sessions and a larger care team. Acute care settings have full-time physicians and hospital staff who are available 24 hours a day. The aim of acute inpatient treatment is to improve the patients’ condition sufficiently that they are once again capable of rehabilitation.89 Continual acute diagnosis (in the case of an emergency situation or diagnosis aggravation) and therapy, and continual medical and nursing care are guaranteed during the entire period of hospitalization. Proven applications are summarized in Figure 6. In future studies for the evaluation of the therapy of FMS, economic parameters must also be analyzed in order to perform diagnosis-related group (system to classify hospital cases into groups) cost calculations (in addition to clinical effects), especially regarding the costs associated with claims for outpatient and inpatient therapy for FMS. In doing so, the question should be addressed as to whether the use of innovative, integrative therapeutic methods can generate the potential for long-term savings. In addition, observational studies are needed of mildly warm whole-body hyperthermia treatment of further diseases and disturbances of the musculoskeletal system and connective tissues in acute inpatient therapy of pain and rheumatic diseases with the inclusion of complementary medical procedures. The development of further improved therapies for treating FMS, as well as analysis of delivery methods of each modality and how they potentially influence one another and also the recidivism in different hospital settings, is necessary.
[ "Background", "Hyperthermia", "Methods", "Design", "Hyperthermia therapy", "Outcome parameters", "List of symptoms according to von Zerssen", "Functional capacity", "Statistical analysis", "Functional capacity on admission and discharge", "Symptoms according to von Zerssen on admission and discharge", "Physical therapy (hydrotherapy)", "Physical therapy (thermotherapy)", "Physiotherapy", "Phytotherapy", "Psychotherapy/mind body medicine", "Movement therapy", "Detoxifying process", "Neural therapy/infiltration/acupuncture", "Homeopathy", "Diet advice", "Discussion and conclusion" ]
[ "Fibromyalgia syndrome (FMS) is a multi-factorial disease involving physiological as well as psychological factors. It is characterized by widespread pain and muscle tenderness accompanied by other comorbid symptoms.1,2 Those affected report chronic pain, which persists for at least 3 months in several regions of the body. The affected areas include the neck or upper or middle back, the small of the back, ribcage or abdomen, and at least one site of pain in both arms and both legs.\nPatients can also have difficulty in falling asleep and sleeping through the night; in the morning, they feel that they have had too little sleep, and in many cases, feel mentally and physically exhausted. Numerous studies describe depression, anxiety, and panic disorders as comorbidities of FMS.3–5 Many sufferers report additional symptoms affecting the stomach, intestines, cardiovascular system, nervous system, or urinary passages.6,7\nThe pathophysiology of FMS is still unknown. It is assumed that the levels of biogenic amines such as 5-hydroxytryptamine (5-HT) and norepinephrine are reduced in persons with FMS. A dysfunction of the 5-HT system may lead to panic disorders and depression.8,9\nPredictors of FMS are obesity, missing physical activity, high workload,10,11 increased physical discomfort, and permanent local pain for more than 6 years.12 Prevalence of FMS is estimated to be 5%–6% of women in the USA and Europe.13,14 Individuals with FMS report frequent health care use15 concomitantly with lost productivity through higher absenteeism and unemployment.16 FMS places a significant economic burden on patients and health care systems.17,18\nThe complexity of the FMS, its chronic progression, and the heavy burden of suffering present health care providers with an extensive set of problems.\nThere is no universally acceptable treatment for this condition.19 FMS leads to substantial limitations in physical functioning and activities of daily living. A higher absenteeism, unemployment, and disability lead to significant costs.\nMultidisciplinary approaches are recommended for the treatment of fibromyalgia. These should include both psychotherapeutic methods (patient education and/or cognitive behavioral therapy) and exercise and activating therapeutic procedures.20,21\nThese complementary methods do not exert their effects individually, but exert synergistic effects. Decisions to use a multidisciplinary approach to therapy should be determined based on a structured health care assessment of the individual.22\nMultidisciplinary approaches may include hydrotherapeutic and thermotherapeutic methods, hydrogalvanic baths (medical treatment [a type of electrotherapy] based on the simultaneous use of water and electric current), and acupuncture. Hydrotherapeutic methods are used by many individuals with FMS.23 These methods include balneotherapeutic methods of hydrotherapy (part of naturopathy and physiotherapy, that involves the use of water for pain relief and treatment), such as herbal baths, mud baths, steam baths, and hot water whirlpool baths to soothe muscles and stimulate circulation.\nHydrotherapy can contribute in particular to reduce pain safely24–26 and offers beneficial treatment with no hidden side effects.26 Hot baths27,28 are favored by many individuals with FMS and can be a therapy option to reduce high pain intensity.29 Acupuncture may be integrated into a multimodal therapy as an adjunctive treatment30 and may help to reduce FMS symptoms31,32 and to increase the quality of life.33\nConversations between health care providers during hospitalization should be client centered to improve and solidify the client–provider relationship.34 The therapist is able to understand what the individuals are feeling and provide care that is more specific to their needs and therefore provide better care. Individuals are more likely to engage in treatment decisions, feel supported to make behavioral changes, and so feel empowered to self-manage.\nPsychotherapy should include established methods of coping with pain and deflecting attention,35 other problem-solving strategies,36 and cognitive behavioral therapy.37\nCognitive behavioral therapy is effective at helping you learn to manage your illness more effectively and it is based on the gate-control theory of pain and operant behavioral conditioning.38\nPhysical therapies are found to be especially effective in the treatment of FMS39 and also reflexology (physical act of applying pressure to the feet, hands, or ears with specific thumb, finger, and hand techniques).40 Therefore, these therapies are integral components of the physiotherapy used in performing the study.", "Different methods of hyperthermia exist.41 The mechanism of action of heat therapy in a wide range of different diseases is also the subject of numerous studies42–45 but the mechanisms are currently not completely understood and are in need of further scientific investigation (Figure 1). Infrared (IR)-A radiation may cause an immediate cellular effect, increasing nuclear DNA and RNA synthesis and ferritin levels.46,47\nHyperthermia is usually incorporated with other complementary therapies.48 Several studies also have demonstrated that IR-A radiation accelerates healing of both chronic and postoperative wounds and reduces postoperative pain medication use.49,50 The use of hyperthermia has recently been studied, but is in its early stages.51 Pain in individuals with FMS was reduced for several months after discharge from the hospital.52,53", " Design The study design was a convenience sample and a prospective cohort study. The authors chose an understudied area and reported a cohort study to highlight the additive effects of hyperthermia therapy as part of an in-hospital, multimodality program for the symptom management of FMS. The data in the study were collected according to the hypothesis formation, specifically for testing the hypothesis. Before starting the analysis, groups of patient were formed who were as similar as possible regarding relevant factors; the classification of the individuals was made according to the International Classification of Diseases.\nAll individuals approached by the investigator agreed to participate with a declaration of consent. Clinical patient number and all social data were deleted after the survey. Study participants always retained the right to withdraw at any time, for any reason. The study complies with the targets of the local ethical review committee and the targets of the privacy policy. The inclusion criterion for hospitalized individuals to participate in the study was a primary rheumatologic diagnosis of FMS by a specialist.\nExclusion criteria for study were severe epilepsy, chronic infections, acute infections, and claustrophobia.\nThe participants fulfilled the criteria of the American College of Rheumatology for the FMS diagnosis and showed severe disease progression as demonstrated by the disease activity, symptoms, and functional capacity. All patients had comorbid disease, over 700 diagnoses in total, which will not be presented due to their complexity and scope. It was clearly evident that all the participants availed themselves of a wide variety of outpatient treatments (specialists, therapists, before hospitalization) on account of their FMS. For the measurement of chronic pain, the Mainz staging (Gerbershagen) was used.54,55 It was possible to blind outcome assessment by having this done by an independent person unaware of who received what. The investigators began enrolling subjects and collecting baseline exposure information; none of the subjects have developed any of the outcomes of interest.\nDuring the entirety of their stay, all participants received interdisciplinary treatment from anesthesia specialist and internal medicine, rheumatology, and general medicine specialists. An integrative therapeutic approach in an acute setting is characterized by a high therapy density.56,57 If the application of hyperthermia is contraindicated, this is compensated by the use of other therapeutic procedures in order to ensure close-meshed, high-frequency therapy.\nNursing supervision was maintained. Process coordinators were in the middle of the workflow, deciding what information to share and when. The process coordinator was informed to collect all relevant parameters (disease activity, physical symptoms, functional capacity).\nComplementary and alternative therapies were performed by a naturopathy specialist with the additional qualification, Naturheilverfahren (naturopathic methods), and with at least 3 years of experience in the field of “classical naturopathy”. In addition to specialist doctors, the team included specially trained nursing staff with at least 6 months of naturopathy experience.\nThe treatments applied were evidence based and best practice methods from hydro-/thermotherapy, physical therapy, phytotherapy, psychotherapy, lifestyle regulative therapy, and movement therapy. In addition, neural therapy, acupuncture, infiltrations, homeopathy, and dietary consultations were performed according to indication (Table 1).58–70 There was a standardized time of exposure to each therapy written into the protocol.\nEvery week, at least two extensive discussions were held with the patients, which focused especially on lifestyle regulative therapy.71,72\nThe medication therapy for both groups was oriented on the requirements of the German S3 Guidelines.73 Due to the psychological comorbidities, patients were additionally treated with tricyclic antidepressants.\nThe therapy progression and the therapy targets were evaluated in weekly, interdisciplinary team meetings and deviations were documented.74\nThe study design was a convenience sample and a prospective cohort study. The authors chose an understudied area and reported a cohort study to highlight the additive effects of hyperthermia therapy as part of an in-hospital, multimodality program for the symptom management of FMS. The data in the study were collected according to the hypothesis formation, specifically for testing the hypothesis. Before starting the analysis, groups of patient were formed who were as similar as possible regarding relevant factors; the classification of the individuals was made according to the International Classification of Diseases.\nAll individuals approached by the investigator agreed to participate with a declaration of consent. Clinical patient number and all social data were deleted after the survey. Study participants always retained the right to withdraw at any time, for any reason. The study complies with the targets of the local ethical review committee and the targets of the privacy policy. The inclusion criterion for hospitalized individuals to participate in the study was a primary rheumatologic diagnosis of FMS by a specialist.\nExclusion criteria for study were severe epilepsy, chronic infections, acute infections, and claustrophobia.\nThe participants fulfilled the criteria of the American College of Rheumatology for the FMS diagnosis and showed severe disease progression as demonstrated by the disease activity, symptoms, and functional capacity. All patients had comorbid disease, over 700 diagnoses in total, which will not be presented due to their complexity and scope. It was clearly evident that all the participants availed themselves of a wide variety of outpatient treatments (specialists, therapists, before hospitalization) on account of their FMS. For the measurement of chronic pain, the Mainz staging (Gerbershagen) was used.54,55 It was possible to blind outcome assessment by having this done by an independent person unaware of who received what. The investigators began enrolling subjects and collecting baseline exposure information; none of the subjects have developed any of the outcomes of interest.\nDuring the entirety of their stay, all participants received interdisciplinary treatment from anesthesia specialist and internal medicine, rheumatology, and general medicine specialists. An integrative therapeutic approach in an acute setting is characterized by a high therapy density.56,57 If the application of hyperthermia is contraindicated, this is compensated by the use of other therapeutic procedures in order to ensure close-meshed, high-frequency therapy.\nNursing supervision was maintained. Process coordinators were in the middle of the workflow, deciding what information to share and when. The process coordinator was informed to collect all relevant parameters (disease activity, physical symptoms, functional capacity).\nComplementary and alternative therapies were performed by a naturopathy specialist with the additional qualification, Naturheilverfahren (naturopathic methods), and with at least 3 years of experience in the field of “classical naturopathy”. In addition to specialist doctors, the team included specially trained nursing staff with at least 6 months of naturopathy experience.\nThe treatments applied were evidence based and best practice methods from hydro-/thermotherapy, physical therapy, phytotherapy, psychotherapy, lifestyle regulative therapy, and movement therapy. In addition, neural therapy, acupuncture, infiltrations, homeopathy, and dietary consultations were performed according to indication (Table 1).58–70 There was a standardized time of exposure to each therapy written into the protocol.\nEvery week, at least two extensive discussions were held with the patients, which focused especially on lifestyle regulative therapy.71,72\nThe medication therapy for both groups was oriented on the requirements of the German S3 Guidelines.73 Due to the psychological comorbidities, patients were additionally treated with tricyclic antidepressants.\nThe therapy progression and the therapy targets were evaluated in weekly, interdisciplinary team meetings and deviations were documented.74\n Hyperthermia therapy In this study, the hyperthermia method used was whole-body hyperthermia with IR radiation (method according to Dr Heckel).75 This contains a high fraction of wavelengths near the visible region (ie, short-wave IR, IR-A) and is emitted together with light. The total reflection scattering of the primary radiation produces an even surface irradiation tolerated by the skin. Fractions of this radiation penetrate through the outermost layers of skin and are absorbed in a depth of tissue at which the blood carries the released heat and distributes it throughout the body.\nHeat losses are reduced by the individual lying in an insulated cubicle during the irradiation. A window opening in the roof of the cubicle allows air exchange. Pulse rate and temperature were monitored continuously by therapeutic stuff. If required, pulse or electrocardiogram monitoring, oxygen administration, or an intravenous infusion could be implemented during treatment.\nThe hyperthermia treatment must not be used in the case of existing or threatening thrombosis, Marcumar medication (medication that may influence blood coagulation), or peripheral arterial occlusive disease. Figure 2 gives a summary overview of the indications and contraindications of systemic whole-body hyperthermia.\nA comprehensive, therapy-related, patient-related, survey was performed which recorded all the therapy methods used in both groups during the period of hospitalization and presents the intensity of the service provided by integrative multimodal therapy.\nIn this study, the hyperthermia method used was whole-body hyperthermia with IR radiation (method according to Dr Heckel).75 This contains a high fraction of wavelengths near the visible region (ie, short-wave IR, IR-A) and is emitted together with light. The total reflection scattering of the primary radiation produces an even surface irradiation tolerated by the skin. Fractions of this radiation penetrate through the outermost layers of skin and are absorbed in a depth of tissue at which the blood carries the released heat and distributes it throughout the body.\nHeat losses are reduced by the individual lying in an insulated cubicle during the irradiation. A window opening in the roof of the cubicle allows air exchange. Pulse rate and temperature were monitored continuously by therapeutic stuff. If required, pulse or electrocardiogram monitoring, oxygen administration, or an intravenous infusion could be implemented during treatment.\nThe hyperthermia treatment must not be used in the case of existing or threatening thrombosis, Marcumar medication (medication that may influence blood coagulation), or peripheral arterial occlusive disease. Figure 2 gives a summary overview of the indications and contraindications of systemic whole-body hyperthermia.\nA comprehensive, therapy-related, patient-related, survey was performed which recorded all the therapy methods used in both groups during the period of hospitalization and presents the intensity of the service provided by integrative multimodal therapy.\n Outcome parameters The parameters (Mainz Pain Staging System, disease activity, physical symptoms, functional capacity) were conducted by a coordinator, who coordinates clinical activities and shares information with everyone in the workflow. These parameters were controlled by physicians, therapists, and nurses.\nFor the measurement of chronic pain, the Mainz staging (Gerbershagen) was used. The Mainz Pain Staging System is an instrument for the classification of chronic pain in three stages 1, 2, and 3 (ranging from acute =1 to chronic pain =3).76 It is based on a questionnaire taking into account dimensions of pain patterns of occurrence, duration, change of intensity, medication usage, and the lifetime utilization of the health care system.77\nTo measure the intensity of pain, the visual analog scale (VAS) was used. The VAS is a psychometric response scale to measure the intensity or frequency of various symptoms.78 Respondents mark the location on the 10 cm line corresponding to the amount of pain they experienced (0= no pain, 10= worst pain ever). VAS has been widely used in diverse adult populations, including those with rheumatic diseases.79\nThe parameters (Mainz Pain Staging System, disease activity, physical symptoms, functional capacity) were conducted by a coordinator, who coordinates clinical activities and shares information with everyone in the workflow. These parameters were controlled by physicians, therapists, and nurses.\nFor the measurement of chronic pain, the Mainz staging (Gerbershagen) was used. The Mainz Pain Staging System is an instrument for the classification of chronic pain in three stages 1, 2, and 3 (ranging from acute =1 to chronic pain =3).76 It is based on a questionnaire taking into account dimensions of pain patterns of occurrence, duration, change of intensity, medication usage, and the lifetime utilization of the health care system.77\nTo measure the intensity of pain, the visual analog scale (VAS) was used. The VAS is a psychometric response scale to measure the intensity or frequency of various symptoms.78 Respondents mark the location on the 10 cm line corresponding to the amount of pain they experienced (0= no pain, 10= worst pain ever). VAS has been widely used in diverse adult populations, including those with rheumatic diseases.79\n List of symptoms according to von Zerssen The patients’ physical symptoms were recorded in the study using this instrument. The procedure is used both in somatic medicine and in clinical psychology and psychiatry.80,81 Information can be gathered for all patients with chronified physical and mental diseases or disturbances. The use of the list of symptoms is suitable both for an individual and for a group setting. The patients answer questions (Figure 3).\nThe items included general symptoms (eg, feeling of weakness, fatigue), localizable physical symptoms (eg, pain in the joints and limbs), and mental states (eg, inner restlessness, brooding). The degree of severity of the symptoms surveyed is classified according to a four-level Likert scale (strong–moderate–hardly–not at all).\nThe individual complaints can be evaluated on a scale with the response categories “not at all” (0 point), “hardly” (1 point), “moderate” (2 points), and “strong” (3 points). The addition of the score results in a sum value divided into three groups (“unremarkable”, “borderline”, and “conspicuous”).\nThe internal consistency (Cronbach’s alpha) is α=0.94. The split half reliability is very highly pronounced at r =0.93. Criteria-related validity is 0.62.\nThe patients’ physical symptoms were recorded in the study using this instrument. The procedure is used both in somatic medicine and in clinical psychology and psychiatry.80,81 Information can be gathered for all patients with chronified physical and mental diseases or disturbances. The use of the list of symptoms is suitable both for an individual and for a group setting. The patients answer questions (Figure 3).\nThe items included general symptoms (eg, feeling of weakness, fatigue), localizable physical symptoms (eg, pain in the joints and limbs), and mental states (eg, inner restlessness, brooding). The degree of severity of the symptoms surveyed is classified according to a four-level Likert scale (strong–moderate–hardly–not at all).\nThe individual complaints can be evaluated on a scale with the response categories “not at all” (0 point), “hardly” (1 point), “moderate” (2 points), and “strong” (3 points). The addition of the score results in a sum value divided into three groups (“unremarkable”, “borderline”, and “conspicuous”).\nThe internal consistency (Cronbach’s alpha) is α=0.94. The split half reliability is very highly pronounced at r =0.93. Criteria-related validity is 0.62.\n Functional capacity The functional capacity of all subjects was recorded using the Hannover Function Questionnaire (Funktionsfragebogen Hannover) (FFbH).82 This tool is a patient self-evaluation instrument for everyday recording of functional limitations resulting from diseases of the locomotor organs. Validity and reliability in repeated measurements are greater than 0.75. The FFbH can be used in a variety of rheumatic diseases and together with other assessment instruments.83 The FFbH is sensitive to change, and appears to be of practical usefulness in clinical and epidemiological studies. The defined pool of items strives, on the one hand, to ensure the “everyday relevance” of the movement progressions recorded and the best possible representation of different areas of life and, on the other, to take account of rheumatological aspects. A total of 18 questions are provided for recording functional limitations of the activities of daily life. The grade of the remaining functional capacity is expressed as a percentage of the maximum number of points achieved. A score of 0% indicates maximum limitation and 100% stands for an unlimited capability to perform the activities required in daily life. If more than two questions are not answered, the FFbH should not be evaluated. FFbH scores of 100% to approximately 80% correspond to a “normal” functional capacity; scores <70% are an indication of limited functional capacity.\nThe functional capacity of all subjects was recorded using the Hannover Function Questionnaire (Funktionsfragebogen Hannover) (FFbH).82 This tool is a patient self-evaluation instrument for everyday recording of functional limitations resulting from diseases of the locomotor organs. Validity and reliability in repeated measurements are greater than 0.75. The FFbH can be used in a variety of rheumatic diseases and together with other assessment instruments.83 The FFbH is sensitive to change, and appears to be of practical usefulness in clinical and epidemiological studies. The defined pool of items strives, on the one hand, to ensure the “everyday relevance” of the movement progressions recorded and the best possible representation of different areas of life and, on the other, to take account of rheumatological aspects. A total of 18 questions are provided for recording functional limitations of the activities of daily life. The grade of the remaining functional capacity is expressed as a percentage of the maximum number of points achieved. A score of 0% indicates maximum limitation and 100% stands for an unlimited capability to perform the activities required in daily life. If more than two questions are not answered, the FFbH should not be evaluated. FFbH scores of 100% to approximately 80% correspond to a “normal” functional capacity; scores <70% are an indication of limited functional capacity.\n Statistical analysis Statistical analyses were performed using SPSS for Windows, Version 20.0 (SPSS Inc, Chicago, IL, USA). For the comparison of two independent, normally distributed samples, the t-test was applied. Before that, the homogeneity of the variances was tested by means of the Levene test. When homogeneity of the variances was proven, Student’s t-test was carried out and when non-homogeneity of variances was tested, the Welch test was used. However, for non-normally distributed samples the Mann–Whitney U-test was applied as a nonparametric procedure. The metric variables were presented as means and medians, while the spreads were stated as standard deviations and interquartile ranges.\nNormal distribution tests were used to check the distribution form of constant numbers of a sample. A significant deviation from the normal distribution exists at P<0.05. In such cases, nonparametric tests must be used for the variables concerned. The normal distribution tests in this study were performed using the Kolmogorov–Smirnov test. Comparison of two independent, normally distributed samples was done using the t-test. Comparison of two independent, non-normally distributed samples was done using the Mann–Whitney U-test.\nThe graphics were also produced using SPSS. Box-and-whisker plots were drawn to present the medians and quartiles. The median and 25th–75th quartiles are entered in the box, while the whiskers correspond to the smallest and largest value as long as these are neither extreme values nor outliers. Outliers are defined as values lying 1.5–3 box lengths outside the box and are shown as circles in the diagrams; extreme values, which measure more than 3 box lengths outside the box, are entered as crosses.\nStatistical analyses were performed using SPSS for Windows, Version 20.0 (SPSS Inc, Chicago, IL, USA). For the comparison of two independent, normally distributed samples, the t-test was applied. Before that, the homogeneity of the variances was tested by means of the Levene test. When homogeneity of the variances was proven, Student’s t-test was carried out and when non-homogeneity of variances was tested, the Welch test was used. However, for non-normally distributed samples the Mann–Whitney U-test was applied as a nonparametric procedure. The metric variables were presented as means and medians, while the spreads were stated as standard deviations and interquartile ranges.\nNormal distribution tests were used to check the distribution form of constant numbers of a sample. A significant deviation from the normal distribution exists at P<0.05. In such cases, nonparametric tests must be used for the variables concerned. The normal distribution tests in this study were performed using the Kolmogorov–Smirnov test. Comparison of two independent, normally distributed samples was done using the t-test. Comparison of two independent, non-normally distributed samples was done using the Mann–Whitney U-test.\nThe graphics were also produced using SPSS. Box-and-whisker plots were drawn to present the medians and quartiles. The median and 25th–75th quartiles are entered in the box, while the whiskers correspond to the smallest and largest value as long as these are neither extreme values nor outliers. Outliers are defined as values lying 1.5–3 box lengths outside the box and are shown as circles in the diagrams; extreme values, which measure more than 3 box lengths outside the box, are entered as crosses.\n Findings A total of 104 patients were studied; the average age of all fibromyalgia patients was 56.05 years (Table 2). A total of 272 hyperthermia treatments were performed in the hyper-thermia group (HG). During their stay in hospital, the HG received on average 4.86 hyperthermia sessions (hs) (0–2 hs, N=0; 3–4 hs, N=10; 5–6 hs, N=46) in the mildly warm temperature range between 37.5°C and 38.5°C.\nAll patients showed a polysymptomatic progression with lasting, persistent pain in muscles and joints, and with rare intervals with reduced symptoms. The overwhelming majority of the patients were subject to private and/or professional stressors with health-related anxieties. The disease activity was elevated significantly and all subjects suffered from considerable morning stiffness.\nThe great majority of the patients were in Stage 3 of the Mainz Pain Staging System according to Gerbershagen.\nAs part of the study, an analysis of secondary diagnoses was performed involving the comparison of several hundred secondary diagnoses. The basis of the analysis was allocation of the diagnoses in accordance with the International Statistical Classification of Diseases and Related Health Problems and the Major Diagnostic Category. Comparison of the secondary diagnoses revealed only a significant difference of Diagnostic Category “Circulatory system” in control group (CG) vs HG (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.049). This had no influence on results because this was no exclusion criterion for HG. There was no significant difference between the age of the two groups (t-test, P=0.350). The members of both groups were predominantly female (48 women in CG; 56 women in HG).\nHospitalization for the HG was 16.2 days (minimum 12 days and maximum 17 days, standard deviation 1.1) and in the CG 15.7 days (minimum 10 days and maximum 19 days, standard deviation 2.2). Comparison of CG and HG showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.211).\nThe mean level of pain (admission) was 6.8 (CG) on the VAS and 8.2 (HG). The mean level of pain (discharge) was 4.8 (CG) on the VAS and 4.0 (HG).\nA total of 104 patients were studied; the average age of all fibromyalgia patients was 56.05 years (Table 2). A total of 272 hyperthermia treatments were performed in the hyper-thermia group (HG). During their stay in hospital, the HG received on average 4.86 hyperthermia sessions (hs) (0–2 hs, N=0; 3–4 hs, N=10; 5–6 hs, N=46) in the mildly warm temperature range between 37.5°C and 38.5°C.\nAll patients showed a polysymptomatic progression with lasting, persistent pain in muscles and joints, and with rare intervals with reduced symptoms. The overwhelming majority of the patients were subject to private and/or professional stressors with health-related anxieties. The disease activity was elevated significantly and all subjects suffered from considerable morning stiffness.\nThe great majority of the patients were in Stage 3 of the Mainz Pain Staging System according to Gerbershagen.\nAs part of the study, an analysis of secondary diagnoses was performed involving the comparison of several hundred secondary diagnoses. The basis of the analysis was allocation of the diagnoses in accordance with the International Statistical Classification of Diseases and Related Health Problems and the Major Diagnostic Category. Comparison of the secondary diagnoses revealed only a significant difference of Diagnostic Category “Circulatory system” in control group (CG) vs HG (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.049). This had no influence on results because this was no exclusion criterion for HG. There was no significant difference between the age of the two groups (t-test, P=0.350). The members of both groups were predominantly female (48 women in CG; 56 women in HG).\nHospitalization for the HG was 16.2 days (minimum 12 days and maximum 17 days, standard deviation 1.1) and in the CG 15.7 days (minimum 10 days and maximum 19 days, standard deviation 2.2). Comparison of CG and HG showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.211).\nThe mean level of pain (admission) was 6.8 (CG) on the VAS and 8.2 (HG). The mean level of pain (discharge) was 4.8 (CG) on the VAS and 4.0 (HG).\n Functional capacity on admission and discharge The functional capacity was measured for all the patients from both groups. All the patients in the two groups answered all the questions. On admission, no significant difference could be established between the two groups (t-test; P=0.936). The standard deviation in the CG was 20.1 (median 58.0, maximum 94.0) and in the HG it was 14.6 (median 58.0, maximum 91.0). On discharge, there was a significant difference (Mann–Whitney U-test; asymptotic significance, P=0.039) (Figure 4). The standard deviation in the HG was 19.1 (median 75.0, maximum 100.0) and in the CG it was 18.8 (median 62.0, maximum 97.0).\nThe functional capacity was measured for all the patients from both groups. All the patients in the two groups answered all the questions. On admission, no significant difference could be established between the two groups (t-test; P=0.936). The standard deviation in the CG was 20.1 (median 58.0, maximum 94.0) and in the HG it was 14.6 (median 58.0, maximum 91.0). On discharge, there was a significant difference (Mann–Whitney U-test; asymptotic significance, P=0.039) (Figure 4). The standard deviation in the HG was 19.1 (median 75.0, maximum 100.0) and in the CG it was 18.8 (median 62.0, maximum 97.0).\n Symptoms according to von Zerssen on admission and discharge All the members of both groups answered all the questions in the questionnaire. The survey of the list of symptoms according to von Zerssen revealed no significant differences between the two groups on their admission to hospital (t-test; P=0.988). The standard deviation for the HG was 9.4 (median 42.0) and for the CG 12.2 (median 41.0) on admission (Table 3). A significant difference was evident on discharge (t-test; P=0.024). The standard deviation for the CG was 14.6 (median 37.5) and for the HG it was 12.0 (median 29.0) (Figure 5 and Table 4).\nAll the members of both groups answered all the questions in the questionnaire. The survey of the list of symptoms according to von Zerssen revealed no significant differences between the two groups on their admission to hospital (t-test; P=0.988). The standard deviation for the HG was 9.4 (median 42.0) and for the CG 12.2 (median 41.0) on admission (Table 3). A significant difference was evident on discharge (t-test; P=0.024). The standard deviation for the CG was 14.6 (median 37.5) and for the HG it was 12.0 (median 29.0) (Figure 5 and Table 4).\n Analysis of the therapy density of the therapy areas for both groups Physical therapy (hydrotherapy) Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0).\nComparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0).\n Physical therapy (thermotherapy) The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5).\nThe difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5).\n Physiotherapy Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5).\nComparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5).\n Phytotherapy The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506).\nThe mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506).\n Psychotherapy/mind body medicine Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0).\nComparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0).\n Movement therapy The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001).\nThe mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001).\n Detoxifying process There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0).\nThere was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0).\n Neural therapy/infiltration/acupuncture Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0).\nRegarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0).\n Homeopathy No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5).\nNo significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5).\n Diet advice The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0).\nThe outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0).\n Physical therapy (hydrotherapy) Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0).\nComparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0).\n Physical therapy (thermotherapy) The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5).\nThe difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5).\n Physiotherapy Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5).\nComparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5).\n Phytotherapy The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506).\nThe mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506).\n Psychotherapy/mind body medicine Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0).\nComparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0).\n Movement therapy The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001).\nThe mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001).\n Detoxifying process There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0).\nThere was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0).\n Neural therapy/infiltration/acupuncture Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0).\nRegarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0).\n Homeopathy No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5).\nNo significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5).\n Diet advice The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0).\nThe outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0).", "The study design was a convenience sample and a prospective cohort study. The authors chose an understudied area and reported a cohort study to highlight the additive effects of hyperthermia therapy as part of an in-hospital, multimodality program for the symptom management of FMS. The data in the study were collected according to the hypothesis formation, specifically for testing the hypothesis. Before starting the analysis, groups of patient were formed who were as similar as possible regarding relevant factors; the classification of the individuals was made according to the International Classification of Diseases.\nAll individuals approached by the investigator agreed to participate with a declaration of consent. Clinical patient number and all social data were deleted after the survey. Study participants always retained the right to withdraw at any time, for any reason. The study complies with the targets of the local ethical review committee and the targets of the privacy policy. The inclusion criterion for hospitalized individuals to participate in the study was a primary rheumatologic diagnosis of FMS by a specialist.\nExclusion criteria for study were severe epilepsy, chronic infections, acute infections, and claustrophobia.\nThe participants fulfilled the criteria of the American College of Rheumatology for the FMS diagnosis and showed severe disease progression as demonstrated by the disease activity, symptoms, and functional capacity. All patients had comorbid disease, over 700 diagnoses in total, which will not be presented due to their complexity and scope. It was clearly evident that all the participants availed themselves of a wide variety of outpatient treatments (specialists, therapists, before hospitalization) on account of their FMS. For the measurement of chronic pain, the Mainz staging (Gerbershagen) was used.54,55 It was possible to blind outcome assessment by having this done by an independent person unaware of who received what. The investigators began enrolling subjects and collecting baseline exposure information; none of the subjects have developed any of the outcomes of interest.\nDuring the entirety of their stay, all participants received interdisciplinary treatment from anesthesia specialist and internal medicine, rheumatology, and general medicine specialists. An integrative therapeutic approach in an acute setting is characterized by a high therapy density.56,57 If the application of hyperthermia is contraindicated, this is compensated by the use of other therapeutic procedures in order to ensure close-meshed, high-frequency therapy.\nNursing supervision was maintained. Process coordinators were in the middle of the workflow, deciding what information to share and when. The process coordinator was informed to collect all relevant parameters (disease activity, physical symptoms, functional capacity).\nComplementary and alternative therapies were performed by a naturopathy specialist with the additional qualification, Naturheilverfahren (naturopathic methods), and with at least 3 years of experience in the field of “classical naturopathy”. In addition to specialist doctors, the team included specially trained nursing staff with at least 6 months of naturopathy experience.\nThe treatments applied were evidence based and best practice methods from hydro-/thermotherapy, physical therapy, phytotherapy, psychotherapy, lifestyle regulative therapy, and movement therapy. In addition, neural therapy, acupuncture, infiltrations, homeopathy, and dietary consultations were performed according to indication (Table 1).58–70 There was a standardized time of exposure to each therapy written into the protocol.\nEvery week, at least two extensive discussions were held with the patients, which focused especially on lifestyle regulative therapy.71,72\nThe medication therapy for both groups was oriented on the requirements of the German S3 Guidelines.73 Due to the psychological comorbidities, patients were additionally treated with tricyclic antidepressants.\nThe therapy progression and the therapy targets were evaluated in weekly, interdisciplinary team meetings and deviations were documented.74", "In this study, the hyperthermia method used was whole-body hyperthermia with IR radiation (method according to Dr Heckel).75 This contains a high fraction of wavelengths near the visible region (ie, short-wave IR, IR-A) and is emitted together with light. The total reflection scattering of the primary radiation produces an even surface irradiation tolerated by the skin. Fractions of this radiation penetrate through the outermost layers of skin and are absorbed in a depth of tissue at which the blood carries the released heat and distributes it throughout the body.\nHeat losses are reduced by the individual lying in an insulated cubicle during the irradiation. A window opening in the roof of the cubicle allows air exchange. Pulse rate and temperature were monitored continuously by therapeutic stuff. If required, pulse or electrocardiogram monitoring, oxygen administration, or an intravenous infusion could be implemented during treatment.\nThe hyperthermia treatment must not be used in the case of existing or threatening thrombosis, Marcumar medication (medication that may influence blood coagulation), or peripheral arterial occlusive disease. Figure 2 gives a summary overview of the indications and contraindications of systemic whole-body hyperthermia.\nA comprehensive, therapy-related, patient-related, survey was performed which recorded all the therapy methods used in both groups during the period of hospitalization and presents the intensity of the service provided by integrative multimodal therapy.", "The parameters (Mainz Pain Staging System, disease activity, physical symptoms, functional capacity) were conducted by a coordinator, who coordinates clinical activities and shares information with everyone in the workflow. These parameters were controlled by physicians, therapists, and nurses.\nFor the measurement of chronic pain, the Mainz staging (Gerbershagen) was used. The Mainz Pain Staging System is an instrument for the classification of chronic pain in three stages 1, 2, and 3 (ranging from acute =1 to chronic pain =3).76 It is based on a questionnaire taking into account dimensions of pain patterns of occurrence, duration, change of intensity, medication usage, and the lifetime utilization of the health care system.77\nTo measure the intensity of pain, the visual analog scale (VAS) was used. The VAS is a psychometric response scale to measure the intensity or frequency of various symptoms.78 Respondents mark the location on the 10 cm line corresponding to the amount of pain they experienced (0= no pain, 10= worst pain ever). VAS has been widely used in diverse adult populations, including those with rheumatic diseases.79", "The patients’ physical symptoms were recorded in the study using this instrument. The procedure is used both in somatic medicine and in clinical psychology and psychiatry.80,81 Information can be gathered for all patients with chronified physical and mental diseases or disturbances. The use of the list of symptoms is suitable both for an individual and for a group setting. The patients answer questions (Figure 3).\nThe items included general symptoms (eg, feeling of weakness, fatigue), localizable physical symptoms (eg, pain in the joints and limbs), and mental states (eg, inner restlessness, brooding). The degree of severity of the symptoms surveyed is classified according to a four-level Likert scale (strong–moderate–hardly–not at all).\nThe individual complaints can be evaluated on a scale with the response categories “not at all” (0 point), “hardly” (1 point), “moderate” (2 points), and “strong” (3 points). The addition of the score results in a sum value divided into three groups (“unremarkable”, “borderline”, and “conspicuous”).\nThe internal consistency (Cronbach’s alpha) is α=0.94. The split half reliability is very highly pronounced at r =0.93. Criteria-related validity is 0.62.", "The functional capacity of all subjects was recorded using the Hannover Function Questionnaire (Funktionsfragebogen Hannover) (FFbH).82 This tool is a patient self-evaluation instrument for everyday recording of functional limitations resulting from diseases of the locomotor organs. Validity and reliability in repeated measurements are greater than 0.75. The FFbH can be used in a variety of rheumatic diseases and together with other assessment instruments.83 The FFbH is sensitive to change, and appears to be of practical usefulness in clinical and epidemiological studies. The defined pool of items strives, on the one hand, to ensure the “everyday relevance” of the movement progressions recorded and the best possible representation of different areas of life and, on the other, to take account of rheumatological aspects. A total of 18 questions are provided for recording functional limitations of the activities of daily life. The grade of the remaining functional capacity is expressed as a percentage of the maximum number of points achieved. A score of 0% indicates maximum limitation and 100% stands for an unlimited capability to perform the activities required in daily life. If more than two questions are not answered, the FFbH should not be evaluated. FFbH scores of 100% to approximately 80% correspond to a “normal” functional capacity; scores <70% are an indication of limited functional capacity.", "Statistical analyses were performed using SPSS for Windows, Version 20.0 (SPSS Inc, Chicago, IL, USA). For the comparison of two independent, normally distributed samples, the t-test was applied. Before that, the homogeneity of the variances was tested by means of the Levene test. When homogeneity of the variances was proven, Student’s t-test was carried out and when non-homogeneity of variances was tested, the Welch test was used. However, for non-normally distributed samples the Mann–Whitney U-test was applied as a nonparametric procedure. The metric variables were presented as means and medians, while the spreads were stated as standard deviations and interquartile ranges.\nNormal distribution tests were used to check the distribution form of constant numbers of a sample. A significant deviation from the normal distribution exists at P<0.05. In such cases, nonparametric tests must be used for the variables concerned. The normal distribution tests in this study were performed using the Kolmogorov–Smirnov test. Comparison of two independent, normally distributed samples was done using the t-test. Comparison of two independent, non-normally distributed samples was done using the Mann–Whitney U-test.\nThe graphics were also produced using SPSS. Box-and-whisker plots were drawn to present the medians and quartiles. The median and 25th–75th quartiles are entered in the box, while the whiskers correspond to the smallest and largest value as long as these are neither extreme values nor outliers. Outliers are defined as values lying 1.5–3 box lengths outside the box and are shown as circles in the diagrams; extreme values, which measure more than 3 box lengths outside the box, are entered as crosses.", "The functional capacity was measured for all the patients from both groups. All the patients in the two groups answered all the questions. On admission, no significant difference could be established between the two groups (t-test; P=0.936). The standard deviation in the CG was 20.1 (median 58.0, maximum 94.0) and in the HG it was 14.6 (median 58.0, maximum 91.0). On discharge, there was a significant difference (Mann–Whitney U-test; asymptotic significance, P=0.039) (Figure 4). The standard deviation in the HG was 19.1 (median 75.0, maximum 100.0) and in the CG it was 18.8 (median 62.0, maximum 97.0).", "All the members of both groups answered all the questions in the questionnaire. The survey of the list of symptoms according to von Zerssen revealed no significant differences between the two groups on their admission to hospital (t-test; P=0.988). The standard deviation for the HG was 9.4 (median 42.0) and for the CG 12.2 (median 41.0) on admission (Table 3). A significant difference was evident on discharge (t-test; P=0.024). The standard deviation for the CG was 14.6 (median 37.5) and for the HG it was 12.0 (median 29.0) (Figure 5 and Table 4).", "Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0).", "The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5).", "Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5).", "The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506).", "Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0).", "The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001).", "There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0).", "Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0).", "No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5).", "The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0).", "The participants were predominantly female, as also reported by other studies.84,85 The longer hospitalization time of these integratively treated patients also agrees with the findings of previous large-scale scientific studies.56\nThe mean age of the patients in this study corresponds with the analysis of ages ascertained at the German national level. Out of 6.452 inpatients in Germany whose main diagnosis was FMS, >55% of patients in 2008 were between 40 years and 59 years of age. Software: G-DRG-Browser G-DRG-Version 2011, Daten 2010 gem; §21 KHEntgG.\nFor 2011, data were available for 1,929 cases receiving inpatient treatment, of whom the majority also fell within this age range.86\nThis study shows that interdisciplinary therapeutic approaches are worthwhile in the treatment of FMS. Despite the severity of the disease with a pain-supporting mental-accompanying disease, a significant improvement in the symptoms was evident on discharge from hospital (P=0.024; Tables 3 and 4). The complex somatic and mental symptoms that were recorded with the von Zerssen score could also be alleviated by means of the complementary use of hyperthermia. The use of hyperthermia improved the outcome still further. The superior outcome for the HG was manifested in a significant improvement in the patient’s functional capacity. A greater therapeutic density of both physiotherapeutic interventions and methods of movement therapy in the CG proved unable to equal the added benefit of hyperthermia. Whole-body hyperthermia is a part of a multidisciplinary approach.48,53 Previous studies with hyperthermia were performed in a rehabilitative setting.52,53,87,88 Hyperthermia has been carried out for several weeks. A sustained pain reduction was observed in a 6-month follow-up after intervention ended in patients with FMS.52 There were no specifications for other therapy methods, and their density and the form of progression were not described accurately.\nAcute care is a care setting where an individual is treated for a brief but severe episode of illness. Acute programs in Germany have increased numbers of sessions and a larger care team. Acute care settings have full-time physicians and hospital staff who are available 24 hours a day. The aim of acute inpatient treatment is to improve the patients’ condition sufficiently that they are once again capable of rehabilitation.89 Continual acute diagnosis (in the case of an emergency situation or diagnosis aggravation) and therapy, and continual medical and nursing care are guaranteed during the entire period of hospitalization. Proven applications are summarized in Figure 6.\nIn future studies for the evaluation of the therapy of FMS, economic parameters must also be analyzed in order to perform diagnosis-related group (system to classify hospital cases into groups) cost calculations (in addition to clinical effects), especially regarding the costs associated with claims for outpatient and inpatient therapy for FMS. In doing so, the question should be addressed as to whether the use of innovative, integrative therapeutic methods can generate the potential for long-term savings.\nIn addition, observational studies are needed of mildly warm whole-body hyperthermia treatment of further diseases and disturbances of the musculoskeletal system and connective tissues in acute inpatient therapy of pain and rheumatic diseases with the inclusion of complementary medical procedures. The development of further improved therapies for treating FMS, as well as analysis of delivery methods of each modality and how they potentially influence one another and also the recidivism in different hospital settings, is necessary." ]
[ null, null, "methods", "methods", null, null, null, null, "methods", null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Hyperthermia", "Methods", "Design", "Hyperthermia therapy", "Outcome parameters", "List of symptoms according to von Zerssen", "Functional capacity", "Statistical analysis", "Findings", "Functional capacity on admission and discharge", "Symptoms according to von Zerssen on admission and discharge", "Analysis of the therapy density of the therapy areas for both groups", "Physical therapy (hydrotherapy)", "Physical therapy (thermotherapy)", "Physiotherapy", "Phytotherapy", "Psychotherapy/mind body medicine", "Movement therapy", "Detoxifying process", "Neural therapy/infiltration/acupuncture", "Homeopathy", "Diet advice", "Discussion and conclusion" ]
[ "Fibromyalgia syndrome (FMS) is a multi-factorial disease involving physiological as well as psychological factors. It is characterized by widespread pain and muscle tenderness accompanied by other comorbid symptoms.1,2 Those affected report chronic pain, which persists for at least 3 months in several regions of the body. The affected areas include the neck or upper or middle back, the small of the back, ribcage or abdomen, and at least one site of pain in both arms and both legs.\nPatients can also have difficulty in falling asleep and sleeping through the night; in the morning, they feel that they have had too little sleep, and in many cases, feel mentally and physically exhausted. Numerous studies describe depression, anxiety, and panic disorders as comorbidities of FMS.3–5 Many sufferers report additional symptoms affecting the stomach, intestines, cardiovascular system, nervous system, or urinary passages.6,7\nThe pathophysiology of FMS is still unknown. It is assumed that the levels of biogenic amines such as 5-hydroxytryptamine (5-HT) and norepinephrine are reduced in persons with FMS. A dysfunction of the 5-HT system may lead to panic disorders and depression.8,9\nPredictors of FMS are obesity, missing physical activity, high workload,10,11 increased physical discomfort, and permanent local pain for more than 6 years.12 Prevalence of FMS is estimated to be 5%–6% of women in the USA and Europe.13,14 Individuals with FMS report frequent health care use15 concomitantly with lost productivity through higher absenteeism and unemployment.16 FMS places a significant economic burden on patients and health care systems.17,18\nThe complexity of the FMS, its chronic progression, and the heavy burden of suffering present health care providers with an extensive set of problems.\nThere is no universally acceptable treatment for this condition.19 FMS leads to substantial limitations in physical functioning and activities of daily living. A higher absenteeism, unemployment, and disability lead to significant costs.\nMultidisciplinary approaches are recommended for the treatment of fibromyalgia. These should include both psychotherapeutic methods (patient education and/or cognitive behavioral therapy) and exercise and activating therapeutic procedures.20,21\nThese complementary methods do not exert their effects individually, but exert synergistic effects. Decisions to use a multidisciplinary approach to therapy should be determined based on a structured health care assessment of the individual.22\nMultidisciplinary approaches may include hydrotherapeutic and thermotherapeutic methods, hydrogalvanic baths (medical treatment [a type of electrotherapy] based on the simultaneous use of water and electric current), and acupuncture. Hydrotherapeutic methods are used by many individuals with FMS.23 These methods include balneotherapeutic methods of hydrotherapy (part of naturopathy and physiotherapy, that involves the use of water for pain relief and treatment), such as herbal baths, mud baths, steam baths, and hot water whirlpool baths to soothe muscles and stimulate circulation.\nHydrotherapy can contribute in particular to reduce pain safely24–26 and offers beneficial treatment with no hidden side effects.26 Hot baths27,28 are favored by many individuals with FMS and can be a therapy option to reduce high pain intensity.29 Acupuncture may be integrated into a multimodal therapy as an adjunctive treatment30 and may help to reduce FMS symptoms31,32 and to increase the quality of life.33\nConversations between health care providers during hospitalization should be client centered to improve and solidify the client–provider relationship.34 The therapist is able to understand what the individuals are feeling and provide care that is more specific to their needs and therefore provide better care. Individuals are more likely to engage in treatment decisions, feel supported to make behavioral changes, and so feel empowered to self-manage.\nPsychotherapy should include established methods of coping with pain and deflecting attention,35 other problem-solving strategies,36 and cognitive behavioral therapy.37\nCognitive behavioral therapy is effective at helping you learn to manage your illness more effectively and it is based on the gate-control theory of pain and operant behavioral conditioning.38\nPhysical therapies are found to be especially effective in the treatment of FMS39 and also reflexology (physical act of applying pressure to the feet, hands, or ears with specific thumb, finger, and hand techniques).40 Therefore, these therapies are integral components of the physiotherapy used in performing the study.", "Different methods of hyperthermia exist.41 The mechanism of action of heat therapy in a wide range of different diseases is also the subject of numerous studies42–45 but the mechanisms are currently not completely understood and are in need of further scientific investigation (Figure 1). Infrared (IR)-A radiation may cause an immediate cellular effect, increasing nuclear DNA and RNA synthesis and ferritin levels.46,47\nHyperthermia is usually incorporated with other complementary therapies.48 Several studies also have demonstrated that IR-A radiation accelerates healing of both chronic and postoperative wounds and reduces postoperative pain medication use.49,50 The use of hyperthermia has recently been studied, but is in its early stages.51 Pain in individuals with FMS was reduced for several months after discharge from the hospital.52,53", " Design The study design was a convenience sample and a prospective cohort study. The authors chose an understudied area and reported a cohort study to highlight the additive effects of hyperthermia therapy as part of an in-hospital, multimodality program for the symptom management of FMS. The data in the study were collected according to the hypothesis formation, specifically for testing the hypothesis. Before starting the analysis, groups of patient were formed who were as similar as possible regarding relevant factors; the classification of the individuals was made according to the International Classification of Diseases.\nAll individuals approached by the investigator agreed to participate with a declaration of consent. Clinical patient number and all social data were deleted after the survey. Study participants always retained the right to withdraw at any time, for any reason. The study complies with the targets of the local ethical review committee and the targets of the privacy policy. The inclusion criterion for hospitalized individuals to participate in the study was a primary rheumatologic diagnosis of FMS by a specialist.\nExclusion criteria for study were severe epilepsy, chronic infections, acute infections, and claustrophobia.\nThe participants fulfilled the criteria of the American College of Rheumatology for the FMS diagnosis and showed severe disease progression as demonstrated by the disease activity, symptoms, and functional capacity. All patients had comorbid disease, over 700 diagnoses in total, which will not be presented due to their complexity and scope. It was clearly evident that all the participants availed themselves of a wide variety of outpatient treatments (specialists, therapists, before hospitalization) on account of their FMS. For the measurement of chronic pain, the Mainz staging (Gerbershagen) was used.54,55 It was possible to blind outcome assessment by having this done by an independent person unaware of who received what. The investigators began enrolling subjects and collecting baseline exposure information; none of the subjects have developed any of the outcomes of interest.\nDuring the entirety of their stay, all participants received interdisciplinary treatment from anesthesia specialist and internal medicine, rheumatology, and general medicine specialists. An integrative therapeutic approach in an acute setting is characterized by a high therapy density.56,57 If the application of hyperthermia is contraindicated, this is compensated by the use of other therapeutic procedures in order to ensure close-meshed, high-frequency therapy.\nNursing supervision was maintained. Process coordinators were in the middle of the workflow, deciding what information to share and when. The process coordinator was informed to collect all relevant parameters (disease activity, physical symptoms, functional capacity).\nComplementary and alternative therapies were performed by a naturopathy specialist with the additional qualification, Naturheilverfahren (naturopathic methods), and with at least 3 years of experience in the field of “classical naturopathy”. In addition to specialist doctors, the team included specially trained nursing staff with at least 6 months of naturopathy experience.\nThe treatments applied were evidence based and best practice methods from hydro-/thermotherapy, physical therapy, phytotherapy, psychotherapy, lifestyle regulative therapy, and movement therapy. In addition, neural therapy, acupuncture, infiltrations, homeopathy, and dietary consultations were performed according to indication (Table 1).58–70 There was a standardized time of exposure to each therapy written into the protocol.\nEvery week, at least two extensive discussions were held with the patients, which focused especially on lifestyle regulative therapy.71,72\nThe medication therapy for both groups was oriented on the requirements of the German S3 Guidelines.73 Due to the psychological comorbidities, patients were additionally treated with tricyclic antidepressants.\nThe therapy progression and the therapy targets were evaluated in weekly, interdisciplinary team meetings and deviations were documented.74\nThe study design was a convenience sample and a prospective cohort study. The authors chose an understudied area and reported a cohort study to highlight the additive effects of hyperthermia therapy as part of an in-hospital, multimodality program for the symptom management of FMS. The data in the study were collected according to the hypothesis formation, specifically for testing the hypothesis. Before starting the analysis, groups of patient were formed who were as similar as possible regarding relevant factors; the classification of the individuals was made according to the International Classification of Diseases.\nAll individuals approached by the investigator agreed to participate with a declaration of consent. Clinical patient number and all social data were deleted after the survey. Study participants always retained the right to withdraw at any time, for any reason. The study complies with the targets of the local ethical review committee and the targets of the privacy policy. The inclusion criterion for hospitalized individuals to participate in the study was a primary rheumatologic diagnosis of FMS by a specialist.\nExclusion criteria for study were severe epilepsy, chronic infections, acute infections, and claustrophobia.\nThe participants fulfilled the criteria of the American College of Rheumatology for the FMS diagnosis and showed severe disease progression as demonstrated by the disease activity, symptoms, and functional capacity. All patients had comorbid disease, over 700 diagnoses in total, which will not be presented due to their complexity and scope. It was clearly evident that all the participants availed themselves of a wide variety of outpatient treatments (specialists, therapists, before hospitalization) on account of their FMS. For the measurement of chronic pain, the Mainz staging (Gerbershagen) was used.54,55 It was possible to blind outcome assessment by having this done by an independent person unaware of who received what. The investigators began enrolling subjects and collecting baseline exposure information; none of the subjects have developed any of the outcomes of interest.\nDuring the entirety of their stay, all participants received interdisciplinary treatment from anesthesia specialist and internal medicine, rheumatology, and general medicine specialists. An integrative therapeutic approach in an acute setting is characterized by a high therapy density.56,57 If the application of hyperthermia is contraindicated, this is compensated by the use of other therapeutic procedures in order to ensure close-meshed, high-frequency therapy.\nNursing supervision was maintained. Process coordinators were in the middle of the workflow, deciding what information to share and when. The process coordinator was informed to collect all relevant parameters (disease activity, physical symptoms, functional capacity).\nComplementary and alternative therapies were performed by a naturopathy specialist with the additional qualification, Naturheilverfahren (naturopathic methods), and with at least 3 years of experience in the field of “classical naturopathy”. In addition to specialist doctors, the team included specially trained nursing staff with at least 6 months of naturopathy experience.\nThe treatments applied were evidence based and best practice methods from hydro-/thermotherapy, physical therapy, phytotherapy, psychotherapy, lifestyle regulative therapy, and movement therapy. In addition, neural therapy, acupuncture, infiltrations, homeopathy, and dietary consultations were performed according to indication (Table 1).58–70 There was a standardized time of exposure to each therapy written into the protocol.\nEvery week, at least two extensive discussions were held with the patients, which focused especially on lifestyle regulative therapy.71,72\nThe medication therapy for both groups was oriented on the requirements of the German S3 Guidelines.73 Due to the psychological comorbidities, patients were additionally treated with tricyclic antidepressants.\nThe therapy progression and the therapy targets were evaluated in weekly, interdisciplinary team meetings and deviations were documented.74\n Hyperthermia therapy In this study, the hyperthermia method used was whole-body hyperthermia with IR radiation (method according to Dr Heckel).75 This contains a high fraction of wavelengths near the visible region (ie, short-wave IR, IR-A) and is emitted together with light. The total reflection scattering of the primary radiation produces an even surface irradiation tolerated by the skin. Fractions of this radiation penetrate through the outermost layers of skin and are absorbed in a depth of tissue at which the blood carries the released heat and distributes it throughout the body.\nHeat losses are reduced by the individual lying in an insulated cubicle during the irradiation. A window opening in the roof of the cubicle allows air exchange. Pulse rate and temperature were monitored continuously by therapeutic stuff. If required, pulse or electrocardiogram monitoring, oxygen administration, or an intravenous infusion could be implemented during treatment.\nThe hyperthermia treatment must not be used in the case of existing or threatening thrombosis, Marcumar medication (medication that may influence blood coagulation), or peripheral arterial occlusive disease. Figure 2 gives a summary overview of the indications and contraindications of systemic whole-body hyperthermia.\nA comprehensive, therapy-related, patient-related, survey was performed which recorded all the therapy methods used in both groups during the period of hospitalization and presents the intensity of the service provided by integrative multimodal therapy.\nIn this study, the hyperthermia method used was whole-body hyperthermia with IR radiation (method according to Dr Heckel).75 This contains a high fraction of wavelengths near the visible region (ie, short-wave IR, IR-A) and is emitted together with light. The total reflection scattering of the primary radiation produces an even surface irradiation tolerated by the skin. Fractions of this radiation penetrate through the outermost layers of skin and are absorbed in a depth of tissue at which the blood carries the released heat and distributes it throughout the body.\nHeat losses are reduced by the individual lying in an insulated cubicle during the irradiation. A window opening in the roof of the cubicle allows air exchange. Pulse rate and temperature were monitored continuously by therapeutic stuff. If required, pulse or electrocardiogram monitoring, oxygen administration, or an intravenous infusion could be implemented during treatment.\nThe hyperthermia treatment must not be used in the case of existing or threatening thrombosis, Marcumar medication (medication that may influence blood coagulation), or peripheral arterial occlusive disease. Figure 2 gives a summary overview of the indications and contraindications of systemic whole-body hyperthermia.\nA comprehensive, therapy-related, patient-related, survey was performed which recorded all the therapy methods used in both groups during the period of hospitalization and presents the intensity of the service provided by integrative multimodal therapy.\n Outcome parameters The parameters (Mainz Pain Staging System, disease activity, physical symptoms, functional capacity) were conducted by a coordinator, who coordinates clinical activities and shares information with everyone in the workflow. These parameters were controlled by physicians, therapists, and nurses.\nFor the measurement of chronic pain, the Mainz staging (Gerbershagen) was used. The Mainz Pain Staging System is an instrument for the classification of chronic pain in three stages 1, 2, and 3 (ranging from acute =1 to chronic pain =3).76 It is based on a questionnaire taking into account dimensions of pain patterns of occurrence, duration, change of intensity, medication usage, and the lifetime utilization of the health care system.77\nTo measure the intensity of pain, the visual analog scale (VAS) was used. The VAS is a psychometric response scale to measure the intensity or frequency of various symptoms.78 Respondents mark the location on the 10 cm line corresponding to the amount of pain they experienced (0= no pain, 10= worst pain ever). VAS has been widely used in diverse adult populations, including those with rheumatic diseases.79\nThe parameters (Mainz Pain Staging System, disease activity, physical symptoms, functional capacity) were conducted by a coordinator, who coordinates clinical activities and shares information with everyone in the workflow. These parameters were controlled by physicians, therapists, and nurses.\nFor the measurement of chronic pain, the Mainz staging (Gerbershagen) was used. The Mainz Pain Staging System is an instrument for the classification of chronic pain in three stages 1, 2, and 3 (ranging from acute =1 to chronic pain =3).76 It is based on a questionnaire taking into account dimensions of pain patterns of occurrence, duration, change of intensity, medication usage, and the lifetime utilization of the health care system.77\nTo measure the intensity of pain, the visual analog scale (VAS) was used. The VAS is a psychometric response scale to measure the intensity or frequency of various symptoms.78 Respondents mark the location on the 10 cm line corresponding to the amount of pain they experienced (0= no pain, 10= worst pain ever). VAS has been widely used in diverse adult populations, including those with rheumatic diseases.79\n List of symptoms according to von Zerssen The patients’ physical symptoms were recorded in the study using this instrument. The procedure is used both in somatic medicine and in clinical psychology and psychiatry.80,81 Information can be gathered for all patients with chronified physical and mental diseases or disturbances. The use of the list of symptoms is suitable both for an individual and for a group setting. The patients answer questions (Figure 3).\nThe items included general symptoms (eg, feeling of weakness, fatigue), localizable physical symptoms (eg, pain in the joints and limbs), and mental states (eg, inner restlessness, brooding). The degree of severity of the symptoms surveyed is classified according to a four-level Likert scale (strong–moderate–hardly–not at all).\nThe individual complaints can be evaluated on a scale with the response categories “not at all” (0 point), “hardly” (1 point), “moderate” (2 points), and “strong” (3 points). The addition of the score results in a sum value divided into three groups (“unremarkable”, “borderline”, and “conspicuous”).\nThe internal consistency (Cronbach’s alpha) is α=0.94. The split half reliability is very highly pronounced at r =0.93. Criteria-related validity is 0.62.\nThe patients’ physical symptoms were recorded in the study using this instrument. The procedure is used both in somatic medicine and in clinical psychology and psychiatry.80,81 Information can be gathered for all patients with chronified physical and mental diseases or disturbances. The use of the list of symptoms is suitable both for an individual and for a group setting. The patients answer questions (Figure 3).\nThe items included general symptoms (eg, feeling of weakness, fatigue), localizable physical symptoms (eg, pain in the joints and limbs), and mental states (eg, inner restlessness, brooding). The degree of severity of the symptoms surveyed is classified according to a four-level Likert scale (strong–moderate–hardly–not at all).\nThe individual complaints can be evaluated on a scale with the response categories “not at all” (0 point), “hardly” (1 point), “moderate” (2 points), and “strong” (3 points). The addition of the score results in a sum value divided into three groups (“unremarkable”, “borderline”, and “conspicuous”).\nThe internal consistency (Cronbach’s alpha) is α=0.94. The split half reliability is very highly pronounced at r =0.93. Criteria-related validity is 0.62.\n Functional capacity The functional capacity of all subjects was recorded using the Hannover Function Questionnaire (Funktionsfragebogen Hannover) (FFbH).82 This tool is a patient self-evaluation instrument for everyday recording of functional limitations resulting from diseases of the locomotor organs. Validity and reliability in repeated measurements are greater than 0.75. The FFbH can be used in a variety of rheumatic diseases and together with other assessment instruments.83 The FFbH is sensitive to change, and appears to be of practical usefulness in clinical and epidemiological studies. The defined pool of items strives, on the one hand, to ensure the “everyday relevance” of the movement progressions recorded and the best possible representation of different areas of life and, on the other, to take account of rheumatological aspects. A total of 18 questions are provided for recording functional limitations of the activities of daily life. The grade of the remaining functional capacity is expressed as a percentage of the maximum number of points achieved. A score of 0% indicates maximum limitation and 100% stands for an unlimited capability to perform the activities required in daily life. If more than two questions are not answered, the FFbH should not be evaluated. FFbH scores of 100% to approximately 80% correspond to a “normal” functional capacity; scores <70% are an indication of limited functional capacity.\nThe functional capacity of all subjects was recorded using the Hannover Function Questionnaire (Funktionsfragebogen Hannover) (FFbH).82 This tool is a patient self-evaluation instrument for everyday recording of functional limitations resulting from diseases of the locomotor organs. Validity and reliability in repeated measurements are greater than 0.75. The FFbH can be used in a variety of rheumatic diseases and together with other assessment instruments.83 The FFbH is sensitive to change, and appears to be of practical usefulness in clinical and epidemiological studies. The defined pool of items strives, on the one hand, to ensure the “everyday relevance” of the movement progressions recorded and the best possible representation of different areas of life and, on the other, to take account of rheumatological aspects. A total of 18 questions are provided for recording functional limitations of the activities of daily life. The grade of the remaining functional capacity is expressed as a percentage of the maximum number of points achieved. A score of 0% indicates maximum limitation and 100% stands for an unlimited capability to perform the activities required in daily life. If more than two questions are not answered, the FFbH should not be evaluated. FFbH scores of 100% to approximately 80% correspond to a “normal” functional capacity; scores <70% are an indication of limited functional capacity.\n Statistical analysis Statistical analyses were performed using SPSS for Windows, Version 20.0 (SPSS Inc, Chicago, IL, USA). For the comparison of two independent, normally distributed samples, the t-test was applied. Before that, the homogeneity of the variances was tested by means of the Levene test. When homogeneity of the variances was proven, Student’s t-test was carried out and when non-homogeneity of variances was tested, the Welch test was used. However, for non-normally distributed samples the Mann–Whitney U-test was applied as a nonparametric procedure. The metric variables were presented as means and medians, while the spreads were stated as standard deviations and interquartile ranges.\nNormal distribution tests were used to check the distribution form of constant numbers of a sample. A significant deviation from the normal distribution exists at P<0.05. In such cases, nonparametric tests must be used for the variables concerned. The normal distribution tests in this study were performed using the Kolmogorov–Smirnov test. Comparison of two independent, normally distributed samples was done using the t-test. Comparison of two independent, non-normally distributed samples was done using the Mann–Whitney U-test.\nThe graphics were also produced using SPSS. Box-and-whisker plots were drawn to present the medians and quartiles. The median and 25th–75th quartiles are entered in the box, while the whiskers correspond to the smallest and largest value as long as these are neither extreme values nor outliers. Outliers are defined as values lying 1.5–3 box lengths outside the box and are shown as circles in the diagrams; extreme values, which measure more than 3 box lengths outside the box, are entered as crosses.\nStatistical analyses were performed using SPSS for Windows, Version 20.0 (SPSS Inc, Chicago, IL, USA). For the comparison of two independent, normally distributed samples, the t-test was applied. Before that, the homogeneity of the variances was tested by means of the Levene test. When homogeneity of the variances was proven, Student’s t-test was carried out and when non-homogeneity of variances was tested, the Welch test was used. However, for non-normally distributed samples the Mann–Whitney U-test was applied as a nonparametric procedure. The metric variables were presented as means and medians, while the spreads were stated as standard deviations and interquartile ranges.\nNormal distribution tests were used to check the distribution form of constant numbers of a sample. A significant deviation from the normal distribution exists at P<0.05. In such cases, nonparametric tests must be used for the variables concerned. The normal distribution tests in this study were performed using the Kolmogorov–Smirnov test. Comparison of two independent, normally distributed samples was done using the t-test. Comparison of two independent, non-normally distributed samples was done using the Mann–Whitney U-test.\nThe graphics were also produced using SPSS. Box-and-whisker plots were drawn to present the medians and quartiles. The median and 25th–75th quartiles are entered in the box, while the whiskers correspond to the smallest and largest value as long as these are neither extreme values nor outliers. Outliers are defined as values lying 1.5–3 box lengths outside the box and are shown as circles in the diagrams; extreme values, which measure more than 3 box lengths outside the box, are entered as crosses.\n Findings A total of 104 patients were studied; the average age of all fibromyalgia patients was 56.05 years (Table 2). A total of 272 hyperthermia treatments were performed in the hyper-thermia group (HG). During their stay in hospital, the HG received on average 4.86 hyperthermia sessions (hs) (0–2 hs, N=0; 3–4 hs, N=10; 5–6 hs, N=46) in the mildly warm temperature range between 37.5°C and 38.5°C.\nAll patients showed a polysymptomatic progression with lasting, persistent pain in muscles and joints, and with rare intervals with reduced symptoms. The overwhelming majority of the patients were subject to private and/or professional stressors with health-related anxieties. The disease activity was elevated significantly and all subjects suffered from considerable morning stiffness.\nThe great majority of the patients were in Stage 3 of the Mainz Pain Staging System according to Gerbershagen.\nAs part of the study, an analysis of secondary diagnoses was performed involving the comparison of several hundred secondary diagnoses. The basis of the analysis was allocation of the diagnoses in accordance with the International Statistical Classification of Diseases and Related Health Problems and the Major Diagnostic Category. Comparison of the secondary diagnoses revealed only a significant difference of Diagnostic Category “Circulatory system” in control group (CG) vs HG (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.049). This had no influence on results because this was no exclusion criterion for HG. There was no significant difference between the age of the two groups (t-test, P=0.350). The members of both groups were predominantly female (48 women in CG; 56 women in HG).\nHospitalization for the HG was 16.2 days (minimum 12 days and maximum 17 days, standard deviation 1.1) and in the CG 15.7 days (minimum 10 days and maximum 19 days, standard deviation 2.2). Comparison of CG and HG showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.211).\nThe mean level of pain (admission) was 6.8 (CG) on the VAS and 8.2 (HG). The mean level of pain (discharge) was 4.8 (CG) on the VAS and 4.0 (HG).\nA total of 104 patients were studied; the average age of all fibromyalgia patients was 56.05 years (Table 2). A total of 272 hyperthermia treatments were performed in the hyper-thermia group (HG). During their stay in hospital, the HG received on average 4.86 hyperthermia sessions (hs) (0–2 hs, N=0; 3–4 hs, N=10; 5–6 hs, N=46) in the mildly warm temperature range between 37.5°C and 38.5°C.\nAll patients showed a polysymptomatic progression with lasting, persistent pain in muscles and joints, and with rare intervals with reduced symptoms. The overwhelming majority of the patients were subject to private and/or professional stressors with health-related anxieties. The disease activity was elevated significantly and all subjects suffered from considerable morning stiffness.\nThe great majority of the patients were in Stage 3 of the Mainz Pain Staging System according to Gerbershagen.\nAs part of the study, an analysis of secondary diagnoses was performed involving the comparison of several hundred secondary diagnoses. The basis of the analysis was allocation of the diagnoses in accordance with the International Statistical Classification of Diseases and Related Health Problems and the Major Diagnostic Category. Comparison of the secondary diagnoses revealed only a significant difference of Diagnostic Category “Circulatory system” in control group (CG) vs HG (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.049). This had no influence on results because this was no exclusion criterion for HG. There was no significant difference between the age of the two groups (t-test, P=0.350). The members of both groups were predominantly female (48 women in CG; 56 women in HG).\nHospitalization for the HG was 16.2 days (minimum 12 days and maximum 17 days, standard deviation 1.1) and in the CG 15.7 days (minimum 10 days and maximum 19 days, standard deviation 2.2). Comparison of CG and HG showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.211).\nThe mean level of pain (admission) was 6.8 (CG) on the VAS and 8.2 (HG). The mean level of pain (discharge) was 4.8 (CG) on the VAS and 4.0 (HG).\n Functional capacity on admission and discharge The functional capacity was measured for all the patients from both groups. All the patients in the two groups answered all the questions. On admission, no significant difference could be established between the two groups (t-test; P=0.936). The standard deviation in the CG was 20.1 (median 58.0, maximum 94.0) and in the HG it was 14.6 (median 58.0, maximum 91.0). On discharge, there was a significant difference (Mann–Whitney U-test; asymptotic significance, P=0.039) (Figure 4). The standard deviation in the HG was 19.1 (median 75.0, maximum 100.0) and in the CG it was 18.8 (median 62.0, maximum 97.0).\nThe functional capacity was measured for all the patients from both groups. All the patients in the two groups answered all the questions. On admission, no significant difference could be established between the two groups (t-test; P=0.936). The standard deviation in the CG was 20.1 (median 58.0, maximum 94.0) and in the HG it was 14.6 (median 58.0, maximum 91.0). On discharge, there was a significant difference (Mann–Whitney U-test; asymptotic significance, P=0.039) (Figure 4). The standard deviation in the HG was 19.1 (median 75.0, maximum 100.0) and in the CG it was 18.8 (median 62.0, maximum 97.0).\n Symptoms according to von Zerssen on admission and discharge All the members of both groups answered all the questions in the questionnaire. The survey of the list of symptoms according to von Zerssen revealed no significant differences between the two groups on their admission to hospital (t-test; P=0.988). The standard deviation for the HG was 9.4 (median 42.0) and for the CG 12.2 (median 41.0) on admission (Table 3). A significant difference was evident on discharge (t-test; P=0.024). The standard deviation for the CG was 14.6 (median 37.5) and for the HG it was 12.0 (median 29.0) (Figure 5 and Table 4).\nAll the members of both groups answered all the questions in the questionnaire. The survey of the list of symptoms according to von Zerssen revealed no significant differences between the two groups on their admission to hospital (t-test; P=0.988). The standard deviation for the HG was 9.4 (median 42.0) and for the CG 12.2 (median 41.0) on admission (Table 3). A significant difference was evident on discharge (t-test; P=0.024). The standard deviation for the CG was 14.6 (median 37.5) and for the HG it was 12.0 (median 29.0) (Figure 5 and Table 4).\n Analysis of the therapy density of the therapy areas for both groups Physical therapy (hydrotherapy) Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0).\nComparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0).\n Physical therapy (thermotherapy) The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5).\nThe difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5).\n Physiotherapy Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5).\nComparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5).\n Phytotherapy The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506).\nThe mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506).\n Psychotherapy/mind body medicine Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0).\nComparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0).\n Movement therapy The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001).\nThe mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001).\n Detoxifying process There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0).\nThere was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0).\n Neural therapy/infiltration/acupuncture Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0).\nRegarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0).\n Homeopathy No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5).\nNo significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5).\n Diet advice The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0).\nThe outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0).\n Physical therapy (hydrotherapy) Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0).\nComparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0).\n Physical therapy (thermotherapy) The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5).\nThe difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5).\n Physiotherapy Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5).\nComparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5).\n Phytotherapy The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506).\nThe mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506).\n Psychotherapy/mind body medicine Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0).\nComparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0).\n Movement therapy The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001).\nThe mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001).\n Detoxifying process There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0).\nThere was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0).\n Neural therapy/infiltration/acupuncture Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0).\nRegarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0).\n Homeopathy No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5).\nNo significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5).\n Diet advice The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0).\nThe outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0).", "The study design was a convenience sample and a prospective cohort study. The authors chose an understudied area and reported a cohort study to highlight the additive effects of hyperthermia therapy as part of an in-hospital, multimodality program for the symptom management of FMS. The data in the study were collected according to the hypothesis formation, specifically for testing the hypothesis. Before starting the analysis, groups of patient were formed who were as similar as possible regarding relevant factors; the classification of the individuals was made according to the International Classification of Diseases.\nAll individuals approached by the investigator agreed to participate with a declaration of consent. Clinical patient number and all social data were deleted after the survey. Study participants always retained the right to withdraw at any time, for any reason. The study complies with the targets of the local ethical review committee and the targets of the privacy policy. The inclusion criterion for hospitalized individuals to participate in the study was a primary rheumatologic diagnosis of FMS by a specialist.\nExclusion criteria for study were severe epilepsy, chronic infections, acute infections, and claustrophobia.\nThe participants fulfilled the criteria of the American College of Rheumatology for the FMS diagnosis and showed severe disease progression as demonstrated by the disease activity, symptoms, and functional capacity. All patients had comorbid disease, over 700 diagnoses in total, which will not be presented due to their complexity and scope. It was clearly evident that all the participants availed themselves of a wide variety of outpatient treatments (specialists, therapists, before hospitalization) on account of their FMS. For the measurement of chronic pain, the Mainz staging (Gerbershagen) was used.54,55 It was possible to blind outcome assessment by having this done by an independent person unaware of who received what. The investigators began enrolling subjects and collecting baseline exposure information; none of the subjects have developed any of the outcomes of interest.\nDuring the entirety of their stay, all participants received interdisciplinary treatment from anesthesia specialist and internal medicine, rheumatology, and general medicine specialists. An integrative therapeutic approach in an acute setting is characterized by a high therapy density.56,57 If the application of hyperthermia is contraindicated, this is compensated by the use of other therapeutic procedures in order to ensure close-meshed, high-frequency therapy.\nNursing supervision was maintained. Process coordinators were in the middle of the workflow, deciding what information to share and when. The process coordinator was informed to collect all relevant parameters (disease activity, physical symptoms, functional capacity).\nComplementary and alternative therapies were performed by a naturopathy specialist with the additional qualification, Naturheilverfahren (naturopathic methods), and with at least 3 years of experience in the field of “classical naturopathy”. In addition to specialist doctors, the team included specially trained nursing staff with at least 6 months of naturopathy experience.\nThe treatments applied were evidence based and best practice methods from hydro-/thermotherapy, physical therapy, phytotherapy, psychotherapy, lifestyle regulative therapy, and movement therapy. In addition, neural therapy, acupuncture, infiltrations, homeopathy, and dietary consultations were performed according to indication (Table 1).58–70 There was a standardized time of exposure to each therapy written into the protocol.\nEvery week, at least two extensive discussions were held with the patients, which focused especially on lifestyle regulative therapy.71,72\nThe medication therapy for both groups was oriented on the requirements of the German S3 Guidelines.73 Due to the psychological comorbidities, patients were additionally treated with tricyclic antidepressants.\nThe therapy progression and the therapy targets were evaluated in weekly, interdisciplinary team meetings and deviations were documented.74", "In this study, the hyperthermia method used was whole-body hyperthermia with IR radiation (method according to Dr Heckel).75 This contains a high fraction of wavelengths near the visible region (ie, short-wave IR, IR-A) and is emitted together with light. The total reflection scattering of the primary radiation produces an even surface irradiation tolerated by the skin. Fractions of this radiation penetrate through the outermost layers of skin and are absorbed in a depth of tissue at which the blood carries the released heat and distributes it throughout the body.\nHeat losses are reduced by the individual lying in an insulated cubicle during the irradiation. A window opening in the roof of the cubicle allows air exchange. Pulse rate and temperature were monitored continuously by therapeutic stuff. If required, pulse or electrocardiogram monitoring, oxygen administration, or an intravenous infusion could be implemented during treatment.\nThe hyperthermia treatment must not be used in the case of existing or threatening thrombosis, Marcumar medication (medication that may influence blood coagulation), or peripheral arterial occlusive disease. Figure 2 gives a summary overview of the indications and contraindications of systemic whole-body hyperthermia.\nA comprehensive, therapy-related, patient-related, survey was performed which recorded all the therapy methods used in both groups during the period of hospitalization and presents the intensity of the service provided by integrative multimodal therapy.", "The parameters (Mainz Pain Staging System, disease activity, physical symptoms, functional capacity) were conducted by a coordinator, who coordinates clinical activities and shares information with everyone in the workflow. These parameters were controlled by physicians, therapists, and nurses.\nFor the measurement of chronic pain, the Mainz staging (Gerbershagen) was used. The Mainz Pain Staging System is an instrument for the classification of chronic pain in three stages 1, 2, and 3 (ranging from acute =1 to chronic pain =3).76 It is based on a questionnaire taking into account dimensions of pain patterns of occurrence, duration, change of intensity, medication usage, and the lifetime utilization of the health care system.77\nTo measure the intensity of pain, the visual analog scale (VAS) was used. The VAS is a psychometric response scale to measure the intensity or frequency of various symptoms.78 Respondents mark the location on the 10 cm line corresponding to the amount of pain they experienced (0= no pain, 10= worst pain ever). VAS has been widely used in diverse adult populations, including those with rheumatic diseases.79", "The patients’ physical symptoms were recorded in the study using this instrument. The procedure is used both in somatic medicine and in clinical psychology and psychiatry.80,81 Information can be gathered for all patients with chronified physical and mental diseases or disturbances. The use of the list of symptoms is suitable both for an individual and for a group setting. The patients answer questions (Figure 3).\nThe items included general symptoms (eg, feeling of weakness, fatigue), localizable physical symptoms (eg, pain in the joints and limbs), and mental states (eg, inner restlessness, brooding). The degree of severity of the symptoms surveyed is classified according to a four-level Likert scale (strong–moderate–hardly–not at all).\nThe individual complaints can be evaluated on a scale with the response categories “not at all” (0 point), “hardly” (1 point), “moderate” (2 points), and “strong” (3 points). The addition of the score results in a sum value divided into three groups (“unremarkable”, “borderline”, and “conspicuous”).\nThe internal consistency (Cronbach’s alpha) is α=0.94. The split half reliability is very highly pronounced at r =0.93. Criteria-related validity is 0.62.", "The functional capacity of all subjects was recorded using the Hannover Function Questionnaire (Funktionsfragebogen Hannover) (FFbH).82 This tool is a patient self-evaluation instrument for everyday recording of functional limitations resulting from diseases of the locomotor organs. Validity and reliability in repeated measurements are greater than 0.75. The FFbH can be used in a variety of rheumatic diseases and together with other assessment instruments.83 The FFbH is sensitive to change, and appears to be of practical usefulness in clinical and epidemiological studies. The defined pool of items strives, on the one hand, to ensure the “everyday relevance” of the movement progressions recorded and the best possible representation of different areas of life and, on the other, to take account of rheumatological aspects. A total of 18 questions are provided for recording functional limitations of the activities of daily life. The grade of the remaining functional capacity is expressed as a percentage of the maximum number of points achieved. A score of 0% indicates maximum limitation and 100% stands for an unlimited capability to perform the activities required in daily life. If more than two questions are not answered, the FFbH should not be evaluated. FFbH scores of 100% to approximately 80% correspond to a “normal” functional capacity; scores <70% are an indication of limited functional capacity.", "Statistical analyses were performed using SPSS for Windows, Version 20.0 (SPSS Inc, Chicago, IL, USA). For the comparison of two independent, normally distributed samples, the t-test was applied. Before that, the homogeneity of the variances was tested by means of the Levene test. When homogeneity of the variances was proven, Student’s t-test was carried out and when non-homogeneity of variances was tested, the Welch test was used. However, for non-normally distributed samples the Mann–Whitney U-test was applied as a nonparametric procedure. The metric variables were presented as means and medians, while the spreads were stated as standard deviations and interquartile ranges.\nNormal distribution tests were used to check the distribution form of constant numbers of a sample. A significant deviation from the normal distribution exists at P<0.05. In such cases, nonparametric tests must be used for the variables concerned. The normal distribution tests in this study were performed using the Kolmogorov–Smirnov test. Comparison of two independent, normally distributed samples was done using the t-test. Comparison of two independent, non-normally distributed samples was done using the Mann–Whitney U-test.\nThe graphics were also produced using SPSS. Box-and-whisker plots were drawn to present the medians and quartiles. The median and 25th–75th quartiles are entered in the box, while the whiskers correspond to the smallest and largest value as long as these are neither extreme values nor outliers. Outliers are defined as values lying 1.5–3 box lengths outside the box and are shown as circles in the diagrams; extreme values, which measure more than 3 box lengths outside the box, are entered as crosses.", "A total of 104 patients were studied; the average age of all fibromyalgia patients was 56.05 years (Table 2). A total of 272 hyperthermia treatments were performed in the hyper-thermia group (HG). During their stay in hospital, the HG received on average 4.86 hyperthermia sessions (hs) (0–2 hs, N=0; 3–4 hs, N=10; 5–6 hs, N=46) in the mildly warm temperature range between 37.5°C and 38.5°C.\nAll patients showed a polysymptomatic progression with lasting, persistent pain in muscles and joints, and with rare intervals with reduced symptoms. The overwhelming majority of the patients were subject to private and/or professional stressors with health-related anxieties. The disease activity was elevated significantly and all subjects suffered from considerable morning stiffness.\nThe great majority of the patients were in Stage 3 of the Mainz Pain Staging System according to Gerbershagen.\nAs part of the study, an analysis of secondary diagnoses was performed involving the comparison of several hundred secondary diagnoses. The basis of the analysis was allocation of the diagnoses in accordance with the International Statistical Classification of Diseases and Related Health Problems and the Major Diagnostic Category. Comparison of the secondary diagnoses revealed only a significant difference of Diagnostic Category “Circulatory system” in control group (CG) vs HG (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.049). This had no influence on results because this was no exclusion criterion for HG. There was no significant difference between the age of the two groups (t-test, P=0.350). The members of both groups were predominantly female (48 women in CG; 56 women in HG).\nHospitalization for the HG was 16.2 days (minimum 12 days and maximum 17 days, standard deviation 1.1) and in the CG 15.7 days (minimum 10 days and maximum 19 days, standard deviation 2.2). Comparison of CG and HG showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.211).\nThe mean level of pain (admission) was 6.8 (CG) on the VAS and 8.2 (HG). The mean level of pain (discharge) was 4.8 (CG) on the VAS and 4.0 (HG).", "The functional capacity was measured for all the patients from both groups. All the patients in the two groups answered all the questions. On admission, no significant difference could be established between the two groups (t-test; P=0.936). The standard deviation in the CG was 20.1 (median 58.0, maximum 94.0) and in the HG it was 14.6 (median 58.0, maximum 91.0). On discharge, there was a significant difference (Mann–Whitney U-test; asymptotic significance, P=0.039) (Figure 4). The standard deviation in the HG was 19.1 (median 75.0, maximum 100.0) and in the CG it was 18.8 (median 62.0, maximum 97.0).", "All the members of both groups answered all the questions in the questionnaire. The survey of the list of symptoms according to von Zerssen revealed no significant differences between the two groups on their admission to hospital (t-test; P=0.988). The standard deviation for the HG was 9.4 (median 42.0) and for the CG 12.2 (median 41.0) on admission (Table 3). A significant difference was evident on discharge (t-test; P=0.024). The standard deviation for the CG was 14.6 (median 37.5) and for the HG it was 12.0 (median 29.0) (Figure 5 and Table 4).", " Physical therapy (hydrotherapy) Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0).\nComparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0).\n Physical therapy (thermotherapy) The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5).\nThe difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5).\n Physiotherapy Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5).\nComparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5).\n Phytotherapy The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506).\nThe mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506).\n Psychotherapy/mind body medicine Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0).\nComparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0).\n Movement therapy The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001).\nThe mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001).\n Detoxifying process There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0).\nThere was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0).\n Neural therapy/infiltration/acupuncture Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0).\nRegarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0).\n Homeopathy No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5).\nNo significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5).\n Diet advice The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0).\nThe outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0).", "Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0).", "The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5).", "Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5).", "The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506).", "Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0).", "The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001).", "There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0).", "Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0).", "No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5).", "The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0).", "The participants were predominantly female, as also reported by other studies.84,85 The longer hospitalization time of these integratively treated patients also agrees with the findings of previous large-scale scientific studies.56\nThe mean age of the patients in this study corresponds with the analysis of ages ascertained at the German national level. Out of 6.452 inpatients in Germany whose main diagnosis was FMS, >55% of patients in 2008 were between 40 years and 59 years of age. Software: G-DRG-Browser G-DRG-Version 2011, Daten 2010 gem; §21 KHEntgG.\nFor 2011, data were available for 1,929 cases receiving inpatient treatment, of whom the majority also fell within this age range.86\nThis study shows that interdisciplinary therapeutic approaches are worthwhile in the treatment of FMS. Despite the severity of the disease with a pain-supporting mental-accompanying disease, a significant improvement in the symptoms was evident on discharge from hospital (P=0.024; Tables 3 and 4). The complex somatic and mental symptoms that were recorded with the von Zerssen score could also be alleviated by means of the complementary use of hyperthermia. The use of hyperthermia improved the outcome still further. The superior outcome for the HG was manifested in a significant improvement in the patient’s functional capacity. A greater therapeutic density of both physiotherapeutic interventions and methods of movement therapy in the CG proved unable to equal the added benefit of hyperthermia. Whole-body hyperthermia is a part of a multidisciplinary approach.48,53 Previous studies with hyperthermia were performed in a rehabilitative setting.52,53,87,88 Hyperthermia has been carried out for several weeks. A sustained pain reduction was observed in a 6-month follow-up after intervention ended in patients with FMS.52 There were no specifications for other therapy methods, and their density and the form of progression were not described accurately.\nAcute care is a care setting where an individual is treated for a brief but severe episode of illness. Acute programs in Germany have increased numbers of sessions and a larger care team. Acute care settings have full-time physicians and hospital staff who are available 24 hours a day. The aim of acute inpatient treatment is to improve the patients’ condition sufficiently that they are once again capable of rehabilitation.89 Continual acute diagnosis (in the case of an emergency situation or diagnosis aggravation) and therapy, and continual medical and nursing care are guaranteed during the entire period of hospitalization. Proven applications are summarized in Figure 6.\nIn future studies for the evaluation of the therapy of FMS, economic parameters must also be analyzed in order to perform diagnosis-related group (system to classify hospital cases into groups) cost calculations (in addition to clinical effects), especially regarding the costs associated with claims for outpatient and inpatient therapy for FMS. In doing so, the question should be addressed as to whether the use of innovative, integrative therapeutic methods can generate the potential for long-term savings.\nIn addition, observational studies are needed of mildly warm whole-body hyperthermia treatment of further diseases and disturbances of the musculoskeletal system and connective tissues in acute inpatient therapy of pain and rheumatic diseases with the inclusion of complementary medical procedures. The development of further improved therapies for treating FMS, as well as analysis of delivery methods of each modality and how they potentially influence one another and also the recidivism in different hospital settings, is necessary." ]
[ null, null, "methods", "methods", null, null, null, null, "methods", "results", null, null, "methods", null, null, null, null, null, null, null, null, null, null, null ]
[ "fibromyalgia", "hyperthermia", "pain", "multidisciplinary approach" ]
Background: Fibromyalgia syndrome (FMS) is a multi-factorial disease involving physiological as well as psychological factors. It is characterized by widespread pain and muscle tenderness accompanied by other comorbid symptoms.1,2 Those affected report chronic pain, which persists for at least 3 months in several regions of the body. The affected areas include the neck or upper or middle back, the small of the back, ribcage or abdomen, and at least one site of pain in both arms and both legs. Patients can also have difficulty in falling asleep and sleeping through the night; in the morning, they feel that they have had too little sleep, and in many cases, feel mentally and physically exhausted. Numerous studies describe depression, anxiety, and panic disorders as comorbidities of FMS.3–5 Many sufferers report additional symptoms affecting the stomach, intestines, cardiovascular system, nervous system, or urinary passages.6,7 The pathophysiology of FMS is still unknown. It is assumed that the levels of biogenic amines such as 5-hydroxytryptamine (5-HT) and norepinephrine are reduced in persons with FMS. A dysfunction of the 5-HT system may lead to panic disorders and depression.8,9 Predictors of FMS are obesity, missing physical activity, high workload,10,11 increased physical discomfort, and permanent local pain for more than 6 years.12 Prevalence of FMS is estimated to be 5%–6% of women in the USA and Europe.13,14 Individuals with FMS report frequent health care use15 concomitantly with lost productivity through higher absenteeism and unemployment.16 FMS places a significant economic burden on patients and health care systems.17,18 The complexity of the FMS, its chronic progression, and the heavy burden of suffering present health care providers with an extensive set of problems. There is no universally acceptable treatment for this condition.19 FMS leads to substantial limitations in physical functioning and activities of daily living. A higher absenteeism, unemployment, and disability lead to significant costs. Multidisciplinary approaches are recommended for the treatment of fibromyalgia. These should include both psychotherapeutic methods (patient education and/or cognitive behavioral therapy) and exercise and activating therapeutic procedures.20,21 These complementary methods do not exert their effects individually, but exert synergistic effects. Decisions to use a multidisciplinary approach to therapy should be determined based on a structured health care assessment of the individual.22 Multidisciplinary approaches may include hydrotherapeutic and thermotherapeutic methods, hydrogalvanic baths (medical treatment [a type of electrotherapy] based on the simultaneous use of water and electric current), and acupuncture. Hydrotherapeutic methods are used by many individuals with FMS.23 These methods include balneotherapeutic methods of hydrotherapy (part of naturopathy and physiotherapy, that involves the use of water for pain relief and treatment), such as herbal baths, mud baths, steam baths, and hot water whirlpool baths to soothe muscles and stimulate circulation. Hydrotherapy can contribute in particular to reduce pain safely24–26 and offers beneficial treatment with no hidden side effects.26 Hot baths27,28 are favored by many individuals with FMS and can be a therapy option to reduce high pain intensity.29 Acupuncture may be integrated into a multimodal therapy as an adjunctive treatment30 and may help to reduce FMS symptoms31,32 and to increase the quality of life.33 Conversations between health care providers during hospitalization should be client centered to improve and solidify the client–provider relationship.34 The therapist is able to understand what the individuals are feeling and provide care that is more specific to their needs and therefore provide better care. Individuals are more likely to engage in treatment decisions, feel supported to make behavioral changes, and so feel empowered to self-manage. Psychotherapy should include established methods of coping with pain and deflecting attention,35 other problem-solving strategies,36 and cognitive behavioral therapy.37 Cognitive behavioral therapy is effective at helping you learn to manage your illness more effectively and it is based on the gate-control theory of pain and operant behavioral conditioning.38 Physical therapies are found to be especially effective in the treatment of FMS39 and also reflexology (physical act of applying pressure to the feet, hands, or ears with specific thumb, finger, and hand techniques).40 Therefore, these therapies are integral components of the physiotherapy used in performing the study. Hyperthermia: Different methods of hyperthermia exist.41 The mechanism of action of heat therapy in a wide range of different diseases is also the subject of numerous studies42–45 but the mechanisms are currently not completely understood and are in need of further scientific investigation (Figure 1). Infrared (IR)-A radiation may cause an immediate cellular effect, increasing nuclear DNA and RNA synthesis and ferritin levels.46,47 Hyperthermia is usually incorporated with other complementary therapies.48 Several studies also have demonstrated that IR-A radiation accelerates healing of both chronic and postoperative wounds and reduces postoperative pain medication use.49,50 The use of hyperthermia has recently been studied, but is in its early stages.51 Pain in individuals with FMS was reduced for several months after discharge from the hospital.52,53 Methods: Design The study design was a convenience sample and a prospective cohort study. The authors chose an understudied area and reported a cohort study to highlight the additive effects of hyperthermia therapy as part of an in-hospital, multimodality program for the symptom management of FMS. The data in the study were collected according to the hypothesis formation, specifically for testing the hypothesis. Before starting the analysis, groups of patient were formed who were as similar as possible regarding relevant factors; the classification of the individuals was made according to the International Classification of Diseases. All individuals approached by the investigator agreed to participate with a declaration of consent. Clinical patient number and all social data were deleted after the survey. Study participants always retained the right to withdraw at any time, for any reason. The study complies with the targets of the local ethical review committee and the targets of the privacy policy. The inclusion criterion for hospitalized individuals to participate in the study was a primary rheumatologic diagnosis of FMS by a specialist. Exclusion criteria for study were severe epilepsy, chronic infections, acute infections, and claustrophobia. The participants fulfilled the criteria of the American College of Rheumatology for the FMS diagnosis and showed severe disease progression as demonstrated by the disease activity, symptoms, and functional capacity. All patients had comorbid disease, over 700 diagnoses in total, which will not be presented due to their complexity and scope. It was clearly evident that all the participants availed themselves of a wide variety of outpatient treatments (specialists, therapists, before hospitalization) on account of their FMS. For the measurement of chronic pain, the Mainz staging (Gerbershagen) was used.54,55 It was possible to blind outcome assessment by having this done by an independent person unaware of who received what. The investigators began enrolling subjects and collecting baseline exposure information; none of the subjects have developed any of the outcomes of interest. During the entirety of their stay, all participants received interdisciplinary treatment from anesthesia specialist and internal medicine, rheumatology, and general medicine specialists. An integrative therapeutic approach in an acute setting is characterized by a high therapy density.56,57 If the application of hyperthermia is contraindicated, this is compensated by the use of other therapeutic procedures in order to ensure close-meshed, high-frequency therapy. Nursing supervision was maintained. Process coordinators were in the middle of the workflow, deciding what information to share and when. The process coordinator was informed to collect all relevant parameters (disease activity, physical symptoms, functional capacity). Complementary and alternative therapies were performed by a naturopathy specialist with the additional qualification, Naturheilverfahren (naturopathic methods), and with at least 3 years of experience in the field of “classical naturopathy”. In addition to specialist doctors, the team included specially trained nursing staff with at least 6 months of naturopathy experience. The treatments applied were evidence based and best practice methods from hydro-/thermotherapy, physical therapy, phytotherapy, psychotherapy, lifestyle regulative therapy, and movement therapy. In addition, neural therapy, acupuncture, infiltrations, homeopathy, and dietary consultations were performed according to indication (Table 1).58–70 There was a standardized time of exposure to each therapy written into the protocol. Every week, at least two extensive discussions were held with the patients, which focused especially on lifestyle regulative therapy.71,72 The medication therapy for both groups was oriented on the requirements of the German S3 Guidelines.73 Due to the psychological comorbidities, patients were additionally treated with tricyclic antidepressants. The therapy progression and the therapy targets were evaluated in weekly, interdisciplinary team meetings and deviations were documented.74 The study design was a convenience sample and a prospective cohort study. The authors chose an understudied area and reported a cohort study to highlight the additive effects of hyperthermia therapy as part of an in-hospital, multimodality program for the symptom management of FMS. The data in the study were collected according to the hypothesis formation, specifically for testing the hypothesis. Before starting the analysis, groups of patient were formed who were as similar as possible regarding relevant factors; the classification of the individuals was made according to the International Classification of Diseases. All individuals approached by the investigator agreed to participate with a declaration of consent. Clinical patient number and all social data were deleted after the survey. Study participants always retained the right to withdraw at any time, for any reason. The study complies with the targets of the local ethical review committee and the targets of the privacy policy. The inclusion criterion for hospitalized individuals to participate in the study was a primary rheumatologic diagnosis of FMS by a specialist. Exclusion criteria for study were severe epilepsy, chronic infections, acute infections, and claustrophobia. The participants fulfilled the criteria of the American College of Rheumatology for the FMS diagnosis and showed severe disease progression as demonstrated by the disease activity, symptoms, and functional capacity. All patients had comorbid disease, over 700 diagnoses in total, which will not be presented due to their complexity and scope. It was clearly evident that all the participants availed themselves of a wide variety of outpatient treatments (specialists, therapists, before hospitalization) on account of their FMS. For the measurement of chronic pain, the Mainz staging (Gerbershagen) was used.54,55 It was possible to blind outcome assessment by having this done by an independent person unaware of who received what. The investigators began enrolling subjects and collecting baseline exposure information; none of the subjects have developed any of the outcomes of interest. During the entirety of their stay, all participants received interdisciplinary treatment from anesthesia specialist and internal medicine, rheumatology, and general medicine specialists. An integrative therapeutic approach in an acute setting is characterized by a high therapy density.56,57 If the application of hyperthermia is contraindicated, this is compensated by the use of other therapeutic procedures in order to ensure close-meshed, high-frequency therapy. Nursing supervision was maintained. Process coordinators were in the middle of the workflow, deciding what information to share and when. The process coordinator was informed to collect all relevant parameters (disease activity, physical symptoms, functional capacity). Complementary and alternative therapies were performed by a naturopathy specialist with the additional qualification, Naturheilverfahren (naturopathic methods), and with at least 3 years of experience in the field of “classical naturopathy”. In addition to specialist doctors, the team included specially trained nursing staff with at least 6 months of naturopathy experience. The treatments applied were evidence based and best practice methods from hydro-/thermotherapy, physical therapy, phytotherapy, psychotherapy, lifestyle regulative therapy, and movement therapy. In addition, neural therapy, acupuncture, infiltrations, homeopathy, and dietary consultations were performed according to indication (Table 1).58–70 There was a standardized time of exposure to each therapy written into the protocol. Every week, at least two extensive discussions were held with the patients, which focused especially on lifestyle regulative therapy.71,72 The medication therapy for both groups was oriented on the requirements of the German S3 Guidelines.73 Due to the psychological comorbidities, patients were additionally treated with tricyclic antidepressants. The therapy progression and the therapy targets were evaluated in weekly, interdisciplinary team meetings and deviations were documented.74 Hyperthermia therapy In this study, the hyperthermia method used was whole-body hyperthermia with IR radiation (method according to Dr Heckel).75 This contains a high fraction of wavelengths near the visible region (ie, short-wave IR, IR-A) and is emitted together with light. The total reflection scattering of the primary radiation produces an even surface irradiation tolerated by the skin. Fractions of this radiation penetrate through the outermost layers of skin and are absorbed in a depth of tissue at which the blood carries the released heat and distributes it throughout the body. Heat losses are reduced by the individual lying in an insulated cubicle during the irradiation. A window opening in the roof of the cubicle allows air exchange. Pulse rate and temperature were monitored continuously by therapeutic stuff. If required, pulse or electrocardiogram monitoring, oxygen administration, or an intravenous infusion could be implemented during treatment. The hyperthermia treatment must not be used in the case of existing or threatening thrombosis, Marcumar medication (medication that may influence blood coagulation), or peripheral arterial occlusive disease. Figure 2 gives a summary overview of the indications and contraindications of systemic whole-body hyperthermia. A comprehensive, therapy-related, patient-related, survey was performed which recorded all the therapy methods used in both groups during the period of hospitalization and presents the intensity of the service provided by integrative multimodal therapy. In this study, the hyperthermia method used was whole-body hyperthermia with IR radiation (method according to Dr Heckel).75 This contains a high fraction of wavelengths near the visible region (ie, short-wave IR, IR-A) and is emitted together with light. The total reflection scattering of the primary radiation produces an even surface irradiation tolerated by the skin. Fractions of this radiation penetrate through the outermost layers of skin and are absorbed in a depth of tissue at which the blood carries the released heat and distributes it throughout the body. Heat losses are reduced by the individual lying in an insulated cubicle during the irradiation. A window opening in the roof of the cubicle allows air exchange. Pulse rate and temperature were monitored continuously by therapeutic stuff. If required, pulse or electrocardiogram monitoring, oxygen administration, or an intravenous infusion could be implemented during treatment. The hyperthermia treatment must not be used in the case of existing or threatening thrombosis, Marcumar medication (medication that may influence blood coagulation), or peripheral arterial occlusive disease. Figure 2 gives a summary overview of the indications and contraindications of systemic whole-body hyperthermia. A comprehensive, therapy-related, patient-related, survey was performed which recorded all the therapy methods used in both groups during the period of hospitalization and presents the intensity of the service provided by integrative multimodal therapy. Outcome parameters The parameters (Mainz Pain Staging System, disease activity, physical symptoms, functional capacity) were conducted by a coordinator, who coordinates clinical activities and shares information with everyone in the workflow. These parameters were controlled by physicians, therapists, and nurses. For the measurement of chronic pain, the Mainz staging (Gerbershagen) was used. The Mainz Pain Staging System is an instrument for the classification of chronic pain in three stages 1, 2, and 3 (ranging from acute =1 to chronic pain =3).76 It is based on a questionnaire taking into account dimensions of pain patterns of occurrence, duration, change of intensity, medication usage, and the lifetime utilization of the health care system.77 To measure the intensity of pain, the visual analog scale (VAS) was used. The VAS is a psychometric response scale to measure the intensity or frequency of various symptoms.78 Respondents mark the location on the 10 cm line corresponding to the amount of pain they experienced (0= no pain, 10= worst pain ever). VAS has been widely used in diverse adult populations, including those with rheumatic diseases.79 The parameters (Mainz Pain Staging System, disease activity, physical symptoms, functional capacity) were conducted by a coordinator, who coordinates clinical activities and shares information with everyone in the workflow. These parameters were controlled by physicians, therapists, and nurses. For the measurement of chronic pain, the Mainz staging (Gerbershagen) was used. The Mainz Pain Staging System is an instrument for the classification of chronic pain in three stages 1, 2, and 3 (ranging from acute =1 to chronic pain =3).76 It is based on a questionnaire taking into account dimensions of pain patterns of occurrence, duration, change of intensity, medication usage, and the lifetime utilization of the health care system.77 To measure the intensity of pain, the visual analog scale (VAS) was used. The VAS is a psychometric response scale to measure the intensity or frequency of various symptoms.78 Respondents mark the location on the 10 cm line corresponding to the amount of pain they experienced (0= no pain, 10= worst pain ever). VAS has been widely used in diverse adult populations, including those with rheumatic diseases.79 List of symptoms according to von Zerssen The patients’ physical symptoms were recorded in the study using this instrument. The procedure is used both in somatic medicine and in clinical psychology and psychiatry.80,81 Information can be gathered for all patients with chronified physical and mental diseases or disturbances. The use of the list of symptoms is suitable both for an individual and for a group setting. The patients answer questions (Figure 3). The items included general symptoms (eg, feeling of weakness, fatigue), localizable physical symptoms (eg, pain in the joints and limbs), and mental states (eg, inner restlessness, brooding). The degree of severity of the symptoms surveyed is classified according to a four-level Likert scale (strong–moderate–hardly–not at all). The individual complaints can be evaluated on a scale with the response categories “not at all” (0 point), “hardly” (1 point), “moderate” (2 points), and “strong” (3 points). The addition of the score results in a sum value divided into three groups (“unremarkable”, “borderline”, and “conspicuous”). The internal consistency (Cronbach’s alpha) is α=0.94. The split half reliability is very highly pronounced at r =0.93. Criteria-related validity is 0.62. The patients’ physical symptoms were recorded in the study using this instrument. The procedure is used both in somatic medicine and in clinical psychology and psychiatry.80,81 Information can be gathered for all patients with chronified physical and mental diseases or disturbances. The use of the list of symptoms is suitable both for an individual and for a group setting. The patients answer questions (Figure 3). The items included general symptoms (eg, feeling of weakness, fatigue), localizable physical symptoms (eg, pain in the joints and limbs), and mental states (eg, inner restlessness, brooding). The degree of severity of the symptoms surveyed is classified according to a four-level Likert scale (strong–moderate–hardly–not at all). The individual complaints can be evaluated on a scale with the response categories “not at all” (0 point), “hardly” (1 point), “moderate” (2 points), and “strong” (3 points). The addition of the score results in a sum value divided into three groups (“unremarkable”, “borderline”, and “conspicuous”). The internal consistency (Cronbach’s alpha) is α=0.94. The split half reliability is very highly pronounced at r =0.93. Criteria-related validity is 0.62. Functional capacity The functional capacity of all subjects was recorded using the Hannover Function Questionnaire (Funktionsfragebogen Hannover) (FFbH).82 This tool is a patient self-evaluation instrument for everyday recording of functional limitations resulting from diseases of the locomotor organs. Validity and reliability in repeated measurements are greater than 0.75. The FFbH can be used in a variety of rheumatic diseases and together with other assessment instruments.83 The FFbH is sensitive to change, and appears to be of practical usefulness in clinical and epidemiological studies. The defined pool of items strives, on the one hand, to ensure the “everyday relevance” of the movement progressions recorded and the best possible representation of different areas of life and, on the other, to take account of rheumatological aspects. A total of 18 questions are provided for recording functional limitations of the activities of daily life. The grade of the remaining functional capacity is expressed as a percentage of the maximum number of points achieved. A score of 0% indicates maximum limitation and 100% stands for an unlimited capability to perform the activities required in daily life. If more than two questions are not answered, the FFbH should not be evaluated. FFbH scores of 100% to approximately 80% correspond to a “normal” functional capacity; scores <70% are an indication of limited functional capacity. The functional capacity of all subjects was recorded using the Hannover Function Questionnaire (Funktionsfragebogen Hannover) (FFbH).82 This tool is a patient self-evaluation instrument for everyday recording of functional limitations resulting from diseases of the locomotor organs. Validity and reliability in repeated measurements are greater than 0.75. The FFbH can be used in a variety of rheumatic diseases and together with other assessment instruments.83 The FFbH is sensitive to change, and appears to be of practical usefulness in clinical and epidemiological studies. The defined pool of items strives, on the one hand, to ensure the “everyday relevance” of the movement progressions recorded and the best possible representation of different areas of life and, on the other, to take account of rheumatological aspects. A total of 18 questions are provided for recording functional limitations of the activities of daily life. The grade of the remaining functional capacity is expressed as a percentage of the maximum number of points achieved. A score of 0% indicates maximum limitation and 100% stands for an unlimited capability to perform the activities required in daily life. If more than two questions are not answered, the FFbH should not be evaluated. FFbH scores of 100% to approximately 80% correspond to a “normal” functional capacity; scores <70% are an indication of limited functional capacity. Statistical analysis Statistical analyses were performed using SPSS for Windows, Version 20.0 (SPSS Inc, Chicago, IL, USA). For the comparison of two independent, normally distributed samples, the t-test was applied. Before that, the homogeneity of the variances was tested by means of the Levene test. When homogeneity of the variances was proven, Student’s t-test was carried out and when non-homogeneity of variances was tested, the Welch test was used. However, for non-normally distributed samples the Mann–Whitney U-test was applied as a nonparametric procedure. The metric variables were presented as means and medians, while the spreads were stated as standard deviations and interquartile ranges. Normal distribution tests were used to check the distribution form of constant numbers of a sample. A significant deviation from the normal distribution exists at P<0.05. In such cases, nonparametric tests must be used for the variables concerned. The normal distribution tests in this study were performed using the Kolmogorov–Smirnov test. Comparison of two independent, normally distributed samples was done using the t-test. Comparison of two independent, non-normally distributed samples was done using the Mann–Whitney U-test. The graphics were also produced using SPSS. Box-and-whisker plots were drawn to present the medians and quartiles. The median and 25th–75th quartiles are entered in the box, while the whiskers correspond to the smallest and largest value as long as these are neither extreme values nor outliers. Outliers are defined as values lying 1.5–3 box lengths outside the box and are shown as circles in the diagrams; extreme values, which measure more than 3 box lengths outside the box, are entered as crosses. Statistical analyses were performed using SPSS for Windows, Version 20.0 (SPSS Inc, Chicago, IL, USA). For the comparison of two independent, normally distributed samples, the t-test was applied. Before that, the homogeneity of the variances was tested by means of the Levene test. When homogeneity of the variances was proven, Student’s t-test was carried out and when non-homogeneity of variances was tested, the Welch test was used. However, for non-normally distributed samples the Mann–Whitney U-test was applied as a nonparametric procedure. The metric variables were presented as means and medians, while the spreads were stated as standard deviations and interquartile ranges. Normal distribution tests were used to check the distribution form of constant numbers of a sample. A significant deviation from the normal distribution exists at P<0.05. In such cases, nonparametric tests must be used for the variables concerned. The normal distribution tests in this study were performed using the Kolmogorov–Smirnov test. Comparison of two independent, normally distributed samples was done using the t-test. Comparison of two independent, non-normally distributed samples was done using the Mann–Whitney U-test. The graphics were also produced using SPSS. Box-and-whisker plots were drawn to present the medians and quartiles. The median and 25th–75th quartiles are entered in the box, while the whiskers correspond to the smallest and largest value as long as these are neither extreme values nor outliers. Outliers are defined as values lying 1.5–3 box lengths outside the box and are shown as circles in the diagrams; extreme values, which measure more than 3 box lengths outside the box, are entered as crosses. Findings A total of 104 patients were studied; the average age of all fibromyalgia patients was 56.05 years (Table 2). A total of 272 hyperthermia treatments were performed in the hyper-thermia group (HG). During their stay in hospital, the HG received on average 4.86 hyperthermia sessions (hs) (0–2 hs, N=0; 3–4 hs, N=10; 5–6 hs, N=46) in the mildly warm temperature range between 37.5°C and 38.5°C. All patients showed a polysymptomatic progression with lasting, persistent pain in muscles and joints, and with rare intervals with reduced symptoms. The overwhelming majority of the patients were subject to private and/or professional stressors with health-related anxieties. The disease activity was elevated significantly and all subjects suffered from considerable morning stiffness. The great majority of the patients were in Stage 3 of the Mainz Pain Staging System according to Gerbershagen. As part of the study, an analysis of secondary diagnoses was performed involving the comparison of several hundred secondary diagnoses. The basis of the analysis was allocation of the diagnoses in accordance with the International Statistical Classification of Diseases and Related Health Problems and the Major Diagnostic Category. Comparison of the secondary diagnoses revealed only a significant difference of Diagnostic Category “Circulatory system” in control group (CG) vs HG (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.049). This had no influence on results because this was no exclusion criterion for HG. There was no significant difference between the age of the two groups (t-test, P=0.350). The members of both groups were predominantly female (48 women in CG; 56 women in HG). Hospitalization for the HG was 16.2 days (minimum 12 days and maximum 17 days, standard deviation 1.1) and in the CG 15.7 days (minimum 10 days and maximum 19 days, standard deviation 2.2). Comparison of CG and HG showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.211). The mean level of pain (admission) was 6.8 (CG) on the VAS and 8.2 (HG). The mean level of pain (discharge) was 4.8 (CG) on the VAS and 4.0 (HG). A total of 104 patients were studied; the average age of all fibromyalgia patients was 56.05 years (Table 2). A total of 272 hyperthermia treatments were performed in the hyper-thermia group (HG). During their stay in hospital, the HG received on average 4.86 hyperthermia sessions (hs) (0–2 hs, N=0; 3–4 hs, N=10; 5–6 hs, N=46) in the mildly warm temperature range between 37.5°C and 38.5°C. All patients showed a polysymptomatic progression with lasting, persistent pain in muscles and joints, and with rare intervals with reduced symptoms. The overwhelming majority of the patients were subject to private and/or professional stressors with health-related anxieties. The disease activity was elevated significantly and all subjects suffered from considerable morning stiffness. The great majority of the patients were in Stage 3 of the Mainz Pain Staging System according to Gerbershagen. As part of the study, an analysis of secondary diagnoses was performed involving the comparison of several hundred secondary diagnoses. The basis of the analysis was allocation of the diagnoses in accordance with the International Statistical Classification of Diseases and Related Health Problems and the Major Diagnostic Category. Comparison of the secondary diagnoses revealed only a significant difference of Diagnostic Category “Circulatory system” in control group (CG) vs HG (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.049). This had no influence on results because this was no exclusion criterion for HG. There was no significant difference between the age of the two groups (t-test, P=0.350). The members of both groups were predominantly female (48 women in CG; 56 women in HG). Hospitalization for the HG was 16.2 days (minimum 12 days and maximum 17 days, standard deviation 1.1) and in the CG 15.7 days (minimum 10 days and maximum 19 days, standard deviation 2.2). Comparison of CG and HG showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.211). The mean level of pain (admission) was 6.8 (CG) on the VAS and 8.2 (HG). The mean level of pain (discharge) was 4.8 (CG) on the VAS and 4.0 (HG). Functional capacity on admission and discharge The functional capacity was measured for all the patients from both groups. All the patients in the two groups answered all the questions. On admission, no significant difference could be established between the two groups (t-test; P=0.936). The standard deviation in the CG was 20.1 (median 58.0, maximum 94.0) and in the HG it was 14.6 (median 58.0, maximum 91.0). On discharge, there was a significant difference (Mann–Whitney U-test; asymptotic significance, P=0.039) (Figure 4). The standard deviation in the HG was 19.1 (median 75.0, maximum 100.0) and in the CG it was 18.8 (median 62.0, maximum 97.0). The functional capacity was measured for all the patients from both groups. All the patients in the two groups answered all the questions. On admission, no significant difference could be established between the two groups (t-test; P=0.936). The standard deviation in the CG was 20.1 (median 58.0, maximum 94.0) and in the HG it was 14.6 (median 58.0, maximum 91.0). On discharge, there was a significant difference (Mann–Whitney U-test; asymptotic significance, P=0.039) (Figure 4). The standard deviation in the HG was 19.1 (median 75.0, maximum 100.0) and in the CG it was 18.8 (median 62.0, maximum 97.0). Symptoms according to von Zerssen on admission and discharge All the members of both groups answered all the questions in the questionnaire. The survey of the list of symptoms according to von Zerssen revealed no significant differences between the two groups on their admission to hospital (t-test; P=0.988). The standard deviation for the HG was 9.4 (median 42.0) and for the CG 12.2 (median 41.0) on admission (Table 3). A significant difference was evident on discharge (t-test; P=0.024). The standard deviation for the CG was 14.6 (median 37.5) and for the HG it was 12.0 (median 29.0) (Figure 5 and Table 4). All the members of both groups answered all the questions in the questionnaire. The survey of the list of symptoms according to von Zerssen revealed no significant differences between the two groups on their admission to hospital (t-test; P=0.988). The standard deviation for the HG was 9.4 (median 42.0) and for the CG 12.2 (median 41.0) on admission (Table 3). A significant difference was evident on discharge (t-test; P=0.024). The standard deviation for the CG was 14.6 (median 37.5) and for the HG it was 12.0 (median 29.0) (Figure 5 and Table 4). Analysis of the therapy density of the therapy areas for both groups Physical therapy (hydrotherapy) Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0). Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0). Physical therapy (thermotherapy) The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5). The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5). Physiotherapy Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5). Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5). Phytotherapy The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506). The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506). Psychotherapy/mind body medicine Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0). Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0). Movement therapy The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001). The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001). Detoxifying process There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0). There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0). Neural therapy/infiltration/acupuncture Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0). Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0). Homeopathy No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5). No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5). Diet advice The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0). The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0). Physical therapy (hydrotherapy) Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0). Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0). Physical therapy (thermotherapy) The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5). The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5). Physiotherapy Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5). Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5). Phytotherapy The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506). The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506). Psychotherapy/mind body medicine Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0). Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0). Movement therapy The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001). The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001). Detoxifying process There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0). There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0). Neural therapy/infiltration/acupuncture Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0). Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0). Homeopathy No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5). No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5). Diet advice The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0). The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0). Design: The study design was a convenience sample and a prospective cohort study. The authors chose an understudied area and reported a cohort study to highlight the additive effects of hyperthermia therapy as part of an in-hospital, multimodality program for the symptom management of FMS. The data in the study were collected according to the hypothesis formation, specifically for testing the hypothesis. Before starting the analysis, groups of patient were formed who were as similar as possible regarding relevant factors; the classification of the individuals was made according to the International Classification of Diseases. All individuals approached by the investigator agreed to participate with a declaration of consent. Clinical patient number and all social data were deleted after the survey. Study participants always retained the right to withdraw at any time, for any reason. The study complies with the targets of the local ethical review committee and the targets of the privacy policy. The inclusion criterion for hospitalized individuals to participate in the study was a primary rheumatologic diagnosis of FMS by a specialist. Exclusion criteria for study were severe epilepsy, chronic infections, acute infections, and claustrophobia. The participants fulfilled the criteria of the American College of Rheumatology for the FMS diagnosis and showed severe disease progression as demonstrated by the disease activity, symptoms, and functional capacity. All patients had comorbid disease, over 700 diagnoses in total, which will not be presented due to their complexity and scope. It was clearly evident that all the participants availed themselves of a wide variety of outpatient treatments (specialists, therapists, before hospitalization) on account of their FMS. For the measurement of chronic pain, the Mainz staging (Gerbershagen) was used.54,55 It was possible to blind outcome assessment by having this done by an independent person unaware of who received what. The investigators began enrolling subjects and collecting baseline exposure information; none of the subjects have developed any of the outcomes of interest. During the entirety of their stay, all participants received interdisciplinary treatment from anesthesia specialist and internal medicine, rheumatology, and general medicine specialists. An integrative therapeutic approach in an acute setting is characterized by a high therapy density.56,57 If the application of hyperthermia is contraindicated, this is compensated by the use of other therapeutic procedures in order to ensure close-meshed, high-frequency therapy. Nursing supervision was maintained. Process coordinators were in the middle of the workflow, deciding what information to share and when. The process coordinator was informed to collect all relevant parameters (disease activity, physical symptoms, functional capacity). Complementary and alternative therapies were performed by a naturopathy specialist with the additional qualification, Naturheilverfahren (naturopathic methods), and with at least 3 years of experience in the field of “classical naturopathy”. In addition to specialist doctors, the team included specially trained nursing staff with at least 6 months of naturopathy experience. The treatments applied were evidence based and best practice methods from hydro-/thermotherapy, physical therapy, phytotherapy, psychotherapy, lifestyle regulative therapy, and movement therapy. In addition, neural therapy, acupuncture, infiltrations, homeopathy, and dietary consultations were performed according to indication (Table 1).58–70 There was a standardized time of exposure to each therapy written into the protocol. Every week, at least two extensive discussions were held with the patients, which focused especially on lifestyle regulative therapy.71,72 The medication therapy for both groups was oriented on the requirements of the German S3 Guidelines.73 Due to the psychological comorbidities, patients were additionally treated with tricyclic antidepressants. The therapy progression and the therapy targets were evaluated in weekly, interdisciplinary team meetings and deviations were documented.74 Hyperthermia therapy: In this study, the hyperthermia method used was whole-body hyperthermia with IR radiation (method according to Dr Heckel).75 This contains a high fraction of wavelengths near the visible region (ie, short-wave IR, IR-A) and is emitted together with light. The total reflection scattering of the primary radiation produces an even surface irradiation tolerated by the skin. Fractions of this radiation penetrate through the outermost layers of skin and are absorbed in a depth of tissue at which the blood carries the released heat and distributes it throughout the body. Heat losses are reduced by the individual lying in an insulated cubicle during the irradiation. A window opening in the roof of the cubicle allows air exchange. Pulse rate and temperature were monitored continuously by therapeutic stuff. If required, pulse or electrocardiogram monitoring, oxygen administration, or an intravenous infusion could be implemented during treatment. The hyperthermia treatment must not be used in the case of existing or threatening thrombosis, Marcumar medication (medication that may influence blood coagulation), or peripheral arterial occlusive disease. Figure 2 gives a summary overview of the indications and contraindications of systemic whole-body hyperthermia. A comprehensive, therapy-related, patient-related, survey was performed which recorded all the therapy methods used in both groups during the period of hospitalization and presents the intensity of the service provided by integrative multimodal therapy. Outcome parameters: The parameters (Mainz Pain Staging System, disease activity, physical symptoms, functional capacity) were conducted by a coordinator, who coordinates clinical activities and shares information with everyone in the workflow. These parameters were controlled by physicians, therapists, and nurses. For the measurement of chronic pain, the Mainz staging (Gerbershagen) was used. The Mainz Pain Staging System is an instrument for the classification of chronic pain in three stages 1, 2, and 3 (ranging from acute =1 to chronic pain =3).76 It is based on a questionnaire taking into account dimensions of pain patterns of occurrence, duration, change of intensity, medication usage, and the lifetime utilization of the health care system.77 To measure the intensity of pain, the visual analog scale (VAS) was used. The VAS is a psychometric response scale to measure the intensity or frequency of various symptoms.78 Respondents mark the location on the 10 cm line corresponding to the amount of pain they experienced (0= no pain, 10= worst pain ever). VAS has been widely used in diverse adult populations, including those with rheumatic diseases.79 List of symptoms according to von Zerssen: The patients’ physical symptoms were recorded in the study using this instrument. The procedure is used both in somatic medicine and in clinical psychology and psychiatry.80,81 Information can be gathered for all patients with chronified physical and mental diseases or disturbances. The use of the list of symptoms is suitable both for an individual and for a group setting. The patients answer questions (Figure 3). The items included general symptoms (eg, feeling of weakness, fatigue), localizable physical symptoms (eg, pain in the joints and limbs), and mental states (eg, inner restlessness, brooding). The degree of severity of the symptoms surveyed is classified according to a four-level Likert scale (strong–moderate–hardly–not at all). The individual complaints can be evaluated on a scale with the response categories “not at all” (0 point), “hardly” (1 point), “moderate” (2 points), and “strong” (3 points). The addition of the score results in a sum value divided into three groups (“unremarkable”, “borderline”, and “conspicuous”). The internal consistency (Cronbach’s alpha) is α=0.94. The split half reliability is very highly pronounced at r =0.93. Criteria-related validity is 0.62. Functional capacity: The functional capacity of all subjects was recorded using the Hannover Function Questionnaire (Funktionsfragebogen Hannover) (FFbH).82 This tool is a patient self-evaluation instrument for everyday recording of functional limitations resulting from diseases of the locomotor organs. Validity and reliability in repeated measurements are greater than 0.75. The FFbH can be used in a variety of rheumatic diseases and together with other assessment instruments.83 The FFbH is sensitive to change, and appears to be of practical usefulness in clinical and epidemiological studies. The defined pool of items strives, on the one hand, to ensure the “everyday relevance” of the movement progressions recorded and the best possible representation of different areas of life and, on the other, to take account of rheumatological aspects. A total of 18 questions are provided for recording functional limitations of the activities of daily life. The grade of the remaining functional capacity is expressed as a percentage of the maximum number of points achieved. A score of 0% indicates maximum limitation and 100% stands for an unlimited capability to perform the activities required in daily life. If more than two questions are not answered, the FFbH should not be evaluated. FFbH scores of 100% to approximately 80% correspond to a “normal” functional capacity; scores <70% are an indication of limited functional capacity. Statistical analysis: Statistical analyses were performed using SPSS for Windows, Version 20.0 (SPSS Inc, Chicago, IL, USA). For the comparison of two independent, normally distributed samples, the t-test was applied. Before that, the homogeneity of the variances was tested by means of the Levene test. When homogeneity of the variances was proven, Student’s t-test was carried out and when non-homogeneity of variances was tested, the Welch test was used. However, for non-normally distributed samples the Mann–Whitney U-test was applied as a nonparametric procedure. The metric variables were presented as means and medians, while the spreads were stated as standard deviations and interquartile ranges. Normal distribution tests were used to check the distribution form of constant numbers of a sample. A significant deviation from the normal distribution exists at P<0.05. In such cases, nonparametric tests must be used for the variables concerned. The normal distribution tests in this study were performed using the Kolmogorov–Smirnov test. Comparison of two independent, normally distributed samples was done using the t-test. Comparison of two independent, non-normally distributed samples was done using the Mann–Whitney U-test. The graphics were also produced using SPSS. Box-and-whisker plots were drawn to present the medians and quartiles. The median and 25th–75th quartiles are entered in the box, while the whiskers correspond to the smallest and largest value as long as these are neither extreme values nor outliers. Outliers are defined as values lying 1.5–3 box lengths outside the box and are shown as circles in the diagrams; extreme values, which measure more than 3 box lengths outside the box, are entered as crosses. Findings: A total of 104 patients were studied; the average age of all fibromyalgia patients was 56.05 years (Table 2). A total of 272 hyperthermia treatments were performed in the hyper-thermia group (HG). During their stay in hospital, the HG received on average 4.86 hyperthermia sessions (hs) (0–2 hs, N=0; 3–4 hs, N=10; 5–6 hs, N=46) in the mildly warm temperature range between 37.5°C and 38.5°C. All patients showed a polysymptomatic progression with lasting, persistent pain in muscles and joints, and with rare intervals with reduced symptoms. The overwhelming majority of the patients were subject to private and/or professional stressors with health-related anxieties. The disease activity was elevated significantly and all subjects suffered from considerable morning stiffness. The great majority of the patients were in Stage 3 of the Mainz Pain Staging System according to Gerbershagen. As part of the study, an analysis of secondary diagnoses was performed involving the comparison of several hundred secondary diagnoses. The basis of the analysis was allocation of the diagnoses in accordance with the International Statistical Classification of Diseases and Related Health Problems and the Major Diagnostic Category. Comparison of the secondary diagnoses revealed only a significant difference of Diagnostic Category “Circulatory system” in control group (CG) vs HG (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.049). This had no influence on results because this was no exclusion criterion for HG. There was no significant difference between the age of the two groups (t-test, P=0.350). The members of both groups were predominantly female (48 women in CG; 56 women in HG). Hospitalization for the HG was 16.2 days (minimum 12 days and maximum 17 days, standard deviation 1.1) and in the CG 15.7 days (minimum 10 days and maximum 19 days, standard deviation 2.2). Comparison of CG and HG showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.211). The mean level of pain (admission) was 6.8 (CG) on the VAS and 8.2 (HG). The mean level of pain (discharge) was 4.8 (CG) on the VAS and 4.0 (HG). Functional capacity on admission and discharge: The functional capacity was measured for all the patients from both groups. All the patients in the two groups answered all the questions. On admission, no significant difference could be established between the two groups (t-test; P=0.936). The standard deviation in the CG was 20.1 (median 58.0, maximum 94.0) and in the HG it was 14.6 (median 58.0, maximum 91.0). On discharge, there was a significant difference (Mann–Whitney U-test; asymptotic significance, P=0.039) (Figure 4). The standard deviation in the HG was 19.1 (median 75.0, maximum 100.0) and in the CG it was 18.8 (median 62.0, maximum 97.0). Symptoms according to von Zerssen on admission and discharge: All the members of both groups answered all the questions in the questionnaire. The survey of the list of symptoms according to von Zerssen revealed no significant differences between the two groups on their admission to hospital (t-test; P=0.988). The standard deviation for the HG was 9.4 (median 42.0) and for the CG 12.2 (median 41.0) on admission (Table 3). A significant difference was evident on discharge (t-test; P=0.024). The standard deviation for the CG was 14.6 (median 37.5) and for the HG it was 12.0 (median 29.0) (Figure 5 and Table 4). Analysis of the therapy density of the therapy areas for both groups: Physical therapy (hydrotherapy) Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0). Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0). Physical therapy (thermotherapy) The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5). The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5). Physiotherapy Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5). Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5). Phytotherapy The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506). The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506). Psychotherapy/mind body medicine Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0). Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0). Movement therapy The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001). The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001). Detoxifying process There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0). There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0). Neural therapy/infiltration/acupuncture Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0). Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0). Homeopathy No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5). No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5). Diet advice The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0). The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0). Physical therapy (hydrotherapy): Comparison of the amounts of physical therapy (hydrotherapy) received by the two groups showed no significant difference (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.979). The standard deviation for the HG was 308.4 (median 97.5) and for the CG it was 105.9 (median 120.0). Physical therapy (thermotherapy): The difference measured in therapy minutes between the amounts of physical therapy (thermotherapy) was significant (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for the CG was 330.8 minutes and for the HG 693.7 minutes. The standard deviation for the HG was 321.5 (median 785.0) and for the CG it was 138.8 (median 340.0) (Table 5). Physiotherapy: Comparison of the amounts of physiotherapeutic intervention showed a significant difference between the groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.000). The mean for physiotherapeutic interventions in the CG was 492.4 minutes compared with 284.2 minutes in the HG. The standard deviation for the HG was 222.8 (median 222.5) and for the CG it was 239.6 (median 437.5) (Table 5). Phytotherapy: The mean time taken up by phytotherapeutic interventions was 154 minutes for the CG and 176.4 minutes for the HG. There was no significant difference (Mann–Whitney U-test, asymptotic significance, P=0.506). Psychotherapy/mind body medicine: Comparison of the two groups revealed no significant difference (Welch test, P=0.199). The standard deviation for the HG was 134.6 (median 507.5) and for the CG it was 207.0 (median 605.0). Movement therapy: The mean amount of movement therapy for the CG was 476.4 minutes (standard deviation 229.2, median 320.0) and for the HG 307.0 minutes (standard deviation 202.3, median 167.5) (Table 5). Comparison of the two groups revealed a significant difference in the therapeutic effort (t-test, P<0.001). Detoxifying process: There was no significant difference for the detoxifying process in patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.452). The standard deviation for the HG was 44.8 (median 100.0) and for the CG it was 32.5 (median 90.0). Neural therapy/infiltration/acupuncture: Regarding the amount of therapy in the procedures of neural therapy/infiltration/acupuncture, no significant difference was observed between patients receiving and not receiving hyperthermia (Mann–Whitney U-test, asymptotic significance, P=0.157). The standard deviation for the HG was 103.4 (median 60.0) and for the CG it was 87.7 (median 75.0). Homeopathy: No significant difference was observed between the homeopathy inputs for the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.085). The standard deviation for the HG was 55.6 and for the CG it was 62.5 (Table 5). Diet advice: The outlay for diet advice was not significantly different between the two groups (Mann–Whitney U-test, asymptotic significance [two-tailed], P=0.866). The standard deviation for the HG was 21.3 (median 0) and for the CG it was 25.8 (median 0). Discussion and conclusion: The participants were predominantly female, as also reported by other studies.84,85 The longer hospitalization time of these integratively treated patients also agrees with the findings of previous large-scale scientific studies.56 The mean age of the patients in this study corresponds with the analysis of ages ascertained at the German national level. Out of 6.452 inpatients in Germany whose main diagnosis was FMS, >55% of patients in 2008 were between 40 years and 59 years of age. Software: G-DRG-Browser G-DRG-Version 2011, Daten 2010 gem; §21 KHEntgG. For 2011, data were available for 1,929 cases receiving inpatient treatment, of whom the majority also fell within this age range.86 This study shows that interdisciplinary therapeutic approaches are worthwhile in the treatment of FMS. Despite the severity of the disease with a pain-supporting mental-accompanying disease, a significant improvement in the symptoms was evident on discharge from hospital (P=0.024; Tables 3 and 4). The complex somatic and mental symptoms that were recorded with the von Zerssen score could also be alleviated by means of the complementary use of hyperthermia. The use of hyperthermia improved the outcome still further. The superior outcome for the HG was manifested in a significant improvement in the patient’s functional capacity. A greater therapeutic density of both physiotherapeutic interventions and methods of movement therapy in the CG proved unable to equal the added benefit of hyperthermia. Whole-body hyperthermia is a part of a multidisciplinary approach.48,53 Previous studies with hyperthermia were performed in a rehabilitative setting.52,53,87,88 Hyperthermia has been carried out for several weeks. A sustained pain reduction was observed in a 6-month follow-up after intervention ended in patients with FMS.52 There were no specifications for other therapy methods, and their density and the form of progression were not described accurately. Acute care is a care setting where an individual is treated for a brief but severe episode of illness. Acute programs in Germany have increased numbers of sessions and a larger care team. Acute care settings have full-time physicians and hospital staff who are available 24 hours a day. The aim of acute inpatient treatment is to improve the patients’ condition sufficiently that they are once again capable of rehabilitation.89 Continual acute diagnosis (in the case of an emergency situation or diagnosis aggravation) and therapy, and continual medical and nursing care are guaranteed during the entire period of hospitalization. Proven applications are summarized in Figure 6. In future studies for the evaluation of the therapy of FMS, economic parameters must also be analyzed in order to perform diagnosis-related group (system to classify hospital cases into groups) cost calculations (in addition to clinical effects), especially regarding the costs associated with claims for outpatient and inpatient therapy for FMS. In doing so, the question should be addressed as to whether the use of innovative, integrative therapeutic methods can generate the potential for long-term savings. In addition, observational studies are needed of mildly warm whole-body hyperthermia treatment of further diseases and disturbances of the musculoskeletal system and connective tissues in acute inpatient therapy of pain and rheumatic diseases with the inclusion of complementary medical procedures. The development of further improved therapies for treating FMS, as well as analysis of delivery methods of each modality and how they potentially influence one another and also the recidivism in different hospital settings, is necessary.
Background: Fibromyalgia syndrome (FMS) is a multi-factorial disease involving physiological as well as psychological factors. The aim of the study was to investigate a multidisciplinary inpatient treatment with emphasis on hyperthermia therapy by patients with widespread pain. Methods: The study involved 104 patients suffering from severely progressive FMS. A convenience sample and a prospective cohort design were used. The patients were treated in an acute hospital focusing on rheumatologic pain therapy and multidisciplinary complementary medicine. One patient group was treated with inclusion of hyperthermia therapy and the other group without. The therapy density (number of performed therapies per patient) was determined for every patient. Functional capacity measured by the Hannover functional status questionnaire (Funktionsfragebogen Hannover) and symptoms (von Zerssen complaint list) were analyzed for both groups on admission and on discharge. Results: On admission, no significant difference could be established between control group (CG; multimodal without hyperthermia) and hyperthermia group (HG; multimodal with hyperthermia) (functional capacity, P=0.936). Functional capacity improved for the CG and the HG. On discharge, there was a significant difference between the two groups (functional capacity, P=0.039). There were no significant differences in fibromyalgia symptoms between CG (mean 41.8) and HG (mean 41.8) on their admission to hospital (P=0.988). On discharge, there was a significant difference (P=0.024) between the two groups (HG, mean 30.6; CG, mean 36.6). The inpatient therapy of patients with severely progressive fibromyalgia is characterized by a high frequency of therapy input. Conclusions: FMS, especially with severe progression and a high degree of chronification, demands a multidisciplinary approach. In addition to the use of complementary medical procedures, integration of hyperthermia in the treatment process is a useful option.
Background: Fibromyalgia syndrome (FMS) is a multi-factorial disease involving physiological as well as psychological factors. It is characterized by widespread pain and muscle tenderness accompanied by other comorbid symptoms.1,2 Those affected report chronic pain, which persists for at least 3 months in several regions of the body. The affected areas include the neck or upper or middle back, the small of the back, ribcage or abdomen, and at least one site of pain in both arms and both legs. Patients can also have difficulty in falling asleep and sleeping through the night; in the morning, they feel that they have had too little sleep, and in many cases, feel mentally and physically exhausted. Numerous studies describe depression, anxiety, and panic disorders as comorbidities of FMS.3–5 Many sufferers report additional symptoms affecting the stomach, intestines, cardiovascular system, nervous system, or urinary passages.6,7 The pathophysiology of FMS is still unknown. It is assumed that the levels of biogenic amines such as 5-hydroxytryptamine (5-HT) and norepinephrine are reduced in persons with FMS. A dysfunction of the 5-HT system may lead to panic disorders and depression.8,9 Predictors of FMS are obesity, missing physical activity, high workload,10,11 increased physical discomfort, and permanent local pain for more than 6 years.12 Prevalence of FMS is estimated to be 5%–6% of women in the USA and Europe.13,14 Individuals with FMS report frequent health care use15 concomitantly with lost productivity through higher absenteeism and unemployment.16 FMS places a significant economic burden on patients and health care systems.17,18 The complexity of the FMS, its chronic progression, and the heavy burden of suffering present health care providers with an extensive set of problems. There is no universally acceptable treatment for this condition.19 FMS leads to substantial limitations in physical functioning and activities of daily living. A higher absenteeism, unemployment, and disability lead to significant costs. Multidisciplinary approaches are recommended for the treatment of fibromyalgia. These should include both psychotherapeutic methods (patient education and/or cognitive behavioral therapy) and exercise and activating therapeutic procedures.20,21 These complementary methods do not exert their effects individually, but exert synergistic effects. Decisions to use a multidisciplinary approach to therapy should be determined based on a structured health care assessment of the individual.22 Multidisciplinary approaches may include hydrotherapeutic and thermotherapeutic methods, hydrogalvanic baths (medical treatment [a type of electrotherapy] based on the simultaneous use of water and electric current), and acupuncture. Hydrotherapeutic methods are used by many individuals with FMS.23 These methods include balneotherapeutic methods of hydrotherapy (part of naturopathy and physiotherapy, that involves the use of water for pain relief and treatment), such as herbal baths, mud baths, steam baths, and hot water whirlpool baths to soothe muscles and stimulate circulation. Hydrotherapy can contribute in particular to reduce pain safely24–26 and offers beneficial treatment with no hidden side effects.26 Hot baths27,28 are favored by many individuals with FMS and can be a therapy option to reduce high pain intensity.29 Acupuncture may be integrated into a multimodal therapy as an adjunctive treatment30 and may help to reduce FMS symptoms31,32 and to increase the quality of life.33 Conversations between health care providers during hospitalization should be client centered to improve and solidify the client–provider relationship.34 The therapist is able to understand what the individuals are feeling and provide care that is more specific to their needs and therefore provide better care. Individuals are more likely to engage in treatment decisions, feel supported to make behavioral changes, and so feel empowered to self-manage. Psychotherapy should include established methods of coping with pain and deflecting attention,35 other problem-solving strategies,36 and cognitive behavioral therapy.37 Cognitive behavioral therapy is effective at helping you learn to manage your illness more effectively and it is based on the gate-control theory of pain and operant behavioral conditioning.38 Physical therapies are found to be especially effective in the treatment of FMS39 and also reflexology (physical act of applying pressure to the feet, hands, or ears with specific thumb, finger, and hand techniques).40 Therefore, these therapies are integral components of the physiotherapy used in performing the study. Discussion and conclusion: The participants were predominantly female, as also reported by other studies.84,85 The longer hospitalization time of these integratively treated patients also agrees with the findings of previous large-scale scientific studies.56 The mean age of the patients in this study corresponds with the analysis of ages ascertained at the German national level. Out of 6.452 inpatients in Germany whose main diagnosis was FMS, >55% of patients in 2008 were between 40 years and 59 years of age. Software: G-DRG-Browser G-DRG-Version 2011, Daten 2010 gem; §21 KHEntgG. For 2011, data were available for 1,929 cases receiving inpatient treatment, of whom the majority also fell within this age range.86 This study shows that interdisciplinary therapeutic approaches are worthwhile in the treatment of FMS. Despite the severity of the disease with a pain-supporting mental-accompanying disease, a significant improvement in the symptoms was evident on discharge from hospital (P=0.024; Tables 3 and 4). The complex somatic and mental symptoms that were recorded with the von Zerssen score could also be alleviated by means of the complementary use of hyperthermia. The use of hyperthermia improved the outcome still further. The superior outcome for the HG was manifested in a significant improvement in the patient’s functional capacity. A greater therapeutic density of both physiotherapeutic interventions and methods of movement therapy in the CG proved unable to equal the added benefit of hyperthermia. Whole-body hyperthermia is a part of a multidisciplinary approach.48,53 Previous studies with hyperthermia were performed in a rehabilitative setting.52,53,87,88 Hyperthermia has been carried out for several weeks. A sustained pain reduction was observed in a 6-month follow-up after intervention ended in patients with FMS.52 There were no specifications for other therapy methods, and their density and the form of progression were not described accurately. Acute care is a care setting where an individual is treated for a brief but severe episode of illness. Acute programs in Germany have increased numbers of sessions and a larger care team. Acute care settings have full-time physicians and hospital staff who are available 24 hours a day. The aim of acute inpatient treatment is to improve the patients’ condition sufficiently that they are once again capable of rehabilitation.89 Continual acute diagnosis (in the case of an emergency situation or diagnosis aggravation) and therapy, and continual medical and nursing care are guaranteed during the entire period of hospitalization. Proven applications are summarized in Figure 6. In future studies for the evaluation of the therapy of FMS, economic parameters must also be analyzed in order to perform diagnosis-related group (system to classify hospital cases into groups) cost calculations (in addition to clinical effects), especially regarding the costs associated with claims for outpatient and inpatient therapy for FMS. In doing so, the question should be addressed as to whether the use of innovative, integrative therapeutic methods can generate the potential for long-term savings. In addition, observational studies are needed of mildly warm whole-body hyperthermia treatment of further diseases and disturbances of the musculoskeletal system and connective tissues in acute inpatient therapy of pain and rheumatic diseases with the inclusion of complementary medical procedures. The development of further improved therapies for treating FMS, as well as analysis of delivery methods of each modality and how they potentially influence one another and also the recidivism in different hospital settings, is necessary.
Background: Fibromyalgia syndrome (FMS) is a multi-factorial disease involving physiological as well as psychological factors. The aim of the study was to investigate a multidisciplinary inpatient treatment with emphasis on hyperthermia therapy by patients with widespread pain. Methods: The study involved 104 patients suffering from severely progressive FMS. A convenience sample and a prospective cohort design were used. The patients were treated in an acute hospital focusing on rheumatologic pain therapy and multidisciplinary complementary medicine. One patient group was treated with inclusion of hyperthermia therapy and the other group without. The therapy density (number of performed therapies per patient) was determined for every patient. Functional capacity measured by the Hannover functional status questionnaire (Funktionsfragebogen Hannover) and symptoms (von Zerssen complaint list) were analyzed for both groups on admission and on discharge. Results: On admission, no significant difference could be established between control group (CG; multimodal without hyperthermia) and hyperthermia group (HG; multimodal with hyperthermia) (functional capacity, P=0.936). Functional capacity improved for the CG and the HG. On discharge, there was a significant difference between the two groups (functional capacity, P=0.039). There were no significant differences in fibromyalgia symptoms between CG (mean 41.8) and HG (mean 41.8) on their admission to hospital (P=0.988). On discharge, there was a significant difference (P=0.024) between the two groups (HG, mean 30.6; CG, mean 36.6). The inpatient therapy of patients with severely progressive fibromyalgia is characterized by a high frequency of therapy input. Conclusions: FMS, especially with severe progression and a high degree of chronification, demands a multidisciplinary approach. In addition to the use of complementary medical procedures, integration of hyperthermia in the treatment process is a useful option.
14,021
342
[ 763, 130, 7864, 676, 261, 210, 254, 246, 325, 132, 120, 62, 79, 80, 40, 40, 60, 54, 66, 52, 56, 631 ]
24
[ "median", "hg", "therapy", "test", "cg", "standard", "significant", "deviation", "standard deviation", "difference" ]
[ "treatment fibromyalgia include", "background fibromyalgia", "fibromyalgia patients 56", "fibromyalgia include psychotherapeutic", "fibromyalgia syndrome fms" ]
[CONTENT] fibromyalgia | hyperthermia | pain | multidisciplinary approach [SUMMARY]
[CONTENT] fibromyalgia | hyperthermia | pain | multidisciplinary approach [SUMMARY]
[CONTENT] fibromyalgia | hyperthermia | pain | multidisciplinary approach [SUMMARY]
[CONTENT] fibromyalgia | hyperthermia | pain | multidisciplinary approach [SUMMARY]
[CONTENT] fibromyalgia | hyperthermia | pain | multidisciplinary approach [SUMMARY]
[CONTENT] fibromyalgia | hyperthermia | pain | multidisciplinary approach [SUMMARY]
[CONTENT] Austria | Cohort Studies | Complementary Therapies | Disease Progression | Female | Fibromyalgia | Hospitalization | Humans | Hyperthermia, Induced | Male | Middle Aged | Pain Management | Pain Measurement | Patient Care Team | Prospective Studies | Severity of Illness Index | Treatment Outcome [SUMMARY]
[CONTENT] Austria | Cohort Studies | Complementary Therapies | Disease Progression | Female | Fibromyalgia | Hospitalization | Humans | Hyperthermia, Induced | Male | Middle Aged | Pain Management | Pain Measurement | Patient Care Team | Prospective Studies | Severity of Illness Index | Treatment Outcome [SUMMARY]
[CONTENT] Austria | Cohort Studies | Complementary Therapies | Disease Progression | Female | Fibromyalgia | Hospitalization | Humans | Hyperthermia, Induced | Male | Middle Aged | Pain Management | Pain Measurement | Patient Care Team | Prospective Studies | Severity of Illness Index | Treatment Outcome [SUMMARY]
[CONTENT] Austria | Cohort Studies | Complementary Therapies | Disease Progression | Female | Fibromyalgia | Hospitalization | Humans | Hyperthermia, Induced | Male | Middle Aged | Pain Management | Pain Measurement | Patient Care Team | Prospective Studies | Severity of Illness Index | Treatment Outcome [SUMMARY]
[CONTENT] Austria | Cohort Studies | Complementary Therapies | Disease Progression | Female | Fibromyalgia | Hospitalization | Humans | Hyperthermia, Induced | Male | Middle Aged | Pain Management | Pain Measurement | Patient Care Team | Prospective Studies | Severity of Illness Index | Treatment Outcome [SUMMARY]
[CONTENT] Austria | Cohort Studies | Complementary Therapies | Disease Progression | Female | Fibromyalgia | Hospitalization | Humans | Hyperthermia, Induced | Male | Middle Aged | Pain Management | Pain Measurement | Patient Care Team | Prospective Studies | Severity of Illness Index | Treatment Outcome [SUMMARY]
[CONTENT] treatment fibromyalgia include | background fibromyalgia | fibromyalgia patients 56 | fibromyalgia include psychotherapeutic | fibromyalgia syndrome fms [SUMMARY]
[CONTENT] treatment fibromyalgia include | background fibromyalgia | fibromyalgia patients 56 | fibromyalgia include psychotherapeutic | fibromyalgia syndrome fms [SUMMARY]
[CONTENT] treatment fibromyalgia include | background fibromyalgia | fibromyalgia patients 56 | fibromyalgia include psychotherapeutic | fibromyalgia syndrome fms [SUMMARY]
[CONTENT] treatment fibromyalgia include | background fibromyalgia | fibromyalgia patients 56 | fibromyalgia include psychotherapeutic | fibromyalgia syndrome fms [SUMMARY]
[CONTENT] treatment fibromyalgia include | background fibromyalgia | fibromyalgia patients 56 | fibromyalgia include psychotherapeutic | fibromyalgia syndrome fms [SUMMARY]
[CONTENT] treatment fibromyalgia include | background fibromyalgia | fibromyalgia patients 56 | fibromyalgia include psychotherapeutic | fibromyalgia syndrome fms [SUMMARY]
[CONTENT] median | hg | therapy | test | cg | standard | significant | deviation | standard deviation | difference [SUMMARY]
[CONTENT] median | hg | therapy | test | cg | standard | significant | deviation | standard deviation | difference [SUMMARY]
[CONTENT] median | hg | therapy | test | cg | standard | significant | deviation | standard deviation | difference [SUMMARY]
[CONTENT] median | hg | therapy | test | cg | standard | significant | deviation | standard deviation | difference [SUMMARY]
[CONTENT] median | hg | therapy | test | cg | standard | significant | deviation | standard deviation | difference [SUMMARY]
[CONTENT] median | hg | therapy | test | cg | standard | significant | deviation | standard deviation | difference [SUMMARY]
[CONTENT] fms | care | pain | baths | include | behavioral | treatment | methods | health care | feel [SUMMARY]
[CONTENT] median | minutes | hg | cg | standard deviation | deviation | standard | therapy | test | difference [SUMMARY]
[CONTENT] days | hs | hg | diagnoses | secondary diagnoses | secondary | patients | cg | pain | cg vas hg [SUMMARY]
[CONTENT] acute | fms | inpatient | hyperthermia | care | studies | diagnosis | therapy | treatment | patients [SUMMARY]
[CONTENT] median | hg | cg | test | therapy | minutes | standard deviation | standard | deviation | difference [SUMMARY]
[CONTENT] median | hg | cg | test | therapy | minutes | standard deviation | standard | deviation | difference [SUMMARY]
[CONTENT] FMS ||| [SUMMARY]
[CONTENT] 104 | FMS ||| ||| ||| One ||| ||| von Zerssen [SUMMARY]
[CONTENT] CG | HG ||| CG | HG ||| two ||| 41.8 | HG | 41.8 ||| two | HG | 30.6 | CG | 36.6 ||| [SUMMARY]
[CONTENT] FMS ||| [SUMMARY]
[CONTENT] FMS ||| ||| 104 | FMS ||| ||| ||| One ||| ||| von Zerssen ||| ||| CG | HG ||| CG | HG ||| two ||| 41.8 | HG | 41.8 ||| two | HG | 30.6 | CG | 36.6 ||| ||| ||| [SUMMARY]
[CONTENT] FMS ||| ||| 104 | FMS ||| ||| ||| One ||| ||| von Zerssen ||| ||| CG | HG ||| CG | HG ||| two ||| 41.8 | HG | 41.8 ||| two | HG | 30.6 | CG | 36.6 ||| ||| ||| [SUMMARY]
Important differences between quality of life and health status in elderly patients suffering from critical limb ischemia.
31371929
Critical limb ischemia (CLI) patients are often of advanced age with reduced health status (HS) and quality of life (QoL) at baseline. Physical health is considered as the most affected domain due to reduced mobility and ischemic pain. QoL and HS are often used interchangeably in the current literature. HS refers to objectively perceived physical, psychological, and social functioning and in assessing QoL, change is measured subjectively and can only be determined by the individual since it concerns patients' evaluation of their functioning. It is important to distinguish between QoL and HS, especially in the concept of shared decision-making when the opinion of the patient is key. Goal of this study was to examine and compare QoL and HS in elderly CLI patients in relation to the used therapy, with a special interest in conservatively treated patients.
INTRODUCTION
Patients suffering from CLI and ≥70 years old were included in a prospective study with a follow-up period of 1 year. Patients were divided into three groups; endovascular revascularization, surgical revascularization, and conservative therapy. The WHOQoL-Bref was used to determine QoL, and the 12-Item Short Form Health Survey was used to evaluate HS at baseline, 5-7 days, 6 weeks, 6 months, and 1 year.
METHODS
Physical QoL of endovascularly and surgically treated patients showed immediate significant improvement during follow-up in contrast to delayed increased physical HS at 6 weeks and 6 months (P<0.001). Conservatively treated patients showed significantly improved physical QoL at 6 and 12 months (P=0.02) in contrast to no significant improvement in physical HS.
RESULTS
This study demonstrates that QoL and HS are indeed not identical concepts and that differentiating between these two concepts could influence the choice of treatment in elderly CLI patients. Discriminating between QoL and HS is, therefore, of major importance for clinical practice, especially to achieve shared decision-making.
CONCLUSION
[ "Aged", "Aged, 80 and over", "Conservative Treatment", "Female", "Health Status", "Humans", "Ischemia", "Male", "Middle Aged", "Prospective Studies", "Quality of Life", "Stress, Psychological", "Treatment Outcome", "Vascular Surgical Procedures" ]
6626895
Introduction
Treatment outcome rates in critical limb ischemia (CLI) patients traditionally focus on primary patency, limb salvage, and mortality.1 Reports on patient-reported outcome measures (PROMS) appear to be an important primary endpoint in addition to traditional outcome results. Especially in elderly patients with limited life expectancy, these PROMS offer important information regarding the success of treatment from a patient’s perspective and could help in shared decision-making.2,3 Functional status is used as a PROMS to assess patient’s daily activities and their level of physical autonomy.4–8 The major disadvantage of functional status is that solely patient’s daily activities and their autonomy level are assessed, without taking patients satisfaction with functioning into account. Another PROMS is quality of life (QoL), a term that is used confusingly in the current literature.9–11 It is often interchangeably used with the term health status (HS). HS refers to objectively perceived physical, psychological, and social functioning. We concur with the WHOQOL (World Health Organization Quality Of Life) group’s definition of QoL. They stated that QoL refers to a patient’s experiences, beliefs, expectations, and perceptions regarding physical, psychological, and social functioning. In assessing QoL, change is measured subjectively and can only be determined by the individual since it concerns patients’ evaluation of their functioning.12 PROMS could help physicians in the treatment selection, although revascularization is still considered as cornerstone of the treatment.13,14 However, 50% of the elderly CLI patients are deemed unfit or have unsuitable anatomical lesions for endovascular or surgical procedures.13 Concerning the novel concept of “do no further harm”, conservative treatment may be an option in these elderly CLI patients. To give this treatment option a chance in the therapy schedule of elderly CLI patients, it is important to know the subjectively measured QoL of these patients compared to the objectively measured HS. The goal of this study was to examine and compare QoL (WHOQoL-Bref) in relation to HS (SF-12) in elderly patients suffering from CLI in relation to therapy and especially conservative treatment.
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null
Conclusion
Changes in functioning are measured subjectively in QoL and objectively in HS. This study demonstrates that QoL and HS are indeed not identical concepts and that differentiating between the two concepts could influence the treatment options in elderly CLI patients. Discriminating between QoL and HS is, therefore, of major importance for clinical practice, especially to achieve shared decision-making.
[ "Methods", "Patient selection", "Treatment selection", "Quality of life", "Health status", "Follow-up", "Statistics", "Results", "Physical domain", "Psychological domain", "Discussion", "Conclusion" ]
[ " Patient selection The methods of this study were published previously.15 In summary, patients suffering from CLI classified as Rutherford 4–6 and ≥70 years old were included in two hospitals (Amphia hospital and Bravis hospital, The Netherlands) between January 2012 and February 2016 in a prospective observational cohort study database. No ethical approval was necessary because treatment selection was based on standard protocol without experimental treatments. Only the follow-up and questionnaires were added to the treatment, and informed consent was obtained and signed before the treatment started. This statement was approved by the medical ethical committee of the Amphia hospital.\nThe methods of this study were published previously.15 In summary, patients suffering from CLI classified as Rutherford 4–6 and ≥70 years old were included in two hospitals (Amphia hospital and Bravis hospital, The Netherlands) between January 2012 and February 2016 in a prospective observational cohort study database. No ethical approval was necessary because treatment selection was based on standard protocol without experimental treatments. Only the follow-up and questionnaires were added to the treatment, and informed consent was obtained and signed before the treatment started. This statement was approved by the medical ethical committee of the Amphia hospital.\n Treatment selection Vascular surgeons and certified interventionists determined treatment of choice in a multidisciplinary vascular conference. Patients were divided patients into three groups according to the used primary treatment (endovascular revascularization, surgical revascularization, and conservative therapy). Conservative treatment (non-revascularization therapy) consisted of intensive wound care, pain control with optimal pharmacological treatment, antibiotics if the infection was suspected, and minor amputations, defined as amputation below the ankle if necessary.16\nVascular surgeons and certified interventionists determined treatment of choice in a multidisciplinary vascular conference. Patients were divided patients into three groups according to the used primary treatment (endovascular revascularization, surgical revascularization, and conservative therapy). Conservative treatment (non-revascularization therapy) consisted of intensive wound care, pain control with optimal pharmacological treatment, antibiotics if the infection was suspected, and minor amputations, defined as amputation below the ankle if necessary.16\n Quality of life QoL was measured using the WHOQOL-Bref questionnaire. This questionnaire was chosen because it could be used in the whole population and correspond with the subjective character of QoL.12 It contains 26 items with a 5-point Likert type response scale, divided into four domains (physical health, psychological health, social relationships, environment) and a general QoL facet.17 The physical and psychological domain were analyzed in this study (13 items), and scores in each domain are ranged between 4 and 20. The physical health domain concentrates on questions about energy, sleep, pain, and mobility. Psychological health contains questions about positive and negative feelings, body image, and self-esteem.\nQoL was measured using the WHOQOL-Bref questionnaire. This questionnaire was chosen because it could be used in the whole population and correspond with the subjective character of QoL.12 It contains 26 items with a 5-point Likert type response scale, divided into four domains (physical health, psychological health, social relationships, environment) and a general QoL facet.17 The physical and psychological domain were analyzed in this study (13 items), and scores in each domain are ranged between 4 and 20. The physical health domain concentrates on questions about energy, sleep, pain, and mobility. Psychological health contains questions about positive and negative feelings, body image, and self-esteem.\n Health status The 12-Item Short Form Health Survey (SF-12) was used to determine HS.18 The SF-12 is the short version of the SF-36, used in the general population to assess HS, and each domain is scored in a range between 0 and 100. The SF-12 questionnaire consists of 12 questions that provided information about physical and mental functioning.\nThe 12-Item Short Form Health Survey (SF-12) was used to determine HS.18 The SF-12 is the short version of the SF-36, used in the general population to assess HS, and each domain is scored in a range between 0 and 100. The SF-12 questionnaire consists of 12 questions that provided information about physical and mental functioning.\n Follow-up Follow-up was performed at 1 week, 6 weeks, 6 months, and 1 year after the initial therapy. The questionnaires were completed either in the outpatient clinic or by telephone interview.\nFollow-up was performed at 1 week, 6 weeks, 6 months, and 1 year after the initial therapy. The questionnaires were completed either in the outpatient clinic or by telephone interview.\n Statistics Statistical analyses were performed by using IBM SPSS 22.0. Analysis of variance was used to compare the three groups. Linear mixed models were performed with five time points to examine the outcome differences between baseline and postoperative QoL and HS between the three included treatment groups. The advantage of these methods was that cases with missing values could be included and time effects could be modeled with greater flexibility. Variables such as treatment modality, time of follow-up, and the interaction between these two variables were examined. Significance was evaluated at P<0.05 after we adjusted for multiple testing based on the false discovery rate procedure.19 Pearson correlations were calculated between QoL scores and HS scores at baseline. Common variance of the two questionnaires was determined using the scores of the Pearson correlation.\nStatistical analyses were performed by using IBM SPSS 22.0. Analysis of variance was used to compare the three groups. Linear mixed models were performed with five time points to examine the outcome differences between baseline and postoperative QoL and HS between the three included treatment groups. The advantage of these methods was that cases with missing values could be included and time effects could be modeled with greater flexibility. Variables such as treatment modality, time of follow-up, and the interaction between these two variables were examined. Significance was evaluated at P<0.05 after we adjusted for multiple testing based on the false discovery rate procedure.19 Pearson correlations were calculated between QoL scores and HS scores at baseline. Common variance of the two questionnaires was determined using the scores of the Pearson correlation.", "The methods of this study were published previously.15 In summary, patients suffering from CLI classified as Rutherford 4–6 and ≥70 years old were included in two hospitals (Amphia hospital and Bravis hospital, The Netherlands) between January 2012 and February 2016 in a prospective observational cohort study database. No ethical approval was necessary because treatment selection was based on standard protocol without experimental treatments. Only the follow-up and questionnaires were added to the treatment, and informed consent was obtained and signed before the treatment started. This statement was approved by the medical ethical committee of the Amphia hospital.", "Vascular surgeons and certified interventionists determined treatment of choice in a multidisciplinary vascular conference. Patients were divided patients into three groups according to the used primary treatment (endovascular revascularization, surgical revascularization, and conservative therapy). Conservative treatment (non-revascularization therapy) consisted of intensive wound care, pain control with optimal pharmacological treatment, antibiotics if the infection was suspected, and minor amputations, defined as amputation below the ankle if necessary.16", "QoL was measured using the WHOQOL-Bref questionnaire. This questionnaire was chosen because it could be used in the whole population and correspond with the subjective character of QoL.12 It contains 26 items with a 5-point Likert type response scale, divided into four domains (physical health, psychological health, social relationships, environment) and a general QoL facet.17 The physical and psychological domain were analyzed in this study (13 items), and scores in each domain are ranged between 4 and 20. The physical health domain concentrates on questions about energy, sleep, pain, and mobility. Psychological health contains questions about positive and negative feelings, body image, and self-esteem.", "The 12-Item Short Form Health Survey (SF-12) was used to determine HS.18 The SF-12 is the short version of the SF-36, used in the general population to assess HS, and each domain is scored in a range between 0 and 100. The SF-12 questionnaire consists of 12 questions that provided information about physical and mental functioning.", "Follow-up was performed at 1 week, 6 weeks, 6 months, and 1 year after the initial therapy. The questionnaires were completed either in the outpatient clinic or by telephone interview.", "Statistical analyses were performed by using IBM SPSS 22.0. Analysis of variance was used to compare the three groups. Linear mixed models were performed with five time points to examine the outcome differences between baseline and postoperative QoL and HS between the three included treatment groups. The advantage of these methods was that cases with missing values could be included and time effects could be modeled with greater flexibility. Variables such as treatment modality, time of follow-up, and the interaction between these two variables were examined. Significance was evaluated at P<0.05 after we adjusted for multiple testing based on the false discovery rate procedure.19 Pearson correlations were calculated between QoL scores and HS scores at baseline. Common variance of the two questionnaires was determined using the scores of the Pearson correlation.", "\nA total of 387 patients aged >70 were diagnosed with CLI in the inclusion period. One hundred and ninety-five patients (50%) were included in this study. The other 192 patients were excluded because of a primary amputation, recently diagnoses malignancy, inadequate understanding of the Dutch language, cognitive impairment or rejection to contribute in the study. Patients were divided into three treatment groups; endovascular revascularization (n=82), surgical revascularization (n=67), and conservative treatment (n=46). Baseline characteristics are presented in Table 1.Table 1Baseline characteristicsEndovascular (n=82)Surgical (n=67)Conservative (n=46)Sex (male)45 (55)44 (66)21 (46)Age (median) (IQR)81 (10)76 (8)83 (9) *,#Rutherford 422 (27)36 (54)6 (13) *,#Rutherford 5/660 (73)31 (46)40 (87)ComorbidityPulmonary comorbidity54 (68)28 (42)26 (58) *Cardiac comorbidity62 (76)36 (54)36 (78) *,#Neurologic comorbidity23 (28)19 (28)21 (46) ^Arthritis21 (26)17 (25)20 (44) ^,#Vascular risk factorsHypertension62 (76)39 (58)29 (64)*Diabetes49 (60)22 (33)23 (50)*Renal impairment55 (67)23 (34)33 (72)*,#Current smoking15 (19)23 (34)7 (16)*,#Notes: Data are presented as n and (%), unless otherwise specified. Pulmonary comorbidity: asthma/chronic obstructive pulmonary disease. Cardiac comorbidity: angina/myocardial infarction/heart failure/arrhythmias. Neurologic comorbidity: transient ischemic attack/cerebrovascular accident. *Significant difference between endovascular and surgical treated patients (P<0.05). ^Significant difference between endovascular and conservative treated patients (P<0.05). #Significant difference between surgical and conservative treated patients (P<0.05).Abbreviation: IQR, interquartile range.\n\nBaseline characteristics\nNotes: Data are presented as n and (%), unless otherwise specified. Pulmonary comorbidity: asthma/chronic obstructive pulmonary disease. Cardiac comorbidity: angina/myocardial infarction/heart failure/arrhythmias. Neurologic comorbidity: transient ischemic attack/cerebrovascular accident. *Significant difference between endovascular and surgical treated patients (P<0.05). ^Significant difference between endovascular and conservative treated patients (P<0.05). #Significant difference between surgical and conservative treated patients (P<0.05).\nAbbreviation: IQR, interquartile range.\n Physical domain Pearson correlation was used to measure the correlation between physical QoL domain and physical HS domain and shows a moderate correlation of 0.66 with a common variance of 45%. Table 2 presents the QoL and HS scores of the physical domain. There was an immediate significant improvement of physical QoL in patients undergoing endovascular and surgical treatment at 5–7 days (P<0.001) that persisted during the first year of follow-up. This effect occurred in the physical HS domain at 6 weeks in surgically treated patients (P<0.001) and at 6 months in endovascularly treated patients (P<0.001). Conservatively treated patients reported a significant improved physical QoL at 6 months (P=0.02) and 1 year (P=0.02). However, physical HS showed no significant improvement in the first year of follow-up in conservatively treated patients.Table 2WHOQoL-Bref vs SF12 according to received treatmentEndovascular (n=82)Surgical (n=67)Conservative (n=46)Physical QoL domainBaseline10.9 (2.9)10.4 (2.5)11.6 (2.9)5–7 days11.9 (3.1)*12.1 (2.6)*12.1 (2.7)6 weeks12.4 (3.3)**13.5 (3.0)**11.8 (3.1)6 months13.6 (3.1)***14.5 (2.2)***13.2 (2.6)***1 year13.7 (2.8) ****14.9 (2.5) ****13.2 (2.9) ****Physical HS domainBaseline28.9 (9.3)28.0 (6.7)30.2 (10.3)5–7 days29.2 (9.8)28.9 (7.3)28.7 (8.8)6 weeks31.5 (10.3)34.2 (9.2) **28.3 (8.8)6 months35.4 (9.8) ***38.0 (9.4) ***30.9 (8.0)1 year35.3 (10.8) ****37.3 (9.6) ****31.4 (9.3)Psychological QoL domainBaseline14.2 (2.5)14.0 (2.4)14.1 (2.5)5–7 days14.6 (1.9)14.7 (2.2)*14.5 (1.6)6 weeks14.7 (2.1)14.8 (2.2)**14.1 (2.3)6 months14.7 (1.8)15.2 (1.9)***14.5 (1.8)1 year14.8 (2.1)15.3 (1.9) ****14.0 (2.3)Psychological HS domainBaseline37.0 (11.7)36.1 (10.3)40.1 (11.2)5–7 days40.2 (8.3)40.5 (9.0) *40.5 (7.8)6 weeks39.6 (9.7)42.0 (7.4) **40.6 (7.5)6 months42.4 (7.3) ***44.1 (7.6) ***37.6 (7.3)1 year42.5 (8.7)43.9 (7.7) ****39.5 (10.5)Notes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.Abbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12).\n\nWHOQoL-Bref vs SF12 according to received treatment\nNotes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.\nAbbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12).\nPearson correlation was used to measure the correlation between physical QoL domain and physical HS domain and shows a moderate correlation of 0.66 with a common variance of 45%. Table 2 presents the QoL and HS scores of the physical domain. There was an immediate significant improvement of physical QoL in patients undergoing endovascular and surgical treatment at 5–7 days (P<0.001) that persisted during the first year of follow-up. This effect occurred in the physical HS domain at 6 weeks in surgically treated patients (P<0.001) and at 6 months in endovascularly treated patients (P<0.001). Conservatively treated patients reported a significant improved physical QoL at 6 months (P=0.02) and 1 year (P=0.02). However, physical HS showed no significant improvement in the first year of follow-up in conservatively treated patients.Table 2WHOQoL-Bref vs SF12 according to received treatmentEndovascular (n=82)Surgical (n=67)Conservative (n=46)Physical QoL domainBaseline10.9 (2.9)10.4 (2.5)11.6 (2.9)5–7 days11.9 (3.1)*12.1 (2.6)*12.1 (2.7)6 weeks12.4 (3.3)**13.5 (3.0)**11.8 (3.1)6 months13.6 (3.1)***14.5 (2.2)***13.2 (2.6)***1 year13.7 (2.8) ****14.9 (2.5) ****13.2 (2.9) ****Physical HS domainBaseline28.9 (9.3)28.0 (6.7)30.2 (10.3)5–7 days29.2 (9.8)28.9 (7.3)28.7 (8.8)6 weeks31.5 (10.3)34.2 (9.2) **28.3 (8.8)6 months35.4 (9.8) ***38.0 (9.4) ***30.9 (8.0)1 year35.3 (10.8) ****37.3 (9.6) ****31.4 (9.3)Psychological QoL domainBaseline14.2 (2.5)14.0 (2.4)14.1 (2.5)5–7 days14.6 (1.9)14.7 (2.2)*14.5 (1.6)6 weeks14.7 (2.1)14.8 (2.2)**14.1 (2.3)6 months14.7 (1.8)15.2 (1.9)***14.5 (1.8)1 year14.8 (2.1)15.3 (1.9) ****14.0 (2.3)Psychological HS domainBaseline37.0 (11.7)36.1 (10.3)40.1 (11.2)5–7 days40.2 (8.3)40.5 (9.0) *40.5 (7.8)6 weeks39.6 (9.7)42.0 (7.4) **40.6 (7.5)6 months42.4 (7.3) ***44.1 (7.6) ***37.6 (7.3)1 year42.5 (8.7)43.9 (7.7) ****39.5 (10.5)Notes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.Abbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12).\n\nWHOQoL-Bref vs SF12 according to received treatment\nNotes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.\nAbbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12).\n Psychological domain Psychological QoL and psychological HS showed a moderate correlation of 0.58 with a common variance of 34%. Psychological QoL and HS scores are presented in Table 2. Surgically treated patients reported an immediate, significant improvement in both psychological QoL and psychological HS. Endovascularly treated patients showed no significant improvement in the psychological QoL domain. In contrast, a significant improvement was found in the psychological HS domain at 6 months (P=0.02), but this significant difference did not maintain at 1 year (P=0.07). Conservatively treated patients showed no significant improvement in QoL or HS regarding the psychological domain.\nPsychological QoL and psychological HS showed a moderate correlation of 0.58 with a common variance of 34%. Psychological QoL and HS scores are presented in Table 2. Surgically treated patients reported an immediate, significant improvement in both psychological QoL and psychological HS. Endovascularly treated patients showed no significant improvement in the psychological QoL domain. In contrast, a significant improvement was found in the psychological HS domain at 6 months (P=0.02), but this significant difference did not maintain at 1 year (P=0.07). Conservatively treated patients showed no significant improvement in QoL or HS regarding the psychological domain.", "Pearson correlation was used to measure the correlation between physical QoL domain and physical HS domain and shows a moderate correlation of 0.66 with a common variance of 45%. Table 2 presents the QoL and HS scores of the physical domain. There was an immediate significant improvement of physical QoL in patients undergoing endovascular and surgical treatment at 5–7 days (P<0.001) that persisted during the first year of follow-up. This effect occurred in the physical HS domain at 6 weeks in surgically treated patients (P<0.001) and at 6 months in endovascularly treated patients (P<0.001). Conservatively treated patients reported a significant improved physical QoL at 6 months (P=0.02) and 1 year (P=0.02). However, physical HS showed no significant improvement in the first year of follow-up in conservatively treated patients.Table 2WHOQoL-Bref vs SF12 according to received treatmentEndovascular (n=82)Surgical (n=67)Conservative (n=46)Physical QoL domainBaseline10.9 (2.9)10.4 (2.5)11.6 (2.9)5–7 days11.9 (3.1)*12.1 (2.6)*12.1 (2.7)6 weeks12.4 (3.3)**13.5 (3.0)**11.8 (3.1)6 months13.6 (3.1)***14.5 (2.2)***13.2 (2.6)***1 year13.7 (2.8) ****14.9 (2.5) ****13.2 (2.9) ****Physical HS domainBaseline28.9 (9.3)28.0 (6.7)30.2 (10.3)5–7 days29.2 (9.8)28.9 (7.3)28.7 (8.8)6 weeks31.5 (10.3)34.2 (9.2) **28.3 (8.8)6 months35.4 (9.8) ***38.0 (9.4) ***30.9 (8.0)1 year35.3 (10.8) ****37.3 (9.6) ****31.4 (9.3)Psychological QoL domainBaseline14.2 (2.5)14.0 (2.4)14.1 (2.5)5–7 days14.6 (1.9)14.7 (2.2)*14.5 (1.6)6 weeks14.7 (2.1)14.8 (2.2)**14.1 (2.3)6 months14.7 (1.8)15.2 (1.9)***14.5 (1.8)1 year14.8 (2.1)15.3 (1.9) ****14.0 (2.3)Psychological HS domainBaseline37.0 (11.7)36.1 (10.3)40.1 (11.2)5–7 days40.2 (8.3)40.5 (9.0) *40.5 (7.8)6 weeks39.6 (9.7)42.0 (7.4) **40.6 (7.5)6 months42.4 (7.3) ***44.1 (7.6) ***37.6 (7.3)1 year42.5 (8.7)43.9 (7.7) ****39.5 (10.5)Notes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.Abbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12).\n\nWHOQoL-Bref vs SF12 according to received treatment\nNotes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.\nAbbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12).", "Psychological QoL and psychological HS showed a moderate correlation of 0.58 with a common variance of 34%. Psychological QoL and HS scores are presented in Table 2. Surgically treated patients reported an immediate, significant improvement in both psychological QoL and psychological HS. Endovascularly treated patients showed no significant improvement in the psychological QoL domain. In contrast, a significant improvement was found in the psychological HS domain at 6 months (P=0.02), but this significant difference did not maintain at 1 year (P=0.07). Conservatively treated patients showed no significant improvement in QoL or HS regarding the psychological domain.", "The goal of this study was to examine and compare QoL and HS in elderly CLI patients in relation to received treatment and especially conservative treatment. According to our results, important difference is present between subjectively measured QoL and objectively measured HS. This difference is especially important in the interpretation of the results of conservatively treated patients. Conservative treatment significantly improves subjectively measured physical QoL, but did not significantly improve objectively measured physical HS. It is important to guide clinical decision-making on the subjective appraisal of health, especially in elderly patients.\nPrevious research conducted by Breek et al, demonstrated different outcomes across multiple domains for patients suffering from intermittent claudication by comparing the WHOQoL-100 and RAND 36-items health survey.9 This difference was explained by the subjective character of the QoL concept in contrast to the objective character of the HS concept.9,10 QoL focusses on the patient’s experiences, beliefs, expectations, and perceptions and subjectively measures patient’s well-being, while HS objectively assesses physical, mental and social functioning. Some differences between similar questions in the SF-12 and WHOQoL-Bref are presented in Table 3 and this contrast could also be explained using the example of elderly patients using the stairs. While it is true that not all elderly patients are able to use stairs, many of these patients have no desire to use stairs as it is no longer a necessity within their life. The SF-12 asks if patients are impaired when walking up stairs and thus, these patients will record a low HS score for this question, despite the fact that they do not consider this impairment to be of significant burden with regard to their mobility or pain. The interpretation by the researcher of this functioning as indicating low HS can lead to a disparity in outcome rates and, therefore, suggests subjective QoL outcome measures to be more appropriate, especially regarding frail, elderly patients.Table 3Questions asked in the questionnairesDomainWHO-QoL BrefSF-12PhysicalHow satisfied are you with your ability to perform your daily living activities?Are you now limited in moderate activities, such as moving a table, pushing a vacuum cleaner, bowling, or playing golf? Does your health now limit you a lot, limit you a little or not limit you at all?PhysicalTo what extent do you feel that physical pain prevents you from doing what you need to do?During the past four weeks, how much did pain interfere with your normal work including both outside the home and housework?PsychologicalHow much do you enjoy life?How much of the time during the past four weeks did you have a lot of energy?\n\nQuestions asked in the questionnaires\nPain and impaired mobility are the main symptoms of CLI and are captured in the physical domains of QoL and HS. Therefore, the physical domain may be considered the most important domain to focus on the treatment of CLI patients.14 It was in this domain that a striking difference between QoL and HS emerged. Physical QoL exhibited an immediate and significant improvement following endovascular or surgical revascularization, in contrast to the delayed significant improvement in physical HS, observed at 6 months. Conservative treatment or primary amputation are accepted treatment modalities in patients with poor pre-operative living status, and extensive comorbidities.1,4,8,14,15,20 Due to a significantly reduced life expectancy, increase in subjectively measures QoL is an important parameter for frail elderly patients in the last phase of their life and transcend traditional outcome measurements such as mortality and patency.3 Substantial differences between QoL and HS were observed in conservatively treated patients as these patients did not exhibit a significant increase in their physical HS, although their physical QoL had significantly improved at 6 months and 1 year. Possible explanations for the gained subjective physical functioning of conservatively treated patients could be the effectiveness of pain medication and the hypothesis that elderly patients learn to cope with their limitations in physical functioning in the long term. This result is of major clinical importance, because this result indicates that conservative treatment is an acceptable treatment for selected CLI patients from their point of view. Whereas conservative treatment seems to be a poor treatment option when only focusing on objective physical functioning (HS) and not on patients’ subjective evaluation of their functioning (QoL).\nElderly patients are a challenging group to collect PROMS because of the high rate of non-responders, mortality during follow-up and potential difficulty with reading.21 Lost to follow-up was reduced by cooperation of a dedicated study coordinator, possibility of telephonically follow-up and use of shortened questionnaires such as WHOQoL-Bref and SF-12. Use of online questionnaires could potentially improve response rates because of an increasing access to the Internet among elderly patients. However, this could also be questioned because of possible browser incompatibility or visual impairment and generalizability among elderly patients is hard. It seems to be worthwhile to offer patients the option to participate using online surveys to potentially reduce lost to follow-up.22\nThe current study has some limitations. Patients were not randomized between the three treatment groups because it is considered unethical to include conservative therapy in randomized controlled trials. However, this prospective study gives a clear view of the differences between HS and QoL in the treatments used for CLI patients in the current clinical practice. These results should be combined with the traditional outcome rates to select the optimal treatment, because of the known high mortality (19–49%) and limb salvage rates (74–85%) in elderly CLI patients.3,16,23 Also, wound healing in Rutherford five-sixths patients could potentially influence QoL. It would be interesting to investigate if wound closure effect QoL in conservatively treated patients in upcoming research. Due to the use of these shortened questionnaires, only the physical and psychological domains of QoL and HS could be compared. However, physical health is the most important domain for patients suffering CLI, because of ischemic pain and loss of mobility, and is therefore critical to compare across HS and QoL.14", "Changes in functioning are measured subjectively in QoL and objectively in HS. This study demonstrates that QoL and HS are indeed not identical concepts and that differentiating between the two concepts could influence the treatment options in elderly CLI patients.\nDiscriminating between QoL and HS is, therefore, of major importance for clinical practice, especially to achieve shared decision-making." ]
[ null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Methods", "Patient selection", "Treatment selection", "Quality of life", "Health status", "Follow-up", "Statistics", "Results", "Physical domain", "Psychological domain", "Discussion", "Conclusion" ]
[ "Treatment outcome rates in critical limb ischemia (CLI) patients traditionally focus on primary patency, limb salvage, and mortality.1 Reports on patient-reported outcome measures (PROMS) appear to be an important primary endpoint in addition to traditional outcome results. Especially in elderly patients with limited life expectancy, these PROMS offer important information regarding the success of treatment from a patient’s perspective and could help in shared decision-making.2,3\nFunctional status is used as a PROMS to assess patient’s daily activities and their level of physical autonomy.4–8 The major disadvantage of functional status is that solely patient’s daily activities and their autonomy level are assessed, without taking patients satisfaction with functioning into account. Another PROMS is quality of life (QoL), a term that is used confusingly in the current literature.9–11 It is often interchangeably used with the term health status (HS). HS refers to objectively perceived physical, psychological, and social functioning. We concur with the WHOQOL (World Health Organization Quality Of Life) group’s definition of QoL. They stated that QoL refers to a patient’s experiences, beliefs, expectations, and perceptions regarding physical, psychological, and social functioning. In assessing QoL, change is measured subjectively and can only be determined by the individual since it concerns patients’ evaluation of their functioning.12\nPROMS could help physicians in the treatment selection, although revascularization is still considered as cornerstone of the treatment.13,14 However, 50% of the elderly CLI patients are deemed unfit or have unsuitable anatomical lesions for endovascular or surgical procedures.13 Concerning the novel concept of “do no further harm”, conservative treatment may be an option in these elderly CLI patients. To give this treatment option a chance in the therapy schedule of elderly CLI patients, it is important to know the subjectively measured QoL of these patients compared to the objectively measured HS. The goal of this study was to examine and compare QoL (WHOQoL-Bref) in relation to HS (SF-12) in elderly patients suffering from CLI in relation to therapy and especially conservative treatment.", " Patient selection The methods of this study were published previously.15 In summary, patients suffering from CLI classified as Rutherford 4–6 and ≥70 years old were included in two hospitals (Amphia hospital and Bravis hospital, The Netherlands) between January 2012 and February 2016 in a prospective observational cohort study database. No ethical approval was necessary because treatment selection was based on standard protocol without experimental treatments. Only the follow-up and questionnaires were added to the treatment, and informed consent was obtained and signed before the treatment started. This statement was approved by the medical ethical committee of the Amphia hospital.\nThe methods of this study were published previously.15 In summary, patients suffering from CLI classified as Rutherford 4–6 and ≥70 years old were included in two hospitals (Amphia hospital and Bravis hospital, The Netherlands) between January 2012 and February 2016 in a prospective observational cohort study database. No ethical approval was necessary because treatment selection was based on standard protocol without experimental treatments. Only the follow-up and questionnaires were added to the treatment, and informed consent was obtained and signed before the treatment started. This statement was approved by the medical ethical committee of the Amphia hospital.\n Treatment selection Vascular surgeons and certified interventionists determined treatment of choice in a multidisciplinary vascular conference. Patients were divided patients into three groups according to the used primary treatment (endovascular revascularization, surgical revascularization, and conservative therapy). Conservative treatment (non-revascularization therapy) consisted of intensive wound care, pain control with optimal pharmacological treatment, antibiotics if the infection was suspected, and minor amputations, defined as amputation below the ankle if necessary.16\nVascular surgeons and certified interventionists determined treatment of choice in a multidisciplinary vascular conference. Patients were divided patients into three groups according to the used primary treatment (endovascular revascularization, surgical revascularization, and conservative therapy). Conservative treatment (non-revascularization therapy) consisted of intensive wound care, pain control with optimal pharmacological treatment, antibiotics if the infection was suspected, and minor amputations, defined as amputation below the ankle if necessary.16\n Quality of life QoL was measured using the WHOQOL-Bref questionnaire. This questionnaire was chosen because it could be used in the whole population and correspond with the subjective character of QoL.12 It contains 26 items with a 5-point Likert type response scale, divided into four domains (physical health, psychological health, social relationships, environment) and a general QoL facet.17 The physical and psychological domain were analyzed in this study (13 items), and scores in each domain are ranged between 4 and 20. The physical health domain concentrates on questions about energy, sleep, pain, and mobility. Psychological health contains questions about positive and negative feelings, body image, and self-esteem.\nQoL was measured using the WHOQOL-Bref questionnaire. This questionnaire was chosen because it could be used in the whole population and correspond with the subjective character of QoL.12 It contains 26 items with a 5-point Likert type response scale, divided into four domains (physical health, psychological health, social relationships, environment) and a general QoL facet.17 The physical and psychological domain were analyzed in this study (13 items), and scores in each domain are ranged between 4 and 20. The physical health domain concentrates on questions about energy, sleep, pain, and mobility. Psychological health contains questions about positive and negative feelings, body image, and self-esteem.\n Health status The 12-Item Short Form Health Survey (SF-12) was used to determine HS.18 The SF-12 is the short version of the SF-36, used in the general population to assess HS, and each domain is scored in a range between 0 and 100. The SF-12 questionnaire consists of 12 questions that provided information about physical and mental functioning.\nThe 12-Item Short Form Health Survey (SF-12) was used to determine HS.18 The SF-12 is the short version of the SF-36, used in the general population to assess HS, and each domain is scored in a range between 0 and 100. The SF-12 questionnaire consists of 12 questions that provided information about physical and mental functioning.\n Follow-up Follow-up was performed at 1 week, 6 weeks, 6 months, and 1 year after the initial therapy. The questionnaires were completed either in the outpatient clinic or by telephone interview.\nFollow-up was performed at 1 week, 6 weeks, 6 months, and 1 year after the initial therapy. The questionnaires were completed either in the outpatient clinic or by telephone interview.\n Statistics Statistical analyses were performed by using IBM SPSS 22.0. Analysis of variance was used to compare the three groups. Linear mixed models were performed with five time points to examine the outcome differences between baseline and postoperative QoL and HS between the three included treatment groups. The advantage of these methods was that cases with missing values could be included and time effects could be modeled with greater flexibility. Variables such as treatment modality, time of follow-up, and the interaction between these two variables were examined. Significance was evaluated at P<0.05 after we adjusted for multiple testing based on the false discovery rate procedure.19 Pearson correlations were calculated between QoL scores and HS scores at baseline. Common variance of the two questionnaires was determined using the scores of the Pearson correlation.\nStatistical analyses were performed by using IBM SPSS 22.0. Analysis of variance was used to compare the three groups. Linear mixed models were performed with five time points to examine the outcome differences between baseline and postoperative QoL and HS between the three included treatment groups. The advantage of these methods was that cases with missing values could be included and time effects could be modeled with greater flexibility. Variables such as treatment modality, time of follow-up, and the interaction between these two variables were examined. Significance was evaluated at P<0.05 after we adjusted for multiple testing based on the false discovery rate procedure.19 Pearson correlations were calculated between QoL scores and HS scores at baseline. Common variance of the two questionnaires was determined using the scores of the Pearson correlation.", "The methods of this study were published previously.15 In summary, patients suffering from CLI classified as Rutherford 4–6 and ≥70 years old were included in two hospitals (Amphia hospital and Bravis hospital, The Netherlands) between January 2012 and February 2016 in a prospective observational cohort study database. No ethical approval was necessary because treatment selection was based on standard protocol without experimental treatments. Only the follow-up and questionnaires were added to the treatment, and informed consent was obtained and signed before the treatment started. This statement was approved by the medical ethical committee of the Amphia hospital.", "Vascular surgeons and certified interventionists determined treatment of choice in a multidisciplinary vascular conference. Patients were divided patients into three groups according to the used primary treatment (endovascular revascularization, surgical revascularization, and conservative therapy). Conservative treatment (non-revascularization therapy) consisted of intensive wound care, pain control with optimal pharmacological treatment, antibiotics if the infection was suspected, and minor amputations, defined as amputation below the ankle if necessary.16", "QoL was measured using the WHOQOL-Bref questionnaire. This questionnaire was chosen because it could be used in the whole population and correspond with the subjective character of QoL.12 It contains 26 items with a 5-point Likert type response scale, divided into four domains (physical health, psychological health, social relationships, environment) and a general QoL facet.17 The physical and psychological domain were analyzed in this study (13 items), and scores in each domain are ranged between 4 and 20. The physical health domain concentrates on questions about energy, sleep, pain, and mobility. Psychological health contains questions about positive and negative feelings, body image, and self-esteem.", "The 12-Item Short Form Health Survey (SF-12) was used to determine HS.18 The SF-12 is the short version of the SF-36, used in the general population to assess HS, and each domain is scored in a range between 0 and 100. The SF-12 questionnaire consists of 12 questions that provided information about physical and mental functioning.", "Follow-up was performed at 1 week, 6 weeks, 6 months, and 1 year after the initial therapy. The questionnaires were completed either in the outpatient clinic or by telephone interview.", "Statistical analyses were performed by using IBM SPSS 22.0. Analysis of variance was used to compare the three groups. Linear mixed models were performed with five time points to examine the outcome differences between baseline and postoperative QoL and HS between the three included treatment groups. The advantage of these methods was that cases with missing values could be included and time effects could be modeled with greater flexibility. Variables such as treatment modality, time of follow-up, and the interaction between these two variables were examined. Significance was evaluated at P<0.05 after we adjusted for multiple testing based on the false discovery rate procedure.19 Pearson correlations were calculated between QoL scores and HS scores at baseline. Common variance of the two questionnaires was determined using the scores of the Pearson correlation.", "\nA total of 387 patients aged >70 were diagnosed with CLI in the inclusion period. One hundred and ninety-five patients (50%) were included in this study. The other 192 patients were excluded because of a primary amputation, recently diagnoses malignancy, inadequate understanding of the Dutch language, cognitive impairment or rejection to contribute in the study. Patients were divided into three treatment groups; endovascular revascularization (n=82), surgical revascularization (n=67), and conservative treatment (n=46). Baseline characteristics are presented in Table 1.Table 1Baseline characteristicsEndovascular (n=82)Surgical (n=67)Conservative (n=46)Sex (male)45 (55)44 (66)21 (46)Age (median) (IQR)81 (10)76 (8)83 (9) *,#Rutherford 422 (27)36 (54)6 (13) *,#Rutherford 5/660 (73)31 (46)40 (87)ComorbidityPulmonary comorbidity54 (68)28 (42)26 (58) *Cardiac comorbidity62 (76)36 (54)36 (78) *,#Neurologic comorbidity23 (28)19 (28)21 (46) ^Arthritis21 (26)17 (25)20 (44) ^,#Vascular risk factorsHypertension62 (76)39 (58)29 (64)*Diabetes49 (60)22 (33)23 (50)*Renal impairment55 (67)23 (34)33 (72)*,#Current smoking15 (19)23 (34)7 (16)*,#Notes: Data are presented as n and (%), unless otherwise specified. Pulmonary comorbidity: asthma/chronic obstructive pulmonary disease. Cardiac comorbidity: angina/myocardial infarction/heart failure/arrhythmias. Neurologic comorbidity: transient ischemic attack/cerebrovascular accident. *Significant difference between endovascular and surgical treated patients (P<0.05). ^Significant difference between endovascular and conservative treated patients (P<0.05). #Significant difference between surgical and conservative treated patients (P<0.05).Abbreviation: IQR, interquartile range.\n\nBaseline characteristics\nNotes: Data are presented as n and (%), unless otherwise specified. Pulmonary comorbidity: asthma/chronic obstructive pulmonary disease. Cardiac comorbidity: angina/myocardial infarction/heart failure/arrhythmias. Neurologic comorbidity: transient ischemic attack/cerebrovascular accident. *Significant difference between endovascular and surgical treated patients (P<0.05). ^Significant difference between endovascular and conservative treated patients (P<0.05). #Significant difference between surgical and conservative treated patients (P<0.05).\nAbbreviation: IQR, interquartile range.\n Physical domain Pearson correlation was used to measure the correlation between physical QoL domain and physical HS domain and shows a moderate correlation of 0.66 with a common variance of 45%. Table 2 presents the QoL and HS scores of the physical domain. There was an immediate significant improvement of physical QoL in patients undergoing endovascular and surgical treatment at 5–7 days (P<0.001) that persisted during the first year of follow-up. This effect occurred in the physical HS domain at 6 weeks in surgically treated patients (P<0.001) and at 6 months in endovascularly treated patients (P<0.001). Conservatively treated patients reported a significant improved physical QoL at 6 months (P=0.02) and 1 year (P=0.02). However, physical HS showed no significant improvement in the first year of follow-up in conservatively treated patients.Table 2WHOQoL-Bref vs SF12 according to received treatmentEndovascular (n=82)Surgical (n=67)Conservative (n=46)Physical QoL domainBaseline10.9 (2.9)10.4 (2.5)11.6 (2.9)5–7 days11.9 (3.1)*12.1 (2.6)*12.1 (2.7)6 weeks12.4 (3.3)**13.5 (3.0)**11.8 (3.1)6 months13.6 (3.1)***14.5 (2.2)***13.2 (2.6)***1 year13.7 (2.8) ****14.9 (2.5) ****13.2 (2.9) ****Physical HS domainBaseline28.9 (9.3)28.0 (6.7)30.2 (10.3)5–7 days29.2 (9.8)28.9 (7.3)28.7 (8.8)6 weeks31.5 (10.3)34.2 (9.2) **28.3 (8.8)6 months35.4 (9.8) ***38.0 (9.4) ***30.9 (8.0)1 year35.3 (10.8) ****37.3 (9.6) ****31.4 (9.3)Psychological QoL domainBaseline14.2 (2.5)14.0 (2.4)14.1 (2.5)5–7 days14.6 (1.9)14.7 (2.2)*14.5 (1.6)6 weeks14.7 (2.1)14.8 (2.2)**14.1 (2.3)6 months14.7 (1.8)15.2 (1.9)***14.5 (1.8)1 year14.8 (2.1)15.3 (1.9) ****14.0 (2.3)Psychological HS domainBaseline37.0 (11.7)36.1 (10.3)40.1 (11.2)5–7 days40.2 (8.3)40.5 (9.0) *40.5 (7.8)6 weeks39.6 (9.7)42.0 (7.4) **40.6 (7.5)6 months42.4 (7.3) ***44.1 (7.6) ***37.6 (7.3)1 year42.5 (8.7)43.9 (7.7) ****39.5 (10.5)Notes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.Abbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12).\n\nWHOQoL-Bref vs SF12 according to received treatment\nNotes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.\nAbbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12).\nPearson correlation was used to measure the correlation between physical QoL domain and physical HS domain and shows a moderate correlation of 0.66 with a common variance of 45%. Table 2 presents the QoL and HS scores of the physical domain. There was an immediate significant improvement of physical QoL in patients undergoing endovascular and surgical treatment at 5–7 days (P<0.001) that persisted during the first year of follow-up. This effect occurred in the physical HS domain at 6 weeks in surgically treated patients (P<0.001) and at 6 months in endovascularly treated patients (P<0.001). Conservatively treated patients reported a significant improved physical QoL at 6 months (P=0.02) and 1 year (P=0.02). However, physical HS showed no significant improvement in the first year of follow-up in conservatively treated patients.Table 2WHOQoL-Bref vs SF12 according to received treatmentEndovascular (n=82)Surgical (n=67)Conservative (n=46)Physical QoL domainBaseline10.9 (2.9)10.4 (2.5)11.6 (2.9)5–7 days11.9 (3.1)*12.1 (2.6)*12.1 (2.7)6 weeks12.4 (3.3)**13.5 (3.0)**11.8 (3.1)6 months13.6 (3.1)***14.5 (2.2)***13.2 (2.6)***1 year13.7 (2.8) ****14.9 (2.5) ****13.2 (2.9) ****Physical HS domainBaseline28.9 (9.3)28.0 (6.7)30.2 (10.3)5–7 days29.2 (9.8)28.9 (7.3)28.7 (8.8)6 weeks31.5 (10.3)34.2 (9.2) **28.3 (8.8)6 months35.4 (9.8) ***38.0 (9.4) ***30.9 (8.0)1 year35.3 (10.8) ****37.3 (9.6) ****31.4 (9.3)Psychological QoL domainBaseline14.2 (2.5)14.0 (2.4)14.1 (2.5)5–7 days14.6 (1.9)14.7 (2.2)*14.5 (1.6)6 weeks14.7 (2.1)14.8 (2.2)**14.1 (2.3)6 months14.7 (1.8)15.2 (1.9)***14.5 (1.8)1 year14.8 (2.1)15.3 (1.9) ****14.0 (2.3)Psychological HS domainBaseline37.0 (11.7)36.1 (10.3)40.1 (11.2)5–7 days40.2 (8.3)40.5 (9.0) *40.5 (7.8)6 weeks39.6 (9.7)42.0 (7.4) **40.6 (7.5)6 months42.4 (7.3) ***44.1 (7.6) ***37.6 (7.3)1 year42.5 (8.7)43.9 (7.7) ****39.5 (10.5)Notes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.Abbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12).\n\nWHOQoL-Bref vs SF12 according to received treatment\nNotes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.\nAbbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12).\n Psychological domain Psychological QoL and psychological HS showed a moderate correlation of 0.58 with a common variance of 34%. Psychological QoL and HS scores are presented in Table 2. Surgically treated patients reported an immediate, significant improvement in both psychological QoL and psychological HS. Endovascularly treated patients showed no significant improvement in the psychological QoL domain. In contrast, a significant improvement was found in the psychological HS domain at 6 months (P=0.02), but this significant difference did not maintain at 1 year (P=0.07). Conservatively treated patients showed no significant improvement in QoL or HS regarding the psychological domain.\nPsychological QoL and psychological HS showed a moderate correlation of 0.58 with a common variance of 34%. Psychological QoL and HS scores are presented in Table 2. Surgically treated patients reported an immediate, significant improvement in both psychological QoL and psychological HS. Endovascularly treated patients showed no significant improvement in the psychological QoL domain. In contrast, a significant improvement was found in the psychological HS domain at 6 months (P=0.02), but this significant difference did not maintain at 1 year (P=0.07). Conservatively treated patients showed no significant improvement in QoL or HS regarding the psychological domain.", "Pearson correlation was used to measure the correlation between physical QoL domain and physical HS domain and shows a moderate correlation of 0.66 with a common variance of 45%. Table 2 presents the QoL and HS scores of the physical domain. There was an immediate significant improvement of physical QoL in patients undergoing endovascular and surgical treatment at 5–7 days (P<0.001) that persisted during the first year of follow-up. This effect occurred in the physical HS domain at 6 weeks in surgically treated patients (P<0.001) and at 6 months in endovascularly treated patients (P<0.001). Conservatively treated patients reported a significant improved physical QoL at 6 months (P=0.02) and 1 year (P=0.02). However, physical HS showed no significant improvement in the first year of follow-up in conservatively treated patients.Table 2WHOQoL-Bref vs SF12 according to received treatmentEndovascular (n=82)Surgical (n=67)Conservative (n=46)Physical QoL domainBaseline10.9 (2.9)10.4 (2.5)11.6 (2.9)5–7 days11.9 (3.1)*12.1 (2.6)*12.1 (2.7)6 weeks12.4 (3.3)**13.5 (3.0)**11.8 (3.1)6 months13.6 (3.1)***14.5 (2.2)***13.2 (2.6)***1 year13.7 (2.8) ****14.9 (2.5) ****13.2 (2.9) ****Physical HS domainBaseline28.9 (9.3)28.0 (6.7)30.2 (10.3)5–7 days29.2 (9.8)28.9 (7.3)28.7 (8.8)6 weeks31.5 (10.3)34.2 (9.2) **28.3 (8.8)6 months35.4 (9.8) ***38.0 (9.4) ***30.9 (8.0)1 year35.3 (10.8) ****37.3 (9.6) ****31.4 (9.3)Psychological QoL domainBaseline14.2 (2.5)14.0 (2.4)14.1 (2.5)5–7 days14.6 (1.9)14.7 (2.2)*14.5 (1.6)6 weeks14.7 (2.1)14.8 (2.2)**14.1 (2.3)6 months14.7 (1.8)15.2 (1.9)***14.5 (1.8)1 year14.8 (2.1)15.3 (1.9) ****14.0 (2.3)Psychological HS domainBaseline37.0 (11.7)36.1 (10.3)40.1 (11.2)5–7 days40.2 (8.3)40.5 (9.0) *40.5 (7.8)6 weeks39.6 (9.7)42.0 (7.4) **40.6 (7.5)6 months42.4 (7.3) ***44.1 (7.6) ***37.6 (7.3)1 year42.5 (8.7)43.9 (7.7) ****39.5 (10.5)Notes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.Abbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12).\n\nWHOQoL-Bref vs SF12 according to received treatment\nNotes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.\nAbbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12).", "Psychological QoL and psychological HS showed a moderate correlation of 0.58 with a common variance of 34%. Psychological QoL and HS scores are presented in Table 2. Surgically treated patients reported an immediate, significant improvement in both psychological QoL and psychological HS. Endovascularly treated patients showed no significant improvement in the psychological QoL domain. In contrast, a significant improvement was found in the psychological HS domain at 6 months (P=0.02), but this significant difference did not maintain at 1 year (P=0.07). Conservatively treated patients showed no significant improvement in QoL or HS regarding the psychological domain.", "The goal of this study was to examine and compare QoL and HS in elderly CLI patients in relation to received treatment and especially conservative treatment. According to our results, important difference is present between subjectively measured QoL and objectively measured HS. This difference is especially important in the interpretation of the results of conservatively treated patients. Conservative treatment significantly improves subjectively measured physical QoL, but did not significantly improve objectively measured physical HS. It is important to guide clinical decision-making on the subjective appraisal of health, especially in elderly patients.\nPrevious research conducted by Breek et al, demonstrated different outcomes across multiple domains for patients suffering from intermittent claudication by comparing the WHOQoL-100 and RAND 36-items health survey.9 This difference was explained by the subjective character of the QoL concept in contrast to the objective character of the HS concept.9,10 QoL focusses on the patient’s experiences, beliefs, expectations, and perceptions and subjectively measures patient’s well-being, while HS objectively assesses physical, mental and social functioning. Some differences between similar questions in the SF-12 and WHOQoL-Bref are presented in Table 3 and this contrast could also be explained using the example of elderly patients using the stairs. While it is true that not all elderly patients are able to use stairs, many of these patients have no desire to use stairs as it is no longer a necessity within their life. The SF-12 asks if patients are impaired when walking up stairs and thus, these patients will record a low HS score for this question, despite the fact that they do not consider this impairment to be of significant burden with regard to their mobility or pain. The interpretation by the researcher of this functioning as indicating low HS can lead to a disparity in outcome rates and, therefore, suggests subjective QoL outcome measures to be more appropriate, especially regarding frail, elderly patients.Table 3Questions asked in the questionnairesDomainWHO-QoL BrefSF-12PhysicalHow satisfied are you with your ability to perform your daily living activities?Are you now limited in moderate activities, such as moving a table, pushing a vacuum cleaner, bowling, or playing golf? Does your health now limit you a lot, limit you a little or not limit you at all?PhysicalTo what extent do you feel that physical pain prevents you from doing what you need to do?During the past four weeks, how much did pain interfere with your normal work including both outside the home and housework?PsychologicalHow much do you enjoy life?How much of the time during the past four weeks did you have a lot of energy?\n\nQuestions asked in the questionnaires\nPain and impaired mobility are the main symptoms of CLI and are captured in the physical domains of QoL and HS. Therefore, the physical domain may be considered the most important domain to focus on the treatment of CLI patients.14 It was in this domain that a striking difference between QoL and HS emerged. Physical QoL exhibited an immediate and significant improvement following endovascular or surgical revascularization, in contrast to the delayed significant improvement in physical HS, observed at 6 months. Conservative treatment or primary amputation are accepted treatment modalities in patients with poor pre-operative living status, and extensive comorbidities.1,4,8,14,15,20 Due to a significantly reduced life expectancy, increase in subjectively measures QoL is an important parameter for frail elderly patients in the last phase of their life and transcend traditional outcome measurements such as mortality and patency.3 Substantial differences between QoL and HS were observed in conservatively treated patients as these patients did not exhibit a significant increase in their physical HS, although their physical QoL had significantly improved at 6 months and 1 year. Possible explanations for the gained subjective physical functioning of conservatively treated patients could be the effectiveness of pain medication and the hypothesis that elderly patients learn to cope with their limitations in physical functioning in the long term. This result is of major clinical importance, because this result indicates that conservative treatment is an acceptable treatment for selected CLI patients from their point of view. Whereas conservative treatment seems to be a poor treatment option when only focusing on objective physical functioning (HS) and not on patients’ subjective evaluation of their functioning (QoL).\nElderly patients are a challenging group to collect PROMS because of the high rate of non-responders, mortality during follow-up and potential difficulty with reading.21 Lost to follow-up was reduced by cooperation of a dedicated study coordinator, possibility of telephonically follow-up and use of shortened questionnaires such as WHOQoL-Bref and SF-12. Use of online questionnaires could potentially improve response rates because of an increasing access to the Internet among elderly patients. However, this could also be questioned because of possible browser incompatibility or visual impairment and generalizability among elderly patients is hard. It seems to be worthwhile to offer patients the option to participate using online surveys to potentially reduce lost to follow-up.22\nThe current study has some limitations. Patients were not randomized between the three treatment groups because it is considered unethical to include conservative therapy in randomized controlled trials. However, this prospective study gives a clear view of the differences between HS and QoL in the treatments used for CLI patients in the current clinical practice. These results should be combined with the traditional outcome rates to select the optimal treatment, because of the known high mortality (19–49%) and limb salvage rates (74–85%) in elderly CLI patients.3,16,23 Also, wound healing in Rutherford five-sixths patients could potentially influence QoL. It would be interesting to investigate if wound closure effect QoL in conservatively treated patients in upcoming research. Due to the use of these shortened questionnaires, only the physical and psychological domains of QoL and HS could be compared. However, physical health is the most important domain for patients suffering CLI, because of ischemic pain and loss of mobility, and is therefore critical to compare across HS and QoL.14", "Changes in functioning are measured subjectively in QoL and objectively in HS. This study demonstrates that QoL and HS are indeed not identical concepts and that differentiating between the two concepts could influence the treatment options in elderly CLI patients.\nDiscriminating between QoL and HS is, therefore, of major importance for clinical practice, especially to achieve shared decision-making." ]
[ "intro", null, null, null, null, null, null, null, null, null, null, null, null ]
[ "critical limb ischemia", "elderly", "quality of life", "health status" ]
Introduction: Treatment outcome rates in critical limb ischemia (CLI) patients traditionally focus on primary patency, limb salvage, and mortality.1 Reports on patient-reported outcome measures (PROMS) appear to be an important primary endpoint in addition to traditional outcome results. Especially in elderly patients with limited life expectancy, these PROMS offer important information regarding the success of treatment from a patient’s perspective and could help in shared decision-making.2,3 Functional status is used as a PROMS to assess patient’s daily activities and their level of physical autonomy.4–8 The major disadvantage of functional status is that solely patient’s daily activities and their autonomy level are assessed, without taking patients satisfaction with functioning into account. Another PROMS is quality of life (QoL), a term that is used confusingly in the current literature.9–11 It is often interchangeably used with the term health status (HS). HS refers to objectively perceived physical, psychological, and social functioning. We concur with the WHOQOL (World Health Organization Quality Of Life) group’s definition of QoL. They stated that QoL refers to a patient’s experiences, beliefs, expectations, and perceptions regarding physical, psychological, and social functioning. In assessing QoL, change is measured subjectively and can only be determined by the individual since it concerns patients’ evaluation of their functioning.12 PROMS could help physicians in the treatment selection, although revascularization is still considered as cornerstone of the treatment.13,14 However, 50% of the elderly CLI patients are deemed unfit or have unsuitable anatomical lesions for endovascular or surgical procedures.13 Concerning the novel concept of “do no further harm”, conservative treatment may be an option in these elderly CLI patients. To give this treatment option a chance in the therapy schedule of elderly CLI patients, it is important to know the subjectively measured QoL of these patients compared to the objectively measured HS. The goal of this study was to examine and compare QoL (WHOQoL-Bref) in relation to HS (SF-12) in elderly patients suffering from CLI in relation to therapy and especially conservative treatment. Methods: Patient selection The methods of this study were published previously.15 In summary, patients suffering from CLI classified as Rutherford 4–6 and ≥70 years old were included in two hospitals (Amphia hospital and Bravis hospital, The Netherlands) between January 2012 and February 2016 in a prospective observational cohort study database. No ethical approval was necessary because treatment selection was based on standard protocol without experimental treatments. Only the follow-up and questionnaires were added to the treatment, and informed consent was obtained and signed before the treatment started. This statement was approved by the medical ethical committee of the Amphia hospital. The methods of this study were published previously.15 In summary, patients suffering from CLI classified as Rutherford 4–6 and ≥70 years old were included in two hospitals (Amphia hospital and Bravis hospital, The Netherlands) between January 2012 and February 2016 in a prospective observational cohort study database. No ethical approval was necessary because treatment selection was based on standard protocol without experimental treatments. Only the follow-up and questionnaires were added to the treatment, and informed consent was obtained and signed before the treatment started. This statement was approved by the medical ethical committee of the Amphia hospital. Treatment selection Vascular surgeons and certified interventionists determined treatment of choice in a multidisciplinary vascular conference. Patients were divided patients into three groups according to the used primary treatment (endovascular revascularization, surgical revascularization, and conservative therapy). Conservative treatment (non-revascularization therapy) consisted of intensive wound care, pain control with optimal pharmacological treatment, antibiotics if the infection was suspected, and minor amputations, defined as amputation below the ankle if necessary.16 Vascular surgeons and certified interventionists determined treatment of choice in a multidisciplinary vascular conference. Patients were divided patients into three groups according to the used primary treatment (endovascular revascularization, surgical revascularization, and conservative therapy). Conservative treatment (non-revascularization therapy) consisted of intensive wound care, pain control with optimal pharmacological treatment, antibiotics if the infection was suspected, and minor amputations, defined as amputation below the ankle if necessary.16 Quality of life QoL was measured using the WHOQOL-Bref questionnaire. This questionnaire was chosen because it could be used in the whole population and correspond with the subjective character of QoL.12 It contains 26 items with a 5-point Likert type response scale, divided into four domains (physical health, psychological health, social relationships, environment) and a general QoL facet.17 The physical and psychological domain were analyzed in this study (13 items), and scores in each domain are ranged between 4 and 20. The physical health domain concentrates on questions about energy, sleep, pain, and mobility. Psychological health contains questions about positive and negative feelings, body image, and self-esteem. QoL was measured using the WHOQOL-Bref questionnaire. This questionnaire was chosen because it could be used in the whole population and correspond with the subjective character of QoL.12 It contains 26 items with a 5-point Likert type response scale, divided into four domains (physical health, psychological health, social relationships, environment) and a general QoL facet.17 The physical and psychological domain were analyzed in this study (13 items), and scores in each domain are ranged between 4 and 20. The physical health domain concentrates on questions about energy, sleep, pain, and mobility. Psychological health contains questions about positive and negative feelings, body image, and self-esteem. Health status The 12-Item Short Form Health Survey (SF-12) was used to determine HS.18 The SF-12 is the short version of the SF-36, used in the general population to assess HS, and each domain is scored in a range between 0 and 100. The SF-12 questionnaire consists of 12 questions that provided information about physical and mental functioning. The 12-Item Short Form Health Survey (SF-12) was used to determine HS.18 The SF-12 is the short version of the SF-36, used in the general population to assess HS, and each domain is scored in a range between 0 and 100. The SF-12 questionnaire consists of 12 questions that provided information about physical and mental functioning. Follow-up Follow-up was performed at 1 week, 6 weeks, 6 months, and 1 year after the initial therapy. The questionnaires were completed either in the outpatient clinic or by telephone interview. Follow-up was performed at 1 week, 6 weeks, 6 months, and 1 year after the initial therapy. The questionnaires were completed either in the outpatient clinic or by telephone interview. Statistics Statistical analyses were performed by using IBM SPSS 22.0. Analysis of variance was used to compare the three groups. Linear mixed models were performed with five time points to examine the outcome differences between baseline and postoperative QoL and HS between the three included treatment groups. The advantage of these methods was that cases with missing values could be included and time effects could be modeled with greater flexibility. Variables such as treatment modality, time of follow-up, and the interaction between these two variables were examined. Significance was evaluated at P<0.05 after we adjusted for multiple testing based on the false discovery rate procedure.19 Pearson correlations were calculated between QoL scores and HS scores at baseline. Common variance of the two questionnaires was determined using the scores of the Pearson correlation. Statistical analyses were performed by using IBM SPSS 22.0. Analysis of variance was used to compare the three groups. Linear mixed models were performed with five time points to examine the outcome differences between baseline and postoperative QoL and HS between the three included treatment groups. The advantage of these methods was that cases with missing values could be included and time effects could be modeled with greater flexibility. Variables such as treatment modality, time of follow-up, and the interaction between these two variables were examined. Significance was evaluated at P<0.05 after we adjusted for multiple testing based on the false discovery rate procedure.19 Pearson correlations were calculated between QoL scores and HS scores at baseline. Common variance of the two questionnaires was determined using the scores of the Pearson correlation. Patient selection: The methods of this study were published previously.15 In summary, patients suffering from CLI classified as Rutherford 4–6 and ≥70 years old were included in two hospitals (Amphia hospital and Bravis hospital, The Netherlands) between January 2012 and February 2016 in a prospective observational cohort study database. No ethical approval was necessary because treatment selection was based on standard protocol without experimental treatments. Only the follow-up and questionnaires were added to the treatment, and informed consent was obtained and signed before the treatment started. This statement was approved by the medical ethical committee of the Amphia hospital. Treatment selection: Vascular surgeons and certified interventionists determined treatment of choice in a multidisciplinary vascular conference. Patients were divided patients into three groups according to the used primary treatment (endovascular revascularization, surgical revascularization, and conservative therapy). Conservative treatment (non-revascularization therapy) consisted of intensive wound care, pain control with optimal pharmacological treatment, antibiotics if the infection was suspected, and minor amputations, defined as amputation below the ankle if necessary.16 Quality of life: QoL was measured using the WHOQOL-Bref questionnaire. This questionnaire was chosen because it could be used in the whole population and correspond with the subjective character of QoL.12 It contains 26 items with a 5-point Likert type response scale, divided into four domains (physical health, psychological health, social relationships, environment) and a general QoL facet.17 The physical and psychological domain were analyzed in this study (13 items), and scores in each domain are ranged between 4 and 20. The physical health domain concentrates on questions about energy, sleep, pain, and mobility. Psychological health contains questions about positive and negative feelings, body image, and self-esteem. Health status: The 12-Item Short Form Health Survey (SF-12) was used to determine HS.18 The SF-12 is the short version of the SF-36, used in the general population to assess HS, and each domain is scored in a range between 0 and 100. The SF-12 questionnaire consists of 12 questions that provided information about physical and mental functioning. Follow-up: Follow-up was performed at 1 week, 6 weeks, 6 months, and 1 year after the initial therapy. The questionnaires were completed either in the outpatient clinic or by telephone interview. Statistics: Statistical analyses were performed by using IBM SPSS 22.0. Analysis of variance was used to compare the three groups. Linear mixed models were performed with five time points to examine the outcome differences between baseline and postoperative QoL and HS between the three included treatment groups. The advantage of these methods was that cases with missing values could be included and time effects could be modeled with greater flexibility. Variables such as treatment modality, time of follow-up, and the interaction between these two variables were examined. Significance was evaluated at P<0.05 after we adjusted for multiple testing based on the false discovery rate procedure.19 Pearson correlations were calculated between QoL scores and HS scores at baseline. Common variance of the two questionnaires was determined using the scores of the Pearson correlation. Results: A total of 387 patients aged >70 were diagnosed with CLI in the inclusion period. One hundred and ninety-five patients (50%) were included in this study. The other 192 patients were excluded because of a primary amputation, recently diagnoses malignancy, inadequate understanding of the Dutch language, cognitive impairment or rejection to contribute in the study. Patients were divided into three treatment groups; endovascular revascularization (n=82), surgical revascularization (n=67), and conservative treatment (n=46). Baseline characteristics are presented in Table 1.Table 1Baseline characteristicsEndovascular (n=82)Surgical (n=67)Conservative (n=46)Sex (male)45 (55)44 (66)21 (46)Age (median) (IQR)81 (10)76 (8)83 (9) *,#Rutherford 422 (27)36 (54)6 (13) *,#Rutherford 5/660 (73)31 (46)40 (87)ComorbidityPulmonary comorbidity54 (68)28 (42)26 (58) *Cardiac comorbidity62 (76)36 (54)36 (78) *,#Neurologic comorbidity23 (28)19 (28)21 (46) ^Arthritis21 (26)17 (25)20 (44) ^,#Vascular risk factorsHypertension62 (76)39 (58)29 (64)*Diabetes49 (60)22 (33)23 (50)*Renal impairment55 (67)23 (34)33 (72)*,#Current smoking15 (19)23 (34)7 (16)*,#Notes: Data are presented as n and (%), unless otherwise specified. Pulmonary comorbidity: asthma/chronic obstructive pulmonary disease. Cardiac comorbidity: angina/myocardial infarction/heart failure/arrhythmias. Neurologic comorbidity: transient ischemic attack/cerebrovascular accident. *Significant difference between endovascular and surgical treated patients (P<0.05). ^Significant difference between endovascular and conservative treated patients (P<0.05). #Significant difference between surgical and conservative treated patients (P<0.05).Abbreviation: IQR, interquartile range. Baseline characteristics Notes: Data are presented as n and (%), unless otherwise specified. Pulmonary comorbidity: asthma/chronic obstructive pulmonary disease. Cardiac comorbidity: angina/myocardial infarction/heart failure/arrhythmias. Neurologic comorbidity: transient ischemic attack/cerebrovascular accident. *Significant difference between endovascular and surgical treated patients (P<0.05). ^Significant difference between endovascular and conservative treated patients (P<0.05). #Significant difference between surgical and conservative treated patients (P<0.05). Abbreviation: IQR, interquartile range. Physical domain Pearson correlation was used to measure the correlation between physical QoL domain and physical HS domain and shows a moderate correlation of 0.66 with a common variance of 45%. Table 2 presents the QoL and HS scores of the physical domain. There was an immediate significant improvement of physical QoL in patients undergoing endovascular and surgical treatment at 5–7 days (P<0.001) that persisted during the first year of follow-up. This effect occurred in the physical HS domain at 6 weeks in surgically treated patients (P<0.001) and at 6 months in endovascularly treated patients (P<0.001). Conservatively treated patients reported a significant improved physical QoL at 6 months (P=0.02) and 1 year (P=0.02). However, physical HS showed no significant improvement in the first year of follow-up in conservatively treated patients.Table 2WHOQoL-Bref vs SF12 according to received treatmentEndovascular (n=82)Surgical (n=67)Conservative (n=46)Physical QoL domainBaseline10.9 (2.9)10.4 (2.5)11.6 (2.9)5–7 days11.9 (3.1)*12.1 (2.6)*12.1 (2.7)6 weeks12.4 (3.3)**13.5 (3.0)**11.8 (3.1)6 months13.6 (3.1)***14.5 (2.2)***13.2 (2.6)***1 year13.7 (2.8) ****14.9 (2.5) ****13.2 (2.9) ****Physical HS domainBaseline28.9 (9.3)28.0 (6.7)30.2 (10.3)5–7 days29.2 (9.8)28.9 (7.3)28.7 (8.8)6 weeks31.5 (10.3)34.2 (9.2) **28.3 (8.8)6 months35.4 (9.8) ***38.0 (9.4) ***30.9 (8.0)1 year35.3 (10.8) ****37.3 (9.6) ****31.4 (9.3)Psychological QoL domainBaseline14.2 (2.5)14.0 (2.4)14.1 (2.5)5–7 days14.6 (1.9)14.7 (2.2)*14.5 (1.6)6 weeks14.7 (2.1)14.8 (2.2)**14.1 (2.3)6 months14.7 (1.8)15.2 (1.9)***14.5 (1.8)1 year14.8 (2.1)15.3 (1.9) ****14.0 (2.3)Psychological HS domainBaseline37.0 (11.7)36.1 (10.3)40.1 (11.2)5–7 days40.2 (8.3)40.5 (9.0) *40.5 (7.8)6 weeks39.6 (9.7)42.0 (7.4) **40.6 (7.5)6 months42.4 (7.3) ***44.1 (7.6) ***37.6 (7.3)1 year42.5 (8.7)43.9 (7.7) ****39.5 (10.5)Notes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.Abbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12). WHOQoL-Bref vs SF12 according to received treatment Notes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values. Abbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12). Pearson correlation was used to measure the correlation between physical QoL domain and physical HS domain and shows a moderate correlation of 0.66 with a common variance of 45%. Table 2 presents the QoL and HS scores of the physical domain. There was an immediate significant improvement of physical QoL in patients undergoing endovascular and surgical treatment at 5–7 days (P<0.001) that persisted during the first year of follow-up. This effect occurred in the physical HS domain at 6 weeks in surgically treated patients (P<0.001) and at 6 months in endovascularly treated patients (P<0.001). Conservatively treated patients reported a significant improved physical QoL at 6 months (P=0.02) and 1 year (P=0.02). However, physical HS showed no significant improvement in the first year of follow-up in conservatively treated patients.Table 2WHOQoL-Bref vs SF12 according to received treatmentEndovascular (n=82)Surgical (n=67)Conservative (n=46)Physical QoL domainBaseline10.9 (2.9)10.4 (2.5)11.6 (2.9)5–7 days11.9 (3.1)*12.1 (2.6)*12.1 (2.7)6 weeks12.4 (3.3)**13.5 (3.0)**11.8 (3.1)6 months13.6 (3.1)***14.5 (2.2)***13.2 (2.6)***1 year13.7 (2.8) ****14.9 (2.5) ****13.2 (2.9) ****Physical HS domainBaseline28.9 (9.3)28.0 (6.7)30.2 (10.3)5–7 days29.2 (9.8)28.9 (7.3)28.7 (8.8)6 weeks31.5 (10.3)34.2 (9.2) **28.3 (8.8)6 months35.4 (9.8) ***38.0 (9.4) ***30.9 (8.0)1 year35.3 (10.8) ****37.3 (9.6) ****31.4 (9.3)Psychological QoL domainBaseline14.2 (2.5)14.0 (2.4)14.1 (2.5)5–7 days14.6 (1.9)14.7 (2.2)*14.5 (1.6)6 weeks14.7 (2.1)14.8 (2.2)**14.1 (2.3)6 months14.7 (1.8)15.2 (1.9)***14.5 (1.8)1 year14.8 (2.1)15.3 (1.9) ****14.0 (2.3)Psychological HS domainBaseline37.0 (11.7)36.1 (10.3)40.1 (11.2)5–7 days40.2 (8.3)40.5 (9.0) *40.5 (7.8)6 weeks39.6 (9.7)42.0 (7.4) **40.6 (7.5)6 months42.4 (7.3) ***44.1 (7.6) ***37.6 (7.3)1 year42.5 (8.7)43.9 (7.7) ****39.5 (10.5)Notes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.Abbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12). WHOQoL-Bref vs SF12 according to received treatment Notes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values. Abbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12). Psychological domain Psychological QoL and psychological HS showed a moderate correlation of 0.58 with a common variance of 34%. Psychological QoL and HS scores are presented in Table 2. Surgically treated patients reported an immediate, significant improvement in both psychological QoL and psychological HS. Endovascularly treated patients showed no significant improvement in the psychological QoL domain. In contrast, a significant improvement was found in the psychological HS domain at 6 months (P=0.02), but this significant difference did not maintain at 1 year (P=0.07). Conservatively treated patients showed no significant improvement in QoL or HS regarding the psychological domain. Psychological QoL and psychological HS showed a moderate correlation of 0.58 with a common variance of 34%. Psychological QoL and HS scores are presented in Table 2. Surgically treated patients reported an immediate, significant improvement in both psychological QoL and psychological HS. Endovascularly treated patients showed no significant improvement in the psychological QoL domain. In contrast, a significant improvement was found in the psychological HS domain at 6 months (P=0.02), but this significant difference did not maintain at 1 year (P=0.07). Conservatively treated patients showed no significant improvement in QoL or HS regarding the psychological domain. Physical domain: Pearson correlation was used to measure the correlation between physical QoL domain and physical HS domain and shows a moderate correlation of 0.66 with a common variance of 45%. Table 2 presents the QoL and HS scores of the physical domain. There was an immediate significant improvement of physical QoL in patients undergoing endovascular and surgical treatment at 5–7 days (P<0.001) that persisted during the first year of follow-up. This effect occurred in the physical HS domain at 6 weeks in surgically treated patients (P<0.001) and at 6 months in endovascularly treated patients (P<0.001). Conservatively treated patients reported a significant improved physical QoL at 6 months (P=0.02) and 1 year (P=0.02). However, physical HS showed no significant improvement in the first year of follow-up in conservatively treated patients.Table 2WHOQoL-Bref vs SF12 according to received treatmentEndovascular (n=82)Surgical (n=67)Conservative (n=46)Physical QoL domainBaseline10.9 (2.9)10.4 (2.5)11.6 (2.9)5–7 days11.9 (3.1)*12.1 (2.6)*12.1 (2.7)6 weeks12.4 (3.3)**13.5 (3.0)**11.8 (3.1)6 months13.6 (3.1)***14.5 (2.2)***13.2 (2.6)***1 year13.7 (2.8) ****14.9 (2.5) ****13.2 (2.9) ****Physical HS domainBaseline28.9 (9.3)28.0 (6.7)30.2 (10.3)5–7 days29.2 (9.8)28.9 (7.3)28.7 (8.8)6 weeks31.5 (10.3)34.2 (9.2) **28.3 (8.8)6 months35.4 (9.8) ***38.0 (9.4) ***30.9 (8.0)1 year35.3 (10.8) ****37.3 (9.6) ****31.4 (9.3)Psychological QoL domainBaseline14.2 (2.5)14.0 (2.4)14.1 (2.5)5–7 days14.6 (1.9)14.7 (2.2)*14.5 (1.6)6 weeks14.7 (2.1)14.8 (2.2)**14.1 (2.3)6 months14.7 (1.8)15.2 (1.9)***14.5 (1.8)1 year14.8 (2.1)15.3 (1.9) ****14.0 (2.3)Psychological HS domainBaseline37.0 (11.7)36.1 (10.3)40.1 (11.2)5–7 days40.2 (8.3)40.5 (9.0) *40.5 (7.8)6 weeks39.6 (9.7)42.0 (7.4) **40.6 (7.5)6 months42.4 (7.3) ***44.1 (7.6) ***37.6 (7.3)1 year42.5 (8.7)43.9 (7.7) ****39.5 (10.5)Notes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values.Abbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12). WHOQoL-Bref vs SF12 according to received treatment Notes: Data are presented as mean and standard deviation. *Significant difference in the treatment group between Baseline and 5–7 days follow-up. **Significant difference in the treatment group between Baseline and 6-week follow-up. ***Significant difference in the treatment group between Baseline and 6-month follow-up. ****Significant difference in the treatment group between Baseline and 1-year follow-up. Missing values due to loss of follow-up: 5–7 days =22 missing values, 6 weeks =20 missing values, 6 months =21 missing values 12 months =20 missing values. Abbreviations: QoL, Quality of Life (WHOQoL-Bref); HS, Health Status (SF-12). Psychological domain: Psychological QoL and psychological HS showed a moderate correlation of 0.58 with a common variance of 34%. Psychological QoL and HS scores are presented in Table 2. Surgically treated patients reported an immediate, significant improvement in both psychological QoL and psychological HS. Endovascularly treated patients showed no significant improvement in the psychological QoL domain. In contrast, a significant improvement was found in the psychological HS domain at 6 months (P=0.02), but this significant difference did not maintain at 1 year (P=0.07). Conservatively treated patients showed no significant improvement in QoL or HS regarding the psychological domain. Discussion: The goal of this study was to examine and compare QoL and HS in elderly CLI patients in relation to received treatment and especially conservative treatment. According to our results, important difference is present between subjectively measured QoL and objectively measured HS. This difference is especially important in the interpretation of the results of conservatively treated patients. Conservative treatment significantly improves subjectively measured physical QoL, but did not significantly improve objectively measured physical HS. It is important to guide clinical decision-making on the subjective appraisal of health, especially in elderly patients. Previous research conducted by Breek et al, demonstrated different outcomes across multiple domains for patients suffering from intermittent claudication by comparing the WHOQoL-100 and RAND 36-items health survey.9 This difference was explained by the subjective character of the QoL concept in contrast to the objective character of the HS concept.9,10 QoL focusses on the patient’s experiences, beliefs, expectations, and perceptions and subjectively measures patient’s well-being, while HS objectively assesses physical, mental and social functioning. Some differences between similar questions in the SF-12 and WHOQoL-Bref are presented in Table 3 and this contrast could also be explained using the example of elderly patients using the stairs. While it is true that not all elderly patients are able to use stairs, many of these patients have no desire to use stairs as it is no longer a necessity within their life. The SF-12 asks if patients are impaired when walking up stairs and thus, these patients will record a low HS score for this question, despite the fact that they do not consider this impairment to be of significant burden with regard to their mobility or pain. The interpretation by the researcher of this functioning as indicating low HS can lead to a disparity in outcome rates and, therefore, suggests subjective QoL outcome measures to be more appropriate, especially regarding frail, elderly patients.Table 3Questions asked in the questionnairesDomainWHO-QoL BrefSF-12PhysicalHow satisfied are you with your ability to perform your daily living activities?Are you now limited in moderate activities, such as moving a table, pushing a vacuum cleaner, bowling, or playing golf? Does your health now limit you a lot, limit you a little or not limit you at all?PhysicalTo what extent do you feel that physical pain prevents you from doing what you need to do?During the past four weeks, how much did pain interfere with your normal work including both outside the home and housework?PsychologicalHow much do you enjoy life?How much of the time during the past four weeks did you have a lot of energy? Questions asked in the questionnaires Pain and impaired mobility are the main symptoms of CLI and are captured in the physical domains of QoL and HS. Therefore, the physical domain may be considered the most important domain to focus on the treatment of CLI patients.14 It was in this domain that a striking difference between QoL and HS emerged. Physical QoL exhibited an immediate and significant improvement following endovascular or surgical revascularization, in contrast to the delayed significant improvement in physical HS, observed at 6 months. Conservative treatment or primary amputation are accepted treatment modalities in patients with poor pre-operative living status, and extensive comorbidities.1,4,8,14,15,20 Due to a significantly reduced life expectancy, increase in subjectively measures QoL is an important parameter for frail elderly patients in the last phase of their life and transcend traditional outcome measurements such as mortality and patency.3 Substantial differences between QoL and HS were observed in conservatively treated patients as these patients did not exhibit a significant increase in their physical HS, although their physical QoL had significantly improved at 6 months and 1 year. Possible explanations for the gained subjective physical functioning of conservatively treated patients could be the effectiveness of pain medication and the hypothesis that elderly patients learn to cope with their limitations in physical functioning in the long term. This result is of major clinical importance, because this result indicates that conservative treatment is an acceptable treatment for selected CLI patients from their point of view. Whereas conservative treatment seems to be a poor treatment option when only focusing on objective physical functioning (HS) and not on patients’ subjective evaluation of their functioning (QoL). Elderly patients are a challenging group to collect PROMS because of the high rate of non-responders, mortality during follow-up and potential difficulty with reading.21 Lost to follow-up was reduced by cooperation of a dedicated study coordinator, possibility of telephonically follow-up and use of shortened questionnaires such as WHOQoL-Bref and SF-12. Use of online questionnaires could potentially improve response rates because of an increasing access to the Internet among elderly patients. However, this could also be questioned because of possible browser incompatibility or visual impairment and generalizability among elderly patients is hard. It seems to be worthwhile to offer patients the option to participate using online surveys to potentially reduce lost to follow-up.22 The current study has some limitations. Patients were not randomized between the three treatment groups because it is considered unethical to include conservative therapy in randomized controlled trials. However, this prospective study gives a clear view of the differences between HS and QoL in the treatments used for CLI patients in the current clinical practice. These results should be combined with the traditional outcome rates to select the optimal treatment, because of the known high mortality (19–49%) and limb salvage rates (74–85%) in elderly CLI patients.3,16,23 Also, wound healing in Rutherford five-sixths patients could potentially influence QoL. It would be interesting to investigate if wound closure effect QoL in conservatively treated patients in upcoming research. Due to the use of these shortened questionnaires, only the physical and psychological domains of QoL and HS could be compared. However, physical health is the most important domain for patients suffering CLI, because of ischemic pain and loss of mobility, and is therefore critical to compare across HS and QoL.14 Conclusion: Changes in functioning are measured subjectively in QoL and objectively in HS. This study demonstrates that QoL and HS are indeed not identical concepts and that differentiating between the two concepts could influence the treatment options in elderly CLI patients. Discriminating between QoL and HS is, therefore, of major importance for clinical practice, especially to achieve shared decision-making.
Background: Critical limb ischemia (CLI) patients are often of advanced age with reduced health status (HS) and quality of life (QoL) at baseline. Physical health is considered as the most affected domain due to reduced mobility and ischemic pain. QoL and HS are often used interchangeably in the current literature. HS refers to objectively perceived physical, psychological, and social functioning and in assessing QoL, change is measured subjectively and can only be determined by the individual since it concerns patients' evaluation of their functioning. It is important to distinguish between QoL and HS, especially in the concept of shared decision-making when the opinion of the patient is key. Goal of this study was to examine and compare QoL and HS in elderly CLI patients in relation to the used therapy, with a special interest in conservatively treated patients. Methods: Patients suffering from CLI and ≥70 years old were included in a prospective study with a follow-up period of 1 year. Patients were divided into three groups; endovascular revascularization, surgical revascularization, and conservative therapy. The WHOQoL-Bref was used to determine QoL, and the 12-Item Short Form Health Survey was used to evaluate HS at baseline, 5-7 days, 6 weeks, 6 months, and 1 year. Results: Physical QoL of endovascularly and surgically treated patients showed immediate significant improvement during follow-up in contrast to delayed increased physical HS at 6 weeks and 6 months (P<0.001). Conservatively treated patients showed significantly improved physical QoL at 6 and 12 months (P=0.02) in contrast to no significant improvement in physical HS. Conclusions: This study demonstrates that QoL and HS are indeed not identical concepts and that differentiating between these two concepts could influence the choice of treatment in elderly CLI patients. Discriminating between QoL and HS is, therefore, of major importance for clinical practice, especially to achieve shared decision-making.
Introduction: Treatment outcome rates in critical limb ischemia (CLI) patients traditionally focus on primary patency, limb salvage, and mortality.1 Reports on patient-reported outcome measures (PROMS) appear to be an important primary endpoint in addition to traditional outcome results. Especially in elderly patients with limited life expectancy, these PROMS offer important information regarding the success of treatment from a patient’s perspective and could help in shared decision-making.2,3 Functional status is used as a PROMS to assess patient’s daily activities and their level of physical autonomy.4–8 The major disadvantage of functional status is that solely patient’s daily activities and their autonomy level are assessed, without taking patients satisfaction with functioning into account. Another PROMS is quality of life (QoL), a term that is used confusingly in the current literature.9–11 It is often interchangeably used with the term health status (HS). HS refers to objectively perceived physical, psychological, and social functioning. We concur with the WHOQOL (World Health Organization Quality Of Life) group’s definition of QoL. They stated that QoL refers to a patient’s experiences, beliefs, expectations, and perceptions regarding physical, psychological, and social functioning. In assessing QoL, change is measured subjectively and can only be determined by the individual since it concerns patients’ evaluation of their functioning.12 PROMS could help physicians in the treatment selection, although revascularization is still considered as cornerstone of the treatment.13,14 However, 50% of the elderly CLI patients are deemed unfit or have unsuitable anatomical lesions for endovascular or surgical procedures.13 Concerning the novel concept of “do no further harm”, conservative treatment may be an option in these elderly CLI patients. To give this treatment option a chance in the therapy schedule of elderly CLI patients, it is important to know the subjectively measured QoL of these patients compared to the objectively measured HS. The goal of this study was to examine and compare QoL (WHOQoL-Bref) in relation to HS (SF-12) in elderly patients suffering from CLI in relation to therapy and especially conservative treatment. Conclusion: Changes in functioning are measured subjectively in QoL and objectively in HS. This study demonstrates that QoL and HS are indeed not identical concepts and that differentiating between the two concepts could influence the treatment options in elderly CLI patients. Discriminating between QoL and HS is, therefore, of major importance for clinical practice, especially to achieve shared decision-making.
Background: Critical limb ischemia (CLI) patients are often of advanced age with reduced health status (HS) and quality of life (QoL) at baseline. Physical health is considered as the most affected domain due to reduced mobility and ischemic pain. QoL and HS are often used interchangeably in the current literature. HS refers to objectively perceived physical, psychological, and social functioning and in assessing QoL, change is measured subjectively and can only be determined by the individual since it concerns patients' evaluation of their functioning. It is important to distinguish between QoL and HS, especially in the concept of shared decision-making when the opinion of the patient is key. Goal of this study was to examine and compare QoL and HS in elderly CLI patients in relation to the used therapy, with a special interest in conservatively treated patients. Methods: Patients suffering from CLI and ≥70 years old were included in a prospective study with a follow-up period of 1 year. Patients were divided into three groups; endovascular revascularization, surgical revascularization, and conservative therapy. The WHOQoL-Bref was used to determine QoL, and the 12-Item Short Form Health Survey was used to evaluate HS at baseline, 5-7 days, 6 weeks, 6 months, and 1 year. Results: Physical QoL of endovascularly and surgically treated patients showed immediate significant improvement during follow-up in contrast to delayed increased physical HS at 6 weeks and 6 months (P<0.001). Conservatively treated patients showed significantly improved physical QoL at 6 and 12 months (P=0.02) in contrast to no significant improvement in physical HS. Conclusions: This study demonstrates that QoL and HS are indeed not identical concepts and that differentiating between these two concepts could influence the choice of treatment in elderly CLI patients. Discriminating between QoL and HS is, therefore, of major importance for clinical practice, especially to achieve shared decision-making.
6,086
368
[ 1149, 108, 80, 128, 64, 37, 142, 1995, 678, 110, 1087, 67 ]
13
[ "qol", "patients", "treatment", "hs", "physical", "significant", "follow", "psychological", "12", "domain" ]
[ "patients subjective evaluation", "rates critical limb", "patients satisfaction functioning", "limb ischemia cli", "limb salvage mortality" ]
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null
[CONTENT] critical limb ischemia | elderly | quality of life | health status [SUMMARY]
null
null
[CONTENT] critical limb ischemia | elderly | quality of life | health status [SUMMARY]
[CONTENT] critical limb ischemia | elderly | quality of life | health status [SUMMARY]
[CONTENT] critical limb ischemia | elderly | quality of life | health status [SUMMARY]
[CONTENT] Aged | Aged, 80 and over | Conservative Treatment | Female | Health Status | Humans | Ischemia | Male | Middle Aged | Prospective Studies | Quality of Life | Stress, Psychological | Treatment Outcome | Vascular Surgical Procedures [SUMMARY]
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null
[CONTENT] Aged | Aged, 80 and over | Conservative Treatment | Female | Health Status | Humans | Ischemia | Male | Middle Aged | Prospective Studies | Quality of Life | Stress, Psychological | Treatment Outcome | Vascular Surgical Procedures [SUMMARY]
[CONTENT] Aged | Aged, 80 and over | Conservative Treatment | Female | Health Status | Humans | Ischemia | Male | Middle Aged | Prospective Studies | Quality of Life | Stress, Psychological | Treatment Outcome | Vascular Surgical Procedures [SUMMARY]
[CONTENT] Aged | Aged, 80 and over | Conservative Treatment | Female | Health Status | Humans | Ischemia | Male | Middle Aged | Prospective Studies | Quality of Life | Stress, Psychological | Treatment Outcome | Vascular Surgical Procedures [SUMMARY]
[CONTENT] patients subjective evaluation | rates critical limb | patients satisfaction functioning | limb ischemia cli | limb salvage mortality [SUMMARY]
null
null
[CONTENT] patients subjective evaluation | rates critical limb | patients satisfaction functioning | limb ischemia cli | limb salvage mortality [SUMMARY]
[CONTENT] patients subjective evaluation | rates critical limb | patients satisfaction functioning | limb ischemia cli | limb salvage mortality [SUMMARY]
[CONTENT] patients subjective evaluation | rates critical limb | patients satisfaction functioning | limb ischemia cli | limb salvage mortality [SUMMARY]
[CONTENT] qol | patients | treatment | hs | physical | significant | follow | psychological | 12 | domain [SUMMARY]
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null
[CONTENT] qol | patients | treatment | hs | physical | significant | follow | psychological | 12 | domain [SUMMARY]
[CONTENT] qol | patients | treatment | hs | physical | significant | follow | psychological | 12 | domain [SUMMARY]
[CONTENT] qol | patients | treatment | hs | physical | significant | follow | psychological | 12 | domain [SUMMARY]
[CONTENT] proms | patients | elderly | patient | treatment | cli patients | cli | qol | important | functioning [SUMMARY]
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[CONTENT] concepts | hs | qol | qol hs | qol hs major | importance clinical practice | importance clinical | functioning measured | functioning measured subjectively qol | demonstrates [SUMMARY]
[CONTENT] qol | treatment | hs | patients | significant | physical | psychological | 12 | follow | domain [SUMMARY]
[CONTENT] qol | treatment | hs | patients | significant | physical | psychological | 12 | follow | domain [SUMMARY]
[CONTENT] CLI | QoL ||| ||| QoL ||| QoL ||| QoL ||| QoL | CLI [SUMMARY]
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[CONTENT] QoL | two | CLI ||| QoL [SUMMARY]
[CONTENT] CLI | QoL ||| ||| QoL ||| QoL ||| QoL ||| QoL | CLI ||| CLI | years | 1 year ||| three ||| QoL | 12 | HS | 5-7 days | 6 weeks | 6 months | 1 year ||| 6 weeks and 6 months ||| QoL | 6 and 12 months ||| QoL | two | CLI ||| QoL [SUMMARY]
[CONTENT] CLI | QoL ||| ||| QoL ||| QoL ||| QoL ||| QoL | CLI ||| CLI | years | 1 year ||| three ||| QoL | 12 | HS | 5-7 days | 6 weeks | 6 months | 1 year ||| 6 weeks and 6 months ||| QoL | 6 and 12 months ||| QoL | two | CLI ||| QoL [SUMMARY]
Long-Term Post-Stroke Functional Outcomes: A Comparison of Diabetics and Nondiabetics.
34915467
Diabetes mellitus (DM) is known to influence outcomes in the short term following stroke. However, the impact of DM on long-term functional outcomes after stroke is unclear. We compared functional outcomes periodically over 7 years between diabetic and nondiabetic ischemic stroke patients, and investigated the impact of DM on the long-term trajectory of post-stroke functional outcomes. We also studied the influence of age on the diabetes-functional outcome association.
INTRODUCTION
This is a longitudinal observational cohort study of 802 acute ischemic stroke patients admitted to the Singapore General Hospital from 2005 to 2007. Functional outcomes were assessed using the modified Rankin Scale (mRS) with poor functional outcome defined as mRS ≥3. Follow-up data were determined at 6 months and at median follow-up durations of 29 and 86 months.
METHODS
Among the 802 ischemic stroke patients studied (mean age 64 ± 12 years, male 63%), 42% had DM. In regression analyses adjusting for covariates, diabetic patients were more likely to have poor functional outcomes at 6 months (OR = 2.12, 95% CI: 1.23-3.67) and at median follow-up durations of 29 months (OR = 1.96, 95% CI: 1.37-2.81) and 86 months (OR = 2.27, 95% CI: 1.58-3.25). In addition, age modulated the effect of DM, with younger stroke patients (≤65 years) more likely to have long-term poor functional outcome at the 29-month (p = 0.0179) and 86-month (p = 0.0144) time points.
RESULTS
DM was associated with poor functional outcomes following ischemic stroke in the long term, with the effect remaining consistent throughout the 7-year follow-up period. Age modified the effect of DM in the long term, with an observed increase in risk in the ≤65 age-group but not in the >65 age-group.
CONCLUSIONS
[ "Aged", "Brain Ischemia", "Diabetes Mellitus", "Humans", "Ischemic Stroke", "Male", "Middle Aged", "Risk Factors", "Singapore", "Stroke" ]
8958600
Introduction
Diabetes mellitus (DM) is an important risk factor for stroke. Compared to nondiabetics, diabetics are 2–5 times more likely to have a stroke in age-adjusted analyses [1, 2] and have a higher recurrent stroke rate [3, 4]. DM has been shown to be associated with poorer post-stroke outcomes in the short term with higher rates of death [5] and dependency among diabetic stroke patients up to a year [5, 6, 7, 8]. However, studies on long-term functional outcomes are scarce [9], and there are no published studies on the impact of DM on outcomes beyond 5 years. We compared the post-stroke functional outcome between ischemic stroke patients with and without DM at 3 time points over approximately 7 years (6, 29, and 86 months). We also investigated the influence of DM on post-stroke outcome trajectory and whether the effect of DM on functional outcome was modified by age (≤65 vs. > 65 years) over the 7-year follow-up period [10].
null
null
Results
Among the 1980 ischemic stroke patients (mean age 66 ± 12 years, 58% male, 80% Chinese, and median baseline NIHSS of 3, IQR 1–7) admitted during the study period, 802 patients were eligible and recruited into the study. Patients recruited into this study had a similar profile (mean age 64 ± 11 years, 63% male, 81% Chinese, and median baseline NIHSS score of 3, IQR 1–5). Baseline characteristics are shown in Table 1. The proportion of patients lost to follow-up or death was 64 (8.0%) at 6 months, 90 (11.0%) at a median follow-up of 29 months, and 92 (11.5%) at a median follow-up of 86 months. The incidence of poor functional outcome was 9% at 6 months, 30% at a median follow-up of 29 months, and 50% at a median follow-up of 86 months. Analyses Stratified by DM Status Patients with DM were more likely to be female, Indian, Malay, hypertensive, have hypercholesterolemia, have large artery strokes, and nonsmokers. Despite adjustment for all factors which were significant in univariate analyses, including sex, previous stroke, smoking, and follow-up duration, diabetics had worse mRS distributions (Fig. 1) at all time points; diabetics were also more likely to have poor functional outcome (Fig. 2). There was no interaction between DM and follow-up time interaction after adjustment for confounders with respect to mean mRS values (p = 0.9725) or poor functional outcomes (p = 0.9221). Patients with DM were more likely to be female, Indian, Malay, hypertensive, have hypercholesterolemia, have large artery strokes, and nonsmokers. Despite adjustment for all factors which were significant in univariate analyses, including sex, previous stroke, smoking, and follow-up duration, diabetics had worse mRS distributions (Fig. 1) at all time points; diabetics were also more likely to have poor functional outcome (Fig. 2). There was no interaction between DM and follow-up time interaction after adjustment for confounders with respect to mean mRS values (p = 0.9725) or poor functional outcomes (p = 0.9221). Analyses Stratified by Age-Group Older patients were more likely to be female, smokers, have a previous history of stroke, have atrial fibrillation, have lacunar strokes, and have more severe strokes. Ethnic distribution and prevalence of DM, hypertension, and hypercholesterolemia did not differ between the age-groups. Among patients ≤65 years, the odds of poor functional outcome were greater in diabetics versus nondiabetics at the 29-month and 86-month follow-ups, but not at 6 months (shown in Fig. 2). There was a significant difference in the risk of poor functional outcomes between diabetics and nondiabetics in the >65 age-group at 6 months as well as no differences at the 29-month or the 86-month follow-ups. Older patients were more likely to have poorer functional outcomes in both diabetics (OR = 4.41, 95% CI: 1.90–10.25 at 6 months; OR = 2.31, 95% CI: 1.40–3.80 at 29 months; OR = 2.75, 95% CI: 1.64–4.64 at 86 months) and nondiabetics (OR = 3.12, 95% CI: 1.26–7.71 at 6 months; OR = 5.63, 95% CI: 3.26–9.72 at 29 months; OR = 6.59, 95% CI: 4.13–10.54 at 86 months). The effect of time was shown to modify the risk of poor functional outcome relative to the age-group. There were significant interactions between ≤65 and >65 age-groups and DM for the outcome of poor functional status at 29-month (p = 0.0179) and 86-month follow-ups (p = 0.0144) but not at 6 months (p = 0.5798). Older patients were more likely to be female, smokers, have a previous history of stroke, have atrial fibrillation, have lacunar strokes, and have more severe strokes. Ethnic distribution and prevalence of DM, hypertension, and hypercholesterolemia did not differ between the age-groups. Among patients ≤65 years, the odds of poor functional outcome were greater in diabetics versus nondiabetics at the 29-month and 86-month follow-ups, but not at 6 months (shown in Fig. 2). There was a significant difference in the risk of poor functional outcomes between diabetics and nondiabetics in the >65 age-group at 6 months as well as no differences at the 29-month or the 86-month follow-ups. Older patients were more likely to have poorer functional outcomes in both diabetics (OR = 4.41, 95% CI: 1.90–10.25 at 6 months; OR = 2.31, 95% CI: 1.40–3.80 at 29 months; OR = 2.75, 95% CI: 1.64–4.64 at 86 months) and nondiabetics (OR = 3.12, 95% CI: 1.26–7.71 at 6 months; OR = 5.63, 95% CI: 3.26–9.72 at 29 months; OR = 6.59, 95% CI: 4.13–10.54 at 86 months). The effect of time was shown to modify the risk of poor functional outcome relative to the age-group. There were significant interactions between ≤65 and >65 age-groups and DM for the outcome of poor functional status at 29-month (p = 0.0179) and 86-month follow-ups (p = 0.0144) but not at 6 months (p = 0.5798).
Conclusions
This study shows that DM is associated with poor functional outcomes following ischemic stroke in the long term with the effect remaining consistent throughout the 7-year follow-up period. Differences in functional outcomes between diabetics and nondiabetics over this period remained consistent with no interaction between duration from stroke and diabetes status. However, age modified the association of DM on long-term functional outcome, with younger DM patients having an additive association of poor functional outcome.
[ "Study Population", "Baseline Data", "Outcomes and Follow-Up Assessment", "Statistical Analysis", "Analyses Stratified by DM Status", "Analyses Stratified by Age-Group", "Statement of Ethics", "Funding Sources", "Author Contributions" ]
[ "This was a longitudinal observational cohort study on acute stroke patients in the Multi-Centre Retinal Stroke (MCRS) study who were admitted to the Singapore General Hospital from 2005 to 2007 [11]. Inclusion criteria were ischemic stroke within 1 week of onset and tolerance for retinal photography. Ethics approval was obtained from the Institutional Review Board, and written informed consent was obtained from each patient or his/her surrogate.", "Demographic data consisting of age, sex, ethnicity, and stroke related risk factors were documented. Patients were dichotomized in the analysis according to age as ≤65 or >65 years. DM was defined as prior diagnosis by a physician and/or present treatment with hypoglycemic agents/insulin. Hypertension and hypercholesterolemia were defined as a physician-confirmed diagnosis or from documentation in medical records. Current smokers were defined as persons who smoked or had stopped smoking less than 1 year prior to admission. Atrial fibrillation was defined from electrocardiographs during admission and from medical records. Stroke was subtyped using modified Trial of Org 10172 in Acute Stroke Treatment (TOAST) classification [12], as defined in the Greater Metropolitan Clinical Taskforce for Stroke in New South Wales [11]. Baseline neurological deficits were documented using the National Institutes of Health Stroke Scale (NIHSS) [13]. The severity of neurological deficits was classified as mild (NIHSS score of 0–4), moderate (NIHSS 5–15), and severe (NIHSS >15).", "Functional outcomes were assessed with modified Rankin Scale (mRS) [14] with poor functional outcome defined as mRS ≥3. Follow-up duration was defined as the time in months from initial stroke presentation to the date of telephone interview. Outcome status was first determined at a follow-up duration of 6 months for all patients. The subsequent 2 follow-up assessments were conducted from August 2008 to July 2009 at a median (interquartile range [IQR]) duration of 29 (24–34) months and from November 2013 to April 2014 at a median (IQR) duration of 86 (71–92) months. Patients were contacted within the aforementioned time periods irrespective of follow-up duration. As such, there is variability in the follow-up times for the second and third follow-ups. Trained study coordinators, masked to clinical findings, assessed mRS status at all follow-ups using a standardized telephone interview with the patient or next of kin. Loss to follow-up was defined as the patient's choice against continued participation or inability to contact the patient via telephone at least 5 times at different times of the day over a period of 3 months, using the contact details provided during the initial admission.", "Statistical analyses were performed using the SAS software University Edition (SAS Institute Inc., Cary, NC, USA). Patient demographic and clinical characteristics were compared using a 2-sample t-test and a χ2 test as appropriate. Univariate binary and generalized logistic regression analyses were performed on all baseline demographic and clinical variables to identify risk factors associated with poor functional outcome. Selection of variables for multivariate analysis was based on known clinical confounders as well as variables significant at p < 0.25 in univariate analysis. Multinomial generalized logistic regression was performed to investigate the association between diabetes and mRS while adjusting for the potential confounders of age, sex, previous stroke, smoking, and follow-up time. Binary logistic regression was performed to investigate the association between DM and poor functional outcomes while adjusting for potential confounders. Follow-up duration was included as a covariate owing to variability in follow-up times for the last two follow-ups. Binary logistic regression was performed to investigate the effect of age category (≤65, >65 years) on poor mRS functional status.", "Patients with DM were more likely to be female, Indian, Malay, hypertensive, have hypercholesterolemia, have large artery strokes, and nonsmokers. Despite adjustment for all factors which were significant in univariate analyses, including sex, previous stroke, smoking, and follow-up duration, diabetics had worse mRS distributions (Fig. 1) at all time points; diabetics were also more likely to have poor functional outcome (Fig. 2). There was no interaction between DM and follow-up time interaction after adjustment for confounders with respect to mean mRS values (p = 0.9725) or poor functional outcomes (p = 0.9221).", "Older patients were more likely to be female, smokers, have a previous history of stroke, have atrial fibrillation, have lacunar strokes, and have more severe strokes. Ethnic distribution and prevalence of DM, hypertension, and hypercholesterolemia did not differ between the age-groups.\nAmong patients ≤65 years, the odds of poor functional outcome were greater in diabetics versus nondiabetics at the 29-month and 86-month follow-ups, but not at 6 months (shown in Fig. 2). There was a significant difference in the risk of poor functional outcomes between diabetics and nondiabetics in the >65 age-group at 6 months as well as no differences at the 29-month or the 86-month follow-ups. Older patients were more likely to have poorer functional outcomes in both diabetics (OR = 4.41, 95% CI: 1.90–10.25 at 6 months; OR = 2.31, 95% CI: 1.40–3.80 at 29 months; OR = 2.75, 95% CI: 1.64–4.64 at 86 months) and nondiabetics (OR = 3.12, 95% CI: 1.26–7.71 at 6 months; OR = 5.63, 95% CI: 3.26–9.72 at 29 months; OR = 6.59, 95% CI: 4.13–10.54 at 86 months). The effect of time was shown to modify the risk of poor functional outcome relative to the age-group.\nThere were significant interactions between ≤65 and >65 age-groups and DM for the outcome of poor functional status at 29-month (p = 0.0179) and 86-month follow-ups (p = 0.0144) but not at 6 months (p = 0.5798).", "This research was conducted ethically in accordance with the World Medical Association Declaration of Helsinki. This study protocol was reviewed and approved by the SingHealth Centralised Institutional Review Board, approval numbers 2004/010/A and 2008/614/A. Written informed consent was obtained from participants or their next of kin to participate in the study.", "The Singapore site of the MCRS study is supported by grants from the Singapore National Medical Research Council (NMRC grant number 2004/073; NMRC NIG grant numbers NMRC/0914/2004 and NMRC/0914/S2) and SingHealth Foundation (SHF/FG370P/2007).", "Dr. De Silva drafted the manuscript. Dr. De Silva, Dr. Wong, and Ms. Woon were responsible for the conception and design of this study. Prof Allen and Dr. Huang were responsible for statistical analyses, and Dr. Narasimhalu was responsible for the interpretation of the data. All authors critically reviewed and edited the manuscript." ]
[ null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Materials and Methods", "Study Population", "Baseline Data", "Outcomes and Follow-Up Assessment", "Statistical Analysis", "Results", "Analyses Stratified by DM Status", "Analyses Stratified by Age-Group", "Discussion", "Conclusions", "Statement of Ethics", "Conflict of Interest Statement", "Funding Sources", "Author Contributions", "Data Availability Statement" ]
[ "Diabetes mellitus (DM) is an important risk factor for stroke. Compared to nondiabetics, diabetics are 2–5 times more likely to have a stroke in age-adjusted analyses [1, 2] and have a higher recurrent stroke rate [3, 4]. DM has been shown to be associated with poorer post-stroke outcomes in the short term with higher rates of death [5] and dependency among diabetic stroke patients up to a year [5, 6, 7, 8]. However, studies on long-term functional outcomes are scarce [9], and there are no published studies on the impact of DM on outcomes beyond 5 years.\nWe compared the post-stroke functional outcome between ischemic stroke patients with and without DM at 3 time points over approximately 7 years (6, 29, and 86 months). We also investigated the influence of DM on post-stroke outcome trajectory and whether the effect of DM on functional outcome was modified by age (≤65 vs. > 65 years) over the 7-year follow-up period [10].", "Study Population This was a longitudinal observational cohort study on acute stroke patients in the Multi-Centre Retinal Stroke (MCRS) study who were admitted to the Singapore General Hospital from 2005 to 2007 [11]. Inclusion criteria were ischemic stroke within 1 week of onset and tolerance for retinal photography. Ethics approval was obtained from the Institutional Review Board, and written informed consent was obtained from each patient or his/her surrogate.\nThis was a longitudinal observational cohort study on acute stroke patients in the Multi-Centre Retinal Stroke (MCRS) study who were admitted to the Singapore General Hospital from 2005 to 2007 [11]. Inclusion criteria were ischemic stroke within 1 week of onset and tolerance for retinal photography. Ethics approval was obtained from the Institutional Review Board, and written informed consent was obtained from each patient or his/her surrogate.\nBaseline Data Demographic data consisting of age, sex, ethnicity, and stroke related risk factors were documented. Patients were dichotomized in the analysis according to age as ≤65 or >65 years. DM was defined as prior diagnosis by a physician and/or present treatment with hypoglycemic agents/insulin. Hypertension and hypercholesterolemia were defined as a physician-confirmed diagnosis or from documentation in medical records. Current smokers were defined as persons who smoked or had stopped smoking less than 1 year prior to admission. Atrial fibrillation was defined from electrocardiographs during admission and from medical records. Stroke was subtyped using modified Trial of Org 10172 in Acute Stroke Treatment (TOAST) classification [12], as defined in the Greater Metropolitan Clinical Taskforce for Stroke in New South Wales [11]. Baseline neurological deficits were documented using the National Institutes of Health Stroke Scale (NIHSS) [13]. The severity of neurological deficits was classified as mild (NIHSS score of 0–4), moderate (NIHSS 5–15), and severe (NIHSS >15).\nDemographic data consisting of age, sex, ethnicity, and stroke related risk factors were documented. Patients were dichotomized in the analysis according to age as ≤65 or >65 years. DM was defined as prior diagnosis by a physician and/or present treatment with hypoglycemic agents/insulin. Hypertension and hypercholesterolemia were defined as a physician-confirmed diagnosis or from documentation in medical records. Current smokers were defined as persons who smoked or had stopped smoking less than 1 year prior to admission. Atrial fibrillation was defined from electrocardiographs during admission and from medical records. Stroke was subtyped using modified Trial of Org 10172 in Acute Stroke Treatment (TOAST) classification [12], as defined in the Greater Metropolitan Clinical Taskforce for Stroke in New South Wales [11]. Baseline neurological deficits were documented using the National Institutes of Health Stroke Scale (NIHSS) [13]. The severity of neurological deficits was classified as mild (NIHSS score of 0–4), moderate (NIHSS 5–15), and severe (NIHSS >15).\nOutcomes and Follow-Up Assessment Functional outcomes were assessed with modified Rankin Scale (mRS) [14] with poor functional outcome defined as mRS ≥3. Follow-up duration was defined as the time in months from initial stroke presentation to the date of telephone interview. Outcome status was first determined at a follow-up duration of 6 months for all patients. The subsequent 2 follow-up assessments were conducted from August 2008 to July 2009 at a median (interquartile range [IQR]) duration of 29 (24–34) months and from November 2013 to April 2014 at a median (IQR) duration of 86 (71–92) months. Patients were contacted within the aforementioned time periods irrespective of follow-up duration. As such, there is variability in the follow-up times for the second and third follow-ups. Trained study coordinators, masked to clinical findings, assessed mRS status at all follow-ups using a standardized telephone interview with the patient or next of kin. Loss to follow-up was defined as the patient's choice against continued participation or inability to contact the patient via telephone at least 5 times at different times of the day over a period of 3 months, using the contact details provided during the initial admission.\nFunctional outcomes were assessed with modified Rankin Scale (mRS) [14] with poor functional outcome defined as mRS ≥3. Follow-up duration was defined as the time in months from initial stroke presentation to the date of telephone interview. Outcome status was first determined at a follow-up duration of 6 months for all patients. The subsequent 2 follow-up assessments were conducted from August 2008 to July 2009 at a median (interquartile range [IQR]) duration of 29 (24–34) months and from November 2013 to April 2014 at a median (IQR) duration of 86 (71–92) months. Patients were contacted within the aforementioned time periods irrespective of follow-up duration. As such, there is variability in the follow-up times for the second and third follow-ups. Trained study coordinators, masked to clinical findings, assessed mRS status at all follow-ups using a standardized telephone interview with the patient or next of kin. Loss to follow-up was defined as the patient's choice against continued participation or inability to contact the patient via telephone at least 5 times at different times of the day over a period of 3 months, using the contact details provided during the initial admission.\nStatistical Analysis Statistical analyses were performed using the SAS software University Edition (SAS Institute Inc., Cary, NC, USA). Patient demographic and clinical characteristics were compared using a 2-sample t-test and a χ2 test as appropriate. Univariate binary and generalized logistic regression analyses were performed on all baseline demographic and clinical variables to identify risk factors associated with poor functional outcome. Selection of variables for multivariate analysis was based on known clinical confounders as well as variables significant at p < 0.25 in univariate analysis. Multinomial generalized logistic regression was performed to investigate the association between diabetes and mRS while adjusting for the potential confounders of age, sex, previous stroke, smoking, and follow-up time. Binary logistic regression was performed to investigate the association between DM and poor functional outcomes while adjusting for potential confounders. Follow-up duration was included as a covariate owing to variability in follow-up times for the last two follow-ups. Binary logistic regression was performed to investigate the effect of age category (≤65, >65 years) on poor mRS functional status.\nStatistical analyses were performed using the SAS software University Edition (SAS Institute Inc., Cary, NC, USA). Patient demographic and clinical characteristics were compared using a 2-sample t-test and a χ2 test as appropriate. Univariate binary and generalized logistic regression analyses were performed on all baseline demographic and clinical variables to identify risk factors associated with poor functional outcome. Selection of variables for multivariate analysis was based on known clinical confounders as well as variables significant at p < 0.25 in univariate analysis. Multinomial generalized logistic regression was performed to investigate the association between diabetes and mRS while adjusting for the potential confounders of age, sex, previous stroke, smoking, and follow-up time. Binary logistic regression was performed to investigate the association between DM and poor functional outcomes while adjusting for potential confounders. Follow-up duration was included as a covariate owing to variability in follow-up times for the last two follow-ups. Binary logistic regression was performed to investigate the effect of age category (≤65, >65 years) on poor mRS functional status.", "This was a longitudinal observational cohort study on acute stroke patients in the Multi-Centre Retinal Stroke (MCRS) study who were admitted to the Singapore General Hospital from 2005 to 2007 [11]. Inclusion criteria were ischemic stroke within 1 week of onset and tolerance for retinal photography. Ethics approval was obtained from the Institutional Review Board, and written informed consent was obtained from each patient or his/her surrogate.", "Demographic data consisting of age, sex, ethnicity, and stroke related risk factors were documented. Patients were dichotomized in the analysis according to age as ≤65 or >65 years. DM was defined as prior diagnosis by a physician and/or present treatment with hypoglycemic agents/insulin. Hypertension and hypercholesterolemia were defined as a physician-confirmed diagnosis or from documentation in medical records. Current smokers were defined as persons who smoked or had stopped smoking less than 1 year prior to admission. Atrial fibrillation was defined from electrocardiographs during admission and from medical records. Stroke was subtyped using modified Trial of Org 10172 in Acute Stroke Treatment (TOAST) classification [12], as defined in the Greater Metropolitan Clinical Taskforce for Stroke in New South Wales [11]. Baseline neurological deficits were documented using the National Institutes of Health Stroke Scale (NIHSS) [13]. The severity of neurological deficits was classified as mild (NIHSS score of 0–4), moderate (NIHSS 5–15), and severe (NIHSS >15).", "Functional outcomes were assessed with modified Rankin Scale (mRS) [14] with poor functional outcome defined as mRS ≥3. Follow-up duration was defined as the time in months from initial stroke presentation to the date of telephone interview. Outcome status was first determined at a follow-up duration of 6 months for all patients. The subsequent 2 follow-up assessments were conducted from August 2008 to July 2009 at a median (interquartile range [IQR]) duration of 29 (24–34) months and from November 2013 to April 2014 at a median (IQR) duration of 86 (71–92) months. Patients were contacted within the aforementioned time periods irrespective of follow-up duration. As such, there is variability in the follow-up times for the second and third follow-ups. Trained study coordinators, masked to clinical findings, assessed mRS status at all follow-ups using a standardized telephone interview with the patient or next of kin. Loss to follow-up was defined as the patient's choice against continued participation or inability to contact the patient via telephone at least 5 times at different times of the day over a period of 3 months, using the contact details provided during the initial admission.", "Statistical analyses were performed using the SAS software University Edition (SAS Institute Inc., Cary, NC, USA). Patient demographic and clinical characteristics were compared using a 2-sample t-test and a χ2 test as appropriate. Univariate binary and generalized logistic regression analyses were performed on all baseline demographic and clinical variables to identify risk factors associated with poor functional outcome. Selection of variables for multivariate analysis was based on known clinical confounders as well as variables significant at p < 0.25 in univariate analysis. Multinomial generalized logistic regression was performed to investigate the association between diabetes and mRS while adjusting for the potential confounders of age, sex, previous stroke, smoking, and follow-up time. Binary logistic regression was performed to investigate the association between DM and poor functional outcomes while adjusting for potential confounders. Follow-up duration was included as a covariate owing to variability in follow-up times for the last two follow-ups. Binary logistic regression was performed to investigate the effect of age category (≤65, >65 years) on poor mRS functional status.", "Among the 1980 ischemic stroke patients (mean age 66 ± 12 years, 58% male, 80% Chinese, and median baseline NIHSS of 3, IQR 1–7) admitted during the study period, 802 patients were eligible and recruited into the study. Patients recruited into this study had a similar profile (mean age 64 ± 11 years, 63% male, 81% Chinese, and median baseline NIHSS score of 3, IQR 1–5). Baseline characteristics are shown in Table 1. The proportion of patients lost to follow-up or death was 64 (8.0%) at 6 months, 90 (11.0%) at a median follow-up of 29 months, and 92 (11.5%) at a median follow-up of 86 months. The incidence of poor functional outcome was 9% at 6 months, 30% at a median follow-up of 29 months, and 50% at a median follow-up of 86 months.\nAnalyses Stratified by DM Status Patients with DM were more likely to be female, Indian, Malay, hypertensive, have hypercholesterolemia, have large artery strokes, and nonsmokers. Despite adjustment for all factors which were significant in univariate analyses, including sex, previous stroke, smoking, and follow-up duration, diabetics had worse mRS distributions (Fig. 1) at all time points; diabetics were also more likely to have poor functional outcome (Fig. 2). There was no interaction between DM and follow-up time interaction after adjustment for confounders with respect to mean mRS values (p = 0.9725) or poor functional outcomes (p = 0.9221).\nPatients with DM were more likely to be female, Indian, Malay, hypertensive, have hypercholesterolemia, have large artery strokes, and nonsmokers. Despite adjustment for all factors which were significant in univariate analyses, including sex, previous stroke, smoking, and follow-up duration, diabetics had worse mRS distributions (Fig. 1) at all time points; diabetics were also more likely to have poor functional outcome (Fig. 2). There was no interaction between DM and follow-up time interaction after adjustment for confounders with respect to mean mRS values (p = 0.9725) or poor functional outcomes (p = 0.9221).\nAnalyses Stratified by Age-Group Older patients were more likely to be female, smokers, have a previous history of stroke, have atrial fibrillation, have lacunar strokes, and have more severe strokes. Ethnic distribution and prevalence of DM, hypertension, and hypercholesterolemia did not differ between the age-groups.\nAmong patients ≤65 years, the odds of poor functional outcome were greater in diabetics versus nondiabetics at the 29-month and 86-month follow-ups, but not at 6 months (shown in Fig. 2). There was a significant difference in the risk of poor functional outcomes between diabetics and nondiabetics in the >65 age-group at 6 months as well as no differences at the 29-month or the 86-month follow-ups. Older patients were more likely to have poorer functional outcomes in both diabetics (OR = 4.41, 95% CI: 1.90–10.25 at 6 months; OR = 2.31, 95% CI: 1.40–3.80 at 29 months; OR = 2.75, 95% CI: 1.64–4.64 at 86 months) and nondiabetics (OR = 3.12, 95% CI: 1.26–7.71 at 6 months; OR = 5.63, 95% CI: 3.26–9.72 at 29 months; OR = 6.59, 95% CI: 4.13–10.54 at 86 months). The effect of time was shown to modify the risk of poor functional outcome relative to the age-group.\nThere were significant interactions between ≤65 and >65 age-groups and DM for the outcome of poor functional status at 29-month (p = 0.0179) and 86-month follow-ups (p = 0.0144) but not at 6 months (p = 0.5798).\nOlder patients were more likely to be female, smokers, have a previous history of stroke, have atrial fibrillation, have lacunar strokes, and have more severe strokes. Ethnic distribution and prevalence of DM, hypertension, and hypercholesterolemia did not differ between the age-groups.\nAmong patients ≤65 years, the odds of poor functional outcome were greater in diabetics versus nondiabetics at the 29-month and 86-month follow-ups, but not at 6 months (shown in Fig. 2). There was a significant difference in the risk of poor functional outcomes between diabetics and nondiabetics in the >65 age-group at 6 months as well as no differences at the 29-month or the 86-month follow-ups. Older patients were more likely to have poorer functional outcomes in both diabetics (OR = 4.41, 95% CI: 1.90–10.25 at 6 months; OR = 2.31, 95% CI: 1.40–3.80 at 29 months; OR = 2.75, 95% CI: 1.64–4.64 at 86 months) and nondiabetics (OR = 3.12, 95% CI: 1.26–7.71 at 6 months; OR = 5.63, 95% CI: 3.26–9.72 at 29 months; OR = 6.59, 95% CI: 4.13–10.54 at 86 months). The effect of time was shown to modify the risk of poor functional outcome relative to the age-group.\nThere were significant interactions between ≤65 and >65 age-groups and DM for the outcome of poor functional status at 29-month (p = 0.0179) and 86-month follow-ups (p = 0.0144) but not at 6 months (p = 0.5798).", "Patients with DM were more likely to be female, Indian, Malay, hypertensive, have hypercholesterolemia, have large artery strokes, and nonsmokers. Despite adjustment for all factors which were significant in univariate analyses, including sex, previous stroke, smoking, and follow-up duration, diabetics had worse mRS distributions (Fig. 1) at all time points; diabetics were also more likely to have poor functional outcome (Fig. 2). There was no interaction between DM and follow-up time interaction after adjustment for confounders with respect to mean mRS values (p = 0.9725) or poor functional outcomes (p = 0.9221).", "Older patients were more likely to be female, smokers, have a previous history of stroke, have atrial fibrillation, have lacunar strokes, and have more severe strokes. Ethnic distribution and prevalence of DM, hypertension, and hypercholesterolemia did not differ between the age-groups.\nAmong patients ≤65 years, the odds of poor functional outcome were greater in diabetics versus nondiabetics at the 29-month and 86-month follow-ups, but not at 6 months (shown in Fig. 2). There was a significant difference in the risk of poor functional outcomes between diabetics and nondiabetics in the >65 age-group at 6 months as well as no differences at the 29-month or the 86-month follow-ups. Older patients were more likely to have poorer functional outcomes in both diabetics (OR = 4.41, 95% CI: 1.90–10.25 at 6 months; OR = 2.31, 95% CI: 1.40–3.80 at 29 months; OR = 2.75, 95% CI: 1.64–4.64 at 86 months) and nondiabetics (OR = 3.12, 95% CI: 1.26–7.71 at 6 months; OR = 5.63, 95% CI: 3.26–9.72 at 29 months; OR = 6.59, 95% CI: 4.13–10.54 at 86 months). The effect of time was shown to modify the risk of poor functional outcome relative to the age-group.\nThere were significant interactions between ≤65 and >65 age-groups and DM for the outcome of poor functional status at 29-month (p = 0.0179) and 86-month follow-ups (p = 0.0144) but not at 6 months (p = 0.5798).", "Our findings confirm that DM is a predictor of poor functional outcomes in the long term and provide data from a cohort with the longest follow-up duration to date of 7 years. This adds to prior data with 5-year follow-up which showed that DM was associated with independence but not poor functional outcome [9]. Our study found that difference in functional outcomes following ischemic stroke between diabetics and nondiabetics did not change over time in terms of both mRS distribution and proportion with poor functional outcome. A steady decline of functional outcome over a short term of 6 months following stroke in diabetics has been described in other studies [15, 16, 17], but this is the first time that the progressive impact of DM over the long term has been described. We conclude that the difference between diabetics and nondiabetics remains consistent from the short term to the longer term (up to 7 years) from stroke onset.\nThe impact of DM on functional outcomes in this study is independent of age, sex, smoking history, previous stroke, NIHSS, or follow-up. There are several possible explanations for poorer functional outcomes in diabetics over the short and longer term. First, DM is a known prognostic factor for recurrent stroke [3] and clinically silent strokes [18]. Higher rates of recurrent symptomatic and asymptomatic stroke among diabetics may have led to a poorer functional outcome. Second, DM is associated with a multitude of nonstroke complications including heart disease, vision loss, kidney failure, amputations, neuropathy, autonomic dysfunction, and cognitive dysfunction − all of which may contribute to poorer functional outcomes [19]. Third, hyperglycemia is a poor prognostic factor affecting functional outcome in the short term, and has also been shown to have poorer 3-month outcomes after hyperacute intervention [20, 21, 22]. Lastly, there is newer evidence that the composition of the thrombus differs between diabetics and nondiabetics, with diabetics having more fibrin and fewer red blood cells, which has been hypothesized to account for poorer recanalization rates during endovascular therapy [23]. This study was not designed to confirm these postulations, and further study is needed to understand the underlying reasons for the poorer post-stroke functional outcomes among diabetics.\nIn the long term, DM was associated with increased risk of poor functional outcomes in the ≤65-year-old patients, but showed no effect in patients >65, which may be accounted for by a potential ceiling effect of DM and other age-related comorbidities. This novel finding of a significant interaction between age and DM on functional outcome in a cohort of ischemic stroke patients is consistent with findings from a stroke free cohort [24].\nThe strengths of this study include the large sample size, good retention rate (88.5%), and serial outcomes over a long (7.2 years) follow-up duration. This allowed for assessment of the natural trajectory of functional outcomes after stroke in relation to DM that is described elsewhere. Another strength of our study lies in the use of mRS which confers several advantages over the Barthel Index and self-reported disability scores. The mRS is the most commonly used measure for functional outcome after stroke. It has acceptable inter-rater reliability and captures higher functioning including speech, language, and cognitive function [14]. The Barthel Index has limitations of insensitivity to speech, language, and cognitive dysfunction, and a well-documented ceiling effect [25]. Self-reported scores may be influenced by gender, education, race, or socioeconomic factors, affecting their validity [24].\nThere are several limitations in our study. There is possible selection bias that is inherent to including only patients who can adequately tolerate retinal photography from the MCRS study. However, the baseline characteristics of the cohort studied were similar to those of all patients admitted during the study period. There was no standardized duration from initial stroke to follow-up for each patient, except for the 6-month follow-up due to a practical constraint of manpower resources. As such, the follow-up telephone calls were made during specific months of August 2008 to July 2009 and subsequently from November 2013 to April 2014. Another limitation is the lack of glycemic control records such as blood glucose levels and HbA1c; hence, we were unable to determine whether hyperglycemia in the acute stroke period and poor glycemic control at baseline or during follow-up period explain why diabetic ischemic stroke patients have poorer functional outcomes. As mentioned previously, recurrent symptomatic and silent strokes were also unaccounted for in our study.", "This study shows that DM is associated with poor functional outcomes following ischemic stroke in the long term with the effect remaining consistent throughout the 7-year follow-up period. Differences in functional outcomes between diabetics and nondiabetics over this period remained consistent with no interaction between duration from stroke and diabetes status. However, age modified the association of DM on long-term functional outcome, with younger DM patients having an additive association of poor functional outcome.", "This research was conducted ethically in accordance with the World Medical Association Declaration of Helsinki. This study protocol was reviewed and approved by the SingHealth Centralised Institutional Review Board, approval numbers 2004/010/A and 2008/614/A. Written informed consent was obtained from participants or their next of kin to participate in the study.", "The authors have no conflicts of interest to disclose.", "The Singapore site of the MCRS study is supported by grants from the Singapore National Medical Research Council (NMRC grant number 2004/073; NMRC NIG grant numbers NMRC/0914/2004 and NMRC/0914/S2) and SingHealth Foundation (SHF/FG370P/2007).", "Dr. De Silva drafted the manuscript. Dr. De Silva, Dr. Wong, and Ms. Woon were responsible for the conception and design of this study. Prof Allen and Dr. Huang were responsible for statistical analyses, and Dr. Narasimhalu was responsible for the interpretation of the data. All authors critically reviewed and edited the manuscript.", "The data that support the findings of this study are not publicly available due to their containing information that could compromise the privacy of research participants but are available from the corresponding author upon reasonable request." ]
[ "intro", "materials|methods", null, null, null, null, "results", null, null, "discussion", "conclusions", null, "COI-statement", null, null, "data-availability" ]
[ "Functional outcome", "Long-term prognosis", "Diabetes mellitus", "Stroke" ]
Introduction: Diabetes mellitus (DM) is an important risk factor for stroke. Compared to nondiabetics, diabetics are 2–5 times more likely to have a stroke in age-adjusted analyses [1, 2] and have a higher recurrent stroke rate [3, 4]. DM has been shown to be associated with poorer post-stroke outcomes in the short term with higher rates of death [5] and dependency among diabetic stroke patients up to a year [5, 6, 7, 8]. However, studies on long-term functional outcomes are scarce [9], and there are no published studies on the impact of DM on outcomes beyond 5 years. We compared the post-stroke functional outcome between ischemic stroke patients with and without DM at 3 time points over approximately 7 years (6, 29, and 86 months). We also investigated the influence of DM on post-stroke outcome trajectory and whether the effect of DM on functional outcome was modified by age (≤65 vs. > 65 years) over the 7-year follow-up period [10]. Materials and Methods: Study Population This was a longitudinal observational cohort study on acute stroke patients in the Multi-Centre Retinal Stroke (MCRS) study who were admitted to the Singapore General Hospital from 2005 to 2007 [11]. Inclusion criteria were ischemic stroke within 1 week of onset and tolerance for retinal photography. Ethics approval was obtained from the Institutional Review Board, and written informed consent was obtained from each patient or his/her surrogate. This was a longitudinal observational cohort study on acute stroke patients in the Multi-Centre Retinal Stroke (MCRS) study who were admitted to the Singapore General Hospital from 2005 to 2007 [11]. Inclusion criteria were ischemic stroke within 1 week of onset and tolerance for retinal photography. Ethics approval was obtained from the Institutional Review Board, and written informed consent was obtained from each patient or his/her surrogate. Baseline Data Demographic data consisting of age, sex, ethnicity, and stroke related risk factors were documented. Patients were dichotomized in the analysis according to age as ≤65 or >65 years. DM was defined as prior diagnosis by a physician and/or present treatment with hypoglycemic agents/insulin. Hypertension and hypercholesterolemia were defined as a physician-confirmed diagnosis or from documentation in medical records. Current smokers were defined as persons who smoked or had stopped smoking less than 1 year prior to admission. Atrial fibrillation was defined from electrocardiographs during admission and from medical records. Stroke was subtyped using modified Trial of Org 10172 in Acute Stroke Treatment (TOAST) classification [12], as defined in the Greater Metropolitan Clinical Taskforce for Stroke in New South Wales [11]. Baseline neurological deficits were documented using the National Institutes of Health Stroke Scale (NIHSS) [13]. The severity of neurological deficits was classified as mild (NIHSS score of 0–4), moderate (NIHSS 5–15), and severe (NIHSS >15). Demographic data consisting of age, sex, ethnicity, and stroke related risk factors were documented. Patients were dichotomized in the analysis according to age as ≤65 or >65 years. DM was defined as prior diagnosis by a physician and/or present treatment with hypoglycemic agents/insulin. Hypertension and hypercholesterolemia were defined as a physician-confirmed diagnosis or from documentation in medical records. Current smokers were defined as persons who smoked or had stopped smoking less than 1 year prior to admission. Atrial fibrillation was defined from electrocardiographs during admission and from medical records. Stroke was subtyped using modified Trial of Org 10172 in Acute Stroke Treatment (TOAST) classification [12], as defined in the Greater Metropolitan Clinical Taskforce for Stroke in New South Wales [11]. Baseline neurological deficits were documented using the National Institutes of Health Stroke Scale (NIHSS) [13]. The severity of neurological deficits was classified as mild (NIHSS score of 0–4), moderate (NIHSS 5–15), and severe (NIHSS >15). Outcomes and Follow-Up Assessment Functional outcomes were assessed with modified Rankin Scale (mRS) [14] with poor functional outcome defined as mRS ≥3. Follow-up duration was defined as the time in months from initial stroke presentation to the date of telephone interview. Outcome status was first determined at a follow-up duration of 6 months for all patients. The subsequent 2 follow-up assessments were conducted from August 2008 to July 2009 at a median (interquartile range [IQR]) duration of 29 (24–34) months and from November 2013 to April 2014 at a median (IQR) duration of 86 (71–92) months. Patients were contacted within the aforementioned time periods irrespective of follow-up duration. As such, there is variability in the follow-up times for the second and third follow-ups. Trained study coordinators, masked to clinical findings, assessed mRS status at all follow-ups using a standardized telephone interview with the patient or next of kin. Loss to follow-up was defined as the patient's choice against continued participation or inability to contact the patient via telephone at least 5 times at different times of the day over a period of 3 months, using the contact details provided during the initial admission. Functional outcomes were assessed with modified Rankin Scale (mRS) [14] with poor functional outcome defined as mRS ≥3. Follow-up duration was defined as the time in months from initial stroke presentation to the date of telephone interview. Outcome status was first determined at a follow-up duration of 6 months for all patients. The subsequent 2 follow-up assessments were conducted from August 2008 to July 2009 at a median (interquartile range [IQR]) duration of 29 (24–34) months and from November 2013 to April 2014 at a median (IQR) duration of 86 (71–92) months. Patients were contacted within the aforementioned time periods irrespective of follow-up duration. As such, there is variability in the follow-up times for the second and third follow-ups. Trained study coordinators, masked to clinical findings, assessed mRS status at all follow-ups using a standardized telephone interview with the patient or next of kin. Loss to follow-up was defined as the patient's choice against continued participation or inability to contact the patient via telephone at least 5 times at different times of the day over a period of 3 months, using the contact details provided during the initial admission. Statistical Analysis Statistical analyses were performed using the SAS software University Edition (SAS Institute Inc., Cary, NC, USA). Patient demographic and clinical characteristics were compared using a 2-sample t-test and a χ2 test as appropriate. Univariate binary and generalized logistic regression analyses were performed on all baseline demographic and clinical variables to identify risk factors associated with poor functional outcome. Selection of variables for multivariate analysis was based on known clinical confounders as well as variables significant at p < 0.25 in univariate analysis. Multinomial generalized logistic regression was performed to investigate the association between diabetes and mRS while adjusting for the potential confounders of age, sex, previous stroke, smoking, and follow-up time. Binary logistic regression was performed to investigate the association between DM and poor functional outcomes while adjusting for potential confounders. Follow-up duration was included as a covariate owing to variability in follow-up times for the last two follow-ups. Binary logistic regression was performed to investigate the effect of age category (≤65, >65 years) on poor mRS functional status. Statistical analyses were performed using the SAS software University Edition (SAS Institute Inc., Cary, NC, USA). Patient demographic and clinical characteristics were compared using a 2-sample t-test and a χ2 test as appropriate. Univariate binary and generalized logistic regression analyses were performed on all baseline demographic and clinical variables to identify risk factors associated with poor functional outcome. Selection of variables for multivariate analysis was based on known clinical confounders as well as variables significant at p < 0.25 in univariate analysis. Multinomial generalized logistic regression was performed to investigate the association between diabetes and mRS while adjusting for the potential confounders of age, sex, previous stroke, smoking, and follow-up time. Binary logistic regression was performed to investigate the association between DM and poor functional outcomes while adjusting for potential confounders. Follow-up duration was included as a covariate owing to variability in follow-up times for the last two follow-ups. Binary logistic regression was performed to investigate the effect of age category (≤65, >65 years) on poor mRS functional status. Study Population: This was a longitudinal observational cohort study on acute stroke patients in the Multi-Centre Retinal Stroke (MCRS) study who were admitted to the Singapore General Hospital from 2005 to 2007 [11]. Inclusion criteria were ischemic stroke within 1 week of onset and tolerance for retinal photography. Ethics approval was obtained from the Institutional Review Board, and written informed consent was obtained from each patient or his/her surrogate. Baseline Data: Demographic data consisting of age, sex, ethnicity, and stroke related risk factors were documented. Patients were dichotomized in the analysis according to age as ≤65 or >65 years. DM was defined as prior diagnosis by a physician and/or present treatment with hypoglycemic agents/insulin. Hypertension and hypercholesterolemia were defined as a physician-confirmed diagnosis or from documentation in medical records. Current smokers were defined as persons who smoked or had stopped smoking less than 1 year prior to admission. Atrial fibrillation was defined from electrocardiographs during admission and from medical records. Stroke was subtyped using modified Trial of Org 10172 in Acute Stroke Treatment (TOAST) classification [12], as defined in the Greater Metropolitan Clinical Taskforce for Stroke in New South Wales [11]. Baseline neurological deficits were documented using the National Institutes of Health Stroke Scale (NIHSS) [13]. The severity of neurological deficits was classified as mild (NIHSS score of 0–4), moderate (NIHSS 5–15), and severe (NIHSS >15). Outcomes and Follow-Up Assessment: Functional outcomes were assessed with modified Rankin Scale (mRS) [14] with poor functional outcome defined as mRS ≥3. Follow-up duration was defined as the time in months from initial stroke presentation to the date of telephone interview. Outcome status was first determined at a follow-up duration of 6 months for all patients. The subsequent 2 follow-up assessments were conducted from August 2008 to July 2009 at a median (interquartile range [IQR]) duration of 29 (24–34) months and from November 2013 to April 2014 at a median (IQR) duration of 86 (71–92) months. Patients were contacted within the aforementioned time periods irrespective of follow-up duration. As such, there is variability in the follow-up times for the second and third follow-ups. Trained study coordinators, masked to clinical findings, assessed mRS status at all follow-ups using a standardized telephone interview with the patient or next of kin. Loss to follow-up was defined as the patient's choice against continued participation or inability to contact the patient via telephone at least 5 times at different times of the day over a period of 3 months, using the contact details provided during the initial admission. Statistical Analysis: Statistical analyses were performed using the SAS software University Edition (SAS Institute Inc., Cary, NC, USA). Patient demographic and clinical characteristics were compared using a 2-sample t-test and a χ2 test as appropriate. Univariate binary and generalized logistic regression analyses were performed on all baseline demographic and clinical variables to identify risk factors associated with poor functional outcome. Selection of variables for multivariate analysis was based on known clinical confounders as well as variables significant at p < 0.25 in univariate analysis. Multinomial generalized logistic regression was performed to investigate the association between diabetes and mRS while adjusting for the potential confounders of age, sex, previous stroke, smoking, and follow-up time. Binary logistic regression was performed to investigate the association between DM and poor functional outcomes while adjusting for potential confounders. Follow-up duration was included as a covariate owing to variability in follow-up times for the last two follow-ups. Binary logistic regression was performed to investigate the effect of age category (≤65, >65 years) on poor mRS functional status. Results: Among the 1980 ischemic stroke patients (mean age 66 ± 12 years, 58% male, 80% Chinese, and median baseline NIHSS of 3, IQR 1–7) admitted during the study period, 802 patients were eligible and recruited into the study. Patients recruited into this study had a similar profile (mean age 64 ± 11 years, 63% male, 81% Chinese, and median baseline NIHSS score of 3, IQR 1–5). Baseline characteristics are shown in Table 1. The proportion of patients lost to follow-up or death was 64 (8.0%) at 6 months, 90 (11.0%) at a median follow-up of 29 months, and 92 (11.5%) at a median follow-up of 86 months. The incidence of poor functional outcome was 9% at 6 months, 30% at a median follow-up of 29 months, and 50% at a median follow-up of 86 months. Analyses Stratified by DM Status Patients with DM were more likely to be female, Indian, Malay, hypertensive, have hypercholesterolemia, have large artery strokes, and nonsmokers. Despite adjustment for all factors which were significant in univariate analyses, including sex, previous stroke, smoking, and follow-up duration, diabetics had worse mRS distributions (Fig. 1) at all time points; diabetics were also more likely to have poor functional outcome (Fig. 2). There was no interaction between DM and follow-up time interaction after adjustment for confounders with respect to mean mRS values (p = 0.9725) or poor functional outcomes (p = 0.9221). Patients with DM were more likely to be female, Indian, Malay, hypertensive, have hypercholesterolemia, have large artery strokes, and nonsmokers. Despite adjustment for all factors which were significant in univariate analyses, including sex, previous stroke, smoking, and follow-up duration, diabetics had worse mRS distributions (Fig. 1) at all time points; diabetics were also more likely to have poor functional outcome (Fig. 2). There was no interaction between DM and follow-up time interaction after adjustment for confounders with respect to mean mRS values (p = 0.9725) or poor functional outcomes (p = 0.9221). Analyses Stratified by Age-Group Older patients were more likely to be female, smokers, have a previous history of stroke, have atrial fibrillation, have lacunar strokes, and have more severe strokes. Ethnic distribution and prevalence of DM, hypertension, and hypercholesterolemia did not differ between the age-groups. Among patients ≤65 years, the odds of poor functional outcome were greater in diabetics versus nondiabetics at the 29-month and 86-month follow-ups, but not at 6 months (shown in Fig. 2). There was a significant difference in the risk of poor functional outcomes between diabetics and nondiabetics in the >65 age-group at 6 months as well as no differences at the 29-month or the 86-month follow-ups. Older patients were more likely to have poorer functional outcomes in both diabetics (OR = 4.41, 95% CI: 1.90–10.25 at 6 months; OR = 2.31, 95% CI: 1.40–3.80 at 29 months; OR = 2.75, 95% CI: 1.64–4.64 at 86 months) and nondiabetics (OR = 3.12, 95% CI: 1.26–7.71 at 6 months; OR = 5.63, 95% CI: 3.26–9.72 at 29 months; OR = 6.59, 95% CI: 4.13–10.54 at 86 months). The effect of time was shown to modify the risk of poor functional outcome relative to the age-group. There were significant interactions between ≤65 and >65 age-groups and DM for the outcome of poor functional status at 29-month (p = 0.0179) and 86-month follow-ups (p = 0.0144) but not at 6 months (p = 0.5798). Older patients were more likely to be female, smokers, have a previous history of stroke, have atrial fibrillation, have lacunar strokes, and have more severe strokes. Ethnic distribution and prevalence of DM, hypertension, and hypercholesterolemia did not differ between the age-groups. Among patients ≤65 years, the odds of poor functional outcome were greater in diabetics versus nondiabetics at the 29-month and 86-month follow-ups, but not at 6 months (shown in Fig. 2). There was a significant difference in the risk of poor functional outcomes between diabetics and nondiabetics in the >65 age-group at 6 months as well as no differences at the 29-month or the 86-month follow-ups. Older patients were more likely to have poorer functional outcomes in both diabetics (OR = 4.41, 95% CI: 1.90–10.25 at 6 months; OR = 2.31, 95% CI: 1.40–3.80 at 29 months; OR = 2.75, 95% CI: 1.64–4.64 at 86 months) and nondiabetics (OR = 3.12, 95% CI: 1.26–7.71 at 6 months; OR = 5.63, 95% CI: 3.26–9.72 at 29 months; OR = 6.59, 95% CI: 4.13–10.54 at 86 months). The effect of time was shown to modify the risk of poor functional outcome relative to the age-group. There were significant interactions between ≤65 and >65 age-groups and DM for the outcome of poor functional status at 29-month (p = 0.0179) and 86-month follow-ups (p = 0.0144) but not at 6 months (p = 0.5798). Analyses Stratified by DM Status: Patients with DM were more likely to be female, Indian, Malay, hypertensive, have hypercholesterolemia, have large artery strokes, and nonsmokers. Despite adjustment for all factors which were significant in univariate analyses, including sex, previous stroke, smoking, and follow-up duration, diabetics had worse mRS distributions (Fig. 1) at all time points; diabetics were also more likely to have poor functional outcome (Fig. 2). There was no interaction between DM and follow-up time interaction after adjustment for confounders with respect to mean mRS values (p = 0.9725) or poor functional outcomes (p = 0.9221). Analyses Stratified by Age-Group: Older patients were more likely to be female, smokers, have a previous history of stroke, have atrial fibrillation, have lacunar strokes, and have more severe strokes. Ethnic distribution and prevalence of DM, hypertension, and hypercholesterolemia did not differ between the age-groups. Among patients ≤65 years, the odds of poor functional outcome were greater in diabetics versus nondiabetics at the 29-month and 86-month follow-ups, but not at 6 months (shown in Fig. 2). There was a significant difference in the risk of poor functional outcomes between diabetics and nondiabetics in the >65 age-group at 6 months as well as no differences at the 29-month or the 86-month follow-ups. Older patients were more likely to have poorer functional outcomes in both diabetics (OR = 4.41, 95% CI: 1.90–10.25 at 6 months; OR = 2.31, 95% CI: 1.40–3.80 at 29 months; OR = 2.75, 95% CI: 1.64–4.64 at 86 months) and nondiabetics (OR = 3.12, 95% CI: 1.26–7.71 at 6 months; OR = 5.63, 95% CI: 3.26–9.72 at 29 months; OR = 6.59, 95% CI: 4.13–10.54 at 86 months). The effect of time was shown to modify the risk of poor functional outcome relative to the age-group. There were significant interactions between ≤65 and >65 age-groups and DM for the outcome of poor functional status at 29-month (p = 0.0179) and 86-month follow-ups (p = 0.0144) but not at 6 months (p = 0.5798). Discussion: Our findings confirm that DM is a predictor of poor functional outcomes in the long term and provide data from a cohort with the longest follow-up duration to date of 7 years. This adds to prior data with 5-year follow-up which showed that DM was associated with independence but not poor functional outcome [9]. Our study found that difference in functional outcomes following ischemic stroke between diabetics and nondiabetics did not change over time in terms of both mRS distribution and proportion with poor functional outcome. A steady decline of functional outcome over a short term of 6 months following stroke in diabetics has been described in other studies [15, 16, 17], but this is the first time that the progressive impact of DM over the long term has been described. We conclude that the difference between diabetics and nondiabetics remains consistent from the short term to the longer term (up to 7 years) from stroke onset. The impact of DM on functional outcomes in this study is independent of age, sex, smoking history, previous stroke, NIHSS, or follow-up. There are several possible explanations for poorer functional outcomes in diabetics over the short and longer term. First, DM is a known prognostic factor for recurrent stroke [3] and clinically silent strokes [18]. Higher rates of recurrent symptomatic and asymptomatic stroke among diabetics may have led to a poorer functional outcome. Second, DM is associated with a multitude of nonstroke complications including heart disease, vision loss, kidney failure, amputations, neuropathy, autonomic dysfunction, and cognitive dysfunction − all of which may contribute to poorer functional outcomes [19]. Third, hyperglycemia is a poor prognostic factor affecting functional outcome in the short term, and has also been shown to have poorer 3-month outcomes after hyperacute intervention [20, 21, 22]. Lastly, there is newer evidence that the composition of the thrombus differs between diabetics and nondiabetics, with diabetics having more fibrin and fewer red blood cells, which has been hypothesized to account for poorer recanalization rates during endovascular therapy [23]. This study was not designed to confirm these postulations, and further study is needed to understand the underlying reasons for the poorer post-stroke functional outcomes among diabetics. In the long term, DM was associated with increased risk of poor functional outcomes in the ≤65-year-old patients, but showed no effect in patients >65, which may be accounted for by a potential ceiling effect of DM and other age-related comorbidities. This novel finding of a significant interaction between age and DM on functional outcome in a cohort of ischemic stroke patients is consistent with findings from a stroke free cohort [24]. The strengths of this study include the large sample size, good retention rate (88.5%), and serial outcomes over a long (7.2 years) follow-up duration. This allowed for assessment of the natural trajectory of functional outcomes after stroke in relation to DM that is described elsewhere. Another strength of our study lies in the use of mRS which confers several advantages over the Barthel Index and self-reported disability scores. The mRS is the most commonly used measure for functional outcome after stroke. It has acceptable inter-rater reliability and captures higher functioning including speech, language, and cognitive function [14]. The Barthel Index has limitations of insensitivity to speech, language, and cognitive dysfunction, and a well-documented ceiling effect [25]. Self-reported scores may be influenced by gender, education, race, or socioeconomic factors, affecting their validity [24]. There are several limitations in our study. There is possible selection bias that is inherent to including only patients who can adequately tolerate retinal photography from the MCRS study. However, the baseline characteristics of the cohort studied were similar to those of all patients admitted during the study period. There was no standardized duration from initial stroke to follow-up for each patient, except for the 6-month follow-up due to a practical constraint of manpower resources. As such, the follow-up telephone calls were made during specific months of August 2008 to July 2009 and subsequently from November 2013 to April 2014. Another limitation is the lack of glycemic control records such as blood glucose levels and HbA1c; hence, we were unable to determine whether hyperglycemia in the acute stroke period and poor glycemic control at baseline or during follow-up period explain why diabetic ischemic stroke patients have poorer functional outcomes. As mentioned previously, recurrent symptomatic and silent strokes were also unaccounted for in our study. Conclusions: This study shows that DM is associated with poor functional outcomes following ischemic stroke in the long term with the effect remaining consistent throughout the 7-year follow-up period. Differences in functional outcomes between diabetics and nondiabetics over this period remained consistent with no interaction between duration from stroke and diabetes status. However, age modified the association of DM on long-term functional outcome, with younger DM patients having an additive association of poor functional outcome. Statement of Ethics: This research was conducted ethically in accordance with the World Medical Association Declaration of Helsinki. This study protocol was reviewed and approved by the SingHealth Centralised Institutional Review Board, approval numbers 2004/010/A and 2008/614/A. Written informed consent was obtained from participants or their next of kin to participate in the study. Conflict of Interest Statement: The authors have no conflicts of interest to disclose. Funding Sources: The Singapore site of the MCRS study is supported by grants from the Singapore National Medical Research Council (NMRC grant number 2004/073; NMRC NIG grant numbers NMRC/0914/2004 and NMRC/0914/S2) and SingHealth Foundation (SHF/FG370P/2007). Author Contributions: Dr. De Silva drafted the manuscript. Dr. De Silva, Dr. Wong, and Ms. Woon were responsible for the conception and design of this study. Prof Allen and Dr. Huang were responsible for statistical analyses, and Dr. Narasimhalu was responsible for the interpretation of the data. All authors critically reviewed and edited the manuscript. Data Availability Statement: The data that support the findings of this study are not publicly available due to their containing information that could compromise the privacy of research participants but are available from the corresponding author upon reasonable request.
Background: Diabetes mellitus (DM) is known to influence outcomes in the short term following stroke. However, the impact of DM on long-term functional outcomes after stroke is unclear. We compared functional outcomes periodically over 7 years between diabetic and nondiabetic ischemic stroke patients, and investigated the impact of DM on the long-term trajectory of post-stroke functional outcomes. We also studied the influence of age on the diabetes-functional outcome association. Methods: This is a longitudinal observational cohort study of 802 acute ischemic stroke patients admitted to the Singapore General Hospital from 2005 to 2007. Functional outcomes were assessed using the modified Rankin Scale (mRS) with poor functional outcome defined as mRS ≥3. Follow-up data were determined at 6 months and at median follow-up durations of 29 and 86 months. Results: Among the 802 ischemic stroke patients studied (mean age 64 ± 12 years, male 63%), 42% had DM. In regression analyses adjusting for covariates, diabetic patients were more likely to have poor functional outcomes at 6 months (OR = 2.12, 95% CI: 1.23-3.67) and at median follow-up durations of 29 months (OR = 1.96, 95% CI: 1.37-2.81) and 86 months (OR = 2.27, 95% CI: 1.58-3.25). In addition, age modulated the effect of DM, with younger stroke patients (≤65 years) more likely to have long-term poor functional outcome at the 29-month (p = 0.0179) and 86-month (p = 0.0144) time points. Conclusions: DM was associated with poor functional outcomes following ischemic stroke in the long term, with the effect remaining consistent throughout the 7-year follow-up period. Age modified the effect of DM in the long term, with an observed increase in risk in the ≤65 age-group but not in the >65 age-group.
Introduction: Diabetes mellitus (DM) is an important risk factor for stroke. Compared to nondiabetics, diabetics are 2–5 times more likely to have a stroke in age-adjusted analyses [1, 2] and have a higher recurrent stroke rate [3, 4]. DM has been shown to be associated with poorer post-stroke outcomes in the short term with higher rates of death [5] and dependency among diabetic stroke patients up to a year [5, 6, 7, 8]. However, studies on long-term functional outcomes are scarce [9], and there are no published studies on the impact of DM on outcomes beyond 5 years. We compared the post-stroke functional outcome between ischemic stroke patients with and without DM at 3 time points over approximately 7 years (6, 29, and 86 months). We also investigated the influence of DM on post-stroke outcome trajectory and whether the effect of DM on functional outcome was modified by age (≤65 vs. > 65 years) over the 7-year follow-up period [10]. Conclusions: This study shows that DM is associated with poor functional outcomes following ischemic stroke in the long term with the effect remaining consistent throughout the 7-year follow-up period. Differences in functional outcomes between diabetics and nondiabetics over this period remained consistent with no interaction between duration from stroke and diabetes status. However, age modified the association of DM on long-term functional outcome, with younger DM patients having an additive association of poor functional outcome.
Background: Diabetes mellitus (DM) is known to influence outcomes in the short term following stroke. However, the impact of DM on long-term functional outcomes after stroke is unclear. We compared functional outcomes periodically over 7 years between diabetic and nondiabetic ischemic stroke patients, and investigated the impact of DM on the long-term trajectory of post-stroke functional outcomes. We also studied the influence of age on the diabetes-functional outcome association. Methods: This is a longitudinal observational cohort study of 802 acute ischemic stroke patients admitted to the Singapore General Hospital from 2005 to 2007. Functional outcomes were assessed using the modified Rankin Scale (mRS) with poor functional outcome defined as mRS ≥3. Follow-up data were determined at 6 months and at median follow-up durations of 29 and 86 months. Results: Among the 802 ischemic stroke patients studied (mean age 64 ± 12 years, male 63%), 42% had DM. In regression analyses adjusting for covariates, diabetic patients were more likely to have poor functional outcomes at 6 months (OR = 2.12, 95% CI: 1.23-3.67) and at median follow-up durations of 29 months (OR = 1.96, 95% CI: 1.37-2.81) and 86 months (OR = 2.27, 95% CI: 1.58-3.25). In addition, age modulated the effect of DM, with younger stroke patients (≤65 years) more likely to have long-term poor functional outcome at the 29-month (p = 0.0179) and 86-month (p = 0.0144) time points. Conclusions: DM was associated with poor functional outcomes following ischemic stroke in the long term, with the effect remaining consistent throughout the 7-year follow-up period. Age modified the effect of DM in the long term, with an observed increase in risk in the ≤65 age-group but not in the >65 age-group.
5,099
377
[ 79, 192, 232, 202, 121, 312, 58, 43, 60 ]
16
[ "follow", "stroke", "functional", "months", "poor", "dm", "patients", "age", "outcome", "poor functional" ]
[ "diabetic stroke patients", "stroke diabetes status", "duration stroke diabetes", "ischemic stroke diabetics", "stroke compared nondiabetics" ]
null
[CONTENT] Functional outcome | Long-term prognosis | Diabetes mellitus | Stroke [SUMMARY]
null
[CONTENT] Functional outcome | Long-term prognosis | Diabetes mellitus | Stroke [SUMMARY]
[CONTENT] Functional outcome | Long-term prognosis | Diabetes mellitus | Stroke [SUMMARY]
[CONTENT] Functional outcome | Long-term prognosis | Diabetes mellitus | Stroke [SUMMARY]
[CONTENT] Functional outcome | Long-term prognosis | Diabetes mellitus | Stroke [SUMMARY]
[CONTENT] Aged | Brain Ischemia | Diabetes Mellitus | Humans | Ischemic Stroke | Male | Middle Aged | Risk Factors | Singapore | Stroke [SUMMARY]
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[CONTENT] Aged | Brain Ischemia | Diabetes Mellitus | Humans | Ischemic Stroke | Male | Middle Aged | Risk Factors | Singapore | Stroke [SUMMARY]
[CONTENT] Aged | Brain Ischemia | Diabetes Mellitus | Humans | Ischemic Stroke | Male | Middle Aged | Risk Factors | Singapore | Stroke [SUMMARY]
[CONTENT] Aged | Brain Ischemia | Diabetes Mellitus | Humans | Ischemic Stroke | Male | Middle Aged | Risk Factors | Singapore | Stroke [SUMMARY]
[CONTENT] Aged | Brain Ischemia | Diabetes Mellitus | Humans | Ischemic Stroke | Male | Middle Aged | Risk Factors | Singapore | Stroke [SUMMARY]
[CONTENT] diabetic stroke patients | stroke diabetes status | duration stroke diabetes | ischemic stroke diabetics | stroke compared nondiabetics [SUMMARY]
null
[CONTENT] diabetic stroke patients | stroke diabetes status | duration stroke diabetes | ischemic stroke diabetics | stroke compared nondiabetics [SUMMARY]
[CONTENT] diabetic stroke patients | stroke diabetes status | duration stroke diabetes | ischemic stroke diabetics | stroke compared nondiabetics [SUMMARY]
[CONTENT] diabetic stroke patients | stroke diabetes status | duration stroke diabetes | ischemic stroke diabetics | stroke compared nondiabetics [SUMMARY]
[CONTENT] diabetic stroke patients | stroke diabetes status | duration stroke diabetes | ischemic stroke diabetics | stroke compared nondiabetics [SUMMARY]
[CONTENT] follow | stroke | functional | months | poor | dm | patients | age | outcome | poor functional [SUMMARY]
null
[CONTENT] follow | stroke | functional | months | poor | dm | patients | age | outcome | poor functional [SUMMARY]
[CONTENT] follow | stroke | functional | months | poor | dm | patients | age | outcome | poor functional [SUMMARY]
[CONTENT] follow | stroke | functional | months | poor | dm | patients | age | outcome | poor functional [SUMMARY]
[CONTENT] follow | stroke | functional | months | poor | dm | patients | age | outcome | poor functional [SUMMARY]
[CONTENT] stroke | dm | post stroke | post | studies | higher | years | term | compared | outcome [SUMMARY]
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[CONTENT] months | 95 ci | ci | 95 | month | 29 | 86 | functional | follow | poor [SUMMARY]
[CONTENT] functional | consistent | long term | long | term | dm | association | period | poor functional | poor [SUMMARY]
[CONTENT] functional | stroke | follow | months | dm | poor | study | poor functional | outcome | defined [SUMMARY]
[CONTENT] functional | stroke | follow | months | dm | poor | study | poor functional | outcome | defined [SUMMARY]
[CONTENT] ||| ||| 7 years | DM ||| [SUMMARY]
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[CONTENT] 802 | age 64 ± 12 years | 63% | 42% | DM ||| 6 months | 2.12 | 95% | CI | 1.23 | 29 months | 1.96 | 95% | CI | 1.37 | 86 months | 2.27 | 95% | CI | 1.58-3.25 ||| DM | (≤65 years | 29-month | 0.0179 | 86-month | 0.0144 [SUMMARY]
[CONTENT] 7-year ||| 65 [SUMMARY]
[CONTENT] ||| ||| 7 years | DM ||| ||| 802 | the Singapore General Hospital | 2005 | 2007 ||| Rankin Scale ||| 6 months | 29 and 86 months ||| ||| 802 | age 64 ± 12 years | 63% | 42% | DM ||| 6 months | 2.12 | 95% | CI | 1.23 | 29 months | 1.96 | 95% | CI | 1.37 | 86 months | 2.27 | 95% | CI | 1.58-3.25 ||| DM | (≤65 years | 29-month | 0.0179 | 86-month | 0.0144 ||| 7-year ||| 65 [SUMMARY]
[CONTENT] ||| ||| 7 years | DM ||| ||| 802 | the Singapore General Hospital | 2005 | 2007 ||| Rankin Scale ||| 6 months | 29 and 86 months ||| ||| 802 | age 64 ± 12 years | 63% | 42% | DM ||| 6 months | 2.12 | 95% | CI | 1.23 | 29 months | 1.96 | 95% | CI | 1.37 | 86 months | 2.27 | 95% | CI | 1.58-3.25 ||| DM | (≤65 years | 29-month | 0.0179 | 86-month | 0.0144 ||| 7-year ||| 65 [SUMMARY]
Personal hygiene in schools: retrospective survey in the northern part of Côte d'Ivoire.
34322620
Students' personal hygiene helps maintain health and promote good academic performance. When health facilities are insufficient, this hygiene can be difficult to achieve. We wanted to analyse the determinants of personal hygiene in schools in the northern region of Côte d'Ivoire.
INTRODUCTION
The retrospective cross-sectional study brings together data on 2,035 schoolchildren recruited from thirty schools in northern Côte d'Ivoire. Indexes on personal hygiene were constructed and analysed in comparison to the socio-demographic characteristics of students, homes and schools. They were analysed with R Software version 1.1.463, the χ2 test and a logistic regression model.
METHODS
Overall, the majority of students had good personal hygiene (82.75%) with an average personal hygiene score of 4.74 ± 1.36. The predictors of good personal hygiene among schoolchildren were female gender (OR = 1.5; 95% CI = 4.31-16.37), father's primary education level (OR = 1.55; 95% CI = 1.07-2.29), the father's income level above 60,000 FCFA (90 Euros) and modern housing (OR = 1.45; 95% CI = 1.05-2.03). However, the poor level of home sanitation resulted in poor personal hygiene among the students (OR = 0.34; 95% CI = 0.23-0.5).
RESULTS
Measures to raise the standard of living of families and the provision of sanitary facilities in homes becomes necessary in order to improve students personal hygiene.
CONCLUSIONS
[ "Child", "Cote d'Ivoire", "Cross-Sectional Studies", "Female", "Humans", "Hygiene", "Male", "Retrospective Studies", "Sanitation", "Schools" ]
8283648
Introduction
Personal hygiene refers to the set of practices that help maintain good health and prevent the spread of diseases. This involves regular washing of the body, hands, trimming of the nails, washing clothes, washing the hair and brushing the teeth [1]. In schools, students spend most of their time closer to each other, resulting in rapid transmission of infections, due to their naturally weak immune system and lack of knowledge of basic hygiene practices [2, 3]. Hygiene therefore plays an essential role in the prevention of communicable diseases [4]. These pathologies are the cause of absenteeism (75% in Malaysia in 2019), resulting in working time loss for parents, significant medical expenses due to medical visits and antibiotic prescriptions [5]. More than 1.9 billion school days could be gained if the supply of drinking water, sanitation were achieved and the incidence of diarrhoeal diseases would be reduced [3, 6]. The provision of drinking water and sanitary facilities at schools contribute to improved personal hygiene with a positive impact on the health of students [7]. In Kenya, for example, diarrhoea cases were reduced by half in 2004 [8]. In Burkina Faso, in the study conducted by Erismann et al., the prevalence of helminthiasis was decreased in schools, from 11.4% in 2015 to 8.0% in 2016 [9]. The provision of facilities also encourages the improvement of good hygiene practices as noted in the study by Chard et al. in 2014 in Laos, where we observed an increase in the number of students who used the toilet and washed their hands with soap after using the toilet [10]. However, these facilities are not always available at schools, especially in the underdeveloped countries. In 2018, only 51% of schools in these countries have access to adequate water supply and 45% had adequate sanitation [7]. However, the origins of many adult diseases have their roots from childhood health behaviour. School-aged children can learn specific health-promoting behaviours, even if they do not always understand the links between illness and behaviour [11]. Therefore, hygiene education in schools can promote behaviour that will improve students’ academic performance by reducing the rate of morbidity and absenteeism [1, 4, 12]. Instilling good hygiene practices at a younger age could have a lasting impact on the health of schoolchildren [2, 13]. The factors associated with the personal hygiene of pupils are well elucidated in the literature [14-17], namely the inadequate and insufficient sanitation facilities in schools, the level of education of the father, the level of income of the father, access to drinking water, gender and class of students, cleanliness of toilets, lack of separated toilets only for girls and lack of soap and water in handwashing device. Meanwhile in Côte d’Ivoire, these factors are little studied. It is with this in mind that we analysed the determinants of personal hygiene in the school environment in the northern region of Côte d’Ivoire, based on a database on intestinal helminthiasis carried out in 2016 which made it possible to highlight the personal hygiene index [18, 19].
Material and methods
TYPE OF STUDY AND POPULATION Between October 2016 and January 2017, a cross-sectional study was carried out in 4 departments in the northern area of Côte d’Ivoire, namely the departments of Tengrela, Boundiali, Ferkéssedougou, Dabakala. The study examined elementary school children aged 5 to 15. All schoolchildren present during the survey period and who had lived in the north for more than 3 months were included. However, schoolchildren who had been dewormed 3 weeks before the start of the study were excluded. Sampling The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren. In each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region. The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren. In each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region. Selection Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils. Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils. Between October 2016 and January 2017, a cross-sectional study was carried out in 4 departments in the northern area of Côte d’Ivoire, namely the departments of Tengrela, Boundiali, Ferkéssedougou, Dabakala. The study examined elementary school children aged 5 to 15. All schoolchildren present during the survey period and who had lived in the north for more than 3 months were included. However, schoolchildren who had been dewormed 3 weeks before the start of the study were excluded. Sampling The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren. In each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region. The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren. In each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region. Selection Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils. Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils. COLLECTION OF DATA Data were collected using a standardized questionnaire forms. These data related to age, sex, class, taking dewormer, the student housing environment (rural or urban), certain behaviors (for example, defecating habits, visiting rivers) and status. socio-economic status of the mother. The investigation included the functional signs related to various stages of schistosomiasis, such as itching, headache, stomach upset or diarrhea. Data were collected using a standardized questionnaire forms. These data related to age, sex, class, taking dewormer, the student housing environment (rural or urban), certain behaviors (for example, defecating habits, visiting rivers) and status. socio-economic status of the mother. The investigation included the functional signs related to various stages of schistosomiasis, such as itching, headache, stomach upset or diarrhea. SAMPLE COLLECTION AND LABORATORY PROCEDURES Faecal samples were taken from schoolchildren directly using the plastic pots and analyzed using the Kato-Katz method. A stool sample was taken for each child. This technique has been used to identify S. mansoni eggs and the presence of other helminths, including roundworms, whipworms, hookworms and Taenia sp. Thus a database on hookworms in schools conducted in the north of Côte d’Ivoire was set up. Our study was based on this database, which also contained variables on the personal hygiene of the student, the socio-demographic and environmental characteristics of the student, his family and the variables related to sanitation at school. Schools in the northern region of Côte d’Ivoire face a double challenge : insufficient access to drinking water and poor hygiene and sanitary conditions. Indeed, the average performance in mathematics and reading (-53.8 points and -34.9 points) in the Northern region are lower than the national averages in both subjects and irrespective of the level [20]. The data was exported to an Excel table for the construction of new variables. Faecal samples were taken from schoolchildren directly using the plastic pots and analyzed using the Kato-Katz method. A stool sample was taken for each child. This technique has been used to identify S. mansoni eggs and the presence of other helminths, including roundworms, whipworms, hookworms and Taenia sp. Thus a database on hookworms in schools conducted in the north of Côte d’Ivoire was set up. Our study was based on this database, which also contained variables on the personal hygiene of the student, the socio-demographic and environmental characteristics of the student, his family and the variables related to sanitation at school. Schools in the northern region of Côte d’Ivoire face a double challenge : insufficient access to drinking water and poor hygiene and sanitary conditions. Indeed, the average performance in mathematics and reading (-53.8 points and -34.9 points) in the Northern region are lower than the national averages in both subjects and irrespective of the level [20]. The data was exported to an Excel table for the construction of new variables. VARIABLES Dependent variable The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8. The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8. Dependent variable The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8. The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8. EXPLANATORY VARIABLES The explanatory variables were the socio-demographic characteristics of the students, the area of residence, sanitation at school, the socio-economic characteristics of families and access to water and sanitation in households. The student’s socio-demographic variables included age, gender, and educational attainment. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. Thus, the level of hygiene in the school was good when there was at least one toilet and when the facilities were clean. The socio-demographic variables of the family consisted of the level of education of the father and the mother, the monthly income of the parents recoded into 2 salary levels with reference to the guaranteed minimum inter-professional wage (SMIG) in force in Côte d’Ivoire < 60,000 FCFA and ≥ 60,000 FCFA or 90 Euros. The habitat type has been dichotomized into the modern type habitat and rural type habitat. The household’s water supply source was informed through the availability or not of drinking water at home. Access to good sanitation at home was treated like the disposal of excreta at school. The explanatory variables were the socio-demographic characteristics of the students, the area of residence, sanitation at school, the socio-economic characteristics of families and access to water and sanitation in households. The student’s socio-demographic variables included age, gender, and educational attainment. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. Thus, the level of hygiene in the school was good when there was at least one toilet and when the facilities were clean. The socio-demographic variables of the family consisted of the level of education of the father and the mother, the monthly income of the parents recoded into 2 salary levels with reference to the guaranteed minimum inter-professional wage (SMIG) in force in Côte d’Ivoire < 60,000 FCFA and ≥ 60,000 FCFA or 90 Euros. The habitat type has been dichotomized into the modern type habitat and rural type habitat. The household’s water supply source was informed through the availability or not of drinking water at home. Access to good sanitation at home was treated like the disposal of excreta at school. STATISTICAL ANALYSIS The analysis of the data thus generated was carried out with R Software version 1.1.463. Each variable was subjected to descriptive analysis. Associations between levels of personal hygiene and the variables studied were explored using the χ2 test in univariate analyzes. A p value < 0.05 was considered indicative of a statistically significant association. Individuals with missing data for dependent variables were not retained for analysis. For multivariate analyzes, the analysis strategy was to include in the model all variables that had a p-value of less than 20% in univariate. This threshold has been favored so as not to immediately eliminate the important variables. Then, the variable which, at each step, provided the least information was removed from the model while checking that it was not a confounding factor (percentage of variation in odds ratio greater than 20-25%). This progressive elimination procedure was carried out until a model was obtained which consisted only of significant variables (p-values < 5%). Once the reduced model was obtained, relevant interaction terms were introduced and a top-down procedure was performed again to find out whether any interaction terms were significant (significance level set at 5%). The variables involved in a significant interaction were maintained in the model. The analysis of the data thus generated was carried out with R Software version 1.1.463. Each variable was subjected to descriptive analysis. Associations between levels of personal hygiene and the variables studied were explored using the χ2 test in univariate analyzes. A p value < 0.05 was considered indicative of a statistically significant association. Individuals with missing data for dependent variables were not retained for analysis. For multivariate analyzes, the analysis strategy was to include in the model all variables that had a p-value of less than 20% in univariate. This threshold has been favored so as not to immediately eliminate the important variables. Then, the variable which, at each step, provided the least information was removed from the model while checking that it was not a confounding factor (percentage of variation in odds ratio greater than 20-25%). This progressive elimination procedure was carried out until a model was obtained which consisted only of significant variables (p-values < 5%). Once the reduced model was obtained, relevant interaction terms were introduced and a top-down procedure was performed again to find out whether any interaction terms were significant (significance level set at 5%). The variables involved in a significant interaction were maintained in the model. MISSING DATA Pre-treatment The pre-processing of the data consisted in listing the number of non-response by variable. Data cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database. The pre-processing of the data consisted in listing the number of non-response by variable. Data cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database. Pre-treatment The pre-processing of the data consisted in listing the number of non-response by variable. Data cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database. The pre-processing of the data consisted in listing the number of non-response by variable. Data cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database. ETHICAL CONSIDERATIONS The agreement of the head of the parasitology-mycology department of the Faculty of Pharmacy and Biological Sciences has been obtained for the use of the database. The original file was anonymous. The agreement of the head of the parasitology-mycology department of the Faculty of Pharmacy and Biological Sciences has been obtained for the use of the database. The original file was anonymous.
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Conclusions
Indexes to assess personal hygiene. Socio-demographic characteristics of students in the north of Côte d’Ivoire (n = 2,035). Distribution of students according to the components of personal hygiene (n = 2,035). Univariate analysis of factors associated with student personal hygiene. Personal hygiene and predictive factors among students in the north of Côte d’Ivoire.
[ "Introduction", "TYPE OF STUDY AND POPULATION", "Sampling", "Selection", "COLLECTION OF DATA", "SAMPLE COLLECTION AND LABORATORY PROCEDURES", "VARIABLES", "Dependent variable", "EXPLANATORY VARIABLES", "STATISTICAL ANALYSIS", "MISSING DATA", "Pre-treatment", "ETHICAL CONSIDERATIONS", "Results", "SOCIODEMOGRAPHIC CHARACTERISTICS", "COMPONENTS OF PERSONAL HYGIENE", "UNIVARIATE ANALYSIS", "MULTIVARIATE ANALYSIS", "Discussion", "STUDY LIMITATIONS", "Conclusions" ]
[ "Personal hygiene refers to the set of practices that help maintain good health and prevent the spread of diseases. This involves regular washing of the body, hands, trimming of the nails, washing clothes, washing the hair and brushing the teeth [1]. In schools, students spend most of their time closer to each other, resulting in rapid transmission of infections, due to their naturally weak immune system and lack of knowledge of basic hygiene practices [2, 3]. Hygiene therefore plays an essential role in the prevention of communicable diseases [4]. These pathologies are the cause of absenteeism (75% in Malaysia in 2019), resulting in working time loss for parents, significant medical expenses due to medical visits and antibiotic prescriptions [5]. More than 1.9 billion school days could be gained if the supply of drinking water, sanitation were achieved and the incidence of diarrhoeal diseases would be reduced [3, 6]. The provision of drinking water and sanitary facilities at schools contribute to improved personal hygiene with a positive impact on the health of students [7]. In Kenya, for example, diarrhoea cases were reduced by half in 2004 [8]. In Burkina Faso, in the study conducted by Erismann et al., the prevalence of helminthiasis was decreased in schools, from 11.4% in 2015 to 8.0% in 2016 [9]. The provision of facilities also encourages the improvement of good hygiene practices as noted in the study by Chard et al. in 2014 in Laos, where we observed an increase in the number of students who used the toilet and washed their hands with soap after using the toilet [10]. However, these facilities are not always available at schools, especially in the underdeveloped countries. In 2018, only 51% of schools in these countries have access to adequate water supply and 45% had adequate sanitation [7]. However, the origins of many adult diseases have their roots from childhood health behaviour. School-aged children can learn specific health-promoting behaviours, even if they do not always understand the links between illness and behaviour [11]. Therefore, hygiene education in schools can promote behaviour that will improve students’ academic performance by reducing the rate of morbidity and absenteeism [1, 4, 12]. Instilling good hygiene practices at a younger age could have a lasting impact on the health of schoolchildren [2, 13]. The factors associated with the personal hygiene of pupils are well elucidated in the literature [14-17], namely the inadequate and insufficient sanitation facilities in schools, the level of education of the father, the level of income of the father, access to drinking water, gender and class of students, cleanliness of toilets, lack of separated toilets only for girls and lack of soap and water in handwashing device.\nMeanwhile in Côte d’Ivoire, these factors are little studied. It is with this in mind that we analysed the determinants of personal hygiene in the school environment in the northern region of Côte d’Ivoire, based on a database on intestinal helminthiasis carried out in 2016 which made it possible to highlight the personal hygiene index [18, 19].", "Between October 2016 and January 2017, a cross-sectional study was carried out in 4 departments in the northern area of Côte d’Ivoire, namely the departments of Tengrela, Boundiali, Ferkéssedougou, Dabakala. The study examined elementary school children aged 5 to 15. All schoolchildren present during the survey period and who had lived in the north for more than 3 months were included. However, schoolchildren who had been dewormed 3 weeks before the start of the study were excluded.\nSampling The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren.\nIn each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region.\nThe educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren.\nIn each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region.\nSelection Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils.\nOnce in the classroom, the schoolchildren were randomly selected until they reached ten pupils.", "The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren.\nIn each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region.", "Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils.", "Data were collected using a standardized questionnaire forms. These data related to age, sex, class, taking dewormer, the student housing environment (rural or urban), certain behaviors (for example, defecating habits, visiting rivers) and status. socio-economic status of the mother. The investigation included the functional signs related to various stages of schistosomiasis, such as itching, headache, stomach upset or diarrhea.", "Faecal samples were taken from schoolchildren directly using the plastic pots and analyzed using the Kato-Katz method. A stool sample was taken for each child. This technique has been used to identify S. mansoni eggs and the presence of other helminths, including roundworms, whipworms, hookworms and Taenia sp. Thus a database on hookworms in schools conducted in the north of Côte d’Ivoire was set up. Our study was based on this database, which also contained variables on the personal hygiene of the student, the socio-demographic and environmental characteristics of the student, his family and the variables related to sanitation at school. Schools in the northern region of Côte d’Ivoire face a double challenge : insufficient access to drinking water and poor hygiene and sanitary conditions. Indeed, the average performance in mathematics and reading (-53.8 points and -34.9 points) in the Northern region are lower than the national averages in both subjects and irrespective of the level [20].\nThe data was exported to an Excel table for the construction of new variables.", "Dependent variable The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8.\nThe personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8.", "The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8.", "The explanatory variables were the socio-demographic characteristics of the students, the area of residence, sanitation at school, the socio-economic characteristics of families and access to water and sanitation in households. The student’s socio-demographic variables included age, gender, and educational attainment. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. Thus, the level of hygiene in the school was good when there was at least one toilet and when the facilities were clean.\nThe socio-demographic variables of the family consisted of the level of education of the father and the mother, the monthly income of the parents recoded into 2 salary levels with reference to the guaranteed minimum inter-professional wage (SMIG) in force in Côte d’Ivoire < 60,000 FCFA and ≥ 60,000 FCFA or 90 Euros.\nThe habitat type has been dichotomized into the modern type habitat and rural type habitat.\nThe household’s water supply source was informed through the availability or not of drinking water at home. Access to good sanitation at home was treated like the disposal of excreta at school.", "The analysis of the data thus generated was carried out with R Software version 1.1.463.\nEach variable was subjected to descriptive analysis. Associations between levels of personal hygiene and the variables studied were explored using the χ2 test in univariate analyzes. A p value < 0.05 was considered indicative of a statistically significant association. Individuals with missing data for dependent variables were not retained for analysis. For multivariate analyzes, the analysis strategy was to include in the model all variables that had a p-value of less than 20% in univariate. This threshold has been favored so as not to immediately eliminate the important variables. Then, the variable which, at each step, provided the least information was removed from the model while checking that it was not a confounding factor (percentage of variation in odds ratio greater than 20-25%). This progressive elimination procedure was carried out until a model was obtained which consisted only of significant variables (p-values < 5%). Once the reduced model was obtained, relevant interaction terms were introduced and a top-down procedure was performed again to find out whether any interaction terms were significant (significance level set at 5%). The variables involved in a significant interaction were maintained in the model.", "Pre-treatment The pre-processing of the data consisted in listing the number of non-response by variable.\nData cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database.\nThe pre-processing of the data consisted in listing the number of non-response by variable.\nData cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database.", "The pre-processing of the data consisted in listing the number of non-response by variable.\nData cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database.", "The agreement of the head of the parasitology-mycology department of the Faculty of Pharmacy and Biological Sciences has been obtained for the use of the database. The original file was anonymous.", "SOCIODEMOGRAPHIC CHARACTERISTICS Table II shows the socio-demographic characteristics of students, parents and households. There were 2,035 students with a sex ratio (M/F) of 1.24. There were practically the same number of pupils in the 3 levels CP, CE and CM (33%). The mean age was 9.2 (± 2.33) years. Most students attended schools with toilets (71.9%), however, 84% had poor sanitation in the schools. Most of the students had parents who were not educated, respectively 46% for fathers and 58% for mothers. More than half of the parents had a monthly income greater than or equal to the minimum wage (61% of fathers and 62% of mothers). Almost all of the students came from households where the parents lived as a couple (96.71%). Their housing was 68.55% rural. They had access to drinking water (97%) and a good level of sanitation (75%).\nTable II shows the socio-demographic characteristics of students, parents and households. There were 2,035 students with a sex ratio (M/F) of 1.24. There were practically the same number of pupils in the 3 levels CP, CE and CM (33%). The mean age was 9.2 (± 2.33) years. Most students attended schools with toilets (71.9%), however, 84% had poor sanitation in the schools. Most of the students had parents who were not educated, respectively 46% for fathers and 58% for mothers. More than half of the parents had a monthly income greater than or equal to the minimum wage (61% of fathers and 62% of mothers). Almost all of the students came from households where the parents lived as a couple (96.71%). Their housing was 68.55% rural. They had access to drinking water (97%) and a good level of sanitation (75%).\nCOMPONENTS OF PERSONAL HYGIENE Analysis of personal hygiene in Table III shows that the components “hand hygiene”, “foot hygiene” and “nail hygiene” were poor in 91, 72 and 67% of students, respectively. The most correct hygienic practice was the disposal of excreta (about 2 out of 3 students). Overall personal hygiene was good with an average score of 4.74 ± 1.36. Thus, 8 out of 10 students had good personal hygiene.\nAnalysis of personal hygiene in Table III shows that the components “hand hygiene”, “foot hygiene” and “nail hygiene” were poor in 91, 72 and 67% of students, respectively. The most correct hygienic practice was the disposal of excreta (about 2 out of 3 students). Overall personal hygiene was good with an average score of 4.74 ± 1.36. Thus, 8 out of 10 students had good personal hygiene.\nUNIVARIATE ANALYSIS The univariate analysis presented in Table IV revealed that personal hygiene was better in girls (p = 0.002), in students over 10 years old (p = 0.031) and when school sanitation was good (p < 0.001). Family characteristics related to personal hygiene were parents education level, level of their income above the minimum wage, modern housing and adequate sanitation (p < 0.001). When the household had access to good drinking water, the personal hygiene of the students was also better (p = 0.008).\nThe univariate analysis presented in Table IV revealed that personal hygiene was better in girls (p = 0.002), in students over 10 years old (p = 0.031) and when school sanitation was good (p < 0.001). Family characteristics related to personal hygiene were parents education level, level of their income above the minimum wage, modern housing and adequate sanitation (p < 0.001). When the household had access to good drinking water, the personal hygiene of the students was also better (p = 0.008).\nMULTIVARIATE ANALYSIS In the final logistic regression model, student sex, school and home sanitation, father’s income and education level, family home type were the predictors of good personal hygiene for students (Tab. V). Compared to boys, female students and those whom fathers received an elementary or secondary school education were 1.5 times more likely to have good personal hygiene. The same was true for modern-type housing compared to rural-type housing. The father’s income level above the minimum wage doubled the student’s probability of having good personal hygiene. Adequate sanitation at school was strongly associated with good student personal hygiene (8 times). Poor sanitation at home reduced by a third the probability of the student having good personal hygiene.\nIn the final logistic regression model, student sex, school and home sanitation, father’s income and education level, family home type were the predictors of good personal hygiene for students (Tab. V). Compared to boys, female students and those whom fathers received an elementary or secondary school education were 1.5 times more likely to have good personal hygiene. The same was true for modern-type housing compared to rural-type housing. The father’s income level above the minimum wage doubled the student’s probability of having good personal hygiene. Adequate sanitation at school was strongly associated with good student personal hygiene (8 times). Poor sanitation at home reduced by a third the probability of the student having good personal hygiene.", "Table II shows the socio-demographic characteristics of students, parents and households. There were 2,035 students with a sex ratio (M/F) of 1.24. There were practically the same number of pupils in the 3 levels CP, CE and CM (33%). The mean age was 9.2 (± 2.33) years. Most students attended schools with toilets (71.9%), however, 84% had poor sanitation in the schools. Most of the students had parents who were not educated, respectively 46% for fathers and 58% for mothers. More than half of the parents had a monthly income greater than or equal to the minimum wage (61% of fathers and 62% of mothers). Almost all of the students came from households where the parents lived as a couple (96.71%). Their housing was 68.55% rural. They had access to drinking water (97%) and a good level of sanitation (75%).", "Analysis of personal hygiene in Table III shows that the components “hand hygiene”, “foot hygiene” and “nail hygiene” were poor in 91, 72 and 67% of students, respectively. The most correct hygienic practice was the disposal of excreta (about 2 out of 3 students). Overall personal hygiene was good with an average score of 4.74 ± 1.36. Thus, 8 out of 10 students had good personal hygiene.", "The univariate analysis presented in Table IV revealed that personal hygiene was better in girls (p = 0.002), in students over 10 years old (p = 0.031) and when school sanitation was good (p < 0.001). Family characteristics related to personal hygiene were parents education level, level of their income above the minimum wage, modern housing and adequate sanitation (p < 0.001). When the household had access to good drinking water, the personal hygiene of the students was also better (p = 0.008).", "In the final logistic regression model, student sex, school and home sanitation, father’s income and education level, family home type were the predictors of good personal hygiene for students (Tab. V). Compared to boys, female students and those whom fathers received an elementary or secondary school education were 1.5 times more likely to have good personal hygiene. The same was true for modern-type housing compared to rural-type housing. The father’s income level above the minimum wage doubled the student’s probability of having good personal hygiene. Adequate sanitation at school was strongly associated with good student personal hygiene (8 times). Poor sanitation at home reduced by a third the probability of the student having good personal hygiene.", "This study took place in primary schools in northern Côte d’Ivoire with a sample of 2,035 students. Overall, in our study the majority of students had good personal hygiene (82%), as in the study conducted by Baba et al. in Nigeria, where 74% of school children had good personal hygiene [16]. This personal hygiene was associated with gender (p = 0.002) with girls being 1.5 times cleaner than boys. This trend has also been reported in studies by Motakpalli et al. and Sakar in India [4, 11]. Among the socio-demographic variables of the parents, the primary and secondary education level of the father encouraged more than once a good personal hygiene in the pupils and personal hygiene improved with the advancement in the education level of the pupil and father. Rather, Lopez in 2007 noted that handwashing among students increased with mother’s level of education [17]. Pupils whose fathers had a monthly income greater than or equal to 60,000 FCFA (90 Euros) were 2.36 times cleaner than those whose fathers earn a lower income (p < 0.001). This result could be explained by the fact that the father’s income below the minimum wage is low, however several charges in the household fall on the father, namely sanitary products and sanitary facilities as well as access to potable drinking water which incur costs making this income very insufficient for household needs. These results are similar to those of Oga in 2004 in Agboville where the prevalence of intestinal helminthiasis decreased when the father’s income increased [22].\nIn terms of the household and school environment, our study showed that children who lived in modern-type houses were 1.45 times cleaner than those in rural-type houses (p < 0.001). According to Bewa et al. (2016), in Benin, the type of housing was an indirect reflection of the economic level of the household [23]. In fact, in these households, children do not benefit from amenities such as drinking water supply and excreta disposal and may have difficulty practicing hygiene measures [24]. When schools had good sanitation, students were almost 8 times cleaner than those in schools with poor sanitation (p < 0.001). According to Koné in 2012, in Mali, such unsanitary conditions favour student absenteeism and the spread of diseases linked to faecal peril, in particular diarrheal diseases, typhoid fever and polio [25].\nAmong students aged 10 and above with poor home sanitation, personal hygiene was still 3.38 times more important. This could be related to the adaptability of children’s development as they grow older. It has been reported that the ability to understand and apply basic personal hygiene advice would be improved in older children compared to younger children even if home sanitation was not adequate [16].\nSTUDY LIMITATIONS This study highlights the level of hygiene of school children in the North as well as the risk factors. Outcomes should be considered cautiously as behaviours are self-reported. However, any bias in the responses can overestimate or underestimate the behaviours. The results of this study cannot be generalized to other hygiene practices in the country since the sampling is not representative of the country and it is a retrospective study.\nThis study highlights the level of hygiene of school children in the North as well as the risk factors. Outcomes should be considered cautiously as behaviours are self-reported. However, any bias in the responses can overestimate or underestimate the behaviours. The results of this study cannot be generalized to other hygiene practices in the country since the sampling is not representative of the country and it is a retrospective study.", "This study highlights the level of hygiene of school children in the North as well as the risk factors. Outcomes should be considered cautiously as behaviours are self-reported. However, any bias in the responses can overestimate or underestimate the behaviours. The results of this study cannot be generalized to other hygiene practices in the country since the sampling is not representative of the country and it is a retrospective study.", "The personal hygiene of pupils in northern Côte d’Ivoire was good. Thus girls had better hygiene than boys, children aged 10 and above were cleaner, the more higher the father’s education level was, and the pupil’s personal hygiene increased. Modern housing and sanitation at home and at school promoted good hygiene. Personal hygiene in students therefore requires the provision of health infrastructure both at home and at school, not to mention the training of students. This suggests an effective involvement of education authorities, the economy, without forgetting the participation of teachers, parents and students." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Material and methods", "TYPE OF STUDY AND POPULATION", "Sampling", "Selection", "COLLECTION OF DATA", "SAMPLE COLLECTION AND LABORATORY PROCEDURES", "VARIABLES", "Dependent variable", "EXPLANATORY VARIABLES", "STATISTICAL ANALYSIS", "MISSING DATA", "Pre-treatment", "ETHICAL CONSIDERATIONS", "Results", "SOCIODEMOGRAPHIC CHARACTERISTICS", "COMPONENTS OF PERSONAL HYGIENE", "UNIVARIATE ANALYSIS", "MULTIVARIATE ANALYSIS", "Discussion", "STUDY LIMITATIONS", "Conclusions" ]
[ "Personal hygiene refers to the set of practices that help maintain good health and prevent the spread of diseases. This involves regular washing of the body, hands, trimming of the nails, washing clothes, washing the hair and brushing the teeth [1]. In schools, students spend most of their time closer to each other, resulting in rapid transmission of infections, due to their naturally weak immune system and lack of knowledge of basic hygiene practices [2, 3]. Hygiene therefore plays an essential role in the prevention of communicable diseases [4]. These pathologies are the cause of absenteeism (75% in Malaysia in 2019), resulting in working time loss for parents, significant medical expenses due to medical visits and antibiotic prescriptions [5]. More than 1.9 billion school days could be gained if the supply of drinking water, sanitation were achieved and the incidence of diarrhoeal diseases would be reduced [3, 6]. The provision of drinking water and sanitary facilities at schools contribute to improved personal hygiene with a positive impact on the health of students [7]. In Kenya, for example, diarrhoea cases were reduced by half in 2004 [8]. In Burkina Faso, in the study conducted by Erismann et al., the prevalence of helminthiasis was decreased in schools, from 11.4% in 2015 to 8.0% in 2016 [9]. The provision of facilities also encourages the improvement of good hygiene practices as noted in the study by Chard et al. in 2014 in Laos, where we observed an increase in the number of students who used the toilet and washed their hands with soap after using the toilet [10]. However, these facilities are not always available at schools, especially in the underdeveloped countries. In 2018, only 51% of schools in these countries have access to adequate water supply and 45% had adequate sanitation [7]. However, the origins of many adult diseases have their roots from childhood health behaviour. School-aged children can learn specific health-promoting behaviours, even if they do not always understand the links between illness and behaviour [11]. Therefore, hygiene education in schools can promote behaviour that will improve students’ academic performance by reducing the rate of morbidity and absenteeism [1, 4, 12]. Instilling good hygiene practices at a younger age could have a lasting impact on the health of schoolchildren [2, 13]. The factors associated with the personal hygiene of pupils are well elucidated in the literature [14-17], namely the inadequate and insufficient sanitation facilities in schools, the level of education of the father, the level of income of the father, access to drinking water, gender and class of students, cleanliness of toilets, lack of separated toilets only for girls and lack of soap and water in handwashing device.\nMeanwhile in Côte d’Ivoire, these factors are little studied. It is with this in mind that we analysed the determinants of personal hygiene in the school environment in the northern region of Côte d’Ivoire, based on a database on intestinal helminthiasis carried out in 2016 which made it possible to highlight the personal hygiene index [18, 19].", "TYPE OF STUDY AND POPULATION Between October 2016 and January 2017, a cross-sectional study was carried out in 4 departments in the northern area of Côte d’Ivoire, namely the departments of Tengrela, Boundiali, Ferkéssedougou, Dabakala. The study examined elementary school children aged 5 to 15. All schoolchildren present during the survey period and who had lived in the north for more than 3 months were included. However, schoolchildren who had been dewormed 3 weeks before the start of the study were excluded.\nSampling The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren.\nIn each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region.\nThe educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren.\nIn each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region.\nSelection Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils.\nOnce in the classroom, the schoolchildren were randomly selected until they reached ten pupils.\nBetween October 2016 and January 2017, a cross-sectional study was carried out in 4 departments in the northern area of Côte d’Ivoire, namely the departments of Tengrela, Boundiali, Ferkéssedougou, Dabakala. The study examined elementary school children aged 5 to 15. All schoolchildren present during the survey period and who had lived in the north for more than 3 months were included. However, schoolchildren who had been dewormed 3 weeks before the start of the study were excluded.\nSampling The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren.\nIn each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region.\nThe educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren.\nIn each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region.\nSelection Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils.\nOnce in the classroom, the schoolchildren were randomly selected until they reached ten pupils.\nCOLLECTION OF DATA Data were collected using a standardized questionnaire forms. These data related to age, sex, class, taking dewormer, the student housing environment (rural or urban), certain behaviors (for example, defecating habits, visiting rivers) and status. socio-economic status of the mother. The investigation included the functional signs related to various stages of schistosomiasis, such as itching, headache, stomach upset or diarrhea.\nData were collected using a standardized questionnaire forms. These data related to age, sex, class, taking dewormer, the student housing environment (rural or urban), certain behaviors (for example, defecating habits, visiting rivers) and status. socio-economic status of the mother. The investigation included the functional signs related to various stages of schistosomiasis, such as itching, headache, stomach upset or diarrhea.\nSAMPLE COLLECTION AND LABORATORY PROCEDURES Faecal samples were taken from schoolchildren directly using the plastic pots and analyzed using the Kato-Katz method. A stool sample was taken for each child. This technique has been used to identify S. mansoni eggs and the presence of other helminths, including roundworms, whipworms, hookworms and Taenia sp. Thus a database on hookworms in schools conducted in the north of Côte d’Ivoire was set up. Our study was based on this database, which also contained variables on the personal hygiene of the student, the socio-demographic and environmental characteristics of the student, his family and the variables related to sanitation at school. Schools in the northern region of Côte d’Ivoire face a double challenge : insufficient access to drinking water and poor hygiene and sanitary conditions. Indeed, the average performance in mathematics and reading (-53.8 points and -34.9 points) in the Northern region are lower than the national averages in both subjects and irrespective of the level [20].\nThe data was exported to an Excel table for the construction of new variables.\nFaecal samples were taken from schoolchildren directly using the plastic pots and analyzed using the Kato-Katz method. A stool sample was taken for each child. This technique has been used to identify S. mansoni eggs and the presence of other helminths, including roundworms, whipworms, hookworms and Taenia sp. Thus a database on hookworms in schools conducted in the north of Côte d’Ivoire was set up. Our study was based on this database, which also contained variables on the personal hygiene of the student, the socio-demographic and environmental characteristics of the student, his family and the variables related to sanitation at school. Schools in the northern region of Côte d’Ivoire face a double challenge : insufficient access to drinking water and poor hygiene and sanitary conditions. Indeed, the average performance in mathematics and reading (-53.8 points and -34.9 points) in the Northern region are lower than the national averages in both subjects and irrespective of the level [20].\nThe data was exported to an Excel table for the construction of new variables.\nVARIABLES Dependent variable The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8.\nThe personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8.\nDependent variable The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8.\nThe personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8.\nEXPLANATORY VARIABLES The explanatory variables were the socio-demographic characteristics of the students, the area of residence, sanitation at school, the socio-economic characteristics of families and access to water and sanitation in households. The student’s socio-demographic variables included age, gender, and educational attainment. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. Thus, the level of hygiene in the school was good when there was at least one toilet and when the facilities were clean.\nThe socio-demographic variables of the family consisted of the level of education of the father and the mother, the monthly income of the parents recoded into 2 salary levels with reference to the guaranteed minimum inter-professional wage (SMIG) in force in Côte d’Ivoire < 60,000 FCFA and ≥ 60,000 FCFA or 90 Euros.\nThe habitat type has been dichotomized into the modern type habitat and rural type habitat.\nThe household’s water supply source was informed through the availability or not of drinking water at home. Access to good sanitation at home was treated like the disposal of excreta at school.\nThe explanatory variables were the socio-demographic characteristics of the students, the area of residence, sanitation at school, the socio-economic characteristics of families and access to water and sanitation in households. The student’s socio-demographic variables included age, gender, and educational attainment. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. Thus, the level of hygiene in the school was good when there was at least one toilet and when the facilities were clean.\nThe socio-demographic variables of the family consisted of the level of education of the father and the mother, the monthly income of the parents recoded into 2 salary levels with reference to the guaranteed minimum inter-professional wage (SMIG) in force in Côte d’Ivoire < 60,000 FCFA and ≥ 60,000 FCFA or 90 Euros.\nThe habitat type has been dichotomized into the modern type habitat and rural type habitat.\nThe household’s water supply source was informed through the availability or not of drinking water at home. Access to good sanitation at home was treated like the disposal of excreta at school.\nSTATISTICAL ANALYSIS The analysis of the data thus generated was carried out with R Software version 1.1.463.\nEach variable was subjected to descriptive analysis. Associations between levels of personal hygiene and the variables studied were explored using the χ2 test in univariate analyzes. A p value < 0.05 was considered indicative of a statistically significant association. Individuals with missing data for dependent variables were not retained for analysis. For multivariate analyzes, the analysis strategy was to include in the model all variables that had a p-value of less than 20% in univariate. This threshold has been favored so as not to immediately eliminate the important variables. Then, the variable which, at each step, provided the least information was removed from the model while checking that it was not a confounding factor (percentage of variation in odds ratio greater than 20-25%). This progressive elimination procedure was carried out until a model was obtained which consisted only of significant variables (p-values < 5%). Once the reduced model was obtained, relevant interaction terms were introduced and a top-down procedure was performed again to find out whether any interaction terms were significant (significance level set at 5%). The variables involved in a significant interaction were maintained in the model.\nThe analysis of the data thus generated was carried out with R Software version 1.1.463.\nEach variable was subjected to descriptive analysis. Associations between levels of personal hygiene and the variables studied were explored using the χ2 test in univariate analyzes. A p value < 0.05 was considered indicative of a statistically significant association. Individuals with missing data for dependent variables were not retained for analysis. For multivariate analyzes, the analysis strategy was to include in the model all variables that had a p-value of less than 20% in univariate. This threshold has been favored so as not to immediately eliminate the important variables. Then, the variable which, at each step, provided the least information was removed from the model while checking that it was not a confounding factor (percentage of variation in odds ratio greater than 20-25%). This progressive elimination procedure was carried out until a model was obtained which consisted only of significant variables (p-values < 5%). Once the reduced model was obtained, relevant interaction terms were introduced and a top-down procedure was performed again to find out whether any interaction terms were significant (significance level set at 5%). The variables involved in a significant interaction were maintained in the model.\nMISSING DATA Pre-treatment The pre-processing of the data consisted in listing the number of non-response by variable.\nData cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database.\nThe pre-processing of the data consisted in listing the number of non-response by variable.\nData cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database.\nPre-treatment The pre-processing of the data consisted in listing the number of non-response by variable.\nData cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database.\nThe pre-processing of the data consisted in listing the number of non-response by variable.\nData cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database.\nETHICAL CONSIDERATIONS The agreement of the head of the parasitology-mycology department of the Faculty of Pharmacy and Biological Sciences has been obtained for the use of the database. The original file was anonymous.\nThe agreement of the head of the parasitology-mycology department of the Faculty of Pharmacy and Biological Sciences has been obtained for the use of the database. The original file was anonymous.", "Between October 2016 and January 2017, a cross-sectional study was carried out in 4 departments in the northern area of Côte d’Ivoire, namely the departments of Tengrela, Boundiali, Ferkéssedougou, Dabakala. The study examined elementary school children aged 5 to 15. All schoolchildren present during the survey period and who had lived in the north for more than 3 months were included. However, schoolchildren who had been dewormed 3 weeks before the start of the study were excluded.\nSampling The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren.\nIn each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region.\nThe educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren.\nIn each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region.\nSelection Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils.\nOnce in the classroom, the schoolchildren were randomly selected until they reached ten pupils.", "The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren.\nIn each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region.", "Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils.", "Data were collected using a standardized questionnaire forms. These data related to age, sex, class, taking dewormer, the student housing environment (rural or urban), certain behaviors (for example, defecating habits, visiting rivers) and status. socio-economic status of the mother. The investigation included the functional signs related to various stages of schistosomiasis, such as itching, headache, stomach upset or diarrhea.", "Faecal samples were taken from schoolchildren directly using the plastic pots and analyzed using the Kato-Katz method. A stool sample was taken for each child. This technique has been used to identify S. mansoni eggs and the presence of other helminths, including roundworms, whipworms, hookworms and Taenia sp. Thus a database on hookworms in schools conducted in the north of Côte d’Ivoire was set up. Our study was based on this database, which also contained variables on the personal hygiene of the student, the socio-demographic and environmental characteristics of the student, his family and the variables related to sanitation at school. Schools in the northern region of Côte d’Ivoire face a double challenge : insufficient access to drinking water and poor hygiene and sanitary conditions. Indeed, the average performance in mathematics and reading (-53.8 points and -34.9 points) in the Northern region are lower than the national averages in both subjects and irrespective of the level [20].\nThe data was exported to an Excel table for the construction of new variables.", "Dependent variable The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8.\nThe personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8.", "The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8.", "The explanatory variables were the socio-demographic characteristics of the students, the area of residence, sanitation at school, the socio-economic characteristics of families and access to water and sanitation in households. The student’s socio-demographic variables included age, gender, and educational attainment. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. Thus, the level of hygiene in the school was good when there was at least one toilet and when the facilities were clean.\nThe socio-demographic variables of the family consisted of the level of education of the father and the mother, the monthly income of the parents recoded into 2 salary levels with reference to the guaranteed minimum inter-professional wage (SMIG) in force in Côte d’Ivoire < 60,000 FCFA and ≥ 60,000 FCFA or 90 Euros.\nThe habitat type has been dichotomized into the modern type habitat and rural type habitat.\nThe household’s water supply source was informed through the availability or not of drinking water at home. Access to good sanitation at home was treated like the disposal of excreta at school.", "The analysis of the data thus generated was carried out with R Software version 1.1.463.\nEach variable was subjected to descriptive analysis. Associations between levels of personal hygiene and the variables studied were explored using the χ2 test in univariate analyzes. A p value < 0.05 was considered indicative of a statistically significant association. Individuals with missing data for dependent variables were not retained for analysis. For multivariate analyzes, the analysis strategy was to include in the model all variables that had a p-value of less than 20% in univariate. This threshold has been favored so as not to immediately eliminate the important variables. Then, the variable which, at each step, provided the least information was removed from the model while checking that it was not a confounding factor (percentage of variation in odds ratio greater than 20-25%). This progressive elimination procedure was carried out until a model was obtained which consisted only of significant variables (p-values < 5%). Once the reduced model was obtained, relevant interaction terms were introduced and a top-down procedure was performed again to find out whether any interaction terms were significant (significance level set at 5%). The variables involved in a significant interaction were maintained in the model.", "Pre-treatment The pre-processing of the data consisted in listing the number of non-response by variable.\nData cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database.\nThe pre-processing of the data consisted in listing the number of non-response by variable.\nData cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database.", "The pre-processing of the data consisted in listing the number of non-response by variable.\nData cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database.", "The agreement of the head of the parasitology-mycology department of the Faculty of Pharmacy and Biological Sciences has been obtained for the use of the database. The original file was anonymous.", "SOCIODEMOGRAPHIC CHARACTERISTICS Table II shows the socio-demographic characteristics of students, parents and households. There were 2,035 students with a sex ratio (M/F) of 1.24. There were practically the same number of pupils in the 3 levels CP, CE and CM (33%). The mean age was 9.2 (± 2.33) years. Most students attended schools with toilets (71.9%), however, 84% had poor sanitation in the schools. Most of the students had parents who were not educated, respectively 46% for fathers and 58% for mothers. More than half of the parents had a monthly income greater than or equal to the minimum wage (61% of fathers and 62% of mothers). Almost all of the students came from households where the parents lived as a couple (96.71%). Their housing was 68.55% rural. They had access to drinking water (97%) and a good level of sanitation (75%).\nTable II shows the socio-demographic characteristics of students, parents and households. There were 2,035 students with a sex ratio (M/F) of 1.24. There were practically the same number of pupils in the 3 levels CP, CE and CM (33%). The mean age was 9.2 (± 2.33) years. Most students attended schools with toilets (71.9%), however, 84% had poor sanitation in the schools. Most of the students had parents who were not educated, respectively 46% for fathers and 58% for mothers. More than half of the parents had a monthly income greater than or equal to the minimum wage (61% of fathers and 62% of mothers). Almost all of the students came from households where the parents lived as a couple (96.71%). Their housing was 68.55% rural. They had access to drinking water (97%) and a good level of sanitation (75%).\nCOMPONENTS OF PERSONAL HYGIENE Analysis of personal hygiene in Table III shows that the components “hand hygiene”, “foot hygiene” and “nail hygiene” were poor in 91, 72 and 67% of students, respectively. The most correct hygienic practice was the disposal of excreta (about 2 out of 3 students). Overall personal hygiene was good with an average score of 4.74 ± 1.36. Thus, 8 out of 10 students had good personal hygiene.\nAnalysis of personal hygiene in Table III shows that the components “hand hygiene”, “foot hygiene” and “nail hygiene” were poor in 91, 72 and 67% of students, respectively. The most correct hygienic practice was the disposal of excreta (about 2 out of 3 students). Overall personal hygiene was good with an average score of 4.74 ± 1.36. Thus, 8 out of 10 students had good personal hygiene.\nUNIVARIATE ANALYSIS The univariate analysis presented in Table IV revealed that personal hygiene was better in girls (p = 0.002), in students over 10 years old (p = 0.031) and when school sanitation was good (p < 0.001). Family characteristics related to personal hygiene were parents education level, level of their income above the minimum wage, modern housing and adequate sanitation (p < 0.001). When the household had access to good drinking water, the personal hygiene of the students was also better (p = 0.008).\nThe univariate analysis presented in Table IV revealed that personal hygiene was better in girls (p = 0.002), in students over 10 years old (p = 0.031) and when school sanitation was good (p < 0.001). Family characteristics related to personal hygiene were parents education level, level of their income above the minimum wage, modern housing and adequate sanitation (p < 0.001). When the household had access to good drinking water, the personal hygiene of the students was also better (p = 0.008).\nMULTIVARIATE ANALYSIS In the final logistic regression model, student sex, school and home sanitation, father’s income and education level, family home type were the predictors of good personal hygiene for students (Tab. V). Compared to boys, female students and those whom fathers received an elementary or secondary school education were 1.5 times more likely to have good personal hygiene. The same was true for modern-type housing compared to rural-type housing. The father’s income level above the minimum wage doubled the student’s probability of having good personal hygiene. Adequate sanitation at school was strongly associated with good student personal hygiene (8 times). Poor sanitation at home reduced by a third the probability of the student having good personal hygiene.\nIn the final logistic regression model, student sex, school and home sanitation, father’s income and education level, family home type were the predictors of good personal hygiene for students (Tab. V). Compared to boys, female students and those whom fathers received an elementary or secondary school education were 1.5 times more likely to have good personal hygiene. The same was true for modern-type housing compared to rural-type housing. The father’s income level above the minimum wage doubled the student’s probability of having good personal hygiene. Adequate sanitation at school was strongly associated with good student personal hygiene (8 times). Poor sanitation at home reduced by a third the probability of the student having good personal hygiene.", "Table II shows the socio-demographic characteristics of students, parents and households. There were 2,035 students with a sex ratio (M/F) of 1.24. There were practically the same number of pupils in the 3 levels CP, CE and CM (33%). The mean age was 9.2 (± 2.33) years. Most students attended schools with toilets (71.9%), however, 84% had poor sanitation in the schools. Most of the students had parents who were not educated, respectively 46% for fathers and 58% for mothers. More than half of the parents had a monthly income greater than or equal to the minimum wage (61% of fathers and 62% of mothers). Almost all of the students came from households where the parents lived as a couple (96.71%). Their housing was 68.55% rural. They had access to drinking water (97%) and a good level of sanitation (75%).", "Analysis of personal hygiene in Table III shows that the components “hand hygiene”, “foot hygiene” and “nail hygiene” were poor in 91, 72 and 67% of students, respectively. The most correct hygienic practice was the disposal of excreta (about 2 out of 3 students). Overall personal hygiene was good with an average score of 4.74 ± 1.36. Thus, 8 out of 10 students had good personal hygiene.", "The univariate analysis presented in Table IV revealed that personal hygiene was better in girls (p = 0.002), in students over 10 years old (p = 0.031) and when school sanitation was good (p < 0.001). Family characteristics related to personal hygiene were parents education level, level of their income above the minimum wage, modern housing and adequate sanitation (p < 0.001). When the household had access to good drinking water, the personal hygiene of the students was also better (p = 0.008).", "In the final logistic regression model, student sex, school and home sanitation, father’s income and education level, family home type were the predictors of good personal hygiene for students (Tab. V). Compared to boys, female students and those whom fathers received an elementary or secondary school education were 1.5 times more likely to have good personal hygiene. The same was true for modern-type housing compared to rural-type housing. The father’s income level above the minimum wage doubled the student’s probability of having good personal hygiene. Adequate sanitation at school was strongly associated with good student personal hygiene (8 times). Poor sanitation at home reduced by a third the probability of the student having good personal hygiene.", "This study took place in primary schools in northern Côte d’Ivoire with a sample of 2,035 students. Overall, in our study the majority of students had good personal hygiene (82%), as in the study conducted by Baba et al. in Nigeria, where 74% of school children had good personal hygiene [16]. This personal hygiene was associated with gender (p = 0.002) with girls being 1.5 times cleaner than boys. This trend has also been reported in studies by Motakpalli et al. and Sakar in India [4, 11]. Among the socio-demographic variables of the parents, the primary and secondary education level of the father encouraged more than once a good personal hygiene in the pupils and personal hygiene improved with the advancement in the education level of the pupil and father. Rather, Lopez in 2007 noted that handwashing among students increased with mother’s level of education [17]. Pupils whose fathers had a monthly income greater than or equal to 60,000 FCFA (90 Euros) were 2.36 times cleaner than those whose fathers earn a lower income (p < 0.001). This result could be explained by the fact that the father’s income below the minimum wage is low, however several charges in the household fall on the father, namely sanitary products and sanitary facilities as well as access to potable drinking water which incur costs making this income very insufficient for household needs. These results are similar to those of Oga in 2004 in Agboville where the prevalence of intestinal helminthiasis decreased when the father’s income increased [22].\nIn terms of the household and school environment, our study showed that children who lived in modern-type houses were 1.45 times cleaner than those in rural-type houses (p < 0.001). According to Bewa et al. (2016), in Benin, the type of housing was an indirect reflection of the economic level of the household [23]. In fact, in these households, children do not benefit from amenities such as drinking water supply and excreta disposal and may have difficulty practicing hygiene measures [24]. When schools had good sanitation, students were almost 8 times cleaner than those in schools with poor sanitation (p < 0.001). According to Koné in 2012, in Mali, such unsanitary conditions favour student absenteeism and the spread of diseases linked to faecal peril, in particular diarrheal diseases, typhoid fever and polio [25].\nAmong students aged 10 and above with poor home sanitation, personal hygiene was still 3.38 times more important. This could be related to the adaptability of children’s development as they grow older. It has been reported that the ability to understand and apply basic personal hygiene advice would be improved in older children compared to younger children even if home sanitation was not adequate [16].\nSTUDY LIMITATIONS This study highlights the level of hygiene of school children in the North as well as the risk factors. Outcomes should be considered cautiously as behaviours are self-reported. However, any bias in the responses can overestimate or underestimate the behaviours. The results of this study cannot be generalized to other hygiene practices in the country since the sampling is not representative of the country and it is a retrospective study.\nThis study highlights the level of hygiene of school children in the North as well as the risk factors. Outcomes should be considered cautiously as behaviours are self-reported. However, any bias in the responses can overestimate or underestimate the behaviours. The results of this study cannot be generalized to other hygiene practices in the country since the sampling is not representative of the country and it is a retrospective study.", "This study highlights the level of hygiene of school children in the North as well as the risk factors. Outcomes should be considered cautiously as behaviours are self-reported. However, any bias in the responses can overestimate or underestimate the behaviours. The results of this study cannot be generalized to other hygiene practices in the country since the sampling is not representative of the country and it is a retrospective study.", "The personal hygiene of pupils in northern Côte d’Ivoire was good. Thus girls had better hygiene than boys, children aged 10 and above were cleaner, the more higher the father’s education level was, and the pupil’s personal hygiene increased. Modern housing and sanitation at home and at school promoted good hygiene. Personal hygiene in students therefore requires the provision of health infrastructure both at home and at school, not to mention the training of students. This suggests an effective involvement of education authorities, the economy, without forgetting the participation of teachers, parents and students." ]
[ null, "methods", null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Personal hygiene", "Primary school students", "North Côte D’Ivoire" ]
Introduction: Personal hygiene refers to the set of practices that help maintain good health and prevent the spread of diseases. This involves regular washing of the body, hands, trimming of the nails, washing clothes, washing the hair and brushing the teeth [1]. In schools, students spend most of their time closer to each other, resulting in rapid transmission of infections, due to their naturally weak immune system and lack of knowledge of basic hygiene practices [2, 3]. Hygiene therefore plays an essential role in the prevention of communicable diseases [4]. These pathologies are the cause of absenteeism (75% in Malaysia in 2019), resulting in working time loss for parents, significant medical expenses due to medical visits and antibiotic prescriptions [5]. More than 1.9 billion school days could be gained if the supply of drinking water, sanitation were achieved and the incidence of diarrhoeal diseases would be reduced [3, 6]. The provision of drinking water and sanitary facilities at schools contribute to improved personal hygiene with a positive impact on the health of students [7]. In Kenya, for example, diarrhoea cases were reduced by half in 2004 [8]. In Burkina Faso, in the study conducted by Erismann et al., the prevalence of helminthiasis was decreased in schools, from 11.4% in 2015 to 8.0% in 2016 [9]. The provision of facilities also encourages the improvement of good hygiene practices as noted in the study by Chard et al. in 2014 in Laos, where we observed an increase in the number of students who used the toilet and washed their hands with soap after using the toilet [10]. However, these facilities are not always available at schools, especially in the underdeveloped countries. In 2018, only 51% of schools in these countries have access to adequate water supply and 45% had adequate sanitation [7]. However, the origins of many adult diseases have their roots from childhood health behaviour. School-aged children can learn specific health-promoting behaviours, even if they do not always understand the links between illness and behaviour [11]. Therefore, hygiene education in schools can promote behaviour that will improve students’ academic performance by reducing the rate of morbidity and absenteeism [1, 4, 12]. Instilling good hygiene practices at a younger age could have a lasting impact on the health of schoolchildren [2, 13]. The factors associated with the personal hygiene of pupils are well elucidated in the literature [14-17], namely the inadequate and insufficient sanitation facilities in schools, the level of education of the father, the level of income of the father, access to drinking water, gender and class of students, cleanliness of toilets, lack of separated toilets only for girls and lack of soap and water in handwashing device. Meanwhile in Côte d’Ivoire, these factors are little studied. It is with this in mind that we analysed the determinants of personal hygiene in the school environment in the northern region of Côte d’Ivoire, based on a database on intestinal helminthiasis carried out in 2016 which made it possible to highlight the personal hygiene index [18, 19]. Material and methods: TYPE OF STUDY AND POPULATION Between October 2016 and January 2017, a cross-sectional study was carried out in 4 departments in the northern area of Côte d’Ivoire, namely the departments of Tengrela, Boundiali, Ferkéssedougou, Dabakala. The study examined elementary school children aged 5 to 15. All schoolchildren present during the survey period and who had lived in the north for more than 3 months were included. However, schoolchildren who had been dewormed 3 weeks before the start of the study were excluded. Sampling The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren. In each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region. The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren. In each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region. Selection Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils. Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils. Between October 2016 and January 2017, a cross-sectional study was carried out in 4 departments in the northern area of Côte d’Ivoire, namely the departments of Tengrela, Boundiali, Ferkéssedougou, Dabakala. The study examined elementary school children aged 5 to 15. All schoolchildren present during the survey period and who had lived in the north for more than 3 months were included. However, schoolchildren who had been dewormed 3 weeks before the start of the study were excluded. Sampling The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren. In each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region. The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren. In each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region. Selection Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils. Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils. COLLECTION OF DATA Data were collected using a standardized questionnaire forms. These data related to age, sex, class, taking dewormer, the student housing environment (rural or urban), certain behaviors (for example, defecating habits, visiting rivers) and status. socio-economic status of the mother. The investigation included the functional signs related to various stages of schistosomiasis, such as itching, headache, stomach upset or diarrhea. Data were collected using a standardized questionnaire forms. These data related to age, sex, class, taking dewormer, the student housing environment (rural or urban), certain behaviors (for example, defecating habits, visiting rivers) and status. socio-economic status of the mother. The investigation included the functional signs related to various stages of schistosomiasis, such as itching, headache, stomach upset or diarrhea. SAMPLE COLLECTION AND LABORATORY PROCEDURES Faecal samples were taken from schoolchildren directly using the plastic pots and analyzed using the Kato-Katz method. A stool sample was taken for each child. This technique has been used to identify S. mansoni eggs and the presence of other helminths, including roundworms, whipworms, hookworms and Taenia sp. Thus a database on hookworms in schools conducted in the north of Côte d’Ivoire was set up. Our study was based on this database, which also contained variables on the personal hygiene of the student, the socio-demographic and environmental characteristics of the student, his family and the variables related to sanitation at school. Schools in the northern region of Côte d’Ivoire face a double challenge : insufficient access to drinking water and poor hygiene and sanitary conditions. Indeed, the average performance in mathematics and reading (-53.8 points and -34.9 points) in the Northern region are lower than the national averages in both subjects and irrespective of the level [20]. The data was exported to an Excel table for the construction of new variables. Faecal samples were taken from schoolchildren directly using the plastic pots and analyzed using the Kato-Katz method. A stool sample was taken for each child. This technique has been used to identify S. mansoni eggs and the presence of other helminths, including roundworms, whipworms, hookworms and Taenia sp. Thus a database on hookworms in schools conducted in the north of Côte d’Ivoire was set up. Our study was based on this database, which also contained variables on the personal hygiene of the student, the socio-demographic and environmental characteristics of the student, his family and the variables related to sanitation at school. Schools in the northern region of Côte d’Ivoire face a double challenge : insufficient access to drinking water and poor hygiene and sanitary conditions. Indeed, the average performance in mathematics and reading (-53.8 points and -34.9 points) in the Northern region are lower than the national averages in both subjects and irrespective of the level [20]. The data was exported to an Excel table for the construction of new variables. VARIABLES Dependent variable The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8. The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8. Dependent variable The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8. The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8. EXPLANATORY VARIABLES The explanatory variables were the socio-demographic characteristics of the students, the area of residence, sanitation at school, the socio-economic characteristics of families and access to water and sanitation in households. The student’s socio-demographic variables included age, gender, and educational attainment. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. Thus, the level of hygiene in the school was good when there was at least one toilet and when the facilities were clean. The socio-demographic variables of the family consisted of the level of education of the father and the mother, the monthly income of the parents recoded into 2 salary levels with reference to the guaranteed minimum inter-professional wage (SMIG) in force in Côte d’Ivoire < 60,000 FCFA and ≥ 60,000 FCFA or 90 Euros. The habitat type has been dichotomized into the modern type habitat and rural type habitat. The household’s water supply source was informed through the availability or not of drinking water at home. Access to good sanitation at home was treated like the disposal of excreta at school. The explanatory variables were the socio-demographic characteristics of the students, the area of residence, sanitation at school, the socio-economic characteristics of families and access to water and sanitation in households. The student’s socio-demographic variables included age, gender, and educational attainment. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. Thus, the level of hygiene in the school was good when there was at least one toilet and when the facilities were clean. The socio-demographic variables of the family consisted of the level of education of the father and the mother, the monthly income of the parents recoded into 2 salary levels with reference to the guaranteed minimum inter-professional wage (SMIG) in force in Côte d’Ivoire < 60,000 FCFA and ≥ 60,000 FCFA or 90 Euros. The habitat type has been dichotomized into the modern type habitat and rural type habitat. The household’s water supply source was informed through the availability or not of drinking water at home. Access to good sanitation at home was treated like the disposal of excreta at school. STATISTICAL ANALYSIS The analysis of the data thus generated was carried out with R Software version 1.1.463. Each variable was subjected to descriptive analysis. Associations between levels of personal hygiene and the variables studied were explored using the χ2 test in univariate analyzes. A p value < 0.05 was considered indicative of a statistically significant association. Individuals with missing data for dependent variables were not retained for analysis. For multivariate analyzes, the analysis strategy was to include in the model all variables that had a p-value of less than 20% in univariate. This threshold has been favored so as not to immediately eliminate the important variables. Then, the variable which, at each step, provided the least information was removed from the model while checking that it was not a confounding factor (percentage of variation in odds ratio greater than 20-25%). This progressive elimination procedure was carried out until a model was obtained which consisted only of significant variables (p-values < 5%). Once the reduced model was obtained, relevant interaction terms were introduced and a top-down procedure was performed again to find out whether any interaction terms were significant (significance level set at 5%). The variables involved in a significant interaction were maintained in the model. The analysis of the data thus generated was carried out with R Software version 1.1.463. Each variable was subjected to descriptive analysis. Associations between levels of personal hygiene and the variables studied were explored using the χ2 test in univariate analyzes. A p value < 0.05 was considered indicative of a statistically significant association. Individuals with missing data for dependent variables were not retained for analysis. For multivariate analyzes, the analysis strategy was to include in the model all variables that had a p-value of less than 20% in univariate. This threshold has been favored so as not to immediately eliminate the important variables. Then, the variable which, at each step, provided the least information was removed from the model while checking that it was not a confounding factor (percentage of variation in odds ratio greater than 20-25%). This progressive elimination procedure was carried out until a model was obtained which consisted only of significant variables (p-values < 5%). Once the reduced model was obtained, relevant interaction terms were introduced and a top-down procedure was performed again to find out whether any interaction terms were significant (significance level set at 5%). The variables involved in a significant interaction were maintained in the model. MISSING DATA Pre-treatment The pre-processing of the data consisted in listing the number of non-response by variable. Data cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database. The pre-processing of the data consisted in listing the number of non-response by variable. Data cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database. Pre-treatment The pre-processing of the data consisted in listing the number of non-response by variable. Data cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database. The pre-processing of the data consisted in listing the number of non-response by variable. Data cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database. ETHICAL CONSIDERATIONS The agreement of the head of the parasitology-mycology department of the Faculty of Pharmacy and Biological Sciences has been obtained for the use of the database. The original file was anonymous. The agreement of the head of the parasitology-mycology department of the Faculty of Pharmacy and Biological Sciences has been obtained for the use of the database. The original file was anonymous. TYPE OF STUDY AND POPULATION: Between October 2016 and January 2017, a cross-sectional study was carried out in 4 departments in the northern area of Côte d’Ivoire, namely the departments of Tengrela, Boundiali, Ferkéssedougou, Dabakala. The study examined elementary school children aged 5 to 15. All schoolchildren present during the survey period and who had lived in the north for more than 3 months were included. However, schoolchildren who had been dewormed 3 weeks before the start of the study were excluded. Sampling The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren. In each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region. The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren. In each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region. Selection Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils. Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils. Sampling: The educational departments of northern Côte d’Ivoire comprised 536 primary schools, with 81,041 schoolchildren enrolled in the period for the 2014-2015 school year [Department of Strategies, Planning and Statistics (DSPS, 2014-2015)]. To calculate the minimum number of schools and children to be included, the sample size was determined using Schwartz’s formula with a theoretical prevalence of 50%, accuracy of 5%. The calculated sample was 384 students extrapolated to 510 students per region. The total enrollment was 2,040 schoolchildren. In each region we have made the reasoned choice to take 60 classes, which brings us to an enrollment of 8.5 students per class, rounded off to 10 students per class. Each school has 6 classes, we have selected 10 schools per region. Selection: Once in the classroom, the schoolchildren were randomly selected until they reached ten pupils. COLLECTION OF DATA: Data were collected using a standardized questionnaire forms. These data related to age, sex, class, taking dewormer, the student housing environment (rural or urban), certain behaviors (for example, defecating habits, visiting rivers) and status. socio-economic status of the mother. The investigation included the functional signs related to various stages of schistosomiasis, such as itching, headache, stomach upset or diarrhea. SAMPLE COLLECTION AND LABORATORY PROCEDURES: Faecal samples were taken from schoolchildren directly using the plastic pots and analyzed using the Kato-Katz method. A stool sample was taken for each child. This technique has been used to identify S. mansoni eggs and the presence of other helminths, including roundworms, whipworms, hookworms and Taenia sp. Thus a database on hookworms in schools conducted in the north of Côte d’Ivoire was set up. Our study was based on this database, which also contained variables on the personal hygiene of the student, the socio-demographic and environmental characteristics of the student, his family and the variables related to sanitation at school. Schools in the northern region of Côte d’Ivoire face a double challenge : insufficient access to drinking water and poor hygiene and sanitary conditions. Indeed, the average performance in mathematics and reading (-53.8 points and -34.9 points) in the Northern region are lower than the national averages in both subjects and irrespective of the level [20]. The data was exported to an Excel table for the construction of new variables. VARIABLES: Dependent variable The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8. The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8. Dependent variable: The personal hygiene variable was constructed by referring to the personal hygiene index developed by Jeyakumar et al. [21]. The personal hygiene items (explained variable) consisted of four domains including hand hygiene, nail hygiene, wearing shoes, school excreta disposal. For hand hygiene, 3 criteria were retained, for nail hygiene and the wearing of shoes, these criteria were two in number and one criterion was retained for the elimination of excreta. The personal hygiene variable therefore included a total of 8 criteria (Tab. I). Hand hygiene was said to be good if the student always washed his hands before eating and after bowel movements, using soap and water. Nail hygiene was good if the student did not bite his or her nails and had clean nails. Foot hygiene was correct if the student had shoes that he always put on. Excreta disposal was correct if the student used the toilet. Each observation could get a score of 0 or 1. When the observed practice was positive, a score of 1 was assigned. The level of personal hygiene was therefore calculated by adding the scores. Thus, the total personal hygiene score was between 0 and 8. A poor personal hygiene practice corresponded to a score less than or equal to 3, a good personal hygiene practice to a score between 4 and 5 and a very good personal hygiene practice corresponded to a score between 6 and 8. EXPLANATORY VARIABLES: The explanatory variables were the socio-demographic characteristics of the students, the area of residence, sanitation at school, the socio-economic characteristics of families and access to water and sanitation in households. The student’s socio-demographic variables included age, gender, and educational attainment. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. The school sanitation was assessed on the basis of the answers to the existence of toilets in the school and the state of cleanliness of these toilets. Thus, the level of hygiene in the school was good when there was at least one toilet and when the facilities were clean. The socio-demographic variables of the family consisted of the level of education of the father and the mother, the monthly income of the parents recoded into 2 salary levels with reference to the guaranteed minimum inter-professional wage (SMIG) in force in Côte d’Ivoire < 60,000 FCFA and ≥ 60,000 FCFA or 90 Euros. The habitat type has been dichotomized into the modern type habitat and rural type habitat. The household’s water supply source was informed through the availability or not of drinking water at home. Access to good sanitation at home was treated like the disposal of excreta at school. STATISTICAL ANALYSIS: The analysis of the data thus generated was carried out with R Software version 1.1.463. Each variable was subjected to descriptive analysis. Associations between levels of personal hygiene and the variables studied were explored using the χ2 test in univariate analyzes. A p value < 0.05 was considered indicative of a statistically significant association. Individuals with missing data for dependent variables were not retained for analysis. For multivariate analyzes, the analysis strategy was to include in the model all variables that had a p-value of less than 20% in univariate. This threshold has been favored so as not to immediately eliminate the important variables. Then, the variable which, at each step, provided the least information was removed from the model while checking that it was not a confounding factor (percentage of variation in odds ratio greater than 20-25%). This progressive elimination procedure was carried out until a model was obtained which consisted only of significant variables (p-values < 5%). Once the reduced model was obtained, relevant interaction terms were introduced and a top-down procedure was performed again to find out whether any interaction terms were significant (significance level set at 5%). The variables involved in a significant interaction were maintained in the model. MISSING DATA: Pre-treatment The pre-processing of the data consisted in listing the number of non-response by variable. Data cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database. The pre-processing of the data consisted in listing the number of non-response by variable. Data cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database. Pre-treatment: The pre-processing of the data consisted in listing the number of non-response by variable. Data cleaning and missing data management. The non-response rates were estimated and were relatively low because only 5 (0.24%) children were concerned, which allowed us not to take them into account in our study and to have a correct database. ETHICAL CONSIDERATIONS: The agreement of the head of the parasitology-mycology department of the Faculty of Pharmacy and Biological Sciences has been obtained for the use of the database. The original file was anonymous. Results: SOCIODEMOGRAPHIC CHARACTERISTICS Table II shows the socio-demographic characteristics of students, parents and households. There were 2,035 students with a sex ratio (M/F) of 1.24. There were practically the same number of pupils in the 3 levels CP, CE and CM (33%). The mean age was 9.2 (± 2.33) years. Most students attended schools with toilets (71.9%), however, 84% had poor sanitation in the schools. Most of the students had parents who were not educated, respectively 46% for fathers and 58% for mothers. More than half of the parents had a monthly income greater than or equal to the minimum wage (61% of fathers and 62% of mothers). Almost all of the students came from households where the parents lived as a couple (96.71%). Their housing was 68.55% rural. They had access to drinking water (97%) and a good level of sanitation (75%). Table II shows the socio-demographic characteristics of students, parents and households. There were 2,035 students with a sex ratio (M/F) of 1.24. There were practically the same number of pupils in the 3 levels CP, CE and CM (33%). The mean age was 9.2 (± 2.33) years. Most students attended schools with toilets (71.9%), however, 84% had poor sanitation in the schools. Most of the students had parents who were not educated, respectively 46% for fathers and 58% for mothers. More than half of the parents had a monthly income greater than or equal to the minimum wage (61% of fathers and 62% of mothers). Almost all of the students came from households where the parents lived as a couple (96.71%). Their housing was 68.55% rural. They had access to drinking water (97%) and a good level of sanitation (75%). COMPONENTS OF PERSONAL HYGIENE Analysis of personal hygiene in Table III shows that the components “hand hygiene”, “foot hygiene” and “nail hygiene” were poor in 91, 72 and 67% of students, respectively. The most correct hygienic practice was the disposal of excreta (about 2 out of 3 students). Overall personal hygiene was good with an average score of 4.74 ± 1.36. Thus, 8 out of 10 students had good personal hygiene. Analysis of personal hygiene in Table III shows that the components “hand hygiene”, “foot hygiene” and “nail hygiene” were poor in 91, 72 and 67% of students, respectively. The most correct hygienic practice was the disposal of excreta (about 2 out of 3 students). Overall personal hygiene was good with an average score of 4.74 ± 1.36. Thus, 8 out of 10 students had good personal hygiene. UNIVARIATE ANALYSIS The univariate analysis presented in Table IV revealed that personal hygiene was better in girls (p = 0.002), in students over 10 years old (p = 0.031) and when school sanitation was good (p < 0.001). Family characteristics related to personal hygiene were parents education level, level of their income above the minimum wage, modern housing and adequate sanitation (p < 0.001). When the household had access to good drinking water, the personal hygiene of the students was also better (p = 0.008). The univariate analysis presented in Table IV revealed that personal hygiene was better in girls (p = 0.002), in students over 10 years old (p = 0.031) and when school sanitation was good (p < 0.001). Family characteristics related to personal hygiene were parents education level, level of their income above the minimum wage, modern housing and adequate sanitation (p < 0.001). When the household had access to good drinking water, the personal hygiene of the students was also better (p = 0.008). MULTIVARIATE ANALYSIS In the final logistic regression model, student sex, school and home sanitation, father’s income and education level, family home type were the predictors of good personal hygiene for students (Tab. V). Compared to boys, female students and those whom fathers received an elementary or secondary school education were 1.5 times more likely to have good personal hygiene. The same was true for modern-type housing compared to rural-type housing. The father’s income level above the minimum wage doubled the student’s probability of having good personal hygiene. Adequate sanitation at school was strongly associated with good student personal hygiene (8 times). Poor sanitation at home reduced by a third the probability of the student having good personal hygiene. In the final logistic regression model, student sex, school and home sanitation, father’s income and education level, family home type were the predictors of good personal hygiene for students (Tab. V). Compared to boys, female students and those whom fathers received an elementary or secondary school education were 1.5 times more likely to have good personal hygiene. The same was true for modern-type housing compared to rural-type housing. The father’s income level above the minimum wage doubled the student’s probability of having good personal hygiene. Adequate sanitation at school was strongly associated with good student personal hygiene (8 times). Poor sanitation at home reduced by a third the probability of the student having good personal hygiene. SOCIODEMOGRAPHIC CHARACTERISTICS: Table II shows the socio-demographic characteristics of students, parents and households. There were 2,035 students with a sex ratio (M/F) of 1.24. There were practically the same number of pupils in the 3 levels CP, CE and CM (33%). The mean age was 9.2 (± 2.33) years. Most students attended schools with toilets (71.9%), however, 84% had poor sanitation in the schools. Most of the students had parents who were not educated, respectively 46% for fathers and 58% for mothers. More than half of the parents had a monthly income greater than or equal to the minimum wage (61% of fathers and 62% of mothers). Almost all of the students came from households where the parents lived as a couple (96.71%). Their housing was 68.55% rural. They had access to drinking water (97%) and a good level of sanitation (75%). COMPONENTS OF PERSONAL HYGIENE: Analysis of personal hygiene in Table III shows that the components “hand hygiene”, “foot hygiene” and “nail hygiene” were poor in 91, 72 and 67% of students, respectively. The most correct hygienic practice was the disposal of excreta (about 2 out of 3 students). Overall personal hygiene was good with an average score of 4.74 ± 1.36. Thus, 8 out of 10 students had good personal hygiene. UNIVARIATE ANALYSIS: The univariate analysis presented in Table IV revealed that personal hygiene was better in girls (p = 0.002), in students over 10 years old (p = 0.031) and when school sanitation was good (p < 0.001). Family characteristics related to personal hygiene were parents education level, level of their income above the minimum wage, modern housing and adequate sanitation (p < 0.001). When the household had access to good drinking water, the personal hygiene of the students was also better (p = 0.008). MULTIVARIATE ANALYSIS: In the final logistic regression model, student sex, school and home sanitation, father’s income and education level, family home type were the predictors of good personal hygiene for students (Tab. V). Compared to boys, female students and those whom fathers received an elementary or secondary school education were 1.5 times more likely to have good personal hygiene. The same was true for modern-type housing compared to rural-type housing. The father’s income level above the minimum wage doubled the student’s probability of having good personal hygiene. Adequate sanitation at school was strongly associated with good student personal hygiene (8 times). Poor sanitation at home reduced by a third the probability of the student having good personal hygiene. Discussion: This study took place in primary schools in northern Côte d’Ivoire with a sample of 2,035 students. Overall, in our study the majority of students had good personal hygiene (82%), as in the study conducted by Baba et al. in Nigeria, where 74% of school children had good personal hygiene [16]. This personal hygiene was associated with gender (p = 0.002) with girls being 1.5 times cleaner than boys. This trend has also been reported in studies by Motakpalli et al. and Sakar in India [4, 11]. Among the socio-demographic variables of the parents, the primary and secondary education level of the father encouraged more than once a good personal hygiene in the pupils and personal hygiene improved with the advancement in the education level of the pupil and father. Rather, Lopez in 2007 noted that handwashing among students increased with mother’s level of education [17]. Pupils whose fathers had a monthly income greater than or equal to 60,000 FCFA (90 Euros) were 2.36 times cleaner than those whose fathers earn a lower income (p < 0.001). This result could be explained by the fact that the father’s income below the minimum wage is low, however several charges in the household fall on the father, namely sanitary products and sanitary facilities as well as access to potable drinking water which incur costs making this income very insufficient for household needs. These results are similar to those of Oga in 2004 in Agboville where the prevalence of intestinal helminthiasis decreased when the father’s income increased [22]. In terms of the household and school environment, our study showed that children who lived in modern-type houses were 1.45 times cleaner than those in rural-type houses (p < 0.001). According to Bewa et al. (2016), in Benin, the type of housing was an indirect reflection of the economic level of the household [23]. In fact, in these households, children do not benefit from amenities such as drinking water supply and excreta disposal and may have difficulty practicing hygiene measures [24]. When schools had good sanitation, students were almost 8 times cleaner than those in schools with poor sanitation (p < 0.001). According to Koné in 2012, in Mali, such unsanitary conditions favour student absenteeism and the spread of diseases linked to faecal peril, in particular diarrheal diseases, typhoid fever and polio [25]. Among students aged 10 and above with poor home sanitation, personal hygiene was still 3.38 times more important. This could be related to the adaptability of children’s development as they grow older. It has been reported that the ability to understand and apply basic personal hygiene advice would be improved in older children compared to younger children even if home sanitation was not adequate [16]. STUDY LIMITATIONS This study highlights the level of hygiene of school children in the North as well as the risk factors. Outcomes should be considered cautiously as behaviours are self-reported. However, any bias in the responses can overestimate or underestimate the behaviours. The results of this study cannot be generalized to other hygiene practices in the country since the sampling is not representative of the country and it is a retrospective study. This study highlights the level of hygiene of school children in the North as well as the risk factors. Outcomes should be considered cautiously as behaviours are self-reported. However, any bias in the responses can overestimate or underestimate the behaviours. The results of this study cannot be generalized to other hygiene practices in the country since the sampling is not representative of the country and it is a retrospective study. STUDY LIMITATIONS: This study highlights the level of hygiene of school children in the North as well as the risk factors. Outcomes should be considered cautiously as behaviours are self-reported. However, any bias in the responses can overestimate or underestimate the behaviours. The results of this study cannot be generalized to other hygiene practices in the country since the sampling is not representative of the country and it is a retrospective study. Conclusions: The personal hygiene of pupils in northern Côte d’Ivoire was good. Thus girls had better hygiene than boys, children aged 10 and above were cleaner, the more higher the father’s education level was, and the pupil’s personal hygiene increased. Modern housing and sanitation at home and at school promoted good hygiene. Personal hygiene in students therefore requires the provision of health infrastructure both at home and at school, not to mention the training of students. This suggests an effective involvement of education authorities, the economy, without forgetting the participation of teachers, parents and students.
Background: Students' personal hygiene helps maintain health and promote good academic performance. When health facilities are insufficient, this hygiene can be difficult to achieve. We wanted to analyse the determinants of personal hygiene in schools in the northern region of Côte d'Ivoire. Methods: The retrospective cross-sectional study brings together data on 2,035 schoolchildren recruited from thirty schools in northern Côte d'Ivoire. Indexes on personal hygiene were constructed and analysed in comparison to the socio-demographic characteristics of students, homes and schools. They were analysed with R Software version 1.1.463, the χ2 test and a logistic regression model. Results: Overall, the majority of students had good personal hygiene (82.75%) with an average personal hygiene score of 4.74 ± 1.36. The predictors of good personal hygiene among schoolchildren were female gender (OR = 1.5; 95% CI = 4.31-16.37), father's primary education level (OR = 1.55; 95% CI = 1.07-2.29), the father's income level above 60,000 FCFA (90 Euros) and modern housing (OR = 1.45; 95% CI = 1.05-2.03). However, the poor level of home sanitation resulted in poor personal hygiene among the students (OR = 0.34; 95% CI = 0.23-0.5). Conclusions: Measures to raise the standard of living of families and the provision of sanitary facilities in homes becomes necessary in order to improve students personal hygiene.
Introduction: Personal hygiene refers to the set of practices that help maintain good health and prevent the spread of diseases. This involves regular washing of the body, hands, trimming of the nails, washing clothes, washing the hair and brushing the teeth [1]. In schools, students spend most of their time closer to each other, resulting in rapid transmission of infections, due to their naturally weak immune system and lack of knowledge of basic hygiene practices [2, 3]. Hygiene therefore plays an essential role in the prevention of communicable diseases [4]. These pathologies are the cause of absenteeism (75% in Malaysia in 2019), resulting in working time loss for parents, significant medical expenses due to medical visits and antibiotic prescriptions [5]. More than 1.9 billion school days could be gained if the supply of drinking water, sanitation were achieved and the incidence of diarrhoeal diseases would be reduced [3, 6]. The provision of drinking water and sanitary facilities at schools contribute to improved personal hygiene with a positive impact on the health of students [7]. In Kenya, for example, diarrhoea cases were reduced by half in 2004 [8]. In Burkina Faso, in the study conducted by Erismann et al., the prevalence of helminthiasis was decreased in schools, from 11.4% in 2015 to 8.0% in 2016 [9]. The provision of facilities also encourages the improvement of good hygiene practices as noted in the study by Chard et al. in 2014 in Laos, where we observed an increase in the number of students who used the toilet and washed their hands with soap after using the toilet [10]. However, these facilities are not always available at schools, especially in the underdeveloped countries. In 2018, only 51% of schools in these countries have access to adequate water supply and 45% had adequate sanitation [7]. However, the origins of many adult diseases have their roots from childhood health behaviour. School-aged children can learn specific health-promoting behaviours, even if they do not always understand the links between illness and behaviour [11]. Therefore, hygiene education in schools can promote behaviour that will improve students’ academic performance by reducing the rate of morbidity and absenteeism [1, 4, 12]. Instilling good hygiene practices at a younger age could have a lasting impact on the health of schoolchildren [2, 13]. The factors associated with the personal hygiene of pupils are well elucidated in the literature [14-17], namely the inadequate and insufficient sanitation facilities in schools, the level of education of the father, the level of income of the father, access to drinking water, gender and class of students, cleanliness of toilets, lack of separated toilets only for girls and lack of soap and water in handwashing device. Meanwhile in Côte d’Ivoire, these factors are little studied. It is with this in mind that we analysed the determinants of personal hygiene in the school environment in the northern region of Côte d’Ivoire, based on a database on intestinal helminthiasis carried out in 2016 which made it possible to highlight the personal hygiene index [18, 19]. Conclusions: Indexes to assess personal hygiene. Socio-demographic characteristics of students in the north of Côte d’Ivoire (n = 2,035). Distribution of students according to the components of personal hygiene (n = 2,035). Univariate analysis of factors associated with student personal hygiene. Personal hygiene and predictive factors among students in the north of Côte d’Ivoire.
Background: Students' personal hygiene helps maintain health and promote good academic performance. When health facilities are insufficient, this hygiene can be difficult to achieve. We wanted to analyse the determinants of personal hygiene in schools in the northern region of Côte d'Ivoire. Methods: The retrospective cross-sectional study brings together data on 2,035 schoolchildren recruited from thirty schools in northern Côte d'Ivoire. Indexes on personal hygiene were constructed and analysed in comparison to the socio-demographic characteristics of students, homes and schools. They were analysed with R Software version 1.1.463, the χ2 test and a logistic regression model. Results: Overall, the majority of students had good personal hygiene (82.75%) with an average personal hygiene score of 4.74 ± 1.36. The predictors of good personal hygiene among schoolchildren were female gender (OR = 1.5; 95% CI = 4.31-16.37), father's primary education level (OR = 1.55; 95% CI = 1.07-2.29), the father's income level above 60,000 FCFA (90 Euros) and modern housing (OR = 1.45; 95% CI = 1.05-2.03). However, the poor level of home sanitation resulted in poor personal hygiene among the students (OR = 0.34; 95% CI = 0.23-0.5). Conclusions: Measures to raise the standard of living of families and the provision of sanitary facilities in homes becomes necessary in order to improve students personal hygiene.
9,366
278
[ 606, 421, 147, 16, 79, 195, 537, 267, 250, 238, 140, 68, 35, 1035, 186, 84, 100, 139, 696, 78, 108 ]
22
[ "hygiene", "personal", "personal hygiene", "students", "good", "school", "student", "sanitation", "score", "level" ]
[ "hygiene education", "student personal hygiene", "school sanitation good", "hygiene sanitary conditions", "attainment school sanitation" ]
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[CONTENT] Personal hygiene | Primary school students | North Côte D’Ivoire [SUMMARY]
[CONTENT] Personal hygiene | Primary school students | North Côte D’Ivoire [SUMMARY]
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[CONTENT] Personal hygiene | Primary school students | North Côte D’Ivoire [SUMMARY]
[CONTENT] Personal hygiene | Primary school students | North Côte D’Ivoire [SUMMARY]
[CONTENT] Personal hygiene | Primary school students | North Côte D’Ivoire [SUMMARY]
[CONTENT] Child | Cote d'Ivoire | Cross-Sectional Studies | Female | Humans | Hygiene | Male | Retrospective Studies | Sanitation | Schools [SUMMARY]
[CONTENT] Child | Cote d'Ivoire | Cross-Sectional Studies | Female | Humans | Hygiene | Male | Retrospective Studies | Sanitation | Schools [SUMMARY]
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[CONTENT] Child | Cote d'Ivoire | Cross-Sectional Studies | Female | Humans | Hygiene | Male | Retrospective Studies | Sanitation | Schools [SUMMARY]
[CONTENT] Child | Cote d'Ivoire | Cross-Sectional Studies | Female | Humans | Hygiene | Male | Retrospective Studies | Sanitation | Schools [SUMMARY]
[CONTENT] Child | Cote d'Ivoire | Cross-Sectional Studies | Female | Humans | Hygiene | Male | Retrospective Studies | Sanitation | Schools [SUMMARY]
[CONTENT] hygiene education | student personal hygiene | school sanitation good | hygiene sanitary conditions | attainment school sanitation [SUMMARY]
[CONTENT] hygiene education | student personal hygiene | school sanitation good | hygiene sanitary conditions | attainment school sanitation [SUMMARY]
null
[CONTENT] hygiene education | student personal hygiene | school sanitation good | hygiene sanitary conditions | attainment school sanitation [SUMMARY]
[CONTENT] hygiene education | student personal hygiene | school sanitation good | hygiene sanitary conditions | attainment school sanitation [SUMMARY]
[CONTENT] hygiene education | student personal hygiene | school sanitation good | hygiene sanitary conditions | attainment school sanitation [SUMMARY]
[CONTENT] hygiene | personal | personal hygiene | students | good | school | student | sanitation | score | level [SUMMARY]
[CONTENT] hygiene | personal | personal hygiene | students | good | school | student | sanitation | score | level [SUMMARY]
null
[CONTENT] hygiene | personal | personal hygiene | students | good | school | student | sanitation | score | level [SUMMARY]
[CONTENT] hygiene | personal | personal hygiene | students | good | school | student | sanitation | score | level [SUMMARY]
[CONTENT] hygiene | personal | personal hygiene | students | good | school | student | sanitation | score | level [SUMMARY]
[CONTENT] health | hygiene | schools | diseases | practices | behaviour | lack | washing | facilities | water [SUMMARY]
[CONTENT] hygiene | personal | personal hygiene | variables | score | data | variable | student | school | schoolchildren [SUMMARY]
null
[CONTENT] hygiene | home school | personal hygiene | students | personal | home | education | students requires | students requires provision | students requires provision health [SUMMARY]
[CONTENT] hygiene | personal hygiene | personal | students | good | school | data | sanitation | student | study [SUMMARY]
[CONTENT] hygiene | personal hygiene | personal | students | good | school | data | sanitation | student | study [SUMMARY]
[CONTENT] ||| ||| Côte d'Ivoire [SUMMARY]
[CONTENT] 2,035 | thirty | Côte d'Ivoire ||| ||| 1.1.463 | χ2 [SUMMARY]
null
[CONTENT] [SUMMARY]
[CONTENT] ||| ||| Côte d'Ivoire ||| 2,035 | thirty | Côte d'Ivoire ||| ||| 1.1.463 | χ2 ||| 82.75% | 4.74 | 1.36 ||| 1.5 | 95% | CI | 4.31-16.37 | 1.55 | 95% | CI | 1.07 | 60,000 | 90 | 1.45 | 95% | CI | 1.05-2.03 ||| 0.34 | 95% | 0.23-0.5 ||| [SUMMARY]
[CONTENT] ||| ||| Côte d'Ivoire ||| 2,035 | thirty | Côte d'Ivoire ||| ||| 1.1.463 | χ2 ||| 82.75% | 4.74 | 1.36 ||| 1.5 | 95% | CI | 4.31-16.37 | 1.55 | 95% | CI | 1.07 | 60,000 | 90 | 1.45 | 95% | CI | 1.05-2.03 ||| 0.34 | 95% | 0.23-0.5 ||| [SUMMARY]
Comparison of single and two-tunnel techniques during open treatment of acromioclavicular joint disruption.
25127715
Coracoclavicular (CC) ligament reconstruction with semitendinosus tendon (ST) grafts has become more popular and has achieved relatively good results; however optimal reconstruction technique, single-tunnel or two-tunnel, still remains controversial. This paper is to compare the clinical and radiographic data of allogenous ST grafting with single- or two-tunnel reconstruction techniques of the AC joint.
BACKGROUND
The outcomes of 21 consecutive patients who underwent anatomical reduction and ST grafting for AC joint separation were reviewed retrospectively. Patients were divided into two groups: single-tunnel group (11) and two-tunnel group (10). All patients were evaluated clinically and radiographically using a modified UCLA rating scale.
METHODS
The majority of separations (18 of 21) were Rockwood type V, with one each in type III, IV and VI categories. The overall mean follow-up time was 16 months, and at the time of the latest follow-up, the overall mean UCLA rating score was 14.1 (range 8-20).The percentage of good-to-excellent outcomes was significantly higher for patients with the two-tunnel technique than for those with the one-tunnel technique (70% vs. 18%, respectively, p = 0.03). Within the single-tunnel group, there was no statistically significant difference in percentage of good-to-excellent outcomes between patients with vs. without tightrope augmentation (17% vs 20%, p > 0.99). Similarly, within the two-tunnel group, there was no significant difference in the percentage of good-to-excellent outcomes between the graft only and augment groups (67% vs. 75%, p > 0.99).
RESULTS
Anatomical reduction of the AC joint and reconstruction CC ligaments are crucial for optimal joint stability and function. Two-tunnel CC reconstruction with an allogenous ST graft provides superior significantly better radiographic and clinical results compared to the single-tunnel reconstruction technique.
CONCLUSION
[ "Acromioclavicular Joint", "Adult", "Female", "Follow-Up Studies", "Humans", "Ligaments, Articular", "Male", "Middle Aged", "Orthopedic Procedures", "Range of Motion, Articular", "Plastic Surgery Procedures", "Retrospective Studies", "Treatment Outcome", "Young Adult" ]
4139139
Background
Acromioclavicular (AC) joint injuries are among the most commonly occurring problems in the young and active patient population. Higher-grade AC joint injuries (Rockwood types III through VI) represent failure of the coracoclavicular (CC) ligament complex, which is formed by the conoid and trapezoid ligaments. This complex has been termed the primary suspensory structure of the upper limb [1,2]. In the literature, the incidence of traumatic AC joint separation varies from 3 to 4 per 100,000 people with 25-52% of these occurring during sporting activities, and they are also one of the most common shoulder injuries seen in orthopaedic traumatology [2-5]. For certain Rockwood type III AC joint separations and all type IV, V, and VI injuries, surgical treatment has been recommended to prevent disabling pain, weakness, and deformity [6-8]. Although more than 60 surgical techniques have been reported, the frequency of failure to maintain reduction after surgical treatment remains high [9,10]. Recently, CC ligament reconstruction with tendon grafts has become more popular and has achieved relatively good results [11,12]. Biomechanical studies focusing on an anatomic reconstruction of the CC ligament complex using tendon grafts have reported promising potential for this technique [13-15]. Semitendinosus tendon (ST) grafting and anatomic reconstruction can be imitated, providing stability to the clavicle that is very close to that provided by the intact ligaments [13]. However, optimal reconstruction technique, single-tunnel or two-tunnel, still remains controversial. Anatomical two-tunnel reconstruction with tendon grafts or synthetic materials seems appealing because it has been shown by biomechanical studies to restore the original two ligaments (the conoid and trapezoid) and to produce an ultimate failure load that is equivalent to that of native CC ligaments [13-15]. However, it is technically difficult and theoretically increases the risk of fracture [16]. The purpose of this retrospective study was to analyze the clinical and radiographic data of allogenous ST tendon grafting with single- or two-tunnel reconstruction techniques of the CC ligaments. We hypothesize that anatomic reconstruction of the AC joint disruption using two-tunnel reconstruction technique results in a satisfying clinical function and provides stable fixation.
Methods
Between June 2003 and January 2009, twenty-three patients underwent open operation for AC joint reconstruction with ST allograft at our institution. In the earlier study period before 2007, we mostly used single-tunnel technique, and after 2007 mostly the two-tunnel technique. For analysis we divided patients into two groups: single-tunnel group and two-tunnel group. Patient data were collected retrospectively, including gender, age at the time of surgery, injury mechanism, classification according to Rockwood, and surgical technique. Patients with at least 12 months of clinical follow-up were included in this study. Patients were excluded if they had a previous shoulder injury, arthritis, or an associated neurological deficit on the side of injury.The procedure was performed with the patient in the beach chair position under general anesthesia in combination with an interscalene block. An anterior deltopectoral approach was utilized with saber incision, The AC joint, the lateral end of the clavicle, and the coracoid process were exposed. Subperiosteal detachment of the deltotrapezial fascia from the clavicle was performed. The distal end of the clavicle was resected 8 to 10 mm using an oscillating saw. For the single-tunnel technique, a 6-mm drill hole was made about 1.5-2 cm medial to the remaining end of the clavicle superior to inferior in a 300 posterior to anterior angle. A ST allograft was prepared by placing a whipstitch (Arthrex #2 Fiberwire suture, Naples, FL, USA) on either end. After reducing the distal clavicle down to the acromion anatomically, the ST graft was introduced around the base of the coracoid and then both ends of the graft up through the clavicle hole. The graft was then mechanically tensioned and a 5.5 mm Bio-tenodesis screw was placed down through the center of the ST graft fixing it to the clavicle. The free ends of the graft were then passed underneath the clavicle and tied to themselves for additional fixation (Figure 1). If using a tightrope augment (Arthrex Fiberwire No. 5, Naples, FL, USA), a guide was used to place a pin from a point medial to the lateral tunnel, to the base of the coracoid. A 4.5 mm reamer was then used to create a tunnel through the clavicle and coracoid. The tight rope device was placed through the clavicular and then coracoid tunnel and endobutton secured against inferior cortex of coracoid. The tight-rope was then tied after fixation of the graft. Later in the series, a single clavicular tunnel was utilized for both the graft and tight-rope. The graft was placed around the coracoid and through the clavicular tunnel and tightrope device (Figure 2).For the two-tunnel technique, the same delto-pectoral approach was used. Two holes were drilled in the clavicle to reconstruct each of the two CC ligaments, trapezoid and conoid ligaments. The lateral tunnel is created as in the single-tunnel technique. The medial tunnel is located 4.5 cm medial to the AC joint. A 5.5 mm tunnel is reamed like the medial tunnel. A single ST graft was prepared and looped under the coracoid. The lateral free end was brought up through the lateral tunnel, and the medial free end through the medial tunnel. The AC joint is reduced, and the grafts fixed into the tunnels with 5 mm biotenodesis screws and the graft tied to itself (Figure 3). If using tightrope augment, a guide pin is placed between the two graft tunnels, from midline, through the clavicle and base of coracoid. A 4.5 mm tunnel is reamed over the guide wire and the Tight-rope device placed through the clavicle and coracoid and secured to the inferior cortex of the coracoid. The device is tightened and tied after graft fixation (Figure 4). After reconstruction, attention was directed to repair of the deltotrapezial interval. This was performed in a pants-over-vest fashion using #1 or #2 non-absorbable sutures in an interrupted fashion. A layered closure was then performed. A drain was not utilized. ST allograft reconstruction of the AC joint with single-tunnel technique. ST Allograft with tightrope augment reconstruction of the CC joint with single-tunnel technique. ST allograft reconstruction of the CC joint with two-tunnel technique. ST Allograft with tightrope augment reconstruction of the CC joint with two-tunnel technique. All patients were placed in a sling immobilizer post-op for 4 to 6 weeks. Gentle pendulums and Codman’s were begun post-op day 1. At 4 weeks therapy was begun with passive motion and cuff isometrics. Resistive program started at 8 weeks. Patients were generally allowed to return to manual work and athletics at 4 to 6 months depending on level of rehabilitation. Contact sports not prior to six months. All patients were evaluated clinically and radiographically using a modified UCLA rating scale [5,17], which reflects three parts: maintenance of reduction, objective evaluation of the patient’s function, and complications secondary to operation. In the radiological evaluation, the roentgenographic rating was determined by the degree of displacement of the AC joint, which was evaluated by measuring the relation between the acromion and the clavicle on the anteroposterior view for vertical displacement (reduced = 4 points, subluxed = 2 points, dislocated = 0 points). In the physical evaluation, range of motion (ROM), pain, weakness, and complications were recorded. Finally, patients were asked their overall satisfaction with the postoperative result, with 0 points for dissatisfaction or unsure and 2 points for satisfaction. Table 1 shows the relative weight given to each category of the rating scale and describes the criteria by which a patient was assigned an overall final result of excellent, good, fair, or poor. The modification of the UCLA rating scale 8.17 Results: excellent, 18–20; good, 15–17; fair, 12–14; poor, ≤ 11. Percentages of good-to-excellent outcomes and maintenance of reduction (reduced or subluxed) were compared between the two reconstruction procedures (single vs. two-tunnel), and between augmentation techniques (with vs. without tightrope). Because of the relatively small sample sizes, Fisher’s exact test was used in place of chi-square testing at a significance level of p < 0.05. All analysis was performed using SAS statistical software (SAS 9.2, Cary, NC). Waiver of patient consent was granted by Institutional Review Board of Geisinger Medical Center for retrospective chart review.
Results
From the initial 23 patients who were surgically treated, two patients were lost to follow up and were excluded. Table 2 summarizes the demographics and injury characteristics of the 21 patients remaining in the study. The majority of fractures (18 of 21) were Rockwood type V, with one fracture each in type III, IV and VI categories. Most of those patients had received primary unsuccessful conservative care and switched to operative management, and one patient underwent a failed Weaver-Dunn procedure. Demographic and injury characteristics, by single-tunnel and two-tunnel group The overall mean follow-up time was 16 months, and at the time of the latest follow-up, the overall mean UCLA rating score was 14.1 (range 8–20). Eleven (52%) patients rated the outcome as good to excellent, 3 (14%) rated it as fair, and 7 (33%) rated it as poor. Three of 21 patients underwent additional revision surgery for the failed CC ligament repair or reconstruction. Of the 21 patients, eleven patients underwent allogenous ST grafting with single-tunnel reconstruction technique, and 6 of these received tightrope augmentation. Ten patients underwent allogenous ST grafting with two-tunnel reconstruction technique: four of these received one ST graft plus one tightrope graft (“ST-tightrope”), while the other six received two ST grafts (“ST-ST”). Table 3 summarizes the UCLA rating scale scores at last follow-up for the two groups (single- and two-tunnel), subdivided by augmentation type. The percentage of good-to-excellent outcomes was significantly higher for patients with the two-tunnel technique than for those with the one-tunnel technique (70% vs. 18%, respectively, p = 0.03). Within the single-tunnel group, there was no statistically significant difference in percentage of good-to-excellent outcomes between patients with vs. without tightrope augmentation (17% vs 20%, p > 0.99). Similarly, within the two-tunnel group, there was no significant difference in the percentage of good-to-excellent outcomes between ST-tightrope and ST-ST patients (75% vs. 67%, p > 0.99). Number of patients receiving single-tunnel vs. two-tunnel techniques, subdivided by augmentation type, with clinical outcome results based on modification of the UCLA rating scale *Two-tunnel group had significantly higher percentage of good-to-excellent outcomes than single-tunnel group, p = 0.03. ^No significant difference between with vs. without augmentation for single-tunnel group, p > 0.99. #No significant difference between ST-tightrope vs. ST-ST for two-tunnel group, p > 0.99. We noted that complications were observed in three of the 21 patients: two patients in the two-tunnel group had infection, and one patient in the single-tunnel group had a coracoid fracture. Calcification of the CC ligament occurred in one case, but it did not appear to cause symptoms, and was therefore not considered a complication. No patient had neurovascular or post-traumatic arthritis of the injured AC joint.
Conclusion
Anatomical reduction the AC joint and biomechanical reconstruction CC ligaments are crucial for the optimal joint stability and function. Two-tunnel CC reconstruction with an allogenous ST graft provides superior radiographic and clinical results compared to single-tunnel reconstruction technique.
[ "Background", "Abbreviations", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "Acromioclavicular (AC) joint injuries are among the most commonly occurring problems in the young and active patient population. Higher-grade AC joint injuries (Rockwood types III through VI) represent failure of the coracoclavicular (CC) ligament complex, which is formed by the conoid and trapezoid ligaments. This complex has been termed the primary suspensory structure of the upper limb [1,2]. In the literature, the incidence of traumatic AC joint separation varies from 3 to 4 per 100,000 people with 25-52% of these occurring during sporting activities, and they are also one of the most common shoulder injuries seen in orthopaedic traumatology [2-5]. For certain Rockwood type III AC joint separations and all type IV, V, and VI injuries, surgical treatment has been recommended to prevent disabling pain, weakness, and deformity [6-8]. Although more than 60 surgical techniques have been reported, the frequency of failure to maintain reduction after surgical treatment remains high [9,10].\nRecently, CC ligament reconstruction with tendon grafts has become more popular and has achieved relatively good results [11,12]. Biomechanical studies focusing on an anatomic reconstruction of the CC ligament complex using tendon grafts have reported promising potential for this technique [13-15]. Semitendinosus tendon (ST) grafting and anatomic reconstruction can be imitated, providing stability to the clavicle that is very close to that provided by the intact ligaments [13]. However, optimal reconstruction technique, single-tunnel or two-tunnel, still remains controversial. Anatomical two-tunnel reconstruction with tendon grafts or synthetic materials seems appealing because it has been shown by biomechanical studies to restore the original two ligaments (the conoid and trapezoid) and to produce an ultimate failure load that is equivalent to that of native CC ligaments [13-15]. However, it is technically difficult and theoretically increases the risk of fracture [16].\nThe purpose of this retrospective study was to analyze the clinical and radiographic data of allogenous ST tendon grafting with single- or two-tunnel reconstruction techniques of the CC ligaments. We hypothesize that anatomic reconstruction of the AC joint disruption using two-tunnel reconstruction technique results in a satisfying clinical function and provides stable fixation.", "CC ligament: Coracoclavicular ligament; ST tendon: Semitendinosus tendon; AC joint: Acromioclavicular joint; UCLA shoulder rating scale: University of California at Los Angeles shoulder rating scale; ROM: Range of motion.", "The authors declare that they have no competing interests.", "ZH and WS designed research; JG, KS and WC analyzed data and performed statistical analysis. All authors read and approved the final manuscript.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2482/14/53/prepub\n" ]
[ null, null, null, null, null ]
[ "Background", "Methods", "Results", "Discussion", "Conclusion", "Abbreviations", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "Acromioclavicular (AC) joint injuries are among the most commonly occurring problems in the young and active patient population. Higher-grade AC joint injuries (Rockwood types III through VI) represent failure of the coracoclavicular (CC) ligament complex, which is formed by the conoid and trapezoid ligaments. This complex has been termed the primary suspensory structure of the upper limb [1,2]. In the literature, the incidence of traumatic AC joint separation varies from 3 to 4 per 100,000 people with 25-52% of these occurring during sporting activities, and they are also one of the most common shoulder injuries seen in orthopaedic traumatology [2-5]. For certain Rockwood type III AC joint separations and all type IV, V, and VI injuries, surgical treatment has been recommended to prevent disabling pain, weakness, and deformity [6-8]. Although more than 60 surgical techniques have been reported, the frequency of failure to maintain reduction after surgical treatment remains high [9,10].\nRecently, CC ligament reconstruction with tendon grafts has become more popular and has achieved relatively good results [11,12]. Biomechanical studies focusing on an anatomic reconstruction of the CC ligament complex using tendon grafts have reported promising potential for this technique [13-15]. Semitendinosus tendon (ST) grafting and anatomic reconstruction can be imitated, providing stability to the clavicle that is very close to that provided by the intact ligaments [13]. However, optimal reconstruction technique, single-tunnel or two-tunnel, still remains controversial. Anatomical two-tunnel reconstruction with tendon grafts or synthetic materials seems appealing because it has been shown by biomechanical studies to restore the original two ligaments (the conoid and trapezoid) and to produce an ultimate failure load that is equivalent to that of native CC ligaments [13-15]. However, it is technically difficult and theoretically increases the risk of fracture [16].\nThe purpose of this retrospective study was to analyze the clinical and radiographic data of allogenous ST tendon grafting with single- or two-tunnel reconstruction techniques of the CC ligaments. We hypothesize that anatomic reconstruction of the AC joint disruption using two-tunnel reconstruction technique results in a satisfying clinical function and provides stable fixation.", "Between June 2003 and January 2009, twenty-three patients underwent open operation for AC joint reconstruction with ST allograft at our institution. In the earlier study period before 2007, we mostly used single-tunnel technique, and after 2007 mostly the two-tunnel technique. For analysis we divided patients into two groups: single-tunnel group and two-tunnel group. Patient data were collected retrospectively, including gender, age at the time of surgery, injury mechanism, classification according to Rockwood, and surgical technique. Patients with at least 12 months of clinical follow-up were included in this study. Patients were excluded if they had a previous shoulder injury, arthritis, or an associated neurological deficit on the side of injury.The procedure was performed with the patient in the beach chair position under general anesthesia in combination with an interscalene block. An anterior deltopectoral approach was utilized with saber incision, The AC joint, the lateral end of the clavicle, and the coracoid process were exposed. Subperiosteal detachment of the deltotrapezial fascia from the clavicle was performed. The distal end of the clavicle was resected 8 to 10 mm using an oscillating saw. For the single-tunnel technique, a 6-mm drill hole was made about 1.5-2 cm medial to the remaining end of the clavicle superior to inferior in a 300 posterior to anterior angle. A ST allograft was prepared by placing a whipstitch (Arthrex #2 Fiberwire suture, Naples, FL, USA) on either end. After reducing the distal clavicle down to the acromion anatomically, the ST graft was introduced around the base of the coracoid and then both ends of the graft up through the clavicle hole. The graft was then mechanically tensioned and a 5.5 mm Bio-tenodesis screw was placed down through the center of the ST graft fixing it to the clavicle. The free ends of the graft were then passed underneath the clavicle and tied to themselves for additional fixation (Figure 1). If using a tightrope augment (Arthrex Fiberwire No. 5, Naples, FL, USA), a guide was used to place a pin from a point medial to the lateral tunnel, to the base of the coracoid. A 4.5 mm reamer was then used to create a tunnel through the clavicle and coracoid. The tight rope device was placed through the clavicular and then coracoid tunnel and endobutton secured against inferior cortex of coracoid. The tight-rope was then tied after fixation of the graft. Later in the series, a single clavicular tunnel was utilized for both the graft and tight-rope. The graft was placed around the coracoid and through the clavicular tunnel and tightrope device (Figure 2).For the two-tunnel technique, the same delto-pectoral approach was used. Two holes were drilled in the clavicle to reconstruct each of the two CC ligaments, trapezoid and conoid ligaments. The lateral tunnel is created as in the single-tunnel technique. The medial tunnel is located 4.5 cm medial to the AC joint. A 5.5 mm tunnel is reamed like the medial tunnel. A single ST graft was prepared and looped under the coracoid. The lateral free end was brought up through the lateral tunnel, and the medial free end through the medial tunnel. The AC joint is reduced, and the grafts fixed into the tunnels with 5 mm biotenodesis screws and the graft tied to itself (Figure 3). If using tightrope augment, a guide pin is placed between the two graft tunnels, from midline, through the clavicle and base of coracoid. A 4.5 mm tunnel is reamed over the guide wire and the Tight-rope device placed through the clavicle and coracoid and secured to the inferior cortex of the coracoid. The device is tightened and tied after graft fixation (Figure 4). After reconstruction, attention was directed to repair of the deltotrapezial interval. This was performed in a pants-over-vest fashion using #1 or #2 non-absorbable sutures in an interrupted fashion. A layered closure was then performed. A drain was not utilized.\nST allograft reconstruction of the AC joint with single-tunnel technique.\nST Allograft with tightrope augment reconstruction of the CC joint with single-tunnel technique.\nST allograft reconstruction of the CC joint with two-tunnel technique.\nST Allograft with tightrope augment reconstruction of the CC joint with two-tunnel technique.\nAll patients were placed in a sling immobilizer post-op for 4 to 6 weeks. Gentle pendulums and Codman’s were begun post-op day 1. At 4 weeks therapy was begun with passive motion and cuff isometrics. Resistive program started at 8 weeks. Patients were generally allowed to return to manual work and athletics at 4 to 6 months depending on level of rehabilitation. Contact sports not prior to six months. All patients were evaluated clinically and radiographically using a modified UCLA rating scale [5,17], which reflects three parts: maintenance of reduction, objective evaluation of the patient’s function, and complications secondary to operation. In the radiological evaluation, the roentgenographic rating was determined by the degree of displacement of the AC joint, which was evaluated by measuring the relation between the acromion and the clavicle on the anteroposterior view for vertical displacement (reduced = 4 points, subluxed = 2 points, dislocated = 0 points). In the physical evaluation, range of motion (ROM), pain, weakness, and complications were recorded. Finally, patients were asked their overall satisfaction with the postoperative result, with 0 points for dissatisfaction or unsure and 2 points for satisfaction.\nTable 1 shows the relative weight given to each category of the rating scale and describes the criteria by which a patient was assigned an overall final result of excellent, good, fair, or poor.\n\nThe modification of the UCLA rating scale\n\n8.17\n\n\nResults: excellent, 18–20; good, 15–17; fair, 12–14; poor, ≤ 11.\nPercentages of good-to-excellent outcomes and maintenance of reduction (reduced or subluxed) were compared between the two reconstruction procedures (single vs. two-tunnel), and between augmentation techniques (with vs. without tightrope). Because of the relatively small sample sizes, Fisher’s exact test was used in place of chi-square testing at a significance level of p < 0.05. All analysis was performed using SAS statistical software (SAS 9.2, Cary, NC). Waiver of patient consent was granted by Institutional Review Board of Geisinger Medical Center for retrospective chart review.", "From the initial 23 patients who were surgically treated, two patients were lost to follow up and were excluded. Table 2 summarizes the demographics and injury characteristics of the 21 patients remaining in the study. The majority of fractures (18 of 21) were Rockwood type V, with one fracture each in type III, IV and VI categories. Most of those patients had received primary unsuccessful conservative care and switched to operative management, and one patient underwent a failed Weaver-Dunn procedure.\nDemographic and injury characteristics, by single-tunnel and two-tunnel group\nThe overall mean follow-up time was 16 months, and at the time of the latest follow-up, the overall mean UCLA rating score was 14.1 (range 8–20). Eleven (52%) patients rated the outcome as good to excellent, 3 (14%) rated it as fair, and 7 (33%) rated it as poor. Three of 21 patients underwent additional revision surgery for the failed CC ligament repair or reconstruction.\nOf the 21 patients, eleven patients underwent allogenous ST grafting with single-tunnel reconstruction technique, and 6 of these received tightrope augmentation. Ten patients underwent allogenous ST grafting with two-tunnel reconstruction technique: four of these received one ST graft plus one tightrope graft (“ST-tightrope”), while the other six received two ST grafts (“ST-ST”).\nTable 3 summarizes the UCLA rating scale scores at last follow-up for the two groups (single- and two-tunnel), subdivided by augmentation type. The percentage of good-to-excellent outcomes was significantly higher for patients with the two-tunnel technique than for those with the one-tunnel technique (70% vs. 18%, respectively, p = 0.03). Within the single-tunnel group, there was no statistically significant difference in percentage of good-to-excellent outcomes between patients with vs. without tightrope augmentation (17% vs 20%, p > 0.99). Similarly, within the two-tunnel group, there was no significant difference in the percentage of good-to-excellent outcomes between ST-tightrope and ST-ST patients (75% vs. 67%, p > 0.99).\nNumber of patients receiving single-tunnel vs. two-tunnel techniques, subdivided by augmentation type, with clinical outcome results based on modification of the UCLA rating scale\n*Two-tunnel group had significantly higher percentage of good-to-excellent outcomes than single-tunnel group, p = 0.03.\n^No significant difference between with vs. without augmentation for single-tunnel group, p > 0.99.\n#No significant difference between ST-tightrope vs. ST-ST for two-tunnel group, p > 0.99.\nWe noted that complications were observed in three of the 21 patients: two patients in the two-tunnel group had infection, and one patient in the single-tunnel group had a coracoid fracture. Calcification of the CC ligament occurred in one case, but it did not appear to cause symptoms, and was therefore not considered a complication. No patient had neurovascular or post-traumatic arthritis of the injured AC joint.", "Our data demonstrated that allogenous ST grafting with two-tunnel reconstruction technique of the AC joint yielded excellent or good clinical outcomes more frequently compared to single-tunnel reconstruction technique. These results also suggest that the materials used for augmentation in the two-tunnel reconstruction technique do not impact the clinical result. In this technique, one ST allograft combined with one tightrope graft construction can provide similar outcomes to using ST allograft in both tunnels. We also saw no significant differences between patients with and without tightrope augment in the single-tunnel technique group.\nBased on well established anatomical ligament reconstruction in the knee injury, reconstructing the CC ligament using tendon graft for AC joint injury has become more popular because the construct is more physiologic, does not require implant removal and preserves the CA ligament [18,19]. ST tendon grafts are most common used for this procedure, which can be either autografts or allografts, and have achieved relatively good results [11-13,20,21]. The harvesting of an autogenous tendon may not result in long-term functional impairment but may still cause some morbidity associated with the donor site, and also create a second operative site during AC joint surgery [22]. Nicholas et al. [12] achieved excellent outcomes after fresh-frozen ST allograft reconstruction of the CC ligament; patients reported significant pain relief, return of normal strength and function, negligible loss of motion, and no loss of reduction on postoperative radiographs. Based on this information, the substitution of allograft material has become a routine procedure in our institution. The current surgical technique for the CC ligament reconstruction can be graft tendon passed though the clavicle with single tunnel or two tunnels technique [16,23], looped around the base of the coracoids [24], passed through a transosseous tunnel in the coracoids [25], or fixed to the base of coracoid using an anchor technique [6]. The CC ligament is stabilized by 2 sets of ligamentous structures: the conoid and trapezoid. Single-tunnel or two-tunnel reconstruction still remains controversial. Mazzocca et al. considered that each CC ligament has a separate function, and so each must be considered in reconstructive procedures [26]. Anatomical two-tunnel reconstruction with tendon grafts has yielded good results because it restores the original 2 ligaments and produces an ultimate strength that is equivalent to that of native CC ligaments [14,15,23]. However, two-tunnel techniques are technically difficult, with increased risk of fracture, and sometimes are not possible in patients with a small clavicle [13,16]. This technique should be performed by an experienced arthroscopist [23]. Yoo et al. [16] reported that single-tunnel reconstruction has some advantages over two-tunnel techniques. They reconstructed CC ligaments in 21 patients using a single-tunnel ST autograft and achieved superior clinical result. 17 (81%) of the 21 patients maintained complete reduction, and only 1 patient (reportedly a manual laborer) had complete reduction loss. In our cohort, there was a statistically significant difference in percentages of good-to-excellent UCLA scores between the single-tunnel and two-tunnel groups. The two-tunnel group had better scores, with the caveat that we observed two cases of infection in the two-tunnel group which may be related to the greater length and complexity of this procedure as compared to the single-tunnel technique.\nAnatomical two-tunnel reconstruction with ST tendon grafts or synthetic materials provided similar results. The tightrope system, consisting of one round clavicle titanium button and one long coracoid titanium button connected by non-absorbable sutures (No. 5 Ethibond suture), has been initially utilized for repair of acute syndesmosis disruptions. The application has been extended and previously described for AC joint dislocations [27,28]. It can be used as a single graft device or an augment for the other tendon graft construction. Two-tunnel reconstruction technique has been shown by biomechanical studies to restore the strength of the original two ligaments (the conoid and trapezoid) and result in significantly higher stability in the superoinferior as well as the anteroposterior plane when compared with the native CC ligaments [11,14,15,29]. Grafting materials for the two-tunnel technique use are variable, and may include two tendon grafts, two tightrope grafts, or one tendon with one tightrope grafts. Salzmann et al. [23] reported on 23 consecutive patients with the acute AC joint disruption who underwent two-tunnel anatomical reconstruction of CC ligaments using two flip-button tightropes. This procedure yielded satisfactory clinical function and provided a stable fixation at intermediate-term follow-up. In our two-tunnel group, most patients had good-to-excellent UCLA scores at last followup, and this result did not vary between the cases treated with one ST graft and one tightrope graft versus those treated with two ST grafts.\nAugmentation has been shown to be beneficial during CC ligament reconstructions by biomechanical studies [30,31]. An effective augmentation must have biomechanical properties enabling it to shield the repair or reconstruction from excessive tensile force, ideally allowing early rehabilitation. It seems desirable for an augmentation to possess strength and stiffness similar to those of the intact CC ligament complex, thus protecting against physiologic loads while allowing for physiologic motion between the clavicle and coracoid. Tienen et al. [32] had good results with using an open modified Weaver-Dunn technique and AC joint augmentation with absorbable, braided suture in 21 paptients. The tightrope augmentation was initially described for acute AC joint dislocation and represented an excellent biological augmentation technique by Hernegger [27]. Scheibel et al. [33] also reported using a gracilis tendon reconstruction augmented with a tightrope achieved good and excellent results and maintained good reduction for acute AC joint dislocations with one year follow up. Recently, Yoo et al. [16] also reported a superior result by using the tightrope augment technique to protect the ST graft though the same tunnel during the healing period. They considered the tightrope augment was really important factor for their successful surgical procedure and good outcomes. However, in our one-tunnel group, although the sample size was small, we saw no significant difference between patients treated with and without tightrope augmentation. Both of them had a higher re-dislocation rate and achieved the inferior results comparing to the two-tunnel group. From our results, we cannot definitively state that tightrope augmentation is not important and effective for the CC complex reconstruction, but our results do provide strong evidence that the reconstruction technique (specifically the choice between one or two tunnels) largely impacts the radiographic and clinical outcomes.\nThe principal limitations of this study are the relative small sample size who met our inclusion criteria and the fact that we did not have preoperative functional scores. Thus, our conclusions are focused on the substantial difference in success rates we saw between the single-tunnel and two-tunnel groups (18% vs. 70%), and we have limited ability to assess and compare other aspects of the procedures. In addition, because this was an observational study, our data did not permit an accurate assessment of the time to functional recovery. The two-tunnel technique became a standard technique at our institution at a later date than the single-tunnel technique, and so it is possible that surgeon experience may have played a role in the different outcomes among groups. However, we do not believe this confounding factor would be substantial enough to explain the large difference in the two groups that we observed.", "Anatomical reduction the AC joint and biomechanical reconstruction CC ligaments are crucial for the optimal joint stability and function. Two-tunnel CC reconstruction with an allogenous ST graft provides superior radiographic and clinical results compared to single-tunnel reconstruction technique.", "CC ligament: Coracoclavicular ligament; ST tendon: Semitendinosus tendon; AC joint: Acromioclavicular joint; UCLA shoulder rating scale: University of California at Los Angeles shoulder rating scale; ROM: Range of motion.", "The authors declare that they have no competing interests.", "ZH and WS designed research; JG, KS and WC analyzed data and performed statistical analysis. All authors read and approved the final manuscript.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2482/14/53/prepub\n" ]
[ null, "methods", "results", "discussion", "conclusions", null, null, null, null ]
[ "Acromioclavicular joint", "Single-tunnel", "Two-tunnel", "Reconstruction", "Augmentation" ]
Background: Acromioclavicular (AC) joint injuries are among the most commonly occurring problems in the young and active patient population. Higher-grade AC joint injuries (Rockwood types III through VI) represent failure of the coracoclavicular (CC) ligament complex, which is formed by the conoid and trapezoid ligaments. This complex has been termed the primary suspensory structure of the upper limb [1,2]. In the literature, the incidence of traumatic AC joint separation varies from 3 to 4 per 100,000 people with 25-52% of these occurring during sporting activities, and they are also one of the most common shoulder injuries seen in orthopaedic traumatology [2-5]. For certain Rockwood type III AC joint separations and all type IV, V, and VI injuries, surgical treatment has been recommended to prevent disabling pain, weakness, and deformity [6-8]. Although more than 60 surgical techniques have been reported, the frequency of failure to maintain reduction after surgical treatment remains high [9,10]. Recently, CC ligament reconstruction with tendon grafts has become more popular and has achieved relatively good results [11,12]. Biomechanical studies focusing on an anatomic reconstruction of the CC ligament complex using tendon grafts have reported promising potential for this technique [13-15]. Semitendinosus tendon (ST) grafting and anatomic reconstruction can be imitated, providing stability to the clavicle that is very close to that provided by the intact ligaments [13]. However, optimal reconstruction technique, single-tunnel or two-tunnel, still remains controversial. Anatomical two-tunnel reconstruction with tendon grafts or synthetic materials seems appealing because it has been shown by biomechanical studies to restore the original two ligaments (the conoid and trapezoid) and to produce an ultimate failure load that is equivalent to that of native CC ligaments [13-15]. However, it is technically difficult and theoretically increases the risk of fracture [16]. The purpose of this retrospective study was to analyze the clinical and radiographic data of allogenous ST tendon grafting with single- or two-tunnel reconstruction techniques of the CC ligaments. We hypothesize that anatomic reconstruction of the AC joint disruption using two-tunnel reconstruction technique results in a satisfying clinical function and provides stable fixation. Methods: Between June 2003 and January 2009, twenty-three patients underwent open operation for AC joint reconstruction with ST allograft at our institution. In the earlier study period before 2007, we mostly used single-tunnel technique, and after 2007 mostly the two-tunnel technique. For analysis we divided patients into two groups: single-tunnel group and two-tunnel group. Patient data were collected retrospectively, including gender, age at the time of surgery, injury mechanism, classification according to Rockwood, and surgical technique. Patients with at least 12 months of clinical follow-up were included in this study. Patients were excluded if they had a previous shoulder injury, arthritis, or an associated neurological deficit on the side of injury.The procedure was performed with the patient in the beach chair position under general anesthesia in combination with an interscalene block. An anterior deltopectoral approach was utilized with saber incision, The AC joint, the lateral end of the clavicle, and the coracoid process were exposed. Subperiosteal detachment of the deltotrapezial fascia from the clavicle was performed. The distal end of the clavicle was resected 8 to 10 mm using an oscillating saw. For the single-tunnel technique, a 6-mm drill hole was made about 1.5-2 cm medial to the remaining end of the clavicle superior to inferior in a 300 posterior to anterior angle. A ST allograft was prepared by placing a whipstitch (Arthrex #2 Fiberwire suture, Naples, FL, USA) on either end. After reducing the distal clavicle down to the acromion anatomically, the ST graft was introduced around the base of the coracoid and then both ends of the graft up through the clavicle hole. The graft was then mechanically tensioned and a 5.5 mm Bio-tenodesis screw was placed down through the center of the ST graft fixing it to the clavicle. The free ends of the graft were then passed underneath the clavicle and tied to themselves for additional fixation (Figure 1). If using a tightrope augment (Arthrex Fiberwire No. 5, Naples, FL, USA), a guide was used to place a pin from a point medial to the lateral tunnel, to the base of the coracoid. A 4.5 mm reamer was then used to create a tunnel through the clavicle and coracoid. The tight rope device was placed through the clavicular and then coracoid tunnel and endobutton secured against inferior cortex of coracoid. The tight-rope was then tied after fixation of the graft. Later in the series, a single clavicular tunnel was utilized for both the graft and tight-rope. The graft was placed around the coracoid and through the clavicular tunnel and tightrope device (Figure 2).For the two-tunnel technique, the same delto-pectoral approach was used. Two holes were drilled in the clavicle to reconstruct each of the two CC ligaments, trapezoid and conoid ligaments. The lateral tunnel is created as in the single-tunnel technique. The medial tunnel is located 4.5 cm medial to the AC joint. A 5.5 mm tunnel is reamed like the medial tunnel. A single ST graft was prepared and looped under the coracoid. The lateral free end was brought up through the lateral tunnel, and the medial free end through the medial tunnel. The AC joint is reduced, and the grafts fixed into the tunnels with 5 mm biotenodesis screws and the graft tied to itself (Figure 3). If using tightrope augment, a guide pin is placed between the two graft tunnels, from midline, through the clavicle and base of coracoid. A 4.5 mm tunnel is reamed over the guide wire and the Tight-rope device placed through the clavicle and coracoid and secured to the inferior cortex of the coracoid. The device is tightened and tied after graft fixation (Figure 4). After reconstruction, attention was directed to repair of the deltotrapezial interval. This was performed in a pants-over-vest fashion using #1 or #2 non-absorbable sutures in an interrupted fashion. A layered closure was then performed. A drain was not utilized. ST allograft reconstruction of the AC joint with single-tunnel technique. ST Allograft with tightrope augment reconstruction of the CC joint with single-tunnel technique. ST allograft reconstruction of the CC joint with two-tunnel technique. ST Allograft with tightrope augment reconstruction of the CC joint with two-tunnel technique. All patients were placed in a sling immobilizer post-op for 4 to 6 weeks. Gentle pendulums and Codman’s were begun post-op day 1. At 4 weeks therapy was begun with passive motion and cuff isometrics. Resistive program started at 8 weeks. Patients were generally allowed to return to manual work and athletics at 4 to 6 months depending on level of rehabilitation. Contact sports not prior to six months. All patients were evaluated clinically and radiographically using a modified UCLA rating scale [5,17], which reflects three parts: maintenance of reduction, objective evaluation of the patient’s function, and complications secondary to operation. In the radiological evaluation, the roentgenographic rating was determined by the degree of displacement of the AC joint, which was evaluated by measuring the relation between the acromion and the clavicle on the anteroposterior view for vertical displacement (reduced = 4 points, subluxed = 2 points, dislocated = 0 points). In the physical evaluation, range of motion (ROM), pain, weakness, and complications were recorded. Finally, patients were asked their overall satisfaction with the postoperative result, with 0 points for dissatisfaction or unsure and 2 points for satisfaction. Table 1 shows the relative weight given to each category of the rating scale and describes the criteria by which a patient was assigned an overall final result of excellent, good, fair, or poor. The modification of the UCLA rating scale 8.17 Results: excellent, 18–20; good, 15–17; fair, 12–14; poor, ≤ 11. Percentages of good-to-excellent outcomes and maintenance of reduction (reduced or subluxed) were compared between the two reconstruction procedures (single vs. two-tunnel), and between augmentation techniques (with vs. without tightrope). Because of the relatively small sample sizes, Fisher’s exact test was used in place of chi-square testing at a significance level of p < 0.05. All analysis was performed using SAS statistical software (SAS 9.2, Cary, NC). Waiver of patient consent was granted by Institutional Review Board of Geisinger Medical Center for retrospective chart review. Results: From the initial 23 patients who were surgically treated, two patients were lost to follow up and were excluded. Table 2 summarizes the demographics and injury characteristics of the 21 patients remaining in the study. The majority of fractures (18 of 21) were Rockwood type V, with one fracture each in type III, IV and VI categories. Most of those patients had received primary unsuccessful conservative care and switched to operative management, and one patient underwent a failed Weaver-Dunn procedure. Demographic and injury characteristics, by single-tunnel and two-tunnel group The overall mean follow-up time was 16 months, and at the time of the latest follow-up, the overall mean UCLA rating score was 14.1 (range 8–20). Eleven (52%) patients rated the outcome as good to excellent, 3 (14%) rated it as fair, and 7 (33%) rated it as poor. Three of 21 patients underwent additional revision surgery for the failed CC ligament repair or reconstruction. Of the 21 patients, eleven patients underwent allogenous ST grafting with single-tunnel reconstruction technique, and 6 of these received tightrope augmentation. Ten patients underwent allogenous ST grafting with two-tunnel reconstruction technique: four of these received one ST graft plus one tightrope graft (“ST-tightrope”), while the other six received two ST grafts (“ST-ST”). Table 3 summarizes the UCLA rating scale scores at last follow-up for the two groups (single- and two-tunnel), subdivided by augmentation type. The percentage of good-to-excellent outcomes was significantly higher for patients with the two-tunnel technique than for those with the one-tunnel technique (70% vs. 18%, respectively, p = 0.03). Within the single-tunnel group, there was no statistically significant difference in percentage of good-to-excellent outcomes between patients with vs. without tightrope augmentation (17% vs 20%, p > 0.99). Similarly, within the two-tunnel group, there was no significant difference in the percentage of good-to-excellent outcomes between ST-tightrope and ST-ST patients (75% vs. 67%, p > 0.99). Number of patients receiving single-tunnel vs. two-tunnel techniques, subdivided by augmentation type, with clinical outcome results based on modification of the UCLA rating scale *Two-tunnel group had significantly higher percentage of good-to-excellent outcomes than single-tunnel group, p = 0.03. ^No significant difference between with vs. without augmentation for single-tunnel group, p > 0.99. #No significant difference between ST-tightrope vs. ST-ST for two-tunnel group, p > 0.99. We noted that complications were observed in three of the 21 patients: two patients in the two-tunnel group had infection, and one patient in the single-tunnel group had a coracoid fracture. Calcification of the CC ligament occurred in one case, but it did not appear to cause symptoms, and was therefore not considered a complication. No patient had neurovascular or post-traumatic arthritis of the injured AC joint. Discussion: Our data demonstrated that allogenous ST grafting with two-tunnel reconstruction technique of the AC joint yielded excellent or good clinical outcomes more frequently compared to single-tunnel reconstruction technique. These results also suggest that the materials used for augmentation in the two-tunnel reconstruction technique do not impact the clinical result. In this technique, one ST allograft combined with one tightrope graft construction can provide similar outcomes to using ST allograft in both tunnels. We also saw no significant differences between patients with and without tightrope augment in the single-tunnel technique group. Based on well established anatomical ligament reconstruction in the knee injury, reconstructing the CC ligament using tendon graft for AC joint injury has become more popular because the construct is more physiologic, does not require implant removal and preserves the CA ligament [18,19]. ST tendon grafts are most common used for this procedure, which can be either autografts or allografts, and have achieved relatively good results [11-13,20,21]. The harvesting of an autogenous tendon may not result in long-term functional impairment but may still cause some morbidity associated with the donor site, and also create a second operative site during AC joint surgery [22]. Nicholas et al. [12] achieved excellent outcomes after fresh-frozen ST allograft reconstruction of the CC ligament; patients reported significant pain relief, return of normal strength and function, negligible loss of motion, and no loss of reduction on postoperative radiographs. Based on this information, the substitution of allograft material has become a routine procedure in our institution. The current surgical technique for the CC ligament reconstruction can be graft tendon passed though the clavicle with single tunnel or two tunnels technique [16,23], looped around the base of the coracoids [24], passed through a transosseous tunnel in the coracoids [25], or fixed to the base of coracoid using an anchor technique [6]. The CC ligament is stabilized by 2 sets of ligamentous structures: the conoid and trapezoid. Single-tunnel or two-tunnel reconstruction still remains controversial. Mazzocca et al. considered that each CC ligament has a separate function, and so each must be considered in reconstructive procedures [26]. Anatomical two-tunnel reconstruction with tendon grafts has yielded good results because it restores the original 2 ligaments and produces an ultimate strength that is equivalent to that of native CC ligaments [14,15,23]. However, two-tunnel techniques are technically difficult, with increased risk of fracture, and sometimes are not possible in patients with a small clavicle [13,16]. This technique should be performed by an experienced arthroscopist [23]. Yoo et al. [16] reported that single-tunnel reconstruction has some advantages over two-tunnel techniques. They reconstructed CC ligaments in 21 patients using a single-tunnel ST autograft and achieved superior clinical result. 17 (81%) of the 21 patients maintained complete reduction, and only 1 patient (reportedly a manual laborer) had complete reduction loss. In our cohort, there was a statistically significant difference in percentages of good-to-excellent UCLA scores between the single-tunnel and two-tunnel groups. The two-tunnel group had better scores, with the caveat that we observed two cases of infection in the two-tunnel group which may be related to the greater length and complexity of this procedure as compared to the single-tunnel technique. Anatomical two-tunnel reconstruction with ST tendon grafts or synthetic materials provided similar results. The tightrope system, consisting of one round clavicle titanium button and one long coracoid titanium button connected by non-absorbable sutures (No. 5 Ethibond suture), has been initially utilized for repair of acute syndesmosis disruptions. The application has been extended and previously described for AC joint dislocations [27,28]. It can be used as a single graft device or an augment for the other tendon graft construction. Two-tunnel reconstruction technique has been shown by biomechanical studies to restore the strength of the original two ligaments (the conoid and trapezoid) and result in significantly higher stability in the superoinferior as well as the anteroposterior plane when compared with the native CC ligaments [11,14,15,29]. Grafting materials for the two-tunnel technique use are variable, and may include two tendon grafts, two tightrope grafts, or one tendon with one tightrope grafts. Salzmann et al. [23] reported on 23 consecutive patients with the acute AC joint disruption who underwent two-tunnel anatomical reconstruction of CC ligaments using two flip-button tightropes. This procedure yielded satisfactory clinical function and provided a stable fixation at intermediate-term follow-up. In our two-tunnel group, most patients had good-to-excellent UCLA scores at last followup, and this result did not vary between the cases treated with one ST graft and one tightrope graft versus those treated with two ST grafts. Augmentation has been shown to be beneficial during CC ligament reconstructions by biomechanical studies [30,31]. An effective augmentation must have biomechanical properties enabling it to shield the repair or reconstruction from excessive tensile force, ideally allowing early rehabilitation. It seems desirable for an augmentation to possess strength and stiffness similar to those of the intact CC ligament complex, thus protecting against physiologic loads while allowing for physiologic motion between the clavicle and coracoid. Tienen et al. [32] had good results with using an open modified Weaver-Dunn technique and AC joint augmentation with absorbable, braided suture in 21 paptients. The tightrope augmentation was initially described for acute AC joint dislocation and represented an excellent biological augmentation technique by Hernegger [27]. Scheibel et al. [33] also reported using a gracilis tendon reconstruction augmented with a tightrope achieved good and excellent results and maintained good reduction for acute AC joint dislocations with one year follow up. Recently, Yoo et al. [16] also reported a superior result by using the tightrope augment technique to protect the ST graft though the same tunnel during the healing period. They considered the tightrope augment was really important factor for their successful surgical procedure and good outcomes. However, in our one-tunnel group, although the sample size was small, we saw no significant difference between patients treated with and without tightrope augmentation. Both of them had a higher re-dislocation rate and achieved the inferior results comparing to the two-tunnel group. From our results, we cannot definitively state that tightrope augmentation is not important and effective for the CC complex reconstruction, but our results do provide strong evidence that the reconstruction technique (specifically the choice between one or two tunnels) largely impacts the radiographic and clinical outcomes. The principal limitations of this study are the relative small sample size who met our inclusion criteria and the fact that we did not have preoperative functional scores. Thus, our conclusions are focused on the substantial difference in success rates we saw between the single-tunnel and two-tunnel groups (18% vs. 70%), and we have limited ability to assess and compare other aspects of the procedures. In addition, because this was an observational study, our data did not permit an accurate assessment of the time to functional recovery. The two-tunnel technique became a standard technique at our institution at a later date than the single-tunnel technique, and so it is possible that surgeon experience may have played a role in the different outcomes among groups. However, we do not believe this confounding factor would be substantial enough to explain the large difference in the two groups that we observed. Conclusion: Anatomical reduction the AC joint and biomechanical reconstruction CC ligaments are crucial for the optimal joint stability and function. Two-tunnel CC reconstruction with an allogenous ST graft provides superior radiographic and clinical results compared to single-tunnel reconstruction technique. Abbreviations: CC ligament: Coracoclavicular ligament; ST tendon: Semitendinosus tendon; AC joint: Acromioclavicular joint; UCLA shoulder rating scale: University of California at Los Angeles shoulder rating scale; ROM: Range of motion. Competing interests: The authors declare that they have no competing interests. Authors’ contributions: ZH and WS designed research; JG, KS and WC analyzed data and performed statistical analysis. All authors read and approved the final manuscript. Pre-publication history: The pre-publication history for this paper can be accessed here: http://www.biomedcentral.com/1471-2482/14/53/prepub
Background: Coracoclavicular (CC) ligament reconstruction with semitendinosus tendon (ST) grafts has become more popular and has achieved relatively good results; however optimal reconstruction technique, single-tunnel or two-tunnel, still remains controversial. This paper is to compare the clinical and radiographic data of allogenous ST grafting with single- or two-tunnel reconstruction techniques of the AC joint. Methods: The outcomes of 21 consecutive patients who underwent anatomical reduction and ST grafting for AC joint separation were reviewed retrospectively. Patients were divided into two groups: single-tunnel group (11) and two-tunnel group (10). All patients were evaluated clinically and radiographically using a modified UCLA rating scale. Results: The majority of separations (18 of 21) were Rockwood type V, with one each in type III, IV and VI categories. The overall mean follow-up time was 16 months, and at the time of the latest follow-up, the overall mean UCLA rating score was 14.1 (range 8-20).The percentage of good-to-excellent outcomes was significantly higher for patients with the two-tunnel technique than for those with the one-tunnel technique (70% vs. 18%, respectively, p = 0.03). Within the single-tunnel group, there was no statistically significant difference in percentage of good-to-excellent outcomes between patients with vs. without tightrope augmentation (17% vs 20%, p > 0.99). Similarly, within the two-tunnel group, there was no significant difference in the percentage of good-to-excellent outcomes between the graft only and augment groups (67% vs. 75%, p > 0.99). Conclusions: Anatomical reduction of the AC joint and reconstruction CC ligaments are crucial for optimal joint stability and function. Two-tunnel CC reconstruction with an allogenous ST graft provides superior significantly better radiographic and clinical results compared to the single-tunnel reconstruction technique.
Background: Acromioclavicular (AC) joint injuries are among the most commonly occurring problems in the young and active patient population. Higher-grade AC joint injuries (Rockwood types III through VI) represent failure of the coracoclavicular (CC) ligament complex, which is formed by the conoid and trapezoid ligaments. This complex has been termed the primary suspensory structure of the upper limb [1,2]. In the literature, the incidence of traumatic AC joint separation varies from 3 to 4 per 100,000 people with 25-52% of these occurring during sporting activities, and they are also one of the most common shoulder injuries seen in orthopaedic traumatology [2-5]. For certain Rockwood type III AC joint separations and all type IV, V, and VI injuries, surgical treatment has been recommended to prevent disabling pain, weakness, and deformity [6-8]. Although more than 60 surgical techniques have been reported, the frequency of failure to maintain reduction after surgical treatment remains high [9,10]. Recently, CC ligament reconstruction with tendon grafts has become more popular and has achieved relatively good results [11,12]. Biomechanical studies focusing on an anatomic reconstruction of the CC ligament complex using tendon grafts have reported promising potential for this technique [13-15]. Semitendinosus tendon (ST) grafting and anatomic reconstruction can be imitated, providing stability to the clavicle that is very close to that provided by the intact ligaments [13]. However, optimal reconstruction technique, single-tunnel or two-tunnel, still remains controversial. Anatomical two-tunnel reconstruction with tendon grafts or synthetic materials seems appealing because it has been shown by biomechanical studies to restore the original two ligaments (the conoid and trapezoid) and to produce an ultimate failure load that is equivalent to that of native CC ligaments [13-15]. However, it is technically difficult and theoretically increases the risk of fracture [16]. The purpose of this retrospective study was to analyze the clinical and radiographic data of allogenous ST tendon grafting with single- or two-tunnel reconstruction techniques of the CC ligaments. We hypothesize that anatomic reconstruction of the AC joint disruption using two-tunnel reconstruction technique results in a satisfying clinical function and provides stable fixation. Conclusion: Anatomical reduction the AC joint and biomechanical reconstruction CC ligaments are crucial for the optimal joint stability and function. Two-tunnel CC reconstruction with an allogenous ST graft provides superior radiographic and clinical results compared to single-tunnel reconstruction technique.
Background: Coracoclavicular (CC) ligament reconstruction with semitendinosus tendon (ST) grafts has become more popular and has achieved relatively good results; however optimal reconstruction technique, single-tunnel or two-tunnel, still remains controversial. This paper is to compare the clinical and radiographic data of allogenous ST grafting with single- or two-tunnel reconstruction techniques of the AC joint. Methods: The outcomes of 21 consecutive patients who underwent anatomical reduction and ST grafting for AC joint separation were reviewed retrospectively. Patients were divided into two groups: single-tunnel group (11) and two-tunnel group (10). All patients were evaluated clinically and radiographically using a modified UCLA rating scale. Results: The majority of separations (18 of 21) were Rockwood type V, with one each in type III, IV and VI categories. The overall mean follow-up time was 16 months, and at the time of the latest follow-up, the overall mean UCLA rating score was 14.1 (range 8-20).The percentage of good-to-excellent outcomes was significantly higher for patients with the two-tunnel technique than for those with the one-tunnel technique (70% vs. 18%, respectively, p = 0.03). Within the single-tunnel group, there was no statistically significant difference in percentage of good-to-excellent outcomes between patients with vs. without tightrope augmentation (17% vs 20%, p > 0.99). Similarly, within the two-tunnel group, there was no significant difference in the percentage of good-to-excellent outcomes between the graft only and augment groups (67% vs. 75%, p > 0.99). Conclusions: Anatomical reduction of the AC joint and reconstruction CC ligaments are crucial for optimal joint stability and function. Two-tunnel CC reconstruction with an allogenous ST graft provides superior significantly better radiographic and clinical results compared to the single-tunnel reconstruction technique.
3,910
380
[ 423, 39, 10, 27, 16 ]
9
[ "tunnel", "reconstruction", "technique", "st", "single", "patients", "joint", "single tunnel", "cc", "tightrope" ]
[ "cc ligament tendon", "ligament reconstruction", "cc ligament repair", "ligament reconstruction tendon", "reconstruct cc ligaments" ]
[CONTENT] Acromioclavicular joint | Single-tunnel | Two-tunnel | Reconstruction | Augmentation [SUMMARY]
[CONTENT] Acromioclavicular joint | Single-tunnel | Two-tunnel | Reconstruction | Augmentation [SUMMARY]
[CONTENT] Acromioclavicular joint | Single-tunnel | Two-tunnel | Reconstruction | Augmentation [SUMMARY]
[CONTENT] Acromioclavicular joint | Single-tunnel | Two-tunnel | Reconstruction | Augmentation [SUMMARY]
[CONTENT] Acromioclavicular joint | Single-tunnel | Two-tunnel | Reconstruction | Augmentation [SUMMARY]
[CONTENT] Acromioclavicular joint | Single-tunnel | Two-tunnel | Reconstruction | Augmentation [SUMMARY]
[CONTENT] Acromioclavicular Joint | Adult | Female | Follow-Up Studies | Humans | Ligaments, Articular | Male | Middle Aged | Orthopedic Procedures | Range of Motion, Articular | Plastic Surgery Procedures | Retrospective Studies | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] Acromioclavicular Joint | Adult | Female | Follow-Up Studies | Humans | Ligaments, Articular | Male | Middle Aged | Orthopedic Procedures | Range of Motion, Articular | Plastic Surgery Procedures | Retrospective Studies | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] Acromioclavicular Joint | Adult | Female | Follow-Up Studies | Humans | Ligaments, Articular | Male | Middle Aged | Orthopedic Procedures | Range of Motion, Articular | Plastic Surgery Procedures | Retrospective Studies | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] Acromioclavicular Joint | Adult | Female | Follow-Up Studies | Humans | Ligaments, Articular | Male | Middle Aged | Orthopedic Procedures | Range of Motion, Articular | Plastic Surgery Procedures | Retrospective Studies | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] Acromioclavicular Joint | Adult | Female | Follow-Up Studies | Humans | Ligaments, Articular | Male | Middle Aged | Orthopedic Procedures | Range of Motion, Articular | Plastic Surgery Procedures | Retrospective Studies | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] Acromioclavicular Joint | Adult | Female | Follow-Up Studies | Humans | Ligaments, Articular | Male | Middle Aged | Orthopedic Procedures | Range of Motion, Articular | Plastic Surgery Procedures | Retrospective Studies | Treatment Outcome | Young Adult [SUMMARY]
[CONTENT] cc ligament tendon | ligament reconstruction | cc ligament repair | ligament reconstruction tendon | reconstruct cc ligaments [SUMMARY]
[CONTENT] cc ligament tendon | ligament reconstruction | cc ligament repair | ligament reconstruction tendon | reconstruct cc ligaments [SUMMARY]
[CONTENT] cc ligament tendon | ligament reconstruction | cc ligament repair | ligament reconstruction tendon | reconstruct cc ligaments [SUMMARY]
[CONTENT] cc ligament tendon | ligament reconstruction | cc ligament repair | ligament reconstruction tendon | reconstruct cc ligaments [SUMMARY]
[CONTENT] cc ligament tendon | ligament reconstruction | cc ligament repair | ligament reconstruction tendon | reconstruct cc ligaments [SUMMARY]
[CONTENT] cc ligament tendon | ligament reconstruction | cc ligament repair | ligament reconstruction tendon | reconstruct cc ligaments [SUMMARY]
[CONTENT] tunnel | reconstruction | technique | st | single | patients | joint | single tunnel | cc | tightrope [SUMMARY]
[CONTENT] tunnel | reconstruction | technique | st | single | patients | joint | single tunnel | cc | tightrope [SUMMARY]
[CONTENT] tunnel | reconstruction | technique | st | single | patients | joint | single tunnel | cc | tightrope [SUMMARY]
[CONTENT] tunnel | reconstruction | technique | st | single | patients | joint | single tunnel | cc | tightrope [SUMMARY]
[CONTENT] tunnel | reconstruction | technique | st | single | patients | joint | single tunnel | cc | tightrope [SUMMARY]
[CONTENT] tunnel | reconstruction | technique | st | single | patients | joint | single tunnel | cc | tightrope [SUMMARY]
[CONTENT] reconstruction | injuries | tendon | ligaments | anatomic | anatomic reconstruction | failure | tunnel | joint | cc [SUMMARY]
[CONTENT] tunnel | clavicle | coracoid | graft | medial | mm | tunnel technique | placed | end | patients [SUMMARY]
[CONTENT] patients | tunnel | st | group | tunnel group | vs | single tunnel | single | tightrope | 21 [SUMMARY]
[CONTENT] reconstruction | tunnel | cc | joint | biomechanical reconstruction | function tunnel cc | function tunnel cc reconstruction | results compared | results compared single | results compared single tunnel [SUMMARY]
[CONTENT] tunnel | reconstruction | st | joint | patients | technique | cc | single | tendon | authors [SUMMARY]
[CONTENT] tunnel | reconstruction | st | joint | patients | technique | cc | single | tendon | authors [SUMMARY]
[CONTENT] CC | two ||| two | AC [SUMMARY]
[CONTENT] 21 | AC ||| two | 11 | two | 10 ||| UCLA [SUMMARY]
[CONTENT] 18 | Rockwood | III | IV | VI ||| 16 months | UCLA | 14.1 | 8 | two | one | 70% | 18% | 0.03 ||| 17% | 20% | 0.99 ||| two | 67% | 75% | 0.99 [SUMMARY]
[CONTENT] AC | CC ||| Two | CC [SUMMARY]
[CONTENT] CC | two ||| two | AC ||| 21 | AC ||| two | 11 | two | 10 ||| UCLA ||| ||| 18 | Rockwood | III | IV | VI ||| 16 months | UCLA | 14.1 | 8 | two | one | 70% | 18% | 0.03 ||| 17% | 20% | 0.99 ||| two | 67% | 75% | 0.99 ||| AC | CC ||| Two | CC [SUMMARY]
[CONTENT] CC | two ||| two | AC ||| 21 | AC ||| two | 11 | two | 10 ||| UCLA ||| ||| 18 | Rockwood | III | IV | VI ||| 16 months | UCLA | 14.1 | 8 | two | one | 70% | 18% | 0.03 ||| 17% | 20% | 0.99 ||| two | 67% | 75% | 0.99 ||| AC | CC ||| Two | CC [SUMMARY]
Effectiveness of meditative movement on COPD: a systematic review and meta-analysis.
29713157
The effectiveness of meditative movement (tai chi, yoga, and qigong) on COPD remained unclear. We undertook a systematic review and meta-analysis to determine the effectiveness of meditative movement on COPD patients.
BACKGROUND
We searched PubMed, Web of Science, EMBASE, and the Cochrane Center Register of Controlled Trials for relevant studies. The methods of standard meta-analysis were utilized for identifying relevant researches (until August 2017), quality appraisal, and synthesis. The primary outcomes were the 6-minute walking distance (6MWD), lung function, and dyspnea levels.
METHODS
Sixteen studies involving 1,176 COPD patients were included. When comparing with the control group, the 6MWD was significantly enhanced in the treatment group (3 months: mean difference [MD]=25.40 m, 95% CI: 16.25 to 34.54; 6 months: MD=35.75 m, 95% CI: 22.23 to 49.27), as well as functions on forced expiratory volume in 1 s (FEV1) (3 months: MD=0.1L, 95% CI: 0.02 to 0.18; 6 months: MD=0.18L, 95% CI: 0.1 to 0.26), and FEV1 % predicted (3 months: 4L, 95% CI: 2.7 to 5.31; 6 months: MD=4.8L, 95% CI: 2.56 to 7.07). Quality of life for the group doing meditative movement was better than the control group based on the Chronic Respiratory Disease Questionnaire dyspnea score (MD=0.9 units, 95% CI: 0.51 to 1.29) and fatigue score (MD=0.75 units, 95% CI: 0.42 to 1.09) and the total score (MD=1.92 units, 95% CI: 0.54 to 3.31).
RESULTS
Meditative movement may have the potential to enhance lung function and physical activity in COPD patients. More large-scale, well-designed, multicenter, randomized controlled trials should be launched to evaluate the long-range effects of meditative movement.
CONCLUSION
[ "Adult", "Aged", "Aged, 80 and over", "Chi-Square Distribution", "Exercise Movement Techniques", "Exercise Tolerance", "Female", "Forced Expiratory Volume", "Health Status", "Humans", "Lung", "Male", "Middle Aged", "Pulmonary Disease, Chronic Obstructive", "Qigong", "Quality of Life", "Recovery of Function", "Respiratory Function Tests", "Surveys and Questionnaires", "Tai Ji", "Treatment Outcome", "Walk Test", "Yoga" ]
5909800
Introduction
COPD is characterized by nonreversible airflow obstruction and intermittent exacerbations. It was a major cause of morbidity and mortality worldwide.1–4 Despite progress in pharmacologic and surgical treatments, many patients continue to suffer from dyspnea and substantial limitations in daily activities. They are often trapped in a vicious cycle of inactivity, initiated by breathlessness.5,6 Rehabilitation may alleviate the symptoms, impede the deterioration of lung functions, and improve health-related quality of life among (HRQoL) COPD patients. More and more experts are beginning to realize the importance of pulmonary rehabilitation for COPD patients. Exercise training should be one of the vital approaches in the treatment of COPD.7,8 Meditative movement is proposed as a gentle exercise training and incorporates meditation, breathing, and relaxation.9 Meditative movement, including forms such as tai chi, yoga, and qigong, incorporates: focus on the mind; movements, usually slow, relaxed, flowing and choreographed; a focus on breathing, and a deep and calm state of physical and mental relaxation.9 tai chi is a centuries-old Chinese health practice. It involves a series of movements performed in a slow, well-balanced and focused manner, and is accompanied by deep breathing. Qigong is also an ancient Chinese exercise that include meditation, physical movement, relaxation, and breathing exercises to restore and maintain balance. Qigong is designed to control the vital energy (qi) of the body along the energy channels (meridians). Qigong combined with tai chi may keep the body, mind, and spirit in a state of alignment and balance.10 Yoga originated from ancient India, and consisted of pranayama, sithali, kapalabhati, asanas, and meditation. The exercises may coordinate the individual self with the transcendental self.11 Although some studies have reported that meditative movements exerted beneficial effects on COPD patients,12,13 its definite effectiveness remains unclear. Hence, we performed a systematic review and meta-analysis to evaluate the effectiveness of meditative movement as complementary therapy for COPD patients.
Statistical analysis
We undertook statistical analysis by using Cochrane systematic review software Review Manager (RevMan; Version 5.3.5). Eligible studies were analyzed using the mean and SDs to measure the change from baseline to endpoint in each intervention period. Since all outcomes were continuous variables, mean difference (MD) with 95% CIs were calculated when studies reported their results of the same variables measured with the same units of measure. I2 statistic was used to assess the heterogeneity. And random effect models were used to address variations in studies.15 Meanwhile, I2 values were classified as low (0% to <25%), medium (25% to <75%), and high (≥75%).16 The results were displayed as Forest plots.
Results
We retrieved a total of 1,145 references. Sixteen studies finally fulfilled the inclusion criteria and were further analyzed.36–51 A flow chart for the studies evaluated and the reasons for exclusion is shown in Figure 1. Of the included studies, 7 evaluated yoga, 4 tai chi, 3 qigong, and 2 tai chi and qigong combined. Yoga, tai chi, and qigong were included. The exercise group used breathing and walking as a physical exercise. Breathing exercises comprised pursed-lip breathing and diaphragmatic breathing. Settings Five of these 15 studies was conducted in India (Ranjita 2015; Gupta 2014; Soni 2012; Kulpati 1982; Katiyar 2006), 2 in the USA (Yeh 2010; Donesky-Cuenco 2009), 2 in Australia (Leung 2013; Tandon 1978), 3 in Hong Kong (Chan 2010; Ng2011; Ng 2014), and the rest in other provinces in China (Zhang 2015; Xiao 2015; Niu 2014). Most studies were conducted in outpatient clinics and published between 1975 and 2015. Five of these 15 studies was conducted in India (Ranjita 2015; Gupta 2014; Soni 2012; Kulpati 1982; Katiyar 2006), 2 in the USA (Yeh 2010; Donesky-Cuenco 2009), 2 in Australia (Leung 2013; Tandon 1978), 3 in Hong Kong (Chan 2010; Ng2011; Ng 2014), and the rest in other provinces in China (Zhang 2015; Xiao 2015; Niu 2014). Most studies were conducted in outpatient clinics and published between 1975 and 2015. Study characteristics A total of 1,176 COPD patients were included in the current study. The sizes of sample, according to statistics, ranged from 10 to 206. The patients were recruited from outpatients or health care centers. Studies were conducted in a diverse array of countries, mostly in Southeast Asia. Characteristics of the included studies were summarized in Table 1. Four articles written by Chan et al52,53 derived from the same study. Since the research by Chan et al had a patient population that appeared to be described in recent studies36,37 of different study design, we decided to exclude the previous 2.52,53 All studies were published between 1990 and 2017, and the duration ranged from 12 weeks to 9 months. Most of the trials used tai chi or yoga as the experimental intervention; furthermore, 3 trials used qigong38–40 and 2 trials36,37 used tai chi combined with qigong. All the included trials described the details involving the duration, frequencies, and session length of the interventions. The mean age ranged from 45 to 74.1 years, and the mean baseline lung function varied from 36.75% to 59.12% predicted FEV1. Disease severity ranged from mild to very severe, as reported by study authors. Five studies36–38,42,44 recruited participants with disease severity ranging from mild to moderate; 739–41,43,46,47,51 from moderate to severe; and 445,48–50 studies did not specify the level of severity included but provided the mean value of % predicted FEV1 and SD within the range of mild-to-severe COPD. The frequencies of training ranged from 2 to 7 sessions each week, and the time of exercise lasted 30–90 minutes per session; most common was 30–60 minutes. Yoga tended to be practised for longer and more frequently than tai chi or qigong. One trial48 measured the outcomes of 2 months, 7 trials41,42,45–47,50,51 measured the outcomes for 3 months, 7 trials36–40,43,44 measured the outcomes for 6 months, and 1 trial49 measured the outcomes of 9 months. The interventions in control groups were education, breathing technique, and walking combined with or without breathing technique. All participants received the usual medical treatment in addition to the experimental intervention. A total of 1,176 COPD patients were included in the current study. The sizes of sample, according to statistics, ranged from 10 to 206. The patients were recruited from outpatients or health care centers. Studies were conducted in a diverse array of countries, mostly in Southeast Asia. Characteristics of the included studies were summarized in Table 1. Four articles written by Chan et al52,53 derived from the same study. Since the research by Chan et al had a patient population that appeared to be described in recent studies36,37 of different study design, we decided to exclude the previous 2.52,53 All studies were published between 1990 and 2017, and the duration ranged from 12 weeks to 9 months. Most of the trials used tai chi or yoga as the experimental intervention; furthermore, 3 trials used qigong38–40 and 2 trials36,37 used tai chi combined with qigong. All the included trials described the details involving the duration, frequencies, and session length of the interventions. The mean age ranged from 45 to 74.1 years, and the mean baseline lung function varied from 36.75% to 59.12% predicted FEV1. Disease severity ranged from mild to very severe, as reported by study authors. Five studies36–38,42,44 recruited participants with disease severity ranging from mild to moderate; 739–41,43,46,47,51 from moderate to severe; and 445,48–50 studies did not specify the level of severity included but provided the mean value of % predicted FEV1 and SD within the range of mild-to-severe COPD. The frequencies of training ranged from 2 to 7 sessions each week, and the time of exercise lasted 30–90 minutes per session; most common was 30–60 minutes. Yoga tended to be practised for longer and more frequently than tai chi or qigong. One trial48 measured the outcomes of 2 months, 7 trials41,42,45–47,50,51 measured the outcomes for 3 months, 7 trials36–40,43,44 measured the outcomes for 6 months, and 1 trial49 measured the outcomes of 9 months. The interventions in control groups were education, breathing technique, and walking combined with or without breathing technique. All participants received the usual medical treatment in addition to the experimental intervention. Risk of bias of studies The assessment of the included studies are shown in Table 2, which displayed36–51 the risk of bias. Four trials,40–42,44 according to the recommended criteria of the Cochrane Handbook, were judged to be in low risk in bias; 10 trials36,38,39,43,45–49,51 were judged to be in unclear risk of bias, and 1 trial50 was judged to be in high risk of bias as shown in Figure 2. The assessment of the included studies are shown in Table 2, which displayed36–51 the risk of bias. Four trials,40–42,44 according to the recommended criteria of the Cochrane Handbook, were judged to be in low risk in bias; 10 trials36,38,39,43,45–49,51 were judged to be in unclear risk of bias, and 1 trial50 was judged to be in high risk of bias as shown in Figure 2. Outcomes 6MWD Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. 6MWD Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. Meditative movement versus walking exercise Two studies,36,38 involving 224 participants, estimated changes in functional capacity using the 6-minute walk test at the third month. The combined MD from 2 studies (n=224) was 15.53 m (95% CI: 11.59 to 19.48, P-value <0.00001). We detected no subgroup differences between experimental group and the exercise group (P-value=0.33, I2=0%). Four trials36,38–40 (n=430) estimated the effects of 6MWD on the experimental group and compared with walking exercise at 6 months. It reported that the experimental group showed an improvement in 6MWD compared with exercise group, but the difference was not significant (MD 19.36 m, 95% CI: 9.0 to 29.72, P<0.0002). The test for heterogeneity was significant (P for heterogeneity=0.0006, I2=83%; Figure 3B). Two studies,36,38 involving 224 participants, estimated changes in functional capacity using the 6-minute walk test at the third month. The combined MD from 2 studies (n=224) was 15.53 m (95% CI: 11.59 to 19.48, P-value <0.00001). We detected no subgroup differences between experimental group and the exercise group (P-value=0.33, I2=0%). Four trials36,38–40 (n=430) estimated the effects of 6MWD on the experimental group and compared with walking exercise at 6 months. It reported that the experimental group showed an improvement in 6MWD compared with exercise group, but the difference was not significant (MD 19.36 m, 95% CI: 9.0 to 29.72, P<0.0002). The test for heterogeneity was significant (P for heterogeneity=0.0006, I2=83%; Figure 3B). Lung functions FEV1 Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). FEV1 Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Meditative movement versus walking exercise In a pooled analysis of 2 studies (n=226)36,38 of experimental versus physical exercise groups, no significant difference was shown in FEV1 (MD 0.13L, 95% CI: −1.04 to 0.31, P=0.13) using a random-effects model at 3 months. For FEV1, the significant interaction effect of time by group (P for heterogeneity=0.14, I2=54%) was also observed. Again, no obvious improvement was seen at 6 months (MD 0.26L, 95% CI: −0.12 to 0.64, P=0.18). The results of the heterogeneity test was significant (P for heterogeneity=0.001, I2=91%; Figure 4B). In a pooled analysis of 2 studies (n=226)36,38 of experimental versus physical exercise groups, no significant difference was shown in FEV1 (MD 0.13L, 95% CI: −1.04 to 0.31, P=0.13) using a random-effects model at 3 months. For FEV1, the significant interaction effect of time by group (P for heterogeneity=0.14, I2=54%) was also observed. Again, no obvious improvement was seen at 6 months (MD 0.26L, 95% CI: −0.12 to 0.64, P=0.18). The results of the heterogeneity test was significant (P for heterogeneity=0.001, I2=91%; Figure 4B). FEV1 percent predicted normal values Four studies38,46,47,51 on 211 participants examined the effects of experimental group versus nonexercise on dyspnea at 3 months, using FEV1 % predicted normal values. Regarding lung function, the experimental group statistically increased FEV1 (MD 4L, 95% CI: 2.7 to 5.31, P<0.00001, P for heterogeneity=0.69, I2=0%). However, there was a trend in favor of experimental group after 24 weeks (n=279, MD 4.8L, 95% CI: 2.56 to 7.07, P<0.00001). There was no statistically significant difference in FEV1 pre% between groups (P for heterogeneity=0.60, I2=0%), as shown in Figure 5. Four studies38,46,47,51 on 211 participants examined the effects of experimental group versus nonexercise on dyspnea at 3 months, using FEV1 % predicted normal values. Regarding lung function, the experimental group statistically increased FEV1 (MD 4L, 95% CI: 2.7 to 5.31, P<0.00001, P for heterogeneity=0.69, I2=0%). However, there was a trend in favor of experimental group after 24 weeks (n=279, MD 4.8L, 95% CI: 2.56 to 7.07, P<0.00001). There was no statistically significant difference in FEV1 pre% between groups (P for heterogeneity=0.60, I2=0%), as shown in Figure 5. Quality of life Meditative movement versus nonexercise Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point. Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point. Meditative movement versus nonexercise Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point. Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point. Meditative movement versus walking exercise HRQoL was evaluated by CRQ in 2 studies39,40 at 6 months. The experimental group showed a significantly decreased fatigue subscores (MD 0.2 units, 95% CI: 0.12 to 0.28, P<0.00001) compared with the exercise group. The pooled effect size showed that the experimental group had a lower CRQ score than the exercise group (dyspnea: MD 0.46 units, 95% CI: −0.28 to 1.20, P=0.23; emotion: MD 0.04 units, 95% CI: −0.34 to 0.42, P=0.84; mastery: MD 0.00 units, 95% CI: −0.32 to 0.33, P=0.98). The improvement of dyspnea after intervention was reported in another trial using the fatigue section of CRQ, but the difference was not significant (Figure 7). However, heterogeneity was high for the other end points. HRQoL was evaluated by CRQ in 2 studies39,40 at 6 months. The experimental group showed a significantly decreased fatigue subscores (MD 0.2 units, 95% CI: 0.12 to 0.28, P<0.00001) compared with the exercise group. The pooled effect size showed that the experimental group had a lower CRQ score than the exercise group (dyspnea: MD 0.46 units, 95% CI: −0.28 to 1.20, P=0.23; emotion: MD 0.04 units, 95% CI: −0.34 to 0.42, P=0.84; mastery: MD 0.00 units, 95% CI: −0.32 to 0.33, P=0.98). The improvement of dyspnea after intervention was reported in another trial using the fatigue section of CRQ, but the difference was not significant (Figure 7). However, heterogeneity was high for the other end points.
Conclusion
The current systematic review and meta-analysis revealed that meditative movement might improve exercise capacity, dyspnea, HRQoL, and lung function in COPD patients. So, meditative movement should be encouraged as a potential and crucial approach to COPD. However, considering the limitations of our study, questions remain to be evaluated in large-scale, well-designed, multicenter, RCTs to substantiate the preliminary findings and investigate the long-term effects of meditative movement as well as the tailoring of the rehabilitation intervention for COPD patients.
[ "Methods", "Search strategy and study selection criteria", "Data extraction", "Outcome measures", "Quality assessment", "Settings", "Risk of bias of studies", "Outcomes", "6MWD", "Meditative movement versus nonexercise", "Meditative movement versus walking exercise", "Lung functions", "FEV1", "Meditative movement versus nonexercise", "Meditative movement versus walking exercise", "FEV1 percent predicted normal values", "Quality of life", "Meditative movement versus nonexercise", "Meditative movement versus walking exercise", "Conclusion" ]
[ " Search strategy and study selection criteria The following databases were searched: PubMed, EMBASE, Web of Science, and the Cochrane Center Register of Controlled Trials. No language restrictions were imposed. Search terms included: (Tai Chi or Taiji OR Tai Chi Chuan OR Qigong OR Qi Gong OR Chi Kung OR traditional Chinese exercise or yoga or meditative movement) AND (chronic obstructive pulmonary disease OR COPD OR chronic obstructive lung disease OR chronic obstructive airway disease OR emphysema OR chronic airflow limitation OR chronic airway obstruction). Studies were eligible for inclusion in this review if they met the following criteria: 1) were randomized controlled trials (RCTs); 2) used exercises training such as tai chi or qigong or tai chi combined with qigong or yoga as intervention in the experimental group; 3) included COPD patients according to the Global Initiative for Chronic Obstructive Lung Disease criteria; 4) used nonexercise in control groups or other physical exercise training in comparison groups.\nThe following databases were searched: PubMed, EMBASE, Web of Science, and the Cochrane Center Register of Controlled Trials. No language restrictions were imposed. Search terms included: (Tai Chi or Taiji OR Tai Chi Chuan OR Qigong OR Qi Gong OR Chi Kung OR traditional Chinese exercise or yoga or meditative movement) AND (chronic obstructive pulmonary disease OR COPD OR chronic obstructive lung disease OR chronic obstructive airway disease OR emphysema OR chronic airflow limitation OR chronic airway obstruction). Studies were eligible for inclusion in this review if they met the following criteria: 1) were randomized controlled trials (RCTs); 2) used exercises training such as tai chi or qigong or tai chi combined with qigong or yoga as intervention in the experimental group; 3) included COPD patients according to the Global Initiative for Chronic Obstructive Lung Disease criteria; 4) used nonexercise in control groups or other physical exercise training in comparison groups.\n Data extraction Two reviewers (LLW and KXL) independently screened studies for inclusion, retrieved potentially relevant studies, and determined study eligibility. Any discrepancies were resolved by the way of consensus. The extracted information included the following: 1) the details of publication (the first author’s last name, year of publication); 2) characteristics of participants in the study (the sample size, age, and severity of disease); 3) interventions (eg, the form of intervention, exercise time, the duration and frequency of training); 4) outcome measures.\nTwo reviewers (LLW and KXL) independently screened studies for inclusion, retrieved potentially relevant studies, and determined study eligibility. Any discrepancies were resolved by the way of consensus. The extracted information included the following: 1) the details of publication (the first author’s last name, year of publication); 2) characteristics of participants in the study (the sample size, age, and severity of disease); 3) interventions (eg, the form of intervention, exercise time, the duration and frequency of training); 4) outcome measures.\n Outcome measures The primary outcomes were 6-minute walking distance (6MWD), lung function (forced expiratory volume in 1 s [FEV1] and forced vital capacity [FVC]), dyspnea, and fatigue levels. The secondary outcomes were arterial blood gas tensions (PaCO2, PaO2) and scores from quality of life questionnaires. We categorized outcomes as short-term (1–3 months) and mid-term (6 months) follow-up. The outcomes that could not be pooled in the meta-analysis are listed in Table 1.\nThe primary outcomes were 6-minute walking distance (6MWD), lung function (forced expiratory volume in 1 s [FEV1] and forced vital capacity [FVC]), dyspnea, and fatigue levels. The secondary outcomes were arterial blood gas tensions (PaCO2, PaO2) and scores from quality of life questionnaires. We categorized outcomes as short-term (1–3 months) and mid-term (6 months) follow-up. The outcomes that could not be pooled in the meta-analysis are listed in Table 1.\n Quality assessment We used the Cochrane risk of bias assessment tool.14 A low value, unclear or high-risk bias was assigned in the following domains: generation in random sequence, allocation concealment, blinding methods, incomplete data among the outcome data, selective reporting, and other biases. Two reviewers (LLW and KXL) independently appraised the quality of the included trials. Any discrepancies were resolved by consensus in the presence of a third investigator.\nWe used the Cochrane risk of bias assessment tool.14 A low value, unclear or high-risk bias was assigned in the following domains: generation in random sequence, allocation concealment, blinding methods, incomplete data among the outcome data, selective reporting, and other biases. Two reviewers (LLW and KXL) independently appraised the quality of the included trials. Any discrepancies were resolved by consensus in the presence of a third investigator.\n Statistical analysis We undertook statistical analysis by using Cochrane systematic review software Review Manager (RevMan; Version 5.3.5). Eligible studies were analyzed using the mean and SDs to measure the change from baseline to endpoint in each intervention period. Since all outcomes were continuous variables, mean difference (MD) with 95% CIs were calculated when studies reported their results of the same variables measured with the same units of measure. I2 statistic was used to assess the heterogeneity. And random effect models were used to address variations in studies.15 Meanwhile, I2 values were classified as low (0% to <25%), medium (25% to <75%), and high (≥75%).16 The results were displayed as Forest plots.\nWe undertook statistical analysis by using Cochrane systematic review software Review Manager (RevMan; Version 5.3.5). Eligible studies were analyzed using the mean and SDs to measure the change from baseline to endpoint in each intervention period. Since all outcomes were continuous variables, mean difference (MD) with 95% CIs were calculated when studies reported their results of the same variables measured with the same units of measure. I2 statistic was used to assess the heterogeneity. And random effect models were used to address variations in studies.15 Meanwhile, I2 values were classified as low (0% to <25%), medium (25% to <75%), and high (≥75%).16 The results were displayed as Forest plots.", "The following databases were searched: PubMed, EMBASE, Web of Science, and the Cochrane Center Register of Controlled Trials. No language restrictions were imposed. Search terms included: (Tai Chi or Taiji OR Tai Chi Chuan OR Qigong OR Qi Gong OR Chi Kung OR traditional Chinese exercise or yoga or meditative movement) AND (chronic obstructive pulmonary disease OR COPD OR chronic obstructive lung disease OR chronic obstructive airway disease OR emphysema OR chronic airflow limitation OR chronic airway obstruction). Studies were eligible for inclusion in this review if they met the following criteria: 1) were randomized controlled trials (RCTs); 2) used exercises training such as tai chi or qigong or tai chi combined with qigong or yoga as intervention in the experimental group; 3) included COPD patients according to the Global Initiative for Chronic Obstructive Lung Disease criteria; 4) used nonexercise in control groups or other physical exercise training in comparison groups.", "Two reviewers (LLW and KXL) independently screened studies for inclusion, retrieved potentially relevant studies, and determined study eligibility. Any discrepancies were resolved by the way of consensus. The extracted information included the following: 1) the details of publication (the first author’s last name, year of publication); 2) characteristics of participants in the study (the sample size, age, and severity of disease); 3) interventions (eg, the form of intervention, exercise time, the duration and frequency of training); 4) outcome measures.", "The primary outcomes were 6-minute walking distance (6MWD), lung function (forced expiratory volume in 1 s [FEV1] and forced vital capacity [FVC]), dyspnea, and fatigue levels. The secondary outcomes were arterial blood gas tensions (PaCO2, PaO2) and scores from quality of life questionnaires. We categorized outcomes as short-term (1–3 months) and mid-term (6 months) follow-up. The outcomes that could not be pooled in the meta-analysis are listed in Table 1.", "We used the Cochrane risk of bias assessment tool.14 A low value, unclear or high-risk bias was assigned in the following domains: generation in random sequence, allocation concealment, blinding methods, incomplete data among the outcome data, selective reporting, and other biases. Two reviewers (LLW and KXL) independently appraised the quality of the included trials. Any discrepancies were resolved by consensus in the presence of a third investigator.", "Five of these 15 studies was conducted in India (Ranjita 2015; Gupta 2014; Soni 2012; Kulpati 1982; Katiyar 2006), 2 in the USA (Yeh 2010; Donesky-Cuenco 2009), 2 in Australia (Leung 2013; Tandon 1978), 3 in Hong Kong (Chan 2010; Ng2011; Ng 2014), and the rest in other provinces in China (Zhang 2015; Xiao 2015; Niu 2014). Most studies were conducted in outpatient clinics and published between 1975 and 2015.", "The assessment of the included studies are shown in Table 2, which displayed36–51 the risk of bias. Four trials,40–42,44 according to the recommended criteria of the Cochrane Handbook, were judged to be in low risk in bias; 10 trials36,38,39,43,45–49,51 were judged to be in unclear risk of bias, and 1 trial50 was judged to be in high risk of bias as shown in Figure 2.", " 6MWD Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\nThe 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\n Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\nThe 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.", " Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\nThe 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.", "The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.", "Two studies,36,38 involving 224 participants, estimated changes in functional capacity using the 6-minute walk test at the third month. The combined MD from 2 studies (n=224) was 15.53 m (95% CI: 11.59 to 19.48, P-value <0.00001). We detected no subgroup differences between experimental group and the exercise group (P-value=0.33, I2=0%). Four trials36,38–40 (n=430) estimated the effects of 6MWD on the experimental group and compared with walking exercise at 6 months. It reported that the experimental group showed an improvement in 6MWD compared with exercise group, but the difference was not significant (MD 19.36 m, 95% CI: 9.0 to 29.72, P<0.0002). The test for heterogeneity was significant (P for heterogeneity=0.0006, I2=83%; Figure 3B).", " FEV1 Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\nTrough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\n Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\nTrough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).", " Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\nTrough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).", "Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).", "In a pooled analysis of 2 studies (n=226)36,38 of experimental versus physical exercise groups, no significant difference was shown in FEV1 (MD 0.13L, 95% CI: −1.04 to 0.31, P=0.13) using a random-effects model at 3 months. For FEV1, the significant interaction effect of time by group (P for heterogeneity=0.14, I2=54%) was also observed. Again, no obvious improvement was seen at 6 months (MD 0.26L, 95% CI: −0.12 to 0.64, P=0.18). The results of the heterogeneity test was significant (P for heterogeneity=0.001, I2=91%; Figure 4B).", "Four studies38,46,47,51 on 211 participants examined the effects of experimental group versus nonexercise on dyspnea at 3 months, using FEV1 % predicted normal values. Regarding lung function, the experimental group statistically increased FEV1 (MD 4L, 95% CI: 2.7 to 5.31, P<0.00001, P for heterogeneity=0.69, I2=0%). However, there was a trend in favor of experimental group after 24 weeks (n=279, MD 4.8L, 95% CI: 2.56 to 7.07, P<0.00001). There was no statistically significant difference in FEV1 pre% between groups (P for heterogeneity=0.60, I2=0%), as shown in Figure 5.", " Meditative movement versus nonexercise Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point.\nTwo studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point.", "Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point.", "HRQoL was evaluated by CRQ in 2 studies39,40 at 6 months. The experimental group showed a significantly decreased fatigue subscores (MD 0.2 units, 95% CI: 0.12 to 0.28, P<0.00001) compared with the exercise group. The pooled effect size showed that the experimental group had a lower CRQ score than the exercise group (dyspnea: MD 0.46 units, 95% CI: −0.28 to 1.20, P=0.23; emotion: MD 0.04 units, 95% CI: −0.34 to 0.42, P=0.84; mastery: MD 0.00 units, 95% CI: −0.32 to 0.33, P=0.98). The improvement of dyspnea after intervention was reported in another trial using the fatigue section of CRQ, but the difference was not significant (Figure 7). However, heterogeneity was high for the other end points.", "The current systematic review and meta-analysis revealed that meditative movement might improve exercise capacity, dyspnea, HRQoL, and lung function in COPD patients. So, meditative movement should be encouraged as a potential and crucial approach to COPD. However, considering the limitations of our study, questions remain to be evaluated in large-scale, well-designed, multicenter, RCTs to substantiate the preliminary findings and investigate the long-term effects of meditative movement as well as the tailoring of the rehabilitation intervention for COPD patients." ]
[ "methods", "methods", "methods", null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Methods", "Search strategy and study selection criteria", "Data extraction", "Outcome measures", "Quality assessment", "Statistical analysis", "Results", "Settings", "Study characteristics", "Risk of bias of studies", "Outcomes", "6MWD", "Meditative movement versus nonexercise", "Meditative movement versus walking exercise", "Lung functions", "FEV1", "Meditative movement versus nonexercise", "Meditative movement versus walking exercise", "FEV1 percent predicted normal values", "Quality of life", "Meditative movement versus nonexercise", "Meditative movement versus walking exercise", "Discussion", "Conclusion" ]
[ "COPD is characterized by nonreversible airflow obstruction and intermittent exacerbations. It was a major cause of morbidity and mortality worldwide.1–4 Despite progress in pharmacologic and surgical treatments, many patients continue to suffer from dyspnea and substantial limitations in daily activities. They are often trapped in a vicious cycle of inactivity, initiated by breathlessness.5,6 Rehabilitation may alleviate the symptoms, impede the deterioration of lung functions, and improve health-related quality of life among (HRQoL) COPD patients. More and more experts are beginning to realize the importance of pulmonary rehabilitation for COPD patients. Exercise training should be one of the vital approaches in the treatment of COPD.7,8\nMeditative movement is proposed as a gentle exercise training and incorporates meditation, breathing, and relaxation.9 Meditative movement, including forms such as tai chi, yoga, and qigong, incorporates: focus on the mind; movements, usually slow, relaxed, flowing and choreographed; a focus on breathing, and a deep and calm state of physical and mental relaxation.9 tai chi is a centuries-old Chinese health practice. It involves a series of movements performed in a slow, well-balanced and focused manner, and is accompanied by deep breathing. Qigong is also an ancient Chinese exercise that include meditation, physical movement, relaxation, and breathing exercises to restore and maintain balance. Qigong is designed to control the vital energy (qi) of the body along the energy channels (meridians). Qigong combined with tai chi may keep the body, mind, and spirit in a state of alignment and balance.10 Yoga originated from ancient India, and consisted of pranayama, sithali, kapalabhati, asanas, and meditation. The exercises may coordinate the individual self with the transcendental self.11\nAlthough some studies have reported that meditative movements exerted beneficial effects on COPD patients,12,13 its definite effectiveness remains unclear. Hence, we performed a systematic review and meta-analysis to evaluate the effectiveness of meditative movement as complementary therapy for COPD patients.", " Search strategy and study selection criteria The following databases were searched: PubMed, EMBASE, Web of Science, and the Cochrane Center Register of Controlled Trials. No language restrictions were imposed. Search terms included: (Tai Chi or Taiji OR Tai Chi Chuan OR Qigong OR Qi Gong OR Chi Kung OR traditional Chinese exercise or yoga or meditative movement) AND (chronic obstructive pulmonary disease OR COPD OR chronic obstructive lung disease OR chronic obstructive airway disease OR emphysema OR chronic airflow limitation OR chronic airway obstruction). Studies were eligible for inclusion in this review if they met the following criteria: 1) were randomized controlled trials (RCTs); 2) used exercises training such as tai chi or qigong or tai chi combined with qigong or yoga as intervention in the experimental group; 3) included COPD patients according to the Global Initiative for Chronic Obstructive Lung Disease criteria; 4) used nonexercise in control groups or other physical exercise training in comparison groups.\nThe following databases were searched: PubMed, EMBASE, Web of Science, and the Cochrane Center Register of Controlled Trials. No language restrictions were imposed. Search terms included: (Tai Chi or Taiji OR Tai Chi Chuan OR Qigong OR Qi Gong OR Chi Kung OR traditional Chinese exercise or yoga or meditative movement) AND (chronic obstructive pulmonary disease OR COPD OR chronic obstructive lung disease OR chronic obstructive airway disease OR emphysema OR chronic airflow limitation OR chronic airway obstruction). Studies were eligible for inclusion in this review if they met the following criteria: 1) were randomized controlled trials (RCTs); 2) used exercises training such as tai chi or qigong or tai chi combined with qigong or yoga as intervention in the experimental group; 3) included COPD patients according to the Global Initiative for Chronic Obstructive Lung Disease criteria; 4) used nonexercise in control groups or other physical exercise training in comparison groups.\n Data extraction Two reviewers (LLW and KXL) independently screened studies for inclusion, retrieved potentially relevant studies, and determined study eligibility. Any discrepancies were resolved by the way of consensus. The extracted information included the following: 1) the details of publication (the first author’s last name, year of publication); 2) characteristics of participants in the study (the sample size, age, and severity of disease); 3) interventions (eg, the form of intervention, exercise time, the duration and frequency of training); 4) outcome measures.\nTwo reviewers (LLW and KXL) independently screened studies for inclusion, retrieved potentially relevant studies, and determined study eligibility. Any discrepancies were resolved by the way of consensus. The extracted information included the following: 1) the details of publication (the first author’s last name, year of publication); 2) characteristics of participants in the study (the sample size, age, and severity of disease); 3) interventions (eg, the form of intervention, exercise time, the duration and frequency of training); 4) outcome measures.\n Outcome measures The primary outcomes were 6-minute walking distance (6MWD), lung function (forced expiratory volume in 1 s [FEV1] and forced vital capacity [FVC]), dyspnea, and fatigue levels. The secondary outcomes were arterial blood gas tensions (PaCO2, PaO2) and scores from quality of life questionnaires. We categorized outcomes as short-term (1–3 months) and mid-term (6 months) follow-up. The outcomes that could not be pooled in the meta-analysis are listed in Table 1.\nThe primary outcomes were 6-minute walking distance (6MWD), lung function (forced expiratory volume in 1 s [FEV1] and forced vital capacity [FVC]), dyspnea, and fatigue levels. The secondary outcomes were arterial blood gas tensions (PaCO2, PaO2) and scores from quality of life questionnaires. We categorized outcomes as short-term (1–3 months) and mid-term (6 months) follow-up. The outcomes that could not be pooled in the meta-analysis are listed in Table 1.\n Quality assessment We used the Cochrane risk of bias assessment tool.14 A low value, unclear or high-risk bias was assigned in the following domains: generation in random sequence, allocation concealment, blinding methods, incomplete data among the outcome data, selective reporting, and other biases. Two reviewers (LLW and KXL) independently appraised the quality of the included trials. Any discrepancies were resolved by consensus in the presence of a third investigator.\nWe used the Cochrane risk of bias assessment tool.14 A low value, unclear or high-risk bias was assigned in the following domains: generation in random sequence, allocation concealment, blinding methods, incomplete data among the outcome data, selective reporting, and other biases. Two reviewers (LLW and KXL) independently appraised the quality of the included trials. Any discrepancies were resolved by consensus in the presence of a third investigator.\n Statistical analysis We undertook statistical analysis by using Cochrane systematic review software Review Manager (RevMan; Version 5.3.5). Eligible studies were analyzed using the mean and SDs to measure the change from baseline to endpoint in each intervention period. Since all outcomes were continuous variables, mean difference (MD) with 95% CIs were calculated when studies reported their results of the same variables measured with the same units of measure. I2 statistic was used to assess the heterogeneity. And random effect models were used to address variations in studies.15 Meanwhile, I2 values were classified as low (0% to <25%), medium (25% to <75%), and high (≥75%).16 The results were displayed as Forest plots.\nWe undertook statistical analysis by using Cochrane systematic review software Review Manager (RevMan; Version 5.3.5). Eligible studies were analyzed using the mean and SDs to measure the change from baseline to endpoint in each intervention period. Since all outcomes were continuous variables, mean difference (MD) with 95% CIs were calculated when studies reported their results of the same variables measured with the same units of measure. I2 statistic was used to assess the heterogeneity. And random effect models were used to address variations in studies.15 Meanwhile, I2 values were classified as low (0% to <25%), medium (25% to <75%), and high (≥75%).16 The results were displayed as Forest plots.", "The following databases were searched: PubMed, EMBASE, Web of Science, and the Cochrane Center Register of Controlled Trials. No language restrictions were imposed. Search terms included: (Tai Chi or Taiji OR Tai Chi Chuan OR Qigong OR Qi Gong OR Chi Kung OR traditional Chinese exercise or yoga or meditative movement) AND (chronic obstructive pulmonary disease OR COPD OR chronic obstructive lung disease OR chronic obstructive airway disease OR emphysema OR chronic airflow limitation OR chronic airway obstruction). Studies were eligible for inclusion in this review if they met the following criteria: 1) were randomized controlled trials (RCTs); 2) used exercises training such as tai chi or qigong or tai chi combined with qigong or yoga as intervention in the experimental group; 3) included COPD patients according to the Global Initiative for Chronic Obstructive Lung Disease criteria; 4) used nonexercise in control groups or other physical exercise training in comparison groups.", "Two reviewers (LLW and KXL) independently screened studies for inclusion, retrieved potentially relevant studies, and determined study eligibility. Any discrepancies were resolved by the way of consensus. The extracted information included the following: 1) the details of publication (the first author’s last name, year of publication); 2) characteristics of participants in the study (the sample size, age, and severity of disease); 3) interventions (eg, the form of intervention, exercise time, the duration and frequency of training); 4) outcome measures.", "The primary outcomes were 6-minute walking distance (6MWD), lung function (forced expiratory volume in 1 s [FEV1] and forced vital capacity [FVC]), dyspnea, and fatigue levels. The secondary outcomes were arterial blood gas tensions (PaCO2, PaO2) and scores from quality of life questionnaires. We categorized outcomes as short-term (1–3 months) and mid-term (6 months) follow-up. The outcomes that could not be pooled in the meta-analysis are listed in Table 1.", "We used the Cochrane risk of bias assessment tool.14 A low value, unclear or high-risk bias was assigned in the following domains: generation in random sequence, allocation concealment, blinding methods, incomplete data among the outcome data, selective reporting, and other biases. Two reviewers (LLW and KXL) independently appraised the quality of the included trials. Any discrepancies were resolved by consensus in the presence of a third investigator.", "We undertook statistical analysis by using Cochrane systematic review software Review Manager (RevMan; Version 5.3.5). Eligible studies were analyzed using the mean and SDs to measure the change from baseline to endpoint in each intervention period. Since all outcomes were continuous variables, mean difference (MD) with 95% CIs were calculated when studies reported their results of the same variables measured with the same units of measure. I2 statistic was used to assess the heterogeneity. And random effect models were used to address variations in studies.15 Meanwhile, I2 values were classified as low (0% to <25%), medium (25% to <75%), and high (≥75%).16 The results were displayed as Forest plots.", "We retrieved a total of 1,145 references. Sixteen studies finally fulfilled the inclusion criteria and were further analyzed.36–51 A flow chart for the studies evaluated and the reasons for exclusion is shown in Figure 1. Of the included studies, 7 evaluated yoga, 4 tai chi, 3 qigong, and 2 tai chi and qigong combined. Yoga, tai chi, and qigong were included. The exercise group used breathing and walking as a physical exercise. Breathing exercises comprised pursed-lip breathing and diaphragmatic breathing.\n Settings Five of these 15 studies was conducted in India (Ranjita 2015; Gupta 2014; Soni 2012; Kulpati 1982; Katiyar 2006), 2 in the USA (Yeh 2010; Donesky-Cuenco 2009), 2 in Australia (Leung 2013; Tandon 1978), 3 in Hong Kong (Chan 2010; Ng2011; Ng 2014), and the rest in other provinces in China (Zhang 2015; Xiao 2015; Niu 2014). Most studies were conducted in outpatient clinics and published between 1975 and 2015.\nFive of these 15 studies was conducted in India (Ranjita 2015; Gupta 2014; Soni 2012; Kulpati 1982; Katiyar 2006), 2 in the USA (Yeh 2010; Donesky-Cuenco 2009), 2 in Australia (Leung 2013; Tandon 1978), 3 in Hong Kong (Chan 2010; Ng2011; Ng 2014), and the rest in other provinces in China (Zhang 2015; Xiao 2015; Niu 2014). Most studies were conducted in outpatient clinics and published between 1975 and 2015.\n Study characteristics A total of 1,176 COPD patients were included in the current study. The sizes of sample, according to statistics, ranged from 10 to 206. The patients were recruited from outpatients or health care centers. Studies were conducted in a diverse array of countries, mostly in Southeast Asia. Characteristics of the included studies were summarized in Table 1. Four articles written by Chan et al52,53 derived from the same study. Since the research by Chan et al had a patient population that appeared to be described in recent studies36,37 of different study design, we decided to exclude the previous 2.52,53 All studies were published between 1990 and 2017, and the duration ranged from 12 weeks to 9 months. Most of the trials used tai chi or yoga as the experimental intervention; furthermore, 3 trials used qigong38–40 and 2 trials36,37 used tai chi combined with qigong. All the included trials described the details involving the duration, frequencies, and session length of the interventions. The mean age ranged from 45 to 74.1 years, and the mean baseline lung function varied from 36.75% to 59.12% predicted FEV1. Disease severity ranged from mild to very severe, as reported by study authors. Five studies36–38,42,44 recruited participants with disease severity ranging from mild to moderate; 739–41,43,46,47,51 from moderate to severe; and 445,48–50 studies did not specify the level of severity included but provided the mean value of % predicted FEV1 and SD within the range of mild-to-severe COPD. The frequencies of training ranged from 2 to 7 sessions each week, and the time of exercise lasted 30–90 minutes per session; most common was 30–60 minutes. Yoga tended to be practised for longer and more frequently than tai chi or qigong. One trial48 measured the outcomes of 2 months, 7 trials41,42,45–47,50,51 measured the outcomes for 3 months, 7 trials36–40,43,44 measured the outcomes for 6 months, and 1 trial49 measured the outcomes of 9 months. The interventions in control groups were education, breathing technique, and walking combined with or without breathing technique. All participants received the usual medical treatment in addition to the experimental intervention.\nA total of 1,176 COPD patients were included in the current study. The sizes of sample, according to statistics, ranged from 10 to 206. The patients were recruited from outpatients or health care centers. Studies were conducted in a diverse array of countries, mostly in Southeast Asia. Characteristics of the included studies were summarized in Table 1. Four articles written by Chan et al52,53 derived from the same study. Since the research by Chan et al had a patient population that appeared to be described in recent studies36,37 of different study design, we decided to exclude the previous 2.52,53 All studies were published between 1990 and 2017, and the duration ranged from 12 weeks to 9 months. Most of the trials used tai chi or yoga as the experimental intervention; furthermore, 3 trials used qigong38–40 and 2 trials36,37 used tai chi combined with qigong. All the included trials described the details involving the duration, frequencies, and session length of the interventions. The mean age ranged from 45 to 74.1 years, and the mean baseline lung function varied from 36.75% to 59.12% predicted FEV1. Disease severity ranged from mild to very severe, as reported by study authors. Five studies36–38,42,44 recruited participants with disease severity ranging from mild to moderate; 739–41,43,46,47,51 from moderate to severe; and 445,48–50 studies did not specify the level of severity included but provided the mean value of % predicted FEV1 and SD within the range of mild-to-severe COPD. The frequencies of training ranged from 2 to 7 sessions each week, and the time of exercise lasted 30–90 minutes per session; most common was 30–60 minutes. Yoga tended to be practised for longer and more frequently than tai chi or qigong. One trial48 measured the outcomes of 2 months, 7 trials41,42,45–47,50,51 measured the outcomes for 3 months, 7 trials36–40,43,44 measured the outcomes for 6 months, and 1 trial49 measured the outcomes of 9 months. The interventions in control groups were education, breathing technique, and walking combined with or without breathing technique. All participants received the usual medical treatment in addition to the experimental intervention.\n Risk of bias of studies The assessment of the included studies are shown in Table 2, which displayed36–51 the risk of bias. Four trials,40–42,44 according to the recommended criteria of the Cochrane Handbook, were judged to be in low risk in bias; 10 trials36,38,39,43,45–49,51 were judged to be in unclear risk of bias, and 1 trial50 was judged to be in high risk of bias as shown in Figure 2.\nThe assessment of the included studies are shown in Table 2, which displayed36–51 the risk of bias. Four trials,40–42,44 according to the recommended criteria of the Cochrane Handbook, were judged to be in low risk in bias; 10 trials36,38,39,43,45–49,51 were judged to be in unclear risk of bias, and 1 trial50 was judged to be in high risk of bias as shown in Figure 2.\n Outcomes 6MWD Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\nThe 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\n Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\nThe 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\n 6MWD Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\nThe 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\n Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\nThe 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\n Meditative movement versus walking exercise Two studies,36,38 involving 224 participants, estimated changes in functional capacity using the 6-minute walk test at the third month. The combined MD from 2 studies (n=224) was 15.53 m (95% CI: 11.59 to 19.48, P-value <0.00001). We detected no subgroup differences between experimental group and the exercise group (P-value=0.33, I2=0%). Four trials36,38–40 (n=430) estimated the effects of 6MWD on the experimental group and compared with walking exercise at 6 months. It reported that the experimental group showed an improvement in 6MWD compared with exercise group, but the difference was not significant (MD 19.36 m, 95% CI: 9.0 to 29.72, P<0.0002). The test for heterogeneity was significant (P for heterogeneity=0.0006, I2=83%; Figure 3B).\nTwo studies,36,38 involving 224 participants, estimated changes in functional capacity using the 6-minute walk test at the third month. The combined MD from 2 studies (n=224) was 15.53 m (95% CI: 11.59 to 19.48, P-value <0.00001). We detected no subgroup differences between experimental group and the exercise group (P-value=0.33, I2=0%). Four trials36,38–40 (n=430) estimated the effects of 6MWD on the experimental group and compared with walking exercise at 6 months. It reported that the experimental group showed an improvement in 6MWD compared with exercise group, but the difference was not significant (MD 19.36 m, 95% CI: 9.0 to 29.72, P<0.0002). The test for heterogeneity was significant (P for heterogeneity=0.0006, I2=83%; Figure 3B).\n Lung functions FEV1 Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\nTrough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\n Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\nTrough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\n FEV1 Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\nTrough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\n Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\nTrough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\n Meditative movement versus walking exercise In a pooled analysis of 2 studies (n=226)36,38 of experimental versus physical exercise groups, no significant difference was shown in FEV1 (MD 0.13L, 95% CI: −1.04 to 0.31, P=0.13) using a random-effects model at 3 months. For FEV1, the significant interaction effect of time by group (P for heterogeneity=0.14, I2=54%) was also observed. Again, no obvious improvement was seen at 6 months (MD 0.26L, 95% CI: −0.12 to 0.64, P=0.18). The results of the heterogeneity test was significant (P for heterogeneity=0.001, I2=91%; Figure 4B).\nIn a pooled analysis of 2 studies (n=226)36,38 of experimental versus physical exercise groups, no significant difference was shown in FEV1 (MD 0.13L, 95% CI: −1.04 to 0.31, P=0.13) using a random-effects model at 3 months. For FEV1, the significant interaction effect of time by group (P for heterogeneity=0.14, I2=54%) was also observed. Again, no obvious improvement was seen at 6 months (MD 0.26L, 95% CI: −0.12 to 0.64, P=0.18). The results of the heterogeneity test was significant (P for heterogeneity=0.001, I2=91%; Figure 4B).\n FEV1 percent predicted normal values Four studies38,46,47,51 on 211 participants examined the effects of experimental group versus nonexercise on dyspnea at 3 months, using FEV1 % predicted normal values. Regarding lung function, the experimental group statistically increased FEV1 (MD 4L, 95% CI: 2.7 to 5.31, P<0.00001, P for heterogeneity=0.69, I2=0%). However, there was a trend in favor of experimental group after 24 weeks (n=279, MD 4.8L, 95% CI: 2.56 to 7.07, P<0.00001). There was no statistically significant difference in FEV1 pre% between groups (P for heterogeneity=0.60, I2=0%), as shown in Figure 5.\nFour studies38,46,47,51 on 211 participants examined the effects of experimental group versus nonexercise on dyspnea at 3 months, using FEV1 % predicted normal values. Regarding lung function, the experimental group statistically increased FEV1 (MD 4L, 95% CI: 2.7 to 5.31, P<0.00001, P for heterogeneity=0.69, I2=0%). However, there was a trend in favor of experimental group after 24 weeks (n=279, MD 4.8L, 95% CI: 2.56 to 7.07, P<0.00001). There was no statistically significant difference in FEV1 pre% between groups (P for heterogeneity=0.60, I2=0%), as shown in Figure 5.\n Quality of life Meditative movement versus nonexercise Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point.\nTwo studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point.\n Meditative movement versus nonexercise Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point.\nTwo studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point.\n Meditative movement versus walking exercise HRQoL was evaluated by CRQ in 2 studies39,40 at 6 months. The experimental group showed a significantly decreased fatigue subscores (MD 0.2 units, 95% CI: 0.12 to 0.28, P<0.00001) compared with the exercise group. The pooled effect size showed that the experimental group had a lower CRQ score than the exercise group (dyspnea: MD 0.46 units, 95% CI: −0.28 to 1.20, P=0.23; emotion: MD 0.04 units, 95% CI: −0.34 to 0.42, P=0.84; mastery: MD 0.00 units, 95% CI: −0.32 to 0.33, P=0.98). The improvement of dyspnea after intervention was reported in another trial using the fatigue section of CRQ, but the difference was not significant (Figure 7). However, heterogeneity was high for the other end points.\nHRQoL was evaluated by CRQ in 2 studies39,40 at 6 months. The experimental group showed a significantly decreased fatigue subscores (MD 0.2 units, 95% CI: 0.12 to 0.28, P<0.00001) compared with the exercise group. The pooled effect size showed that the experimental group had a lower CRQ score than the exercise group (dyspnea: MD 0.46 units, 95% CI: −0.28 to 1.20, P=0.23; emotion: MD 0.04 units, 95% CI: −0.34 to 0.42, P=0.84; mastery: MD 0.00 units, 95% CI: −0.32 to 0.33, P=0.98). The improvement of dyspnea after intervention was reported in another trial using the fatigue section of CRQ, but the difference was not significant (Figure 7). However, heterogeneity was high for the other end points.", "Five of these 15 studies was conducted in India (Ranjita 2015; Gupta 2014; Soni 2012; Kulpati 1982; Katiyar 2006), 2 in the USA (Yeh 2010; Donesky-Cuenco 2009), 2 in Australia (Leung 2013; Tandon 1978), 3 in Hong Kong (Chan 2010; Ng2011; Ng 2014), and the rest in other provinces in China (Zhang 2015; Xiao 2015; Niu 2014). Most studies were conducted in outpatient clinics and published between 1975 and 2015.", "A total of 1,176 COPD patients were included in the current study. The sizes of sample, according to statistics, ranged from 10 to 206. The patients were recruited from outpatients or health care centers. Studies were conducted in a diverse array of countries, mostly in Southeast Asia. Characteristics of the included studies were summarized in Table 1. Four articles written by Chan et al52,53 derived from the same study. Since the research by Chan et al had a patient population that appeared to be described in recent studies36,37 of different study design, we decided to exclude the previous 2.52,53 All studies were published between 1990 and 2017, and the duration ranged from 12 weeks to 9 months. Most of the trials used tai chi or yoga as the experimental intervention; furthermore, 3 trials used qigong38–40 and 2 trials36,37 used tai chi combined with qigong. All the included trials described the details involving the duration, frequencies, and session length of the interventions. The mean age ranged from 45 to 74.1 years, and the mean baseline lung function varied from 36.75% to 59.12% predicted FEV1. Disease severity ranged from mild to very severe, as reported by study authors. Five studies36–38,42,44 recruited participants with disease severity ranging from mild to moderate; 739–41,43,46,47,51 from moderate to severe; and 445,48–50 studies did not specify the level of severity included but provided the mean value of % predicted FEV1 and SD within the range of mild-to-severe COPD. The frequencies of training ranged from 2 to 7 sessions each week, and the time of exercise lasted 30–90 minutes per session; most common was 30–60 minutes. Yoga tended to be practised for longer and more frequently than tai chi or qigong. One trial48 measured the outcomes of 2 months, 7 trials41,42,45–47,50,51 measured the outcomes for 3 months, 7 trials36–40,43,44 measured the outcomes for 6 months, and 1 trial49 measured the outcomes of 9 months. The interventions in control groups were education, breathing technique, and walking combined with or without breathing technique. All participants received the usual medical treatment in addition to the experimental intervention.", "The assessment of the included studies are shown in Table 2, which displayed36–51 the risk of bias. Four trials,40–42,44 according to the recommended criteria of the Cochrane Handbook, were judged to be in low risk in bias; 10 trials36,38,39,43,45–49,51 were judged to be in unclear risk of bias, and 1 trial50 was judged to be in high risk of bias as shown in Figure 2.", " 6MWD Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\nThe 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\n Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\nThe 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.", " Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.\nThe 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.", "The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention.", "Two studies,36,38 involving 224 participants, estimated changes in functional capacity using the 6-minute walk test at the third month. The combined MD from 2 studies (n=224) was 15.53 m (95% CI: 11.59 to 19.48, P-value <0.00001). We detected no subgroup differences between experimental group and the exercise group (P-value=0.33, I2=0%). Four trials36,38–40 (n=430) estimated the effects of 6MWD on the experimental group and compared with walking exercise at 6 months. It reported that the experimental group showed an improvement in 6MWD compared with exercise group, but the difference was not significant (MD 19.36 m, 95% CI: 9.0 to 29.72, P<0.0002). The test for heterogeneity was significant (P for heterogeneity=0.0006, I2=83%; Figure 3B).", " FEV1 Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\nTrough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\n Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\nTrough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).", " Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).\nTrough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).", "Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A).", "In a pooled analysis of 2 studies (n=226)36,38 of experimental versus physical exercise groups, no significant difference was shown in FEV1 (MD 0.13L, 95% CI: −1.04 to 0.31, P=0.13) using a random-effects model at 3 months. For FEV1, the significant interaction effect of time by group (P for heterogeneity=0.14, I2=54%) was also observed. Again, no obvious improvement was seen at 6 months (MD 0.26L, 95% CI: −0.12 to 0.64, P=0.18). The results of the heterogeneity test was significant (P for heterogeneity=0.001, I2=91%; Figure 4B).", "Four studies38,46,47,51 on 211 participants examined the effects of experimental group versus nonexercise on dyspnea at 3 months, using FEV1 % predicted normal values. Regarding lung function, the experimental group statistically increased FEV1 (MD 4L, 95% CI: 2.7 to 5.31, P<0.00001, P for heterogeneity=0.69, I2=0%). However, there was a trend in favor of experimental group after 24 weeks (n=279, MD 4.8L, 95% CI: 2.56 to 7.07, P<0.00001). There was no statistically significant difference in FEV1 pre% between groups (P for heterogeneity=0.60, I2=0%), as shown in Figure 5.", " Meditative movement versus nonexercise Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point.\nTwo studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point.", "Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point.", "HRQoL was evaluated by CRQ in 2 studies39,40 at 6 months. The experimental group showed a significantly decreased fatigue subscores (MD 0.2 units, 95% CI: 0.12 to 0.28, P<0.00001) compared with the exercise group. The pooled effect size showed that the experimental group had a lower CRQ score than the exercise group (dyspnea: MD 0.46 units, 95% CI: −0.28 to 1.20, P=0.23; emotion: MD 0.04 units, 95% CI: −0.34 to 0.42, P=0.84; mastery: MD 0.00 units, 95% CI: −0.32 to 0.33, P=0.98). The improvement of dyspnea after intervention was reported in another trial using the fatigue section of CRQ, but the difference was not significant (Figure 7). However, heterogeneity was high for the other end points.", "According to the results of the present review, the pooled effect sizes indicated that meditative movement might be more beneficial to improving lung function of people with COPD than nonexercise. A pooled effect from 2 trials shows that meditative movement was more beneficial to reducing dyspnea and fatigue in COPD patients than nonexercise after 3 months. This study aims to evaluate the effects of meditative movement across multiple COPD populations. The current meta-analysis is distinct from previous reviews in several aspects. Our meta-analysis identified and included more eligible studies than the previous reviews. Progressive decline in physical condition of COPD patients reduces their ability to perform daily physical activity. Our results aimed to evaluate the effectiveness of experimental programs in enhancing rehabilitation of COPD patients. The efficacy and safety of meditative movement have been evaluated in previous studies. A pulmonary rehabilitation index, comprising exercise capacity, lung function, and HRQoL, was measured at baseline, 3 and 6 months. This review provided evidence of the effectiveness of meditative movement toward improving the exercise capacity. This study evaluates the effect of meditative movement across multiple COPD populations. This review provided evidence on the effectiveness of meditative movement in improving the exercise capacity, pulmonary function, and quality of life of COPD patients, as long as participants adhered to the protocol. Subjects in the experimental group required considerable practice to attain proficiency. Tai chi qigong (TCQ) is a low-intensity, rhythmic circular exercise incorporating musculoskeletal, respiration, and meditation training.17,18 The movements are coordinated with deep breathing that draws the breath down into the lower tantien (the main energy center of the body). TCQ might enhance the lung capacity and diaphragm strength, and improve cardiorespiratory function.17 Yoga exerted beneficial effects by reducing breathing frequency, modulating airway reactivity,19 increasing respiratory sensation through conditioning of the breathing pattern,20 reducing oxygen consumption,21 decreasing responses to hypoxic and hypercapnic conditios22 with better blood oxygenation without increasing minute ventilation,23 improving respiratory muscle strength and endurance at least for a short-term,24 and decreasing the resting heart rate and sympathetic reactivity.25\nIn recent decades, 6MWD has been used as a simple and valid evaluation parameter for exercise tolerance of COPD patients.26–28 In our study, statistically significant increase in 6MWD was noted among participants allocated to meditative movement compared with those allocated to the nonexercise group. However, no significant difference was found in walking distance between the meditative movement and the walking exercise groups. This might be owing to the walking in the exercise group being self-paced instead of maximal shuttle walking, and most participants not gaining maximal exercise capacity during walking exercise unless closely monitored.29 The result was similar to previous studies showing rehabilitation at home showed no objective improvement in exercise capacity among COPD patients.30,31 The follow-up durations of meditative movement training in our studies ranged from 6 weeks to 9 months, the loss of lung function due to pathophysiological process of COPD might not be demonstrable in such short follow-up duration. Therefore, it remained unclear whether improvements gained in lung function owing to the treatment duration using meditative movement can be maintained in the longer term. Hence, the duration of meditative movement and assessment periods should be longer. Studies did not reveal any definitive conclusions regarding the effective “dose” of meditative movement, or whether tai chi, yoga, or qigong were more effective. Future studies should pay attention to optimizing training intensity, duration, and frequency of meditative movement.\nPrevious studies have revealed that positive effects of pulmonary rehabilitation on HRQoL were achieved during hospitalization. However, the effects decreased and could not be sustained after discharge.32,33 This study adopted the CRQ to evaluate HRQoL. Meditative movement might regulate more effective emotion to elicit much higher levels of general self-efficacy belief.34 Emotional self-efficacy belief may improve individual subjective happiness, interpersonal relationships, and ability to build up a positive attitude toward diseases.35 Participants can cherish feelings of concern and love from others through communicating and propagating health education. The results support the hypothesis that meditative movement appeared to be more beneficial than pulmonary rehabilitation incorporating the popular breathing and walking exercises in patients with COPD. However, firm conclusion could not be drawn owing to the small sample size.\nSeveral limitations have to be mentioned regarding our systematic review and meta-analysis. First, there were heterogeneities in the inclusion the populations studied, the diverse style of meditative movement, time points when interventions was initiated, intensity, duration, and study quality. These factors were not comparable in most of the trials. These differences may explain the statistical heterogeneity that existed in some of the outcomes investigated. The duration of meditative movement observed included studies that were not too long enough to evaluate the long-term effects, and the optimal exercise intensity and duration currently remains unknown. Second, although we tried to pool results of all the trials, the number of patients included in this meta-analysis might not be sufficient to exclude any significant clinical benefits. Third, the quality of the included studies were not consistent, which could affect the direction and magnitude of treatment effects when performing a meta-analysis. Especially, the poor-quality trials that consistently reported active results of the outcomes. Fourth, some important physiological outcome measures, such as inflammatory biomarkers, and peripheral and respiratory muscle strength and functions were lacking in most studies. Moreover, despite multiple outcome measures being used, it is not always possible to interpret the effect against a minimal clinically important difference for each measure. Finally, since most trials were conducted in Southeast Asia, caution should be taken regarding the generalization of results for the European population. It is possible that the willingness to participate in meditative movement training is impacted by national and ethnic cultures.", "The current systematic review and meta-analysis revealed that meditative movement might improve exercise capacity, dyspnea, HRQoL, and lung function in COPD patients. So, meditative movement should be encouraged as a potential and crucial approach to COPD. However, considering the limitations of our study, questions remain to be evaluated in large-scale, well-designed, multicenter, RCTs to substantiate the preliminary findings and investigate the long-term effects of meditative movement as well as the tailoring of the rehabilitation intervention for COPD patients." ]
[ "intro", "methods", "methods", "methods", null, null, "methods", "results", null, "intro|methods", null, null, null, null, null, null, null, null, null, null, null, null, null, "discussion", null ]
[ "meditative movement", "COPD", "meta-analysis", "tai chi", "yoga", "qigong" ]
Introduction: COPD is characterized by nonreversible airflow obstruction and intermittent exacerbations. It was a major cause of morbidity and mortality worldwide.1–4 Despite progress in pharmacologic and surgical treatments, many patients continue to suffer from dyspnea and substantial limitations in daily activities. They are often trapped in a vicious cycle of inactivity, initiated by breathlessness.5,6 Rehabilitation may alleviate the symptoms, impede the deterioration of lung functions, and improve health-related quality of life among (HRQoL) COPD patients. More and more experts are beginning to realize the importance of pulmonary rehabilitation for COPD patients. Exercise training should be one of the vital approaches in the treatment of COPD.7,8 Meditative movement is proposed as a gentle exercise training and incorporates meditation, breathing, and relaxation.9 Meditative movement, including forms such as tai chi, yoga, and qigong, incorporates: focus on the mind; movements, usually slow, relaxed, flowing and choreographed; a focus on breathing, and a deep and calm state of physical and mental relaxation.9 tai chi is a centuries-old Chinese health practice. It involves a series of movements performed in a slow, well-balanced and focused manner, and is accompanied by deep breathing. Qigong is also an ancient Chinese exercise that include meditation, physical movement, relaxation, and breathing exercises to restore and maintain balance. Qigong is designed to control the vital energy (qi) of the body along the energy channels (meridians). Qigong combined with tai chi may keep the body, mind, and spirit in a state of alignment and balance.10 Yoga originated from ancient India, and consisted of pranayama, sithali, kapalabhati, asanas, and meditation. The exercises may coordinate the individual self with the transcendental self.11 Although some studies have reported that meditative movements exerted beneficial effects on COPD patients,12,13 its definite effectiveness remains unclear. Hence, we performed a systematic review and meta-analysis to evaluate the effectiveness of meditative movement as complementary therapy for COPD patients. Methods: Search strategy and study selection criteria The following databases were searched: PubMed, EMBASE, Web of Science, and the Cochrane Center Register of Controlled Trials. No language restrictions were imposed. Search terms included: (Tai Chi or Taiji OR Tai Chi Chuan OR Qigong OR Qi Gong OR Chi Kung OR traditional Chinese exercise or yoga or meditative movement) AND (chronic obstructive pulmonary disease OR COPD OR chronic obstructive lung disease OR chronic obstructive airway disease OR emphysema OR chronic airflow limitation OR chronic airway obstruction). Studies were eligible for inclusion in this review if they met the following criteria: 1) were randomized controlled trials (RCTs); 2) used exercises training such as tai chi or qigong or tai chi combined with qigong or yoga as intervention in the experimental group; 3) included COPD patients according to the Global Initiative for Chronic Obstructive Lung Disease criteria; 4) used nonexercise in control groups or other physical exercise training in comparison groups. The following databases were searched: PubMed, EMBASE, Web of Science, and the Cochrane Center Register of Controlled Trials. No language restrictions were imposed. Search terms included: (Tai Chi or Taiji OR Tai Chi Chuan OR Qigong OR Qi Gong OR Chi Kung OR traditional Chinese exercise or yoga or meditative movement) AND (chronic obstructive pulmonary disease OR COPD OR chronic obstructive lung disease OR chronic obstructive airway disease OR emphysema OR chronic airflow limitation OR chronic airway obstruction). Studies were eligible for inclusion in this review if they met the following criteria: 1) were randomized controlled trials (RCTs); 2) used exercises training such as tai chi or qigong or tai chi combined with qigong or yoga as intervention in the experimental group; 3) included COPD patients according to the Global Initiative for Chronic Obstructive Lung Disease criteria; 4) used nonexercise in control groups or other physical exercise training in comparison groups. Data extraction Two reviewers (LLW and KXL) independently screened studies for inclusion, retrieved potentially relevant studies, and determined study eligibility. Any discrepancies were resolved by the way of consensus. The extracted information included the following: 1) the details of publication (the first author’s last name, year of publication); 2) characteristics of participants in the study (the sample size, age, and severity of disease); 3) interventions (eg, the form of intervention, exercise time, the duration and frequency of training); 4) outcome measures. Two reviewers (LLW and KXL) independently screened studies for inclusion, retrieved potentially relevant studies, and determined study eligibility. Any discrepancies were resolved by the way of consensus. The extracted information included the following: 1) the details of publication (the first author’s last name, year of publication); 2) characteristics of participants in the study (the sample size, age, and severity of disease); 3) interventions (eg, the form of intervention, exercise time, the duration and frequency of training); 4) outcome measures. Outcome measures The primary outcomes were 6-minute walking distance (6MWD), lung function (forced expiratory volume in 1 s [FEV1] and forced vital capacity [FVC]), dyspnea, and fatigue levels. The secondary outcomes were arterial blood gas tensions (PaCO2, PaO2) and scores from quality of life questionnaires. We categorized outcomes as short-term (1–3 months) and mid-term (6 months) follow-up. The outcomes that could not be pooled in the meta-analysis are listed in Table 1. The primary outcomes were 6-minute walking distance (6MWD), lung function (forced expiratory volume in 1 s [FEV1] and forced vital capacity [FVC]), dyspnea, and fatigue levels. The secondary outcomes were arterial blood gas tensions (PaCO2, PaO2) and scores from quality of life questionnaires. We categorized outcomes as short-term (1–3 months) and mid-term (6 months) follow-up. The outcomes that could not be pooled in the meta-analysis are listed in Table 1. Quality assessment We used the Cochrane risk of bias assessment tool.14 A low value, unclear or high-risk bias was assigned in the following domains: generation in random sequence, allocation concealment, blinding methods, incomplete data among the outcome data, selective reporting, and other biases. Two reviewers (LLW and KXL) independently appraised the quality of the included trials. Any discrepancies were resolved by consensus in the presence of a third investigator. We used the Cochrane risk of bias assessment tool.14 A low value, unclear or high-risk bias was assigned in the following domains: generation in random sequence, allocation concealment, blinding methods, incomplete data among the outcome data, selective reporting, and other biases. Two reviewers (LLW and KXL) independently appraised the quality of the included trials. Any discrepancies were resolved by consensus in the presence of a third investigator. Statistical analysis We undertook statistical analysis by using Cochrane systematic review software Review Manager (RevMan; Version 5.3.5). Eligible studies were analyzed using the mean and SDs to measure the change from baseline to endpoint in each intervention period. Since all outcomes were continuous variables, mean difference (MD) with 95% CIs were calculated when studies reported their results of the same variables measured with the same units of measure. I2 statistic was used to assess the heterogeneity. And random effect models were used to address variations in studies.15 Meanwhile, I2 values were classified as low (0% to <25%), medium (25% to <75%), and high (≥75%).16 The results were displayed as Forest plots. We undertook statistical analysis by using Cochrane systematic review software Review Manager (RevMan; Version 5.3.5). Eligible studies were analyzed using the mean and SDs to measure the change from baseline to endpoint in each intervention period. Since all outcomes were continuous variables, mean difference (MD) with 95% CIs were calculated when studies reported their results of the same variables measured with the same units of measure. I2 statistic was used to assess the heterogeneity. And random effect models were used to address variations in studies.15 Meanwhile, I2 values were classified as low (0% to <25%), medium (25% to <75%), and high (≥75%).16 The results were displayed as Forest plots. Search strategy and study selection criteria: The following databases were searched: PubMed, EMBASE, Web of Science, and the Cochrane Center Register of Controlled Trials. No language restrictions were imposed. Search terms included: (Tai Chi or Taiji OR Tai Chi Chuan OR Qigong OR Qi Gong OR Chi Kung OR traditional Chinese exercise or yoga or meditative movement) AND (chronic obstructive pulmonary disease OR COPD OR chronic obstructive lung disease OR chronic obstructive airway disease OR emphysema OR chronic airflow limitation OR chronic airway obstruction). Studies were eligible for inclusion in this review if they met the following criteria: 1) were randomized controlled trials (RCTs); 2) used exercises training such as tai chi or qigong or tai chi combined with qigong or yoga as intervention in the experimental group; 3) included COPD patients according to the Global Initiative for Chronic Obstructive Lung Disease criteria; 4) used nonexercise in control groups or other physical exercise training in comparison groups. Data extraction: Two reviewers (LLW and KXL) independently screened studies for inclusion, retrieved potentially relevant studies, and determined study eligibility. Any discrepancies were resolved by the way of consensus. The extracted information included the following: 1) the details of publication (the first author’s last name, year of publication); 2) characteristics of participants in the study (the sample size, age, and severity of disease); 3) interventions (eg, the form of intervention, exercise time, the duration and frequency of training); 4) outcome measures. Outcome measures: The primary outcomes were 6-minute walking distance (6MWD), lung function (forced expiratory volume in 1 s [FEV1] and forced vital capacity [FVC]), dyspnea, and fatigue levels. The secondary outcomes were arterial blood gas tensions (PaCO2, PaO2) and scores from quality of life questionnaires. We categorized outcomes as short-term (1–3 months) and mid-term (6 months) follow-up. The outcomes that could not be pooled in the meta-analysis are listed in Table 1. Quality assessment: We used the Cochrane risk of bias assessment tool.14 A low value, unclear or high-risk bias was assigned in the following domains: generation in random sequence, allocation concealment, blinding methods, incomplete data among the outcome data, selective reporting, and other biases. Two reviewers (LLW and KXL) independently appraised the quality of the included trials. Any discrepancies were resolved by consensus in the presence of a third investigator. Statistical analysis: We undertook statistical analysis by using Cochrane systematic review software Review Manager (RevMan; Version 5.3.5). Eligible studies were analyzed using the mean and SDs to measure the change from baseline to endpoint in each intervention period. Since all outcomes were continuous variables, mean difference (MD) with 95% CIs were calculated when studies reported their results of the same variables measured with the same units of measure. I2 statistic was used to assess the heterogeneity. And random effect models were used to address variations in studies.15 Meanwhile, I2 values were classified as low (0% to <25%), medium (25% to <75%), and high (≥75%).16 The results were displayed as Forest plots. Results: We retrieved a total of 1,145 references. Sixteen studies finally fulfilled the inclusion criteria and were further analyzed.36–51 A flow chart for the studies evaluated and the reasons for exclusion is shown in Figure 1. Of the included studies, 7 evaluated yoga, 4 tai chi, 3 qigong, and 2 tai chi and qigong combined. Yoga, tai chi, and qigong were included. The exercise group used breathing and walking as a physical exercise. Breathing exercises comprised pursed-lip breathing and diaphragmatic breathing. Settings Five of these 15 studies was conducted in India (Ranjita 2015; Gupta 2014; Soni 2012; Kulpati 1982; Katiyar 2006), 2 in the USA (Yeh 2010; Donesky-Cuenco 2009), 2 in Australia (Leung 2013; Tandon 1978), 3 in Hong Kong (Chan 2010; Ng2011; Ng 2014), and the rest in other provinces in China (Zhang 2015; Xiao 2015; Niu 2014). Most studies were conducted in outpatient clinics and published between 1975 and 2015. Five of these 15 studies was conducted in India (Ranjita 2015; Gupta 2014; Soni 2012; Kulpati 1982; Katiyar 2006), 2 in the USA (Yeh 2010; Donesky-Cuenco 2009), 2 in Australia (Leung 2013; Tandon 1978), 3 in Hong Kong (Chan 2010; Ng2011; Ng 2014), and the rest in other provinces in China (Zhang 2015; Xiao 2015; Niu 2014). Most studies were conducted in outpatient clinics and published between 1975 and 2015. Study characteristics A total of 1,176 COPD patients were included in the current study. The sizes of sample, according to statistics, ranged from 10 to 206. The patients were recruited from outpatients or health care centers. Studies were conducted in a diverse array of countries, mostly in Southeast Asia. Characteristics of the included studies were summarized in Table 1. Four articles written by Chan et al52,53 derived from the same study. Since the research by Chan et al had a patient population that appeared to be described in recent studies36,37 of different study design, we decided to exclude the previous 2.52,53 All studies were published between 1990 and 2017, and the duration ranged from 12 weeks to 9 months. Most of the trials used tai chi or yoga as the experimental intervention; furthermore, 3 trials used qigong38–40 and 2 trials36,37 used tai chi combined with qigong. All the included trials described the details involving the duration, frequencies, and session length of the interventions. The mean age ranged from 45 to 74.1 years, and the mean baseline lung function varied from 36.75% to 59.12% predicted FEV1. Disease severity ranged from mild to very severe, as reported by study authors. Five studies36–38,42,44 recruited participants with disease severity ranging from mild to moderate; 739–41,43,46,47,51 from moderate to severe; and 445,48–50 studies did not specify the level of severity included but provided the mean value of % predicted FEV1 and SD within the range of mild-to-severe COPD. The frequencies of training ranged from 2 to 7 sessions each week, and the time of exercise lasted 30–90 minutes per session; most common was 30–60 minutes. Yoga tended to be practised for longer and more frequently than tai chi or qigong. One trial48 measured the outcomes of 2 months, 7 trials41,42,45–47,50,51 measured the outcomes for 3 months, 7 trials36–40,43,44 measured the outcomes for 6 months, and 1 trial49 measured the outcomes of 9 months. The interventions in control groups were education, breathing technique, and walking combined with or without breathing technique. All participants received the usual medical treatment in addition to the experimental intervention. A total of 1,176 COPD patients were included in the current study. The sizes of sample, according to statistics, ranged from 10 to 206. The patients were recruited from outpatients or health care centers. Studies were conducted in a diverse array of countries, mostly in Southeast Asia. Characteristics of the included studies were summarized in Table 1. Four articles written by Chan et al52,53 derived from the same study. Since the research by Chan et al had a patient population that appeared to be described in recent studies36,37 of different study design, we decided to exclude the previous 2.52,53 All studies were published between 1990 and 2017, and the duration ranged from 12 weeks to 9 months. Most of the trials used tai chi or yoga as the experimental intervention; furthermore, 3 trials used qigong38–40 and 2 trials36,37 used tai chi combined with qigong. All the included trials described the details involving the duration, frequencies, and session length of the interventions. The mean age ranged from 45 to 74.1 years, and the mean baseline lung function varied from 36.75% to 59.12% predicted FEV1. Disease severity ranged from mild to very severe, as reported by study authors. Five studies36–38,42,44 recruited participants with disease severity ranging from mild to moderate; 739–41,43,46,47,51 from moderate to severe; and 445,48–50 studies did not specify the level of severity included but provided the mean value of % predicted FEV1 and SD within the range of mild-to-severe COPD. The frequencies of training ranged from 2 to 7 sessions each week, and the time of exercise lasted 30–90 minutes per session; most common was 30–60 minutes. Yoga tended to be practised for longer and more frequently than tai chi or qigong. One trial48 measured the outcomes of 2 months, 7 trials41,42,45–47,50,51 measured the outcomes for 3 months, 7 trials36–40,43,44 measured the outcomes for 6 months, and 1 trial49 measured the outcomes of 9 months. The interventions in control groups were education, breathing technique, and walking combined with or without breathing technique. All participants received the usual medical treatment in addition to the experimental intervention. Risk of bias of studies The assessment of the included studies are shown in Table 2, which displayed36–51 the risk of bias. Four trials,40–42,44 according to the recommended criteria of the Cochrane Handbook, were judged to be in low risk in bias; 10 trials36,38,39,43,45–49,51 were judged to be in unclear risk of bias, and 1 trial50 was judged to be in high risk of bias as shown in Figure 2. The assessment of the included studies are shown in Table 2, which displayed36–51 the risk of bias. Four trials,40–42,44 according to the recommended criteria of the Cochrane Handbook, were judged to be in low risk in bias; 10 trials36,38,39,43,45–49,51 were judged to be in unclear risk of bias, and 1 trial50 was judged to be in high risk of bias as shown in Figure 2. Outcomes 6MWD Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. 6MWD Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. Meditative movement versus walking exercise Two studies,36,38 involving 224 participants, estimated changes in functional capacity using the 6-minute walk test at the third month. The combined MD from 2 studies (n=224) was 15.53 m (95% CI: 11.59 to 19.48, P-value <0.00001). We detected no subgroup differences between experimental group and the exercise group (P-value=0.33, I2=0%). Four trials36,38–40 (n=430) estimated the effects of 6MWD on the experimental group and compared with walking exercise at 6 months. It reported that the experimental group showed an improvement in 6MWD compared with exercise group, but the difference was not significant (MD 19.36 m, 95% CI: 9.0 to 29.72, P<0.0002). The test for heterogeneity was significant (P for heterogeneity=0.0006, I2=83%; Figure 3B). Two studies,36,38 involving 224 participants, estimated changes in functional capacity using the 6-minute walk test at the third month. The combined MD from 2 studies (n=224) was 15.53 m (95% CI: 11.59 to 19.48, P-value <0.00001). We detected no subgroup differences between experimental group and the exercise group (P-value=0.33, I2=0%). Four trials36,38–40 (n=430) estimated the effects of 6MWD on the experimental group and compared with walking exercise at 6 months. It reported that the experimental group showed an improvement in 6MWD compared with exercise group, but the difference was not significant (MD 19.36 m, 95% CI: 9.0 to 29.72, P<0.0002). The test for heterogeneity was significant (P for heterogeneity=0.0006, I2=83%; Figure 3B). Lung functions FEV1 Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). FEV1 Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Meditative movement versus walking exercise In a pooled analysis of 2 studies (n=226)36,38 of experimental versus physical exercise groups, no significant difference was shown in FEV1 (MD 0.13L, 95% CI: −1.04 to 0.31, P=0.13) using a random-effects model at 3 months. For FEV1, the significant interaction effect of time by group (P for heterogeneity=0.14, I2=54%) was also observed. Again, no obvious improvement was seen at 6 months (MD 0.26L, 95% CI: −0.12 to 0.64, P=0.18). The results of the heterogeneity test was significant (P for heterogeneity=0.001, I2=91%; Figure 4B). In a pooled analysis of 2 studies (n=226)36,38 of experimental versus physical exercise groups, no significant difference was shown in FEV1 (MD 0.13L, 95% CI: −1.04 to 0.31, P=0.13) using a random-effects model at 3 months. For FEV1, the significant interaction effect of time by group (P for heterogeneity=0.14, I2=54%) was also observed. Again, no obvious improvement was seen at 6 months (MD 0.26L, 95% CI: −0.12 to 0.64, P=0.18). The results of the heterogeneity test was significant (P for heterogeneity=0.001, I2=91%; Figure 4B). FEV1 percent predicted normal values Four studies38,46,47,51 on 211 participants examined the effects of experimental group versus nonexercise on dyspnea at 3 months, using FEV1 % predicted normal values. Regarding lung function, the experimental group statistically increased FEV1 (MD 4L, 95% CI: 2.7 to 5.31, P<0.00001, P for heterogeneity=0.69, I2=0%). However, there was a trend in favor of experimental group after 24 weeks (n=279, MD 4.8L, 95% CI: 2.56 to 7.07, P<0.00001). There was no statistically significant difference in FEV1 pre% between groups (P for heterogeneity=0.60, I2=0%), as shown in Figure 5. Four studies38,46,47,51 on 211 participants examined the effects of experimental group versus nonexercise on dyspnea at 3 months, using FEV1 % predicted normal values. Regarding lung function, the experimental group statistically increased FEV1 (MD 4L, 95% CI: 2.7 to 5.31, P<0.00001, P for heterogeneity=0.69, I2=0%). However, there was a trend in favor of experimental group after 24 weeks (n=279, MD 4.8L, 95% CI: 2.56 to 7.07, P<0.00001). There was no statistically significant difference in FEV1 pre% between groups (P for heterogeneity=0.60, I2=0%), as shown in Figure 5. Quality of life Meditative movement versus nonexercise Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point. Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point. Meditative movement versus nonexercise Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point. Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point. Meditative movement versus walking exercise HRQoL was evaluated by CRQ in 2 studies39,40 at 6 months. The experimental group showed a significantly decreased fatigue subscores (MD 0.2 units, 95% CI: 0.12 to 0.28, P<0.00001) compared with the exercise group. The pooled effect size showed that the experimental group had a lower CRQ score than the exercise group (dyspnea: MD 0.46 units, 95% CI: −0.28 to 1.20, P=0.23; emotion: MD 0.04 units, 95% CI: −0.34 to 0.42, P=0.84; mastery: MD 0.00 units, 95% CI: −0.32 to 0.33, P=0.98). The improvement of dyspnea after intervention was reported in another trial using the fatigue section of CRQ, but the difference was not significant (Figure 7). However, heterogeneity was high for the other end points. HRQoL was evaluated by CRQ in 2 studies39,40 at 6 months. The experimental group showed a significantly decreased fatigue subscores (MD 0.2 units, 95% CI: 0.12 to 0.28, P<0.00001) compared with the exercise group. The pooled effect size showed that the experimental group had a lower CRQ score than the exercise group (dyspnea: MD 0.46 units, 95% CI: −0.28 to 1.20, P=0.23; emotion: MD 0.04 units, 95% CI: −0.34 to 0.42, P=0.84; mastery: MD 0.00 units, 95% CI: −0.32 to 0.33, P=0.98). The improvement of dyspnea after intervention was reported in another trial using the fatigue section of CRQ, but the difference was not significant (Figure 7). However, heterogeneity was high for the other end points. Settings: Five of these 15 studies was conducted in India (Ranjita 2015; Gupta 2014; Soni 2012; Kulpati 1982; Katiyar 2006), 2 in the USA (Yeh 2010; Donesky-Cuenco 2009), 2 in Australia (Leung 2013; Tandon 1978), 3 in Hong Kong (Chan 2010; Ng2011; Ng 2014), and the rest in other provinces in China (Zhang 2015; Xiao 2015; Niu 2014). Most studies were conducted in outpatient clinics and published between 1975 and 2015. Study characteristics: A total of 1,176 COPD patients were included in the current study. The sizes of sample, according to statistics, ranged from 10 to 206. The patients were recruited from outpatients or health care centers. Studies were conducted in a diverse array of countries, mostly in Southeast Asia. Characteristics of the included studies were summarized in Table 1. Four articles written by Chan et al52,53 derived from the same study. Since the research by Chan et al had a patient population that appeared to be described in recent studies36,37 of different study design, we decided to exclude the previous 2.52,53 All studies were published between 1990 and 2017, and the duration ranged from 12 weeks to 9 months. Most of the trials used tai chi or yoga as the experimental intervention; furthermore, 3 trials used qigong38–40 and 2 trials36,37 used tai chi combined with qigong. All the included trials described the details involving the duration, frequencies, and session length of the interventions. The mean age ranged from 45 to 74.1 years, and the mean baseline lung function varied from 36.75% to 59.12% predicted FEV1. Disease severity ranged from mild to very severe, as reported by study authors. Five studies36–38,42,44 recruited participants with disease severity ranging from mild to moderate; 739–41,43,46,47,51 from moderate to severe; and 445,48–50 studies did not specify the level of severity included but provided the mean value of % predicted FEV1 and SD within the range of mild-to-severe COPD. The frequencies of training ranged from 2 to 7 sessions each week, and the time of exercise lasted 30–90 minutes per session; most common was 30–60 minutes. Yoga tended to be practised for longer and more frequently than tai chi or qigong. One trial48 measured the outcomes of 2 months, 7 trials41,42,45–47,50,51 measured the outcomes for 3 months, 7 trials36–40,43,44 measured the outcomes for 6 months, and 1 trial49 measured the outcomes of 9 months. The interventions in control groups were education, breathing technique, and walking combined with or without breathing technique. All participants received the usual medical treatment in addition to the experimental intervention. Risk of bias of studies: The assessment of the included studies are shown in Table 2, which displayed36–51 the risk of bias. Four trials,40–42,44 according to the recommended criteria of the Cochrane Handbook, were judged to be in low risk in bias; 10 trials36,38,39,43,45–49,51 were judged to be in unclear risk of bias, and 1 trial50 was judged to be in high risk of bias as shown in Figure 2. Outcomes: 6MWD Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. 6MWD: Meditative movement versus nonexercise The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. Meditative movement versus nonexercise: The 6MWD was significantly enhanced in the experimental group (MD 25.40 m, 95% CI: 16.25 to 34.54, P<0.00001) compared with the nonexercise group at the third month in a pooled analysis of 8 studies (n=644).36,38,41,44–47,51 These trials showed heterogeneity when they were pooled in a meta-analysis (P for heterogeneity=0.002, I2=68%). Four RCTs (n=455)36,38,43,44 provided information regarding 6MWD at the sixth month. Pooled analysis showed that experimental group was associated with a statistically significant improvement in 6MWD (MD 35.75 m, 95% CI: 22.23 to 49.27, P<0.00001) using a random-effects model. The results of the heterogeneity test was not significant (P for heterogeneity=0.009, I2=74%; Figure 3A). The 6MWD effect size of 1 trial46 was obviously lower than the other trials; furthermore, if this study was excluded, heterogeneity was markedly abated. Thus, a subgroup analysis was undertaken according to the different Style Meditative movement in the intervention. Meditative movement versus walking exercise: Two studies,36,38 involving 224 participants, estimated changes in functional capacity using the 6-minute walk test at the third month. The combined MD from 2 studies (n=224) was 15.53 m (95% CI: 11.59 to 19.48, P-value <0.00001). We detected no subgroup differences between experimental group and the exercise group (P-value=0.33, I2=0%). Four trials36,38–40 (n=430) estimated the effects of 6MWD on the experimental group and compared with walking exercise at 6 months. It reported that the experimental group showed an improvement in 6MWD compared with exercise group, but the difference was not significant (MD 19.36 m, 95% CI: 9.0 to 29.72, P<0.0002). The test for heterogeneity was significant (P for heterogeneity=0.0006, I2=83%; Figure 3B). Lung functions: FEV1 Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). FEV1: Meditative movement versus nonexercise Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Meditative movement versus nonexercise: Trough FEV1 data were available in 4 trials36,38,44,50 and in 4 trials36,38,43,44 at 3 months and 6 months (n=489 and n=453, respectively). The differences were significant (MD 0.1L, 95% CI: 0.02 to 0.18, P=0.02) at 3 months. However, the aggregate results of these studies indicated that the experimental group was in related with a significant improvement in FEV1 comparing with the nonexercise group (MD 0.18L, 95% CI: 0.1 to 0.26, P<0.00001) at 6 months. Class differences did not appear significantly different at 3 and 6 months (Figure 4A). Meditative movement versus walking exercise: In a pooled analysis of 2 studies (n=226)36,38 of experimental versus physical exercise groups, no significant difference was shown in FEV1 (MD 0.13L, 95% CI: −1.04 to 0.31, P=0.13) using a random-effects model at 3 months. For FEV1, the significant interaction effect of time by group (P for heterogeneity=0.14, I2=54%) was also observed. Again, no obvious improvement was seen at 6 months (MD 0.26L, 95% CI: −0.12 to 0.64, P=0.18). The results of the heterogeneity test was significant (P for heterogeneity=0.001, I2=91%; Figure 4B). FEV1 percent predicted normal values: Four studies38,46,47,51 on 211 participants examined the effects of experimental group versus nonexercise on dyspnea at 3 months, using FEV1 % predicted normal values. Regarding lung function, the experimental group statistically increased FEV1 (MD 4L, 95% CI: 2.7 to 5.31, P<0.00001, P for heterogeneity=0.69, I2=0%). However, there was a trend in favor of experimental group after 24 weeks (n=279, MD 4.8L, 95% CI: 2.56 to 7.07, P<0.00001). There was no statistically significant difference in FEV1 pre% between groups (P for heterogeneity=0.60, I2=0%), as shown in Figure 5. Quality of life: Meditative movement versus nonexercise Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point. Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point. Meditative movement versus nonexercise: Two studies41,42 used Chronic Respiratory Disease Questionnaire (CRQ) to evaluate changes in quality of life, with only 24 participants each in both the experimental group and the control group at 3 months. The MD in total score was 1.92 units (95% CI: 0.54–3.31, P-value=0.006). As to component scores, there were not statistically significant difference in mastery (95% CI: −0.49–3.62, P-value=0.14) and emotion (95% CI: −0.11–2.41, P-value=0.07) between groups. No significant differences in dyspnea and fatigue were also observed between groups (MD 0.9 units, 95% CI: 0.51–1.29, P<0.00001; MD 0.75 units, 95% CI: 0.42–1.09, P<0.0001, respectively). However, the 2 component scores were highly heterogeneous, as one favored the emotion subscores (P for heterogeneity=0.03, I2=78%) and the other the mastery subscores (P for heterogeneity <0.00001, I2=96%; Figure 6). Furthermore, CRQ scores at 3 months were only captured in 2 studies (n=24); therefore, the end point was evaluated in a comparatively smaller population. Heterogeneity was also relatively high between the 2 trials comprising the third month end point. Meditative movement versus walking exercise: HRQoL was evaluated by CRQ in 2 studies39,40 at 6 months. The experimental group showed a significantly decreased fatigue subscores (MD 0.2 units, 95% CI: 0.12 to 0.28, P<0.00001) compared with the exercise group. The pooled effect size showed that the experimental group had a lower CRQ score than the exercise group (dyspnea: MD 0.46 units, 95% CI: −0.28 to 1.20, P=0.23; emotion: MD 0.04 units, 95% CI: −0.34 to 0.42, P=0.84; mastery: MD 0.00 units, 95% CI: −0.32 to 0.33, P=0.98). The improvement of dyspnea after intervention was reported in another trial using the fatigue section of CRQ, but the difference was not significant (Figure 7). However, heterogeneity was high for the other end points. Discussion: According to the results of the present review, the pooled effect sizes indicated that meditative movement might be more beneficial to improving lung function of people with COPD than nonexercise. A pooled effect from 2 trials shows that meditative movement was more beneficial to reducing dyspnea and fatigue in COPD patients than nonexercise after 3 months. This study aims to evaluate the effects of meditative movement across multiple COPD populations. The current meta-analysis is distinct from previous reviews in several aspects. Our meta-analysis identified and included more eligible studies than the previous reviews. Progressive decline in physical condition of COPD patients reduces their ability to perform daily physical activity. Our results aimed to evaluate the effectiveness of experimental programs in enhancing rehabilitation of COPD patients. The efficacy and safety of meditative movement have been evaluated in previous studies. A pulmonary rehabilitation index, comprising exercise capacity, lung function, and HRQoL, was measured at baseline, 3 and 6 months. This review provided evidence of the effectiveness of meditative movement toward improving the exercise capacity. This study evaluates the effect of meditative movement across multiple COPD populations. This review provided evidence on the effectiveness of meditative movement in improving the exercise capacity, pulmonary function, and quality of life of COPD patients, as long as participants adhered to the protocol. Subjects in the experimental group required considerable practice to attain proficiency. Tai chi qigong (TCQ) is a low-intensity, rhythmic circular exercise incorporating musculoskeletal, respiration, and meditation training.17,18 The movements are coordinated with deep breathing that draws the breath down into the lower tantien (the main energy center of the body). TCQ might enhance the lung capacity and diaphragm strength, and improve cardiorespiratory function.17 Yoga exerted beneficial effects by reducing breathing frequency, modulating airway reactivity,19 increasing respiratory sensation through conditioning of the breathing pattern,20 reducing oxygen consumption,21 decreasing responses to hypoxic and hypercapnic conditios22 with better blood oxygenation without increasing minute ventilation,23 improving respiratory muscle strength and endurance at least for a short-term,24 and decreasing the resting heart rate and sympathetic reactivity.25 In recent decades, 6MWD has been used as a simple and valid evaluation parameter for exercise tolerance of COPD patients.26–28 In our study, statistically significant increase in 6MWD was noted among participants allocated to meditative movement compared with those allocated to the nonexercise group. However, no significant difference was found in walking distance between the meditative movement and the walking exercise groups. This might be owing to the walking in the exercise group being self-paced instead of maximal shuttle walking, and most participants not gaining maximal exercise capacity during walking exercise unless closely monitored.29 The result was similar to previous studies showing rehabilitation at home showed no objective improvement in exercise capacity among COPD patients.30,31 The follow-up durations of meditative movement training in our studies ranged from 6 weeks to 9 months, the loss of lung function due to pathophysiological process of COPD might not be demonstrable in such short follow-up duration. Therefore, it remained unclear whether improvements gained in lung function owing to the treatment duration using meditative movement can be maintained in the longer term. Hence, the duration of meditative movement and assessment periods should be longer. Studies did not reveal any definitive conclusions regarding the effective “dose” of meditative movement, or whether tai chi, yoga, or qigong were more effective. Future studies should pay attention to optimizing training intensity, duration, and frequency of meditative movement. Previous studies have revealed that positive effects of pulmonary rehabilitation on HRQoL were achieved during hospitalization. However, the effects decreased and could not be sustained after discharge.32,33 This study adopted the CRQ to evaluate HRQoL. Meditative movement might regulate more effective emotion to elicit much higher levels of general self-efficacy belief.34 Emotional self-efficacy belief may improve individual subjective happiness, interpersonal relationships, and ability to build up a positive attitude toward diseases.35 Participants can cherish feelings of concern and love from others through communicating and propagating health education. The results support the hypothesis that meditative movement appeared to be more beneficial than pulmonary rehabilitation incorporating the popular breathing and walking exercises in patients with COPD. However, firm conclusion could not be drawn owing to the small sample size. Several limitations have to be mentioned regarding our systematic review and meta-analysis. First, there were heterogeneities in the inclusion the populations studied, the diverse style of meditative movement, time points when interventions was initiated, intensity, duration, and study quality. These factors were not comparable in most of the trials. These differences may explain the statistical heterogeneity that existed in some of the outcomes investigated. The duration of meditative movement observed included studies that were not too long enough to evaluate the long-term effects, and the optimal exercise intensity and duration currently remains unknown. Second, although we tried to pool results of all the trials, the number of patients included in this meta-analysis might not be sufficient to exclude any significant clinical benefits. Third, the quality of the included studies were not consistent, which could affect the direction and magnitude of treatment effects when performing a meta-analysis. Especially, the poor-quality trials that consistently reported active results of the outcomes. Fourth, some important physiological outcome measures, such as inflammatory biomarkers, and peripheral and respiratory muscle strength and functions were lacking in most studies. Moreover, despite multiple outcome measures being used, it is not always possible to interpret the effect against a minimal clinically important difference for each measure. Finally, since most trials were conducted in Southeast Asia, caution should be taken regarding the generalization of results for the European population. It is possible that the willingness to participate in meditative movement training is impacted by national and ethnic cultures. Conclusion: The current systematic review and meta-analysis revealed that meditative movement might improve exercise capacity, dyspnea, HRQoL, and lung function in COPD patients. So, meditative movement should be encouraged as a potential and crucial approach to COPD. However, considering the limitations of our study, questions remain to be evaluated in large-scale, well-designed, multicenter, RCTs to substantiate the preliminary findings and investigate the long-term effects of meditative movement as well as the tailoring of the rehabilitation intervention for COPD patients.
Background: The effectiveness of meditative movement (tai chi, yoga, and qigong) on COPD remained unclear. We undertook a systematic review and meta-analysis to determine the effectiveness of meditative movement on COPD patients. Methods: We searched PubMed, Web of Science, EMBASE, and the Cochrane Center Register of Controlled Trials for relevant studies. The methods of standard meta-analysis were utilized for identifying relevant researches (until August 2017), quality appraisal, and synthesis. The primary outcomes were the 6-minute walking distance (6MWD), lung function, and dyspnea levels. Results: Sixteen studies involving 1,176 COPD patients were included. When comparing with the control group, the 6MWD was significantly enhanced in the treatment group (3 months: mean difference [MD]=25.40 m, 95% CI: 16.25 to 34.54; 6 months: MD=35.75 m, 95% CI: 22.23 to 49.27), as well as functions on forced expiratory volume in 1 s (FEV1) (3 months: MD=0.1L, 95% CI: 0.02 to 0.18; 6 months: MD=0.18L, 95% CI: 0.1 to 0.26), and FEV1 % predicted (3 months: 4L, 95% CI: 2.7 to 5.31; 6 months: MD=4.8L, 95% CI: 2.56 to 7.07). Quality of life for the group doing meditative movement was better than the control group based on the Chronic Respiratory Disease Questionnaire dyspnea score (MD=0.9 units, 95% CI: 0.51 to 1.29) and fatigue score (MD=0.75 units, 95% CI: 0.42 to 1.09) and the total score (MD=1.92 units, 95% CI: 0.54 to 3.31). Conclusions: Meditative movement may have the potential to enhance lung function and physical activity in COPD patients. More large-scale, well-designed, multicenter, randomized controlled trials should be launched to evaluate the long-range effects of meditative movement.
Introduction: COPD is characterized by nonreversible airflow obstruction and intermittent exacerbations. It was a major cause of morbidity and mortality worldwide.1–4 Despite progress in pharmacologic and surgical treatments, many patients continue to suffer from dyspnea and substantial limitations in daily activities. They are often trapped in a vicious cycle of inactivity, initiated by breathlessness.5,6 Rehabilitation may alleviate the symptoms, impede the deterioration of lung functions, and improve health-related quality of life among (HRQoL) COPD patients. More and more experts are beginning to realize the importance of pulmonary rehabilitation for COPD patients. Exercise training should be one of the vital approaches in the treatment of COPD.7,8 Meditative movement is proposed as a gentle exercise training and incorporates meditation, breathing, and relaxation.9 Meditative movement, including forms such as tai chi, yoga, and qigong, incorporates: focus on the mind; movements, usually slow, relaxed, flowing and choreographed; a focus on breathing, and a deep and calm state of physical and mental relaxation.9 tai chi is a centuries-old Chinese health practice. It involves a series of movements performed in a slow, well-balanced and focused manner, and is accompanied by deep breathing. Qigong is also an ancient Chinese exercise that include meditation, physical movement, relaxation, and breathing exercises to restore and maintain balance. Qigong is designed to control the vital energy (qi) of the body along the energy channels (meridians). Qigong combined with tai chi may keep the body, mind, and spirit in a state of alignment and balance.10 Yoga originated from ancient India, and consisted of pranayama, sithali, kapalabhati, asanas, and meditation. The exercises may coordinate the individual self with the transcendental self.11 Although some studies have reported that meditative movements exerted beneficial effects on COPD patients,12,13 its definite effectiveness remains unclear. Hence, we performed a systematic review and meta-analysis to evaluate the effectiveness of meditative movement as complementary therapy for COPD patients. Conclusion: The current systematic review and meta-analysis revealed that meditative movement might improve exercise capacity, dyspnea, HRQoL, and lung function in COPD patients. So, meditative movement should be encouraged as a potential and crucial approach to COPD. However, considering the limitations of our study, questions remain to be evaluated in large-scale, well-designed, multicenter, RCTs to substantiate the preliminary findings and investigate the long-term effects of meditative movement as well as the tailoring of the rehabilitation intervention for COPD patients.
Background: The effectiveness of meditative movement (tai chi, yoga, and qigong) on COPD remained unclear. We undertook a systematic review and meta-analysis to determine the effectiveness of meditative movement on COPD patients. Methods: We searched PubMed, Web of Science, EMBASE, and the Cochrane Center Register of Controlled Trials for relevant studies. The methods of standard meta-analysis were utilized for identifying relevant researches (until August 2017), quality appraisal, and synthesis. The primary outcomes were the 6-minute walking distance (6MWD), lung function, and dyspnea levels. Results: Sixteen studies involving 1,176 COPD patients were included. When comparing with the control group, the 6MWD was significantly enhanced in the treatment group (3 months: mean difference [MD]=25.40 m, 95% CI: 16.25 to 34.54; 6 months: MD=35.75 m, 95% CI: 22.23 to 49.27), as well as functions on forced expiratory volume in 1 s (FEV1) (3 months: MD=0.1L, 95% CI: 0.02 to 0.18; 6 months: MD=0.18L, 95% CI: 0.1 to 0.26), and FEV1 % predicted (3 months: 4L, 95% CI: 2.7 to 5.31; 6 months: MD=4.8L, 95% CI: 2.56 to 7.07). Quality of life for the group doing meditative movement was better than the control group based on the Chronic Respiratory Disease Questionnaire dyspnea score (MD=0.9 units, 95% CI: 0.51 to 1.29) and fatigue score (MD=0.75 units, 95% CI: 0.42 to 1.09) and the total score (MD=1.92 units, 95% CI: 0.54 to 3.31). Conclusions: Meditative movement may have the potential to enhance lung function and physical activity in COPD patients. More large-scale, well-designed, multicenter, randomized controlled trials should be launched to evaluate the long-range effects of meditative movement.
12,983
367
[ 1227, 174, 107, 102, 81, 98, 71, 740, 369, 181, 151, 456, 227, 110, 115, 115, 459, 226, 150, 98 ]
25
[ "group", "95", "months", "95 ci", "ci", "heterogeneity", "md", "studies", "significant", "experimental" ]
[ "pulmonary rehabilitation incorporating", "breathing qigong", "treatment copd meditative", "copd meditative movement", "copd patients exercise" ]
[CONTENT] meditative movement | COPD | meta-analysis | tai chi | yoga | qigong [SUMMARY]
[CONTENT] meditative movement | COPD | meta-analysis | tai chi | yoga | qigong [SUMMARY]
[CONTENT] meditative movement | COPD | meta-analysis | tai chi | yoga | qigong [SUMMARY]
[CONTENT] meditative movement | COPD | meta-analysis | tai chi | yoga | qigong [SUMMARY]
[CONTENT] meditative movement | COPD | meta-analysis | tai chi | yoga | qigong [SUMMARY]
[CONTENT] meditative movement | COPD | meta-analysis | tai chi | yoga | qigong [SUMMARY]
[CONTENT] Adult | Aged | Aged, 80 and over | Chi-Square Distribution | Exercise Movement Techniques | Exercise Tolerance | Female | Forced Expiratory Volume | Health Status | Humans | Lung | Male | Middle Aged | Pulmonary Disease, Chronic Obstructive | Qigong | Quality of Life | Recovery of Function | Respiratory Function Tests | Surveys and Questionnaires | Tai Ji | Treatment Outcome | Walk Test | Yoga [SUMMARY]
[CONTENT] Adult | Aged | Aged, 80 and over | Chi-Square Distribution | Exercise Movement Techniques | Exercise Tolerance | Female | Forced Expiratory Volume | Health Status | Humans | Lung | Male | Middle Aged | Pulmonary Disease, Chronic Obstructive | Qigong | Quality of Life | Recovery of Function | Respiratory Function Tests | Surveys and Questionnaires | Tai Ji | Treatment Outcome | Walk Test | Yoga [SUMMARY]
[CONTENT] Adult | Aged | Aged, 80 and over | Chi-Square Distribution | Exercise Movement Techniques | Exercise Tolerance | Female | Forced Expiratory Volume | Health Status | Humans | Lung | Male | Middle Aged | Pulmonary Disease, Chronic Obstructive | Qigong | Quality of Life | Recovery of Function | Respiratory Function Tests | Surveys and Questionnaires | Tai Ji | Treatment Outcome | Walk Test | Yoga [SUMMARY]
[CONTENT] Adult | Aged | Aged, 80 and over | Chi-Square Distribution | Exercise Movement Techniques | Exercise Tolerance | Female | Forced Expiratory Volume | Health Status | Humans | Lung | Male | Middle Aged | Pulmonary Disease, Chronic Obstructive | Qigong | Quality of Life | Recovery of Function | Respiratory Function Tests | Surveys and Questionnaires | Tai Ji | Treatment Outcome | Walk Test | Yoga [SUMMARY]
[CONTENT] Adult | Aged | Aged, 80 and over | Chi-Square Distribution | Exercise Movement Techniques | Exercise Tolerance | Female | Forced Expiratory Volume | Health Status | Humans | Lung | Male | Middle Aged | Pulmonary Disease, Chronic Obstructive | Qigong | Quality of Life | Recovery of Function | Respiratory Function Tests | Surveys and Questionnaires | Tai Ji | Treatment Outcome | Walk Test | Yoga [SUMMARY]
[CONTENT] Adult | Aged | Aged, 80 and over | Chi-Square Distribution | Exercise Movement Techniques | Exercise Tolerance | Female | Forced Expiratory Volume | Health Status | Humans | Lung | Male | Middle Aged | Pulmonary Disease, Chronic Obstructive | Qigong | Quality of Life | Recovery of Function | Respiratory Function Tests | Surveys and Questionnaires | Tai Ji | Treatment Outcome | Walk Test | Yoga [SUMMARY]
[CONTENT] pulmonary rehabilitation incorporating | breathing qigong | treatment copd meditative | copd meditative movement | copd patients exercise [SUMMARY]
[CONTENT] pulmonary rehabilitation incorporating | breathing qigong | treatment copd meditative | copd meditative movement | copd patients exercise [SUMMARY]
[CONTENT] pulmonary rehabilitation incorporating | breathing qigong | treatment copd meditative | copd meditative movement | copd patients exercise [SUMMARY]
[CONTENT] pulmonary rehabilitation incorporating | breathing qigong | treatment copd meditative | copd meditative movement | copd patients exercise [SUMMARY]
[CONTENT] pulmonary rehabilitation incorporating | breathing qigong | treatment copd meditative | copd meditative movement | copd patients exercise [SUMMARY]
[CONTENT] pulmonary rehabilitation incorporating | breathing qigong | treatment copd meditative | copd meditative movement | copd patients exercise [SUMMARY]
[CONTENT] group | 95 | months | 95 ci | ci | heterogeneity | md | studies | significant | experimental [SUMMARY]
[CONTENT] group | 95 | months | 95 ci | ci | heterogeneity | md | studies | significant | experimental [SUMMARY]
[CONTENT] group | 95 | months | 95 ci | ci | heterogeneity | md | studies | significant | experimental [SUMMARY]
[CONTENT] group | 95 | months | 95 ci | ci | heterogeneity | md | studies | significant | experimental [SUMMARY]
[CONTENT] group | 95 | months | 95 ci | ci | heterogeneity | md | studies | significant | experimental [SUMMARY]
[CONTENT] group | 95 | months | 95 ci | ci | heterogeneity | md | studies | significant | experimental [SUMMARY]
[CONTENT] copd | patients | relaxation | breathing | movements | meditation | qigong | copd patients | slow | focus [SUMMARY]
[CONTENT] variables | measure | mean | review | 25 | 75 | studies | results | i2 | effect models address variations [SUMMARY]
[CONTENT] 95 ci | ci | heterogeneity | 95 | group | months | md | significant | 6mwd | 38 [SUMMARY]
[CONTENT] copd | meditative movement | meditative | movement | patients | copd patients | evaluated large scale designed | potential crucial approach copd | potential crucial approach | potential crucial [SUMMARY]
[CONTENT] months | ci | 95 ci | 95 | group | heterogeneity | md | significant | studies | 38 [SUMMARY]
[CONTENT] months | ci | 95 ci | 95 | group | heterogeneity | md | significant | studies | 38 [SUMMARY]
[CONTENT] COPD ||| [SUMMARY]
[CONTENT] PubMed | the Cochrane Center Register of Controlled Trials ||| August 2017 ||| 6-minute [SUMMARY]
[CONTENT] Sixteen | 1,176 ||| 6MWD | 3 months ||| MD]=25.40 | 95% | CI | 16.25 | 34.54 | 6 months | 95% | CI | 22.23 to 49.27 | 1 | 3 months | 95% | CI | 0.02 | 0.18 | 6 months | 95% | CI | 0.1 to 0.26 | FEV1 % | 3 months | 4L | 95% | CI | 2.7 | 5.31 | 6 months | 95% | CI | 2.56 | 7.07 ||| the Chronic Respiratory Disease Questionnaire | 95% | CI | 0.51 | 1.29 | MD=0.75 | 95% | CI | 0.42 | 1.09 | MD=1.92 | 95% | CI | 0.54 | 3.31 [SUMMARY]
[CONTENT] ||| [SUMMARY]
[CONTENT] COPD ||| ||| PubMed | the Cochrane Center Register of Controlled Trials ||| August 2017 ||| 6-minute ||| Sixteen | 1,176 ||| 6MWD | 3 months ||| MD]=25.40 | 95% | CI | 16.25 | 34.54 | 6 months | 95% | CI | 22.23 to 49.27 | 1 | 3 months | 95% | CI | 0.02 | 0.18 | 6 months | 95% | CI | 0.1 to 0.26 | FEV1 % | 3 months | 4L | 95% | CI | 2.7 | 5.31 | 6 months | 95% | CI | 2.56 | 7.07 ||| the Chronic Respiratory Disease Questionnaire | 95% | CI | 0.51 | 1.29 | MD=0.75 | 95% | CI | 0.42 | 1.09 | MD=1.92 | 95% | CI | 0.54 | 3.31 ||| ||| [SUMMARY]
[CONTENT] COPD ||| ||| PubMed | the Cochrane Center Register of Controlled Trials ||| August 2017 ||| 6-minute ||| Sixteen | 1,176 ||| 6MWD | 3 months ||| MD]=25.40 | 95% | CI | 16.25 | 34.54 | 6 months | 95% | CI | 22.23 to 49.27 | 1 | 3 months | 95% | CI | 0.02 | 0.18 | 6 months | 95% | CI | 0.1 to 0.26 | FEV1 % | 3 months | 4L | 95% | CI | 2.7 | 5.31 | 6 months | 95% | CI | 2.56 | 7.07 ||| the Chronic Respiratory Disease Questionnaire | 95% | CI | 0.51 | 1.29 | MD=0.75 | 95% | CI | 0.42 | 1.09 | MD=1.92 | 95% | CI | 0.54 | 3.31 ||| ||| [SUMMARY]
Impact of Contextual Factors on the Attendance and Role in the Evidence-Based Chronic Disease Prevention Programs Among Primary Care Practitioners in Shanghai, China.
35186856
The implementation of evidence-based approaches by general practitioners (GPs) is new in the primary care setting, and few quantitative studies have evaluated the impact of contextual factors on the attendance of these approaches.
BACKGROUND
In total, 892 GPs from 75 community healthcare centers (CHCs) in Shanghai completed our survey. We used logistic regression to analyze factors affecting the number of evidence-based chronic disease programs attended by GPs and whether they had held the lead position in such a program.
METHODS
A total of 346 (38.8%) of the practitioners had never participated in any evidence-based chronic disease prevention (EBCDP) program. The EBCDP interventions in which the GPs had participated were predominantly related to hypertension, diabetes, and cardiovascular disease. However, the proportion of GPs in the lead role was relatively low, between 0.8% (programs involving prevention and control of asthma) and 5.0% (diabetes). Organizational factors and areas were significantly associated with evidence-based practices (EBPs) of the GP, while monthly income and department were the most significantly related to GPs who have the lead role in a program. The results indicated that GPs who had taken the lead position had higher scores for policy and economic impeding factors. GPs who were men, had a higher income, and worked in prevention and healthcare departments and urban areas were more likely to take the lead position.
RESULTS
Evidence-based programs for chronic diseases should be extended to different types of diseases. Personal, organizational, political, and economic factors and the factors of female sex, lower income, department type, and suburban area environment should be considered to facilitate the translation of evidence to practice.
CONCLUSION
[ "China", "Chronic Disease", "Female", "General Practitioners", "Humans", "Male", "Primary Health Care" ]
8847253
Background
The emergence of chronic diseases is becoming a predominant global health challenge, and preventing and controlling chronic diseases have gradually become a long-term health policy project in many countries and are included in the Healthy China 2030 strategic plan (1). After China's New Health Reform of 2009, the government accelerated the construction of primary healthcare institutions and expanded the team of general practitioners (GPs) facing the pressure of an aging population, replacing the situation of secondary and tertiary hospitals taking the main role of both medical and prevention service provision (2–4). In China, primary healthcare institutions consisted of community healthcare centers (CHCs) in cities, township health centers in countries, and village clinics in villages, which covered 55% of outpatient care (4.4 billion visits) in 2016 (3). Among them, the CHCs in cities have developed the fastest and contain a sound structure, usually with departments, such as Western medicine, traditional Chinese medicine, and preventive healthcare. Usually, in large cities, such as Shanghai, CHCs provide services for the local residents, ranging in number from ~50,000 to 150,000 (3). Usually, CHCs take the responsibility of preventative healthcare instead of larger hospitals, as the New Health Policy requires (4, 5). However, the efficiency of preventative healthcare is still not optimal among CHCs and other primary care institutions in China (3). Existing studies have indicated that population-based preventative interventions through the application of scientific evidence can significantly increase work efficiency (6, 7). For instance, Kennedy et al. enrolled 314 children in an intervention group and 276 children in a control group in a study that assessed the existing evidence of risk factors for asthma and effective interventions to reduce asthma morbidity in vulnerable populations. After 12 months of the Community Healthcare for Asthma Management and Prevention of Symptoms (CHAMPS) intervention [creating safe sleeping zones, removing cockroaches, and rodents in the home (8)], the symptomatic asthma days of the children in the intervention group were significantly reduced compared with those of the control group (9). The successful translation of asthma evidence to intervention practice has reduced the morbidity of asthma and increased work efficiency. In recent years, evidence-based practices (EBPs) for chronic disease prevention have been increasingly encouraged among health practitioners (10). In Western countries, studies on impediments to EBPs related to chronic diseases have been conducted in state and local health departments to facilitate EBPs of the public health practitioners (11, 12). Jacobs et al. investigated the extent to which personal and organizational factors impeded evidence-based decision-making and found that experts were considered the largest personal barrier and that incentives, funding, and legislation were considered the greatest organizational barriers (13). Regarding external environmental and policy factors, research by Dodson et al. suggested that a lack of training, time, and funds were the main barriers to the use of evidence-based methods, and political, structural, and management challenges were the secondary barriers (11). Furtado et al. explored the political contextual factors that impact the implementation of evidence-based chronic disease prevention (EBCDP) (14). However, the existing research on the influencing factors has mostly been qualitative, and few quantitative studies have comprehensively examined the impeding factors, namely, at the personal, organizational, external environmental, policy, and economic levels, to thoroughly understand the crucial reasons for resistance. In China, EBPs have not been widely promoted among GPs in local CHCs, who play a primary role in chronic disease prevention and control (2), and little is known regarding the implementation of EBPs and the factors impeding it (14–16). In this study, we conducted a quantitative investigation to assess the EBPs of GPs that include the number of evidence-based programs they had participated in and the role they played in such programs. Additionally, we examined the possible comprehensive impeding factors for EBPs to emphasize measures to promote EBP implementation.
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Results
Characteristics of the Respondents A total of 892 GPs, 50.9% of whom were women, responded to our survey. As shown in Table 2, the average age is 37.23 years. Most of them (77.7%) had a bachelor's degree. Most of the GPs in our study had mid-level (45.7%) and junior (46.6%) titles. Policy and economic factors were the most reported impediments, with an average value of 4.17, followed by external environmental factors, with an average value of 4.12. Personal and organizational factors had relatively lower average values of 3.99 and 3.82, respectively, which means that the barriers caused by these factors were lower than those of the policy and economic factors and external environmental factors on average. Moreover, as seen in Table 3, at the personal level, “not enough time” has the highest average score of 4.50, which means it is a moderate to the relatively large impediment. “Lack of decision-making authority” (mean = 4.23) scored second on the individual level. “Not enough staff assisted” had the highest score of 4.42 at the organizational level, followed by “not enough funding” (mean = 4.16) and “lack of access to evidence” (mean = 3.82). “Local residents' perception conflicts with evidence-based recommendations” (mean = 4.19) and “distrust of scientific data in the populations served” (mean = 4.14) received the highest scores at the external environmental level. “Not enough financial support from the government” (mean = 4.31) and “funding changes as political leadership changes” (mean = 4.26) received higher scores than “no existing policies to support evidence-based approaches” (mean = 4.13) and “policy climate conflicts with evidence-based recommendations” (mean = 4.07) at the policy and economic levels. Moreover, we found that 346 (38.8%) of the GPs had never undertaken or participated in any EBP program, while 148 (16.6%) had participated in four or more. Characteristics and perceived impeding factors of the respondents (n = 892). Scores of various contextual factors (n = 892). A total of 892 GPs, 50.9% of whom were women, responded to our survey. As shown in Table 2, the average age is 37.23 years. Most of them (77.7%) had a bachelor's degree. Most of the GPs in our study had mid-level (45.7%) and junior (46.6%) titles. Policy and economic factors were the most reported impediments, with an average value of 4.17, followed by external environmental factors, with an average value of 4.12. Personal and organizational factors had relatively lower average values of 3.99 and 3.82, respectively, which means that the barriers caused by these factors were lower than those of the policy and economic factors and external environmental factors on average. Moreover, as seen in Table 3, at the personal level, “not enough time” has the highest average score of 4.50, which means it is a moderate to the relatively large impediment. “Lack of decision-making authority” (mean = 4.23) scored second on the individual level. “Not enough staff assisted” had the highest score of 4.42 at the organizational level, followed by “not enough funding” (mean = 4.16) and “lack of access to evidence” (mean = 3.82). “Local residents' perception conflicts with evidence-based recommendations” (mean = 4.19) and “distrust of scientific data in the populations served” (mean = 4.14) received the highest scores at the external environmental level. “Not enough financial support from the government” (mean = 4.31) and “funding changes as political leadership changes” (mean = 4.26) received higher scores than “no existing policies to support evidence-based approaches” (mean = 4.13) and “policy climate conflicts with evidence-based recommendations” (mean = 4.07) at the policy and economic levels. Moreover, we found that 346 (38.8%) of the GPs had never undertaken or participated in any EBP program, while 148 (16.6%) had participated in four or more. Characteristics and perceived impeding factors of the respondents (n = 892). Scores of various contextual factors (n = 892). Participation in Evidence-Based Chronic Disease Programs Table 4 indicates that the evidence-based programs in which the GPs participated were predominantly related to hypertension, diabetes, and cardiovascular disease. Approximately 60% of the practitioners had participated in diabetes evidence-based preventative interventions. However, the proportion of GPs in the leadership role was relatively low, between 0.8% (programs involving asthma prevention and control) and 5.0% (diabetes). We also found that programs related to maternal and child health (1.2%), student health (1.4%), and arthritis (1.0%) had fewer GPs serving in the leadership role. The number of evidence-based programs attended and roles in specific chronic disease fields (n = 892). Table 4 indicates that the evidence-based programs in which the GPs participated were predominantly related to hypertension, diabetes, and cardiovascular disease. Approximately 60% of the practitioners had participated in diabetes evidence-based preventative interventions. However, the proportion of GPs in the leadership role was relatively low, between 0.8% (programs involving asthma prevention and control) and 5.0% (diabetes). We also found that programs related to maternal and child health (1.2%), student health (1.4%), and arthritis (1.0%) had fewer GPs serving in the leadership role. The number of evidence-based programs attended and roles in specific chronic disease fields (n = 892). Influencing Factors of EBPs and the Leadership Role in Programs Table 5 shows that those who perceived higher scores for personal factors (OR = 0.84, p = 0.05) and organizational factors (OR = 0.76, p < 0.01) attended fewer evidence-based programs. However, the results show that the higher the scores of policy and economic impediments were, the greater the number of evidence-based programs the GPs had attended (OR = 1.21, p = 0.03). In addition, compared with GPs in suburban areas, those from urban areas had attended more programs (OR = 1.45, p < 0.01). Additionally, compared with GPs practicing in Western medicine departments, GPs in prevention and healthcare departments (OR = 0.72, p = 0.03) and other departments (OR = 0.44, p < 0.01) had attended fewer evidence-based programs. Logistic regression of evidence-based practice and whether the GPs held the leadership position in the program (n = 892). Regarding whether the GPs had held leadership roles, the binary logistic regression indicated that GPs who had taken leadership roles perceived higher scores for policy and economic impeding factors (OR = 1.47, p = 0.01). As their age increased, the GPs were less likely to take leadership roles (OR = 0.94, p = 0.01). Additionally, those who were men (OR = 1.73, p = 0.02) and had a higher income (OR = 2.59, p < 0.01) were more likely to play a leadership role. Regarding the GPs' departments, those in prevention and healthcare departments (OR = 3.51, p < 0.01) were more likely to be responsible for evidence-based programs than those in general medicine (Western medicine). Table 5 shows that those who perceived higher scores for personal factors (OR = 0.84, p = 0.05) and organizational factors (OR = 0.76, p < 0.01) attended fewer evidence-based programs. However, the results show that the higher the scores of policy and economic impediments were, the greater the number of evidence-based programs the GPs had attended (OR = 1.21, p = 0.03). In addition, compared with GPs in suburban areas, those from urban areas had attended more programs (OR = 1.45, p < 0.01). Additionally, compared with GPs practicing in Western medicine departments, GPs in prevention and healthcare departments (OR = 0.72, p = 0.03) and other departments (OR = 0.44, p < 0.01) had attended fewer evidence-based programs. Logistic regression of evidence-based practice and whether the GPs held the leadership position in the program (n = 892). Regarding whether the GPs had held leadership roles, the binary logistic regression indicated that GPs who had taken leadership roles perceived higher scores for policy and economic impeding factors (OR = 1.47, p = 0.01). As their age increased, the GPs were less likely to take leadership roles (OR = 0.94, p = 0.01). Additionally, those who were men (OR = 1.73, p = 0.02) and had a higher income (OR = 2.59, p < 0.01) were more likely to play a leadership role. Regarding the GPs' departments, those in prevention and healthcare departments (OR = 3.51, p < 0.01) were more likely to be responsible for evidence-based programs than those in general medicine (Western medicine).
Conclusion
Evidence-based programs for chronic diseases should be extended to address the types of diseases encountered by GPs. Capacity-building courses are needed to help GPs find and translate evidence into practice in China. More resources should be allocated to GPs, especially those who are men, have a lower income, and live in suburban areas. GPs from prevention and healthcare departments should be given more opportunities to take leadership roles compared with those from Western medicine departments. Moreover, efforts should be made to overcome the difficulties of a lack of staff and insufficient time of GPs. Internal policy development and leadership expertise building should be accelerated to create an appropriate environment for EBPs. Policy and funding support is needed to facilitate the generation of more high-quality evidence and implementation of preventative interventions at the population level in the future.
[ "Background", "Data Source", "Measurement", "Independent Variables", "Demographics", "Contextual Impeding Factors", "Dependent Variables", "Statistical Analysis", "Characteristics of the Respondents", "Participation in Evidence-Based Chronic Disease Programs", "Influencing Factors of EBPs and the Leadership Role in Programs", "Ethics Statement", "Author Contributions" ]
[ "The emergence of chronic diseases is becoming a predominant global health challenge, and preventing and controlling chronic diseases have gradually become a long-term health policy project in many countries and are included in the Healthy China 2030 strategic plan (1). After China's New Health Reform of 2009, the government accelerated the construction of primary healthcare institutions and expanded the team of general practitioners (GPs) facing the pressure of an aging population, replacing the situation of secondary and tertiary hospitals taking the main role of both medical and prevention service provision (2–4). In China, primary healthcare institutions consisted of community healthcare centers (CHCs) in cities, township health centers in countries, and village clinics in villages, which covered 55% of outpatient care (4.4 billion visits) in 2016 (3). Among them, the CHCs in cities have developed the fastest and contain a sound structure, usually with departments, such as Western medicine, traditional Chinese medicine, and preventive healthcare. Usually, in large cities, such as Shanghai, CHCs provide services for the local residents, ranging in number from ~50,000 to 150,000 (3). Usually, CHCs take the responsibility of preventative healthcare instead of larger hospitals, as the New Health Policy requires (4, 5). However, the efficiency of preventative healthcare is still not optimal among CHCs and other primary care institutions in China (3).\nExisting studies have indicated that population-based preventative interventions through the application of scientific evidence can significantly increase work efficiency (6, 7). For instance, Kennedy et al. enrolled 314 children in an intervention group and 276 children in a control group in a study that assessed the existing evidence of risk factors for asthma and effective interventions to reduce asthma morbidity in vulnerable populations. After 12 months of the Community Healthcare for Asthma Management and Prevention of Symptoms (CHAMPS) intervention [creating safe sleeping zones, removing cockroaches, and rodents in the home (8)], the symptomatic asthma days of the children in the intervention group were significantly reduced compared with those of the control group (9). The successful translation of asthma evidence to intervention practice has reduced the morbidity of asthma and increased work efficiency.\nIn recent years, evidence-based practices (EBPs) for chronic disease prevention have been increasingly encouraged among health practitioners (10). In Western countries, studies on impediments to EBPs related to chronic diseases have been conducted in state and local health departments to facilitate EBPs of the public health practitioners (11, 12). Jacobs et al. investigated the extent to which personal and organizational factors impeded evidence-based decision-making and found that experts were considered the largest personal barrier and that incentives, funding, and legislation were considered the greatest organizational barriers (13). Regarding external environmental and policy factors, research by Dodson et al. suggested that a lack of training, time, and funds were the main barriers to the use of evidence-based methods, and political, structural, and management challenges were the secondary barriers (11). Furtado et al. explored the political contextual factors that impact the implementation of evidence-based chronic disease prevention (EBCDP) (14). However, the existing research on the influencing factors has mostly been qualitative, and few quantitative studies have comprehensively examined the impeding factors, namely, at the personal, organizational, external environmental, policy, and economic levels, to thoroughly understand the crucial reasons for resistance. In China, EBPs have not been widely promoted among GPs in local CHCs, who play a primary role in chronic disease prevention and control (2), and little is known regarding the implementation of EBPs and the factors impeding it (14–16).\nIn this study, we conducted a quantitative investigation to assess the EBPs of GPs that include the number of evidence-based programs they had participated in and the role they played in such programs. Additionally, we examined the possible comprehensive impeding factors for EBPs to emphasize measures to promote EBP implementation.", "We used a random number generator to select 39 suburban and 39 urban CHCs from 246 CHCs in Shanghai, but 3 suburban CHCs did not participate in our study. To make the results reasonable, we randomly selected 6 junior GPs, 6 mid-level GPs, and 1 senior GP in each selected CHC according to the composition of GPs in CHCs. From April to July 2019, we distributed a total of 975 questionnaires, of which 892 valid questionnaires were returned.", "The questionnaire was adapted from a study comparing the use of EBCDP processes (17, 18). At the beginning of the questionnaire, we explained the purpose of the questionnaire and relevant concepts to the respondents (EBCDP, evidence-based programs, etc.). The questionnaire consisted of four sections: demographics (10 items), practice and application of EBPs for various chronic diseases (39 items, 24 multiple-choice items, and 15 7-point Likert scale items to measure the number of evidence-based programs they had participated in and the role they played in such programs), and various contextual impediments to EBPs (26 items, 25 7-point Likert scale items) from Brownson et al.'s tool at Washington University. Before distributing the questionnaire, we conducted a pilot test to ensure feasibility. The Cronbach's α of the total scale was 0.980, and the Spearman-Brown coefficient was 0.912. Our questionnaire was proven to have good reliability and validity (10).", "Demographics In our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located.\nIn our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located.\nContextual Impeding Factors The possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation.\nDescription of the questionnaires.\nThe possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation.\nDescription of the questionnaires.\nDependent Variables In this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders.\nIn this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders.", "In our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located.", "The possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation.\nDescription of the questionnaires.", "In this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders.", "SPSS 22.0 was used for statistical analyses. The demographics of the respondents were summarized using the mean and SD for continuous variables and frequency and percentages for categorical variables. Regarding the number of evidence-based programs attended by GPs, ordinal logistic regression was used to identify possible influencing factors. In terms of whether the GPs had held the leadership position, a binary logistic regression was utilized to identify various related levels of factors. Associations were measured by odds ratios (ORs) with 95% CIs. p < 0.05 was considered statistically significant.", "A total of 892 GPs, 50.9% of whom were women, responded to our survey. As shown in Table 2, the average age is 37.23 years. Most of them (77.7%) had a bachelor's degree. Most of the GPs in our study had mid-level (45.7%) and junior (46.6%) titles. Policy and economic factors were the most reported impediments, with an average value of 4.17, followed by external environmental factors, with an average value of 4.12. Personal and organizational factors had relatively lower average values of 3.99 and 3.82, respectively, which means that the barriers caused by these factors were lower than those of the policy and economic factors and external environmental factors on average. Moreover, as seen in Table 3, at the personal level, “not enough time” has the highest average score of 4.50, which means it is a moderate to the relatively large impediment. “Lack of decision-making authority” (mean = 4.23) scored second on the individual level. “Not enough staff assisted” had the highest score of 4.42 at the organizational level, followed by “not enough funding” (mean = 4.16) and “lack of access to evidence” (mean = 3.82). “Local residents' perception conflicts with evidence-based recommendations” (mean = 4.19) and “distrust of scientific data in the populations served” (mean = 4.14) received the highest scores at the external environmental level. “Not enough financial support from the government” (mean = 4.31) and “funding changes as political leadership changes” (mean = 4.26) received higher scores than “no existing policies to support evidence-based approaches” (mean = 4.13) and “policy climate conflicts with evidence-based recommendations” (mean = 4.07) at the policy and economic levels. Moreover, we found that 346 (38.8%) of the GPs had never undertaken or participated in any EBP program, while 148 (16.6%) had participated in four or more.\nCharacteristics and perceived impeding factors of the respondents (n = 892).\nScores of various contextual factors (n = 892).", "Table 4 indicates that the evidence-based programs in which the GPs participated were predominantly related to hypertension, diabetes, and cardiovascular disease. Approximately 60% of the practitioners had participated in diabetes evidence-based preventative interventions. However, the proportion of GPs in the leadership role was relatively low, between 0.8% (programs involving asthma prevention and control) and 5.0% (diabetes). We also found that programs related to maternal and child health (1.2%), student health (1.4%), and arthritis (1.0%) had fewer GPs serving in the leadership role.\nThe number of evidence-based programs attended and roles in specific chronic disease fields (n = 892).", "Table 5 shows that those who perceived higher scores for personal factors (OR = 0.84, p = 0.05) and organizational factors (OR = 0.76, p < 0.01) attended fewer evidence-based programs. However, the results show that the higher the scores of policy and economic impediments were, the greater the number of evidence-based programs the GPs had attended (OR = 1.21, p = 0.03). In addition, compared with GPs in suburban areas, those from urban areas had attended more programs (OR = 1.45, p < 0.01). Additionally, compared with GPs practicing in Western medicine departments, GPs in prevention and healthcare departments (OR = 0.72, p = 0.03) and other departments (OR = 0.44, p < 0.01) had attended fewer evidence-based programs.\nLogistic regression of evidence-based practice and whether the GPs held the leadership position in the program (n = 892).\nRegarding whether the GPs had held leadership roles, the binary logistic regression indicated that GPs who had taken leadership roles perceived higher scores for policy and economic impeding factors (OR = 1.47, p = 0.01). As their age increased, the GPs were less likely to take leadership roles (OR = 0.94, p = 0.01). Additionally, those who were men (OR = 1.73, p = 0.02) and had a higher income (OR = 2.59, p < 0.01) were more likely to play a leadership role. Regarding the GPs' departments, those in prevention and healthcare departments (OR = 3.51, p < 0.01) were more likely to be responsible for evidence-based programs than those in general medicine (Western medicine).", "The studies involving human participants were reviewed and approved by Tongji University (Ref: LL-2016-ZRKX-017). The patients/participants provided their written informed consent to participate in this study.", "All authors made a significant contribution to the work-reported, whether that is in the conception, study design, execution, acquisition of data, analysis, and interpretation, or in all these areas, took part in drafting, revising, or critically reviewing the article, gave final approval of the version to be published, have agreed on the journal to which the article has been submitted, and agree to be accountable for all aspects of the work." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Materials and Methods", "Data Source", "Measurement", "Independent Variables", "Demographics", "Contextual Impeding Factors", "Dependent Variables", "Statistical Analysis", "Results", "Characteristics of the Respondents", "Participation in Evidence-Based Chronic Disease Programs", "Influencing Factors of EBPs and the Leadership Role in Programs", "Discussion", "Conclusion", "Data Availability Statement", "Ethics Statement", "Author Contributions", "Funding", "Conflict of Interest", "Publisher's Note" ]
[ "The emergence of chronic diseases is becoming a predominant global health challenge, and preventing and controlling chronic diseases have gradually become a long-term health policy project in many countries and are included in the Healthy China 2030 strategic plan (1). After China's New Health Reform of 2009, the government accelerated the construction of primary healthcare institutions and expanded the team of general practitioners (GPs) facing the pressure of an aging population, replacing the situation of secondary and tertiary hospitals taking the main role of both medical and prevention service provision (2–4). In China, primary healthcare institutions consisted of community healthcare centers (CHCs) in cities, township health centers in countries, and village clinics in villages, which covered 55% of outpatient care (4.4 billion visits) in 2016 (3). Among them, the CHCs in cities have developed the fastest and contain a sound structure, usually with departments, such as Western medicine, traditional Chinese medicine, and preventive healthcare. Usually, in large cities, such as Shanghai, CHCs provide services for the local residents, ranging in number from ~50,000 to 150,000 (3). Usually, CHCs take the responsibility of preventative healthcare instead of larger hospitals, as the New Health Policy requires (4, 5). However, the efficiency of preventative healthcare is still not optimal among CHCs and other primary care institutions in China (3).\nExisting studies have indicated that population-based preventative interventions through the application of scientific evidence can significantly increase work efficiency (6, 7). For instance, Kennedy et al. enrolled 314 children in an intervention group and 276 children in a control group in a study that assessed the existing evidence of risk factors for asthma and effective interventions to reduce asthma morbidity in vulnerable populations. After 12 months of the Community Healthcare for Asthma Management and Prevention of Symptoms (CHAMPS) intervention [creating safe sleeping zones, removing cockroaches, and rodents in the home (8)], the symptomatic asthma days of the children in the intervention group were significantly reduced compared with those of the control group (9). The successful translation of asthma evidence to intervention practice has reduced the morbidity of asthma and increased work efficiency.\nIn recent years, evidence-based practices (EBPs) for chronic disease prevention have been increasingly encouraged among health practitioners (10). In Western countries, studies on impediments to EBPs related to chronic diseases have been conducted in state and local health departments to facilitate EBPs of the public health practitioners (11, 12). Jacobs et al. investigated the extent to which personal and organizational factors impeded evidence-based decision-making and found that experts were considered the largest personal barrier and that incentives, funding, and legislation were considered the greatest organizational barriers (13). Regarding external environmental and policy factors, research by Dodson et al. suggested that a lack of training, time, and funds were the main barriers to the use of evidence-based methods, and political, structural, and management challenges were the secondary barriers (11). Furtado et al. explored the political contextual factors that impact the implementation of evidence-based chronic disease prevention (EBCDP) (14). However, the existing research on the influencing factors has mostly been qualitative, and few quantitative studies have comprehensively examined the impeding factors, namely, at the personal, organizational, external environmental, policy, and economic levels, to thoroughly understand the crucial reasons for resistance. In China, EBPs have not been widely promoted among GPs in local CHCs, who play a primary role in chronic disease prevention and control (2), and little is known regarding the implementation of EBPs and the factors impeding it (14–16).\nIn this study, we conducted a quantitative investigation to assess the EBPs of GPs that include the number of evidence-based programs they had participated in and the role they played in such programs. Additionally, we examined the possible comprehensive impeding factors for EBPs to emphasize measures to promote EBP implementation.", "Data Source We used a random number generator to select 39 suburban and 39 urban CHCs from 246 CHCs in Shanghai, but 3 suburban CHCs did not participate in our study. To make the results reasonable, we randomly selected 6 junior GPs, 6 mid-level GPs, and 1 senior GP in each selected CHC according to the composition of GPs in CHCs. From April to July 2019, we distributed a total of 975 questionnaires, of which 892 valid questionnaires were returned.\nWe used a random number generator to select 39 suburban and 39 urban CHCs from 246 CHCs in Shanghai, but 3 suburban CHCs did not participate in our study. To make the results reasonable, we randomly selected 6 junior GPs, 6 mid-level GPs, and 1 senior GP in each selected CHC according to the composition of GPs in CHCs. From April to July 2019, we distributed a total of 975 questionnaires, of which 892 valid questionnaires were returned.\nMeasurement The questionnaire was adapted from a study comparing the use of EBCDP processes (17, 18). At the beginning of the questionnaire, we explained the purpose of the questionnaire and relevant concepts to the respondents (EBCDP, evidence-based programs, etc.). The questionnaire consisted of four sections: demographics (10 items), practice and application of EBPs for various chronic diseases (39 items, 24 multiple-choice items, and 15 7-point Likert scale items to measure the number of evidence-based programs they had participated in and the role they played in such programs), and various contextual impediments to EBPs (26 items, 25 7-point Likert scale items) from Brownson et al.'s tool at Washington University. Before distributing the questionnaire, we conducted a pilot test to ensure feasibility. The Cronbach's α of the total scale was 0.980, and the Spearman-Brown coefficient was 0.912. Our questionnaire was proven to have good reliability and validity (10).\nThe questionnaire was adapted from a study comparing the use of EBCDP processes (17, 18). At the beginning of the questionnaire, we explained the purpose of the questionnaire and relevant concepts to the respondents (EBCDP, evidence-based programs, etc.). The questionnaire consisted of four sections: demographics (10 items), practice and application of EBPs for various chronic diseases (39 items, 24 multiple-choice items, and 15 7-point Likert scale items to measure the number of evidence-based programs they had participated in and the role they played in such programs), and various contextual impediments to EBPs (26 items, 25 7-point Likert scale items) from Brownson et al.'s tool at Washington University. Before distributing the questionnaire, we conducted a pilot test to ensure feasibility. The Cronbach's α of the total scale was 0.980, and the Spearman-Brown coefficient was 0.912. Our questionnaire was proven to have good reliability and validity (10).\nIndependent Variables Demographics In our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located.\nIn our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located.\nContextual Impeding Factors The possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation.\nDescription of the questionnaires.\nThe possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation.\nDescription of the questionnaires.\nDependent Variables In this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders.\nIn this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders.\nDemographics In our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located.\nIn our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located.\nContextual Impeding Factors The possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation.\nDescription of the questionnaires.\nThe possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation.\nDescription of the questionnaires.\nDependent Variables In this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders.\nIn this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders.\nStatistical Analysis SPSS 22.0 was used for statistical analyses. The demographics of the respondents were summarized using the mean and SD for continuous variables and frequency and percentages for categorical variables. Regarding the number of evidence-based programs attended by GPs, ordinal logistic regression was used to identify possible influencing factors. In terms of whether the GPs had held the leadership position, a binary logistic regression was utilized to identify various related levels of factors. Associations were measured by odds ratios (ORs) with 95% CIs. p < 0.05 was considered statistically significant.\nSPSS 22.0 was used for statistical analyses. The demographics of the respondents were summarized using the mean and SD for continuous variables and frequency and percentages for categorical variables. Regarding the number of evidence-based programs attended by GPs, ordinal logistic regression was used to identify possible influencing factors. In terms of whether the GPs had held the leadership position, a binary logistic regression was utilized to identify various related levels of factors. Associations were measured by odds ratios (ORs) with 95% CIs. p < 0.05 was considered statistically significant.", "We used a random number generator to select 39 suburban and 39 urban CHCs from 246 CHCs in Shanghai, but 3 suburban CHCs did not participate in our study. To make the results reasonable, we randomly selected 6 junior GPs, 6 mid-level GPs, and 1 senior GP in each selected CHC according to the composition of GPs in CHCs. From April to July 2019, we distributed a total of 975 questionnaires, of which 892 valid questionnaires were returned.", "The questionnaire was adapted from a study comparing the use of EBCDP processes (17, 18). At the beginning of the questionnaire, we explained the purpose of the questionnaire and relevant concepts to the respondents (EBCDP, evidence-based programs, etc.). The questionnaire consisted of four sections: demographics (10 items), practice and application of EBPs for various chronic diseases (39 items, 24 multiple-choice items, and 15 7-point Likert scale items to measure the number of evidence-based programs they had participated in and the role they played in such programs), and various contextual impediments to EBPs (26 items, 25 7-point Likert scale items) from Brownson et al.'s tool at Washington University. Before distributing the questionnaire, we conducted a pilot test to ensure feasibility. The Cronbach's α of the total scale was 0.980, and the Spearman-Brown coefficient was 0.912. Our questionnaire was proven to have good reliability and validity (10).", "Demographics In our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located.\nIn our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located.\nContextual Impeding Factors The possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation.\nDescription of the questionnaires.\nThe possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation.\nDescription of the questionnaires.\nDependent Variables In this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders.\nIn this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders.", "In our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located.", "The possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation.\nDescription of the questionnaires.", "In this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders.", "SPSS 22.0 was used for statistical analyses. The demographics of the respondents were summarized using the mean and SD for continuous variables and frequency and percentages for categorical variables. Regarding the number of evidence-based programs attended by GPs, ordinal logistic regression was used to identify possible influencing factors. In terms of whether the GPs had held the leadership position, a binary logistic regression was utilized to identify various related levels of factors. Associations were measured by odds ratios (ORs) with 95% CIs. p < 0.05 was considered statistically significant.", "Characteristics of the Respondents A total of 892 GPs, 50.9% of whom were women, responded to our survey. As shown in Table 2, the average age is 37.23 years. Most of them (77.7%) had a bachelor's degree. Most of the GPs in our study had mid-level (45.7%) and junior (46.6%) titles. Policy and economic factors were the most reported impediments, with an average value of 4.17, followed by external environmental factors, with an average value of 4.12. Personal and organizational factors had relatively lower average values of 3.99 and 3.82, respectively, which means that the barriers caused by these factors were lower than those of the policy and economic factors and external environmental factors on average. Moreover, as seen in Table 3, at the personal level, “not enough time” has the highest average score of 4.50, which means it is a moderate to the relatively large impediment. “Lack of decision-making authority” (mean = 4.23) scored second on the individual level. “Not enough staff assisted” had the highest score of 4.42 at the organizational level, followed by “not enough funding” (mean = 4.16) and “lack of access to evidence” (mean = 3.82). “Local residents' perception conflicts with evidence-based recommendations” (mean = 4.19) and “distrust of scientific data in the populations served” (mean = 4.14) received the highest scores at the external environmental level. “Not enough financial support from the government” (mean = 4.31) and “funding changes as political leadership changes” (mean = 4.26) received higher scores than “no existing policies to support evidence-based approaches” (mean = 4.13) and “policy climate conflicts with evidence-based recommendations” (mean = 4.07) at the policy and economic levels. Moreover, we found that 346 (38.8%) of the GPs had never undertaken or participated in any EBP program, while 148 (16.6%) had participated in four or more.\nCharacteristics and perceived impeding factors of the respondents (n = 892).\nScores of various contextual factors (n = 892).\nA total of 892 GPs, 50.9% of whom were women, responded to our survey. As shown in Table 2, the average age is 37.23 years. Most of them (77.7%) had a bachelor's degree. Most of the GPs in our study had mid-level (45.7%) and junior (46.6%) titles. Policy and economic factors were the most reported impediments, with an average value of 4.17, followed by external environmental factors, with an average value of 4.12. Personal and organizational factors had relatively lower average values of 3.99 and 3.82, respectively, which means that the barriers caused by these factors were lower than those of the policy and economic factors and external environmental factors on average. Moreover, as seen in Table 3, at the personal level, “not enough time” has the highest average score of 4.50, which means it is a moderate to the relatively large impediment. “Lack of decision-making authority” (mean = 4.23) scored second on the individual level. “Not enough staff assisted” had the highest score of 4.42 at the organizational level, followed by “not enough funding” (mean = 4.16) and “lack of access to evidence” (mean = 3.82). “Local residents' perception conflicts with evidence-based recommendations” (mean = 4.19) and “distrust of scientific data in the populations served” (mean = 4.14) received the highest scores at the external environmental level. “Not enough financial support from the government” (mean = 4.31) and “funding changes as political leadership changes” (mean = 4.26) received higher scores than “no existing policies to support evidence-based approaches” (mean = 4.13) and “policy climate conflicts with evidence-based recommendations” (mean = 4.07) at the policy and economic levels. Moreover, we found that 346 (38.8%) of the GPs had never undertaken or participated in any EBP program, while 148 (16.6%) had participated in four or more.\nCharacteristics and perceived impeding factors of the respondents (n = 892).\nScores of various contextual factors (n = 892).\nParticipation in Evidence-Based Chronic Disease Programs Table 4 indicates that the evidence-based programs in which the GPs participated were predominantly related to hypertension, diabetes, and cardiovascular disease. Approximately 60% of the practitioners had participated in diabetes evidence-based preventative interventions. However, the proportion of GPs in the leadership role was relatively low, between 0.8% (programs involving asthma prevention and control) and 5.0% (diabetes). We also found that programs related to maternal and child health (1.2%), student health (1.4%), and arthritis (1.0%) had fewer GPs serving in the leadership role.\nThe number of evidence-based programs attended and roles in specific chronic disease fields (n = 892).\nTable 4 indicates that the evidence-based programs in which the GPs participated were predominantly related to hypertension, diabetes, and cardiovascular disease. Approximately 60% of the practitioners had participated in diabetes evidence-based preventative interventions. However, the proportion of GPs in the leadership role was relatively low, between 0.8% (programs involving asthma prevention and control) and 5.0% (diabetes). We also found that programs related to maternal and child health (1.2%), student health (1.4%), and arthritis (1.0%) had fewer GPs serving in the leadership role.\nThe number of evidence-based programs attended and roles in specific chronic disease fields (n = 892).\nInfluencing Factors of EBPs and the Leadership Role in Programs Table 5 shows that those who perceived higher scores for personal factors (OR = 0.84, p = 0.05) and organizational factors (OR = 0.76, p < 0.01) attended fewer evidence-based programs. However, the results show that the higher the scores of policy and economic impediments were, the greater the number of evidence-based programs the GPs had attended (OR = 1.21, p = 0.03). In addition, compared with GPs in suburban areas, those from urban areas had attended more programs (OR = 1.45, p < 0.01). Additionally, compared with GPs practicing in Western medicine departments, GPs in prevention and healthcare departments (OR = 0.72, p = 0.03) and other departments (OR = 0.44, p < 0.01) had attended fewer evidence-based programs.\nLogistic regression of evidence-based practice and whether the GPs held the leadership position in the program (n = 892).\nRegarding whether the GPs had held leadership roles, the binary logistic regression indicated that GPs who had taken leadership roles perceived higher scores for policy and economic impeding factors (OR = 1.47, p = 0.01). As their age increased, the GPs were less likely to take leadership roles (OR = 0.94, p = 0.01). Additionally, those who were men (OR = 1.73, p = 0.02) and had a higher income (OR = 2.59, p < 0.01) were more likely to play a leadership role. Regarding the GPs' departments, those in prevention and healthcare departments (OR = 3.51, p < 0.01) were more likely to be responsible for evidence-based programs than those in general medicine (Western medicine).\nTable 5 shows that those who perceived higher scores for personal factors (OR = 0.84, p = 0.05) and organizational factors (OR = 0.76, p < 0.01) attended fewer evidence-based programs. However, the results show that the higher the scores of policy and economic impediments were, the greater the number of evidence-based programs the GPs had attended (OR = 1.21, p = 0.03). In addition, compared with GPs in suburban areas, those from urban areas had attended more programs (OR = 1.45, p < 0.01). Additionally, compared with GPs practicing in Western medicine departments, GPs in prevention and healthcare departments (OR = 0.72, p = 0.03) and other departments (OR = 0.44, p < 0.01) had attended fewer evidence-based programs.\nLogistic regression of evidence-based practice and whether the GPs held the leadership position in the program (n = 892).\nRegarding whether the GPs had held leadership roles, the binary logistic regression indicated that GPs who had taken leadership roles perceived higher scores for policy and economic impeding factors (OR = 1.47, p = 0.01). As their age increased, the GPs were less likely to take leadership roles (OR = 0.94, p = 0.01). Additionally, those who were men (OR = 1.73, p = 0.02) and had a higher income (OR = 2.59, p < 0.01) were more likely to play a leadership role. Regarding the GPs' departments, those in prevention and healthcare departments (OR = 3.51, p < 0.01) were more likely to be responsible for evidence-based programs than those in general medicine (Western medicine).", "A total of 892 GPs, 50.9% of whom were women, responded to our survey. As shown in Table 2, the average age is 37.23 years. Most of them (77.7%) had a bachelor's degree. Most of the GPs in our study had mid-level (45.7%) and junior (46.6%) titles. Policy and economic factors were the most reported impediments, with an average value of 4.17, followed by external environmental factors, with an average value of 4.12. Personal and organizational factors had relatively lower average values of 3.99 and 3.82, respectively, which means that the barriers caused by these factors were lower than those of the policy and economic factors and external environmental factors on average. Moreover, as seen in Table 3, at the personal level, “not enough time” has the highest average score of 4.50, which means it is a moderate to the relatively large impediment. “Lack of decision-making authority” (mean = 4.23) scored second on the individual level. “Not enough staff assisted” had the highest score of 4.42 at the organizational level, followed by “not enough funding” (mean = 4.16) and “lack of access to evidence” (mean = 3.82). “Local residents' perception conflicts with evidence-based recommendations” (mean = 4.19) and “distrust of scientific data in the populations served” (mean = 4.14) received the highest scores at the external environmental level. “Not enough financial support from the government” (mean = 4.31) and “funding changes as political leadership changes” (mean = 4.26) received higher scores than “no existing policies to support evidence-based approaches” (mean = 4.13) and “policy climate conflicts with evidence-based recommendations” (mean = 4.07) at the policy and economic levels. Moreover, we found that 346 (38.8%) of the GPs had never undertaken or participated in any EBP program, while 148 (16.6%) had participated in four or more.\nCharacteristics and perceived impeding factors of the respondents (n = 892).\nScores of various contextual factors (n = 892).", "Table 4 indicates that the evidence-based programs in which the GPs participated were predominantly related to hypertension, diabetes, and cardiovascular disease. Approximately 60% of the practitioners had participated in diabetes evidence-based preventative interventions. However, the proportion of GPs in the leadership role was relatively low, between 0.8% (programs involving asthma prevention and control) and 5.0% (diabetes). We also found that programs related to maternal and child health (1.2%), student health (1.4%), and arthritis (1.0%) had fewer GPs serving in the leadership role.\nThe number of evidence-based programs attended and roles in specific chronic disease fields (n = 892).", "Table 5 shows that those who perceived higher scores for personal factors (OR = 0.84, p = 0.05) and organizational factors (OR = 0.76, p < 0.01) attended fewer evidence-based programs. However, the results show that the higher the scores of policy and economic impediments were, the greater the number of evidence-based programs the GPs had attended (OR = 1.21, p = 0.03). In addition, compared with GPs in suburban areas, those from urban areas had attended more programs (OR = 1.45, p < 0.01). Additionally, compared with GPs practicing in Western medicine departments, GPs in prevention and healthcare departments (OR = 0.72, p = 0.03) and other departments (OR = 0.44, p < 0.01) had attended fewer evidence-based programs.\nLogistic regression of evidence-based practice and whether the GPs held the leadership position in the program (n = 892).\nRegarding whether the GPs had held leadership roles, the binary logistic regression indicated that GPs who had taken leadership roles perceived higher scores for policy and economic impeding factors (OR = 1.47, p = 0.01). As their age increased, the GPs were less likely to take leadership roles (OR = 0.94, p = 0.01). Additionally, those who were men (OR = 1.73, p = 0.02) and had a higher income (OR = 2.59, p < 0.01) were more likely to play a leadership role. Regarding the GPs' departments, those in prevention and healthcare departments (OR = 3.51, p < 0.01) were more likely to be responsible for evidence-based programs than those in general medicine (Western medicine).", "In our study, we found that GPs were the leaders in and participated in more evidence-based programs for preventing hypertension, diabetes, and cardiovascular disease. Comparatively, other diseases, such as asthma, arthritis, maternal and child health, and student health, have received less attention. The reason for this result may be related to disease prioritization, specifically in China. Although younger and older populations are both target populations, more attention is given to the more prevalent diseases of hypertension, diabetes, and cardiovascular disease (19, 20). Nevertheless, it cannot be denied that GPs should pay more attention to evidence-based programs for younger populations, as studies have also revealed that obesity and mental health are prevalent and increasing disease categories (21, 22). In our study, we also found that 38.8% of the GPs had not participated in any EBP program for chronic disease prevention. In the past two decades, organizations, such as the clinical epidemiology committee of the Chinese Medical Association and the Chinese Cochrane Center, have developed programs for advanced practitioners, such as GPs' utilization of evidence-based principles (23). However, EBPs have not been widely disseminated (24).\nEvidence-based practice is a relatively novel concept for most Chinese GPs, and they may not have studied them systematically (25). Additionally, compared with the United States and Australia, practitioners from China were found to know less about EBPs (17, 26). Although capacity-building programs for public health practitioners are widely conducted in developed countries, homogeneous programs are rather scarce in developing countries such as China (10, 17). In such a context, training programs are needed to improve GPs' capability of conducting evidence-based programs. In this investigation, training courses, lectures, and seminars were mentioned many times in the open-ended questions to raise individual evidence-based awareness of and build capabilities for EBPs.\nRegarding the impeding factors, we found that personal, organizational, political, and economic factors exerted a significant effect on the number of evidence-based programs that GPs had attended. Regarding personal factors, we found that GPs perceived a lack of decision-making authority and not having enough time as highly impeding subfactors. The reasons may be the following: (1) China's top-down tiered healthcare delivery system determines that GPs in primary healthcare systems do not have much decision-making authority in either clinical or population-based health interventions. When dealing with complicated and severe medical disorders, they need to refer patients to superior hospitals. When carrying out interventions in communities, GPs need to obtain permission from leaders and cooperation from community neighborhood committees before obtaining funding from the government (3, 27). (2) After the New Health Reform in 2009, the government paid increasing attention to CHCs, and GPs gradually became the main providers of primary care in cities (28). Outpatient and scientific research occupied most GPs' working hours, and many of them chronically lacked time (29).\nIn our study, we found that organizational factors are also impediments to EBPs, and a lack of internal policy to ensure that interventions in the organization are evidence-based should be considered. GPs will not use evidence-based approaches or participate in any evidence-based programs if they are not encouraged or rewarded for doing so. A system should be developed to maintain GPs' motivation EBPs. “Not enough staff assisted” is another factor worth noting and coexists with “lack of time” at the personal level. The primary health system faces a critical shortage of qualified GPs due to various issues, such as insufficient training and less pay than specialists (3, 30). Widespread low job satisfaction and high occupational burnout among GPs have become challenges for the strengthening of China's primary healthcare system and exacerbated the shortage of CHC staffing (3, 31). Access to evidence is also worthy of attention. In China, most medical databases, such as the two largest Chinese medical databases, CNKI, and Wanfang Database, are not freely accessible to the public (25). GPs from large CHCs have better database permissions and can participate in more academic conferences (23). However, small CHCs in suburban areas do not have the funding to purchase expensive medical database access. To overcome this dilemma, systematic reviews and guidelines should be compiled and made available to GPs in local CHCs. Existing studies have indicated that improving certain organizational processes can facilitate EBPs and promote agency performance (12, 32). Administrative EBPs (A-EBPs), a set of core competencies for public health administrators, are agency-level structures and activities that are positively associated with performance measures (12, 32, 33). In developed countries, some capacity-building courses for chronic disease practitioners in the early stage tend to focus on the discovery and appraisal of evidence but place less emphasis on A-EBPs (34). Organizational factors may be more difficult to intervene in, but they sometimes cause greater impediments than individual capabilities (13, 35). Working atmosphere construction, workforce development, and access to evidence all follow leaders' understanding and appreciation of EBPs. Recently, a leadership competency framework was developed to support the curriculum aimed at leadership (36, 37). Predictably, in addition to training courses for chronic disease practitioners, leadership expertise building for both technique and management is critical for the promotion of EBPs.\nWe found that the policy and economic factors significantly influenced both the number of evidence-based programs in which the GPs had participated and whether they had taken the leadership role. Additionally, these subfactors had the highest scores. Among them, “not enough financial support from government” had the highest score. Financial constraints are always impediments to EBP implementation (11, 25, 33, 34). In the context of a high incidence of chronic disease, a significant amount of funding is required to conduct evidence-based preventative interventions. Emphasis on research and the neglect of translation from research to practice have intensified the funding shortages in the practice of chronic disease prevention (11). The publication of studies is not the end of the disease prevention process (15), and it is necessary to communicate to policy makers what EBPs for chronic disease are, why they are important, and why funds for implementing preventative interventions are needed to complete the whole EBP process (11).\nHowever, it was interesting that GPs who had participated in fewer evidence-based programs were more likely to report personal and organizational factors, while GPs who had participated in more evidence-based programs and played a leadership role in the programs were more likely to consider policy and economic factors to be greater impediments. If personal and organizational factors, such as “lack of capacity to develop evidence-based interventions” and “lack of internal policy to ensure interventions are evidence-based”, were overcome, policy and economic impediments tend to become bottlenecks in GPs' implementation of EBPs.\nCompared with participating in evidence-based programs, whether the GPs had held a leadership role was more likely to be influenced by demographic characteristics. Male GPs, those with a higher monthly income, those from urban areas, and younger GPs, were more likely to have been in the leadership role in evidence-based programs. However, these factors have no significant influence on the number of evidence-based programs they had participated. Both the number of evidence-based programs and whether the GPs had held the leadership role differed between different departments. Compared with GPs from general medicine (Western medicine) departments, GPs from prevention and healthcare departments had participated in fewer EBP programs but were more likely to have taken the leadership role. Although GPs from prevention and healthcare departments dominated the evidence-based programs, the influence of the programs was limited, and the programs attracted fewer of these GPs than those from general medicine (Western medicine) departments. More resources need to be allocated to the prevention process to promote EBPs.\nThe limitations of this study should be noted. First, Shanghai is located in China's economically developed region, and GPs' EBPs may therefore be better there than in the central and western regions of China. Second, the content of the questionnaire was mainly subjective, which may cause bias. Finally, all data were self-reported, and it was difficult to verify the accuracy.", "Evidence-based programs for chronic diseases should be extended to address the types of diseases encountered by GPs. Capacity-building courses are needed to help GPs find and translate evidence into practice in China. More resources should be allocated to GPs, especially those who are men, have a lower income, and live in suburban areas. GPs from prevention and healthcare departments should be given more opportunities to take leadership roles compared with those from Western medicine departments. Moreover, efforts should be made to overcome the difficulties of a lack of staff and insufficient time of GPs. Internal policy development and leadership expertise building should be accelerated to create an appropriate environment for EBPs. Policy and funding support is needed to facilitate the generation of more high-quality evidence and implementation of preventative interventions at the population level in the future.", "The original contributions presented in the study are included in the article/supplementary material, further inquiries can be directed to the corresponding authors.", "The studies involving human participants were reviewed and approved by Tongji University (Ref: LL-2016-ZRKX-017). The patients/participants provided their written informed consent to participate in this study.", "All authors made a significant contribution to the work-reported, whether that is in the conception, study design, execution, acquisition of data, analysis, and interpretation, or in all these areas, took part in drafting, revising, or critically reviewing the article, gave final approval of the version to be published, have agreed on the journal to which the article has been submitted, and agree to be accountable for all aspects of the work.", "The design of this study involving some previous investigation was supported by the Shanghai Excellent Young Talents Project in Health System (2018YQ52). Data extraction was funded by the Natural Science Foundation of China (71774116 and 71603182) and the Shanghai Public Health System Construction Three-Year Action Plan (GWV-10.1-XK15). The analysis and interpretation of the data guided by the statisticians were funded by grants from the National Key R&D Program of China (2018YFC2000700). The writing and revision, including the language improvement, were supported by Shanghai Pujiang Program (2019PJC072).", "The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest. The reviewer YS declared a shared affiliation with some of the authors XGa, HJ, NC, YY, and JS to the handling editor at time of review.", "All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher." ]
[ null, "materials and methods", null, null, null, null, null, null, null, "results", null, null, null, "discussion", "conclusions", "data-availability", null, null, "funding-information", "COI-statement", "disclaimer" ]
[ "evidence-based practice (EBP)", "chronic disease", "general practitioners", "primary care (MeSH)", "preventative interventions" ]
Background: The emergence of chronic diseases is becoming a predominant global health challenge, and preventing and controlling chronic diseases have gradually become a long-term health policy project in many countries and are included in the Healthy China 2030 strategic plan (1). After China's New Health Reform of 2009, the government accelerated the construction of primary healthcare institutions and expanded the team of general practitioners (GPs) facing the pressure of an aging population, replacing the situation of secondary and tertiary hospitals taking the main role of both medical and prevention service provision (2–4). In China, primary healthcare institutions consisted of community healthcare centers (CHCs) in cities, township health centers in countries, and village clinics in villages, which covered 55% of outpatient care (4.4 billion visits) in 2016 (3). Among them, the CHCs in cities have developed the fastest and contain a sound structure, usually with departments, such as Western medicine, traditional Chinese medicine, and preventive healthcare. Usually, in large cities, such as Shanghai, CHCs provide services for the local residents, ranging in number from ~50,000 to 150,000 (3). Usually, CHCs take the responsibility of preventative healthcare instead of larger hospitals, as the New Health Policy requires (4, 5). However, the efficiency of preventative healthcare is still not optimal among CHCs and other primary care institutions in China (3). Existing studies have indicated that population-based preventative interventions through the application of scientific evidence can significantly increase work efficiency (6, 7). For instance, Kennedy et al. enrolled 314 children in an intervention group and 276 children in a control group in a study that assessed the existing evidence of risk factors for asthma and effective interventions to reduce asthma morbidity in vulnerable populations. After 12 months of the Community Healthcare for Asthma Management and Prevention of Symptoms (CHAMPS) intervention [creating safe sleeping zones, removing cockroaches, and rodents in the home (8)], the symptomatic asthma days of the children in the intervention group were significantly reduced compared with those of the control group (9). The successful translation of asthma evidence to intervention practice has reduced the morbidity of asthma and increased work efficiency. In recent years, evidence-based practices (EBPs) for chronic disease prevention have been increasingly encouraged among health practitioners (10). In Western countries, studies on impediments to EBPs related to chronic diseases have been conducted in state and local health departments to facilitate EBPs of the public health practitioners (11, 12). Jacobs et al. investigated the extent to which personal and organizational factors impeded evidence-based decision-making and found that experts were considered the largest personal barrier and that incentives, funding, and legislation were considered the greatest organizational barriers (13). Regarding external environmental and policy factors, research by Dodson et al. suggested that a lack of training, time, and funds were the main barriers to the use of evidence-based methods, and political, structural, and management challenges were the secondary barriers (11). Furtado et al. explored the political contextual factors that impact the implementation of evidence-based chronic disease prevention (EBCDP) (14). However, the existing research on the influencing factors has mostly been qualitative, and few quantitative studies have comprehensively examined the impeding factors, namely, at the personal, organizational, external environmental, policy, and economic levels, to thoroughly understand the crucial reasons for resistance. In China, EBPs have not been widely promoted among GPs in local CHCs, who play a primary role in chronic disease prevention and control (2), and little is known regarding the implementation of EBPs and the factors impeding it (14–16). In this study, we conducted a quantitative investigation to assess the EBPs of GPs that include the number of evidence-based programs they had participated in and the role they played in such programs. Additionally, we examined the possible comprehensive impeding factors for EBPs to emphasize measures to promote EBP implementation. Materials and Methods: Data Source We used a random number generator to select 39 suburban and 39 urban CHCs from 246 CHCs in Shanghai, but 3 suburban CHCs did not participate in our study. To make the results reasonable, we randomly selected 6 junior GPs, 6 mid-level GPs, and 1 senior GP in each selected CHC according to the composition of GPs in CHCs. From April to July 2019, we distributed a total of 975 questionnaires, of which 892 valid questionnaires were returned. We used a random number generator to select 39 suburban and 39 urban CHCs from 246 CHCs in Shanghai, but 3 suburban CHCs did not participate in our study. To make the results reasonable, we randomly selected 6 junior GPs, 6 mid-level GPs, and 1 senior GP in each selected CHC according to the composition of GPs in CHCs. From April to July 2019, we distributed a total of 975 questionnaires, of which 892 valid questionnaires were returned. Measurement The questionnaire was adapted from a study comparing the use of EBCDP processes (17, 18). At the beginning of the questionnaire, we explained the purpose of the questionnaire and relevant concepts to the respondents (EBCDP, evidence-based programs, etc.). The questionnaire consisted of four sections: demographics (10 items), practice and application of EBPs for various chronic diseases (39 items, 24 multiple-choice items, and 15 7-point Likert scale items to measure the number of evidence-based programs they had participated in and the role they played in such programs), and various contextual impediments to EBPs (26 items, 25 7-point Likert scale items) from Brownson et al.'s tool at Washington University. Before distributing the questionnaire, we conducted a pilot test to ensure feasibility. The Cronbach's α of the total scale was 0.980, and the Spearman-Brown coefficient was 0.912. Our questionnaire was proven to have good reliability and validity (10). The questionnaire was adapted from a study comparing the use of EBCDP processes (17, 18). At the beginning of the questionnaire, we explained the purpose of the questionnaire and relevant concepts to the respondents (EBCDP, evidence-based programs, etc.). The questionnaire consisted of four sections: demographics (10 items), practice and application of EBPs for various chronic diseases (39 items, 24 multiple-choice items, and 15 7-point Likert scale items to measure the number of evidence-based programs they had participated in and the role they played in such programs), and various contextual impediments to EBPs (26 items, 25 7-point Likert scale items) from Brownson et al.'s tool at Washington University. Before distributing the questionnaire, we conducted a pilot test to ensure feasibility. The Cronbach's α of the total scale was 0.980, and the Spearman-Brown coefficient was 0.912. Our questionnaire was proven to have good reliability and validity (10). Independent Variables Demographics In our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located. In our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located. Contextual Impeding Factors The possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation. Description of the questionnaires. The possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation. Description of the questionnaires. Dependent Variables In this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders. In this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders. Demographics In our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located. In our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located. Contextual Impeding Factors The possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation. Description of the questionnaires. The possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation. Description of the questionnaires. Dependent Variables In this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders. In this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders. Statistical Analysis SPSS 22.0 was used for statistical analyses. The demographics of the respondents were summarized using the mean and SD for continuous variables and frequency and percentages for categorical variables. Regarding the number of evidence-based programs attended by GPs, ordinal logistic regression was used to identify possible influencing factors. In terms of whether the GPs had held the leadership position, a binary logistic regression was utilized to identify various related levels of factors. Associations were measured by odds ratios (ORs) with 95% CIs. p < 0.05 was considered statistically significant. SPSS 22.0 was used for statistical analyses. The demographics of the respondents were summarized using the mean and SD for continuous variables and frequency and percentages for categorical variables. Regarding the number of evidence-based programs attended by GPs, ordinal logistic regression was used to identify possible influencing factors. In terms of whether the GPs had held the leadership position, a binary logistic regression was utilized to identify various related levels of factors. Associations were measured by odds ratios (ORs) with 95% CIs. p < 0.05 was considered statistically significant. Data Source: We used a random number generator to select 39 suburban and 39 urban CHCs from 246 CHCs in Shanghai, but 3 suburban CHCs did not participate in our study. To make the results reasonable, we randomly selected 6 junior GPs, 6 mid-level GPs, and 1 senior GP in each selected CHC according to the composition of GPs in CHCs. From April to July 2019, we distributed a total of 975 questionnaires, of which 892 valid questionnaires were returned. Measurement: The questionnaire was adapted from a study comparing the use of EBCDP processes (17, 18). At the beginning of the questionnaire, we explained the purpose of the questionnaire and relevant concepts to the respondents (EBCDP, evidence-based programs, etc.). The questionnaire consisted of four sections: demographics (10 items), practice and application of EBPs for various chronic diseases (39 items, 24 multiple-choice items, and 15 7-point Likert scale items to measure the number of evidence-based programs they had participated in and the role they played in such programs), and various contextual impediments to EBPs (26 items, 25 7-point Likert scale items) from Brownson et al.'s tool at Washington University. Before distributing the questionnaire, we conducted a pilot test to ensure feasibility. The Cronbach's α of the total scale was 0.980, and the Spearman-Brown coefficient was 0.912. Our questionnaire was proven to have good reliability and validity (10). Independent Variables: Demographics In our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located. In our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located. Contextual Impeding Factors The possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation. Description of the questionnaires. The possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation. Description of the questionnaires. Dependent Variables In this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders. In this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders. Demographics: In our study, the demographics consisted of gender, age, education, employment title, working years, monthly income, department, and area. Educational qualifications were divided into associate's degree or below, bachelor's degree, and master's degree or higher. GPs were awarded junior, mid-level, and senior titles according to their work experience and achievements. The GPs worked in CHC departments of general medicine (Western medicine), prevention and healthcare, general practice (traditional Chinese medicine), and other departments, such as medical technology and rehabilitation. The urban and suburban areas were defined according to the geographic regions where CHCs were located. Contextual Impeding Factors: The possible influencing factors comprised four aspects, each of which contained various questions. As shown in Table 1, the first aspect is personal that includes the lack of skills to find evidence, lack of skills to develop evidence-based interventions, and lack of time. The second aspect was organizational, such as work atmosphere, leadership engagement, and lack of access to evidence. External environmental factors were the third factor, referring mainly to impediments caused by the cooperation of local community residents. The fourth aspect was policy and economic factors, such as financial support and policy support from the government. The questions in all four aspects were answered on 7-point Likert scales. The respondents were asked to indicate how much they agreed with the arguments, with “1” representing “strongly disagree” and “7” representing “strongly agree”. For each aspect, we calculated the mean of the subordinating variables to indicate the barrier, and a higher score represented a more severe situation. Description of the questionnaires. Dependent Variables: In this study, we measured attendance and role of GPs in evidence-based programs through two variables: (1) the number of chronic disease programs participated in by GPs and (2) whether they held the leadership role in such a program. Evidence-based chronic disease programs, usually funded and initiated by provincial or regional CDCs or health administrative institutions, use evidence-based methods to prevent the onset of chronic diseases and manage the population with chronic diseases. Different from ordinary chronic disease programs, evidence-based chronic disease programs require GPs to use evidence to intervene in community residents. In a specific program, the person with the lead role is usually the founder of the program, and the person is responsible for program planning and takes the leadership role for the entire program from the application to conduction. The main performer assists the leader in carrying out the program, and the participants implement intervention measures in CHCs. The assessor evaluates the investment and output of the program. A GP may or may not participate in one or more evidence-based programs for chronic diseases at their discretion. To facilitate the respondent's recall of the number of participating programs, we set 15 chronic disease categories (such as diabetes, hypertension, and chronic obstructive pneumonia, also, they can fill in the specific chronic diseases not in the categories) and asked them to fill in whether they participated in the programs and their role in the programs. Finally, we counted the total number of programs involved in all categories as the number of chronic disease programs participated in by GPs. The number of evidence-based programs for various diseases was analyzed first as the dependent variable to assess the overall effects of the impeding factors. Furthermore, we used the variable of whether respondents had held the leadership role to explore the key influencing factors for GP leaders. Statistical Analysis: SPSS 22.0 was used for statistical analyses. The demographics of the respondents were summarized using the mean and SD for continuous variables and frequency and percentages for categorical variables. Regarding the number of evidence-based programs attended by GPs, ordinal logistic regression was used to identify possible influencing factors. In terms of whether the GPs had held the leadership position, a binary logistic regression was utilized to identify various related levels of factors. Associations were measured by odds ratios (ORs) with 95% CIs. p < 0.05 was considered statistically significant. Results: Characteristics of the Respondents A total of 892 GPs, 50.9% of whom were women, responded to our survey. As shown in Table 2, the average age is 37.23 years. Most of them (77.7%) had a bachelor's degree. Most of the GPs in our study had mid-level (45.7%) and junior (46.6%) titles. Policy and economic factors were the most reported impediments, with an average value of 4.17, followed by external environmental factors, with an average value of 4.12. Personal and organizational factors had relatively lower average values of 3.99 and 3.82, respectively, which means that the barriers caused by these factors were lower than those of the policy and economic factors and external environmental factors on average. Moreover, as seen in Table 3, at the personal level, “not enough time” has the highest average score of 4.50, which means it is a moderate to the relatively large impediment. “Lack of decision-making authority” (mean = 4.23) scored second on the individual level. “Not enough staff assisted” had the highest score of 4.42 at the organizational level, followed by “not enough funding” (mean = 4.16) and “lack of access to evidence” (mean = 3.82). “Local residents' perception conflicts with evidence-based recommendations” (mean = 4.19) and “distrust of scientific data in the populations served” (mean = 4.14) received the highest scores at the external environmental level. “Not enough financial support from the government” (mean = 4.31) and “funding changes as political leadership changes” (mean = 4.26) received higher scores than “no existing policies to support evidence-based approaches” (mean = 4.13) and “policy climate conflicts with evidence-based recommendations” (mean = 4.07) at the policy and economic levels. Moreover, we found that 346 (38.8%) of the GPs had never undertaken or participated in any EBP program, while 148 (16.6%) had participated in four or more. Characteristics and perceived impeding factors of the respondents (n = 892). Scores of various contextual factors (n = 892). A total of 892 GPs, 50.9% of whom were women, responded to our survey. As shown in Table 2, the average age is 37.23 years. Most of them (77.7%) had a bachelor's degree. Most of the GPs in our study had mid-level (45.7%) and junior (46.6%) titles. Policy and economic factors were the most reported impediments, with an average value of 4.17, followed by external environmental factors, with an average value of 4.12. Personal and organizational factors had relatively lower average values of 3.99 and 3.82, respectively, which means that the barriers caused by these factors were lower than those of the policy and economic factors and external environmental factors on average. Moreover, as seen in Table 3, at the personal level, “not enough time” has the highest average score of 4.50, which means it is a moderate to the relatively large impediment. “Lack of decision-making authority” (mean = 4.23) scored second on the individual level. “Not enough staff assisted” had the highest score of 4.42 at the organizational level, followed by “not enough funding” (mean = 4.16) and “lack of access to evidence” (mean = 3.82). “Local residents' perception conflicts with evidence-based recommendations” (mean = 4.19) and “distrust of scientific data in the populations served” (mean = 4.14) received the highest scores at the external environmental level. “Not enough financial support from the government” (mean = 4.31) and “funding changes as political leadership changes” (mean = 4.26) received higher scores than “no existing policies to support evidence-based approaches” (mean = 4.13) and “policy climate conflicts with evidence-based recommendations” (mean = 4.07) at the policy and economic levels. Moreover, we found that 346 (38.8%) of the GPs had never undertaken or participated in any EBP program, while 148 (16.6%) had participated in four or more. Characteristics and perceived impeding factors of the respondents (n = 892). Scores of various contextual factors (n = 892). Participation in Evidence-Based Chronic Disease Programs Table 4 indicates that the evidence-based programs in which the GPs participated were predominantly related to hypertension, diabetes, and cardiovascular disease. Approximately 60% of the practitioners had participated in diabetes evidence-based preventative interventions. However, the proportion of GPs in the leadership role was relatively low, between 0.8% (programs involving asthma prevention and control) and 5.0% (diabetes). We also found that programs related to maternal and child health (1.2%), student health (1.4%), and arthritis (1.0%) had fewer GPs serving in the leadership role. The number of evidence-based programs attended and roles in specific chronic disease fields (n = 892). Table 4 indicates that the evidence-based programs in which the GPs participated were predominantly related to hypertension, diabetes, and cardiovascular disease. Approximately 60% of the practitioners had participated in diabetes evidence-based preventative interventions. However, the proportion of GPs in the leadership role was relatively low, between 0.8% (programs involving asthma prevention and control) and 5.0% (diabetes). We also found that programs related to maternal and child health (1.2%), student health (1.4%), and arthritis (1.0%) had fewer GPs serving in the leadership role. The number of evidence-based programs attended and roles in specific chronic disease fields (n = 892). Influencing Factors of EBPs and the Leadership Role in Programs Table 5 shows that those who perceived higher scores for personal factors (OR = 0.84, p = 0.05) and organizational factors (OR = 0.76, p < 0.01) attended fewer evidence-based programs. However, the results show that the higher the scores of policy and economic impediments were, the greater the number of evidence-based programs the GPs had attended (OR = 1.21, p = 0.03). In addition, compared with GPs in suburban areas, those from urban areas had attended more programs (OR = 1.45, p < 0.01). Additionally, compared with GPs practicing in Western medicine departments, GPs in prevention and healthcare departments (OR = 0.72, p = 0.03) and other departments (OR = 0.44, p < 0.01) had attended fewer evidence-based programs. Logistic regression of evidence-based practice and whether the GPs held the leadership position in the program (n = 892). Regarding whether the GPs had held leadership roles, the binary logistic regression indicated that GPs who had taken leadership roles perceived higher scores for policy and economic impeding factors (OR = 1.47, p = 0.01). As their age increased, the GPs were less likely to take leadership roles (OR = 0.94, p = 0.01). Additionally, those who were men (OR = 1.73, p = 0.02) and had a higher income (OR = 2.59, p < 0.01) were more likely to play a leadership role. Regarding the GPs' departments, those in prevention and healthcare departments (OR = 3.51, p < 0.01) were more likely to be responsible for evidence-based programs than those in general medicine (Western medicine). Table 5 shows that those who perceived higher scores for personal factors (OR = 0.84, p = 0.05) and organizational factors (OR = 0.76, p < 0.01) attended fewer evidence-based programs. However, the results show that the higher the scores of policy and economic impediments were, the greater the number of evidence-based programs the GPs had attended (OR = 1.21, p = 0.03). In addition, compared with GPs in suburban areas, those from urban areas had attended more programs (OR = 1.45, p < 0.01). Additionally, compared with GPs practicing in Western medicine departments, GPs in prevention and healthcare departments (OR = 0.72, p = 0.03) and other departments (OR = 0.44, p < 0.01) had attended fewer evidence-based programs. Logistic regression of evidence-based practice and whether the GPs held the leadership position in the program (n = 892). Regarding whether the GPs had held leadership roles, the binary logistic regression indicated that GPs who had taken leadership roles perceived higher scores for policy and economic impeding factors (OR = 1.47, p = 0.01). As their age increased, the GPs were less likely to take leadership roles (OR = 0.94, p = 0.01). Additionally, those who were men (OR = 1.73, p = 0.02) and had a higher income (OR = 2.59, p < 0.01) were more likely to play a leadership role. Regarding the GPs' departments, those in prevention and healthcare departments (OR = 3.51, p < 0.01) were more likely to be responsible for evidence-based programs than those in general medicine (Western medicine). Characteristics of the Respondents: A total of 892 GPs, 50.9% of whom were women, responded to our survey. As shown in Table 2, the average age is 37.23 years. Most of them (77.7%) had a bachelor's degree. Most of the GPs in our study had mid-level (45.7%) and junior (46.6%) titles. Policy and economic factors were the most reported impediments, with an average value of 4.17, followed by external environmental factors, with an average value of 4.12. Personal and organizational factors had relatively lower average values of 3.99 and 3.82, respectively, which means that the barriers caused by these factors were lower than those of the policy and economic factors and external environmental factors on average. Moreover, as seen in Table 3, at the personal level, “not enough time” has the highest average score of 4.50, which means it is a moderate to the relatively large impediment. “Lack of decision-making authority” (mean = 4.23) scored second on the individual level. “Not enough staff assisted” had the highest score of 4.42 at the organizational level, followed by “not enough funding” (mean = 4.16) and “lack of access to evidence” (mean = 3.82). “Local residents' perception conflicts with evidence-based recommendations” (mean = 4.19) and “distrust of scientific data in the populations served” (mean = 4.14) received the highest scores at the external environmental level. “Not enough financial support from the government” (mean = 4.31) and “funding changes as political leadership changes” (mean = 4.26) received higher scores than “no existing policies to support evidence-based approaches” (mean = 4.13) and “policy climate conflicts with evidence-based recommendations” (mean = 4.07) at the policy and economic levels. Moreover, we found that 346 (38.8%) of the GPs had never undertaken or participated in any EBP program, while 148 (16.6%) had participated in four or more. Characteristics and perceived impeding factors of the respondents (n = 892). Scores of various contextual factors (n = 892). Participation in Evidence-Based Chronic Disease Programs: Table 4 indicates that the evidence-based programs in which the GPs participated were predominantly related to hypertension, diabetes, and cardiovascular disease. Approximately 60% of the practitioners had participated in diabetes evidence-based preventative interventions. However, the proportion of GPs in the leadership role was relatively low, between 0.8% (programs involving asthma prevention and control) and 5.0% (diabetes). We also found that programs related to maternal and child health (1.2%), student health (1.4%), and arthritis (1.0%) had fewer GPs serving in the leadership role. The number of evidence-based programs attended and roles in specific chronic disease fields (n = 892). Influencing Factors of EBPs and the Leadership Role in Programs: Table 5 shows that those who perceived higher scores for personal factors (OR = 0.84, p = 0.05) and organizational factors (OR = 0.76, p < 0.01) attended fewer evidence-based programs. However, the results show that the higher the scores of policy and economic impediments were, the greater the number of evidence-based programs the GPs had attended (OR = 1.21, p = 0.03). In addition, compared with GPs in suburban areas, those from urban areas had attended more programs (OR = 1.45, p < 0.01). Additionally, compared with GPs practicing in Western medicine departments, GPs in prevention and healthcare departments (OR = 0.72, p = 0.03) and other departments (OR = 0.44, p < 0.01) had attended fewer evidence-based programs. Logistic regression of evidence-based practice and whether the GPs held the leadership position in the program (n = 892). Regarding whether the GPs had held leadership roles, the binary logistic regression indicated that GPs who had taken leadership roles perceived higher scores for policy and economic impeding factors (OR = 1.47, p = 0.01). As their age increased, the GPs were less likely to take leadership roles (OR = 0.94, p = 0.01). Additionally, those who were men (OR = 1.73, p = 0.02) and had a higher income (OR = 2.59, p < 0.01) were more likely to play a leadership role. Regarding the GPs' departments, those in prevention and healthcare departments (OR = 3.51, p < 0.01) were more likely to be responsible for evidence-based programs than those in general medicine (Western medicine). Discussion: In our study, we found that GPs were the leaders in and participated in more evidence-based programs for preventing hypertension, diabetes, and cardiovascular disease. Comparatively, other diseases, such as asthma, arthritis, maternal and child health, and student health, have received less attention. The reason for this result may be related to disease prioritization, specifically in China. Although younger and older populations are both target populations, more attention is given to the more prevalent diseases of hypertension, diabetes, and cardiovascular disease (19, 20). Nevertheless, it cannot be denied that GPs should pay more attention to evidence-based programs for younger populations, as studies have also revealed that obesity and mental health are prevalent and increasing disease categories (21, 22). In our study, we also found that 38.8% of the GPs had not participated in any EBP program for chronic disease prevention. In the past two decades, organizations, such as the clinical epidemiology committee of the Chinese Medical Association and the Chinese Cochrane Center, have developed programs for advanced practitioners, such as GPs' utilization of evidence-based principles (23). However, EBPs have not been widely disseminated (24). Evidence-based practice is a relatively novel concept for most Chinese GPs, and they may not have studied them systematically (25). Additionally, compared with the United States and Australia, practitioners from China were found to know less about EBPs (17, 26). Although capacity-building programs for public health practitioners are widely conducted in developed countries, homogeneous programs are rather scarce in developing countries such as China (10, 17). In such a context, training programs are needed to improve GPs' capability of conducting evidence-based programs. In this investigation, training courses, lectures, and seminars were mentioned many times in the open-ended questions to raise individual evidence-based awareness of and build capabilities for EBPs. Regarding the impeding factors, we found that personal, organizational, political, and economic factors exerted a significant effect on the number of evidence-based programs that GPs had attended. Regarding personal factors, we found that GPs perceived a lack of decision-making authority and not having enough time as highly impeding subfactors. The reasons may be the following: (1) China's top-down tiered healthcare delivery system determines that GPs in primary healthcare systems do not have much decision-making authority in either clinical or population-based health interventions. When dealing with complicated and severe medical disorders, they need to refer patients to superior hospitals. When carrying out interventions in communities, GPs need to obtain permission from leaders and cooperation from community neighborhood committees before obtaining funding from the government (3, 27). (2) After the New Health Reform in 2009, the government paid increasing attention to CHCs, and GPs gradually became the main providers of primary care in cities (28). Outpatient and scientific research occupied most GPs' working hours, and many of them chronically lacked time (29). In our study, we found that organizational factors are also impediments to EBPs, and a lack of internal policy to ensure that interventions in the organization are evidence-based should be considered. GPs will not use evidence-based approaches or participate in any evidence-based programs if they are not encouraged or rewarded for doing so. A system should be developed to maintain GPs' motivation EBPs. “Not enough staff assisted” is another factor worth noting and coexists with “lack of time” at the personal level. The primary health system faces a critical shortage of qualified GPs due to various issues, such as insufficient training and less pay than specialists (3, 30). Widespread low job satisfaction and high occupational burnout among GPs have become challenges for the strengthening of China's primary healthcare system and exacerbated the shortage of CHC staffing (3, 31). Access to evidence is also worthy of attention. In China, most medical databases, such as the two largest Chinese medical databases, CNKI, and Wanfang Database, are not freely accessible to the public (25). GPs from large CHCs have better database permissions and can participate in more academic conferences (23). However, small CHCs in suburban areas do not have the funding to purchase expensive medical database access. To overcome this dilemma, systematic reviews and guidelines should be compiled and made available to GPs in local CHCs. Existing studies have indicated that improving certain organizational processes can facilitate EBPs and promote agency performance (12, 32). Administrative EBPs (A-EBPs), a set of core competencies for public health administrators, are agency-level structures and activities that are positively associated with performance measures (12, 32, 33). In developed countries, some capacity-building courses for chronic disease practitioners in the early stage tend to focus on the discovery and appraisal of evidence but place less emphasis on A-EBPs (34). Organizational factors may be more difficult to intervene in, but they sometimes cause greater impediments than individual capabilities (13, 35). Working atmosphere construction, workforce development, and access to evidence all follow leaders' understanding and appreciation of EBPs. Recently, a leadership competency framework was developed to support the curriculum aimed at leadership (36, 37). Predictably, in addition to training courses for chronic disease practitioners, leadership expertise building for both technique and management is critical for the promotion of EBPs. We found that the policy and economic factors significantly influenced both the number of evidence-based programs in which the GPs had participated and whether they had taken the leadership role. Additionally, these subfactors had the highest scores. Among them, “not enough financial support from government” had the highest score. Financial constraints are always impediments to EBP implementation (11, 25, 33, 34). In the context of a high incidence of chronic disease, a significant amount of funding is required to conduct evidence-based preventative interventions. Emphasis on research and the neglect of translation from research to practice have intensified the funding shortages in the practice of chronic disease prevention (11). The publication of studies is not the end of the disease prevention process (15), and it is necessary to communicate to policy makers what EBPs for chronic disease are, why they are important, and why funds for implementing preventative interventions are needed to complete the whole EBP process (11). However, it was interesting that GPs who had participated in fewer evidence-based programs were more likely to report personal and organizational factors, while GPs who had participated in more evidence-based programs and played a leadership role in the programs were more likely to consider policy and economic factors to be greater impediments. If personal and organizational factors, such as “lack of capacity to develop evidence-based interventions” and “lack of internal policy to ensure interventions are evidence-based”, were overcome, policy and economic impediments tend to become bottlenecks in GPs' implementation of EBPs. Compared with participating in evidence-based programs, whether the GPs had held a leadership role was more likely to be influenced by demographic characteristics. Male GPs, those with a higher monthly income, those from urban areas, and younger GPs, were more likely to have been in the leadership role in evidence-based programs. However, these factors have no significant influence on the number of evidence-based programs they had participated. Both the number of evidence-based programs and whether the GPs had held the leadership role differed between different departments. Compared with GPs from general medicine (Western medicine) departments, GPs from prevention and healthcare departments had participated in fewer EBP programs but were more likely to have taken the leadership role. Although GPs from prevention and healthcare departments dominated the evidence-based programs, the influence of the programs was limited, and the programs attracted fewer of these GPs than those from general medicine (Western medicine) departments. More resources need to be allocated to the prevention process to promote EBPs. The limitations of this study should be noted. First, Shanghai is located in China's economically developed region, and GPs' EBPs may therefore be better there than in the central and western regions of China. Second, the content of the questionnaire was mainly subjective, which may cause bias. Finally, all data were self-reported, and it was difficult to verify the accuracy. Conclusion: Evidence-based programs for chronic diseases should be extended to address the types of diseases encountered by GPs. Capacity-building courses are needed to help GPs find and translate evidence into practice in China. More resources should be allocated to GPs, especially those who are men, have a lower income, and live in suburban areas. GPs from prevention and healthcare departments should be given more opportunities to take leadership roles compared with those from Western medicine departments. Moreover, efforts should be made to overcome the difficulties of a lack of staff and insufficient time of GPs. Internal policy development and leadership expertise building should be accelerated to create an appropriate environment for EBPs. Policy and funding support is needed to facilitate the generation of more high-quality evidence and implementation of preventative interventions at the population level in the future. Data Availability Statement: The original contributions presented in the study are included in the article/supplementary material, further inquiries can be directed to the corresponding authors. Ethics Statement: The studies involving human participants were reviewed and approved by Tongji University (Ref: LL-2016-ZRKX-017). The patients/participants provided their written informed consent to participate in this study. Author Contributions: All authors made a significant contribution to the work-reported, whether that is in the conception, study design, execution, acquisition of data, analysis, and interpretation, or in all these areas, took part in drafting, revising, or critically reviewing the article, gave final approval of the version to be published, have agreed on the journal to which the article has been submitted, and agree to be accountable for all aspects of the work. Funding: The design of this study involving some previous investigation was supported by the Shanghai Excellent Young Talents Project in Health System (2018YQ52). Data extraction was funded by the Natural Science Foundation of China (71774116 and 71603182) and the Shanghai Public Health System Construction Three-Year Action Plan (GWV-10.1-XK15). The analysis and interpretation of the data guided by the statisticians were funded by grants from the National Key R&D Program of China (2018YFC2000700). The writing and revision, including the language improvement, were supported by Shanghai Pujiang Program (2019PJC072). Conflict of Interest: The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest. The reviewer YS declared a shared affiliation with some of the authors XGa, HJ, NC, YY, and JS to the handling editor at time of review. Publisher's Note: All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.
Background: The implementation of evidence-based approaches by general practitioners (GPs) is new in the primary care setting, and few quantitative studies have evaluated the impact of contextual factors on the attendance of these approaches. Methods: In total, 892 GPs from 75 community healthcare centers (CHCs) in Shanghai completed our survey. We used logistic regression to analyze factors affecting the number of evidence-based chronic disease programs attended by GPs and whether they had held the lead position in such a program. Results: A total of 346 (38.8%) of the practitioners had never participated in any evidence-based chronic disease prevention (EBCDP) program. The EBCDP interventions in which the GPs had participated were predominantly related to hypertension, diabetes, and cardiovascular disease. However, the proportion of GPs in the lead role was relatively low, between 0.8% (programs involving prevention and control of asthma) and 5.0% (diabetes). Organizational factors and areas were significantly associated with evidence-based practices (EBPs) of the GP, while monthly income and department were the most significantly related to GPs who have the lead role in a program. The results indicated that GPs who had taken the lead position had higher scores for policy and economic impeding factors. GPs who were men, had a higher income, and worked in prevention and healthcare departments and urban areas were more likely to take the lead position. Conclusions: Evidence-based programs for chronic diseases should be extended to different types of diseases. Personal, organizational, political, and economic factors and the factors of female sex, lower income, department type, and suburban area environment should be considered to facilitate the translation of evidence to practice.
Background: The emergence of chronic diseases is becoming a predominant global health challenge, and preventing and controlling chronic diseases have gradually become a long-term health policy project in many countries and are included in the Healthy China 2030 strategic plan (1). After China's New Health Reform of 2009, the government accelerated the construction of primary healthcare institutions and expanded the team of general practitioners (GPs) facing the pressure of an aging population, replacing the situation of secondary and tertiary hospitals taking the main role of both medical and prevention service provision (2–4). In China, primary healthcare institutions consisted of community healthcare centers (CHCs) in cities, township health centers in countries, and village clinics in villages, which covered 55% of outpatient care (4.4 billion visits) in 2016 (3). Among them, the CHCs in cities have developed the fastest and contain a sound structure, usually with departments, such as Western medicine, traditional Chinese medicine, and preventive healthcare. Usually, in large cities, such as Shanghai, CHCs provide services for the local residents, ranging in number from ~50,000 to 150,000 (3). Usually, CHCs take the responsibility of preventative healthcare instead of larger hospitals, as the New Health Policy requires (4, 5). However, the efficiency of preventative healthcare is still not optimal among CHCs and other primary care institutions in China (3). Existing studies have indicated that population-based preventative interventions through the application of scientific evidence can significantly increase work efficiency (6, 7). For instance, Kennedy et al. enrolled 314 children in an intervention group and 276 children in a control group in a study that assessed the existing evidence of risk factors for asthma and effective interventions to reduce asthma morbidity in vulnerable populations. After 12 months of the Community Healthcare for Asthma Management and Prevention of Symptoms (CHAMPS) intervention [creating safe sleeping zones, removing cockroaches, and rodents in the home (8)], the symptomatic asthma days of the children in the intervention group were significantly reduced compared with those of the control group (9). The successful translation of asthma evidence to intervention practice has reduced the morbidity of asthma and increased work efficiency. In recent years, evidence-based practices (EBPs) for chronic disease prevention have been increasingly encouraged among health practitioners (10). In Western countries, studies on impediments to EBPs related to chronic diseases have been conducted in state and local health departments to facilitate EBPs of the public health practitioners (11, 12). Jacobs et al. investigated the extent to which personal and organizational factors impeded evidence-based decision-making and found that experts were considered the largest personal barrier and that incentives, funding, and legislation were considered the greatest organizational barriers (13). Regarding external environmental and policy factors, research by Dodson et al. suggested that a lack of training, time, and funds were the main barriers to the use of evidence-based methods, and political, structural, and management challenges were the secondary barriers (11). Furtado et al. explored the political contextual factors that impact the implementation of evidence-based chronic disease prevention (EBCDP) (14). However, the existing research on the influencing factors has mostly been qualitative, and few quantitative studies have comprehensively examined the impeding factors, namely, at the personal, organizational, external environmental, policy, and economic levels, to thoroughly understand the crucial reasons for resistance. In China, EBPs have not been widely promoted among GPs in local CHCs, who play a primary role in chronic disease prevention and control (2), and little is known regarding the implementation of EBPs and the factors impeding it (14–16). In this study, we conducted a quantitative investigation to assess the EBPs of GPs that include the number of evidence-based programs they had participated in and the role they played in such programs. Additionally, we examined the possible comprehensive impeding factors for EBPs to emphasize measures to promote EBP implementation. Conclusion: Evidence-based programs for chronic diseases should be extended to address the types of diseases encountered by GPs. Capacity-building courses are needed to help GPs find and translate evidence into practice in China. More resources should be allocated to GPs, especially those who are men, have a lower income, and live in suburban areas. GPs from prevention and healthcare departments should be given more opportunities to take leadership roles compared with those from Western medicine departments. Moreover, efforts should be made to overcome the difficulties of a lack of staff and insufficient time of GPs. Internal policy development and leadership expertise building should be accelerated to create an appropriate environment for EBPs. Policy and funding support is needed to facilitate the generation of more high-quality evidence and implementation of preventative interventions at the population level in the future.
Background: The implementation of evidence-based approaches by general practitioners (GPs) is new in the primary care setting, and few quantitative studies have evaluated the impact of contextual factors on the attendance of these approaches. Methods: In total, 892 GPs from 75 community healthcare centers (CHCs) in Shanghai completed our survey. We used logistic regression to analyze factors affecting the number of evidence-based chronic disease programs attended by GPs and whether they had held the lead position in such a program. Results: A total of 346 (38.8%) of the practitioners had never participated in any evidence-based chronic disease prevention (EBCDP) program. The EBCDP interventions in which the GPs had participated were predominantly related to hypertension, diabetes, and cardiovascular disease. However, the proportion of GPs in the lead role was relatively low, between 0.8% (programs involving prevention and control of asthma) and 5.0% (diabetes). Organizational factors and areas were significantly associated with evidence-based practices (EBPs) of the GP, while monthly income and department were the most significantly related to GPs who have the lead role in a program. The results indicated that GPs who had taken the lead position had higher scores for policy and economic impeding factors. GPs who were men, had a higher income, and worked in prevention and healthcare departments and urban areas were more likely to take the lead position. Conclusions: Evidence-based programs for chronic diseases should be extended to different types of diseases. Personal, organizational, political, and economic factors and the factors of female sex, lower income, department type, and suburban area environment should be considered to facilitate the translation of evidence to practice.
11,555
331
[ 766, 89, 191, 1347, 124, 194, 350, 102, 417, 134, 324, 35, 87 ]
21
[ "evidence", "programs", "gps", "based", "evidence based", "factors", "chronic", "leadership", "role", "disease" ]
[ "china medical databases", "practitioners china", "shanghai public health", "care institutions china", "china tiered healthcare" ]
null
[CONTENT] evidence-based practice (EBP) | chronic disease | general practitioners | primary care (MeSH) | preventative interventions [SUMMARY]
null
[CONTENT] evidence-based practice (EBP) | chronic disease | general practitioners | primary care (MeSH) | preventative interventions [SUMMARY]
[CONTENT] evidence-based practice (EBP) | chronic disease | general practitioners | primary care (MeSH) | preventative interventions [SUMMARY]
[CONTENT] evidence-based practice (EBP) | chronic disease | general practitioners | primary care (MeSH) | preventative interventions [SUMMARY]
[CONTENT] evidence-based practice (EBP) | chronic disease | general practitioners | primary care (MeSH) | preventative interventions [SUMMARY]
[CONTENT] China | Chronic Disease | Female | General Practitioners | Humans | Male | Primary Health Care [SUMMARY]
null
[CONTENT] China | Chronic Disease | Female | General Practitioners | Humans | Male | Primary Health Care [SUMMARY]
[CONTENT] China | Chronic Disease | Female | General Practitioners | Humans | Male | Primary Health Care [SUMMARY]
[CONTENT] China | Chronic Disease | Female | General Practitioners | Humans | Male | Primary Health Care [SUMMARY]
[CONTENT] China | Chronic Disease | Female | General Practitioners | Humans | Male | Primary Health Care [SUMMARY]
[CONTENT] china medical databases | practitioners china | shanghai public health | care institutions china | china tiered healthcare [SUMMARY]
null
[CONTENT] china medical databases | practitioners china | shanghai public health | care institutions china | china tiered healthcare [SUMMARY]
[CONTENT] china medical databases | practitioners china | shanghai public health | care institutions china | china tiered healthcare [SUMMARY]
[CONTENT] china medical databases | practitioners china | shanghai public health | care institutions china | china tiered healthcare [SUMMARY]
[CONTENT] china medical databases | practitioners china | shanghai public health | care institutions china | china tiered healthcare [SUMMARY]
[CONTENT] evidence | programs | gps | based | evidence based | factors | chronic | leadership | role | disease [SUMMARY]
null
[CONTENT] evidence | programs | gps | based | evidence based | factors | chronic | leadership | role | disease [SUMMARY]
[CONTENT] evidence | programs | gps | based | evidence based | factors | chronic | leadership | role | disease [SUMMARY]
[CONTENT] evidence | programs | gps | based | evidence based | factors | chronic | leadership | role | disease [SUMMARY]
[CONTENT] evidence | programs | gps | based | evidence based | factors | chronic | leadership | role | disease [SUMMARY]
[CONTENT] health | ebps | asthma | group | factors | healthcare | china | chcs | primary | evidence [SUMMARY]
null
[CONTENT] gps | 01 | factors | mean | evidence | average | based | evidence based | programs | scores [SUMMARY]
[CONTENT] gps | needed | building | evidence | diseases | departments | policy | areas gps | level future | areas gps prevention [SUMMARY]
[CONTENT] gps | programs | evidence | based | evidence based | factors | chronic | leadership | disease | evidence based programs [SUMMARY]
[CONTENT] gps | programs | evidence | based | evidence based | factors | chronic | leadership | disease | evidence based programs [SUMMARY]
[CONTENT] [SUMMARY]
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[CONTENT] 346 | 38.8% ||| ||| between 0.8% | 5.0% ||| GP | monthly ||| ||| [SUMMARY]
[CONTENT] ||| [SUMMARY]
[CONTENT] ||| 892 | 75 | Shanghai ||| ||| 346 | 38.8% ||| ||| between 0.8% | 5.0% ||| GP | monthly ||| ||| ||| ||| [SUMMARY]
[CONTENT] ||| 892 | 75 | Shanghai ||| ||| 346 | 38.8% ||| ||| between 0.8% | 5.0% ||| GP | monthly ||| ||| ||| ||| [SUMMARY]
Risk factors of coronary heart disease among medical students in King Abdulaziz University, Jeddah, Saudi Arabia.
24775684
Nowadays, Cardiovascular Diseases (CVDs) represents an escalating worldwide public health problem. Providing consistent data on the magnitude and risk factors of CVDs among young population will help in controlling the risks and avoiding their consequences.
BACKGROUND
A cross-sectional study was done during the educational year 2012-2013 at King Abdulaziz University (KAU), Jeddah. Ethical standards were followed and a multistage stratified random sample method was used for selection of 214 medical students. Data was collected through an interviewing questionnaire, measurements and laboratory investigations. Both descriptive and analytical statistics were done by SPSS version 21. CHD risk percent in thirty years was calculated using Framingham algorithm for each student, then the risk among all students was determined.
METHODS
The commonest risk factors of CHDs were daily intake of high fat diet (73.4%), physical inactivity (57.9%), overweight/or obesity (31.2%) and daily consumption of fast food (13.1%). Hyper-cholesterolemia (17.2%) and hypertension (9.3%) were also prevalent risk factors. Smoking prevalence was low (2.8%). Males had significantly higher mean scores for most of CHD risk factors compared to females (p < 0.05). Systolic Blood pressure was higher among males (119.47 ± 11.17) compared to females (112.26 ± 9.06). A highly statistical significant difference was present (Students't test = 4.74, p < 0.001). Framingham Risk Score revealed that CHD risk percent in thirty-years among all students was 10.7%, 2.3% and 0.5% for mild, moderate and severe risk, respectively.
RESULTS
An alarmingly high prevalence of CHD risk factors was prevailed among medical students, especially among males. However, a low prevalence of smoking may indicate the success of "Smoke-free Campus" program. Screening risk factors of CHD among medical students and implementation of intervention programs are recommended. Programs to raise awareness about CHD risk factors, encourage young adult students to adopt a healthy dietary behavior and promote physical exercise should be initiated.
CONCLUSION
[ "Adult", "Blood Pressure", "Coronary Disease", "Cross-Sectional Studies", "Female", "Health Behavior", "Humans", "Male", "Risk Factors", "Saudi Arabia", "Sex Factors", "Smoking", "Students, Medical", "Surveys and Questionnaires", "Universities" ]
4036426
Background
Non-Communicable Diseases (NCDs) are on continuous rise worldwide [1]. Furthermore, developing countries is experiencing a double burden of diseases; both Communicable Diseases (CDs) and NCDs [2]. It is estimated that in the developing countries NCDs will account for seven of each ten deaths by the year 2020. Among NCDs, Cardiovascular Diseases (CVDs) are the leading cause of morbidity, disability and mortality worldwide [1]. The global rise in CVDs is driven by both urbanization and its related lifestyle modifications [3]. The Kingdom of Saudi Arabia (KSA) is experiencing an alarming rising in incidence and death rates from CVDs [3-5]. A study done in the Eastern region of KSA revealed that 26% of total deaths were attributed to CVDs (27% of deaths of males and 23.5% of females) [5]. It is expected that the burden of CVDs will continue to grow in KSA due to continuous exposure to risk factors. This increase is also considering the young population; as about 60% of the Saudi population was less than 30 years [4]. Coronary Heart Disease (CHD) is the commonest cause of death from CVDs. In addition, it is one of the leading causes of disease burden [5]. Identification of risk factors contributing to the incidence of CHD is one of the major achievements of epidemiology in the 20th century [6] Smoking, hypertension, diabetes mellitus, high dietary fat intake, and lack of physical exercise have been documented as independent risk factors for the development of CHD [7]. Risk factor profiles in young adulthood (18–24 years) strongly predict long-term CHD risk [8]. Understanding the magnitude and types of CHD risk factors among young adults is an important aspect in establishing targeted intervention, before disease progression occurs, through promoting lifestyle changes [7,8]. Despite these evidences, risk assessment and disease prevention efforts are lacking in this age group. Most of young adults are not screened and are not aware of their CHD risk. This leads to underestimation of the risk in spite of its high prevalence [8]. Hence, the prevalence of CHD risk factors of among young adults needs to be urgently addressed. Risk prediction algorithms have been used to detect persons at high risk for developing CVD and to pick individuals who need intensive preventive interventions. Framingham-based equations have been the most extensively used equations for clinical practice guidelines [9]. Despite these facts, limited number of studies has been conducted on estimating the prevalence of CHD risk factors among young adults in Saudi Arabia [7]. There is also lack of studies using the Framingham algorithm for CHD risk assessment. Furthermore, the American Heart Association’s 2013 recommended that screenings should include assessment of all CHD risk factors including lifestyle habits (diet, exercise, and smoking), blood pressure, glucose, and Body Mass Index (BMI) in addition to the traditional lipid panel [10]. However, most of the conducted studies in the Saudi Arabia lacked of some of the recommended items [7]. In addition, scanty studies conducted for CHD risk assessment among medical students in Jeddah. So, such studies are urgently needed. The objective of the current study was to estimate the prevalence of risk factors of Coronary Heart Diseases among medical students, during their clinical clerkship years, at King Abdulaziz University (KAU), Jeddah.
Methods
“Ethical statement: the study was approved by the Institutional Review Board (IRB) of the King Abdulaziz University Hospital (KAUH). The whole study was conformed to the ethical standards of the Helsinki Declaration”. A written consent was taken from each participant upon his/her acceptance to participate in the study. In addition all administrative approvals were taken. A cross-sectional study was done during the Fifth Year Survey Elective Module of the Family and Community Medicine in the educational year 2012/2013. The study population was the medical students enrolled in their clinical clerkship years (4th - 6th) in King Abdulaziz University (KAU). A multistage stratified random sample method was used. A sample frame was constructed and contained information on the stratification variables according to gender and grade of medical students target population. The first stratification phase was done according to gender. Then the second stratification phase was done according to their grades. The male and female leaders of each of the three grades invited and encouraged students to participate in the study. Among the selected subjects, the response rate was about 60%, with a higher response rate among females compared to males. The cause of this low response rate may be because the study included taking of a fasting blood sample from participants. The sample size was calculated using the following formula [11]: “ n = z 2 × p × q d 2 ” n: the minimum sample size, z = constant (1.96), p is the prevalence of CVDs risk factors, q = (1-p), Z is the standard normal deviation of 1.96 which correspond to the 95% confidence interval and d is the desired degree of accuracy. As the exact prevalence of CVDs risk factors among young adults in Jeddah is unknown, so, the prevalence (p) = (q) was considered 50% (the most conservative assumption) and d was set at 0.05 to tolerate a 5% error. The calculated sample size was 196 students and it was increased during the field work to reach 214 for stratification purpose. Each student accepted to participate in the study and signed the written informed consent was requested to come to the General Clinic of KAUH, fasting for at least 12 hours, on the next day. Data was collected through data collection sheet included I. Questionnaire: An anonymous, confidential and self-administered questionnaire was used to collect: ➣Personal and socio-demographic characteristics (gender, educational year, family income and parents’ education and job). ➣History of use of drug for treatment of a chronic condition. ➣Risk factors of CHD as nutritional factors (frequency of eating foods rich in saturated fat or fast foods, frequency of eating vegetables and fruits/week), smoking habits, physical activity (regular practice of physical exercise, number of times/week and the duration of practice), time spending in TV watching or using computer. II. Measurements: After completing the questionnaire, measurements were taken as described by D’Agostino, et al., 2008 [12] and included: ➣Weight and height: both were obtained from a lightly clothed student. ➣Blood pressure (BP) measurement: It was done while the student in the sitting position after 4 minute of rest. Systolic and diastolic blood pressure was identified at the beginning of the first and the fifth phase of the Korotkoff sounds using a mercury sphygmomanometer applying the appropriate cuff on the right arm [12]. III. Laboratory investigations: Blood sample was obtained from each participant from the antecubital vein after 12 hours of fasting. It was taken from the antecubital vein while the student in the sitting position. The biochemical evaluation was performed in the laboratory of KAUH and following the criteria of the World Health Organization Lipid Reference Laboratories. Upon arrival, the samples were centrifuged to obtain the plasma Levels of total cholesterol (TC), glucose and triglycerides (TG). They were measured by a chromatometric enzymatic method [12]. I. Questionnaire: An anonymous, confidential and self-administered questionnaire was used to collect: ➣Personal and socio-demographic characteristics (gender, educational year, family income and parents’ education and job). ➣History of use of drug for treatment of a chronic condition. ➣Risk factors of CHD as nutritional factors (frequency of eating foods rich in saturated fat or fast foods, frequency of eating vegetables and fruits/week), smoking habits, physical activity (regular practice of physical exercise, number of times/week and the duration of practice), time spending in TV watching or using computer. II. Measurements: After completing the questionnaire, measurements were taken as described by D’Agostino, et al., 2008 [12] and included: ➣Weight and height: both were obtained from a lightly clothed student. ➣Blood pressure (BP) measurement: It was done while the student in the sitting position after 4 minute of rest. Systolic and diastolic blood pressure was identified at the beginning of the first and the fifth phase of the Korotkoff sounds using a mercury sphygmomanometer applying the appropriate cuff on the right arm [12]. III. Laboratory investigations: Blood sample was obtained from each participant from the antecubital vein after 12 hours of fasting. It was taken from the antecubital vein while the student in the sitting position. The biochemical evaluation was performed in the laboratory of KAUH and following the criteria of the World Health Organization Lipid Reference Laboratories. Upon arrival, the samples were centrifuged to obtain the plasma Levels of total cholesterol (TC), glucose and triglycerides (TG). They were measured by a chromatometric enzymatic method [12]. Statistical analysis Data was coded and analyzed using Statistical package for Social Science (SPSS) version 21 (SPSS Inc, Chicago, Ill., USA). The following statistical calculations were done to classify: ➣Body Mass Index (BMI): it was calculated by dividing weight in kilograms by the square of height in meters. BMI was then divided into normal (< 25), overweight (25 - < 30), and obese (≥ 30) [13]. ➣Hypertension: classification was based on the recommendations of “The Seventh Report of the Joint National Committee on Prevention, Detection, Evaluation and Treatment of High Blood Pressure (JNC-7). It was defined as Systolic Blood Pressure (SBP) >/=140 mmHg and/or Diastolic Blood Pressure (DBP) >/=90 or concurrent use of antihypertensive agents” [14]. ➣Fasting plasma glucose was classified according to the WHO classification into: 1. Normal fasting blood sugar: level plasma glucose is < 110mg/dl. 2. Impaired fasting glucose (IFG) and hyperglycemia: fasting blood glucose is ≥ 110 mg/dl or history of treatment from diabetes [14]. ➣Dyslipidemias were defined according to the USA National Cholesterol Education Program (NCEP) criteria high in Low Density Lipoprotein (LDL) cholesterol as 130 mg%, hyper-tyriglyceridemia as 150 mg/dl and low in High Density Lipoprotein (HDL) cholesterol as < 40 mg/dl in males and < 50 mg/dl in females. High total cholesterol: HDL ratio was defined as > 4.5 [15,16]. The CHD full risk percent in thirty years was calculated using the Framingham’s algorithm based on BMI. The calculation of CHD was not done according to lipid profile as there were some missed cases in the triglycerides analysis. CHD risk assessment data of each student (sex, age, SBP, use of antihypertensive treatment, smoking, diabetes mellitus, BMI) was entered separately, case by case, on the web-site excel sheet using the calculator of the Framingham algorithm which developed according to Pencina and D’Agostino, 2009 [6]. Then the estimated risks of each subject entered into the SPSS data file. CHD risk of all subjects was calculated by SPSS. Stratified analysis was used to compare between risk among males and females. The 30-year risk model offered excellent discrimination (cross-validated C statistic 0.803; 95% CI, 0.786 to 0.820; internally validated C statistic 0.802; 95% CI, 0.772 to 0.832) and calibration [9]. The Framingham Risk Score has been validated in the USA, both in men and women, both in European Americans and African American. While several studies have claimed to improve the score, there is little evidence for any improved prediction beyond Framingham risk score. Based on this Score, subjects were stratified in 5 risk classes (< 5% low-risk; 5- < 10% mild-risk; 10- < 20% moderate-risk; 20- < 40% high-risk; > = 40% very high-risk)” [6]. Descriptive and analytical statistics were conducted. Chi-square test was used for comparison between two categorical variables. Student’s test was performed to compare between two independent means. A “p < 0.05” was considered statistically significant. Data was coded and analyzed using Statistical package for Social Science (SPSS) version 21 (SPSS Inc, Chicago, Ill., USA). The following statistical calculations were done to classify: ➣Body Mass Index (BMI): it was calculated by dividing weight in kilograms by the square of height in meters. BMI was then divided into normal (< 25), overweight (25 - < 30), and obese (≥ 30) [13]. ➣Hypertension: classification was based on the recommendations of “The Seventh Report of the Joint National Committee on Prevention, Detection, Evaluation and Treatment of High Blood Pressure (JNC-7). It was defined as Systolic Blood Pressure (SBP) >/=140 mmHg and/or Diastolic Blood Pressure (DBP) >/=90 or concurrent use of antihypertensive agents” [14]. ➣Fasting plasma glucose was classified according to the WHO classification into: 1. Normal fasting blood sugar: level plasma glucose is < 110mg/dl. 2. Impaired fasting glucose (IFG) and hyperglycemia: fasting blood glucose is ≥ 110 mg/dl or history of treatment from diabetes [14]. ➣Dyslipidemias were defined according to the USA National Cholesterol Education Program (NCEP) criteria high in Low Density Lipoprotein (LDL) cholesterol as 130 mg%, hyper-tyriglyceridemia as 150 mg/dl and low in High Density Lipoprotein (HDL) cholesterol as < 40 mg/dl in males and < 50 mg/dl in females. High total cholesterol: HDL ratio was defined as > 4.5 [15,16]. The CHD full risk percent in thirty years was calculated using the Framingham’s algorithm based on BMI. The calculation of CHD was not done according to lipid profile as there were some missed cases in the triglycerides analysis. CHD risk assessment data of each student (sex, age, SBP, use of antihypertensive treatment, smoking, diabetes mellitus, BMI) was entered separately, case by case, on the web-site excel sheet using the calculator of the Framingham algorithm which developed according to Pencina and D’Agostino, 2009 [6]. Then the estimated risks of each subject entered into the SPSS data file. CHD risk of all subjects was calculated by SPSS. Stratified analysis was used to compare between risk among males and females. The 30-year risk model offered excellent discrimination (cross-validated C statistic 0.803; 95% CI, 0.786 to 0.820; internally validated C statistic 0.802; 95% CI, 0.772 to 0.832) and calibration [9]. The Framingham Risk Score has been validated in the USA, both in men and women, both in European Americans and African American. While several studies have claimed to improve the score, there is little evidence for any improved prediction beyond Framingham risk score. Based on this Score, subjects were stratified in 5 risk classes (< 5% low-risk; 5- < 10% mild-risk; 10- < 20% moderate-risk; 20- < 40% high-risk; > = 40% very high-risk)” [6]. Descriptive and analytical statistics were conducted. Chi-square test was used for comparison between two categorical variables. Student’s test was performed to compare between two independent means. A “p < 0.05” was considered statistically significant.
Results
The study population was composed of 214 medical students whose age ranged from 20–28 years with a mean of 20.09 ± 1.0. Table 1 shows personal and socio-demographic characteristics of medical students enrolled in the study. Females represented about three-quarters (75.2 (% of the sample. Regarding the educational year, 35.5%, 39.3% and 25.2% of students were enrolled in the fourth, fifth and sixth year, respectively. Concerning family income, 83.5% earn more than 10,000 Saudi Riyals. About two-thirds (69.6%) of students’ fathers and 60.7% of mothers have a university degree and above. “Personal and socio-demographic” data of the sample medical students *2 students refused to answer about their family income. Concerning past history of diseases, 8.9%, 8.4% and 0.5% of medical students reported having hypercholesterolemia, hypertension, and diabetes, respectively. The prevalence of habitual risk factors is illustrated in Table 2. It is apparent from the table that 57.9% of medical students do not practice physical exercise. Daily eating of food rich in fat and fast food is prevalent among 73.4% and13.1% of students, respectively. On the other hand, about three-quarters (76.6%) and two-fifths (38.3%) of students eat fruits and vegetables weekly. Furthermore, more than half (53.2%) of the students use computers more than 14 hours per week while 10.7% watched TV for the same duration weekly. Only a small percentage of students (2.8%) reported being current smokers. “Coronary Heat Diseases risk factors” among medical students according to their habits Table 3 demonstrates prevalence of CHD risk factors among medical students according to measurements and laboratory results. About one-third of students (31.8%) weighed above the normal; 19.1% are overweight and 12.7% are obese. Hypercholesterolemia was detected among 17.2% and a similar percentage of students (16.0%) had a high level of LDL. The prevalence of hypertension according to JNC-7 classification was 9.3%; 3.7% and 7.9% of students had high systolic and diastolic blood pressure, respectively. About 97.9% of students had normal fasting blood glucose level, while 2.1% had high fasting blood glucose level (Impaired fasting glucose and hyperglycemia). Coronary heart diseases risk factors among medical students according to measurements and laboratory investigations *26 missed cases for fasting blood sugar. **22 missed cases for triglycerides. Figure 1 demonstrates that males have higher rates of overweight and obesity compared to females. It is apparent from the figure that only about one-half (52.8%) of males had normal weight, while 28.3% and 18.9% were overweight and obese, respectively. The corresponding rates for females were 16.2% and 10.6%, respectively. A statistical significant difference was present (X 2  = 7.54, p < 0.01). Relationship between gender and Body Mass Index among clinical years medical student in King Abdul-Aziz University. Analysis of our results shows that the prevalence of hypertension was much higher among males (20.8%) compared to females (5.8%). A highly statistical significant difference was present (X 2  = 10.82, p < 0.01). Table 4 shows that that male students had higher mean levels of most of measurements compared to females. The calculated mean of BMI for males (26.27 ± 6.10) was higher than that of the females (23.30 ± 4.631). A highly statistical significant difference was found (Student’s t- test =3.72, p < 0.001). The mean of SBP, DBP, TGs, total: HDL cholesterol were also higher among males compared to females. Highly statistical significant differences were present. On the other hand, the mean of protective HDL in mmol/l was higher for females (1.60 ± 0.40) compared to males (1.23 ± 0.29). The results also showed that 18.5% of males and 14.0% of females had low HDL below the cutoff values for both genders. Comparison of means of anthropometric and laboratory parameters among male and female medical students Using Framingham algorithm revealed that CHD risk stratified lifetime full risk percent in thirty years based on BMI among total students was 10.7%, 2.3% and 0.5% for mild, moderate and severe risk, respectively. It is much higher among males compared to females (moderate and severe risk among males was 9.4% and 1.9%, respectively) (Table 5). Framingham stratified lifetime risk Score percent of Coronary Heart Diseases in thirty years among medical students in King Abdulaziz University
Conclusion
An alarmingly high prevalence of different CHD risk factors revealed among medical students in King Abdulaziz University in the current study. Males had a worse risk factor profile (BMI, triglycerides, HDL cholesterol, total: HDL cholesterol, SBP, and DBP) compared to females (p < 0.05). Among the study population, the commonest risk factors of CHDs were daily intake of high fat diet (73.4%), physical inactivity (57.9%), overweight/or obesity (31.2%) and daily consumption of fast food (13.1%). Hyper-cholesterolemia (17.2%) and hypertension (9.3%) were also prevalent risk factors. Using Framingham Risk Score revealed that CHD risk percent in thirty years among all students was 10.7%, 2.3% and 0.5% for mild, moderate and severe risk, respectively. It is much higher among males compared to females. Implementation of multi-factorial CHD risk screening among Saudi medical students and young adults, and application of intervention programs for those at higher risk is highly recommended. Educational programs to raise health awareness of medical students about CHD risk factors and to encourage them to adopt a healthy dietary behavior, promote physical exercise and smoking cessation should be initiated. Promotion of healthy active lifestyle and prevention of obesity should be a health priority. Implementing surveillance activities to monitors CHD risk factors and determinants among medical students and young adults and to identify the morbidity and mortality from CHD is recommended. Implement medical schools interventions including through regulatory and legislative actions, for the CHD related risk factors as tobacco use, unhealthy diet, lack of physical activity is also required. Further researches involving adults inside and outside the medical schools need to be done to evaluate the effect of knowledge on behavioral CHD risk factors and for better understanding of this preventable epidemic. Limitations of the study The number of females was higher than the number of males as the acceptance rate among females was higher than males. Some of the finding like smoking, BMI and blood tests may be affected. There is a limitation of applying Framingham risk score for non-western population, young population and weather the risk score was previously standardized to be used for Saudi population. On the other hand, although several studies have claimed to improve on the Framingham risk score, there is little evidence for any improved prediction beyond this score. The number of females was higher than the number of males as the acceptance rate among females was higher than males. Some of the finding like smoking, BMI and blood tests may be affected. There is a limitation of applying Framingham risk score for non-western population, young population and weather the risk score was previously standardized to be used for Saudi population. On the other hand, although several studies have claimed to improve on the Framingham risk score, there is little evidence for any improved prediction beyond this score.
[ "Background", "Data was collected through data collection sheet included", "Statistical analysis", "Limitations of the study", "Abbreviations", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "Non-Communicable Diseases (NCDs) are on continuous rise worldwide [1]. Furthermore, developing countries is experiencing a double burden of diseases; both Communicable Diseases (CDs) and NCDs [2]. It is estimated that in the developing countries NCDs will account for seven of each ten deaths by the year 2020. Among NCDs, Cardiovascular Diseases (CVDs) are the leading cause of morbidity, disability and mortality worldwide [1].\nThe global rise in CVDs is driven by both urbanization and its related lifestyle modifications [3]. The Kingdom of Saudi Arabia (KSA) is experiencing an alarming rising in incidence and death rates from CVDs [3-5]. A study done in the Eastern region of KSA revealed that 26% of total deaths were attributed to CVDs (27% of deaths of males and 23.5% of females) [5]. It is expected that the burden of CVDs will continue to grow in KSA due to continuous exposure to risk factors. This increase is also considering the young population; as about 60% of the Saudi population was less than 30 years [4].\nCoronary Heart Disease (CHD) is the commonest cause of death from CVDs. In addition, it is one of the leading causes of disease burden [5]. Identification of risk factors contributing to the incidence of CHD is one of the major achievements of epidemiology in the 20th century [6] Smoking, hypertension, diabetes mellitus, high dietary fat intake, and lack of physical exercise have been documented as independent risk factors for the development of CHD [7].\nRisk factor profiles in young adulthood (18–24 years) strongly predict long-term CHD risk [8]. Understanding the magnitude and types of CHD risk factors among young adults is an important aspect in establishing targeted intervention, before disease progression occurs, through promoting lifestyle changes [7,8]. Despite these evidences, risk assessment and disease prevention efforts are lacking in this age group. Most of young adults are not screened and are not aware of their CHD risk. This leads to underestimation of the risk in spite of its high prevalence [8]. Hence, the prevalence of CHD risk factors of among young adults needs to be urgently addressed. Risk prediction algorithms have been used to detect persons at high risk for developing CVD and to pick individuals who need intensive preventive interventions. Framingham-based equations have been the most extensively used equations for clinical practice guidelines [9]. Despite these facts, limited number of studies has been conducted on estimating the prevalence of CHD risk factors among young adults in Saudi Arabia [7]. There is also lack of studies using the Framingham algorithm for CHD risk assessment. Furthermore, the American Heart Association’s 2013 recommended that screenings should include assessment of all CHD risk factors including lifestyle habits (diet, exercise, and smoking), blood pressure, glucose, and Body Mass Index (BMI) in addition to the traditional lipid panel [10]. However, most of the conducted studies in the Saudi Arabia lacked of some of the recommended items [7]. In addition, scanty studies conducted for CHD risk assessment among medical students in Jeddah. So, such studies are urgently needed.\nThe objective of the current study was to estimate the prevalence of risk factors of Coronary Heart Diseases among medical students, during their clinical clerkship years, at King Abdulaziz University (KAU), Jeddah.", "I. Questionnaire: An anonymous, confidential and self-administered questionnaire was used to collect:\n➣Personal and socio-demographic characteristics (gender, educational year, family income and parents’ education and job).\n➣History of use of drug for treatment of a chronic condition.\n➣Risk factors of CHD as nutritional factors (frequency of eating foods rich in saturated fat or fast foods, frequency of eating vegetables and fruits/week), smoking habits, physical activity (regular practice of physical exercise, number of times/week and the duration of practice), time spending in TV watching or using computer.\nII. Measurements: After completing the questionnaire, measurements were taken as described by D’Agostino, et al., 2008 [12] and included:\n➣Weight and height: both were obtained from a lightly clothed student.\n➣Blood pressure (BP) measurement: It was done while the student in the sitting position after 4 minute of rest. Systolic and diastolic blood pressure was identified at the beginning of the first and the fifth phase of the Korotkoff sounds using a mercury sphygmomanometer applying the appropriate cuff on the right arm [12].\nIII. Laboratory investigations: Blood sample was obtained from each participant from the antecubital vein after 12 hours of fasting. It was taken from the antecubital vein while the student in the sitting position. The biochemical evaluation was performed in the laboratory of KAUH and following the criteria of the World Health Organization Lipid Reference Laboratories. Upon arrival, the samples were centrifuged to obtain the plasma Levels of total cholesterol (TC), glucose and triglycerides (TG). They were measured by a chromatometric enzymatic method [12].", "Data was coded and analyzed using Statistical package for Social Science (SPSS) version 21 (SPSS Inc, Chicago, Ill., USA). The following statistical calculations were done to classify:\n➣Body Mass Index (BMI): it was calculated by dividing weight in kilograms by the square of height in meters. BMI was then divided into normal (< 25), overweight (25 - < 30), and obese (≥ 30) [13].\n➣Hypertension: classification was based on the recommendations of “The Seventh Report of the Joint National Committee on Prevention, Detection, Evaluation and Treatment of High Blood Pressure (JNC-7). It was defined as Systolic Blood Pressure (SBP) >/=140 mmHg and/or Diastolic Blood Pressure (DBP) >/=90 or concurrent use of antihypertensive agents” [14].\n➣Fasting plasma glucose was classified according to the WHO classification into:\n1. Normal fasting blood sugar: level plasma glucose is < 110mg/dl.\n2. Impaired fasting glucose (IFG) and hyperglycemia: fasting blood glucose is ≥ 110 mg/dl or history of treatment from diabetes [14].\n➣Dyslipidemias were defined according to the USA National Cholesterol Education Program (NCEP) criteria high in Low Density Lipoprotein (LDL) cholesterol as 130 mg%, hyper-tyriglyceridemia as 150 mg/dl and low in High Density Lipoprotein (HDL) cholesterol as < 40 mg/dl in males and < 50 mg/dl in females. High total cholesterol: HDL ratio was defined as > 4.5 [15,16].\nThe CHD full risk percent in thirty years was calculated using the Framingham’s algorithm based on BMI. The calculation of CHD was not done according to lipid profile as there were some missed cases in the triglycerides analysis. CHD risk assessment data of each student (sex, age, SBP, use of antihypertensive treatment, smoking, diabetes mellitus, BMI) was entered separately, case by case, on the web-site excel sheet using the calculator of the Framingham algorithm which developed according to Pencina and D’Agostino, 2009 [6]. Then the estimated risks of each subject entered into the SPSS data file. CHD risk of all subjects was calculated by SPSS. Stratified analysis was used to compare between risk among males and females. The 30-year risk model offered excellent discrimination (cross-validated C statistic 0.803; 95% CI, 0.786 to 0.820; internally validated C statistic 0.802; 95% CI, 0.772 to 0.832) and calibration [9]. The Framingham Risk Score has been validated in the USA, both in men and women, both in European Americans and African American. While several studies have claimed to improve the score, there is little evidence for any improved prediction beyond Framingham risk score. Based on this Score, subjects were stratified in 5 risk classes (< 5% low-risk; 5- < 10% mild-risk; 10- < 20% moderate-risk; 20- < 40% high-risk; > = 40% very high-risk)” [6].\nDescriptive and analytical statistics were conducted. Chi-square test was used for comparison between two categorical variables. Student’s test was performed to compare between two independent means. A “p < 0.05” was considered statistically significant.", "The number of females was higher than the number of males as the acceptance rate among females was higher than males. Some of the finding like smoking, BMI and blood tests may be affected.\nThere is a limitation of applying Framingham risk score for non-western population, young population and weather the risk score was previously standardized to be used for Saudi population. On the other hand, although several studies have claimed to improve on the Framingham risk score, there is little evidence for any improved prediction beyond this score.", "NCDs: Non-communicable diseases; CVDs: Cardiovascular diseases; CHD: Coronary heart disease; KSA: Kingdom of Saudi Arabia; KAU: King Abdulaziz University; IRB: Institutional review board; KAUH: King Abdulaziz University Hospital; BP: Blood pressure; SBP: Systolic blood pressure; DBP: Diastolic blood pressure; IFG: Impaired fasting glucose; LDL: Low density lipoprotein; HDL: High density lipoprotein.", "There are no financial or non-finical competing interests.", "NKI: Select the study topic, construct the frame of work, construct data collection methods, conduct data analysis, supervise the whole work, write and revise the paper and submit it to the journal. Students: MM, AA, BA, EA, MA, RA, RA: Help in construction of frame of work, conduct the field work and data entry on SPSS and Framingham excel sheet, help in writing and drafting the paper. FMA: Help in construction of frame of work, help in construction of data collection methods, help in conduction of examination, facilitate conduction of laboratory analysis and help in writing the paper. JB: Help in construction of frame of work, help in construction of data collection methods, help in conduction of measurements and help in writing the paper. All authors have read and approved the final manuscript.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2458/14/411/prepub\n" ]
[ null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Data was collected through data collection sheet included", "Statistical analysis", "Results", "Discussion", "Conclusion", "Limitations of the study", "Abbreviations", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "Non-Communicable Diseases (NCDs) are on continuous rise worldwide [1]. Furthermore, developing countries is experiencing a double burden of diseases; both Communicable Diseases (CDs) and NCDs [2]. It is estimated that in the developing countries NCDs will account for seven of each ten deaths by the year 2020. Among NCDs, Cardiovascular Diseases (CVDs) are the leading cause of morbidity, disability and mortality worldwide [1].\nThe global rise in CVDs is driven by both urbanization and its related lifestyle modifications [3]. The Kingdom of Saudi Arabia (KSA) is experiencing an alarming rising in incidence and death rates from CVDs [3-5]. A study done in the Eastern region of KSA revealed that 26% of total deaths were attributed to CVDs (27% of deaths of males and 23.5% of females) [5]. It is expected that the burden of CVDs will continue to grow in KSA due to continuous exposure to risk factors. This increase is also considering the young population; as about 60% of the Saudi population was less than 30 years [4].\nCoronary Heart Disease (CHD) is the commonest cause of death from CVDs. In addition, it is one of the leading causes of disease burden [5]. Identification of risk factors contributing to the incidence of CHD is one of the major achievements of epidemiology in the 20th century [6] Smoking, hypertension, diabetes mellitus, high dietary fat intake, and lack of physical exercise have been documented as independent risk factors for the development of CHD [7].\nRisk factor profiles in young adulthood (18–24 years) strongly predict long-term CHD risk [8]. Understanding the magnitude and types of CHD risk factors among young adults is an important aspect in establishing targeted intervention, before disease progression occurs, through promoting lifestyle changes [7,8]. Despite these evidences, risk assessment and disease prevention efforts are lacking in this age group. Most of young adults are not screened and are not aware of their CHD risk. This leads to underestimation of the risk in spite of its high prevalence [8]. Hence, the prevalence of CHD risk factors of among young adults needs to be urgently addressed. Risk prediction algorithms have been used to detect persons at high risk for developing CVD and to pick individuals who need intensive preventive interventions. Framingham-based equations have been the most extensively used equations for clinical practice guidelines [9]. Despite these facts, limited number of studies has been conducted on estimating the prevalence of CHD risk factors among young adults in Saudi Arabia [7]. There is also lack of studies using the Framingham algorithm for CHD risk assessment. Furthermore, the American Heart Association’s 2013 recommended that screenings should include assessment of all CHD risk factors including lifestyle habits (diet, exercise, and smoking), blood pressure, glucose, and Body Mass Index (BMI) in addition to the traditional lipid panel [10]. However, most of the conducted studies in the Saudi Arabia lacked of some of the recommended items [7]. In addition, scanty studies conducted for CHD risk assessment among medical students in Jeddah. So, such studies are urgently needed.\nThe objective of the current study was to estimate the prevalence of risk factors of Coronary Heart Diseases among medical students, during their clinical clerkship years, at King Abdulaziz University (KAU), Jeddah.", "“Ethical statement: the study was approved by the Institutional Review Board (IRB) of the King Abdulaziz University Hospital (KAUH). The whole study was conformed to the ethical standards of the Helsinki Declaration”. A written consent was taken from each participant upon his/her acceptance to participate in the study. In addition all administrative approvals were taken.\nA cross-sectional study was done during the Fifth Year Survey Elective Module of the Family and Community Medicine in the educational year 2012/2013. The study population was the medical students enrolled in their clinical clerkship years (4th - 6th) in King Abdulaziz University (KAU).\nA multistage stratified random sample method was used. A sample frame was constructed and contained information on the stratification variables according to gender and grade of medical students target population. The first stratification phase was done according to gender. Then the second stratification phase was done according to their grades. The male and female leaders of each of the three grades invited and encouraged students to participate in the study. Among the selected subjects, the response rate was about 60%, with a higher response rate among females compared to males. The cause of this low response rate may be because the study included taking of a fasting blood sample from participants.\nThe sample size was calculated using the following formula [11]:\n\n\n\n\n“\nn\n=\n\n\n\nz\n2\n\n×\np\n×\nq\n\n\nd\n2\n\n\n”\n\n\n\n\nn: the minimum sample size, z = constant (1.96), p is the prevalence of CVDs risk factors, q = (1-p), Z is the standard normal deviation of 1.96 which correspond to the 95% confidence interval and d is the desired degree of accuracy.\nAs the exact prevalence of CVDs risk factors among young adults in Jeddah is unknown, so, the prevalence (p) = (q) was considered 50% (the most conservative assumption) and d was set at 0.05 to tolerate a 5% error. The calculated sample size was 196 students and it was increased during the field work to reach 214 for stratification purpose.\nEach student accepted to participate in the study and signed the written informed consent was requested to come to the General Clinic of KAUH, fasting for at least 12 hours, on the next day.\n Data was collected through data collection sheet included I. Questionnaire: An anonymous, confidential and self-administered questionnaire was used to collect:\n➣Personal and socio-demographic characteristics (gender, educational year, family income and parents’ education and job).\n➣History of use of drug for treatment of a chronic condition.\n➣Risk factors of CHD as nutritional factors (frequency of eating foods rich in saturated fat or fast foods, frequency of eating vegetables and fruits/week), smoking habits, physical activity (regular practice of physical exercise, number of times/week and the duration of practice), time spending in TV watching or using computer.\nII. Measurements: After completing the questionnaire, measurements were taken as described by D’Agostino, et al., 2008 [12] and included:\n➣Weight and height: both were obtained from a lightly clothed student.\n➣Blood pressure (BP) measurement: It was done while the student in the sitting position after 4 minute of rest. Systolic and diastolic blood pressure was identified at the beginning of the first and the fifth phase of the Korotkoff sounds using a mercury sphygmomanometer applying the appropriate cuff on the right arm [12].\nIII. Laboratory investigations: Blood sample was obtained from each participant from the antecubital vein after 12 hours of fasting. It was taken from the antecubital vein while the student in the sitting position. The biochemical evaluation was performed in the laboratory of KAUH and following the criteria of the World Health Organization Lipid Reference Laboratories. Upon arrival, the samples were centrifuged to obtain the plasma Levels of total cholesterol (TC), glucose and triglycerides (TG). They were measured by a chromatometric enzymatic method [12].\nI. Questionnaire: An anonymous, confidential and self-administered questionnaire was used to collect:\n➣Personal and socio-demographic characteristics (gender, educational year, family income and parents’ education and job).\n➣History of use of drug for treatment of a chronic condition.\n➣Risk factors of CHD as nutritional factors (frequency of eating foods rich in saturated fat or fast foods, frequency of eating vegetables and fruits/week), smoking habits, physical activity (regular practice of physical exercise, number of times/week and the duration of practice), time spending in TV watching or using computer.\nII. Measurements: After completing the questionnaire, measurements were taken as described by D’Agostino, et al., 2008 [12] and included:\n➣Weight and height: both were obtained from a lightly clothed student.\n➣Blood pressure (BP) measurement: It was done while the student in the sitting position after 4 minute of rest. Systolic and diastolic blood pressure was identified at the beginning of the first and the fifth phase of the Korotkoff sounds using a mercury sphygmomanometer applying the appropriate cuff on the right arm [12].\nIII. Laboratory investigations: Blood sample was obtained from each participant from the antecubital vein after 12 hours of fasting. It was taken from the antecubital vein while the student in the sitting position. The biochemical evaluation was performed in the laboratory of KAUH and following the criteria of the World Health Organization Lipid Reference Laboratories. Upon arrival, the samples were centrifuged to obtain the plasma Levels of total cholesterol (TC), glucose and triglycerides (TG). They were measured by a chromatometric enzymatic method [12].\n Statistical analysis Data was coded and analyzed using Statistical package for Social Science (SPSS) version 21 (SPSS Inc, Chicago, Ill., USA). The following statistical calculations were done to classify:\n➣Body Mass Index (BMI): it was calculated by dividing weight in kilograms by the square of height in meters. BMI was then divided into normal (< 25), overweight (25 - < 30), and obese (≥ 30) [13].\n➣Hypertension: classification was based on the recommendations of “The Seventh Report of the Joint National Committee on Prevention, Detection, Evaluation and Treatment of High Blood Pressure (JNC-7). It was defined as Systolic Blood Pressure (SBP) >/=140 mmHg and/or Diastolic Blood Pressure (DBP) >/=90 or concurrent use of antihypertensive agents” [14].\n➣Fasting plasma glucose was classified according to the WHO classification into:\n1. Normal fasting blood sugar: level plasma glucose is < 110mg/dl.\n2. Impaired fasting glucose (IFG) and hyperglycemia: fasting blood glucose is ≥ 110 mg/dl or history of treatment from diabetes [14].\n➣Dyslipidemias were defined according to the USA National Cholesterol Education Program (NCEP) criteria high in Low Density Lipoprotein (LDL) cholesterol as 130 mg%, hyper-tyriglyceridemia as 150 mg/dl and low in High Density Lipoprotein (HDL) cholesterol as < 40 mg/dl in males and < 50 mg/dl in females. High total cholesterol: HDL ratio was defined as > 4.5 [15,16].\nThe CHD full risk percent in thirty years was calculated using the Framingham’s algorithm based on BMI. The calculation of CHD was not done according to lipid profile as there were some missed cases in the triglycerides analysis. CHD risk assessment data of each student (sex, age, SBP, use of antihypertensive treatment, smoking, diabetes mellitus, BMI) was entered separately, case by case, on the web-site excel sheet using the calculator of the Framingham algorithm which developed according to Pencina and D’Agostino, 2009 [6]. Then the estimated risks of each subject entered into the SPSS data file. CHD risk of all subjects was calculated by SPSS. Stratified analysis was used to compare between risk among males and females. The 30-year risk model offered excellent discrimination (cross-validated C statistic 0.803; 95% CI, 0.786 to 0.820; internally validated C statistic 0.802; 95% CI, 0.772 to 0.832) and calibration [9]. The Framingham Risk Score has been validated in the USA, both in men and women, both in European Americans and African American. While several studies have claimed to improve the score, there is little evidence for any improved prediction beyond Framingham risk score. Based on this Score, subjects were stratified in 5 risk classes (< 5% low-risk; 5- < 10% mild-risk; 10- < 20% moderate-risk; 20- < 40% high-risk; > = 40% very high-risk)” [6].\nDescriptive and analytical statistics were conducted. Chi-square test was used for comparison between two categorical variables. Student’s test was performed to compare between two independent means. A “p < 0.05” was considered statistically significant.\nData was coded and analyzed using Statistical package for Social Science (SPSS) version 21 (SPSS Inc, Chicago, Ill., USA). The following statistical calculations were done to classify:\n➣Body Mass Index (BMI): it was calculated by dividing weight in kilograms by the square of height in meters. BMI was then divided into normal (< 25), overweight (25 - < 30), and obese (≥ 30) [13].\n➣Hypertension: classification was based on the recommendations of “The Seventh Report of the Joint National Committee on Prevention, Detection, Evaluation and Treatment of High Blood Pressure (JNC-7). It was defined as Systolic Blood Pressure (SBP) >/=140 mmHg and/or Diastolic Blood Pressure (DBP) >/=90 or concurrent use of antihypertensive agents” [14].\n➣Fasting plasma glucose was classified according to the WHO classification into:\n1. Normal fasting blood sugar: level plasma glucose is < 110mg/dl.\n2. Impaired fasting glucose (IFG) and hyperglycemia: fasting blood glucose is ≥ 110 mg/dl or history of treatment from diabetes [14].\n➣Dyslipidemias were defined according to the USA National Cholesterol Education Program (NCEP) criteria high in Low Density Lipoprotein (LDL) cholesterol as 130 mg%, hyper-tyriglyceridemia as 150 mg/dl and low in High Density Lipoprotein (HDL) cholesterol as < 40 mg/dl in males and < 50 mg/dl in females. High total cholesterol: HDL ratio was defined as > 4.5 [15,16].\nThe CHD full risk percent in thirty years was calculated using the Framingham’s algorithm based on BMI. The calculation of CHD was not done according to lipid profile as there were some missed cases in the triglycerides analysis. CHD risk assessment data of each student (sex, age, SBP, use of antihypertensive treatment, smoking, diabetes mellitus, BMI) was entered separately, case by case, on the web-site excel sheet using the calculator of the Framingham algorithm which developed according to Pencina and D’Agostino, 2009 [6]. Then the estimated risks of each subject entered into the SPSS data file. CHD risk of all subjects was calculated by SPSS. Stratified analysis was used to compare between risk among males and females. The 30-year risk model offered excellent discrimination (cross-validated C statistic 0.803; 95% CI, 0.786 to 0.820; internally validated C statistic 0.802; 95% CI, 0.772 to 0.832) and calibration [9]. The Framingham Risk Score has been validated in the USA, both in men and women, both in European Americans and African American. While several studies have claimed to improve the score, there is little evidence for any improved prediction beyond Framingham risk score. Based on this Score, subjects were stratified in 5 risk classes (< 5% low-risk; 5- < 10% mild-risk; 10- < 20% moderate-risk; 20- < 40% high-risk; > = 40% very high-risk)” [6].\nDescriptive and analytical statistics were conducted. Chi-square test was used for comparison between two categorical variables. Student’s test was performed to compare between two independent means. A “p < 0.05” was considered statistically significant.", "I. Questionnaire: An anonymous, confidential and self-administered questionnaire was used to collect:\n➣Personal and socio-demographic characteristics (gender, educational year, family income and parents’ education and job).\n➣History of use of drug for treatment of a chronic condition.\n➣Risk factors of CHD as nutritional factors (frequency of eating foods rich in saturated fat or fast foods, frequency of eating vegetables and fruits/week), smoking habits, physical activity (regular practice of physical exercise, number of times/week and the duration of practice), time spending in TV watching or using computer.\nII. Measurements: After completing the questionnaire, measurements were taken as described by D’Agostino, et al., 2008 [12] and included:\n➣Weight and height: both were obtained from a lightly clothed student.\n➣Blood pressure (BP) measurement: It was done while the student in the sitting position after 4 minute of rest. Systolic and diastolic blood pressure was identified at the beginning of the first and the fifth phase of the Korotkoff sounds using a mercury sphygmomanometer applying the appropriate cuff on the right arm [12].\nIII. Laboratory investigations: Blood sample was obtained from each participant from the antecubital vein after 12 hours of fasting. It was taken from the antecubital vein while the student in the sitting position. The biochemical evaluation was performed in the laboratory of KAUH and following the criteria of the World Health Organization Lipid Reference Laboratories. Upon arrival, the samples were centrifuged to obtain the plasma Levels of total cholesterol (TC), glucose and triglycerides (TG). They were measured by a chromatometric enzymatic method [12].", "Data was coded and analyzed using Statistical package for Social Science (SPSS) version 21 (SPSS Inc, Chicago, Ill., USA). The following statistical calculations were done to classify:\n➣Body Mass Index (BMI): it was calculated by dividing weight in kilograms by the square of height in meters. BMI was then divided into normal (< 25), overweight (25 - < 30), and obese (≥ 30) [13].\n➣Hypertension: classification was based on the recommendations of “The Seventh Report of the Joint National Committee on Prevention, Detection, Evaluation and Treatment of High Blood Pressure (JNC-7). It was defined as Systolic Blood Pressure (SBP) >/=140 mmHg and/or Diastolic Blood Pressure (DBP) >/=90 or concurrent use of antihypertensive agents” [14].\n➣Fasting plasma glucose was classified according to the WHO classification into:\n1. Normal fasting blood sugar: level plasma glucose is < 110mg/dl.\n2. Impaired fasting glucose (IFG) and hyperglycemia: fasting blood glucose is ≥ 110 mg/dl or history of treatment from diabetes [14].\n➣Dyslipidemias were defined according to the USA National Cholesterol Education Program (NCEP) criteria high in Low Density Lipoprotein (LDL) cholesterol as 130 mg%, hyper-tyriglyceridemia as 150 mg/dl and low in High Density Lipoprotein (HDL) cholesterol as < 40 mg/dl in males and < 50 mg/dl in females. High total cholesterol: HDL ratio was defined as > 4.5 [15,16].\nThe CHD full risk percent in thirty years was calculated using the Framingham’s algorithm based on BMI. The calculation of CHD was not done according to lipid profile as there were some missed cases in the triglycerides analysis. CHD risk assessment data of each student (sex, age, SBP, use of antihypertensive treatment, smoking, diabetes mellitus, BMI) was entered separately, case by case, on the web-site excel sheet using the calculator of the Framingham algorithm which developed according to Pencina and D’Agostino, 2009 [6]. Then the estimated risks of each subject entered into the SPSS data file. CHD risk of all subjects was calculated by SPSS. Stratified analysis was used to compare between risk among males and females. The 30-year risk model offered excellent discrimination (cross-validated C statistic 0.803; 95% CI, 0.786 to 0.820; internally validated C statistic 0.802; 95% CI, 0.772 to 0.832) and calibration [9]. The Framingham Risk Score has been validated in the USA, both in men and women, both in European Americans and African American. While several studies have claimed to improve the score, there is little evidence for any improved prediction beyond Framingham risk score. Based on this Score, subjects were stratified in 5 risk classes (< 5% low-risk; 5- < 10% mild-risk; 10- < 20% moderate-risk; 20- < 40% high-risk; > = 40% very high-risk)” [6].\nDescriptive and analytical statistics were conducted. Chi-square test was used for comparison between two categorical variables. Student’s test was performed to compare between two independent means. A “p < 0.05” was considered statistically significant.", "The study population was composed of 214 medical students whose age ranged from 20–28 years with a mean of 20.09 ± 1.0. Table 1 shows personal and socio-demographic characteristics of medical students enrolled in the study. Females represented about three-quarters (75.2 (% of the sample. Regarding the educational year, 35.5%, 39.3% and 25.2% of students were enrolled in the fourth, fifth and sixth year, respectively. Concerning family income, 83.5% earn more than 10,000 Saudi Riyals. About two-thirds (69.6%) of students’ fathers and 60.7% of mothers have a university degree and above.\n“Personal and socio-demographic” data of the sample medical students\n*2 students refused to answer about their family income.\nConcerning past history of diseases, 8.9%, 8.4% and 0.5% of medical students reported having hypercholesterolemia, hypertension, and diabetes, respectively.\nThe prevalence of habitual risk factors is illustrated in Table 2. It is apparent from the table that 57.9% of medical students do not practice physical exercise. Daily eating of food rich in fat and fast food is prevalent among 73.4% and13.1% of students, respectively. On the other hand, about three-quarters (76.6%) and two-fifths (38.3%) of students eat fruits and vegetables weekly. Furthermore, more than half (53.2%) of the students use computers more than 14 hours per week while 10.7% watched TV for the same duration weekly. Only a small percentage of students (2.8%) reported being current smokers.\n“Coronary Heat Diseases risk factors” among medical students according to their habits\nTable 3 demonstrates prevalence of CHD risk factors among medical students according to measurements and laboratory results. About one-third of students (31.8%) weighed above the normal; 19.1% are overweight and 12.7% are obese. Hypercholesterolemia was detected among 17.2% and a similar percentage of students (16.0%) had a high level of LDL. The prevalence of hypertension according to JNC-7 classification was 9.3%; 3.7% and 7.9% of students had high systolic and diastolic blood pressure, respectively. About 97.9% of students had normal fasting blood glucose level, while 2.1% had high fasting blood glucose level (Impaired fasting glucose and hyperglycemia).\nCoronary heart diseases risk factors among medical students according to measurements and laboratory investigations\n*26 missed cases for fasting blood sugar.\n**22 missed cases for triglycerides.\nFigure 1 demonstrates that males have higher rates of overweight and obesity compared to females. It is apparent from the figure that only about one-half (52.8%) of males had normal weight, while 28.3% and 18.9% were overweight and obese, respectively. The corresponding rates for females were 16.2% and 10.6%, respectively. A statistical significant difference was present (X\n2\n = 7.54, p < 0.01).\nRelationship between gender and Body Mass Index among clinical years medical student in King Abdul-Aziz University.\nAnalysis of our results shows that the prevalence of hypertension was much higher among males (20.8%) compared to females (5.8%). A highly statistical significant difference was present (X\n2\n = 10.82, p < 0.01).\nTable 4 shows that that male students had higher mean levels of most of measurements compared to females. The calculated mean of BMI for males (26.27 ± 6.10) was higher than that of the females (23.30 ± 4.631). A highly statistical significant difference was found (Student’s t- test =3.72, p < 0.001). The mean of SBP, DBP, TGs, total: HDL cholesterol were also higher among males compared to females. Highly statistical significant differences were present. On the other hand, the mean of protective HDL in mmol/l was higher for females (1.60 ± 0.40) compared to males (1.23 ± 0.29). The results also showed that 18.5% of males and 14.0% of females had low HDL below the cutoff values for both genders.\nComparison of means of anthropometric and laboratory parameters among male and female medical students\nUsing Framingham algorithm revealed that CHD risk stratified lifetime full risk percent in thirty years based on BMI among total students was 10.7%, 2.3% and 0.5% for mild, moderate and severe risk, respectively. It is much higher among males compared to females (moderate and severe risk among males was 9.4% and 1.9%, respectively) (Table 5).\nFramingham stratified lifetime risk Score percent of Coronary Heart Diseases in thirty years among medical students in King Abdulaziz University", "As to our best knowledge the current study is the first study looks at CHD risk factors among young adult population in Jeddah using the Framingham algorithm to calculate the 30- years predicted risk of CHD. It may be also the first study used the recommendation of the American Heart Association’s 2013 for CHD risk assessment. All CHD risk factors including lifestyle habits (diet, exercise, and smoking), BP, glucose, and BMI in addition to the traditional lipid panel were assessed. Students were screened and told about their measurement and investigations and given the appropriate recommendations.\nAbout 90% of individuals with CHD have at least one risk factor as smoking, diabetes, hypertension and/or hypercholesterolemia [17]. Furthermore, the US National Health and Nutrition Examination Surveys (NHANES) data among young adults aged 20–45 years (1999–2006) revealed that two-thirds have at least one CVD risk factor [10]. Nowadays, overweight and obesity are recognized as a rising pandemic [18]. The current study revealed that about one-third (31.8%) of all medical students were either overweight (19.1%) or obese (12.7%). These findings concur with results of Burke, et al. from USA who reported a similar rate of overweight/obesity (33%) among college students in University of New Hampshire’s in 2009 [19].\nIn the present study, the prevalence of overweight or obesity was 26.8% among females. A similar prevalence (29.1%) was reported before 2012, among females from 4 colleges of Dammam University, KSA [20].\nOur work revealed a higher prevalence of overweight and obesity among male (47.2%) compared to females (26.8%). Similarly, a study conducted at the School of Medicine, Crete University; as their corresponding rates were 40% and 23%, for males and females, respectively [18]. Burke, et al. reported also that males had a higher BMI compared to females [19]. Furthermore, the rate of overweight and obesity among males in the present work coincides with results of other Saudi studies. Sabra, et al. reported a very similar rate (47.1%) among male medical students in King Fahd University in Dammam city, KSA [7]. Comparable rates were also reported from two other Saudi studies one done among male medical students in Qaseem University (46.5%) [21] and the other study was done among male and female medical students in Tibia University (44.8%) [22]. Higher rates of overweight (31%) and obesity (23.3%) were reported among male students at King Saud University, Riyadh, KSA [23]. These alarming high rates of overweight and obesity among Saudi young adults, especially males, may require rapid targeted university intervention.\nOn the other hand, the rates of the present study are much higher than that reported among male medical students from USA, 1999, as only one-fifth of the participants were either overweight or obese [24]. The cause of discrepancy between the current study and the USA study may be attributed to the outcome of the USA health promotion programs or due to the older time of conduction of the USA study.\nOur study showed that nutritional risk factor of CHD was apparent. This is apparent from high students’ daily intake of fat- rich foods (73.4%) and fast-foods (13.1%). Meanwhile, there was low intake of healthy diet as vegetables and fruits. Sabra, et al. found also that 20.1% of medical male students were consuming fast foods in a frequency of 6–10 times/week [7]. Similarly, Larson, et al., 2008, found that 24% of male and 21% of female adolescents in Minnesota reported frequent intake of fast food (≥ 3 times/week) and these rates increased during the young adulthood [25]. In their other newer study, 2011, they reported also that frequent away-from-home fast food eating is associated with higher daily energy intake, poorer diet quality, and greater weight gain [26].\nRegular practicing of physical activity provides significant benefits in reducing morbidity and mortality from CHD [7]. However, our results showed that the prevalence of non-practicing physical exercise was high (57.9%). Sedentary behaviors as playing computer games and watching TV are reported to be associated with increased prevalence of obesity and hence risk of CHD [7,27]. From our results, it was found that 10.7% and 53.2% of medical students spending ≥ 14 hours/week in watching TV and in computer usage, respectively. These results agree with results of Sabra, et al. [7].\nThe present work reported that the rate of current smoking is low (2.8%) compared to other similar studies. Sabra, et al. reported much higher rate; about 19% of male medical students were smokers [7]. The discrepancy between the current and the Dammam study may be because the current study was conducted among both male and females, with a small male sample, while the other study was conducted only among male with a higher prevalence of smoking. It may be also attributed to the success of Smoke-free Campus program implemented in KAU.\nRegarding hypertension, it was found that about one-tenth (9.3%) of medical students in the present study were diagnosed as having hypertension; 3.7% as systolic and 7.9% as diastolic hypertension. This finding should be viewed with much concern because of the tendency of high BP to track into adult life, and because of the possibility of secondary hypertension in this age group. The study Sabra, et al. [7] reported higher corresponding rates of systolic and diastolic hypertension (13.8%% and 3.7%, respectively). This difference may be because their study was done only among males.\nThe current study revealed that the prevalence of hypertension was much higher among males (20.8%) compared to females (5.6%). This agrees with results from the Grete study [18]. An older study, 1998, conducted among black and Indian medical students of University of Natal, South Africa, reported lower rates among both sexes (2.5% and 4.2%, respectively) [28]. The cause of the discrepancy between the current study and South African study may be attributed to the time of conduction of their study or due to difference between the two study populations.\nIn the current study it was found that 2.1% had high fasting blood sugar level. This coincides with results of Greece study; 1.9% of male students and 0.6% of female students had high fasting glucose level [18].\nOur study showed that male participants had higher levels of triglycerides while females had higher prevalence of the protective HDL (18.5% of males and 14.0% of females had low HDL below the cutoff values for both genders). These results are similar to results of Burke, et al. [19] and also with other findings from an Indian study conducted among the population aged 20–29 years [29].\nUsing Framingham algorithm of BMI full risk score revealed that CHD risk percent in thirty years among all students was 10.7%, 2.3% and 0.5% for mild, moderate and severe risk, respectively. This result is in line with another study conducted in the USA and found that the Framingham Risk Score was below 10% for all the Chicago Heart Association Detection Project in Industry -predicted risk among the 18 to 29 year old cohort [17].\nFinally, eighty percent of heart disease can be prevented through diet and lifestyle modifications. Young adults are ideal targets for prevention efforts because they are in the process of establishing lifestyle habits, which track forward into adulthood [8]. Early detection of these risk factors among Saudi young adults will be very beneficial in prevention of CHD after that.", "An alarmingly high prevalence of different CHD risk factors revealed among medical students in King Abdulaziz University in the current study. Males had a worse risk factor profile (BMI, triglycerides, HDL cholesterol, total: HDL cholesterol, SBP, and DBP) compared to females (p < 0.05). Among the study population, the commonest risk factors of CHDs were daily intake of high fat diet (73.4%), physical inactivity (57.9%), overweight/or obesity (31.2%) and daily consumption of fast food (13.1%). Hyper-cholesterolemia (17.2%) and hypertension (9.3%) were also prevalent risk factors. Using Framingham Risk Score revealed that CHD risk percent in thirty years among all students was 10.7%, 2.3% and 0.5% for mild, moderate and severe risk, respectively. It is much higher among males compared to females.\nImplementation of multi-factorial CHD risk screening among Saudi medical students and young adults, and application of intervention programs for those at higher risk is highly recommended. Educational programs to raise health awareness of medical students about CHD risk factors and to encourage them to adopt a healthy dietary behavior, promote physical exercise and smoking cessation should be initiated. Promotion of healthy active lifestyle and prevention of obesity should be a health priority. Implementing surveillance activities to monitors CHD risk factors and determinants among medical students and young adults and to identify the morbidity and mortality from CHD is recommended. Implement medical schools interventions including through regulatory and legislative actions, for the CHD related risk factors as tobacco use, unhealthy diet, lack of physical activity is also required. Further researches involving adults inside and outside the medical schools need to be done to evaluate the effect of knowledge on behavioral CHD risk factors and for better understanding of this preventable epidemic.\n Limitations of the study The number of females was higher than the number of males as the acceptance rate among females was higher than males. Some of the finding like smoking, BMI and blood tests may be affected.\nThere is a limitation of applying Framingham risk score for non-western population, young population and weather the risk score was previously standardized to be used for Saudi population. On the other hand, although several studies have claimed to improve on the Framingham risk score, there is little evidence for any improved prediction beyond this score.\nThe number of females was higher than the number of males as the acceptance rate among females was higher than males. Some of the finding like smoking, BMI and blood tests may be affected.\nThere is a limitation of applying Framingham risk score for non-western population, young population and weather the risk score was previously standardized to be used for Saudi population. On the other hand, although several studies have claimed to improve on the Framingham risk score, there is little evidence for any improved prediction beyond this score.", "The number of females was higher than the number of males as the acceptance rate among females was higher than males. Some of the finding like smoking, BMI and blood tests may be affected.\nThere is a limitation of applying Framingham risk score for non-western population, young population and weather the risk score was previously standardized to be used for Saudi population. On the other hand, although several studies have claimed to improve on the Framingham risk score, there is little evidence for any improved prediction beyond this score.", "NCDs: Non-communicable diseases; CVDs: Cardiovascular diseases; CHD: Coronary heart disease; KSA: Kingdom of Saudi Arabia; KAU: King Abdulaziz University; IRB: Institutional review board; KAUH: King Abdulaziz University Hospital; BP: Blood pressure; SBP: Systolic blood pressure; DBP: Diastolic blood pressure; IFG: Impaired fasting glucose; LDL: Low density lipoprotein; HDL: High density lipoprotein.", "There are no financial or non-finical competing interests.", "NKI: Select the study topic, construct the frame of work, construct data collection methods, conduct data analysis, supervise the whole work, write and revise the paper and submit it to the journal. Students: MM, AA, BA, EA, MA, RA, RA: Help in construction of frame of work, conduct the field work and data entry on SPSS and Framingham excel sheet, help in writing and drafting the paper. FMA: Help in construction of frame of work, help in construction of data collection methods, help in conduction of examination, facilitate conduction of laboratory analysis and help in writing the paper. JB: Help in construction of frame of work, help in construction of data collection methods, help in conduction of measurements and help in writing the paper. All authors have read and approved the final manuscript.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2458/14/411/prepub\n" ]
[ null, "methods", null, null, "results", "discussion", "conclusions", null, null, null, null, null ]
[ "Risk factors", "Coronary heart diseases", "Young adults", "Framingham risk score" ]
Background: Non-Communicable Diseases (NCDs) are on continuous rise worldwide [1]. Furthermore, developing countries is experiencing a double burden of diseases; both Communicable Diseases (CDs) and NCDs [2]. It is estimated that in the developing countries NCDs will account for seven of each ten deaths by the year 2020. Among NCDs, Cardiovascular Diseases (CVDs) are the leading cause of morbidity, disability and mortality worldwide [1]. The global rise in CVDs is driven by both urbanization and its related lifestyle modifications [3]. The Kingdom of Saudi Arabia (KSA) is experiencing an alarming rising in incidence and death rates from CVDs [3-5]. A study done in the Eastern region of KSA revealed that 26% of total deaths were attributed to CVDs (27% of deaths of males and 23.5% of females) [5]. It is expected that the burden of CVDs will continue to grow in KSA due to continuous exposure to risk factors. This increase is also considering the young population; as about 60% of the Saudi population was less than 30 years [4]. Coronary Heart Disease (CHD) is the commonest cause of death from CVDs. In addition, it is one of the leading causes of disease burden [5]. Identification of risk factors contributing to the incidence of CHD is one of the major achievements of epidemiology in the 20th century [6] Smoking, hypertension, diabetes mellitus, high dietary fat intake, and lack of physical exercise have been documented as independent risk factors for the development of CHD [7]. Risk factor profiles in young adulthood (18–24 years) strongly predict long-term CHD risk [8]. Understanding the magnitude and types of CHD risk factors among young adults is an important aspect in establishing targeted intervention, before disease progression occurs, through promoting lifestyle changes [7,8]. Despite these evidences, risk assessment and disease prevention efforts are lacking in this age group. Most of young adults are not screened and are not aware of their CHD risk. This leads to underestimation of the risk in spite of its high prevalence [8]. Hence, the prevalence of CHD risk factors of among young adults needs to be urgently addressed. Risk prediction algorithms have been used to detect persons at high risk for developing CVD and to pick individuals who need intensive preventive interventions. Framingham-based equations have been the most extensively used equations for clinical practice guidelines [9]. Despite these facts, limited number of studies has been conducted on estimating the prevalence of CHD risk factors among young adults in Saudi Arabia [7]. There is also lack of studies using the Framingham algorithm for CHD risk assessment. Furthermore, the American Heart Association’s 2013 recommended that screenings should include assessment of all CHD risk factors including lifestyle habits (diet, exercise, and smoking), blood pressure, glucose, and Body Mass Index (BMI) in addition to the traditional lipid panel [10]. However, most of the conducted studies in the Saudi Arabia lacked of some of the recommended items [7]. In addition, scanty studies conducted for CHD risk assessment among medical students in Jeddah. So, such studies are urgently needed. The objective of the current study was to estimate the prevalence of risk factors of Coronary Heart Diseases among medical students, during their clinical clerkship years, at King Abdulaziz University (KAU), Jeddah. Methods: “Ethical statement: the study was approved by the Institutional Review Board (IRB) of the King Abdulaziz University Hospital (KAUH). The whole study was conformed to the ethical standards of the Helsinki Declaration”. A written consent was taken from each participant upon his/her acceptance to participate in the study. In addition all administrative approvals were taken. A cross-sectional study was done during the Fifth Year Survey Elective Module of the Family and Community Medicine in the educational year 2012/2013. The study population was the medical students enrolled in their clinical clerkship years (4th - 6th) in King Abdulaziz University (KAU). A multistage stratified random sample method was used. A sample frame was constructed and contained information on the stratification variables according to gender and grade of medical students target population. The first stratification phase was done according to gender. Then the second stratification phase was done according to their grades. The male and female leaders of each of the three grades invited and encouraged students to participate in the study. Among the selected subjects, the response rate was about 60%, with a higher response rate among females compared to males. The cause of this low response rate may be because the study included taking of a fasting blood sample from participants. The sample size was calculated using the following formula [11]: “ n = z 2 × p × q d 2 ” n: the minimum sample size, z = constant (1.96), p is the prevalence of CVDs risk factors, q = (1-p), Z is the standard normal deviation of 1.96 which correspond to the 95% confidence interval and d is the desired degree of accuracy. As the exact prevalence of CVDs risk factors among young adults in Jeddah is unknown, so, the prevalence (p) = (q) was considered 50% (the most conservative assumption) and d was set at 0.05 to tolerate a 5% error. The calculated sample size was 196 students and it was increased during the field work to reach 214 for stratification purpose. Each student accepted to participate in the study and signed the written informed consent was requested to come to the General Clinic of KAUH, fasting for at least 12 hours, on the next day. Data was collected through data collection sheet included I. Questionnaire: An anonymous, confidential and self-administered questionnaire was used to collect: ➣Personal and socio-demographic characteristics (gender, educational year, family income and parents’ education and job). ➣History of use of drug for treatment of a chronic condition. ➣Risk factors of CHD as nutritional factors (frequency of eating foods rich in saturated fat or fast foods, frequency of eating vegetables and fruits/week), smoking habits, physical activity (regular practice of physical exercise, number of times/week and the duration of practice), time spending in TV watching or using computer. II. Measurements: After completing the questionnaire, measurements were taken as described by D’Agostino, et al., 2008 [12] and included: ➣Weight and height: both were obtained from a lightly clothed student. ➣Blood pressure (BP) measurement: It was done while the student in the sitting position after 4 minute of rest. Systolic and diastolic blood pressure was identified at the beginning of the first and the fifth phase of the Korotkoff sounds using a mercury sphygmomanometer applying the appropriate cuff on the right arm [12]. III. Laboratory investigations: Blood sample was obtained from each participant from the antecubital vein after 12 hours of fasting. It was taken from the antecubital vein while the student in the sitting position. The biochemical evaluation was performed in the laboratory of KAUH and following the criteria of the World Health Organization Lipid Reference Laboratories. Upon arrival, the samples were centrifuged to obtain the plasma Levels of total cholesterol (TC), glucose and triglycerides (TG). They were measured by a chromatometric enzymatic method [12]. I. Questionnaire: An anonymous, confidential and self-administered questionnaire was used to collect: ➣Personal and socio-demographic characteristics (gender, educational year, family income and parents’ education and job). ➣History of use of drug for treatment of a chronic condition. ➣Risk factors of CHD as nutritional factors (frequency of eating foods rich in saturated fat or fast foods, frequency of eating vegetables and fruits/week), smoking habits, physical activity (regular practice of physical exercise, number of times/week and the duration of practice), time spending in TV watching or using computer. II. Measurements: After completing the questionnaire, measurements were taken as described by D’Agostino, et al., 2008 [12] and included: ➣Weight and height: both were obtained from a lightly clothed student. ➣Blood pressure (BP) measurement: It was done while the student in the sitting position after 4 minute of rest. Systolic and diastolic blood pressure was identified at the beginning of the first and the fifth phase of the Korotkoff sounds using a mercury sphygmomanometer applying the appropriate cuff on the right arm [12]. III. Laboratory investigations: Blood sample was obtained from each participant from the antecubital vein after 12 hours of fasting. It was taken from the antecubital vein while the student in the sitting position. The biochemical evaluation was performed in the laboratory of KAUH and following the criteria of the World Health Organization Lipid Reference Laboratories. Upon arrival, the samples were centrifuged to obtain the plasma Levels of total cholesterol (TC), glucose and triglycerides (TG). They were measured by a chromatometric enzymatic method [12]. Statistical analysis Data was coded and analyzed using Statistical package for Social Science (SPSS) version 21 (SPSS Inc, Chicago, Ill., USA). The following statistical calculations were done to classify: ➣Body Mass Index (BMI): it was calculated by dividing weight in kilograms by the square of height in meters. BMI was then divided into normal (< 25), overweight (25 - < 30), and obese (≥ 30) [13]. ➣Hypertension: classification was based on the recommendations of “The Seventh Report of the Joint National Committee on Prevention, Detection, Evaluation and Treatment of High Blood Pressure (JNC-7). It was defined as Systolic Blood Pressure (SBP) >/=140 mmHg and/or Diastolic Blood Pressure (DBP) >/=90 or concurrent use of antihypertensive agents” [14]. ➣Fasting plasma glucose was classified according to the WHO classification into: 1. Normal fasting blood sugar: level plasma glucose is < 110mg/dl. 2. Impaired fasting glucose (IFG) and hyperglycemia: fasting blood glucose is ≥ 110 mg/dl or history of treatment from diabetes [14]. ➣Dyslipidemias were defined according to the USA National Cholesterol Education Program (NCEP) criteria high in Low Density Lipoprotein (LDL) cholesterol as 130 mg%, hyper-tyriglyceridemia as 150 mg/dl and low in High Density Lipoprotein (HDL) cholesterol as < 40 mg/dl in males and < 50 mg/dl in females. High total cholesterol: HDL ratio was defined as > 4.5 [15,16]. The CHD full risk percent in thirty years was calculated using the Framingham’s algorithm based on BMI. The calculation of CHD was not done according to lipid profile as there were some missed cases in the triglycerides analysis. CHD risk assessment data of each student (sex, age, SBP, use of antihypertensive treatment, smoking, diabetes mellitus, BMI) was entered separately, case by case, on the web-site excel sheet using the calculator of the Framingham algorithm which developed according to Pencina and D’Agostino, 2009 [6]. Then the estimated risks of each subject entered into the SPSS data file. CHD risk of all subjects was calculated by SPSS. Stratified analysis was used to compare between risk among males and females. The 30-year risk model offered excellent discrimination (cross-validated C statistic 0.803; 95% CI, 0.786 to 0.820; internally validated C statistic 0.802; 95% CI, 0.772 to 0.832) and calibration [9]. The Framingham Risk Score has been validated in the USA, both in men and women, both in European Americans and African American. While several studies have claimed to improve the score, there is little evidence for any improved prediction beyond Framingham risk score. Based on this Score, subjects were stratified in 5 risk classes (< 5% low-risk; 5- < 10% mild-risk; 10- < 20% moderate-risk; 20- < 40% high-risk; > = 40% very high-risk)” [6]. Descriptive and analytical statistics were conducted. Chi-square test was used for comparison between two categorical variables. Student’s test was performed to compare between two independent means. A “p < 0.05” was considered statistically significant. Data was coded and analyzed using Statistical package for Social Science (SPSS) version 21 (SPSS Inc, Chicago, Ill., USA). The following statistical calculations were done to classify: ➣Body Mass Index (BMI): it was calculated by dividing weight in kilograms by the square of height in meters. BMI was then divided into normal (< 25), overweight (25 - < 30), and obese (≥ 30) [13]. ➣Hypertension: classification was based on the recommendations of “The Seventh Report of the Joint National Committee on Prevention, Detection, Evaluation and Treatment of High Blood Pressure (JNC-7). It was defined as Systolic Blood Pressure (SBP) >/=140 mmHg and/or Diastolic Blood Pressure (DBP) >/=90 or concurrent use of antihypertensive agents” [14]. ➣Fasting plasma glucose was classified according to the WHO classification into: 1. Normal fasting blood sugar: level plasma glucose is < 110mg/dl. 2. Impaired fasting glucose (IFG) and hyperglycemia: fasting blood glucose is ≥ 110 mg/dl or history of treatment from diabetes [14]. ➣Dyslipidemias were defined according to the USA National Cholesterol Education Program (NCEP) criteria high in Low Density Lipoprotein (LDL) cholesterol as 130 mg%, hyper-tyriglyceridemia as 150 mg/dl and low in High Density Lipoprotein (HDL) cholesterol as < 40 mg/dl in males and < 50 mg/dl in females. High total cholesterol: HDL ratio was defined as > 4.5 [15,16]. The CHD full risk percent in thirty years was calculated using the Framingham’s algorithm based on BMI. The calculation of CHD was not done according to lipid profile as there were some missed cases in the triglycerides analysis. CHD risk assessment data of each student (sex, age, SBP, use of antihypertensive treatment, smoking, diabetes mellitus, BMI) was entered separately, case by case, on the web-site excel sheet using the calculator of the Framingham algorithm which developed according to Pencina and D’Agostino, 2009 [6]. Then the estimated risks of each subject entered into the SPSS data file. CHD risk of all subjects was calculated by SPSS. Stratified analysis was used to compare between risk among males and females. The 30-year risk model offered excellent discrimination (cross-validated C statistic 0.803; 95% CI, 0.786 to 0.820; internally validated C statistic 0.802; 95% CI, 0.772 to 0.832) and calibration [9]. The Framingham Risk Score has been validated in the USA, both in men and women, both in European Americans and African American. While several studies have claimed to improve the score, there is little evidence for any improved prediction beyond Framingham risk score. Based on this Score, subjects were stratified in 5 risk classes (< 5% low-risk; 5- < 10% mild-risk; 10- < 20% moderate-risk; 20- < 40% high-risk; > = 40% very high-risk)” [6]. Descriptive and analytical statistics were conducted. Chi-square test was used for comparison between two categorical variables. Student’s test was performed to compare between two independent means. A “p < 0.05” was considered statistically significant. Data was collected through data collection sheet included: I. Questionnaire: An anonymous, confidential and self-administered questionnaire was used to collect: ➣Personal and socio-demographic characteristics (gender, educational year, family income and parents’ education and job). ➣History of use of drug for treatment of a chronic condition. ➣Risk factors of CHD as nutritional factors (frequency of eating foods rich in saturated fat or fast foods, frequency of eating vegetables and fruits/week), smoking habits, physical activity (regular practice of physical exercise, number of times/week and the duration of practice), time spending in TV watching or using computer. II. Measurements: After completing the questionnaire, measurements were taken as described by D’Agostino, et al., 2008 [12] and included: ➣Weight and height: both were obtained from a lightly clothed student. ➣Blood pressure (BP) measurement: It was done while the student in the sitting position after 4 minute of rest. Systolic and diastolic blood pressure was identified at the beginning of the first and the fifth phase of the Korotkoff sounds using a mercury sphygmomanometer applying the appropriate cuff on the right arm [12]. III. Laboratory investigations: Blood sample was obtained from each participant from the antecubital vein after 12 hours of fasting. It was taken from the antecubital vein while the student in the sitting position. The biochemical evaluation was performed in the laboratory of KAUH and following the criteria of the World Health Organization Lipid Reference Laboratories. Upon arrival, the samples were centrifuged to obtain the plasma Levels of total cholesterol (TC), glucose and triglycerides (TG). They were measured by a chromatometric enzymatic method [12]. Statistical analysis: Data was coded and analyzed using Statistical package for Social Science (SPSS) version 21 (SPSS Inc, Chicago, Ill., USA). The following statistical calculations were done to classify: ➣Body Mass Index (BMI): it was calculated by dividing weight in kilograms by the square of height in meters. BMI was then divided into normal (< 25), overweight (25 - < 30), and obese (≥ 30) [13]. ➣Hypertension: classification was based on the recommendations of “The Seventh Report of the Joint National Committee on Prevention, Detection, Evaluation and Treatment of High Blood Pressure (JNC-7). It was defined as Systolic Blood Pressure (SBP) >/=140 mmHg and/or Diastolic Blood Pressure (DBP) >/=90 or concurrent use of antihypertensive agents” [14]. ➣Fasting plasma glucose was classified according to the WHO classification into: 1. Normal fasting blood sugar: level plasma glucose is < 110mg/dl. 2. Impaired fasting glucose (IFG) and hyperglycemia: fasting blood glucose is ≥ 110 mg/dl or history of treatment from diabetes [14]. ➣Dyslipidemias were defined according to the USA National Cholesterol Education Program (NCEP) criteria high in Low Density Lipoprotein (LDL) cholesterol as 130 mg%, hyper-tyriglyceridemia as 150 mg/dl and low in High Density Lipoprotein (HDL) cholesterol as < 40 mg/dl in males and < 50 mg/dl in females. High total cholesterol: HDL ratio was defined as > 4.5 [15,16]. The CHD full risk percent in thirty years was calculated using the Framingham’s algorithm based on BMI. The calculation of CHD was not done according to lipid profile as there were some missed cases in the triglycerides analysis. CHD risk assessment data of each student (sex, age, SBP, use of antihypertensive treatment, smoking, diabetes mellitus, BMI) was entered separately, case by case, on the web-site excel sheet using the calculator of the Framingham algorithm which developed according to Pencina and D’Agostino, 2009 [6]. Then the estimated risks of each subject entered into the SPSS data file. CHD risk of all subjects was calculated by SPSS. Stratified analysis was used to compare between risk among males and females. The 30-year risk model offered excellent discrimination (cross-validated C statistic 0.803; 95% CI, 0.786 to 0.820; internally validated C statistic 0.802; 95% CI, 0.772 to 0.832) and calibration [9]. The Framingham Risk Score has been validated in the USA, both in men and women, both in European Americans and African American. While several studies have claimed to improve the score, there is little evidence for any improved prediction beyond Framingham risk score. Based on this Score, subjects were stratified in 5 risk classes (< 5% low-risk; 5- < 10% mild-risk; 10- < 20% moderate-risk; 20- < 40% high-risk; > = 40% very high-risk)” [6]. Descriptive and analytical statistics were conducted. Chi-square test was used for comparison between two categorical variables. Student’s test was performed to compare between two independent means. A “p < 0.05” was considered statistically significant. Results: The study population was composed of 214 medical students whose age ranged from 20–28 years with a mean of 20.09 ± 1.0. Table 1 shows personal and socio-demographic characteristics of medical students enrolled in the study. Females represented about three-quarters (75.2 (% of the sample. Regarding the educational year, 35.5%, 39.3% and 25.2% of students were enrolled in the fourth, fifth and sixth year, respectively. Concerning family income, 83.5% earn more than 10,000 Saudi Riyals. About two-thirds (69.6%) of students’ fathers and 60.7% of mothers have a university degree and above. “Personal and socio-demographic” data of the sample medical students *2 students refused to answer about their family income. Concerning past history of diseases, 8.9%, 8.4% and 0.5% of medical students reported having hypercholesterolemia, hypertension, and diabetes, respectively. The prevalence of habitual risk factors is illustrated in Table 2. It is apparent from the table that 57.9% of medical students do not practice physical exercise. Daily eating of food rich in fat and fast food is prevalent among 73.4% and13.1% of students, respectively. On the other hand, about three-quarters (76.6%) and two-fifths (38.3%) of students eat fruits and vegetables weekly. Furthermore, more than half (53.2%) of the students use computers more than 14 hours per week while 10.7% watched TV for the same duration weekly. Only a small percentage of students (2.8%) reported being current smokers. “Coronary Heat Diseases risk factors” among medical students according to their habits Table 3 demonstrates prevalence of CHD risk factors among medical students according to measurements and laboratory results. About one-third of students (31.8%) weighed above the normal; 19.1% are overweight and 12.7% are obese. Hypercholesterolemia was detected among 17.2% and a similar percentage of students (16.0%) had a high level of LDL. The prevalence of hypertension according to JNC-7 classification was 9.3%; 3.7% and 7.9% of students had high systolic and diastolic blood pressure, respectively. About 97.9% of students had normal fasting blood glucose level, while 2.1% had high fasting blood glucose level (Impaired fasting glucose and hyperglycemia). Coronary heart diseases risk factors among medical students according to measurements and laboratory investigations *26 missed cases for fasting blood sugar. **22 missed cases for triglycerides. Figure 1 demonstrates that males have higher rates of overweight and obesity compared to females. It is apparent from the figure that only about one-half (52.8%) of males had normal weight, while 28.3% and 18.9% were overweight and obese, respectively. The corresponding rates for females were 16.2% and 10.6%, respectively. A statistical significant difference was present (X 2  = 7.54, p < 0.01). Relationship between gender and Body Mass Index among clinical years medical student in King Abdul-Aziz University. Analysis of our results shows that the prevalence of hypertension was much higher among males (20.8%) compared to females (5.8%). A highly statistical significant difference was present (X 2  = 10.82, p < 0.01). Table 4 shows that that male students had higher mean levels of most of measurements compared to females. The calculated mean of BMI for males (26.27 ± 6.10) was higher than that of the females (23.30 ± 4.631). A highly statistical significant difference was found (Student’s t- test =3.72, p < 0.001). The mean of SBP, DBP, TGs, total: HDL cholesterol were also higher among males compared to females. Highly statistical significant differences were present. On the other hand, the mean of protective HDL in mmol/l was higher for females (1.60 ± 0.40) compared to males (1.23 ± 0.29). The results also showed that 18.5% of males and 14.0% of females had low HDL below the cutoff values for both genders. Comparison of means of anthropometric and laboratory parameters among male and female medical students Using Framingham algorithm revealed that CHD risk stratified lifetime full risk percent in thirty years based on BMI among total students was 10.7%, 2.3% and 0.5% for mild, moderate and severe risk, respectively. It is much higher among males compared to females (moderate and severe risk among males was 9.4% and 1.9%, respectively) (Table 5). Framingham stratified lifetime risk Score percent of Coronary Heart Diseases in thirty years among medical students in King Abdulaziz University Discussion: As to our best knowledge the current study is the first study looks at CHD risk factors among young adult population in Jeddah using the Framingham algorithm to calculate the 30- years predicted risk of CHD. It may be also the first study used the recommendation of the American Heart Association’s 2013 for CHD risk assessment. All CHD risk factors including lifestyle habits (diet, exercise, and smoking), BP, glucose, and BMI in addition to the traditional lipid panel were assessed. Students were screened and told about their measurement and investigations and given the appropriate recommendations. About 90% of individuals with CHD have at least one risk factor as smoking, diabetes, hypertension and/or hypercholesterolemia [17]. Furthermore, the US National Health and Nutrition Examination Surveys (NHANES) data among young adults aged 20–45 years (1999–2006) revealed that two-thirds have at least one CVD risk factor [10]. Nowadays, overweight and obesity are recognized as a rising pandemic [18]. The current study revealed that about one-third (31.8%) of all medical students were either overweight (19.1%) or obese (12.7%). These findings concur with results of Burke, et al. from USA who reported a similar rate of overweight/obesity (33%) among college students in University of New Hampshire’s in 2009 [19]. In the present study, the prevalence of overweight or obesity was 26.8% among females. A similar prevalence (29.1%) was reported before 2012, among females from 4 colleges of Dammam University, KSA [20]. Our work revealed a higher prevalence of overweight and obesity among male (47.2%) compared to females (26.8%). Similarly, a study conducted at the School of Medicine, Crete University; as their corresponding rates were 40% and 23%, for males and females, respectively [18]. Burke, et al. reported also that males had a higher BMI compared to females [19]. Furthermore, the rate of overweight and obesity among males in the present work coincides with results of other Saudi studies. Sabra, et al. reported a very similar rate (47.1%) among male medical students in King Fahd University in Dammam city, KSA [7]. Comparable rates were also reported from two other Saudi studies one done among male medical students in Qaseem University (46.5%) [21] and the other study was done among male and female medical students in Tibia University (44.8%) [22]. Higher rates of overweight (31%) and obesity (23.3%) were reported among male students at King Saud University, Riyadh, KSA [23]. These alarming high rates of overweight and obesity among Saudi young adults, especially males, may require rapid targeted university intervention. On the other hand, the rates of the present study are much higher than that reported among male medical students from USA, 1999, as only one-fifth of the participants were either overweight or obese [24]. The cause of discrepancy between the current study and the USA study may be attributed to the outcome of the USA health promotion programs or due to the older time of conduction of the USA study. Our study showed that nutritional risk factor of CHD was apparent. This is apparent from high students’ daily intake of fat- rich foods (73.4%) and fast-foods (13.1%). Meanwhile, there was low intake of healthy diet as vegetables and fruits. Sabra, et al. found also that 20.1% of medical male students were consuming fast foods in a frequency of 6–10 times/week [7]. Similarly, Larson, et al., 2008, found that 24% of male and 21% of female adolescents in Minnesota reported frequent intake of fast food (≥ 3 times/week) and these rates increased during the young adulthood [25]. In their other newer study, 2011, they reported also that frequent away-from-home fast food eating is associated with higher daily energy intake, poorer diet quality, and greater weight gain [26]. Regular practicing of physical activity provides significant benefits in reducing morbidity and mortality from CHD [7]. However, our results showed that the prevalence of non-practicing physical exercise was high (57.9%). Sedentary behaviors as playing computer games and watching TV are reported to be associated with increased prevalence of obesity and hence risk of CHD [7,27]. From our results, it was found that 10.7% and 53.2% of medical students spending ≥ 14 hours/week in watching TV and in computer usage, respectively. These results agree with results of Sabra, et al. [7]. The present work reported that the rate of current smoking is low (2.8%) compared to other similar studies. Sabra, et al. reported much higher rate; about 19% of male medical students were smokers [7]. The discrepancy between the current and the Dammam study may be because the current study was conducted among both male and females, with a small male sample, while the other study was conducted only among male with a higher prevalence of smoking. It may be also attributed to the success of Smoke-free Campus program implemented in KAU. Regarding hypertension, it was found that about one-tenth (9.3%) of medical students in the present study were diagnosed as having hypertension; 3.7% as systolic and 7.9% as diastolic hypertension. This finding should be viewed with much concern because of the tendency of high BP to track into adult life, and because of the possibility of secondary hypertension in this age group. The study Sabra, et al. [7] reported higher corresponding rates of systolic and diastolic hypertension (13.8%% and 3.7%, respectively). This difference may be because their study was done only among males. The current study revealed that the prevalence of hypertension was much higher among males (20.8%) compared to females (5.6%). This agrees with results from the Grete study [18]. An older study, 1998, conducted among black and Indian medical students of University of Natal, South Africa, reported lower rates among both sexes (2.5% and 4.2%, respectively) [28]. The cause of the discrepancy between the current study and South African study may be attributed to the time of conduction of their study or due to difference between the two study populations. In the current study it was found that 2.1% had high fasting blood sugar level. This coincides with results of Greece study; 1.9% of male students and 0.6% of female students had high fasting glucose level [18]. Our study showed that male participants had higher levels of triglycerides while females had higher prevalence of the protective HDL (18.5% of males and 14.0% of females had low HDL below the cutoff values for both genders). These results are similar to results of Burke, et al. [19] and also with other findings from an Indian study conducted among the population aged 20–29 years [29]. Using Framingham algorithm of BMI full risk score revealed that CHD risk percent in thirty years among all students was 10.7%, 2.3% and 0.5% for mild, moderate and severe risk, respectively. This result is in line with another study conducted in the USA and found that the Framingham Risk Score was below 10% for all the Chicago Heart Association Detection Project in Industry -predicted risk among the 18 to 29 year old cohort [17]. Finally, eighty percent of heart disease can be prevented through diet and lifestyle modifications. Young adults are ideal targets for prevention efforts because they are in the process of establishing lifestyle habits, which track forward into adulthood [8]. Early detection of these risk factors among Saudi young adults will be very beneficial in prevention of CHD after that. Conclusion: An alarmingly high prevalence of different CHD risk factors revealed among medical students in King Abdulaziz University in the current study. Males had a worse risk factor profile (BMI, triglycerides, HDL cholesterol, total: HDL cholesterol, SBP, and DBP) compared to females (p < 0.05). Among the study population, the commonest risk factors of CHDs were daily intake of high fat diet (73.4%), physical inactivity (57.9%), overweight/or obesity (31.2%) and daily consumption of fast food (13.1%). Hyper-cholesterolemia (17.2%) and hypertension (9.3%) were also prevalent risk factors. Using Framingham Risk Score revealed that CHD risk percent in thirty years among all students was 10.7%, 2.3% and 0.5% for mild, moderate and severe risk, respectively. It is much higher among males compared to females. Implementation of multi-factorial CHD risk screening among Saudi medical students and young adults, and application of intervention programs for those at higher risk is highly recommended. Educational programs to raise health awareness of medical students about CHD risk factors and to encourage them to adopt a healthy dietary behavior, promote physical exercise and smoking cessation should be initiated. Promotion of healthy active lifestyle and prevention of obesity should be a health priority. Implementing surveillance activities to monitors CHD risk factors and determinants among medical students and young adults and to identify the morbidity and mortality from CHD is recommended. Implement medical schools interventions including through regulatory and legislative actions, for the CHD related risk factors as tobacco use, unhealthy diet, lack of physical activity is also required. Further researches involving adults inside and outside the medical schools need to be done to evaluate the effect of knowledge on behavioral CHD risk factors and for better understanding of this preventable epidemic. Limitations of the study The number of females was higher than the number of males as the acceptance rate among females was higher than males. Some of the finding like smoking, BMI and blood tests may be affected. There is a limitation of applying Framingham risk score for non-western population, young population and weather the risk score was previously standardized to be used for Saudi population. On the other hand, although several studies have claimed to improve on the Framingham risk score, there is little evidence for any improved prediction beyond this score. The number of females was higher than the number of males as the acceptance rate among females was higher than males. Some of the finding like smoking, BMI and blood tests may be affected. There is a limitation of applying Framingham risk score for non-western population, young population and weather the risk score was previously standardized to be used for Saudi population. On the other hand, although several studies have claimed to improve on the Framingham risk score, there is little evidence for any improved prediction beyond this score. Limitations of the study: The number of females was higher than the number of males as the acceptance rate among females was higher than males. Some of the finding like smoking, BMI and blood tests may be affected. There is a limitation of applying Framingham risk score for non-western population, young population and weather the risk score was previously standardized to be used for Saudi population. On the other hand, although several studies have claimed to improve on the Framingham risk score, there is little evidence for any improved prediction beyond this score. Abbreviations: NCDs: Non-communicable diseases; CVDs: Cardiovascular diseases; CHD: Coronary heart disease; KSA: Kingdom of Saudi Arabia; KAU: King Abdulaziz University; IRB: Institutional review board; KAUH: King Abdulaziz University Hospital; BP: Blood pressure; SBP: Systolic blood pressure; DBP: Diastolic blood pressure; IFG: Impaired fasting glucose; LDL: Low density lipoprotein; HDL: High density lipoprotein. Competing interests: There are no financial or non-finical competing interests. Authors’ contributions: NKI: Select the study topic, construct the frame of work, construct data collection methods, conduct data analysis, supervise the whole work, write and revise the paper and submit it to the journal. Students: MM, AA, BA, EA, MA, RA, RA: Help in construction of frame of work, conduct the field work and data entry on SPSS and Framingham excel sheet, help in writing and drafting the paper. FMA: Help in construction of frame of work, help in construction of data collection methods, help in conduction of examination, facilitate conduction of laboratory analysis and help in writing the paper. JB: Help in construction of frame of work, help in construction of data collection methods, help in conduction of measurements and help in writing the paper. All authors have read and approved the final manuscript. Pre-publication history: The pre-publication history for this paper can be accessed here: http://www.biomedcentral.com/1471-2458/14/411/prepub
Background: Nowadays, Cardiovascular Diseases (CVDs) represents an escalating worldwide public health problem. Providing consistent data on the magnitude and risk factors of CVDs among young population will help in controlling the risks and avoiding their consequences. Methods: A cross-sectional study was done during the educational year 2012-2013 at King Abdulaziz University (KAU), Jeddah. Ethical standards were followed and a multistage stratified random sample method was used for selection of 214 medical students. Data was collected through an interviewing questionnaire, measurements and laboratory investigations. Both descriptive and analytical statistics were done by SPSS version 21. CHD risk percent in thirty years was calculated using Framingham algorithm for each student, then the risk among all students was determined. Results: The commonest risk factors of CHDs were daily intake of high fat diet (73.4%), physical inactivity (57.9%), overweight/or obesity (31.2%) and daily consumption of fast food (13.1%). Hyper-cholesterolemia (17.2%) and hypertension (9.3%) were also prevalent risk factors. Smoking prevalence was low (2.8%). Males had significantly higher mean scores for most of CHD risk factors compared to females (p < 0.05). Systolic Blood pressure was higher among males (119.47 ± 11.17) compared to females (112.26 ± 9.06). A highly statistical significant difference was present (Students't test = 4.74, p < 0.001). Framingham Risk Score revealed that CHD risk percent in thirty-years among all students was 10.7%, 2.3% and 0.5% for mild, moderate and severe risk, respectively. Conclusions: An alarmingly high prevalence of CHD risk factors was prevailed among medical students, especially among males. However, a low prevalence of smoking may indicate the success of "Smoke-free Campus" program. Screening risk factors of CHD among medical students and implementation of intervention programs are recommended. Programs to raise awareness about CHD risk factors, encourage young adult students to adopt a healthy dietary behavior and promote physical exercise should be initiated.
Background: Non-Communicable Diseases (NCDs) are on continuous rise worldwide [1]. Furthermore, developing countries is experiencing a double burden of diseases; both Communicable Diseases (CDs) and NCDs [2]. It is estimated that in the developing countries NCDs will account for seven of each ten deaths by the year 2020. Among NCDs, Cardiovascular Diseases (CVDs) are the leading cause of morbidity, disability and mortality worldwide [1]. The global rise in CVDs is driven by both urbanization and its related lifestyle modifications [3]. The Kingdom of Saudi Arabia (KSA) is experiencing an alarming rising in incidence and death rates from CVDs [3-5]. A study done in the Eastern region of KSA revealed that 26% of total deaths were attributed to CVDs (27% of deaths of males and 23.5% of females) [5]. It is expected that the burden of CVDs will continue to grow in KSA due to continuous exposure to risk factors. This increase is also considering the young population; as about 60% of the Saudi population was less than 30 years [4]. Coronary Heart Disease (CHD) is the commonest cause of death from CVDs. In addition, it is one of the leading causes of disease burden [5]. Identification of risk factors contributing to the incidence of CHD is one of the major achievements of epidemiology in the 20th century [6] Smoking, hypertension, diabetes mellitus, high dietary fat intake, and lack of physical exercise have been documented as independent risk factors for the development of CHD [7]. Risk factor profiles in young adulthood (18–24 years) strongly predict long-term CHD risk [8]. Understanding the magnitude and types of CHD risk factors among young adults is an important aspect in establishing targeted intervention, before disease progression occurs, through promoting lifestyle changes [7,8]. Despite these evidences, risk assessment and disease prevention efforts are lacking in this age group. Most of young adults are not screened and are not aware of their CHD risk. This leads to underestimation of the risk in spite of its high prevalence [8]. Hence, the prevalence of CHD risk factors of among young adults needs to be urgently addressed. Risk prediction algorithms have been used to detect persons at high risk for developing CVD and to pick individuals who need intensive preventive interventions. Framingham-based equations have been the most extensively used equations for clinical practice guidelines [9]. Despite these facts, limited number of studies has been conducted on estimating the prevalence of CHD risk factors among young adults in Saudi Arabia [7]. There is also lack of studies using the Framingham algorithm for CHD risk assessment. Furthermore, the American Heart Association’s 2013 recommended that screenings should include assessment of all CHD risk factors including lifestyle habits (diet, exercise, and smoking), blood pressure, glucose, and Body Mass Index (BMI) in addition to the traditional lipid panel [10]. However, most of the conducted studies in the Saudi Arabia lacked of some of the recommended items [7]. In addition, scanty studies conducted for CHD risk assessment among medical students in Jeddah. So, such studies are urgently needed. The objective of the current study was to estimate the prevalence of risk factors of Coronary Heart Diseases among medical students, during their clinical clerkship years, at King Abdulaziz University (KAU), Jeddah. Conclusion: An alarmingly high prevalence of different CHD risk factors revealed among medical students in King Abdulaziz University in the current study. Males had a worse risk factor profile (BMI, triglycerides, HDL cholesterol, total: HDL cholesterol, SBP, and DBP) compared to females (p < 0.05). Among the study population, the commonest risk factors of CHDs were daily intake of high fat diet (73.4%), physical inactivity (57.9%), overweight/or obesity (31.2%) and daily consumption of fast food (13.1%). Hyper-cholesterolemia (17.2%) and hypertension (9.3%) were also prevalent risk factors. Using Framingham Risk Score revealed that CHD risk percent in thirty years among all students was 10.7%, 2.3% and 0.5% for mild, moderate and severe risk, respectively. It is much higher among males compared to females. Implementation of multi-factorial CHD risk screening among Saudi medical students and young adults, and application of intervention programs for those at higher risk is highly recommended. Educational programs to raise health awareness of medical students about CHD risk factors and to encourage them to adopt a healthy dietary behavior, promote physical exercise and smoking cessation should be initiated. Promotion of healthy active lifestyle and prevention of obesity should be a health priority. Implementing surveillance activities to monitors CHD risk factors and determinants among medical students and young adults and to identify the morbidity and mortality from CHD is recommended. Implement medical schools interventions including through regulatory and legislative actions, for the CHD related risk factors as tobacco use, unhealthy diet, lack of physical activity is also required. Further researches involving adults inside and outside the medical schools need to be done to evaluate the effect of knowledge on behavioral CHD risk factors and for better understanding of this preventable epidemic. Limitations of the study The number of females was higher than the number of males as the acceptance rate among females was higher than males. Some of the finding like smoking, BMI and blood tests may be affected. There is a limitation of applying Framingham risk score for non-western population, young population and weather the risk score was previously standardized to be used for Saudi population. On the other hand, although several studies have claimed to improve on the Framingham risk score, there is little evidence for any improved prediction beyond this score. The number of females was higher than the number of males as the acceptance rate among females was higher than males. Some of the finding like smoking, BMI and blood tests may be affected. There is a limitation of applying Framingham risk score for non-western population, young population and weather the risk score was previously standardized to be used for Saudi population. On the other hand, although several studies have claimed to improve on the Framingham risk score, there is little evidence for any improved prediction beyond this score.
Background: Nowadays, Cardiovascular Diseases (CVDs) represents an escalating worldwide public health problem. Providing consistent data on the magnitude and risk factors of CVDs among young population will help in controlling the risks and avoiding their consequences. Methods: A cross-sectional study was done during the educational year 2012-2013 at King Abdulaziz University (KAU), Jeddah. Ethical standards were followed and a multistage stratified random sample method was used for selection of 214 medical students. Data was collected through an interviewing questionnaire, measurements and laboratory investigations. Both descriptive and analytical statistics were done by SPSS version 21. CHD risk percent in thirty years was calculated using Framingham algorithm for each student, then the risk among all students was determined. Results: The commonest risk factors of CHDs were daily intake of high fat diet (73.4%), physical inactivity (57.9%), overweight/or obesity (31.2%) and daily consumption of fast food (13.1%). Hyper-cholesterolemia (17.2%) and hypertension (9.3%) were also prevalent risk factors. Smoking prevalence was low (2.8%). Males had significantly higher mean scores for most of CHD risk factors compared to females (p < 0.05). Systolic Blood pressure was higher among males (119.47 ± 11.17) compared to females (112.26 ± 9.06). A highly statistical significant difference was present (Students't test = 4.74, p < 0.001). Framingham Risk Score revealed that CHD risk percent in thirty-years among all students was 10.7%, 2.3% and 0.5% for mild, moderate and severe risk, respectively. Conclusions: An alarmingly high prevalence of CHD risk factors was prevailed among medical students, especially among males. However, a low prevalence of smoking may indicate the success of "Smoke-free Campus" program. Screening risk factors of CHD among medical students and implementation of intervention programs are recommended. Programs to raise awareness about CHD risk factors, encourage young adult students to adopt a healthy dietary behavior and promote physical exercise should be initiated.
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[ "risk", "students", "study", "chd", "blood", "females", "high", "males", "medical", "chd risk" ]
[ "cvds cardiovascular diseases", "risk factors saudi", "coronary heart disease", "prevalence cvds risk", "risk factors coronary" ]
[CONTENT] Risk factors | Coronary heart diseases | Young adults | Framingham risk score [SUMMARY]
[CONTENT] Risk factors | Coronary heart diseases | Young adults | Framingham risk score [SUMMARY]
[CONTENT] Risk factors | Coronary heart diseases | Young adults | Framingham risk score [SUMMARY]
[CONTENT] Risk factors | Coronary heart diseases | Young adults | Framingham risk score [SUMMARY]
[CONTENT] Risk factors | Coronary heart diseases | Young adults | Framingham risk score [SUMMARY]
[CONTENT] Risk factors | Coronary heart diseases | Young adults | Framingham risk score [SUMMARY]
[CONTENT] Adult | Blood Pressure | Coronary Disease | Cross-Sectional Studies | Female | Health Behavior | Humans | Male | Risk Factors | Saudi Arabia | Sex Factors | Smoking | Students, Medical | Surveys and Questionnaires | Universities [SUMMARY]
[CONTENT] Adult | Blood Pressure | Coronary Disease | Cross-Sectional Studies | Female | Health Behavior | Humans | Male | Risk Factors | Saudi Arabia | Sex Factors | Smoking | Students, Medical | Surveys and Questionnaires | Universities [SUMMARY]
[CONTENT] Adult | Blood Pressure | Coronary Disease | Cross-Sectional Studies | Female | Health Behavior | Humans | Male | Risk Factors | Saudi Arabia | Sex Factors | Smoking | Students, Medical | Surveys and Questionnaires | Universities [SUMMARY]
[CONTENT] Adult | Blood Pressure | Coronary Disease | Cross-Sectional Studies | Female | Health Behavior | Humans | Male | Risk Factors | Saudi Arabia | Sex Factors | Smoking | Students, Medical | Surveys and Questionnaires | Universities [SUMMARY]
[CONTENT] Adult | Blood Pressure | Coronary Disease | Cross-Sectional Studies | Female | Health Behavior | Humans | Male | Risk Factors | Saudi Arabia | Sex Factors | Smoking | Students, Medical | Surveys and Questionnaires | Universities [SUMMARY]
[CONTENT] Adult | Blood Pressure | Coronary Disease | Cross-Sectional Studies | Female | Health Behavior | Humans | Male | Risk Factors | Saudi Arabia | Sex Factors | Smoking | Students, Medical | Surveys and Questionnaires | Universities [SUMMARY]
[CONTENT] cvds cardiovascular diseases | risk factors saudi | coronary heart disease | prevalence cvds risk | risk factors coronary [SUMMARY]
[CONTENT] cvds cardiovascular diseases | risk factors saudi | coronary heart disease | prevalence cvds risk | risk factors coronary [SUMMARY]
[CONTENT] cvds cardiovascular diseases | risk factors saudi | coronary heart disease | prevalence cvds risk | risk factors coronary [SUMMARY]
[CONTENT] cvds cardiovascular diseases | risk factors saudi | coronary heart disease | prevalence cvds risk | risk factors coronary [SUMMARY]
[CONTENT] cvds cardiovascular diseases | risk factors saudi | coronary heart disease | prevalence cvds risk | risk factors coronary [SUMMARY]
[CONTENT] cvds cardiovascular diseases | risk factors saudi | coronary heart disease | prevalence cvds risk | risk factors coronary [SUMMARY]
[CONTENT] risk | students | study | chd | blood | females | high | males | medical | chd risk [SUMMARY]
[CONTENT] risk | students | study | chd | blood | females | high | males | medical | chd risk [SUMMARY]
[CONTENT] risk | students | study | chd | blood | females | high | males | medical | chd risk [SUMMARY]
[CONTENT] risk | students | study | chd | blood | females | high | males | medical | chd risk [SUMMARY]
[CONTENT] risk | students | study | chd | blood | females | high | males | medical | chd risk [SUMMARY]
[CONTENT] risk | students | study | chd | blood | females | high | males | medical | chd risk [SUMMARY]
[CONTENT] risk | chd | chd risk | cvds | risk factors | factors | diseases | young | ncds | disease [SUMMARY]
[CONTENT] risk | dl | mg | according | student | blood | mg dl | fasting | high | cholesterol [SUMMARY]
[CONTENT] students | medical | medical students | respectively | table | females | mean | males | higher | risk [SUMMARY]
[CONTENT] risk | score | population | factors | risk score | risk factors | chd | medical | higher | chd risk [SUMMARY]
[CONTENT] risk | students | chd | score | study | blood | females | higher | males | help [SUMMARY]
[CONTENT] risk | students | chd | score | study | blood | females | higher | males | help [SUMMARY]
[CONTENT] ||| [SUMMARY]
[CONTENT] the educational year 2012-2013 | King Abdulaziz University | KAU | Jeddah ||| 214 ||| ||| SPSS | 21 ||| CHD risk percent | thirty years | Framingham [SUMMARY]
[CONTENT] daily | 73.4% | 57.9% | 31.2% | 13.1% ||| 17.2% | 9.3% ||| 2.8% ||| CHD | 0.05 ||| Systolic Blood | 119.47 ± | 11.17 | 112.26 ±  | 9.06 ||| 4.74 | 0.001 ||| Framingham Risk Score | CHD | thirty-years | 10.7% | 2.3% and 0.5% [SUMMARY]
[CONTENT] CHD ||| Smoke ||| CHD ||| CHD [SUMMARY]
[CONTENT] ||| ||| the educational year 2012-2013 | King Abdulaziz University | KAU | Jeddah ||| 214 ||| ||| SPSS | 21 ||| CHD risk percent | thirty years | Framingham ||| daily | 73.4% | 57.9% | 31.2% | 13.1% ||| 17.2% | 9.3% ||| 2.8% ||| CHD | 0.05 ||| Systolic Blood | 119.47 ± | 11.17 | 112.26 ±  | 9.06 ||| 4.74 | 0.001 ||| Framingham Risk Score | CHD | thirty-years | 10.7% | 2.3% and 0.5% ||| CHD ||| Smoke ||| CHD ||| CHD [SUMMARY]
[CONTENT] ||| ||| the educational year 2012-2013 | King Abdulaziz University | KAU | Jeddah ||| 214 ||| ||| SPSS | 21 ||| CHD risk percent | thirty years | Framingham ||| daily | 73.4% | 57.9% | 31.2% | 13.1% ||| 17.2% | 9.3% ||| 2.8% ||| CHD | 0.05 ||| Systolic Blood | 119.47 ± | 11.17 | 112.26 ±  | 9.06 ||| 4.74 | 0.001 ||| Framingham Risk Score | CHD | thirty-years | 10.7% | 2.3% and 0.5% ||| CHD ||| Smoke ||| CHD ||| CHD [SUMMARY]
Effects of a weight loss intervention on body mass, fitness, and inflammatory biomarkers in overweight or obese breast cancer survivors.
21336679
Obesity is characterized by chronic mild inflammation and may influence the risk and progression of cancer.
BACKGROUND
Study participants averaged 56 years of age (N=68). Intervention participants (n=44 vs. 24 controls) participated in a cognitive behavioral therapy-based weight management program as part of an exploratory randomized trial. The intervention incorporated strategies to promote increased physical activity and diet modification. Baseline and 16-week data included height, weight, body composition, physical activity level, and biomarkers IL-6, IL-8, TNF-α, and VEGF.
METHODS
Weight loss was significantly greater in the intervention group than controls (-5.7 [3.5] vs. 0.2 [4.1] kg, P<0.001). Paired t tests noted favorable changes in physical activity level (P<0.001 intervention, P=0.70 control), marginally lower IL-6 levels (P=0.06 intervention, P=0.25 control) at 16 weeks for participants in the intervention group, and lower TNF-α levels for participants in the intervention (P<0.05) and control groups (P<0.001). Increased physical activity was associated with favorable changes in IL-6 for participants in the intervention group (R(2) =0.18; P<0.03).
RESULTS
Favorable changes in cytokine levels were observed in association with weight loss in this exploratory study with overweight breast cancer survivors.
CONCLUSION
[ "Adult", "Aged", "Biomarkers", "Body Mass Index", "Breast Neoplasms", "California", "Cognitive Behavioral Therapy", "Female", "Humans", "Middle Aged", "Obesity", "Overweight", "Physical Fitness", "Regression Analysis", "Survivors", "Weight Loss", "Weight Reduction Programs" ]
3212681
Introduction
Breast cancer is the most common invasive cancer among women in developed countries. It accounts for 26% of incident cancers and 15% of cancer deaths among women in the US, with an estimated 180,000 women diagnosed with breast cancer in 2008 [1]. Most breast cancers are now diagnosed at a localized stage, which is associated with a 5-year survival rate of 96% [1]. In addition, improvements in initial treatments have resulted in an ever-increasing number of breast cancer survivors [1, 2]. Recurrence, risks for second primary cancers, and comorbidities, such as diabetes, cardiovascular disease, and osteoporosis, are issues that need to be considered in long-term management of these women [3, 4]. Overweight or obesity is a negative prognostic factor in both pre- and postmenopausal breast cancer [5, 6], and it is increasingly being recognized as a medical condition that is characterized by chronic mild inflammation [7]. Several mechanisms have been proposed to explain the adverse effect of overweight on prognosis after the diagnosis of breast cancer, including the unfavorable effects of obesity on circulating levels of inflammatory cytokines [8]. Inflammatory cytokines, such as interleukin-6 (IL-6), interleukin-8 (IL-8), tumor necrosis factor-α (TNF-α), and vascular endothelial growth factor (VEGF), have been consistently associated with breast pathology, and specifically, the development of breast cancer [9]. This is possibly a result of their regulatory impact on proliferation of breast cancer cells through estrogen production [10]. Even though the exact processes with which these cytokines may influence breast carcinoma is still under debate [11], higher levels of IL-6 and IL-8 are both associated with advanced disease and/or metastases in breast cancer patients [12]. In addition to influencing the risk and progression of cancer [13, 14], research efforts have identified chronic mild inflammation as an independent predictor of several other chronic diseases and mortality [15]. One probable explanation for the relationship between obesity and inflammation is the finding that adipose tissue functions as a major secretory organ for inflammatory markers, including TNF-α, IL-6, IL-8, and VEGF [14, 16, 17]. Furthermore, increased production and release of TNF-α, IL-6, and IL-8 by adipose tissue are associated with degree of obesity [8, 16]. Conversely, weight loss has been associated with a reduction in these inflammatory factors [18]. Most studies evaluating the influence of weight loss on cytokine levels relied primarily on reduced energy intake as a behavioral strategy [8, 19]. In a randomized clinical trial of weight loss and chronic inflammation in obese adults, Nicklas et al. [15] found that diet-induced weight loss of 5.7% on average resulted in significant reductions in concentrations of IL-6 and TNF-α. In a study with 120 premenopausal obese women (body mass index; BMI ≥ 30 kg/m2), a reduction in BMI in the intervention group was associated with lower serum levels of IL-6 and C-reactive protein (CRP) [20]. In a recent review, changes in cytokine levels were noted in all 19 studies designed to evaluate the effects of weight loss and exercise on markers of inflammation [19]. The duration of the interventions ranged from 4-6 weeks to 2 years, with reported weight loss ranging from 3.2% to 30% of body weight. Physical activity has also been shown to affect local and systemic cytokine production. In several studies, exercise interventions of moderate intensity led to significant reductions in circulating levels of IL-6, TNF-α, and IL-8 in healthy individuals and in patients with cardiovascular disease [21–24]. In other studies, the biological response to exercise was found to be dependent on the intensity and duration of the activity [25]. Although several studies have evaluated the relationship between weight loss, exercise, and circulating cytokine levels in healthy obese individuals [15, 26] or in individuals with various health conditions, these relationships have not been previously examined in overweight breast cancer survivors. The purpose of this study was to specifically examine the relationships between weight loss and physical activity and selected inflammatory markers in breast cancer survivors. Samples were obtained from women who participated in a small randomized trial, the Healthy Weight Management (HWM) Study for Breast Cancer Survivors (2002-2004), which successfully promoted weight loss in overweight or obese subjects assigned to the intervention arm. The current study is an exploratory analysis of the effect of weight loss and increased physical activity on inflammatory cytokines TNF-α, IL-6, IL-8 and VEGF at the end of the 16-week intensive intervention period.
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Results
Participant ranged from 33 to 71 years of age. Ninety-four percent of the participants were non-Hispanic white. The majority of the participants were married (77%), and many had completed college or higher levels of education. No significant differences were found between intervention and control groups for demographic characteristics such as age, level of education, and race/ethnicity. Similarly, no differences at baseline were observed for outcome measures such as BMI, weight, and physical fitness or activity levels (Table 1). Table 1Characteristics of the study groups at baselineInterventionControl(n = 44)(n=24)VariablesMean (SD)Mean (SD)Age, years56 (9)56 (8)Years of education, years16 (2)16 (2)Body mass index, kg/m2 30.8 (3.8)31.3 (5.2)Weight, kg83.9 (11.8)87.2 (14.7)Waist circumference, cm101.5 (12.0)106.7 (13.4)Total body fat, kg36.9 (7.5)40.4 (10.2)Step test, HR/30 s60 (8)57 (7)Moderate or vigorous physical activity, h/week3.2 (2.1)3.7 (3.3)None of the means are significantly different between groups at baseline Characteristics of the study groups at baseline None of the means are significantly different between groups at baseline According to independent t tests, the magnitude of reduction in BMI (P < 0.0001), weight (−6.8% in intervention and −0.3% in control, P < 0.0001), waist circumference (P < 0.05), and percent body fat (P < 0.0001) between baseline and 16 weeks was significantly greater for participants in the intervention group (Table 2). Additionally, performance on the stepping test indicated better fitness (P < 0.05), and hours of moderate or vigorous physical activity, between baseline and 16 weeks improved significantly more for participants in the intervention group than for controls (P < 0.05; Table 2). Table 2Mean differences in magnitude of change for key variables between baseline and 16 weeksMean (SD)Intervention (n = 44)Control (n = 24)Change in body mass index, kg/m2−2.1 (1.3)**−0.1 (1.5)Change in weight, kg−5.7 (3.5)**−0.2 (4.1)Change in waist circumference, cm−7.1 (6.4)*−2.5 (7.7)Change in percent body fata −4.5 (3.8)**−0.9 (2.3)Change in step test, HR/30 s−6.0 (8)*−1.0 (6)Change in physical activity levels, h/week2.2 (3.3)*0.3 (3.7) aOne control and two intervention subjects had missing body composition data (one intervention at baseline; one intervention and one control at 16 weeks)*P < 0.05; **P < 0.0001 Mean differences in magnitude of change for key variables between baseline and 16 weeks aOne control and two intervention subjects had missing body composition data (one intervention at baseline; one intervention and one control at 16 weeks) *P < 0.05; **P < 0.0001 According to paired t tests evaluating within-group differences in inflammatory factors for the intervention group between baseline and 16 weeks, levels of TNF-α significantly reduced (P < 0.05). A reduction was also noted for IL-6 level (P = 0.06; Table 3). TNF-α was also found to be decreased at 16 weeks for the control group (P < 0.05; Table 3). No differences were noted for IL-8 and VEGF. Table 3Within group differences for change in cytokine levels between baseline and 16 weeksInterventionControlMean (SD) N Baseline16 Weeks N Baseline16 WeeksVariablesMean (SD)Mean (SD) P valueMean (SD)Mean (SD) P valueTNFα (pg/mL)425.9 (2.0)5.4 (1.9)0.03245.4 (1.3)4.6 (1.0)0.0001IL-6 (pg/mL)431.7 (0.9)1.4 (0.9)0.06241.7 (1.3)1.4 (0.8)0.33IL-8 (pg/mL)434.8 (1.7)5.1 (2.0)0.29234.5 (1.5)4.4 (1.9)0.75VEGF (pg/mL)4229.3 (21.8)33.5 (27.0)0.202334.9 (22.5)31.3 (16.6)0.38 IL-6 interleukin-6, IL-8 interleukin-8, TNF-α tumor necrosis factor-α, and VEGF vascular endothelial growth factorThree sigma outliers (one each for IL-6, IL-8, and VEGF and one for both Il-6 and VEGF in the intervention group; one each for IL-8 and VEGF in the control group) were excluded Within group differences for change in cytokine levels between baseline and 16 weeks IL-6 interleukin-6, IL-8 interleukin-8, TNF-α tumor necrosis factor-α, and VEGF vascular endothelial growth factor Three sigma outliers (one each for IL-6, IL-8, and VEGF and one for both Il-6 and VEGF in the intervention group; one each for IL-8 and VEGF in the control group) were excluded Correlation analysis showed that several inflammatory factors were associated with key outcome measures for the participants in the intervention group. Both IL-6 and VEGF were positively correlated with BMI at 16 weeks (r = 0.37, P < 0.05 for IL-6, and r = 0.44, P < 0.01 for VEGF). IL-6 levels at 16 weeks were also positively correlated with performance on step test (r = 0.42, P < 0.01). Increased total hours of moderate or vigorous exercise at 16 weeks was correlated with favorable reductions in IL-6 (r = −0.35, P < 0.05) and VEGF (r = −0.46, P < 0.01) between baseline and 16 weeks. In a regression analysis using participants in the intervention group, controlling for change in weight and change in heart rate/min after the stepping test, increased level of physical activity was associated with favorable changes in IL-6 levels (R 2=0.18, P < 0.05; Table 4). Other cytokines did not show significant associations with change in physical activity. Table 4Regression model of factors associated with IL-6 levels at 16 weeks in the intervention group (n = 38)Variableβ-coefficientSignificance (P value) R 2 Increase in moderate or vigorous physical activity, hours/week−0.1250.02Change in weight, kg0.010.2Change in heart rate/min after step test−0.010.70.18Excluding one 3-sigma outlier Regression model of factors associated with IL-6 levels at 16 weeks in the intervention group (n = 38) Excluding one 3-sigma outlier
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[ "Participants", "Weight Loss Intervention", "Measures", "Blood Sampling and Assays", "Components of the intervention", "Data Analysis" ]
[ "The participants in the HWM Study were 85 breast cancer survivors living in San Diego, CA, USA. Primary recruitment procedures included community outreach and networking with clinical contacts to receive referrals. Other strategies included advertising in a major local newspaper and setting up booths at community events. Finally, a list of potentially eligible participants from the University of California, San Diego Cancer Registry was requested. A letter was sent to those on the list inviting them to contact the study coordinator if they were interested in participating in the study.\nThe inclusion criteria for the study were: 18 years and older; diagnosed with stage I-IIIA breast cancer within the previous 14 years; completed initial treatments (i.e., surgery, adjuvant chemotherapy, radiation therapy); initial BMI ≥ 25.0 kg/m2 (overweight or obese) and a minimum of 15 kg over ideal weight as defined by the Metropolitan Life Insurance Company tables [27]; willingness and ability to attend group meetings for 16 weeks and to maintain contact with the investigators for 1 year; and ability to provide dietary and exercise data by telephone at prescribed intervals. An exclusion criterion was the inability to participate in physical activity because of severe disability (e.g., severe arthritic conditions).\nAt screening and recruitment, the ability to participate in mild and moderate physical activity was assessed with the Physical Activity Readiness Questionnaire and Health History Questionnaire, a standard procedure for screening participants for community-based physical activity programs of this nature [28]. Following recruitment and written consent, participants were stratified by BMI [(25.0-29.9 (n = 38) versus >30.0 (n = 47) kg/m2)] and age [<=50 (n = 26), 51-65 (n = 47), >65 (n = 12)], and randomly assigned to either the group-based intervention program (n = 56) or a control group (n = 29), with a 2:1 intervention-to-control ratio to provide sufficient statistical power for the main study hypothesis (differential weight loss between groups), while minimizing subject numbers in this feasibility study. A test of two-sample comparison of the 16-week weight change scores was selected with the alpha (type one error) level set at 0.025 assuming a Bonferroni correction for multiple hypothesis tests. The power (or one minus the type two error) was 80%. The standard deviation for weight change, assumed equal in both groups at 16 weeks, was set at 5.2 kg based on data from Andersen et al. [29]. This sample size analysis indicated that a final number of 63 participants (42 intervention and 21 control), after accounting for dropouts, would provide an adequately powered comparison to detect a clinically significant effect size. Figure 1 includes the CONSORT flow chart for the HWM study.\nFig. 1CONSORT Chart for Healthy Weight Management Study including recruitment information\n\nCONSORT Chart for Healthy Weight Management Study including recruitment information", "The intervention sessions were led by trained investigators and research staff. The program curriculum consisted of group sessions provided according to the following schedule: weekly for 4 months, and follow-up monthly sessions through 12 months. The primary goal of the intervention was to promote regular physical activity and reduced energy intake in order to facilitate weight loss (Fig. 2). The group meetings consisted of discussion and educational/didactic sessions that covered the content areas, with the major proportion of time devoted to increasing physical activity. All intervention subjects also received intensive individualized telephone-based counseling from the study coordinator, starting with weekly calls and decreasing in frequency after the first month (every other week for the next 2 months, and once a month thereafter). The time points for data collection from all subjects were baseline, 16 weeks, and 12 months. The group sessions offered to the treatment study arm was closed-group contingents (with an average of 12-15 women). To equalize possible seasonal effects on targeted behaviors and weight change in the two study arms, wait list subjects were followed concurrent with intervention group subjects and received general contact such as mailed communications during the study period. At study end, they were provided all written intervention materials and a concise version of the didactic material along with facilitated discussion in the format of a 2-day seminar.\nFig. 2Weight loss intervention curriculum topics\n\nWeight loss intervention curriculum topics", "Anthropometric measurements (height, weight, and waist and hip circumferences) were collected at baseline and 16 weeks using standard procedures, and body composition was measured with dual energy X-ray absorptiometry (DXA) using a Lunar DPX-NT densitometer (Lunar/GE Corp). Whole body, regional body fat, and percent fat were obtained from total body DXA scans. All scans were conducted by the same certified technician who was blinded on the assignment of the intervention for each participant.\nPhysical activity data were collected at baseline and 16 weeks using the 7-day physical activity recall instrument developed by Blair et al. [30]. This approach has been shown to be highly reliable (test-retest reliability = 0.99) [31], valid, and sensitive to the effects of physical activity promotion programs [30]. This instrument focuses on the participant’s daily activities over a 7-day period. A telephone interview is scheduled and the interviewer asks the participant to recall when and what kind of physical activity they had in the past week, and the intensity of their activity. Examples of moderate, hard, and very hard activities are provided to help them accurately identify the intensity.\nPhysical fitness data were collected with the 3-min stepping test, which was used to detect possible changes in aerobic fitness by measuring heart rate during the first 15 s of recovery from stepping. The stepping test has high reliability (0.92), is sensitive to change [32], and widely used to assess cardiorespiratory fitness [33].\n Blood Sampling and Assays Blood samples were collected at baseline and 16 weeks between the hours of 8 AM and 1 PM for a majority of the participants (83% at baseline, 68% at 16 weeks). Following centrifugation and separation, plasma or serum was stored at −80o C until assays were conducted. Levels of IL-6, TNF-α, IL-8, and VEGF were determined in duplicate by commercial ELISA with internal controls (R&D Systems, Mpls, MN). Intra-assay coefficient of variation (CVs) were <8%, and inter-assay CVs were <7%. Both samples from a given participant were assayed together [34].\nBlood samples were collected at baseline and 16 weeks between the hours of 8 AM and 1 PM for a majority of the participants (83% at baseline, 68% at 16 weeks). Following centrifugation and separation, plasma or serum was stored at −80o C until assays were conducted. Levels of IL-6, TNF-α, IL-8, and VEGF were determined in duplicate by commercial ELISA with internal controls (R&D Systems, Mpls, MN). Intra-assay coefficient of variation (CVs) were <8%, and inter-assay CVs were <7%. Both samples from a given participant were assayed together [34].\n Components of the intervention The overall content of the intervention included behavioral and cognitive strategies for implementing dietary modification and increasing physical activity [35]. The goal was to achieve a modest weight loss that is sustained, with an emphasis on features that increase this likelihood, such as acceptance of modest weight loss and focusing on skills for weight maintenance. The physical activity component involved encouraging and promoting regular planned aerobic exercise. The long-term goal was to achieve an average of at least 1 h/day of planned exercise at a moderate level of intensity, which is consistent with the current Institute of Medicine recommendations [36]. The main goal of the dietary guidance component was to promote a reduction in energy intake relative to expenditure, with a goal being an energy deficit of 500-1,000 kcal/day by individualized diet modification that emphasized reduced energy density of the overall diet [37], while avoiding excessive dietary restraint. The wait list group participants were provided only general contact (monthly check-up calls, holiday and seasonal cards, and mailed communications) without specific reference to weight management topics through a 12-month period of data collection. Following that period, they were provided all written intervention materials and a concise version of the didactic material, and facilitated discussion was offered in the format of a 2-day seminar.\nThe overall content of the intervention included behavioral and cognitive strategies for implementing dietary modification and increasing physical activity [35]. The goal was to achieve a modest weight loss that is sustained, with an emphasis on features that increase this likelihood, such as acceptance of modest weight loss and focusing on skills for weight maintenance. The physical activity component involved encouraging and promoting regular planned aerobic exercise. The long-term goal was to achieve an average of at least 1 h/day of planned exercise at a moderate level of intensity, which is consistent with the current Institute of Medicine recommendations [36]. The main goal of the dietary guidance component was to promote a reduction in energy intake relative to expenditure, with a goal being an energy deficit of 500-1,000 kcal/day by individualized diet modification that emphasized reduced energy density of the overall diet [37], while avoiding excessive dietary restraint. The wait list group participants were provided only general contact (monthly check-up calls, holiday and seasonal cards, and mailed communications) without specific reference to weight management topics through a 12-month period of data collection. Following that period, they were provided all written intervention materials and a concise version of the didactic material, and facilitated discussion was offered in the format of a 2-day seminar.", "Blood samples were collected at baseline and 16 weeks between the hours of 8 AM and 1 PM for a majority of the participants (83% at baseline, 68% at 16 weeks). Following centrifugation and separation, plasma or serum was stored at −80o C until assays were conducted. Levels of IL-6, TNF-α, IL-8, and VEGF were determined in duplicate by commercial ELISA with internal controls (R&D Systems, Mpls, MN). Intra-assay coefficient of variation (CVs) were <8%, and inter-assay CVs were <7%. Both samples from a given participant were assayed together [34].", "The overall content of the intervention included behavioral and cognitive strategies for implementing dietary modification and increasing physical activity [35]. The goal was to achieve a modest weight loss that is sustained, with an emphasis on features that increase this likelihood, such as acceptance of modest weight loss and focusing on skills for weight maintenance. The physical activity component involved encouraging and promoting regular planned aerobic exercise. The long-term goal was to achieve an average of at least 1 h/day of planned exercise at a moderate level of intensity, which is consistent with the current Institute of Medicine recommendations [36]. The main goal of the dietary guidance component was to promote a reduction in energy intake relative to expenditure, with a goal being an energy deficit of 500-1,000 kcal/day by individualized diet modification that emphasized reduced energy density of the overall diet [37], while avoiding excessive dietary restraint. The wait list group participants were provided only general contact (monthly check-up calls, holiday and seasonal cards, and mailed communications) without specific reference to weight management topics through a 12-month period of data collection. Following that period, they were provided all written intervention materials and a concise version of the didactic material, and facilitated discussion was offered in the format of a 2-day seminar.", "Data were analyzed on all participants (n = 68) who had data for weight, waist, percent body fat, physical fitness, physical activity, and inflammatory cytokines at baseline and 16 weeks, following the intensive intervention period, to explore the association between weight loss (independent variable) and change in each inflammatory factor (dependent variable). The relationship between physical activity (independent variable) and change in inflammatory biomarkers was also examined. Although 12 month data were collected as part of the parent study, the present findings describe data from the 16-week data collection period when blood samples were analyzed for cytokine assays.\nChange variables were computed to evaluate group differences in key study outcomes, such as BMI, weight, body composition, and level of physical activity. Group differences in outcome variables at 16 weeks between the intervention and control groups were assessed with independent t tests. After excluding values of cytokine data that exceeded three standard deviations from the overall mean, within group differences between baseline and 16 weeks were evaluated with paired t tests. Spearman correlations (excluding outliers) examined relationships between cytokines, BMI, percent body fat, and physical activity at baseline and at 16 weeks. Regression analyses explored the association between the increase in physical activity levels (independent variable) and change in each inflammatory factor (dependent variable), controlling for weight loss and change in stepping test heart rate. An alpha value ≤0.05 was considered statistically significant. Data were analyzed using SPSS for Windows, Version 11.5 (2002) and SAS statistical software, version 9.2 (2008)." ]
[ null, null, null, null, null, null ]
[ "Introduction", "Methods", "Participants", "Weight Loss Intervention", "Measures", "Blood Sampling and Assays", "Components of the intervention", "Data Analysis", "Results", "Discussion" ]
[ "Breast cancer is the most common invasive cancer among women in developed countries. It accounts for 26% of incident cancers and 15% of cancer deaths among women in the US, with an estimated 180,000 women diagnosed with breast cancer in 2008 [1]. Most breast cancers are now diagnosed at a localized stage, which is associated with a 5-year survival rate of 96% [1]. In addition, improvements in initial treatments have resulted in an ever-increasing number of breast cancer survivors [1, 2]. Recurrence, risks for second primary cancers, and comorbidities, such as diabetes, cardiovascular disease, and osteoporosis, are issues that need to be considered in long-term management of these women [3, 4].\nOverweight or obesity is a negative prognostic factor in both pre- and postmenopausal breast cancer [5, 6], and it is increasingly being recognized as a medical condition that is characterized by chronic mild inflammation [7]. Several mechanisms have been proposed to explain the adverse effect of overweight on prognosis after the diagnosis of breast cancer, including the unfavorable effects of obesity on circulating levels of inflammatory cytokines [8]. Inflammatory cytokines, such as interleukin-6 (IL-6), interleukin-8 (IL-8), tumor necrosis factor-α (TNF-α), and vascular endothelial growth factor (VEGF), have been consistently associated with breast pathology, and specifically, the development of breast cancer [9]. This is possibly a result of their regulatory impact on proliferation of breast cancer cells through estrogen production [10]. Even though the exact processes with which these cytokines may influence breast carcinoma is still under debate [11], higher levels of IL-6 and IL-8 are both associated with advanced disease and/or metastases in breast cancer patients [12]. In addition to influencing the risk and progression of cancer [13, 14], research efforts have identified chronic mild inflammation as an independent predictor of several other chronic diseases and mortality [15].\nOne probable explanation for the relationship between obesity and inflammation is the finding that adipose tissue functions as a major secretory organ for inflammatory markers, including TNF-α, IL-6, IL-8, and VEGF [14, 16, 17]. Furthermore, increased production and release of TNF-α, IL-6, and IL-8 by adipose tissue are associated with degree of obesity [8, 16]. Conversely, weight loss has been associated with a reduction in these inflammatory factors [18]. Most studies evaluating the influence of weight loss on cytokine levels relied primarily on reduced energy intake as a behavioral strategy [8, 19]. In a randomized clinical trial of weight loss and chronic inflammation in obese adults, Nicklas et al. [15] found that diet-induced weight loss of 5.7% on average resulted in significant reductions in concentrations of IL-6 and TNF-α. In a study with 120 premenopausal obese women (body mass index; BMI ≥ 30 kg/m2), a reduction in BMI in the intervention group was associated with lower serum levels of IL-6 and C-reactive protein (CRP) [20]. In a recent review, changes in cytokine levels were noted in all 19 studies designed to evaluate the effects of weight loss and exercise on markers of inflammation [19]. The duration of the interventions ranged from 4-6 weeks to 2 years, with reported weight loss ranging from 3.2% to 30% of body weight.\nPhysical activity has also been shown to affect local and systemic cytokine production. In several studies, exercise interventions of moderate intensity led to significant reductions in circulating levels of IL-6, TNF-α, and IL-8 in healthy individuals and in patients with cardiovascular disease [21–24]. In other studies, the biological response to exercise was found to be dependent on the intensity and duration of the activity [25].\nAlthough several studies have evaluated the relationship between weight loss, exercise, and circulating cytokine levels in healthy obese individuals [15, 26] or in individuals with various health conditions, these relationships have not been previously examined in overweight breast cancer survivors. The purpose of this study was to specifically examine the relationships between weight loss and physical activity and selected inflammatory markers in breast cancer survivors. Samples were obtained from women who participated in a small randomized trial, the Healthy Weight Management (HWM) Study for Breast Cancer Survivors (2002-2004), which successfully promoted weight loss in overweight or obese subjects assigned to the intervention arm. The current study is an exploratory analysis of the effect of weight loss and increased physical activity on inflammatory cytokines TNF-α, IL-6, IL-8 and VEGF at the end of the 16-week intensive intervention period.", "As a feasibility study, the HWM Study was designed as a randomized clinical trial to develop and test a multifaceted approach to promoting healthy weight management in the target population of overweight or obese breast cancer survivors. The intervention incorporated new elements of cognitive behavioral therapy for obesity, such as stronger emphasis on weight maintenance skills. Increased physical activity to promote maintenance of (or increase in) lean body mass, diet modification to facilitate an energy imbalance, and strategies to improve body image and self-acceptance were also emphasized as part of the program.", "The participants in the HWM Study were 85 breast cancer survivors living in San Diego, CA, USA. Primary recruitment procedures included community outreach and networking with clinical contacts to receive referrals. Other strategies included advertising in a major local newspaper and setting up booths at community events. Finally, a list of potentially eligible participants from the University of California, San Diego Cancer Registry was requested. A letter was sent to those on the list inviting them to contact the study coordinator if they were interested in participating in the study.\nThe inclusion criteria for the study were: 18 years and older; diagnosed with stage I-IIIA breast cancer within the previous 14 years; completed initial treatments (i.e., surgery, adjuvant chemotherapy, radiation therapy); initial BMI ≥ 25.0 kg/m2 (overweight or obese) and a minimum of 15 kg over ideal weight as defined by the Metropolitan Life Insurance Company tables [27]; willingness and ability to attend group meetings for 16 weeks and to maintain contact with the investigators for 1 year; and ability to provide dietary and exercise data by telephone at prescribed intervals. An exclusion criterion was the inability to participate in physical activity because of severe disability (e.g., severe arthritic conditions).\nAt screening and recruitment, the ability to participate in mild and moderate physical activity was assessed with the Physical Activity Readiness Questionnaire and Health History Questionnaire, a standard procedure for screening participants for community-based physical activity programs of this nature [28]. Following recruitment and written consent, participants were stratified by BMI [(25.0-29.9 (n = 38) versus >30.0 (n = 47) kg/m2)] and age [<=50 (n = 26), 51-65 (n = 47), >65 (n = 12)], and randomly assigned to either the group-based intervention program (n = 56) or a control group (n = 29), with a 2:1 intervention-to-control ratio to provide sufficient statistical power for the main study hypothesis (differential weight loss between groups), while minimizing subject numbers in this feasibility study. A test of two-sample comparison of the 16-week weight change scores was selected with the alpha (type one error) level set at 0.025 assuming a Bonferroni correction for multiple hypothesis tests. The power (or one minus the type two error) was 80%. The standard deviation for weight change, assumed equal in both groups at 16 weeks, was set at 5.2 kg based on data from Andersen et al. [29]. This sample size analysis indicated that a final number of 63 participants (42 intervention and 21 control), after accounting for dropouts, would provide an adequately powered comparison to detect a clinically significant effect size. Figure 1 includes the CONSORT flow chart for the HWM study.\nFig. 1CONSORT Chart for Healthy Weight Management Study including recruitment information\n\nCONSORT Chart for Healthy Weight Management Study including recruitment information", "The intervention sessions were led by trained investigators and research staff. The program curriculum consisted of group sessions provided according to the following schedule: weekly for 4 months, and follow-up monthly sessions through 12 months. The primary goal of the intervention was to promote regular physical activity and reduced energy intake in order to facilitate weight loss (Fig. 2). The group meetings consisted of discussion and educational/didactic sessions that covered the content areas, with the major proportion of time devoted to increasing physical activity. All intervention subjects also received intensive individualized telephone-based counseling from the study coordinator, starting with weekly calls and decreasing in frequency after the first month (every other week for the next 2 months, and once a month thereafter). The time points for data collection from all subjects were baseline, 16 weeks, and 12 months. The group sessions offered to the treatment study arm was closed-group contingents (with an average of 12-15 women). To equalize possible seasonal effects on targeted behaviors and weight change in the two study arms, wait list subjects were followed concurrent with intervention group subjects and received general contact such as mailed communications during the study period. At study end, they were provided all written intervention materials and a concise version of the didactic material along with facilitated discussion in the format of a 2-day seminar.\nFig. 2Weight loss intervention curriculum topics\n\nWeight loss intervention curriculum topics", "Anthropometric measurements (height, weight, and waist and hip circumferences) were collected at baseline and 16 weeks using standard procedures, and body composition was measured with dual energy X-ray absorptiometry (DXA) using a Lunar DPX-NT densitometer (Lunar/GE Corp). Whole body, regional body fat, and percent fat were obtained from total body DXA scans. All scans were conducted by the same certified technician who was blinded on the assignment of the intervention for each participant.\nPhysical activity data were collected at baseline and 16 weeks using the 7-day physical activity recall instrument developed by Blair et al. [30]. This approach has been shown to be highly reliable (test-retest reliability = 0.99) [31], valid, and sensitive to the effects of physical activity promotion programs [30]. This instrument focuses on the participant’s daily activities over a 7-day period. A telephone interview is scheduled and the interviewer asks the participant to recall when and what kind of physical activity they had in the past week, and the intensity of their activity. Examples of moderate, hard, and very hard activities are provided to help them accurately identify the intensity.\nPhysical fitness data were collected with the 3-min stepping test, which was used to detect possible changes in aerobic fitness by measuring heart rate during the first 15 s of recovery from stepping. The stepping test has high reliability (0.92), is sensitive to change [32], and widely used to assess cardiorespiratory fitness [33].\n Blood Sampling and Assays Blood samples were collected at baseline and 16 weeks between the hours of 8 AM and 1 PM for a majority of the participants (83% at baseline, 68% at 16 weeks). Following centrifugation and separation, plasma or serum was stored at −80o C until assays were conducted. Levels of IL-6, TNF-α, IL-8, and VEGF were determined in duplicate by commercial ELISA with internal controls (R&D Systems, Mpls, MN). Intra-assay coefficient of variation (CVs) were <8%, and inter-assay CVs were <7%. Both samples from a given participant were assayed together [34].\nBlood samples were collected at baseline and 16 weeks between the hours of 8 AM and 1 PM for a majority of the participants (83% at baseline, 68% at 16 weeks). Following centrifugation and separation, plasma or serum was stored at −80o C until assays were conducted. Levels of IL-6, TNF-α, IL-8, and VEGF were determined in duplicate by commercial ELISA with internal controls (R&D Systems, Mpls, MN). Intra-assay coefficient of variation (CVs) were <8%, and inter-assay CVs were <7%. Both samples from a given participant were assayed together [34].\n Components of the intervention The overall content of the intervention included behavioral and cognitive strategies for implementing dietary modification and increasing physical activity [35]. The goal was to achieve a modest weight loss that is sustained, with an emphasis on features that increase this likelihood, such as acceptance of modest weight loss and focusing on skills for weight maintenance. The physical activity component involved encouraging and promoting regular planned aerobic exercise. The long-term goal was to achieve an average of at least 1 h/day of planned exercise at a moderate level of intensity, which is consistent with the current Institute of Medicine recommendations [36]. The main goal of the dietary guidance component was to promote a reduction in energy intake relative to expenditure, with a goal being an energy deficit of 500-1,000 kcal/day by individualized diet modification that emphasized reduced energy density of the overall diet [37], while avoiding excessive dietary restraint. The wait list group participants were provided only general contact (monthly check-up calls, holiday and seasonal cards, and mailed communications) without specific reference to weight management topics through a 12-month period of data collection. Following that period, they were provided all written intervention materials and a concise version of the didactic material, and facilitated discussion was offered in the format of a 2-day seminar.\nThe overall content of the intervention included behavioral and cognitive strategies for implementing dietary modification and increasing physical activity [35]. The goal was to achieve a modest weight loss that is sustained, with an emphasis on features that increase this likelihood, such as acceptance of modest weight loss and focusing on skills for weight maintenance. The physical activity component involved encouraging and promoting regular planned aerobic exercise. The long-term goal was to achieve an average of at least 1 h/day of planned exercise at a moderate level of intensity, which is consistent with the current Institute of Medicine recommendations [36]. The main goal of the dietary guidance component was to promote a reduction in energy intake relative to expenditure, with a goal being an energy deficit of 500-1,000 kcal/day by individualized diet modification that emphasized reduced energy density of the overall diet [37], while avoiding excessive dietary restraint. The wait list group participants were provided only general contact (monthly check-up calls, holiday and seasonal cards, and mailed communications) without specific reference to weight management topics through a 12-month period of data collection. Following that period, they were provided all written intervention materials and a concise version of the didactic material, and facilitated discussion was offered in the format of a 2-day seminar.", "Blood samples were collected at baseline and 16 weeks between the hours of 8 AM and 1 PM for a majority of the participants (83% at baseline, 68% at 16 weeks). Following centrifugation and separation, plasma or serum was stored at −80o C until assays were conducted. Levels of IL-6, TNF-α, IL-8, and VEGF were determined in duplicate by commercial ELISA with internal controls (R&D Systems, Mpls, MN). Intra-assay coefficient of variation (CVs) were <8%, and inter-assay CVs were <7%. Both samples from a given participant were assayed together [34].", "The overall content of the intervention included behavioral and cognitive strategies for implementing dietary modification and increasing physical activity [35]. The goal was to achieve a modest weight loss that is sustained, with an emphasis on features that increase this likelihood, such as acceptance of modest weight loss and focusing on skills for weight maintenance. The physical activity component involved encouraging and promoting regular planned aerobic exercise. The long-term goal was to achieve an average of at least 1 h/day of planned exercise at a moderate level of intensity, which is consistent with the current Institute of Medicine recommendations [36]. The main goal of the dietary guidance component was to promote a reduction in energy intake relative to expenditure, with a goal being an energy deficit of 500-1,000 kcal/day by individualized diet modification that emphasized reduced energy density of the overall diet [37], while avoiding excessive dietary restraint. The wait list group participants were provided only general contact (monthly check-up calls, holiday and seasonal cards, and mailed communications) without specific reference to weight management topics through a 12-month period of data collection. Following that period, they were provided all written intervention materials and a concise version of the didactic material, and facilitated discussion was offered in the format of a 2-day seminar.", "Data were analyzed on all participants (n = 68) who had data for weight, waist, percent body fat, physical fitness, physical activity, and inflammatory cytokines at baseline and 16 weeks, following the intensive intervention period, to explore the association between weight loss (independent variable) and change in each inflammatory factor (dependent variable). The relationship between physical activity (independent variable) and change in inflammatory biomarkers was also examined. Although 12 month data were collected as part of the parent study, the present findings describe data from the 16-week data collection period when blood samples were analyzed for cytokine assays.\nChange variables were computed to evaluate group differences in key study outcomes, such as BMI, weight, body composition, and level of physical activity. Group differences in outcome variables at 16 weeks between the intervention and control groups were assessed with independent t tests. After excluding values of cytokine data that exceeded three standard deviations from the overall mean, within group differences between baseline and 16 weeks were evaluated with paired t tests. Spearman correlations (excluding outliers) examined relationships between cytokines, BMI, percent body fat, and physical activity at baseline and at 16 weeks. Regression analyses explored the association between the increase in physical activity levels (independent variable) and change in each inflammatory factor (dependent variable), controlling for weight loss and change in stepping test heart rate. An alpha value ≤0.05 was considered statistically significant. Data were analyzed using SPSS for Windows, Version 11.5 (2002) and SAS statistical software, version 9.2 (2008).", "Participant ranged from 33 to 71 years of age. Ninety-four percent of the participants were non-Hispanic white. The majority of the participants were married (77%), and many had completed college or higher levels of education. No significant differences were found between intervention and control groups for demographic characteristics such as age, level of education, and race/ethnicity. Similarly, no differences at baseline were observed for outcome measures such as BMI, weight, and physical fitness or activity levels (Table 1).\nTable 1Characteristics of the study groups at baselineInterventionControl(n = 44)(n=24)VariablesMean (SD)Mean (SD)Age, years56 (9)56 (8)Years of education, years16 (2)16 (2)Body mass index, kg/m2\n30.8 (3.8)31.3 (5.2)Weight, kg83.9 (11.8)87.2 (14.7)Waist circumference, cm101.5 (12.0)106.7 (13.4)Total body fat, kg36.9 (7.5)40.4 (10.2)Step test, HR/30 s60 (8)57 (7)Moderate or vigorous physical activity, h/week3.2 (2.1)3.7 (3.3)None of the means are significantly different between groups at baseline\n\nCharacteristics of the study groups at baseline\nNone of the means are significantly different between groups at baseline\nAccording to independent t tests, the magnitude of reduction in BMI (P < 0.0001), weight (−6.8% in intervention and −0.3% in control, P < 0.0001), waist circumference (P < 0.05), and percent body fat (P < 0.0001) between baseline and 16 weeks was significantly greater for participants in the intervention group (Table 2). Additionally, performance on the stepping test indicated better fitness (P < 0.05), and hours of moderate or vigorous physical activity, between baseline and 16 weeks improved significantly more for participants in the intervention group than for controls (P < 0.05; Table 2).\nTable 2Mean differences in magnitude of change for key variables between baseline and 16 weeksMean (SD)Intervention (n = 44)Control (n = 24)Change in body mass index, kg/m2−2.1 (1.3)**−0.1 (1.5)Change in weight, kg−5.7 (3.5)**−0.2 (4.1)Change in waist circumference, cm−7.1 (6.4)*−2.5 (7.7)Change in percent body fata\n−4.5 (3.8)**−0.9 (2.3)Change in step test, HR/30 s−6.0 (8)*−1.0 (6)Change in physical activity levels, h/week2.2 (3.3)*0.3 (3.7)\naOne control and two intervention subjects had missing body composition data (one intervention at baseline; one intervention and one control at 16 weeks)*P < 0.05; **P < 0.0001\n\nMean differences in magnitude of change for key variables between baseline and 16 weeks\n\naOne control and two intervention subjects had missing body composition data (one intervention at baseline; one intervention and one control at 16 weeks)\n*P < 0.05; **P < 0.0001\nAccording to paired t tests evaluating within-group differences in inflammatory factors for the intervention group between baseline and 16 weeks, levels of TNF-α significantly reduced (P < 0.05). A reduction was also noted for IL-6 level (P = 0.06; Table 3). TNF-α was also found to be decreased at 16 weeks for the control group (P < 0.05; Table 3). No differences were noted for IL-8 and VEGF.\nTable 3Within group differences for change in cytokine levels between baseline and 16 weeksInterventionControlMean (SD)\nN\nBaseline16 Weeks\nN\nBaseline16 WeeksVariablesMean (SD)Mean (SD)\nP valueMean (SD)Mean (SD)\nP valueTNFα (pg/mL)425.9 (2.0)5.4 (1.9)0.03245.4 (1.3)4.6 (1.0)0.0001IL-6 (pg/mL)431.7 (0.9)1.4 (0.9)0.06241.7 (1.3)1.4 (0.8)0.33IL-8 (pg/mL)434.8 (1.7)5.1 (2.0)0.29234.5 (1.5)4.4 (1.9)0.75VEGF (pg/mL)4229.3 (21.8)33.5 (27.0)0.202334.9 (22.5)31.3 (16.6)0.38\nIL-6 interleukin-6, IL-8 interleukin-8, TNF-α tumor necrosis factor-α, and VEGF vascular endothelial growth factorThree sigma outliers (one each for IL-6, IL-8, and VEGF and one for both Il-6 and VEGF in the intervention group; one each for IL-8 and VEGF in the control group) were excluded\n\nWithin group differences for change in cytokine levels between baseline and 16 weeks\n\nIL-6 interleukin-6, IL-8 interleukin-8, TNF-α tumor necrosis factor-α, and VEGF vascular endothelial growth factor\nThree sigma outliers (one each for IL-6, IL-8, and VEGF and one for both Il-6 and VEGF in the intervention group; one each for IL-8 and VEGF in the control group) were excluded\nCorrelation analysis showed that several inflammatory factors were associated with key outcome measures for the participants in the intervention group. Both IL-6 and VEGF were positively correlated with BMI at 16 weeks (r = 0.37, P < 0.05 for IL-6, and r = 0.44, P < 0.01 for VEGF). IL-6 levels at 16 weeks were also positively correlated with performance on step test (r = 0.42, P < 0.01). Increased total hours of moderate or vigorous exercise at 16 weeks was correlated with favorable reductions in IL-6 (r = −0.35, P < 0.05) and VEGF (r = −0.46, P < 0.01) between baseline and 16 weeks.\nIn a regression analysis using participants in the intervention group, controlling for change in weight and change in heart rate/min after the stepping test, increased level of physical activity was associated with favorable changes in IL-6 levels (R\n2=0.18, P < 0.05; Table 4). Other cytokines did not show significant associations with change in physical activity.\nTable 4Regression model of factors associated with IL-6 levels at 16 weeks in the intervention group (n = 38)Variableβ-coefficientSignificance (P value)\nR\n2\nIncrease in moderate or vigorous physical activity, hours/week−0.1250.02Change in weight, kg0.010.2Change in heart rate/min after step test−0.010.70.18Excluding one 3-sigma outlier\n\nRegression model of factors associated with IL-6 levels at 16 weeks in the intervention group (n = 38)\nExcluding one 3-sigma outlier", "Several possible mechanisms by which weight loss and physical activity may play a role in reducing breast cancer risk have been proposed [38]. This small randomized clinical trial provides an opportunity to evaluate the short-term effects of weight loss and increased physical activity on circulating cytokines IL-6, IL-8, TNF-α and VEGF in overweight or obese breast cancer survivors.\nParticipants in this study lost nearly 7% of body weight at the end of the intensive intervention period at 16 weeks. They also reported increased physical activity and demonstrated improved cardiorespiratory fitness at this time point. These findings have promising public health implications because the vast majority of women who have been diagnosed with breast cancer are overweight or obese and exercise at very low levels of intensity and duration [39–41]. Also, concern with overweight and weight gain is a common complaint among breast cancer survivors [42]. In a comprehensive review of observational studies on breast cancer recurrence or survival, Rock and Demark-Wahnefried [6] reported that increased BMI and/or excessive adiposity is a significant risk factor for recurrent disease and/or decreased survival in a majority of the studies. The findings from this exploratory study suggest that increased levels of physical activity and weight loss achieved by participants in this weight loss intervention may positively influence the rates of survival in these women by reducing overall inflammation [19].\nThe current study also explored changes in levels of circulating cytokines in these overweight and obese breast cancer survivors because inflammatory cytokines are thought to increase with the degree of adiposity [16], and weight loss has been associated with a reduction in the levels of inflammatory factors in the general population. An association with breast pathology and inflammatory cytokines has been noted in previous research studies [9]. In addition to losing a notable amount of weight, participants in the intervention group reported an increase in level of moderate or vigorous physical activity and improved fitness. During that time period, levels of two inflammatory factors declined; IL-6 for the intervention group and TNF-α for both groups. The observation of a decrease in TNF-α for the control group suggests that the relationship between obesity and TNF-α production by adipose tissue may not be clearly established. Recently, Bastard et al. [18] concluded that the precise role of TNF-α in human obesity needs further investigation because adipose tissue does not seem to be directly implicated in the increased circulating TNF-α levels observed in obese humans. Evidence from other studies suggest lower levels of TNF-α in breast cancer patients and a possible anti-tumor effect on breast cancer cells [12], in addition to its effects on promoting cellular transformation and metastasis [38]. The precise role of TNF-α in relation to obesity and physical activity needs to be investigated further in order to better understand the decline observed in this study.\nWe also observed positive associations for BMI, percent body fat, and IL-6 after the intensive intervention period of 16 weeks. Similar significant positive associations with CRP, BMI, and waist circumference were identified in a recent study with breast cancer survivors [43, 44]. Further, the reduction in IL-6 level was correlated with increased total hours of moderate or vigorous physical activity in both univariate and multivariate analysis. These findings are noteworthy, because even though previous studies have shown that increased exercise may reduce the levels of circulating inflammatory factors [21–23], similar findings have not been previously reported in breast cancer survivors. In a review of the biological mechanisms that may explain the affect of physical activity on breast cancer risk, Neilson et al. [38] concluded that even though weight loss can decrease levels of IL-6, physical activity may alter IL-6 levels through an independent mechanism that is not yet well-understood.\nThese findings provide some insight into the relationship between weight loss, increased physical activity, and inflammatory cytokines, supporting the suggestion that further research should be pursued in this arena. Even though higher cytokine levels have been associated with increased disease risk across studies, identifying the magnitude of change that could be considered beneficial for health outcomes remains a challenge, possibly as a result of multiple factors effecting this relationship [45, 46]. Future research aiming to determine effective levels of change in cytokines in response to weight loss or increased physical activity would be valuable. Due to the small sample size, the findings from the current study should be considered exploratory. Moreover, because the participants in this study were mostly non-Hispanic whites, the results might not be generalizable to breast cancer survivors representing other racial/ethnic groups.\nUnderstanding the complex associations between obesity, physical activity, and cytokine levels as they relate to breast cancer risk has clinical implications because of the potential roles they may play as part of immunotherapic interventions [12, 47]. Findings from this study contribute to exploring the mechanisms by which excessive adiposity increases risk for recurrence and reduces likelihood of survival following the diagnosis and treatment of early stage breast cancer. The findings also contribute to the knowledge base of the complex interactions between inflammatory factors and morbidity and mortality relating to cancer." ]
[ "introduction", "materials|methods", null, null, null, null, null, null, "results", "discussion" ]
[ "Weight loss", "Physical activity", "Exercise", "Inflammatory factors", "Obesity", "Breast cancer survivors" ]
Introduction: Breast cancer is the most common invasive cancer among women in developed countries. It accounts for 26% of incident cancers and 15% of cancer deaths among women in the US, with an estimated 180,000 women diagnosed with breast cancer in 2008 [1]. Most breast cancers are now diagnosed at a localized stage, which is associated with a 5-year survival rate of 96% [1]. In addition, improvements in initial treatments have resulted in an ever-increasing number of breast cancer survivors [1, 2]. Recurrence, risks for second primary cancers, and comorbidities, such as diabetes, cardiovascular disease, and osteoporosis, are issues that need to be considered in long-term management of these women [3, 4]. Overweight or obesity is a negative prognostic factor in both pre- and postmenopausal breast cancer [5, 6], and it is increasingly being recognized as a medical condition that is characterized by chronic mild inflammation [7]. Several mechanisms have been proposed to explain the adverse effect of overweight on prognosis after the diagnosis of breast cancer, including the unfavorable effects of obesity on circulating levels of inflammatory cytokines [8]. Inflammatory cytokines, such as interleukin-6 (IL-6), interleukin-8 (IL-8), tumor necrosis factor-α (TNF-α), and vascular endothelial growth factor (VEGF), have been consistently associated with breast pathology, and specifically, the development of breast cancer [9]. This is possibly a result of their regulatory impact on proliferation of breast cancer cells through estrogen production [10]. Even though the exact processes with which these cytokines may influence breast carcinoma is still under debate [11], higher levels of IL-6 and IL-8 are both associated with advanced disease and/or metastases in breast cancer patients [12]. In addition to influencing the risk and progression of cancer [13, 14], research efforts have identified chronic mild inflammation as an independent predictor of several other chronic diseases and mortality [15]. One probable explanation for the relationship between obesity and inflammation is the finding that adipose tissue functions as a major secretory organ for inflammatory markers, including TNF-α, IL-6, IL-8, and VEGF [14, 16, 17]. Furthermore, increased production and release of TNF-α, IL-6, and IL-8 by adipose tissue are associated with degree of obesity [8, 16]. Conversely, weight loss has been associated with a reduction in these inflammatory factors [18]. Most studies evaluating the influence of weight loss on cytokine levels relied primarily on reduced energy intake as a behavioral strategy [8, 19]. In a randomized clinical trial of weight loss and chronic inflammation in obese adults, Nicklas et al. [15] found that diet-induced weight loss of 5.7% on average resulted in significant reductions in concentrations of IL-6 and TNF-α. In a study with 120 premenopausal obese women (body mass index; BMI ≥ 30 kg/m2), a reduction in BMI in the intervention group was associated with lower serum levels of IL-6 and C-reactive protein (CRP) [20]. In a recent review, changes in cytokine levels were noted in all 19 studies designed to evaluate the effects of weight loss and exercise on markers of inflammation [19]. The duration of the interventions ranged from 4-6 weeks to 2 years, with reported weight loss ranging from 3.2% to 30% of body weight. Physical activity has also been shown to affect local and systemic cytokine production. In several studies, exercise interventions of moderate intensity led to significant reductions in circulating levels of IL-6, TNF-α, and IL-8 in healthy individuals and in patients with cardiovascular disease [21–24]. In other studies, the biological response to exercise was found to be dependent on the intensity and duration of the activity [25]. Although several studies have evaluated the relationship between weight loss, exercise, and circulating cytokine levels in healthy obese individuals [15, 26] or in individuals with various health conditions, these relationships have not been previously examined in overweight breast cancer survivors. The purpose of this study was to specifically examine the relationships between weight loss and physical activity and selected inflammatory markers in breast cancer survivors. Samples were obtained from women who participated in a small randomized trial, the Healthy Weight Management (HWM) Study for Breast Cancer Survivors (2002-2004), which successfully promoted weight loss in overweight or obese subjects assigned to the intervention arm. The current study is an exploratory analysis of the effect of weight loss and increased physical activity on inflammatory cytokines TNF-α, IL-6, IL-8 and VEGF at the end of the 16-week intensive intervention period. Methods: As a feasibility study, the HWM Study was designed as a randomized clinical trial to develop and test a multifaceted approach to promoting healthy weight management in the target population of overweight or obese breast cancer survivors. The intervention incorporated new elements of cognitive behavioral therapy for obesity, such as stronger emphasis on weight maintenance skills. Increased physical activity to promote maintenance of (or increase in) lean body mass, diet modification to facilitate an energy imbalance, and strategies to improve body image and self-acceptance were also emphasized as part of the program. Participants: The participants in the HWM Study were 85 breast cancer survivors living in San Diego, CA, USA. Primary recruitment procedures included community outreach and networking with clinical contacts to receive referrals. Other strategies included advertising in a major local newspaper and setting up booths at community events. Finally, a list of potentially eligible participants from the University of California, San Diego Cancer Registry was requested. A letter was sent to those on the list inviting them to contact the study coordinator if they were interested in participating in the study. The inclusion criteria for the study were: 18 years and older; diagnosed with stage I-IIIA breast cancer within the previous 14 years; completed initial treatments (i.e., surgery, adjuvant chemotherapy, radiation therapy); initial BMI ≥ 25.0 kg/m2 (overweight or obese) and a minimum of 15 kg over ideal weight as defined by the Metropolitan Life Insurance Company tables [27]; willingness and ability to attend group meetings for 16 weeks and to maintain contact with the investigators for 1 year; and ability to provide dietary and exercise data by telephone at prescribed intervals. An exclusion criterion was the inability to participate in physical activity because of severe disability (e.g., severe arthritic conditions). At screening and recruitment, the ability to participate in mild and moderate physical activity was assessed with the Physical Activity Readiness Questionnaire and Health History Questionnaire, a standard procedure for screening participants for community-based physical activity programs of this nature [28]. Following recruitment and written consent, participants were stratified by BMI [(25.0-29.9 (n = 38) versus >30.0 (n = 47) kg/m2)] and age [<=50 (n = 26), 51-65 (n = 47), >65 (n = 12)], and randomly assigned to either the group-based intervention program (n = 56) or a control group (n = 29), with a 2:1 intervention-to-control ratio to provide sufficient statistical power for the main study hypothesis (differential weight loss between groups), while minimizing subject numbers in this feasibility study. A test of two-sample comparison of the 16-week weight change scores was selected with the alpha (type one error) level set at 0.025 assuming a Bonferroni correction for multiple hypothesis tests. The power (or one minus the type two error) was 80%. The standard deviation for weight change, assumed equal in both groups at 16 weeks, was set at 5.2 kg based on data from Andersen et al. [29]. This sample size analysis indicated that a final number of 63 participants (42 intervention and 21 control), after accounting for dropouts, would provide an adequately powered comparison to detect a clinically significant effect size. Figure 1 includes the CONSORT flow chart for the HWM study. Fig. 1CONSORT Chart for Healthy Weight Management Study including recruitment information CONSORT Chart for Healthy Weight Management Study including recruitment information Weight Loss Intervention: The intervention sessions were led by trained investigators and research staff. The program curriculum consisted of group sessions provided according to the following schedule: weekly for 4 months, and follow-up monthly sessions through 12 months. The primary goal of the intervention was to promote regular physical activity and reduced energy intake in order to facilitate weight loss (Fig. 2). The group meetings consisted of discussion and educational/didactic sessions that covered the content areas, with the major proportion of time devoted to increasing physical activity. All intervention subjects also received intensive individualized telephone-based counseling from the study coordinator, starting with weekly calls and decreasing in frequency after the first month (every other week for the next 2 months, and once a month thereafter). The time points for data collection from all subjects were baseline, 16 weeks, and 12 months. The group sessions offered to the treatment study arm was closed-group contingents (with an average of 12-15 women). To equalize possible seasonal effects on targeted behaviors and weight change in the two study arms, wait list subjects were followed concurrent with intervention group subjects and received general contact such as mailed communications during the study period. At study end, they were provided all written intervention materials and a concise version of the didactic material along with facilitated discussion in the format of a 2-day seminar. Fig. 2Weight loss intervention curriculum topics Weight loss intervention curriculum topics Measures: Anthropometric measurements (height, weight, and waist and hip circumferences) were collected at baseline and 16 weeks using standard procedures, and body composition was measured with dual energy X-ray absorptiometry (DXA) using a Lunar DPX-NT densitometer (Lunar/GE Corp). Whole body, regional body fat, and percent fat were obtained from total body DXA scans. All scans were conducted by the same certified technician who was blinded on the assignment of the intervention for each participant. Physical activity data were collected at baseline and 16 weeks using the 7-day physical activity recall instrument developed by Blair et al. [30]. This approach has been shown to be highly reliable (test-retest reliability = 0.99) [31], valid, and sensitive to the effects of physical activity promotion programs [30]. This instrument focuses on the participant’s daily activities over a 7-day period. A telephone interview is scheduled and the interviewer asks the participant to recall when and what kind of physical activity they had in the past week, and the intensity of their activity. Examples of moderate, hard, and very hard activities are provided to help them accurately identify the intensity. Physical fitness data were collected with the 3-min stepping test, which was used to detect possible changes in aerobic fitness by measuring heart rate during the first 15 s of recovery from stepping. The stepping test has high reliability (0.92), is sensitive to change [32], and widely used to assess cardiorespiratory fitness [33]. Blood Sampling and Assays Blood samples were collected at baseline and 16 weeks between the hours of 8 AM and 1 PM for a majority of the participants (83% at baseline, 68% at 16 weeks). Following centrifugation and separation, plasma or serum was stored at −80o C until assays were conducted. Levels of IL-6, TNF-α, IL-8, and VEGF were determined in duplicate by commercial ELISA with internal controls (R&D Systems, Mpls, MN). Intra-assay coefficient of variation (CVs) were <8%, and inter-assay CVs were <7%. Both samples from a given participant were assayed together [34]. Blood samples were collected at baseline and 16 weeks between the hours of 8 AM and 1 PM for a majority of the participants (83% at baseline, 68% at 16 weeks). Following centrifugation and separation, plasma or serum was stored at −80o C until assays were conducted. Levels of IL-6, TNF-α, IL-8, and VEGF were determined in duplicate by commercial ELISA with internal controls (R&D Systems, Mpls, MN). Intra-assay coefficient of variation (CVs) were <8%, and inter-assay CVs were <7%. Both samples from a given participant were assayed together [34]. Components of the intervention The overall content of the intervention included behavioral and cognitive strategies for implementing dietary modification and increasing physical activity [35]. The goal was to achieve a modest weight loss that is sustained, with an emphasis on features that increase this likelihood, such as acceptance of modest weight loss and focusing on skills for weight maintenance. The physical activity component involved encouraging and promoting regular planned aerobic exercise. The long-term goal was to achieve an average of at least 1 h/day of planned exercise at a moderate level of intensity, which is consistent with the current Institute of Medicine recommendations [36]. The main goal of the dietary guidance component was to promote a reduction in energy intake relative to expenditure, with a goal being an energy deficit of 500-1,000 kcal/day by individualized diet modification that emphasized reduced energy density of the overall diet [37], while avoiding excessive dietary restraint. The wait list group participants were provided only general contact (monthly check-up calls, holiday and seasonal cards, and mailed communications) without specific reference to weight management topics through a 12-month period of data collection. Following that period, they were provided all written intervention materials and a concise version of the didactic material, and facilitated discussion was offered in the format of a 2-day seminar. The overall content of the intervention included behavioral and cognitive strategies for implementing dietary modification and increasing physical activity [35]. The goal was to achieve a modest weight loss that is sustained, with an emphasis on features that increase this likelihood, such as acceptance of modest weight loss and focusing on skills for weight maintenance. The physical activity component involved encouraging and promoting regular planned aerobic exercise. The long-term goal was to achieve an average of at least 1 h/day of planned exercise at a moderate level of intensity, which is consistent with the current Institute of Medicine recommendations [36]. The main goal of the dietary guidance component was to promote a reduction in energy intake relative to expenditure, with a goal being an energy deficit of 500-1,000 kcal/day by individualized diet modification that emphasized reduced energy density of the overall diet [37], while avoiding excessive dietary restraint. The wait list group participants were provided only general contact (monthly check-up calls, holiday and seasonal cards, and mailed communications) without specific reference to weight management topics through a 12-month period of data collection. Following that period, they were provided all written intervention materials and a concise version of the didactic material, and facilitated discussion was offered in the format of a 2-day seminar. Blood Sampling and Assays: Blood samples were collected at baseline and 16 weeks between the hours of 8 AM and 1 PM for a majority of the participants (83% at baseline, 68% at 16 weeks). Following centrifugation and separation, plasma or serum was stored at −80o C until assays were conducted. Levels of IL-6, TNF-α, IL-8, and VEGF were determined in duplicate by commercial ELISA with internal controls (R&D Systems, Mpls, MN). Intra-assay coefficient of variation (CVs) were <8%, and inter-assay CVs were <7%. Both samples from a given participant were assayed together [34]. Components of the intervention: The overall content of the intervention included behavioral and cognitive strategies for implementing dietary modification and increasing physical activity [35]. The goal was to achieve a modest weight loss that is sustained, with an emphasis on features that increase this likelihood, such as acceptance of modest weight loss and focusing on skills for weight maintenance. The physical activity component involved encouraging and promoting regular planned aerobic exercise. The long-term goal was to achieve an average of at least 1 h/day of planned exercise at a moderate level of intensity, which is consistent with the current Institute of Medicine recommendations [36]. The main goal of the dietary guidance component was to promote a reduction in energy intake relative to expenditure, with a goal being an energy deficit of 500-1,000 kcal/day by individualized diet modification that emphasized reduced energy density of the overall diet [37], while avoiding excessive dietary restraint. The wait list group participants were provided only general contact (monthly check-up calls, holiday and seasonal cards, and mailed communications) without specific reference to weight management topics through a 12-month period of data collection. Following that period, they were provided all written intervention materials and a concise version of the didactic material, and facilitated discussion was offered in the format of a 2-day seminar. Data Analysis: Data were analyzed on all participants (n = 68) who had data for weight, waist, percent body fat, physical fitness, physical activity, and inflammatory cytokines at baseline and 16 weeks, following the intensive intervention period, to explore the association between weight loss (independent variable) and change in each inflammatory factor (dependent variable). The relationship between physical activity (independent variable) and change in inflammatory biomarkers was also examined. Although 12 month data were collected as part of the parent study, the present findings describe data from the 16-week data collection period when blood samples were analyzed for cytokine assays. Change variables were computed to evaluate group differences in key study outcomes, such as BMI, weight, body composition, and level of physical activity. Group differences in outcome variables at 16 weeks between the intervention and control groups were assessed with independent t tests. After excluding values of cytokine data that exceeded three standard deviations from the overall mean, within group differences between baseline and 16 weeks were evaluated with paired t tests. Spearman correlations (excluding outliers) examined relationships between cytokines, BMI, percent body fat, and physical activity at baseline and at 16 weeks. Regression analyses explored the association between the increase in physical activity levels (independent variable) and change in each inflammatory factor (dependent variable), controlling for weight loss and change in stepping test heart rate. An alpha value ≤0.05 was considered statistically significant. Data were analyzed using SPSS for Windows, Version 11.5 (2002) and SAS statistical software, version 9.2 (2008). Results: Participant ranged from 33 to 71 years of age. Ninety-four percent of the participants were non-Hispanic white. The majority of the participants were married (77%), and many had completed college or higher levels of education. No significant differences were found between intervention and control groups for demographic characteristics such as age, level of education, and race/ethnicity. Similarly, no differences at baseline were observed for outcome measures such as BMI, weight, and physical fitness or activity levels (Table 1). Table 1Characteristics of the study groups at baselineInterventionControl(n = 44)(n=24)VariablesMean (SD)Mean (SD)Age, years56 (9)56 (8)Years of education, years16 (2)16 (2)Body mass index, kg/m2 30.8 (3.8)31.3 (5.2)Weight, kg83.9 (11.8)87.2 (14.7)Waist circumference, cm101.5 (12.0)106.7 (13.4)Total body fat, kg36.9 (7.5)40.4 (10.2)Step test, HR/30 s60 (8)57 (7)Moderate or vigorous physical activity, h/week3.2 (2.1)3.7 (3.3)None of the means are significantly different between groups at baseline Characteristics of the study groups at baseline None of the means are significantly different between groups at baseline According to independent t tests, the magnitude of reduction in BMI (P < 0.0001), weight (−6.8% in intervention and −0.3% in control, P < 0.0001), waist circumference (P < 0.05), and percent body fat (P < 0.0001) between baseline and 16 weeks was significantly greater for participants in the intervention group (Table 2). Additionally, performance on the stepping test indicated better fitness (P < 0.05), and hours of moderate or vigorous physical activity, between baseline and 16 weeks improved significantly more for participants in the intervention group than for controls (P < 0.05; Table 2). Table 2Mean differences in magnitude of change for key variables between baseline and 16 weeksMean (SD)Intervention (n = 44)Control (n = 24)Change in body mass index, kg/m2−2.1 (1.3)**−0.1 (1.5)Change in weight, kg−5.7 (3.5)**−0.2 (4.1)Change in waist circumference, cm−7.1 (6.4)*−2.5 (7.7)Change in percent body fata −4.5 (3.8)**−0.9 (2.3)Change in step test, HR/30 s−6.0 (8)*−1.0 (6)Change in physical activity levels, h/week2.2 (3.3)*0.3 (3.7) aOne control and two intervention subjects had missing body composition data (one intervention at baseline; one intervention and one control at 16 weeks)*P < 0.05; **P < 0.0001 Mean differences in magnitude of change for key variables between baseline and 16 weeks aOne control and two intervention subjects had missing body composition data (one intervention at baseline; one intervention and one control at 16 weeks) *P < 0.05; **P < 0.0001 According to paired t tests evaluating within-group differences in inflammatory factors for the intervention group between baseline and 16 weeks, levels of TNF-α significantly reduced (P < 0.05). A reduction was also noted for IL-6 level (P = 0.06; Table 3). TNF-α was also found to be decreased at 16 weeks for the control group (P < 0.05; Table 3). No differences were noted for IL-8 and VEGF. Table 3Within group differences for change in cytokine levels between baseline and 16 weeksInterventionControlMean (SD) N Baseline16 Weeks N Baseline16 WeeksVariablesMean (SD)Mean (SD) P valueMean (SD)Mean (SD) P valueTNFα (pg/mL)425.9 (2.0)5.4 (1.9)0.03245.4 (1.3)4.6 (1.0)0.0001IL-6 (pg/mL)431.7 (0.9)1.4 (0.9)0.06241.7 (1.3)1.4 (0.8)0.33IL-8 (pg/mL)434.8 (1.7)5.1 (2.0)0.29234.5 (1.5)4.4 (1.9)0.75VEGF (pg/mL)4229.3 (21.8)33.5 (27.0)0.202334.9 (22.5)31.3 (16.6)0.38 IL-6 interleukin-6, IL-8 interleukin-8, TNF-α tumor necrosis factor-α, and VEGF vascular endothelial growth factorThree sigma outliers (one each for IL-6, IL-8, and VEGF and one for both Il-6 and VEGF in the intervention group; one each for IL-8 and VEGF in the control group) were excluded Within group differences for change in cytokine levels between baseline and 16 weeks IL-6 interleukin-6, IL-8 interleukin-8, TNF-α tumor necrosis factor-α, and VEGF vascular endothelial growth factor Three sigma outliers (one each for IL-6, IL-8, and VEGF and one for both Il-6 and VEGF in the intervention group; one each for IL-8 and VEGF in the control group) were excluded Correlation analysis showed that several inflammatory factors were associated with key outcome measures for the participants in the intervention group. Both IL-6 and VEGF were positively correlated with BMI at 16 weeks (r = 0.37, P < 0.05 for IL-6, and r = 0.44, P < 0.01 for VEGF). IL-6 levels at 16 weeks were also positively correlated with performance on step test (r = 0.42, P < 0.01). Increased total hours of moderate or vigorous exercise at 16 weeks was correlated with favorable reductions in IL-6 (r = −0.35, P < 0.05) and VEGF (r = −0.46, P < 0.01) between baseline and 16 weeks. In a regression analysis using participants in the intervention group, controlling for change in weight and change in heart rate/min after the stepping test, increased level of physical activity was associated with favorable changes in IL-6 levels (R 2=0.18, P < 0.05; Table 4). Other cytokines did not show significant associations with change in physical activity. Table 4Regression model of factors associated with IL-6 levels at 16 weeks in the intervention group (n = 38)Variableβ-coefficientSignificance (P value) R 2 Increase in moderate or vigorous physical activity, hours/week−0.1250.02Change in weight, kg0.010.2Change in heart rate/min after step test−0.010.70.18Excluding one 3-sigma outlier Regression model of factors associated with IL-6 levels at 16 weeks in the intervention group (n = 38) Excluding one 3-sigma outlier Discussion: Several possible mechanisms by which weight loss and physical activity may play a role in reducing breast cancer risk have been proposed [38]. This small randomized clinical trial provides an opportunity to evaluate the short-term effects of weight loss and increased physical activity on circulating cytokines IL-6, IL-8, TNF-α and VEGF in overweight or obese breast cancer survivors. Participants in this study lost nearly 7% of body weight at the end of the intensive intervention period at 16 weeks. They also reported increased physical activity and demonstrated improved cardiorespiratory fitness at this time point. These findings have promising public health implications because the vast majority of women who have been diagnosed with breast cancer are overweight or obese and exercise at very low levels of intensity and duration [39–41]. Also, concern with overweight and weight gain is a common complaint among breast cancer survivors [42]. In a comprehensive review of observational studies on breast cancer recurrence or survival, Rock and Demark-Wahnefried [6] reported that increased BMI and/or excessive adiposity is a significant risk factor for recurrent disease and/or decreased survival in a majority of the studies. The findings from this exploratory study suggest that increased levels of physical activity and weight loss achieved by participants in this weight loss intervention may positively influence the rates of survival in these women by reducing overall inflammation [19]. The current study also explored changes in levels of circulating cytokines in these overweight and obese breast cancer survivors because inflammatory cytokines are thought to increase with the degree of adiposity [16], and weight loss has been associated with a reduction in the levels of inflammatory factors in the general population. An association with breast pathology and inflammatory cytokines has been noted in previous research studies [9]. In addition to losing a notable amount of weight, participants in the intervention group reported an increase in level of moderate or vigorous physical activity and improved fitness. During that time period, levels of two inflammatory factors declined; IL-6 for the intervention group and TNF-α for both groups. The observation of a decrease in TNF-α for the control group suggests that the relationship between obesity and TNF-α production by adipose tissue may not be clearly established. Recently, Bastard et al. [18] concluded that the precise role of TNF-α in human obesity needs further investigation because adipose tissue does not seem to be directly implicated in the increased circulating TNF-α levels observed in obese humans. Evidence from other studies suggest lower levels of TNF-α in breast cancer patients and a possible anti-tumor effect on breast cancer cells [12], in addition to its effects on promoting cellular transformation and metastasis [38]. The precise role of TNF-α in relation to obesity and physical activity needs to be investigated further in order to better understand the decline observed in this study. We also observed positive associations for BMI, percent body fat, and IL-6 after the intensive intervention period of 16 weeks. Similar significant positive associations with CRP, BMI, and waist circumference were identified in a recent study with breast cancer survivors [43, 44]. Further, the reduction in IL-6 level was correlated with increased total hours of moderate or vigorous physical activity in both univariate and multivariate analysis. These findings are noteworthy, because even though previous studies have shown that increased exercise may reduce the levels of circulating inflammatory factors [21–23], similar findings have not been previously reported in breast cancer survivors. In a review of the biological mechanisms that may explain the affect of physical activity on breast cancer risk, Neilson et al. [38] concluded that even though weight loss can decrease levels of IL-6, physical activity may alter IL-6 levels through an independent mechanism that is not yet well-understood. These findings provide some insight into the relationship between weight loss, increased physical activity, and inflammatory cytokines, supporting the suggestion that further research should be pursued in this arena. Even though higher cytokine levels have been associated with increased disease risk across studies, identifying the magnitude of change that could be considered beneficial for health outcomes remains a challenge, possibly as a result of multiple factors effecting this relationship [45, 46]. Future research aiming to determine effective levels of change in cytokines in response to weight loss or increased physical activity would be valuable. Due to the small sample size, the findings from the current study should be considered exploratory. Moreover, because the participants in this study were mostly non-Hispanic whites, the results might not be generalizable to breast cancer survivors representing other racial/ethnic groups. Understanding the complex associations between obesity, physical activity, and cytokine levels as they relate to breast cancer risk has clinical implications because of the potential roles they may play as part of immunotherapic interventions [12, 47]. Findings from this study contribute to exploring the mechanisms by which excessive adiposity increases risk for recurrence and reduces likelihood of survival following the diagnosis and treatment of early stage breast cancer. The findings also contribute to the knowledge base of the complex interactions between inflammatory factors and morbidity and mortality relating to cancer.
Background: Obesity is characterized by chronic mild inflammation and may influence the risk and progression of cancer. Methods: Study participants averaged 56 years of age (N=68). Intervention participants (n=44 vs. 24 controls) participated in a cognitive behavioral therapy-based weight management program as part of an exploratory randomized trial. The intervention incorporated strategies to promote increased physical activity and diet modification. Baseline and 16-week data included height, weight, body composition, physical activity level, and biomarkers IL-6, IL-8, TNF-α, and VEGF. Results: Weight loss was significantly greater in the intervention group than controls (-5.7 [3.5] vs. 0.2 [4.1] kg, P<0.001). Paired t tests noted favorable changes in physical activity level (P<0.001 intervention, P=0.70 control), marginally lower IL-6 levels (P=0.06 intervention, P=0.25 control) at 16 weeks for participants in the intervention group, and lower TNF-α levels for participants in the intervention (P<0.05) and control groups (P<0.001). Increased physical activity was associated with favorable changes in IL-6 for participants in the intervention group (R(2) =0.18; P<0.03). Conclusions: Favorable changes in cytokine levels were observed in association with weight loss in this exploratory study with overweight breast cancer survivors.
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5,859
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[ 597, 281, 1074, 127, 252, 306 ]
10
[ "weight", "intervention", "il", "activity", "physical", "physical activity", "16", "levels", "weeks", "group" ]
[ "circulating cytokines overweight", "cytokines overweight obese", "obese breast cancer", "effect overweight prognosis", "overweight breast cancer" ]
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[CONTENT] Weight loss | Physical activity | Exercise | Inflammatory factors | Obesity | Breast cancer survivors [SUMMARY]
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[CONTENT] Weight loss | Physical activity | Exercise | Inflammatory factors | Obesity | Breast cancer survivors [SUMMARY]
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[CONTENT] Weight loss | Physical activity | Exercise | Inflammatory factors | Obesity | Breast cancer survivors [SUMMARY]
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[CONTENT] Adult | Aged | Biomarkers | Body Mass Index | Breast Neoplasms | California | Cognitive Behavioral Therapy | Female | Humans | Middle Aged | Obesity | Overweight | Physical Fitness | Regression Analysis | Survivors | Weight Loss | Weight Reduction Programs [SUMMARY]
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[CONTENT] Adult | Aged | Biomarkers | Body Mass Index | Breast Neoplasms | California | Cognitive Behavioral Therapy | Female | Humans | Middle Aged | Obesity | Overweight | Physical Fitness | Regression Analysis | Survivors | Weight Loss | Weight Reduction Programs [SUMMARY]
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[CONTENT] Adult | Aged | Biomarkers | Body Mass Index | Breast Neoplasms | California | Cognitive Behavioral Therapy | Female | Humans | Middle Aged | Obesity | Overweight | Physical Fitness | Regression Analysis | Survivors | Weight Loss | Weight Reduction Programs [SUMMARY]
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[CONTENT] circulating cytokines overweight | cytokines overweight obese | obese breast cancer | effect overweight prognosis | overweight breast cancer [SUMMARY]
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[CONTENT] circulating cytokines overweight | cytokines overweight obese | obese breast cancer | effect overweight prognosis | overweight breast cancer [SUMMARY]
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[CONTENT] circulating cytokines overweight | cytokines overweight obese | obese breast cancer | effect overweight prognosis | overweight breast cancer [SUMMARY]
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[CONTENT] weight | intervention | il | activity | physical | physical activity | 16 | levels | weeks | group [SUMMARY]
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[CONTENT] weight | intervention | il | activity | physical | physical activity | 16 | levels | weeks | group [SUMMARY]
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[CONTENT] weight | intervention | il | activity | physical | physical activity | 16 | levels | weeks | group [SUMMARY]
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[CONTENT] cancer | breast | il | breast cancer | loss | weight loss | weight | associated | women | inflammation [SUMMARY]
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[CONTENT] il | table | 05 | baseline | sd | 16 | intervention | vegf | change | 16 weeks [SUMMARY]
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[CONTENT] weight | il | cancer | intervention | breast | physical | activity | study | 16 | physical activity [SUMMARY]
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[CONTENT] [SUMMARY]
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[CONTENT] ||| 3.5 | 0.2 ||| 4.1] kg ||| 16 weeks | TNF ||| IL-6 | R(2 | 0.18 [SUMMARY]
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[CONTENT] ||| 56 years of age ||| n=44 | 24 ||| ||| 16-week | TNF | VEGF ||| ||| ||| 3.5 | 0.2 ||| 4.1] kg ||| 16 weeks | TNF ||| IL-6 | R(2 | 0.18 ||| [SUMMARY]
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Characterisation and prognosis of undiagnosed chronic obstructive pulmonary disease patients at their first hospitalisation.
25595204
Under-diagnosis of COPD is an important unmet medical need. We investigated the characteristics and prognosis of hospitalised patients with undiagnosed COPD.
BACKGROUND
The PAC-COPD cohort included 342 COPD patients hospitalised for the first time for an exacerbation of COPD (2004-2006). Patients were extensively characterised using sociodemographic, clinical and functional variables, and the cohort was followed-up through 2008. We defined "undiagnosed COPD" by the absence of any self-reported respiratory disease and regular use of any pharmacological respiratory treatment.
METHODS
Undiagnosed COPD was present in 34% of patients. They were younger (mean age 66 vs. 68 years, p = 0.03), reported fewer symptoms (mMRC dyspnoea score, 2.1 vs. 2.6, p < 0.01), and had a better health status (SGRQ total score, 29 vs. 40, p < 0.01), milder airflow limitation (FEV1% ref., 59% vs. 49%, p < 0.01), and fewer comorbidities (two or more, 40% vs. 56%, p < 0.01) when compared with patients with an established COPD diagnosis. Three months after hospital discharge, 16% of the undiagnosed COPD patients had stopped smoking (vs. 5%, p = 0.019). During follow-up, annual hospitalisation rates were lower in undiagnosed COPD patients (0.14 vs. 0.25, p < 0.01); however, this difference disappeared after adjustment for severity. Mortality was similar in both groups.
RESULTS
Undiagnosed COPD patients have less severe disease and lower risk of re-hospitalisation when compared with hospitalised patients with known COPD.
CONCLUSIONS
[ "Aged", "Comorbidity", "Dyspnea", "Female", "Follow-Up Studies", "Forced Expiratory Volume", "Health Status", "Hospitalization", "Humans", "Longitudinal Studies", "Male", "Middle Aged", "Patient Discharge", "Prognosis", "Pulmonary Disease, Chronic Obstructive", "Self Report", "Severity of Illness Index", "Smoking Cessation", "Surveys and Questionnaires", "Tobacco Use" ]
4360934
Background
Chronic obstructive pulmonary disease (COPD) represents a major public health problem, and its mortality and disability burden is expected to rise in the coming decades [1, 2]. Nonetheless, the majority of studies from general population and primary care have detected that a high proportion of individuals fulfilling COPD diagnosis criteria remain undiagnosed [3–9]. Interestingly, it has been reported that a high proportion of undiagnosed patients already suffer from respiratory symptoms [7, 8]. A recent population-based study demonstrated that even newly diagnosed COPD patients with mild airflow limitation exhibit a significant impairment in their health-related quality of life and certain activities of daily living, when compared with individuals without COPD [9]. Therefore, both researchers and practitioners advocate for early detection strategies aimed at reducing COPD burden through proven health-care interventions [10]. There is a lack of specific information regarding COPD under-diagnosis in patients requiring hospitalisation because of an exacerbation of the disease. Two previous studies in a hospital setting highlighted that one-third of patients had never been diagnosed or treated. One of these studies involved patients who went to the emergency room for COPD exacerbation, and the second study was a small retrospective study of patients admitted to the hospital for the first time for a COPD exacerbation [11, 12]. The current study describes the characteristics of COPD patients who were undiagnosed at the time of their first hospital admission because of a COPD exacerbation and their short- and long-term outcomes.
Methods
Study design and ethics This study was a longitudinal observational analysis conducted within the Phenotype and Course of COPD Project (PAC-COPD) [13]. Briefly, the PAC-COPD study included all patients admitted to nine teaching hospitals in Spain between January 2004 and March 2006 for a first-time COPD exacerbation. The study design is diagrammed in Figure 1 and included the following features: (i) a recruitment visit (at first hospitalisation due to COPD exacerbation) to obtain sociodemographic variables, smoking status, information about diagnosis and treatment previous to their first hospitalisation, and use of health services during the 12 months preceding their first hospitalisation; (ii) a visit under stable conditions (at least three months after discharge) to collect clinical and functional variables and smoking status; and (iii) a prospective 4-year active follow-up to obtain information about re-hospitalisations and mortality.Figure 1 Design and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality). Design and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality). During hospitalisation and at discharge, patients received standard information about their disease, smoking cessation advice, as well as pharmacological and non-pharmacological treatment from the attending physician according to local guidelines [14]. The study was approved by the Ethics Committees of all participating hospitals and all patients gave their written informed consent. All patients were actively followed until death or December 31, 2008. Additional details about the recruitment and follow-up processes have been previously published [13, 15, 16]. This study was a longitudinal observational analysis conducted within the Phenotype and Course of COPD Project (PAC-COPD) [13]. Briefly, the PAC-COPD study included all patients admitted to nine teaching hospitals in Spain between January 2004 and March 2006 for a first-time COPD exacerbation. The study design is diagrammed in Figure 1 and included the following features: (i) a recruitment visit (at first hospitalisation due to COPD exacerbation) to obtain sociodemographic variables, smoking status, information about diagnosis and treatment previous to their first hospitalisation, and use of health services during the 12 months preceding their first hospitalisation; (ii) a visit under stable conditions (at least three months after discharge) to collect clinical and functional variables and smoking status; and (iii) a prospective 4-year active follow-up to obtain information about re-hospitalisations and mortality.Figure 1 Design and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality). Design and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality). During hospitalisation and at discharge, patients received standard information about their disease, smoking cessation advice, as well as pharmacological and non-pharmacological treatment from the attending physician according to local guidelines [14]. The study was approved by the Ethics Committees of all participating hospitals and all patients gave their written informed consent. All patients were actively followed until death or December 31, 2008. Additional details about the recruitment and follow-up processes have been previously published [13, 15, 16]. Study population A diagnosis of COPD was confirmed by spirometry at least three months after discharge when the patient had reached clinical stability. COPD was identified as a post-bronchodilator forced expiratory volume in one second to forced vital capacity ratio (FEV1/FVC) of less than 0.7 [17]. At recruitment (first hospitalisation due to COPD exacerbation), patients were asked about their diagnosis with “any respiratory disease” using the following questions: “Are you suffering from any respiratory disease?”, “What is the name of your respiratory disease?”, “When were you diagnosed with this respiratory disease?”, and “Who diagnosed your respiratory disease?”. These questions were previously designed and pilot-tested in COPD patients from the same geographical area [18]. Patients reported any pharmacological treatments they were taking regularly (previous to hospitalisation) for any chronic disease. We defined “undiagnosed COPD” as the absence of any self-reported diagnosis of respiratory disease. In addition, to reduce a potential misclassification due to poor recall, we assumed that patients regularly using any pharmacological respiratory treatment had been previously diagnosed. Once stable conditions were reached and the diagnosis of COPD was confirmed, patients were identified as “newly diagnosed” COPD patients. Details on the exact wording of patients when describing their respiratory disease, time from diagnosis, diagnosing doctor, and respiratory treatment are reported in Additional file 1: Table S1. For our analysis, disease severity was classified according to FEV1 levels as mild, moderate, severe and very severe following the European Respiratory Society and the American Thoracic Society (ERS/ATS) criteria [17]. A diagnosis of COPD was confirmed by spirometry at least three months after discharge when the patient had reached clinical stability. COPD was identified as a post-bronchodilator forced expiratory volume in one second to forced vital capacity ratio (FEV1/FVC) of less than 0.7 [17]. At recruitment (first hospitalisation due to COPD exacerbation), patients were asked about their diagnosis with “any respiratory disease” using the following questions: “Are you suffering from any respiratory disease?”, “What is the name of your respiratory disease?”, “When were you diagnosed with this respiratory disease?”, and “Who diagnosed your respiratory disease?”. These questions were previously designed and pilot-tested in COPD patients from the same geographical area [18]. Patients reported any pharmacological treatments they were taking regularly (previous to hospitalisation) for any chronic disease. We defined “undiagnosed COPD” as the absence of any self-reported diagnosis of respiratory disease. In addition, to reduce a potential misclassification due to poor recall, we assumed that patients regularly using any pharmacological respiratory treatment had been previously diagnosed. Once stable conditions were reached and the diagnosis of COPD was confirmed, patients were identified as “newly diagnosed” COPD patients. Details on the exact wording of patients when describing their respiratory disease, time from diagnosis, diagnosing doctor, and respiratory treatment are reported in Additional file 1: Table S1. For our analysis, disease severity was classified according to FEV1 levels as mild, moderate, severe and very severe following the European Respiratory Society and the American Thoracic Society (ERS/ATS) criteria [17]. Measurements At recruitment, standardised epidemiological questionnaires were used to collect information on sociodemographic characteristics, smoking status, physical activity (Spanish version of the Yale Physical Activity Survey) [19] and health-care utilisation over the previous 12 months [18]. The Charlson index of comorbidity was obtained from medical records, patient recall and physical examination by an expert pulmonologist [20]. In addition, we obtained the number of visits to a hospital emergency department, primary care emergency department, primary care physician, primary care pulmonologist, and hospital-based pulmonologist over the previous 12 months using standardised epidemiological questionnaires. When the patient was clinically stable after discharge, the following measurements were obtained: forced spirometry and bronchodilator test, static lung volumes by whole-body plethysmography, diffusing capacity for carbon monoxide (DLco), arterial blood gases analysis while breathing room air at rest, six-minute walking distance (6MWD), body mass index (BMI) and fat-free mass index (FFMI). Patients also answered an epidemiological questionnaire, including a dyspnoea assessment using the mMRC scale, to determine the patient’s smoking status and current pharmacologic treatment information. Health-related quality of life (HRQL) was assessed using the validated Spanish version of St. George’s Respiratory Questionnaire (SGRQ) [21]. Anxiety and depression were evaluated with the Spanish version of the Hospital Anxiety and Depression Scale (HADS) [22, 23]. Detailed information on the methods and sources of the questionnaires and the standardisation of the tests used in the PAC-COPD study has been previously published [13, 16]. At recruitment, standardised epidemiological questionnaires were used to collect information on sociodemographic characteristics, smoking status, physical activity (Spanish version of the Yale Physical Activity Survey) [19] and health-care utilisation over the previous 12 months [18]. The Charlson index of comorbidity was obtained from medical records, patient recall and physical examination by an expert pulmonologist [20]. In addition, we obtained the number of visits to a hospital emergency department, primary care emergency department, primary care physician, primary care pulmonologist, and hospital-based pulmonologist over the previous 12 months using standardised epidemiological questionnaires. When the patient was clinically stable after discharge, the following measurements were obtained: forced spirometry and bronchodilator test, static lung volumes by whole-body plethysmography, diffusing capacity for carbon monoxide (DLco), arterial blood gases analysis while breathing room air at rest, six-minute walking distance (6MWD), body mass index (BMI) and fat-free mass index (FFMI). Patients also answered an epidemiological questionnaire, including a dyspnoea assessment using the mMRC scale, to determine the patient’s smoking status and current pharmacologic treatment information. Health-related quality of life (HRQL) was assessed using the validated Spanish version of St. George’s Respiratory Questionnaire (SGRQ) [21]. Anxiety and depression were evaluated with the Spanish version of the Hospital Anxiety and Depression Scale (HADS) [22, 23]. Detailed information on the methods and sources of the questionnaires and the standardisation of the tests used in the PAC-COPD study has been previously published [13, 16]. Re-hospitalisations and mortality during follow-up Information on re-hospitalisations through December 31, 2007 (causes and dates) was obtained for all patients from the Minimum Basic Dataset (CMBD), a national administrative database. According to the 9th revision of the International Classification of Diseases, an admission for COPD exacerbation was defined as any admission with codes 466, 480–486, 490–496, or 518.81 as the main diagnosis. Survival status until December 31, 2008 was obtained from direct interviews with all patients or their relatives. In cases of death, both hospital and primary care registries were checked to verify the exact date. Information on re-hospitalisations through December 31, 2007 (causes and dates) was obtained for all patients from the Minimum Basic Dataset (CMBD), a national administrative database. According to the 9th revision of the International Classification of Diseases, an admission for COPD exacerbation was defined as any admission with codes 466, 480–486, 490–496, or 518.81 as the main diagnosis. Survival status until December 31, 2008 was obtained from direct interviews with all patients or their relatives. In cases of death, both hospital and primary care registries were checked to verify the exact date. Statistical analysis The sample size was fixed by the primary scientific objectives of the PAC-COPD Study [16]. Before any analysis, we calculated whether the available number of patients (225 patients in the diagnosed group and 117 in the undiagnosed group) would allow for identification of clinically significant differences in outcome between groups (diagnosed vs. undiagnosed). Calculations using the GRANMO 5.2 software [24] showed that, accepting an alpha risk of 0.05 in a two-sided test, the statistical power was 84 to recognize as statistically significant the difference in proportion admitted (44% vs. 28%, respectively). Descriptive data are presented as the number and percentage, the mean and standard deviation (SD), or the median and 25th or 75th percentiles, as appropriate. We compared the sociodemographic and clinical variables and use of healthcare resources prior to first hospitalisation according to previous COPD diagnosis status, using Student’s t-test or Mann–Whitney U test for quantitative variables and a Chi squared or Fisher exact test for qualitative variables. We tested the effect of receiving a new COPD diagnosis on quitting smoking by including an interaction term between time (recruitment or stability visit) and diagnosis in a logistic regression model that included smoking and potential confounders (gender, age, the Charlson index of comorbidity, degree of dyspnoea, quality of life, FEV1, arterial oxygen tension (PaO2)). Kaplan-Meier curves of time to COPD readmission were plotted according to COPD diagnosis status previous to the baseline admission, and the log-rank test was used to compare differences in readmission-free rates between diagnosed and undiagnosed COPD patients [25]. Because the proportionality assumption held, the association between previous COPD diagnosis and time to COPD readmission was assessed using Cox regression survival-time models [26]. Multivariate models included as covariates all potential confounders that were related to both the exposure and the outcome, or modified the estimates (>10% change in Hazard Ratio) for the remaining variables. Potential covariates included gender, age, marital status, smoking status, quality of life, degree of dyspnoea, BMI, FFMI, the Charlson index of comorbidity, FEV1, DLco, Residual Volume/Total Lung Capacity (RV/TLC), PaO2, arterial carbon dioxide tension (PaCO2), 6MWD, and anxiety and depression. The same approach was to be used to assess the effect of undiagnosis on mortality; however, there were very few deaths during follow-up and this multivariate analysis was not completed. Data analyses were conducted using Stata 10.1 (StataCorp, College Station, TX, USA). The sample size was fixed by the primary scientific objectives of the PAC-COPD Study [16]. Before any analysis, we calculated whether the available number of patients (225 patients in the diagnosed group and 117 in the undiagnosed group) would allow for identification of clinically significant differences in outcome between groups (diagnosed vs. undiagnosed). Calculations using the GRANMO 5.2 software [24] showed that, accepting an alpha risk of 0.05 in a two-sided test, the statistical power was 84 to recognize as statistically significant the difference in proportion admitted (44% vs. 28%, respectively). Descriptive data are presented as the number and percentage, the mean and standard deviation (SD), or the median and 25th or 75th percentiles, as appropriate. We compared the sociodemographic and clinical variables and use of healthcare resources prior to first hospitalisation according to previous COPD diagnosis status, using Student’s t-test or Mann–Whitney U test for quantitative variables and a Chi squared or Fisher exact test for qualitative variables. We tested the effect of receiving a new COPD diagnosis on quitting smoking by including an interaction term between time (recruitment or stability visit) and diagnosis in a logistic regression model that included smoking and potential confounders (gender, age, the Charlson index of comorbidity, degree of dyspnoea, quality of life, FEV1, arterial oxygen tension (PaO2)). Kaplan-Meier curves of time to COPD readmission were plotted according to COPD diagnosis status previous to the baseline admission, and the log-rank test was used to compare differences in readmission-free rates between diagnosed and undiagnosed COPD patients [25]. Because the proportionality assumption held, the association between previous COPD diagnosis and time to COPD readmission was assessed using Cox regression survival-time models [26]. Multivariate models included as covariates all potential confounders that were related to both the exposure and the outcome, or modified the estimates (>10% change in Hazard Ratio) for the remaining variables. Potential covariates included gender, age, marital status, smoking status, quality of life, degree of dyspnoea, BMI, FFMI, the Charlson index of comorbidity, FEV1, DLco, Residual Volume/Total Lung Capacity (RV/TLC), PaO2, arterial carbon dioxide tension (PaCO2), 6MWD, and anxiety and depression. The same approach was to be used to assess the effect of undiagnosis on mortality; however, there were very few deaths during follow-up and this multivariate analysis was not completed. Data analyses were conducted using Stata 10.1 (StataCorp, College Station, TX, USA).
Results
Characteristics of patients with undiagnosed COPD The entire PAC-COPD cohort included 342 patients (93% men) with a mean (SD) age of 67 (9) years and a mean (SD) post-bronchodilator FEV1 of 52% (16%) predicted during clinical stability (Table 1). A total of 117 patients (34%) fulfilled the criteria of “undiagnosed COPD”. Table 1 shows the comparisons of sociodemographic and clinical characteristics for these two groups. Undiagnosed patients were younger and more physically active, had fewer symptoms and better health status, and had milder airflow limitation and fewer comorbidities; in addition a higher proportion of these patients reported that they currently smoked (Table 1). A total of 33 (28%) patients with severe COPD and 5 (4%) patients with very severe COPD reported that they had never been diagnosed as having a respiratory disease prior to their first hospitalisation. The Charlson comorbidities are shown in Additional file 1: Table S2.Table 1 Baseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation All COPD patients n = 342*Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value † Age (years), m (SD)67 (9)66 (9)68 (8)0.03Males, n (%)318 (93)107 (92)211(94)0.43Married, n (%)274 (80)90 (77)184 (82)0.29Less than primary education, n (%)142 (42)46 (39)96 (43)0.55Low socioeconomic status (IV-V), n (%)259 (82)90 (81)169 (82)0.83Current workers, n (%)61 (18)30 (26)31 (14)<0.01Smoking status: current, n (%)150 (44)69 (59)81 (36)<0.01Pack-years, m (SD)69 (40)67 (38)70 (41)0.55Physical activity (hours/week), m (SD)33.5 (23.8)39.5 (23.4)30.4 (23.5)0.01≥2 comorbidities (Charlson index), n (%)172 (50)47 (40)125 (56)<0.01Severity of COPD (ERS/ATS), n (%)  Mild (FEV1 ≥ 80%)19 (5)14 (12)5 (2)<0.01  Moderate (FEV1 ≥ 50%, <80%)164 (48)65 (56)99 (44)  Severe (FEV1 ≥ 30%, <50%)132 (39)33 (28)99 (44)  Very severe (FEV1 < 30%)27 (8)5 (4)22 (10)FEV1 post-bronchodilator (% pred), m (SD)52 (16)59 (16)49 (15)<0.01DLCO (% pred.), m (SD)65 (21)67 (21)64 (21)0.23RV/TLC (%), m (SD)56 (10)52 (10)58 (9)<0.01PaO2 (mmHg), m (SD)74 (11)75 (10)74 (11)0.28PaCO2 (mmHg), m (SD)41.8 (5.3)42.2 (5.2)41.6 (5.4)0.376MWD (m), median (P25-P75)437 (390–500)440 (396–502)437 (373–498)0.25Dyspnoea score (mMRC, score 0–4), m (SD)2.40 (1.06)2.06 (1.09)2.59 (0.99)<0.01BMI (Kg/m2), m (SD)28.2 (4.7)28.8 (4.7)27.9 (4.6)0.08FFMI (Kg/m2), m (SD)19.7 (3.1)19.9 (3.0)19.5 (3.1)0.21SGRQ total score (0 no health impairment to 100 maximum impairment), m (SD)37 (18)29 (16)40 (18)<0.01SGRQ symptoms score, m (SD)48 (18)45 (16)50 (18)<0.01ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD. Baseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD. Undiagnosed patients reported a significantly lower use of health care resources due to respiratory symptoms in the 12 months prior to their first hospitalisation for a COPD exacerbation. The number of unscheduled visits to the primary care surgery was similar in both groups (Table 2).Table 2 Self-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation All COPD patients n = 342Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value † n (%)n (%)n (%) COPD diagnosis and treatment COPD diagnosis*157 (46)--157 (70)--COPD treatment*193 (56)--193 (86)-- Use of health care resources due to respiratory symptoms in the 12 months prior to first COPD hospitalisation At least one visit to hospital emergency department34 (10)3 (3)31 (14)<0.01At least one unscheduled visit to primary care64 (19)21 (18)43 (19)0.79≥3 visits to any physician104 (31)15 (13)89 (40)<0.01≥3 visits to primary care physician56 (16)6 (5)50 (22)<0.01≥3 visits to primary care-based pulmonologist18 (5)1 (1)17 (8)<0.01≥3 visits to hospital-based pulmonologist2 (1)0 (0)2 (1)0.55*See Additional file 1: Table S1 in for details. †Comparison between undiagnosed and diagnosed COPD. Self-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation *See Additional file 1: Table S1 in for details. †Comparison between undiagnosed and diagnosed COPD. The entire PAC-COPD cohort included 342 patients (93% men) with a mean (SD) age of 67 (9) years and a mean (SD) post-bronchodilator FEV1 of 52% (16%) predicted during clinical stability (Table 1). A total of 117 patients (34%) fulfilled the criteria of “undiagnosed COPD”. Table 1 shows the comparisons of sociodemographic and clinical characteristics for these two groups. Undiagnosed patients were younger and more physically active, had fewer symptoms and better health status, and had milder airflow limitation and fewer comorbidities; in addition a higher proportion of these patients reported that they currently smoked (Table 1). A total of 33 (28%) patients with severe COPD and 5 (4%) patients with very severe COPD reported that they had never been diagnosed as having a respiratory disease prior to their first hospitalisation. The Charlson comorbidities are shown in Additional file 1: Table S2.Table 1 Baseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation All COPD patients n = 342*Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value † Age (years), m (SD)67 (9)66 (9)68 (8)0.03Males, n (%)318 (93)107 (92)211(94)0.43Married, n (%)274 (80)90 (77)184 (82)0.29Less than primary education, n (%)142 (42)46 (39)96 (43)0.55Low socioeconomic status (IV-V), n (%)259 (82)90 (81)169 (82)0.83Current workers, n (%)61 (18)30 (26)31 (14)<0.01Smoking status: current, n (%)150 (44)69 (59)81 (36)<0.01Pack-years, m (SD)69 (40)67 (38)70 (41)0.55Physical activity (hours/week), m (SD)33.5 (23.8)39.5 (23.4)30.4 (23.5)0.01≥2 comorbidities (Charlson index), n (%)172 (50)47 (40)125 (56)<0.01Severity of COPD (ERS/ATS), n (%)  Mild (FEV1 ≥ 80%)19 (5)14 (12)5 (2)<0.01  Moderate (FEV1 ≥ 50%, <80%)164 (48)65 (56)99 (44)  Severe (FEV1 ≥ 30%, <50%)132 (39)33 (28)99 (44)  Very severe (FEV1 < 30%)27 (8)5 (4)22 (10)FEV1 post-bronchodilator (% pred), m (SD)52 (16)59 (16)49 (15)<0.01DLCO (% pred.), m (SD)65 (21)67 (21)64 (21)0.23RV/TLC (%), m (SD)56 (10)52 (10)58 (9)<0.01PaO2 (mmHg), m (SD)74 (11)75 (10)74 (11)0.28PaCO2 (mmHg), m (SD)41.8 (5.3)42.2 (5.2)41.6 (5.4)0.376MWD (m), median (P25-P75)437 (390–500)440 (396–502)437 (373–498)0.25Dyspnoea score (mMRC, score 0–4), m (SD)2.40 (1.06)2.06 (1.09)2.59 (0.99)<0.01BMI (Kg/m2), m (SD)28.2 (4.7)28.8 (4.7)27.9 (4.6)0.08FFMI (Kg/m2), m (SD)19.7 (3.1)19.9 (3.0)19.5 (3.1)0.21SGRQ total score (0 no health impairment to 100 maximum impairment), m (SD)37 (18)29 (16)40 (18)<0.01SGRQ symptoms score, m (SD)48 (18)45 (16)50 (18)<0.01ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD. Baseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD. Undiagnosed patients reported a significantly lower use of health care resources due to respiratory symptoms in the 12 months prior to their first hospitalisation for a COPD exacerbation. The number of unscheduled visits to the primary care surgery was similar in both groups (Table 2).Table 2 Self-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation All COPD patients n = 342Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value † n (%)n (%)n (%) COPD diagnosis and treatment COPD diagnosis*157 (46)--157 (70)--COPD treatment*193 (56)--193 (86)-- Use of health care resources due to respiratory symptoms in the 12 months prior to first COPD hospitalisation At least one visit to hospital emergency department34 (10)3 (3)31 (14)<0.01At least one unscheduled visit to primary care64 (19)21 (18)43 (19)0.79≥3 visits to any physician104 (31)15 (13)89 (40)<0.01≥3 visits to primary care physician56 (16)6 (5)50 (22)<0.01≥3 visits to primary care-based pulmonologist18 (5)1 (1)17 (8)<0.01≥3 visits to hospital-based pulmonologist2 (1)0 (0)2 (1)0.55*See Additional file 1: Table S1 in for details. †Comparison between undiagnosed and diagnosed COPD. Self-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation *See Additional file 1: Table S1 in for details. †Comparison between undiagnosed and diagnosed COPD. Short-term effects associated with a COPD diagnosis Figure 2 shows the short-term effects associated with a COPD diagnosis on smoking cessation. The proportion of current smokers after hospital discharge decreased significantly more in newly diagnosed COPD patients than in those with a previous COPD diagnosis (16% vs. 5%). Despite significantly different baseline values at hospitalisation (Figure 2), the interaction between diagnosis group and time was significant (p = 0.019).Figure 2 Short-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text. Short-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text. Figure 2 shows the short-term effects associated with a COPD diagnosis on smoking cessation. The proportion of current smokers after hospital discharge decreased significantly more in newly diagnosed COPD patients than in those with a previous COPD diagnosis (16% vs. 5%). Despite significantly different baseline values at hospitalisation (Figure 2), the interaction between diagnosis group and time was significant (p = 0.019).Figure 2 Short-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text. Short-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text. Long-term prognosis of newly diagnosed COPD patients During a mean (SD) of 1.87 (0.98) years of follow-up, 44% of previously diagnosed patients and 28% of newly diagnosed required re-hospitalisation. This corresponds to 0.25 and 0.14 annual hospitalisation rates (p < 0.01), respectively (Figure 3, panel A). However, this risk of re-hospitalisation was similar in both groups after adjusting for other covariates in a Cox regression multivariate model (Table 3). The proportion of patients who required admission was higher in previously diagnosed patients when compared with newly diagnosed patients for the mild, moderate and severe spirometric COPD groups (20% vs. 7%, 36% vs. 23% and 49% vs. 36%, respectively). The proportion of patients within the very severe COPD group who required admission was 63% in previously diagnosed patients and 100% for newly diagnosed patients; however, the very small sample size prevented any statistical comparisons. During a mean (SD) of 3.28 (0.85) years, overall survival rates (Figure 3, panel B) of previously diagnosed and newly diagnosed patients were similar (87% and 84%, respectively; p = 0.51) at all severity stages (80% and 93% in mild, 92% and 85% in moderate, 87% and 81% in severe, and 64% and 60% in very severe patients).Figure 3 Kaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis. Kaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis. Association between previous COPD diagnosis and subsequent COPD hospitalisations HR: hazard ratio; CI: confidence interval; mMRC: modified Medical Research Council; BMI: body mass index; RV/TLC: Residual Volume/Total Lung Capacity; FEV1: forced expiratory volume in 1 second. *Final models were adjusted to account for negative confounding, i.e., that the apparently protective effect of undiagnosed COPD is due to a lower clinical severity of the disease. Other potential confounders (see text) were tested but not included because they were not independently related to both the exposure and the outcome, nor did these confounders modify (>10% change in Hazard Ratio) the estimates for the remaining variables. During a mean (SD) of 1.87 (0.98) years of follow-up, 44% of previously diagnosed patients and 28% of newly diagnosed required re-hospitalisation. This corresponds to 0.25 and 0.14 annual hospitalisation rates (p < 0.01), respectively (Figure 3, panel A). However, this risk of re-hospitalisation was similar in both groups after adjusting for other covariates in a Cox regression multivariate model (Table 3). The proportion of patients who required admission was higher in previously diagnosed patients when compared with newly diagnosed patients for the mild, moderate and severe spirometric COPD groups (20% vs. 7%, 36% vs. 23% and 49% vs. 36%, respectively). The proportion of patients within the very severe COPD group who required admission was 63% in previously diagnosed patients and 100% for newly diagnosed patients; however, the very small sample size prevented any statistical comparisons. During a mean (SD) of 3.28 (0.85) years, overall survival rates (Figure 3, panel B) of previously diagnosed and newly diagnosed patients were similar (87% and 84%, respectively; p = 0.51) at all severity stages (80% and 93% in mild, 92% and 85% in moderate, 87% and 81% in severe, and 64% and 60% in very severe patients).Figure 3 Kaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis. Kaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis. Association between previous COPD diagnosis and subsequent COPD hospitalisations HR: hazard ratio; CI: confidence interval; mMRC: modified Medical Research Council; BMI: body mass index; RV/TLC: Residual Volume/Total Lung Capacity; FEV1: forced expiratory volume in 1 second. *Final models were adjusted to account for negative confounding, i.e., that the apparently protective effect of undiagnosed COPD is due to a lower clinical severity of the disease. Other potential confounders (see text) were tested but not included because they were not independently related to both the exposure and the outcome, nor did these confounders modify (>10% change in Hazard Ratio) the estimates for the remaining variables.
Conclusions
This study showed that approximately one-third of patients hospitalised for the first time because of a COPD exacerbation had not been previously diagnosed (hence, treated). In addition, patients generally exhibited less severe disease, and their risk of re-hospitalisation was lower when compared with patients who were hospitalised with an established COPD diagnosis. First admission due to COPD exacerbation provides a window of opportunity for early treatment, in particular for smoking cessation intervention.
[ "Background", "Study design and ethics", "Study population", "Measurements", "Re-hospitalisations and mortality during follow-up", "Statistical analysis", "Characteristics of patients with undiagnosed COPD", "Short-term effects associated with a COPD diagnosis", "Long-term prognosis of newly diagnosed COPD patients", "Authors’ information", "" ]
[ "Chronic obstructive pulmonary disease (COPD) represents a major public health problem, and its mortality and disability burden is expected to rise in the coming decades [1, 2]. Nonetheless, the majority of studies from general population and primary care have detected that a high proportion of individuals fulfilling COPD diagnosis criteria remain undiagnosed [3–9]. Interestingly, it has been reported that a high proportion of undiagnosed patients already suffer from respiratory symptoms [7, 8]. A recent population-based study demonstrated that even newly diagnosed COPD patients with mild airflow limitation exhibit a significant impairment in their health-related quality of life and certain activities of daily living, when compared with individuals without COPD [9]. Therefore, both researchers and practitioners advocate for early detection strategies aimed at reducing COPD burden through proven health-care interventions [10].\nThere is a lack of specific information regarding COPD under-diagnosis in patients requiring hospitalisation because of an exacerbation of the disease. Two previous studies in a hospital setting highlighted that one-third of patients had never been diagnosed or treated. One of these studies involved patients who went to the emergency room for COPD exacerbation, and the second study was a small retrospective study of patients admitted to the hospital for the first time for a COPD exacerbation [11, 12]. The current study describes the characteristics of COPD patients who were undiagnosed at the time of their first hospital admission because of a COPD exacerbation and their short- and long-term outcomes.", "This study was a longitudinal observational analysis conducted within the Phenotype and Course of COPD Project (PAC-COPD) [13]. Briefly, the PAC-COPD study included all patients admitted to nine teaching hospitals in Spain between January 2004 and March 2006 for a first-time COPD exacerbation.\nThe study design is diagrammed in Figure 1 and included the following features: (i) a recruitment visit (at first hospitalisation due to COPD exacerbation) to obtain sociodemographic variables, smoking status, information about diagnosis and treatment previous to their first hospitalisation, and use of health services during the 12 months preceding their first hospitalisation; (ii) a visit under stable conditions (at least three months after discharge) to collect clinical and functional variables and smoking status; and (iii) a prospective 4-year active follow-up to obtain information about re-hospitalisations and mortality.Figure 1\nDesign and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality).\n\nDesign and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality).\nDuring hospitalisation and at discharge, patients received standard information about their disease, smoking cessation advice, as well as pharmacological and non-pharmacological treatment from the attending physician according to local guidelines [14].\nThe study was approved by the Ethics Committees of all participating hospitals and all patients gave their written informed consent. All patients were actively followed until death or December 31, 2008.\nAdditional details about the recruitment and follow-up processes have been previously published [13, 15, 16].", "A diagnosis of COPD was confirmed by spirometry at least three months after discharge when the patient had reached clinical stability. COPD was identified as a post-bronchodilator forced expiratory volume in one second to forced vital capacity ratio (FEV1/FVC) of less than 0.7 [17]. At recruitment (first hospitalisation due to COPD exacerbation), patients were asked about their diagnosis with “any respiratory disease” using the following questions: “Are you suffering from any respiratory disease?”, “What is the name of your respiratory disease?”, “When were you diagnosed with this respiratory disease?”, and “Who diagnosed your respiratory disease?”. These questions were previously designed and pilot-tested in COPD patients from the same geographical area [18]. Patients reported any pharmacological treatments they were taking regularly (previous to hospitalisation) for any chronic disease. We defined “undiagnosed COPD” as the absence of any self-reported diagnosis of respiratory disease. In addition, to reduce a potential misclassification due to poor recall, we assumed that patients regularly using any pharmacological respiratory treatment had been previously diagnosed. Once stable conditions were reached and the diagnosis of COPD was confirmed, patients were identified as “newly diagnosed” COPD patients. Details on the exact wording of patients when describing their respiratory disease, time from diagnosis, diagnosing doctor, and respiratory treatment are reported in Additional file 1: Table S1.\nFor our analysis, disease severity was classified according to FEV1 levels as mild, moderate, severe and very severe following the European Respiratory Society and the American Thoracic Society (ERS/ATS) criteria [17].", "At recruitment, standardised epidemiological questionnaires were used to collect information on sociodemographic characteristics, smoking status, physical activity (Spanish version of the Yale Physical Activity Survey) [19] and health-care utilisation over the previous 12 months [18]. The Charlson index of comorbidity was obtained from medical records, patient recall and physical examination by an expert pulmonologist [20]. In addition, we obtained the number of visits to a hospital emergency department, primary care emergency department, primary care physician, primary care pulmonologist, and hospital-based pulmonologist over the previous 12 months using standardised epidemiological questionnaires.\nWhen the patient was clinically stable after discharge, the following measurements were obtained: forced spirometry and bronchodilator test, static lung volumes by whole-body plethysmography, diffusing capacity for carbon monoxide (DLco), arterial blood gases analysis while breathing room air at rest, six-minute walking distance (6MWD), body mass index (BMI) and fat-free mass index (FFMI). Patients also answered an epidemiological questionnaire, including a dyspnoea assessment using the mMRC scale, to determine the patient’s smoking status and current pharmacologic treatment information. Health-related quality of life (HRQL) was assessed using the validated Spanish version of St. George’s Respiratory Questionnaire (SGRQ) [21]. Anxiety and depression were evaluated with the Spanish version of the Hospital Anxiety and Depression Scale (HADS) [22, 23].\nDetailed information on the methods and sources of the questionnaires and the standardisation of the tests used in the PAC-COPD study has been previously published [13, 16].", "Information on re-hospitalisations through December 31, 2007 (causes and dates) was obtained for all patients from the Minimum Basic Dataset (CMBD), a national administrative database. According to the 9th revision of the International Classification of Diseases, an admission for COPD exacerbation was defined as any admission with codes 466, 480–486, 490–496, or 518.81 as the main diagnosis. Survival status until December 31, 2008 was obtained from direct interviews with all patients or their relatives. In cases of death, both hospital and primary care registries were checked to verify the exact date.", "The sample size was fixed by the primary scientific objectives of the PAC-COPD Study [16]. Before any analysis, we calculated whether the available number of patients (225 patients in the diagnosed group and 117 in the undiagnosed group) would allow for identification of clinically significant differences in outcome between groups (diagnosed vs. undiagnosed). Calculations using the GRANMO 5.2 software [24] showed that, accepting an alpha risk of 0.05 in a two-sided test, the statistical power was 84 to recognize as statistically significant the difference in proportion admitted (44% vs. 28%, respectively).\nDescriptive data are presented as the number and percentage, the mean and standard deviation (SD), or the median and 25th or 75th percentiles, as appropriate. We compared the sociodemographic and clinical variables and use of healthcare resources prior to first hospitalisation according to previous COPD diagnosis status, using Student’s t-test or Mann–Whitney U test for quantitative variables and a Chi squared or Fisher exact test for qualitative variables. We tested the effect of receiving a new COPD diagnosis on quitting smoking by including an interaction term between time (recruitment or stability visit) and diagnosis in a logistic regression model that included smoking and potential confounders (gender, age, the Charlson index of comorbidity, degree of dyspnoea, quality of life, FEV1, arterial oxygen tension (PaO2)).\nKaplan-Meier curves of time to COPD readmission were plotted according to COPD diagnosis status previous to the baseline admission, and the log-rank test was used to compare differences in readmission-free rates between diagnosed and undiagnosed COPD patients [25]. Because the proportionality assumption held, the association between previous COPD diagnosis and time to COPD readmission was assessed using Cox regression survival-time models [26]. Multivariate models included as covariates all potential confounders that were related to both the exposure and the outcome, or modified the estimates (>10% change in Hazard Ratio) for the remaining variables. Potential covariates included gender, age, marital status, smoking status, quality of life, degree of dyspnoea, BMI, FFMI, the Charlson index of comorbidity, FEV1, DLco, Residual Volume/Total Lung Capacity (RV/TLC), PaO2, arterial carbon dioxide tension (PaCO2), 6MWD, and anxiety and depression. The same approach was to be used to assess the effect of undiagnosis on mortality; however, there were very few deaths during follow-up and this multivariate analysis was not completed. Data analyses were conducted using Stata 10.1 (StataCorp, College Station, TX, USA).", "The entire PAC-COPD cohort included 342 patients (93% men) with a mean (SD) age of 67 (9) years and a mean (SD) post-bronchodilator FEV1 of 52% (16%) predicted during clinical stability (Table 1). A total of 117 patients (34%) fulfilled the criteria of “undiagnosed COPD”. Table 1 shows the comparisons of sociodemographic and clinical characteristics for these two groups. Undiagnosed patients were younger and more physically active, had fewer symptoms and better health status, and had milder airflow limitation and fewer comorbidities; in addition a higher proportion of these patients reported that they currently smoked (Table 1). A total of 33 (28%) patients with severe COPD and 5 (4%) patients with very severe COPD reported that they had never been diagnosed as having a respiratory disease prior to their first hospitalisation. The Charlson comorbidities are shown in Additional file 1: Table S2.Table 1\nBaseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation\nAll COPD patients n = 342*Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value\n†\nAge (years), m (SD)67 (9)66 (9)68 (8)0.03Males, n (%)318 (93)107 (92)211(94)0.43Married, n (%)274 (80)90 (77)184 (82)0.29Less than primary education, n (%)142 (42)46 (39)96 (43)0.55Low socioeconomic status (IV-V), n (%)259 (82)90 (81)169 (82)0.83Current workers, n (%)61 (18)30 (26)31 (14)<0.01Smoking status: current, n (%)150 (44)69 (59)81 (36)<0.01Pack-years, m (SD)69 (40)67 (38)70 (41)0.55Physical activity (hours/week), m (SD)33.5 (23.8)39.5 (23.4)30.4 (23.5)0.01≥2 comorbidities (Charlson index), n (%)172 (50)47 (40)125 (56)<0.01Severity of COPD (ERS/ATS), n (%)  Mild (FEV1 ≥ 80%)19 (5)14 (12)5 (2)<0.01  Moderate (FEV1 ≥ 50%, <80%)164 (48)65 (56)99 (44)  Severe (FEV1 ≥ 30%, <50%)132 (39)33 (28)99 (44)  Very severe (FEV1 < 30%)27 (8)5 (4)22 (10)FEV1 post-bronchodilator (% pred), m (SD)52 (16)59 (16)49 (15)<0.01DLCO (% pred.), m (SD)65 (21)67 (21)64 (21)0.23RV/TLC (%), m (SD)56 (10)52 (10)58 (9)<0.01PaO2 (mmHg), m (SD)74 (11)75 (10)74 (11)0.28PaCO2 (mmHg), m (SD)41.8 (5.3)42.2 (5.2)41.6 (5.4)0.376MWD (m), median (P25-P75)437 (390–500)440 (396–502)437 (373–498)0.25Dyspnoea score (mMRC, score 0–4), m (SD)2.40 (1.06)2.06 (1.09)2.59 (0.99)<0.01BMI (Kg/m2), m (SD)28.2 (4.7)28.8 (4.7)27.9 (4.6)0.08FFMI (Kg/m2), m (SD)19.7 (3.1)19.9 (3.0)19.5 (3.1)0.21SGRQ total score (0 no health impairment to 100 maximum impairment), m (SD)37 (18)29 (16)40 (18)<0.01SGRQ symptoms score, m (SD)48 (18)45 (16)50 (18)<0.01ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD.\n\nBaseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation\n\nERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD.\nUndiagnosed patients reported a significantly lower use of health care resources due to respiratory symptoms in the 12 months prior to their first hospitalisation for a COPD exacerbation. The number of unscheduled visits to the primary care surgery was similar in both groups (Table 2).Table 2\nSelf-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation\nAll COPD patients n = 342Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value\n†\nn (%)n (%)n (%)\nCOPD diagnosis and treatment\nCOPD diagnosis*157 (46)--157 (70)--COPD treatment*193 (56)--193 (86)--\nUse of health care resources due to respiratory symptoms in the 12 months prior to first COPD hospitalisation\nAt least one visit to hospital emergency department34 (10)3 (3)31 (14)<0.01At least one unscheduled visit to primary care64 (19)21 (18)43 (19)0.79≥3 visits to any physician104 (31)15 (13)89 (40)<0.01≥3 visits to primary care physician56 (16)6 (5)50 (22)<0.01≥3 visits to primary care-based pulmonologist18 (5)1 (1)17 (8)<0.01≥3 visits to hospital-based pulmonologist2 (1)0 (0)2 (1)0.55*See Additional file 1: Table S1 in for details.\n†Comparison between undiagnosed and diagnosed COPD.\n\nSelf-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation\n\n*See Additional file 1: Table S1 in for details.\n\n†Comparison between undiagnosed and diagnosed COPD.", "Figure 2 shows the short-term effects associated with a COPD diagnosis on smoking cessation. The proportion of current smokers after hospital discharge decreased significantly more in newly diagnosed COPD patients than in those with a previous COPD diagnosis (16% vs. 5%). Despite significantly different baseline values at hospitalisation (Figure 2), the interaction between diagnosis group and time was significant (p = 0.019).Figure 2\nShort-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text.\n\nShort-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text.", "During a mean (SD) of 1.87 (0.98) years of follow-up, 44% of previously diagnosed patients and 28% of newly diagnosed required re-hospitalisation. This corresponds to 0.25 and 0.14 annual hospitalisation rates (p < 0.01), respectively (Figure 3, panel A). However, this risk of re-hospitalisation was similar in both groups after adjusting for other covariates in a Cox regression multivariate model (Table 3). The proportion of patients who required admission was higher in previously diagnosed patients when compared with newly diagnosed patients for the mild, moderate and severe spirometric COPD groups (20% vs. 7%, 36% vs. 23% and 49% vs. 36%, respectively). The proportion of patients within the very severe COPD group who required admission was 63% in previously diagnosed patients and 100% for newly diagnosed patients; however, the very small sample size prevented any statistical comparisons.\nDuring a mean (SD) of 3.28 (0.85) years, overall survival rates (Figure 3, panel B) of previously diagnosed and newly diagnosed patients were similar (87% and 84%, respectively; p = 0.51) at all severity stages (80% and 93% in mild, 92% and 85% in moderate, 87% and 81% in severe, and 64% and 60% in very severe patients).Figure 3\nKaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis.\n\n\nKaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis.\n\n\nAssociation between previous COPD diagnosis and subsequent COPD hospitalisations\n\nHR: hazard ratio; CI: confidence interval; mMRC: modified Medical Research Council; BMI: body mass index; RV/TLC: Residual Volume/Total Lung Capacity; FEV1: forced expiratory volume in 1 second.\n*Final models were adjusted to account for negative confounding, i.e., that the apparently protective effect of undiagnosed COPD is due to a lower clinical severity of the disease. Other potential confounders (see text) were tested but not included because they were not independently related to both the exposure and the outcome, nor did these confounders modify (>10% change in Hazard Ratio) the estimates for the remaining variables.", "The “Phenotype and Course of COPD (PAC-COPD)” Study Group: Centre for Research in Environmental Epidemiology (CREAL), Barcelona: Josep M Antó (Principal Investigator), Judith Garcia-Aymerich (project coordinator), Marta Benet, Jordi de Batlle, Ignasi Serra, David Donaire-Gonzalez, Stefano Guerra; Hospital del Mar-IMIM, Barcelona: Joaquim Gea (centre coordinator), Eva Balcells, Àngel Gayete, Mauricio Orozco-Levi, Ivan Vollmer; Hospital Clínic-Institut D’Investigacions Biomèdiques August Pi i Sunyer (IDIBAPS), Barcelona: Joan Albert Barberà (centre coordinator), Federico P Gómez, Carles Paré, Josep Roca, Robert Rodriguez-Roisin, Xavier Freixa, Diego A Rodriguez, Elena Gimeno-Santos, Karina Portillo; Hospital General Universitari Vall D’Hebron, Barcelona: Jaume Ferrer (centre coordinator), Jordi Andreu, Esther Pallissa, Esther Rodríguez; Hospital de la Santa Creu i Sant Pau, Barcelona: Pere Casan (centre coordinator), Rosa Güell, Ana Giménez; Hospital Universitari Germans Trias i Pujol, Badalona: Eduard Monsó (centre coordinator), Alicia Marín, Josep Morera; Hospital Universitari de Bellvitge, L’Hospitalet de Llobregat: Eva Farrero (centre coordinator), Joan Escarrabill; Hospital de Sabadell, Corporació Parc Taulí, Institut Universitari Parc Taulí (Universitat Autònoma de Barcelona), Sabadell: Antoni Ferrer (centre coordinator); Hospital Universitari Son Dureta, Palma de Mallorca: Jaume Sauleda (centre coordinator), Àlvar G Agustí, Bernat Togores; Hospital de Cruces, Barakaldo: Juan Bautista Gáldiz (centre coordinator), Lorena López; Hospital General Universitari, València: José Belda.", "Additional file 1: Table S1: Characteristics of respiratory diagnoses and pharmacological treatments prior to the first admission for COPD exacerbation in diagnosed COPD patients (n = 225). Table S2. Charlson comorbidities in 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation. Comparison between undiagnosed and previously diagnosed COPD patients. (DOCX 33 KB)" ]
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[ "Background", "Methods", "Study design and ethics", "Study population", "Measurements", "Re-hospitalisations and mortality during follow-up", "Statistical analysis", "Results", "Characteristics of patients with undiagnosed COPD", "Short-term effects associated with a COPD diagnosis", "Long-term prognosis of newly diagnosed COPD patients", "Discussion", "Conclusions", "Authors’ information", "Electronic supplementary material", "" ]
[ "Chronic obstructive pulmonary disease (COPD) represents a major public health problem, and its mortality and disability burden is expected to rise in the coming decades [1, 2]. Nonetheless, the majority of studies from general population and primary care have detected that a high proportion of individuals fulfilling COPD diagnosis criteria remain undiagnosed [3–9]. Interestingly, it has been reported that a high proportion of undiagnosed patients already suffer from respiratory symptoms [7, 8]. A recent population-based study demonstrated that even newly diagnosed COPD patients with mild airflow limitation exhibit a significant impairment in their health-related quality of life and certain activities of daily living, when compared with individuals without COPD [9]. Therefore, both researchers and practitioners advocate for early detection strategies aimed at reducing COPD burden through proven health-care interventions [10].\nThere is a lack of specific information regarding COPD under-diagnosis in patients requiring hospitalisation because of an exacerbation of the disease. Two previous studies in a hospital setting highlighted that one-third of patients had never been diagnosed or treated. One of these studies involved patients who went to the emergency room for COPD exacerbation, and the second study was a small retrospective study of patients admitted to the hospital for the first time for a COPD exacerbation [11, 12]. The current study describes the characteristics of COPD patients who were undiagnosed at the time of their first hospital admission because of a COPD exacerbation and their short- and long-term outcomes.", " Study design and ethics This study was a longitudinal observational analysis conducted within the Phenotype and Course of COPD Project (PAC-COPD) [13]. Briefly, the PAC-COPD study included all patients admitted to nine teaching hospitals in Spain between January 2004 and March 2006 for a first-time COPD exacerbation.\nThe study design is diagrammed in Figure 1 and included the following features: (i) a recruitment visit (at first hospitalisation due to COPD exacerbation) to obtain sociodemographic variables, smoking status, information about diagnosis and treatment previous to their first hospitalisation, and use of health services during the 12 months preceding their first hospitalisation; (ii) a visit under stable conditions (at least three months after discharge) to collect clinical and functional variables and smoking status; and (iii) a prospective 4-year active follow-up to obtain information about re-hospitalisations and mortality.Figure 1\nDesign and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality).\n\nDesign and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality).\nDuring hospitalisation and at discharge, patients received standard information about their disease, smoking cessation advice, as well as pharmacological and non-pharmacological treatment from the attending physician according to local guidelines [14].\nThe study was approved by the Ethics Committees of all participating hospitals and all patients gave their written informed consent. All patients were actively followed until death or December 31, 2008.\nAdditional details about the recruitment and follow-up processes have been previously published [13, 15, 16].\nThis study was a longitudinal observational analysis conducted within the Phenotype and Course of COPD Project (PAC-COPD) [13]. Briefly, the PAC-COPD study included all patients admitted to nine teaching hospitals in Spain between January 2004 and March 2006 for a first-time COPD exacerbation.\nThe study design is diagrammed in Figure 1 and included the following features: (i) a recruitment visit (at first hospitalisation due to COPD exacerbation) to obtain sociodemographic variables, smoking status, information about diagnosis and treatment previous to their first hospitalisation, and use of health services during the 12 months preceding their first hospitalisation; (ii) a visit under stable conditions (at least three months after discharge) to collect clinical and functional variables and smoking status; and (iii) a prospective 4-year active follow-up to obtain information about re-hospitalisations and mortality.Figure 1\nDesign and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality).\n\nDesign and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality).\nDuring hospitalisation and at discharge, patients received standard information about their disease, smoking cessation advice, as well as pharmacological and non-pharmacological treatment from the attending physician according to local guidelines [14].\nThe study was approved by the Ethics Committees of all participating hospitals and all patients gave their written informed consent. All patients were actively followed until death or December 31, 2008.\nAdditional details about the recruitment and follow-up processes have been previously published [13, 15, 16].\n Study population A diagnosis of COPD was confirmed by spirometry at least three months after discharge when the patient had reached clinical stability. COPD was identified as a post-bronchodilator forced expiratory volume in one second to forced vital capacity ratio (FEV1/FVC) of less than 0.7 [17]. At recruitment (first hospitalisation due to COPD exacerbation), patients were asked about their diagnosis with “any respiratory disease” using the following questions: “Are you suffering from any respiratory disease?”, “What is the name of your respiratory disease?”, “When were you diagnosed with this respiratory disease?”, and “Who diagnosed your respiratory disease?”. These questions were previously designed and pilot-tested in COPD patients from the same geographical area [18]. Patients reported any pharmacological treatments they were taking regularly (previous to hospitalisation) for any chronic disease. We defined “undiagnosed COPD” as the absence of any self-reported diagnosis of respiratory disease. In addition, to reduce a potential misclassification due to poor recall, we assumed that patients regularly using any pharmacological respiratory treatment had been previously diagnosed. Once stable conditions were reached and the diagnosis of COPD was confirmed, patients were identified as “newly diagnosed” COPD patients. Details on the exact wording of patients when describing their respiratory disease, time from diagnosis, diagnosing doctor, and respiratory treatment are reported in Additional file 1: Table S1.\nFor our analysis, disease severity was classified according to FEV1 levels as mild, moderate, severe and very severe following the European Respiratory Society and the American Thoracic Society (ERS/ATS) criteria [17].\nA diagnosis of COPD was confirmed by spirometry at least three months after discharge when the patient had reached clinical stability. COPD was identified as a post-bronchodilator forced expiratory volume in one second to forced vital capacity ratio (FEV1/FVC) of less than 0.7 [17]. At recruitment (first hospitalisation due to COPD exacerbation), patients were asked about their diagnosis with “any respiratory disease” using the following questions: “Are you suffering from any respiratory disease?”, “What is the name of your respiratory disease?”, “When were you diagnosed with this respiratory disease?”, and “Who diagnosed your respiratory disease?”. These questions were previously designed and pilot-tested in COPD patients from the same geographical area [18]. Patients reported any pharmacological treatments they were taking regularly (previous to hospitalisation) for any chronic disease. We defined “undiagnosed COPD” as the absence of any self-reported diagnosis of respiratory disease. In addition, to reduce a potential misclassification due to poor recall, we assumed that patients regularly using any pharmacological respiratory treatment had been previously diagnosed. Once stable conditions were reached and the diagnosis of COPD was confirmed, patients were identified as “newly diagnosed” COPD patients. Details on the exact wording of patients when describing their respiratory disease, time from diagnosis, diagnosing doctor, and respiratory treatment are reported in Additional file 1: Table S1.\nFor our analysis, disease severity was classified according to FEV1 levels as mild, moderate, severe and very severe following the European Respiratory Society and the American Thoracic Society (ERS/ATS) criteria [17].\n Measurements At recruitment, standardised epidemiological questionnaires were used to collect information on sociodemographic characteristics, smoking status, physical activity (Spanish version of the Yale Physical Activity Survey) [19] and health-care utilisation over the previous 12 months [18]. The Charlson index of comorbidity was obtained from medical records, patient recall and physical examination by an expert pulmonologist [20]. In addition, we obtained the number of visits to a hospital emergency department, primary care emergency department, primary care physician, primary care pulmonologist, and hospital-based pulmonologist over the previous 12 months using standardised epidemiological questionnaires.\nWhen the patient was clinically stable after discharge, the following measurements were obtained: forced spirometry and bronchodilator test, static lung volumes by whole-body plethysmography, diffusing capacity for carbon monoxide (DLco), arterial blood gases analysis while breathing room air at rest, six-minute walking distance (6MWD), body mass index (BMI) and fat-free mass index (FFMI). Patients also answered an epidemiological questionnaire, including a dyspnoea assessment using the mMRC scale, to determine the patient’s smoking status and current pharmacologic treatment information. Health-related quality of life (HRQL) was assessed using the validated Spanish version of St. George’s Respiratory Questionnaire (SGRQ) [21]. Anxiety and depression were evaluated with the Spanish version of the Hospital Anxiety and Depression Scale (HADS) [22, 23].\nDetailed information on the methods and sources of the questionnaires and the standardisation of the tests used in the PAC-COPD study has been previously published [13, 16].\nAt recruitment, standardised epidemiological questionnaires were used to collect information on sociodemographic characteristics, smoking status, physical activity (Spanish version of the Yale Physical Activity Survey) [19] and health-care utilisation over the previous 12 months [18]. The Charlson index of comorbidity was obtained from medical records, patient recall and physical examination by an expert pulmonologist [20]. In addition, we obtained the number of visits to a hospital emergency department, primary care emergency department, primary care physician, primary care pulmonologist, and hospital-based pulmonologist over the previous 12 months using standardised epidemiological questionnaires.\nWhen the patient was clinically stable after discharge, the following measurements were obtained: forced spirometry and bronchodilator test, static lung volumes by whole-body plethysmography, diffusing capacity for carbon monoxide (DLco), arterial blood gases analysis while breathing room air at rest, six-minute walking distance (6MWD), body mass index (BMI) and fat-free mass index (FFMI). Patients also answered an epidemiological questionnaire, including a dyspnoea assessment using the mMRC scale, to determine the patient’s smoking status and current pharmacologic treatment information. Health-related quality of life (HRQL) was assessed using the validated Spanish version of St. George’s Respiratory Questionnaire (SGRQ) [21]. Anxiety and depression were evaluated with the Spanish version of the Hospital Anxiety and Depression Scale (HADS) [22, 23].\nDetailed information on the methods and sources of the questionnaires and the standardisation of the tests used in the PAC-COPD study has been previously published [13, 16].\n Re-hospitalisations and mortality during follow-up Information on re-hospitalisations through December 31, 2007 (causes and dates) was obtained for all patients from the Minimum Basic Dataset (CMBD), a national administrative database. According to the 9th revision of the International Classification of Diseases, an admission for COPD exacerbation was defined as any admission with codes 466, 480–486, 490–496, or 518.81 as the main diagnosis. Survival status until December 31, 2008 was obtained from direct interviews with all patients or their relatives. In cases of death, both hospital and primary care registries were checked to verify the exact date.\nInformation on re-hospitalisations through December 31, 2007 (causes and dates) was obtained for all patients from the Minimum Basic Dataset (CMBD), a national administrative database. According to the 9th revision of the International Classification of Diseases, an admission for COPD exacerbation was defined as any admission with codes 466, 480–486, 490–496, or 518.81 as the main diagnosis. Survival status until December 31, 2008 was obtained from direct interviews with all patients or their relatives. In cases of death, both hospital and primary care registries were checked to verify the exact date.\n Statistical analysis The sample size was fixed by the primary scientific objectives of the PAC-COPD Study [16]. Before any analysis, we calculated whether the available number of patients (225 patients in the diagnosed group and 117 in the undiagnosed group) would allow for identification of clinically significant differences in outcome between groups (diagnosed vs. undiagnosed). Calculations using the GRANMO 5.2 software [24] showed that, accepting an alpha risk of 0.05 in a two-sided test, the statistical power was 84 to recognize as statistically significant the difference in proportion admitted (44% vs. 28%, respectively).\nDescriptive data are presented as the number and percentage, the mean and standard deviation (SD), or the median and 25th or 75th percentiles, as appropriate. We compared the sociodemographic and clinical variables and use of healthcare resources prior to first hospitalisation according to previous COPD diagnosis status, using Student’s t-test or Mann–Whitney U test for quantitative variables and a Chi squared or Fisher exact test for qualitative variables. We tested the effect of receiving a new COPD diagnosis on quitting smoking by including an interaction term between time (recruitment or stability visit) and diagnosis in a logistic regression model that included smoking and potential confounders (gender, age, the Charlson index of comorbidity, degree of dyspnoea, quality of life, FEV1, arterial oxygen tension (PaO2)).\nKaplan-Meier curves of time to COPD readmission were plotted according to COPD diagnosis status previous to the baseline admission, and the log-rank test was used to compare differences in readmission-free rates between diagnosed and undiagnosed COPD patients [25]. Because the proportionality assumption held, the association between previous COPD diagnosis and time to COPD readmission was assessed using Cox regression survival-time models [26]. Multivariate models included as covariates all potential confounders that were related to both the exposure and the outcome, or modified the estimates (>10% change in Hazard Ratio) for the remaining variables. Potential covariates included gender, age, marital status, smoking status, quality of life, degree of dyspnoea, BMI, FFMI, the Charlson index of comorbidity, FEV1, DLco, Residual Volume/Total Lung Capacity (RV/TLC), PaO2, arterial carbon dioxide tension (PaCO2), 6MWD, and anxiety and depression. The same approach was to be used to assess the effect of undiagnosis on mortality; however, there were very few deaths during follow-up and this multivariate analysis was not completed. Data analyses were conducted using Stata 10.1 (StataCorp, College Station, TX, USA).\nThe sample size was fixed by the primary scientific objectives of the PAC-COPD Study [16]. Before any analysis, we calculated whether the available number of patients (225 patients in the diagnosed group and 117 in the undiagnosed group) would allow for identification of clinically significant differences in outcome between groups (diagnosed vs. undiagnosed). Calculations using the GRANMO 5.2 software [24] showed that, accepting an alpha risk of 0.05 in a two-sided test, the statistical power was 84 to recognize as statistically significant the difference in proportion admitted (44% vs. 28%, respectively).\nDescriptive data are presented as the number and percentage, the mean and standard deviation (SD), or the median and 25th or 75th percentiles, as appropriate. We compared the sociodemographic and clinical variables and use of healthcare resources prior to first hospitalisation according to previous COPD diagnosis status, using Student’s t-test or Mann–Whitney U test for quantitative variables and a Chi squared or Fisher exact test for qualitative variables. We tested the effect of receiving a new COPD diagnosis on quitting smoking by including an interaction term between time (recruitment or stability visit) and diagnosis in a logistic regression model that included smoking and potential confounders (gender, age, the Charlson index of comorbidity, degree of dyspnoea, quality of life, FEV1, arterial oxygen tension (PaO2)).\nKaplan-Meier curves of time to COPD readmission were plotted according to COPD diagnosis status previous to the baseline admission, and the log-rank test was used to compare differences in readmission-free rates between diagnosed and undiagnosed COPD patients [25]. Because the proportionality assumption held, the association between previous COPD diagnosis and time to COPD readmission was assessed using Cox regression survival-time models [26]. Multivariate models included as covariates all potential confounders that were related to both the exposure and the outcome, or modified the estimates (>10% change in Hazard Ratio) for the remaining variables. Potential covariates included gender, age, marital status, smoking status, quality of life, degree of dyspnoea, BMI, FFMI, the Charlson index of comorbidity, FEV1, DLco, Residual Volume/Total Lung Capacity (RV/TLC), PaO2, arterial carbon dioxide tension (PaCO2), 6MWD, and anxiety and depression. The same approach was to be used to assess the effect of undiagnosis on mortality; however, there were very few deaths during follow-up and this multivariate analysis was not completed. Data analyses were conducted using Stata 10.1 (StataCorp, College Station, TX, USA).", "This study was a longitudinal observational analysis conducted within the Phenotype and Course of COPD Project (PAC-COPD) [13]. Briefly, the PAC-COPD study included all patients admitted to nine teaching hospitals in Spain between January 2004 and March 2006 for a first-time COPD exacerbation.\nThe study design is diagrammed in Figure 1 and included the following features: (i) a recruitment visit (at first hospitalisation due to COPD exacerbation) to obtain sociodemographic variables, smoking status, information about diagnosis and treatment previous to their first hospitalisation, and use of health services during the 12 months preceding their first hospitalisation; (ii) a visit under stable conditions (at least three months after discharge) to collect clinical and functional variables and smoking status; and (iii) a prospective 4-year active follow-up to obtain information about re-hospitalisations and mortality.Figure 1\nDesign and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality).\n\nDesign and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality).\nDuring hospitalisation and at discharge, patients received standard information about their disease, smoking cessation advice, as well as pharmacological and non-pharmacological treatment from the attending physician according to local guidelines [14].\nThe study was approved by the Ethics Committees of all participating hospitals and all patients gave their written informed consent. All patients were actively followed until death or December 31, 2008.\nAdditional details about the recruitment and follow-up processes have been previously published [13, 15, 16].", "A diagnosis of COPD was confirmed by spirometry at least three months after discharge when the patient had reached clinical stability. COPD was identified as a post-bronchodilator forced expiratory volume in one second to forced vital capacity ratio (FEV1/FVC) of less than 0.7 [17]. At recruitment (first hospitalisation due to COPD exacerbation), patients were asked about their diagnosis with “any respiratory disease” using the following questions: “Are you suffering from any respiratory disease?”, “What is the name of your respiratory disease?”, “When were you diagnosed with this respiratory disease?”, and “Who diagnosed your respiratory disease?”. These questions were previously designed and pilot-tested in COPD patients from the same geographical area [18]. Patients reported any pharmacological treatments they were taking regularly (previous to hospitalisation) for any chronic disease. We defined “undiagnosed COPD” as the absence of any self-reported diagnosis of respiratory disease. In addition, to reduce a potential misclassification due to poor recall, we assumed that patients regularly using any pharmacological respiratory treatment had been previously diagnosed. Once stable conditions were reached and the diagnosis of COPD was confirmed, patients were identified as “newly diagnosed” COPD patients. Details on the exact wording of patients when describing their respiratory disease, time from diagnosis, diagnosing doctor, and respiratory treatment are reported in Additional file 1: Table S1.\nFor our analysis, disease severity was classified according to FEV1 levels as mild, moderate, severe and very severe following the European Respiratory Society and the American Thoracic Society (ERS/ATS) criteria [17].", "At recruitment, standardised epidemiological questionnaires were used to collect information on sociodemographic characteristics, smoking status, physical activity (Spanish version of the Yale Physical Activity Survey) [19] and health-care utilisation over the previous 12 months [18]. The Charlson index of comorbidity was obtained from medical records, patient recall and physical examination by an expert pulmonologist [20]. In addition, we obtained the number of visits to a hospital emergency department, primary care emergency department, primary care physician, primary care pulmonologist, and hospital-based pulmonologist over the previous 12 months using standardised epidemiological questionnaires.\nWhen the patient was clinically stable after discharge, the following measurements were obtained: forced spirometry and bronchodilator test, static lung volumes by whole-body plethysmography, diffusing capacity for carbon monoxide (DLco), arterial blood gases analysis while breathing room air at rest, six-minute walking distance (6MWD), body mass index (BMI) and fat-free mass index (FFMI). Patients also answered an epidemiological questionnaire, including a dyspnoea assessment using the mMRC scale, to determine the patient’s smoking status and current pharmacologic treatment information. Health-related quality of life (HRQL) was assessed using the validated Spanish version of St. George’s Respiratory Questionnaire (SGRQ) [21]. Anxiety and depression were evaluated with the Spanish version of the Hospital Anxiety and Depression Scale (HADS) [22, 23].\nDetailed information on the methods and sources of the questionnaires and the standardisation of the tests used in the PAC-COPD study has been previously published [13, 16].", "Information on re-hospitalisations through December 31, 2007 (causes and dates) was obtained for all patients from the Minimum Basic Dataset (CMBD), a national administrative database. According to the 9th revision of the International Classification of Diseases, an admission for COPD exacerbation was defined as any admission with codes 466, 480–486, 490–496, or 518.81 as the main diagnosis. Survival status until December 31, 2008 was obtained from direct interviews with all patients or their relatives. In cases of death, both hospital and primary care registries were checked to verify the exact date.", "The sample size was fixed by the primary scientific objectives of the PAC-COPD Study [16]. Before any analysis, we calculated whether the available number of patients (225 patients in the diagnosed group and 117 in the undiagnosed group) would allow for identification of clinically significant differences in outcome between groups (diagnosed vs. undiagnosed). Calculations using the GRANMO 5.2 software [24] showed that, accepting an alpha risk of 0.05 in a two-sided test, the statistical power was 84 to recognize as statistically significant the difference in proportion admitted (44% vs. 28%, respectively).\nDescriptive data are presented as the number and percentage, the mean and standard deviation (SD), or the median and 25th or 75th percentiles, as appropriate. We compared the sociodemographic and clinical variables and use of healthcare resources prior to first hospitalisation according to previous COPD diagnosis status, using Student’s t-test or Mann–Whitney U test for quantitative variables and a Chi squared or Fisher exact test for qualitative variables. We tested the effect of receiving a new COPD diagnosis on quitting smoking by including an interaction term between time (recruitment or stability visit) and diagnosis in a logistic regression model that included smoking and potential confounders (gender, age, the Charlson index of comorbidity, degree of dyspnoea, quality of life, FEV1, arterial oxygen tension (PaO2)).\nKaplan-Meier curves of time to COPD readmission were plotted according to COPD diagnosis status previous to the baseline admission, and the log-rank test was used to compare differences in readmission-free rates between diagnosed and undiagnosed COPD patients [25]. Because the proportionality assumption held, the association between previous COPD diagnosis and time to COPD readmission was assessed using Cox regression survival-time models [26]. Multivariate models included as covariates all potential confounders that were related to both the exposure and the outcome, or modified the estimates (>10% change in Hazard Ratio) for the remaining variables. Potential covariates included gender, age, marital status, smoking status, quality of life, degree of dyspnoea, BMI, FFMI, the Charlson index of comorbidity, FEV1, DLco, Residual Volume/Total Lung Capacity (RV/TLC), PaO2, arterial carbon dioxide tension (PaCO2), 6MWD, and anxiety and depression. The same approach was to be used to assess the effect of undiagnosis on mortality; however, there were very few deaths during follow-up and this multivariate analysis was not completed. Data analyses were conducted using Stata 10.1 (StataCorp, College Station, TX, USA).", " Characteristics of patients with undiagnosed COPD The entire PAC-COPD cohort included 342 patients (93% men) with a mean (SD) age of 67 (9) years and a mean (SD) post-bronchodilator FEV1 of 52% (16%) predicted during clinical stability (Table 1). A total of 117 patients (34%) fulfilled the criteria of “undiagnosed COPD”. Table 1 shows the comparisons of sociodemographic and clinical characteristics for these two groups. Undiagnosed patients were younger and more physically active, had fewer symptoms and better health status, and had milder airflow limitation and fewer comorbidities; in addition a higher proportion of these patients reported that they currently smoked (Table 1). A total of 33 (28%) patients with severe COPD and 5 (4%) patients with very severe COPD reported that they had never been diagnosed as having a respiratory disease prior to their first hospitalisation. The Charlson comorbidities are shown in Additional file 1: Table S2.Table 1\nBaseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation\nAll COPD patients n = 342*Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value\n†\nAge (years), m (SD)67 (9)66 (9)68 (8)0.03Males, n (%)318 (93)107 (92)211(94)0.43Married, n (%)274 (80)90 (77)184 (82)0.29Less than primary education, n (%)142 (42)46 (39)96 (43)0.55Low socioeconomic status (IV-V), n (%)259 (82)90 (81)169 (82)0.83Current workers, n (%)61 (18)30 (26)31 (14)<0.01Smoking status: current, n (%)150 (44)69 (59)81 (36)<0.01Pack-years, m (SD)69 (40)67 (38)70 (41)0.55Physical activity (hours/week), m (SD)33.5 (23.8)39.5 (23.4)30.4 (23.5)0.01≥2 comorbidities (Charlson index), n (%)172 (50)47 (40)125 (56)<0.01Severity of COPD (ERS/ATS), n (%)  Mild (FEV1 ≥ 80%)19 (5)14 (12)5 (2)<0.01  Moderate (FEV1 ≥ 50%, <80%)164 (48)65 (56)99 (44)  Severe (FEV1 ≥ 30%, <50%)132 (39)33 (28)99 (44)  Very severe (FEV1 < 30%)27 (8)5 (4)22 (10)FEV1 post-bronchodilator (% pred), m (SD)52 (16)59 (16)49 (15)<0.01DLCO (% pred.), m (SD)65 (21)67 (21)64 (21)0.23RV/TLC (%), m (SD)56 (10)52 (10)58 (9)<0.01PaO2 (mmHg), m (SD)74 (11)75 (10)74 (11)0.28PaCO2 (mmHg), m (SD)41.8 (5.3)42.2 (5.2)41.6 (5.4)0.376MWD (m), median (P25-P75)437 (390–500)440 (396–502)437 (373–498)0.25Dyspnoea score (mMRC, score 0–4), m (SD)2.40 (1.06)2.06 (1.09)2.59 (0.99)<0.01BMI (Kg/m2), m (SD)28.2 (4.7)28.8 (4.7)27.9 (4.6)0.08FFMI (Kg/m2), m (SD)19.7 (3.1)19.9 (3.0)19.5 (3.1)0.21SGRQ total score (0 no health impairment to 100 maximum impairment), m (SD)37 (18)29 (16)40 (18)<0.01SGRQ symptoms score, m (SD)48 (18)45 (16)50 (18)<0.01ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD.\n\nBaseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation\n\nERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD.\nUndiagnosed patients reported a significantly lower use of health care resources due to respiratory symptoms in the 12 months prior to their first hospitalisation for a COPD exacerbation. The number of unscheduled visits to the primary care surgery was similar in both groups (Table 2).Table 2\nSelf-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation\nAll COPD patients n = 342Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value\n†\nn (%)n (%)n (%)\nCOPD diagnosis and treatment\nCOPD diagnosis*157 (46)--157 (70)--COPD treatment*193 (56)--193 (86)--\nUse of health care resources due to respiratory symptoms in the 12 months prior to first COPD hospitalisation\nAt least one visit to hospital emergency department34 (10)3 (3)31 (14)<0.01At least one unscheduled visit to primary care64 (19)21 (18)43 (19)0.79≥3 visits to any physician104 (31)15 (13)89 (40)<0.01≥3 visits to primary care physician56 (16)6 (5)50 (22)<0.01≥3 visits to primary care-based pulmonologist18 (5)1 (1)17 (8)<0.01≥3 visits to hospital-based pulmonologist2 (1)0 (0)2 (1)0.55*See Additional file 1: Table S1 in for details.\n†Comparison between undiagnosed and diagnosed COPD.\n\nSelf-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation\n\n*See Additional file 1: Table S1 in for details.\n\n†Comparison between undiagnosed and diagnosed COPD.\nThe entire PAC-COPD cohort included 342 patients (93% men) with a mean (SD) age of 67 (9) years and a mean (SD) post-bronchodilator FEV1 of 52% (16%) predicted during clinical stability (Table 1). A total of 117 patients (34%) fulfilled the criteria of “undiagnosed COPD”. Table 1 shows the comparisons of sociodemographic and clinical characteristics for these two groups. Undiagnosed patients were younger and more physically active, had fewer symptoms and better health status, and had milder airflow limitation and fewer comorbidities; in addition a higher proportion of these patients reported that they currently smoked (Table 1). A total of 33 (28%) patients with severe COPD and 5 (4%) patients with very severe COPD reported that they had never been diagnosed as having a respiratory disease prior to their first hospitalisation. The Charlson comorbidities are shown in Additional file 1: Table S2.Table 1\nBaseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation\nAll COPD patients n = 342*Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value\n†\nAge (years), m (SD)67 (9)66 (9)68 (8)0.03Males, n (%)318 (93)107 (92)211(94)0.43Married, n (%)274 (80)90 (77)184 (82)0.29Less than primary education, n (%)142 (42)46 (39)96 (43)0.55Low socioeconomic status (IV-V), n (%)259 (82)90 (81)169 (82)0.83Current workers, n (%)61 (18)30 (26)31 (14)<0.01Smoking status: current, n (%)150 (44)69 (59)81 (36)<0.01Pack-years, m (SD)69 (40)67 (38)70 (41)0.55Physical activity (hours/week), m (SD)33.5 (23.8)39.5 (23.4)30.4 (23.5)0.01≥2 comorbidities (Charlson index), n (%)172 (50)47 (40)125 (56)<0.01Severity of COPD (ERS/ATS), n (%)  Mild (FEV1 ≥ 80%)19 (5)14 (12)5 (2)<0.01  Moderate (FEV1 ≥ 50%, <80%)164 (48)65 (56)99 (44)  Severe (FEV1 ≥ 30%, <50%)132 (39)33 (28)99 (44)  Very severe (FEV1 < 30%)27 (8)5 (4)22 (10)FEV1 post-bronchodilator (% pred), m (SD)52 (16)59 (16)49 (15)<0.01DLCO (% pred.), m (SD)65 (21)67 (21)64 (21)0.23RV/TLC (%), m (SD)56 (10)52 (10)58 (9)<0.01PaO2 (mmHg), m (SD)74 (11)75 (10)74 (11)0.28PaCO2 (mmHg), m (SD)41.8 (5.3)42.2 (5.2)41.6 (5.4)0.376MWD (m), median (P25-P75)437 (390–500)440 (396–502)437 (373–498)0.25Dyspnoea score (mMRC, score 0–4), m (SD)2.40 (1.06)2.06 (1.09)2.59 (0.99)<0.01BMI (Kg/m2), m (SD)28.2 (4.7)28.8 (4.7)27.9 (4.6)0.08FFMI (Kg/m2), m (SD)19.7 (3.1)19.9 (3.0)19.5 (3.1)0.21SGRQ total score (0 no health impairment to 100 maximum impairment), m (SD)37 (18)29 (16)40 (18)<0.01SGRQ symptoms score, m (SD)48 (18)45 (16)50 (18)<0.01ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD.\n\nBaseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation\n\nERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD.\nUndiagnosed patients reported a significantly lower use of health care resources due to respiratory symptoms in the 12 months prior to their first hospitalisation for a COPD exacerbation. The number of unscheduled visits to the primary care surgery was similar in both groups (Table 2).Table 2\nSelf-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation\nAll COPD patients n = 342Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value\n†\nn (%)n (%)n (%)\nCOPD diagnosis and treatment\nCOPD diagnosis*157 (46)--157 (70)--COPD treatment*193 (56)--193 (86)--\nUse of health care resources due to respiratory symptoms in the 12 months prior to first COPD hospitalisation\nAt least one visit to hospital emergency department34 (10)3 (3)31 (14)<0.01At least one unscheduled visit to primary care64 (19)21 (18)43 (19)0.79≥3 visits to any physician104 (31)15 (13)89 (40)<0.01≥3 visits to primary care physician56 (16)6 (5)50 (22)<0.01≥3 visits to primary care-based pulmonologist18 (5)1 (1)17 (8)<0.01≥3 visits to hospital-based pulmonologist2 (1)0 (0)2 (1)0.55*See Additional file 1: Table S1 in for details.\n†Comparison between undiagnosed and diagnosed COPD.\n\nSelf-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation\n\n*See Additional file 1: Table S1 in for details.\n\n†Comparison between undiagnosed and diagnosed COPD.\n Short-term effects associated with a COPD diagnosis Figure 2 shows the short-term effects associated with a COPD diagnosis on smoking cessation. The proportion of current smokers after hospital discharge decreased significantly more in newly diagnosed COPD patients than in those with a previous COPD diagnosis (16% vs. 5%). Despite significantly different baseline values at hospitalisation (Figure 2), the interaction between diagnosis group and time was significant (p = 0.019).Figure 2\nShort-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text.\n\nShort-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text.\nFigure 2 shows the short-term effects associated with a COPD diagnosis on smoking cessation. The proportion of current smokers after hospital discharge decreased significantly more in newly diagnosed COPD patients than in those with a previous COPD diagnosis (16% vs. 5%). Despite significantly different baseline values at hospitalisation (Figure 2), the interaction between diagnosis group and time was significant (p = 0.019).Figure 2\nShort-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text.\n\nShort-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text.\n Long-term prognosis of newly diagnosed COPD patients During a mean (SD) of 1.87 (0.98) years of follow-up, 44% of previously diagnosed patients and 28% of newly diagnosed required re-hospitalisation. This corresponds to 0.25 and 0.14 annual hospitalisation rates (p < 0.01), respectively (Figure 3, panel A). However, this risk of re-hospitalisation was similar in both groups after adjusting for other covariates in a Cox regression multivariate model (Table 3). The proportion of patients who required admission was higher in previously diagnosed patients when compared with newly diagnosed patients for the mild, moderate and severe spirometric COPD groups (20% vs. 7%, 36% vs. 23% and 49% vs. 36%, respectively). The proportion of patients within the very severe COPD group who required admission was 63% in previously diagnosed patients and 100% for newly diagnosed patients; however, the very small sample size prevented any statistical comparisons.\nDuring a mean (SD) of 3.28 (0.85) years, overall survival rates (Figure 3, panel B) of previously diagnosed and newly diagnosed patients were similar (87% and 84%, respectively; p = 0.51) at all severity stages (80% and 93% in mild, 92% and 85% in moderate, 87% and 81% in severe, and 64% and 60% in very severe patients).Figure 3\nKaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis.\n\n\nKaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis.\n\n\nAssociation between previous COPD diagnosis and subsequent COPD hospitalisations\n\nHR: hazard ratio; CI: confidence interval; mMRC: modified Medical Research Council; BMI: body mass index; RV/TLC: Residual Volume/Total Lung Capacity; FEV1: forced expiratory volume in 1 second.\n*Final models were adjusted to account for negative confounding, i.e., that the apparently protective effect of undiagnosed COPD is due to a lower clinical severity of the disease. Other potential confounders (see text) were tested but not included because they were not independently related to both the exposure and the outcome, nor did these confounders modify (>10% change in Hazard Ratio) the estimates for the remaining variables.\nDuring a mean (SD) of 1.87 (0.98) years of follow-up, 44% of previously diagnosed patients and 28% of newly diagnosed required re-hospitalisation. This corresponds to 0.25 and 0.14 annual hospitalisation rates (p < 0.01), respectively (Figure 3, panel A). However, this risk of re-hospitalisation was similar in both groups after adjusting for other covariates in a Cox regression multivariate model (Table 3). The proportion of patients who required admission was higher in previously diagnosed patients when compared with newly diagnosed patients for the mild, moderate and severe spirometric COPD groups (20% vs. 7%, 36% vs. 23% and 49% vs. 36%, respectively). The proportion of patients within the very severe COPD group who required admission was 63% in previously diagnosed patients and 100% for newly diagnosed patients; however, the very small sample size prevented any statistical comparisons.\nDuring a mean (SD) of 3.28 (0.85) years, overall survival rates (Figure 3, panel B) of previously diagnosed and newly diagnosed patients were similar (87% and 84%, respectively; p = 0.51) at all severity stages (80% and 93% in mild, 92% and 85% in moderate, 87% and 81% in severe, and 64% and 60% in very severe patients).Figure 3\nKaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis.\n\n\nKaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis.\n\n\nAssociation between previous COPD diagnosis and subsequent COPD hospitalisations\n\nHR: hazard ratio; CI: confidence interval; mMRC: modified Medical Research Council; BMI: body mass index; RV/TLC: Residual Volume/Total Lung Capacity; FEV1: forced expiratory volume in 1 second.\n*Final models were adjusted to account for negative confounding, i.e., that the apparently protective effect of undiagnosed COPD is due to a lower clinical severity of the disease. Other potential confounders (see text) were tested but not included because they were not independently related to both the exposure and the outcome, nor did these confounders modify (>10% change in Hazard Ratio) the estimates for the remaining variables.", "The entire PAC-COPD cohort included 342 patients (93% men) with a mean (SD) age of 67 (9) years and a mean (SD) post-bronchodilator FEV1 of 52% (16%) predicted during clinical stability (Table 1). A total of 117 patients (34%) fulfilled the criteria of “undiagnosed COPD”. Table 1 shows the comparisons of sociodemographic and clinical characteristics for these two groups. Undiagnosed patients were younger and more physically active, had fewer symptoms and better health status, and had milder airflow limitation and fewer comorbidities; in addition a higher proportion of these patients reported that they currently smoked (Table 1). A total of 33 (28%) patients with severe COPD and 5 (4%) patients with very severe COPD reported that they had never been diagnosed as having a respiratory disease prior to their first hospitalisation. The Charlson comorbidities are shown in Additional file 1: Table S2.Table 1\nBaseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation\nAll COPD patients n = 342*Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value\n†\nAge (years), m (SD)67 (9)66 (9)68 (8)0.03Males, n (%)318 (93)107 (92)211(94)0.43Married, n (%)274 (80)90 (77)184 (82)0.29Less than primary education, n (%)142 (42)46 (39)96 (43)0.55Low socioeconomic status (IV-V), n (%)259 (82)90 (81)169 (82)0.83Current workers, n (%)61 (18)30 (26)31 (14)<0.01Smoking status: current, n (%)150 (44)69 (59)81 (36)<0.01Pack-years, m (SD)69 (40)67 (38)70 (41)0.55Physical activity (hours/week), m (SD)33.5 (23.8)39.5 (23.4)30.4 (23.5)0.01≥2 comorbidities (Charlson index), n (%)172 (50)47 (40)125 (56)<0.01Severity of COPD (ERS/ATS), n (%)  Mild (FEV1 ≥ 80%)19 (5)14 (12)5 (2)<0.01  Moderate (FEV1 ≥ 50%, <80%)164 (48)65 (56)99 (44)  Severe (FEV1 ≥ 30%, <50%)132 (39)33 (28)99 (44)  Very severe (FEV1 < 30%)27 (8)5 (4)22 (10)FEV1 post-bronchodilator (% pred), m (SD)52 (16)59 (16)49 (15)<0.01DLCO (% pred.), m (SD)65 (21)67 (21)64 (21)0.23RV/TLC (%), m (SD)56 (10)52 (10)58 (9)<0.01PaO2 (mmHg), m (SD)74 (11)75 (10)74 (11)0.28PaCO2 (mmHg), m (SD)41.8 (5.3)42.2 (5.2)41.6 (5.4)0.376MWD (m), median (P25-P75)437 (390–500)440 (396–502)437 (373–498)0.25Dyspnoea score (mMRC, score 0–4), m (SD)2.40 (1.06)2.06 (1.09)2.59 (0.99)<0.01BMI (Kg/m2), m (SD)28.2 (4.7)28.8 (4.7)27.9 (4.6)0.08FFMI (Kg/m2), m (SD)19.7 (3.1)19.9 (3.0)19.5 (3.1)0.21SGRQ total score (0 no health impairment to 100 maximum impairment), m (SD)37 (18)29 (16)40 (18)<0.01SGRQ symptoms score, m (SD)48 (18)45 (16)50 (18)<0.01ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD.\n\nBaseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation\n\nERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD.\nUndiagnosed patients reported a significantly lower use of health care resources due to respiratory symptoms in the 12 months prior to their first hospitalisation for a COPD exacerbation. The number of unscheduled visits to the primary care surgery was similar in both groups (Table 2).Table 2\nSelf-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation\nAll COPD patients n = 342Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value\n†\nn (%)n (%)n (%)\nCOPD diagnosis and treatment\nCOPD diagnosis*157 (46)--157 (70)--COPD treatment*193 (56)--193 (86)--\nUse of health care resources due to respiratory symptoms in the 12 months prior to first COPD hospitalisation\nAt least one visit to hospital emergency department34 (10)3 (3)31 (14)<0.01At least one unscheduled visit to primary care64 (19)21 (18)43 (19)0.79≥3 visits to any physician104 (31)15 (13)89 (40)<0.01≥3 visits to primary care physician56 (16)6 (5)50 (22)<0.01≥3 visits to primary care-based pulmonologist18 (5)1 (1)17 (8)<0.01≥3 visits to hospital-based pulmonologist2 (1)0 (0)2 (1)0.55*See Additional file 1: Table S1 in for details.\n†Comparison between undiagnosed and diagnosed COPD.\n\nSelf-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation\n\n*See Additional file 1: Table S1 in for details.\n\n†Comparison between undiagnosed and diagnosed COPD.", "Figure 2 shows the short-term effects associated with a COPD diagnosis on smoking cessation. The proportion of current smokers after hospital discharge decreased significantly more in newly diagnosed COPD patients than in those with a previous COPD diagnosis (16% vs. 5%). Despite significantly different baseline values at hospitalisation (Figure 2), the interaction between diagnosis group and time was significant (p = 0.019).Figure 2\nShort-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text.\n\nShort-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text.", "During a mean (SD) of 1.87 (0.98) years of follow-up, 44% of previously diagnosed patients and 28% of newly diagnosed required re-hospitalisation. This corresponds to 0.25 and 0.14 annual hospitalisation rates (p < 0.01), respectively (Figure 3, panel A). However, this risk of re-hospitalisation was similar in both groups after adjusting for other covariates in a Cox regression multivariate model (Table 3). The proportion of patients who required admission was higher in previously diagnosed patients when compared with newly diagnosed patients for the mild, moderate and severe spirometric COPD groups (20% vs. 7%, 36% vs. 23% and 49% vs. 36%, respectively). The proportion of patients within the very severe COPD group who required admission was 63% in previously diagnosed patients and 100% for newly diagnosed patients; however, the very small sample size prevented any statistical comparisons.\nDuring a mean (SD) of 3.28 (0.85) years, overall survival rates (Figure 3, panel B) of previously diagnosed and newly diagnosed patients were similar (87% and 84%, respectively; p = 0.51) at all severity stages (80% and 93% in mild, 92% and 85% in moderate, 87% and 81% in severe, and 64% and 60% in very severe patients).Figure 3\nKaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis.\n\n\nKaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis.\n\n\nAssociation between previous COPD diagnosis and subsequent COPD hospitalisations\n\nHR: hazard ratio; CI: confidence interval; mMRC: modified Medical Research Council; BMI: body mass index; RV/TLC: Residual Volume/Total Lung Capacity; FEV1: forced expiratory volume in 1 second.\n*Final models were adjusted to account for negative confounding, i.e., that the apparently protective effect of undiagnosed COPD is due to a lower clinical severity of the disease. Other potential confounders (see text) were tested but not included because they were not independently related to both the exposure and the outcome, nor did these confounders modify (>10% change in Hazard Ratio) the estimates for the remaining variables.", "This study has three main findings: (1) undiagnosed patients (34% of all patients hospitalised for the first time because of an exacerbation of COPD) have milder airflow limitation, fewer symptoms, fewer comorbidities, and better HRQL when compared with patients with a previous diagnosis of COPD; (2) establishing a COPD diagnosis is associated with a positive short-term effect on smoking cessation; and (3) undiagnosed patients have a lower risk of re-hospitalisations but a similar mortality after hospitalisation when adjusted for severity of illness and covariates.\nA high prevalence of COPD under-diagnosis has been frequently reported, both in population based-studies and in primary care settings [3–9]. In contrast, there is little information available regarding COPD under-diagnosis in hospitalised patients. Our study confirms that undiagnosed COPD is not confined to the general population or primary care. We determined that one-third of patients admitted for the first time for a COPD exacerbation were undiagnosed. This finding is in accordance with a previous Italian study of patients attending the emergency room because of a COPD exacerbationand a retrospective study of patients admitted in a UK hospital for the first time for a COPD exacerbation [11, 12]. Importantly, the hospital-based design and the thorough characterisation of the patients in our study prevented the inclusion of healthy subjects with age-related airflow limitation.\nThe substantial differences observed between diagnosed and undiagnosed patients deserve special consideration. In our cohort, undiagnosed patients were younger, had less severe airflow limitation and a better HRQL. These findings confirm several previous population-based studies with similar observations [8, 9, 27]. In contrast, Zoia et al. did not find differences in age and severity based on previous COPD diagnosis in the hospital setting [11]; however, their diagnosed patients had more comorbidities when compared with undiagnosed patients [11]. It is possible that the lack of diagnosis (hence, treatment) may have resulted in an “earlier” first hospital admission for a COPD exacerbation, when the patient still had mild-to-moderate COPD [15]. In fact, our findings indicated that undiagnosed COPD may be related to a lack of primary care interventions prior to the first admission (Table 3). Unfortunately, specific information about these interventions, such as smoking cessation advice, was not recorded in the PAC-COPD study.\nSimilar to the report by Zoia et al., we identified a higher proportion of current smokers in the undiagnosed group when compared with the diagnosed group [11]. We also observed that the establishment of a COPD diagnosis was associated with a significant reduction in current smokers (Figure 2). This finding is similar to previous reports that showed that smokers with airflow limitation had significantly higher smoking cessation rates than those with normal spirometry [28, 29]. These data identify a potentially important window of opportunity for therapeutic intervention.\nThe re-hospitalisation rate was lower in newly diagnosed COPD patients following their first admission (Figure 3, panel A); however, this decreased risk was not significant after multivariable adjustments (Table 3), indicating that the protective effect of undiagnosed COPD was likely due to a lower severity of the disease. This interpretation is challenged by the lack of differences in mortality during follow-up (Figure 3, panel B), and a better prognosis is expected in undiagnosed patients with a milder disease. Thus, this observation requires further research. One potential explanation is that cardiovascular disease might play a more relevant role in undiagnosed patients because the majority were active smokers and had milder COPD. This idea is supported by previous studies that consistently showed the causes of death in patients with mild COPD were predominantly cancer and cardiovascular disease, while deaths due to respiratory disease became more common with increasing COPD severity [30]. In our study, there were very few deaths during follow-up. Therefore, the sample size was too small to analyse differences in cause of death between groups.\nClinical features and outcomes of newly diagnosed COPD patients highlighted the clinical relevance of pursuing a correct diagnosis in all hospitalised patients and applying the appropriate corresponding health measures. A recent report by Suissa et al.\n[31] identified two strategic targets for the management of COPD patients during their first hospitalisation. First, the second hospitalisation should be delayed as much as possible because subsequent exacerbations increase exponentially in frequency and intensity. Second, improved treatment is needed to reduce early mortality [31].\nSome limitations of our study should be addressed. Firstly, self-reported information about COPD diagnosis rather than objective medical records could lead to misclassification. Secondly, the very small number of undiagnosed patients with very severe COPD has limited our analysis with regard to this specific subgroup. Finally, our results regarding the extent of COPD under-diagnosis and the clinical profile of these patients may not be able to be generalised to other health care systems; however, the effect of the lack of COPD diagnosis on subsequent hospitalisations and mortality are likely to be generally applicable.\nThe strengths of our study included the large cohort of COPD patients, and their homogeneity with respect to incipient COPD hospitalisations, the wide spectrum of disease severity, and length of follow up. Furthermore, the comprehensive multidimensional assessment used in our study allowed adjustments for potential confounders.", "This study showed that approximately one-third of patients hospitalised for the first time because of a COPD exacerbation had not been previously diagnosed (hence, treated). In addition, patients generally exhibited less severe disease, and their risk of re-hospitalisation was lower when compared with patients who were hospitalised with an established COPD diagnosis. First admission due to COPD exacerbation provides a window of opportunity for early treatment, in particular for smoking cessation intervention.", "The “Phenotype and Course of COPD (PAC-COPD)” Study Group: Centre for Research in Environmental Epidemiology (CREAL), Barcelona: Josep M Antó (Principal Investigator), Judith Garcia-Aymerich (project coordinator), Marta Benet, Jordi de Batlle, Ignasi Serra, David Donaire-Gonzalez, Stefano Guerra; Hospital del Mar-IMIM, Barcelona: Joaquim Gea (centre coordinator), Eva Balcells, Àngel Gayete, Mauricio Orozco-Levi, Ivan Vollmer; Hospital Clínic-Institut D’Investigacions Biomèdiques August Pi i Sunyer (IDIBAPS), Barcelona: Joan Albert Barberà (centre coordinator), Federico P Gómez, Carles Paré, Josep Roca, Robert Rodriguez-Roisin, Xavier Freixa, Diego A Rodriguez, Elena Gimeno-Santos, Karina Portillo; Hospital General Universitari Vall D’Hebron, Barcelona: Jaume Ferrer (centre coordinator), Jordi Andreu, Esther Pallissa, Esther Rodríguez; Hospital de la Santa Creu i Sant Pau, Barcelona: Pere Casan (centre coordinator), Rosa Güell, Ana Giménez; Hospital Universitari Germans Trias i Pujol, Badalona: Eduard Monsó (centre coordinator), Alicia Marín, Josep Morera; Hospital Universitari de Bellvitge, L’Hospitalet de Llobregat: Eva Farrero (centre coordinator), Joan Escarrabill; Hospital de Sabadell, Corporació Parc Taulí, Institut Universitari Parc Taulí (Universitat Autònoma de Barcelona), Sabadell: Antoni Ferrer (centre coordinator); Hospital Universitari Son Dureta, Palma de Mallorca: Jaume Sauleda (centre coordinator), Àlvar G Agustí, Bernat Togores; Hospital de Cruces, Barakaldo: Juan Bautista Gáldiz (centre coordinator), Lorena López; Hospital General Universitari, València: José Belda.", " Additional file 1: Table S1: Characteristics of respiratory diagnoses and pharmacological treatments prior to the first admission for COPD exacerbation in diagnosed COPD patients (n = 225). Table S2. Charlson comorbidities in 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation. Comparison between undiagnosed and previously diagnosed COPD patients. (DOCX 33 KB)\nAdditional file 1: Table S1: Characteristics of respiratory diagnoses and pharmacological treatments prior to the first admission for COPD exacerbation in diagnosed COPD patients (n = 225). Table S2. Charlson comorbidities in 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation. Comparison between undiagnosed and previously diagnosed COPD patients. (DOCX 33 KB)", "Additional file 1: Table S1: Characteristics of respiratory diagnoses and pharmacological treatments prior to the first admission for COPD exacerbation in diagnosed COPD patients (n = 225). Table S2. Charlson comorbidities in 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation. Comparison between undiagnosed and previously diagnosed COPD patients. (DOCX 33 KB)" ]
[ null, "methods", null, null, null, null, null, "results", null, null, null, "discussion", "conclusions", null, "supplementary-material", null ]
[ "Pulmonary disease", "Chronic obstructive", "Hospitalisation", "Cohort studies", "Epidemiology", "Health services" ]
Background: Chronic obstructive pulmonary disease (COPD) represents a major public health problem, and its mortality and disability burden is expected to rise in the coming decades [1, 2]. Nonetheless, the majority of studies from general population and primary care have detected that a high proportion of individuals fulfilling COPD diagnosis criteria remain undiagnosed [3–9]. Interestingly, it has been reported that a high proportion of undiagnosed patients already suffer from respiratory symptoms [7, 8]. A recent population-based study demonstrated that even newly diagnosed COPD patients with mild airflow limitation exhibit a significant impairment in their health-related quality of life and certain activities of daily living, when compared with individuals without COPD [9]. Therefore, both researchers and practitioners advocate for early detection strategies aimed at reducing COPD burden through proven health-care interventions [10]. There is a lack of specific information regarding COPD under-diagnosis in patients requiring hospitalisation because of an exacerbation of the disease. Two previous studies in a hospital setting highlighted that one-third of patients had never been diagnosed or treated. One of these studies involved patients who went to the emergency room for COPD exacerbation, and the second study was a small retrospective study of patients admitted to the hospital for the first time for a COPD exacerbation [11, 12]. The current study describes the characteristics of COPD patients who were undiagnosed at the time of their first hospital admission because of a COPD exacerbation and their short- and long-term outcomes. Methods: Study design and ethics This study was a longitudinal observational analysis conducted within the Phenotype and Course of COPD Project (PAC-COPD) [13]. Briefly, the PAC-COPD study included all patients admitted to nine teaching hospitals in Spain between January 2004 and March 2006 for a first-time COPD exacerbation. The study design is diagrammed in Figure 1 and included the following features: (i) a recruitment visit (at first hospitalisation due to COPD exacerbation) to obtain sociodemographic variables, smoking status, information about diagnosis and treatment previous to their first hospitalisation, and use of health services during the 12 months preceding their first hospitalisation; (ii) a visit under stable conditions (at least three months after discharge) to collect clinical and functional variables and smoking status; and (iii) a prospective 4-year active follow-up to obtain information about re-hospitalisations and mortality.Figure 1 Design and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality). Design and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality). During hospitalisation and at discharge, patients received standard information about their disease, smoking cessation advice, as well as pharmacological and non-pharmacological treatment from the attending physician according to local guidelines [14]. The study was approved by the Ethics Committees of all participating hospitals and all patients gave their written informed consent. All patients were actively followed until death or December 31, 2008. Additional details about the recruitment and follow-up processes have been previously published [13, 15, 16]. This study was a longitudinal observational analysis conducted within the Phenotype and Course of COPD Project (PAC-COPD) [13]. Briefly, the PAC-COPD study included all patients admitted to nine teaching hospitals in Spain between January 2004 and March 2006 for a first-time COPD exacerbation. The study design is diagrammed in Figure 1 and included the following features: (i) a recruitment visit (at first hospitalisation due to COPD exacerbation) to obtain sociodemographic variables, smoking status, information about diagnosis and treatment previous to their first hospitalisation, and use of health services during the 12 months preceding their first hospitalisation; (ii) a visit under stable conditions (at least three months after discharge) to collect clinical and functional variables and smoking status; and (iii) a prospective 4-year active follow-up to obtain information about re-hospitalisations and mortality.Figure 1 Design and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality). Design and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality). During hospitalisation and at discharge, patients received standard information about their disease, smoking cessation advice, as well as pharmacological and non-pharmacological treatment from the attending physician according to local guidelines [14]. The study was approved by the Ethics Committees of all participating hospitals and all patients gave their written informed consent. All patients were actively followed until death or December 31, 2008. Additional details about the recruitment and follow-up processes have been previously published [13, 15, 16]. Study population A diagnosis of COPD was confirmed by spirometry at least three months after discharge when the patient had reached clinical stability. COPD was identified as a post-bronchodilator forced expiratory volume in one second to forced vital capacity ratio (FEV1/FVC) of less than 0.7 [17]. At recruitment (first hospitalisation due to COPD exacerbation), patients were asked about their diagnosis with “any respiratory disease” using the following questions: “Are you suffering from any respiratory disease?”, “What is the name of your respiratory disease?”, “When were you diagnosed with this respiratory disease?”, and “Who diagnosed your respiratory disease?”. These questions were previously designed and pilot-tested in COPD patients from the same geographical area [18]. Patients reported any pharmacological treatments they were taking regularly (previous to hospitalisation) for any chronic disease. We defined “undiagnosed COPD” as the absence of any self-reported diagnosis of respiratory disease. In addition, to reduce a potential misclassification due to poor recall, we assumed that patients regularly using any pharmacological respiratory treatment had been previously diagnosed. Once stable conditions were reached and the diagnosis of COPD was confirmed, patients were identified as “newly diagnosed” COPD patients. Details on the exact wording of patients when describing their respiratory disease, time from diagnosis, diagnosing doctor, and respiratory treatment are reported in Additional file 1: Table S1. For our analysis, disease severity was classified according to FEV1 levels as mild, moderate, severe and very severe following the European Respiratory Society and the American Thoracic Society (ERS/ATS) criteria [17]. A diagnosis of COPD was confirmed by spirometry at least three months after discharge when the patient had reached clinical stability. COPD was identified as a post-bronchodilator forced expiratory volume in one second to forced vital capacity ratio (FEV1/FVC) of less than 0.7 [17]. At recruitment (first hospitalisation due to COPD exacerbation), patients were asked about their diagnosis with “any respiratory disease” using the following questions: “Are you suffering from any respiratory disease?”, “What is the name of your respiratory disease?”, “When were you diagnosed with this respiratory disease?”, and “Who diagnosed your respiratory disease?”. These questions were previously designed and pilot-tested in COPD patients from the same geographical area [18]. Patients reported any pharmacological treatments they were taking regularly (previous to hospitalisation) for any chronic disease. We defined “undiagnosed COPD” as the absence of any self-reported diagnosis of respiratory disease. In addition, to reduce a potential misclassification due to poor recall, we assumed that patients regularly using any pharmacological respiratory treatment had been previously diagnosed. Once stable conditions were reached and the diagnosis of COPD was confirmed, patients were identified as “newly diagnosed” COPD patients. Details on the exact wording of patients when describing their respiratory disease, time from diagnosis, diagnosing doctor, and respiratory treatment are reported in Additional file 1: Table S1. For our analysis, disease severity was classified according to FEV1 levels as mild, moderate, severe and very severe following the European Respiratory Society and the American Thoracic Society (ERS/ATS) criteria [17]. Measurements At recruitment, standardised epidemiological questionnaires were used to collect information on sociodemographic characteristics, smoking status, physical activity (Spanish version of the Yale Physical Activity Survey) [19] and health-care utilisation over the previous 12 months [18]. The Charlson index of comorbidity was obtained from medical records, patient recall and physical examination by an expert pulmonologist [20]. In addition, we obtained the number of visits to a hospital emergency department, primary care emergency department, primary care physician, primary care pulmonologist, and hospital-based pulmonologist over the previous 12 months using standardised epidemiological questionnaires. When the patient was clinically stable after discharge, the following measurements were obtained: forced spirometry and bronchodilator test, static lung volumes by whole-body plethysmography, diffusing capacity for carbon monoxide (DLco), arterial blood gases analysis while breathing room air at rest, six-minute walking distance (6MWD), body mass index (BMI) and fat-free mass index (FFMI). Patients also answered an epidemiological questionnaire, including a dyspnoea assessment using the mMRC scale, to determine the patient’s smoking status and current pharmacologic treatment information. Health-related quality of life (HRQL) was assessed using the validated Spanish version of St. George’s Respiratory Questionnaire (SGRQ) [21]. Anxiety and depression were evaluated with the Spanish version of the Hospital Anxiety and Depression Scale (HADS) [22, 23]. Detailed information on the methods and sources of the questionnaires and the standardisation of the tests used in the PAC-COPD study has been previously published [13, 16]. At recruitment, standardised epidemiological questionnaires were used to collect information on sociodemographic characteristics, smoking status, physical activity (Spanish version of the Yale Physical Activity Survey) [19] and health-care utilisation over the previous 12 months [18]. The Charlson index of comorbidity was obtained from medical records, patient recall and physical examination by an expert pulmonologist [20]. In addition, we obtained the number of visits to a hospital emergency department, primary care emergency department, primary care physician, primary care pulmonologist, and hospital-based pulmonologist over the previous 12 months using standardised epidemiological questionnaires. When the patient was clinically stable after discharge, the following measurements were obtained: forced spirometry and bronchodilator test, static lung volumes by whole-body plethysmography, diffusing capacity for carbon monoxide (DLco), arterial blood gases analysis while breathing room air at rest, six-minute walking distance (6MWD), body mass index (BMI) and fat-free mass index (FFMI). Patients also answered an epidemiological questionnaire, including a dyspnoea assessment using the mMRC scale, to determine the patient’s smoking status and current pharmacologic treatment information. Health-related quality of life (HRQL) was assessed using the validated Spanish version of St. George’s Respiratory Questionnaire (SGRQ) [21]. Anxiety and depression were evaluated with the Spanish version of the Hospital Anxiety and Depression Scale (HADS) [22, 23]. Detailed information on the methods and sources of the questionnaires and the standardisation of the tests used in the PAC-COPD study has been previously published [13, 16]. Re-hospitalisations and mortality during follow-up Information on re-hospitalisations through December 31, 2007 (causes and dates) was obtained for all patients from the Minimum Basic Dataset (CMBD), a national administrative database. According to the 9th revision of the International Classification of Diseases, an admission for COPD exacerbation was defined as any admission with codes 466, 480–486, 490–496, or 518.81 as the main diagnosis. Survival status until December 31, 2008 was obtained from direct interviews with all patients or their relatives. In cases of death, both hospital and primary care registries were checked to verify the exact date. Information on re-hospitalisations through December 31, 2007 (causes and dates) was obtained for all patients from the Minimum Basic Dataset (CMBD), a national administrative database. According to the 9th revision of the International Classification of Diseases, an admission for COPD exacerbation was defined as any admission with codes 466, 480–486, 490–496, or 518.81 as the main diagnosis. Survival status until December 31, 2008 was obtained from direct interviews with all patients or their relatives. In cases of death, both hospital and primary care registries were checked to verify the exact date. Statistical analysis The sample size was fixed by the primary scientific objectives of the PAC-COPD Study [16]. Before any analysis, we calculated whether the available number of patients (225 patients in the diagnosed group and 117 in the undiagnosed group) would allow for identification of clinically significant differences in outcome between groups (diagnosed vs. undiagnosed). Calculations using the GRANMO 5.2 software [24] showed that, accepting an alpha risk of 0.05 in a two-sided test, the statistical power was 84 to recognize as statistically significant the difference in proportion admitted (44% vs. 28%, respectively). Descriptive data are presented as the number and percentage, the mean and standard deviation (SD), or the median and 25th or 75th percentiles, as appropriate. We compared the sociodemographic and clinical variables and use of healthcare resources prior to first hospitalisation according to previous COPD diagnosis status, using Student’s t-test or Mann–Whitney U test for quantitative variables and a Chi squared or Fisher exact test for qualitative variables. We tested the effect of receiving a new COPD diagnosis on quitting smoking by including an interaction term between time (recruitment or stability visit) and diagnosis in a logistic regression model that included smoking and potential confounders (gender, age, the Charlson index of comorbidity, degree of dyspnoea, quality of life, FEV1, arterial oxygen tension (PaO2)). Kaplan-Meier curves of time to COPD readmission were plotted according to COPD diagnosis status previous to the baseline admission, and the log-rank test was used to compare differences in readmission-free rates between diagnosed and undiagnosed COPD patients [25]. Because the proportionality assumption held, the association between previous COPD diagnosis and time to COPD readmission was assessed using Cox regression survival-time models [26]. Multivariate models included as covariates all potential confounders that were related to both the exposure and the outcome, or modified the estimates (>10% change in Hazard Ratio) for the remaining variables. Potential covariates included gender, age, marital status, smoking status, quality of life, degree of dyspnoea, BMI, FFMI, the Charlson index of comorbidity, FEV1, DLco, Residual Volume/Total Lung Capacity (RV/TLC), PaO2, arterial carbon dioxide tension (PaCO2), 6MWD, and anxiety and depression. The same approach was to be used to assess the effect of undiagnosis on mortality; however, there were very few deaths during follow-up and this multivariate analysis was not completed. Data analyses were conducted using Stata 10.1 (StataCorp, College Station, TX, USA). The sample size was fixed by the primary scientific objectives of the PAC-COPD Study [16]. Before any analysis, we calculated whether the available number of patients (225 patients in the diagnosed group and 117 in the undiagnosed group) would allow for identification of clinically significant differences in outcome between groups (diagnosed vs. undiagnosed). Calculations using the GRANMO 5.2 software [24] showed that, accepting an alpha risk of 0.05 in a two-sided test, the statistical power was 84 to recognize as statistically significant the difference in proportion admitted (44% vs. 28%, respectively). Descriptive data are presented as the number and percentage, the mean and standard deviation (SD), or the median and 25th or 75th percentiles, as appropriate. We compared the sociodemographic and clinical variables and use of healthcare resources prior to first hospitalisation according to previous COPD diagnosis status, using Student’s t-test or Mann–Whitney U test for quantitative variables and a Chi squared or Fisher exact test for qualitative variables. We tested the effect of receiving a new COPD diagnosis on quitting smoking by including an interaction term between time (recruitment or stability visit) and diagnosis in a logistic regression model that included smoking and potential confounders (gender, age, the Charlson index of comorbidity, degree of dyspnoea, quality of life, FEV1, arterial oxygen tension (PaO2)). Kaplan-Meier curves of time to COPD readmission were plotted according to COPD diagnosis status previous to the baseline admission, and the log-rank test was used to compare differences in readmission-free rates between diagnosed and undiagnosed COPD patients [25]. Because the proportionality assumption held, the association between previous COPD diagnosis and time to COPD readmission was assessed using Cox regression survival-time models [26]. Multivariate models included as covariates all potential confounders that were related to both the exposure and the outcome, or modified the estimates (>10% change in Hazard Ratio) for the remaining variables. Potential covariates included gender, age, marital status, smoking status, quality of life, degree of dyspnoea, BMI, FFMI, the Charlson index of comorbidity, FEV1, DLco, Residual Volume/Total Lung Capacity (RV/TLC), PaO2, arterial carbon dioxide tension (PaCO2), 6MWD, and anxiety and depression. The same approach was to be used to assess the effect of undiagnosis on mortality; however, there were very few deaths during follow-up and this multivariate analysis was not completed. Data analyses were conducted using Stata 10.1 (StataCorp, College Station, TX, USA). Study design and ethics: This study was a longitudinal observational analysis conducted within the Phenotype and Course of COPD Project (PAC-COPD) [13]. Briefly, the PAC-COPD study included all patients admitted to nine teaching hospitals in Spain between January 2004 and March 2006 for a first-time COPD exacerbation. The study design is diagrammed in Figure 1 and included the following features: (i) a recruitment visit (at first hospitalisation due to COPD exacerbation) to obtain sociodemographic variables, smoking status, information about diagnosis and treatment previous to their first hospitalisation, and use of health services during the 12 months preceding their first hospitalisation; (ii) a visit under stable conditions (at least three months after discharge) to collect clinical and functional variables and smoking status; and (iii) a prospective 4-year active follow-up to obtain information about re-hospitalisations and mortality.Figure 1 Design and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality). Design and study population. *Until Dec 31, 2007 (re-hospitalisations) and Dec 31, 2008 (mortality). During hospitalisation and at discharge, patients received standard information about their disease, smoking cessation advice, as well as pharmacological and non-pharmacological treatment from the attending physician according to local guidelines [14]. The study was approved by the Ethics Committees of all participating hospitals and all patients gave their written informed consent. All patients were actively followed until death or December 31, 2008. Additional details about the recruitment and follow-up processes have been previously published [13, 15, 16]. Study population: A diagnosis of COPD was confirmed by spirometry at least three months after discharge when the patient had reached clinical stability. COPD was identified as a post-bronchodilator forced expiratory volume in one second to forced vital capacity ratio (FEV1/FVC) of less than 0.7 [17]. At recruitment (first hospitalisation due to COPD exacerbation), patients were asked about their diagnosis with “any respiratory disease” using the following questions: “Are you suffering from any respiratory disease?”, “What is the name of your respiratory disease?”, “When were you diagnosed with this respiratory disease?”, and “Who diagnosed your respiratory disease?”. These questions were previously designed and pilot-tested in COPD patients from the same geographical area [18]. Patients reported any pharmacological treatments they were taking regularly (previous to hospitalisation) for any chronic disease. We defined “undiagnosed COPD” as the absence of any self-reported diagnosis of respiratory disease. In addition, to reduce a potential misclassification due to poor recall, we assumed that patients regularly using any pharmacological respiratory treatment had been previously diagnosed. Once stable conditions were reached and the diagnosis of COPD was confirmed, patients were identified as “newly diagnosed” COPD patients. Details on the exact wording of patients when describing their respiratory disease, time from diagnosis, diagnosing doctor, and respiratory treatment are reported in Additional file 1: Table S1. For our analysis, disease severity was classified according to FEV1 levels as mild, moderate, severe and very severe following the European Respiratory Society and the American Thoracic Society (ERS/ATS) criteria [17]. Measurements: At recruitment, standardised epidemiological questionnaires were used to collect information on sociodemographic characteristics, smoking status, physical activity (Spanish version of the Yale Physical Activity Survey) [19] and health-care utilisation over the previous 12 months [18]. The Charlson index of comorbidity was obtained from medical records, patient recall and physical examination by an expert pulmonologist [20]. In addition, we obtained the number of visits to a hospital emergency department, primary care emergency department, primary care physician, primary care pulmonologist, and hospital-based pulmonologist over the previous 12 months using standardised epidemiological questionnaires. When the patient was clinically stable after discharge, the following measurements were obtained: forced spirometry and bronchodilator test, static lung volumes by whole-body plethysmography, diffusing capacity for carbon monoxide (DLco), arterial blood gases analysis while breathing room air at rest, six-minute walking distance (6MWD), body mass index (BMI) and fat-free mass index (FFMI). Patients also answered an epidemiological questionnaire, including a dyspnoea assessment using the mMRC scale, to determine the patient’s smoking status and current pharmacologic treatment information. Health-related quality of life (HRQL) was assessed using the validated Spanish version of St. George’s Respiratory Questionnaire (SGRQ) [21]. Anxiety and depression were evaluated with the Spanish version of the Hospital Anxiety and Depression Scale (HADS) [22, 23]. Detailed information on the methods and sources of the questionnaires and the standardisation of the tests used in the PAC-COPD study has been previously published [13, 16]. Re-hospitalisations and mortality during follow-up: Information on re-hospitalisations through December 31, 2007 (causes and dates) was obtained for all patients from the Minimum Basic Dataset (CMBD), a national administrative database. According to the 9th revision of the International Classification of Diseases, an admission for COPD exacerbation was defined as any admission with codes 466, 480–486, 490–496, or 518.81 as the main diagnosis. Survival status until December 31, 2008 was obtained from direct interviews with all patients or their relatives. In cases of death, both hospital and primary care registries were checked to verify the exact date. Statistical analysis: The sample size was fixed by the primary scientific objectives of the PAC-COPD Study [16]. Before any analysis, we calculated whether the available number of patients (225 patients in the diagnosed group and 117 in the undiagnosed group) would allow for identification of clinically significant differences in outcome between groups (diagnosed vs. undiagnosed). Calculations using the GRANMO 5.2 software [24] showed that, accepting an alpha risk of 0.05 in a two-sided test, the statistical power was 84 to recognize as statistically significant the difference in proportion admitted (44% vs. 28%, respectively). Descriptive data are presented as the number and percentage, the mean and standard deviation (SD), or the median and 25th or 75th percentiles, as appropriate. We compared the sociodemographic and clinical variables and use of healthcare resources prior to first hospitalisation according to previous COPD diagnosis status, using Student’s t-test or Mann–Whitney U test for quantitative variables and a Chi squared or Fisher exact test for qualitative variables. We tested the effect of receiving a new COPD diagnosis on quitting smoking by including an interaction term between time (recruitment or stability visit) and diagnosis in a logistic regression model that included smoking and potential confounders (gender, age, the Charlson index of comorbidity, degree of dyspnoea, quality of life, FEV1, arterial oxygen tension (PaO2)). Kaplan-Meier curves of time to COPD readmission were plotted according to COPD diagnosis status previous to the baseline admission, and the log-rank test was used to compare differences in readmission-free rates between diagnosed and undiagnosed COPD patients [25]. Because the proportionality assumption held, the association between previous COPD diagnosis and time to COPD readmission was assessed using Cox regression survival-time models [26]. Multivariate models included as covariates all potential confounders that were related to both the exposure and the outcome, or modified the estimates (>10% change in Hazard Ratio) for the remaining variables. Potential covariates included gender, age, marital status, smoking status, quality of life, degree of dyspnoea, BMI, FFMI, the Charlson index of comorbidity, FEV1, DLco, Residual Volume/Total Lung Capacity (RV/TLC), PaO2, arterial carbon dioxide tension (PaCO2), 6MWD, and anxiety and depression. The same approach was to be used to assess the effect of undiagnosis on mortality; however, there were very few deaths during follow-up and this multivariate analysis was not completed. Data analyses were conducted using Stata 10.1 (StataCorp, College Station, TX, USA). Results: Characteristics of patients with undiagnosed COPD The entire PAC-COPD cohort included 342 patients (93% men) with a mean (SD) age of 67 (9) years and a mean (SD) post-bronchodilator FEV1 of 52% (16%) predicted during clinical stability (Table 1). A total of 117 patients (34%) fulfilled the criteria of “undiagnosed COPD”. Table 1 shows the comparisons of sociodemographic and clinical characteristics for these two groups. Undiagnosed patients were younger and more physically active, had fewer symptoms and better health status, and had milder airflow limitation and fewer comorbidities; in addition a higher proportion of these patients reported that they currently smoked (Table 1). A total of 33 (28%) patients with severe COPD and 5 (4%) patients with very severe COPD reported that they had never been diagnosed as having a respiratory disease prior to their first hospitalisation. The Charlson comorbidities are shown in Additional file 1: Table S2.Table 1 Baseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation All COPD patients n = 342*Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value † Age (years), m (SD)67 (9)66 (9)68 (8)0.03Males, n (%)318 (93)107 (92)211(94)0.43Married, n (%)274 (80)90 (77)184 (82)0.29Less than primary education, n (%)142 (42)46 (39)96 (43)0.55Low socioeconomic status (IV-V), n (%)259 (82)90 (81)169 (82)0.83Current workers, n (%)61 (18)30 (26)31 (14)<0.01Smoking status: current, n (%)150 (44)69 (59)81 (36)<0.01Pack-years, m (SD)69 (40)67 (38)70 (41)0.55Physical activity (hours/week), m (SD)33.5 (23.8)39.5 (23.4)30.4 (23.5)0.01≥2 comorbidities (Charlson index), n (%)172 (50)47 (40)125 (56)<0.01Severity of COPD (ERS/ATS), n (%)  Mild (FEV1 ≥ 80%)19 (5)14 (12)5 (2)<0.01  Moderate (FEV1 ≥ 50%, <80%)164 (48)65 (56)99 (44)  Severe (FEV1 ≥ 30%, <50%)132 (39)33 (28)99 (44)  Very severe (FEV1 < 30%)27 (8)5 (4)22 (10)FEV1 post-bronchodilator (% pred), m (SD)52 (16)59 (16)49 (15)<0.01DLCO (% pred.), m (SD)65 (21)67 (21)64 (21)0.23RV/TLC (%), m (SD)56 (10)52 (10)58 (9)<0.01PaO2 (mmHg), m (SD)74 (11)75 (10)74 (11)0.28PaCO2 (mmHg), m (SD)41.8 (5.3)42.2 (5.2)41.6 (5.4)0.376MWD (m), median (P25-P75)437 (390–500)440 (396–502)437 (373–498)0.25Dyspnoea score (mMRC, score 0–4), m (SD)2.40 (1.06)2.06 (1.09)2.59 (0.99)<0.01BMI (Kg/m2), m (SD)28.2 (4.7)28.8 (4.7)27.9 (4.6)0.08FFMI (Kg/m2), m (SD)19.7 (3.1)19.9 (3.0)19.5 (3.1)0.21SGRQ total score (0 no health impairment to 100 maximum impairment), m (SD)37 (18)29 (16)40 (18)<0.01SGRQ symptoms score, m (SD)48 (18)45 (16)50 (18)<0.01ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD. Baseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD. Undiagnosed patients reported a significantly lower use of health care resources due to respiratory symptoms in the 12 months prior to their first hospitalisation for a COPD exacerbation. The number of unscheduled visits to the primary care surgery was similar in both groups (Table 2).Table 2 Self-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation All COPD patients n = 342Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value † n (%)n (%)n (%) COPD diagnosis and treatment COPD diagnosis*157 (46)--157 (70)--COPD treatment*193 (56)--193 (86)-- Use of health care resources due to respiratory symptoms in the 12 months prior to first COPD hospitalisation At least one visit to hospital emergency department34 (10)3 (3)31 (14)<0.01At least one unscheduled visit to primary care64 (19)21 (18)43 (19)0.79≥3 visits to any physician104 (31)15 (13)89 (40)<0.01≥3 visits to primary care physician56 (16)6 (5)50 (22)<0.01≥3 visits to primary care-based pulmonologist18 (5)1 (1)17 (8)<0.01≥3 visits to hospital-based pulmonologist2 (1)0 (0)2 (1)0.55*See Additional file 1: Table S1 in for details. †Comparison between undiagnosed and diagnosed COPD. Self-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation *See Additional file 1: Table S1 in for details. †Comparison between undiagnosed and diagnosed COPD. The entire PAC-COPD cohort included 342 patients (93% men) with a mean (SD) age of 67 (9) years and a mean (SD) post-bronchodilator FEV1 of 52% (16%) predicted during clinical stability (Table 1). A total of 117 patients (34%) fulfilled the criteria of “undiagnosed COPD”. Table 1 shows the comparisons of sociodemographic and clinical characteristics for these two groups. Undiagnosed patients were younger and more physically active, had fewer symptoms and better health status, and had milder airflow limitation and fewer comorbidities; in addition a higher proportion of these patients reported that they currently smoked (Table 1). A total of 33 (28%) patients with severe COPD and 5 (4%) patients with very severe COPD reported that they had never been diagnosed as having a respiratory disease prior to their first hospitalisation. The Charlson comorbidities are shown in Additional file 1: Table S2.Table 1 Baseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation All COPD patients n = 342*Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value † Age (years), m (SD)67 (9)66 (9)68 (8)0.03Males, n (%)318 (93)107 (92)211(94)0.43Married, n (%)274 (80)90 (77)184 (82)0.29Less than primary education, n (%)142 (42)46 (39)96 (43)0.55Low socioeconomic status (IV-V), n (%)259 (82)90 (81)169 (82)0.83Current workers, n (%)61 (18)30 (26)31 (14)<0.01Smoking status: current, n (%)150 (44)69 (59)81 (36)<0.01Pack-years, m (SD)69 (40)67 (38)70 (41)0.55Physical activity (hours/week), m (SD)33.5 (23.8)39.5 (23.4)30.4 (23.5)0.01≥2 comorbidities (Charlson index), n (%)172 (50)47 (40)125 (56)<0.01Severity of COPD (ERS/ATS), n (%)  Mild (FEV1 ≥ 80%)19 (5)14 (12)5 (2)<0.01  Moderate (FEV1 ≥ 50%, <80%)164 (48)65 (56)99 (44)  Severe (FEV1 ≥ 30%, <50%)132 (39)33 (28)99 (44)  Very severe (FEV1 < 30%)27 (8)5 (4)22 (10)FEV1 post-bronchodilator (% pred), m (SD)52 (16)59 (16)49 (15)<0.01DLCO (% pred.), m (SD)65 (21)67 (21)64 (21)0.23RV/TLC (%), m (SD)56 (10)52 (10)58 (9)<0.01PaO2 (mmHg), m (SD)74 (11)75 (10)74 (11)0.28PaCO2 (mmHg), m (SD)41.8 (5.3)42.2 (5.2)41.6 (5.4)0.376MWD (m), median (P25-P75)437 (390–500)440 (396–502)437 (373–498)0.25Dyspnoea score (mMRC, score 0–4), m (SD)2.40 (1.06)2.06 (1.09)2.59 (0.99)<0.01BMI (Kg/m2), m (SD)28.2 (4.7)28.8 (4.7)27.9 (4.6)0.08FFMI (Kg/m2), m (SD)19.7 (3.1)19.9 (3.0)19.5 (3.1)0.21SGRQ total score (0 no health impairment to 100 maximum impairment), m (SD)37 (18)29 (16)40 (18)<0.01SGRQ symptoms score, m (SD)48 (18)45 (16)50 (18)<0.01ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD. Baseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD. Undiagnosed patients reported a significantly lower use of health care resources due to respiratory symptoms in the 12 months prior to their first hospitalisation for a COPD exacerbation. The number of unscheduled visits to the primary care surgery was similar in both groups (Table 2).Table 2 Self-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation All COPD patients n = 342Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value † n (%)n (%)n (%) COPD diagnosis and treatment COPD diagnosis*157 (46)--157 (70)--COPD treatment*193 (56)--193 (86)-- Use of health care resources due to respiratory symptoms in the 12 months prior to first COPD hospitalisation At least one visit to hospital emergency department34 (10)3 (3)31 (14)<0.01At least one unscheduled visit to primary care64 (19)21 (18)43 (19)0.79≥3 visits to any physician104 (31)15 (13)89 (40)<0.01≥3 visits to primary care physician56 (16)6 (5)50 (22)<0.01≥3 visits to primary care-based pulmonologist18 (5)1 (1)17 (8)<0.01≥3 visits to hospital-based pulmonologist2 (1)0 (0)2 (1)0.55*See Additional file 1: Table S1 in for details. †Comparison between undiagnosed and diagnosed COPD. Self-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation *See Additional file 1: Table S1 in for details. †Comparison between undiagnosed and diagnosed COPD. Short-term effects associated with a COPD diagnosis Figure 2 shows the short-term effects associated with a COPD diagnosis on smoking cessation. The proportion of current smokers after hospital discharge decreased significantly more in newly diagnosed COPD patients than in those with a previous COPD diagnosis (16% vs. 5%). Despite significantly different baseline values at hospitalisation (Figure 2), the interaction between diagnosis group and time was significant (p = 0.019).Figure 2 Short-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text. Short-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text. Figure 2 shows the short-term effects associated with a COPD diagnosis on smoking cessation. The proportion of current smokers after hospital discharge decreased significantly more in newly diagnosed COPD patients than in those with a previous COPD diagnosis (16% vs. 5%). Despite significantly different baseline values at hospitalisation (Figure 2), the interaction between diagnosis group and time was significant (p = 0.019).Figure 2 Short-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text. Short-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text. Long-term prognosis of newly diagnosed COPD patients During a mean (SD) of 1.87 (0.98) years of follow-up, 44% of previously diagnosed patients and 28% of newly diagnosed required re-hospitalisation. This corresponds to 0.25 and 0.14 annual hospitalisation rates (p < 0.01), respectively (Figure 3, panel A). However, this risk of re-hospitalisation was similar in both groups after adjusting for other covariates in a Cox regression multivariate model (Table 3). The proportion of patients who required admission was higher in previously diagnosed patients when compared with newly diagnosed patients for the mild, moderate and severe spirometric COPD groups (20% vs. 7%, 36% vs. 23% and 49% vs. 36%, respectively). The proportion of patients within the very severe COPD group who required admission was 63% in previously diagnosed patients and 100% for newly diagnosed patients; however, the very small sample size prevented any statistical comparisons. During a mean (SD) of 3.28 (0.85) years, overall survival rates (Figure 3, panel B) of previously diagnosed and newly diagnosed patients were similar (87% and 84%, respectively; p = 0.51) at all severity stages (80% and 93% in mild, 92% and 85% in moderate, 87% and 81% in severe, and 64% and 60% in very severe patients).Figure 3 Kaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis. Kaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis. Association between previous COPD diagnosis and subsequent COPD hospitalisations HR: hazard ratio; CI: confidence interval; mMRC: modified Medical Research Council; BMI: body mass index; RV/TLC: Residual Volume/Total Lung Capacity; FEV1: forced expiratory volume in 1 second. *Final models were adjusted to account for negative confounding, i.e., that the apparently protective effect of undiagnosed COPD is due to a lower clinical severity of the disease. Other potential confounders (see text) were tested but not included because they were not independently related to both the exposure and the outcome, nor did these confounders modify (>10% change in Hazard Ratio) the estimates for the remaining variables. During a mean (SD) of 1.87 (0.98) years of follow-up, 44% of previously diagnosed patients and 28% of newly diagnosed required re-hospitalisation. This corresponds to 0.25 and 0.14 annual hospitalisation rates (p < 0.01), respectively (Figure 3, panel A). However, this risk of re-hospitalisation was similar in both groups after adjusting for other covariates in a Cox regression multivariate model (Table 3). The proportion of patients who required admission was higher in previously diagnosed patients when compared with newly diagnosed patients for the mild, moderate and severe spirometric COPD groups (20% vs. 7%, 36% vs. 23% and 49% vs. 36%, respectively). The proportion of patients within the very severe COPD group who required admission was 63% in previously diagnosed patients and 100% for newly diagnosed patients; however, the very small sample size prevented any statistical comparisons. During a mean (SD) of 3.28 (0.85) years, overall survival rates (Figure 3, panel B) of previously diagnosed and newly diagnosed patients were similar (87% and 84%, respectively; p = 0.51) at all severity stages (80% and 93% in mild, 92% and 85% in moderate, 87% and 81% in severe, and 64% and 60% in very severe patients).Figure 3 Kaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis. Kaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis. Association between previous COPD diagnosis and subsequent COPD hospitalisations HR: hazard ratio; CI: confidence interval; mMRC: modified Medical Research Council; BMI: body mass index; RV/TLC: Residual Volume/Total Lung Capacity; FEV1: forced expiratory volume in 1 second. *Final models were adjusted to account for negative confounding, i.e., that the apparently protective effect of undiagnosed COPD is due to a lower clinical severity of the disease. Other potential confounders (see text) were tested but not included because they were not independently related to both the exposure and the outcome, nor did these confounders modify (>10% change in Hazard Ratio) the estimates for the remaining variables. Characteristics of patients with undiagnosed COPD: The entire PAC-COPD cohort included 342 patients (93% men) with a mean (SD) age of 67 (9) years and a mean (SD) post-bronchodilator FEV1 of 52% (16%) predicted during clinical stability (Table 1). A total of 117 patients (34%) fulfilled the criteria of “undiagnosed COPD”. Table 1 shows the comparisons of sociodemographic and clinical characteristics for these two groups. Undiagnosed patients were younger and more physically active, had fewer symptoms and better health status, and had milder airflow limitation and fewer comorbidities; in addition a higher proportion of these patients reported that they currently smoked (Table 1). A total of 33 (28%) patients with severe COPD and 5 (4%) patients with very severe COPD reported that they had never been diagnosed as having a respiratory disease prior to their first hospitalisation. The Charlson comorbidities are shown in Additional file 1: Table S2.Table 1 Baseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation All COPD patients n = 342*Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value † Age (years), m (SD)67 (9)66 (9)68 (8)0.03Males, n (%)318 (93)107 (92)211(94)0.43Married, n (%)274 (80)90 (77)184 (82)0.29Less than primary education, n (%)142 (42)46 (39)96 (43)0.55Low socioeconomic status (IV-V), n (%)259 (82)90 (81)169 (82)0.83Current workers, n (%)61 (18)30 (26)31 (14)<0.01Smoking status: current, n (%)150 (44)69 (59)81 (36)<0.01Pack-years, m (SD)69 (40)67 (38)70 (41)0.55Physical activity (hours/week), m (SD)33.5 (23.8)39.5 (23.4)30.4 (23.5)0.01≥2 comorbidities (Charlson index), n (%)172 (50)47 (40)125 (56)<0.01Severity of COPD (ERS/ATS), n (%)  Mild (FEV1 ≥ 80%)19 (5)14 (12)5 (2)<0.01  Moderate (FEV1 ≥ 50%, <80%)164 (48)65 (56)99 (44)  Severe (FEV1 ≥ 30%, <50%)132 (39)33 (28)99 (44)  Very severe (FEV1 < 30%)27 (8)5 (4)22 (10)FEV1 post-bronchodilator (% pred), m (SD)52 (16)59 (16)49 (15)<0.01DLCO (% pred.), m (SD)65 (21)67 (21)64 (21)0.23RV/TLC (%), m (SD)56 (10)52 (10)58 (9)<0.01PaO2 (mmHg), m (SD)74 (11)75 (10)74 (11)0.28PaCO2 (mmHg), m (SD)41.8 (5.3)42.2 (5.2)41.6 (5.4)0.376MWD (m), median (P25-P75)437 (390–500)440 (396–502)437 (373–498)0.25Dyspnoea score (mMRC, score 0–4), m (SD)2.40 (1.06)2.06 (1.09)2.59 (0.99)<0.01BMI (Kg/m2), m (SD)28.2 (4.7)28.8 (4.7)27.9 (4.6)0.08FFMI (Kg/m2), m (SD)19.7 (3.1)19.9 (3.0)19.5 (3.1)0.21SGRQ total score (0 no health impairment to 100 maximum impairment), m (SD)37 (18)29 (16)40 (18)<0.01SGRQ symptoms score, m (SD)48 (18)45 (16)50 (18)<0.01ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD. Baseline characteristics of 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation ERS/ATS: European Respiratory Society/American Thoracic Society; FEV1: forced expiratory volume in 1 second; FEV1/FVC: forced expiratory volume in 1 second/forced vital capacity; RV/TLC: Residual Volume/Total Lung Capacity; DLCO: diffusing capacity for carbon monoxide; PaO2: arterial oxygen tension; PaCO2: arterial carbon dioxide tension; 6MWD: six-minute walking distance; mMRC: modified Medical Research Council; BMI: body mass index; FFMI: fat-free mass index; SGRQ: St. George’s Respiratory Questionnaire. *Some variables had missing values: 25 in socioeconomic status, one in physical activity, four in dyspnoea, 27 in RV/TLC, 46 in DLCO, 11 in PaO2, 10 in PaCO2, 33 in 6MWD, 13 in FFMI, and four in SGRQ score. †Comparison between undiagnosed and previously diagnosed COPD. Undiagnosed patients reported a significantly lower use of health care resources due to respiratory symptoms in the 12 months prior to their first hospitalisation for a COPD exacerbation. The number of unscheduled visits to the primary care surgery was similar in both groups (Table 2).Table 2 Self-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation All COPD patients n = 342Undiagnosed COPD n = 117 (34%)Diagnosed COPD n = 225 (66%)p-value † n (%)n (%)n (%) COPD diagnosis and treatment COPD diagnosis*157 (46)--157 (70)--COPD treatment*193 (56)--193 (86)-- Use of health care resources due to respiratory symptoms in the 12 months prior to first COPD hospitalisation At least one visit to hospital emergency department34 (10)3 (3)31 (14)<0.01At least one unscheduled visit to primary care64 (19)21 (18)43 (19)0.79≥3 visits to any physician104 (31)15 (13)89 (40)<0.01≥3 visits to primary care physician56 (16)6 (5)50 (22)<0.01≥3 visits to primary care-based pulmonologist18 (5)1 (1)17 (8)<0.01≥3 visits to hospital-based pulmonologist2 (1)0 (0)2 (1)0.55*See Additional file 1: Table S1 in for details. †Comparison between undiagnosed and diagnosed COPD. Self-reported diagnosis, respiratory treatment and use of health care resources due to respiratory symptoms of 342 COPD patients in the 12 months prior to their first hospitalisation for a COPD exacerbation *See Additional file 1: Table S1 in for details. †Comparison between undiagnosed and diagnosed COPD. Short-term effects associated with a COPD diagnosis: Figure 2 shows the short-term effects associated with a COPD diagnosis on smoking cessation. The proportion of current smokers after hospital discharge decreased significantly more in newly diagnosed COPD patients than in those with a previous COPD diagnosis (16% vs. 5%). Despite significantly different baseline values at hospitalisation (Figure 2), the interaction between diagnosis group and time was significant (p = 0.019).Figure 2 Short-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text. Short-term effects of a new COPD diagnosis on smoking cessation. P-values were obtained from a logistic regression model with active smoking as the outcome and the interaction between diagnosis status and time (period) included as explanatory variables. For further explanations, see the main manuscript text. Long-term prognosis of newly diagnosed COPD patients: During a mean (SD) of 1.87 (0.98) years of follow-up, 44% of previously diagnosed patients and 28% of newly diagnosed required re-hospitalisation. This corresponds to 0.25 and 0.14 annual hospitalisation rates (p < 0.01), respectively (Figure 3, panel A). However, this risk of re-hospitalisation was similar in both groups after adjusting for other covariates in a Cox regression multivariate model (Table 3). The proportion of patients who required admission was higher in previously diagnosed patients when compared with newly diagnosed patients for the mild, moderate and severe spirometric COPD groups (20% vs. 7%, 36% vs. 23% and 49% vs. 36%, respectively). The proportion of patients within the very severe COPD group who required admission was 63% in previously diagnosed patients and 100% for newly diagnosed patients; however, the very small sample size prevented any statistical comparisons. During a mean (SD) of 3.28 (0.85) years, overall survival rates (Figure 3, panel B) of previously diagnosed and newly diagnosed patients were similar (87% and 84%, respectively; p = 0.51) at all severity stages (80% and 93% in mild, 92% and 85% in moderate, 87% and 81% in severe, and 64% and 60% in very severe patients).Figure 3 Kaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis. Kaplan-Meier curves show the cumulative hospitalisation-free rate (panel A) and survival rate (panel B) according to previous COPD diagnosis. Association between previous COPD diagnosis and subsequent COPD hospitalisations HR: hazard ratio; CI: confidence interval; mMRC: modified Medical Research Council; BMI: body mass index; RV/TLC: Residual Volume/Total Lung Capacity; FEV1: forced expiratory volume in 1 second. *Final models were adjusted to account for negative confounding, i.e., that the apparently protective effect of undiagnosed COPD is due to a lower clinical severity of the disease. Other potential confounders (see text) were tested but not included because they were not independently related to both the exposure and the outcome, nor did these confounders modify (>10% change in Hazard Ratio) the estimates for the remaining variables. Discussion: This study has three main findings: (1) undiagnosed patients (34% of all patients hospitalised for the first time because of an exacerbation of COPD) have milder airflow limitation, fewer symptoms, fewer comorbidities, and better HRQL when compared with patients with a previous diagnosis of COPD; (2) establishing a COPD diagnosis is associated with a positive short-term effect on smoking cessation; and (3) undiagnosed patients have a lower risk of re-hospitalisations but a similar mortality after hospitalisation when adjusted for severity of illness and covariates. A high prevalence of COPD under-diagnosis has been frequently reported, both in population based-studies and in primary care settings [3–9]. In contrast, there is little information available regarding COPD under-diagnosis in hospitalised patients. Our study confirms that undiagnosed COPD is not confined to the general population or primary care. We determined that one-third of patients admitted for the first time for a COPD exacerbation were undiagnosed. This finding is in accordance with a previous Italian study of patients attending the emergency room because of a COPD exacerbationand a retrospective study of patients admitted in a UK hospital for the first time for a COPD exacerbation [11, 12]. Importantly, the hospital-based design and the thorough characterisation of the patients in our study prevented the inclusion of healthy subjects with age-related airflow limitation. The substantial differences observed between diagnosed and undiagnosed patients deserve special consideration. In our cohort, undiagnosed patients were younger, had less severe airflow limitation and a better HRQL. These findings confirm several previous population-based studies with similar observations [8, 9, 27]. In contrast, Zoia et al. did not find differences in age and severity based on previous COPD diagnosis in the hospital setting [11]; however, their diagnosed patients had more comorbidities when compared with undiagnosed patients [11]. It is possible that the lack of diagnosis (hence, treatment) may have resulted in an “earlier” first hospital admission for a COPD exacerbation, when the patient still had mild-to-moderate COPD [15]. In fact, our findings indicated that undiagnosed COPD may be related to a lack of primary care interventions prior to the first admission (Table 3). Unfortunately, specific information about these interventions, such as smoking cessation advice, was not recorded in the PAC-COPD study. Similar to the report by Zoia et al., we identified a higher proportion of current smokers in the undiagnosed group when compared with the diagnosed group [11]. We also observed that the establishment of a COPD diagnosis was associated with a significant reduction in current smokers (Figure 2). This finding is similar to previous reports that showed that smokers with airflow limitation had significantly higher smoking cessation rates than those with normal spirometry [28, 29]. These data identify a potentially important window of opportunity for therapeutic intervention. The re-hospitalisation rate was lower in newly diagnosed COPD patients following their first admission (Figure 3, panel A); however, this decreased risk was not significant after multivariable adjustments (Table 3), indicating that the protective effect of undiagnosed COPD was likely due to a lower severity of the disease. This interpretation is challenged by the lack of differences in mortality during follow-up (Figure 3, panel B), and a better prognosis is expected in undiagnosed patients with a milder disease. Thus, this observation requires further research. One potential explanation is that cardiovascular disease might play a more relevant role in undiagnosed patients because the majority were active smokers and had milder COPD. This idea is supported by previous studies that consistently showed the causes of death in patients with mild COPD were predominantly cancer and cardiovascular disease, while deaths due to respiratory disease became more common with increasing COPD severity [30]. In our study, there were very few deaths during follow-up. Therefore, the sample size was too small to analyse differences in cause of death between groups. Clinical features and outcomes of newly diagnosed COPD patients highlighted the clinical relevance of pursuing a correct diagnosis in all hospitalised patients and applying the appropriate corresponding health measures. A recent report by Suissa et al. [31] identified two strategic targets for the management of COPD patients during their first hospitalisation. First, the second hospitalisation should be delayed as much as possible because subsequent exacerbations increase exponentially in frequency and intensity. Second, improved treatment is needed to reduce early mortality [31]. Some limitations of our study should be addressed. Firstly, self-reported information about COPD diagnosis rather than objective medical records could lead to misclassification. Secondly, the very small number of undiagnosed patients with very severe COPD has limited our analysis with regard to this specific subgroup. Finally, our results regarding the extent of COPD under-diagnosis and the clinical profile of these patients may not be able to be generalised to other health care systems; however, the effect of the lack of COPD diagnosis on subsequent hospitalisations and mortality are likely to be generally applicable. The strengths of our study included the large cohort of COPD patients, and their homogeneity with respect to incipient COPD hospitalisations, the wide spectrum of disease severity, and length of follow up. Furthermore, the comprehensive multidimensional assessment used in our study allowed adjustments for potential confounders. Conclusions: This study showed that approximately one-third of patients hospitalised for the first time because of a COPD exacerbation had not been previously diagnosed (hence, treated). In addition, patients generally exhibited less severe disease, and their risk of re-hospitalisation was lower when compared with patients who were hospitalised with an established COPD diagnosis. First admission due to COPD exacerbation provides a window of opportunity for early treatment, in particular for smoking cessation intervention. Authors’ information: The “Phenotype and Course of COPD (PAC-COPD)” Study Group: Centre for Research in Environmental Epidemiology (CREAL), Barcelona: Josep M Antó (Principal Investigator), Judith Garcia-Aymerich (project coordinator), Marta Benet, Jordi de Batlle, Ignasi Serra, David Donaire-Gonzalez, Stefano Guerra; Hospital del Mar-IMIM, Barcelona: Joaquim Gea (centre coordinator), Eva Balcells, Àngel Gayete, Mauricio Orozco-Levi, Ivan Vollmer; Hospital Clínic-Institut D’Investigacions Biomèdiques August Pi i Sunyer (IDIBAPS), Barcelona: Joan Albert Barberà (centre coordinator), Federico P Gómez, Carles Paré, Josep Roca, Robert Rodriguez-Roisin, Xavier Freixa, Diego A Rodriguez, Elena Gimeno-Santos, Karina Portillo; Hospital General Universitari Vall D’Hebron, Barcelona: Jaume Ferrer (centre coordinator), Jordi Andreu, Esther Pallissa, Esther Rodríguez; Hospital de la Santa Creu i Sant Pau, Barcelona: Pere Casan (centre coordinator), Rosa Güell, Ana Giménez; Hospital Universitari Germans Trias i Pujol, Badalona: Eduard Monsó (centre coordinator), Alicia Marín, Josep Morera; Hospital Universitari de Bellvitge, L’Hospitalet de Llobregat: Eva Farrero (centre coordinator), Joan Escarrabill; Hospital de Sabadell, Corporació Parc Taulí, Institut Universitari Parc Taulí (Universitat Autònoma de Barcelona), Sabadell: Antoni Ferrer (centre coordinator); Hospital Universitari Son Dureta, Palma de Mallorca: Jaume Sauleda (centre coordinator), Àlvar G Agustí, Bernat Togores; Hospital de Cruces, Barakaldo: Juan Bautista Gáldiz (centre coordinator), Lorena López; Hospital General Universitari, València: José Belda. Electronic supplementary material: Additional file 1: Table S1: Characteristics of respiratory diagnoses and pharmacological treatments prior to the first admission for COPD exacerbation in diagnosed COPD patients (n = 225). Table S2. Charlson comorbidities in 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation. Comparison between undiagnosed and previously diagnosed COPD patients. (DOCX 33 KB) Additional file 1: Table S1: Characteristics of respiratory diagnoses and pharmacological treatments prior to the first admission for COPD exacerbation in diagnosed COPD patients (n = 225). Table S2. Charlson comorbidities in 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation. Comparison between undiagnosed and previously diagnosed COPD patients. (DOCX 33 KB) : Additional file 1: Table S1: Characteristics of respiratory diagnoses and pharmacological treatments prior to the first admission for COPD exacerbation in diagnosed COPD patients (n = 225). Table S2. Charlson comorbidities in 342 COPD patients recruited at their first hospitalisation for a COPD exacerbation. Comparison between undiagnosed and previously diagnosed COPD patients. (DOCX 33 KB)
Background: Under-diagnosis of COPD is an important unmet medical need. We investigated the characteristics and prognosis of hospitalised patients with undiagnosed COPD. Methods: The PAC-COPD cohort included 342 COPD patients hospitalised for the first time for an exacerbation of COPD (2004-2006). Patients were extensively characterised using sociodemographic, clinical and functional variables, and the cohort was followed-up through 2008. We defined "undiagnosed COPD" by the absence of any self-reported respiratory disease and regular use of any pharmacological respiratory treatment. Results: Undiagnosed COPD was present in 34% of patients. They were younger (mean age 66 vs. 68 years, p = 0.03), reported fewer symptoms (mMRC dyspnoea score, 2.1 vs. 2.6, p < 0.01), and had a better health status (SGRQ total score, 29 vs. 40, p < 0.01), milder airflow limitation (FEV1% ref., 59% vs. 49%, p < 0.01), and fewer comorbidities (two or more, 40% vs. 56%, p < 0.01) when compared with patients with an established COPD diagnosis. Three months after hospital discharge, 16% of the undiagnosed COPD patients had stopped smoking (vs. 5%, p = 0.019). During follow-up, annual hospitalisation rates were lower in undiagnosed COPD patients (0.14 vs. 0.25, p < 0.01); however, this difference disappeared after adjustment for severity. Mortality was similar in both groups. Conclusions: Undiagnosed COPD patients have less severe disease and lower risk of re-hospitalisation when compared with hospitalised patients with known COPD.
Background: Chronic obstructive pulmonary disease (COPD) represents a major public health problem, and its mortality and disability burden is expected to rise in the coming decades [1, 2]. Nonetheless, the majority of studies from general population and primary care have detected that a high proportion of individuals fulfilling COPD diagnosis criteria remain undiagnosed [3–9]. Interestingly, it has been reported that a high proportion of undiagnosed patients already suffer from respiratory symptoms [7, 8]. A recent population-based study demonstrated that even newly diagnosed COPD patients with mild airflow limitation exhibit a significant impairment in their health-related quality of life and certain activities of daily living, when compared with individuals without COPD [9]. Therefore, both researchers and practitioners advocate for early detection strategies aimed at reducing COPD burden through proven health-care interventions [10]. There is a lack of specific information regarding COPD under-diagnosis in patients requiring hospitalisation because of an exacerbation of the disease. Two previous studies in a hospital setting highlighted that one-third of patients had never been diagnosed or treated. One of these studies involved patients who went to the emergency room for COPD exacerbation, and the second study was a small retrospective study of patients admitted to the hospital for the first time for a COPD exacerbation [11, 12]. The current study describes the characteristics of COPD patients who were undiagnosed at the time of their first hospital admission because of a COPD exacerbation and their short- and long-term outcomes. Conclusions: This study showed that approximately one-third of patients hospitalised for the first time because of a COPD exacerbation had not been previously diagnosed (hence, treated). In addition, patients generally exhibited less severe disease, and their risk of re-hospitalisation was lower when compared with patients who were hospitalised with an established COPD diagnosis. First admission due to COPD exacerbation provides a window of opportunity for early treatment, in particular for smoking cessation intervention.
Background: Under-diagnosis of COPD is an important unmet medical need. We investigated the characteristics and prognosis of hospitalised patients with undiagnosed COPD. Methods: The PAC-COPD cohort included 342 COPD patients hospitalised for the first time for an exacerbation of COPD (2004-2006). Patients were extensively characterised using sociodemographic, clinical and functional variables, and the cohort was followed-up through 2008. We defined "undiagnosed COPD" by the absence of any self-reported respiratory disease and regular use of any pharmacological respiratory treatment. Results: Undiagnosed COPD was present in 34% of patients. They were younger (mean age 66 vs. 68 years, p = 0.03), reported fewer symptoms (mMRC dyspnoea score, 2.1 vs. 2.6, p < 0.01), and had a better health status (SGRQ total score, 29 vs. 40, p < 0.01), milder airflow limitation (FEV1% ref., 59% vs. 49%, p < 0.01), and fewer comorbidities (two or more, 40% vs. 56%, p < 0.01) when compared with patients with an established COPD diagnosis. Three months after hospital discharge, 16% of the undiagnosed COPD patients had stopped smoking (vs. 5%, p = 0.019). During follow-up, annual hospitalisation rates were lower in undiagnosed COPD patients (0.14 vs. 0.25, p < 0.01); however, this difference disappeared after adjustment for severity. Mortality was similar in both groups. Conclusions: Undiagnosed COPD patients have less severe disease and lower risk of re-hospitalisation when compared with hospitalised patients with known COPD.
12,564
328
[ 285, 322, 313, 309, 109, 498, 1291, 191, 464, 312, 67 ]
16
[ "copd", "patients", "diagnosis", "diagnosed", "respiratory", "hospitalisation", "undiagnosed", "sd", "copd diagnosis", "copd patients" ]
[ "copd exacerbation patients", "copd exacerbation diagnosed", "copd patients hospitalisation", "patients undiagnosed copd", "fulfilling copd diagnosis" ]
[CONTENT] Pulmonary disease | Chronic obstructive | Hospitalisation | Cohort studies | Epidemiology | Health services [SUMMARY]
[CONTENT] Pulmonary disease | Chronic obstructive | Hospitalisation | Cohort studies | Epidemiology | Health services [SUMMARY]
[CONTENT] Pulmonary disease | Chronic obstructive | Hospitalisation | Cohort studies | Epidemiology | Health services [SUMMARY]
[CONTENT] Pulmonary disease | Chronic obstructive | Hospitalisation | Cohort studies | Epidemiology | Health services [SUMMARY]
[CONTENT] Pulmonary disease | Chronic obstructive | Hospitalisation | Cohort studies | Epidemiology | Health services [SUMMARY]
[CONTENT] Pulmonary disease | Chronic obstructive | Hospitalisation | Cohort studies | Epidemiology | Health services [SUMMARY]
[CONTENT] Aged | Comorbidity | Dyspnea | Female | Follow-Up Studies | Forced Expiratory Volume | Health Status | Hospitalization | Humans | Longitudinal Studies | Male | Middle Aged | Patient Discharge | Prognosis | Pulmonary Disease, Chronic Obstructive | Self Report | Severity of Illness Index | Smoking Cessation | Surveys and Questionnaires | Tobacco Use [SUMMARY]
[CONTENT] Aged | Comorbidity | Dyspnea | Female | Follow-Up Studies | Forced Expiratory Volume | Health Status | Hospitalization | Humans | Longitudinal Studies | Male | Middle Aged | Patient Discharge | Prognosis | Pulmonary Disease, Chronic Obstructive | Self Report | Severity of Illness Index | Smoking Cessation | Surveys and Questionnaires | Tobacco Use [SUMMARY]
[CONTENT] Aged | Comorbidity | Dyspnea | Female | Follow-Up Studies | Forced Expiratory Volume | Health Status | Hospitalization | Humans | Longitudinal Studies | Male | Middle Aged | Patient Discharge | Prognosis | Pulmonary Disease, Chronic Obstructive | Self Report | Severity of Illness Index | Smoking Cessation | Surveys and Questionnaires | Tobacco Use [SUMMARY]
[CONTENT] Aged | Comorbidity | Dyspnea | Female | Follow-Up Studies | Forced Expiratory Volume | Health Status | Hospitalization | Humans | Longitudinal Studies | Male | Middle Aged | Patient Discharge | Prognosis | Pulmonary Disease, Chronic Obstructive | Self Report | Severity of Illness Index | Smoking Cessation | Surveys and Questionnaires | Tobacco Use [SUMMARY]
[CONTENT] Aged | Comorbidity | Dyspnea | Female | Follow-Up Studies | Forced Expiratory Volume | Health Status | Hospitalization | Humans | Longitudinal Studies | Male | Middle Aged | Patient Discharge | Prognosis | Pulmonary Disease, Chronic Obstructive | Self Report | Severity of Illness Index | Smoking Cessation | Surveys and Questionnaires | Tobacco Use [SUMMARY]
[CONTENT] Aged | Comorbidity | Dyspnea | Female | Follow-Up Studies | Forced Expiratory Volume | Health Status | Hospitalization | Humans | Longitudinal Studies | Male | Middle Aged | Patient Discharge | Prognosis | Pulmonary Disease, Chronic Obstructive | Self Report | Severity of Illness Index | Smoking Cessation | Surveys and Questionnaires | Tobacco Use [SUMMARY]
[CONTENT] copd exacerbation patients | copd exacerbation diagnosed | copd patients hospitalisation | patients undiagnosed copd | fulfilling copd diagnosis [SUMMARY]
[CONTENT] copd exacerbation patients | copd exacerbation diagnosed | copd patients hospitalisation | patients undiagnosed copd | fulfilling copd diagnosis [SUMMARY]
[CONTENT] copd exacerbation patients | copd exacerbation diagnosed | copd patients hospitalisation | patients undiagnosed copd | fulfilling copd diagnosis [SUMMARY]
[CONTENT] copd exacerbation patients | copd exacerbation diagnosed | copd patients hospitalisation | patients undiagnosed copd | fulfilling copd diagnosis [SUMMARY]
[CONTENT] copd exacerbation patients | copd exacerbation diagnosed | copd patients hospitalisation | patients undiagnosed copd | fulfilling copd diagnosis [SUMMARY]
[CONTENT] copd exacerbation patients | copd exacerbation diagnosed | copd patients hospitalisation | patients undiagnosed copd | fulfilling copd diagnosis [SUMMARY]
[CONTENT] copd | patients | diagnosis | diagnosed | respiratory | hospitalisation | undiagnosed | sd | copd diagnosis | copd patients [SUMMARY]
[CONTENT] copd | patients | diagnosis | diagnosed | respiratory | hospitalisation | undiagnosed | sd | copd diagnosis | copd patients [SUMMARY]
[CONTENT] copd | patients | diagnosis | diagnosed | respiratory | hospitalisation | undiagnosed | sd | copd diagnosis | copd patients [SUMMARY]
[CONTENT] copd | patients | diagnosis | diagnosed | respiratory | hospitalisation | undiagnosed | sd | copd diagnosis | copd patients [SUMMARY]
[CONTENT] copd | patients | diagnosis | diagnosed | respiratory | hospitalisation | undiagnosed | sd | copd diagnosis | copd patients [SUMMARY]
[CONTENT] copd | patients | diagnosis | diagnosed | respiratory | hospitalisation | undiagnosed | sd | copd diagnosis | copd patients [SUMMARY]
[CONTENT] copd | studies | patients | study | burden | individuals | high proportion | high | exacerbation | health [SUMMARY]
[CONTENT] copd | patients | respiratory | disease | diagnosis | status | study | test | respiratory disease | information [SUMMARY]
[CONTENT] copd | sd | patients | diagnosed | fev1 | diagnosis | respiratory | score | table | hospitalisation [SUMMARY]
[CONTENT] patients hospitalised | hospitalised | patients | treated addition patients generally | compared patients hospitalised established | particular smoking cessation intervention | particular smoking | particular | treated addition | treated addition patients [SUMMARY]
[CONTENT] copd | patients | diagnosis | diagnosed | respiratory | copd patients | exacerbation | copd exacerbation | study | undiagnosed [SUMMARY]
[CONTENT] copd | patients | diagnosis | diagnosed | respiratory | copd patients | exacerbation | copd exacerbation | study | undiagnosed [SUMMARY]
[CONTENT] COPD ||| [SUMMARY]
[CONTENT] 342 | first | COPD | 2004-2006 ||| 2008 ||| [SUMMARY]
[CONTENT] 34% ||| age 66 | 68 years | 0.03 | 2.1 | 2.6 | 0.01 | 29 | 40 | 0.01 | ref | 59% | 49% | 0.01 | two | 40% | 56% | 0.01 ||| Three months | 16% | 5% | 0.019 ||| annual | 0.14 | 0.25 | 0.01 ||| [SUMMARY]
[CONTENT] [SUMMARY]
[CONTENT] COPD ||| ||| 342 | first | COPD | 2004-2006 ||| 2008 ||| ||| 34% ||| age 66 | 68 years | 0.03 | 2.1 | 2.6 | 0.01 | 29 | 40 | 0.01 | ref | 59% | 49% | 0.01 | two | 40% | 56% | 0.01 ||| Three months | 16% | 5% | 0.019 ||| annual | 0.14 | 0.25 | 0.01 ||| ||| [SUMMARY]
[CONTENT] COPD ||| ||| 342 | first | COPD | 2004-2006 ||| 2008 ||| ||| 34% ||| age 66 | 68 years | 0.03 | 2.1 | 2.6 | 0.01 | 29 | 40 | 0.01 | ref | 59% | 49% | 0.01 | two | 40% | 56% | 0.01 ||| Three months | 16% | 5% | 0.019 ||| annual | 0.14 | 0.25 | 0.01 ||| ||| [SUMMARY]
Outcome after treatment for sebaceous carcinoma: A multicenter study.
34990031
Sebaceous carcinoma (SC) is a rare malignant tumour whereby, comprehensive long-term data are scarce. This study aimed to assess the outcome of patients treated with resection for SC.
BACKGROUND
Patients treated at four tertiary centres were included. Cumulative incidence curves were calculated for recurrences.
METHODS
A total of 100 patients (57 males, 57%) were included with 103 SCs. The median age was 72 (range, 15-95) years with a median follow-up of 52 (interquartile range [IQR], 24-93) months. Most SCs were located (peri)ocular (49.5%). Of all SCs, 17 locally recurred (16.5%) with a median time to recurrence of 19 (IQR, 8-29) months. The cumulative incidence probability for recurrence was statistically higher for (peri)ocular tumours (p = 0.005), and for positive resection margins (p = 0.001). Two patients presented with lymph node metastases and additional seven patients (8.7%) developed lymph node metastases during follow-up with a median time to metastases of 8 (IQR, 0.5-28) months. Three patients had concurrent in-transit metastases and one patient also developed liver and bone metastases during follow-up.
RESULTS
SC is a rare, yet locally aggressive tumour. Positive resection margins and (peri)ocular SCs are more frequently associated with local recurrence. SC infrequently presents with locoregional or distant metastases.
CONCLUSION
[ "Adenocarcinoma, Sebaceous", "Adolescent", "Adult", "Aged", "Aged, 80 and over", "Eye Neoplasms", "Female", "Follow-Up Studies", "Humans", "Lymphatic Metastasis", "Male", "Middle Aged", "Neoplasm Recurrence, Local", "Prognosis", "Retrospective Studies", "Sebaceous Gland Neoplasms", "Young Adult" ]
9306786
INTRODUCTION
Sebaceous carcinoma (SC) is a rare malignant tumour of the sebaceous glands and only accounts for 0.7% of all cutaneous malignancies. SC has an incidence of 2:1.000.000 compared to an incidence of 164:1.000.000 for basal cell carcinoma in 2009 in the Netherlands. 1 , 2 It can occur at any site of the body where the glands are present, but are mostly found in the (peri)ocular area. The golden standard for treatment is wide local excision with a reported local recurrence rate of 4%–28%. 2 , 3 , 4 , 5 No standardised resection margins are described. Radiotherapy as primary treatment has a higher recurrence rate and, therefore, this is only used in patients refusing excision. 2 Since SC is mostly found in the periocular region, these lesions are often divided into (peri)ocular and extraocular SCs. To date, there are only (small) cases series and literature reviews analysing the outcome of this disease at all anatomical locations, all emphasising the scarcity of data, and the need for more studies. 2 , 6 The majority of these cases refer to (peri)ocular SC. Extraocular SC is associated with lower metastatic potential and consequently lower mortality in comparison to (peri)ocular SC. However, these conclusions are based on small case series and the results are contradicted by other case series. 3 , 5 , 7 With an increased incidence of 3.31% annually in the US and only small cases series, or studies on (peri)ocular SC location, there is a need to better understand the prognosis and course of this disease. 3 Therefore, the aim of this study is to assess the rates of recurrence and metastases as well as survival and define prognostic factors for the outcome, for SC in all locations.
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null
RESULTS
A total of 100 patients were included with 103 SCs. Most patients were treated in the Rotterdam Eye Hospital (N = 39), followed by the Erasmus MC (n = 30), the Netherlands Cancer Institute (n = 18), and the Royal Marsden Hospital (N = 16). The median age was 72 years (range, 15–95) with a median follow‐up of 52 months (interquartile range [IQR], 24–93). A total of 57 patients were male (57%) and most SCs were located in the periocular region (50.5%) followed by head and neck locations (32.0%). Seven patients had SCs located on the trunk (6.8%), seven on the extremities (6.8%), and two SCs were located in the genital region (1.9%). Seven patients were proven to have Muir–Torre syndrome (7%), with a total of 9 SCs, almost all extraocular SCs (n = 8) (Table 1). One patient aged 15 had a concurrent diagnosis of xeroderma pigmentosum. Two patients required long‐term immunosuppressive drugs for kidney and heart transplantation. Three patients had a history of the hematological disease, and 17 patients had a history of other skin cancers (16%), of which three patients had a history of melanoma and one patient had a Merkel cell carcinoma. Patients, tumour, and treatment characteristics Abbreviations: C, χ 2 test; F, Fisher exact test; T, independent sample T‐test. For two patients, the tumour location was unknown. Unfortunately, data regarding the differentiation grade (n = 38) and thickness of the SCs (n = 29) were only available in a minority of the patients. Fourteen (of 38) patients had a well‐differentiated SC (36.8%), 8/38 a moderately differentiated (21.1%), and 16/38 patients had a poorly differentiated SC (42.1%). The median thickness was 5 mm (range, 1.2–11). The extraocular tumours were significantly larger than the ocular tumours (p < 0.001) and showed a trend towards more male prevalence (p = 0.07) (Table 1). Primary treatment All patients underwent surgical resection of their SC: four patients with ocular SCs were first treated with mitomycin C eye drops for the conjunctival in situ component. Eight patients underwent immediate orbital exenteration of the eye. None of the extraocular SCs were preoperatively treated. A total of 19.4% of the excisional specimens had positive microscopic margins (R1 resections) (n = 20). Four patients with incompletely excised SCs received postoperative radiotherapy, and eight patients were postoperatively treated with mitomycin C eye drops to treat the remaining conjunctival in situ growth. Five patients had pathological margins less than 1 mm and were defined as R1 resections but did not receive postoperative treatment. All patients underwent surgical resection of their SC: four patients with ocular SCs were first treated with mitomycin C eye drops for the conjunctival in situ component. Eight patients underwent immediate orbital exenteration of the eye. None of the extraocular SCs were preoperatively treated. A total of 19.4% of the excisional specimens had positive microscopic margins (R1 resections) (n = 20). Four patients with incompletely excised SCs received postoperative radiotherapy, and eight patients were postoperatively treated with mitomycin C eye drops to treat the remaining conjunctival in situ growth. Five patients had pathological margins less than 1 mm and were defined as R1 resections but did not receive postoperative treatment. Recurrence Of all SCs, 17 locally recurred (16.5%): Half of these patients had a previous R1 resection. The median time to recurrence was 19 months (IQR, 8–29). The cumulative incidence probability for recurrence was significantly higher for (peri)ocular tumours compared to extraocular tumours (p = 0.005), and for positive resection margins compared to clear resection margins (p = 0.001) (Figure 1). The cumulative incidence probability for recurrence was not influenced by the size of the primary tumour (p = 0.57). Interestingly, none of the immunosuppressed patients or patients with Muir–Torre developed a recurrence. Cummulative incidence curves Fifteen patients were treated surgically of which seven patients with (peri)ocular SC underwent an orbital exenteration. Lokal chemotherapy for the recurrent disease was used in three patients for ocular SC: mitomycin C eye drops (n = 2) and interferon eye drops (n = 1). Postoperative radiotherapy for recurrence was used in two patients. Two patients did not want any further treatment for their recurrent disease, due to age and comorbidities. The 5‐ and 10‐year cumulative incidence for recurrence was 15.3% and 21.3%, respectively. Of all SCs, 17 locally recurred (16.5%): Half of these patients had a previous R1 resection. The median time to recurrence was 19 months (IQR, 8–29). The cumulative incidence probability for recurrence was significantly higher for (peri)ocular tumours compared to extraocular tumours (p = 0.005), and for positive resection margins compared to clear resection margins (p = 0.001) (Figure 1). The cumulative incidence probability for recurrence was not influenced by the size of the primary tumour (p = 0.57). Interestingly, none of the immunosuppressed patients or patients with Muir–Torre developed a recurrence. Cummulative incidence curves Fifteen patients were treated surgically of which seven patients with (peri)ocular SC underwent an orbital exenteration. Lokal chemotherapy for the recurrent disease was used in three patients for ocular SC: mitomycin C eye drops (n = 2) and interferon eye drops (n = 1). Postoperative radiotherapy for recurrence was used in two patients. Two patients did not want any further treatment for their recurrent disease, due to age and comorbidities. The 5‐ and 10‐year cumulative incidence for recurrence was 15.3% and 21.3%, respectively. Metastases Nine patients (8.7%) developed regional and/or distant metastasis during follow‐up with a median age of 69 years (range, 53–93) and a median time to metastasis of 8 months (IQR, 0.5–28) (Table 2). Two patients had metastases at presentation and additional seven patients developed metastases during follow‐up. Five of these patients had ocular SC and four patients had extraocular SC, all located in the head and neck region. All patients had regional lymph node metastases with three patients also having in‐transit metastases. One of these three patients developed liver and bone metastases during follow‐up 2 months after the primary treatment. None of the patients underwent sentinel lymph node biopsy. None of the well‐differentiated tumours, or tumours <10 mm metastasised. In addition, none of the immunosuppressed patients or patients with Muir–Torre developed metastases. Characteristics of patients with metastases Abbreviations: DND, death not related to disease; DOD, death of disease; F, female; M, male; PORT, postoperative radiotherapy. This patient died of rapid progressive locoregional relapse, no therapeutic options were available and the patient went home with the best supportive care. Five patients also had local recurrent disease (56%), which is higher than the recurrence rate of 17% for all SCs. Most of the patients with lymph node metastases were treated with lymph node dissections (n = 8), followed by postoperative radiotherapy in seven patients (Table 2). The patient with liver and bone metastases was treated with the best supportive care. Six of the patients with metastases died during follow‐up, of which only two patients died of disease. The median time from onset of metastases to death was 11 months (IQR, 2–73). Nine patients (8.7%) developed regional and/or distant metastasis during follow‐up with a median age of 69 years (range, 53–93) and a median time to metastasis of 8 months (IQR, 0.5–28) (Table 2). Two patients had metastases at presentation and additional seven patients developed metastases during follow‐up. Five of these patients had ocular SC and four patients had extraocular SC, all located in the head and neck region. All patients had regional lymph node metastases with three patients also having in‐transit metastases. One of these three patients developed liver and bone metastases during follow‐up 2 months after the primary treatment. None of the patients underwent sentinel lymph node biopsy. None of the well‐differentiated tumours, or tumours <10 mm metastasised. In addition, none of the immunosuppressed patients or patients with Muir–Torre developed metastases. Characteristics of patients with metastases Abbreviations: DND, death not related to disease; DOD, death of disease; F, female; M, male; PORT, postoperative radiotherapy. This patient died of rapid progressive locoregional relapse, no therapeutic options were available and the patient went home with the best supportive care. Five patients also had local recurrent disease (56%), which is higher than the recurrence rate of 17% for all SCs. Most of the patients with lymph node metastases were treated with lymph node dissections (n = 8), followed by postoperative radiotherapy in seven patients (Table 2). The patient with liver and bone metastases was treated with the best supportive care. Six of the patients with metastases died during follow‐up, of which only two patients died of disease. The median time from onset of metastases to death was 11 months (IQR, 2–73).
CONCLUSION
Altogether, SC is a very rare, yet locally aggressive tumour in the elderly patient population. Patients with positive resection margins and (peri)ocular tumour location are more frequently associated with a local recurrence. Patients with SC infrequently present with locoregional or distant metastases, resulting in a good overall survival.
[ "INTRODUCTION", "Patients inclusion and data collection", "Statistical analysis", "Primary treatment", "Recurrence", "Metastases", "ETHICS STATEMENT", "SYNOPSIS" ]
[ "Sebaceous carcinoma (SC) is a rare malignant tumour of the sebaceous glands and only accounts for 0.7% of all cutaneous malignancies. SC has an incidence of 2:1.000.000 compared to an incidence of 164:1.000.000 for basal cell carcinoma in 2009 in the Netherlands.\n1\n, \n2\n It can occur at any site of the body where the glands are present, but are mostly found in the (peri)ocular area. The golden standard for treatment is wide local excision with a reported local recurrence rate of 4%–28%.\n2\n, \n3\n, \n4\n, \n5\n No standardised resection margins are described. Radiotherapy as primary treatment has a higher recurrence rate and, therefore, this is only used in patients refusing excision.\n2\n\n\nSince SC is mostly found in the periocular region, these lesions are often divided into (peri)ocular and extraocular SCs. To date, there are only (small) cases series and literature reviews analysing the outcome of this disease at all anatomical locations, all emphasising the scarcity of data, and the need for more studies.\n2\n, \n6\n The majority of these cases refer to (peri)ocular SC. Extraocular SC is associated with lower metastatic potential and consequently lower mortality in comparison to (peri)ocular SC. However, these conclusions are based on small case series and the results are contradicted by other case series.\n3\n, \n5\n, \n7\n\n\nWith an increased incidence of 3.31% annually in the US and only small cases series, or studies on (peri)ocular SC location, there is a need to better understand the prognosis and course of this disease.\n3\n Therefore, the aim of this study is to assess the rates of recurrence and metastases as well as survival and define prognostic factors for the outcome, for SC in all locations.", "A retrospective study of patients diagnosed with SC between 1990 and 2017 in four referral centres was performed. This study was approved by the Institutional review board.\nThe four referral centres included were the Royal Marsden Hospital, London, United Kingdom; Netherlands Cancer Institute, Amsterdam, The Netherlands; Erasmus MC, Rotterdam, The Netherlands; and The Rotterdam Eye Hospital, Rotterdam, The Netherlands.\nOnly those patients with confirmed SC by a pathologist of the referral center were included. Patient demographics and clinical characteristics were obtained from patient files. Radical resections were defined as clear pathological margins of >1 mm. The last clinical visit or telephone call was noted as the last follow‐up date. Age was calculated from the date of diagnosis. Time to recurrence, metastases, and follow‐up were calculated after the date of first treatment. The primary treatment was noted as the first treatment after pathological confirmation of SC. For the ocular SCs, some patients had a history of treatments going back multiple years, for chalazion, basal cell carcinoma, or squamous cell carcinoma, however without pathological confirmation of SC. Therefore, these treatments are not taken into account in the analyses. Seven patients were excluded due to the lack of treatment records.", "IBM SPSS statistics 25 and R (R Core Team, 2019)\n8\n were used for the statistical analyses. Recurrence rates were calculated using the cumulative incidence curves (CICs) accounting for competing risks. Differences between CICs were calculated using Gray's test,\n9\n due to the small sample size multivariate analyses were not conducted. In addition, due to the small number of metastases, no statistical analysis on risk factors for metastases was conducted. Median survival was crudely derived using the Kaplan–Meier curve for descriptive purposes.", "All patients underwent surgical resection of their SC: four patients with ocular SCs were first treated with mitomycin C eye drops for the conjunctival in situ component. Eight patients underwent immediate orbital exenteration of the eye. None of the extraocular SCs were preoperatively treated. A total of 19.4% of the excisional specimens had positive microscopic margins (R1 resections) (n = 20). Four patients with incompletely excised SCs received postoperative radiotherapy, and eight patients were postoperatively treated with mitomycin C eye drops to treat the remaining conjunctival in situ growth. Five patients had pathological margins less than 1 mm and were defined as R1 resections but did not receive postoperative treatment.", "Of all SCs, 17 locally recurred (16.5%): Half of these patients had a previous R1 resection. The median time to recurrence was 19 months (IQR, 8–29). The cumulative incidence probability for recurrence was significantly higher for (peri)ocular tumours compared to extraocular tumours (p = 0.005), and for positive resection margins compared to clear resection margins (p = 0.001) (Figure 1). The cumulative incidence probability for recurrence was not influenced by the size of the primary tumour (p = 0.57). Interestingly, none of the immunosuppressed patients or patients with Muir–Torre developed a recurrence.\nCummulative incidence curves\nFifteen patients were treated surgically of which seven patients with (peri)ocular SC underwent an orbital exenteration. Lokal chemotherapy for the recurrent disease was used in three patients for ocular SC: mitomycin C eye drops (n = 2) and interferon eye drops (n = 1). Postoperative radiotherapy for recurrence was used in two patients. Two patients did not want any further treatment for their recurrent disease, due to age and comorbidities. The 5‐ and 10‐year cumulative incidence for recurrence was 15.3% and 21.3%, respectively.", "Nine patients (8.7%) developed regional and/or distant metastasis during follow‐up with a median age of 69 years (range, 53–93) and a median time to metastasis of 8 months (IQR, 0.5–28) (Table 2). Two patients had metastases at presentation and additional seven patients developed metastases during follow‐up. Five of these patients had ocular SC and four patients had extraocular SC, all located in the head and neck region. All patients had regional lymph node metastases with three patients also having in‐transit metastases. One of these three patients developed liver and bone metastases during follow‐up 2 months after the primary treatment. None of the patients underwent sentinel lymph node biopsy. None of the well‐differentiated tumours, or tumours <10 mm metastasised. In addition, none of the immunosuppressed patients or patients with Muir–Torre developed metastases.\nCharacteristics of patients with metastases\nAbbreviations: DND, death not related to disease; DOD, death of disease; F, female; M, male; PORT, postoperative radiotherapy.\nThis patient died of rapid progressive locoregional relapse, no therapeutic options were available and the patient went home with the best supportive care.\nFive patients also had local recurrent disease (56%), which is higher than the recurrence rate of 17% for all SCs.\nMost of the patients with lymph node metastases were treated with lymph node dissections (n = 8), followed by postoperative radiotherapy in seven patients (Table 2). The patient with liver and bone metastases was treated with the best supportive care. Six of the patients with metastases died during follow‐up, of which only two patients died of disease. The median time from onset of metastases to death was 11 months (IQR, 2–73).", "The study was performed in accordance with the Declaration of Helsinki.", "Sebaceous carcinoma (SC) is a rare yet locally aggressive tumour of the sebaceous glands. This study combined data for (peri)ocular and nonocular SC and found that risk factors for recurrent SC are (peri)ocular tumour location and microscopically positive resections margins. SC has a relatively low potential to metastasize, resulting in a good overall survival." ]
[ null, null, null, null, null, null, null, null ]
[ "INTRODUCTION", "MATERIALS AND METHODS", "Patients inclusion and data collection", "Statistical analysis", "RESULTS", "Primary treatment", "Recurrence", "Metastases", "DISCUSSION", "CONCLUSION", "CONFLICT OF INTERESTS", "ETHICS STATEMENT", "SYNOPSIS" ]
[ "Sebaceous carcinoma (SC) is a rare malignant tumour of the sebaceous glands and only accounts for 0.7% of all cutaneous malignancies. SC has an incidence of 2:1.000.000 compared to an incidence of 164:1.000.000 for basal cell carcinoma in 2009 in the Netherlands.\n1\n, \n2\n It can occur at any site of the body where the glands are present, but are mostly found in the (peri)ocular area. The golden standard for treatment is wide local excision with a reported local recurrence rate of 4%–28%.\n2\n, \n3\n, \n4\n, \n5\n No standardised resection margins are described. Radiotherapy as primary treatment has a higher recurrence rate and, therefore, this is only used in patients refusing excision.\n2\n\n\nSince SC is mostly found in the periocular region, these lesions are often divided into (peri)ocular and extraocular SCs. To date, there are only (small) cases series and literature reviews analysing the outcome of this disease at all anatomical locations, all emphasising the scarcity of data, and the need for more studies.\n2\n, \n6\n The majority of these cases refer to (peri)ocular SC. Extraocular SC is associated with lower metastatic potential and consequently lower mortality in comparison to (peri)ocular SC. However, these conclusions are based on small case series and the results are contradicted by other case series.\n3\n, \n5\n, \n7\n\n\nWith an increased incidence of 3.31% annually in the US and only small cases series, or studies on (peri)ocular SC location, there is a need to better understand the prognosis and course of this disease.\n3\n Therefore, the aim of this study is to assess the rates of recurrence and metastases as well as survival and define prognostic factors for the outcome, for SC in all locations.", "Patients inclusion and data collection A retrospective study of patients diagnosed with SC between 1990 and 2017 in four referral centres was performed. This study was approved by the Institutional review board.\nThe four referral centres included were the Royal Marsden Hospital, London, United Kingdom; Netherlands Cancer Institute, Amsterdam, The Netherlands; Erasmus MC, Rotterdam, The Netherlands; and The Rotterdam Eye Hospital, Rotterdam, The Netherlands.\nOnly those patients with confirmed SC by a pathologist of the referral center were included. Patient demographics and clinical characteristics were obtained from patient files. Radical resections were defined as clear pathological margins of >1 mm. The last clinical visit or telephone call was noted as the last follow‐up date. Age was calculated from the date of diagnosis. Time to recurrence, metastases, and follow‐up were calculated after the date of first treatment. The primary treatment was noted as the first treatment after pathological confirmation of SC. For the ocular SCs, some patients had a history of treatments going back multiple years, for chalazion, basal cell carcinoma, or squamous cell carcinoma, however without pathological confirmation of SC. Therefore, these treatments are not taken into account in the analyses. Seven patients were excluded due to the lack of treatment records.\nA retrospective study of patients diagnosed with SC between 1990 and 2017 in four referral centres was performed. This study was approved by the Institutional review board.\nThe four referral centres included were the Royal Marsden Hospital, London, United Kingdom; Netherlands Cancer Institute, Amsterdam, The Netherlands; Erasmus MC, Rotterdam, The Netherlands; and The Rotterdam Eye Hospital, Rotterdam, The Netherlands.\nOnly those patients with confirmed SC by a pathologist of the referral center were included. Patient demographics and clinical characteristics were obtained from patient files. Radical resections were defined as clear pathological margins of >1 mm. The last clinical visit or telephone call was noted as the last follow‐up date. Age was calculated from the date of diagnosis. Time to recurrence, metastases, and follow‐up were calculated after the date of first treatment. The primary treatment was noted as the first treatment after pathological confirmation of SC. For the ocular SCs, some patients had a history of treatments going back multiple years, for chalazion, basal cell carcinoma, or squamous cell carcinoma, however without pathological confirmation of SC. Therefore, these treatments are not taken into account in the analyses. Seven patients were excluded due to the lack of treatment records.\nStatistical analysis IBM SPSS statistics 25 and R (R Core Team, 2019)\n8\n were used for the statistical analyses. Recurrence rates were calculated using the cumulative incidence curves (CICs) accounting for competing risks. Differences between CICs were calculated using Gray's test,\n9\n due to the small sample size multivariate analyses were not conducted. In addition, due to the small number of metastases, no statistical analysis on risk factors for metastases was conducted. Median survival was crudely derived using the Kaplan–Meier curve for descriptive purposes.\nIBM SPSS statistics 25 and R (R Core Team, 2019)\n8\n were used for the statistical analyses. Recurrence rates were calculated using the cumulative incidence curves (CICs) accounting for competing risks. Differences between CICs were calculated using Gray's test,\n9\n due to the small sample size multivariate analyses were not conducted. In addition, due to the small number of metastases, no statistical analysis on risk factors for metastases was conducted. Median survival was crudely derived using the Kaplan–Meier curve for descriptive purposes.", "A retrospective study of patients diagnosed with SC between 1990 and 2017 in four referral centres was performed. This study was approved by the Institutional review board.\nThe four referral centres included were the Royal Marsden Hospital, London, United Kingdom; Netherlands Cancer Institute, Amsterdam, The Netherlands; Erasmus MC, Rotterdam, The Netherlands; and The Rotterdam Eye Hospital, Rotterdam, The Netherlands.\nOnly those patients with confirmed SC by a pathologist of the referral center were included. Patient demographics and clinical characteristics were obtained from patient files. Radical resections were defined as clear pathological margins of >1 mm. The last clinical visit or telephone call was noted as the last follow‐up date. Age was calculated from the date of diagnosis. Time to recurrence, metastases, and follow‐up were calculated after the date of first treatment. The primary treatment was noted as the first treatment after pathological confirmation of SC. For the ocular SCs, some patients had a history of treatments going back multiple years, for chalazion, basal cell carcinoma, or squamous cell carcinoma, however without pathological confirmation of SC. Therefore, these treatments are not taken into account in the analyses. Seven patients were excluded due to the lack of treatment records.", "IBM SPSS statistics 25 and R (R Core Team, 2019)\n8\n were used for the statistical analyses. Recurrence rates were calculated using the cumulative incidence curves (CICs) accounting for competing risks. Differences between CICs were calculated using Gray's test,\n9\n due to the small sample size multivariate analyses were not conducted. In addition, due to the small number of metastases, no statistical analysis on risk factors for metastases was conducted. Median survival was crudely derived using the Kaplan–Meier curve for descriptive purposes.", "A total of 100 patients were included with 103 SCs. Most patients were treated in the Rotterdam Eye Hospital (N = 39), followed by the Erasmus MC (n = 30), the Netherlands Cancer Institute (n = 18), and the Royal Marsden Hospital (N = 16). The median age was 72 years (range, 15–95) with a median follow‐up of 52 months (interquartile range [IQR], 24–93). A total of 57 patients were male (57%) and most SCs were located in the periocular region (50.5%) followed by head and neck locations (32.0%). Seven patients had SCs located on the trunk (6.8%), seven on the extremities (6.8%), and two SCs were located in the genital region (1.9%).\nSeven patients were proven to have Muir–Torre syndrome (7%), with a total of 9 SCs, almost all extraocular SCs (n = 8) (Table 1). One patient aged 15 had a concurrent diagnosis of xeroderma pigmentosum. Two patients required long‐term immunosuppressive drugs for kidney and heart transplantation. Three patients had a history of the hematological disease, and 17 patients had a history of other skin cancers (16%), of which three patients had a history of melanoma and one patient had a Merkel cell carcinoma.\nPatients, tumour, and treatment characteristics\nAbbreviations: C, χ\n2 test; F, Fisher exact test; T, independent sample T‐test.\nFor two patients, the tumour location was unknown.\nUnfortunately, data regarding the differentiation grade (n = 38) and thickness of the SCs (n = 29) were only available in a minority of the patients. Fourteen (of 38) patients had a well‐differentiated SC (36.8%), 8/38 a moderately differentiated (21.1%), and 16/38 patients had a poorly differentiated SC (42.1%). The median thickness was 5 mm (range, 1.2–11). The extraocular tumours were significantly larger than the ocular tumours (p < 0.001) and showed a trend towards more male prevalence (p = 0.07) (Table 1).\nPrimary treatment All patients underwent surgical resection of their SC: four patients with ocular SCs were first treated with mitomycin C eye drops for the conjunctival in situ component. Eight patients underwent immediate orbital exenteration of the eye. None of the extraocular SCs were preoperatively treated. A total of 19.4% of the excisional specimens had positive microscopic margins (R1 resections) (n = 20). Four patients with incompletely excised SCs received postoperative radiotherapy, and eight patients were postoperatively treated with mitomycin C eye drops to treat the remaining conjunctival in situ growth. Five patients had pathological margins less than 1 mm and were defined as R1 resections but did not receive postoperative treatment.\nAll patients underwent surgical resection of their SC: four patients with ocular SCs were first treated with mitomycin C eye drops for the conjunctival in situ component. Eight patients underwent immediate orbital exenteration of the eye. None of the extraocular SCs were preoperatively treated. A total of 19.4% of the excisional specimens had positive microscopic margins (R1 resections) (n = 20). Four patients with incompletely excised SCs received postoperative radiotherapy, and eight patients were postoperatively treated with mitomycin C eye drops to treat the remaining conjunctival in situ growth. Five patients had pathological margins less than 1 mm and were defined as R1 resections but did not receive postoperative treatment.\nRecurrence Of all SCs, 17 locally recurred (16.5%): Half of these patients had a previous R1 resection. The median time to recurrence was 19 months (IQR, 8–29). The cumulative incidence probability for recurrence was significantly higher for (peri)ocular tumours compared to extraocular tumours (p = 0.005), and for positive resection margins compared to clear resection margins (p = 0.001) (Figure 1). The cumulative incidence probability for recurrence was not influenced by the size of the primary tumour (p = 0.57). Interestingly, none of the immunosuppressed patients or patients with Muir–Torre developed a recurrence.\nCummulative incidence curves\nFifteen patients were treated surgically of which seven patients with (peri)ocular SC underwent an orbital exenteration. Lokal chemotherapy for the recurrent disease was used in three patients for ocular SC: mitomycin C eye drops (n = 2) and interferon eye drops (n = 1). Postoperative radiotherapy for recurrence was used in two patients. Two patients did not want any further treatment for their recurrent disease, due to age and comorbidities. The 5‐ and 10‐year cumulative incidence for recurrence was 15.3% and 21.3%, respectively.\nOf all SCs, 17 locally recurred (16.5%): Half of these patients had a previous R1 resection. The median time to recurrence was 19 months (IQR, 8–29). The cumulative incidence probability for recurrence was significantly higher for (peri)ocular tumours compared to extraocular tumours (p = 0.005), and for positive resection margins compared to clear resection margins (p = 0.001) (Figure 1). The cumulative incidence probability for recurrence was not influenced by the size of the primary tumour (p = 0.57). Interestingly, none of the immunosuppressed patients or patients with Muir–Torre developed a recurrence.\nCummulative incidence curves\nFifteen patients were treated surgically of which seven patients with (peri)ocular SC underwent an orbital exenteration. Lokal chemotherapy for the recurrent disease was used in three patients for ocular SC: mitomycin C eye drops (n = 2) and interferon eye drops (n = 1). Postoperative radiotherapy for recurrence was used in two patients. Two patients did not want any further treatment for their recurrent disease, due to age and comorbidities. The 5‐ and 10‐year cumulative incidence for recurrence was 15.3% and 21.3%, respectively.\nMetastases Nine patients (8.7%) developed regional and/or distant metastasis during follow‐up with a median age of 69 years (range, 53–93) and a median time to metastasis of 8 months (IQR, 0.5–28) (Table 2). Two patients had metastases at presentation and additional seven patients developed metastases during follow‐up. Five of these patients had ocular SC and four patients had extraocular SC, all located in the head and neck region. All patients had regional lymph node metastases with three patients also having in‐transit metastases. One of these three patients developed liver and bone metastases during follow‐up 2 months after the primary treatment. None of the patients underwent sentinel lymph node biopsy. None of the well‐differentiated tumours, or tumours <10 mm metastasised. In addition, none of the immunosuppressed patients or patients with Muir–Torre developed metastases.\nCharacteristics of patients with metastases\nAbbreviations: DND, death not related to disease; DOD, death of disease; F, female; M, male; PORT, postoperative radiotherapy.\nThis patient died of rapid progressive locoregional relapse, no therapeutic options were available and the patient went home with the best supportive care.\nFive patients also had local recurrent disease (56%), which is higher than the recurrence rate of 17% for all SCs.\nMost of the patients with lymph node metastases were treated with lymph node dissections (n = 8), followed by postoperative radiotherapy in seven patients (Table 2). The patient with liver and bone metastases was treated with the best supportive care. Six of the patients with metastases died during follow‐up, of which only two patients died of disease. The median time from onset of metastases to death was 11 months (IQR, 2–73).\nNine patients (8.7%) developed regional and/or distant metastasis during follow‐up with a median age of 69 years (range, 53–93) and a median time to metastasis of 8 months (IQR, 0.5–28) (Table 2). Two patients had metastases at presentation and additional seven patients developed metastases during follow‐up. Five of these patients had ocular SC and four patients had extraocular SC, all located in the head and neck region. All patients had regional lymph node metastases with three patients also having in‐transit metastases. One of these three patients developed liver and bone metastases during follow‐up 2 months after the primary treatment. None of the patients underwent sentinel lymph node biopsy. None of the well‐differentiated tumours, or tumours <10 mm metastasised. In addition, none of the immunosuppressed patients or patients with Muir–Torre developed metastases.\nCharacteristics of patients with metastases\nAbbreviations: DND, death not related to disease; DOD, death of disease; F, female; M, male; PORT, postoperative radiotherapy.\nThis patient died of rapid progressive locoregional relapse, no therapeutic options were available and the patient went home with the best supportive care.\nFive patients also had local recurrent disease (56%), which is higher than the recurrence rate of 17% for all SCs.\nMost of the patients with lymph node metastases were treated with lymph node dissections (n = 8), followed by postoperative radiotherapy in seven patients (Table 2). The patient with liver and bone metastases was treated with the best supportive care. Six of the patients with metastases died during follow‐up, of which only two patients died of disease. The median time from onset of metastases to death was 11 months (IQR, 2–73).", "All patients underwent surgical resection of their SC: four patients with ocular SCs were first treated with mitomycin C eye drops for the conjunctival in situ component. Eight patients underwent immediate orbital exenteration of the eye. None of the extraocular SCs were preoperatively treated. A total of 19.4% of the excisional specimens had positive microscopic margins (R1 resections) (n = 20). Four patients with incompletely excised SCs received postoperative radiotherapy, and eight patients were postoperatively treated with mitomycin C eye drops to treat the remaining conjunctival in situ growth. Five patients had pathological margins less than 1 mm and were defined as R1 resections but did not receive postoperative treatment.", "Of all SCs, 17 locally recurred (16.5%): Half of these patients had a previous R1 resection. The median time to recurrence was 19 months (IQR, 8–29). The cumulative incidence probability for recurrence was significantly higher for (peri)ocular tumours compared to extraocular tumours (p = 0.005), and for positive resection margins compared to clear resection margins (p = 0.001) (Figure 1). The cumulative incidence probability for recurrence was not influenced by the size of the primary tumour (p = 0.57). Interestingly, none of the immunosuppressed patients or patients with Muir–Torre developed a recurrence.\nCummulative incidence curves\nFifteen patients were treated surgically of which seven patients with (peri)ocular SC underwent an orbital exenteration. Lokal chemotherapy for the recurrent disease was used in three patients for ocular SC: mitomycin C eye drops (n = 2) and interferon eye drops (n = 1). Postoperative radiotherapy for recurrence was used in two patients. Two patients did not want any further treatment for their recurrent disease, due to age and comorbidities. The 5‐ and 10‐year cumulative incidence for recurrence was 15.3% and 21.3%, respectively.", "Nine patients (8.7%) developed regional and/or distant metastasis during follow‐up with a median age of 69 years (range, 53–93) and a median time to metastasis of 8 months (IQR, 0.5–28) (Table 2). Two patients had metastases at presentation and additional seven patients developed metastases during follow‐up. Five of these patients had ocular SC and four patients had extraocular SC, all located in the head and neck region. All patients had regional lymph node metastases with three patients also having in‐transit metastases. One of these three patients developed liver and bone metastases during follow‐up 2 months after the primary treatment. None of the patients underwent sentinel lymph node biopsy. None of the well‐differentiated tumours, or tumours <10 mm metastasised. In addition, none of the immunosuppressed patients or patients with Muir–Torre developed metastases.\nCharacteristics of patients with metastases\nAbbreviations: DND, death not related to disease; DOD, death of disease; F, female; M, male; PORT, postoperative radiotherapy.\nThis patient died of rapid progressive locoregional relapse, no therapeutic options were available and the patient went home with the best supportive care.\nFive patients also had local recurrent disease (56%), which is higher than the recurrence rate of 17% for all SCs.\nMost of the patients with lymph node metastases were treated with lymph node dissections (n = 8), followed by postoperative radiotherapy in seven patients (Table 2). The patient with liver and bone metastases was treated with the best supportive care. Six of the patients with metastases died during follow‐up, of which only two patients died of disease. The median time from onset of metastases to death was 11 months (IQR, 2–73).", "This multicentre study of 103 SCs described the outcome after treatment for SC. Risk factors for local recurrence were positive resection margins and (peri)ocular tumour location. A total of nine patients developed metastases, all with tumour >1 cm.\nAll primary SCs were treated with excision which is in line with the published literature defining surgery as the golden standard wherein a surgical margin of at least 5 mm is advised for the ocular SCs.\n10\n, \n11\n, \n12\n SC is thought to occasionally display skip areas histologically, and because the Mohs technique relies on contiguous growth, theoretically, wide excision with 5‐ to 6‐mm margins in all cases might provide a higher cure rate.\n13\n However, wide surgical margins conflict with the aim to preserve a functional eye. At present, no guidelines or recommendations for the width of the surgical margin for extraocular SC are available.\n10\n, \n11\n, \n12\n\n\nOur results support higher local recurrence rates after positive resection margins and for (peri)ocular SCs. All published literature on risk factors for recurrences is based on ocular SCs. Haber et al.\n14\n found a recurrence rate of 16.6% for extraocular SC without analysing risk factors for recurrence. In the ocular region, a higher tumour stage, intraepithelial neoplasia, and an initial (benign) misdiagnosis are described as risk factors for recurrences.\n15\n, \n16\n\n\nThis study observed a total metastasis rate of 8.7%, all involving the regional lymph nodes. The metastasis rate in most recent literature varies from 2.4% to 12%.\n3\n, \n5\n, \n6\n Tryggvason et al.\n7\n found a higher metastatic rate (regional or distant) in ocular SCs (4.4%) compared to extraocular sites (1.4%) only focusing on head and neck locations. In contrast, two publications including all SCs, based on the SEER database, suggest a higher prevalence of metastases in ocular SC, but a better overall survival for ocular SC.\n3\n, \n5\n Other studies showed that metastasis rates are associated with poor differentiation, larger tumour size, and increased tumour depth.\n7\n, \n17\n, \n18\n In this study, none of the well‐differentiated tumours metastasised, although the differentiation state of many patients was unknown. Furthermore, not a single SC <10 mm in size metastasised, which is in line with the study by Lam et al.\n11\n who also did not find any metastases in tumours <10 mm in the ocular region.\nIn literature to date, only 30 cases of metastatic extraocular SC have been described. The most common site of metastasis including all locations were lymph nodes only (40%), lymph nodes and visceral organ (20%), visceral organs only (16%), and local spread (12%).\n10\n, \n19\n, \n20\n In this series, the one patient with bone and liver metastases was treated with the best supportive care, all other lymph node metastases were treated with lymph node dissection. Due to the lack of literature on metastatic SC, optimal treatment has not been firmly established. Literature on lymph node involvement for SC recommends adjuvant radiotherapy after lymph node dissection.\n6\n, \n21\n Evidence for the treatment with systemic chemotherapy or chemoradiation is confined to case reports whereby the treatment regimens are based on other types of head and neck cancers and consist of 5‐fluorouracil or cisplatin‐based chemotherapy.\n2\n, \n22\n On the basis of the assumption that cases associated with Muir–Torre and microsatellite instability are likely to respond to immunotherapy. Domingo‐Misbay et al.\n23\n published a case report of pembrolizumab in metastatic SC with a durable ongoing response. In addition, Kodali et al.\n24\n also report a case with the inoperable recurrent disease with lymph node involvement, treated with carboplatin with pembrolizumab showing complete response with 15 months follow‐up. As sporadic SC also have recurrent acquired somatic DNA mismatch repair (MMR) gene mutations, immunotherapy may also hold promise for these patients. Loss of function of MMR genes can easily be examined in individual cases by immunohistochemical methods.\nFor the follow‐up of SC, no standard guidelines are available. One recent guideline recommends follow‐up every 6 months for the first 3 years and thereafter yearly consultations.\n25\n In our study, no patients had lung metastases and in the literature on extraocular SC only five patients developed lung metastases, making routine chest imaging redundant.\n10\n, \n19\n, \n20\n In this study, the median time to development of metastatic disease was 8 months, with the development of metastases documented up to 45 months after the primary SC. In literature metastases, up to 11 years after primary SC are described.\n6\n Therefore long‐term clinical follow‐up seems indicated.\nA baseline ultrasound of the locoregional lymph nodes could be considered in poorly differentiated tumours, tumours >10 mm, or recurrent disease.\nIn this study, seven patients with SC had Muir–Torre syndrome, of which most (eight of nine) SCs were extraocularly located. Occasionally patients with Muir–Torre have developed (peri)ocular SC,\n26\n but Muir–Torre is more associated with extraocular SC.\n10\n Muir–Torre is a variant of the Lynch syndrome, causing patients to develop different malignancies and the presence of at least one sebaceous neoplasm or keratoacanthoma.\n27\n Adan et al.\n27\n found a 12‐fold increased risk of developing squamous cell carcinoma and SC in patients with Lynch syndrome and therefore advise a consultation with a dermatologist as soon as a germline mutation is noted. Further dermatological follow‐up should be recommended as soon as a malignant skin tumour is detected.\n27\n Patients with SC, especially in the extraocular region with or without visceral malignancies should be suspected of Muir–Torre syndrome. A relatively simple immunohistochemical test can be used for initial screening in such cases.\n28\n An article by North et al.\n29\n illustrates that SC can arise from different mutational mechanisms, whereby the UV damaged group has more poorly differentiated SCs in comparison to the Muir–Torre group.\nDue to the retrospective nature of this study, caution should be taken in interpreting these results. As with any retrospective study, the investigator depends on the availability and accuracy of the medical record. This study includes patients referred to tertiary hospitals including an eye hospital which can cause a bias in the prevalence per tumour location. However, when compared to the literature, (peri)ocular tumour location is also described as the most prevalent anatomic region for SC. Only including tertiary centres in the analysis could potentially bias your results. Given that most rare cancer will be referred to tertiary centres, it is plausible that this bias is less significant for SC. Although this is a large series in the field, caution should also be exercised regarding the conclusions drawn, due to the relatively small patient population in this study. On the other hand, this is one of the first and largest studies describing the natural history and metastatic pattern of SC and risk factors for recurrence.", "Altogether, SC is a very rare, yet locally aggressive tumour in the elderly patient population. Patients with positive resection margins and (peri)ocular tumour location are more frequently associated with a local recurrence. Patients with SC infrequently present with locoregional or distant metastases, resulting in a good overall survival.", "The authors declare that there are no conflict of interests.", "The study was performed in accordance with the Declaration of Helsinki.", "Sebaceous carcinoma (SC) is a rare yet locally aggressive tumour of the sebaceous glands. This study combined data for (peri)ocular and nonocular SC and found that risk factors for recurrent SC are (peri)ocular tumour location and microscopically positive resections margins. SC has a relatively low potential to metastasize, resulting in a good overall survival." ]
[ null, "materials-and-methods", null, null, "results", null, null, null, "discussion", "conclusions", "COI-statement", null, null ]
[ "rare cutaneous malignancy", "sebaceous carcinoma", "sebaceous gland", "skin cancer" ]
INTRODUCTION: Sebaceous carcinoma (SC) is a rare malignant tumour of the sebaceous glands and only accounts for 0.7% of all cutaneous malignancies. SC has an incidence of 2:1.000.000 compared to an incidence of 164:1.000.000 for basal cell carcinoma in 2009 in the Netherlands. 1 , 2 It can occur at any site of the body where the glands are present, but are mostly found in the (peri)ocular area. The golden standard for treatment is wide local excision with a reported local recurrence rate of 4%–28%. 2 , 3 , 4 , 5 No standardised resection margins are described. Radiotherapy as primary treatment has a higher recurrence rate and, therefore, this is only used in patients refusing excision. 2 Since SC is mostly found in the periocular region, these lesions are often divided into (peri)ocular and extraocular SCs. To date, there are only (small) cases series and literature reviews analysing the outcome of this disease at all anatomical locations, all emphasising the scarcity of data, and the need for more studies. 2 , 6 The majority of these cases refer to (peri)ocular SC. Extraocular SC is associated with lower metastatic potential and consequently lower mortality in comparison to (peri)ocular SC. However, these conclusions are based on small case series and the results are contradicted by other case series. 3 , 5 , 7 With an increased incidence of 3.31% annually in the US and only small cases series, or studies on (peri)ocular SC location, there is a need to better understand the prognosis and course of this disease. 3 Therefore, the aim of this study is to assess the rates of recurrence and metastases as well as survival and define prognostic factors for the outcome, for SC in all locations. MATERIALS AND METHODS: Patients inclusion and data collection A retrospective study of patients diagnosed with SC between 1990 and 2017 in four referral centres was performed. This study was approved by the Institutional review board. The four referral centres included were the Royal Marsden Hospital, London, United Kingdom; Netherlands Cancer Institute, Amsterdam, The Netherlands; Erasmus MC, Rotterdam, The Netherlands; and The Rotterdam Eye Hospital, Rotterdam, The Netherlands. Only those patients with confirmed SC by a pathologist of the referral center were included. Patient demographics and clinical characteristics were obtained from patient files. Radical resections were defined as clear pathological margins of >1 mm. The last clinical visit or telephone call was noted as the last follow‐up date. Age was calculated from the date of diagnosis. Time to recurrence, metastases, and follow‐up were calculated after the date of first treatment. The primary treatment was noted as the first treatment after pathological confirmation of SC. For the ocular SCs, some patients had a history of treatments going back multiple years, for chalazion, basal cell carcinoma, or squamous cell carcinoma, however without pathological confirmation of SC. Therefore, these treatments are not taken into account in the analyses. Seven patients were excluded due to the lack of treatment records. A retrospective study of patients diagnosed with SC between 1990 and 2017 in four referral centres was performed. This study was approved by the Institutional review board. The four referral centres included were the Royal Marsden Hospital, London, United Kingdom; Netherlands Cancer Institute, Amsterdam, The Netherlands; Erasmus MC, Rotterdam, The Netherlands; and The Rotterdam Eye Hospital, Rotterdam, The Netherlands. Only those patients with confirmed SC by a pathologist of the referral center were included. Patient demographics and clinical characteristics were obtained from patient files. Radical resections were defined as clear pathological margins of >1 mm. The last clinical visit or telephone call was noted as the last follow‐up date. Age was calculated from the date of diagnosis. Time to recurrence, metastases, and follow‐up were calculated after the date of first treatment. The primary treatment was noted as the first treatment after pathological confirmation of SC. For the ocular SCs, some patients had a history of treatments going back multiple years, for chalazion, basal cell carcinoma, or squamous cell carcinoma, however without pathological confirmation of SC. Therefore, these treatments are not taken into account in the analyses. Seven patients were excluded due to the lack of treatment records. Statistical analysis IBM SPSS statistics 25 and R (R Core Team, 2019) 8 were used for the statistical analyses. Recurrence rates were calculated using the cumulative incidence curves (CICs) accounting for competing risks. Differences between CICs were calculated using Gray's test, 9 due to the small sample size multivariate analyses were not conducted. In addition, due to the small number of metastases, no statistical analysis on risk factors for metastases was conducted. Median survival was crudely derived using the Kaplan–Meier curve for descriptive purposes. IBM SPSS statistics 25 and R (R Core Team, 2019) 8 were used for the statistical analyses. Recurrence rates were calculated using the cumulative incidence curves (CICs) accounting for competing risks. Differences between CICs were calculated using Gray's test, 9 due to the small sample size multivariate analyses were not conducted. In addition, due to the small number of metastases, no statistical analysis on risk factors for metastases was conducted. Median survival was crudely derived using the Kaplan–Meier curve for descriptive purposes. Patients inclusion and data collection: A retrospective study of patients diagnosed with SC between 1990 and 2017 in four referral centres was performed. This study was approved by the Institutional review board. The four referral centres included were the Royal Marsden Hospital, London, United Kingdom; Netherlands Cancer Institute, Amsterdam, The Netherlands; Erasmus MC, Rotterdam, The Netherlands; and The Rotterdam Eye Hospital, Rotterdam, The Netherlands. Only those patients with confirmed SC by a pathologist of the referral center were included. Patient demographics and clinical characteristics were obtained from patient files. Radical resections were defined as clear pathological margins of >1 mm. The last clinical visit or telephone call was noted as the last follow‐up date. Age was calculated from the date of diagnosis. Time to recurrence, metastases, and follow‐up were calculated after the date of first treatment. The primary treatment was noted as the first treatment after pathological confirmation of SC. For the ocular SCs, some patients had a history of treatments going back multiple years, for chalazion, basal cell carcinoma, or squamous cell carcinoma, however without pathological confirmation of SC. Therefore, these treatments are not taken into account in the analyses. Seven patients were excluded due to the lack of treatment records. Statistical analysis: IBM SPSS statistics 25 and R (R Core Team, 2019) 8 were used for the statistical analyses. Recurrence rates were calculated using the cumulative incidence curves (CICs) accounting for competing risks. Differences between CICs were calculated using Gray's test, 9 due to the small sample size multivariate analyses were not conducted. In addition, due to the small number of metastases, no statistical analysis on risk factors for metastases was conducted. Median survival was crudely derived using the Kaplan–Meier curve for descriptive purposes. RESULTS: A total of 100 patients were included with 103 SCs. Most patients were treated in the Rotterdam Eye Hospital (N = 39), followed by the Erasmus MC (n = 30), the Netherlands Cancer Institute (n = 18), and the Royal Marsden Hospital (N = 16). The median age was 72 years (range, 15–95) with a median follow‐up of 52 months (interquartile range [IQR], 24–93). A total of 57 patients were male (57%) and most SCs were located in the periocular region (50.5%) followed by head and neck locations (32.0%). Seven patients had SCs located on the trunk (6.8%), seven on the extremities (6.8%), and two SCs were located in the genital region (1.9%). Seven patients were proven to have Muir–Torre syndrome (7%), with a total of 9 SCs, almost all extraocular SCs (n = 8) (Table 1). One patient aged 15 had a concurrent diagnosis of xeroderma pigmentosum. Two patients required long‐term immunosuppressive drugs for kidney and heart transplantation. Three patients had a history of the hematological disease, and 17 patients had a history of other skin cancers (16%), of which three patients had a history of melanoma and one patient had a Merkel cell carcinoma. Patients, tumour, and treatment characteristics Abbreviations: C, χ 2 test; F, Fisher exact test; T, independent sample T‐test. For two patients, the tumour location was unknown. Unfortunately, data regarding the differentiation grade (n = 38) and thickness of the SCs (n = 29) were only available in a minority of the patients. Fourteen (of 38) patients had a well‐differentiated SC (36.8%), 8/38 a moderately differentiated (21.1%), and 16/38 patients had a poorly differentiated SC (42.1%). The median thickness was 5 mm (range, 1.2–11). The extraocular tumours were significantly larger than the ocular tumours (p < 0.001) and showed a trend towards more male prevalence (p = 0.07) (Table 1). Primary treatment All patients underwent surgical resection of their SC: four patients with ocular SCs were first treated with mitomycin C eye drops for the conjunctival in situ component. Eight patients underwent immediate orbital exenteration of the eye. None of the extraocular SCs were preoperatively treated. A total of 19.4% of the excisional specimens had positive microscopic margins (R1 resections) (n = 20). Four patients with incompletely excised SCs received postoperative radiotherapy, and eight patients were postoperatively treated with mitomycin C eye drops to treat the remaining conjunctival in situ growth. Five patients had pathological margins less than 1 mm and were defined as R1 resections but did not receive postoperative treatment. All patients underwent surgical resection of their SC: four patients with ocular SCs were first treated with mitomycin C eye drops for the conjunctival in situ component. Eight patients underwent immediate orbital exenteration of the eye. None of the extraocular SCs were preoperatively treated. A total of 19.4% of the excisional specimens had positive microscopic margins (R1 resections) (n = 20). Four patients with incompletely excised SCs received postoperative radiotherapy, and eight patients were postoperatively treated with mitomycin C eye drops to treat the remaining conjunctival in situ growth. Five patients had pathological margins less than 1 mm and were defined as R1 resections but did not receive postoperative treatment. Recurrence Of all SCs, 17 locally recurred (16.5%): Half of these patients had a previous R1 resection. The median time to recurrence was 19 months (IQR, 8–29). The cumulative incidence probability for recurrence was significantly higher for (peri)ocular tumours compared to extraocular tumours (p = 0.005), and for positive resection margins compared to clear resection margins (p = 0.001) (Figure 1). The cumulative incidence probability for recurrence was not influenced by the size of the primary tumour (p = 0.57). Interestingly, none of the immunosuppressed patients or patients with Muir–Torre developed a recurrence. Cummulative incidence curves Fifteen patients were treated surgically of which seven patients with (peri)ocular SC underwent an orbital exenteration. Lokal chemotherapy for the recurrent disease was used in three patients for ocular SC: mitomycin C eye drops (n = 2) and interferon eye drops (n = 1). Postoperative radiotherapy for recurrence was used in two patients. Two patients did not want any further treatment for their recurrent disease, due to age and comorbidities. The 5‐ and 10‐year cumulative incidence for recurrence was 15.3% and 21.3%, respectively. Of all SCs, 17 locally recurred (16.5%): Half of these patients had a previous R1 resection. The median time to recurrence was 19 months (IQR, 8–29). The cumulative incidence probability for recurrence was significantly higher for (peri)ocular tumours compared to extraocular tumours (p = 0.005), and for positive resection margins compared to clear resection margins (p = 0.001) (Figure 1). The cumulative incidence probability for recurrence was not influenced by the size of the primary tumour (p = 0.57). Interestingly, none of the immunosuppressed patients or patients with Muir–Torre developed a recurrence. Cummulative incidence curves Fifteen patients were treated surgically of which seven patients with (peri)ocular SC underwent an orbital exenteration. Lokal chemotherapy for the recurrent disease was used in three patients for ocular SC: mitomycin C eye drops (n = 2) and interferon eye drops (n = 1). Postoperative radiotherapy for recurrence was used in two patients. Two patients did not want any further treatment for their recurrent disease, due to age and comorbidities. The 5‐ and 10‐year cumulative incidence for recurrence was 15.3% and 21.3%, respectively. Metastases Nine patients (8.7%) developed regional and/or distant metastasis during follow‐up with a median age of 69 years (range, 53–93) and a median time to metastasis of 8 months (IQR, 0.5–28) (Table 2). Two patients had metastases at presentation and additional seven patients developed metastases during follow‐up. Five of these patients had ocular SC and four patients had extraocular SC, all located in the head and neck region. All patients had regional lymph node metastases with three patients also having in‐transit metastases. One of these three patients developed liver and bone metastases during follow‐up 2 months after the primary treatment. None of the patients underwent sentinel lymph node biopsy. None of the well‐differentiated tumours, or tumours <10 mm metastasised. In addition, none of the immunosuppressed patients or patients with Muir–Torre developed metastases. Characteristics of patients with metastases Abbreviations: DND, death not related to disease; DOD, death of disease; F, female; M, male; PORT, postoperative radiotherapy. This patient died of rapid progressive locoregional relapse, no therapeutic options were available and the patient went home with the best supportive care. Five patients also had local recurrent disease (56%), which is higher than the recurrence rate of 17% for all SCs. Most of the patients with lymph node metastases were treated with lymph node dissections (n = 8), followed by postoperative radiotherapy in seven patients (Table 2). The patient with liver and bone metastases was treated with the best supportive care. Six of the patients with metastases died during follow‐up, of which only two patients died of disease. The median time from onset of metastases to death was 11 months (IQR, 2–73). Nine patients (8.7%) developed regional and/or distant metastasis during follow‐up with a median age of 69 years (range, 53–93) and a median time to metastasis of 8 months (IQR, 0.5–28) (Table 2). Two patients had metastases at presentation and additional seven patients developed metastases during follow‐up. Five of these patients had ocular SC and four patients had extraocular SC, all located in the head and neck region. All patients had regional lymph node metastases with three patients also having in‐transit metastases. One of these three patients developed liver and bone metastases during follow‐up 2 months after the primary treatment. None of the patients underwent sentinel lymph node biopsy. None of the well‐differentiated tumours, or tumours <10 mm metastasised. In addition, none of the immunosuppressed patients or patients with Muir–Torre developed metastases. Characteristics of patients with metastases Abbreviations: DND, death not related to disease; DOD, death of disease; F, female; M, male; PORT, postoperative radiotherapy. This patient died of rapid progressive locoregional relapse, no therapeutic options were available and the patient went home with the best supportive care. Five patients also had local recurrent disease (56%), which is higher than the recurrence rate of 17% for all SCs. Most of the patients with lymph node metastases were treated with lymph node dissections (n = 8), followed by postoperative radiotherapy in seven patients (Table 2). The patient with liver and bone metastases was treated with the best supportive care. Six of the patients with metastases died during follow‐up, of which only two patients died of disease. The median time from onset of metastases to death was 11 months (IQR, 2–73). Primary treatment: All patients underwent surgical resection of their SC: four patients with ocular SCs were first treated with mitomycin C eye drops for the conjunctival in situ component. Eight patients underwent immediate orbital exenteration of the eye. None of the extraocular SCs were preoperatively treated. A total of 19.4% of the excisional specimens had positive microscopic margins (R1 resections) (n = 20). Four patients with incompletely excised SCs received postoperative radiotherapy, and eight patients were postoperatively treated with mitomycin C eye drops to treat the remaining conjunctival in situ growth. Five patients had pathological margins less than 1 mm and were defined as R1 resections but did not receive postoperative treatment. Recurrence: Of all SCs, 17 locally recurred (16.5%): Half of these patients had a previous R1 resection. The median time to recurrence was 19 months (IQR, 8–29). The cumulative incidence probability for recurrence was significantly higher for (peri)ocular tumours compared to extraocular tumours (p = 0.005), and for positive resection margins compared to clear resection margins (p = 0.001) (Figure 1). The cumulative incidence probability for recurrence was not influenced by the size of the primary tumour (p = 0.57). Interestingly, none of the immunosuppressed patients or patients with Muir–Torre developed a recurrence. Cummulative incidence curves Fifteen patients were treated surgically of which seven patients with (peri)ocular SC underwent an orbital exenteration. Lokal chemotherapy for the recurrent disease was used in three patients for ocular SC: mitomycin C eye drops (n = 2) and interferon eye drops (n = 1). Postoperative radiotherapy for recurrence was used in two patients. Two patients did not want any further treatment for their recurrent disease, due to age and comorbidities. The 5‐ and 10‐year cumulative incidence for recurrence was 15.3% and 21.3%, respectively. Metastases: Nine patients (8.7%) developed regional and/or distant metastasis during follow‐up with a median age of 69 years (range, 53–93) and a median time to metastasis of 8 months (IQR, 0.5–28) (Table 2). Two patients had metastases at presentation and additional seven patients developed metastases during follow‐up. Five of these patients had ocular SC and four patients had extraocular SC, all located in the head and neck region. All patients had regional lymph node metastases with three patients also having in‐transit metastases. One of these three patients developed liver and bone metastases during follow‐up 2 months after the primary treatment. None of the patients underwent sentinel lymph node biopsy. None of the well‐differentiated tumours, or tumours <10 mm metastasised. In addition, none of the immunosuppressed patients or patients with Muir–Torre developed metastases. Characteristics of patients with metastases Abbreviations: DND, death not related to disease; DOD, death of disease; F, female; M, male; PORT, postoperative radiotherapy. This patient died of rapid progressive locoregional relapse, no therapeutic options were available and the patient went home with the best supportive care. Five patients also had local recurrent disease (56%), which is higher than the recurrence rate of 17% for all SCs. Most of the patients with lymph node metastases were treated with lymph node dissections (n = 8), followed by postoperative radiotherapy in seven patients (Table 2). The patient with liver and bone metastases was treated with the best supportive care. Six of the patients with metastases died during follow‐up, of which only two patients died of disease. The median time from onset of metastases to death was 11 months (IQR, 2–73). DISCUSSION: This multicentre study of 103 SCs described the outcome after treatment for SC. Risk factors for local recurrence were positive resection margins and (peri)ocular tumour location. A total of nine patients developed metastases, all with tumour >1 cm. All primary SCs were treated with excision which is in line with the published literature defining surgery as the golden standard wherein a surgical margin of at least 5 mm is advised for the ocular SCs. 10 , 11 , 12 SC is thought to occasionally display skip areas histologically, and because the Mohs technique relies on contiguous growth, theoretically, wide excision with 5‐ to 6‐mm margins in all cases might provide a higher cure rate. 13 However, wide surgical margins conflict with the aim to preserve a functional eye. At present, no guidelines or recommendations for the width of the surgical margin for extraocular SC are available. 10 , 11 , 12 Our results support higher local recurrence rates after positive resection margins and for (peri)ocular SCs. All published literature on risk factors for recurrences is based on ocular SCs. Haber et al. 14 found a recurrence rate of 16.6% for extraocular SC without analysing risk factors for recurrence. In the ocular region, a higher tumour stage, intraepithelial neoplasia, and an initial (benign) misdiagnosis are described as risk factors for recurrences. 15 , 16 This study observed a total metastasis rate of 8.7%, all involving the regional lymph nodes. The metastasis rate in most recent literature varies from 2.4% to 12%. 3 , 5 , 6 Tryggvason et al. 7 found a higher metastatic rate (regional or distant) in ocular SCs (4.4%) compared to extraocular sites (1.4%) only focusing on head and neck locations. In contrast, two publications including all SCs, based on the SEER database, suggest a higher prevalence of metastases in ocular SC, but a better overall survival for ocular SC. 3 , 5 Other studies showed that metastasis rates are associated with poor differentiation, larger tumour size, and increased tumour depth. 7 , 17 , 18 In this study, none of the well‐differentiated tumours metastasised, although the differentiation state of many patients was unknown. Furthermore, not a single SC <10 mm in size metastasised, which is in line with the study by Lam et al. 11 who also did not find any metastases in tumours <10 mm in the ocular region. In literature to date, only 30 cases of metastatic extraocular SC have been described. The most common site of metastasis including all locations were lymph nodes only (40%), lymph nodes and visceral organ (20%), visceral organs only (16%), and local spread (12%). 10 , 19 , 20 In this series, the one patient with bone and liver metastases was treated with the best supportive care, all other lymph node metastases were treated with lymph node dissection. Due to the lack of literature on metastatic SC, optimal treatment has not been firmly established. Literature on lymph node involvement for SC recommends adjuvant radiotherapy after lymph node dissection. 6 , 21 Evidence for the treatment with systemic chemotherapy or chemoradiation is confined to case reports whereby the treatment regimens are based on other types of head and neck cancers and consist of 5‐fluorouracil or cisplatin‐based chemotherapy. 2 , 22 On the basis of the assumption that cases associated with Muir–Torre and microsatellite instability are likely to respond to immunotherapy. Domingo‐Misbay et al. 23 published a case report of pembrolizumab in metastatic SC with a durable ongoing response. In addition, Kodali et al. 24 also report a case with the inoperable recurrent disease with lymph node involvement, treated with carboplatin with pembrolizumab showing complete response with 15 months follow‐up. As sporadic SC also have recurrent acquired somatic DNA mismatch repair (MMR) gene mutations, immunotherapy may also hold promise for these patients. Loss of function of MMR genes can easily be examined in individual cases by immunohistochemical methods. For the follow‐up of SC, no standard guidelines are available. One recent guideline recommends follow‐up every 6 months for the first 3 years and thereafter yearly consultations. 25 In our study, no patients had lung metastases and in the literature on extraocular SC only five patients developed lung metastases, making routine chest imaging redundant. 10 , 19 , 20 In this study, the median time to development of metastatic disease was 8 months, with the development of metastases documented up to 45 months after the primary SC. In literature metastases, up to 11 years after primary SC are described. 6 Therefore long‐term clinical follow‐up seems indicated. A baseline ultrasound of the locoregional lymph nodes could be considered in poorly differentiated tumours, tumours >10 mm, or recurrent disease. In this study, seven patients with SC had Muir–Torre syndrome, of which most (eight of nine) SCs were extraocularly located. Occasionally patients with Muir–Torre have developed (peri)ocular SC, 26 but Muir–Torre is more associated with extraocular SC. 10 Muir–Torre is a variant of the Lynch syndrome, causing patients to develop different malignancies and the presence of at least one sebaceous neoplasm or keratoacanthoma. 27 Adan et al. 27 found a 12‐fold increased risk of developing squamous cell carcinoma and SC in patients with Lynch syndrome and therefore advise a consultation with a dermatologist as soon as a germline mutation is noted. Further dermatological follow‐up should be recommended as soon as a malignant skin tumour is detected. 27 Patients with SC, especially in the extraocular region with or without visceral malignancies should be suspected of Muir–Torre syndrome. A relatively simple immunohistochemical test can be used for initial screening in such cases. 28 An article by North et al. 29 illustrates that SC can arise from different mutational mechanisms, whereby the UV damaged group has more poorly differentiated SCs in comparison to the Muir–Torre group. Due to the retrospective nature of this study, caution should be taken in interpreting these results. As with any retrospective study, the investigator depends on the availability and accuracy of the medical record. This study includes patients referred to tertiary hospitals including an eye hospital which can cause a bias in the prevalence per tumour location. However, when compared to the literature, (peri)ocular tumour location is also described as the most prevalent anatomic region for SC. Only including tertiary centres in the analysis could potentially bias your results. Given that most rare cancer will be referred to tertiary centres, it is plausible that this bias is less significant for SC. Although this is a large series in the field, caution should also be exercised regarding the conclusions drawn, due to the relatively small patient population in this study. On the other hand, this is one of the first and largest studies describing the natural history and metastatic pattern of SC and risk factors for recurrence. CONCLUSION: Altogether, SC is a very rare, yet locally aggressive tumour in the elderly patient population. Patients with positive resection margins and (peri)ocular tumour location are more frequently associated with a local recurrence. Patients with SC infrequently present with locoregional or distant metastases, resulting in a good overall survival. CONFLICT OF INTERESTS: The authors declare that there are no conflict of interests. ETHICS STATEMENT: The study was performed in accordance with the Declaration of Helsinki. SYNOPSIS: Sebaceous carcinoma (SC) is a rare yet locally aggressive tumour of the sebaceous glands. This study combined data for (peri)ocular and nonocular SC and found that risk factors for recurrent SC are (peri)ocular tumour location and microscopically positive resections margins. SC has a relatively low potential to metastasize, resulting in a good overall survival.
Background: Sebaceous carcinoma (SC) is a rare malignant tumour whereby, comprehensive long-term data are scarce. This study aimed to assess the outcome of patients treated with resection for SC. Methods: Patients treated at four tertiary centres were included. Cumulative incidence curves were calculated for recurrences. Results: A total of 100 patients (57 males, 57%) were included with 103 SCs. The median age was 72 (range, 15-95) years with a median follow-up of 52 (interquartile range [IQR], 24-93) months. Most SCs were located (peri)ocular (49.5%). Of all SCs, 17 locally recurred (16.5%) with a median time to recurrence of 19 (IQR, 8-29) months. The cumulative incidence probability for recurrence was statistically higher for (peri)ocular tumours (p = 0.005), and for positive resection margins (p = 0.001). Two patients presented with lymph node metastases and additional seven patients (8.7%) developed lymph node metastases during follow-up with a median time to metastases of 8 (IQR, 0.5-28) months. Three patients had concurrent in-transit metastases and one patient also developed liver and bone metastases during follow-up. Conclusions: SC is a rare, yet locally aggressive tumour. Positive resection margins and (peri)ocular SCs are more frequently associated with local recurrence. SC infrequently presents with locoregional or distant metastases.
INTRODUCTION: Sebaceous carcinoma (SC) is a rare malignant tumour of the sebaceous glands and only accounts for 0.7% of all cutaneous malignancies. SC has an incidence of 2:1.000.000 compared to an incidence of 164:1.000.000 for basal cell carcinoma in 2009 in the Netherlands. 1 , 2 It can occur at any site of the body where the glands are present, but are mostly found in the (peri)ocular area. The golden standard for treatment is wide local excision with a reported local recurrence rate of 4%–28%. 2 , 3 , 4 , 5 No standardised resection margins are described. Radiotherapy as primary treatment has a higher recurrence rate and, therefore, this is only used in patients refusing excision. 2 Since SC is mostly found in the periocular region, these lesions are often divided into (peri)ocular and extraocular SCs. To date, there are only (small) cases series and literature reviews analysing the outcome of this disease at all anatomical locations, all emphasising the scarcity of data, and the need for more studies. 2 , 6 The majority of these cases refer to (peri)ocular SC. Extraocular SC is associated with lower metastatic potential and consequently lower mortality in comparison to (peri)ocular SC. However, these conclusions are based on small case series and the results are contradicted by other case series. 3 , 5 , 7 With an increased incidence of 3.31% annually in the US and only small cases series, or studies on (peri)ocular SC location, there is a need to better understand the prognosis and course of this disease. 3 Therefore, the aim of this study is to assess the rates of recurrence and metastases as well as survival and define prognostic factors for the outcome, for SC in all locations. CONCLUSION: Altogether, SC is a very rare, yet locally aggressive tumour in the elderly patient population. Patients with positive resection margins and (peri)ocular tumour location are more frequently associated with a local recurrence. Patients with SC infrequently present with locoregional or distant metastases, resulting in a good overall survival.
Background: Sebaceous carcinoma (SC) is a rare malignant tumour whereby, comprehensive long-term data are scarce. This study aimed to assess the outcome of patients treated with resection for SC. Methods: Patients treated at four tertiary centres were included. Cumulative incidence curves were calculated for recurrences. Results: A total of 100 patients (57 males, 57%) were included with 103 SCs. The median age was 72 (range, 15-95) years with a median follow-up of 52 (interquartile range [IQR], 24-93) months. Most SCs were located (peri)ocular (49.5%). Of all SCs, 17 locally recurred (16.5%) with a median time to recurrence of 19 (IQR, 8-29) months. The cumulative incidence probability for recurrence was statistically higher for (peri)ocular tumours (p = 0.005), and for positive resection margins (p = 0.001). Two patients presented with lymph node metastases and additional seven patients (8.7%) developed lymph node metastases during follow-up with a median time to metastases of 8 (IQR, 0.5-28) months. Three patients had concurrent in-transit metastases and one patient also developed liver and bone metastases during follow-up. Conclusions: SC is a rare, yet locally aggressive tumour. Positive resection margins and (peri)ocular SCs are more frequently associated with local recurrence. SC infrequently presents with locoregional or distant metastases.
5,482
288
[ 351, 233, 103, 126, 231, 336, 12, 62 ]
13
[ "patients", "sc", "metastases", "ocular", "recurrence", "scs", "treatment", "disease", "follow", "treated" ]
[ "sebaceous neoplasm", "synopsis sebaceous carcinoma", "tumour sebaceous glands", "sebaceous neoplasm keratoacanthoma", "sebaceous carcinoma sc" ]
null
[CONTENT] rare cutaneous malignancy | sebaceous carcinoma | sebaceous gland | skin cancer [SUMMARY]
null
[CONTENT] rare cutaneous malignancy | sebaceous carcinoma | sebaceous gland | skin cancer [SUMMARY]
[CONTENT] rare cutaneous malignancy | sebaceous carcinoma | sebaceous gland | skin cancer [SUMMARY]
[CONTENT] rare cutaneous malignancy | sebaceous carcinoma | sebaceous gland | skin cancer [SUMMARY]
[CONTENT] rare cutaneous malignancy | sebaceous carcinoma | sebaceous gland | skin cancer [SUMMARY]
[CONTENT] Adenocarcinoma, Sebaceous | Adolescent | Adult | Aged | Aged, 80 and over | Eye Neoplasms | Female | Follow-Up Studies | Humans | Lymphatic Metastasis | Male | Middle Aged | Neoplasm Recurrence, Local | Prognosis | Retrospective Studies | Sebaceous Gland Neoplasms | Young Adult [SUMMARY]
null
[CONTENT] Adenocarcinoma, Sebaceous | Adolescent | Adult | Aged | Aged, 80 and over | Eye Neoplasms | Female | Follow-Up Studies | Humans | Lymphatic Metastasis | Male | Middle Aged | Neoplasm Recurrence, Local | Prognosis | Retrospective Studies | Sebaceous Gland Neoplasms | Young Adult [SUMMARY]
[CONTENT] Adenocarcinoma, Sebaceous | Adolescent | Adult | Aged | Aged, 80 and over | Eye Neoplasms | Female | Follow-Up Studies | Humans | Lymphatic Metastasis | Male | Middle Aged | Neoplasm Recurrence, Local | Prognosis | Retrospective Studies | Sebaceous Gland Neoplasms | Young Adult [SUMMARY]
[CONTENT] Adenocarcinoma, Sebaceous | Adolescent | Adult | Aged | Aged, 80 and over | Eye Neoplasms | Female | Follow-Up Studies | Humans | Lymphatic Metastasis | Male | Middle Aged | Neoplasm Recurrence, Local | Prognosis | Retrospective Studies | Sebaceous Gland Neoplasms | Young Adult [SUMMARY]
[CONTENT] Adenocarcinoma, Sebaceous | Adolescent | Adult | Aged | Aged, 80 and over | Eye Neoplasms | Female | Follow-Up Studies | Humans | Lymphatic Metastasis | Male | Middle Aged | Neoplasm Recurrence, Local | Prognosis | Retrospective Studies | Sebaceous Gland Neoplasms | Young Adult [SUMMARY]
[CONTENT] sebaceous neoplasm | synopsis sebaceous carcinoma | tumour sebaceous glands | sebaceous neoplasm keratoacanthoma | sebaceous carcinoma sc [SUMMARY]
null
[CONTENT] sebaceous neoplasm | synopsis sebaceous carcinoma | tumour sebaceous glands | sebaceous neoplasm keratoacanthoma | sebaceous carcinoma sc [SUMMARY]
[CONTENT] sebaceous neoplasm | synopsis sebaceous carcinoma | tumour sebaceous glands | sebaceous neoplasm keratoacanthoma | sebaceous carcinoma sc [SUMMARY]
[CONTENT] sebaceous neoplasm | synopsis sebaceous carcinoma | tumour sebaceous glands | sebaceous neoplasm keratoacanthoma | sebaceous carcinoma sc [SUMMARY]
[CONTENT] sebaceous neoplasm | synopsis sebaceous carcinoma | tumour sebaceous glands | sebaceous neoplasm keratoacanthoma | sebaceous carcinoma sc [SUMMARY]
[CONTENT] patients | sc | metastases | ocular | recurrence | scs | treatment | disease | follow | treated [SUMMARY]
null
[CONTENT] patients | sc | metastases | ocular | recurrence | scs | treatment | disease | follow | treated [SUMMARY]
[CONTENT] patients | sc | metastases | ocular | recurrence | scs | treatment | disease | follow | treated [SUMMARY]
[CONTENT] patients | sc | metastases | ocular | recurrence | scs | treatment | disease | follow | treated [SUMMARY]
[CONTENT] patients | sc | metastases | ocular | recurrence | scs | treatment | disease | follow | treated [SUMMARY]
[CONTENT] 000 | series | sc | peri | peri ocular | cases | ocular | small | peri ocular sc | 000 000 [SUMMARY]
null
[CONTENT] patients | metastases | scs | treated | disease | developed | postoperative | tumours | recurrence | eye [SUMMARY]
[CONTENT] tumour | infrequently present | tumour elderly patient | locoregional distant metastases resulting | tumour location frequently associated | tumour location frequently | locoregional distant metastases | locoregional distant | local recurrence patients sc | tumour elderly patient population [SUMMARY]
[CONTENT] patients | sc | metastases | ocular | recurrence | study | peri | peri ocular | scs | treatment [SUMMARY]
[CONTENT] patients | sc | metastases | ocular | recurrence | study | peri | peri ocular | scs | treatment [SUMMARY]
[CONTENT] SC ||| SC [SUMMARY]
null
[CONTENT] 100 | 57 | 57% | 103 ||| 72 | 15-95 | years | 52 | 24-93 | months ||| 49.5% ||| 17 | 16.5% | 19 | IQR | 8-29 | months ||| 0.005 | 0.001 ||| Two | node metastases | 8.7% | node | 8 | IQR | 0.5 | months ||| Three | one [SUMMARY]
[CONTENT] SC ||| ||| SC [SUMMARY]
[CONTENT] SC ||| SC ||| four ||| ||| 100 | 57 | 57% | 103 ||| 72 | 15-95 | years | 52 | 24-93 | months ||| 49.5% ||| 17 | 16.5% | 19 | IQR | 8-29 | months ||| 0.005 | 0.001 ||| Two | node metastases | 8.7% | node | 8 | IQR | 0.5 | months ||| Three | one ||| SC ||| ||| SC [SUMMARY]
[CONTENT] SC ||| SC ||| four ||| ||| 100 | 57 | 57% | 103 ||| 72 | 15-95 | years | 52 | 24-93 | months ||| 49.5% ||| 17 | 16.5% | 19 | IQR | 8-29 | months ||| 0.005 | 0.001 ||| Two | node metastases | 8.7% | node | 8 | IQR | 0.5 | months ||| Three | one ||| SC ||| ||| SC [SUMMARY]
Effects of endovascular treatment and prognostic factors for recovery of oculomotor nerve palsy caused by posterior communicating artery aneurysms: a multi-center retrospective analysis.
36209054
Oculomotor nerve palsy (ONP) may result from posterior communicating artery (PcomA) aneurysms. We aimed to evaluate the resolution of ONP after endovascular treatment with the intention of clarifying predictors of nerve recovery in a relatively large series.
BACKGROUND
A total of 211 patients with ONP caused by PcomA aneurysms underwent endovascular coiling between May 2010 and December 2020 in four tertiary hospitals. We evaluated the demographics, clinical characteristics, aneurysm morphology parameters and ONP resolution to analyze the predictors of ONP recovery using univariate and multivariate analyses.
METHODS
At the last available clinical follow-up, ONP resolution was complete in 126 (59.7%) patients, partial in 73 (34.6%) patients, and no recovery in 12 (5.7%) patients. The median resolution time after endovascular treatment was 55 days (interquartile range: 40-90 days). In multivariate analysis, degree of ONP (incomplete palsy) on admission (OR 5.396; 95% CI 2.836-10.266; P < 0.001), duration of ONP (≤ 14 days) before treatment (OR 5.940; 95% CI 2.724-12.954; P < 0.001) were statistically significant predictors of complete recovery of ONP. In the subgroup analysis of patients with unruptured aneurysms, aspirin showed a higher complete recovery rate in univariate analysis (OR 2.652; 95% CI 1.057-6.656; P = 0.038).
RESULTS
Initial incomplete ONP and early management might predict better recovery of ONP after endovascular treatment.
CONCLUSION
[ "Aspirin", "Embolization, Therapeutic", "Endovascular Procedures", "Humans", "Intracranial Aneurysm", "Oculomotor Nerve Diseases", "Prognosis", "Retrospective Studies", "Treatment Outcome" ]
9547414
Background
Oculomotor nerve palsy (ONP) is a well-known clinical sign of posterior communicating artery (PcomA) aneurysms, which can be a serious neurologic emergency due to the potential of subarachnoid hemorrhage. ONP occurs in about 20% of patients with PcomA aneurysms [1]. There is no consensus on the optimum therapeutic approach for a PcomA aneurysm with ONP [2–6]. Endovascular therapy has become a popular treatment option for cerebral aneurysms because of its great efficiency and low invasiveness. Approximately half of patients, however, do not recover completely from ONP after endovascular treatment [7, 8]. The probable mechanisms of PcomA aneurysm-related ONP include direct mechanical compression of the third nerve by aneurysm, nerve injury from aneurysm pulsation, and irritation from subarachnoid hemorrhage [3, 7, 9]. Many studies have found that the degree of ONP recovery is influenced by ONP severity, symptom duration, aneurysm morphology, aneurysm status, and treatment modalities [4, 7, 10], however, the sample sizes are mostly small. Furthermore, aneurysm wall inflammation has been found to be related with ONP [11] and there is a case report of complete recovery of optic nerve palsy after anti-inflammatory medication without any treatment for the giant carotid-ophthalmic aneurysm [12]. Aspirin, the most widely used anti-inflammatory, has been shown to beneficially attenuate the aberrant inflammatory microenvironment within the aneurysmal wall [13]. However, as far as we know, there has been no study exploring the effect of aspirin on the recovery of ONP induced by PcomA aneurysm. In this multi-center retrospective study, we aimed to evaluate the resolution of ONP with the intention of clarifying predictors of nerve recovery in a relatively large series, and to investigate the effect of the aneurysmal morphological parameters and antiplatelet therapy on ONP recovery.
null
null
Results
Baseline characteristics and procedure outcomes Of the 211 patients, the mean age was 60.8 ± 11.2 years old (range, 34–95 years). 176 (83.4%) were female. A ruptured aneurysm was found in 114 individuals (54.0%), while an unruptured aneurysm was found in 97 patients (46.0%). All patients received successful endovascular treatment, with 101 patients (47.9%) receiving coiling alone and 110 patients (52.1%) receiving stent-assisted coiling. Raymond class 1 was achieved in 158 patients (74.9%), Raymond class 2 in 42 patients (19.9%), and Raymond class 3 in 11 patients (5.2%). Of the 211 patients, the mean age was 60.8 ± 11.2 years old (range, 34–95 years). 176 (83.4%) were female. A ruptured aneurysm was found in 114 individuals (54.0%), while an unruptured aneurysm was found in 97 patients (46.0%). All patients received successful endovascular treatment, with 101 patients (47.9%) receiving coiling alone and 110 patients (52.1%) receiving stent-assisted coiling. Raymond class 1 was achieved in 158 patients (74.9%), Raymond class 2 in 42 patients (19.9%), and Raymond class 3 in 11 patients (5.2%).
Conclusion
In this study, we presented the results of a series of 211 patients undergoing endovascular treatment for PcomA aneurysms with ONP. We discovered that more than 90% of patients had varying degrees of ONP recovery after procedures. Preoperative incomplete ONP and early management were the independent factors predicting complete recovery of ONP.
[ "Background", "Methods", "Study design and study population", "Aneurysm direction", "Treatment and imaging follow-up", "Recovery of ONP", "Statistical analysis", "Baseline characteristics and procedure outcomes", "Predictors of ONP recovery", "Effect of aspirin on ONP recovery", "Remaining symptoms in unpleasant recovery patients" ]
[ "Oculomotor nerve palsy (ONP) is a well-known clinical sign of posterior communicating artery (PcomA) aneurysms, which can be a serious neurologic emergency due to the potential of subarachnoid hemorrhage. ONP occurs in about 20% of patients with PcomA aneurysms [1]. There is no consensus on the optimum therapeutic approach for a PcomA aneurysm with ONP [2–6]. Endovascular therapy has become a popular treatment option for cerebral aneurysms because of its great efficiency and low invasiveness. Approximately half of patients, however, do not recover completely from ONP after endovascular treatment [7, 8].\nThe probable mechanisms of PcomA aneurysm-related ONP include direct mechanical compression of the third nerve by aneurysm, nerve injury from aneurysm pulsation, and irritation from subarachnoid hemorrhage [3, 7, 9]. Many studies have found that the degree of ONP recovery is influenced by ONP severity, symptom duration, aneurysm morphology, aneurysm status, and treatment modalities [4, 7, 10], however, the sample sizes are mostly small. Furthermore, aneurysm wall inflammation has been found to be related with ONP [11] and there is a case report of complete recovery of optic nerve palsy after anti-inflammatory medication without any treatment for the giant carotid-ophthalmic aneurysm [12]. Aspirin, the most widely used anti-inflammatory, has been shown to beneficially attenuate the aberrant inflammatory microenvironment within the aneurysmal wall [13]. However, as far as we know, there has been no study exploring the effect of aspirin on the recovery of ONP induced by PcomA aneurysm.\nIn this multi-center retrospective study, we aimed to evaluate the resolution of ONP with the intention of clarifying predictors of nerve recovery in a relatively large series, and to investigate the effect of the aneurysmal morphological parameters and antiplatelet therapy on ONP recovery.", "Study design and study population The research was carried out in accordance with the Declaration of Helsinki (2008) of the World Medical Association, and this study protocol was approved by our institution’s Ethics Committee. Informed consent of the procedure was waived for this retrospective study. The data of patients with aneurysmal ONP who received endovascular treatment for both ruptured and unruptured PcomA aneurysms at four tertiary hospitals was collected from January 2012 to December 2020. Complete ONP was defined as the combination of ptosis, fixed mydriasis, diplopia, and ophthalmoplegia. Incomplete ONP was defined as any combination of these signs, but not all four signs. Patients without follow-up information were eliminated from the study. A total of 211 patients were included in this study. Clinical characteristics associated with ONP recovery were reviewed and analyzed (Table 1).\n\nTable 1Univariate analysis of variables for ONP recovery (n = 211)VariablesComplete recovery(N = 126)Unpleasant recovery (N = 85)OR (95% CI)p-valueAge (X ± SD)60.06 ± 11.1162.05 ± 11.340.984 (0.960–1.009)0.208Female105 (83.3%)71 (83.5%)0.986 (0.470–2.067)0.970Diabetes7 (5.6%)8 (9.4%)0.566 (0.197–1.625)0.290Hypertension70 (55.6%)49 (57.6%)0.918 (0.527–1.601)0.764Smoking9 (7.1%)8 (9.4%)0.740 (0.274–2.002)0.554Alcohol abuse8 (6.3%)7 (8.2%)0.755 (0.263–2.167)0.602Subarachnoid hemorrhage80 (63.5%)34 (40.0%)2.609 (1.482–4.592)0.001Modified Fisher Scale1.664 (1.161–2.386)0.006046 (36.5%)51 (60.0%)1–246 (36.5%)18 (21.2%)3–434 (27.0%)16 (18.8%)Hunt-Hess Grades1.973 (1.274–3.057)0.002046 (36.5%)51 (60.0%)1–262 (49.2%)27 (31.8%)3–418 (14.3%)7 (8.2%)PDO (≤ 14 days)112 (88.9%)54 (63.5%)4.593 (2.258–9.339)<0.001Stent assisted63 (50.0%)47 (55.3%)0.809 (0.466–1.404)0.450Raymond scale1.119 (0.682–1.838)0.656193 (73.8%)65 (76.5%)226 (20.6%)16 (18.8%)37 (5.6%)4 (4.7%)Aspirin73 (57.9%)49 (57.6%)1.012 (0.580–1.766)0.967Mecobalamine51 (40.5%)43 (50.6%)0.664 (0.382–1.156)0.148PDP (incomplete)93 (73.8%)33 (38.8%)4.441 (2.462–8.010)<0.001DP (Posterior-lateral-inferior)52 (41.3%)20 (23.5%)0.438 (0.237–0.809)0.008Daughter sac39 (31.0%)35 (41.2%)0.640 (0.361–1.137)0.128Maximum size (mm)6.377 ± 2.6766.690 ± 2.7580.958 (0.866–1.061)0.410AR (Aspect Ratio)1.395 ± 0.7221.283 ± 0.7001.256 (0.842–1.873)0.264SR (Size Ratio)1.809 ± 1.2571.823 ± 1.2250.991 (0.794–1.237)0.934PDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection\n\nUnivariate analysis of variables for ONP recovery (n = 211)\nPDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection\nThe research was carried out in accordance with the Declaration of Helsinki (2008) of the World Medical Association, and this study protocol was approved by our institution’s Ethics Committee. Informed consent of the procedure was waived for this retrospective study. The data of patients with aneurysmal ONP who received endovascular treatment for both ruptured and unruptured PcomA aneurysms at four tertiary hospitals was collected from January 2012 to December 2020. Complete ONP was defined as the combination of ptosis, fixed mydriasis, diplopia, and ophthalmoplegia. Incomplete ONP was defined as any combination of these signs, but not all four signs. Patients without follow-up information were eliminated from the study. A total of 211 patients were included in this study. Clinical characteristics associated with ONP recovery were reviewed and analyzed (Table 1).\n\nTable 1Univariate analysis of variables for ONP recovery (n = 211)VariablesComplete recovery(N = 126)Unpleasant recovery (N = 85)OR (95% CI)p-valueAge (X ± SD)60.06 ± 11.1162.05 ± 11.340.984 (0.960–1.009)0.208Female105 (83.3%)71 (83.5%)0.986 (0.470–2.067)0.970Diabetes7 (5.6%)8 (9.4%)0.566 (0.197–1.625)0.290Hypertension70 (55.6%)49 (57.6%)0.918 (0.527–1.601)0.764Smoking9 (7.1%)8 (9.4%)0.740 (0.274–2.002)0.554Alcohol abuse8 (6.3%)7 (8.2%)0.755 (0.263–2.167)0.602Subarachnoid hemorrhage80 (63.5%)34 (40.0%)2.609 (1.482–4.592)0.001Modified Fisher Scale1.664 (1.161–2.386)0.006046 (36.5%)51 (60.0%)1–246 (36.5%)18 (21.2%)3–434 (27.0%)16 (18.8%)Hunt-Hess Grades1.973 (1.274–3.057)0.002046 (36.5%)51 (60.0%)1–262 (49.2%)27 (31.8%)3–418 (14.3%)7 (8.2%)PDO (≤ 14 days)112 (88.9%)54 (63.5%)4.593 (2.258–9.339)<0.001Stent assisted63 (50.0%)47 (55.3%)0.809 (0.466–1.404)0.450Raymond scale1.119 (0.682–1.838)0.656193 (73.8%)65 (76.5%)226 (20.6%)16 (18.8%)37 (5.6%)4 (4.7%)Aspirin73 (57.9%)49 (57.6%)1.012 (0.580–1.766)0.967Mecobalamine51 (40.5%)43 (50.6%)0.664 (0.382–1.156)0.148PDP (incomplete)93 (73.8%)33 (38.8%)4.441 (2.462–8.010)<0.001DP (Posterior-lateral-inferior)52 (41.3%)20 (23.5%)0.438 (0.237–0.809)0.008Daughter sac39 (31.0%)35 (41.2%)0.640 (0.361–1.137)0.128Maximum size (mm)6.377 ± 2.6766.690 ± 2.7580.958 (0.866–1.061)0.410AR (Aspect Ratio)1.395 ± 0.7221.283 ± 0.7001.256 (0.842–1.873)0.264SR (Size Ratio)1.809 ± 1.2571.823 ± 1.2250.991 (0.794–1.237)0.934PDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection\n\nUnivariate analysis of variables for ONP recovery (n = 211)\nPDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection", "The research was carried out in accordance with the Declaration of Helsinki (2008) of the World Medical Association, and this study protocol was approved by our institution’s Ethics Committee. Informed consent of the procedure was waived for this retrospective study. The data of patients with aneurysmal ONP who received endovascular treatment for both ruptured and unruptured PcomA aneurysms at four tertiary hospitals was collected from January 2012 to December 2020. Complete ONP was defined as the combination of ptosis, fixed mydriasis, diplopia, and ophthalmoplegia. Incomplete ONP was defined as any combination of these signs, but not all four signs. Patients without follow-up information were eliminated from the study. A total of 211 patients were included in this study. Clinical characteristics associated with ONP recovery were reviewed and analyzed (Table 1).\n\nTable 1Univariate analysis of variables for ONP recovery (n = 211)VariablesComplete recovery(N = 126)Unpleasant recovery (N = 85)OR (95% CI)p-valueAge (X ± SD)60.06 ± 11.1162.05 ± 11.340.984 (0.960–1.009)0.208Female105 (83.3%)71 (83.5%)0.986 (0.470–2.067)0.970Diabetes7 (5.6%)8 (9.4%)0.566 (0.197–1.625)0.290Hypertension70 (55.6%)49 (57.6%)0.918 (0.527–1.601)0.764Smoking9 (7.1%)8 (9.4%)0.740 (0.274–2.002)0.554Alcohol abuse8 (6.3%)7 (8.2%)0.755 (0.263–2.167)0.602Subarachnoid hemorrhage80 (63.5%)34 (40.0%)2.609 (1.482–4.592)0.001Modified Fisher Scale1.664 (1.161–2.386)0.006046 (36.5%)51 (60.0%)1–246 (36.5%)18 (21.2%)3–434 (27.0%)16 (18.8%)Hunt-Hess Grades1.973 (1.274–3.057)0.002046 (36.5%)51 (60.0%)1–262 (49.2%)27 (31.8%)3–418 (14.3%)7 (8.2%)PDO (≤ 14 days)112 (88.9%)54 (63.5%)4.593 (2.258–9.339)<0.001Stent assisted63 (50.0%)47 (55.3%)0.809 (0.466–1.404)0.450Raymond scale1.119 (0.682–1.838)0.656193 (73.8%)65 (76.5%)226 (20.6%)16 (18.8%)37 (5.6%)4 (4.7%)Aspirin73 (57.9%)49 (57.6%)1.012 (0.580–1.766)0.967Mecobalamine51 (40.5%)43 (50.6%)0.664 (0.382–1.156)0.148PDP (incomplete)93 (73.8%)33 (38.8%)4.441 (2.462–8.010)<0.001DP (Posterior-lateral-inferior)52 (41.3%)20 (23.5%)0.438 (0.237–0.809)0.008Daughter sac39 (31.0%)35 (41.2%)0.640 (0.361–1.137)0.128Maximum size (mm)6.377 ± 2.6766.690 ± 2.7580.958 (0.866–1.061)0.410AR (Aspect Ratio)1.395 ± 0.7221.283 ± 0.7001.256 (0.842–1.873)0.264SR (Size Ratio)1.809 ± 1.2571.823 ± 1.2250.991 (0.794–1.237)0.934PDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection\n\nUnivariate analysis of variables for ONP recovery (n = 211)\nPDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection", "According to the method described in Matsukawa et al’s study, the direction of the aneurysm dome around the PComA was classified into 5 directions: superior, posterior, inferior, medial, and lateral [14]. Because oculomotor nerve usually goes parallel to posterior communicating artery along its inferior-lateral side [15], and a PcomA aneurysm projecting inferior-laterally is more likely to compress the oculomotor nerve, the aneurysms were divided into two categories: posterior-lateral-inferior direction and others.", "All procedures were performed under general anesthesia. Three-dimensional (3D) rotational angiography was used to assess aneurysmal configuration. Each patient received 70 IU/kg of intravenous heparin during procedure, with an additional 1000 IU heparin administered every hour to maintain heparinization. The aneurysm was packed with coils as densely as possible after the microcatheter was advanced into it. For the treatment of wide-necked aneurysms, a stent-assisted coiling technique was used. Double microcatheter technique was used as required.\nFor unruptured aneurysm, dual antiplatelets were administered daily for 3 to 6 months, then mono-antiplatelet for at least 6 months in patients treated with stent protection. Antiplatelet medications were not routinely prescribed for maintenance in patients treated with coiling alone. It should be noted that aspirin was prescribed for patients with hypertension or atherosclerosis regardless of stenting or not. For rupture aneurysm, if a stent was anticipated after 3D angiography, patients immediately received 300 mg of clopidogrel and 300 mg of aspirin via an orogastric tube or intraoperative intravenous tirofiban (5 µg/kg) and a maintenance dose of 0.1 µg/kg/min for 24 h. Patients were given dual antiplatelet medication (aspirin 100 mg/day for 1 year and clopidogrel 75 mg/day for 3–6 months) after procedure. At the discretion of each doctor, patients were prescribed or not prescribed mecobalamin tablets for at least one month.\nThe Raymond classification was used to grade the angiographic results. Follow-up angiography was performed at about 6 months after the procedure, and magnetic resonance angiography or angiography annually thereafter.", "ONP was assessed in the clinic. Complete recovery of ONP were defined as: (1) patients did not report diplopia in all directions of gazes; (2) complete resolution of ptosis; (3) full range of movement in medial, downward, and upward gaze; and (4) partial or complete recovery of pupillary reaction. Partial recovery was defined as the resolution of some but not all of the initially present symptoms [10, 16]. The unpleasant recovery group included partial recovery and no recovery. The recovery time of ONP was defined as the period between procedure and ONP recovery (either complete recovery, or partial recovery that was stable with no additional improvement).\nStatistical analysis Continuous variables were summarized as means ± standard deviation if normally distributed, or median and interquartile ranges if skew distribution. Categorical variables were presented as percentages. Appropriate statistical tests including Fisher’s exact test, Chi-squared tests, or Student’s t-tests were used to determine the factors related to ONP recovery. Factors predictive of ONP recovery in a univariate analysis (P < 0.2) were considered potentially independent variables and subsequently included in a multivariate logistic regression analysis. SPSS 23.0 software was utilized for statistical analysis. A P < 0.05 was considered statistically significant.\nContinuous variables were summarized as means ± standard deviation if normally distributed, or median and interquartile ranges if skew distribution. Categorical variables were presented as percentages. Appropriate statistical tests including Fisher’s exact test, Chi-squared tests, or Student’s t-tests were used to determine the factors related to ONP recovery. Factors predictive of ONP recovery in a univariate analysis (P < 0.2) were considered potentially independent variables and subsequently included in a multivariate logistic regression analysis. SPSS 23.0 software was utilized for statistical analysis. A P < 0.05 was considered statistically significant.", "Continuous variables were summarized as means ± standard deviation if normally distributed, or median and interquartile ranges if skew distribution. Categorical variables were presented as percentages. Appropriate statistical tests including Fisher’s exact test, Chi-squared tests, or Student’s t-tests were used to determine the factors related to ONP recovery. Factors predictive of ONP recovery in a univariate analysis (P < 0.2) were considered potentially independent variables and subsequently included in a multivariate logistic regression analysis. SPSS 23.0 software was utilized for statistical analysis. A P < 0.05 was considered statistically significant.", "Of the 211 patients, the mean age was 60.8 ± 11.2 years old (range, 34–95 years). 176 (83.4%) were female. A ruptured aneurysm was found in 114 individuals (54.0%), while an unruptured aneurysm was found in 97 patients (46.0%). All patients received successful endovascular treatment, with 101 patients (47.9%) receiving coiling alone and 110 patients (52.1%) receiving stent-assisted coiling. Raymond class 1 was achieved in 158 patients (74.9%), Raymond class 2 in 42 patients (19.9%), and Raymond class 3 in 11 patients (5.2%).", "At admission, 85 (40.3%) patients had complete ONP and 126 (59.7%) had incomplete ONP. The median interval time between onset of ONP and endovascular procedure was 6 days (interquartile range: 2–12 days). Median follow-up time was 12.7 months (interquartile range: 8.1–18.0 months). At the last available clinical follow-up, ONP resolution was complete in 126 (59.7%) patients, partial in 73 (34.6%) patients, and no recovery in 12 (5.7%) patients. ONP aggravation was not observed immediately after embolization. The median resolution time after endovascular treatment was 55 days (interquartile range: 40–90 days).\nIn univariate analysis, subarachnoid hemorrhage, preoperative degree of ONP, preoperative duration of ONP, and aneurysm dome projection were all found to be significantly correlated with ONP outcome (Table 1). In a multivariate analysis, preoperative degree of ONP (incomplete palsy) and preoperative duration of ONP (≤ 14 days) were revealed to be independent predictors of complete nerve recovery following procedure (P<0.001 respectively) (Table 2).\n\nTable 2Multivariate logistic regression analysis for complete recovery of ONPIndependent factorsOR95% CIP-valuePreoperative duration of ONP (≤ 14 days)5.9402.724–12.954<0.001Preoperative degree of palsy (incomplete)5.3962.836–10.266<0.001\n\nMultivariate logistic regression analysis for complete recovery of ONP", "Overall, 58.9% (73/122) of patients who took aspirin recovered completely from ONP, and 59.6% (53/89) of patients who did not take aspirin achieved a complete recovery of ONP (P = 0.967). In the subgroup analysis of unruptured PcomA aneurysms, the complete recovery rate of ONP was significantly higher in patients taking aspirin than in patients not taking aspirin in univariate analysis (P = 0.038), but there was no significant difference in the multivariate analysis (Table 3).\n\nTable 3Univariate and multivariate analysis of variables for ONP recovery in patients with unruptured aneurysm (n = 97)VariablesComplete recovery(N = 46)Unpleasant recovery (N = 51)univariatemultivariate\nP value\n\nOR (95% CI)\n\nP value\n\nOR (95% CI)\nAge (X ± SD)62.46 ± 11.0661.06 ± 12.110.5521.011 (0.976–1.046)Female35 (76.1%)44 (86.3%)0.2020.506 (0.178–1.441)Diabetes3 (6.5%)3 (5.9%)0.8961.116 (0.214–5.826)Hypertension27 (58.7%)28 (54.9%)0.7071.167 (0.522–2.616)Smoking4 (8.7%)4 (7.8%)0.8971.119 (0.263–4.757)Alcohol abuse5 (10.9%)4 (7.8%)0.6091.433 (0.361–5.695)Preoperative Duration of ONP (≤ 14 days)36 (78.3%)26 (51.0%)0.0063.462 (1.421–8.430)0.0034.463 (1.659–12.009)Stent assisted29 (63.0%)29 (56.9%)0.5361.294 (0.572–2.926)Raymond scale0.6481.191 (0.563–2.520)134 (73.9%)40 (78.4%)210 (21.7%)9 (17.6%)32 (4.3%)2 (3.9%)Aspirin37 (80.4%)31 (60.8%)0.0382.652 (1.057–6.656)0.1292.187 (0.797–6.001)Mecobalamine29 (63.0%)32 (62.7%)0.9761.013 (0.444–2.311)Preoperative degree of Palsy (incomplete)30 (65.2%)18 (35.3%)0.0043.437 (1.491–7.926)0.0044.041 (1.579–10.339)Dome projection (Posterior-lateral-inferior)32 (69.6%)40 (78.4%)0.3210.629 (0.251–1.572)Daughter sac15 (57.1%)20 (42.9%)0.4990.750 (0.326–1.727)Maximum size (mm)6.453 ± 2.4576.618 ± 2.8030.7560.976 (0.838–1.137)AR (Aspect Ratio)1.355 ± 0.7581.386 ± 0.7710.8420.948 (0.559–1.606)SR (Size Ratio)1.450 ± 0.9641.813 ± 1.3380.1390.757 (0.524–1.094)0.2840.799 (0.530–1.204)\n\nUnivariate and multivariate analysis of variables for ONP recovery in patients with unruptured aneurysm (n = 97)", "Among the 211 patients, 183 had ptosis, 148 had fixed mydriasis, 156 had diplopia, and 172 had ophthalmoplegia. At the last available clinical follow-up, partial ONP recovery or no recovery was observed in 85 patients. The remaining symptoms included 13 ptosis, 47 fixed mydriasis, 23 diplopia, and 19 ophthalmoplegia. the symptom of fixed mydriasis displayed worse recovery than other symptoms after treatment (P < 0.001)." ]
[ null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Study design and study population", "Aneurysm direction", "Treatment and imaging follow-up", "Recovery of ONP", "Statistical analysis", "Results", "Baseline characteristics and procedure outcomes", "Predictors of ONP recovery", "Effect of aspirin on ONP recovery", "Remaining symptoms in unpleasant recovery patients", "Discussion", "Conclusion" ]
[ "Oculomotor nerve palsy (ONP) is a well-known clinical sign of posterior communicating artery (PcomA) aneurysms, which can be a serious neurologic emergency due to the potential of subarachnoid hemorrhage. ONP occurs in about 20% of patients with PcomA aneurysms [1]. There is no consensus on the optimum therapeutic approach for a PcomA aneurysm with ONP [2–6]. Endovascular therapy has become a popular treatment option for cerebral aneurysms because of its great efficiency and low invasiveness. Approximately half of patients, however, do not recover completely from ONP after endovascular treatment [7, 8].\nThe probable mechanisms of PcomA aneurysm-related ONP include direct mechanical compression of the third nerve by aneurysm, nerve injury from aneurysm pulsation, and irritation from subarachnoid hemorrhage [3, 7, 9]. Many studies have found that the degree of ONP recovery is influenced by ONP severity, symptom duration, aneurysm morphology, aneurysm status, and treatment modalities [4, 7, 10], however, the sample sizes are mostly small. Furthermore, aneurysm wall inflammation has been found to be related with ONP [11] and there is a case report of complete recovery of optic nerve palsy after anti-inflammatory medication without any treatment for the giant carotid-ophthalmic aneurysm [12]. Aspirin, the most widely used anti-inflammatory, has been shown to beneficially attenuate the aberrant inflammatory microenvironment within the aneurysmal wall [13]. However, as far as we know, there has been no study exploring the effect of aspirin on the recovery of ONP induced by PcomA aneurysm.\nIn this multi-center retrospective study, we aimed to evaluate the resolution of ONP with the intention of clarifying predictors of nerve recovery in a relatively large series, and to investigate the effect of the aneurysmal morphological parameters and antiplatelet therapy on ONP recovery.", "Study design and study population The research was carried out in accordance with the Declaration of Helsinki (2008) of the World Medical Association, and this study protocol was approved by our institution’s Ethics Committee. Informed consent of the procedure was waived for this retrospective study. The data of patients with aneurysmal ONP who received endovascular treatment for both ruptured and unruptured PcomA aneurysms at four tertiary hospitals was collected from January 2012 to December 2020. Complete ONP was defined as the combination of ptosis, fixed mydriasis, diplopia, and ophthalmoplegia. Incomplete ONP was defined as any combination of these signs, but not all four signs. Patients without follow-up information were eliminated from the study. A total of 211 patients were included in this study. Clinical characteristics associated with ONP recovery were reviewed and analyzed (Table 1).\n\nTable 1Univariate analysis of variables for ONP recovery (n = 211)VariablesComplete recovery(N = 126)Unpleasant recovery (N = 85)OR (95% CI)p-valueAge (X ± SD)60.06 ± 11.1162.05 ± 11.340.984 (0.960–1.009)0.208Female105 (83.3%)71 (83.5%)0.986 (0.470–2.067)0.970Diabetes7 (5.6%)8 (9.4%)0.566 (0.197–1.625)0.290Hypertension70 (55.6%)49 (57.6%)0.918 (0.527–1.601)0.764Smoking9 (7.1%)8 (9.4%)0.740 (0.274–2.002)0.554Alcohol abuse8 (6.3%)7 (8.2%)0.755 (0.263–2.167)0.602Subarachnoid hemorrhage80 (63.5%)34 (40.0%)2.609 (1.482–4.592)0.001Modified Fisher Scale1.664 (1.161–2.386)0.006046 (36.5%)51 (60.0%)1–246 (36.5%)18 (21.2%)3–434 (27.0%)16 (18.8%)Hunt-Hess Grades1.973 (1.274–3.057)0.002046 (36.5%)51 (60.0%)1–262 (49.2%)27 (31.8%)3–418 (14.3%)7 (8.2%)PDO (≤ 14 days)112 (88.9%)54 (63.5%)4.593 (2.258–9.339)<0.001Stent assisted63 (50.0%)47 (55.3%)0.809 (0.466–1.404)0.450Raymond scale1.119 (0.682–1.838)0.656193 (73.8%)65 (76.5%)226 (20.6%)16 (18.8%)37 (5.6%)4 (4.7%)Aspirin73 (57.9%)49 (57.6%)1.012 (0.580–1.766)0.967Mecobalamine51 (40.5%)43 (50.6%)0.664 (0.382–1.156)0.148PDP (incomplete)93 (73.8%)33 (38.8%)4.441 (2.462–8.010)<0.001DP (Posterior-lateral-inferior)52 (41.3%)20 (23.5%)0.438 (0.237–0.809)0.008Daughter sac39 (31.0%)35 (41.2%)0.640 (0.361–1.137)0.128Maximum size (mm)6.377 ± 2.6766.690 ± 2.7580.958 (0.866–1.061)0.410AR (Aspect Ratio)1.395 ± 0.7221.283 ± 0.7001.256 (0.842–1.873)0.264SR (Size Ratio)1.809 ± 1.2571.823 ± 1.2250.991 (0.794–1.237)0.934PDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection\n\nUnivariate analysis of variables for ONP recovery (n = 211)\nPDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection\nThe research was carried out in accordance with the Declaration of Helsinki (2008) of the World Medical Association, and this study protocol was approved by our institution’s Ethics Committee. Informed consent of the procedure was waived for this retrospective study. The data of patients with aneurysmal ONP who received endovascular treatment for both ruptured and unruptured PcomA aneurysms at four tertiary hospitals was collected from January 2012 to December 2020. Complete ONP was defined as the combination of ptosis, fixed mydriasis, diplopia, and ophthalmoplegia. Incomplete ONP was defined as any combination of these signs, but not all four signs. Patients without follow-up information were eliminated from the study. A total of 211 patients were included in this study. Clinical characteristics associated with ONP recovery were reviewed and analyzed (Table 1).\n\nTable 1Univariate analysis of variables for ONP recovery (n = 211)VariablesComplete recovery(N = 126)Unpleasant recovery (N = 85)OR (95% CI)p-valueAge (X ± SD)60.06 ± 11.1162.05 ± 11.340.984 (0.960–1.009)0.208Female105 (83.3%)71 (83.5%)0.986 (0.470–2.067)0.970Diabetes7 (5.6%)8 (9.4%)0.566 (0.197–1.625)0.290Hypertension70 (55.6%)49 (57.6%)0.918 (0.527–1.601)0.764Smoking9 (7.1%)8 (9.4%)0.740 (0.274–2.002)0.554Alcohol abuse8 (6.3%)7 (8.2%)0.755 (0.263–2.167)0.602Subarachnoid hemorrhage80 (63.5%)34 (40.0%)2.609 (1.482–4.592)0.001Modified Fisher Scale1.664 (1.161–2.386)0.006046 (36.5%)51 (60.0%)1–246 (36.5%)18 (21.2%)3–434 (27.0%)16 (18.8%)Hunt-Hess Grades1.973 (1.274–3.057)0.002046 (36.5%)51 (60.0%)1–262 (49.2%)27 (31.8%)3–418 (14.3%)7 (8.2%)PDO (≤ 14 days)112 (88.9%)54 (63.5%)4.593 (2.258–9.339)<0.001Stent assisted63 (50.0%)47 (55.3%)0.809 (0.466–1.404)0.450Raymond scale1.119 (0.682–1.838)0.656193 (73.8%)65 (76.5%)226 (20.6%)16 (18.8%)37 (5.6%)4 (4.7%)Aspirin73 (57.9%)49 (57.6%)1.012 (0.580–1.766)0.967Mecobalamine51 (40.5%)43 (50.6%)0.664 (0.382–1.156)0.148PDP (incomplete)93 (73.8%)33 (38.8%)4.441 (2.462–8.010)<0.001DP (Posterior-lateral-inferior)52 (41.3%)20 (23.5%)0.438 (0.237–0.809)0.008Daughter sac39 (31.0%)35 (41.2%)0.640 (0.361–1.137)0.128Maximum size (mm)6.377 ± 2.6766.690 ± 2.7580.958 (0.866–1.061)0.410AR (Aspect Ratio)1.395 ± 0.7221.283 ± 0.7001.256 (0.842–1.873)0.264SR (Size Ratio)1.809 ± 1.2571.823 ± 1.2250.991 (0.794–1.237)0.934PDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection\n\nUnivariate analysis of variables for ONP recovery (n = 211)\nPDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection", "The research was carried out in accordance with the Declaration of Helsinki (2008) of the World Medical Association, and this study protocol was approved by our institution’s Ethics Committee. Informed consent of the procedure was waived for this retrospective study. The data of patients with aneurysmal ONP who received endovascular treatment for both ruptured and unruptured PcomA aneurysms at four tertiary hospitals was collected from January 2012 to December 2020. Complete ONP was defined as the combination of ptosis, fixed mydriasis, diplopia, and ophthalmoplegia. Incomplete ONP was defined as any combination of these signs, but not all four signs. Patients without follow-up information were eliminated from the study. A total of 211 patients were included in this study. Clinical characteristics associated with ONP recovery were reviewed and analyzed (Table 1).\n\nTable 1Univariate analysis of variables for ONP recovery (n = 211)VariablesComplete recovery(N = 126)Unpleasant recovery (N = 85)OR (95% CI)p-valueAge (X ± SD)60.06 ± 11.1162.05 ± 11.340.984 (0.960–1.009)0.208Female105 (83.3%)71 (83.5%)0.986 (0.470–2.067)0.970Diabetes7 (5.6%)8 (9.4%)0.566 (0.197–1.625)0.290Hypertension70 (55.6%)49 (57.6%)0.918 (0.527–1.601)0.764Smoking9 (7.1%)8 (9.4%)0.740 (0.274–2.002)0.554Alcohol abuse8 (6.3%)7 (8.2%)0.755 (0.263–2.167)0.602Subarachnoid hemorrhage80 (63.5%)34 (40.0%)2.609 (1.482–4.592)0.001Modified Fisher Scale1.664 (1.161–2.386)0.006046 (36.5%)51 (60.0%)1–246 (36.5%)18 (21.2%)3–434 (27.0%)16 (18.8%)Hunt-Hess Grades1.973 (1.274–3.057)0.002046 (36.5%)51 (60.0%)1–262 (49.2%)27 (31.8%)3–418 (14.3%)7 (8.2%)PDO (≤ 14 days)112 (88.9%)54 (63.5%)4.593 (2.258–9.339)<0.001Stent assisted63 (50.0%)47 (55.3%)0.809 (0.466–1.404)0.450Raymond scale1.119 (0.682–1.838)0.656193 (73.8%)65 (76.5%)226 (20.6%)16 (18.8%)37 (5.6%)4 (4.7%)Aspirin73 (57.9%)49 (57.6%)1.012 (0.580–1.766)0.967Mecobalamine51 (40.5%)43 (50.6%)0.664 (0.382–1.156)0.148PDP (incomplete)93 (73.8%)33 (38.8%)4.441 (2.462–8.010)<0.001DP (Posterior-lateral-inferior)52 (41.3%)20 (23.5%)0.438 (0.237–0.809)0.008Daughter sac39 (31.0%)35 (41.2%)0.640 (0.361–1.137)0.128Maximum size (mm)6.377 ± 2.6766.690 ± 2.7580.958 (0.866–1.061)0.410AR (Aspect Ratio)1.395 ± 0.7221.283 ± 0.7001.256 (0.842–1.873)0.264SR (Size Ratio)1.809 ± 1.2571.823 ± 1.2250.991 (0.794–1.237)0.934PDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection\n\nUnivariate analysis of variables for ONP recovery (n = 211)\nPDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection", "According to the method described in Matsukawa et al’s study, the direction of the aneurysm dome around the PComA was classified into 5 directions: superior, posterior, inferior, medial, and lateral [14]. Because oculomotor nerve usually goes parallel to posterior communicating artery along its inferior-lateral side [15], and a PcomA aneurysm projecting inferior-laterally is more likely to compress the oculomotor nerve, the aneurysms were divided into two categories: posterior-lateral-inferior direction and others.", "All procedures were performed under general anesthesia. Three-dimensional (3D) rotational angiography was used to assess aneurysmal configuration. Each patient received 70 IU/kg of intravenous heparin during procedure, with an additional 1000 IU heparin administered every hour to maintain heparinization. The aneurysm was packed with coils as densely as possible after the microcatheter was advanced into it. For the treatment of wide-necked aneurysms, a stent-assisted coiling technique was used. Double microcatheter technique was used as required.\nFor unruptured aneurysm, dual antiplatelets were administered daily for 3 to 6 months, then mono-antiplatelet for at least 6 months in patients treated with stent protection. Antiplatelet medications were not routinely prescribed for maintenance in patients treated with coiling alone. It should be noted that aspirin was prescribed for patients with hypertension or atherosclerosis regardless of stenting or not. For rupture aneurysm, if a stent was anticipated after 3D angiography, patients immediately received 300 mg of clopidogrel and 300 mg of aspirin via an orogastric tube or intraoperative intravenous tirofiban (5 µg/kg) and a maintenance dose of 0.1 µg/kg/min for 24 h. Patients were given dual antiplatelet medication (aspirin 100 mg/day for 1 year and clopidogrel 75 mg/day for 3–6 months) after procedure. At the discretion of each doctor, patients were prescribed or not prescribed mecobalamin tablets for at least one month.\nThe Raymond classification was used to grade the angiographic results. Follow-up angiography was performed at about 6 months after the procedure, and magnetic resonance angiography or angiography annually thereafter.", "ONP was assessed in the clinic. Complete recovery of ONP were defined as: (1) patients did not report diplopia in all directions of gazes; (2) complete resolution of ptosis; (3) full range of movement in medial, downward, and upward gaze; and (4) partial or complete recovery of pupillary reaction. Partial recovery was defined as the resolution of some but not all of the initially present symptoms [10, 16]. The unpleasant recovery group included partial recovery and no recovery. The recovery time of ONP was defined as the period between procedure and ONP recovery (either complete recovery, or partial recovery that was stable with no additional improvement).\nStatistical analysis Continuous variables were summarized as means ± standard deviation if normally distributed, or median and interquartile ranges if skew distribution. Categorical variables were presented as percentages. Appropriate statistical tests including Fisher’s exact test, Chi-squared tests, or Student’s t-tests were used to determine the factors related to ONP recovery. Factors predictive of ONP recovery in a univariate analysis (P < 0.2) were considered potentially independent variables and subsequently included in a multivariate logistic regression analysis. SPSS 23.0 software was utilized for statistical analysis. A P < 0.05 was considered statistically significant.\nContinuous variables were summarized as means ± standard deviation if normally distributed, or median and interquartile ranges if skew distribution. Categorical variables were presented as percentages. Appropriate statistical tests including Fisher’s exact test, Chi-squared tests, or Student’s t-tests were used to determine the factors related to ONP recovery. Factors predictive of ONP recovery in a univariate analysis (P < 0.2) were considered potentially independent variables and subsequently included in a multivariate logistic regression analysis. SPSS 23.0 software was utilized for statistical analysis. A P < 0.05 was considered statistically significant.", "Continuous variables were summarized as means ± standard deviation if normally distributed, or median and interquartile ranges if skew distribution. Categorical variables were presented as percentages. Appropriate statistical tests including Fisher’s exact test, Chi-squared tests, or Student’s t-tests were used to determine the factors related to ONP recovery. Factors predictive of ONP recovery in a univariate analysis (P < 0.2) were considered potentially independent variables and subsequently included in a multivariate logistic regression analysis. SPSS 23.0 software was utilized for statistical analysis. A P < 0.05 was considered statistically significant.", "Baseline characteristics and procedure outcomes Of the 211 patients, the mean age was 60.8 ± 11.2 years old (range, 34–95 years). 176 (83.4%) were female. A ruptured aneurysm was found in 114 individuals (54.0%), while an unruptured aneurysm was found in 97 patients (46.0%). All patients received successful endovascular treatment, with 101 patients (47.9%) receiving coiling alone and 110 patients (52.1%) receiving stent-assisted coiling. Raymond class 1 was achieved in 158 patients (74.9%), Raymond class 2 in 42 patients (19.9%), and Raymond class 3 in 11 patients (5.2%).\nOf the 211 patients, the mean age was 60.8 ± 11.2 years old (range, 34–95 years). 176 (83.4%) were female. A ruptured aneurysm was found in 114 individuals (54.0%), while an unruptured aneurysm was found in 97 patients (46.0%). All patients received successful endovascular treatment, with 101 patients (47.9%) receiving coiling alone and 110 patients (52.1%) receiving stent-assisted coiling. Raymond class 1 was achieved in 158 patients (74.9%), Raymond class 2 in 42 patients (19.9%), and Raymond class 3 in 11 patients (5.2%).", "Of the 211 patients, the mean age was 60.8 ± 11.2 years old (range, 34–95 years). 176 (83.4%) were female. A ruptured aneurysm was found in 114 individuals (54.0%), while an unruptured aneurysm was found in 97 patients (46.0%). All patients received successful endovascular treatment, with 101 patients (47.9%) receiving coiling alone and 110 patients (52.1%) receiving stent-assisted coiling. Raymond class 1 was achieved in 158 patients (74.9%), Raymond class 2 in 42 patients (19.9%), and Raymond class 3 in 11 patients (5.2%).", "At admission, 85 (40.3%) patients had complete ONP and 126 (59.7%) had incomplete ONP. The median interval time between onset of ONP and endovascular procedure was 6 days (interquartile range: 2–12 days). Median follow-up time was 12.7 months (interquartile range: 8.1–18.0 months). At the last available clinical follow-up, ONP resolution was complete in 126 (59.7%) patients, partial in 73 (34.6%) patients, and no recovery in 12 (5.7%) patients. ONP aggravation was not observed immediately after embolization. The median resolution time after endovascular treatment was 55 days (interquartile range: 40–90 days).\nIn univariate analysis, subarachnoid hemorrhage, preoperative degree of ONP, preoperative duration of ONP, and aneurysm dome projection were all found to be significantly correlated with ONP outcome (Table 1). In a multivariate analysis, preoperative degree of ONP (incomplete palsy) and preoperative duration of ONP (≤ 14 days) were revealed to be independent predictors of complete nerve recovery following procedure (P<0.001 respectively) (Table 2).\n\nTable 2Multivariate logistic regression analysis for complete recovery of ONPIndependent factorsOR95% CIP-valuePreoperative duration of ONP (≤ 14 days)5.9402.724–12.954<0.001Preoperative degree of palsy (incomplete)5.3962.836–10.266<0.001\n\nMultivariate logistic regression analysis for complete recovery of ONP", "Overall, 58.9% (73/122) of patients who took aspirin recovered completely from ONP, and 59.6% (53/89) of patients who did not take aspirin achieved a complete recovery of ONP (P = 0.967). In the subgroup analysis of unruptured PcomA aneurysms, the complete recovery rate of ONP was significantly higher in patients taking aspirin than in patients not taking aspirin in univariate analysis (P = 0.038), but there was no significant difference in the multivariate analysis (Table 3).\n\nTable 3Univariate and multivariate analysis of variables for ONP recovery in patients with unruptured aneurysm (n = 97)VariablesComplete recovery(N = 46)Unpleasant recovery (N = 51)univariatemultivariate\nP value\n\nOR (95% CI)\n\nP value\n\nOR (95% CI)\nAge (X ± SD)62.46 ± 11.0661.06 ± 12.110.5521.011 (0.976–1.046)Female35 (76.1%)44 (86.3%)0.2020.506 (0.178–1.441)Diabetes3 (6.5%)3 (5.9%)0.8961.116 (0.214–5.826)Hypertension27 (58.7%)28 (54.9%)0.7071.167 (0.522–2.616)Smoking4 (8.7%)4 (7.8%)0.8971.119 (0.263–4.757)Alcohol abuse5 (10.9%)4 (7.8%)0.6091.433 (0.361–5.695)Preoperative Duration of ONP (≤ 14 days)36 (78.3%)26 (51.0%)0.0063.462 (1.421–8.430)0.0034.463 (1.659–12.009)Stent assisted29 (63.0%)29 (56.9%)0.5361.294 (0.572–2.926)Raymond scale0.6481.191 (0.563–2.520)134 (73.9%)40 (78.4%)210 (21.7%)9 (17.6%)32 (4.3%)2 (3.9%)Aspirin37 (80.4%)31 (60.8%)0.0382.652 (1.057–6.656)0.1292.187 (0.797–6.001)Mecobalamine29 (63.0%)32 (62.7%)0.9761.013 (0.444–2.311)Preoperative degree of Palsy (incomplete)30 (65.2%)18 (35.3%)0.0043.437 (1.491–7.926)0.0044.041 (1.579–10.339)Dome projection (Posterior-lateral-inferior)32 (69.6%)40 (78.4%)0.3210.629 (0.251–1.572)Daughter sac15 (57.1%)20 (42.9%)0.4990.750 (0.326–1.727)Maximum size (mm)6.453 ± 2.4576.618 ± 2.8030.7560.976 (0.838–1.137)AR (Aspect Ratio)1.355 ± 0.7581.386 ± 0.7710.8420.948 (0.559–1.606)SR (Size Ratio)1.450 ± 0.9641.813 ± 1.3380.1390.757 (0.524–1.094)0.2840.799 (0.530–1.204)\n\nUnivariate and multivariate analysis of variables for ONP recovery in patients with unruptured aneurysm (n = 97)", "Among the 211 patients, 183 had ptosis, 148 had fixed mydriasis, 156 had diplopia, and 172 had ophthalmoplegia. At the last available clinical follow-up, partial ONP recovery or no recovery was observed in 85 patients. The remaining symptoms included 13 ptosis, 47 fixed mydriasis, 23 diplopia, and 19 ophthalmoplegia. the symptom of fixed mydriasis displayed worse recovery than other symptoms after treatment (P < 0.001).", "In this multi-center retrospective study, after endovascular treatment of PcomA aneurysm, the complete recovery rate of ONP was 59.7% and the partial recovery rate was 34.6%, resulting in an overall recovery rate of 94.3%. In our findings, incomplete ONP at admission and early management were independent predictors of complete nerve recovery following endovascular treatment. In the subgroup analysis of patients with unruptured aneurysms, aspirin showed a higher complete recovery rate in univariate analysis.\nAfter the publication of the International Subarachnoid Aneurysm Trial study in 2006, treatment of ruptured aneurysms has swayed toward endovascular treatment. However, there is still debate about the efficiency of surgical clipping and endovascular coiling on the resolution of ONP induced by PcomA aneurysms [2, 4]. Some authors believe that clipping is preferable to clipping because the aneurysmal mass effect, which was thought to be the main pathogenesis of aneurysmal ONP, can be reduced during surgical clipping [2, 17, 18]. The rate of complete ONP resolution has been reported from 32 to 85% after clipping [2]. However, other researches have suggested that pulsatile stimulation of aneurysms may be the main pathogenesis of ONP. Although endovascular therapy can not relieve the mass effect, it was as effective as clipping for the recovery of ONP by reducing the pulsatile stimulation of the aneurysm. They compared the clinical outcome of ONP after coiling and clipping, and found there was no significant difference between two groups, with the rate of complete ONP resolution ranging from 60.3 to 62.5% in coiling group vs. 48.7-87.5% in clipping group [4, 6, 8]. In this study, our results showed the complete recovery rate of ONP was 59.7% and the partial recovery rate was 34.6%, resulting in an overall recovery rate of 94.3% after endovascular treatment, which was in line with other studies. Theoretically, compared to conventional coiling, flow diversion (FD) without coiling or loose coiling can reduce mass effect, which may be more beneficial for the recovery of ONP. However, there are only limited cases using FD for treatment PcomA aneurysms with ONP reported in the literatures and the evidence to support the superiority of FD over conventional coiling is still insufficient [19, 20]. One possible reason for neurointerventionlists hesitating to use FD in ruptured aneurysms is the need of antiplatelet therapy, which is considered dangerous if aneurysms without coiling or loose coiling in acute stage. It is also not a safe choice for unruptured PcomA aneurysms with ONP, considering aneurysms with ONP are usually unstable and have a high risk of rupture.\nIn our findings, incomplete ONP at admission and early management were independent predictors of complete nerve recovery following endovascular treatment. Despite the fact that they appeared to be simple, our findings were consistent with those of many other studies. Several studies and meta-analyses showed that patients with incomplete ONP had a higher rate of recovery [7, 8, 10, 21]. Others discovered a link between early treatment and the degree of ONP recovery [2, 8, 22, 23]. Mechanical compression was considered as a major factor of aneurysm related ONP, and morphological characteristics of aneurysm might be related with the occurrence and outcome of ONP. According to Lv et al., PcomA aneurysms with ONP showed a distinct morphological-hemodynamic pattern, such as larger size, more irregular shape, and lower wall shear stress [24]. Hall et al. found that patients who presented with an aneurysm < 7 mm had a higher rate of complete palsy resolution compared to aneurysms > 7 mm [7]. However, in other systematic review, aneurysm size was not found to be a significant factor of ONP recovery [18]. The aneurysmal direction might affect the occurrence and recovery of ONP anatomically. Abdurahman et al. reported that the non-posterolateral direction of the aneurysm showed a tendency towards better recovery compared to the posterolateral projection [25], while in another study there was no correlation between aneurysmal direction and ONP recovery [26]. In our study, posterior-lateral-inferior direction of aneurysm dome showed a tendency towards unpleasant ONP recovery compared to other directions in univariate analysis, however, there was no significant difference in multivariate analysis. This result could be caused by anatomical differences between individuals.\nInflammation of the aneurysm wall may be a potential cause of ONP [11]. Animal experiment has verified that aneurysm wall enhancement in magnetic resonance vessel wall imaging is associated with inflammation [27]. Unruptured intracranial aneurysms with ONP or sentinel headache more frequently showed aneurysm wall enhancement than asymptomatic ones [11]. Therefore, anti-inflammatory treatment might contribute to the resolution of cranial nerve palsy. Corticosteroid as an anti-inflammatory medication is widely used for nerve palsy. However, studies focusing on ONP caused by intracranial aneurysms are limited, except for some case reports. Myriam et al. reported a patient with optic nerve palsy caused by a massive carotid-ophthalmic aneurysm [12]. Except for steroids, the patients refused any treatment for aneurysm. After a year, the patient’s optic nerve palsy had completely resolved, and the aneurysm wall enhancement had greatly diminished. Belotti et al. reported a case of ONP caused by neurovascular conflict [28]. In this case, the posterior communicating artery caused a compression of the ipsilateral oculomotor nerve. ONP completely recovered 13 days after the beginning of the steroid treatment. These findings suggested that ONP could be induced by aneurysm wall inflammation or an inflammatory environment around the oculomotor nerves, and that anti-inflammatory medication could contribute to the resolution of cranial nerve palsy.\nAspirin as a kind of antiplatelet drugs has an anti-inflammatory effect and has been confirmed to reduce aneurysm wall inflammation [13]. As we know, there was no study investigating effect of aspirin on ONP up to now. In our study, aspirin was not found to be a predictor of complete nerve recovery either in univariate or multivariate logistic regression analysis. However, in the subgroup analysis, aspirin was revealed to be a statistically significant predictor of complete nerve recovery in patients with unruptured aneurysms in univariate analysis, but not in patients with ruptured aneurysms in subgroup analysis. It might be explained by the probably different pathologic mechanisms of ONP between ruptured and unruptured aneurysms. Apart from mass effect and pulsation irritation, the hemorrhagic irritation might be an inescapable factor in ruptured aneurysms, nevertheless, the inflammation might be a major factor in unruptured aneurysms. According to our preliminary result, aspirin might promote the recovery of ONP for patients with unruptured PcomA aneurysms. This finding maybe advances our understanding of the pathogenesis of aneurysmal ONP, however, further studies are needed to verify the effect of aspirin on ONP recovery.\nThere are a few limitations in this research. Firstly, both ruptured and unruptured PcomA aneurysms were included in our study. The mechanisms of ONP induced by unruptured PcomA aneurysms were not identical to those generated by ruptured PcomA aneurysms, which may reduce the comparability of the two groups. Secondly, we discovered that the aneurysmal dome’s posterior-lateral-inferior orientation may compromise ONP recovery, but there was no gross pathological or imaging data to confirm whether aneurysms’ posterior-lateral-inferior orientation exacerbated the mass effect in this investigation. Thirdly, we did not perform high-resolution wall imaging to assess the extent of aneurysm wall enhancement during follow-up.", "In this study, we presented the results of a series of 211 patients undergoing endovascular treatment for PcomA aneurysms with ONP. We discovered that more than 90% of patients had varying degrees of ONP recovery after procedures. Preoperative incomplete ONP and early management were the independent factors predicting complete recovery of ONP." ]
[ null, null, null, null, null, null, null, "results", null, null, null, null, "discussion", "conclusion" ]
[ "Oculomotor nerve palsy", "Posterior communicating artery aneurysm", "Endovascular treatment", "Prognostic factor" ]
Background: Oculomotor nerve palsy (ONP) is a well-known clinical sign of posterior communicating artery (PcomA) aneurysms, which can be a serious neurologic emergency due to the potential of subarachnoid hemorrhage. ONP occurs in about 20% of patients with PcomA aneurysms [1]. There is no consensus on the optimum therapeutic approach for a PcomA aneurysm with ONP [2–6]. Endovascular therapy has become a popular treatment option for cerebral aneurysms because of its great efficiency and low invasiveness. Approximately half of patients, however, do not recover completely from ONP after endovascular treatment [7, 8]. The probable mechanisms of PcomA aneurysm-related ONP include direct mechanical compression of the third nerve by aneurysm, nerve injury from aneurysm pulsation, and irritation from subarachnoid hemorrhage [3, 7, 9]. Many studies have found that the degree of ONP recovery is influenced by ONP severity, symptom duration, aneurysm morphology, aneurysm status, and treatment modalities [4, 7, 10], however, the sample sizes are mostly small. Furthermore, aneurysm wall inflammation has been found to be related with ONP [11] and there is a case report of complete recovery of optic nerve palsy after anti-inflammatory medication without any treatment for the giant carotid-ophthalmic aneurysm [12]. Aspirin, the most widely used anti-inflammatory, has been shown to beneficially attenuate the aberrant inflammatory microenvironment within the aneurysmal wall [13]. However, as far as we know, there has been no study exploring the effect of aspirin on the recovery of ONP induced by PcomA aneurysm. In this multi-center retrospective study, we aimed to evaluate the resolution of ONP with the intention of clarifying predictors of nerve recovery in a relatively large series, and to investigate the effect of the aneurysmal morphological parameters and antiplatelet therapy on ONP recovery. Methods: Study design and study population The research was carried out in accordance with the Declaration of Helsinki (2008) of the World Medical Association, and this study protocol was approved by our institution’s Ethics Committee. Informed consent of the procedure was waived for this retrospective study. The data of patients with aneurysmal ONP who received endovascular treatment for both ruptured and unruptured PcomA aneurysms at four tertiary hospitals was collected from January 2012 to December 2020. Complete ONP was defined as the combination of ptosis, fixed mydriasis, diplopia, and ophthalmoplegia. Incomplete ONP was defined as any combination of these signs, but not all four signs. Patients without follow-up information were eliminated from the study. A total of 211 patients were included in this study. Clinical characteristics associated with ONP recovery were reviewed and analyzed (Table 1). Table 1Univariate analysis of variables for ONP recovery (n = 211)VariablesComplete recovery(N = 126)Unpleasant recovery (N = 85)OR (95% CI)p-valueAge (X ± SD)60.06 ± 11.1162.05 ± 11.340.984 (0.960–1.009)0.208Female105 (83.3%)71 (83.5%)0.986 (0.470–2.067)0.970Diabetes7 (5.6%)8 (9.4%)0.566 (0.197–1.625)0.290Hypertension70 (55.6%)49 (57.6%)0.918 (0.527–1.601)0.764Smoking9 (7.1%)8 (9.4%)0.740 (0.274–2.002)0.554Alcohol abuse8 (6.3%)7 (8.2%)0.755 (0.263–2.167)0.602Subarachnoid hemorrhage80 (63.5%)34 (40.0%)2.609 (1.482–4.592)0.001Modified Fisher Scale1.664 (1.161–2.386)0.006046 (36.5%)51 (60.0%)1–246 (36.5%)18 (21.2%)3–434 (27.0%)16 (18.8%)Hunt-Hess Grades1.973 (1.274–3.057)0.002046 (36.5%)51 (60.0%)1–262 (49.2%)27 (31.8%)3–418 (14.3%)7 (8.2%)PDO (≤ 14 days)112 (88.9%)54 (63.5%)4.593 (2.258–9.339)<0.001Stent assisted63 (50.0%)47 (55.3%)0.809 (0.466–1.404)0.450Raymond scale1.119 (0.682–1.838)0.656193 (73.8%)65 (76.5%)226 (20.6%)16 (18.8%)37 (5.6%)4 (4.7%)Aspirin73 (57.9%)49 (57.6%)1.012 (0.580–1.766)0.967Mecobalamine51 (40.5%)43 (50.6%)0.664 (0.382–1.156)0.148PDP (incomplete)93 (73.8%)33 (38.8%)4.441 (2.462–8.010)<0.001DP (Posterior-lateral-inferior)52 (41.3%)20 (23.5%)0.438 (0.237–0.809)0.008Daughter sac39 (31.0%)35 (41.2%)0.640 (0.361–1.137)0.128Maximum size (mm)6.377 ± 2.6766.690 ± 2.7580.958 (0.866–1.061)0.410AR (Aspect Ratio)1.395 ± 0.7221.283 ± 0.7001.256 (0.842–1.873)0.264SR (Size Ratio)1.809 ± 1.2571.823 ± 1.2250.991 (0.794–1.237)0.934PDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection Univariate analysis of variables for ONP recovery (n = 211) PDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection The research was carried out in accordance with the Declaration of Helsinki (2008) of the World Medical Association, and this study protocol was approved by our institution’s Ethics Committee. Informed consent of the procedure was waived for this retrospective study. The data of patients with aneurysmal ONP who received endovascular treatment for both ruptured and unruptured PcomA aneurysms at four tertiary hospitals was collected from January 2012 to December 2020. Complete ONP was defined as the combination of ptosis, fixed mydriasis, diplopia, and ophthalmoplegia. Incomplete ONP was defined as any combination of these signs, but not all four signs. Patients without follow-up information were eliminated from the study. A total of 211 patients were included in this study. Clinical characteristics associated with ONP recovery were reviewed and analyzed (Table 1). Table 1Univariate analysis of variables for ONP recovery (n = 211)VariablesComplete recovery(N = 126)Unpleasant recovery (N = 85)OR (95% CI)p-valueAge (X ± SD)60.06 ± 11.1162.05 ± 11.340.984 (0.960–1.009)0.208Female105 (83.3%)71 (83.5%)0.986 (0.470–2.067)0.970Diabetes7 (5.6%)8 (9.4%)0.566 (0.197–1.625)0.290Hypertension70 (55.6%)49 (57.6%)0.918 (0.527–1.601)0.764Smoking9 (7.1%)8 (9.4%)0.740 (0.274–2.002)0.554Alcohol abuse8 (6.3%)7 (8.2%)0.755 (0.263–2.167)0.602Subarachnoid hemorrhage80 (63.5%)34 (40.0%)2.609 (1.482–4.592)0.001Modified Fisher Scale1.664 (1.161–2.386)0.006046 (36.5%)51 (60.0%)1–246 (36.5%)18 (21.2%)3–434 (27.0%)16 (18.8%)Hunt-Hess Grades1.973 (1.274–3.057)0.002046 (36.5%)51 (60.0%)1–262 (49.2%)27 (31.8%)3–418 (14.3%)7 (8.2%)PDO (≤ 14 days)112 (88.9%)54 (63.5%)4.593 (2.258–9.339)<0.001Stent assisted63 (50.0%)47 (55.3%)0.809 (0.466–1.404)0.450Raymond scale1.119 (0.682–1.838)0.656193 (73.8%)65 (76.5%)226 (20.6%)16 (18.8%)37 (5.6%)4 (4.7%)Aspirin73 (57.9%)49 (57.6%)1.012 (0.580–1.766)0.967Mecobalamine51 (40.5%)43 (50.6%)0.664 (0.382–1.156)0.148PDP (incomplete)93 (73.8%)33 (38.8%)4.441 (2.462–8.010)<0.001DP (Posterior-lateral-inferior)52 (41.3%)20 (23.5%)0.438 (0.237–0.809)0.008Daughter sac39 (31.0%)35 (41.2%)0.640 (0.361–1.137)0.128Maximum size (mm)6.377 ± 2.6766.690 ± 2.7580.958 (0.866–1.061)0.410AR (Aspect Ratio)1.395 ± 0.7221.283 ± 0.7001.256 (0.842–1.873)0.264SR (Size Ratio)1.809 ± 1.2571.823 ± 1.2250.991 (0.794–1.237)0.934PDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection Univariate analysis of variables for ONP recovery (n = 211) PDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection Study design and study population: The research was carried out in accordance with the Declaration of Helsinki (2008) of the World Medical Association, and this study protocol was approved by our institution’s Ethics Committee. Informed consent of the procedure was waived for this retrospective study. The data of patients with aneurysmal ONP who received endovascular treatment for both ruptured and unruptured PcomA aneurysms at four tertiary hospitals was collected from January 2012 to December 2020. Complete ONP was defined as the combination of ptosis, fixed mydriasis, diplopia, and ophthalmoplegia. Incomplete ONP was defined as any combination of these signs, but not all four signs. Patients without follow-up information were eliminated from the study. A total of 211 patients were included in this study. Clinical characteristics associated with ONP recovery were reviewed and analyzed (Table 1). Table 1Univariate analysis of variables for ONP recovery (n = 211)VariablesComplete recovery(N = 126)Unpleasant recovery (N = 85)OR (95% CI)p-valueAge (X ± SD)60.06 ± 11.1162.05 ± 11.340.984 (0.960–1.009)0.208Female105 (83.3%)71 (83.5%)0.986 (0.470–2.067)0.970Diabetes7 (5.6%)8 (9.4%)0.566 (0.197–1.625)0.290Hypertension70 (55.6%)49 (57.6%)0.918 (0.527–1.601)0.764Smoking9 (7.1%)8 (9.4%)0.740 (0.274–2.002)0.554Alcohol abuse8 (6.3%)7 (8.2%)0.755 (0.263–2.167)0.602Subarachnoid hemorrhage80 (63.5%)34 (40.0%)2.609 (1.482–4.592)0.001Modified Fisher Scale1.664 (1.161–2.386)0.006046 (36.5%)51 (60.0%)1–246 (36.5%)18 (21.2%)3–434 (27.0%)16 (18.8%)Hunt-Hess Grades1.973 (1.274–3.057)0.002046 (36.5%)51 (60.0%)1–262 (49.2%)27 (31.8%)3–418 (14.3%)7 (8.2%)PDO (≤ 14 days)112 (88.9%)54 (63.5%)4.593 (2.258–9.339)<0.001Stent assisted63 (50.0%)47 (55.3%)0.809 (0.466–1.404)0.450Raymond scale1.119 (0.682–1.838)0.656193 (73.8%)65 (76.5%)226 (20.6%)16 (18.8%)37 (5.6%)4 (4.7%)Aspirin73 (57.9%)49 (57.6%)1.012 (0.580–1.766)0.967Mecobalamine51 (40.5%)43 (50.6%)0.664 (0.382–1.156)0.148PDP (incomplete)93 (73.8%)33 (38.8%)4.441 (2.462–8.010)<0.001DP (Posterior-lateral-inferior)52 (41.3%)20 (23.5%)0.438 (0.237–0.809)0.008Daughter sac39 (31.0%)35 (41.2%)0.640 (0.361–1.137)0.128Maximum size (mm)6.377 ± 2.6766.690 ± 2.7580.958 (0.866–1.061)0.410AR (Aspect Ratio)1.395 ± 0.7221.283 ± 0.7001.256 (0.842–1.873)0.264SR (Size Ratio)1.809 ± 1.2571.823 ± 1.2250.991 (0.794–1.237)0.934PDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection Univariate analysis of variables for ONP recovery (n = 211) PDO, Preoperative duration of ONP; PDP, Preoperative degree of palsy; DP, Dome projection Aneurysm direction: According to the method described in Matsukawa et al’s study, the direction of the aneurysm dome around the PComA was classified into 5 directions: superior, posterior, inferior, medial, and lateral [14]. Because oculomotor nerve usually goes parallel to posterior communicating artery along its inferior-lateral side [15], and a PcomA aneurysm projecting inferior-laterally is more likely to compress the oculomotor nerve, the aneurysms were divided into two categories: posterior-lateral-inferior direction and others. Treatment and imaging follow-up: All procedures were performed under general anesthesia. Three-dimensional (3D) rotational angiography was used to assess aneurysmal configuration. Each patient received 70 IU/kg of intravenous heparin during procedure, with an additional 1000 IU heparin administered every hour to maintain heparinization. The aneurysm was packed with coils as densely as possible after the microcatheter was advanced into it. For the treatment of wide-necked aneurysms, a stent-assisted coiling technique was used. Double microcatheter technique was used as required. For unruptured aneurysm, dual antiplatelets were administered daily for 3 to 6 months, then mono-antiplatelet for at least 6 months in patients treated with stent protection. Antiplatelet medications were not routinely prescribed for maintenance in patients treated with coiling alone. It should be noted that aspirin was prescribed for patients with hypertension or atherosclerosis regardless of stenting or not. For rupture aneurysm, if a stent was anticipated after 3D angiography, patients immediately received 300 mg of clopidogrel and 300 mg of aspirin via an orogastric tube or intraoperative intravenous tirofiban (5 µg/kg) and a maintenance dose of 0.1 µg/kg/min for 24 h. Patients were given dual antiplatelet medication (aspirin 100 mg/day for 1 year and clopidogrel 75 mg/day for 3–6 months) after procedure. At the discretion of each doctor, patients were prescribed or not prescribed mecobalamin tablets for at least one month. The Raymond classification was used to grade the angiographic results. Follow-up angiography was performed at about 6 months after the procedure, and magnetic resonance angiography or angiography annually thereafter. Recovery of ONP: ONP was assessed in the clinic. Complete recovery of ONP were defined as: (1) patients did not report diplopia in all directions of gazes; (2) complete resolution of ptosis; (3) full range of movement in medial, downward, and upward gaze; and (4) partial or complete recovery of pupillary reaction. Partial recovery was defined as the resolution of some but not all of the initially present symptoms [10, 16]. The unpleasant recovery group included partial recovery and no recovery. The recovery time of ONP was defined as the period between procedure and ONP recovery (either complete recovery, or partial recovery that was stable with no additional improvement). Statistical analysis Continuous variables were summarized as means ± standard deviation if normally distributed, or median and interquartile ranges if skew distribution. Categorical variables were presented as percentages. Appropriate statistical tests including Fisher’s exact test, Chi-squared tests, or Student’s t-tests were used to determine the factors related to ONP recovery. Factors predictive of ONP recovery in a univariate analysis (P < 0.2) were considered potentially independent variables and subsequently included in a multivariate logistic regression analysis. SPSS 23.0 software was utilized for statistical analysis. A P < 0.05 was considered statistically significant. Continuous variables were summarized as means ± standard deviation if normally distributed, or median and interquartile ranges if skew distribution. Categorical variables were presented as percentages. Appropriate statistical tests including Fisher’s exact test, Chi-squared tests, or Student’s t-tests were used to determine the factors related to ONP recovery. Factors predictive of ONP recovery in a univariate analysis (P < 0.2) were considered potentially independent variables and subsequently included in a multivariate logistic regression analysis. SPSS 23.0 software was utilized for statistical analysis. A P < 0.05 was considered statistically significant. Statistical analysis: Continuous variables were summarized as means ± standard deviation if normally distributed, or median and interquartile ranges if skew distribution. Categorical variables were presented as percentages. Appropriate statistical tests including Fisher’s exact test, Chi-squared tests, or Student’s t-tests were used to determine the factors related to ONP recovery. Factors predictive of ONP recovery in a univariate analysis (P < 0.2) were considered potentially independent variables and subsequently included in a multivariate logistic regression analysis. SPSS 23.0 software was utilized for statistical analysis. A P < 0.05 was considered statistically significant. Results: Baseline characteristics and procedure outcomes Of the 211 patients, the mean age was 60.8 ± 11.2 years old (range, 34–95 years). 176 (83.4%) were female. A ruptured aneurysm was found in 114 individuals (54.0%), while an unruptured aneurysm was found in 97 patients (46.0%). All patients received successful endovascular treatment, with 101 patients (47.9%) receiving coiling alone and 110 patients (52.1%) receiving stent-assisted coiling. Raymond class 1 was achieved in 158 patients (74.9%), Raymond class 2 in 42 patients (19.9%), and Raymond class 3 in 11 patients (5.2%). Of the 211 patients, the mean age was 60.8 ± 11.2 years old (range, 34–95 years). 176 (83.4%) were female. A ruptured aneurysm was found in 114 individuals (54.0%), while an unruptured aneurysm was found in 97 patients (46.0%). All patients received successful endovascular treatment, with 101 patients (47.9%) receiving coiling alone and 110 patients (52.1%) receiving stent-assisted coiling. Raymond class 1 was achieved in 158 patients (74.9%), Raymond class 2 in 42 patients (19.9%), and Raymond class 3 in 11 patients (5.2%). Baseline characteristics and procedure outcomes: Of the 211 patients, the mean age was 60.8 ± 11.2 years old (range, 34–95 years). 176 (83.4%) were female. A ruptured aneurysm was found in 114 individuals (54.0%), while an unruptured aneurysm was found in 97 patients (46.0%). All patients received successful endovascular treatment, with 101 patients (47.9%) receiving coiling alone and 110 patients (52.1%) receiving stent-assisted coiling. Raymond class 1 was achieved in 158 patients (74.9%), Raymond class 2 in 42 patients (19.9%), and Raymond class 3 in 11 patients (5.2%). Predictors of ONP recovery: At admission, 85 (40.3%) patients had complete ONP and 126 (59.7%) had incomplete ONP. The median interval time between onset of ONP and endovascular procedure was 6 days (interquartile range: 2–12 days). Median follow-up time was 12.7 months (interquartile range: 8.1–18.0 months). At the last available clinical follow-up, ONP resolution was complete in 126 (59.7%) patients, partial in 73 (34.6%) patients, and no recovery in 12 (5.7%) patients. ONP aggravation was not observed immediately after embolization. The median resolution time after endovascular treatment was 55 days (interquartile range: 40–90 days). In univariate analysis, subarachnoid hemorrhage, preoperative degree of ONP, preoperative duration of ONP, and aneurysm dome projection were all found to be significantly correlated with ONP outcome (Table 1). In a multivariate analysis, preoperative degree of ONP (incomplete palsy) and preoperative duration of ONP (≤ 14 days) were revealed to be independent predictors of complete nerve recovery following procedure (P<0.001 respectively) (Table 2). Table 2Multivariate logistic regression analysis for complete recovery of ONPIndependent factorsOR95% CIP-valuePreoperative duration of ONP (≤ 14 days)5.9402.724–12.954<0.001Preoperative degree of palsy (incomplete)5.3962.836–10.266<0.001 Multivariate logistic regression analysis for complete recovery of ONP Effect of aspirin on ONP recovery: Overall, 58.9% (73/122) of patients who took aspirin recovered completely from ONP, and 59.6% (53/89) of patients who did not take aspirin achieved a complete recovery of ONP (P = 0.967). In the subgroup analysis of unruptured PcomA aneurysms, the complete recovery rate of ONP was significantly higher in patients taking aspirin than in patients not taking aspirin in univariate analysis (P = 0.038), but there was no significant difference in the multivariate analysis (Table 3). Table 3Univariate and multivariate analysis of variables for ONP recovery in patients with unruptured aneurysm (n = 97)VariablesComplete recovery(N = 46)Unpleasant recovery (N = 51)univariatemultivariate P value OR (95% CI) P value OR (95% CI) Age (X ± SD)62.46 ± 11.0661.06 ± 12.110.5521.011 (0.976–1.046)Female35 (76.1%)44 (86.3%)0.2020.506 (0.178–1.441)Diabetes3 (6.5%)3 (5.9%)0.8961.116 (0.214–5.826)Hypertension27 (58.7%)28 (54.9%)0.7071.167 (0.522–2.616)Smoking4 (8.7%)4 (7.8%)0.8971.119 (0.263–4.757)Alcohol abuse5 (10.9%)4 (7.8%)0.6091.433 (0.361–5.695)Preoperative Duration of ONP (≤ 14 days)36 (78.3%)26 (51.0%)0.0063.462 (1.421–8.430)0.0034.463 (1.659–12.009)Stent assisted29 (63.0%)29 (56.9%)0.5361.294 (0.572–2.926)Raymond scale0.6481.191 (0.563–2.520)134 (73.9%)40 (78.4%)210 (21.7%)9 (17.6%)32 (4.3%)2 (3.9%)Aspirin37 (80.4%)31 (60.8%)0.0382.652 (1.057–6.656)0.1292.187 (0.797–6.001)Mecobalamine29 (63.0%)32 (62.7%)0.9761.013 (0.444–2.311)Preoperative degree of Palsy (incomplete)30 (65.2%)18 (35.3%)0.0043.437 (1.491–7.926)0.0044.041 (1.579–10.339)Dome projection (Posterior-lateral-inferior)32 (69.6%)40 (78.4%)0.3210.629 (0.251–1.572)Daughter sac15 (57.1%)20 (42.9%)0.4990.750 (0.326–1.727)Maximum size (mm)6.453 ± 2.4576.618 ± 2.8030.7560.976 (0.838–1.137)AR (Aspect Ratio)1.355 ± 0.7581.386 ± 0.7710.8420.948 (0.559–1.606)SR (Size Ratio)1.450 ± 0.9641.813 ± 1.3380.1390.757 (0.524–1.094)0.2840.799 (0.530–1.204) Univariate and multivariate analysis of variables for ONP recovery in patients with unruptured aneurysm (n = 97) Remaining symptoms in unpleasant recovery patients: Among the 211 patients, 183 had ptosis, 148 had fixed mydriasis, 156 had diplopia, and 172 had ophthalmoplegia. At the last available clinical follow-up, partial ONP recovery or no recovery was observed in 85 patients. The remaining symptoms included 13 ptosis, 47 fixed mydriasis, 23 diplopia, and 19 ophthalmoplegia. the symptom of fixed mydriasis displayed worse recovery than other symptoms after treatment (P < 0.001). Discussion: In this multi-center retrospective study, after endovascular treatment of PcomA aneurysm, the complete recovery rate of ONP was 59.7% and the partial recovery rate was 34.6%, resulting in an overall recovery rate of 94.3%. In our findings, incomplete ONP at admission and early management were independent predictors of complete nerve recovery following endovascular treatment. In the subgroup analysis of patients with unruptured aneurysms, aspirin showed a higher complete recovery rate in univariate analysis. After the publication of the International Subarachnoid Aneurysm Trial study in 2006, treatment of ruptured aneurysms has swayed toward endovascular treatment. However, there is still debate about the efficiency of surgical clipping and endovascular coiling on the resolution of ONP induced by PcomA aneurysms [2, 4]. Some authors believe that clipping is preferable to clipping because the aneurysmal mass effect, which was thought to be the main pathogenesis of aneurysmal ONP, can be reduced during surgical clipping [2, 17, 18]. The rate of complete ONP resolution has been reported from 32 to 85% after clipping [2]. However, other researches have suggested that pulsatile stimulation of aneurysms may be the main pathogenesis of ONP. Although endovascular therapy can not relieve the mass effect, it was as effective as clipping for the recovery of ONP by reducing the pulsatile stimulation of the aneurysm. They compared the clinical outcome of ONP after coiling and clipping, and found there was no significant difference between two groups, with the rate of complete ONP resolution ranging from 60.3 to 62.5% in coiling group vs. 48.7-87.5% in clipping group [4, 6, 8]. In this study, our results showed the complete recovery rate of ONP was 59.7% and the partial recovery rate was 34.6%, resulting in an overall recovery rate of 94.3% after endovascular treatment, which was in line with other studies. Theoretically, compared to conventional coiling, flow diversion (FD) without coiling or loose coiling can reduce mass effect, which may be more beneficial for the recovery of ONP. However, there are only limited cases using FD for treatment PcomA aneurysms with ONP reported in the literatures and the evidence to support the superiority of FD over conventional coiling is still insufficient [19, 20]. One possible reason for neurointerventionlists hesitating to use FD in ruptured aneurysms is the need of antiplatelet therapy, which is considered dangerous if aneurysms without coiling or loose coiling in acute stage. It is also not a safe choice for unruptured PcomA aneurysms with ONP, considering aneurysms with ONP are usually unstable and have a high risk of rupture. In our findings, incomplete ONP at admission and early management were independent predictors of complete nerve recovery following endovascular treatment. Despite the fact that they appeared to be simple, our findings were consistent with those of many other studies. Several studies and meta-analyses showed that patients with incomplete ONP had a higher rate of recovery [7, 8, 10, 21]. Others discovered a link between early treatment and the degree of ONP recovery [2, 8, 22, 23]. Mechanical compression was considered as a major factor of aneurysm related ONP, and morphological characteristics of aneurysm might be related with the occurrence and outcome of ONP. According to Lv et al., PcomA aneurysms with ONP showed a distinct morphological-hemodynamic pattern, such as larger size, more irregular shape, and lower wall shear stress [24]. Hall et al. found that patients who presented with an aneurysm < 7 mm had a higher rate of complete palsy resolution compared to aneurysms > 7 mm [7]. However, in other systematic review, aneurysm size was not found to be a significant factor of ONP recovery [18]. The aneurysmal direction might affect the occurrence and recovery of ONP anatomically. Abdurahman et al. reported that the non-posterolateral direction of the aneurysm showed a tendency towards better recovery compared to the posterolateral projection [25], while in another study there was no correlation between aneurysmal direction and ONP recovery [26]. In our study, posterior-lateral-inferior direction of aneurysm dome showed a tendency towards unpleasant ONP recovery compared to other directions in univariate analysis, however, there was no significant difference in multivariate analysis. This result could be caused by anatomical differences between individuals. Inflammation of the aneurysm wall may be a potential cause of ONP [11]. Animal experiment has verified that aneurysm wall enhancement in magnetic resonance vessel wall imaging is associated with inflammation [27]. Unruptured intracranial aneurysms with ONP or sentinel headache more frequently showed aneurysm wall enhancement than asymptomatic ones [11]. Therefore, anti-inflammatory treatment might contribute to the resolution of cranial nerve palsy. Corticosteroid as an anti-inflammatory medication is widely used for nerve palsy. However, studies focusing on ONP caused by intracranial aneurysms are limited, except for some case reports. Myriam et al. reported a patient with optic nerve palsy caused by a massive carotid-ophthalmic aneurysm [12]. Except for steroids, the patients refused any treatment for aneurysm. After a year, the patient’s optic nerve palsy had completely resolved, and the aneurysm wall enhancement had greatly diminished. Belotti et al. reported a case of ONP caused by neurovascular conflict [28]. In this case, the posterior communicating artery caused a compression of the ipsilateral oculomotor nerve. ONP completely recovered 13 days after the beginning of the steroid treatment. These findings suggested that ONP could be induced by aneurysm wall inflammation or an inflammatory environment around the oculomotor nerves, and that anti-inflammatory medication could contribute to the resolution of cranial nerve palsy. Aspirin as a kind of antiplatelet drugs has an anti-inflammatory effect and has been confirmed to reduce aneurysm wall inflammation [13]. As we know, there was no study investigating effect of aspirin on ONP up to now. In our study, aspirin was not found to be a predictor of complete nerve recovery either in univariate or multivariate logistic regression analysis. However, in the subgroup analysis, aspirin was revealed to be a statistically significant predictor of complete nerve recovery in patients with unruptured aneurysms in univariate analysis, but not in patients with ruptured aneurysms in subgroup analysis. It might be explained by the probably different pathologic mechanisms of ONP between ruptured and unruptured aneurysms. Apart from mass effect and pulsation irritation, the hemorrhagic irritation might be an inescapable factor in ruptured aneurysms, nevertheless, the inflammation might be a major factor in unruptured aneurysms. According to our preliminary result, aspirin might promote the recovery of ONP for patients with unruptured PcomA aneurysms. This finding maybe advances our understanding of the pathogenesis of aneurysmal ONP, however, further studies are needed to verify the effect of aspirin on ONP recovery. There are a few limitations in this research. Firstly, both ruptured and unruptured PcomA aneurysms were included in our study. The mechanisms of ONP induced by unruptured PcomA aneurysms were not identical to those generated by ruptured PcomA aneurysms, which may reduce the comparability of the two groups. Secondly, we discovered that the aneurysmal dome’s posterior-lateral-inferior orientation may compromise ONP recovery, but there was no gross pathological or imaging data to confirm whether aneurysms’ posterior-lateral-inferior orientation exacerbated the mass effect in this investigation. Thirdly, we did not perform high-resolution wall imaging to assess the extent of aneurysm wall enhancement during follow-up. Conclusion: In this study, we presented the results of a series of 211 patients undergoing endovascular treatment for PcomA aneurysms with ONP. We discovered that more than 90% of patients had varying degrees of ONP recovery after procedures. Preoperative incomplete ONP and early management were the independent factors predicting complete recovery of ONP.
Background: Oculomotor nerve palsy (ONP) may result from posterior communicating artery (PcomA) aneurysms. We aimed to evaluate the resolution of ONP after endovascular treatment with the intention of clarifying predictors of nerve recovery in a relatively large series. Methods: A total of 211 patients with ONP caused by PcomA aneurysms underwent endovascular coiling between May 2010 and December 2020 in four tertiary hospitals. We evaluated the demographics, clinical characteristics, aneurysm morphology parameters and ONP resolution to analyze the predictors of ONP recovery using univariate and multivariate analyses. Results: At the last available clinical follow-up, ONP resolution was complete in 126 (59.7%) patients, partial in 73 (34.6%) patients, and no recovery in 12 (5.7%) patients. The median resolution time after endovascular treatment was 55 days (interquartile range: 40-90 days). In multivariate analysis, degree of ONP (incomplete palsy) on admission (OR 5.396; 95% CI 2.836-10.266; P < 0.001), duration of ONP (≤ 14 days) before treatment (OR 5.940; 95% CI 2.724-12.954; P < 0.001) were statistically significant predictors of complete recovery of ONP. In the subgroup analysis of patients with unruptured aneurysms, aspirin showed a higher complete recovery rate in univariate analysis (OR 2.652; 95% CI 1.057-6.656; P = 0.038). Conclusions: Initial incomplete ONP and early management might predict better recovery of ONP after endovascular treatment.
Background: Oculomotor nerve palsy (ONP) is a well-known clinical sign of posterior communicating artery (PcomA) aneurysms, which can be a serious neurologic emergency due to the potential of subarachnoid hemorrhage. ONP occurs in about 20% of patients with PcomA aneurysms [1]. There is no consensus on the optimum therapeutic approach for a PcomA aneurysm with ONP [2–6]. Endovascular therapy has become a popular treatment option for cerebral aneurysms because of its great efficiency and low invasiveness. Approximately half of patients, however, do not recover completely from ONP after endovascular treatment [7, 8]. The probable mechanisms of PcomA aneurysm-related ONP include direct mechanical compression of the third nerve by aneurysm, nerve injury from aneurysm pulsation, and irritation from subarachnoid hemorrhage [3, 7, 9]. Many studies have found that the degree of ONP recovery is influenced by ONP severity, symptom duration, aneurysm morphology, aneurysm status, and treatment modalities [4, 7, 10], however, the sample sizes are mostly small. Furthermore, aneurysm wall inflammation has been found to be related with ONP [11] and there is a case report of complete recovery of optic nerve palsy after anti-inflammatory medication without any treatment for the giant carotid-ophthalmic aneurysm [12]. Aspirin, the most widely used anti-inflammatory, has been shown to beneficially attenuate the aberrant inflammatory microenvironment within the aneurysmal wall [13]. However, as far as we know, there has been no study exploring the effect of aspirin on the recovery of ONP induced by PcomA aneurysm. In this multi-center retrospective study, we aimed to evaluate the resolution of ONP with the intention of clarifying predictors of nerve recovery in a relatively large series, and to investigate the effect of the aneurysmal morphological parameters and antiplatelet therapy on ONP recovery. Conclusion: In this study, we presented the results of a series of 211 patients undergoing endovascular treatment for PcomA aneurysms with ONP. We discovered that more than 90% of patients had varying degrees of ONP recovery after procedures. Preoperative incomplete ONP and early management were the independent factors predicting complete recovery of ONP.
Background: Oculomotor nerve palsy (ONP) may result from posterior communicating artery (PcomA) aneurysms. We aimed to evaluate the resolution of ONP after endovascular treatment with the intention of clarifying predictors of nerve recovery in a relatively large series. Methods: A total of 211 patients with ONP caused by PcomA aneurysms underwent endovascular coiling between May 2010 and December 2020 in four tertiary hospitals. We evaluated the demographics, clinical characteristics, aneurysm morphology parameters and ONP resolution to analyze the predictors of ONP recovery using univariate and multivariate analyses. Results: At the last available clinical follow-up, ONP resolution was complete in 126 (59.7%) patients, partial in 73 (34.6%) patients, and no recovery in 12 (5.7%) patients. The median resolution time after endovascular treatment was 55 days (interquartile range: 40-90 days). In multivariate analysis, degree of ONP (incomplete palsy) on admission (OR 5.396; 95% CI 2.836-10.266; P < 0.001), duration of ONP (≤ 14 days) before treatment (OR 5.940; 95% CI 2.724-12.954; P < 0.001) were statistically significant predictors of complete recovery of ONP. In the subgroup analysis of patients with unruptured aneurysms, aspirin showed a higher complete recovery rate in univariate analysis (OR 2.652; 95% CI 1.057-6.656; P = 0.038). Conclusions: Initial incomplete ONP and early management might predict better recovery of ONP after endovascular treatment.
5,143
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[ 351, 872, 433, 95, 304, 361, 113, 124, 251, 351, 83 ]
14
[ "onp", "recovery", "patients", "aneurysm", "analysis", "aneurysms", "onp recovery", "study", "treatment", "complete" ]
[ "nerve injury aneurysm", "oculomotor nerve aneurysms", "considering aneurysms onp", "pcoma aneurysm onp", "aneurysm onp endovascular" ]
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[CONTENT] Oculomotor nerve palsy | Posterior communicating artery aneurysm | Endovascular treatment | Prognostic factor [SUMMARY]
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[CONTENT] Oculomotor nerve palsy | Posterior communicating artery aneurysm | Endovascular treatment | Prognostic factor [SUMMARY]
[CONTENT] Oculomotor nerve palsy | Posterior communicating artery aneurysm | Endovascular treatment | Prognostic factor [SUMMARY]
[CONTENT] Oculomotor nerve palsy | Posterior communicating artery aneurysm | Endovascular treatment | Prognostic factor [SUMMARY]
[CONTENT] Oculomotor nerve palsy | Posterior communicating artery aneurysm | Endovascular treatment | Prognostic factor [SUMMARY]
[CONTENT] Aspirin | Embolization, Therapeutic | Endovascular Procedures | Humans | Intracranial Aneurysm | Oculomotor Nerve Diseases | Prognosis | Retrospective Studies | Treatment Outcome [SUMMARY]
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[CONTENT] Aspirin | Embolization, Therapeutic | Endovascular Procedures | Humans | Intracranial Aneurysm | Oculomotor Nerve Diseases | Prognosis | Retrospective Studies | Treatment Outcome [SUMMARY]
[CONTENT] Aspirin | Embolization, Therapeutic | Endovascular Procedures | Humans | Intracranial Aneurysm | Oculomotor Nerve Diseases | Prognosis | Retrospective Studies | Treatment Outcome [SUMMARY]
[CONTENT] Aspirin | Embolization, Therapeutic | Endovascular Procedures | Humans | Intracranial Aneurysm | Oculomotor Nerve Diseases | Prognosis | Retrospective Studies | Treatment Outcome [SUMMARY]
[CONTENT] Aspirin | Embolization, Therapeutic | Endovascular Procedures | Humans | Intracranial Aneurysm | Oculomotor Nerve Diseases | Prognosis | Retrospective Studies | Treatment Outcome [SUMMARY]
[CONTENT] nerve injury aneurysm | oculomotor nerve aneurysms | considering aneurysms onp | pcoma aneurysm onp | aneurysm onp endovascular [SUMMARY]
null
[CONTENT] nerve injury aneurysm | oculomotor nerve aneurysms | considering aneurysms onp | pcoma aneurysm onp | aneurysm onp endovascular [SUMMARY]
[CONTENT] nerve injury aneurysm | oculomotor nerve aneurysms | considering aneurysms onp | pcoma aneurysm onp | aneurysm onp endovascular [SUMMARY]
[CONTENT] nerve injury aneurysm | oculomotor nerve aneurysms | considering aneurysms onp | pcoma aneurysm onp | aneurysm onp endovascular [SUMMARY]
[CONTENT] nerve injury aneurysm | oculomotor nerve aneurysms | considering aneurysms onp | pcoma aneurysm onp | aneurysm onp endovascular [SUMMARY]
[CONTENT] onp | recovery | patients | aneurysm | analysis | aneurysms | onp recovery | study | treatment | complete [SUMMARY]
null
[CONTENT] onp | recovery | patients | aneurysm | analysis | aneurysms | onp recovery | study | treatment | complete [SUMMARY]
[CONTENT] onp | recovery | patients | aneurysm | analysis | aneurysms | onp recovery | study | treatment | complete [SUMMARY]
[CONTENT] onp | recovery | patients | aneurysm | analysis | aneurysms | onp recovery | study | treatment | complete [SUMMARY]
[CONTENT] onp | recovery | patients | aneurysm | analysis | aneurysms | onp recovery | study | treatment | complete [SUMMARY]
[CONTENT] onp | aneurysm | nerve | pcoma | inflammatory | pcoma aneurysm | recovery | treatment | effect | anti inflammatory [SUMMARY]
null
[CONTENT] patients | class | raymond class | raymond | aneurysm found | receiving | years | coiling | found | 11 [SUMMARY]
[CONTENT] onp | series 211 patients | onp recovery procedures | study presented results series | incomplete onp early management | incomplete onp early | management independent factors predicting | results series | results series 211 | results series 211 patients [SUMMARY]
[CONTENT] onp | recovery | patients | aneurysm | analysis | onp recovery | aneurysms | study | variables | raymond class [SUMMARY]
[CONTENT] onp | recovery | patients | aneurysm | analysis | onp recovery | aneurysms | study | variables | raymond class [SUMMARY]
[CONTENT] ||| ONP [SUMMARY]
null
[CONTENT] 126 | 59.7% | 73 | 34.6% | 12 | 5.7% ||| 55 days | 40-90 days ||| ONP (incomplete palsy | 5.396 | 95% | CI | 2.836 | 0.001 | ONP | 14 days | 5.940 | 95% | CI | 2.724-12.954 | P < 0.001 | ONP ||| 2.652 | 95% | CI | 1.057 | P = 0.038 [SUMMARY]
[CONTENT] ONP | ONP [SUMMARY]
[CONTENT] ||| ONP ||| 211 | May 2010 | December 2020 | four ||| ||| ||| 126 | 59.7% | 73 | 34.6% | 12 | 5.7% ||| 55 days | 40-90 days ||| ONP (incomplete palsy | 5.396 | 95% | CI | 2.836 | 0.001 | ONP | 14 days | 5.940 | 95% | CI | 2.724-12.954 | P < 0.001 | ONP ||| 2.652 | 95% | CI | 1.057 | P = 0.038 ||| ONP | ONP [SUMMARY]
[CONTENT] ||| ONP ||| 211 | May 2010 | December 2020 | four ||| ||| ||| 126 | 59.7% | 73 | 34.6% | 12 | 5.7% ||| 55 days | 40-90 days ||| ONP (incomplete palsy | 5.396 | 95% | CI | 2.836 | 0.001 | ONP | 14 days | 5.940 | 95% | CI | 2.724-12.954 | P < 0.001 | ONP ||| 2.652 | 95% | CI | 1.057 | P = 0.038 ||| ONP | ONP [SUMMARY]
Influence of anti-coronavirus disease 2019 policies on 10 pediatric infectious diseases.
34388287
To combat the coronavirus disease 2019 pandemic, many countries, including Japan, implemented policies limiting social activities and encouraging preventive behaviors. This study examines the influence of such policies on the trends of 10 infectious pediatric diseases: pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; herpangina; respiratory syncytial virus; exanthem subitum; and mumps.
BACKGROUND
The research adopted a retrospective cohort study design. We collected data from Japan's National Epidemiological Surveillance Program detailing the incidences of the 10 diseases per pediatric sentinel site for a period beginning at 9 weeks before government-ordered school closures and ending at 9 weeks after the end of the state of emergency. We obtained corresponding data for the equivalent weeks in 2015-2019. We estimated the influence of the policies using a difference-in-differences regression model.
METHODS
For seven diseases (pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; and herpangina), the incidence in 2020 decreased significantly during and after the school closures. Sensitivity analysis, in which the focus area was limited to the policy-implementation period or existing trend patterns, replicated these significant decreases for one of the above mentioned seven diseases - infectious gastroenteritis.
RESULTS
Policies such as school closures and encouragement of preventive behaviors were associated with significant decreases in the incidences of most of the 10 diseases, which sensitivity analysis replicated in infectious gastroenteritis. To determine the long-term effects of these policies, prospective cohort studies are needed.
CONCLUSIONS
[ "Adenovirus Infections, Human", "COVID-19", "Chickenpox", "Child", "Communicable Diseases", "Erythema Infectiosum", "Gastroenteritis", "Hand, Foot and Mouth Disease", "Herpangina", "Humans", "Pharyngitis", "Policy", "Prospective Studies", "Retrospective Studies", "Streptococcus pyogenes" ]
8447317
null
null
Methods
The present research comprised a retrospective cohort study. Setting and data source The data for this study were obtained from the National Epidemiological Surveillance of Infectious Diseases (NESID) Program. 13 , 14 , 15 In Japan, based on the Act on the Prevention of Infectious Diseases and Medical Care for Patients with Infectious Diseases, the trends of a number of diseases are monitored. 16 Regarding pediatric infections, the NESID Program records the weekly incidences of 10 diseases by monitoring data from approximately 3,000 pediatric sentinel sites located across the country; these 10 diseases are: pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; herpangina; respiratory syncytial virus (RSV); exanthem subitum; and mumps. 17 In Japan, most patients of pediatric hospitals and clinics are under 15 years old. 18 In January we therefore collected data of the total child population aged <15 years from the website of official statistics in Japan and used this information as the denominator. 19 The pediatric sentinel sites were chosen randomly as much as possible from hospitals and clinics with a pediatric department to monitor the cases of infections in each prefecture, considering the distribution of the population as well as hospitals and clinics with a pediatric department. The number of sentinel sites was decided based on the size of the population being served by each public health center. 20 For example, for a population size of <30 000, 30 000 ≤ 75 000, or ≥75 000, the number of sentinel sites was 1, 2, or 3+ (this number was determined by subtracting 75 000 from the size of the population and dividing the result by 50 000). We collected the data for the number of sentinel sites every week during the 2015–2019 observation period through annual reports. 13 In the sentinel sites, when the 10 diseases mentioned above are diagnosed, the numbers of cases are reported the following Monday. Respiratory syncytial virus and group A streptococcal pharyngitis require a positive diagnostic test for the diagnosis but others do not. 17 In weekly monitoring, each week commenced on a Monday and ended on the following Sunday; the first week of the year could commence in the previous year if the first day of the year was not a Monday. 21 One week was defined such that the first week of the year included at least 4 days of the new year. All weeks were numbered serially. The data for this study were obtained from the National Epidemiological Surveillance of Infectious Diseases (NESID) Program. 13 , 14 , 15 In Japan, based on the Act on the Prevention of Infectious Diseases and Medical Care for Patients with Infectious Diseases, the trends of a number of diseases are monitored. 16 Regarding pediatric infections, the NESID Program records the weekly incidences of 10 diseases by monitoring data from approximately 3,000 pediatric sentinel sites located across the country; these 10 diseases are: pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; herpangina; respiratory syncytial virus (RSV); exanthem subitum; and mumps. 17 In Japan, most patients of pediatric hospitals and clinics are under 15 years old. 18 In January we therefore collected data of the total child population aged <15 years from the website of official statistics in Japan and used this information as the denominator. 19 The pediatric sentinel sites were chosen randomly as much as possible from hospitals and clinics with a pediatric department to monitor the cases of infections in each prefecture, considering the distribution of the population as well as hospitals and clinics with a pediatric department. The number of sentinel sites was decided based on the size of the population being served by each public health center. 20 For example, for a population size of <30 000, 30 000 ≤ 75 000, or ≥75 000, the number of sentinel sites was 1, 2, or 3+ (this number was determined by subtracting 75 000 from the size of the population and dividing the result by 50 000). We collected the data for the number of sentinel sites every week during the 2015–2019 observation period through annual reports. 13 In the sentinel sites, when the 10 diseases mentioned above are diagnosed, the numbers of cases are reported the following Monday. Respiratory syncytial virus and group A streptococcal pharyngitis require a positive diagnostic test for the diagnosis but others do not. 17 In weekly monitoring, each week commenced on a Monday and ended on the following Sunday; the first week of the year could commence in the previous year if the first day of the year was not a Monday. 21 One week was defined such that the first week of the year included at least 4 days of the new year. All weeks were numbered serially. Exposures The Japanese government began encouraging preventive behaviors on February 25, 2020 (the second day of week 9), and on March 2 (the first day of week 10) it ordered the closure of all elementary, junior high, high, and special‐needs schools until the end of the spring vacation. 8 , 11 Next, on April 7 (the second day of week 15), it declared a state of emergency and recommended limiting social activities. 9 During the state of emergency, the Japanese government modified the districts which required limiting social activities thrice, depending on the incidences. The government ended the state of emergency on May 25 (the first day of week 22). 10 The Japanese government began encouraging preventive behaviors on February 25, 2020 (the second day of week 9), and on March 2 (the first day of week 10) it ordered the closure of all elementary, junior high, high, and special‐needs schools until the end of the spring vacation. 8 , 11 Next, on April 7 (the second day of week 15), it declared a state of emergency and recommended limiting social activities. 9 During the state of emergency, the Japanese government modified the districts which required limiting social activities thrice, depending on the incidences. The government ended the state of emergency on May 25 (the first day of week 22). 10 Outcomes For each of the 10 infectious pediatric diseases focused on in this research, we collected data regarding the cases per pediatric sentinel site from week 1 to week 30 for each year from 2015 to 2020. 14 , 15 , 22 In cases where we could not obtain data on the number of cases per pediatric sentinel site, we collected the data regarding the overall weekly number of cases and divided the number by the number of sentinel sites. As we used data that were openly available online, no approval from an ethics committee was required. For each of the 10 infectious pediatric diseases focused on in this research, we collected data regarding the cases per pediatric sentinel site from week 1 to week 30 for each year from 2015 to 2020. 14 , 15 , 22 In cases where we could not obtain data on the number of cases per pediatric sentinel site, we collected the data regarding the overall weekly number of cases and divided the number by the number of sentinel sites. As we used data that were openly available online, no approval from an ethics committee was required. Statistical analysis Means and standard deviations were used to describe the number of the pediatric sentinel sites each week for each of the year‐based observation periods, and the total number of cases and estimated child population in Japan of each year were also reported. Each disease trend (cases per sentinel site) was described using line graphs. We estimated the influence of anti‐COVID‐19 policies, both school closures and encouragement of preventive behaviors, using a difference‐in‐differences regression model. 23 This model can be used to estimate a policy's effects, as it compares an intervention group's outcomes before and after the policy implementation, and also compares these outcomes with a control group's contemporaneous outcomes (which were not affected by the policy). 23 For the present analysis, we assumed parallel trends and same effects from other events except the effects of policy implementation on each trend during and after the period of the implementation and its corresponding period for each year. In the main analysis, we regarded the intervention period as 10–30 weeks – that is, from the start of school closures until after the schools reopened. To perform sensitivity analysis, we limited the intervention period to 10–21 weeks, which represented the period during which the policies for limiting social activities were implemented. We adjusted the intervention and its corresponding period (10–30/10–21 weeks every year from 2015–2020), the year of 2020, and anti‐COVID‐19 policies (10–30/10–21 weeks in 2020) as independent variables. The beta‐coefficients of 10–30/10–21 weeks every year from 2015–2020, the year of 2020, and anti‐COVID‐19 policies represent the risk difference of each independent variable. When the beta‐coefficients with 95% confidential interval were under 0 or above 0, we regarded it as a statistically significant decrease or increase, respectively. In cases where visual judgment of the line graphs helped detect several trend patterns for a disease, we estimated the influence of each pattern using a difference‐in‐differences regression model. We used Microsoft Excel® 2016 (Microsoft Corporation, Redmond, WA, USA) to develop the line graphs, and Stata® 14.2 (Stata Corp, College Station, TX, USA) for the other analyses. Means and standard deviations were used to describe the number of the pediatric sentinel sites each week for each of the year‐based observation periods, and the total number of cases and estimated child population in Japan of each year were also reported. Each disease trend (cases per sentinel site) was described using line graphs. We estimated the influence of anti‐COVID‐19 policies, both school closures and encouragement of preventive behaviors, using a difference‐in‐differences regression model. 23 This model can be used to estimate a policy's effects, as it compares an intervention group's outcomes before and after the policy implementation, and also compares these outcomes with a control group's contemporaneous outcomes (which were not affected by the policy). 23 For the present analysis, we assumed parallel trends and same effects from other events except the effects of policy implementation on each trend during and after the period of the implementation and its corresponding period for each year. In the main analysis, we regarded the intervention period as 10–30 weeks – that is, from the start of school closures until after the schools reopened. To perform sensitivity analysis, we limited the intervention period to 10–21 weeks, which represented the period during which the policies for limiting social activities were implemented. We adjusted the intervention and its corresponding period (10–30/10–21 weeks every year from 2015–2020), the year of 2020, and anti‐COVID‐19 policies (10–30/10–21 weeks in 2020) as independent variables. The beta‐coefficients of 10–30/10–21 weeks every year from 2015–2020, the year of 2020, and anti‐COVID‐19 policies represent the risk difference of each independent variable. When the beta‐coefficients with 95% confidential interval were under 0 or above 0, we regarded it as a statistically significant decrease or increase, respectively. In cases where visual judgment of the line graphs helped detect several trend patterns for a disease, we estimated the influence of each pattern using a difference‐in‐differences regression model. We used Microsoft Excel® 2016 (Microsoft Corporation, Redmond, WA, USA) to develop the line graphs, and Stata® 14.2 (Stata Corp, College Station, TX, USA) for the other analyses.
Results
The mean numbers of pediatric sentinel sites during the observation period were 3,148.5 ± 37.5 in 2015, 3,159.5 ± 4.6 in 2016, 3,162.7 ± 5.3 in 2017, 3,157.9 ± 9.3 in 2018, and 3,157.6 ± 52.6 in 2019. The numbers for 2020 were not reported. The number of cases of the 10 diseases reported during the observation period is shown in Table 1. The total child population, those aged 0–14 years, in Japan is shown in Table S1. The annual number of reported cases for the 10 target diseases during the observation period RSV, respiratory syncytial virus. The trends for five diseases (pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; and erythema infectiosum) are shown in Figure 1a–e. The trends for pharyngoconjunctival fever (Fig. 1a), group A streptococcal pharyngitis (Fig. 1b), infectious gastroenteritis (Fig. 1c), chickenpox (Fig. 1d), and erythema infectiosum (Fig. 1e) showed that their number of weekly cases in 2020 were the lowest across the 2015–2020 period, starting from late March (week 13), the middle of March (week 11), late February (week 9), the middle of March (week 12), and early May (week 19), respectively, to the end of the observation period after the school closure. Trends for 10 infectious diseases: (a) pharyngoconjunctival fever; (b) group A streptococcal pharyngitis; (c) infectious gastroenteritis; (d) chickenpox; (e) erythema infectiosum; (f) hand, foot, and mouth disease; (g) herpangina; (h) respiratory syncytial virus; (i) exanthem subitum; (j) mumps. Blue line shows the trend for 2015, orange line for 2016, gray line for 2017, yellow line for 2018, green line for 2019, and black line for 2020. The number of cases per week for hand, foot, and mouth disease (Fig. 1f) and herpangina (Fig. 1g) started to increase in April and May of every year during the observation period. The per week cases of these diseases in 2020 were the lowest for the entire 2015–2020 period, starting from late April (week 17) and March (week 12), respectively, to the end of the observation period after the school closure. The trend for RSV over the period of 2015–2020 is shown in Figure 1h. When considering the trends for 2015–2019, two patterns were detected. In 2015 and 2016, the highest occurrences per week were detected in early January (week 1 or 2). In contrast, in 2017, 2018, and 2019, the highest occurrence in a week was detected in late July (week 30). From the middle of March (week 12) 2020 to the end of the observation period, the number of weekly cases was the lowest for the entire 2015–2020 period. The trend for exanthem subitum is shown in Figure 1i. From early January (week 1) to early June (week 23) 2020, the number of cases per week was the lowest for the 2015–2020 period, with the exception of early February (week 7) and late April (week 18). After week 23, the number of weekly cases was no longer the lowest, unlike that for other diseases. The trend for mumps is shown in Figure 1j. Overall, the number of cases each week in 2020 was the lowest across the 2015–2020 period. The main analysis showed that, for seven of the 10 diseases (pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; and herpangina), the number of weekly cases in 2020 was significantly lower during and after the school closures (Table 2). Sensitivity analysis replicated the significant findings from the main analysis for infectious gastroenteritis (Table S2). The results of hand, foot, and mouth disease and herpangina showed a significant increase, conflicting with those of the main analysis. The results of exanthem subitum showed significant decreases in the 2020 incidences, which were not noted as significant in the main analysis. Regarding RSV, over the course of the entire observation period, the number of weekly cases in 2020 did not differ significantly, including when sensitivity analysis was performed limiting the intervention period to 10–21 weeks. However, when considering the trend seen in the previous years (2017, 2018, and 2019 featuring peaks in July), the sensitivity analysis showed that, after the introduction of policies such as school closures and encouragement of preventive behaviors, the trend in 2020 showed a significant decrease in the number of cases each week while the results of the sensitivity analysis considering the other patterns (2015 and 2016 featuring peaks in January) showed a significant increase. One disease (mumps) did not show a significant decrease in either the main or the sensitivity analysis. The effects of each independent variable on the number of cases per week per sentinel site in the main analysis CI, confidential interval; RSV, respiratory syncytial virus.
Conclusion
For seven of the 10 infectious pediatric diseases, the per week cases in 2020 significantly decreased during and after the implementation of preventive policies such as school closures, and was replicated by the sensitivity analysis for the 2020 incidence of infectious gastroenteritis. Prospective cohort studies with a long observation period will be needed to determine the long‐term influence of these policies.
[ "Setting and data source", "Exposures", "Outcomes", "Statistical analysis", "Author contributions" ]
[ "The data for this study were obtained from the National Epidemiological Surveillance of Infectious Diseases (NESID) Program.\n13\n, \n14\n, \n15\n In Japan, based on the Act on the Prevention of Infectious Diseases and Medical Care for Patients with Infectious Diseases, the trends of a number of diseases are monitored.\n16\n Regarding pediatric infections, the NESID Program records the weekly incidences of 10 diseases by monitoring data from approximately 3,000 pediatric sentinel sites located across the country; these 10 diseases are: pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; herpangina; respiratory syncytial virus (RSV); exanthem subitum; and mumps.\n17\n\n\nIn Japan, most patients of pediatric hospitals and clinics are under 15 years old.\n18\n In January we therefore collected data of the total child population aged <15 years from the website of official statistics in Japan and used this information as the denominator.\n19\n The pediatric sentinel sites were chosen randomly as much as possible from hospitals and clinics with a pediatric department to monitor the cases of infections in each prefecture, considering the distribution of the population as well as hospitals and clinics with a pediatric department. The number of sentinel sites was decided based on the size of the population being served by each public health center.\n20\n For example, for a population size of <30 000, 30 000 ≤ 75 000, or ≥75 000, the number of sentinel sites was 1, 2, or 3+ (this number was determined by subtracting 75 000 from the size of the population and dividing the result by 50 000). We collected the data for the number of sentinel sites every week during the 2015–2019 observation period through annual reports.\n13\n In the sentinel sites, when the 10 diseases mentioned above are diagnosed, the numbers of cases are reported the following Monday. Respiratory syncytial virus and group A streptococcal pharyngitis require a positive diagnostic test for the diagnosis but others do not.\n17\n In weekly monitoring, each week commenced on a Monday and ended on the following Sunday; the first week of the year could commence in the previous year if the first day of the year was not a Monday.\n21\n One week was defined such that the first week of the year included at least 4 days of the new year. All weeks were numbered serially.", "The Japanese government began encouraging preventive behaviors on February 25, 2020 (the second day of week 9), and on March 2 (the first day of week 10) it ordered the closure of all elementary, junior high, high, and special‐needs schools until the end of the spring vacation.\n8\n, \n11\n Next, on April 7 (the second day of week 15), it declared a state of emergency and recommended limiting social activities.\n9\n During the state of emergency, the Japanese government modified the districts which required limiting social activities thrice, depending on the incidences. The government ended the state of emergency on May 25 (the first day of week 22).\n10\n\n", "For each of the 10 infectious pediatric diseases focused on in this research, we collected data regarding the cases per pediatric sentinel site from week 1 to week 30 for each year from 2015 to 2020.\n14\n, \n15\n, \n22\n In cases where we could not obtain data on the number of cases per pediatric sentinel site, we collected the data regarding the overall weekly number of cases and divided the number by the number of sentinel sites.\nAs we used data that were openly available online, no approval from an ethics committee was required.", "Means and standard deviations were used to describe the number of the pediatric sentinel sites each week for each of the year‐based observation periods, and the total number of cases and estimated child population in Japan of each year were also reported. Each disease trend (cases per sentinel site) was described using line graphs. We estimated the influence of anti‐COVID‐19 policies, both school closures and encouragement of preventive behaviors, using a difference‐in‐differences regression model.\n23\n This model can be used to estimate a policy's effects, as it compares an intervention group's outcomes before and after the policy implementation, and also compares these outcomes with a control group's contemporaneous outcomes (which were not affected by the policy).\n23\n For the present analysis, we assumed parallel trends and same effects from other events except the effects of policy implementation on each trend during and after the period of the implementation and its corresponding period for each year. In the main analysis, we regarded the intervention period as 10–30 weeks – that is, from the start of school closures until after the schools reopened. To perform sensitivity analysis, we limited the intervention period to 10–21 weeks, which represented the period during which the policies for limiting social activities were implemented. We adjusted the intervention and its corresponding period (10–30/10–21 weeks every year from 2015–2020), the year of 2020, and anti‐COVID‐19 policies (10–30/10–21 weeks in 2020) as independent variables. The beta‐coefficients of 10–30/10–21 weeks every year from 2015–2020, the year of 2020, and anti‐COVID‐19 policies represent the risk difference of each independent variable. When the beta‐coefficients with 95% confidential interval were under 0 or above 0, we regarded it as a statistically significant decrease or increase, respectively. In cases where visual judgment of the line graphs helped detect several trend patterns for a disease, we estimated the influence of each pattern using a difference‐in‐differences regression model. We used Microsoft Excel® 2016 (Microsoft Corporation, Redmond, WA, USA) to develop the line graphs, and Stata® 14.2 (Stata Corp, College Station, TX, USA) for the other analyses.", "S.Y.K. and Y.K. conceptualized and designed the study. S.Y.K. collected data. Y.K. supervised data collection. S.Y.K. conducted the initial analyses. Y.K. supervised analyses. S.Y.K. drafted the manuscript. S.Y.K., Y.K., K.T., C.M., and Y.Y. reviewed and revised the manuscript. All authors read and approved the final manuscript." ]
[ null, null, null, null, null ]
[ "Methods", "Setting and data source", "Exposures", "Outcomes", "Statistical analysis", "Results", "Discussion", "Conclusion", "Disclosure", "Author contributions", "Supporting information" ]
[ "The present research comprised a retrospective cohort study.\nSetting and data source The data for this study were obtained from the National Epidemiological Surveillance of Infectious Diseases (NESID) Program.\n13\n, \n14\n, \n15\n In Japan, based on the Act on the Prevention of Infectious Diseases and Medical Care for Patients with Infectious Diseases, the trends of a number of diseases are monitored.\n16\n Regarding pediatric infections, the NESID Program records the weekly incidences of 10 diseases by monitoring data from approximately 3,000 pediatric sentinel sites located across the country; these 10 diseases are: pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; herpangina; respiratory syncytial virus (RSV); exanthem subitum; and mumps.\n17\n\n\nIn Japan, most patients of pediatric hospitals and clinics are under 15 years old.\n18\n In January we therefore collected data of the total child population aged <15 years from the website of official statistics in Japan and used this information as the denominator.\n19\n The pediatric sentinel sites were chosen randomly as much as possible from hospitals and clinics with a pediatric department to monitor the cases of infections in each prefecture, considering the distribution of the population as well as hospitals and clinics with a pediatric department. The number of sentinel sites was decided based on the size of the population being served by each public health center.\n20\n For example, for a population size of <30 000, 30 000 ≤ 75 000, or ≥75 000, the number of sentinel sites was 1, 2, or 3+ (this number was determined by subtracting 75 000 from the size of the population and dividing the result by 50 000). We collected the data for the number of sentinel sites every week during the 2015–2019 observation period through annual reports.\n13\n In the sentinel sites, when the 10 diseases mentioned above are diagnosed, the numbers of cases are reported the following Monday. Respiratory syncytial virus and group A streptococcal pharyngitis require a positive diagnostic test for the diagnosis but others do not.\n17\n In weekly monitoring, each week commenced on a Monday and ended on the following Sunday; the first week of the year could commence in the previous year if the first day of the year was not a Monday.\n21\n One week was defined such that the first week of the year included at least 4 days of the new year. All weeks were numbered serially.\nThe data for this study were obtained from the National Epidemiological Surveillance of Infectious Diseases (NESID) Program.\n13\n, \n14\n, \n15\n In Japan, based on the Act on the Prevention of Infectious Diseases and Medical Care for Patients with Infectious Diseases, the trends of a number of diseases are monitored.\n16\n Regarding pediatric infections, the NESID Program records the weekly incidences of 10 diseases by monitoring data from approximately 3,000 pediatric sentinel sites located across the country; these 10 diseases are: pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; herpangina; respiratory syncytial virus (RSV); exanthem subitum; and mumps.\n17\n\n\nIn Japan, most patients of pediatric hospitals and clinics are under 15 years old.\n18\n In January we therefore collected data of the total child population aged <15 years from the website of official statistics in Japan and used this information as the denominator.\n19\n The pediatric sentinel sites were chosen randomly as much as possible from hospitals and clinics with a pediatric department to monitor the cases of infections in each prefecture, considering the distribution of the population as well as hospitals and clinics with a pediatric department. The number of sentinel sites was decided based on the size of the population being served by each public health center.\n20\n For example, for a population size of <30 000, 30 000 ≤ 75 000, or ≥75 000, the number of sentinel sites was 1, 2, or 3+ (this number was determined by subtracting 75 000 from the size of the population and dividing the result by 50 000). We collected the data for the number of sentinel sites every week during the 2015–2019 observation period through annual reports.\n13\n In the sentinel sites, when the 10 diseases mentioned above are diagnosed, the numbers of cases are reported the following Monday. Respiratory syncytial virus and group A streptococcal pharyngitis require a positive diagnostic test for the diagnosis but others do not.\n17\n In weekly monitoring, each week commenced on a Monday and ended on the following Sunday; the first week of the year could commence in the previous year if the first day of the year was not a Monday.\n21\n One week was defined such that the first week of the year included at least 4 days of the new year. All weeks were numbered serially.\nExposures The Japanese government began encouraging preventive behaviors on February 25, 2020 (the second day of week 9), and on March 2 (the first day of week 10) it ordered the closure of all elementary, junior high, high, and special‐needs schools until the end of the spring vacation.\n8\n, \n11\n Next, on April 7 (the second day of week 15), it declared a state of emergency and recommended limiting social activities.\n9\n During the state of emergency, the Japanese government modified the districts which required limiting social activities thrice, depending on the incidences. The government ended the state of emergency on May 25 (the first day of week 22).\n10\n\n\nThe Japanese government began encouraging preventive behaviors on February 25, 2020 (the second day of week 9), and on March 2 (the first day of week 10) it ordered the closure of all elementary, junior high, high, and special‐needs schools until the end of the spring vacation.\n8\n, \n11\n Next, on April 7 (the second day of week 15), it declared a state of emergency and recommended limiting social activities.\n9\n During the state of emergency, the Japanese government modified the districts which required limiting social activities thrice, depending on the incidences. The government ended the state of emergency on May 25 (the first day of week 22).\n10\n\n\nOutcomes For each of the 10 infectious pediatric diseases focused on in this research, we collected data regarding the cases per pediatric sentinel site from week 1 to week 30 for each year from 2015 to 2020.\n14\n, \n15\n, \n22\n In cases where we could not obtain data on the number of cases per pediatric sentinel site, we collected the data regarding the overall weekly number of cases and divided the number by the number of sentinel sites.\nAs we used data that were openly available online, no approval from an ethics committee was required.\nFor each of the 10 infectious pediatric diseases focused on in this research, we collected data regarding the cases per pediatric sentinel site from week 1 to week 30 for each year from 2015 to 2020.\n14\n, \n15\n, \n22\n In cases where we could not obtain data on the number of cases per pediatric sentinel site, we collected the data regarding the overall weekly number of cases and divided the number by the number of sentinel sites.\nAs we used data that were openly available online, no approval from an ethics committee was required.\nStatistical analysis Means and standard deviations were used to describe the number of the pediatric sentinel sites each week for each of the year‐based observation periods, and the total number of cases and estimated child population in Japan of each year were also reported. Each disease trend (cases per sentinel site) was described using line graphs. We estimated the influence of anti‐COVID‐19 policies, both school closures and encouragement of preventive behaviors, using a difference‐in‐differences regression model.\n23\n This model can be used to estimate a policy's effects, as it compares an intervention group's outcomes before and after the policy implementation, and also compares these outcomes with a control group's contemporaneous outcomes (which were not affected by the policy).\n23\n For the present analysis, we assumed parallel trends and same effects from other events except the effects of policy implementation on each trend during and after the period of the implementation and its corresponding period for each year. In the main analysis, we regarded the intervention period as 10–30 weeks – that is, from the start of school closures until after the schools reopened. To perform sensitivity analysis, we limited the intervention period to 10–21 weeks, which represented the period during which the policies for limiting social activities were implemented. We adjusted the intervention and its corresponding period (10–30/10–21 weeks every year from 2015–2020), the year of 2020, and anti‐COVID‐19 policies (10–30/10–21 weeks in 2020) as independent variables. The beta‐coefficients of 10–30/10–21 weeks every year from 2015–2020, the year of 2020, and anti‐COVID‐19 policies represent the risk difference of each independent variable. When the beta‐coefficients with 95% confidential interval were under 0 or above 0, we regarded it as a statistically significant decrease or increase, respectively. In cases where visual judgment of the line graphs helped detect several trend patterns for a disease, we estimated the influence of each pattern using a difference‐in‐differences regression model. We used Microsoft Excel® 2016 (Microsoft Corporation, Redmond, WA, USA) to develop the line graphs, and Stata® 14.2 (Stata Corp, College Station, TX, USA) for the other analyses.\nMeans and standard deviations were used to describe the number of the pediatric sentinel sites each week for each of the year‐based observation periods, and the total number of cases and estimated child population in Japan of each year were also reported. Each disease trend (cases per sentinel site) was described using line graphs. We estimated the influence of anti‐COVID‐19 policies, both school closures and encouragement of preventive behaviors, using a difference‐in‐differences regression model.\n23\n This model can be used to estimate a policy's effects, as it compares an intervention group's outcomes before and after the policy implementation, and also compares these outcomes with a control group's contemporaneous outcomes (which were not affected by the policy).\n23\n For the present analysis, we assumed parallel trends and same effects from other events except the effects of policy implementation on each trend during and after the period of the implementation and its corresponding period for each year. In the main analysis, we regarded the intervention period as 10–30 weeks – that is, from the start of school closures until after the schools reopened. To perform sensitivity analysis, we limited the intervention period to 10–21 weeks, which represented the period during which the policies for limiting social activities were implemented. We adjusted the intervention and its corresponding period (10–30/10–21 weeks every year from 2015–2020), the year of 2020, and anti‐COVID‐19 policies (10–30/10–21 weeks in 2020) as independent variables. The beta‐coefficients of 10–30/10–21 weeks every year from 2015–2020, the year of 2020, and anti‐COVID‐19 policies represent the risk difference of each independent variable. When the beta‐coefficients with 95% confidential interval were under 0 or above 0, we regarded it as a statistically significant decrease or increase, respectively. In cases where visual judgment of the line graphs helped detect several trend patterns for a disease, we estimated the influence of each pattern using a difference‐in‐differences regression model. We used Microsoft Excel® 2016 (Microsoft Corporation, Redmond, WA, USA) to develop the line graphs, and Stata® 14.2 (Stata Corp, College Station, TX, USA) for the other analyses.", "The data for this study were obtained from the National Epidemiological Surveillance of Infectious Diseases (NESID) Program.\n13\n, \n14\n, \n15\n In Japan, based on the Act on the Prevention of Infectious Diseases and Medical Care for Patients with Infectious Diseases, the trends of a number of diseases are monitored.\n16\n Regarding pediatric infections, the NESID Program records the weekly incidences of 10 diseases by monitoring data from approximately 3,000 pediatric sentinel sites located across the country; these 10 diseases are: pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; herpangina; respiratory syncytial virus (RSV); exanthem subitum; and mumps.\n17\n\n\nIn Japan, most patients of pediatric hospitals and clinics are under 15 years old.\n18\n In January we therefore collected data of the total child population aged <15 years from the website of official statistics in Japan and used this information as the denominator.\n19\n The pediatric sentinel sites were chosen randomly as much as possible from hospitals and clinics with a pediatric department to monitor the cases of infections in each prefecture, considering the distribution of the population as well as hospitals and clinics with a pediatric department. The number of sentinel sites was decided based on the size of the population being served by each public health center.\n20\n For example, for a population size of <30 000, 30 000 ≤ 75 000, or ≥75 000, the number of sentinel sites was 1, 2, or 3+ (this number was determined by subtracting 75 000 from the size of the population and dividing the result by 50 000). We collected the data for the number of sentinel sites every week during the 2015–2019 observation period through annual reports.\n13\n In the sentinel sites, when the 10 diseases mentioned above are diagnosed, the numbers of cases are reported the following Monday. Respiratory syncytial virus and group A streptococcal pharyngitis require a positive diagnostic test for the diagnosis but others do not.\n17\n In weekly monitoring, each week commenced on a Monday and ended on the following Sunday; the first week of the year could commence in the previous year if the first day of the year was not a Monday.\n21\n One week was defined such that the first week of the year included at least 4 days of the new year. All weeks were numbered serially.", "The Japanese government began encouraging preventive behaviors on February 25, 2020 (the second day of week 9), and on March 2 (the first day of week 10) it ordered the closure of all elementary, junior high, high, and special‐needs schools until the end of the spring vacation.\n8\n, \n11\n Next, on April 7 (the second day of week 15), it declared a state of emergency and recommended limiting social activities.\n9\n During the state of emergency, the Japanese government modified the districts which required limiting social activities thrice, depending on the incidences. The government ended the state of emergency on May 25 (the first day of week 22).\n10\n\n", "For each of the 10 infectious pediatric diseases focused on in this research, we collected data regarding the cases per pediatric sentinel site from week 1 to week 30 for each year from 2015 to 2020.\n14\n, \n15\n, \n22\n In cases where we could not obtain data on the number of cases per pediatric sentinel site, we collected the data regarding the overall weekly number of cases and divided the number by the number of sentinel sites.\nAs we used data that were openly available online, no approval from an ethics committee was required.", "Means and standard deviations were used to describe the number of the pediatric sentinel sites each week for each of the year‐based observation periods, and the total number of cases and estimated child population in Japan of each year were also reported. Each disease trend (cases per sentinel site) was described using line graphs. We estimated the influence of anti‐COVID‐19 policies, both school closures and encouragement of preventive behaviors, using a difference‐in‐differences regression model.\n23\n This model can be used to estimate a policy's effects, as it compares an intervention group's outcomes before and after the policy implementation, and also compares these outcomes with a control group's contemporaneous outcomes (which were not affected by the policy).\n23\n For the present analysis, we assumed parallel trends and same effects from other events except the effects of policy implementation on each trend during and after the period of the implementation and its corresponding period for each year. In the main analysis, we regarded the intervention period as 10–30 weeks – that is, from the start of school closures until after the schools reopened. To perform sensitivity analysis, we limited the intervention period to 10–21 weeks, which represented the period during which the policies for limiting social activities were implemented. We adjusted the intervention and its corresponding period (10–30/10–21 weeks every year from 2015–2020), the year of 2020, and anti‐COVID‐19 policies (10–30/10–21 weeks in 2020) as independent variables. The beta‐coefficients of 10–30/10–21 weeks every year from 2015–2020, the year of 2020, and anti‐COVID‐19 policies represent the risk difference of each independent variable. When the beta‐coefficients with 95% confidential interval were under 0 or above 0, we regarded it as a statistically significant decrease or increase, respectively. In cases where visual judgment of the line graphs helped detect several trend patterns for a disease, we estimated the influence of each pattern using a difference‐in‐differences regression model. We used Microsoft Excel® 2016 (Microsoft Corporation, Redmond, WA, USA) to develop the line graphs, and Stata® 14.2 (Stata Corp, College Station, TX, USA) for the other analyses.", "The mean numbers of pediatric sentinel sites during the observation period were 3,148.5 ± 37.5 in 2015, 3,159.5 ± 4.6 in 2016, 3,162.7 ± 5.3 in 2017, 3,157.9 ± 9.3 in 2018, and 3,157.6 ± 52.6 in 2019. The numbers for 2020 were not reported. The number of cases of the 10 diseases reported during the observation period is shown in Table 1. The total child population, those aged 0–14 years, in Japan is shown in Table S1.\nThe annual number of reported cases for the 10 target diseases during the observation period\nRSV, respiratory syncytial virus.\nThe trends for five diseases (pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; and erythema infectiosum) are shown in Figure 1a–e. The trends for pharyngoconjunctival fever (Fig. 1a), group A streptococcal pharyngitis (Fig. 1b), infectious gastroenteritis (Fig. 1c), chickenpox (Fig. 1d), and erythema infectiosum (Fig. 1e) showed that their number of weekly cases in 2020 were the lowest across the 2015–2020 period, starting from late March (week 13), the middle of March (week 11), late February (week 9), the middle of March (week 12), and early May (week 19), respectively, to the end of the observation period after the school closure.\nTrends for 10 infectious diseases: (a) pharyngoconjunctival fever; (b) group A streptococcal pharyngitis; (c) infectious gastroenteritis; (d) chickenpox; (e) erythema infectiosum; (f) hand, foot, and mouth disease; (g) herpangina; (h) respiratory syncytial virus; (i) exanthem subitum; (j) mumps. Blue line shows the trend for 2015, orange line for 2016, gray line for 2017, yellow line for 2018, green line for 2019, and black line for 2020.\nThe number of cases per week for hand, foot, and mouth disease (Fig. 1f) and herpangina (Fig. 1g) started to increase in April and May of every year during the observation period. The per week cases of these diseases in 2020 were the lowest for the entire 2015–2020 period, starting from late April (week 17) and March (week 12), respectively, to the end of the observation period after the school closure.\nThe trend for RSV over the period of 2015–2020 is shown in Figure 1h. When considering the trends for 2015–2019, two patterns were detected. In 2015 and 2016, the highest occurrences per week were detected in early January (week 1 or 2). In contrast, in 2017, 2018, and 2019, the highest occurrence in a week was detected in late July (week 30). From the middle of March (week 12) 2020 to the end of the observation period, the number of weekly cases was the lowest for the entire 2015–2020 period.\nThe trend for exanthem subitum is shown in Figure 1i. From early January (week 1) to early June (week 23) 2020, the number of cases per week was the lowest for the 2015–2020 period, with the exception of early February (week 7) and late April (week 18). After week 23, the number of weekly cases was no longer the lowest, unlike that for other diseases.\nThe trend for mumps is shown in Figure 1j. Overall, the number of cases each week in 2020 was the lowest across the 2015–2020 period.\nThe main analysis showed that, for seven of the 10 diseases (pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; and herpangina), the number of weekly cases in 2020 was significantly lower during and after the school closures (Table 2). Sensitivity analysis replicated the significant findings from the main analysis for infectious gastroenteritis (Table S2). The results of hand, foot, and mouth disease and herpangina showed a significant increase, conflicting with those of the main analysis. The results of exanthem subitum showed significant decreases in the 2020 incidences, which were not noted as significant in the main analysis. Regarding RSV, over the course of the entire observation period, the number of weekly cases in 2020 did not differ significantly, including when sensitivity analysis was performed limiting the intervention period to 10–21 weeks. However, when considering the trend seen in the previous years (2017, 2018, and 2019 featuring peaks in July), the sensitivity analysis showed that, after the introduction of policies such as school closures and encouragement of preventive behaviors, the trend in 2020 showed a significant decrease in the number of cases each week while the results of the sensitivity analysis considering the other patterns (2015 and 2016 featuring peaks in January) showed a significant increase. One disease (mumps) did not show a significant decrease in either the main or the sensitivity analysis.\nThe effects of each independent variable on the number of cases per week per sentinel site in the main analysis\nCI, confidential interval; RSV, respiratory syncytial virus.", "For most of the diseases analyzed, the number of cases per sentinel sites per week decreased during and after the implementation of policies enforcing school closures and encouraging preventive behaviors. For seven diseases, the effects of these policies were detected in the main analysis, and the results for one of these seven diseases were replicated in the sensitivity analysis.\nA possible reason for the decreased incidences observed for most of the 10 diseases may be that, once the schools were closed, the children had fewer opportunities to come in contact with others.\n24\n Some children may also have adopted preventive behaviors. On the other hand, possible reasons for which significant decreases in six of the diseases (pharyngoconjunctival fever; group A streptococcal pharyngitis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; and herpangina) were detected in the main analysis but not in the sensitivity analysis include a general improvement in precautionary behaviors and the small effect size and sample size.\n10\n For example, the number of chickenpox cases is controlled through mandatory vaccinations, and throughout the study period its weekly incidence was low.\n25\n The numbers of pharyngoconjunctival fever cases and erythema infectiosum cases also showed a level similar to that of chickenpox. The number of group A streptococcal pharyngitis cases was relatively high when compared to chickenpox. Despite this, no significant decrease was detected in the sensitivity analysis; this may be due to the small difference between the number of cases in 2020 and that in 2015–2019. The results of sensitivity analysis of hand, foot, and mouth disease and herpangina were unexpectedly different from those of the main analysis. This may be because the numbers of cases of these two diseases were as low as chickenpox in winter and early spring, the largest part of the sensitivity period. The effect size was so low that a random error was detected. Meanwhile, for pharyngoconjunctival fever, group A streptococcal pharyngitis, infectious gastroenteritis, chickenpox, and erythema infectiosum, the reduction in incidence was as expected. These results should be interpreted carefully if these statistical differences suggest significant clinical differences. Another possible reason for six diseases not being replicated in the sensitivity analysis may be the fact that some schools reopened gradually in Japan.\n26\n Some schools finished classes earlier than usual, and others rotated groups of children into the school at different times during the week. This may have contributed to fewer opportunities for children to indulge in physical contact over a longer period and the significant decreases in the main analysis. Unexpectedly, the incidence of RSV did not show a significant decrease in either the main analysis or the sensitivity analysis that focused on the period when social activities were restricted. On the other hand, the sensitivity analysis that focused on trend patterns in 2017–2019, which featured high incidences in July, showed that the introduction of policies such as school closures and encouragement of preventive behaviors brought about a significant decrease in the 2020 incidence of the mentioned diseases. The results obtained for the main analysis may therefore have considered the two trend patterns insufficiently. Exanthem subitum showed a different trend from the others. The number of cases reduced significantly during weeks 10–21 (from the start of the order to close all schools to the end of the state of emergency), but this was not shown in the main analysis. Exanthem subitum is mainly transmitted through saliva from parents rather than from social contact.\n27\n In addition, although exanthem subitum can cause fever, seizures, skin rash, and gastrointestinal and respiratory tract symptoms, these are relatively mild in most infants.\n28\n The lower number of cases of this disease might therefore have been a result of parents avoiding bringing their children to clinics, including pediatric sentinel sites, as a result of a fear of COVID‐19 infection. The number of mumps cases was not significantly lower in 2020. Mumps outbreaks occur occasionally,\n29\n and its vaccination is not mandatory in Japan.\n25\n The number of cases during the study years therefore varied, which may have made it difficult to estimate the effect size. Regarding the external validity of these findings, all data were obtained in Japan; thus, future research is required in this regard.\nSome of these 10 diseases cause more severe symptoms in children than in adults, or can cause complications for the fetus through maternal infection.\n30\n, \n31\n, \n32\n, \n33\n For example, RSV affects younger infants more severely than older children, and hospitalization and mortality are high in infants aged <1 year.\n30\n Chickenpox and erythema infectiosum can also cause intrauterine death or, when maternal infection occurs, severe consequences to the fetus.\n32\n, \n33\n Thus, the influence of the anti‐COVID‐19 policies on reducing the incidences of these diseases may be beneficial in both the long term and short term. On the other hand, some diseases can cause more severe symptoms in adults than in children; for example, chickenpox can cause higher mortality in adults.\n34\n Prospective long‐term cohort studies will therefore be needed to examine the influences of the various policies on the prevalence of such diseases among adults.\nThere are several limitations to this study. First, there were selection biases. For example, decisions regarding the need for examination and diagnosis were taken by the children's respective pediatricians. Diseases like group A streptococcal pharyngitis and RSV, which are dependent on testing are largely affected by the requirement for personal protective equipment. Most physicians in clinics might opt against performing sampling. Therefore, the number of estimated cases may be lower than in reality. In addition, the COVID‐19 pandemic might have caused people to refrain from visiting clinics, including pediatric sentinel sites. However, the change in healthcare‐seeking behavior should not be related to decreases in diseases with symptoms severe enough to need hospitalization. Recently, a large Japanese cohort report revealed that the number of inpatients with pediatric infectious diseases decreased due to anti‐COVID‐19 policies; thus a true reduction in incidences was detected.\n12\n The reductions found in this paper were therefore not only due to changes in healthcare‐seeking behavior. Second, there is a measurement bias. The date of the end of spring vacation, which marked the end of government‐ordered school closures, differed across schools, and the state of emergency did not obligate complete school closures. In addition, the Japanese government did not implement policies for limiting social activities to all prefectures during the entire emergency period, and modified the districts that needed such policies three times. Therefore, not all schools were closed over the entire period of the government‐implemented policies and the policies' effect may be different in each school in each prefecture. In addition, there were no data measuring the effectiveness of the policy encouraging preventive behaviors. The COVID‐19 pandemic and the associated policies would have caused some school children and adolescents to adopt preventive behaviors; however, neonates, infants, preschool children, and other school children and adolescents would have been unable to adopt them.\n35\n, \n36\n Third, there were some issues related to the statistical analysis. The change in healthcare‐seeking behavior and the 6 day period preceding the school closures during which the Japanese government only encouraged preventive behaviors might have impacted the assumptions of the difference‐in‐differences regression model. However, the influence of the 6 day preventive‐behavior period may be small. We could also only obtain the data for the number of cases each week, could not determine the number of pediatric sentinel sites in 2020, and could not perform multilevel analysis. However, according to the implementation manual for the NESID Program, sentinel sites are chosen randomly as much as possible so that trends can be monitored.\n20\n To address this, we used the data for the number of weekly cases per pediatric sentinel site.\nConclusion For seven of the 10 infectious pediatric diseases, the per week cases in 2020 significantly decreased during and after the implementation of preventive policies such as school closures, and was replicated by the sensitivity analysis for the 2020 incidence of infectious gastroenteritis. Prospective cohort studies with a long observation period will be needed to determine the long‐term influence of these policies.\nFor seven of the 10 infectious pediatric diseases, the per week cases in 2020 significantly decreased during and after the implementation of preventive policies such as school closures, and was replicated by the sensitivity analysis for the 2020 incidence of infectious gastroenteritis. Prospective cohort studies with a long observation period will be needed to determine the long‐term influence of these policies.", "For seven of the 10 infectious pediatric diseases, the per week cases in 2020 significantly decreased during and after the implementation of preventive policies such as school closures, and was replicated by the sensitivity analysis for the 2020 incidence of infectious gastroenteritis. Prospective cohort studies with a long observation period will be needed to determine the long‐term influence of these policies.", "Dr Miyakoshi received a grant from Chugai Pharmaceutical Co. Ltd; however, it was not associated with the submitted work. The other authors declare no conflict of interest.", "S.Y.K. and Y.K. conceptualized and designed the study. S.Y.K. collected data. Y.K. supervised data collection. S.Y.K. conducted the initial analyses. Y.K. supervised analyses. S.Y.K. drafted the manuscript. S.Y.K., Y.K., K.T., C.M., and Y.Y. reviewed and revised the manuscript. All authors read and approved the final manuscript.", "\nTable S1. The total child population (0–14 years old) in Japan.\n\nTable S2. The effects of each independent variable on the number of cases per week per sentinel site in the sensitivity analysis.\nClick here for additional data file." ]
[ "methods", null, null, null, null, "results", "discussion", "conclusions", "COI-statement", null, "supplementary-material" ]
[ "communicable disease", "data collection", "epidemiology", "public policy", "universal precaution" ]
Methods: The present research comprised a retrospective cohort study. Setting and data source The data for this study were obtained from the National Epidemiological Surveillance of Infectious Diseases (NESID) Program. 13 , 14 , 15 In Japan, based on the Act on the Prevention of Infectious Diseases and Medical Care for Patients with Infectious Diseases, the trends of a number of diseases are monitored. 16 Regarding pediatric infections, the NESID Program records the weekly incidences of 10 diseases by monitoring data from approximately 3,000 pediatric sentinel sites located across the country; these 10 diseases are: pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; herpangina; respiratory syncytial virus (RSV); exanthem subitum; and mumps. 17 In Japan, most patients of pediatric hospitals and clinics are under 15 years old. 18 In January we therefore collected data of the total child population aged <15 years from the website of official statistics in Japan and used this information as the denominator. 19 The pediatric sentinel sites were chosen randomly as much as possible from hospitals and clinics with a pediatric department to monitor the cases of infections in each prefecture, considering the distribution of the population as well as hospitals and clinics with a pediatric department. The number of sentinel sites was decided based on the size of the population being served by each public health center. 20 For example, for a population size of <30 000, 30 000 ≤ 75 000, or ≥75 000, the number of sentinel sites was 1, 2, or 3+ (this number was determined by subtracting 75 000 from the size of the population and dividing the result by 50 000). We collected the data for the number of sentinel sites every week during the 2015–2019 observation period through annual reports. 13 In the sentinel sites, when the 10 diseases mentioned above are diagnosed, the numbers of cases are reported the following Monday. Respiratory syncytial virus and group A streptococcal pharyngitis require a positive diagnostic test for the diagnosis but others do not. 17 In weekly monitoring, each week commenced on a Monday and ended on the following Sunday; the first week of the year could commence in the previous year if the first day of the year was not a Monday. 21 One week was defined such that the first week of the year included at least 4 days of the new year. All weeks were numbered serially. The data for this study were obtained from the National Epidemiological Surveillance of Infectious Diseases (NESID) Program. 13 , 14 , 15 In Japan, based on the Act on the Prevention of Infectious Diseases and Medical Care for Patients with Infectious Diseases, the trends of a number of diseases are monitored. 16 Regarding pediatric infections, the NESID Program records the weekly incidences of 10 diseases by monitoring data from approximately 3,000 pediatric sentinel sites located across the country; these 10 diseases are: pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; herpangina; respiratory syncytial virus (RSV); exanthem subitum; and mumps. 17 In Japan, most patients of pediatric hospitals and clinics are under 15 years old. 18 In January we therefore collected data of the total child population aged <15 years from the website of official statistics in Japan and used this information as the denominator. 19 The pediatric sentinel sites were chosen randomly as much as possible from hospitals and clinics with a pediatric department to monitor the cases of infections in each prefecture, considering the distribution of the population as well as hospitals and clinics with a pediatric department. The number of sentinel sites was decided based on the size of the population being served by each public health center. 20 For example, for a population size of <30 000, 30 000 ≤ 75 000, or ≥75 000, the number of sentinel sites was 1, 2, or 3+ (this number was determined by subtracting 75 000 from the size of the population and dividing the result by 50 000). We collected the data for the number of sentinel sites every week during the 2015–2019 observation period through annual reports. 13 In the sentinel sites, when the 10 diseases mentioned above are diagnosed, the numbers of cases are reported the following Monday. Respiratory syncytial virus and group A streptococcal pharyngitis require a positive diagnostic test for the diagnosis but others do not. 17 In weekly monitoring, each week commenced on a Monday and ended on the following Sunday; the first week of the year could commence in the previous year if the first day of the year was not a Monday. 21 One week was defined such that the first week of the year included at least 4 days of the new year. All weeks were numbered serially. Exposures The Japanese government began encouraging preventive behaviors on February 25, 2020 (the second day of week 9), and on March 2 (the first day of week 10) it ordered the closure of all elementary, junior high, high, and special‐needs schools until the end of the spring vacation. 8 , 11 Next, on April 7 (the second day of week 15), it declared a state of emergency and recommended limiting social activities. 9 During the state of emergency, the Japanese government modified the districts which required limiting social activities thrice, depending on the incidences. The government ended the state of emergency on May 25 (the first day of week 22). 10 The Japanese government began encouraging preventive behaviors on February 25, 2020 (the second day of week 9), and on March 2 (the first day of week 10) it ordered the closure of all elementary, junior high, high, and special‐needs schools until the end of the spring vacation. 8 , 11 Next, on April 7 (the second day of week 15), it declared a state of emergency and recommended limiting social activities. 9 During the state of emergency, the Japanese government modified the districts which required limiting social activities thrice, depending on the incidences. The government ended the state of emergency on May 25 (the first day of week 22). 10 Outcomes For each of the 10 infectious pediatric diseases focused on in this research, we collected data regarding the cases per pediatric sentinel site from week 1 to week 30 for each year from 2015 to 2020. 14 , 15 , 22 In cases where we could not obtain data on the number of cases per pediatric sentinel site, we collected the data regarding the overall weekly number of cases and divided the number by the number of sentinel sites. As we used data that were openly available online, no approval from an ethics committee was required. For each of the 10 infectious pediatric diseases focused on in this research, we collected data regarding the cases per pediatric sentinel site from week 1 to week 30 for each year from 2015 to 2020. 14 , 15 , 22 In cases where we could not obtain data on the number of cases per pediatric sentinel site, we collected the data regarding the overall weekly number of cases and divided the number by the number of sentinel sites. As we used data that were openly available online, no approval from an ethics committee was required. Statistical analysis Means and standard deviations were used to describe the number of the pediatric sentinel sites each week for each of the year‐based observation periods, and the total number of cases and estimated child population in Japan of each year were also reported. Each disease trend (cases per sentinel site) was described using line graphs. We estimated the influence of anti‐COVID‐19 policies, both school closures and encouragement of preventive behaviors, using a difference‐in‐differences regression model. 23 This model can be used to estimate a policy's effects, as it compares an intervention group's outcomes before and after the policy implementation, and also compares these outcomes with a control group's contemporaneous outcomes (which were not affected by the policy). 23 For the present analysis, we assumed parallel trends and same effects from other events except the effects of policy implementation on each trend during and after the period of the implementation and its corresponding period for each year. In the main analysis, we regarded the intervention period as 10–30 weeks – that is, from the start of school closures until after the schools reopened. To perform sensitivity analysis, we limited the intervention period to 10–21 weeks, which represented the period during which the policies for limiting social activities were implemented. We adjusted the intervention and its corresponding period (10–30/10–21 weeks every year from 2015–2020), the year of 2020, and anti‐COVID‐19 policies (10–30/10–21 weeks in 2020) as independent variables. The beta‐coefficients of 10–30/10–21 weeks every year from 2015–2020, the year of 2020, and anti‐COVID‐19 policies represent the risk difference of each independent variable. When the beta‐coefficients with 95% confidential interval were under 0 or above 0, we regarded it as a statistically significant decrease or increase, respectively. In cases where visual judgment of the line graphs helped detect several trend patterns for a disease, we estimated the influence of each pattern using a difference‐in‐differences regression model. We used Microsoft Excel® 2016 (Microsoft Corporation, Redmond, WA, USA) to develop the line graphs, and Stata® 14.2 (Stata Corp, College Station, TX, USA) for the other analyses. Means and standard deviations were used to describe the number of the pediatric sentinel sites each week for each of the year‐based observation periods, and the total number of cases and estimated child population in Japan of each year were also reported. Each disease trend (cases per sentinel site) was described using line graphs. We estimated the influence of anti‐COVID‐19 policies, both school closures and encouragement of preventive behaviors, using a difference‐in‐differences regression model. 23 This model can be used to estimate a policy's effects, as it compares an intervention group's outcomes before and after the policy implementation, and also compares these outcomes with a control group's contemporaneous outcomes (which were not affected by the policy). 23 For the present analysis, we assumed parallel trends and same effects from other events except the effects of policy implementation on each trend during and after the period of the implementation and its corresponding period for each year. In the main analysis, we regarded the intervention period as 10–30 weeks – that is, from the start of school closures until after the schools reopened. To perform sensitivity analysis, we limited the intervention period to 10–21 weeks, which represented the period during which the policies for limiting social activities were implemented. We adjusted the intervention and its corresponding period (10–30/10–21 weeks every year from 2015–2020), the year of 2020, and anti‐COVID‐19 policies (10–30/10–21 weeks in 2020) as independent variables. The beta‐coefficients of 10–30/10–21 weeks every year from 2015–2020, the year of 2020, and anti‐COVID‐19 policies represent the risk difference of each independent variable. When the beta‐coefficients with 95% confidential interval were under 0 or above 0, we regarded it as a statistically significant decrease or increase, respectively. In cases where visual judgment of the line graphs helped detect several trend patterns for a disease, we estimated the influence of each pattern using a difference‐in‐differences regression model. We used Microsoft Excel® 2016 (Microsoft Corporation, Redmond, WA, USA) to develop the line graphs, and Stata® 14.2 (Stata Corp, College Station, TX, USA) for the other analyses. Setting and data source: The data for this study were obtained from the National Epidemiological Surveillance of Infectious Diseases (NESID) Program. 13 , 14 , 15 In Japan, based on the Act on the Prevention of Infectious Diseases and Medical Care for Patients with Infectious Diseases, the trends of a number of diseases are monitored. 16 Regarding pediatric infections, the NESID Program records the weekly incidences of 10 diseases by monitoring data from approximately 3,000 pediatric sentinel sites located across the country; these 10 diseases are: pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; herpangina; respiratory syncytial virus (RSV); exanthem subitum; and mumps. 17 In Japan, most patients of pediatric hospitals and clinics are under 15 years old. 18 In January we therefore collected data of the total child population aged <15 years from the website of official statistics in Japan and used this information as the denominator. 19 The pediatric sentinel sites were chosen randomly as much as possible from hospitals and clinics with a pediatric department to monitor the cases of infections in each prefecture, considering the distribution of the population as well as hospitals and clinics with a pediatric department. The number of sentinel sites was decided based on the size of the population being served by each public health center. 20 For example, for a population size of <30 000, 30 000 ≤ 75 000, or ≥75 000, the number of sentinel sites was 1, 2, or 3+ (this number was determined by subtracting 75 000 from the size of the population and dividing the result by 50 000). We collected the data for the number of sentinel sites every week during the 2015–2019 observation period through annual reports. 13 In the sentinel sites, when the 10 diseases mentioned above are diagnosed, the numbers of cases are reported the following Monday. Respiratory syncytial virus and group A streptococcal pharyngitis require a positive diagnostic test for the diagnosis but others do not. 17 In weekly monitoring, each week commenced on a Monday and ended on the following Sunday; the first week of the year could commence in the previous year if the first day of the year was not a Monday. 21 One week was defined such that the first week of the year included at least 4 days of the new year. All weeks were numbered serially. Exposures: The Japanese government began encouraging preventive behaviors on February 25, 2020 (the second day of week 9), and on March 2 (the first day of week 10) it ordered the closure of all elementary, junior high, high, and special‐needs schools until the end of the spring vacation. 8 , 11 Next, on April 7 (the second day of week 15), it declared a state of emergency and recommended limiting social activities. 9 During the state of emergency, the Japanese government modified the districts which required limiting social activities thrice, depending on the incidences. The government ended the state of emergency on May 25 (the first day of week 22). 10 Outcomes: For each of the 10 infectious pediatric diseases focused on in this research, we collected data regarding the cases per pediatric sentinel site from week 1 to week 30 for each year from 2015 to 2020. 14 , 15 , 22 In cases where we could not obtain data on the number of cases per pediatric sentinel site, we collected the data regarding the overall weekly number of cases and divided the number by the number of sentinel sites. As we used data that were openly available online, no approval from an ethics committee was required. Statistical analysis: Means and standard deviations were used to describe the number of the pediatric sentinel sites each week for each of the year‐based observation periods, and the total number of cases and estimated child population in Japan of each year were also reported. Each disease trend (cases per sentinel site) was described using line graphs. We estimated the influence of anti‐COVID‐19 policies, both school closures and encouragement of preventive behaviors, using a difference‐in‐differences regression model. 23 This model can be used to estimate a policy's effects, as it compares an intervention group's outcomes before and after the policy implementation, and also compares these outcomes with a control group's contemporaneous outcomes (which were not affected by the policy). 23 For the present analysis, we assumed parallel trends and same effects from other events except the effects of policy implementation on each trend during and after the period of the implementation and its corresponding period for each year. In the main analysis, we regarded the intervention period as 10–30 weeks – that is, from the start of school closures until after the schools reopened. To perform sensitivity analysis, we limited the intervention period to 10–21 weeks, which represented the period during which the policies for limiting social activities were implemented. We adjusted the intervention and its corresponding period (10–30/10–21 weeks every year from 2015–2020), the year of 2020, and anti‐COVID‐19 policies (10–30/10–21 weeks in 2020) as independent variables. The beta‐coefficients of 10–30/10–21 weeks every year from 2015–2020, the year of 2020, and anti‐COVID‐19 policies represent the risk difference of each independent variable. When the beta‐coefficients with 95% confidential interval were under 0 or above 0, we regarded it as a statistically significant decrease or increase, respectively. In cases where visual judgment of the line graphs helped detect several trend patterns for a disease, we estimated the influence of each pattern using a difference‐in‐differences regression model. We used Microsoft Excel® 2016 (Microsoft Corporation, Redmond, WA, USA) to develop the line graphs, and Stata® 14.2 (Stata Corp, College Station, TX, USA) for the other analyses. Results: The mean numbers of pediatric sentinel sites during the observation period were 3,148.5 ± 37.5 in 2015, 3,159.5 ± 4.6 in 2016, 3,162.7 ± 5.3 in 2017, 3,157.9 ± 9.3 in 2018, and 3,157.6 ± 52.6 in 2019. The numbers for 2020 were not reported. The number of cases of the 10 diseases reported during the observation period is shown in Table 1. The total child population, those aged 0–14 years, in Japan is shown in Table S1. The annual number of reported cases for the 10 target diseases during the observation period RSV, respiratory syncytial virus. The trends for five diseases (pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; and erythema infectiosum) are shown in Figure 1a–e. The trends for pharyngoconjunctival fever (Fig. 1a), group A streptococcal pharyngitis (Fig. 1b), infectious gastroenteritis (Fig. 1c), chickenpox (Fig. 1d), and erythema infectiosum (Fig. 1e) showed that their number of weekly cases in 2020 were the lowest across the 2015–2020 period, starting from late March (week 13), the middle of March (week 11), late February (week 9), the middle of March (week 12), and early May (week 19), respectively, to the end of the observation period after the school closure. Trends for 10 infectious diseases: (a) pharyngoconjunctival fever; (b) group A streptococcal pharyngitis; (c) infectious gastroenteritis; (d) chickenpox; (e) erythema infectiosum; (f) hand, foot, and mouth disease; (g) herpangina; (h) respiratory syncytial virus; (i) exanthem subitum; (j) mumps. Blue line shows the trend for 2015, orange line for 2016, gray line for 2017, yellow line for 2018, green line for 2019, and black line for 2020. The number of cases per week for hand, foot, and mouth disease (Fig. 1f) and herpangina (Fig. 1g) started to increase in April and May of every year during the observation period. The per week cases of these diseases in 2020 were the lowest for the entire 2015–2020 period, starting from late April (week 17) and March (week 12), respectively, to the end of the observation period after the school closure. The trend for RSV over the period of 2015–2020 is shown in Figure 1h. When considering the trends for 2015–2019, two patterns were detected. In 2015 and 2016, the highest occurrences per week were detected in early January (week 1 or 2). In contrast, in 2017, 2018, and 2019, the highest occurrence in a week was detected in late July (week 30). From the middle of March (week 12) 2020 to the end of the observation period, the number of weekly cases was the lowest for the entire 2015–2020 period. The trend for exanthem subitum is shown in Figure 1i. From early January (week 1) to early June (week 23) 2020, the number of cases per week was the lowest for the 2015–2020 period, with the exception of early February (week 7) and late April (week 18). After week 23, the number of weekly cases was no longer the lowest, unlike that for other diseases. The trend for mumps is shown in Figure 1j. Overall, the number of cases each week in 2020 was the lowest across the 2015–2020 period. The main analysis showed that, for seven of the 10 diseases (pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; and herpangina), the number of weekly cases in 2020 was significantly lower during and after the school closures (Table 2). Sensitivity analysis replicated the significant findings from the main analysis for infectious gastroenteritis (Table S2). The results of hand, foot, and mouth disease and herpangina showed a significant increase, conflicting with those of the main analysis. The results of exanthem subitum showed significant decreases in the 2020 incidences, which were not noted as significant in the main analysis. Regarding RSV, over the course of the entire observation period, the number of weekly cases in 2020 did not differ significantly, including when sensitivity analysis was performed limiting the intervention period to 10–21 weeks. However, when considering the trend seen in the previous years (2017, 2018, and 2019 featuring peaks in July), the sensitivity analysis showed that, after the introduction of policies such as school closures and encouragement of preventive behaviors, the trend in 2020 showed a significant decrease in the number of cases each week while the results of the sensitivity analysis considering the other patterns (2015 and 2016 featuring peaks in January) showed a significant increase. One disease (mumps) did not show a significant decrease in either the main or the sensitivity analysis. The effects of each independent variable on the number of cases per week per sentinel site in the main analysis CI, confidential interval; RSV, respiratory syncytial virus. Discussion: For most of the diseases analyzed, the number of cases per sentinel sites per week decreased during and after the implementation of policies enforcing school closures and encouraging preventive behaviors. For seven diseases, the effects of these policies were detected in the main analysis, and the results for one of these seven diseases were replicated in the sensitivity analysis. A possible reason for the decreased incidences observed for most of the 10 diseases may be that, once the schools were closed, the children had fewer opportunities to come in contact with others. 24 Some children may also have adopted preventive behaviors. On the other hand, possible reasons for which significant decreases in six of the diseases (pharyngoconjunctival fever; group A streptococcal pharyngitis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; and herpangina) were detected in the main analysis but not in the sensitivity analysis include a general improvement in precautionary behaviors and the small effect size and sample size. 10 For example, the number of chickenpox cases is controlled through mandatory vaccinations, and throughout the study period its weekly incidence was low. 25 The numbers of pharyngoconjunctival fever cases and erythema infectiosum cases also showed a level similar to that of chickenpox. The number of group A streptococcal pharyngitis cases was relatively high when compared to chickenpox. Despite this, no significant decrease was detected in the sensitivity analysis; this may be due to the small difference between the number of cases in 2020 and that in 2015–2019. The results of sensitivity analysis of hand, foot, and mouth disease and herpangina were unexpectedly different from those of the main analysis. This may be because the numbers of cases of these two diseases were as low as chickenpox in winter and early spring, the largest part of the sensitivity period. The effect size was so low that a random error was detected. Meanwhile, for pharyngoconjunctival fever, group A streptococcal pharyngitis, infectious gastroenteritis, chickenpox, and erythema infectiosum, the reduction in incidence was as expected. These results should be interpreted carefully if these statistical differences suggest significant clinical differences. Another possible reason for six diseases not being replicated in the sensitivity analysis may be the fact that some schools reopened gradually in Japan. 26 Some schools finished classes earlier than usual, and others rotated groups of children into the school at different times during the week. This may have contributed to fewer opportunities for children to indulge in physical contact over a longer period and the significant decreases in the main analysis. Unexpectedly, the incidence of RSV did not show a significant decrease in either the main analysis or the sensitivity analysis that focused on the period when social activities were restricted. On the other hand, the sensitivity analysis that focused on trend patterns in 2017–2019, which featured high incidences in July, showed that the introduction of policies such as school closures and encouragement of preventive behaviors brought about a significant decrease in the 2020 incidence of the mentioned diseases. The results obtained for the main analysis may therefore have considered the two trend patterns insufficiently. Exanthem subitum showed a different trend from the others. The number of cases reduced significantly during weeks 10–21 (from the start of the order to close all schools to the end of the state of emergency), but this was not shown in the main analysis. Exanthem subitum is mainly transmitted through saliva from parents rather than from social contact. 27 In addition, although exanthem subitum can cause fever, seizures, skin rash, and gastrointestinal and respiratory tract symptoms, these are relatively mild in most infants. 28 The lower number of cases of this disease might therefore have been a result of parents avoiding bringing their children to clinics, including pediatric sentinel sites, as a result of a fear of COVID‐19 infection. The number of mumps cases was not significantly lower in 2020. Mumps outbreaks occur occasionally, 29 and its vaccination is not mandatory in Japan. 25 The number of cases during the study years therefore varied, which may have made it difficult to estimate the effect size. Regarding the external validity of these findings, all data were obtained in Japan; thus, future research is required in this regard. Some of these 10 diseases cause more severe symptoms in children than in adults, or can cause complications for the fetus through maternal infection. 30 , 31 , 32 , 33 For example, RSV affects younger infants more severely than older children, and hospitalization and mortality are high in infants aged <1 year. 30 Chickenpox and erythema infectiosum can also cause intrauterine death or, when maternal infection occurs, severe consequences to the fetus. 32 , 33 Thus, the influence of the anti‐COVID‐19 policies on reducing the incidences of these diseases may be beneficial in both the long term and short term. On the other hand, some diseases can cause more severe symptoms in adults than in children; for example, chickenpox can cause higher mortality in adults. 34 Prospective long‐term cohort studies will therefore be needed to examine the influences of the various policies on the prevalence of such diseases among adults. There are several limitations to this study. First, there were selection biases. For example, decisions regarding the need for examination and diagnosis were taken by the children's respective pediatricians. Diseases like group A streptococcal pharyngitis and RSV, which are dependent on testing are largely affected by the requirement for personal protective equipment. Most physicians in clinics might opt against performing sampling. Therefore, the number of estimated cases may be lower than in reality. In addition, the COVID‐19 pandemic might have caused people to refrain from visiting clinics, including pediatric sentinel sites. However, the change in healthcare‐seeking behavior should not be related to decreases in diseases with symptoms severe enough to need hospitalization. Recently, a large Japanese cohort report revealed that the number of inpatients with pediatric infectious diseases decreased due to anti‐COVID‐19 policies; thus a true reduction in incidences was detected. 12 The reductions found in this paper were therefore not only due to changes in healthcare‐seeking behavior. Second, there is a measurement bias. The date of the end of spring vacation, which marked the end of government‐ordered school closures, differed across schools, and the state of emergency did not obligate complete school closures. In addition, the Japanese government did not implement policies for limiting social activities to all prefectures during the entire emergency period, and modified the districts that needed such policies three times. Therefore, not all schools were closed over the entire period of the government‐implemented policies and the policies' effect may be different in each school in each prefecture. In addition, there were no data measuring the effectiveness of the policy encouraging preventive behaviors. The COVID‐19 pandemic and the associated policies would have caused some school children and adolescents to adopt preventive behaviors; however, neonates, infants, preschool children, and other school children and adolescents would have been unable to adopt them. 35 , 36 Third, there were some issues related to the statistical analysis. The change in healthcare‐seeking behavior and the 6 day period preceding the school closures during which the Japanese government only encouraged preventive behaviors might have impacted the assumptions of the difference‐in‐differences regression model. However, the influence of the 6 day preventive‐behavior period may be small. We could also only obtain the data for the number of cases each week, could not determine the number of pediatric sentinel sites in 2020, and could not perform multilevel analysis. However, according to the implementation manual for the NESID Program, sentinel sites are chosen randomly as much as possible so that trends can be monitored. 20 To address this, we used the data for the number of weekly cases per pediatric sentinel site. Conclusion For seven of the 10 infectious pediatric diseases, the per week cases in 2020 significantly decreased during and after the implementation of preventive policies such as school closures, and was replicated by the sensitivity analysis for the 2020 incidence of infectious gastroenteritis. Prospective cohort studies with a long observation period will be needed to determine the long‐term influence of these policies. For seven of the 10 infectious pediatric diseases, the per week cases in 2020 significantly decreased during and after the implementation of preventive policies such as school closures, and was replicated by the sensitivity analysis for the 2020 incidence of infectious gastroenteritis. Prospective cohort studies with a long observation period will be needed to determine the long‐term influence of these policies. Conclusion: For seven of the 10 infectious pediatric diseases, the per week cases in 2020 significantly decreased during and after the implementation of preventive policies such as school closures, and was replicated by the sensitivity analysis for the 2020 incidence of infectious gastroenteritis. Prospective cohort studies with a long observation period will be needed to determine the long‐term influence of these policies. Disclosure: Dr Miyakoshi received a grant from Chugai Pharmaceutical Co. Ltd; however, it was not associated with the submitted work. The other authors declare no conflict of interest. Author contributions: S.Y.K. and Y.K. conceptualized and designed the study. S.Y.K. collected data. Y.K. supervised data collection. S.Y.K. conducted the initial analyses. Y.K. supervised analyses. S.Y.K. drafted the manuscript. S.Y.K., Y.K., K.T., C.M., and Y.Y. reviewed and revised the manuscript. All authors read and approved the final manuscript. Supporting information: Table S1. The total child population (0–14 years old) in Japan. Table S2. The effects of each independent variable on the number of cases per week per sentinel site in the sensitivity analysis. Click here for additional data file.
Background: To combat the coronavirus disease 2019 pandemic, many countries, including Japan, implemented policies limiting social activities and encouraging preventive behaviors. This study examines the influence of such policies on the trends of 10 infectious pediatric diseases: pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; herpangina; respiratory syncytial virus; exanthem subitum; and mumps. Methods: The research adopted a retrospective cohort study design. We collected data from Japan's National Epidemiological Surveillance Program detailing the incidences of the 10 diseases per pediatric sentinel site for a period beginning at 9 weeks before government-ordered school closures and ending at 9 weeks after the end of the state of emergency. We obtained corresponding data for the equivalent weeks in 2015-2019. We estimated the influence of the policies using a difference-in-differences regression model. Results: For seven diseases (pharyngoconjunctival fever; group A streptococcal pharyngitis; infectious gastroenteritis; chickenpox; erythema infectiosum; hand, foot, and mouth disease; and herpangina), the incidence in 2020 decreased significantly during and after the school closures. Sensitivity analysis, in which the focus area was limited to the policy-implementation period or existing trend patterns, replicated these significant decreases for one of the above mentioned seven diseases - infectious gastroenteritis. Conclusions: Policies such as school closures and encouragement of preventive behaviors were associated with significant decreases in the incidences of most of the 10 diseases, which sensitivity analysis replicated in infectious gastroenteritis. To determine the long-term effects of these policies, prospective cohort studies are needed.
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[ 477, 139, 109, 403, 58 ]
11
[ "week", "number", "cases", "10", "diseases", "2020", "period", "sentinel", "analysis", "year" ]
[ "16 pediatric infections", "inpatients pediatric infectious", "respective pediatricians diseases", "10 infectious pediatric", "japan patients pediatric" ]
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[CONTENT] communicable disease | data collection | epidemiology | public policy | universal precaution [SUMMARY]
[CONTENT] communicable disease | data collection | epidemiology | public policy | universal precaution [SUMMARY]
[CONTENT] communicable disease | data collection | epidemiology | public policy | universal precaution [SUMMARY]
[CONTENT] communicable disease | data collection | epidemiology | public policy | universal precaution [SUMMARY]
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[CONTENT] Adenovirus Infections, Human | COVID-19 | Chickenpox | Child | Communicable Diseases | Erythema Infectiosum | Gastroenteritis | Hand, Foot and Mouth Disease | Herpangina | Humans | Pharyngitis | Policy | Prospective Studies | Retrospective Studies | Streptococcus pyogenes [SUMMARY]
[CONTENT] Adenovirus Infections, Human | COVID-19 | Chickenpox | Child | Communicable Diseases | Erythema Infectiosum | Gastroenteritis | Hand, Foot and Mouth Disease | Herpangina | Humans | Pharyngitis | Policy | Prospective Studies | Retrospective Studies | Streptococcus pyogenes [SUMMARY]
[CONTENT] Adenovirus Infections, Human | COVID-19 | Chickenpox | Child | Communicable Diseases | Erythema Infectiosum | Gastroenteritis | Hand, Foot and Mouth Disease | Herpangina | Humans | Pharyngitis | Policy | Prospective Studies | Retrospective Studies | Streptococcus pyogenes [SUMMARY]
[CONTENT] Adenovirus Infections, Human | COVID-19 | Chickenpox | Child | Communicable Diseases | Erythema Infectiosum | Gastroenteritis | Hand, Foot and Mouth Disease | Herpangina | Humans | Pharyngitis | Policy | Prospective Studies | Retrospective Studies | Streptococcus pyogenes [SUMMARY]
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[CONTENT] 16 pediatric infections | inpatients pediatric infectious | respective pediatricians diseases | 10 infectious pediatric | japan patients pediatric [SUMMARY]
[CONTENT] 16 pediatric infections | inpatients pediatric infectious | respective pediatricians diseases | 10 infectious pediatric | japan patients pediatric [SUMMARY]
[CONTENT] 16 pediatric infections | inpatients pediatric infectious | respective pediatricians diseases | 10 infectious pediatric | japan patients pediatric [SUMMARY]
[CONTENT] 16 pediatric infections | inpatients pediatric infectious | respective pediatricians diseases | 10 infectious pediatric | japan patients pediatric [SUMMARY]
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[CONTENT] week | number | cases | 10 | diseases | 2020 | period | sentinel | analysis | year [SUMMARY]
[CONTENT] week | number | cases | 10 | diseases | 2020 | period | sentinel | analysis | year [SUMMARY]
[CONTENT] week | number | cases | 10 | diseases | 2020 | period | sentinel | analysis | year [SUMMARY]
[CONTENT] week | number | cases | 10 | diseases | 2020 | period | sentinel | analysis | year [SUMMARY]
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[CONTENT] year | 10 | 000 | number | sentinel | week | pediatric | data | diseases | sites [SUMMARY]
[CONTENT] week | 2020 | period | fig | 2015 | number | lowest | cases | showed | analysis [SUMMARY]
[CONTENT] long | policies | infectious | 2020 | significantly decreased implementation | studies long | prospective cohort studies | prospective cohort studies long | closures replicated sensitivity | closures replicated [SUMMARY]
[CONTENT] week | number | cases | data | 2020 | 10 | diseases | sentinel | period | pediatric [SUMMARY]
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[CONTENT] ||| Japan | National Epidemiological Surveillance Program | 10 | 9 weeks | 9 weeks ||| the equivalent weeks | 2015-2019 ||| [SUMMARY]
[CONTENT] seven | herpangina | 2020 ||| one | seven [SUMMARY]
[CONTENT] 10 ||| [SUMMARY]
[CONTENT] 2019 | Japan ||| 10 | herpangina ||| ||| Japan | National Epidemiological Surveillance Program | 10 | 9 weeks | 9 weeks ||| the equivalent weeks | 2015-2019 ||| ||| seven | herpangina | 2020 ||| one | seven ||| 10 ||| [SUMMARY]
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Mismatch repair deficiency is rare in bone and soft tissue tumors.
33825202
There has been an increased demand for mismatch repair (MMR) status testing in sarcoma patients after the success of immune checkpoint inhibition (ICI) in MMR deficient tumors. However, data on MMR deficiency in bone and soft tissue tumors is sparse, rendering it unclear if routine screening should be applied. Hence, we aimed to study the frequency of MMR deficiency in bone and soft tissue tumors after we were prompted by two (potential) Lynch syndrome patients developing sarcomas.
INTRODUCTION
Immunohistochemical expression of MLH1, PMS2, MSH2 and MSH6 was assessed on tissue micro arrays (TMAs), and included 353 bone and 539 soft tissue tumors. Molecular data was either retrieved from reports or microsatellite instability (MSI) analysis was performed. In MLH1 negative cases, additional MLH1 promoter hypermethylation analysis followed. Furthermore, a systematic literature review on MMR deficiency in bone and soft tissue tumors was conducted.
METHODS
Eight MMR deficient tumors were identified (1%), which included four leiomyosarcoma, two rhabdomyosarcoma, one malignant peripheral nerve sheath tumor and one radiation-associated sarcoma. Three patients were suspected for Lynch syndrome. Literature review revealed 30 MMR deficient sarcomas, of which 33% were undifferentiated/unclassifiable sarcomas. 57% of the patients were genetically predisposed.
RESULTS
MMR deficiency is rare in bone and soft tissue tumors. Screening focusing on tumors with myogenic differentiation, undifferentiated/unclassifiable sarcomas and in patients with a genetic predisposition / co-occurrence of other malignancies can be helpful in identifying patients potentially eligible for ICI.
CONCLUSION
[ "Adult", "Biomarkers, Tumor", "Bone Neoplasms", "Brain Neoplasms", "Colorectal Neoplasms", "DNA-Binding Proteins", "Humans", "Male", "Middle Aged", "Mismatch Repair Endonuclease PMS2", "MutL Protein Homolog 1", "MutS Homolog 2 Protein", "Neoplastic Syndromes, Hereditary", "Soft Tissue Neoplasms" ]
8518745
Introduction
Immune checkpoint inhibitors (ICI’s) have proven their utility in the past several years across many cancer subtypes. Particularly, antibodies blocking the programmed death (PD‐1) pathway have been approved as second‐line or first‐line therapies for melanomas and an ever‐growing list of mostly epithelial malignancies. 1 Activation of the PD‐1 pathway in T cells represses Th1 and cytotoxic responses in the presence of its ligands (PD‐L1 or PD‐L2). The former can be abundantly expressed in tumor microenvironments by both cancer and immune cells. The blocking of this pathway with therapeutic antibodies reinvigorates anti‐tumor immune responses and elimination of cancer cells. 1 , 2 Since the success of checkpoint blockade immunotherapy, the identification of predictive biomarkers for ICI response has been the subject of investigation. Although no single biomarker can predict which patients will likely benefit from immunotherapy, PD‐L1, with its limitations, has been identified as a predictive biomarker. However, in contrast to other solid cancers the predictive value of PD‐L1 for ICI response is limited in sarcomas. 3 , 4 , 5 Another strong association of ICI response is the tumor mutation burden (TMB), where a high TMB leads to production of more neo‐antigens that might be recognized by the immune system, thereby eliciting an anti‐tumor response. This partially explains why therapy response is more often seen in tumors with a high TMB, e.g., lung carcinomas and melanomas, than in tumors with a low mutational burden, such as sarcomas, which are mostly refractory to ICI. 6 This theory is further supported by the finding that mismatch repair (MMR) deficiency is associated with a high sensitivity to ICI, as the defect in the MMR machinery leads to a high mutational load. 7 , 8 The tumor agnostic approach of some clinical trials, the so‐called basket trials, has led to an increased demand for MMR status testing in advanced cancer patients, irrespective of the tumor type, and thus also including advanced sarcoma patients. 9 However, in contrast to other cancer types, such as colon‐ and endometrial carcinoma, MMR deficiency does not seem to play a major role in sarcomagenesis and only anecdotal cases of sarcomas have been reported in Lynch syndrome patients. 10 , 11 , 12 Yet, we were prompted by two (potential) Lynch syndrome patients with leiomyosarcoma and pleomorphic rhabdomyosarcoma, respectively. Since reliable data on MMR deficiency in soft tissue sarcomas is sparse, and almost absent for bone sarcomas, we aimed to study the frequency of MMR deficiency in sarcomas by immunohistochemical testing of MMR proteins in a large cohort of different bone and soft tissue tumors and by systematically reviewing the literature in order to determine if there is a rationale for routine MMR testing in advanced sarcoma patients.
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Results
INDEX CASES The first index patient was a 55‐year‐old male presenting with a pleomorphic rhabdomyosarcoma in the lower extremity (Figure 1). Subsequently, he developed a pancreatic adenocarcinoma at the age of 60 and two years later an urothelial carcinoma of the ureter. He was referred to the clinical geneticist, where a germline mutation in MSH2 (p. Cys697Tyr) was found. The second index patient involved a male of 42 years presenting with a leiomyosarcoma of the psoas (Figure 2). Seven years later, the patient developed acute myeloid leukaemia, a sebaceous gland carcinoma and adenocarcinoma of the coecum. Although no mutation analysis was performed, the leiomyosarcoma showed a MSI‐high phenotype (instability of three out of five microsatellite markers) and the coecum tumor a MSI‐low phenotype (instability of one maker). Combined with the loss of MSH2/MSH6 expression, it is highly suspicious that this patient developed diverse tumors in the context of Muir‐Torre syndrome, a variant of Lynch syndrome. Pleomorphic rhabdomyosarcoma of first index patient with a MSH2 germline mutation. H&E staining showing numerous lymphocytes intermingled between tumor cells. Cells are pleomorphic with enlarged nuclei, prominent nucleoli and surrounded by abundant eosinophilic cytoplasm, resembling rhabdomyoblasts (insert) (A). Immunohistochemistry for MyoD1 confirms skeletal muscle differentiation (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen in tumor cells, while expression in immune and stromal cells is retained. Expression of PD‐L1 is seen on tumors cells (E). Note the abundance of T cells in the CD3 immunohistochemical detection (F). Scale bar: 50 µm. Leiomyosarcoma of second index patient. H&E staining showing a prominent lymphocytic infiltrate between tumor cells. The tumor is arranged in long bundles of spindle cells. Nuclei are enlarged, ovoid to spindled and surrounded by bipolar eosinophilic cytoplasm (insert) (A). Smooth muscle differentiation is confirmed by positivity for desmin (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen, while expression of MLH1 and PMS2 is retained (not shown). Positivity for PD‐L1 is seen on tumor cells (E). Numerous T cells are scattered throughout the tumor (CD3 staining) (F). Scale bar: 50 µm . The first index patient was a 55‐year‐old male presenting with a pleomorphic rhabdomyosarcoma in the lower extremity (Figure 1). Subsequently, he developed a pancreatic adenocarcinoma at the age of 60 and two years later an urothelial carcinoma of the ureter. He was referred to the clinical geneticist, where a germline mutation in MSH2 (p. Cys697Tyr) was found. The second index patient involved a male of 42 years presenting with a leiomyosarcoma of the psoas (Figure 2). Seven years later, the patient developed acute myeloid leukaemia, a sebaceous gland carcinoma and adenocarcinoma of the coecum. Although no mutation analysis was performed, the leiomyosarcoma showed a MSI‐high phenotype (instability of three out of five microsatellite markers) and the coecum tumor a MSI‐low phenotype (instability of one maker). Combined with the loss of MSH2/MSH6 expression, it is highly suspicious that this patient developed diverse tumors in the context of Muir‐Torre syndrome, a variant of Lynch syndrome. Pleomorphic rhabdomyosarcoma of first index patient with a MSH2 germline mutation. H&E staining showing numerous lymphocytes intermingled between tumor cells. Cells are pleomorphic with enlarged nuclei, prominent nucleoli and surrounded by abundant eosinophilic cytoplasm, resembling rhabdomyoblasts (insert) (A). Immunohistochemistry for MyoD1 confirms skeletal muscle differentiation (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen in tumor cells, while expression in immune and stromal cells is retained. Expression of PD‐L1 is seen on tumors cells (E). Note the abundance of T cells in the CD3 immunohistochemical detection (F). Scale bar: 50 µm. Leiomyosarcoma of second index patient. H&E staining showing a prominent lymphocytic infiltrate between tumor cells. The tumor is arranged in long bundles of spindle cells. Nuclei are enlarged, ovoid to spindled and surrounded by bipolar eosinophilic cytoplasm (insert) (A). Smooth muscle differentiation is confirmed by positivity for desmin (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen, while expression of MLH1 and PMS2 is retained (not shown). Positivity for PD‐L1 is seen on tumor cells (E). Numerous T cells are scattered throughout the tumor (CD3 staining) (F). Scale bar: 50 µm . PROTEIN EXPRESSION The index cases showed loss of expression of both MSH2 and MSH6, while MLH1 and PMS2 were retained (Figure 1 and 2). In addition, a total of six other tumors (three leiomyosarcomas, one embryonal rhabdomyosarcoma, one MPNST and one radiation‐associated soft tissue sarcoma) showed loss of expression of one or more MMR proteins, leading to a total of eight cases with potential MMR defects (1%) (Table 1). Loss of MLH1 and PMS2 was seen in three cases (two leiomyosarcomas and one radiation‐associated sarcoma), loss of MSH2 and MSH6 was present in one embryonal rhabdomyosarcoma and one MPNST. Isolated loss of PMS2 was seen in one leiomyosarcoma (Table 2). In the remaining 786 bone and soft tissue tumors, no loss of expression was observed (Table 1). Summary of immunohistochemical and molecular analysis of MMRd cases Pleomorphic rhabdomyosarcoma HPF, high‐power field; het, heterogenous; +, positive; −, negative; N/A, not applicable; NA, not assessed; MPNST, malignant peripheral nerve sheath tumor. Grading according to FNCLCC. Five out of eight tumors with loss of MMR protein expression displayed expression of PD‐L1 and a high influx of T cells. In two of these cases expression of PD‐1 was observed. Among the three PD‐L1 negative tumors, the majority showed a low amount of tumor‐infiltrating T cells (Table 2). The index cases showed loss of expression of both MSH2 and MSH6, while MLH1 and PMS2 were retained (Figure 1 and 2). In addition, a total of six other tumors (three leiomyosarcomas, one embryonal rhabdomyosarcoma, one MPNST and one radiation‐associated soft tissue sarcoma) showed loss of expression of one or more MMR proteins, leading to a total of eight cases with potential MMR defects (1%) (Table 1). Loss of MLH1 and PMS2 was seen in three cases (two leiomyosarcomas and one radiation‐associated sarcoma), loss of MSH2 and MSH6 was present in one embryonal rhabdomyosarcoma and one MPNST. Isolated loss of PMS2 was seen in one leiomyosarcoma (Table 2). In the remaining 786 bone and soft tissue tumors, no loss of expression was observed (Table 1). Summary of immunohistochemical and molecular analysis of MMRd cases Pleomorphic rhabdomyosarcoma HPF, high‐power field; het, heterogenous; +, positive; −, negative; N/A, not applicable; NA, not assessed; MPNST, malignant peripheral nerve sheath tumor. Grading according to FNCLCC. Five out of eight tumors with loss of MMR protein expression displayed expression of PD‐L1 and a high influx of T cells. In two of these cases expression of PD‐1 was observed. Among the three PD‐L1 negative tumors, the majority showed a low amount of tumor‐infiltrating T cells (Table 2). CLINICAL AND GENOTYPIC ANALYSIS In addition to the index cases, molecular information was available for one other leiomyosarcoma, which showed a MLH1 mutation (p. Val7Argfs*18) in the tumor sample. Clinical data of this patient revealed a breast tumor and a rectal carcinoma. The patient was referred to the clinical genetics, though additional information could not be retrieved. Among the other MMR deficient sarcoma patients, one was known with neurofibromatosis type 1 and one developed adenocarcinoma of the prostate, while the remaining patients had no other tumors. The MMR deficient radiation‐associated sarcoma occurred 10 years after radiation therapy of a liposarcoma. None of the examined MLH1 negative tumors (n = 3) showed MLH1 promoter hypermethylation. MSI analysis revealed one microsatellite stable tumor, while analysis failed on the remaining tumors due to insufficient quality of the DNA (Table 2). In addition to the index cases, molecular information was available for one other leiomyosarcoma, which showed a MLH1 mutation (p. Val7Argfs*18) in the tumor sample. Clinical data of this patient revealed a breast tumor and a rectal carcinoma. The patient was referred to the clinical genetics, though additional information could not be retrieved. Among the other MMR deficient sarcoma patients, one was known with neurofibromatosis type 1 and one developed adenocarcinoma of the prostate, while the remaining patients had no other tumors. The MMR deficient radiation‐associated sarcoma occurred 10 years after radiation therapy of a liposarcoma. None of the examined MLH1 negative tumors (n = 3) showed MLH1 promoter hypermethylation. MSI analysis revealed one microsatellite stable tumor, while analysis failed on the remaining tumors due to insufficient quality of the DNA (Table 2). MISMATCH REPAIR DEFICIENT BONE AND SOFT TISSUE SARCOMAS IN LITERATURE A total of 30 MMR deficient bone and soft tissue sarcomas were encountered in literature (details are summarized in Table 3). Histologically classifiable tumors included liposarcoma (n = 5), osteosarcoma (n = 5), rhabdomyosarcoma (n = 4), alveolar soft part sarcoma (n = 3), clear cell sarcoma (n = 2), leiomyosarcoma (n = 1), PEComa (n = 1). Undifferentiated pleomorphic/unclassifiable sarcoma accounted for eight cases and in one cases the subtype was not specified. 4 , 26 , 27 , 28 , 29 , 30 , 31 , 32 , 33 , 34 , 35 , 36 , 37 , 38 , 39 , 40 , 41 , 42 While most studies referred to case reports or case series, Doyle and colleagues investigated the frequency of MMR deficiency in a cohort of 279 cases and identified 6 MMR deficient cases (2%). 26 In all these studies, seventeen patients had a germline mutation in one of the mismatch repair genes (Lynch syndrome n = 13; Muir‐Torre syndrome n = 2; Constitutional Mismatch Repair Deficiency n = 2). A predominance of MSH2 mutations, either germline of somatic, was found in MMR deficient sarcomas. Overview of mismatch repair deficient bone and soft tissue sarcoma published in the literature Liposaroma Osteosarcoma Osteosarcoma Lynch syndrome Lynch syndrome MSH2 and MSH6 MSH2 and MSH6 MSH2 c.2152C>T MSH2 c.1661+1G>A ASPS, alveolar soft part sarcoma; CMMRD, constitutional mismatch repair deficiency; LMS, leiomyosarcoma; NA, not available; NOS, not otherwise specified; UPS, undifferentiated pleomorphic sarcoma. A total of 30 MMR deficient bone and soft tissue sarcomas were encountered in literature (details are summarized in Table 3). Histologically classifiable tumors included liposarcoma (n = 5), osteosarcoma (n = 5), rhabdomyosarcoma (n = 4), alveolar soft part sarcoma (n = 3), clear cell sarcoma (n = 2), leiomyosarcoma (n = 1), PEComa (n = 1). Undifferentiated pleomorphic/unclassifiable sarcoma accounted for eight cases and in one cases the subtype was not specified. 4 , 26 , 27 , 28 , 29 , 30 , 31 , 32 , 33 , 34 , 35 , 36 , 37 , 38 , 39 , 40 , 41 , 42 While most studies referred to case reports or case series, Doyle and colleagues investigated the frequency of MMR deficiency in a cohort of 279 cases and identified 6 MMR deficient cases (2%). 26 In all these studies, seventeen patients had a germline mutation in one of the mismatch repair genes (Lynch syndrome n = 13; Muir‐Torre syndrome n = 2; Constitutional Mismatch Repair Deficiency n = 2). A predominance of MSH2 mutations, either germline of somatic, was found in MMR deficient sarcomas. Overview of mismatch repair deficient bone and soft tissue sarcoma published in the literature Liposaroma Osteosarcoma Osteosarcoma Lynch syndrome Lynch syndrome MSH2 and MSH6 MSH2 and MSH6 MSH2 c.2152C>T MSH2 c.1661+1G>A ASPS, alveolar soft part sarcoma; CMMRD, constitutional mismatch repair deficiency; LMS, leiomyosarcoma; NA, not available; NOS, not otherwise specified; UPS, undifferentiated pleomorphic sarcoma.
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[ "Introduction", "SAMPLE COLLECTION", "IMMUNOHISTOCHEMISTRY", "\nMLH1 PROMOTER METHYLATION ASSAY", "MICROSATELLITE INSTABILITY (MSI) ANALYSIS", "LITERATURE SEARCH", "INDEX CASES", "PROTEIN EXPRESSION", "CLINICAL AND GENOTYPIC ANALYSIS", "MISMATCH REPAIR DEFICIENT BONE AND SOFT TISSUE SARCOMAS IN LITERATURE", "Author contributions", "Funding" ]
[ "Immune checkpoint inhibitors (ICI’s) have proven their utility in the past several years across many cancer subtypes. Particularly, antibodies blocking the programmed death (PD‐1) pathway have been approved as second‐line or first‐line therapies for melanomas and an ever‐growing list of mostly epithelial malignancies.\n1\n Activation of the PD‐1 pathway in T cells represses Th1 and cytotoxic responses in the presence of its ligands (PD‐L1 or PD‐L2). The former can be abundantly expressed in tumor microenvironments by both cancer and immune cells. The blocking of this pathway with therapeutic antibodies reinvigorates anti‐tumor immune responses and elimination of cancer cells.\n1\n, \n2\n Since the success of checkpoint blockade immunotherapy, the identification of predictive biomarkers for ICI response has been the subject of investigation. Although no single biomarker can predict which patients will likely benefit from immunotherapy, PD‐L1, with its limitations, has been identified as a predictive biomarker. However, in contrast to other solid cancers the predictive value of PD‐L1 for ICI response is limited in sarcomas.\n3\n, \n4\n, \n5\n Another strong association of ICI response is the tumor mutation burden (TMB), where a high TMB leads to production of more neo‐antigens that might be recognized by the immune system, thereby eliciting an anti‐tumor response. This partially explains why therapy response is more often seen in tumors with a high TMB, e.g., lung carcinomas and melanomas, than in tumors with a low mutational burden, such as sarcomas, which are mostly refractory to ICI.\n6\n This theory is further supported by the finding that mismatch repair (MMR) deficiency is associated with a high sensitivity to ICI, as the defect in the MMR machinery leads to a high mutational load.\n7\n, \n8\n The tumor agnostic approach of some clinical trials, the so‐called basket trials, has led to an increased demand for MMR status testing in advanced cancer patients, irrespective of the tumor type, and thus also including advanced sarcoma patients.\n9\n However, in contrast to other cancer types, such as colon‐ and endometrial carcinoma, MMR deficiency does not seem to play a major role in sarcomagenesis and only anecdotal cases of sarcomas have been reported in Lynch syndrome patients.\n10\n, \n11\n, \n12\n Yet, we were prompted by two (potential) Lynch syndrome patients with leiomyosarcoma and pleomorphic rhabdomyosarcoma, respectively. Since reliable data on MMR deficiency in soft tissue sarcomas is sparse, and almost absent for bone sarcomas, we aimed to study the frequency of MMR deficiency in sarcomas by immunohistochemical testing of MMR proteins in a large cohort of different bone and soft tissue tumors and by systematically reviewing the literature in order to determine if there is a rationale for routine MMR testing in advanced sarcoma patients.", "Two index cases displaying MMR deficiency were identified. In addition, tissue microarrays (TMAs) of two institutions (Leiden University Medical Center (LUMC) and UZ Leuven) were used to assess MMR deficiency. For most of the LUMC TMAs, clinicopathological data were previously published, and the series included conventional chondrosarcoma (n = 137), dedifferentiated chondrosarcoma (n = 28), mesenchymal chondrosarcoma (n = 21), clear cell chondrosarcoma (n = 20), leiomyosarcoma (n = 87), angiosarcoma (n = 60), different subtypes of liposarcoma (n = 42), undifferentiated pleomorphic sarcoma (n = 22), vestibular schwannoma (n = 22), Ewing sarcoma (n = 19), malignant peripheral nerve sheath tumor (MPNST) (n = 19), myxofibrosarcoma (n = 17), enchondroma (n = 11), neurofibroma (n = 10), osteochondroma (n = 9), undifferentiated spindle cell sarcoma (n = 7), radiation‐associated sarcoma (n = 4), rhabdomyosarcoma (n = 2) and osteosarcoma (n = 2).\n13\n, \n14\n, \n15\n, \n16\n, \n17\n, \n18\n, \n19\n, \n20\n In addition, TMA’s of synovial sarcoma (n = 69), osteosarcoma (n = 65), MPNST (n = 20), rhabdomyosarcoma (n = 13), dedifferentiated liposarcoma (n = 20), radiation‐associated tumors (n = 11) were constructed as previously described.\n21\n Samples were handled according to the ethical guidelines described in “code for Proper Secondary Use of Human Tissue in the Netherlands” in a coded (pseudonymized) manner, as approved by the Leiden University Medical Center ethical board (B17.020, B17.036, B17.030, and B20.064). Furthermore, previously constructed TMAs from the UZ Leuven institute included alveolar soft part sarcoma (n = 59), different subtypes of liposarcoma (n = 42), inflammatory myofibroblastic tumor (n = 33) and alveolar rhabdomyosarcoma (n = 21).\n22\n The analysis of anonymized data and use of archival FFPE tumor samples were approved by the Medical Ethics Committee, UZ Leuven (S51495, S59181). All tumors were classified according to the WHO classification of bone and soft tissue tumors, fifth edition.", "Immunohistochemistry was performed with commercially available antibodies using a standard lab protocol, as described previously.\n21\n In short, microwave antigen retrieval in either TRIS‐EDTA (pH 9.0) or Citrate (pH 6.0) was performed using deparaffinized sections, followed by overnight incubation with the primary antibody. Details of antibodies are summarized in Supplementary Table 1. The following day, detection using power vision poly‐HRP (ImmunoLogic, the Netherlands) and visualization with a DAB+ substrate chromogen system (Dako, Glostrup, Denmark) followed. Finally, slides were counterstained with haematoxylin, dehydrated and mounted.\nMismatch repair deficiency in bone and soft tissue tumors\nMMRd, mismatch repair deficient; NOS, not otherwise specified.\nNuclear expression of the MMR proteins was scored as positive, heterogeneous or negative. If heterogenous or negative, the expression of the internal control was evaluated and staining was repeated using a whole slide section of the same tumor. Subsequently, immunohistochemistry for PD‐1, PD‐L1 and CD3 was performed on MMR deficient tumors. The scoring system was adapted from previous studies: PD‐L1: negative: <1%, +: 1–49% and ++: ≥50%.\n23\n The degree of T cell infiltration was graded as low if ≤5 T cells/HPF or high if >5 T cells/HPF. PD‐1 expression was assessed on T cells and was considered positive if membranous staining was present.", "Since the loss of MLH1 and PMS2 expression is commonly caused by somatic promoter hypermethylation of MLH1, MLH1 promoter status was analysed in MLH1/PMS2 negative cases using methylation specific PCR. Briefly, using the EZ DNA methylation Gold kit (Zymo Research, Orange, US) bisulfite conversion of tumor DNA was performed. Bisulfite‐converted DNA was amplified using specific methylated and unmethylated primers in a PCR reaction, as described previously.\n24\n, \n25\n\n", "MSI analysis was performed using MSI analysis system, version 1.2 (Promega), according to the manufacturer’s instructions. In short, PCR using five MSI Markers (BAT26‐, BAT‐25, NR‐24, NR21, MONO‐27) was performed and PCR products were analyzed using the SeqStudio genetic analyzer (ThermoFisher, Waltham, Massachusetts, U.S.). Samples were classified as microsatellite stable (MSS) if none of the markers were altered, MSI‐Low if 1 out of 5 markers was unstable and MSI‐High if ≥2 out of 5 markers were unstable.", "A Pubmed search matching the terms of HNPCC, Lynch syndrome, mismatch repair deficiency, microsatellite instability and sarcoma(s), soft tissue tumor(s), bone tumor(s) was conducted. Studies were included if the full text was available and if reference to an internal control was made in case no expression of MMR proteins detected in tumor cells.", "The first index patient was a 55‐year‐old male presenting with a pleomorphic rhabdomyosarcoma in the lower extremity (Figure 1). Subsequently, he developed a pancreatic adenocarcinoma at the age of 60 and two years later an urothelial carcinoma of the ureter. He was referred to the clinical geneticist, where a germline mutation in MSH2 (p. Cys697Tyr) was found. The second index patient involved a male of 42 years presenting with a leiomyosarcoma of the psoas (Figure 2). Seven years later, the patient developed acute myeloid leukaemia, a sebaceous gland carcinoma and adenocarcinoma of the coecum. Although no mutation analysis was performed, the leiomyosarcoma showed a MSI‐high phenotype (instability of three out of five microsatellite markers) and the coecum tumor a MSI‐low phenotype (instability of one maker). Combined with the loss of MSH2/MSH6 expression, it is highly suspicious that this patient developed diverse tumors in the context of Muir‐Torre syndrome, a variant of Lynch syndrome.\nPleomorphic rhabdomyosarcoma of first index patient with a MSH2 germline mutation. H&E staining showing numerous lymphocytes intermingled between tumor cells. Cells are pleomorphic with enlarged nuclei, prominent nucleoli and surrounded by abundant eosinophilic cytoplasm, resembling rhabdomyoblasts (insert) (A). Immunohistochemistry for MyoD1 confirms skeletal muscle differentiation (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen in tumor cells, while expression in immune and stromal cells is retained. Expression of PD‐L1 is seen on tumors cells (E). Note the abundance of T cells in the CD3 immunohistochemical detection (F). Scale bar: 50 µm.\nLeiomyosarcoma of second index patient. H&E staining showing a prominent lymphocytic infiltrate between tumor cells. The tumor is arranged in long bundles of spindle cells. Nuclei are enlarged, ovoid to spindled and surrounded by bipolar eosinophilic cytoplasm (insert) (A). Smooth muscle differentiation is confirmed by positivity for desmin (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen, while expression of MLH1 and PMS2 is retained (not shown). Positivity for PD‐L1 is seen on tumor cells (E). Numerous T cells are scattered throughout the tumor (CD3 staining) (F). Scale bar: 50 µm .", "The index cases showed loss of expression of both MSH2 and MSH6, while MLH1 and PMS2 were retained (Figure 1 and 2). In addition, a total of six other tumors (three leiomyosarcomas, one embryonal rhabdomyosarcoma, one MPNST and one radiation‐associated soft tissue sarcoma) showed loss of expression of one or more MMR proteins, leading to a total of eight cases with potential MMR defects (1%) (Table 1). Loss of MLH1 and PMS2 was seen in three cases (two leiomyosarcomas and one radiation‐associated sarcoma), loss of MSH2 and MSH6 was present in one embryonal rhabdomyosarcoma and one MPNST. Isolated loss of PMS2 was seen in one leiomyosarcoma (Table 2). In the remaining 786 bone and soft tissue tumors, no loss of expression was observed (Table 1).\nSummary of immunohistochemical and molecular analysis of MMRd cases\nPleomorphic\nrhabdomyosarcoma\nHPF, high‐power field; het, heterogenous; +, positive; −, negative; N/A, not applicable; NA, not assessed; MPNST, malignant peripheral nerve sheath tumor.\nGrading according to FNCLCC.\nFive out of eight tumors with loss of MMR protein expression displayed expression of PD‐L1 and a high influx of T cells. In two of these cases expression of PD‐1 was observed. Among the three PD‐L1 negative tumors, the majority showed a low amount of tumor‐infiltrating T cells (Table 2).", "In addition to the index cases, molecular information was available for one other leiomyosarcoma, which showed a MLH1 mutation (p. Val7Argfs*18) in the tumor sample. Clinical data of this patient revealed a breast tumor and a rectal carcinoma. The patient was referred to the clinical genetics, though additional information could not be retrieved. Among the other MMR deficient sarcoma patients, one was known with neurofibromatosis type 1 and one developed adenocarcinoma of the prostate, while the remaining patients had no other tumors. The MMR deficient radiation‐associated sarcoma occurred 10 years after radiation therapy of a liposarcoma. None of the examined MLH1 negative tumors (n = 3) showed MLH1 promoter hypermethylation. MSI analysis revealed one microsatellite stable tumor, while analysis failed on the remaining tumors due to insufficient quality of the DNA (Table 2).", "A total of 30 MMR deficient bone and soft tissue sarcomas were encountered in literature (details are summarized in Table 3). Histologically classifiable tumors included liposarcoma (n = 5), osteosarcoma (n = 5), rhabdomyosarcoma (n = 4), alveolar soft part sarcoma (n = 3), clear cell sarcoma (n = 2), leiomyosarcoma (n = 1), PEComa (n = 1). Undifferentiated pleomorphic/unclassifiable sarcoma accounted for eight cases and in one cases the subtype was not specified.\n4\n, \n26\n, \n27\n, \n28\n, \n29\n, \n30\n, \n31\n, \n32\n, \n33\n, \n34\n, \n35\n, \n36\n, \n37\n, \n38\n, \n39\n, \n40\n, \n41\n, \n42\n While most studies referred to case reports or case series, Doyle and colleagues investigated the frequency of MMR deficiency in a cohort of 279 cases and identified 6 MMR deficient cases (2%).\n26\n In all these studies, seventeen patients had a germline mutation in one of the mismatch repair genes (Lynch syndrome n = 13; Muir‐Torre syndrome n = 2; Constitutional Mismatch Repair Deficiency n = 2). A predominance of MSH2 mutations, either germline of somatic, was found in MMR deficient sarcomas.\nOverview of mismatch repair deficient bone and soft tissue sarcoma published in the literature\nLiposaroma\nOsteosarcoma\nOsteosarcoma\nLynch syndrome\nLynch syndrome\nMSH2 and MSH6\nMSH2 and MSH6\n\nMSH2 c.2152C>T\n\nMSH2 c.1661+1G>A\nASPS, alveolar soft part sarcoma; CMMRD, constitutional mismatch repair deficiency; LMS, leiomyosarcoma; NA, not available; NOS, not otherwise specified; UPS, undifferentiated pleomorphic sarcoma.", "The study was designed, written and reviewed by S.W. Lam, M. Kostine and J.V.M.G. Bovée. All authors contributed to the data collection, data analysis and interpretation. The manuscript was approved by all authors.", "Leiden University Medical Center" ]
[ null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Material and methods", "SAMPLE COLLECTION", "IMMUNOHISTOCHEMISTRY", "\nMLH1 PROMOTER METHYLATION ASSAY", "MICROSATELLITE INSTABILITY (MSI) ANALYSIS", "LITERATURE SEARCH", "Results", "INDEX CASES", "PROTEIN EXPRESSION", "CLINICAL AND GENOTYPIC ANALYSIS", "MISMATCH REPAIR DEFICIENT BONE AND SOFT TISSUE SARCOMAS IN LITERATURE", "Discussion", "Author contributions", "Conflict of interest", "Funding", "Supporting information" ]
[ "Immune checkpoint inhibitors (ICI’s) have proven their utility in the past several years across many cancer subtypes. Particularly, antibodies blocking the programmed death (PD‐1) pathway have been approved as second‐line or first‐line therapies for melanomas and an ever‐growing list of mostly epithelial malignancies.\n1\n Activation of the PD‐1 pathway in T cells represses Th1 and cytotoxic responses in the presence of its ligands (PD‐L1 or PD‐L2). The former can be abundantly expressed in tumor microenvironments by both cancer and immune cells. The blocking of this pathway with therapeutic antibodies reinvigorates anti‐tumor immune responses and elimination of cancer cells.\n1\n, \n2\n Since the success of checkpoint blockade immunotherapy, the identification of predictive biomarkers for ICI response has been the subject of investigation. Although no single biomarker can predict which patients will likely benefit from immunotherapy, PD‐L1, with its limitations, has been identified as a predictive biomarker. However, in contrast to other solid cancers the predictive value of PD‐L1 for ICI response is limited in sarcomas.\n3\n, \n4\n, \n5\n Another strong association of ICI response is the tumor mutation burden (TMB), where a high TMB leads to production of more neo‐antigens that might be recognized by the immune system, thereby eliciting an anti‐tumor response. This partially explains why therapy response is more often seen in tumors with a high TMB, e.g., lung carcinomas and melanomas, than in tumors with a low mutational burden, such as sarcomas, which are mostly refractory to ICI.\n6\n This theory is further supported by the finding that mismatch repair (MMR) deficiency is associated with a high sensitivity to ICI, as the defect in the MMR machinery leads to a high mutational load.\n7\n, \n8\n The tumor agnostic approach of some clinical trials, the so‐called basket trials, has led to an increased demand for MMR status testing in advanced cancer patients, irrespective of the tumor type, and thus also including advanced sarcoma patients.\n9\n However, in contrast to other cancer types, such as colon‐ and endometrial carcinoma, MMR deficiency does not seem to play a major role in sarcomagenesis and only anecdotal cases of sarcomas have been reported in Lynch syndrome patients.\n10\n, \n11\n, \n12\n Yet, we were prompted by two (potential) Lynch syndrome patients with leiomyosarcoma and pleomorphic rhabdomyosarcoma, respectively. Since reliable data on MMR deficiency in soft tissue sarcomas is sparse, and almost absent for bone sarcomas, we aimed to study the frequency of MMR deficiency in sarcomas by immunohistochemical testing of MMR proteins in a large cohort of different bone and soft tissue tumors and by systematically reviewing the literature in order to determine if there is a rationale for routine MMR testing in advanced sarcoma patients.", "SAMPLE COLLECTION Two index cases displaying MMR deficiency were identified. In addition, tissue microarrays (TMAs) of two institutions (Leiden University Medical Center (LUMC) and UZ Leuven) were used to assess MMR deficiency. For most of the LUMC TMAs, clinicopathological data were previously published, and the series included conventional chondrosarcoma (n = 137), dedifferentiated chondrosarcoma (n = 28), mesenchymal chondrosarcoma (n = 21), clear cell chondrosarcoma (n = 20), leiomyosarcoma (n = 87), angiosarcoma (n = 60), different subtypes of liposarcoma (n = 42), undifferentiated pleomorphic sarcoma (n = 22), vestibular schwannoma (n = 22), Ewing sarcoma (n = 19), malignant peripheral nerve sheath tumor (MPNST) (n = 19), myxofibrosarcoma (n = 17), enchondroma (n = 11), neurofibroma (n = 10), osteochondroma (n = 9), undifferentiated spindle cell sarcoma (n = 7), radiation‐associated sarcoma (n = 4), rhabdomyosarcoma (n = 2) and osteosarcoma (n = 2).\n13\n, \n14\n, \n15\n, \n16\n, \n17\n, \n18\n, \n19\n, \n20\n In addition, TMA’s of synovial sarcoma (n = 69), osteosarcoma (n = 65), MPNST (n = 20), rhabdomyosarcoma (n = 13), dedifferentiated liposarcoma (n = 20), radiation‐associated tumors (n = 11) were constructed as previously described.\n21\n Samples were handled according to the ethical guidelines described in “code for Proper Secondary Use of Human Tissue in the Netherlands” in a coded (pseudonymized) manner, as approved by the Leiden University Medical Center ethical board (B17.020, B17.036, B17.030, and B20.064). Furthermore, previously constructed TMAs from the UZ Leuven institute included alveolar soft part sarcoma (n = 59), different subtypes of liposarcoma (n = 42), inflammatory myofibroblastic tumor (n = 33) and alveolar rhabdomyosarcoma (n = 21).\n22\n The analysis of anonymized data and use of archival FFPE tumor samples were approved by the Medical Ethics Committee, UZ Leuven (S51495, S59181). All tumors were classified according to the WHO classification of bone and soft tissue tumors, fifth edition.\nTwo index cases displaying MMR deficiency were identified. In addition, tissue microarrays (TMAs) of two institutions (Leiden University Medical Center (LUMC) and UZ Leuven) were used to assess MMR deficiency. For most of the LUMC TMAs, clinicopathological data were previously published, and the series included conventional chondrosarcoma (n = 137), dedifferentiated chondrosarcoma (n = 28), mesenchymal chondrosarcoma (n = 21), clear cell chondrosarcoma (n = 20), leiomyosarcoma (n = 87), angiosarcoma (n = 60), different subtypes of liposarcoma (n = 42), undifferentiated pleomorphic sarcoma (n = 22), vestibular schwannoma (n = 22), Ewing sarcoma (n = 19), malignant peripheral nerve sheath tumor (MPNST) (n = 19), myxofibrosarcoma (n = 17), enchondroma (n = 11), neurofibroma (n = 10), osteochondroma (n = 9), undifferentiated spindle cell sarcoma (n = 7), radiation‐associated sarcoma (n = 4), rhabdomyosarcoma (n = 2) and osteosarcoma (n = 2).\n13\n, \n14\n, \n15\n, \n16\n, \n17\n, \n18\n, \n19\n, \n20\n In addition, TMA’s of synovial sarcoma (n = 69), osteosarcoma (n = 65), MPNST (n = 20), rhabdomyosarcoma (n = 13), dedifferentiated liposarcoma (n = 20), radiation‐associated tumors (n = 11) were constructed as previously described.\n21\n Samples were handled according to the ethical guidelines described in “code for Proper Secondary Use of Human Tissue in the Netherlands” in a coded (pseudonymized) manner, as approved by the Leiden University Medical Center ethical board (B17.020, B17.036, B17.030, and B20.064). Furthermore, previously constructed TMAs from the UZ Leuven institute included alveolar soft part sarcoma (n = 59), different subtypes of liposarcoma (n = 42), inflammatory myofibroblastic tumor (n = 33) and alveolar rhabdomyosarcoma (n = 21).\n22\n The analysis of anonymized data and use of archival FFPE tumor samples were approved by the Medical Ethics Committee, UZ Leuven (S51495, S59181). All tumors were classified according to the WHO classification of bone and soft tissue tumors, fifth edition.\nIMMUNOHISTOCHEMISTRY Immunohistochemistry was performed with commercially available antibodies using a standard lab protocol, as described previously.\n21\n In short, microwave antigen retrieval in either TRIS‐EDTA (pH 9.0) or Citrate (pH 6.0) was performed using deparaffinized sections, followed by overnight incubation with the primary antibody. Details of antibodies are summarized in Supplementary Table 1. The following day, detection using power vision poly‐HRP (ImmunoLogic, the Netherlands) and visualization with a DAB+ substrate chromogen system (Dako, Glostrup, Denmark) followed. Finally, slides were counterstained with haematoxylin, dehydrated and mounted.\nMismatch repair deficiency in bone and soft tissue tumors\nMMRd, mismatch repair deficient; NOS, not otherwise specified.\nNuclear expression of the MMR proteins was scored as positive, heterogeneous or negative. If heterogenous or negative, the expression of the internal control was evaluated and staining was repeated using a whole slide section of the same tumor. Subsequently, immunohistochemistry for PD‐1, PD‐L1 and CD3 was performed on MMR deficient tumors. The scoring system was adapted from previous studies: PD‐L1: negative: <1%, +: 1–49% and ++: ≥50%.\n23\n The degree of T cell infiltration was graded as low if ≤5 T cells/HPF or high if >5 T cells/HPF. PD‐1 expression was assessed on T cells and was considered positive if membranous staining was present.\nImmunohistochemistry was performed with commercially available antibodies using a standard lab protocol, as described previously.\n21\n In short, microwave antigen retrieval in either TRIS‐EDTA (pH 9.0) or Citrate (pH 6.0) was performed using deparaffinized sections, followed by overnight incubation with the primary antibody. Details of antibodies are summarized in Supplementary Table 1. The following day, detection using power vision poly‐HRP (ImmunoLogic, the Netherlands) and visualization with a DAB+ substrate chromogen system (Dako, Glostrup, Denmark) followed. Finally, slides were counterstained with haematoxylin, dehydrated and mounted.\nMismatch repair deficiency in bone and soft tissue tumors\nMMRd, mismatch repair deficient; NOS, not otherwise specified.\nNuclear expression of the MMR proteins was scored as positive, heterogeneous or negative. If heterogenous or negative, the expression of the internal control was evaluated and staining was repeated using a whole slide section of the same tumor. Subsequently, immunohistochemistry for PD‐1, PD‐L1 and CD3 was performed on MMR deficient tumors. The scoring system was adapted from previous studies: PD‐L1: negative: <1%, +: 1–49% and ++: ≥50%.\n23\n The degree of T cell infiltration was graded as low if ≤5 T cells/HPF or high if >5 T cells/HPF. PD‐1 expression was assessed on T cells and was considered positive if membranous staining was present.\n\nMLH1 PROMOTER METHYLATION ASSAY Since the loss of MLH1 and PMS2 expression is commonly caused by somatic promoter hypermethylation of MLH1, MLH1 promoter status was analysed in MLH1/PMS2 negative cases using methylation specific PCR. Briefly, using the EZ DNA methylation Gold kit (Zymo Research, Orange, US) bisulfite conversion of tumor DNA was performed. Bisulfite‐converted DNA was amplified using specific methylated and unmethylated primers in a PCR reaction, as described previously.\n24\n, \n25\n\n\nSince the loss of MLH1 and PMS2 expression is commonly caused by somatic promoter hypermethylation of MLH1, MLH1 promoter status was analysed in MLH1/PMS2 negative cases using methylation specific PCR. Briefly, using the EZ DNA methylation Gold kit (Zymo Research, Orange, US) bisulfite conversion of tumor DNA was performed. Bisulfite‐converted DNA was amplified using specific methylated and unmethylated primers in a PCR reaction, as described previously.\n24\n, \n25\n\n\nMICROSATELLITE INSTABILITY (MSI) ANALYSIS MSI analysis was performed using MSI analysis system, version 1.2 (Promega), according to the manufacturer’s instructions. In short, PCR using five MSI Markers (BAT26‐, BAT‐25, NR‐24, NR21, MONO‐27) was performed and PCR products were analyzed using the SeqStudio genetic analyzer (ThermoFisher, Waltham, Massachusetts, U.S.). Samples were classified as microsatellite stable (MSS) if none of the markers were altered, MSI‐Low if 1 out of 5 markers was unstable and MSI‐High if ≥2 out of 5 markers were unstable.\nMSI analysis was performed using MSI analysis system, version 1.2 (Promega), according to the manufacturer’s instructions. In short, PCR using five MSI Markers (BAT26‐, BAT‐25, NR‐24, NR21, MONO‐27) was performed and PCR products were analyzed using the SeqStudio genetic analyzer (ThermoFisher, Waltham, Massachusetts, U.S.). Samples were classified as microsatellite stable (MSS) if none of the markers were altered, MSI‐Low if 1 out of 5 markers was unstable and MSI‐High if ≥2 out of 5 markers were unstable.\nLITERATURE SEARCH A Pubmed search matching the terms of HNPCC, Lynch syndrome, mismatch repair deficiency, microsatellite instability and sarcoma(s), soft tissue tumor(s), bone tumor(s) was conducted. Studies were included if the full text was available and if reference to an internal control was made in case no expression of MMR proteins detected in tumor cells.\nA Pubmed search matching the terms of HNPCC, Lynch syndrome, mismatch repair deficiency, microsatellite instability and sarcoma(s), soft tissue tumor(s), bone tumor(s) was conducted. Studies were included if the full text was available and if reference to an internal control was made in case no expression of MMR proteins detected in tumor cells.", "Two index cases displaying MMR deficiency were identified. In addition, tissue microarrays (TMAs) of two institutions (Leiden University Medical Center (LUMC) and UZ Leuven) were used to assess MMR deficiency. For most of the LUMC TMAs, clinicopathological data were previously published, and the series included conventional chondrosarcoma (n = 137), dedifferentiated chondrosarcoma (n = 28), mesenchymal chondrosarcoma (n = 21), clear cell chondrosarcoma (n = 20), leiomyosarcoma (n = 87), angiosarcoma (n = 60), different subtypes of liposarcoma (n = 42), undifferentiated pleomorphic sarcoma (n = 22), vestibular schwannoma (n = 22), Ewing sarcoma (n = 19), malignant peripheral nerve sheath tumor (MPNST) (n = 19), myxofibrosarcoma (n = 17), enchondroma (n = 11), neurofibroma (n = 10), osteochondroma (n = 9), undifferentiated spindle cell sarcoma (n = 7), radiation‐associated sarcoma (n = 4), rhabdomyosarcoma (n = 2) and osteosarcoma (n = 2).\n13\n, \n14\n, \n15\n, \n16\n, \n17\n, \n18\n, \n19\n, \n20\n In addition, TMA’s of synovial sarcoma (n = 69), osteosarcoma (n = 65), MPNST (n = 20), rhabdomyosarcoma (n = 13), dedifferentiated liposarcoma (n = 20), radiation‐associated tumors (n = 11) were constructed as previously described.\n21\n Samples were handled according to the ethical guidelines described in “code for Proper Secondary Use of Human Tissue in the Netherlands” in a coded (pseudonymized) manner, as approved by the Leiden University Medical Center ethical board (B17.020, B17.036, B17.030, and B20.064). Furthermore, previously constructed TMAs from the UZ Leuven institute included alveolar soft part sarcoma (n = 59), different subtypes of liposarcoma (n = 42), inflammatory myofibroblastic tumor (n = 33) and alveolar rhabdomyosarcoma (n = 21).\n22\n The analysis of anonymized data and use of archival FFPE tumor samples were approved by the Medical Ethics Committee, UZ Leuven (S51495, S59181). All tumors were classified according to the WHO classification of bone and soft tissue tumors, fifth edition.", "Immunohistochemistry was performed with commercially available antibodies using a standard lab protocol, as described previously.\n21\n In short, microwave antigen retrieval in either TRIS‐EDTA (pH 9.0) or Citrate (pH 6.0) was performed using deparaffinized sections, followed by overnight incubation with the primary antibody. Details of antibodies are summarized in Supplementary Table 1. The following day, detection using power vision poly‐HRP (ImmunoLogic, the Netherlands) and visualization with a DAB+ substrate chromogen system (Dako, Glostrup, Denmark) followed. Finally, slides were counterstained with haematoxylin, dehydrated and mounted.\nMismatch repair deficiency in bone and soft tissue tumors\nMMRd, mismatch repair deficient; NOS, not otherwise specified.\nNuclear expression of the MMR proteins was scored as positive, heterogeneous or negative. If heterogenous or negative, the expression of the internal control was evaluated and staining was repeated using a whole slide section of the same tumor. Subsequently, immunohistochemistry for PD‐1, PD‐L1 and CD3 was performed on MMR deficient tumors. The scoring system was adapted from previous studies: PD‐L1: negative: <1%, +: 1–49% and ++: ≥50%.\n23\n The degree of T cell infiltration was graded as low if ≤5 T cells/HPF or high if >5 T cells/HPF. PD‐1 expression was assessed on T cells and was considered positive if membranous staining was present.", "Since the loss of MLH1 and PMS2 expression is commonly caused by somatic promoter hypermethylation of MLH1, MLH1 promoter status was analysed in MLH1/PMS2 negative cases using methylation specific PCR. Briefly, using the EZ DNA methylation Gold kit (Zymo Research, Orange, US) bisulfite conversion of tumor DNA was performed. Bisulfite‐converted DNA was amplified using specific methylated and unmethylated primers in a PCR reaction, as described previously.\n24\n, \n25\n\n", "MSI analysis was performed using MSI analysis system, version 1.2 (Promega), according to the manufacturer’s instructions. In short, PCR using five MSI Markers (BAT26‐, BAT‐25, NR‐24, NR21, MONO‐27) was performed and PCR products were analyzed using the SeqStudio genetic analyzer (ThermoFisher, Waltham, Massachusetts, U.S.). Samples were classified as microsatellite stable (MSS) if none of the markers were altered, MSI‐Low if 1 out of 5 markers was unstable and MSI‐High if ≥2 out of 5 markers were unstable.", "A Pubmed search matching the terms of HNPCC, Lynch syndrome, mismatch repair deficiency, microsatellite instability and sarcoma(s), soft tissue tumor(s), bone tumor(s) was conducted. Studies were included if the full text was available and if reference to an internal control was made in case no expression of MMR proteins detected in tumor cells.", "INDEX CASES The first index patient was a 55‐year‐old male presenting with a pleomorphic rhabdomyosarcoma in the lower extremity (Figure 1). Subsequently, he developed a pancreatic adenocarcinoma at the age of 60 and two years later an urothelial carcinoma of the ureter. He was referred to the clinical geneticist, where a germline mutation in MSH2 (p. Cys697Tyr) was found. The second index patient involved a male of 42 years presenting with a leiomyosarcoma of the psoas (Figure 2). Seven years later, the patient developed acute myeloid leukaemia, a sebaceous gland carcinoma and adenocarcinoma of the coecum. Although no mutation analysis was performed, the leiomyosarcoma showed a MSI‐high phenotype (instability of three out of five microsatellite markers) and the coecum tumor a MSI‐low phenotype (instability of one maker). Combined with the loss of MSH2/MSH6 expression, it is highly suspicious that this patient developed diverse tumors in the context of Muir‐Torre syndrome, a variant of Lynch syndrome.\nPleomorphic rhabdomyosarcoma of first index patient with a MSH2 germline mutation. H&E staining showing numerous lymphocytes intermingled between tumor cells. Cells are pleomorphic with enlarged nuclei, prominent nucleoli and surrounded by abundant eosinophilic cytoplasm, resembling rhabdomyoblasts (insert) (A). Immunohistochemistry for MyoD1 confirms skeletal muscle differentiation (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen in tumor cells, while expression in immune and stromal cells is retained. Expression of PD‐L1 is seen on tumors cells (E). Note the abundance of T cells in the CD3 immunohistochemical detection (F). Scale bar: 50 µm.\nLeiomyosarcoma of second index patient. H&E staining showing a prominent lymphocytic infiltrate between tumor cells. The tumor is arranged in long bundles of spindle cells. Nuclei are enlarged, ovoid to spindled and surrounded by bipolar eosinophilic cytoplasm (insert) (A). Smooth muscle differentiation is confirmed by positivity for desmin (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen, while expression of MLH1 and PMS2 is retained (not shown). Positivity for PD‐L1 is seen on tumor cells (E). Numerous T cells are scattered throughout the tumor (CD3 staining) (F). Scale bar: 50 µm .\nThe first index patient was a 55‐year‐old male presenting with a pleomorphic rhabdomyosarcoma in the lower extremity (Figure 1). Subsequently, he developed a pancreatic adenocarcinoma at the age of 60 and two years later an urothelial carcinoma of the ureter. He was referred to the clinical geneticist, where a germline mutation in MSH2 (p. Cys697Tyr) was found. The second index patient involved a male of 42 years presenting with a leiomyosarcoma of the psoas (Figure 2). Seven years later, the patient developed acute myeloid leukaemia, a sebaceous gland carcinoma and adenocarcinoma of the coecum. Although no mutation analysis was performed, the leiomyosarcoma showed a MSI‐high phenotype (instability of three out of five microsatellite markers) and the coecum tumor a MSI‐low phenotype (instability of one maker). Combined with the loss of MSH2/MSH6 expression, it is highly suspicious that this patient developed diverse tumors in the context of Muir‐Torre syndrome, a variant of Lynch syndrome.\nPleomorphic rhabdomyosarcoma of first index patient with a MSH2 germline mutation. H&E staining showing numerous lymphocytes intermingled between tumor cells. Cells are pleomorphic with enlarged nuclei, prominent nucleoli and surrounded by abundant eosinophilic cytoplasm, resembling rhabdomyoblasts (insert) (A). Immunohistochemistry for MyoD1 confirms skeletal muscle differentiation (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen in tumor cells, while expression in immune and stromal cells is retained. Expression of PD‐L1 is seen on tumors cells (E). Note the abundance of T cells in the CD3 immunohistochemical detection (F). Scale bar: 50 µm.\nLeiomyosarcoma of second index patient. H&E staining showing a prominent lymphocytic infiltrate between tumor cells. The tumor is arranged in long bundles of spindle cells. Nuclei are enlarged, ovoid to spindled and surrounded by bipolar eosinophilic cytoplasm (insert) (A). Smooth muscle differentiation is confirmed by positivity for desmin (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen, while expression of MLH1 and PMS2 is retained (not shown). Positivity for PD‐L1 is seen on tumor cells (E). Numerous T cells are scattered throughout the tumor (CD3 staining) (F). Scale bar: 50 µm .\nPROTEIN EXPRESSION The index cases showed loss of expression of both MSH2 and MSH6, while MLH1 and PMS2 were retained (Figure 1 and 2). In addition, a total of six other tumors (three leiomyosarcomas, one embryonal rhabdomyosarcoma, one MPNST and one radiation‐associated soft tissue sarcoma) showed loss of expression of one or more MMR proteins, leading to a total of eight cases with potential MMR defects (1%) (Table 1). Loss of MLH1 and PMS2 was seen in three cases (two leiomyosarcomas and one radiation‐associated sarcoma), loss of MSH2 and MSH6 was present in one embryonal rhabdomyosarcoma and one MPNST. Isolated loss of PMS2 was seen in one leiomyosarcoma (Table 2). In the remaining 786 bone and soft tissue tumors, no loss of expression was observed (Table 1).\nSummary of immunohistochemical and molecular analysis of MMRd cases\nPleomorphic\nrhabdomyosarcoma\nHPF, high‐power field; het, heterogenous; +, positive; −, negative; N/A, not applicable; NA, not assessed; MPNST, malignant peripheral nerve sheath tumor.\nGrading according to FNCLCC.\nFive out of eight tumors with loss of MMR protein expression displayed expression of PD‐L1 and a high influx of T cells. In two of these cases expression of PD‐1 was observed. Among the three PD‐L1 negative tumors, the majority showed a low amount of tumor‐infiltrating T cells (Table 2).\nThe index cases showed loss of expression of both MSH2 and MSH6, while MLH1 and PMS2 were retained (Figure 1 and 2). In addition, a total of six other tumors (three leiomyosarcomas, one embryonal rhabdomyosarcoma, one MPNST and one radiation‐associated soft tissue sarcoma) showed loss of expression of one or more MMR proteins, leading to a total of eight cases with potential MMR defects (1%) (Table 1). Loss of MLH1 and PMS2 was seen in three cases (two leiomyosarcomas and one radiation‐associated sarcoma), loss of MSH2 and MSH6 was present in one embryonal rhabdomyosarcoma and one MPNST. Isolated loss of PMS2 was seen in one leiomyosarcoma (Table 2). In the remaining 786 bone and soft tissue tumors, no loss of expression was observed (Table 1).\nSummary of immunohistochemical and molecular analysis of MMRd cases\nPleomorphic\nrhabdomyosarcoma\nHPF, high‐power field; het, heterogenous; +, positive; −, negative; N/A, not applicable; NA, not assessed; MPNST, malignant peripheral nerve sheath tumor.\nGrading according to FNCLCC.\nFive out of eight tumors with loss of MMR protein expression displayed expression of PD‐L1 and a high influx of T cells. In two of these cases expression of PD‐1 was observed. Among the three PD‐L1 negative tumors, the majority showed a low amount of tumor‐infiltrating T cells (Table 2).\nCLINICAL AND GENOTYPIC ANALYSIS In addition to the index cases, molecular information was available for one other leiomyosarcoma, which showed a MLH1 mutation (p. Val7Argfs*18) in the tumor sample. Clinical data of this patient revealed a breast tumor and a rectal carcinoma. The patient was referred to the clinical genetics, though additional information could not be retrieved. Among the other MMR deficient sarcoma patients, one was known with neurofibromatosis type 1 and one developed adenocarcinoma of the prostate, while the remaining patients had no other tumors. The MMR deficient radiation‐associated sarcoma occurred 10 years after radiation therapy of a liposarcoma. None of the examined MLH1 negative tumors (n = 3) showed MLH1 promoter hypermethylation. MSI analysis revealed one microsatellite stable tumor, while analysis failed on the remaining tumors due to insufficient quality of the DNA (Table 2).\nIn addition to the index cases, molecular information was available for one other leiomyosarcoma, which showed a MLH1 mutation (p. Val7Argfs*18) in the tumor sample. Clinical data of this patient revealed a breast tumor and a rectal carcinoma. The patient was referred to the clinical genetics, though additional information could not be retrieved. Among the other MMR deficient sarcoma patients, one was known with neurofibromatosis type 1 and one developed adenocarcinoma of the prostate, while the remaining patients had no other tumors. The MMR deficient radiation‐associated sarcoma occurred 10 years after radiation therapy of a liposarcoma. None of the examined MLH1 negative tumors (n = 3) showed MLH1 promoter hypermethylation. MSI analysis revealed one microsatellite stable tumor, while analysis failed on the remaining tumors due to insufficient quality of the DNA (Table 2).\nMISMATCH REPAIR DEFICIENT BONE AND SOFT TISSUE SARCOMAS IN LITERATURE A total of 30 MMR deficient bone and soft tissue sarcomas were encountered in literature (details are summarized in Table 3). Histologically classifiable tumors included liposarcoma (n = 5), osteosarcoma (n = 5), rhabdomyosarcoma (n = 4), alveolar soft part sarcoma (n = 3), clear cell sarcoma (n = 2), leiomyosarcoma (n = 1), PEComa (n = 1). Undifferentiated pleomorphic/unclassifiable sarcoma accounted for eight cases and in one cases the subtype was not specified.\n4\n, \n26\n, \n27\n, \n28\n, \n29\n, \n30\n, \n31\n, \n32\n, \n33\n, \n34\n, \n35\n, \n36\n, \n37\n, \n38\n, \n39\n, \n40\n, \n41\n, \n42\n While most studies referred to case reports or case series, Doyle and colleagues investigated the frequency of MMR deficiency in a cohort of 279 cases and identified 6 MMR deficient cases (2%).\n26\n In all these studies, seventeen patients had a germline mutation in one of the mismatch repair genes (Lynch syndrome n = 13; Muir‐Torre syndrome n = 2; Constitutional Mismatch Repair Deficiency n = 2). A predominance of MSH2 mutations, either germline of somatic, was found in MMR deficient sarcomas.\nOverview of mismatch repair deficient bone and soft tissue sarcoma published in the literature\nLiposaroma\nOsteosarcoma\nOsteosarcoma\nLynch syndrome\nLynch syndrome\nMSH2 and MSH6\nMSH2 and MSH6\n\nMSH2 c.2152C>T\n\nMSH2 c.1661+1G>A\nASPS, alveolar soft part sarcoma; CMMRD, constitutional mismatch repair deficiency; LMS, leiomyosarcoma; NA, not available; NOS, not otherwise specified; UPS, undifferentiated pleomorphic sarcoma.\nA total of 30 MMR deficient bone and soft tissue sarcomas were encountered in literature (details are summarized in Table 3). Histologically classifiable tumors included liposarcoma (n = 5), osteosarcoma (n = 5), rhabdomyosarcoma (n = 4), alveolar soft part sarcoma (n = 3), clear cell sarcoma (n = 2), leiomyosarcoma (n = 1), PEComa (n = 1). Undifferentiated pleomorphic/unclassifiable sarcoma accounted for eight cases and in one cases the subtype was not specified.\n4\n, \n26\n, \n27\n, \n28\n, \n29\n, \n30\n, \n31\n, \n32\n, \n33\n, \n34\n, \n35\n, \n36\n, \n37\n, \n38\n, \n39\n, \n40\n, \n41\n, \n42\n While most studies referred to case reports or case series, Doyle and colleagues investigated the frequency of MMR deficiency in a cohort of 279 cases and identified 6 MMR deficient cases (2%).\n26\n In all these studies, seventeen patients had a germline mutation in one of the mismatch repair genes (Lynch syndrome n = 13; Muir‐Torre syndrome n = 2; Constitutional Mismatch Repair Deficiency n = 2). A predominance of MSH2 mutations, either germline of somatic, was found in MMR deficient sarcomas.\nOverview of mismatch repair deficient bone and soft tissue sarcoma published in the literature\nLiposaroma\nOsteosarcoma\nOsteosarcoma\nLynch syndrome\nLynch syndrome\nMSH2 and MSH6\nMSH2 and MSH6\n\nMSH2 c.2152C>T\n\nMSH2 c.1661+1G>A\nASPS, alveolar soft part sarcoma; CMMRD, constitutional mismatch repair deficiency; LMS, leiomyosarcoma; NA, not available; NOS, not otherwise specified; UPS, undifferentiated pleomorphic sarcoma.", "The first index patient was a 55‐year‐old male presenting with a pleomorphic rhabdomyosarcoma in the lower extremity (Figure 1). Subsequently, he developed a pancreatic adenocarcinoma at the age of 60 and two years later an urothelial carcinoma of the ureter. He was referred to the clinical geneticist, where a germline mutation in MSH2 (p. Cys697Tyr) was found. The second index patient involved a male of 42 years presenting with a leiomyosarcoma of the psoas (Figure 2). Seven years later, the patient developed acute myeloid leukaemia, a sebaceous gland carcinoma and adenocarcinoma of the coecum. Although no mutation analysis was performed, the leiomyosarcoma showed a MSI‐high phenotype (instability of three out of five microsatellite markers) and the coecum tumor a MSI‐low phenotype (instability of one maker). Combined with the loss of MSH2/MSH6 expression, it is highly suspicious that this patient developed diverse tumors in the context of Muir‐Torre syndrome, a variant of Lynch syndrome.\nPleomorphic rhabdomyosarcoma of first index patient with a MSH2 germline mutation. H&E staining showing numerous lymphocytes intermingled between tumor cells. Cells are pleomorphic with enlarged nuclei, prominent nucleoli and surrounded by abundant eosinophilic cytoplasm, resembling rhabdomyoblasts (insert) (A). Immunohistochemistry for MyoD1 confirms skeletal muscle differentiation (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen in tumor cells, while expression in immune and stromal cells is retained. Expression of PD‐L1 is seen on tumors cells (E). Note the abundance of T cells in the CD3 immunohistochemical detection (F). Scale bar: 50 µm.\nLeiomyosarcoma of second index patient. H&E staining showing a prominent lymphocytic infiltrate between tumor cells. The tumor is arranged in long bundles of spindle cells. Nuclei are enlarged, ovoid to spindled and surrounded by bipolar eosinophilic cytoplasm (insert) (A). Smooth muscle differentiation is confirmed by positivity for desmin (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen, while expression of MLH1 and PMS2 is retained (not shown). Positivity for PD‐L1 is seen on tumor cells (E). Numerous T cells are scattered throughout the tumor (CD3 staining) (F). Scale bar: 50 µm .", "The index cases showed loss of expression of both MSH2 and MSH6, while MLH1 and PMS2 were retained (Figure 1 and 2). In addition, a total of six other tumors (three leiomyosarcomas, one embryonal rhabdomyosarcoma, one MPNST and one radiation‐associated soft tissue sarcoma) showed loss of expression of one or more MMR proteins, leading to a total of eight cases with potential MMR defects (1%) (Table 1). Loss of MLH1 and PMS2 was seen in three cases (two leiomyosarcomas and one radiation‐associated sarcoma), loss of MSH2 and MSH6 was present in one embryonal rhabdomyosarcoma and one MPNST. Isolated loss of PMS2 was seen in one leiomyosarcoma (Table 2). In the remaining 786 bone and soft tissue tumors, no loss of expression was observed (Table 1).\nSummary of immunohistochemical and molecular analysis of MMRd cases\nPleomorphic\nrhabdomyosarcoma\nHPF, high‐power field; het, heterogenous; +, positive; −, negative; N/A, not applicable; NA, not assessed; MPNST, malignant peripheral nerve sheath tumor.\nGrading according to FNCLCC.\nFive out of eight tumors with loss of MMR protein expression displayed expression of PD‐L1 and a high influx of T cells. In two of these cases expression of PD‐1 was observed. Among the three PD‐L1 negative tumors, the majority showed a low amount of tumor‐infiltrating T cells (Table 2).", "In addition to the index cases, molecular information was available for one other leiomyosarcoma, which showed a MLH1 mutation (p. Val7Argfs*18) in the tumor sample. Clinical data of this patient revealed a breast tumor and a rectal carcinoma. The patient was referred to the clinical genetics, though additional information could not be retrieved. Among the other MMR deficient sarcoma patients, one was known with neurofibromatosis type 1 and one developed adenocarcinoma of the prostate, while the remaining patients had no other tumors. The MMR deficient radiation‐associated sarcoma occurred 10 years after radiation therapy of a liposarcoma. None of the examined MLH1 negative tumors (n = 3) showed MLH1 promoter hypermethylation. MSI analysis revealed one microsatellite stable tumor, while analysis failed on the remaining tumors due to insufficient quality of the DNA (Table 2).", "A total of 30 MMR deficient bone and soft tissue sarcomas were encountered in literature (details are summarized in Table 3). Histologically classifiable tumors included liposarcoma (n = 5), osteosarcoma (n = 5), rhabdomyosarcoma (n = 4), alveolar soft part sarcoma (n = 3), clear cell sarcoma (n = 2), leiomyosarcoma (n = 1), PEComa (n = 1). Undifferentiated pleomorphic/unclassifiable sarcoma accounted for eight cases and in one cases the subtype was not specified.\n4\n, \n26\n, \n27\n, \n28\n, \n29\n, \n30\n, \n31\n, \n32\n, \n33\n, \n34\n, \n35\n, \n36\n, \n37\n, \n38\n, \n39\n, \n40\n, \n41\n, \n42\n While most studies referred to case reports or case series, Doyle and colleagues investigated the frequency of MMR deficiency in a cohort of 279 cases and identified 6 MMR deficient cases (2%).\n26\n In all these studies, seventeen patients had a germline mutation in one of the mismatch repair genes (Lynch syndrome n = 13; Muir‐Torre syndrome n = 2; Constitutional Mismatch Repair Deficiency n = 2). A predominance of MSH2 mutations, either germline of somatic, was found in MMR deficient sarcomas.\nOverview of mismatch repair deficient bone and soft tissue sarcoma published in the literature\nLiposaroma\nOsteosarcoma\nOsteosarcoma\nLynch syndrome\nLynch syndrome\nMSH2 and MSH6\nMSH2 and MSH6\n\nMSH2 c.2152C>T\n\nMSH2 c.1661+1G>A\nASPS, alveolar soft part sarcoma; CMMRD, constitutional mismatch repair deficiency; LMS, leiomyosarcoma; NA, not available; NOS, not otherwise specified; UPS, undifferentiated pleomorphic sarcoma.", "This study provides a comprehensive immunohistochemical evaluation of MMR protein expression in a large series of bone and soft tissue tumors. We show that MMR deficiency is a rare phenomenon in bone and soft tissue tumors but can be relatively more frequent in soft tissue sarcomas with myogenic differentiation and in patients with a genetic predisposition / co‐occurrence of other malignancies.\nMMR deficiency was detected in 1% of the total bone and soft tissue tumor cohort and was enriched to up to 5% in tumors with myogenic differentiation. The only non‐myogenic MMR deficient tumors were a radiation‐associated bone sarcoma and a MPNST. Notably, MMR deficiency was completely absent in a relatively large series of osteosarcomas and chondrosarcomas. Among the MMR deficient tumors, three patients were suspected to have or had an established diagnosis of Lynch syndrome / Muir‐Torre syndrome. Our findings are in keeping with the study of Doyle et al., who also reported an overall frequency of 2% but a marked enrichment (10%) among undifferentiated/unclassifiable sarcomas using parallel sequencing followed by immunohistochemical evaluation of MMR protein expression. The fact that the frequency of MMR deficiency is comparable between their study, starting with an NGS approach, and the present study, starting with immunohistochemistry, suggests that immunohistochemistry could serve as a cost‐effective surrogate marker for MMR deficiency.\nThe current study includes a relatively large cohort of bone sarcomas, including osteogenic, chondrogenic tumors and Ewing sarcoma, thereby representing the three most common bone sarcomas. Among the soft tissue sarcomas, also the most common subtypes are included (liposarcoma, leiomyosarcoma and undifferentiated soft tissue sarcoma). However, given the high amount of sarcoma subtypes it is not possible to evaluate a completely representative cohort. In addition, some tumor types are overrepresented, including those with myogenic differentiation (leiomyosarcoma, rhabdomyosarcoma and inflammatory myofibroblastic tumor), which was based on the myogenic differentiation in the tumors of our two index patients. In addition, we included a series of alveolar soft part sarcomas which was based on data from literature. In contrast to our findings and those from Doyle et al., two other groups reported a higher frequency of MMR deficiency varying between 23% and 85% in soft tissue sarcoma and osteosarcoma, respectively.\n43\n, \n44\n In our series, none of the 65 osteosarcomas investigated demonstrated loss of MMR protein expression. Since MMR deficient sarcomas often show a significantly elevated TMB relative to MMR proficient sarcomas,\n45\n and the TMB in osteosarcoma is reportedly low,\n46\n with low to moderate response to ICI,\n46\n, \n47\n, \n48\n it seems very unlikely that the majority of osteosarcomas would be MMR deficient. Given the lack of reporting on a positive internal control and the lack of molecular validation in these publications, these cases were not taken along in Table 3.\nThis is the first systematic analysis of MMR deficiency in cartilaginous tumors, which showed complete absence of MMR deficiency in 181 patients. Based on this specific biomarker, these patients would not be eligible to ICI therapy. We previously also showed the absence of PD‐L1 expression in conventional, clear cell and mesenchymal chondrosarcoma. However, PD‐L1 expression and the presence of an immune infiltrate were found in 52% of the dedifferentiated chondrosarcomas, which were also included in the current study, and PD‐L1 expression was restricted to the dedifferentiated component.\n23\n Response to immunotherapy in clinical trials was observed in few (dedifferentiated) chondrosarcoma patients.\n47\n, \n49\n This again illustrates that in the current era of immunotherapy, with the lack of definitive biomarkers, evaluation of tumors based on both their immune phenotype and genomic mutation profile is needed to determine which patients would likely be responsive to ICI treatment.\nFor alveolar soft part sarcoma, loss of expression of MSH2 and MLH1 was previously reported in two (18.2%) and three (27.3%) of eleven cases, respectively.\n40\n Hypermethylation of MSH2 and MLH1 promoter region was absent, but three of eight (37.5%) cases were found to be MSI‐low. Moreover, alveolar soft part sarcoma, despite a low mutational load and lack of inflammatory infiltrate, was observed to be able to respond to immune checkpoint inhibitors.\n50\n Two patients with sustained partial response showed a MMR mutational signature after sequencing, however, staining for MMR protein expression was intact.\n51\n This led us to include a relatively large series of this very rare sarcoma subtype in our studies, as tissue microarrays were previously constructed and available from the EORTC‐CREATE study.\n22\n, \n52\n We did not find loss of MMR protein expression in 31 evaluable cases. Thus, we cannot confirm previous results of MMR deficiency in alveolar soft part sarcoma, and other mechanisms underlying sensitivity to immune checkpoint inhibitors in these tumors seem more likely.\nDespite the selection bias in our cohort, both tumors of the index patients demonstrated myogenic differentiation, most of the other MMR deficient sarcomas also displayed myogenic differentiation. Notably, all MMR deficient leiomyosarcoma were low‐grade (grade 1). Since leiomyosarcomas often show a poor response to chemotherapy, it would be worthwhile to examine MMR status in this selected tumor group, ultimately providing these patients novel treatment options. Moreover, we previously showed PD‐L1 expression together with high T cell infiltrate and HLA class I expression in around 30% of high grade leiomyosarcoma, reflecting an active immune microenvironment.\n53\n Thus far, results of clinical trials of PD‐1 blockade therapy in leiomyosarcoma patients are diverse. Single reports with successful treatment or a mixed partial response or stable disease are described, while others report no effect to treatment.\n5\n, \n49\n, \n54\n, \n55\n\n\nOf note, one of the leiomyosarcomas with loss of PMS2 expression showed a microsatellite stable phenotype. Although MSI analysis kit is commonly used in colorectal cancer, it is not widely applicable in other tumors. In addition, concordance between MMR protein expression and MSI is variable between tumor types with percentages varying between 68% in epithelial ovarian tumors to 97% in colorectal carcinomas.\n56\n However, no data is available for sarcoma. It would be highly interesting to see whether this patient is carrying a germline variant in one of the mismatch repair genes, however germline analysis was not covered by the IRB approval.\nMost of the MMR deficient bone and soft tissue sarcomas in the current study showed presence of infiltrating immune cells and five cases also showed expression of PD‐L1 on the tumor cells. This may indicate that these patients could benefit from ICI. Thus far, effectiveness of ICI in sarcoma patients has only been studied in limited trials with variable results. In the SARC028 study, Pembrolizumab showed promising results in patients with undifferentiated pleomorphic sarcoma and dedifferentiated liposarcoma, while in the PEMBROSARC and Alliance A091401 trial no response was observed. Also, PD‐L1 expression alone was not a predictive biomarker.\n47\n, \n48\n, \n57\n Clearly, there is an urgent need for predictive biomarkers, and it remains to be answered if the MMR status contributes to the selection of patients who will respond to ICI.\nTo conclude, MMR deficiency is rare in bone and soft tissue tumors. Screening focusing on tumors with myogenic differentiation, undifferentiated/unclassifiable sarcomas and in patients with a genetic predisposition / co‐occurrence of other malignancies can be helpful identifying patients potentially eligible for ICI, while for other bone and soft tissue tumors reflex testing remains debatable.", "The study was designed, written and reviewed by S.W. Lam, M. Kostine and J.V.M.G. Bovée. All authors contributed to the data collection, data analysis and interpretation. The manuscript was approved by all authors.", "None declared.", "Leiden University Medical Center", "\nTable S1. Details of antibody.\nClick here for additional data file." ]
[ null, "materials-and-methods", null, null, null, null, null, "results", null, null, null, null, "discussion", null, "COI-statement", null, "supplementary-material" ]
[ "bone and soft tissue tumors", "immune checkpoint inhibitors", "immunohistochemistry", "mismatch repair deficiency" ]
Introduction: Immune checkpoint inhibitors (ICI’s) have proven their utility in the past several years across many cancer subtypes. Particularly, antibodies blocking the programmed death (PD‐1) pathway have been approved as second‐line or first‐line therapies for melanomas and an ever‐growing list of mostly epithelial malignancies. 1 Activation of the PD‐1 pathway in T cells represses Th1 and cytotoxic responses in the presence of its ligands (PD‐L1 or PD‐L2). The former can be abundantly expressed in tumor microenvironments by both cancer and immune cells. The blocking of this pathway with therapeutic antibodies reinvigorates anti‐tumor immune responses and elimination of cancer cells. 1 , 2 Since the success of checkpoint blockade immunotherapy, the identification of predictive biomarkers for ICI response has been the subject of investigation. Although no single biomarker can predict which patients will likely benefit from immunotherapy, PD‐L1, with its limitations, has been identified as a predictive biomarker. However, in contrast to other solid cancers the predictive value of PD‐L1 for ICI response is limited in sarcomas. 3 , 4 , 5 Another strong association of ICI response is the tumor mutation burden (TMB), where a high TMB leads to production of more neo‐antigens that might be recognized by the immune system, thereby eliciting an anti‐tumor response. This partially explains why therapy response is more often seen in tumors with a high TMB, e.g., lung carcinomas and melanomas, than in tumors with a low mutational burden, such as sarcomas, which are mostly refractory to ICI. 6 This theory is further supported by the finding that mismatch repair (MMR) deficiency is associated with a high sensitivity to ICI, as the defect in the MMR machinery leads to a high mutational load. 7 , 8 The tumor agnostic approach of some clinical trials, the so‐called basket trials, has led to an increased demand for MMR status testing in advanced cancer patients, irrespective of the tumor type, and thus also including advanced sarcoma patients. 9 However, in contrast to other cancer types, such as colon‐ and endometrial carcinoma, MMR deficiency does not seem to play a major role in sarcomagenesis and only anecdotal cases of sarcomas have been reported in Lynch syndrome patients. 10 , 11 , 12 Yet, we were prompted by two (potential) Lynch syndrome patients with leiomyosarcoma and pleomorphic rhabdomyosarcoma, respectively. Since reliable data on MMR deficiency in soft tissue sarcomas is sparse, and almost absent for bone sarcomas, we aimed to study the frequency of MMR deficiency in sarcomas by immunohistochemical testing of MMR proteins in a large cohort of different bone and soft tissue tumors and by systematically reviewing the literature in order to determine if there is a rationale for routine MMR testing in advanced sarcoma patients. Material and methods: SAMPLE COLLECTION Two index cases displaying MMR deficiency were identified. In addition, tissue microarrays (TMAs) of two institutions (Leiden University Medical Center (LUMC) and UZ Leuven) were used to assess MMR deficiency. For most of the LUMC TMAs, clinicopathological data were previously published, and the series included conventional chondrosarcoma (n = 137), dedifferentiated chondrosarcoma (n = 28), mesenchymal chondrosarcoma (n = 21), clear cell chondrosarcoma (n = 20), leiomyosarcoma (n = 87), angiosarcoma (n = 60), different subtypes of liposarcoma (n = 42), undifferentiated pleomorphic sarcoma (n = 22), vestibular schwannoma (n = 22), Ewing sarcoma (n = 19), malignant peripheral nerve sheath tumor (MPNST) (n = 19), myxofibrosarcoma (n = 17), enchondroma (n = 11), neurofibroma (n = 10), osteochondroma (n = 9), undifferentiated spindle cell sarcoma (n = 7), radiation‐associated sarcoma (n = 4), rhabdomyosarcoma (n = 2) and osteosarcoma (n = 2). 13 , 14 , 15 , 16 , 17 , 18 , 19 , 20 In addition, TMA’s of synovial sarcoma (n = 69), osteosarcoma (n = 65), MPNST (n = 20), rhabdomyosarcoma (n = 13), dedifferentiated liposarcoma (n = 20), radiation‐associated tumors (n = 11) were constructed as previously described. 21 Samples were handled according to the ethical guidelines described in “code for Proper Secondary Use of Human Tissue in the Netherlands” in a coded (pseudonymized) manner, as approved by the Leiden University Medical Center ethical board (B17.020, B17.036, B17.030, and B20.064). Furthermore, previously constructed TMAs from the UZ Leuven institute included alveolar soft part sarcoma (n = 59), different subtypes of liposarcoma (n = 42), inflammatory myofibroblastic tumor (n = 33) and alveolar rhabdomyosarcoma (n = 21). 22 The analysis of anonymized data and use of archival FFPE tumor samples were approved by the Medical Ethics Committee, UZ Leuven (S51495, S59181). All tumors were classified according to the WHO classification of bone and soft tissue tumors, fifth edition. Two index cases displaying MMR deficiency were identified. In addition, tissue microarrays (TMAs) of two institutions (Leiden University Medical Center (LUMC) and UZ Leuven) were used to assess MMR deficiency. For most of the LUMC TMAs, clinicopathological data were previously published, and the series included conventional chondrosarcoma (n = 137), dedifferentiated chondrosarcoma (n = 28), mesenchymal chondrosarcoma (n = 21), clear cell chondrosarcoma (n = 20), leiomyosarcoma (n = 87), angiosarcoma (n = 60), different subtypes of liposarcoma (n = 42), undifferentiated pleomorphic sarcoma (n = 22), vestibular schwannoma (n = 22), Ewing sarcoma (n = 19), malignant peripheral nerve sheath tumor (MPNST) (n = 19), myxofibrosarcoma (n = 17), enchondroma (n = 11), neurofibroma (n = 10), osteochondroma (n = 9), undifferentiated spindle cell sarcoma (n = 7), radiation‐associated sarcoma (n = 4), rhabdomyosarcoma (n = 2) and osteosarcoma (n = 2). 13 , 14 , 15 , 16 , 17 , 18 , 19 , 20 In addition, TMA’s of synovial sarcoma (n = 69), osteosarcoma (n = 65), MPNST (n = 20), rhabdomyosarcoma (n = 13), dedifferentiated liposarcoma (n = 20), radiation‐associated tumors (n = 11) were constructed as previously described. 21 Samples were handled according to the ethical guidelines described in “code for Proper Secondary Use of Human Tissue in the Netherlands” in a coded (pseudonymized) manner, as approved by the Leiden University Medical Center ethical board (B17.020, B17.036, B17.030, and B20.064). Furthermore, previously constructed TMAs from the UZ Leuven institute included alveolar soft part sarcoma (n = 59), different subtypes of liposarcoma (n = 42), inflammatory myofibroblastic tumor (n = 33) and alveolar rhabdomyosarcoma (n = 21). 22 The analysis of anonymized data and use of archival FFPE tumor samples were approved by the Medical Ethics Committee, UZ Leuven (S51495, S59181). All tumors were classified according to the WHO classification of bone and soft tissue tumors, fifth edition. IMMUNOHISTOCHEMISTRY Immunohistochemistry was performed with commercially available antibodies using a standard lab protocol, as described previously. 21 In short, microwave antigen retrieval in either TRIS‐EDTA (pH 9.0) or Citrate (pH 6.0) was performed using deparaffinized sections, followed by overnight incubation with the primary antibody. Details of antibodies are summarized in Supplementary Table 1. The following day, detection using power vision poly‐HRP (ImmunoLogic, the Netherlands) and visualization with a DAB+ substrate chromogen system (Dako, Glostrup, Denmark) followed. Finally, slides were counterstained with haematoxylin, dehydrated and mounted. Mismatch repair deficiency in bone and soft tissue tumors MMRd, mismatch repair deficient; NOS, not otherwise specified. Nuclear expression of the MMR proteins was scored as positive, heterogeneous or negative. If heterogenous or negative, the expression of the internal control was evaluated and staining was repeated using a whole slide section of the same tumor. Subsequently, immunohistochemistry for PD‐1, PD‐L1 and CD3 was performed on MMR deficient tumors. The scoring system was adapted from previous studies: PD‐L1: negative: <1%, +: 1–49% and ++: ≥50%. 23 The degree of T cell infiltration was graded as low if ≤5 T cells/HPF or high if >5 T cells/HPF. PD‐1 expression was assessed on T cells and was considered positive if membranous staining was present. Immunohistochemistry was performed with commercially available antibodies using a standard lab protocol, as described previously. 21 In short, microwave antigen retrieval in either TRIS‐EDTA (pH 9.0) or Citrate (pH 6.0) was performed using deparaffinized sections, followed by overnight incubation with the primary antibody. Details of antibodies are summarized in Supplementary Table 1. The following day, detection using power vision poly‐HRP (ImmunoLogic, the Netherlands) and visualization with a DAB+ substrate chromogen system (Dako, Glostrup, Denmark) followed. Finally, slides were counterstained with haematoxylin, dehydrated and mounted. Mismatch repair deficiency in bone and soft tissue tumors MMRd, mismatch repair deficient; NOS, not otherwise specified. Nuclear expression of the MMR proteins was scored as positive, heterogeneous or negative. If heterogenous or negative, the expression of the internal control was evaluated and staining was repeated using a whole slide section of the same tumor. Subsequently, immunohistochemistry for PD‐1, PD‐L1 and CD3 was performed on MMR deficient tumors. The scoring system was adapted from previous studies: PD‐L1: negative: <1%, +: 1–49% and ++: ≥50%. 23 The degree of T cell infiltration was graded as low if ≤5 T cells/HPF or high if >5 T cells/HPF. PD‐1 expression was assessed on T cells and was considered positive if membranous staining was present. MLH1 PROMOTER METHYLATION ASSAY Since the loss of MLH1 and PMS2 expression is commonly caused by somatic promoter hypermethylation of MLH1, MLH1 promoter status was analysed in MLH1/PMS2 negative cases using methylation specific PCR. Briefly, using the EZ DNA methylation Gold kit (Zymo Research, Orange, US) bisulfite conversion of tumor DNA was performed. Bisulfite‐converted DNA was amplified using specific methylated and unmethylated primers in a PCR reaction, as described previously. 24 , 25 Since the loss of MLH1 and PMS2 expression is commonly caused by somatic promoter hypermethylation of MLH1, MLH1 promoter status was analysed in MLH1/PMS2 negative cases using methylation specific PCR. Briefly, using the EZ DNA methylation Gold kit (Zymo Research, Orange, US) bisulfite conversion of tumor DNA was performed. Bisulfite‐converted DNA was amplified using specific methylated and unmethylated primers in a PCR reaction, as described previously. 24 , 25 MICROSATELLITE INSTABILITY (MSI) ANALYSIS MSI analysis was performed using MSI analysis system, version 1.2 (Promega), according to the manufacturer’s instructions. In short, PCR using five MSI Markers (BAT26‐, BAT‐25, NR‐24, NR21, MONO‐27) was performed and PCR products were analyzed using the SeqStudio genetic analyzer (ThermoFisher, Waltham, Massachusetts, U.S.). Samples were classified as microsatellite stable (MSS) if none of the markers were altered, MSI‐Low if 1 out of 5 markers was unstable and MSI‐High if ≥2 out of 5 markers were unstable. MSI analysis was performed using MSI analysis system, version 1.2 (Promega), according to the manufacturer’s instructions. In short, PCR using five MSI Markers (BAT26‐, BAT‐25, NR‐24, NR21, MONO‐27) was performed and PCR products were analyzed using the SeqStudio genetic analyzer (ThermoFisher, Waltham, Massachusetts, U.S.). Samples were classified as microsatellite stable (MSS) if none of the markers were altered, MSI‐Low if 1 out of 5 markers was unstable and MSI‐High if ≥2 out of 5 markers were unstable. LITERATURE SEARCH A Pubmed search matching the terms of HNPCC, Lynch syndrome, mismatch repair deficiency, microsatellite instability and sarcoma(s), soft tissue tumor(s), bone tumor(s) was conducted. Studies were included if the full text was available and if reference to an internal control was made in case no expression of MMR proteins detected in tumor cells. A Pubmed search matching the terms of HNPCC, Lynch syndrome, mismatch repair deficiency, microsatellite instability and sarcoma(s), soft tissue tumor(s), bone tumor(s) was conducted. Studies were included if the full text was available and if reference to an internal control was made in case no expression of MMR proteins detected in tumor cells. SAMPLE COLLECTION: Two index cases displaying MMR deficiency were identified. In addition, tissue microarrays (TMAs) of two institutions (Leiden University Medical Center (LUMC) and UZ Leuven) were used to assess MMR deficiency. For most of the LUMC TMAs, clinicopathological data were previously published, and the series included conventional chondrosarcoma (n = 137), dedifferentiated chondrosarcoma (n = 28), mesenchymal chondrosarcoma (n = 21), clear cell chondrosarcoma (n = 20), leiomyosarcoma (n = 87), angiosarcoma (n = 60), different subtypes of liposarcoma (n = 42), undifferentiated pleomorphic sarcoma (n = 22), vestibular schwannoma (n = 22), Ewing sarcoma (n = 19), malignant peripheral nerve sheath tumor (MPNST) (n = 19), myxofibrosarcoma (n = 17), enchondroma (n = 11), neurofibroma (n = 10), osteochondroma (n = 9), undifferentiated spindle cell sarcoma (n = 7), radiation‐associated sarcoma (n = 4), rhabdomyosarcoma (n = 2) and osteosarcoma (n = 2). 13 , 14 , 15 , 16 , 17 , 18 , 19 , 20 In addition, TMA’s of synovial sarcoma (n = 69), osteosarcoma (n = 65), MPNST (n = 20), rhabdomyosarcoma (n = 13), dedifferentiated liposarcoma (n = 20), radiation‐associated tumors (n = 11) were constructed as previously described. 21 Samples were handled according to the ethical guidelines described in “code for Proper Secondary Use of Human Tissue in the Netherlands” in a coded (pseudonymized) manner, as approved by the Leiden University Medical Center ethical board (B17.020, B17.036, B17.030, and B20.064). Furthermore, previously constructed TMAs from the UZ Leuven institute included alveolar soft part sarcoma (n = 59), different subtypes of liposarcoma (n = 42), inflammatory myofibroblastic tumor (n = 33) and alveolar rhabdomyosarcoma (n = 21). 22 The analysis of anonymized data and use of archival FFPE tumor samples were approved by the Medical Ethics Committee, UZ Leuven (S51495, S59181). All tumors were classified according to the WHO classification of bone and soft tissue tumors, fifth edition. IMMUNOHISTOCHEMISTRY: Immunohistochemistry was performed with commercially available antibodies using a standard lab protocol, as described previously. 21 In short, microwave antigen retrieval in either TRIS‐EDTA (pH 9.0) or Citrate (pH 6.0) was performed using deparaffinized sections, followed by overnight incubation with the primary antibody. Details of antibodies are summarized in Supplementary Table 1. The following day, detection using power vision poly‐HRP (ImmunoLogic, the Netherlands) and visualization with a DAB+ substrate chromogen system (Dako, Glostrup, Denmark) followed. Finally, slides were counterstained with haematoxylin, dehydrated and mounted. Mismatch repair deficiency in bone and soft tissue tumors MMRd, mismatch repair deficient; NOS, not otherwise specified. Nuclear expression of the MMR proteins was scored as positive, heterogeneous or negative. If heterogenous or negative, the expression of the internal control was evaluated and staining was repeated using a whole slide section of the same tumor. Subsequently, immunohistochemistry for PD‐1, PD‐L1 and CD3 was performed on MMR deficient tumors. The scoring system was adapted from previous studies: PD‐L1: negative: <1%, +: 1–49% and ++: ≥50%. 23 The degree of T cell infiltration was graded as low if ≤5 T cells/HPF or high if >5 T cells/HPF. PD‐1 expression was assessed on T cells and was considered positive if membranous staining was present. MLH1 PROMOTER METHYLATION ASSAY: Since the loss of MLH1 and PMS2 expression is commonly caused by somatic promoter hypermethylation of MLH1, MLH1 promoter status was analysed in MLH1/PMS2 negative cases using methylation specific PCR. Briefly, using the EZ DNA methylation Gold kit (Zymo Research, Orange, US) bisulfite conversion of tumor DNA was performed. Bisulfite‐converted DNA was amplified using specific methylated and unmethylated primers in a PCR reaction, as described previously. 24 , 25 MICROSATELLITE INSTABILITY (MSI) ANALYSIS: MSI analysis was performed using MSI analysis system, version 1.2 (Promega), according to the manufacturer’s instructions. In short, PCR using five MSI Markers (BAT26‐, BAT‐25, NR‐24, NR21, MONO‐27) was performed and PCR products were analyzed using the SeqStudio genetic analyzer (ThermoFisher, Waltham, Massachusetts, U.S.). Samples were classified as microsatellite stable (MSS) if none of the markers were altered, MSI‐Low if 1 out of 5 markers was unstable and MSI‐High if ≥2 out of 5 markers were unstable. LITERATURE SEARCH: A Pubmed search matching the terms of HNPCC, Lynch syndrome, mismatch repair deficiency, microsatellite instability and sarcoma(s), soft tissue tumor(s), bone tumor(s) was conducted. Studies were included if the full text was available and if reference to an internal control was made in case no expression of MMR proteins detected in tumor cells. Results: INDEX CASES The first index patient was a 55‐year‐old male presenting with a pleomorphic rhabdomyosarcoma in the lower extremity (Figure 1). Subsequently, he developed a pancreatic adenocarcinoma at the age of 60 and two years later an urothelial carcinoma of the ureter. He was referred to the clinical geneticist, where a germline mutation in MSH2 (p. Cys697Tyr) was found. The second index patient involved a male of 42 years presenting with a leiomyosarcoma of the psoas (Figure 2). Seven years later, the patient developed acute myeloid leukaemia, a sebaceous gland carcinoma and adenocarcinoma of the coecum. Although no mutation analysis was performed, the leiomyosarcoma showed a MSI‐high phenotype (instability of three out of five microsatellite markers) and the coecum tumor a MSI‐low phenotype (instability of one maker). Combined with the loss of MSH2/MSH6 expression, it is highly suspicious that this patient developed diverse tumors in the context of Muir‐Torre syndrome, a variant of Lynch syndrome. Pleomorphic rhabdomyosarcoma of first index patient with a MSH2 germline mutation. H&E staining showing numerous lymphocytes intermingled between tumor cells. Cells are pleomorphic with enlarged nuclei, prominent nucleoli and surrounded by abundant eosinophilic cytoplasm, resembling rhabdomyoblasts (insert) (A). Immunohistochemistry for MyoD1 confirms skeletal muscle differentiation (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen in tumor cells, while expression in immune and stromal cells is retained. Expression of PD‐L1 is seen on tumors cells (E). Note the abundance of T cells in the CD3 immunohistochemical detection (F). Scale bar: 50 µm. Leiomyosarcoma of second index patient. H&E staining showing a prominent lymphocytic infiltrate between tumor cells. The tumor is arranged in long bundles of spindle cells. Nuclei are enlarged, ovoid to spindled and surrounded by bipolar eosinophilic cytoplasm (insert) (A). Smooth muscle differentiation is confirmed by positivity for desmin (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen, while expression of MLH1 and PMS2 is retained (not shown). Positivity for PD‐L1 is seen on tumor cells (E). Numerous T cells are scattered throughout the tumor (CD3 staining) (F). Scale bar: 50 µm . The first index patient was a 55‐year‐old male presenting with a pleomorphic rhabdomyosarcoma in the lower extremity (Figure 1). Subsequently, he developed a pancreatic adenocarcinoma at the age of 60 and two years later an urothelial carcinoma of the ureter. He was referred to the clinical geneticist, where a germline mutation in MSH2 (p. Cys697Tyr) was found. The second index patient involved a male of 42 years presenting with a leiomyosarcoma of the psoas (Figure 2). Seven years later, the patient developed acute myeloid leukaemia, a sebaceous gland carcinoma and adenocarcinoma of the coecum. Although no mutation analysis was performed, the leiomyosarcoma showed a MSI‐high phenotype (instability of three out of five microsatellite markers) and the coecum tumor a MSI‐low phenotype (instability of one maker). Combined with the loss of MSH2/MSH6 expression, it is highly suspicious that this patient developed diverse tumors in the context of Muir‐Torre syndrome, a variant of Lynch syndrome. Pleomorphic rhabdomyosarcoma of first index patient with a MSH2 germline mutation. H&E staining showing numerous lymphocytes intermingled between tumor cells. Cells are pleomorphic with enlarged nuclei, prominent nucleoli and surrounded by abundant eosinophilic cytoplasm, resembling rhabdomyoblasts (insert) (A). Immunohistochemistry for MyoD1 confirms skeletal muscle differentiation (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen in tumor cells, while expression in immune and stromal cells is retained. Expression of PD‐L1 is seen on tumors cells (E). Note the abundance of T cells in the CD3 immunohistochemical detection (F). Scale bar: 50 µm. Leiomyosarcoma of second index patient. H&E staining showing a prominent lymphocytic infiltrate between tumor cells. The tumor is arranged in long bundles of spindle cells. Nuclei are enlarged, ovoid to spindled and surrounded by bipolar eosinophilic cytoplasm (insert) (A). Smooth muscle differentiation is confirmed by positivity for desmin (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen, while expression of MLH1 and PMS2 is retained (not shown). Positivity for PD‐L1 is seen on tumor cells (E). Numerous T cells are scattered throughout the tumor (CD3 staining) (F). Scale bar: 50 µm . PROTEIN EXPRESSION The index cases showed loss of expression of both MSH2 and MSH6, while MLH1 and PMS2 were retained (Figure 1 and 2). In addition, a total of six other tumors (three leiomyosarcomas, one embryonal rhabdomyosarcoma, one MPNST and one radiation‐associated soft tissue sarcoma) showed loss of expression of one or more MMR proteins, leading to a total of eight cases with potential MMR defects (1%) (Table 1). Loss of MLH1 and PMS2 was seen in three cases (two leiomyosarcomas and one radiation‐associated sarcoma), loss of MSH2 and MSH6 was present in one embryonal rhabdomyosarcoma and one MPNST. Isolated loss of PMS2 was seen in one leiomyosarcoma (Table 2). In the remaining 786 bone and soft tissue tumors, no loss of expression was observed (Table 1). Summary of immunohistochemical and molecular analysis of MMRd cases Pleomorphic rhabdomyosarcoma HPF, high‐power field; het, heterogenous; +, positive; −, negative; N/A, not applicable; NA, not assessed; MPNST, malignant peripheral nerve sheath tumor. Grading according to FNCLCC. Five out of eight tumors with loss of MMR protein expression displayed expression of PD‐L1 and a high influx of T cells. In two of these cases expression of PD‐1 was observed. Among the three PD‐L1 negative tumors, the majority showed a low amount of tumor‐infiltrating T cells (Table 2). The index cases showed loss of expression of both MSH2 and MSH6, while MLH1 and PMS2 were retained (Figure 1 and 2). In addition, a total of six other tumors (three leiomyosarcomas, one embryonal rhabdomyosarcoma, one MPNST and one radiation‐associated soft tissue sarcoma) showed loss of expression of one or more MMR proteins, leading to a total of eight cases with potential MMR defects (1%) (Table 1). Loss of MLH1 and PMS2 was seen in three cases (two leiomyosarcomas and one radiation‐associated sarcoma), loss of MSH2 and MSH6 was present in one embryonal rhabdomyosarcoma and one MPNST. Isolated loss of PMS2 was seen in one leiomyosarcoma (Table 2). In the remaining 786 bone and soft tissue tumors, no loss of expression was observed (Table 1). Summary of immunohistochemical and molecular analysis of MMRd cases Pleomorphic rhabdomyosarcoma HPF, high‐power field; het, heterogenous; +, positive; −, negative; N/A, not applicable; NA, not assessed; MPNST, malignant peripheral nerve sheath tumor. Grading according to FNCLCC. Five out of eight tumors with loss of MMR protein expression displayed expression of PD‐L1 and a high influx of T cells. In two of these cases expression of PD‐1 was observed. Among the three PD‐L1 negative tumors, the majority showed a low amount of tumor‐infiltrating T cells (Table 2). CLINICAL AND GENOTYPIC ANALYSIS In addition to the index cases, molecular information was available for one other leiomyosarcoma, which showed a MLH1 mutation (p. Val7Argfs*18) in the tumor sample. Clinical data of this patient revealed a breast tumor and a rectal carcinoma. The patient was referred to the clinical genetics, though additional information could not be retrieved. Among the other MMR deficient sarcoma patients, one was known with neurofibromatosis type 1 and one developed adenocarcinoma of the prostate, while the remaining patients had no other tumors. The MMR deficient radiation‐associated sarcoma occurred 10 years after radiation therapy of a liposarcoma. None of the examined MLH1 negative tumors (n = 3) showed MLH1 promoter hypermethylation. MSI analysis revealed one microsatellite stable tumor, while analysis failed on the remaining tumors due to insufficient quality of the DNA (Table 2). In addition to the index cases, molecular information was available for one other leiomyosarcoma, which showed a MLH1 mutation (p. Val7Argfs*18) in the tumor sample. Clinical data of this patient revealed a breast tumor and a rectal carcinoma. The patient was referred to the clinical genetics, though additional information could not be retrieved. Among the other MMR deficient sarcoma patients, one was known with neurofibromatosis type 1 and one developed adenocarcinoma of the prostate, while the remaining patients had no other tumors. The MMR deficient radiation‐associated sarcoma occurred 10 years after radiation therapy of a liposarcoma. None of the examined MLH1 negative tumors (n = 3) showed MLH1 promoter hypermethylation. MSI analysis revealed one microsatellite stable tumor, while analysis failed on the remaining tumors due to insufficient quality of the DNA (Table 2). MISMATCH REPAIR DEFICIENT BONE AND SOFT TISSUE SARCOMAS IN LITERATURE A total of 30 MMR deficient bone and soft tissue sarcomas were encountered in literature (details are summarized in Table 3). Histologically classifiable tumors included liposarcoma (n = 5), osteosarcoma (n = 5), rhabdomyosarcoma (n = 4), alveolar soft part sarcoma (n = 3), clear cell sarcoma (n = 2), leiomyosarcoma (n = 1), PEComa (n = 1). Undifferentiated pleomorphic/unclassifiable sarcoma accounted for eight cases and in one cases the subtype was not specified. 4 , 26 , 27 , 28 , 29 , 30 , 31 , 32 , 33 , 34 , 35 , 36 , 37 , 38 , 39 , 40 , 41 , 42 While most studies referred to case reports or case series, Doyle and colleagues investigated the frequency of MMR deficiency in a cohort of 279 cases and identified 6 MMR deficient cases (2%). 26 In all these studies, seventeen patients had a germline mutation in one of the mismatch repair genes (Lynch syndrome n = 13; Muir‐Torre syndrome n = 2; Constitutional Mismatch Repair Deficiency n = 2). A predominance of MSH2 mutations, either germline of somatic, was found in MMR deficient sarcomas. Overview of mismatch repair deficient bone and soft tissue sarcoma published in the literature Liposaroma Osteosarcoma Osteosarcoma Lynch syndrome Lynch syndrome MSH2 and MSH6 MSH2 and MSH6 MSH2 c.2152C>T MSH2 c.1661+1G>A ASPS, alveolar soft part sarcoma; CMMRD, constitutional mismatch repair deficiency; LMS, leiomyosarcoma; NA, not available; NOS, not otherwise specified; UPS, undifferentiated pleomorphic sarcoma. A total of 30 MMR deficient bone and soft tissue sarcomas were encountered in literature (details are summarized in Table 3). Histologically classifiable tumors included liposarcoma (n = 5), osteosarcoma (n = 5), rhabdomyosarcoma (n = 4), alveolar soft part sarcoma (n = 3), clear cell sarcoma (n = 2), leiomyosarcoma (n = 1), PEComa (n = 1). Undifferentiated pleomorphic/unclassifiable sarcoma accounted for eight cases and in one cases the subtype was not specified. 4 , 26 , 27 , 28 , 29 , 30 , 31 , 32 , 33 , 34 , 35 , 36 , 37 , 38 , 39 , 40 , 41 , 42 While most studies referred to case reports or case series, Doyle and colleagues investigated the frequency of MMR deficiency in a cohort of 279 cases and identified 6 MMR deficient cases (2%). 26 In all these studies, seventeen patients had a germline mutation in one of the mismatch repair genes (Lynch syndrome n = 13; Muir‐Torre syndrome n = 2; Constitutional Mismatch Repair Deficiency n = 2). A predominance of MSH2 mutations, either germline of somatic, was found in MMR deficient sarcomas. Overview of mismatch repair deficient bone and soft tissue sarcoma published in the literature Liposaroma Osteosarcoma Osteosarcoma Lynch syndrome Lynch syndrome MSH2 and MSH6 MSH2 and MSH6 MSH2 c.2152C>T MSH2 c.1661+1G>A ASPS, alveolar soft part sarcoma; CMMRD, constitutional mismatch repair deficiency; LMS, leiomyosarcoma; NA, not available; NOS, not otherwise specified; UPS, undifferentiated pleomorphic sarcoma. INDEX CASES: The first index patient was a 55‐year‐old male presenting with a pleomorphic rhabdomyosarcoma in the lower extremity (Figure 1). Subsequently, he developed a pancreatic adenocarcinoma at the age of 60 and two years later an urothelial carcinoma of the ureter. He was referred to the clinical geneticist, where a germline mutation in MSH2 (p. Cys697Tyr) was found. The second index patient involved a male of 42 years presenting with a leiomyosarcoma of the psoas (Figure 2). Seven years later, the patient developed acute myeloid leukaemia, a sebaceous gland carcinoma and adenocarcinoma of the coecum. Although no mutation analysis was performed, the leiomyosarcoma showed a MSI‐high phenotype (instability of three out of five microsatellite markers) and the coecum tumor a MSI‐low phenotype (instability of one maker). Combined with the loss of MSH2/MSH6 expression, it is highly suspicious that this patient developed diverse tumors in the context of Muir‐Torre syndrome, a variant of Lynch syndrome. Pleomorphic rhabdomyosarcoma of first index patient with a MSH2 germline mutation. H&E staining showing numerous lymphocytes intermingled between tumor cells. Cells are pleomorphic with enlarged nuclei, prominent nucleoli and surrounded by abundant eosinophilic cytoplasm, resembling rhabdomyoblasts (insert) (A). Immunohistochemistry for MyoD1 confirms skeletal muscle differentiation (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen in tumor cells, while expression in immune and stromal cells is retained. Expression of PD‐L1 is seen on tumors cells (E). Note the abundance of T cells in the CD3 immunohistochemical detection (F). Scale bar: 50 µm. Leiomyosarcoma of second index patient. H&E staining showing a prominent lymphocytic infiltrate between tumor cells. The tumor is arranged in long bundles of spindle cells. Nuclei are enlarged, ovoid to spindled and surrounded by bipolar eosinophilic cytoplasm (insert) (A). Smooth muscle differentiation is confirmed by positivity for desmin (B). Loss of expression of MSH2 (C) and MSH6 (D) is seen, while expression of MLH1 and PMS2 is retained (not shown). Positivity for PD‐L1 is seen on tumor cells (E). Numerous T cells are scattered throughout the tumor (CD3 staining) (F). Scale bar: 50 µm . PROTEIN EXPRESSION: The index cases showed loss of expression of both MSH2 and MSH6, while MLH1 and PMS2 were retained (Figure 1 and 2). In addition, a total of six other tumors (three leiomyosarcomas, one embryonal rhabdomyosarcoma, one MPNST and one radiation‐associated soft tissue sarcoma) showed loss of expression of one or more MMR proteins, leading to a total of eight cases with potential MMR defects (1%) (Table 1). Loss of MLH1 and PMS2 was seen in three cases (two leiomyosarcomas and one radiation‐associated sarcoma), loss of MSH2 and MSH6 was present in one embryonal rhabdomyosarcoma and one MPNST. Isolated loss of PMS2 was seen in one leiomyosarcoma (Table 2). In the remaining 786 bone and soft tissue tumors, no loss of expression was observed (Table 1). Summary of immunohistochemical and molecular analysis of MMRd cases Pleomorphic rhabdomyosarcoma HPF, high‐power field; het, heterogenous; +, positive; −, negative; N/A, not applicable; NA, not assessed; MPNST, malignant peripheral nerve sheath tumor. Grading according to FNCLCC. Five out of eight tumors with loss of MMR protein expression displayed expression of PD‐L1 and a high influx of T cells. In two of these cases expression of PD‐1 was observed. Among the three PD‐L1 negative tumors, the majority showed a low amount of tumor‐infiltrating T cells (Table 2). CLINICAL AND GENOTYPIC ANALYSIS: In addition to the index cases, molecular information was available for one other leiomyosarcoma, which showed a MLH1 mutation (p. Val7Argfs*18) in the tumor sample. Clinical data of this patient revealed a breast tumor and a rectal carcinoma. The patient was referred to the clinical genetics, though additional information could not be retrieved. Among the other MMR deficient sarcoma patients, one was known with neurofibromatosis type 1 and one developed adenocarcinoma of the prostate, while the remaining patients had no other tumors. The MMR deficient radiation‐associated sarcoma occurred 10 years after radiation therapy of a liposarcoma. None of the examined MLH1 negative tumors (n = 3) showed MLH1 promoter hypermethylation. MSI analysis revealed one microsatellite stable tumor, while analysis failed on the remaining tumors due to insufficient quality of the DNA (Table 2). MISMATCH REPAIR DEFICIENT BONE AND SOFT TISSUE SARCOMAS IN LITERATURE: A total of 30 MMR deficient bone and soft tissue sarcomas were encountered in literature (details are summarized in Table 3). Histologically classifiable tumors included liposarcoma (n = 5), osteosarcoma (n = 5), rhabdomyosarcoma (n = 4), alveolar soft part sarcoma (n = 3), clear cell sarcoma (n = 2), leiomyosarcoma (n = 1), PEComa (n = 1). Undifferentiated pleomorphic/unclassifiable sarcoma accounted for eight cases and in one cases the subtype was not specified. 4 , 26 , 27 , 28 , 29 , 30 , 31 , 32 , 33 , 34 , 35 , 36 , 37 , 38 , 39 , 40 , 41 , 42 While most studies referred to case reports or case series, Doyle and colleagues investigated the frequency of MMR deficiency in a cohort of 279 cases and identified 6 MMR deficient cases (2%). 26 In all these studies, seventeen patients had a germline mutation in one of the mismatch repair genes (Lynch syndrome n = 13; Muir‐Torre syndrome n = 2; Constitutional Mismatch Repair Deficiency n = 2). A predominance of MSH2 mutations, either germline of somatic, was found in MMR deficient sarcomas. Overview of mismatch repair deficient bone and soft tissue sarcoma published in the literature Liposaroma Osteosarcoma Osteosarcoma Lynch syndrome Lynch syndrome MSH2 and MSH6 MSH2 and MSH6 MSH2 c.2152C>T MSH2 c.1661+1G>A ASPS, alveolar soft part sarcoma; CMMRD, constitutional mismatch repair deficiency; LMS, leiomyosarcoma; NA, not available; NOS, not otherwise specified; UPS, undifferentiated pleomorphic sarcoma. Discussion: This study provides a comprehensive immunohistochemical evaluation of MMR protein expression in a large series of bone and soft tissue tumors. We show that MMR deficiency is a rare phenomenon in bone and soft tissue tumors but can be relatively more frequent in soft tissue sarcomas with myogenic differentiation and in patients with a genetic predisposition / co‐occurrence of other malignancies. MMR deficiency was detected in 1% of the total bone and soft tissue tumor cohort and was enriched to up to 5% in tumors with myogenic differentiation. The only non‐myogenic MMR deficient tumors were a radiation‐associated bone sarcoma and a MPNST. Notably, MMR deficiency was completely absent in a relatively large series of osteosarcomas and chondrosarcomas. Among the MMR deficient tumors, three patients were suspected to have or had an established diagnosis of Lynch syndrome / Muir‐Torre syndrome. Our findings are in keeping with the study of Doyle et al., who also reported an overall frequency of 2% but a marked enrichment (10%) among undifferentiated/unclassifiable sarcomas using parallel sequencing followed by immunohistochemical evaluation of MMR protein expression. The fact that the frequency of MMR deficiency is comparable between their study, starting with an NGS approach, and the present study, starting with immunohistochemistry, suggests that immunohistochemistry could serve as a cost‐effective surrogate marker for MMR deficiency. The current study includes a relatively large cohort of bone sarcomas, including osteogenic, chondrogenic tumors and Ewing sarcoma, thereby representing the three most common bone sarcomas. Among the soft tissue sarcomas, also the most common subtypes are included (liposarcoma, leiomyosarcoma and undifferentiated soft tissue sarcoma). However, given the high amount of sarcoma subtypes it is not possible to evaluate a completely representative cohort. In addition, some tumor types are overrepresented, including those with myogenic differentiation (leiomyosarcoma, rhabdomyosarcoma and inflammatory myofibroblastic tumor), which was based on the myogenic differentiation in the tumors of our two index patients. In addition, we included a series of alveolar soft part sarcomas which was based on data from literature. In contrast to our findings and those from Doyle et al., two other groups reported a higher frequency of MMR deficiency varying between 23% and 85% in soft tissue sarcoma and osteosarcoma, respectively. 43 , 44 In our series, none of the 65 osteosarcomas investigated demonstrated loss of MMR protein expression. Since MMR deficient sarcomas often show a significantly elevated TMB relative to MMR proficient sarcomas, 45 and the TMB in osteosarcoma is reportedly low, 46 with low to moderate response to ICI, 46 , 47 , 48 it seems very unlikely that the majority of osteosarcomas would be MMR deficient. Given the lack of reporting on a positive internal control and the lack of molecular validation in these publications, these cases were not taken along in Table 3. This is the first systematic analysis of MMR deficiency in cartilaginous tumors, which showed complete absence of MMR deficiency in 181 patients. Based on this specific biomarker, these patients would not be eligible to ICI therapy. We previously also showed the absence of PD‐L1 expression in conventional, clear cell and mesenchymal chondrosarcoma. However, PD‐L1 expression and the presence of an immune infiltrate were found in 52% of the dedifferentiated chondrosarcomas, which were also included in the current study, and PD‐L1 expression was restricted to the dedifferentiated component. 23 Response to immunotherapy in clinical trials was observed in few (dedifferentiated) chondrosarcoma patients. 47 , 49 This again illustrates that in the current era of immunotherapy, with the lack of definitive biomarkers, evaluation of tumors based on both their immune phenotype and genomic mutation profile is needed to determine which patients would likely be responsive to ICI treatment. For alveolar soft part sarcoma, loss of expression of MSH2 and MLH1 was previously reported in two (18.2%) and three (27.3%) of eleven cases, respectively. 40 Hypermethylation of MSH2 and MLH1 promoter region was absent, but three of eight (37.5%) cases were found to be MSI‐low. Moreover, alveolar soft part sarcoma, despite a low mutational load and lack of inflammatory infiltrate, was observed to be able to respond to immune checkpoint inhibitors. 50 Two patients with sustained partial response showed a MMR mutational signature after sequencing, however, staining for MMR protein expression was intact. 51 This led us to include a relatively large series of this very rare sarcoma subtype in our studies, as tissue microarrays were previously constructed and available from the EORTC‐CREATE study. 22 , 52 We did not find loss of MMR protein expression in 31 evaluable cases. Thus, we cannot confirm previous results of MMR deficiency in alveolar soft part sarcoma, and other mechanisms underlying sensitivity to immune checkpoint inhibitors in these tumors seem more likely. Despite the selection bias in our cohort, both tumors of the index patients demonstrated myogenic differentiation, most of the other MMR deficient sarcomas also displayed myogenic differentiation. Notably, all MMR deficient leiomyosarcoma were low‐grade (grade 1). Since leiomyosarcomas often show a poor response to chemotherapy, it would be worthwhile to examine MMR status in this selected tumor group, ultimately providing these patients novel treatment options. Moreover, we previously showed PD‐L1 expression together with high T cell infiltrate and HLA class I expression in around 30% of high grade leiomyosarcoma, reflecting an active immune microenvironment. 53 Thus far, results of clinical trials of PD‐1 blockade therapy in leiomyosarcoma patients are diverse. Single reports with successful treatment or a mixed partial response or stable disease are described, while others report no effect to treatment. 5 , 49 , 54 , 55 Of note, one of the leiomyosarcomas with loss of PMS2 expression showed a microsatellite stable phenotype. Although MSI analysis kit is commonly used in colorectal cancer, it is not widely applicable in other tumors. In addition, concordance between MMR protein expression and MSI is variable between tumor types with percentages varying between 68% in epithelial ovarian tumors to 97% in colorectal carcinomas. 56 However, no data is available for sarcoma. It would be highly interesting to see whether this patient is carrying a germline variant in one of the mismatch repair genes, however germline analysis was not covered by the IRB approval. Most of the MMR deficient bone and soft tissue sarcomas in the current study showed presence of infiltrating immune cells and five cases also showed expression of PD‐L1 on the tumor cells. This may indicate that these patients could benefit from ICI. Thus far, effectiveness of ICI in sarcoma patients has only been studied in limited trials with variable results. In the SARC028 study, Pembrolizumab showed promising results in patients with undifferentiated pleomorphic sarcoma and dedifferentiated liposarcoma, while in the PEMBROSARC and Alliance A091401 trial no response was observed. Also, PD‐L1 expression alone was not a predictive biomarker. 47 , 48 , 57 Clearly, there is an urgent need for predictive biomarkers, and it remains to be answered if the MMR status contributes to the selection of patients who will respond to ICI. To conclude, MMR deficiency is rare in bone and soft tissue tumors. Screening focusing on tumors with myogenic differentiation, undifferentiated/unclassifiable sarcomas and in patients with a genetic predisposition / co‐occurrence of other malignancies can be helpful identifying patients potentially eligible for ICI, while for other bone and soft tissue tumors reflex testing remains debatable. Author contributions: The study was designed, written and reviewed by S.W. Lam, M. Kostine and J.V.M.G. Bovée. All authors contributed to the data collection, data analysis and interpretation. The manuscript was approved by all authors. Conflict of interest: None declared. Funding: Leiden University Medical Center Supporting information: Table S1. Details of antibody. Click here for additional data file.
Background: There has been an increased demand for mismatch repair (MMR) status testing in sarcoma patients after the success of immune checkpoint inhibition (ICI) in MMR deficient tumors. However, data on MMR deficiency in bone and soft tissue tumors is sparse, rendering it unclear if routine screening should be applied. Hence, we aimed to study the frequency of MMR deficiency in bone and soft tissue tumors after we were prompted by two (potential) Lynch syndrome patients developing sarcomas. Methods: Immunohistochemical expression of MLH1, PMS2, MSH2 and MSH6 was assessed on tissue micro arrays (TMAs), and included 353 bone and 539 soft tissue tumors. Molecular data was either retrieved from reports or microsatellite instability (MSI) analysis was performed. In MLH1 negative cases, additional MLH1 promoter hypermethylation analysis followed. Furthermore, a systematic literature review on MMR deficiency in bone and soft tissue tumors was conducted. Results: Eight MMR deficient tumors were identified (1%), which included four leiomyosarcoma, two rhabdomyosarcoma, one malignant peripheral nerve sheath tumor and one radiation-associated sarcoma. Three patients were suspected for Lynch syndrome. Literature review revealed 30 MMR deficient sarcomas, of which 33% were undifferentiated/unclassifiable sarcomas. 57% of the patients were genetically predisposed. Conclusions: MMR deficiency is rare in bone and soft tissue tumors. Screening focusing on tumors with myogenic differentiation, undifferentiated/unclassifiable sarcomas and in patients with a genetic predisposition / co-occurrence of other malignancies can be helpful in identifying patients potentially eligible for ICI.
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8,917
296
[ 527, 510, 267, 85, 100, 63, 430, 272, 156, 374, 39, 4 ]
17
[ "mmr", "tumor", "expression", "sarcoma", "tumors", "cells", "soft", "cases", "tissue", "pd" ]
[ "checkpoint inhibitors ici", "checkpoint inhibitors tumors", "immunotherapy pd l1", "tumor immune responses", "sensitivity immune checkpoint" ]
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[CONTENT] bone and soft tissue tumors | immune checkpoint inhibitors | immunohistochemistry | mismatch repair deficiency [SUMMARY]
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[CONTENT] bone and soft tissue tumors | immune checkpoint inhibitors | immunohistochemistry | mismatch repair deficiency [SUMMARY]
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[CONTENT] bone and soft tissue tumors | immune checkpoint inhibitors | immunohistochemistry | mismatch repair deficiency [SUMMARY]
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[CONTENT] Adult | Biomarkers, Tumor | Bone Neoplasms | Brain Neoplasms | Colorectal Neoplasms | DNA-Binding Proteins | Humans | Male | Middle Aged | Mismatch Repair Endonuclease PMS2 | MutL Protein Homolog 1 | MutS Homolog 2 Protein | Neoplastic Syndromes, Hereditary | Soft Tissue Neoplasms [SUMMARY]
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[CONTENT] Adult | Biomarkers, Tumor | Bone Neoplasms | Brain Neoplasms | Colorectal Neoplasms | DNA-Binding Proteins | Humans | Male | Middle Aged | Mismatch Repair Endonuclease PMS2 | MutL Protein Homolog 1 | MutS Homolog 2 Protein | Neoplastic Syndromes, Hereditary | Soft Tissue Neoplasms [SUMMARY]
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[CONTENT] Adult | Biomarkers, Tumor | Bone Neoplasms | Brain Neoplasms | Colorectal Neoplasms | DNA-Binding Proteins | Humans | Male | Middle Aged | Mismatch Repair Endonuclease PMS2 | MutL Protein Homolog 1 | MutS Homolog 2 Protein | Neoplastic Syndromes, Hereditary | Soft Tissue Neoplasms [SUMMARY]
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[CONTENT] checkpoint inhibitors ici | checkpoint inhibitors tumors | immunotherapy pd l1 | tumor immune responses | sensitivity immune checkpoint [SUMMARY]
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[CONTENT] checkpoint inhibitors ici | checkpoint inhibitors tumors | immunotherapy pd l1 | tumor immune responses | sensitivity immune checkpoint [SUMMARY]
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[CONTENT] checkpoint inhibitors ici | checkpoint inhibitors tumors | immunotherapy pd l1 | tumor immune responses | sensitivity immune checkpoint [SUMMARY]
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[CONTENT] mmr | tumor | expression | sarcoma | tumors | cells | soft | cases | tissue | pd [SUMMARY]
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[CONTENT] mmr | tumor | expression | sarcoma | tumors | cells | soft | cases | tissue | pd [SUMMARY]
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[CONTENT] mmr | tumor | expression | sarcoma | tumors | cells | soft | cases | tissue | pd [SUMMARY]
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[CONTENT] ici | cancer | response | sarcomas | patients | mmr | pd | advanced | ici response | pathway [SUMMARY]
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[CONTENT] msh2 | expression | cells | loss | patient | tumor | cases | msh2 msh6 | msh6 | sarcoma [SUMMARY]
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[CONTENT] declared | tumor | mmr | expression | sarcoma | tumors | cells | mlh1 | pd | msh2 [SUMMARY]
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[CONTENT] MMR | MMR ||| MMR ||| MMR | two ||| [SUMMARY]
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[CONTENT] Eight | MMR | 1% | four | two | one | one ||| Three | Lynch ||| 30 | MMR | 33% ||| 57% [SUMMARY]
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[CONTENT] MMR | MMR ||| MMR ||| MMR | two ||| ||| MLH1 | PMS2 | MSH2 | MSH6 | 353 | 539 ||| ||| MLH1 | MLH1 ||| MMR ||| ||| Eight | MMR | 1% | four | two | one | one ||| Three | Lynch ||| 30 | MMR | 33% ||| 57% ||| ||| MMR ||| ICI [SUMMARY]
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Utilization and uptake of the UpToDate clinical decision support tool at the Makerere University College of Health Sciences (MakCHS), Uganda.
34795750
The use of point-of-care, evidence-based tools is becoming increasingly popular. They can provide easy-touse, high-quality information which is regularly updated and has been shown to improve clinical outcomes. Integrating such tools into clinical practice is an important component of improving the quality of health care. However, because such tools are rarely used in resource-limited settings, there is limited research on uptake especially among medical students.
BACKGROUND
In partnership with the Better Evidence at Ariadne Labs free access to UpToDate was granted through the MakCHS IP address. On-site librarians facilitated training sessions and spread awareness of the tool. Usage data was aggregated, based on log ins and content views, presented and analyzed using Excel tables and graphs.
METHODS
The data shows evidence of meaningful usage, with 43,043 log ins and 15,591 registrations between August 2019 and August 2020. The most common topics viewed were in obstetrics and gynecology, pediatrics, drug information, and infectious diseases. Access occurred mainly through the mobile phone app.
RESULTS
Findings show usage by various user categories, but with inconsistent uptake and low usage. Librarians can draw upon these results to encourage institutions to support uptake of point-of-care tools in clinical practice.
CONCLUSION
[ "Decision Support Systems, Clinical", "Diffusion of Innovation", "Evidence-Based Medicine", "Humans", "Meaningful Use", "Point-of-Care Systems", "Schools, Medical", "Uganda" ]
8568217
Background
Digital point-of-care tools can provide easy-to-use, high-quality information that is regularly updated in line with the science and have been shown to improve diagnostic accuracy and promote quality, efficient care1. The use of such tools is becoming increasingly popular throughout the world. A majority of the increased use is happening in North America, though Asia Pacific is anticipated to be the fastest growing region in adopting these tools 2. An American Medical Association survey showed that 57% of physicians use or plan to use a digital clinical support tool in their work 3. The clinical decision support resource UpToDate is used in over 190 countries and by 90% of US academic medical centers 4. Integrating these tools into practice, particularly in sub-Saharan Africa, is an important component of improving the overall quality of healthcare. However, significant gaps exist in the implementation of these tools into healthcare providers' routine practice in low-resource settings 5. Though medical students in the US are likely to be introduced to these digital tools early in their career 6, the use of digital tools has not gained the same momentum in sub-Saharan African medical education 7. Research conducted by the authors of this study at the University of Rwanda suggests that early introduction of an evidence-based tool to medical students leads to habit formation and use of the tool in later clinical practice 8. However, there has been limited research on this topic, likely due to limited access to such tools whose cost can be prohibitive. Sub-Saharan African medical schools have faced insufficient access to digital clinical resources, with medical schools rating their technological resources somewhat to severely inadequate on average 9.
Methodology
After being approved for participation in the Better Evidence for training program, MakCHS entered into a contract with UpToDate. UpToDate established access to the product through the LAN at the university and its affiliated training facilities in August 2019. Better Evidence team members aided librarians, students, and faculty at MakCHS in learning how to access, register for, and use the tool. The MakCHS librarians then communicated about the tool and built awareness of the tool in their respective institutions through training sessions on campus and messaging. UpToDate tracked aggregate usage and searches by registered, logged-in users or users on campus and shared this data with the school through the Better Evidence program every two months. Usage of the open-access information on COVID-19 was not tracked if users were offsite and not logged in. No institutional review board approvals were needed given the nature of this work and the aggregate nature of the data that did not allow any individuals to be identified. The data presented here captured usage information from August 2019 to August 2020 on the following: Trending topics sorted by most views—topics that increased in popularity from the prior two month periodMethods used to access the topics—whether users accessed UpToDate via the website on a computer or via the UpToDate app on their smart phones, tablets or iPadsRoles of the users that accessed UpToDateTop five medical topics by views —the most frequently visited topic cards during each two-month periodTop five medical specialties viewed – what specialties the topics viewed fall intoTotal usage by month—how many searches were done Trending topics sorted by most views—topics that increased in popularity from the prior two month period Methods used to access the topics—whether users accessed UpToDate via the website on a computer or via the UpToDate app on their smart phones, tablets or iPads Roles of the users that accessed UpToDate Top five medical topics by views —the most frequently visited topic cards during each two-month period Top five medical specialties viewed – what specialties the topics viewed fall into Total usage by month—how many searches were done Data analysis We used Excel to organize the data into tables and graphs to enable us to look at the trends and usage patterns over time. We then grouped the relevant data based on trending topics, access methods, user roles, topic specialties by views, medical topics by views and total usage of the tool by month. Reporting periods are labeled by when the report was received. UpToDate provided reports every two months. We used Excel to organize the data into tables and graphs to enable us to look at the trends and usage patterns over time. We then grouped the relevant data based on trending topics, access methods, user roles, topic specialties by views, medical topics by views and total usage of the tool by month. Reporting periods are labeled by when the report was received. UpToDate provided reports every two months.
Results
Trending Topics Table 1 shows the trending topics sorted by increase in views for each two-month reporting period. More recently trending topics have been related to one another. In general, trends show the wide array of topics viewed and how they can change from month to month. Trending Topics Table 1 shows the trending topics sorted by increase in views for each two-month reporting period. More recently trending topics have been related to one another. In general, trends show the wide array of topics viewed and how they can change from month to month. Trending Topics Access Methods Figure 1 shows the number of times the tool was accessed by registered users via the website or the app for each two-month period being reported in the months of October and December 2019, and February, April, June, and August 2020. MakCHS: Access methods-Oct and Dec 2019, Feb -Aug 2020 Usage via the appwas consistently about two to three times more common than usage via the website but both forms of usage followed approximately the same trends. The February 2020 report showed the most usage via both the web (1,326) and the app (5,322) while the December 2019 report showed the lowest usage of any two-month period. Figure 1 shows the number of times the tool was accessed by registered users via the website or the app for each two-month period being reported in the months of October and December 2019, and February, April, June, and August 2020. MakCHS: Access methods-Oct and Dec 2019, Feb -Aug 2020 Usage via the appwas consistently about two to three times more common than usage via the website but both forms of usage followed approximately the same trends. The February 2020 report showed the most usage via both the web (1,326) and the app (5,322) while the December 2019 report showed the lowest usage of any two-month period. User roles Table 2 shows the roles of the users who accessed UpToDate by reporting period. People with a range of roles registered for and accessed the tool. There were consistently a higher number of medical students and residents accessing the tool compared to physicians and other user types. February and April reporting periods showed the highest numbers of users accessing the tool across the top three roles, i.e., medical students, residents, and physicians. Physician assistants used the tool much more in the December 2019 reporting period than during any other reporting period. MakCHS: User roles that accessed the topics in Oct 2019, Dec 2019, Feb 2020 and Apr 2020 Source: Better Evidence Table 2 shows the roles of the users who accessed UpToDate by reporting period. People with a range of roles registered for and accessed the tool. There were consistently a higher number of medical students and residents accessing the tool compared to physicians and other user types. February and April reporting periods showed the highest numbers of users accessing the tool across the top three roles, i.e., medical students, residents, and physicians. Physician assistants used the tool much more in the December 2019 reporting period than during any other reporting period. MakCHS: User roles that accessed the topics in Oct 2019, Dec 2019, Feb 2020 and Apr 2020 Source: Better Evidence Medical specialties by views The topics viewed fall into different specialty areas. The top five topic specialties viewed from October 2019 to August 2020 are shown in Table 3. MakCHS: Up-To-Date users by specialty during the months of Oct. 2019, Dec. 2019, Feb. 2020, Apr. 2020 and Jun. 2020 Source: Better Evidence Pediatrics, obstetrics and gynecology & women's health registered the most topic hits over the course of the year, while gastroenterology and herpetology received a lot of views during two reporting periods. The topics viewed fall into different specialty areas. The top five topic specialties viewed from October 2019 to August 2020 are shown in Table 3. MakCHS: Up-To-Date users by specialty during the months of Oct. 2019, Dec. 2019, Feb. 2020, Apr. 2020 and Jun. 2020 Source: Better Evidence Pediatrics, obstetrics and gynecology & women's health registered the most topic hits over the course of the year, while gastroenterology and herpetology received a lot of views during two reporting periods. Medical topics by views The top five most viewed medical topics by reporting period are shown in Table 4. The pattern suggests diverse usage. In some reporting periods, there are clear connections between the medical topics viewed, while in other periods there is quite a range of views. In general, the number of views for each specific topic is relatively low compared to the total number of views of all topics. Top Five Medical Topics by views Source: Better Evidence The top five most viewed medical topics by reporting period are shown in Table 4. The pattern suggests diverse usage. In some reporting periods, there are clear connections between the medical topics viewed, while in other periods there is quite a range of views. In general, the number of views for each specific topic is relatively low compared to the total number of views of all topics. Top Five Medical Topics by views Source: Better Evidence Total usage by month Total usage of the tool by month is shown in Figure 2. Between August 2019 and September 2019, usage increased by nearly 90%. December 2019 saw the lowest usage while February 2020 saw the highest. Total usage by month: Aug 2019-Aug 2020 Total usage of the tool by month is shown in Figure 2. Between August 2019 and September 2019, usage increased by nearly 90%. December 2019 saw the lowest usage while February 2020 saw the highest. Total usage by month: Aug 2019-Aug 2020
Conclusions and recommendations
Data suggests that though UpToDate is used in a variety of ways by a variety of user types at the university, usage remains relatively low considering the total number of students, faculty, and potential searches. Therefore, there is a need for continued advocacy and capacity building for the various users of the tool and others like librarians, who promote its uptake and usage. As for the librarians, who promote the uptake and usage of the tool, there is need for further capacity building and awareness. The usage trend, however, suggests that, irrespective of what method of access used to access the tool, users had started embracing the tool before the COVID-19 pandemic and closure of institution. Continued use in such difficult times suggests that there is potential for increased and more consistent use in the future. Increased capacity building and promotion is expected to go a long way in increasing usage of evidence-based digital tools. The Better Evidence for Champions program, launched in August 2020, in which local librarians, faculty members, and ICT professionals are trained to aid in promoting uptake, is one possibility for increasing uptake via trained local advocates. As bi-monthly data collection will continue, further analysis after the launch of the Champions program will be conducted. This project and other similar efforts that aim to promote the use of evidence in clinical care will be critical to improving the quality of care and health outcomes for patients for decades to come.
[ "Background", "About UpToDate", "UpToDate Content", "Accessing UpToDate", "About the study site (MakCHS)", "Objective", "Data analysis", "Trending Topics", "Access Methods", "User roles", "Medical specialties by views", "Medical topics by views", "Total usage by month", "Limitations of the study" ]
[ "Digital point-of-care tools can provide easy-to-use, high-quality information that is regularly updated in line with the science and have been shown to improve diagnostic accuracy and promote quality, efficient care1. The use of such tools is becoming increasingly popular throughout the world. A majority of the increased use is happening in North America, though Asia Pacific is anticipated to be the fastest growing region in adopting these tools 2. An American Medical Association survey showed that 57% of physicians use or plan to use a digital clinical support tool in their work 3. The clinical decision support resource UpToDate is used in over 190 countries and by 90% of US academic medical centers 4. Integrating these tools into practice, particularly in sub-Saharan Africa, is an important component of improving the overall quality of healthcare. However, significant gaps exist in the implementation of these tools into healthcare providers' routine practice in low-resource settings 5. Though medical students in the US are likely to be introduced to these digital tools early in their career 6, the use of digital tools has not gained the same momentum in sub-Saharan African medical education 7. Research conducted by the authors of this study at the University of Rwanda suggests that early introduction of an evidence-based tool to medical students leads to habit formation and use of the tool in later clinical practice 8. However, there has been limited research on this topic, likely due to limited access to such tools whose cost can be prohibitive. Sub-Saharan African medical schools have faced insufficient access to digital clinical resources, with medical schools rating their technological resources somewhat to severely inadequate on average 9.", "UpToDate is a clinical decision support resource that can be used on or offline and provides evidence-based information for medical doctors. It can be accessed on digital devices such as computers, tablets, or mobile smart phones in hospitals, clinics, or homes. The tool is authored by 7,100 physicians who continuously synthesize the most recent medical information across specialties into evidence-based recommendations that can support point-of-care decisions. UpToDate is used in over 190 countries and by 90% of US academic medical centers4.\nRecent research demonstrates that the use of UpToDate was associated with improved quality of care, shorter lengths of stay, and lower mortality rates over a three-year period1. UpToDate has been shown to answer clinical questions effectively, with one study citing an 86% answer retrieval rate for UpToDate 10. In medical education, UpToDate is reported to be a highly effective resource for learning 11 and is preferred by early career doctors 12.", "The tool covers a range of information areas and tools, including: topic updates by specialty, clinical calculators, drug interaction checkers, and search functionality (by disease name, symptom, lab abnormality, procedure, or drug) with filter options (adult, pediatric, or patient graphics). While users can search UpToDate in many languages, the content is available only in English. With the emergence of the COVID-19 pandemic, UpToDate has added new open-access information covering clinical topics, questions, patient education and society guidelines. The pace of discovery and science related to the COVID-19 pandemic as well as the spread of misinformation, coupled with shortages of health workers have only hastened the need for clinicians to have evidence-based and trusted resources to which they can turn for clinical information.", "UpToDate is a commercial product available for purchase. Better Evidence, a group at Ariadne Labs – a joint center for health systems innovations at Harvard T.H. Chan School of Public Health and Brigham and Women's Hospital – works to facilitate access to evidence-based clinical resources to health providers serving vulnerable populations who couldn't otherwise afford them. A pilot study run by Better Evidence demonstrated the utility of Up-To-Date among medical students at University of Rwanda8, the group began facilitating donated institutional licenses to medical schools across Africa as part of the Better Evidence for training program. Access was granted to MakCHS in 2019, with plans to add new schools annually.\nWith an institutional license, users can access UpToDate (www.uptodate.com) on the institutional local area network (LAN) and register for an individual account that will allow them to access UpToDate outside the LAN and download the content for use offline. The ability to use the tool offline is a valuable feature in developing countries.", "Established in 1922 as a technical school, Makerere University is one of the oldest and most prestigious English Universities in Africa. The college soon began offering various other courses in medical care, agriculture, veterinary sciences and teacher training. It expanded over the years to become a center for higher education in East Africa in 1935 13.\nOn July 1, 1970, Makerere became an independent national university of the Republic of Uganda, offering undergraduate and postgraduate courses. Makerere University offers not only day but also evening and external study programmes to a student body of about 35,000 undergraduates and 3,000 postgraduates (both Ugandan and foreign).\nThe university transitioned from the faculty-based to the collegiate system in 2011. As of July 2014, it includes 10 constituent colleges including the School of Law, all operating as semi-autonomous units 13.\nMakerere University College of Health Sciences was transformed from a Faculty of Medicine into a College in 2013. It is comprised of 4 schools (Medicine, Biomedical Sciences, Public Health and Health Sciences) and 27 departments, with a total population of 3,018 students, 249 academic staff, who double as lecturers and health workers, mainly stationed at the Mulago National Referral and Teaching Hospital. It is this population, together with other health researchers who are affiliated to the College that utilizes the UpToDate subscription facilitated by Better Evidence to support clinical practice 14.", "This paper explores the uptake of UpToDate among medical students and faculty at Makerere University College of Health Sciences.", "We used Excel to organize the data into tables and graphs to enable us to look at the trends and usage patterns over time. We then grouped the relevant data based on trending topics, access methods, user roles, topic specialties by views, medical topics by views and total usage of the tool by month. Reporting periods are labeled by when the report was received. UpToDate provided reports every two months.", "Table 1 shows the trending topics sorted by increase in views for each two-month reporting period. More recently trending topics have been related to one another. In general, trends show the wide array of topics viewed and how they can change from month to month.\nTrending Topics", "Figure 1 shows the number of times the tool was accessed by registered users via the website or the app for each two-month period being reported in the months of October and December 2019, and February, April, June, and August 2020.\nMakCHS: Access methods-Oct and Dec 2019, Feb -Aug 2020\nUsage via the appwas consistently about two to three times more common than usage via the website but both forms of usage followed approximately the same trends. The February 2020 report showed the most usage via both the web (1,326) and the app (5,322) while the December 2019 report showed the lowest usage of any two-month period.", "Table 2 shows the roles of the users who accessed UpToDate by reporting period. People with a range of roles registered for and accessed the tool. There were consistently a higher number of medical students and residents accessing the tool compared to physicians and other user types. February and April reporting periods showed the highest numbers of users accessing the tool across the top three roles, i.e., medical students, residents, and physicians. Physician assistants used the tool much more in the December 2019 reporting period than during any other reporting period.\nMakCHS: User roles that accessed the topics in Oct 2019, Dec 2019, Feb 2020 and Apr 2020\nSource: Better Evidence", "The topics viewed fall into different specialty areas. The top five topic specialties viewed from October 2019 to August 2020 are shown in Table 3.\nMakCHS: Up-To-Date users by specialty during the months of Oct. 2019, Dec. 2019, Feb. 2020, Apr. 2020 and Jun. 2020\nSource: Better Evidence\nPediatrics, obstetrics and gynecology & women's health registered the most topic hits over the course of the year, while gastroenterology and herpetology received a lot of views during two reporting periods.", "The top five most viewed medical topics by reporting period are shown in Table 4. The pattern suggests diverse usage. In some reporting periods, there are clear connections between the medical topics viewed, while in other periods there is quite a range of views. In general, the number of views for each specific topic is relatively low compared to the total number of views of all topics.\nTop Five Medical Topics by views\nSource: Better Evidence", "Total usage of the tool by month is shown in Figure 2. Between August 2019 and September 2019, usage increased by nearly 90%. December 2019 saw the lowest usage while February 2020 saw the highest.\nTotal usage by month: Aug 2019-Aug 2020", "The demographic characteristics of the respondents were not captured because of the nature of the study. The data was remotely captured based on log ins in the system, and this could not allow for the capture of data, other than the number of log ins and the topics viewed." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "About UpToDate", "UpToDate Content", "Accessing UpToDate", "About the study site (MakCHS)", "Objective", "Methodology", "Data analysis", "Results", "Trending Topics", "Access Methods", "User roles", "Medical specialties by views", "Medical topics by views", "Total usage by month", "Discussion", "Conclusions and recommendations", "Limitations of the study" ]
[ "Digital point-of-care tools can provide easy-to-use, high-quality information that is regularly updated in line with the science and have been shown to improve diagnostic accuracy and promote quality, efficient care1. The use of such tools is becoming increasingly popular throughout the world. A majority of the increased use is happening in North America, though Asia Pacific is anticipated to be the fastest growing region in adopting these tools 2. An American Medical Association survey showed that 57% of physicians use or plan to use a digital clinical support tool in their work 3. The clinical decision support resource UpToDate is used in over 190 countries and by 90% of US academic medical centers 4. Integrating these tools into practice, particularly in sub-Saharan Africa, is an important component of improving the overall quality of healthcare. However, significant gaps exist in the implementation of these tools into healthcare providers' routine practice in low-resource settings 5. Though medical students in the US are likely to be introduced to these digital tools early in their career 6, the use of digital tools has not gained the same momentum in sub-Saharan African medical education 7. Research conducted by the authors of this study at the University of Rwanda suggests that early introduction of an evidence-based tool to medical students leads to habit formation and use of the tool in later clinical practice 8. However, there has been limited research on this topic, likely due to limited access to such tools whose cost can be prohibitive. Sub-Saharan African medical schools have faced insufficient access to digital clinical resources, with medical schools rating their technological resources somewhat to severely inadequate on average 9.", "UpToDate is a clinical decision support resource that can be used on or offline and provides evidence-based information for medical doctors. It can be accessed on digital devices such as computers, tablets, or mobile smart phones in hospitals, clinics, or homes. The tool is authored by 7,100 physicians who continuously synthesize the most recent medical information across specialties into evidence-based recommendations that can support point-of-care decisions. UpToDate is used in over 190 countries and by 90% of US academic medical centers4.\nRecent research demonstrates that the use of UpToDate was associated with improved quality of care, shorter lengths of stay, and lower mortality rates over a three-year period1. UpToDate has been shown to answer clinical questions effectively, with one study citing an 86% answer retrieval rate for UpToDate 10. In medical education, UpToDate is reported to be a highly effective resource for learning 11 and is preferred by early career doctors 12.", "The tool covers a range of information areas and tools, including: topic updates by specialty, clinical calculators, drug interaction checkers, and search functionality (by disease name, symptom, lab abnormality, procedure, or drug) with filter options (adult, pediatric, or patient graphics). While users can search UpToDate in many languages, the content is available only in English. With the emergence of the COVID-19 pandemic, UpToDate has added new open-access information covering clinical topics, questions, patient education and society guidelines. The pace of discovery and science related to the COVID-19 pandemic as well as the spread of misinformation, coupled with shortages of health workers have only hastened the need for clinicians to have evidence-based and trusted resources to which they can turn for clinical information.", "UpToDate is a commercial product available for purchase. Better Evidence, a group at Ariadne Labs – a joint center for health systems innovations at Harvard T.H. Chan School of Public Health and Brigham and Women's Hospital – works to facilitate access to evidence-based clinical resources to health providers serving vulnerable populations who couldn't otherwise afford them. A pilot study run by Better Evidence demonstrated the utility of Up-To-Date among medical students at University of Rwanda8, the group began facilitating donated institutional licenses to medical schools across Africa as part of the Better Evidence for training program. Access was granted to MakCHS in 2019, with plans to add new schools annually.\nWith an institutional license, users can access UpToDate (www.uptodate.com) on the institutional local area network (LAN) and register for an individual account that will allow them to access UpToDate outside the LAN and download the content for use offline. The ability to use the tool offline is a valuable feature in developing countries.", "Established in 1922 as a technical school, Makerere University is one of the oldest and most prestigious English Universities in Africa. The college soon began offering various other courses in medical care, agriculture, veterinary sciences and teacher training. It expanded over the years to become a center for higher education in East Africa in 1935 13.\nOn July 1, 1970, Makerere became an independent national university of the Republic of Uganda, offering undergraduate and postgraduate courses. Makerere University offers not only day but also evening and external study programmes to a student body of about 35,000 undergraduates and 3,000 postgraduates (both Ugandan and foreign).\nThe university transitioned from the faculty-based to the collegiate system in 2011. As of July 2014, it includes 10 constituent colleges including the School of Law, all operating as semi-autonomous units 13.\nMakerere University College of Health Sciences was transformed from a Faculty of Medicine into a College in 2013. It is comprised of 4 schools (Medicine, Biomedical Sciences, Public Health and Health Sciences) and 27 departments, with a total population of 3,018 students, 249 academic staff, who double as lecturers and health workers, mainly stationed at the Mulago National Referral and Teaching Hospital. It is this population, together with other health researchers who are affiliated to the College that utilizes the UpToDate subscription facilitated by Better Evidence to support clinical practice 14.", "This paper explores the uptake of UpToDate among medical students and faculty at Makerere University College of Health Sciences.", "After being approved for participation in the Better Evidence for training program, MakCHS entered into a contract with UpToDate. UpToDate established access to the product through the LAN at the university and its affiliated training facilities in August 2019. Better Evidence team members aided librarians, students, and faculty at MakCHS in learning how to access, register for, and use the tool. The MakCHS librarians then communicated about the tool and built awareness of the tool in their respective institutions through training sessions on campus and messaging.\nUpToDate tracked aggregate usage and searches by registered, logged-in users or users on campus and shared this data with the school through the Better Evidence program every two months. Usage of the open-access information on COVID-19 was not tracked if users were offsite and not logged in. No institutional review board approvals were needed given the nature of this work and the aggregate nature of the data that did not allow any individuals to be identified.\nThe data presented here captured usage information from August 2019 to August 2020 on the following:\nTrending topics sorted by most views—topics that increased in popularity from the prior two month periodMethods used to access the topics—whether users accessed UpToDate via the website on a computer or via the UpToDate app on their smart phones, tablets or iPadsRoles of the users that accessed UpToDateTop five medical topics by views —the most frequently visited topic cards during each two-month periodTop five medical specialties viewed – what specialties the topics viewed fall intoTotal usage by month—how many searches were done\nTrending topics sorted by most views—topics that increased in popularity from the prior two month period\nMethods used to access the topics—whether users accessed UpToDate via the website on a computer or via the UpToDate app on their smart phones, tablets or iPads\nRoles of the users that accessed UpToDate\nTop five medical topics by views —the most frequently visited topic cards during each two-month period\nTop five medical specialties viewed – what specialties the topics viewed fall into\nTotal usage by month—how many searches were done\nData analysis We used Excel to organize the data into tables and graphs to enable us to look at the trends and usage patterns over time. We then grouped the relevant data based on trending topics, access methods, user roles, topic specialties by views, medical topics by views and total usage of the tool by month. Reporting periods are labeled by when the report was received. UpToDate provided reports every two months.\nWe used Excel to organize the data into tables and graphs to enable us to look at the trends and usage patterns over time. We then grouped the relevant data based on trending topics, access methods, user roles, topic specialties by views, medical topics by views and total usage of the tool by month. Reporting periods are labeled by when the report was received. UpToDate provided reports every two months.", "We used Excel to organize the data into tables and graphs to enable us to look at the trends and usage patterns over time. We then grouped the relevant data based on trending topics, access methods, user roles, topic specialties by views, medical topics by views and total usage of the tool by month. Reporting periods are labeled by when the report was received. UpToDate provided reports every two months.", "Trending Topics Table 1 shows the trending topics sorted by increase in views for each two-month reporting period. More recently trending topics have been related to one another. In general, trends show the wide array of topics viewed and how they can change from month to month.\nTrending Topics\nTable 1 shows the trending topics sorted by increase in views for each two-month reporting period. More recently trending topics have been related to one another. In general, trends show the wide array of topics viewed and how they can change from month to month.\nTrending Topics\nAccess Methods Figure 1 shows the number of times the tool was accessed by registered users via the website or the app for each two-month period being reported in the months of October and December 2019, and February, April, June, and August 2020.\nMakCHS: Access methods-Oct and Dec 2019, Feb -Aug 2020\nUsage via the appwas consistently about two to three times more common than usage via the website but both forms of usage followed approximately the same trends. The February 2020 report showed the most usage via both the web (1,326) and the app (5,322) while the December 2019 report showed the lowest usage of any two-month period.\nFigure 1 shows the number of times the tool was accessed by registered users via the website or the app for each two-month period being reported in the months of October and December 2019, and February, April, June, and August 2020.\nMakCHS: Access methods-Oct and Dec 2019, Feb -Aug 2020\nUsage via the appwas consistently about two to three times more common than usage via the website but both forms of usage followed approximately the same trends. The February 2020 report showed the most usage via both the web (1,326) and the app (5,322) while the December 2019 report showed the lowest usage of any two-month period.\nUser roles Table 2 shows the roles of the users who accessed UpToDate by reporting period. People with a range of roles registered for and accessed the tool. There were consistently a higher number of medical students and residents accessing the tool compared to physicians and other user types. February and April reporting periods showed the highest numbers of users accessing the tool across the top three roles, i.e., medical students, residents, and physicians. Physician assistants used the tool much more in the December 2019 reporting period than during any other reporting period.\nMakCHS: User roles that accessed the topics in Oct 2019, Dec 2019, Feb 2020 and Apr 2020\nSource: Better Evidence\nTable 2 shows the roles of the users who accessed UpToDate by reporting period. People with a range of roles registered for and accessed the tool. There were consistently a higher number of medical students and residents accessing the tool compared to physicians and other user types. February and April reporting periods showed the highest numbers of users accessing the tool across the top three roles, i.e., medical students, residents, and physicians. Physician assistants used the tool much more in the December 2019 reporting period than during any other reporting period.\nMakCHS: User roles that accessed the topics in Oct 2019, Dec 2019, Feb 2020 and Apr 2020\nSource: Better Evidence\nMedical specialties by views The topics viewed fall into different specialty areas. The top five topic specialties viewed from October 2019 to August 2020 are shown in Table 3.\nMakCHS: Up-To-Date users by specialty during the months of Oct. 2019, Dec. 2019, Feb. 2020, Apr. 2020 and Jun. 2020\nSource: Better Evidence\nPediatrics, obstetrics and gynecology & women's health registered the most topic hits over the course of the year, while gastroenterology and herpetology received a lot of views during two reporting periods.\nThe topics viewed fall into different specialty areas. The top five topic specialties viewed from October 2019 to August 2020 are shown in Table 3.\nMakCHS: Up-To-Date users by specialty during the months of Oct. 2019, Dec. 2019, Feb. 2020, Apr. 2020 and Jun. 2020\nSource: Better Evidence\nPediatrics, obstetrics and gynecology & women's health registered the most topic hits over the course of the year, while gastroenterology and herpetology received a lot of views during two reporting periods.\nMedical topics by views The top five most viewed medical topics by reporting period are shown in Table 4. The pattern suggests diverse usage. In some reporting periods, there are clear connections between the medical topics viewed, while in other periods there is quite a range of views. In general, the number of views for each specific topic is relatively low compared to the total number of views of all topics.\nTop Five Medical Topics by views\nSource: Better Evidence\nThe top five most viewed medical topics by reporting period are shown in Table 4. The pattern suggests diverse usage. In some reporting periods, there are clear connections between the medical topics viewed, while in other periods there is quite a range of views. In general, the number of views for each specific topic is relatively low compared to the total number of views of all topics.\nTop Five Medical Topics by views\nSource: Better Evidence\nTotal usage by month Total usage of the tool by month is shown in Figure 2. Between August 2019 and September 2019, usage increased by nearly 90%. December 2019 saw the lowest usage while February 2020 saw the highest.\nTotal usage by month: Aug 2019-Aug 2020\nTotal usage of the tool by month is shown in Figure 2. Between August 2019 and September 2019, usage increased by nearly 90%. December 2019 saw the lowest usage while February 2020 saw the highest.\nTotal usage by month: Aug 2019-Aug 2020", "Table 1 shows the trending topics sorted by increase in views for each two-month reporting period. More recently trending topics have been related to one another. In general, trends show the wide array of topics viewed and how they can change from month to month.\nTrending Topics", "Figure 1 shows the number of times the tool was accessed by registered users via the website or the app for each two-month period being reported in the months of October and December 2019, and February, April, June, and August 2020.\nMakCHS: Access methods-Oct and Dec 2019, Feb -Aug 2020\nUsage via the appwas consistently about two to three times more common than usage via the website but both forms of usage followed approximately the same trends. The February 2020 report showed the most usage via both the web (1,326) and the app (5,322) while the December 2019 report showed the lowest usage of any two-month period.", "Table 2 shows the roles of the users who accessed UpToDate by reporting period. People with a range of roles registered for and accessed the tool. There were consistently a higher number of medical students and residents accessing the tool compared to physicians and other user types. February and April reporting periods showed the highest numbers of users accessing the tool across the top three roles, i.e., medical students, residents, and physicians. Physician assistants used the tool much more in the December 2019 reporting period than during any other reporting period.\nMakCHS: User roles that accessed the topics in Oct 2019, Dec 2019, Feb 2020 and Apr 2020\nSource: Better Evidence", "The topics viewed fall into different specialty areas. The top five topic specialties viewed from October 2019 to August 2020 are shown in Table 3.\nMakCHS: Up-To-Date users by specialty during the months of Oct. 2019, Dec. 2019, Feb. 2020, Apr. 2020 and Jun. 2020\nSource: Better Evidence\nPediatrics, obstetrics and gynecology & women's health registered the most topic hits over the course of the year, while gastroenterology and herpetology received a lot of views during two reporting periods.", "The top five most viewed medical topics by reporting period are shown in Table 4. The pattern suggests diverse usage. In some reporting periods, there are clear connections between the medical topics viewed, while in other periods there is quite a range of views. In general, the number of views for each specific topic is relatively low compared to the total number of views of all topics.\nTop Five Medical Topics by views\nSource: Better Evidence", "Total usage of the tool by month is shown in Figure 2. Between August 2019 and September 2019, usage increased by nearly 90%. December 2019 saw the lowest usage while February 2020 saw the highest.\nTotal usage by month: Aug 2019-Aug 2020", "The discussion of findings is presented according to the subheadings discussed in the results section:\nAccess methods data shows that users primarily accessed UpToDate on mobile devices rather than computers. This suggests that users are able and willing to access the digital tool while on the go and not only in a static location. This is promising given the relevance of the tool for clinical care use at the patient bedside where there are often no computers. This also suggests that people are willing to use their own personal devices for learning and consulting the evidence given the school does not provide mobile devices. Furthermore, hospitals in Uganda, where the students and residents do ward rounds do not necessarily have internet connection, so the fact that use occurred on mobile devices suggests that users may have been able to download the UpToDate content and use the offline feature of the tool. The ability to use the tool offline is likely make the use of UpToDate on mobile devices more appealing and could be an important feature when considering use of digital tools in limited-resource settings.\nUser role data is promising and it shows those in their training years at the institution used Up-To-Date most. This finding is encouraging as these are critical years for establishing habits for practice for the years ahead. It is important to note however that the denominator for the various groups users groups varies, which may explain why some user groups appear to use the tool less. For example, the college has only three librarians compared to 2,700 students.\nThe beginning of the semester is characterized by exams and tests, and that is the time when lectures are gaining momentum. Students are therefore usually busy and this could have affected usage. The month of March 2020 was further affected by the lockdown and closure of institutions of higher education in Uganda due to the COVID 19 pandemic. This, coupled with the beginning of semester schedules, could have further affected usage.\nMedical specialties and topics by views data shows that pediatrics, obstetrics and gynecology, infectious diseases, drug information, and gastroenterology and herpetology registered many and continuous viewers throughout the period indicated. While the increased views of the infectious diseases specialty during the month of February 2020 could be attributed to the COVID-19 pandemic, the various topic specialties viewed suggest just how one point-of-care tool can be used in a variety of situations that benefit various categories of users. The data also suggest that these few specialties are especially keen on using information that is up to date to facilitate the application of evidence-based medicine in daily clinical practice. The ability to access COVID-19 information without logging in also may have impacted the data on topics and specialties viewed.\nTotal usage by month data variation can mostly be explained by outside situational factors. For example, MakCHS received access to Up-To-Date in July 2019. Therefore, in August, most potential users were just becoming aware of the availability of the tool, and trainings were just starting. After being introduced to the tool, users started accessing it more. Between July and September, usage increased substantially. Trainings were conducted weekly during this period, suggesting a clear impact between training and usage. Usage then clearly decreased during the holiday break but came back up once classes resumed. In March 2020, MakCHS went into lockdown due to the COVID-19 pandemic and as of August 2020, the students were still under lockdown, although remote work had been eased for a few members of staff. The big difference between usage in February and June 2020 was therefore likely a result of the lockdown and closure of the university, due to the COVID-19 pandemic. There were no trainings or awareness campaigns creation during that time, and students were likely to have less internet access while remote as well.\nIt is probable that, had it not been for the lockdown due to the COVID-19 pandemic at the end of March, usage would have been higher than it was. However, even in the lockdown, the tool is still being accessed and used, though to a smaller extent. This suggests that those who had registered for the tool before the lockdown have continued to use it off campus, likely having formed the habit of use.", "Data suggests that though UpToDate is used in a variety of ways by a variety of user types at the university, usage remains relatively low considering the total number of students, faculty, and potential searches. Therefore, there is a need for continued advocacy and capacity building for the various users of the tool and others like librarians, who promote its uptake and usage. As for the librarians, who promote the uptake and usage of the tool, there is need for further capacity building and awareness. The usage trend, however, suggests that, irrespective of what method of access used to access the tool, users had started embracing the tool before the COVID-19 pandemic and closure of institution. Continued use in such difficult times suggests that there is potential for increased and more consistent use in the future.\nIncreased capacity building and promotion is expected to go a long way in increasing usage of evidence-based digital tools. The Better Evidence for Champions program, launched in August 2020, in which local librarians, faculty members, and ICT professionals are trained to aid in promoting uptake, is one possibility for increasing uptake via trained local advocates. As bi-monthly data collection will continue, further analysis after the launch of the Champions program will be conducted. This project and other similar efforts that aim to promote the use of evidence in clinical care will be critical to improving the quality of care and health outcomes for patients for decades to come.", "The demographic characteristics of the respondents were not captured because of the nature of the study. The data was remotely captured based on log ins in the system, and this could not allow for the capture of data, other than the number of log ins and the topics viewed." ]
[ null, null, null, null, null, null, "methods", null, "results", null, null, null, null, null, null, "discussion", "conclusions", null ]
[ "UpToDate clinical decision support tool", "Makerere University College of Health Sciences, Uganda" ]
Background: Digital point-of-care tools can provide easy-to-use, high-quality information that is regularly updated in line with the science and have been shown to improve diagnostic accuracy and promote quality, efficient care1. The use of such tools is becoming increasingly popular throughout the world. A majority of the increased use is happening in North America, though Asia Pacific is anticipated to be the fastest growing region in adopting these tools 2. An American Medical Association survey showed that 57% of physicians use or plan to use a digital clinical support tool in their work 3. The clinical decision support resource UpToDate is used in over 190 countries and by 90% of US academic medical centers 4. Integrating these tools into practice, particularly in sub-Saharan Africa, is an important component of improving the overall quality of healthcare. However, significant gaps exist in the implementation of these tools into healthcare providers' routine practice in low-resource settings 5. Though medical students in the US are likely to be introduced to these digital tools early in their career 6, the use of digital tools has not gained the same momentum in sub-Saharan African medical education 7. Research conducted by the authors of this study at the University of Rwanda suggests that early introduction of an evidence-based tool to medical students leads to habit formation and use of the tool in later clinical practice 8. However, there has been limited research on this topic, likely due to limited access to such tools whose cost can be prohibitive. Sub-Saharan African medical schools have faced insufficient access to digital clinical resources, with medical schools rating their technological resources somewhat to severely inadequate on average 9. About UpToDate: UpToDate is a clinical decision support resource that can be used on or offline and provides evidence-based information for medical doctors. It can be accessed on digital devices such as computers, tablets, or mobile smart phones in hospitals, clinics, or homes. The tool is authored by 7,100 physicians who continuously synthesize the most recent medical information across specialties into evidence-based recommendations that can support point-of-care decisions. UpToDate is used in over 190 countries and by 90% of US academic medical centers4. Recent research demonstrates that the use of UpToDate was associated with improved quality of care, shorter lengths of stay, and lower mortality rates over a three-year period1. UpToDate has been shown to answer clinical questions effectively, with one study citing an 86% answer retrieval rate for UpToDate 10. In medical education, UpToDate is reported to be a highly effective resource for learning 11 and is preferred by early career doctors 12. UpToDate Content: The tool covers a range of information areas and tools, including: topic updates by specialty, clinical calculators, drug interaction checkers, and search functionality (by disease name, symptom, lab abnormality, procedure, or drug) with filter options (adult, pediatric, or patient graphics). While users can search UpToDate in many languages, the content is available only in English. With the emergence of the COVID-19 pandemic, UpToDate has added new open-access information covering clinical topics, questions, patient education and society guidelines. The pace of discovery and science related to the COVID-19 pandemic as well as the spread of misinformation, coupled with shortages of health workers have only hastened the need for clinicians to have evidence-based and trusted resources to which they can turn for clinical information. Accessing UpToDate: UpToDate is a commercial product available for purchase. Better Evidence, a group at Ariadne Labs – a joint center for health systems innovations at Harvard T.H. Chan School of Public Health and Brigham and Women's Hospital – works to facilitate access to evidence-based clinical resources to health providers serving vulnerable populations who couldn't otherwise afford them. A pilot study run by Better Evidence demonstrated the utility of Up-To-Date among medical students at University of Rwanda8, the group began facilitating donated institutional licenses to medical schools across Africa as part of the Better Evidence for training program. Access was granted to MakCHS in 2019, with plans to add new schools annually. With an institutional license, users can access UpToDate (www.uptodate.com) on the institutional local area network (LAN) and register for an individual account that will allow them to access UpToDate outside the LAN and download the content for use offline. The ability to use the tool offline is a valuable feature in developing countries. About the study site (MakCHS): Established in 1922 as a technical school, Makerere University is one of the oldest and most prestigious English Universities in Africa. The college soon began offering various other courses in medical care, agriculture, veterinary sciences and teacher training. It expanded over the years to become a center for higher education in East Africa in 1935 13. On July 1, 1970, Makerere became an independent national university of the Republic of Uganda, offering undergraduate and postgraduate courses. Makerere University offers not only day but also evening and external study programmes to a student body of about 35,000 undergraduates and 3,000 postgraduates (both Ugandan and foreign). The university transitioned from the faculty-based to the collegiate system in 2011. As of July 2014, it includes 10 constituent colleges including the School of Law, all operating as semi-autonomous units 13. Makerere University College of Health Sciences was transformed from a Faculty of Medicine into a College in 2013. It is comprised of 4 schools (Medicine, Biomedical Sciences, Public Health and Health Sciences) and 27 departments, with a total population of 3,018 students, 249 academic staff, who double as lecturers and health workers, mainly stationed at the Mulago National Referral and Teaching Hospital. It is this population, together with other health researchers who are affiliated to the College that utilizes the UpToDate subscription facilitated by Better Evidence to support clinical practice 14. Objective: This paper explores the uptake of UpToDate among medical students and faculty at Makerere University College of Health Sciences. Methodology: After being approved for participation in the Better Evidence for training program, MakCHS entered into a contract with UpToDate. UpToDate established access to the product through the LAN at the university and its affiliated training facilities in August 2019. Better Evidence team members aided librarians, students, and faculty at MakCHS in learning how to access, register for, and use the tool. The MakCHS librarians then communicated about the tool and built awareness of the tool in their respective institutions through training sessions on campus and messaging. UpToDate tracked aggregate usage and searches by registered, logged-in users or users on campus and shared this data with the school through the Better Evidence program every two months. Usage of the open-access information on COVID-19 was not tracked if users were offsite and not logged in. No institutional review board approvals were needed given the nature of this work and the aggregate nature of the data that did not allow any individuals to be identified. The data presented here captured usage information from August 2019 to August 2020 on the following: Trending topics sorted by most views—topics that increased in popularity from the prior two month periodMethods used to access the topics—whether users accessed UpToDate via the website on a computer or via the UpToDate app on their smart phones, tablets or iPadsRoles of the users that accessed UpToDateTop five medical topics by views —the most frequently visited topic cards during each two-month periodTop five medical specialties viewed – what specialties the topics viewed fall intoTotal usage by month—how many searches were done Trending topics sorted by most views—topics that increased in popularity from the prior two month period Methods used to access the topics—whether users accessed UpToDate via the website on a computer or via the UpToDate app on their smart phones, tablets or iPads Roles of the users that accessed UpToDate Top five medical topics by views —the most frequently visited topic cards during each two-month period Top five medical specialties viewed – what specialties the topics viewed fall into Total usage by month—how many searches were done Data analysis We used Excel to organize the data into tables and graphs to enable us to look at the trends and usage patterns over time. We then grouped the relevant data based on trending topics, access methods, user roles, topic specialties by views, medical topics by views and total usage of the tool by month. Reporting periods are labeled by when the report was received. UpToDate provided reports every two months. We used Excel to organize the data into tables and graphs to enable us to look at the trends and usage patterns over time. We then grouped the relevant data based on trending topics, access methods, user roles, topic specialties by views, medical topics by views and total usage of the tool by month. Reporting periods are labeled by when the report was received. UpToDate provided reports every two months. Data analysis: We used Excel to organize the data into tables and graphs to enable us to look at the trends and usage patterns over time. We then grouped the relevant data based on trending topics, access methods, user roles, topic specialties by views, medical topics by views and total usage of the tool by month. Reporting periods are labeled by when the report was received. UpToDate provided reports every two months. Results: Trending Topics Table 1 shows the trending topics sorted by increase in views for each two-month reporting period. More recently trending topics have been related to one another. In general, trends show the wide array of topics viewed and how they can change from month to month. Trending Topics Table 1 shows the trending topics sorted by increase in views for each two-month reporting period. More recently trending topics have been related to one another. In general, trends show the wide array of topics viewed and how they can change from month to month. Trending Topics Access Methods Figure 1 shows the number of times the tool was accessed by registered users via the website or the app for each two-month period being reported in the months of October and December 2019, and February, April, June, and August 2020. MakCHS: Access methods-Oct and Dec 2019, Feb -Aug 2020 Usage via the appwas consistently about two to three times more common than usage via the website but both forms of usage followed approximately the same trends. The February 2020 report showed the most usage via both the web (1,326) and the app (5,322) while the December 2019 report showed the lowest usage of any two-month period. Figure 1 shows the number of times the tool was accessed by registered users via the website or the app for each two-month period being reported in the months of October and December 2019, and February, April, June, and August 2020. MakCHS: Access methods-Oct and Dec 2019, Feb -Aug 2020 Usage via the appwas consistently about two to three times more common than usage via the website but both forms of usage followed approximately the same trends. The February 2020 report showed the most usage via both the web (1,326) and the app (5,322) while the December 2019 report showed the lowest usage of any two-month period. User roles Table 2 shows the roles of the users who accessed UpToDate by reporting period. People with a range of roles registered for and accessed the tool. There were consistently a higher number of medical students and residents accessing the tool compared to physicians and other user types. February and April reporting periods showed the highest numbers of users accessing the tool across the top three roles, i.e., medical students, residents, and physicians. Physician assistants used the tool much more in the December 2019 reporting period than during any other reporting period. MakCHS: User roles that accessed the topics in Oct 2019, Dec 2019, Feb 2020 and Apr 2020 Source: Better Evidence Table 2 shows the roles of the users who accessed UpToDate by reporting period. People with a range of roles registered for and accessed the tool. There were consistently a higher number of medical students and residents accessing the tool compared to physicians and other user types. February and April reporting periods showed the highest numbers of users accessing the tool across the top three roles, i.e., medical students, residents, and physicians. Physician assistants used the tool much more in the December 2019 reporting period than during any other reporting period. MakCHS: User roles that accessed the topics in Oct 2019, Dec 2019, Feb 2020 and Apr 2020 Source: Better Evidence Medical specialties by views The topics viewed fall into different specialty areas. The top five topic specialties viewed from October 2019 to August 2020 are shown in Table 3. MakCHS: Up-To-Date users by specialty during the months of Oct. 2019, Dec. 2019, Feb. 2020, Apr. 2020 and Jun. 2020 Source: Better Evidence Pediatrics, obstetrics and gynecology & women's health registered the most topic hits over the course of the year, while gastroenterology and herpetology received a lot of views during two reporting periods. The topics viewed fall into different specialty areas. The top five topic specialties viewed from October 2019 to August 2020 are shown in Table 3. MakCHS: Up-To-Date users by specialty during the months of Oct. 2019, Dec. 2019, Feb. 2020, Apr. 2020 and Jun. 2020 Source: Better Evidence Pediatrics, obstetrics and gynecology & women's health registered the most topic hits over the course of the year, while gastroenterology and herpetology received a lot of views during two reporting periods. Medical topics by views The top five most viewed medical topics by reporting period are shown in Table 4. The pattern suggests diverse usage. In some reporting periods, there are clear connections between the medical topics viewed, while in other periods there is quite a range of views. In general, the number of views for each specific topic is relatively low compared to the total number of views of all topics. Top Five Medical Topics by views Source: Better Evidence The top five most viewed medical topics by reporting period are shown in Table 4. The pattern suggests diverse usage. In some reporting periods, there are clear connections between the medical topics viewed, while in other periods there is quite a range of views. In general, the number of views for each specific topic is relatively low compared to the total number of views of all topics. Top Five Medical Topics by views Source: Better Evidence Total usage by month Total usage of the tool by month is shown in Figure 2. Between August 2019 and September 2019, usage increased by nearly 90%. December 2019 saw the lowest usage while February 2020 saw the highest. Total usage by month: Aug 2019-Aug 2020 Total usage of the tool by month is shown in Figure 2. Between August 2019 and September 2019, usage increased by nearly 90%. December 2019 saw the lowest usage while February 2020 saw the highest. Total usage by month: Aug 2019-Aug 2020 Trending Topics: Table 1 shows the trending topics sorted by increase in views for each two-month reporting period. More recently trending topics have been related to one another. In general, trends show the wide array of topics viewed and how they can change from month to month. Trending Topics Access Methods: Figure 1 shows the number of times the tool was accessed by registered users via the website or the app for each two-month period being reported in the months of October and December 2019, and February, April, June, and August 2020. MakCHS: Access methods-Oct and Dec 2019, Feb -Aug 2020 Usage via the appwas consistently about two to three times more common than usage via the website but both forms of usage followed approximately the same trends. The February 2020 report showed the most usage via both the web (1,326) and the app (5,322) while the December 2019 report showed the lowest usage of any two-month period. User roles: Table 2 shows the roles of the users who accessed UpToDate by reporting period. People with a range of roles registered for and accessed the tool. There were consistently a higher number of medical students and residents accessing the tool compared to physicians and other user types. February and April reporting periods showed the highest numbers of users accessing the tool across the top three roles, i.e., medical students, residents, and physicians. Physician assistants used the tool much more in the December 2019 reporting period than during any other reporting period. MakCHS: User roles that accessed the topics in Oct 2019, Dec 2019, Feb 2020 and Apr 2020 Source: Better Evidence Medical specialties by views: The topics viewed fall into different specialty areas. The top five topic specialties viewed from October 2019 to August 2020 are shown in Table 3. MakCHS: Up-To-Date users by specialty during the months of Oct. 2019, Dec. 2019, Feb. 2020, Apr. 2020 and Jun. 2020 Source: Better Evidence Pediatrics, obstetrics and gynecology & women's health registered the most topic hits over the course of the year, while gastroenterology and herpetology received a lot of views during two reporting periods. Medical topics by views: The top five most viewed medical topics by reporting period are shown in Table 4. The pattern suggests diverse usage. In some reporting periods, there are clear connections between the medical topics viewed, while in other periods there is quite a range of views. In general, the number of views for each specific topic is relatively low compared to the total number of views of all topics. Top Five Medical Topics by views Source: Better Evidence Total usage by month: Total usage of the tool by month is shown in Figure 2. Between August 2019 and September 2019, usage increased by nearly 90%. December 2019 saw the lowest usage while February 2020 saw the highest. Total usage by month: Aug 2019-Aug 2020 Discussion: The discussion of findings is presented according to the subheadings discussed in the results section: Access methods data shows that users primarily accessed UpToDate on mobile devices rather than computers. This suggests that users are able and willing to access the digital tool while on the go and not only in a static location. This is promising given the relevance of the tool for clinical care use at the patient bedside where there are often no computers. This also suggests that people are willing to use their own personal devices for learning and consulting the evidence given the school does not provide mobile devices. Furthermore, hospitals in Uganda, where the students and residents do ward rounds do not necessarily have internet connection, so the fact that use occurred on mobile devices suggests that users may have been able to download the UpToDate content and use the offline feature of the tool. The ability to use the tool offline is likely make the use of UpToDate on mobile devices more appealing and could be an important feature when considering use of digital tools in limited-resource settings. User role data is promising and it shows those in their training years at the institution used Up-To-Date most. This finding is encouraging as these are critical years for establishing habits for practice for the years ahead. It is important to note however that the denominator for the various groups users groups varies, which may explain why some user groups appear to use the tool less. For example, the college has only three librarians compared to 2,700 students. The beginning of the semester is characterized by exams and tests, and that is the time when lectures are gaining momentum. Students are therefore usually busy and this could have affected usage. The month of March 2020 was further affected by the lockdown and closure of institutions of higher education in Uganda due to the COVID 19 pandemic. This, coupled with the beginning of semester schedules, could have further affected usage. Medical specialties and topics by views data shows that pediatrics, obstetrics and gynecology, infectious diseases, drug information, and gastroenterology and herpetology registered many and continuous viewers throughout the period indicated. While the increased views of the infectious diseases specialty during the month of February 2020 could be attributed to the COVID-19 pandemic, the various topic specialties viewed suggest just how one point-of-care tool can be used in a variety of situations that benefit various categories of users. The data also suggest that these few specialties are especially keen on using information that is up to date to facilitate the application of evidence-based medicine in daily clinical practice. The ability to access COVID-19 information without logging in also may have impacted the data on topics and specialties viewed. Total usage by month data variation can mostly be explained by outside situational factors. For example, MakCHS received access to Up-To-Date in July 2019. Therefore, in August, most potential users were just becoming aware of the availability of the tool, and trainings were just starting. After being introduced to the tool, users started accessing it more. Between July and September, usage increased substantially. Trainings were conducted weekly during this period, suggesting a clear impact between training and usage. Usage then clearly decreased during the holiday break but came back up once classes resumed. In March 2020, MakCHS went into lockdown due to the COVID-19 pandemic and as of August 2020, the students were still under lockdown, although remote work had been eased for a few members of staff. The big difference between usage in February and June 2020 was therefore likely a result of the lockdown and closure of the university, due to the COVID-19 pandemic. There were no trainings or awareness campaigns creation during that time, and students were likely to have less internet access while remote as well. It is probable that, had it not been for the lockdown due to the COVID-19 pandemic at the end of March, usage would have been higher than it was. However, even in the lockdown, the tool is still being accessed and used, though to a smaller extent. This suggests that those who had registered for the tool before the lockdown have continued to use it off campus, likely having formed the habit of use. Conclusions and recommendations: Data suggests that though UpToDate is used in a variety of ways by a variety of user types at the university, usage remains relatively low considering the total number of students, faculty, and potential searches. Therefore, there is a need for continued advocacy and capacity building for the various users of the tool and others like librarians, who promote its uptake and usage. As for the librarians, who promote the uptake and usage of the tool, there is need for further capacity building and awareness. The usage trend, however, suggests that, irrespective of what method of access used to access the tool, users had started embracing the tool before the COVID-19 pandemic and closure of institution. Continued use in such difficult times suggests that there is potential for increased and more consistent use in the future. Increased capacity building and promotion is expected to go a long way in increasing usage of evidence-based digital tools. The Better Evidence for Champions program, launched in August 2020, in which local librarians, faculty members, and ICT professionals are trained to aid in promoting uptake, is one possibility for increasing uptake via trained local advocates. As bi-monthly data collection will continue, further analysis after the launch of the Champions program will be conducted. This project and other similar efforts that aim to promote the use of evidence in clinical care will be critical to improving the quality of care and health outcomes for patients for decades to come. Limitations of the study: The demographic characteristics of the respondents were not captured because of the nature of the study. The data was remotely captured based on log ins in the system, and this could not allow for the capture of data, other than the number of log ins and the topics viewed.
Background: The use of point-of-care, evidence-based tools is becoming increasingly popular. They can provide easy-touse, high-quality information which is regularly updated and has been shown to improve clinical outcomes. Integrating such tools into clinical practice is an important component of improving the quality of health care. However, because such tools are rarely used in resource-limited settings, there is limited research on uptake especially among medical students. Methods: In partnership with the Better Evidence at Ariadne Labs free access to UpToDate was granted through the MakCHS IP address. On-site librarians facilitated training sessions and spread awareness of the tool. Usage data was aggregated, based on log ins and content views, presented and analyzed using Excel tables and graphs. Results: The data shows evidence of meaningful usage, with 43,043 log ins and 15,591 registrations between August 2019 and August 2020. The most common topics viewed were in obstetrics and gynecology, pediatrics, drug information, and infectious diseases. Access occurred mainly through the mobile phone app. Conclusions: Findings show usage by various user categories, but with inconsistent uptake and low usage. Librarians can draw upon these results to encourage institutions to support uptake of point-of-care tools in clinical practice.
Background: Digital point-of-care tools can provide easy-to-use, high-quality information that is regularly updated in line with the science and have been shown to improve diagnostic accuracy and promote quality, efficient care1. The use of such tools is becoming increasingly popular throughout the world. A majority of the increased use is happening in North America, though Asia Pacific is anticipated to be the fastest growing region in adopting these tools 2. An American Medical Association survey showed that 57% of physicians use or plan to use a digital clinical support tool in their work 3. The clinical decision support resource UpToDate is used in over 190 countries and by 90% of US academic medical centers 4. Integrating these tools into practice, particularly in sub-Saharan Africa, is an important component of improving the overall quality of healthcare. However, significant gaps exist in the implementation of these tools into healthcare providers' routine practice in low-resource settings 5. Though medical students in the US are likely to be introduced to these digital tools early in their career 6, the use of digital tools has not gained the same momentum in sub-Saharan African medical education 7. Research conducted by the authors of this study at the University of Rwanda suggests that early introduction of an evidence-based tool to medical students leads to habit formation and use of the tool in later clinical practice 8. However, there has been limited research on this topic, likely due to limited access to such tools whose cost can be prohibitive. Sub-Saharan African medical schools have faced insufficient access to digital clinical resources, with medical schools rating their technological resources somewhat to severely inadequate on average 9. Conclusions and recommendations: Data suggests that though UpToDate is used in a variety of ways by a variety of user types at the university, usage remains relatively low considering the total number of students, faculty, and potential searches. Therefore, there is a need for continued advocacy and capacity building for the various users of the tool and others like librarians, who promote its uptake and usage. As for the librarians, who promote the uptake and usage of the tool, there is need for further capacity building and awareness. The usage trend, however, suggests that, irrespective of what method of access used to access the tool, users had started embracing the tool before the COVID-19 pandemic and closure of institution. Continued use in such difficult times suggests that there is potential for increased and more consistent use in the future. Increased capacity building and promotion is expected to go a long way in increasing usage of evidence-based digital tools. The Better Evidence for Champions program, launched in August 2020, in which local librarians, faculty members, and ICT professionals are trained to aid in promoting uptake, is one possibility for increasing uptake via trained local advocates. As bi-monthly data collection will continue, further analysis after the launch of the Champions program will be conducted. This project and other similar efforts that aim to promote the use of evidence in clinical care will be critical to improving the quality of care and health outcomes for patients for decades to come.
Background: The use of point-of-care, evidence-based tools is becoming increasingly popular. They can provide easy-touse, high-quality information which is regularly updated and has been shown to improve clinical outcomes. Integrating such tools into clinical practice is an important component of improving the quality of health care. However, because such tools are rarely used in resource-limited settings, there is limited research on uptake especially among medical students. Methods: In partnership with the Better Evidence at Ariadne Labs free access to UpToDate was granted through the MakCHS IP address. On-site librarians facilitated training sessions and spread awareness of the tool. Usage data was aggregated, based on log ins and content views, presented and analyzed using Excel tables and graphs. Results: The data shows evidence of meaningful usage, with 43,043 log ins and 15,591 registrations between August 2019 and August 2020. The most common topics viewed were in obstetrics and gynecology, pediatrics, drug information, and infectious diseases. Access occurred mainly through the mobile phone app. Conclusions: Findings show usage by various user categories, but with inconsistent uptake and low usage. Librarians can draw upon these results to encourage institutions to support uptake of point-of-care tools in clinical practice.
4,632
247
[ 320, 180, 150, 186, 263, 20, 78, 54, 128, 126, 97, 86, 51, 53 ]
18
[ "usage", "topics", "tool", "2019", "medical", "2020", "uptodate", "month", "views", "users" ]
[ "saharan african medical", "clinical support tool", "tools healthcare", "digital clinical resources", "access digital clinical" ]
[CONTENT] UpToDate clinical decision support tool | Makerere University College of Health Sciences, Uganda [SUMMARY]
[CONTENT] UpToDate clinical decision support tool | Makerere University College of Health Sciences, Uganda [SUMMARY]
[CONTENT] UpToDate clinical decision support tool | Makerere University College of Health Sciences, Uganda [SUMMARY]
[CONTENT] UpToDate clinical decision support tool | Makerere University College of Health Sciences, Uganda [SUMMARY]
[CONTENT] UpToDate clinical decision support tool | Makerere University College of Health Sciences, Uganda [SUMMARY]
[CONTENT] UpToDate clinical decision support tool | Makerere University College of Health Sciences, Uganda [SUMMARY]
[CONTENT] Decision Support Systems, Clinical | Diffusion of Innovation | Evidence-Based Medicine | Humans | Meaningful Use | Point-of-Care Systems | Schools, Medical | Uganda [SUMMARY]
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[CONTENT] Decision Support Systems, Clinical | Diffusion of Innovation | Evidence-Based Medicine | Humans | Meaningful Use | Point-of-Care Systems | Schools, Medical | Uganda [SUMMARY]
[CONTENT] Decision Support Systems, Clinical | Diffusion of Innovation | Evidence-Based Medicine | Humans | Meaningful Use | Point-of-Care Systems | Schools, Medical | Uganda [SUMMARY]
[CONTENT] Decision Support Systems, Clinical | Diffusion of Innovation | Evidence-Based Medicine | Humans | Meaningful Use | Point-of-Care Systems | Schools, Medical | Uganda [SUMMARY]
[CONTENT] Decision Support Systems, Clinical | Diffusion of Innovation | Evidence-Based Medicine | Humans | Meaningful Use | Point-of-Care Systems | Schools, Medical | Uganda [SUMMARY]
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[CONTENT] the Better Evidence at | Ariadne Labs | MakCHS IP ||| ||| Excel [SUMMARY]
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[CONTENT] ||| ||| ||| ||| the Better Evidence at | Ariadne Labs | MakCHS IP ||| ||| Excel ||| ||| 43,043 | 15,591 | August 2019 | August 2020 ||| ||| ||| ||| Librarians [SUMMARY]
[CONTENT] ||| ||| ||| ||| the Better Evidence at | Ariadne Labs | MakCHS IP ||| ||| Excel ||| ||| 43,043 | 15,591 | August 2019 | August 2020 ||| ||| ||| ||| Librarians [SUMMARY]
Relationships between type 2 diabetes, cell dysfunction, and redox signaling: A meta-analysis of single-cell gene expression of human pancreatic α- and β-cells.
34725923
Type 2 diabetes mellitus (T2DM) is a chronic disease characterized by insulin resistance and failure of β-cells to meet the metabolic demand for insulin. Recent advances in single-cell RNA sequencing (sc-RNA-Seq) have allowed for in-depth studies to further understand the underlying cellular mechanisms of T2DM. In β-cells, redox signaling is critical for insulin production. A meta-analysis of human pancreas islet sc-RNA-Seq data was conducted to evaluate how T2DM may modify the transcriptomes of α- and β-cells.
BACKGROUND
Annotated sc-RNA-Seq data from six studies of human pancreatic islets from metabolically healthy and donors with T2DM were collected. α- and β-cells, subpopulations of proliferating α-cells, immature, and senescent β-cells were identified based on expression levels of key marker genes. Each dataset was analyzed individually before combining, using weighted comparisons. Pathways of significant genes and individual redox-related gene expression were then evaluated to further understand the role that redox signaling may play in T2DM-induced β-cell dysfunction.
METHODS
α- and β-cells from T2DM donors modified genes involved in energy metabolism, immune response, autophagy, and cellular stress. α- and β-cells also had an increased nuclear factor erythroid 2-related factor 2 (NFE2L2)-mediated antioxidant response in T2DM donors. The proportion of immature and senescent β-cells increased in T2DM donors, and in immature and senescent β-cells, genes regulated by NFE2L2 were further upregulated.
RESULTS
These findings suggest that NFE2L2 plays a role in β-cell maturation and dysfunction. Redox singling maybe a key pathway for β-cell restoration and T2DM therapeutics.
CONCLUSIONS
[ "Diabetes Mellitus, Type 2", "Humans", "Insulin-Secreting Cells", "Oxidation-Reduction", "Pancreas", "Transcriptome" ]
8746116
INTRODUCTION
According to estimates from the International Diabetes Federation atlas, 463 million people had diabetes worldwide in 2019, and this number is expected to climb to 700 million by 2045. 1 , 2 Type 2 diabetes mellitus (T2DM) is a chronic disease characterized by insulin (INS) resistance and severe β‐cell dysfunction. β‐cells, along with α, δ, ε, and υ cells make up the islets of Langerhans of the endocrine pancreas and are essential for maintaining glucose homeostasis. β‐cells produce INS in response to elevated blood glucose, and α‐cells secrete glucagon (GCG), which releases glucose from the liver and lipids from adipose tissue. 3 A key feature of T2DM is the failure of β‐cells to meet the metabolic demand for INS, and recent advances in single‐cell RNA sequencing (sc‐RNA‐Seq) have allowed for further understanding of the underlying mechanisms of islet cell maturation, maintenance, and dysfunction in T2DM. 4 Many sc‐RNA‐Seq studies have found variable transcript enrichment across different islet cell types and rare cell subpopulations that can only be possible through sc‐RNA‐Seq. 5 , 6 , 7 , 8 , 9 , 10 , 11 , 12 In T2DM, α‐cells may transdifferentiate to β‐cells, under an extreme demand for INS, and also have been shown to increase proliferation via an elevated inflammatory response in T2DM and obesity. 13 , 14 , 15 β‐cells from T2DM donors have been found to have altered β‐cell immune response, cell cycle pathways, transcription factor expression, energy metabolism, and protein synthesis in several sc‐RNA‐Seq studies. 10 , 11 , 12 As reviewed by Salinno et al, 16 subpopulations of β‐cells exist in a balance of proliferative capacity (immature cells) 17 or INS production (mature cells). 18 The ratio of mature and immature β‐cells is thought to reflect the proliferative capability of β‐cells. 19 Immature β‐cells display high basal levels INS; however, it is unclear if they are capable of glucose‐stimulated INS secretion. 20 Under healthy conditions, only a small pool of β‐cells retain proliferative capabilities. 21 β‐cell proliferation has been shown to increase with INS resistance in obesity, 22 and in the present study, the transcriptomes of subpopulations of proliferating α‐cells, immature, and senescent β‐cells will be evaluated in the context of T2DM. A key feature in the pathophysiology of T2DM is glucotoxicity and lipotoxicity, which generate high amounts of reactive oxygen species (ROS) and oxidative stress. ROS generation, mitochondrial dysfunction, endoplasmic reticulum (ER) stress, and autophagy are all implicated in the development of T2DM and can impair β‐cell function. 23 , 24 β‐cells maintain low levels of antioxidant defenses and an oxidized redox state, which is necessary to form the three disulfide bonds in INS. 25 , 26 , 27 ROS also act as signaling molecules to guide cell fate and maturation in β‐cells. 28 , 29 , 30 The induction of antioxidant enzymes via nuclear factor erythroid 2‐related factor 2 (NFE2L2) provides protection from oxidative damage; however, induction of NFE2L2 may also blunt glucose‐triggered ROS signaling, thus reducing INS secretion. 30 Recently an alternative pathway of NFE2L2 activation has also been described, where blockage of autophagosome‐lysosome fusion leads to sequestosome 1 (SQSTM1)‐mediated sequestration of Kelch‐like epichlorohydrin (ECH)‐associated protein 1 (KEAP1) into autophagosomes, preventing NFE2L2 ubiquitylation and degradation. 31 In the study herein, a meta‐analysis of sc‐RNA‐Seq data from six studies from human pancreas islets will be conducted to evaluate how T2DM may modify the transcriptomes of several subpopulations of α‐ and β‐cells. The analysis in total represents sc‐RNA‐Seq data from 47 metabolically healthy human islet donors and 23 donors with T2DM. Subpopulations of proliferating α‐cells, immature, and senescent β‐cells will be evaluated using pathway analysis, and gene targets in the NFE2L2 pathway will be evaluated in relation to these subpopulations of α‐ and β‐cells. With this analysis, we hope to further understand the role that NFE2L2 may play in T2DM‐induced β‐cell dysfunction.
METHODS
Inclusion criteria Studies were selected based on PubMed and Google Scholar searches for the key terms “single‐cell sequencing,” “RNA sequencing,” “type 2 diabetes,” and “human pancreas or islets.” To be included in the meta‐analysis, studies had to include (1) single‐cell transcriptomic sequencing with (2) human pancreatic islet samples, (3) include metabolically healthy and diabetic donors with T2DM, and (4) provide publicly available annotation data. Publicly available single‐cell RNA‐seq datasets were downloaded from the Gene Expression Omnibus (GEO) repository 32 or ArrayExpress 33 (European Bioinformatics Institute, EBI), and Table 1 contains study details and accession numbers for selected studies. Before datasets were analyzed, all data were converted to the standard unit of transcripts per kilobase million (TPM). Counts per million reads mapped (CPM) were first converted to reads per kilobase million (RPKM) by dividing CPM by the gene length in kilobase. RPKM values were then converted to TPM by dividing RPKM by the sum of RPKM per sample and multiplying by a 106 scaling factor. Dataset accession numbers and sequencing methods 9 human islets: 3 healthy 2 T2DM 1 T1DM a 2 child a Read alignment and quantification performed using RNA‐Seq Unified Mapper (RUM) 10 human islets: 6 healthy 4 T2DM Aligned to human genome (hg19) using STAR Annotated with RefSeq Quantified using rpkmforgenes 18 human islets: 12 healthy 6 T2DM Aligned to human genome (GRCh37) using CLC Bio Genomics Workbench 4 human islets: 3 healthy 1 T2DM Read 1 was used for identification Read 2 was mapped to a ref genome using Bowtie Alignments were filtered using UMI 8 human islets: 5 healthy 3 T2DM Aligned to the human genome (GRCh37) using Bowtie 2 Expression levels were estimated using RSEM 28 human islets: 18 healthy 7 T2DM 3 T1DM a Aligned to the human genome (GRCh38) using STAR Gene counts determined using HTSeq‐count Abbreviations: CPM, normalized counts per million; EBI, European Bioinformatics Institute; FACS, fluorescence‐activated cell sorting; GEO, Gene Expression Omnibus; RPKM, reads per kilobase of transcript per million mapped reads; T1DM, type 1 diabetes mellitus; T2DM, type 2 diabetes mellitus; TPM, transcripts per kilobase million. Donors were excluded. Studies were selected based on PubMed and Google Scholar searches for the key terms “single‐cell sequencing,” “RNA sequencing,” “type 2 diabetes,” and “human pancreas or islets.” To be included in the meta‐analysis, studies had to include (1) single‐cell transcriptomic sequencing with (2) human pancreatic islet samples, (3) include metabolically healthy and diabetic donors with T2DM, and (4) provide publicly available annotation data. Publicly available single‐cell RNA‐seq datasets were downloaded from the Gene Expression Omnibus (GEO) repository 32 or ArrayExpress 33 (European Bioinformatics Institute, EBI), and Table 1 contains study details and accession numbers for selected studies. Before datasets were analyzed, all data were converted to the standard unit of transcripts per kilobase million (TPM). Counts per million reads mapped (CPM) were first converted to reads per kilobase million (RPKM) by dividing CPM by the gene length in kilobase. RPKM values were then converted to TPM by dividing RPKM by the sum of RPKM per sample and multiplying by a 106 scaling factor. Dataset accession numbers and sequencing methods 9 human islets: 3 healthy 2 T2DM 1 T1DM a 2 child a Read alignment and quantification performed using RNA‐Seq Unified Mapper (RUM) 10 human islets: 6 healthy 4 T2DM Aligned to human genome (hg19) using STAR Annotated with RefSeq Quantified using rpkmforgenes 18 human islets: 12 healthy 6 T2DM Aligned to human genome (GRCh37) using CLC Bio Genomics Workbench 4 human islets: 3 healthy 1 T2DM Read 1 was used for identification Read 2 was mapped to a ref genome using Bowtie Alignments were filtered using UMI 8 human islets: 5 healthy 3 T2DM Aligned to the human genome (GRCh37) using Bowtie 2 Expression levels were estimated using RSEM 28 human islets: 18 healthy 7 T2DM 3 T1DM a Aligned to the human genome (GRCh38) using STAR Gene counts determined using HTSeq‐count Abbreviations: CPM, normalized counts per million; EBI, European Bioinformatics Institute; FACS, fluorescence‐activated cell sorting; GEO, Gene Expression Omnibus; RPKM, reads per kilobase of transcript per million mapped reads; T1DM, type 1 diabetes mellitus; T2DM, type 2 diabetes mellitus; TPM, transcripts per kilobase million. Donors were excluded. Cell type annotation All sequenced cells were classified based on key marker genes. These markers include the major hormone genes (GCG, INS, somatostatin [SST], ghrelin [GHRL], and pancreatic polypeptide [PP]), genes that encode acinar cell‐specific digestive enzymes (serine protease 1 [PRSS1] and pancreatic lipase [PNLIP]), and genes associated with ductal cells (i.e., keratin 19 [KRT19], secreted phosphoprotein 1 [SPP1], and hepatocyte nuclear factor 1β [HNF1B]). Expression level of markers had to be exclusive and robust, each cell type was then rendered in a “violin plot,” and if cells conflicted with other expression markers, they were excluded. All sequenced cells were classified based on key marker genes. These markers include the major hormone genes (GCG, INS, somatostatin [SST], ghrelin [GHRL], and pancreatic polypeptide [PP]), genes that encode acinar cell‐specific digestive enzymes (serine protease 1 [PRSS1] and pancreatic lipase [PNLIP]), and genes associated with ductal cells (i.e., keratin 19 [KRT19], secreted phosphoprotein 1 [SPP1], and hepatocyte nuclear factor 1β [HNF1B]). Expression level of markers had to be exclusive and robust, each cell type was then rendered in a “violin plot,” and if cells conflicted with other expression markers, they were excluded. Identification of subpopulations of α‐ and β‐cells Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual‐specificity tyrosine phosphorylation‐regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3β (GSK3B), as previously described for proliferating α‐cells. 9 Immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, macrophage‐activating factor (MAF) basic region‐leucine zipper (bZIP) transcription factor B (MAFB) and/or neuropeptide Y (NPY), over markers for mature β‐cells (MAF bZIP transcription factor A [MAFA], synaptotagmin 4 [SYT4], NK6 homeobox 1 [NKX6‐1], urocortin 3 [UNC3], pancreatic and duodenal homeobox 1 [PDX‐1], and glucose transporter 2 [SLC2A2 or GLUT2]) as reviewed by Salinno et al. 16 β‐cells were also defined as senescent if they had robust expression of senescent markers, INS‐like growth factor 1 receptor (IGF1R), and cyclin‐dependent kinase inhibitor 1A and 2A (CDKN1A and CDKN2A). 16 If cells did not have robust expression of any markers, cells were considered unassigned. Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual‐specificity tyrosine phosphorylation‐regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3β (GSK3B), as previously described for proliferating α‐cells. 9 Immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, macrophage‐activating factor (MAF) basic region‐leucine zipper (bZIP) transcription factor B (MAFB) and/or neuropeptide Y (NPY), over markers for mature β‐cells (MAF bZIP transcription factor A [MAFA], synaptotagmin 4 [SYT4], NK6 homeobox 1 [NKX6‐1], urocortin 3 [UNC3], pancreatic and duodenal homeobox 1 [PDX‐1], and glucose transporter 2 [SLC2A2 or GLUT2]) as reviewed by Salinno et al. 16 β‐cells were also defined as senescent if they had robust expression of senescent markers, INS‐like growth factor 1 receptor (IGF1R), and cyclin‐dependent kinase inhibitor 1A and 2A (CDKN1A and CDKN2A). 16 If cells did not have robust expression of any markers, cells were considered unassigned. Differential and meta‐analyses To account for changes within datasets, each dataset was analyzed individually. Within each dataset, a two‐tailed Student's t test and a permutation‐based false discovery rate calculation were used for statistical evaluation of differentially abundant genes for each comparison. P values from each dataset were then combined using the mean of each dataset weighted for sample sizes, and a P < .05 was considered significant. This technique was selected as it allows for the combination of results from heterogeneous analyses directly. As P value‐based combination loses the directionality of the expression patterns, fold change values for each dataset were then also combined using the mean of each dataset weighted for sample sizes. Genes not shared across datasets were given values of 1 for both P value and fold change calculations. To account for changes within datasets, each dataset was analyzed individually. Within each dataset, a two‐tailed Student's t test and a permutation‐based false discovery rate calculation were used for statistical evaluation of differentially abundant genes for each comparison. P values from each dataset were then combined using the mean of each dataset weighted for sample sizes, and a P < .05 was considered significant. This technique was selected as it allows for the combination of results from heterogeneous analyses directly. As P value‐based combination loses the directionality of the expression patterns, fold change values for each dataset were then also combined using the mean of each dataset weighted for sample sizes. Genes not shared across datasets were given values of 1 for both P value and fold change calculations. Pathway analysis and individual redox gene expression analysis Significant genes (p value <0.05) and genes with a fold change greater or lower than 20% (ratio of at least −1.2 or 1.2) were selected for pathway analysis using Ingenuity Pathway Analysis (IPA) QIAGEN Bioinformatics (Redwood City, California) to map statistically significant genes to the pathways and biological processes. To explore key genes related to redox signaling, TPM values from all datasets were combined, and a Kruskal‐Wallis nonparametric test followed by Dunnʼs post hoc test for multiple comparisons was performed using GraphPad Prism v9.1.0 (La Jolla, California) software. Significance was considered to be p < 0.05. Significant genes (p value <0.05) and genes with a fold change greater or lower than 20% (ratio of at least −1.2 or 1.2) were selected for pathway analysis using Ingenuity Pathway Analysis (IPA) QIAGEN Bioinformatics (Redwood City, California) to map statistically significant genes to the pathways and biological processes. To explore key genes related to redox signaling, TPM values from all datasets were combined, and a Kruskal‐Wallis nonparametric test followed by Dunnʼs post hoc test for multiple comparisons was performed using GraphPad Prism v9.1.0 (La Jolla, California) software. Significance was considered to be p < 0.05.
RESULTS
Cell type identification α‐ and β‐cells were identified based on exclusive and robust expression of major hormone genes (GCG and INS). Expression levels of all the gene markers were rendered in a “violin plot” (Figure 1A), and if cells had conflicts with other expression markers, they were excluded. After cell types were assigned, 25 genes enriched in α‐ and β‐cells were also evaluated. 8 For α‐cells, there was higher expression in α‐cell markers, such as transthyretin (TTR) and signal sequence receptor subunit 4 (SSR4), compared to other cell types (Figure 1B.i). For β‐cells, there was higher expression in β‐cell markers, such as islet amyloid polypeptide (IAPP) and adenylate cyclase‐activating polypeptide 1 (ADCYAP1), compared to other cells. (Figure 1B.ii). Overall, 7036 α‐cells were identified (2.6% of the α‐cells were from Wang et al, 15.0% from Segertolpe et al, 11.8% from Xin et al, 33.1% from Baron et al, 3.4% from Lawlor et al, and 34.2% from Camunas‐Soler et al), and 6029 β‐cells were identified (1.5% from Wang et al, 7.2% from Segertolpe et al, 6.4% from Xin et al, 41.9% from Baron et al, 4.4% from Lawlor et al, and 38.7% from Camunas‐Soler et al) (Figure 1C). Cell type identification of integrated dataset s. (A) Violin plot displaying the log‐transformed transcripts per million (TPM) of key gene markers in α‐(blue) and β‐(red) cells. Log‐transformed TPM of genes abundantly expressed in α‐(B.i) and β‐(B.ii) cells are also presented, where each point represents the weighted average among each dataset to account for sample size. (C) The number of cells identified in each dataset based on exclusive and robust expression of key gene markers, number of cells from healthy and diabetic samples are also reported for α‐and β‐cells α‐ and β‐cells were identified based on exclusive and robust expression of major hormone genes (GCG and INS). Expression levels of all the gene markers were rendered in a “violin plot” (Figure 1A), and if cells had conflicts with other expression markers, they were excluded. After cell types were assigned, 25 genes enriched in α‐ and β‐cells were also evaluated. 8 For α‐cells, there was higher expression in α‐cell markers, such as transthyretin (TTR) and signal sequence receptor subunit 4 (SSR4), compared to other cell types (Figure 1B.i). For β‐cells, there was higher expression in β‐cell markers, such as islet amyloid polypeptide (IAPP) and adenylate cyclase‐activating polypeptide 1 (ADCYAP1), compared to other cells. (Figure 1B.ii). Overall, 7036 α‐cells were identified (2.6% of the α‐cells were from Wang et al, 15.0% from Segertolpe et al, 11.8% from Xin et al, 33.1% from Baron et al, 3.4% from Lawlor et al, and 34.2% from Camunas‐Soler et al), and 6029 β‐cells were identified (1.5% from Wang et al, 7.2% from Segertolpe et al, 6.4% from Xin et al, 41.9% from Baron et al, 4.4% from Lawlor et al, and 38.7% from Camunas‐Soler et al) (Figure 1C). Cell type identification of integrated dataset s. (A) Violin plot displaying the log‐transformed transcripts per million (TPM) of key gene markers in α‐(blue) and β‐(red) cells. Log‐transformed TPM of genes abundantly expressed in α‐(B.i) and β‐(B.ii) cells are also presented, where each point represents the weighted average among each dataset to account for sample size. (C) The number of cells identified in each dataset based on exclusive and robust expression of key gene markers, number of cells from healthy and diabetic samples are also reported for α‐and β‐cells α‐cell gene expression profiles with T2DM From the meta‐analysis, 285 genes were differentially expressed in α‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA. Top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over‐ and underexpressed genes are listed in Table 2. Overall, α‐cells from T2DM donors modified genes involved in energy regulation, autophagy, cell cycle, and xenobiotic metabolism. Additionally, several interleukins were induced in α‐cells from T2DM donors, and several hormone signaling pathways were also upregulated, such as β‐estradiol and, as expected, INS. The INS secretion signaling pathway was also induced in α‐cells from T2DM donors. Of interest to the present study, NFE2L2 was also induced in α‐cells from T2DM donors. Several of the top differentially expressed genes (DEGs) were related to energy metabolism, immunity, and peptide hormone metabolism. Type 2 diabetes‐driven transcriptomic changes in α‐cells From the meta‐analysis, 285 genes were differentially expressed in α‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA. Top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over‐ and underexpressed genes are listed in Table 2. Overall, α‐cells from T2DM donors modified genes involved in energy regulation, autophagy, cell cycle, and xenobiotic metabolism. Additionally, several interleukins were induced in α‐cells from T2DM donors, and several hormone signaling pathways were also upregulated, such as β‐estradiol and, as expected, INS. The INS secretion signaling pathway was also induced in α‐cells from T2DM donors. Of interest to the present study, NFE2L2 was also induced in α‐cells from T2DM donors. Several of the top differentially expressed genes (DEGs) were related to energy metabolism, immunity, and peptide hormone metabolism. Type 2 diabetes‐driven transcriptomic changes in α‐cells Proliferating α‐cell gene expression profiles Forty‐nine proliferating α‐cells were identified from the pooled dataset by exclusive and robust expression of MKI67 vs DYRK1A and GSK3B, and if none of the target genes were detected, the α‐cell was considered unassigned (Figure 2A). A greater percentage of α‐cells from healthy donors (57.59%) were unassigned as compared to α‐cells from T2DM donors (40.69%), and less than 1% of α‐cells were identified as proliferating in the pooled dataset (Figure 2B). Although not significant, the portion of proliferating α‐cells from T2DM donors (0.83%) was greater than proliferating α‐cells from healthy donors (0.63%) (Figure 2C). There were 75 DEGs in nonproliferating α‐cells from T2DM donors, and there were 82 DEGs in proliferating α‐cells from T2DM donors (Figure 2D ). Carboxypeptidase E (CPE) and neuropeptide‐like protein (C4orf48) were the only common DEGs in proliferating and nonproliferating α‐cells from T2DM donors and are involved in the biosynthesis of neuropeptides and peptide hormones. There were 106 DEGs in proliferating vs nonproliferating α‐cells from healthy donors, and 7 DEGs from T2DM donors. Top DEGs are listed in Figure 2E. In proliferating vs nonproliferating α‐cells from T2DM donors, top overexpressed genes included MKI67, a proliferation marker. Most of the top overexpressed genes in proliferating vs nonproliferating α‐cells from both healthy and T2DM donors are related to cell division, such as cell division cycle associated 8 (CDCA8). In the pathway analysis (Figure 2F), nonproliferating α‐cells from T2DM vs healthy donors repressed the coronavirus pathogenesis pathway. Proliferating α‐cells from T2DM vs healthy donors induced the INS secretion signaling pathway and sirtuin signaling pathway similar to results in Table 2. In proliferating α‐cells from healthy donors, many of the modulated pathways were related to cell replication, Rho signaling, and in the upstream regulator analysis (Figure 2G), several regulators related to cell proliferation were upregulated, such as proto‐oncogene, BHLH transcription factor (MYC). As expected, since the estrogen receptor signaling pathway is induced in proliferating vs nonproliferating α‐cells from healthy donors, many of the upstream regulators are related to estrogen signaling. NFE2L2 signaling was induced in proliferating α‐cells from healthy donors. In nonproliferating α‐cells from T2DM donors, NFE2L2 signaling was repressed; however, in proliferating α‐cells from T2DM vs healthy donors, NFE2L2 signaling was induced. Proliferating α‐cell gene expression. (A) Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual specificity tyrosine phosphorylation regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3 β‐(GSK3B). (B,C) A greater percentage of α‐cells from healthy samples (57.59%) were unassigned as compared to T2DM samples (40.69%), X2 (2, N = 7036) = 176.21, P < .00001, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and proliferation state. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤−1.5), and (G) upstream regulators (≥2.25 or ≤−2.25) Forty‐nine proliferating α‐cells were identified from the pooled dataset by exclusive and robust expression of MKI67 vs DYRK1A and GSK3B, and if none of the target genes were detected, the α‐cell was considered unassigned (Figure 2A). A greater percentage of α‐cells from healthy donors (57.59%) were unassigned as compared to α‐cells from T2DM donors (40.69%), and less than 1% of α‐cells were identified as proliferating in the pooled dataset (Figure 2B). Although not significant, the portion of proliferating α‐cells from T2DM donors (0.83%) was greater than proliferating α‐cells from healthy donors (0.63%) (Figure 2C). There were 75 DEGs in nonproliferating α‐cells from T2DM donors, and there were 82 DEGs in proliferating α‐cells from T2DM donors (Figure 2D ). Carboxypeptidase E (CPE) and neuropeptide‐like protein (C4orf48) were the only common DEGs in proliferating and nonproliferating α‐cells from T2DM donors and are involved in the biosynthesis of neuropeptides and peptide hormones. There were 106 DEGs in proliferating vs nonproliferating α‐cells from healthy donors, and 7 DEGs from T2DM donors. Top DEGs are listed in Figure 2E. In proliferating vs nonproliferating α‐cells from T2DM donors, top overexpressed genes included MKI67, a proliferation marker. Most of the top overexpressed genes in proliferating vs nonproliferating α‐cells from both healthy and T2DM donors are related to cell division, such as cell division cycle associated 8 (CDCA8). In the pathway analysis (Figure 2F), nonproliferating α‐cells from T2DM vs healthy donors repressed the coronavirus pathogenesis pathway. Proliferating α‐cells from T2DM vs healthy donors induced the INS secretion signaling pathway and sirtuin signaling pathway similar to results in Table 2. In proliferating α‐cells from healthy donors, many of the modulated pathways were related to cell replication, Rho signaling, and in the upstream regulator analysis (Figure 2G), several regulators related to cell proliferation were upregulated, such as proto‐oncogene, BHLH transcription factor (MYC). As expected, since the estrogen receptor signaling pathway is induced in proliferating vs nonproliferating α‐cells from healthy donors, many of the upstream regulators are related to estrogen signaling. NFE2L2 signaling was induced in proliferating α‐cells from healthy donors. In nonproliferating α‐cells from T2DM donors, NFE2L2 signaling was repressed; however, in proliferating α‐cells from T2DM vs healthy donors, NFE2L2 signaling was induced. Proliferating α‐cell gene expression. (A) Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual specificity tyrosine phosphorylation regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3 β‐(GSK3B). (B,C) A greater percentage of α‐cells from healthy samples (57.59%) were unassigned as compared to T2DM samples (40.69%), X2 (2, N = 7036) = 176.21, P < .00001, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and proliferation state. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤−1.5), and (G) upstream regulators (≥2.25 or ≤−2.25) β‐cell gene expression profiles with T2DM From our meta‐analysis, 286 genes were differentially expressed in β‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA, and top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over and underexpressed genes are listed in Table 3. Overall, β‐cells from T2DM donors modified genes involved in pathways involved in energy regulation, autophagy, cell cycle, and hormone signaling pathways. As expected with T2DM, the INS secretion signaling pathway was also induced in β‐cells from T2DM donors. Again, of interest to the present study, NFE2L2 was induced in β‐cells from T2DM donors. Top underexpressed genes include several proteins involved in protein metabolism. IAPP, a β‐cell hormone that acts as a satiation signal, is underexpressed in β‐cells from T2DM donors. Top overexpressed genes also included SIX homeobox 3 (SIX3). SIX3 represses Wnt activity and activates the sonic hedgehog gene (SHH), and both pathways are involved in β‐cell proliferation and differentiation. 34 , 35 , 36 Type 2 diabetes‐driven transcriptomic changes in β‐cells From our meta‐analysis, 286 genes were differentially expressed in β‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA, and top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over and underexpressed genes are listed in Table 3. Overall, β‐cells from T2DM donors modified genes involved in pathways involved in energy regulation, autophagy, cell cycle, and hormone signaling pathways. As expected with T2DM, the INS secretion signaling pathway was also induced in β‐cells from T2DM donors. Again, of interest to the present study, NFE2L2 was induced in β‐cells from T2DM donors. Top underexpressed genes include several proteins involved in protein metabolism. IAPP, a β‐cell hormone that acts as a satiation signal, is underexpressed in β‐cells from T2DM donors. Top overexpressed genes also included SIX homeobox 3 (SIX3). SIX3 represses Wnt activity and activates the sonic hedgehog gene (SHH), and both pathways are involved in β‐cell proliferation and differentiation. 34 , 35 , 36 Type 2 diabetes‐driven transcriptomic changes in β‐cells Gene expression profiles of immature β‐cells A total of 2698 immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, MAFB and/or NPY vs markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, SLC2A2) (Figure 3A). 16 The portion of immature β‐cells from T2DM donors (49.1%) was greater than immature β‐cells from healthy donors (43.2%) (Figure 3B). There were 247 DEGs in mature β‐cells from T2DM vs healthy donors, and there were 70 DEGs in immature β‐cells from T2DM vs healthy donors (Figure 3C). There were 20 common DEGs in both mature and immature β‐cells from T2DM vs healthy donors; however, 5 of those genes were induced in mature but decreased in immature β‐cells from T2DM donors. In healthy donors, there were 15 DEGs in immature vs mature β‐cells, and in T2DM donors, there was 1 DEG in immature vs mature β‐cells. NPY, a marker of β‐cell immaturity, was overexpressed in mature vs immature β‐cells in healthy donors; interestingly, NPY was also overexpressed in immature β‐cells from T2DM vs healthy donors (Figure 3D). Similarly, brain‐expressed X‐linked 1 (BEX1), a top overexpressed gene in immature vs mature β‐cells from healthy donors, was also induced in immature β‐cells from T2DM vs healthy donors. Another top overexpressed gene in immature vs mature β‐cells in healthy donors was glutathione S‐transferase omega 1 (GSTO1), a NFE2L2 target gene that activates NF‐κB. 37 The only DEG in immature vs mature β‐cells from T2DM donors was MAFB, the other maker of β‐cell immaturity. In the pathway analysis, as expected, mature and immature β‐cells from T2DM vs healthy donors had modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways (Figure 3E,F). There were no pathway changes in mature vs immature β‐cells. However, in the upstream regulator analysis, NFE2L2 signaling and STK11 (serine threonine kinase 11), a tumor suppressor, was activated in mature β‐cells but downregulated in immature β‐cells from T2DM donors. In immature vs mature β‐cells from healthy donors, MYC signaling is induced. 38 Mature and Immature β‐cell gene expression. (A) Immature β‐cell was defined by exclusive and robust expression of MAFB and/or NPY over markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, and SLC2A2). (B) A greater percentage of β‐cells from T2DM samples (49.1%) were defined as immature as compared to healthy samples (43.2%), X2 (2, N = 6028) = 16.29, P = .0003, with Bonferroni correction. (C) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and maturity. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (D) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (E) canonical pathways (≥1.5 or ≤−1.5), and (F) upstream regulators (≥2.25 or ≤−2.25) A total of 2698 immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, MAFB and/or NPY vs markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, SLC2A2) (Figure 3A). 16 The portion of immature β‐cells from T2DM donors (49.1%) was greater than immature β‐cells from healthy donors (43.2%) (Figure 3B). There were 247 DEGs in mature β‐cells from T2DM vs healthy donors, and there were 70 DEGs in immature β‐cells from T2DM vs healthy donors (Figure 3C). There were 20 common DEGs in both mature and immature β‐cells from T2DM vs healthy donors; however, 5 of those genes were induced in mature but decreased in immature β‐cells from T2DM donors. In healthy donors, there were 15 DEGs in immature vs mature β‐cells, and in T2DM donors, there was 1 DEG in immature vs mature β‐cells. NPY, a marker of β‐cell immaturity, was overexpressed in mature vs immature β‐cells in healthy donors; interestingly, NPY was also overexpressed in immature β‐cells from T2DM vs healthy donors (Figure 3D). Similarly, brain‐expressed X‐linked 1 (BEX1), a top overexpressed gene in immature vs mature β‐cells from healthy donors, was also induced in immature β‐cells from T2DM vs healthy donors. Another top overexpressed gene in immature vs mature β‐cells in healthy donors was glutathione S‐transferase omega 1 (GSTO1), a NFE2L2 target gene that activates NF‐κB. 37 The only DEG in immature vs mature β‐cells from T2DM donors was MAFB, the other maker of β‐cell immaturity. In the pathway analysis, as expected, mature and immature β‐cells from T2DM vs healthy donors had modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways (Figure 3E,F). There were no pathway changes in mature vs immature β‐cells. However, in the upstream regulator analysis, NFE2L2 signaling and STK11 (serine threonine kinase 11), a tumor suppressor, was activated in mature β‐cells but downregulated in immature β‐cells from T2DM donors. In immature vs mature β‐cells from healthy donors, MYC signaling is induced. 38 Mature and Immature β‐cell gene expression. (A) Immature β‐cell was defined by exclusive and robust expression of MAFB and/or NPY over markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, and SLC2A2). (B) A greater percentage of β‐cells from T2DM samples (49.1%) were defined as immature as compared to healthy samples (43.2%), X2 (2, N = 6028) = 16.29, P = .0003, with Bonferroni correction. (C) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and maturity. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (D) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (E) canonical pathways (≥1.5 or ≤−1.5), and (F) upstream regulators (≥2.25 or ≤−2.25) Gene expression profiles of senescent β‐cells A total of 167 senescent β‐cells were identified from the pooled dataset by robust expression of senescent markers IGF1R, CDKN1A, and CDKN2A 16 (Figure 4A). A greater percentage of β‐cells from T2DM donors (4.04%) were defined as senescent as compared to β‐cells from healthy donors (2.32%) (Figure 4B), and the majority of senescent β‐cells were also considered immature (Figure 4C). There were 335 DEGs in non‐senescent β‐cells from T2DM vs healthy donors, and there was 1 DEG in senescent β‐cells from T2DM vs healthy donors. In healthy donors, there were 17 DEGs in senescent vs non‐senescent β‐cells, and there were 2 DEGs in senescent β‐cells from T2DM donors. The only DEG in senescent β‐cells from T2DM vs healthy donors was glutamate decarboxylase 2 (GAD2), a known autoantigen in INS‐dependent diabetes (Figure 3D). Additionally, SIX3 is one of the top overexpressed genes in senescent vs non‐senescent β‐cells from healthy donors and in non‐senescent β‐cells from T2DM vs healthy donors. In the pathway and upstream regulator analysis, only non‐senescent β‐cells from T2DM vs healthy sample had significant pathways changes (Figure 4F,G). As expected, both the mature and immature β‐cells from T2DM vs healthy donors modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways. Senescent β‐cell gene expression. (A) Β‐cell were also defined as senescent if they had robust expression of senescent markers, IGF1R, CDKN1A, and CDKN1A. (B) A greater percentage of β‐cells from T2DM samples (4.04%) were defined as senescent as compared to healthy samples (2.32%), X2 (1, N = 6029) = 12.79, P = .0003, with Bonferroni correction. (C) The majority of senescent β‐cell were also considered immature, X2 (4, N = 6028) = 25.98, P = .00003, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and senescence. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤ −1.5), and (G) upstream regulators (≥2.25 or ≤−2.25) A total of 167 senescent β‐cells were identified from the pooled dataset by robust expression of senescent markers IGF1R, CDKN1A, and CDKN2A 16 (Figure 4A). A greater percentage of β‐cells from T2DM donors (4.04%) were defined as senescent as compared to β‐cells from healthy donors (2.32%) (Figure 4B), and the majority of senescent β‐cells were also considered immature (Figure 4C). There were 335 DEGs in non‐senescent β‐cells from T2DM vs healthy donors, and there was 1 DEG in senescent β‐cells from T2DM vs healthy donors. In healthy donors, there were 17 DEGs in senescent vs non‐senescent β‐cells, and there were 2 DEGs in senescent β‐cells from T2DM donors. The only DEG in senescent β‐cells from T2DM vs healthy donors was glutamate decarboxylase 2 (GAD2), a known autoantigen in INS‐dependent diabetes (Figure 3D). Additionally, SIX3 is one of the top overexpressed genes in senescent vs non‐senescent β‐cells from healthy donors and in non‐senescent β‐cells from T2DM vs healthy donors. In the pathway and upstream regulator analysis, only non‐senescent β‐cells from T2DM vs healthy sample had significant pathways changes (Figure 4F,G). As expected, both the mature and immature β‐cells from T2DM vs healthy donors modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways. Senescent β‐cell gene expression. (A) Β‐cell were also defined as senescent if they had robust expression of senescent markers, IGF1R, CDKN1A, and CDKN1A. (B) A greater percentage of β‐cells from T2DM samples (4.04%) were defined as senescent as compared to healthy samples (2.32%), X2 (1, N = 6029) = 12.79, P = .0003, with Bonferroni correction. (C) The majority of senescent β‐cell were also considered immature, X2 (4, N = 6028) = 25.98, P = .00003, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and senescence. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤ −1.5), and (G) upstream regulators (≥2.25 or ≤−2.25) T2DM activated the NFE2L2 pathway in immature and senescent β‐cells A common upstream regulator that was significantly induced with T2DM was NFE2L2 (Tables 2 and 3). To further evaluate this pathway in relationship to cell dysfunction, several NFE2L2 gene targets were evaluated in α‐ and β‐cells. Proliferating α‐cells had minimal changes in selected NFE2L2 gene targets (Figure S1A). Mature β‐cells from T2DM donors had increased expression of NFE2L2 by 1.5‐fold compared to healthy donors (Figure 5A.i). Immature β‐cells from T2DM donors had increased expression of NFE2L2, glutathione S‐transferase α‐4 (GSTA4), glutathione S‐transferase Mu 3 (GSTM3), glutamate‐cysteine ligase catalytic subunit (GCLC), glutamate‐cysteine ligase modifier subunit (GCLM), cytochrome P450 2R1 (CYP2R1), and solute carrier family 35 member A4 (SLC35A4) by 1.3 to 2.6‐fold compared to healthy donors (Figure 5A). In healthy donors, expression of NFE2L2, KEAP1, NAD(P)H quinone dehydrogenase 1 (NQO1), GSTA4, and GSTM3 was induced by 1.3 to 2.7‐fold in immature β‐cells compared to mature β‐cells. However, in the T2DM donors, expression of all the NFE2L2 gene targets evaluated (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced by 1.1 to 2.7‐fold in immature β‐cells vs mature β‐cells. NFE2L2 and Redox gene expression. Log transformed transcripts per million (TPM) value of (i) Nuclear factor erythroid 2‐related factor 2 (NFE2L2), (ii) Kelch‐like ECH‐associated protein 1 (KEAP1), (iii) NAD(P)H quinone dehydrogenase 1 (NQO1), (iv) Glutathione S‐transferase α‐4 (GSTA4), (v) Glutathione S‐transferase Mu 3 (GSTM3), (vi) Glutamate‐cysteine ligase catalytic subunit (GCLC), (vii) Glutamate‐cysteine ligase modifier subunit (GCLM), (viii) Cytochrome P450 2R1 (CYP2R1), and (ix) Solute carrier family 35 member A4 (SLC35A4) were graphed and to evaluate NFE2L2 activation, in (A) immature and (B) senescent β‐cells. Additionally, (C) sequestosome 1 (SQSTM1) expression was also evaluated as a possible mechanism of NFE2L2 in (i) immature and (ii) senescent β‐cells. All bars represent mean values ± SEM. Calculations were performed using a Kruskal‐Wallis nonparametric test, followed by Dunnʼs post hoc test for multiple comparisons; N = 1456 Healthy‐Mature, 1920 Healthy‐Immature, 465 T2DM‐Mature, and 465 T2DM‐Immature β‐cells and N = 4340 Healthy‐Non‐Senescent, 103 Healthy‐Senescent, 1522 T2DM‐Non‐Senescent, and 64 T2DM‐Senescent β‐cells. *P ≤ .05, **P ≤ .01, ***P ≤ .001, and ****P ≤ .0001 Non‐senescent β‐cells from T2DM donors had increased expression of NFE2L2, GSTA4, and GSTM3 by 1.8, 1.8, and 1.3‐fold, respectively (Figure 5B). Senescent β‐cells from the T2DM samples had increased expression of NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, and GCLC; however, the trends were not significant. In healthy and T2DM donors, expression of all the NFE2L2 gene targets (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced in senescent β‐cells compared to non‐senescent β‐cells by 1.7 to 5.3‐fold. In addition to the canonical KEAP1 pathway, NFE2L2 can also be activated in a SQSTM1‐KEAP1‐dependent manner during autophagy dysregulation. 31 SQSTM1 expression is increased by 61.8% and 84.4% in the immature β‐cells (Figure 5C.i) and 100.4% and 130.0% in senescent β‐cells (Figure 5C.ii) in the healthy and T2DM donors, respectively. Only in the non‐senescent β‐cells was there a 3% increase in SQSTM1 expression in β‐cells from T2DM donors compared to healthy donors. A common upstream regulator that was significantly induced with T2DM was NFE2L2 (Tables 2 and 3). To further evaluate this pathway in relationship to cell dysfunction, several NFE2L2 gene targets were evaluated in α‐ and β‐cells. Proliferating α‐cells had minimal changes in selected NFE2L2 gene targets (Figure S1A). Mature β‐cells from T2DM donors had increased expression of NFE2L2 by 1.5‐fold compared to healthy donors (Figure 5A.i). Immature β‐cells from T2DM donors had increased expression of NFE2L2, glutathione S‐transferase α‐4 (GSTA4), glutathione S‐transferase Mu 3 (GSTM3), glutamate‐cysteine ligase catalytic subunit (GCLC), glutamate‐cysteine ligase modifier subunit (GCLM), cytochrome P450 2R1 (CYP2R1), and solute carrier family 35 member A4 (SLC35A4) by 1.3 to 2.6‐fold compared to healthy donors (Figure 5A). In healthy donors, expression of NFE2L2, KEAP1, NAD(P)H quinone dehydrogenase 1 (NQO1), GSTA4, and GSTM3 was induced by 1.3 to 2.7‐fold in immature β‐cells compared to mature β‐cells. However, in the T2DM donors, expression of all the NFE2L2 gene targets evaluated (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced by 1.1 to 2.7‐fold in immature β‐cells vs mature β‐cells. NFE2L2 and Redox gene expression. Log transformed transcripts per million (TPM) value of (i) Nuclear factor erythroid 2‐related factor 2 (NFE2L2), (ii) Kelch‐like ECH‐associated protein 1 (KEAP1), (iii) NAD(P)H quinone dehydrogenase 1 (NQO1), (iv) Glutathione S‐transferase α‐4 (GSTA4), (v) Glutathione S‐transferase Mu 3 (GSTM3), (vi) Glutamate‐cysteine ligase catalytic subunit (GCLC), (vii) Glutamate‐cysteine ligase modifier subunit (GCLM), (viii) Cytochrome P450 2R1 (CYP2R1), and (ix) Solute carrier family 35 member A4 (SLC35A4) were graphed and to evaluate NFE2L2 activation, in (A) immature and (B) senescent β‐cells. Additionally, (C) sequestosome 1 (SQSTM1) expression was also evaluated as a possible mechanism of NFE2L2 in (i) immature and (ii) senescent β‐cells. All bars represent mean values ± SEM. Calculations were performed using a Kruskal‐Wallis nonparametric test, followed by Dunnʼs post hoc test for multiple comparisons; N = 1456 Healthy‐Mature, 1920 Healthy‐Immature, 465 T2DM‐Mature, and 465 T2DM‐Immature β‐cells and N = 4340 Healthy‐Non‐Senescent, 103 Healthy‐Senescent, 1522 T2DM‐Non‐Senescent, and 64 T2DM‐Senescent β‐cells. *P ≤ .05, **P ≤ .01, ***P ≤ .001, and ****P ≤ .0001 Non‐senescent β‐cells from T2DM donors had increased expression of NFE2L2, GSTA4, and GSTM3 by 1.8, 1.8, and 1.3‐fold, respectively (Figure 5B). Senescent β‐cells from the T2DM samples had increased expression of NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, and GCLC; however, the trends were not significant. In healthy and T2DM donors, expression of all the NFE2L2 gene targets (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced in senescent β‐cells compared to non‐senescent β‐cells by 1.7 to 5.3‐fold. In addition to the canonical KEAP1 pathway, NFE2L2 can also be activated in a SQSTM1‐KEAP1‐dependent manner during autophagy dysregulation. 31 SQSTM1 expression is increased by 61.8% and 84.4% in the immature β‐cells (Figure 5C.i) and 100.4% and 130.0% in senescent β‐cells (Figure 5C.ii) in the healthy and T2DM donors, respectively. Only in the non‐senescent β‐cells was there a 3% increase in SQSTM1 expression in β‐cells from T2DM donors compared to healthy donors.
DISCUSSION
The development of sc‐RNA‐Seq techniques has allowed for the high‐throughput profiling of transcriptomes across cell types and subpopulations of cells and has facilitated understanding of cellular responses to disease. 39 In the present study, a meta‐analysis of six sc‐RNA‐Seq studies from human pancreatic islets was conducted to evaluate the NFE2L2 and redox signaling in α‐ and β‐cells from T2DM vs healthy donors. The transcriptomes of 7036 α‐cells and 6029 β‐cells were identified and evaluated, and subpopulations of proliferating α‐cells, immature, and senescent β‐cells were also identified and evaluated. The modified genes in α‐cells from T2DM donors are involved in energy regulation, immune response, xenobiotic metabolism, hormone signaling, and autophagy pathways. In T2DM, α‐cells can transdifferentiate to β‐cells under an extreme demand for INS, 14 and although not specifically evaluated, an increase in the INS secretion signaling pathway was observed in α‐cells from T2DM donors. Forty‐nine proliferating α‐cells were identified, which represented ~0.7% of identified α‐cells. This small percentage is expected as α‐cells proliferate at very low levels. 9 As the number of proliferating α‐cells was incredibly small, and due to uneven distribution across the datasets, several dataset comparisons were excluded in the meta‐analysis when a dataset had only one or no proliferating α‐cells. Although the percentage of proliferating α‐cells increased in T2DM donors, the trend was not significant (Figure 2C). Previous work has found that IL6, an inflammatory cytokine elevated in T2DM, 40 stimulates α‐cell proliferation. 13 Interestingly, in α‐cells from T2DM donors, several cytokines, including IL6, IL4, IL5, IL13, and IL15, were identified as upstream regulators. Constant with Wang et al, 9 transcriptomic analysis of proliferating α‐cells found modifications in cell cycle pathways. NFE2L2 activation in proliferating α‐cells was limited. Similar to previous sc‐RNA‐Seq studies, β‐cells from T2DM donors have been found to have altered β‐cell immune response, cell cycle pathways, energy metabolism, and autophagy pathways. 9 , 10 , 11 , 12 The most induced pathway in β‐cells from T2DM donors was the INS secretion signaling pathway. In T2DM, there is an increased demand for INS; the increased production of INS in overworked β‐cells leads to excessive glucose metabolism and oxidative phosphorylation that increases the generation of ROS. 41 There is also an increase of the unfolding or misfolding of proteins in the ER, leading to ER stress. 42 Oxidative and ER stress can cause apoptotic cell death, which may cause the reduction in β‐cell mass that is observed in T2DM. 41 , 42 , 43 As observed herein, pathways and upstream regulators related to apoptosis are induced in β‐cells from T2DM donors and include NFE2L2, the master regulator of the antioxidant response. After evaluating the transcriptomes of β‐cells from T2DM donors, 2698 immature and 167 senescent β‐cells were identified. β‐cells exist in a balance of immature cells and INS‐producing mature cells, where the immature cells are thought to reflect proliferative capacity. 16 , 19 Here, the portion of immature β‐cells in T2DM donors was greater than immature β‐cells from healthy donors, which is supported by the increase in β‐cell proliferation with INS resistance related to obesity. 22 Immature β‐cells were defined as an increase in MAFB and/or NPY. Interestingly, NPY was also increased in immature β‐cells from T2DM samples vs healthy samples. NPY is a counter‐regulator of β‐cell INS secretion, and overexpression of NPY in rats has been described to impair INS secretion when fed a high‐fat diet. 44 , 45 In T2DM, there is also an increase in β‐cell senescence. 46 Here, a greater percentage of β‐cells from T2DM donors were defined as senescent as compared to healthy donors, as defined by expression of senescent markers IGF1R, CDKN1A, and CDKN2A. Remarkably, the majority of senescent β‐cells were also considered immature, thus suggesting that senescent β‐cells have an increase in either MAFB or NYP expression vs other markers of mature β‐cells. SIX3, which represses Wnt activity and activates the SHH, 35 was identified as top overexpressed gene in β‐cells from T2DM donors, and SIX3 was also one of the top overexpressed genes in senescent vs non‐senescent β‐cells. SIX3 has been identified as a transcription factor that governs functional β‐cell maturation and may be a potential target for β‐cell dysfunction in T2DM. 47 As outlined in Figure 6, lipotoxicity and glucotoxicity associated with T2DM increase oxidative stress and can increase NFE2L2 activation. As expected, α‐ and β‐cells from T2DM donors have increased NFE2L2 activation. Here, NFE2L2 is also activated in immature and senescent β‐cells. Immature β‐cells have reduced INS secretion and increased proliferation, and NFE2L2 activation is related to both. Exposure of isolated mouse islets or INS‐1 cells to oxidative stressors has been described to decrease glucose‐stimulated INS secretion, 48 and upregulation of NFE2L2 expression increases proliferation of rat INS‐1 cells and primary mouse and human β‐cells. 49 , 50 Oxidative damage can also damage β‐cells, and NFE2L2 was activated in senescent β‐cells as well. The pathways analysis demonstrated modified autophagy pathways in cells from T2DM donors, and NFE2L2 activation in β‐cells may also occur through the noncanonical SQSTM1‐KEAP1 pathway. Here, SQSTM1 expression was increased in immature and senescent β‐cells. This suggests that NFE2L2 activation in β‐cells is likely due to multiple pathways. Mechanisms of NFE2L2 activation. Under normal conditions, nuclear factor erythroid 2‐related factor 2 (NFE2L2) is bound to Kelch‐like ECH‐associated protein 1 (KEAP1) in the cytoplasm and is degraded. Type 2 diabetes increases glucotoxicity and lipotoxicity, which increases oxidative stress. In the canonical NFE2L2‐KEAP1 pathway, when oxidative stress is present, NFE2L2 is activated and translocates to the nucleus. NFE2L2 binds to the antioxidant response element (ARE), along with small Maf (sMaf) proteins to increase expression of antioxidant genes. Sequestosome 1 (SQSTM1) expression is increased with autophagy. In the non‐canonical SQSTM1‐KEAP1 pathway, SQSTM1 interacts with KEAP1 and inactivates the NFE2L2‐KEAP1 complex thus promoting NFE2L2 translocation to the nucleus In conclusion, this transcriptomic meta‐analysis provides detailed information about β‐cell damage in patients with T2DM. These analyses demonstrate the power of sc‐RNA‐Seq data to detect transcriptional alterations in subpopulations of α‐ and β‐cells. Although the ability to directly relate the changes of the transcriptome to functional impairments in disease is limited, this analysis provides several hypotheses to understand the effect of T2DM on the α‐ and β‐cells of the pancreas. This study also provides evidence that NFE2L2 activation plays a role in β‐cell maturation and dysfunction; redox singling may be a key pathway to target for β‐cell restoration and T2DM treatments.
[ "INTRODUCTION", "Inclusion criteria", "Cell type annotation", "Identification of subpopulations of α‐ and β‐cells", "Differential and meta‐analyses\n", "Pathway analysis and individual redox gene expression analysis", "Cell type identification", "α‐cell gene expression profiles with T2DM\n", "Proliferating α‐cell gene expression profiles", "β‐cell gene expression profiles with T2DM\n", "Gene expression profiles of immature β‐cells", "Gene expression profiles of senescent β‐cells", "\nT2DM activated the NFE2L2 pathway in immature and senescent β‐cells", "DISCUSSION" ]
[ "According to estimates from the International Diabetes Federation atlas, 463 million people had diabetes worldwide in 2019, and this number is expected to climb to 700 million by 2045.\n1\n, \n2\n Type 2 diabetes mellitus (T2DM) is a chronic disease characterized by insulin (INS) resistance and severe β‐cell dysfunction. β‐cells, along with α, δ, ε, and υ cells make up the islets of Langerhans of the endocrine pancreas and are essential for maintaining glucose homeostasis. β‐cells produce INS in response to elevated blood glucose, and α‐cells secrete glucagon (GCG), which releases glucose from the liver and lipids from adipose tissue.\n3\n A key feature of T2DM is the failure of β‐cells to meet the metabolic demand for INS, and recent advances in single‐cell RNA sequencing (sc‐RNA‐Seq) have allowed for further understanding of the underlying mechanisms of islet cell maturation, maintenance, and dysfunction in T2DM.\n4\n\n\nMany sc‐RNA‐Seq studies have found variable transcript enrichment across different islet cell types and rare cell subpopulations that can only be possible through sc‐RNA‐Seq.\n5\n, \n6\n, \n7\n, \n8\n, \n9\n, \n10\n, \n11\n, \n12\n In T2DM, α‐cells may transdifferentiate to β‐cells, under an extreme demand for INS, and also have been shown to increase proliferation via an elevated inflammatory response in T2DM and obesity.\n13\n, \n14\n, \n15\n β‐cells from T2DM donors have been found to have altered β‐cell immune response, cell cycle pathways, transcription factor expression, energy metabolism, and protein synthesis in several sc‐RNA‐Seq studies.\n10\n, \n11\n, \n12\n As reviewed by Salinno et al,\n16\n subpopulations of β‐cells exist in a balance of proliferative capacity (immature cells)\n17\n or INS production (mature cells).\n18\n The ratio of mature and immature β‐cells is thought to reflect the proliferative capability of β‐cells.\n19\n Immature β‐cells display high basal levels INS; however, it is unclear if they are capable of glucose‐stimulated INS secretion.\n20\n Under healthy conditions, only a small pool of β‐cells retain proliferative capabilities.\n21\n β‐cell proliferation has been shown to increase with INS resistance in obesity,\n22\n and in the present study, the transcriptomes of subpopulations of proliferating α‐cells, immature, and senescent β‐cells will be evaluated in the context of T2DM.\nA key feature in the pathophysiology of T2DM is glucotoxicity and lipotoxicity, which generate high amounts of reactive oxygen species (ROS) and oxidative stress. ROS generation, mitochondrial dysfunction, endoplasmic reticulum (ER) stress, and autophagy are all implicated in the development of T2DM and can impair β‐cell function.\n23\n, \n24\n β‐cells maintain low levels of antioxidant defenses and an oxidized redox state, which is necessary to form the three disulfide bonds in INS.\n25\n, \n26\n, \n27\n ROS also act as signaling molecules to guide cell fate and maturation in β‐cells.\n28\n, \n29\n, \n30\n The induction of antioxidant enzymes via nuclear factor erythroid 2‐related factor 2 (NFE2L2) provides protection from oxidative damage; however, induction of NFE2L2 may also blunt glucose‐triggered ROS signaling, thus reducing INS secretion.\n30\n Recently an alternative pathway of NFE2L2 activation has also been described, where blockage of autophagosome‐lysosome fusion leads to sequestosome 1 (SQSTM1)‐mediated sequestration of Kelch‐like epichlorohydrin (ECH)‐associated protein 1 (KEAP1) into autophagosomes, preventing NFE2L2 ubiquitylation and degradation.\n31\n\n\nIn the study herein, a meta‐analysis of sc‐RNA‐Seq data from six studies from human pancreas islets will be conducted to evaluate how T2DM may modify the transcriptomes of several subpopulations of α‐ and β‐cells. The analysis in total represents sc‐RNA‐Seq data from 47 metabolically healthy human islet donors and 23 donors with T2DM. Subpopulations of proliferating α‐cells, immature, and senescent β‐cells will be evaluated using pathway analysis, and gene targets in the NFE2L2 pathway will be evaluated in relation to these subpopulations of α‐ and β‐cells. With this analysis, we hope to further understand the role that NFE2L2 may play in T2DM‐induced β‐cell dysfunction.", "Studies were selected based on PubMed and Google Scholar searches for the key terms “single‐cell sequencing,” “RNA sequencing,” “type 2 diabetes,” and “human pancreas or islets.” To be included in the meta‐analysis, studies had to include (1) single‐cell transcriptomic sequencing with (2) human pancreatic islet samples, (3) include metabolically healthy and diabetic donors with T2DM, and (4) provide publicly available annotation data. Publicly available single‐cell RNA‐seq datasets were downloaded from the Gene Expression Omnibus (GEO) repository\n32\n or ArrayExpress\n33\n (European Bioinformatics Institute, EBI), and Table 1 contains study details and accession numbers for selected studies. Before datasets were analyzed, all data were converted to the standard unit of transcripts per kilobase million (TPM). Counts per million reads mapped (CPM) were first converted to reads per kilobase million (RPKM) by dividing CPM by the gene length in kilobase. RPKM values were then converted to TPM by dividing RPKM by the sum of RPKM per sample and multiplying by a 106 scaling factor.\nDataset accession numbers and sequencing methods\n9 human islets:\n3 healthy\n2 T2DM\n1 T1DM\na\n\n\n2 child\na\n\n\nRead alignment and quantification performed using RNA‐Seq Unified Mapper (RUM)\n10 human islets:\n6 healthy\n4 T2DM\nAligned to human genome (hg19) using STAR\nAnnotated with RefSeq\nQuantified using rpkmforgenes\n18 human islets: 12 healthy\n6 T2DM\nAligned to human genome (GRCh37) using CLC Bio Genomics Workbench\n4 human islets:\n3 healthy\n1 T2DM\nRead 1 was used for identification\nRead 2 was mapped to a ref genome using Bowtie\nAlignments were filtered using UMI\n8 human islets:\n5 healthy\n3 T2DM\nAligned to the human genome (GRCh37) using Bowtie 2\nExpression levels were estimated using RSEM\n28 human islets:\n18 healthy\n7 T2DM\n3 T1DM\na\n\n\nAligned to the human genome (GRCh38) using STAR\nGene counts determined using HTSeq‐count\nAbbreviations: CPM, normalized counts per million; EBI, European Bioinformatics Institute; FACS, fluorescence‐activated cell sorting; GEO, Gene Expression Omnibus; RPKM, reads per kilobase of transcript per million mapped reads; T1DM, type 1 diabetes mellitus; T2DM, type 2 diabetes mellitus; TPM, transcripts per kilobase million.\nDonors were excluded.", "All sequenced cells were classified based on key marker genes. These markers include the major hormone genes (GCG, INS, somatostatin [SST], ghrelin [GHRL], and pancreatic polypeptide [PP]), genes that encode acinar cell‐specific digestive enzymes (serine protease 1 [PRSS1] and pancreatic lipase [PNLIP]), and genes associated with ductal cells (i.e., keratin 19 [KRT19], secreted phosphoprotein 1 [SPP1], and hepatocyte nuclear factor 1β [HNF1B]). Expression level of markers had to be exclusive and robust, each cell type was then rendered in a “violin plot,” and if cells conflicted with other expression markers, they were excluded.", "Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual‐specificity tyrosine phosphorylation‐regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3β (GSK3B), as previously described for proliferating α‐cells.\n9\n Immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, macrophage‐activating factor (MAF) basic region‐leucine zipper (bZIP) transcription factor B (MAFB) and/or neuropeptide Y (NPY), over markers for mature β‐cells (MAF bZIP transcription factor A [MAFA], synaptotagmin 4 [SYT4], NK6 homeobox 1 [NKX6‐1], urocortin 3 [UNC3], pancreatic and duodenal homeobox 1 [PDX‐1], and glucose transporter 2 [SLC2A2 or GLUT2]) as reviewed by Salinno et al.\n16\n β‐cells were also defined as senescent if they had robust expression of senescent markers, INS‐like growth factor 1 receptor (IGF1R), and cyclin‐dependent kinase inhibitor 1A and 2A (CDKN1A and CDKN2A).\n16\n If cells did not have robust expression of any markers, cells were considered unassigned.", "To account for changes within datasets, each dataset was analyzed individually. Within each dataset, a two‐tailed Student's t test and a permutation‐based false discovery rate calculation were used for statistical evaluation of differentially abundant genes for each comparison. P values from each dataset were then combined using the mean of each dataset weighted for sample sizes, and a P < .05 was considered significant. This technique was selected as it allows for the combination of results from heterogeneous analyses directly. As P value‐based combination loses the directionality of the expression patterns, fold change values for each dataset were then also combined using the mean of each dataset weighted for sample sizes. Genes not shared across datasets were given values of 1 for both P value and fold change calculations.", "Significant genes (p value <0.05) and genes with a fold change greater or lower than 20% (ratio of at least −1.2 or 1.2) were selected for pathway analysis using Ingenuity Pathway Analysis (IPA) QIAGEN Bioinformatics (Redwood City, California) to map statistically significant genes to the pathways and biological processes. To explore key genes related to redox signaling, TPM values from all datasets were combined, and a Kruskal‐Wallis nonparametric test followed by Dunnʼs post hoc test for multiple comparisons was performed using GraphPad Prism v9.1.0 (La Jolla, California) software. Significance was considered to be p < 0.05.", "α‐ and β‐cells were identified based on exclusive and robust expression of major hormone genes (GCG and INS). Expression levels of all the gene markers were rendered in a “violin plot” (Figure 1A), and if cells had conflicts with other expression markers, they were excluded. After cell types were assigned, 25 genes enriched in α‐ and β‐cells were also evaluated.\n8\n For α‐cells, there was higher expression in α‐cell markers, such as transthyretin (TTR) and signal sequence receptor subunit 4 (SSR4), compared to other cell types (Figure 1B.i). For β‐cells, there was higher expression in β‐cell markers, such as islet amyloid polypeptide (IAPP) and adenylate cyclase‐activating polypeptide 1 (ADCYAP1), compared to other cells. (Figure 1B.ii). Overall, 7036 α‐cells were identified (2.6% of the α‐cells were from Wang et al, 15.0% from Segertolpe et al, 11.8% from Xin et al, 33.1% from Baron et al, 3.4% from Lawlor et al, and 34.2% from Camunas‐Soler et al), and 6029 β‐cells were identified (1.5% from Wang et al, 7.2% from Segertolpe et al, 6.4% from Xin et al, 41.9% from Baron et al, 4.4% from Lawlor et al, and 38.7% from Camunas‐Soler et al) (Figure 1C).\nCell type identification of integrated dataset s. (A) Violin plot displaying the log‐transformed transcripts per million (TPM) of key gene markers in α‐(blue) and β‐(red) cells. Log‐transformed TPM of genes abundantly expressed in α‐(B.i) and β‐(B.ii) cells are also presented, where each point represents the weighted average among each dataset to account for sample size. (C) The number of cells identified in each dataset based on exclusive and robust expression of key gene markers, number of cells from healthy and diabetic samples are also reported for α‐and β‐cells", "From the meta‐analysis, 285 genes were differentially expressed in α‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA. Top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over‐ and underexpressed genes are listed in Table 2. Overall, α‐cells from T2DM donors modified genes involved in energy regulation, autophagy, cell cycle, and xenobiotic metabolism. Additionally, several interleukins were induced in α‐cells from T2DM donors, and several hormone signaling pathways were also upregulated, such as β‐estradiol and, as expected, INS. The INS secretion signaling pathway was also induced in α‐cells from T2DM donors. Of interest to the present study, NFE2L2 was also induced in α‐cells from T2DM donors. Several of the top differentially expressed genes (DEGs) were related to energy metabolism, immunity, and peptide hormone metabolism.\nType 2 diabetes‐driven transcriptomic changes in α‐cells", "Forty‐nine proliferating α‐cells were identified from the pooled dataset by exclusive and robust expression of MKI67 vs DYRK1A and GSK3B, and if none of the target genes were detected, the α‐cell was considered unassigned (Figure 2A). A greater percentage of α‐cells from healthy donors (57.59%) were unassigned as compared to α‐cells from T2DM donors (40.69%), and less than 1% of α‐cells were identified as proliferating in the pooled dataset (Figure 2B). Although not significant, the portion of proliferating α‐cells from T2DM donors (0.83%) was greater than proliferating α‐cells from healthy donors (0.63%) (Figure 2C). There were 75 DEGs in nonproliferating α‐cells from T2DM donors, and there were 82 DEGs in proliferating α‐cells from T2DM donors (Figure 2D\n). Carboxypeptidase E (CPE) and neuropeptide‐like protein (C4orf48) were the only common DEGs in proliferating and nonproliferating α‐cells from T2DM donors and are involved in the biosynthesis of neuropeptides and peptide hormones. There were 106 DEGs in proliferating vs nonproliferating α‐cells from healthy donors, and 7 DEGs from T2DM donors. Top DEGs are listed in Figure 2E. In proliferating vs nonproliferating α‐cells from T2DM donors, top overexpressed genes included MKI67, a proliferation marker. Most of the top overexpressed genes in proliferating vs nonproliferating α‐cells from both healthy and T2DM donors are related to cell division, such as cell division cycle associated 8 (CDCA8). In the pathway analysis (Figure 2F), nonproliferating α‐cells from T2DM vs healthy donors repressed the coronavirus pathogenesis pathway. Proliferating α‐cells from T2DM vs healthy donors induced the INS secretion signaling pathway and sirtuin signaling pathway similar to results in Table 2. In proliferating α‐cells from healthy donors, many of the modulated pathways were related to cell replication, Rho signaling, and in the upstream regulator analysis (Figure 2G), several regulators related to cell proliferation were upregulated, such as proto‐oncogene, BHLH transcription factor (MYC). As expected, since the estrogen receptor signaling pathway is induced in proliferating vs nonproliferating α‐cells from healthy donors, many of the upstream regulators are related to estrogen signaling. NFE2L2 signaling was induced in proliferating α‐cells from healthy donors. In nonproliferating α‐cells from T2DM donors, NFE2L2 signaling was repressed; however, in proliferating α‐cells from T2DM vs healthy donors, NFE2L2 signaling was induced.\nProliferating α‐cell gene expression. (A) Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual specificity tyrosine phosphorylation regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3 β‐(GSK3B). (B,C) A greater percentage of α‐cells from healthy samples (57.59%) were unassigned as compared to T2DM samples (40.69%), X2 (2, N = 7036) = 176.21, P < .00001, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and proliferation state. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤−1.5), and (G) upstream regulators (≥2.25 or ≤−2.25)", "From our meta‐analysis, 286 genes were differentially expressed in β‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA, and top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over and underexpressed genes are listed in Table 3. Overall, β‐cells from T2DM donors modified genes involved in pathways involved in energy regulation, autophagy, cell cycle, and hormone signaling pathways. As expected with T2DM, the INS secretion signaling pathway was also induced in β‐cells from T2DM donors. Again, of interest to the present study, NFE2L2 was induced in β‐cells from T2DM donors. Top underexpressed genes include several proteins involved in protein metabolism. IAPP, a β‐cell hormone that acts as a satiation signal, is underexpressed in β‐cells from T2DM donors. Top overexpressed genes also included SIX homeobox 3 (SIX3). SIX3 represses Wnt activity and activates the sonic hedgehog gene (SHH), and both pathways are involved in β‐cell proliferation and differentiation.\n34\n, \n35\n, \n36\n\n\nType 2 diabetes‐driven transcriptomic changes in β‐cells", "A total of 2698 immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, MAFB and/or NPY vs markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, SLC2A2) (Figure 3A).\n16\n The portion of immature β‐cells from T2DM donors (49.1%) was greater than immature β‐cells from healthy donors (43.2%) (Figure 3B). There were 247 DEGs in mature β‐cells from T2DM vs healthy donors, and there were 70 DEGs in immature β‐cells from T2DM vs healthy donors (Figure 3C). There were 20 common DEGs in both mature and immature β‐cells from T2DM vs healthy donors; however, 5 of those genes were induced in mature but decreased in immature β‐cells from T2DM donors. In healthy donors, there were 15 DEGs in immature vs mature β‐cells, and in T2DM donors, there was 1 DEG in immature vs mature β‐cells. NPY, a marker of β‐cell immaturity, was overexpressed in mature vs immature β‐cells in healthy donors; interestingly, NPY was also overexpressed in immature β‐cells from T2DM vs healthy donors (Figure 3D). Similarly, brain‐expressed X‐linked 1 (BEX1), a top overexpressed gene in immature vs mature β‐cells from healthy donors, was also induced in immature β‐cells from T2DM vs healthy donors. Another top overexpressed gene in immature vs mature β‐cells in healthy donors was glutathione S‐transferase omega 1 (GSTO1), a NFE2L2 target gene that activates NF‐κB.\n37\n The only DEG in immature vs mature β‐cells from T2DM donors was MAFB, the other maker of β‐cell immaturity. In the pathway analysis, as expected, mature and immature β‐cells from T2DM vs healthy donors had modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways (Figure 3E,F). There were no pathway changes in mature vs immature β‐cells. However, in the upstream regulator analysis, NFE2L2 signaling and STK11 (serine threonine kinase 11), a tumor suppressor, was activated in mature β‐cells but downregulated in immature β‐cells from T2DM donors. In immature vs mature β‐cells from healthy donors, MYC signaling is induced.\n38\n\n\nMature and Immature β‐cell gene expression. (A) Immature β‐cell was defined by exclusive and robust expression of MAFB and/or NPY over markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, and SLC2A2). (B) A greater percentage of β‐cells from T2DM samples (49.1%) were defined as immature as compared to healthy samples (43.2%), X2 (2, N = 6028) = 16.29, P = .0003, with Bonferroni correction. (C) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and maturity. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (D) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (E) canonical pathways (≥1.5 or ≤−1.5), and (F) upstream regulators (≥2.25 or ≤−2.25)", "A total of 167 senescent β‐cells were identified from the pooled dataset by robust expression of senescent markers IGF1R, CDKN1A, and CDKN2A\n16\n (Figure 4A). A greater percentage of β‐cells from T2DM donors (4.04%) were defined as senescent as compared to β‐cells from healthy donors (2.32%) (Figure 4B), and the majority of senescent β‐cells were also considered immature (Figure 4C). There were 335 DEGs in non‐senescent β‐cells from T2DM vs healthy donors, and there was 1 DEG in senescent β‐cells from T2DM vs healthy donors. In healthy donors, there were 17 DEGs in senescent vs non‐senescent β‐cells, and there were 2 DEGs in senescent β‐cells from T2DM donors. The only DEG in senescent β‐cells from T2DM vs healthy donors was glutamate decarboxylase 2 (GAD2), a known autoantigen in INS‐dependent diabetes (Figure 3D). Additionally, SIX3 is one of the top overexpressed genes in senescent vs non‐senescent β‐cells from healthy donors and in non‐senescent β‐cells from T2DM vs healthy donors. In the pathway and upstream regulator analysis, only non‐senescent β‐cells from T2DM vs healthy sample had significant pathways changes (Figure 4F,G). As expected, both the mature and immature β‐cells from T2DM vs healthy donors modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways.\nSenescent β‐cell gene expression. (A) Β‐cell were also defined as senescent if they had robust expression of senescent markers, IGF1R, CDKN1A, and CDKN1A. (B) A greater percentage of β‐cells from T2DM samples (4.04%) were defined as senescent as compared to healthy samples (2.32%), X2 (1, N = 6029) = 12.79, P = .0003, with Bonferroni correction. (C) The majority of senescent β‐cell were also considered immature, X2 (4, N = 6028) = 25.98, P = .00003, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and senescence. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤ −1.5), and (G) upstream regulators (≥2.25 or ≤−2.25)", "A common upstream regulator that was significantly induced with T2DM was NFE2L2 (Tables 2 and 3). To further evaluate this pathway in relationship to cell dysfunction, several NFE2L2 gene targets were evaluated in α‐ and β‐cells. Proliferating α‐cells had minimal changes in selected NFE2L2 gene targets (Figure S1A). Mature β‐cells from T2DM donors had increased expression of NFE2L2 by 1.5‐fold compared to healthy donors (Figure 5A.i). Immature β‐cells from T2DM donors had increased expression of NFE2L2, glutathione S‐transferase α‐4 (GSTA4), glutathione S‐transferase Mu 3 (GSTM3), glutamate‐cysteine ligase catalytic subunit (GCLC), glutamate‐cysteine ligase modifier subunit (GCLM), cytochrome P450 2R1 (CYP2R1), and solute carrier family 35 member A4 (SLC35A4) by 1.3 to 2.6‐fold compared to healthy donors (Figure 5A). In healthy donors, expression of NFE2L2, KEAP1, NAD(P)H quinone dehydrogenase 1 (NQO1), GSTA4, and GSTM3 was induced by 1.3 to 2.7‐fold in immature β‐cells compared to mature β‐cells. However, in the T2DM donors, expression of all the NFE2L2 gene targets evaluated (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced by 1.1 to 2.7‐fold in immature β‐cells vs mature β‐cells.\nNFE2L2 and Redox gene expression. Log transformed transcripts per million (TPM) value of (i) Nuclear factor erythroid 2‐related factor 2 (NFE2L2), (ii) Kelch‐like ECH‐associated protein 1 (KEAP1), (iii) NAD(P)H quinone dehydrogenase 1 (NQO1), (iv) Glutathione S‐transferase α‐4 (GSTA4), (v) Glutathione S‐transferase Mu 3 (GSTM3), (vi) Glutamate‐cysteine ligase catalytic subunit (GCLC), (vii) Glutamate‐cysteine ligase modifier subunit (GCLM), (viii) Cytochrome P450 2R1 (CYP2R1), and (ix) Solute carrier family 35 member A4 (SLC35A4) were graphed and to evaluate NFE2L2 activation, in (A) immature and (B) senescent β‐cells. Additionally, (C) sequestosome 1 (SQSTM1) expression was also evaluated as a possible mechanism of NFE2L2 in (i) immature and (ii) senescent β‐cells. All bars represent mean values ± SEM. Calculations were performed using a Kruskal‐Wallis nonparametric test, followed by Dunnʼs post hoc test for multiple comparisons; N = 1456 Healthy‐Mature, 1920 Healthy‐Immature, 465 T2DM‐Mature, and 465 T2DM‐Immature β‐cells and N = 4340 Healthy‐Non‐Senescent, 103 Healthy‐Senescent, 1522 T2DM‐Non‐Senescent, and 64 T2DM‐Senescent β‐cells. *P ≤ .05, **P ≤ .01, ***P ≤ .001, and ****P ≤ .0001\nNon‐senescent β‐cells from T2DM donors had increased expression of NFE2L2, GSTA4, and GSTM3 by 1.8, 1.8, and 1.3‐fold, respectively (Figure 5B). Senescent β‐cells from the T2DM samples had increased expression of NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, and GCLC; however, the trends were not significant. In healthy and T2DM donors, expression of all the NFE2L2 gene targets (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced in senescent β‐cells compared to non‐senescent β‐cells by 1.7 to 5.3‐fold.\nIn addition to the canonical KEAP1 pathway, NFE2L2 can also be activated in a SQSTM1‐KEAP1‐dependent manner during autophagy dysregulation.\n31\n SQSTM1 expression is increased by 61.8% and 84.4% in the immature β‐cells (Figure 5C.i) and 100.4% and 130.0% in senescent β‐cells (Figure 5C.ii) in the healthy and T2DM donors, respectively. Only in the non‐senescent β‐cells was there a 3% increase in SQSTM1 expression in β‐cells from T2DM donors compared to healthy donors.", "The development of sc‐RNA‐Seq techniques has allowed for the high‐throughput profiling of transcriptomes across cell types and subpopulations of cells and has facilitated understanding of cellular responses to disease.\n39\n In the present study, a meta‐analysis of six sc‐RNA‐Seq studies from human pancreatic islets was conducted to evaluate the NFE2L2 and redox signaling in α‐ and β‐cells from T2DM vs healthy donors. The transcriptomes of 7036 α‐cells and 6029 β‐cells were identified and evaluated, and subpopulations of proliferating α‐cells, immature, and senescent β‐cells were also identified and evaluated.\nThe modified genes in α‐cells from T2DM donors are involved in energy regulation, immune response, xenobiotic metabolism, hormone signaling, and autophagy pathways. In T2DM, α‐cells can transdifferentiate to β‐cells under an extreme demand for INS,\n14\n and although not specifically evaluated, an increase in the INS secretion signaling pathway was observed in α‐cells from T2DM donors. Forty‐nine proliferating α‐cells were identified, which represented ~0.7% of identified α‐cells. This small percentage is expected as α‐cells proliferate at very low levels.\n9\n As the number of proliferating α‐cells was incredibly small, and due to uneven distribution across the datasets, several dataset comparisons were excluded in the meta‐analysis when a dataset had only one or no proliferating α‐cells. Although the percentage of proliferating α‐cells increased in T2DM donors, the trend was not significant (Figure 2C). Previous work has found that IL6, an inflammatory cytokine elevated in T2DM,\n40\n stimulates α‐cell proliferation.\n13\n Interestingly, in α‐cells from T2DM donors, several cytokines, including IL6, IL4, IL5, IL13, and IL15, were identified as upstream regulators. Constant with Wang et al,\n9\n transcriptomic analysis of proliferating α‐cells found modifications in cell cycle pathways. NFE2L2 activation in proliferating α‐cells was limited.\nSimilar to previous sc‐RNA‐Seq studies, β‐cells from T2DM donors have been found to have altered β‐cell immune response, cell cycle pathways, energy metabolism, and autophagy pathways.\n9\n, \n10\n, \n11\n, \n12\n The most induced pathway in β‐cells from T2DM donors was the INS secretion signaling pathway. In T2DM, there is an increased demand for INS; the increased production of INS in overworked β‐cells leads to excessive glucose metabolism and oxidative phosphorylation that increases the generation of ROS.\n41\n There is also an increase of the unfolding or misfolding of proteins in the ER, leading to ER stress.\n42\n Oxidative and ER stress can cause apoptotic cell death, which may cause the reduction in β‐cell mass that is observed in T2DM.\n41\n, \n42\n, \n43\n As observed herein, pathways and upstream regulators related to apoptosis are induced in β‐cells from T2DM donors and include NFE2L2, the master regulator of the antioxidant response. After evaluating the transcriptomes of β‐cells from T2DM donors, 2698 immature and 167 senescent β‐cells were identified.\nβ‐cells exist in a balance of immature cells and INS‐producing mature cells, where the immature cells are thought to reflect proliferative capacity.\n16\n, \n19\n Here, the portion of immature β‐cells in T2DM donors was greater than immature β‐cells from healthy donors, which is supported by the increase in β‐cell proliferation with INS resistance related to obesity.\n22\n Immature β‐cells were defined as an increase in MAFB and/or NPY. Interestingly, NPY was also increased in immature β‐cells from T2DM samples vs healthy samples. NPY is a counter‐regulator of β‐cell INS secretion, and overexpression of NPY in rats has been described to impair INS secretion when fed a high‐fat diet.\n44\n, \n45\n In T2DM, there is also an increase in β‐cell senescence.\n46\n Here, a greater percentage of β‐cells from T2DM donors were defined as senescent as compared to healthy donors, as defined by expression of senescent markers IGF1R, CDKN1A, and CDKN2A. Remarkably, the majority of senescent β‐cells were also considered immature, thus suggesting that senescent β‐cells have an increase in either MAFB or NYP expression vs other markers of mature β‐cells. SIX3, which represses Wnt activity and activates the SHH,\n35\n was identified as top overexpressed gene in β‐cells from T2DM donors, and SIX3 was also one of the top overexpressed genes in senescent vs non‐senescent β‐cells. SIX3 has been identified as a transcription factor that governs functional β‐cell maturation and may be a potential target for β‐cell dysfunction in T2DM.\n47\n\n\nAs outlined in Figure 6, lipotoxicity and glucotoxicity associated with T2DM increase oxidative stress and can increase NFE2L2 activation. As expected, α‐ and β‐cells from T2DM donors have increased NFE2L2 activation. Here, NFE2L2 is also activated in immature and senescent β‐cells. Immature β‐cells have reduced INS secretion and increased proliferation, and NFE2L2 activation is related to both. Exposure of isolated mouse islets or INS‐1 cells to oxidative stressors has been described to decrease glucose‐stimulated INS secretion,\n48\n and upregulation of NFE2L2 expression increases proliferation of rat INS‐1 cells and primary mouse and human β‐cells.\n49\n, \n50\n Oxidative damage can also damage β‐cells, and NFE2L2 was activated in senescent β‐cells as well. The pathways analysis demonstrated modified autophagy pathways in cells from T2DM donors, and NFE2L2 activation in β‐cells may also occur through the noncanonical SQSTM1‐KEAP1 pathway. Here, SQSTM1 expression was increased in immature and senescent β‐cells. This suggests that NFE2L2 activation in β‐cells is likely due to multiple pathways.\nMechanisms of NFE2L2 activation. Under normal conditions, nuclear factor erythroid 2‐related factor 2 (NFE2L2) is bound to Kelch‐like ECH‐associated protein 1 (KEAP1) in the cytoplasm and is degraded. Type 2 diabetes increases glucotoxicity and lipotoxicity, which increases oxidative stress. In the canonical NFE2L2‐KEAP1 pathway, when oxidative stress is present, NFE2L2 is activated and translocates to the nucleus. NFE2L2 binds to the antioxidant response element (ARE), along with small Maf (sMaf) proteins to increase expression of antioxidant genes. Sequestosome 1 (SQSTM1) expression is increased with autophagy. In the non‐canonical SQSTM1‐KEAP1 pathway, SQSTM1 interacts with KEAP1 and inactivates the NFE2L2‐KEAP1 complex thus promoting NFE2L2 translocation to the nucleus\nIn conclusion, this transcriptomic meta‐analysis provides detailed information about β‐cell damage in patients with T2DM. These analyses demonstrate the power of sc‐RNA‐Seq data to detect transcriptional alterations in subpopulations of α‐ and β‐cells. Although the ability to directly relate the changes of the transcriptome to functional impairments in disease is limited, this analysis provides several hypotheses to understand the effect of T2DM on the α‐ and β‐cells of the pancreas. This study also provides evidence that NFE2L2 activation plays a role in β‐cell maturation and dysfunction; redox singling may be a key pathway to target for β‐cell restoration and T2DM treatments." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, "discussion" ]
[ "INTRODUCTION", "METHODS", "Inclusion criteria", "Cell type annotation", "Identification of subpopulations of α‐ and β‐cells", "Differential and meta‐analyses\n", "Pathway analysis and individual redox gene expression analysis", "RESULTS", "Cell type identification", "α‐cell gene expression profiles with T2DM\n", "Proliferating α‐cell gene expression profiles", "β‐cell gene expression profiles with T2DM\n", "Gene expression profiles of immature β‐cells", "Gene expression profiles of senescent β‐cells", "\nT2DM activated the NFE2L2 pathway in immature and senescent β‐cells", "DISCUSSION", "DISCLOSURE", "Supporting information" ]
[ "According to estimates from the International Diabetes Federation atlas, 463 million people had diabetes worldwide in 2019, and this number is expected to climb to 700 million by 2045.\n1\n, \n2\n Type 2 diabetes mellitus (T2DM) is a chronic disease characterized by insulin (INS) resistance and severe β‐cell dysfunction. β‐cells, along with α, δ, ε, and υ cells make up the islets of Langerhans of the endocrine pancreas and are essential for maintaining glucose homeostasis. β‐cells produce INS in response to elevated blood glucose, and α‐cells secrete glucagon (GCG), which releases glucose from the liver and lipids from adipose tissue.\n3\n A key feature of T2DM is the failure of β‐cells to meet the metabolic demand for INS, and recent advances in single‐cell RNA sequencing (sc‐RNA‐Seq) have allowed for further understanding of the underlying mechanisms of islet cell maturation, maintenance, and dysfunction in T2DM.\n4\n\n\nMany sc‐RNA‐Seq studies have found variable transcript enrichment across different islet cell types and rare cell subpopulations that can only be possible through sc‐RNA‐Seq.\n5\n, \n6\n, \n7\n, \n8\n, \n9\n, \n10\n, \n11\n, \n12\n In T2DM, α‐cells may transdifferentiate to β‐cells, under an extreme demand for INS, and also have been shown to increase proliferation via an elevated inflammatory response in T2DM and obesity.\n13\n, \n14\n, \n15\n β‐cells from T2DM donors have been found to have altered β‐cell immune response, cell cycle pathways, transcription factor expression, energy metabolism, and protein synthesis in several sc‐RNA‐Seq studies.\n10\n, \n11\n, \n12\n As reviewed by Salinno et al,\n16\n subpopulations of β‐cells exist in a balance of proliferative capacity (immature cells)\n17\n or INS production (mature cells).\n18\n The ratio of mature and immature β‐cells is thought to reflect the proliferative capability of β‐cells.\n19\n Immature β‐cells display high basal levels INS; however, it is unclear if they are capable of glucose‐stimulated INS secretion.\n20\n Under healthy conditions, only a small pool of β‐cells retain proliferative capabilities.\n21\n β‐cell proliferation has been shown to increase with INS resistance in obesity,\n22\n and in the present study, the transcriptomes of subpopulations of proliferating α‐cells, immature, and senescent β‐cells will be evaluated in the context of T2DM.\nA key feature in the pathophysiology of T2DM is glucotoxicity and lipotoxicity, which generate high amounts of reactive oxygen species (ROS) and oxidative stress. ROS generation, mitochondrial dysfunction, endoplasmic reticulum (ER) stress, and autophagy are all implicated in the development of T2DM and can impair β‐cell function.\n23\n, \n24\n β‐cells maintain low levels of antioxidant defenses and an oxidized redox state, which is necessary to form the three disulfide bonds in INS.\n25\n, \n26\n, \n27\n ROS also act as signaling molecules to guide cell fate and maturation in β‐cells.\n28\n, \n29\n, \n30\n The induction of antioxidant enzymes via nuclear factor erythroid 2‐related factor 2 (NFE2L2) provides protection from oxidative damage; however, induction of NFE2L2 may also blunt glucose‐triggered ROS signaling, thus reducing INS secretion.\n30\n Recently an alternative pathway of NFE2L2 activation has also been described, where blockage of autophagosome‐lysosome fusion leads to sequestosome 1 (SQSTM1)‐mediated sequestration of Kelch‐like epichlorohydrin (ECH)‐associated protein 1 (KEAP1) into autophagosomes, preventing NFE2L2 ubiquitylation and degradation.\n31\n\n\nIn the study herein, a meta‐analysis of sc‐RNA‐Seq data from six studies from human pancreas islets will be conducted to evaluate how T2DM may modify the transcriptomes of several subpopulations of α‐ and β‐cells. The analysis in total represents sc‐RNA‐Seq data from 47 metabolically healthy human islet donors and 23 donors with T2DM. Subpopulations of proliferating α‐cells, immature, and senescent β‐cells will be evaluated using pathway analysis, and gene targets in the NFE2L2 pathway will be evaluated in relation to these subpopulations of α‐ and β‐cells. With this analysis, we hope to further understand the role that NFE2L2 may play in T2DM‐induced β‐cell dysfunction.", "Inclusion criteria Studies were selected based on PubMed and Google Scholar searches for the key terms “single‐cell sequencing,” “RNA sequencing,” “type 2 diabetes,” and “human pancreas or islets.” To be included in the meta‐analysis, studies had to include (1) single‐cell transcriptomic sequencing with (2) human pancreatic islet samples, (3) include metabolically healthy and diabetic donors with T2DM, and (4) provide publicly available annotation data. Publicly available single‐cell RNA‐seq datasets were downloaded from the Gene Expression Omnibus (GEO) repository\n32\n or ArrayExpress\n33\n (European Bioinformatics Institute, EBI), and Table 1 contains study details and accession numbers for selected studies. Before datasets were analyzed, all data were converted to the standard unit of transcripts per kilobase million (TPM). Counts per million reads mapped (CPM) were first converted to reads per kilobase million (RPKM) by dividing CPM by the gene length in kilobase. RPKM values were then converted to TPM by dividing RPKM by the sum of RPKM per sample and multiplying by a 106 scaling factor.\nDataset accession numbers and sequencing methods\n9 human islets:\n3 healthy\n2 T2DM\n1 T1DM\na\n\n\n2 child\na\n\n\nRead alignment and quantification performed using RNA‐Seq Unified Mapper (RUM)\n10 human islets:\n6 healthy\n4 T2DM\nAligned to human genome (hg19) using STAR\nAnnotated with RefSeq\nQuantified using rpkmforgenes\n18 human islets: 12 healthy\n6 T2DM\nAligned to human genome (GRCh37) using CLC Bio Genomics Workbench\n4 human islets:\n3 healthy\n1 T2DM\nRead 1 was used for identification\nRead 2 was mapped to a ref genome using Bowtie\nAlignments were filtered using UMI\n8 human islets:\n5 healthy\n3 T2DM\nAligned to the human genome (GRCh37) using Bowtie 2\nExpression levels were estimated using RSEM\n28 human islets:\n18 healthy\n7 T2DM\n3 T1DM\na\n\n\nAligned to the human genome (GRCh38) using STAR\nGene counts determined using HTSeq‐count\nAbbreviations: CPM, normalized counts per million; EBI, European Bioinformatics Institute; FACS, fluorescence‐activated cell sorting; GEO, Gene Expression Omnibus; RPKM, reads per kilobase of transcript per million mapped reads; T1DM, type 1 diabetes mellitus; T2DM, type 2 diabetes mellitus; TPM, transcripts per kilobase million.\nDonors were excluded.\nStudies were selected based on PubMed and Google Scholar searches for the key terms “single‐cell sequencing,” “RNA sequencing,” “type 2 diabetes,” and “human pancreas or islets.” To be included in the meta‐analysis, studies had to include (1) single‐cell transcriptomic sequencing with (2) human pancreatic islet samples, (3) include metabolically healthy and diabetic donors with T2DM, and (4) provide publicly available annotation data. Publicly available single‐cell RNA‐seq datasets were downloaded from the Gene Expression Omnibus (GEO) repository\n32\n or ArrayExpress\n33\n (European Bioinformatics Institute, EBI), and Table 1 contains study details and accession numbers for selected studies. Before datasets were analyzed, all data were converted to the standard unit of transcripts per kilobase million (TPM). Counts per million reads mapped (CPM) were first converted to reads per kilobase million (RPKM) by dividing CPM by the gene length in kilobase. RPKM values were then converted to TPM by dividing RPKM by the sum of RPKM per sample and multiplying by a 106 scaling factor.\nDataset accession numbers and sequencing methods\n9 human islets:\n3 healthy\n2 T2DM\n1 T1DM\na\n\n\n2 child\na\n\n\nRead alignment and quantification performed using RNA‐Seq Unified Mapper (RUM)\n10 human islets:\n6 healthy\n4 T2DM\nAligned to human genome (hg19) using STAR\nAnnotated with RefSeq\nQuantified using rpkmforgenes\n18 human islets: 12 healthy\n6 T2DM\nAligned to human genome (GRCh37) using CLC Bio Genomics Workbench\n4 human islets:\n3 healthy\n1 T2DM\nRead 1 was used for identification\nRead 2 was mapped to a ref genome using Bowtie\nAlignments were filtered using UMI\n8 human islets:\n5 healthy\n3 T2DM\nAligned to the human genome (GRCh37) using Bowtie 2\nExpression levels were estimated using RSEM\n28 human islets:\n18 healthy\n7 T2DM\n3 T1DM\na\n\n\nAligned to the human genome (GRCh38) using STAR\nGene counts determined using HTSeq‐count\nAbbreviations: CPM, normalized counts per million; EBI, European Bioinformatics Institute; FACS, fluorescence‐activated cell sorting; GEO, Gene Expression Omnibus; RPKM, reads per kilobase of transcript per million mapped reads; T1DM, type 1 diabetes mellitus; T2DM, type 2 diabetes mellitus; TPM, transcripts per kilobase million.\nDonors were excluded.\nCell type annotation All sequenced cells were classified based on key marker genes. These markers include the major hormone genes (GCG, INS, somatostatin [SST], ghrelin [GHRL], and pancreatic polypeptide [PP]), genes that encode acinar cell‐specific digestive enzymes (serine protease 1 [PRSS1] and pancreatic lipase [PNLIP]), and genes associated with ductal cells (i.e., keratin 19 [KRT19], secreted phosphoprotein 1 [SPP1], and hepatocyte nuclear factor 1β [HNF1B]). Expression level of markers had to be exclusive and robust, each cell type was then rendered in a “violin plot,” and if cells conflicted with other expression markers, they were excluded.\nAll sequenced cells were classified based on key marker genes. These markers include the major hormone genes (GCG, INS, somatostatin [SST], ghrelin [GHRL], and pancreatic polypeptide [PP]), genes that encode acinar cell‐specific digestive enzymes (serine protease 1 [PRSS1] and pancreatic lipase [PNLIP]), and genes associated with ductal cells (i.e., keratin 19 [KRT19], secreted phosphoprotein 1 [SPP1], and hepatocyte nuclear factor 1β [HNF1B]). Expression level of markers had to be exclusive and robust, each cell type was then rendered in a “violin plot,” and if cells conflicted with other expression markers, they were excluded.\nIdentification of subpopulations of α‐ and β‐cells Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual‐specificity tyrosine phosphorylation‐regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3β (GSK3B), as previously described for proliferating α‐cells.\n9\n Immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, macrophage‐activating factor (MAF) basic region‐leucine zipper (bZIP) transcription factor B (MAFB) and/or neuropeptide Y (NPY), over markers for mature β‐cells (MAF bZIP transcription factor A [MAFA], synaptotagmin 4 [SYT4], NK6 homeobox 1 [NKX6‐1], urocortin 3 [UNC3], pancreatic and duodenal homeobox 1 [PDX‐1], and glucose transporter 2 [SLC2A2 or GLUT2]) as reviewed by Salinno et al.\n16\n β‐cells were also defined as senescent if they had robust expression of senescent markers, INS‐like growth factor 1 receptor (IGF1R), and cyclin‐dependent kinase inhibitor 1A and 2A (CDKN1A and CDKN2A).\n16\n If cells did not have robust expression of any markers, cells were considered unassigned.\nProliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual‐specificity tyrosine phosphorylation‐regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3β (GSK3B), as previously described for proliferating α‐cells.\n9\n Immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, macrophage‐activating factor (MAF) basic region‐leucine zipper (bZIP) transcription factor B (MAFB) and/or neuropeptide Y (NPY), over markers for mature β‐cells (MAF bZIP transcription factor A [MAFA], synaptotagmin 4 [SYT4], NK6 homeobox 1 [NKX6‐1], urocortin 3 [UNC3], pancreatic and duodenal homeobox 1 [PDX‐1], and glucose transporter 2 [SLC2A2 or GLUT2]) as reviewed by Salinno et al.\n16\n β‐cells were also defined as senescent if they had robust expression of senescent markers, INS‐like growth factor 1 receptor (IGF1R), and cyclin‐dependent kinase inhibitor 1A and 2A (CDKN1A and CDKN2A).\n16\n If cells did not have robust expression of any markers, cells were considered unassigned.\nDifferential and meta‐analyses\n To account for changes within datasets, each dataset was analyzed individually. Within each dataset, a two‐tailed Student's t test and a permutation‐based false discovery rate calculation were used for statistical evaluation of differentially abundant genes for each comparison. P values from each dataset were then combined using the mean of each dataset weighted for sample sizes, and a P < .05 was considered significant. This technique was selected as it allows for the combination of results from heterogeneous analyses directly. As P value‐based combination loses the directionality of the expression patterns, fold change values for each dataset were then also combined using the mean of each dataset weighted for sample sizes. Genes not shared across datasets were given values of 1 for both P value and fold change calculations.\nTo account for changes within datasets, each dataset was analyzed individually. Within each dataset, a two‐tailed Student's t test and a permutation‐based false discovery rate calculation were used for statistical evaluation of differentially abundant genes for each comparison. P values from each dataset were then combined using the mean of each dataset weighted for sample sizes, and a P < .05 was considered significant. This technique was selected as it allows for the combination of results from heterogeneous analyses directly. As P value‐based combination loses the directionality of the expression patterns, fold change values for each dataset were then also combined using the mean of each dataset weighted for sample sizes. Genes not shared across datasets were given values of 1 for both P value and fold change calculations.\nPathway analysis and individual redox gene expression analysis Significant genes (p value <0.05) and genes with a fold change greater or lower than 20% (ratio of at least −1.2 or 1.2) were selected for pathway analysis using Ingenuity Pathway Analysis (IPA) QIAGEN Bioinformatics (Redwood City, California) to map statistically significant genes to the pathways and biological processes. To explore key genes related to redox signaling, TPM values from all datasets were combined, and a Kruskal‐Wallis nonparametric test followed by Dunnʼs post hoc test for multiple comparisons was performed using GraphPad Prism v9.1.0 (La Jolla, California) software. Significance was considered to be p < 0.05.\nSignificant genes (p value <0.05) and genes with a fold change greater or lower than 20% (ratio of at least −1.2 or 1.2) were selected for pathway analysis using Ingenuity Pathway Analysis (IPA) QIAGEN Bioinformatics (Redwood City, California) to map statistically significant genes to the pathways and biological processes. To explore key genes related to redox signaling, TPM values from all datasets were combined, and a Kruskal‐Wallis nonparametric test followed by Dunnʼs post hoc test for multiple comparisons was performed using GraphPad Prism v9.1.0 (La Jolla, California) software. Significance was considered to be p < 0.05.", "Studies were selected based on PubMed and Google Scholar searches for the key terms “single‐cell sequencing,” “RNA sequencing,” “type 2 diabetes,” and “human pancreas or islets.” To be included in the meta‐analysis, studies had to include (1) single‐cell transcriptomic sequencing with (2) human pancreatic islet samples, (3) include metabolically healthy and diabetic donors with T2DM, and (4) provide publicly available annotation data. Publicly available single‐cell RNA‐seq datasets were downloaded from the Gene Expression Omnibus (GEO) repository\n32\n or ArrayExpress\n33\n (European Bioinformatics Institute, EBI), and Table 1 contains study details and accession numbers for selected studies. Before datasets were analyzed, all data were converted to the standard unit of transcripts per kilobase million (TPM). Counts per million reads mapped (CPM) were first converted to reads per kilobase million (RPKM) by dividing CPM by the gene length in kilobase. RPKM values were then converted to TPM by dividing RPKM by the sum of RPKM per sample and multiplying by a 106 scaling factor.\nDataset accession numbers and sequencing methods\n9 human islets:\n3 healthy\n2 T2DM\n1 T1DM\na\n\n\n2 child\na\n\n\nRead alignment and quantification performed using RNA‐Seq Unified Mapper (RUM)\n10 human islets:\n6 healthy\n4 T2DM\nAligned to human genome (hg19) using STAR\nAnnotated with RefSeq\nQuantified using rpkmforgenes\n18 human islets: 12 healthy\n6 T2DM\nAligned to human genome (GRCh37) using CLC Bio Genomics Workbench\n4 human islets:\n3 healthy\n1 T2DM\nRead 1 was used for identification\nRead 2 was mapped to a ref genome using Bowtie\nAlignments were filtered using UMI\n8 human islets:\n5 healthy\n3 T2DM\nAligned to the human genome (GRCh37) using Bowtie 2\nExpression levels were estimated using RSEM\n28 human islets:\n18 healthy\n7 T2DM\n3 T1DM\na\n\n\nAligned to the human genome (GRCh38) using STAR\nGene counts determined using HTSeq‐count\nAbbreviations: CPM, normalized counts per million; EBI, European Bioinformatics Institute; FACS, fluorescence‐activated cell sorting; GEO, Gene Expression Omnibus; RPKM, reads per kilobase of transcript per million mapped reads; T1DM, type 1 diabetes mellitus; T2DM, type 2 diabetes mellitus; TPM, transcripts per kilobase million.\nDonors were excluded.", "All sequenced cells were classified based on key marker genes. These markers include the major hormone genes (GCG, INS, somatostatin [SST], ghrelin [GHRL], and pancreatic polypeptide [PP]), genes that encode acinar cell‐specific digestive enzymes (serine protease 1 [PRSS1] and pancreatic lipase [PNLIP]), and genes associated with ductal cells (i.e., keratin 19 [KRT19], secreted phosphoprotein 1 [SPP1], and hepatocyte nuclear factor 1β [HNF1B]). Expression level of markers had to be exclusive and robust, each cell type was then rendered in a “violin plot,” and if cells conflicted with other expression markers, they were excluded.", "Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual‐specificity tyrosine phosphorylation‐regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3β (GSK3B), as previously described for proliferating α‐cells.\n9\n Immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, macrophage‐activating factor (MAF) basic region‐leucine zipper (bZIP) transcription factor B (MAFB) and/or neuropeptide Y (NPY), over markers for mature β‐cells (MAF bZIP transcription factor A [MAFA], synaptotagmin 4 [SYT4], NK6 homeobox 1 [NKX6‐1], urocortin 3 [UNC3], pancreatic and duodenal homeobox 1 [PDX‐1], and glucose transporter 2 [SLC2A2 or GLUT2]) as reviewed by Salinno et al.\n16\n β‐cells were also defined as senescent if they had robust expression of senescent markers, INS‐like growth factor 1 receptor (IGF1R), and cyclin‐dependent kinase inhibitor 1A and 2A (CDKN1A and CDKN2A).\n16\n If cells did not have robust expression of any markers, cells were considered unassigned.", "To account for changes within datasets, each dataset was analyzed individually. Within each dataset, a two‐tailed Student's t test and a permutation‐based false discovery rate calculation were used for statistical evaluation of differentially abundant genes for each comparison. P values from each dataset were then combined using the mean of each dataset weighted for sample sizes, and a P < .05 was considered significant. This technique was selected as it allows for the combination of results from heterogeneous analyses directly. As P value‐based combination loses the directionality of the expression patterns, fold change values for each dataset were then also combined using the mean of each dataset weighted for sample sizes. Genes not shared across datasets were given values of 1 for both P value and fold change calculations.", "Significant genes (p value <0.05) and genes with a fold change greater or lower than 20% (ratio of at least −1.2 or 1.2) were selected for pathway analysis using Ingenuity Pathway Analysis (IPA) QIAGEN Bioinformatics (Redwood City, California) to map statistically significant genes to the pathways and biological processes. To explore key genes related to redox signaling, TPM values from all datasets were combined, and a Kruskal‐Wallis nonparametric test followed by Dunnʼs post hoc test for multiple comparisons was performed using GraphPad Prism v9.1.0 (La Jolla, California) software. Significance was considered to be p < 0.05.", "Cell type identification α‐ and β‐cells were identified based on exclusive and robust expression of major hormone genes (GCG and INS). Expression levels of all the gene markers were rendered in a “violin plot” (Figure 1A), and if cells had conflicts with other expression markers, they were excluded. After cell types were assigned, 25 genes enriched in α‐ and β‐cells were also evaluated.\n8\n For α‐cells, there was higher expression in α‐cell markers, such as transthyretin (TTR) and signal sequence receptor subunit 4 (SSR4), compared to other cell types (Figure 1B.i). For β‐cells, there was higher expression in β‐cell markers, such as islet amyloid polypeptide (IAPP) and adenylate cyclase‐activating polypeptide 1 (ADCYAP1), compared to other cells. (Figure 1B.ii). Overall, 7036 α‐cells were identified (2.6% of the α‐cells were from Wang et al, 15.0% from Segertolpe et al, 11.8% from Xin et al, 33.1% from Baron et al, 3.4% from Lawlor et al, and 34.2% from Camunas‐Soler et al), and 6029 β‐cells were identified (1.5% from Wang et al, 7.2% from Segertolpe et al, 6.4% from Xin et al, 41.9% from Baron et al, 4.4% from Lawlor et al, and 38.7% from Camunas‐Soler et al) (Figure 1C).\nCell type identification of integrated dataset s. (A) Violin plot displaying the log‐transformed transcripts per million (TPM) of key gene markers in α‐(blue) and β‐(red) cells. Log‐transformed TPM of genes abundantly expressed in α‐(B.i) and β‐(B.ii) cells are also presented, where each point represents the weighted average among each dataset to account for sample size. (C) The number of cells identified in each dataset based on exclusive and robust expression of key gene markers, number of cells from healthy and diabetic samples are also reported for α‐and β‐cells\nα‐ and β‐cells were identified based on exclusive and robust expression of major hormone genes (GCG and INS). Expression levels of all the gene markers were rendered in a “violin plot” (Figure 1A), and if cells had conflicts with other expression markers, they were excluded. After cell types were assigned, 25 genes enriched in α‐ and β‐cells were also evaluated.\n8\n For α‐cells, there was higher expression in α‐cell markers, such as transthyretin (TTR) and signal sequence receptor subunit 4 (SSR4), compared to other cell types (Figure 1B.i). For β‐cells, there was higher expression in β‐cell markers, such as islet amyloid polypeptide (IAPP) and adenylate cyclase‐activating polypeptide 1 (ADCYAP1), compared to other cells. (Figure 1B.ii). Overall, 7036 α‐cells were identified (2.6% of the α‐cells were from Wang et al, 15.0% from Segertolpe et al, 11.8% from Xin et al, 33.1% from Baron et al, 3.4% from Lawlor et al, and 34.2% from Camunas‐Soler et al), and 6029 β‐cells were identified (1.5% from Wang et al, 7.2% from Segertolpe et al, 6.4% from Xin et al, 41.9% from Baron et al, 4.4% from Lawlor et al, and 38.7% from Camunas‐Soler et al) (Figure 1C).\nCell type identification of integrated dataset s. (A) Violin plot displaying the log‐transformed transcripts per million (TPM) of key gene markers in α‐(blue) and β‐(red) cells. Log‐transformed TPM of genes abundantly expressed in α‐(B.i) and β‐(B.ii) cells are also presented, where each point represents the weighted average among each dataset to account for sample size. (C) The number of cells identified in each dataset based on exclusive and robust expression of key gene markers, number of cells from healthy and diabetic samples are also reported for α‐and β‐cells\nα‐cell gene expression profiles with T2DM\n From the meta‐analysis, 285 genes were differentially expressed in α‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA. Top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over‐ and underexpressed genes are listed in Table 2. Overall, α‐cells from T2DM donors modified genes involved in energy regulation, autophagy, cell cycle, and xenobiotic metabolism. Additionally, several interleukins were induced in α‐cells from T2DM donors, and several hormone signaling pathways were also upregulated, such as β‐estradiol and, as expected, INS. The INS secretion signaling pathway was also induced in α‐cells from T2DM donors. Of interest to the present study, NFE2L2 was also induced in α‐cells from T2DM donors. Several of the top differentially expressed genes (DEGs) were related to energy metabolism, immunity, and peptide hormone metabolism.\nType 2 diabetes‐driven transcriptomic changes in α‐cells\nFrom the meta‐analysis, 285 genes were differentially expressed in α‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA. Top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over‐ and underexpressed genes are listed in Table 2. Overall, α‐cells from T2DM donors modified genes involved in energy regulation, autophagy, cell cycle, and xenobiotic metabolism. Additionally, several interleukins were induced in α‐cells from T2DM donors, and several hormone signaling pathways were also upregulated, such as β‐estradiol and, as expected, INS. The INS secretion signaling pathway was also induced in α‐cells from T2DM donors. Of interest to the present study, NFE2L2 was also induced in α‐cells from T2DM donors. Several of the top differentially expressed genes (DEGs) were related to energy metabolism, immunity, and peptide hormone metabolism.\nType 2 diabetes‐driven transcriptomic changes in α‐cells\nProliferating α‐cell gene expression profiles Forty‐nine proliferating α‐cells were identified from the pooled dataset by exclusive and robust expression of MKI67 vs DYRK1A and GSK3B, and if none of the target genes were detected, the α‐cell was considered unassigned (Figure 2A). A greater percentage of α‐cells from healthy donors (57.59%) were unassigned as compared to α‐cells from T2DM donors (40.69%), and less than 1% of α‐cells were identified as proliferating in the pooled dataset (Figure 2B). Although not significant, the portion of proliferating α‐cells from T2DM donors (0.83%) was greater than proliferating α‐cells from healthy donors (0.63%) (Figure 2C). There were 75 DEGs in nonproliferating α‐cells from T2DM donors, and there were 82 DEGs in proliferating α‐cells from T2DM donors (Figure 2D\n). Carboxypeptidase E (CPE) and neuropeptide‐like protein (C4orf48) were the only common DEGs in proliferating and nonproliferating α‐cells from T2DM donors and are involved in the biosynthesis of neuropeptides and peptide hormones. There were 106 DEGs in proliferating vs nonproliferating α‐cells from healthy donors, and 7 DEGs from T2DM donors. Top DEGs are listed in Figure 2E. In proliferating vs nonproliferating α‐cells from T2DM donors, top overexpressed genes included MKI67, a proliferation marker. Most of the top overexpressed genes in proliferating vs nonproliferating α‐cells from both healthy and T2DM donors are related to cell division, such as cell division cycle associated 8 (CDCA8). In the pathway analysis (Figure 2F), nonproliferating α‐cells from T2DM vs healthy donors repressed the coronavirus pathogenesis pathway. Proliferating α‐cells from T2DM vs healthy donors induced the INS secretion signaling pathway and sirtuin signaling pathway similar to results in Table 2. In proliferating α‐cells from healthy donors, many of the modulated pathways were related to cell replication, Rho signaling, and in the upstream regulator analysis (Figure 2G), several regulators related to cell proliferation were upregulated, such as proto‐oncogene, BHLH transcription factor (MYC). As expected, since the estrogen receptor signaling pathway is induced in proliferating vs nonproliferating α‐cells from healthy donors, many of the upstream regulators are related to estrogen signaling. NFE2L2 signaling was induced in proliferating α‐cells from healthy donors. In nonproliferating α‐cells from T2DM donors, NFE2L2 signaling was repressed; however, in proliferating α‐cells from T2DM vs healthy donors, NFE2L2 signaling was induced.\nProliferating α‐cell gene expression. (A) Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual specificity tyrosine phosphorylation regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3 β‐(GSK3B). (B,C) A greater percentage of α‐cells from healthy samples (57.59%) were unassigned as compared to T2DM samples (40.69%), X2 (2, N = 7036) = 176.21, P < .00001, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and proliferation state. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤−1.5), and (G) upstream regulators (≥2.25 or ≤−2.25)\nForty‐nine proliferating α‐cells were identified from the pooled dataset by exclusive and robust expression of MKI67 vs DYRK1A and GSK3B, and if none of the target genes were detected, the α‐cell was considered unassigned (Figure 2A). A greater percentage of α‐cells from healthy donors (57.59%) were unassigned as compared to α‐cells from T2DM donors (40.69%), and less than 1% of α‐cells were identified as proliferating in the pooled dataset (Figure 2B). Although not significant, the portion of proliferating α‐cells from T2DM donors (0.83%) was greater than proliferating α‐cells from healthy donors (0.63%) (Figure 2C). There were 75 DEGs in nonproliferating α‐cells from T2DM donors, and there were 82 DEGs in proliferating α‐cells from T2DM donors (Figure 2D\n). Carboxypeptidase E (CPE) and neuropeptide‐like protein (C4orf48) were the only common DEGs in proliferating and nonproliferating α‐cells from T2DM donors and are involved in the biosynthesis of neuropeptides and peptide hormones. There were 106 DEGs in proliferating vs nonproliferating α‐cells from healthy donors, and 7 DEGs from T2DM donors. Top DEGs are listed in Figure 2E. In proliferating vs nonproliferating α‐cells from T2DM donors, top overexpressed genes included MKI67, a proliferation marker. Most of the top overexpressed genes in proliferating vs nonproliferating α‐cells from both healthy and T2DM donors are related to cell division, such as cell division cycle associated 8 (CDCA8). In the pathway analysis (Figure 2F), nonproliferating α‐cells from T2DM vs healthy donors repressed the coronavirus pathogenesis pathway. Proliferating α‐cells from T2DM vs healthy donors induced the INS secretion signaling pathway and sirtuin signaling pathway similar to results in Table 2. In proliferating α‐cells from healthy donors, many of the modulated pathways were related to cell replication, Rho signaling, and in the upstream regulator analysis (Figure 2G), several regulators related to cell proliferation were upregulated, such as proto‐oncogene, BHLH transcription factor (MYC). As expected, since the estrogen receptor signaling pathway is induced in proliferating vs nonproliferating α‐cells from healthy donors, many of the upstream regulators are related to estrogen signaling. NFE2L2 signaling was induced in proliferating α‐cells from healthy donors. In nonproliferating α‐cells from T2DM donors, NFE2L2 signaling was repressed; however, in proliferating α‐cells from T2DM vs healthy donors, NFE2L2 signaling was induced.\nProliferating α‐cell gene expression. (A) Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual specificity tyrosine phosphorylation regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3 β‐(GSK3B). (B,C) A greater percentage of α‐cells from healthy samples (57.59%) were unassigned as compared to T2DM samples (40.69%), X2 (2, N = 7036) = 176.21, P < .00001, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and proliferation state. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤−1.5), and (G) upstream regulators (≥2.25 or ≤−2.25)\nβ‐cell gene expression profiles with T2DM\n From our meta‐analysis, 286 genes were differentially expressed in β‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA, and top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over and underexpressed genes are listed in Table 3. Overall, β‐cells from T2DM donors modified genes involved in pathways involved in energy regulation, autophagy, cell cycle, and hormone signaling pathways. As expected with T2DM, the INS secretion signaling pathway was also induced in β‐cells from T2DM donors. Again, of interest to the present study, NFE2L2 was induced in β‐cells from T2DM donors. Top underexpressed genes include several proteins involved in protein metabolism. IAPP, a β‐cell hormone that acts as a satiation signal, is underexpressed in β‐cells from T2DM donors. Top overexpressed genes also included SIX homeobox 3 (SIX3). SIX3 represses Wnt activity and activates the sonic hedgehog gene (SHH), and both pathways are involved in β‐cell proliferation and differentiation.\n34\n, \n35\n, \n36\n\n\nType 2 diabetes‐driven transcriptomic changes in β‐cells\nFrom our meta‐analysis, 286 genes were differentially expressed in β‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA, and top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over and underexpressed genes are listed in Table 3. Overall, β‐cells from T2DM donors modified genes involved in pathways involved in energy regulation, autophagy, cell cycle, and hormone signaling pathways. As expected with T2DM, the INS secretion signaling pathway was also induced in β‐cells from T2DM donors. Again, of interest to the present study, NFE2L2 was induced in β‐cells from T2DM donors. Top underexpressed genes include several proteins involved in protein metabolism. IAPP, a β‐cell hormone that acts as a satiation signal, is underexpressed in β‐cells from T2DM donors. Top overexpressed genes also included SIX homeobox 3 (SIX3). SIX3 represses Wnt activity and activates the sonic hedgehog gene (SHH), and both pathways are involved in β‐cell proliferation and differentiation.\n34\n, \n35\n, \n36\n\n\nType 2 diabetes‐driven transcriptomic changes in β‐cells\nGene expression profiles of immature β‐cells A total of 2698 immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, MAFB and/or NPY vs markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, SLC2A2) (Figure 3A).\n16\n The portion of immature β‐cells from T2DM donors (49.1%) was greater than immature β‐cells from healthy donors (43.2%) (Figure 3B). There were 247 DEGs in mature β‐cells from T2DM vs healthy donors, and there were 70 DEGs in immature β‐cells from T2DM vs healthy donors (Figure 3C). There were 20 common DEGs in both mature and immature β‐cells from T2DM vs healthy donors; however, 5 of those genes were induced in mature but decreased in immature β‐cells from T2DM donors. In healthy donors, there were 15 DEGs in immature vs mature β‐cells, and in T2DM donors, there was 1 DEG in immature vs mature β‐cells. NPY, a marker of β‐cell immaturity, was overexpressed in mature vs immature β‐cells in healthy donors; interestingly, NPY was also overexpressed in immature β‐cells from T2DM vs healthy donors (Figure 3D). Similarly, brain‐expressed X‐linked 1 (BEX1), a top overexpressed gene in immature vs mature β‐cells from healthy donors, was also induced in immature β‐cells from T2DM vs healthy donors. Another top overexpressed gene in immature vs mature β‐cells in healthy donors was glutathione S‐transferase omega 1 (GSTO1), a NFE2L2 target gene that activates NF‐κB.\n37\n The only DEG in immature vs mature β‐cells from T2DM donors was MAFB, the other maker of β‐cell immaturity. In the pathway analysis, as expected, mature and immature β‐cells from T2DM vs healthy donors had modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways (Figure 3E,F). There were no pathway changes in mature vs immature β‐cells. However, in the upstream regulator analysis, NFE2L2 signaling and STK11 (serine threonine kinase 11), a tumor suppressor, was activated in mature β‐cells but downregulated in immature β‐cells from T2DM donors. In immature vs mature β‐cells from healthy donors, MYC signaling is induced.\n38\n\n\nMature and Immature β‐cell gene expression. (A) Immature β‐cell was defined by exclusive and robust expression of MAFB and/or NPY over markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, and SLC2A2). (B) A greater percentage of β‐cells from T2DM samples (49.1%) were defined as immature as compared to healthy samples (43.2%), X2 (2, N = 6028) = 16.29, P = .0003, with Bonferroni correction. (C) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and maturity. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (D) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (E) canonical pathways (≥1.5 or ≤−1.5), and (F) upstream regulators (≥2.25 or ≤−2.25)\nA total of 2698 immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, MAFB and/or NPY vs markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, SLC2A2) (Figure 3A).\n16\n The portion of immature β‐cells from T2DM donors (49.1%) was greater than immature β‐cells from healthy donors (43.2%) (Figure 3B). There were 247 DEGs in mature β‐cells from T2DM vs healthy donors, and there were 70 DEGs in immature β‐cells from T2DM vs healthy donors (Figure 3C). There were 20 common DEGs in both mature and immature β‐cells from T2DM vs healthy donors; however, 5 of those genes were induced in mature but decreased in immature β‐cells from T2DM donors. In healthy donors, there were 15 DEGs in immature vs mature β‐cells, and in T2DM donors, there was 1 DEG in immature vs mature β‐cells. NPY, a marker of β‐cell immaturity, was overexpressed in mature vs immature β‐cells in healthy donors; interestingly, NPY was also overexpressed in immature β‐cells from T2DM vs healthy donors (Figure 3D). Similarly, brain‐expressed X‐linked 1 (BEX1), a top overexpressed gene in immature vs mature β‐cells from healthy donors, was also induced in immature β‐cells from T2DM vs healthy donors. Another top overexpressed gene in immature vs mature β‐cells in healthy donors was glutathione S‐transferase omega 1 (GSTO1), a NFE2L2 target gene that activates NF‐κB.\n37\n The only DEG in immature vs mature β‐cells from T2DM donors was MAFB, the other maker of β‐cell immaturity. In the pathway analysis, as expected, mature and immature β‐cells from T2DM vs healthy donors had modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways (Figure 3E,F). There were no pathway changes in mature vs immature β‐cells. However, in the upstream regulator analysis, NFE2L2 signaling and STK11 (serine threonine kinase 11), a tumor suppressor, was activated in mature β‐cells but downregulated in immature β‐cells from T2DM donors. In immature vs mature β‐cells from healthy donors, MYC signaling is induced.\n38\n\n\nMature and Immature β‐cell gene expression. (A) Immature β‐cell was defined by exclusive and robust expression of MAFB and/or NPY over markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, and SLC2A2). (B) A greater percentage of β‐cells from T2DM samples (49.1%) were defined as immature as compared to healthy samples (43.2%), X2 (2, N = 6028) = 16.29, P = .0003, with Bonferroni correction. (C) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and maturity. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (D) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (E) canonical pathways (≥1.5 or ≤−1.5), and (F) upstream regulators (≥2.25 or ≤−2.25)\nGene expression profiles of senescent β‐cells A total of 167 senescent β‐cells were identified from the pooled dataset by robust expression of senescent markers IGF1R, CDKN1A, and CDKN2A\n16\n (Figure 4A). A greater percentage of β‐cells from T2DM donors (4.04%) were defined as senescent as compared to β‐cells from healthy donors (2.32%) (Figure 4B), and the majority of senescent β‐cells were also considered immature (Figure 4C). There were 335 DEGs in non‐senescent β‐cells from T2DM vs healthy donors, and there was 1 DEG in senescent β‐cells from T2DM vs healthy donors. In healthy donors, there were 17 DEGs in senescent vs non‐senescent β‐cells, and there were 2 DEGs in senescent β‐cells from T2DM donors. The only DEG in senescent β‐cells from T2DM vs healthy donors was glutamate decarboxylase 2 (GAD2), a known autoantigen in INS‐dependent diabetes (Figure 3D). Additionally, SIX3 is one of the top overexpressed genes in senescent vs non‐senescent β‐cells from healthy donors and in non‐senescent β‐cells from T2DM vs healthy donors. In the pathway and upstream regulator analysis, only non‐senescent β‐cells from T2DM vs healthy sample had significant pathways changes (Figure 4F,G). As expected, both the mature and immature β‐cells from T2DM vs healthy donors modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways.\nSenescent β‐cell gene expression. (A) Β‐cell were also defined as senescent if they had robust expression of senescent markers, IGF1R, CDKN1A, and CDKN1A. (B) A greater percentage of β‐cells from T2DM samples (4.04%) were defined as senescent as compared to healthy samples (2.32%), X2 (1, N = 6029) = 12.79, P = .0003, with Bonferroni correction. (C) The majority of senescent β‐cell were also considered immature, X2 (4, N = 6028) = 25.98, P = .00003, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and senescence. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤ −1.5), and (G) upstream regulators (≥2.25 or ≤−2.25)\nA total of 167 senescent β‐cells were identified from the pooled dataset by robust expression of senescent markers IGF1R, CDKN1A, and CDKN2A\n16\n (Figure 4A). A greater percentage of β‐cells from T2DM donors (4.04%) were defined as senescent as compared to β‐cells from healthy donors (2.32%) (Figure 4B), and the majority of senescent β‐cells were also considered immature (Figure 4C). There were 335 DEGs in non‐senescent β‐cells from T2DM vs healthy donors, and there was 1 DEG in senescent β‐cells from T2DM vs healthy donors. In healthy donors, there were 17 DEGs in senescent vs non‐senescent β‐cells, and there were 2 DEGs in senescent β‐cells from T2DM donors. The only DEG in senescent β‐cells from T2DM vs healthy donors was glutamate decarboxylase 2 (GAD2), a known autoantigen in INS‐dependent diabetes (Figure 3D). Additionally, SIX3 is one of the top overexpressed genes in senescent vs non‐senescent β‐cells from healthy donors and in non‐senescent β‐cells from T2DM vs healthy donors. In the pathway and upstream regulator analysis, only non‐senescent β‐cells from T2DM vs healthy sample had significant pathways changes (Figure 4F,G). As expected, both the mature and immature β‐cells from T2DM vs healthy donors modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways.\nSenescent β‐cell gene expression. (A) Β‐cell were also defined as senescent if they had robust expression of senescent markers, IGF1R, CDKN1A, and CDKN1A. (B) A greater percentage of β‐cells from T2DM samples (4.04%) were defined as senescent as compared to healthy samples (2.32%), X2 (1, N = 6029) = 12.79, P = .0003, with Bonferroni correction. (C) The majority of senescent β‐cell were also considered immature, X2 (4, N = 6028) = 25.98, P = .00003, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and senescence. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤ −1.5), and (G) upstream regulators (≥2.25 or ≤−2.25)\n\nT2DM activated the NFE2L2 pathway in immature and senescent β‐cells A common upstream regulator that was significantly induced with T2DM was NFE2L2 (Tables 2 and 3). To further evaluate this pathway in relationship to cell dysfunction, several NFE2L2 gene targets were evaluated in α‐ and β‐cells. Proliferating α‐cells had minimal changes in selected NFE2L2 gene targets (Figure S1A). Mature β‐cells from T2DM donors had increased expression of NFE2L2 by 1.5‐fold compared to healthy donors (Figure 5A.i). Immature β‐cells from T2DM donors had increased expression of NFE2L2, glutathione S‐transferase α‐4 (GSTA4), glutathione S‐transferase Mu 3 (GSTM3), glutamate‐cysteine ligase catalytic subunit (GCLC), glutamate‐cysteine ligase modifier subunit (GCLM), cytochrome P450 2R1 (CYP2R1), and solute carrier family 35 member A4 (SLC35A4) by 1.3 to 2.6‐fold compared to healthy donors (Figure 5A). In healthy donors, expression of NFE2L2, KEAP1, NAD(P)H quinone dehydrogenase 1 (NQO1), GSTA4, and GSTM3 was induced by 1.3 to 2.7‐fold in immature β‐cells compared to mature β‐cells. However, in the T2DM donors, expression of all the NFE2L2 gene targets evaluated (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced by 1.1 to 2.7‐fold in immature β‐cells vs mature β‐cells.\nNFE2L2 and Redox gene expression. Log transformed transcripts per million (TPM) value of (i) Nuclear factor erythroid 2‐related factor 2 (NFE2L2), (ii) Kelch‐like ECH‐associated protein 1 (KEAP1), (iii) NAD(P)H quinone dehydrogenase 1 (NQO1), (iv) Glutathione S‐transferase α‐4 (GSTA4), (v) Glutathione S‐transferase Mu 3 (GSTM3), (vi) Glutamate‐cysteine ligase catalytic subunit (GCLC), (vii) Glutamate‐cysteine ligase modifier subunit (GCLM), (viii) Cytochrome P450 2R1 (CYP2R1), and (ix) Solute carrier family 35 member A4 (SLC35A4) were graphed and to evaluate NFE2L2 activation, in (A) immature and (B) senescent β‐cells. Additionally, (C) sequestosome 1 (SQSTM1) expression was also evaluated as a possible mechanism of NFE2L2 in (i) immature and (ii) senescent β‐cells. All bars represent mean values ± SEM. Calculations were performed using a Kruskal‐Wallis nonparametric test, followed by Dunnʼs post hoc test for multiple comparisons; N = 1456 Healthy‐Mature, 1920 Healthy‐Immature, 465 T2DM‐Mature, and 465 T2DM‐Immature β‐cells and N = 4340 Healthy‐Non‐Senescent, 103 Healthy‐Senescent, 1522 T2DM‐Non‐Senescent, and 64 T2DM‐Senescent β‐cells. *P ≤ .05, **P ≤ .01, ***P ≤ .001, and ****P ≤ .0001\nNon‐senescent β‐cells from T2DM donors had increased expression of NFE2L2, GSTA4, and GSTM3 by 1.8, 1.8, and 1.3‐fold, respectively (Figure 5B). Senescent β‐cells from the T2DM samples had increased expression of NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, and GCLC; however, the trends were not significant. In healthy and T2DM donors, expression of all the NFE2L2 gene targets (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced in senescent β‐cells compared to non‐senescent β‐cells by 1.7 to 5.3‐fold.\nIn addition to the canonical KEAP1 pathway, NFE2L2 can also be activated in a SQSTM1‐KEAP1‐dependent manner during autophagy dysregulation.\n31\n SQSTM1 expression is increased by 61.8% and 84.4% in the immature β‐cells (Figure 5C.i) and 100.4% and 130.0% in senescent β‐cells (Figure 5C.ii) in the healthy and T2DM donors, respectively. Only in the non‐senescent β‐cells was there a 3% increase in SQSTM1 expression in β‐cells from T2DM donors compared to healthy donors.\nA common upstream regulator that was significantly induced with T2DM was NFE2L2 (Tables 2 and 3). To further evaluate this pathway in relationship to cell dysfunction, several NFE2L2 gene targets were evaluated in α‐ and β‐cells. Proliferating α‐cells had minimal changes in selected NFE2L2 gene targets (Figure S1A). Mature β‐cells from T2DM donors had increased expression of NFE2L2 by 1.5‐fold compared to healthy donors (Figure 5A.i). Immature β‐cells from T2DM donors had increased expression of NFE2L2, glutathione S‐transferase α‐4 (GSTA4), glutathione S‐transferase Mu 3 (GSTM3), glutamate‐cysteine ligase catalytic subunit (GCLC), glutamate‐cysteine ligase modifier subunit (GCLM), cytochrome P450 2R1 (CYP2R1), and solute carrier family 35 member A4 (SLC35A4) by 1.3 to 2.6‐fold compared to healthy donors (Figure 5A). In healthy donors, expression of NFE2L2, KEAP1, NAD(P)H quinone dehydrogenase 1 (NQO1), GSTA4, and GSTM3 was induced by 1.3 to 2.7‐fold in immature β‐cells compared to mature β‐cells. However, in the T2DM donors, expression of all the NFE2L2 gene targets evaluated (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced by 1.1 to 2.7‐fold in immature β‐cells vs mature β‐cells.\nNFE2L2 and Redox gene expression. Log transformed transcripts per million (TPM) value of (i) Nuclear factor erythroid 2‐related factor 2 (NFE2L2), (ii) Kelch‐like ECH‐associated protein 1 (KEAP1), (iii) NAD(P)H quinone dehydrogenase 1 (NQO1), (iv) Glutathione S‐transferase α‐4 (GSTA4), (v) Glutathione S‐transferase Mu 3 (GSTM3), (vi) Glutamate‐cysteine ligase catalytic subunit (GCLC), (vii) Glutamate‐cysteine ligase modifier subunit (GCLM), (viii) Cytochrome P450 2R1 (CYP2R1), and (ix) Solute carrier family 35 member A4 (SLC35A4) were graphed and to evaluate NFE2L2 activation, in (A) immature and (B) senescent β‐cells. Additionally, (C) sequestosome 1 (SQSTM1) expression was also evaluated as a possible mechanism of NFE2L2 in (i) immature and (ii) senescent β‐cells. All bars represent mean values ± SEM. Calculations were performed using a Kruskal‐Wallis nonparametric test, followed by Dunnʼs post hoc test for multiple comparisons; N = 1456 Healthy‐Mature, 1920 Healthy‐Immature, 465 T2DM‐Mature, and 465 T2DM‐Immature β‐cells and N = 4340 Healthy‐Non‐Senescent, 103 Healthy‐Senescent, 1522 T2DM‐Non‐Senescent, and 64 T2DM‐Senescent β‐cells. *P ≤ .05, **P ≤ .01, ***P ≤ .001, and ****P ≤ .0001\nNon‐senescent β‐cells from T2DM donors had increased expression of NFE2L2, GSTA4, and GSTM3 by 1.8, 1.8, and 1.3‐fold, respectively (Figure 5B). Senescent β‐cells from the T2DM samples had increased expression of NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, and GCLC; however, the trends were not significant. In healthy and T2DM donors, expression of all the NFE2L2 gene targets (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced in senescent β‐cells compared to non‐senescent β‐cells by 1.7 to 5.3‐fold.\nIn addition to the canonical KEAP1 pathway, NFE2L2 can also be activated in a SQSTM1‐KEAP1‐dependent manner during autophagy dysregulation.\n31\n SQSTM1 expression is increased by 61.8% and 84.4% in the immature β‐cells (Figure 5C.i) and 100.4% and 130.0% in senescent β‐cells (Figure 5C.ii) in the healthy and T2DM donors, respectively. Only in the non‐senescent β‐cells was there a 3% increase in SQSTM1 expression in β‐cells from T2DM donors compared to healthy donors.", "α‐ and β‐cells were identified based on exclusive and robust expression of major hormone genes (GCG and INS). Expression levels of all the gene markers were rendered in a “violin plot” (Figure 1A), and if cells had conflicts with other expression markers, they were excluded. After cell types were assigned, 25 genes enriched in α‐ and β‐cells were also evaluated.\n8\n For α‐cells, there was higher expression in α‐cell markers, such as transthyretin (TTR) and signal sequence receptor subunit 4 (SSR4), compared to other cell types (Figure 1B.i). For β‐cells, there was higher expression in β‐cell markers, such as islet amyloid polypeptide (IAPP) and adenylate cyclase‐activating polypeptide 1 (ADCYAP1), compared to other cells. (Figure 1B.ii). Overall, 7036 α‐cells were identified (2.6% of the α‐cells were from Wang et al, 15.0% from Segertolpe et al, 11.8% from Xin et al, 33.1% from Baron et al, 3.4% from Lawlor et al, and 34.2% from Camunas‐Soler et al), and 6029 β‐cells were identified (1.5% from Wang et al, 7.2% from Segertolpe et al, 6.4% from Xin et al, 41.9% from Baron et al, 4.4% from Lawlor et al, and 38.7% from Camunas‐Soler et al) (Figure 1C).\nCell type identification of integrated dataset s. (A) Violin plot displaying the log‐transformed transcripts per million (TPM) of key gene markers in α‐(blue) and β‐(red) cells. Log‐transformed TPM of genes abundantly expressed in α‐(B.i) and β‐(B.ii) cells are also presented, where each point represents the weighted average among each dataset to account for sample size. (C) The number of cells identified in each dataset based on exclusive and robust expression of key gene markers, number of cells from healthy and diabetic samples are also reported for α‐and β‐cells", "From the meta‐analysis, 285 genes were differentially expressed in α‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA. Top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over‐ and underexpressed genes are listed in Table 2. Overall, α‐cells from T2DM donors modified genes involved in energy regulation, autophagy, cell cycle, and xenobiotic metabolism. Additionally, several interleukins were induced in α‐cells from T2DM donors, and several hormone signaling pathways were also upregulated, such as β‐estradiol and, as expected, INS. The INS secretion signaling pathway was also induced in α‐cells from T2DM donors. Of interest to the present study, NFE2L2 was also induced in α‐cells from T2DM donors. Several of the top differentially expressed genes (DEGs) were related to energy metabolism, immunity, and peptide hormone metabolism.\nType 2 diabetes‐driven transcriptomic changes in α‐cells", "Forty‐nine proliferating α‐cells were identified from the pooled dataset by exclusive and robust expression of MKI67 vs DYRK1A and GSK3B, and if none of the target genes were detected, the α‐cell was considered unassigned (Figure 2A). A greater percentage of α‐cells from healthy donors (57.59%) were unassigned as compared to α‐cells from T2DM donors (40.69%), and less than 1% of α‐cells were identified as proliferating in the pooled dataset (Figure 2B). Although not significant, the portion of proliferating α‐cells from T2DM donors (0.83%) was greater than proliferating α‐cells from healthy donors (0.63%) (Figure 2C). There were 75 DEGs in nonproliferating α‐cells from T2DM donors, and there were 82 DEGs in proliferating α‐cells from T2DM donors (Figure 2D\n). Carboxypeptidase E (CPE) and neuropeptide‐like protein (C4orf48) were the only common DEGs in proliferating and nonproliferating α‐cells from T2DM donors and are involved in the biosynthesis of neuropeptides and peptide hormones. There were 106 DEGs in proliferating vs nonproliferating α‐cells from healthy donors, and 7 DEGs from T2DM donors. Top DEGs are listed in Figure 2E. In proliferating vs nonproliferating α‐cells from T2DM donors, top overexpressed genes included MKI67, a proliferation marker. Most of the top overexpressed genes in proliferating vs nonproliferating α‐cells from both healthy and T2DM donors are related to cell division, such as cell division cycle associated 8 (CDCA8). In the pathway analysis (Figure 2F), nonproliferating α‐cells from T2DM vs healthy donors repressed the coronavirus pathogenesis pathway. Proliferating α‐cells from T2DM vs healthy donors induced the INS secretion signaling pathway and sirtuin signaling pathway similar to results in Table 2. In proliferating α‐cells from healthy donors, many of the modulated pathways were related to cell replication, Rho signaling, and in the upstream regulator analysis (Figure 2G), several regulators related to cell proliferation were upregulated, such as proto‐oncogene, BHLH transcription factor (MYC). As expected, since the estrogen receptor signaling pathway is induced in proliferating vs nonproliferating α‐cells from healthy donors, many of the upstream regulators are related to estrogen signaling. NFE2L2 signaling was induced in proliferating α‐cells from healthy donors. In nonproliferating α‐cells from T2DM donors, NFE2L2 signaling was repressed; however, in proliferating α‐cells from T2DM vs healthy donors, NFE2L2 signaling was induced.\nProliferating α‐cell gene expression. (A) Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual specificity tyrosine phosphorylation regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3 β‐(GSK3B). (B,C) A greater percentage of α‐cells from healthy samples (57.59%) were unassigned as compared to T2DM samples (40.69%), X2 (2, N = 7036) = 176.21, P < .00001, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and proliferation state. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤−1.5), and (G) upstream regulators (≥2.25 or ≤−2.25)", "From our meta‐analysis, 286 genes were differentially expressed in β‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA, and top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over and underexpressed genes are listed in Table 3. Overall, β‐cells from T2DM donors modified genes involved in pathways involved in energy regulation, autophagy, cell cycle, and hormone signaling pathways. As expected with T2DM, the INS secretion signaling pathway was also induced in β‐cells from T2DM donors. Again, of interest to the present study, NFE2L2 was induced in β‐cells from T2DM donors. Top underexpressed genes include several proteins involved in protein metabolism. IAPP, a β‐cell hormone that acts as a satiation signal, is underexpressed in β‐cells from T2DM donors. Top overexpressed genes also included SIX homeobox 3 (SIX3). SIX3 represses Wnt activity and activates the sonic hedgehog gene (SHH), and both pathways are involved in β‐cell proliferation and differentiation.\n34\n, \n35\n, \n36\n\n\nType 2 diabetes‐driven transcriptomic changes in β‐cells", "A total of 2698 immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, MAFB and/or NPY vs markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, SLC2A2) (Figure 3A).\n16\n The portion of immature β‐cells from T2DM donors (49.1%) was greater than immature β‐cells from healthy donors (43.2%) (Figure 3B). There were 247 DEGs in mature β‐cells from T2DM vs healthy donors, and there were 70 DEGs in immature β‐cells from T2DM vs healthy donors (Figure 3C). There were 20 common DEGs in both mature and immature β‐cells from T2DM vs healthy donors; however, 5 of those genes were induced in mature but decreased in immature β‐cells from T2DM donors. In healthy donors, there were 15 DEGs in immature vs mature β‐cells, and in T2DM donors, there was 1 DEG in immature vs mature β‐cells. NPY, a marker of β‐cell immaturity, was overexpressed in mature vs immature β‐cells in healthy donors; interestingly, NPY was also overexpressed in immature β‐cells from T2DM vs healthy donors (Figure 3D). Similarly, brain‐expressed X‐linked 1 (BEX1), a top overexpressed gene in immature vs mature β‐cells from healthy donors, was also induced in immature β‐cells from T2DM vs healthy donors. Another top overexpressed gene in immature vs mature β‐cells in healthy donors was glutathione S‐transferase omega 1 (GSTO1), a NFE2L2 target gene that activates NF‐κB.\n37\n The only DEG in immature vs mature β‐cells from T2DM donors was MAFB, the other maker of β‐cell immaturity. In the pathway analysis, as expected, mature and immature β‐cells from T2DM vs healthy donors had modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways (Figure 3E,F). There were no pathway changes in mature vs immature β‐cells. However, in the upstream regulator analysis, NFE2L2 signaling and STK11 (serine threonine kinase 11), a tumor suppressor, was activated in mature β‐cells but downregulated in immature β‐cells from T2DM donors. In immature vs mature β‐cells from healthy donors, MYC signaling is induced.\n38\n\n\nMature and Immature β‐cell gene expression. (A) Immature β‐cell was defined by exclusive and robust expression of MAFB and/or NPY over markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, and SLC2A2). (B) A greater percentage of β‐cells from T2DM samples (49.1%) were defined as immature as compared to healthy samples (43.2%), X2 (2, N = 6028) = 16.29, P = .0003, with Bonferroni correction. (C) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and maturity. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (D) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (E) canonical pathways (≥1.5 or ≤−1.5), and (F) upstream regulators (≥2.25 or ≤−2.25)", "A total of 167 senescent β‐cells were identified from the pooled dataset by robust expression of senescent markers IGF1R, CDKN1A, and CDKN2A\n16\n (Figure 4A). A greater percentage of β‐cells from T2DM donors (4.04%) were defined as senescent as compared to β‐cells from healthy donors (2.32%) (Figure 4B), and the majority of senescent β‐cells were also considered immature (Figure 4C). There were 335 DEGs in non‐senescent β‐cells from T2DM vs healthy donors, and there was 1 DEG in senescent β‐cells from T2DM vs healthy donors. In healthy donors, there were 17 DEGs in senescent vs non‐senescent β‐cells, and there were 2 DEGs in senescent β‐cells from T2DM donors. The only DEG in senescent β‐cells from T2DM vs healthy donors was glutamate decarboxylase 2 (GAD2), a known autoantigen in INS‐dependent diabetes (Figure 3D). Additionally, SIX3 is one of the top overexpressed genes in senescent vs non‐senescent β‐cells from healthy donors and in non‐senescent β‐cells from T2DM vs healthy donors. In the pathway and upstream regulator analysis, only non‐senescent β‐cells from T2DM vs healthy sample had significant pathways changes (Figure 4F,G). As expected, both the mature and immature β‐cells from T2DM vs healthy donors modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways.\nSenescent β‐cell gene expression. (A) Β‐cell were also defined as senescent if they had robust expression of senescent markers, IGF1R, CDKN1A, and CDKN1A. (B) A greater percentage of β‐cells from T2DM samples (4.04%) were defined as senescent as compared to healthy samples (2.32%), X2 (1, N = 6029) = 12.79, P = .0003, with Bonferroni correction. (C) The majority of senescent β‐cell were also considered immature, X2 (4, N = 6028) = 25.98, P = .00003, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and senescence. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤ −1.5), and (G) upstream regulators (≥2.25 or ≤−2.25)", "A common upstream regulator that was significantly induced with T2DM was NFE2L2 (Tables 2 and 3). To further evaluate this pathway in relationship to cell dysfunction, several NFE2L2 gene targets were evaluated in α‐ and β‐cells. Proliferating α‐cells had minimal changes in selected NFE2L2 gene targets (Figure S1A). Mature β‐cells from T2DM donors had increased expression of NFE2L2 by 1.5‐fold compared to healthy donors (Figure 5A.i). Immature β‐cells from T2DM donors had increased expression of NFE2L2, glutathione S‐transferase α‐4 (GSTA4), glutathione S‐transferase Mu 3 (GSTM3), glutamate‐cysteine ligase catalytic subunit (GCLC), glutamate‐cysteine ligase modifier subunit (GCLM), cytochrome P450 2R1 (CYP2R1), and solute carrier family 35 member A4 (SLC35A4) by 1.3 to 2.6‐fold compared to healthy donors (Figure 5A). In healthy donors, expression of NFE2L2, KEAP1, NAD(P)H quinone dehydrogenase 1 (NQO1), GSTA4, and GSTM3 was induced by 1.3 to 2.7‐fold in immature β‐cells compared to mature β‐cells. However, in the T2DM donors, expression of all the NFE2L2 gene targets evaluated (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced by 1.1 to 2.7‐fold in immature β‐cells vs mature β‐cells.\nNFE2L2 and Redox gene expression. Log transformed transcripts per million (TPM) value of (i) Nuclear factor erythroid 2‐related factor 2 (NFE2L2), (ii) Kelch‐like ECH‐associated protein 1 (KEAP1), (iii) NAD(P)H quinone dehydrogenase 1 (NQO1), (iv) Glutathione S‐transferase α‐4 (GSTA4), (v) Glutathione S‐transferase Mu 3 (GSTM3), (vi) Glutamate‐cysteine ligase catalytic subunit (GCLC), (vii) Glutamate‐cysteine ligase modifier subunit (GCLM), (viii) Cytochrome P450 2R1 (CYP2R1), and (ix) Solute carrier family 35 member A4 (SLC35A4) were graphed and to evaluate NFE2L2 activation, in (A) immature and (B) senescent β‐cells. Additionally, (C) sequestosome 1 (SQSTM1) expression was also evaluated as a possible mechanism of NFE2L2 in (i) immature and (ii) senescent β‐cells. All bars represent mean values ± SEM. Calculations were performed using a Kruskal‐Wallis nonparametric test, followed by Dunnʼs post hoc test for multiple comparisons; N = 1456 Healthy‐Mature, 1920 Healthy‐Immature, 465 T2DM‐Mature, and 465 T2DM‐Immature β‐cells and N = 4340 Healthy‐Non‐Senescent, 103 Healthy‐Senescent, 1522 T2DM‐Non‐Senescent, and 64 T2DM‐Senescent β‐cells. *P ≤ .05, **P ≤ .01, ***P ≤ .001, and ****P ≤ .0001\nNon‐senescent β‐cells from T2DM donors had increased expression of NFE2L2, GSTA4, and GSTM3 by 1.8, 1.8, and 1.3‐fold, respectively (Figure 5B). Senescent β‐cells from the T2DM samples had increased expression of NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, and GCLC; however, the trends were not significant. In healthy and T2DM donors, expression of all the NFE2L2 gene targets (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced in senescent β‐cells compared to non‐senescent β‐cells by 1.7 to 5.3‐fold.\nIn addition to the canonical KEAP1 pathway, NFE2L2 can also be activated in a SQSTM1‐KEAP1‐dependent manner during autophagy dysregulation.\n31\n SQSTM1 expression is increased by 61.8% and 84.4% in the immature β‐cells (Figure 5C.i) and 100.4% and 130.0% in senescent β‐cells (Figure 5C.ii) in the healthy and T2DM donors, respectively. Only in the non‐senescent β‐cells was there a 3% increase in SQSTM1 expression in β‐cells from T2DM donors compared to healthy donors.", "The development of sc‐RNA‐Seq techniques has allowed for the high‐throughput profiling of transcriptomes across cell types and subpopulations of cells and has facilitated understanding of cellular responses to disease.\n39\n In the present study, a meta‐analysis of six sc‐RNA‐Seq studies from human pancreatic islets was conducted to evaluate the NFE2L2 and redox signaling in α‐ and β‐cells from T2DM vs healthy donors. The transcriptomes of 7036 α‐cells and 6029 β‐cells were identified and evaluated, and subpopulations of proliferating α‐cells, immature, and senescent β‐cells were also identified and evaluated.\nThe modified genes in α‐cells from T2DM donors are involved in energy regulation, immune response, xenobiotic metabolism, hormone signaling, and autophagy pathways. In T2DM, α‐cells can transdifferentiate to β‐cells under an extreme demand for INS,\n14\n and although not specifically evaluated, an increase in the INS secretion signaling pathway was observed in α‐cells from T2DM donors. Forty‐nine proliferating α‐cells were identified, which represented ~0.7% of identified α‐cells. This small percentage is expected as α‐cells proliferate at very low levels.\n9\n As the number of proliferating α‐cells was incredibly small, and due to uneven distribution across the datasets, several dataset comparisons were excluded in the meta‐analysis when a dataset had only one or no proliferating α‐cells. Although the percentage of proliferating α‐cells increased in T2DM donors, the trend was not significant (Figure 2C). Previous work has found that IL6, an inflammatory cytokine elevated in T2DM,\n40\n stimulates α‐cell proliferation.\n13\n Interestingly, in α‐cells from T2DM donors, several cytokines, including IL6, IL4, IL5, IL13, and IL15, were identified as upstream regulators. Constant with Wang et al,\n9\n transcriptomic analysis of proliferating α‐cells found modifications in cell cycle pathways. NFE2L2 activation in proliferating α‐cells was limited.\nSimilar to previous sc‐RNA‐Seq studies, β‐cells from T2DM donors have been found to have altered β‐cell immune response, cell cycle pathways, energy metabolism, and autophagy pathways.\n9\n, \n10\n, \n11\n, \n12\n The most induced pathway in β‐cells from T2DM donors was the INS secretion signaling pathway. In T2DM, there is an increased demand for INS; the increased production of INS in overworked β‐cells leads to excessive glucose metabolism and oxidative phosphorylation that increases the generation of ROS.\n41\n There is also an increase of the unfolding or misfolding of proteins in the ER, leading to ER stress.\n42\n Oxidative and ER stress can cause apoptotic cell death, which may cause the reduction in β‐cell mass that is observed in T2DM.\n41\n, \n42\n, \n43\n As observed herein, pathways and upstream regulators related to apoptosis are induced in β‐cells from T2DM donors and include NFE2L2, the master regulator of the antioxidant response. After evaluating the transcriptomes of β‐cells from T2DM donors, 2698 immature and 167 senescent β‐cells were identified.\nβ‐cells exist in a balance of immature cells and INS‐producing mature cells, where the immature cells are thought to reflect proliferative capacity.\n16\n, \n19\n Here, the portion of immature β‐cells in T2DM donors was greater than immature β‐cells from healthy donors, which is supported by the increase in β‐cell proliferation with INS resistance related to obesity.\n22\n Immature β‐cells were defined as an increase in MAFB and/or NPY. Interestingly, NPY was also increased in immature β‐cells from T2DM samples vs healthy samples. NPY is a counter‐regulator of β‐cell INS secretion, and overexpression of NPY in rats has been described to impair INS secretion when fed a high‐fat diet.\n44\n, \n45\n In T2DM, there is also an increase in β‐cell senescence.\n46\n Here, a greater percentage of β‐cells from T2DM donors were defined as senescent as compared to healthy donors, as defined by expression of senescent markers IGF1R, CDKN1A, and CDKN2A. Remarkably, the majority of senescent β‐cells were also considered immature, thus suggesting that senescent β‐cells have an increase in either MAFB or NYP expression vs other markers of mature β‐cells. SIX3, which represses Wnt activity and activates the SHH,\n35\n was identified as top overexpressed gene in β‐cells from T2DM donors, and SIX3 was also one of the top overexpressed genes in senescent vs non‐senescent β‐cells. SIX3 has been identified as a transcription factor that governs functional β‐cell maturation and may be a potential target for β‐cell dysfunction in T2DM.\n47\n\n\nAs outlined in Figure 6, lipotoxicity and glucotoxicity associated with T2DM increase oxidative stress and can increase NFE2L2 activation. As expected, α‐ and β‐cells from T2DM donors have increased NFE2L2 activation. Here, NFE2L2 is also activated in immature and senescent β‐cells. Immature β‐cells have reduced INS secretion and increased proliferation, and NFE2L2 activation is related to both. Exposure of isolated mouse islets or INS‐1 cells to oxidative stressors has been described to decrease glucose‐stimulated INS secretion,\n48\n and upregulation of NFE2L2 expression increases proliferation of rat INS‐1 cells and primary mouse and human β‐cells.\n49\n, \n50\n Oxidative damage can also damage β‐cells, and NFE2L2 was activated in senescent β‐cells as well. The pathways analysis demonstrated modified autophagy pathways in cells from T2DM donors, and NFE2L2 activation in β‐cells may also occur through the noncanonical SQSTM1‐KEAP1 pathway. Here, SQSTM1 expression was increased in immature and senescent β‐cells. This suggests that NFE2L2 activation in β‐cells is likely due to multiple pathways.\nMechanisms of NFE2L2 activation. Under normal conditions, nuclear factor erythroid 2‐related factor 2 (NFE2L2) is bound to Kelch‐like ECH‐associated protein 1 (KEAP1) in the cytoplasm and is degraded. Type 2 diabetes increases glucotoxicity and lipotoxicity, which increases oxidative stress. In the canonical NFE2L2‐KEAP1 pathway, when oxidative stress is present, NFE2L2 is activated and translocates to the nucleus. NFE2L2 binds to the antioxidant response element (ARE), along with small Maf (sMaf) proteins to increase expression of antioxidant genes. Sequestosome 1 (SQSTM1) expression is increased with autophagy. In the non‐canonical SQSTM1‐KEAP1 pathway, SQSTM1 interacts with KEAP1 and inactivates the NFE2L2‐KEAP1 complex thus promoting NFE2L2 translocation to the nucleus\nIn conclusion, this transcriptomic meta‐analysis provides detailed information about β‐cell damage in patients with T2DM. These analyses demonstrate the power of sc‐RNA‐Seq data to detect transcriptional alterations in subpopulations of α‐ and β‐cells. Although the ability to directly relate the changes of the transcriptome to functional impairments in disease is limited, this analysis provides several hypotheses to understand the effect of T2DM on the α‐ and β‐cells of the pancreas. This study also provides evidence that NFE2L2 activation plays a role in β‐cell maturation and dysfunction; redox singling may be a key pathway to target for β‐cell restoration and T2DM treatments.", "The authors have no conflicts of interest, financial or otherwise, to report.", "\nAppendix S1: Supporting information\nClick here for additional data file." ]
[ null, "methods", null, null, null, null, null, "results", null, null, null, null, null, null, null, "discussion", "discussion", "supplementary-material" ]
[ "meta‐analysis", "oxidative stress", "RNA‐Seq", "transcriptome", "type 2 diabetes mellitus", "糖尿病", "2型, meta分析", "氧化应激", "RNA‐Seq", "转录组" ]
INTRODUCTION: According to estimates from the International Diabetes Federation atlas, 463 million people had diabetes worldwide in 2019, and this number is expected to climb to 700 million by 2045. 1 , 2 Type 2 diabetes mellitus (T2DM) is a chronic disease characterized by insulin (INS) resistance and severe β‐cell dysfunction. β‐cells, along with α, δ, ε, and υ cells make up the islets of Langerhans of the endocrine pancreas and are essential for maintaining glucose homeostasis. β‐cells produce INS in response to elevated blood glucose, and α‐cells secrete glucagon (GCG), which releases glucose from the liver and lipids from adipose tissue. 3 A key feature of T2DM is the failure of β‐cells to meet the metabolic demand for INS, and recent advances in single‐cell RNA sequencing (sc‐RNA‐Seq) have allowed for further understanding of the underlying mechanisms of islet cell maturation, maintenance, and dysfunction in T2DM. 4 Many sc‐RNA‐Seq studies have found variable transcript enrichment across different islet cell types and rare cell subpopulations that can only be possible through sc‐RNA‐Seq. 5 , 6 , 7 , 8 , 9 , 10 , 11 , 12 In T2DM, α‐cells may transdifferentiate to β‐cells, under an extreme demand for INS, and also have been shown to increase proliferation via an elevated inflammatory response in T2DM and obesity. 13 , 14 , 15 β‐cells from T2DM donors have been found to have altered β‐cell immune response, cell cycle pathways, transcription factor expression, energy metabolism, and protein synthesis in several sc‐RNA‐Seq studies. 10 , 11 , 12 As reviewed by Salinno et al, 16 subpopulations of β‐cells exist in a balance of proliferative capacity (immature cells) 17 or INS production (mature cells). 18 The ratio of mature and immature β‐cells is thought to reflect the proliferative capability of β‐cells. 19 Immature β‐cells display high basal levels INS; however, it is unclear if they are capable of glucose‐stimulated INS secretion. 20 Under healthy conditions, only a small pool of β‐cells retain proliferative capabilities. 21 β‐cell proliferation has been shown to increase with INS resistance in obesity, 22 and in the present study, the transcriptomes of subpopulations of proliferating α‐cells, immature, and senescent β‐cells will be evaluated in the context of T2DM. A key feature in the pathophysiology of T2DM is glucotoxicity and lipotoxicity, which generate high amounts of reactive oxygen species (ROS) and oxidative stress. ROS generation, mitochondrial dysfunction, endoplasmic reticulum (ER) stress, and autophagy are all implicated in the development of T2DM and can impair β‐cell function. 23 , 24 β‐cells maintain low levels of antioxidant defenses and an oxidized redox state, which is necessary to form the three disulfide bonds in INS. 25 , 26 , 27 ROS also act as signaling molecules to guide cell fate and maturation in β‐cells. 28 , 29 , 30 The induction of antioxidant enzymes via nuclear factor erythroid 2‐related factor 2 (NFE2L2) provides protection from oxidative damage; however, induction of NFE2L2 may also blunt glucose‐triggered ROS signaling, thus reducing INS secretion. 30 Recently an alternative pathway of NFE2L2 activation has also been described, where blockage of autophagosome‐lysosome fusion leads to sequestosome 1 (SQSTM1)‐mediated sequestration of Kelch‐like epichlorohydrin (ECH)‐associated protein 1 (KEAP1) into autophagosomes, preventing NFE2L2 ubiquitylation and degradation. 31 In the study herein, a meta‐analysis of sc‐RNA‐Seq data from six studies from human pancreas islets will be conducted to evaluate how T2DM may modify the transcriptomes of several subpopulations of α‐ and β‐cells. The analysis in total represents sc‐RNA‐Seq data from 47 metabolically healthy human islet donors and 23 donors with T2DM. Subpopulations of proliferating α‐cells, immature, and senescent β‐cells will be evaluated using pathway analysis, and gene targets in the NFE2L2 pathway will be evaluated in relation to these subpopulations of α‐ and β‐cells. With this analysis, we hope to further understand the role that NFE2L2 may play in T2DM‐induced β‐cell dysfunction. METHODS: Inclusion criteria Studies were selected based on PubMed and Google Scholar searches for the key terms “single‐cell sequencing,” “RNA sequencing,” “type 2 diabetes,” and “human pancreas or islets.” To be included in the meta‐analysis, studies had to include (1) single‐cell transcriptomic sequencing with (2) human pancreatic islet samples, (3) include metabolically healthy and diabetic donors with T2DM, and (4) provide publicly available annotation data. Publicly available single‐cell RNA‐seq datasets were downloaded from the Gene Expression Omnibus (GEO) repository 32 or ArrayExpress 33 (European Bioinformatics Institute, EBI), and Table 1 contains study details and accession numbers for selected studies. Before datasets were analyzed, all data were converted to the standard unit of transcripts per kilobase million (TPM). Counts per million reads mapped (CPM) were first converted to reads per kilobase million (RPKM) by dividing CPM by the gene length in kilobase. RPKM values were then converted to TPM by dividing RPKM by the sum of RPKM per sample and multiplying by a 106 scaling factor. Dataset accession numbers and sequencing methods 9 human islets: 3 healthy 2 T2DM 1 T1DM a 2 child a Read alignment and quantification performed using RNA‐Seq Unified Mapper (RUM) 10 human islets: 6 healthy 4 T2DM Aligned to human genome (hg19) using STAR Annotated with RefSeq Quantified using rpkmforgenes 18 human islets: 12 healthy 6 T2DM Aligned to human genome (GRCh37) using CLC Bio Genomics Workbench 4 human islets: 3 healthy 1 T2DM Read 1 was used for identification Read 2 was mapped to a ref genome using Bowtie Alignments were filtered using UMI 8 human islets: 5 healthy 3 T2DM Aligned to the human genome (GRCh37) using Bowtie 2 Expression levels were estimated using RSEM 28 human islets: 18 healthy 7 T2DM 3 T1DM a Aligned to the human genome (GRCh38) using STAR Gene counts determined using HTSeq‐count Abbreviations: CPM, normalized counts per million; EBI, European Bioinformatics Institute; FACS, fluorescence‐activated cell sorting; GEO, Gene Expression Omnibus; RPKM, reads per kilobase of transcript per million mapped reads; T1DM, type 1 diabetes mellitus; T2DM, type 2 diabetes mellitus; TPM, transcripts per kilobase million. Donors were excluded. Studies were selected based on PubMed and Google Scholar searches for the key terms “single‐cell sequencing,” “RNA sequencing,” “type 2 diabetes,” and “human pancreas or islets.” To be included in the meta‐analysis, studies had to include (1) single‐cell transcriptomic sequencing with (2) human pancreatic islet samples, (3) include metabolically healthy and diabetic donors with T2DM, and (4) provide publicly available annotation data. Publicly available single‐cell RNA‐seq datasets were downloaded from the Gene Expression Omnibus (GEO) repository 32 or ArrayExpress 33 (European Bioinformatics Institute, EBI), and Table 1 contains study details and accession numbers for selected studies. Before datasets were analyzed, all data were converted to the standard unit of transcripts per kilobase million (TPM). Counts per million reads mapped (CPM) were first converted to reads per kilobase million (RPKM) by dividing CPM by the gene length in kilobase. RPKM values were then converted to TPM by dividing RPKM by the sum of RPKM per sample and multiplying by a 106 scaling factor. Dataset accession numbers and sequencing methods 9 human islets: 3 healthy 2 T2DM 1 T1DM a 2 child a Read alignment and quantification performed using RNA‐Seq Unified Mapper (RUM) 10 human islets: 6 healthy 4 T2DM Aligned to human genome (hg19) using STAR Annotated with RefSeq Quantified using rpkmforgenes 18 human islets: 12 healthy 6 T2DM Aligned to human genome (GRCh37) using CLC Bio Genomics Workbench 4 human islets: 3 healthy 1 T2DM Read 1 was used for identification Read 2 was mapped to a ref genome using Bowtie Alignments were filtered using UMI 8 human islets: 5 healthy 3 T2DM Aligned to the human genome (GRCh37) using Bowtie 2 Expression levels were estimated using RSEM 28 human islets: 18 healthy 7 T2DM 3 T1DM a Aligned to the human genome (GRCh38) using STAR Gene counts determined using HTSeq‐count Abbreviations: CPM, normalized counts per million; EBI, European Bioinformatics Institute; FACS, fluorescence‐activated cell sorting; GEO, Gene Expression Omnibus; RPKM, reads per kilobase of transcript per million mapped reads; T1DM, type 1 diabetes mellitus; T2DM, type 2 diabetes mellitus; TPM, transcripts per kilobase million. Donors were excluded. Cell type annotation All sequenced cells were classified based on key marker genes. These markers include the major hormone genes (GCG, INS, somatostatin [SST], ghrelin [GHRL], and pancreatic polypeptide [PP]), genes that encode acinar cell‐specific digestive enzymes (serine protease 1 [PRSS1] and pancreatic lipase [PNLIP]), and genes associated with ductal cells (i.e., keratin 19 [KRT19], secreted phosphoprotein 1 [SPP1], and hepatocyte nuclear factor 1β [HNF1B]). Expression level of markers had to be exclusive and robust, each cell type was then rendered in a “violin plot,” and if cells conflicted with other expression markers, they were excluded. All sequenced cells were classified based on key marker genes. These markers include the major hormone genes (GCG, INS, somatostatin [SST], ghrelin [GHRL], and pancreatic polypeptide [PP]), genes that encode acinar cell‐specific digestive enzymes (serine protease 1 [PRSS1] and pancreatic lipase [PNLIP]), and genes associated with ductal cells (i.e., keratin 19 [KRT19], secreted phosphoprotein 1 [SPP1], and hepatocyte nuclear factor 1β [HNF1B]). Expression level of markers had to be exclusive and robust, each cell type was then rendered in a “violin plot,” and if cells conflicted with other expression markers, they were excluded. Identification of subpopulations of α‐ and β‐cells Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual‐specificity tyrosine phosphorylation‐regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3β (GSK3B), as previously described for proliferating α‐cells. 9 Immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, macrophage‐activating factor (MAF) basic region‐leucine zipper (bZIP) transcription factor B (MAFB) and/or neuropeptide Y (NPY), over markers for mature β‐cells (MAF bZIP transcription factor A [MAFA], synaptotagmin 4 [SYT4], NK6 homeobox 1 [NKX6‐1], urocortin 3 [UNC3], pancreatic and duodenal homeobox 1 [PDX‐1], and glucose transporter 2 [SLC2A2 or GLUT2]) as reviewed by Salinno et al. 16 β‐cells were also defined as senescent if they had robust expression of senescent markers, INS‐like growth factor 1 receptor (IGF1R), and cyclin‐dependent kinase inhibitor 1A and 2A (CDKN1A and CDKN2A). 16 If cells did not have robust expression of any markers, cells were considered unassigned. Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual‐specificity tyrosine phosphorylation‐regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3β (GSK3B), as previously described for proliferating α‐cells. 9 Immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, macrophage‐activating factor (MAF) basic region‐leucine zipper (bZIP) transcription factor B (MAFB) and/or neuropeptide Y (NPY), over markers for mature β‐cells (MAF bZIP transcription factor A [MAFA], synaptotagmin 4 [SYT4], NK6 homeobox 1 [NKX6‐1], urocortin 3 [UNC3], pancreatic and duodenal homeobox 1 [PDX‐1], and glucose transporter 2 [SLC2A2 or GLUT2]) as reviewed by Salinno et al. 16 β‐cells were also defined as senescent if they had robust expression of senescent markers, INS‐like growth factor 1 receptor (IGF1R), and cyclin‐dependent kinase inhibitor 1A and 2A (CDKN1A and CDKN2A). 16 If cells did not have robust expression of any markers, cells were considered unassigned. Differential and meta‐analyses To account for changes within datasets, each dataset was analyzed individually. Within each dataset, a two‐tailed Student's t test and a permutation‐based false discovery rate calculation were used for statistical evaluation of differentially abundant genes for each comparison. P values from each dataset were then combined using the mean of each dataset weighted for sample sizes, and a P < .05 was considered significant. This technique was selected as it allows for the combination of results from heterogeneous analyses directly. As P value‐based combination loses the directionality of the expression patterns, fold change values for each dataset were then also combined using the mean of each dataset weighted for sample sizes. Genes not shared across datasets were given values of 1 for both P value and fold change calculations. To account for changes within datasets, each dataset was analyzed individually. Within each dataset, a two‐tailed Student's t test and a permutation‐based false discovery rate calculation were used for statistical evaluation of differentially abundant genes for each comparison. P values from each dataset were then combined using the mean of each dataset weighted for sample sizes, and a P < .05 was considered significant. This technique was selected as it allows for the combination of results from heterogeneous analyses directly. As P value‐based combination loses the directionality of the expression patterns, fold change values for each dataset were then also combined using the mean of each dataset weighted for sample sizes. Genes not shared across datasets were given values of 1 for both P value and fold change calculations. Pathway analysis and individual redox gene expression analysis Significant genes (p value <0.05) and genes with a fold change greater or lower than 20% (ratio of at least −1.2 or 1.2) were selected for pathway analysis using Ingenuity Pathway Analysis (IPA) QIAGEN Bioinformatics (Redwood City, California) to map statistically significant genes to the pathways and biological processes. To explore key genes related to redox signaling, TPM values from all datasets were combined, and a Kruskal‐Wallis nonparametric test followed by Dunnʼs post hoc test for multiple comparisons was performed using GraphPad Prism v9.1.0 (La Jolla, California) software. Significance was considered to be p < 0.05. Significant genes (p value <0.05) and genes with a fold change greater or lower than 20% (ratio of at least −1.2 or 1.2) were selected for pathway analysis using Ingenuity Pathway Analysis (IPA) QIAGEN Bioinformatics (Redwood City, California) to map statistically significant genes to the pathways and biological processes. To explore key genes related to redox signaling, TPM values from all datasets were combined, and a Kruskal‐Wallis nonparametric test followed by Dunnʼs post hoc test for multiple comparisons was performed using GraphPad Prism v9.1.0 (La Jolla, California) software. Significance was considered to be p < 0.05. Inclusion criteria: Studies were selected based on PubMed and Google Scholar searches for the key terms “single‐cell sequencing,” “RNA sequencing,” “type 2 diabetes,” and “human pancreas or islets.” To be included in the meta‐analysis, studies had to include (1) single‐cell transcriptomic sequencing with (2) human pancreatic islet samples, (3) include metabolically healthy and diabetic donors with T2DM, and (4) provide publicly available annotation data. Publicly available single‐cell RNA‐seq datasets were downloaded from the Gene Expression Omnibus (GEO) repository 32 or ArrayExpress 33 (European Bioinformatics Institute, EBI), and Table 1 contains study details and accession numbers for selected studies. Before datasets were analyzed, all data were converted to the standard unit of transcripts per kilobase million (TPM). Counts per million reads mapped (CPM) were first converted to reads per kilobase million (RPKM) by dividing CPM by the gene length in kilobase. RPKM values were then converted to TPM by dividing RPKM by the sum of RPKM per sample and multiplying by a 106 scaling factor. Dataset accession numbers and sequencing methods 9 human islets: 3 healthy 2 T2DM 1 T1DM a 2 child a Read alignment and quantification performed using RNA‐Seq Unified Mapper (RUM) 10 human islets: 6 healthy 4 T2DM Aligned to human genome (hg19) using STAR Annotated with RefSeq Quantified using rpkmforgenes 18 human islets: 12 healthy 6 T2DM Aligned to human genome (GRCh37) using CLC Bio Genomics Workbench 4 human islets: 3 healthy 1 T2DM Read 1 was used for identification Read 2 was mapped to a ref genome using Bowtie Alignments were filtered using UMI 8 human islets: 5 healthy 3 T2DM Aligned to the human genome (GRCh37) using Bowtie 2 Expression levels were estimated using RSEM 28 human islets: 18 healthy 7 T2DM 3 T1DM a Aligned to the human genome (GRCh38) using STAR Gene counts determined using HTSeq‐count Abbreviations: CPM, normalized counts per million; EBI, European Bioinformatics Institute; FACS, fluorescence‐activated cell sorting; GEO, Gene Expression Omnibus; RPKM, reads per kilobase of transcript per million mapped reads; T1DM, type 1 diabetes mellitus; T2DM, type 2 diabetes mellitus; TPM, transcripts per kilobase million. Donors were excluded. Cell type annotation: All sequenced cells were classified based on key marker genes. These markers include the major hormone genes (GCG, INS, somatostatin [SST], ghrelin [GHRL], and pancreatic polypeptide [PP]), genes that encode acinar cell‐specific digestive enzymes (serine protease 1 [PRSS1] and pancreatic lipase [PNLIP]), and genes associated with ductal cells (i.e., keratin 19 [KRT19], secreted phosphoprotein 1 [SPP1], and hepatocyte nuclear factor 1β [HNF1B]). Expression level of markers had to be exclusive and robust, each cell type was then rendered in a “violin plot,” and if cells conflicted with other expression markers, they were excluded. Identification of subpopulations of α‐ and β‐cells: Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual‐specificity tyrosine phosphorylation‐regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3β (GSK3B), as previously described for proliferating α‐cells. 9 Immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, macrophage‐activating factor (MAF) basic region‐leucine zipper (bZIP) transcription factor B (MAFB) and/or neuropeptide Y (NPY), over markers for mature β‐cells (MAF bZIP transcription factor A [MAFA], synaptotagmin 4 [SYT4], NK6 homeobox 1 [NKX6‐1], urocortin 3 [UNC3], pancreatic and duodenal homeobox 1 [PDX‐1], and glucose transporter 2 [SLC2A2 or GLUT2]) as reviewed by Salinno et al. 16 β‐cells were also defined as senescent if they had robust expression of senescent markers, INS‐like growth factor 1 receptor (IGF1R), and cyclin‐dependent kinase inhibitor 1A and 2A (CDKN1A and CDKN2A). 16 If cells did not have robust expression of any markers, cells were considered unassigned. Differential and meta‐analyses : To account for changes within datasets, each dataset was analyzed individually. Within each dataset, a two‐tailed Student's t test and a permutation‐based false discovery rate calculation were used for statistical evaluation of differentially abundant genes for each comparison. P values from each dataset were then combined using the mean of each dataset weighted for sample sizes, and a P < .05 was considered significant. This technique was selected as it allows for the combination of results from heterogeneous analyses directly. As P value‐based combination loses the directionality of the expression patterns, fold change values for each dataset were then also combined using the mean of each dataset weighted for sample sizes. Genes not shared across datasets were given values of 1 for both P value and fold change calculations. Pathway analysis and individual redox gene expression analysis: Significant genes (p value <0.05) and genes with a fold change greater or lower than 20% (ratio of at least −1.2 or 1.2) were selected for pathway analysis using Ingenuity Pathway Analysis (IPA) QIAGEN Bioinformatics (Redwood City, California) to map statistically significant genes to the pathways and biological processes. To explore key genes related to redox signaling, TPM values from all datasets were combined, and a Kruskal‐Wallis nonparametric test followed by Dunnʼs post hoc test for multiple comparisons was performed using GraphPad Prism v9.1.0 (La Jolla, California) software. Significance was considered to be p < 0.05. RESULTS: Cell type identification α‐ and β‐cells were identified based on exclusive and robust expression of major hormone genes (GCG and INS). Expression levels of all the gene markers were rendered in a “violin plot” (Figure 1A), and if cells had conflicts with other expression markers, they were excluded. After cell types were assigned, 25 genes enriched in α‐ and β‐cells were also evaluated. 8 For α‐cells, there was higher expression in α‐cell markers, such as transthyretin (TTR) and signal sequence receptor subunit 4 (SSR4), compared to other cell types (Figure 1B.i). For β‐cells, there was higher expression in β‐cell markers, such as islet amyloid polypeptide (IAPP) and adenylate cyclase‐activating polypeptide 1 (ADCYAP1), compared to other cells. (Figure 1B.ii). Overall, 7036 α‐cells were identified (2.6% of the α‐cells were from Wang et al, 15.0% from Segertolpe et al, 11.8% from Xin et al, 33.1% from Baron et al, 3.4% from Lawlor et al, and 34.2% from Camunas‐Soler et al), and 6029 β‐cells were identified (1.5% from Wang et al, 7.2% from Segertolpe et al, 6.4% from Xin et al, 41.9% from Baron et al, 4.4% from Lawlor et al, and 38.7% from Camunas‐Soler et al) (Figure 1C). Cell type identification of integrated dataset s. (A) Violin plot displaying the log‐transformed transcripts per million (TPM) of key gene markers in α‐(blue) and β‐(red) cells. Log‐transformed TPM of genes abundantly expressed in α‐(B.i) and β‐(B.ii) cells are also presented, where each point represents the weighted average among each dataset to account for sample size. (C) The number of cells identified in each dataset based on exclusive and robust expression of key gene markers, number of cells from healthy and diabetic samples are also reported for α‐and β‐cells α‐ and β‐cells were identified based on exclusive and robust expression of major hormone genes (GCG and INS). Expression levels of all the gene markers were rendered in a “violin plot” (Figure 1A), and if cells had conflicts with other expression markers, they were excluded. After cell types were assigned, 25 genes enriched in α‐ and β‐cells were also evaluated. 8 For α‐cells, there was higher expression in α‐cell markers, such as transthyretin (TTR) and signal sequence receptor subunit 4 (SSR4), compared to other cell types (Figure 1B.i). For β‐cells, there was higher expression in β‐cell markers, such as islet amyloid polypeptide (IAPP) and adenylate cyclase‐activating polypeptide 1 (ADCYAP1), compared to other cells. (Figure 1B.ii). Overall, 7036 α‐cells were identified (2.6% of the α‐cells were from Wang et al, 15.0% from Segertolpe et al, 11.8% from Xin et al, 33.1% from Baron et al, 3.4% from Lawlor et al, and 34.2% from Camunas‐Soler et al), and 6029 β‐cells were identified (1.5% from Wang et al, 7.2% from Segertolpe et al, 6.4% from Xin et al, 41.9% from Baron et al, 4.4% from Lawlor et al, and 38.7% from Camunas‐Soler et al) (Figure 1C). Cell type identification of integrated dataset s. (A) Violin plot displaying the log‐transformed transcripts per million (TPM) of key gene markers in α‐(blue) and β‐(red) cells. Log‐transformed TPM of genes abundantly expressed in α‐(B.i) and β‐(B.ii) cells are also presented, where each point represents the weighted average among each dataset to account for sample size. (C) The number of cells identified in each dataset based on exclusive and robust expression of key gene markers, number of cells from healthy and diabetic samples are also reported for α‐and β‐cells α‐cell gene expression profiles with T2DM From the meta‐analysis, 285 genes were differentially expressed in α‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA. Top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over‐ and underexpressed genes are listed in Table 2. Overall, α‐cells from T2DM donors modified genes involved in energy regulation, autophagy, cell cycle, and xenobiotic metabolism. Additionally, several interleukins were induced in α‐cells from T2DM donors, and several hormone signaling pathways were also upregulated, such as β‐estradiol and, as expected, INS. The INS secretion signaling pathway was also induced in α‐cells from T2DM donors. Of interest to the present study, NFE2L2 was also induced in α‐cells from T2DM donors. Several of the top differentially expressed genes (DEGs) were related to energy metabolism, immunity, and peptide hormone metabolism. Type 2 diabetes‐driven transcriptomic changes in α‐cells From the meta‐analysis, 285 genes were differentially expressed in α‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA. Top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over‐ and underexpressed genes are listed in Table 2. Overall, α‐cells from T2DM donors modified genes involved in energy regulation, autophagy, cell cycle, and xenobiotic metabolism. Additionally, several interleukins were induced in α‐cells from T2DM donors, and several hormone signaling pathways were also upregulated, such as β‐estradiol and, as expected, INS. The INS secretion signaling pathway was also induced in α‐cells from T2DM donors. Of interest to the present study, NFE2L2 was also induced in α‐cells from T2DM donors. Several of the top differentially expressed genes (DEGs) were related to energy metabolism, immunity, and peptide hormone metabolism. Type 2 diabetes‐driven transcriptomic changes in α‐cells Proliferating α‐cell gene expression profiles Forty‐nine proliferating α‐cells were identified from the pooled dataset by exclusive and robust expression of MKI67 vs DYRK1A and GSK3B, and if none of the target genes were detected, the α‐cell was considered unassigned (Figure 2A). A greater percentage of α‐cells from healthy donors (57.59%) were unassigned as compared to α‐cells from T2DM donors (40.69%), and less than 1% of α‐cells were identified as proliferating in the pooled dataset (Figure 2B). Although not significant, the portion of proliferating α‐cells from T2DM donors (0.83%) was greater than proliferating α‐cells from healthy donors (0.63%) (Figure 2C). There were 75 DEGs in nonproliferating α‐cells from T2DM donors, and there were 82 DEGs in proliferating α‐cells from T2DM donors (Figure 2D ). Carboxypeptidase E (CPE) and neuropeptide‐like protein (C4orf48) were the only common DEGs in proliferating and nonproliferating α‐cells from T2DM donors and are involved in the biosynthesis of neuropeptides and peptide hormones. There were 106 DEGs in proliferating vs nonproliferating α‐cells from healthy donors, and 7 DEGs from T2DM donors. Top DEGs are listed in Figure 2E. In proliferating vs nonproliferating α‐cells from T2DM donors, top overexpressed genes included MKI67, a proliferation marker. Most of the top overexpressed genes in proliferating vs nonproliferating α‐cells from both healthy and T2DM donors are related to cell division, such as cell division cycle associated 8 (CDCA8). In the pathway analysis (Figure 2F), nonproliferating α‐cells from T2DM vs healthy donors repressed the coronavirus pathogenesis pathway. Proliferating α‐cells from T2DM vs healthy donors induced the INS secretion signaling pathway and sirtuin signaling pathway similar to results in Table 2. In proliferating α‐cells from healthy donors, many of the modulated pathways were related to cell replication, Rho signaling, and in the upstream regulator analysis (Figure 2G), several regulators related to cell proliferation were upregulated, such as proto‐oncogene, BHLH transcription factor (MYC). As expected, since the estrogen receptor signaling pathway is induced in proliferating vs nonproliferating α‐cells from healthy donors, many of the upstream regulators are related to estrogen signaling. NFE2L2 signaling was induced in proliferating α‐cells from healthy donors. In nonproliferating α‐cells from T2DM donors, NFE2L2 signaling was repressed; however, in proliferating α‐cells from T2DM vs healthy donors, NFE2L2 signaling was induced. Proliferating α‐cell gene expression. (A) Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual specificity tyrosine phosphorylation regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3 β‐(GSK3B). (B,C) A greater percentage of α‐cells from healthy samples (57.59%) were unassigned as compared to T2DM samples (40.69%), X2 (2, N = 7036) = 176.21, P < .00001, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and proliferation state. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤−1.5), and (G) upstream regulators (≥2.25 or ≤−2.25) Forty‐nine proliferating α‐cells were identified from the pooled dataset by exclusive and robust expression of MKI67 vs DYRK1A and GSK3B, and if none of the target genes were detected, the α‐cell was considered unassigned (Figure 2A). A greater percentage of α‐cells from healthy donors (57.59%) were unassigned as compared to α‐cells from T2DM donors (40.69%), and less than 1% of α‐cells were identified as proliferating in the pooled dataset (Figure 2B). Although not significant, the portion of proliferating α‐cells from T2DM donors (0.83%) was greater than proliferating α‐cells from healthy donors (0.63%) (Figure 2C). There were 75 DEGs in nonproliferating α‐cells from T2DM donors, and there were 82 DEGs in proliferating α‐cells from T2DM donors (Figure 2D ). Carboxypeptidase E (CPE) and neuropeptide‐like protein (C4orf48) were the only common DEGs in proliferating and nonproliferating α‐cells from T2DM donors and are involved in the biosynthesis of neuropeptides and peptide hormones. There were 106 DEGs in proliferating vs nonproliferating α‐cells from healthy donors, and 7 DEGs from T2DM donors. Top DEGs are listed in Figure 2E. In proliferating vs nonproliferating α‐cells from T2DM donors, top overexpressed genes included MKI67, a proliferation marker. Most of the top overexpressed genes in proliferating vs nonproliferating α‐cells from both healthy and T2DM donors are related to cell division, such as cell division cycle associated 8 (CDCA8). In the pathway analysis (Figure 2F), nonproliferating α‐cells from T2DM vs healthy donors repressed the coronavirus pathogenesis pathway. Proliferating α‐cells from T2DM vs healthy donors induced the INS secretion signaling pathway and sirtuin signaling pathway similar to results in Table 2. In proliferating α‐cells from healthy donors, many of the modulated pathways were related to cell replication, Rho signaling, and in the upstream regulator analysis (Figure 2G), several regulators related to cell proliferation were upregulated, such as proto‐oncogene, BHLH transcription factor (MYC). As expected, since the estrogen receptor signaling pathway is induced in proliferating vs nonproliferating α‐cells from healthy donors, many of the upstream regulators are related to estrogen signaling. NFE2L2 signaling was induced in proliferating α‐cells from healthy donors. In nonproliferating α‐cells from T2DM donors, NFE2L2 signaling was repressed; however, in proliferating α‐cells from T2DM vs healthy donors, NFE2L2 signaling was induced. Proliferating α‐cell gene expression. (A) Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual specificity tyrosine phosphorylation regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3 β‐(GSK3B). (B,C) A greater percentage of α‐cells from healthy samples (57.59%) were unassigned as compared to T2DM samples (40.69%), X2 (2, N = 7036) = 176.21, P < .00001, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and proliferation state. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤−1.5), and (G) upstream regulators (≥2.25 or ≤−2.25) β‐cell gene expression profiles with T2DM From our meta‐analysis, 286 genes were differentially expressed in β‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA, and top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over and underexpressed genes are listed in Table 3. Overall, β‐cells from T2DM donors modified genes involved in pathways involved in energy regulation, autophagy, cell cycle, and hormone signaling pathways. As expected with T2DM, the INS secretion signaling pathway was also induced in β‐cells from T2DM donors. Again, of interest to the present study, NFE2L2 was induced in β‐cells from T2DM donors. Top underexpressed genes include several proteins involved in protein metabolism. IAPP, a β‐cell hormone that acts as a satiation signal, is underexpressed in β‐cells from T2DM donors. Top overexpressed genes also included SIX homeobox 3 (SIX3). SIX3 represses Wnt activity and activates the sonic hedgehog gene (SHH), and both pathways are involved in β‐cell proliferation and differentiation. 34 , 35 , 36 Type 2 diabetes‐driven transcriptomic changes in β‐cells From our meta‐analysis, 286 genes were differentially expressed in β‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA, and top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over and underexpressed genes are listed in Table 3. Overall, β‐cells from T2DM donors modified genes involved in pathways involved in energy regulation, autophagy, cell cycle, and hormone signaling pathways. As expected with T2DM, the INS secretion signaling pathway was also induced in β‐cells from T2DM donors. Again, of interest to the present study, NFE2L2 was induced in β‐cells from T2DM donors. Top underexpressed genes include several proteins involved in protein metabolism. IAPP, a β‐cell hormone that acts as a satiation signal, is underexpressed in β‐cells from T2DM donors. Top overexpressed genes also included SIX homeobox 3 (SIX3). SIX3 represses Wnt activity and activates the sonic hedgehog gene (SHH), and both pathways are involved in β‐cell proliferation and differentiation. 34 , 35 , 36 Type 2 diabetes‐driven transcriptomic changes in β‐cells Gene expression profiles of immature β‐cells A total of 2698 immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, MAFB and/or NPY vs markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, SLC2A2) (Figure 3A). 16 The portion of immature β‐cells from T2DM donors (49.1%) was greater than immature β‐cells from healthy donors (43.2%) (Figure 3B). There were 247 DEGs in mature β‐cells from T2DM vs healthy donors, and there were 70 DEGs in immature β‐cells from T2DM vs healthy donors (Figure 3C). There were 20 common DEGs in both mature and immature β‐cells from T2DM vs healthy donors; however, 5 of those genes were induced in mature but decreased in immature β‐cells from T2DM donors. In healthy donors, there were 15 DEGs in immature vs mature β‐cells, and in T2DM donors, there was 1 DEG in immature vs mature β‐cells. NPY, a marker of β‐cell immaturity, was overexpressed in mature vs immature β‐cells in healthy donors; interestingly, NPY was also overexpressed in immature β‐cells from T2DM vs healthy donors (Figure 3D). Similarly, brain‐expressed X‐linked 1 (BEX1), a top overexpressed gene in immature vs mature β‐cells from healthy donors, was also induced in immature β‐cells from T2DM vs healthy donors. Another top overexpressed gene in immature vs mature β‐cells in healthy donors was glutathione S‐transferase omega 1 (GSTO1), a NFE2L2 target gene that activates NF‐κB. 37 The only DEG in immature vs mature β‐cells from T2DM donors was MAFB, the other maker of β‐cell immaturity. In the pathway analysis, as expected, mature and immature β‐cells from T2DM vs healthy donors had modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways (Figure 3E,F). There were no pathway changes in mature vs immature β‐cells. However, in the upstream regulator analysis, NFE2L2 signaling and STK11 (serine threonine kinase 11), a tumor suppressor, was activated in mature β‐cells but downregulated in immature β‐cells from T2DM donors. In immature vs mature β‐cells from healthy donors, MYC signaling is induced. 38 Mature and Immature β‐cell gene expression. (A) Immature β‐cell was defined by exclusive and robust expression of MAFB and/or NPY over markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, and SLC2A2). (B) A greater percentage of β‐cells from T2DM samples (49.1%) were defined as immature as compared to healthy samples (43.2%), X2 (2, N = 6028) = 16.29, P = .0003, with Bonferroni correction. (C) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and maturity. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (D) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (E) canonical pathways (≥1.5 or ≤−1.5), and (F) upstream regulators (≥2.25 or ≤−2.25) A total of 2698 immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, MAFB and/or NPY vs markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, SLC2A2) (Figure 3A). 16 The portion of immature β‐cells from T2DM donors (49.1%) was greater than immature β‐cells from healthy donors (43.2%) (Figure 3B). There were 247 DEGs in mature β‐cells from T2DM vs healthy donors, and there were 70 DEGs in immature β‐cells from T2DM vs healthy donors (Figure 3C). There were 20 common DEGs in both mature and immature β‐cells from T2DM vs healthy donors; however, 5 of those genes were induced in mature but decreased in immature β‐cells from T2DM donors. In healthy donors, there were 15 DEGs in immature vs mature β‐cells, and in T2DM donors, there was 1 DEG in immature vs mature β‐cells. NPY, a marker of β‐cell immaturity, was overexpressed in mature vs immature β‐cells in healthy donors; interestingly, NPY was also overexpressed in immature β‐cells from T2DM vs healthy donors (Figure 3D). Similarly, brain‐expressed X‐linked 1 (BEX1), a top overexpressed gene in immature vs mature β‐cells from healthy donors, was also induced in immature β‐cells from T2DM vs healthy donors. Another top overexpressed gene in immature vs mature β‐cells in healthy donors was glutathione S‐transferase omega 1 (GSTO1), a NFE2L2 target gene that activates NF‐κB. 37 The only DEG in immature vs mature β‐cells from T2DM donors was MAFB, the other maker of β‐cell immaturity. In the pathway analysis, as expected, mature and immature β‐cells from T2DM vs healthy donors had modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways (Figure 3E,F). There were no pathway changes in mature vs immature β‐cells. However, in the upstream regulator analysis, NFE2L2 signaling and STK11 (serine threonine kinase 11), a tumor suppressor, was activated in mature β‐cells but downregulated in immature β‐cells from T2DM donors. In immature vs mature β‐cells from healthy donors, MYC signaling is induced. 38 Mature and Immature β‐cell gene expression. (A) Immature β‐cell was defined by exclusive and robust expression of MAFB and/or NPY over markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, and SLC2A2). (B) A greater percentage of β‐cells from T2DM samples (49.1%) were defined as immature as compared to healthy samples (43.2%), X2 (2, N = 6028) = 16.29, P = .0003, with Bonferroni correction. (C) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and maturity. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (D) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (E) canonical pathways (≥1.5 or ≤−1.5), and (F) upstream regulators (≥2.25 or ≤−2.25) Gene expression profiles of senescent β‐cells A total of 167 senescent β‐cells were identified from the pooled dataset by robust expression of senescent markers IGF1R, CDKN1A, and CDKN2A 16 (Figure 4A). A greater percentage of β‐cells from T2DM donors (4.04%) were defined as senescent as compared to β‐cells from healthy donors (2.32%) (Figure 4B), and the majority of senescent β‐cells were also considered immature (Figure 4C). There were 335 DEGs in non‐senescent β‐cells from T2DM vs healthy donors, and there was 1 DEG in senescent β‐cells from T2DM vs healthy donors. In healthy donors, there were 17 DEGs in senescent vs non‐senescent β‐cells, and there were 2 DEGs in senescent β‐cells from T2DM donors. The only DEG in senescent β‐cells from T2DM vs healthy donors was glutamate decarboxylase 2 (GAD2), a known autoantigen in INS‐dependent diabetes (Figure 3D). Additionally, SIX3 is one of the top overexpressed genes in senescent vs non‐senescent β‐cells from healthy donors and in non‐senescent β‐cells from T2DM vs healthy donors. In the pathway and upstream regulator analysis, only non‐senescent β‐cells from T2DM vs healthy sample had significant pathways changes (Figure 4F,G). As expected, both the mature and immature β‐cells from T2DM vs healthy donors modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways. Senescent β‐cell gene expression. (A) Β‐cell were also defined as senescent if they had robust expression of senescent markers, IGF1R, CDKN1A, and CDKN1A. (B) A greater percentage of β‐cells from T2DM samples (4.04%) were defined as senescent as compared to healthy samples (2.32%), X2 (1, N = 6029) = 12.79, P = .0003, with Bonferroni correction. (C) The majority of senescent β‐cell were also considered immature, X2 (4, N = 6028) = 25.98, P = .00003, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and senescence. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤ −1.5), and (G) upstream regulators (≥2.25 or ≤−2.25) A total of 167 senescent β‐cells were identified from the pooled dataset by robust expression of senescent markers IGF1R, CDKN1A, and CDKN2A 16 (Figure 4A). A greater percentage of β‐cells from T2DM donors (4.04%) were defined as senescent as compared to β‐cells from healthy donors (2.32%) (Figure 4B), and the majority of senescent β‐cells were also considered immature (Figure 4C). There were 335 DEGs in non‐senescent β‐cells from T2DM vs healthy donors, and there was 1 DEG in senescent β‐cells from T2DM vs healthy donors. In healthy donors, there were 17 DEGs in senescent vs non‐senescent β‐cells, and there were 2 DEGs in senescent β‐cells from T2DM donors. The only DEG in senescent β‐cells from T2DM vs healthy donors was glutamate decarboxylase 2 (GAD2), a known autoantigen in INS‐dependent diabetes (Figure 3D). Additionally, SIX3 is one of the top overexpressed genes in senescent vs non‐senescent β‐cells from healthy donors and in non‐senescent β‐cells from T2DM vs healthy donors. In the pathway and upstream regulator analysis, only non‐senescent β‐cells from T2DM vs healthy sample had significant pathways changes (Figure 4F,G). As expected, both the mature and immature β‐cells from T2DM vs healthy donors modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways. Senescent β‐cell gene expression. (A) Β‐cell were also defined as senescent if they had robust expression of senescent markers, IGF1R, CDKN1A, and CDKN1A. (B) A greater percentage of β‐cells from T2DM samples (4.04%) were defined as senescent as compared to healthy samples (2.32%), X2 (1, N = 6029) = 12.79, P = .0003, with Bonferroni correction. (C) The majority of senescent β‐cell were also considered immature, X2 (4, N = 6028) = 25.98, P = .00003, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and senescence. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤ −1.5), and (G) upstream regulators (≥2.25 or ≤−2.25) T2DM activated the NFE2L2 pathway in immature and senescent β‐cells A common upstream regulator that was significantly induced with T2DM was NFE2L2 (Tables 2 and 3). To further evaluate this pathway in relationship to cell dysfunction, several NFE2L2 gene targets were evaluated in α‐ and β‐cells. Proliferating α‐cells had minimal changes in selected NFE2L2 gene targets (Figure S1A). Mature β‐cells from T2DM donors had increased expression of NFE2L2 by 1.5‐fold compared to healthy donors (Figure 5A.i). Immature β‐cells from T2DM donors had increased expression of NFE2L2, glutathione S‐transferase α‐4 (GSTA4), glutathione S‐transferase Mu 3 (GSTM3), glutamate‐cysteine ligase catalytic subunit (GCLC), glutamate‐cysteine ligase modifier subunit (GCLM), cytochrome P450 2R1 (CYP2R1), and solute carrier family 35 member A4 (SLC35A4) by 1.3 to 2.6‐fold compared to healthy donors (Figure 5A). In healthy donors, expression of NFE2L2, KEAP1, NAD(P)H quinone dehydrogenase 1 (NQO1), GSTA4, and GSTM3 was induced by 1.3 to 2.7‐fold in immature β‐cells compared to mature β‐cells. However, in the T2DM donors, expression of all the NFE2L2 gene targets evaluated (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced by 1.1 to 2.7‐fold in immature β‐cells vs mature β‐cells. NFE2L2 and Redox gene expression. Log transformed transcripts per million (TPM) value of (i) Nuclear factor erythroid 2‐related factor 2 (NFE2L2), (ii) Kelch‐like ECH‐associated protein 1 (KEAP1), (iii) NAD(P)H quinone dehydrogenase 1 (NQO1), (iv) Glutathione S‐transferase α‐4 (GSTA4), (v) Glutathione S‐transferase Mu 3 (GSTM3), (vi) Glutamate‐cysteine ligase catalytic subunit (GCLC), (vii) Glutamate‐cysteine ligase modifier subunit (GCLM), (viii) Cytochrome P450 2R1 (CYP2R1), and (ix) Solute carrier family 35 member A4 (SLC35A4) were graphed and to evaluate NFE2L2 activation, in (A) immature and (B) senescent β‐cells. Additionally, (C) sequestosome 1 (SQSTM1) expression was also evaluated as a possible mechanism of NFE2L2 in (i) immature and (ii) senescent β‐cells. All bars represent mean values ± SEM. Calculations were performed using a Kruskal‐Wallis nonparametric test, followed by Dunnʼs post hoc test for multiple comparisons; N = 1456 Healthy‐Mature, 1920 Healthy‐Immature, 465 T2DM‐Mature, and 465 T2DM‐Immature β‐cells and N = 4340 Healthy‐Non‐Senescent, 103 Healthy‐Senescent, 1522 T2DM‐Non‐Senescent, and 64 T2DM‐Senescent β‐cells. *P ≤ .05, **P ≤ .01, ***P ≤ .001, and ****P ≤ .0001 Non‐senescent β‐cells from T2DM donors had increased expression of NFE2L2, GSTA4, and GSTM3 by 1.8, 1.8, and 1.3‐fold, respectively (Figure 5B). Senescent β‐cells from the T2DM samples had increased expression of NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, and GCLC; however, the trends were not significant. In healthy and T2DM donors, expression of all the NFE2L2 gene targets (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced in senescent β‐cells compared to non‐senescent β‐cells by 1.7 to 5.3‐fold. In addition to the canonical KEAP1 pathway, NFE2L2 can also be activated in a SQSTM1‐KEAP1‐dependent manner during autophagy dysregulation. 31 SQSTM1 expression is increased by 61.8% and 84.4% in the immature β‐cells (Figure 5C.i) and 100.4% and 130.0% in senescent β‐cells (Figure 5C.ii) in the healthy and T2DM donors, respectively. Only in the non‐senescent β‐cells was there a 3% increase in SQSTM1 expression in β‐cells from T2DM donors compared to healthy donors. A common upstream regulator that was significantly induced with T2DM was NFE2L2 (Tables 2 and 3). To further evaluate this pathway in relationship to cell dysfunction, several NFE2L2 gene targets were evaluated in α‐ and β‐cells. Proliferating α‐cells had minimal changes in selected NFE2L2 gene targets (Figure S1A). Mature β‐cells from T2DM donors had increased expression of NFE2L2 by 1.5‐fold compared to healthy donors (Figure 5A.i). Immature β‐cells from T2DM donors had increased expression of NFE2L2, glutathione S‐transferase α‐4 (GSTA4), glutathione S‐transferase Mu 3 (GSTM3), glutamate‐cysteine ligase catalytic subunit (GCLC), glutamate‐cysteine ligase modifier subunit (GCLM), cytochrome P450 2R1 (CYP2R1), and solute carrier family 35 member A4 (SLC35A4) by 1.3 to 2.6‐fold compared to healthy donors (Figure 5A). In healthy donors, expression of NFE2L2, KEAP1, NAD(P)H quinone dehydrogenase 1 (NQO1), GSTA4, and GSTM3 was induced by 1.3 to 2.7‐fold in immature β‐cells compared to mature β‐cells. However, in the T2DM donors, expression of all the NFE2L2 gene targets evaluated (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced by 1.1 to 2.7‐fold in immature β‐cells vs mature β‐cells. NFE2L2 and Redox gene expression. Log transformed transcripts per million (TPM) value of (i) Nuclear factor erythroid 2‐related factor 2 (NFE2L2), (ii) Kelch‐like ECH‐associated protein 1 (KEAP1), (iii) NAD(P)H quinone dehydrogenase 1 (NQO1), (iv) Glutathione S‐transferase α‐4 (GSTA4), (v) Glutathione S‐transferase Mu 3 (GSTM3), (vi) Glutamate‐cysteine ligase catalytic subunit (GCLC), (vii) Glutamate‐cysteine ligase modifier subunit (GCLM), (viii) Cytochrome P450 2R1 (CYP2R1), and (ix) Solute carrier family 35 member A4 (SLC35A4) were graphed and to evaluate NFE2L2 activation, in (A) immature and (B) senescent β‐cells. Additionally, (C) sequestosome 1 (SQSTM1) expression was also evaluated as a possible mechanism of NFE2L2 in (i) immature and (ii) senescent β‐cells. All bars represent mean values ± SEM. Calculations were performed using a Kruskal‐Wallis nonparametric test, followed by Dunnʼs post hoc test for multiple comparisons; N = 1456 Healthy‐Mature, 1920 Healthy‐Immature, 465 T2DM‐Mature, and 465 T2DM‐Immature β‐cells and N = 4340 Healthy‐Non‐Senescent, 103 Healthy‐Senescent, 1522 T2DM‐Non‐Senescent, and 64 T2DM‐Senescent β‐cells. *P ≤ .05, **P ≤ .01, ***P ≤ .001, and ****P ≤ .0001 Non‐senescent β‐cells from T2DM donors had increased expression of NFE2L2, GSTA4, and GSTM3 by 1.8, 1.8, and 1.3‐fold, respectively (Figure 5B). Senescent β‐cells from the T2DM samples had increased expression of NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, and GCLC; however, the trends were not significant. In healthy and T2DM donors, expression of all the NFE2L2 gene targets (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced in senescent β‐cells compared to non‐senescent β‐cells by 1.7 to 5.3‐fold. In addition to the canonical KEAP1 pathway, NFE2L2 can also be activated in a SQSTM1‐KEAP1‐dependent manner during autophagy dysregulation. 31 SQSTM1 expression is increased by 61.8% and 84.4% in the immature β‐cells (Figure 5C.i) and 100.4% and 130.0% in senescent β‐cells (Figure 5C.ii) in the healthy and T2DM donors, respectively. Only in the non‐senescent β‐cells was there a 3% increase in SQSTM1 expression in β‐cells from T2DM donors compared to healthy donors. Cell type identification: α‐ and β‐cells were identified based on exclusive and robust expression of major hormone genes (GCG and INS). Expression levels of all the gene markers were rendered in a “violin plot” (Figure 1A), and if cells had conflicts with other expression markers, they were excluded. After cell types were assigned, 25 genes enriched in α‐ and β‐cells were also evaluated. 8 For α‐cells, there was higher expression in α‐cell markers, such as transthyretin (TTR) and signal sequence receptor subunit 4 (SSR4), compared to other cell types (Figure 1B.i). For β‐cells, there was higher expression in β‐cell markers, such as islet amyloid polypeptide (IAPP) and adenylate cyclase‐activating polypeptide 1 (ADCYAP1), compared to other cells. (Figure 1B.ii). Overall, 7036 α‐cells were identified (2.6% of the α‐cells were from Wang et al, 15.0% from Segertolpe et al, 11.8% from Xin et al, 33.1% from Baron et al, 3.4% from Lawlor et al, and 34.2% from Camunas‐Soler et al), and 6029 β‐cells were identified (1.5% from Wang et al, 7.2% from Segertolpe et al, 6.4% from Xin et al, 41.9% from Baron et al, 4.4% from Lawlor et al, and 38.7% from Camunas‐Soler et al) (Figure 1C). Cell type identification of integrated dataset s. (A) Violin plot displaying the log‐transformed transcripts per million (TPM) of key gene markers in α‐(blue) and β‐(red) cells. Log‐transformed TPM of genes abundantly expressed in α‐(B.i) and β‐(B.ii) cells are also presented, where each point represents the weighted average among each dataset to account for sample size. (C) The number of cells identified in each dataset based on exclusive and robust expression of key gene markers, number of cells from healthy and diabetic samples are also reported for α‐and β‐cells α‐cell gene expression profiles with T2DM : From the meta‐analysis, 285 genes were differentially expressed in α‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA. Top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over‐ and underexpressed genes are listed in Table 2. Overall, α‐cells from T2DM donors modified genes involved in energy regulation, autophagy, cell cycle, and xenobiotic metabolism. Additionally, several interleukins were induced in α‐cells from T2DM donors, and several hormone signaling pathways were also upregulated, such as β‐estradiol and, as expected, INS. The INS secretion signaling pathway was also induced in α‐cells from T2DM donors. Of interest to the present study, NFE2L2 was also induced in α‐cells from T2DM donors. Several of the top differentially expressed genes (DEGs) were related to energy metabolism, immunity, and peptide hormone metabolism. Type 2 diabetes‐driven transcriptomic changes in α‐cells Proliferating α‐cell gene expression profiles: Forty‐nine proliferating α‐cells were identified from the pooled dataset by exclusive and robust expression of MKI67 vs DYRK1A and GSK3B, and if none of the target genes were detected, the α‐cell was considered unassigned (Figure 2A). A greater percentage of α‐cells from healthy donors (57.59%) were unassigned as compared to α‐cells from T2DM donors (40.69%), and less than 1% of α‐cells were identified as proliferating in the pooled dataset (Figure 2B). Although not significant, the portion of proliferating α‐cells from T2DM donors (0.83%) was greater than proliferating α‐cells from healthy donors (0.63%) (Figure 2C). There were 75 DEGs in nonproliferating α‐cells from T2DM donors, and there were 82 DEGs in proliferating α‐cells from T2DM donors (Figure 2D ). Carboxypeptidase E (CPE) and neuropeptide‐like protein (C4orf48) were the only common DEGs in proliferating and nonproliferating α‐cells from T2DM donors and are involved in the biosynthesis of neuropeptides and peptide hormones. There were 106 DEGs in proliferating vs nonproliferating α‐cells from healthy donors, and 7 DEGs from T2DM donors. Top DEGs are listed in Figure 2E. In proliferating vs nonproliferating α‐cells from T2DM donors, top overexpressed genes included MKI67, a proliferation marker. Most of the top overexpressed genes in proliferating vs nonproliferating α‐cells from both healthy and T2DM donors are related to cell division, such as cell division cycle associated 8 (CDCA8). In the pathway analysis (Figure 2F), nonproliferating α‐cells from T2DM vs healthy donors repressed the coronavirus pathogenesis pathway. Proliferating α‐cells from T2DM vs healthy donors induced the INS secretion signaling pathway and sirtuin signaling pathway similar to results in Table 2. In proliferating α‐cells from healthy donors, many of the modulated pathways were related to cell replication, Rho signaling, and in the upstream regulator analysis (Figure 2G), several regulators related to cell proliferation were upregulated, such as proto‐oncogene, BHLH transcription factor (MYC). As expected, since the estrogen receptor signaling pathway is induced in proliferating vs nonproliferating α‐cells from healthy donors, many of the upstream regulators are related to estrogen signaling. NFE2L2 signaling was induced in proliferating α‐cells from healthy donors. In nonproliferating α‐cells from T2DM donors, NFE2L2 signaling was repressed; however, in proliferating α‐cells from T2DM vs healthy donors, NFE2L2 signaling was induced. Proliferating α‐cell gene expression. (A) Proliferating α‐cells were distinguished by a gene signature with robust expression of marker of proliferation Ki‐67 (MKI67), and repression of dual specificity tyrosine phosphorylation regulated kinase 1A (DYRK1A) and glycogen synthase kinase 3 β‐(GSK3B). (B,C) A greater percentage of α‐cells from healthy samples (57.59%) were unassigned as compared to T2DM samples (40.69%), X2 (2, N = 7036) = 176.21, P < .00001, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and proliferation state. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤−1.5), and (G) upstream regulators (≥2.25 or ≤−2.25) β‐cell gene expression profiles with T2DM : From our meta‐analysis, 286 genes were differentially expressed in β‐cells from T2DM donors among the six datasets. Significant genes were then analyzed in IPA, and top significant pathways (z score of <−1.5 or >1.5) and upstream regulators (z score <−2.25 or >2.25), and the top over and underexpressed genes are listed in Table 3. Overall, β‐cells from T2DM donors modified genes involved in pathways involved in energy regulation, autophagy, cell cycle, and hormone signaling pathways. As expected with T2DM, the INS secretion signaling pathway was also induced in β‐cells from T2DM donors. Again, of interest to the present study, NFE2L2 was induced in β‐cells from T2DM donors. Top underexpressed genes include several proteins involved in protein metabolism. IAPP, a β‐cell hormone that acts as a satiation signal, is underexpressed in β‐cells from T2DM donors. Top overexpressed genes also included SIX homeobox 3 (SIX3). SIX3 represses Wnt activity and activates the sonic hedgehog gene (SHH), and both pathways are involved in β‐cell proliferation and differentiation. 34 , 35 , 36 Type 2 diabetes‐driven transcriptomic changes in β‐cells Gene expression profiles of immature β‐cells: A total of 2698 immature β‐cells were identified from the pooled dataset by exclusive and robust expression of markers of immaturity, MAFB and/or NPY vs markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, SLC2A2) (Figure 3A). 16 The portion of immature β‐cells from T2DM donors (49.1%) was greater than immature β‐cells from healthy donors (43.2%) (Figure 3B). There were 247 DEGs in mature β‐cells from T2DM vs healthy donors, and there were 70 DEGs in immature β‐cells from T2DM vs healthy donors (Figure 3C). There were 20 common DEGs in both mature and immature β‐cells from T2DM vs healthy donors; however, 5 of those genes were induced in mature but decreased in immature β‐cells from T2DM donors. In healthy donors, there were 15 DEGs in immature vs mature β‐cells, and in T2DM donors, there was 1 DEG in immature vs mature β‐cells. NPY, a marker of β‐cell immaturity, was overexpressed in mature vs immature β‐cells in healthy donors; interestingly, NPY was also overexpressed in immature β‐cells from T2DM vs healthy donors (Figure 3D). Similarly, brain‐expressed X‐linked 1 (BEX1), a top overexpressed gene in immature vs mature β‐cells from healthy donors, was also induced in immature β‐cells from T2DM vs healthy donors. Another top overexpressed gene in immature vs mature β‐cells in healthy donors was glutathione S‐transferase omega 1 (GSTO1), a NFE2L2 target gene that activates NF‐κB. 37 The only DEG in immature vs mature β‐cells from T2DM donors was MAFB, the other maker of β‐cell immaturity. In the pathway analysis, as expected, mature and immature β‐cells from T2DM vs healthy donors had modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways (Figure 3E,F). There were no pathway changes in mature vs immature β‐cells. However, in the upstream regulator analysis, NFE2L2 signaling and STK11 (serine threonine kinase 11), a tumor suppressor, was activated in mature β‐cells but downregulated in immature β‐cells from T2DM donors. In immature vs mature β‐cells from healthy donors, MYC signaling is induced. 38 Mature and Immature β‐cell gene expression. (A) Immature β‐cell was defined by exclusive and robust expression of MAFB and/or NPY over markers for mature β‐cells (MAFA, SYT4, NKX6‐1, UNC3, PDX‐1, and SLC2A2). (B) A greater percentage of β‐cells from T2DM samples (49.1%) were defined as immature as compared to healthy samples (43.2%), X2 (2, N = 6028) = 16.29, P = .0003, with Bonferroni correction. (C) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and maturity. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (D) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (E) canonical pathways (≥1.5 or ≤−1.5), and (F) upstream regulators (≥2.25 or ≤−2.25) Gene expression profiles of senescent β‐cells: A total of 167 senescent β‐cells were identified from the pooled dataset by robust expression of senescent markers IGF1R, CDKN1A, and CDKN2A 16 (Figure 4A). A greater percentage of β‐cells from T2DM donors (4.04%) were defined as senescent as compared to β‐cells from healthy donors (2.32%) (Figure 4B), and the majority of senescent β‐cells were also considered immature (Figure 4C). There were 335 DEGs in non‐senescent β‐cells from T2DM vs healthy donors, and there was 1 DEG in senescent β‐cells from T2DM vs healthy donors. In healthy donors, there were 17 DEGs in senescent vs non‐senescent β‐cells, and there were 2 DEGs in senescent β‐cells from T2DM donors. The only DEG in senescent β‐cells from T2DM vs healthy donors was glutamate decarboxylase 2 (GAD2), a known autoantigen in INS‐dependent diabetes (Figure 3D). Additionally, SIX3 is one of the top overexpressed genes in senescent vs non‐senescent β‐cells from healthy donors and in non‐senescent β‐cells from T2DM vs healthy donors. In the pathway and upstream regulator analysis, only non‐senescent β‐cells from T2DM vs healthy sample had significant pathways changes (Figure 4F,G). As expected, both the mature and immature β‐cells from T2DM vs healthy donors modified genes involved in energy regulation, hormone signaling pathways, and autophagy pathways. Senescent β‐cell gene expression. (A) Β‐cell were also defined as senescent if they had robust expression of senescent markers, IGF1R, CDKN1A, and CDKN1A. (B) A greater percentage of β‐cells from T2DM samples (4.04%) were defined as senescent as compared to healthy samples (2.32%), X2 (1, N = 6029) = 12.79, P = .0003, with Bonferroni correction. (C) The majority of senescent β‐cell were also considered immature, X2 (4, N = 6028) = 25.98, P = .00003, with Bonferroni correction. (D) Venn diagram illustrating the number of differentially expressed genes (DEGs) detected and shared between comparisons between each comparison between disease and senescence. Shared DEGs are listed, and colored arrows indicated direction of each comparison. (E) Top overexpressed and underexpressed differentially expressed gene are listed, including average fold change and P value based on each dataset s weighted for sample size. Differentially expressed genes among all comparisons were further analyzed using Ingenuity Pathway Analysis (IPA). Heat‐maps describing significant z‐scores of (F) canonical pathways (≥1.5 or ≤ −1.5), and (G) upstream regulators (≥2.25 or ≤−2.25) T2DM activated the NFE2L2 pathway in immature and senescent β‐cells: A common upstream regulator that was significantly induced with T2DM was NFE2L2 (Tables 2 and 3). To further evaluate this pathway in relationship to cell dysfunction, several NFE2L2 gene targets were evaluated in α‐ and β‐cells. Proliferating α‐cells had minimal changes in selected NFE2L2 gene targets (Figure S1A). Mature β‐cells from T2DM donors had increased expression of NFE2L2 by 1.5‐fold compared to healthy donors (Figure 5A.i). Immature β‐cells from T2DM donors had increased expression of NFE2L2, glutathione S‐transferase α‐4 (GSTA4), glutathione S‐transferase Mu 3 (GSTM3), glutamate‐cysteine ligase catalytic subunit (GCLC), glutamate‐cysteine ligase modifier subunit (GCLM), cytochrome P450 2R1 (CYP2R1), and solute carrier family 35 member A4 (SLC35A4) by 1.3 to 2.6‐fold compared to healthy donors (Figure 5A). In healthy donors, expression of NFE2L2, KEAP1, NAD(P)H quinone dehydrogenase 1 (NQO1), GSTA4, and GSTM3 was induced by 1.3 to 2.7‐fold in immature β‐cells compared to mature β‐cells. However, in the T2DM donors, expression of all the NFE2L2 gene targets evaluated (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced by 1.1 to 2.7‐fold in immature β‐cells vs mature β‐cells. NFE2L2 and Redox gene expression. Log transformed transcripts per million (TPM) value of (i) Nuclear factor erythroid 2‐related factor 2 (NFE2L2), (ii) Kelch‐like ECH‐associated protein 1 (KEAP1), (iii) NAD(P)H quinone dehydrogenase 1 (NQO1), (iv) Glutathione S‐transferase α‐4 (GSTA4), (v) Glutathione S‐transferase Mu 3 (GSTM3), (vi) Glutamate‐cysteine ligase catalytic subunit (GCLC), (vii) Glutamate‐cysteine ligase modifier subunit (GCLM), (viii) Cytochrome P450 2R1 (CYP2R1), and (ix) Solute carrier family 35 member A4 (SLC35A4) were graphed and to evaluate NFE2L2 activation, in (A) immature and (B) senescent β‐cells. Additionally, (C) sequestosome 1 (SQSTM1) expression was also evaluated as a possible mechanism of NFE2L2 in (i) immature and (ii) senescent β‐cells. All bars represent mean values ± SEM. Calculations were performed using a Kruskal‐Wallis nonparametric test, followed by Dunnʼs post hoc test for multiple comparisons; N = 1456 Healthy‐Mature, 1920 Healthy‐Immature, 465 T2DM‐Mature, and 465 T2DM‐Immature β‐cells and N = 4340 Healthy‐Non‐Senescent, 103 Healthy‐Senescent, 1522 T2DM‐Non‐Senescent, and 64 T2DM‐Senescent β‐cells. *P ≤ .05, **P ≤ .01, ***P ≤ .001, and ****P ≤ .0001 Non‐senescent β‐cells from T2DM donors had increased expression of NFE2L2, GSTA4, and GSTM3 by 1.8, 1.8, and 1.3‐fold, respectively (Figure 5B). Senescent β‐cells from the T2DM samples had increased expression of NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, and GCLC; however, the trends were not significant. In healthy and T2DM donors, expression of all the NFE2L2 gene targets (NFE2L2, KEAP1, NQO1, GSTA4, GSTM3, GCLC, GCLM, CYP2R1, and SLC35A2) was induced in senescent β‐cells compared to non‐senescent β‐cells by 1.7 to 5.3‐fold. In addition to the canonical KEAP1 pathway, NFE2L2 can also be activated in a SQSTM1‐KEAP1‐dependent manner during autophagy dysregulation. 31 SQSTM1 expression is increased by 61.8% and 84.4% in the immature β‐cells (Figure 5C.i) and 100.4% and 130.0% in senescent β‐cells (Figure 5C.ii) in the healthy and T2DM donors, respectively. Only in the non‐senescent β‐cells was there a 3% increase in SQSTM1 expression in β‐cells from T2DM donors compared to healthy donors. DISCUSSION: The development of sc‐RNA‐Seq techniques has allowed for the high‐throughput profiling of transcriptomes across cell types and subpopulations of cells and has facilitated understanding of cellular responses to disease. 39 In the present study, a meta‐analysis of six sc‐RNA‐Seq studies from human pancreatic islets was conducted to evaluate the NFE2L2 and redox signaling in α‐ and β‐cells from T2DM vs healthy donors. The transcriptomes of 7036 α‐cells and 6029 β‐cells were identified and evaluated, and subpopulations of proliferating α‐cells, immature, and senescent β‐cells were also identified and evaluated. The modified genes in α‐cells from T2DM donors are involved in energy regulation, immune response, xenobiotic metabolism, hormone signaling, and autophagy pathways. In T2DM, α‐cells can transdifferentiate to β‐cells under an extreme demand for INS, 14 and although not specifically evaluated, an increase in the INS secretion signaling pathway was observed in α‐cells from T2DM donors. Forty‐nine proliferating α‐cells were identified, which represented ~0.7% of identified α‐cells. This small percentage is expected as α‐cells proliferate at very low levels. 9 As the number of proliferating α‐cells was incredibly small, and due to uneven distribution across the datasets, several dataset comparisons were excluded in the meta‐analysis when a dataset had only one or no proliferating α‐cells. Although the percentage of proliferating α‐cells increased in T2DM donors, the trend was not significant (Figure 2C). Previous work has found that IL6, an inflammatory cytokine elevated in T2DM, 40 stimulates α‐cell proliferation. 13 Interestingly, in α‐cells from T2DM donors, several cytokines, including IL6, IL4, IL5, IL13, and IL15, were identified as upstream regulators. Constant with Wang et al, 9 transcriptomic analysis of proliferating α‐cells found modifications in cell cycle pathways. NFE2L2 activation in proliferating α‐cells was limited. Similar to previous sc‐RNA‐Seq studies, β‐cells from T2DM donors have been found to have altered β‐cell immune response, cell cycle pathways, energy metabolism, and autophagy pathways. 9 , 10 , 11 , 12 The most induced pathway in β‐cells from T2DM donors was the INS secretion signaling pathway. In T2DM, there is an increased demand for INS; the increased production of INS in overworked β‐cells leads to excessive glucose metabolism and oxidative phosphorylation that increases the generation of ROS. 41 There is also an increase of the unfolding or misfolding of proteins in the ER, leading to ER stress. 42 Oxidative and ER stress can cause apoptotic cell death, which may cause the reduction in β‐cell mass that is observed in T2DM. 41 , 42 , 43 As observed herein, pathways and upstream regulators related to apoptosis are induced in β‐cells from T2DM donors and include NFE2L2, the master regulator of the antioxidant response. After evaluating the transcriptomes of β‐cells from T2DM donors, 2698 immature and 167 senescent β‐cells were identified. β‐cells exist in a balance of immature cells and INS‐producing mature cells, where the immature cells are thought to reflect proliferative capacity. 16 , 19 Here, the portion of immature β‐cells in T2DM donors was greater than immature β‐cells from healthy donors, which is supported by the increase in β‐cell proliferation with INS resistance related to obesity. 22 Immature β‐cells were defined as an increase in MAFB and/or NPY. Interestingly, NPY was also increased in immature β‐cells from T2DM samples vs healthy samples. NPY is a counter‐regulator of β‐cell INS secretion, and overexpression of NPY in rats has been described to impair INS secretion when fed a high‐fat diet. 44 , 45 In T2DM, there is also an increase in β‐cell senescence. 46 Here, a greater percentage of β‐cells from T2DM donors were defined as senescent as compared to healthy donors, as defined by expression of senescent markers IGF1R, CDKN1A, and CDKN2A. Remarkably, the majority of senescent β‐cells were also considered immature, thus suggesting that senescent β‐cells have an increase in either MAFB or NYP expression vs other markers of mature β‐cells. SIX3, which represses Wnt activity and activates the SHH, 35 was identified as top overexpressed gene in β‐cells from T2DM donors, and SIX3 was also one of the top overexpressed genes in senescent vs non‐senescent β‐cells. SIX3 has been identified as a transcription factor that governs functional β‐cell maturation and may be a potential target for β‐cell dysfunction in T2DM. 47 As outlined in Figure 6, lipotoxicity and glucotoxicity associated with T2DM increase oxidative stress and can increase NFE2L2 activation. As expected, α‐ and β‐cells from T2DM donors have increased NFE2L2 activation. Here, NFE2L2 is also activated in immature and senescent β‐cells. Immature β‐cells have reduced INS secretion and increased proliferation, and NFE2L2 activation is related to both. Exposure of isolated mouse islets or INS‐1 cells to oxidative stressors has been described to decrease glucose‐stimulated INS secretion, 48 and upregulation of NFE2L2 expression increases proliferation of rat INS‐1 cells and primary mouse and human β‐cells. 49 , 50 Oxidative damage can also damage β‐cells, and NFE2L2 was activated in senescent β‐cells as well. The pathways analysis demonstrated modified autophagy pathways in cells from T2DM donors, and NFE2L2 activation in β‐cells may also occur through the noncanonical SQSTM1‐KEAP1 pathway. Here, SQSTM1 expression was increased in immature and senescent β‐cells. This suggests that NFE2L2 activation in β‐cells is likely due to multiple pathways. Mechanisms of NFE2L2 activation. Under normal conditions, nuclear factor erythroid 2‐related factor 2 (NFE2L2) is bound to Kelch‐like ECH‐associated protein 1 (KEAP1) in the cytoplasm and is degraded. Type 2 diabetes increases glucotoxicity and lipotoxicity, which increases oxidative stress. In the canonical NFE2L2‐KEAP1 pathway, when oxidative stress is present, NFE2L2 is activated and translocates to the nucleus. NFE2L2 binds to the antioxidant response element (ARE), along with small Maf (sMaf) proteins to increase expression of antioxidant genes. Sequestosome 1 (SQSTM1) expression is increased with autophagy. In the non‐canonical SQSTM1‐KEAP1 pathway, SQSTM1 interacts with KEAP1 and inactivates the NFE2L2‐KEAP1 complex thus promoting NFE2L2 translocation to the nucleus In conclusion, this transcriptomic meta‐analysis provides detailed information about β‐cell damage in patients with T2DM. These analyses demonstrate the power of sc‐RNA‐Seq data to detect transcriptional alterations in subpopulations of α‐ and β‐cells. Although the ability to directly relate the changes of the transcriptome to functional impairments in disease is limited, this analysis provides several hypotheses to understand the effect of T2DM on the α‐ and β‐cells of the pancreas. This study also provides evidence that NFE2L2 activation plays a role in β‐cell maturation and dysfunction; redox singling may be a key pathway to target for β‐cell restoration and T2DM treatments. DISCLOSURE: The authors have no conflicts of interest, financial or otherwise, to report. Supporting information: Appendix S1: Supporting information Click here for additional data file.
Background: Type 2 diabetes mellitus (T2DM) is a chronic disease characterized by insulin resistance and failure of β-cells to meet the metabolic demand for insulin. Recent advances in single-cell RNA sequencing (sc-RNA-Seq) have allowed for in-depth studies to further understand the underlying cellular mechanisms of T2DM. In β-cells, redox signaling is critical for insulin production. A meta-analysis of human pancreas islet sc-RNA-Seq data was conducted to evaluate how T2DM may modify the transcriptomes of α- and β-cells. Methods: Annotated sc-RNA-Seq data from six studies of human pancreatic islets from metabolically healthy and donors with T2DM were collected. α- and β-cells, subpopulations of proliferating α-cells, immature, and senescent β-cells were identified based on expression levels of key marker genes. Each dataset was analyzed individually before combining, using weighted comparisons. Pathways of significant genes and individual redox-related gene expression were then evaluated to further understand the role that redox signaling may play in T2DM-induced β-cell dysfunction. Results: α- and β-cells from T2DM donors modified genes involved in energy metabolism, immune response, autophagy, and cellular stress. α- and β-cells also had an increased nuclear factor erythroid 2-related factor 2 (NFE2L2)-mediated antioxidant response in T2DM donors. The proportion of immature and senescent β-cells increased in T2DM donors, and in immature and senescent β-cells, genes regulated by NFE2L2 were further upregulated. Conclusions: These findings suggest that NFE2L2 plays a role in β-cell maturation and dysfunction. Redox singling maybe a key pathway for β-cell restoration and T2DM therapeutics.
INTRODUCTION: According to estimates from the International Diabetes Federation atlas, 463 million people had diabetes worldwide in 2019, and this number is expected to climb to 700 million by 2045. 1 , 2 Type 2 diabetes mellitus (T2DM) is a chronic disease characterized by insulin (INS) resistance and severe β‐cell dysfunction. β‐cells, along with α, δ, ε, and υ cells make up the islets of Langerhans of the endocrine pancreas and are essential for maintaining glucose homeostasis. β‐cells produce INS in response to elevated blood glucose, and α‐cells secrete glucagon (GCG), which releases glucose from the liver and lipids from adipose tissue. 3 A key feature of T2DM is the failure of β‐cells to meet the metabolic demand for INS, and recent advances in single‐cell RNA sequencing (sc‐RNA‐Seq) have allowed for further understanding of the underlying mechanisms of islet cell maturation, maintenance, and dysfunction in T2DM. 4 Many sc‐RNA‐Seq studies have found variable transcript enrichment across different islet cell types and rare cell subpopulations that can only be possible through sc‐RNA‐Seq. 5 , 6 , 7 , 8 , 9 , 10 , 11 , 12 In T2DM, α‐cells may transdifferentiate to β‐cells, under an extreme demand for INS, and also have been shown to increase proliferation via an elevated inflammatory response in T2DM and obesity. 13 , 14 , 15 β‐cells from T2DM donors have been found to have altered β‐cell immune response, cell cycle pathways, transcription factor expression, energy metabolism, and protein synthesis in several sc‐RNA‐Seq studies. 10 , 11 , 12 As reviewed by Salinno et al, 16 subpopulations of β‐cells exist in a balance of proliferative capacity (immature cells) 17 or INS production (mature cells). 18 The ratio of mature and immature β‐cells is thought to reflect the proliferative capability of β‐cells. 19 Immature β‐cells display high basal levels INS; however, it is unclear if they are capable of glucose‐stimulated INS secretion. 20 Under healthy conditions, only a small pool of β‐cells retain proliferative capabilities. 21 β‐cell proliferation has been shown to increase with INS resistance in obesity, 22 and in the present study, the transcriptomes of subpopulations of proliferating α‐cells, immature, and senescent β‐cells will be evaluated in the context of T2DM. A key feature in the pathophysiology of T2DM is glucotoxicity and lipotoxicity, which generate high amounts of reactive oxygen species (ROS) and oxidative stress. ROS generation, mitochondrial dysfunction, endoplasmic reticulum (ER) stress, and autophagy are all implicated in the development of T2DM and can impair β‐cell function. 23 , 24 β‐cells maintain low levels of antioxidant defenses and an oxidized redox state, which is necessary to form the three disulfide bonds in INS. 25 , 26 , 27 ROS also act as signaling molecules to guide cell fate and maturation in β‐cells. 28 , 29 , 30 The induction of antioxidant enzymes via nuclear factor erythroid 2‐related factor 2 (NFE2L2) provides protection from oxidative damage; however, induction of NFE2L2 may also blunt glucose‐triggered ROS signaling, thus reducing INS secretion. 30 Recently an alternative pathway of NFE2L2 activation has also been described, where blockage of autophagosome‐lysosome fusion leads to sequestosome 1 (SQSTM1)‐mediated sequestration of Kelch‐like epichlorohydrin (ECH)‐associated protein 1 (KEAP1) into autophagosomes, preventing NFE2L2 ubiquitylation and degradation. 31 In the study herein, a meta‐analysis of sc‐RNA‐Seq data from six studies from human pancreas islets will be conducted to evaluate how T2DM may modify the transcriptomes of several subpopulations of α‐ and β‐cells. The analysis in total represents sc‐RNA‐Seq data from 47 metabolically healthy human islet donors and 23 donors with T2DM. Subpopulations of proliferating α‐cells, immature, and senescent β‐cells will be evaluated using pathway analysis, and gene targets in the NFE2L2 pathway will be evaluated in relation to these subpopulations of α‐ and β‐cells. With this analysis, we hope to further understand the role that NFE2L2 may play in T2DM‐induced β‐cell dysfunction. DISCUSSION: The development of sc‐RNA‐Seq techniques has allowed for the high‐throughput profiling of transcriptomes across cell types and subpopulations of cells and has facilitated understanding of cellular responses to disease. 39 In the present study, a meta‐analysis of six sc‐RNA‐Seq studies from human pancreatic islets was conducted to evaluate the NFE2L2 and redox signaling in α‐ and β‐cells from T2DM vs healthy donors. The transcriptomes of 7036 α‐cells and 6029 β‐cells were identified and evaluated, and subpopulations of proliferating α‐cells, immature, and senescent β‐cells were also identified and evaluated. The modified genes in α‐cells from T2DM donors are involved in energy regulation, immune response, xenobiotic metabolism, hormone signaling, and autophagy pathways. In T2DM, α‐cells can transdifferentiate to β‐cells under an extreme demand for INS, 14 and although not specifically evaluated, an increase in the INS secretion signaling pathway was observed in α‐cells from T2DM donors. Forty‐nine proliferating α‐cells were identified, which represented ~0.7% of identified α‐cells. This small percentage is expected as α‐cells proliferate at very low levels. 9 As the number of proliferating α‐cells was incredibly small, and due to uneven distribution across the datasets, several dataset comparisons were excluded in the meta‐analysis when a dataset had only one or no proliferating α‐cells. Although the percentage of proliferating α‐cells increased in T2DM donors, the trend was not significant (Figure 2C). Previous work has found that IL6, an inflammatory cytokine elevated in T2DM, 40 stimulates α‐cell proliferation. 13 Interestingly, in α‐cells from T2DM donors, several cytokines, including IL6, IL4, IL5, IL13, and IL15, were identified as upstream regulators. Constant with Wang et al, 9 transcriptomic analysis of proliferating α‐cells found modifications in cell cycle pathways. NFE2L2 activation in proliferating α‐cells was limited. Similar to previous sc‐RNA‐Seq studies, β‐cells from T2DM donors have been found to have altered β‐cell immune response, cell cycle pathways, energy metabolism, and autophagy pathways. 9 , 10 , 11 , 12 The most induced pathway in β‐cells from T2DM donors was the INS secretion signaling pathway. In T2DM, there is an increased demand for INS; the increased production of INS in overworked β‐cells leads to excessive glucose metabolism and oxidative phosphorylation that increases the generation of ROS. 41 There is also an increase of the unfolding or misfolding of proteins in the ER, leading to ER stress. 42 Oxidative and ER stress can cause apoptotic cell death, which may cause the reduction in β‐cell mass that is observed in T2DM. 41 , 42 , 43 As observed herein, pathways and upstream regulators related to apoptosis are induced in β‐cells from T2DM donors and include NFE2L2, the master regulator of the antioxidant response. After evaluating the transcriptomes of β‐cells from T2DM donors, 2698 immature and 167 senescent β‐cells were identified. β‐cells exist in a balance of immature cells and INS‐producing mature cells, where the immature cells are thought to reflect proliferative capacity. 16 , 19 Here, the portion of immature β‐cells in T2DM donors was greater than immature β‐cells from healthy donors, which is supported by the increase in β‐cell proliferation with INS resistance related to obesity. 22 Immature β‐cells were defined as an increase in MAFB and/or NPY. Interestingly, NPY was also increased in immature β‐cells from T2DM samples vs healthy samples. NPY is a counter‐regulator of β‐cell INS secretion, and overexpression of NPY in rats has been described to impair INS secretion when fed a high‐fat diet. 44 , 45 In T2DM, there is also an increase in β‐cell senescence. 46 Here, a greater percentage of β‐cells from T2DM donors were defined as senescent as compared to healthy donors, as defined by expression of senescent markers IGF1R, CDKN1A, and CDKN2A. Remarkably, the majority of senescent β‐cells were also considered immature, thus suggesting that senescent β‐cells have an increase in either MAFB or NYP expression vs other markers of mature β‐cells. SIX3, which represses Wnt activity and activates the SHH, 35 was identified as top overexpressed gene in β‐cells from T2DM donors, and SIX3 was also one of the top overexpressed genes in senescent vs non‐senescent β‐cells. SIX3 has been identified as a transcription factor that governs functional β‐cell maturation and may be a potential target for β‐cell dysfunction in T2DM. 47 As outlined in Figure 6, lipotoxicity and glucotoxicity associated with T2DM increase oxidative stress and can increase NFE2L2 activation. As expected, α‐ and β‐cells from T2DM donors have increased NFE2L2 activation. Here, NFE2L2 is also activated in immature and senescent β‐cells. Immature β‐cells have reduced INS secretion and increased proliferation, and NFE2L2 activation is related to both. Exposure of isolated mouse islets or INS‐1 cells to oxidative stressors has been described to decrease glucose‐stimulated INS secretion, 48 and upregulation of NFE2L2 expression increases proliferation of rat INS‐1 cells and primary mouse and human β‐cells. 49 , 50 Oxidative damage can also damage β‐cells, and NFE2L2 was activated in senescent β‐cells as well. The pathways analysis demonstrated modified autophagy pathways in cells from T2DM donors, and NFE2L2 activation in β‐cells may also occur through the noncanonical SQSTM1‐KEAP1 pathway. Here, SQSTM1 expression was increased in immature and senescent β‐cells. This suggests that NFE2L2 activation in β‐cells is likely due to multiple pathways. Mechanisms of NFE2L2 activation. Under normal conditions, nuclear factor erythroid 2‐related factor 2 (NFE2L2) is bound to Kelch‐like ECH‐associated protein 1 (KEAP1) in the cytoplasm and is degraded. Type 2 diabetes increases glucotoxicity and lipotoxicity, which increases oxidative stress. In the canonical NFE2L2‐KEAP1 pathway, when oxidative stress is present, NFE2L2 is activated and translocates to the nucleus. NFE2L2 binds to the antioxidant response element (ARE), along with small Maf (sMaf) proteins to increase expression of antioxidant genes. Sequestosome 1 (SQSTM1) expression is increased with autophagy. In the non‐canonical SQSTM1‐KEAP1 pathway, SQSTM1 interacts with KEAP1 and inactivates the NFE2L2‐KEAP1 complex thus promoting NFE2L2 translocation to the nucleus In conclusion, this transcriptomic meta‐analysis provides detailed information about β‐cell damage in patients with T2DM. These analyses demonstrate the power of sc‐RNA‐Seq data to detect transcriptional alterations in subpopulations of α‐ and β‐cells. Although the ability to directly relate the changes of the transcriptome to functional impairments in disease is limited, this analysis provides several hypotheses to understand the effect of T2DM on the α‐ and β‐cells of the pancreas. This study also provides evidence that NFE2L2 activation plays a role in β‐cell maturation and dysfunction; redox singling may be a key pathway to target for β‐cell restoration and T2DM treatments.
Background: Type 2 diabetes mellitus (T2DM) is a chronic disease characterized by insulin resistance and failure of β-cells to meet the metabolic demand for insulin. Recent advances in single-cell RNA sequencing (sc-RNA-Seq) have allowed for in-depth studies to further understand the underlying cellular mechanisms of T2DM. In β-cells, redox signaling is critical for insulin production. A meta-analysis of human pancreas islet sc-RNA-Seq data was conducted to evaluate how T2DM may modify the transcriptomes of α- and β-cells. Methods: Annotated sc-RNA-Seq data from six studies of human pancreatic islets from metabolically healthy and donors with T2DM were collected. α- and β-cells, subpopulations of proliferating α-cells, immature, and senescent β-cells were identified based on expression levels of key marker genes. Each dataset was analyzed individually before combining, using weighted comparisons. Pathways of significant genes and individual redox-related gene expression were then evaluated to further understand the role that redox signaling may play in T2DM-induced β-cell dysfunction. Results: α- and β-cells from T2DM donors modified genes involved in energy metabolism, immune response, autophagy, and cellular stress. α- and β-cells also had an increased nuclear factor erythroid 2-related factor 2 (NFE2L2)-mediated antioxidant response in T2DM donors. The proportion of immature and senescent β-cells increased in T2DM donors, and in immature and senescent β-cells, genes regulated by NFE2L2 were further upregulated. Conclusions: These findings suggest that NFE2L2 plays a role in β-cell maturation and dysfunction. Redox singling maybe a key pathway for β-cell restoration and T2DM therapeutics.
15,219
331
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18
[ "cells", "t2dm", "donors", "healthy", "cells t2dm", "expression", "cell", "immature", "senescent", "genes" ]
[ "islets ins cells", "transcriptomes cells t2dm", "mechanisms islet cell", "diabetes mellitus t2dm", "diabetes driven transcriptomic" ]
[CONTENT] meta‐analysis | oxidative stress | RNA‐Seq | transcriptome | type 2 diabetes mellitus | 糖尿病 | 2型, meta分析 | 氧化应激 | RNA‐Seq | 转录组 [SUMMARY]
[CONTENT] meta‐analysis | oxidative stress | RNA‐Seq | transcriptome | type 2 diabetes mellitus | 糖尿病 | 2型, meta分析 | 氧化应激 | RNA‐Seq | 转录组 [SUMMARY]
[CONTENT] meta‐analysis | oxidative stress | RNA‐Seq | transcriptome | type 2 diabetes mellitus | 糖尿病 | 2型, meta分析 | 氧化应激 | RNA‐Seq | 转录组 [SUMMARY]
[CONTENT] meta‐analysis | oxidative stress | RNA‐Seq | transcriptome | type 2 diabetes mellitus | 糖尿病 | 2型, meta分析 | 氧化应激 | RNA‐Seq | 转录组 [SUMMARY]
[CONTENT] meta‐analysis | oxidative stress | RNA‐Seq | transcriptome | type 2 diabetes mellitus | 糖尿病 | 2型, meta分析 | 氧化应激 | RNA‐Seq | 转录组 [SUMMARY]
[CONTENT] meta‐analysis | oxidative stress | RNA‐Seq | transcriptome | type 2 diabetes mellitus | 糖尿病 | 2型, meta分析 | 氧化应激 | RNA‐Seq | 转录组 [SUMMARY]
[CONTENT] Diabetes Mellitus, Type 2 | Humans | Insulin-Secreting Cells | Oxidation-Reduction | Pancreas | Transcriptome [SUMMARY]
[CONTENT] Diabetes Mellitus, Type 2 | Humans | Insulin-Secreting Cells | Oxidation-Reduction | Pancreas | Transcriptome [SUMMARY]
[CONTENT] Diabetes Mellitus, Type 2 | Humans | Insulin-Secreting Cells | Oxidation-Reduction | Pancreas | Transcriptome [SUMMARY]
[CONTENT] Diabetes Mellitus, Type 2 | Humans | Insulin-Secreting Cells | Oxidation-Reduction | Pancreas | Transcriptome [SUMMARY]
[CONTENT] Diabetes Mellitus, Type 2 | Humans | Insulin-Secreting Cells | Oxidation-Reduction | Pancreas | Transcriptome [SUMMARY]
[CONTENT] Diabetes Mellitus, Type 2 | Humans | Insulin-Secreting Cells | Oxidation-Reduction | Pancreas | Transcriptome [SUMMARY]
[CONTENT] islets ins cells | transcriptomes cells t2dm | mechanisms islet cell | diabetes mellitus t2dm | diabetes driven transcriptomic [SUMMARY]
[CONTENT] islets ins cells | transcriptomes cells t2dm | mechanisms islet cell | diabetes mellitus t2dm | diabetes driven transcriptomic [SUMMARY]
[CONTENT] islets ins cells | transcriptomes cells t2dm | mechanisms islet cell | diabetes mellitus t2dm | diabetes driven transcriptomic [SUMMARY]
[CONTENT] islets ins cells | transcriptomes cells t2dm | mechanisms islet cell | diabetes mellitus t2dm | diabetes driven transcriptomic [SUMMARY]
[CONTENT] islets ins cells | transcriptomes cells t2dm | mechanisms islet cell | diabetes mellitus t2dm | diabetes driven transcriptomic [SUMMARY]
[CONTENT] islets ins cells | transcriptomes cells t2dm | mechanisms islet cell | diabetes mellitus t2dm | diabetes driven transcriptomic [SUMMARY]
[CONTENT] cells | t2dm | donors | healthy | cells t2dm | expression | cell | immature | senescent | genes [SUMMARY]
[CONTENT] cells | t2dm | donors | healthy | cells t2dm | expression | cell | immature | senescent | genes [SUMMARY]
[CONTENT] cells | t2dm | donors | healthy | cells t2dm | expression | cell | immature | senescent | genes [SUMMARY]
[CONTENT] cells | t2dm | donors | healthy | cells t2dm | expression | cell | immature | senescent | genes [SUMMARY]
[CONTENT] cells | t2dm | donors | healthy | cells t2dm | expression | cell | immature | senescent | genes [SUMMARY]
[CONTENT] cells | t2dm | donors | healthy | cells t2dm | expression | cell | immature | senescent | genes [SUMMARY]
[CONTENT] cells | t2dm | sc rna seq | sc | sc rna | rna | subpopulations | ins | cell | seq [SUMMARY]
[CONTENT] human | human islets | islets | kilobase | genome | rpkm | genes | cells | expression | healthy t2dm [SUMMARY]
[CONTENT] cells | donors | t2dm | cells t2dm | healthy | healthy donors | vs | senescent | immature | t2dm donors [SUMMARY]
[CONTENT] cells | t2dm | nfe2l2 | donors | cells t2dm | t2dm donors | increase | immature | senescent | increased [SUMMARY]
[CONTENT] cells | t2dm | donors | cells t2dm | genes | healthy | senescent | t2dm donors | cell | cells t2dm donors [SUMMARY]
[CONTENT] cells | t2dm | donors | cells t2dm | genes | healthy | senescent | t2dm donors | cell | cells t2dm donors [SUMMARY]
[CONTENT] 2 ||| RNA ||| ||| [SUMMARY]
[CONTENT] Annotated | six ||| ||| ||| [SUMMARY]
[CONTENT] ||| 2 | 2 | T2DM ||| [SUMMARY]
[CONTENT] ||| [SUMMARY]
[CONTENT] 2 ||| RNA ||| ||| ||| Annotated | six ||| ||| ||| ||| ||| 2 | 2 | T2DM ||| ||| ||| [SUMMARY]
[CONTENT] 2 ||| RNA ||| ||| ||| Annotated | six ||| ||| ||| ||| ||| 2 | 2 | T2DM ||| ||| ||| [SUMMARY]
Naturally induced humoral response against Plasmodium vivax reticulocyte binding protein 2P1.
34082763
Plasmodium vivax is the most prevalent malaria parasite in many countries. A better understanding of human immunity to this parasite can provide new insights for vaccine development. Plasmodium vivax Reticulocyte Binding Proteins (RBPs) are key parasite proteins that interact with human proteins during erythrocyte invasion and are targets of the human immune response. The aim of this study is to characterize the human antibody response to RBP2P1, the most recently described member of the RBP family.
BACKGROUND
The levels of total IgG and IgM against RBP2P1 were measured using plasmas from 68 P. vivax malaria patients and 525 villagers in a malarious village of western Thailand. The latter group comprises asymptomatic carriers and healthy uninfected individuals. Subsets of plasma samples were evaluated for anti-RBP2P1 IgG subtypes and complement-fixing activity.
METHODS
As age increased, it was found that the level of anti-RBP2P1 IgG increased while the level of IgM decreased. The main anti-RBP2P1 IgG subtypes were IgG1 and IgG3. The IgG3-seropositive rate was higher in asymptomatic carriers than in patients. The higher level of IgG3 was correlated with higher in vitro RBP2P1-mediated complement fixing activity.
RESULTS
In natural infection, the primary IgG response to RBP2P1 was IgG1 and IgG3. The predominance of these cytophilic subtypes and the elevated level of IgG3 correlating with complement fixing activity, suggest a possible role of anti-RBP2P1 antibodies in immunity against P. vivax.
CONCLUSIONS
[ "Adolescent", "Adult", "Aged", "Child", "Child, Preschool", "Female", "Humans", "Immunity, Humoral", "Infant", "Infant, Newborn", "Malaria, Vivax", "Male", "Membrane Proteins", "Middle Aged", "Plasmodium vivax", "Protozoan Proteins", "Young Adult" ]
8173506
Background
Plasmodium vivax malaria remains a major public health problem in many countries. At present, there is no approved vaccine for P. vivax, but such a vaccine would be highly useful for the global malaria eradication. Several types of vaccines have been considered for P. vivax malaria, including one to prevent or eliminate liver stage infection (pre-erythrocytic vaccine), one to reduce blood stage parasitaemia (blood stage vaccine), and one to block transmission from humans to mosquitoes (transmission-blocking vaccine). Blood stage vaccines are aimed to neutralize red cell infection, which is the immediate cause of malaria symptoms. Blood stage vaccines for P. vivax will help reduce disease transmission because the density of gametocytes, the stage transmissible to the mosquitoes, is closely linked to the total blood parasitaemia [1–3]. Several P. vivax asexual blood stage antigens have been considered for vaccine development, including Duffy binding protein (DBP) [4], several Reticulocyte binding proteins (RBPs) [5], apical membrane antigen 1 (AMA1), and merozoite surface proteins (MSPs) [6]. Currently the most advanced candidate is the P. vivax Duffy Binding Protein (PvDBP), which has entered Phase 1a clinical trials [7, 8]. Other targets [5, 8] are much further behind and new candidates are still needed to maintain a healthy vaccine development pipeline. Plasmodium vivax RBPs are a major group of P. vivax invasion ligands. Human antibodies to some of these proteins have been shown to be associated with clinical protection [9–11]. Antibodies to one of them, RBP2b, directly inhibit erythrocyte invasion [12]. Recently, we characterized a novel RBP, RBP2P1, and found that a higher level of total IgG to RBP2P1 is associated with lower parasitaemia, suggesting an involvement in functional immunity [13]. However, the analysis was limited to total IgG. This study aims to provide a more complete account of human antibody response to RBP2P1. Plasmas from acute P. vivax malaria patients and the general population in an endemic area in Thailand were examined for IgM, total IgG, IgG subtypes, and anti-RBP2P1 antibody-mediated complement fixing activity.
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Results
IgM and total IgG in the community survey 525 plasma samples from a cross-sectional survey in Kanchanaburi province were used to examine the presence of RBP2P1 antibodies in the community. The age of the study participants showed a positive correlation with total IgG (Spearman ρ = 0.317, p = 0.01), but a negative correlation with IgM (Spearman ρ = − 0.144, p = 0.001). When the cross-sectional samples were classified into four age groups: 0–6 years, 7–12 years, 13–17 years and ≥ 18 years, the anti-RBP2P1 IgM levels were higher (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0168) in children aged 7–12 years compared to adults (Fig. 1A). The IgG response (Fig. 1A) was higher in the adult group compared with all younger groups (p < 0.001). Consistently, IgG seropositivity in the adult group was higher compared to the other three groups (Fisher’s exact test, p < 0.01 for all pairwise comparison) (Fig. 1B). There were no significant differences among the age groups for IgM seropositivity (Fisher’s exact test, p > 0.05 for all pairwise comparison) (Fig. 1B). Fig. 1 IgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 IgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 525 plasma samples from a cross-sectional survey in Kanchanaburi province were used to examine the presence of RBP2P1 antibodies in the community. The age of the study participants showed a positive correlation with total IgG (Spearman ρ = 0.317, p = 0.01), but a negative correlation with IgM (Spearman ρ = − 0.144, p = 0.001). When the cross-sectional samples were classified into four age groups: 0–6 years, 7–12 years, 13–17 years and ≥ 18 years, the anti-RBP2P1 IgM levels were higher (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0168) in children aged 7–12 years compared to adults (Fig. 1A). The IgG response (Fig. 1A) was higher in the adult group compared with all younger groups (p < 0.001). Consistently, IgG seropositivity in the adult group was higher compared to the other three groups (Fisher’s exact test, p < 0.01 for all pairwise comparison) (Fig. 1B). There were no significant differences among the age groups for IgM seropositivity (Fisher’s exact test, p > 0.05 for all pairwise comparison) (Fig. 1B). Fig. 1 IgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 IgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 Comparison between P. vivax asymptomatic carriers, patients, and uninfected individuals 34 P. vivax malaria patients and 31 selected individuals from the cross-sectional survey (22 asymptomatic P. vivax carriers + 9 healthy parasite-free villagers who reported never to have had malaria) were selected for further comparative analysis. The patient specimens were obtained from the malaria clinic in the study village at roughly the same time period (2012–2013). The plasma samples were tested for anti-RBP2P1 IgM, total IgG, IgG1, IgG2, IgG3 and IgG4. The median of anti-RBP2P1 IgM levels in P. vivax patients did not differ from that of asymptomatic carriers, but it was higher than that of uninfected villagers or healthy Bangkok donors (Fig. 2A). A similar pattern was found for total IgG (Fig. 2A) as well as IgG1 and IgG3 (Fig. 2B). No statistically significant difference was detected between the four groups for IgG2 (Fig. 2B). IgG4 was not detected in any sample. Fig. 2 Anti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) Anti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) The anti-RBP2P1 seropositive rates in asymptomatic carriers, patients, and uninfected villagers were also compared. The mean + 2SD value of the Bangkok donors was used as the seropositivity threshold. There was no difference in the seropositive rates between the three groups for IgM (Fig. 3A). For total IgG, the seropositive rates were similar between the patients (94 %) and the asymptomatic carriers (91 %). Both groups had a higher seropositive rate than the uninfected villagers did (0 %) (Fisher`s exact test, p < 0.0001) (Fig. 3A). IgG1 seropositivity followed a similar trend (patients 44 % and asymptomatic carriers 59 %), albeit at lower rates in the two infected groups (Fig. 3B). For IgG2, the seropositive rates were low and indistinguishable in all three groups. For IgG3, the seropositive rate was higher in the asymptomatic carriers (95 %) compared to the patients (68 %) (Fisher exact test, p = 0.0183), who in turn, had a higher seropositive rate than the uninfected villagers (22 %) (Fisher’s exact test, p = 0.0226) (Fig. 3B). Fig. 3 Anti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test) Anti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test) 34 P. vivax malaria patients and 31 selected individuals from the cross-sectional survey (22 asymptomatic P. vivax carriers + 9 healthy parasite-free villagers who reported never to have had malaria) were selected for further comparative analysis. The patient specimens were obtained from the malaria clinic in the study village at roughly the same time period (2012–2013). The plasma samples were tested for anti-RBP2P1 IgM, total IgG, IgG1, IgG2, IgG3 and IgG4. The median of anti-RBP2P1 IgM levels in P. vivax patients did not differ from that of asymptomatic carriers, but it was higher than that of uninfected villagers or healthy Bangkok donors (Fig. 2A). A similar pattern was found for total IgG (Fig. 2A) as well as IgG1 and IgG3 (Fig. 2B). No statistically significant difference was detected between the four groups for IgG2 (Fig. 2B). IgG4 was not detected in any sample. Fig. 2 Anti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) Anti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) The anti-RBP2P1 seropositive rates in asymptomatic carriers, patients, and uninfected villagers were also compared. The mean + 2SD value of the Bangkok donors was used as the seropositivity threshold. There was no difference in the seropositive rates between the three groups for IgM (Fig. 3A). For total IgG, the seropositive rates were similar between the patients (94 %) and the asymptomatic carriers (91 %). Both groups had a higher seropositive rate than the uninfected villagers did (0 %) (Fisher`s exact test, p < 0.0001) (Fig. 3A). IgG1 seropositivity followed a similar trend (patients 44 % and asymptomatic carriers 59 %), albeit at lower rates in the two infected groups (Fig. 3B). For IgG2, the seropositive rates were low and indistinguishable in all three groups. For IgG3, the seropositive rate was higher in the asymptomatic carriers (95 %) compared to the patients (68 %) (Fisher exact test, p = 0.0183), who in turn, had a higher seropositive rate than the uninfected villagers (22 %) (Fisher’s exact test, p = 0.0226) (Fig. 3B). Fig. 3 Anti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test) Anti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test) RBP2P1-mediated complement fixation The complement-fixing activities of anti-RBP2P1 antibodies were assessed. The same subpopulation of 22 asymptomatic carriers, 34 patients, and 9 uninfected villagers used for IgG subtyping were subjected to an ELISA-based complement fixation assay (Fig. 4). A set of 15 healthy Bangkok donors were also used as the control. This assay infers the complement fixing activity from the ability of anti-RBP2P1 antibodies to bind human C1q, the first step of the classical complement pathway. Because the asymptomatic and patient groups have indistinguishable complement-fixing activity (data not shown), they were combined into a single P. vivax ‘infected’ group (Fig. 4). This group had significantly higher level of complement-fixing activity than the uninfected villagers and the Bangkok donors (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0001 and p = 0.0002, respectively) (Fig. 4). Fig. 4 Complement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) Complement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) To test whether the higher complement-fixing activity in the P. vivax infected individuals (n = 56) is associated with IgM and cytophilic antibodies, correlation analysis was performed (Fig. 5). The results show that the levels of IgG1 and IgG3 subtypes, but not IgM, were rank-correlated with complement-fixing activity (Spearman’s rank correlation, p ≤ 0.011). In a multivariate linear regression model using IgM, IgG1, and IgG3 as independent variables, only IgG3 remains significantly associated with complement-fixing activity (p = 0.018). Fig. 5 Complement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation Complement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation The complement-fixing activities of anti-RBP2P1 antibodies were assessed. The same subpopulation of 22 asymptomatic carriers, 34 patients, and 9 uninfected villagers used for IgG subtyping were subjected to an ELISA-based complement fixation assay (Fig. 4). A set of 15 healthy Bangkok donors were also used as the control. This assay infers the complement fixing activity from the ability of anti-RBP2P1 antibodies to bind human C1q, the first step of the classical complement pathway. Because the asymptomatic and patient groups have indistinguishable complement-fixing activity (data not shown), they were combined into a single P. vivax ‘infected’ group (Fig. 4). This group had significantly higher level of complement-fixing activity than the uninfected villagers and the Bangkok donors (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0001 and p = 0.0002, respectively) (Fig. 4). Fig. 4 Complement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) Complement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) To test whether the higher complement-fixing activity in the P. vivax infected individuals (n = 56) is associated with IgM and cytophilic antibodies, correlation analysis was performed (Fig. 5). The results show that the levels of IgG1 and IgG3 subtypes, but not IgM, were rank-correlated with complement-fixing activity (Spearman’s rank correlation, p ≤ 0.011). In a multivariate linear regression model using IgM, IgG1, and IgG3 as independent variables, only IgG3 remains significantly associated with complement-fixing activity (p = 0.018). Fig. 5 Complement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation Complement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation
Conclusions
The naturally-acquired humoral immune response against P. vivax merozoite protein RBP2P1 is biased towards cytophilic antibodies IgG1 and IgG3. The IgG3 seropositivity rate against RBP2P1 was higher in asymptomatic P. vivax carriers than in clinical P. vivax malaria patients. The level of IgG3 antibody subtype was correlated with complement fixation activity, suggesting that RBP2P1 is a target of functional human immune response to P. vivax infection.
[ "Background", "Methods", "Study sites", "Study specimens", "Expression and purification of PvRBP2-P1", "Antibody measurements", "Complement-fixation assay", "Statistical analysis", "IgM and total IgG in the community survey", "Comparison between P. vivax asymptomatic carriers, patients, and uninfected individuals", "RBP2P1-mediated complement fixation" ]
[ "\nPlasmodium vivax malaria remains a major public health problem in many countries. At present, there is no approved vaccine for P. vivax, but such a vaccine would be highly useful for the global malaria eradication. Several types of vaccines have been considered for P. vivax malaria, including one to prevent or eliminate liver stage infection (pre-erythrocytic vaccine), one to reduce blood stage parasitaemia (blood stage vaccine), and one to block transmission from humans to mosquitoes (transmission-blocking vaccine). Blood stage vaccines are aimed to neutralize red cell infection, which is the immediate cause of malaria symptoms. Blood stage vaccines for P. vivax will help reduce disease transmission because the density of gametocytes, the stage transmissible to the mosquitoes, is closely linked to the total blood parasitaemia [1–3]. Several P. vivax asexual blood stage antigens have been considered for vaccine development, including Duffy binding protein (DBP) [4], several Reticulocyte binding proteins (RBPs) [5], apical membrane antigen 1 (AMA1), and merozoite surface proteins (MSPs) [6]. Currently the most advanced candidate is the P. vivax Duffy Binding Protein (PvDBP), which has entered Phase 1a clinical trials [7, 8]. Other targets [5, 8] are much further behind and new candidates are still needed to maintain a healthy vaccine development pipeline.\n\nPlasmodium vivax RBPs are a major group of P. vivax invasion ligands. Human antibodies to some of these proteins have been shown to be associated with clinical protection [9–11]. Antibodies to one of them, RBP2b, directly inhibit erythrocyte invasion [12]. Recently, we characterized a novel RBP, RBP2P1, and found that a higher level of total IgG to RBP2P1 is associated with lower parasitaemia, suggesting an involvement in functional immunity [13]. However, the analysis was limited to total IgG.\nThis study aims to provide a more complete account of human antibody response to RBP2P1. Plasmas from acute P. vivax malaria patients and the general population in an endemic area in Thailand were examined for IgM, total IgG, IgG subtypes, and anti-RBP2P1 antibody-mediated complement fixing activity.", "\nThe use of human specimens in this study was approved by the Ethics Committee of the Faculty of Tropical Medicine, Mahidol University.\nStudy sites Malaria transmission in Thailand is seasonal and found mainly near the country border, with Myanmar to the west, Cambodia to the east and Malaysia to the south [14–16]. The study sites, Kanchanaburi and Ratchaburi provinces, are located on the western border. Both provinces are endemic for malaria [3]. At the time of sample collection (September-October 2012), the study sites had an overall malaria prevalence of 4.18 % by PCR (P. vivax 3.09 %, Plasmodium falciparum 0.86 % and mixed P. vivax/ P. falciparum 0.26 %) [3]. In a cohort study conducted shortly thereafter (2013–2014) [17], the prevalence varied seasonally from 1.7 to 4.2 % for P. vivax and 0–1.3 % for P. falciparum. The infections were found primarily in a small number of individuals who were positive at multiple time points during the monthly active surveys. Most infections (90 %) were asymptomatic, as confirmed by the lack of malaria-like symptoms during the follow-up period.\nMalaria transmission in Thailand is seasonal and found mainly near the country border, with Myanmar to the west, Cambodia to the east and Malaysia to the south [14–16]. The study sites, Kanchanaburi and Ratchaburi provinces, are located on the western border. Both provinces are endemic for malaria [3]. At the time of sample collection (September-October 2012), the study sites had an overall malaria prevalence of 4.18 % by PCR (P. vivax 3.09 %, Plasmodium falciparum 0.86 % and mixed P. vivax/ P. falciparum 0.26 %) [3]. In a cohort study conducted shortly thereafter (2013–2014) [17], the prevalence varied seasonally from 1.7 to 4.2 % for P. vivax and 0–1.3 % for P. falciparum. The infections were found primarily in a small number of individuals who were positive at multiple time points during the monthly active surveys. Most infections (90 %) were asymptomatic, as confirmed by the lack of malaria-like symptoms during the follow-up period.\nStudy specimens During the 2012 cross-sectional study [3], plasma samples were collected from the general population and a subset of these plasma samples used in this current study. Among the volunteers, 26 had low-density P. vivax infection without concurrent fever (body temperature > 37.5 °C) and no history of fever or feeling unwell within the preceding 48 h. These 26 people were classified as asymptomatic carriers in this study. In addition to these cross-sectional survey samples, additional plasma samples were obtained from 68 P. vivax acute malaria patients (PCR-confirmed) from the same village in 2012–2013. The summary of the study population characteristics is provided in Table 1. Seven plasma samples from unknown healthy donors from Bangkok, a non-endemic area, were obtained from the Thai Red Cross and used as the negative control for the antibody-typing assays. For the complement assay, additional 8 negative samples were obtained from the Thai Red Cross, making the total number of negative control samples 15.\n\nTable 1Characteristics of the 593 study volunteers from western ThailandParameterUninfectedaAsymptomaticaPatientbn4992668Male sex, no. (%)227 (46)19 (73)50 (74)Age, median (range)20 (0.8–92)35 (8–70)29 (18–71) 0–6 years, n81–– 7–12 years, n982– 13–17 years, n484– 18 + years, n2722068\na From a cross-sectional malaria survey\nb Acute P. vivax malaria patients from health facilities\nCharacteristics of the 593 study volunteers from western Thailand\n\na From a cross-sectional malaria survey\n\nb Acute P. vivax malaria patients from health facilities\nDuring the 2012 cross-sectional study [3], plasma samples were collected from the general population and a subset of these plasma samples used in this current study. Among the volunteers, 26 had low-density P. vivax infection without concurrent fever (body temperature > 37.5 °C) and no history of fever or feeling unwell within the preceding 48 h. These 26 people were classified as asymptomatic carriers in this study. In addition to these cross-sectional survey samples, additional plasma samples were obtained from 68 P. vivax acute malaria patients (PCR-confirmed) from the same village in 2012–2013. The summary of the study population characteristics is provided in Table 1. Seven plasma samples from unknown healthy donors from Bangkok, a non-endemic area, were obtained from the Thai Red Cross and used as the negative control for the antibody-typing assays. For the complement assay, additional 8 negative samples were obtained from the Thai Red Cross, making the total number of negative control samples 15.\n\nTable 1Characteristics of the 593 study volunteers from western ThailandParameterUninfectedaAsymptomaticaPatientbn4992668Male sex, no. (%)227 (46)19 (73)50 (74)Age, median (range)20 (0.8–92)35 (8–70)29 (18–71) 0–6 years, n81–– 7–12 years, n982– 13–17 years, n484– 18 + years, n2722068\na From a cross-sectional malaria survey\nb Acute P. vivax malaria patients from health facilities\nCharacteristics of the 593 study volunteers from western Thailand\n\na From a cross-sectional malaria survey\n\nb Acute P. vivax malaria patients from health facilities\nExpression and purification of PvRBP2-P1 As described earlier [13], the full-length RBP2-P1 (1788 bp, signal peptide excluded) was expressed in Escherichia coli SHuffle cells as a soluble protein. The recombinant RBP2P1 protein (70 kDa) was purified by metal affinity chromatography and, after removal of 6-His tag, further purified with FPLC.\nAs described earlier [13], the full-length RBP2-P1 (1788 bp, signal peptide excluded) was expressed in Escherichia coli SHuffle cells as a soluble protein. The recombinant RBP2P1 protein (70 kDa) was purified by metal affinity chromatography and, after removal of 6-His tag, further purified with FPLC.\nAntibody measurements Antibody levels were measured by using a Bio-plex (Bio-Rad) bead-based assay as described [18]. Briefly, COOH microspheres (2.5 × 106, Luminex Corp) were washed with PBS (Phosphate Buffered Saline), incubated at room temperature for 20 min at constant agitation with 100 mM monobasic sodium phosphate (pH 6.2), 50 mg/ml sulfo-NHS (N-hydroxysulfosuccinimide sodium salt) and 50 mg/ml of EDC [N-(3-dimethylaminopropyl)-N′-ethylcarbodiimide hydrochloride] to activate the amine groups on the microspheres’ surface to capture the carboxyl groups of the target protein. Coupling reaction was incubated overnight at 4 °C with constant agitation. On the next day microspheres were washed with PBS-TBN (1X PBS buffer pH 7.4, with 0.05 % Tween 20. 1 % BSA, 0.1 % Sodium Azide) buffer and stored in the same buffer until antibody measurements. Protein concentration used for the coupling was optimized by experimentally testing the amount of protein that would generate a log-linear standard curve using a positive control plasma pool prepared from Thai P. vivax patient samples.\nPlasma samples were diluted 1/100 when measuring IgG and 1/200 for IgM detection in PBS with 1 % BSA and 0.05 % Tween (PBT). Each diluted plasma (50 µl) was added to a 96-well Multiscreen filter plate together with 0.1 µl of coupled RBP2-P1 microspheres in 50 µl of PBT per well. The plate was incubated at room temperature for 30 min on a plate shaker. After incubation, the microspheres were washed three times with 100 µl of PBT. Then, 100 µl of 1/100 dilution in PBT of the following IgG or IgG subtype detector antibodies were used: donkey anti-human IgG Fc-PE (0.5 mg/ml, Jackson ImmunoResearch), mouse anti-human IgG1 hinge-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG2 Fc-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG3 hinge-PE (0.1 mg/ml, Southern Biotech) and mouse anti-human IgG4 Fc-PE (0.1 mg/ml, Southern Biotech). For IgM detection, 100 µl of 1/400 dilution in PBT of donkey anti-human IgM Fc5u-PE (0.5 mg/ml, Jackson ImmunoResearch) was used. Detector antibodies were incubated with the microspheres at room temperature for 15 min on a plate shaker. Microspheres were washed three times with 100 µl of PBT and resuspended to 100 µl of PBT. Fluorescence was measured with Bio-Plex 200®. Bio-Plex 200® gave the result as the median fluorescent intensity (MFI). Each sample was standardized to the arbitrary unit (AU) by an in-plate standard curve generated by running a two-fold serial dilution (IgG: 1/50 to 1/25,600 and IgM 1/25 to 1/25,600) of the positive control plasma pool from P. vivax patients. To determine the fluorescence background, several blank wells without plasma were run in each plate. Plasma from healthy volunteers were included as the negative control for each assay. The seropositivity threshold was set as the mean + 2 standard deviations (SD) of the negative controls.\nAntibody levels were measured by using a Bio-plex (Bio-Rad) bead-based assay as described [18]. Briefly, COOH microspheres (2.5 × 106, Luminex Corp) were washed with PBS (Phosphate Buffered Saline), incubated at room temperature for 20 min at constant agitation with 100 mM monobasic sodium phosphate (pH 6.2), 50 mg/ml sulfo-NHS (N-hydroxysulfosuccinimide sodium salt) and 50 mg/ml of EDC [N-(3-dimethylaminopropyl)-N′-ethylcarbodiimide hydrochloride] to activate the amine groups on the microspheres’ surface to capture the carboxyl groups of the target protein. Coupling reaction was incubated overnight at 4 °C with constant agitation. On the next day microspheres were washed with PBS-TBN (1X PBS buffer pH 7.4, with 0.05 % Tween 20. 1 % BSA, 0.1 % Sodium Azide) buffer and stored in the same buffer until antibody measurements. Protein concentration used for the coupling was optimized by experimentally testing the amount of protein that would generate a log-linear standard curve using a positive control plasma pool prepared from Thai P. vivax patient samples.\nPlasma samples were diluted 1/100 when measuring IgG and 1/200 for IgM detection in PBS with 1 % BSA and 0.05 % Tween (PBT). Each diluted plasma (50 µl) was added to a 96-well Multiscreen filter plate together with 0.1 µl of coupled RBP2-P1 microspheres in 50 µl of PBT per well. The plate was incubated at room temperature for 30 min on a plate shaker. After incubation, the microspheres were washed three times with 100 µl of PBT. Then, 100 µl of 1/100 dilution in PBT of the following IgG or IgG subtype detector antibodies were used: donkey anti-human IgG Fc-PE (0.5 mg/ml, Jackson ImmunoResearch), mouse anti-human IgG1 hinge-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG2 Fc-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG3 hinge-PE (0.1 mg/ml, Southern Biotech) and mouse anti-human IgG4 Fc-PE (0.1 mg/ml, Southern Biotech). For IgM detection, 100 µl of 1/400 dilution in PBT of donkey anti-human IgM Fc5u-PE (0.5 mg/ml, Jackson ImmunoResearch) was used. Detector antibodies were incubated with the microspheres at room temperature for 15 min on a plate shaker. Microspheres were washed three times with 100 µl of PBT and resuspended to 100 µl of PBT. Fluorescence was measured with Bio-Plex 200®. Bio-Plex 200® gave the result as the median fluorescent intensity (MFI). Each sample was standardized to the arbitrary unit (AU) by an in-plate standard curve generated by running a two-fold serial dilution (IgG: 1/50 to 1/25,600 and IgM 1/25 to 1/25,600) of the positive control plasma pool from P. vivax patients. To determine the fluorescence background, several blank wells without plasma were run in each plate. Plasma from healthy volunteers were included as the negative control for each assay. The seropositivity threshold was set as the mean + 2 standard deviations (SD) of the negative controls.\nComplement-fixation assay The complement fixation potential of anti-RBP2P1 antibodies were measured by ELISA-based assay as described earlier [19]. Briefly, Nunc Maxisorp 96-well plates were coated with 10 µg/ml of PvRBP2-P1 and incubated overnight at 4 °C. At each step the volume added per well was 100 µl. Wells were blocked with 10 % skim milk in PBS-Tween (1x PBS + 0.01 % Tween 20) for 1 h. After blocking, wells were washed three times with PBS-Tween. Plasma samples were heat-inactivated at 56 °C for 30 min to destroy the complement. After that, samples were diluted 1/100 in 1 % skim milk in PBS-Tween and were added to the plate and incubated at RT for 1 h. Plates were washed three times with PBS-Tween. Human complement protein C1q (Merck Millipore) in 1 % skim milk and PBS-Tween was added at 10 µg/ml and incubated at RT for 30 min. Plates were washed three times with PBS-Tween. 1/2000 in 1 % skim milk and PBS-Tween diluted chicken anti-human C1q antibody (Merck Sigma-Aldrich) was then added and incubated 1 h at RT. Wells were washed three times with PBS-Tween. To detect bound C1q, 1/4000 in 1 % skim milk and PBS-Tween diluted rabbit anti-chicken-IgY-(IgG)-HRP (Merck Sigma-Aldrich) was added and incubated for 1 h. Wells were washed three times with PBS-Tween and then finally three times with PBS. Detection of C1q fixation was done by incubating with ABTS (Merck Millipore) for 30 min and absorbance quantified by using a plate reader. OD values were normalized against a positive control sample (a P. vivax patient plasma) and reported as AU. This control sample was used on all plates to permit comparison of data across different plates.\nThe complement fixation potential of anti-RBP2P1 antibodies were measured by ELISA-based assay as described earlier [19]. Briefly, Nunc Maxisorp 96-well plates were coated with 10 µg/ml of PvRBP2-P1 and incubated overnight at 4 °C. At each step the volume added per well was 100 µl. Wells were blocked with 10 % skim milk in PBS-Tween (1x PBS + 0.01 % Tween 20) for 1 h. After blocking, wells were washed three times with PBS-Tween. Plasma samples were heat-inactivated at 56 °C for 30 min to destroy the complement. After that, samples were diluted 1/100 in 1 % skim milk in PBS-Tween and were added to the plate and incubated at RT for 1 h. Plates were washed three times with PBS-Tween. Human complement protein C1q (Merck Millipore) in 1 % skim milk and PBS-Tween was added at 10 µg/ml and incubated at RT for 30 min. Plates were washed three times with PBS-Tween. 1/2000 in 1 % skim milk and PBS-Tween diluted chicken anti-human C1q antibody (Merck Sigma-Aldrich) was then added and incubated 1 h at RT. Wells were washed three times with PBS-Tween. To detect bound C1q, 1/4000 in 1 % skim milk and PBS-Tween diluted rabbit anti-chicken-IgY-(IgG)-HRP (Merck Sigma-Aldrich) was added and incubated for 1 h. Wells were washed three times with PBS-Tween and then finally three times with PBS. Detection of C1q fixation was done by incubating with ABTS (Merck Millipore) for 30 min and absorbance quantified by using a plate reader. OD values were normalized against a positive control sample (a P. vivax patient plasma) and reported as AU. This control sample was used on all plates to permit comparison of data across different plates.\nStatistical analysis MFI values were converted to relative antibody units. Further analysis and data presentation was performed in Prism version 6 (GraphPad, USA) or PASW Statistics version 18.0.0. Differences in the antibody levels between groups of different infection status were compared by using the Kruskal-Wallis test with Dunn’s multiple-comparison test and data are presented using box-plots, with error bars showing the 5–95 percentile range and dots representing the outliers. Differences in seroprevalence between age groups or groups of different infection status was tested with the Fisher’s exact test. Spearman’s rank correlation was used to determine correlation between parameters as specified in the text.\nMFI values were converted to relative antibody units. Further analysis and data presentation was performed in Prism version 6 (GraphPad, USA) or PASW Statistics version 18.0.0. Differences in the antibody levels between groups of different infection status were compared by using the Kruskal-Wallis test with Dunn’s multiple-comparison test and data are presented using box-plots, with error bars showing the 5–95 percentile range and dots representing the outliers. Differences in seroprevalence between age groups or groups of different infection status was tested with the Fisher’s exact test. Spearman’s rank correlation was used to determine correlation between parameters as specified in the text.", "Malaria transmission in Thailand is seasonal and found mainly near the country border, with Myanmar to the west, Cambodia to the east and Malaysia to the south [14–16]. The study sites, Kanchanaburi and Ratchaburi provinces, are located on the western border. Both provinces are endemic for malaria [3]. At the time of sample collection (September-October 2012), the study sites had an overall malaria prevalence of 4.18 % by PCR (P. vivax 3.09 %, Plasmodium falciparum 0.86 % and mixed P. vivax/ P. falciparum 0.26 %) [3]. In a cohort study conducted shortly thereafter (2013–2014) [17], the prevalence varied seasonally from 1.7 to 4.2 % for P. vivax and 0–1.3 % for P. falciparum. The infections were found primarily in a small number of individuals who were positive at multiple time points during the monthly active surveys. Most infections (90 %) were asymptomatic, as confirmed by the lack of malaria-like symptoms during the follow-up period.", "During the 2012 cross-sectional study [3], plasma samples were collected from the general population and a subset of these plasma samples used in this current study. Among the volunteers, 26 had low-density P. vivax infection without concurrent fever (body temperature > 37.5 °C) and no history of fever or feeling unwell within the preceding 48 h. These 26 people were classified as asymptomatic carriers in this study. In addition to these cross-sectional survey samples, additional plasma samples were obtained from 68 P. vivax acute malaria patients (PCR-confirmed) from the same village in 2012–2013. The summary of the study population characteristics is provided in Table 1. Seven plasma samples from unknown healthy donors from Bangkok, a non-endemic area, were obtained from the Thai Red Cross and used as the negative control for the antibody-typing assays. For the complement assay, additional 8 negative samples were obtained from the Thai Red Cross, making the total number of negative control samples 15.\n\nTable 1Characteristics of the 593 study volunteers from western ThailandParameterUninfectedaAsymptomaticaPatientbn4992668Male sex, no. (%)227 (46)19 (73)50 (74)Age, median (range)20 (0.8–92)35 (8–70)29 (18–71) 0–6 years, n81–– 7–12 years, n982– 13–17 years, n484– 18 + years, n2722068\na From a cross-sectional malaria survey\nb Acute P. vivax malaria patients from health facilities\nCharacteristics of the 593 study volunteers from western Thailand\n\na From a cross-sectional malaria survey\n\nb Acute P. vivax malaria patients from health facilities", "As described earlier [13], the full-length RBP2-P1 (1788 bp, signal peptide excluded) was expressed in Escherichia coli SHuffle cells as a soluble protein. The recombinant RBP2P1 protein (70 kDa) was purified by metal affinity chromatography and, after removal of 6-His tag, further purified with FPLC.", "Antibody levels were measured by using a Bio-plex (Bio-Rad) bead-based assay as described [18]. Briefly, COOH microspheres (2.5 × 106, Luminex Corp) were washed with PBS (Phosphate Buffered Saline), incubated at room temperature for 20 min at constant agitation with 100 mM monobasic sodium phosphate (pH 6.2), 50 mg/ml sulfo-NHS (N-hydroxysulfosuccinimide sodium salt) and 50 mg/ml of EDC [N-(3-dimethylaminopropyl)-N′-ethylcarbodiimide hydrochloride] to activate the amine groups on the microspheres’ surface to capture the carboxyl groups of the target protein. Coupling reaction was incubated overnight at 4 °C with constant agitation. On the next day microspheres were washed with PBS-TBN (1X PBS buffer pH 7.4, with 0.05 % Tween 20. 1 % BSA, 0.1 % Sodium Azide) buffer and stored in the same buffer until antibody measurements. Protein concentration used for the coupling was optimized by experimentally testing the amount of protein that would generate a log-linear standard curve using a positive control plasma pool prepared from Thai P. vivax patient samples.\nPlasma samples were diluted 1/100 when measuring IgG and 1/200 for IgM detection in PBS with 1 % BSA and 0.05 % Tween (PBT). Each diluted plasma (50 µl) was added to a 96-well Multiscreen filter plate together with 0.1 µl of coupled RBP2-P1 microspheres in 50 µl of PBT per well. The plate was incubated at room temperature for 30 min on a plate shaker. After incubation, the microspheres were washed three times with 100 µl of PBT. Then, 100 µl of 1/100 dilution in PBT of the following IgG or IgG subtype detector antibodies were used: donkey anti-human IgG Fc-PE (0.5 mg/ml, Jackson ImmunoResearch), mouse anti-human IgG1 hinge-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG2 Fc-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG3 hinge-PE (0.1 mg/ml, Southern Biotech) and mouse anti-human IgG4 Fc-PE (0.1 mg/ml, Southern Biotech). For IgM detection, 100 µl of 1/400 dilution in PBT of donkey anti-human IgM Fc5u-PE (0.5 mg/ml, Jackson ImmunoResearch) was used. Detector antibodies were incubated with the microspheres at room temperature for 15 min on a plate shaker. Microspheres were washed three times with 100 µl of PBT and resuspended to 100 µl of PBT. Fluorescence was measured with Bio-Plex 200®. Bio-Plex 200® gave the result as the median fluorescent intensity (MFI). Each sample was standardized to the arbitrary unit (AU) by an in-plate standard curve generated by running a two-fold serial dilution (IgG: 1/50 to 1/25,600 and IgM 1/25 to 1/25,600) of the positive control plasma pool from P. vivax patients. To determine the fluorescence background, several blank wells without plasma were run in each plate. Plasma from healthy volunteers were included as the negative control for each assay. The seropositivity threshold was set as the mean + 2 standard deviations (SD) of the negative controls.", "The complement fixation potential of anti-RBP2P1 antibodies were measured by ELISA-based assay as described earlier [19]. Briefly, Nunc Maxisorp 96-well plates were coated with 10 µg/ml of PvRBP2-P1 and incubated overnight at 4 °C. At each step the volume added per well was 100 µl. Wells were blocked with 10 % skim milk in PBS-Tween (1x PBS + 0.01 % Tween 20) for 1 h. After blocking, wells were washed three times with PBS-Tween. Plasma samples were heat-inactivated at 56 °C for 30 min to destroy the complement. After that, samples were diluted 1/100 in 1 % skim milk in PBS-Tween and were added to the plate and incubated at RT for 1 h. Plates were washed three times with PBS-Tween. Human complement protein C1q (Merck Millipore) in 1 % skim milk and PBS-Tween was added at 10 µg/ml and incubated at RT for 30 min. Plates were washed three times with PBS-Tween. 1/2000 in 1 % skim milk and PBS-Tween diluted chicken anti-human C1q antibody (Merck Sigma-Aldrich) was then added and incubated 1 h at RT. Wells were washed three times with PBS-Tween. To detect bound C1q, 1/4000 in 1 % skim milk and PBS-Tween diluted rabbit anti-chicken-IgY-(IgG)-HRP (Merck Sigma-Aldrich) was added and incubated for 1 h. Wells were washed three times with PBS-Tween and then finally three times with PBS. Detection of C1q fixation was done by incubating with ABTS (Merck Millipore) for 30 min and absorbance quantified by using a plate reader. OD values were normalized against a positive control sample (a P. vivax patient plasma) and reported as AU. This control sample was used on all plates to permit comparison of data across different plates.", "MFI values were converted to relative antibody units. Further analysis and data presentation was performed in Prism version 6 (GraphPad, USA) or PASW Statistics version 18.0.0. Differences in the antibody levels between groups of different infection status were compared by using the Kruskal-Wallis test with Dunn’s multiple-comparison test and data are presented using box-plots, with error bars showing the 5–95 percentile range and dots representing the outliers. Differences in seroprevalence between age groups or groups of different infection status was tested with the Fisher’s exact test. Spearman’s rank correlation was used to determine correlation between parameters as specified in the text.", "525 plasma samples from a cross-sectional survey in Kanchanaburi province were used to examine the presence of RBP2P1 antibodies in the community. The age of the study participants showed a positive correlation with total IgG (Spearman ρ = 0.317, p = 0.01), but a negative correlation with IgM (Spearman ρ = − 0.144, p = 0.001). When the cross-sectional samples were classified into four age groups: 0–6 years, 7–12 years, 13–17 years and ≥ 18 years, the anti-RBP2P1 IgM levels were higher (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0168) in children aged 7–12 years compared to adults (Fig. 1A). The IgG response (Fig. 1A) was higher in the adult group compared with all younger groups (p < 0.001). Consistently, IgG seropositivity in the adult group was higher compared to the other three groups (Fisher’s exact test, p < 0.01 for all pairwise comparison) (Fig. 1B). There were no significant differences among the age groups for IgM seropositivity (Fisher’s exact test, p > 0.05 for all pairwise comparison) (Fig. 1B).\n\nFig. 1\nIgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05\n\nIgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05", "34 P. vivax malaria patients and 31 selected individuals from the cross-sectional survey (22 asymptomatic P. vivax carriers + 9 healthy parasite-free villagers who reported never to have had malaria) were selected for further comparative analysis. The patient specimens were obtained from the malaria clinic in the study village at roughly the same time period (2012–2013). The plasma samples were tested for anti-RBP2P1 IgM, total IgG, IgG1, IgG2, IgG3 and IgG4.\nThe median of anti-RBP2P1 IgM levels in P. vivax patients did not differ from that of asymptomatic carriers, but it was higher than that of uninfected villagers or healthy Bangkok donors (Fig. 2A). A similar pattern was found for total IgG (Fig. 2A) as well as IgG1 and IgG3 (Fig. 2B). No statistically significant difference was detected between the four groups for IgG2 (Fig. 2B). IgG4 was not detected in any sample.\n\nFig. 2\nAnti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\n\nAnti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\nThe anti-RBP2P1 seropositive rates in asymptomatic carriers, patients, and uninfected villagers were also compared. The mean + 2SD value of the Bangkok donors was used as the seropositivity threshold. There was no difference in the seropositive rates between the three groups for IgM (Fig. 3A). For total IgG, the seropositive rates were similar between the patients (94 %) and the asymptomatic carriers (91 %). Both groups had a higher seropositive rate than the uninfected villagers did (0 %) (Fisher`s exact test, p < 0.0001) (Fig. 3A). IgG1 seropositivity followed a similar trend (patients 44 % and asymptomatic carriers 59 %), albeit at lower rates in the two infected groups (Fig. 3B). For IgG2, the seropositive rates were low and indistinguishable in all three groups. For IgG3, the seropositive rate was higher in the asymptomatic carriers (95 %) compared to the patients (68 %) (Fisher exact test, p = 0.0183), who in turn, had a higher seropositive rate than the uninfected villagers (22 %) (Fisher’s exact test, p = 0.0226) (Fig. 3B).\n\nFig. 3\nAnti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test)\n\nAnti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test)", "The complement-fixing activities of anti-RBP2P1 antibodies were assessed. The same subpopulation of 22 asymptomatic carriers, 34 patients, and 9 uninfected villagers used for IgG subtyping were subjected to an ELISA-based complement fixation assay (Fig. 4). A set of 15 healthy Bangkok donors were also used as the control. This assay infers the complement fixing activity from the ability of anti-RBP2P1 antibodies to bind human C1q, the first step of the classical complement pathway. Because the asymptomatic and patient groups have indistinguishable complement-fixing activity (data not shown), they were combined into a single P. vivax ‘infected’ group (Fig. 4). This group had significantly higher level of complement-fixing activity than the uninfected villagers and the Bangkok donors (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0001 and p = 0.0002, respectively) (Fig. 4).\n\nFig. 4\nComplement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\n\nComplement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\nTo test whether the higher complement-fixing activity in the P. vivax infected individuals (n = 56) is associated with IgM and cytophilic antibodies, correlation analysis was performed (Fig. 5). The results show that the levels of IgG1 and IgG3 subtypes, but not IgM, were rank-correlated with complement-fixing activity (Spearman’s rank correlation, p ≤ 0.011). In a multivariate linear regression model using IgM, IgG1, and IgG3 as independent variables, only IgG3 remains significantly associated with complement-fixing activity (p = 0.018).\n\nFig. 5\nComplement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation\n\nComplement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation" ]
[ null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Study sites", "Study specimens", "Expression and purification of PvRBP2-P1", "Antibody measurements", "Complement-fixation assay", "Statistical analysis", "Results", "IgM and total IgG in the community survey", "Comparison between P. vivax asymptomatic carriers, patients, and uninfected individuals", "RBP2P1-mediated complement fixation", "Discussion", "Conclusions" ]
[ "\nPlasmodium vivax malaria remains a major public health problem in many countries. At present, there is no approved vaccine for P. vivax, but such a vaccine would be highly useful for the global malaria eradication. Several types of vaccines have been considered for P. vivax malaria, including one to prevent or eliminate liver stage infection (pre-erythrocytic vaccine), one to reduce blood stage parasitaemia (blood stage vaccine), and one to block transmission from humans to mosquitoes (transmission-blocking vaccine). Blood stage vaccines are aimed to neutralize red cell infection, which is the immediate cause of malaria symptoms. Blood stage vaccines for P. vivax will help reduce disease transmission because the density of gametocytes, the stage transmissible to the mosquitoes, is closely linked to the total blood parasitaemia [1–3]. Several P. vivax asexual blood stage antigens have been considered for vaccine development, including Duffy binding protein (DBP) [4], several Reticulocyte binding proteins (RBPs) [5], apical membrane antigen 1 (AMA1), and merozoite surface proteins (MSPs) [6]. Currently the most advanced candidate is the P. vivax Duffy Binding Protein (PvDBP), which has entered Phase 1a clinical trials [7, 8]. Other targets [5, 8] are much further behind and new candidates are still needed to maintain a healthy vaccine development pipeline.\n\nPlasmodium vivax RBPs are a major group of P. vivax invasion ligands. Human antibodies to some of these proteins have been shown to be associated with clinical protection [9–11]. Antibodies to one of them, RBP2b, directly inhibit erythrocyte invasion [12]. Recently, we characterized a novel RBP, RBP2P1, and found that a higher level of total IgG to RBP2P1 is associated with lower parasitaemia, suggesting an involvement in functional immunity [13]. However, the analysis was limited to total IgG.\nThis study aims to provide a more complete account of human antibody response to RBP2P1. Plasmas from acute P. vivax malaria patients and the general population in an endemic area in Thailand were examined for IgM, total IgG, IgG subtypes, and anti-RBP2P1 antibody-mediated complement fixing activity.", "\nThe use of human specimens in this study was approved by the Ethics Committee of the Faculty of Tropical Medicine, Mahidol University.\nStudy sites Malaria transmission in Thailand is seasonal and found mainly near the country border, with Myanmar to the west, Cambodia to the east and Malaysia to the south [14–16]. The study sites, Kanchanaburi and Ratchaburi provinces, are located on the western border. Both provinces are endemic for malaria [3]. At the time of sample collection (September-October 2012), the study sites had an overall malaria prevalence of 4.18 % by PCR (P. vivax 3.09 %, Plasmodium falciparum 0.86 % and mixed P. vivax/ P. falciparum 0.26 %) [3]. In a cohort study conducted shortly thereafter (2013–2014) [17], the prevalence varied seasonally from 1.7 to 4.2 % for P. vivax and 0–1.3 % for P. falciparum. The infections were found primarily in a small number of individuals who were positive at multiple time points during the monthly active surveys. Most infections (90 %) were asymptomatic, as confirmed by the lack of malaria-like symptoms during the follow-up period.\nMalaria transmission in Thailand is seasonal and found mainly near the country border, with Myanmar to the west, Cambodia to the east and Malaysia to the south [14–16]. The study sites, Kanchanaburi and Ratchaburi provinces, are located on the western border. Both provinces are endemic for malaria [3]. At the time of sample collection (September-October 2012), the study sites had an overall malaria prevalence of 4.18 % by PCR (P. vivax 3.09 %, Plasmodium falciparum 0.86 % and mixed P. vivax/ P. falciparum 0.26 %) [3]. In a cohort study conducted shortly thereafter (2013–2014) [17], the prevalence varied seasonally from 1.7 to 4.2 % for P. vivax and 0–1.3 % for P. falciparum. The infections were found primarily in a small number of individuals who were positive at multiple time points during the monthly active surveys. Most infections (90 %) were asymptomatic, as confirmed by the lack of malaria-like symptoms during the follow-up period.\nStudy specimens During the 2012 cross-sectional study [3], plasma samples were collected from the general population and a subset of these plasma samples used in this current study. Among the volunteers, 26 had low-density P. vivax infection without concurrent fever (body temperature > 37.5 °C) and no history of fever or feeling unwell within the preceding 48 h. These 26 people were classified as asymptomatic carriers in this study. In addition to these cross-sectional survey samples, additional plasma samples were obtained from 68 P. vivax acute malaria patients (PCR-confirmed) from the same village in 2012–2013. The summary of the study population characteristics is provided in Table 1. Seven plasma samples from unknown healthy donors from Bangkok, a non-endemic area, were obtained from the Thai Red Cross and used as the negative control for the antibody-typing assays. For the complement assay, additional 8 negative samples were obtained from the Thai Red Cross, making the total number of negative control samples 15.\n\nTable 1Characteristics of the 593 study volunteers from western ThailandParameterUninfectedaAsymptomaticaPatientbn4992668Male sex, no. (%)227 (46)19 (73)50 (74)Age, median (range)20 (0.8–92)35 (8–70)29 (18–71) 0–6 years, n81–– 7–12 years, n982– 13–17 years, n484– 18 + years, n2722068\na From a cross-sectional malaria survey\nb Acute P. vivax malaria patients from health facilities\nCharacteristics of the 593 study volunteers from western Thailand\n\na From a cross-sectional malaria survey\n\nb Acute P. vivax malaria patients from health facilities\nDuring the 2012 cross-sectional study [3], plasma samples were collected from the general population and a subset of these plasma samples used in this current study. Among the volunteers, 26 had low-density P. vivax infection without concurrent fever (body temperature > 37.5 °C) and no history of fever or feeling unwell within the preceding 48 h. These 26 people were classified as asymptomatic carriers in this study. In addition to these cross-sectional survey samples, additional plasma samples were obtained from 68 P. vivax acute malaria patients (PCR-confirmed) from the same village in 2012–2013. The summary of the study population characteristics is provided in Table 1. Seven plasma samples from unknown healthy donors from Bangkok, a non-endemic area, were obtained from the Thai Red Cross and used as the negative control for the antibody-typing assays. For the complement assay, additional 8 negative samples were obtained from the Thai Red Cross, making the total number of negative control samples 15.\n\nTable 1Characteristics of the 593 study volunteers from western ThailandParameterUninfectedaAsymptomaticaPatientbn4992668Male sex, no. (%)227 (46)19 (73)50 (74)Age, median (range)20 (0.8–92)35 (8–70)29 (18–71) 0–6 years, n81–– 7–12 years, n982– 13–17 years, n484– 18 + years, n2722068\na From a cross-sectional malaria survey\nb Acute P. vivax malaria patients from health facilities\nCharacteristics of the 593 study volunteers from western Thailand\n\na From a cross-sectional malaria survey\n\nb Acute P. vivax malaria patients from health facilities\nExpression and purification of PvRBP2-P1 As described earlier [13], the full-length RBP2-P1 (1788 bp, signal peptide excluded) was expressed in Escherichia coli SHuffle cells as a soluble protein. The recombinant RBP2P1 protein (70 kDa) was purified by metal affinity chromatography and, after removal of 6-His tag, further purified with FPLC.\nAs described earlier [13], the full-length RBP2-P1 (1788 bp, signal peptide excluded) was expressed in Escherichia coli SHuffle cells as a soluble protein. The recombinant RBP2P1 protein (70 kDa) was purified by metal affinity chromatography and, after removal of 6-His tag, further purified with FPLC.\nAntibody measurements Antibody levels were measured by using a Bio-plex (Bio-Rad) bead-based assay as described [18]. Briefly, COOH microspheres (2.5 × 106, Luminex Corp) were washed with PBS (Phosphate Buffered Saline), incubated at room temperature for 20 min at constant agitation with 100 mM monobasic sodium phosphate (pH 6.2), 50 mg/ml sulfo-NHS (N-hydroxysulfosuccinimide sodium salt) and 50 mg/ml of EDC [N-(3-dimethylaminopropyl)-N′-ethylcarbodiimide hydrochloride] to activate the amine groups on the microspheres’ surface to capture the carboxyl groups of the target protein. Coupling reaction was incubated overnight at 4 °C with constant agitation. On the next day microspheres were washed with PBS-TBN (1X PBS buffer pH 7.4, with 0.05 % Tween 20. 1 % BSA, 0.1 % Sodium Azide) buffer and stored in the same buffer until antibody measurements. Protein concentration used for the coupling was optimized by experimentally testing the amount of protein that would generate a log-linear standard curve using a positive control plasma pool prepared from Thai P. vivax patient samples.\nPlasma samples were diluted 1/100 when measuring IgG and 1/200 for IgM detection in PBS with 1 % BSA and 0.05 % Tween (PBT). Each diluted plasma (50 µl) was added to a 96-well Multiscreen filter plate together with 0.1 µl of coupled RBP2-P1 microspheres in 50 µl of PBT per well. The plate was incubated at room temperature for 30 min on a plate shaker. After incubation, the microspheres were washed three times with 100 µl of PBT. Then, 100 µl of 1/100 dilution in PBT of the following IgG or IgG subtype detector antibodies were used: donkey anti-human IgG Fc-PE (0.5 mg/ml, Jackson ImmunoResearch), mouse anti-human IgG1 hinge-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG2 Fc-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG3 hinge-PE (0.1 mg/ml, Southern Biotech) and mouse anti-human IgG4 Fc-PE (0.1 mg/ml, Southern Biotech). For IgM detection, 100 µl of 1/400 dilution in PBT of donkey anti-human IgM Fc5u-PE (0.5 mg/ml, Jackson ImmunoResearch) was used. Detector antibodies were incubated with the microspheres at room temperature for 15 min on a plate shaker. Microspheres were washed three times with 100 µl of PBT and resuspended to 100 µl of PBT. Fluorescence was measured with Bio-Plex 200®. Bio-Plex 200® gave the result as the median fluorescent intensity (MFI). Each sample was standardized to the arbitrary unit (AU) by an in-plate standard curve generated by running a two-fold serial dilution (IgG: 1/50 to 1/25,600 and IgM 1/25 to 1/25,600) of the positive control plasma pool from P. vivax patients. To determine the fluorescence background, several blank wells without plasma were run in each plate. Plasma from healthy volunteers were included as the negative control for each assay. The seropositivity threshold was set as the mean + 2 standard deviations (SD) of the negative controls.\nAntibody levels were measured by using a Bio-plex (Bio-Rad) bead-based assay as described [18]. Briefly, COOH microspheres (2.5 × 106, Luminex Corp) were washed with PBS (Phosphate Buffered Saline), incubated at room temperature for 20 min at constant agitation with 100 mM monobasic sodium phosphate (pH 6.2), 50 mg/ml sulfo-NHS (N-hydroxysulfosuccinimide sodium salt) and 50 mg/ml of EDC [N-(3-dimethylaminopropyl)-N′-ethylcarbodiimide hydrochloride] to activate the amine groups on the microspheres’ surface to capture the carboxyl groups of the target protein. Coupling reaction was incubated overnight at 4 °C with constant agitation. On the next day microspheres were washed with PBS-TBN (1X PBS buffer pH 7.4, with 0.05 % Tween 20. 1 % BSA, 0.1 % Sodium Azide) buffer and stored in the same buffer until antibody measurements. Protein concentration used for the coupling was optimized by experimentally testing the amount of protein that would generate a log-linear standard curve using a positive control plasma pool prepared from Thai P. vivax patient samples.\nPlasma samples were diluted 1/100 when measuring IgG and 1/200 for IgM detection in PBS with 1 % BSA and 0.05 % Tween (PBT). Each diluted plasma (50 µl) was added to a 96-well Multiscreen filter plate together with 0.1 µl of coupled RBP2-P1 microspheres in 50 µl of PBT per well. The plate was incubated at room temperature for 30 min on a plate shaker. After incubation, the microspheres were washed three times with 100 µl of PBT. Then, 100 µl of 1/100 dilution in PBT of the following IgG or IgG subtype detector antibodies were used: donkey anti-human IgG Fc-PE (0.5 mg/ml, Jackson ImmunoResearch), mouse anti-human IgG1 hinge-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG2 Fc-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG3 hinge-PE (0.1 mg/ml, Southern Biotech) and mouse anti-human IgG4 Fc-PE (0.1 mg/ml, Southern Biotech). For IgM detection, 100 µl of 1/400 dilution in PBT of donkey anti-human IgM Fc5u-PE (0.5 mg/ml, Jackson ImmunoResearch) was used. Detector antibodies were incubated with the microspheres at room temperature for 15 min on a plate shaker. Microspheres were washed three times with 100 µl of PBT and resuspended to 100 µl of PBT. Fluorescence was measured with Bio-Plex 200®. Bio-Plex 200® gave the result as the median fluorescent intensity (MFI). Each sample was standardized to the arbitrary unit (AU) by an in-plate standard curve generated by running a two-fold serial dilution (IgG: 1/50 to 1/25,600 and IgM 1/25 to 1/25,600) of the positive control plasma pool from P. vivax patients. To determine the fluorescence background, several blank wells without plasma were run in each plate. Plasma from healthy volunteers were included as the negative control for each assay. The seropositivity threshold was set as the mean + 2 standard deviations (SD) of the negative controls.\nComplement-fixation assay The complement fixation potential of anti-RBP2P1 antibodies were measured by ELISA-based assay as described earlier [19]. Briefly, Nunc Maxisorp 96-well plates were coated with 10 µg/ml of PvRBP2-P1 and incubated overnight at 4 °C. At each step the volume added per well was 100 µl. Wells were blocked with 10 % skim milk in PBS-Tween (1x PBS + 0.01 % Tween 20) for 1 h. After blocking, wells were washed three times with PBS-Tween. Plasma samples were heat-inactivated at 56 °C for 30 min to destroy the complement. After that, samples were diluted 1/100 in 1 % skim milk in PBS-Tween and were added to the plate and incubated at RT for 1 h. Plates were washed three times with PBS-Tween. Human complement protein C1q (Merck Millipore) in 1 % skim milk and PBS-Tween was added at 10 µg/ml and incubated at RT for 30 min. Plates were washed three times with PBS-Tween. 1/2000 in 1 % skim milk and PBS-Tween diluted chicken anti-human C1q antibody (Merck Sigma-Aldrich) was then added and incubated 1 h at RT. Wells were washed three times with PBS-Tween. To detect bound C1q, 1/4000 in 1 % skim milk and PBS-Tween diluted rabbit anti-chicken-IgY-(IgG)-HRP (Merck Sigma-Aldrich) was added and incubated for 1 h. Wells were washed three times with PBS-Tween and then finally three times with PBS. Detection of C1q fixation was done by incubating with ABTS (Merck Millipore) for 30 min and absorbance quantified by using a plate reader. OD values were normalized against a positive control sample (a P. vivax patient plasma) and reported as AU. This control sample was used on all plates to permit comparison of data across different plates.\nThe complement fixation potential of anti-RBP2P1 antibodies were measured by ELISA-based assay as described earlier [19]. Briefly, Nunc Maxisorp 96-well plates were coated with 10 µg/ml of PvRBP2-P1 and incubated overnight at 4 °C. At each step the volume added per well was 100 µl. Wells were blocked with 10 % skim milk in PBS-Tween (1x PBS + 0.01 % Tween 20) for 1 h. After blocking, wells were washed three times with PBS-Tween. Plasma samples were heat-inactivated at 56 °C for 30 min to destroy the complement. After that, samples were diluted 1/100 in 1 % skim milk in PBS-Tween and were added to the plate and incubated at RT for 1 h. Plates were washed three times with PBS-Tween. Human complement protein C1q (Merck Millipore) in 1 % skim milk and PBS-Tween was added at 10 µg/ml and incubated at RT for 30 min. Plates were washed three times with PBS-Tween. 1/2000 in 1 % skim milk and PBS-Tween diluted chicken anti-human C1q antibody (Merck Sigma-Aldrich) was then added and incubated 1 h at RT. Wells were washed three times with PBS-Tween. To detect bound C1q, 1/4000 in 1 % skim milk and PBS-Tween diluted rabbit anti-chicken-IgY-(IgG)-HRP (Merck Sigma-Aldrich) was added and incubated for 1 h. Wells were washed three times with PBS-Tween and then finally three times with PBS. Detection of C1q fixation was done by incubating with ABTS (Merck Millipore) for 30 min and absorbance quantified by using a plate reader. OD values were normalized against a positive control sample (a P. vivax patient plasma) and reported as AU. This control sample was used on all plates to permit comparison of data across different plates.\nStatistical analysis MFI values were converted to relative antibody units. Further analysis and data presentation was performed in Prism version 6 (GraphPad, USA) or PASW Statistics version 18.0.0. Differences in the antibody levels between groups of different infection status were compared by using the Kruskal-Wallis test with Dunn’s multiple-comparison test and data are presented using box-plots, with error bars showing the 5–95 percentile range and dots representing the outliers. Differences in seroprevalence between age groups or groups of different infection status was tested with the Fisher’s exact test. Spearman’s rank correlation was used to determine correlation between parameters as specified in the text.\nMFI values were converted to relative antibody units. Further analysis and data presentation was performed in Prism version 6 (GraphPad, USA) or PASW Statistics version 18.0.0. Differences in the antibody levels between groups of different infection status were compared by using the Kruskal-Wallis test with Dunn’s multiple-comparison test and data are presented using box-plots, with error bars showing the 5–95 percentile range and dots representing the outliers. Differences in seroprevalence between age groups or groups of different infection status was tested with the Fisher’s exact test. Spearman’s rank correlation was used to determine correlation between parameters as specified in the text.", "Malaria transmission in Thailand is seasonal and found mainly near the country border, with Myanmar to the west, Cambodia to the east and Malaysia to the south [14–16]. The study sites, Kanchanaburi and Ratchaburi provinces, are located on the western border. Both provinces are endemic for malaria [3]. At the time of sample collection (September-October 2012), the study sites had an overall malaria prevalence of 4.18 % by PCR (P. vivax 3.09 %, Plasmodium falciparum 0.86 % and mixed P. vivax/ P. falciparum 0.26 %) [3]. In a cohort study conducted shortly thereafter (2013–2014) [17], the prevalence varied seasonally from 1.7 to 4.2 % for P. vivax and 0–1.3 % for P. falciparum. The infections were found primarily in a small number of individuals who were positive at multiple time points during the monthly active surveys. Most infections (90 %) were asymptomatic, as confirmed by the lack of malaria-like symptoms during the follow-up period.", "During the 2012 cross-sectional study [3], plasma samples were collected from the general population and a subset of these plasma samples used in this current study. Among the volunteers, 26 had low-density P. vivax infection without concurrent fever (body temperature > 37.5 °C) and no history of fever or feeling unwell within the preceding 48 h. These 26 people were classified as asymptomatic carriers in this study. In addition to these cross-sectional survey samples, additional plasma samples were obtained from 68 P. vivax acute malaria patients (PCR-confirmed) from the same village in 2012–2013. The summary of the study population characteristics is provided in Table 1. Seven plasma samples from unknown healthy donors from Bangkok, a non-endemic area, were obtained from the Thai Red Cross and used as the negative control for the antibody-typing assays. For the complement assay, additional 8 negative samples were obtained from the Thai Red Cross, making the total number of negative control samples 15.\n\nTable 1Characteristics of the 593 study volunteers from western ThailandParameterUninfectedaAsymptomaticaPatientbn4992668Male sex, no. (%)227 (46)19 (73)50 (74)Age, median (range)20 (0.8–92)35 (8–70)29 (18–71) 0–6 years, n81–– 7–12 years, n982– 13–17 years, n484– 18 + years, n2722068\na From a cross-sectional malaria survey\nb Acute P. vivax malaria patients from health facilities\nCharacteristics of the 593 study volunteers from western Thailand\n\na From a cross-sectional malaria survey\n\nb Acute P. vivax malaria patients from health facilities", "As described earlier [13], the full-length RBP2-P1 (1788 bp, signal peptide excluded) was expressed in Escherichia coli SHuffle cells as a soluble protein. The recombinant RBP2P1 protein (70 kDa) was purified by metal affinity chromatography and, after removal of 6-His tag, further purified with FPLC.", "Antibody levels were measured by using a Bio-plex (Bio-Rad) bead-based assay as described [18]. Briefly, COOH microspheres (2.5 × 106, Luminex Corp) were washed with PBS (Phosphate Buffered Saline), incubated at room temperature for 20 min at constant agitation with 100 mM monobasic sodium phosphate (pH 6.2), 50 mg/ml sulfo-NHS (N-hydroxysulfosuccinimide sodium salt) and 50 mg/ml of EDC [N-(3-dimethylaminopropyl)-N′-ethylcarbodiimide hydrochloride] to activate the amine groups on the microspheres’ surface to capture the carboxyl groups of the target protein. Coupling reaction was incubated overnight at 4 °C with constant agitation. On the next day microspheres were washed with PBS-TBN (1X PBS buffer pH 7.4, with 0.05 % Tween 20. 1 % BSA, 0.1 % Sodium Azide) buffer and stored in the same buffer until antibody measurements. Protein concentration used for the coupling was optimized by experimentally testing the amount of protein that would generate a log-linear standard curve using a positive control plasma pool prepared from Thai P. vivax patient samples.\nPlasma samples were diluted 1/100 when measuring IgG and 1/200 for IgM detection in PBS with 1 % BSA and 0.05 % Tween (PBT). Each diluted plasma (50 µl) was added to a 96-well Multiscreen filter plate together with 0.1 µl of coupled RBP2-P1 microspheres in 50 µl of PBT per well. The plate was incubated at room temperature for 30 min on a plate shaker. After incubation, the microspheres were washed three times with 100 µl of PBT. Then, 100 µl of 1/100 dilution in PBT of the following IgG or IgG subtype detector antibodies were used: donkey anti-human IgG Fc-PE (0.5 mg/ml, Jackson ImmunoResearch), mouse anti-human IgG1 hinge-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG2 Fc-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG3 hinge-PE (0.1 mg/ml, Southern Biotech) and mouse anti-human IgG4 Fc-PE (0.1 mg/ml, Southern Biotech). For IgM detection, 100 µl of 1/400 dilution in PBT of donkey anti-human IgM Fc5u-PE (0.5 mg/ml, Jackson ImmunoResearch) was used. Detector antibodies were incubated with the microspheres at room temperature for 15 min on a plate shaker. Microspheres were washed three times with 100 µl of PBT and resuspended to 100 µl of PBT. Fluorescence was measured with Bio-Plex 200®. Bio-Plex 200® gave the result as the median fluorescent intensity (MFI). Each sample was standardized to the arbitrary unit (AU) by an in-plate standard curve generated by running a two-fold serial dilution (IgG: 1/50 to 1/25,600 and IgM 1/25 to 1/25,600) of the positive control plasma pool from P. vivax patients. To determine the fluorescence background, several blank wells without plasma were run in each plate. Plasma from healthy volunteers were included as the negative control for each assay. The seropositivity threshold was set as the mean + 2 standard deviations (SD) of the negative controls.", "The complement fixation potential of anti-RBP2P1 antibodies were measured by ELISA-based assay as described earlier [19]. Briefly, Nunc Maxisorp 96-well plates were coated with 10 µg/ml of PvRBP2-P1 and incubated overnight at 4 °C. At each step the volume added per well was 100 µl. Wells were blocked with 10 % skim milk in PBS-Tween (1x PBS + 0.01 % Tween 20) for 1 h. After blocking, wells were washed three times with PBS-Tween. Plasma samples were heat-inactivated at 56 °C for 30 min to destroy the complement. After that, samples were diluted 1/100 in 1 % skim milk in PBS-Tween and were added to the plate and incubated at RT for 1 h. Plates were washed three times with PBS-Tween. Human complement protein C1q (Merck Millipore) in 1 % skim milk and PBS-Tween was added at 10 µg/ml and incubated at RT for 30 min. Plates were washed three times with PBS-Tween. 1/2000 in 1 % skim milk and PBS-Tween diluted chicken anti-human C1q antibody (Merck Sigma-Aldrich) was then added and incubated 1 h at RT. Wells were washed three times with PBS-Tween. To detect bound C1q, 1/4000 in 1 % skim milk and PBS-Tween diluted rabbit anti-chicken-IgY-(IgG)-HRP (Merck Sigma-Aldrich) was added and incubated for 1 h. Wells were washed three times with PBS-Tween and then finally three times with PBS. Detection of C1q fixation was done by incubating with ABTS (Merck Millipore) for 30 min and absorbance quantified by using a plate reader. OD values were normalized against a positive control sample (a P. vivax patient plasma) and reported as AU. This control sample was used on all plates to permit comparison of data across different plates.", "MFI values were converted to relative antibody units. Further analysis and data presentation was performed in Prism version 6 (GraphPad, USA) or PASW Statistics version 18.0.0. Differences in the antibody levels between groups of different infection status were compared by using the Kruskal-Wallis test with Dunn’s multiple-comparison test and data are presented using box-plots, with error bars showing the 5–95 percentile range and dots representing the outliers. Differences in seroprevalence between age groups or groups of different infection status was tested with the Fisher’s exact test. Spearman’s rank correlation was used to determine correlation between parameters as specified in the text.", "IgM and total IgG in the community survey 525 plasma samples from a cross-sectional survey in Kanchanaburi province were used to examine the presence of RBP2P1 antibodies in the community. The age of the study participants showed a positive correlation with total IgG (Spearman ρ = 0.317, p = 0.01), but a negative correlation with IgM (Spearman ρ = − 0.144, p = 0.001). When the cross-sectional samples were classified into four age groups: 0–6 years, 7–12 years, 13–17 years and ≥ 18 years, the anti-RBP2P1 IgM levels were higher (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0168) in children aged 7–12 years compared to adults (Fig. 1A). The IgG response (Fig. 1A) was higher in the adult group compared with all younger groups (p < 0.001). Consistently, IgG seropositivity in the adult group was higher compared to the other three groups (Fisher’s exact test, p < 0.01 for all pairwise comparison) (Fig. 1B). There were no significant differences among the age groups for IgM seropositivity (Fisher’s exact test, p > 0.05 for all pairwise comparison) (Fig. 1B).\n\nFig. 1\nIgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05\n\nIgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05\n525 plasma samples from a cross-sectional survey in Kanchanaburi province were used to examine the presence of RBP2P1 antibodies in the community. The age of the study participants showed a positive correlation with total IgG (Spearman ρ = 0.317, p = 0.01), but a negative correlation with IgM (Spearman ρ = − 0.144, p = 0.001). When the cross-sectional samples were classified into four age groups: 0–6 years, 7–12 years, 13–17 years and ≥ 18 years, the anti-RBP2P1 IgM levels were higher (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0168) in children aged 7–12 years compared to adults (Fig. 1A). The IgG response (Fig. 1A) was higher in the adult group compared with all younger groups (p < 0.001). Consistently, IgG seropositivity in the adult group was higher compared to the other three groups (Fisher’s exact test, p < 0.01 for all pairwise comparison) (Fig. 1B). There were no significant differences among the age groups for IgM seropositivity (Fisher’s exact test, p > 0.05 for all pairwise comparison) (Fig. 1B).\n\nFig. 1\nIgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05\n\nIgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05\nComparison between P. vivax asymptomatic carriers, patients, and uninfected individuals 34 P. vivax malaria patients and 31 selected individuals from the cross-sectional survey (22 asymptomatic P. vivax carriers + 9 healthy parasite-free villagers who reported never to have had malaria) were selected for further comparative analysis. The patient specimens were obtained from the malaria clinic in the study village at roughly the same time period (2012–2013). The plasma samples were tested for anti-RBP2P1 IgM, total IgG, IgG1, IgG2, IgG3 and IgG4.\nThe median of anti-RBP2P1 IgM levels in P. vivax patients did not differ from that of asymptomatic carriers, but it was higher than that of uninfected villagers or healthy Bangkok donors (Fig. 2A). A similar pattern was found for total IgG (Fig. 2A) as well as IgG1 and IgG3 (Fig. 2B). No statistically significant difference was detected between the four groups for IgG2 (Fig. 2B). IgG4 was not detected in any sample.\n\nFig. 2\nAnti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\n\nAnti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\nThe anti-RBP2P1 seropositive rates in asymptomatic carriers, patients, and uninfected villagers were also compared. The mean + 2SD value of the Bangkok donors was used as the seropositivity threshold. There was no difference in the seropositive rates between the three groups for IgM (Fig. 3A). For total IgG, the seropositive rates were similar between the patients (94 %) and the asymptomatic carriers (91 %). Both groups had a higher seropositive rate than the uninfected villagers did (0 %) (Fisher`s exact test, p < 0.0001) (Fig. 3A). IgG1 seropositivity followed a similar trend (patients 44 % and asymptomatic carriers 59 %), albeit at lower rates in the two infected groups (Fig. 3B). For IgG2, the seropositive rates were low and indistinguishable in all three groups. For IgG3, the seropositive rate was higher in the asymptomatic carriers (95 %) compared to the patients (68 %) (Fisher exact test, p = 0.0183), who in turn, had a higher seropositive rate than the uninfected villagers (22 %) (Fisher’s exact test, p = 0.0226) (Fig. 3B).\n\nFig. 3\nAnti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test)\n\nAnti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test)\n34 P. vivax malaria patients and 31 selected individuals from the cross-sectional survey (22 asymptomatic P. vivax carriers + 9 healthy parasite-free villagers who reported never to have had malaria) were selected for further comparative analysis. The patient specimens were obtained from the malaria clinic in the study village at roughly the same time period (2012–2013). The plasma samples were tested for anti-RBP2P1 IgM, total IgG, IgG1, IgG2, IgG3 and IgG4.\nThe median of anti-RBP2P1 IgM levels in P. vivax patients did not differ from that of asymptomatic carriers, but it was higher than that of uninfected villagers or healthy Bangkok donors (Fig. 2A). A similar pattern was found for total IgG (Fig. 2A) as well as IgG1 and IgG3 (Fig. 2B). No statistically significant difference was detected between the four groups for IgG2 (Fig. 2B). IgG4 was not detected in any sample.\n\nFig. 2\nAnti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\n\nAnti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\nThe anti-RBP2P1 seropositive rates in asymptomatic carriers, patients, and uninfected villagers were also compared. The mean + 2SD value of the Bangkok donors was used as the seropositivity threshold. There was no difference in the seropositive rates between the three groups for IgM (Fig. 3A). For total IgG, the seropositive rates were similar between the patients (94 %) and the asymptomatic carriers (91 %). Both groups had a higher seropositive rate than the uninfected villagers did (0 %) (Fisher`s exact test, p < 0.0001) (Fig. 3A). IgG1 seropositivity followed a similar trend (patients 44 % and asymptomatic carriers 59 %), albeit at lower rates in the two infected groups (Fig. 3B). For IgG2, the seropositive rates were low and indistinguishable in all three groups. For IgG3, the seropositive rate was higher in the asymptomatic carriers (95 %) compared to the patients (68 %) (Fisher exact test, p = 0.0183), who in turn, had a higher seropositive rate than the uninfected villagers (22 %) (Fisher’s exact test, p = 0.0226) (Fig. 3B).\n\nFig. 3\nAnti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test)\n\nAnti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test)\nRBP2P1-mediated complement fixation The complement-fixing activities of anti-RBP2P1 antibodies were assessed. The same subpopulation of 22 asymptomatic carriers, 34 patients, and 9 uninfected villagers used for IgG subtyping were subjected to an ELISA-based complement fixation assay (Fig. 4). A set of 15 healthy Bangkok donors were also used as the control. This assay infers the complement fixing activity from the ability of anti-RBP2P1 antibodies to bind human C1q, the first step of the classical complement pathway. Because the asymptomatic and patient groups have indistinguishable complement-fixing activity (data not shown), they were combined into a single P. vivax ‘infected’ group (Fig. 4). This group had significantly higher level of complement-fixing activity than the uninfected villagers and the Bangkok donors (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0001 and p = 0.0002, respectively) (Fig. 4).\n\nFig. 4\nComplement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\n\nComplement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\nTo test whether the higher complement-fixing activity in the P. vivax infected individuals (n = 56) is associated with IgM and cytophilic antibodies, correlation analysis was performed (Fig. 5). The results show that the levels of IgG1 and IgG3 subtypes, but not IgM, were rank-correlated with complement-fixing activity (Spearman’s rank correlation, p ≤ 0.011). In a multivariate linear regression model using IgM, IgG1, and IgG3 as independent variables, only IgG3 remains significantly associated with complement-fixing activity (p = 0.018).\n\nFig. 5\nComplement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation\n\nComplement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation\nThe complement-fixing activities of anti-RBP2P1 antibodies were assessed. The same subpopulation of 22 asymptomatic carriers, 34 patients, and 9 uninfected villagers used for IgG subtyping were subjected to an ELISA-based complement fixation assay (Fig. 4). A set of 15 healthy Bangkok donors were also used as the control. This assay infers the complement fixing activity from the ability of anti-RBP2P1 antibodies to bind human C1q, the first step of the classical complement pathway. Because the asymptomatic and patient groups have indistinguishable complement-fixing activity (data not shown), they were combined into a single P. vivax ‘infected’ group (Fig. 4). This group had significantly higher level of complement-fixing activity than the uninfected villagers and the Bangkok donors (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0001 and p = 0.0002, respectively) (Fig. 4).\n\nFig. 4\nComplement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\n\nComplement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\nTo test whether the higher complement-fixing activity in the P. vivax infected individuals (n = 56) is associated with IgM and cytophilic antibodies, correlation analysis was performed (Fig. 5). The results show that the levels of IgG1 and IgG3 subtypes, but not IgM, were rank-correlated with complement-fixing activity (Spearman’s rank correlation, p ≤ 0.011). In a multivariate linear regression model using IgM, IgG1, and IgG3 as independent variables, only IgG3 remains significantly associated with complement-fixing activity (p = 0.018).\n\nFig. 5\nComplement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation\n\nComplement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation", "525 plasma samples from a cross-sectional survey in Kanchanaburi province were used to examine the presence of RBP2P1 antibodies in the community. The age of the study participants showed a positive correlation with total IgG (Spearman ρ = 0.317, p = 0.01), but a negative correlation with IgM (Spearman ρ = − 0.144, p = 0.001). When the cross-sectional samples were classified into four age groups: 0–6 years, 7–12 years, 13–17 years and ≥ 18 years, the anti-RBP2P1 IgM levels were higher (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0168) in children aged 7–12 years compared to adults (Fig. 1A). The IgG response (Fig. 1A) was higher in the adult group compared with all younger groups (p < 0.001). Consistently, IgG seropositivity in the adult group was higher compared to the other three groups (Fisher’s exact test, p < 0.01 for all pairwise comparison) (Fig. 1B). There were no significant differences among the age groups for IgM seropositivity (Fisher’s exact test, p > 0.05 for all pairwise comparison) (Fig. 1B).\n\nFig. 1\nIgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05\n\nIgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05", "34 P. vivax malaria patients and 31 selected individuals from the cross-sectional survey (22 asymptomatic P. vivax carriers + 9 healthy parasite-free villagers who reported never to have had malaria) were selected for further comparative analysis. The patient specimens were obtained from the malaria clinic in the study village at roughly the same time period (2012–2013). The plasma samples were tested for anti-RBP2P1 IgM, total IgG, IgG1, IgG2, IgG3 and IgG4.\nThe median of anti-RBP2P1 IgM levels in P. vivax patients did not differ from that of asymptomatic carriers, but it was higher than that of uninfected villagers or healthy Bangkok donors (Fig. 2A). A similar pattern was found for total IgG (Fig. 2A) as well as IgG1 and IgG3 (Fig. 2B). No statistically significant difference was detected between the four groups for IgG2 (Fig. 2B). IgG4 was not detected in any sample.\n\nFig. 2\nAnti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\n\nAnti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\nThe anti-RBP2P1 seropositive rates in asymptomatic carriers, patients, and uninfected villagers were also compared. The mean + 2SD value of the Bangkok donors was used as the seropositivity threshold. There was no difference in the seropositive rates between the three groups for IgM (Fig. 3A). For total IgG, the seropositive rates were similar between the patients (94 %) and the asymptomatic carriers (91 %). Both groups had a higher seropositive rate than the uninfected villagers did (0 %) (Fisher`s exact test, p < 0.0001) (Fig. 3A). IgG1 seropositivity followed a similar trend (patients 44 % and asymptomatic carriers 59 %), albeit at lower rates in the two infected groups (Fig. 3B). For IgG2, the seropositive rates were low and indistinguishable in all three groups. For IgG3, the seropositive rate was higher in the asymptomatic carriers (95 %) compared to the patients (68 %) (Fisher exact test, p = 0.0183), who in turn, had a higher seropositive rate than the uninfected villagers (22 %) (Fisher’s exact test, p = 0.0226) (Fig. 3B).\n\nFig. 3\nAnti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test)\n\nAnti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test)", "The complement-fixing activities of anti-RBP2P1 antibodies were assessed. The same subpopulation of 22 asymptomatic carriers, 34 patients, and 9 uninfected villagers used for IgG subtyping were subjected to an ELISA-based complement fixation assay (Fig. 4). A set of 15 healthy Bangkok donors were also used as the control. This assay infers the complement fixing activity from the ability of anti-RBP2P1 antibodies to bind human C1q, the first step of the classical complement pathway. Because the asymptomatic and patient groups have indistinguishable complement-fixing activity (data not shown), they were combined into a single P. vivax ‘infected’ group (Fig. 4). This group had significantly higher level of complement-fixing activity than the uninfected villagers and the Bangkok donors (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0001 and p = 0.0002, respectively) (Fig. 4).\n\nFig. 4\nComplement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\n\nComplement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test)\nTo test whether the higher complement-fixing activity in the P. vivax infected individuals (n = 56) is associated with IgM and cytophilic antibodies, correlation analysis was performed (Fig. 5). The results show that the levels of IgG1 and IgG3 subtypes, but not IgM, were rank-correlated with complement-fixing activity (Spearman’s rank correlation, p ≤ 0.011). In a multivariate linear regression model using IgM, IgG1, and IgG3 as independent variables, only IgG3 remains significantly associated with complement-fixing activity (p = 0.018).\n\nFig. 5\nComplement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation\n\nComplement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation", "Naturally acquired antibodies are important factors in protective immunity against malaria [20, 21]. Many merozoite antigens are natural immunogens and actively being pursued as vaccine targets. For P. falciparum blood-stage vaccines, several targets, including AMA1, EBA175, GLURP, MSP1, MSP2 and MSP3, have reached clinical trials, and more recent candidates such as reticulocyte-binding protein homolog 5 (PfRh5) are under active research [7, 22]. For the blood stage P. vivax vaccine, DBP has been the sole intensively studied candidate [7]. Over the past five years P. vivax RBPs have garnered increasing attention as functional invasion ligands of the parasite, markers of exposure, and vaccines candidates [5, 12, 23, 24]. Two members of the family, RBP1a and RBP2b, appear promising for further vaccine development [5]. RBP2P1 is the most recently characterized member of the RBP family [13]. Its small size of 72 kDa allows the nearly full-length recombinant protein expression [13]. Compared to the other members, the antibody response to RBP2P1 has been less well investigated.\nIn this study, the naturally acquired antibody responses to RBP2P1 among villagers living in a P. vivax endemic area of western Thailand were measured. Although the transmission intensity in the study site in Thailand was low (3.1 % P. vivax prevalence by qPCR), several villagers still had protective immunity as they could carry the parasite without becoming sick [3, 17]. In this population, the IgM response showed a weak negative correlation with age. In addition, IgG tended to increase with age, similar to trends observed with many P. vivax antigens [18, 25–27]. These correlations presumably reflect the maturation of the host immune system from the IgM to the more specific IgG, after IgG memory being boosted over time by repeated exposures [28, 29].\nIn the adult group, only 7 % had ongoing P. vivax infection yet nearly half (48 %) were seropositive for RBP2P1 (Fig. 1C, D). Although the majority of P. vivax antigens were reported to have a half-life of less than 6 months [23], there is evidence of long-living antibodies, with PvMSP1 lasting from a year to 30 years and PvMSP8 from 8 to 12 years [30–35]. According to the antibody half-life model from Longley and coworkers who measured the antibody half-lives of over 300 P. vivax antigens, the estimated half-life of RBP2P1 antibodies is fairly long at 308 (95 % CI, 218–521) days [24]. Thus, in addition to recent exposure, the long half-life may contribute to the high anti-RBP2P1 IgG seropositivity rate among the uninfected villagers.\nThe major IgG subtypes reactive to RBP2P1 were IgG1 and IgG3. This is similar to an earlier report for PvRBP1a and PvDBP [11]. The function of cytophilic antibody subtypes IgG1 and IgG3 may extend beyond interfering with red blood cell binding [13, 20] to encompass other effectors functions, such as opsonic phagocytosis [36], antibody-dependent cellular inhibition [37], and complement activation through binding to the C1q protein complex [38]. Between the two cytophilic subtypes, IgG3 is known to have a higher complement fixing potential [38]. We found that the IgG3 seropositivity was higher in asymptomatic carriers than in patients, paralleling the ability of the former groups to control the parasitaemia at a very low level.\nPrevious studies have reported similar linkage between elevated IgG3 levels against merozoite antigens and protection from clinical symptoms, such as for P. falciparum MSP2, MSP3, AMA1, GLURP, EBA175 and P. vivax DBP, MSP1 and GAMA [39–43]. However, due to the nature of the cross-sectional study, it remains inconclusive whether IgG3 is responsible for the clinical protection. An analysis of a cohort from an endemic area would provide a clearer answer.\nIt has become evident that the optimal antigen to be used for malaria vaccine development should not solely trigger the maximum antibody titers, but that these antibodies should also have a function [38]. New tests are needed to assess antibody’s functional properties because the traditional growth inhibition assay does not always predict the protection gained by natural infection or vaccine induced immunity [8, 19]. Additional assays are particularly important with P. vivax, which cannot be cultured, making it challenging to test most interventions. The recently developed complement-fixation assay is a useful tool to test whether antibodies against malaria antigens are able to fix the complement, leading to complement-mediated killing of the parasites [19]. Several P. falciparum antigens have been identified as targets of complement-fixing antibodies [19, 44]. Of particular interest is circumsporozoite protein PfCSP, the most prominent malaria vaccine target. The major antibody types targeting PfCSP were IgM and cytophilic antibodies IgG1 and IgG3, and they all were able to fix complement in the classical pathway [44]. Only one P. vivax antigen, Merozoite Surface Protein 3α (PvMSP3α), has been subjected to the complement-fixing assay. RBP2P1 is the second target evaluated [45]. With PvMSP3α both cytophilic subtypes, IgG1 and IgG3 as well as IgM showed correlation with complement fixation similar to PfCSP [45]. For RBP2P1, IgG3 has the most robust correlation with complement fixation.", "The naturally-acquired humoral immune response against P. vivax merozoite protein RBP2P1 is biased towards cytophilic antibodies IgG1 and IgG3. The IgG3 seropositivity rate against RBP2P1 was higher in asymptomatic P. vivax carriers than in clinical P. vivax malaria patients. The level of IgG3 antibody subtype was correlated with complement fixation activity, suggesting that RBP2P1 is a target of functional human immune response to P. vivax infection." ]
[ null, null, null, null, null, null, null, null, "results", null, null, null, "discussion", "conclusion" ]
[ "\nPlasmodium vivax\n", "Malaria", "Cytophilic", "Complement", "Antibody", "Serology" ]
Background: Plasmodium vivax malaria remains a major public health problem in many countries. At present, there is no approved vaccine for P. vivax, but such a vaccine would be highly useful for the global malaria eradication. Several types of vaccines have been considered for P. vivax malaria, including one to prevent or eliminate liver stage infection (pre-erythrocytic vaccine), one to reduce blood stage parasitaemia (blood stage vaccine), and one to block transmission from humans to mosquitoes (transmission-blocking vaccine). Blood stage vaccines are aimed to neutralize red cell infection, which is the immediate cause of malaria symptoms. Blood stage vaccines for P. vivax will help reduce disease transmission because the density of gametocytes, the stage transmissible to the mosquitoes, is closely linked to the total blood parasitaemia [1–3]. Several P. vivax asexual blood stage antigens have been considered for vaccine development, including Duffy binding protein (DBP) [4], several Reticulocyte binding proteins (RBPs) [5], apical membrane antigen 1 (AMA1), and merozoite surface proteins (MSPs) [6]. Currently the most advanced candidate is the P. vivax Duffy Binding Protein (PvDBP), which has entered Phase 1a clinical trials [7, 8]. Other targets [5, 8] are much further behind and new candidates are still needed to maintain a healthy vaccine development pipeline. Plasmodium vivax RBPs are a major group of P. vivax invasion ligands. Human antibodies to some of these proteins have been shown to be associated with clinical protection [9–11]. Antibodies to one of them, RBP2b, directly inhibit erythrocyte invasion [12]. Recently, we characterized a novel RBP, RBP2P1, and found that a higher level of total IgG to RBP2P1 is associated with lower parasitaemia, suggesting an involvement in functional immunity [13]. However, the analysis was limited to total IgG. This study aims to provide a more complete account of human antibody response to RBP2P1. Plasmas from acute P. vivax malaria patients and the general population in an endemic area in Thailand were examined for IgM, total IgG, IgG subtypes, and anti-RBP2P1 antibody-mediated complement fixing activity. Methods: The use of human specimens in this study was approved by the Ethics Committee of the Faculty of Tropical Medicine, Mahidol University. Study sites Malaria transmission in Thailand is seasonal and found mainly near the country border, with Myanmar to the west, Cambodia to the east and Malaysia to the south [14–16]. The study sites, Kanchanaburi and Ratchaburi provinces, are located on the western border. Both provinces are endemic for malaria [3]. At the time of sample collection (September-October 2012), the study sites had an overall malaria prevalence of 4.18 % by PCR (P. vivax 3.09 %, Plasmodium falciparum 0.86 % and mixed P. vivax/ P. falciparum 0.26 %) [3]. In a cohort study conducted shortly thereafter (2013–2014) [17], the prevalence varied seasonally from 1.7 to 4.2 % for P. vivax and 0–1.3 % for P. falciparum. The infections were found primarily in a small number of individuals who were positive at multiple time points during the monthly active surveys. Most infections (90 %) were asymptomatic, as confirmed by the lack of malaria-like symptoms during the follow-up period. Malaria transmission in Thailand is seasonal and found mainly near the country border, with Myanmar to the west, Cambodia to the east and Malaysia to the south [14–16]. The study sites, Kanchanaburi and Ratchaburi provinces, are located on the western border. Both provinces are endemic for malaria [3]. At the time of sample collection (September-October 2012), the study sites had an overall malaria prevalence of 4.18 % by PCR (P. vivax 3.09 %, Plasmodium falciparum 0.86 % and mixed P. vivax/ P. falciparum 0.26 %) [3]. In a cohort study conducted shortly thereafter (2013–2014) [17], the prevalence varied seasonally from 1.7 to 4.2 % for P. vivax and 0–1.3 % for P. falciparum. The infections were found primarily in a small number of individuals who were positive at multiple time points during the monthly active surveys. Most infections (90 %) were asymptomatic, as confirmed by the lack of malaria-like symptoms during the follow-up period. Study specimens During the 2012 cross-sectional study [3], plasma samples were collected from the general population and a subset of these plasma samples used in this current study. Among the volunteers, 26 had low-density P. vivax infection without concurrent fever (body temperature > 37.5 °C) and no history of fever or feeling unwell within the preceding 48 h. These 26 people were classified as asymptomatic carriers in this study. In addition to these cross-sectional survey samples, additional plasma samples were obtained from 68 P. vivax acute malaria patients (PCR-confirmed) from the same village in 2012–2013. The summary of the study population characteristics is provided in Table 1. Seven plasma samples from unknown healthy donors from Bangkok, a non-endemic area, were obtained from the Thai Red Cross and used as the negative control for the antibody-typing assays. For the complement assay, additional 8 negative samples were obtained from the Thai Red Cross, making the total number of negative control samples 15. Table 1Characteristics of the 593 study volunteers from western ThailandParameterUninfectedaAsymptomaticaPatientbn4992668Male sex, no. (%)227 (46)19 (73)50 (74)Age, median (range)20 (0.8–92)35 (8–70)29 (18–71) 0–6 years, n81–– 7–12 years, n982– 13–17 years, n484– 18 + years, n2722068 a From a cross-sectional malaria survey b Acute P. vivax malaria patients from health facilities Characteristics of the 593 study volunteers from western Thailand a From a cross-sectional malaria survey b Acute P. vivax malaria patients from health facilities During the 2012 cross-sectional study [3], plasma samples were collected from the general population and a subset of these plasma samples used in this current study. Among the volunteers, 26 had low-density P. vivax infection without concurrent fever (body temperature > 37.5 °C) and no history of fever or feeling unwell within the preceding 48 h. These 26 people were classified as asymptomatic carriers in this study. In addition to these cross-sectional survey samples, additional plasma samples were obtained from 68 P. vivax acute malaria patients (PCR-confirmed) from the same village in 2012–2013. The summary of the study population characteristics is provided in Table 1. Seven plasma samples from unknown healthy donors from Bangkok, a non-endemic area, were obtained from the Thai Red Cross and used as the negative control for the antibody-typing assays. For the complement assay, additional 8 negative samples were obtained from the Thai Red Cross, making the total number of negative control samples 15. Table 1Characteristics of the 593 study volunteers from western ThailandParameterUninfectedaAsymptomaticaPatientbn4992668Male sex, no. (%)227 (46)19 (73)50 (74)Age, median (range)20 (0.8–92)35 (8–70)29 (18–71) 0–6 years, n81–– 7–12 years, n982– 13–17 years, n484– 18 + years, n2722068 a From a cross-sectional malaria survey b Acute P. vivax malaria patients from health facilities Characteristics of the 593 study volunteers from western Thailand a From a cross-sectional malaria survey b Acute P. vivax malaria patients from health facilities Expression and purification of PvRBP2-P1 As described earlier [13], the full-length RBP2-P1 (1788 bp, signal peptide excluded) was expressed in Escherichia coli SHuffle cells as a soluble protein. The recombinant RBP2P1 protein (70 kDa) was purified by metal affinity chromatography and, after removal of 6-His tag, further purified with FPLC. As described earlier [13], the full-length RBP2-P1 (1788 bp, signal peptide excluded) was expressed in Escherichia coli SHuffle cells as a soluble protein. The recombinant RBP2P1 protein (70 kDa) was purified by metal affinity chromatography and, after removal of 6-His tag, further purified with FPLC. Antibody measurements Antibody levels were measured by using a Bio-plex (Bio-Rad) bead-based assay as described [18]. Briefly, COOH microspheres (2.5 × 106, Luminex Corp) were washed with PBS (Phosphate Buffered Saline), incubated at room temperature for 20 min at constant agitation with 100 mM monobasic sodium phosphate (pH 6.2), 50 mg/ml sulfo-NHS (N-hydroxysulfosuccinimide sodium salt) and 50 mg/ml of EDC [N-(3-dimethylaminopropyl)-N′-ethylcarbodiimide hydrochloride] to activate the amine groups on the microspheres’ surface to capture the carboxyl groups of the target protein. Coupling reaction was incubated overnight at 4 °C with constant agitation. On the next day microspheres were washed with PBS-TBN (1X PBS buffer pH 7.4, with 0.05 % Tween 20. 1 % BSA, 0.1 % Sodium Azide) buffer and stored in the same buffer until antibody measurements. Protein concentration used for the coupling was optimized by experimentally testing the amount of protein that would generate a log-linear standard curve using a positive control plasma pool prepared from Thai P. vivax patient samples. Plasma samples were diluted 1/100 when measuring IgG and 1/200 for IgM detection in PBS with 1 % BSA and 0.05 % Tween (PBT). Each diluted plasma (50 µl) was added to a 96-well Multiscreen filter plate together with 0.1 µl of coupled RBP2-P1 microspheres in 50 µl of PBT per well. The plate was incubated at room temperature for 30 min on a plate shaker. After incubation, the microspheres were washed three times with 100 µl of PBT. Then, 100 µl of 1/100 dilution in PBT of the following IgG or IgG subtype detector antibodies were used: donkey anti-human IgG Fc-PE (0.5 mg/ml, Jackson ImmunoResearch), mouse anti-human IgG1 hinge-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG2 Fc-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG3 hinge-PE (0.1 mg/ml, Southern Biotech) and mouse anti-human IgG4 Fc-PE (0.1 mg/ml, Southern Biotech). For IgM detection, 100 µl of 1/400 dilution in PBT of donkey anti-human IgM Fc5u-PE (0.5 mg/ml, Jackson ImmunoResearch) was used. Detector antibodies were incubated with the microspheres at room temperature for 15 min on a plate shaker. Microspheres were washed three times with 100 µl of PBT and resuspended to 100 µl of PBT. Fluorescence was measured with Bio-Plex 200®. Bio-Plex 200® gave the result as the median fluorescent intensity (MFI). Each sample was standardized to the arbitrary unit (AU) by an in-plate standard curve generated by running a two-fold serial dilution (IgG: 1/50 to 1/25,600 and IgM 1/25 to 1/25,600) of the positive control plasma pool from P. vivax patients. To determine the fluorescence background, several blank wells without plasma were run in each plate. Plasma from healthy volunteers were included as the negative control for each assay. The seropositivity threshold was set as the mean + 2 standard deviations (SD) of the negative controls. Antibody levels were measured by using a Bio-plex (Bio-Rad) bead-based assay as described [18]. Briefly, COOH microspheres (2.5 × 106, Luminex Corp) were washed with PBS (Phosphate Buffered Saline), incubated at room temperature for 20 min at constant agitation with 100 mM monobasic sodium phosphate (pH 6.2), 50 mg/ml sulfo-NHS (N-hydroxysulfosuccinimide sodium salt) and 50 mg/ml of EDC [N-(3-dimethylaminopropyl)-N′-ethylcarbodiimide hydrochloride] to activate the amine groups on the microspheres’ surface to capture the carboxyl groups of the target protein. Coupling reaction was incubated overnight at 4 °C with constant agitation. On the next day microspheres were washed with PBS-TBN (1X PBS buffer pH 7.4, with 0.05 % Tween 20. 1 % BSA, 0.1 % Sodium Azide) buffer and stored in the same buffer until antibody measurements. Protein concentration used for the coupling was optimized by experimentally testing the amount of protein that would generate a log-linear standard curve using a positive control plasma pool prepared from Thai P. vivax patient samples. Plasma samples were diluted 1/100 when measuring IgG and 1/200 for IgM detection in PBS with 1 % BSA and 0.05 % Tween (PBT). Each diluted plasma (50 µl) was added to a 96-well Multiscreen filter plate together with 0.1 µl of coupled RBP2-P1 microspheres in 50 µl of PBT per well. The plate was incubated at room temperature for 30 min on a plate shaker. After incubation, the microspheres were washed three times with 100 µl of PBT. Then, 100 µl of 1/100 dilution in PBT of the following IgG or IgG subtype detector antibodies were used: donkey anti-human IgG Fc-PE (0.5 mg/ml, Jackson ImmunoResearch), mouse anti-human IgG1 hinge-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG2 Fc-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG3 hinge-PE (0.1 mg/ml, Southern Biotech) and mouse anti-human IgG4 Fc-PE (0.1 mg/ml, Southern Biotech). For IgM detection, 100 µl of 1/400 dilution in PBT of donkey anti-human IgM Fc5u-PE (0.5 mg/ml, Jackson ImmunoResearch) was used. Detector antibodies were incubated with the microspheres at room temperature for 15 min on a plate shaker. Microspheres were washed three times with 100 µl of PBT and resuspended to 100 µl of PBT. Fluorescence was measured with Bio-Plex 200®. Bio-Plex 200® gave the result as the median fluorescent intensity (MFI). Each sample was standardized to the arbitrary unit (AU) by an in-plate standard curve generated by running a two-fold serial dilution (IgG: 1/50 to 1/25,600 and IgM 1/25 to 1/25,600) of the positive control plasma pool from P. vivax patients. To determine the fluorescence background, several blank wells without plasma were run in each plate. Plasma from healthy volunteers were included as the negative control for each assay. The seropositivity threshold was set as the mean + 2 standard deviations (SD) of the negative controls. Complement-fixation assay The complement fixation potential of anti-RBP2P1 antibodies were measured by ELISA-based assay as described earlier [19]. Briefly, Nunc Maxisorp 96-well plates were coated with 10 µg/ml of PvRBP2-P1 and incubated overnight at 4 °C. At each step the volume added per well was 100 µl. Wells were blocked with 10 % skim milk in PBS-Tween (1x PBS + 0.01 % Tween 20) for 1 h. After blocking, wells were washed three times with PBS-Tween. Plasma samples were heat-inactivated at 56 °C for 30 min to destroy the complement. After that, samples were diluted 1/100 in 1 % skim milk in PBS-Tween and were added to the plate and incubated at RT for 1 h. Plates were washed three times with PBS-Tween. Human complement protein C1q (Merck Millipore) in 1 % skim milk and PBS-Tween was added at 10 µg/ml and incubated at RT for 30 min. Plates were washed three times with PBS-Tween. 1/2000 in 1 % skim milk and PBS-Tween diluted chicken anti-human C1q antibody (Merck Sigma-Aldrich) was then added and incubated 1 h at RT. Wells were washed three times with PBS-Tween. To detect bound C1q, 1/4000 in 1 % skim milk and PBS-Tween diluted rabbit anti-chicken-IgY-(IgG)-HRP (Merck Sigma-Aldrich) was added and incubated for 1 h. Wells were washed three times with PBS-Tween and then finally three times with PBS. Detection of C1q fixation was done by incubating with ABTS (Merck Millipore) for 30 min and absorbance quantified by using a plate reader. OD values were normalized against a positive control sample (a P. vivax patient plasma) and reported as AU. This control sample was used on all plates to permit comparison of data across different plates. The complement fixation potential of anti-RBP2P1 antibodies were measured by ELISA-based assay as described earlier [19]. Briefly, Nunc Maxisorp 96-well plates were coated with 10 µg/ml of PvRBP2-P1 and incubated overnight at 4 °C. At each step the volume added per well was 100 µl. Wells were blocked with 10 % skim milk in PBS-Tween (1x PBS + 0.01 % Tween 20) for 1 h. After blocking, wells were washed three times with PBS-Tween. Plasma samples were heat-inactivated at 56 °C for 30 min to destroy the complement. After that, samples were diluted 1/100 in 1 % skim milk in PBS-Tween and were added to the plate and incubated at RT for 1 h. Plates were washed three times with PBS-Tween. Human complement protein C1q (Merck Millipore) in 1 % skim milk and PBS-Tween was added at 10 µg/ml and incubated at RT for 30 min. Plates were washed three times with PBS-Tween. 1/2000 in 1 % skim milk and PBS-Tween diluted chicken anti-human C1q antibody (Merck Sigma-Aldrich) was then added and incubated 1 h at RT. Wells were washed three times with PBS-Tween. To detect bound C1q, 1/4000 in 1 % skim milk and PBS-Tween diluted rabbit anti-chicken-IgY-(IgG)-HRP (Merck Sigma-Aldrich) was added and incubated for 1 h. Wells were washed three times with PBS-Tween and then finally three times with PBS. Detection of C1q fixation was done by incubating with ABTS (Merck Millipore) for 30 min and absorbance quantified by using a plate reader. OD values were normalized against a positive control sample (a P. vivax patient plasma) and reported as AU. This control sample was used on all plates to permit comparison of data across different plates. Statistical analysis MFI values were converted to relative antibody units. Further analysis and data presentation was performed in Prism version 6 (GraphPad, USA) or PASW Statistics version 18.0.0. Differences in the antibody levels between groups of different infection status were compared by using the Kruskal-Wallis test with Dunn’s multiple-comparison test and data are presented using box-plots, with error bars showing the 5–95 percentile range and dots representing the outliers. Differences in seroprevalence between age groups or groups of different infection status was tested with the Fisher’s exact test. Spearman’s rank correlation was used to determine correlation between parameters as specified in the text. MFI values were converted to relative antibody units. Further analysis and data presentation was performed in Prism version 6 (GraphPad, USA) or PASW Statistics version 18.0.0. Differences in the antibody levels between groups of different infection status were compared by using the Kruskal-Wallis test with Dunn’s multiple-comparison test and data are presented using box-plots, with error bars showing the 5–95 percentile range and dots representing the outliers. Differences in seroprevalence between age groups or groups of different infection status was tested with the Fisher’s exact test. Spearman’s rank correlation was used to determine correlation between parameters as specified in the text. Study sites: Malaria transmission in Thailand is seasonal and found mainly near the country border, with Myanmar to the west, Cambodia to the east and Malaysia to the south [14–16]. The study sites, Kanchanaburi and Ratchaburi provinces, are located on the western border. Both provinces are endemic for malaria [3]. At the time of sample collection (September-October 2012), the study sites had an overall malaria prevalence of 4.18 % by PCR (P. vivax 3.09 %, Plasmodium falciparum 0.86 % and mixed P. vivax/ P. falciparum 0.26 %) [3]. In a cohort study conducted shortly thereafter (2013–2014) [17], the prevalence varied seasonally from 1.7 to 4.2 % for P. vivax and 0–1.3 % for P. falciparum. The infections were found primarily in a small number of individuals who were positive at multiple time points during the monthly active surveys. Most infections (90 %) were asymptomatic, as confirmed by the lack of malaria-like symptoms during the follow-up period. Study specimens: During the 2012 cross-sectional study [3], plasma samples were collected from the general population and a subset of these plasma samples used in this current study. Among the volunteers, 26 had low-density P. vivax infection without concurrent fever (body temperature > 37.5 °C) and no history of fever or feeling unwell within the preceding 48 h. These 26 people were classified as asymptomatic carriers in this study. In addition to these cross-sectional survey samples, additional plasma samples were obtained from 68 P. vivax acute malaria patients (PCR-confirmed) from the same village in 2012–2013. The summary of the study population characteristics is provided in Table 1. Seven plasma samples from unknown healthy donors from Bangkok, a non-endemic area, were obtained from the Thai Red Cross and used as the negative control for the antibody-typing assays. For the complement assay, additional 8 negative samples were obtained from the Thai Red Cross, making the total number of negative control samples 15. Table 1Characteristics of the 593 study volunteers from western ThailandParameterUninfectedaAsymptomaticaPatientbn4992668Male sex, no. (%)227 (46)19 (73)50 (74)Age, median (range)20 (0.8–92)35 (8–70)29 (18–71) 0–6 years, n81–– 7–12 years, n982– 13–17 years, n484– 18 + years, n2722068 a From a cross-sectional malaria survey b Acute P. vivax malaria patients from health facilities Characteristics of the 593 study volunteers from western Thailand a From a cross-sectional malaria survey b Acute P. vivax malaria patients from health facilities Expression and purification of PvRBP2-P1: As described earlier [13], the full-length RBP2-P1 (1788 bp, signal peptide excluded) was expressed in Escherichia coli SHuffle cells as a soluble protein. The recombinant RBP2P1 protein (70 kDa) was purified by metal affinity chromatography and, after removal of 6-His tag, further purified with FPLC. Antibody measurements: Antibody levels were measured by using a Bio-plex (Bio-Rad) bead-based assay as described [18]. Briefly, COOH microspheres (2.5 × 106, Luminex Corp) were washed with PBS (Phosphate Buffered Saline), incubated at room temperature for 20 min at constant agitation with 100 mM monobasic sodium phosphate (pH 6.2), 50 mg/ml sulfo-NHS (N-hydroxysulfosuccinimide sodium salt) and 50 mg/ml of EDC [N-(3-dimethylaminopropyl)-N′-ethylcarbodiimide hydrochloride] to activate the amine groups on the microspheres’ surface to capture the carboxyl groups of the target protein. Coupling reaction was incubated overnight at 4 °C with constant agitation. On the next day microspheres were washed with PBS-TBN (1X PBS buffer pH 7.4, with 0.05 % Tween 20. 1 % BSA, 0.1 % Sodium Azide) buffer and stored in the same buffer until antibody measurements. Protein concentration used for the coupling was optimized by experimentally testing the amount of protein that would generate a log-linear standard curve using a positive control plasma pool prepared from Thai P. vivax patient samples. Plasma samples were diluted 1/100 when measuring IgG and 1/200 for IgM detection in PBS with 1 % BSA and 0.05 % Tween (PBT). Each diluted plasma (50 µl) was added to a 96-well Multiscreen filter plate together with 0.1 µl of coupled RBP2-P1 microspheres in 50 µl of PBT per well. The plate was incubated at room temperature for 30 min on a plate shaker. After incubation, the microspheres were washed three times with 100 µl of PBT. Then, 100 µl of 1/100 dilution in PBT of the following IgG or IgG subtype detector antibodies were used: donkey anti-human IgG Fc-PE (0.5 mg/ml, Jackson ImmunoResearch), mouse anti-human IgG1 hinge-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG2 Fc-PE (0.1 mg/ml, Southern Biotech), mouse anti-human IgG3 hinge-PE (0.1 mg/ml, Southern Biotech) and mouse anti-human IgG4 Fc-PE (0.1 mg/ml, Southern Biotech). For IgM detection, 100 µl of 1/400 dilution in PBT of donkey anti-human IgM Fc5u-PE (0.5 mg/ml, Jackson ImmunoResearch) was used. Detector antibodies were incubated with the microspheres at room temperature for 15 min on a plate shaker. Microspheres were washed three times with 100 µl of PBT and resuspended to 100 µl of PBT. Fluorescence was measured with Bio-Plex 200®. Bio-Plex 200® gave the result as the median fluorescent intensity (MFI). Each sample was standardized to the arbitrary unit (AU) by an in-plate standard curve generated by running a two-fold serial dilution (IgG: 1/50 to 1/25,600 and IgM 1/25 to 1/25,600) of the positive control plasma pool from P. vivax patients. To determine the fluorescence background, several blank wells without plasma were run in each plate. Plasma from healthy volunteers were included as the negative control for each assay. The seropositivity threshold was set as the mean + 2 standard deviations (SD) of the negative controls. Complement-fixation assay: The complement fixation potential of anti-RBP2P1 antibodies were measured by ELISA-based assay as described earlier [19]. Briefly, Nunc Maxisorp 96-well plates were coated with 10 µg/ml of PvRBP2-P1 and incubated overnight at 4 °C. At each step the volume added per well was 100 µl. Wells were blocked with 10 % skim milk in PBS-Tween (1x PBS + 0.01 % Tween 20) for 1 h. After blocking, wells were washed three times with PBS-Tween. Plasma samples were heat-inactivated at 56 °C for 30 min to destroy the complement. After that, samples were diluted 1/100 in 1 % skim milk in PBS-Tween and were added to the plate and incubated at RT for 1 h. Plates were washed three times with PBS-Tween. Human complement protein C1q (Merck Millipore) in 1 % skim milk and PBS-Tween was added at 10 µg/ml and incubated at RT for 30 min. Plates were washed three times with PBS-Tween. 1/2000 in 1 % skim milk and PBS-Tween diluted chicken anti-human C1q antibody (Merck Sigma-Aldrich) was then added and incubated 1 h at RT. Wells were washed three times with PBS-Tween. To detect bound C1q, 1/4000 in 1 % skim milk and PBS-Tween diluted rabbit anti-chicken-IgY-(IgG)-HRP (Merck Sigma-Aldrich) was added and incubated for 1 h. Wells were washed three times with PBS-Tween and then finally three times with PBS. Detection of C1q fixation was done by incubating with ABTS (Merck Millipore) for 30 min and absorbance quantified by using a plate reader. OD values were normalized against a positive control sample (a P. vivax patient plasma) and reported as AU. This control sample was used on all plates to permit comparison of data across different plates. Statistical analysis: MFI values were converted to relative antibody units. Further analysis and data presentation was performed in Prism version 6 (GraphPad, USA) or PASW Statistics version 18.0.0. Differences in the antibody levels between groups of different infection status were compared by using the Kruskal-Wallis test with Dunn’s multiple-comparison test and data are presented using box-plots, with error bars showing the 5–95 percentile range and dots representing the outliers. Differences in seroprevalence between age groups or groups of different infection status was tested with the Fisher’s exact test. Spearman’s rank correlation was used to determine correlation between parameters as specified in the text. Results: IgM and total IgG in the community survey 525 plasma samples from a cross-sectional survey in Kanchanaburi province were used to examine the presence of RBP2P1 antibodies in the community. The age of the study participants showed a positive correlation with total IgG (Spearman ρ = 0.317, p = 0.01), but a negative correlation with IgM (Spearman ρ = − 0.144, p = 0.001). When the cross-sectional samples were classified into four age groups: 0–6 years, 7–12 years, 13–17 years and ≥ 18 years, the anti-RBP2P1 IgM levels were higher (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0168) in children aged 7–12 years compared to adults (Fig. 1A). The IgG response (Fig. 1A) was higher in the adult group compared with all younger groups (p < 0.001). Consistently, IgG seropositivity in the adult group was higher compared to the other three groups (Fisher’s exact test, p < 0.01 for all pairwise comparison) (Fig. 1B). There were no significant differences among the age groups for IgM seropositivity (Fisher’s exact test, p > 0.05 for all pairwise comparison) (Fig. 1B). Fig. 1 IgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 IgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 525 plasma samples from a cross-sectional survey in Kanchanaburi province were used to examine the presence of RBP2P1 antibodies in the community. The age of the study participants showed a positive correlation with total IgG (Spearman ρ = 0.317, p = 0.01), but a negative correlation with IgM (Spearman ρ = − 0.144, p = 0.001). When the cross-sectional samples were classified into four age groups: 0–6 years, 7–12 years, 13–17 years and ≥ 18 years, the anti-RBP2P1 IgM levels were higher (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0168) in children aged 7–12 years compared to adults (Fig. 1A). The IgG response (Fig. 1A) was higher in the adult group compared with all younger groups (p < 0.001). Consistently, IgG seropositivity in the adult group was higher compared to the other three groups (Fisher’s exact test, p < 0.01 for all pairwise comparison) (Fig. 1B). There were no significant differences among the age groups for IgM seropositivity (Fisher’s exact test, p > 0.05 for all pairwise comparison) (Fig. 1B). Fig. 1 IgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 IgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 Comparison between P. vivax asymptomatic carriers, patients, and uninfected individuals 34 P. vivax malaria patients and 31 selected individuals from the cross-sectional survey (22 asymptomatic P. vivax carriers + 9 healthy parasite-free villagers who reported never to have had malaria) were selected for further comparative analysis. The patient specimens were obtained from the malaria clinic in the study village at roughly the same time period (2012–2013). The plasma samples were tested for anti-RBP2P1 IgM, total IgG, IgG1, IgG2, IgG3 and IgG4. The median of anti-RBP2P1 IgM levels in P. vivax patients did not differ from that of asymptomatic carriers, but it was higher than that of uninfected villagers or healthy Bangkok donors (Fig. 2A). A similar pattern was found for total IgG (Fig. 2A) as well as IgG1 and IgG3 (Fig. 2B). No statistically significant difference was detected between the four groups for IgG2 (Fig. 2B). IgG4 was not detected in any sample. Fig. 2 Anti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) Anti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) The anti-RBP2P1 seropositive rates in asymptomatic carriers, patients, and uninfected villagers were also compared. The mean + 2SD value of the Bangkok donors was used as the seropositivity threshold. There was no difference in the seropositive rates between the three groups for IgM (Fig. 3A). For total IgG, the seropositive rates were similar between the patients (94 %) and the asymptomatic carriers (91 %). Both groups had a higher seropositive rate than the uninfected villagers did (0 %) (Fisher`s exact test, p < 0.0001) (Fig. 3A). IgG1 seropositivity followed a similar trend (patients 44 % and asymptomatic carriers 59 %), albeit at lower rates in the two infected groups (Fig. 3B). For IgG2, the seropositive rates were low and indistinguishable in all three groups. For IgG3, the seropositive rate was higher in the asymptomatic carriers (95 %) compared to the patients (68 %) (Fisher exact test, p = 0.0183), who in turn, had a higher seropositive rate than the uninfected villagers (22 %) (Fisher’s exact test, p = 0.0226) (Fig. 3B). Fig. 3 Anti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test) Anti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test) 34 P. vivax malaria patients and 31 selected individuals from the cross-sectional survey (22 asymptomatic P. vivax carriers + 9 healthy parasite-free villagers who reported never to have had malaria) were selected for further comparative analysis. The patient specimens were obtained from the malaria clinic in the study village at roughly the same time period (2012–2013). The plasma samples were tested for anti-RBP2P1 IgM, total IgG, IgG1, IgG2, IgG3 and IgG4. The median of anti-RBP2P1 IgM levels in P. vivax patients did not differ from that of asymptomatic carriers, but it was higher than that of uninfected villagers or healthy Bangkok donors (Fig. 2A). A similar pattern was found for total IgG (Fig. 2A) as well as IgG1 and IgG3 (Fig. 2B). No statistically significant difference was detected between the four groups for IgG2 (Fig. 2B). IgG4 was not detected in any sample. Fig. 2 Anti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) Anti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) The anti-RBP2P1 seropositive rates in asymptomatic carriers, patients, and uninfected villagers were also compared. The mean + 2SD value of the Bangkok donors was used as the seropositivity threshold. There was no difference in the seropositive rates between the three groups for IgM (Fig. 3A). For total IgG, the seropositive rates were similar between the patients (94 %) and the asymptomatic carriers (91 %). Both groups had a higher seropositive rate than the uninfected villagers did (0 %) (Fisher`s exact test, p < 0.0001) (Fig. 3A). IgG1 seropositivity followed a similar trend (patients 44 % and asymptomatic carriers 59 %), albeit at lower rates in the two infected groups (Fig. 3B). For IgG2, the seropositive rates were low and indistinguishable in all three groups. For IgG3, the seropositive rate was higher in the asymptomatic carriers (95 %) compared to the patients (68 %) (Fisher exact test, p = 0.0183), who in turn, had a higher seropositive rate than the uninfected villagers (22 %) (Fisher’s exact test, p = 0.0226) (Fig. 3B). Fig. 3 Anti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test) Anti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test) RBP2P1-mediated complement fixation The complement-fixing activities of anti-RBP2P1 antibodies were assessed. The same subpopulation of 22 asymptomatic carriers, 34 patients, and 9 uninfected villagers used for IgG subtyping were subjected to an ELISA-based complement fixation assay (Fig. 4). A set of 15 healthy Bangkok donors were also used as the control. This assay infers the complement fixing activity from the ability of anti-RBP2P1 antibodies to bind human C1q, the first step of the classical complement pathway. Because the asymptomatic and patient groups have indistinguishable complement-fixing activity (data not shown), they were combined into a single P. vivax ‘infected’ group (Fig. 4). This group had significantly higher level of complement-fixing activity than the uninfected villagers and the Bangkok donors (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0001 and p = 0.0002, respectively) (Fig. 4). Fig. 4 Complement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) Complement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) To test whether the higher complement-fixing activity in the P. vivax infected individuals (n = 56) is associated with IgM and cytophilic antibodies, correlation analysis was performed (Fig. 5). The results show that the levels of IgG1 and IgG3 subtypes, but not IgM, were rank-correlated with complement-fixing activity (Spearman’s rank correlation, p ≤ 0.011). In a multivariate linear regression model using IgM, IgG1, and IgG3 as independent variables, only IgG3 remains significantly associated with complement-fixing activity (p = 0.018). Fig. 5 Complement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation Complement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation The complement-fixing activities of anti-RBP2P1 antibodies were assessed. The same subpopulation of 22 asymptomatic carriers, 34 patients, and 9 uninfected villagers used for IgG subtyping were subjected to an ELISA-based complement fixation assay (Fig. 4). A set of 15 healthy Bangkok donors were also used as the control. This assay infers the complement fixing activity from the ability of anti-RBP2P1 antibodies to bind human C1q, the first step of the classical complement pathway. Because the asymptomatic and patient groups have indistinguishable complement-fixing activity (data not shown), they were combined into a single P. vivax ‘infected’ group (Fig. 4). This group had significantly higher level of complement-fixing activity than the uninfected villagers and the Bangkok donors (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0001 and p = 0.0002, respectively) (Fig. 4). Fig. 4 Complement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) Complement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) To test whether the higher complement-fixing activity in the P. vivax infected individuals (n = 56) is associated with IgM and cytophilic antibodies, correlation analysis was performed (Fig. 5). The results show that the levels of IgG1 and IgG3 subtypes, but not IgM, were rank-correlated with complement-fixing activity (Spearman’s rank correlation, p ≤ 0.011). In a multivariate linear regression model using IgM, IgG1, and IgG3 as independent variables, only IgG3 remains significantly associated with complement-fixing activity (p = 0.018). Fig. 5 Complement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation Complement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation IgM and total IgG in the community survey: 525 plasma samples from a cross-sectional survey in Kanchanaburi province were used to examine the presence of RBP2P1 antibodies in the community. The age of the study participants showed a positive correlation with total IgG (Spearman ρ = 0.317, p = 0.01), but a negative correlation with IgM (Spearman ρ = − 0.144, p = 0.001). When the cross-sectional samples were classified into four age groups: 0–6 years, 7–12 years, 13–17 years and ≥ 18 years, the anti-RBP2P1 IgM levels were higher (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0168) in children aged 7–12 years compared to adults (Fig. 1A). The IgG response (Fig. 1A) was higher in the adult group compared with all younger groups (p < 0.001). Consistently, IgG seropositivity in the adult group was higher compared to the other three groups (Fisher’s exact test, p < 0.01 for all pairwise comparison) (Fig. 1B). There were no significant differences among the age groups for IgM seropositivity (Fisher’s exact test, p > 0.05 for all pairwise comparison) (Fig. 1B). Fig. 1 IgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 IgM and IgG responses in a cross-sectional survey: A Antibody levels. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Differences in the antibody levels between the age groups were analyzed with Kruskal-Wallis test with Dunn’s multiple-comparison test. B Seropositive rates. Bars represent the proportions of IgM and IgG seropositive individuals in the different age groups. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. Error bars indicate 95 % confidence intervals. Differences between the groups were analyzed with Fisher’s exact test. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 Comparison between P. vivax asymptomatic carriers, patients, and uninfected individuals: 34 P. vivax malaria patients and 31 selected individuals from the cross-sectional survey (22 asymptomatic P. vivax carriers + 9 healthy parasite-free villagers who reported never to have had malaria) were selected for further comparative analysis. The patient specimens were obtained from the malaria clinic in the study village at roughly the same time period (2012–2013). The plasma samples were tested for anti-RBP2P1 IgM, total IgG, IgG1, IgG2, IgG3 and IgG4. The median of anti-RBP2P1 IgM levels in P. vivax patients did not differ from that of asymptomatic carriers, but it was higher than that of uninfected villagers or healthy Bangkok donors (Fig. 2A). A similar pattern was found for total IgG (Fig. 2A) as well as IgG1 and IgG3 (Fig. 2B). No statistically significant difference was detected between the four groups for IgG2 (Fig. 2B). IgG4 was not detected in any sample. Fig. 2 Anti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) Anti-RBP2P1 IgM, IgG and IgG subtype responses in different types of donors. A IgM and IgG responses of a subset of the cross-sectional survey samples (asymptomatic carriers and uninfected villagers), patients and Bangkok donors. B IgG1, IgG2 and IgG3 responses in the same four groups. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) The anti-RBP2P1 seropositive rates in asymptomatic carriers, patients, and uninfected villagers were also compared. The mean + 2SD value of the Bangkok donors was used as the seropositivity threshold. There was no difference in the seropositive rates between the three groups for IgM (Fig. 3A). For total IgG, the seropositive rates were similar between the patients (94 %) and the asymptomatic carriers (91 %). Both groups had a higher seropositive rate than the uninfected villagers did (0 %) (Fisher`s exact test, p < 0.0001) (Fig. 3A). IgG1 seropositivity followed a similar trend (patients 44 % and asymptomatic carriers 59 %), albeit at lower rates in the two infected groups (Fig. 3B). For IgG2, the seropositive rates were low and indistinguishable in all three groups. For IgG3, the seropositive rate was higher in the asymptomatic carriers (95 %) compared to the patients (68 %) (Fisher exact test, p = 0.0183), who in turn, had a higher seropositive rate than the uninfected villagers (22 %) (Fisher’s exact test, p = 0.0226) (Fig. 3B). Fig. 3 Anti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test) Anti-RBP2P1 seropositivity rates in different types of villagers. A IgM and IgG seropositivity rates in P. vivax asymptomatic carriers, patients, and uninfected villagers. The seropositive cut off values (mean + 2SD) for antibody types were: IgM 8.82 × 10− 3 and IgG 9.32 × 10− 4. B IgG1, IgG2 and IgG3 seropositivity rates in the same three groups. The seropositive cut off values for antibody types were: IgG1 1.60 × 10− 3, IgG2 2.01 × 10− 2 and IgG3 4.89 × 10− 3. Error bars indicate the 95 % confidence intervals. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Fisher’s exact test) RBP2P1-mediated complement fixation: The complement-fixing activities of anti-RBP2P1 antibodies were assessed. The same subpopulation of 22 asymptomatic carriers, 34 patients, and 9 uninfected villagers used for IgG subtyping were subjected to an ELISA-based complement fixation assay (Fig. 4). A set of 15 healthy Bangkok donors were also used as the control. This assay infers the complement fixing activity from the ability of anti-RBP2P1 antibodies to bind human C1q, the first step of the classical complement pathway. Because the asymptomatic and patient groups have indistinguishable complement-fixing activity (data not shown), they were combined into a single P. vivax ‘infected’ group (Fig. 4). This group had significantly higher level of complement-fixing activity than the uninfected villagers and the Bangkok donors (Kruskal-Wallis test with Dunn’s multiple-comparison test, p = 0.0001 and p = 0.0002, respectively) (Fig. 4). Fig. 4 Complement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) Complement-fixing (C1q-binding) activity of different types of donor plasmas. Box-plots represent the median and the interquartile range; error bars indicate the 5–95 percentiles; filled symbols represent outliers. Filled symbols represent outliers. ****p < 0.0001, ***p < 0.001, **p < 0.01, *p < 0.05 (Kruskal-Wallis test with Dunn’s multiple-comparisons test) To test whether the higher complement-fixing activity in the P. vivax infected individuals (n = 56) is associated with IgM and cytophilic antibodies, correlation analysis was performed (Fig. 5). The results show that the levels of IgG1 and IgG3 subtypes, but not IgM, were rank-correlated with complement-fixing activity (Spearman’s rank correlation, p ≤ 0.011). In a multivariate linear regression model using IgM, IgG1, and IgG3 as independent variables, only IgG3 remains significantly associated with complement-fixing activity (p = 0.018). Fig. 5 Complement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation Complement-fixing activity correlates with the IgG1 and IgG3 levels. Antibody levels in arbitrary units (AU) of infected individuals are plotted as a function of complement-fixing (C1q-binding) activity (n = 56). rs, Spearman’s rank correlation Discussion: Naturally acquired antibodies are important factors in protective immunity against malaria [20, 21]. Many merozoite antigens are natural immunogens and actively being pursued as vaccine targets. For P. falciparum blood-stage vaccines, several targets, including AMA1, EBA175, GLURP, MSP1, MSP2 and MSP3, have reached clinical trials, and more recent candidates such as reticulocyte-binding protein homolog 5 (PfRh5) are under active research [7, 22]. For the blood stage P. vivax vaccine, DBP has been the sole intensively studied candidate [7]. Over the past five years P. vivax RBPs have garnered increasing attention as functional invasion ligands of the parasite, markers of exposure, and vaccines candidates [5, 12, 23, 24]. Two members of the family, RBP1a and RBP2b, appear promising for further vaccine development [5]. RBP2P1 is the most recently characterized member of the RBP family [13]. Its small size of 72 kDa allows the nearly full-length recombinant protein expression [13]. Compared to the other members, the antibody response to RBP2P1 has been less well investigated. In this study, the naturally acquired antibody responses to RBP2P1 among villagers living in a P. vivax endemic area of western Thailand were measured. Although the transmission intensity in the study site in Thailand was low (3.1 % P. vivax prevalence by qPCR), several villagers still had protective immunity as they could carry the parasite without becoming sick [3, 17]. In this population, the IgM response showed a weak negative correlation with age. In addition, IgG tended to increase with age, similar to trends observed with many P. vivax antigens [18, 25–27]. These correlations presumably reflect the maturation of the host immune system from the IgM to the more specific IgG, after IgG memory being boosted over time by repeated exposures [28, 29]. In the adult group, only 7 % had ongoing P. vivax infection yet nearly half (48 %) were seropositive for RBP2P1 (Fig. 1C, D). Although the majority of P. vivax antigens were reported to have a half-life of less than 6 months [23], there is evidence of long-living antibodies, with PvMSP1 lasting from a year to 30 years and PvMSP8 from 8 to 12 years [30–35]. According to the antibody half-life model from Longley and coworkers who measured the antibody half-lives of over 300 P. vivax antigens, the estimated half-life of RBP2P1 antibodies is fairly long at 308 (95 % CI, 218–521) days [24]. Thus, in addition to recent exposure, the long half-life may contribute to the high anti-RBP2P1 IgG seropositivity rate among the uninfected villagers. The major IgG subtypes reactive to RBP2P1 were IgG1 and IgG3. This is similar to an earlier report for PvRBP1a and PvDBP [11]. The function of cytophilic antibody subtypes IgG1 and IgG3 may extend beyond interfering with red blood cell binding [13, 20] to encompass other effectors functions, such as opsonic phagocytosis [36], antibody-dependent cellular inhibition [37], and complement activation through binding to the C1q protein complex [38]. Between the two cytophilic subtypes, IgG3 is known to have a higher complement fixing potential [38]. We found that the IgG3 seropositivity was higher in asymptomatic carriers than in patients, paralleling the ability of the former groups to control the parasitaemia at a very low level. Previous studies have reported similar linkage between elevated IgG3 levels against merozoite antigens and protection from clinical symptoms, such as for P. falciparum MSP2, MSP3, AMA1, GLURP, EBA175 and P. vivax DBP, MSP1 and GAMA [39–43]. However, due to the nature of the cross-sectional study, it remains inconclusive whether IgG3 is responsible for the clinical protection. An analysis of a cohort from an endemic area would provide a clearer answer. It has become evident that the optimal antigen to be used for malaria vaccine development should not solely trigger the maximum antibody titers, but that these antibodies should also have a function [38]. New tests are needed to assess antibody’s functional properties because the traditional growth inhibition assay does not always predict the protection gained by natural infection or vaccine induced immunity [8, 19]. Additional assays are particularly important with P. vivax, which cannot be cultured, making it challenging to test most interventions. The recently developed complement-fixation assay is a useful tool to test whether antibodies against malaria antigens are able to fix the complement, leading to complement-mediated killing of the parasites [19]. Several P. falciparum antigens have been identified as targets of complement-fixing antibodies [19, 44]. Of particular interest is circumsporozoite protein PfCSP, the most prominent malaria vaccine target. The major antibody types targeting PfCSP were IgM and cytophilic antibodies IgG1 and IgG3, and they all were able to fix complement in the classical pathway [44]. Only one P. vivax antigen, Merozoite Surface Protein 3α (PvMSP3α), has been subjected to the complement-fixing assay. RBP2P1 is the second target evaluated [45]. With PvMSP3α both cytophilic subtypes, IgG1 and IgG3 as well as IgM showed correlation with complement fixation similar to PfCSP [45]. For RBP2P1, IgG3 has the most robust correlation with complement fixation. Conclusions: The naturally-acquired humoral immune response against P. vivax merozoite protein RBP2P1 is biased towards cytophilic antibodies IgG1 and IgG3. The IgG3 seropositivity rate against RBP2P1 was higher in asymptomatic P. vivax carriers than in clinical P. vivax malaria patients. The level of IgG3 antibody subtype was correlated with complement fixation activity, suggesting that RBP2P1 is a target of functional human immune response to P. vivax infection.
Background: Plasmodium vivax is the most prevalent malaria parasite in many countries. A better understanding of human immunity to this parasite can provide new insights for vaccine development. Plasmodium vivax Reticulocyte Binding Proteins (RBPs) are key parasite proteins that interact with human proteins during erythrocyte invasion and are targets of the human immune response. The aim of this study is to characterize the human antibody response to RBP2P1, the most recently described member of the RBP family. Methods: The levels of total IgG and IgM against RBP2P1 were measured using plasmas from 68 P. vivax malaria patients and 525 villagers in a malarious village of western Thailand. The latter group comprises asymptomatic carriers and healthy uninfected individuals. Subsets of plasma samples were evaluated for anti-RBP2P1 IgG subtypes and complement-fixing activity. Results: As age increased, it was found that the level of anti-RBP2P1 IgG increased while the level of IgM decreased. The main anti-RBP2P1 IgG subtypes were IgG1 and IgG3. The IgG3-seropositive rate was higher in asymptomatic carriers than in patients. The higher level of IgG3 was correlated with higher in vitro RBP2P1-mediated complement fixing activity. Conclusions: In natural infection, the primary IgG response to RBP2P1 was IgG1 and IgG3. The predominance of these cytophilic subtypes and the elevated level of IgG3 correlating with complement fixing activity, suggest a possible role of anti-RBP2P1 antibodies in immunity against P. vivax.
Background: Plasmodium vivax malaria remains a major public health problem in many countries. At present, there is no approved vaccine for P. vivax, but such a vaccine would be highly useful for the global malaria eradication. Several types of vaccines have been considered for P. vivax malaria, including one to prevent or eliminate liver stage infection (pre-erythrocytic vaccine), one to reduce blood stage parasitaemia (blood stage vaccine), and one to block transmission from humans to mosquitoes (transmission-blocking vaccine). Blood stage vaccines are aimed to neutralize red cell infection, which is the immediate cause of malaria symptoms. Blood stage vaccines for P. vivax will help reduce disease transmission because the density of gametocytes, the stage transmissible to the mosquitoes, is closely linked to the total blood parasitaemia [1–3]. Several P. vivax asexual blood stage antigens have been considered for vaccine development, including Duffy binding protein (DBP) [4], several Reticulocyte binding proteins (RBPs) [5], apical membrane antigen 1 (AMA1), and merozoite surface proteins (MSPs) [6]. Currently the most advanced candidate is the P. vivax Duffy Binding Protein (PvDBP), which has entered Phase 1a clinical trials [7, 8]. Other targets [5, 8] are much further behind and new candidates are still needed to maintain a healthy vaccine development pipeline. Plasmodium vivax RBPs are a major group of P. vivax invasion ligands. Human antibodies to some of these proteins have been shown to be associated with clinical protection [9–11]. Antibodies to one of them, RBP2b, directly inhibit erythrocyte invasion [12]. Recently, we characterized a novel RBP, RBP2P1, and found that a higher level of total IgG to RBP2P1 is associated with lower parasitaemia, suggesting an involvement in functional immunity [13]. However, the analysis was limited to total IgG. This study aims to provide a more complete account of human antibody response to RBP2P1. Plasmas from acute P. vivax malaria patients and the general population in an endemic area in Thailand were examined for IgM, total IgG, IgG subtypes, and anti-RBP2P1 antibody-mediated complement fixing activity. Conclusions: The naturally-acquired humoral immune response against P. vivax merozoite protein RBP2P1 is biased towards cytophilic antibodies IgG1 and IgG3. The IgG3 seropositivity rate against RBP2P1 was higher in asymptomatic P. vivax carriers than in clinical P. vivax malaria patients. The level of IgG3 antibody subtype was correlated with complement fixation activity, suggesting that RBP2P1 is a target of functional human immune response to P. vivax infection.
Background: Plasmodium vivax is the most prevalent malaria parasite in many countries. A better understanding of human immunity to this parasite can provide new insights for vaccine development. Plasmodium vivax Reticulocyte Binding Proteins (RBPs) are key parasite proteins that interact with human proteins during erythrocyte invasion and are targets of the human immune response. The aim of this study is to characterize the human antibody response to RBP2P1, the most recently described member of the RBP family. Methods: The levels of total IgG and IgM against RBP2P1 were measured using plasmas from 68 P. vivax malaria patients and 525 villagers in a malarious village of western Thailand. The latter group comprises asymptomatic carriers and healthy uninfected individuals. Subsets of plasma samples were evaluated for anti-RBP2P1 IgG subtypes and complement-fixing activity. Results: As age increased, it was found that the level of anti-RBP2P1 IgG increased while the level of IgM decreased. The main anti-RBP2P1 IgG subtypes were IgG1 and IgG3. The IgG3-seropositive rate was higher in asymptomatic carriers than in patients. The higher level of IgG3 was correlated with higher in vitro RBP2P1-mediated complement fixing activity. Conclusions: In natural infection, the primary IgG response to RBP2P1 was IgG1 and IgG3. The predominance of these cytophilic subtypes and the elevated level of IgG3 correlating with complement fixing activity, suggest a possible role of anti-RBP2P1 antibodies in immunity against P. vivax.
13,459
272
[ 413, 3464, 198, 306, 65, 639, 377, 119, 594, 1032, 593 ]
14
[ "igg", "test", "igm", "vivax", "groups", "complement", "antibody", "fig", "anti", "igg3" ]
[ "protective immunity malaria", "malaria vaccine development", "antibodies malaria antigens", "malaria vaccine target", "malaria antigens able" ]
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[CONTENT] Plasmodium vivax | Malaria | Cytophilic | Complement | Antibody | Serology [SUMMARY]
null
[CONTENT] Plasmodium vivax | Malaria | Cytophilic | Complement | Antibody | Serology [SUMMARY]
[CONTENT] Plasmodium vivax | Malaria | Cytophilic | Complement | Antibody | Serology [SUMMARY]
[CONTENT] Plasmodium vivax | Malaria | Cytophilic | Complement | Antibody | Serology [SUMMARY]
[CONTENT] Plasmodium vivax | Malaria | Cytophilic | Complement | Antibody | Serology [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Child | Child, Preschool | Female | Humans | Immunity, Humoral | Infant | Infant, Newborn | Malaria, Vivax | Male | Membrane Proteins | Middle Aged | Plasmodium vivax | Protozoan Proteins | Young Adult [SUMMARY]
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[CONTENT] Adolescent | Adult | Aged | Child | Child, Preschool | Female | Humans | Immunity, Humoral | Infant | Infant, Newborn | Malaria, Vivax | Male | Membrane Proteins | Middle Aged | Plasmodium vivax | Protozoan Proteins | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Child | Child, Preschool | Female | Humans | Immunity, Humoral | Infant | Infant, Newborn | Malaria, Vivax | Male | Membrane Proteins | Middle Aged | Plasmodium vivax | Protozoan Proteins | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Child | Child, Preschool | Female | Humans | Immunity, Humoral | Infant | Infant, Newborn | Malaria, Vivax | Male | Membrane Proteins | Middle Aged | Plasmodium vivax | Protozoan Proteins | Young Adult [SUMMARY]
[CONTENT] Adolescent | Adult | Aged | Child | Child, Preschool | Female | Humans | Immunity, Humoral | Infant | Infant, Newborn | Malaria, Vivax | Male | Membrane Proteins | Middle Aged | Plasmodium vivax | Protozoan Proteins | Young Adult [SUMMARY]
[CONTENT] protective immunity malaria | malaria vaccine development | antibodies malaria antigens | malaria vaccine target | malaria antigens able [SUMMARY]
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[CONTENT] protective immunity malaria | malaria vaccine development | antibodies malaria antigens | malaria vaccine target | malaria antigens able [SUMMARY]
[CONTENT] protective immunity malaria | malaria vaccine development | antibodies malaria antigens | malaria vaccine target | malaria antigens able [SUMMARY]
[CONTENT] protective immunity malaria | malaria vaccine development | antibodies malaria antigens | malaria vaccine target | malaria antigens able [SUMMARY]
[CONTENT] protective immunity malaria | malaria vaccine development | antibodies malaria antigens | malaria vaccine target | malaria antigens able [SUMMARY]
[CONTENT] igg | test | igm | vivax | groups | complement | antibody | fig | anti | igg3 [SUMMARY]
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[CONTENT] igg | test | igm | vivax | groups | complement | antibody | fig | anti | igg3 [SUMMARY]
[CONTENT] igg | test | igm | vivax | groups | complement | antibody | fig | anti | igg3 [SUMMARY]
[CONTENT] igg | test | igm | vivax | groups | complement | antibody | fig | anti | igg3 [SUMMARY]
[CONTENT] igg | test | igm | vivax | groups | complement | antibody | fig | anti | igg3 [SUMMARY]
[CONTENT] stage | vaccine | blood | blood stage | vivax | proteins | vaccines | parasitaemia | malaria | total [SUMMARY]
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[CONTENT] test | fig | seropositive | igm | represent | igg | groups | rates | fixing | complement fixing [SUMMARY]
[CONTENT] immune response | immune response vivax | response vivax | immune | vivax | igg3 | rbp2p1 | response | activity suggesting rbp2p1 target | humoral [SUMMARY]
[CONTENT] vivax | test | igg | complement | igm | pbs | groups | malaria | igg3 | rbp2p1 [SUMMARY]
[CONTENT] vivax | test | igg | complement | igm | pbs | groups | malaria | igg3 | rbp2p1 [SUMMARY]
[CONTENT] ||| ||| ||| Reticulocyte Binding Proteins ||| RBP [SUMMARY]
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[CONTENT] IgG ||| IgG ||| ||| [SUMMARY]
[CONTENT] IgG ||| [SUMMARY]
[CONTENT] ||| ||| ||| Reticulocyte Binding Proteins ||| RBP ||| IgG | 68 | 525 | Thailand ||| ||| IgG ||| ||| IgG ||| IgG ||| ||| ||| IgG ||| [SUMMARY]
[CONTENT] ||| ||| ||| Reticulocyte Binding Proteins ||| RBP ||| IgG | 68 | 525 | Thailand ||| ||| IgG ||| ||| IgG ||| IgG ||| ||| ||| IgG ||| [SUMMARY]
Synchronous or sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis.
33761925
Bilateral osseous ankylosed hips secondary to ankylosis spondylitis (AS) are relatively rare but impact the quality of life hugely. Cementless total hip arthroplasty (THA) for bilateral osseous ankylosed hips with AS is a challenging procedure. No previous literature compares the clinical outcomes of synchronous and sequential bilateral THA for these special patients.
BACKGROUND
23 patients (46 hips) were retrospectively analyzed and divided into bilateral THA synchronously (group A) and sequentially (group B). The clinical measurement, radiological assessments, and complications were compared. Independent sample T test was used for data analysis.
METHODS
Harris Hip Scores (HHS) improved greatly for both groups (P = 0.58) as well as the range of motion (P = 0.64). But group B can realize shorter time (3.6 ± 1.2 days) to walk for the first time postoperatively (P = 0.02). Group A needed more blood transfusions (P = 0.028). For group A, no statistical difference was found in the bilateral inclination of cup (IC) (P = 0.48) and femoral offset (FO) (P = 0.07). For group B, no statistical difference was observed in bilateral IC (P = 0.37) but in bilateral FO (P = 0.04). Group A showed the fewer difference of bilateral IC (P = 0.02), while comparative measurements were found for two groups in the difference of bilateral FO (P = 0.78) and leg length discrepancy (P = 0.83). For both groups, the total hospital expense for each patient was similar and almost all patients were very satisfied with the outcomes. For group A, one patient encountered femoral fracture intraoperatively and another patient encountered hip dislocation and delay union of wound. 3 hips from group A and 3 hips from group B encountered heterotopic ossification.
RESULTS
Our retrospective research demonstrated that cementless bilateral THA was a reliable treatment for osseous ankylosed hip due to AS. Synchronous and sequential bilateral THA can realize similarly satisfactory clinical outcomes and radiographic evaluation.
CONCLUSIONS
[ "Arthroplasty, Replacement, Hip", "Follow-Up Studies", "Hip Joint", "Hip Prosthesis", "Humans", "Quality of Life", "Retrospective Studies", "Spondylitis, Ankylosing", "Treatment Outcome" ]
7988988
Background
Ankylosing spondylitis (AS) is an inflammation spondyloarthritis affecting the axial spine and peripheral joints and characterized by low back pain and limited range of motion (ROM) of lumbar spine [1, 2]. And AS is diagnosed using the modified New York criteria requiring image change of sacroiliitis and painful reduction of lumbar spine ROM as well as stiffness more than 3 months [3]. Hips are the most common peripheral joints involved and approximately 25 %~50 % of patients can encounter hip involved [4, 5], of which 90 % presents bilateral hip ankylosis [6]. The end-stage hip ankylosis usually manifests osseous ankylosis with the total loss of hip ROM [7]. Although bilateral hip fusion leads to stable and painless hip, yet the loss of hip function and premature degeneration of neighboring joints harm the quality of life, especially for suboptimal hip fusion for a long period [8–10]. Total hip arthroplasty (THA) can relieve pain and recover the ROM of the hip to improve joint function and self-care ability [11]. Also, many literatures have reported good radiographic outcomes and improvements in hip function [7, 12–14]. However, for bilateral osseous ankylosed hips with AS, there is no consensus on synchronous or sequential THA for these special patients. There are many difficulties for bony ankylosed hip conversion to THA, which include the exposure of surgical area [7], the ambiguous identification of original joint plane [7], disuse osteoporosis [15], weakness of abductor muscle [16], and pelvic obliquity [12]. For bilateral bony ankylosed hips with AS, while synchronous THA may prolong operation time and cause more blood loss, bilateral hip lesions can be solved simultaneously. Moreover, two flectional hips can be favorable for functional rehabilitation postoperatively. Comparatively, sequential THA for these patients shorten operation time and cause less surgical damage, yet the temporary unhandled ankylosed hip can be an obstacle to the rehabilitation of the operated hip. Additionally, the total two hospitalization expenses may be more than that of synchronous procedure. Currently, the literatures just reported synchronous or sequential THA for osseous ankylosed hips with AS [7, 12–14] with the limitations such as different types of cementless cup, cemented or cementless stem [12], short time of follow-up [14], and small study population [7]. There was no report comparing the clinical and radiographic outcomes of synchronous and sequential cementless bilateral THA for osseous ankylosed hips with AS. To our knowledge, this study compared the clinical and radiographic outcomes of synchronous and sequential cementless bilateral THA to correct hip osseous ankylosis with AS for the first time. And it was also the currently largest sample-size research on the outcomes of THA for bilateral ankylosed hips with AS. It was hypothesized that for osseous ankylosed hips with AS, synchronous cementless bilateral THA can realize similar outcomes with sequential THA.
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Results
Clinical outcomes The preoperative hip flexion contracture showed (39.3 ± 20.3)° for group A and (37.7 ± 18.7) ° for group B (P = 0.40) in Table 2. The average preoperative HHS increased from preoperative 30.5 ± 5.9 to 84.0 ± 2.8 at the latest follow-up for group A and from preoperative 31.4 ± 4.6 to 83.4 ± 2.0 for group B. Moreover, all of the hips lost total ROM of hip preoperatively, but at the latest follow-up, the average flection-extension ROM was 85.7 ± 4.5° for group A and 85.1 ± 4.1° for group B. The average flexion and extension were 86.5 ± 4.4° and 0.73 ± 2.4° for group A and 85.7 ± 3.5° and 0.54 ± 1.9° for group B, respectively. No statistical difference was found in both groups, but large improvement was realized postoperatively (Table 2). Table 2Clinical outcomes of all included patients preoperatively and postoperativelyVariableGroup A (22 hips)Group B (24 hips)T valueP valuePreoperative hip contracture (°)39.3 ± 20.337.7 ± 18.70.280.40Preoperative HHS30.5 ± 5.931.4 ± 4.6-0.620.58Postoperative HHS84.0 ± 2.883.4 ± 2.00.890.38Postoperative extension (°)0.73 ± 2.40.54 ± 1.90.290.77Postoperative flexion (°)86.5 ± 4.485.7 ± 3.50.670.50Postoperative ROM (°)85.7 ± 4.585.1 ± 4.10.470.64Time of walking for the first time postoperatively5.1 ± 2.63.6 ± 1.22.430.02*average blood transfusions (U)3 ± 3.970.71 ± 1.992.290.028*blood transfusion rate8/11(72.7 %)5/24 (20.8 %)--Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyROM range of motionHHS Harris Hip scoreP values with statistical significance are marked with * Clinical outcomes of all included patients preoperatively and postoperatively Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty ROM range of motion HHS Harris Hip score P values with statistical significance are marked with * However, the statistical difference was found that the patients receiving synchronous bilateral THAs needed more time to walk for the first time postoperatively with 5.1 ± 2.6 days, while it was 3.6 ± 1.2 days for group B (P = 0.02) (Table 2). The average interval time between two operations was 40.8 ± 23.0 days for group B. Furthermore, blood transfusions perioperatively were also different between the two groups. Average blood transfusions were 3 ± 3.97 U for group A and 0.71 ± 1.99 U for group B (i = 0.028), while the blood transfusion rate was 8/11 (72.7 %) for group A and 5/24 (20.8 %) for group B. The average hospital expense of bilateral THA was (108,660 ± 6440) RMB for group A, while it was (113,238 ± 6759) RMB for group B. Although no statistical difference was found between groups on hospital expense (P = 0.90), the average hospital expense for group A was less than that of group B. For group A, 10 patients were very satisfactory and 1 patient was satisfied with the outcomes. And all 12 patients of group B were very satisfied with the outcomes. None was unsatisfactory with the outcomes. The preoperative hip flexion contracture showed (39.3 ± 20.3)° for group A and (37.7 ± 18.7) ° for group B (P = 0.40) in Table 2. The average preoperative HHS increased from preoperative 30.5 ± 5.9 to 84.0 ± 2.8 at the latest follow-up for group A and from preoperative 31.4 ± 4.6 to 83.4 ± 2.0 for group B. Moreover, all of the hips lost total ROM of hip preoperatively, but at the latest follow-up, the average flection-extension ROM was 85.7 ± 4.5° for group A and 85.1 ± 4.1° for group B. The average flexion and extension were 86.5 ± 4.4° and 0.73 ± 2.4° for group A and 85.7 ± 3.5° and 0.54 ± 1.9° for group B, respectively. No statistical difference was found in both groups, but large improvement was realized postoperatively (Table 2). Table 2Clinical outcomes of all included patients preoperatively and postoperativelyVariableGroup A (22 hips)Group B (24 hips)T valueP valuePreoperative hip contracture (°)39.3 ± 20.337.7 ± 18.70.280.40Preoperative HHS30.5 ± 5.931.4 ± 4.6-0.620.58Postoperative HHS84.0 ± 2.883.4 ± 2.00.890.38Postoperative extension (°)0.73 ± 2.40.54 ± 1.90.290.77Postoperative flexion (°)86.5 ± 4.485.7 ± 3.50.670.50Postoperative ROM (°)85.7 ± 4.585.1 ± 4.10.470.64Time of walking for the first time postoperatively5.1 ± 2.63.6 ± 1.22.430.02*average blood transfusions (U)3 ± 3.970.71 ± 1.992.290.028*blood transfusion rate8/11(72.7 %)5/24 (20.8 %)--Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyROM range of motionHHS Harris Hip scoreP values with statistical significance are marked with * Clinical outcomes of all included patients preoperatively and postoperatively Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty ROM range of motion HHS Harris Hip score P values with statistical significance are marked with * However, the statistical difference was found that the patients receiving synchronous bilateral THAs needed more time to walk for the first time postoperatively with 5.1 ± 2.6 days, while it was 3.6 ± 1.2 days for group B (P = 0.02) (Table 2). The average interval time between two operations was 40.8 ± 23.0 days for group B. Furthermore, blood transfusions perioperatively were also different between the two groups. Average blood transfusions were 3 ± 3.97 U for group A and 0.71 ± 1.99 U for group B (i = 0.028), while the blood transfusion rate was 8/11 (72.7 %) for group A and 5/24 (20.8 %) for group B. The average hospital expense of bilateral THA was (108,660 ± 6440) RMB for group A, while it was (113,238 ± 6759) RMB for group B. Although no statistical difference was found between groups on hospital expense (P = 0.90), the average hospital expense for group A was less than that of group B. For group A, 10 patients were very satisfactory and 1 patient was satisfied with the outcomes. And all 12 patients of group B were very satisfied with the outcomes. None was unsatisfactory with the outcomes. Radiographic evaluation For group A, at the latest follow-up, there was no difference in the average IC between the right and left hips (P = 0.48) (Fig. 1). Similarly, the same result was found in group B (P = 0.37) (Fig. 2). For the FO, the patients in group A showed no difference between the right and left hips (P = 0.07), while the statistical difference was found in group B (P = 0.04) (Table 3). Also, we compared the difference of bilateral IC and the difference of bilateral FO for both groups (Table 4). The differences of bilateral IC were 3.0 ± 2.1°for group A and 5.5 ± 2.4°for group B (P = 0.02). Meanwhile, the differences of bilateral FO were 0.35 ± 0.27 cm for group A and 0.32 ± 0.21 cm for group B. And LLD were 0.48 ± 0.39 cm for group A and 0.45 ± 0.31 cm for group B. No differences were found between groups for the differences of bilateral FO (P = 0.78) and LLD (P = 0.83). 5 patients (10 hips) for group A and 6 patients (12 hips) for group B used additional screws for fixation (Table 1) and no influence on the final results was observed. Table 3Radiographic evaluation of the included patients between groupsVariableGroup A (22 hips)Group B (24 hips)Right hipsLeft hipsTPRight hipsLeft hipsTPAverage IC (°)39.6 ± 3.838.8 ± 5.10.730.4841.5 ± 4.439.9 ± 5.20.940.37Average FO (cm)4.6 ± 0.64.4 ± 0.62.160.074.1 ± 0.33.9 ± 0.32.340.04*Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyIC inclination of cup; FO femoral offsetP values with statistical significance are marked with *Fig. 1Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the componentFig. 2Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis Radiographic evaluation of the included patients between groups Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty IC inclination of cup; FO femoral offset P values with statistical significance are marked with * Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the component Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis Radiographic evaluation of the included patients between groups postoperatively Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty IC inclination of cup; FO femoral offset; LLD leg length discrepancy P values with statistical significance are marked with * For group A, at the latest follow-up, there was no difference in the average IC between the right and left hips (P = 0.48) (Fig. 1). Similarly, the same result was found in group B (P = 0.37) (Fig. 2). For the FO, the patients in group A showed no difference between the right and left hips (P = 0.07), while the statistical difference was found in group B (P = 0.04) (Table 3). Also, we compared the difference of bilateral IC and the difference of bilateral FO for both groups (Table 4). The differences of bilateral IC were 3.0 ± 2.1°for group A and 5.5 ± 2.4°for group B (P = 0.02). Meanwhile, the differences of bilateral FO were 0.35 ± 0.27 cm for group A and 0.32 ± 0.21 cm for group B. And LLD were 0.48 ± 0.39 cm for group A and 0.45 ± 0.31 cm for group B. No differences were found between groups for the differences of bilateral FO (P = 0.78) and LLD (P = 0.83). 5 patients (10 hips) for group A and 6 patients (12 hips) for group B used additional screws for fixation (Table 1) and no influence on the final results was observed. Table 3Radiographic evaluation of the included patients between groupsVariableGroup A (22 hips)Group B (24 hips)Right hipsLeft hipsTPRight hipsLeft hipsTPAverage IC (°)39.6 ± 3.838.8 ± 5.10.730.4841.5 ± 4.439.9 ± 5.20.940.37Average FO (cm)4.6 ± 0.64.4 ± 0.62.160.074.1 ± 0.33.9 ± 0.32.340.04*Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyIC inclination of cup; FO femoral offsetP values with statistical significance are marked with *Fig. 1Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the componentFig. 2Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis Radiographic evaluation of the included patients between groups Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty IC inclination of cup; FO femoral offset P values with statistical significance are marked with * Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the component Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis Radiographic evaluation of the included patients between groups postoperatively Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty IC inclination of cup; FO femoral offset; LLD leg length discrepancy P values with statistical significance are marked with * Complications Only two hips in group A encountered early-onset complications. One femoral encountered fracture intraoperatively, which was fixed with several double-loop cerclage wires immediately. The patients mainly conducted the functional exercise in bed until the fracture healed. Another patient suffered from hip dislocation postoperatively and delay union of wound. With effective handling, no dislocation happened evermore and the wound recovered ultimately. For late-onset complications, three hips (13.6 %) in group A and three hips (12.5 %) in group B encountered asymptomatic HO, all of which belonged to Brooker I. Other complications such as dislocation, osteolysis, and loosening were not observed. Only two hips in group A encountered early-onset complications. One femoral encountered fracture intraoperatively, which was fixed with several double-loop cerclage wires immediately. The patients mainly conducted the functional exercise in bed until the fracture healed. Another patient suffered from hip dislocation postoperatively and delay union of wound. With effective handling, no dislocation happened evermore and the wound recovered ultimately. For late-onset complications, three hips (13.6 %) in group A and three hips (12.5 %) in group B encountered asymptomatic HO, all of which belonged to Brooker I. Other complications such as dislocation, osteolysis, and loosening were not observed.
Conclusions
Our retrospective research demonstrated that cementless bilateral THA was a reliable treatment for osseous ankylosed hip due to AS. Synchronous and sequential bilateral THA can realize similarly satisfactory clinical outcomes and radiographic evaluation.
[ "Background", "Methods", "Patients", "Surgical procedures", "Perioperative Regimen", "Clinical measurements", "Radiological assessments", "Complications", "Statistical analysis", "Clinical outcomes", "Radiographic evaluation", "Complications" ]
[ "Ankylosing spondylitis (AS) is an inflammation spondyloarthritis affecting the axial spine and peripheral joints and characterized by low back pain and limited range of motion (ROM) of lumbar spine [1, 2]. And AS is diagnosed using the modified New York criteria requiring image change of sacroiliitis and painful reduction of lumbar spine ROM as well as stiffness more than 3 months [3]. Hips are the most common peripheral joints involved and approximately 25 %~50 % of patients can encounter hip involved [4, 5], of which 90 % presents bilateral hip ankylosis [6]. The end-stage hip ankylosis usually manifests osseous ankylosis with the total loss of hip ROM [7]. Although bilateral hip fusion leads to stable and painless hip, yet the loss of hip function and premature degeneration of neighboring joints harm the quality of life, especially for suboptimal hip fusion for a long period [8–10]. Total hip arthroplasty (THA) can relieve pain and recover the ROM of the hip to improve joint function and self-care ability [11]. Also, many literatures have reported good radiographic outcomes and improvements in hip function [7, 12–14]. However, for bilateral osseous ankylosed hips with AS, there is no consensus on synchronous or sequential THA for these special patients.\nThere are many difficulties for bony ankylosed hip conversion to THA, which include the exposure of surgical area [7], the ambiguous identification of original joint plane [7], disuse osteoporosis [15], weakness of abductor muscle [16], and pelvic obliquity [12]. For bilateral bony ankylosed hips with AS, while synchronous THA may prolong operation time and cause more blood loss, bilateral hip lesions can be solved simultaneously. Moreover, two flectional hips can be favorable for functional rehabilitation postoperatively. Comparatively, sequential THA for these patients shorten operation time and cause less surgical damage, yet the temporary unhandled ankylosed hip can be an obstacle to the rehabilitation of the operated hip. Additionally, the total two hospitalization expenses may be more than that of synchronous procedure. Currently, the literatures just reported synchronous or sequential THA for osseous ankylosed hips with AS [7, 12–14] with the limitations such as different types of cementless cup, cemented or cementless stem [12], short time of follow-up [14], and small study population [7]. There was no report comparing the clinical and radiographic outcomes of synchronous and sequential cementless bilateral THA for osseous ankylosed hips with AS.\nTo our knowledge, this study compared the clinical and radiographic outcomes of synchronous and sequential cementless bilateral THA to correct hip osseous ankylosis with AS for the first time. And it was also the currently largest sample-size research on the outcomes of THA for bilateral ankylosed hips with AS. It was hypothesized that for osseous ankylosed hips with AS, synchronous cementless bilateral THA can realize similar outcomes with sequential THA.", "Data were collected by retrospective review of a prospective database from January 2010 to December 2017. Study approval was obtained from the Clinical Trials and Biomedical Ethics Committee of West China Hospital, and all participants signed informed consents for the use of their data. The data included patient demographics, time of walking for the first time postoperatively, preoperative hip flexion contracture, total hospital expense, satisfactory level, range of flection-extension motion, Harris Hip Scores (HHS), transfusion, radiological assessments, and complications.\nPatients The inclusion criteria: patients diagnosed with AS and performed primary cementless THA; patients with bilateral osseous ankylosed hips and trabecula bridging the joint plane on radiograph; total loss of hip ROM; patients receiving bilateral THA synchronously or sequentially. the exclusion criteria: bilateral osseous ankylosed hips caused by other reasons; unilateral osseous ankylosed hip with AS; fibrous ankylosis of the hip and no trabecula bridging the joint plane on radiograph; patients just receiving unilateral THA; the patients lost to follow-up.\nUltimately, we analyzed the data of the patients receiving bilateral THA synchronously (group A) and bilateral THA sequentially (group B). The synchronous or sequential procedures were based on patients’ financial situation and patients’ choice. For the surgeon, surgery could be performed, if the patients meet preoperative screening. All hips were identified as bony ankylosed hip with the total loss of ROM. The patients have been diagnosed with AS for many years and irregular treatment was done. All patients had total loss ROM of lumbar without ankylosis of the knee. 1 patient of group A and 1 patient of group B received lumbar spinal osteotomy and fusion before THA. We called up the patients to accomplish follow-up. And we obtained the latest clinical and radiological outcomes. 11 patients (22 hips) in group A and 12 patients (24 hips) in group B were followed up. The demographic data of the patients were summarized in Table 1. The mean duration of the follow-up was 81.9 ± 36.3 months for group A and 79.9 ± 29.1 months for group B (P = 0.84).\nTable 1Baseline Characteristics of all included patientsVariableGroup A (22 hips)Group B (24 hips)T valueP valueM/F10/110/2--Height (cm)161.9 ± 9.0160.0 ± 5.10.880.37Weight (Kg)59.9 ± 10.758.1 ± 6.60.690.50BMI (Kg/m2)22.7 ± 3.322.7 ± 2.5-0.020.98Friction couples Ceramic-on ceramic1818-- Ceramic-on-polyethylene46-- Additional screws fixation (patients/hips)5/106/12-- Average follow-up time (months)81.9 ± 36.379.9 ± 29.10.210.84Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyBMI body mass index\nBaseline Characteristics of all included patients\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nBMI body mass index\nThe inclusion criteria: patients diagnosed with AS and performed primary cementless THA; patients with bilateral osseous ankylosed hips and trabecula bridging the joint plane on radiograph; total loss of hip ROM; patients receiving bilateral THA synchronously or sequentially. the exclusion criteria: bilateral osseous ankylosed hips caused by other reasons; unilateral osseous ankylosed hip with AS; fibrous ankylosis of the hip and no trabecula bridging the joint plane on radiograph; patients just receiving unilateral THA; the patients lost to follow-up.\nUltimately, we analyzed the data of the patients receiving bilateral THA synchronously (group A) and bilateral THA sequentially (group B). The synchronous or sequential procedures were based on patients’ financial situation and patients’ choice. For the surgeon, surgery could be performed, if the patients meet preoperative screening. All hips were identified as bony ankylosed hip with the total loss of ROM. The patients have been diagnosed with AS for many years and irregular treatment was done. All patients had total loss ROM of lumbar without ankylosis of the knee. 1 patient of group A and 1 patient of group B received lumbar spinal osteotomy and fusion before THA. We called up the patients to accomplish follow-up. And we obtained the latest clinical and radiological outcomes. 11 patients (22 hips) in group A and 12 patients (24 hips) in group B were followed up. The demographic data of the patients were summarized in Table 1. The mean duration of the follow-up was 81.9 ± 36.3 months for group A and 79.9 ± 29.1 months for group B (P = 0.84).\nTable 1Baseline Characteristics of all included patientsVariableGroup A (22 hips)Group B (24 hips)T valueP valueM/F10/110/2--Height (cm)161.9 ± 9.0160.0 ± 5.10.880.37Weight (Kg)59.9 ± 10.758.1 ± 6.60.690.50BMI (Kg/m2)22.7 ± 3.322.7 ± 2.5-0.020.98Friction couples Ceramic-on ceramic1818-- Ceramic-on-polyethylene46-- Additional screws fixation (patients/hips)5/106/12-- Average follow-up time (months)81.9 ± 36.379.9 ± 29.10.210.84Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyBMI body mass index\nBaseline Characteristics of all included patients\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nBMI body mass index\nSurgical procedures All operations were performed by a group of surgeons specializing in THA. Considering the different degrees of hip deformities, the worse hip was done first. After general anesthesia, all patients were positioned in the lateral position and exposed to the hips through a posterolateral approach. The femoral neck was identified according to the lesser trochanter and osteotomy was done without hip dislocation. For the hip with external rotation deformity, osteotomy behind the femoral neck was difficult. So, we usually performed an osteotomy in the front of the femoral neck to avoid damage of the greater trochanter and posterior acetabulum. No trochanteric osteotomy was performed. Reamers with the gradual increase in diameter were used to prepare the acetabulum in the medial direction and the counterrotation technique was used to avoid over-reaming of the osteoporotic acetabulum. According to foveal soft tissue and incomplete gray ossifying cartilage, we located the original joint plane. The optimal cup size and cup inclination of the acetabulum implant were identified by intraoperative fluoroscopy. And the anteversion of the cup was confirmed with the indication of transverse acetabular ligament or long axis of the body. If the initial press-fit was not satisfactory, additional screws would be used to fix the cup before inserting the liner.\nFor the preparation of the femoral canal, sequentially larger reamers were used to enlarge the canal until the diaphyseal cortex was involved. The lesser trochanter and ipsilateral transcondylar line indicated the anteversion of the stem. Then femoral trial prosthesis was inserted to correct the leg length discrepancy (LLD), check the stability in all directions, and optimize the femoral offset. At last, the cementless femoral prosthesis and femoral head were inserted. We checked again the stability and ROM of the hip to ensure optimal angles and postoperative mobility. If the hip can’t be abducted more than 15° passively, we would cut off the adductor tendon. At the end of the procedure, the external rotator muscles were restored and the drainage was selected according to the time of operation and blood loss before incision suturing. Only one single brand (DePuy, Warsaw, IN) of the cementless cup and stem implants were used for all patients. The friction interfaces used included ceramic-on-ceramic (CoC) or ceramic-on-polyethylene (CoP), which were decided according to the age, level of activity, and patients’ financial situation.\nAll operations were performed by a group of surgeons specializing in THA. Considering the different degrees of hip deformities, the worse hip was done first. After general anesthesia, all patients were positioned in the lateral position and exposed to the hips through a posterolateral approach. The femoral neck was identified according to the lesser trochanter and osteotomy was done without hip dislocation. For the hip with external rotation deformity, osteotomy behind the femoral neck was difficult. So, we usually performed an osteotomy in the front of the femoral neck to avoid damage of the greater trochanter and posterior acetabulum. No trochanteric osteotomy was performed. Reamers with the gradual increase in diameter were used to prepare the acetabulum in the medial direction and the counterrotation technique was used to avoid over-reaming of the osteoporotic acetabulum. According to foveal soft tissue and incomplete gray ossifying cartilage, we located the original joint plane. The optimal cup size and cup inclination of the acetabulum implant were identified by intraoperative fluoroscopy. And the anteversion of the cup was confirmed with the indication of transverse acetabular ligament or long axis of the body. If the initial press-fit was not satisfactory, additional screws would be used to fix the cup before inserting the liner.\nFor the preparation of the femoral canal, sequentially larger reamers were used to enlarge the canal until the diaphyseal cortex was involved. The lesser trochanter and ipsilateral transcondylar line indicated the anteversion of the stem. Then femoral trial prosthesis was inserted to correct the leg length discrepancy (LLD), check the stability in all directions, and optimize the femoral offset. At last, the cementless femoral prosthesis and femoral head were inserted. We checked again the stability and ROM of the hip to ensure optimal angles and postoperative mobility. If the hip can’t be abducted more than 15° passively, we would cut off the adductor tendon. At the end of the procedure, the external rotator muscles were restored and the drainage was selected according to the time of operation and blood loss before incision suturing. Only one single brand (DePuy, Warsaw, IN) of the cementless cup and stem implants were used for all patients. The friction interfaces used included ceramic-on-ceramic (CoC) or ceramic-on-polyethylene (CoP), which were decided according to the age, level of activity, and patients’ financial situation.\nPerioperative Regimen Isometric exercises and positive motion exercises were conducted in bed after recovering from anesthesia. Prophylactic intravenous antibiotics were used within the first 24 h postoperatively. Additionally, low-molecular-weight heparin (LMWH) was systematically managed to prevent deep venous thrombosis (DVT). A half-dose (2000 IU in 0.2 mL) of LMWH was initially administered subcutaneously 6 h postoperatively and a full dose (4000 IU in 0.4 mL) was repeated at 24-hour intervals subsequently until hospital discharge. After discharge, all patients routinely received 10 mg rivaroxaban for 15 days. And non-steroidal anti-inflammatory drugs (NSAIDs) were used to relieve pain and reduce the chance of heterotopic ossification (HO) for two weeks. For unbearable postoperative pain, additional painkillers by intravenous or intramuscular injection were added. The drainage tube was removed within 24 h.\nFrom the first postoperative day on, the patients were allowed to partial weight-bearing exercises with the help of the walker aid, then exercise with the help of cane after 2 weeks and full weight-bearing exercises after 4 weeks without help. Moreover, for the patient with hip flection deformity preoperatively, the hip gradually extended under the circumstances of bearable pain. Routine clinical follow-up visits were conducted at 2 weeks, 4 weeks, 12 weeks, and 6 months after surgery and annually.\nIsometric exercises and positive motion exercises were conducted in bed after recovering from anesthesia. Prophylactic intravenous antibiotics were used within the first 24 h postoperatively. Additionally, low-molecular-weight heparin (LMWH) was systematically managed to prevent deep venous thrombosis (DVT). A half-dose (2000 IU in 0.2 mL) of LMWH was initially administered subcutaneously 6 h postoperatively and a full dose (4000 IU in 0.4 mL) was repeated at 24-hour intervals subsequently until hospital discharge. After discharge, all patients routinely received 10 mg rivaroxaban for 15 days. And non-steroidal anti-inflammatory drugs (NSAIDs) were used to relieve pain and reduce the chance of heterotopic ossification (HO) for two weeks. For unbearable postoperative pain, additional painkillers by intravenous or intramuscular injection were added. The drainage tube was removed within 24 h.\nFrom the first postoperative day on, the patients were allowed to partial weight-bearing exercises with the help of the walker aid, then exercise with the help of cane after 2 weeks and full weight-bearing exercises after 4 weeks without help. Moreover, for the patient with hip flection deformity preoperatively, the hip gradually extended under the circumstances of bearable pain. Routine clinical follow-up visits were conducted at 2 weeks, 4 weeks, 12 weeks, and 6 months after surgery and annually.\nClinical measurements At the latest follow-up, clinical details were recorded including hip flection-extension ROM and Harris Hip Scores (HHS) of the two groups [17]. A special ruler was used to measure the range of hip flexion and extension when the patients were in the supine position. ROM and Harris scores were examined by 2 authors to reduce the bias. Satisfactory levels were divided into very satisfactory, satisfactory, unsatisfactory, and very unsatisfactory. Additionally, from our database, we collected the data such as the time of walking for the first time postoperatively, preoperative hip flexion contracture, total hospital expense for each patient, the average blood transfusions, and the blood transfusion rate. The standard of blood transfusions referred to the guidelines of the National Ministry of Health, recommending blood transfusion for hemoglobin level less than 7 g/dL until the level reached or exceeded 8 g/dL. Additionally, when hemoglobin level fluctuated between 7 and 10 g/dL, transfusion would be considered in patients with symptomatic anemia (severe mental status changes, palpitations, and/or pallor).\nAt the latest follow-up, clinical details were recorded including hip flection-extension ROM and Harris Hip Scores (HHS) of the two groups [17]. A special ruler was used to measure the range of hip flexion and extension when the patients were in the supine position. ROM and Harris scores were examined by 2 authors to reduce the bias. Satisfactory levels were divided into very satisfactory, satisfactory, unsatisfactory, and very unsatisfactory. Additionally, from our database, we collected the data such as the time of walking for the first time postoperatively, preoperative hip flexion contracture, total hospital expense for each patient, the average blood transfusions, and the blood transfusion rate. The standard of blood transfusions referred to the guidelines of the National Ministry of Health, recommending blood transfusion for hemoglobin level less than 7 g/dL until the level reached or exceeded 8 g/dL. Additionally, when hemoglobin level fluctuated between 7 and 10 g/dL, transfusion would be considered in patients with symptomatic anemia (severe mental status changes, palpitations, and/or pallor).\nRadiological assessments Standard anteroposterior radiographs were obtained preoperatively, immediately after surgery, and at the latest follow-up. And the radiological data were collected and analyzed by the same two authors. The assessments included the inclination of the cup (IC), the difference of bilateral IC, the femoral offset (FO), the difference of bilateral FO and LLD at the latest follow-up. IC was measured directly on the AP radiograph. The angle crossed by the horizontal line connecting both teardrops and the line through the longest diameter of the elliptical opening of the acetabular cup rim was recorded and regarded as IC [12]. If the teardrops were unrecognizable or the pelvis was asymmetric, we firstly bisected the sacrum with a vertical line A and secondly drawn a perpendicular line B to line A [12]. So, line B can be used as a horizontal line. FO was defined as the vertical distance from the center of the femoral head to the ipsilateral anatomical femoral axis [18]. LLD was assessed by the standardized-trochanteric method to avoid the influence of pelvic obliquity and femoral inclination on the radiographs [19]. The standardized-trochanteric method requires the vertical distance from the inter-teardrop line to the center of rotation and the femoral vertical distance (center of rotation to the lesser trochanter) reference to the femoral anatomical axis. So, the unilateral distance is defined as the difference between the two vertical distances. And LLD is equal to the difference between the two unilateral distances.\nStandard anteroposterior radiographs were obtained preoperatively, immediately after surgery, and at the latest follow-up. And the radiological data were collected and analyzed by the same two authors. The assessments included the inclination of the cup (IC), the difference of bilateral IC, the femoral offset (FO), the difference of bilateral FO and LLD at the latest follow-up. IC was measured directly on the AP radiograph. The angle crossed by the horizontal line connecting both teardrops and the line through the longest diameter of the elliptical opening of the acetabular cup rim was recorded and regarded as IC [12]. If the teardrops were unrecognizable or the pelvis was asymmetric, we firstly bisected the sacrum with a vertical line A and secondly drawn a perpendicular line B to line A [12]. So, line B can be used as a horizontal line. FO was defined as the vertical distance from the center of the femoral head to the ipsilateral anatomical femoral axis [18]. LLD was assessed by the standardized-trochanteric method to avoid the influence of pelvic obliquity and femoral inclination on the radiographs [19]. The standardized-trochanteric method requires the vertical distance from the inter-teardrop line to the center of rotation and the femoral vertical distance (center of rotation to the lesser trochanter) reference to the femoral anatomical axis. So, the unilateral distance is defined as the difference between the two vertical distances. And LLD is equal to the difference between the two unilateral distances.\nComplications The complications were recorded and evaluated including early-onset and late-onset complications during the perioperative period and at the latest follow-up. The early-onset complications consisted of dislocation, wound complication, infection, intraoperative fracture, DVT, pulmonary embolism, and nerve palsy. The data were collected from the database. Meanwhile, the late-onset complications consisted of postoperative dislocation, HO, osteolysis, and aseptic loosening at the latest follow-up, which were assessed by the same two authors. Based on Brooker classification [20], we analyzed and classified the degree of HO. Osteolysis was defined as cystic or scalloped lesions with a diameter of more than 2 mm on radiograph [21, 22]. According to the criteria of DeLee et al. [23], the acetabular component was considered loose if a complete radiolucent line thicker than 1mm at bone-implant interface or migration of the component showed. Besides, the femoral implant stability was evaluated according to Engh et al. [24], the stem was considered loose if subsidence more than 2 mm or angular shift of the stem more than 2° showed.\nThe complications were recorded and evaluated including early-onset and late-onset complications during the perioperative period and at the latest follow-up. The early-onset complications consisted of dislocation, wound complication, infection, intraoperative fracture, DVT, pulmonary embolism, and nerve palsy. The data were collected from the database. Meanwhile, the late-onset complications consisted of postoperative dislocation, HO, osteolysis, and aseptic loosening at the latest follow-up, which were assessed by the same two authors. Based on Brooker classification [20], we analyzed and classified the degree of HO. Osteolysis was defined as cystic or scalloped lesions with a diameter of more than 2 mm on radiograph [21, 22]. According to the criteria of DeLee et al. [23], the acetabular component was considered loose if a complete radiolucent line thicker than 1mm at bone-implant interface or migration of the component showed. Besides, the femoral implant stability was evaluated according to Engh et al. [24], the stem was considered loose if subsidence more than 2 mm or angular shift of the stem more than 2° showed.\nStatistical analysis Statistical analysis was performed using SPSS software for Windows Version 22.0 (SPSS, Chicago, IL). The level of statistical significance was set at p<0.05. The results were expressed as the mean ± standard deviation. Independent sample T test was used for data analysis.\nStatistical analysis was performed using SPSS software for Windows Version 22.0 (SPSS, Chicago, IL). The level of statistical significance was set at p<0.05. The results were expressed as the mean ± standard deviation. Independent sample T test was used for data analysis.", "The inclusion criteria: patients diagnosed with AS and performed primary cementless THA; patients with bilateral osseous ankylosed hips and trabecula bridging the joint plane on radiograph; total loss of hip ROM; patients receiving bilateral THA synchronously or sequentially. the exclusion criteria: bilateral osseous ankylosed hips caused by other reasons; unilateral osseous ankylosed hip with AS; fibrous ankylosis of the hip and no trabecula bridging the joint plane on radiograph; patients just receiving unilateral THA; the patients lost to follow-up.\nUltimately, we analyzed the data of the patients receiving bilateral THA synchronously (group A) and bilateral THA sequentially (group B). The synchronous or sequential procedures were based on patients’ financial situation and patients’ choice. For the surgeon, surgery could be performed, if the patients meet preoperative screening. All hips were identified as bony ankylosed hip with the total loss of ROM. The patients have been diagnosed with AS for many years and irregular treatment was done. All patients had total loss ROM of lumbar without ankylosis of the knee. 1 patient of group A and 1 patient of group B received lumbar spinal osteotomy and fusion before THA. We called up the patients to accomplish follow-up. And we obtained the latest clinical and radiological outcomes. 11 patients (22 hips) in group A and 12 patients (24 hips) in group B were followed up. The demographic data of the patients were summarized in Table 1. The mean duration of the follow-up was 81.9 ± 36.3 months for group A and 79.9 ± 29.1 months for group B (P = 0.84).\nTable 1Baseline Characteristics of all included patientsVariableGroup A (22 hips)Group B (24 hips)T valueP valueM/F10/110/2--Height (cm)161.9 ± 9.0160.0 ± 5.10.880.37Weight (Kg)59.9 ± 10.758.1 ± 6.60.690.50BMI (Kg/m2)22.7 ± 3.322.7 ± 2.5-0.020.98Friction couples Ceramic-on ceramic1818-- Ceramic-on-polyethylene46-- Additional screws fixation (patients/hips)5/106/12-- Average follow-up time (months)81.9 ± 36.379.9 ± 29.10.210.84Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyBMI body mass index\nBaseline Characteristics of all included patients\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nBMI body mass index", "All operations were performed by a group of surgeons specializing in THA. Considering the different degrees of hip deformities, the worse hip was done first. After general anesthesia, all patients were positioned in the lateral position and exposed to the hips through a posterolateral approach. The femoral neck was identified according to the lesser trochanter and osteotomy was done without hip dislocation. For the hip with external rotation deformity, osteotomy behind the femoral neck was difficult. So, we usually performed an osteotomy in the front of the femoral neck to avoid damage of the greater trochanter and posterior acetabulum. No trochanteric osteotomy was performed. Reamers with the gradual increase in diameter were used to prepare the acetabulum in the medial direction and the counterrotation technique was used to avoid over-reaming of the osteoporotic acetabulum. According to foveal soft tissue and incomplete gray ossifying cartilage, we located the original joint plane. The optimal cup size and cup inclination of the acetabulum implant were identified by intraoperative fluoroscopy. And the anteversion of the cup was confirmed with the indication of transverse acetabular ligament or long axis of the body. If the initial press-fit was not satisfactory, additional screws would be used to fix the cup before inserting the liner.\nFor the preparation of the femoral canal, sequentially larger reamers were used to enlarge the canal until the diaphyseal cortex was involved. The lesser trochanter and ipsilateral transcondylar line indicated the anteversion of the stem. Then femoral trial prosthesis was inserted to correct the leg length discrepancy (LLD), check the stability in all directions, and optimize the femoral offset. At last, the cementless femoral prosthesis and femoral head were inserted. We checked again the stability and ROM of the hip to ensure optimal angles and postoperative mobility. If the hip can’t be abducted more than 15° passively, we would cut off the adductor tendon. At the end of the procedure, the external rotator muscles were restored and the drainage was selected according to the time of operation and blood loss before incision suturing. Only one single brand (DePuy, Warsaw, IN) of the cementless cup and stem implants were used for all patients. The friction interfaces used included ceramic-on-ceramic (CoC) or ceramic-on-polyethylene (CoP), which were decided according to the age, level of activity, and patients’ financial situation.", "Isometric exercises and positive motion exercises were conducted in bed after recovering from anesthesia. Prophylactic intravenous antibiotics were used within the first 24 h postoperatively. Additionally, low-molecular-weight heparin (LMWH) was systematically managed to prevent deep venous thrombosis (DVT). A half-dose (2000 IU in 0.2 mL) of LMWH was initially administered subcutaneously 6 h postoperatively and a full dose (4000 IU in 0.4 mL) was repeated at 24-hour intervals subsequently until hospital discharge. After discharge, all patients routinely received 10 mg rivaroxaban for 15 days. And non-steroidal anti-inflammatory drugs (NSAIDs) were used to relieve pain and reduce the chance of heterotopic ossification (HO) for two weeks. For unbearable postoperative pain, additional painkillers by intravenous or intramuscular injection were added. The drainage tube was removed within 24 h.\nFrom the first postoperative day on, the patients were allowed to partial weight-bearing exercises with the help of the walker aid, then exercise with the help of cane after 2 weeks and full weight-bearing exercises after 4 weeks without help. Moreover, for the patient with hip flection deformity preoperatively, the hip gradually extended under the circumstances of bearable pain. Routine clinical follow-up visits were conducted at 2 weeks, 4 weeks, 12 weeks, and 6 months after surgery and annually.", "At the latest follow-up, clinical details were recorded including hip flection-extension ROM and Harris Hip Scores (HHS) of the two groups [17]. A special ruler was used to measure the range of hip flexion and extension when the patients were in the supine position. ROM and Harris scores were examined by 2 authors to reduce the bias. Satisfactory levels were divided into very satisfactory, satisfactory, unsatisfactory, and very unsatisfactory. Additionally, from our database, we collected the data such as the time of walking for the first time postoperatively, preoperative hip flexion contracture, total hospital expense for each patient, the average blood transfusions, and the blood transfusion rate. The standard of blood transfusions referred to the guidelines of the National Ministry of Health, recommending blood transfusion for hemoglobin level less than 7 g/dL until the level reached or exceeded 8 g/dL. Additionally, when hemoglobin level fluctuated between 7 and 10 g/dL, transfusion would be considered in patients with symptomatic anemia (severe mental status changes, palpitations, and/or pallor).", "Standard anteroposterior radiographs were obtained preoperatively, immediately after surgery, and at the latest follow-up. And the radiological data were collected and analyzed by the same two authors. The assessments included the inclination of the cup (IC), the difference of bilateral IC, the femoral offset (FO), the difference of bilateral FO and LLD at the latest follow-up. IC was measured directly on the AP radiograph. The angle crossed by the horizontal line connecting both teardrops and the line through the longest diameter of the elliptical opening of the acetabular cup rim was recorded and regarded as IC [12]. If the teardrops were unrecognizable or the pelvis was asymmetric, we firstly bisected the sacrum with a vertical line A and secondly drawn a perpendicular line B to line A [12]. So, line B can be used as a horizontal line. FO was defined as the vertical distance from the center of the femoral head to the ipsilateral anatomical femoral axis [18]. LLD was assessed by the standardized-trochanteric method to avoid the influence of pelvic obliquity and femoral inclination on the radiographs [19]. The standardized-trochanteric method requires the vertical distance from the inter-teardrop line to the center of rotation and the femoral vertical distance (center of rotation to the lesser trochanter) reference to the femoral anatomical axis. So, the unilateral distance is defined as the difference between the two vertical distances. And LLD is equal to the difference between the two unilateral distances.", "The complications were recorded and evaluated including early-onset and late-onset complications during the perioperative period and at the latest follow-up. The early-onset complications consisted of dislocation, wound complication, infection, intraoperative fracture, DVT, pulmonary embolism, and nerve palsy. The data were collected from the database. Meanwhile, the late-onset complications consisted of postoperative dislocation, HO, osteolysis, and aseptic loosening at the latest follow-up, which were assessed by the same two authors. Based on Brooker classification [20], we analyzed and classified the degree of HO. Osteolysis was defined as cystic or scalloped lesions with a diameter of more than 2 mm on radiograph [21, 22]. According to the criteria of DeLee et al. [23], the acetabular component was considered loose if a complete radiolucent line thicker than 1mm at bone-implant interface or migration of the component showed. Besides, the femoral implant stability was evaluated according to Engh et al. [24], the stem was considered loose if subsidence more than 2 mm or angular shift of the stem more than 2° showed.", "Statistical analysis was performed using SPSS software for Windows Version 22.0 (SPSS, Chicago, IL). The level of statistical significance was set at p<0.05. The results were expressed as the mean ± standard deviation. Independent sample T test was used for data analysis.", "The preoperative hip flexion contracture showed (39.3 ± 20.3)° for group A and (37.7 ± 18.7) ° for group B (P = 0.40) in Table 2. The average preoperative HHS increased from preoperative 30.5 ± 5.9 to 84.0 ± 2.8 at the latest follow-up for group A and from preoperative 31.4 ± 4.6 to 83.4 ± 2.0 for group B. Moreover, all of the hips lost total ROM of hip preoperatively, but at the latest follow-up, the average flection-extension ROM was 85.7 ± 4.5° for group A and 85.1 ± 4.1° for group B. The average flexion and extension were 86.5 ± 4.4° and 0.73 ± 2.4° for group A and 85.7 ± 3.5° and 0.54 ± 1.9° for group B, respectively. No statistical difference was found in both groups, but large improvement was realized postoperatively (Table 2).\nTable 2Clinical outcomes of all included patients preoperatively and postoperativelyVariableGroup A (22 hips)Group B (24 hips)T valueP valuePreoperative hip contracture (°)39.3 ± 20.337.7 ± 18.70.280.40Preoperative HHS30.5 ± 5.931.4 ± 4.6-0.620.58Postoperative HHS84.0 ± 2.883.4 ± 2.00.890.38Postoperative extension (°)0.73 ± 2.40.54 ± 1.90.290.77Postoperative flexion (°)86.5 ± 4.485.7 ± 3.50.670.50Postoperative ROM (°)85.7 ± 4.585.1 ± 4.10.470.64Time of walking for the first time postoperatively5.1 ± 2.63.6 ± 1.22.430.02*average blood transfusions (U)3 ± 3.970.71 ± 1.992.290.028*blood transfusion rate8/11(72.7 %)5/24 (20.8 %)--Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyROM range of motionHHS Harris Hip scoreP values with statistical significance are marked with *\nClinical outcomes of all included patients preoperatively and postoperatively\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nROM range of motion\nHHS Harris Hip score\nP values with statistical significance are marked with *\nHowever, the statistical difference was found that the patients receiving synchronous bilateral THAs needed more time to walk for the first time postoperatively with 5.1 ± 2.6 days, while it was 3.6 ± 1.2 days for group B (P = 0.02) (Table 2). The average interval time between two operations was 40.8 ± 23.0 days for group B. Furthermore, blood transfusions perioperatively were also different between the two groups. Average blood transfusions were 3 ± 3.97 U for group A and 0.71 ± 1.99 U for group B (i = 0.028), while the blood transfusion rate was 8/11 (72.7 %) for group A and 5/24 (20.8 %) for group B. The average hospital expense of bilateral THA was (108,660 ± 6440) RMB for group A, while it was (113,238 ± 6759) RMB for group B. Although no statistical difference was found between groups on hospital expense (P = 0.90), the average hospital expense for group A was less than that of group B. For group A, 10 patients were very satisfactory and 1 patient was satisfied with the outcomes. And all 12 patients of group B were very satisfied with the outcomes. None was unsatisfactory with the outcomes.", "For group A, at the latest follow-up, there was no difference in the average IC between the right and left hips (P = 0.48) (Fig. 1). Similarly, the same result was found in group B (P = 0.37) (Fig. 2). For the FO, the patients in group A showed no difference between the right and left hips (P = 0.07), while the statistical difference was found in group B (P = 0.04) (Table 3). Also, we compared the difference of bilateral IC and the difference of bilateral FO for both groups (Table 4). The differences of bilateral IC were 3.0 ± 2.1°for group A and 5.5 ± 2.4°for group B (P = 0.02). Meanwhile, the differences of bilateral FO were 0.35 ± 0.27 cm for group A and 0.32 ± 0.21 cm for group B. And LLD were 0.48 ± 0.39 cm for group A and 0.45 ± 0.31 cm for group B. No differences were found between groups for the differences of bilateral FO (P = 0.78) and LLD (P = 0.83). 5 patients (10 hips) for group A and 6 patients (12 hips) for group B used additional screws for fixation (Table 1) and no influence on the final results was observed.\nTable 3Radiographic evaluation of the included patients between groupsVariableGroup A (22 hips)Group B (24 hips)Right hipsLeft hipsTPRight hipsLeft hipsTPAverage IC (°)39.6 ± 3.838.8 ± 5.10.730.4841.5 ± 4.439.9 ± 5.20.940.37Average FO (cm)4.6 ± 0.64.4 ± 0.62.160.074.1 ± 0.33.9 ± 0.32.340.04*Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyIC inclination of cup; FO femoral offsetP values with statistical significance are marked with *Fig. 1Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the componentFig. 2Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis\nRadiographic evaluation of the included patients between groups\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nIC inclination of cup; FO femoral offset\nP values with statistical significance are marked with *\nCase presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the component\nCase presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis\nRadiographic evaluation of the included patients between groups postoperatively\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nIC inclination of cup; FO femoral offset; LLD leg length discrepancy\nP values with statistical significance are marked with *", "Only two hips in group A encountered early-onset complications. One femoral encountered fracture intraoperatively, which was fixed with several double-loop cerclage wires immediately. The patients mainly conducted the functional exercise in bed until the fracture healed. Another patient suffered from hip dislocation postoperatively and delay union of wound. With effective handling, no dislocation happened evermore and the wound recovered ultimately. For late-onset complications, three hips (13.6 %) in group A and three hips (12.5 %) in group B encountered asymptomatic HO, all of which belonged to Brooker I. Other complications such as dislocation, osteolysis, and loosening were not observed." ]
[ null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Patients", "Surgical procedures", "Perioperative Regimen", "Clinical measurements", "Radiological assessments", "Complications", "Statistical analysis", "Results", "Clinical outcomes", "Radiographic evaluation", "Complications", "Discussion", "Conclusions" ]
[ "Ankylosing spondylitis (AS) is an inflammation spondyloarthritis affecting the axial spine and peripheral joints and characterized by low back pain and limited range of motion (ROM) of lumbar spine [1, 2]. And AS is diagnosed using the modified New York criteria requiring image change of sacroiliitis and painful reduction of lumbar spine ROM as well as stiffness more than 3 months [3]. Hips are the most common peripheral joints involved and approximately 25 %~50 % of patients can encounter hip involved [4, 5], of which 90 % presents bilateral hip ankylosis [6]. The end-stage hip ankylosis usually manifests osseous ankylosis with the total loss of hip ROM [7]. Although bilateral hip fusion leads to stable and painless hip, yet the loss of hip function and premature degeneration of neighboring joints harm the quality of life, especially for suboptimal hip fusion for a long period [8–10]. Total hip arthroplasty (THA) can relieve pain and recover the ROM of the hip to improve joint function and self-care ability [11]. Also, many literatures have reported good radiographic outcomes and improvements in hip function [7, 12–14]. However, for bilateral osseous ankylosed hips with AS, there is no consensus on synchronous or sequential THA for these special patients.\nThere are many difficulties for bony ankylosed hip conversion to THA, which include the exposure of surgical area [7], the ambiguous identification of original joint plane [7], disuse osteoporosis [15], weakness of abductor muscle [16], and pelvic obliquity [12]. For bilateral bony ankylosed hips with AS, while synchronous THA may prolong operation time and cause more blood loss, bilateral hip lesions can be solved simultaneously. Moreover, two flectional hips can be favorable for functional rehabilitation postoperatively. Comparatively, sequential THA for these patients shorten operation time and cause less surgical damage, yet the temporary unhandled ankylosed hip can be an obstacle to the rehabilitation of the operated hip. Additionally, the total two hospitalization expenses may be more than that of synchronous procedure. Currently, the literatures just reported synchronous or sequential THA for osseous ankylosed hips with AS [7, 12–14] with the limitations such as different types of cementless cup, cemented or cementless stem [12], short time of follow-up [14], and small study population [7]. There was no report comparing the clinical and radiographic outcomes of synchronous and sequential cementless bilateral THA for osseous ankylosed hips with AS.\nTo our knowledge, this study compared the clinical and radiographic outcomes of synchronous and sequential cementless bilateral THA to correct hip osseous ankylosis with AS for the first time. And it was also the currently largest sample-size research on the outcomes of THA for bilateral ankylosed hips with AS. It was hypothesized that for osseous ankylosed hips with AS, synchronous cementless bilateral THA can realize similar outcomes with sequential THA.", "Data were collected by retrospective review of a prospective database from January 2010 to December 2017. Study approval was obtained from the Clinical Trials and Biomedical Ethics Committee of West China Hospital, and all participants signed informed consents for the use of their data. The data included patient demographics, time of walking for the first time postoperatively, preoperative hip flexion contracture, total hospital expense, satisfactory level, range of flection-extension motion, Harris Hip Scores (HHS), transfusion, radiological assessments, and complications.\nPatients The inclusion criteria: patients diagnosed with AS and performed primary cementless THA; patients with bilateral osseous ankylosed hips and trabecula bridging the joint plane on radiograph; total loss of hip ROM; patients receiving bilateral THA synchronously or sequentially. the exclusion criteria: bilateral osseous ankylosed hips caused by other reasons; unilateral osseous ankylosed hip with AS; fibrous ankylosis of the hip and no trabecula bridging the joint plane on radiograph; patients just receiving unilateral THA; the patients lost to follow-up.\nUltimately, we analyzed the data of the patients receiving bilateral THA synchronously (group A) and bilateral THA sequentially (group B). The synchronous or sequential procedures were based on patients’ financial situation and patients’ choice. For the surgeon, surgery could be performed, if the patients meet preoperative screening. All hips were identified as bony ankylosed hip with the total loss of ROM. The patients have been diagnosed with AS for many years and irregular treatment was done. All patients had total loss ROM of lumbar without ankylosis of the knee. 1 patient of group A and 1 patient of group B received lumbar spinal osteotomy and fusion before THA. We called up the patients to accomplish follow-up. And we obtained the latest clinical and radiological outcomes. 11 patients (22 hips) in group A and 12 patients (24 hips) in group B were followed up. The demographic data of the patients were summarized in Table 1. The mean duration of the follow-up was 81.9 ± 36.3 months for group A and 79.9 ± 29.1 months for group B (P = 0.84).\nTable 1Baseline Characteristics of all included patientsVariableGroup A (22 hips)Group B (24 hips)T valueP valueM/F10/110/2--Height (cm)161.9 ± 9.0160.0 ± 5.10.880.37Weight (Kg)59.9 ± 10.758.1 ± 6.60.690.50BMI (Kg/m2)22.7 ± 3.322.7 ± 2.5-0.020.98Friction couples Ceramic-on ceramic1818-- Ceramic-on-polyethylene46-- Additional screws fixation (patients/hips)5/106/12-- Average follow-up time (months)81.9 ± 36.379.9 ± 29.10.210.84Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyBMI body mass index\nBaseline Characteristics of all included patients\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nBMI body mass index\nThe inclusion criteria: patients diagnosed with AS and performed primary cementless THA; patients with bilateral osseous ankylosed hips and trabecula bridging the joint plane on radiograph; total loss of hip ROM; patients receiving bilateral THA synchronously or sequentially. the exclusion criteria: bilateral osseous ankylosed hips caused by other reasons; unilateral osseous ankylosed hip with AS; fibrous ankylosis of the hip and no trabecula bridging the joint plane on radiograph; patients just receiving unilateral THA; the patients lost to follow-up.\nUltimately, we analyzed the data of the patients receiving bilateral THA synchronously (group A) and bilateral THA sequentially (group B). The synchronous or sequential procedures were based on patients’ financial situation and patients’ choice. For the surgeon, surgery could be performed, if the patients meet preoperative screening. All hips were identified as bony ankylosed hip with the total loss of ROM. The patients have been diagnosed with AS for many years and irregular treatment was done. All patients had total loss ROM of lumbar without ankylosis of the knee. 1 patient of group A and 1 patient of group B received lumbar spinal osteotomy and fusion before THA. We called up the patients to accomplish follow-up. And we obtained the latest clinical and radiological outcomes. 11 patients (22 hips) in group A and 12 patients (24 hips) in group B were followed up. The demographic data of the patients were summarized in Table 1. The mean duration of the follow-up was 81.9 ± 36.3 months for group A and 79.9 ± 29.1 months for group B (P = 0.84).\nTable 1Baseline Characteristics of all included patientsVariableGroup A (22 hips)Group B (24 hips)T valueP valueM/F10/110/2--Height (cm)161.9 ± 9.0160.0 ± 5.10.880.37Weight (Kg)59.9 ± 10.758.1 ± 6.60.690.50BMI (Kg/m2)22.7 ± 3.322.7 ± 2.5-0.020.98Friction couples Ceramic-on ceramic1818-- Ceramic-on-polyethylene46-- Additional screws fixation (patients/hips)5/106/12-- Average follow-up time (months)81.9 ± 36.379.9 ± 29.10.210.84Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyBMI body mass index\nBaseline Characteristics of all included patients\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nBMI body mass index\nSurgical procedures All operations were performed by a group of surgeons specializing in THA. Considering the different degrees of hip deformities, the worse hip was done first. After general anesthesia, all patients were positioned in the lateral position and exposed to the hips through a posterolateral approach. The femoral neck was identified according to the lesser trochanter and osteotomy was done without hip dislocation. For the hip with external rotation deformity, osteotomy behind the femoral neck was difficult. So, we usually performed an osteotomy in the front of the femoral neck to avoid damage of the greater trochanter and posterior acetabulum. No trochanteric osteotomy was performed. Reamers with the gradual increase in diameter were used to prepare the acetabulum in the medial direction and the counterrotation technique was used to avoid over-reaming of the osteoporotic acetabulum. According to foveal soft tissue and incomplete gray ossifying cartilage, we located the original joint plane. The optimal cup size and cup inclination of the acetabulum implant were identified by intraoperative fluoroscopy. And the anteversion of the cup was confirmed with the indication of transverse acetabular ligament or long axis of the body. If the initial press-fit was not satisfactory, additional screws would be used to fix the cup before inserting the liner.\nFor the preparation of the femoral canal, sequentially larger reamers were used to enlarge the canal until the diaphyseal cortex was involved. The lesser trochanter and ipsilateral transcondylar line indicated the anteversion of the stem. Then femoral trial prosthesis was inserted to correct the leg length discrepancy (LLD), check the stability in all directions, and optimize the femoral offset. At last, the cementless femoral prosthesis and femoral head were inserted. We checked again the stability and ROM of the hip to ensure optimal angles and postoperative mobility. If the hip can’t be abducted more than 15° passively, we would cut off the adductor tendon. At the end of the procedure, the external rotator muscles were restored and the drainage was selected according to the time of operation and blood loss before incision suturing. Only one single brand (DePuy, Warsaw, IN) of the cementless cup and stem implants were used for all patients. The friction interfaces used included ceramic-on-ceramic (CoC) or ceramic-on-polyethylene (CoP), which were decided according to the age, level of activity, and patients’ financial situation.\nAll operations were performed by a group of surgeons specializing in THA. Considering the different degrees of hip deformities, the worse hip was done first. After general anesthesia, all patients were positioned in the lateral position and exposed to the hips through a posterolateral approach. The femoral neck was identified according to the lesser trochanter and osteotomy was done without hip dislocation. For the hip with external rotation deformity, osteotomy behind the femoral neck was difficult. So, we usually performed an osteotomy in the front of the femoral neck to avoid damage of the greater trochanter and posterior acetabulum. No trochanteric osteotomy was performed. Reamers with the gradual increase in diameter were used to prepare the acetabulum in the medial direction and the counterrotation technique was used to avoid over-reaming of the osteoporotic acetabulum. According to foveal soft tissue and incomplete gray ossifying cartilage, we located the original joint plane. The optimal cup size and cup inclination of the acetabulum implant were identified by intraoperative fluoroscopy. And the anteversion of the cup was confirmed with the indication of transverse acetabular ligament or long axis of the body. If the initial press-fit was not satisfactory, additional screws would be used to fix the cup before inserting the liner.\nFor the preparation of the femoral canal, sequentially larger reamers were used to enlarge the canal until the diaphyseal cortex was involved. The lesser trochanter and ipsilateral transcondylar line indicated the anteversion of the stem. Then femoral trial prosthesis was inserted to correct the leg length discrepancy (LLD), check the stability in all directions, and optimize the femoral offset. At last, the cementless femoral prosthesis and femoral head were inserted. We checked again the stability and ROM of the hip to ensure optimal angles and postoperative mobility. If the hip can’t be abducted more than 15° passively, we would cut off the adductor tendon. At the end of the procedure, the external rotator muscles were restored and the drainage was selected according to the time of operation and blood loss before incision suturing. Only one single brand (DePuy, Warsaw, IN) of the cementless cup and stem implants were used for all patients. The friction interfaces used included ceramic-on-ceramic (CoC) or ceramic-on-polyethylene (CoP), which were decided according to the age, level of activity, and patients’ financial situation.\nPerioperative Regimen Isometric exercises and positive motion exercises were conducted in bed after recovering from anesthesia. Prophylactic intravenous antibiotics were used within the first 24 h postoperatively. Additionally, low-molecular-weight heparin (LMWH) was systematically managed to prevent deep venous thrombosis (DVT). A half-dose (2000 IU in 0.2 mL) of LMWH was initially administered subcutaneously 6 h postoperatively and a full dose (4000 IU in 0.4 mL) was repeated at 24-hour intervals subsequently until hospital discharge. After discharge, all patients routinely received 10 mg rivaroxaban for 15 days. And non-steroidal anti-inflammatory drugs (NSAIDs) were used to relieve pain and reduce the chance of heterotopic ossification (HO) for two weeks. For unbearable postoperative pain, additional painkillers by intravenous or intramuscular injection were added. The drainage tube was removed within 24 h.\nFrom the first postoperative day on, the patients were allowed to partial weight-bearing exercises with the help of the walker aid, then exercise with the help of cane after 2 weeks and full weight-bearing exercises after 4 weeks without help. Moreover, for the patient with hip flection deformity preoperatively, the hip gradually extended under the circumstances of bearable pain. Routine clinical follow-up visits were conducted at 2 weeks, 4 weeks, 12 weeks, and 6 months after surgery and annually.\nIsometric exercises and positive motion exercises were conducted in bed after recovering from anesthesia. Prophylactic intravenous antibiotics were used within the first 24 h postoperatively. Additionally, low-molecular-weight heparin (LMWH) was systematically managed to prevent deep venous thrombosis (DVT). A half-dose (2000 IU in 0.2 mL) of LMWH was initially administered subcutaneously 6 h postoperatively and a full dose (4000 IU in 0.4 mL) was repeated at 24-hour intervals subsequently until hospital discharge. After discharge, all patients routinely received 10 mg rivaroxaban for 15 days. And non-steroidal anti-inflammatory drugs (NSAIDs) were used to relieve pain and reduce the chance of heterotopic ossification (HO) for two weeks. For unbearable postoperative pain, additional painkillers by intravenous or intramuscular injection were added. The drainage tube was removed within 24 h.\nFrom the first postoperative day on, the patients were allowed to partial weight-bearing exercises with the help of the walker aid, then exercise with the help of cane after 2 weeks and full weight-bearing exercises after 4 weeks without help. Moreover, for the patient with hip flection deformity preoperatively, the hip gradually extended under the circumstances of bearable pain. Routine clinical follow-up visits were conducted at 2 weeks, 4 weeks, 12 weeks, and 6 months after surgery and annually.\nClinical measurements At the latest follow-up, clinical details were recorded including hip flection-extension ROM and Harris Hip Scores (HHS) of the two groups [17]. A special ruler was used to measure the range of hip flexion and extension when the patients were in the supine position. ROM and Harris scores were examined by 2 authors to reduce the bias. Satisfactory levels were divided into very satisfactory, satisfactory, unsatisfactory, and very unsatisfactory. Additionally, from our database, we collected the data such as the time of walking for the first time postoperatively, preoperative hip flexion contracture, total hospital expense for each patient, the average blood transfusions, and the blood transfusion rate. The standard of blood transfusions referred to the guidelines of the National Ministry of Health, recommending blood transfusion for hemoglobin level less than 7 g/dL until the level reached or exceeded 8 g/dL. Additionally, when hemoglobin level fluctuated between 7 and 10 g/dL, transfusion would be considered in patients with symptomatic anemia (severe mental status changes, palpitations, and/or pallor).\nAt the latest follow-up, clinical details were recorded including hip flection-extension ROM and Harris Hip Scores (HHS) of the two groups [17]. A special ruler was used to measure the range of hip flexion and extension when the patients were in the supine position. ROM and Harris scores were examined by 2 authors to reduce the bias. Satisfactory levels were divided into very satisfactory, satisfactory, unsatisfactory, and very unsatisfactory. Additionally, from our database, we collected the data such as the time of walking for the first time postoperatively, preoperative hip flexion contracture, total hospital expense for each patient, the average blood transfusions, and the blood transfusion rate. The standard of blood transfusions referred to the guidelines of the National Ministry of Health, recommending blood transfusion for hemoglobin level less than 7 g/dL until the level reached or exceeded 8 g/dL. Additionally, when hemoglobin level fluctuated between 7 and 10 g/dL, transfusion would be considered in patients with symptomatic anemia (severe mental status changes, palpitations, and/or pallor).\nRadiological assessments Standard anteroposterior radiographs were obtained preoperatively, immediately after surgery, and at the latest follow-up. And the radiological data were collected and analyzed by the same two authors. The assessments included the inclination of the cup (IC), the difference of bilateral IC, the femoral offset (FO), the difference of bilateral FO and LLD at the latest follow-up. IC was measured directly on the AP radiograph. The angle crossed by the horizontal line connecting both teardrops and the line through the longest diameter of the elliptical opening of the acetabular cup rim was recorded and regarded as IC [12]. If the teardrops were unrecognizable or the pelvis was asymmetric, we firstly bisected the sacrum with a vertical line A and secondly drawn a perpendicular line B to line A [12]. So, line B can be used as a horizontal line. FO was defined as the vertical distance from the center of the femoral head to the ipsilateral anatomical femoral axis [18]. LLD was assessed by the standardized-trochanteric method to avoid the influence of pelvic obliquity and femoral inclination on the radiographs [19]. The standardized-trochanteric method requires the vertical distance from the inter-teardrop line to the center of rotation and the femoral vertical distance (center of rotation to the lesser trochanter) reference to the femoral anatomical axis. So, the unilateral distance is defined as the difference between the two vertical distances. And LLD is equal to the difference between the two unilateral distances.\nStandard anteroposterior radiographs were obtained preoperatively, immediately after surgery, and at the latest follow-up. And the radiological data were collected and analyzed by the same two authors. The assessments included the inclination of the cup (IC), the difference of bilateral IC, the femoral offset (FO), the difference of bilateral FO and LLD at the latest follow-up. IC was measured directly on the AP radiograph. The angle crossed by the horizontal line connecting both teardrops and the line through the longest diameter of the elliptical opening of the acetabular cup rim was recorded and regarded as IC [12]. If the teardrops were unrecognizable or the pelvis was asymmetric, we firstly bisected the sacrum with a vertical line A and secondly drawn a perpendicular line B to line A [12]. So, line B can be used as a horizontal line. FO was defined as the vertical distance from the center of the femoral head to the ipsilateral anatomical femoral axis [18]. LLD was assessed by the standardized-trochanteric method to avoid the influence of pelvic obliquity and femoral inclination on the radiographs [19]. The standardized-trochanteric method requires the vertical distance from the inter-teardrop line to the center of rotation and the femoral vertical distance (center of rotation to the lesser trochanter) reference to the femoral anatomical axis. So, the unilateral distance is defined as the difference between the two vertical distances. And LLD is equal to the difference between the two unilateral distances.\nComplications The complications were recorded and evaluated including early-onset and late-onset complications during the perioperative period and at the latest follow-up. The early-onset complications consisted of dislocation, wound complication, infection, intraoperative fracture, DVT, pulmonary embolism, and nerve palsy. The data were collected from the database. Meanwhile, the late-onset complications consisted of postoperative dislocation, HO, osteolysis, and aseptic loosening at the latest follow-up, which were assessed by the same two authors. Based on Brooker classification [20], we analyzed and classified the degree of HO. Osteolysis was defined as cystic or scalloped lesions with a diameter of more than 2 mm on radiograph [21, 22]. According to the criteria of DeLee et al. [23], the acetabular component was considered loose if a complete radiolucent line thicker than 1mm at bone-implant interface or migration of the component showed. Besides, the femoral implant stability was evaluated according to Engh et al. [24], the stem was considered loose if subsidence more than 2 mm or angular shift of the stem more than 2° showed.\nThe complications were recorded and evaluated including early-onset and late-onset complications during the perioperative period and at the latest follow-up. The early-onset complications consisted of dislocation, wound complication, infection, intraoperative fracture, DVT, pulmonary embolism, and nerve palsy. The data were collected from the database. Meanwhile, the late-onset complications consisted of postoperative dislocation, HO, osteolysis, and aseptic loosening at the latest follow-up, which were assessed by the same two authors. Based on Brooker classification [20], we analyzed and classified the degree of HO. Osteolysis was defined as cystic or scalloped lesions with a diameter of more than 2 mm on radiograph [21, 22]. According to the criteria of DeLee et al. [23], the acetabular component was considered loose if a complete radiolucent line thicker than 1mm at bone-implant interface or migration of the component showed. Besides, the femoral implant stability was evaluated according to Engh et al. [24], the stem was considered loose if subsidence more than 2 mm or angular shift of the stem more than 2° showed.\nStatistical analysis Statistical analysis was performed using SPSS software for Windows Version 22.0 (SPSS, Chicago, IL). The level of statistical significance was set at p<0.05. The results were expressed as the mean ± standard deviation. Independent sample T test was used for data analysis.\nStatistical analysis was performed using SPSS software for Windows Version 22.0 (SPSS, Chicago, IL). The level of statistical significance was set at p<0.05. The results were expressed as the mean ± standard deviation. Independent sample T test was used for data analysis.", "The inclusion criteria: patients diagnosed with AS and performed primary cementless THA; patients with bilateral osseous ankylosed hips and trabecula bridging the joint plane on radiograph; total loss of hip ROM; patients receiving bilateral THA synchronously or sequentially. the exclusion criteria: bilateral osseous ankylosed hips caused by other reasons; unilateral osseous ankylosed hip with AS; fibrous ankylosis of the hip and no trabecula bridging the joint plane on radiograph; patients just receiving unilateral THA; the patients lost to follow-up.\nUltimately, we analyzed the data of the patients receiving bilateral THA synchronously (group A) and bilateral THA sequentially (group B). The synchronous or sequential procedures were based on patients’ financial situation and patients’ choice. For the surgeon, surgery could be performed, if the patients meet preoperative screening. All hips were identified as bony ankylosed hip with the total loss of ROM. The patients have been diagnosed with AS for many years and irregular treatment was done. All patients had total loss ROM of lumbar without ankylosis of the knee. 1 patient of group A and 1 patient of group B received lumbar spinal osteotomy and fusion before THA. We called up the patients to accomplish follow-up. And we obtained the latest clinical and radiological outcomes. 11 patients (22 hips) in group A and 12 patients (24 hips) in group B were followed up. The demographic data of the patients were summarized in Table 1. The mean duration of the follow-up was 81.9 ± 36.3 months for group A and 79.9 ± 29.1 months for group B (P = 0.84).\nTable 1Baseline Characteristics of all included patientsVariableGroup A (22 hips)Group B (24 hips)T valueP valueM/F10/110/2--Height (cm)161.9 ± 9.0160.0 ± 5.10.880.37Weight (Kg)59.9 ± 10.758.1 ± 6.60.690.50BMI (Kg/m2)22.7 ± 3.322.7 ± 2.5-0.020.98Friction couples Ceramic-on ceramic1818-- Ceramic-on-polyethylene46-- Additional screws fixation (patients/hips)5/106/12-- Average follow-up time (months)81.9 ± 36.379.9 ± 29.10.210.84Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyBMI body mass index\nBaseline Characteristics of all included patients\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nBMI body mass index", "All operations were performed by a group of surgeons specializing in THA. Considering the different degrees of hip deformities, the worse hip was done first. After general anesthesia, all patients were positioned in the lateral position and exposed to the hips through a posterolateral approach. The femoral neck was identified according to the lesser trochanter and osteotomy was done without hip dislocation. For the hip with external rotation deformity, osteotomy behind the femoral neck was difficult. So, we usually performed an osteotomy in the front of the femoral neck to avoid damage of the greater trochanter and posterior acetabulum. No trochanteric osteotomy was performed. Reamers with the gradual increase in diameter were used to prepare the acetabulum in the medial direction and the counterrotation technique was used to avoid over-reaming of the osteoporotic acetabulum. According to foveal soft tissue and incomplete gray ossifying cartilage, we located the original joint plane. The optimal cup size and cup inclination of the acetabulum implant were identified by intraoperative fluoroscopy. And the anteversion of the cup was confirmed with the indication of transverse acetabular ligament or long axis of the body. If the initial press-fit was not satisfactory, additional screws would be used to fix the cup before inserting the liner.\nFor the preparation of the femoral canal, sequentially larger reamers were used to enlarge the canal until the diaphyseal cortex was involved. The lesser trochanter and ipsilateral transcondylar line indicated the anteversion of the stem. Then femoral trial prosthesis was inserted to correct the leg length discrepancy (LLD), check the stability in all directions, and optimize the femoral offset. At last, the cementless femoral prosthesis and femoral head were inserted. We checked again the stability and ROM of the hip to ensure optimal angles and postoperative mobility. If the hip can’t be abducted more than 15° passively, we would cut off the adductor tendon. At the end of the procedure, the external rotator muscles were restored and the drainage was selected according to the time of operation and blood loss before incision suturing. Only one single brand (DePuy, Warsaw, IN) of the cementless cup and stem implants were used for all patients. The friction interfaces used included ceramic-on-ceramic (CoC) or ceramic-on-polyethylene (CoP), which were decided according to the age, level of activity, and patients’ financial situation.", "Isometric exercises and positive motion exercises were conducted in bed after recovering from anesthesia. Prophylactic intravenous antibiotics were used within the first 24 h postoperatively. Additionally, low-molecular-weight heparin (LMWH) was systematically managed to prevent deep venous thrombosis (DVT). A half-dose (2000 IU in 0.2 mL) of LMWH was initially administered subcutaneously 6 h postoperatively and a full dose (4000 IU in 0.4 mL) was repeated at 24-hour intervals subsequently until hospital discharge. After discharge, all patients routinely received 10 mg rivaroxaban for 15 days. And non-steroidal anti-inflammatory drugs (NSAIDs) were used to relieve pain and reduce the chance of heterotopic ossification (HO) for two weeks. For unbearable postoperative pain, additional painkillers by intravenous or intramuscular injection were added. The drainage tube was removed within 24 h.\nFrom the first postoperative day on, the patients were allowed to partial weight-bearing exercises with the help of the walker aid, then exercise with the help of cane after 2 weeks and full weight-bearing exercises after 4 weeks without help. Moreover, for the patient with hip flection deformity preoperatively, the hip gradually extended under the circumstances of bearable pain. Routine clinical follow-up visits were conducted at 2 weeks, 4 weeks, 12 weeks, and 6 months after surgery and annually.", "At the latest follow-up, clinical details were recorded including hip flection-extension ROM and Harris Hip Scores (HHS) of the two groups [17]. A special ruler was used to measure the range of hip flexion and extension when the patients were in the supine position. ROM and Harris scores were examined by 2 authors to reduce the bias. Satisfactory levels were divided into very satisfactory, satisfactory, unsatisfactory, and very unsatisfactory. Additionally, from our database, we collected the data such as the time of walking for the first time postoperatively, preoperative hip flexion contracture, total hospital expense for each patient, the average blood transfusions, and the blood transfusion rate. The standard of blood transfusions referred to the guidelines of the National Ministry of Health, recommending blood transfusion for hemoglobin level less than 7 g/dL until the level reached or exceeded 8 g/dL. Additionally, when hemoglobin level fluctuated between 7 and 10 g/dL, transfusion would be considered in patients with symptomatic anemia (severe mental status changes, palpitations, and/or pallor).", "Standard anteroposterior radiographs were obtained preoperatively, immediately after surgery, and at the latest follow-up. And the radiological data were collected and analyzed by the same two authors. The assessments included the inclination of the cup (IC), the difference of bilateral IC, the femoral offset (FO), the difference of bilateral FO and LLD at the latest follow-up. IC was measured directly on the AP radiograph. The angle crossed by the horizontal line connecting both teardrops and the line through the longest diameter of the elliptical opening of the acetabular cup rim was recorded and regarded as IC [12]. If the teardrops were unrecognizable or the pelvis was asymmetric, we firstly bisected the sacrum with a vertical line A and secondly drawn a perpendicular line B to line A [12]. So, line B can be used as a horizontal line. FO was defined as the vertical distance from the center of the femoral head to the ipsilateral anatomical femoral axis [18]. LLD was assessed by the standardized-trochanteric method to avoid the influence of pelvic obliquity and femoral inclination on the radiographs [19]. The standardized-trochanteric method requires the vertical distance from the inter-teardrop line to the center of rotation and the femoral vertical distance (center of rotation to the lesser trochanter) reference to the femoral anatomical axis. So, the unilateral distance is defined as the difference between the two vertical distances. And LLD is equal to the difference between the two unilateral distances.", "The complications were recorded and evaluated including early-onset and late-onset complications during the perioperative period and at the latest follow-up. The early-onset complications consisted of dislocation, wound complication, infection, intraoperative fracture, DVT, pulmonary embolism, and nerve palsy. The data were collected from the database. Meanwhile, the late-onset complications consisted of postoperative dislocation, HO, osteolysis, and aseptic loosening at the latest follow-up, which were assessed by the same two authors. Based on Brooker classification [20], we analyzed and classified the degree of HO. Osteolysis was defined as cystic or scalloped lesions with a diameter of more than 2 mm on radiograph [21, 22]. According to the criteria of DeLee et al. [23], the acetabular component was considered loose if a complete radiolucent line thicker than 1mm at bone-implant interface or migration of the component showed. Besides, the femoral implant stability was evaluated according to Engh et al. [24], the stem was considered loose if subsidence more than 2 mm or angular shift of the stem more than 2° showed.", "Statistical analysis was performed using SPSS software for Windows Version 22.0 (SPSS, Chicago, IL). The level of statistical significance was set at p<0.05. The results were expressed as the mean ± standard deviation. Independent sample T test was used for data analysis.", "Clinical outcomes The preoperative hip flexion contracture showed (39.3 ± 20.3)° for group A and (37.7 ± 18.7) ° for group B (P = 0.40) in Table 2. The average preoperative HHS increased from preoperative 30.5 ± 5.9 to 84.0 ± 2.8 at the latest follow-up for group A and from preoperative 31.4 ± 4.6 to 83.4 ± 2.0 for group B. Moreover, all of the hips lost total ROM of hip preoperatively, but at the latest follow-up, the average flection-extension ROM was 85.7 ± 4.5° for group A and 85.1 ± 4.1° for group B. The average flexion and extension were 86.5 ± 4.4° and 0.73 ± 2.4° for group A and 85.7 ± 3.5° and 0.54 ± 1.9° for group B, respectively. No statistical difference was found in both groups, but large improvement was realized postoperatively (Table 2).\nTable 2Clinical outcomes of all included patients preoperatively and postoperativelyVariableGroup A (22 hips)Group B (24 hips)T valueP valuePreoperative hip contracture (°)39.3 ± 20.337.7 ± 18.70.280.40Preoperative HHS30.5 ± 5.931.4 ± 4.6-0.620.58Postoperative HHS84.0 ± 2.883.4 ± 2.00.890.38Postoperative extension (°)0.73 ± 2.40.54 ± 1.90.290.77Postoperative flexion (°)86.5 ± 4.485.7 ± 3.50.670.50Postoperative ROM (°)85.7 ± 4.585.1 ± 4.10.470.64Time of walking for the first time postoperatively5.1 ± 2.63.6 ± 1.22.430.02*average blood transfusions (U)3 ± 3.970.71 ± 1.992.290.028*blood transfusion rate8/11(72.7 %)5/24 (20.8 %)--Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyROM range of motionHHS Harris Hip scoreP values with statistical significance are marked with *\nClinical outcomes of all included patients preoperatively and postoperatively\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nROM range of motion\nHHS Harris Hip score\nP values with statistical significance are marked with *\nHowever, the statistical difference was found that the patients receiving synchronous bilateral THAs needed more time to walk for the first time postoperatively with 5.1 ± 2.6 days, while it was 3.6 ± 1.2 days for group B (P = 0.02) (Table 2). The average interval time between two operations was 40.8 ± 23.0 days for group B. Furthermore, blood transfusions perioperatively were also different between the two groups. Average blood transfusions were 3 ± 3.97 U for group A and 0.71 ± 1.99 U for group B (i = 0.028), while the blood transfusion rate was 8/11 (72.7 %) for group A and 5/24 (20.8 %) for group B. The average hospital expense of bilateral THA was (108,660 ± 6440) RMB for group A, while it was (113,238 ± 6759) RMB for group B. Although no statistical difference was found between groups on hospital expense (P = 0.90), the average hospital expense for group A was less than that of group B. For group A, 10 patients were very satisfactory and 1 patient was satisfied with the outcomes. And all 12 patients of group B were very satisfied with the outcomes. None was unsatisfactory with the outcomes.\nThe preoperative hip flexion contracture showed (39.3 ± 20.3)° for group A and (37.7 ± 18.7) ° for group B (P = 0.40) in Table 2. The average preoperative HHS increased from preoperative 30.5 ± 5.9 to 84.0 ± 2.8 at the latest follow-up for group A and from preoperative 31.4 ± 4.6 to 83.4 ± 2.0 for group B. Moreover, all of the hips lost total ROM of hip preoperatively, but at the latest follow-up, the average flection-extension ROM was 85.7 ± 4.5° for group A and 85.1 ± 4.1° for group B. The average flexion and extension were 86.5 ± 4.4° and 0.73 ± 2.4° for group A and 85.7 ± 3.5° and 0.54 ± 1.9° for group B, respectively. No statistical difference was found in both groups, but large improvement was realized postoperatively (Table 2).\nTable 2Clinical outcomes of all included patients preoperatively and postoperativelyVariableGroup A (22 hips)Group B (24 hips)T valueP valuePreoperative hip contracture (°)39.3 ± 20.337.7 ± 18.70.280.40Preoperative HHS30.5 ± 5.931.4 ± 4.6-0.620.58Postoperative HHS84.0 ± 2.883.4 ± 2.00.890.38Postoperative extension (°)0.73 ± 2.40.54 ± 1.90.290.77Postoperative flexion (°)86.5 ± 4.485.7 ± 3.50.670.50Postoperative ROM (°)85.7 ± 4.585.1 ± 4.10.470.64Time of walking for the first time postoperatively5.1 ± 2.63.6 ± 1.22.430.02*average blood transfusions (U)3 ± 3.970.71 ± 1.992.290.028*blood transfusion rate8/11(72.7 %)5/24 (20.8 %)--Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyROM range of motionHHS Harris Hip scoreP values with statistical significance are marked with *\nClinical outcomes of all included patients preoperatively and postoperatively\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nROM range of motion\nHHS Harris Hip score\nP values with statistical significance are marked with *\nHowever, the statistical difference was found that the patients receiving synchronous bilateral THAs needed more time to walk for the first time postoperatively with 5.1 ± 2.6 days, while it was 3.6 ± 1.2 days for group B (P = 0.02) (Table 2). The average interval time between two operations was 40.8 ± 23.0 days for group B. Furthermore, blood transfusions perioperatively were also different between the two groups. Average blood transfusions were 3 ± 3.97 U for group A and 0.71 ± 1.99 U for group B (i = 0.028), while the blood transfusion rate was 8/11 (72.7 %) for group A and 5/24 (20.8 %) for group B. The average hospital expense of bilateral THA was (108,660 ± 6440) RMB for group A, while it was (113,238 ± 6759) RMB for group B. Although no statistical difference was found between groups on hospital expense (P = 0.90), the average hospital expense for group A was less than that of group B. For group A, 10 patients were very satisfactory and 1 patient was satisfied with the outcomes. And all 12 patients of group B were very satisfied with the outcomes. None was unsatisfactory with the outcomes.\nRadiographic evaluation For group A, at the latest follow-up, there was no difference in the average IC between the right and left hips (P = 0.48) (Fig. 1). Similarly, the same result was found in group B (P = 0.37) (Fig. 2). For the FO, the patients in group A showed no difference between the right and left hips (P = 0.07), while the statistical difference was found in group B (P = 0.04) (Table 3). Also, we compared the difference of bilateral IC and the difference of bilateral FO for both groups (Table 4). The differences of bilateral IC were 3.0 ± 2.1°for group A and 5.5 ± 2.4°for group B (P = 0.02). Meanwhile, the differences of bilateral FO were 0.35 ± 0.27 cm for group A and 0.32 ± 0.21 cm for group B. And LLD were 0.48 ± 0.39 cm for group A and 0.45 ± 0.31 cm for group B. No differences were found between groups for the differences of bilateral FO (P = 0.78) and LLD (P = 0.83). 5 patients (10 hips) for group A and 6 patients (12 hips) for group B used additional screws for fixation (Table 1) and no influence on the final results was observed.\nTable 3Radiographic evaluation of the included patients between groupsVariableGroup A (22 hips)Group B (24 hips)Right hipsLeft hipsTPRight hipsLeft hipsTPAverage IC (°)39.6 ± 3.838.8 ± 5.10.730.4841.5 ± 4.439.9 ± 5.20.940.37Average FO (cm)4.6 ± 0.64.4 ± 0.62.160.074.1 ± 0.33.9 ± 0.32.340.04*Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyIC inclination of cup; FO femoral offsetP values with statistical significance are marked with *Fig. 1Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the componentFig. 2Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis\nRadiographic evaluation of the included patients between groups\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nIC inclination of cup; FO femoral offset\nP values with statistical significance are marked with *\nCase presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the component\nCase presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis\nRadiographic evaluation of the included patients between groups postoperatively\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nIC inclination of cup; FO femoral offset; LLD leg length discrepancy\nP values with statistical significance are marked with *\nFor group A, at the latest follow-up, there was no difference in the average IC between the right and left hips (P = 0.48) (Fig. 1). Similarly, the same result was found in group B (P = 0.37) (Fig. 2). For the FO, the patients in group A showed no difference between the right and left hips (P = 0.07), while the statistical difference was found in group B (P = 0.04) (Table 3). Also, we compared the difference of bilateral IC and the difference of bilateral FO for both groups (Table 4). The differences of bilateral IC were 3.0 ± 2.1°for group A and 5.5 ± 2.4°for group B (P = 0.02). Meanwhile, the differences of bilateral FO were 0.35 ± 0.27 cm for group A and 0.32 ± 0.21 cm for group B. And LLD were 0.48 ± 0.39 cm for group A and 0.45 ± 0.31 cm for group B. No differences were found between groups for the differences of bilateral FO (P = 0.78) and LLD (P = 0.83). 5 patients (10 hips) for group A and 6 patients (12 hips) for group B used additional screws for fixation (Table 1) and no influence on the final results was observed.\nTable 3Radiographic evaluation of the included patients between groupsVariableGroup A (22 hips)Group B (24 hips)Right hipsLeft hipsTPRight hipsLeft hipsTPAverage IC (°)39.6 ± 3.838.8 ± 5.10.730.4841.5 ± 4.439.9 ± 5.20.940.37Average FO (cm)4.6 ± 0.64.4 ± 0.62.160.074.1 ± 0.33.9 ± 0.32.340.04*Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyIC inclination of cup; FO femoral offsetP values with statistical significance are marked with *Fig. 1Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the componentFig. 2Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis\nRadiographic evaluation of the included patients between groups\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nIC inclination of cup; FO femoral offset\nP values with statistical significance are marked with *\nCase presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the component\nCase presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis\nRadiographic evaluation of the included patients between groups postoperatively\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nIC inclination of cup; FO femoral offset; LLD leg length discrepancy\nP values with statistical significance are marked with *\nComplications Only two hips in group A encountered early-onset complications. One femoral encountered fracture intraoperatively, which was fixed with several double-loop cerclage wires immediately. The patients mainly conducted the functional exercise in bed until the fracture healed. Another patient suffered from hip dislocation postoperatively and delay union of wound. With effective handling, no dislocation happened evermore and the wound recovered ultimately. For late-onset complications, three hips (13.6 %) in group A and three hips (12.5 %) in group B encountered asymptomatic HO, all of which belonged to Brooker I. Other complications such as dislocation, osteolysis, and loosening were not observed.\nOnly two hips in group A encountered early-onset complications. One femoral encountered fracture intraoperatively, which was fixed with several double-loop cerclage wires immediately. The patients mainly conducted the functional exercise in bed until the fracture healed. Another patient suffered from hip dislocation postoperatively and delay union of wound. With effective handling, no dislocation happened evermore and the wound recovered ultimately. For late-onset complications, three hips (13.6 %) in group A and three hips (12.5 %) in group B encountered asymptomatic HO, all of which belonged to Brooker I. Other complications such as dislocation, osteolysis, and loosening were not observed.", "The preoperative hip flexion contracture showed (39.3 ± 20.3)° for group A and (37.7 ± 18.7) ° for group B (P = 0.40) in Table 2. The average preoperative HHS increased from preoperative 30.5 ± 5.9 to 84.0 ± 2.8 at the latest follow-up for group A and from preoperative 31.4 ± 4.6 to 83.4 ± 2.0 for group B. Moreover, all of the hips lost total ROM of hip preoperatively, but at the latest follow-up, the average flection-extension ROM was 85.7 ± 4.5° for group A and 85.1 ± 4.1° for group B. The average flexion and extension were 86.5 ± 4.4° and 0.73 ± 2.4° for group A and 85.7 ± 3.5° and 0.54 ± 1.9° for group B, respectively. No statistical difference was found in both groups, but large improvement was realized postoperatively (Table 2).\nTable 2Clinical outcomes of all included patients preoperatively and postoperativelyVariableGroup A (22 hips)Group B (24 hips)T valueP valuePreoperative hip contracture (°)39.3 ± 20.337.7 ± 18.70.280.40Preoperative HHS30.5 ± 5.931.4 ± 4.6-0.620.58Postoperative HHS84.0 ± 2.883.4 ± 2.00.890.38Postoperative extension (°)0.73 ± 2.40.54 ± 1.90.290.77Postoperative flexion (°)86.5 ± 4.485.7 ± 3.50.670.50Postoperative ROM (°)85.7 ± 4.585.1 ± 4.10.470.64Time of walking for the first time postoperatively5.1 ± 2.63.6 ± 1.22.430.02*average blood transfusions (U)3 ± 3.970.71 ± 1.992.290.028*blood transfusion rate8/11(72.7 %)5/24 (20.8 %)--Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyROM range of motionHHS Harris Hip scoreP values with statistical significance are marked with *\nClinical outcomes of all included patients preoperatively and postoperatively\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nROM range of motion\nHHS Harris Hip score\nP values with statistical significance are marked with *\nHowever, the statistical difference was found that the patients receiving synchronous bilateral THAs needed more time to walk for the first time postoperatively with 5.1 ± 2.6 days, while it was 3.6 ± 1.2 days for group B (P = 0.02) (Table 2). The average interval time between two operations was 40.8 ± 23.0 days for group B. Furthermore, blood transfusions perioperatively were also different between the two groups. Average blood transfusions were 3 ± 3.97 U for group A and 0.71 ± 1.99 U for group B (i = 0.028), while the blood transfusion rate was 8/11 (72.7 %) for group A and 5/24 (20.8 %) for group B. The average hospital expense of bilateral THA was (108,660 ± 6440) RMB for group A, while it was (113,238 ± 6759) RMB for group B. Although no statistical difference was found between groups on hospital expense (P = 0.90), the average hospital expense for group A was less than that of group B. For group A, 10 patients were very satisfactory and 1 patient was satisfied with the outcomes. And all 12 patients of group B were very satisfied with the outcomes. None was unsatisfactory with the outcomes.", "For group A, at the latest follow-up, there was no difference in the average IC between the right and left hips (P = 0.48) (Fig. 1). Similarly, the same result was found in group B (P = 0.37) (Fig. 2). For the FO, the patients in group A showed no difference between the right and left hips (P = 0.07), while the statistical difference was found in group B (P = 0.04) (Table 3). Also, we compared the difference of bilateral IC and the difference of bilateral FO for both groups (Table 4). The differences of bilateral IC were 3.0 ± 2.1°for group A and 5.5 ± 2.4°for group B (P = 0.02). Meanwhile, the differences of bilateral FO were 0.35 ± 0.27 cm for group A and 0.32 ± 0.21 cm for group B. And LLD were 0.48 ± 0.39 cm for group A and 0.45 ± 0.31 cm for group B. No differences were found between groups for the differences of bilateral FO (P = 0.78) and LLD (P = 0.83). 5 patients (10 hips) for group A and 6 patients (12 hips) for group B used additional screws for fixation (Table 1) and no influence on the final results was observed.\nTable 3Radiographic evaluation of the included patients between groupsVariableGroup A (22 hips)Group B (24 hips)Right hipsLeft hipsTPRight hipsLeft hipsTPAverage IC (°)39.6 ± 3.838.8 ± 5.10.730.4841.5 ± 4.439.9 ± 5.20.940.37Average FO (cm)4.6 ± 0.64.4 ± 0.62.160.074.1 ± 0.33.9 ± 0.32.340.04*Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyIC inclination of cup; FO femoral offsetP values with statistical significance are marked with *Fig. 1Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the componentFig. 2Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis\nRadiographic evaluation of the included patients between groups\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nIC inclination of cup; FO femoral offset\nP values with statistical significance are marked with *\nCase presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the component\nCase presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis\nRadiographic evaluation of the included patients between groups postoperatively\nGroup A: synchronous cementless bilateral total hip arthroplasty\nGroup B: sequential cementless bilateral total hip arthroplasty\nIC inclination of cup; FO femoral offset; LLD leg length discrepancy\nP values with statistical significance are marked with *", "Only two hips in group A encountered early-onset complications. One femoral encountered fracture intraoperatively, which was fixed with several double-loop cerclage wires immediately. The patients mainly conducted the functional exercise in bed until the fracture healed. Another patient suffered from hip dislocation postoperatively and delay union of wound. With effective handling, no dislocation happened evermore and the wound recovered ultimately. For late-onset complications, three hips (13.6 %) in group A and three hips (12.5 %) in group B encountered asymptomatic HO, all of which belonged to Brooker I. Other complications such as dislocation, osteolysis, and loosening were not observed.", "The most important finding of this study was that cementless bilateral THA for osseous ankylosed hips with AS showed good clinical outcomes and almost all patients were very satisfied with the functional improvements and no statistical difference was found on total hospital expense for both groups. Besides, compared to sequential bilateral THA, synchronous bilateral THA can realize the comparative clinical and radiographic outcomes with an average follow-up of more than 79 months. But synchronous bilateral THA may need more blood transfusions and more time to walk for the first time postoperatively.\nWhen AS patients have presented bilateral osseous ankylosed hips, THA has been delayed for a long time. Hip fusion may avoid pain from joint motion but pain due to degeneration of adjacent joints may gradually appear and aggravate. And it is more technically difficult for osseous ankylosed hip performed THA than non-ankylosed hip [7]. Fortunately, efficient surgical skills about THA for ankylosed hip due to AS were recommended [7, 12, 15]. Also, the recent study has reported satisfactory long-term survivorship for THA to 89.4 % at 15 years, 70.2 % at 20 years, and 57.9 % at 25 years [25]. So, we suggest that for AS patients, once the hip present pain, obvious joint space stenosis, and noneffective conservative treatment, THA should be scheduled.\nSeveral challenges may be faced when performing THA for the bony ankylosed hip. Firstly, there were three approaches to expose the coxa including posterolateral approach [7, 13, 14], posterior approach [26–28], and direct lateral approach with trochanteric osteotomy [6, 12]. And the direct lateral approach was usually performed with trochanteric osteotomy, which may result in possible nonunion of the greater trochanter [13] and nerve injury especially the superior gluteal nerve [29, 30]. The other two approaches can realize sufficient exposure to the acetabulum and proximal femur. But more attention should be attached to preventing the risk of sciatic nerve injury due to scarred and contracted soft tissues around the hip caused by AS [31, 32]. These two approaches both can achieve a safe and high-quality THA and we recommended them as effective approaches to perform THA. Secondly, it is difficult that how to conduct acetabular reaming appropriately and insert the cup with a suitable size for the bony ankylosed hip. It is helpful to identify the original joint plane and confirm the depth of reaming that the foveal soft tissue and incomplete gray ossifying cartilage in the interface of femoral head and acetabulum [7, 13, 14]. Of course, a detailed preoperative plan and intraoperative radiography facilitate judging the suitable size and avoiding over-reaming. Thirdly, the asymmetric pelvis caused a great challenge of cup insertion in the appropriate direction [12]. The malposition of the cup can lead to dislocation or impingement and accelerate liner wear [12, 33]. Although the study has reported different ways to modify the angle of the cup to realize the safe range (40°±10° for inclination and 15°±10°for anteversion) according to different kinds of deformities [34], yet we consider them complicated and unquantifiable. We suggest intraoperative radiography and tests of hip stability in all directions to avoid dislocation and impingement. The results of our study also demonstrated the validity of the methods recommended by us.\nThe purpose of THA for the bony ankylosed hip is to correct hip deformity and restore fundamental flexion-extension ROM from the fusion hip. It was reported that the increase of ROM and improvement in self-care ability were two important factors associating with patient satisfaction [11]. Although the conversion of the bony ankylosed hip to THA led to inferior ROM and HHS compared to primary THA (PTHA), THA for those patients can relieve pain, restore hip mobility, improve function, and correct LLD [13, 16]. However, THA for fusion hip can be more technically difficult, need more operation time, and cause more traumatic response compared to PTHA [7, 12, 14, 33], which may result in more blood loss and longer time of rehabilitation. Maybe it is more obvious for bilateral THA performed synchronously. The research has reported that the postoperative transfusion rate for one-stage bilateral PTHA was 29.2 % and unilateral PTHA was 15.9 % as well as more rehabilitation time required for bilateral PTHA [35]. And our study also showed more blood transfusions were needed for synchronous and sequential procedures. Furthermore, the synchronous demanded more transfusions and more time of rehabilitation than the sequential. Fortunately, with the extensive use of tranexamic acid in total joint arthroplasty [36, 37], the blood loss can be reduced obviously. Additionally, the total hospital expense for each patient of both groups was similar and almost all patients were very satisfied with the outcomes. The possible reason may be that THA restored the hip ROM and improved patients’ self-care ability as reported [11]. Also, this can account for the high satisfactory level of our study. Moreover, these two operation options can realize comparable HHS and flexion-extension ROM. So, for the patients with good nutritional status, one-stage bilateral THA may be an alternative means to cure bony ankylosed hip synchronously. And no difference was found in LLD, IC, and the difference of bilateral FO. Although the synchronous procedure can obtain less difference of bilateral IC, yet the average IC of both two procedures fluctuates between 30°and 50°. If we perform sample-size calculation, the estimate was based on the postoperative HHS among the 2 study groups using G*Power Version 3.1.9.2 (Franz Faul; Uni Kiel, Germany) software. The previous study of 31 hips who had undergone unilateral THA [28] and the previous study of 24 hips who had undergone synchronous bilateral THA [7] showed that the mean postoperative HHS were 87.1 ± 13.1 and 82.7 ± 6.9, respectively; to detect a treatment difference of 10 %, the sample size required for each group of the study was 90 hips. This sample size was calculated for independent samples T test assuming a standard effect size (d) = 0.42, an alpha level (two-tailed) = 0.05, and power = 0.8. The sample size was increased by 20 % to compensate for expected dropouts, resulting in 108 hips per group and a total number of 216 hips. The relatively small sample size (22 hips for group A and 24 hips for group B) may account for this difference.\nThe study reported that AS increased perioperative and postoperative complications after THA and high incidence of complications including wound complication, polyethylene wear, revision, and dislocation [38]. Survival analysis of THA for AS was 81.4 % at 15 years [6], which was lower than that of THA for other etiologies [25]. Also, the rate of polyethylene wear of THA for the bony ankylosed hip was high than that of PTHA concluded by Kim et al. [39]. Two reasons may explain the higher rates of implant failure for the bony ankylosed hip. Firstly, possible component malposition and abnormal spinopelvic mechanics contribute to abnormal stress to the implants and result in acceleration of polyethylene wear and increase of revision rate [40, 41]. Secondly, the patients receiving THA due to AS are younger and more active than average patients and present higher functional demand and physical activity [38]. According to our research, it was found that good survival of prosthesis for bony ankylosed hip on an average 79-months follow-up. Hip dislocation is another frequent complication. Possible component malposition and increased demand for the ROM of hip due to rigidity of spine added risk of hip dislocation when running daily activity [42]. Also, the weakness of abductor muscles was another risk of dislocation. Based on our research, appropriate prosthesis insertion lay the foundation for stability. Contracture of the soft tissue due to AS limited hip ROM and reduced the incidence of dislocation. And reasonable rehabilitation postoperatively was conducive to the strength of abductor muscles. Intraoperative periprosthetic fracture is another noticeable complication. Osteoporosis of the acetabulum and proximal femur is usually encountered for fusion hip due to long-term disuse [15]. When inserting the prosthesis, the excessive impact may cause cup protrusion into the pelvis or proximal femoral fracture resulting in poor primary fixation of the stem. So, appropriate impact and careful examination of possible fracture should be involved intraoperatively. If necessary, additional screws or the stem with distal fixation should be used also.\nSeveral strengths and limitations were noticed in our study. First, the study was a retrospective evaluation of patients with a small sample size and short follow-up at a single center. But it was the currently biggest sample-size research about THA for bilateral bony ankylosed hips and the first research to compare clinical outcomes of the synchronous procedure with that of the sequential procedure. Second, although the surgery-specific information including intraoperative blood loss, total blood loss, and inflammatory biomarkers can’t be obtained, yet the total hospital expense for each patient and satisfactory level were reported for the first time. Third, Imaging changes of the pelvic and lumbar can affect postoperative dislocation of THA and stability of the prosthesis, but we just compared the clinical outcomes of the synchronous procedure with that of the sequential procedure as well as brief radiographic comparisons. And no detailed reports about imaging change were presented in the study. Our research team is studying the relationship of lumbar lesions caused by AS and stability of prosthesis as well as related imaging change. We will report our results in the future and we believe it can solve this problem.", "Our retrospective research demonstrated that cementless bilateral THA was a reliable treatment for osseous ankylosed hip due to AS. Synchronous and sequential bilateral THA can realize similarly satisfactory clinical outcomes and radiographic evaluation." ]
[ null, null, null, null, null, null, null, null, null, "results", null, null, null, "discussion", "conclusion" ]
[ "Bilateral total hip arthroplasty", "Ankylosing spondylitis", "Ankylosed hips" ]
Background: Ankylosing spondylitis (AS) is an inflammation spondyloarthritis affecting the axial spine and peripheral joints and characterized by low back pain and limited range of motion (ROM) of lumbar spine [1, 2]. And AS is diagnosed using the modified New York criteria requiring image change of sacroiliitis and painful reduction of lumbar spine ROM as well as stiffness more than 3 months [3]. Hips are the most common peripheral joints involved and approximately 25 %~50 % of patients can encounter hip involved [4, 5], of which 90 % presents bilateral hip ankylosis [6]. The end-stage hip ankylosis usually manifests osseous ankylosis with the total loss of hip ROM [7]. Although bilateral hip fusion leads to stable and painless hip, yet the loss of hip function and premature degeneration of neighboring joints harm the quality of life, especially for suboptimal hip fusion for a long period [8–10]. Total hip arthroplasty (THA) can relieve pain and recover the ROM of the hip to improve joint function and self-care ability [11]. Also, many literatures have reported good radiographic outcomes and improvements in hip function [7, 12–14]. However, for bilateral osseous ankylosed hips with AS, there is no consensus on synchronous or sequential THA for these special patients. There are many difficulties for bony ankylosed hip conversion to THA, which include the exposure of surgical area [7], the ambiguous identification of original joint plane [7], disuse osteoporosis [15], weakness of abductor muscle [16], and pelvic obliquity [12]. For bilateral bony ankylosed hips with AS, while synchronous THA may prolong operation time and cause more blood loss, bilateral hip lesions can be solved simultaneously. Moreover, two flectional hips can be favorable for functional rehabilitation postoperatively. Comparatively, sequential THA for these patients shorten operation time and cause less surgical damage, yet the temporary unhandled ankylosed hip can be an obstacle to the rehabilitation of the operated hip. Additionally, the total two hospitalization expenses may be more than that of synchronous procedure. Currently, the literatures just reported synchronous or sequential THA for osseous ankylosed hips with AS [7, 12–14] with the limitations such as different types of cementless cup, cemented or cementless stem [12], short time of follow-up [14], and small study population [7]. There was no report comparing the clinical and radiographic outcomes of synchronous and sequential cementless bilateral THA for osseous ankylosed hips with AS. To our knowledge, this study compared the clinical and radiographic outcomes of synchronous and sequential cementless bilateral THA to correct hip osseous ankylosis with AS for the first time. And it was also the currently largest sample-size research on the outcomes of THA for bilateral ankylosed hips with AS. It was hypothesized that for osseous ankylosed hips with AS, synchronous cementless bilateral THA can realize similar outcomes with sequential THA. Methods: Data were collected by retrospective review of a prospective database from January 2010 to December 2017. Study approval was obtained from the Clinical Trials and Biomedical Ethics Committee of West China Hospital, and all participants signed informed consents for the use of their data. The data included patient demographics, time of walking for the first time postoperatively, preoperative hip flexion contracture, total hospital expense, satisfactory level, range of flection-extension motion, Harris Hip Scores (HHS), transfusion, radiological assessments, and complications. Patients The inclusion criteria: patients diagnosed with AS and performed primary cementless THA; patients with bilateral osseous ankylosed hips and trabecula bridging the joint plane on radiograph; total loss of hip ROM; patients receiving bilateral THA synchronously or sequentially. the exclusion criteria: bilateral osseous ankylosed hips caused by other reasons; unilateral osseous ankylosed hip with AS; fibrous ankylosis of the hip and no trabecula bridging the joint plane on radiograph; patients just receiving unilateral THA; the patients lost to follow-up. Ultimately, we analyzed the data of the patients receiving bilateral THA synchronously (group A) and bilateral THA sequentially (group B). The synchronous or sequential procedures were based on patients’ financial situation and patients’ choice. For the surgeon, surgery could be performed, if the patients meet preoperative screening. All hips were identified as bony ankylosed hip with the total loss of ROM. The patients have been diagnosed with AS for many years and irregular treatment was done. All patients had total loss ROM of lumbar without ankylosis of the knee. 1 patient of group A and 1 patient of group B received lumbar spinal osteotomy and fusion before THA. We called up the patients to accomplish follow-up. And we obtained the latest clinical and radiological outcomes. 11 patients (22 hips) in group A and 12 patients (24 hips) in group B were followed up. The demographic data of the patients were summarized in Table 1. The mean duration of the follow-up was 81.9 ± 36.3 months for group A and 79.9 ± 29.1 months for group B (P = 0.84). Table 1Baseline Characteristics of all included patientsVariableGroup A (22 hips)Group B (24 hips)T valueP valueM/F10/110/2--Height (cm)161.9 ± 9.0160.0 ± 5.10.880.37Weight (Kg)59.9 ± 10.758.1 ± 6.60.690.50BMI (Kg/m2)22.7 ± 3.322.7 ± 2.5-0.020.98Friction couples Ceramic-on ceramic1818-- Ceramic-on-polyethylene46-- Additional screws fixation (patients/hips)5/106/12-- Average follow-up time (months)81.9 ± 36.379.9 ± 29.10.210.84Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyBMI body mass index Baseline Characteristics of all included patients Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty BMI body mass index The inclusion criteria: patients diagnosed with AS and performed primary cementless THA; patients with bilateral osseous ankylosed hips and trabecula bridging the joint plane on radiograph; total loss of hip ROM; patients receiving bilateral THA synchronously or sequentially. the exclusion criteria: bilateral osseous ankylosed hips caused by other reasons; unilateral osseous ankylosed hip with AS; fibrous ankylosis of the hip and no trabecula bridging the joint plane on radiograph; patients just receiving unilateral THA; the patients lost to follow-up. Ultimately, we analyzed the data of the patients receiving bilateral THA synchronously (group A) and bilateral THA sequentially (group B). The synchronous or sequential procedures were based on patients’ financial situation and patients’ choice. For the surgeon, surgery could be performed, if the patients meet preoperative screening. All hips were identified as bony ankylosed hip with the total loss of ROM. The patients have been diagnosed with AS for many years and irregular treatment was done. All patients had total loss ROM of lumbar without ankylosis of the knee. 1 patient of group A and 1 patient of group B received lumbar spinal osteotomy and fusion before THA. We called up the patients to accomplish follow-up. And we obtained the latest clinical and radiological outcomes. 11 patients (22 hips) in group A and 12 patients (24 hips) in group B were followed up. The demographic data of the patients were summarized in Table 1. The mean duration of the follow-up was 81.9 ± 36.3 months for group A and 79.9 ± 29.1 months for group B (P = 0.84). Table 1Baseline Characteristics of all included patientsVariableGroup A (22 hips)Group B (24 hips)T valueP valueM/F10/110/2--Height (cm)161.9 ± 9.0160.0 ± 5.10.880.37Weight (Kg)59.9 ± 10.758.1 ± 6.60.690.50BMI (Kg/m2)22.7 ± 3.322.7 ± 2.5-0.020.98Friction couples Ceramic-on ceramic1818-- Ceramic-on-polyethylene46-- Additional screws fixation (patients/hips)5/106/12-- Average follow-up time (months)81.9 ± 36.379.9 ± 29.10.210.84Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyBMI body mass index Baseline Characteristics of all included patients Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty BMI body mass index Surgical procedures All operations were performed by a group of surgeons specializing in THA. Considering the different degrees of hip deformities, the worse hip was done first. After general anesthesia, all patients were positioned in the lateral position and exposed to the hips through a posterolateral approach. The femoral neck was identified according to the lesser trochanter and osteotomy was done without hip dislocation. For the hip with external rotation deformity, osteotomy behind the femoral neck was difficult. So, we usually performed an osteotomy in the front of the femoral neck to avoid damage of the greater trochanter and posterior acetabulum. No trochanteric osteotomy was performed. Reamers with the gradual increase in diameter were used to prepare the acetabulum in the medial direction and the counterrotation technique was used to avoid over-reaming of the osteoporotic acetabulum. According to foveal soft tissue and incomplete gray ossifying cartilage, we located the original joint plane. The optimal cup size and cup inclination of the acetabulum implant were identified by intraoperative fluoroscopy. And the anteversion of the cup was confirmed with the indication of transverse acetabular ligament or long axis of the body. If the initial press-fit was not satisfactory, additional screws would be used to fix the cup before inserting the liner. For the preparation of the femoral canal, sequentially larger reamers were used to enlarge the canal until the diaphyseal cortex was involved. The lesser trochanter and ipsilateral transcondylar line indicated the anteversion of the stem. Then femoral trial prosthesis was inserted to correct the leg length discrepancy (LLD), check the stability in all directions, and optimize the femoral offset. At last, the cementless femoral prosthesis and femoral head were inserted. We checked again the stability and ROM of the hip to ensure optimal angles and postoperative mobility. If the hip can’t be abducted more than 15° passively, we would cut off the adductor tendon. At the end of the procedure, the external rotator muscles were restored and the drainage was selected according to the time of operation and blood loss before incision suturing. Only one single brand (DePuy, Warsaw, IN) of the cementless cup and stem implants were used for all patients. The friction interfaces used included ceramic-on-ceramic (CoC) or ceramic-on-polyethylene (CoP), which were decided according to the age, level of activity, and patients’ financial situation. All operations were performed by a group of surgeons specializing in THA. Considering the different degrees of hip deformities, the worse hip was done first. After general anesthesia, all patients were positioned in the lateral position and exposed to the hips through a posterolateral approach. The femoral neck was identified according to the lesser trochanter and osteotomy was done without hip dislocation. For the hip with external rotation deformity, osteotomy behind the femoral neck was difficult. So, we usually performed an osteotomy in the front of the femoral neck to avoid damage of the greater trochanter and posterior acetabulum. No trochanteric osteotomy was performed. Reamers with the gradual increase in diameter were used to prepare the acetabulum in the medial direction and the counterrotation technique was used to avoid over-reaming of the osteoporotic acetabulum. According to foveal soft tissue and incomplete gray ossifying cartilage, we located the original joint plane. The optimal cup size and cup inclination of the acetabulum implant were identified by intraoperative fluoroscopy. And the anteversion of the cup was confirmed with the indication of transverse acetabular ligament or long axis of the body. If the initial press-fit was not satisfactory, additional screws would be used to fix the cup before inserting the liner. For the preparation of the femoral canal, sequentially larger reamers were used to enlarge the canal until the diaphyseal cortex was involved. The lesser trochanter and ipsilateral transcondylar line indicated the anteversion of the stem. Then femoral trial prosthesis was inserted to correct the leg length discrepancy (LLD), check the stability in all directions, and optimize the femoral offset. At last, the cementless femoral prosthesis and femoral head were inserted. We checked again the stability and ROM of the hip to ensure optimal angles and postoperative mobility. If the hip can’t be abducted more than 15° passively, we would cut off the adductor tendon. At the end of the procedure, the external rotator muscles were restored and the drainage was selected according to the time of operation and blood loss before incision suturing. Only one single brand (DePuy, Warsaw, IN) of the cementless cup and stem implants were used for all patients. The friction interfaces used included ceramic-on-ceramic (CoC) or ceramic-on-polyethylene (CoP), which were decided according to the age, level of activity, and patients’ financial situation. Perioperative Regimen Isometric exercises and positive motion exercises were conducted in bed after recovering from anesthesia. Prophylactic intravenous antibiotics were used within the first 24 h postoperatively. Additionally, low-molecular-weight heparin (LMWH) was systematically managed to prevent deep venous thrombosis (DVT). A half-dose (2000 IU in 0.2 mL) of LMWH was initially administered subcutaneously 6 h postoperatively and a full dose (4000 IU in 0.4 mL) was repeated at 24-hour intervals subsequently until hospital discharge. After discharge, all patients routinely received 10 mg rivaroxaban for 15 days. And non-steroidal anti-inflammatory drugs (NSAIDs) were used to relieve pain and reduce the chance of heterotopic ossification (HO) for two weeks. For unbearable postoperative pain, additional painkillers by intravenous or intramuscular injection were added. The drainage tube was removed within 24 h. From the first postoperative day on, the patients were allowed to partial weight-bearing exercises with the help of the walker aid, then exercise with the help of cane after 2 weeks and full weight-bearing exercises after 4 weeks without help. Moreover, for the patient with hip flection deformity preoperatively, the hip gradually extended under the circumstances of bearable pain. Routine clinical follow-up visits were conducted at 2 weeks, 4 weeks, 12 weeks, and 6 months after surgery and annually. Isometric exercises and positive motion exercises were conducted in bed after recovering from anesthesia. Prophylactic intravenous antibiotics were used within the first 24 h postoperatively. Additionally, low-molecular-weight heparin (LMWH) was systematically managed to prevent deep venous thrombosis (DVT). A half-dose (2000 IU in 0.2 mL) of LMWH was initially administered subcutaneously 6 h postoperatively and a full dose (4000 IU in 0.4 mL) was repeated at 24-hour intervals subsequently until hospital discharge. After discharge, all patients routinely received 10 mg rivaroxaban for 15 days. And non-steroidal anti-inflammatory drugs (NSAIDs) were used to relieve pain and reduce the chance of heterotopic ossification (HO) for two weeks. For unbearable postoperative pain, additional painkillers by intravenous or intramuscular injection were added. The drainage tube was removed within 24 h. From the first postoperative day on, the patients were allowed to partial weight-bearing exercises with the help of the walker aid, then exercise with the help of cane after 2 weeks and full weight-bearing exercises after 4 weeks without help. Moreover, for the patient with hip flection deformity preoperatively, the hip gradually extended under the circumstances of bearable pain. Routine clinical follow-up visits were conducted at 2 weeks, 4 weeks, 12 weeks, and 6 months after surgery and annually. Clinical measurements At the latest follow-up, clinical details were recorded including hip flection-extension ROM and Harris Hip Scores (HHS) of the two groups [17]. A special ruler was used to measure the range of hip flexion and extension when the patients were in the supine position. ROM and Harris scores were examined by 2 authors to reduce the bias. Satisfactory levels were divided into very satisfactory, satisfactory, unsatisfactory, and very unsatisfactory. Additionally, from our database, we collected the data such as the time of walking for the first time postoperatively, preoperative hip flexion contracture, total hospital expense for each patient, the average blood transfusions, and the blood transfusion rate. The standard of blood transfusions referred to the guidelines of the National Ministry of Health, recommending blood transfusion for hemoglobin level less than 7 g/dL until the level reached or exceeded 8 g/dL. Additionally, when hemoglobin level fluctuated between 7 and 10 g/dL, transfusion would be considered in patients with symptomatic anemia (severe mental status changes, palpitations, and/or pallor). At the latest follow-up, clinical details were recorded including hip flection-extension ROM and Harris Hip Scores (HHS) of the two groups [17]. A special ruler was used to measure the range of hip flexion and extension when the patients were in the supine position. ROM and Harris scores were examined by 2 authors to reduce the bias. Satisfactory levels were divided into very satisfactory, satisfactory, unsatisfactory, and very unsatisfactory. Additionally, from our database, we collected the data such as the time of walking for the first time postoperatively, preoperative hip flexion contracture, total hospital expense for each patient, the average blood transfusions, and the blood transfusion rate. The standard of blood transfusions referred to the guidelines of the National Ministry of Health, recommending blood transfusion for hemoglobin level less than 7 g/dL until the level reached or exceeded 8 g/dL. Additionally, when hemoglobin level fluctuated between 7 and 10 g/dL, transfusion would be considered in patients with symptomatic anemia (severe mental status changes, palpitations, and/or pallor). Radiological assessments Standard anteroposterior radiographs were obtained preoperatively, immediately after surgery, and at the latest follow-up. And the radiological data were collected and analyzed by the same two authors. The assessments included the inclination of the cup (IC), the difference of bilateral IC, the femoral offset (FO), the difference of bilateral FO and LLD at the latest follow-up. IC was measured directly on the AP radiograph. The angle crossed by the horizontal line connecting both teardrops and the line through the longest diameter of the elliptical opening of the acetabular cup rim was recorded and regarded as IC [12]. If the teardrops were unrecognizable or the pelvis was asymmetric, we firstly bisected the sacrum with a vertical line A and secondly drawn a perpendicular line B to line A [12]. So, line B can be used as a horizontal line. FO was defined as the vertical distance from the center of the femoral head to the ipsilateral anatomical femoral axis [18]. LLD was assessed by the standardized-trochanteric method to avoid the influence of pelvic obliquity and femoral inclination on the radiographs [19]. The standardized-trochanteric method requires the vertical distance from the inter-teardrop line to the center of rotation and the femoral vertical distance (center of rotation to the lesser trochanter) reference to the femoral anatomical axis. So, the unilateral distance is defined as the difference between the two vertical distances. And LLD is equal to the difference between the two unilateral distances. Standard anteroposterior radiographs were obtained preoperatively, immediately after surgery, and at the latest follow-up. And the radiological data were collected and analyzed by the same two authors. The assessments included the inclination of the cup (IC), the difference of bilateral IC, the femoral offset (FO), the difference of bilateral FO and LLD at the latest follow-up. IC was measured directly on the AP radiograph. The angle crossed by the horizontal line connecting both teardrops and the line through the longest diameter of the elliptical opening of the acetabular cup rim was recorded and regarded as IC [12]. If the teardrops were unrecognizable or the pelvis was asymmetric, we firstly bisected the sacrum with a vertical line A and secondly drawn a perpendicular line B to line A [12]. So, line B can be used as a horizontal line. FO was defined as the vertical distance from the center of the femoral head to the ipsilateral anatomical femoral axis [18]. LLD was assessed by the standardized-trochanteric method to avoid the influence of pelvic obliquity and femoral inclination on the radiographs [19]. The standardized-trochanteric method requires the vertical distance from the inter-teardrop line to the center of rotation and the femoral vertical distance (center of rotation to the lesser trochanter) reference to the femoral anatomical axis. So, the unilateral distance is defined as the difference between the two vertical distances. And LLD is equal to the difference between the two unilateral distances. Complications The complications were recorded and evaluated including early-onset and late-onset complications during the perioperative period and at the latest follow-up. The early-onset complications consisted of dislocation, wound complication, infection, intraoperative fracture, DVT, pulmonary embolism, and nerve palsy. The data were collected from the database. Meanwhile, the late-onset complications consisted of postoperative dislocation, HO, osteolysis, and aseptic loosening at the latest follow-up, which were assessed by the same two authors. Based on Brooker classification [20], we analyzed and classified the degree of HO. Osteolysis was defined as cystic or scalloped lesions with a diameter of more than 2 mm on radiograph [21, 22]. According to the criteria of DeLee et al. [23], the acetabular component was considered loose if a complete radiolucent line thicker than 1mm at bone-implant interface or migration of the component showed. Besides, the femoral implant stability was evaluated according to Engh et al. [24], the stem was considered loose if subsidence more than 2 mm or angular shift of the stem more than 2° showed. The complications were recorded and evaluated including early-onset and late-onset complications during the perioperative period and at the latest follow-up. The early-onset complications consisted of dislocation, wound complication, infection, intraoperative fracture, DVT, pulmonary embolism, and nerve palsy. The data were collected from the database. Meanwhile, the late-onset complications consisted of postoperative dislocation, HO, osteolysis, and aseptic loosening at the latest follow-up, which were assessed by the same two authors. Based on Brooker classification [20], we analyzed and classified the degree of HO. Osteolysis was defined as cystic or scalloped lesions with a diameter of more than 2 mm on radiograph [21, 22]. According to the criteria of DeLee et al. [23], the acetabular component was considered loose if a complete radiolucent line thicker than 1mm at bone-implant interface or migration of the component showed. Besides, the femoral implant stability was evaluated according to Engh et al. [24], the stem was considered loose if subsidence more than 2 mm or angular shift of the stem more than 2° showed. Statistical analysis Statistical analysis was performed using SPSS software for Windows Version 22.0 (SPSS, Chicago, IL). The level of statistical significance was set at p<0.05. The results were expressed as the mean ± standard deviation. Independent sample T test was used for data analysis. Statistical analysis was performed using SPSS software for Windows Version 22.0 (SPSS, Chicago, IL). The level of statistical significance was set at p<0.05. The results were expressed as the mean ± standard deviation. Independent sample T test was used for data analysis. Patients: The inclusion criteria: patients diagnosed with AS and performed primary cementless THA; patients with bilateral osseous ankylosed hips and trabecula bridging the joint plane on radiograph; total loss of hip ROM; patients receiving bilateral THA synchronously or sequentially. the exclusion criteria: bilateral osseous ankylosed hips caused by other reasons; unilateral osseous ankylosed hip with AS; fibrous ankylosis of the hip and no trabecula bridging the joint plane on radiograph; patients just receiving unilateral THA; the patients lost to follow-up. Ultimately, we analyzed the data of the patients receiving bilateral THA synchronously (group A) and bilateral THA sequentially (group B). The synchronous or sequential procedures were based on patients’ financial situation and patients’ choice. For the surgeon, surgery could be performed, if the patients meet preoperative screening. All hips were identified as bony ankylosed hip with the total loss of ROM. The patients have been diagnosed with AS for many years and irregular treatment was done. All patients had total loss ROM of lumbar without ankylosis of the knee. 1 patient of group A and 1 patient of group B received lumbar spinal osteotomy and fusion before THA. We called up the patients to accomplish follow-up. And we obtained the latest clinical and radiological outcomes. 11 patients (22 hips) in group A and 12 patients (24 hips) in group B were followed up. The demographic data of the patients were summarized in Table 1. The mean duration of the follow-up was 81.9 ± 36.3 months for group A and 79.9 ± 29.1 months for group B (P = 0.84). Table 1Baseline Characteristics of all included patientsVariableGroup A (22 hips)Group B (24 hips)T valueP valueM/F10/110/2--Height (cm)161.9 ± 9.0160.0 ± 5.10.880.37Weight (Kg)59.9 ± 10.758.1 ± 6.60.690.50BMI (Kg/m2)22.7 ± 3.322.7 ± 2.5-0.020.98Friction couples Ceramic-on ceramic1818-- Ceramic-on-polyethylene46-- Additional screws fixation (patients/hips)5/106/12-- Average follow-up time (months)81.9 ± 36.379.9 ± 29.10.210.84Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyBMI body mass index Baseline Characteristics of all included patients Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty BMI body mass index Surgical procedures: All operations were performed by a group of surgeons specializing in THA. Considering the different degrees of hip deformities, the worse hip was done first. After general anesthesia, all patients were positioned in the lateral position and exposed to the hips through a posterolateral approach. The femoral neck was identified according to the lesser trochanter and osteotomy was done without hip dislocation. For the hip with external rotation deformity, osteotomy behind the femoral neck was difficult. So, we usually performed an osteotomy in the front of the femoral neck to avoid damage of the greater trochanter and posterior acetabulum. No trochanteric osteotomy was performed. Reamers with the gradual increase in diameter were used to prepare the acetabulum in the medial direction and the counterrotation technique was used to avoid over-reaming of the osteoporotic acetabulum. According to foveal soft tissue and incomplete gray ossifying cartilage, we located the original joint plane. The optimal cup size and cup inclination of the acetabulum implant were identified by intraoperative fluoroscopy. And the anteversion of the cup was confirmed with the indication of transverse acetabular ligament or long axis of the body. If the initial press-fit was not satisfactory, additional screws would be used to fix the cup before inserting the liner. For the preparation of the femoral canal, sequentially larger reamers were used to enlarge the canal until the diaphyseal cortex was involved. The lesser trochanter and ipsilateral transcondylar line indicated the anteversion of the stem. Then femoral trial prosthesis was inserted to correct the leg length discrepancy (LLD), check the stability in all directions, and optimize the femoral offset. At last, the cementless femoral prosthesis and femoral head were inserted. We checked again the stability and ROM of the hip to ensure optimal angles and postoperative mobility. If the hip can’t be abducted more than 15° passively, we would cut off the adductor tendon. At the end of the procedure, the external rotator muscles were restored and the drainage was selected according to the time of operation and blood loss before incision suturing. Only one single brand (DePuy, Warsaw, IN) of the cementless cup and stem implants were used for all patients. The friction interfaces used included ceramic-on-ceramic (CoC) or ceramic-on-polyethylene (CoP), which were decided according to the age, level of activity, and patients’ financial situation. Perioperative Regimen: Isometric exercises and positive motion exercises were conducted in bed after recovering from anesthesia. Prophylactic intravenous antibiotics were used within the first 24 h postoperatively. Additionally, low-molecular-weight heparin (LMWH) was systematically managed to prevent deep venous thrombosis (DVT). A half-dose (2000 IU in 0.2 mL) of LMWH was initially administered subcutaneously 6 h postoperatively and a full dose (4000 IU in 0.4 mL) was repeated at 24-hour intervals subsequently until hospital discharge. After discharge, all patients routinely received 10 mg rivaroxaban for 15 days. And non-steroidal anti-inflammatory drugs (NSAIDs) were used to relieve pain and reduce the chance of heterotopic ossification (HO) for two weeks. For unbearable postoperative pain, additional painkillers by intravenous or intramuscular injection were added. The drainage tube was removed within 24 h. From the first postoperative day on, the patients were allowed to partial weight-bearing exercises with the help of the walker aid, then exercise with the help of cane after 2 weeks and full weight-bearing exercises after 4 weeks without help. Moreover, for the patient with hip flection deformity preoperatively, the hip gradually extended under the circumstances of bearable pain. Routine clinical follow-up visits were conducted at 2 weeks, 4 weeks, 12 weeks, and 6 months after surgery and annually. Clinical measurements: At the latest follow-up, clinical details were recorded including hip flection-extension ROM and Harris Hip Scores (HHS) of the two groups [17]. A special ruler was used to measure the range of hip flexion and extension when the patients were in the supine position. ROM and Harris scores were examined by 2 authors to reduce the bias. Satisfactory levels were divided into very satisfactory, satisfactory, unsatisfactory, and very unsatisfactory. Additionally, from our database, we collected the data such as the time of walking for the first time postoperatively, preoperative hip flexion contracture, total hospital expense for each patient, the average blood transfusions, and the blood transfusion rate. The standard of blood transfusions referred to the guidelines of the National Ministry of Health, recommending blood transfusion for hemoglobin level less than 7 g/dL until the level reached or exceeded 8 g/dL. Additionally, when hemoglobin level fluctuated between 7 and 10 g/dL, transfusion would be considered in patients with symptomatic anemia (severe mental status changes, palpitations, and/or pallor). Radiological assessments: Standard anteroposterior radiographs were obtained preoperatively, immediately after surgery, and at the latest follow-up. And the radiological data were collected and analyzed by the same two authors. The assessments included the inclination of the cup (IC), the difference of bilateral IC, the femoral offset (FO), the difference of bilateral FO and LLD at the latest follow-up. IC was measured directly on the AP radiograph. The angle crossed by the horizontal line connecting both teardrops and the line through the longest diameter of the elliptical opening of the acetabular cup rim was recorded and regarded as IC [12]. If the teardrops were unrecognizable or the pelvis was asymmetric, we firstly bisected the sacrum with a vertical line A and secondly drawn a perpendicular line B to line A [12]. So, line B can be used as a horizontal line. FO was defined as the vertical distance from the center of the femoral head to the ipsilateral anatomical femoral axis [18]. LLD was assessed by the standardized-trochanteric method to avoid the influence of pelvic obliquity and femoral inclination on the radiographs [19]. The standardized-trochanteric method requires the vertical distance from the inter-teardrop line to the center of rotation and the femoral vertical distance (center of rotation to the lesser trochanter) reference to the femoral anatomical axis. So, the unilateral distance is defined as the difference between the two vertical distances. And LLD is equal to the difference between the two unilateral distances. Complications: The complications were recorded and evaluated including early-onset and late-onset complications during the perioperative period and at the latest follow-up. The early-onset complications consisted of dislocation, wound complication, infection, intraoperative fracture, DVT, pulmonary embolism, and nerve palsy. The data were collected from the database. Meanwhile, the late-onset complications consisted of postoperative dislocation, HO, osteolysis, and aseptic loosening at the latest follow-up, which were assessed by the same two authors. Based on Brooker classification [20], we analyzed and classified the degree of HO. Osteolysis was defined as cystic or scalloped lesions with a diameter of more than 2 mm on radiograph [21, 22]. According to the criteria of DeLee et al. [23], the acetabular component was considered loose if a complete radiolucent line thicker than 1mm at bone-implant interface or migration of the component showed. Besides, the femoral implant stability was evaluated according to Engh et al. [24], the stem was considered loose if subsidence more than 2 mm or angular shift of the stem more than 2° showed. Statistical analysis: Statistical analysis was performed using SPSS software for Windows Version 22.0 (SPSS, Chicago, IL). The level of statistical significance was set at p<0.05. The results were expressed as the mean ± standard deviation. Independent sample T test was used for data analysis. Results: Clinical outcomes The preoperative hip flexion contracture showed (39.3 ± 20.3)° for group A and (37.7 ± 18.7) ° for group B (P = 0.40) in Table 2. The average preoperative HHS increased from preoperative 30.5 ± 5.9 to 84.0 ± 2.8 at the latest follow-up for group A and from preoperative 31.4 ± 4.6 to 83.4 ± 2.0 for group B. Moreover, all of the hips lost total ROM of hip preoperatively, but at the latest follow-up, the average flection-extension ROM was 85.7 ± 4.5° for group A and 85.1 ± 4.1° for group B. The average flexion and extension were 86.5 ± 4.4° and 0.73 ± 2.4° for group A and 85.7 ± 3.5° and 0.54 ± 1.9° for group B, respectively. No statistical difference was found in both groups, but large improvement was realized postoperatively (Table 2). Table 2Clinical outcomes of all included patients preoperatively and postoperativelyVariableGroup A (22 hips)Group B (24 hips)T valueP valuePreoperative hip contracture (°)39.3 ± 20.337.7 ± 18.70.280.40Preoperative HHS30.5 ± 5.931.4 ± 4.6-0.620.58Postoperative HHS84.0 ± 2.883.4 ± 2.00.890.38Postoperative extension (°)0.73 ± 2.40.54 ± 1.90.290.77Postoperative flexion (°)86.5 ± 4.485.7 ± 3.50.670.50Postoperative ROM (°)85.7 ± 4.585.1 ± 4.10.470.64Time of walking for the first time postoperatively5.1 ± 2.63.6 ± 1.22.430.02*average blood transfusions (U)3 ± 3.970.71 ± 1.992.290.028*blood transfusion rate8/11(72.7 %)5/24 (20.8 %)--Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyROM range of motionHHS Harris Hip scoreP values with statistical significance are marked with * Clinical outcomes of all included patients preoperatively and postoperatively Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty ROM range of motion HHS Harris Hip score P values with statistical significance are marked with * However, the statistical difference was found that the patients receiving synchronous bilateral THAs needed more time to walk for the first time postoperatively with 5.1 ± 2.6 days, while it was 3.6 ± 1.2 days for group B (P = 0.02) (Table 2). The average interval time between two operations was 40.8 ± 23.0 days for group B. Furthermore, blood transfusions perioperatively were also different between the two groups. Average blood transfusions were 3 ± 3.97 U for group A and 0.71 ± 1.99 U for group B (i = 0.028), while the blood transfusion rate was 8/11 (72.7 %) for group A and 5/24 (20.8 %) for group B. The average hospital expense of bilateral THA was (108,660 ± 6440) RMB for group A, while it was (113,238 ± 6759) RMB for group B. Although no statistical difference was found between groups on hospital expense (P = 0.90), the average hospital expense for group A was less than that of group B. For group A, 10 patients were very satisfactory and 1 patient was satisfied with the outcomes. And all 12 patients of group B were very satisfied with the outcomes. None was unsatisfactory with the outcomes. The preoperative hip flexion contracture showed (39.3 ± 20.3)° for group A and (37.7 ± 18.7) ° for group B (P = 0.40) in Table 2. The average preoperative HHS increased from preoperative 30.5 ± 5.9 to 84.0 ± 2.8 at the latest follow-up for group A and from preoperative 31.4 ± 4.6 to 83.4 ± 2.0 for group B. Moreover, all of the hips lost total ROM of hip preoperatively, but at the latest follow-up, the average flection-extension ROM was 85.7 ± 4.5° for group A and 85.1 ± 4.1° for group B. The average flexion and extension were 86.5 ± 4.4° and 0.73 ± 2.4° for group A and 85.7 ± 3.5° and 0.54 ± 1.9° for group B, respectively. No statistical difference was found in both groups, but large improvement was realized postoperatively (Table 2). Table 2Clinical outcomes of all included patients preoperatively and postoperativelyVariableGroup A (22 hips)Group B (24 hips)T valueP valuePreoperative hip contracture (°)39.3 ± 20.337.7 ± 18.70.280.40Preoperative HHS30.5 ± 5.931.4 ± 4.6-0.620.58Postoperative HHS84.0 ± 2.883.4 ± 2.00.890.38Postoperative extension (°)0.73 ± 2.40.54 ± 1.90.290.77Postoperative flexion (°)86.5 ± 4.485.7 ± 3.50.670.50Postoperative ROM (°)85.7 ± 4.585.1 ± 4.10.470.64Time of walking for the first time postoperatively5.1 ± 2.63.6 ± 1.22.430.02*average blood transfusions (U)3 ± 3.970.71 ± 1.992.290.028*blood transfusion rate8/11(72.7 %)5/24 (20.8 %)--Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyROM range of motionHHS Harris Hip scoreP values with statistical significance are marked with * Clinical outcomes of all included patients preoperatively and postoperatively Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty ROM range of motion HHS Harris Hip score P values with statistical significance are marked with * However, the statistical difference was found that the patients receiving synchronous bilateral THAs needed more time to walk for the first time postoperatively with 5.1 ± 2.6 days, while it was 3.6 ± 1.2 days for group B (P = 0.02) (Table 2). The average interval time between two operations was 40.8 ± 23.0 days for group B. Furthermore, blood transfusions perioperatively were also different between the two groups. Average blood transfusions were 3 ± 3.97 U for group A and 0.71 ± 1.99 U for group B (i = 0.028), while the blood transfusion rate was 8/11 (72.7 %) for group A and 5/24 (20.8 %) for group B. The average hospital expense of bilateral THA was (108,660 ± 6440) RMB for group A, while it was (113,238 ± 6759) RMB for group B. Although no statistical difference was found between groups on hospital expense (P = 0.90), the average hospital expense for group A was less than that of group B. For group A, 10 patients were very satisfactory and 1 patient was satisfied with the outcomes. And all 12 patients of group B were very satisfied with the outcomes. None was unsatisfactory with the outcomes. Radiographic evaluation For group A, at the latest follow-up, there was no difference in the average IC between the right and left hips (P = 0.48) (Fig. 1). Similarly, the same result was found in group B (P = 0.37) (Fig. 2). For the FO, the patients in group A showed no difference between the right and left hips (P = 0.07), while the statistical difference was found in group B (P = 0.04) (Table 3). Also, we compared the difference of bilateral IC and the difference of bilateral FO for both groups (Table 4). The differences of bilateral IC were 3.0 ± 2.1°for group A and 5.5 ± 2.4°for group B (P = 0.02). Meanwhile, the differences of bilateral FO were 0.35 ± 0.27 cm for group A and 0.32 ± 0.21 cm for group B. And LLD were 0.48 ± 0.39 cm for group A and 0.45 ± 0.31 cm for group B. No differences were found between groups for the differences of bilateral FO (P = 0.78) and LLD (P = 0.83). 5 patients (10 hips) for group A and 6 patients (12 hips) for group B used additional screws for fixation (Table 1) and no influence on the final results was observed. Table 3Radiographic evaluation of the included patients between groupsVariableGroup A (22 hips)Group B (24 hips)Right hipsLeft hipsTPRight hipsLeft hipsTPAverage IC (°)39.6 ± 3.838.8 ± 5.10.730.4841.5 ± 4.439.9 ± 5.20.940.37Average FO (cm)4.6 ± 0.64.4 ± 0.62.160.074.1 ± 0.33.9 ± 0.32.340.04*Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyIC inclination of cup; FO femoral offsetP values with statistical significance are marked with *Fig. 1Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the componentFig. 2Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis Radiographic evaluation of the included patients between groups Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty IC inclination of cup; FO femoral offset P values with statistical significance are marked with * Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the component Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis Radiographic evaluation of the included patients between groups postoperatively Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty IC inclination of cup; FO femoral offset; LLD leg length discrepancy P values with statistical significance are marked with * For group A, at the latest follow-up, there was no difference in the average IC between the right and left hips (P = 0.48) (Fig. 1). Similarly, the same result was found in group B (P = 0.37) (Fig. 2). For the FO, the patients in group A showed no difference between the right and left hips (P = 0.07), while the statistical difference was found in group B (P = 0.04) (Table 3). Also, we compared the difference of bilateral IC and the difference of bilateral FO for both groups (Table 4). The differences of bilateral IC were 3.0 ± 2.1°for group A and 5.5 ± 2.4°for group B (P = 0.02). Meanwhile, the differences of bilateral FO were 0.35 ± 0.27 cm for group A and 0.32 ± 0.21 cm for group B. And LLD were 0.48 ± 0.39 cm for group A and 0.45 ± 0.31 cm for group B. No differences were found between groups for the differences of bilateral FO (P = 0.78) and LLD (P = 0.83). 5 patients (10 hips) for group A and 6 patients (12 hips) for group B used additional screws for fixation (Table 1) and no influence on the final results was observed. Table 3Radiographic evaluation of the included patients between groupsVariableGroup A (22 hips)Group B (24 hips)Right hipsLeft hipsTPRight hipsLeft hipsTPAverage IC (°)39.6 ± 3.838.8 ± 5.10.730.4841.5 ± 4.439.9 ± 5.20.940.37Average FO (cm)4.6 ± 0.64.4 ± 0.62.160.074.1 ± 0.33.9 ± 0.32.340.04*Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyIC inclination of cup; FO femoral offsetP values with statistical significance are marked with *Fig. 1Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the componentFig. 2Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis Radiographic evaluation of the included patients between groups Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty IC inclination of cup; FO femoral offset P values with statistical significance are marked with * Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the component Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis Radiographic evaluation of the included patients between groups postoperatively Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty IC inclination of cup; FO femoral offset; LLD leg length discrepancy P values with statistical significance are marked with * Complications Only two hips in group A encountered early-onset complications. One femoral encountered fracture intraoperatively, which was fixed with several double-loop cerclage wires immediately. The patients mainly conducted the functional exercise in bed until the fracture healed. Another patient suffered from hip dislocation postoperatively and delay union of wound. With effective handling, no dislocation happened evermore and the wound recovered ultimately. For late-onset complications, three hips (13.6 %) in group A and three hips (12.5 %) in group B encountered asymptomatic HO, all of which belonged to Brooker I. Other complications such as dislocation, osteolysis, and loosening were not observed. Only two hips in group A encountered early-onset complications. One femoral encountered fracture intraoperatively, which was fixed with several double-loop cerclage wires immediately. The patients mainly conducted the functional exercise in bed until the fracture healed. Another patient suffered from hip dislocation postoperatively and delay union of wound. With effective handling, no dislocation happened evermore and the wound recovered ultimately. For late-onset complications, three hips (13.6 %) in group A and three hips (12.5 %) in group B encountered asymptomatic HO, all of which belonged to Brooker I. Other complications such as dislocation, osteolysis, and loosening were not observed. Clinical outcomes: The preoperative hip flexion contracture showed (39.3 ± 20.3)° for group A and (37.7 ± 18.7) ° for group B (P = 0.40) in Table 2. The average preoperative HHS increased from preoperative 30.5 ± 5.9 to 84.0 ± 2.8 at the latest follow-up for group A and from preoperative 31.4 ± 4.6 to 83.4 ± 2.0 for group B. Moreover, all of the hips lost total ROM of hip preoperatively, but at the latest follow-up, the average flection-extension ROM was 85.7 ± 4.5° for group A and 85.1 ± 4.1° for group B. The average flexion and extension were 86.5 ± 4.4° and 0.73 ± 2.4° for group A and 85.7 ± 3.5° and 0.54 ± 1.9° for group B, respectively. No statistical difference was found in both groups, but large improvement was realized postoperatively (Table 2). Table 2Clinical outcomes of all included patients preoperatively and postoperativelyVariableGroup A (22 hips)Group B (24 hips)T valueP valuePreoperative hip contracture (°)39.3 ± 20.337.7 ± 18.70.280.40Preoperative HHS30.5 ± 5.931.4 ± 4.6-0.620.58Postoperative HHS84.0 ± 2.883.4 ± 2.00.890.38Postoperative extension (°)0.73 ± 2.40.54 ± 1.90.290.77Postoperative flexion (°)86.5 ± 4.485.7 ± 3.50.670.50Postoperative ROM (°)85.7 ± 4.585.1 ± 4.10.470.64Time of walking for the first time postoperatively5.1 ± 2.63.6 ± 1.22.430.02*average blood transfusions (U)3 ± 3.970.71 ± 1.992.290.028*blood transfusion rate8/11(72.7 %)5/24 (20.8 %)--Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyROM range of motionHHS Harris Hip scoreP values with statistical significance are marked with * Clinical outcomes of all included patients preoperatively and postoperatively Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty ROM range of motion HHS Harris Hip score P values with statistical significance are marked with * However, the statistical difference was found that the patients receiving synchronous bilateral THAs needed more time to walk for the first time postoperatively with 5.1 ± 2.6 days, while it was 3.6 ± 1.2 days for group B (P = 0.02) (Table 2). The average interval time between two operations was 40.8 ± 23.0 days for group B. Furthermore, blood transfusions perioperatively were also different between the two groups. Average blood transfusions were 3 ± 3.97 U for group A and 0.71 ± 1.99 U for group B (i = 0.028), while the blood transfusion rate was 8/11 (72.7 %) for group A and 5/24 (20.8 %) for group B. The average hospital expense of bilateral THA was (108,660 ± 6440) RMB for group A, while it was (113,238 ± 6759) RMB for group B. Although no statistical difference was found between groups on hospital expense (P = 0.90), the average hospital expense for group A was less than that of group B. For group A, 10 patients were very satisfactory and 1 patient was satisfied with the outcomes. And all 12 patients of group B were very satisfied with the outcomes. None was unsatisfactory with the outcomes. Radiographic evaluation: For group A, at the latest follow-up, there was no difference in the average IC between the right and left hips (P = 0.48) (Fig. 1). Similarly, the same result was found in group B (P = 0.37) (Fig. 2). For the FO, the patients in group A showed no difference between the right and left hips (P = 0.07), while the statistical difference was found in group B (P = 0.04) (Table 3). Also, we compared the difference of bilateral IC and the difference of bilateral FO for both groups (Table 4). The differences of bilateral IC were 3.0 ± 2.1°for group A and 5.5 ± 2.4°for group B (P = 0.02). Meanwhile, the differences of bilateral FO were 0.35 ± 0.27 cm for group A and 0.32 ± 0.21 cm for group B. And LLD were 0.48 ± 0.39 cm for group A and 0.45 ± 0.31 cm for group B. No differences were found between groups for the differences of bilateral FO (P = 0.78) and LLD (P = 0.83). 5 patients (10 hips) for group A and 6 patients (12 hips) for group B used additional screws for fixation (Table 1) and no influence on the final results was observed. Table 3Radiographic evaluation of the included patients between groupsVariableGroup A (22 hips)Group B (24 hips)Right hipsLeft hipsTPRight hipsLeft hipsTPAverage IC (°)39.6 ± 3.838.8 ± 5.10.730.4841.5 ± 4.439.9 ± 5.20.940.37Average FO (cm)4.6 ± 0.64.4 ± 0.62.160.074.1 ± 0.33.9 ± 0.32.340.04*Group A: synchronous cementless bilateral total hip arthroplastyGroup B: sequential cementless bilateral total hip arthroplastyIC inclination of cup; FO femoral offsetP values with statistical significance are marked with *Fig. 1Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the componentFig. 2Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis Radiographic evaluation of the included patients between groups Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty IC inclination of cup; FO femoral offset P values with statistical significance are marked with * Case presentation of synchronous cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis after surgery immediately showed similar inclination of cup and femoral off-set as well as small leg-length discrepancy c: The radiograph of the pelvis at 100-month follow-up showed no aseptic loosening and migration of the component Case presentation of sequential cementless bilateral total hip arthroplasty for osseous ankylosed hips with ankylosing spondylitis. a: A man was diagnosed with ankylosing spondylitis and showed bilateral osseous ankylosed hips preoperatively. b: The radiograph of the pelvis before contralateral THA showed excellent prosthesis position and size of firstly performed THA. c: The film of the pelvis at 97-month follow-up showed superior radiological parameter and good fixation of the prosthesis Radiographic evaluation of the included patients between groups postoperatively Group A: synchronous cementless bilateral total hip arthroplasty Group B: sequential cementless bilateral total hip arthroplasty IC inclination of cup; FO femoral offset; LLD leg length discrepancy P values with statistical significance are marked with * Complications: Only two hips in group A encountered early-onset complications. One femoral encountered fracture intraoperatively, which was fixed with several double-loop cerclage wires immediately. The patients mainly conducted the functional exercise in bed until the fracture healed. Another patient suffered from hip dislocation postoperatively and delay union of wound. With effective handling, no dislocation happened evermore and the wound recovered ultimately. For late-onset complications, three hips (13.6 %) in group A and three hips (12.5 %) in group B encountered asymptomatic HO, all of which belonged to Brooker I. Other complications such as dislocation, osteolysis, and loosening were not observed. Discussion: The most important finding of this study was that cementless bilateral THA for osseous ankylosed hips with AS showed good clinical outcomes and almost all patients were very satisfied with the functional improvements and no statistical difference was found on total hospital expense for both groups. Besides, compared to sequential bilateral THA, synchronous bilateral THA can realize the comparative clinical and radiographic outcomes with an average follow-up of more than 79 months. But synchronous bilateral THA may need more blood transfusions and more time to walk for the first time postoperatively. When AS patients have presented bilateral osseous ankylosed hips, THA has been delayed for a long time. Hip fusion may avoid pain from joint motion but pain due to degeneration of adjacent joints may gradually appear and aggravate. And it is more technically difficult for osseous ankylosed hip performed THA than non-ankylosed hip [7]. Fortunately, efficient surgical skills about THA for ankylosed hip due to AS were recommended [7, 12, 15]. Also, the recent study has reported satisfactory long-term survivorship for THA to 89.4 % at 15 years, 70.2 % at 20 years, and 57.9 % at 25 years [25]. So, we suggest that for AS patients, once the hip present pain, obvious joint space stenosis, and noneffective conservative treatment, THA should be scheduled. Several challenges may be faced when performing THA for the bony ankylosed hip. Firstly, there were three approaches to expose the coxa including posterolateral approach [7, 13, 14], posterior approach [26–28], and direct lateral approach with trochanteric osteotomy [6, 12]. And the direct lateral approach was usually performed with trochanteric osteotomy, which may result in possible nonunion of the greater trochanter [13] and nerve injury especially the superior gluteal nerve [29, 30]. The other two approaches can realize sufficient exposure to the acetabulum and proximal femur. But more attention should be attached to preventing the risk of sciatic nerve injury due to scarred and contracted soft tissues around the hip caused by AS [31, 32]. These two approaches both can achieve a safe and high-quality THA and we recommended them as effective approaches to perform THA. Secondly, it is difficult that how to conduct acetabular reaming appropriately and insert the cup with a suitable size for the bony ankylosed hip. It is helpful to identify the original joint plane and confirm the depth of reaming that the foveal soft tissue and incomplete gray ossifying cartilage in the interface of femoral head and acetabulum [7, 13, 14]. Of course, a detailed preoperative plan and intraoperative radiography facilitate judging the suitable size and avoiding over-reaming. Thirdly, the asymmetric pelvis caused a great challenge of cup insertion in the appropriate direction [12]. The malposition of the cup can lead to dislocation or impingement and accelerate liner wear [12, 33]. Although the study has reported different ways to modify the angle of the cup to realize the safe range (40°±10° for inclination and 15°±10°for anteversion) according to different kinds of deformities [34], yet we consider them complicated and unquantifiable. We suggest intraoperative radiography and tests of hip stability in all directions to avoid dislocation and impingement. The results of our study also demonstrated the validity of the methods recommended by us. The purpose of THA for the bony ankylosed hip is to correct hip deformity and restore fundamental flexion-extension ROM from the fusion hip. It was reported that the increase of ROM and improvement in self-care ability were two important factors associating with patient satisfaction [11]. Although the conversion of the bony ankylosed hip to THA led to inferior ROM and HHS compared to primary THA (PTHA), THA for those patients can relieve pain, restore hip mobility, improve function, and correct LLD [13, 16]. However, THA for fusion hip can be more technically difficult, need more operation time, and cause more traumatic response compared to PTHA [7, 12, 14, 33], which may result in more blood loss and longer time of rehabilitation. Maybe it is more obvious for bilateral THA performed synchronously. The research has reported that the postoperative transfusion rate for one-stage bilateral PTHA was 29.2 % and unilateral PTHA was 15.9 % as well as more rehabilitation time required for bilateral PTHA [35]. And our study also showed more blood transfusions were needed for synchronous and sequential procedures. Furthermore, the synchronous demanded more transfusions and more time of rehabilitation than the sequential. Fortunately, with the extensive use of tranexamic acid in total joint arthroplasty [36, 37], the blood loss can be reduced obviously. Additionally, the total hospital expense for each patient of both groups was similar and almost all patients were very satisfied with the outcomes. The possible reason may be that THA restored the hip ROM and improved patients’ self-care ability as reported [11]. Also, this can account for the high satisfactory level of our study. Moreover, these two operation options can realize comparable HHS and flexion-extension ROM. So, for the patients with good nutritional status, one-stage bilateral THA may be an alternative means to cure bony ankylosed hip synchronously. And no difference was found in LLD, IC, and the difference of bilateral FO. Although the synchronous procedure can obtain less difference of bilateral IC, yet the average IC of both two procedures fluctuates between 30°and 50°. If we perform sample-size calculation, the estimate was based on the postoperative HHS among the 2 study groups using G*Power Version 3.1.9.2 (Franz Faul; Uni Kiel, Germany) software. The previous study of 31 hips who had undergone unilateral THA [28] and the previous study of 24 hips who had undergone synchronous bilateral THA [7] showed that the mean postoperative HHS were 87.1 ± 13.1 and 82.7 ± 6.9, respectively; to detect a treatment difference of 10 %, the sample size required for each group of the study was 90 hips. This sample size was calculated for independent samples T test assuming a standard effect size (d) = 0.42, an alpha level (two-tailed) = 0.05, and power = 0.8. The sample size was increased by 20 % to compensate for expected dropouts, resulting in 108 hips per group and a total number of 216 hips. The relatively small sample size (22 hips for group A and 24 hips for group B) may account for this difference. The study reported that AS increased perioperative and postoperative complications after THA and high incidence of complications including wound complication, polyethylene wear, revision, and dislocation [38]. Survival analysis of THA for AS was 81.4 % at 15 years [6], which was lower than that of THA for other etiologies [25]. Also, the rate of polyethylene wear of THA for the bony ankylosed hip was high than that of PTHA concluded by Kim et al. [39]. Two reasons may explain the higher rates of implant failure for the bony ankylosed hip. Firstly, possible component malposition and abnormal spinopelvic mechanics contribute to abnormal stress to the implants and result in acceleration of polyethylene wear and increase of revision rate [40, 41]. Secondly, the patients receiving THA due to AS are younger and more active than average patients and present higher functional demand and physical activity [38]. According to our research, it was found that good survival of prosthesis for bony ankylosed hip on an average 79-months follow-up. Hip dislocation is another frequent complication. Possible component malposition and increased demand for the ROM of hip due to rigidity of spine added risk of hip dislocation when running daily activity [42]. Also, the weakness of abductor muscles was another risk of dislocation. Based on our research, appropriate prosthesis insertion lay the foundation for stability. Contracture of the soft tissue due to AS limited hip ROM and reduced the incidence of dislocation. And reasonable rehabilitation postoperatively was conducive to the strength of abductor muscles. Intraoperative periprosthetic fracture is another noticeable complication. Osteoporosis of the acetabulum and proximal femur is usually encountered for fusion hip due to long-term disuse [15]. When inserting the prosthesis, the excessive impact may cause cup protrusion into the pelvis or proximal femoral fracture resulting in poor primary fixation of the stem. So, appropriate impact and careful examination of possible fracture should be involved intraoperatively. If necessary, additional screws or the stem with distal fixation should be used also. Several strengths and limitations were noticed in our study. First, the study was a retrospective evaluation of patients with a small sample size and short follow-up at a single center. But it was the currently biggest sample-size research about THA for bilateral bony ankylosed hips and the first research to compare clinical outcomes of the synchronous procedure with that of the sequential procedure. Second, although the surgery-specific information including intraoperative blood loss, total blood loss, and inflammatory biomarkers can’t be obtained, yet the total hospital expense for each patient and satisfactory level were reported for the first time. Third, Imaging changes of the pelvic and lumbar can affect postoperative dislocation of THA and stability of the prosthesis, but we just compared the clinical outcomes of the synchronous procedure with that of the sequential procedure as well as brief radiographic comparisons. And no detailed reports about imaging change were presented in the study. Our research team is studying the relationship of lumbar lesions caused by AS and stability of prosthesis as well as related imaging change. We will report our results in the future and we believe it can solve this problem. Conclusions: Our retrospective research demonstrated that cementless bilateral THA was a reliable treatment for osseous ankylosed hip due to AS. Synchronous and sequential bilateral THA can realize similarly satisfactory clinical outcomes and radiographic evaluation.
Background: Bilateral osseous ankylosed hips secondary to ankylosis spondylitis (AS) are relatively rare but impact the quality of life hugely. Cementless total hip arthroplasty (THA) for bilateral osseous ankylosed hips with AS is a challenging procedure. No previous literature compares the clinical outcomes of synchronous and sequential bilateral THA for these special patients. Methods: 23 patients (46 hips) were retrospectively analyzed and divided into bilateral THA synchronously (group A) and sequentially (group B). The clinical measurement, radiological assessments, and complications were compared. Independent sample T test was used for data analysis. Results: Harris Hip Scores (HHS) improved greatly for both groups (P = 0.58) as well as the range of motion (P = 0.64). But group B can realize shorter time (3.6 ± 1.2 days) to walk for the first time postoperatively (P = 0.02). Group A needed more blood transfusions (P = 0.028). For group A, no statistical difference was found in the bilateral inclination of cup (IC) (P = 0.48) and femoral offset (FO) (P = 0.07). For group B, no statistical difference was observed in bilateral IC (P = 0.37) but in bilateral FO (P = 0.04). Group A showed the fewer difference of bilateral IC (P = 0.02), while comparative measurements were found for two groups in the difference of bilateral FO (P = 0.78) and leg length discrepancy (P = 0.83). For both groups, the total hospital expense for each patient was similar and almost all patients were very satisfied with the outcomes. For group A, one patient encountered femoral fracture intraoperatively and another patient encountered hip dislocation and delay union of wound. 3 hips from group A and 3 hips from group B encountered heterotopic ossification. Conclusions: Our retrospective research demonstrated that cementless bilateral THA was a reliable treatment for osseous ankylosed hip due to AS. Synchronous and sequential bilateral THA can realize similarly satisfactory clinical outcomes and radiographic evaluation.
Background: Ankylosing spondylitis (AS) is an inflammation spondyloarthritis affecting the axial spine and peripheral joints and characterized by low back pain and limited range of motion (ROM) of lumbar spine [1, 2]. And AS is diagnosed using the modified New York criteria requiring image change of sacroiliitis and painful reduction of lumbar spine ROM as well as stiffness more than 3 months [3]. Hips are the most common peripheral joints involved and approximately 25 %~50 % of patients can encounter hip involved [4, 5], of which 90 % presents bilateral hip ankylosis [6]. The end-stage hip ankylosis usually manifests osseous ankylosis with the total loss of hip ROM [7]. Although bilateral hip fusion leads to stable and painless hip, yet the loss of hip function and premature degeneration of neighboring joints harm the quality of life, especially for suboptimal hip fusion for a long period [8–10]. Total hip arthroplasty (THA) can relieve pain and recover the ROM of the hip to improve joint function and self-care ability [11]. Also, many literatures have reported good radiographic outcomes and improvements in hip function [7, 12–14]. However, for bilateral osseous ankylosed hips with AS, there is no consensus on synchronous or sequential THA for these special patients. There are many difficulties for bony ankylosed hip conversion to THA, which include the exposure of surgical area [7], the ambiguous identification of original joint plane [7], disuse osteoporosis [15], weakness of abductor muscle [16], and pelvic obliquity [12]. For bilateral bony ankylosed hips with AS, while synchronous THA may prolong operation time and cause more blood loss, bilateral hip lesions can be solved simultaneously. Moreover, two flectional hips can be favorable for functional rehabilitation postoperatively. Comparatively, sequential THA for these patients shorten operation time and cause less surgical damage, yet the temporary unhandled ankylosed hip can be an obstacle to the rehabilitation of the operated hip. Additionally, the total two hospitalization expenses may be more than that of synchronous procedure. Currently, the literatures just reported synchronous or sequential THA for osseous ankylosed hips with AS [7, 12–14] with the limitations such as different types of cementless cup, cemented or cementless stem [12], short time of follow-up [14], and small study population [7]. There was no report comparing the clinical and radiographic outcomes of synchronous and sequential cementless bilateral THA for osseous ankylosed hips with AS. To our knowledge, this study compared the clinical and radiographic outcomes of synchronous and sequential cementless bilateral THA to correct hip osseous ankylosis with AS for the first time. And it was also the currently largest sample-size research on the outcomes of THA for bilateral ankylosed hips with AS. It was hypothesized that for osseous ankylosed hips with AS, synchronous cementless bilateral THA can realize similar outcomes with sequential THA. Conclusions: Our retrospective research demonstrated that cementless bilateral THA was a reliable treatment for osseous ankylosed hip due to AS. Synchronous and sequential bilateral THA can realize similarly satisfactory clinical outcomes and radiographic evaluation.
Background: Bilateral osseous ankylosed hips secondary to ankylosis spondylitis (AS) are relatively rare but impact the quality of life hugely. Cementless total hip arthroplasty (THA) for bilateral osseous ankylosed hips with AS is a challenging procedure. No previous literature compares the clinical outcomes of synchronous and sequential bilateral THA for these special patients. Methods: 23 patients (46 hips) were retrospectively analyzed and divided into bilateral THA synchronously (group A) and sequentially (group B). The clinical measurement, radiological assessments, and complications were compared. Independent sample T test was used for data analysis. Results: Harris Hip Scores (HHS) improved greatly for both groups (P = 0.58) as well as the range of motion (P = 0.64). But group B can realize shorter time (3.6 ± 1.2 days) to walk for the first time postoperatively (P = 0.02). Group A needed more blood transfusions (P = 0.028). For group A, no statistical difference was found in the bilateral inclination of cup (IC) (P = 0.48) and femoral offset (FO) (P = 0.07). For group B, no statistical difference was observed in bilateral IC (P = 0.37) but in bilateral FO (P = 0.04). Group A showed the fewer difference of bilateral IC (P = 0.02), while comparative measurements were found for two groups in the difference of bilateral FO (P = 0.78) and leg length discrepancy (P = 0.83). For both groups, the total hospital expense for each patient was similar and almost all patients were very satisfied with the outcomes. For group A, one patient encountered femoral fracture intraoperatively and another patient encountered hip dislocation and delay union of wound. 3 hips from group A and 3 hips from group B encountered heterotopic ossification. Conclusions: Our retrospective research demonstrated that cementless bilateral THA was a reliable treatment for osseous ankylosed hip due to AS. Synchronous and sequential bilateral THA can realize similarly satisfactory clinical outcomes and radiographic evaluation.
13,228
415
[ 558, 3970, 459, 445, 260, 206, 284, 218, 52, 663, 818, 123 ]
15
[ "group", "hip", "bilateral", "patients", "hips", "total", "tha", "cementless", "femoral", "cementless bilateral" ]
[ "hip osseous ankylosis", "total hip arthroplastyic", "painless hip loss", "pain restore hip", "hips ankylosing spondylitis" ]
null
[CONTENT] Bilateral total hip arthroplasty | Ankylosing spondylitis | Ankylosed hips [SUMMARY]
null
[CONTENT] Bilateral total hip arthroplasty | Ankylosing spondylitis | Ankylosed hips [SUMMARY]
[CONTENT] Bilateral total hip arthroplasty | Ankylosing spondylitis | Ankylosed hips [SUMMARY]
[CONTENT] Bilateral total hip arthroplasty | Ankylosing spondylitis | Ankylosed hips [SUMMARY]
[CONTENT] Bilateral total hip arthroplasty | Ankylosing spondylitis | Ankylosed hips [SUMMARY]
[CONTENT] Arthroplasty, Replacement, Hip | Follow-Up Studies | Hip Joint | Hip Prosthesis | Humans | Quality of Life | Retrospective Studies | Spondylitis, Ankylosing | Treatment Outcome [SUMMARY]
null
[CONTENT] Arthroplasty, Replacement, Hip | Follow-Up Studies | Hip Joint | Hip Prosthesis | Humans | Quality of Life | Retrospective Studies | Spondylitis, Ankylosing | Treatment Outcome [SUMMARY]
[CONTENT] Arthroplasty, Replacement, Hip | Follow-Up Studies | Hip Joint | Hip Prosthesis | Humans | Quality of Life | Retrospective Studies | Spondylitis, Ankylosing | Treatment Outcome [SUMMARY]
[CONTENT] Arthroplasty, Replacement, Hip | Follow-Up Studies | Hip Joint | Hip Prosthesis | Humans | Quality of Life | Retrospective Studies | Spondylitis, Ankylosing | Treatment Outcome [SUMMARY]
[CONTENT] Arthroplasty, Replacement, Hip | Follow-Up Studies | Hip Joint | Hip Prosthesis | Humans | Quality of Life | Retrospective Studies | Spondylitis, Ankylosing | Treatment Outcome [SUMMARY]
[CONTENT] hip osseous ankylosis | total hip arthroplastyic | painless hip loss | pain restore hip | hips ankylosing spondylitis [SUMMARY]
null
[CONTENT] hip osseous ankylosis | total hip arthroplastyic | painless hip loss | pain restore hip | hips ankylosing spondylitis [SUMMARY]
[CONTENT] hip osseous ankylosis | total hip arthroplastyic | painless hip loss | pain restore hip | hips ankylosing spondylitis [SUMMARY]
[CONTENT] hip osseous ankylosis | total hip arthroplastyic | painless hip loss | pain restore hip | hips ankylosing spondylitis [SUMMARY]
[CONTENT] hip osseous ankylosis | total hip arthroplastyic | painless hip loss | pain restore hip | hips ankylosing spondylitis [SUMMARY]
[CONTENT] group | hip | bilateral | patients | hips | total | tha | cementless | femoral | cementless bilateral [SUMMARY]
null
[CONTENT] group | hip | bilateral | patients | hips | total | tha | cementless | femoral | cementless bilateral [SUMMARY]
[CONTENT] group | hip | bilateral | patients | hips | total | tha | cementless | femoral | cementless bilateral [SUMMARY]
[CONTENT] group | hip | bilateral | patients | hips | total | tha | cementless | femoral | cementless bilateral [SUMMARY]
[CONTENT] group | hip | bilateral | patients | hips | total | tha | cementless | femoral | cementless bilateral [SUMMARY]
[CONTENT] hip | tha | ankylosed | bilateral | sequential tha | hips | synchronous | ankylosed hips | osseous | ankylosis [SUMMARY]
null
[CONTENT] group | bilateral | hips | cementless bilateral total | bilateral total | bilateral total hip | cementless bilateral total hip | showed | total hip | hip [SUMMARY]
[CONTENT] bilateral tha | tha realize similarly satisfactory | satisfactory clinical outcomes | bilateral tha realize similarly | bilateral tha reliable | bilateral tha reliable treatment | satisfactory clinical outcomes radiographic | realize similarly | realize similarly satisfactory | research demonstrated [SUMMARY]
[CONTENT] group | hip | bilateral | patients | hips | tha | femoral | total | ankylosed | cementless [SUMMARY]
[CONTENT] group | hip | bilateral | patients | hips | tha | femoral | total | ankylosed | cementless [SUMMARY]
[CONTENT] ||| ||| THA [SUMMARY]
null
[CONTENT] Harris Hip Scores | HHS | 0.58 | 0.64 ||| 3.6 ± | 1.2 days | first | 0.02 ||| 0.028 ||| 0.48 | 0.07 ||| 0.37 | 0.04 ||| Group A | 0.02 | two | 0.78 | 0.83 ||| ||| one ||| 3 | 3 [SUMMARY]
[CONTENT] THA ||| THA [SUMMARY]
[CONTENT] ||| ||| THA ||| 23 | 46 | THA ||| ||| ||| HHS | 0.58 | 0.64 ||| 3.6 ± | 1.2 days | first | 0.02 ||| 0.028 ||| 0.48 | 0.07 ||| 0.37 | 0.04 ||| Group A | 0.02 | two | 0.78 | 0.83 ||| ||| one ||| 3 | 3 ||| THA ||| THA [SUMMARY]
[CONTENT] ||| ||| THA ||| 23 | 46 | THA ||| ||| ||| HHS | 0.58 | 0.64 ||| 3.6 ± | 1.2 days | first | 0.02 ||| 0.028 ||| 0.48 | 0.07 ||| 0.37 | 0.04 ||| Group A | 0.02 | two | 0.78 | 0.83 ||| ||| one ||| 3 | 3 ||| THA ||| THA [SUMMARY]
The use of locking plates in complex midfoot fractures.
23131232
Complex fracture dislocations of the midfoot are uncommon. Improved outcomes have been demonstrated where it has been possible to restore and maintain the length and alignment of the medial column as well as the congruity of the articular surfaces. We present our experience with the use of angle-stable locking plates in the stabilisation of complex midfoot fracture dislocations.
INTRODUCTION
Twelve patients were identified on a prospective trauma database between 2003 and 2009. All fractures involved the medial column with four associated fracture subluxations of the lateral column also. Patients underwent open reduction internal fixation (ORIF) with restoration of the medial column axis, reduction of the articular surface congruity and stabilisation with angle-stable locking plates.
METHODS
There were no post-operative infections or neurological injuries. Ten of the twelve patients required metalwork removal. There were no implant failures prior to removal of the metalwork. At a mean follow-up of 12.4 months (range: 4-32 months), 11 patients had minimal symptoms of swelling, discomfort or stiffness in the midfoot. This did not restrict their daily activities. One patient developed post-traumatic arthritis and collapse of the medial longitudinal arch. Two patients declined removal of the metalwork.
RESULTS
Angle-stable locking plates provide satisfactory stabilisation following ORIF of complex midfoot fracture dislocations. Most patients will require removal of the metalwork. Following removal of metalwork, the majority of patients will maintain the length, alignment and stability of the midfoot.
CONCLUSIONS
[ "Adult", "Aged", "Bone Plates", "Bone Screws", "Calcaneus", "Device Removal", "Female", "Foot Injuries", "Fracture Fixation, Internal", "Fractures, Bone", "Fractures, Comminuted", "Humans", "Joint Dislocations", "Male", "Middle Aged", "Prospective Studies", "Prosthesis Design", "Tarsal Bones", "Treatment Outcome" ]
3954288
null
null
Methods
A review of a prospectively collected audit database over a six-year period (2003–2009) was performed. During this period, 12 patients (5 male, 7 female) were identified as having complex fracture dislocations of the midfoot. All presented to the emergency department on the day of injury. The mean age was 41.9 years (range: 19–21 years). Eleven of the patients sustained high energy injuries while the other sustained the injury following a fall from a standing height. Of the eleven high energy injury cases, four had sustained falls from height, one was a pedal cycle injury and six were vehicle occupants in road traffic collisions. All 12 patients suffered complex fractures involving the medial column of the midfoot (navicular and cuneiform, with or without involvement of the tarsometatarsal joints, with disruption of the talonavicular, navicular-cuneiform or intercuneiform joints.) Four had also sustained injuries to the lateral column of the ipsilateral foot (calcaneocuboid fractures and fracture subluxations). The fracture patterns, method of fixation and outcomes are listed in Table 1. Navicular fractures were classified according to Sangeorzan et al.5 Table 1Summary of fractures sustained, treatment and outcomeFracture patternNumber of patientsAge (years)TreatmentRemoval of metalwork?follow-up duration (months)OutcomeCalcaneus fracture, comminuted cuboid fracture +/- fractures of navicular, cuneiforms or MT bases255, 61Lateral column locking plate +/- lag screw to calcaneus, navicular or cuneiformsYes (1)12, 24Restricted inversion/eversion, minimal pain; CC ankylosis in the patient with retained metalworkType 3 navicular fracture, TN sub-luxation +/- CC subluxation819-81Medial column locking plate + external fixation lateral column in 1 patientYes (all)4-32Slight stiffness, slight discomfort or mild swelling; 1 patient: post-traumatic arthritis, medial arch orthoticsLisfranc injury, base of medial cuneiform fracture, navicular-cuneiform subluxation144Locking plate medial cuneiform - 1st MT, lag screw to cuneiform fracture, positional screw to Lisfranc jointYes13Pain free, slight stiffnessCalcaneus fracture, ST dislocation, TN and CC subluxation, type 3 navicular fracture, large soft tissue defect121Medial column locking plate, primary fusion of ST joint, latissimus dorsi flapNo8No pain from midfoot, discomfort and swelling from soft tissue reconstructionTN = talonavicular; CC = calcaneocuboid; ST = subtalar; MT = metatarsal Summary of fractures sustained, treatment and outcome TN = talonavicular; CC = calcaneocuboid; ST = subtalar; MT = metatarsal All patients were admitted. Closed manipulation of fracture dislocations was undertaken to realign the foot and relieve the tension on the overlying soft tissues. Patients were placed in a temporary backslab incorporating an A-V Impulse System® compression device (Orthofix, Bussolengo, Italy). Surgery was undertaken after soft tissue swelling had subsided, judged by the overall appearance of the foot and the reappearance of skin wrinkles. Surgery was performed using a thigh tourniquet. Fractures were approached via a dorsal or medial longitudinal incision. Reconstruction of the navicular was performed where possible to restore joint congruity and provide interfragmentary compression where appropriate. The intercuneiform and tarsometatarsal joints were reduced and stabilised at the same time. A bridging plate was applied across all injured segments, spanning from the talus to the cuneiform or first metatarsal where necessary. A 3.5mm reconstruction locking compression plate (Synthes, Welwyn Garden City, UK) was used. After appropriate contour, standard screws were used to apply the plate to the proximal and distal segments. Locking screws were then used to complete the stabilisation. The patients were placed in a below knee cast and were kept touch weight bearing for the first six weeks. At this stage, the patients were mobilised out of cast, non-weight bearing, for a further six weeks. The bridging plate was removed at a median time of three months post-operatively (range: 2–6 months). An example of the management of a comminuted navicular fracture is demonstrated in Figures 1–3. Figure 1Pre-operative radiograph of a comminuted navicular fracture Figure 2Radiograph following open reduction internal fixation with medial column locking plate Figure 3Weight bearing radiograph following removal of the bridge plate Pre-operative radiograph of a comminuted navicular fracture Radiograph following open reduction internal fixation with medial column locking plate Weight bearing radiograph following removal of the bridge plate
null
null
Conclusions
Following open reduction and internal fixation of complex fracture dislocations of the midfoot, locking plates provide adequate stabilisation with no evidence of loss of reduction during the healing process. The majority of patients will require removal of the metalwork. Following removal of the metalwork, satisfactory maintenance of length, alignment and stability of the midfoot is maintained, with satisfactory restoration of midfoot function following metalwork removal.
[ "Results", "Discussion", "Conclusions" ]
[ "Patients were followed up in the outpatient fracture clinic for a mean duration of 12.4 months (range: 4–32 months) from the date of primary fracture fixation. There were no deep infections or acute neurological injuries. Ten of the twelve patients had their plate removed through the original incision. Two of the patients declined further surgery.\nOne patient developed post-traumatic collapse of the medial column and arthritis affecting the joints. This patient had had the metalwork removed at three months following fracture fixation. The changes were noted at a routine follow-up appointment ten months after the original surgery and did not occur prior to removal of the plate. This was managed non-operatively with a custom made functional foot orthosis.\nThe other eleven patients complained of either a minor degree of discomfort or stiffness at the midfoot. With regard to the two patients with retained metalwork, neither complained of prominence or pain specific to this.\nApart from one patient, none of the patients complained of restriction to their normal daily activities. (The one particular patient was describing symptoms from the soft tissue reconstruction but not specifically from the midfoot or retained metalwork).", "Complex fracture dislocations to the midfoot are difficult to treat. They are often associated with a poor outcome.6,7 Treatment is aimed at anatomical reduction, fixation of displaced fractures, realignment of joints and articular surfaces, and achievement of stable fixation. Improved outcomes are associated with restoration of the articular surfaces as well as maintenance of the length of the medial and lateral columns.4–6\nIn an effort to improve stabilisation of the medial column after reduction, techniques describing bridge plating have been described. Schildhauer et al recommended spanning the medial column from the talus to the first metatarsal.9 However, conventional plates and screw techniques can be associated with a secondary loss of reduction following implant loosening.10\nAngle-stable locking plate technology has gained widespread favour in the fixation of many fractures. These act as a fixed-angle device, and have been demonstrated to increase the bone implant construct’s stability in axial and torsional loading when compared with conventional plates and screws.11,14–16 In the foot and ankle, simulated calcaneal fracture fixation using locking plates has been shown to provide greater stability than conventional plate and screw techniques.17 The pull-out strength of individual screws is also increased compared with conventional implants.10,11,14 Where space is limited for fixation in the foot, this improved pull-out strength of the locking plate screws compared with conventional screws is likely to enhance stabilisation by reducing the risk of screw toggle, loosening and backing out of the screw.\nLocking plates also have a potential advantage in fracture healing by reducing the footprint of the plate on the bone. This has been demonstrated to reduce the adverse affect on the periosteal soft tissues and blood supply.10–12,14 Where blood supply is tenuous (eg in the navicular), there is a further theoretical advantage to using a locking plate in that it does not require intimate contact with the underlying bone segments.\nThe potential advantages of locking plate technology and techniques prompted their use in this group of patients. In this series, there were no episodes of loss of reduction before the removal of metalwork despite the mobilisation of patients prior to fracture and soft tissue healing and consolidation.\nA significant disadvantage of bridging plate techniques is that by spanning the joints, particularly at the transverse tarsal joint, movement through the midfoot is restricted to a significant extent.6,18 Consequently, it is recommended that the removal of metalwork is undertaken once the fracture and soft tissue healing is evident clinically and radiologically. In our series, there were no complications associated with the removal of metalwork such as infection or neurological injury. We therefore conclude that the potential advantage of locking plates over non-bridging techniques outweigh the potential risks of further surgery for metalwork removal.\nWe have reported a small number of patients in the study, comparable with other reports on these injuries.8,9,19,20 Studies of larger numbers of patients have been reported, gathering patients over longer time periods.4,7 This reflects the rare nature of these injuries. We believe that our report demonstrates the advantages locking plates can offer when managing complex fractures and dislocations of the midfoot, where reduction and fixation of the fracture alone it is not possible or insufficient to stabilise the foot.", "Following open reduction and internal fixation of complex fracture dislocations of the midfoot, locking plates provide adequate stabilisation with no evidence of loss of reduction during the healing process. The majority of patients will require removal of the metalwork. Following removal of the metalwork, satisfactory maintenance of length, alignment and stability of the midfoot is maintained, with satisfactory restoration of midfoot function following metalwork removal." ]
[ null, null, null ]
[ "Methods", "Results", "Discussion", "Conclusions" ]
[ "A review of a prospectively collected audit database over a six-year period (2003–2009) was performed. During this period, 12 patients (5 male, 7 female) were identified as having complex fracture dislocations of the midfoot. All presented to the emergency department on the day of injury. The mean age was 41.9 years (range: 19–21 years).\nEleven of the patients sustained high energy injuries while the other sustained the injury following a fall from a standing height. Of the eleven high energy injury cases, four had sustained falls from height, one was a pedal cycle injury and six were vehicle occupants in road traffic collisions.\nAll 12 patients suffered complex fractures involving the medial column of the midfoot (navicular and cuneiform, with or without involvement of the tarsometatarsal joints, with disruption of the talonavicular, navicular-cuneiform or intercuneiform joints.) Four had also sustained injuries to the lateral column of the ipsilateral foot (calcaneocuboid fractures and fracture subluxations). The fracture patterns, method of fixation and outcomes are listed in Table 1. Navicular fractures were classified according to Sangeorzan et al.5\nTable 1Summary of fractures sustained, treatment and outcomeFracture patternNumber of patientsAge (years)TreatmentRemoval of metalwork?follow-up duration (months)OutcomeCalcaneus fracture, comminuted cuboid fracture +/- fractures of navicular, cuneiforms or MT bases255, 61Lateral column locking plate +/- lag screw to calcaneus, navicular or cuneiformsYes (1)12, 24Restricted inversion/eversion, minimal pain; CC ankylosis in the patient with retained metalworkType 3 navicular fracture, TN sub-luxation +/- CC subluxation819-81Medial column locking plate + external fixation lateral column in 1 patientYes (all)4-32Slight stiffness, slight discomfort or mild swelling; 1 patient: post-traumatic arthritis, medial arch orthoticsLisfranc injury, base of medial cuneiform fracture, navicular-cuneiform subluxation144Locking plate medial cuneiform - 1st MT, lag screw to cuneiform fracture, positional screw to Lisfranc jointYes13Pain free, slight stiffnessCalcaneus fracture, ST dislocation, TN and CC subluxation, type 3 navicular fracture, large soft tissue defect121Medial column locking plate, primary fusion of ST joint, latissimus dorsi flapNo8No pain from midfoot, discomfort and swelling from soft tissue reconstructionTN = talonavicular; CC = calcaneocuboid; ST = subtalar; MT = metatarsal\nSummary of fractures sustained, treatment and outcome\nTN = talonavicular; CC = calcaneocuboid; ST = subtalar; MT = metatarsal\nAll patients were admitted. Closed manipulation of fracture dislocations was undertaken to realign the foot and relieve the tension on the overlying soft tissues. Patients were placed in a temporary backslab incorporating an A-V Impulse System® compression device (Orthofix, Bussolengo, Italy). Surgery was undertaken after soft tissue swelling had subsided, judged by the overall appearance of the foot and the reappearance of skin wrinkles.\nSurgery was performed using a thigh tourniquet. Fractures were approached via a dorsal or medial longitudinal incision. Reconstruction of the navicular was performed where possible to restore joint congruity and provide interfragmentary compression where appropriate. The intercuneiform and tarsometatarsal joints were reduced and stabilised at the same time. A bridging plate was applied across all injured segments, spanning from the talus to the cuneiform or first metatarsal where necessary. A 3.5mm reconstruction locking compression plate (Synthes, Welwyn Garden City, UK) was used. After appropriate contour, standard screws were used to apply the plate to the proximal and distal segments. Locking screws were then used to complete the stabilisation.\nThe patients were placed in a below knee cast and were kept touch weight bearing for the first six weeks. At this stage, the patients were mobilised out of cast, non-weight bearing, for a further six weeks. The bridging plate was removed at a median time of three months post-operatively (range: 2–6 months).\nAn example of the management of a comminuted navicular fracture is demonstrated in Figures 1–3.\nFigure 1Pre-operative radiograph of a comminuted navicular fracture\nFigure 2Radiograph following open reduction internal fixation with medial column locking plate\nFigure 3Weight bearing radiograph following removal of the bridge plate\n\nPre-operative radiograph of a comminuted navicular fracture\nRadiograph following open reduction internal fixation with medial column locking plate\nWeight bearing radiograph following removal of the bridge plate", "Patients were followed up in the outpatient fracture clinic for a mean duration of 12.4 months (range: 4–32 months) from the date of primary fracture fixation. There were no deep infections or acute neurological injuries. Ten of the twelve patients had their plate removed through the original incision. Two of the patients declined further surgery.\nOne patient developed post-traumatic collapse of the medial column and arthritis affecting the joints. This patient had had the metalwork removed at three months following fracture fixation. The changes were noted at a routine follow-up appointment ten months after the original surgery and did not occur prior to removal of the plate. This was managed non-operatively with a custom made functional foot orthosis.\nThe other eleven patients complained of either a minor degree of discomfort or stiffness at the midfoot. With regard to the two patients with retained metalwork, neither complained of prominence or pain specific to this.\nApart from one patient, none of the patients complained of restriction to their normal daily activities. (The one particular patient was describing symptoms from the soft tissue reconstruction but not specifically from the midfoot or retained metalwork).", "Complex fracture dislocations to the midfoot are difficult to treat. They are often associated with a poor outcome.6,7 Treatment is aimed at anatomical reduction, fixation of displaced fractures, realignment of joints and articular surfaces, and achievement of stable fixation. Improved outcomes are associated with restoration of the articular surfaces as well as maintenance of the length of the medial and lateral columns.4–6\nIn an effort to improve stabilisation of the medial column after reduction, techniques describing bridge plating have been described. Schildhauer et al recommended spanning the medial column from the talus to the first metatarsal.9 However, conventional plates and screw techniques can be associated with a secondary loss of reduction following implant loosening.10\nAngle-stable locking plate technology has gained widespread favour in the fixation of many fractures. These act as a fixed-angle device, and have been demonstrated to increase the bone implant construct’s stability in axial and torsional loading when compared with conventional plates and screws.11,14–16 In the foot and ankle, simulated calcaneal fracture fixation using locking plates has been shown to provide greater stability than conventional plate and screw techniques.17 The pull-out strength of individual screws is also increased compared with conventional implants.10,11,14 Where space is limited for fixation in the foot, this improved pull-out strength of the locking plate screws compared with conventional screws is likely to enhance stabilisation by reducing the risk of screw toggle, loosening and backing out of the screw.\nLocking plates also have a potential advantage in fracture healing by reducing the footprint of the plate on the bone. This has been demonstrated to reduce the adverse affect on the periosteal soft tissues and blood supply.10–12,14 Where blood supply is tenuous (eg in the navicular), there is a further theoretical advantage to using a locking plate in that it does not require intimate contact with the underlying bone segments.\nThe potential advantages of locking plate technology and techniques prompted their use in this group of patients. In this series, there were no episodes of loss of reduction before the removal of metalwork despite the mobilisation of patients prior to fracture and soft tissue healing and consolidation.\nA significant disadvantage of bridging plate techniques is that by spanning the joints, particularly at the transverse tarsal joint, movement through the midfoot is restricted to a significant extent.6,18 Consequently, it is recommended that the removal of metalwork is undertaken once the fracture and soft tissue healing is evident clinically and radiologically. In our series, there were no complications associated with the removal of metalwork such as infection or neurological injury. We therefore conclude that the potential advantage of locking plates over non-bridging techniques outweigh the potential risks of further surgery for metalwork removal.\nWe have reported a small number of patients in the study, comparable with other reports on these injuries.8,9,19,20 Studies of larger numbers of patients have been reported, gathering patients over longer time periods.4,7 This reflects the rare nature of these injuries. We believe that our report demonstrates the advantages locking plates can offer when managing complex fractures and dislocations of the midfoot, where reduction and fixation of the fracture alone it is not possible or insufficient to stabilise the foot.", "Following open reduction and internal fixation of complex fracture dislocations of the midfoot, locking plates provide adequate stabilisation with no evidence of loss of reduction during the healing process. The majority of patients will require removal of the metalwork. Following removal of the metalwork, satisfactory maintenance of length, alignment and stability of the midfoot is maintained, with satisfactory restoration of midfoot function following metalwork removal." ]
[ "methods", null, null, null ]
[ "Foot injuries", "Fractures, comminuted", "Tarsal bones", "Fracture fixation" ]
Methods: A review of a prospectively collected audit database over a six-year period (2003–2009) was performed. During this period, 12 patients (5 male, 7 female) were identified as having complex fracture dislocations of the midfoot. All presented to the emergency department on the day of injury. The mean age was 41.9 years (range: 19–21 years). Eleven of the patients sustained high energy injuries while the other sustained the injury following a fall from a standing height. Of the eleven high energy injury cases, four had sustained falls from height, one was a pedal cycle injury and six were vehicle occupants in road traffic collisions. All 12 patients suffered complex fractures involving the medial column of the midfoot (navicular and cuneiform, with or without involvement of the tarsometatarsal joints, with disruption of the talonavicular, navicular-cuneiform or intercuneiform joints.) Four had also sustained injuries to the lateral column of the ipsilateral foot (calcaneocuboid fractures and fracture subluxations). The fracture patterns, method of fixation and outcomes are listed in Table 1. Navicular fractures were classified according to Sangeorzan et al.5 Table 1Summary of fractures sustained, treatment and outcomeFracture patternNumber of patientsAge (years)TreatmentRemoval of metalwork?follow-up duration (months)OutcomeCalcaneus fracture, comminuted cuboid fracture +/- fractures of navicular, cuneiforms or MT bases255, 61Lateral column locking plate +/- lag screw to calcaneus, navicular or cuneiformsYes (1)12, 24Restricted inversion/eversion, minimal pain; CC ankylosis in the patient with retained metalworkType 3 navicular fracture, TN sub-luxation +/- CC subluxation819-81Medial column locking plate + external fixation lateral column in 1 patientYes (all)4-32Slight stiffness, slight discomfort or mild swelling; 1 patient: post-traumatic arthritis, medial arch orthoticsLisfranc injury, base of medial cuneiform fracture, navicular-cuneiform subluxation144Locking plate medial cuneiform - 1st MT, lag screw to cuneiform fracture, positional screw to Lisfranc jointYes13Pain free, slight stiffnessCalcaneus fracture, ST dislocation, TN and CC subluxation, type 3 navicular fracture, large soft tissue defect121Medial column locking plate, primary fusion of ST joint, latissimus dorsi flapNo8No pain from midfoot, discomfort and swelling from soft tissue reconstructionTN = talonavicular; CC = calcaneocuboid; ST = subtalar; MT = metatarsal Summary of fractures sustained, treatment and outcome TN = talonavicular; CC = calcaneocuboid; ST = subtalar; MT = metatarsal All patients were admitted. Closed manipulation of fracture dislocations was undertaken to realign the foot and relieve the tension on the overlying soft tissues. Patients were placed in a temporary backslab incorporating an A-V Impulse System® compression device (Orthofix, Bussolengo, Italy). Surgery was undertaken after soft tissue swelling had subsided, judged by the overall appearance of the foot and the reappearance of skin wrinkles. Surgery was performed using a thigh tourniquet. Fractures were approached via a dorsal or medial longitudinal incision. Reconstruction of the navicular was performed where possible to restore joint congruity and provide interfragmentary compression where appropriate. The intercuneiform and tarsometatarsal joints were reduced and stabilised at the same time. A bridging plate was applied across all injured segments, spanning from the talus to the cuneiform or first metatarsal where necessary. A 3.5mm reconstruction locking compression plate (Synthes, Welwyn Garden City, UK) was used. After appropriate contour, standard screws were used to apply the plate to the proximal and distal segments. Locking screws were then used to complete the stabilisation. The patients were placed in a below knee cast and were kept touch weight bearing for the first six weeks. At this stage, the patients were mobilised out of cast, non-weight bearing, for a further six weeks. The bridging plate was removed at a median time of three months post-operatively (range: 2–6 months). An example of the management of a comminuted navicular fracture is demonstrated in Figures 1–3. Figure 1Pre-operative radiograph of a comminuted navicular fracture Figure 2Radiograph following open reduction internal fixation with medial column locking plate Figure 3Weight bearing radiograph following removal of the bridge plate Pre-operative radiograph of a comminuted navicular fracture Radiograph following open reduction internal fixation with medial column locking plate Weight bearing radiograph following removal of the bridge plate Results: Patients were followed up in the outpatient fracture clinic for a mean duration of 12.4 months (range: 4–32 months) from the date of primary fracture fixation. There were no deep infections or acute neurological injuries. Ten of the twelve patients had their plate removed through the original incision. Two of the patients declined further surgery. One patient developed post-traumatic collapse of the medial column and arthritis affecting the joints. This patient had had the metalwork removed at three months following fracture fixation. The changes were noted at a routine follow-up appointment ten months after the original surgery and did not occur prior to removal of the plate. This was managed non-operatively with a custom made functional foot orthosis. The other eleven patients complained of either a minor degree of discomfort or stiffness at the midfoot. With regard to the two patients with retained metalwork, neither complained of prominence or pain specific to this. Apart from one patient, none of the patients complained of restriction to their normal daily activities. (The one particular patient was describing symptoms from the soft tissue reconstruction but not specifically from the midfoot or retained metalwork). Discussion: Complex fracture dislocations to the midfoot are difficult to treat. They are often associated with a poor outcome.6,7 Treatment is aimed at anatomical reduction, fixation of displaced fractures, realignment of joints and articular surfaces, and achievement of stable fixation. Improved outcomes are associated with restoration of the articular surfaces as well as maintenance of the length of the medial and lateral columns.4–6 In an effort to improve stabilisation of the medial column after reduction, techniques describing bridge plating have been described. Schildhauer et al recommended spanning the medial column from the talus to the first metatarsal.9 However, conventional plates and screw techniques can be associated with a secondary loss of reduction following implant loosening.10 Angle-stable locking plate technology has gained widespread favour in the fixation of many fractures. These act as a fixed-angle device, and have been demonstrated to increase the bone implant construct’s stability in axial and torsional loading when compared with conventional plates and screws.11,14–16 In the foot and ankle, simulated calcaneal fracture fixation using locking plates has been shown to provide greater stability than conventional plate and screw techniques.17 The pull-out strength of individual screws is also increased compared with conventional implants.10,11,14 Where space is limited for fixation in the foot, this improved pull-out strength of the locking plate screws compared with conventional screws is likely to enhance stabilisation by reducing the risk of screw toggle, loosening and backing out of the screw. Locking plates also have a potential advantage in fracture healing by reducing the footprint of the plate on the bone. This has been demonstrated to reduce the adverse affect on the periosteal soft tissues and blood supply.10–12,14 Where blood supply is tenuous (eg in the navicular), there is a further theoretical advantage to using a locking plate in that it does not require intimate contact with the underlying bone segments. The potential advantages of locking plate technology and techniques prompted their use in this group of patients. In this series, there were no episodes of loss of reduction before the removal of metalwork despite the mobilisation of patients prior to fracture and soft tissue healing and consolidation. A significant disadvantage of bridging plate techniques is that by spanning the joints, particularly at the transverse tarsal joint, movement through the midfoot is restricted to a significant extent.6,18 Consequently, it is recommended that the removal of metalwork is undertaken once the fracture and soft tissue healing is evident clinically and radiologically. In our series, there were no complications associated with the removal of metalwork such as infection or neurological injury. We therefore conclude that the potential advantage of locking plates over non-bridging techniques outweigh the potential risks of further surgery for metalwork removal. We have reported a small number of patients in the study, comparable with other reports on these injuries.8,9,19,20 Studies of larger numbers of patients have been reported, gathering patients over longer time periods.4,7 This reflects the rare nature of these injuries. We believe that our report demonstrates the advantages locking plates can offer when managing complex fractures and dislocations of the midfoot, where reduction and fixation of the fracture alone it is not possible or insufficient to stabilise the foot. Conclusions: Following open reduction and internal fixation of complex fracture dislocations of the midfoot, locking plates provide adequate stabilisation with no evidence of loss of reduction during the healing process. The majority of patients will require removal of the metalwork. Following removal of the metalwork, satisfactory maintenance of length, alignment and stability of the midfoot is maintained, with satisfactory restoration of midfoot function following metalwork removal.
Background: Complex fracture dislocations of the midfoot are uncommon. Improved outcomes have been demonstrated where it has been possible to restore and maintain the length and alignment of the medial column as well as the congruity of the articular surfaces. We present our experience with the use of angle-stable locking plates in the stabilisation of complex midfoot fracture dislocations. Methods: Twelve patients were identified on a prospective trauma database between 2003 and 2009. All fractures involved the medial column with four associated fracture subluxations of the lateral column also. Patients underwent open reduction internal fixation (ORIF) with restoration of the medial column axis, reduction of the articular surface congruity and stabilisation with angle-stable locking plates. Results: There were no post-operative infections or neurological injuries. Ten of the twelve patients required metalwork removal. There were no implant failures prior to removal of the metalwork. At a mean follow-up of 12.4 months (range: 4-32 months), 11 patients had minimal symptoms of swelling, discomfort or stiffness in the midfoot. This did not restrict their daily activities. One patient developed post-traumatic arthritis and collapse of the medial longitudinal arch. Two patients declined removal of the metalwork. Conclusions: Angle-stable locking plates provide satisfactory stabilisation following ORIF of complex midfoot fracture dislocations. Most patients will require removal of the metalwork. Following removal of metalwork, the majority of patients will maintain the length, alignment and stability of the midfoot.
null
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1,681
288
[ 218, 578, 72 ]
4
[ "fracture", "plate", "patients", "locking", "navicular", "fixation", "column", "midfoot", "metalwork", "medial" ]
[ "dislocations midfoot reduction", "navicular fractures", "dislocations midfoot difficult", "fracture fractures navicular", "foot calcaneocuboid fractures" ]
null
null
null
null
[CONTENT] Foot injuries | Fractures, comminuted | Tarsal bones | Fracture fixation [SUMMARY]
null
[CONTENT] Foot injuries | Fractures, comminuted | Tarsal bones | Fracture fixation [SUMMARY]
[CONTENT] Foot injuries | Fractures, comminuted | Tarsal bones | Fracture fixation [SUMMARY]
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null
[CONTENT] Adult | Aged | Bone Plates | Bone Screws | Calcaneus | Device Removal | Female | Foot Injuries | Fracture Fixation, Internal | Fractures, Bone | Fractures, Comminuted | Humans | Joint Dislocations | Male | Middle Aged | Prospective Studies | Prosthesis Design | Tarsal Bones | Treatment Outcome [SUMMARY]
null
[CONTENT] Adult | Aged | Bone Plates | Bone Screws | Calcaneus | Device Removal | Female | Foot Injuries | Fracture Fixation, Internal | Fractures, Bone | Fractures, Comminuted | Humans | Joint Dislocations | Male | Middle Aged | Prospective Studies | Prosthesis Design | Tarsal Bones | Treatment Outcome [SUMMARY]
[CONTENT] Adult | Aged | Bone Plates | Bone Screws | Calcaneus | Device Removal | Female | Foot Injuries | Fracture Fixation, Internal | Fractures, Bone | Fractures, Comminuted | Humans | Joint Dislocations | Male | Middle Aged | Prospective Studies | Prosthesis Design | Tarsal Bones | Treatment Outcome [SUMMARY]
null
null
[CONTENT] dislocations midfoot reduction | navicular fractures | dislocations midfoot difficult | fracture fractures navicular | foot calcaneocuboid fractures [SUMMARY]
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[CONTENT] dislocations midfoot reduction | navicular fractures | dislocations midfoot difficult | fracture fractures navicular | foot calcaneocuboid fractures [SUMMARY]
[CONTENT] dislocations midfoot reduction | navicular fractures | dislocations midfoot difficult | fracture fractures navicular | foot calcaneocuboid fractures [SUMMARY]
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[CONTENT] fracture | plate | patients | locking | navicular | fixation | column | midfoot | metalwork | medial [SUMMARY]
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[CONTENT] fracture | plate | patients | locking | navicular | fixation | column | midfoot | metalwork | medial [SUMMARY]
[CONTENT] fracture | plate | patients | locking | navicular | fixation | column | midfoot | metalwork | medial [SUMMARY]
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[CONTENT] navicular | plate | fracture | cuneiform | sustained | fractures | column | cc | navicular fracture | radiograph [SUMMARY]
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[CONTENT] satisfactory | removal metalwork | metalwork | following | removal | midfoot | reduction | dislocations midfoot locking | removal metalwork following removal | removal metalwork following [SUMMARY]
[CONTENT] fracture | patients | plate | locking | metalwork | midfoot | removal | following | fixation | reduction [SUMMARY]
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[CONTENT] Twelve | between 2003 and 2009 ||| four ||| ORIF [SUMMARY]
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[CONTENT] ORIF ||| ||| [SUMMARY]
[CONTENT] ||| ||| ||| Twelve | between 2003 and 2009 ||| four ||| ORIF ||| ||| Ten | twelve ||| ||| 12.4 months | 4-32 months | 11 ||| daily ||| One ||| Two ||| ORIF ||| ||| [SUMMARY]
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Quality of Recovery and Innate Immune Homeostasis in Patients Undergoing Low-pressure Versus Standard-pressure Pneumoperitoneum During Laparoscopic Colorectal Surgery (RECOVER): A Randomized Controlled Trial.
35822730
There is increasing evidence for the safety and advantages of low-pressure pneumoperitoneum facilitated by deep neuromuscular blockade (NMB). Nonetheless, there is a weak understanding of the relationship between clinical outcomes, surgical injury, postoperative immune dysfunction, and infectious complications.
BACKGROUND
Randomized controlled trial of 178 patients treated at standard-pressure pneumoperitoneum (12 mm Hg) with moderate NMB (train-of-four 1-2) or low pressure (8 mm Hg) facilitated by deep NMB (posttetanic count 1-2). The primary outcome was the quality of recovery (Quality of Recovery 40 questionnaire) on a postoperative day 1 (POD1). The primary outcome of the immune substudy (n=100) was ex vivo tumor necrosis factor α production capacity upon endotoxin stimulation on POD1.
METHODS
Quality of Recovery 40 score on POD1 was significantly higher at 167 versus 159 [mean difference (MD): 8.3 points; 95% confidence interval (CI): 2.5, 14.1; P =0.005] and the decline in cytokine production capacity was significantly less for tumor necrosis factor α and interleukin-6 (MD: -172 pg/mL; 95% CI: -316, -27; P =0.021 and MD: -1282 pg/mL; 95% CI: -2505, -59; P =0.040, respectively) for patients operated at low pressure. Low pressure was associated with reduced surgical site hypoxia and inflammation markers and circulating damage-associated molecular patterns, with a less impaired early postoperative ex vivo cytokine production capacity. At low pressure, patients reported lower acute pain scores and developed significantly less 30-day infectious complications.
RESULTS
Low intra-abdominal pressure during laparoscopic colorectal surgery is safe, improves the postoperative quality of recovery and preserves innate immune homeostasis, and forms a valuable addition to future enhanced recovery after surgery programs.
CONCLUSIONS
[ "Humans", "Homeostasis", "Immunity, Innate", "Laparoscopy", "Pneumoperitoneum, Artificial", "Tumor Necrosis Factor-alpha", "Digestive System Surgical Procedures" ]
9645538
null
null
METHODS
The RECOVER study was a multicenter double-blinded randomized controlled trial performed at 3 general teaching hospitals in The Netherlands between October 2018 and March 2021, assessing the effects of LPP facilitated by deep NMB versus SPP and moderate NMB on quality of recovery in patients undergoing colorectal laparoscopic surgery. The complete methods of the RECOVER study (clinicaltrials.gov NCT03608436) have been described in the published study protocol.12 In addition, an immunological substudy (RECOVER PLUS, clinicaltrials.gov NCT03572413) was performed in the first 100 patients enrolled at the Canisius Wilhelmina Hospital. Both protocols were approved by the Medical Research Ethics Committee “CMO region Arnhem-Nijmegen” and the competent authority (Central Committee on Research Involving Human Subjects). All patients provided informed consent for participation in the trial. Treatment and Clinical Outcomes Patients were randomized in a 1:1 fashion to LPP (8 mm Hg) with deep NMB defined as a posttetanic count (PTC) of 1–2, or SPP (12 mm Hg) with moderate NMB defined as a train-of-four count of 1–2. Randomization was stratified for center and robot assistance. The surgeon was blinded to the study arm and level of IAP and rated the quality of the surgical field on the Leiden Surgical Rating Scale (L-SRS) every 15 minutes. In case of inadequate surgical conditions (L-SRS ≤3 of 5 at any time during the surgery), IAP was increased with 2 to 10 mm Hg and a maximum of 12 mm Hg for LPP or 14 mm Hg and a maximum of 16 mm Hg for SPP. The primary outcome was the patient-reported quality of recovery on a postoperative day (POD), measured with the Dutch version of the validated Quality of Recovery 40 (QoR-40) questionnaire.13 Adherence to 29 preoperative, intraoperative, and postoperative key elements of the ERAS Society guideline was scored for all patients.1,14 Secondary outcome measures were quality of the surgical field (mean L-SRS score), blood loss, intraoperative complications classified by the ClassIntra classification,15 pain, nausea, use of analgesics and antiemetics, QoR-40 on POD3 and POD7, length of hospital stay, time to reach discharge criteria, 30-day postoperative complications classified by the Clavien-Dindo16 classification, health-related quality of life (HRQOL) 3 months after surgery measured by the Dutch version of the Research and Development-36 (RAND-36)17 questionnaire and chronic pain measured with the Dutch version of the McGill Pain Questionnaire (MPQ)18 3 months after surgery. Except for the anesthesiologist (who only assessed peroperative anesthesiologic complications) all outcome assessors were blinded to the study arm. Patients were randomized in a 1:1 fashion to LPP (8 mm Hg) with deep NMB defined as a posttetanic count (PTC) of 1–2, or SPP (12 mm Hg) with moderate NMB defined as a train-of-four count of 1–2. Randomization was stratified for center and robot assistance. The surgeon was blinded to the study arm and level of IAP and rated the quality of the surgical field on the Leiden Surgical Rating Scale (L-SRS) every 15 minutes. In case of inadequate surgical conditions (L-SRS ≤3 of 5 at any time during the surgery), IAP was increased with 2 to 10 mm Hg and a maximum of 12 mm Hg for LPP or 14 mm Hg and a maximum of 16 mm Hg for SPP. The primary outcome was the patient-reported quality of recovery on a postoperative day (POD), measured with the Dutch version of the validated Quality of Recovery 40 (QoR-40) questionnaire.13 Adherence to 29 preoperative, intraoperative, and postoperative key elements of the ERAS Society guideline was scored for all patients.1,14 Secondary outcome measures were quality of the surgical field (mean L-SRS score), blood loss, intraoperative complications classified by the ClassIntra classification,15 pain, nausea, use of analgesics and antiemetics, QoR-40 on POD3 and POD7, length of hospital stay, time to reach discharge criteria, 30-day postoperative complications classified by the Clavien-Dindo16 classification, health-related quality of life (HRQOL) 3 months after surgery measured by the Dutch version of the Research and Development-36 (RAND-36)17 questionnaire and chronic pain measured with the Dutch version of the McGill Pain Questionnaire (MPQ)18 3 months after surgery. Except for the anesthesiologist (who only assessed peroperative anesthesiologic complications) all outcome assessors were blinded to the study arm. RECOVER PLUS In patients enrolled in the substudy, blood was drawn by venipuncture before surgery, at the end of the surgery, on POD1 and POD3 when still admitted at that time. Whole blood ex vivo cytokine production capacity upon endotoxin stimulation, plasma DAMP levels, and plasma cytokine concentrations were quantified as previously described, for detailed methodology we refer to these publications.8,9 The primary outcome of the immune substudy was the change in ex vivo tumor necrosis factor α (TNFα) production capacity on POD1 upon whole blood endotoxin stimulation. Secondary (explorative) outcomes were change in ex vivo production capacity of interleukin (IL)-6, IL-1β, and IL-10, plasma DAMPS (HSP70, HMGB1, nDNA, and mtDNA), plasma cytokines (TNFα, IL-10, and IL-6) and local peritoneal tissue hypoxia and inflammation markers [hypoxia-inducible factor 1α (HIF1α), vascular endothelial growth factor (VEGF), TNFα, IL-6, and IL-1β]. For the endotoxin stimulation, 0.5 mL of lithium heparin anticoagulated whole blood was added to preprepared tubes with 2 mL culture medium (negative control) and 2 mL culture medium supplemented with 12.5 ng/mL Escherichia coli lipopolysaccharide (serotype O55:B5 Sigma Aldrich, St Louis, MO) in a biosafety cabinet, resulting in a final concentration of 10 ng/mL. Tubes were prepared in one batch, stored at −80°C, and thawed shortly before use. After adding the blood, the tubes were cultured at 37°C for 24 hours, then centrifuged for 5 minutes at 1500 rpm and the supernatants were stored at −80°C until analysis. Supernatant cytokine levels were measured by enzyme-linked immunosorbent assay (R&D Systems, Minneapolis, MN) according to the manufacturer’s instructions. Plasma DAMP concentrations were determined from doubly centrifuged EDTA anticoagulated blood. DNA was isolated with the QIAamp DNA Blood Midi Kit (Qiagen, Valencia, CA) and levels of nDNA and mtDNA were determined by quantitative polymerase chain reaction (PCR) on a CFX96 Real-Time PCR Detection System (Bio-Rad Laboratories, Hercules, CA) and expressed as fold change relative to preoperative values of the same patient using the formula: 2ΔCt. Concentrations of HSP70 (R&D Systems) and HMGB1 (IBL International GmbH, Hamburg, Germany) were measured batchwise by ELISA according to the manufacturer’s instructions. Plasma concentrations of TNFα, IL-10, and IL-6 were determined batchwise using a simultaneous Luminex assay (Milliplex; Millipore, Billerica, MA) according to the manufacturer’s instructions. For the first 20 substudy patients, peritoneal biopsies (0.5–1 by 0.5–1 cm) were taken right after abdominal insufflation and at the end of surgery. Biopsies were collected in RNAlater tissue protect tubes (Qiagen, Germantown, MD) and stored at −80°C until analysis. mRNA was extracted with the Qiagen RNA extraction kit, and HIF1α, VEGF, TNFα, IL-1β, and IL-6 levels were determined by quantitative PCR. In patients enrolled in the substudy, blood was drawn by venipuncture before surgery, at the end of the surgery, on POD1 and POD3 when still admitted at that time. Whole blood ex vivo cytokine production capacity upon endotoxin stimulation, plasma DAMP levels, and plasma cytokine concentrations were quantified as previously described, for detailed methodology we refer to these publications.8,9 The primary outcome of the immune substudy was the change in ex vivo tumor necrosis factor α (TNFα) production capacity on POD1 upon whole blood endotoxin stimulation. Secondary (explorative) outcomes were change in ex vivo production capacity of interleukin (IL)-6, IL-1β, and IL-10, plasma DAMPS (HSP70, HMGB1, nDNA, and mtDNA), plasma cytokines (TNFα, IL-10, and IL-6) and local peritoneal tissue hypoxia and inflammation markers [hypoxia-inducible factor 1α (HIF1α), vascular endothelial growth factor (VEGF), TNFα, IL-6, and IL-1β]. For the endotoxin stimulation, 0.5 mL of lithium heparin anticoagulated whole blood was added to preprepared tubes with 2 mL culture medium (negative control) and 2 mL culture medium supplemented with 12.5 ng/mL Escherichia coli lipopolysaccharide (serotype O55:B5 Sigma Aldrich, St Louis, MO) in a biosafety cabinet, resulting in a final concentration of 10 ng/mL. Tubes were prepared in one batch, stored at −80°C, and thawed shortly before use. After adding the blood, the tubes were cultured at 37°C for 24 hours, then centrifuged for 5 minutes at 1500 rpm and the supernatants were stored at −80°C until analysis. Supernatant cytokine levels were measured by enzyme-linked immunosorbent assay (R&D Systems, Minneapolis, MN) according to the manufacturer’s instructions. Plasma DAMP concentrations were determined from doubly centrifuged EDTA anticoagulated blood. DNA was isolated with the QIAamp DNA Blood Midi Kit (Qiagen, Valencia, CA) and levels of nDNA and mtDNA were determined by quantitative polymerase chain reaction (PCR) on a CFX96 Real-Time PCR Detection System (Bio-Rad Laboratories, Hercules, CA) and expressed as fold change relative to preoperative values of the same patient using the formula: 2ΔCt. Concentrations of HSP70 (R&D Systems) and HMGB1 (IBL International GmbH, Hamburg, Germany) were measured batchwise by ELISA according to the manufacturer’s instructions. Plasma concentrations of TNFα, IL-10, and IL-6 were determined batchwise using a simultaneous Luminex assay (Milliplex; Millipore, Billerica, MA) according to the manufacturer’s instructions. For the first 20 substudy patients, peritoneal biopsies (0.5–1 by 0.5–1 cm) were taken right after abdominal insufflation and at the end of surgery. Biopsies were collected in RNAlater tissue protect tubes (Qiagen, Germantown, MD) and stored at −80°C until analysis. mRNA was extracted with the Qiagen RNA extraction kit, and HIF1α, VEGF, TNFα, IL-1β, and IL-6 levels were determined by quantitative PCR. Statistical Analysis To achieve 80% power to detect a mean clinically important difference of 6.319 on the QoR-40 score (SD=15,17 range: 40–200) with an α of 5%, a sample size of 89 per group (178 total) was required. The published protocol describes 204 participants because of an estimated 15% conversion rate to open surgery. As the actual conversion rate was much lower, patients were enrolled until both groups reached 89 participants for the final analysis. A sample size of 48 patients per group was needed to provide 90% power to detect a 150 pg/mL difference in TNFα release from baseline to POD1 upon endotoxin stimulation (α of 5%) with an estimated SD of 225 pg/mL.11 All statistical analyses were performed using Statistical Package for the Social Sciences (IBM SPSS Statistics version 27; IBM Corp., Armonk, NY). Continuous data were presented as mean±SD and categorical data were presented as a number with a percentage. We did not perform data imputation for missing data. For the primary outcome analysis, analysis of covariance was used to compare the QoR-40 score on POD1 between LPP and SPP, controlled for covariates age, sex, body mass index, and American Society of Anesthesiology classification. For secondary outcome variables, a Student t test was used to compare normally distributed continuous variables and the χ2 test for categorical variables. A P value <0.05 was considered statistically significant. For the correlation matrix, Pearson r was calculated for continuous variables that were normally distributed, Spearman ρ for skewed variables. To achieve 80% power to detect a mean clinically important difference of 6.319 on the QoR-40 score (SD=15,17 range: 40–200) with an α of 5%, a sample size of 89 per group (178 total) was required. The published protocol describes 204 participants because of an estimated 15% conversion rate to open surgery. As the actual conversion rate was much lower, patients were enrolled until both groups reached 89 participants for the final analysis. A sample size of 48 patients per group was needed to provide 90% power to detect a 150 pg/mL difference in TNFα release from baseline to POD1 upon endotoxin stimulation (α of 5%) with an estimated SD of 225 pg/mL.11 All statistical analyses were performed using Statistical Package for the Social Sciences (IBM SPSS Statistics version 27; IBM Corp., Armonk, NY). Continuous data were presented as mean±SD and categorical data were presented as a number with a percentage. We did not perform data imputation for missing data. For the primary outcome analysis, analysis of covariance was used to compare the QoR-40 score on POD1 between LPP and SPP, controlled for covariates age, sex, body mass index, and American Society of Anesthesiology classification. For secondary outcome variables, a Student t test was used to compare normally distributed continuous variables and the χ2 test for categorical variables. A P value <0.05 was considered statistically significant. For the correlation matrix, Pearson r was calculated for continuous variables that were normally distributed, Spearman ρ for skewed variables.
RESULTS
A CONSORT flowchart of screening and treatment allocation is shown in Figure 1, 185 patients were randomized, 7 patients were excluded because laparoscopy was infeasible (n=6, 3.2%) or no colonic resection was performed (n=1, 0.5%), 178 patients were included in the final analysis. For all excluded cases, the unfeasibility of laparoscopy was due to patient or tumor characteristics unrelated to IAP or NMB. Baseline characteristics were similar between groups as listed in Table 1. CONSORT flowchart. Baseline Characteristics Presented values are absolute n (%) or mean±SD. ASA indicates American Society of Anesthesiologists classification; BMI, body mass index; CWZ, Canisius Wilhelmina Hospital; MMC, Maxima Medical Centre; PME, partial mesorectal excision; TME, total mesorectal excision. Primary Outcome The mean quality of recovery, QoR-40, on POD1 was significantly better for LPP and deep NMB (mean: 167) compared with SPP and moderate NMB (mean: 159) [mean difference (MD): 8.3; 95% confidence interval (CI): 2.5, 14.1; P=0.005]. The covariates age and sex were significantly related to QoR-40 on POD1 (F 1,169=5.91, P=0.016 and F 1,169=4.30, P=0.040, respectively), whereas body mass index and American Society of Anesthesiology classification were not. The effect of low pressure on QoR-40 remained statistically significant after controlling for these covariates (F 1,169=7.92, P=0.005). Baseline mean QoR-40 was 184 for LPP versus 186 for SPP (MD: 1.8; 95% CI: −6.2, 2.6; P=0.420). Figure 2A shows the total QoR-40 scores by intention-to-treat analysis (n=89 in both groups), Figure 2B shows the separate domains and illustrates benefits in pain, comfort, and physical independence. A significant difference on POD1 was also seen on the QoR-15 (range: 0−150) with a mean of 112 for LPP versus 106 for SPP (MD: 6.5; 95% CI: 1.2–11.8; P=0.016). QoR-40 overall and per domain. Total QoR-40 score analyzed by intention to treat (n=89 in both groups) (A) with separate domains and QoR-15 in (B). The mean quality of recovery, QoR-40, on POD1 was significantly better for LPP and deep NMB (mean: 167) compared with SPP and moderate NMB (mean: 159) [mean difference (MD): 8.3; 95% confidence interval (CI): 2.5, 14.1; P=0.005]. The covariates age and sex were significantly related to QoR-40 on POD1 (F 1,169=5.91, P=0.016 and F 1,169=4.30, P=0.040, respectively), whereas body mass index and American Society of Anesthesiology classification were not. The effect of low pressure on QoR-40 remained statistically significant after controlling for these covariates (F 1,169=7.92, P=0.005). Baseline mean QoR-40 was 184 for LPP versus 186 for SPP (MD: 1.8; 95% CI: −6.2, 2.6; P=0.420). Figure 2A shows the total QoR-40 scores by intention-to-treat analysis (n=89 in both groups), Figure 2B shows the separate domains and illustrates benefits in pain, comfort, and physical independence. A significant difference on POD1 was also seen on the QoR-15 (range: 0−150) with a mean of 112 for LPP versus 106 for SPP (MD: 6.5; 95% CI: 1.2–11.8; P=0.016). QoR-40 overall and per domain. Total QoR-40 score analyzed by intention to treat (n=89 in both groups) (A) with separate domains and QoR-15 in (B). Secondary Outcomes Intraoperative and Postoperative Clinical Outcomes Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4]. Intraoperative Outcomes Presented values are absolute n (%) or mean±SD. All ClassIntra grade II (grade I was not recorded, grade III or higher did not occur). TOF indicates train-of-four. Postoperative Outcomes The statistically significant P-values are in bold. Presented values are absolute n (%) or mean±SD. Postoperative Complications The statistically significant P-values are in bold. GI indicates gastrointestinal. Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4]. Intraoperative Outcomes Presented values are absolute n (%) or mean±SD. All ClassIntra grade II (grade I was not recorded, grade III or higher did not occur). TOF indicates train-of-four. Postoperative Outcomes The statistically significant P-values are in bold. Presented values are absolute n (%) or mean±SD. Postoperative Complications The statistically significant P-values are in bold. GI indicates gastrointestinal. Immune Outcomes, Surgical Injury, and Pain Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046). A, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative. The correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β). Heatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room. Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046). A, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative. The correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β). Heatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room. Late Recovery The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r 145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r 145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r 145=−0.35, P<0.001), MPQ PRI-T (r 145=−0.36, P<0.001) and RAND-36 (r 145=0.310, P<0.001) at 3 months after surgery. The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r 145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r 145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r 145=−0.35, P<0.001), MPQ PRI-T (r 145=−0.36, P<0.001) and RAND-36 (r 145=0.310, P<0.001) at 3 months after surgery. Intraoperative and Postoperative Clinical Outcomes Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4]. Intraoperative Outcomes Presented values are absolute n (%) or mean±SD. All ClassIntra grade II (grade I was not recorded, grade III or higher did not occur). TOF indicates train-of-four. Postoperative Outcomes The statistically significant P-values are in bold. Presented values are absolute n (%) or mean±SD. Postoperative Complications The statistically significant P-values are in bold. GI indicates gastrointestinal. Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4]. Intraoperative Outcomes Presented values are absolute n (%) or mean±SD. All ClassIntra grade II (grade I was not recorded, grade III or higher did not occur). TOF indicates train-of-four. Postoperative Outcomes The statistically significant P-values are in bold. Presented values are absolute n (%) or mean±SD. Postoperative Complications The statistically significant P-values are in bold. GI indicates gastrointestinal. Immune Outcomes, Surgical Injury, and Pain Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046). A, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative. The correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β). Heatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room. Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046). A, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative. The correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β). Heatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room. Late Recovery The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r 145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r 145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r 145=−0.35, P<0.001), MPQ PRI-T (r 145=−0.36, P<0.001) and RAND-36 (r 145=0.310, P<0.001) at 3 months after surgery. The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r 145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r 145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r 145=−0.35, P<0.001), MPQ PRI-T (r 145=−0.36, P<0.001) and RAND-36 (r 145=0.310, P<0.001) at 3 months after surgery.
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[ "Treatment and Clinical Outcomes", "RECOVER PLUS", "Statistical Analysis", "Primary Outcome", "Secondary Outcomes", "Intraoperative and Postoperative Clinical Outcomes", "Immune Outcomes, Surgical Injury, and Pain", "Late Recovery" ]
[ "Patients were randomized in a 1:1 fashion to LPP (8 mm Hg) with deep NMB defined as a posttetanic count (PTC) of 1–2, or SPP (12 mm Hg) with moderate NMB defined as a train-of-four count of 1–2. Randomization was stratified for center and robot assistance. The surgeon was blinded to the study arm and level of IAP and rated the quality of the surgical field on the Leiden Surgical Rating Scale (L-SRS) every 15 minutes. In case of inadequate surgical conditions (L-SRS ≤3 of 5 at any time during the surgery), IAP was increased with 2 to 10 mm Hg and a maximum of 12 mm Hg for LPP or 14 mm Hg and a maximum of 16 mm Hg for SPP. The primary outcome was the patient-reported quality of recovery on a postoperative day (POD), measured with the Dutch version of the validated Quality of Recovery 40 (QoR-40) questionnaire.13 Adherence to 29 preoperative, intraoperative, and postoperative key elements of the ERAS Society guideline was scored for all patients.1,14 Secondary outcome measures were quality of the surgical field (mean L-SRS score), blood loss, intraoperative complications classified by the ClassIntra classification,15 pain, nausea, use of analgesics and antiemetics, QoR-40 on POD3 and POD7, length of hospital stay, time to reach discharge criteria, 30-day postoperative complications classified by the Clavien-Dindo16 classification, health-related quality of life (HRQOL) 3 months after surgery measured by the Dutch version of the Research and Development-36 (RAND-36)17 questionnaire and chronic pain measured with the Dutch version of the McGill Pain Questionnaire (MPQ)18 3 months after surgery. Except for the anesthesiologist (who only assessed peroperative anesthesiologic complications) all outcome assessors were blinded to the study arm.", "In patients enrolled in the substudy, blood was drawn by venipuncture before surgery, at the end of the surgery, on POD1 and POD3 when still admitted at that time. Whole blood ex vivo cytokine production capacity upon endotoxin stimulation, plasma DAMP levels, and plasma cytokine concentrations were quantified as previously described, for detailed methodology we refer to these publications.8,9 The primary outcome of the immune substudy was the change in ex vivo tumor necrosis factor α (TNFα) production capacity on POD1 upon whole blood endotoxin stimulation. Secondary (explorative) outcomes were change in ex vivo production capacity of interleukin (IL)-6, IL-1β, and IL-10, plasma DAMPS (HSP70, HMGB1, nDNA, and mtDNA), plasma cytokines (TNFα, IL-10, and IL-6) and local peritoneal tissue hypoxia and inflammation markers [hypoxia-inducible factor 1α (HIF1α), vascular endothelial growth factor (VEGF), TNFα, IL-6, and IL-1β]. For the endotoxin stimulation, 0.5 mL of lithium heparin anticoagulated whole blood was added to preprepared tubes with 2 mL culture medium (negative control) and 2 mL culture medium supplemented with 12.5 ng/mL Escherichia coli lipopolysaccharide (serotype O55:B5 Sigma Aldrich, St Louis, MO) in a biosafety cabinet, resulting in a final concentration of 10 ng/mL. Tubes were prepared in one batch, stored at −80°C, and thawed shortly before use. After adding the blood, the tubes were cultured at 37°C for 24 hours, then centrifuged for 5 minutes at 1500 rpm and the supernatants were stored at −80°C until analysis. Supernatant cytokine levels were measured by enzyme-linked immunosorbent assay (R&D Systems, Minneapolis, MN) according to the manufacturer’s instructions. Plasma DAMP concentrations were determined from doubly centrifuged EDTA anticoagulated blood. DNA was isolated with the QIAamp DNA Blood Midi Kit (Qiagen, Valencia, CA) and levels of nDNA and mtDNA were determined by quantitative polymerase chain reaction (PCR) on a CFX96 Real-Time PCR Detection System (Bio-Rad Laboratories, Hercules, CA) and expressed as fold change relative to preoperative values of the same patient using the formula: 2ΔCt. Concentrations of HSP70 (R&D Systems) and HMGB1 (IBL International GmbH, Hamburg, Germany) were measured batchwise by ELISA according to the manufacturer’s instructions. Plasma concentrations of TNFα, IL-10, and IL-6 were determined batchwise using a simultaneous Luminex assay (Milliplex; Millipore, Billerica, MA) according to the manufacturer’s instructions.\nFor the first 20 substudy patients, peritoneal biopsies (0.5–1 by 0.5–1 cm) were taken right after abdominal insufflation and at the end of surgery. Biopsies were collected in RNAlater tissue protect tubes (Qiagen, Germantown, MD) and stored at −80°C until analysis. mRNA was extracted with the Qiagen RNA extraction kit, and HIF1α, VEGF, TNFα, IL-1β, and IL-6 levels were determined by quantitative PCR.", "To achieve 80% power to detect a mean clinically important difference of 6.319 on the QoR-40 score (SD=15,17 range: 40–200) with an α of 5%, a sample size of 89 per group (178 total) was required. The published protocol describes 204 participants because of an estimated 15% conversion rate to open surgery. As the actual conversion rate was much lower, patients were enrolled until both groups reached 89 participants for the final analysis. A sample size of 48 patients per group was needed to provide 90% power to detect a 150 pg/mL difference in TNFα release from baseline to POD1 upon endotoxin stimulation (α of 5%) with an estimated SD of 225 pg/mL.11\n\nAll statistical analyses were performed using Statistical Package for the Social Sciences (IBM SPSS Statistics version 27; IBM Corp., Armonk, NY). Continuous data were presented as mean±SD and categorical data were presented as a number with a percentage. We did not perform data imputation for missing data. For the primary outcome analysis, analysis of covariance was used to compare the QoR-40 score on POD1 between LPP and SPP, controlled for covariates age, sex, body mass index, and American Society of Anesthesiology classification. For secondary outcome variables, a Student t test was used to compare normally distributed continuous variables and the χ2 test for categorical variables. A P value <0.05 was considered statistically significant. For the correlation matrix, Pearson r was calculated for continuous variables that were normally distributed, Spearman ρ for skewed variables.", "The mean quality of recovery, QoR-40, on POD1 was significantly better for LPP and deep NMB (mean: 167) compared with SPP and moderate NMB (mean: 159) [mean difference (MD): 8.3; 95% confidence interval (CI): 2.5, 14.1; P=0.005]. The covariates age and sex were significantly related to QoR-40 on POD1 (F\n1,169=5.91, P=0.016 and F\n1,169=4.30, P=0.040, respectively), whereas body mass index and American Society of Anesthesiology classification were not. The effect of low pressure on QoR-40 remained statistically significant after controlling for these covariates (F\n1,169=7.92, P=0.005). Baseline mean QoR-40 was 184 for LPP versus 186 for SPP (MD: 1.8; 95% CI: −6.2, 2.6; P=0.420). Figure 2A shows the total QoR-40 scores by intention-to-treat analysis (n=89 in both groups), Figure 2B shows the separate domains and illustrates benefits in pain, comfort, and physical independence. A significant difference on POD1 was also seen on the QoR-15 (range: 0−150) with a mean of 112 for LPP versus 106 for SPP (MD: 6.5; 95% CI: 1.2–11.8; P=0.016).\nQoR-40 overall and per domain. Total QoR-40 score analyzed by intention to treat (n=89 in both groups) (A) with separate domains and QoR-15 in (B).", "Intraoperative and Postoperative Clinical Outcomes Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4].\nIntraoperative Outcomes\nPresented values are absolute n (%) or mean±SD.\nAll ClassIntra grade II (grade I was not recorded, grade III or higher did not occur).\nTOF indicates train-of-four.\nPostoperative Outcomes\nThe statistically significant P-values are in bold.\nPresented values are absolute n (%) or mean±SD.\nPostoperative Complications\nThe statistically significant P-values are in bold.\nGI indicates gastrointestinal.\nIntraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4].\nIntraoperative Outcomes\nPresented values are absolute n (%) or mean±SD.\nAll ClassIntra grade II (grade I was not recorded, grade III or higher did not occur).\nTOF indicates train-of-four.\nPostoperative Outcomes\nThe statistically significant P-values are in bold.\nPresented values are absolute n (%) or mean±SD.\nPostoperative Complications\nThe statistically significant P-values are in bold.\nGI indicates gastrointestinal.\nImmune Outcomes, Surgical Injury, and Pain Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046).\nA, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative.\nThe correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β).\nHeatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room.\nEx vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046).\nA, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative.\nThe correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β).\nHeatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room.\nLate Recovery The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r\n145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r\n145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r\n145=−0.35, P<0.001), MPQ PRI-T (r\n145=−0.36, P<0.001) and RAND-36 (r\n145=0.310, P<0.001) at 3 months after surgery.\nThe questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r\n145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r\n145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r\n145=−0.35, P<0.001), MPQ PRI-T (r\n145=−0.36, P<0.001) and RAND-36 (r\n145=0.310, P<0.001) at 3 months after surgery.", "Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4].\nIntraoperative Outcomes\nPresented values are absolute n (%) or mean±SD.\nAll ClassIntra grade II (grade I was not recorded, grade III or higher did not occur).\nTOF indicates train-of-four.\nPostoperative Outcomes\nThe statistically significant P-values are in bold.\nPresented values are absolute n (%) or mean±SD.\nPostoperative Complications\nThe statistically significant P-values are in bold.\nGI indicates gastrointestinal.", "Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046).\nA, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative.\nThe correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β).\nHeatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room.", "The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r\n145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r\n145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r\n145=−0.35, P<0.001), MPQ PRI-T (r\n145=−0.36, P<0.001) and RAND-36 (r\n145=0.310, P<0.001) at 3 months after surgery." ]
[ null, null, null, null, null, null, null, null ]
[ "METHODS", "Treatment and Clinical Outcomes", "RECOVER PLUS", "Statistical Analysis", "RESULTS", "Primary Outcome", "Secondary Outcomes", "Intraoperative and Postoperative Clinical Outcomes", "Immune Outcomes, Surgical Injury, and Pain", "Late Recovery", "DISCUSSION" ]
[ "The RECOVER study was a multicenter double-blinded randomized controlled trial performed at 3 general teaching hospitals in The Netherlands between October 2018 and March 2021, assessing the effects of LPP facilitated by deep NMB versus SPP and moderate NMB on quality of recovery in patients undergoing colorectal laparoscopic surgery. The complete methods of the RECOVER study (clinicaltrials.gov NCT03608436) have been described in the published study protocol.12 In addition, an immunological substudy (RECOVER PLUS, clinicaltrials.gov NCT03572413) was performed in the first 100 patients enrolled at the Canisius Wilhelmina Hospital. Both protocols were approved by the Medical Research Ethics Committee “CMO region Arnhem-Nijmegen” and the competent authority (Central Committee on Research Involving Human Subjects). All patients provided informed consent for participation in the trial.\nTreatment and Clinical Outcomes Patients were randomized in a 1:1 fashion to LPP (8 mm Hg) with deep NMB defined as a posttetanic count (PTC) of 1–2, or SPP (12 mm Hg) with moderate NMB defined as a train-of-four count of 1–2. Randomization was stratified for center and robot assistance. The surgeon was blinded to the study arm and level of IAP and rated the quality of the surgical field on the Leiden Surgical Rating Scale (L-SRS) every 15 minutes. In case of inadequate surgical conditions (L-SRS ≤3 of 5 at any time during the surgery), IAP was increased with 2 to 10 mm Hg and a maximum of 12 mm Hg for LPP or 14 mm Hg and a maximum of 16 mm Hg for SPP. The primary outcome was the patient-reported quality of recovery on a postoperative day (POD), measured with the Dutch version of the validated Quality of Recovery 40 (QoR-40) questionnaire.13 Adherence to 29 preoperative, intraoperative, and postoperative key elements of the ERAS Society guideline was scored for all patients.1,14 Secondary outcome measures were quality of the surgical field (mean L-SRS score), blood loss, intraoperative complications classified by the ClassIntra classification,15 pain, nausea, use of analgesics and antiemetics, QoR-40 on POD3 and POD7, length of hospital stay, time to reach discharge criteria, 30-day postoperative complications classified by the Clavien-Dindo16 classification, health-related quality of life (HRQOL) 3 months after surgery measured by the Dutch version of the Research and Development-36 (RAND-36)17 questionnaire and chronic pain measured with the Dutch version of the McGill Pain Questionnaire (MPQ)18 3 months after surgery. Except for the anesthesiologist (who only assessed peroperative anesthesiologic complications) all outcome assessors were blinded to the study arm.\nPatients were randomized in a 1:1 fashion to LPP (8 mm Hg) with deep NMB defined as a posttetanic count (PTC) of 1–2, or SPP (12 mm Hg) with moderate NMB defined as a train-of-four count of 1–2. Randomization was stratified for center and robot assistance. The surgeon was blinded to the study arm and level of IAP and rated the quality of the surgical field on the Leiden Surgical Rating Scale (L-SRS) every 15 minutes. In case of inadequate surgical conditions (L-SRS ≤3 of 5 at any time during the surgery), IAP was increased with 2 to 10 mm Hg and a maximum of 12 mm Hg for LPP or 14 mm Hg and a maximum of 16 mm Hg for SPP. The primary outcome was the patient-reported quality of recovery on a postoperative day (POD), measured with the Dutch version of the validated Quality of Recovery 40 (QoR-40) questionnaire.13 Adherence to 29 preoperative, intraoperative, and postoperative key elements of the ERAS Society guideline was scored for all patients.1,14 Secondary outcome measures were quality of the surgical field (mean L-SRS score), blood loss, intraoperative complications classified by the ClassIntra classification,15 pain, nausea, use of analgesics and antiemetics, QoR-40 on POD3 and POD7, length of hospital stay, time to reach discharge criteria, 30-day postoperative complications classified by the Clavien-Dindo16 classification, health-related quality of life (HRQOL) 3 months after surgery measured by the Dutch version of the Research and Development-36 (RAND-36)17 questionnaire and chronic pain measured with the Dutch version of the McGill Pain Questionnaire (MPQ)18 3 months after surgery. Except for the anesthesiologist (who only assessed peroperative anesthesiologic complications) all outcome assessors were blinded to the study arm.\nRECOVER PLUS In patients enrolled in the substudy, blood was drawn by venipuncture before surgery, at the end of the surgery, on POD1 and POD3 when still admitted at that time. Whole blood ex vivo cytokine production capacity upon endotoxin stimulation, plasma DAMP levels, and plasma cytokine concentrations were quantified as previously described, for detailed methodology we refer to these publications.8,9 The primary outcome of the immune substudy was the change in ex vivo tumor necrosis factor α (TNFα) production capacity on POD1 upon whole blood endotoxin stimulation. Secondary (explorative) outcomes were change in ex vivo production capacity of interleukin (IL)-6, IL-1β, and IL-10, plasma DAMPS (HSP70, HMGB1, nDNA, and mtDNA), plasma cytokines (TNFα, IL-10, and IL-6) and local peritoneal tissue hypoxia and inflammation markers [hypoxia-inducible factor 1α (HIF1α), vascular endothelial growth factor (VEGF), TNFα, IL-6, and IL-1β]. For the endotoxin stimulation, 0.5 mL of lithium heparin anticoagulated whole blood was added to preprepared tubes with 2 mL culture medium (negative control) and 2 mL culture medium supplemented with 12.5 ng/mL Escherichia coli lipopolysaccharide (serotype O55:B5 Sigma Aldrich, St Louis, MO) in a biosafety cabinet, resulting in a final concentration of 10 ng/mL. Tubes were prepared in one batch, stored at −80°C, and thawed shortly before use. After adding the blood, the tubes were cultured at 37°C for 24 hours, then centrifuged for 5 minutes at 1500 rpm and the supernatants were stored at −80°C until analysis. Supernatant cytokine levels were measured by enzyme-linked immunosorbent assay (R&D Systems, Minneapolis, MN) according to the manufacturer’s instructions. Plasma DAMP concentrations were determined from doubly centrifuged EDTA anticoagulated blood. DNA was isolated with the QIAamp DNA Blood Midi Kit (Qiagen, Valencia, CA) and levels of nDNA and mtDNA were determined by quantitative polymerase chain reaction (PCR) on a CFX96 Real-Time PCR Detection System (Bio-Rad Laboratories, Hercules, CA) and expressed as fold change relative to preoperative values of the same patient using the formula: 2ΔCt. Concentrations of HSP70 (R&D Systems) and HMGB1 (IBL International GmbH, Hamburg, Germany) were measured batchwise by ELISA according to the manufacturer’s instructions. Plasma concentrations of TNFα, IL-10, and IL-6 were determined batchwise using a simultaneous Luminex assay (Milliplex; Millipore, Billerica, MA) according to the manufacturer’s instructions.\nFor the first 20 substudy patients, peritoneal biopsies (0.5–1 by 0.5–1 cm) were taken right after abdominal insufflation and at the end of surgery. Biopsies were collected in RNAlater tissue protect tubes (Qiagen, Germantown, MD) and stored at −80°C until analysis. mRNA was extracted with the Qiagen RNA extraction kit, and HIF1α, VEGF, TNFα, IL-1β, and IL-6 levels were determined by quantitative PCR.\nIn patients enrolled in the substudy, blood was drawn by venipuncture before surgery, at the end of the surgery, on POD1 and POD3 when still admitted at that time. Whole blood ex vivo cytokine production capacity upon endotoxin stimulation, plasma DAMP levels, and plasma cytokine concentrations were quantified as previously described, for detailed methodology we refer to these publications.8,9 The primary outcome of the immune substudy was the change in ex vivo tumor necrosis factor α (TNFα) production capacity on POD1 upon whole blood endotoxin stimulation. Secondary (explorative) outcomes were change in ex vivo production capacity of interleukin (IL)-6, IL-1β, and IL-10, plasma DAMPS (HSP70, HMGB1, nDNA, and mtDNA), plasma cytokines (TNFα, IL-10, and IL-6) and local peritoneal tissue hypoxia and inflammation markers [hypoxia-inducible factor 1α (HIF1α), vascular endothelial growth factor (VEGF), TNFα, IL-6, and IL-1β]. For the endotoxin stimulation, 0.5 mL of lithium heparin anticoagulated whole blood was added to preprepared tubes with 2 mL culture medium (negative control) and 2 mL culture medium supplemented with 12.5 ng/mL Escherichia coli lipopolysaccharide (serotype O55:B5 Sigma Aldrich, St Louis, MO) in a biosafety cabinet, resulting in a final concentration of 10 ng/mL. Tubes were prepared in one batch, stored at −80°C, and thawed shortly before use. After adding the blood, the tubes were cultured at 37°C for 24 hours, then centrifuged for 5 minutes at 1500 rpm and the supernatants were stored at −80°C until analysis. Supernatant cytokine levels were measured by enzyme-linked immunosorbent assay (R&D Systems, Minneapolis, MN) according to the manufacturer’s instructions. Plasma DAMP concentrations were determined from doubly centrifuged EDTA anticoagulated blood. DNA was isolated with the QIAamp DNA Blood Midi Kit (Qiagen, Valencia, CA) and levels of nDNA and mtDNA were determined by quantitative polymerase chain reaction (PCR) on a CFX96 Real-Time PCR Detection System (Bio-Rad Laboratories, Hercules, CA) and expressed as fold change relative to preoperative values of the same patient using the formula: 2ΔCt. Concentrations of HSP70 (R&D Systems) and HMGB1 (IBL International GmbH, Hamburg, Germany) were measured batchwise by ELISA according to the manufacturer’s instructions. Plasma concentrations of TNFα, IL-10, and IL-6 were determined batchwise using a simultaneous Luminex assay (Milliplex; Millipore, Billerica, MA) according to the manufacturer’s instructions.\nFor the first 20 substudy patients, peritoneal biopsies (0.5–1 by 0.5–1 cm) were taken right after abdominal insufflation and at the end of surgery. Biopsies were collected in RNAlater tissue protect tubes (Qiagen, Germantown, MD) and stored at −80°C until analysis. mRNA was extracted with the Qiagen RNA extraction kit, and HIF1α, VEGF, TNFα, IL-1β, and IL-6 levels were determined by quantitative PCR.\nStatistical Analysis To achieve 80% power to detect a mean clinically important difference of 6.319 on the QoR-40 score (SD=15,17 range: 40–200) with an α of 5%, a sample size of 89 per group (178 total) was required. The published protocol describes 204 participants because of an estimated 15% conversion rate to open surgery. As the actual conversion rate was much lower, patients were enrolled until both groups reached 89 participants for the final analysis. A sample size of 48 patients per group was needed to provide 90% power to detect a 150 pg/mL difference in TNFα release from baseline to POD1 upon endotoxin stimulation (α of 5%) with an estimated SD of 225 pg/mL.11\n\nAll statistical analyses were performed using Statistical Package for the Social Sciences (IBM SPSS Statistics version 27; IBM Corp., Armonk, NY). Continuous data were presented as mean±SD and categorical data were presented as a number with a percentage. We did not perform data imputation for missing data. For the primary outcome analysis, analysis of covariance was used to compare the QoR-40 score on POD1 between LPP and SPP, controlled for covariates age, sex, body mass index, and American Society of Anesthesiology classification. For secondary outcome variables, a Student t test was used to compare normally distributed continuous variables and the χ2 test for categorical variables. A P value <0.05 was considered statistically significant. For the correlation matrix, Pearson r was calculated for continuous variables that were normally distributed, Spearman ρ for skewed variables.\nTo achieve 80% power to detect a mean clinically important difference of 6.319 on the QoR-40 score (SD=15,17 range: 40–200) with an α of 5%, a sample size of 89 per group (178 total) was required. The published protocol describes 204 participants because of an estimated 15% conversion rate to open surgery. As the actual conversion rate was much lower, patients were enrolled until both groups reached 89 participants for the final analysis. A sample size of 48 patients per group was needed to provide 90% power to detect a 150 pg/mL difference in TNFα release from baseline to POD1 upon endotoxin stimulation (α of 5%) with an estimated SD of 225 pg/mL.11\n\nAll statistical analyses were performed using Statistical Package for the Social Sciences (IBM SPSS Statistics version 27; IBM Corp., Armonk, NY). Continuous data were presented as mean±SD and categorical data were presented as a number with a percentage. We did not perform data imputation for missing data. For the primary outcome analysis, analysis of covariance was used to compare the QoR-40 score on POD1 between LPP and SPP, controlled for covariates age, sex, body mass index, and American Society of Anesthesiology classification. For secondary outcome variables, a Student t test was used to compare normally distributed continuous variables and the χ2 test for categorical variables. A P value <0.05 was considered statistically significant. For the correlation matrix, Pearson r was calculated for continuous variables that were normally distributed, Spearman ρ for skewed variables.", "Patients were randomized in a 1:1 fashion to LPP (8 mm Hg) with deep NMB defined as a posttetanic count (PTC) of 1–2, or SPP (12 mm Hg) with moderate NMB defined as a train-of-four count of 1–2. Randomization was stratified for center and robot assistance. The surgeon was blinded to the study arm and level of IAP and rated the quality of the surgical field on the Leiden Surgical Rating Scale (L-SRS) every 15 minutes. In case of inadequate surgical conditions (L-SRS ≤3 of 5 at any time during the surgery), IAP was increased with 2 to 10 mm Hg and a maximum of 12 mm Hg for LPP or 14 mm Hg and a maximum of 16 mm Hg for SPP. The primary outcome was the patient-reported quality of recovery on a postoperative day (POD), measured with the Dutch version of the validated Quality of Recovery 40 (QoR-40) questionnaire.13 Adherence to 29 preoperative, intraoperative, and postoperative key elements of the ERAS Society guideline was scored for all patients.1,14 Secondary outcome measures were quality of the surgical field (mean L-SRS score), blood loss, intraoperative complications classified by the ClassIntra classification,15 pain, nausea, use of analgesics and antiemetics, QoR-40 on POD3 and POD7, length of hospital stay, time to reach discharge criteria, 30-day postoperative complications classified by the Clavien-Dindo16 classification, health-related quality of life (HRQOL) 3 months after surgery measured by the Dutch version of the Research and Development-36 (RAND-36)17 questionnaire and chronic pain measured with the Dutch version of the McGill Pain Questionnaire (MPQ)18 3 months after surgery. Except for the anesthesiologist (who only assessed peroperative anesthesiologic complications) all outcome assessors were blinded to the study arm.", "In patients enrolled in the substudy, blood was drawn by venipuncture before surgery, at the end of the surgery, on POD1 and POD3 when still admitted at that time. Whole blood ex vivo cytokine production capacity upon endotoxin stimulation, plasma DAMP levels, and plasma cytokine concentrations were quantified as previously described, for detailed methodology we refer to these publications.8,9 The primary outcome of the immune substudy was the change in ex vivo tumor necrosis factor α (TNFα) production capacity on POD1 upon whole blood endotoxin stimulation. Secondary (explorative) outcomes were change in ex vivo production capacity of interleukin (IL)-6, IL-1β, and IL-10, plasma DAMPS (HSP70, HMGB1, nDNA, and mtDNA), plasma cytokines (TNFα, IL-10, and IL-6) and local peritoneal tissue hypoxia and inflammation markers [hypoxia-inducible factor 1α (HIF1α), vascular endothelial growth factor (VEGF), TNFα, IL-6, and IL-1β]. For the endotoxin stimulation, 0.5 mL of lithium heparin anticoagulated whole blood was added to preprepared tubes with 2 mL culture medium (negative control) and 2 mL culture medium supplemented with 12.5 ng/mL Escherichia coli lipopolysaccharide (serotype O55:B5 Sigma Aldrich, St Louis, MO) in a biosafety cabinet, resulting in a final concentration of 10 ng/mL. Tubes were prepared in one batch, stored at −80°C, and thawed shortly before use. After adding the blood, the tubes were cultured at 37°C for 24 hours, then centrifuged for 5 minutes at 1500 rpm and the supernatants were stored at −80°C until analysis. Supernatant cytokine levels were measured by enzyme-linked immunosorbent assay (R&D Systems, Minneapolis, MN) according to the manufacturer’s instructions. Plasma DAMP concentrations were determined from doubly centrifuged EDTA anticoagulated blood. DNA was isolated with the QIAamp DNA Blood Midi Kit (Qiagen, Valencia, CA) and levels of nDNA and mtDNA were determined by quantitative polymerase chain reaction (PCR) on a CFX96 Real-Time PCR Detection System (Bio-Rad Laboratories, Hercules, CA) and expressed as fold change relative to preoperative values of the same patient using the formula: 2ΔCt. Concentrations of HSP70 (R&D Systems) and HMGB1 (IBL International GmbH, Hamburg, Germany) were measured batchwise by ELISA according to the manufacturer’s instructions. Plasma concentrations of TNFα, IL-10, and IL-6 were determined batchwise using a simultaneous Luminex assay (Milliplex; Millipore, Billerica, MA) according to the manufacturer’s instructions.\nFor the first 20 substudy patients, peritoneal biopsies (0.5–1 by 0.5–1 cm) were taken right after abdominal insufflation and at the end of surgery. Biopsies were collected in RNAlater tissue protect tubes (Qiagen, Germantown, MD) and stored at −80°C until analysis. mRNA was extracted with the Qiagen RNA extraction kit, and HIF1α, VEGF, TNFα, IL-1β, and IL-6 levels were determined by quantitative PCR.", "To achieve 80% power to detect a mean clinically important difference of 6.319 on the QoR-40 score (SD=15,17 range: 40–200) with an α of 5%, a sample size of 89 per group (178 total) was required. The published protocol describes 204 participants because of an estimated 15% conversion rate to open surgery. As the actual conversion rate was much lower, patients were enrolled until both groups reached 89 participants for the final analysis. A sample size of 48 patients per group was needed to provide 90% power to detect a 150 pg/mL difference in TNFα release from baseline to POD1 upon endotoxin stimulation (α of 5%) with an estimated SD of 225 pg/mL.11\n\nAll statistical analyses were performed using Statistical Package for the Social Sciences (IBM SPSS Statistics version 27; IBM Corp., Armonk, NY). Continuous data were presented as mean±SD and categorical data were presented as a number with a percentage. We did not perform data imputation for missing data. For the primary outcome analysis, analysis of covariance was used to compare the QoR-40 score on POD1 between LPP and SPP, controlled for covariates age, sex, body mass index, and American Society of Anesthesiology classification. For secondary outcome variables, a Student t test was used to compare normally distributed continuous variables and the χ2 test for categorical variables. A P value <0.05 was considered statistically significant. For the correlation matrix, Pearson r was calculated for continuous variables that were normally distributed, Spearman ρ for skewed variables.", "A CONSORT flowchart of screening and treatment allocation is shown in Figure 1, 185 patients were randomized, 7 patients were excluded because laparoscopy was infeasible (n=6, 3.2%) or no colonic resection was performed (n=1, 0.5%), 178 patients were included in the final analysis. For all excluded cases, the unfeasibility of laparoscopy was due to patient or tumor characteristics unrelated to IAP or NMB. Baseline characteristics were similar between groups as listed in Table 1.\nCONSORT flowchart.\nBaseline Characteristics\nPresented values are absolute n (%) or mean±SD.\nASA indicates American Society of Anesthesiologists classification; BMI, body mass index; CWZ, Canisius Wilhelmina Hospital; MMC, Maxima Medical Centre; PME, partial mesorectal excision; TME, total mesorectal excision.\nPrimary Outcome The mean quality of recovery, QoR-40, on POD1 was significantly better for LPP and deep NMB (mean: 167) compared with SPP and moderate NMB (mean: 159) [mean difference (MD): 8.3; 95% confidence interval (CI): 2.5, 14.1; P=0.005]. The covariates age and sex were significantly related to QoR-40 on POD1 (F\n1,169=5.91, P=0.016 and F\n1,169=4.30, P=0.040, respectively), whereas body mass index and American Society of Anesthesiology classification were not. The effect of low pressure on QoR-40 remained statistically significant after controlling for these covariates (F\n1,169=7.92, P=0.005). Baseline mean QoR-40 was 184 for LPP versus 186 for SPP (MD: 1.8; 95% CI: −6.2, 2.6; P=0.420). Figure 2A shows the total QoR-40 scores by intention-to-treat analysis (n=89 in both groups), Figure 2B shows the separate domains and illustrates benefits in pain, comfort, and physical independence. A significant difference on POD1 was also seen on the QoR-15 (range: 0−150) with a mean of 112 for LPP versus 106 for SPP (MD: 6.5; 95% CI: 1.2–11.8; P=0.016).\nQoR-40 overall and per domain. Total QoR-40 score analyzed by intention to treat (n=89 in both groups) (A) with separate domains and QoR-15 in (B).\nThe mean quality of recovery, QoR-40, on POD1 was significantly better for LPP and deep NMB (mean: 167) compared with SPP and moderate NMB (mean: 159) [mean difference (MD): 8.3; 95% confidence interval (CI): 2.5, 14.1; P=0.005]. The covariates age and sex were significantly related to QoR-40 on POD1 (F\n1,169=5.91, P=0.016 and F\n1,169=4.30, P=0.040, respectively), whereas body mass index and American Society of Anesthesiology classification were not. The effect of low pressure on QoR-40 remained statistically significant after controlling for these covariates (F\n1,169=7.92, P=0.005). Baseline mean QoR-40 was 184 for LPP versus 186 for SPP (MD: 1.8; 95% CI: −6.2, 2.6; P=0.420). Figure 2A shows the total QoR-40 scores by intention-to-treat analysis (n=89 in both groups), Figure 2B shows the separate domains and illustrates benefits in pain, comfort, and physical independence. A significant difference on POD1 was also seen on the QoR-15 (range: 0−150) with a mean of 112 for LPP versus 106 for SPP (MD: 6.5; 95% CI: 1.2–11.8; P=0.016).\nQoR-40 overall and per domain. Total QoR-40 score analyzed by intention to treat (n=89 in both groups) (A) with separate domains and QoR-15 in (B).\nSecondary Outcomes Intraoperative and Postoperative Clinical Outcomes Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4].\nIntraoperative Outcomes\nPresented values are absolute n (%) or mean±SD.\nAll ClassIntra grade II (grade I was not recorded, grade III or higher did not occur).\nTOF indicates train-of-four.\nPostoperative Outcomes\nThe statistically significant P-values are in bold.\nPresented values are absolute n (%) or mean±SD.\nPostoperative Complications\nThe statistically significant P-values are in bold.\nGI indicates gastrointestinal.\nIntraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4].\nIntraoperative Outcomes\nPresented values are absolute n (%) or mean±SD.\nAll ClassIntra grade II (grade I was not recorded, grade III or higher did not occur).\nTOF indicates train-of-four.\nPostoperative Outcomes\nThe statistically significant P-values are in bold.\nPresented values are absolute n (%) or mean±SD.\nPostoperative Complications\nThe statistically significant P-values are in bold.\nGI indicates gastrointestinal.\nImmune Outcomes, Surgical Injury, and Pain Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046).\nA, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative.\nThe correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β).\nHeatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room.\nEx vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046).\nA, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative.\nThe correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β).\nHeatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room.\nLate Recovery The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r\n145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r\n145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r\n145=−0.35, P<0.001), MPQ PRI-T (r\n145=−0.36, P<0.001) and RAND-36 (r\n145=0.310, P<0.001) at 3 months after surgery.\nThe questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r\n145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r\n145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r\n145=−0.35, P<0.001), MPQ PRI-T (r\n145=−0.36, P<0.001) and RAND-36 (r\n145=0.310, P<0.001) at 3 months after surgery.\nIntraoperative and Postoperative Clinical Outcomes Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4].\nIntraoperative Outcomes\nPresented values are absolute n (%) or mean±SD.\nAll ClassIntra grade II (grade I was not recorded, grade III or higher did not occur).\nTOF indicates train-of-four.\nPostoperative Outcomes\nThe statistically significant P-values are in bold.\nPresented values are absolute n (%) or mean±SD.\nPostoperative Complications\nThe statistically significant P-values are in bold.\nGI indicates gastrointestinal.\nIntraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4].\nIntraoperative Outcomes\nPresented values are absolute n (%) or mean±SD.\nAll ClassIntra grade II (grade I was not recorded, grade III or higher did not occur).\nTOF indicates train-of-four.\nPostoperative Outcomes\nThe statistically significant P-values are in bold.\nPresented values are absolute n (%) or mean±SD.\nPostoperative Complications\nThe statistically significant P-values are in bold.\nGI indicates gastrointestinal.\nImmune Outcomes, Surgical Injury, and Pain Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046).\nA, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative.\nThe correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β).\nHeatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room.\nEx vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046).\nA, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative.\nThe correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β).\nHeatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room.\nLate Recovery The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r\n145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r\n145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r\n145=−0.35, P<0.001), MPQ PRI-T (r\n145=−0.36, P<0.001) and RAND-36 (r\n145=0.310, P<0.001) at 3 months after surgery.\nThe questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r\n145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r\n145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r\n145=−0.35, P<0.001), MPQ PRI-T (r\n145=−0.36, P<0.001) and RAND-36 (r\n145=0.310, P<0.001) at 3 months after surgery.", "The mean quality of recovery, QoR-40, on POD1 was significantly better for LPP and deep NMB (mean: 167) compared with SPP and moderate NMB (mean: 159) [mean difference (MD): 8.3; 95% confidence interval (CI): 2.5, 14.1; P=0.005]. The covariates age and sex were significantly related to QoR-40 on POD1 (F\n1,169=5.91, P=0.016 and F\n1,169=4.30, P=0.040, respectively), whereas body mass index and American Society of Anesthesiology classification were not. The effect of low pressure on QoR-40 remained statistically significant after controlling for these covariates (F\n1,169=7.92, P=0.005). Baseline mean QoR-40 was 184 for LPP versus 186 for SPP (MD: 1.8; 95% CI: −6.2, 2.6; P=0.420). Figure 2A shows the total QoR-40 scores by intention-to-treat analysis (n=89 in both groups), Figure 2B shows the separate domains and illustrates benefits in pain, comfort, and physical independence. A significant difference on POD1 was also seen on the QoR-15 (range: 0−150) with a mean of 112 for LPP versus 106 for SPP (MD: 6.5; 95% CI: 1.2–11.8; P=0.016).\nQoR-40 overall and per domain. Total QoR-40 score analyzed by intention to treat (n=89 in both groups) (A) with separate domains and QoR-15 in (B).", "Intraoperative and Postoperative Clinical Outcomes Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4].\nIntraoperative Outcomes\nPresented values are absolute n (%) or mean±SD.\nAll ClassIntra grade II (grade I was not recorded, grade III or higher did not occur).\nTOF indicates train-of-four.\nPostoperative Outcomes\nThe statistically significant P-values are in bold.\nPresented values are absolute n (%) or mean±SD.\nPostoperative Complications\nThe statistically significant P-values are in bold.\nGI indicates gastrointestinal.\nIntraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4].\nIntraoperative Outcomes\nPresented values are absolute n (%) or mean±SD.\nAll ClassIntra grade II (grade I was not recorded, grade III or higher did not occur).\nTOF indicates train-of-four.\nPostoperative Outcomes\nThe statistically significant P-values are in bold.\nPresented values are absolute n (%) or mean±SD.\nPostoperative Complications\nThe statistically significant P-values are in bold.\nGI indicates gastrointestinal.\nImmune Outcomes, Surgical Injury, and Pain Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046).\nA, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative.\nThe correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β).\nHeatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room.\nEx vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046).\nA, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative.\nThe correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β).\nHeatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room.\nLate Recovery The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r\n145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r\n145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r\n145=−0.35, P<0.001), MPQ PRI-T (r\n145=−0.36, P<0.001) and RAND-36 (r\n145=0.310, P<0.001) at 3 months after surgery.\nThe questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r\n145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r\n145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r\n145=−0.35, P<0.001), MPQ PRI-T (r\n145=−0.36, P<0.001) and RAND-36 (r\n145=0.310, P<0.001) at 3 months after surgery.", "Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4].\nIntraoperative Outcomes\nPresented values are absolute n (%) or mean±SD.\nAll ClassIntra grade II (grade I was not recorded, grade III or higher did not occur).\nTOF indicates train-of-four.\nPostoperative Outcomes\nThe statistically significant P-values are in bold.\nPresented values are absolute n (%) or mean±SD.\nPostoperative Complications\nThe statistically significant P-values are in bold.\nGI indicates gastrointestinal.", "Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046).\nA, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative.\nThe correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β).\nHeatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room.", "The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r\n145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r\n145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r\n145=−0.35, P<0.001), MPQ PRI-T (r\n145=−0.36, P<0.001) and RAND-36 (r\n145=0.310, P<0.001) at 3 months after surgery.", "Our RECOVER trial showed a clear advantage for LPP and deep NMB over SPP and moderate NMB regarding the primary outcome patient-reported quality of recovery (QoR-40) and innate cytokine production capacity from baseline to POD1 after laparoscopic colorectal surgery following the ERAS program. Moreover, patients in the LPP group had lower postoperative pain scores and developed less infectious complications in the first 30 days after surgery. Our results confirm and add evidence to the previously reported benefits for LPP in colorectal laparoscopic surgery regarding quality of recovery,21 pain,5,6 and opioid consumption.5 We used the StEP-COMPAC22 recommended QoR-40 and found a benefit not on just one domain but for comfort, physical independence, and pain. In contrast to the PAROS trial (median of 4 vs 3 days), no decreased length of stay was observed.6 However, the median length of stay in our study was only 3 days in both groups.\nPatients operated at LPP showed lower surgical site hypoxia and inflammation markers and circulating DAMPs, with a less impaired early postoperative ex vivo cytokine production capacity. Leijte et al10 demonstrated an association between tissue injury, the release of DAMPs, immune suppression, and infectious complications in patients undergoing cytoreductive surgery with hyperthermic intraperitoneal chemotherapy. Our study reveals a similar association in surgical procedures without immune suppression resulting from intraoperative chemotherapy. Furthermore, we demonstrate that decreasing surgical tissue damage can directly abate immune suppression and postoperative infections. The correlation matrix provides a first illustration of the factors presumably involved in the complex interplay between surgical injury and the innate immune response. Starting at the tissue level (parietal peritoneum), we measure an increase in hypoxia (HIF-1α and VEGF) and inflammatory markers (TNFα, IL-1β, and IL-6) at mRNA level between the biopsies at the beginning and end of laparoscopy. Hypoxia-inducible factors are transcription factors that, under normal physiological conditions, are degraded by propyl hydroxylases that require oxygen as a cofactor (reviewed in the study by Yuan et al23). In the case of hypoxia, HIF-1α is not degraded but stabilized and migrates into the nucleus to regulate the transcription of genes controlling metabolism, inflammation, apoptosis, and angiogenesis.22 As hypothesized, the increase in HIF-1α mRNA in peritoneal biopsies is more than twice as high for SPP at the end of the surgery, implicating a higher level of hypoxia-reperfusion injury. HIF-1α in turn regulates the expression of VEGF.24 These local tissue markers and tissue cytokines correlate with serum DAMPs (HMGB1 and nDNA) and serum cytokines (IL-6 and IL-10), indicating the spread of tissue damage molecules into the circulation followed by a systemic innate immune response. DAMPs are known to bind to toll-like receptors and induce proinflammatory cytokines.25 Surgical injury-induced inflammation is normally followed by a protective compensatory postoperative anti-inflammatory phenotype, where more extensive injury may even induce immune paralysis.26 This mechanism is directly illustrated by the correlation of proinflammatory serum cytokines TNFα and IL-6 with ex vivo production capacity of the anti-inflammatory IL-10 and the inverse correlation with ex vivo production capacity of TNFα, IL-6, and IL-1β. Ex vivo cytokine production capacity upon endotoxin stimulation is a dynamic and relevant measure as it represents the ability of the innate immune cells to respond when challenged by a pathogen. We show that LPP leads to less tissue hypoxia, lower circulating tissue damage markers (HSP70) resulting in a less impaired postoperative innate cytokine production capacity. Patients undergoing colorectal surgery are eminently at risk for infections due to the combination of a by default contaminated surgical area, underlying diagnoses and exposure to many factors that impair wound healing.27 Decreasing tissue injury and maintaining immune homeostasis in the RECOVER study resulted in a 10% reduction in postoperative infections. In addition, we again confirm the previously described strong association between early postoperative pain and infectious complications.28,29 It seems compelling that surgical injury and DAMPs are the predominant common precursors for pain and immune modulation. Conjointly, surgical injury may cause pain and the resulting stress response may influence immune homeostasis. It is well established that the innate immune response plays a crucial role in antitumor activity to prevent tumor progression and metastases,30,31 which adds to the importance of preventing immune suppression in this population. To our knowledge, only 1 observational study previously demonstrated that increased plasma levels of DAMPs are associated with a decreased ex vivo production capacity and infectious complications after hyperthermic intraperitoneal chemotherapy surgery,8 but this study did not have sufficient power to detect a correlation between ex vivo cytokine production capacity upon endotoxin stimulation and infectious complications. Our study established this correlation and is also the first to demonstrate that a specific intervention that decreases surgical tissue injury and circulating DAMPs (HSP70), lowering IAP, results in the preservation of innate immune homeostasis and less infectious complications after surgery.\nMajor prerequisites of adapting a surgical technique are safety and feasibility. Our finding that surgery could safely be completed at LPP in 75% of patients with the same duration of surgery is consistent with a reported 75% to 83% reported in previous trials.4,5 IPP-ColLapSe II even reports less intraoperative events for low IAP laparoscopy. Deep NMB is an important facilitator for low IAP applied in all these trials, as with LPP facilitated by moderate NMB more intraoperative events have been reported.32 Maintaining deep NMB throughout surgery might be a challenge in clinical practice, as adequate titration of rocuronium to reach the small range of PTC 1 to 2 requires continuous quantitative neuromuscular monitoring and dosage adjustments. Second, many anesthesiologists associate deep NMB with an increased risk of postoperative pulmonary complications. However, this often is the result of inadequate neuromuscular monitoring and reversal of NMB (reviewed in the study by Nemes et al33). In one of the most prominent recent trials on this topic, the POPULAR trial,34 only 16.5% of 17,150 patients were monitored and extubated according to the international consensus guideline.35 Therefore, when using neuromuscular blocking agents close monitoring is mandatory. As mentioned in the introduction, studies investigating only the effects of deep NMB find little to no effect on postoperative pain and quality of recovery on POD1, indicating the reported clinical benefits can predominantly be attributed to low pressure.7,8,36\n\nThe additional value of our trial consists not only of new insights into the relationship between perioperative innate immune function and clinical outcomes but also provides the first data on long(er)-term effects of surgical injury and immune homeostasis on chronic pain and HRQOL 3 months after surgery. As previously shown for laparoscopic donor nephrectomy,37 the relationship between acute pain, chronic pain, and long-term HRQOL is also present for laparoscopic colorectal surgery. Nonetheless, while statistically significant, the clinical relevance of the difference for MPQ number of words chosen and pain rating index can be questioned. A major strength of our study was the accuracy of the intervention. For deep NMB, the target PTC of 1 to 2 was reached for 73% of all 5-minute measurements. Moreover, we prospectively collected all ERAS criteria and both groups showed the same high percentage of adherence. A possible limitation of using the total QoR-40 as the primary outcome is that the domains support and emotions appear uninfluenced by IAP and NMB. Still, the emotional state of the patient (eg, feeling anxious or sad) may very well be influenced by or represent the postoperative physical hindrances like pain and nausea, and therefore be reflected in both domains. In our study, there was no statistically significant difference in perceived support or emotions between the groups. Other limitations of the study were that the individual length of hospital stay may have led to bias, if patients were discharged before the third POD, the POD3 blood samples and pain scores were missing. This was not the case for the questionnaires, as they were taken home and returned by regular post. Missing data due to loss to follow-up may have affected the late recovery outcomes after 3 months, however, given the relatively high response rate of 83%, this influence is likely limited. Second, the methodology of the substudy was not included in the prepublished protocol, however, it was preplanned, approved by the medical ethical committee, and concisely published at clinicaltrials.gov. For the substudy, we chose to show the intention-to-treat and per-protocol analysis, as the per-protocol analysis may most closely reflect the underlying scientific model,38 which is primarily of interest to illustrate the relationship between damage from IAP and the ensuing systemic immune response. Granted, a per-protocol analysis may introduce substantial bias and results need to be interpreted with caution. Last, the study experienced a delay due to the coronavirus disease 2019 pandemic, and coronavirus disease 2019 isolation measures may also have affected the quality of life and recovery. Nonetheless, no statistically significant differences were observed between outcomes before and during the pandemic.\nWhile safe and attainable, the early and long-term advantages of LPP during colorectal laparoscopic surgery are very compelling and LPP facilitated by deep NMB would be a valuable addition to the intraoperative elements of the future colorectal ERAS program." ]
[ "methods", null, null, null, "results", null, null, null, null, null, "discussion" ]
[ "laparoscopy", "laparoscopic surgery", "low pressure pneumoperitoneum", "intra-abdominal pressure", "deep neuromuscular blockade", "QoR-40", "DAMPs", "innate immunity", "postoperative infections" ]
METHODS: The RECOVER study was a multicenter double-blinded randomized controlled trial performed at 3 general teaching hospitals in The Netherlands between October 2018 and March 2021, assessing the effects of LPP facilitated by deep NMB versus SPP and moderate NMB on quality of recovery in patients undergoing colorectal laparoscopic surgery. The complete methods of the RECOVER study (clinicaltrials.gov NCT03608436) have been described in the published study protocol.12 In addition, an immunological substudy (RECOVER PLUS, clinicaltrials.gov NCT03572413) was performed in the first 100 patients enrolled at the Canisius Wilhelmina Hospital. Both protocols were approved by the Medical Research Ethics Committee “CMO region Arnhem-Nijmegen” and the competent authority (Central Committee on Research Involving Human Subjects). All patients provided informed consent for participation in the trial. Treatment and Clinical Outcomes Patients were randomized in a 1:1 fashion to LPP (8 mm Hg) with deep NMB defined as a posttetanic count (PTC) of 1–2, or SPP (12 mm Hg) with moderate NMB defined as a train-of-four count of 1–2. Randomization was stratified for center and robot assistance. The surgeon was blinded to the study arm and level of IAP and rated the quality of the surgical field on the Leiden Surgical Rating Scale (L-SRS) every 15 minutes. In case of inadequate surgical conditions (L-SRS ≤3 of 5 at any time during the surgery), IAP was increased with 2 to 10 mm Hg and a maximum of 12 mm Hg for LPP or 14 mm Hg and a maximum of 16 mm Hg for SPP. The primary outcome was the patient-reported quality of recovery on a postoperative day (POD), measured with the Dutch version of the validated Quality of Recovery 40 (QoR-40) questionnaire.13 Adherence to 29 preoperative, intraoperative, and postoperative key elements of the ERAS Society guideline was scored for all patients.1,14 Secondary outcome measures were quality of the surgical field (mean L-SRS score), blood loss, intraoperative complications classified by the ClassIntra classification,15 pain, nausea, use of analgesics and antiemetics, QoR-40 on POD3 and POD7, length of hospital stay, time to reach discharge criteria, 30-day postoperative complications classified by the Clavien-Dindo16 classification, health-related quality of life (HRQOL) 3 months after surgery measured by the Dutch version of the Research and Development-36 (RAND-36)17 questionnaire and chronic pain measured with the Dutch version of the McGill Pain Questionnaire (MPQ)18 3 months after surgery. Except for the anesthesiologist (who only assessed peroperative anesthesiologic complications) all outcome assessors were blinded to the study arm. Patients were randomized in a 1:1 fashion to LPP (8 mm Hg) with deep NMB defined as a posttetanic count (PTC) of 1–2, or SPP (12 mm Hg) with moderate NMB defined as a train-of-four count of 1–2. Randomization was stratified for center and robot assistance. The surgeon was blinded to the study arm and level of IAP and rated the quality of the surgical field on the Leiden Surgical Rating Scale (L-SRS) every 15 minutes. In case of inadequate surgical conditions (L-SRS ≤3 of 5 at any time during the surgery), IAP was increased with 2 to 10 mm Hg and a maximum of 12 mm Hg for LPP or 14 mm Hg and a maximum of 16 mm Hg for SPP. The primary outcome was the patient-reported quality of recovery on a postoperative day (POD), measured with the Dutch version of the validated Quality of Recovery 40 (QoR-40) questionnaire.13 Adherence to 29 preoperative, intraoperative, and postoperative key elements of the ERAS Society guideline was scored for all patients.1,14 Secondary outcome measures were quality of the surgical field (mean L-SRS score), blood loss, intraoperative complications classified by the ClassIntra classification,15 pain, nausea, use of analgesics and antiemetics, QoR-40 on POD3 and POD7, length of hospital stay, time to reach discharge criteria, 30-day postoperative complications classified by the Clavien-Dindo16 classification, health-related quality of life (HRQOL) 3 months after surgery measured by the Dutch version of the Research and Development-36 (RAND-36)17 questionnaire and chronic pain measured with the Dutch version of the McGill Pain Questionnaire (MPQ)18 3 months after surgery. Except for the anesthesiologist (who only assessed peroperative anesthesiologic complications) all outcome assessors were blinded to the study arm. RECOVER PLUS In patients enrolled in the substudy, blood was drawn by venipuncture before surgery, at the end of the surgery, on POD1 and POD3 when still admitted at that time. Whole blood ex vivo cytokine production capacity upon endotoxin stimulation, plasma DAMP levels, and plasma cytokine concentrations were quantified as previously described, for detailed methodology we refer to these publications.8,9 The primary outcome of the immune substudy was the change in ex vivo tumor necrosis factor α (TNFα) production capacity on POD1 upon whole blood endotoxin stimulation. Secondary (explorative) outcomes were change in ex vivo production capacity of interleukin (IL)-6, IL-1β, and IL-10, plasma DAMPS (HSP70, HMGB1, nDNA, and mtDNA), plasma cytokines (TNFα, IL-10, and IL-6) and local peritoneal tissue hypoxia and inflammation markers [hypoxia-inducible factor 1α (HIF1α), vascular endothelial growth factor (VEGF), TNFα, IL-6, and IL-1β]. For the endotoxin stimulation, 0.5 mL of lithium heparin anticoagulated whole blood was added to preprepared tubes with 2 mL culture medium (negative control) and 2 mL culture medium supplemented with 12.5 ng/mL Escherichia coli lipopolysaccharide (serotype O55:B5 Sigma Aldrich, St Louis, MO) in a biosafety cabinet, resulting in a final concentration of 10 ng/mL. Tubes were prepared in one batch, stored at −80°C, and thawed shortly before use. After adding the blood, the tubes were cultured at 37°C for 24 hours, then centrifuged for 5 minutes at 1500 rpm and the supernatants were stored at −80°C until analysis. Supernatant cytokine levels were measured by enzyme-linked immunosorbent assay (R&D Systems, Minneapolis, MN) according to the manufacturer’s instructions. Plasma DAMP concentrations were determined from doubly centrifuged EDTA anticoagulated blood. DNA was isolated with the QIAamp DNA Blood Midi Kit (Qiagen, Valencia, CA) and levels of nDNA and mtDNA were determined by quantitative polymerase chain reaction (PCR) on a CFX96 Real-Time PCR Detection System (Bio-Rad Laboratories, Hercules, CA) and expressed as fold change relative to preoperative values of the same patient using the formula: 2ΔCt. Concentrations of HSP70 (R&D Systems) and HMGB1 (IBL International GmbH, Hamburg, Germany) were measured batchwise by ELISA according to the manufacturer’s instructions. Plasma concentrations of TNFα, IL-10, and IL-6 were determined batchwise using a simultaneous Luminex assay (Milliplex; Millipore, Billerica, MA) according to the manufacturer’s instructions. For the first 20 substudy patients, peritoneal biopsies (0.5–1 by 0.5–1 cm) were taken right after abdominal insufflation and at the end of surgery. Biopsies were collected in RNAlater tissue protect tubes (Qiagen, Germantown, MD) and stored at −80°C until analysis. mRNA was extracted with the Qiagen RNA extraction kit, and HIF1α, VEGF, TNFα, IL-1β, and IL-6 levels were determined by quantitative PCR. In patients enrolled in the substudy, blood was drawn by venipuncture before surgery, at the end of the surgery, on POD1 and POD3 when still admitted at that time. Whole blood ex vivo cytokine production capacity upon endotoxin stimulation, plasma DAMP levels, and plasma cytokine concentrations were quantified as previously described, for detailed methodology we refer to these publications.8,9 The primary outcome of the immune substudy was the change in ex vivo tumor necrosis factor α (TNFα) production capacity on POD1 upon whole blood endotoxin stimulation. Secondary (explorative) outcomes were change in ex vivo production capacity of interleukin (IL)-6, IL-1β, and IL-10, plasma DAMPS (HSP70, HMGB1, nDNA, and mtDNA), plasma cytokines (TNFα, IL-10, and IL-6) and local peritoneal tissue hypoxia and inflammation markers [hypoxia-inducible factor 1α (HIF1α), vascular endothelial growth factor (VEGF), TNFα, IL-6, and IL-1β]. For the endotoxin stimulation, 0.5 mL of lithium heparin anticoagulated whole blood was added to preprepared tubes with 2 mL culture medium (negative control) and 2 mL culture medium supplemented with 12.5 ng/mL Escherichia coli lipopolysaccharide (serotype O55:B5 Sigma Aldrich, St Louis, MO) in a biosafety cabinet, resulting in a final concentration of 10 ng/mL. Tubes were prepared in one batch, stored at −80°C, and thawed shortly before use. After adding the blood, the tubes were cultured at 37°C for 24 hours, then centrifuged for 5 minutes at 1500 rpm and the supernatants were stored at −80°C until analysis. Supernatant cytokine levels were measured by enzyme-linked immunosorbent assay (R&D Systems, Minneapolis, MN) according to the manufacturer’s instructions. Plasma DAMP concentrations were determined from doubly centrifuged EDTA anticoagulated blood. DNA was isolated with the QIAamp DNA Blood Midi Kit (Qiagen, Valencia, CA) and levels of nDNA and mtDNA were determined by quantitative polymerase chain reaction (PCR) on a CFX96 Real-Time PCR Detection System (Bio-Rad Laboratories, Hercules, CA) and expressed as fold change relative to preoperative values of the same patient using the formula: 2ΔCt. Concentrations of HSP70 (R&D Systems) and HMGB1 (IBL International GmbH, Hamburg, Germany) were measured batchwise by ELISA according to the manufacturer’s instructions. Plasma concentrations of TNFα, IL-10, and IL-6 were determined batchwise using a simultaneous Luminex assay (Milliplex; Millipore, Billerica, MA) according to the manufacturer’s instructions. For the first 20 substudy patients, peritoneal biopsies (0.5–1 by 0.5–1 cm) were taken right after abdominal insufflation and at the end of surgery. Biopsies were collected in RNAlater tissue protect tubes (Qiagen, Germantown, MD) and stored at −80°C until analysis. mRNA was extracted with the Qiagen RNA extraction kit, and HIF1α, VEGF, TNFα, IL-1β, and IL-6 levels were determined by quantitative PCR. Statistical Analysis To achieve 80% power to detect a mean clinically important difference of 6.319 on the QoR-40 score (SD=15,17 range: 40–200) with an α of 5%, a sample size of 89 per group (178 total) was required. The published protocol describes 204 participants because of an estimated 15% conversion rate to open surgery. As the actual conversion rate was much lower, patients were enrolled until both groups reached 89 participants for the final analysis. A sample size of 48 patients per group was needed to provide 90% power to detect a 150 pg/mL difference in TNFα release from baseline to POD1 upon endotoxin stimulation (α of 5%) with an estimated SD of 225 pg/mL.11 All statistical analyses were performed using Statistical Package for the Social Sciences (IBM SPSS Statistics version 27; IBM Corp., Armonk, NY). Continuous data were presented as mean±SD and categorical data were presented as a number with a percentage. We did not perform data imputation for missing data. For the primary outcome analysis, analysis of covariance was used to compare the QoR-40 score on POD1 between LPP and SPP, controlled for covariates age, sex, body mass index, and American Society of Anesthesiology classification. For secondary outcome variables, a Student t test was used to compare normally distributed continuous variables and the χ2 test for categorical variables. A P value <0.05 was considered statistically significant. For the correlation matrix, Pearson r was calculated for continuous variables that were normally distributed, Spearman ρ for skewed variables. To achieve 80% power to detect a mean clinically important difference of 6.319 on the QoR-40 score (SD=15,17 range: 40–200) with an α of 5%, a sample size of 89 per group (178 total) was required. The published protocol describes 204 participants because of an estimated 15% conversion rate to open surgery. As the actual conversion rate was much lower, patients were enrolled until both groups reached 89 participants for the final analysis. A sample size of 48 patients per group was needed to provide 90% power to detect a 150 pg/mL difference in TNFα release from baseline to POD1 upon endotoxin stimulation (α of 5%) with an estimated SD of 225 pg/mL.11 All statistical analyses were performed using Statistical Package for the Social Sciences (IBM SPSS Statistics version 27; IBM Corp., Armonk, NY). Continuous data were presented as mean±SD and categorical data were presented as a number with a percentage. We did not perform data imputation for missing data. For the primary outcome analysis, analysis of covariance was used to compare the QoR-40 score on POD1 between LPP and SPP, controlled for covariates age, sex, body mass index, and American Society of Anesthesiology classification. For secondary outcome variables, a Student t test was used to compare normally distributed continuous variables and the χ2 test for categorical variables. A P value <0.05 was considered statistically significant. For the correlation matrix, Pearson r was calculated for continuous variables that were normally distributed, Spearman ρ for skewed variables. Treatment and Clinical Outcomes: Patients were randomized in a 1:1 fashion to LPP (8 mm Hg) with deep NMB defined as a posttetanic count (PTC) of 1–2, or SPP (12 mm Hg) with moderate NMB defined as a train-of-four count of 1–2. Randomization was stratified for center and robot assistance. The surgeon was blinded to the study arm and level of IAP and rated the quality of the surgical field on the Leiden Surgical Rating Scale (L-SRS) every 15 minutes. In case of inadequate surgical conditions (L-SRS ≤3 of 5 at any time during the surgery), IAP was increased with 2 to 10 mm Hg and a maximum of 12 mm Hg for LPP or 14 mm Hg and a maximum of 16 mm Hg for SPP. The primary outcome was the patient-reported quality of recovery on a postoperative day (POD), measured with the Dutch version of the validated Quality of Recovery 40 (QoR-40) questionnaire.13 Adherence to 29 preoperative, intraoperative, and postoperative key elements of the ERAS Society guideline was scored for all patients.1,14 Secondary outcome measures were quality of the surgical field (mean L-SRS score), blood loss, intraoperative complications classified by the ClassIntra classification,15 pain, nausea, use of analgesics and antiemetics, QoR-40 on POD3 and POD7, length of hospital stay, time to reach discharge criteria, 30-day postoperative complications classified by the Clavien-Dindo16 classification, health-related quality of life (HRQOL) 3 months after surgery measured by the Dutch version of the Research and Development-36 (RAND-36)17 questionnaire and chronic pain measured with the Dutch version of the McGill Pain Questionnaire (MPQ)18 3 months after surgery. Except for the anesthesiologist (who only assessed peroperative anesthesiologic complications) all outcome assessors were blinded to the study arm. RECOVER PLUS: In patients enrolled in the substudy, blood was drawn by venipuncture before surgery, at the end of the surgery, on POD1 and POD3 when still admitted at that time. Whole blood ex vivo cytokine production capacity upon endotoxin stimulation, plasma DAMP levels, and plasma cytokine concentrations were quantified as previously described, for detailed methodology we refer to these publications.8,9 The primary outcome of the immune substudy was the change in ex vivo tumor necrosis factor α (TNFα) production capacity on POD1 upon whole blood endotoxin stimulation. Secondary (explorative) outcomes were change in ex vivo production capacity of interleukin (IL)-6, IL-1β, and IL-10, plasma DAMPS (HSP70, HMGB1, nDNA, and mtDNA), plasma cytokines (TNFα, IL-10, and IL-6) and local peritoneal tissue hypoxia and inflammation markers [hypoxia-inducible factor 1α (HIF1α), vascular endothelial growth factor (VEGF), TNFα, IL-6, and IL-1β]. For the endotoxin stimulation, 0.5 mL of lithium heparin anticoagulated whole blood was added to preprepared tubes with 2 mL culture medium (negative control) and 2 mL culture medium supplemented with 12.5 ng/mL Escherichia coli lipopolysaccharide (serotype O55:B5 Sigma Aldrich, St Louis, MO) in a biosafety cabinet, resulting in a final concentration of 10 ng/mL. Tubes were prepared in one batch, stored at −80°C, and thawed shortly before use. After adding the blood, the tubes were cultured at 37°C for 24 hours, then centrifuged for 5 minutes at 1500 rpm and the supernatants were stored at −80°C until analysis. Supernatant cytokine levels were measured by enzyme-linked immunosorbent assay (R&D Systems, Minneapolis, MN) according to the manufacturer’s instructions. Plasma DAMP concentrations were determined from doubly centrifuged EDTA anticoagulated blood. DNA was isolated with the QIAamp DNA Blood Midi Kit (Qiagen, Valencia, CA) and levels of nDNA and mtDNA were determined by quantitative polymerase chain reaction (PCR) on a CFX96 Real-Time PCR Detection System (Bio-Rad Laboratories, Hercules, CA) and expressed as fold change relative to preoperative values of the same patient using the formula: 2ΔCt. Concentrations of HSP70 (R&D Systems) and HMGB1 (IBL International GmbH, Hamburg, Germany) were measured batchwise by ELISA according to the manufacturer’s instructions. Plasma concentrations of TNFα, IL-10, and IL-6 were determined batchwise using a simultaneous Luminex assay (Milliplex; Millipore, Billerica, MA) according to the manufacturer’s instructions. For the first 20 substudy patients, peritoneal biopsies (0.5–1 by 0.5–1 cm) were taken right after abdominal insufflation and at the end of surgery. Biopsies were collected in RNAlater tissue protect tubes (Qiagen, Germantown, MD) and stored at −80°C until analysis. mRNA was extracted with the Qiagen RNA extraction kit, and HIF1α, VEGF, TNFα, IL-1β, and IL-6 levels were determined by quantitative PCR. Statistical Analysis: To achieve 80% power to detect a mean clinically important difference of 6.319 on the QoR-40 score (SD=15,17 range: 40–200) with an α of 5%, a sample size of 89 per group (178 total) was required. The published protocol describes 204 participants because of an estimated 15% conversion rate to open surgery. As the actual conversion rate was much lower, patients were enrolled until both groups reached 89 participants for the final analysis. A sample size of 48 patients per group was needed to provide 90% power to detect a 150 pg/mL difference in TNFα release from baseline to POD1 upon endotoxin stimulation (α of 5%) with an estimated SD of 225 pg/mL.11 All statistical analyses were performed using Statistical Package for the Social Sciences (IBM SPSS Statistics version 27; IBM Corp., Armonk, NY). Continuous data were presented as mean±SD and categorical data were presented as a number with a percentage. We did not perform data imputation for missing data. For the primary outcome analysis, analysis of covariance was used to compare the QoR-40 score on POD1 between LPP and SPP, controlled for covariates age, sex, body mass index, and American Society of Anesthesiology classification. For secondary outcome variables, a Student t test was used to compare normally distributed continuous variables and the χ2 test for categorical variables. A P value <0.05 was considered statistically significant. For the correlation matrix, Pearson r was calculated for continuous variables that were normally distributed, Spearman ρ for skewed variables. RESULTS: A CONSORT flowchart of screening and treatment allocation is shown in Figure 1, 185 patients were randomized, 7 patients were excluded because laparoscopy was infeasible (n=6, 3.2%) or no colonic resection was performed (n=1, 0.5%), 178 patients were included in the final analysis. For all excluded cases, the unfeasibility of laparoscopy was due to patient or tumor characteristics unrelated to IAP or NMB. Baseline characteristics were similar between groups as listed in Table 1. CONSORT flowchart. Baseline Characteristics Presented values are absolute n (%) or mean±SD. ASA indicates American Society of Anesthesiologists classification; BMI, body mass index; CWZ, Canisius Wilhelmina Hospital; MMC, Maxima Medical Centre; PME, partial mesorectal excision; TME, total mesorectal excision. Primary Outcome The mean quality of recovery, QoR-40, on POD1 was significantly better for LPP and deep NMB (mean: 167) compared with SPP and moderate NMB (mean: 159) [mean difference (MD): 8.3; 95% confidence interval (CI): 2.5, 14.1; P=0.005]. The covariates age and sex were significantly related to QoR-40 on POD1 (F 1,169=5.91, P=0.016 and F 1,169=4.30, P=0.040, respectively), whereas body mass index and American Society of Anesthesiology classification were not. The effect of low pressure on QoR-40 remained statistically significant after controlling for these covariates (F 1,169=7.92, P=0.005). Baseline mean QoR-40 was 184 for LPP versus 186 for SPP (MD: 1.8; 95% CI: −6.2, 2.6; P=0.420). Figure 2A shows the total QoR-40 scores by intention-to-treat analysis (n=89 in both groups), Figure 2B shows the separate domains and illustrates benefits in pain, comfort, and physical independence. A significant difference on POD1 was also seen on the QoR-15 (range: 0−150) with a mean of 112 for LPP versus 106 for SPP (MD: 6.5; 95% CI: 1.2–11.8; P=0.016). QoR-40 overall and per domain. Total QoR-40 score analyzed by intention to treat (n=89 in both groups) (A) with separate domains and QoR-15 in (B). The mean quality of recovery, QoR-40, on POD1 was significantly better for LPP and deep NMB (mean: 167) compared with SPP and moderate NMB (mean: 159) [mean difference (MD): 8.3; 95% confidence interval (CI): 2.5, 14.1; P=0.005]. The covariates age and sex were significantly related to QoR-40 on POD1 (F 1,169=5.91, P=0.016 and F 1,169=4.30, P=0.040, respectively), whereas body mass index and American Society of Anesthesiology classification were not. The effect of low pressure on QoR-40 remained statistically significant after controlling for these covariates (F 1,169=7.92, P=0.005). Baseline mean QoR-40 was 184 for LPP versus 186 for SPP (MD: 1.8; 95% CI: −6.2, 2.6; P=0.420). Figure 2A shows the total QoR-40 scores by intention-to-treat analysis (n=89 in both groups), Figure 2B shows the separate domains and illustrates benefits in pain, comfort, and physical independence. A significant difference on POD1 was also seen on the QoR-15 (range: 0−150) with a mean of 112 for LPP versus 106 for SPP (MD: 6.5; 95% CI: 1.2–11.8; P=0.016). QoR-40 overall and per domain. Total QoR-40 score analyzed by intention to treat (n=89 in both groups) (A) with separate domains and QoR-15 in (B). Secondary Outcomes Intraoperative and Postoperative Clinical Outcomes Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4]. Intraoperative Outcomes Presented values are absolute n (%) or mean±SD. All ClassIntra grade II (grade I was not recorded, grade III or higher did not occur). TOF indicates train-of-four. Postoperative Outcomes The statistically significant P-values are in bold. Presented values are absolute n (%) or mean±SD. Postoperative Complications The statistically significant P-values are in bold. GI indicates gastrointestinal. Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4]. Intraoperative Outcomes Presented values are absolute n (%) or mean±SD. All ClassIntra grade II (grade I was not recorded, grade III or higher did not occur). TOF indicates train-of-four. Postoperative Outcomes The statistically significant P-values are in bold. Presented values are absolute n (%) or mean±SD. Postoperative Complications The statistically significant P-values are in bold. GI indicates gastrointestinal. Immune Outcomes, Surgical Injury, and Pain Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046). A, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative. The correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β). Heatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room. Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046). A, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative. The correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β). Heatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room. Late Recovery The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r 145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r 145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r 145=−0.35, P<0.001), MPQ PRI-T (r 145=−0.36, P<0.001) and RAND-36 (r 145=0.310, P<0.001) at 3 months after surgery. The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r 145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r 145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r 145=−0.35, P<0.001), MPQ PRI-T (r 145=−0.36, P<0.001) and RAND-36 (r 145=0.310, P<0.001) at 3 months after surgery. Intraoperative and Postoperative Clinical Outcomes Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4]. Intraoperative Outcomes Presented values are absolute n (%) or mean±SD. All ClassIntra grade II (grade I was not recorded, grade III or higher did not occur). TOF indicates train-of-four. Postoperative Outcomes The statistically significant P-values are in bold. Presented values are absolute n (%) or mean±SD. Postoperative Complications The statistically significant P-values are in bold. GI indicates gastrointestinal. Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4]. Intraoperative Outcomes Presented values are absolute n (%) or mean±SD. All ClassIntra grade II (grade I was not recorded, grade III or higher did not occur). TOF indicates train-of-four. Postoperative Outcomes The statistically significant P-values are in bold. Presented values are absolute n (%) or mean±SD. Postoperative Complications The statistically significant P-values are in bold. GI indicates gastrointestinal. Immune Outcomes, Surgical Injury, and Pain Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046). A, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative. The correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β). Heatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room. Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046). A, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative. The correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β). Heatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room. Late Recovery The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r 145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r 145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r 145=−0.35, P<0.001), MPQ PRI-T (r 145=−0.36, P<0.001) and RAND-36 (r 145=0.310, P<0.001) at 3 months after surgery. The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r 145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r 145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r 145=−0.35, P<0.001), MPQ PRI-T (r 145=−0.36, P<0.001) and RAND-36 (r 145=0.310, P<0.001) at 3 months after surgery. Primary Outcome: The mean quality of recovery, QoR-40, on POD1 was significantly better for LPP and deep NMB (mean: 167) compared with SPP and moderate NMB (mean: 159) [mean difference (MD): 8.3; 95% confidence interval (CI): 2.5, 14.1; P=0.005]. The covariates age and sex were significantly related to QoR-40 on POD1 (F 1,169=5.91, P=0.016 and F 1,169=4.30, P=0.040, respectively), whereas body mass index and American Society of Anesthesiology classification were not. The effect of low pressure on QoR-40 remained statistically significant after controlling for these covariates (F 1,169=7.92, P=0.005). Baseline mean QoR-40 was 184 for LPP versus 186 for SPP (MD: 1.8; 95% CI: −6.2, 2.6; P=0.420). Figure 2A shows the total QoR-40 scores by intention-to-treat analysis (n=89 in both groups), Figure 2B shows the separate domains and illustrates benefits in pain, comfort, and physical independence. A significant difference on POD1 was also seen on the QoR-15 (range: 0−150) with a mean of 112 for LPP versus 106 for SPP (MD: 6.5; 95% CI: 1.2–11.8; P=0.016). QoR-40 overall and per domain. Total QoR-40 score analyzed by intention to treat (n=89 in both groups) (A) with separate domains and QoR-15 in (B). Secondary Outcomes: Intraoperative and Postoperative Clinical Outcomes Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4]. Intraoperative Outcomes Presented values are absolute n (%) or mean±SD. All ClassIntra grade II (grade I was not recorded, grade III or higher did not occur). TOF indicates train-of-four. Postoperative Outcomes The statistically significant P-values are in bold. Presented values are absolute n (%) or mean±SD. Postoperative Complications The statistically significant P-values are in bold. GI indicates gastrointestinal. Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4]. Intraoperative Outcomes Presented values are absolute n (%) or mean±SD. All ClassIntra grade II (grade I was not recorded, grade III or higher did not occur). TOF indicates train-of-four. Postoperative Outcomes The statistically significant P-values are in bold. Presented values are absolute n (%) or mean±SD. Postoperative Complications The statistically significant P-values are in bold. GI indicates gastrointestinal. Immune Outcomes, Surgical Injury, and Pain Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046). A, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative. The correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β). Heatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room. Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046). A, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative. The correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β). Heatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room. Late Recovery The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r 145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r 145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r 145=−0.35, P<0.001), MPQ PRI-T (r 145=−0.36, P<0.001) and RAND-36 (r 145=0.310, P<0.001) at 3 months after surgery. The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r 145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r 145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r 145=−0.35, P<0.001), MPQ PRI-T (r 145=−0.36, P<0.001) and RAND-36 (r 145=0.310, P<0.001) at 3 months after surgery. Intraoperative and Postoperative Clinical Outcomes: Intraoperative outcomes are presented in Table 2. Mean IAP for patients randomized to LPP was 8.7 mm Hg, compared with 12.4 mm Hg at SPP. Requested increases in IAP were generally at the beginning of surgery, 74% within the first 15 minutes. No statistically significant differences were found between groups for the duration of surgery, quality of the surgical field, intraoperative complications, or blood loss. There were no statistically significant differences in mean propofol (8.7±1.9 mg/kg/h), remifentanil (11.7±4.2 mcg/kg/h), lidocaine (1.8±0.6 mg/kg/h), esketamine (0.22±.08 mg/kg), morphine (0.1±0.03 mg/kg), or vasopressor dose in norepinephrine equivalents20 (0.0043±.01 μg/kg/min). Table 3 illustrates significantly lower postoperative pain scores and nausea for LPP. Last, patients in the LPP group developed significantly less infectious complications compared with patients in the SPP group [n=6 (7%) vs n=15 (17%), odds ratio=2.8; 95% CI: 1.03, 7.6; P=0.037, Table 4]. Intraoperative Outcomes Presented values are absolute n (%) or mean±SD. All ClassIntra grade II (grade I was not recorded, grade III or higher did not occur). TOF indicates train-of-four. Postoperative Outcomes The statistically significant P-values are in bold. Presented values are absolute n (%) or mean±SD. Postoperative Complications The statistically significant P-values are in bold. GI indicates gastrointestinal. Immune Outcomes, Surgical Injury, and Pain: Ex vivo production capacity of TNFα and IL-6 was strongly decreased on POD1 and POD3 compared with the preoperative state (Fig. 3A; from 468±427 to 198±197 to 231±254 pg/mL for TNFα and from 6009±4415 to 3865±3624 to 3614±3022 for IL-6). This is also seen for IL-1β (from 2091±1453 pg/mL before surgery to 882±767 pg/mL on POD1 and 719±587 pg/mL on POD3) and IL-10 production (from 151±261 to 104±183 to 88±163 pg/mL). The decrease in production capacity from preoperative to POD1 is significantly smaller at LPP compared with SPP for TNFα (193±249 pg/mL for LPP vs 364±477 pg/mL for SPP, MD: 172 pg/mL; 95% CI: 27, 316; P=0.021) and IL-6 (1321±2200 pg/mL for LPP vs 2604±3039 pg/mL for SPP, MD: 1282 pg/mL; 95% CI: 59, 2505; P=0.040). Fold change in expression of HIF1α mRNA between the peritoneal biopsies at the beginning and end of surgery (n=19) is 1.9±0.9 for LPP versus 4.3±3.2 at SPP (MD: 2.3; 95% CI: .04, 4.7; P=0.05). Serum levels of HSP70 at the end of surgery are significantly higher at standard pressure (6247±4000 pg/mL) than low pressure (5113±1422 pg/mL) (MD: −1134 pg/mL; 95% CI: 255, 2523; P=0.043). Patients who developed infectious complications had a significantly lower ex vivo production capacity of TNFα on POD1 (86±33 pg/mL vs 197±167 pg/mL, MD: 111 pg/mL; 95% CI: 25, 197; P<0.001) and TNFα, IL-6, and IL-1β on POD3 (101±51 vs 265±281 pg/mL, MD: 165 pg/mL; 95% CI: 73, 256; P<0.001 for TNFα, 2211±1410 vs 3968±3078 pg/mL, MD: 1757 pg/mL; 95% CI: 518, 2997; P=0.006 for IL-6, and 468±292 vs 806±654 pg/mL, MD: 338 pg/mL; 95% CI: 73, 603; P=0.014 for IL-1β) in comparison to patients without complications (Fig. 3B). In addition, patients with a PACU pain score (NRS) of ≥5 had a significantly lower ex vivo production capacity of TNFα (170±191 vs 396±327 pg/mL, MD: 227 pg/mL; 95% CI: 57, 396; P=0.011) and IL-6 (2941±2592 vs 5445±3410 pg/mL, MD: 2503 pg/mL; 95% CI: 679, 4327; P=0.009) on POD3 compared with patients with a PACU pain score of 0 to 4. This difference is also present when only considering the patients without complications (196±211 vs 439±361 pg/mL, MD: 243 pg/mL; 95% CI: 62−423; P=0.046 for TNFα and 3270±2698 vs 5713±3385 pg/mL, MD: 2443 pg/mL; 95% CI: 439, 4448; P=0.018 for IL-6). Patients who developed an infectious complication (n=21) reported significantly higher pain scores in rest at the PACU than patients without complications (n=125) (6.2±2.4 vs 5.0±2.6, MD: 1.2; 95% CI: 0.02, 2.4; P=0.046). A, Ex vivo cytokine production capacity upon whole blood endotoxin stimulation and the effects of LPP for LPP and SPP (intention to treat, n=50 vs n=49) and 8 and 10 to 16 mm Hg (per-protocol, n=35 vs n=64). B, Ex vivo cytokine production (TNFα, IL-6, and IL-1β) for patients with no complications (n=73), infectious complications (n=15), and other complications (n=12). Data are represented as mean±SEM. Preop indicates preoperative. The correlation matrix in Figure 4 displays the statistically significant correlations (red for positive-, blue for negative correlations) between tissue hypoxia and inflammation markers, serum DAMPs, serum cytokines, ex vivo cytokine production capacity, pain, and duration of surgery. Surgical site markers of hypoxia and inflammation correlate with serum DAMPs (HMGB1, HSP70, and nDNA) and serum cytokines (IL-6 and IL-10). The proinflammatory serum cytokines (TNFα and IL-6) inversely correlate with ex vivo proinflammatory cytokine production capacity (TNFα and IL-6), but positively correlate with ex vivo IL-10 production capacity. Pain scores at the PACU show a negative correlation with ex vivo proinflammatory cytokine production capacity (TNFα, IL-6, and IL-1β). Heatmap of statistically significant correlation coefficients (red for positive correlation, blue for negative correlation) between peritoneal biopsy markers (mRNA level), serum DAMPs, serum cytokines, ex vivo cytokine production capacity, postoperative pain, and duration of surgery. OR indicates operating room. Late Recovery: The questionnaire response rate at 3 months was 83% (148/178). HRQOL quantified with the RAND-36 score 3 months after surgery increased with 3.9±12.4 (scale 0–100) compared with before surgery for LPP, compared with 0.1±10.6 for SPP (P=0.047). Quantified with the MPQ, the mean total number of words chosen (MPQ NWC-T) decreases with 0.03±3.7 for SPP versus 1.29±3.1 for LPP (MD: 1.26; 95% CI: 0.15, 2.4; P=0.026) from before until 3 months after surgery. The mean total Pain Rating Index (MPQ PRI-T) decreases with −0.01±6.8 for SPP versus 2.31±4.6 for LPP (MD: −2.3; 95% CI: 0.4, 4.2; P=0.019) from before until 3 months after surgery (Table 3). RAND-36 score 3 months after surgery shows a moderate negative correlation with the MPQ NWC-T 3 months after surgery (r 145=−0.46, P<0.001, and with the MPQ PRI-T at 3 months after surgery (r 145=−0.43, P<0.001). QoR-40 on POD1 correlates with MPQ NWC-T (r 145=−0.35, P<0.001), MPQ PRI-T (r 145=−0.36, P<0.001) and RAND-36 (r 145=0.310, P<0.001) at 3 months after surgery. DISCUSSION: Our RECOVER trial showed a clear advantage for LPP and deep NMB over SPP and moderate NMB regarding the primary outcome patient-reported quality of recovery (QoR-40) and innate cytokine production capacity from baseline to POD1 after laparoscopic colorectal surgery following the ERAS program. Moreover, patients in the LPP group had lower postoperative pain scores and developed less infectious complications in the first 30 days after surgery. Our results confirm and add evidence to the previously reported benefits for LPP in colorectal laparoscopic surgery regarding quality of recovery,21 pain,5,6 and opioid consumption.5 We used the StEP-COMPAC22 recommended QoR-40 and found a benefit not on just one domain but for comfort, physical independence, and pain. In contrast to the PAROS trial (median of 4 vs 3 days), no decreased length of stay was observed.6 However, the median length of stay in our study was only 3 days in both groups. Patients operated at LPP showed lower surgical site hypoxia and inflammation markers and circulating DAMPs, with a less impaired early postoperative ex vivo cytokine production capacity. Leijte et al10 demonstrated an association between tissue injury, the release of DAMPs, immune suppression, and infectious complications in patients undergoing cytoreductive surgery with hyperthermic intraperitoneal chemotherapy. Our study reveals a similar association in surgical procedures without immune suppression resulting from intraoperative chemotherapy. Furthermore, we demonstrate that decreasing surgical tissue damage can directly abate immune suppression and postoperative infections. The correlation matrix provides a first illustration of the factors presumably involved in the complex interplay between surgical injury and the innate immune response. Starting at the tissue level (parietal peritoneum), we measure an increase in hypoxia (HIF-1α and VEGF) and inflammatory markers (TNFα, IL-1β, and IL-6) at mRNA level between the biopsies at the beginning and end of laparoscopy. Hypoxia-inducible factors are transcription factors that, under normal physiological conditions, are degraded by propyl hydroxylases that require oxygen as a cofactor (reviewed in the study by Yuan et al23). In the case of hypoxia, HIF-1α is not degraded but stabilized and migrates into the nucleus to regulate the transcription of genes controlling metabolism, inflammation, apoptosis, and angiogenesis.22 As hypothesized, the increase in HIF-1α mRNA in peritoneal biopsies is more than twice as high for SPP at the end of the surgery, implicating a higher level of hypoxia-reperfusion injury. HIF-1α in turn regulates the expression of VEGF.24 These local tissue markers and tissue cytokines correlate with serum DAMPs (HMGB1 and nDNA) and serum cytokines (IL-6 and IL-10), indicating the spread of tissue damage molecules into the circulation followed by a systemic innate immune response. DAMPs are known to bind to toll-like receptors and induce proinflammatory cytokines.25 Surgical injury-induced inflammation is normally followed by a protective compensatory postoperative anti-inflammatory phenotype, where more extensive injury may even induce immune paralysis.26 This mechanism is directly illustrated by the correlation of proinflammatory serum cytokines TNFα and IL-6 with ex vivo production capacity of the anti-inflammatory IL-10 and the inverse correlation with ex vivo production capacity of TNFα, IL-6, and IL-1β. Ex vivo cytokine production capacity upon endotoxin stimulation is a dynamic and relevant measure as it represents the ability of the innate immune cells to respond when challenged by a pathogen. We show that LPP leads to less tissue hypoxia, lower circulating tissue damage markers (HSP70) resulting in a less impaired postoperative innate cytokine production capacity. Patients undergoing colorectal surgery are eminently at risk for infections due to the combination of a by default contaminated surgical area, underlying diagnoses and exposure to many factors that impair wound healing.27 Decreasing tissue injury and maintaining immune homeostasis in the RECOVER study resulted in a 10% reduction in postoperative infections. In addition, we again confirm the previously described strong association between early postoperative pain and infectious complications.28,29 It seems compelling that surgical injury and DAMPs are the predominant common precursors for pain and immune modulation. Conjointly, surgical injury may cause pain and the resulting stress response may influence immune homeostasis. It is well established that the innate immune response plays a crucial role in antitumor activity to prevent tumor progression and metastases,30,31 which adds to the importance of preventing immune suppression in this population. To our knowledge, only 1 observational study previously demonstrated that increased plasma levels of DAMPs are associated with a decreased ex vivo production capacity and infectious complications after hyperthermic intraperitoneal chemotherapy surgery,8 but this study did not have sufficient power to detect a correlation between ex vivo cytokine production capacity upon endotoxin stimulation and infectious complications. Our study established this correlation and is also the first to demonstrate that a specific intervention that decreases surgical tissue injury and circulating DAMPs (HSP70), lowering IAP, results in the preservation of innate immune homeostasis and less infectious complications after surgery. Major prerequisites of adapting a surgical technique are safety and feasibility. Our finding that surgery could safely be completed at LPP in 75% of patients with the same duration of surgery is consistent with a reported 75% to 83% reported in previous trials.4,5 IPP-ColLapSe II even reports less intraoperative events for low IAP laparoscopy. Deep NMB is an important facilitator for low IAP applied in all these trials, as with LPP facilitated by moderate NMB more intraoperative events have been reported.32 Maintaining deep NMB throughout surgery might be a challenge in clinical practice, as adequate titration of rocuronium to reach the small range of PTC 1 to 2 requires continuous quantitative neuromuscular monitoring and dosage adjustments. Second, many anesthesiologists associate deep NMB with an increased risk of postoperative pulmonary complications. However, this often is the result of inadequate neuromuscular monitoring and reversal of NMB (reviewed in the study by Nemes et al33). In one of the most prominent recent trials on this topic, the POPULAR trial,34 only 16.5% of 17,150 patients were monitored and extubated according to the international consensus guideline.35 Therefore, when using neuromuscular blocking agents close monitoring is mandatory. As mentioned in the introduction, studies investigating only the effects of deep NMB find little to no effect on postoperative pain and quality of recovery on POD1, indicating the reported clinical benefits can predominantly be attributed to low pressure.7,8,36 The additional value of our trial consists not only of new insights into the relationship between perioperative innate immune function and clinical outcomes but also provides the first data on long(er)-term effects of surgical injury and immune homeostasis on chronic pain and HRQOL 3 months after surgery. As previously shown for laparoscopic donor nephrectomy,37 the relationship between acute pain, chronic pain, and long-term HRQOL is also present for laparoscopic colorectal surgery. Nonetheless, while statistically significant, the clinical relevance of the difference for MPQ number of words chosen and pain rating index can be questioned. A major strength of our study was the accuracy of the intervention. For deep NMB, the target PTC of 1 to 2 was reached for 73% of all 5-minute measurements. Moreover, we prospectively collected all ERAS criteria and both groups showed the same high percentage of adherence. A possible limitation of using the total QoR-40 as the primary outcome is that the domains support and emotions appear uninfluenced by IAP and NMB. Still, the emotional state of the patient (eg, feeling anxious or sad) may very well be influenced by or represent the postoperative physical hindrances like pain and nausea, and therefore be reflected in both domains. In our study, there was no statistically significant difference in perceived support or emotions between the groups. Other limitations of the study were that the individual length of hospital stay may have led to bias, if patients were discharged before the third POD, the POD3 blood samples and pain scores were missing. This was not the case for the questionnaires, as they were taken home and returned by regular post. Missing data due to loss to follow-up may have affected the late recovery outcomes after 3 months, however, given the relatively high response rate of 83%, this influence is likely limited. Second, the methodology of the substudy was not included in the prepublished protocol, however, it was preplanned, approved by the medical ethical committee, and concisely published at clinicaltrials.gov. For the substudy, we chose to show the intention-to-treat and per-protocol analysis, as the per-protocol analysis may most closely reflect the underlying scientific model,38 which is primarily of interest to illustrate the relationship between damage from IAP and the ensuing systemic immune response. Granted, a per-protocol analysis may introduce substantial bias and results need to be interpreted with caution. Last, the study experienced a delay due to the coronavirus disease 2019 pandemic, and coronavirus disease 2019 isolation measures may also have affected the quality of life and recovery. Nonetheless, no statistically significant differences were observed between outcomes before and during the pandemic. While safe and attainable, the early and long-term advantages of LPP during colorectal laparoscopic surgery are very compelling and LPP facilitated by deep NMB would be a valuable addition to the intraoperative elements of the future colorectal ERAS program.
Background: There is increasing evidence for the safety and advantages of low-pressure pneumoperitoneum facilitated by deep neuromuscular blockade (NMB). Nonetheless, there is a weak understanding of the relationship between clinical outcomes, surgical injury, postoperative immune dysfunction, and infectious complications. Methods: Randomized controlled trial of 178 patients treated at standard-pressure pneumoperitoneum (12 mm Hg) with moderate NMB (train-of-four 1-2) or low pressure (8 mm Hg) facilitated by deep NMB (posttetanic count 1-2). The primary outcome was the quality of recovery (Quality of Recovery 40 questionnaire) on a postoperative day 1 (POD1). The primary outcome of the immune substudy (n=100) was ex vivo tumor necrosis factor α production capacity upon endotoxin stimulation on POD1. Results: Quality of Recovery 40 score on POD1 was significantly higher at 167 versus 159 [mean difference (MD): 8.3 points; 95% confidence interval (CI): 2.5, 14.1; P =0.005] and the decline in cytokine production capacity was significantly less for tumor necrosis factor α and interleukin-6 (MD: -172 pg/mL; 95% CI: -316, -27; P =0.021 and MD: -1282 pg/mL; 95% CI: -2505, -59; P =0.040, respectively) for patients operated at low pressure. Low pressure was associated with reduced surgical site hypoxia and inflammation markers and circulating damage-associated molecular patterns, with a less impaired early postoperative ex vivo cytokine production capacity. At low pressure, patients reported lower acute pain scores and developed significantly less 30-day infectious complications. Conclusions: Low intra-abdominal pressure during laparoscopic colorectal surgery is safe, improves the postoperative quality of recovery and preserves innate immune homeostasis, and forms a valuable addition to future enhanced recovery after surgery programs.
null
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16,816
360
[ 350, 560, 291, 261, 2970, 306, 933, 236 ]
11
[ "ml", "pg", "pg ml", "il", "surgery", "ci", "95", "95 ci", "md", "lpp" ]
[ "colorectal surgery following", "recovery outcomes", "recover study clinicaltrials", "lpp colorectal laparoscopic", "surgery quality recovery" ]
null
null
null
null
[CONTENT] laparoscopy | laparoscopic surgery | low pressure pneumoperitoneum | intra-abdominal pressure | deep neuromuscular blockade | QoR-40 | DAMPs | innate immunity | postoperative infections [SUMMARY]
[CONTENT] laparoscopy | laparoscopic surgery | low pressure pneumoperitoneum | intra-abdominal pressure | deep neuromuscular blockade | QoR-40 | DAMPs | innate immunity | postoperative infections [SUMMARY]
null
[CONTENT] laparoscopy | laparoscopic surgery | low pressure pneumoperitoneum | intra-abdominal pressure | deep neuromuscular blockade | QoR-40 | DAMPs | innate immunity | postoperative infections [SUMMARY]
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null
[CONTENT] Humans | Homeostasis | Immunity, Innate | Laparoscopy | Pneumoperitoneum, Artificial | Tumor Necrosis Factor-alpha | Digestive System Surgical Procedures [SUMMARY]
[CONTENT] Humans | Homeostasis | Immunity, Innate | Laparoscopy | Pneumoperitoneum, Artificial | Tumor Necrosis Factor-alpha | Digestive System Surgical Procedures [SUMMARY]
null
[CONTENT] Humans | Homeostasis | Immunity, Innate | Laparoscopy | Pneumoperitoneum, Artificial | Tumor Necrosis Factor-alpha | Digestive System Surgical Procedures [SUMMARY]
null
null
[CONTENT] colorectal surgery following | recovery outcomes | recover study clinicaltrials | lpp colorectal laparoscopic | surgery quality recovery [SUMMARY]
[CONTENT] colorectal surgery following | recovery outcomes | recover study clinicaltrials | lpp colorectal laparoscopic | surgery quality recovery [SUMMARY]
null
[CONTENT] colorectal surgery following | recovery outcomes | recover study clinicaltrials | lpp colorectal laparoscopic | surgery quality recovery [SUMMARY]
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null
[CONTENT] ml | pg | pg ml | il | surgery | ci | 95 | 95 ci | md | lpp [SUMMARY]
[CONTENT] ml | pg | pg ml | il | surgery | ci | 95 | 95 ci | md | lpp [SUMMARY]
null
[CONTENT] ml | pg | pg ml | il | surgery | ci | 95 | 95 ci | md | lpp [SUMMARY]
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null
[CONTENT] il | plasma | variables | ml | measured | blood | determined | concentrations | tubes | mm hg [SUMMARY]
[CONTENT] pg ml | pg | ml | il | ci | 95 | 95 ci | vs | md | ml 95 ci [SUMMARY]
null
[CONTENT] ml | pg ml | pg | il | surgery | ci | 95 | 95 ci | md | lpp [SUMMARY]
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[CONTENT] 178 | 12 mm | NMB | 8 mm | NMB | 1-2 ||| a postoperative day 1 ||| POD1 [SUMMARY]
[CONTENT] POD1 | 167 | 159 ||| MD | 8.3 | 95% | CI | 2.5 | 14.1 | 0.005 | MD | 95% | CI | -27 | 0.021 | MD | 95% | CI ||| 0.040 ||| ||| 30-day [SUMMARY]
null
[CONTENT] NMB ||| ||| 178 | 12 mm | NMB | 8 mm | NMB | 1-2 ||| a postoperative day 1 ||| POD1 ||| POD1 | 167 | 159 ||| MD | 8.3 | 95% | CI | 2.5 | 14.1 | 0.005 | MD | 95% | CI | -27 | 0.021 | MD | 95% | CI ||| 0.040 ||| ||| 30-day ||| [SUMMARY]
null
Performance evaluation of STANDARD Q COVID-19 Ag home test for the diagnosis of COVID-19 during early symptom onset.
35441745
Surveillance and control of SARS-CoV-2 outbreak through gold standard detection, that is, real-time polymerase chain reaction (RT-PCR), become a great obstacle, especially in overwhelming outbreaks. In this study, we aimed to analyze the performance of rapid antigen home test (RAHT) as an alternative detection method compared with RT-PCR.
BACKGROUND
In total, 79 COVID-19-positive and 217 COVID-19-negative patients confirmed by RT-PCR were enrolled in this study. A duration from symptom onset to COVID-19 confirmation of <5 days was considered a recruiting criterion for COVID-19-positive cases. A nasal cavity specimen was collected for the RAHT, and a nasopharyngeal swab specimen was collected for RT-PCR.
METHODS
Sensitivity of the STANDARD Q COVID-19 Ag Home Test (SD Biosensor, Korea), compared with RT-PCR, was 94.94% (75/79) (95% [confidence interval] CI, 87.54%-98.60%), and specificity was 100%. Sensitivity was significantly higher in symptomatic patients (98.00%) than in asymptomatic (89.66%) patients (p-value = 0.03). There was no difference in sensitivity according to the duration of symptom onset to confirmation (100% for 0-2 days and 96.97% for 3-5 days, respectively) (p-value = 1.00). The RAHT detected all 51 COVID-19 patients whose Ct values were ≤25 (100%), whereas sensitivity was 73.33% (11/15) among patients with Ct values >25 (p-value = 0.01).
RESULTS
The RAHT showed an excellent sensitivity for COVID-19-confirmed cases, especially for those with symptoms. There was a decrease in sensitivity when the Ct value is over 25, indicating that RAHT screening may be useful during the early phase of symptom onset, when the viral numbers are higher and it is more transmissible.
CONCLUSION
[ "Antigens, Viral", "COVID-19", "COVID-19 Serological Testing", "Humans", "Mass Screening", "SARS-CoV-2", "Sensitivity and Specificity" ]
9110955
INTRODUCTION
Coronavirus disease 2019 (COVID‐19) was first reported in 2019 after a novel coronavirus, severe acute respiratory syndrome coronavirus 2 (SARS‐CoV‐2), was identified. Since its first discovery, SARS‐CoV‐2 has caused serious public health and economic concerns worldwide. The national strategy to combat COVID‐19 is based on rapid detection, isolation, contact tracing, and patient management to prevent the transmission of SARS‐CoV‐2. 1 The detection of SARS‐CoV‐2 is the first step in assessing cases. It is also vital to detect SARS‐CoV‐2 as early as possible since SARS‐CoV‐2 may be coinfected with other microbial pathogens. 2 Infection with SARS‐CoV‐2 may alter the human's microbiota, which further may affect the immune system. 3 Based on a systematic review, 4 a high prevalence of pathogenic microorganism was found among COVID‐19 patients. Thus, a delayed detection of SARS‐CoV‐2 could also result in increased mortality and morbidity due to the possibility of coinfection of SARS‐CoV‐2 and other pathogens. A molecular diagnostic, that is, real‐time polymerase chain reaction (RT‐PCR) that has been widely used as a gold standard of detection depends on the sampling locations, probes of SARS‐CoV‐2 gene sequence that is used as a target for detection and days of symptom onset. 5 Therefore, considering that RT‐PCR is complex, expensive, and slow to deliver, 6 an alternative diagnostic method that is more user‐friendly and cost‐effective, which permits new cases to be isolated immediately, is in high demand. The point‐of‐care (POC) diagnostic platform, which can provide results at the point of care instead of samples being sent to the laboratory, has been widely used and accepted as part of the control strategy for the restriction of COVID‐19. 7 A lateral flow assay such as the antigen test is one of the most popular POC diagnostic platforms that have been widely studied and evidently plays some role in the restriction of COVID‐19 when a molecular diagnosis is difficult to perform. 7 , 8 Antigen tests (immunoassays) detect the presence of a specific viral antigen, mostly nucleocapsid protein, which strongly implies transmissible viral infection. 9 , 10 Antigen tests have a rapid turnaround time, whereby test results can usually be delivered within 5–30 min. 11 Nevertheless, antigen tests for the diagnosis of SARS‐CoV‐2 are generally less sensitive than RT‐PCR. 12 However, RT‐PCR, considered as the gold standard for SARS‐CoV‐2 diagnosis, can cause carryover contamination, requires expensive equipment and well‐trained technicians, and is costly to perform, which are challenges in resource‐poor countries. 13 , 14 In particular, molecular diagnosis takes several hours or a few days to obtain results and hampers the suspected cases’ immediate response. 15 In such situations where COVID‐19 is overwhelming and medical personnel or diagnostic equipment is in short supply, a rapid diagnostic platform such as a rapid antigen home test (RAHT) could be considered a supplemental strategy. Compared with conventional rapid antigen tests, a RAHT does not require personal precaution equipment, medical personnel, or visits to screening centers or hospitals. An RAHT is easy to use and cheaper than RT‐PCR. The RAHT may be used for school, business centers, or large gatherings to ensure safety from COVID‐19 transmission when the virus is widespread. The RAHT would also be helpful for, for example, those with disabilities, those in remote areas, or those in prisons, where medical services are difficult to access. In addition, those RAHT can be used at the point of care or at home. The Centers for Disease Control and Prevention (CDC) and World Health Organization (WHO) announced guidance for the optimal usage of antigen testing for SARS‐CoV‐2, 16 but not for those RAHT. There has been no report on the performance of the RAHT in Korea yet. Therefore, we evaluated the diagnostic performance of the RAHT with a consideration of clinical characteristics, including the presence of symptoms, days after the symptom onset, and the Ct value of the RT‐PCR.
null
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RESULTS
Sensitivity of SD Q home test compared with RT‐PCR The overall sensitivity of the SD Q home test was 94.94% (75/79) (95% CI, 87.54%‐98.60%), with total specificity was 100% compared with the RT‐PCR (217/217), the positive predictive value (PPV) was 100% and the negative predictive value (NPV) was 98.19% (Table 1). Furthermore, we found that the sensitivity of the SD Q home test in the symptomatic patients (98.00%) was significantly higher than in the asymptomatic patients (89.66%) (p‐value = 0.03) (Table 2). Diagnostic performance of the rapid antigen home test Abbreviation: CI, confidence interval. Sensitivity of rapid antigen home test according to the presence of symptoms, days after the symptom onset, and the Ct value of the RT‐PCR Abbreviations: CI, confidence interval; Ct, cycle threshold; RAHT, rapid antigen home test; RT‐PCR, real‐time polymerase chain reaction. Ct value for the RdRp gene in a RT‐PCR assay. The overall sensitivity of the SD Q home test was 94.94% (75/79) (95% CI, 87.54%‐98.60%), with total specificity was 100% compared with the RT‐PCR (217/217), the positive predictive value (PPV) was 100% and the negative predictive value (NPV) was 98.19% (Table 1). Furthermore, we found that the sensitivity of the SD Q home test in the symptomatic patients (98.00%) was significantly higher than in the asymptomatic patients (89.66%) (p‐value = 0.03) (Table 2). Diagnostic performance of the rapid antigen home test Abbreviation: CI, confidence interval. Sensitivity of rapid antigen home test according to the presence of symptoms, days after the symptom onset, and the Ct value of the RT‐PCR Abbreviations: CI, confidence interval; Ct, cycle threshold; RAHT, rapid antigen home test; RT‐PCR, real‐time polymerase chain reaction. Ct value for the RdRp gene in a RT‐PCR assay. Sensitivity of SD Q home test according to the days after symptom onset (DSO) Evaluation on the sensitivity of SD Q home test according to the DSO demonstrated that there is no significant difference in sensitivity between a test conducted at 0–2 days (17/17, 100%) and one conducted at 3–5 days (32/33, 96.97%) after symptom onset (p‐value = 1.00), suggesting that 0–5 DSO is the optimal time to perform an RAHT. Evaluation on the sensitivity of SD Q home test according to the DSO demonstrated that there is no significant difference in sensitivity between a test conducted at 0–2 days (17/17, 100%) and one conducted at 3–5 days (32/33, 96.97%) after symptom onset (p‐value = 1.00), suggesting that 0–5 DSO is the optimal time to perform an RAHT. Sensitivity of SD Q home test according to the Ct value The sensitivity of SD Q home test was evaluated by restricting Ct values of RT‐PCR‐positive diagnosed specimens into three groups, that is ≤20, 20 < Ct ≤25, and 25 < Ct. The sensitivity of the SD Q home test was up to 100% for the specimens obtained from patients where Ct ≤20 (51/51) or 20 < Ct≤25 (13/13). For patients where 25<Ct, the sensitivity of the RAHT declined to 73.33% (11/15) (p‐value = 0.01) (Table 2). The sensitivity of SD Q home test was evaluated by restricting Ct values of RT‐PCR‐positive diagnosed specimens into three groups, that is ≤20, 20 < Ct ≤25, and 25 < Ct. The sensitivity of the SD Q home test was up to 100% for the specimens obtained from patients where Ct ≤20 (51/51) or 20 < Ct≤25 (13/13). For patients where 25<Ct, the sensitivity of the RAHT declined to 73.33% (11/15) (p‐value = 0.01) (Table 2). Correlation between Ct values of symptomatic patients and the DSO In this study, we observed that the Ct values increased as the DSO increased (Figure 1). Nevertheless, correlation analysis between Ct values and DSO by Spearman's correlation test showed a 'marginally significant' correlation (p‐value = 0.07). Relationship between the days after symptom onset and the cycle threshold (Ct) values of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) from symptomatic patients (N = 50) In this study, we observed that the Ct values increased as the DSO increased (Figure 1). Nevertheless, correlation analysis between Ct values and DSO by Spearman's correlation test showed a 'marginally significant' correlation (p‐value = 0.07). Relationship between the days after symptom onset and the cycle threshold (Ct) values of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) from symptomatic patients (N = 50)
null
null
[ "INTRODUCTION", "Subjects", "Specimen collection", "Inclusion and exclusion criteria", "Rapid antigen home test", "Real‐time reverse‐transcription polymerase chain reaction (RT‐PCR)", "Statistical analysis", "Sensitivity of SD Q home test compared with RT‐PCR", "Sensitivity of SD Q home test according to the days after symptom onset (DSO)", "Sensitivity of SD Q home test according to the Ct value", "Correlation between Ct values of symptomatic patients and the DSO", "AUTHOR CONTRIBUTIONS" ]
[ "Coronavirus disease 2019 (COVID‐19) was first reported in 2019 after a novel coronavirus, severe acute respiratory syndrome coronavirus 2 (SARS‐CoV‐2), was identified. Since its first discovery, SARS‐CoV‐2 has caused serious public health and economic concerns worldwide. The national strategy to combat COVID‐19 is based on rapid detection, isolation, contact tracing, and patient management to prevent the transmission of SARS‐CoV‐2.\n1\n The detection of SARS‐CoV‐2 is the first step in assessing cases. It is also vital to detect SARS‐CoV‐2 as early as possible since SARS‐CoV‐2 may be coinfected with other microbial pathogens.\n2\n Infection with SARS‐CoV‐2 may alter the human's microbiota, which further may affect the immune system.\n3\n Based on a systematic review,\n4\n a high prevalence of pathogenic microorganism was found among COVID‐19 patients. Thus, a delayed detection of SARS‐CoV‐2 could also result in increased mortality and morbidity due to the possibility of coinfection of SARS‐CoV‐2 and other pathogens.\nA molecular diagnostic, that is, real‐time polymerase chain reaction (RT‐PCR) that has been widely used as a gold standard of detection depends on the sampling locations, probes of SARS‐CoV‐2 gene sequence that is used as a target for detection and days of symptom onset.\n5\n Therefore, considering that RT‐PCR is complex, expensive, and slow to deliver,\n6\n an alternative diagnostic method that is more user‐friendly and cost‐effective, which permits new cases to be isolated immediately, is in high demand.\nThe point‐of‐care (POC) diagnostic platform, which can provide results at the point of care instead of samples being sent to the laboratory, has been widely used and accepted as part of the control strategy for the restriction of COVID‐19.\n7\n A lateral flow assay such as the antigen test is one of the most popular POC diagnostic platforms that have been widely studied and evidently plays some role in the restriction of COVID‐19 when a molecular diagnosis is difficult to perform.\n7\n, \n8\n Antigen tests (immunoassays) detect the presence of a specific viral antigen, mostly nucleocapsid protein, which strongly implies transmissible viral infection.\n9\n, \n10\n Antigen tests have a rapid turnaround time, whereby test results can usually be delivered within 5–30 min.\n11\n Nevertheless, antigen tests for the diagnosis of SARS‐CoV‐2 are generally less sensitive than RT‐PCR.\n12\n However, RT‐PCR, considered as the gold standard for SARS‐CoV‐2 diagnosis, can cause carryover contamination, requires expensive equipment and well‐trained technicians, and is costly to perform, which are challenges in resource‐poor countries.\n13\n, \n14\n In particular, molecular diagnosis takes several hours or a few days to obtain results and hampers the suspected cases’ immediate response.\n15\n In such situations where COVID‐19 is overwhelming and medical personnel or diagnostic equipment is in short supply, a rapid diagnostic platform such as a rapid antigen home test (RAHT) could be considered a supplemental strategy.\nCompared with conventional rapid antigen tests, a RAHT does not require personal precaution equipment, medical personnel, or visits to screening centers or hospitals. An RAHT is easy to use and cheaper than RT‐PCR. The RAHT may be used for school, business centers, or large gatherings to ensure safety from COVID‐19 transmission when the virus is widespread. The RAHT would also be helpful for, for example, those with disabilities, those in remote areas, or those in prisons, where medical services are difficult to access. In addition, those RAHT can be used at the point of care or at home. The Centers for Disease Control and Prevention (CDC) and World Health Organization (WHO) announced guidance for the optimal usage of antigen testing for SARS‐CoV‐2,\n16\n but not for those RAHT. There has been no report on the performance of the RAHT in Korea yet. Therefore, we evaluated the diagnostic performance of the RAHT with a consideration of clinical characteristics, including the presence of symptoms, days after the symptom onset, and the Ct value of the RT‐PCR.", "This study was conducted among 79 SARS‐CoV‐2‐infected patients and 217 non‐infected patients confirmed by RT‐PCR. Patients infected with SARS‐CoV‐2 were admitted to COVID‐19‐designated hospitals or institutes in June and July 2021. These patients were either mildly symptomatic or asymptomatic. Non‐infected patients were outpatients or were admitted for other medical conditions at Gyeongsang National University Changwon Hospital (GNUCH). All participants submitted written informed consent. This study was approved by the institutional review board (IRB) of GNUCH (IRB No. 2021–04–019).", "The specimens for detection of SARS‐CoV‐2 were self‐collected by each participant after blowing the nose and inserting a flocked swab into nostril at a depth of 1 to 2 cm and rotating three times against the surface of the nasal cavity, according to the manufacturer's manual.", "In this study, the RT‐PCR‐positive tested group included patients with mild symptoms or without symptoms. Among them, about a third (1/3) were asymptomatic. The negative group included patients who visited GNUCH but the RT‐PCR test result came back negative. In addition, patients who took antiviral drugs for COVID‐19 were excluded. Healthcare workers or experts who had experience for in vitro diagnostic equipment, such as glucometer, were also excluded from the study.", "The STANDARD Q COVID‐19 Ag Home Test (SD Biosensor, Suwon, Korea) is an RAHT that qualitatively detects the presence of the SARS‐CoV‐2 nucleocapsid protein in human nasal specimens via chromatographic immunoassay. The STANDARD Q COVID‐19 Ag Home Test, hereinafter referred to as the SD Q home test, is a detection kit that allows the entire procedure to be conducted at home. The SD Q home test cassette is coated with two lines, that is, a control line (C) and a test line (T). When the specimen contains SARS‐CoV‐2, the antigens will bind to the SARS‐CoV‐2‐specific antibodies coated on the test line region (T), which later will generate a colored line on the test strip. If the specimen does not contain SARS‐CoV‐2 antigens, a colored line will not appear in the T region. The result was interpreted as positive if two lines appeared on the nitrocellulose membrane.", "To compare the sensitivity analysis of the SD Q home test, RT‐PCR assay for the qualitative detection of SARS‐CoV‐2 nucleic acids was used to detect the presence of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) in the samples. Specimens for RT‐PCR were collected from the nasopharyngeal and were collected at the same time as the nasal swab specimens used for the SD Q home test. The result was interpreted as positive only if the cycle threshold (Ct) value of RdRp was within the cutoff, according to the manufacturer's recommendation.", "Fisher's exact test\n17\n was used to evaluate the differences in SD Q home test sensitivity according to the presence of symptoms, the duration between symptom onset and the confirmation date for asymptomatic patients, and the Ct values of RT‐PCR, which indicate viral load. The correlation of the days after symptom onset and the Ct values of RdRp was evaluated using Spearman's correlation analysis.\n18\n, \n19\n A p‐value of <0.05 was considered statistically significant. We performed all statistical analyses using the SAS software ver. 9.4 (SAS Institute Inc., Cary, NC) and R version 3.6.3 (R Foundation for Statistical Computing, Vienna, Austria).", "The overall sensitivity of the SD Q home test was 94.94% (75/79) (95% CI, 87.54%‐98.60%), with total specificity was 100% compared with the RT‐PCR (217/217), the positive predictive value (PPV) was 100% and the negative predictive value (NPV) was 98.19% (Table 1). Furthermore, we found that the sensitivity of the SD Q home test in the symptomatic patients (98.00%) was significantly higher than in the asymptomatic patients (89.66%) (p‐value = 0.03) (Table 2).\nDiagnostic performance of the rapid antigen home test\nAbbreviation: CI, confidence interval.\nSensitivity of rapid antigen home test according to the presence of symptoms, days after the symptom onset, and the Ct value of the RT‐PCR\nAbbreviations: CI, confidence interval; Ct, cycle threshold; RAHT, rapid antigen home test; RT‐PCR, real‐time polymerase chain reaction.\nCt value for the RdRp gene in a RT‐PCR assay.", "Evaluation on the sensitivity of SD Q home test according to the DSO demonstrated that there is no significant difference in sensitivity between a test conducted at 0–2 days (17/17, 100%) and one conducted at 3–5 days (32/33, 96.97%) after symptom onset (p‐value = 1.00), suggesting that 0–5 DSO is the optimal time to perform an RAHT.", "The sensitivity of SD Q home test was evaluated by restricting Ct values of RT‐PCR‐positive diagnosed specimens into three groups, that is ≤20, 20 < Ct ≤25, and 25 < Ct. The sensitivity of the SD Q home test was up to 100% for the specimens obtained from patients where Ct ≤20 (51/51) or 20 < Ct≤25 (13/13). For patients where 25<Ct, the sensitivity of the RAHT declined to 73.33% (11/15) (p‐value = 0.01) (Table 2).", "In this study, we observed that the Ct values increased as the DSO increased (Figure 1). Nevertheless, correlation analysis between Ct values and DSO by Spearman's correlation test showed a 'marginally significant' correlation (p‐value = 0.07).\nRelationship between the days after symptom onset and the cycle threshold (Ct) values of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) from symptomatic patients (N = 50)", "J.Y, E. B, and S. K involved in conceptualization. S. L involved in sample collection and experiment. H. S involved in writing–original draft preparation. K.W and S. K involved in writing–review and editing. S. K. involved in supervision and funding acquisition. All the authors have read and agreed to the final version of the article." ]
[ null, null, null, null, null, null, null, null, null, null, null, null ]
[ "INTRODUCTION", "MATERIALS AND METHODS", "Subjects", "Specimen collection", "Inclusion and exclusion criteria", "Rapid antigen home test", "Real‐time reverse‐transcription polymerase chain reaction (RT‐PCR)", "Statistical analysis", "RESULTS", "Sensitivity of SD Q home test compared with RT‐PCR", "Sensitivity of SD Q home test according to the days after symptom onset (DSO)", "Sensitivity of SD Q home test according to the Ct value", "Correlation between Ct values of symptomatic patients and the DSO", "DISCUSSION", "CONFLICT OF INTEREST", "AUTHOR CONTRIBUTIONS" ]
[ "Coronavirus disease 2019 (COVID‐19) was first reported in 2019 after a novel coronavirus, severe acute respiratory syndrome coronavirus 2 (SARS‐CoV‐2), was identified. Since its first discovery, SARS‐CoV‐2 has caused serious public health and economic concerns worldwide. The national strategy to combat COVID‐19 is based on rapid detection, isolation, contact tracing, and patient management to prevent the transmission of SARS‐CoV‐2.\n1\n The detection of SARS‐CoV‐2 is the first step in assessing cases. It is also vital to detect SARS‐CoV‐2 as early as possible since SARS‐CoV‐2 may be coinfected with other microbial pathogens.\n2\n Infection with SARS‐CoV‐2 may alter the human's microbiota, which further may affect the immune system.\n3\n Based on a systematic review,\n4\n a high prevalence of pathogenic microorganism was found among COVID‐19 patients. Thus, a delayed detection of SARS‐CoV‐2 could also result in increased mortality and morbidity due to the possibility of coinfection of SARS‐CoV‐2 and other pathogens.\nA molecular diagnostic, that is, real‐time polymerase chain reaction (RT‐PCR) that has been widely used as a gold standard of detection depends on the sampling locations, probes of SARS‐CoV‐2 gene sequence that is used as a target for detection and days of symptom onset.\n5\n Therefore, considering that RT‐PCR is complex, expensive, and slow to deliver,\n6\n an alternative diagnostic method that is more user‐friendly and cost‐effective, which permits new cases to be isolated immediately, is in high demand.\nThe point‐of‐care (POC) diagnostic platform, which can provide results at the point of care instead of samples being sent to the laboratory, has been widely used and accepted as part of the control strategy for the restriction of COVID‐19.\n7\n A lateral flow assay such as the antigen test is one of the most popular POC diagnostic platforms that have been widely studied and evidently plays some role in the restriction of COVID‐19 when a molecular diagnosis is difficult to perform.\n7\n, \n8\n Antigen tests (immunoassays) detect the presence of a specific viral antigen, mostly nucleocapsid protein, which strongly implies transmissible viral infection.\n9\n, \n10\n Antigen tests have a rapid turnaround time, whereby test results can usually be delivered within 5–30 min.\n11\n Nevertheless, antigen tests for the diagnosis of SARS‐CoV‐2 are generally less sensitive than RT‐PCR.\n12\n However, RT‐PCR, considered as the gold standard for SARS‐CoV‐2 diagnosis, can cause carryover contamination, requires expensive equipment and well‐trained technicians, and is costly to perform, which are challenges in resource‐poor countries.\n13\n, \n14\n In particular, molecular diagnosis takes several hours or a few days to obtain results and hampers the suspected cases’ immediate response.\n15\n In such situations where COVID‐19 is overwhelming and medical personnel or diagnostic equipment is in short supply, a rapid diagnostic platform such as a rapid antigen home test (RAHT) could be considered a supplemental strategy.\nCompared with conventional rapid antigen tests, a RAHT does not require personal precaution equipment, medical personnel, or visits to screening centers or hospitals. An RAHT is easy to use and cheaper than RT‐PCR. The RAHT may be used for school, business centers, or large gatherings to ensure safety from COVID‐19 transmission when the virus is widespread. The RAHT would also be helpful for, for example, those with disabilities, those in remote areas, or those in prisons, where medical services are difficult to access. In addition, those RAHT can be used at the point of care or at home. The Centers for Disease Control and Prevention (CDC) and World Health Organization (WHO) announced guidance for the optimal usage of antigen testing for SARS‐CoV‐2,\n16\n but not for those RAHT. There has been no report on the performance of the RAHT in Korea yet. Therefore, we evaluated the diagnostic performance of the RAHT with a consideration of clinical characteristics, including the presence of symptoms, days after the symptom onset, and the Ct value of the RT‐PCR.", "Subjects This study was conducted among 79 SARS‐CoV‐2‐infected patients and 217 non‐infected patients confirmed by RT‐PCR. Patients infected with SARS‐CoV‐2 were admitted to COVID‐19‐designated hospitals or institutes in June and July 2021. These patients were either mildly symptomatic or asymptomatic. Non‐infected patients were outpatients or were admitted for other medical conditions at Gyeongsang National University Changwon Hospital (GNUCH). All participants submitted written informed consent. This study was approved by the institutional review board (IRB) of GNUCH (IRB No. 2021–04–019).\nThis study was conducted among 79 SARS‐CoV‐2‐infected patients and 217 non‐infected patients confirmed by RT‐PCR. Patients infected with SARS‐CoV‐2 were admitted to COVID‐19‐designated hospitals or institutes in June and July 2021. These patients were either mildly symptomatic or asymptomatic. Non‐infected patients were outpatients or were admitted for other medical conditions at Gyeongsang National University Changwon Hospital (GNUCH). All participants submitted written informed consent. This study was approved by the institutional review board (IRB) of GNUCH (IRB No. 2021–04–019).\nSpecimen collection The specimens for detection of SARS‐CoV‐2 were self‐collected by each participant after blowing the nose and inserting a flocked swab into nostril at a depth of 1 to 2 cm and rotating three times against the surface of the nasal cavity, according to the manufacturer's manual.\nThe specimens for detection of SARS‐CoV‐2 were self‐collected by each participant after blowing the nose and inserting a flocked swab into nostril at a depth of 1 to 2 cm and rotating three times against the surface of the nasal cavity, according to the manufacturer's manual.\nInclusion and exclusion criteria In this study, the RT‐PCR‐positive tested group included patients with mild symptoms or without symptoms. Among them, about a third (1/3) were asymptomatic. The negative group included patients who visited GNUCH but the RT‐PCR test result came back negative. In addition, patients who took antiviral drugs for COVID‐19 were excluded. Healthcare workers or experts who had experience for in vitro diagnostic equipment, such as glucometer, were also excluded from the study.\nIn this study, the RT‐PCR‐positive tested group included patients with mild symptoms or without symptoms. Among them, about a third (1/3) were asymptomatic. The negative group included patients who visited GNUCH but the RT‐PCR test result came back negative. In addition, patients who took antiviral drugs for COVID‐19 were excluded. Healthcare workers or experts who had experience for in vitro diagnostic equipment, such as glucometer, were also excluded from the study.\nRapid antigen home test The STANDARD Q COVID‐19 Ag Home Test (SD Biosensor, Suwon, Korea) is an RAHT that qualitatively detects the presence of the SARS‐CoV‐2 nucleocapsid protein in human nasal specimens via chromatographic immunoassay. The STANDARD Q COVID‐19 Ag Home Test, hereinafter referred to as the SD Q home test, is a detection kit that allows the entire procedure to be conducted at home. The SD Q home test cassette is coated with two lines, that is, a control line (C) and a test line (T). When the specimen contains SARS‐CoV‐2, the antigens will bind to the SARS‐CoV‐2‐specific antibodies coated on the test line region (T), which later will generate a colored line on the test strip. If the specimen does not contain SARS‐CoV‐2 antigens, a colored line will not appear in the T region. The result was interpreted as positive if two lines appeared on the nitrocellulose membrane.\nThe STANDARD Q COVID‐19 Ag Home Test (SD Biosensor, Suwon, Korea) is an RAHT that qualitatively detects the presence of the SARS‐CoV‐2 nucleocapsid protein in human nasal specimens via chromatographic immunoassay. The STANDARD Q COVID‐19 Ag Home Test, hereinafter referred to as the SD Q home test, is a detection kit that allows the entire procedure to be conducted at home. The SD Q home test cassette is coated with two lines, that is, a control line (C) and a test line (T). When the specimen contains SARS‐CoV‐2, the antigens will bind to the SARS‐CoV‐2‐specific antibodies coated on the test line region (T), which later will generate a colored line on the test strip. If the specimen does not contain SARS‐CoV‐2 antigens, a colored line will not appear in the T region. The result was interpreted as positive if two lines appeared on the nitrocellulose membrane.\nReal‐time reverse‐transcription polymerase chain reaction (RT‐PCR) To compare the sensitivity analysis of the SD Q home test, RT‐PCR assay for the qualitative detection of SARS‐CoV‐2 nucleic acids was used to detect the presence of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) in the samples. Specimens for RT‐PCR were collected from the nasopharyngeal and were collected at the same time as the nasal swab specimens used for the SD Q home test. The result was interpreted as positive only if the cycle threshold (Ct) value of RdRp was within the cutoff, according to the manufacturer's recommendation.\nTo compare the sensitivity analysis of the SD Q home test, RT‐PCR assay for the qualitative detection of SARS‐CoV‐2 nucleic acids was used to detect the presence of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) in the samples. Specimens for RT‐PCR were collected from the nasopharyngeal and were collected at the same time as the nasal swab specimens used for the SD Q home test. The result was interpreted as positive only if the cycle threshold (Ct) value of RdRp was within the cutoff, according to the manufacturer's recommendation.\nStatistical analysis Fisher's exact test\n17\n was used to evaluate the differences in SD Q home test sensitivity according to the presence of symptoms, the duration between symptom onset and the confirmation date for asymptomatic patients, and the Ct values of RT‐PCR, which indicate viral load. The correlation of the days after symptom onset and the Ct values of RdRp was evaluated using Spearman's correlation analysis.\n18\n, \n19\n A p‐value of <0.05 was considered statistically significant. We performed all statistical analyses using the SAS software ver. 9.4 (SAS Institute Inc., Cary, NC) and R version 3.6.3 (R Foundation for Statistical Computing, Vienna, Austria).\nFisher's exact test\n17\n was used to evaluate the differences in SD Q home test sensitivity according to the presence of symptoms, the duration between symptom onset and the confirmation date for asymptomatic patients, and the Ct values of RT‐PCR, which indicate viral load. The correlation of the days after symptom onset and the Ct values of RdRp was evaluated using Spearman's correlation analysis.\n18\n, \n19\n A p‐value of <0.05 was considered statistically significant. We performed all statistical analyses using the SAS software ver. 9.4 (SAS Institute Inc., Cary, NC) and R version 3.6.3 (R Foundation for Statistical Computing, Vienna, Austria).", "This study was conducted among 79 SARS‐CoV‐2‐infected patients and 217 non‐infected patients confirmed by RT‐PCR. Patients infected with SARS‐CoV‐2 were admitted to COVID‐19‐designated hospitals or institutes in June and July 2021. These patients were either mildly symptomatic or asymptomatic. Non‐infected patients were outpatients or were admitted for other medical conditions at Gyeongsang National University Changwon Hospital (GNUCH). All participants submitted written informed consent. This study was approved by the institutional review board (IRB) of GNUCH (IRB No. 2021–04–019).", "The specimens for detection of SARS‐CoV‐2 were self‐collected by each participant after blowing the nose and inserting a flocked swab into nostril at a depth of 1 to 2 cm and rotating three times against the surface of the nasal cavity, according to the manufacturer's manual.", "In this study, the RT‐PCR‐positive tested group included patients with mild symptoms or without symptoms. Among them, about a third (1/3) were asymptomatic. The negative group included patients who visited GNUCH but the RT‐PCR test result came back negative. In addition, patients who took antiviral drugs for COVID‐19 were excluded. Healthcare workers or experts who had experience for in vitro diagnostic equipment, such as glucometer, were also excluded from the study.", "The STANDARD Q COVID‐19 Ag Home Test (SD Biosensor, Suwon, Korea) is an RAHT that qualitatively detects the presence of the SARS‐CoV‐2 nucleocapsid protein in human nasal specimens via chromatographic immunoassay. The STANDARD Q COVID‐19 Ag Home Test, hereinafter referred to as the SD Q home test, is a detection kit that allows the entire procedure to be conducted at home. The SD Q home test cassette is coated with two lines, that is, a control line (C) and a test line (T). When the specimen contains SARS‐CoV‐2, the antigens will bind to the SARS‐CoV‐2‐specific antibodies coated on the test line region (T), which later will generate a colored line on the test strip. If the specimen does not contain SARS‐CoV‐2 antigens, a colored line will not appear in the T region. The result was interpreted as positive if two lines appeared on the nitrocellulose membrane.", "To compare the sensitivity analysis of the SD Q home test, RT‐PCR assay for the qualitative detection of SARS‐CoV‐2 nucleic acids was used to detect the presence of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) in the samples. Specimens for RT‐PCR were collected from the nasopharyngeal and were collected at the same time as the nasal swab specimens used for the SD Q home test. The result was interpreted as positive only if the cycle threshold (Ct) value of RdRp was within the cutoff, according to the manufacturer's recommendation.", "Fisher's exact test\n17\n was used to evaluate the differences in SD Q home test sensitivity according to the presence of symptoms, the duration between symptom onset and the confirmation date for asymptomatic patients, and the Ct values of RT‐PCR, which indicate viral load. The correlation of the days after symptom onset and the Ct values of RdRp was evaluated using Spearman's correlation analysis.\n18\n, \n19\n A p‐value of <0.05 was considered statistically significant. We performed all statistical analyses using the SAS software ver. 9.4 (SAS Institute Inc., Cary, NC) and R version 3.6.3 (R Foundation for Statistical Computing, Vienna, Austria).", "Sensitivity of SD Q home test compared with RT‐PCR The overall sensitivity of the SD Q home test was 94.94% (75/79) (95% CI, 87.54%‐98.60%), with total specificity was 100% compared with the RT‐PCR (217/217), the positive predictive value (PPV) was 100% and the negative predictive value (NPV) was 98.19% (Table 1). Furthermore, we found that the sensitivity of the SD Q home test in the symptomatic patients (98.00%) was significantly higher than in the asymptomatic patients (89.66%) (p‐value = 0.03) (Table 2).\nDiagnostic performance of the rapid antigen home test\nAbbreviation: CI, confidence interval.\nSensitivity of rapid antigen home test according to the presence of symptoms, days after the symptom onset, and the Ct value of the RT‐PCR\nAbbreviations: CI, confidence interval; Ct, cycle threshold; RAHT, rapid antigen home test; RT‐PCR, real‐time polymerase chain reaction.\nCt value for the RdRp gene in a RT‐PCR assay.\nThe overall sensitivity of the SD Q home test was 94.94% (75/79) (95% CI, 87.54%‐98.60%), with total specificity was 100% compared with the RT‐PCR (217/217), the positive predictive value (PPV) was 100% and the negative predictive value (NPV) was 98.19% (Table 1). Furthermore, we found that the sensitivity of the SD Q home test in the symptomatic patients (98.00%) was significantly higher than in the asymptomatic patients (89.66%) (p‐value = 0.03) (Table 2).\nDiagnostic performance of the rapid antigen home test\nAbbreviation: CI, confidence interval.\nSensitivity of rapid antigen home test according to the presence of symptoms, days after the symptom onset, and the Ct value of the RT‐PCR\nAbbreviations: CI, confidence interval; Ct, cycle threshold; RAHT, rapid antigen home test; RT‐PCR, real‐time polymerase chain reaction.\nCt value for the RdRp gene in a RT‐PCR assay.\nSensitivity of SD Q home test according to the days after symptom onset (DSO) Evaluation on the sensitivity of SD Q home test according to the DSO demonstrated that there is no significant difference in sensitivity between a test conducted at 0–2 days (17/17, 100%) and one conducted at 3–5 days (32/33, 96.97%) after symptom onset (p‐value = 1.00), suggesting that 0–5 DSO is the optimal time to perform an RAHT.\nEvaluation on the sensitivity of SD Q home test according to the DSO demonstrated that there is no significant difference in sensitivity between a test conducted at 0–2 days (17/17, 100%) and one conducted at 3–5 days (32/33, 96.97%) after symptom onset (p‐value = 1.00), suggesting that 0–5 DSO is the optimal time to perform an RAHT.\nSensitivity of SD Q home test according to the Ct value The sensitivity of SD Q home test was evaluated by restricting Ct values of RT‐PCR‐positive diagnosed specimens into three groups, that is ≤20, 20 < Ct ≤25, and 25 < Ct. The sensitivity of the SD Q home test was up to 100% for the specimens obtained from patients where Ct ≤20 (51/51) or 20 < Ct≤25 (13/13). For patients where 25<Ct, the sensitivity of the RAHT declined to 73.33% (11/15) (p‐value = 0.01) (Table 2).\nThe sensitivity of SD Q home test was evaluated by restricting Ct values of RT‐PCR‐positive diagnosed specimens into three groups, that is ≤20, 20 < Ct ≤25, and 25 < Ct. The sensitivity of the SD Q home test was up to 100% for the specimens obtained from patients where Ct ≤20 (51/51) or 20 < Ct≤25 (13/13). For patients where 25<Ct, the sensitivity of the RAHT declined to 73.33% (11/15) (p‐value = 0.01) (Table 2).\nCorrelation between Ct values of symptomatic patients and the DSO In this study, we observed that the Ct values increased as the DSO increased (Figure 1). Nevertheless, correlation analysis between Ct values and DSO by Spearman's correlation test showed a 'marginally significant' correlation (p‐value = 0.07).\nRelationship between the days after symptom onset and the cycle threshold (Ct) values of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) from symptomatic patients (N = 50)\nIn this study, we observed that the Ct values increased as the DSO increased (Figure 1). Nevertheless, correlation analysis between Ct values and DSO by Spearman's correlation test showed a 'marginally significant' correlation (p‐value = 0.07).\nRelationship between the days after symptom onset and the cycle threshold (Ct) values of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) from symptomatic patients (N = 50)", "The overall sensitivity of the SD Q home test was 94.94% (75/79) (95% CI, 87.54%‐98.60%), with total specificity was 100% compared with the RT‐PCR (217/217), the positive predictive value (PPV) was 100% and the negative predictive value (NPV) was 98.19% (Table 1). Furthermore, we found that the sensitivity of the SD Q home test in the symptomatic patients (98.00%) was significantly higher than in the asymptomatic patients (89.66%) (p‐value = 0.03) (Table 2).\nDiagnostic performance of the rapid antigen home test\nAbbreviation: CI, confidence interval.\nSensitivity of rapid antigen home test according to the presence of symptoms, days after the symptom onset, and the Ct value of the RT‐PCR\nAbbreviations: CI, confidence interval; Ct, cycle threshold; RAHT, rapid antigen home test; RT‐PCR, real‐time polymerase chain reaction.\nCt value for the RdRp gene in a RT‐PCR assay.", "Evaluation on the sensitivity of SD Q home test according to the DSO demonstrated that there is no significant difference in sensitivity between a test conducted at 0–2 days (17/17, 100%) and one conducted at 3–5 days (32/33, 96.97%) after symptom onset (p‐value = 1.00), suggesting that 0–5 DSO is the optimal time to perform an RAHT.", "The sensitivity of SD Q home test was evaluated by restricting Ct values of RT‐PCR‐positive diagnosed specimens into three groups, that is ≤20, 20 < Ct ≤25, and 25 < Ct. The sensitivity of the SD Q home test was up to 100% for the specimens obtained from patients where Ct ≤20 (51/51) or 20 < Ct≤25 (13/13). For patients where 25<Ct, the sensitivity of the RAHT declined to 73.33% (11/15) (p‐value = 0.01) (Table 2).", "In this study, we observed that the Ct values increased as the DSO increased (Figure 1). Nevertheless, correlation analysis between Ct values and DSO by Spearman's correlation test showed a 'marginally significant' correlation (p‐value = 0.07).\nRelationship between the days after symptom onset and the cycle threshold (Ct) values of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) from symptomatic patients (N = 50)", "In the present study, we evaluated the sensitivity of the SD Q home test according to the presence of symptoms, days after the symptom onset or the confirmation date for asymptomatic patients, and the Ct values of the RT‐PCR. Accordingly, our results showed consistently with the current FDA guidelines, which mention that a rapid COVID‐19 home test should have a specificity of at least 98% but can have a sensitivity as low as 80%.\n20\n\n\nOur finding also demonstrated higher sensitivity of the SD Q home test in the symptomatic patients (98.00%) compared with asymptomatic one (89.66%). A similar study conducted in the USA also discovered the higher sensitivity of the rapid antigen test for symptomatic populations compared with asymptomatic population.\n21\n This finding is reasonable because symptomatic patients are likely to have a high accumulation of virus load in the body, leading to positive results upon detection. Nevertheless, considering that, even in an asymptomatic patient, the sensitivity value of the RAHT that we used in our study is up to 89.66%, we are optimistic that the SD Q home test is a handy initial screening test to monitor the spread of COVID‐19 in the community.\nCt values are considered an indicator of viral load, represented by the nucleic acid in the sample.\n22\n, \n23\n Higher Ct values indicate a lower amount of nucleic acid (viral load), while lower Ct values indicate a higher amount of nucleic acid.\n22\n, \n23\n Accordingly, we evaluated whether the sensitivity of the SD Q home test is influenced by viral load. We confirmed that sensitivity of SD Q homes test was at its highest when the Ct values ≤25. In our study, there are four specimens that have Ct value of 30<Ct. Among four of them, only one showed positive result when we tested using RAHT. Our result corresponds with previous studies reporting that the sensitivity of the RAHT is inversely correlated with Ct values.\n24\n, \n25\n\n\nWe also evaluated the sensitivity of the SD Q home test according to DSO and demonstrated that 0–5 DSO is the optimal time to perform an RAHT. Consistently, a previous study also reported that the sensitivity of the rapid antigen test was higher within 7 DSO compared with a population with extended days of symptoms.\n21\n Given that the sensitivity of the SD Q home test is at the highest level in symptomatic patients within 5 DSO with a lower Ct value, we concluded that viral load can be categorized as the most important factor for determining RAHT sensitivity.\nAnalyzes of the correlation between Ct values and DSO by Spearman's correlation test showed a 'marginally significant' correlation (p‐value = 0.07). We assumed this is due to the narrow range of DSO (0–5 days). At early infection, viral accumulation tends to be high while the Ct values are lower.\n22\n, \n26\n Hence, at 0–5 DSO, no significant changes in Ct values were observed due to the constantly high level of viral load, while the sensitivity of the RAHT is at the highest level during these periods of time. Extending the range of DSO may allow for a more accurate evaluation of the correlation between Ct value and DSO. However, taking all these results into consideration, we expect that the RAHT may be practical as a diagnostic tool during the early phase of symptom onset when viral load is in great number and it is more transmissible.\nHowever, we are also aware of the presence of several studies reporting the poor performance of rapid antigen tests, including the RAHT.\n27\n, \n28\n The difference in the performance and sensitivity of rapid antigen tests, including the RAHT, may be due to such factors as the type of samples, the type of assays, the time of sample collection, the accuracy of sampling, and the transport and storage.\n21\n, \n29\n\n\nFinally, the RAHT is increasingly used for screening COVID‐19 because it is low‐cost and available at points of care and does not require well‐trained technicians to administer. Many studies have been initiated to evaluate the effectiveness of an antigen test application compared with RT‐PCR.\n30\n, \n31\n, \n32\n Most of these studies are in concordance with our study, which demonstrated the effectiveness and benefits of a rapid antigen test, that is, the RAHT, in offering robust detection of COVID‐19 that complements molecular detection.\nThe narrow range of days after symptom onset may become a limitation in our study; nonetheless, we demonstrated that the SD Q home test revealed a reasonably good performance compared with RT‐PCR, especially in symptomatic patients. This finding suggests that the SD Q home test is quite helpful as an alternative diagnostic tool in situations where a significant number of people in a specific group are suspected of having SARS‐CoV‐2 and molecular diagnosis technology or expertise are limited. As there was also a decrease in sensitivity with increments in Ct values and days after symptom onset, we conclude that the SD Q home test might be more beneficial for screening at the early phase of infection, when the viral numbers are higher or it is in a more infectious stage.", "No potential conflict of interest was reported by the authors.", "J.Y, E. B, and S. K involved in conceptualization. S. L involved in sample collection and experiment. H. S involved in writing–original draft preparation. K.W and S. K involved in writing–review and editing. S. K. involved in supervision and funding acquisition. All the authors have read and agreed to the final version of the article." ]
[ null, "materials-and-methods", null, null, null, null, null, null, "results", null, null, null, null, "discussion", "COI-statement", null ]
[ "COVID‐19 testing", "diagnosis", "point of care", "SARS‐CoV‐2" ]
INTRODUCTION: Coronavirus disease 2019 (COVID‐19) was first reported in 2019 after a novel coronavirus, severe acute respiratory syndrome coronavirus 2 (SARS‐CoV‐2), was identified. Since its first discovery, SARS‐CoV‐2 has caused serious public health and economic concerns worldwide. The national strategy to combat COVID‐19 is based on rapid detection, isolation, contact tracing, and patient management to prevent the transmission of SARS‐CoV‐2. 1 The detection of SARS‐CoV‐2 is the first step in assessing cases. It is also vital to detect SARS‐CoV‐2 as early as possible since SARS‐CoV‐2 may be coinfected with other microbial pathogens. 2 Infection with SARS‐CoV‐2 may alter the human's microbiota, which further may affect the immune system. 3 Based on a systematic review, 4 a high prevalence of pathogenic microorganism was found among COVID‐19 patients. Thus, a delayed detection of SARS‐CoV‐2 could also result in increased mortality and morbidity due to the possibility of coinfection of SARS‐CoV‐2 and other pathogens. A molecular diagnostic, that is, real‐time polymerase chain reaction (RT‐PCR) that has been widely used as a gold standard of detection depends on the sampling locations, probes of SARS‐CoV‐2 gene sequence that is used as a target for detection and days of symptom onset. 5 Therefore, considering that RT‐PCR is complex, expensive, and slow to deliver, 6 an alternative diagnostic method that is more user‐friendly and cost‐effective, which permits new cases to be isolated immediately, is in high demand. The point‐of‐care (POC) diagnostic platform, which can provide results at the point of care instead of samples being sent to the laboratory, has been widely used and accepted as part of the control strategy for the restriction of COVID‐19. 7 A lateral flow assay such as the antigen test is one of the most popular POC diagnostic platforms that have been widely studied and evidently plays some role in the restriction of COVID‐19 when a molecular diagnosis is difficult to perform. 7 , 8 Antigen tests (immunoassays) detect the presence of a specific viral antigen, mostly nucleocapsid protein, which strongly implies transmissible viral infection. 9 , 10 Antigen tests have a rapid turnaround time, whereby test results can usually be delivered within 5–30 min. 11 Nevertheless, antigen tests for the diagnosis of SARS‐CoV‐2 are generally less sensitive than RT‐PCR. 12 However, RT‐PCR, considered as the gold standard for SARS‐CoV‐2 diagnosis, can cause carryover contamination, requires expensive equipment and well‐trained technicians, and is costly to perform, which are challenges in resource‐poor countries. 13 , 14 In particular, molecular diagnosis takes several hours or a few days to obtain results and hampers the suspected cases’ immediate response. 15 In such situations where COVID‐19 is overwhelming and medical personnel or diagnostic equipment is in short supply, a rapid diagnostic platform such as a rapid antigen home test (RAHT) could be considered a supplemental strategy. Compared with conventional rapid antigen tests, a RAHT does not require personal precaution equipment, medical personnel, or visits to screening centers or hospitals. An RAHT is easy to use and cheaper than RT‐PCR. The RAHT may be used for school, business centers, or large gatherings to ensure safety from COVID‐19 transmission when the virus is widespread. The RAHT would also be helpful for, for example, those with disabilities, those in remote areas, or those in prisons, where medical services are difficult to access. In addition, those RAHT can be used at the point of care or at home. The Centers for Disease Control and Prevention (CDC) and World Health Organization (WHO) announced guidance for the optimal usage of antigen testing for SARS‐CoV‐2, 16 but not for those RAHT. There has been no report on the performance of the RAHT in Korea yet. Therefore, we evaluated the diagnostic performance of the RAHT with a consideration of clinical characteristics, including the presence of symptoms, days after the symptom onset, and the Ct value of the RT‐PCR. MATERIALS AND METHODS: Subjects This study was conducted among 79 SARS‐CoV‐2‐infected patients and 217 non‐infected patients confirmed by RT‐PCR. Patients infected with SARS‐CoV‐2 were admitted to COVID‐19‐designated hospitals or institutes in June and July 2021. These patients were either mildly symptomatic or asymptomatic. Non‐infected patients were outpatients or were admitted for other medical conditions at Gyeongsang National University Changwon Hospital (GNUCH). All participants submitted written informed consent. This study was approved by the institutional review board (IRB) of GNUCH (IRB No. 2021–04–019). This study was conducted among 79 SARS‐CoV‐2‐infected patients and 217 non‐infected patients confirmed by RT‐PCR. Patients infected with SARS‐CoV‐2 were admitted to COVID‐19‐designated hospitals or institutes in June and July 2021. These patients were either mildly symptomatic or asymptomatic. Non‐infected patients were outpatients or were admitted for other medical conditions at Gyeongsang National University Changwon Hospital (GNUCH). All participants submitted written informed consent. This study was approved by the institutional review board (IRB) of GNUCH (IRB No. 2021–04–019). Specimen collection The specimens for detection of SARS‐CoV‐2 were self‐collected by each participant after blowing the nose and inserting a flocked swab into nostril at a depth of 1 to 2 cm and rotating three times against the surface of the nasal cavity, according to the manufacturer's manual. The specimens for detection of SARS‐CoV‐2 were self‐collected by each participant after blowing the nose and inserting a flocked swab into nostril at a depth of 1 to 2 cm and rotating three times against the surface of the nasal cavity, according to the manufacturer's manual. Inclusion and exclusion criteria In this study, the RT‐PCR‐positive tested group included patients with mild symptoms or without symptoms. Among them, about a third (1/3) were asymptomatic. The negative group included patients who visited GNUCH but the RT‐PCR test result came back negative. In addition, patients who took antiviral drugs for COVID‐19 were excluded. Healthcare workers or experts who had experience for in vitro diagnostic equipment, such as glucometer, were also excluded from the study. In this study, the RT‐PCR‐positive tested group included patients with mild symptoms or without symptoms. Among them, about a third (1/3) were asymptomatic. The negative group included patients who visited GNUCH but the RT‐PCR test result came back negative. In addition, patients who took antiviral drugs for COVID‐19 were excluded. Healthcare workers or experts who had experience for in vitro diagnostic equipment, such as glucometer, were also excluded from the study. Rapid antigen home test The STANDARD Q COVID‐19 Ag Home Test (SD Biosensor, Suwon, Korea) is an RAHT that qualitatively detects the presence of the SARS‐CoV‐2 nucleocapsid protein in human nasal specimens via chromatographic immunoassay. The STANDARD Q COVID‐19 Ag Home Test, hereinafter referred to as the SD Q home test, is a detection kit that allows the entire procedure to be conducted at home. The SD Q home test cassette is coated with two lines, that is, a control line (C) and a test line (T). When the specimen contains SARS‐CoV‐2, the antigens will bind to the SARS‐CoV‐2‐specific antibodies coated on the test line region (T), which later will generate a colored line on the test strip. If the specimen does not contain SARS‐CoV‐2 antigens, a colored line will not appear in the T region. The result was interpreted as positive if two lines appeared on the nitrocellulose membrane. The STANDARD Q COVID‐19 Ag Home Test (SD Biosensor, Suwon, Korea) is an RAHT that qualitatively detects the presence of the SARS‐CoV‐2 nucleocapsid protein in human nasal specimens via chromatographic immunoassay. The STANDARD Q COVID‐19 Ag Home Test, hereinafter referred to as the SD Q home test, is a detection kit that allows the entire procedure to be conducted at home. The SD Q home test cassette is coated with two lines, that is, a control line (C) and a test line (T). When the specimen contains SARS‐CoV‐2, the antigens will bind to the SARS‐CoV‐2‐specific antibodies coated on the test line region (T), which later will generate a colored line on the test strip. If the specimen does not contain SARS‐CoV‐2 antigens, a colored line will not appear in the T region. The result was interpreted as positive if two lines appeared on the nitrocellulose membrane. Real‐time reverse‐transcription polymerase chain reaction (RT‐PCR) To compare the sensitivity analysis of the SD Q home test, RT‐PCR assay for the qualitative detection of SARS‐CoV‐2 nucleic acids was used to detect the presence of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) in the samples. Specimens for RT‐PCR were collected from the nasopharyngeal and were collected at the same time as the nasal swab specimens used for the SD Q home test. The result was interpreted as positive only if the cycle threshold (Ct) value of RdRp was within the cutoff, according to the manufacturer's recommendation. To compare the sensitivity analysis of the SD Q home test, RT‐PCR assay for the qualitative detection of SARS‐CoV‐2 nucleic acids was used to detect the presence of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) in the samples. Specimens for RT‐PCR were collected from the nasopharyngeal and were collected at the same time as the nasal swab specimens used for the SD Q home test. The result was interpreted as positive only if the cycle threshold (Ct) value of RdRp was within the cutoff, according to the manufacturer's recommendation. Statistical analysis Fisher's exact test 17 was used to evaluate the differences in SD Q home test sensitivity according to the presence of symptoms, the duration between symptom onset and the confirmation date for asymptomatic patients, and the Ct values of RT‐PCR, which indicate viral load. The correlation of the days after symptom onset and the Ct values of RdRp was evaluated using Spearman's correlation analysis. 18 , 19 A p‐value of <0.05 was considered statistically significant. We performed all statistical analyses using the SAS software ver. 9.4 (SAS Institute Inc., Cary, NC) and R version 3.6.3 (R Foundation for Statistical Computing, Vienna, Austria). Fisher's exact test 17 was used to evaluate the differences in SD Q home test sensitivity according to the presence of symptoms, the duration between symptom onset and the confirmation date for asymptomatic patients, and the Ct values of RT‐PCR, which indicate viral load. The correlation of the days after symptom onset and the Ct values of RdRp was evaluated using Spearman's correlation analysis. 18 , 19 A p‐value of <0.05 was considered statistically significant. We performed all statistical analyses using the SAS software ver. 9.4 (SAS Institute Inc., Cary, NC) and R version 3.6.3 (R Foundation for Statistical Computing, Vienna, Austria). Subjects: This study was conducted among 79 SARS‐CoV‐2‐infected patients and 217 non‐infected patients confirmed by RT‐PCR. Patients infected with SARS‐CoV‐2 were admitted to COVID‐19‐designated hospitals or institutes in June and July 2021. These patients were either mildly symptomatic or asymptomatic. Non‐infected patients were outpatients or were admitted for other medical conditions at Gyeongsang National University Changwon Hospital (GNUCH). All participants submitted written informed consent. This study was approved by the institutional review board (IRB) of GNUCH (IRB No. 2021–04–019). Specimen collection: The specimens for detection of SARS‐CoV‐2 were self‐collected by each participant after blowing the nose and inserting a flocked swab into nostril at a depth of 1 to 2 cm and rotating three times against the surface of the nasal cavity, according to the manufacturer's manual. Inclusion and exclusion criteria: In this study, the RT‐PCR‐positive tested group included patients with mild symptoms or without symptoms. Among them, about a third (1/3) were asymptomatic. The negative group included patients who visited GNUCH but the RT‐PCR test result came back negative. In addition, patients who took antiviral drugs for COVID‐19 were excluded. Healthcare workers or experts who had experience for in vitro diagnostic equipment, such as glucometer, were also excluded from the study. Rapid antigen home test: The STANDARD Q COVID‐19 Ag Home Test (SD Biosensor, Suwon, Korea) is an RAHT that qualitatively detects the presence of the SARS‐CoV‐2 nucleocapsid protein in human nasal specimens via chromatographic immunoassay. The STANDARD Q COVID‐19 Ag Home Test, hereinafter referred to as the SD Q home test, is a detection kit that allows the entire procedure to be conducted at home. The SD Q home test cassette is coated with two lines, that is, a control line (C) and a test line (T). When the specimen contains SARS‐CoV‐2, the antigens will bind to the SARS‐CoV‐2‐specific antibodies coated on the test line region (T), which later will generate a colored line on the test strip. If the specimen does not contain SARS‐CoV‐2 antigens, a colored line will not appear in the T region. The result was interpreted as positive if two lines appeared on the nitrocellulose membrane. Real‐time reverse‐transcription polymerase chain reaction (RT‐PCR): To compare the sensitivity analysis of the SD Q home test, RT‐PCR assay for the qualitative detection of SARS‐CoV‐2 nucleic acids was used to detect the presence of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) in the samples. Specimens for RT‐PCR were collected from the nasopharyngeal and were collected at the same time as the nasal swab specimens used for the SD Q home test. The result was interpreted as positive only if the cycle threshold (Ct) value of RdRp was within the cutoff, according to the manufacturer's recommendation. Statistical analysis: Fisher's exact test 17 was used to evaluate the differences in SD Q home test sensitivity according to the presence of symptoms, the duration between symptom onset and the confirmation date for asymptomatic patients, and the Ct values of RT‐PCR, which indicate viral load. The correlation of the days after symptom onset and the Ct values of RdRp was evaluated using Spearman's correlation analysis. 18 , 19 A p‐value of <0.05 was considered statistically significant. We performed all statistical analyses using the SAS software ver. 9.4 (SAS Institute Inc., Cary, NC) and R version 3.6.3 (R Foundation for Statistical Computing, Vienna, Austria). RESULTS: Sensitivity of SD Q home test compared with RT‐PCR The overall sensitivity of the SD Q home test was 94.94% (75/79) (95% CI, 87.54%‐98.60%), with total specificity was 100% compared with the RT‐PCR (217/217), the positive predictive value (PPV) was 100% and the negative predictive value (NPV) was 98.19% (Table 1). Furthermore, we found that the sensitivity of the SD Q home test in the symptomatic patients (98.00%) was significantly higher than in the asymptomatic patients (89.66%) (p‐value = 0.03) (Table 2). Diagnostic performance of the rapid antigen home test Abbreviation: CI, confidence interval. Sensitivity of rapid antigen home test according to the presence of symptoms, days after the symptom onset, and the Ct value of the RT‐PCR Abbreviations: CI, confidence interval; Ct, cycle threshold; RAHT, rapid antigen home test; RT‐PCR, real‐time polymerase chain reaction. Ct value for the RdRp gene in a RT‐PCR assay. The overall sensitivity of the SD Q home test was 94.94% (75/79) (95% CI, 87.54%‐98.60%), with total specificity was 100% compared with the RT‐PCR (217/217), the positive predictive value (PPV) was 100% and the negative predictive value (NPV) was 98.19% (Table 1). Furthermore, we found that the sensitivity of the SD Q home test in the symptomatic patients (98.00%) was significantly higher than in the asymptomatic patients (89.66%) (p‐value = 0.03) (Table 2). Diagnostic performance of the rapid antigen home test Abbreviation: CI, confidence interval. Sensitivity of rapid antigen home test according to the presence of symptoms, days after the symptom onset, and the Ct value of the RT‐PCR Abbreviations: CI, confidence interval; Ct, cycle threshold; RAHT, rapid antigen home test; RT‐PCR, real‐time polymerase chain reaction. Ct value for the RdRp gene in a RT‐PCR assay. Sensitivity of SD Q home test according to the days after symptom onset (DSO) Evaluation on the sensitivity of SD Q home test according to the DSO demonstrated that there is no significant difference in sensitivity between a test conducted at 0–2 days (17/17, 100%) and one conducted at 3–5 days (32/33, 96.97%) after symptom onset (p‐value = 1.00), suggesting that 0–5 DSO is the optimal time to perform an RAHT. Evaluation on the sensitivity of SD Q home test according to the DSO demonstrated that there is no significant difference in sensitivity between a test conducted at 0–2 days (17/17, 100%) and one conducted at 3–5 days (32/33, 96.97%) after symptom onset (p‐value = 1.00), suggesting that 0–5 DSO is the optimal time to perform an RAHT. Sensitivity of SD Q home test according to the Ct value The sensitivity of SD Q home test was evaluated by restricting Ct values of RT‐PCR‐positive diagnosed specimens into three groups, that is ≤20, 20 < Ct ≤25, and 25 < Ct. The sensitivity of the SD Q home test was up to 100% for the specimens obtained from patients where Ct ≤20 (51/51) or 20 < Ct≤25 (13/13). For patients where 25<Ct, the sensitivity of the RAHT declined to 73.33% (11/15) (p‐value = 0.01) (Table 2). The sensitivity of SD Q home test was evaluated by restricting Ct values of RT‐PCR‐positive diagnosed specimens into three groups, that is ≤20, 20 < Ct ≤25, and 25 < Ct. The sensitivity of the SD Q home test was up to 100% for the specimens obtained from patients where Ct ≤20 (51/51) or 20 < Ct≤25 (13/13). For patients where 25<Ct, the sensitivity of the RAHT declined to 73.33% (11/15) (p‐value = 0.01) (Table 2). Correlation between Ct values of symptomatic patients and the DSO In this study, we observed that the Ct values increased as the DSO increased (Figure 1). Nevertheless, correlation analysis between Ct values and DSO by Spearman's correlation test showed a 'marginally significant' correlation (p‐value = 0.07). Relationship between the days after symptom onset and the cycle threshold (Ct) values of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) from symptomatic patients (N = 50) In this study, we observed that the Ct values increased as the DSO increased (Figure 1). Nevertheless, correlation analysis between Ct values and DSO by Spearman's correlation test showed a 'marginally significant' correlation (p‐value = 0.07). Relationship between the days after symptom onset and the cycle threshold (Ct) values of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) from symptomatic patients (N = 50) Sensitivity of SD Q home test compared with RT‐PCR: The overall sensitivity of the SD Q home test was 94.94% (75/79) (95% CI, 87.54%‐98.60%), with total specificity was 100% compared with the RT‐PCR (217/217), the positive predictive value (PPV) was 100% and the negative predictive value (NPV) was 98.19% (Table 1). Furthermore, we found that the sensitivity of the SD Q home test in the symptomatic patients (98.00%) was significantly higher than in the asymptomatic patients (89.66%) (p‐value = 0.03) (Table 2). Diagnostic performance of the rapid antigen home test Abbreviation: CI, confidence interval. Sensitivity of rapid antigen home test according to the presence of symptoms, days after the symptom onset, and the Ct value of the RT‐PCR Abbreviations: CI, confidence interval; Ct, cycle threshold; RAHT, rapid antigen home test; RT‐PCR, real‐time polymerase chain reaction. Ct value for the RdRp gene in a RT‐PCR assay. Sensitivity of SD Q home test according to the days after symptom onset (DSO): Evaluation on the sensitivity of SD Q home test according to the DSO demonstrated that there is no significant difference in sensitivity between a test conducted at 0–2 days (17/17, 100%) and one conducted at 3–5 days (32/33, 96.97%) after symptom onset (p‐value = 1.00), suggesting that 0–5 DSO is the optimal time to perform an RAHT. Sensitivity of SD Q home test according to the Ct value: The sensitivity of SD Q home test was evaluated by restricting Ct values of RT‐PCR‐positive diagnosed specimens into three groups, that is ≤20, 20 < Ct ≤25, and 25 < Ct. The sensitivity of the SD Q home test was up to 100% for the specimens obtained from patients where Ct ≤20 (51/51) or 20 < Ct≤25 (13/13). For patients where 25<Ct, the sensitivity of the RAHT declined to 73.33% (11/15) (p‐value = 0.01) (Table 2). Correlation between Ct values of symptomatic patients and the DSO: In this study, we observed that the Ct values increased as the DSO increased (Figure 1). Nevertheless, correlation analysis between Ct values and DSO by Spearman's correlation test showed a 'marginally significant' correlation (p‐value = 0.07). Relationship between the days after symptom onset and the cycle threshold (Ct) values of SARS‐CoV‐2 RNA‐dependent RNA polymerase gene (RdRp) from symptomatic patients (N = 50) DISCUSSION: In the present study, we evaluated the sensitivity of the SD Q home test according to the presence of symptoms, days after the symptom onset or the confirmation date for asymptomatic patients, and the Ct values of the RT‐PCR. Accordingly, our results showed consistently with the current FDA guidelines, which mention that a rapid COVID‐19 home test should have a specificity of at least 98% but can have a sensitivity as low as 80%. 20 Our finding also demonstrated higher sensitivity of the SD Q home test in the symptomatic patients (98.00%) compared with asymptomatic one (89.66%). A similar study conducted in the USA also discovered the higher sensitivity of the rapid antigen test for symptomatic populations compared with asymptomatic population. 21 This finding is reasonable because symptomatic patients are likely to have a high accumulation of virus load in the body, leading to positive results upon detection. Nevertheless, considering that, even in an asymptomatic patient, the sensitivity value of the RAHT that we used in our study is up to 89.66%, we are optimistic that the SD Q home test is a handy initial screening test to monitor the spread of COVID‐19 in the community. Ct values are considered an indicator of viral load, represented by the nucleic acid in the sample. 22 , 23 Higher Ct values indicate a lower amount of nucleic acid (viral load), while lower Ct values indicate a higher amount of nucleic acid. 22 , 23 Accordingly, we evaluated whether the sensitivity of the SD Q home test is influenced by viral load. We confirmed that sensitivity of SD Q homes test was at its highest when the Ct values ≤25. In our study, there are four specimens that have Ct value of 30<Ct. Among four of them, only one showed positive result when we tested using RAHT. Our result corresponds with previous studies reporting that the sensitivity of the RAHT is inversely correlated with Ct values. 24 , 25 We also evaluated the sensitivity of the SD Q home test according to DSO and demonstrated that 0–5 DSO is the optimal time to perform an RAHT. Consistently, a previous study also reported that the sensitivity of the rapid antigen test was higher within 7 DSO compared with a population with extended days of symptoms. 21 Given that the sensitivity of the SD Q home test is at the highest level in symptomatic patients within 5 DSO with a lower Ct value, we concluded that viral load can be categorized as the most important factor for determining RAHT sensitivity. Analyzes of the correlation between Ct values and DSO by Spearman's correlation test showed a 'marginally significant' correlation (p‐value = 0.07). We assumed this is due to the narrow range of DSO (0–5 days). At early infection, viral accumulation tends to be high while the Ct values are lower. 22 , 26 Hence, at 0–5 DSO, no significant changes in Ct values were observed due to the constantly high level of viral load, while the sensitivity of the RAHT is at the highest level during these periods of time. Extending the range of DSO may allow for a more accurate evaluation of the correlation between Ct value and DSO. However, taking all these results into consideration, we expect that the RAHT may be practical as a diagnostic tool during the early phase of symptom onset when viral load is in great number and it is more transmissible. However, we are also aware of the presence of several studies reporting the poor performance of rapid antigen tests, including the RAHT. 27 , 28 The difference in the performance and sensitivity of rapid antigen tests, including the RAHT, may be due to such factors as the type of samples, the type of assays, the time of sample collection, the accuracy of sampling, and the transport and storage. 21 , 29 Finally, the RAHT is increasingly used for screening COVID‐19 because it is low‐cost and available at points of care and does not require well‐trained technicians to administer. Many studies have been initiated to evaluate the effectiveness of an antigen test application compared with RT‐PCR. 30 , 31 , 32 Most of these studies are in concordance with our study, which demonstrated the effectiveness and benefits of a rapid antigen test, that is, the RAHT, in offering robust detection of COVID‐19 that complements molecular detection. The narrow range of days after symptom onset may become a limitation in our study; nonetheless, we demonstrated that the SD Q home test revealed a reasonably good performance compared with RT‐PCR, especially in symptomatic patients. This finding suggests that the SD Q home test is quite helpful as an alternative diagnostic tool in situations where a significant number of people in a specific group are suspected of having SARS‐CoV‐2 and molecular diagnosis technology or expertise are limited. As there was also a decrease in sensitivity with increments in Ct values and days after symptom onset, we conclude that the SD Q home test might be more beneficial for screening at the early phase of infection, when the viral numbers are higher or it is in a more infectious stage. CONFLICT OF INTEREST: No potential conflict of interest was reported by the authors. AUTHOR CONTRIBUTIONS: J.Y, E. B, and S. K involved in conceptualization. S. L involved in sample collection and experiment. H. S involved in writing–original draft preparation. K.W and S. K involved in writing–review and editing. S. K. involved in supervision and funding acquisition. All the authors have read and agreed to the final version of the article.
Background: Surveillance and control of SARS-CoV-2 outbreak through gold standard detection, that is, real-time polymerase chain reaction (RT-PCR), become a great obstacle, especially in overwhelming outbreaks. In this study, we aimed to analyze the performance of rapid antigen home test (RAHT) as an alternative detection method compared with RT-PCR. Methods: In total, 79 COVID-19-positive and 217 COVID-19-negative patients confirmed by RT-PCR were enrolled in this study. A duration from symptom onset to COVID-19 confirmation of <5 days was considered a recruiting criterion for COVID-19-positive cases. A nasal cavity specimen was collected for the RAHT, and a nasopharyngeal swab specimen was collected for RT-PCR. Results: Sensitivity of the STANDARD Q COVID-19 Ag Home Test (SD Biosensor, Korea), compared with RT-PCR, was 94.94% (75/79) (95% [confidence interval] CI, 87.54%-98.60%), and specificity was 100%. Sensitivity was significantly higher in symptomatic patients (98.00%) than in asymptomatic (89.66%) patients (p-value = 0.03). There was no difference in sensitivity according to the duration of symptom onset to confirmation (100% for 0-2 days and 96.97% for 3-5 days, respectively) (p-value = 1.00). The RAHT detected all 51 COVID-19 patients whose Ct values were ≤25 (100%), whereas sensitivity was 73.33% (11/15) among patients with Ct values >25 (p-value = 0.01). Conclusions: The RAHT showed an excellent sensitivity for COVID-19-confirmed cases, especially for those with symptoms. There was a decrease in sensitivity when the Ct value is over 25, indicating that RAHT screening may be useful during the early phase of symptom onset, when the viral numbers are higher and it is more transmissible.
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[ 768, 91, 50, 83, 169, 98, 127, 194, 73, 100, 85, 67 ]
16
[ "test", "home", "home test", "ct", "sensitivity", "patients", "sd", "pcr", "rt", "rt pcr" ]
[ "novel coronavirus severe", "sars cov infected", "respiratory syndrome coronavirus", "sars cov pathogens", "coronavirus disease 2019" ]
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[CONTENT] COVID‐19 testing | diagnosis | point of care | SARS‐CoV‐2 [SUMMARY]
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[CONTENT] COVID‐19 testing | diagnosis | point of care | SARS‐CoV‐2 [SUMMARY]
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[CONTENT] COVID‐19 testing | diagnosis | point of care | SARS‐CoV‐2 [SUMMARY]
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[CONTENT] Antigens, Viral | COVID-19 | COVID-19 Serological Testing | Humans | Mass Screening | SARS-CoV-2 | Sensitivity and Specificity [SUMMARY]
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[CONTENT] Antigens, Viral | COVID-19 | COVID-19 Serological Testing | Humans | Mass Screening | SARS-CoV-2 | Sensitivity and Specificity [SUMMARY]
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[CONTENT] Antigens, Viral | COVID-19 | COVID-19 Serological Testing | Humans | Mass Screening | SARS-CoV-2 | Sensitivity and Specificity [SUMMARY]
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[CONTENT] novel coronavirus severe | sars cov infected | respiratory syndrome coronavirus | sars cov pathogens | coronavirus disease 2019 [SUMMARY]
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[CONTENT] novel coronavirus severe | sars cov infected | respiratory syndrome coronavirus | sars cov pathogens | coronavirus disease 2019 [SUMMARY]
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[CONTENT] novel coronavirus severe | sars cov infected | respiratory syndrome coronavirus | sars cov pathogens | coronavirus disease 2019 [SUMMARY]
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[CONTENT] test | home | home test | ct | sensitivity | patients | sd | pcr | rt | rt pcr [SUMMARY]
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[CONTENT] test | home | home test | ct | sensitivity | patients | sd | pcr | rt | rt pcr [SUMMARY]
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[CONTENT] test | home | home test | ct | sensitivity | patients | sd | pcr | rt | rt pcr [SUMMARY]
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[CONTENT] sars cov | sars | cov | antigen | raht | covid | covid 19 | diagnostic | diagnosis | tests [SUMMARY]
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[CONTENT] ct | sensitivity | test | home | home test | sensitivity sd | sensitivity sd home test | sensitivity sd home | value | dso [SUMMARY]
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[CONTENT] test | ct | home | home test | sensitivity | patients | sars cov | sars | cov | sd [SUMMARY]
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[CONTENT] RT-PCR ||| RAHT | RT-PCR [SUMMARY]
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[CONTENT] STANDARD | Ag Home Test | Korea | RT-PCR | 94.94% | 75/79 | 95% | CI | 87.54%-98.60% | 100% ||| 98.00% | 89.66% | 0.03 ||| 100% | 0-2 days | 96.97% | 3-5 days | 1.00 ||| RAHT | 51 | COVID-19 | 100% | 73.33% | 11/15 | 25 ||| 0.01 [SUMMARY]
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[CONTENT] RT-PCR ||| RAHT | RT-PCR ||| 79 | COVID-19 | 217 | COVID-19 | RT-PCR ||| COVID-19 | 5 days | COVID-19 ||| RAHT | RT-PCR ||| ||| STANDARD | Ag Home Test | Korea | RT-PCR | 94.94% | 75/79 | 95% | CI | 87.54%-98.60% | 100% ||| 98.00% | 89.66% | 0.03 ||| 100% | 0-2 days | 96.97% | 3-5 days | 1.00 ||| RAHT | 51 | COVID-19 | 100% | 73.33% | 11/15 | 25 ||| 0.01 ||| RAHT | COVID-19 ||| 25 | RAHT [SUMMARY]
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Pharmacologic cholinesterase inhibition improves survival in acetaminophen-induced acute liver failure in the mouse.
25139304
Acetaminophen (APAP) is one of the most widely used analgesic and antipyretic pharmaceutical substances in the world and accounts for most cases of drug induced liver injury resulting in acute liver failure. Acute liver failure initiates a sterile inflammatory response with release of cytokines and innate immune cell infiltration in the liver. This study investigates, whether pharmacologic acetylcholinesterase inhibition with neostigmine diminishes liver damage in acute liver failure via the cholinergic anti-inflammatory pathway.
BACKGROUND
Acute liver failure was induced in BALB/c mice by a toxic dose of acetaminophen (APAP). Neostigmine and/or N-acetyl-cysteine (NAC) were applied therapeutically at set time points and the survival was investigated. Liver damage was assessed by serum parameters, histopathology and serum cytokine assays 12 h after initiation of acute liver failure.
METHODS
Serum parameters, histopathology and serum cytokine assays showed pronounced features of acute liver failure 12 h after application of acetaminophen (APAP). Neostigmine treatment led to significant reduction of serum liver enzymes (LDH (47,147 ± 12,726 IU/l vs. 15,822 ± 10,629 IU/l, p = 0.0014) and ALT (18,048 ± 4,287 IU/l vs. 7,585 ± 5,336 IU/l, p = 0.0013), APAP-alone-treated mice vs. APAP + neostigmine-treated mice), inflammatory cytokine levels (IL-1β (147 ± 19 vs. 110 ± 25, p = 0.0138) and TNF-α (184 ± 23 vs. 130 ± 33, p = 0.0086), APAP-alone-treated mice vs. APAP + neostigmine-treated mice) and histopathological signs of damage.Animals treated with NAC in combination with the peripheral cholinesterase inhibitor neostigmine showed prolonged survival and improved outcome.
RESULTS
Neostigmine is an acetylcholinesterase inhibitor that ameliorates the effects of APAP-induced acute liver failure in the mouse and therefore may provide new treatment options for affected patients.
CONCLUSIONS
[ "Acetaminophen", "Acetylcysteine", "Alanine Transaminase", "Analgesics, Non-Narcotic", "Animals", "Chemical and Drug Induced Liver Injury", "Cholinesterase Inhibitors", "Disease Models, Animal", "Free Radical Scavengers", "Interleukin-1beta", "Lactate Dehydrogenases", "Liver", "Liver Failure, Acute", "Mice", "Mice, Inbred BALB C", "Neostigmine", "Tumor Necrosis Factor-alpha" ]
4236504
Background
Acetaminophen (APAP) is one of the most commonly used pharmaceuticals in the world. It has a well-established record of safety and efficacy. However, taken in overdoses, APAP causes severe hepatic necrosis frequently leading to acute liver failure (ALF). APAP poisoning accounts for more than 30,000 hospital admissions and approximately 500 deaths every year in the U.S.A. alone [1-6]. With limited therapeutic options, besides the application of N-acetyl-cysteine (NAC), there is a need for further therapeutic alternatives to improve outcome and prevent death or orthotopic liver transplantation in affected patients [7-10]. APAP-induced ALF is a sterile inflammatory condition, with local and systemic inflammatory responses mediated by the release of pro-inflammatory cytokines from innate immune cells (e.g. neutrophils and Kupffer cells) and activation and migration of macrophages into the liver [11]. The cholinergic anti-inflammatory pathway responds to ongoing inflammation through the vagus nerve and nicotinic acetylcholine receptors (nAChRs) expressed by cytokine-producing cells, such as macrophages, neutrophils, dendritic cells, histiocytes, Kupffer cells and mastocytes [12-16]. The parasympathetic neurotransmitter acetylcholine is released and binds to the α7 subunit of the nAChR to prevent the unbalanced overproduction of inflammatory mediators, such as IL-1β and TNF-α [12,17,18]. The aim of the current study was to analyze the role of the acetylcholinesterase inhibitor neostigmine in modulation of APAP-induced acute liver failure via increasing the levels of acetylcholine and stimulation of the cholinergic anti-inflammatory pathway.
Methods
Reagents Neostigmine was purchased from Actavis (Munich, Germany), acetaminophen (APAP) from Fresenius Kabi (Bad Homburg, Germany) and N-acetyl-cysteine (NAC) from CSC Pharmaceuticals (Bisamberg, Austria). Neostigmine was purchased from Actavis (Munich, Germany), acetaminophen (APAP) from Fresenius Kabi (Bad Homburg, Germany) and N-acetyl-cysteine (NAC) from CSC Pharmaceuticals (Bisamberg, Austria). Animals Male BALB/c mice (Charles River Laboratories, Sulzfeld, Germany) at 10 weeks of age were used in all experiments. The animals received humane care and were kept on a 12-hour light/dark cycle in a temperature-controlled room, with free access to food and water. The protocol was approved by the Animal Care and Use Committee of the University of Heidelberg. Male BALB/c mice (Charles River Laboratories, Sulzfeld, Germany) at 10 weeks of age were used in all experiments. The animals received humane care and were kept on a 12-hour light/dark cycle in a temperature-controlled room, with free access to food and water. The protocol was approved by the Animal Care and Use Committee of the University of Heidelberg. Animal model and experimental groups Acute liver failure was induced by intraperitoneal (i.p.) injections of APAP (600 mg/kg) after overnight food deprivation. Subsequently, the animals in the treatment group received an i.p. injection of the acetylcholinesterase inhibitor neostigmine (80 μg/kg) either 1 hour before or 1 hour after application of APAP as indicated, followed by successive applications of neostigmine after 7, 12 and 24 hours. Control mice received analogous volumes of saline. Dosing of APAP and neostigmine were based on earlier studies [19-21]. For assessment of liver damage, mice were sacrificed 12 hours after application of APAP and blood and tissue samples were harvested. In previous studies with similar dosing of APAP the peak level of histological and serological changes was reached after the selected time point [22-24]. Whole blood samples were allowed to clot and then centrifuged at 1000 g for 5 minutes. Serum was collected and stored at −80°C. Liver sections were fixed in 4% phosphate buffered formalin and embedded in paraffin for histological analysis. In subsequent experiments mice were dosed with 750 mg/kg APAP and an additional application of 300 mg/kg (1.84 mmol/kg) NAC i.p. 2 hours thereafter. Furthermore, after intoxication with 750 mg/kg APAP, mice were either dosed with 75 mg/kg (0.46 mmol/kg) NAC i.p. after 2 hours, as the sole treatment, or along with neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours [25-28]. For the survival experiments mice were monitored throughout the experimental period. Acute liver failure was induced by intraperitoneal (i.p.) injections of APAP (600 mg/kg) after overnight food deprivation. Subsequently, the animals in the treatment group received an i.p. injection of the acetylcholinesterase inhibitor neostigmine (80 μg/kg) either 1 hour before or 1 hour after application of APAP as indicated, followed by successive applications of neostigmine after 7, 12 and 24 hours. Control mice received analogous volumes of saline. Dosing of APAP and neostigmine were based on earlier studies [19-21]. For assessment of liver damage, mice were sacrificed 12 hours after application of APAP and blood and tissue samples were harvested. In previous studies with similar dosing of APAP the peak level of histological and serological changes was reached after the selected time point [22-24]. Whole blood samples were allowed to clot and then centrifuged at 1000 g for 5 minutes. Serum was collected and stored at −80°C. Liver sections were fixed in 4% phosphate buffered formalin and embedded in paraffin for histological analysis. In subsequent experiments mice were dosed with 750 mg/kg APAP and an additional application of 300 mg/kg (1.84 mmol/kg) NAC i.p. 2 hours thereafter. Furthermore, after intoxication with 750 mg/kg APAP, mice were either dosed with 75 mg/kg (0.46 mmol/kg) NAC i.p. after 2 hours, as the sole treatment, or along with neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours [25-28]. For the survival experiments mice were monitored throughout the experimental period. Assays Serum alanine aminotransferase (ALT), aspartate aminotransferase (AST) and lactate dehydrogenase (LDH) were measured in the Institute of Clinical and Laboratory Medicine at the University Hospital Heidelberg by standard procedures. Serum was subjected to enzyme-linked immunosorbent assay (ELISA) for determination of IL-1β and TNF-α contents according to the manufacturers recommendations. ELISA kits were purchased from Quiagen (Gaithersburg, MD, USA). Serum alanine aminotransferase (ALT), aspartate aminotransferase (AST) and lactate dehydrogenase (LDH) were measured in the Institute of Clinical and Laboratory Medicine at the University Hospital Heidelberg by standard procedures. Serum was subjected to enzyme-linked immunosorbent assay (ELISA) for determination of IL-1β and TNF-α contents according to the manufacturers recommendations. ELISA kits were purchased from Quiagen (Gaithersburg, MD, USA). Histology Livers were fixed in 4% buffered formalin and embedded in paraffin. Sections (3 μm in thickness) were cut and H & E staining was performed according to standard protocols. Slides were evaluated by an experienced liver pathologist (C.M.) blinded to the origin of the specimens with special regard to liver architecture, cellular changes, extent of necrosis (% of liver), and level of hemorrhage scored on a four-point scale (0–3; 0 none, 1 mild, 2 moderate, 3 severe). For the terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) assay, sections of liver (3 μm in thickness) were stained with the ApopTag Apoptosis Detection Kit (Merck Millipore, Billerica, MA, USA) as described in the manufacturer’s instructions. TUNEL-positive cells were counted in 10 randomly selected microscopic fields (×200) per section and expressed as percentages of the total number of hepatocytes. Livers were fixed in 4% buffered formalin and embedded in paraffin. Sections (3 μm in thickness) were cut and H & E staining was performed according to standard protocols. Slides were evaluated by an experienced liver pathologist (C.M.) blinded to the origin of the specimens with special regard to liver architecture, cellular changes, extent of necrosis (% of liver), and level of hemorrhage scored on a four-point scale (0–3; 0 none, 1 mild, 2 moderate, 3 severe). For the terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) assay, sections of liver (3 μm in thickness) were stained with the ApopTag Apoptosis Detection Kit (Merck Millipore, Billerica, MA, USA) as described in the manufacturer’s instructions. TUNEL-positive cells were counted in 10 randomly selected microscopic fields (×200) per section and expressed as percentages of the total number of hepatocytes. Statistical analysis Variables are expressed by mean and standard deviation. Statistical significance was evaluated using Student’s t-test or Mann-Whitney’s U test. The survival curve obtained by the Kaplan-Meier procedure was analyzed by log-rank test. A p value < 0.05 was considered statistically significant. Statistical analysis was performed using GraphPad Prism software (version 6.0, GraphPad Software, Inc., La Jolla, CA, USA). Variables are expressed by mean and standard deviation. Statistical significance was evaluated using Student’s t-test or Mann-Whitney’s U test. The survival curve obtained by the Kaplan-Meier procedure was analyzed by log-rank test. A p value < 0.05 was considered statistically significant. Statistical analysis was performed using GraphPad Prism software (version 6.0, GraphPad Software, Inc., La Jolla, CA, USA).
Results
Cholinesterase inhibition with neostigmine improves survival in APAP-induced acute liver failure Animals treated with neostigmine (80 μg/kg) one hour before intoxication with APAP (600 mg/kg) and repeatedly 7 and 12 hours afterwards showed significantly improved survival compared to control animals (mean survival time in hours 21 ± 7 vs. 13 ± 2, plog-rank = 0.0046). To assess a delayed application of neostigmine as a therapeutic option after application of APAP, animals were treated with neostigmine (80 μg/kg) 1 hour after intoxication with APAP and repeatedly 7 and 12 hours afterwards. Therapeutic treatment resulted in prolonged survival compared to control animals (mean survival time in hours 16 ± 5 vs. 13 ± 2, plog-rank = 0.1860), which however failed to reach statistical significance (Figure 1). Cholinesterase inhibition protects against acute liver failure (ALF) induced by acetaminophen (APAP). All mice received 600 mg/kg APAP i.p.. Neostigmine-treated animals received 80 μg/kg neostigmine 1 hour prior to application of APAP and 7, 12 and 24 hours thereafter (dotted line, plog-rank = 0.0046) or 1, 7, 12 and 24 hours after application of APAP (dashed line, plog-rank = 0.1860). Control mice received solvent (0.9% NaCl) 1, 7, 12 and 24 hours after application of APAP (solid line; n = 6 for each group). Animals treated with neostigmine (80 μg/kg) one hour before intoxication with APAP (600 mg/kg) and repeatedly 7 and 12 hours afterwards showed significantly improved survival compared to control animals (mean survival time in hours 21 ± 7 vs. 13 ± 2, plog-rank = 0.0046). To assess a delayed application of neostigmine as a therapeutic option after application of APAP, animals were treated with neostigmine (80 μg/kg) 1 hour after intoxication with APAP and repeatedly 7 and 12 hours afterwards. Therapeutic treatment resulted in prolonged survival compared to control animals (mean survival time in hours 16 ± 5 vs. 13 ± 2, plog-rank = 0.1860), which however failed to reach statistical significance (Figure 1). Cholinesterase inhibition protects against acute liver failure (ALF) induced by acetaminophen (APAP). All mice received 600 mg/kg APAP i.p.. Neostigmine-treated animals received 80 μg/kg neostigmine 1 hour prior to application of APAP and 7, 12 and 24 hours thereafter (dotted line, plog-rank = 0.0046) or 1, 7, 12 and 24 hours after application of APAP (dashed line, plog-rank = 0.1860). Control mice received solvent (0.9% NaCl) 1, 7, 12 and 24 hours after application of APAP (solid line; n = 6 for each group). Cholinesterase inhibition with neostigmine improves hepatocellular damage in APAP-induced acute liver failure Following intoxication with APAP (600 mg/kg) i.p., animals were either treated with neostigmine (80 μg/kg) 1 and 7 hours afterwards or vehicle was applied. Mice were sacrificed after 12 h and serum was collected and analyzed for enzyme activities indicating liver injury. Neostigmine alleviated APAP-induced liver damage as reflected by significant reduction in LDH (47,147 ± 12,726 IU/l vs. 15,822 ± 10,629 IU/l, p = 0.0014) and ALT (18,048 ± 4,287 IU/l vs. 7,585 ± 5,336 IU/l, p = 0.0013). There was still a considerable, although not significant decline in AST (6,522 ± 1,338 IU/l vs. 4,048 ± 2,828 IU/l, p = 0.1575) (Figure 2). Serum levels of lactate dehydrogenase (LDH), aspartate aminotransferase (AST) and alanine aminotransferase (ALT) after acetaminophen (APAP)-induced liver injury are reduced by cholinesterase inhibition. 12 hours after application of 600 mg/kg APAP i.p., serum was collected from neostigmine-treated (80 μg/kg i.p. 1 and 7 hours after application of APAP) and control mice. LDH and serum-transaminases were measured (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Following intoxication with APAP (600 mg/kg) i.p., animals were either treated with neostigmine (80 μg/kg) 1 and 7 hours afterwards or vehicle was applied. Mice were sacrificed after 12 h and serum was collected and analyzed for enzyme activities indicating liver injury. Neostigmine alleviated APAP-induced liver damage as reflected by significant reduction in LDH (47,147 ± 12,726 IU/l vs. 15,822 ± 10,629 IU/l, p = 0.0014) and ALT (18,048 ± 4,287 IU/l vs. 7,585 ± 5,336 IU/l, p = 0.0013). There was still a considerable, although not significant decline in AST (6,522 ± 1,338 IU/l vs. 4,048 ± 2,828 IU/l, p = 0.1575) (Figure 2). Serum levels of lactate dehydrogenase (LDH), aspartate aminotransferase (AST) and alanine aminotransferase (ALT) after acetaminophen (APAP)-induced liver injury are reduced by cholinesterase inhibition. 12 hours after application of 600 mg/kg APAP i.p., serum was collected from neostigmine-treated (80 μg/kg i.p. 1 and 7 hours after application of APAP) and control mice. LDH and serum-transaminases were measured (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Cholinesterase inhibition with neostigmine reduces histopathological liver damage and apoptosis in APAP-induced acute liver failure In addition to serum enzyme levels we analyzed liver histopathology for signs of neostigmine-mediated protection from APAP-induced hepatotoxicity (Figure 3A-C). Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of centrilobular necrosis than control mice (area of necrosis 44 ± 16% vs. 23 ± 10%, p = 0.0228) (Figure 3D). The extent of hemorrhage decreased in the neostigmine treatment group compared to control mice (3 ± 1 vs. 1 ± 1 on a scale from 0–3, p = 0.0065) (Figure 3E).To determine the extend of apoptosis we performed terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) stainings of liver sections. Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of DNA fragmentation than control mice (TUNEL-positive cells expressed as percentages of the total number of hepatocytes 19.5 ± 3.8% vs. 9.3 ± 4.8%, p < 0.0122) (Figure 4A-D). Acetaminophen (APAP)-induced centrilobular necrosis in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative H & E-stained liver sections (100× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) Area of necrosis (% of area). (E) Hemorrhage [0–3] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Hepatic histological changes assessed by TUNEL assay in acetaminophen (APAP)-induced liver injury in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative TUNEL-stained liver sections (200× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) TUNEL-positive cells per field of vision [%] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). In addition to serum enzyme levels we analyzed liver histopathology for signs of neostigmine-mediated protection from APAP-induced hepatotoxicity (Figure 3A-C). Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of centrilobular necrosis than control mice (area of necrosis 44 ± 16% vs. 23 ± 10%, p = 0.0228) (Figure 3D). The extent of hemorrhage decreased in the neostigmine treatment group compared to control mice (3 ± 1 vs. 1 ± 1 on a scale from 0–3, p = 0.0065) (Figure 3E).To determine the extend of apoptosis we performed terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) stainings of liver sections. Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of DNA fragmentation than control mice (TUNEL-positive cells expressed as percentages of the total number of hepatocytes 19.5 ± 3.8% vs. 9.3 ± 4.8%, p < 0.0122) (Figure 4A-D). Acetaminophen (APAP)-induced centrilobular necrosis in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative H & E-stained liver sections (100× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) Area of necrosis (% of area). (E) Hemorrhage [0–3] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Hepatic histological changes assessed by TUNEL assay in acetaminophen (APAP)-induced liver injury in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative TUNEL-stained liver sections (200× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) TUNEL-positive cells per field of vision [%] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Cholinesterase inhibition with neostigmine reduces pro-inflammatory mediator generation in APAP-induced acute liver failure Treatment of mice with neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) significantly reduced IL-1β serum levels compared to control mice, which were applied vehicle (147 ± 19 vs. 110 ± 25, p = 0.0138). In two out of 6 neostigmine-treated animals, IL-1β even dropped below detection levels of the selected assay (Figure 5A). In line with a reduction of IL-1β, we could observe significantly lower levels of TNF-α (184 ± 23 vs. 130 ± 33, p = 0.0086) in neostigmine-treated mice (Figure 5B). Administration of neostigmine reduces serum cytokine levels. 12 h after induction of acute liver failure by acetaminophen (600 mg/kg APAP i.p.), serum was collected from neostigmine-treated (80 μg/kg, 1 and 7 hours after application of APAP) and control mice. Cytokine concentrations of (A) IL-1β and (B) TNF-α were measured by enzyme-linked immunosorbent assay (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Treatment of mice with neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) significantly reduced IL-1β serum levels compared to control mice, which were applied vehicle (147 ± 19 vs. 110 ± 25, p = 0.0138). In two out of 6 neostigmine-treated animals, IL-1β even dropped below detection levels of the selected assay (Figure 5A). In line with a reduction of IL-1β, we could observe significantly lower levels of TNF-α (184 ± 23 vs. 130 ± 33, p = 0.0086) in neostigmine-treated mice (Figure 5B). Administration of neostigmine reduces serum cytokine levels. 12 h after induction of acute liver failure by acetaminophen (600 mg/kg APAP i.p.), serum was collected from neostigmine-treated (80 μg/kg, 1 and 7 hours after application of APAP) and control mice. Cytokine concentrations of (A) IL-1β and (B) TNF-α were measured by enzyme-linked immunosorbent assay (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). NAC and neostigmine show an additive effect in the combined treatment of APAP-induced acute liver failure Since N-acetyl-cysteine (NAC) is an established and frequently effective treatment for patients intoxicated with APAP, we evaluated an add-on therapeutic benefit of neostigmine. With a dosing of 750 mg/kg APAP and a therapeutical treatment with 300 mg/kg NAC after 2 hours all mice (4 of 4) survived a 48-hour observation period (data not shown), consistent with previously published data [25,27]. To assess the effect of combination treatment with neostigmine, NAC was applied at suboptimal doses [28]. All mice were treated with 750 mg/kg APAP and a therapeutical treatment with 75 mg/kg NAC after 2 hours or with 75 mg/kg NAC after 2 hours combined with successive applications of neostigmine (80 μg/kg) after 2, 7, 12 and 24 hours. In this experimental set-up neostigmine significantly (plog-rank = 0.0260) prolonged survival and changed outcome. Specifically, during a 48-hour observation period, mortality was 6 of 8 for APAP plus NAC and 2 of 8 for APAP plus NAC plus neostigmine (Figure 6). Combined treatment with N-acetyl-cysteine (NAC) and neostigmine show an additive effect in acute liver failure (ALF) induced by acetaminophen (APAP). All mice were treated with a dosing of 750 mg/kg APAP i.p. and a therapeutical treatment with 75 mg/kg NAC i.p. after 2 hours (solid line) or in a combined set-up with 75 mg/kg NAC after 2 hours and successive applications of neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours (dashed line, plog-rank = 0.0260; n = 8 for each group). Mice were monitored for 48 hours. Since N-acetyl-cysteine (NAC) is an established and frequently effective treatment for patients intoxicated with APAP, we evaluated an add-on therapeutic benefit of neostigmine. With a dosing of 750 mg/kg APAP and a therapeutical treatment with 300 mg/kg NAC after 2 hours all mice (4 of 4) survived a 48-hour observation period (data not shown), consistent with previously published data [25,27]. To assess the effect of combination treatment with neostigmine, NAC was applied at suboptimal doses [28]. All mice were treated with 750 mg/kg APAP and a therapeutical treatment with 75 mg/kg NAC after 2 hours or with 75 mg/kg NAC after 2 hours combined with successive applications of neostigmine (80 μg/kg) after 2, 7, 12 and 24 hours. In this experimental set-up neostigmine significantly (plog-rank = 0.0260) prolonged survival and changed outcome. Specifically, during a 48-hour observation period, mortality was 6 of 8 for APAP plus NAC and 2 of 8 for APAP plus NAC plus neostigmine (Figure 6). Combined treatment with N-acetyl-cysteine (NAC) and neostigmine show an additive effect in acute liver failure (ALF) induced by acetaminophen (APAP). All mice were treated with a dosing of 750 mg/kg APAP i.p. and a therapeutical treatment with 75 mg/kg NAC i.p. after 2 hours (solid line) or in a combined set-up with 75 mg/kg NAC after 2 hours and successive applications of neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours (dashed line, plog-rank = 0.0260; n = 8 for each group). Mice were monitored for 48 hours.
Conclusions
In conclusion our findings point to a potential benefit of the cholinesterase inhibitor neostigmine in acute liver failure induced by APAP by modulation of unbalanced anti-inflammatory pathways. Further studies are needed to determine the exact role of the cholinergic system in acute liver failure and to assess cholinesterase inhibitors as a potential therapeutic option in affected patients.
[ "Background", "Reagents", "Animals", "Animal model and experimental groups", "Assays", "Histology", "Statistical analysis", "Cholinesterase inhibition with neostigmine improves survival in APAP-induced acute liver failure", "Cholinesterase inhibition with neostigmine improves hepatocellular damage in APAP-induced acute liver failure", "Cholinesterase inhibition with neostigmine reduces histopathological liver damage and apoptosis in APAP-induced acute liver failure", "Cholinesterase inhibition with neostigmine reduces pro-inflammatory mediator generation in APAP-induced acute liver failure", "NAC and neostigmine show an additive effect in the combined treatment of APAP-induced acute liver failure", "Abbreviations", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "Acetaminophen (APAP) is one of the most commonly used pharmaceuticals in the world. It has a well-established record of safety and efficacy. However, taken in overdoses, APAP causes severe hepatic necrosis frequently leading to acute liver failure (ALF). APAP poisoning accounts for more than 30,000 hospital admissions and approximately 500 deaths every year in the U.S.A. alone [1-6]. With limited therapeutic options, besides the application of N-acetyl-cysteine (NAC), there is a need for further therapeutic alternatives to improve outcome and prevent death or orthotopic liver transplantation in affected patients [7-10]. APAP-induced ALF is a sterile inflammatory condition, with local and systemic inflammatory responses mediated by the release of pro-inflammatory cytokines from innate immune cells (e.g. neutrophils and Kupffer cells) and activation and migration of macrophages into the liver [11]. The cholinergic anti-inflammatory pathway responds to ongoing inflammation through the vagus nerve and nicotinic acetylcholine receptors (nAChRs) expressed by cytokine-producing cells, such as macrophages, neutrophils, dendritic cells, histiocytes, Kupffer cells and mastocytes [12-16]. The parasympathetic neurotransmitter acetylcholine is released and binds to the α7 subunit of the nAChR to prevent the unbalanced overproduction of inflammatory mediators, such as IL-1β and TNF-α [12,17,18].\nThe aim of the current study was to analyze the role of the acetylcholinesterase inhibitor neostigmine in modulation of APAP-induced acute liver failure via increasing the levels of acetylcholine and stimulation of the cholinergic anti-inflammatory pathway.", "Neostigmine was purchased from Actavis (Munich, Germany), acetaminophen (APAP) from Fresenius Kabi (Bad Homburg, Germany) and N-acetyl-cysteine (NAC) from CSC Pharmaceuticals (Bisamberg, Austria).", "Male BALB/c mice (Charles River Laboratories, Sulzfeld, Germany) at 10 weeks of age were used in all experiments. The animals received humane care and were kept on a 12-hour light/dark cycle in a temperature-controlled room, with free access to food and water. The protocol was approved by the Animal Care and Use Committee of the University of Heidelberg.", "Acute liver failure was induced by intraperitoneal (i.p.) injections of APAP (600 mg/kg) after overnight food deprivation. Subsequently, the animals in the treatment group received an i.p. injection of the acetylcholinesterase inhibitor neostigmine (80 μg/kg) either 1 hour before or 1 hour after application of APAP as indicated, followed by successive applications of neostigmine after 7, 12 and 24 hours. Control mice received analogous volumes of saline. Dosing of APAP and neostigmine were based on earlier studies [19-21]. For assessment of liver damage, mice were sacrificed 12 hours after application of APAP and blood and tissue samples were harvested. In previous studies with similar dosing of APAP the peak level of histological and serological changes was reached after the selected time point [22-24]. Whole blood samples were allowed to clot and then centrifuged at 1000 g for 5 minutes. Serum was collected and stored at −80°C. Liver sections were fixed in 4% phosphate buffered formalin and embedded in paraffin for histological analysis.\nIn subsequent experiments mice were dosed with 750 mg/kg APAP and an additional application of 300 mg/kg (1.84 mmol/kg) NAC i.p. 2 hours thereafter. Furthermore, after intoxication with 750 mg/kg APAP, mice were either dosed with 75 mg/kg (0.46 mmol/kg) NAC i.p. after 2 hours, as the sole treatment, or along with neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours [25-28].\nFor the survival experiments mice were monitored throughout the experimental period.", "Serum alanine aminotransferase (ALT), aspartate aminotransferase (AST) and lactate dehydrogenase (LDH) were measured in the Institute of Clinical and Laboratory Medicine at the University Hospital Heidelberg by standard procedures.\nSerum was subjected to enzyme-linked immunosorbent assay (ELISA) for determination of IL-1β and TNF-α contents according to the manufacturers recommendations. ELISA kits were purchased from Quiagen (Gaithersburg, MD, USA).", "Livers were fixed in 4% buffered formalin and embedded in paraffin. Sections (3 μm in thickness) were cut and H & E staining was performed according to standard protocols. Slides were evaluated by an experienced liver pathologist (C.M.) blinded to the origin of the specimens with special regard to liver architecture, cellular changes, extent of necrosis (% of liver), and level of hemorrhage scored on a four-point scale (0–3; 0 none, 1 mild, 2 moderate, 3 severe). For the terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) assay, sections of liver (3 μm in thickness) were stained with the ApopTag Apoptosis Detection Kit (Merck Millipore, Billerica, MA, USA) as described in the manufacturer’s instructions. TUNEL-positive cells were counted in 10 randomly selected microscopic fields (×200) per section and expressed as percentages of the total number of hepatocytes.", "Variables are expressed by mean and standard deviation. Statistical significance was evaluated using Student’s t-test or Mann-Whitney’s U test. The survival curve obtained by the Kaplan-Meier procedure was analyzed by log-rank test. A p value < 0.05 was considered statistically significant. Statistical analysis was performed using GraphPad Prism software (version 6.0, GraphPad Software, Inc., La Jolla, CA, USA).", "Animals treated with neostigmine (80 μg/kg) one hour before intoxication with APAP (600 mg/kg) and repeatedly 7 and 12 hours afterwards showed significantly improved survival compared to control animals (mean survival time in hours 21 ± 7 vs. 13 ± 2, plog-rank = 0.0046). To assess a delayed application of neostigmine as a therapeutic option after application of APAP, animals were treated with neostigmine (80 μg/kg) 1 hour after intoxication with APAP and repeatedly 7 and 12 hours afterwards. Therapeutic treatment resulted in prolonged survival compared to control animals (mean survival time in hours 16 ± 5 vs. 13 ± 2, plog-rank = 0.1860), which however failed to reach statistical significance (Figure 1).\nCholinesterase inhibition protects against acute liver failure (ALF) induced by acetaminophen (APAP). All mice received 600 mg/kg APAP i.p.. Neostigmine-treated animals received 80 μg/kg neostigmine 1 hour prior to application of APAP and 7, 12 and 24 hours thereafter (dotted line, plog-rank = 0.0046) or 1, 7, 12 and 24 hours after application of APAP (dashed line, plog-rank = 0.1860). Control mice received solvent (0.9% NaCl) 1, 7, 12 and 24 hours after application of APAP (solid line; n = 6 for each group).", "Following intoxication with APAP (600 mg/kg) i.p., animals were either treated with neostigmine (80 μg/kg) 1 and 7 hours afterwards or vehicle was applied. Mice were sacrificed after 12 h and serum was collected and analyzed for enzyme activities indicating liver injury. Neostigmine alleviated APAP-induced liver damage as reflected by significant reduction in LDH (47,147 ± 12,726 IU/l vs. 15,822 ± 10,629 IU/l, p = 0.0014) and ALT (18,048 ± 4,287 IU/l vs. 7,585 ± 5,336 IU/l, p = 0.0013). There was still a considerable, although not significant decline in AST (6,522 ± 1,338 IU/l vs. 4,048 ± 2,828 IU/l, p = 0.1575) (Figure 2).\nSerum levels of lactate dehydrogenase (LDH), aspartate aminotransferase (AST) and alanine aminotransferase (ALT) after acetaminophen (APAP)-induced liver injury are reduced by cholinesterase inhibition. 12 hours after application of 600 mg/kg APAP i.p., serum was collected from neostigmine-treated (80 μg/kg i.p. 1 and 7 hours after application of APAP) and control mice. LDH and serum-transaminases were measured (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).", "In addition to serum enzyme levels we analyzed liver histopathology for signs of neostigmine-mediated protection from APAP-induced hepatotoxicity (Figure 3A-C). Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of centrilobular necrosis than control mice (area of necrosis 44 ± 16% vs. 23 ± 10%, p = 0.0228) (Figure 3D). The extent of hemorrhage decreased in the neostigmine treatment group compared to control mice (3 ± 1 vs. 1 ± 1 on a scale from 0–3, p = 0.0065) (Figure 3E).To determine the extend of apoptosis we performed terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) stainings of liver sections. Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of DNA fragmentation than control mice (TUNEL-positive cells expressed as percentages of the total number of hepatocytes 19.5 ± 3.8% vs. 9.3 ± 4.8%, p < 0.0122) (Figure 4A-D).\nAcetaminophen (APAP)-induced centrilobular necrosis in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative H & E-stained liver sections (100× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) Area of necrosis (% of area). (E) Hemorrhage [0–3] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).\nHepatic histological changes assessed by TUNEL assay in acetaminophen (APAP)-induced liver injury in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative TUNEL-stained liver sections (200× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) TUNEL-positive cells per field of vision [%] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).", "Treatment of mice with neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) significantly reduced IL-1β serum levels compared to control mice, which were applied vehicle (147 ± 19 vs. 110 ± 25, p = 0.0138). In two out of 6 neostigmine-treated animals, IL-1β even dropped below detection levels of the selected assay (Figure 5A). In line with a reduction of IL-1β, we could observe significantly lower levels of TNF-α (184 ± 23 vs. 130 ± 33, p = 0.0086) in neostigmine-treated mice (Figure 5B).\nAdministration of neostigmine reduces serum cytokine levels. 12 h after induction of acute liver failure by acetaminophen (600 mg/kg APAP i.p.), serum was collected from neostigmine-treated (80 μg/kg, 1 and 7 hours after application of APAP) and control mice. Cytokine concentrations of (A) IL-1β and (B) TNF-α were measured by enzyme-linked immunosorbent assay (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).", "Since N-acetyl-cysteine (NAC) is an established and frequently effective treatment for patients intoxicated with APAP, we evaluated an add-on therapeutic benefit of neostigmine.\nWith a dosing of 750 mg/kg APAP and a therapeutical treatment with 300 mg/kg NAC after 2 hours all mice (4 of 4) survived a 48-hour observation period (data not shown), consistent with previously published data [25,27]. To assess the effect of combination treatment with neostigmine, NAC was applied at suboptimal doses [28]. All mice were treated with 750 mg/kg APAP and a therapeutical treatment with 75 mg/kg NAC after 2 hours or with 75 mg/kg NAC after 2 hours combined with successive applications of neostigmine (80 μg/kg) after 2, 7, 12 and 24 hours. In this experimental set-up neostigmine significantly (plog-rank = 0.0260) prolonged survival and changed outcome. Specifically, during a 48-hour observation period, mortality was 6 of 8 for APAP plus NAC and 2 of 8 for APAP plus NAC plus neostigmine (Figure 6).\nCombined treatment with N-acetyl-cysteine (NAC) and neostigmine show an additive effect in acute liver failure (ALF) induced by acetaminophen (APAP). All mice were treated with a dosing of 750 mg/kg APAP i.p. and a therapeutical treatment with 75 mg/kg NAC i.p. after 2 hours (solid line) or in a combined set-up with 75 mg/kg NAC after 2 hours and successive applications of neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours (dashed line, plog-rank = 0.0260; n = 8 for each group). Mice were monitored for 48 hours.", "ALF: Acute liver failure; ALT: Alanine aminotransferase; APAP: N-acetyl-para-amino-phenol, acetaminophen; AST: Aspartate aminotransferase; DAMP: Damage-associated molecular pattern; ELISA: Enzyme-linked immunosorbent assay; GTS-21: 3-(2, 4-dimethoxybenzylidene)-anabaseine; H & E: Hematoxylin and eosin; HMGB1: High-mobility group box-1; i.p.: Intraperitoneal; IL-1β: Interleukin-1 β; LDH: Lactate dehydrogenase; NAC: N-acetyl-cysteine; nAChR: Nicotinic acetylcholine receptor; NAPQI: N-acetyl-para-benzoquinone imine; TLR: Toll-like receptor; TNF-α: Tumor necrosis factor α; TUNEL: Terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling.", "The authors declare that they have no competing interests.", "NS collected and analyzed experimental results, performed the statistical analysis and drafted the manuscript. CM, SV, BH and CS collected and analyzed experimental results and helped to draft the manuscript. WS helped to draft the manuscript. CE conceived of the study, participated in its design and coordination, analyzed experimental results and helped to draft the manuscript. All authors read and approved the final manuscript.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-230X/14/148/prepub\n" ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Reagents", "Animals", "Animal model and experimental groups", "Assays", "Histology", "Statistical analysis", "Results", "Cholinesterase inhibition with neostigmine improves survival in APAP-induced acute liver failure", "Cholinesterase inhibition with neostigmine improves hepatocellular damage in APAP-induced acute liver failure", "Cholinesterase inhibition with neostigmine reduces histopathological liver damage and apoptosis in APAP-induced acute liver failure", "Cholinesterase inhibition with neostigmine reduces pro-inflammatory mediator generation in APAP-induced acute liver failure", "NAC and neostigmine show an additive effect in the combined treatment of APAP-induced acute liver failure", "Discussion", "Conclusions", "Abbreviations", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "Acetaminophen (APAP) is one of the most commonly used pharmaceuticals in the world. It has a well-established record of safety and efficacy. However, taken in overdoses, APAP causes severe hepatic necrosis frequently leading to acute liver failure (ALF). APAP poisoning accounts for more than 30,000 hospital admissions and approximately 500 deaths every year in the U.S.A. alone [1-6]. With limited therapeutic options, besides the application of N-acetyl-cysteine (NAC), there is a need for further therapeutic alternatives to improve outcome and prevent death or orthotopic liver transplantation in affected patients [7-10]. APAP-induced ALF is a sterile inflammatory condition, with local and systemic inflammatory responses mediated by the release of pro-inflammatory cytokines from innate immune cells (e.g. neutrophils and Kupffer cells) and activation and migration of macrophages into the liver [11]. The cholinergic anti-inflammatory pathway responds to ongoing inflammation through the vagus nerve and nicotinic acetylcholine receptors (nAChRs) expressed by cytokine-producing cells, such as macrophages, neutrophils, dendritic cells, histiocytes, Kupffer cells and mastocytes [12-16]. The parasympathetic neurotransmitter acetylcholine is released and binds to the α7 subunit of the nAChR to prevent the unbalanced overproduction of inflammatory mediators, such as IL-1β and TNF-α [12,17,18].\nThe aim of the current study was to analyze the role of the acetylcholinesterase inhibitor neostigmine in modulation of APAP-induced acute liver failure via increasing the levels of acetylcholine and stimulation of the cholinergic anti-inflammatory pathway.", " Reagents Neostigmine was purchased from Actavis (Munich, Germany), acetaminophen (APAP) from Fresenius Kabi (Bad Homburg, Germany) and N-acetyl-cysteine (NAC) from CSC Pharmaceuticals (Bisamberg, Austria).\nNeostigmine was purchased from Actavis (Munich, Germany), acetaminophen (APAP) from Fresenius Kabi (Bad Homburg, Germany) and N-acetyl-cysteine (NAC) from CSC Pharmaceuticals (Bisamberg, Austria).\n Animals Male BALB/c mice (Charles River Laboratories, Sulzfeld, Germany) at 10 weeks of age were used in all experiments. The animals received humane care and were kept on a 12-hour light/dark cycle in a temperature-controlled room, with free access to food and water. The protocol was approved by the Animal Care and Use Committee of the University of Heidelberg.\nMale BALB/c mice (Charles River Laboratories, Sulzfeld, Germany) at 10 weeks of age were used in all experiments. The animals received humane care and were kept on a 12-hour light/dark cycle in a temperature-controlled room, with free access to food and water. The protocol was approved by the Animal Care and Use Committee of the University of Heidelberg.\n Animal model and experimental groups Acute liver failure was induced by intraperitoneal (i.p.) injections of APAP (600 mg/kg) after overnight food deprivation. Subsequently, the animals in the treatment group received an i.p. injection of the acetylcholinesterase inhibitor neostigmine (80 μg/kg) either 1 hour before or 1 hour after application of APAP as indicated, followed by successive applications of neostigmine after 7, 12 and 24 hours. Control mice received analogous volumes of saline. Dosing of APAP and neostigmine were based on earlier studies [19-21]. For assessment of liver damage, mice were sacrificed 12 hours after application of APAP and blood and tissue samples were harvested. In previous studies with similar dosing of APAP the peak level of histological and serological changes was reached after the selected time point [22-24]. Whole blood samples were allowed to clot and then centrifuged at 1000 g for 5 minutes. Serum was collected and stored at −80°C. Liver sections were fixed in 4% phosphate buffered formalin and embedded in paraffin for histological analysis.\nIn subsequent experiments mice were dosed with 750 mg/kg APAP and an additional application of 300 mg/kg (1.84 mmol/kg) NAC i.p. 2 hours thereafter. Furthermore, after intoxication with 750 mg/kg APAP, mice were either dosed with 75 mg/kg (0.46 mmol/kg) NAC i.p. after 2 hours, as the sole treatment, or along with neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours [25-28].\nFor the survival experiments mice were monitored throughout the experimental period.\nAcute liver failure was induced by intraperitoneal (i.p.) injections of APAP (600 mg/kg) after overnight food deprivation. Subsequently, the animals in the treatment group received an i.p. injection of the acetylcholinesterase inhibitor neostigmine (80 μg/kg) either 1 hour before or 1 hour after application of APAP as indicated, followed by successive applications of neostigmine after 7, 12 and 24 hours. Control mice received analogous volumes of saline. Dosing of APAP and neostigmine were based on earlier studies [19-21]. For assessment of liver damage, mice were sacrificed 12 hours after application of APAP and blood and tissue samples were harvested. In previous studies with similar dosing of APAP the peak level of histological and serological changes was reached after the selected time point [22-24]. Whole blood samples were allowed to clot and then centrifuged at 1000 g for 5 minutes. Serum was collected and stored at −80°C. Liver sections were fixed in 4% phosphate buffered formalin and embedded in paraffin for histological analysis.\nIn subsequent experiments mice were dosed with 750 mg/kg APAP and an additional application of 300 mg/kg (1.84 mmol/kg) NAC i.p. 2 hours thereafter. Furthermore, after intoxication with 750 mg/kg APAP, mice were either dosed with 75 mg/kg (0.46 mmol/kg) NAC i.p. after 2 hours, as the sole treatment, or along with neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours [25-28].\nFor the survival experiments mice were monitored throughout the experimental period.\n Assays Serum alanine aminotransferase (ALT), aspartate aminotransferase (AST) and lactate dehydrogenase (LDH) were measured in the Institute of Clinical and Laboratory Medicine at the University Hospital Heidelberg by standard procedures.\nSerum was subjected to enzyme-linked immunosorbent assay (ELISA) for determination of IL-1β and TNF-α contents according to the manufacturers recommendations. ELISA kits were purchased from Quiagen (Gaithersburg, MD, USA).\nSerum alanine aminotransferase (ALT), aspartate aminotransferase (AST) and lactate dehydrogenase (LDH) were measured in the Institute of Clinical and Laboratory Medicine at the University Hospital Heidelberg by standard procedures.\nSerum was subjected to enzyme-linked immunosorbent assay (ELISA) for determination of IL-1β and TNF-α contents according to the manufacturers recommendations. ELISA kits were purchased from Quiagen (Gaithersburg, MD, USA).\n Histology Livers were fixed in 4% buffered formalin and embedded in paraffin. Sections (3 μm in thickness) were cut and H & E staining was performed according to standard protocols. Slides were evaluated by an experienced liver pathologist (C.M.) blinded to the origin of the specimens with special regard to liver architecture, cellular changes, extent of necrosis (% of liver), and level of hemorrhage scored on a four-point scale (0–3; 0 none, 1 mild, 2 moderate, 3 severe). For the terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) assay, sections of liver (3 μm in thickness) were stained with the ApopTag Apoptosis Detection Kit (Merck Millipore, Billerica, MA, USA) as described in the manufacturer’s instructions. TUNEL-positive cells were counted in 10 randomly selected microscopic fields (×200) per section and expressed as percentages of the total number of hepatocytes.\nLivers were fixed in 4% buffered formalin and embedded in paraffin. Sections (3 μm in thickness) were cut and H & E staining was performed according to standard protocols. Slides were evaluated by an experienced liver pathologist (C.M.) blinded to the origin of the specimens with special regard to liver architecture, cellular changes, extent of necrosis (% of liver), and level of hemorrhage scored on a four-point scale (0–3; 0 none, 1 mild, 2 moderate, 3 severe). For the terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) assay, sections of liver (3 μm in thickness) were stained with the ApopTag Apoptosis Detection Kit (Merck Millipore, Billerica, MA, USA) as described in the manufacturer’s instructions. TUNEL-positive cells were counted in 10 randomly selected microscopic fields (×200) per section and expressed as percentages of the total number of hepatocytes.\n Statistical analysis Variables are expressed by mean and standard deviation. Statistical significance was evaluated using Student’s t-test or Mann-Whitney’s U test. The survival curve obtained by the Kaplan-Meier procedure was analyzed by log-rank test. A p value < 0.05 was considered statistically significant. Statistical analysis was performed using GraphPad Prism software (version 6.0, GraphPad Software, Inc., La Jolla, CA, USA).\nVariables are expressed by mean and standard deviation. Statistical significance was evaluated using Student’s t-test or Mann-Whitney’s U test. The survival curve obtained by the Kaplan-Meier procedure was analyzed by log-rank test. A p value < 0.05 was considered statistically significant. Statistical analysis was performed using GraphPad Prism software (version 6.0, GraphPad Software, Inc., La Jolla, CA, USA).", "Neostigmine was purchased from Actavis (Munich, Germany), acetaminophen (APAP) from Fresenius Kabi (Bad Homburg, Germany) and N-acetyl-cysteine (NAC) from CSC Pharmaceuticals (Bisamberg, Austria).", "Male BALB/c mice (Charles River Laboratories, Sulzfeld, Germany) at 10 weeks of age were used in all experiments. The animals received humane care and were kept on a 12-hour light/dark cycle in a temperature-controlled room, with free access to food and water. The protocol was approved by the Animal Care and Use Committee of the University of Heidelberg.", "Acute liver failure was induced by intraperitoneal (i.p.) injections of APAP (600 mg/kg) after overnight food deprivation. Subsequently, the animals in the treatment group received an i.p. injection of the acetylcholinesterase inhibitor neostigmine (80 μg/kg) either 1 hour before or 1 hour after application of APAP as indicated, followed by successive applications of neostigmine after 7, 12 and 24 hours. Control mice received analogous volumes of saline. Dosing of APAP and neostigmine were based on earlier studies [19-21]. For assessment of liver damage, mice were sacrificed 12 hours after application of APAP and blood and tissue samples were harvested. In previous studies with similar dosing of APAP the peak level of histological and serological changes was reached after the selected time point [22-24]. Whole blood samples were allowed to clot and then centrifuged at 1000 g for 5 minutes. Serum was collected and stored at −80°C. Liver sections were fixed in 4% phosphate buffered formalin and embedded in paraffin for histological analysis.\nIn subsequent experiments mice were dosed with 750 mg/kg APAP and an additional application of 300 mg/kg (1.84 mmol/kg) NAC i.p. 2 hours thereafter. Furthermore, after intoxication with 750 mg/kg APAP, mice were either dosed with 75 mg/kg (0.46 mmol/kg) NAC i.p. after 2 hours, as the sole treatment, or along with neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours [25-28].\nFor the survival experiments mice were monitored throughout the experimental period.", "Serum alanine aminotransferase (ALT), aspartate aminotransferase (AST) and lactate dehydrogenase (LDH) were measured in the Institute of Clinical and Laboratory Medicine at the University Hospital Heidelberg by standard procedures.\nSerum was subjected to enzyme-linked immunosorbent assay (ELISA) for determination of IL-1β and TNF-α contents according to the manufacturers recommendations. ELISA kits were purchased from Quiagen (Gaithersburg, MD, USA).", "Livers were fixed in 4% buffered formalin and embedded in paraffin. Sections (3 μm in thickness) were cut and H & E staining was performed according to standard protocols. Slides were evaluated by an experienced liver pathologist (C.M.) blinded to the origin of the specimens with special regard to liver architecture, cellular changes, extent of necrosis (% of liver), and level of hemorrhage scored on a four-point scale (0–3; 0 none, 1 mild, 2 moderate, 3 severe). For the terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) assay, sections of liver (3 μm in thickness) were stained with the ApopTag Apoptosis Detection Kit (Merck Millipore, Billerica, MA, USA) as described in the manufacturer’s instructions. TUNEL-positive cells were counted in 10 randomly selected microscopic fields (×200) per section and expressed as percentages of the total number of hepatocytes.", "Variables are expressed by mean and standard deviation. Statistical significance was evaluated using Student’s t-test or Mann-Whitney’s U test. The survival curve obtained by the Kaplan-Meier procedure was analyzed by log-rank test. A p value < 0.05 was considered statistically significant. Statistical analysis was performed using GraphPad Prism software (version 6.0, GraphPad Software, Inc., La Jolla, CA, USA).", " Cholinesterase inhibition with neostigmine improves survival in APAP-induced acute liver failure Animals treated with neostigmine (80 μg/kg) one hour before intoxication with APAP (600 mg/kg) and repeatedly 7 and 12 hours afterwards showed significantly improved survival compared to control animals (mean survival time in hours 21 ± 7 vs. 13 ± 2, plog-rank = 0.0046). To assess a delayed application of neostigmine as a therapeutic option after application of APAP, animals were treated with neostigmine (80 μg/kg) 1 hour after intoxication with APAP and repeatedly 7 and 12 hours afterwards. Therapeutic treatment resulted in prolonged survival compared to control animals (mean survival time in hours 16 ± 5 vs. 13 ± 2, plog-rank = 0.1860), which however failed to reach statistical significance (Figure 1).\nCholinesterase inhibition protects against acute liver failure (ALF) induced by acetaminophen (APAP). All mice received 600 mg/kg APAP i.p.. Neostigmine-treated animals received 80 μg/kg neostigmine 1 hour prior to application of APAP and 7, 12 and 24 hours thereafter (dotted line, plog-rank = 0.0046) or 1, 7, 12 and 24 hours after application of APAP (dashed line, plog-rank = 0.1860). Control mice received solvent (0.9% NaCl) 1, 7, 12 and 24 hours after application of APAP (solid line; n = 6 for each group).\nAnimals treated with neostigmine (80 μg/kg) one hour before intoxication with APAP (600 mg/kg) and repeatedly 7 and 12 hours afterwards showed significantly improved survival compared to control animals (mean survival time in hours 21 ± 7 vs. 13 ± 2, plog-rank = 0.0046). To assess a delayed application of neostigmine as a therapeutic option after application of APAP, animals were treated with neostigmine (80 μg/kg) 1 hour after intoxication with APAP and repeatedly 7 and 12 hours afterwards. Therapeutic treatment resulted in prolonged survival compared to control animals (mean survival time in hours 16 ± 5 vs. 13 ± 2, plog-rank = 0.1860), which however failed to reach statistical significance (Figure 1).\nCholinesterase inhibition protects against acute liver failure (ALF) induced by acetaminophen (APAP). All mice received 600 mg/kg APAP i.p.. Neostigmine-treated animals received 80 μg/kg neostigmine 1 hour prior to application of APAP and 7, 12 and 24 hours thereafter (dotted line, plog-rank = 0.0046) or 1, 7, 12 and 24 hours after application of APAP (dashed line, plog-rank = 0.1860). Control mice received solvent (0.9% NaCl) 1, 7, 12 and 24 hours after application of APAP (solid line; n = 6 for each group).\n Cholinesterase inhibition with neostigmine improves hepatocellular damage in APAP-induced acute liver failure Following intoxication with APAP (600 mg/kg) i.p., animals were either treated with neostigmine (80 μg/kg) 1 and 7 hours afterwards or vehicle was applied. Mice were sacrificed after 12 h and serum was collected and analyzed for enzyme activities indicating liver injury. Neostigmine alleviated APAP-induced liver damage as reflected by significant reduction in LDH (47,147 ± 12,726 IU/l vs. 15,822 ± 10,629 IU/l, p = 0.0014) and ALT (18,048 ± 4,287 IU/l vs. 7,585 ± 5,336 IU/l, p = 0.0013). There was still a considerable, although not significant decline in AST (6,522 ± 1,338 IU/l vs. 4,048 ± 2,828 IU/l, p = 0.1575) (Figure 2).\nSerum levels of lactate dehydrogenase (LDH), aspartate aminotransferase (AST) and alanine aminotransferase (ALT) after acetaminophen (APAP)-induced liver injury are reduced by cholinesterase inhibition. 12 hours after application of 600 mg/kg APAP i.p., serum was collected from neostigmine-treated (80 μg/kg i.p. 1 and 7 hours after application of APAP) and control mice. LDH and serum-transaminases were measured (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).\nFollowing intoxication with APAP (600 mg/kg) i.p., animals were either treated with neostigmine (80 μg/kg) 1 and 7 hours afterwards or vehicle was applied. Mice were sacrificed after 12 h and serum was collected and analyzed for enzyme activities indicating liver injury. Neostigmine alleviated APAP-induced liver damage as reflected by significant reduction in LDH (47,147 ± 12,726 IU/l vs. 15,822 ± 10,629 IU/l, p = 0.0014) and ALT (18,048 ± 4,287 IU/l vs. 7,585 ± 5,336 IU/l, p = 0.0013). There was still a considerable, although not significant decline in AST (6,522 ± 1,338 IU/l vs. 4,048 ± 2,828 IU/l, p = 0.1575) (Figure 2).\nSerum levels of lactate dehydrogenase (LDH), aspartate aminotransferase (AST) and alanine aminotransferase (ALT) after acetaminophen (APAP)-induced liver injury are reduced by cholinesterase inhibition. 12 hours after application of 600 mg/kg APAP i.p., serum was collected from neostigmine-treated (80 μg/kg i.p. 1 and 7 hours after application of APAP) and control mice. LDH and serum-transaminases were measured (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).\n Cholinesterase inhibition with neostigmine reduces histopathological liver damage and apoptosis in APAP-induced acute liver failure In addition to serum enzyme levels we analyzed liver histopathology for signs of neostigmine-mediated protection from APAP-induced hepatotoxicity (Figure 3A-C). Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of centrilobular necrosis than control mice (area of necrosis 44 ± 16% vs. 23 ± 10%, p = 0.0228) (Figure 3D). The extent of hemorrhage decreased in the neostigmine treatment group compared to control mice (3 ± 1 vs. 1 ± 1 on a scale from 0–3, p = 0.0065) (Figure 3E).To determine the extend of apoptosis we performed terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) stainings of liver sections. Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of DNA fragmentation than control mice (TUNEL-positive cells expressed as percentages of the total number of hepatocytes 19.5 ± 3.8% vs. 9.3 ± 4.8%, p < 0.0122) (Figure 4A-D).\nAcetaminophen (APAP)-induced centrilobular necrosis in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative H & E-stained liver sections (100× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) Area of necrosis (% of area). (E) Hemorrhage [0–3] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).\nHepatic histological changes assessed by TUNEL assay in acetaminophen (APAP)-induced liver injury in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative TUNEL-stained liver sections (200× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) TUNEL-positive cells per field of vision [%] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).\nIn addition to serum enzyme levels we analyzed liver histopathology for signs of neostigmine-mediated protection from APAP-induced hepatotoxicity (Figure 3A-C). Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of centrilobular necrosis than control mice (area of necrosis 44 ± 16% vs. 23 ± 10%, p = 0.0228) (Figure 3D). The extent of hemorrhage decreased in the neostigmine treatment group compared to control mice (3 ± 1 vs. 1 ± 1 on a scale from 0–3, p = 0.0065) (Figure 3E).To determine the extend of apoptosis we performed terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) stainings of liver sections. Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of DNA fragmentation than control mice (TUNEL-positive cells expressed as percentages of the total number of hepatocytes 19.5 ± 3.8% vs. 9.3 ± 4.8%, p < 0.0122) (Figure 4A-D).\nAcetaminophen (APAP)-induced centrilobular necrosis in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative H & E-stained liver sections (100× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) Area of necrosis (% of area). (E) Hemorrhage [0–3] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).\nHepatic histological changes assessed by TUNEL assay in acetaminophen (APAP)-induced liver injury in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative TUNEL-stained liver sections (200× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) TUNEL-positive cells per field of vision [%] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).\n Cholinesterase inhibition with neostigmine reduces pro-inflammatory mediator generation in APAP-induced acute liver failure Treatment of mice with neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) significantly reduced IL-1β serum levels compared to control mice, which were applied vehicle (147 ± 19 vs. 110 ± 25, p = 0.0138). In two out of 6 neostigmine-treated animals, IL-1β even dropped below detection levels of the selected assay (Figure 5A). In line with a reduction of IL-1β, we could observe significantly lower levels of TNF-α (184 ± 23 vs. 130 ± 33, p = 0.0086) in neostigmine-treated mice (Figure 5B).\nAdministration of neostigmine reduces serum cytokine levels. 12 h after induction of acute liver failure by acetaminophen (600 mg/kg APAP i.p.), serum was collected from neostigmine-treated (80 μg/kg, 1 and 7 hours after application of APAP) and control mice. Cytokine concentrations of (A) IL-1β and (B) TNF-α were measured by enzyme-linked immunosorbent assay (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).\nTreatment of mice with neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) significantly reduced IL-1β serum levels compared to control mice, which were applied vehicle (147 ± 19 vs. 110 ± 25, p = 0.0138). In two out of 6 neostigmine-treated animals, IL-1β even dropped below detection levels of the selected assay (Figure 5A). In line with a reduction of IL-1β, we could observe significantly lower levels of TNF-α (184 ± 23 vs. 130 ± 33, p = 0.0086) in neostigmine-treated mice (Figure 5B).\nAdministration of neostigmine reduces serum cytokine levels. 12 h after induction of acute liver failure by acetaminophen (600 mg/kg APAP i.p.), serum was collected from neostigmine-treated (80 μg/kg, 1 and 7 hours after application of APAP) and control mice. Cytokine concentrations of (A) IL-1β and (B) TNF-α were measured by enzyme-linked immunosorbent assay (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).\n NAC and neostigmine show an additive effect in the combined treatment of APAP-induced acute liver failure Since N-acetyl-cysteine (NAC) is an established and frequently effective treatment for patients intoxicated with APAP, we evaluated an add-on therapeutic benefit of neostigmine.\nWith a dosing of 750 mg/kg APAP and a therapeutical treatment with 300 mg/kg NAC after 2 hours all mice (4 of 4) survived a 48-hour observation period (data not shown), consistent with previously published data [25,27]. To assess the effect of combination treatment with neostigmine, NAC was applied at suboptimal doses [28]. All mice were treated with 750 mg/kg APAP and a therapeutical treatment with 75 mg/kg NAC after 2 hours or with 75 mg/kg NAC after 2 hours combined with successive applications of neostigmine (80 μg/kg) after 2, 7, 12 and 24 hours. In this experimental set-up neostigmine significantly (plog-rank = 0.0260) prolonged survival and changed outcome. Specifically, during a 48-hour observation period, mortality was 6 of 8 for APAP plus NAC and 2 of 8 for APAP plus NAC plus neostigmine (Figure 6).\nCombined treatment with N-acetyl-cysteine (NAC) and neostigmine show an additive effect in acute liver failure (ALF) induced by acetaminophen (APAP). All mice were treated with a dosing of 750 mg/kg APAP i.p. and a therapeutical treatment with 75 mg/kg NAC i.p. after 2 hours (solid line) or in a combined set-up with 75 mg/kg NAC after 2 hours and successive applications of neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours (dashed line, plog-rank = 0.0260; n = 8 for each group). Mice were monitored for 48 hours.\nSince N-acetyl-cysteine (NAC) is an established and frequently effective treatment for patients intoxicated with APAP, we evaluated an add-on therapeutic benefit of neostigmine.\nWith a dosing of 750 mg/kg APAP and a therapeutical treatment with 300 mg/kg NAC after 2 hours all mice (4 of 4) survived a 48-hour observation period (data not shown), consistent with previously published data [25,27]. To assess the effect of combination treatment with neostigmine, NAC was applied at suboptimal doses [28]. All mice were treated with 750 mg/kg APAP and a therapeutical treatment with 75 mg/kg NAC after 2 hours or with 75 mg/kg NAC after 2 hours combined with successive applications of neostigmine (80 μg/kg) after 2, 7, 12 and 24 hours. In this experimental set-up neostigmine significantly (plog-rank = 0.0260) prolonged survival and changed outcome. Specifically, during a 48-hour observation period, mortality was 6 of 8 for APAP plus NAC and 2 of 8 for APAP plus NAC plus neostigmine (Figure 6).\nCombined treatment with N-acetyl-cysteine (NAC) and neostigmine show an additive effect in acute liver failure (ALF) induced by acetaminophen (APAP). All mice were treated with a dosing of 750 mg/kg APAP i.p. and a therapeutical treatment with 75 mg/kg NAC i.p. after 2 hours (solid line) or in a combined set-up with 75 mg/kg NAC after 2 hours and successive applications of neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours (dashed line, plog-rank = 0.0260; n = 8 for each group). Mice were monitored for 48 hours.", "Animals treated with neostigmine (80 μg/kg) one hour before intoxication with APAP (600 mg/kg) and repeatedly 7 and 12 hours afterwards showed significantly improved survival compared to control animals (mean survival time in hours 21 ± 7 vs. 13 ± 2, plog-rank = 0.0046). To assess a delayed application of neostigmine as a therapeutic option after application of APAP, animals were treated with neostigmine (80 μg/kg) 1 hour after intoxication with APAP and repeatedly 7 and 12 hours afterwards. Therapeutic treatment resulted in prolonged survival compared to control animals (mean survival time in hours 16 ± 5 vs. 13 ± 2, plog-rank = 0.1860), which however failed to reach statistical significance (Figure 1).\nCholinesterase inhibition protects against acute liver failure (ALF) induced by acetaminophen (APAP). All mice received 600 mg/kg APAP i.p.. Neostigmine-treated animals received 80 μg/kg neostigmine 1 hour prior to application of APAP and 7, 12 and 24 hours thereafter (dotted line, plog-rank = 0.0046) or 1, 7, 12 and 24 hours after application of APAP (dashed line, plog-rank = 0.1860). Control mice received solvent (0.9% NaCl) 1, 7, 12 and 24 hours after application of APAP (solid line; n = 6 for each group).", "Following intoxication with APAP (600 mg/kg) i.p., animals were either treated with neostigmine (80 μg/kg) 1 and 7 hours afterwards or vehicle was applied. Mice were sacrificed after 12 h and serum was collected and analyzed for enzyme activities indicating liver injury. Neostigmine alleviated APAP-induced liver damage as reflected by significant reduction in LDH (47,147 ± 12,726 IU/l vs. 15,822 ± 10,629 IU/l, p = 0.0014) and ALT (18,048 ± 4,287 IU/l vs. 7,585 ± 5,336 IU/l, p = 0.0013). There was still a considerable, although not significant decline in AST (6,522 ± 1,338 IU/l vs. 4,048 ± 2,828 IU/l, p = 0.1575) (Figure 2).\nSerum levels of lactate dehydrogenase (LDH), aspartate aminotransferase (AST) and alanine aminotransferase (ALT) after acetaminophen (APAP)-induced liver injury are reduced by cholinesterase inhibition. 12 hours after application of 600 mg/kg APAP i.p., serum was collected from neostigmine-treated (80 μg/kg i.p. 1 and 7 hours after application of APAP) and control mice. LDH and serum-transaminases were measured (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).", "In addition to serum enzyme levels we analyzed liver histopathology for signs of neostigmine-mediated protection from APAP-induced hepatotoxicity (Figure 3A-C). Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of centrilobular necrosis than control mice (area of necrosis 44 ± 16% vs. 23 ± 10%, p = 0.0228) (Figure 3D). The extent of hemorrhage decreased in the neostigmine treatment group compared to control mice (3 ± 1 vs. 1 ± 1 on a scale from 0–3, p = 0.0065) (Figure 3E).To determine the extend of apoptosis we performed terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) stainings of liver sections. Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of DNA fragmentation than control mice (TUNEL-positive cells expressed as percentages of the total number of hepatocytes 19.5 ± 3.8% vs. 9.3 ± 4.8%, p < 0.0122) (Figure 4A-D).\nAcetaminophen (APAP)-induced centrilobular necrosis in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative H & E-stained liver sections (100× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) Area of necrosis (% of area). (E) Hemorrhage [0–3] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).\nHepatic histological changes assessed by TUNEL assay in acetaminophen (APAP)-induced liver injury in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative TUNEL-stained liver sections (200× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) TUNEL-positive cells per field of vision [%] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).", "Treatment of mice with neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) significantly reduced IL-1β serum levels compared to control mice, which were applied vehicle (147 ± 19 vs. 110 ± 25, p = 0.0138). In two out of 6 neostigmine-treated animals, IL-1β even dropped below detection levels of the selected assay (Figure 5A). In line with a reduction of IL-1β, we could observe significantly lower levels of TNF-α (184 ± 23 vs. 130 ± 33, p = 0.0086) in neostigmine-treated mice (Figure 5B).\nAdministration of neostigmine reduces serum cytokine levels. 12 h after induction of acute liver failure by acetaminophen (600 mg/kg APAP i.p.), serum was collected from neostigmine-treated (80 μg/kg, 1 and 7 hours after application of APAP) and control mice. Cytokine concentrations of (A) IL-1β and (B) TNF-α were measured by enzyme-linked immunosorbent assay (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice).", "Since N-acetyl-cysteine (NAC) is an established and frequently effective treatment for patients intoxicated with APAP, we evaluated an add-on therapeutic benefit of neostigmine.\nWith a dosing of 750 mg/kg APAP and a therapeutical treatment with 300 mg/kg NAC after 2 hours all mice (4 of 4) survived a 48-hour observation period (data not shown), consistent with previously published data [25,27]. To assess the effect of combination treatment with neostigmine, NAC was applied at suboptimal doses [28]. All mice were treated with 750 mg/kg APAP and a therapeutical treatment with 75 mg/kg NAC after 2 hours or with 75 mg/kg NAC after 2 hours combined with successive applications of neostigmine (80 μg/kg) after 2, 7, 12 and 24 hours. In this experimental set-up neostigmine significantly (plog-rank = 0.0260) prolonged survival and changed outcome. Specifically, during a 48-hour observation period, mortality was 6 of 8 for APAP plus NAC and 2 of 8 for APAP plus NAC plus neostigmine (Figure 6).\nCombined treatment with N-acetyl-cysteine (NAC) and neostigmine show an additive effect in acute liver failure (ALF) induced by acetaminophen (APAP). All mice were treated with a dosing of 750 mg/kg APAP i.p. and a therapeutical treatment with 75 mg/kg NAC i.p. after 2 hours (solid line) or in a combined set-up with 75 mg/kg NAC after 2 hours and successive applications of neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours (dashed line, plog-rank = 0.0260; n = 8 for each group). Mice were monitored for 48 hours.", "Acetaminophen (APAP) is one of the most frequently used analgesic and antipyretic agents in the world. The drug has an excellent safety profile in therapeutic doses, however ingestion of overdoses can have serious hepatotoxic effects and even induce fatal acute liver failure (ALF) [1-6].\nAPAP is metabolized predominantly by two pathways, comprising conjugation by sulfation and glucuronidation as well as oxidation to a reactive intermediate, N-acetyl-para-benzoquinone imine (NAPQI), which in turn is conjugated with glutathione to form non-toxic metabolites [29,30]. Ingestion of APAP in supra-therapeutic doses leads to excessive production of NAPQI, depletion of intracellular stocks of glutathione and covalent binding of NAPQI to cellular and mitochondrial proteins and thereby causing nuclear DNA damage [31,32]. A series of intracellular events, via mitochondrial membrane dysfunction and modulation of gene transcription factors, and activation of the innate immune system of the liver, culminates in centrilobular hepatic necrosis [33,34]. Necrotic cells release various damage-associated molecular pattern (DAMP) molecules, such as high-mobility group box 1 (HMGB1), heat-shock proteins and DNA fragments, that are ligands for toll-like receptors (TLRs) on macrophages and other cell types [35]. Upon activation by DAMP molecules, innate immune cells infiltrate the damaged area and trigger the release of cytokines and chemokines, such as TNF-α and IL-1β, which lead to a massive hepatic infiltration of leukocytes, thereby causing sterile tissue inflammation that further amplifies the liver damage [4,23,31,32,36,37]. This excessive inflammatory response resulting in systemic inflammation can be more injurious than the inciting event and may progress to shock, diffuse coagulation, multiple organ failure and death [6,15,22].\nInterference in cytokine pathways can serve as an important target to limit inflammatory responses. After application of APAP, mice lacking TNF-α receptor as well as mice treated with anti-TNF-α antibodies showed a reduction in the neutrophil response and a concomitant significant attenuation of liver damage [38,39]. In addition, mice lacking IL-1β receptor, or neutralization of IL-1β in wild-type mice, resulted in significantly less APAP toxicity and decreased collateral damage from inflammation [40-43]. However, these same factors and other mediators, including IL-4, IL-6, IL-10 and IL-13 have also been associated with recruitment of monocytes for liver regeneration and tissue repair [44-46].\nCumulatively, these studies suggest that a complex series of immune reactions play an important role in mitigating the detrimental effects of a disproportionate inflammatory response while promoting local regeneration [25]. Therefore alterations in the balance of pro- and anti-inflammatory cytokine formation may contribute to the toxicity in APAP-induced liver failure.\nAn imminent regulator of the innate immune response is the cholinergic anti-inflammatory pathway. The central nervous system responds to inflammation via the vagus nerve by inhibiting the excessive release of inflammatory cytokines to balance the unfavorable effects of a disproportionate inflammatory response [23]. Efferent vagus neurons release acetylcholine, which binds to the nicotinic acetylcholine receptor subunit α7 (α7 nAChR) expressed on the cell membrane of macrophages and other cytokine secreting cells. Binding of acetylcholine to α7 nAChR inhibits release of pro-inflammatory cytokines [14,47]. The cholinergic anti-inflammatory pathway has been beneficial in experimental models of inflammation, including sepsis [12,18,19,48], inflammatory bowel disease [49] and pancreatitis [45].\nAugmentation of the efferent vagus nerve can be achieved by direct electrical simulation, peripheral stimulation by selective agonists of α7 nAChR, such as GTS-21 [20,45], nicotine [46] or cholinesterase inhibition with physostigmine or neostigmine [19,38]. The acetylcholinesterase inhibitor neostigmine, which enhances cholinergic signaling by increasing acetylcholine levels, improved survival and reduced cytokine levels of TNF-α and IL-1β and attenuated neutrophil lung infiltration in a cecal ligation and puncture sepsis model [19].\nIn our experiments we could show that neostigmine reduces the hepatotoxic effects of APAP and improves survival. Neostigmine improved liver function and lowered the levels of the inflammatory cytokines TNF-α and IL-1β. The protective effect of neostigmine by reducing systemic inflammation through the cholinergic pathway may be responsible for the improved survival following application of APAP. A trend toward a protective effect was even observed when the first dose of neostigmine treatment was delayed for 1 hour after intoxication with APAP. However, probably due to the limited case number in our study, statistical significance at the 5% level was missed.\nSince NAC is the cornerstone of clinical treatment of APAP intoxication, potential clinical use of neostigmine would likely be in combination with NAC. We could show that neostigmine in a combination with NAC prolonged survival and thus had an additive effect.\nA limitation in the comparison of data of previous models of APAP-induced liver failure in rodents is the strain-dependent susceptibility to liver injury. For example C57Bl/6 mice exhibit attenuated toxicity after APAP challenge compared to BALB/c mice for reasons not yet fully identified [39,42,50,51]. Furthermore, unfasted and female mice are less susceptible to APAP-hepatotoxicity [21,28,52].\nALF is a multistep process that involves apoptosis, necrosis and necroapoptosis. After intoxication with APAP, hepatocyte apoptosis occurs in the early phase (3 – 5 hours) and shifts towards necrosis at later time points (10 – 15 hours) [48]. In ALF, induction of the energy-consuming process of apoptosis may lead to massive necrosis, once energy resources are exhausted [49,53,54]. This shift in cell death dynamics is reflected by cytokeratin 18 levels in the serum in patients with ALF and has recently been implemented in a cytokeratin 18-based modification of the Model for End-Stage Liver Disease (MELD) score with an improved prediction of survival [49]. Consistent with this concept we could show decreased induction of apoptosis in livers of neostigmine treated mice, which may in turn lead to decreased liver necrosis and may provide a rationale for neostigmine treatment.\nCholinesterase inhibition with neostigmine in humans seems feasible, as it has long been established for clinical use for other applications such as antagonization of muscle relaxants [55].", "In conclusion our findings point to a potential benefit of the cholinesterase inhibitor neostigmine in acute liver failure induced by APAP by modulation of unbalanced anti-inflammatory pathways. Further studies are needed to determine the exact role of the cholinergic system in acute liver failure and to assess cholinesterase inhibitors as a potential therapeutic option in affected patients.", "ALF: Acute liver failure; ALT: Alanine aminotransferase; APAP: N-acetyl-para-amino-phenol, acetaminophen; AST: Aspartate aminotransferase; DAMP: Damage-associated molecular pattern; ELISA: Enzyme-linked immunosorbent assay; GTS-21: 3-(2, 4-dimethoxybenzylidene)-anabaseine; H & E: Hematoxylin and eosin; HMGB1: High-mobility group box-1; i.p.: Intraperitoneal; IL-1β: Interleukin-1 β; LDH: Lactate dehydrogenase; NAC: N-acetyl-cysteine; nAChR: Nicotinic acetylcholine receptor; NAPQI: N-acetyl-para-benzoquinone imine; TLR: Toll-like receptor; TNF-α: Tumor necrosis factor α; TUNEL: Terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling.", "The authors declare that they have no competing interests.", "NS collected and analyzed experimental results, performed the statistical analysis and drafted the manuscript. CM, SV, BH and CS collected and analyzed experimental results and helped to draft the manuscript. WS helped to draft the manuscript. CE conceived of the study, participated in its design and coordination, analyzed experimental results and helped to draft the manuscript. All authors read and approved the final manuscript.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-230X/14/148/prepub\n" ]
[ null, "methods", null, null, null, null, null, null, "results", null, null, null, null, null, "discussion", "conclusions", null, null, null, null ]
[ "Acute liver failure", "Acetaminophen", "Cholinergic anti-inflammatory pathway", "Cholinesterase inhibition" ]
Background: Acetaminophen (APAP) is one of the most commonly used pharmaceuticals in the world. It has a well-established record of safety and efficacy. However, taken in overdoses, APAP causes severe hepatic necrosis frequently leading to acute liver failure (ALF). APAP poisoning accounts for more than 30,000 hospital admissions and approximately 500 deaths every year in the U.S.A. alone [1-6]. With limited therapeutic options, besides the application of N-acetyl-cysteine (NAC), there is a need for further therapeutic alternatives to improve outcome and prevent death or orthotopic liver transplantation in affected patients [7-10]. APAP-induced ALF is a sterile inflammatory condition, with local and systemic inflammatory responses mediated by the release of pro-inflammatory cytokines from innate immune cells (e.g. neutrophils and Kupffer cells) and activation and migration of macrophages into the liver [11]. The cholinergic anti-inflammatory pathway responds to ongoing inflammation through the vagus nerve and nicotinic acetylcholine receptors (nAChRs) expressed by cytokine-producing cells, such as macrophages, neutrophils, dendritic cells, histiocytes, Kupffer cells and mastocytes [12-16]. The parasympathetic neurotransmitter acetylcholine is released and binds to the α7 subunit of the nAChR to prevent the unbalanced overproduction of inflammatory mediators, such as IL-1β and TNF-α [12,17,18]. The aim of the current study was to analyze the role of the acetylcholinesterase inhibitor neostigmine in modulation of APAP-induced acute liver failure via increasing the levels of acetylcholine and stimulation of the cholinergic anti-inflammatory pathway. Methods: Reagents Neostigmine was purchased from Actavis (Munich, Germany), acetaminophen (APAP) from Fresenius Kabi (Bad Homburg, Germany) and N-acetyl-cysteine (NAC) from CSC Pharmaceuticals (Bisamberg, Austria). Neostigmine was purchased from Actavis (Munich, Germany), acetaminophen (APAP) from Fresenius Kabi (Bad Homburg, Germany) and N-acetyl-cysteine (NAC) from CSC Pharmaceuticals (Bisamberg, Austria). Animals Male BALB/c mice (Charles River Laboratories, Sulzfeld, Germany) at 10 weeks of age were used in all experiments. The animals received humane care and were kept on a 12-hour light/dark cycle in a temperature-controlled room, with free access to food and water. The protocol was approved by the Animal Care and Use Committee of the University of Heidelberg. Male BALB/c mice (Charles River Laboratories, Sulzfeld, Germany) at 10 weeks of age were used in all experiments. The animals received humane care and were kept on a 12-hour light/dark cycle in a temperature-controlled room, with free access to food and water. The protocol was approved by the Animal Care and Use Committee of the University of Heidelberg. Animal model and experimental groups Acute liver failure was induced by intraperitoneal (i.p.) injections of APAP (600 mg/kg) after overnight food deprivation. Subsequently, the animals in the treatment group received an i.p. injection of the acetylcholinesterase inhibitor neostigmine (80 μg/kg) either 1 hour before or 1 hour after application of APAP as indicated, followed by successive applications of neostigmine after 7, 12 and 24 hours. Control mice received analogous volumes of saline. Dosing of APAP and neostigmine were based on earlier studies [19-21]. For assessment of liver damage, mice were sacrificed 12 hours after application of APAP and blood and tissue samples were harvested. In previous studies with similar dosing of APAP the peak level of histological and serological changes was reached after the selected time point [22-24]. Whole blood samples were allowed to clot and then centrifuged at 1000 g for 5 minutes. Serum was collected and stored at −80°C. Liver sections were fixed in 4% phosphate buffered formalin and embedded in paraffin for histological analysis. In subsequent experiments mice were dosed with 750 mg/kg APAP and an additional application of 300 mg/kg (1.84 mmol/kg) NAC i.p. 2 hours thereafter. Furthermore, after intoxication with 750 mg/kg APAP, mice were either dosed with 75 mg/kg (0.46 mmol/kg) NAC i.p. after 2 hours, as the sole treatment, or along with neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours [25-28]. For the survival experiments mice were monitored throughout the experimental period. Acute liver failure was induced by intraperitoneal (i.p.) injections of APAP (600 mg/kg) after overnight food deprivation. Subsequently, the animals in the treatment group received an i.p. injection of the acetylcholinesterase inhibitor neostigmine (80 μg/kg) either 1 hour before or 1 hour after application of APAP as indicated, followed by successive applications of neostigmine after 7, 12 and 24 hours. Control mice received analogous volumes of saline. Dosing of APAP and neostigmine were based on earlier studies [19-21]. For assessment of liver damage, mice were sacrificed 12 hours after application of APAP and blood and tissue samples were harvested. In previous studies with similar dosing of APAP the peak level of histological and serological changes was reached after the selected time point [22-24]. Whole blood samples were allowed to clot and then centrifuged at 1000 g for 5 minutes. Serum was collected and stored at −80°C. Liver sections were fixed in 4% phosphate buffered formalin and embedded in paraffin for histological analysis. In subsequent experiments mice were dosed with 750 mg/kg APAP and an additional application of 300 mg/kg (1.84 mmol/kg) NAC i.p. 2 hours thereafter. Furthermore, after intoxication with 750 mg/kg APAP, mice were either dosed with 75 mg/kg (0.46 mmol/kg) NAC i.p. after 2 hours, as the sole treatment, or along with neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours [25-28]. For the survival experiments mice were monitored throughout the experimental period. Assays Serum alanine aminotransferase (ALT), aspartate aminotransferase (AST) and lactate dehydrogenase (LDH) were measured in the Institute of Clinical and Laboratory Medicine at the University Hospital Heidelberg by standard procedures. Serum was subjected to enzyme-linked immunosorbent assay (ELISA) for determination of IL-1β and TNF-α contents according to the manufacturers recommendations. ELISA kits were purchased from Quiagen (Gaithersburg, MD, USA). Serum alanine aminotransferase (ALT), aspartate aminotransferase (AST) and lactate dehydrogenase (LDH) were measured in the Institute of Clinical and Laboratory Medicine at the University Hospital Heidelberg by standard procedures. Serum was subjected to enzyme-linked immunosorbent assay (ELISA) for determination of IL-1β and TNF-α contents according to the manufacturers recommendations. ELISA kits were purchased from Quiagen (Gaithersburg, MD, USA). Histology Livers were fixed in 4% buffered formalin and embedded in paraffin. Sections (3 μm in thickness) were cut and H & E staining was performed according to standard protocols. Slides were evaluated by an experienced liver pathologist (C.M.) blinded to the origin of the specimens with special regard to liver architecture, cellular changes, extent of necrosis (% of liver), and level of hemorrhage scored on a four-point scale (0–3; 0 none, 1 mild, 2 moderate, 3 severe). For the terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) assay, sections of liver (3 μm in thickness) were stained with the ApopTag Apoptosis Detection Kit (Merck Millipore, Billerica, MA, USA) as described in the manufacturer’s instructions. TUNEL-positive cells were counted in 10 randomly selected microscopic fields (×200) per section and expressed as percentages of the total number of hepatocytes. Livers were fixed in 4% buffered formalin and embedded in paraffin. Sections (3 μm in thickness) were cut and H & E staining was performed according to standard protocols. Slides were evaluated by an experienced liver pathologist (C.M.) blinded to the origin of the specimens with special regard to liver architecture, cellular changes, extent of necrosis (% of liver), and level of hemorrhage scored on a four-point scale (0–3; 0 none, 1 mild, 2 moderate, 3 severe). For the terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) assay, sections of liver (3 μm in thickness) were stained with the ApopTag Apoptosis Detection Kit (Merck Millipore, Billerica, MA, USA) as described in the manufacturer’s instructions. TUNEL-positive cells were counted in 10 randomly selected microscopic fields (×200) per section and expressed as percentages of the total number of hepatocytes. Statistical analysis Variables are expressed by mean and standard deviation. Statistical significance was evaluated using Student’s t-test or Mann-Whitney’s U test. The survival curve obtained by the Kaplan-Meier procedure was analyzed by log-rank test. A p value < 0.05 was considered statistically significant. Statistical analysis was performed using GraphPad Prism software (version 6.0, GraphPad Software, Inc., La Jolla, CA, USA). Variables are expressed by mean and standard deviation. Statistical significance was evaluated using Student’s t-test or Mann-Whitney’s U test. The survival curve obtained by the Kaplan-Meier procedure was analyzed by log-rank test. A p value < 0.05 was considered statistically significant. Statistical analysis was performed using GraphPad Prism software (version 6.0, GraphPad Software, Inc., La Jolla, CA, USA). Reagents: Neostigmine was purchased from Actavis (Munich, Germany), acetaminophen (APAP) from Fresenius Kabi (Bad Homburg, Germany) and N-acetyl-cysteine (NAC) from CSC Pharmaceuticals (Bisamberg, Austria). Animals: Male BALB/c mice (Charles River Laboratories, Sulzfeld, Germany) at 10 weeks of age were used in all experiments. The animals received humane care and were kept on a 12-hour light/dark cycle in a temperature-controlled room, with free access to food and water. The protocol was approved by the Animal Care and Use Committee of the University of Heidelberg. Animal model and experimental groups: Acute liver failure was induced by intraperitoneal (i.p.) injections of APAP (600 mg/kg) after overnight food deprivation. Subsequently, the animals in the treatment group received an i.p. injection of the acetylcholinesterase inhibitor neostigmine (80 μg/kg) either 1 hour before or 1 hour after application of APAP as indicated, followed by successive applications of neostigmine after 7, 12 and 24 hours. Control mice received analogous volumes of saline. Dosing of APAP and neostigmine were based on earlier studies [19-21]. For assessment of liver damage, mice were sacrificed 12 hours after application of APAP and blood and tissue samples were harvested. In previous studies with similar dosing of APAP the peak level of histological and serological changes was reached after the selected time point [22-24]. Whole blood samples were allowed to clot and then centrifuged at 1000 g for 5 minutes. Serum was collected and stored at −80°C. Liver sections were fixed in 4% phosphate buffered formalin and embedded in paraffin for histological analysis. In subsequent experiments mice were dosed with 750 mg/kg APAP and an additional application of 300 mg/kg (1.84 mmol/kg) NAC i.p. 2 hours thereafter. Furthermore, after intoxication with 750 mg/kg APAP, mice were either dosed with 75 mg/kg (0.46 mmol/kg) NAC i.p. after 2 hours, as the sole treatment, or along with neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours [25-28]. For the survival experiments mice were monitored throughout the experimental period. Assays: Serum alanine aminotransferase (ALT), aspartate aminotransferase (AST) and lactate dehydrogenase (LDH) were measured in the Institute of Clinical and Laboratory Medicine at the University Hospital Heidelberg by standard procedures. Serum was subjected to enzyme-linked immunosorbent assay (ELISA) for determination of IL-1β and TNF-α contents according to the manufacturers recommendations. ELISA kits were purchased from Quiagen (Gaithersburg, MD, USA). Histology: Livers were fixed in 4% buffered formalin and embedded in paraffin. Sections (3 μm in thickness) were cut and H & E staining was performed according to standard protocols. Slides were evaluated by an experienced liver pathologist (C.M.) blinded to the origin of the specimens with special regard to liver architecture, cellular changes, extent of necrosis (% of liver), and level of hemorrhage scored on a four-point scale (0–3; 0 none, 1 mild, 2 moderate, 3 severe). For the terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) assay, sections of liver (3 μm in thickness) were stained with the ApopTag Apoptosis Detection Kit (Merck Millipore, Billerica, MA, USA) as described in the manufacturer’s instructions. TUNEL-positive cells were counted in 10 randomly selected microscopic fields (×200) per section and expressed as percentages of the total number of hepatocytes. Statistical analysis: Variables are expressed by mean and standard deviation. Statistical significance was evaluated using Student’s t-test or Mann-Whitney’s U test. The survival curve obtained by the Kaplan-Meier procedure was analyzed by log-rank test. A p value < 0.05 was considered statistically significant. Statistical analysis was performed using GraphPad Prism software (version 6.0, GraphPad Software, Inc., La Jolla, CA, USA). Results: Cholinesterase inhibition with neostigmine improves survival in APAP-induced acute liver failure Animals treated with neostigmine (80 μg/kg) one hour before intoxication with APAP (600 mg/kg) and repeatedly 7 and 12 hours afterwards showed significantly improved survival compared to control animals (mean survival time in hours 21 ± 7 vs. 13 ± 2, plog-rank = 0.0046). To assess a delayed application of neostigmine as a therapeutic option after application of APAP, animals were treated with neostigmine (80 μg/kg) 1 hour after intoxication with APAP and repeatedly 7 and 12 hours afterwards. Therapeutic treatment resulted in prolonged survival compared to control animals (mean survival time in hours 16 ± 5 vs. 13 ± 2, plog-rank = 0.1860), which however failed to reach statistical significance (Figure 1). Cholinesterase inhibition protects against acute liver failure (ALF) induced by acetaminophen (APAP). All mice received 600 mg/kg APAP i.p.. Neostigmine-treated animals received 80 μg/kg neostigmine 1 hour prior to application of APAP and 7, 12 and 24 hours thereafter (dotted line, plog-rank = 0.0046) or 1, 7, 12 and 24 hours after application of APAP (dashed line, plog-rank = 0.1860). Control mice received solvent (0.9% NaCl) 1, 7, 12 and 24 hours after application of APAP (solid line; n = 6 for each group). Animals treated with neostigmine (80 μg/kg) one hour before intoxication with APAP (600 mg/kg) and repeatedly 7 and 12 hours afterwards showed significantly improved survival compared to control animals (mean survival time in hours 21 ± 7 vs. 13 ± 2, plog-rank = 0.0046). To assess a delayed application of neostigmine as a therapeutic option after application of APAP, animals were treated with neostigmine (80 μg/kg) 1 hour after intoxication with APAP and repeatedly 7 and 12 hours afterwards. Therapeutic treatment resulted in prolonged survival compared to control animals (mean survival time in hours 16 ± 5 vs. 13 ± 2, plog-rank = 0.1860), which however failed to reach statistical significance (Figure 1). Cholinesterase inhibition protects against acute liver failure (ALF) induced by acetaminophen (APAP). All mice received 600 mg/kg APAP i.p.. Neostigmine-treated animals received 80 μg/kg neostigmine 1 hour prior to application of APAP and 7, 12 and 24 hours thereafter (dotted line, plog-rank = 0.0046) or 1, 7, 12 and 24 hours after application of APAP (dashed line, plog-rank = 0.1860). Control mice received solvent (0.9% NaCl) 1, 7, 12 and 24 hours after application of APAP (solid line; n = 6 for each group). Cholinesterase inhibition with neostigmine improves hepatocellular damage in APAP-induced acute liver failure Following intoxication with APAP (600 mg/kg) i.p., animals were either treated with neostigmine (80 μg/kg) 1 and 7 hours afterwards or vehicle was applied. Mice were sacrificed after 12 h and serum was collected and analyzed for enzyme activities indicating liver injury. Neostigmine alleviated APAP-induced liver damage as reflected by significant reduction in LDH (47,147 ± 12,726 IU/l vs. 15,822 ± 10,629 IU/l, p = 0.0014) and ALT (18,048 ± 4,287 IU/l vs. 7,585 ± 5,336 IU/l, p = 0.0013). There was still a considerable, although not significant decline in AST (6,522 ± 1,338 IU/l vs. 4,048 ± 2,828 IU/l, p = 0.1575) (Figure 2). Serum levels of lactate dehydrogenase (LDH), aspartate aminotransferase (AST) and alanine aminotransferase (ALT) after acetaminophen (APAP)-induced liver injury are reduced by cholinesterase inhibition. 12 hours after application of 600 mg/kg APAP i.p., serum was collected from neostigmine-treated (80 μg/kg i.p. 1 and 7 hours after application of APAP) and control mice. LDH and serum-transaminases were measured (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Following intoxication with APAP (600 mg/kg) i.p., animals were either treated with neostigmine (80 μg/kg) 1 and 7 hours afterwards or vehicle was applied. Mice were sacrificed after 12 h and serum was collected and analyzed for enzyme activities indicating liver injury. Neostigmine alleviated APAP-induced liver damage as reflected by significant reduction in LDH (47,147 ± 12,726 IU/l vs. 15,822 ± 10,629 IU/l, p = 0.0014) and ALT (18,048 ± 4,287 IU/l vs. 7,585 ± 5,336 IU/l, p = 0.0013). There was still a considerable, although not significant decline in AST (6,522 ± 1,338 IU/l vs. 4,048 ± 2,828 IU/l, p = 0.1575) (Figure 2). Serum levels of lactate dehydrogenase (LDH), aspartate aminotransferase (AST) and alanine aminotransferase (ALT) after acetaminophen (APAP)-induced liver injury are reduced by cholinesterase inhibition. 12 hours after application of 600 mg/kg APAP i.p., serum was collected from neostigmine-treated (80 μg/kg i.p. 1 and 7 hours after application of APAP) and control mice. LDH and serum-transaminases were measured (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Cholinesterase inhibition with neostigmine reduces histopathological liver damage and apoptosis in APAP-induced acute liver failure In addition to serum enzyme levels we analyzed liver histopathology for signs of neostigmine-mediated protection from APAP-induced hepatotoxicity (Figure 3A-C). Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of centrilobular necrosis than control mice (area of necrosis 44 ± 16% vs. 23 ± 10%, p = 0.0228) (Figure 3D). The extent of hemorrhage decreased in the neostigmine treatment group compared to control mice (3 ± 1 vs. 1 ± 1 on a scale from 0–3, p = 0.0065) (Figure 3E).To determine the extend of apoptosis we performed terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) stainings of liver sections. Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of DNA fragmentation than control mice (TUNEL-positive cells expressed as percentages of the total number of hepatocytes 19.5 ± 3.8% vs. 9.3 ± 4.8%, p < 0.0122) (Figure 4A-D). Acetaminophen (APAP)-induced centrilobular necrosis in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative H & E-stained liver sections (100× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) Area of necrosis (% of area). (E) Hemorrhage [0–3] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Hepatic histological changes assessed by TUNEL assay in acetaminophen (APAP)-induced liver injury in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative TUNEL-stained liver sections (200× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) TUNEL-positive cells per field of vision [%] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). In addition to serum enzyme levels we analyzed liver histopathology for signs of neostigmine-mediated protection from APAP-induced hepatotoxicity (Figure 3A-C). Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of centrilobular necrosis than control mice (area of necrosis 44 ± 16% vs. 23 ± 10%, p = 0.0228) (Figure 3D). The extent of hemorrhage decreased in the neostigmine treatment group compared to control mice (3 ± 1 vs. 1 ± 1 on a scale from 0–3, p = 0.0065) (Figure 3E).To determine the extend of apoptosis we performed terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) stainings of liver sections. Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of DNA fragmentation than control mice (TUNEL-positive cells expressed as percentages of the total number of hepatocytes 19.5 ± 3.8% vs. 9.3 ± 4.8%, p < 0.0122) (Figure 4A-D). Acetaminophen (APAP)-induced centrilobular necrosis in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative H & E-stained liver sections (100× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) Area of necrosis (% of area). (E) Hemorrhage [0–3] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Hepatic histological changes assessed by TUNEL assay in acetaminophen (APAP)-induced liver injury in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative TUNEL-stained liver sections (200× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) TUNEL-positive cells per field of vision [%] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Cholinesterase inhibition with neostigmine reduces pro-inflammatory mediator generation in APAP-induced acute liver failure Treatment of mice with neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) significantly reduced IL-1β serum levels compared to control mice, which were applied vehicle (147 ± 19 vs. 110 ± 25, p = 0.0138). In two out of 6 neostigmine-treated animals, IL-1β even dropped below detection levels of the selected assay (Figure 5A). In line with a reduction of IL-1β, we could observe significantly lower levels of TNF-α (184 ± 23 vs. 130 ± 33, p = 0.0086) in neostigmine-treated mice (Figure 5B). Administration of neostigmine reduces serum cytokine levels. 12 h after induction of acute liver failure by acetaminophen (600 mg/kg APAP i.p.), serum was collected from neostigmine-treated (80 μg/kg, 1 and 7 hours after application of APAP) and control mice. Cytokine concentrations of (A) IL-1β and (B) TNF-α were measured by enzyme-linked immunosorbent assay (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Treatment of mice with neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) significantly reduced IL-1β serum levels compared to control mice, which were applied vehicle (147 ± 19 vs. 110 ± 25, p = 0.0138). In two out of 6 neostigmine-treated animals, IL-1β even dropped below detection levels of the selected assay (Figure 5A). In line with a reduction of IL-1β, we could observe significantly lower levels of TNF-α (184 ± 23 vs. 130 ± 33, p = 0.0086) in neostigmine-treated mice (Figure 5B). Administration of neostigmine reduces serum cytokine levels. 12 h after induction of acute liver failure by acetaminophen (600 mg/kg APAP i.p.), serum was collected from neostigmine-treated (80 μg/kg, 1 and 7 hours after application of APAP) and control mice. Cytokine concentrations of (A) IL-1β and (B) TNF-α were measured by enzyme-linked immunosorbent assay (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). NAC and neostigmine show an additive effect in the combined treatment of APAP-induced acute liver failure Since N-acetyl-cysteine (NAC) is an established and frequently effective treatment for patients intoxicated with APAP, we evaluated an add-on therapeutic benefit of neostigmine. With a dosing of 750 mg/kg APAP and a therapeutical treatment with 300 mg/kg NAC after 2 hours all mice (4 of 4) survived a 48-hour observation period (data not shown), consistent with previously published data [25,27]. To assess the effect of combination treatment with neostigmine, NAC was applied at suboptimal doses [28]. All mice were treated with 750 mg/kg APAP and a therapeutical treatment with 75 mg/kg NAC after 2 hours or with 75 mg/kg NAC after 2 hours combined with successive applications of neostigmine (80 μg/kg) after 2, 7, 12 and 24 hours. In this experimental set-up neostigmine significantly (plog-rank = 0.0260) prolonged survival and changed outcome. Specifically, during a 48-hour observation period, mortality was 6 of 8 for APAP plus NAC and 2 of 8 for APAP plus NAC plus neostigmine (Figure 6). Combined treatment with N-acetyl-cysteine (NAC) and neostigmine show an additive effect in acute liver failure (ALF) induced by acetaminophen (APAP). All mice were treated with a dosing of 750 mg/kg APAP i.p. and a therapeutical treatment with 75 mg/kg NAC i.p. after 2 hours (solid line) or in a combined set-up with 75 mg/kg NAC after 2 hours and successive applications of neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours (dashed line, plog-rank = 0.0260; n = 8 for each group). Mice were monitored for 48 hours. Since N-acetyl-cysteine (NAC) is an established and frequently effective treatment for patients intoxicated with APAP, we evaluated an add-on therapeutic benefit of neostigmine. With a dosing of 750 mg/kg APAP and a therapeutical treatment with 300 mg/kg NAC after 2 hours all mice (4 of 4) survived a 48-hour observation period (data not shown), consistent with previously published data [25,27]. To assess the effect of combination treatment with neostigmine, NAC was applied at suboptimal doses [28]. All mice were treated with 750 mg/kg APAP and a therapeutical treatment with 75 mg/kg NAC after 2 hours or with 75 mg/kg NAC after 2 hours combined with successive applications of neostigmine (80 μg/kg) after 2, 7, 12 and 24 hours. In this experimental set-up neostigmine significantly (plog-rank = 0.0260) prolonged survival and changed outcome. Specifically, during a 48-hour observation period, mortality was 6 of 8 for APAP plus NAC and 2 of 8 for APAP plus NAC plus neostigmine (Figure 6). Combined treatment with N-acetyl-cysteine (NAC) and neostigmine show an additive effect in acute liver failure (ALF) induced by acetaminophen (APAP). All mice were treated with a dosing of 750 mg/kg APAP i.p. and a therapeutical treatment with 75 mg/kg NAC i.p. after 2 hours (solid line) or in a combined set-up with 75 mg/kg NAC after 2 hours and successive applications of neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours (dashed line, plog-rank = 0.0260; n = 8 for each group). Mice were monitored for 48 hours. Cholinesterase inhibition with neostigmine improves survival in APAP-induced acute liver failure: Animals treated with neostigmine (80 μg/kg) one hour before intoxication with APAP (600 mg/kg) and repeatedly 7 and 12 hours afterwards showed significantly improved survival compared to control animals (mean survival time in hours 21 ± 7 vs. 13 ± 2, plog-rank = 0.0046). To assess a delayed application of neostigmine as a therapeutic option after application of APAP, animals were treated with neostigmine (80 μg/kg) 1 hour after intoxication with APAP and repeatedly 7 and 12 hours afterwards. Therapeutic treatment resulted in prolonged survival compared to control animals (mean survival time in hours 16 ± 5 vs. 13 ± 2, plog-rank = 0.1860), which however failed to reach statistical significance (Figure 1). Cholinesterase inhibition protects against acute liver failure (ALF) induced by acetaminophen (APAP). All mice received 600 mg/kg APAP i.p.. Neostigmine-treated animals received 80 μg/kg neostigmine 1 hour prior to application of APAP and 7, 12 and 24 hours thereafter (dotted line, plog-rank = 0.0046) or 1, 7, 12 and 24 hours after application of APAP (dashed line, plog-rank = 0.1860). Control mice received solvent (0.9% NaCl) 1, 7, 12 and 24 hours after application of APAP (solid line; n = 6 for each group). Cholinesterase inhibition with neostigmine improves hepatocellular damage in APAP-induced acute liver failure: Following intoxication with APAP (600 mg/kg) i.p., animals were either treated with neostigmine (80 μg/kg) 1 and 7 hours afterwards or vehicle was applied. Mice were sacrificed after 12 h and serum was collected and analyzed for enzyme activities indicating liver injury. Neostigmine alleviated APAP-induced liver damage as reflected by significant reduction in LDH (47,147 ± 12,726 IU/l vs. 15,822 ± 10,629 IU/l, p = 0.0014) and ALT (18,048 ± 4,287 IU/l vs. 7,585 ± 5,336 IU/l, p = 0.0013). There was still a considerable, although not significant decline in AST (6,522 ± 1,338 IU/l vs. 4,048 ± 2,828 IU/l, p = 0.1575) (Figure 2). Serum levels of lactate dehydrogenase (LDH), aspartate aminotransferase (AST) and alanine aminotransferase (ALT) after acetaminophen (APAP)-induced liver injury are reduced by cholinesterase inhibition. 12 hours after application of 600 mg/kg APAP i.p., serum was collected from neostigmine-treated (80 μg/kg i.p. 1 and 7 hours after application of APAP) and control mice. LDH and serum-transaminases were measured (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Cholinesterase inhibition with neostigmine reduces histopathological liver damage and apoptosis in APAP-induced acute liver failure: In addition to serum enzyme levels we analyzed liver histopathology for signs of neostigmine-mediated protection from APAP-induced hepatotoxicity (Figure 3A-C). Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of centrilobular necrosis than control mice (area of necrosis 44 ± 16% vs. 23 ± 10%, p = 0.0228) (Figure 3D). The extent of hemorrhage decreased in the neostigmine treatment group compared to control mice (3 ± 1 vs. 1 ± 1 on a scale from 0–3, p = 0.0065) (Figure 3E).To determine the extend of apoptosis we performed terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling (TUNEL) stainings of liver sections. Mice that were administered neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) showed less extends of DNA fragmentation than control mice (TUNEL-positive cells expressed as percentages of the total number of hepatocytes 19.5 ± 3.8% vs. 9.3 ± 4.8%, p < 0.0122) (Figure 4A-D). Acetaminophen (APAP)-induced centrilobular necrosis in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative H & E-stained liver sections (100× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) Area of necrosis (% of area). (E) Hemorrhage [0–3] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Hepatic histological changes assessed by TUNEL assay in acetaminophen (APAP)-induced liver injury in BALB/c mice is attenuated by the application of a cholinesterase inhibitor. Liver injury was induced with 600 mg/kg APAP i.p.. After 1 and 7 hours 80 μg/kg neostigmine or vehicle control was applied. Liver tissue was harvested 12 hours after application of APAP and processed for histopathology. Representative TUNEL-stained liver sections (200× magnification), (A) control mice, (B) APAP + solvent, (C) APAP + neostigmine. (D) TUNEL-positive cells per field of vision [%] (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). Cholinesterase inhibition with neostigmine reduces pro-inflammatory mediator generation in APAP-induced acute liver failure: Treatment of mice with neostigmine (80 μg/kg) 1 and 7 hours after intoxication with APAP (600 mg/kg) significantly reduced IL-1β serum levels compared to control mice, which were applied vehicle (147 ± 19 vs. 110 ± 25, p = 0.0138). In two out of 6 neostigmine-treated animals, IL-1β even dropped below detection levels of the selected assay (Figure 5A). In line with a reduction of IL-1β, we could observe significantly lower levels of TNF-α (184 ± 23 vs. 130 ± 33, p = 0.0086) in neostigmine-treated mice (Figure 5B). Administration of neostigmine reduces serum cytokine levels. 12 h after induction of acute liver failure by acetaminophen (600 mg/kg APAP i.p.), serum was collected from neostigmine-treated (80 μg/kg, 1 and 7 hours after application of APAP) and control mice. Cytokine concentrations of (A) IL-1β and (B) TNF-α were measured by enzyme-linked immunosorbent assay (mean ± SD; open bars, control mice, hatched bars, APAP + solvent, filled bars, APAP + neostigmine; n = 6 for each group; *p < 0.05, **p < 0.01 APAP-alone-treated mice vs. APAP + neostigmine-treated mice). NAC and neostigmine show an additive effect in the combined treatment of APAP-induced acute liver failure: Since N-acetyl-cysteine (NAC) is an established and frequently effective treatment for patients intoxicated with APAP, we evaluated an add-on therapeutic benefit of neostigmine. With a dosing of 750 mg/kg APAP and a therapeutical treatment with 300 mg/kg NAC after 2 hours all mice (4 of 4) survived a 48-hour observation period (data not shown), consistent with previously published data [25,27]. To assess the effect of combination treatment with neostigmine, NAC was applied at suboptimal doses [28]. All mice were treated with 750 mg/kg APAP and a therapeutical treatment with 75 mg/kg NAC after 2 hours or with 75 mg/kg NAC after 2 hours combined with successive applications of neostigmine (80 μg/kg) after 2, 7, 12 and 24 hours. In this experimental set-up neostigmine significantly (plog-rank = 0.0260) prolonged survival and changed outcome. Specifically, during a 48-hour observation period, mortality was 6 of 8 for APAP plus NAC and 2 of 8 for APAP plus NAC plus neostigmine (Figure 6). Combined treatment with N-acetyl-cysteine (NAC) and neostigmine show an additive effect in acute liver failure (ALF) induced by acetaminophen (APAP). All mice were treated with a dosing of 750 mg/kg APAP i.p. and a therapeutical treatment with 75 mg/kg NAC i.p. after 2 hours (solid line) or in a combined set-up with 75 mg/kg NAC after 2 hours and successive applications of neostigmine (80 μg/kg) i.p. after 2, 7, 12 and 24 hours (dashed line, plog-rank = 0.0260; n = 8 for each group). Mice were monitored for 48 hours. Discussion: Acetaminophen (APAP) is one of the most frequently used analgesic and antipyretic agents in the world. The drug has an excellent safety profile in therapeutic doses, however ingestion of overdoses can have serious hepatotoxic effects and even induce fatal acute liver failure (ALF) [1-6]. APAP is metabolized predominantly by two pathways, comprising conjugation by sulfation and glucuronidation as well as oxidation to a reactive intermediate, N-acetyl-para-benzoquinone imine (NAPQI), which in turn is conjugated with glutathione to form non-toxic metabolites [29,30]. Ingestion of APAP in supra-therapeutic doses leads to excessive production of NAPQI, depletion of intracellular stocks of glutathione and covalent binding of NAPQI to cellular and mitochondrial proteins and thereby causing nuclear DNA damage [31,32]. A series of intracellular events, via mitochondrial membrane dysfunction and modulation of gene transcription factors, and activation of the innate immune system of the liver, culminates in centrilobular hepatic necrosis [33,34]. Necrotic cells release various damage-associated molecular pattern (DAMP) molecules, such as high-mobility group box 1 (HMGB1), heat-shock proteins and DNA fragments, that are ligands for toll-like receptors (TLRs) on macrophages and other cell types [35]. Upon activation by DAMP molecules, innate immune cells infiltrate the damaged area and trigger the release of cytokines and chemokines, such as TNF-α and IL-1β, which lead to a massive hepatic infiltration of leukocytes, thereby causing sterile tissue inflammation that further amplifies the liver damage [4,23,31,32,36,37]. This excessive inflammatory response resulting in systemic inflammation can be more injurious than the inciting event and may progress to shock, diffuse coagulation, multiple organ failure and death [6,15,22]. Interference in cytokine pathways can serve as an important target to limit inflammatory responses. After application of APAP, mice lacking TNF-α receptor as well as mice treated with anti-TNF-α antibodies showed a reduction in the neutrophil response and a concomitant significant attenuation of liver damage [38,39]. In addition, mice lacking IL-1β receptor, or neutralization of IL-1β in wild-type mice, resulted in significantly less APAP toxicity and decreased collateral damage from inflammation [40-43]. However, these same factors and other mediators, including IL-4, IL-6, IL-10 and IL-13 have also been associated with recruitment of monocytes for liver regeneration and tissue repair [44-46]. Cumulatively, these studies suggest that a complex series of immune reactions play an important role in mitigating the detrimental effects of a disproportionate inflammatory response while promoting local regeneration [25]. Therefore alterations in the balance of pro- and anti-inflammatory cytokine formation may contribute to the toxicity in APAP-induced liver failure. An imminent regulator of the innate immune response is the cholinergic anti-inflammatory pathway. The central nervous system responds to inflammation via the vagus nerve by inhibiting the excessive release of inflammatory cytokines to balance the unfavorable effects of a disproportionate inflammatory response [23]. Efferent vagus neurons release acetylcholine, which binds to the nicotinic acetylcholine receptor subunit α7 (α7 nAChR) expressed on the cell membrane of macrophages and other cytokine secreting cells. Binding of acetylcholine to α7 nAChR inhibits release of pro-inflammatory cytokines [14,47]. The cholinergic anti-inflammatory pathway has been beneficial in experimental models of inflammation, including sepsis [12,18,19,48], inflammatory bowel disease [49] and pancreatitis [45]. Augmentation of the efferent vagus nerve can be achieved by direct electrical simulation, peripheral stimulation by selective agonists of α7 nAChR, such as GTS-21 [20,45], nicotine [46] or cholinesterase inhibition with physostigmine or neostigmine [19,38]. The acetylcholinesterase inhibitor neostigmine, which enhances cholinergic signaling by increasing acetylcholine levels, improved survival and reduced cytokine levels of TNF-α and IL-1β and attenuated neutrophil lung infiltration in a cecal ligation and puncture sepsis model [19]. In our experiments we could show that neostigmine reduces the hepatotoxic effects of APAP and improves survival. Neostigmine improved liver function and lowered the levels of the inflammatory cytokines TNF-α and IL-1β. The protective effect of neostigmine by reducing systemic inflammation through the cholinergic pathway may be responsible for the improved survival following application of APAP. A trend toward a protective effect was even observed when the first dose of neostigmine treatment was delayed for 1 hour after intoxication with APAP. However, probably due to the limited case number in our study, statistical significance at the 5% level was missed. Since NAC is the cornerstone of clinical treatment of APAP intoxication, potential clinical use of neostigmine would likely be in combination with NAC. We could show that neostigmine in a combination with NAC prolonged survival and thus had an additive effect. A limitation in the comparison of data of previous models of APAP-induced liver failure in rodents is the strain-dependent susceptibility to liver injury. For example C57Bl/6 mice exhibit attenuated toxicity after APAP challenge compared to BALB/c mice for reasons not yet fully identified [39,42,50,51]. Furthermore, unfasted and female mice are less susceptible to APAP-hepatotoxicity [21,28,52]. ALF is a multistep process that involves apoptosis, necrosis and necroapoptosis. After intoxication with APAP, hepatocyte apoptosis occurs in the early phase (3 – 5 hours) and shifts towards necrosis at later time points (10 – 15 hours) [48]. In ALF, induction of the energy-consuming process of apoptosis may lead to massive necrosis, once energy resources are exhausted [49,53,54]. This shift in cell death dynamics is reflected by cytokeratin 18 levels in the serum in patients with ALF and has recently been implemented in a cytokeratin 18-based modification of the Model for End-Stage Liver Disease (MELD) score with an improved prediction of survival [49]. Consistent with this concept we could show decreased induction of apoptosis in livers of neostigmine treated mice, which may in turn lead to decreased liver necrosis and may provide a rationale for neostigmine treatment. Cholinesterase inhibition with neostigmine in humans seems feasible, as it has long been established for clinical use for other applications such as antagonization of muscle relaxants [55]. Conclusions: In conclusion our findings point to a potential benefit of the cholinesterase inhibitor neostigmine in acute liver failure induced by APAP by modulation of unbalanced anti-inflammatory pathways. Further studies are needed to determine the exact role of the cholinergic system in acute liver failure and to assess cholinesterase inhibitors as a potential therapeutic option in affected patients. Abbreviations: ALF: Acute liver failure; ALT: Alanine aminotransferase; APAP: N-acetyl-para-amino-phenol, acetaminophen; AST: Aspartate aminotransferase; DAMP: Damage-associated molecular pattern; ELISA: Enzyme-linked immunosorbent assay; GTS-21: 3-(2, 4-dimethoxybenzylidene)-anabaseine; H & E: Hematoxylin and eosin; HMGB1: High-mobility group box-1; i.p.: Intraperitoneal; IL-1β: Interleukin-1 β; LDH: Lactate dehydrogenase; NAC: N-acetyl-cysteine; nAChR: Nicotinic acetylcholine receptor; NAPQI: N-acetyl-para-benzoquinone imine; TLR: Toll-like receptor; TNF-α: Tumor necrosis factor α; TUNEL: Terminal deoxynucleotidyl transferase-mediated dUTP nick-end labeling. Competing interests: The authors declare that they have no competing interests. Authors’ contributions: NS collected and analyzed experimental results, performed the statistical analysis and drafted the manuscript. CM, SV, BH and CS collected and analyzed experimental results and helped to draft the manuscript. WS helped to draft the manuscript. CE conceived of the study, participated in its design and coordination, analyzed experimental results and helped to draft the manuscript. All authors read and approved the final manuscript. Pre-publication history: The pre-publication history for this paper can be accessed here: http://www.biomedcentral.com/1471-230X/14/148/prepub
Background: Acetaminophen (APAP) is one of the most widely used analgesic and antipyretic pharmaceutical substances in the world and accounts for most cases of drug induced liver injury resulting in acute liver failure. Acute liver failure initiates a sterile inflammatory response with release of cytokines and innate immune cell infiltration in the liver. This study investigates, whether pharmacologic acetylcholinesterase inhibition with neostigmine diminishes liver damage in acute liver failure via the cholinergic anti-inflammatory pathway. Methods: Acute liver failure was induced in BALB/c mice by a toxic dose of acetaminophen (APAP). Neostigmine and/or N-acetyl-cysteine (NAC) were applied therapeutically at set time points and the survival was investigated. Liver damage was assessed by serum parameters, histopathology and serum cytokine assays 12 h after initiation of acute liver failure. Results: Serum parameters, histopathology and serum cytokine assays showed pronounced features of acute liver failure 12 h after application of acetaminophen (APAP). Neostigmine treatment led to significant reduction of serum liver enzymes (LDH (47,147 ± 12,726 IU/l vs. 15,822 ± 10,629 IU/l, p = 0.0014) and ALT (18,048 ± 4,287 IU/l vs. 7,585 ± 5,336 IU/l, p = 0.0013), APAP-alone-treated mice vs. APAP + neostigmine-treated mice), inflammatory cytokine levels (IL-1β (147 ± 19 vs. 110 ± 25, p = 0.0138) and TNF-α (184 ± 23 vs. 130 ± 33, p = 0.0086), APAP-alone-treated mice vs. APAP + neostigmine-treated mice) and histopathological signs of damage.Animals treated with NAC in combination with the peripheral cholinesterase inhibitor neostigmine showed prolonged survival and improved outcome. Conclusions: Neostigmine is an acetylcholinesterase inhibitor that ameliorates the effects of APAP-induced acute liver failure in the mouse and therefore may provide new treatment options for affected patients.
Background: Acetaminophen (APAP) is one of the most commonly used pharmaceuticals in the world. It has a well-established record of safety and efficacy. However, taken in overdoses, APAP causes severe hepatic necrosis frequently leading to acute liver failure (ALF). APAP poisoning accounts for more than 30,000 hospital admissions and approximately 500 deaths every year in the U.S.A. alone [1-6]. With limited therapeutic options, besides the application of N-acetyl-cysteine (NAC), there is a need for further therapeutic alternatives to improve outcome and prevent death or orthotopic liver transplantation in affected patients [7-10]. APAP-induced ALF is a sterile inflammatory condition, with local and systemic inflammatory responses mediated by the release of pro-inflammatory cytokines from innate immune cells (e.g. neutrophils and Kupffer cells) and activation and migration of macrophages into the liver [11]. The cholinergic anti-inflammatory pathway responds to ongoing inflammation through the vagus nerve and nicotinic acetylcholine receptors (nAChRs) expressed by cytokine-producing cells, such as macrophages, neutrophils, dendritic cells, histiocytes, Kupffer cells and mastocytes [12-16]. The parasympathetic neurotransmitter acetylcholine is released and binds to the α7 subunit of the nAChR to prevent the unbalanced overproduction of inflammatory mediators, such as IL-1β and TNF-α [12,17,18]. The aim of the current study was to analyze the role of the acetylcholinesterase inhibitor neostigmine in modulation of APAP-induced acute liver failure via increasing the levels of acetylcholine and stimulation of the cholinergic anti-inflammatory pathway. Conclusions: In conclusion our findings point to a potential benefit of the cholinesterase inhibitor neostigmine in acute liver failure induced by APAP by modulation of unbalanced anti-inflammatory pathways. Further studies are needed to determine the exact role of the cholinergic system in acute liver failure and to assess cholinesterase inhibitors as a potential therapeutic option in affected patients.
Background: Acetaminophen (APAP) is one of the most widely used analgesic and antipyretic pharmaceutical substances in the world and accounts for most cases of drug induced liver injury resulting in acute liver failure. Acute liver failure initiates a sterile inflammatory response with release of cytokines and innate immune cell infiltration in the liver. This study investigates, whether pharmacologic acetylcholinesterase inhibition with neostigmine diminishes liver damage in acute liver failure via the cholinergic anti-inflammatory pathway. Methods: Acute liver failure was induced in BALB/c mice by a toxic dose of acetaminophen (APAP). Neostigmine and/or N-acetyl-cysteine (NAC) were applied therapeutically at set time points and the survival was investigated. Liver damage was assessed by serum parameters, histopathology and serum cytokine assays 12 h after initiation of acute liver failure. Results: Serum parameters, histopathology and serum cytokine assays showed pronounced features of acute liver failure 12 h after application of acetaminophen (APAP). Neostigmine treatment led to significant reduction of serum liver enzymes (LDH (47,147 ± 12,726 IU/l vs. 15,822 ± 10,629 IU/l, p = 0.0014) and ALT (18,048 ± 4,287 IU/l vs. 7,585 ± 5,336 IU/l, p = 0.0013), APAP-alone-treated mice vs. APAP + neostigmine-treated mice), inflammatory cytokine levels (IL-1β (147 ± 19 vs. 110 ± 25, p = 0.0138) and TNF-α (184 ± 23 vs. 130 ± 33, p = 0.0086), APAP-alone-treated mice vs. APAP + neostigmine-treated mice) and histopathological signs of damage.Animals treated with NAC in combination with the peripheral cholinesterase inhibitor neostigmine showed prolonged survival and improved outcome. Conclusions: Neostigmine is an acetylcholinesterase inhibitor that ameliorates the effects of APAP-induced acute liver failure in the mouse and therefore may provide new treatment options for affected patients.
10,112
359
[ 294, 42, 75, 329, 79, 180, 82, 293, 323, 627, 288, 369, 139, 10, 74, 16 ]
20
[ "apap", "neostigmine", "mice", "kg", "liver", "hours", "mg kg", "mg", "treated", "12" ]
[ "apap induced liver", "acetaminophen apap induced", "immune response cholinergic", "cholinergic anti inflammatory", "liver failure acetaminophen" ]
[CONTENT] Acute liver failure | Acetaminophen | Cholinergic anti-inflammatory pathway | Cholinesterase inhibition [SUMMARY]
[CONTENT] Acute liver failure | Acetaminophen | Cholinergic anti-inflammatory pathway | Cholinesterase inhibition [SUMMARY]
[CONTENT] Acute liver failure | Acetaminophen | Cholinergic anti-inflammatory pathway | Cholinesterase inhibition [SUMMARY]
[CONTENT] Acute liver failure | Acetaminophen | Cholinergic anti-inflammatory pathway | Cholinesterase inhibition [SUMMARY]
[CONTENT] Acute liver failure | Acetaminophen | Cholinergic anti-inflammatory pathway | Cholinesterase inhibition [SUMMARY]
[CONTENT] Acute liver failure | Acetaminophen | Cholinergic anti-inflammatory pathway | Cholinesterase inhibition [SUMMARY]
[CONTENT] Acetaminophen | Acetylcysteine | Alanine Transaminase | Analgesics, Non-Narcotic | Animals | Chemical and Drug Induced Liver Injury | Cholinesterase Inhibitors | Disease Models, Animal | Free Radical Scavengers | Interleukin-1beta | Lactate Dehydrogenases | Liver | Liver Failure, Acute | Mice | Mice, Inbred BALB C | Neostigmine | Tumor Necrosis Factor-alpha [SUMMARY]
[CONTENT] Acetaminophen | Acetylcysteine | Alanine Transaminase | Analgesics, Non-Narcotic | Animals | Chemical and Drug Induced Liver Injury | Cholinesterase Inhibitors | Disease Models, Animal | Free Radical Scavengers | Interleukin-1beta | Lactate Dehydrogenases | Liver | Liver Failure, Acute | Mice | Mice, Inbred BALB C | Neostigmine | Tumor Necrosis Factor-alpha [SUMMARY]
[CONTENT] Acetaminophen | Acetylcysteine | Alanine Transaminase | Analgesics, Non-Narcotic | Animals | Chemical and Drug Induced Liver Injury | Cholinesterase Inhibitors | Disease Models, Animal | Free Radical Scavengers | Interleukin-1beta | Lactate Dehydrogenases | Liver | Liver Failure, Acute | Mice | Mice, Inbred BALB C | Neostigmine | Tumor Necrosis Factor-alpha [SUMMARY]
[CONTENT] Acetaminophen | Acetylcysteine | Alanine Transaminase | Analgesics, Non-Narcotic | Animals | Chemical and Drug Induced Liver Injury | Cholinesterase Inhibitors | Disease Models, Animal | Free Radical Scavengers | Interleukin-1beta | Lactate Dehydrogenases | Liver | Liver Failure, Acute | Mice | Mice, Inbred BALB C | Neostigmine | Tumor Necrosis Factor-alpha [SUMMARY]
[CONTENT] Acetaminophen | Acetylcysteine | Alanine Transaminase | Analgesics, Non-Narcotic | Animals | Chemical and Drug Induced Liver Injury | Cholinesterase Inhibitors | Disease Models, Animal | Free Radical Scavengers | Interleukin-1beta | Lactate Dehydrogenases | Liver | Liver Failure, Acute | Mice | Mice, Inbred BALB C | Neostigmine | Tumor Necrosis Factor-alpha [SUMMARY]
[CONTENT] Acetaminophen | Acetylcysteine | Alanine Transaminase | Analgesics, Non-Narcotic | Animals | Chemical and Drug Induced Liver Injury | Cholinesterase Inhibitors | Disease Models, Animal | Free Radical Scavengers | Interleukin-1beta | Lactate Dehydrogenases | Liver | Liver Failure, Acute | Mice | Mice, Inbred BALB C | Neostigmine | Tumor Necrosis Factor-alpha [SUMMARY]
[CONTENT] apap induced liver | acetaminophen apap induced | immune response cholinergic | cholinergic anti inflammatory | liver failure acetaminophen [SUMMARY]
[CONTENT] apap induced liver | acetaminophen apap induced | immune response cholinergic | cholinergic anti inflammatory | liver failure acetaminophen [SUMMARY]
[CONTENT] apap induced liver | acetaminophen apap induced | immune response cholinergic | cholinergic anti inflammatory | liver failure acetaminophen [SUMMARY]
[CONTENT] apap induced liver | acetaminophen apap induced | immune response cholinergic | cholinergic anti inflammatory | liver failure acetaminophen [SUMMARY]
[CONTENT] apap induced liver | acetaminophen apap induced | immune response cholinergic | cholinergic anti inflammatory | liver failure acetaminophen [SUMMARY]
[CONTENT] apap induced liver | acetaminophen apap induced | immune response cholinergic | cholinergic anti inflammatory | liver failure acetaminophen [SUMMARY]
[CONTENT] apap | neostigmine | mice | kg | liver | hours | mg kg | mg | treated | 12 [SUMMARY]
[CONTENT] apap | neostigmine | mice | kg | liver | hours | mg kg | mg | treated | 12 [SUMMARY]
[CONTENT] apap | neostigmine | mice | kg | liver | hours | mg kg | mg | treated | 12 [SUMMARY]
[CONTENT] apap | neostigmine | mice | kg | liver | hours | mg kg | mg | treated | 12 [SUMMARY]
[CONTENT] apap | neostigmine | mice | kg | liver | hours | mg kg | mg | treated | 12 [SUMMARY]
[CONTENT] apap | neostigmine | mice | kg | liver | hours | mg kg | mg | treated | 12 [SUMMARY]
[CONTENT] inflammatory | cells | acetylcholine | apap | prevent | neutrophils | kupffer cells | kupffer | cholinergic anti inflammatory pathway | cholinergic anti [SUMMARY]
[CONTENT] kg | apap | mice | liver | mg kg | mg | test | hours | germany | neostigmine [SUMMARY]
[CONTENT] apap | kg | neostigmine | mice | hours | treated | control | mg kg | mg | vs [SUMMARY]
[CONTENT] potential | cholinesterase | cholinesterase inhibitors | inhibitors potential | inhibitors potential therapeutic | inhibitors potential therapeutic option | potential benefit | potential benefit cholinesterase | unbalanced anti inflammatory pathways | option affected [SUMMARY]
[CONTENT] apap | kg | neostigmine | mice | hours | liver | mg kg | mg | treated | control [SUMMARY]
[CONTENT] apap | kg | neostigmine | mice | hours | liver | mg kg | mg | treated | control [SUMMARY]
[CONTENT] Acetaminophen ||| ||| [SUMMARY]
[CONTENT] BALB ||| NAC ||| assays 12 [SUMMARY]
[CONTENT] 12 ||| 47,147 ± | IU | 15,822 | IU/l | 0.0014 | ALT | 18,048 | IU/l | 7,585 | IU | 0.0013 | IL-1β | 147 | 19 | 110 | 25 | 0.0138 | TNF | 184 | 130 | 33 | 0.0086 ||| NAC [SUMMARY]
[CONTENT] [SUMMARY]
[CONTENT] Acetaminophen ||| ||| ||| BALB ||| NAC ||| assays 12 ||| 12 ||| 47,147 ± | IU | 15,822 | IU/l | 0.0014 | ALT | 18,048 | IU/l | 7,585 | IU | 0.0013 | IL-1β | 147 | 19 | 110 | 25 | 0.0138 | TNF | 184 | 130 | 33 | 0.0086 ||| NAC ||| [SUMMARY]
[CONTENT] Acetaminophen ||| ||| ||| BALB ||| NAC ||| assays 12 ||| 12 ||| 47,147 ± | IU | 15,822 | IU/l | 0.0014 | ALT | 18,048 | IU/l | 7,585 | IU | 0.0013 | IL-1β | 147 | 19 | 110 | 25 | 0.0138 | TNF | 184 | 130 | 33 | 0.0086 ||| NAC ||| [SUMMARY]
Integrating PPI datasets with the PPI data from biomedical literature for protein complex detection.
25350598
Protein complexes are important for understanding principles of cellular organization and function. High-throughput experimental techniques have produced a large amount of protein-protein interactions (PPIs), making it possible to predict protein complexes from protein-protein interaction networks. On the other hand, the rapidly growing biomedical literature provides a significantly large and readily available source of interaction data, which can be integrated into the protein network for better complex detection performance.
BACKGROUND
We present an approach of integrating PPI datasets with the PPI data from biomedical literature for protein complex detection. The approach applies a sophisticated natural language processing system, PPIExtractor, to extract PPI data from biomedical literature. These data are then integrated into the PPI datasets for complex detection.
METHODS
The experimental results of the state-of-the-art complex detection method, ClusterONE, on five yeast PPI datasets verify our method's effectiveness: compared with the original PPI datasets, the average improvements of 3.976 and 5.416 percentage units in the maximum matching ratio (MMR) are achieved on the new networks using the MIPS and SGD gold standards, respectively. In addition, our approach also proves to be effective for three other complex detection algorithms proposed in recent years, i.e. CMC, COACH and RRW.
RESULTS
The rapidly growing biomedical literature provides a significantly large, readily available and relatively accurate source of interaction data, which can be integrated into the protein network for better protein complex detection performance.
CONCLUSIONS
[ "Algorithms", "Biomedical Research", "Computational Biology", "Data Mining", "Fungal Proteins", "Natural Language Processing", "Protein Interaction Mapping", "Publications" ]
4243118
Background
Protein complexes are molecular aggregations of proteins assembled by multiple protein-protein interactions. Many proteins are functional only after they are assembled into a protein complex and interact with other proteins in this complex. These protein complexes can help us to understand the principles of cellular organization and function. High-throughput experimental techniques have produced a large amount of protein interactions, which makes it possible to uncover protein complexes from protein interaction networks. A protein interaction network can be modeled as an undirected graph, where vertices represent proteins and edges represent interactions between proteins. Protein complexes are groups of proteins that interact with one another, so they are usually dense sub-graphs in PPI networks. Various algorithms based on graph theory have been applied to identify protein complexes and functional modules from protein interaction networks, including CFinder [1], CMC [2], COACH [3], MCL [4], RRW [5] and ClusterONE [6]. At the same time, a number of databases, such as Gavin [7], Krogan [8], Collins [9], DIP [10], and BioGRID [11], have been created to store protein interaction information in structured and standard formats. These datasets were usually derived with different experimental techniques: the Collins, Krogan and Gavin datasets include the results of TAP tagging experiments only; the DIP dataset include the results of Y2H experiments; the BioGRID dataset contains a mixture of TAP tagging, Y2H and low-throughput experimental results. However, even for model species, only a fraction of true physical interactions are known [12,13] and experimental verification of all remaining potential interactions is unlikely in the near future [14]. On the other hand, the rapidly growing biomedical literature provides a significantly large and readily available supplemental source of PPI data for complex detection methods. What is more, since these data from biomedical literature are contributed by biologists and, therefore, relatively accurate, the integration of them into the existing PPI datasets can be hopeful for better complex detection performance. Our work aims to quantifying the contribution of PPI data from biomedical literature as a supplement to the existing PPI datasets. In this paper, we present an approach of integrating PPI datasets with the PPI data from biomedical literature for protein complex detection. The approach applies a sophisticated natural language processing system, PPIExtractor [15], to extract new interactions from biomedical literature. These data are then integrated into the PPI datasets for protein complex detection. The experimental results on several PPI datasets show that in most cases the performances of some state-of-the-art protein complex detection methods are improved through the integration of protein-protein interactions and the PPI data extracted from literature.
Methods
Extracting PPIs with PPIExtractor In this work, we apply the PPIExtractor system to extract PPI data from biomedical literature, which are then integrated into the protein network for protein complex detection. Among the popular machine learning approaches to extracting PPIs from biomedical literature, kernel-based methods including tree kernels [16], shortest path kernels [17], and graph kernels [18] have been proposed for PPIs extraction. Kernel-based methods retain the original representation of objects and use the object in algorithms only via computing a kernel function between a pair of objects. However, each kernel utilizes a portion of the structures to calculate useful similarity. The kernel cannot retrieve the other important information that may be retrieved by other kernels. In previous work, we presented PPIExtractor to automatically extract protein-protein interactions from biomedical literature. PPIExtractor is a multiple kernels learning based system which combines the feature-based, convolution tree and graph kernels to extract PPIs. The combined kernel can reduce the risk of missing important features, yielding new useful similarity measures. More specifically, the weighted linear combination of individual kernel used instead of assigning the same weight to each individual kernel is experimentally proven to contribute to the performance improvement. Experimental evaluations show that PPIExtractor can achieve state-of-the-art performance on a DIP subset with respect to comparable evaluations. More complete details are presented in [15]. PPIExtractor contains four modules: (i) Named Entity Recognition (NER) module which aims to identify the protein names in the biomedical literature; (ii) Normalization module which determines the unique identifier of proteins identified in NER module; (iii) PPI extraction module which extracts the PPI information in the biomedical literature and (iv) PPI visualization module which displays the extracted PPI information in the form of a graph. Figure 1 shows the architecture of PPIExtractor. The architecture of PPIExtractor. The biomedical literature PPI data we used is 127,217 PubMed abstracts downloaded from PubMed website (http://www.ncbi.nlm.nih.gov/pubmed) with the query string "((Saccharomyces cerevisiae) OR yeast) AND protein". 126,165 protein interactions were extracted from these abstracts by the PPIExtractor system. Most of the protein names in the PPI databases are systematic names for nuclear-encoded ORFs begin with the letter 'Y' (for 'Yeast') while those in PubMed abstracts are not. Therefore, we built a yeast protein alias name list with about 6,000 entries from the UniProt website (http://www.uniprot.org/uniprot/?query=yeast&sort=score). The list is used to convert the protein names in PubMed abstracts to systematic names for nuclear-encoded ORFs. In our method, a PPI can be added into a PPI dataset only if the two proteins in the PPI already exist in the PPI dataset. In this work, we apply the PPIExtractor system to extract PPI data from biomedical literature, which are then integrated into the protein network for protein complex detection. Among the popular machine learning approaches to extracting PPIs from biomedical literature, kernel-based methods including tree kernels [16], shortest path kernels [17], and graph kernels [18] have been proposed for PPIs extraction. Kernel-based methods retain the original representation of objects and use the object in algorithms only via computing a kernel function between a pair of objects. However, each kernel utilizes a portion of the structures to calculate useful similarity. The kernel cannot retrieve the other important information that may be retrieved by other kernels. In previous work, we presented PPIExtractor to automatically extract protein-protein interactions from biomedical literature. PPIExtractor is a multiple kernels learning based system which combines the feature-based, convolution tree and graph kernels to extract PPIs. The combined kernel can reduce the risk of missing important features, yielding new useful similarity measures. More specifically, the weighted linear combination of individual kernel used instead of assigning the same weight to each individual kernel is experimentally proven to contribute to the performance improvement. Experimental evaluations show that PPIExtractor can achieve state-of-the-art performance on a DIP subset with respect to comparable evaluations. More complete details are presented in [15]. PPIExtractor contains four modules: (i) Named Entity Recognition (NER) module which aims to identify the protein names in the biomedical literature; (ii) Normalization module which determines the unique identifier of proteins identified in NER module; (iii) PPI extraction module which extracts the PPI information in the biomedical literature and (iv) PPI visualization module which displays the extracted PPI information in the form of a graph. Figure 1 shows the architecture of PPIExtractor. The architecture of PPIExtractor. The biomedical literature PPI data we used is 127,217 PubMed abstracts downloaded from PubMed website (http://www.ncbi.nlm.nih.gov/pubmed) with the query string "((Saccharomyces cerevisiae) OR yeast) AND protein". 126,165 protein interactions were extracted from these abstracts by the PPIExtractor system. Most of the protein names in the PPI databases are systematic names for nuclear-encoded ORFs begin with the letter 'Y' (for 'Yeast') while those in PubMed abstracts are not. Therefore, we built a yeast protein alias name list with about 6,000 entries from the UniProt website (http://www.uniprot.org/uniprot/?query=yeast&sort=score). The list is used to convert the protein names in PubMed abstracts to systematic names for nuclear-encoded ORFs. In our method, a PPI can be added into a PPI dataset only if the two proteins in the PPI already exist in the PPI dataset. Yeast PPI datasets As in [6], five different yeast PPI datasets in our experiments were used to verify the effectiveness of our method, including three high-throughput experimental datasets (Gavin, Krogan-core and Krogan-extended), a computationally derived network that integrates the results of these studies (Collins), and a compendium of all known yeast protein-protein interactions (BioGRID). The Gavin data set was obtained by considering all PPIs with a socio-affinity index larger than five, proposed by the original authors. The Krogan data set was used in two variants: the core data set and the extended data set. The core data set contained only highly reliable interactions, whose probability > 0.273. The extended data set contained more interactions with less reliability, whose probability > 0.101. The Collins data set was retained the top 9,074 interactions according to their purification enrichment score, as suggested in the original paper. The BioGRID data set was downloaded from version 3.1.77 and contained all physical interactions that involve yeast proteins only. The details of the interaction datasets are shown in Table 1. Self-interactions and isolated proteins were filtered from all the datasets. Properties of the five yeast PPI datasets used in the experiments As in [6], five different yeast PPI datasets in our experiments were used to verify the effectiveness of our method, including three high-throughput experimental datasets (Gavin, Krogan-core and Krogan-extended), a computationally derived network that integrates the results of these studies (Collins), and a compendium of all known yeast protein-protein interactions (BioGRID). The Gavin data set was obtained by considering all PPIs with a socio-affinity index larger than five, proposed by the original authors. The Krogan data set was used in two variants: the core data set and the extended data set. The core data set contained only highly reliable interactions, whose probability > 0.273. The extended data set contained more interactions with less reliability, whose probability > 0.101. The Collins data set was retained the top 9,074 interactions according to their purification enrichment score, as suggested in the original paper. The BioGRID data set was downloaded from version 3.1.77 and contained all physical interactions that involve yeast proteins only. The details of the interaction datasets are shown in Table 1. Self-interactions and isolated proteins were filtered from all the datasets. Properties of the five yeast PPI datasets used in the experiments Integration of the extracted PPIs into the PPI datasets Each extracted PPI is assigned a weight by PPIExtractor which represent the reliability of the PPI. In our method, a certain amount of PPIs with the weights higher than a threshold can be integrated into the PPI datasets. Since BioGRID is an unweighted dataset, the weights of these PPIs are discarded. For the weighted datasets, Gavin, Krogan-core and Krogan-extended and Collins, the weights of these PPIs are adjusted proportionately to the ones in the PPI datasets which are usually calculated using complicated machine learning approaches that operate on the original noisy experimental datasets to reflect the reliability of the PPI [6]. In addition, we integrate a PPI with the weight equal to or higher than a threshold into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. As shown in Figure 2, since the BioGRID dataset has the most proteins (5,460), the most PPIs are integrated into it: with the threshold -0.6, 6,025 PPIs are integrated into it. The amounts of the PPIs added into the PPI datasets with different thresholds are shown in Table 2. The amounts of the PPIs added into the original PPI datasets. The amounts of the PPIs added into the original PPI datasets with different thresholds Each extracted PPI is assigned a weight by PPIExtractor which represent the reliability of the PPI. In our method, a certain amount of PPIs with the weights higher than a threshold can be integrated into the PPI datasets. Since BioGRID is an unweighted dataset, the weights of these PPIs are discarded. For the weighted datasets, Gavin, Krogan-core and Krogan-extended and Collins, the weights of these PPIs are adjusted proportionately to the ones in the PPI datasets which are usually calculated using complicated machine learning approaches that operate on the original noisy experimental datasets to reflect the reliability of the PPI [6]. In addition, we integrate a PPI with the weight equal to or higher than a threshold into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. As shown in Figure 2, since the BioGRID dataset has the most proteins (5,460), the most PPIs are integrated into it: with the threshold -0.6, 6,025 PPIs are integrated into it. The amounts of the PPIs added into the PPI datasets with different thresholds are shown in Table 2. The amounts of the PPIs added into the original PPI datasets. The amounts of the PPIs added into the original PPI datasets with different thresholds Protein complex detection methods In our experiments, a state-of-the-art complex detection method, ClusterONE [6], was used to evaluate our method's effectiveness on PPI datasets for protein complex detection. The ClusterONE is a method for detecting potentially overlapping protein complexes from protein interaction network. The algorithm uses a greedy growth process to find groups in a protein interaction network. The main algorithm consists of three steps: first, it grows groups with high cohesiveness from selected seed proteins. Second, it merges highly overlapping pairs of locally optimal cohesive groups. Last, the complex candidates that contain less than three proteins or whose densities are below a given threshold are discarded. Experimental results show that ClusterONE outperforms the other approaches both on weighted and unweighted PPI networks, matching more complexes with a higher accuracy and providing a better one-to-one mapping with reference complexes in almost all the data sets. In addition, we also evaluated the effectiveness of our method on three other complex detection algorithms proposed in recent years, i.e. CMC, COACH and RRW. CMC is a clique based method that uses a protein-protein interaction iteration method to update the network [2]. COACH is based on the core-attachment architecture developed by Gavin et al.[7], and selects some subgraph as the core structure first, and then adds the attachment to the core to construct a complex. The RRW algorithm derives complexes from results of repeated restarted random walks on the graph of protein-protein interactions [5]. For each algorithm, its parameters are set as those described in [6] which have been optimized to yield the best possible results as measured by the maximum matching ratio on the gold standards. In our experiments, a state-of-the-art complex detection method, ClusterONE [6], was used to evaluate our method's effectiveness on PPI datasets for protein complex detection. The ClusterONE is a method for detecting potentially overlapping protein complexes from protein interaction network. The algorithm uses a greedy growth process to find groups in a protein interaction network. The main algorithm consists of three steps: first, it grows groups with high cohesiveness from selected seed proteins. Second, it merges highly overlapping pairs of locally optimal cohesive groups. Last, the complex candidates that contain less than three proteins or whose densities are below a given threshold are discarded. Experimental results show that ClusterONE outperforms the other approaches both on weighted and unweighted PPI networks, matching more complexes with a higher accuracy and providing a better one-to-one mapping with reference complexes in almost all the data sets. In addition, we also evaluated the effectiveness of our method on three other complex detection algorithms proposed in recent years, i.e. CMC, COACH and RRW. CMC is a clique based method that uses a protein-protein interaction iteration method to update the network [2]. COACH is based on the core-attachment architecture developed by Gavin et al.[7], and selects some subgraph as the core structure first, and then adds the attachment to the core to construct a complex. The RRW algorithm derives complexes from results of repeated restarted random walks on the graph of protein-protein interactions [5]. For each algorithm, its parameters are set as those described in [6] which have been optimized to yield the best possible results as measured by the maximum matching ratio on the gold standards.
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Conclusions
Protein complexes are important for understanding principles of cellular organization and function. High-throughput experimental techniques have produced a large amount of protein interactions, making it possible to predict protein complexes from protein-protein interaction networks. On the other hand, the rapidly growing biomedical literature provides a significantly large, readily available and relatively accurate source of interaction data, which can be integrated into the protein network for better protein complex detection performance. In this paper, we present an approach of improving protein complex detection methods with integrated PPI data from biomedical literature. The approach applies PPIExtractor to extract PPI data from biomedical literature, which are then integrated into the protein network for protein complex detection. The experimental results of ClusterONE on five yeast PPI datasets show the effectiveness of our method: compared with the original networks, the average improvements of 3.976 and 5.416 percentage units in MMR are achieved on the new networks using the MIPS and SGD gold standards, respectively. In addition, our method also proves to be effective for three other algorithms proposed in recent years, CMC, COACH and RRW. Through the analysis of the experimental results, we found the choice of the threshold usually can be set to -0.6. However, for the databases with the low transitivity like BioGRID, the threshold should be set to higher. In this way, the performances of the state-of-the-art protein complex detection algorithms can be improved through the integration of the existed PPI datasets and the PPI data extracted from literature. A rapidly growing literature corpus ensures that PPI data is a readily-available resource for nearly every studied organism, particularly those with small protein interaction databases. PPI data provides a significantly large and readily available source of interaction data which, together with the guidelines and results reported here, will prove valuable especially for organisms in which protein-protein interaction data is sparse.
[ "Background", "Extracting PPIs with PPIExtractor", "Yeast PPI datasets", "Integration of the extracted PPIs into the PPI datasets", "Protein complex detection methods", "Results and discussion", "Gold standard protein complexes", "Evaluation metrics", "The performances of ClusterONE on PPI datasets", "The performances of other algorithms on PPI datasets", "Competing interests", "Authors' contributions" ]
[ "Protein complexes are molecular aggregations of proteins assembled by multiple protein-protein interactions. Many proteins are functional only after they are assembled into a protein complex and interact with other proteins in this complex. These protein complexes can help us to understand the principles of cellular organization and function. High-throughput experimental techniques have produced a large amount of protein interactions, which makes it possible to uncover protein complexes from protein interaction networks. A protein interaction network can be modeled as an undirected graph, where vertices represent proteins and edges represent interactions between proteins. Protein complexes are groups of proteins that interact with one another, so they are usually dense sub-graphs in PPI networks. Various algorithms based on graph theory have been applied to identify protein complexes and functional modules from protein interaction networks, including CFinder [1], CMC [2], COACH [3], MCL [4], RRW [5] and ClusterONE [6].\nAt the same time, a number of databases, such as Gavin [7], Krogan [8], Collins [9], DIP [10], and BioGRID [11], have been created to store protein interaction information in structured and standard formats. These datasets were usually derived with different experimental techniques: the Collins, Krogan and Gavin datasets include the results of TAP tagging experiments only; the DIP dataset include the results of Y2H experiments; the BioGRID dataset contains a mixture of TAP tagging, Y2H and low-throughput experimental results. However, even for model species, only a fraction of true physical interactions are known [12,13] and experimental verification of all remaining potential interactions is unlikely in the near future [14]. On the other hand, the rapidly growing biomedical literature provides a significantly large and readily available supplemental source of PPI data for complex detection methods. What is more, since these data from biomedical literature are contributed by biologists and, therefore, relatively accurate, the integration of them into the existing PPI datasets can be hopeful for better complex detection performance.\nOur work aims to quantifying the contribution of PPI data from biomedical literature as a supplement to the existing PPI datasets. In this paper, we present an approach of integrating PPI datasets with the PPI data from biomedical literature for protein complex detection. The approach applies a sophisticated natural language processing system, PPIExtractor [15], to extract new interactions from biomedical literature. These data are then integrated into the PPI datasets for protein complex detection. The experimental results on several PPI datasets show that in most cases the performances of some state-of-the-art protein complex detection methods are improved through the integration of protein-protein interactions and the PPI data extracted from literature.", "In this work, we apply the PPIExtractor system to extract PPI data from biomedical literature, which are then integrated into the protein network for protein complex detection.\nAmong the popular machine learning approaches to extracting PPIs from biomedical literature, kernel-based methods including tree kernels [16], shortest path kernels [17], and graph kernels [18] have been proposed for PPIs extraction. Kernel-based methods retain the original representation of objects and use the object in algorithms only via computing a kernel function between a pair of objects. However, each kernel utilizes a portion of the structures to calculate useful similarity. The kernel cannot retrieve the other important information that may be retrieved by other kernels.\nIn previous work, we presented PPIExtractor to automatically extract protein-protein interactions from biomedical literature. PPIExtractor is a multiple kernels learning based system which combines the feature-based, convolution tree and graph kernels to extract PPIs. The combined kernel can reduce the risk of missing important features, yielding new useful similarity measures. More specifically, the weighted linear combination of individual kernel used instead of assigning the same weight to each individual kernel is experimentally proven to contribute to the performance improvement. Experimental evaluations show that PPIExtractor can achieve state-of-the-art performance on a DIP subset with respect to comparable evaluations. More complete details are presented in [15].\nPPIExtractor contains four modules: (i) Named Entity Recognition (NER) module which aims to identify the protein names in the biomedical literature; (ii) Normalization module which determines the unique identifier of proteins identified in NER module; (iii) PPI extraction module which extracts the PPI information in the biomedical literature and (iv) PPI visualization module which displays the extracted PPI information in the form of a graph. Figure 1 shows the architecture of PPIExtractor.\nThe architecture of PPIExtractor.\nThe biomedical literature PPI data we used is 127,217 PubMed abstracts downloaded from PubMed website (http://www.ncbi.nlm.nih.gov/pubmed) with the query string \"((Saccharomyces cerevisiae) OR yeast) AND protein\". 126,165 protein interactions were extracted from these abstracts by the PPIExtractor system.\nMost of the protein names in the PPI databases are systematic names for nuclear-encoded ORFs begin with the letter 'Y' (for 'Yeast') while those in PubMed abstracts are not. Therefore, we built a yeast protein alias name list with about 6,000 entries from the UniProt website (http://www.uniprot.org/uniprot/?query=yeast&sort=score). The list is used to convert the protein names in PubMed abstracts to systematic names for nuclear-encoded ORFs. In our method, a PPI can be added into a PPI dataset only if the two proteins in the PPI already exist in the PPI dataset.", "As in [6], five different yeast PPI datasets in our experiments were used to verify the effectiveness of our method, including three high-throughput experimental datasets (Gavin, Krogan-core and Krogan-extended), a computationally derived network that integrates the results of these studies (Collins), and a compendium of all known yeast protein-protein interactions (BioGRID). The Gavin data set was obtained by considering all PPIs with a socio-affinity index larger than five, proposed by the original authors. The Krogan data set was used in two variants: the core data set and the extended data set. The core data set contained only highly reliable interactions, whose probability > 0.273. The extended data set contained more interactions with less reliability, whose probability > 0.101. The Collins data set was retained the top 9,074 interactions according to their purification enrichment score, as suggested in the original paper. The BioGRID data set was downloaded from version 3.1.77 and contained all physical interactions that involve yeast proteins only. The details of the interaction datasets are shown in Table 1. Self-interactions and isolated proteins were filtered from all the datasets.\nProperties of the five yeast PPI datasets used in the experiments", "Each extracted PPI is assigned a weight by PPIExtractor which represent the reliability of the PPI. In our method, a certain amount of PPIs with the weights higher than a threshold can be integrated into the PPI datasets. Since BioGRID is an unweighted dataset, the weights of these PPIs are discarded. For the weighted datasets, Gavin, Krogan-core and Krogan-extended and Collins, the weights of these PPIs are adjusted proportionately to the ones in the PPI datasets which are usually calculated using complicated machine learning approaches that operate on the original noisy experimental datasets to reflect the reliability of the PPI [6]. In addition, we integrate a PPI with the weight equal to or higher than a threshold into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. As shown in Figure 2, since the BioGRID dataset has the most proteins (5,460), the most PPIs are integrated into it: with the threshold -0.6, 6,025 PPIs are integrated into it. The amounts of the PPIs added into the PPI datasets with different thresholds are shown in Table 2.\nThe amounts of the PPIs added into the original PPI datasets.\nThe amounts of the PPIs added into the original PPI datasets with different thresholds", "In our experiments, a state-of-the-art complex detection method, ClusterONE [6], was used to evaluate our method's effectiveness on PPI datasets for protein complex detection. The ClusterONE is a method for detecting potentially overlapping protein complexes from protein interaction network. The algorithm uses a greedy growth process to find groups in a protein interaction network. The main algorithm consists of three steps: first, it grows groups with high cohesiveness from selected seed proteins. Second, it merges highly overlapping pairs of locally optimal cohesive groups. Last, the complex candidates that contain less than three proteins or whose densities are below a given threshold are discarded. Experimental results show that ClusterONE outperforms the other approaches both on weighted and unweighted PPI networks, matching more complexes with a higher accuracy and providing a better one-to-one mapping with reference complexes in almost all the data sets.\nIn addition, we also evaluated the effectiveness of our method on three other complex detection algorithms proposed in recent years, i.e. CMC, COACH and RRW. CMC is a clique based method that uses a protein-protein interaction iteration method to update the network [2]. COACH is based on the core-attachment architecture developed by Gavin et al.[7], and selects some subgraph as the core structure first, and then adds the attachment to the core to construct a complex. The RRW algorithm derives complexes from results of repeated restarted random walks on the graph of protein-protein interactions [5]. For each algorithm, its parameters are set as those described in [6] which have been optimized to yield the best possible results as measured by the maximum matching ratio on the gold standards.", " Gold standard protein complexes Like [6], the MIPS catalog of protein complexes [19] (18 May 2006) and the Gene Ontology (GO)-based protein complex annotations from SGD [20] (11 Aug 2010) were used as our gold standards. To avoid selection bias, all MIPS categories containing at least three and at most 100 proteins as protein complexes are considered. MIPS category 550 and all its descendants, as these categories correspond to unconfirmed protein complexes that were predicted by computational methods.\nFor SGD, GO annotations are maintained [21] for all yeast proteins. The complexes were derived from proteins annotated by descendant terms of the Gene Ontology term 'protein complex' (GO:0043234). Annotations with modifiers such as 'NOT' or 'colocalizes_with' and annotations supported by 'IEA' evidence code only were ignored. The details of the gold standard protein complex datasets are shown in Table 3.\nDetails of the gold standard protein complex datasets\nLike [6], the MIPS catalog of protein complexes [19] (18 May 2006) and the Gene Ontology (GO)-based protein complex annotations from SGD [20] (11 Aug 2010) were used as our gold standards. To avoid selection bias, all MIPS categories containing at least three and at most 100 proteins as protein complexes are considered. MIPS category 550 and all its descendants, as these categories correspond to unconfirmed protein complexes that were predicted by computational methods.\nFor SGD, GO annotations are maintained [21] for all yeast proteins. The complexes were derived from proteins annotated by descendant terms of the Gene Ontology term 'protein complex' (GO:0043234). Annotations with modifiers such as 'NOT' or 'colocalizes_with' and annotations supported by 'IEA' evidence code only were ignored. The details of the gold standard protein complex datasets are shown in Table 3.\nDetails of the gold standard protein complex datasets\n Evaluation metrics Like [6], we used three independent quality measures to assess the similarity between a set of predicted complexes and a set of reference complexes. The first measure is the fraction of pairs between predicted and reference complexes with an overlap scoreω larger than 0.25. The overlap score between two protein sets A and B is defined as follows:\n\n\n(1)\n\n\nN\nA\n\n(\n\nA\n,\nB\n\n)\n\n=\n\n\n|\nV\nA\n∩\nV\nB\n\n\n|\n\n\n2\n\n\n\n\n|\nV\nA\n|\n×\n|\nV\nB\n|\n\n\n\n\n\n\nThe threshold of 0.25 is chosen because it represents the case when the intersection is at least half of the complex size if the two complexes being compared are equally large.\nThe second measure we used is the geometric accuracy as introduced by Broh´ee and van Helden [22], which is the geometric mean of two other measures, namely the clustering-wise sensitivity (Sn) and the clustering-wise positive predictive value (PPV). Let n be the number of the benchmark complexes and m be the number of the predicted complexes. Construct a confusion matrix T, and let Tij denote the number of proteins that are found both in reference complex i and predicted complex j. Sn and PPV are defined as follows:\n\n\n(2)\n\n\nS\nn\n=\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\n\nmax\n\n\n\nj\n\n\n\n{\n\n\n\nT\n\n\ni\nj\n\n\n\n}\n\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\nN\n\n\ni\n\n\n\n\n\n\n\n\n\n\n(3)\n\n\nP\nP\nV\n=\n\n\n\n\n∑\n\n\nj\n=\n1\n\n\nm\n\n\n\n\n\nmax\n\n\n\ni\n\n\n\n{\n\n\n\nT\n\n\ni\nj\n\n\n\n}\n\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nm\n\n\n\n\nT\n\n\n.\nj\n\n\n\n\n\n\n\n\nHere, we define Ni is the number of proteins in the benchmark complex i, then T.jis defined as:\n\n\n(4)\n\n\n\n\nT\n\n\n.\nj\n\n\n=\n\n\n ∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\nT\n\n\ni\nj\n\n\n\n\n\n\nGenerally, a high Sn value indicates that the prediction has a good coverage of the proteins in the true complexes, whereas a high PPV value indicates that the predicted complexes are likely to be true complexes. So it is necessary to balance the two measures by introducing the geometric accuracy (Acc), which is simply the geometric mean of the clustering-wise sensitivity and the positive predictive value:\n\n\n(5)\n\n\nA\nc\nc\n=\n\n\nS\nn\n×\nP\nP\nV\n\n\n\n\n\n\nThe third measure we used is the maximum matching ratio (MMR) which was introduced in [6]. This measure is based on a maximal one-to-one mapping between predicted and standard complex. Let R as the standard complex, and P as the predicted complex. An edge connects a standard complex and a predicted complex if their neighborhood affinity score is larger than zero. Given n standard complexes and m predicted complexes, let j be the member of the predicted complexes, MMR then defined as follows:\n\n\n(6)\n\n\nM\nM\nR\n=\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\n\nmax\n\n\n\nj\n\n\nN\nA\n\n(\n\ni\n,\nj\n\n)\n\n\n\nn\n\n\n\n\n\n\nThe geometric accuracy measure explicitly penalizes predicted complexes that do not match any of the reference complexes. However, gold standard sets of protein complexes are often incomplete [23]. As a consequence, predicted complexes not matching any known reference complexes may still exhibit high functional similarity or be highly co-localized, and therefore they could still be prospective candidates for further in-depth analysis. In other words, a predicted complex that does not match a reference complex is not necessarily an undesired result, and optimizing for the geometric accuracy measure might prevent us from detecting novel complexes from a PPI dataset. The maximum matching ratio sidesteps this problem by dividing the total weight of the maximum matching with the number of reference complexes. Therefore, in the performance comparison, the MMR is used as the main metric, and the Acc is only used as an auxiliary one.\nLike [6], we used three independent quality measures to assess the similarity between a set of predicted complexes and a set of reference complexes. The first measure is the fraction of pairs between predicted and reference complexes with an overlap scoreω larger than 0.25. The overlap score between two protein sets A and B is defined as follows:\n\n\n(1)\n\n\nN\nA\n\n(\n\nA\n,\nB\n\n)\n\n=\n\n\n|\nV\nA\n∩\nV\nB\n\n\n|\n\n\n2\n\n\n\n\n|\nV\nA\n|\n×\n|\nV\nB\n|\n\n\n\n\n\n\nThe threshold of 0.25 is chosen because it represents the case when the intersection is at least half of the complex size if the two complexes being compared are equally large.\nThe second measure we used is the geometric accuracy as introduced by Broh´ee and van Helden [22], which is the geometric mean of two other measures, namely the clustering-wise sensitivity (Sn) and the clustering-wise positive predictive value (PPV). Let n be the number of the benchmark complexes and m be the number of the predicted complexes. Construct a confusion matrix T, and let Tij denote the number of proteins that are found both in reference complex i and predicted complex j. Sn and PPV are defined as follows:\n\n\n(2)\n\n\nS\nn\n=\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\n\nmax\n\n\n\nj\n\n\n\n{\n\n\n\nT\n\n\ni\nj\n\n\n\n}\n\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\nN\n\n\ni\n\n\n\n\n\n\n\n\n\n\n(3)\n\n\nP\nP\nV\n=\n\n\n\n\n∑\n\n\nj\n=\n1\n\n\nm\n\n\n\n\n\nmax\n\n\n\ni\n\n\n\n{\n\n\n\nT\n\n\ni\nj\n\n\n\n}\n\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nm\n\n\n\n\nT\n\n\n.\nj\n\n\n\n\n\n\n\n\nHere, we define Ni is the number of proteins in the benchmark complex i, then T.jis defined as:\n\n\n(4)\n\n\n\n\nT\n\n\n.\nj\n\n\n=\n\n\n ∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\nT\n\n\ni\nj\n\n\n\n\n\n\nGenerally, a high Sn value indicates that the prediction has a good coverage of the proteins in the true complexes, whereas a high PPV value indicates that the predicted complexes are likely to be true complexes. So it is necessary to balance the two measures by introducing the geometric accuracy (Acc), which is simply the geometric mean of the clustering-wise sensitivity and the positive predictive value:\n\n\n(5)\n\n\nA\nc\nc\n=\n\n\nS\nn\n×\nP\nP\nV\n\n\n\n\n\n\nThe third measure we used is the maximum matching ratio (MMR) which was introduced in [6]. This measure is based on a maximal one-to-one mapping between predicted and standard complex. Let R as the standard complex, and P as the predicted complex. An edge connects a standard complex and a predicted complex if their neighborhood affinity score is larger than zero. Given n standard complexes and m predicted complexes, let j be the member of the predicted complexes, MMR then defined as follows:\n\n\n(6)\n\n\nM\nM\nR\n=\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\n\nmax\n\n\n\nj\n\n\nN\nA\n\n(\n\ni\n,\nj\n\n)\n\n\n\nn\n\n\n\n\n\n\nThe geometric accuracy measure explicitly penalizes predicted complexes that do not match any of the reference complexes. However, gold standard sets of protein complexes are often incomplete [23]. As a consequence, predicted complexes not matching any known reference complexes may still exhibit high functional similarity or be highly co-localized, and therefore they could still be prospective candidates for further in-depth analysis. In other words, a predicted complex that does not match a reference complex is not necessarily an undesired result, and optimizing for the geometric accuracy measure might prevent us from detecting novel complexes from a PPI dataset. The maximum matching ratio sidesteps this problem by dividing the total weight of the maximum matching with the number of reference complexes. Therefore, in the performance comparison, the MMR is used as the main metric, and the Acc is only used as an auxiliary one.\n The performances of ClusterONE on PPI datasets First, we tested ClusterONE on the Collins, Gavin, Krogan-core, Krogan-extended and BioGRID dataset. Tables 4, 5 and 6 contain the results of Accuracy, MMR and fraction of matched complexes when the MIPS dataset was used as the gold standard, respectively. Figure 3 depicts the MMR performances of ClusterONE on PPI datasets using the MIPS gold standard, which show that, in most cases, better performance of ClusterONE can be achieved when the PPIs extracted from literature are added into the original PPI datasets. When the PPIs with weights larger than or equal to threshold -0.6 are added, ClusterONE achieves the highest average MMR improvement on all five PPI datasets: the average improvements of 2.938 and 3.976 percentage units in Accuracy and MMR over that on the original datasets are achieved on the new datasets. With the lower thresholds (-0.7 to -0.9), the MMR performance begin to decline. The reason is that the lower threshold means more less reliable PPIs are introduced, which will deteriorate the performance of complex detection algorithms.\nThe Accuracy performances of ClusterONE on PPI datasets using the MIPS gold standard\nΔ(-0.6) denotes the MMR improvement with the threshold -0.6 over that on the original datasets. Avg.Δ denotes the average MMR improvement over that on the original datasets.\nThe MMR performances of ClusterONE on PPI datasets using the MIPS gold standard\nThe fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the MIPS gold standard\nThe MMR performances of ClusterONE on PPI datasets using the MIPS gold standard.\nThe similar results were obtained when the SGD dataset was used as the gold standard as shown in Figure 4 and Tables 7, 8 and 9. Compared with the original datasets, the average improvements of 2.356 and 5.416 percentage units in Accuracy and MMR are achieved on the new networks with the threshold -0.6.\nThe MMR performances of ClusterONE on PPI datasets using the SGD gold standard.\nThe Accuracy performances of ClusterONE on PPI datasets using the SGD gold standard\nThe MMR performances of ClusterONE on PPI datasets using the SGD gold standard\nThe fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the SGD gold standard\nFirst, we tested ClusterONE on the Collins, Gavin, Krogan-core, Krogan-extended and BioGRID dataset. Tables 4, 5 and 6 contain the results of Accuracy, MMR and fraction of matched complexes when the MIPS dataset was used as the gold standard, respectively. Figure 3 depicts the MMR performances of ClusterONE on PPI datasets using the MIPS gold standard, which show that, in most cases, better performance of ClusterONE can be achieved when the PPIs extracted from literature are added into the original PPI datasets. When the PPIs with weights larger than or equal to threshold -0.6 are added, ClusterONE achieves the highest average MMR improvement on all five PPI datasets: the average improvements of 2.938 and 3.976 percentage units in Accuracy and MMR over that on the original datasets are achieved on the new datasets. With the lower thresholds (-0.7 to -0.9), the MMR performance begin to decline. The reason is that the lower threshold means more less reliable PPIs are introduced, which will deteriorate the performance of complex detection algorithms.\nThe Accuracy performances of ClusterONE on PPI datasets using the MIPS gold standard\nΔ(-0.6) denotes the MMR improvement with the threshold -0.6 over that on the original datasets. Avg.Δ denotes the average MMR improvement over that on the original datasets.\nThe MMR performances of ClusterONE on PPI datasets using the MIPS gold standard\nThe fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the MIPS gold standard\nThe MMR performances of ClusterONE on PPI datasets using the MIPS gold standard.\nThe similar results were obtained when the SGD dataset was used as the gold standard as shown in Figure 4 and Tables 7, 8 and 9. Compared with the original datasets, the average improvements of 2.356 and 5.416 percentage units in Accuracy and MMR are achieved on the new networks with the threshold -0.6.\nThe MMR performances of ClusterONE on PPI datasets using the SGD gold standard.\nThe Accuracy performances of ClusterONE on PPI datasets using the SGD gold standard\nThe MMR performances of ClusterONE on PPI datasets using the SGD gold standard\nThe fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the SGD gold standard\n The performances of other algorithms on PPI datasets The performances of three other complex detection algorithms proposed since 2009 (i.e. COACH, CMC and RRW) on these yeast PPI datasets are shown in Tables 10 and 11. Like ClusterONE, these algorithms achieve the best performance with the threshold -0.6 on these yeast PPI datasets except on BioGRID: in term of MMR, COACH, CMC and RRW achieve 12.51, 19.85 and 4.2 percentage unit average improvements over those on the original datasets using the MIPS gold standard, respectively, while the average improvements are 12.41, 15.59 and 5.85 percentage units using the SGD gold standard, respectively.\nThe performances of various protein complex detection algorithms on PPI datasets using the MIPS gold standard\nMMR(-0.6) denotes the MMR value when with the threshold -0.6; Δ(-0.6) denotes the MMR improvement when with the threshold -0.6 over that on the original datasets. MMR(0) denotes the MMR value when with the threshold 0; Δ(0) denotes the MMR improvement when with the threshold 0 over that on the original datasets.\nThe performances of various protein complex detection algorithms on PPI datasets using the SGD gold standard\nOn the BioGRID dataset, the performances of these algorithms decrease with the threshold -0.6: in term of MMR, there is an 8.41 percentage unit decrease in the performance of the RRW algorithm using the MIPS gold standard while there are 11.15 and 4.89 percentage unit decreases in the performance of the CMC and RRW algorithms using the SGD gold standard, respectively. Through the analysis of the results, we found that these algorithms obtain more clusters on BioGRID with the threshold -0.6 than on the original BioGRID. However, many of them are not matched one, i.e. they can not match with any complex in the gold standards, which deteriorates the performances of the complex detection algorithms.\nThe reason behind it is that, in our method, a PPI with the weight equal to or higher than a threshold is integrated into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. Since the BioGRID dataset includes the most proteins (5,460), the most PPIs are integrated into it as shown in Figure 2: with the threshold -0.6, 6,025 PPIs are integrated into it while the numbers are 926, 1,324, 2,457 and 3,962 for Collins, Gavin, Krogan-core, Krogan-extended, respectively. In fact, according to [6], the BioGRID network is structurally very different from the other four datasets, and particularly it shows an unexpectedly high fraction of star-like structures. If many candidate complexes with star-like structures are predicted, the effectiveness of the complex detection algorithms may be hampered. The reason is that these complexes usually have low density values (where the density of a complex with n proteins is defined as the total weight of its internal edges, divided by n * (n − 1)/2 and, in the unweighted BioGRID dataset, the total weight of the complex is the number of its internal edges; an example is shown in Figure 5a) and a considerable number of real complexes form a clique in the interaction graph and have high density values though there are many other topological structures that may represent a complex on a PPI graph [24]. For example, the experimental results in [6] show that the performance of various protein complex detection algorithms on BioGRID is the worst among all PPI databases. In these cases the authors of [6] recommended that use higher value for the density threshold in order to discard trivial clusters. Given an unweighted network, ClusterONE automatically tests the value of the transitivity and sets the density threshold to either 0.5 or 0.6 (for the BioGRID dataset it uses 0.6).\nAn example of a candidate complex. (a) before the PPI integration and (b) after the PPI integration.\nOn a dataset like BioGRID, many candidate complexes with star-like structures and low density values should have been discarded based on the density threshold by complex detection algorithms. However, when the PPI data from literature are integrated, many such candidate complexes will be retained since the density values of these complexes are increased with the inclusion of new PPI data. As shown in the example of Figure 5, a candidate complex with star-like structure (Figure 5a) will be discarded since its density is 0.5 while the density threshold. However, when the edge between protein A and C is added (Figure 5b), the complex's density increases to 0.67 and it will be retained by ClusterONE (the density threshold 0.6).\nThis assumption can be supported by the following fact: with the threshold -0.6, a total of 6,025 PPIs are integrated into the BioGRID dataset and a total of 105 detected complexes by ClusterONE are increased (from 472 to 577). Since many of them can not match with any complex in the gold standards, the performance is deteriorated. As can be seen from Figures 6, 7 and 8, with the increase of the threshold, the number of the detected complexes detected by ClusterONE on BioGRID dataset keeps increasing while the number of the matched complexes remains almost the same and, in some cases, even decreases. while on another dataset with large size, Krogan extended, with the threshold -0.6, a total of 3,962 PPIs are integrated and only 68 detected complexes are increased (from 531 to 599). Even with the threshold -0.8, a total of 6,189 PPIs (the number is equivalent to the one on BioGRID with the threshold -0.6) are integrated and 86 detected complexes are increased (from 531 to 617). As can be seen from Figures 6, 7 and 8, when the PPI data with the threshold 0 are included, the numbers of the detected complexes and matched complexes by ClusterONE on Krogan extended dataset both increase. With the further increase of the threshold, like on BioGRID, the number of the matched complexes remains almost the same and, in some cases, even decreases. However, the number of the detected complexes also decreases while on BioGRID it keeps ever increasing, which especially deteriorates the performance of ClusterONE on BioGRID.\nThe numbers of the complexes detected by ClusterONE on PPI datasets with different thresholds.\nThe numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the MIPS gold standard.\nThe numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the SGD gold standard.\nOn the other hand, we found if the threshold is set to 0 and less PPIs (1,210) are integrated into BioGRID, much better performance can be achieved using any gold standard (MIPS and SGD) as shown in Figures 9 and 10.\nThe performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using MIPS as gold standard.\nThe performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using SGD as gold standard.\nTherefore, with the databases with the low transitivity like BioGRID, the threshold should be set to higher to ensure less PPIs are integrated into the databases, and, in other cases, the threshold can be set to -0.6. In this way, the performances of protein complex detection algorithms can be improved through the integration of PPI datasets and the PPI data extracted from literature.\nThe performances of three other complex detection algorithms proposed since 2009 (i.e. COACH, CMC and RRW) on these yeast PPI datasets are shown in Tables 10 and 11. Like ClusterONE, these algorithms achieve the best performance with the threshold -0.6 on these yeast PPI datasets except on BioGRID: in term of MMR, COACH, CMC and RRW achieve 12.51, 19.85 and 4.2 percentage unit average improvements over those on the original datasets using the MIPS gold standard, respectively, while the average improvements are 12.41, 15.59 and 5.85 percentage units using the SGD gold standard, respectively.\nThe performances of various protein complex detection algorithms on PPI datasets using the MIPS gold standard\nMMR(-0.6) denotes the MMR value when with the threshold -0.6; Δ(-0.6) denotes the MMR improvement when with the threshold -0.6 over that on the original datasets. MMR(0) denotes the MMR value when with the threshold 0; Δ(0) denotes the MMR improvement when with the threshold 0 over that on the original datasets.\nThe performances of various protein complex detection algorithms on PPI datasets using the SGD gold standard\nOn the BioGRID dataset, the performances of these algorithms decrease with the threshold -0.6: in term of MMR, there is an 8.41 percentage unit decrease in the performance of the RRW algorithm using the MIPS gold standard while there are 11.15 and 4.89 percentage unit decreases in the performance of the CMC and RRW algorithms using the SGD gold standard, respectively. Through the analysis of the results, we found that these algorithms obtain more clusters on BioGRID with the threshold -0.6 than on the original BioGRID. However, many of them are not matched one, i.e. they can not match with any complex in the gold standards, which deteriorates the performances of the complex detection algorithms.\nThe reason behind it is that, in our method, a PPI with the weight equal to or higher than a threshold is integrated into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. Since the BioGRID dataset includes the most proteins (5,460), the most PPIs are integrated into it as shown in Figure 2: with the threshold -0.6, 6,025 PPIs are integrated into it while the numbers are 926, 1,324, 2,457 and 3,962 for Collins, Gavin, Krogan-core, Krogan-extended, respectively. In fact, according to [6], the BioGRID network is structurally very different from the other four datasets, and particularly it shows an unexpectedly high fraction of star-like structures. If many candidate complexes with star-like structures are predicted, the effectiveness of the complex detection algorithms may be hampered. The reason is that these complexes usually have low density values (where the density of a complex with n proteins is defined as the total weight of its internal edges, divided by n * (n − 1)/2 and, in the unweighted BioGRID dataset, the total weight of the complex is the number of its internal edges; an example is shown in Figure 5a) and a considerable number of real complexes form a clique in the interaction graph and have high density values though there are many other topological structures that may represent a complex on a PPI graph [24]. For example, the experimental results in [6] show that the performance of various protein complex detection algorithms on BioGRID is the worst among all PPI databases. In these cases the authors of [6] recommended that use higher value for the density threshold in order to discard trivial clusters. Given an unweighted network, ClusterONE automatically tests the value of the transitivity and sets the density threshold to either 0.5 or 0.6 (for the BioGRID dataset it uses 0.6).\nAn example of a candidate complex. (a) before the PPI integration and (b) after the PPI integration.\nOn a dataset like BioGRID, many candidate complexes with star-like structures and low density values should have been discarded based on the density threshold by complex detection algorithms. However, when the PPI data from literature are integrated, many such candidate complexes will be retained since the density values of these complexes are increased with the inclusion of new PPI data. As shown in the example of Figure 5, a candidate complex with star-like structure (Figure 5a) will be discarded since its density is 0.5 while the density threshold. However, when the edge between protein A and C is added (Figure 5b), the complex's density increases to 0.67 and it will be retained by ClusterONE (the density threshold 0.6).\nThis assumption can be supported by the following fact: with the threshold -0.6, a total of 6,025 PPIs are integrated into the BioGRID dataset and a total of 105 detected complexes by ClusterONE are increased (from 472 to 577). Since many of them can not match with any complex in the gold standards, the performance is deteriorated. As can be seen from Figures 6, 7 and 8, with the increase of the threshold, the number of the detected complexes detected by ClusterONE on BioGRID dataset keeps increasing while the number of the matched complexes remains almost the same and, in some cases, even decreases. while on another dataset with large size, Krogan extended, with the threshold -0.6, a total of 3,962 PPIs are integrated and only 68 detected complexes are increased (from 531 to 599). Even with the threshold -0.8, a total of 6,189 PPIs (the number is equivalent to the one on BioGRID with the threshold -0.6) are integrated and 86 detected complexes are increased (from 531 to 617). As can be seen from Figures 6, 7 and 8, when the PPI data with the threshold 0 are included, the numbers of the detected complexes and matched complexes by ClusterONE on Krogan extended dataset both increase. With the further increase of the threshold, like on BioGRID, the number of the matched complexes remains almost the same and, in some cases, even decreases. However, the number of the detected complexes also decreases while on BioGRID it keeps ever increasing, which especially deteriorates the performance of ClusterONE on BioGRID.\nThe numbers of the complexes detected by ClusterONE on PPI datasets with different thresholds.\nThe numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the MIPS gold standard.\nThe numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the SGD gold standard.\nOn the other hand, we found if the threshold is set to 0 and less PPIs (1,210) are integrated into BioGRID, much better performance can be achieved using any gold standard (MIPS and SGD) as shown in Figures 9 and 10.\nThe performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using MIPS as gold standard.\nThe performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using SGD as gold standard.\nTherefore, with the databases with the low transitivity like BioGRID, the threshold should be set to higher to ensure less PPIs are integrated into the databases, and, in other cases, the threshold can be set to -0.6. In this way, the performances of protein complex detection algorithms can be improved through the integration of PPI datasets and the PPI data extracted from literature.", "Like [6], the MIPS catalog of protein complexes [19] (18 May 2006) and the Gene Ontology (GO)-based protein complex annotations from SGD [20] (11 Aug 2010) were used as our gold standards. To avoid selection bias, all MIPS categories containing at least three and at most 100 proteins as protein complexes are considered. MIPS category 550 and all its descendants, as these categories correspond to unconfirmed protein complexes that were predicted by computational methods.\nFor SGD, GO annotations are maintained [21] for all yeast proteins. The complexes were derived from proteins annotated by descendant terms of the Gene Ontology term 'protein complex' (GO:0043234). Annotations with modifiers such as 'NOT' or 'colocalizes_with' and annotations supported by 'IEA' evidence code only were ignored. The details of the gold standard protein complex datasets are shown in Table 3.\nDetails of the gold standard protein complex datasets", "Like [6], we used three independent quality measures to assess the similarity between a set of predicted complexes and a set of reference complexes. The first measure is the fraction of pairs between predicted and reference complexes with an overlap scoreω larger than 0.25. The overlap score between two protein sets A and B is defined as follows:\n\n\n(1)\n\n\nN\nA\n\n(\n\nA\n,\nB\n\n)\n\n=\n\n\n|\nV\nA\n∩\nV\nB\n\n\n|\n\n\n2\n\n\n\n\n|\nV\nA\n|\n×\n|\nV\nB\n|\n\n\n\n\n\n\nThe threshold of 0.25 is chosen because it represents the case when the intersection is at least half of the complex size if the two complexes being compared are equally large.\nThe second measure we used is the geometric accuracy as introduced by Broh´ee and van Helden [22], which is the geometric mean of two other measures, namely the clustering-wise sensitivity (Sn) and the clustering-wise positive predictive value (PPV). Let n be the number of the benchmark complexes and m be the number of the predicted complexes. Construct a confusion matrix T, and let Tij denote the number of proteins that are found both in reference complex i and predicted complex j. Sn and PPV are defined as follows:\n\n\n(2)\n\n\nS\nn\n=\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\n\nmax\n\n\n\nj\n\n\n\n{\n\n\n\nT\n\n\ni\nj\n\n\n\n}\n\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\nN\n\n\ni\n\n\n\n\n\n\n\n\n\n\n(3)\n\n\nP\nP\nV\n=\n\n\n\n\n∑\n\n\nj\n=\n1\n\n\nm\n\n\n\n\n\nmax\n\n\n\ni\n\n\n\n{\n\n\n\nT\n\n\ni\nj\n\n\n\n}\n\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nm\n\n\n\n\nT\n\n\n.\nj\n\n\n\n\n\n\n\n\nHere, we define Ni is the number of proteins in the benchmark complex i, then T.jis defined as:\n\n\n(4)\n\n\n\n\nT\n\n\n.\nj\n\n\n=\n\n\n ∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\nT\n\n\ni\nj\n\n\n\n\n\n\nGenerally, a high Sn value indicates that the prediction has a good coverage of the proteins in the true complexes, whereas a high PPV value indicates that the predicted complexes are likely to be true complexes. So it is necessary to balance the two measures by introducing the geometric accuracy (Acc), which is simply the geometric mean of the clustering-wise sensitivity and the positive predictive value:\n\n\n(5)\n\n\nA\nc\nc\n=\n\n\nS\nn\n×\nP\nP\nV\n\n\n\n\n\n\nThe third measure we used is the maximum matching ratio (MMR) which was introduced in [6]. This measure is based on a maximal one-to-one mapping between predicted and standard complex. Let R as the standard complex, and P as the predicted complex. An edge connects a standard complex and a predicted complex if their neighborhood affinity score is larger than zero. Given n standard complexes and m predicted complexes, let j be the member of the predicted complexes, MMR then defined as follows:\n\n\n(6)\n\n\nM\nM\nR\n=\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\n\nmax\n\n\n\nj\n\n\nN\nA\n\n(\n\ni\n,\nj\n\n)\n\n\n\nn\n\n\n\n\n\n\nThe geometric accuracy measure explicitly penalizes predicted complexes that do not match any of the reference complexes. However, gold standard sets of protein complexes are often incomplete [23]. As a consequence, predicted complexes not matching any known reference complexes may still exhibit high functional similarity or be highly co-localized, and therefore they could still be prospective candidates for further in-depth analysis. In other words, a predicted complex that does not match a reference complex is not necessarily an undesired result, and optimizing for the geometric accuracy measure might prevent us from detecting novel complexes from a PPI dataset. The maximum matching ratio sidesteps this problem by dividing the total weight of the maximum matching with the number of reference complexes. Therefore, in the performance comparison, the MMR is used as the main metric, and the Acc is only used as an auxiliary one.", "First, we tested ClusterONE on the Collins, Gavin, Krogan-core, Krogan-extended and BioGRID dataset. Tables 4, 5 and 6 contain the results of Accuracy, MMR and fraction of matched complexes when the MIPS dataset was used as the gold standard, respectively. Figure 3 depicts the MMR performances of ClusterONE on PPI datasets using the MIPS gold standard, which show that, in most cases, better performance of ClusterONE can be achieved when the PPIs extracted from literature are added into the original PPI datasets. When the PPIs with weights larger than or equal to threshold -0.6 are added, ClusterONE achieves the highest average MMR improvement on all five PPI datasets: the average improvements of 2.938 and 3.976 percentage units in Accuracy and MMR over that on the original datasets are achieved on the new datasets. With the lower thresholds (-0.7 to -0.9), the MMR performance begin to decline. The reason is that the lower threshold means more less reliable PPIs are introduced, which will deteriorate the performance of complex detection algorithms.\nThe Accuracy performances of ClusterONE on PPI datasets using the MIPS gold standard\nΔ(-0.6) denotes the MMR improvement with the threshold -0.6 over that on the original datasets. Avg.Δ denotes the average MMR improvement over that on the original datasets.\nThe MMR performances of ClusterONE on PPI datasets using the MIPS gold standard\nThe fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the MIPS gold standard\nThe MMR performances of ClusterONE on PPI datasets using the MIPS gold standard.\nThe similar results were obtained when the SGD dataset was used as the gold standard as shown in Figure 4 and Tables 7, 8 and 9. Compared with the original datasets, the average improvements of 2.356 and 5.416 percentage units in Accuracy and MMR are achieved on the new networks with the threshold -0.6.\nThe MMR performances of ClusterONE on PPI datasets using the SGD gold standard.\nThe Accuracy performances of ClusterONE on PPI datasets using the SGD gold standard\nThe MMR performances of ClusterONE on PPI datasets using the SGD gold standard\nThe fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the SGD gold standard", "The performances of three other complex detection algorithms proposed since 2009 (i.e. COACH, CMC and RRW) on these yeast PPI datasets are shown in Tables 10 and 11. Like ClusterONE, these algorithms achieve the best performance with the threshold -0.6 on these yeast PPI datasets except on BioGRID: in term of MMR, COACH, CMC and RRW achieve 12.51, 19.85 and 4.2 percentage unit average improvements over those on the original datasets using the MIPS gold standard, respectively, while the average improvements are 12.41, 15.59 and 5.85 percentage units using the SGD gold standard, respectively.\nThe performances of various protein complex detection algorithms on PPI datasets using the MIPS gold standard\nMMR(-0.6) denotes the MMR value when with the threshold -0.6; Δ(-0.6) denotes the MMR improvement when with the threshold -0.6 over that on the original datasets. MMR(0) denotes the MMR value when with the threshold 0; Δ(0) denotes the MMR improvement when with the threshold 0 over that on the original datasets.\nThe performances of various protein complex detection algorithms on PPI datasets using the SGD gold standard\nOn the BioGRID dataset, the performances of these algorithms decrease with the threshold -0.6: in term of MMR, there is an 8.41 percentage unit decrease in the performance of the RRW algorithm using the MIPS gold standard while there are 11.15 and 4.89 percentage unit decreases in the performance of the CMC and RRW algorithms using the SGD gold standard, respectively. Through the analysis of the results, we found that these algorithms obtain more clusters on BioGRID with the threshold -0.6 than on the original BioGRID. However, many of them are not matched one, i.e. they can not match with any complex in the gold standards, which deteriorates the performances of the complex detection algorithms.\nThe reason behind it is that, in our method, a PPI with the weight equal to or higher than a threshold is integrated into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. Since the BioGRID dataset includes the most proteins (5,460), the most PPIs are integrated into it as shown in Figure 2: with the threshold -0.6, 6,025 PPIs are integrated into it while the numbers are 926, 1,324, 2,457 and 3,962 for Collins, Gavin, Krogan-core, Krogan-extended, respectively. In fact, according to [6], the BioGRID network is structurally very different from the other four datasets, and particularly it shows an unexpectedly high fraction of star-like structures. If many candidate complexes with star-like structures are predicted, the effectiveness of the complex detection algorithms may be hampered. The reason is that these complexes usually have low density values (where the density of a complex with n proteins is defined as the total weight of its internal edges, divided by n * (n − 1)/2 and, in the unweighted BioGRID dataset, the total weight of the complex is the number of its internal edges; an example is shown in Figure 5a) and a considerable number of real complexes form a clique in the interaction graph and have high density values though there are many other topological structures that may represent a complex on a PPI graph [24]. For example, the experimental results in [6] show that the performance of various protein complex detection algorithms on BioGRID is the worst among all PPI databases. In these cases the authors of [6] recommended that use higher value for the density threshold in order to discard trivial clusters. Given an unweighted network, ClusterONE automatically tests the value of the transitivity and sets the density threshold to either 0.5 or 0.6 (for the BioGRID dataset it uses 0.6).\nAn example of a candidate complex. (a) before the PPI integration and (b) after the PPI integration.\nOn a dataset like BioGRID, many candidate complexes with star-like structures and low density values should have been discarded based on the density threshold by complex detection algorithms. However, when the PPI data from literature are integrated, many such candidate complexes will be retained since the density values of these complexes are increased with the inclusion of new PPI data. As shown in the example of Figure 5, a candidate complex with star-like structure (Figure 5a) will be discarded since its density is 0.5 while the density threshold. However, when the edge between protein A and C is added (Figure 5b), the complex's density increases to 0.67 and it will be retained by ClusterONE (the density threshold 0.6).\nThis assumption can be supported by the following fact: with the threshold -0.6, a total of 6,025 PPIs are integrated into the BioGRID dataset and a total of 105 detected complexes by ClusterONE are increased (from 472 to 577). Since many of them can not match with any complex in the gold standards, the performance is deteriorated. As can be seen from Figures 6, 7 and 8, with the increase of the threshold, the number of the detected complexes detected by ClusterONE on BioGRID dataset keeps increasing while the number of the matched complexes remains almost the same and, in some cases, even decreases. while on another dataset with large size, Krogan extended, with the threshold -0.6, a total of 3,962 PPIs are integrated and only 68 detected complexes are increased (from 531 to 599). Even with the threshold -0.8, a total of 6,189 PPIs (the number is equivalent to the one on BioGRID with the threshold -0.6) are integrated and 86 detected complexes are increased (from 531 to 617). As can be seen from Figures 6, 7 and 8, when the PPI data with the threshold 0 are included, the numbers of the detected complexes and matched complexes by ClusterONE on Krogan extended dataset both increase. With the further increase of the threshold, like on BioGRID, the number of the matched complexes remains almost the same and, in some cases, even decreases. However, the number of the detected complexes also decreases while on BioGRID it keeps ever increasing, which especially deteriorates the performance of ClusterONE on BioGRID.\nThe numbers of the complexes detected by ClusterONE on PPI datasets with different thresholds.\nThe numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the MIPS gold standard.\nThe numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the SGD gold standard.\nOn the other hand, we found if the threshold is set to 0 and less PPIs (1,210) are integrated into BioGRID, much better performance can be achieved using any gold standard (MIPS and SGD) as shown in Figures 9 and 10.\nThe performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using MIPS as gold standard.\nThe performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using SGD as gold standard.\nTherefore, with the databases with the low transitivity like BioGRID, the threshold should be set to higher to ensure less PPIs are integrated into the databases, and, in other cases, the threshold can be set to -0.6. In this way, the performances of protein complex detection algorithms can be improved through the integration of PPI datasets and the PPI data extracted from literature.", "The authors declare that they have no competing interests.", "ZHY conceived of the study, carried out its design and drafted the manuscript. FYY participated in the design of the study and performed the experiments. HFL and JW participated in its design and coordination, and helped to draft the manuscript. All authors read and approved the final manuscript." ]
[ null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Extracting PPIs with PPIExtractor", "Yeast PPI datasets", "Integration of the extracted PPIs into the PPI datasets", "Protein complex detection methods", "Results and discussion", "Gold standard protein complexes", "Evaluation metrics", "The performances of ClusterONE on PPI datasets", "The performances of other algorithms on PPI datasets", "Conclusions", "Competing interests", "Authors' contributions" ]
[ "Protein complexes are molecular aggregations of proteins assembled by multiple protein-protein interactions. Many proteins are functional only after they are assembled into a protein complex and interact with other proteins in this complex. These protein complexes can help us to understand the principles of cellular organization and function. High-throughput experimental techniques have produced a large amount of protein interactions, which makes it possible to uncover protein complexes from protein interaction networks. A protein interaction network can be modeled as an undirected graph, where vertices represent proteins and edges represent interactions between proteins. Protein complexes are groups of proteins that interact with one another, so they are usually dense sub-graphs in PPI networks. Various algorithms based on graph theory have been applied to identify protein complexes and functional modules from protein interaction networks, including CFinder [1], CMC [2], COACH [3], MCL [4], RRW [5] and ClusterONE [6].\nAt the same time, a number of databases, such as Gavin [7], Krogan [8], Collins [9], DIP [10], and BioGRID [11], have been created to store protein interaction information in structured and standard formats. These datasets were usually derived with different experimental techniques: the Collins, Krogan and Gavin datasets include the results of TAP tagging experiments only; the DIP dataset include the results of Y2H experiments; the BioGRID dataset contains a mixture of TAP tagging, Y2H and low-throughput experimental results. However, even for model species, only a fraction of true physical interactions are known [12,13] and experimental verification of all remaining potential interactions is unlikely in the near future [14]. On the other hand, the rapidly growing biomedical literature provides a significantly large and readily available supplemental source of PPI data for complex detection methods. What is more, since these data from biomedical literature are contributed by biologists and, therefore, relatively accurate, the integration of them into the existing PPI datasets can be hopeful for better complex detection performance.\nOur work aims to quantifying the contribution of PPI data from biomedical literature as a supplement to the existing PPI datasets. In this paper, we present an approach of integrating PPI datasets with the PPI data from biomedical literature for protein complex detection. The approach applies a sophisticated natural language processing system, PPIExtractor [15], to extract new interactions from biomedical literature. These data are then integrated into the PPI datasets for protein complex detection. The experimental results on several PPI datasets show that in most cases the performances of some state-of-the-art protein complex detection methods are improved through the integration of protein-protein interactions and the PPI data extracted from literature.", " Extracting PPIs with PPIExtractor In this work, we apply the PPIExtractor system to extract PPI data from biomedical literature, which are then integrated into the protein network for protein complex detection.\nAmong the popular machine learning approaches to extracting PPIs from biomedical literature, kernel-based methods including tree kernels [16], shortest path kernels [17], and graph kernels [18] have been proposed for PPIs extraction. Kernel-based methods retain the original representation of objects and use the object in algorithms only via computing a kernel function between a pair of objects. However, each kernel utilizes a portion of the structures to calculate useful similarity. The kernel cannot retrieve the other important information that may be retrieved by other kernels.\nIn previous work, we presented PPIExtractor to automatically extract protein-protein interactions from biomedical literature. PPIExtractor is a multiple kernels learning based system which combines the feature-based, convolution tree and graph kernels to extract PPIs. The combined kernel can reduce the risk of missing important features, yielding new useful similarity measures. More specifically, the weighted linear combination of individual kernel used instead of assigning the same weight to each individual kernel is experimentally proven to contribute to the performance improvement. Experimental evaluations show that PPIExtractor can achieve state-of-the-art performance on a DIP subset with respect to comparable evaluations. More complete details are presented in [15].\nPPIExtractor contains four modules: (i) Named Entity Recognition (NER) module which aims to identify the protein names in the biomedical literature; (ii) Normalization module which determines the unique identifier of proteins identified in NER module; (iii) PPI extraction module which extracts the PPI information in the biomedical literature and (iv) PPI visualization module which displays the extracted PPI information in the form of a graph. Figure 1 shows the architecture of PPIExtractor.\nThe architecture of PPIExtractor.\nThe biomedical literature PPI data we used is 127,217 PubMed abstracts downloaded from PubMed website (http://www.ncbi.nlm.nih.gov/pubmed) with the query string \"((Saccharomyces cerevisiae) OR yeast) AND protein\". 126,165 protein interactions were extracted from these abstracts by the PPIExtractor system.\nMost of the protein names in the PPI databases are systematic names for nuclear-encoded ORFs begin with the letter 'Y' (for 'Yeast') while those in PubMed abstracts are not. Therefore, we built a yeast protein alias name list with about 6,000 entries from the UniProt website (http://www.uniprot.org/uniprot/?query=yeast&sort=score). The list is used to convert the protein names in PubMed abstracts to systematic names for nuclear-encoded ORFs. In our method, a PPI can be added into a PPI dataset only if the two proteins in the PPI already exist in the PPI dataset.\nIn this work, we apply the PPIExtractor system to extract PPI data from biomedical literature, which are then integrated into the protein network for protein complex detection.\nAmong the popular machine learning approaches to extracting PPIs from biomedical literature, kernel-based methods including tree kernels [16], shortest path kernels [17], and graph kernels [18] have been proposed for PPIs extraction. Kernel-based methods retain the original representation of objects and use the object in algorithms only via computing a kernel function between a pair of objects. However, each kernel utilizes a portion of the structures to calculate useful similarity. The kernel cannot retrieve the other important information that may be retrieved by other kernels.\nIn previous work, we presented PPIExtractor to automatically extract protein-protein interactions from biomedical literature. PPIExtractor is a multiple kernels learning based system which combines the feature-based, convolution tree and graph kernels to extract PPIs. The combined kernel can reduce the risk of missing important features, yielding new useful similarity measures. More specifically, the weighted linear combination of individual kernel used instead of assigning the same weight to each individual kernel is experimentally proven to contribute to the performance improvement. Experimental evaluations show that PPIExtractor can achieve state-of-the-art performance on a DIP subset with respect to comparable evaluations. More complete details are presented in [15].\nPPIExtractor contains four modules: (i) Named Entity Recognition (NER) module which aims to identify the protein names in the biomedical literature; (ii) Normalization module which determines the unique identifier of proteins identified in NER module; (iii) PPI extraction module which extracts the PPI information in the biomedical literature and (iv) PPI visualization module which displays the extracted PPI information in the form of a graph. Figure 1 shows the architecture of PPIExtractor.\nThe architecture of PPIExtractor.\nThe biomedical literature PPI data we used is 127,217 PubMed abstracts downloaded from PubMed website (http://www.ncbi.nlm.nih.gov/pubmed) with the query string \"((Saccharomyces cerevisiae) OR yeast) AND protein\". 126,165 protein interactions were extracted from these abstracts by the PPIExtractor system.\nMost of the protein names in the PPI databases are systematic names for nuclear-encoded ORFs begin with the letter 'Y' (for 'Yeast') while those in PubMed abstracts are not. Therefore, we built a yeast protein alias name list with about 6,000 entries from the UniProt website (http://www.uniprot.org/uniprot/?query=yeast&sort=score). The list is used to convert the protein names in PubMed abstracts to systematic names for nuclear-encoded ORFs. In our method, a PPI can be added into a PPI dataset only if the two proteins in the PPI already exist in the PPI dataset.\n Yeast PPI datasets As in [6], five different yeast PPI datasets in our experiments were used to verify the effectiveness of our method, including three high-throughput experimental datasets (Gavin, Krogan-core and Krogan-extended), a computationally derived network that integrates the results of these studies (Collins), and a compendium of all known yeast protein-protein interactions (BioGRID). The Gavin data set was obtained by considering all PPIs with a socio-affinity index larger than five, proposed by the original authors. The Krogan data set was used in two variants: the core data set and the extended data set. The core data set contained only highly reliable interactions, whose probability > 0.273. The extended data set contained more interactions with less reliability, whose probability > 0.101. The Collins data set was retained the top 9,074 interactions according to their purification enrichment score, as suggested in the original paper. The BioGRID data set was downloaded from version 3.1.77 and contained all physical interactions that involve yeast proteins only. The details of the interaction datasets are shown in Table 1. Self-interactions and isolated proteins were filtered from all the datasets.\nProperties of the five yeast PPI datasets used in the experiments\nAs in [6], five different yeast PPI datasets in our experiments were used to verify the effectiveness of our method, including three high-throughput experimental datasets (Gavin, Krogan-core and Krogan-extended), a computationally derived network that integrates the results of these studies (Collins), and a compendium of all known yeast protein-protein interactions (BioGRID). The Gavin data set was obtained by considering all PPIs with a socio-affinity index larger than five, proposed by the original authors. The Krogan data set was used in two variants: the core data set and the extended data set. The core data set contained only highly reliable interactions, whose probability > 0.273. The extended data set contained more interactions with less reliability, whose probability > 0.101. The Collins data set was retained the top 9,074 interactions according to their purification enrichment score, as suggested in the original paper. The BioGRID data set was downloaded from version 3.1.77 and contained all physical interactions that involve yeast proteins only. The details of the interaction datasets are shown in Table 1. Self-interactions and isolated proteins were filtered from all the datasets.\nProperties of the five yeast PPI datasets used in the experiments\n Integration of the extracted PPIs into the PPI datasets Each extracted PPI is assigned a weight by PPIExtractor which represent the reliability of the PPI. In our method, a certain amount of PPIs with the weights higher than a threshold can be integrated into the PPI datasets. Since BioGRID is an unweighted dataset, the weights of these PPIs are discarded. For the weighted datasets, Gavin, Krogan-core and Krogan-extended and Collins, the weights of these PPIs are adjusted proportionately to the ones in the PPI datasets which are usually calculated using complicated machine learning approaches that operate on the original noisy experimental datasets to reflect the reliability of the PPI [6]. In addition, we integrate a PPI with the weight equal to or higher than a threshold into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. As shown in Figure 2, since the BioGRID dataset has the most proteins (5,460), the most PPIs are integrated into it: with the threshold -0.6, 6,025 PPIs are integrated into it. The amounts of the PPIs added into the PPI datasets with different thresholds are shown in Table 2.\nThe amounts of the PPIs added into the original PPI datasets.\nThe amounts of the PPIs added into the original PPI datasets with different thresholds\nEach extracted PPI is assigned a weight by PPIExtractor which represent the reliability of the PPI. In our method, a certain amount of PPIs with the weights higher than a threshold can be integrated into the PPI datasets. Since BioGRID is an unweighted dataset, the weights of these PPIs are discarded. For the weighted datasets, Gavin, Krogan-core and Krogan-extended and Collins, the weights of these PPIs are adjusted proportionately to the ones in the PPI datasets which are usually calculated using complicated machine learning approaches that operate on the original noisy experimental datasets to reflect the reliability of the PPI [6]. In addition, we integrate a PPI with the weight equal to or higher than a threshold into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. As shown in Figure 2, since the BioGRID dataset has the most proteins (5,460), the most PPIs are integrated into it: with the threshold -0.6, 6,025 PPIs are integrated into it. The amounts of the PPIs added into the PPI datasets with different thresholds are shown in Table 2.\nThe amounts of the PPIs added into the original PPI datasets.\nThe amounts of the PPIs added into the original PPI datasets with different thresholds\n Protein complex detection methods In our experiments, a state-of-the-art complex detection method, ClusterONE [6], was used to evaluate our method's effectiveness on PPI datasets for protein complex detection. The ClusterONE is a method for detecting potentially overlapping protein complexes from protein interaction network. The algorithm uses a greedy growth process to find groups in a protein interaction network. The main algorithm consists of three steps: first, it grows groups with high cohesiveness from selected seed proteins. Second, it merges highly overlapping pairs of locally optimal cohesive groups. Last, the complex candidates that contain less than three proteins or whose densities are below a given threshold are discarded. Experimental results show that ClusterONE outperforms the other approaches both on weighted and unweighted PPI networks, matching more complexes with a higher accuracy and providing a better one-to-one mapping with reference complexes in almost all the data sets.\nIn addition, we also evaluated the effectiveness of our method on three other complex detection algorithms proposed in recent years, i.e. CMC, COACH and RRW. CMC is a clique based method that uses a protein-protein interaction iteration method to update the network [2]. COACH is based on the core-attachment architecture developed by Gavin et al.[7], and selects some subgraph as the core structure first, and then adds the attachment to the core to construct a complex. The RRW algorithm derives complexes from results of repeated restarted random walks on the graph of protein-protein interactions [5]. For each algorithm, its parameters are set as those described in [6] which have been optimized to yield the best possible results as measured by the maximum matching ratio on the gold standards.\nIn our experiments, a state-of-the-art complex detection method, ClusterONE [6], was used to evaluate our method's effectiveness on PPI datasets for protein complex detection. The ClusterONE is a method for detecting potentially overlapping protein complexes from protein interaction network. The algorithm uses a greedy growth process to find groups in a protein interaction network. The main algorithm consists of three steps: first, it grows groups with high cohesiveness from selected seed proteins. Second, it merges highly overlapping pairs of locally optimal cohesive groups. Last, the complex candidates that contain less than three proteins or whose densities are below a given threshold are discarded. Experimental results show that ClusterONE outperforms the other approaches both on weighted and unweighted PPI networks, matching more complexes with a higher accuracy and providing a better one-to-one mapping with reference complexes in almost all the data sets.\nIn addition, we also evaluated the effectiveness of our method on three other complex detection algorithms proposed in recent years, i.e. CMC, COACH and RRW. CMC is a clique based method that uses a protein-protein interaction iteration method to update the network [2]. COACH is based on the core-attachment architecture developed by Gavin et al.[7], and selects some subgraph as the core structure first, and then adds the attachment to the core to construct a complex. The RRW algorithm derives complexes from results of repeated restarted random walks on the graph of protein-protein interactions [5]. For each algorithm, its parameters are set as those described in [6] which have been optimized to yield the best possible results as measured by the maximum matching ratio on the gold standards.", "In this work, we apply the PPIExtractor system to extract PPI data from biomedical literature, which are then integrated into the protein network for protein complex detection.\nAmong the popular machine learning approaches to extracting PPIs from biomedical literature, kernel-based methods including tree kernels [16], shortest path kernels [17], and graph kernels [18] have been proposed for PPIs extraction. Kernel-based methods retain the original representation of objects and use the object in algorithms only via computing a kernel function between a pair of objects. However, each kernel utilizes a portion of the structures to calculate useful similarity. The kernel cannot retrieve the other important information that may be retrieved by other kernels.\nIn previous work, we presented PPIExtractor to automatically extract protein-protein interactions from biomedical literature. PPIExtractor is a multiple kernels learning based system which combines the feature-based, convolution tree and graph kernels to extract PPIs. The combined kernel can reduce the risk of missing important features, yielding new useful similarity measures. More specifically, the weighted linear combination of individual kernel used instead of assigning the same weight to each individual kernel is experimentally proven to contribute to the performance improvement. Experimental evaluations show that PPIExtractor can achieve state-of-the-art performance on a DIP subset with respect to comparable evaluations. More complete details are presented in [15].\nPPIExtractor contains four modules: (i) Named Entity Recognition (NER) module which aims to identify the protein names in the biomedical literature; (ii) Normalization module which determines the unique identifier of proteins identified in NER module; (iii) PPI extraction module which extracts the PPI information in the biomedical literature and (iv) PPI visualization module which displays the extracted PPI information in the form of a graph. Figure 1 shows the architecture of PPIExtractor.\nThe architecture of PPIExtractor.\nThe biomedical literature PPI data we used is 127,217 PubMed abstracts downloaded from PubMed website (http://www.ncbi.nlm.nih.gov/pubmed) with the query string \"((Saccharomyces cerevisiae) OR yeast) AND protein\". 126,165 protein interactions were extracted from these abstracts by the PPIExtractor system.\nMost of the protein names in the PPI databases are systematic names for nuclear-encoded ORFs begin with the letter 'Y' (for 'Yeast') while those in PubMed abstracts are not. Therefore, we built a yeast protein alias name list with about 6,000 entries from the UniProt website (http://www.uniprot.org/uniprot/?query=yeast&sort=score). The list is used to convert the protein names in PubMed abstracts to systematic names for nuclear-encoded ORFs. In our method, a PPI can be added into a PPI dataset only if the two proteins in the PPI already exist in the PPI dataset.", "As in [6], five different yeast PPI datasets in our experiments were used to verify the effectiveness of our method, including three high-throughput experimental datasets (Gavin, Krogan-core and Krogan-extended), a computationally derived network that integrates the results of these studies (Collins), and a compendium of all known yeast protein-protein interactions (BioGRID). The Gavin data set was obtained by considering all PPIs with a socio-affinity index larger than five, proposed by the original authors. The Krogan data set was used in two variants: the core data set and the extended data set. The core data set contained only highly reliable interactions, whose probability > 0.273. The extended data set contained more interactions with less reliability, whose probability > 0.101. The Collins data set was retained the top 9,074 interactions according to their purification enrichment score, as suggested in the original paper. The BioGRID data set was downloaded from version 3.1.77 and contained all physical interactions that involve yeast proteins only. The details of the interaction datasets are shown in Table 1. Self-interactions and isolated proteins were filtered from all the datasets.\nProperties of the five yeast PPI datasets used in the experiments", "Each extracted PPI is assigned a weight by PPIExtractor which represent the reliability of the PPI. In our method, a certain amount of PPIs with the weights higher than a threshold can be integrated into the PPI datasets. Since BioGRID is an unweighted dataset, the weights of these PPIs are discarded. For the weighted datasets, Gavin, Krogan-core and Krogan-extended and Collins, the weights of these PPIs are adjusted proportionately to the ones in the PPI datasets which are usually calculated using complicated machine learning approaches that operate on the original noisy experimental datasets to reflect the reliability of the PPI [6]. In addition, we integrate a PPI with the weight equal to or higher than a threshold into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. As shown in Figure 2, since the BioGRID dataset has the most proteins (5,460), the most PPIs are integrated into it: with the threshold -0.6, 6,025 PPIs are integrated into it. The amounts of the PPIs added into the PPI datasets with different thresholds are shown in Table 2.\nThe amounts of the PPIs added into the original PPI datasets.\nThe amounts of the PPIs added into the original PPI datasets with different thresholds", "In our experiments, a state-of-the-art complex detection method, ClusterONE [6], was used to evaluate our method's effectiveness on PPI datasets for protein complex detection. The ClusterONE is a method for detecting potentially overlapping protein complexes from protein interaction network. The algorithm uses a greedy growth process to find groups in a protein interaction network. The main algorithm consists of three steps: first, it grows groups with high cohesiveness from selected seed proteins. Second, it merges highly overlapping pairs of locally optimal cohesive groups. Last, the complex candidates that contain less than three proteins or whose densities are below a given threshold are discarded. Experimental results show that ClusterONE outperforms the other approaches both on weighted and unweighted PPI networks, matching more complexes with a higher accuracy and providing a better one-to-one mapping with reference complexes in almost all the data sets.\nIn addition, we also evaluated the effectiveness of our method on three other complex detection algorithms proposed in recent years, i.e. CMC, COACH and RRW. CMC is a clique based method that uses a protein-protein interaction iteration method to update the network [2]. COACH is based on the core-attachment architecture developed by Gavin et al.[7], and selects some subgraph as the core structure first, and then adds the attachment to the core to construct a complex. The RRW algorithm derives complexes from results of repeated restarted random walks on the graph of protein-protein interactions [5]. For each algorithm, its parameters are set as those described in [6] which have been optimized to yield the best possible results as measured by the maximum matching ratio on the gold standards.", " Gold standard protein complexes Like [6], the MIPS catalog of protein complexes [19] (18 May 2006) and the Gene Ontology (GO)-based protein complex annotations from SGD [20] (11 Aug 2010) were used as our gold standards. To avoid selection bias, all MIPS categories containing at least three and at most 100 proteins as protein complexes are considered. MIPS category 550 and all its descendants, as these categories correspond to unconfirmed protein complexes that were predicted by computational methods.\nFor SGD, GO annotations are maintained [21] for all yeast proteins. The complexes were derived from proteins annotated by descendant terms of the Gene Ontology term 'protein complex' (GO:0043234). Annotations with modifiers such as 'NOT' or 'colocalizes_with' and annotations supported by 'IEA' evidence code only were ignored. The details of the gold standard protein complex datasets are shown in Table 3.\nDetails of the gold standard protein complex datasets\nLike [6], the MIPS catalog of protein complexes [19] (18 May 2006) and the Gene Ontology (GO)-based protein complex annotations from SGD [20] (11 Aug 2010) were used as our gold standards. To avoid selection bias, all MIPS categories containing at least three and at most 100 proteins as protein complexes are considered. MIPS category 550 and all its descendants, as these categories correspond to unconfirmed protein complexes that were predicted by computational methods.\nFor SGD, GO annotations are maintained [21] for all yeast proteins. The complexes were derived from proteins annotated by descendant terms of the Gene Ontology term 'protein complex' (GO:0043234). Annotations with modifiers such as 'NOT' or 'colocalizes_with' and annotations supported by 'IEA' evidence code only were ignored. The details of the gold standard protein complex datasets are shown in Table 3.\nDetails of the gold standard protein complex datasets\n Evaluation metrics Like [6], we used three independent quality measures to assess the similarity between a set of predicted complexes and a set of reference complexes. The first measure is the fraction of pairs between predicted and reference complexes with an overlap scoreω larger than 0.25. The overlap score between two protein sets A and B is defined as follows:\n\n\n(1)\n\n\nN\nA\n\n(\n\nA\n,\nB\n\n)\n\n=\n\n\n|\nV\nA\n∩\nV\nB\n\n\n|\n\n\n2\n\n\n\n\n|\nV\nA\n|\n×\n|\nV\nB\n|\n\n\n\n\n\n\nThe threshold of 0.25 is chosen because it represents the case when the intersection is at least half of the complex size if the two complexes being compared are equally large.\nThe second measure we used is the geometric accuracy as introduced by Broh´ee and van Helden [22], which is the geometric mean of two other measures, namely the clustering-wise sensitivity (Sn) and the clustering-wise positive predictive value (PPV). Let n be the number of the benchmark complexes and m be the number of the predicted complexes. Construct a confusion matrix T, and let Tij denote the number of proteins that are found both in reference complex i and predicted complex j. Sn and PPV are defined as follows:\n\n\n(2)\n\n\nS\nn\n=\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\n\nmax\n\n\n\nj\n\n\n\n{\n\n\n\nT\n\n\ni\nj\n\n\n\n}\n\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\nN\n\n\ni\n\n\n\n\n\n\n\n\n\n\n(3)\n\n\nP\nP\nV\n=\n\n\n\n\n∑\n\n\nj\n=\n1\n\n\nm\n\n\n\n\n\nmax\n\n\n\ni\n\n\n\n{\n\n\n\nT\n\n\ni\nj\n\n\n\n}\n\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nm\n\n\n\n\nT\n\n\n.\nj\n\n\n\n\n\n\n\n\nHere, we define Ni is the number of proteins in the benchmark complex i, then T.jis defined as:\n\n\n(4)\n\n\n\n\nT\n\n\n.\nj\n\n\n=\n\n\n ∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\nT\n\n\ni\nj\n\n\n\n\n\n\nGenerally, a high Sn value indicates that the prediction has a good coverage of the proteins in the true complexes, whereas a high PPV value indicates that the predicted complexes are likely to be true complexes. So it is necessary to balance the two measures by introducing the geometric accuracy (Acc), which is simply the geometric mean of the clustering-wise sensitivity and the positive predictive value:\n\n\n(5)\n\n\nA\nc\nc\n=\n\n\nS\nn\n×\nP\nP\nV\n\n\n\n\n\n\nThe third measure we used is the maximum matching ratio (MMR) which was introduced in [6]. This measure is based on a maximal one-to-one mapping between predicted and standard complex. Let R as the standard complex, and P as the predicted complex. An edge connects a standard complex and a predicted complex if their neighborhood affinity score is larger than zero. Given n standard complexes and m predicted complexes, let j be the member of the predicted complexes, MMR then defined as follows:\n\n\n(6)\n\n\nM\nM\nR\n=\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\n\nmax\n\n\n\nj\n\n\nN\nA\n\n(\n\ni\n,\nj\n\n)\n\n\n\nn\n\n\n\n\n\n\nThe geometric accuracy measure explicitly penalizes predicted complexes that do not match any of the reference complexes. However, gold standard sets of protein complexes are often incomplete [23]. As a consequence, predicted complexes not matching any known reference complexes may still exhibit high functional similarity or be highly co-localized, and therefore they could still be prospective candidates for further in-depth analysis. In other words, a predicted complex that does not match a reference complex is not necessarily an undesired result, and optimizing for the geometric accuracy measure might prevent us from detecting novel complexes from a PPI dataset. The maximum matching ratio sidesteps this problem by dividing the total weight of the maximum matching with the number of reference complexes. Therefore, in the performance comparison, the MMR is used as the main metric, and the Acc is only used as an auxiliary one.\nLike [6], we used three independent quality measures to assess the similarity between a set of predicted complexes and a set of reference complexes. The first measure is the fraction of pairs between predicted and reference complexes with an overlap scoreω larger than 0.25. The overlap score between two protein sets A and B is defined as follows:\n\n\n(1)\n\n\nN\nA\n\n(\n\nA\n,\nB\n\n)\n\n=\n\n\n|\nV\nA\n∩\nV\nB\n\n\n|\n\n\n2\n\n\n\n\n|\nV\nA\n|\n×\n|\nV\nB\n|\n\n\n\n\n\n\nThe threshold of 0.25 is chosen because it represents the case when the intersection is at least half of the complex size if the two complexes being compared are equally large.\nThe second measure we used is the geometric accuracy as introduced by Broh´ee and van Helden [22], which is the geometric mean of two other measures, namely the clustering-wise sensitivity (Sn) and the clustering-wise positive predictive value (PPV). Let n be the number of the benchmark complexes and m be the number of the predicted complexes. Construct a confusion matrix T, and let Tij denote the number of proteins that are found both in reference complex i and predicted complex j. Sn and PPV are defined as follows:\n\n\n(2)\n\n\nS\nn\n=\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\n\nmax\n\n\n\nj\n\n\n\n{\n\n\n\nT\n\n\ni\nj\n\n\n\n}\n\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\nN\n\n\ni\n\n\n\n\n\n\n\n\n\n\n(3)\n\n\nP\nP\nV\n=\n\n\n\n\n∑\n\n\nj\n=\n1\n\n\nm\n\n\n\n\n\nmax\n\n\n\ni\n\n\n\n{\n\n\n\nT\n\n\ni\nj\n\n\n\n}\n\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nm\n\n\n\n\nT\n\n\n.\nj\n\n\n\n\n\n\n\n\nHere, we define Ni is the number of proteins in the benchmark complex i, then T.jis defined as:\n\n\n(4)\n\n\n\n\nT\n\n\n.\nj\n\n\n=\n\n\n ∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\nT\n\n\ni\nj\n\n\n\n\n\n\nGenerally, a high Sn value indicates that the prediction has a good coverage of the proteins in the true complexes, whereas a high PPV value indicates that the predicted complexes are likely to be true complexes. So it is necessary to balance the two measures by introducing the geometric accuracy (Acc), which is simply the geometric mean of the clustering-wise sensitivity and the positive predictive value:\n\n\n(5)\n\n\nA\nc\nc\n=\n\n\nS\nn\n×\nP\nP\nV\n\n\n\n\n\n\nThe third measure we used is the maximum matching ratio (MMR) which was introduced in [6]. This measure is based on a maximal one-to-one mapping between predicted and standard complex. Let R as the standard complex, and P as the predicted complex. An edge connects a standard complex and a predicted complex if their neighborhood affinity score is larger than zero. Given n standard complexes and m predicted complexes, let j be the member of the predicted complexes, MMR then defined as follows:\n\n\n(6)\n\n\nM\nM\nR\n=\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\n\nmax\n\n\n\nj\n\n\nN\nA\n\n(\n\ni\n,\nj\n\n)\n\n\n\nn\n\n\n\n\n\n\nThe geometric accuracy measure explicitly penalizes predicted complexes that do not match any of the reference complexes. However, gold standard sets of protein complexes are often incomplete [23]. As a consequence, predicted complexes not matching any known reference complexes may still exhibit high functional similarity or be highly co-localized, and therefore they could still be prospective candidates for further in-depth analysis. In other words, a predicted complex that does not match a reference complex is not necessarily an undesired result, and optimizing for the geometric accuracy measure might prevent us from detecting novel complexes from a PPI dataset. The maximum matching ratio sidesteps this problem by dividing the total weight of the maximum matching with the number of reference complexes. Therefore, in the performance comparison, the MMR is used as the main metric, and the Acc is only used as an auxiliary one.\n The performances of ClusterONE on PPI datasets First, we tested ClusterONE on the Collins, Gavin, Krogan-core, Krogan-extended and BioGRID dataset. Tables 4, 5 and 6 contain the results of Accuracy, MMR and fraction of matched complexes when the MIPS dataset was used as the gold standard, respectively. Figure 3 depicts the MMR performances of ClusterONE on PPI datasets using the MIPS gold standard, which show that, in most cases, better performance of ClusterONE can be achieved when the PPIs extracted from literature are added into the original PPI datasets. When the PPIs with weights larger than or equal to threshold -0.6 are added, ClusterONE achieves the highest average MMR improvement on all five PPI datasets: the average improvements of 2.938 and 3.976 percentage units in Accuracy and MMR over that on the original datasets are achieved on the new datasets. With the lower thresholds (-0.7 to -0.9), the MMR performance begin to decline. The reason is that the lower threshold means more less reliable PPIs are introduced, which will deteriorate the performance of complex detection algorithms.\nThe Accuracy performances of ClusterONE on PPI datasets using the MIPS gold standard\nΔ(-0.6) denotes the MMR improvement with the threshold -0.6 over that on the original datasets. Avg.Δ denotes the average MMR improvement over that on the original datasets.\nThe MMR performances of ClusterONE on PPI datasets using the MIPS gold standard\nThe fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the MIPS gold standard\nThe MMR performances of ClusterONE on PPI datasets using the MIPS gold standard.\nThe similar results were obtained when the SGD dataset was used as the gold standard as shown in Figure 4 and Tables 7, 8 and 9. Compared with the original datasets, the average improvements of 2.356 and 5.416 percentage units in Accuracy and MMR are achieved on the new networks with the threshold -0.6.\nThe MMR performances of ClusterONE on PPI datasets using the SGD gold standard.\nThe Accuracy performances of ClusterONE on PPI datasets using the SGD gold standard\nThe MMR performances of ClusterONE on PPI datasets using the SGD gold standard\nThe fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the SGD gold standard\nFirst, we tested ClusterONE on the Collins, Gavin, Krogan-core, Krogan-extended and BioGRID dataset. Tables 4, 5 and 6 contain the results of Accuracy, MMR and fraction of matched complexes when the MIPS dataset was used as the gold standard, respectively. Figure 3 depicts the MMR performances of ClusterONE on PPI datasets using the MIPS gold standard, which show that, in most cases, better performance of ClusterONE can be achieved when the PPIs extracted from literature are added into the original PPI datasets. When the PPIs with weights larger than or equal to threshold -0.6 are added, ClusterONE achieves the highest average MMR improvement on all five PPI datasets: the average improvements of 2.938 and 3.976 percentage units in Accuracy and MMR over that on the original datasets are achieved on the new datasets. With the lower thresholds (-0.7 to -0.9), the MMR performance begin to decline. The reason is that the lower threshold means more less reliable PPIs are introduced, which will deteriorate the performance of complex detection algorithms.\nThe Accuracy performances of ClusterONE on PPI datasets using the MIPS gold standard\nΔ(-0.6) denotes the MMR improvement with the threshold -0.6 over that on the original datasets. Avg.Δ denotes the average MMR improvement over that on the original datasets.\nThe MMR performances of ClusterONE on PPI datasets using the MIPS gold standard\nThe fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the MIPS gold standard\nThe MMR performances of ClusterONE on PPI datasets using the MIPS gold standard.\nThe similar results were obtained when the SGD dataset was used as the gold standard as shown in Figure 4 and Tables 7, 8 and 9. Compared with the original datasets, the average improvements of 2.356 and 5.416 percentage units in Accuracy and MMR are achieved on the new networks with the threshold -0.6.\nThe MMR performances of ClusterONE on PPI datasets using the SGD gold standard.\nThe Accuracy performances of ClusterONE on PPI datasets using the SGD gold standard\nThe MMR performances of ClusterONE on PPI datasets using the SGD gold standard\nThe fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the SGD gold standard\n The performances of other algorithms on PPI datasets The performances of three other complex detection algorithms proposed since 2009 (i.e. COACH, CMC and RRW) on these yeast PPI datasets are shown in Tables 10 and 11. Like ClusterONE, these algorithms achieve the best performance with the threshold -0.6 on these yeast PPI datasets except on BioGRID: in term of MMR, COACH, CMC and RRW achieve 12.51, 19.85 and 4.2 percentage unit average improvements over those on the original datasets using the MIPS gold standard, respectively, while the average improvements are 12.41, 15.59 and 5.85 percentage units using the SGD gold standard, respectively.\nThe performances of various protein complex detection algorithms on PPI datasets using the MIPS gold standard\nMMR(-0.6) denotes the MMR value when with the threshold -0.6; Δ(-0.6) denotes the MMR improvement when with the threshold -0.6 over that on the original datasets. MMR(0) denotes the MMR value when with the threshold 0; Δ(0) denotes the MMR improvement when with the threshold 0 over that on the original datasets.\nThe performances of various protein complex detection algorithms on PPI datasets using the SGD gold standard\nOn the BioGRID dataset, the performances of these algorithms decrease with the threshold -0.6: in term of MMR, there is an 8.41 percentage unit decrease in the performance of the RRW algorithm using the MIPS gold standard while there are 11.15 and 4.89 percentage unit decreases in the performance of the CMC and RRW algorithms using the SGD gold standard, respectively. Through the analysis of the results, we found that these algorithms obtain more clusters on BioGRID with the threshold -0.6 than on the original BioGRID. However, many of them are not matched one, i.e. they can not match with any complex in the gold standards, which deteriorates the performances of the complex detection algorithms.\nThe reason behind it is that, in our method, a PPI with the weight equal to or higher than a threshold is integrated into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. Since the BioGRID dataset includes the most proteins (5,460), the most PPIs are integrated into it as shown in Figure 2: with the threshold -0.6, 6,025 PPIs are integrated into it while the numbers are 926, 1,324, 2,457 and 3,962 for Collins, Gavin, Krogan-core, Krogan-extended, respectively. In fact, according to [6], the BioGRID network is structurally very different from the other four datasets, and particularly it shows an unexpectedly high fraction of star-like structures. If many candidate complexes with star-like structures are predicted, the effectiveness of the complex detection algorithms may be hampered. The reason is that these complexes usually have low density values (where the density of a complex with n proteins is defined as the total weight of its internal edges, divided by n * (n − 1)/2 and, in the unweighted BioGRID dataset, the total weight of the complex is the number of its internal edges; an example is shown in Figure 5a) and a considerable number of real complexes form a clique in the interaction graph and have high density values though there are many other topological structures that may represent a complex on a PPI graph [24]. For example, the experimental results in [6] show that the performance of various protein complex detection algorithms on BioGRID is the worst among all PPI databases. In these cases the authors of [6] recommended that use higher value for the density threshold in order to discard trivial clusters. Given an unweighted network, ClusterONE automatically tests the value of the transitivity and sets the density threshold to either 0.5 or 0.6 (for the BioGRID dataset it uses 0.6).\nAn example of a candidate complex. (a) before the PPI integration and (b) after the PPI integration.\nOn a dataset like BioGRID, many candidate complexes with star-like structures and low density values should have been discarded based on the density threshold by complex detection algorithms. However, when the PPI data from literature are integrated, many such candidate complexes will be retained since the density values of these complexes are increased with the inclusion of new PPI data. As shown in the example of Figure 5, a candidate complex with star-like structure (Figure 5a) will be discarded since its density is 0.5 while the density threshold. However, when the edge between protein A and C is added (Figure 5b), the complex's density increases to 0.67 and it will be retained by ClusterONE (the density threshold 0.6).\nThis assumption can be supported by the following fact: with the threshold -0.6, a total of 6,025 PPIs are integrated into the BioGRID dataset and a total of 105 detected complexes by ClusterONE are increased (from 472 to 577). Since many of them can not match with any complex in the gold standards, the performance is deteriorated. As can be seen from Figures 6, 7 and 8, with the increase of the threshold, the number of the detected complexes detected by ClusterONE on BioGRID dataset keeps increasing while the number of the matched complexes remains almost the same and, in some cases, even decreases. while on another dataset with large size, Krogan extended, with the threshold -0.6, a total of 3,962 PPIs are integrated and only 68 detected complexes are increased (from 531 to 599). Even with the threshold -0.8, a total of 6,189 PPIs (the number is equivalent to the one on BioGRID with the threshold -0.6) are integrated and 86 detected complexes are increased (from 531 to 617). As can be seen from Figures 6, 7 and 8, when the PPI data with the threshold 0 are included, the numbers of the detected complexes and matched complexes by ClusterONE on Krogan extended dataset both increase. With the further increase of the threshold, like on BioGRID, the number of the matched complexes remains almost the same and, in some cases, even decreases. However, the number of the detected complexes also decreases while on BioGRID it keeps ever increasing, which especially deteriorates the performance of ClusterONE on BioGRID.\nThe numbers of the complexes detected by ClusterONE on PPI datasets with different thresholds.\nThe numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the MIPS gold standard.\nThe numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the SGD gold standard.\nOn the other hand, we found if the threshold is set to 0 and less PPIs (1,210) are integrated into BioGRID, much better performance can be achieved using any gold standard (MIPS and SGD) as shown in Figures 9 and 10.\nThe performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using MIPS as gold standard.\nThe performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using SGD as gold standard.\nTherefore, with the databases with the low transitivity like BioGRID, the threshold should be set to higher to ensure less PPIs are integrated into the databases, and, in other cases, the threshold can be set to -0.6. In this way, the performances of protein complex detection algorithms can be improved through the integration of PPI datasets and the PPI data extracted from literature.\nThe performances of three other complex detection algorithms proposed since 2009 (i.e. COACH, CMC and RRW) on these yeast PPI datasets are shown in Tables 10 and 11. Like ClusterONE, these algorithms achieve the best performance with the threshold -0.6 on these yeast PPI datasets except on BioGRID: in term of MMR, COACH, CMC and RRW achieve 12.51, 19.85 and 4.2 percentage unit average improvements over those on the original datasets using the MIPS gold standard, respectively, while the average improvements are 12.41, 15.59 and 5.85 percentage units using the SGD gold standard, respectively.\nThe performances of various protein complex detection algorithms on PPI datasets using the MIPS gold standard\nMMR(-0.6) denotes the MMR value when with the threshold -0.6; Δ(-0.6) denotes the MMR improvement when with the threshold -0.6 over that on the original datasets. MMR(0) denotes the MMR value when with the threshold 0; Δ(0) denotes the MMR improvement when with the threshold 0 over that on the original datasets.\nThe performances of various protein complex detection algorithms on PPI datasets using the SGD gold standard\nOn the BioGRID dataset, the performances of these algorithms decrease with the threshold -0.6: in term of MMR, there is an 8.41 percentage unit decrease in the performance of the RRW algorithm using the MIPS gold standard while there are 11.15 and 4.89 percentage unit decreases in the performance of the CMC and RRW algorithms using the SGD gold standard, respectively. Through the analysis of the results, we found that these algorithms obtain more clusters on BioGRID with the threshold -0.6 than on the original BioGRID. However, many of them are not matched one, i.e. they can not match with any complex in the gold standards, which deteriorates the performances of the complex detection algorithms.\nThe reason behind it is that, in our method, a PPI with the weight equal to or higher than a threshold is integrated into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. Since the BioGRID dataset includes the most proteins (5,460), the most PPIs are integrated into it as shown in Figure 2: with the threshold -0.6, 6,025 PPIs are integrated into it while the numbers are 926, 1,324, 2,457 and 3,962 for Collins, Gavin, Krogan-core, Krogan-extended, respectively. In fact, according to [6], the BioGRID network is structurally very different from the other four datasets, and particularly it shows an unexpectedly high fraction of star-like structures. If many candidate complexes with star-like structures are predicted, the effectiveness of the complex detection algorithms may be hampered. The reason is that these complexes usually have low density values (where the density of a complex with n proteins is defined as the total weight of its internal edges, divided by n * (n − 1)/2 and, in the unweighted BioGRID dataset, the total weight of the complex is the number of its internal edges; an example is shown in Figure 5a) and a considerable number of real complexes form a clique in the interaction graph and have high density values though there are many other topological structures that may represent a complex on a PPI graph [24]. For example, the experimental results in [6] show that the performance of various protein complex detection algorithms on BioGRID is the worst among all PPI databases. In these cases the authors of [6] recommended that use higher value for the density threshold in order to discard trivial clusters. Given an unweighted network, ClusterONE automatically tests the value of the transitivity and sets the density threshold to either 0.5 or 0.6 (for the BioGRID dataset it uses 0.6).\nAn example of a candidate complex. (a) before the PPI integration and (b) after the PPI integration.\nOn a dataset like BioGRID, many candidate complexes with star-like structures and low density values should have been discarded based on the density threshold by complex detection algorithms. However, when the PPI data from literature are integrated, many such candidate complexes will be retained since the density values of these complexes are increased with the inclusion of new PPI data. As shown in the example of Figure 5, a candidate complex with star-like structure (Figure 5a) will be discarded since its density is 0.5 while the density threshold. However, when the edge between protein A and C is added (Figure 5b), the complex's density increases to 0.67 and it will be retained by ClusterONE (the density threshold 0.6).\nThis assumption can be supported by the following fact: with the threshold -0.6, a total of 6,025 PPIs are integrated into the BioGRID dataset and a total of 105 detected complexes by ClusterONE are increased (from 472 to 577). Since many of them can not match with any complex in the gold standards, the performance is deteriorated. As can be seen from Figures 6, 7 and 8, with the increase of the threshold, the number of the detected complexes detected by ClusterONE on BioGRID dataset keeps increasing while the number of the matched complexes remains almost the same and, in some cases, even decreases. while on another dataset with large size, Krogan extended, with the threshold -0.6, a total of 3,962 PPIs are integrated and only 68 detected complexes are increased (from 531 to 599). Even with the threshold -0.8, a total of 6,189 PPIs (the number is equivalent to the one on BioGRID with the threshold -0.6) are integrated and 86 detected complexes are increased (from 531 to 617). As can be seen from Figures 6, 7 and 8, when the PPI data with the threshold 0 are included, the numbers of the detected complexes and matched complexes by ClusterONE on Krogan extended dataset both increase. With the further increase of the threshold, like on BioGRID, the number of the matched complexes remains almost the same and, in some cases, even decreases. However, the number of the detected complexes also decreases while on BioGRID it keeps ever increasing, which especially deteriorates the performance of ClusterONE on BioGRID.\nThe numbers of the complexes detected by ClusterONE on PPI datasets with different thresholds.\nThe numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the MIPS gold standard.\nThe numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the SGD gold standard.\nOn the other hand, we found if the threshold is set to 0 and less PPIs (1,210) are integrated into BioGRID, much better performance can be achieved using any gold standard (MIPS and SGD) as shown in Figures 9 and 10.\nThe performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using MIPS as gold standard.\nThe performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using SGD as gold standard.\nTherefore, with the databases with the low transitivity like BioGRID, the threshold should be set to higher to ensure less PPIs are integrated into the databases, and, in other cases, the threshold can be set to -0.6. In this way, the performances of protein complex detection algorithms can be improved through the integration of PPI datasets and the PPI data extracted from literature.", "Like [6], the MIPS catalog of protein complexes [19] (18 May 2006) and the Gene Ontology (GO)-based protein complex annotations from SGD [20] (11 Aug 2010) were used as our gold standards. To avoid selection bias, all MIPS categories containing at least three and at most 100 proteins as protein complexes are considered. MIPS category 550 and all its descendants, as these categories correspond to unconfirmed protein complexes that were predicted by computational methods.\nFor SGD, GO annotations are maintained [21] for all yeast proteins. The complexes were derived from proteins annotated by descendant terms of the Gene Ontology term 'protein complex' (GO:0043234). Annotations with modifiers such as 'NOT' or 'colocalizes_with' and annotations supported by 'IEA' evidence code only were ignored. The details of the gold standard protein complex datasets are shown in Table 3.\nDetails of the gold standard protein complex datasets", "Like [6], we used three independent quality measures to assess the similarity between a set of predicted complexes and a set of reference complexes. The first measure is the fraction of pairs between predicted and reference complexes with an overlap scoreω larger than 0.25. The overlap score between two protein sets A and B is defined as follows:\n\n\n(1)\n\n\nN\nA\n\n(\n\nA\n,\nB\n\n)\n\n=\n\n\n|\nV\nA\n∩\nV\nB\n\n\n|\n\n\n2\n\n\n\n\n|\nV\nA\n|\n×\n|\nV\nB\n|\n\n\n\n\n\n\nThe threshold of 0.25 is chosen because it represents the case when the intersection is at least half of the complex size if the two complexes being compared are equally large.\nThe second measure we used is the geometric accuracy as introduced by Broh´ee and van Helden [22], which is the geometric mean of two other measures, namely the clustering-wise sensitivity (Sn) and the clustering-wise positive predictive value (PPV). Let n be the number of the benchmark complexes and m be the number of the predicted complexes. Construct a confusion matrix T, and let Tij denote the number of proteins that are found both in reference complex i and predicted complex j. Sn and PPV are defined as follows:\n\n\n(2)\n\n\nS\nn\n=\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\n\nmax\n\n\n\nj\n\n\n\n{\n\n\n\nT\n\n\ni\nj\n\n\n\n}\n\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\nN\n\n\ni\n\n\n\n\n\n\n\n\n\n\n(3)\n\n\nP\nP\nV\n=\n\n\n\n\n∑\n\n\nj\n=\n1\n\n\nm\n\n\n\n\n\nmax\n\n\n\ni\n\n\n\n{\n\n\n\nT\n\n\ni\nj\n\n\n\n}\n\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nm\n\n\n\n\nT\n\n\n.\nj\n\n\n\n\n\n\n\n\nHere, we define Ni is the number of proteins in the benchmark complex i, then T.jis defined as:\n\n\n(4)\n\n\n\n\nT\n\n\n.\nj\n\n\n=\n\n\n ∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\nT\n\n\ni\nj\n\n\n\n\n\n\nGenerally, a high Sn value indicates that the prediction has a good coverage of the proteins in the true complexes, whereas a high PPV value indicates that the predicted complexes are likely to be true complexes. So it is necessary to balance the two measures by introducing the geometric accuracy (Acc), which is simply the geometric mean of the clustering-wise sensitivity and the positive predictive value:\n\n\n(5)\n\n\nA\nc\nc\n=\n\n\nS\nn\n×\nP\nP\nV\n\n\n\n\n\n\nThe third measure we used is the maximum matching ratio (MMR) which was introduced in [6]. This measure is based on a maximal one-to-one mapping between predicted and standard complex. Let R as the standard complex, and P as the predicted complex. An edge connects a standard complex and a predicted complex if their neighborhood affinity score is larger than zero. Given n standard complexes and m predicted complexes, let j be the member of the predicted complexes, MMR then defined as follows:\n\n\n(6)\n\n\nM\nM\nR\n=\n\n\n\n\n∑\n\n\ni\n=\n1\n\n\nn\n\n\n\n\n\nmax\n\n\n\nj\n\n\nN\nA\n\n(\n\ni\n,\nj\n\n)\n\n\n\nn\n\n\n\n\n\n\nThe geometric accuracy measure explicitly penalizes predicted complexes that do not match any of the reference complexes. However, gold standard sets of protein complexes are often incomplete [23]. As a consequence, predicted complexes not matching any known reference complexes may still exhibit high functional similarity or be highly co-localized, and therefore they could still be prospective candidates for further in-depth analysis. In other words, a predicted complex that does not match a reference complex is not necessarily an undesired result, and optimizing for the geometric accuracy measure might prevent us from detecting novel complexes from a PPI dataset. The maximum matching ratio sidesteps this problem by dividing the total weight of the maximum matching with the number of reference complexes. Therefore, in the performance comparison, the MMR is used as the main metric, and the Acc is only used as an auxiliary one.", "First, we tested ClusterONE on the Collins, Gavin, Krogan-core, Krogan-extended and BioGRID dataset. Tables 4, 5 and 6 contain the results of Accuracy, MMR and fraction of matched complexes when the MIPS dataset was used as the gold standard, respectively. Figure 3 depicts the MMR performances of ClusterONE on PPI datasets using the MIPS gold standard, which show that, in most cases, better performance of ClusterONE can be achieved when the PPIs extracted from literature are added into the original PPI datasets. When the PPIs with weights larger than or equal to threshold -0.6 are added, ClusterONE achieves the highest average MMR improvement on all five PPI datasets: the average improvements of 2.938 and 3.976 percentage units in Accuracy and MMR over that on the original datasets are achieved on the new datasets. With the lower thresholds (-0.7 to -0.9), the MMR performance begin to decline. The reason is that the lower threshold means more less reliable PPIs are introduced, which will deteriorate the performance of complex detection algorithms.\nThe Accuracy performances of ClusterONE on PPI datasets using the MIPS gold standard\nΔ(-0.6) denotes the MMR improvement with the threshold -0.6 over that on the original datasets. Avg.Δ denotes the average MMR improvement over that on the original datasets.\nThe MMR performances of ClusterONE on PPI datasets using the MIPS gold standard\nThe fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the MIPS gold standard\nThe MMR performances of ClusterONE on PPI datasets using the MIPS gold standard.\nThe similar results were obtained when the SGD dataset was used as the gold standard as shown in Figure 4 and Tables 7, 8 and 9. Compared with the original datasets, the average improvements of 2.356 and 5.416 percentage units in Accuracy and MMR are achieved on the new networks with the threshold -0.6.\nThe MMR performances of ClusterONE on PPI datasets using the SGD gold standard.\nThe Accuracy performances of ClusterONE on PPI datasets using the SGD gold standard\nThe MMR performances of ClusterONE on PPI datasets using the SGD gold standard\nThe fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the SGD gold standard", "The performances of three other complex detection algorithms proposed since 2009 (i.e. COACH, CMC and RRW) on these yeast PPI datasets are shown in Tables 10 and 11. Like ClusterONE, these algorithms achieve the best performance with the threshold -0.6 on these yeast PPI datasets except on BioGRID: in term of MMR, COACH, CMC and RRW achieve 12.51, 19.85 and 4.2 percentage unit average improvements over those on the original datasets using the MIPS gold standard, respectively, while the average improvements are 12.41, 15.59 and 5.85 percentage units using the SGD gold standard, respectively.\nThe performances of various protein complex detection algorithms on PPI datasets using the MIPS gold standard\nMMR(-0.6) denotes the MMR value when with the threshold -0.6; Δ(-0.6) denotes the MMR improvement when with the threshold -0.6 over that on the original datasets. MMR(0) denotes the MMR value when with the threshold 0; Δ(0) denotes the MMR improvement when with the threshold 0 over that on the original datasets.\nThe performances of various protein complex detection algorithms on PPI datasets using the SGD gold standard\nOn the BioGRID dataset, the performances of these algorithms decrease with the threshold -0.6: in term of MMR, there is an 8.41 percentage unit decrease in the performance of the RRW algorithm using the MIPS gold standard while there are 11.15 and 4.89 percentage unit decreases in the performance of the CMC and RRW algorithms using the SGD gold standard, respectively. Through the analysis of the results, we found that these algorithms obtain more clusters on BioGRID with the threshold -0.6 than on the original BioGRID. However, many of them are not matched one, i.e. they can not match with any complex in the gold standards, which deteriorates the performances of the complex detection algorithms.\nThe reason behind it is that, in our method, a PPI with the weight equal to or higher than a threshold is integrated into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. Since the BioGRID dataset includes the most proteins (5,460), the most PPIs are integrated into it as shown in Figure 2: with the threshold -0.6, 6,025 PPIs are integrated into it while the numbers are 926, 1,324, 2,457 and 3,962 for Collins, Gavin, Krogan-core, Krogan-extended, respectively. In fact, according to [6], the BioGRID network is structurally very different from the other four datasets, and particularly it shows an unexpectedly high fraction of star-like structures. If many candidate complexes with star-like structures are predicted, the effectiveness of the complex detection algorithms may be hampered. The reason is that these complexes usually have low density values (where the density of a complex with n proteins is defined as the total weight of its internal edges, divided by n * (n − 1)/2 and, in the unweighted BioGRID dataset, the total weight of the complex is the number of its internal edges; an example is shown in Figure 5a) and a considerable number of real complexes form a clique in the interaction graph and have high density values though there are many other topological structures that may represent a complex on a PPI graph [24]. For example, the experimental results in [6] show that the performance of various protein complex detection algorithms on BioGRID is the worst among all PPI databases. In these cases the authors of [6] recommended that use higher value for the density threshold in order to discard trivial clusters. Given an unweighted network, ClusterONE automatically tests the value of the transitivity and sets the density threshold to either 0.5 or 0.6 (for the BioGRID dataset it uses 0.6).\nAn example of a candidate complex. (a) before the PPI integration and (b) after the PPI integration.\nOn a dataset like BioGRID, many candidate complexes with star-like structures and low density values should have been discarded based on the density threshold by complex detection algorithms. However, when the PPI data from literature are integrated, many such candidate complexes will be retained since the density values of these complexes are increased with the inclusion of new PPI data. As shown in the example of Figure 5, a candidate complex with star-like structure (Figure 5a) will be discarded since its density is 0.5 while the density threshold. However, when the edge between protein A and C is added (Figure 5b), the complex's density increases to 0.67 and it will be retained by ClusterONE (the density threshold 0.6).\nThis assumption can be supported by the following fact: with the threshold -0.6, a total of 6,025 PPIs are integrated into the BioGRID dataset and a total of 105 detected complexes by ClusterONE are increased (from 472 to 577). Since many of them can not match with any complex in the gold standards, the performance is deteriorated. As can be seen from Figures 6, 7 and 8, with the increase of the threshold, the number of the detected complexes detected by ClusterONE on BioGRID dataset keeps increasing while the number of the matched complexes remains almost the same and, in some cases, even decreases. while on another dataset with large size, Krogan extended, with the threshold -0.6, a total of 3,962 PPIs are integrated and only 68 detected complexes are increased (from 531 to 599). Even with the threshold -0.8, a total of 6,189 PPIs (the number is equivalent to the one on BioGRID with the threshold -0.6) are integrated and 86 detected complexes are increased (from 531 to 617). As can be seen from Figures 6, 7 and 8, when the PPI data with the threshold 0 are included, the numbers of the detected complexes and matched complexes by ClusterONE on Krogan extended dataset both increase. With the further increase of the threshold, like on BioGRID, the number of the matched complexes remains almost the same and, in some cases, even decreases. However, the number of the detected complexes also decreases while on BioGRID it keeps ever increasing, which especially deteriorates the performance of ClusterONE on BioGRID.\nThe numbers of the complexes detected by ClusterONE on PPI datasets with different thresholds.\nThe numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the MIPS gold standard.\nThe numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the SGD gold standard.\nOn the other hand, we found if the threshold is set to 0 and less PPIs (1,210) are integrated into BioGRID, much better performance can be achieved using any gold standard (MIPS and SGD) as shown in Figures 9 and 10.\nThe performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using MIPS as gold standard.\nThe performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using SGD as gold standard.\nTherefore, with the databases with the low transitivity like BioGRID, the threshold should be set to higher to ensure less PPIs are integrated into the databases, and, in other cases, the threshold can be set to -0.6. In this way, the performances of protein complex detection algorithms can be improved through the integration of PPI datasets and the PPI data extracted from literature.", "Protein complexes are important for understanding principles of cellular organization and function. High-throughput experimental techniques have produced a large amount of protein interactions, making it possible to predict protein complexes from protein-protein interaction networks. On the other hand, the rapidly growing biomedical literature provides a significantly large, readily available and relatively accurate source of interaction data, which can be integrated into the protein network for better protein complex detection performance. In this paper, we present an approach of improving protein complex detection methods with integrated PPI data from biomedical literature. The approach applies PPIExtractor to extract PPI data from biomedical literature, which are then integrated into the protein network for protein complex detection. The experimental results of ClusterONE on five yeast PPI datasets show the effectiveness of our method: compared with the original networks, the average improvements of 3.976 and 5.416 percentage units in MMR are achieved on the new networks using the MIPS and SGD gold standards, respectively. In addition, our method also proves to be effective for three other algorithms proposed in recent years, CMC, COACH and RRW.\nThrough the analysis of the experimental results, we found the choice of the threshold usually can be set to -0.6. However, for the databases with the low transitivity like BioGRID, the threshold should be set to higher. In this way, the performances of the state-of-the-art protein complex detection algorithms can be improved through the integration of the existed PPI datasets and the PPI data extracted from literature.\nA rapidly growing literature corpus ensures that PPI data is a readily-available resource for nearly every studied organism, particularly those with small protein interaction databases. PPI data provides a significantly large and readily available source of interaction data which, together with the guidelines and results reported here, will prove valuable especially for organisms in which protein-protein interaction data is sparse.", "The authors declare that they have no competing interests.", "ZHY conceived of the study, carried out its design and drafted the manuscript. FYY participated in the design of the study and performed the experiments. HFL and JW participated in its design and coordination, and helped to draft the manuscript. All authors read and approved the final manuscript." ]
[ null, "methods", null, null, null, null, null, null, null, null, null, "conclusions", null, null ]
[ "Protein-protein interaction network", "Protein complexes", "Information extraction", "Text mining" ]
Background: Protein complexes are molecular aggregations of proteins assembled by multiple protein-protein interactions. Many proteins are functional only after they are assembled into a protein complex and interact with other proteins in this complex. These protein complexes can help us to understand the principles of cellular organization and function. High-throughput experimental techniques have produced a large amount of protein interactions, which makes it possible to uncover protein complexes from protein interaction networks. A protein interaction network can be modeled as an undirected graph, where vertices represent proteins and edges represent interactions between proteins. Protein complexes are groups of proteins that interact with one another, so they are usually dense sub-graphs in PPI networks. Various algorithms based on graph theory have been applied to identify protein complexes and functional modules from protein interaction networks, including CFinder [1], CMC [2], COACH [3], MCL [4], RRW [5] and ClusterONE [6]. At the same time, a number of databases, such as Gavin [7], Krogan [8], Collins [9], DIP [10], and BioGRID [11], have been created to store protein interaction information in structured and standard formats. These datasets were usually derived with different experimental techniques: the Collins, Krogan and Gavin datasets include the results of TAP tagging experiments only; the DIP dataset include the results of Y2H experiments; the BioGRID dataset contains a mixture of TAP tagging, Y2H and low-throughput experimental results. However, even for model species, only a fraction of true physical interactions are known [12,13] and experimental verification of all remaining potential interactions is unlikely in the near future [14]. On the other hand, the rapidly growing biomedical literature provides a significantly large and readily available supplemental source of PPI data for complex detection methods. What is more, since these data from biomedical literature are contributed by biologists and, therefore, relatively accurate, the integration of them into the existing PPI datasets can be hopeful for better complex detection performance. Our work aims to quantifying the contribution of PPI data from biomedical literature as a supplement to the existing PPI datasets. In this paper, we present an approach of integrating PPI datasets with the PPI data from biomedical literature for protein complex detection. The approach applies a sophisticated natural language processing system, PPIExtractor [15], to extract new interactions from biomedical literature. These data are then integrated into the PPI datasets for protein complex detection. The experimental results on several PPI datasets show that in most cases the performances of some state-of-the-art protein complex detection methods are improved through the integration of protein-protein interactions and the PPI data extracted from literature. Methods: Extracting PPIs with PPIExtractor In this work, we apply the PPIExtractor system to extract PPI data from biomedical literature, which are then integrated into the protein network for protein complex detection. Among the popular machine learning approaches to extracting PPIs from biomedical literature, kernel-based methods including tree kernels [16], shortest path kernels [17], and graph kernels [18] have been proposed for PPIs extraction. Kernel-based methods retain the original representation of objects and use the object in algorithms only via computing a kernel function between a pair of objects. However, each kernel utilizes a portion of the structures to calculate useful similarity. The kernel cannot retrieve the other important information that may be retrieved by other kernels. In previous work, we presented PPIExtractor to automatically extract protein-protein interactions from biomedical literature. PPIExtractor is a multiple kernels learning based system which combines the feature-based, convolution tree and graph kernels to extract PPIs. The combined kernel can reduce the risk of missing important features, yielding new useful similarity measures. More specifically, the weighted linear combination of individual kernel used instead of assigning the same weight to each individual kernel is experimentally proven to contribute to the performance improvement. Experimental evaluations show that PPIExtractor can achieve state-of-the-art performance on a DIP subset with respect to comparable evaluations. More complete details are presented in [15]. PPIExtractor contains four modules: (i) Named Entity Recognition (NER) module which aims to identify the protein names in the biomedical literature; (ii) Normalization module which determines the unique identifier of proteins identified in NER module; (iii) PPI extraction module which extracts the PPI information in the biomedical literature and (iv) PPI visualization module which displays the extracted PPI information in the form of a graph. Figure 1 shows the architecture of PPIExtractor. The architecture of PPIExtractor. The biomedical literature PPI data we used is 127,217 PubMed abstracts downloaded from PubMed website (http://www.ncbi.nlm.nih.gov/pubmed) with the query string "((Saccharomyces cerevisiae) OR yeast) AND protein". 126,165 protein interactions were extracted from these abstracts by the PPIExtractor system. Most of the protein names in the PPI databases are systematic names for nuclear-encoded ORFs begin with the letter 'Y' (for 'Yeast') while those in PubMed abstracts are not. Therefore, we built a yeast protein alias name list with about 6,000 entries from the UniProt website (http://www.uniprot.org/uniprot/?query=yeast&sort=score). The list is used to convert the protein names in PubMed abstracts to systematic names for nuclear-encoded ORFs. In our method, a PPI can be added into a PPI dataset only if the two proteins in the PPI already exist in the PPI dataset. In this work, we apply the PPIExtractor system to extract PPI data from biomedical literature, which are then integrated into the protein network for protein complex detection. Among the popular machine learning approaches to extracting PPIs from biomedical literature, kernel-based methods including tree kernels [16], shortest path kernels [17], and graph kernels [18] have been proposed for PPIs extraction. Kernel-based methods retain the original representation of objects and use the object in algorithms only via computing a kernel function between a pair of objects. However, each kernel utilizes a portion of the structures to calculate useful similarity. The kernel cannot retrieve the other important information that may be retrieved by other kernels. In previous work, we presented PPIExtractor to automatically extract protein-protein interactions from biomedical literature. PPIExtractor is a multiple kernels learning based system which combines the feature-based, convolution tree and graph kernels to extract PPIs. The combined kernel can reduce the risk of missing important features, yielding new useful similarity measures. More specifically, the weighted linear combination of individual kernel used instead of assigning the same weight to each individual kernel is experimentally proven to contribute to the performance improvement. Experimental evaluations show that PPIExtractor can achieve state-of-the-art performance on a DIP subset with respect to comparable evaluations. More complete details are presented in [15]. PPIExtractor contains four modules: (i) Named Entity Recognition (NER) module which aims to identify the protein names in the biomedical literature; (ii) Normalization module which determines the unique identifier of proteins identified in NER module; (iii) PPI extraction module which extracts the PPI information in the biomedical literature and (iv) PPI visualization module which displays the extracted PPI information in the form of a graph. Figure 1 shows the architecture of PPIExtractor. The architecture of PPIExtractor. The biomedical literature PPI data we used is 127,217 PubMed abstracts downloaded from PubMed website (http://www.ncbi.nlm.nih.gov/pubmed) with the query string "((Saccharomyces cerevisiae) OR yeast) AND protein". 126,165 protein interactions were extracted from these abstracts by the PPIExtractor system. Most of the protein names in the PPI databases are systematic names for nuclear-encoded ORFs begin with the letter 'Y' (for 'Yeast') while those in PubMed abstracts are not. Therefore, we built a yeast protein alias name list with about 6,000 entries from the UniProt website (http://www.uniprot.org/uniprot/?query=yeast&sort=score). The list is used to convert the protein names in PubMed abstracts to systematic names for nuclear-encoded ORFs. In our method, a PPI can be added into a PPI dataset only if the two proteins in the PPI already exist in the PPI dataset. Yeast PPI datasets As in [6], five different yeast PPI datasets in our experiments were used to verify the effectiveness of our method, including three high-throughput experimental datasets (Gavin, Krogan-core and Krogan-extended), a computationally derived network that integrates the results of these studies (Collins), and a compendium of all known yeast protein-protein interactions (BioGRID). The Gavin data set was obtained by considering all PPIs with a socio-affinity index larger than five, proposed by the original authors. The Krogan data set was used in two variants: the core data set and the extended data set. The core data set contained only highly reliable interactions, whose probability > 0.273. The extended data set contained more interactions with less reliability, whose probability > 0.101. The Collins data set was retained the top 9,074 interactions according to their purification enrichment score, as suggested in the original paper. The BioGRID data set was downloaded from version 3.1.77 and contained all physical interactions that involve yeast proteins only. The details of the interaction datasets are shown in Table 1. Self-interactions and isolated proteins were filtered from all the datasets. Properties of the five yeast PPI datasets used in the experiments As in [6], five different yeast PPI datasets in our experiments were used to verify the effectiveness of our method, including three high-throughput experimental datasets (Gavin, Krogan-core and Krogan-extended), a computationally derived network that integrates the results of these studies (Collins), and a compendium of all known yeast protein-protein interactions (BioGRID). The Gavin data set was obtained by considering all PPIs with a socio-affinity index larger than five, proposed by the original authors. The Krogan data set was used in two variants: the core data set and the extended data set. The core data set contained only highly reliable interactions, whose probability > 0.273. The extended data set contained more interactions with less reliability, whose probability > 0.101. The Collins data set was retained the top 9,074 interactions according to their purification enrichment score, as suggested in the original paper. The BioGRID data set was downloaded from version 3.1.77 and contained all physical interactions that involve yeast proteins only. The details of the interaction datasets are shown in Table 1. Self-interactions and isolated proteins were filtered from all the datasets. Properties of the five yeast PPI datasets used in the experiments Integration of the extracted PPIs into the PPI datasets Each extracted PPI is assigned a weight by PPIExtractor which represent the reliability of the PPI. In our method, a certain amount of PPIs with the weights higher than a threshold can be integrated into the PPI datasets. Since BioGRID is an unweighted dataset, the weights of these PPIs are discarded. For the weighted datasets, Gavin, Krogan-core and Krogan-extended and Collins, the weights of these PPIs are adjusted proportionately to the ones in the PPI datasets which are usually calculated using complicated machine learning approaches that operate on the original noisy experimental datasets to reflect the reliability of the PPI [6]. In addition, we integrate a PPI with the weight equal to or higher than a threshold into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. As shown in Figure 2, since the BioGRID dataset has the most proteins (5,460), the most PPIs are integrated into it: with the threshold -0.6, 6,025 PPIs are integrated into it. The amounts of the PPIs added into the PPI datasets with different thresholds are shown in Table 2. The amounts of the PPIs added into the original PPI datasets. The amounts of the PPIs added into the original PPI datasets with different thresholds Each extracted PPI is assigned a weight by PPIExtractor which represent the reliability of the PPI. In our method, a certain amount of PPIs with the weights higher than a threshold can be integrated into the PPI datasets. Since BioGRID is an unweighted dataset, the weights of these PPIs are discarded. For the weighted datasets, Gavin, Krogan-core and Krogan-extended and Collins, the weights of these PPIs are adjusted proportionately to the ones in the PPI datasets which are usually calculated using complicated machine learning approaches that operate on the original noisy experimental datasets to reflect the reliability of the PPI [6]. In addition, we integrate a PPI with the weight equal to or higher than a threshold into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. As shown in Figure 2, since the BioGRID dataset has the most proteins (5,460), the most PPIs are integrated into it: with the threshold -0.6, 6,025 PPIs are integrated into it. The amounts of the PPIs added into the PPI datasets with different thresholds are shown in Table 2. The amounts of the PPIs added into the original PPI datasets. The amounts of the PPIs added into the original PPI datasets with different thresholds Protein complex detection methods In our experiments, a state-of-the-art complex detection method, ClusterONE [6], was used to evaluate our method's effectiveness on PPI datasets for protein complex detection. The ClusterONE is a method for detecting potentially overlapping protein complexes from protein interaction network. The algorithm uses a greedy growth process to find groups in a protein interaction network. The main algorithm consists of three steps: first, it grows groups with high cohesiveness from selected seed proteins. Second, it merges highly overlapping pairs of locally optimal cohesive groups. Last, the complex candidates that contain less than three proteins or whose densities are below a given threshold are discarded. Experimental results show that ClusterONE outperforms the other approaches both on weighted and unweighted PPI networks, matching more complexes with a higher accuracy and providing a better one-to-one mapping with reference complexes in almost all the data sets. In addition, we also evaluated the effectiveness of our method on three other complex detection algorithms proposed in recent years, i.e. CMC, COACH and RRW. CMC is a clique based method that uses a protein-protein interaction iteration method to update the network [2]. COACH is based on the core-attachment architecture developed by Gavin et al.[7], and selects some subgraph as the core structure first, and then adds the attachment to the core to construct a complex. The RRW algorithm derives complexes from results of repeated restarted random walks on the graph of protein-protein interactions [5]. For each algorithm, its parameters are set as those described in [6] which have been optimized to yield the best possible results as measured by the maximum matching ratio on the gold standards. In our experiments, a state-of-the-art complex detection method, ClusterONE [6], was used to evaluate our method's effectiveness on PPI datasets for protein complex detection. The ClusterONE is a method for detecting potentially overlapping protein complexes from protein interaction network. The algorithm uses a greedy growth process to find groups in a protein interaction network. The main algorithm consists of three steps: first, it grows groups with high cohesiveness from selected seed proteins. Second, it merges highly overlapping pairs of locally optimal cohesive groups. Last, the complex candidates that contain less than three proteins or whose densities are below a given threshold are discarded. Experimental results show that ClusterONE outperforms the other approaches both on weighted and unweighted PPI networks, matching more complexes with a higher accuracy and providing a better one-to-one mapping with reference complexes in almost all the data sets. In addition, we also evaluated the effectiveness of our method on three other complex detection algorithms proposed in recent years, i.e. CMC, COACH and RRW. CMC is a clique based method that uses a protein-protein interaction iteration method to update the network [2]. COACH is based on the core-attachment architecture developed by Gavin et al.[7], and selects some subgraph as the core structure first, and then adds the attachment to the core to construct a complex. The RRW algorithm derives complexes from results of repeated restarted random walks on the graph of protein-protein interactions [5]. For each algorithm, its parameters are set as those described in [6] which have been optimized to yield the best possible results as measured by the maximum matching ratio on the gold standards. Extracting PPIs with PPIExtractor: In this work, we apply the PPIExtractor system to extract PPI data from biomedical literature, which are then integrated into the protein network for protein complex detection. Among the popular machine learning approaches to extracting PPIs from biomedical literature, kernel-based methods including tree kernels [16], shortest path kernels [17], and graph kernels [18] have been proposed for PPIs extraction. Kernel-based methods retain the original representation of objects and use the object in algorithms only via computing a kernel function between a pair of objects. However, each kernel utilizes a portion of the structures to calculate useful similarity. The kernel cannot retrieve the other important information that may be retrieved by other kernels. In previous work, we presented PPIExtractor to automatically extract protein-protein interactions from biomedical literature. PPIExtractor is a multiple kernels learning based system which combines the feature-based, convolution tree and graph kernels to extract PPIs. The combined kernel can reduce the risk of missing important features, yielding new useful similarity measures. More specifically, the weighted linear combination of individual kernel used instead of assigning the same weight to each individual kernel is experimentally proven to contribute to the performance improvement. Experimental evaluations show that PPIExtractor can achieve state-of-the-art performance on a DIP subset with respect to comparable evaluations. More complete details are presented in [15]. PPIExtractor contains four modules: (i) Named Entity Recognition (NER) module which aims to identify the protein names in the biomedical literature; (ii) Normalization module which determines the unique identifier of proteins identified in NER module; (iii) PPI extraction module which extracts the PPI information in the biomedical literature and (iv) PPI visualization module which displays the extracted PPI information in the form of a graph. Figure 1 shows the architecture of PPIExtractor. The architecture of PPIExtractor. The biomedical literature PPI data we used is 127,217 PubMed abstracts downloaded from PubMed website (http://www.ncbi.nlm.nih.gov/pubmed) with the query string "((Saccharomyces cerevisiae) OR yeast) AND protein". 126,165 protein interactions were extracted from these abstracts by the PPIExtractor system. Most of the protein names in the PPI databases are systematic names for nuclear-encoded ORFs begin with the letter 'Y' (for 'Yeast') while those in PubMed abstracts are not. Therefore, we built a yeast protein alias name list with about 6,000 entries from the UniProt website (http://www.uniprot.org/uniprot/?query=yeast&sort=score). The list is used to convert the protein names in PubMed abstracts to systematic names for nuclear-encoded ORFs. In our method, a PPI can be added into a PPI dataset only if the two proteins in the PPI already exist in the PPI dataset. Yeast PPI datasets: As in [6], five different yeast PPI datasets in our experiments were used to verify the effectiveness of our method, including three high-throughput experimental datasets (Gavin, Krogan-core and Krogan-extended), a computationally derived network that integrates the results of these studies (Collins), and a compendium of all known yeast protein-protein interactions (BioGRID). The Gavin data set was obtained by considering all PPIs with a socio-affinity index larger than five, proposed by the original authors. The Krogan data set was used in two variants: the core data set and the extended data set. The core data set contained only highly reliable interactions, whose probability > 0.273. The extended data set contained more interactions with less reliability, whose probability > 0.101. The Collins data set was retained the top 9,074 interactions according to their purification enrichment score, as suggested in the original paper. The BioGRID data set was downloaded from version 3.1.77 and contained all physical interactions that involve yeast proteins only. The details of the interaction datasets are shown in Table 1. Self-interactions and isolated proteins were filtered from all the datasets. Properties of the five yeast PPI datasets used in the experiments Integration of the extracted PPIs into the PPI datasets: Each extracted PPI is assigned a weight by PPIExtractor which represent the reliability of the PPI. In our method, a certain amount of PPIs with the weights higher than a threshold can be integrated into the PPI datasets. Since BioGRID is an unweighted dataset, the weights of these PPIs are discarded. For the weighted datasets, Gavin, Krogan-core and Krogan-extended and Collins, the weights of these PPIs are adjusted proportionately to the ones in the PPI datasets which are usually calculated using complicated machine learning approaches that operate on the original noisy experimental datasets to reflect the reliability of the PPI [6]. In addition, we integrate a PPI with the weight equal to or higher than a threshold into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. As shown in Figure 2, since the BioGRID dataset has the most proteins (5,460), the most PPIs are integrated into it: with the threshold -0.6, 6,025 PPIs are integrated into it. The amounts of the PPIs added into the PPI datasets with different thresholds are shown in Table 2. The amounts of the PPIs added into the original PPI datasets. The amounts of the PPIs added into the original PPI datasets with different thresholds Protein complex detection methods: In our experiments, a state-of-the-art complex detection method, ClusterONE [6], was used to evaluate our method's effectiveness on PPI datasets for protein complex detection. The ClusterONE is a method for detecting potentially overlapping protein complexes from protein interaction network. The algorithm uses a greedy growth process to find groups in a protein interaction network. The main algorithm consists of three steps: first, it grows groups with high cohesiveness from selected seed proteins. Second, it merges highly overlapping pairs of locally optimal cohesive groups. Last, the complex candidates that contain less than three proteins or whose densities are below a given threshold are discarded. Experimental results show that ClusterONE outperforms the other approaches both on weighted and unweighted PPI networks, matching more complexes with a higher accuracy and providing a better one-to-one mapping with reference complexes in almost all the data sets. In addition, we also evaluated the effectiveness of our method on three other complex detection algorithms proposed in recent years, i.e. CMC, COACH and RRW. CMC is a clique based method that uses a protein-protein interaction iteration method to update the network [2]. COACH is based on the core-attachment architecture developed by Gavin et al.[7], and selects some subgraph as the core structure first, and then adds the attachment to the core to construct a complex. The RRW algorithm derives complexes from results of repeated restarted random walks on the graph of protein-protein interactions [5]. For each algorithm, its parameters are set as those described in [6] which have been optimized to yield the best possible results as measured by the maximum matching ratio on the gold standards. Results and discussion: Gold standard protein complexes Like [6], the MIPS catalog of protein complexes [19] (18 May 2006) and the Gene Ontology (GO)-based protein complex annotations from SGD [20] (11 Aug 2010) were used as our gold standards. To avoid selection bias, all MIPS categories containing at least three and at most 100 proteins as protein complexes are considered. MIPS category 550 and all its descendants, as these categories correspond to unconfirmed protein complexes that were predicted by computational methods. For SGD, GO annotations are maintained [21] for all yeast proteins. The complexes were derived from proteins annotated by descendant terms of the Gene Ontology term 'protein complex' (GO:0043234). Annotations with modifiers such as 'NOT' or 'colocalizes_with' and annotations supported by 'IEA' evidence code only were ignored. The details of the gold standard protein complex datasets are shown in Table 3. Details of the gold standard protein complex datasets Like [6], the MIPS catalog of protein complexes [19] (18 May 2006) and the Gene Ontology (GO)-based protein complex annotations from SGD [20] (11 Aug 2010) were used as our gold standards. To avoid selection bias, all MIPS categories containing at least three and at most 100 proteins as protein complexes are considered. MIPS category 550 and all its descendants, as these categories correspond to unconfirmed protein complexes that were predicted by computational methods. For SGD, GO annotations are maintained [21] for all yeast proteins. The complexes were derived from proteins annotated by descendant terms of the Gene Ontology term 'protein complex' (GO:0043234). Annotations with modifiers such as 'NOT' or 'colocalizes_with' and annotations supported by 'IEA' evidence code only were ignored. The details of the gold standard protein complex datasets are shown in Table 3. Details of the gold standard protein complex datasets Evaluation metrics Like [6], we used three independent quality measures to assess the similarity between a set of predicted complexes and a set of reference complexes. The first measure is the fraction of pairs between predicted and reference complexes with an overlap scoreω larger than 0.25. The overlap score between two protein sets A and B is defined as follows: (1) N A ( A , B ) = | V A ∩ V B | 2 | V A | × | V B | The threshold of 0.25 is chosen because it represents the case when the intersection is at least half of the complex size if the two complexes being compared are equally large. The second measure we used is the geometric accuracy as introduced by Broh´ee and van Helden [22], which is the geometric mean of two other measures, namely the clustering-wise sensitivity (Sn) and the clustering-wise positive predictive value (PPV). Let n be the number of the benchmark complexes and m be the number of the predicted complexes. Construct a confusion matrix T, and let Tij denote the number of proteins that are found both in reference complex i and predicted complex j. Sn and PPV are defined as follows: (2) S n = ∑ i = 1 n max j { T i j } ∑ i = 1 n N i (3) P P V = ∑ j = 1 m max i { T i j } ∑ i = 1 m T . j Here, we define Ni is the number of proteins in the benchmark complex i, then T.jis defined as: (4) T . j = ∑ i = 1 n T i j Generally, a high Sn value indicates that the prediction has a good coverage of the proteins in the true complexes, whereas a high PPV value indicates that the predicted complexes are likely to be true complexes. So it is necessary to balance the two measures by introducing the geometric accuracy (Acc), which is simply the geometric mean of the clustering-wise sensitivity and the positive predictive value: (5) A c c = S n × P P V The third measure we used is the maximum matching ratio (MMR) which was introduced in [6]. This measure is based on a maximal one-to-one mapping between predicted and standard complex. Let R as the standard complex, and P as the predicted complex. An edge connects a standard complex and a predicted complex if their neighborhood affinity score is larger than zero. Given n standard complexes and m predicted complexes, let j be the member of the predicted complexes, MMR then defined as follows: (6) M M R = ∑ i = 1 n max j N A ( i , j ) n The geometric accuracy measure explicitly penalizes predicted complexes that do not match any of the reference complexes. However, gold standard sets of protein complexes are often incomplete [23]. As a consequence, predicted complexes not matching any known reference complexes may still exhibit high functional similarity or be highly co-localized, and therefore they could still be prospective candidates for further in-depth analysis. In other words, a predicted complex that does not match a reference complex is not necessarily an undesired result, and optimizing for the geometric accuracy measure might prevent us from detecting novel complexes from a PPI dataset. The maximum matching ratio sidesteps this problem by dividing the total weight of the maximum matching with the number of reference complexes. Therefore, in the performance comparison, the MMR is used as the main metric, and the Acc is only used as an auxiliary one. Like [6], we used three independent quality measures to assess the similarity between a set of predicted complexes and a set of reference complexes. The first measure is the fraction of pairs between predicted and reference complexes with an overlap scoreω larger than 0.25. The overlap score between two protein sets A and B is defined as follows: (1) N A ( A , B ) = | V A ∩ V B | 2 | V A | × | V B | The threshold of 0.25 is chosen because it represents the case when the intersection is at least half of the complex size if the two complexes being compared are equally large. The second measure we used is the geometric accuracy as introduced by Broh´ee and van Helden [22], which is the geometric mean of two other measures, namely the clustering-wise sensitivity (Sn) and the clustering-wise positive predictive value (PPV). Let n be the number of the benchmark complexes and m be the number of the predicted complexes. Construct a confusion matrix T, and let Tij denote the number of proteins that are found both in reference complex i and predicted complex j. Sn and PPV are defined as follows: (2) S n = ∑ i = 1 n max j { T i j } ∑ i = 1 n N i (3) P P V = ∑ j = 1 m max i { T i j } ∑ i = 1 m T . j Here, we define Ni is the number of proteins in the benchmark complex i, then T.jis defined as: (4) T . j = ∑ i = 1 n T i j Generally, a high Sn value indicates that the prediction has a good coverage of the proteins in the true complexes, whereas a high PPV value indicates that the predicted complexes are likely to be true complexes. So it is necessary to balance the two measures by introducing the geometric accuracy (Acc), which is simply the geometric mean of the clustering-wise sensitivity and the positive predictive value: (5) A c c = S n × P P V The third measure we used is the maximum matching ratio (MMR) which was introduced in [6]. This measure is based on a maximal one-to-one mapping between predicted and standard complex. Let R as the standard complex, and P as the predicted complex. An edge connects a standard complex and a predicted complex if their neighborhood affinity score is larger than zero. Given n standard complexes and m predicted complexes, let j be the member of the predicted complexes, MMR then defined as follows: (6) M M R = ∑ i = 1 n max j N A ( i , j ) n The geometric accuracy measure explicitly penalizes predicted complexes that do not match any of the reference complexes. However, gold standard sets of protein complexes are often incomplete [23]. As a consequence, predicted complexes not matching any known reference complexes may still exhibit high functional similarity or be highly co-localized, and therefore they could still be prospective candidates for further in-depth analysis. In other words, a predicted complex that does not match a reference complex is not necessarily an undesired result, and optimizing for the geometric accuracy measure might prevent us from detecting novel complexes from a PPI dataset. The maximum matching ratio sidesteps this problem by dividing the total weight of the maximum matching with the number of reference complexes. Therefore, in the performance comparison, the MMR is used as the main metric, and the Acc is only used as an auxiliary one. The performances of ClusterONE on PPI datasets First, we tested ClusterONE on the Collins, Gavin, Krogan-core, Krogan-extended and BioGRID dataset. Tables 4, 5 and 6 contain the results of Accuracy, MMR and fraction of matched complexes when the MIPS dataset was used as the gold standard, respectively. Figure 3 depicts the MMR performances of ClusterONE on PPI datasets using the MIPS gold standard, which show that, in most cases, better performance of ClusterONE can be achieved when the PPIs extracted from literature are added into the original PPI datasets. When the PPIs with weights larger than or equal to threshold -0.6 are added, ClusterONE achieves the highest average MMR improvement on all five PPI datasets: the average improvements of 2.938 and 3.976 percentage units in Accuracy and MMR over that on the original datasets are achieved on the new datasets. With the lower thresholds (-0.7 to -0.9), the MMR performance begin to decline. The reason is that the lower threshold means more less reliable PPIs are introduced, which will deteriorate the performance of complex detection algorithms. The Accuracy performances of ClusterONE on PPI datasets using the MIPS gold standard Δ(-0.6) denotes the MMR improvement with the threshold -0.6 over that on the original datasets. Avg.Δ denotes the average MMR improvement over that on the original datasets. The MMR performances of ClusterONE on PPI datasets using the MIPS gold standard The fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the MIPS gold standard The MMR performances of ClusterONE on PPI datasets using the MIPS gold standard. The similar results were obtained when the SGD dataset was used as the gold standard as shown in Figure 4 and Tables 7, 8 and 9. Compared with the original datasets, the average improvements of 2.356 and 5.416 percentage units in Accuracy and MMR are achieved on the new networks with the threshold -0.6. The MMR performances of ClusterONE on PPI datasets using the SGD gold standard. The Accuracy performances of ClusterONE on PPI datasets using the SGD gold standard The MMR performances of ClusterONE on PPI datasets using the SGD gold standard The fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the SGD gold standard First, we tested ClusterONE on the Collins, Gavin, Krogan-core, Krogan-extended and BioGRID dataset. Tables 4, 5 and 6 contain the results of Accuracy, MMR and fraction of matched complexes when the MIPS dataset was used as the gold standard, respectively. Figure 3 depicts the MMR performances of ClusterONE on PPI datasets using the MIPS gold standard, which show that, in most cases, better performance of ClusterONE can be achieved when the PPIs extracted from literature are added into the original PPI datasets. When the PPIs with weights larger than or equal to threshold -0.6 are added, ClusterONE achieves the highest average MMR improvement on all five PPI datasets: the average improvements of 2.938 and 3.976 percentage units in Accuracy and MMR over that on the original datasets are achieved on the new datasets. With the lower thresholds (-0.7 to -0.9), the MMR performance begin to decline. The reason is that the lower threshold means more less reliable PPIs are introduced, which will deteriorate the performance of complex detection algorithms. The Accuracy performances of ClusterONE on PPI datasets using the MIPS gold standard Δ(-0.6) denotes the MMR improvement with the threshold -0.6 over that on the original datasets. Avg.Δ denotes the average MMR improvement over that on the original datasets. The MMR performances of ClusterONE on PPI datasets using the MIPS gold standard The fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the MIPS gold standard The MMR performances of ClusterONE on PPI datasets using the MIPS gold standard. The similar results were obtained when the SGD dataset was used as the gold standard as shown in Figure 4 and Tables 7, 8 and 9. Compared with the original datasets, the average improvements of 2.356 and 5.416 percentage units in Accuracy and MMR are achieved on the new networks with the threshold -0.6. The MMR performances of ClusterONE on PPI datasets using the SGD gold standard. The Accuracy performances of ClusterONE on PPI datasets using the SGD gold standard The MMR performances of ClusterONE on PPI datasets using the SGD gold standard The fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the SGD gold standard The performances of other algorithms on PPI datasets The performances of three other complex detection algorithms proposed since 2009 (i.e. COACH, CMC and RRW) on these yeast PPI datasets are shown in Tables 10 and 11. Like ClusterONE, these algorithms achieve the best performance with the threshold -0.6 on these yeast PPI datasets except on BioGRID: in term of MMR, COACH, CMC and RRW achieve 12.51, 19.85 and 4.2 percentage unit average improvements over those on the original datasets using the MIPS gold standard, respectively, while the average improvements are 12.41, 15.59 and 5.85 percentage units using the SGD gold standard, respectively. The performances of various protein complex detection algorithms on PPI datasets using the MIPS gold standard MMR(-0.6) denotes the MMR value when with the threshold -0.6; Δ(-0.6) denotes the MMR improvement when with the threshold -0.6 over that on the original datasets. MMR(0) denotes the MMR value when with the threshold 0; Δ(0) denotes the MMR improvement when with the threshold 0 over that on the original datasets. The performances of various protein complex detection algorithms on PPI datasets using the SGD gold standard On the BioGRID dataset, the performances of these algorithms decrease with the threshold -0.6: in term of MMR, there is an 8.41 percentage unit decrease in the performance of the RRW algorithm using the MIPS gold standard while there are 11.15 and 4.89 percentage unit decreases in the performance of the CMC and RRW algorithms using the SGD gold standard, respectively. Through the analysis of the results, we found that these algorithms obtain more clusters on BioGRID with the threshold -0.6 than on the original BioGRID. However, many of them are not matched one, i.e. they can not match with any complex in the gold standards, which deteriorates the performances of the complex detection algorithms. The reason behind it is that, in our method, a PPI with the weight equal to or higher than a threshold is integrated into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. Since the BioGRID dataset includes the most proteins (5,460), the most PPIs are integrated into it as shown in Figure 2: with the threshold -0.6, 6,025 PPIs are integrated into it while the numbers are 926, 1,324, 2,457 and 3,962 for Collins, Gavin, Krogan-core, Krogan-extended, respectively. In fact, according to [6], the BioGRID network is structurally very different from the other four datasets, and particularly it shows an unexpectedly high fraction of star-like structures. If many candidate complexes with star-like structures are predicted, the effectiveness of the complex detection algorithms may be hampered. The reason is that these complexes usually have low density values (where the density of a complex with n proteins is defined as the total weight of its internal edges, divided by n * (n − 1)/2 and, in the unweighted BioGRID dataset, the total weight of the complex is the number of its internal edges; an example is shown in Figure 5a) and a considerable number of real complexes form a clique in the interaction graph and have high density values though there are many other topological structures that may represent a complex on a PPI graph [24]. For example, the experimental results in [6] show that the performance of various protein complex detection algorithms on BioGRID is the worst among all PPI databases. In these cases the authors of [6] recommended that use higher value for the density threshold in order to discard trivial clusters. Given an unweighted network, ClusterONE automatically tests the value of the transitivity and sets the density threshold to either 0.5 or 0.6 (for the BioGRID dataset it uses 0.6). An example of a candidate complex. (a) before the PPI integration and (b) after the PPI integration. On a dataset like BioGRID, many candidate complexes with star-like structures and low density values should have been discarded based on the density threshold by complex detection algorithms. However, when the PPI data from literature are integrated, many such candidate complexes will be retained since the density values of these complexes are increased with the inclusion of new PPI data. As shown in the example of Figure 5, a candidate complex with star-like structure (Figure 5a) will be discarded since its density is 0.5 while the density threshold. However, when the edge between protein A and C is added (Figure 5b), the complex's density increases to 0.67 and it will be retained by ClusterONE (the density threshold 0.6). This assumption can be supported by the following fact: with the threshold -0.6, a total of 6,025 PPIs are integrated into the BioGRID dataset and a total of 105 detected complexes by ClusterONE are increased (from 472 to 577). Since many of them can not match with any complex in the gold standards, the performance is deteriorated. As can be seen from Figures 6, 7 and 8, with the increase of the threshold, the number of the detected complexes detected by ClusterONE on BioGRID dataset keeps increasing while the number of the matched complexes remains almost the same and, in some cases, even decreases. while on another dataset with large size, Krogan extended, with the threshold -0.6, a total of 3,962 PPIs are integrated and only 68 detected complexes are increased (from 531 to 599). Even with the threshold -0.8, a total of 6,189 PPIs (the number is equivalent to the one on BioGRID with the threshold -0.6) are integrated and 86 detected complexes are increased (from 531 to 617). As can be seen from Figures 6, 7 and 8, when the PPI data with the threshold 0 are included, the numbers of the detected complexes and matched complexes by ClusterONE on Krogan extended dataset both increase. With the further increase of the threshold, like on BioGRID, the number of the matched complexes remains almost the same and, in some cases, even decreases. However, the number of the detected complexes also decreases while on BioGRID it keeps ever increasing, which especially deteriorates the performance of ClusterONE on BioGRID. The numbers of the complexes detected by ClusterONE on PPI datasets with different thresholds. The numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the MIPS gold standard. The numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the SGD gold standard. On the other hand, we found if the threshold is set to 0 and less PPIs (1,210) are integrated into BioGRID, much better performance can be achieved using any gold standard (MIPS and SGD) as shown in Figures 9 and 10. The performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using MIPS as gold standard. The performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using SGD as gold standard. Therefore, with the databases with the low transitivity like BioGRID, the threshold should be set to higher to ensure less PPIs are integrated into the databases, and, in other cases, the threshold can be set to -0.6. In this way, the performances of protein complex detection algorithms can be improved through the integration of PPI datasets and the PPI data extracted from literature. The performances of three other complex detection algorithms proposed since 2009 (i.e. COACH, CMC and RRW) on these yeast PPI datasets are shown in Tables 10 and 11. Like ClusterONE, these algorithms achieve the best performance with the threshold -0.6 on these yeast PPI datasets except on BioGRID: in term of MMR, COACH, CMC and RRW achieve 12.51, 19.85 and 4.2 percentage unit average improvements over those on the original datasets using the MIPS gold standard, respectively, while the average improvements are 12.41, 15.59 and 5.85 percentage units using the SGD gold standard, respectively. The performances of various protein complex detection algorithms on PPI datasets using the MIPS gold standard MMR(-0.6) denotes the MMR value when with the threshold -0.6; Δ(-0.6) denotes the MMR improvement when with the threshold -0.6 over that on the original datasets. MMR(0) denotes the MMR value when with the threshold 0; Δ(0) denotes the MMR improvement when with the threshold 0 over that on the original datasets. The performances of various protein complex detection algorithms on PPI datasets using the SGD gold standard On the BioGRID dataset, the performances of these algorithms decrease with the threshold -0.6: in term of MMR, there is an 8.41 percentage unit decrease in the performance of the RRW algorithm using the MIPS gold standard while there are 11.15 and 4.89 percentage unit decreases in the performance of the CMC and RRW algorithms using the SGD gold standard, respectively. Through the analysis of the results, we found that these algorithms obtain more clusters on BioGRID with the threshold -0.6 than on the original BioGRID. However, many of them are not matched one, i.e. they can not match with any complex in the gold standards, which deteriorates the performances of the complex detection algorithms. The reason behind it is that, in our method, a PPI with the weight equal to or higher than a threshold is integrated into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. Since the BioGRID dataset includes the most proteins (5,460), the most PPIs are integrated into it as shown in Figure 2: with the threshold -0.6, 6,025 PPIs are integrated into it while the numbers are 926, 1,324, 2,457 and 3,962 for Collins, Gavin, Krogan-core, Krogan-extended, respectively. In fact, according to [6], the BioGRID network is structurally very different from the other four datasets, and particularly it shows an unexpectedly high fraction of star-like structures. If many candidate complexes with star-like structures are predicted, the effectiveness of the complex detection algorithms may be hampered. The reason is that these complexes usually have low density values (where the density of a complex with n proteins is defined as the total weight of its internal edges, divided by n * (n − 1)/2 and, in the unweighted BioGRID dataset, the total weight of the complex is the number of its internal edges; an example is shown in Figure 5a) and a considerable number of real complexes form a clique in the interaction graph and have high density values though there are many other topological structures that may represent a complex on a PPI graph [24]. For example, the experimental results in [6] show that the performance of various protein complex detection algorithms on BioGRID is the worst among all PPI databases. In these cases the authors of [6] recommended that use higher value for the density threshold in order to discard trivial clusters. Given an unweighted network, ClusterONE automatically tests the value of the transitivity and sets the density threshold to either 0.5 or 0.6 (for the BioGRID dataset it uses 0.6). An example of a candidate complex. (a) before the PPI integration and (b) after the PPI integration. On a dataset like BioGRID, many candidate complexes with star-like structures and low density values should have been discarded based on the density threshold by complex detection algorithms. However, when the PPI data from literature are integrated, many such candidate complexes will be retained since the density values of these complexes are increased with the inclusion of new PPI data. As shown in the example of Figure 5, a candidate complex with star-like structure (Figure 5a) will be discarded since its density is 0.5 while the density threshold. However, when the edge between protein A and C is added (Figure 5b), the complex's density increases to 0.67 and it will be retained by ClusterONE (the density threshold 0.6). This assumption can be supported by the following fact: with the threshold -0.6, a total of 6,025 PPIs are integrated into the BioGRID dataset and a total of 105 detected complexes by ClusterONE are increased (from 472 to 577). Since many of them can not match with any complex in the gold standards, the performance is deteriorated. As can be seen from Figures 6, 7 and 8, with the increase of the threshold, the number of the detected complexes detected by ClusterONE on BioGRID dataset keeps increasing while the number of the matched complexes remains almost the same and, in some cases, even decreases. while on another dataset with large size, Krogan extended, with the threshold -0.6, a total of 3,962 PPIs are integrated and only 68 detected complexes are increased (from 531 to 599). Even with the threshold -0.8, a total of 6,189 PPIs (the number is equivalent to the one on BioGRID with the threshold -0.6) are integrated and 86 detected complexes are increased (from 531 to 617). As can be seen from Figures 6, 7 and 8, when the PPI data with the threshold 0 are included, the numbers of the detected complexes and matched complexes by ClusterONE on Krogan extended dataset both increase. With the further increase of the threshold, like on BioGRID, the number of the matched complexes remains almost the same and, in some cases, even decreases. However, the number of the detected complexes also decreases while on BioGRID it keeps ever increasing, which especially deteriorates the performance of ClusterONE on BioGRID. The numbers of the complexes detected by ClusterONE on PPI datasets with different thresholds. The numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the MIPS gold standard. The numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the SGD gold standard. On the other hand, we found if the threshold is set to 0 and less PPIs (1,210) are integrated into BioGRID, much better performance can be achieved using any gold standard (MIPS and SGD) as shown in Figures 9 and 10. The performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using MIPS as gold standard. The performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using SGD as gold standard. Therefore, with the databases with the low transitivity like BioGRID, the threshold should be set to higher to ensure less PPIs are integrated into the databases, and, in other cases, the threshold can be set to -0.6. In this way, the performances of protein complex detection algorithms can be improved through the integration of PPI datasets and the PPI data extracted from literature. Gold standard protein complexes: Like [6], the MIPS catalog of protein complexes [19] (18 May 2006) and the Gene Ontology (GO)-based protein complex annotations from SGD [20] (11 Aug 2010) were used as our gold standards. To avoid selection bias, all MIPS categories containing at least three and at most 100 proteins as protein complexes are considered. MIPS category 550 and all its descendants, as these categories correspond to unconfirmed protein complexes that were predicted by computational methods. For SGD, GO annotations are maintained [21] for all yeast proteins. The complexes were derived from proteins annotated by descendant terms of the Gene Ontology term 'protein complex' (GO:0043234). Annotations with modifiers such as 'NOT' or 'colocalizes_with' and annotations supported by 'IEA' evidence code only were ignored. The details of the gold standard protein complex datasets are shown in Table 3. Details of the gold standard protein complex datasets Evaluation metrics: Like [6], we used three independent quality measures to assess the similarity between a set of predicted complexes and a set of reference complexes. The first measure is the fraction of pairs between predicted and reference complexes with an overlap scoreω larger than 0.25. The overlap score between two protein sets A and B is defined as follows: (1) N A ( A , B ) = | V A ∩ V B | 2 | V A | × | V B | The threshold of 0.25 is chosen because it represents the case when the intersection is at least half of the complex size if the two complexes being compared are equally large. The second measure we used is the geometric accuracy as introduced by Broh´ee and van Helden [22], which is the geometric mean of two other measures, namely the clustering-wise sensitivity (Sn) and the clustering-wise positive predictive value (PPV). Let n be the number of the benchmark complexes and m be the number of the predicted complexes. Construct a confusion matrix T, and let Tij denote the number of proteins that are found both in reference complex i and predicted complex j. Sn and PPV are defined as follows: (2) S n = ∑ i = 1 n max j { T i j } ∑ i = 1 n N i (3) P P V = ∑ j = 1 m max i { T i j } ∑ i = 1 m T . j Here, we define Ni is the number of proteins in the benchmark complex i, then T.jis defined as: (4) T . j = ∑ i = 1 n T i j Generally, a high Sn value indicates that the prediction has a good coverage of the proteins in the true complexes, whereas a high PPV value indicates that the predicted complexes are likely to be true complexes. So it is necessary to balance the two measures by introducing the geometric accuracy (Acc), which is simply the geometric mean of the clustering-wise sensitivity and the positive predictive value: (5) A c c = S n × P P V The third measure we used is the maximum matching ratio (MMR) which was introduced in [6]. This measure is based on a maximal one-to-one mapping between predicted and standard complex. Let R as the standard complex, and P as the predicted complex. An edge connects a standard complex and a predicted complex if their neighborhood affinity score is larger than zero. Given n standard complexes and m predicted complexes, let j be the member of the predicted complexes, MMR then defined as follows: (6) M M R = ∑ i = 1 n max j N A ( i , j ) n The geometric accuracy measure explicitly penalizes predicted complexes that do not match any of the reference complexes. However, gold standard sets of protein complexes are often incomplete [23]. As a consequence, predicted complexes not matching any known reference complexes may still exhibit high functional similarity or be highly co-localized, and therefore they could still be prospective candidates for further in-depth analysis. In other words, a predicted complex that does not match a reference complex is not necessarily an undesired result, and optimizing for the geometric accuracy measure might prevent us from detecting novel complexes from a PPI dataset. The maximum matching ratio sidesteps this problem by dividing the total weight of the maximum matching with the number of reference complexes. Therefore, in the performance comparison, the MMR is used as the main metric, and the Acc is only used as an auxiliary one. The performances of ClusterONE on PPI datasets: First, we tested ClusterONE on the Collins, Gavin, Krogan-core, Krogan-extended and BioGRID dataset. Tables 4, 5 and 6 contain the results of Accuracy, MMR and fraction of matched complexes when the MIPS dataset was used as the gold standard, respectively. Figure 3 depicts the MMR performances of ClusterONE on PPI datasets using the MIPS gold standard, which show that, in most cases, better performance of ClusterONE can be achieved when the PPIs extracted from literature are added into the original PPI datasets. When the PPIs with weights larger than or equal to threshold -0.6 are added, ClusterONE achieves the highest average MMR improvement on all five PPI datasets: the average improvements of 2.938 and 3.976 percentage units in Accuracy and MMR over that on the original datasets are achieved on the new datasets. With the lower thresholds (-0.7 to -0.9), the MMR performance begin to decline. The reason is that the lower threshold means more less reliable PPIs are introduced, which will deteriorate the performance of complex detection algorithms. The Accuracy performances of ClusterONE on PPI datasets using the MIPS gold standard Δ(-0.6) denotes the MMR improvement with the threshold -0.6 over that on the original datasets. Avg.Δ denotes the average MMR improvement over that on the original datasets. The MMR performances of ClusterONE on PPI datasets using the MIPS gold standard The fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the MIPS gold standard The MMR performances of ClusterONE on PPI datasets using the MIPS gold standard. The similar results were obtained when the SGD dataset was used as the gold standard as shown in Figure 4 and Tables 7, 8 and 9. Compared with the original datasets, the average improvements of 2.356 and 5.416 percentage units in Accuracy and MMR are achieved on the new networks with the threshold -0.6. The MMR performances of ClusterONE on PPI datasets using the SGD gold standard. The Accuracy performances of ClusterONE on PPI datasets using the SGD gold standard The MMR performances of ClusterONE on PPI datasets using the SGD gold standard The fraction of matched complexes with a given overlap score threshold (ω ≥ 0.25) of ClusterONE on PPI datasets using the SGD gold standard The performances of other algorithms on PPI datasets: The performances of three other complex detection algorithms proposed since 2009 (i.e. COACH, CMC and RRW) on these yeast PPI datasets are shown in Tables 10 and 11. Like ClusterONE, these algorithms achieve the best performance with the threshold -0.6 on these yeast PPI datasets except on BioGRID: in term of MMR, COACH, CMC and RRW achieve 12.51, 19.85 and 4.2 percentage unit average improvements over those on the original datasets using the MIPS gold standard, respectively, while the average improvements are 12.41, 15.59 and 5.85 percentage units using the SGD gold standard, respectively. The performances of various protein complex detection algorithms on PPI datasets using the MIPS gold standard MMR(-0.6) denotes the MMR value when with the threshold -0.6; Δ(-0.6) denotes the MMR improvement when with the threshold -0.6 over that on the original datasets. MMR(0) denotes the MMR value when with the threshold 0; Δ(0) denotes the MMR improvement when with the threshold 0 over that on the original datasets. The performances of various protein complex detection algorithms on PPI datasets using the SGD gold standard On the BioGRID dataset, the performances of these algorithms decrease with the threshold -0.6: in term of MMR, there is an 8.41 percentage unit decrease in the performance of the RRW algorithm using the MIPS gold standard while there are 11.15 and 4.89 percentage unit decreases in the performance of the CMC and RRW algorithms using the SGD gold standard, respectively. Through the analysis of the results, we found that these algorithms obtain more clusters on BioGRID with the threshold -0.6 than on the original BioGRID. However, many of them are not matched one, i.e. they can not match with any complex in the gold standards, which deteriorates the performances of the complex detection algorithms. The reason behind it is that, in our method, a PPI with the weight equal to or higher than a threshold is integrated into the PPI dataset only if both two proteins in the PPI already exist in the PPI dataset. Since the BioGRID dataset includes the most proteins (5,460), the most PPIs are integrated into it as shown in Figure 2: with the threshold -0.6, 6,025 PPIs are integrated into it while the numbers are 926, 1,324, 2,457 and 3,962 for Collins, Gavin, Krogan-core, Krogan-extended, respectively. In fact, according to [6], the BioGRID network is structurally very different from the other four datasets, and particularly it shows an unexpectedly high fraction of star-like structures. If many candidate complexes with star-like structures are predicted, the effectiveness of the complex detection algorithms may be hampered. The reason is that these complexes usually have low density values (where the density of a complex with n proteins is defined as the total weight of its internal edges, divided by n * (n − 1)/2 and, in the unweighted BioGRID dataset, the total weight of the complex is the number of its internal edges; an example is shown in Figure 5a) and a considerable number of real complexes form a clique in the interaction graph and have high density values though there are many other topological structures that may represent a complex on a PPI graph [24]. For example, the experimental results in [6] show that the performance of various protein complex detection algorithms on BioGRID is the worst among all PPI databases. In these cases the authors of [6] recommended that use higher value for the density threshold in order to discard trivial clusters. Given an unweighted network, ClusterONE automatically tests the value of the transitivity and sets the density threshold to either 0.5 or 0.6 (for the BioGRID dataset it uses 0.6). An example of a candidate complex. (a) before the PPI integration and (b) after the PPI integration. On a dataset like BioGRID, many candidate complexes with star-like structures and low density values should have been discarded based on the density threshold by complex detection algorithms. However, when the PPI data from literature are integrated, many such candidate complexes will be retained since the density values of these complexes are increased with the inclusion of new PPI data. As shown in the example of Figure 5, a candidate complex with star-like structure (Figure 5a) will be discarded since its density is 0.5 while the density threshold. However, when the edge between protein A and C is added (Figure 5b), the complex's density increases to 0.67 and it will be retained by ClusterONE (the density threshold 0.6). This assumption can be supported by the following fact: with the threshold -0.6, a total of 6,025 PPIs are integrated into the BioGRID dataset and a total of 105 detected complexes by ClusterONE are increased (from 472 to 577). Since many of them can not match with any complex in the gold standards, the performance is deteriorated. As can be seen from Figures 6, 7 and 8, with the increase of the threshold, the number of the detected complexes detected by ClusterONE on BioGRID dataset keeps increasing while the number of the matched complexes remains almost the same and, in some cases, even decreases. while on another dataset with large size, Krogan extended, with the threshold -0.6, a total of 3,962 PPIs are integrated and only 68 detected complexes are increased (from 531 to 599). Even with the threshold -0.8, a total of 6,189 PPIs (the number is equivalent to the one on BioGRID with the threshold -0.6) are integrated and 86 detected complexes are increased (from 531 to 617). As can be seen from Figures 6, 7 and 8, when the PPI data with the threshold 0 are included, the numbers of the detected complexes and matched complexes by ClusterONE on Krogan extended dataset both increase. With the further increase of the threshold, like on BioGRID, the number of the matched complexes remains almost the same and, in some cases, even decreases. However, the number of the detected complexes also decreases while on BioGRID it keeps ever increasing, which especially deteriorates the performance of ClusterONE on BioGRID. The numbers of the complexes detected by ClusterONE on PPI datasets with different thresholds. The numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the MIPS gold standard. The numbers of the matched complexes detected by ClusterONE on PPI datasets with different thresholds using the SGD gold standard. On the other hand, we found if the threshold is set to 0 and less PPIs (1,210) are integrated into BioGRID, much better performance can be achieved using any gold standard (MIPS and SGD) as shown in Figures 9 and 10. The performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using MIPS as gold standard. The performance comparison of various protein complex detection algorithms on BioGRID between the threshold -0.6 and 0 using SGD as gold standard. Therefore, with the databases with the low transitivity like BioGRID, the threshold should be set to higher to ensure less PPIs are integrated into the databases, and, in other cases, the threshold can be set to -0.6. In this way, the performances of protein complex detection algorithms can be improved through the integration of PPI datasets and the PPI data extracted from literature. Conclusions: Protein complexes are important for understanding principles of cellular organization and function. High-throughput experimental techniques have produced a large amount of protein interactions, making it possible to predict protein complexes from protein-protein interaction networks. On the other hand, the rapidly growing biomedical literature provides a significantly large, readily available and relatively accurate source of interaction data, which can be integrated into the protein network for better protein complex detection performance. In this paper, we present an approach of improving protein complex detection methods with integrated PPI data from biomedical literature. The approach applies PPIExtractor to extract PPI data from biomedical literature, which are then integrated into the protein network for protein complex detection. The experimental results of ClusterONE on five yeast PPI datasets show the effectiveness of our method: compared with the original networks, the average improvements of 3.976 and 5.416 percentage units in MMR are achieved on the new networks using the MIPS and SGD gold standards, respectively. In addition, our method also proves to be effective for three other algorithms proposed in recent years, CMC, COACH and RRW. Through the analysis of the experimental results, we found the choice of the threshold usually can be set to -0.6. However, for the databases with the low transitivity like BioGRID, the threshold should be set to higher. In this way, the performances of the state-of-the-art protein complex detection algorithms can be improved through the integration of the existed PPI datasets and the PPI data extracted from literature. A rapidly growing literature corpus ensures that PPI data is a readily-available resource for nearly every studied organism, particularly those with small protein interaction databases. PPI data provides a significantly large and readily available source of interaction data which, together with the guidelines and results reported here, will prove valuable especially for organisms in which protein-protein interaction data is sparse. Competing interests: The authors declare that they have no competing interests. Authors' contributions: ZHY conceived of the study, carried out its design and drafted the manuscript. FYY participated in the design of the study and performed the experiments. HFL and JW participated in its design and coordination, and helped to draft the manuscript. All authors read and approved the final manuscript.
Background: Protein complexes are important for understanding principles of cellular organization and function. High-throughput experimental techniques have produced a large amount of protein-protein interactions (PPIs), making it possible to predict protein complexes from protein-protein interaction networks. On the other hand, the rapidly growing biomedical literature provides a significantly large and readily available source of interaction data, which can be integrated into the protein network for better complex detection performance. Methods: We present an approach of integrating PPI datasets with the PPI data from biomedical literature for protein complex detection. The approach applies a sophisticated natural language processing system, PPIExtractor, to extract PPI data from biomedical literature. These data are then integrated into the PPI datasets for complex detection. Results: The experimental results of the state-of-the-art complex detection method, ClusterONE, on five yeast PPI datasets verify our method's effectiveness: compared with the original PPI datasets, the average improvements of 3.976 and 5.416 percentage units in the maximum matching ratio (MMR) are achieved on the new networks using the MIPS and SGD gold standards, respectively. In addition, our approach also proves to be effective for three other complex detection algorithms proposed in recent years, i.e. CMC, COACH and RRW. Conclusions: The rapidly growing biomedical literature provides a significantly large, readily available and relatively accurate source of interaction data, which can be integrated into the protein network for better protein complex detection performance.
Background: Protein complexes are molecular aggregations of proteins assembled by multiple protein-protein interactions. Many proteins are functional only after they are assembled into a protein complex and interact with other proteins in this complex. These protein complexes can help us to understand the principles of cellular organization and function. High-throughput experimental techniques have produced a large amount of protein interactions, which makes it possible to uncover protein complexes from protein interaction networks. A protein interaction network can be modeled as an undirected graph, where vertices represent proteins and edges represent interactions between proteins. Protein complexes are groups of proteins that interact with one another, so they are usually dense sub-graphs in PPI networks. Various algorithms based on graph theory have been applied to identify protein complexes and functional modules from protein interaction networks, including CFinder [1], CMC [2], COACH [3], MCL [4], RRW [5] and ClusterONE [6]. At the same time, a number of databases, such as Gavin [7], Krogan [8], Collins [9], DIP [10], and BioGRID [11], have been created to store protein interaction information in structured and standard formats. These datasets were usually derived with different experimental techniques: the Collins, Krogan and Gavin datasets include the results of TAP tagging experiments only; the DIP dataset include the results of Y2H experiments; the BioGRID dataset contains a mixture of TAP tagging, Y2H and low-throughput experimental results. However, even for model species, only a fraction of true physical interactions are known [12,13] and experimental verification of all remaining potential interactions is unlikely in the near future [14]. On the other hand, the rapidly growing biomedical literature provides a significantly large and readily available supplemental source of PPI data for complex detection methods. What is more, since these data from biomedical literature are contributed by biologists and, therefore, relatively accurate, the integration of them into the existing PPI datasets can be hopeful for better complex detection performance. Our work aims to quantifying the contribution of PPI data from biomedical literature as a supplement to the existing PPI datasets. In this paper, we present an approach of integrating PPI datasets with the PPI data from biomedical literature for protein complex detection. The approach applies a sophisticated natural language processing system, PPIExtractor [15], to extract new interactions from biomedical literature. These data are then integrated into the PPI datasets for protein complex detection. The experimental results on several PPI datasets show that in most cases the performances of some state-of-the-art protein complex detection methods are improved through the integration of protein-protein interactions and the PPI data extracted from literature. Conclusions: Protein complexes are important for understanding principles of cellular organization and function. High-throughput experimental techniques have produced a large amount of protein interactions, making it possible to predict protein complexes from protein-protein interaction networks. On the other hand, the rapidly growing biomedical literature provides a significantly large, readily available and relatively accurate source of interaction data, which can be integrated into the protein network for better protein complex detection performance. In this paper, we present an approach of improving protein complex detection methods with integrated PPI data from biomedical literature. The approach applies PPIExtractor to extract PPI data from biomedical literature, which are then integrated into the protein network for protein complex detection. The experimental results of ClusterONE on five yeast PPI datasets show the effectiveness of our method: compared with the original networks, the average improvements of 3.976 and 5.416 percentage units in MMR are achieved on the new networks using the MIPS and SGD gold standards, respectively. In addition, our method also proves to be effective for three other algorithms proposed in recent years, CMC, COACH and RRW. Through the analysis of the experimental results, we found the choice of the threshold usually can be set to -0.6. However, for the databases with the low transitivity like BioGRID, the threshold should be set to higher. In this way, the performances of the state-of-the-art protein complex detection algorithms can be improved through the integration of the existed PPI datasets and the PPI data extracted from literature. A rapidly growing literature corpus ensures that PPI data is a readily-available resource for nearly every studied organism, particularly those with small protein interaction databases. PPI data provides a significantly large and readily available source of interaction data which, together with the guidelines and results reported here, will prove valuable especially for organisms in which protein-protein interaction data is sparse.
Background: Protein complexes are important for understanding principles of cellular organization and function. High-throughput experimental techniques have produced a large amount of protein-protein interactions (PPIs), making it possible to predict protein complexes from protein-protein interaction networks. On the other hand, the rapidly growing biomedical literature provides a significantly large and readily available source of interaction data, which can be integrated into the protein network for better complex detection performance. Methods: We present an approach of integrating PPI datasets with the PPI data from biomedical literature for protein complex detection. The approach applies a sophisticated natural language processing system, PPIExtractor, to extract PPI data from biomedical literature. These data are then integrated into the PPI datasets for complex detection. Results: The experimental results of the state-of-the-art complex detection method, ClusterONE, on five yeast PPI datasets verify our method's effectiveness: compared with the original PPI datasets, the average improvements of 3.976 and 5.416 percentage units in the maximum matching ratio (MMR) are achieved on the new networks using the MIPS and SGD gold standards, respectively. In addition, our approach also proves to be effective for three other complex detection algorithms proposed in recent years, i.e. CMC, COACH and RRW. Conclusions: The rapidly growing biomedical literature provides a significantly large, readily available and relatively accurate source of interaction data, which can be integrated into the protein network for better protein complex detection performance.
13,408
282
[ 518, 515, 231, 237, 322, 5633, 179, 812, 427, 1382, 10, 54 ]
14
[ "ppi", "complexes", "datasets", "protein", "complex", "threshold", "ppi datasets", "gold", "standard", "clusterone" ]
[ "protein interaction information", "identify protein complexes", "integrated protein network", "protein interaction databases", "network protein complex" ]
null
[CONTENT] Protein-protein interaction network | Protein complexes | Information extraction | Text mining [SUMMARY]
[CONTENT] Protein-protein interaction network | Protein complexes | Information extraction | Text mining [SUMMARY]
null
[CONTENT] Protein-protein interaction network | Protein complexes | Information extraction | Text mining [SUMMARY]
[CONTENT] Protein-protein interaction network | Protein complexes | Information extraction | Text mining [SUMMARY]
[CONTENT] Protein-protein interaction network | Protein complexes | Information extraction | Text mining [SUMMARY]
[CONTENT] Algorithms | Biomedical Research | Computational Biology | Data Mining | Fungal Proteins | Natural Language Processing | Protein Interaction Mapping | Publications [SUMMARY]
[CONTENT] Algorithms | Biomedical Research | Computational Biology | Data Mining | Fungal Proteins | Natural Language Processing | Protein Interaction Mapping | Publications [SUMMARY]
null
[CONTENT] Algorithms | Biomedical Research | Computational Biology | Data Mining | Fungal Proteins | Natural Language Processing | Protein Interaction Mapping | Publications [SUMMARY]
[CONTENT] Algorithms | Biomedical Research | Computational Biology | Data Mining | Fungal Proteins | Natural Language Processing | Protein Interaction Mapping | Publications [SUMMARY]
[CONTENT] Algorithms | Biomedical Research | Computational Biology | Data Mining | Fungal Proteins | Natural Language Processing | Protein Interaction Mapping | Publications [SUMMARY]
[CONTENT] protein interaction information | identify protein complexes | integrated protein network | protein interaction databases | network protein complex [SUMMARY]
[CONTENT] protein interaction information | identify protein complexes | integrated protein network | protein interaction databases | network protein complex [SUMMARY]
null
[CONTENT] protein interaction information | identify protein complexes | integrated protein network | protein interaction databases | network protein complex [SUMMARY]
[CONTENT] protein interaction information | identify protein complexes | integrated protein network | protein interaction databases | network protein complex [SUMMARY]
[CONTENT] protein interaction information | identify protein complexes | integrated protein network | protein interaction databases | network protein complex [SUMMARY]
[CONTENT] ppi | complexes | datasets | protein | complex | threshold | ppi datasets | gold | standard | clusterone [SUMMARY]
[CONTENT] ppi | complexes | datasets | protein | complex | threshold | ppi datasets | gold | standard | clusterone [SUMMARY]
null
[CONTENT] ppi | complexes | datasets | protein | complex | threshold | ppi datasets | gold | standard | clusterone [SUMMARY]
[CONTENT] ppi | complexes | datasets | protein | complex | threshold | ppi datasets | gold | standard | clusterone [SUMMARY]
[CONTENT] ppi | complexes | datasets | protein | complex | threshold | ppi datasets | gold | standard | clusterone [SUMMARY]
[CONTENT] protein | interactions | ppi | biomedical literature | biomedical | literature | complex | datasets | data | protein interaction [SUMMARY]
[CONTENT] ppi | protein | ppis | kernel | data set | datasets | ppiextractor | data | interactions | kernels [SUMMARY]
null
[CONTENT] protein | data | interaction data | ppi data | ppi | literature | interaction | available | readily | readily available [SUMMARY]
[CONTENT] ppi | protein | datasets | complexes | complex | ppi datasets | threshold | data | standard | ppis [SUMMARY]
[CONTENT] ppi | protein | datasets | complexes | complex | ppi datasets | threshold | data | standard | ppis [SUMMARY]
[CONTENT] ||| ||| [SUMMARY]
[CONTENT] ||| PPIExtractor ||| [SUMMARY]
null
[CONTENT] [SUMMARY]
[CONTENT] ||| ||| ||| ||| PPIExtractor ||| ||| ||| ClusterONE | five | 3.976 | 5.416 | MMR | MIPS | SGD ||| three | recent years | CMC | COACH | RRW ||| [SUMMARY]
[CONTENT] ||| ||| ||| ||| PPIExtractor ||| ||| ||| ClusterONE | five | 3.976 | 5.416 | MMR | MIPS | SGD ||| three | recent years | CMC | COACH | RRW ||| [SUMMARY]
Modified technique of closing the port site after multiport thoracoscopic surgery using the shingled suture technique: a single centre experience.
33931065
Due to improvements in operative techniques and medical equipment, video-assisted thoracoscopic surgery has become a mainstay of thoracic surgery. Nevertheless, in multiport thoracoscopic surgery, there have been no substantial advances related to the improvement of the esthetics of the site of the chest tube kept for postoperative drainage of intrathoracic fluid and decompression of air leak after thoracoscopic surgery. Leakage of fluid and air around the site of the chest tube can be extremely bothersome to patients.
BACKGROUND
From March 2019 to April 2020, we used a modified technique of closing the port site in 67 patients and the traditional method in 51 patients undergoing multiport thoracoscopic surgery due to lung disease or mediastinal disease. We recorded patients' age, gender, body mass index, surgical method, postoperative drainage time, and postoperative complications.The NRS pain scale was used to score the pain in each patient on the day of extubation.The PSAS and the OSAS were used for the assessment of scars one month after surgery.
METHODS
In the modified technique group, only one patient (1.49%) had pleural effusion leakage, compared with five patients (9.80%) in the traditional method group (P < 0.05). There were no significant differences in the pain of extubating and wound dehiscence between the two groups. However,the incidence rates of wound dehiscence in the modified technique group were lower than in the traditional method group. There were no post-removal pneumothorax and wound infection in either of the groups. Significant differences in the PSAS and OSAS were observed between the groups,where the modified technique group was superior to the traditional method group.
RESULTS
The modified technique of port site closure is a leak-proof method of fixation of the chest tube after multiport thoracoscopic surgery. Moreover, it is effective and preserves the esthetic appearance of the skin.
CONCLUSIONS
[ "Chest Tubes", "Humans", "Lung Neoplasms", "Pneumonectomy", "Sutures", "Thoracic Surgery, Video-Assisted" ]
8086077
Background
There are different approaches to video-assisted thoracoscopic surgery, such as multiport and uniport approaches. Since Gonzales first reported uniport thoracoscopy for a lobectomy in 2011 [1], different operative procedures [2, 3] and techniques for fixation of postoperative drainage tubes [4, 5] have attracted attention. Nevertheless, in multiport thoracoscopic surgery, there have been no substantial improvements in the esthetic management of the port site or in the optimal means of assuring an adequate watertight fixation of the chest tube to prevent leakage of fluid or air around the postoperative drainage tube. Here, we shared our experience using a new method of thoracoscopy port site closure that improves both the esthetic appearance of thoracoscopy port site and the fixation and function of the postoperative chest tube.
null
null
Results
The clinical characteristics of the patients are shown in Table 1. There were no significant differences in clinical features between the two groups (P > 0.05). The chest tubes were removed 2–13 days after the thoracoscopic procedure. Table 2 shows a comparison of the postoperative complications between the two groups. There was a significant difference in the rate of pleural effusion leakage between the two groups (P = 0.04). Specifically, the modified technique group was superior to the traditional method group(1.49 % vs. 9.80 %). Two (3.92 %) of the patients in the traditional method group had wound dehiscence, while there was no wound dehiscence in the modified technique group (P = 0.10). There were no post-removal pneumothorax and wound infection in either of the groups. No significant difference in the pain of extubating was observed between the two groups (P = 0.49), which shows that the pain was tolerable for patients and that our new approach did not entail additional pain. There were significant inter-group differences in the PSAS (P = 0.002) and OSAS (P = 0.001), the modified technique group was superior to the traditional method group for both scores. We used the modified technique (Fig. 3a, b and c) in 67 patients, and most of the patients were satisfied with the healing of their thoracoscopic incision. Table 1Clinical characteristics of patientsCharacteristicsModified technique group (n = 67) n (%)Traditional method group (n = 51) n (%)F/χ 2 valueP valueAge,years0.210.64 Mean ± SD57.27 ± 12.7356.96 ± 11.75 Range16–7720–79Gender1.660.19 Male41 (61.2)37 (72.5) Female26 (38.8)14 (27.5)BMI,kg/m22.840.09 Mean ± SD1.72 ± 0.151.78 ± 0.12 Range1.38–1.991.52–2.04Surgical method2.210.33 Segmentecomy4 (6.0)7 (13.7) Lobectomy56 (83.6)38 (74.5) Mediastinal mass resection7 (10.4)6 (11.8) Postoperative drainage time,days0.910.34 Mean ± SD5.10 ± 2.375.43 ± 2.55 Range2–132–12Table 2Comparison of postoperative complications between two groupsPostoperative complicationsModified technique group (n = 67) n(%)Traditional method group (n = 51) n (%) X 2/F valueP valuePleural effusion leakage1 (1.49)5 (9.80)4.150.04Post-removal pneumothorax00−−Wound infection00−−Wound dehiscence02 (3.92)2.670.10NRSMean ± SD2.12 ± 1.451.78 ± 1.150.480.49PSAS Mean ± SD6.88 ± 2.107.92 ± 2.8310.010.002OSAS Mean ± SD5.76 ± 1.746.80 ± 2.7111.620.001Fig. 3Closing the port site after operation using the shingled suture technique. a Day of operation. b 3 days after the operation. c 12 days after the operation Clinical characteristics of patients Comparison of postoperative complications between two groups Closing the port site after operation using the shingled suture technique. a Day of operation. b 3 days after the operation. c 12 days after the operation
Conclusions
In summary, the modified technique of port site closure is a leak-proof method of fixation of the chest tube after multiport thoracoscopic surgery, which provides good effects with esthetic appearance of the skin.
[ "Background", "Methods", "Patients", "Surgical technique", "Statistical analysis" ]
[ "There are different approaches to video-assisted thoracoscopic surgery, such as multiport and uniport approaches. Since Gonzales first reported uniport thoracoscopy for a lobectomy in 2011 [1], different operative procedures [2, 3] and techniques for fixation of postoperative drainage tubes [4, 5] have attracted attention. Nevertheless, in multiport thoracoscopic surgery, there have been no substantial improvements in the esthetic management of the port site or in the optimal means of assuring an adequate watertight fixation of the chest tube to prevent leakage of fluid or air around the postoperative drainage tube. Here, we shared our experience using a new method of thoracoscopy port site closure that improves both the esthetic appearance of thoracoscopy port site and the fixation and function of the postoperative chest tube.", "Patients We retrospectively analyzed patients with lung disease or mediastinal disease who had undergone multiport thoracoscopic surgery in the Binzhou Medical University Hospital between March 2019 and April 2020. A total of 67 patients received a modified technique of closing the port site using the shingled suture technique (the modified technique group) by the team of Haitao Xu. A total of 51 patients received the traditional method of fixation of the chest tube using two nonabsorbable sutures to close the skin on each side of the drainage tube (the traditional method group) by another team. We recorded patients’ age, gender, body mass index (BMI), surgical method, postoperative drainage time, and postoperative complications. Postoperative complications included pleural effusion leakage, post-removal pneumothorax, wound infection, and wound dehiscence. The Numeric rating scale [6] (NRS) pain scale was used to score the pain in each patient on the day of extubation. The Patient Scar Assessment Scale [7] (PSAS) and the Observer Scar Assessment Scale [7] (OSAS) were used for the assessment of scars one month after surgery. This study was approved by the Ethics Committee of the Binzhou Medical University Hospital.\nWe retrospectively analyzed patients with lung disease or mediastinal disease who had undergone multiport thoracoscopic surgery in the Binzhou Medical University Hospital between March 2019 and April 2020. A total of 67 patients received a modified technique of closing the port site using the shingled suture technique (the modified technique group) by the team of Haitao Xu. A total of 51 patients received the traditional method of fixation of the chest tube using two nonabsorbable sutures to close the skin on each side of the drainage tube (the traditional method group) by another team. We recorded patients’ age, gender, body mass index (BMI), surgical method, postoperative drainage time, and postoperative complications. Postoperative complications included pleural effusion leakage, post-removal pneumothorax, wound infection, and wound dehiscence. The Numeric rating scale [6] (NRS) pain scale was used to score the pain in each patient on the day of extubation. The Patient Scar Assessment Scale [7] (PSAS) and the Observer Scar Assessment Scale [7] (OSAS) were used for the assessment of scars one month after surgery. This study was approved by the Ethics Committee of the Binzhou Medical University Hospital.\nSurgical technique For multiport thoracoscopy, the thoracoscopic incision was about 15 mm long and was made in the seventh or eighth intercostal space at the mid-axillary line. A 12 mm Trocar (Ethicon, Somerville, NJ, US) was used to establish a path for the thoracoscopy camera. A second working port site incision (30 mm) was made in the fourth or fifth intercostal space at the anterior axillary line, and a third working port site incision (20 mm) was made in the eighth intercostal space at the scapular line. After finishing the intrathoracic aspect of the operation, a chest tube was inserted through the smallest incision for postoperative evacuation of any accumulated intrathoracic fluid and decompression of any air leak. For our technique, we divided the thoracoscopy port site incision where the chest tube is to exit into three zones: TC was the region located in the center of the site of the drainage tube, while TL and TR were the regions to be closed located at both sides of the chest tube.\nBefore inserting the chest tube, two separate 2-0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used to approximate the deep muscle layers with their investing fascia, one on each side (the midpoints of TL and TR); however, after the sutures were placed, they were not tied at this point, but the ends were exteriorized out the incision to be tied later. After the chest tube was inserted, the sutures were tied to approximate the muscle layer (Fig. 1a). Because the port site opening was narrow, this approach facilitated placing the sutures for optimal closure of the muscle layer without the chest tube interfering with the placement of the sutures, which ensured a tight closure of this deep space.\nFig. 1a Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin\na Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin\nNext, four separate 1 -0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used for intermittent suture of the subcutaneous adipose tissue at 1/4 and 3/4 of the distance between TL and TR to ensure an eventual tight closure of the subcutaneous tissue of the port site around the exiting chest tube (Fig. 1b).\nNext, two separate 1-0 silk braided nonabsorbable sutures (Ethicon, Somerville, NJ, US) were sewn into subcutaneous tissues near the chest tube, one on each side, and tied about 3–5 cm above the skin around the chest tube to fix the chest tube securely. Again, these sutures for tube fixation were not tied in the subcutaneous tissues. Finally, a 3-0 unidirectional, barbed, absorbable suture (Angiotech, Aguadilla, Puerto Rico) was used for a continuous intradermal suture closure of the port site skin. The suture went around one side of the chest tube with the 1-0 silk braided sutures positioned between the chest tube and the intradermal suture. Several centimeters of the ends of the intradermal suture were left outside the incision at one end, and the end of the suture was pulled to tighten the intradermal wound closure (Figs. 1c and 2a). These intradermal sutures did not need to be removed and would be resorbed over the following few weeks. This approach led to a more scarless result.\nFig. 2a Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique\na Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique\nWhen the time was right to remove the chest tube, the incision was disinfected, and the two separate 1-0 silk braided sutures used for fixing the drainage tube were cut at the points of their fixation to the chest tube and removed from the subcutaneous tissues. Then, multiple layers of sterile gauze were used to cover the site of the drainage tube, patients were instructed to inhale deeply and to hold breath, and while applying pressure on the sterile gauze, the chest tube was removed rapidly. Next, the end of the unidirectional barbed suture was tightened to close the skin incision, and the suture was cut near the end of the incision (Fig. 2b).We call this approach a “shingled suture technique” (Fig. 2c).\nFor multiport thoracoscopy, the thoracoscopic incision was about 15 mm long and was made in the seventh or eighth intercostal space at the mid-axillary line. A 12 mm Trocar (Ethicon, Somerville, NJ, US) was used to establish a path for the thoracoscopy camera. A second working port site incision (30 mm) was made in the fourth or fifth intercostal space at the anterior axillary line, and a third working port site incision (20 mm) was made in the eighth intercostal space at the scapular line. After finishing the intrathoracic aspect of the operation, a chest tube was inserted through the smallest incision for postoperative evacuation of any accumulated intrathoracic fluid and decompression of any air leak. For our technique, we divided the thoracoscopy port site incision where the chest tube is to exit into three zones: TC was the region located in the center of the site of the drainage tube, while TL and TR were the regions to be closed located at both sides of the chest tube.\nBefore inserting the chest tube, two separate 2-0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used to approximate the deep muscle layers with their investing fascia, one on each side (the midpoints of TL and TR); however, after the sutures were placed, they were not tied at this point, but the ends were exteriorized out the incision to be tied later. After the chest tube was inserted, the sutures were tied to approximate the muscle layer (Fig. 1a). Because the port site opening was narrow, this approach facilitated placing the sutures for optimal closure of the muscle layer without the chest tube interfering with the placement of the sutures, which ensured a tight closure of this deep space.\nFig. 1a Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin\na Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin\nNext, four separate 1 -0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used for intermittent suture of the subcutaneous adipose tissue at 1/4 and 3/4 of the distance between TL and TR to ensure an eventual tight closure of the subcutaneous tissue of the port site around the exiting chest tube (Fig. 1b).\nNext, two separate 1-0 silk braided nonabsorbable sutures (Ethicon, Somerville, NJ, US) were sewn into subcutaneous tissues near the chest tube, one on each side, and tied about 3–5 cm above the skin around the chest tube to fix the chest tube securely. Again, these sutures for tube fixation were not tied in the subcutaneous tissues. Finally, a 3-0 unidirectional, barbed, absorbable suture (Angiotech, Aguadilla, Puerto Rico) was used for a continuous intradermal suture closure of the port site skin. The suture went around one side of the chest tube with the 1-0 silk braided sutures positioned between the chest tube and the intradermal suture. Several centimeters of the ends of the intradermal suture were left outside the incision at one end, and the end of the suture was pulled to tighten the intradermal wound closure (Figs. 1c and 2a). These intradermal sutures did not need to be removed and would be resorbed over the following few weeks. This approach led to a more scarless result.\nFig. 2a Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique\na Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique\nWhen the time was right to remove the chest tube, the incision was disinfected, and the two separate 1-0 silk braided sutures used for fixing the drainage tube were cut at the points of their fixation to the chest tube and removed from the subcutaneous tissues. Then, multiple layers of sterile gauze were used to cover the site of the drainage tube, patients were instructed to inhale deeply and to hold breath, and while applying pressure on the sterile gauze, the chest tube was removed rapidly. Next, the end of the unidirectional barbed suture was tightened to close the skin incision, and the suture was cut near the end of the incision (Fig. 2b).We call this approach a “shingled suture technique” (Fig. 2c).\nStatistical analysis SPSS 22.0 statistical software was used for data analysis.The measurement data were analyzed by independent sample t-test and expressed in the form of mean ± standard deviation. The counting data were compared by the chi-square test or Fisher’s test. A value of P < 0.05 was considered statistically significant.\nSPSS 22.0 statistical software was used for data analysis.The measurement data were analyzed by independent sample t-test and expressed in the form of mean ± standard deviation. The counting data were compared by the chi-square test or Fisher’s test. A value of P < 0.05 was considered statistically significant.", "We retrospectively analyzed patients with lung disease or mediastinal disease who had undergone multiport thoracoscopic surgery in the Binzhou Medical University Hospital between March 2019 and April 2020. A total of 67 patients received a modified technique of closing the port site using the shingled suture technique (the modified technique group) by the team of Haitao Xu. A total of 51 patients received the traditional method of fixation of the chest tube using two nonabsorbable sutures to close the skin on each side of the drainage tube (the traditional method group) by another team. We recorded patients’ age, gender, body mass index (BMI), surgical method, postoperative drainage time, and postoperative complications. Postoperative complications included pleural effusion leakage, post-removal pneumothorax, wound infection, and wound dehiscence. The Numeric rating scale [6] (NRS) pain scale was used to score the pain in each patient on the day of extubation. The Patient Scar Assessment Scale [7] (PSAS) and the Observer Scar Assessment Scale [7] (OSAS) were used for the assessment of scars one month after surgery. This study was approved by the Ethics Committee of the Binzhou Medical University Hospital.", "For multiport thoracoscopy, the thoracoscopic incision was about 15 mm long and was made in the seventh or eighth intercostal space at the mid-axillary line. A 12 mm Trocar (Ethicon, Somerville, NJ, US) was used to establish a path for the thoracoscopy camera. A second working port site incision (30 mm) was made in the fourth or fifth intercostal space at the anterior axillary line, and a third working port site incision (20 mm) was made in the eighth intercostal space at the scapular line. After finishing the intrathoracic aspect of the operation, a chest tube was inserted through the smallest incision for postoperative evacuation of any accumulated intrathoracic fluid and decompression of any air leak. For our technique, we divided the thoracoscopy port site incision where the chest tube is to exit into three zones: TC was the region located in the center of the site of the drainage tube, while TL and TR were the regions to be closed located at both sides of the chest tube.\nBefore inserting the chest tube, two separate 2-0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used to approximate the deep muscle layers with their investing fascia, one on each side (the midpoints of TL and TR); however, after the sutures were placed, they were not tied at this point, but the ends were exteriorized out the incision to be tied later. After the chest tube was inserted, the sutures were tied to approximate the muscle layer (Fig. 1a). Because the port site opening was narrow, this approach facilitated placing the sutures for optimal closure of the muscle layer without the chest tube interfering with the placement of the sutures, which ensured a tight closure of this deep space.\nFig. 1a Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin\na Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin\nNext, four separate 1 -0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used for intermittent suture of the subcutaneous adipose tissue at 1/4 and 3/4 of the distance between TL and TR to ensure an eventual tight closure of the subcutaneous tissue of the port site around the exiting chest tube (Fig. 1b).\nNext, two separate 1-0 silk braided nonabsorbable sutures (Ethicon, Somerville, NJ, US) were sewn into subcutaneous tissues near the chest tube, one on each side, and tied about 3–5 cm above the skin around the chest tube to fix the chest tube securely. Again, these sutures for tube fixation were not tied in the subcutaneous tissues. Finally, a 3-0 unidirectional, barbed, absorbable suture (Angiotech, Aguadilla, Puerto Rico) was used for a continuous intradermal suture closure of the port site skin. The suture went around one side of the chest tube with the 1-0 silk braided sutures positioned between the chest tube and the intradermal suture. Several centimeters of the ends of the intradermal suture were left outside the incision at one end, and the end of the suture was pulled to tighten the intradermal wound closure (Figs. 1c and 2a). These intradermal sutures did not need to be removed and would be resorbed over the following few weeks. This approach led to a more scarless result.\nFig. 2a Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique\na Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique\nWhen the time was right to remove the chest tube, the incision was disinfected, and the two separate 1-0 silk braided sutures used for fixing the drainage tube were cut at the points of their fixation to the chest tube and removed from the subcutaneous tissues. Then, multiple layers of sterile gauze were used to cover the site of the drainage tube, patients were instructed to inhale deeply and to hold breath, and while applying pressure on the sterile gauze, the chest tube was removed rapidly. Next, the end of the unidirectional barbed suture was tightened to close the skin incision, and the suture was cut near the end of the incision (Fig. 2b).We call this approach a “shingled suture technique” (Fig. 2c).", "SPSS 22.0 statistical software was used for data analysis.The measurement data were analyzed by independent sample t-test and expressed in the form of mean ± standard deviation. The counting data were compared by the chi-square test or Fisher’s test. A value of P < 0.05 was considered statistically significant." ]
[ null, null, null, null, null ]
[ "Background", "Methods", "Patients", "Surgical technique", "Statistical analysis", "Results", "Discussion", "Conclusions" ]
[ "There are different approaches to video-assisted thoracoscopic surgery, such as multiport and uniport approaches. Since Gonzales first reported uniport thoracoscopy for a lobectomy in 2011 [1], different operative procedures [2, 3] and techniques for fixation of postoperative drainage tubes [4, 5] have attracted attention. Nevertheless, in multiport thoracoscopic surgery, there have been no substantial improvements in the esthetic management of the port site or in the optimal means of assuring an adequate watertight fixation of the chest tube to prevent leakage of fluid or air around the postoperative drainage tube. Here, we shared our experience using a new method of thoracoscopy port site closure that improves both the esthetic appearance of thoracoscopy port site and the fixation and function of the postoperative chest tube.", "Patients We retrospectively analyzed patients with lung disease or mediastinal disease who had undergone multiport thoracoscopic surgery in the Binzhou Medical University Hospital between March 2019 and April 2020. A total of 67 patients received a modified technique of closing the port site using the shingled suture technique (the modified technique group) by the team of Haitao Xu. A total of 51 patients received the traditional method of fixation of the chest tube using two nonabsorbable sutures to close the skin on each side of the drainage tube (the traditional method group) by another team. We recorded patients’ age, gender, body mass index (BMI), surgical method, postoperative drainage time, and postoperative complications. Postoperative complications included pleural effusion leakage, post-removal pneumothorax, wound infection, and wound dehiscence. The Numeric rating scale [6] (NRS) pain scale was used to score the pain in each patient on the day of extubation. The Patient Scar Assessment Scale [7] (PSAS) and the Observer Scar Assessment Scale [7] (OSAS) were used for the assessment of scars one month after surgery. This study was approved by the Ethics Committee of the Binzhou Medical University Hospital.\nWe retrospectively analyzed patients with lung disease or mediastinal disease who had undergone multiport thoracoscopic surgery in the Binzhou Medical University Hospital between March 2019 and April 2020. A total of 67 patients received a modified technique of closing the port site using the shingled suture technique (the modified technique group) by the team of Haitao Xu. A total of 51 patients received the traditional method of fixation of the chest tube using two nonabsorbable sutures to close the skin on each side of the drainage tube (the traditional method group) by another team. We recorded patients’ age, gender, body mass index (BMI), surgical method, postoperative drainage time, and postoperative complications. Postoperative complications included pleural effusion leakage, post-removal pneumothorax, wound infection, and wound dehiscence. The Numeric rating scale [6] (NRS) pain scale was used to score the pain in each patient on the day of extubation. The Patient Scar Assessment Scale [7] (PSAS) and the Observer Scar Assessment Scale [7] (OSAS) were used for the assessment of scars one month after surgery. This study was approved by the Ethics Committee of the Binzhou Medical University Hospital.\nSurgical technique For multiport thoracoscopy, the thoracoscopic incision was about 15 mm long and was made in the seventh or eighth intercostal space at the mid-axillary line. A 12 mm Trocar (Ethicon, Somerville, NJ, US) was used to establish a path for the thoracoscopy camera. A second working port site incision (30 mm) was made in the fourth or fifth intercostal space at the anterior axillary line, and a third working port site incision (20 mm) was made in the eighth intercostal space at the scapular line. After finishing the intrathoracic aspect of the operation, a chest tube was inserted through the smallest incision for postoperative evacuation of any accumulated intrathoracic fluid and decompression of any air leak. For our technique, we divided the thoracoscopy port site incision where the chest tube is to exit into three zones: TC was the region located in the center of the site of the drainage tube, while TL and TR were the regions to be closed located at both sides of the chest tube.\nBefore inserting the chest tube, two separate 2-0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used to approximate the deep muscle layers with their investing fascia, one on each side (the midpoints of TL and TR); however, after the sutures were placed, they were not tied at this point, but the ends were exteriorized out the incision to be tied later. After the chest tube was inserted, the sutures were tied to approximate the muscle layer (Fig. 1a). Because the port site opening was narrow, this approach facilitated placing the sutures for optimal closure of the muscle layer without the chest tube interfering with the placement of the sutures, which ensured a tight closure of this deep space.\nFig. 1a Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin\na Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin\nNext, four separate 1 -0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used for intermittent suture of the subcutaneous adipose tissue at 1/4 and 3/4 of the distance between TL and TR to ensure an eventual tight closure of the subcutaneous tissue of the port site around the exiting chest tube (Fig. 1b).\nNext, two separate 1-0 silk braided nonabsorbable sutures (Ethicon, Somerville, NJ, US) were sewn into subcutaneous tissues near the chest tube, one on each side, and tied about 3–5 cm above the skin around the chest tube to fix the chest tube securely. Again, these sutures for tube fixation were not tied in the subcutaneous tissues. Finally, a 3-0 unidirectional, barbed, absorbable suture (Angiotech, Aguadilla, Puerto Rico) was used for a continuous intradermal suture closure of the port site skin. The suture went around one side of the chest tube with the 1-0 silk braided sutures positioned between the chest tube and the intradermal suture. Several centimeters of the ends of the intradermal suture were left outside the incision at one end, and the end of the suture was pulled to tighten the intradermal wound closure (Figs. 1c and 2a). These intradermal sutures did not need to be removed and would be resorbed over the following few weeks. This approach led to a more scarless result.\nFig. 2a Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique\na Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique\nWhen the time was right to remove the chest tube, the incision was disinfected, and the two separate 1-0 silk braided sutures used for fixing the drainage tube were cut at the points of their fixation to the chest tube and removed from the subcutaneous tissues. Then, multiple layers of sterile gauze were used to cover the site of the drainage tube, patients were instructed to inhale deeply and to hold breath, and while applying pressure on the sterile gauze, the chest tube was removed rapidly. Next, the end of the unidirectional barbed suture was tightened to close the skin incision, and the suture was cut near the end of the incision (Fig. 2b).We call this approach a “shingled suture technique” (Fig. 2c).\nFor multiport thoracoscopy, the thoracoscopic incision was about 15 mm long and was made in the seventh or eighth intercostal space at the mid-axillary line. A 12 mm Trocar (Ethicon, Somerville, NJ, US) was used to establish a path for the thoracoscopy camera. A second working port site incision (30 mm) was made in the fourth or fifth intercostal space at the anterior axillary line, and a third working port site incision (20 mm) was made in the eighth intercostal space at the scapular line. After finishing the intrathoracic aspect of the operation, a chest tube was inserted through the smallest incision for postoperative evacuation of any accumulated intrathoracic fluid and decompression of any air leak. For our technique, we divided the thoracoscopy port site incision where the chest tube is to exit into three zones: TC was the region located in the center of the site of the drainage tube, while TL and TR were the regions to be closed located at both sides of the chest tube.\nBefore inserting the chest tube, two separate 2-0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used to approximate the deep muscle layers with their investing fascia, one on each side (the midpoints of TL and TR); however, after the sutures were placed, they were not tied at this point, but the ends were exteriorized out the incision to be tied later. After the chest tube was inserted, the sutures were tied to approximate the muscle layer (Fig. 1a). Because the port site opening was narrow, this approach facilitated placing the sutures for optimal closure of the muscle layer without the chest tube interfering with the placement of the sutures, which ensured a tight closure of this deep space.\nFig. 1a Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin\na Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin\nNext, four separate 1 -0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used for intermittent suture of the subcutaneous adipose tissue at 1/4 and 3/4 of the distance between TL and TR to ensure an eventual tight closure of the subcutaneous tissue of the port site around the exiting chest tube (Fig. 1b).\nNext, two separate 1-0 silk braided nonabsorbable sutures (Ethicon, Somerville, NJ, US) were sewn into subcutaneous tissues near the chest tube, one on each side, and tied about 3–5 cm above the skin around the chest tube to fix the chest tube securely. Again, these sutures for tube fixation were not tied in the subcutaneous tissues. Finally, a 3-0 unidirectional, barbed, absorbable suture (Angiotech, Aguadilla, Puerto Rico) was used for a continuous intradermal suture closure of the port site skin. The suture went around one side of the chest tube with the 1-0 silk braided sutures positioned between the chest tube and the intradermal suture. Several centimeters of the ends of the intradermal suture were left outside the incision at one end, and the end of the suture was pulled to tighten the intradermal wound closure (Figs. 1c and 2a). These intradermal sutures did not need to be removed and would be resorbed over the following few weeks. This approach led to a more scarless result.\nFig. 2a Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique\na Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique\nWhen the time was right to remove the chest tube, the incision was disinfected, and the two separate 1-0 silk braided sutures used for fixing the drainage tube were cut at the points of their fixation to the chest tube and removed from the subcutaneous tissues. Then, multiple layers of sterile gauze were used to cover the site of the drainage tube, patients were instructed to inhale deeply and to hold breath, and while applying pressure on the sterile gauze, the chest tube was removed rapidly. Next, the end of the unidirectional barbed suture was tightened to close the skin incision, and the suture was cut near the end of the incision (Fig. 2b).We call this approach a “shingled suture technique” (Fig. 2c).\nStatistical analysis SPSS 22.0 statistical software was used for data analysis.The measurement data were analyzed by independent sample t-test and expressed in the form of mean ± standard deviation. The counting data were compared by the chi-square test or Fisher’s test. A value of P < 0.05 was considered statistically significant.\nSPSS 22.0 statistical software was used for data analysis.The measurement data were analyzed by independent sample t-test and expressed in the form of mean ± standard deviation. The counting data were compared by the chi-square test or Fisher’s test. A value of P < 0.05 was considered statistically significant.", "We retrospectively analyzed patients with lung disease or mediastinal disease who had undergone multiport thoracoscopic surgery in the Binzhou Medical University Hospital between March 2019 and April 2020. A total of 67 patients received a modified technique of closing the port site using the shingled suture technique (the modified technique group) by the team of Haitao Xu. A total of 51 patients received the traditional method of fixation of the chest tube using two nonabsorbable sutures to close the skin on each side of the drainage tube (the traditional method group) by another team. We recorded patients’ age, gender, body mass index (BMI), surgical method, postoperative drainage time, and postoperative complications. Postoperative complications included pleural effusion leakage, post-removal pneumothorax, wound infection, and wound dehiscence. The Numeric rating scale [6] (NRS) pain scale was used to score the pain in each patient on the day of extubation. The Patient Scar Assessment Scale [7] (PSAS) and the Observer Scar Assessment Scale [7] (OSAS) were used for the assessment of scars one month after surgery. This study was approved by the Ethics Committee of the Binzhou Medical University Hospital.", "For multiport thoracoscopy, the thoracoscopic incision was about 15 mm long and was made in the seventh or eighth intercostal space at the mid-axillary line. A 12 mm Trocar (Ethicon, Somerville, NJ, US) was used to establish a path for the thoracoscopy camera. A second working port site incision (30 mm) was made in the fourth or fifth intercostal space at the anterior axillary line, and a third working port site incision (20 mm) was made in the eighth intercostal space at the scapular line. After finishing the intrathoracic aspect of the operation, a chest tube was inserted through the smallest incision for postoperative evacuation of any accumulated intrathoracic fluid and decompression of any air leak. For our technique, we divided the thoracoscopy port site incision where the chest tube is to exit into three zones: TC was the region located in the center of the site of the drainage tube, while TL and TR were the regions to be closed located at both sides of the chest tube.\nBefore inserting the chest tube, two separate 2-0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used to approximate the deep muscle layers with their investing fascia, one on each side (the midpoints of TL and TR); however, after the sutures were placed, they were not tied at this point, but the ends were exteriorized out the incision to be tied later. After the chest tube was inserted, the sutures were tied to approximate the muscle layer (Fig. 1a). Because the port site opening was narrow, this approach facilitated placing the sutures for optimal closure of the muscle layer without the chest tube interfering with the placement of the sutures, which ensured a tight closure of this deep space.\nFig. 1a Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin\na Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin\nNext, four separate 1 -0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used for intermittent suture of the subcutaneous adipose tissue at 1/4 and 3/4 of the distance between TL and TR to ensure an eventual tight closure of the subcutaneous tissue of the port site around the exiting chest tube (Fig. 1b).\nNext, two separate 1-0 silk braided nonabsorbable sutures (Ethicon, Somerville, NJ, US) were sewn into subcutaneous tissues near the chest tube, one on each side, and tied about 3–5 cm above the skin around the chest tube to fix the chest tube securely. Again, these sutures for tube fixation were not tied in the subcutaneous tissues. Finally, a 3-0 unidirectional, barbed, absorbable suture (Angiotech, Aguadilla, Puerto Rico) was used for a continuous intradermal suture closure of the port site skin. The suture went around one side of the chest tube with the 1-0 silk braided sutures positioned between the chest tube and the intradermal suture. Several centimeters of the ends of the intradermal suture were left outside the incision at one end, and the end of the suture was pulled to tighten the intradermal wound closure (Figs. 1c and 2a). These intradermal sutures did not need to be removed and would be resorbed over the following few weeks. This approach led to a more scarless result.\nFig. 2a Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique\na Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique\nWhen the time was right to remove the chest tube, the incision was disinfected, and the two separate 1-0 silk braided sutures used for fixing the drainage tube were cut at the points of their fixation to the chest tube and removed from the subcutaneous tissues. Then, multiple layers of sterile gauze were used to cover the site of the drainage tube, patients were instructed to inhale deeply and to hold breath, and while applying pressure on the sterile gauze, the chest tube was removed rapidly. Next, the end of the unidirectional barbed suture was tightened to close the skin incision, and the suture was cut near the end of the incision (Fig. 2b).We call this approach a “shingled suture technique” (Fig. 2c).", "SPSS 22.0 statistical software was used for data analysis.The measurement data were analyzed by independent sample t-test and expressed in the form of mean ± standard deviation. The counting data were compared by the chi-square test or Fisher’s test. A value of P < 0.05 was considered statistically significant.", "The clinical characteristics of the patients are shown in Table 1. There were no significant differences in clinical features between the two groups (P > 0.05). The chest tubes were removed 2–13 days after the thoracoscopic procedure. Table 2 shows a comparison of the postoperative complications between the two groups. There was a significant difference in the rate of pleural effusion leakage between the two groups (P = 0.04). Specifically, the modified technique group was superior to the traditional method group(1.49 % vs. 9.80 %). Two (3.92 %) of the patients in the traditional method group had wound dehiscence, while there was no wound dehiscence in the modified technique group (P = 0.10). There were no post-removal pneumothorax and wound infection in either of the groups. No significant difference in the pain of extubating was observed between the two groups (P = 0.49), which shows that the pain was tolerable for patients and that our new approach did not entail additional pain. There were significant inter-group differences in the PSAS (P = 0.002) and OSAS (P = 0.001), the modified technique group was superior to the traditional method group for both scores. We used the modified technique (Fig. 3a, b and c) in 67 patients, and most of the patients were satisfied with the healing of their thoracoscopic incision.\nTable 1Clinical characteristics of patientsCharacteristicsModified technique group (n = 67) n (%)Traditional method group (n = 51) n (%)F/χ\n2 valueP valueAge,years0.210.64 Mean ± SD57.27 ± 12.7356.96 ± 11.75 Range16–7720–79Gender1.660.19 Male41 (61.2)37 (72.5) Female26 (38.8)14 (27.5)BMI,kg/m22.840.09 Mean ± SD1.72 ± 0.151.78 ± 0.12 Range1.38–1.991.52–2.04Surgical method2.210.33 Segmentecomy4 (6.0)7 (13.7) Lobectomy56 (83.6)38 (74.5) Mediastinal mass resection7 (10.4)6 (11.8) Postoperative drainage time,days0.910.34 Mean ± SD5.10 ± 2.375.43 ± 2.55 Range2–132–12Table 2Comparison of postoperative complications between two groupsPostoperative complicationsModified technique group (n = 67) n(%)Traditional method group (n = 51) n (%) X\n2/F valueP valuePleural effusion leakage1 (1.49)5 (9.80)4.150.04Post-removal pneumothorax00−−Wound infection00−−Wound dehiscence02 (3.92)2.670.10NRSMean ± SD2.12 ± 1.451.78 ± 1.150.480.49PSAS Mean ± SD6.88 ± 2.107.92 ± 2.8310.010.002OSAS Mean ± SD5.76 ± 1.746.80 ± 2.7111.620.001Fig. 3Closing the port site after operation using the shingled suture technique. a Day of operation. b 3 days after the operation. c 12 days after the operation\nClinical characteristics of patients\nComparison of postoperative complications between two groups\nClosing the port site after operation using the shingled suture technique. a Day of operation. b 3 days after the operation. c 12 days after the operation", "Video-assisted thoracoscopic surgery has recently gained attention as an alternative surgical option for conventional open surgery because of its advantages in reducing postoperative pain and chest wall paresthesia and its association with better outcomes  [8, 9].\nIn multiport thoracoscopic surgery, most surgeons in our centre or country use the traditional method of fixation of the chest tube with at least two nonabsorbable sutures to close the skin on each side of the drainage tube, or with three sutures, where the last one is left without a knot, which is used for the closure of the port site after extubation. The purpose of the latter technique is to close the port site to prevent postoperative leakage of fluid or air. However,even then, drainage of fluid or air leaking around the tube often occurs, making the drainage site difficult to manage and tending to affect the ultimate esthetics of the incision site (Fig. 4). The patients’ point of view of the cosmetic appearance is also important, considering that the extent of scarring affects their self-assessment of the treatment outcome [10, 11].\nFig. 4Traditional method, post-removal chest tube\nTraditional method, post-removal chest tube\nUsing our modified technique, the site of the deep of the muscle layer and the closure of the adipose layers overlap. In addition, the use of the unidirectional intradermal barbed suture [12, 13] allows us to suture the skin closure tightly around the chest tube at the end of the operation. Due to similarity to shingling the roof, we named this a shingled suture. This technique decreases extravasation of fluid and air leakage around the chest tube. In addition, at the time of removal of the chest tube, the unidirectional aspect of the barbed intradermal suture allows us to further tighten and close the defect in the port site left after the removal of the chest tube to increase the esthetics of the site without the need to remove the absorbable intradermal suture.\nThe modified technique requires conducting three different steps, which takes about 6–8 min, while the traditional method only requires intermittent suture, which takes about 2–3 min. Although the modified technique is more time-consuming compared with the traditional method, it is superior in terms of drain-related complications and cosmetic outcomes. Moreover, the modified technique does not entail additional pain. Since this is a retrospective study, we acknowledge that it has some limitations, including the retrospective design, lack of consideration of factors affecting wound healing, and recording of the time duration for each suture. In this study, we analysis and comparison with existing data suggested that our modified technique is safe and effective with a good cosmetic outcome. However, there is still limited clinical experience with the modified method, and further studies are warranted.\nThis technique of port site closure minimized leakage of fluid around the drainage tube and also led to excellent results in terms of the esthetics of the port site wound.This suture is removal-free,which can also decrease doctors’ work burden and improve patients’ medical experience.", "In summary, the modified technique of port site closure is a leak-proof method of fixation of the chest tube after multiport thoracoscopic surgery, which provides good effects with esthetic appearance of the skin." ]
[ null, null, null, null, null, "results", "discussion", "conclusion" ]
[ "Multiport", "Video‐assisted thoracoscopic surgery", "Chest tube", "Suture" ]
Background: There are different approaches to video-assisted thoracoscopic surgery, such as multiport and uniport approaches. Since Gonzales first reported uniport thoracoscopy for a lobectomy in 2011 [1], different operative procedures [2, 3] and techniques for fixation of postoperative drainage tubes [4, 5] have attracted attention. Nevertheless, in multiport thoracoscopic surgery, there have been no substantial improvements in the esthetic management of the port site or in the optimal means of assuring an adequate watertight fixation of the chest tube to prevent leakage of fluid or air around the postoperative drainage tube. Here, we shared our experience using a new method of thoracoscopy port site closure that improves both the esthetic appearance of thoracoscopy port site and the fixation and function of the postoperative chest tube. Methods: Patients We retrospectively analyzed patients with lung disease or mediastinal disease who had undergone multiport thoracoscopic surgery in the Binzhou Medical University Hospital between March 2019 and April 2020. A total of 67 patients received a modified technique of closing the port site using the shingled suture technique (the modified technique group) by the team of Haitao Xu. A total of 51 patients received the traditional method of fixation of the chest tube using two nonabsorbable sutures to close the skin on each side of the drainage tube (the traditional method group) by another team. We recorded patients’ age, gender, body mass index (BMI), surgical method, postoperative drainage time, and postoperative complications. Postoperative complications included pleural effusion leakage, post-removal pneumothorax, wound infection, and wound dehiscence. The Numeric rating scale [6] (NRS) pain scale was used to score the pain in each patient on the day of extubation. The Patient Scar Assessment Scale [7] (PSAS) and the Observer Scar Assessment Scale [7] (OSAS) were used for the assessment of scars one month after surgery. This study was approved by the Ethics Committee of the Binzhou Medical University Hospital. We retrospectively analyzed patients with lung disease or mediastinal disease who had undergone multiport thoracoscopic surgery in the Binzhou Medical University Hospital between March 2019 and April 2020. A total of 67 patients received a modified technique of closing the port site using the shingled suture technique (the modified technique group) by the team of Haitao Xu. A total of 51 patients received the traditional method of fixation of the chest tube using two nonabsorbable sutures to close the skin on each side of the drainage tube (the traditional method group) by another team. We recorded patients’ age, gender, body mass index (BMI), surgical method, postoperative drainage time, and postoperative complications. Postoperative complications included pleural effusion leakage, post-removal pneumothorax, wound infection, and wound dehiscence. The Numeric rating scale [6] (NRS) pain scale was used to score the pain in each patient on the day of extubation. The Patient Scar Assessment Scale [7] (PSAS) and the Observer Scar Assessment Scale [7] (OSAS) were used for the assessment of scars one month after surgery. This study was approved by the Ethics Committee of the Binzhou Medical University Hospital. Surgical technique For multiport thoracoscopy, the thoracoscopic incision was about 15 mm long and was made in the seventh or eighth intercostal space at the mid-axillary line. A 12 mm Trocar (Ethicon, Somerville, NJ, US) was used to establish a path for the thoracoscopy camera. A second working port site incision (30 mm) was made in the fourth or fifth intercostal space at the anterior axillary line, and a third working port site incision (20 mm) was made in the eighth intercostal space at the scapular line. After finishing the intrathoracic aspect of the operation, a chest tube was inserted through the smallest incision for postoperative evacuation of any accumulated intrathoracic fluid and decompression of any air leak. For our technique, we divided the thoracoscopy port site incision where the chest tube is to exit into three zones: TC was the region located in the center of the site of the drainage tube, while TL and TR were the regions to be closed located at both sides of the chest tube. Before inserting the chest tube, two separate 2-0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used to approximate the deep muscle layers with their investing fascia, one on each side (the midpoints of TL and TR); however, after the sutures were placed, they were not tied at this point, but the ends were exteriorized out the incision to be tied later. After the chest tube was inserted, the sutures were tied to approximate the muscle layer (Fig. 1a). Because the port site opening was narrow, this approach facilitated placing the sutures for optimal closure of the muscle layer without the chest tube interfering with the placement of the sutures, which ensured a tight closure of this deep space. Fig. 1a Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin a Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin Next, four separate 1 -0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used for intermittent suture of the subcutaneous adipose tissue at 1/4 and 3/4 of the distance between TL and TR to ensure an eventual tight closure of the subcutaneous tissue of the port site around the exiting chest tube (Fig. 1b). Next, two separate 1-0 silk braided nonabsorbable sutures (Ethicon, Somerville, NJ, US) were sewn into subcutaneous tissues near the chest tube, one on each side, and tied about 3–5 cm above the skin around the chest tube to fix the chest tube securely. Again, these sutures for tube fixation were not tied in the subcutaneous tissues. Finally, a 3-0 unidirectional, barbed, absorbable suture (Angiotech, Aguadilla, Puerto Rico) was used for a continuous intradermal suture closure of the port site skin. The suture went around one side of the chest tube with the 1-0 silk braided sutures positioned between the chest tube and the intradermal suture. Several centimeters of the ends of the intradermal suture were left outside the incision at one end, and the end of the suture was pulled to tighten the intradermal wound closure (Figs. 1c and 2a). These intradermal sutures did not need to be removed and would be resorbed over the following few weeks. This approach led to a more scarless result. Fig. 2a Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique a Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique When the time was right to remove the chest tube, the incision was disinfected, and the two separate 1-0 silk braided sutures used for fixing the drainage tube were cut at the points of their fixation to the chest tube and removed from the subcutaneous tissues. Then, multiple layers of sterile gauze were used to cover the site of the drainage tube, patients were instructed to inhale deeply and to hold breath, and while applying pressure on the sterile gauze, the chest tube was removed rapidly. Next, the end of the unidirectional barbed suture was tightened to close the skin incision, and the suture was cut near the end of the incision (Fig. 2b).We call this approach a “shingled suture technique” (Fig. 2c). For multiport thoracoscopy, the thoracoscopic incision was about 15 mm long and was made in the seventh or eighth intercostal space at the mid-axillary line. A 12 mm Trocar (Ethicon, Somerville, NJ, US) was used to establish a path for the thoracoscopy camera. A second working port site incision (30 mm) was made in the fourth or fifth intercostal space at the anterior axillary line, and a third working port site incision (20 mm) was made in the eighth intercostal space at the scapular line. After finishing the intrathoracic aspect of the operation, a chest tube was inserted through the smallest incision for postoperative evacuation of any accumulated intrathoracic fluid and decompression of any air leak. For our technique, we divided the thoracoscopy port site incision where the chest tube is to exit into three zones: TC was the region located in the center of the site of the drainage tube, while TL and TR were the regions to be closed located at both sides of the chest tube. Before inserting the chest tube, two separate 2-0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used to approximate the deep muscle layers with their investing fascia, one on each side (the midpoints of TL and TR); however, after the sutures were placed, they were not tied at this point, but the ends were exteriorized out the incision to be tied later. After the chest tube was inserted, the sutures were tied to approximate the muscle layer (Fig. 1a). Because the port site opening was narrow, this approach facilitated placing the sutures for optimal closure of the muscle layer without the chest tube interfering with the placement of the sutures, which ensured a tight closure of this deep space. Fig. 1a Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin a Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin Next, four separate 1 -0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used for intermittent suture of the subcutaneous adipose tissue at 1/4 and 3/4 of the distance between TL and TR to ensure an eventual tight closure of the subcutaneous tissue of the port site around the exiting chest tube (Fig. 1b). Next, two separate 1-0 silk braided nonabsorbable sutures (Ethicon, Somerville, NJ, US) were sewn into subcutaneous tissues near the chest tube, one on each side, and tied about 3–5 cm above the skin around the chest tube to fix the chest tube securely. Again, these sutures for tube fixation were not tied in the subcutaneous tissues. Finally, a 3-0 unidirectional, barbed, absorbable suture (Angiotech, Aguadilla, Puerto Rico) was used for a continuous intradermal suture closure of the port site skin. The suture went around one side of the chest tube with the 1-0 silk braided sutures positioned between the chest tube and the intradermal suture. Several centimeters of the ends of the intradermal suture were left outside the incision at one end, and the end of the suture was pulled to tighten the intradermal wound closure (Figs. 1c and 2a). These intradermal sutures did not need to be removed and would be resorbed over the following few weeks. This approach led to a more scarless result. Fig. 2a Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique a Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique When the time was right to remove the chest tube, the incision was disinfected, and the two separate 1-0 silk braided sutures used for fixing the drainage tube were cut at the points of their fixation to the chest tube and removed from the subcutaneous tissues. Then, multiple layers of sterile gauze were used to cover the site of the drainage tube, patients were instructed to inhale deeply and to hold breath, and while applying pressure on the sterile gauze, the chest tube was removed rapidly. Next, the end of the unidirectional barbed suture was tightened to close the skin incision, and the suture was cut near the end of the incision (Fig. 2b).We call this approach a “shingled suture technique” (Fig. 2c). Statistical analysis SPSS 22.0 statistical software was used for data analysis.The measurement data were analyzed by independent sample t-test and expressed in the form of mean ± standard deviation. The counting data were compared by the chi-square test or Fisher’s test. A value of P < 0.05 was considered statistically significant. SPSS 22.0 statistical software was used for data analysis.The measurement data were analyzed by independent sample t-test and expressed in the form of mean ± standard deviation. The counting data were compared by the chi-square test or Fisher’s test. A value of P < 0.05 was considered statistically significant. Patients: We retrospectively analyzed patients with lung disease or mediastinal disease who had undergone multiport thoracoscopic surgery in the Binzhou Medical University Hospital between March 2019 and April 2020. A total of 67 patients received a modified technique of closing the port site using the shingled suture technique (the modified technique group) by the team of Haitao Xu. A total of 51 patients received the traditional method of fixation of the chest tube using two nonabsorbable sutures to close the skin on each side of the drainage tube (the traditional method group) by another team. We recorded patients’ age, gender, body mass index (BMI), surgical method, postoperative drainage time, and postoperative complications. Postoperative complications included pleural effusion leakage, post-removal pneumothorax, wound infection, and wound dehiscence. The Numeric rating scale [6] (NRS) pain scale was used to score the pain in each patient on the day of extubation. The Patient Scar Assessment Scale [7] (PSAS) and the Observer Scar Assessment Scale [7] (OSAS) were used for the assessment of scars one month after surgery. This study was approved by the Ethics Committee of the Binzhou Medical University Hospital. Surgical technique: For multiport thoracoscopy, the thoracoscopic incision was about 15 mm long and was made in the seventh or eighth intercostal space at the mid-axillary line. A 12 mm Trocar (Ethicon, Somerville, NJ, US) was used to establish a path for the thoracoscopy camera. A second working port site incision (30 mm) was made in the fourth or fifth intercostal space at the anterior axillary line, and a third working port site incision (20 mm) was made in the eighth intercostal space at the scapular line. After finishing the intrathoracic aspect of the operation, a chest tube was inserted through the smallest incision for postoperative evacuation of any accumulated intrathoracic fluid and decompression of any air leak. For our technique, we divided the thoracoscopy port site incision where the chest tube is to exit into three zones: TC was the region located in the center of the site of the drainage tube, while TL and TR were the regions to be closed located at both sides of the chest tube. Before inserting the chest tube, two separate 2-0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used to approximate the deep muscle layers with their investing fascia, one on each side (the midpoints of TL and TR); however, after the sutures were placed, they were not tied at this point, but the ends were exteriorized out the incision to be tied later. After the chest tube was inserted, the sutures were tied to approximate the muscle layer (Fig. 1a). Because the port site opening was narrow, this approach facilitated placing the sutures for optimal closure of the muscle layer without the chest tube interfering with the placement of the sutures, which ensured a tight closure of this deep space. Fig. 1a Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin a Intermittent suture of the deep muscles of the port site. b Intermittent suture of the subcutaneous adipose tissue of the port site. c Removal-free, absorbable, continuous intradermal suture of the skin Next, four separate 1 -0 Vicryl sutures (Ethicon, Somerville, NJ, US) were used for intermittent suture of the subcutaneous adipose tissue at 1/4 and 3/4 of the distance between TL and TR to ensure an eventual tight closure of the subcutaneous tissue of the port site around the exiting chest tube (Fig. 1b). Next, two separate 1-0 silk braided nonabsorbable sutures (Ethicon, Somerville, NJ, US) were sewn into subcutaneous tissues near the chest tube, one on each side, and tied about 3–5 cm above the skin around the chest tube to fix the chest tube securely. Again, these sutures for tube fixation were not tied in the subcutaneous tissues. Finally, a 3-0 unidirectional, barbed, absorbable suture (Angiotech, Aguadilla, Puerto Rico) was used for a continuous intradermal suture closure of the port site skin. The suture went around one side of the chest tube with the 1-0 silk braided sutures positioned between the chest tube and the intradermal suture. Several centimeters of the ends of the intradermal suture were left outside the incision at one end, and the end of the suture was pulled to tighten the intradermal wound closure (Figs. 1c and 2a). These intradermal sutures did not need to be removed and would be resorbed over the following few weeks. This approach led to a more scarless result. Fig. 2a Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique a Fixation of the chest tube and skin closure. b Removal of the chest tube. c Shingled suture technique When the time was right to remove the chest tube, the incision was disinfected, and the two separate 1-0 silk braided sutures used for fixing the drainage tube were cut at the points of their fixation to the chest tube and removed from the subcutaneous tissues. Then, multiple layers of sterile gauze were used to cover the site of the drainage tube, patients were instructed to inhale deeply and to hold breath, and while applying pressure on the sterile gauze, the chest tube was removed rapidly. Next, the end of the unidirectional barbed suture was tightened to close the skin incision, and the suture was cut near the end of the incision (Fig. 2b).We call this approach a “shingled suture technique” (Fig. 2c). Statistical analysis: SPSS 22.0 statistical software was used for data analysis.The measurement data were analyzed by independent sample t-test and expressed in the form of mean ± standard deviation. The counting data were compared by the chi-square test or Fisher’s test. A value of P < 0.05 was considered statistically significant. Results: The clinical characteristics of the patients are shown in Table 1. There were no significant differences in clinical features between the two groups (P > 0.05). The chest tubes were removed 2–13 days after the thoracoscopic procedure. Table 2 shows a comparison of the postoperative complications between the two groups. There was a significant difference in the rate of pleural effusion leakage between the two groups (P = 0.04). Specifically, the modified technique group was superior to the traditional method group(1.49 % vs. 9.80 %). Two (3.92 %) of the patients in the traditional method group had wound dehiscence, while there was no wound dehiscence in the modified technique group (P = 0.10). There were no post-removal pneumothorax and wound infection in either of the groups. No significant difference in the pain of extubating was observed between the two groups (P = 0.49), which shows that the pain was tolerable for patients and that our new approach did not entail additional pain. There were significant inter-group differences in the PSAS (P = 0.002) and OSAS (P = 0.001), the modified technique group was superior to the traditional method group for both scores. We used the modified technique (Fig. 3a, b and c) in 67 patients, and most of the patients were satisfied with the healing of their thoracoscopic incision. Table 1Clinical characteristics of patientsCharacteristicsModified technique group (n = 67) n (%)Traditional method group (n = 51) n (%)F/χ 2 valueP valueAge,years0.210.64 Mean ± SD57.27 ± 12.7356.96 ± 11.75 Range16–7720–79Gender1.660.19 Male41 (61.2)37 (72.5) Female26 (38.8)14 (27.5)BMI,kg/m22.840.09 Mean ± SD1.72 ± 0.151.78 ± 0.12 Range1.38–1.991.52–2.04Surgical method2.210.33 Segmentecomy4 (6.0)7 (13.7) Lobectomy56 (83.6)38 (74.5) Mediastinal mass resection7 (10.4)6 (11.8) Postoperative drainage time,days0.910.34 Mean ± SD5.10 ± 2.375.43 ± 2.55 Range2–132–12Table 2Comparison of postoperative complications between two groupsPostoperative complicationsModified technique group (n = 67) n(%)Traditional method group (n = 51) n (%) X 2/F valueP valuePleural effusion leakage1 (1.49)5 (9.80)4.150.04Post-removal pneumothorax00−−Wound infection00−−Wound dehiscence02 (3.92)2.670.10NRSMean ± SD2.12 ± 1.451.78 ± 1.150.480.49PSAS Mean ± SD6.88 ± 2.107.92 ± 2.8310.010.002OSAS Mean ± SD5.76 ± 1.746.80 ± 2.7111.620.001Fig. 3Closing the port site after operation using the shingled suture technique. a Day of operation. b 3 days after the operation. c 12 days after the operation Clinical characteristics of patients Comparison of postoperative complications between two groups Closing the port site after operation using the shingled suture technique. a Day of operation. b 3 days after the operation. c 12 days after the operation Discussion: Video-assisted thoracoscopic surgery has recently gained attention as an alternative surgical option for conventional open surgery because of its advantages in reducing postoperative pain and chest wall paresthesia and its association with better outcomes  [8, 9]. In multiport thoracoscopic surgery, most surgeons in our centre or country use the traditional method of fixation of the chest tube with at least two nonabsorbable sutures to close the skin on each side of the drainage tube, or with three sutures, where the last one is left without a knot, which is used for the closure of the port site after extubation. The purpose of the latter technique is to close the port site to prevent postoperative leakage of fluid or air. However,even then, drainage of fluid or air leaking around the tube often occurs, making the drainage site difficult to manage and tending to affect the ultimate esthetics of the incision site (Fig. 4). The patients’ point of view of the cosmetic appearance is also important, considering that the extent of scarring affects their self-assessment of the treatment outcome [10, 11]. Fig. 4Traditional method, post-removal chest tube Traditional method, post-removal chest tube Using our modified technique, the site of the deep of the muscle layer and the closure of the adipose layers overlap. In addition, the use of the unidirectional intradermal barbed suture [12, 13] allows us to suture the skin closure tightly around the chest tube at the end of the operation. Due to similarity to shingling the roof, we named this a shingled suture. This technique decreases extravasation of fluid and air leakage around the chest tube. In addition, at the time of removal of the chest tube, the unidirectional aspect of the barbed intradermal suture allows us to further tighten and close the defect in the port site left after the removal of the chest tube to increase the esthetics of the site without the need to remove the absorbable intradermal suture. The modified technique requires conducting three different steps, which takes about 6–8 min, while the traditional method only requires intermittent suture, which takes about 2–3 min. Although the modified technique is more time-consuming compared with the traditional method, it is superior in terms of drain-related complications and cosmetic outcomes. Moreover, the modified technique does not entail additional pain. Since this is a retrospective study, we acknowledge that it has some limitations, including the retrospective design, lack of consideration of factors affecting wound healing, and recording of the time duration for each suture. In this study, we analysis and comparison with existing data suggested that our modified technique is safe and effective with a good cosmetic outcome. However, there is still limited clinical experience with the modified method, and further studies are warranted. This technique of port site closure minimized leakage of fluid around the drainage tube and also led to excellent results in terms of the esthetics of the port site wound.This suture is removal-free,which can also decrease doctors’ work burden and improve patients’ medical experience. Conclusions: In summary, the modified technique of port site closure is a leak-proof method of fixation of the chest tube after multiport thoracoscopic surgery, which provides good effects with esthetic appearance of the skin.
Background: Due to improvements in operative techniques and medical equipment, video-assisted thoracoscopic surgery has become a mainstay of thoracic surgery. Nevertheless, in multiport thoracoscopic surgery, there have been no substantial advances related to the improvement of the esthetics of the site of the chest tube kept for postoperative drainage of intrathoracic fluid and decompression of air leak after thoracoscopic surgery. Leakage of fluid and air around the site of the chest tube can be extremely bothersome to patients. Methods: From March 2019 to April 2020, we used a modified technique of closing the port site in 67 patients and the traditional method in 51 patients undergoing multiport thoracoscopic surgery due to lung disease or mediastinal disease. We recorded patients' age, gender, body mass index, surgical method, postoperative drainage time, and postoperative complications.The NRS pain scale was used to score the pain in each patient on the day of extubation.The PSAS and the OSAS were used for the assessment of scars one month after surgery. Results: In the modified technique group, only one patient (1.49%) had pleural effusion leakage, compared with five patients (9.80%) in the traditional method group (P < 0.05). There were no significant differences in the pain of extubating and wound dehiscence between the two groups. However,the incidence rates of wound dehiscence in the modified technique group were lower than in the traditional method group. There were no post-removal pneumothorax and wound infection in either of the groups. Significant differences in the PSAS and OSAS were observed between the groups,where the modified technique group was superior to the traditional method group. Conclusions: The modified technique of port site closure is a leak-proof method of fixation of the chest tube after multiport thoracoscopic surgery. Moreover, it is effective and preserves the esthetic appearance of the skin.
Background: There are different approaches to video-assisted thoracoscopic surgery, such as multiport and uniport approaches. Since Gonzales first reported uniport thoracoscopy for a lobectomy in 2011 [1], different operative procedures [2, 3] and techniques for fixation of postoperative drainage tubes [4, 5] have attracted attention. Nevertheless, in multiport thoracoscopic surgery, there have been no substantial improvements in the esthetic management of the port site or in the optimal means of assuring an adequate watertight fixation of the chest tube to prevent leakage of fluid or air around the postoperative drainage tube. Here, we shared our experience using a new method of thoracoscopy port site closure that improves both the esthetic appearance of thoracoscopy port site and the fixation and function of the postoperative chest tube. Conclusions: In summary, the modified technique of port site closure is a leak-proof method of fixation of the chest tube after multiport thoracoscopic surgery, which provides good effects with esthetic appearance of the skin.
Background: Due to improvements in operative techniques and medical equipment, video-assisted thoracoscopic surgery has become a mainstay of thoracic surgery. Nevertheless, in multiport thoracoscopic surgery, there have been no substantial advances related to the improvement of the esthetics of the site of the chest tube kept for postoperative drainage of intrathoracic fluid and decompression of air leak after thoracoscopic surgery. Leakage of fluid and air around the site of the chest tube can be extremely bothersome to patients. Methods: From March 2019 to April 2020, we used a modified technique of closing the port site in 67 patients and the traditional method in 51 patients undergoing multiport thoracoscopic surgery due to lung disease or mediastinal disease. We recorded patients' age, gender, body mass index, surgical method, postoperative drainage time, and postoperative complications.The NRS pain scale was used to score the pain in each patient on the day of extubation.The PSAS and the OSAS were used for the assessment of scars one month after surgery. Results: In the modified technique group, only one patient (1.49%) had pleural effusion leakage, compared with five patients (9.80%) in the traditional method group (P < 0.05). There were no significant differences in the pain of extubating and wound dehiscence between the two groups. However,the incidence rates of wound dehiscence in the modified technique group were lower than in the traditional method group. There were no post-removal pneumothorax and wound infection in either of the groups. Significant differences in the PSAS and OSAS were observed between the groups,where the modified technique group was superior to the traditional method group. Conclusions: The modified technique of port site closure is a leak-proof method of fixation of the chest tube after multiport thoracoscopic surgery. Moreover, it is effective and preserves the esthetic appearance of the skin.
4,905
357
[ 143, 2348, 223, 883, 63 ]
8
[ "tube", "chest", "chest tube", "suture", "site", "port", "port site", "technique", "sutures", "incision" ]
[ "thoracoscopic surgery recently", "appearance thoracoscopy port", "assisted thoracoscopic surgery", "technique multiport thoracoscopy", "outcomes multiport thoracoscopic" ]
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[CONTENT] Multiport | Video‐assisted thoracoscopic surgery | Chest tube | Suture [SUMMARY]
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[CONTENT] Multiport | Video‐assisted thoracoscopic surgery | Chest tube | Suture [SUMMARY]
[CONTENT] Multiport | Video‐assisted thoracoscopic surgery | Chest tube | Suture [SUMMARY]
[CONTENT] Multiport | Video‐assisted thoracoscopic surgery | Chest tube | Suture [SUMMARY]
[CONTENT] Multiport | Video‐assisted thoracoscopic surgery | Chest tube | Suture [SUMMARY]
[CONTENT] Chest Tubes | Humans | Lung Neoplasms | Pneumonectomy | Sutures | Thoracic Surgery, Video-Assisted [SUMMARY]
null
[CONTENT] Chest Tubes | Humans | Lung Neoplasms | Pneumonectomy | Sutures | Thoracic Surgery, Video-Assisted [SUMMARY]
[CONTENT] Chest Tubes | Humans | Lung Neoplasms | Pneumonectomy | Sutures | Thoracic Surgery, Video-Assisted [SUMMARY]
[CONTENT] Chest Tubes | Humans | Lung Neoplasms | Pneumonectomy | Sutures | Thoracic Surgery, Video-Assisted [SUMMARY]
[CONTENT] Chest Tubes | Humans | Lung Neoplasms | Pneumonectomy | Sutures | Thoracic Surgery, Video-Assisted [SUMMARY]
[CONTENT] thoracoscopic surgery recently | appearance thoracoscopy port | assisted thoracoscopic surgery | technique multiport thoracoscopy | outcomes multiport thoracoscopic [SUMMARY]
null
[CONTENT] thoracoscopic surgery recently | appearance thoracoscopy port | assisted thoracoscopic surgery | technique multiport thoracoscopy | outcomes multiport thoracoscopic [SUMMARY]
[CONTENT] thoracoscopic surgery recently | appearance thoracoscopy port | assisted thoracoscopic surgery | technique multiport thoracoscopy | outcomes multiport thoracoscopic [SUMMARY]
[CONTENT] thoracoscopic surgery recently | appearance thoracoscopy port | assisted thoracoscopic surgery | technique multiport thoracoscopy | outcomes multiport thoracoscopic [SUMMARY]
[CONTENT] thoracoscopic surgery recently | appearance thoracoscopy port | assisted thoracoscopic surgery | technique multiport thoracoscopy | outcomes multiport thoracoscopic [SUMMARY]
[CONTENT] tube | chest | chest tube | suture | site | port | port site | technique | sutures | incision [SUMMARY]
null
[CONTENT] tube | chest | chest tube | suture | site | port | port site | technique | sutures | incision [SUMMARY]
[CONTENT] tube | chest | chest tube | suture | site | port | port site | technique | sutures | incision [SUMMARY]
[CONTENT] tube | chest | chest tube | suture | site | port | port site | technique | sutures | incision [SUMMARY]
[CONTENT] tube | chest | chest tube | suture | site | port | port site | technique | sutures | incision [SUMMARY]
[CONTENT] thoracoscopy | uniport | approaches | different | esthetic | tube | fixation | postoperative | thoracoscopy port site | thoracoscopy port [SUMMARY]
null
[CONTENT] group | groups | operation | days | days operation | technique | technique group | traditional method group | method group | mean [SUMMARY]
[CONTENT] effects esthetic | fixation chest tube multiport | closure leak | closure leak proof | closure leak proof method | thoracoscopic surgery provides good | thoracoscopic surgery provides | tube multiport thoracoscopic | tube multiport | multiport thoracoscopic surgery provides [SUMMARY]
[CONTENT] tube | chest tube | suture | chest | site | technique | port site | port | sutures | method [SUMMARY]
[CONTENT] tube | chest tube | suture | chest | site | technique | port site | port | sutures | method [SUMMARY]
[CONTENT] ||| intrathoracic fluid ||| [SUMMARY]
null
[CONTENT] only one | 1.49% | five | 9.80% | 0.05 ||| two ||| ||| ||| PSAS | OSAS [SUMMARY]
[CONTENT] ||| [SUMMARY]
[CONTENT] ||| intrathoracic fluid ||| ||| March 2019 to April 2020 | 67 | 51 ||| ||| NRS | the day ||| PSAS | OSAS | one month ||| ||| only one | 1.49% | five | 9.80% | 0.05 ||| two ||| ||| ||| PSAS | OSAS ||| ||| [SUMMARY]
[CONTENT] ||| intrathoracic fluid ||| ||| March 2019 to April 2020 | 67 | 51 ||| ||| NRS | the day ||| PSAS | OSAS | one month ||| ||| only one | 1.49% | five | 9.80% | 0.05 ||| two ||| ||| ||| PSAS | OSAS ||| ||| [SUMMARY]
Cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo: a systematic review and metanalysis.
35226651
A few cohort studies of the NATO peacekeepers in the Bosnia and Kosovo war reported inconclusive results on cancer risk. A systematic review and metanalysis of such studies might help to resolve the interpretative limitations.
BACKGROUND
Relevant publications were retrieved through a PubMed search and from the list of references of the selected reports. Five epidemiological studies, one each from Denmark, Italy, the Netherlands, Norway, and Sweden, satisfied the selection criteria. Random and fixed effect estimators were calculated. Heterogeneity across studies was formally tested for all cancer outcomes.
METHODS
Incidence of all cancers was below the expectation, as was the case for lung cancer and cancer at most other organs. The incidence of Hodgkin's lymphoma exceeded expectation in the first years after deployment in the Italian cohort but not in the subsequent years of follow-up. The risk of colorectal cancer and bone cancer was increased in the Danish cohort, and so was the risk of leukaemia in the Swedish cohort. Bladder cancer cases were non significantly more than expected in the three Scandinavian studies. The Cochrane's Q-test was indicative of significant heterogeneity across studies for total cancer, colorectal cancer, melanoma, and leukaemia. The meta-estimate of risk of bladder cancer was increased two-fold (fixed effect summary [FES] = 2.16 (95% CI 1.35 - 2.97), based on three studies.
RESULTS
Exposure to depleted uranium, metals, and ultrafine particles has been claimed as responsible for the cancer cases observed among peacekeepers. None of these would account for the excess of bladder cancer. The hypothesis of viral epidemics around the deployment area of the Italian military as contributing to the temporary excess of Hodgkin's Lymphoma cases would be worth exploring.
DISCUSSION
[ "Bosnia and Herzegovina", "Humans", "Incidence", "Kosovo", "Military Personnel", "Neoplasms" ]
8902746
Introduction
The twentieth anniversary of the publication of the “Preliminary Report of the Ministry of Defence Commission on the incidence of malignant neoplasms among the military deployed in Bosnia and Kosovo” on 19 March 2001 [1] has passed in complete silence. The current pandemic might have obscured the event in sharp contrast with the broad coverage in the national and international media, from the year 2000 onwards, that focussed mainly on the cases of lymphatic cancer among the NATO peacekeeping military forces deployed in the Balkans. A parallel with the Gulf war syndrome pointed at the never documented exposure to depleted uranium (DU) from the ammunition used in the NATO bombing as responsible for the excess. Veterans who developed cancers and the families of those who succumbed submitted numerous applications for compensation, claiming that the exposure to a wide range of plausible and implausible factors was the cause of their diseases. Most claims pointed at the use of DU ammunition by the NATO forces in Bosnia, and Kosovo. However, in the worst-case scenario [2], the effective dose of absorbed radiation might have reached around 0.15 mSv, 15% of the effective dose limit in one year for the general population [3] and between 1-7.5% of the absorbed dose during a CT scan, depending on the site and the type of exam [4]. Besides, the environmental monitoring program conducted by the United Nation Environmental Program (UNEP) in 11 Bosniak sites, seven years after the end of the Balkan war, did not detect significant contamination of the soil, water, foodstuffs, crops, and vegetables [5, 6]. However, the search was restricted to a few spots, due to unexploded land mines [7]. Also, the average urinary total uranium in Italian, German, and Canadian veterans deployed in Bosnia and Kosovo, was comparable to the respective general population [1, 8, 9], and the ratios between 235U, 236U, and 238U isotopes were similar to that of natural uranium [8, 9]. Therefore, the unproven exposure to DU would be an unlikely explanation for the excess incidence of bladder cancer, thyroid cancer, and Hodgkin lymphoma among the NATO peacekeeping forces reported by individual studies. Once the evidence ruled out the DU hypothesis, exposure to nanoparticles and metals took the stage. However, the few studies conducted so far in military settings have shown a rapid dilution of nanoparticle concentration up to 400 metres in the wind direction from the source of emission [10], and deaths did not exceed the expectation in a small military cohort with potential exposure to nanoparticles [11]. Inhaling fine and ultrafine a-emitting DU particles might be a plausible risk factor for cancer at the site of contact (the lung) and deposit (bone and kidney), but not those most frequently claimed as associated. Post-deployment biomonitoring of metallic elements showed concentrations always within the reference values for the general population [12, 13]. Although various scientific commissions concluded that the environmental health consequences of using DU ammunition were negligible, the NATO Command of Military Medicine Services (COMEDS) recommended conducting epidemiological investigations on the long-term health outcomes among the military who participated in the peacekeeping operations [1]. The Commission of the Italian Ministry of Defence acknowledged that the yet unproven exposure of the Italian soldiers to DU had to be considered extremely low. However, it did not exclude a possible link with Hodgkin’s lymphoma [1], based on a positive association reported in a study of U.S. uranium refiners and smelters (4 observed cases vs 1.6 expected) [14], despite opposite findings of a metanalysis of similar studies [15]. Claims about the side effects of the vaccination protocols have also been raised. However, an Italian study did not find any association between vaccination and micronuclei frequency in lymphocytes of Italian troops deployed in Iraq [12], and a follow-up study of a small military cohort did not observe any effect of multiple vaccinations on the cause-specific mortality [11]. Thirty-four countries, 24 affiliated and 10 non-affiliated with NATO, intervened in Bosnia and Kosovo at different stages between 1989 and 2011 with a total of over 100,000 men and women. A few countries complied with the NATO COMEDS recommendations and conducted studies on cancer incidence or mortality among the respective peacekeeping cohorts in Kosovo e Bosnia. A systematic review and a meta-analysis of these studies were conducted to explore with adequate statistical power the observed associations with different cancer sites that emerged from the individual studies.
Methods
This systematic review followed the principles of the PRISMA Statement for Systematic Reviews and Meta-Analyses and the related check-list [16]. Search strategy A bibliographic search was conducted on PubMed (https://www.ncbi.nlm.nih.gov/pubmed/) up to 8 July 2021 with the following search string: “(Balkan war OR Bosnia OR Kosovo) AND (veterans OR military OR soldiers OR peacekeepers OR peacekeeping forces OR troops) AND (mortality OR incidence OR epidemiology OR cohort study)”. The list of references of each article detected through the automatic search was double-checked to identify further publications. Relevant studies were identified through the title, the abstract, and the text, in case of ambiguity. A bibliographic search was conducted on PubMed (https://www.ncbi.nlm.nih.gov/pubmed/) up to 8 July 2021 with the following search string: “(Balkan war OR Bosnia OR Kosovo) AND (veterans OR military OR soldiers OR peacekeepers OR peacekeeping forces OR troops) AND (mortality OR incidence OR epidemiology OR cohort study)”. The list of references of each article detected through the automatic search was double-checked to identify further publications. Relevant studies were identified through the title, the abstract, and the text, in case of ambiguity. Study selection and inclusion criteria The inclusion criteria for the studies contributing to this review were the following: cohort studies of NATO peacekeeping military forces, deployed in Bosnia and Kosovo during and/or in the aftermath of the Balkan conflict, with cancer incidence data, written in English or any European Language. Figure 1 describes the selection process. Overall, we retrieved nine cohort studies of cancer incidence among peacekeeping forces; after excluding the original report of the Commission of the Italian Ministry of Defence, two other Italian studies with methodological issues, and a further Italian cohort study with unidentifed site of the mission, five studies were retained for metanalysis. Three mortality studies, one each from Finland, Italy, and the United States, were excluded from further analysis as only the study conducted in Italy had results by specific cancer site. All the cohorts included a minority of women separately analyzed in a few studies; however, overall, a female cohort would have been too small for any useful inference to be drawn about gender-specific findings. The retained Italian study, by Grandolfo et al., was an update of the final report of the Commission of the Italian Ministry of Defence [1], which extended the follow-up for another seven months, up to 31 December 2001, and detected nine more incident cancer cases [2]. Both analyses reported the absolute numbers of all the incident cancer cases but presented standardized incidence rates and risk estimates only for cancer of the lymphatic organs, solid tumours combined, and all cancers. Grandolfo et al. did not provide the person-years count by age groups. However, the 1995-2001 incidence rates of 8 Italian Cancer Registries were available from the IARC CI5 website [17]. Besides, the age-specific number of cases and incidence rates of all cancers reported in the final report of the Commission of the Ministry of Defence allowed us to estimate the person-years up to December 2001. The expected events for each solid cancer occurring in the cohort were calculated by applying the incidence rates from the southern Italy Cancer Registries, specific by 5-year age group in the 20-59 years age range, gender and calendar-year to the respective person-years count. The choice of re-calculating the expected events in the Grandolfo et al. study using the incidence data from the Southern Italy Cancer registries as the reference was based on the fact that two-thirds of the Italian soldiers were from those regions, and because of the large differences in cancer incidence between North and South of Italy [18]. Table 1 shows selected features of the five cancer incidence studies, one each from Italy [2], the Netherlands [19], Sweden [20], Denmark [21], and Norway [22]. Flow diagram of the selection process for the studies retained in the meta-analysis Selected characteristics of the five cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo Notes: *The expected events in the Grandolfo et al. are calculated by applying the incidence rates of the southern Italy Cancer registries active in the respective years of follow-up Data abstracted from each study were the cohort size, the total person-years, year of starting and ending the follow-up, number of observed events for all cancers and for specific cancer sites, and the respective expected events from the age-and sex-specific rates of the reference population. While being aware that the healthy worker effect would be much more likely to occur among severely selected populations, such as the military, the expected from general population rates were selected first because all the studies calculated them, and secondly as the healthy worker effect would be less relevant for neoplastic diseases than respiratory or cardiovascular diseases [23]. Fixed and random effect meta-estimates, and heterogeneity have been calculated with Comprehensive Metanalysis® [24]. The inclusion criteria for the studies contributing to this review were the following: cohort studies of NATO peacekeeping military forces, deployed in Bosnia and Kosovo during and/or in the aftermath of the Balkan conflict, with cancer incidence data, written in English or any European Language. Figure 1 describes the selection process. Overall, we retrieved nine cohort studies of cancer incidence among peacekeeping forces; after excluding the original report of the Commission of the Italian Ministry of Defence, two other Italian studies with methodological issues, and a further Italian cohort study with unidentifed site of the mission, five studies were retained for metanalysis. Three mortality studies, one each from Finland, Italy, and the United States, were excluded from further analysis as only the study conducted in Italy had results by specific cancer site. All the cohorts included a minority of women separately analyzed in a few studies; however, overall, a female cohort would have been too small for any useful inference to be drawn about gender-specific findings. The retained Italian study, by Grandolfo et al., was an update of the final report of the Commission of the Italian Ministry of Defence [1], which extended the follow-up for another seven months, up to 31 December 2001, and detected nine more incident cancer cases [2]. Both analyses reported the absolute numbers of all the incident cancer cases but presented standardized incidence rates and risk estimates only for cancer of the lymphatic organs, solid tumours combined, and all cancers. Grandolfo et al. did not provide the person-years count by age groups. However, the 1995-2001 incidence rates of 8 Italian Cancer Registries were available from the IARC CI5 website [17]. Besides, the age-specific number of cases and incidence rates of all cancers reported in the final report of the Commission of the Ministry of Defence allowed us to estimate the person-years up to December 2001. The expected events for each solid cancer occurring in the cohort were calculated by applying the incidence rates from the southern Italy Cancer Registries, specific by 5-year age group in the 20-59 years age range, gender and calendar-year to the respective person-years count. The choice of re-calculating the expected events in the Grandolfo et al. study using the incidence data from the Southern Italy Cancer registries as the reference was based on the fact that two-thirds of the Italian soldiers were from those regions, and because of the large differences in cancer incidence between North and South of Italy [18]. Table 1 shows selected features of the five cancer incidence studies, one each from Italy [2], the Netherlands [19], Sweden [20], Denmark [21], and Norway [22]. Flow diagram of the selection process for the studies retained in the meta-analysis Selected characteristics of the five cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo Notes: *The expected events in the Grandolfo et al. are calculated by applying the incidence rates of the southern Italy Cancer registries active in the respective years of follow-up Data abstracted from each study were the cohort size, the total person-years, year of starting and ending the follow-up, number of observed events for all cancers and for specific cancer sites, and the respective expected events from the age-and sex-specific rates of the reference population. While being aware that the healthy worker effect would be much more likely to occur among severely selected populations, such as the military, the expected from general population rates were selected first because all the studies calculated them, and secondly as the healthy worker effect would be less relevant for neoplastic diseases than respiratory or cardiovascular diseases [23]. Fixed and random effect meta-estimates, and heterogeneity have been calculated with Comprehensive Metanalysis® [24].
Results
Overall, the selected studies covered 28-years of follow-up of 88 655 men and identified 470 incident cases. Table 2 shows further details. Most studies reported the average duration of the mission, but not its range. There was also some imprecision about the deployment area: in the Dutch study it was generically indicated as the Balkans, and 42% of the Danish cohort had been deployed in countries not hit by DU ammunition (Albania 1%, Croatia 38%, Macedonia 3%), and 2% in generic Balkan locations. Details of the five cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo Systematic review Table 3 summarises the results of the individual studies. The results of the Italian study updated by Grandolfo et al. showed a 2.3-fold excess of Hodgkin’s lymphoma (SIR = 2.26, 95% CI 1.31 –3.93), based on 12 observed cases against 5.3 expected [2]. The risk of NHL was not elevated (8 observed vs 7 expected cases; SIR = 1.14, 95% CI 0.57 – 2.29), and there were two cases of leukaemia vs 3.1 expected (SIR = 0.64, 95% CI 0.16 – 2.52). The other cancer cases were three thyroid tumours (5 expected), four cases of testicular cancer (11.1 expected), four colorectal cancer cases (4.6 expected), two brain cancers (4.3 expected), three cases of melanoma (2.8 expected), two cases of lung cancer (7.6 expected), and one of kidney cancer (2.2 expected). There were also one case each of cancer of the pharynx, larynx and stomach, of which only stomach cancer was represented in another study, the Denmark cohort study (2 observed vs 1.6 expected); therefore, the expected events were not estimated for these cancers. The overall 22 observed solid tumours were much less than the 64.7 expected estimated from the incidence data of the southern Italy Cancer Registries (SIR = 0.34, 95% CI 0.23 – 0.51), as it was the case for total cancers (SIR = 0.54, 95% CI 0.41 – 0.73). Results of the individual cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo The same Italian cohort was included in another three studies. Peragallo et al. took profit from the implementation of the Cancer Surveillance Program of the Army personnel, which was initiated in January 2001, to extend the follow-up to 31 December 2007 [25]. Their cohort included 58,413 troops who participated in at least one mission in Bosnia or Kosovo (a minimum of two months) from 1996-2007 [25], about 16,000 more than the cohort assembled by the Commission of the Ministry of Defence. In respect to the Grandolfo et al. update of the report by the Commission of the Italian Ministry of Defence, there were two main differences: 1) the excess risk of Hodgkin’s lymphoma vanished (20 observed cases vs 19.86 expected for the Bosnia and Kosovo subsohorts combined; SIR = 1.01, 95% CI 0.54 – 1.88). An analysis by year of diagnosis showed that these cases clustered in the year 2000 in Bosnia and 2001 in Kosovo, and subsequently declined; and 2) a significant excess of thyroid cancer (24 cases vs 15.42 expected SIR = 1.56, 95% CI 1.05 – 2.32) showed up, equally shared by the soldiers deployed in Bosnia and Kosovo. The figures for the rest of the cancer sites were also largely below the expectation, confirming the Grandolfo et al. observation. A major concern in the Peragallo study, acknowledged by the authors, was the likely incomplete retrieval of the incident cases, because of a substantial proportion of retirements among the soldiers deployed in the Balkans (24.9% up to 2003), who might have referred to the National Health System. Indeed, only the fraction of the retired who applied for compensation, assuming that exposures during the service had caused their disease, could be identified, which sheds uncertainty about the size of the lost incident cases. In a second paper [26], Peragallo et al. used a capture-recapture technique with two estimates of the incident cancer cases in 2001-2007 among the whole Italian military, whether deployed or not. The two methods yielded substantially different estimates of the total incident cases, ranging 571- 688 cases vs 371 detected through the Army Cancer Surveillance Program, corresponding to a loss between 35-46%. While it is conceivable that the loss of cases might have been greater among the non-deployed, there is no evidence that it was so. Besides, the denominator Peragallo et al. used to calculate the standardized incidence ratios was based on the number of soldiers deployed annually for the first time in Bosnia and in Kosovo, instead of the standard person-years count. About 42% of the cohort participated in multiple missions. Thirty-eight per cent of those first deployed in Kosovo and 41% of those first deployed in Bosnia were also deployed in the alternate intervention site during the subsequent missions. Whether these always counted once was not clarified. Still, these drawbacks would not explain the excess of thyroid cancer, which would stand as significant. Another paper was published more recently on the overall cases recorded by the Army Cancer Surveillance Program up to 2012 [27]. The authors compared two sub-cohorts, one including the never-deployed soldiers, and another including all those who participated in any mission anywhere in the world, with no possible identification of the deployment site. The results of this paper highlighted associations with the condition of deployment abroad, which, in most instances, were specific by corps subgroup. Also, the use of 90% confidence intervals instead of the traditional 95%, along with the large number of comparisons made and the small number of events for some specific cancer sites, doubled the area to reject the null hypothesis; such strategy might have generated a substantial number of spurious positive findings. As it concerns the rest of the studies (Table 3), the Dutch study did not detect an excess of incidence of all cancers and specifically of haemolymphatic cancer [19]. Among the Swedish military, there were 26 cases of cancer against 21.8 expected [20]. Eight cases were testicular cancer, twice the expected (SIR = 1.9, 95% CI 0.8 – 3.7), six of which occurred among the deployed in outdoor missions (6 observed vs 2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9). Cancer of the haemolymphatic organs were five against 3.5 expected (SIR = 1.4, 95% CI 0.5 – 3.3) and mainly occurred in indoor occupations. Other cancer sites were represented by more than one case: lung cancer (1 observed vs 0.8 expected), rectum cancer (2 vs 1.0 expected for colorectal cancer), bladder cancer (2 vs 0.7), melanoma (2 vs 2.2), brain cancer (3 vs 2.6), and leukaemia (2 vs 0.5) [20]. Among the Danish cohort, seven bladder cancer cases and four bone cancers were observed, more than twice and six-fold the expected (95% CI 0.9 – 4.5, and 1.6 – 15.3, respectively) [21]. However, three of the six cases of bone cancer were diagnosed within one year from deployment, which would exclude an association with exposure to x and ɣ radiation, the only risk factor for such cancer reported by IARC [28], at the mission site. No cases of bone cancer were observed in the other four studies. Haemolymphatic cancer cases were consistent with the expectation (11 observed vs 10.2 expected; SIR = 1.08, 95% CI 0.61 – 1.90), and there were three cases of Hodgkin’s lymphoma, corresponding exactly to the expectation (95% CI 0.2 – 2.9), and four cases of leukaemia (SIR = 1.4, 95% CI 0.4 – 3.5). Cases of testicular cancer were 24, close to the expectation from the Danish Cancer Registry data (SIR = 1.2, 95% CI 0.8 – 1.8). Other cancer sites represented by two or more cases included the the colon-rectum (9 vs 4.0, SIR = 2.25, 95% CI 1.19 – 4.25), the lung (2 observed vs 5 expected), the kidney (2 vs 1.8), melanoma (5 vs 7.1), the brain (9 vs 7.5), and the stomach (2 vs 1.6, nor shown in Table 3) [21]. In the Norwegian study, the incident cancer cases observed up to 2016 slightly exceeded the expectation (SIR = 1.11, 95% CI 0.93 – 1.31), as it was the case for melanoma (16 vs 11.7; SIR = 1.36, 95% CI 0.78 – 2.22) [22], which had shown a 90% excess (95% CI 0.95 – 3.40) in a previous report on the 1999-2011 follow-up results [28]. There was no excess of testicular cancer (25 cases observed vs 24.6 expected; SIR = 1.02, 95% CI 0.66 – 1.50), thyroid cancers (4 vs 2.5, SIR = 1.60, 95% CI 0.43 – 4.09), and haemolymphatic cancer (18 vs 16.1, SIR = 1.16, 95% CI 0.66 – 1.77), with 8 cases of leukaemia vs 6.4 expected, and 10 vs 9.7 cases of lymphoma, Hodgkin’s and non-Hodgkin combined. A list of other cancer sites with two cases or more included the following: oral cavity and pharynx (5 vs 3.1), oesophagus (2 vs 1.1), colon-rectum (6 vs 11.5), pancreas (4 vs 1.6), lung (5 vs 5.7), prostate (17 vs 14.9), kidney (3 vs 5.3), bladder (8 vs 4.1 expected), brain (8 vs 10.9), and soft tissue (2 vs 0.9) [22]. Table 3 summarises the results of the individual studies. The results of the Italian study updated by Grandolfo et al. showed a 2.3-fold excess of Hodgkin’s lymphoma (SIR = 2.26, 95% CI 1.31 –3.93), based on 12 observed cases against 5.3 expected [2]. The risk of NHL was not elevated (8 observed vs 7 expected cases; SIR = 1.14, 95% CI 0.57 – 2.29), and there were two cases of leukaemia vs 3.1 expected (SIR = 0.64, 95% CI 0.16 – 2.52). The other cancer cases were three thyroid tumours (5 expected), four cases of testicular cancer (11.1 expected), four colorectal cancer cases (4.6 expected), two brain cancers (4.3 expected), three cases of melanoma (2.8 expected), two cases of lung cancer (7.6 expected), and one of kidney cancer (2.2 expected). There were also one case each of cancer of the pharynx, larynx and stomach, of which only stomach cancer was represented in another study, the Denmark cohort study (2 observed vs 1.6 expected); therefore, the expected events were not estimated for these cancers. The overall 22 observed solid tumours were much less than the 64.7 expected estimated from the incidence data of the southern Italy Cancer Registries (SIR = 0.34, 95% CI 0.23 – 0.51), as it was the case for total cancers (SIR = 0.54, 95% CI 0.41 – 0.73). Results of the individual cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo The same Italian cohort was included in another three studies. Peragallo et al. took profit from the implementation of the Cancer Surveillance Program of the Army personnel, which was initiated in January 2001, to extend the follow-up to 31 December 2007 [25]. Their cohort included 58,413 troops who participated in at least one mission in Bosnia or Kosovo (a minimum of two months) from 1996-2007 [25], about 16,000 more than the cohort assembled by the Commission of the Ministry of Defence. In respect to the Grandolfo et al. update of the report by the Commission of the Italian Ministry of Defence, there were two main differences: 1) the excess risk of Hodgkin’s lymphoma vanished (20 observed cases vs 19.86 expected for the Bosnia and Kosovo subsohorts combined; SIR = 1.01, 95% CI 0.54 – 1.88). An analysis by year of diagnosis showed that these cases clustered in the year 2000 in Bosnia and 2001 in Kosovo, and subsequently declined; and 2) a significant excess of thyroid cancer (24 cases vs 15.42 expected SIR = 1.56, 95% CI 1.05 – 2.32) showed up, equally shared by the soldiers deployed in Bosnia and Kosovo. The figures for the rest of the cancer sites were also largely below the expectation, confirming the Grandolfo et al. observation. A major concern in the Peragallo study, acknowledged by the authors, was the likely incomplete retrieval of the incident cases, because of a substantial proportion of retirements among the soldiers deployed in the Balkans (24.9% up to 2003), who might have referred to the National Health System. Indeed, only the fraction of the retired who applied for compensation, assuming that exposures during the service had caused their disease, could be identified, which sheds uncertainty about the size of the lost incident cases. In a second paper [26], Peragallo et al. used a capture-recapture technique with two estimates of the incident cancer cases in 2001-2007 among the whole Italian military, whether deployed or not. The two methods yielded substantially different estimates of the total incident cases, ranging 571- 688 cases vs 371 detected through the Army Cancer Surveillance Program, corresponding to a loss between 35-46%. While it is conceivable that the loss of cases might have been greater among the non-deployed, there is no evidence that it was so. Besides, the denominator Peragallo et al. used to calculate the standardized incidence ratios was based on the number of soldiers deployed annually for the first time in Bosnia and in Kosovo, instead of the standard person-years count. About 42% of the cohort participated in multiple missions. Thirty-eight per cent of those first deployed in Kosovo and 41% of those first deployed in Bosnia were also deployed in the alternate intervention site during the subsequent missions. Whether these always counted once was not clarified. Still, these drawbacks would not explain the excess of thyroid cancer, which would stand as significant. Another paper was published more recently on the overall cases recorded by the Army Cancer Surveillance Program up to 2012 [27]. The authors compared two sub-cohorts, one including the never-deployed soldiers, and another including all those who participated in any mission anywhere in the world, with no possible identification of the deployment site. The results of this paper highlighted associations with the condition of deployment abroad, which, in most instances, were specific by corps subgroup. Also, the use of 90% confidence intervals instead of the traditional 95%, along with the large number of comparisons made and the small number of events for some specific cancer sites, doubled the area to reject the null hypothesis; such strategy might have generated a substantial number of spurious positive findings. As it concerns the rest of the studies (Table 3), the Dutch study did not detect an excess of incidence of all cancers and specifically of haemolymphatic cancer [19]. Among the Swedish military, there were 26 cases of cancer against 21.8 expected [20]. Eight cases were testicular cancer, twice the expected (SIR = 1.9, 95% CI 0.8 – 3.7), six of which occurred among the deployed in outdoor missions (6 observed vs 2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9). Cancer of the haemolymphatic organs were five against 3.5 expected (SIR = 1.4, 95% CI 0.5 – 3.3) and mainly occurred in indoor occupations. Other cancer sites were represented by more than one case: lung cancer (1 observed vs 0.8 expected), rectum cancer (2 vs 1.0 expected for colorectal cancer), bladder cancer (2 vs 0.7), melanoma (2 vs 2.2), brain cancer (3 vs 2.6), and leukaemia (2 vs 0.5) [20]. Among the Danish cohort, seven bladder cancer cases and four bone cancers were observed, more than twice and six-fold the expected (95% CI 0.9 – 4.5, and 1.6 – 15.3, respectively) [21]. However, three of the six cases of bone cancer were diagnosed within one year from deployment, which would exclude an association with exposure to x and ɣ radiation, the only risk factor for such cancer reported by IARC [28], at the mission site. No cases of bone cancer were observed in the other four studies. Haemolymphatic cancer cases were consistent with the expectation (11 observed vs 10.2 expected; SIR = 1.08, 95% CI 0.61 – 1.90), and there were three cases of Hodgkin’s lymphoma, corresponding exactly to the expectation (95% CI 0.2 – 2.9), and four cases of leukaemia (SIR = 1.4, 95% CI 0.4 – 3.5). Cases of testicular cancer were 24, close to the expectation from the Danish Cancer Registry data (SIR = 1.2, 95% CI 0.8 – 1.8). Other cancer sites represented by two or more cases included the the colon-rectum (9 vs 4.0, SIR = 2.25, 95% CI 1.19 – 4.25), the lung (2 observed vs 5 expected), the kidney (2 vs 1.8), melanoma (5 vs 7.1), the brain (9 vs 7.5), and the stomach (2 vs 1.6, nor shown in Table 3) [21]. In the Norwegian study, the incident cancer cases observed up to 2016 slightly exceeded the expectation (SIR = 1.11, 95% CI 0.93 – 1.31), as it was the case for melanoma (16 vs 11.7; SIR = 1.36, 95% CI 0.78 – 2.22) [22], which had shown a 90% excess (95% CI 0.95 – 3.40) in a previous report on the 1999-2011 follow-up results [28]. There was no excess of testicular cancer (25 cases observed vs 24.6 expected; SIR = 1.02, 95% CI 0.66 – 1.50), thyroid cancers (4 vs 2.5, SIR = 1.60, 95% CI 0.43 – 4.09), and haemolymphatic cancer (18 vs 16.1, SIR = 1.16, 95% CI 0.66 – 1.77), with 8 cases of leukaemia vs 6.4 expected, and 10 vs 9.7 cases of lymphoma, Hodgkin’s and non-Hodgkin combined. A list of other cancer sites with two cases or more included the following: oral cavity and pharynx (5 vs 3.1), oesophagus (2 vs 1.1), colon-rectum (6 vs 11.5), pancreas (4 vs 1.6), lung (5 vs 5.7), prostate (17 vs 14.9), kidney (3 vs 5.3), bladder (8 vs 4.1 expected), brain (8 vs 10.9), and soft tissue (2 vs 0.9) [22]. Metanalysis of cancer incidence Table 4 shows the results of the metanalysis of the follow-up studies of the peacekeeping cohorts deployed in Bosnia and Kosovo for all cancers, the most prevalent specific cancer sites, and all those showing an increase in risk in at least one study and occurring in at least three studies, namely colorectal cancer, lung cancer, skin melanoma, thyroid cancer, bladder cancer, kidney cancer, testicular cancer, brain cancer, all haemolymphatic cancers, all lymphomas combined, Hodgkin’s lymphoma, non-Hodgkin lymphoma, and leukaemia. Metanalysis of studies on cancer incidence among the peacekeeping forces deployed in Bosnia and Kosovo Note: FES= Fixed Effect Estimate; RES=Randon Effect Estimate The results of the Dutch study were only available for all cancers, lung cancer, all haemolymphatic cancer, and leukaemia [19]. Overall, the meta-estimates suggest a reduction in cancer incidence among the peacekeeping forces in Bosnia and Kosovo. Significant heterogeneity in risk of total cancers was detected, with more than 90% of the variance explained by heterogeneity, as well as for for colorectal cancer and melanoma, while the Q-value was elevated but not significant for testicular cancer, and leukaemia. A significant two-fold meta-estimate of bladder cancer risk was based on the three Scandinavian studies only. The Grandolfo et al. study did not observe any case of bladder cancer, while the expected were 5.3. Assuming 0.5 observed cases, the SIR was 0.10, with a lower 95% confidence interval of 0.01; the resulting Q-value became 25.17, highly suggestive of heterogeneity with the rest of the studies (p < 0.0001). Lack of an association and homogeneity across findings was observed for thyroid cancer, kidney cancer, brain cancer, cancer of the haemolymphatic system, and particularly Hodgkin and non-Hodgkin lymphoma. Trends by surrogates for exposure were explored using different strategies. The Norwegian study explored the effect of duration of the peacekeeping mission on the risk of specific cancers: the risk of bladder cancer was more elevated among the Norwegian military whose mission lasted one year or more (SIR = 2.70, 95% CI 0.74 – 6.92, based on four observed cases vs 1.48 expected); testicular cancer and lymphomas were also moderately more frequent than expected in this group. In this study, however, length of exposure was not a good surrogate for cumulative exposure, as the average time spent in Bosnia and Kosovo was 10.2 months (95% CI 10.09 – 10.31) and only 6% of the Norwegian troops participated in three or more missions [22]. The number of deployments did not affect cancer incidence among the Dutch cohort [19]. The Swedish study explored sub-cohorts of indoor or outdoor activities, with the last further divided in participation in convoys or in destroying ammunition. Total cancer was in excess among those involved in convoy operations (5 observed, 1.7 expected, SIR = 3.0, 95% CI 1.0 – 7.0); testicular cancer (6 out of 10 cases) concentrated among those engaged in outdoor operations (2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9); melanoma, thyroid cancer, brain cancer, and haemolymphatic cancer were in excess among those involved in indoor operations. The two Hodgkin’s lymphoma cases were equally shared between the indoor and ourdoor operations subcohorts [20]. Table 4 shows the results of the metanalysis of the follow-up studies of the peacekeeping cohorts deployed in Bosnia and Kosovo for all cancers, the most prevalent specific cancer sites, and all those showing an increase in risk in at least one study and occurring in at least three studies, namely colorectal cancer, lung cancer, skin melanoma, thyroid cancer, bladder cancer, kidney cancer, testicular cancer, brain cancer, all haemolymphatic cancers, all lymphomas combined, Hodgkin’s lymphoma, non-Hodgkin lymphoma, and leukaemia. Metanalysis of studies on cancer incidence among the peacekeeping forces deployed in Bosnia and Kosovo Note: FES= Fixed Effect Estimate; RES=Randon Effect Estimate The results of the Dutch study were only available for all cancers, lung cancer, all haemolymphatic cancer, and leukaemia [19]. Overall, the meta-estimates suggest a reduction in cancer incidence among the peacekeeping forces in Bosnia and Kosovo. Significant heterogeneity in risk of total cancers was detected, with more than 90% of the variance explained by heterogeneity, as well as for for colorectal cancer and melanoma, while the Q-value was elevated but not significant for testicular cancer, and leukaemia. A significant two-fold meta-estimate of bladder cancer risk was based on the three Scandinavian studies only. The Grandolfo et al. study did not observe any case of bladder cancer, while the expected were 5.3. Assuming 0.5 observed cases, the SIR was 0.10, with a lower 95% confidence interval of 0.01; the resulting Q-value became 25.17, highly suggestive of heterogeneity with the rest of the studies (p < 0.0001). Lack of an association and homogeneity across findings was observed for thyroid cancer, kidney cancer, brain cancer, cancer of the haemolymphatic system, and particularly Hodgkin and non-Hodgkin lymphoma. Trends by surrogates for exposure were explored using different strategies. The Norwegian study explored the effect of duration of the peacekeeping mission on the risk of specific cancers: the risk of bladder cancer was more elevated among the Norwegian military whose mission lasted one year or more (SIR = 2.70, 95% CI 0.74 – 6.92, based on four observed cases vs 1.48 expected); testicular cancer and lymphomas were also moderately more frequent than expected in this group. In this study, however, length of exposure was not a good surrogate for cumulative exposure, as the average time spent in Bosnia and Kosovo was 10.2 months (95% CI 10.09 – 10.31) and only 6% of the Norwegian troops participated in three or more missions [22]. The number of deployments did not affect cancer incidence among the Dutch cohort [19]. The Swedish study explored sub-cohorts of indoor or outdoor activities, with the last further divided in participation in convoys or in destroying ammunition. Total cancer was in excess among those involved in convoy operations (5 observed, 1.7 expected, SIR = 3.0, 95% CI 1.0 – 7.0); testicular cancer (6 out of 10 cases) concentrated among those engaged in outdoor operations (2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9); melanoma, thyroid cancer, brain cancer, and haemolymphatic cancer were in excess among those involved in indoor operations. The two Hodgkin’s lymphoma cases were equally shared between the indoor and ourdoor operations subcohorts [20].
Conclusions
This systematic review and metanalysis of the epidemiological studies of the NATO peacekeeping forces in Bosnia and Kosovo confirms that cancer incidence overall was not increased. Instead, in most instances, specific cancer cases were significantly below the expectation, while bladder cancer showed an excess, based on the three Scandinavian studies only; thyroid cancer exceeded the expectation when considering the Peragallo et al. study, which results might have been affected by incomplete retrieval of the relevant events; and the elevated risk of Hodgkin’s lymphoma was limited to the first years after deployment, However, interpretation of such findings is weakened by the above-highlighted limitations, the lack of evidence that the claimed exposures occurred, and the lack of evidence of a link between those exposures and the observed cancer outcomes. Among the hypothetical exposures examined, only inhaled ultrafine particles might be plausibly associated with the observed access of bladder cancer among the Scandinavian peacekeepers [41]. However, lung cancer risk, the most likely outcome of exposure to inhaled particles, was strongly decreased in all cohorts, which would raise reasonable doubts about whether such exposure might have played a role. It is unclear what determinants, apart from chance, might explain the excess of thyroid cancer. Among the group 1-2A human carcinogens, the IARC lists radioiodine, x and ɣ radiation as determinants of thyroid cancer [28]. It is unknown whether such exposures or others of aetiological relevance occurred among the cases of thyroid cancer diagnosed in the NATO peacekeepers. As it concerns Hodgkin’s lymphoma, the excess among the Italian military was statistically robust, but it did not occur in the other cohorts nor it did persist beyond the first years after deployment. Such observations would suggest a link with infectious agents, such as those which were observed in the local population. After twenty years of legal trials and public controversy, the vague definition of the exposures claimed as responsible, the small number of events, the small size of some cohorts, and the incomplete retrieval of the incident cases in the extended follow-up of the Italian cohort, along with the short period of follow-up in some studies [18], contribute to shed persisting uncertainty on the origin of the increased incidence of a few tumours among the NATO military operating as peacekeeping forces in Bosnia and Kosovo. Although the specific causes remain unknown, the Italian soldiers who suffered from Hodgkin’s lymphoma upon returning from their mission to Bosnia and Kosovo and their families obtained just compensation. The temporal sequence was enough to acknowledge the link with their occupation. Still, it is possible to rule out the unproven and unlikely exposure to depleted uranium or metals or inhaled particles.
[ "Search strategy", "Study selection and inclusion criteria", "Systematic review", "Metanalysis of cancer incidence" ]
[ "A bibliographic search was conducted on PubMed (https://www.ncbi.nlm.nih.gov/pubmed/) up to 8 July 2021 with the following search string: “(Balkan war OR Bosnia OR Kosovo) AND (veterans OR military OR soldiers OR peacekeepers OR peacekeeping forces OR troops) AND (mortality OR incidence OR epidemiology OR cohort study)”. The list of references of each article detected through the automatic search was double-checked to identify further publications. Relevant studies were identified through the title, the abstract, and the text, in case of ambiguity.", "The inclusion criteria for the studies contributing to this review were the following: cohort studies of NATO peacekeeping military forces, deployed in Bosnia and Kosovo during and/or in the aftermath of the Balkan conflict, with cancer incidence data, written in English or any European Language. Figure 1 describes the selection process. Overall, we retrieved nine cohort studies of cancer incidence among peacekeeping forces; after excluding the original report of the Commission of the Italian Ministry of Defence, two other Italian studies with methodological issues, and a further Italian cohort study with unidentifed site of the mission, five studies were retained for metanalysis. Three mortality studies, one each from Finland, Italy, and the United States, were excluded from further analysis as only the study conducted in Italy had results by specific cancer site. All the cohorts included a minority of women separately analyzed in a few studies; however, overall, a female cohort would have been too small for any useful inference to be drawn about gender-specific findings. The retained Italian study, by Grandolfo et al., was an update of the final report of the Commission of the Italian Ministry of Defence [1], which extended the follow-up for another seven months, up to 31 December 2001, and detected nine more incident cancer cases [2]. Both analyses reported the absolute numbers of all the incident cancer cases but presented standardized incidence rates and risk estimates only for cancer of the lymphatic organs, solid tumours combined, and all cancers. Grandolfo et al. did not provide the person-years count by age groups. However, the 1995-2001 incidence rates of 8 Italian Cancer Registries were available from the IARC CI5 website [17]. Besides, the age-specific number of cases and incidence rates of all cancers reported in the final report of the Commission of the Ministry of Defence allowed us to estimate the person-years up to December 2001. The expected events for each solid cancer occurring in the cohort were calculated by applying the incidence rates from the southern Italy Cancer Registries, specific by 5-year age group in the 20-59 years age range, gender and calendar-year to the respective person-years count. The choice of re-calculating the expected events in the Grandolfo et al. study using the incidence data from the Southern Italy Cancer registries as the reference was based on the fact that two-thirds of the Italian soldiers were from those regions, and because of the large differences in cancer incidence between North and South of Italy [18]. Table 1 shows selected features of the five cancer incidence studies, one each from Italy [2], the Netherlands [19], Sweden [20], Denmark [21], and Norway [22].\nFlow diagram of the selection process for the studies retained in the meta-analysis\nSelected characteristics of the five cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo\nNotes: *The expected events in the Grandolfo et al. are calculated by applying the incidence rates of the southern Italy Cancer registries active in the respective years of follow-up\nData abstracted from each study were the cohort size, the total person-years, year of starting and ending the follow-up, number of observed events for all cancers and for specific cancer sites, and the respective expected events from the age-and sex-specific rates of the reference population. While being aware that the healthy worker effect would be much more likely to occur among severely selected populations, such as the military, the expected from general population rates were selected first because all the studies calculated them, and secondly as the healthy worker effect would be less relevant for neoplastic diseases than respiratory or cardiovascular diseases [23]. Fixed and random effect meta-estimates, and heterogeneity have been calculated with Comprehensive Metanalysis® [24].", "Table 3 summarises the results of the individual studies. The results of the Italian study updated by Grandolfo et al. showed a 2.3-fold excess of Hodgkin’s lymphoma (SIR = 2.26, 95% CI 1.31 –3.93), based on 12 observed cases against 5.3 expected [2]. The risk of NHL was not elevated (8 observed vs 7 expected cases; SIR = 1.14, 95% CI 0.57 – 2.29), and there were two cases of leukaemia vs 3.1 expected (SIR = 0.64, 95% CI 0.16 – 2.52). The other cancer cases were three thyroid tumours (5 expected), four cases of testicular cancer (11.1 expected), four colorectal cancer cases (4.6 expected), two brain cancers (4.3 expected), three cases of melanoma (2.8 expected), two cases of lung cancer (7.6 expected), and one of kidney cancer (2.2 expected). There were also one case each of cancer of the pharynx, larynx and stomach, of which only stomach cancer was represented in another study, the Denmark cohort study (2 observed vs 1.6 expected); therefore, the expected events were not estimated for these cancers. The overall 22 observed solid tumours were much less than the 64.7 expected estimated from the incidence data of the southern Italy Cancer Registries (SIR = 0.34, 95% CI 0.23 – 0.51), as it was the case for total cancers (SIR = 0.54, 95% CI 0.41 – 0.73).\nResults of the individual cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo\nThe same Italian cohort was included in another three studies. Peragallo et al. took profit from the implementation of the Cancer Surveillance Program of the Army personnel, which was initiated in January 2001, to extend the follow-up to 31 December 2007 [25]. Their cohort included 58,413 troops who participated in at least one mission in Bosnia or Kosovo (a minimum of two months) from 1996-2007 [25], about 16,000 more than the cohort assembled by the Commission of the Ministry of Defence. In respect to the Grandolfo et al. update of the report by the Commission of the Italian Ministry of Defence, there were two main differences: 1) the excess risk of Hodgkin’s lymphoma vanished (20 observed cases vs 19.86 expected for the Bosnia and Kosovo subsohorts combined; SIR = 1.01, 95% CI 0.54 – 1.88). An analysis by year of diagnosis showed that these cases clustered in the year 2000 in Bosnia and 2001 in Kosovo, and subsequently declined; and 2) a significant excess of thyroid cancer (24 cases vs 15.42 expected SIR = 1.56, 95% CI 1.05 – 2.32) showed up, equally shared by the soldiers deployed in Bosnia and Kosovo. The figures for the rest of the cancer sites were also largely below the expectation, confirming the Grandolfo et al. observation.\nA major concern in the Peragallo study, acknowledged by the authors, was the likely incomplete retrieval of the incident cases, because of a substantial proportion of retirements among the soldiers deployed in the Balkans (24.9% up to 2003), who might have referred to the National Health System. Indeed, only the fraction of the retired who applied for compensation, assuming that exposures during the service had caused their disease, could be identified, which sheds uncertainty about the size of the lost incident cases. In a second paper [26], Peragallo et al. used a capture-recapture technique with two estimates of the incident cancer cases in 2001-2007 among the whole Italian military, whether deployed or not. The two methods yielded substantially different estimates of the total incident cases, ranging 571- 688 cases vs 371 detected through the Army Cancer Surveillance Program, corresponding to a loss between 35-46%. While it is conceivable that the loss of cases might have been greater among the non-deployed, there is no evidence that it was so. Besides, the denominator Peragallo et al. used to calculate the standardized incidence ratios was based on the number of soldiers deployed annually for the first time in Bosnia and in Kosovo, instead of the standard person-years count. About 42% of the cohort participated in multiple missions. Thirty-eight per cent of those first deployed in Kosovo and 41% of those first deployed in Bosnia were also deployed in the alternate intervention site during the subsequent missions. Whether these always counted once was not clarified. Still, these drawbacks would not explain the excess of thyroid cancer, which would stand as significant.\nAnother paper was published more recently on the overall cases recorded by the Army Cancer Surveillance Program up to 2012 [27]. The authors compared two sub-cohorts, one including the never-deployed soldiers, and another including all those who participated in any mission anywhere in the world, with no possible identification of the deployment site. The results of this paper highlighted associations with the condition of deployment abroad, which, in most instances, were specific by corps subgroup. Also, the use of 90% confidence intervals instead of the traditional 95%, along with the large number of comparisons made and the small number of events for some specific cancer sites, doubled the area to reject the null hypothesis; such strategy might have generated a substantial number of spurious positive findings.\nAs it concerns the rest of the studies (Table 3), the Dutch study did not detect an excess of incidence of all cancers and specifically of haemolymphatic cancer [19]. Among the Swedish military, there were 26 cases of cancer against 21.8 expected [20]. Eight cases were testicular cancer, twice the expected (SIR = 1.9, 95% CI 0.8 – 3.7), six of which occurred among the deployed in outdoor missions (6 observed vs 2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9). Cancer of the haemolymphatic organs were five against 3.5 expected (SIR = 1.4, 95% CI 0.5 – 3.3) and mainly occurred in indoor occupations. Other cancer sites were represented by more than one case: lung cancer (1 observed vs 0.8 expected), rectum cancer (2 vs 1.0 expected for colorectal cancer), bladder cancer (2 vs 0.7), melanoma (2 vs 2.2), brain cancer (3 vs 2.6), and leukaemia (2 vs 0.5) [20]. Among the Danish cohort, seven bladder cancer cases and four bone cancers were observed, more than twice and six-fold the expected (95% CI 0.9 – 4.5, and 1.6 – 15.3, respectively) [21]. However, three of the six cases of bone cancer were diagnosed within one year from deployment, which would exclude an association with exposure to x and ɣ radiation, the only risk factor for such cancer reported by IARC [28], at the mission site. No cases of bone cancer were observed in the other four studies. Haemolymphatic cancer cases were consistent with the expectation (11 observed vs 10.2 expected; SIR = 1.08, 95% CI 0.61 – 1.90), and there were three cases of Hodgkin’s lymphoma, corresponding exactly to the expectation (95% CI 0.2 – 2.9), and four cases of leukaemia (SIR = 1.4, 95% CI 0.4 – 3.5). Cases of testicular cancer were 24, close to the expectation from the Danish Cancer Registry data (SIR = 1.2, 95% CI 0.8 – 1.8). Other cancer sites represented by two or more cases included the the colon-rectum (9 vs 4.0, SIR = 2.25, 95% CI 1.19 – 4.25), the lung (2 observed vs 5 expected), the kidney (2 vs 1.8), melanoma (5 vs 7.1), the brain (9 vs 7.5), and the stomach (2 vs 1.6, nor shown in Table 3) [21].\nIn the Norwegian study, the incident cancer cases observed up to 2016 slightly exceeded the expectation (SIR = 1.11, 95% CI 0.93 – 1.31), as it was the case for melanoma (16 vs 11.7; SIR = 1.36, 95% CI 0.78 – 2.22) [22], which had shown a 90% excess (95% CI 0.95 – 3.40) in a previous report on the 1999-2011 follow-up results [28]. There was no excess of testicular cancer (25 cases observed vs 24.6 expected; SIR = 1.02, 95% CI 0.66 – 1.50), thyroid cancers (4 vs 2.5, SIR = 1.60, 95% CI 0.43 – 4.09), and haemolymphatic cancer (18 vs 16.1, SIR = 1.16, 95% CI 0.66 – 1.77), with 8 cases of leukaemia vs 6.4 expected, and 10 vs 9.7 cases of lymphoma, Hodgkin’s and non-Hodgkin combined. A list of other cancer sites with two cases or more included the following: oral cavity and pharynx (5 vs 3.1), oesophagus (2 vs 1.1), colon-rectum (6 vs 11.5), pancreas (4 vs 1.6), lung (5 vs 5.7), prostate (17 vs 14.9), kidney (3 vs 5.3), bladder (8 vs 4.1 expected), brain (8 vs 10.9), and soft tissue (2 vs 0.9) [22].", "Table 4 shows the results of the metanalysis of the follow-up studies of the peacekeeping cohorts deployed in Bosnia and Kosovo for all cancers, the most prevalent specific cancer sites, and all those showing an increase in risk in at least one study and occurring in at least three studies, namely colorectal cancer, lung cancer, skin melanoma, thyroid cancer, bladder cancer, kidney cancer, testicular cancer, brain cancer, all haemolymphatic cancers, all lymphomas combined, Hodgkin’s lymphoma, non-Hodgkin lymphoma, and leukaemia.\nMetanalysis of studies on cancer incidence among the peacekeeping forces deployed in Bosnia and Kosovo\nNote: FES= Fixed Effect Estimate; RES=Randon Effect Estimate\nThe results of the Dutch study were only available for all cancers, lung cancer, all haemolymphatic cancer, and leukaemia [19].\nOverall, the meta-estimates suggest a reduction in cancer incidence among the peacekeeping forces in Bosnia and Kosovo. Significant heterogeneity in risk of total cancers was detected, with more than 90% of the variance explained by heterogeneity, as well as for for colorectal cancer and melanoma, while the Q-value was elevated but not significant for testicular cancer, and leukaemia. A significant two-fold meta-estimate of bladder cancer risk was based on the three Scandinavian studies only. The Grandolfo et al. study did not observe any case of bladder cancer, while the expected were 5.3. Assuming 0.5 observed cases, the SIR was 0.10, with a lower 95% confidence interval of 0.01; the resulting Q-value became 25.17, highly suggestive of heterogeneity with the rest of the studies (p < 0.0001). Lack of an association and homogeneity across findings was observed for thyroid cancer, kidney cancer, brain cancer, cancer of the haemolymphatic system, and particularly Hodgkin and non-Hodgkin lymphoma.\nTrends by surrogates for exposure were explored using different strategies. The Norwegian study explored the effect of duration of the peacekeeping mission on the risk of specific cancers: the risk of bladder cancer was more elevated among the Norwegian military whose mission lasted one year or more (SIR = 2.70, 95% CI 0.74 – 6.92, based on four observed cases vs 1.48 expected); testicular cancer and lymphomas were also moderately more frequent than expected in this group. In this study, however, length of exposure was not a good surrogate for cumulative exposure, as the average time spent in Bosnia and Kosovo was 10.2 months (95% CI 10.09 – 10.31) and only 6% of the Norwegian troops participated in three or more missions [22]. The number of deployments did not affect cancer incidence among the Dutch cohort [19]. The Swedish study explored sub-cohorts of indoor or outdoor activities, with the last further divided in participation in convoys or in destroying ammunition. Total cancer was in excess among those involved in convoy operations (5 observed, 1.7 expected, SIR = 3.0, 95% CI 1.0 – 7.0); testicular cancer (6 out of 10 cases) concentrated among those engaged in outdoor operations (2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9); melanoma, thyroid cancer, brain cancer, and haemolymphatic cancer were in excess among those involved in indoor operations. The two Hodgkin’s lymphoma cases were equally shared between the indoor and ourdoor operations subcohorts [20]." ]
[ null, null, null, null ]
[ "Introduction", "Methods", "Search strategy", "Study selection and inclusion criteria", "Results", "Systematic review", "Metanalysis of cancer incidence", "Discussion", "Conclusions" ]
[ "The twentieth anniversary of the publication of the “Preliminary Report of the Ministry of Defence Commission on the incidence of malignant neoplasms among the military deployed in Bosnia and Kosovo” on 19 March 2001 [1] has passed in complete silence. The current pandemic might have obscured the event in sharp contrast with the broad coverage in the national and international media, from the year 2000 onwards, that focussed mainly on the cases of lymphatic cancer among the NATO peacekeeping military forces deployed in the Balkans. A parallel with the Gulf war syndrome pointed at the never documented exposure to depleted uranium (DU) from the ammunition used in the NATO bombing as responsible for the excess.\nVeterans who developed cancers and the families of those who succumbed submitted numerous applications for compensation, claiming that the exposure to a wide range of plausible and implausible factors was the cause of their diseases. Most claims pointed at the use of DU ammunition by the NATO forces in Bosnia, and Kosovo. However, in the worst-case scenario [2], the effective dose of absorbed radiation might have reached around 0.15 mSv, 15% of the effective dose limit in one year for the general population [3] and between 1-7.5% of the absorbed dose during a CT scan, depending on the site and the type of exam [4]. Besides, the environmental monitoring program conducted by the United Nation Environmental Program (UNEP) in 11 Bosniak sites, seven years after the end of the Balkan war, did not detect significant contamination of the soil, water, foodstuffs, crops, and vegetables [5, 6]. However, the search was restricted to a few spots, due to unexploded land mines [7]. Also, the average urinary total uranium in Italian, German, and Canadian veterans deployed in Bosnia and Kosovo, was comparable to the respective general population [1, 8, 9], and the ratios between 235U, 236U, and 238U isotopes were similar to that of natural uranium [8, 9]. Therefore, the unproven exposure to DU would be an unlikely explanation for the excess incidence of bladder cancer, thyroid cancer, and Hodgkin lymphoma among the NATO peacekeeping forces reported by individual studies.\nOnce the evidence ruled out the DU hypothesis, exposure to nanoparticles and metals took the stage. However, the few studies conducted so far in military settings have shown a rapid dilution of nanoparticle concentration up to 400 metres in the wind direction from the source of emission [10], and deaths did not exceed the expectation in a small military cohort with potential exposure to nanoparticles [11]. Inhaling fine and ultrafine a-emitting DU particles might be a plausible risk factor for cancer at the site of contact (the lung) and deposit (bone and kidney), but not those most frequently claimed as associated. Post-deployment biomonitoring of metallic elements showed concentrations always within the reference values for the general population [12, 13].\nAlthough various scientific commissions concluded that the environmental health consequences of using DU ammunition were negligible, the NATO Command of Military Medicine Services (COMEDS) recommended conducting epidemiological investigations on the long-term health outcomes among the military who participated in the peacekeeping operations [1]. The Commission of the Italian Ministry of Defence acknowledged that the yet unproven exposure of the Italian soldiers to DU had to be considered extremely low. However, it did not exclude a possible link with Hodgkin’s lymphoma [1], based on a positive association reported in a study of U.S. uranium refiners and smelters (4 observed cases vs 1.6 expected) [14], despite opposite findings of a metanalysis of similar studies [15]. Claims about the side effects of the vaccination protocols have also been raised. However, an Italian study did not find any association between vaccination and micronuclei frequency in lymphocytes of Italian troops deployed in Iraq [12], and a follow-up study of a small military cohort did not observe any effect of multiple vaccinations on the cause-specific mortality [11].\nThirty-four countries, 24 affiliated and 10 non-affiliated with NATO, intervened in Bosnia and Kosovo at different stages between 1989 and 2011 with a total of over 100,000 men and women. A few countries complied with the NATO COMEDS recommendations and conducted studies on cancer incidence or mortality among the respective peacekeeping cohorts in Kosovo e Bosnia. A systematic review and a meta-analysis of these studies were conducted to explore with adequate statistical power the observed associations with different cancer sites that emerged from the individual studies.", "This systematic review followed the principles of the PRISMA Statement for Systematic Reviews and Meta-Analyses and the related check-list [16].\n Search strategy A bibliographic search was conducted on PubMed (https://www.ncbi.nlm.nih.gov/pubmed/) up to 8 July 2021 with the following search string: “(Balkan war OR Bosnia OR Kosovo) AND (veterans OR military OR soldiers OR peacekeepers OR peacekeeping forces OR troops) AND (mortality OR incidence OR epidemiology OR cohort study)”. The list of references of each article detected through the automatic search was double-checked to identify further publications. Relevant studies were identified through the title, the abstract, and the text, in case of ambiguity.\nA bibliographic search was conducted on PubMed (https://www.ncbi.nlm.nih.gov/pubmed/) up to 8 July 2021 with the following search string: “(Balkan war OR Bosnia OR Kosovo) AND (veterans OR military OR soldiers OR peacekeepers OR peacekeeping forces OR troops) AND (mortality OR incidence OR epidemiology OR cohort study)”. The list of references of each article detected through the automatic search was double-checked to identify further publications. Relevant studies were identified through the title, the abstract, and the text, in case of ambiguity.\n Study selection and inclusion criteria The inclusion criteria for the studies contributing to this review were the following: cohort studies of NATO peacekeeping military forces, deployed in Bosnia and Kosovo during and/or in the aftermath of the Balkan conflict, with cancer incidence data, written in English or any European Language. Figure 1 describes the selection process. Overall, we retrieved nine cohort studies of cancer incidence among peacekeeping forces; after excluding the original report of the Commission of the Italian Ministry of Defence, two other Italian studies with methodological issues, and a further Italian cohort study with unidentifed site of the mission, five studies were retained for metanalysis. Three mortality studies, one each from Finland, Italy, and the United States, were excluded from further analysis as only the study conducted in Italy had results by specific cancer site. All the cohorts included a minority of women separately analyzed in a few studies; however, overall, a female cohort would have been too small for any useful inference to be drawn about gender-specific findings. The retained Italian study, by Grandolfo et al., was an update of the final report of the Commission of the Italian Ministry of Defence [1], which extended the follow-up for another seven months, up to 31 December 2001, and detected nine more incident cancer cases [2]. Both analyses reported the absolute numbers of all the incident cancer cases but presented standardized incidence rates and risk estimates only for cancer of the lymphatic organs, solid tumours combined, and all cancers. Grandolfo et al. did not provide the person-years count by age groups. However, the 1995-2001 incidence rates of 8 Italian Cancer Registries were available from the IARC CI5 website [17]. Besides, the age-specific number of cases and incidence rates of all cancers reported in the final report of the Commission of the Ministry of Defence allowed us to estimate the person-years up to December 2001. The expected events for each solid cancer occurring in the cohort were calculated by applying the incidence rates from the southern Italy Cancer Registries, specific by 5-year age group in the 20-59 years age range, gender and calendar-year to the respective person-years count. The choice of re-calculating the expected events in the Grandolfo et al. study using the incidence data from the Southern Italy Cancer registries as the reference was based on the fact that two-thirds of the Italian soldiers were from those regions, and because of the large differences in cancer incidence between North and South of Italy [18]. Table 1 shows selected features of the five cancer incidence studies, one each from Italy [2], the Netherlands [19], Sweden [20], Denmark [21], and Norway [22].\nFlow diagram of the selection process for the studies retained in the meta-analysis\nSelected characteristics of the five cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo\nNotes: *The expected events in the Grandolfo et al. are calculated by applying the incidence rates of the southern Italy Cancer registries active in the respective years of follow-up\nData abstracted from each study were the cohort size, the total person-years, year of starting and ending the follow-up, number of observed events for all cancers and for specific cancer sites, and the respective expected events from the age-and sex-specific rates of the reference population. While being aware that the healthy worker effect would be much more likely to occur among severely selected populations, such as the military, the expected from general population rates were selected first because all the studies calculated them, and secondly as the healthy worker effect would be less relevant for neoplastic diseases than respiratory or cardiovascular diseases [23]. Fixed and random effect meta-estimates, and heterogeneity have been calculated with Comprehensive Metanalysis® [24].\nThe inclusion criteria for the studies contributing to this review were the following: cohort studies of NATO peacekeeping military forces, deployed in Bosnia and Kosovo during and/or in the aftermath of the Balkan conflict, with cancer incidence data, written in English or any European Language. Figure 1 describes the selection process. Overall, we retrieved nine cohort studies of cancer incidence among peacekeeping forces; after excluding the original report of the Commission of the Italian Ministry of Defence, two other Italian studies with methodological issues, and a further Italian cohort study with unidentifed site of the mission, five studies were retained for metanalysis. Three mortality studies, one each from Finland, Italy, and the United States, were excluded from further analysis as only the study conducted in Italy had results by specific cancer site. All the cohorts included a minority of women separately analyzed in a few studies; however, overall, a female cohort would have been too small for any useful inference to be drawn about gender-specific findings. The retained Italian study, by Grandolfo et al., was an update of the final report of the Commission of the Italian Ministry of Defence [1], which extended the follow-up for another seven months, up to 31 December 2001, and detected nine more incident cancer cases [2]. Both analyses reported the absolute numbers of all the incident cancer cases but presented standardized incidence rates and risk estimates only for cancer of the lymphatic organs, solid tumours combined, and all cancers. Grandolfo et al. did not provide the person-years count by age groups. However, the 1995-2001 incidence rates of 8 Italian Cancer Registries were available from the IARC CI5 website [17]. Besides, the age-specific number of cases and incidence rates of all cancers reported in the final report of the Commission of the Ministry of Defence allowed us to estimate the person-years up to December 2001. The expected events for each solid cancer occurring in the cohort were calculated by applying the incidence rates from the southern Italy Cancer Registries, specific by 5-year age group in the 20-59 years age range, gender and calendar-year to the respective person-years count. The choice of re-calculating the expected events in the Grandolfo et al. study using the incidence data from the Southern Italy Cancer registries as the reference was based on the fact that two-thirds of the Italian soldiers were from those regions, and because of the large differences in cancer incidence between North and South of Italy [18]. Table 1 shows selected features of the five cancer incidence studies, one each from Italy [2], the Netherlands [19], Sweden [20], Denmark [21], and Norway [22].\nFlow diagram of the selection process for the studies retained in the meta-analysis\nSelected characteristics of the five cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo\nNotes: *The expected events in the Grandolfo et al. are calculated by applying the incidence rates of the southern Italy Cancer registries active in the respective years of follow-up\nData abstracted from each study were the cohort size, the total person-years, year of starting and ending the follow-up, number of observed events for all cancers and for specific cancer sites, and the respective expected events from the age-and sex-specific rates of the reference population. While being aware that the healthy worker effect would be much more likely to occur among severely selected populations, such as the military, the expected from general population rates were selected first because all the studies calculated them, and secondly as the healthy worker effect would be less relevant for neoplastic diseases than respiratory or cardiovascular diseases [23]. Fixed and random effect meta-estimates, and heterogeneity have been calculated with Comprehensive Metanalysis® [24].", "A bibliographic search was conducted on PubMed (https://www.ncbi.nlm.nih.gov/pubmed/) up to 8 July 2021 with the following search string: “(Balkan war OR Bosnia OR Kosovo) AND (veterans OR military OR soldiers OR peacekeepers OR peacekeeping forces OR troops) AND (mortality OR incidence OR epidemiology OR cohort study)”. The list of references of each article detected through the automatic search was double-checked to identify further publications. Relevant studies were identified through the title, the abstract, and the text, in case of ambiguity.", "The inclusion criteria for the studies contributing to this review were the following: cohort studies of NATO peacekeeping military forces, deployed in Bosnia and Kosovo during and/or in the aftermath of the Balkan conflict, with cancer incidence data, written in English or any European Language. Figure 1 describes the selection process. Overall, we retrieved nine cohort studies of cancer incidence among peacekeeping forces; after excluding the original report of the Commission of the Italian Ministry of Defence, two other Italian studies with methodological issues, and a further Italian cohort study with unidentifed site of the mission, five studies were retained for metanalysis. Three mortality studies, one each from Finland, Italy, and the United States, were excluded from further analysis as only the study conducted in Italy had results by specific cancer site. All the cohorts included a minority of women separately analyzed in a few studies; however, overall, a female cohort would have been too small for any useful inference to be drawn about gender-specific findings. The retained Italian study, by Grandolfo et al., was an update of the final report of the Commission of the Italian Ministry of Defence [1], which extended the follow-up for another seven months, up to 31 December 2001, and detected nine more incident cancer cases [2]. Both analyses reported the absolute numbers of all the incident cancer cases but presented standardized incidence rates and risk estimates only for cancer of the lymphatic organs, solid tumours combined, and all cancers. Grandolfo et al. did not provide the person-years count by age groups. However, the 1995-2001 incidence rates of 8 Italian Cancer Registries were available from the IARC CI5 website [17]. Besides, the age-specific number of cases and incidence rates of all cancers reported in the final report of the Commission of the Ministry of Defence allowed us to estimate the person-years up to December 2001. The expected events for each solid cancer occurring in the cohort were calculated by applying the incidence rates from the southern Italy Cancer Registries, specific by 5-year age group in the 20-59 years age range, gender and calendar-year to the respective person-years count. The choice of re-calculating the expected events in the Grandolfo et al. study using the incidence data from the Southern Italy Cancer registries as the reference was based on the fact that two-thirds of the Italian soldiers were from those regions, and because of the large differences in cancer incidence between North and South of Italy [18]. Table 1 shows selected features of the five cancer incidence studies, one each from Italy [2], the Netherlands [19], Sweden [20], Denmark [21], and Norway [22].\nFlow diagram of the selection process for the studies retained in the meta-analysis\nSelected characteristics of the five cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo\nNotes: *The expected events in the Grandolfo et al. are calculated by applying the incidence rates of the southern Italy Cancer registries active in the respective years of follow-up\nData abstracted from each study were the cohort size, the total person-years, year of starting and ending the follow-up, number of observed events for all cancers and for specific cancer sites, and the respective expected events from the age-and sex-specific rates of the reference population. While being aware that the healthy worker effect would be much more likely to occur among severely selected populations, such as the military, the expected from general population rates were selected first because all the studies calculated them, and secondly as the healthy worker effect would be less relevant for neoplastic diseases than respiratory or cardiovascular diseases [23]. Fixed and random effect meta-estimates, and heterogeneity have been calculated with Comprehensive Metanalysis® [24].", "Overall, the selected studies covered 28-years of follow-up of 88 655 men and identified 470 incident cases. Table 2 shows further details. Most studies reported the average duration of the mission, but not its range. There was also some imprecision about the deployment area: in the Dutch study it was generically indicated as the Balkans, and 42% of the Danish cohort had been deployed in countries not hit by DU ammunition (Albania 1%, Croatia 38%, Macedonia 3%), and 2% in generic Balkan locations.\nDetails of the five cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo\n Systematic review Table 3 summarises the results of the individual studies. The results of the Italian study updated by Grandolfo et al. showed a 2.3-fold excess of Hodgkin’s lymphoma (SIR = 2.26, 95% CI 1.31 –3.93), based on 12 observed cases against 5.3 expected [2]. The risk of NHL was not elevated (8 observed vs 7 expected cases; SIR = 1.14, 95% CI 0.57 – 2.29), and there were two cases of leukaemia vs 3.1 expected (SIR = 0.64, 95% CI 0.16 – 2.52). The other cancer cases were three thyroid tumours (5 expected), four cases of testicular cancer (11.1 expected), four colorectal cancer cases (4.6 expected), two brain cancers (4.3 expected), three cases of melanoma (2.8 expected), two cases of lung cancer (7.6 expected), and one of kidney cancer (2.2 expected). There were also one case each of cancer of the pharynx, larynx and stomach, of which only stomach cancer was represented in another study, the Denmark cohort study (2 observed vs 1.6 expected); therefore, the expected events were not estimated for these cancers. The overall 22 observed solid tumours were much less than the 64.7 expected estimated from the incidence data of the southern Italy Cancer Registries (SIR = 0.34, 95% CI 0.23 – 0.51), as it was the case for total cancers (SIR = 0.54, 95% CI 0.41 – 0.73).\nResults of the individual cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo\nThe same Italian cohort was included in another three studies. Peragallo et al. took profit from the implementation of the Cancer Surveillance Program of the Army personnel, which was initiated in January 2001, to extend the follow-up to 31 December 2007 [25]. Their cohort included 58,413 troops who participated in at least one mission in Bosnia or Kosovo (a minimum of two months) from 1996-2007 [25], about 16,000 more than the cohort assembled by the Commission of the Ministry of Defence. In respect to the Grandolfo et al. update of the report by the Commission of the Italian Ministry of Defence, there were two main differences: 1) the excess risk of Hodgkin’s lymphoma vanished (20 observed cases vs 19.86 expected for the Bosnia and Kosovo subsohorts combined; SIR = 1.01, 95% CI 0.54 – 1.88). An analysis by year of diagnosis showed that these cases clustered in the year 2000 in Bosnia and 2001 in Kosovo, and subsequently declined; and 2) a significant excess of thyroid cancer (24 cases vs 15.42 expected SIR = 1.56, 95% CI 1.05 – 2.32) showed up, equally shared by the soldiers deployed in Bosnia and Kosovo. The figures for the rest of the cancer sites were also largely below the expectation, confirming the Grandolfo et al. observation.\nA major concern in the Peragallo study, acknowledged by the authors, was the likely incomplete retrieval of the incident cases, because of a substantial proportion of retirements among the soldiers deployed in the Balkans (24.9% up to 2003), who might have referred to the National Health System. Indeed, only the fraction of the retired who applied for compensation, assuming that exposures during the service had caused their disease, could be identified, which sheds uncertainty about the size of the lost incident cases. In a second paper [26], Peragallo et al. used a capture-recapture technique with two estimates of the incident cancer cases in 2001-2007 among the whole Italian military, whether deployed or not. The two methods yielded substantially different estimates of the total incident cases, ranging 571- 688 cases vs 371 detected through the Army Cancer Surveillance Program, corresponding to a loss between 35-46%. While it is conceivable that the loss of cases might have been greater among the non-deployed, there is no evidence that it was so. Besides, the denominator Peragallo et al. used to calculate the standardized incidence ratios was based on the number of soldiers deployed annually for the first time in Bosnia and in Kosovo, instead of the standard person-years count. About 42% of the cohort participated in multiple missions. Thirty-eight per cent of those first deployed in Kosovo and 41% of those first deployed in Bosnia were also deployed in the alternate intervention site during the subsequent missions. Whether these always counted once was not clarified. Still, these drawbacks would not explain the excess of thyroid cancer, which would stand as significant.\nAnother paper was published more recently on the overall cases recorded by the Army Cancer Surveillance Program up to 2012 [27]. The authors compared two sub-cohorts, one including the never-deployed soldiers, and another including all those who participated in any mission anywhere in the world, with no possible identification of the deployment site. The results of this paper highlighted associations with the condition of deployment abroad, which, in most instances, were specific by corps subgroup. Also, the use of 90% confidence intervals instead of the traditional 95%, along with the large number of comparisons made and the small number of events for some specific cancer sites, doubled the area to reject the null hypothesis; such strategy might have generated a substantial number of spurious positive findings.\nAs it concerns the rest of the studies (Table 3), the Dutch study did not detect an excess of incidence of all cancers and specifically of haemolymphatic cancer [19]. Among the Swedish military, there were 26 cases of cancer against 21.8 expected [20]. Eight cases were testicular cancer, twice the expected (SIR = 1.9, 95% CI 0.8 – 3.7), six of which occurred among the deployed in outdoor missions (6 observed vs 2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9). Cancer of the haemolymphatic organs were five against 3.5 expected (SIR = 1.4, 95% CI 0.5 – 3.3) and mainly occurred in indoor occupations. Other cancer sites were represented by more than one case: lung cancer (1 observed vs 0.8 expected), rectum cancer (2 vs 1.0 expected for colorectal cancer), bladder cancer (2 vs 0.7), melanoma (2 vs 2.2), brain cancer (3 vs 2.6), and leukaemia (2 vs 0.5) [20]. Among the Danish cohort, seven bladder cancer cases and four bone cancers were observed, more than twice and six-fold the expected (95% CI 0.9 – 4.5, and 1.6 – 15.3, respectively) [21]. However, three of the six cases of bone cancer were diagnosed within one year from deployment, which would exclude an association with exposure to x and ɣ radiation, the only risk factor for such cancer reported by IARC [28], at the mission site. No cases of bone cancer were observed in the other four studies. Haemolymphatic cancer cases were consistent with the expectation (11 observed vs 10.2 expected; SIR = 1.08, 95% CI 0.61 – 1.90), and there were three cases of Hodgkin’s lymphoma, corresponding exactly to the expectation (95% CI 0.2 – 2.9), and four cases of leukaemia (SIR = 1.4, 95% CI 0.4 – 3.5). Cases of testicular cancer were 24, close to the expectation from the Danish Cancer Registry data (SIR = 1.2, 95% CI 0.8 – 1.8). Other cancer sites represented by two or more cases included the the colon-rectum (9 vs 4.0, SIR = 2.25, 95% CI 1.19 – 4.25), the lung (2 observed vs 5 expected), the kidney (2 vs 1.8), melanoma (5 vs 7.1), the brain (9 vs 7.5), and the stomach (2 vs 1.6, nor shown in Table 3) [21].\nIn the Norwegian study, the incident cancer cases observed up to 2016 slightly exceeded the expectation (SIR = 1.11, 95% CI 0.93 – 1.31), as it was the case for melanoma (16 vs 11.7; SIR = 1.36, 95% CI 0.78 – 2.22) [22], which had shown a 90% excess (95% CI 0.95 – 3.40) in a previous report on the 1999-2011 follow-up results [28]. There was no excess of testicular cancer (25 cases observed vs 24.6 expected; SIR = 1.02, 95% CI 0.66 – 1.50), thyroid cancers (4 vs 2.5, SIR = 1.60, 95% CI 0.43 – 4.09), and haemolymphatic cancer (18 vs 16.1, SIR = 1.16, 95% CI 0.66 – 1.77), with 8 cases of leukaemia vs 6.4 expected, and 10 vs 9.7 cases of lymphoma, Hodgkin’s and non-Hodgkin combined. A list of other cancer sites with two cases or more included the following: oral cavity and pharynx (5 vs 3.1), oesophagus (2 vs 1.1), colon-rectum (6 vs 11.5), pancreas (4 vs 1.6), lung (5 vs 5.7), prostate (17 vs 14.9), kidney (3 vs 5.3), bladder (8 vs 4.1 expected), brain (8 vs 10.9), and soft tissue (2 vs 0.9) [22].\nTable 3 summarises the results of the individual studies. The results of the Italian study updated by Grandolfo et al. showed a 2.3-fold excess of Hodgkin’s lymphoma (SIR = 2.26, 95% CI 1.31 –3.93), based on 12 observed cases against 5.3 expected [2]. The risk of NHL was not elevated (8 observed vs 7 expected cases; SIR = 1.14, 95% CI 0.57 – 2.29), and there were two cases of leukaemia vs 3.1 expected (SIR = 0.64, 95% CI 0.16 – 2.52). The other cancer cases were three thyroid tumours (5 expected), four cases of testicular cancer (11.1 expected), four colorectal cancer cases (4.6 expected), two brain cancers (4.3 expected), three cases of melanoma (2.8 expected), two cases of lung cancer (7.6 expected), and one of kidney cancer (2.2 expected). There were also one case each of cancer of the pharynx, larynx and stomach, of which only stomach cancer was represented in another study, the Denmark cohort study (2 observed vs 1.6 expected); therefore, the expected events were not estimated for these cancers. The overall 22 observed solid tumours were much less than the 64.7 expected estimated from the incidence data of the southern Italy Cancer Registries (SIR = 0.34, 95% CI 0.23 – 0.51), as it was the case for total cancers (SIR = 0.54, 95% CI 0.41 – 0.73).\nResults of the individual cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo\nThe same Italian cohort was included in another three studies. Peragallo et al. took profit from the implementation of the Cancer Surveillance Program of the Army personnel, which was initiated in January 2001, to extend the follow-up to 31 December 2007 [25]. Their cohort included 58,413 troops who participated in at least one mission in Bosnia or Kosovo (a minimum of two months) from 1996-2007 [25], about 16,000 more than the cohort assembled by the Commission of the Ministry of Defence. In respect to the Grandolfo et al. update of the report by the Commission of the Italian Ministry of Defence, there were two main differences: 1) the excess risk of Hodgkin’s lymphoma vanished (20 observed cases vs 19.86 expected for the Bosnia and Kosovo subsohorts combined; SIR = 1.01, 95% CI 0.54 – 1.88). An analysis by year of diagnosis showed that these cases clustered in the year 2000 in Bosnia and 2001 in Kosovo, and subsequently declined; and 2) a significant excess of thyroid cancer (24 cases vs 15.42 expected SIR = 1.56, 95% CI 1.05 – 2.32) showed up, equally shared by the soldiers deployed in Bosnia and Kosovo. The figures for the rest of the cancer sites were also largely below the expectation, confirming the Grandolfo et al. observation.\nA major concern in the Peragallo study, acknowledged by the authors, was the likely incomplete retrieval of the incident cases, because of a substantial proportion of retirements among the soldiers deployed in the Balkans (24.9% up to 2003), who might have referred to the National Health System. Indeed, only the fraction of the retired who applied for compensation, assuming that exposures during the service had caused their disease, could be identified, which sheds uncertainty about the size of the lost incident cases. In a second paper [26], Peragallo et al. used a capture-recapture technique with two estimates of the incident cancer cases in 2001-2007 among the whole Italian military, whether deployed or not. The two methods yielded substantially different estimates of the total incident cases, ranging 571- 688 cases vs 371 detected through the Army Cancer Surveillance Program, corresponding to a loss between 35-46%. While it is conceivable that the loss of cases might have been greater among the non-deployed, there is no evidence that it was so. Besides, the denominator Peragallo et al. used to calculate the standardized incidence ratios was based on the number of soldiers deployed annually for the first time in Bosnia and in Kosovo, instead of the standard person-years count. About 42% of the cohort participated in multiple missions. Thirty-eight per cent of those first deployed in Kosovo and 41% of those first deployed in Bosnia were also deployed in the alternate intervention site during the subsequent missions. Whether these always counted once was not clarified. Still, these drawbacks would not explain the excess of thyroid cancer, which would stand as significant.\nAnother paper was published more recently on the overall cases recorded by the Army Cancer Surveillance Program up to 2012 [27]. The authors compared two sub-cohorts, one including the never-deployed soldiers, and another including all those who participated in any mission anywhere in the world, with no possible identification of the deployment site. The results of this paper highlighted associations with the condition of deployment abroad, which, in most instances, were specific by corps subgroup. Also, the use of 90% confidence intervals instead of the traditional 95%, along with the large number of comparisons made and the small number of events for some specific cancer sites, doubled the area to reject the null hypothesis; such strategy might have generated a substantial number of spurious positive findings.\nAs it concerns the rest of the studies (Table 3), the Dutch study did not detect an excess of incidence of all cancers and specifically of haemolymphatic cancer [19]. Among the Swedish military, there were 26 cases of cancer against 21.8 expected [20]. Eight cases were testicular cancer, twice the expected (SIR = 1.9, 95% CI 0.8 – 3.7), six of which occurred among the deployed in outdoor missions (6 observed vs 2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9). Cancer of the haemolymphatic organs were five against 3.5 expected (SIR = 1.4, 95% CI 0.5 – 3.3) and mainly occurred in indoor occupations. Other cancer sites were represented by more than one case: lung cancer (1 observed vs 0.8 expected), rectum cancer (2 vs 1.0 expected for colorectal cancer), bladder cancer (2 vs 0.7), melanoma (2 vs 2.2), brain cancer (3 vs 2.6), and leukaemia (2 vs 0.5) [20]. Among the Danish cohort, seven bladder cancer cases and four bone cancers were observed, more than twice and six-fold the expected (95% CI 0.9 – 4.5, and 1.6 – 15.3, respectively) [21]. However, three of the six cases of bone cancer were diagnosed within one year from deployment, which would exclude an association with exposure to x and ɣ radiation, the only risk factor for such cancer reported by IARC [28], at the mission site. No cases of bone cancer were observed in the other four studies. Haemolymphatic cancer cases were consistent with the expectation (11 observed vs 10.2 expected; SIR = 1.08, 95% CI 0.61 – 1.90), and there were three cases of Hodgkin’s lymphoma, corresponding exactly to the expectation (95% CI 0.2 – 2.9), and four cases of leukaemia (SIR = 1.4, 95% CI 0.4 – 3.5). Cases of testicular cancer were 24, close to the expectation from the Danish Cancer Registry data (SIR = 1.2, 95% CI 0.8 – 1.8). Other cancer sites represented by two or more cases included the the colon-rectum (9 vs 4.0, SIR = 2.25, 95% CI 1.19 – 4.25), the lung (2 observed vs 5 expected), the kidney (2 vs 1.8), melanoma (5 vs 7.1), the brain (9 vs 7.5), and the stomach (2 vs 1.6, nor shown in Table 3) [21].\nIn the Norwegian study, the incident cancer cases observed up to 2016 slightly exceeded the expectation (SIR = 1.11, 95% CI 0.93 – 1.31), as it was the case for melanoma (16 vs 11.7; SIR = 1.36, 95% CI 0.78 – 2.22) [22], which had shown a 90% excess (95% CI 0.95 – 3.40) in a previous report on the 1999-2011 follow-up results [28]. There was no excess of testicular cancer (25 cases observed vs 24.6 expected; SIR = 1.02, 95% CI 0.66 – 1.50), thyroid cancers (4 vs 2.5, SIR = 1.60, 95% CI 0.43 – 4.09), and haemolymphatic cancer (18 vs 16.1, SIR = 1.16, 95% CI 0.66 – 1.77), with 8 cases of leukaemia vs 6.4 expected, and 10 vs 9.7 cases of lymphoma, Hodgkin’s and non-Hodgkin combined. A list of other cancer sites with two cases or more included the following: oral cavity and pharynx (5 vs 3.1), oesophagus (2 vs 1.1), colon-rectum (6 vs 11.5), pancreas (4 vs 1.6), lung (5 vs 5.7), prostate (17 vs 14.9), kidney (3 vs 5.3), bladder (8 vs 4.1 expected), brain (8 vs 10.9), and soft tissue (2 vs 0.9) [22].\n Metanalysis of cancer incidence Table 4 shows the results of the metanalysis of the follow-up studies of the peacekeeping cohorts deployed in Bosnia and Kosovo for all cancers, the most prevalent specific cancer sites, and all those showing an increase in risk in at least one study and occurring in at least three studies, namely colorectal cancer, lung cancer, skin melanoma, thyroid cancer, bladder cancer, kidney cancer, testicular cancer, brain cancer, all haemolymphatic cancers, all lymphomas combined, Hodgkin’s lymphoma, non-Hodgkin lymphoma, and leukaemia.\nMetanalysis of studies on cancer incidence among the peacekeeping forces deployed in Bosnia and Kosovo\nNote: FES= Fixed Effect Estimate; RES=Randon Effect Estimate\nThe results of the Dutch study were only available for all cancers, lung cancer, all haemolymphatic cancer, and leukaemia [19].\nOverall, the meta-estimates suggest a reduction in cancer incidence among the peacekeeping forces in Bosnia and Kosovo. Significant heterogeneity in risk of total cancers was detected, with more than 90% of the variance explained by heterogeneity, as well as for for colorectal cancer and melanoma, while the Q-value was elevated but not significant for testicular cancer, and leukaemia. A significant two-fold meta-estimate of bladder cancer risk was based on the three Scandinavian studies only. The Grandolfo et al. study did not observe any case of bladder cancer, while the expected were 5.3. Assuming 0.5 observed cases, the SIR was 0.10, with a lower 95% confidence interval of 0.01; the resulting Q-value became 25.17, highly suggestive of heterogeneity with the rest of the studies (p < 0.0001). Lack of an association and homogeneity across findings was observed for thyroid cancer, kidney cancer, brain cancer, cancer of the haemolymphatic system, and particularly Hodgkin and non-Hodgkin lymphoma.\nTrends by surrogates for exposure were explored using different strategies. The Norwegian study explored the effect of duration of the peacekeeping mission on the risk of specific cancers: the risk of bladder cancer was more elevated among the Norwegian military whose mission lasted one year or more (SIR = 2.70, 95% CI 0.74 – 6.92, based on four observed cases vs 1.48 expected); testicular cancer and lymphomas were also moderately more frequent than expected in this group. In this study, however, length of exposure was not a good surrogate for cumulative exposure, as the average time spent in Bosnia and Kosovo was 10.2 months (95% CI 10.09 – 10.31) and only 6% of the Norwegian troops participated in three or more missions [22]. The number of deployments did not affect cancer incidence among the Dutch cohort [19]. The Swedish study explored sub-cohorts of indoor or outdoor activities, with the last further divided in participation in convoys or in destroying ammunition. Total cancer was in excess among those involved in convoy operations (5 observed, 1.7 expected, SIR = 3.0, 95% CI 1.0 – 7.0); testicular cancer (6 out of 10 cases) concentrated among those engaged in outdoor operations (2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9); melanoma, thyroid cancer, brain cancer, and haemolymphatic cancer were in excess among those involved in indoor operations. The two Hodgkin’s lymphoma cases were equally shared between the indoor and ourdoor operations subcohorts [20].\nTable 4 shows the results of the metanalysis of the follow-up studies of the peacekeeping cohorts deployed in Bosnia and Kosovo for all cancers, the most prevalent specific cancer sites, and all those showing an increase in risk in at least one study and occurring in at least three studies, namely colorectal cancer, lung cancer, skin melanoma, thyroid cancer, bladder cancer, kidney cancer, testicular cancer, brain cancer, all haemolymphatic cancers, all lymphomas combined, Hodgkin’s lymphoma, non-Hodgkin lymphoma, and leukaemia.\nMetanalysis of studies on cancer incidence among the peacekeeping forces deployed in Bosnia and Kosovo\nNote: FES= Fixed Effect Estimate; RES=Randon Effect Estimate\nThe results of the Dutch study were only available for all cancers, lung cancer, all haemolymphatic cancer, and leukaemia [19].\nOverall, the meta-estimates suggest a reduction in cancer incidence among the peacekeeping forces in Bosnia and Kosovo. Significant heterogeneity in risk of total cancers was detected, with more than 90% of the variance explained by heterogeneity, as well as for for colorectal cancer and melanoma, while the Q-value was elevated but not significant for testicular cancer, and leukaemia. A significant two-fold meta-estimate of bladder cancer risk was based on the three Scandinavian studies only. The Grandolfo et al. study did not observe any case of bladder cancer, while the expected were 5.3. Assuming 0.5 observed cases, the SIR was 0.10, with a lower 95% confidence interval of 0.01; the resulting Q-value became 25.17, highly suggestive of heterogeneity with the rest of the studies (p < 0.0001). Lack of an association and homogeneity across findings was observed for thyroid cancer, kidney cancer, brain cancer, cancer of the haemolymphatic system, and particularly Hodgkin and non-Hodgkin lymphoma.\nTrends by surrogates for exposure were explored using different strategies. The Norwegian study explored the effect of duration of the peacekeeping mission on the risk of specific cancers: the risk of bladder cancer was more elevated among the Norwegian military whose mission lasted one year or more (SIR = 2.70, 95% CI 0.74 – 6.92, based on four observed cases vs 1.48 expected); testicular cancer and lymphomas were also moderately more frequent than expected in this group. In this study, however, length of exposure was not a good surrogate for cumulative exposure, as the average time spent in Bosnia and Kosovo was 10.2 months (95% CI 10.09 – 10.31) and only 6% of the Norwegian troops participated in three or more missions [22]. The number of deployments did not affect cancer incidence among the Dutch cohort [19]. The Swedish study explored sub-cohorts of indoor or outdoor activities, with the last further divided in participation in convoys or in destroying ammunition. Total cancer was in excess among those involved in convoy operations (5 observed, 1.7 expected, SIR = 3.0, 95% CI 1.0 – 7.0); testicular cancer (6 out of 10 cases) concentrated among those engaged in outdoor operations (2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9); melanoma, thyroid cancer, brain cancer, and haemolymphatic cancer were in excess among those involved in indoor operations. The two Hodgkin’s lymphoma cases were equally shared between the indoor and ourdoor operations subcohorts [20].", "Table 3 summarises the results of the individual studies. The results of the Italian study updated by Grandolfo et al. showed a 2.3-fold excess of Hodgkin’s lymphoma (SIR = 2.26, 95% CI 1.31 –3.93), based on 12 observed cases against 5.3 expected [2]. The risk of NHL was not elevated (8 observed vs 7 expected cases; SIR = 1.14, 95% CI 0.57 – 2.29), and there were two cases of leukaemia vs 3.1 expected (SIR = 0.64, 95% CI 0.16 – 2.52). The other cancer cases were three thyroid tumours (5 expected), four cases of testicular cancer (11.1 expected), four colorectal cancer cases (4.6 expected), two brain cancers (4.3 expected), three cases of melanoma (2.8 expected), two cases of lung cancer (7.6 expected), and one of kidney cancer (2.2 expected). There were also one case each of cancer of the pharynx, larynx and stomach, of which only stomach cancer was represented in another study, the Denmark cohort study (2 observed vs 1.6 expected); therefore, the expected events were not estimated for these cancers. The overall 22 observed solid tumours were much less than the 64.7 expected estimated from the incidence data of the southern Italy Cancer Registries (SIR = 0.34, 95% CI 0.23 – 0.51), as it was the case for total cancers (SIR = 0.54, 95% CI 0.41 – 0.73).\nResults of the individual cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo\nThe same Italian cohort was included in another three studies. Peragallo et al. took profit from the implementation of the Cancer Surveillance Program of the Army personnel, which was initiated in January 2001, to extend the follow-up to 31 December 2007 [25]. Their cohort included 58,413 troops who participated in at least one mission in Bosnia or Kosovo (a minimum of two months) from 1996-2007 [25], about 16,000 more than the cohort assembled by the Commission of the Ministry of Defence. In respect to the Grandolfo et al. update of the report by the Commission of the Italian Ministry of Defence, there were two main differences: 1) the excess risk of Hodgkin’s lymphoma vanished (20 observed cases vs 19.86 expected for the Bosnia and Kosovo subsohorts combined; SIR = 1.01, 95% CI 0.54 – 1.88). An analysis by year of diagnosis showed that these cases clustered in the year 2000 in Bosnia and 2001 in Kosovo, and subsequently declined; and 2) a significant excess of thyroid cancer (24 cases vs 15.42 expected SIR = 1.56, 95% CI 1.05 – 2.32) showed up, equally shared by the soldiers deployed in Bosnia and Kosovo. The figures for the rest of the cancer sites were also largely below the expectation, confirming the Grandolfo et al. observation.\nA major concern in the Peragallo study, acknowledged by the authors, was the likely incomplete retrieval of the incident cases, because of a substantial proportion of retirements among the soldiers deployed in the Balkans (24.9% up to 2003), who might have referred to the National Health System. Indeed, only the fraction of the retired who applied for compensation, assuming that exposures during the service had caused their disease, could be identified, which sheds uncertainty about the size of the lost incident cases. In a second paper [26], Peragallo et al. used a capture-recapture technique with two estimates of the incident cancer cases in 2001-2007 among the whole Italian military, whether deployed or not. The two methods yielded substantially different estimates of the total incident cases, ranging 571- 688 cases vs 371 detected through the Army Cancer Surveillance Program, corresponding to a loss between 35-46%. While it is conceivable that the loss of cases might have been greater among the non-deployed, there is no evidence that it was so. Besides, the denominator Peragallo et al. used to calculate the standardized incidence ratios was based on the number of soldiers deployed annually for the first time in Bosnia and in Kosovo, instead of the standard person-years count. About 42% of the cohort participated in multiple missions. Thirty-eight per cent of those first deployed in Kosovo and 41% of those first deployed in Bosnia were also deployed in the alternate intervention site during the subsequent missions. Whether these always counted once was not clarified. Still, these drawbacks would not explain the excess of thyroid cancer, which would stand as significant.\nAnother paper was published more recently on the overall cases recorded by the Army Cancer Surveillance Program up to 2012 [27]. The authors compared two sub-cohorts, one including the never-deployed soldiers, and another including all those who participated in any mission anywhere in the world, with no possible identification of the deployment site. The results of this paper highlighted associations with the condition of deployment abroad, which, in most instances, were specific by corps subgroup. Also, the use of 90% confidence intervals instead of the traditional 95%, along with the large number of comparisons made and the small number of events for some specific cancer sites, doubled the area to reject the null hypothesis; such strategy might have generated a substantial number of spurious positive findings.\nAs it concerns the rest of the studies (Table 3), the Dutch study did not detect an excess of incidence of all cancers and specifically of haemolymphatic cancer [19]. Among the Swedish military, there were 26 cases of cancer against 21.8 expected [20]. Eight cases were testicular cancer, twice the expected (SIR = 1.9, 95% CI 0.8 – 3.7), six of which occurred among the deployed in outdoor missions (6 observed vs 2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9). Cancer of the haemolymphatic organs were five against 3.5 expected (SIR = 1.4, 95% CI 0.5 – 3.3) and mainly occurred in indoor occupations. Other cancer sites were represented by more than one case: lung cancer (1 observed vs 0.8 expected), rectum cancer (2 vs 1.0 expected for colorectal cancer), bladder cancer (2 vs 0.7), melanoma (2 vs 2.2), brain cancer (3 vs 2.6), and leukaemia (2 vs 0.5) [20]. Among the Danish cohort, seven bladder cancer cases and four bone cancers were observed, more than twice and six-fold the expected (95% CI 0.9 – 4.5, and 1.6 – 15.3, respectively) [21]. However, three of the six cases of bone cancer were diagnosed within one year from deployment, which would exclude an association with exposure to x and ɣ radiation, the only risk factor for such cancer reported by IARC [28], at the mission site. No cases of bone cancer were observed in the other four studies. Haemolymphatic cancer cases were consistent with the expectation (11 observed vs 10.2 expected; SIR = 1.08, 95% CI 0.61 – 1.90), and there were three cases of Hodgkin’s lymphoma, corresponding exactly to the expectation (95% CI 0.2 – 2.9), and four cases of leukaemia (SIR = 1.4, 95% CI 0.4 – 3.5). Cases of testicular cancer were 24, close to the expectation from the Danish Cancer Registry data (SIR = 1.2, 95% CI 0.8 – 1.8). Other cancer sites represented by two or more cases included the the colon-rectum (9 vs 4.0, SIR = 2.25, 95% CI 1.19 – 4.25), the lung (2 observed vs 5 expected), the kidney (2 vs 1.8), melanoma (5 vs 7.1), the brain (9 vs 7.5), and the stomach (2 vs 1.6, nor shown in Table 3) [21].\nIn the Norwegian study, the incident cancer cases observed up to 2016 slightly exceeded the expectation (SIR = 1.11, 95% CI 0.93 – 1.31), as it was the case for melanoma (16 vs 11.7; SIR = 1.36, 95% CI 0.78 – 2.22) [22], which had shown a 90% excess (95% CI 0.95 – 3.40) in a previous report on the 1999-2011 follow-up results [28]. There was no excess of testicular cancer (25 cases observed vs 24.6 expected; SIR = 1.02, 95% CI 0.66 – 1.50), thyroid cancers (4 vs 2.5, SIR = 1.60, 95% CI 0.43 – 4.09), and haemolymphatic cancer (18 vs 16.1, SIR = 1.16, 95% CI 0.66 – 1.77), with 8 cases of leukaemia vs 6.4 expected, and 10 vs 9.7 cases of lymphoma, Hodgkin’s and non-Hodgkin combined. A list of other cancer sites with two cases or more included the following: oral cavity and pharynx (5 vs 3.1), oesophagus (2 vs 1.1), colon-rectum (6 vs 11.5), pancreas (4 vs 1.6), lung (5 vs 5.7), prostate (17 vs 14.9), kidney (3 vs 5.3), bladder (8 vs 4.1 expected), brain (8 vs 10.9), and soft tissue (2 vs 0.9) [22].", "Table 4 shows the results of the metanalysis of the follow-up studies of the peacekeeping cohorts deployed in Bosnia and Kosovo for all cancers, the most prevalent specific cancer sites, and all those showing an increase in risk in at least one study and occurring in at least three studies, namely colorectal cancer, lung cancer, skin melanoma, thyroid cancer, bladder cancer, kidney cancer, testicular cancer, brain cancer, all haemolymphatic cancers, all lymphomas combined, Hodgkin’s lymphoma, non-Hodgkin lymphoma, and leukaemia.\nMetanalysis of studies on cancer incidence among the peacekeeping forces deployed in Bosnia and Kosovo\nNote: FES= Fixed Effect Estimate; RES=Randon Effect Estimate\nThe results of the Dutch study were only available for all cancers, lung cancer, all haemolymphatic cancer, and leukaemia [19].\nOverall, the meta-estimates suggest a reduction in cancer incidence among the peacekeeping forces in Bosnia and Kosovo. Significant heterogeneity in risk of total cancers was detected, with more than 90% of the variance explained by heterogeneity, as well as for for colorectal cancer and melanoma, while the Q-value was elevated but not significant for testicular cancer, and leukaemia. A significant two-fold meta-estimate of bladder cancer risk was based on the three Scandinavian studies only. The Grandolfo et al. study did not observe any case of bladder cancer, while the expected were 5.3. Assuming 0.5 observed cases, the SIR was 0.10, with a lower 95% confidence interval of 0.01; the resulting Q-value became 25.17, highly suggestive of heterogeneity with the rest of the studies (p < 0.0001). Lack of an association and homogeneity across findings was observed for thyroid cancer, kidney cancer, brain cancer, cancer of the haemolymphatic system, and particularly Hodgkin and non-Hodgkin lymphoma.\nTrends by surrogates for exposure were explored using different strategies. The Norwegian study explored the effect of duration of the peacekeeping mission on the risk of specific cancers: the risk of bladder cancer was more elevated among the Norwegian military whose mission lasted one year or more (SIR = 2.70, 95% CI 0.74 – 6.92, based on four observed cases vs 1.48 expected); testicular cancer and lymphomas were also moderately more frequent than expected in this group. In this study, however, length of exposure was not a good surrogate for cumulative exposure, as the average time spent in Bosnia and Kosovo was 10.2 months (95% CI 10.09 – 10.31) and only 6% of the Norwegian troops participated in three or more missions [22]. The number of deployments did not affect cancer incidence among the Dutch cohort [19]. The Swedish study explored sub-cohorts of indoor or outdoor activities, with the last further divided in participation in convoys or in destroying ammunition. Total cancer was in excess among those involved in convoy operations (5 observed, 1.7 expected, SIR = 3.0, 95% CI 1.0 – 7.0); testicular cancer (6 out of 10 cases) concentrated among those engaged in outdoor operations (2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9); melanoma, thyroid cancer, brain cancer, and haemolymphatic cancer were in excess among those involved in indoor operations. The two Hodgkin’s lymphoma cases were equally shared between the indoor and ourdoor operations subcohorts [20].", "This systematic review and metanalysis of the epidemiological studies conducted among the peacekeeping troops deployed in Bosnia and Kosovo suggests an excess of bladder cancer incidence limited to the Scandinavian cohorts. When considering the Peragallo et al. results, instead of those by Grandolfo et al., there was also a marginal excess risk of thyroid cancer (FES = RES = 1.47, 95% CI 1.00 – 1.98). Total cancer incidence was below the expected figures, and no other cancer site showed an excess. There were isolated excesses of colorectal cancer and bone cancer in the Danish cohort, and of leukaemia (based on two cases, one defined as myelomatosis and one case of chronic myeloid leukaemia) in the Swedish cohort. These were most likely chance findings. The excess of Hodgkin’s lymphoma in the Italian cohort was limited to the first period of observation, and reached its peak in the year 2000, when six cases occurred, generating the alarm in the media and in the public [1, 2, 25]. The observed excess was statistically robust in the first years of follow-up, and it eventually flattened down to match the expectation. This might have been a very rare chance event. Still, based on the first report of the Commission of the Italian Ministry of Defence, eight out 11 cases of Hodgkin’s lymphoma occurred among the 25,083 deployed in Sarajevo and surroundings (135,866.25 person-years, incidence rate 5.89 x 10-5), while the remaining three HL cases had been deployed in Pec, Kosovo (51,526.67 person-years, incidence rate 5,82 x 10-5), and no cases occurred among the 21,348 soldiers deployed elsewhere in Bosnia and Kosovo. These eight HL cases occurred among the military who started their mission between 1996-1999, one year after the last NATO airstrike, 8 – 51 months after initiating their mission, which lasted a median of 167 days (range 80-388), similar to the median duration of the rest of the Italian contingent (161,5 rays, range 1-995). Such features suggest that two Hodgkin’s lymphoma clusters occurred, one more robust in Sarajevo and another in Pec, involving three cases only. The rest of the Italian troops were not affected.\nThe healthy worker effect has been called as an explanation for the low cancer incidence among the Italian military cohorts [18, 26]. No such effect was visible in the Scandinavian cohorts, which would raise doubts about the incomplete retrieval of the incident cases affecting the Italian cohort studies [18]. Alternatively, the selection criteria for recruitment in the army might have been more severe in Italy, compared to the Scandinavian countries. A criticism against the analysis conducted by Peragallo et al. was that the population covered by the Southern Italy Cancer Registries would have been the proper reference, as two-thirds of the Italian cohort originated from southern Italy and the islands, while the expected cases were derived from the incidence data of the Italian Cancer Registries operating at that time, that were mostly in northern Italy [18]. For instance, the incidence rate of haematological malignancies (HM) and HL prevailed among the Italian soldiers from the northern regions (crude rate: HM = 11.1 x 10-5; HL = 7.4 x 10-5) in respect to those from the southern regions (crude rate: HM = 8.5 x 10-5; HL = 5.7 x 10-5) [1, 26]. Therefore, for the purposes of this metanalysis, the expected events in the Italian cohort were re-calculated using the age-, gender-, and year-specific incidence rates from the Southern Italy Cancer Registries combined. The only substantial change in respect to the original results was a decrease in the expected cases of melanoma (7.3 based on all the Italian Cancer Registries vs 2.8 based on the Southern Italy Cancer Registries), which was reflected by an increase in the melanoma SIR (from SIR = 0.41, 95% CI 0.12 – 1.08, to SIR = 1.07, 95% CI 0.35 – 3.32). There were no substantial changes in the risk estimates for the other cancer sites. A third plausible explanation might be the different age ranges of the cohorts, as the healthy worker effect tends to be more evident at younger ages. If so, a younger Italian cohort might account at least in part for the observed heterogeneity in the results. This explanation might be valid in comparison with the Danish cohort, which included subjects up to 65-year-old. However, the age range of the Norwegian cohort was similar to that among the Italians; only 13% of the Dutch cohort were older than 20 at the end of their mission, and the Swedish study did not provide information on the age range of cohort members. Therefore, it seems implausible that different age ranges among the cohorts might have generated the observed heterogeneity in the results.\nLagorio et al. reviewed the results of the three studies that analysed HL incidence among the peacekeeping forces in Bosnia and Kosovo and the studies conducted among the U.S. and U.K. military who were engaged in the first Gulf War, under the hypothesis that a shared exposure to depleted uranium occurred in both events [18]. In their conclusion, the authors stated lack of evidence of an increase in the risk of tumours associated with radiation, lack of evidence of exposure to DU in the operating theatres, apart from internal exposure due to the retained shrapnel, and sporadic associations with specific cancer sites in individual studies.\nAccording to IARC, twenty-seven agents or working processes, including smoking, working in aluminium smelting plants, aromatic amines, polycyclic aromatic hydrocarbons, painting, dry cleaning, diesel exhausts, and infection by schistosoma haematobium, are certain or probable causes of bladder cancer [29]. There are no clues that any such exposures might have occurred at biologically relevant levels among the military deployed one year or less on average. Also, the significant excess was based on three Scandinavian studies only with 17 observed cases overall.\nAs for thyroid cancer, IARC lists only radiation as a certain causative agent [29]. None of the other conditions which have been associated with thyroid cancer might have credibly contributed to increasing incidence among the peacekeeping forces deployed in Bosnia and Kosovo. As a result, chance is the most likely explanation of the significant excess mortality by this cancer.\nAs it concerns the excess of Hodgkin’s lymphoma observed in the first follow-up of the Italian cohort, there might be plausible explanations, not previously considered. Viral infections, including the Epstein-Barr virus (EBV), the hepatitis B and C viruses, the human immunodeficiency virus type 1 (HIV-1), and the human T-lymphotrophic virus type 1 (HTLV-1) infections, have been identified as Group 1, human carcinogens with lymphomas, and specifically Hodgkin lymphoma, as the main target [30]. The Sarajevo siege, which lasted from April 1992 through February 1996, was the longest in modern history. Stress, sleep loss, the precarious hygiene conditions, the scarcity of water, frequent shortages of electric power, the dust, the difficulty in maintaining a regular and sufficient food intake, not to mention the unavailability and the high cost of medical supplies, all such conditions and others might have favoured abnormal responses to infectious agents, so contributing to the observed increase in incidence of a few cancers among the local population and the interposition forces as well. Besides, a seroprevalence survey of hantavirus detected the highest prevalence in the population of some areas of Bosnia and Herzegovina [31], where epidemics of haemorrhagic fever with renal syndrome (HFRS) caused by rodent-borne hantaviruses occurred. In the Swedish population, the risk of Lymphoma (including Hodgkin’s Lymphoma) was elevated among HFRS patients, which was highest within one year from the diagnosis, and tended to decrease afterwards [32]. Other viral infections were documented among peacekeeping forces in the Balkans [33-36], including phlebovirus infections which in some cases might mimic multiple myeloma [37]. Therefore, the hypothesis of an abnormal response to an undefined infectious agent among the Italian military deployed in Sarajevo and Pec would be worth considering.\nIf any adverse health effect followed the environmental exposures consequent to the war operations, likely it would have most severely hit the local population. However, as the UNEP report pointed out, problems related to the massive migration from the war areas, the lack of Cancer Registries, and the disruption of administrative services, including death registries, created difficult circumstances for epidemiological investigations on the general population of the Balkan war areas [7]. To the best of the available knowledge, only one study explored cancer incidence among the Sarajevo population in 1998-2004 and compared it to the expected cases from the regional and World population rates [38]. The results suggested that the incidences of lung cancer, breast cancer, liver cancer, and thyroid cancer were similar to that of other eastern European countries. On the other hand, laryngeal cancer, bladder cancer, brain cancer, sarcomas of the bone and cartilage, and malignant lymphomas, including Hodgkin’s and non-Hodgkin’s lymphomas, were significantly increased [38]. The author acknowledged limitations, including the possibility of duplicates in the reported cases. Anyhow, it is difficult to discriminate between direct emissions from war operations and their side effects, previously discussed, as possible determinants. High mortality rates directly or indirectly related to the war were also observed among the Serbian population [39], and the Albanian population of Kosovo [40], although neither report explored cancer mortality.\nLimitations in this metanalysis include the small number of studies, as only a few countries complied with the NATO COMEDS recommendation, aggravated by the fact that the Italian study by Grandolfo et al. and the Dutch study restricted the analysis to cancer of the lymphatic organs. Although estimates of the expected events for other cancers were possible for the Italian study, several meta-estimates were based on fewer studies and were, therefore, less reliable. Three studies conducted subgroup analyses in the attempt of detecting higher exposure levels to whatever environmental agents might have been associated with the deployment in Bosnia and Kosovo; mission duration, indoor/outdoor tasks, and first deployment in Bosnia or Kosovo were considered in one study each. These analyses did not add further information, and, being different from one study to another, there was no possibility of calculating summary risk estimates.", "This systematic review and metanalysis of the epidemiological studies of the NATO peacekeeping forces in Bosnia and Kosovo confirms that cancer incidence overall was not increased. Instead, in most instances, specific cancer cases were significantly below the expectation, while bladder cancer showed an excess, based on the three Scandinavian studies only; thyroid cancer exceeded the expectation when considering the Peragallo et al. study, which results might have been affected by incomplete retrieval of the relevant events; and the elevated risk of Hodgkin’s lymphoma was limited to the first years after deployment, However, interpretation of such findings is weakened by the above-highlighted limitations, the lack of evidence that the claimed exposures occurred, and the lack of evidence of a link between those exposures and the observed cancer outcomes. Among the hypothetical exposures examined, only inhaled ultrafine particles might be plausibly associated with the observed access of bladder cancer among the Scandinavian peacekeepers [41]. However, lung cancer risk, the most likely outcome of exposure to inhaled particles, was strongly decreased in all cohorts, which would raise reasonable doubts about whether such exposure might have played a role. It is unclear what determinants, apart from chance, might explain the excess of thyroid cancer. Among the group 1-2A human carcinogens, the IARC lists radioiodine, x and ɣ radiation as determinants of thyroid cancer [28]. It is unknown whether such exposures or others of aetiological relevance occurred among the cases of thyroid cancer diagnosed in the NATO peacekeepers. As it concerns Hodgkin’s lymphoma, the excess among the Italian military was statistically robust, but it did not occur in the other cohorts nor it did persist beyond the first years after deployment. Such observations would suggest a link with infectious agents, such as those which were observed in the local population. After twenty years of legal trials and public controversy, the vague definition of the exposures claimed as responsible, the small number of events, the small size of some cohorts, and the incomplete retrieval of the incident cases in the extended follow-up of the Italian cohort, along with the short period of follow-up in some studies [18], contribute to shed persisting uncertainty on the origin of the increased incidence of a few tumours among the NATO military operating as peacekeeping forces in Bosnia and Kosovo.\nAlthough the specific causes remain unknown, the Italian soldiers who suffered from Hodgkin’s lymphoma upon returning from their mission to Bosnia and Kosovo and their families obtained just compensation. The temporal sequence was enough to acknowledge the link with their occupation. Still, it is possible to rule out the unproven and unlikely exposure to depleted uranium or metals or inhaled particles." ]
[ "intro", "methods", null, null, "results", null, null, "discussion", "conclusions" ]
[ "Cancer incidence", "military medicine", "cohort study", "environmental exposure" ]
Introduction: The twentieth anniversary of the publication of the “Preliminary Report of the Ministry of Defence Commission on the incidence of malignant neoplasms among the military deployed in Bosnia and Kosovo” on 19 March 2001 [1] has passed in complete silence. The current pandemic might have obscured the event in sharp contrast with the broad coverage in the national and international media, from the year 2000 onwards, that focussed mainly on the cases of lymphatic cancer among the NATO peacekeeping military forces deployed in the Balkans. A parallel with the Gulf war syndrome pointed at the never documented exposure to depleted uranium (DU) from the ammunition used in the NATO bombing as responsible for the excess. Veterans who developed cancers and the families of those who succumbed submitted numerous applications for compensation, claiming that the exposure to a wide range of plausible and implausible factors was the cause of their diseases. Most claims pointed at the use of DU ammunition by the NATO forces in Bosnia, and Kosovo. However, in the worst-case scenario [2], the effective dose of absorbed radiation might have reached around 0.15 mSv, 15% of the effective dose limit in one year for the general population [3] and between 1-7.5% of the absorbed dose during a CT scan, depending on the site and the type of exam [4]. Besides, the environmental monitoring program conducted by the United Nation Environmental Program (UNEP) in 11 Bosniak sites, seven years after the end of the Balkan war, did not detect significant contamination of the soil, water, foodstuffs, crops, and vegetables [5, 6]. However, the search was restricted to a few spots, due to unexploded land mines [7]. Also, the average urinary total uranium in Italian, German, and Canadian veterans deployed in Bosnia and Kosovo, was comparable to the respective general population [1, 8, 9], and the ratios between 235U, 236U, and 238U isotopes were similar to that of natural uranium [8, 9]. Therefore, the unproven exposure to DU would be an unlikely explanation for the excess incidence of bladder cancer, thyroid cancer, and Hodgkin lymphoma among the NATO peacekeeping forces reported by individual studies. Once the evidence ruled out the DU hypothesis, exposure to nanoparticles and metals took the stage. However, the few studies conducted so far in military settings have shown a rapid dilution of nanoparticle concentration up to 400 metres in the wind direction from the source of emission [10], and deaths did not exceed the expectation in a small military cohort with potential exposure to nanoparticles [11]. Inhaling fine and ultrafine a-emitting DU particles might be a plausible risk factor for cancer at the site of contact (the lung) and deposit (bone and kidney), but not those most frequently claimed as associated. Post-deployment biomonitoring of metallic elements showed concentrations always within the reference values for the general population [12, 13]. Although various scientific commissions concluded that the environmental health consequences of using DU ammunition were negligible, the NATO Command of Military Medicine Services (COMEDS) recommended conducting epidemiological investigations on the long-term health outcomes among the military who participated in the peacekeeping operations [1]. The Commission of the Italian Ministry of Defence acknowledged that the yet unproven exposure of the Italian soldiers to DU had to be considered extremely low. However, it did not exclude a possible link with Hodgkin’s lymphoma [1], based on a positive association reported in a study of U.S. uranium refiners and smelters (4 observed cases vs 1.6 expected) [14], despite opposite findings of a metanalysis of similar studies [15]. Claims about the side effects of the vaccination protocols have also been raised. However, an Italian study did not find any association between vaccination and micronuclei frequency in lymphocytes of Italian troops deployed in Iraq [12], and a follow-up study of a small military cohort did not observe any effect of multiple vaccinations on the cause-specific mortality [11]. Thirty-four countries, 24 affiliated and 10 non-affiliated with NATO, intervened in Bosnia and Kosovo at different stages between 1989 and 2011 with a total of over 100,000 men and women. A few countries complied with the NATO COMEDS recommendations and conducted studies on cancer incidence or mortality among the respective peacekeeping cohorts in Kosovo e Bosnia. A systematic review and a meta-analysis of these studies were conducted to explore with adequate statistical power the observed associations with different cancer sites that emerged from the individual studies. Methods: This systematic review followed the principles of the PRISMA Statement for Systematic Reviews and Meta-Analyses and the related check-list [16]. Search strategy A bibliographic search was conducted on PubMed (https://www.ncbi.nlm.nih.gov/pubmed/) up to 8 July 2021 with the following search string: “(Balkan war OR Bosnia OR Kosovo) AND (veterans OR military OR soldiers OR peacekeepers OR peacekeeping forces OR troops) AND (mortality OR incidence OR epidemiology OR cohort study)”. The list of references of each article detected through the automatic search was double-checked to identify further publications. Relevant studies were identified through the title, the abstract, and the text, in case of ambiguity. A bibliographic search was conducted on PubMed (https://www.ncbi.nlm.nih.gov/pubmed/) up to 8 July 2021 with the following search string: “(Balkan war OR Bosnia OR Kosovo) AND (veterans OR military OR soldiers OR peacekeepers OR peacekeeping forces OR troops) AND (mortality OR incidence OR epidemiology OR cohort study)”. The list of references of each article detected through the automatic search was double-checked to identify further publications. Relevant studies were identified through the title, the abstract, and the text, in case of ambiguity. Study selection and inclusion criteria The inclusion criteria for the studies contributing to this review were the following: cohort studies of NATO peacekeeping military forces, deployed in Bosnia and Kosovo during and/or in the aftermath of the Balkan conflict, with cancer incidence data, written in English or any European Language. Figure 1 describes the selection process. Overall, we retrieved nine cohort studies of cancer incidence among peacekeeping forces; after excluding the original report of the Commission of the Italian Ministry of Defence, two other Italian studies with methodological issues, and a further Italian cohort study with unidentifed site of the mission, five studies were retained for metanalysis. Three mortality studies, one each from Finland, Italy, and the United States, were excluded from further analysis as only the study conducted in Italy had results by specific cancer site. All the cohorts included a minority of women separately analyzed in a few studies; however, overall, a female cohort would have been too small for any useful inference to be drawn about gender-specific findings. The retained Italian study, by Grandolfo et al., was an update of the final report of the Commission of the Italian Ministry of Defence [1], which extended the follow-up for another seven months, up to 31 December 2001, and detected nine more incident cancer cases [2]. Both analyses reported the absolute numbers of all the incident cancer cases but presented standardized incidence rates and risk estimates only for cancer of the lymphatic organs, solid tumours combined, and all cancers. Grandolfo et al. did not provide the person-years count by age groups. However, the 1995-2001 incidence rates of 8 Italian Cancer Registries were available from the IARC CI5 website [17]. Besides, the age-specific number of cases and incidence rates of all cancers reported in the final report of the Commission of the Ministry of Defence allowed us to estimate the person-years up to December 2001. The expected events for each solid cancer occurring in the cohort were calculated by applying the incidence rates from the southern Italy Cancer Registries, specific by 5-year age group in the 20-59 years age range, gender and calendar-year to the respective person-years count. The choice of re-calculating the expected events in the Grandolfo et al. study using the incidence data from the Southern Italy Cancer registries as the reference was based on the fact that two-thirds of the Italian soldiers were from those regions, and because of the large differences in cancer incidence between North and South of Italy [18]. Table 1 shows selected features of the five cancer incidence studies, one each from Italy [2], the Netherlands [19], Sweden [20], Denmark [21], and Norway [22]. Flow diagram of the selection process for the studies retained in the meta-analysis Selected characteristics of the five cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo Notes: *The expected events in the Grandolfo et al. are calculated by applying the incidence rates of the southern Italy Cancer registries active in the respective years of follow-up Data abstracted from each study were the cohort size, the total person-years, year of starting and ending the follow-up, number of observed events for all cancers and for specific cancer sites, and the respective expected events from the age-and sex-specific rates of the reference population. While being aware that the healthy worker effect would be much more likely to occur among severely selected populations, such as the military, the expected from general population rates were selected first because all the studies calculated them, and secondly as the healthy worker effect would be less relevant for neoplastic diseases than respiratory or cardiovascular diseases [23]. Fixed and random effect meta-estimates, and heterogeneity have been calculated with Comprehensive Metanalysis® [24]. The inclusion criteria for the studies contributing to this review were the following: cohort studies of NATO peacekeeping military forces, deployed in Bosnia and Kosovo during and/or in the aftermath of the Balkan conflict, with cancer incidence data, written in English or any European Language. Figure 1 describes the selection process. Overall, we retrieved nine cohort studies of cancer incidence among peacekeeping forces; after excluding the original report of the Commission of the Italian Ministry of Defence, two other Italian studies with methodological issues, and a further Italian cohort study with unidentifed site of the mission, five studies were retained for metanalysis. Three mortality studies, one each from Finland, Italy, and the United States, were excluded from further analysis as only the study conducted in Italy had results by specific cancer site. All the cohorts included a minority of women separately analyzed in a few studies; however, overall, a female cohort would have been too small for any useful inference to be drawn about gender-specific findings. The retained Italian study, by Grandolfo et al., was an update of the final report of the Commission of the Italian Ministry of Defence [1], which extended the follow-up for another seven months, up to 31 December 2001, and detected nine more incident cancer cases [2]. Both analyses reported the absolute numbers of all the incident cancer cases but presented standardized incidence rates and risk estimates only for cancer of the lymphatic organs, solid tumours combined, and all cancers. Grandolfo et al. did not provide the person-years count by age groups. However, the 1995-2001 incidence rates of 8 Italian Cancer Registries were available from the IARC CI5 website [17]. Besides, the age-specific number of cases and incidence rates of all cancers reported in the final report of the Commission of the Ministry of Defence allowed us to estimate the person-years up to December 2001. The expected events for each solid cancer occurring in the cohort were calculated by applying the incidence rates from the southern Italy Cancer Registries, specific by 5-year age group in the 20-59 years age range, gender and calendar-year to the respective person-years count. The choice of re-calculating the expected events in the Grandolfo et al. study using the incidence data from the Southern Italy Cancer registries as the reference was based on the fact that two-thirds of the Italian soldiers were from those regions, and because of the large differences in cancer incidence between North and South of Italy [18]. Table 1 shows selected features of the five cancer incidence studies, one each from Italy [2], the Netherlands [19], Sweden [20], Denmark [21], and Norway [22]. Flow diagram of the selection process for the studies retained in the meta-analysis Selected characteristics of the five cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo Notes: *The expected events in the Grandolfo et al. are calculated by applying the incidence rates of the southern Italy Cancer registries active in the respective years of follow-up Data abstracted from each study were the cohort size, the total person-years, year of starting and ending the follow-up, number of observed events for all cancers and for specific cancer sites, and the respective expected events from the age-and sex-specific rates of the reference population. While being aware that the healthy worker effect would be much more likely to occur among severely selected populations, such as the military, the expected from general population rates were selected first because all the studies calculated them, and secondly as the healthy worker effect would be less relevant for neoplastic diseases than respiratory or cardiovascular diseases [23]. Fixed and random effect meta-estimates, and heterogeneity have been calculated with Comprehensive Metanalysis® [24]. Search strategy: A bibliographic search was conducted on PubMed (https://www.ncbi.nlm.nih.gov/pubmed/) up to 8 July 2021 with the following search string: “(Balkan war OR Bosnia OR Kosovo) AND (veterans OR military OR soldiers OR peacekeepers OR peacekeeping forces OR troops) AND (mortality OR incidence OR epidemiology OR cohort study)”. The list of references of each article detected through the automatic search was double-checked to identify further publications. Relevant studies were identified through the title, the abstract, and the text, in case of ambiguity. Study selection and inclusion criteria: The inclusion criteria for the studies contributing to this review were the following: cohort studies of NATO peacekeeping military forces, deployed in Bosnia and Kosovo during and/or in the aftermath of the Balkan conflict, with cancer incidence data, written in English or any European Language. Figure 1 describes the selection process. Overall, we retrieved nine cohort studies of cancer incidence among peacekeeping forces; after excluding the original report of the Commission of the Italian Ministry of Defence, two other Italian studies with methodological issues, and a further Italian cohort study with unidentifed site of the mission, five studies were retained for metanalysis. Three mortality studies, one each from Finland, Italy, and the United States, were excluded from further analysis as only the study conducted in Italy had results by specific cancer site. All the cohorts included a minority of women separately analyzed in a few studies; however, overall, a female cohort would have been too small for any useful inference to be drawn about gender-specific findings. The retained Italian study, by Grandolfo et al., was an update of the final report of the Commission of the Italian Ministry of Defence [1], which extended the follow-up for another seven months, up to 31 December 2001, and detected nine more incident cancer cases [2]. Both analyses reported the absolute numbers of all the incident cancer cases but presented standardized incidence rates and risk estimates only for cancer of the lymphatic organs, solid tumours combined, and all cancers. Grandolfo et al. did not provide the person-years count by age groups. However, the 1995-2001 incidence rates of 8 Italian Cancer Registries were available from the IARC CI5 website [17]. Besides, the age-specific number of cases and incidence rates of all cancers reported in the final report of the Commission of the Ministry of Defence allowed us to estimate the person-years up to December 2001. The expected events for each solid cancer occurring in the cohort were calculated by applying the incidence rates from the southern Italy Cancer Registries, specific by 5-year age group in the 20-59 years age range, gender and calendar-year to the respective person-years count. The choice of re-calculating the expected events in the Grandolfo et al. study using the incidence data from the Southern Italy Cancer registries as the reference was based on the fact that two-thirds of the Italian soldiers were from those regions, and because of the large differences in cancer incidence between North and South of Italy [18]. Table 1 shows selected features of the five cancer incidence studies, one each from Italy [2], the Netherlands [19], Sweden [20], Denmark [21], and Norway [22]. Flow diagram of the selection process for the studies retained in the meta-analysis Selected characteristics of the five cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo Notes: *The expected events in the Grandolfo et al. are calculated by applying the incidence rates of the southern Italy Cancer registries active in the respective years of follow-up Data abstracted from each study were the cohort size, the total person-years, year of starting and ending the follow-up, number of observed events for all cancers and for specific cancer sites, and the respective expected events from the age-and sex-specific rates of the reference population. While being aware that the healthy worker effect would be much more likely to occur among severely selected populations, such as the military, the expected from general population rates were selected first because all the studies calculated them, and secondly as the healthy worker effect would be less relevant for neoplastic diseases than respiratory or cardiovascular diseases [23]. Fixed and random effect meta-estimates, and heterogeneity have been calculated with Comprehensive Metanalysis® [24]. Results: Overall, the selected studies covered 28-years of follow-up of 88 655 men and identified 470 incident cases. Table 2 shows further details. Most studies reported the average duration of the mission, but not its range. There was also some imprecision about the deployment area: in the Dutch study it was generically indicated as the Balkans, and 42% of the Danish cohort had been deployed in countries not hit by DU ammunition (Albania 1%, Croatia 38%, Macedonia 3%), and 2% in generic Balkan locations. Details of the five cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo Systematic review Table 3 summarises the results of the individual studies. The results of the Italian study updated by Grandolfo et al. showed a 2.3-fold excess of Hodgkin’s lymphoma (SIR = 2.26, 95% CI 1.31 –3.93), based on 12 observed cases against 5.3 expected [2]. The risk of NHL was not elevated (8 observed vs 7 expected cases; SIR = 1.14, 95% CI 0.57 – 2.29), and there were two cases of leukaemia vs 3.1 expected (SIR = 0.64, 95% CI 0.16 – 2.52). The other cancer cases were three thyroid tumours (5 expected), four cases of testicular cancer (11.1 expected), four colorectal cancer cases (4.6 expected), two brain cancers (4.3 expected), three cases of melanoma (2.8 expected), two cases of lung cancer (7.6 expected), and one of kidney cancer (2.2 expected). There were also one case each of cancer of the pharynx, larynx and stomach, of which only stomach cancer was represented in another study, the Denmark cohort study (2 observed vs 1.6 expected); therefore, the expected events were not estimated for these cancers. The overall 22 observed solid tumours were much less than the 64.7 expected estimated from the incidence data of the southern Italy Cancer Registries (SIR = 0.34, 95% CI 0.23 – 0.51), as it was the case for total cancers (SIR = 0.54, 95% CI 0.41 – 0.73). Results of the individual cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo The same Italian cohort was included in another three studies. Peragallo et al. took profit from the implementation of the Cancer Surveillance Program of the Army personnel, which was initiated in January 2001, to extend the follow-up to 31 December 2007 [25]. Their cohort included 58,413 troops who participated in at least one mission in Bosnia or Kosovo (a minimum of two months) from 1996-2007 [25], about 16,000 more than the cohort assembled by the Commission of the Ministry of Defence. In respect to the Grandolfo et al. update of the report by the Commission of the Italian Ministry of Defence, there were two main differences: 1) the excess risk of Hodgkin’s lymphoma vanished (20 observed cases vs 19.86 expected for the Bosnia and Kosovo subsohorts combined; SIR = 1.01, 95% CI 0.54 – 1.88). An analysis by year of diagnosis showed that these cases clustered in the year 2000 in Bosnia and 2001 in Kosovo, and subsequently declined; and 2) a significant excess of thyroid cancer (24 cases vs 15.42 expected SIR = 1.56, 95% CI 1.05 – 2.32) showed up, equally shared by the soldiers deployed in Bosnia and Kosovo. The figures for the rest of the cancer sites were also largely below the expectation, confirming the Grandolfo et al. observation. A major concern in the Peragallo study, acknowledged by the authors, was the likely incomplete retrieval of the incident cases, because of a substantial proportion of retirements among the soldiers deployed in the Balkans (24.9% up to 2003), who might have referred to the National Health System. Indeed, only the fraction of the retired who applied for compensation, assuming that exposures during the service had caused their disease, could be identified, which sheds uncertainty about the size of the lost incident cases. In a second paper [26], Peragallo et al. used a capture-recapture technique with two estimates of the incident cancer cases in 2001-2007 among the whole Italian military, whether deployed or not. The two methods yielded substantially different estimates of the total incident cases, ranging 571- 688 cases vs 371 detected through the Army Cancer Surveillance Program, corresponding to a loss between 35-46%. While it is conceivable that the loss of cases might have been greater among the non-deployed, there is no evidence that it was so. Besides, the denominator Peragallo et al. used to calculate the standardized incidence ratios was based on the number of soldiers deployed annually for the first time in Bosnia and in Kosovo, instead of the standard person-years count. About 42% of the cohort participated in multiple missions. Thirty-eight per cent of those first deployed in Kosovo and 41% of those first deployed in Bosnia were also deployed in the alternate intervention site during the subsequent missions. Whether these always counted once was not clarified. Still, these drawbacks would not explain the excess of thyroid cancer, which would stand as significant. Another paper was published more recently on the overall cases recorded by the Army Cancer Surveillance Program up to 2012 [27]. The authors compared two sub-cohorts, one including the never-deployed soldiers, and another including all those who participated in any mission anywhere in the world, with no possible identification of the deployment site. The results of this paper highlighted associations with the condition of deployment abroad, which, in most instances, were specific by corps subgroup. Also, the use of 90% confidence intervals instead of the traditional 95%, along with the large number of comparisons made and the small number of events for some specific cancer sites, doubled the area to reject the null hypothesis; such strategy might have generated a substantial number of spurious positive findings. As it concerns the rest of the studies (Table 3), the Dutch study did not detect an excess of incidence of all cancers and specifically of haemolymphatic cancer [19]. Among the Swedish military, there were 26 cases of cancer against 21.8 expected [20]. Eight cases were testicular cancer, twice the expected (SIR = 1.9, 95% CI 0.8 – 3.7), six of which occurred among the deployed in outdoor missions (6 observed vs 2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9). Cancer of the haemolymphatic organs were five against 3.5 expected (SIR = 1.4, 95% CI 0.5 – 3.3) and mainly occurred in indoor occupations. Other cancer sites were represented by more than one case: lung cancer (1 observed vs 0.8 expected), rectum cancer (2 vs 1.0 expected for colorectal cancer), bladder cancer (2 vs 0.7), melanoma (2 vs 2.2), brain cancer (3 vs 2.6), and leukaemia (2 vs 0.5) [20]. Among the Danish cohort, seven bladder cancer cases and four bone cancers were observed, more than twice and six-fold the expected (95% CI 0.9 – 4.5, and 1.6 – 15.3, respectively) [21]. However, three of the six cases of bone cancer were diagnosed within one year from deployment, which would exclude an association with exposure to x and ɣ radiation, the only risk factor for such cancer reported by IARC [28], at the mission site. No cases of bone cancer were observed in the other four studies. Haemolymphatic cancer cases were consistent with the expectation (11 observed vs 10.2 expected; SIR = 1.08, 95% CI 0.61 – 1.90), and there were three cases of Hodgkin’s lymphoma, corresponding exactly to the expectation (95% CI 0.2 – 2.9), and four cases of leukaemia (SIR = 1.4, 95% CI 0.4 – 3.5). Cases of testicular cancer were 24, close to the expectation from the Danish Cancer Registry data (SIR = 1.2, 95% CI 0.8 – 1.8). Other cancer sites represented by two or more cases included the the colon-rectum (9 vs 4.0, SIR = 2.25, 95% CI 1.19 – 4.25), the lung (2 observed vs 5 expected), the kidney (2 vs 1.8), melanoma (5 vs 7.1), the brain (9 vs 7.5), and the stomach (2 vs 1.6, nor shown in Table 3) [21]. In the Norwegian study, the incident cancer cases observed up to 2016 slightly exceeded the expectation (SIR = 1.11, 95% CI 0.93 – 1.31), as it was the case for melanoma (16 vs 11.7; SIR = 1.36, 95% CI 0.78 – 2.22) [22], which had shown a 90% excess (95% CI 0.95 – 3.40) in a previous report on the 1999-2011 follow-up results [28]. There was no excess of testicular cancer (25 cases observed vs 24.6 expected; SIR = 1.02, 95% CI 0.66 – 1.50), thyroid cancers (4 vs 2.5, SIR = 1.60, 95% CI 0.43 – 4.09), and haemolymphatic cancer (18 vs 16.1, SIR = 1.16, 95% CI 0.66 – 1.77), with 8 cases of leukaemia vs 6.4 expected, and 10 vs 9.7 cases of lymphoma, Hodgkin’s and non-Hodgkin combined. A list of other cancer sites with two cases or more included the following: oral cavity and pharynx (5 vs 3.1), oesophagus (2 vs 1.1), colon-rectum (6 vs 11.5), pancreas (4 vs 1.6), lung (5 vs 5.7), prostate (17 vs 14.9), kidney (3 vs 5.3), bladder (8 vs 4.1 expected), brain (8 vs 10.9), and soft tissue (2 vs 0.9) [22]. Table 3 summarises the results of the individual studies. The results of the Italian study updated by Grandolfo et al. showed a 2.3-fold excess of Hodgkin’s lymphoma (SIR = 2.26, 95% CI 1.31 –3.93), based on 12 observed cases against 5.3 expected [2]. The risk of NHL was not elevated (8 observed vs 7 expected cases; SIR = 1.14, 95% CI 0.57 – 2.29), and there were two cases of leukaemia vs 3.1 expected (SIR = 0.64, 95% CI 0.16 – 2.52). The other cancer cases were three thyroid tumours (5 expected), four cases of testicular cancer (11.1 expected), four colorectal cancer cases (4.6 expected), two brain cancers (4.3 expected), three cases of melanoma (2.8 expected), two cases of lung cancer (7.6 expected), and one of kidney cancer (2.2 expected). There were also one case each of cancer of the pharynx, larynx and stomach, of which only stomach cancer was represented in another study, the Denmark cohort study (2 observed vs 1.6 expected); therefore, the expected events were not estimated for these cancers. The overall 22 observed solid tumours were much less than the 64.7 expected estimated from the incidence data of the southern Italy Cancer Registries (SIR = 0.34, 95% CI 0.23 – 0.51), as it was the case for total cancers (SIR = 0.54, 95% CI 0.41 – 0.73). Results of the individual cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo The same Italian cohort was included in another three studies. Peragallo et al. took profit from the implementation of the Cancer Surveillance Program of the Army personnel, which was initiated in January 2001, to extend the follow-up to 31 December 2007 [25]. Their cohort included 58,413 troops who participated in at least one mission in Bosnia or Kosovo (a minimum of two months) from 1996-2007 [25], about 16,000 more than the cohort assembled by the Commission of the Ministry of Defence. In respect to the Grandolfo et al. update of the report by the Commission of the Italian Ministry of Defence, there were two main differences: 1) the excess risk of Hodgkin’s lymphoma vanished (20 observed cases vs 19.86 expected for the Bosnia and Kosovo subsohorts combined; SIR = 1.01, 95% CI 0.54 – 1.88). An analysis by year of diagnosis showed that these cases clustered in the year 2000 in Bosnia and 2001 in Kosovo, and subsequently declined; and 2) a significant excess of thyroid cancer (24 cases vs 15.42 expected SIR = 1.56, 95% CI 1.05 – 2.32) showed up, equally shared by the soldiers deployed in Bosnia and Kosovo. The figures for the rest of the cancer sites were also largely below the expectation, confirming the Grandolfo et al. observation. A major concern in the Peragallo study, acknowledged by the authors, was the likely incomplete retrieval of the incident cases, because of a substantial proportion of retirements among the soldiers deployed in the Balkans (24.9% up to 2003), who might have referred to the National Health System. Indeed, only the fraction of the retired who applied for compensation, assuming that exposures during the service had caused their disease, could be identified, which sheds uncertainty about the size of the lost incident cases. In a second paper [26], Peragallo et al. used a capture-recapture technique with two estimates of the incident cancer cases in 2001-2007 among the whole Italian military, whether deployed or not. The two methods yielded substantially different estimates of the total incident cases, ranging 571- 688 cases vs 371 detected through the Army Cancer Surveillance Program, corresponding to a loss between 35-46%. While it is conceivable that the loss of cases might have been greater among the non-deployed, there is no evidence that it was so. Besides, the denominator Peragallo et al. used to calculate the standardized incidence ratios was based on the number of soldiers deployed annually for the first time in Bosnia and in Kosovo, instead of the standard person-years count. About 42% of the cohort participated in multiple missions. Thirty-eight per cent of those first deployed in Kosovo and 41% of those first deployed in Bosnia were also deployed in the alternate intervention site during the subsequent missions. Whether these always counted once was not clarified. Still, these drawbacks would not explain the excess of thyroid cancer, which would stand as significant. Another paper was published more recently on the overall cases recorded by the Army Cancer Surveillance Program up to 2012 [27]. The authors compared two sub-cohorts, one including the never-deployed soldiers, and another including all those who participated in any mission anywhere in the world, with no possible identification of the deployment site. The results of this paper highlighted associations with the condition of deployment abroad, which, in most instances, were specific by corps subgroup. Also, the use of 90% confidence intervals instead of the traditional 95%, along with the large number of comparisons made and the small number of events for some specific cancer sites, doubled the area to reject the null hypothesis; such strategy might have generated a substantial number of spurious positive findings. As it concerns the rest of the studies (Table 3), the Dutch study did not detect an excess of incidence of all cancers and specifically of haemolymphatic cancer [19]. Among the Swedish military, there were 26 cases of cancer against 21.8 expected [20]. Eight cases were testicular cancer, twice the expected (SIR = 1.9, 95% CI 0.8 – 3.7), six of which occurred among the deployed in outdoor missions (6 observed vs 2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9). Cancer of the haemolymphatic organs were five against 3.5 expected (SIR = 1.4, 95% CI 0.5 – 3.3) and mainly occurred in indoor occupations. Other cancer sites were represented by more than one case: lung cancer (1 observed vs 0.8 expected), rectum cancer (2 vs 1.0 expected for colorectal cancer), bladder cancer (2 vs 0.7), melanoma (2 vs 2.2), brain cancer (3 vs 2.6), and leukaemia (2 vs 0.5) [20]. Among the Danish cohort, seven bladder cancer cases and four bone cancers were observed, more than twice and six-fold the expected (95% CI 0.9 – 4.5, and 1.6 – 15.3, respectively) [21]. However, three of the six cases of bone cancer were diagnosed within one year from deployment, which would exclude an association with exposure to x and ɣ radiation, the only risk factor for such cancer reported by IARC [28], at the mission site. No cases of bone cancer were observed in the other four studies. Haemolymphatic cancer cases were consistent with the expectation (11 observed vs 10.2 expected; SIR = 1.08, 95% CI 0.61 – 1.90), and there were three cases of Hodgkin’s lymphoma, corresponding exactly to the expectation (95% CI 0.2 – 2.9), and four cases of leukaemia (SIR = 1.4, 95% CI 0.4 – 3.5). Cases of testicular cancer were 24, close to the expectation from the Danish Cancer Registry data (SIR = 1.2, 95% CI 0.8 – 1.8). Other cancer sites represented by two or more cases included the the colon-rectum (9 vs 4.0, SIR = 2.25, 95% CI 1.19 – 4.25), the lung (2 observed vs 5 expected), the kidney (2 vs 1.8), melanoma (5 vs 7.1), the brain (9 vs 7.5), and the stomach (2 vs 1.6, nor shown in Table 3) [21]. In the Norwegian study, the incident cancer cases observed up to 2016 slightly exceeded the expectation (SIR = 1.11, 95% CI 0.93 – 1.31), as it was the case for melanoma (16 vs 11.7; SIR = 1.36, 95% CI 0.78 – 2.22) [22], which had shown a 90% excess (95% CI 0.95 – 3.40) in a previous report on the 1999-2011 follow-up results [28]. There was no excess of testicular cancer (25 cases observed vs 24.6 expected; SIR = 1.02, 95% CI 0.66 – 1.50), thyroid cancers (4 vs 2.5, SIR = 1.60, 95% CI 0.43 – 4.09), and haemolymphatic cancer (18 vs 16.1, SIR = 1.16, 95% CI 0.66 – 1.77), with 8 cases of leukaemia vs 6.4 expected, and 10 vs 9.7 cases of lymphoma, Hodgkin’s and non-Hodgkin combined. A list of other cancer sites with two cases or more included the following: oral cavity and pharynx (5 vs 3.1), oesophagus (2 vs 1.1), colon-rectum (6 vs 11.5), pancreas (4 vs 1.6), lung (5 vs 5.7), prostate (17 vs 14.9), kidney (3 vs 5.3), bladder (8 vs 4.1 expected), brain (8 vs 10.9), and soft tissue (2 vs 0.9) [22]. Metanalysis of cancer incidence Table 4 shows the results of the metanalysis of the follow-up studies of the peacekeeping cohorts deployed in Bosnia and Kosovo for all cancers, the most prevalent specific cancer sites, and all those showing an increase in risk in at least one study and occurring in at least three studies, namely colorectal cancer, lung cancer, skin melanoma, thyroid cancer, bladder cancer, kidney cancer, testicular cancer, brain cancer, all haemolymphatic cancers, all lymphomas combined, Hodgkin’s lymphoma, non-Hodgkin lymphoma, and leukaemia. Metanalysis of studies on cancer incidence among the peacekeeping forces deployed in Bosnia and Kosovo Note: FES= Fixed Effect Estimate; RES=Randon Effect Estimate The results of the Dutch study were only available for all cancers, lung cancer, all haemolymphatic cancer, and leukaemia [19]. Overall, the meta-estimates suggest a reduction in cancer incidence among the peacekeeping forces in Bosnia and Kosovo. Significant heterogeneity in risk of total cancers was detected, with more than 90% of the variance explained by heterogeneity, as well as for for colorectal cancer and melanoma, while the Q-value was elevated but not significant for testicular cancer, and leukaemia. A significant two-fold meta-estimate of bladder cancer risk was based on the three Scandinavian studies only. The Grandolfo et al. study did not observe any case of bladder cancer, while the expected were 5.3. Assuming 0.5 observed cases, the SIR was 0.10, with a lower 95% confidence interval of 0.01; the resulting Q-value became 25.17, highly suggestive of heterogeneity with the rest of the studies (p < 0.0001). Lack of an association and homogeneity across findings was observed for thyroid cancer, kidney cancer, brain cancer, cancer of the haemolymphatic system, and particularly Hodgkin and non-Hodgkin lymphoma. Trends by surrogates for exposure were explored using different strategies. The Norwegian study explored the effect of duration of the peacekeeping mission on the risk of specific cancers: the risk of bladder cancer was more elevated among the Norwegian military whose mission lasted one year or more (SIR = 2.70, 95% CI 0.74 – 6.92, based on four observed cases vs 1.48 expected); testicular cancer and lymphomas were also moderately more frequent than expected in this group. In this study, however, length of exposure was not a good surrogate for cumulative exposure, as the average time spent in Bosnia and Kosovo was 10.2 months (95% CI 10.09 – 10.31) and only 6% of the Norwegian troops participated in three or more missions [22]. The number of deployments did not affect cancer incidence among the Dutch cohort [19]. The Swedish study explored sub-cohorts of indoor or outdoor activities, with the last further divided in participation in convoys or in destroying ammunition. Total cancer was in excess among those involved in convoy operations (5 observed, 1.7 expected, SIR = 3.0, 95% CI 1.0 – 7.0); testicular cancer (6 out of 10 cases) concentrated among those engaged in outdoor operations (2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9); melanoma, thyroid cancer, brain cancer, and haemolymphatic cancer were in excess among those involved in indoor operations. The two Hodgkin’s lymphoma cases were equally shared between the indoor and ourdoor operations subcohorts [20]. Table 4 shows the results of the metanalysis of the follow-up studies of the peacekeeping cohorts deployed in Bosnia and Kosovo for all cancers, the most prevalent specific cancer sites, and all those showing an increase in risk in at least one study and occurring in at least three studies, namely colorectal cancer, lung cancer, skin melanoma, thyroid cancer, bladder cancer, kidney cancer, testicular cancer, brain cancer, all haemolymphatic cancers, all lymphomas combined, Hodgkin’s lymphoma, non-Hodgkin lymphoma, and leukaemia. Metanalysis of studies on cancer incidence among the peacekeeping forces deployed in Bosnia and Kosovo Note: FES= Fixed Effect Estimate; RES=Randon Effect Estimate The results of the Dutch study were only available for all cancers, lung cancer, all haemolymphatic cancer, and leukaemia [19]. Overall, the meta-estimates suggest a reduction in cancer incidence among the peacekeeping forces in Bosnia and Kosovo. Significant heterogeneity in risk of total cancers was detected, with more than 90% of the variance explained by heterogeneity, as well as for for colorectal cancer and melanoma, while the Q-value was elevated but not significant for testicular cancer, and leukaemia. A significant two-fold meta-estimate of bladder cancer risk was based on the three Scandinavian studies only. The Grandolfo et al. study did not observe any case of bladder cancer, while the expected were 5.3. Assuming 0.5 observed cases, the SIR was 0.10, with a lower 95% confidence interval of 0.01; the resulting Q-value became 25.17, highly suggestive of heterogeneity with the rest of the studies (p < 0.0001). Lack of an association and homogeneity across findings was observed for thyroid cancer, kidney cancer, brain cancer, cancer of the haemolymphatic system, and particularly Hodgkin and non-Hodgkin lymphoma. Trends by surrogates for exposure were explored using different strategies. The Norwegian study explored the effect of duration of the peacekeeping mission on the risk of specific cancers: the risk of bladder cancer was more elevated among the Norwegian military whose mission lasted one year or more (SIR = 2.70, 95% CI 0.74 – 6.92, based on four observed cases vs 1.48 expected); testicular cancer and lymphomas were also moderately more frequent than expected in this group. In this study, however, length of exposure was not a good surrogate for cumulative exposure, as the average time spent in Bosnia and Kosovo was 10.2 months (95% CI 10.09 – 10.31) and only 6% of the Norwegian troops participated in three or more missions [22]. The number of deployments did not affect cancer incidence among the Dutch cohort [19]. The Swedish study explored sub-cohorts of indoor or outdoor activities, with the last further divided in participation in convoys or in destroying ammunition. Total cancer was in excess among those involved in convoy operations (5 observed, 1.7 expected, SIR = 3.0, 95% CI 1.0 – 7.0); testicular cancer (6 out of 10 cases) concentrated among those engaged in outdoor operations (2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9); melanoma, thyroid cancer, brain cancer, and haemolymphatic cancer were in excess among those involved in indoor operations. The two Hodgkin’s lymphoma cases were equally shared between the indoor and ourdoor operations subcohorts [20]. Systematic review: Table 3 summarises the results of the individual studies. The results of the Italian study updated by Grandolfo et al. showed a 2.3-fold excess of Hodgkin’s lymphoma (SIR = 2.26, 95% CI 1.31 –3.93), based on 12 observed cases against 5.3 expected [2]. The risk of NHL was not elevated (8 observed vs 7 expected cases; SIR = 1.14, 95% CI 0.57 – 2.29), and there were two cases of leukaemia vs 3.1 expected (SIR = 0.64, 95% CI 0.16 – 2.52). The other cancer cases were three thyroid tumours (5 expected), four cases of testicular cancer (11.1 expected), four colorectal cancer cases (4.6 expected), two brain cancers (4.3 expected), three cases of melanoma (2.8 expected), two cases of lung cancer (7.6 expected), and one of kidney cancer (2.2 expected). There were also one case each of cancer of the pharynx, larynx and stomach, of which only stomach cancer was represented in another study, the Denmark cohort study (2 observed vs 1.6 expected); therefore, the expected events were not estimated for these cancers. The overall 22 observed solid tumours were much less than the 64.7 expected estimated from the incidence data of the southern Italy Cancer Registries (SIR = 0.34, 95% CI 0.23 – 0.51), as it was the case for total cancers (SIR = 0.54, 95% CI 0.41 – 0.73). Results of the individual cohort studies of cancer incidence among the NATO peacekeeping forces in Bosnia and Kosovo The same Italian cohort was included in another three studies. Peragallo et al. took profit from the implementation of the Cancer Surveillance Program of the Army personnel, which was initiated in January 2001, to extend the follow-up to 31 December 2007 [25]. Their cohort included 58,413 troops who participated in at least one mission in Bosnia or Kosovo (a minimum of two months) from 1996-2007 [25], about 16,000 more than the cohort assembled by the Commission of the Ministry of Defence. In respect to the Grandolfo et al. update of the report by the Commission of the Italian Ministry of Defence, there were two main differences: 1) the excess risk of Hodgkin’s lymphoma vanished (20 observed cases vs 19.86 expected for the Bosnia and Kosovo subsohorts combined; SIR = 1.01, 95% CI 0.54 – 1.88). An analysis by year of diagnosis showed that these cases clustered in the year 2000 in Bosnia and 2001 in Kosovo, and subsequently declined; and 2) a significant excess of thyroid cancer (24 cases vs 15.42 expected SIR = 1.56, 95% CI 1.05 – 2.32) showed up, equally shared by the soldiers deployed in Bosnia and Kosovo. The figures for the rest of the cancer sites were also largely below the expectation, confirming the Grandolfo et al. observation. A major concern in the Peragallo study, acknowledged by the authors, was the likely incomplete retrieval of the incident cases, because of a substantial proportion of retirements among the soldiers deployed in the Balkans (24.9% up to 2003), who might have referred to the National Health System. Indeed, only the fraction of the retired who applied for compensation, assuming that exposures during the service had caused their disease, could be identified, which sheds uncertainty about the size of the lost incident cases. In a second paper [26], Peragallo et al. used a capture-recapture technique with two estimates of the incident cancer cases in 2001-2007 among the whole Italian military, whether deployed or not. The two methods yielded substantially different estimates of the total incident cases, ranging 571- 688 cases vs 371 detected through the Army Cancer Surveillance Program, corresponding to a loss between 35-46%. While it is conceivable that the loss of cases might have been greater among the non-deployed, there is no evidence that it was so. Besides, the denominator Peragallo et al. used to calculate the standardized incidence ratios was based on the number of soldiers deployed annually for the first time in Bosnia and in Kosovo, instead of the standard person-years count. About 42% of the cohort participated in multiple missions. Thirty-eight per cent of those first deployed in Kosovo and 41% of those first deployed in Bosnia were also deployed in the alternate intervention site during the subsequent missions. Whether these always counted once was not clarified. Still, these drawbacks would not explain the excess of thyroid cancer, which would stand as significant. Another paper was published more recently on the overall cases recorded by the Army Cancer Surveillance Program up to 2012 [27]. The authors compared two sub-cohorts, one including the never-deployed soldiers, and another including all those who participated in any mission anywhere in the world, with no possible identification of the deployment site. The results of this paper highlighted associations with the condition of deployment abroad, which, in most instances, were specific by corps subgroup. Also, the use of 90% confidence intervals instead of the traditional 95%, along with the large number of comparisons made and the small number of events for some specific cancer sites, doubled the area to reject the null hypothesis; such strategy might have generated a substantial number of spurious positive findings. As it concerns the rest of the studies (Table 3), the Dutch study did not detect an excess of incidence of all cancers and specifically of haemolymphatic cancer [19]. Among the Swedish military, there were 26 cases of cancer against 21.8 expected [20]. Eight cases were testicular cancer, twice the expected (SIR = 1.9, 95% CI 0.8 – 3.7), six of which occurred among the deployed in outdoor missions (6 observed vs 2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9). Cancer of the haemolymphatic organs were five against 3.5 expected (SIR = 1.4, 95% CI 0.5 – 3.3) and mainly occurred in indoor occupations. Other cancer sites were represented by more than one case: lung cancer (1 observed vs 0.8 expected), rectum cancer (2 vs 1.0 expected for colorectal cancer), bladder cancer (2 vs 0.7), melanoma (2 vs 2.2), brain cancer (3 vs 2.6), and leukaemia (2 vs 0.5) [20]. Among the Danish cohort, seven bladder cancer cases and four bone cancers were observed, more than twice and six-fold the expected (95% CI 0.9 – 4.5, and 1.6 – 15.3, respectively) [21]. However, three of the six cases of bone cancer were diagnosed within one year from deployment, which would exclude an association with exposure to x and ɣ radiation, the only risk factor for such cancer reported by IARC [28], at the mission site. No cases of bone cancer were observed in the other four studies. Haemolymphatic cancer cases were consistent with the expectation (11 observed vs 10.2 expected; SIR = 1.08, 95% CI 0.61 – 1.90), and there were three cases of Hodgkin’s lymphoma, corresponding exactly to the expectation (95% CI 0.2 – 2.9), and four cases of leukaemia (SIR = 1.4, 95% CI 0.4 – 3.5). Cases of testicular cancer were 24, close to the expectation from the Danish Cancer Registry data (SIR = 1.2, 95% CI 0.8 – 1.8). Other cancer sites represented by two or more cases included the the colon-rectum (9 vs 4.0, SIR = 2.25, 95% CI 1.19 – 4.25), the lung (2 observed vs 5 expected), the kidney (2 vs 1.8), melanoma (5 vs 7.1), the brain (9 vs 7.5), and the stomach (2 vs 1.6, nor shown in Table 3) [21]. In the Norwegian study, the incident cancer cases observed up to 2016 slightly exceeded the expectation (SIR = 1.11, 95% CI 0.93 – 1.31), as it was the case for melanoma (16 vs 11.7; SIR = 1.36, 95% CI 0.78 – 2.22) [22], which had shown a 90% excess (95% CI 0.95 – 3.40) in a previous report on the 1999-2011 follow-up results [28]. There was no excess of testicular cancer (25 cases observed vs 24.6 expected; SIR = 1.02, 95% CI 0.66 – 1.50), thyroid cancers (4 vs 2.5, SIR = 1.60, 95% CI 0.43 – 4.09), and haemolymphatic cancer (18 vs 16.1, SIR = 1.16, 95% CI 0.66 – 1.77), with 8 cases of leukaemia vs 6.4 expected, and 10 vs 9.7 cases of lymphoma, Hodgkin’s and non-Hodgkin combined. A list of other cancer sites with two cases or more included the following: oral cavity and pharynx (5 vs 3.1), oesophagus (2 vs 1.1), colon-rectum (6 vs 11.5), pancreas (4 vs 1.6), lung (5 vs 5.7), prostate (17 vs 14.9), kidney (3 vs 5.3), bladder (8 vs 4.1 expected), brain (8 vs 10.9), and soft tissue (2 vs 0.9) [22]. Metanalysis of cancer incidence: Table 4 shows the results of the metanalysis of the follow-up studies of the peacekeeping cohorts deployed in Bosnia and Kosovo for all cancers, the most prevalent specific cancer sites, and all those showing an increase in risk in at least one study and occurring in at least three studies, namely colorectal cancer, lung cancer, skin melanoma, thyroid cancer, bladder cancer, kidney cancer, testicular cancer, brain cancer, all haemolymphatic cancers, all lymphomas combined, Hodgkin’s lymphoma, non-Hodgkin lymphoma, and leukaemia. Metanalysis of studies on cancer incidence among the peacekeeping forces deployed in Bosnia and Kosovo Note: FES= Fixed Effect Estimate; RES=Randon Effect Estimate The results of the Dutch study were only available for all cancers, lung cancer, all haemolymphatic cancer, and leukaemia [19]. Overall, the meta-estimates suggest a reduction in cancer incidence among the peacekeeping forces in Bosnia and Kosovo. Significant heterogeneity in risk of total cancers was detected, with more than 90% of the variance explained by heterogeneity, as well as for for colorectal cancer and melanoma, while the Q-value was elevated but not significant for testicular cancer, and leukaemia. A significant two-fold meta-estimate of bladder cancer risk was based on the three Scandinavian studies only. The Grandolfo et al. study did not observe any case of bladder cancer, while the expected were 5.3. Assuming 0.5 observed cases, the SIR was 0.10, with a lower 95% confidence interval of 0.01; the resulting Q-value became 25.17, highly suggestive of heterogeneity with the rest of the studies (p < 0.0001). Lack of an association and homogeneity across findings was observed for thyroid cancer, kidney cancer, brain cancer, cancer of the haemolymphatic system, and particularly Hodgkin and non-Hodgkin lymphoma. Trends by surrogates for exposure were explored using different strategies. The Norwegian study explored the effect of duration of the peacekeeping mission on the risk of specific cancers: the risk of bladder cancer was more elevated among the Norwegian military whose mission lasted one year or more (SIR = 2.70, 95% CI 0.74 – 6.92, based on four observed cases vs 1.48 expected); testicular cancer and lymphomas were also moderately more frequent than expected in this group. In this study, however, length of exposure was not a good surrogate for cumulative exposure, as the average time spent in Bosnia and Kosovo was 10.2 months (95% CI 10.09 – 10.31) and only 6% of the Norwegian troops participated in three or more missions [22]. The number of deployments did not affect cancer incidence among the Dutch cohort [19]. The Swedish study explored sub-cohorts of indoor or outdoor activities, with the last further divided in participation in convoys or in destroying ammunition. Total cancer was in excess among those involved in convoy operations (5 observed, 1.7 expected, SIR = 3.0, 95% CI 1.0 – 7.0); testicular cancer (6 out of 10 cases) concentrated among those engaged in outdoor operations (2.7 expected, SIR = 2.2, 95% CI 0.8 – 4.9); melanoma, thyroid cancer, brain cancer, and haemolymphatic cancer were in excess among those involved in indoor operations. The two Hodgkin’s lymphoma cases were equally shared between the indoor and ourdoor operations subcohorts [20]. Discussion: This systematic review and metanalysis of the epidemiological studies conducted among the peacekeeping troops deployed in Bosnia and Kosovo suggests an excess of bladder cancer incidence limited to the Scandinavian cohorts. When considering the Peragallo et al. results, instead of those by Grandolfo et al., there was also a marginal excess risk of thyroid cancer (FES = RES = 1.47, 95% CI 1.00 – 1.98). Total cancer incidence was below the expected figures, and no other cancer site showed an excess. There were isolated excesses of colorectal cancer and bone cancer in the Danish cohort, and of leukaemia (based on two cases, one defined as myelomatosis and one case of chronic myeloid leukaemia) in the Swedish cohort. These were most likely chance findings. The excess of Hodgkin’s lymphoma in the Italian cohort was limited to the first period of observation, and reached its peak in the year 2000, when six cases occurred, generating the alarm in the media and in the public [1, 2, 25]. The observed excess was statistically robust in the first years of follow-up, and it eventually flattened down to match the expectation. This might have been a very rare chance event. Still, based on the first report of the Commission of the Italian Ministry of Defence, eight out 11 cases of Hodgkin’s lymphoma occurred among the 25,083 deployed in Sarajevo and surroundings (135,866.25 person-years, incidence rate 5.89 x 10-5), while the remaining three HL cases had been deployed in Pec, Kosovo (51,526.67 person-years, incidence rate 5,82 x 10-5), and no cases occurred among the 21,348 soldiers deployed elsewhere in Bosnia and Kosovo. These eight HL cases occurred among the military who started their mission between 1996-1999, one year after the last NATO airstrike, 8 – 51 months after initiating their mission, which lasted a median of 167 days (range 80-388), similar to the median duration of the rest of the Italian contingent (161,5 rays, range 1-995). Such features suggest that two Hodgkin’s lymphoma clusters occurred, one more robust in Sarajevo and another in Pec, involving three cases only. The rest of the Italian troops were not affected. The healthy worker effect has been called as an explanation for the low cancer incidence among the Italian military cohorts [18, 26]. No such effect was visible in the Scandinavian cohorts, which would raise doubts about the incomplete retrieval of the incident cases affecting the Italian cohort studies [18]. Alternatively, the selection criteria for recruitment in the army might have been more severe in Italy, compared to the Scandinavian countries. A criticism against the analysis conducted by Peragallo et al. was that the population covered by the Southern Italy Cancer Registries would have been the proper reference, as two-thirds of the Italian cohort originated from southern Italy and the islands, while the expected cases were derived from the incidence data of the Italian Cancer Registries operating at that time, that were mostly in northern Italy [18]. For instance, the incidence rate of haematological malignancies (HM) and HL prevailed among the Italian soldiers from the northern regions (crude rate: HM = 11.1 x 10-5; HL = 7.4 x 10-5) in respect to those from the southern regions (crude rate: HM = 8.5 x 10-5; HL = 5.7 x 10-5) [1, 26]. Therefore, for the purposes of this metanalysis, the expected events in the Italian cohort were re-calculated using the age-, gender-, and year-specific incidence rates from the Southern Italy Cancer Registries combined. The only substantial change in respect to the original results was a decrease in the expected cases of melanoma (7.3 based on all the Italian Cancer Registries vs 2.8 based on the Southern Italy Cancer Registries), which was reflected by an increase in the melanoma SIR (from SIR = 0.41, 95% CI 0.12 – 1.08, to SIR = 1.07, 95% CI 0.35 – 3.32). There were no substantial changes in the risk estimates for the other cancer sites. A third plausible explanation might be the different age ranges of the cohorts, as the healthy worker effect tends to be more evident at younger ages. If so, a younger Italian cohort might account at least in part for the observed heterogeneity in the results. This explanation might be valid in comparison with the Danish cohort, which included subjects up to 65-year-old. However, the age range of the Norwegian cohort was similar to that among the Italians; only 13% of the Dutch cohort were older than 20 at the end of their mission, and the Swedish study did not provide information on the age range of cohort members. Therefore, it seems implausible that different age ranges among the cohorts might have generated the observed heterogeneity in the results. Lagorio et al. reviewed the results of the three studies that analysed HL incidence among the peacekeeping forces in Bosnia and Kosovo and the studies conducted among the U.S. and U.K. military who were engaged in the first Gulf War, under the hypothesis that a shared exposure to depleted uranium occurred in both events [18]. In their conclusion, the authors stated lack of evidence of an increase in the risk of tumours associated with radiation, lack of evidence of exposure to DU in the operating theatres, apart from internal exposure due to the retained shrapnel, and sporadic associations with specific cancer sites in individual studies. According to IARC, twenty-seven agents or working processes, including smoking, working in aluminium smelting plants, aromatic amines, polycyclic aromatic hydrocarbons, painting, dry cleaning, diesel exhausts, and infection by schistosoma haematobium, are certain or probable causes of bladder cancer [29]. There are no clues that any such exposures might have occurred at biologically relevant levels among the military deployed one year or less on average. Also, the significant excess was based on three Scandinavian studies only with 17 observed cases overall. As for thyroid cancer, IARC lists only radiation as a certain causative agent [29]. None of the other conditions which have been associated with thyroid cancer might have credibly contributed to increasing incidence among the peacekeeping forces deployed in Bosnia and Kosovo. As a result, chance is the most likely explanation of the significant excess mortality by this cancer. As it concerns the excess of Hodgkin’s lymphoma observed in the first follow-up of the Italian cohort, there might be plausible explanations, not previously considered. Viral infections, including the Epstein-Barr virus (EBV), the hepatitis B and C viruses, the human immunodeficiency virus type 1 (HIV-1), and the human T-lymphotrophic virus type 1 (HTLV-1) infections, have been identified as Group 1, human carcinogens with lymphomas, and specifically Hodgkin lymphoma, as the main target [30]. The Sarajevo siege, which lasted from April 1992 through February 1996, was the longest in modern history. Stress, sleep loss, the precarious hygiene conditions, the scarcity of water, frequent shortages of electric power, the dust, the difficulty in maintaining a regular and sufficient food intake, not to mention the unavailability and the high cost of medical supplies, all such conditions and others might have favoured abnormal responses to infectious agents, so contributing to the observed increase in incidence of a few cancers among the local population and the interposition forces as well. Besides, a seroprevalence survey of hantavirus detected the highest prevalence in the population of some areas of Bosnia and Herzegovina [31], where epidemics of haemorrhagic fever with renal syndrome (HFRS) caused by rodent-borne hantaviruses occurred. In the Swedish population, the risk of Lymphoma (including Hodgkin’s Lymphoma) was elevated among HFRS patients, which was highest within one year from the diagnosis, and tended to decrease afterwards [32]. Other viral infections were documented among peacekeeping forces in the Balkans [33-36], including phlebovirus infections which in some cases might mimic multiple myeloma [37]. Therefore, the hypothesis of an abnormal response to an undefined infectious agent among the Italian military deployed in Sarajevo and Pec would be worth considering. If any adverse health effect followed the environmental exposures consequent to the war operations, likely it would have most severely hit the local population. However, as the UNEP report pointed out, problems related to the massive migration from the war areas, the lack of Cancer Registries, and the disruption of administrative services, including death registries, created difficult circumstances for epidemiological investigations on the general population of the Balkan war areas [7]. To the best of the available knowledge, only one study explored cancer incidence among the Sarajevo population in 1998-2004 and compared it to the expected cases from the regional and World population rates [38]. The results suggested that the incidences of lung cancer, breast cancer, liver cancer, and thyroid cancer were similar to that of other eastern European countries. On the other hand, laryngeal cancer, bladder cancer, brain cancer, sarcomas of the bone and cartilage, and malignant lymphomas, including Hodgkin’s and non-Hodgkin’s lymphomas, were significantly increased [38]. The author acknowledged limitations, including the possibility of duplicates in the reported cases. Anyhow, it is difficult to discriminate between direct emissions from war operations and their side effects, previously discussed, as possible determinants. High mortality rates directly or indirectly related to the war were also observed among the Serbian population [39], and the Albanian population of Kosovo [40], although neither report explored cancer mortality. Limitations in this metanalysis include the small number of studies, as only a few countries complied with the NATO COMEDS recommendation, aggravated by the fact that the Italian study by Grandolfo et al. and the Dutch study restricted the analysis to cancer of the lymphatic organs. Although estimates of the expected events for other cancers were possible for the Italian study, several meta-estimates were based on fewer studies and were, therefore, less reliable. Three studies conducted subgroup analyses in the attempt of detecting higher exposure levels to whatever environmental agents might have been associated with the deployment in Bosnia and Kosovo; mission duration, indoor/outdoor tasks, and first deployment in Bosnia or Kosovo were considered in one study each. These analyses did not add further information, and, being different from one study to another, there was no possibility of calculating summary risk estimates. Conclusions: This systematic review and metanalysis of the epidemiological studies of the NATO peacekeeping forces in Bosnia and Kosovo confirms that cancer incidence overall was not increased. Instead, in most instances, specific cancer cases were significantly below the expectation, while bladder cancer showed an excess, based on the three Scandinavian studies only; thyroid cancer exceeded the expectation when considering the Peragallo et al. study, which results might have been affected by incomplete retrieval of the relevant events; and the elevated risk of Hodgkin’s lymphoma was limited to the first years after deployment, However, interpretation of such findings is weakened by the above-highlighted limitations, the lack of evidence that the claimed exposures occurred, and the lack of evidence of a link between those exposures and the observed cancer outcomes. Among the hypothetical exposures examined, only inhaled ultrafine particles might be plausibly associated with the observed access of bladder cancer among the Scandinavian peacekeepers [41]. However, lung cancer risk, the most likely outcome of exposure to inhaled particles, was strongly decreased in all cohorts, which would raise reasonable doubts about whether such exposure might have played a role. It is unclear what determinants, apart from chance, might explain the excess of thyroid cancer. Among the group 1-2A human carcinogens, the IARC lists radioiodine, x and ɣ radiation as determinants of thyroid cancer [28]. It is unknown whether such exposures or others of aetiological relevance occurred among the cases of thyroid cancer diagnosed in the NATO peacekeepers. As it concerns Hodgkin’s lymphoma, the excess among the Italian military was statistically robust, but it did not occur in the other cohorts nor it did persist beyond the first years after deployment. Such observations would suggest a link with infectious agents, such as those which were observed in the local population. After twenty years of legal trials and public controversy, the vague definition of the exposures claimed as responsible, the small number of events, the small size of some cohorts, and the incomplete retrieval of the incident cases in the extended follow-up of the Italian cohort, along with the short period of follow-up in some studies [18], contribute to shed persisting uncertainty on the origin of the increased incidence of a few tumours among the NATO military operating as peacekeeping forces in Bosnia and Kosovo. Although the specific causes remain unknown, the Italian soldiers who suffered from Hodgkin’s lymphoma upon returning from their mission to Bosnia and Kosovo and their families obtained just compensation. The temporal sequence was enough to acknowledge the link with their occupation. Still, it is possible to rule out the unproven and unlikely exposure to depleted uranium or metals or inhaled particles.
Background: A few cohort studies of the NATO peacekeepers in the Bosnia and Kosovo war reported inconclusive results on cancer risk. A systematic review and metanalysis of such studies might help to resolve the interpretative limitations. Methods: Relevant publications were retrieved through a PubMed search and from the list of references of the selected reports. Five epidemiological studies, one each from Denmark, Italy, the Netherlands, Norway, and Sweden, satisfied the selection criteria. Random and fixed effect estimators were calculated. Heterogeneity across studies was formally tested for all cancer outcomes. Results: Incidence of all cancers was below the expectation, as was the case for lung cancer and cancer at most other organs. The incidence of Hodgkin's lymphoma exceeded expectation in the first years after deployment in the Italian cohort but not in the subsequent years of follow-up. The risk of colorectal cancer and bone cancer was increased in the Danish cohort, and so was the risk of leukaemia in the Swedish cohort. Bladder cancer cases were non significantly more than expected in the three Scandinavian studies. The Cochrane's Q-test was indicative of significant heterogeneity across studies for total cancer, colorectal cancer, melanoma, and leukaemia. The meta-estimate of risk of bladder cancer was increased two-fold (fixed effect summary [FES] = 2.16 (95% CI 1.35 - 2.97), based on three studies. Conclusions: Exposure to depleted uranium, metals, and ultrafine particles has been claimed as responsible for the cancer cases observed among peacekeepers. None of these would account for the excess of bladder cancer. The hypothesis of viral epidemics around the deployment area of the Italian military as contributing to the temporary excess of Hodgkin's Lymphoma cases would be worth exploring.
Introduction: The twentieth anniversary of the publication of the “Preliminary Report of the Ministry of Defence Commission on the incidence of malignant neoplasms among the military deployed in Bosnia and Kosovo” on 19 March 2001 [1] has passed in complete silence. The current pandemic might have obscured the event in sharp contrast with the broad coverage in the national and international media, from the year 2000 onwards, that focussed mainly on the cases of lymphatic cancer among the NATO peacekeeping military forces deployed in the Balkans. A parallel with the Gulf war syndrome pointed at the never documented exposure to depleted uranium (DU) from the ammunition used in the NATO bombing as responsible for the excess. Veterans who developed cancers and the families of those who succumbed submitted numerous applications for compensation, claiming that the exposure to a wide range of plausible and implausible factors was the cause of their diseases. Most claims pointed at the use of DU ammunition by the NATO forces in Bosnia, and Kosovo. However, in the worst-case scenario [2], the effective dose of absorbed radiation might have reached around 0.15 mSv, 15% of the effective dose limit in one year for the general population [3] and between 1-7.5% of the absorbed dose during a CT scan, depending on the site and the type of exam [4]. Besides, the environmental monitoring program conducted by the United Nation Environmental Program (UNEP) in 11 Bosniak sites, seven years after the end of the Balkan war, did not detect significant contamination of the soil, water, foodstuffs, crops, and vegetables [5, 6]. However, the search was restricted to a few spots, due to unexploded land mines [7]. Also, the average urinary total uranium in Italian, German, and Canadian veterans deployed in Bosnia and Kosovo, was comparable to the respective general population [1, 8, 9], and the ratios between 235U, 236U, and 238U isotopes were similar to that of natural uranium [8, 9]. Therefore, the unproven exposure to DU would be an unlikely explanation for the excess incidence of bladder cancer, thyroid cancer, and Hodgkin lymphoma among the NATO peacekeeping forces reported by individual studies. Once the evidence ruled out the DU hypothesis, exposure to nanoparticles and metals took the stage. However, the few studies conducted so far in military settings have shown a rapid dilution of nanoparticle concentration up to 400 metres in the wind direction from the source of emission [10], and deaths did not exceed the expectation in a small military cohort with potential exposure to nanoparticles [11]. Inhaling fine and ultrafine a-emitting DU particles might be a plausible risk factor for cancer at the site of contact (the lung) and deposit (bone and kidney), but not those most frequently claimed as associated. Post-deployment biomonitoring of metallic elements showed concentrations always within the reference values for the general population [12, 13]. Although various scientific commissions concluded that the environmental health consequences of using DU ammunition were negligible, the NATO Command of Military Medicine Services (COMEDS) recommended conducting epidemiological investigations on the long-term health outcomes among the military who participated in the peacekeeping operations [1]. The Commission of the Italian Ministry of Defence acknowledged that the yet unproven exposure of the Italian soldiers to DU had to be considered extremely low. However, it did not exclude a possible link with Hodgkin’s lymphoma [1], based on a positive association reported in a study of U.S. uranium refiners and smelters (4 observed cases vs 1.6 expected) [14], despite opposite findings of a metanalysis of similar studies [15]. Claims about the side effects of the vaccination protocols have also been raised. However, an Italian study did not find any association between vaccination and micronuclei frequency in lymphocytes of Italian troops deployed in Iraq [12], and a follow-up study of a small military cohort did not observe any effect of multiple vaccinations on the cause-specific mortality [11]. Thirty-four countries, 24 affiliated and 10 non-affiliated with NATO, intervened in Bosnia and Kosovo at different stages between 1989 and 2011 with a total of over 100,000 men and women. A few countries complied with the NATO COMEDS recommendations and conducted studies on cancer incidence or mortality among the respective peacekeeping cohorts in Kosovo e Bosnia. A systematic review and a meta-analysis of these studies were conducted to explore with adequate statistical power the observed associations with different cancer sites that emerged from the individual studies. Conclusions: This systematic review and metanalysis of the epidemiological studies of the NATO peacekeeping forces in Bosnia and Kosovo confirms that cancer incidence overall was not increased. Instead, in most instances, specific cancer cases were significantly below the expectation, while bladder cancer showed an excess, based on the three Scandinavian studies only; thyroid cancer exceeded the expectation when considering the Peragallo et al. study, which results might have been affected by incomplete retrieval of the relevant events; and the elevated risk of Hodgkin’s lymphoma was limited to the first years after deployment, However, interpretation of such findings is weakened by the above-highlighted limitations, the lack of evidence that the claimed exposures occurred, and the lack of evidence of a link between those exposures and the observed cancer outcomes. Among the hypothetical exposures examined, only inhaled ultrafine particles might be plausibly associated with the observed access of bladder cancer among the Scandinavian peacekeepers [41]. However, lung cancer risk, the most likely outcome of exposure to inhaled particles, was strongly decreased in all cohorts, which would raise reasonable doubts about whether such exposure might have played a role. It is unclear what determinants, apart from chance, might explain the excess of thyroid cancer. Among the group 1-2A human carcinogens, the IARC lists radioiodine, x and ɣ radiation as determinants of thyroid cancer [28]. It is unknown whether such exposures or others of aetiological relevance occurred among the cases of thyroid cancer diagnosed in the NATO peacekeepers. As it concerns Hodgkin’s lymphoma, the excess among the Italian military was statistically robust, but it did not occur in the other cohorts nor it did persist beyond the first years after deployment. Such observations would suggest a link with infectious agents, such as those which were observed in the local population. After twenty years of legal trials and public controversy, the vague definition of the exposures claimed as responsible, the small number of events, the small size of some cohorts, and the incomplete retrieval of the incident cases in the extended follow-up of the Italian cohort, along with the short period of follow-up in some studies [18], contribute to shed persisting uncertainty on the origin of the increased incidence of a few tumours among the NATO military operating as peacekeeping forces in Bosnia and Kosovo. Although the specific causes remain unknown, the Italian soldiers who suffered from Hodgkin’s lymphoma upon returning from their mission to Bosnia and Kosovo and their families obtained just compensation. The temporal sequence was enough to acknowledge the link with their occupation. Still, it is possible to rule out the unproven and unlikely exposure to depleted uranium or metals or inhaled particles.
Background: A few cohort studies of the NATO peacekeepers in the Bosnia and Kosovo war reported inconclusive results on cancer risk. A systematic review and metanalysis of such studies might help to resolve the interpretative limitations. Methods: Relevant publications were retrieved through a PubMed search and from the list of references of the selected reports. Five epidemiological studies, one each from Denmark, Italy, the Netherlands, Norway, and Sweden, satisfied the selection criteria. Random and fixed effect estimators were calculated. Heterogeneity across studies was formally tested for all cancer outcomes. Results: Incidence of all cancers was below the expectation, as was the case for lung cancer and cancer at most other organs. The incidence of Hodgkin's lymphoma exceeded expectation in the first years after deployment in the Italian cohort but not in the subsequent years of follow-up. The risk of colorectal cancer and bone cancer was increased in the Danish cohort, and so was the risk of leukaemia in the Swedish cohort. Bladder cancer cases were non significantly more than expected in the three Scandinavian studies. The Cochrane's Q-test was indicative of significant heterogeneity across studies for total cancer, colorectal cancer, melanoma, and leukaemia. The meta-estimate of risk of bladder cancer was increased two-fold (fixed effect summary [FES] = 2.16 (95% CI 1.35 - 2.97), based on three studies. Conclusions: Exposure to depleted uranium, metals, and ultrafine particles has been claimed as responsible for the cancer cases observed among peacekeepers. None of these would account for the excess of bladder cancer. The hypothesis of viral epidemics around the deployment area of the Italian military as contributing to the temporary excess of Hodgkin's Lymphoma cases would be worth exploring.
13,404
334
[ 99, 742, 1791, 638 ]
9
[ "cancer", "cases", "expected", "vs", "95", "studies", "ci", "95 ci", "incidence", "sir" ]
[ "cancer incidence sarajevo", "balkan conflict cancer", "recorded army cancer", "cancer nato peacekeeping", "ammunition total cancer" ]
[CONTENT] Cancer incidence | military medicine | cohort study | environmental exposure [SUMMARY]
[CONTENT] Cancer incidence | military medicine | cohort study | environmental exposure [SUMMARY]
[CONTENT] Cancer incidence | military medicine | cohort study | environmental exposure [SUMMARY]
[CONTENT] Cancer incidence | military medicine | cohort study | environmental exposure [SUMMARY]
[CONTENT] Cancer incidence | military medicine | cohort study | environmental exposure [SUMMARY]
[CONTENT] Cancer incidence | military medicine | cohort study | environmental exposure [SUMMARY]
[CONTENT] Bosnia and Herzegovina | Humans | Incidence | Kosovo | Military Personnel | Neoplasms [SUMMARY]
[CONTENT] Bosnia and Herzegovina | Humans | Incidence | Kosovo | Military Personnel | Neoplasms [SUMMARY]
[CONTENT] Bosnia and Herzegovina | Humans | Incidence | Kosovo | Military Personnel | Neoplasms [SUMMARY]
[CONTENT] Bosnia and Herzegovina | Humans | Incidence | Kosovo | Military Personnel | Neoplasms [SUMMARY]
[CONTENT] Bosnia and Herzegovina | Humans | Incidence | Kosovo | Military Personnel | Neoplasms [SUMMARY]
[CONTENT] Bosnia and Herzegovina | Humans | Incidence | Kosovo | Military Personnel | Neoplasms [SUMMARY]
[CONTENT] cancer incidence sarajevo | balkan conflict cancer | recorded army cancer | cancer nato peacekeeping | ammunition total cancer [SUMMARY]
[CONTENT] cancer incidence sarajevo | balkan conflict cancer | recorded army cancer | cancer nato peacekeeping | ammunition total cancer [SUMMARY]
[CONTENT] cancer incidence sarajevo | balkan conflict cancer | recorded army cancer | cancer nato peacekeeping | ammunition total cancer [SUMMARY]
[CONTENT] cancer incidence sarajevo | balkan conflict cancer | recorded army cancer | cancer nato peacekeeping | ammunition total cancer [SUMMARY]
[CONTENT] cancer incidence sarajevo | balkan conflict cancer | recorded army cancer | cancer nato peacekeeping | ammunition total cancer [SUMMARY]
[CONTENT] cancer incidence sarajevo | balkan conflict cancer | recorded army cancer | cancer nato peacekeeping | ammunition total cancer [SUMMARY]
[CONTENT] cancer | cases | expected | vs | 95 | studies | ci | 95 ci | incidence | sir [SUMMARY]
[CONTENT] cancer | cases | expected | vs | 95 | studies | ci | 95 ci | incidence | sir [SUMMARY]
[CONTENT] cancer | cases | expected | vs | 95 | studies | ci | 95 ci | incidence | sir [SUMMARY]
[CONTENT] cancer | cases | expected | vs | 95 | studies | ci | 95 ci | incidence | sir [SUMMARY]
[CONTENT] cancer | cases | expected | vs | 95 | studies | ci | 95 ci | incidence | sir [SUMMARY]
[CONTENT] cancer | cases | expected | vs | 95 | studies | ci | 95 ci | incidence | sir [SUMMARY]
[CONTENT] du | nato | exposure | dose | uranium | military | cancer | du ammunition | environmental | italian [SUMMARY]
[CONTENT] cancer | rates | studies | incidence | italy | age | incidence rates | italian | cohort | calculated [SUMMARY]
[CONTENT] cancer | vs | 95 | 95 ci | ci | cases | expected | sir | observed | vs expected [SUMMARY]
[CONTENT] cancer | exposures | inhaled | particles | link | thyroid cancer | thyroid | unknown | inhaled particles | years deployment [SUMMARY]
[CONTENT] cancer | cases | expected | vs | 95 | studies | 95 ci | ci | incidence | sir [SUMMARY]
[CONTENT] cancer | cases | expected | vs | 95 | studies | 95 ci | ci | incidence | sir [SUMMARY]
[CONTENT] NATO | Bosnia | Kosovo ||| [SUMMARY]
[CONTENT] PubMed ||| Five | one | Denmark | Italy | the Netherlands | Norway | Sweden ||| ||| [SUMMARY]
[CONTENT] ||| Hodgkin | the first years | Italian | the subsequent years ||| Danish | Swedish ||| three | Scandinavian ||| Cochrane ||| two-fold | 2.16 | 95% | CI | 1.35 - 2.97 | three [SUMMARY]
[CONTENT] ||| ||| Italian | Hodgkin's Lymphoma [SUMMARY]
[CONTENT] NATO | Bosnia | Kosovo ||| ||| PubMed ||| Five | one | Denmark | Italy | the Netherlands | Norway | Sweden ||| ||| ||| ||| Hodgkin | the first years | Italian | the subsequent years ||| Danish | Swedish ||| three | Scandinavian ||| Cochrane ||| two-fold | 2.16 | 95% | CI | 1.35 - 2.97 | three ||| ||| ||| Italian | Hodgkin's Lymphoma [SUMMARY]
[CONTENT] NATO | Bosnia | Kosovo ||| ||| PubMed ||| Five | one | Denmark | Italy | the Netherlands | Norway | Sweden ||| ||| ||| ||| Hodgkin | the first years | Italian | the subsequent years ||| Danish | Swedish ||| three | Scandinavian ||| Cochrane ||| two-fold | 2.16 | 95% | CI | 1.35 - 2.97 | three ||| ||| ||| Italian | Hodgkin's Lymphoma [SUMMARY]
Herbal medicine used by the community of Koneba district in Afar Regional State, Northeastern Ethiopia.
34394323
Pastoral communities of the Afar people in northeastern Ethiopia use medicinal plants for various health problems. However, very limited scientific documents are found addressing ethnomedicinal knowledge of the community.
BACKGROUND
Purposive sampling method was used to select study sites and key informants. General informants were selected through simple random sampling methods. Semi-structured interviews and guided field walk were used to collect data while Informant Consensus Factor (ICF), Fidelity Level (FL) and Preference Ranking were used to analyze and verify data.
METHODS
A total of 67 medicinal plant species used to treat humans and livestock ailments were recorded and collected. Thirteen medicinal plant species were mentioned as effective medicine against snake bite (ICF; 0.68) while nine species used to treat malaria, common cold and fever (ICF: 0.67). Cyphostemma adenocaule (Steud. ex A.Rich.) Desc. ex Wild & R.B.Drumm. was the most preferred species used to combat snakebite, which was prevalent in the area.
RESULTS
Snake bite, malaria, common cold and fever are common health problems in the study area. Efficient use of herbal medicine has minimized the impact of these diseases.
CONCLUSION
[ "Animals", "Ethnobotany", "Herbal Medicine", "Humans", "Medicine, African Traditional", "Phytotherapy", "Plants, Medicinal" ]
8356579
Introduction
The practice of herbal medicine has a long term history and culture among many African communities. This persistent interaction of people and herbal medicine is mainly due to recognition of healing effects of the system. 1, 2 Knowledge and use of medicinal plants in Ethiopia play important role in the primary health care needs for both human and livestock. A number of ethnomedicinal studies documented this vital knowledge representing different communities from northern, southern and central parts of the country. For example:3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15. Relatively, few studies have been conducted in the northeastern 16, 17, 18 and eastern 19, 20 parts of Ethiopia. These are areas where most of the pastoral community of Ethiopia reside. The Afar Regional State lies in the arid and semiarid climatic zone of the northeastern Ethiopia within the Great Rift Valley. The topography varies from hilly escarpment in the western edge to lowland plain areas in the eastern part. According to 21, the vegetation type is predominantly Acacia-Commiphora woodland and bushland in western part, small forest patches covered with Juniperous-Olea forest in northwestern part, and desert and semi-desert vegetation type in eastern plain land. The Afar people are among the cultural and pastoral communities in Ethiopia who have developed knowledge on herbal medicine through long time interaction with nature. Their life style coupled with different life challenges, such as limited access to modern health care22 has necessitated extensive use of plant resources as medicine. Despite this, very limited scientific studies have been conducted to retrieve the ethnomedicinal knowledge of the community. To-date, only 16, 17 and 18 are the ethnomedicinal studies known from the Afar Region. Such scientific evidences help to enhance contribution of nature to development of herbal medicine. 23 However, the current trend of biodiversity loss may affect availability of herbal species and the associated knowledge. This may also be accelerated by alteration of life style. 24 Therefore, retrieval and documentation of such knowledge systems before they disappear is important. The current study was conducted in Koneba district of the Afar Regional State with the aim of documenting medicinal plant species and the associated knowledge. The study also anticipated to see the role of protected areas and home gardens in the conservation of medicinal plants and securing the knowledge system.
Methods
Study area The Afar Regional State is located in geographic location between 8°49′ and 14030′ N latitude and 39°34′ to 42°28′ E longitude, northeastern Ethiopia. Koneba district is one of the 28 administrative districts, which is located in the northwestern part of the Regional State. It is about 624 km away from Addis Ababa, bordered by Tigray Regional State from the west, by Dallol district from north, and by Berhale district from east (Figure 1). The average elevation in this district is 1150 meters above sea level. 25 Study area and sampling sites The population of Koneba is about 54,198 people who occupy, an area of 483.16 km2. 26 The majority of the local communities depend on livestock products and small-scale irrigation farming, which involves production of cereals, fruits and vegetables. A small proportion (0.68 %) engage in pastoral and urban (5.59 %) life styles. 26 The Afar Regional State is located in geographic location between 8°49′ and 14030′ N latitude and 39°34′ to 42°28′ E longitude, northeastern Ethiopia. Koneba district is one of the 28 administrative districts, which is located in the northwestern part of the Regional State. It is about 624 km away from Addis Ababa, bordered by Tigray Regional State from the west, by Dallol district from north, and by Berhale district from east (Figure 1). The average elevation in this district is 1150 meters above sea level. 25 Study area and sampling sites The population of Koneba is about 54,198 people who occupy, an area of 483.16 km2. 26 The majority of the local communities depend on livestock products and small-scale irrigation farming, which involves production of cereals, fruits and vegetables. A small proportion (0.68 %) engage in pastoral and urban (5.59 %) life styles. 26 Sampling, data collection and analyses Four kebeles (Smallest administrative unit in Ethiopia) were selected as study sites based on prior information from the administrative offices and based on site seen during the reconnaissance survey. Vegetation cover, proximity to plant resources and herbal medicine utilization were basis of site selection. A total of 60 informants (50 males and 10 females) between the ages of 25 and 83 were selected to engage in this study. Eighteen traditional health practitioners were identified as key informants through purposive sampling technique following. 27 General informant (42) were selected through simple random method following the method by 28. Ethnobotanical data were collected following techniques suggested in standard manuals, guidelines and protocols. 29, 30, 31, 32, 33 Formal and informal interviews were conducted individually and in groups. Active participant observation was employed in order to get firsthand information. 34 Voucher specimens of the plants were collected and deposited at the National Herbarium of Ethiopia (ETH) as well as at the Herbarium of Traditional and Modern Medicine Directorate, Ethiopian Public Health Institute (EPHI). Descriptive statistical tools were employed to analyze and summarize the data. Informant Consensus Factor (ICF) was calculated for each medicinal plant in order to validate responses of informants. 36 The difference between number of use citation (nur) and number of species used (nt) divided by the number of use citation minus one gives the value of ICF. These values are presented between 0 and 1, and validity of the information obtained from informants increase as the ICF value approaches to 1. Fidelity level (FL) was calculated to verify the most important medicinal plant species in the district. The percentage of informants claiming a plant species for the same purpose provides the FL% and was calculated using the following formula. Where Np stands for the number of informants claiming a certain plant species to cure a particular disease while N is the number of informants that use the species as medicine to treat any given disease. 30 Preference ranking was conducted following 29, to identify the most preferred medicinal plant species used to treat the prevalent diseases in the area. Six medicinal plants mentioned by more than 50% of the total informants were used in this analysis. Each key informant was asked to assign the highest value (6) for the most preferred species and the lowest value (1) for the least preferred plant, and all the rest ranging between 6 and 1. The value of each species was summed up and ranked based on the total score. Four kebeles (Smallest administrative unit in Ethiopia) were selected as study sites based on prior information from the administrative offices and based on site seen during the reconnaissance survey. Vegetation cover, proximity to plant resources and herbal medicine utilization were basis of site selection. A total of 60 informants (50 males and 10 females) between the ages of 25 and 83 were selected to engage in this study. Eighteen traditional health practitioners were identified as key informants through purposive sampling technique following. 27 General informant (42) were selected through simple random method following the method by 28. Ethnobotanical data were collected following techniques suggested in standard manuals, guidelines and protocols. 29, 30, 31, 32, 33 Formal and informal interviews were conducted individually and in groups. Active participant observation was employed in order to get firsthand information. 34 Voucher specimens of the plants were collected and deposited at the National Herbarium of Ethiopia (ETH) as well as at the Herbarium of Traditional and Modern Medicine Directorate, Ethiopian Public Health Institute (EPHI). Descriptive statistical tools were employed to analyze and summarize the data. Informant Consensus Factor (ICF) was calculated for each medicinal plant in order to validate responses of informants. 36 The difference between number of use citation (nur) and number of species used (nt) divided by the number of use citation minus one gives the value of ICF. These values are presented between 0 and 1, and validity of the information obtained from informants increase as the ICF value approaches to 1. Fidelity level (FL) was calculated to verify the most important medicinal plant species in the district. The percentage of informants claiming a plant species for the same purpose provides the FL% and was calculated using the following formula. Where Np stands for the number of informants claiming a certain plant species to cure a particular disease while N is the number of informants that use the species as medicine to treat any given disease. 30 Preference ranking was conducted following 29, to identify the most preferred medicinal plant species used to treat the prevalent diseases in the area. Six medicinal plants mentioned by more than 50% of the total informants were used in this analysis. Each key informant was asked to assign the highest value (6) for the most preferred species and the lowest value (1) for the least preferred plant, and all the rest ranging between 6 and 1. The value of each species was summed up and ranked based on the total score.
Results
Medicinal plant diversity in Koneba district A total of 67 medicinal plant species belonging to 58 genera and 34 families were reported in this study. The families with largest number of species were Fabaceae (9 species), followed by Solanaceae (7 species) and Asclepidiaceae (5 species). Single species per single genus was recorded in the remaining 31 Families (Figure 2). Fifty three (79.10 %) species were used to combat human ailments while 10 (15.15 %) species used to treat both human and livestock ailments. Four (6.06 %) species were reported as medicines of livestock. Taxonomic diversity and hierarchical composition of medicinal plants A total of 67 medicinal plant species belonging to 58 genera and 34 families were reported in this study. The families with largest number of species were Fabaceae (9 species), followed by Solanaceae (7 species) and Asclepidiaceae (5 species). Single species per single genus was recorded in the remaining 31 Families (Figure 2). Fifty three (79.10 %) species were used to combat human ailments while 10 (15.15 %) species used to treat both human and livestock ailments. Four (6.06 %) species were reported as medicines of livestock. Taxonomic diversity and hierarchical composition of medicinal plants Distribution, Habit and Parts used Thirty-three (50 %) of the species were collected from wild habitat while home gardens contributed 24 (36.36 %) species and 10 (15.15 %) species were obtained from protected areas. Analysis of diversity by habits showed 37.31 % accounting for shrubs, 35.82% for herbs and 21% for trees. The remaining 5.97% of the species were Lianas. Leaves and roots were the most commonly used parts accounting for 91 (39.40%) and 63 (27.28%) of the remedies mentioned by the informants, respectively. Most remedies were prepared from single plant part while fourteen remedies were prepared from combinations of either leaf and root (11), leaf and stem (two), or leaf and bark (one). Thirty-three (50 %) of the species were collected from wild habitat while home gardens contributed 24 (36.36 %) species and 10 (15.15 %) species were obtained from protected areas. Analysis of diversity by habits showed 37.31 % accounting for shrubs, 35.82% for herbs and 21% for trees. The remaining 5.97% of the species were Lianas. Leaves and roots were the most commonly used parts accounting for 91 (39.40%) and 63 (27.28%) of the remedies mentioned by the informants, respectively. Most remedies were prepared from single plant part while fourteen remedies were prepared from combinations of either leaf and root (11), leaf and stem (two), or leaf and bark (one). Mode of Preparation and ways of administration Only nine percent of the mentioned mode of preparation employed dry materials. Pounding/crushing and mixing with either water or other additives were principal methods scoring 133 mentions; 57.08 % (Table 1). Water is the popular solvent used to prepare the herbal remedies (109 mentions). Honey, milk, butter, oil, animal blood, or saliva were reported as important additives (47 mentions). Oral administration accounted for the highest proportion of remedy application (114; 71.7 %) followed by topical administration (25; 15.72%). Uses of fresh materials are the most frequently mentioned methods (74.8%) while alternative use of fresh or dried materials were accounted for 17 % of preparation modes. Mode of herbal medicine preparation Only nine percent of the mentioned mode of preparation employed dry materials. Pounding/crushing and mixing with either water or other additives were principal methods scoring 133 mentions; 57.08 % (Table 1). Water is the popular solvent used to prepare the herbal remedies (109 mentions). Honey, milk, butter, oil, animal blood, or saliva were reported as important additives (47 mentions). Oral administration accounted for the highest proportion of remedy application (114; 71.7 %) followed by topical administration (25; 15.72%). Uses of fresh materials are the most frequently mentioned methods (74.8%) while alternative use of fresh or dried materials were accounted for 17 % of preparation modes. Mode of herbal medicine preparation Cultural importance of herbal medicine among Koneba communities in Afar The highest ICF (0.68) was obtained for the use of herbal medicine (13 medicinal plant species) to handle health issues related with poison, mainly with snakebite (Table 2). Nine species were mentioned to treat malaria, common cold, cough and fever scoring the second highest ICF value (0.67). The third highest ICF value (0.64) was recorded for problems related with reproductive health. Consensus factor support for disease categories reported by informants Highest FL were obtained for Ziziphus spina-christi (L.) Desf., Cocculus pendulus (J.R.Forst. & G.Forst.) Diels, C. adenocaule and Balanites rotundifolia (Tiegh.) Blatt. Good percentages of FL were recorded for Balanites aegyotiaca (L.) Delile, Chenopodium album L. and Acalypha fruticose Forssk. (See Table 3). Application of the most commonly used medicinal plants and their fidelity level Among the six most cited medicinal plant species that were used against snakebite, Cyphostemma adenocaule was preferred most while Zaleya pentandra (L.) C.Jeffrey ranked last (Table 4). Preference ranking of medicinal plants used against snakebite The highest ICF (0.68) was obtained for the use of herbal medicine (13 medicinal plant species) to handle health issues related with poison, mainly with snakebite (Table 2). Nine species were mentioned to treat malaria, common cold, cough and fever scoring the second highest ICF value (0.67). The third highest ICF value (0.64) was recorded for problems related with reproductive health. Consensus factor support for disease categories reported by informants Highest FL were obtained for Ziziphus spina-christi (L.) Desf., Cocculus pendulus (J.R.Forst. & G.Forst.) Diels, C. adenocaule and Balanites rotundifolia (Tiegh.) Blatt. Good percentages of FL were recorded for Balanites aegyotiaca (L.) Delile, Chenopodium album L. and Acalypha fruticose Forssk. (See Table 3). Application of the most commonly used medicinal plants and their fidelity level Among the six most cited medicinal plant species that were used against snakebite, Cyphostemma adenocaule was preferred most while Zaleya pentandra (L.) C.Jeffrey ranked last (Table 4). Preference ranking of medicinal plants used against snakebite
null
null
[ "Study area", "Sampling, data collection and analyses", "Medicinal plant diversity in Koneba district", "Distribution, Habit and Parts used", "Mode of Preparation and ways of administration", "Cultural importance of herbal medicine among Koneba communities in Afar" ]
[ "The Afar Regional State is located in geographic location between 8°49′ and 14030′ N latitude and 39°34′ to 42°28′ E longitude, northeastern Ethiopia. Koneba district is one of the 28 administrative districts, which is located in the northwestern part of the Regional State. It is about 624 km away from Addis Ababa, bordered by Tigray Regional State from the west, by Dallol district from north, and by Berhale district from east (Figure 1). The average elevation in this district is 1150 meters above sea level. 25\nStudy area and sampling sites\nThe population of Koneba is about 54,198 people who occupy, an area of 483.16 km2. 26 The majority of the local communities depend on livestock products and small-scale irrigation farming, which involves production of cereals, fruits and vegetables. A small proportion (0.68 %) engage in pastoral and urban (5.59 %) life styles. 26", "Four kebeles (Smallest administrative unit in Ethiopia) were selected as study sites based on prior information from the administrative offices and based on site seen during the reconnaissance survey. Vegetation cover, proximity to plant resources and herbal medicine utilization were basis of site selection. A total of 60 informants (50 males and 10 females) between the ages of 25 and 83 were selected to engage in this study. Eighteen traditional health practitioners were identified as key informants through purposive sampling technique following. 27 General informant (42) were selected through simple random method following the method by 28.\nEthnobotanical data were collected following techniques suggested in standard manuals, guidelines and protocols. 29, 30, 31, 32, 33 Formal and informal interviews were conducted individually and in groups. Active participant observation was employed in order to get firsthand information. 34 Voucher specimens of the plants were collected and deposited at the National Herbarium of Ethiopia (ETH) as well as at the Herbarium of Traditional and Modern Medicine Directorate, Ethiopian Public Health Institute (EPHI).\nDescriptive statistical tools were employed to analyze and summarize the data. Informant Consensus Factor (ICF) was calculated for each medicinal plant in order to validate responses of informants. 36 The difference between number of use citation (nur) and number of species used (nt) divided by the number of use citation minus one gives the value of ICF.\nThese values are presented between 0 and 1, and validity of the information obtained from informants increase as the ICF value approaches to 1. Fidelity level (FL) was calculated to verify the most important medicinal plant species in the district. The percentage of informants claiming a plant species for the same purpose provides the FL% and was calculated using the following formula.\nWhere Np stands for the number of informants claiming a certain plant species to cure a particular disease while N is the number of informants that use the species as medicine to treat any given disease. 30\nPreference ranking was conducted following 29, to identify the most preferred medicinal plant species used to treat the prevalent diseases in the area. Six medicinal plants mentioned by more than 50% of the total informants were used in this analysis. Each key informant was asked to assign the highest value (6) for the most preferred species and the lowest value (1) for the least preferred plant, and all the rest ranging between 6 and 1. The value of each species was summed up and ranked based on the total score.", "A total of 67 medicinal plant species belonging to 58 genera and 34 families were reported in this study. The families with largest number of species were Fabaceae (9 species), followed by Solanaceae (7 species) and Asclepidiaceae (5 species). Single species per single genus was recorded in the remaining 31 Families (Figure 2). Fifty three (79.10 %) species were used to combat human ailments while 10 (15.15 %) species used to treat both human and livestock ailments. Four (6.06 %) species were reported as medicines of livestock.\nTaxonomic diversity and hierarchical composition of medicinal plants", "Thirty-three (50 %) of the species were collected from wild habitat while home gardens contributed 24 (36.36 %) species and 10 (15.15 %) species were obtained from protected areas. Analysis of diversity by habits showed 37.31 % accounting for shrubs, 35.82% for herbs and 21% for trees. The remaining 5.97% of the species were Lianas.\nLeaves and roots were the most commonly used parts accounting for 91 (39.40%) and 63 (27.28%) of the remedies mentioned by the informants, respectively. Most remedies were prepared from single plant part while fourteen remedies were prepared from combinations of either leaf and root (11), leaf and stem (two), or leaf and bark (one).", "Only nine percent of the mentioned mode of preparation employed dry materials. Pounding/crushing and mixing with either water or other additives were principal methods scoring 133 mentions; 57.08 % (Table 1). Water is the popular solvent used to prepare the herbal remedies (109 mentions). Honey, milk, butter, oil, animal blood, or saliva were reported as important additives (47 mentions). Oral administration accounted for the highest proportion of remedy application (114; 71.7 %) followed by topical administration (25; 15.72%). Uses of fresh materials are the most frequently mentioned methods (74.8%) while alternative use of fresh or dried materials were accounted for 17 % of preparation modes.\nMode of herbal medicine preparation", "The highest ICF (0.68) was obtained for the use of herbal medicine (13 medicinal plant species) to handle health issues related with poison, mainly with snakebite (Table 2). Nine species were mentioned to treat malaria, common cold, cough and fever scoring the second highest ICF value (0.67). The third highest ICF value (0.64) was recorded for problems related with reproductive health.\nConsensus factor support for disease categories reported by informants\nHighest FL were obtained for Ziziphus spina-christi (L.) Desf., Cocculus pendulus (J.R.Forst. & G.Forst.) Diels, C. adenocaule and Balanites rotundifolia (Tiegh.) Blatt. Good percentages of FL were recorded for Balanites aegyotiaca (L.) Delile, Chenopodium album L. and Acalypha fruticose Forssk. (See Table 3).\nApplication of the most commonly used medicinal plants and their fidelity level\nAmong the six most cited medicinal plant species that were used against snakebite, Cyphostemma adenocaule was preferred most while Zaleya pentandra (L.) C.Jeffrey ranked last (Table 4).\nPreference ranking of medicinal plants used against snakebite" ]
[ null, null, null, null, null, null ]
[ "Introduction", "Methods", "Study area", "Sampling, data collection and analyses", "Results", "Medicinal plant diversity in Koneba district", "Distribution, Habit and Parts used", "Mode of Preparation and ways of administration", "Cultural importance of herbal medicine among Koneba communities in Afar", "Discussion" ]
[ "The practice of herbal medicine has a long term history and culture among many African communities. This persistent interaction of people and herbal medicine is mainly due to recognition of healing effects of the system. 1, 2 Knowledge and use of medicinal plants in Ethiopia play important role in the primary health care needs for both human and livestock. A number of ethnomedicinal studies documented this vital knowledge representing different communities from northern, southern and central parts of the country. For example:3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15. Relatively, few studies have been conducted in the northeastern 16, 17, 18 and eastern 19, 20 parts of Ethiopia. These are areas where most of the pastoral community of Ethiopia reside.\nThe Afar Regional State lies in the arid and semiarid climatic zone of the northeastern Ethiopia within the Great Rift Valley. The topography varies from hilly escarpment in the western edge to lowland plain areas in the eastern part. According to 21, the vegetation type is predominantly Acacia-Commiphora woodland and bushland in western part, small forest patches covered with Juniperous-Olea forest in northwestern part, and desert and semi-desert vegetation type in eastern plain land.\nThe Afar people are among the cultural and pastoral communities in Ethiopia who have developed knowledge on herbal medicine through long time interaction with nature. Their life style coupled with different life challenges, such as limited access to modern health care22 has necessitated extensive use of plant resources as medicine. Despite this, very limited scientific studies have been conducted to retrieve the ethnomedicinal knowledge of the community. To-date, only 16, 17 and 18 are the ethnomedicinal studies known from the Afar Region. Such scientific evidences help to enhance contribution of nature to development of herbal medicine. 23 However, the current trend of biodiversity loss may affect availability of herbal species and the associated knowledge. This may also be accelerated by alteration of life style. 24 Therefore, retrieval and documentation of such knowledge systems before they disappear is important.\nThe current study was conducted in Koneba district of the Afar Regional State with the aim of documenting medicinal plant species and the associated knowledge. The study also anticipated to see the role of protected areas and home gardens in the conservation of medicinal plants and securing the knowledge system.", "Study area The Afar Regional State is located in geographic location between 8°49′ and 14030′ N latitude and 39°34′ to 42°28′ E longitude, northeastern Ethiopia. Koneba district is one of the 28 administrative districts, which is located in the northwestern part of the Regional State. It is about 624 km away from Addis Ababa, bordered by Tigray Regional State from the west, by Dallol district from north, and by Berhale district from east (Figure 1). The average elevation in this district is 1150 meters above sea level. 25\nStudy area and sampling sites\nThe population of Koneba is about 54,198 people who occupy, an area of 483.16 km2. 26 The majority of the local communities depend on livestock products and small-scale irrigation farming, which involves production of cereals, fruits and vegetables. A small proportion (0.68 %) engage in pastoral and urban (5.59 %) life styles. 26\nThe Afar Regional State is located in geographic location between 8°49′ and 14030′ N latitude and 39°34′ to 42°28′ E longitude, northeastern Ethiopia. Koneba district is one of the 28 administrative districts, which is located in the northwestern part of the Regional State. It is about 624 km away from Addis Ababa, bordered by Tigray Regional State from the west, by Dallol district from north, and by Berhale district from east (Figure 1). The average elevation in this district is 1150 meters above sea level. 25\nStudy area and sampling sites\nThe population of Koneba is about 54,198 people who occupy, an area of 483.16 km2. 26 The majority of the local communities depend on livestock products and small-scale irrigation farming, which involves production of cereals, fruits and vegetables. A small proportion (0.68 %) engage in pastoral and urban (5.59 %) life styles. 26\nSampling, data collection and analyses Four kebeles (Smallest administrative unit in Ethiopia) were selected as study sites based on prior information from the administrative offices and based on site seen during the reconnaissance survey. Vegetation cover, proximity to plant resources and herbal medicine utilization were basis of site selection. A total of 60 informants (50 males and 10 females) between the ages of 25 and 83 were selected to engage in this study. Eighteen traditional health practitioners were identified as key informants through purposive sampling technique following. 27 General informant (42) were selected through simple random method following the method by 28.\nEthnobotanical data were collected following techniques suggested in standard manuals, guidelines and protocols. 29, 30, 31, 32, 33 Formal and informal interviews were conducted individually and in groups. Active participant observation was employed in order to get firsthand information. 34 Voucher specimens of the plants were collected and deposited at the National Herbarium of Ethiopia (ETH) as well as at the Herbarium of Traditional and Modern Medicine Directorate, Ethiopian Public Health Institute (EPHI).\nDescriptive statistical tools were employed to analyze and summarize the data. Informant Consensus Factor (ICF) was calculated for each medicinal plant in order to validate responses of informants. 36 The difference between number of use citation (nur) and number of species used (nt) divided by the number of use citation minus one gives the value of ICF.\nThese values are presented between 0 and 1, and validity of the information obtained from informants increase as the ICF value approaches to 1. Fidelity level (FL) was calculated to verify the most important medicinal plant species in the district. The percentage of informants claiming a plant species for the same purpose provides the FL% and was calculated using the following formula.\nWhere Np stands for the number of informants claiming a certain plant species to cure a particular disease while N is the number of informants that use the species as medicine to treat any given disease. 30\nPreference ranking was conducted following 29, to identify the most preferred medicinal plant species used to treat the prevalent diseases in the area. Six medicinal plants mentioned by more than 50% of the total informants were used in this analysis. Each key informant was asked to assign the highest value (6) for the most preferred species and the lowest value (1) for the least preferred plant, and all the rest ranging between 6 and 1. The value of each species was summed up and ranked based on the total score.\nFour kebeles (Smallest administrative unit in Ethiopia) were selected as study sites based on prior information from the administrative offices and based on site seen during the reconnaissance survey. Vegetation cover, proximity to plant resources and herbal medicine utilization were basis of site selection. A total of 60 informants (50 males and 10 females) between the ages of 25 and 83 were selected to engage in this study. Eighteen traditional health practitioners were identified as key informants through purposive sampling technique following. 27 General informant (42) were selected through simple random method following the method by 28.\nEthnobotanical data were collected following techniques suggested in standard manuals, guidelines and protocols. 29, 30, 31, 32, 33 Formal and informal interviews were conducted individually and in groups. Active participant observation was employed in order to get firsthand information. 34 Voucher specimens of the plants were collected and deposited at the National Herbarium of Ethiopia (ETH) as well as at the Herbarium of Traditional and Modern Medicine Directorate, Ethiopian Public Health Institute (EPHI).\nDescriptive statistical tools were employed to analyze and summarize the data. Informant Consensus Factor (ICF) was calculated for each medicinal plant in order to validate responses of informants. 36 The difference between number of use citation (nur) and number of species used (nt) divided by the number of use citation minus one gives the value of ICF.\nThese values are presented between 0 and 1, and validity of the information obtained from informants increase as the ICF value approaches to 1. Fidelity level (FL) was calculated to verify the most important medicinal plant species in the district. The percentage of informants claiming a plant species for the same purpose provides the FL% and was calculated using the following formula.\nWhere Np stands for the number of informants claiming a certain plant species to cure a particular disease while N is the number of informants that use the species as medicine to treat any given disease. 30\nPreference ranking was conducted following 29, to identify the most preferred medicinal plant species used to treat the prevalent diseases in the area. Six medicinal plants mentioned by more than 50% of the total informants were used in this analysis. Each key informant was asked to assign the highest value (6) for the most preferred species and the lowest value (1) for the least preferred plant, and all the rest ranging between 6 and 1. The value of each species was summed up and ranked based on the total score.", "The Afar Regional State is located in geographic location between 8°49′ and 14030′ N latitude and 39°34′ to 42°28′ E longitude, northeastern Ethiopia. Koneba district is one of the 28 administrative districts, which is located in the northwestern part of the Regional State. It is about 624 km away from Addis Ababa, bordered by Tigray Regional State from the west, by Dallol district from north, and by Berhale district from east (Figure 1). The average elevation in this district is 1150 meters above sea level. 25\nStudy area and sampling sites\nThe population of Koneba is about 54,198 people who occupy, an area of 483.16 km2. 26 The majority of the local communities depend on livestock products and small-scale irrigation farming, which involves production of cereals, fruits and vegetables. A small proportion (0.68 %) engage in pastoral and urban (5.59 %) life styles. 26", "Four kebeles (Smallest administrative unit in Ethiopia) were selected as study sites based on prior information from the administrative offices and based on site seen during the reconnaissance survey. Vegetation cover, proximity to plant resources and herbal medicine utilization were basis of site selection. A total of 60 informants (50 males and 10 females) between the ages of 25 and 83 were selected to engage in this study. Eighteen traditional health practitioners were identified as key informants through purposive sampling technique following. 27 General informant (42) were selected through simple random method following the method by 28.\nEthnobotanical data were collected following techniques suggested in standard manuals, guidelines and protocols. 29, 30, 31, 32, 33 Formal and informal interviews were conducted individually and in groups. Active participant observation was employed in order to get firsthand information. 34 Voucher specimens of the plants were collected and deposited at the National Herbarium of Ethiopia (ETH) as well as at the Herbarium of Traditional and Modern Medicine Directorate, Ethiopian Public Health Institute (EPHI).\nDescriptive statistical tools were employed to analyze and summarize the data. Informant Consensus Factor (ICF) was calculated for each medicinal plant in order to validate responses of informants. 36 The difference between number of use citation (nur) and number of species used (nt) divided by the number of use citation minus one gives the value of ICF.\nThese values are presented between 0 and 1, and validity of the information obtained from informants increase as the ICF value approaches to 1. Fidelity level (FL) was calculated to verify the most important medicinal plant species in the district. The percentage of informants claiming a plant species for the same purpose provides the FL% and was calculated using the following formula.\nWhere Np stands for the number of informants claiming a certain plant species to cure a particular disease while N is the number of informants that use the species as medicine to treat any given disease. 30\nPreference ranking was conducted following 29, to identify the most preferred medicinal plant species used to treat the prevalent diseases in the area. Six medicinal plants mentioned by more than 50% of the total informants were used in this analysis. Each key informant was asked to assign the highest value (6) for the most preferred species and the lowest value (1) for the least preferred plant, and all the rest ranging between 6 and 1. The value of each species was summed up and ranked based on the total score.", "Medicinal plant diversity in Koneba district A total of 67 medicinal plant species belonging to 58 genera and 34 families were reported in this study. The families with largest number of species were Fabaceae (9 species), followed by Solanaceae (7 species) and Asclepidiaceae (5 species). Single species per single genus was recorded in the remaining 31 Families (Figure 2). Fifty three (79.10 %) species were used to combat human ailments while 10 (15.15 %) species used to treat both human and livestock ailments. Four (6.06 %) species were reported as medicines of livestock.\nTaxonomic diversity and hierarchical composition of medicinal plants\nA total of 67 medicinal plant species belonging to 58 genera and 34 families were reported in this study. The families with largest number of species were Fabaceae (9 species), followed by Solanaceae (7 species) and Asclepidiaceae (5 species). Single species per single genus was recorded in the remaining 31 Families (Figure 2). Fifty three (79.10 %) species were used to combat human ailments while 10 (15.15 %) species used to treat both human and livestock ailments. Four (6.06 %) species were reported as medicines of livestock.\nTaxonomic diversity and hierarchical composition of medicinal plants\nDistribution, Habit and Parts used Thirty-three (50 %) of the species were collected from wild habitat while home gardens contributed 24 (36.36 %) species and 10 (15.15 %) species were obtained from protected areas. Analysis of diversity by habits showed 37.31 % accounting for shrubs, 35.82% for herbs and 21% for trees. The remaining 5.97% of the species were Lianas.\nLeaves and roots were the most commonly used parts accounting for 91 (39.40%) and 63 (27.28%) of the remedies mentioned by the informants, respectively. Most remedies were prepared from single plant part while fourteen remedies were prepared from combinations of either leaf and root (11), leaf and stem (two), or leaf and bark (one).\nThirty-three (50 %) of the species were collected from wild habitat while home gardens contributed 24 (36.36 %) species and 10 (15.15 %) species were obtained from protected areas. Analysis of diversity by habits showed 37.31 % accounting for shrubs, 35.82% for herbs and 21% for trees. The remaining 5.97% of the species were Lianas.\nLeaves and roots were the most commonly used parts accounting for 91 (39.40%) and 63 (27.28%) of the remedies mentioned by the informants, respectively. Most remedies were prepared from single plant part while fourteen remedies were prepared from combinations of either leaf and root (11), leaf and stem (two), or leaf and bark (one).\nMode of Preparation and ways of administration Only nine percent of the mentioned mode of preparation employed dry materials. Pounding/crushing and mixing with either water or other additives were principal methods scoring 133 mentions; 57.08 % (Table 1). Water is the popular solvent used to prepare the herbal remedies (109 mentions). Honey, milk, butter, oil, animal blood, or saliva were reported as important additives (47 mentions). Oral administration accounted for the highest proportion of remedy application (114; 71.7 %) followed by topical administration (25; 15.72%). Uses of fresh materials are the most frequently mentioned methods (74.8%) while alternative use of fresh or dried materials were accounted for 17 % of preparation modes.\nMode of herbal medicine preparation\nOnly nine percent of the mentioned mode of preparation employed dry materials. Pounding/crushing and mixing with either water or other additives were principal methods scoring 133 mentions; 57.08 % (Table 1). Water is the popular solvent used to prepare the herbal remedies (109 mentions). Honey, milk, butter, oil, animal blood, or saliva were reported as important additives (47 mentions). Oral administration accounted for the highest proportion of remedy application (114; 71.7 %) followed by topical administration (25; 15.72%). Uses of fresh materials are the most frequently mentioned methods (74.8%) while alternative use of fresh or dried materials were accounted for 17 % of preparation modes.\nMode of herbal medicine preparation\nCultural importance of herbal medicine among Koneba communities in Afar The highest ICF (0.68) was obtained for the use of herbal medicine (13 medicinal plant species) to handle health issues related with poison, mainly with snakebite (Table 2). Nine species were mentioned to treat malaria, common cold, cough and fever scoring the second highest ICF value (0.67). The third highest ICF value (0.64) was recorded for problems related with reproductive health.\nConsensus factor support for disease categories reported by informants\nHighest FL were obtained for Ziziphus spina-christi (L.) Desf., Cocculus pendulus (J.R.Forst. & G.Forst.) Diels, C. adenocaule and Balanites rotundifolia (Tiegh.) Blatt. Good percentages of FL were recorded for Balanites aegyotiaca (L.) Delile, Chenopodium album L. and Acalypha fruticose Forssk. (See Table 3).\nApplication of the most commonly used medicinal plants and their fidelity level\nAmong the six most cited medicinal plant species that were used against snakebite, Cyphostemma adenocaule was preferred most while Zaleya pentandra (L.) C.Jeffrey ranked last (Table 4).\nPreference ranking of medicinal plants used against snakebite\nThe highest ICF (0.68) was obtained for the use of herbal medicine (13 medicinal plant species) to handle health issues related with poison, mainly with snakebite (Table 2). Nine species were mentioned to treat malaria, common cold, cough and fever scoring the second highest ICF value (0.67). The third highest ICF value (0.64) was recorded for problems related with reproductive health.\nConsensus factor support for disease categories reported by informants\nHighest FL were obtained for Ziziphus spina-christi (L.) Desf., Cocculus pendulus (J.R.Forst. & G.Forst.) Diels, C. adenocaule and Balanites rotundifolia (Tiegh.) Blatt. Good percentages of FL were recorded for Balanites aegyotiaca (L.) Delile, Chenopodium album L. and Acalypha fruticose Forssk. (See Table 3).\nApplication of the most commonly used medicinal plants and their fidelity level\nAmong the six most cited medicinal plant species that were used against snakebite, Cyphostemma adenocaule was preferred most while Zaleya pentandra (L.) C.Jeffrey ranked last (Table 4).\nPreference ranking of medicinal plants used against snakebite", "A total of 67 medicinal plant species belonging to 58 genera and 34 families were reported in this study. The families with largest number of species were Fabaceae (9 species), followed by Solanaceae (7 species) and Asclepidiaceae (5 species). Single species per single genus was recorded in the remaining 31 Families (Figure 2). Fifty three (79.10 %) species were used to combat human ailments while 10 (15.15 %) species used to treat both human and livestock ailments. Four (6.06 %) species were reported as medicines of livestock.\nTaxonomic diversity and hierarchical composition of medicinal plants", "Thirty-three (50 %) of the species were collected from wild habitat while home gardens contributed 24 (36.36 %) species and 10 (15.15 %) species were obtained from protected areas. Analysis of diversity by habits showed 37.31 % accounting for shrubs, 35.82% for herbs and 21% for trees. The remaining 5.97% of the species were Lianas.\nLeaves and roots were the most commonly used parts accounting for 91 (39.40%) and 63 (27.28%) of the remedies mentioned by the informants, respectively. Most remedies were prepared from single plant part while fourteen remedies were prepared from combinations of either leaf and root (11), leaf and stem (two), or leaf and bark (one).", "Only nine percent of the mentioned mode of preparation employed dry materials. Pounding/crushing and mixing with either water or other additives were principal methods scoring 133 mentions; 57.08 % (Table 1). Water is the popular solvent used to prepare the herbal remedies (109 mentions). Honey, milk, butter, oil, animal blood, or saliva were reported as important additives (47 mentions). Oral administration accounted for the highest proportion of remedy application (114; 71.7 %) followed by topical administration (25; 15.72%). Uses of fresh materials are the most frequently mentioned methods (74.8%) while alternative use of fresh or dried materials were accounted for 17 % of preparation modes.\nMode of herbal medicine preparation", "The highest ICF (0.68) was obtained for the use of herbal medicine (13 medicinal plant species) to handle health issues related with poison, mainly with snakebite (Table 2). Nine species were mentioned to treat malaria, common cold, cough and fever scoring the second highest ICF value (0.67). The third highest ICF value (0.64) was recorded for problems related with reproductive health.\nConsensus factor support for disease categories reported by informants\nHighest FL were obtained for Ziziphus spina-christi (L.) Desf., Cocculus pendulus (J.R.Forst. & G.Forst.) Diels, C. adenocaule and Balanites rotundifolia (Tiegh.) Blatt. Good percentages of FL were recorded for Balanites aegyotiaca (L.) Delile, Chenopodium album L. and Acalypha fruticose Forssk. (See Table 3).\nApplication of the most commonly used medicinal plants and their fidelity level\nAmong the six most cited medicinal plant species that were used against snakebite, Cyphostemma adenocaule was preferred most while Zaleya pentandra (L.) C.Jeffrey ranked last (Table 4).\nPreference ranking of medicinal plants used against snakebite", "In this study, a substantial number of medicinal plant species were recorded and collected that justified the use of medicinal plants by the Afar pastoral community. The largest number of medicinal plant species collected in this study belong to the family Fabaceae. This family is the third largest angiosperm family and widely distributed globally (Encyclopedia Britannica) while it is the second largest in the Flora region.36 It includes many species that are economically important. 37 The families Solanaceae and Asclepidiaceae also include several species that are typical of arid environments such that of the Afar region.\nThe proportion of shrubs was high in the current study, which is in agreement with preveious studies.1, 16, 4, 17, 18 This is because of the influence from the dominant vegetation type, which is mainly Acacia-Commiphora woodland and bushland. 21 Composition of herbs was also comparable to that of shrubs, which could be the contribution of the home garden. Trees also contributed a good number of medicinal plant species, which could be the effect of protection.\nThe highest proportions of herbal medicines are prepared from fresh leaves and roots. This is consistent with findings of other studies. 3, 1, 7, 18 Preparing herbal medicines from fresh materials reduces the risk of losing active bioactive ingredients due to drying and poor storage. Leaves are the most usable parts in many cases of herbal medicine. This is attributed to higher concentration of bioactive ingredients produced and stored in leaves than other parts. 38, 39 Roots accounted for eleven kinds of remedies, which demonstrates the existence of bioactive ingredients in roots. 40\nHoney, sugar and salt were used to provide the prepared herbal medicines taste as reported in similar studies. 16, 17 Use of milk and animal blood were believed to increase the potency of medicinal plants 16 while milk is reported as antidote in case of toxicity and stomach upset. 18\nThe result of ICF analyses indicated highest value to the disease category that included snakebite, malaria, common cold and related diseases. The use of a number of plants to handle a certain disease and the high agreement among several respondents implies high prevalence of the disease. Largest number of medicinal plant species (13 species) were cited to treat single type of disease (snakebite) while nine species were mentioned to treat more than one disease (malaria, common cold, cough and fever). Hence, snakebite is the prevalent disease identified in the study area, which is similar to findings of studies conducted elsewhere in the region. 16\nCyphostemma adenocaule is identified as the most preferred species used to treat snakebite. This result is supported by the FL analysis. A review report by 41 included the species as one of the medicinal plant species used by local communities of Afar as well as the neighboring Tigray and Oromiya regions. Another species belonging to the same genus was reported as useful herb against snakebite Yalo district of Afar region. 18 The bioactive constituents having detoxifying effect might have been confined at genus level. Zaleya pentandra was also reported as useful plant against snakebite, which agree with the report by 16. These findings suggest that such shared knowledge might be the reflection of interaction with the actual biodiversity in the area.\nDespite these findings, snakebite has not been reported among the list of health problems by the modern health care system. This evidenced that the problem is controlled by herbal medication system. The contribution of these species could have been extended to tackle other related health problems. Evaluating and validating the efficacy can promote the benefit of the species." ]
[ "intro", "methods", null, null, "results", null, null, null, null, "discussion" ]
[ "Ethnomedicine", "informant consensus", "snakebite" ]
Introduction: The practice of herbal medicine has a long term history and culture among many African communities. This persistent interaction of people and herbal medicine is mainly due to recognition of healing effects of the system. 1, 2 Knowledge and use of medicinal plants in Ethiopia play important role in the primary health care needs for both human and livestock. A number of ethnomedicinal studies documented this vital knowledge representing different communities from northern, southern and central parts of the country. For example:3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15. Relatively, few studies have been conducted in the northeastern 16, 17, 18 and eastern 19, 20 parts of Ethiopia. These are areas where most of the pastoral community of Ethiopia reside. The Afar Regional State lies in the arid and semiarid climatic zone of the northeastern Ethiopia within the Great Rift Valley. The topography varies from hilly escarpment in the western edge to lowland plain areas in the eastern part. According to 21, the vegetation type is predominantly Acacia-Commiphora woodland and bushland in western part, small forest patches covered with Juniperous-Olea forest in northwestern part, and desert and semi-desert vegetation type in eastern plain land. The Afar people are among the cultural and pastoral communities in Ethiopia who have developed knowledge on herbal medicine through long time interaction with nature. Their life style coupled with different life challenges, such as limited access to modern health care22 has necessitated extensive use of plant resources as medicine. Despite this, very limited scientific studies have been conducted to retrieve the ethnomedicinal knowledge of the community. To-date, only 16, 17 and 18 are the ethnomedicinal studies known from the Afar Region. Such scientific evidences help to enhance contribution of nature to development of herbal medicine. 23 However, the current trend of biodiversity loss may affect availability of herbal species and the associated knowledge. This may also be accelerated by alteration of life style. 24 Therefore, retrieval and documentation of such knowledge systems before they disappear is important. The current study was conducted in Koneba district of the Afar Regional State with the aim of documenting medicinal plant species and the associated knowledge. The study also anticipated to see the role of protected areas and home gardens in the conservation of medicinal plants and securing the knowledge system. Methods: Study area The Afar Regional State is located in geographic location between 8°49′ and 14030′ N latitude and 39°34′ to 42°28′ E longitude, northeastern Ethiopia. Koneba district is one of the 28 administrative districts, which is located in the northwestern part of the Regional State. It is about 624 km away from Addis Ababa, bordered by Tigray Regional State from the west, by Dallol district from north, and by Berhale district from east (Figure 1). The average elevation in this district is 1150 meters above sea level. 25 Study area and sampling sites The population of Koneba is about 54,198 people who occupy, an area of 483.16 km2. 26 The majority of the local communities depend on livestock products and small-scale irrigation farming, which involves production of cereals, fruits and vegetables. A small proportion (0.68 %) engage in pastoral and urban (5.59 %) life styles. 26 The Afar Regional State is located in geographic location between 8°49′ and 14030′ N latitude and 39°34′ to 42°28′ E longitude, northeastern Ethiopia. Koneba district is one of the 28 administrative districts, which is located in the northwestern part of the Regional State. It is about 624 km away from Addis Ababa, bordered by Tigray Regional State from the west, by Dallol district from north, and by Berhale district from east (Figure 1). The average elevation in this district is 1150 meters above sea level. 25 Study area and sampling sites The population of Koneba is about 54,198 people who occupy, an area of 483.16 km2. 26 The majority of the local communities depend on livestock products and small-scale irrigation farming, which involves production of cereals, fruits and vegetables. A small proportion (0.68 %) engage in pastoral and urban (5.59 %) life styles. 26 Sampling, data collection and analyses Four kebeles (Smallest administrative unit in Ethiopia) were selected as study sites based on prior information from the administrative offices and based on site seen during the reconnaissance survey. Vegetation cover, proximity to plant resources and herbal medicine utilization were basis of site selection. A total of 60 informants (50 males and 10 females) between the ages of 25 and 83 were selected to engage in this study. Eighteen traditional health practitioners were identified as key informants through purposive sampling technique following. 27 General informant (42) were selected through simple random method following the method by 28. Ethnobotanical data were collected following techniques suggested in standard manuals, guidelines and protocols. 29, 30, 31, 32, 33 Formal and informal interviews were conducted individually and in groups. Active participant observation was employed in order to get firsthand information. 34 Voucher specimens of the plants were collected and deposited at the National Herbarium of Ethiopia (ETH) as well as at the Herbarium of Traditional and Modern Medicine Directorate, Ethiopian Public Health Institute (EPHI). Descriptive statistical tools were employed to analyze and summarize the data. Informant Consensus Factor (ICF) was calculated for each medicinal plant in order to validate responses of informants. 36 The difference between number of use citation (nur) and number of species used (nt) divided by the number of use citation minus one gives the value of ICF. These values are presented between 0 and 1, and validity of the information obtained from informants increase as the ICF value approaches to 1. Fidelity level (FL) was calculated to verify the most important medicinal plant species in the district. The percentage of informants claiming a plant species for the same purpose provides the FL% and was calculated using the following formula. Where Np stands for the number of informants claiming a certain plant species to cure a particular disease while N is the number of informants that use the species as medicine to treat any given disease. 30 Preference ranking was conducted following 29, to identify the most preferred medicinal plant species used to treat the prevalent diseases in the area. Six medicinal plants mentioned by more than 50% of the total informants were used in this analysis. Each key informant was asked to assign the highest value (6) for the most preferred species and the lowest value (1) for the least preferred plant, and all the rest ranging between 6 and 1. The value of each species was summed up and ranked based on the total score. Four kebeles (Smallest administrative unit in Ethiopia) were selected as study sites based on prior information from the administrative offices and based on site seen during the reconnaissance survey. Vegetation cover, proximity to plant resources and herbal medicine utilization were basis of site selection. A total of 60 informants (50 males and 10 females) between the ages of 25 and 83 were selected to engage in this study. Eighteen traditional health practitioners were identified as key informants through purposive sampling technique following. 27 General informant (42) were selected through simple random method following the method by 28. Ethnobotanical data were collected following techniques suggested in standard manuals, guidelines and protocols. 29, 30, 31, 32, 33 Formal and informal interviews were conducted individually and in groups. Active participant observation was employed in order to get firsthand information. 34 Voucher specimens of the plants were collected and deposited at the National Herbarium of Ethiopia (ETH) as well as at the Herbarium of Traditional and Modern Medicine Directorate, Ethiopian Public Health Institute (EPHI). Descriptive statistical tools were employed to analyze and summarize the data. Informant Consensus Factor (ICF) was calculated for each medicinal plant in order to validate responses of informants. 36 The difference between number of use citation (nur) and number of species used (nt) divided by the number of use citation minus one gives the value of ICF. These values are presented between 0 and 1, and validity of the information obtained from informants increase as the ICF value approaches to 1. Fidelity level (FL) was calculated to verify the most important medicinal plant species in the district. The percentage of informants claiming a plant species for the same purpose provides the FL% and was calculated using the following formula. Where Np stands for the number of informants claiming a certain plant species to cure a particular disease while N is the number of informants that use the species as medicine to treat any given disease. 30 Preference ranking was conducted following 29, to identify the most preferred medicinal plant species used to treat the prevalent diseases in the area. Six medicinal plants mentioned by more than 50% of the total informants were used in this analysis. Each key informant was asked to assign the highest value (6) for the most preferred species and the lowest value (1) for the least preferred plant, and all the rest ranging between 6 and 1. The value of each species was summed up and ranked based on the total score. Study area: The Afar Regional State is located in geographic location between 8°49′ and 14030′ N latitude and 39°34′ to 42°28′ E longitude, northeastern Ethiopia. Koneba district is one of the 28 administrative districts, which is located in the northwestern part of the Regional State. It is about 624 km away from Addis Ababa, bordered by Tigray Regional State from the west, by Dallol district from north, and by Berhale district from east (Figure 1). The average elevation in this district is 1150 meters above sea level. 25 Study area and sampling sites The population of Koneba is about 54,198 people who occupy, an area of 483.16 km2. 26 The majority of the local communities depend on livestock products and small-scale irrigation farming, which involves production of cereals, fruits and vegetables. A small proportion (0.68 %) engage in pastoral and urban (5.59 %) life styles. 26 Sampling, data collection and analyses: Four kebeles (Smallest administrative unit in Ethiopia) were selected as study sites based on prior information from the administrative offices and based on site seen during the reconnaissance survey. Vegetation cover, proximity to plant resources and herbal medicine utilization were basis of site selection. A total of 60 informants (50 males and 10 females) between the ages of 25 and 83 were selected to engage in this study. Eighteen traditional health practitioners were identified as key informants through purposive sampling technique following. 27 General informant (42) were selected through simple random method following the method by 28. Ethnobotanical data were collected following techniques suggested in standard manuals, guidelines and protocols. 29, 30, 31, 32, 33 Formal and informal interviews were conducted individually and in groups. Active participant observation was employed in order to get firsthand information. 34 Voucher specimens of the plants were collected and deposited at the National Herbarium of Ethiopia (ETH) as well as at the Herbarium of Traditional and Modern Medicine Directorate, Ethiopian Public Health Institute (EPHI). Descriptive statistical tools were employed to analyze and summarize the data. Informant Consensus Factor (ICF) was calculated for each medicinal plant in order to validate responses of informants. 36 The difference between number of use citation (nur) and number of species used (nt) divided by the number of use citation minus one gives the value of ICF. These values are presented between 0 and 1, and validity of the information obtained from informants increase as the ICF value approaches to 1. Fidelity level (FL) was calculated to verify the most important medicinal plant species in the district. The percentage of informants claiming a plant species for the same purpose provides the FL% and was calculated using the following formula. Where Np stands for the number of informants claiming a certain plant species to cure a particular disease while N is the number of informants that use the species as medicine to treat any given disease. 30 Preference ranking was conducted following 29, to identify the most preferred medicinal plant species used to treat the prevalent diseases in the area. Six medicinal plants mentioned by more than 50% of the total informants were used in this analysis. Each key informant was asked to assign the highest value (6) for the most preferred species and the lowest value (1) for the least preferred plant, and all the rest ranging between 6 and 1. The value of each species was summed up and ranked based on the total score. Results: Medicinal plant diversity in Koneba district A total of 67 medicinal plant species belonging to 58 genera and 34 families were reported in this study. The families with largest number of species were Fabaceae (9 species), followed by Solanaceae (7 species) and Asclepidiaceae (5 species). Single species per single genus was recorded in the remaining 31 Families (Figure 2). Fifty three (79.10 %) species were used to combat human ailments while 10 (15.15 %) species used to treat both human and livestock ailments. Four (6.06 %) species were reported as medicines of livestock. Taxonomic diversity and hierarchical composition of medicinal plants A total of 67 medicinal plant species belonging to 58 genera and 34 families were reported in this study. The families with largest number of species were Fabaceae (9 species), followed by Solanaceae (7 species) and Asclepidiaceae (5 species). Single species per single genus was recorded in the remaining 31 Families (Figure 2). Fifty three (79.10 %) species were used to combat human ailments while 10 (15.15 %) species used to treat both human and livestock ailments. Four (6.06 %) species were reported as medicines of livestock. Taxonomic diversity and hierarchical composition of medicinal plants Distribution, Habit and Parts used Thirty-three (50 %) of the species were collected from wild habitat while home gardens contributed 24 (36.36 %) species and 10 (15.15 %) species were obtained from protected areas. Analysis of diversity by habits showed 37.31 % accounting for shrubs, 35.82% for herbs and 21% for trees. The remaining 5.97% of the species were Lianas. Leaves and roots were the most commonly used parts accounting for 91 (39.40%) and 63 (27.28%) of the remedies mentioned by the informants, respectively. Most remedies were prepared from single plant part while fourteen remedies were prepared from combinations of either leaf and root (11), leaf and stem (two), or leaf and bark (one). Thirty-three (50 %) of the species were collected from wild habitat while home gardens contributed 24 (36.36 %) species and 10 (15.15 %) species were obtained from protected areas. Analysis of diversity by habits showed 37.31 % accounting for shrubs, 35.82% for herbs and 21% for trees. The remaining 5.97% of the species were Lianas. Leaves and roots were the most commonly used parts accounting for 91 (39.40%) and 63 (27.28%) of the remedies mentioned by the informants, respectively. Most remedies were prepared from single plant part while fourteen remedies were prepared from combinations of either leaf and root (11), leaf and stem (two), or leaf and bark (one). Mode of Preparation and ways of administration Only nine percent of the mentioned mode of preparation employed dry materials. Pounding/crushing and mixing with either water or other additives were principal methods scoring 133 mentions; 57.08 % (Table 1). Water is the popular solvent used to prepare the herbal remedies (109 mentions). Honey, milk, butter, oil, animal blood, or saliva were reported as important additives (47 mentions). Oral administration accounted for the highest proportion of remedy application (114; 71.7 %) followed by topical administration (25; 15.72%). Uses of fresh materials are the most frequently mentioned methods (74.8%) while alternative use of fresh or dried materials were accounted for 17 % of preparation modes. Mode of herbal medicine preparation Only nine percent of the mentioned mode of preparation employed dry materials. Pounding/crushing and mixing with either water or other additives were principal methods scoring 133 mentions; 57.08 % (Table 1). Water is the popular solvent used to prepare the herbal remedies (109 mentions). Honey, milk, butter, oil, animal blood, or saliva were reported as important additives (47 mentions). Oral administration accounted for the highest proportion of remedy application (114; 71.7 %) followed by topical administration (25; 15.72%). Uses of fresh materials are the most frequently mentioned methods (74.8%) while alternative use of fresh or dried materials were accounted for 17 % of preparation modes. Mode of herbal medicine preparation Cultural importance of herbal medicine among Koneba communities in Afar The highest ICF (0.68) was obtained for the use of herbal medicine (13 medicinal plant species) to handle health issues related with poison, mainly with snakebite (Table 2). Nine species were mentioned to treat malaria, common cold, cough and fever scoring the second highest ICF value (0.67). The third highest ICF value (0.64) was recorded for problems related with reproductive health. Consensus factor support for disease categories reported by informants Highest FL were obtained for Ziziphus spina-christi (L.) Desf., Cocculus pendulus (J.R.Forst. & G.Forst.) Diels, C. adenocaule and Balanites rotundifolia (Tiegh.) Blatt. Good percentages of FL were recorded for Balanites aegyotiaca (L.) Delile, Chenopodium album L. and Acalypha fruticose Forssk. (See Table 3). Application of the most commonly used medicinal plants and their fidelity level Among the six most cited medicinal plant species that were used against snakebite, Cyphostemma adenocaule was preferred most while Zaleya pentandra (L.) C.Jeffrey ranked last (Table 4). Preference ranking of medicinal plants used against snakebite The highest ICF (0.68) was obtained for the use of herbal medicine (13 medicinal plant species) to handle health issues related with poison, mainly with snakebite (Table 2). Nine species were mentioned to treat malaria, common cold, cough and fever scoring the second highest ICF value (0.67). The third highest ICF value (0.64) was recorded for problems related with reproductive health. Consensus factor support for disease categories reported by informants Highest FL were obtained for Ziziphus spina-christi (L.) Desf., Cocculus pendulus (J.R.Forst. & G.Forst.) Diels, C. adenocaule and Balanites rotundifolia (Tiegh.) Blatt. Good percentages of FL were recorded for Balanites aegyotiaca (L.) Delile, Chenopodium album L. and Acalypha fruticose Forssk. (See Table 3). Application of the most commonly used medicinal plants and their fidelity level Among the six most cited medicinal plant species that were used against snakebite, Cyphostemma adenocaule was preferred most while Zaleya pentandra (L.) C.Jeffrey ranked last (Table 4). Preference ranking of medicinal plants used against snakebite Medicinal plant diversity in Koneba district: A total of 67 medicinal plant species belonging to 58 genera and 34 families were reported in this study. The families with largest number of species were Fabaceae (9 species), followed by Solanaceae (7 species) and Asclepidiaceae (5 species). Single species per single genus was recorded in the remaining 31 Families (Figure 2). Fifty three (79.10 %) species were used to combat human ailments while 10 (15.15 %) species used to treat both human and livestock ailments. Four (6.06 %) species were reported as medicines of livestock. Taxonomic diversity and hierarchical composition of medicinal plants Distribution, Habit and Parts used: Thirty-three (50 %) of the species were collected from wild habitat while home gardens contributed 24 (36.36 %) species and 10 (15.15 %) species were obtained from protected areas. Analysis of diversity by habits showed 37.31 % accounting for shrubs, 35.82% for herbs and 21% for trees. The remaining 5.97% of the species were Lianas. Leaves and roots were the most commonly used parts accounting for 91 (39.40%) and 63 (27.28%) of the remedies mentioned by the informants, respectively. Most remedies were prepared from single plant part while fourteen remedies were prepared from combinations of either leaf and root (11), leaf and stem (two), or leaf and bark (one). Mode of Preparation and ways of administration: Only nine percent of the mentioned mode of preparation employed dry materials. Pounding/crushing and mixing with either water or other additives were principal methods scoring 133 mentions; 57.08 % (Table 1). Water is the popular solvent used to prepare the herbal remedies (109 mentions). Honey, milk, butter, oil, animal blood, or saliva were reported as important additives (47 mentions). Oral administration accounted for the highest proportion of remedy application (114; 71.7 %) followed by topical administration (25; 15.72%). Uses of fresh materials are the most frequently mentioned methods (74.8%) while alternative use of fresh or dried materials were accounted for 17 % of preparation modes. Mode of herbal medicine preparation Cultural importance of herbal medicine among Koneba communities in Afar: The highest ICF (0.68) was obtained for the use of herbal medicine (13 medicinal plant species) to handle health issues related with poison, mainly with snakebite (Table 2). Nine species were mentioned to treat malaria, common cold, cough and fever scoring the second highest ICF value (0.67). The third highest ICF value (0.64) was recorded for problems related with reproductive health. Consensus factor support for disease categories reported by informants Highest FL were obtained for Ziziphus spina-christi (L.) Desf., Cocculus pendulus (J.R.Forst. & G.Forst.) Diels, C. adenocaule and Balanites rotundifolia (Tiegh.) Blatt. Good percentages of FL were recorded for Balanites aegyotiaca (L.) Delile, Chenopodium album L. and Acalypha fruticose Forssk. (See Table 3). Application of the most commonly used medicinal plants and their fidelity level Among the six most cited medicinal plant species that were used against snakebite, Cyphostemma adenocaule was preferred most while Zaleya pentandra (L.) C.Jeffrey ranked last (Table 4). Preference ranking of medicinal plants used against snakebite Discussion: In this study, a substantial number of medicinal plant species were recorded and collected that justified the use of medicinal plants by the Afar pastoral community. The largest number of medicinal plant species collected in this study belong to the family Fabaceae. This family is the third largest angiosperm family and widely distributed globally (Encyclopedia Britannica) while it is the second largest in the Flora region.36 It includes many species that are economically important. 37 The families Solanaceae and Asclepidiaceae also include several species that are typical of arid environments such that of the Afar region. The proportion of shrubs was high in the current study, which is in agreement with preveious studies.1, 16, 4, 17, 18 This is because of the influence from the dominant vegetation type, which is mainly Acacia-Commiphora woodland and bushland. 21 Composition of herbs was also comparable to that of shrubs, which could be the contribution of the home garden. Trees also contributed a good number of medicinal plant species, which could be the effect of protection. The highest proportions of herbal medicines are prepared from fresh leaves and roots. This is consistent with findings of other studies. 3, 1, 7, 18 Preparing herbal medicines from fresh materials reduces the risk of losing active bioactive ingredients due to drying and poor storage. Leaves are the most usable parts in many cases of herbal medicine. This is attributed to higher concentration of bioactive ingredients produced and stored in leaves than other parts. 38, 39 Roots accounted for eleven kinds of remedies, which demonstrates the existence of bioactive ingredients in roots. 40 Honey, sugar and salt were used to provide the prepared herbal medicines taste as reported in similar studies. 16, 17 Use of milk and animal blood were believed to increase the potency of medicinal plants 16 while milk is reported as antidote in case of toxicity and stomach upset. 18 The result of ICF analyses indicated highest value to the disease category that included snakebite, malaria, common cold and related diseases. The use of a number of plants to handle a certain disease and the high agreement among several respondents implies high prevalence of the disease. Largest number of medicinal plant species (13 species) were cited to treat single type of disease (snakebite) while nine species were mentioned to treat more than one disease (malaria, common cold, cough and fever). Hence, snakebite is the prevalent disease identified in the study area, which is similar to findings of studies conducted elsewhere in the region. 16 Cyphostemma adenocaule is identified as the most preferred species used to treat snakebite. This result is supported by the FL analysis. A review report by 41 included the species as one of the medicinal plant species used by local communities of Afar as well as the neighboring Tigray and Oromiya regions. Another species belonging to the same genus was reported as useful herb against snakebite Yalo district of Afar region. 18 The bioactive constituents having detoxifying effect might have been confined at genus level. Zaleya pentandra was also reported as useful plant against snakebite, which agree with the report by 16. These findings suggest that such shared knowledge might be the reflection of interaction with the actual biodiversity in the area. Despite these findings, snakebite has not been reported among the list of health problems by the modern health care system. This evidenced that the problem is controlled by herbal medication system. The contribution of these species could have been extended to tackle other related health problems. Evaluating and validating the efficacy can promote the benefit of the species.
Background: Pastoral communities of the Afar people in northeastern Ethiopia use medicinal plants for various health problems. However, very limited scientific documents are found addressing ethnomedicinal knowledge of the community. Methods: Purposive sampling method was used to select study sites and key informants. General informants were selected through simple random sampling methods. Semi-structured interviews and guided field walk were used to collect data while Informant Consensus Factor (ICF), Fidelity Level (FL) and Preference Ranking were used to analyze and verify data. Results: A total of 67 medicinal plant species used to treat humans and livestock ailments were recorded and collected. Thirteen medicinal plant species were mentioned as effective medicine against snake bite (ICF; 0.68) while nine species used to treat malaria, common cold and fever (ICF: 0.67). Cyphostemma adenocaule (Steud. ex A.Rich.) Desc. ex Wild & R.B.Drumm. was the most preferred species used to combat snakebite, which was prevalent in the area. Conclusions: Snake bite, malaria, common cold and fever are common health problems in the study area. Efficient use of herbal medicine has minimized the impact of these diseases.
null
null
5,002
225
[ 175, 474, 116, 142, 141, 209 ]
10
[ "species", "plant", "medicinal", "informants", "plant species", "medicinal plant", "number", "herbal", "medicine", "value" ]
[ "northeastern ethiopia", "ethiopian public health", "pastoral communities ethiopia", "herbarium ethiopia eth", "medicinal plants ethiopia" ]
null
null
[CONTENT] Ethnomedicine | informant consensus | snakebite [SUMMARY]
[CONTENT] Ethnomedicine | informant consensus | snakebite [SUMMARY]
[CONTENT] Ethnomedicine | informant consensus | snakebite [SUMMARY]
null
[CONTENT] Ethnomedicine | informant consensus | snakebite [SUMMARY]
null
[CONTENT] Animals | Ethnobotany | Herbal Medicine | Humans | Medicine, African Traditional | Phytotherapy | Plants, Medicinal [SUMMARY]
[CONTENT] Animals | Ethnobotany | Herbal Medicine | Humans | Medicine, African Traditional | Phytotherapy | Plants, Medicinal [SUMMARY]
[CONTENT] Animals | Ethnobotany | Herbal Medicine | Humans | Medicine, African Traditional | Phytotherapy | Plants, Medicinal [SUMMARY]
null
[CONTENT] Animals | Ethnobotany | Herbal Medicine | Humans | Medicine, African Traditional | Phytotherapy | Plants, Medicinal [SUMMARY]
null
[CONTENT] northeastern ethiopia | ethiopian public health | pastoral communities ethiopia | herbarium ethiopia eth | medicinal plants ethiopia [SUMMARY]
[CONTENT] northeastern ethiopia | ethiopian public health | pastoral communities ethiopia | herbarium ethiopia eth | medicinal plants ethiopia [SUMMARY]
[CONTENT] northeastern ethiopia | ethiopian public health | pastoral communities ethiopia | herbarium ethiopia eth | medicinal plants ethiopia [SUMMARY]
null
[CONTENT] northeastern ethiopia | ethiopian public health | pastoral communities ethiopia | herbarium ethiopia eth | medicinal plants ethiopia [SUMMARY]
null
[CONTENT] species | plant | medicinal | informants | plant species | medicinal plant | number | herbal | medicine | value [SUMMARY]
[CONTENT] species | plant | medicinal | informants | plant species | medicinal plant | number | herbal | medicine | value [SUMMARY]
[CONTENT] species | plant | medicinal | informants | plant species | medicinal plant | number | herbal | medicine | value [SUMMARY]
null
[CONTENT] species | plant | medicinal | informants | plant species | medicinal plant | number | herbal | medicine | value [SUMMARY]
null
[CONTENT] knowledge | studies | ethiopia | eastern | ethnomedicinal | herbal | medicine | afar | areas | life [SUMMARY]
[CONTENT] informants | following | species | plant | value | district | number | informant | selected | information [SUMMARY]
[CONTENT] species | medicinal | preparation | table | 15 | highest | remedies | highest icf | leaf | mentions [SUMMARY]
null
[CONTENT] species | medicinal | plant | informants | plant species | snakebite | 15 | medicinal plant | number | herbal [SUMMARY]
null
[CONTENT] Afar | Ethiopia ||| [SUMMARY]
[CONTENT] ||| ||| Informant Consensus Factor | Fidelity Level | FL | Preference Ranking [SUMMARY]
[CONTENT] 67 ||| Thirteen | ICF | 0.68 | nine | 0.67 ||| Cyphostemma ||| A.Rich ||| Desc ||| ex Wild & R.B.Drumm ||| [SUMMARY]
null
[CONTENT] Afar | Ethiopia ||| ||| ||| ||| Informant Consensus Factor | Fidelity Level | FL | Preference Ranking ||| 67 ||| Thirteen | ICF | 0.68 | nine | 0.67 ||| Cyphostemma ||| A.Rich ||| Desc ||| ex Wild & R.B.Drumm ||| ||| ||| [SUMMARY]
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Potential pathogenic mechanism of type 1 X-linked lymphoproliferative syndrome caused by a mutation of SH2D1A gene in an infant: A case report.
36254040
X-linked lymphoproliferative syndrome (XLP) is a rare X-linked recessive inborn errors of immunity. The pathogenesis of XLP might be related to phophatidylinositol-3-kinase (PI3K)-associated pathways but insight details remain unclear. This study was to study an infant XLP-1 case caused by a mutation in SH2D1A gene, investigate the structural and functional alteration of mutant SAP protein, and explore the potential role of PI3K-associated pathways in the progression of XLP-1.
BACKGROUND
The proband's condition was monitored by laboratory and imagological examinations. Whole exome sequencing and Sanger sequencing were performed to detect the genetic disorder. Bioinformatics tools including PolyPhen-2, SWISS-MODEL and SWISS-PDB Viewer were used to predict the pathogenicity and estimate structural change of mutant protein. Flow cytometry was used to investigate expression of SAP and PI3K-associated proteins.
METHODS
The proband was diagnosed with XLP-1 caused by a hemizygous mutation c.96G > T in SH2D1A gene resulting in a missense substitution of Arginine to Serine at the site of amino acid 32 (p.R32S). The mutant protein contained a hydrogen bond turnover at the site of mutation and was predicted to be highly pathogenic. Expression of SH2D1A encoded protein SAP was downregulated in proband. The PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients.
RESULTS
The mutation c.96G > T in SH2D1A gene caused structural and functional changes in the SAP protein, resulting in XLP-1. The PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis.
CONCLUSIONS
[ "Amino Acids", "Arginine", "Humans", "Infant", "Intracellular Signaling Peptides and Proteins", "Lymphoproliferative Disorders", "Mutant Proteins", "Mutation", "Phosphatidylinositol 3-Kinases", "Proto-Oncogene Proteins c-akt", "Serine", "Signaling Lymphocytic Activation Molecule Associated Protein", "TOR Serine-Threonine Kinases" ]
9575725
1. Introduction
X-linked lymphoproliferative syndrome (XLP) is an extremely rare X-linked recessive inborn errors of immunity caused by genetic variations, with a 1/1000000 incidence rate,[12]. XLP is currently classified into 2 forms based on mutant genes: Type 1 XLP (XLP-1) and Type 2 XLP (XLP-2) caused by mutations in SH2D1A gene and XIAP gene, respectively[3,4]. Common clinical characteristics of XLP-1 and XLP-2 including Epstein-Barr virus (EBV) infection, hemophagocytic lymphohistiocytosis (HLH), lymphoproliferative disorder, and dysgammaglobulinemia, but sometimes they also manifested differently. According to published studies, EBV infection and associated HLH were more frequently observed in patients with XLP-1, and sometimes even accompanied by catastrophic neurologic disorders. Development of lymphoma is only reported in XLP-1 patients[5]. Moreover, Natural killer cells (NK) and T lymphocytes are more likely to proliferate and infiltrate organs, including liver, spleen, and lymph nodes, in EBV-infected XLP-1 patients[6]. Persistent hypogammaglobulinemia appeared more often in XLP-1 patients while transient hypogammaglobulinemia was more frequently observed in XLP-2[7]. Inflammatory bowel disease, such as Crohn’s disease, was exclusively discovered in XLP-2 patients, and roughly 25% to 30% of XLP-2 patients were impacted[8]. Additionally, fever, subcutaneous petechia, hematemesis, hematochezia, pistaxis, jaundice, hepatosplenomegaly, lymphadenopathy, lymphocytic vasculitis, aplastic anemia, and lymphomatoid granulomatosis may also be signs and symptoms of XLP[9–11]. Due to the rapid progression and complicated symptoms of XLP, it is commonly misdiagnosed clinically. XLP has a poor prognosis and high mortality, which have been reported to be 75%, of which 70% died before the age of 10[12]. At present, the only promising treatment is allogeneic hematopoietic stem cell transplantation (HSCT) before the onset of typical symptoms or EBV infection[13]. The SH2D1A gene is found on chromosome Xq25 and has 4 exons, and mutations in this gene can result in SAP protein deficiency. SAP is a 128-amino acids signaling lymphocyte activating molecule (SLAM)-associated protein that contains 1 Src homology 2 (SH2) domain and is primarily expressed in T cells, NK cells, and some EBV-positive Burkitt lymphoma-derived B cells.[14] SAP can competitively bind to SLAMs via the SH2 domain and regulate a variety of processes, including the development and function of invariant natural killer T cells (iNKT), the clearance of EBV-infected B cells with cytotoxic T lymphocytes (CTLs) and NK cells, the development of germinal centers, the production of immunoglobulin, T cell restimulation-induced cell death, and the maintenance of T cell homeostasis.[15] In XLP-1 patients, SAP deficiency can prevent CTLs and NK cells from killing EBV-infected B cells.[16] The XIAP gene is also located on chromosome Xq25 and includes 7 exons, its encoding protein XIAP is a novel member of the inhibitor of apoptosis proteins family, which inhibits caspases directly and regulates apoptosis through several routes. XIAP gene is overexpressed in many tumor cell lines, and its expression is closely related to tumor progression, recurrence, prognosis, and treatment resistance.[17] Phophatidylinositol-3-kinase (PI3K) is a crucial signaling center in immune cells that catalyzes the conversion of PIP2 to PIP3 and thus facilitates membrane recruitment of molecules containing PIP3-binding Pleckstrin homology domains such as the AKT, PDK1, Tec family kinases, adapter molecules, guanine nucleotide exchange factors, and GTPase-activating proteins. These subsequently activate a number of important downstream pathways including mTOR, FOXO1 and BACH2-related pathways.[18] Too little or too much activity in the PI3K downstream pathway is harmful even pathogenic. Previous research discovered that SAP protein was downregulated in CTLs while the SLAM protein 2B4 was upregulated in patients with congenital PI3K deficiency disorder such as activated PI3Kδ syndrome, implying that SAP may interact with PI3K-associated pathways and XLP-1 may be related to PI3K signaling failure.[19] Insight details of the interaction patterns between SAP and PI3K, as well as the role of PI3K-associated pathways in pathogenesis of XLP-1 still need to be investigated further. In this study, we will describe an infant with XLP-1, assess the proband’s clinical features and genetic variants, analyze the structural and functional changes in SAP protein caused by gene mutation, and investigate the probable role of PI3K-associated pathways in XLP-1 pathogenesis.
2. Methods
2.1. Editorial policies and ethical considerations The study was approved by the Ethics Committee of Kunming Children’s Hospital. All experiments were performed in compliance with the Helsinki Declaration. Informed written consent was obtained from the parents of the proband for the collection of clinical information, blood samples, DNA and presentation of patient’s materials. The study was approved by the Ethics Committee of Kunming Children’s Hospital. All experiments were performed in compliance with the Helsinki Declaration. Informed written consent was obtained from the parents of the proband for the collection of clinical information, blood samples, DNA and presentation of patient’s materials. 2.2. Proband The proband, a 7-month-old male, was admitted to the hospital due to “fever with rash.” Fever was up to 40°C and not relieved after treatment. Physical examination of the proband on admission observed listless and poor mental response, scattered rashes on the trunk and limbs particularly on both forearms and lower legs, eyelid edema, pharyngeal congestion, white pustules attached to the pharyngeal tonsils, and several palpable enlarged lymph nodes in the neck up to about 1 × 1 cm in size with medium hardness and poor range of motion. The proband was initially treated with ganciclovir, sodium succinate and intravenous IgG to against viral infection, reduce inflammation and adjust immunity, respectively. With the progression of the disease, the proband had recurring fevers and icteric sclera indicating aggravated liver damage. The proband’s liver and spleen were progressively enlarged, and the rash became more widespread and fusing into patches in some area. Staphylococcus aureus were tested positive in sputum. Cefperazone-Sulbactam, meropenem and vancomycin were successively given against infection. Bone marrow examination showed hemophagocytosis. Etoposide was then given, during the treatment, the proband experienced progressive pancytopenia and was interfered with the infusion of granulocyte colony-stimulating factor, interleukin-11, and apheresis platelets. Unfortunately, the proband’s condition kept aggravating despite accepting treatment and finally died due to multiple organ dysfunctions. Parents of the proband were healthy, and no other remarkable diseases history was identified in the family. The proband, a 7-month-old male, was admitted to the hospital due to “fever with rash.” Fever was up to 40°C and not relieved after treatment. Physical examination of the proband on admission observed listless and poor mental response, scattered rashes on the trunk and limbs particularly on both forearms and lower legs, eyelid edema, pharyngeal congestion, white pustules attached to the pharyngeal tonsils, and several palpable enlarged lymph nodes in the neck up to about 1 × 1 cm in size with medium hardness and poor range of motion. The proband was initially treated with ganciclovir, sodium succinate and intravenous IgG to against viral infection, reduce inflammation and adjust immunity, respectively. With the progression of the disease, the proband had recurring fevers and icteric sclera indicating aggravated liver damage. The proband’s liver and spleen were progressively enlarged, and the rash became more widespread and fusing into patches in some area. Staphylococcus aureus were tested positive in sputum. Cefperazone-Sulbactam, meropenem and vancomycin were successively given against infection. Bone marrow examination showed hemophagocytosis. Etoposide was then given, during the treatment, the proband experienced progressive pancytopenia and was interfered with the infusion of granulocyte colony-stimulating factor, interleukin-11, and apheresis platelets. Unfortunately, the proband’s condition kept aggravating despite accepting treatment and finally died due to multiple organ dysfunctions. Parents of the proband were healthy, and no other remarkable diseases history was identified in the family. 2.3. Whole exome sequencing Peripheral blood samples were collected from the proband and parents. Genomic DNA was extracted from peripheral blood using the DNA Extraction kit (CWBIO, China). The isolated DNA was quantified by agarose gel electrophoresis and Nanodrop 2000 (Thermal Fisher Scientific). Libraries were prepared using Illumina standard protocol and a minimum of 3 μg DNA was employed for the indexed Illumina libraries. To capture targeted genes, the biotinylated capture probes were designed to tile all of the exons with non-repeated regions. The resulting captured DNA was amplified by PCR and the PCR product was purified with SPRI beads (Beckman Coulter). The enriched libraries were sequenced on an Illumina NextSeq 500 sequencer for paired-end reads of 150 bp. Quality control criteria were applied to the raw sequencing data before being mapped to the UCSC hg19 human reference genome using BWA (0.7.10). Picard tools (1.119) were used to eliminate duplicated reads. SNP and InDels were detected and filtered by GATK (Genome Analysis TK-3.3.0). Variants were further annotated by ANNOVAR. All mutations identified were confirmed by Sanger sequencing. Sites of variation were identified through a comparison of DNA sequences with the corresponding GenBank (www.ncbi.nlm.nih.gov) reference sequences. Exon 1 of SH2D1A (NM_002351) were amplified using 2 pair primers (Forward: 5’-GCTCGATCGAACCAAGCTAC-3’; Reverse: 5’-GGAGCGAAGGTAAACTGTGG-3’). The PCR samples were visualized on agarose gels, purified and sequenced using the terminator cycle sequencing method on an ABI PRISM 3730 genetic analyzer (Thermo Fisher Scientific). The sequencing results were analyzed using the DNASTAR (Madison) software. Peripheral blood samples were collected from the proband and parents. Genomic DNA was extracted from peripheral blood using the DNA Extraction kit (CWBIO, China). The isolated DNA was quantified by agarose gel electrophoresis and Nanodrop 2000 (Thermal Fisher Scientific). Libraries were prepared using Illumina standard protocol and a minimum of 3 μg DNA was employed for the indexed Illumina libraries. To capture targeted genes, the biotinylated capture probes were designed to tile all of the exons with non-repeated regions. The resulting captured DNA was amplified by PCR and the PCR product was purified with SPRI beads (Beckman Coulter). The enriched libraries were sequenced on an Illumina NextSeq 500 sequencer for paired-end reads of 150 bp. Quality control criteria were applied to the raw sequencing data before being mapped to the UCSC hg19 human reference genome using BWA (0.7.10). Picard tools (1.119) were used to eliminate duplicated reads. SNP and InDels were detected and filtered by GATK (Genome Analysis TK-3.3.0). Variants were further annotated by ANNOVAR. All mutations identified were confirmed by Sanger sequencing. Sites of variation were identified through a comparison of DNA sequences with the corresponding GenBank (www.ncbi.nlm.nih.gov) reference sequences. Exon 1 of SH2D1A (NM_002351) were amplified using 2 pair primers (Forward: 5’-GCTCGATCGAACCAAGCTAC-3’; Reverse: 5’-GGAGCGAAGGTAAACTGTGG-3’). The PCR samples were visualized on agarose gels, purified and sequenced using the terminator cycle sequencing method on an ABI PRISM 3730 genetic analyzer (Thermo Fisher Scientific). The sequencing results were analyzed using the DNASTAR (Madison) software. 2.4. Flow cytometry Peripheral blood samples were collected from the proband and parents, as well as a familial HLH patient and a healthy child as control. Peripheral blood mononuclear cells were isolated using lymphocyte separation solution. Protein expression in peripheral blood mononuclear cells was determined via flow cytometry. Briefly, cells were fixed and permeabilized sequentially with an IntraPrep Permeabilizaton Reagent kit (Beckman Coulter,A07803) following manufacturer’s instruction. Specific antibodies were then added for incubation overnight, followed by 30 mins incubation with a fluorescently labeled secondary antibody. The flow cytometry tests were carried out with a BD FACSCanto II flow cytometer, and the data was processed with CytExpert 2.0 (Beckman Coulter) software. Antibodies used were listed as follows: Anti-SH2D1A/SAP (Abcam, ab109120); Anti-PI3 Kinase p110δ (Abcam, ab109006); Anti-PI3 Kinase p85α (Abcam, ab191606); Anti-PTEN (Abcam, ab32199); Anti-AKT (CST, 9272s); Anti-phospho-AKT (CST, 9271s); Anti-mTOR (Abcam, ab2732). Peripheral blood samples were collected from the proband and parents, as well as a familial HLH patient and a healthy child as control. Peripheral blood mononuclear cells were isolated using lymphocyte separation solution. Protein expression in peripheral blood mononuclear cells was determined via flow cytometry. Briefly, cells were fixed and permeabilized sequentially with an IntraPrep Permeabilizaton Reagent kit (Beckman Coulter,A07803) following manufacturer’s instruction. Specific antibodies were then added for incubation overnight, followed by 30 mins incubation with a fluorescently labeled secondary antibody. The flow cytometry tests were carried out with a BD FACSCanto II flow cytometer, and the data was processed with CytExpert 2.0 (Beckman Coulter) software. Antibodies used were listed as follows: Anti-SH2D1A/SAP (Abcam, ab109120); Anti-PI3 Kinase p110δ (Abcam, ab109006); Anti-PI3 Kinase p85α (Abcam, ab191606); Anti-PTEN (Abcam, ab32199); Anti-AKT (CST, 9272s); Anti-phospho-AKT (CST, 9271s); Anti-mTOR (Abcam, ab2732). 2.5. Prediction of the pathogenicity and structure of mutant protein Pathogenicity of mutant protein was predicted by PolyPhen-2 online scoring tool (http://genetics.bwh.harvard.edu/pph2/index.shtml). The greater the pathogenicity, the closer the score is to 1.0. The structure of wild-type protein was created by SWISS-MODEL online tool (http://swissmodel.expasy.org/) and the structure of mutant protein was estimated by SWISS-PDB Viewer 4.1.0 software. Pathogenicity of mutant protein was predicted by PolyPhen-2 online scoring tool (http://genetics.bwh.harvard.edu/pph2/index.shtml). The greater the pathogenicity, the closer the score is to 1.0. The structure of wild-type protein was created by SWISS-MODEL online tool (http://swissmodel.expasy.org/) and the structure of mutant protein was estimated by SWISS-PDB Viewer 4.1.0 software.
3. Results
3.1 Laboratory and imagological examinations indicated that the proband’s condition continued to deteriorate despite receiving treatment To access detailed conditions of the proband, multiple laboratory and imagological examinations were conducted during hospitalization. Results showed that peripheral blood EBV nucleic acid load continued to rise and the antibodies to EBV capsid antigen (EBVCA) IgG and IgG antibodies to EBV nuclear antigen became positive as the disease progressed (Fig. 1A). The percentage of CD19 + B cells was slightly decreased (Fig. 1B), and humoral immunity test indicated increased levels of serum IgG, IgM, IgA, and decreased C3 (Fig. 1C). Hematological parameters of the proband pre- and during-hospitalization showed that the counts of leukocyte, lymphocyte, neutrophil, monocyte, platelet, erythrocyte and hemoglobin were declined with fluctuation and generally lower than reference values. The percentages of lymphocyte, neutrophil and monocyte were all fluctuated outside the reference value (Fig. 1D). Besides, indicators for liver, renal and cardiac function of proband were abnormal as disease progressed. The levels of alanine aminotransferase, aspartate aminotransferase, γ-glutamyltransferase (γ-GGT), alkaline phosphatase, total bilirubin, direct bilirubin, total bile acid, lactate dehydrogenase and α-hydroxybutyrate dehydrogenase (α-HBDH) were all extremely higher than reference values (Fig. 1E–G). Additionally, the levels of ferritin and triglycerides elevated dramatically indicated the development of HLH (Fig. 2A). Occurrence of HLH was also confirmed by hemophagocytes in bone marrow (Fig. 2B) and increased expression of serum IL-6 and IL-10, with IL-10 being 12 times higher than the reference values (Fig. 2C). Abdominal color ultrasound revealed hepatomegaly, gallbladder wall thickening, mild splenomegaly and abdominal effusion (Fig. 3A). Neck color ultrasound revealed slightly enlarged lymph nodes on both sides of neck and jaw (Fig. 3B). Chest X-ray revealed increased bilateral pleural effusion with deterioration of disease (Fig. 3C). Overall, with the progression of disease, the condition of the proband kept deteriorating, especially the infection was aggravated, immunity responses were deficient, and multiple organs were progressively disabled. The clinical features including EBV-infection, bone marrow hemophagocytosis, dysgammaglobulinemia, hepatosplenomegaly and lymphadenopathy observed suggested that the proband may suffer from XLP. Laboratory examinations of the proband with the progression of disease. (A) Results of peripheral blood EBV nucleic acid and antibodies test. (B) Results of lymphocyte subsets test. (C) Results of humoral immunity test. (D) Results of whole blood counts. There were ten times of testing results during hospitalization listed in chronological order from left to right. (E) Results of liver function test. There were 10 times of testing results during hospitalization listed in chronological order from left to right. (F) Results of renal function test. There were 8 times of testing results during hospitalization listed in chronological order from left to right. (G) Results of cardiac function test. There were 7 times of testing results during hospitalization listed in chronological order from left to right. EBV = Epstein-Barr virus. Occurrence of hemophagocytic lymphohistiocytosis was detected in the proband. (A) Results of ferritin and triglycerides tests. There were 4 times of testing results during hospitalization listed in chronological order from left to right. (B) Results of cytopathology detection of bone marrow. (C) Results of serum cytokine test. Imageological examinations of the proband with the progression of disease. (A) Results of abdominal color ultrasound. (B) Results of neck color ultrasound. (C) Results of chest X-ray. There were 5 times of examine results during hospitalization listed in chronological order from left to right. To access detailed conditions of the proband, multiple laboratory and imagological examinations were conducted during hospitalization. Results showed that peripheral blood EBV nucleic acid load continued to rise and the antibodies to EBV capsid antigen (EBVCA) IgG and IgG antibodies to EBV nuclear antigen became positive as the disease progressed (Fig. 1A). The percentage of CD19 + B cells was slightly decreased (Fig. 1B), and humoral immunity test indicated increased levels of serum IgG, IgM, IgA, and decreased C3 (Fig. 1C). Hematological parameters of the proband pre- and during-hospitalization showed that the counts of leukocyte, lymphocyte, neutrophil, monocyte, platelet, erythrocyte and hemoglobin were declined with fluctuation and generally lower than reference values. The percentages of lymphocyte, neutrophil and monocyte were all fluctuated outside the reference value (Fig. 1D). Besides, indicators for liver, renal and cardiac function of proband were abnormal as disease progressed. The levels of alanine aminotransferase, aspartate aminotransferase, γ-glutamyltransferase (γ-GGT), alkaline phosphatase, total bilirubin, direct bilirubin, total bile acid, lactate dehydrogenase and α-hydroxybutyrate dehydrogenase (α-HBDH) were all extremely higher than reference values (Fig. 1E–G). Additionally, the levels of ferritin and triglycerides elevated dramatically indicated the development of HLH (Fig. 2A). Occurrence of HLH was also confirmed by hemophagocytes in bone marrow (Fig. 2B) and increased expression of serum IL-6 and IL-10, with IL-10 being 12 times higher than the reference values (Fig. 2C). Abdominal color ultrasound revealed hepatomegaly, gallbladder wall thickening, mild splenomegaly and abdominal effusion (Fig. 3A). Neck color ultrasound revealed slightly enlarged lymph nodes on both sides of neck and jaw (Fig. 3B). Chest X-ray revealed increased bilateral pleural effusion with deterioration of disease (Fig. 3C). Overall, with the progression of disease, the condition of the proband kept deteriorating, especially the infection was aggravated, immunity responses were deficient, and multiple organs were progressively disabled. The clinical features including EBV-infection, bone marrow hemophagocytosis, dysgammaglobulinemia, hepatosplenomegaly and lymphadenopathy observed suggested that the proband may suffer from XLP. Laboratory examinations of the proband with the progression of disease. (A) Results of peripheral blood EBV nucleic acid and antibodies test. (B) Results of lymphocyte subsets test. (C) Results of humoral immunity test. (D) Results of whole blood counts. There were ten times of testing results during hospitalization listed in chronological order from left to right. (E) Results of liver function test. There were 10 times of testing results during hospitalization listed in chronological order from left to right. (F) Results of renal function test. There were 8 times of testing results during hospitalization listed in chronological order from left to right. (G) Results of cardiac function test. There were 7 times of testing results during hospitalization listed in chronological order from left to right. EBV = Epstein-Barr virus. Occurrence of hemophagocytic lymphohistiocytosis was detected in the proband. (A) Results of ferritin and triglycerides tests. There were 4 times of testing results during hospitalization listed in chronological order from left to right. (B) Results of cytopathology detection of bone marrow. (C) Results of serum cytokine test. Imageological examinations of the proband with the progression of disease. (A) Results of abdominal color ultrasound. (B) Results of neck color ultrasound. (C) Results of chest X-ray. There were 5 times of examine results during hospitalization listed in chronological order from left to right. 3.2. The proband was diagnosed with XLP-1 caused by a hemizygous mutation c.96G > T in SH2D1A gene In order to confirm whether the proband was suffered from genetic disorders, the peripheral blood DNA of the proband and parents were extracted, and whole exome sequencing was performed. The results revealed a hemizygous mutation in exon 1 of SH2D1A gene, which substituted Guanine to Thymine at the site of nucleotide 96 (c.96G > T) (Fig. 4A), resulting in a missense substitution of Arginine to Serine at the site of amino acid 32 (p.R32S). According to the ACMG guidelines, this mutation was identified as a pathogenic mutation. It was located in the mutation hotspot region with a low-frequency in the normal population database. The mutation with the same amino acid change as this proband had been reported previously but with different nucleotide change.[20] Sanger sequencing validation of this mutation was performed on the parents, and the results identified no variation at this site in the father and a heterozygous variation at this site in the mother (Fig. 4B and C). As XLP-1 inherited in a recessive pattern, the parents of the proband were all appeared healthy. Therefore, the diagnosis of XLP-1 was confirmed based on the proband’s typical clinical manifestations and genetic analysis results. Identification of a hemizygous mutation c.96G > T in SH2D1A gene of the proband. (A) Schematic diagram of SH2D1A gene. The mutation site was highlighted in red. (B) Results of Sanger sequencing. The arrows indicated the sites of mutation. (C) Genetic pedigree of the family. In order to confirm whether the proband was suffered from genetic disorders, the peripheral blood DNA of the proband and parents were extracted, and whole exome sequencing was performed. The results revealed a hemizygous mutation in exon 1 of SH2D1A gene, which substituted Guanine to Thymine at the site of nucleotide 96 (c.96G > T) (Fig. 4A), resulting in a missense substitution of Arginine to Serine at the site of amino acid 32 (p.R32S). According to the ACMG guidelines, this mutation was identified as a pathogenic mutation. It was located in the mutation hotspot region with a low-frequency in the normal population database. The mutation with the same amino acid change as this proband had been reported previously but with different nucleotide change.[20] Sanger sequencing validation of this mutation was performed on the parents, and the results identified no variation at this site in the father and a heterozygous variation at this site in the mother (Fig. 4B and C). As XLP-1 inherited in a recessive pattern, the parents of the proband were all appeared healthy. Therefore, the diagnosis of XLP-1 was confirmed based on the proband’s typical clinical manifestations and genetic analysis results. Identification of a hemizygous mutation c.96G > T in SH2D1A gene of the proband. (A) Schematic diagram of SH2D1A gene. The mutation site was highlighted in red. (B) Results of Sanger sequencing. The arrows indicated the sites of mutation. (C) Genetic pedigree of the family. 3.3. The mutant SAP protein was highly pathogenic with structural and functional change In order to explore whether the c.96G > T mutation in SH2D1A gene caused functional or structural deficiency in SAP protein, we first analyzed pathogenicity of mutant protein by PolyPhen-2 online scoring tool. As the greater the pathogenicity, the closer the score is to 1.0, the mutation was predicted to be highly pathogenic with a score of 1.0 (Fig. 5A). In addition, we analyzed the structural change of mutant SAP protein. As shown in Figure 5B, the secondary structure of SAP protein contained 2 α-helices and 8 β-strands and the mutation site was located at the end of the second β-strand. By comparing the structures of wild-type and mutant SAP proteins, we found that the substitution of amino acid Arginine to Serine causing a turnover of a hydrogen bond (Fig. 5B), suggesting the structure of SAP protein was changed. We also detected the expression of SAP in proband and the parents. As expected, flow cytometry detected that SAP protein was significantly downregulated in proband compared to which in parents. As shown in Figure 5C, SAP expression level in the proband, father and mother were 10.28%, 87.28%, and 80.31%, respectively, suggesting the function of SAP in proband was deficient. Overall, c.96G > T mutation of SH2D1A gene in the proband led to significant structural and functional deficiency of SAP protein, which was highly pathogenic. The mutant SAP protein was highly pathogenic with structural and functional. (A) The pathogenicity of mutant SAP protein was predicted by PolyPhen-2. The greater the pathogenicity, the closer the score is to 1.0. (B) The secondary structure of SAP protein and a structural comparison between wild-type and mutant SAP protein. The site and labels of mutation were highlighted in magenta. The green dotted lines illustrated hydrogen bonds. The magenta arrows indicated the turnover of a hydrogen bond. (C) Expression of SAP in the patient and parents detected by flow cytometry. Peaks in red were negative controls. Peaks in green illustrated expression of SAP. In order to explore whether the c.96G > T mutation in SH2D1A gene caused functional or structural deficiency in SAP protein, we first analyzed pathogenicity of mutant protein by PolyPhen-2 online scoring tool. As the greater the pathogenicity, the closer the score is to 1.0, the mutation was predicted to be highly pathogenic with a score of 1.0 (Fig. 5A). In addition, we analyzed the structural change of mutant SAP protein. As shown in Figure 5B, the secondary structure of SAP protein contained 2 α-helices and 8 β-strands and the mutation site was located at the end of the second β-strand. By comparing the structures of wild-type and mutant SAP proteins, we found that the substitution of amino acid Arginine to Serine causing a turnover of a hydrogen bond (Fig. 5B), suggesting the structure of SAP protein was changed. We also detected the expression of SAP in proband and the parents. As expected, flow cytometry detected that SAP protein was significantly downregulated in proband compared to which in parents. As shown in Figure 5C, SAP expression level in the proband, father and mother were 10.28%, 87.28%, and 80.31%, respectively, suggesting the function of SAP in proband was deficient. Overall, c.96G > T mutation of SH2D1A gene in the proband led to significant structural and functional deficiency of SAP protein, which was highly pathogenic. The mutant SAP protein was highly pathogenic with structural and functional. (A) The pathogenicity of mutant SAP protein was predicted by PolyPhen-2. The greater the pathogenicity, the closer the score is to 1.0. (B) The secondary structure of SAP protein and a structural comparison between wild-type and mutant SAP protein. The site and labels of mutation were highlighted in magenta. The green dotted lines illustrated hydrogen bonds. The magenta arrows indicated the turnover of a hydrogen bond. (C) Expression of SAP in the patient and parents detected by flow cytometry. Peaks in red were negative controls. Peaks in green illustrated expression of SAP. 3.4. Activation of PI3K-AKT-mTOR signaling pathway in the proband As previously stated, PI3K downstream signaling pathways may be altered in XLP-1 patients, thus we evaluated the expression of PI3K subunits p110δ and p85α, as well as downstream key proteins including AKT, p-AKT and mTOR in both the proband and the parents. To ensure that observed differences were due to XLP-1 rather than HLH, we also evaluated the expression of proteins in a familial HLH patient and a healthy child. As shown in Figure 6, PI3K-AKT-mTOR pathway was inactivated in the healthy control, as evidenced by high expression of the negative regulatory subunit p85α, which inhibit the activity of the functional subunit p110δ. Moreover, under normal circumstances, the downstream protein AKT was unphosphorylated and mTOR was not expressed. The proband had p85α downregulation and p110δ upregulation, AKT phosphorylation, and mTOR activation, indicating that the PI3K-AKT-mTOR pathway was considerably activated. The expression patterns of p85α, p110δ, AKT, and p-AKT were identical in the father and mother, but mTOR expression was muted. Although p85α and p110δ were excessively high in the familial HLH control, downstream AKT was unphosphorylated and mTOR was only expressed, in contrast to the fully activated PI3K-AKT-mTOR pathway in the XLP-1 proband. Overall, the findings showed that the PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients, implying that the PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis. Expression of key proteins in PI3K downstream pathways. Peaks in red were negative controls. Peaks in green illustrated expression of proteins. PI3K = phophatidylinositol-3-kinase. As previously stated, PI3K downstream signaling pathways may be altered in XLP-1 patients, thus we evaluated the expression of PI3K subunits p110δ and p85α, as well as downstream key proteins including AKT, p-AKT and mTOR in both the proband and the parents. To ensure that observed differences were due to XLP-1 rather than HLH, we also evaluated the expression of proteins in a familial HLH patient and a healthy child. As shown in Figure 6, PI3K-AKT-mTOR pathway was inactivated in the healthy control, as evidenced by high expression of the negative regulatory subunit p85α, which inhibit the activity of the functional subunit p110δ. Moreover, under normal circumstances, the downstream protein AKT was unphosphorylated and mTOR was not expressed. The proband had p85α downregulation and p110δ upregulation, AKT phosphorylation, and mTOR activation, indicating that the PI3K-AKT-mTOR pathway was considerably activated. The expression patterns of p85α, p110δ, AKT, and p-AKT were identical in the father and mother, but mTOR expression was muted. Although p85α and p110δ were excessively high in the familial HLH control, downstream AKT was unphosphorylated and mTOR was only expressed, in contrast to the fully activated PI3K-AKT-mTOR pathway in the XLP-1 proband. Overall, the findings showed that the PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients, implying that the PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis. Expression of key proteins in PI3K downstream pathways. Peaks in red were negative controls. Peaks in green illustrated expression of proteins. PI3K = phophatidylinositol-3-kinase.
5. Conclusions
In this study, we provided a detailed description of the clinical features of an XLP-1 patient and detected that the proband was caused by a hemizygous mutation c.96G > T in SH2D1A gene resulting in a missense substitution of Arginine to Serine (p.R32S). The mutant protein contained a hydrogen bond turnover at the site of mutation and the mutation resulted in downregulation of SH2D1A encoded protein SAP. The PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients, implying that the PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis. This study would be helpful for subsequent research related to the diagnosis and pathogenesis of XLP-1.
[ "2.1. Editorial policies and ethical considerations", "2.2. Proband", "2.3. Whole exome sequencing", "2.4. Flow cytometry", "2.5. Prediction of the pathogenicity and structure of mutant protein", "3.1 Laboratory and imagological examinations indicated that the proband’s condition continued to deteriorate despite receiving treatment", "3.2. The proband was diagnosed with XLP-1 caused by a hemizygous mutation c.96G > T in SH2D1A gene", "3.3. The mutant SAP protein was highly pathogenic with structural and functional change", "3.4. Activation of PI3K-AKT-mTOR signaling pathway in the proband", "Acknowledgments", "Author contributions" ]
[ "The study was approved by the Ethics Committee of Kunming Children’s Hospital. All experiments were performed in compliance with the Helsinki Declaration. Informed written consent was obtained from the parents of the proband for the collection of clinical information, blood samples, DNA and presentation of patient’s materials.", "The proband, a 7-month-old male, was admitted to the hospital due to “fever with rash.” Fever was up to 40°C and not relieved after treatment. Physical examination of the proband on admission observed listless and poor mental response, scattered rashes on the trunk and limbs particularly on both forearms and lower legs, eyelid edema, pharyngeal congestion, white pustules attached to the pharyngeal tonsils, and several palpable enlarged lymph nodes in the neck up to about 1 × 1 cm in size with medium hardness and poor range of motion. The proband was initially treated with ganciclovir, sodium succinate and intravenous IgG to against viral infection, reduce inflammation and adjust immunity, respectively. With the progression of the disease, the proband had recurring fevers and icteric sclera indicating aggravated liver damage. The proband’s liver and spleen were progressively enlarged, and the rash became more widespread and fusing into patches in some area. Staphylococcus aureus were tested positive in sputum. Cefperazone-Sulbactam, meropenem and vancomycin were successively given against infection. Bone marrow examination showed hemophagocytosis. Etoposide was then given, during the treatment, the proband experienced progressive pancytopenia and was interfered with the infusion of granulocyte colony-stimulating factor, interleukin-11, and apheresis platelets. Unfortunately, the proband’s condition kept aggravating despite accepting treatment and finally died due to multiple organ dysfunctions. Parents of the proband were healthy, and no other remarkable diseases history was identified in the family.", "Peripheral blood samples were collected from the proband and parents. Genomic DNA was extracted from peripheral blood using the DNA Extraction kit (CWBIO, China). The isolated DNA was quantified by agarose gel electrophoresis and Nanodrop 2000 (Thermal Fisher Scientific). Libraries were prepared using Illumina standard protocol and a minimum of 3 μg DNA was employed for the indexed Illumina libraries. To capture targeted genes, the biotinylated capture probes were designed to tile all of the exons with non-repeated regions. The resulting captured DNA was amplified by PCR and the PCR product was purified with SPRI beads (Beckman Coulter). The enriched libraries were sequenced on an Illumina NextSeq 500 sequencer for paired-end reads of 150 bp. Quality control criteria were applied to the raw sequencing data before being mapped to the UCSC hg19 human reference genome using BWA (0.7.10). Picard tools (1.119) were used to eliminate duplicated reads. SNP and InDels were detected and filtered by GATK (Genome Analysis TK-3.3.0). Variants were further annotated by ANNOVAR. All mutations identified were confirmed by Sanger sequencing. Sites of variation were identified through a comparison of DNA sequences with the corresponding GenBank (www.ncbi.nlm.nih.gov) reference sequences. Exon 1 of SH2D1A (NM_002351) were amplified using 2 pair primers (Forward: 5’-GCTCGATCGAACCAAGCTAC-3’; Reverse: 5’-GGAGCGAAGGTAAACTGTGG-3’). The PCR samples were visualized on agarose gels, purified and sequenced using the terminator cycle sequencing method on an ABI PRISM 3730 genetic analyzer (Thermo Fisher Scientific). The sequencing results were analyzed using the DNASTAR (Madison) software.", "Peripheral blood samples were collected from the proband and parents, as well as a familial HLH patient and a healthy child as control. Peripheral blood mononuclear cells were isolated using lymphocyte separation solution. Protein expression in peripheral blood mononuclear cells was determined via flow cytometry. Briefly, cells were fixed and permeabilized sequentially with an IntraPrep Permeabilizaton Reagent kit (Beckman Coulter,A07803) following manufacturer’s instruction. Specific antibodies were then added for incubation overnight, followed by 30 mins incubation with a fluorescently labeled secondary antibody. The flow cytometry tests were carried out with a BD FACSCanto II flow cytometer, and the data was processed with CytExpert 2.0 (Beckman Coulter) software. Antibodies used were listed as follows: Anti-SH2D1A/SAP (Abcam, ab109120); Anti-PI3 Kinase p110δ (Abcam, ab109006); Anti-PI3 Kinase p85α (Abcam, ab191606); Anti-PTEN (Abcam, ab32199); Anti-AKT (CST, 9272s); Anti-phospho-AKT (CST, 9271s); Anti-mTOR (Abcam, ab2732).", "Pathogenicity of mutant protein was predicted by PolyPhen-2 online scoring tool (http://genetics.bwh.harvard.edu/pph2/index.shtml). The greater the pathogenicity, the closer the score is to 1.0. The structure of wild-type protein was created by SWISS-MODEL online tool (http://swissmodel.expasy.org/) and the structure of mutant protein was estimated by SWISS-PDB Viewer 4.1.0 software.", "To access detailed conditions of the proband, multiple laboratory and imagological examinations were conducted during hospitalization. Results showed that peripheral blood EBV nucleic acid load continued to rise and the antibodies to EBV capsid antigen (EBVCA) IgG and IgG antibodies to EBV nuclear antigen became positive as the disease progressed (Fig. 1A). The percentage of CD19 + B cells was slightly decreased (Fig. 1B), and humoral immunity test indicated increased levels of serum IgG, IgM, IgA, and decreased C3 (Fig. 1C). Hematological parameters of the proband pre- and during-hospitalization showed that the counts of leukocyte, lymphocyte, neutrophil, monocyte, platelet, erythrocyte and hemoglobin were declined with fluctuation and generally lower than reference values. The percentages of lymphocyte, neutrophil and monocyte were all fluctuated outside the reference value (Fig. 1D). Besides, indicators for liver, renal and cardiac function of proband were abnormal as disease progressed. The levels of alanine aminotransferase, aspartate aminotransferase, γ-glutamyltransferase (γ-GGT), alkaline phosphatase, total bilirubin, direct bilirubin, total bile acid, lactate dehydrogenase and α-hydroxybutyrate dehydrogenase (α-HBDH) were all extremely higher than reference values (Fig. 1E–G). Additionally, the levels of ferritin and triglycerides elevated dramatically indicated the development of HLH (Fig. 2A). Occurrence of HLH was also confirmed by hemophagocytes in bone marrow (Fig. 2B) and increased expression of serum IL-6 and IL-10, with IL-10 being 12 times higher than the reference values (Fig. 2C). Abdominal color ultrasound revealed hepatomegaly, gallbladder wall thickening, mild splenomegaly and abdominal effusion (Fig. 3A). Neck color ultrasound revealed slightly enlarged lymph nodes on both sides of neck and jaw (Fig. 3B). Chest X-ray revealed increased bilateral pleural effusion with deterioration of disease (Fig. 3C). Overall, with the progression of disease, the condition of the proband kept deteriorating, especially the infection was aggravated, immunity responses were deficient, and multiple organs were progressively disabled. The clinical features including EBV-infection, bone marrow hemophagocytosis, dysgammaglobulinemia, hepatosplenomegaly and lymphadenopathy observed suggested that the proband may suffer from XLP.\nLaboratory examinations of the proband with the progression of disease. (A) Results of peripheral blood EBV nucleic acid and antibodies test. (B) Results of lymphocyte subsets test. (C) Results of humoral immunity test. (D) Results of whole blood counts. There were ten times of testing results during hospitalization listed in chronological order from left to right. (E) Results of liver function test. There were 10 times of testing results during hospitalization listed in chronological order from left to right. (F) Results of renal function test. There were 8 times of testing results during hospitalization listed in chronological order from left to right. (G) Results of cardiac function test. There were 7 times of testing results during hospitalization listed in chronological order from left to right. EBV = Epstein-Barr virus.\nOccurrence of hemophagocytic lymphohistiocytosis was detected in the proband. (A) Results of ferritin and triglycerides tests. There were 4 times of testing results during hospitalization listed in chronological order from left to right. (B) Results of cytopathology detection of bone marrow. (C) Results of serum cytokine test.\nImageological examinations of the proband with the progression of disease. (A) Results of abdominal color ultrasound. (B) Results of neck color ultrasound. (C) Results of chest X-ray. There were 5 times of examine results during hospitalization listed in chronological order from left to right.", "In order to confirm whether the proband was suffered from genetic disorders, the peripheral blood DNA of the proband and parents were extracted, and whole exome sequencing was performed. The results revealed a hemizygous mutation in exon 1 of SH2D1A gene, which substituted Guanine to Thymine at the site of nucleotide 96 (c.96G > T) (Fig. 4A), resulting in a missense substitution of Arginine to Serine at the site of amino acid 32 (p.R32S). According to the ACMG guidelines, this mutation was identified as a pathogenic mutation. It was located in the mutation hotspot region with a low-frequency in the normal population database. The mutation with the same amino acid change as this proband had been reported previously but with different nucleotide change.[20] Sanger sequencing validation of this mutation was performed on the parents, and the results identified no variation at this site in the father and a heterozygous variation at this site in the mother (Fig. 4B and C). As XLP-1 inherited in a recessive pattern, the parents of the proband were all appeared healthy. Therefore, the diagnosis of XLP-1 was confirmed based on the proband’s typical clinical manifestations and genetic analysis results.\nIdentification of a hemizygous mutation c.96G > T in SH2D1A gene of the proband. (A) Schematic diagram of SH2D1A gene. The mutation site was highlighted in red. (B) Results of Sanger sequencing. The arrows indicated the sites of mutation. (C) Genetic pedigree of the family.", "In order to explore whether the c.96G > T mutation in SH2D1A gene caused functional or structural deficiency in SAP protein, we first analyzed pathogenicity of mutant protein by PolyPhen-2 online scoring tool. As the greater the pathogenicity, the closer the score is to 1.0, the mutation was predicted to be highly pathogenic with a score of 1.0 (Fig. 5A). In addition, we analyzed the structural change of mutant SAP protein. As shown in Figure 5B, the secondary structure of SAP protein contained 2 α-helices and 8 β-strands and the mutation site was located at the end of the second β-strand. By comparing the structures of wild-type and mutant SAP proteins, we found that the substitution of amino acid Arginine to Serine causing a turnover of a hydrogen bond (Fig. 5B), suggesting the structure of SAP protein was changed. We also detected the expression of SAP in proband and the parents. As expected, flow cytometry detected that SAP protein was significantly downregulated in proband compared to which in parents. As shown in Figure 5C, SAP expression level in the proband, father and mother were 10.28%, 87.28%, and 80.31%, respectively, suggesting the function of SAP in proband was deficient. Overall, c.96G > T mutation of SH2D1A gene in the proband led to significant structural and functional deficiency of SAP protein, which was highly pathogenic.\nThe mutant SAP protein was highly pathogenic with structural and functional. (A) The pathogenicity of mutant SAP protein was predicted by PolyPhen-2. The greater the pathogenicity, the closer the score is to 1.0. (B) The secondary structure of SAP protein and a structural comparison between wild-type and mutant SAP protein. The site and labels of mutation were highlighted in magenta. The green dotted lines illustrated hydrogen bonds. The magenta arrows indicated the turnover of a hydrogen bond. (C) Expression of SAP in the patient and parents detected by flow cytometry. Peaks in red were negative controls. Peaks in green illustrated expression of SAP.", "As previously stated, PI3K downstream signaling pathways may be altered in XLP-1 patients, thus we evaluated the expression of PI3K subunits p110δ and p85α, as well as downstream key proteins including AKT, p-AKT and mTOR in both the proband and the parents. To ensure that observed differences were due to XLP-1 rather than HLH, we also evaluated the expression of proteins in a familial HLH patient and a healthy child. As shown in Figure 6, PI3K-AKT-mTOR pathway was inactivated in the healthy control, as evidenced by high expression of the negative regulatory subunit p85α, which inhibit the activity of the functional subunit p110δ. Moreover, under normal circumstances, the downstream protein AKT was unphosphorylated and mTOR was not expressed. The proband had p85α downregulation and p110δ upregulation, AKT phosphorylation, and mTOR activation, indicating that the PI3K-AKT-mTOR pathway was considerably activated. The expression patterns of p85α, p110δ, AKT, and p-AKT were identical in the father and mother, but mTOR expression was muted. Although p85α and p110δ were excessively high in the familial HLH control, downstream AKT was unphosphorylated and mTOR was only expressed, in contrast to the fully activated PI3K-AKT-mTOR pathway in the XLP-1 proband. Overall, the findings showed that the PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients, implying that the PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis.\nExpression of key proteins in PI3K downstream pathways. Peaks in red were negative controls. Peaks in green illustrated expression of proteins. PI3K = phophatidylinositol-3-kinase.", "The authors sincerely thank the patient and his family members for their participation and support.\nYW, YW, WL, and LT contributed equally to this work.", "Conceptualization: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao.\nData curation: Yang Xiao, Yuantao Zhou, Xiaoli He.\nFormal analysis: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao.\nInvestigation: Yang Xiao, Yuantao Zhou, Xiaoli He.\nMethodology: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao.\nResources: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao.\nSupervision: Yu Zhang, Li Li.\nVisualization: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao.\nWriting – original draft: Yu Zhang, Li Li.\nWriting – review & editing: Yu Zhang, Li Li." ]
[ null, null, null, null, null, null, null, null, null, null, null ]
[ "1. Introduction", "2. Methods", "2.1. Editorial policies and ethical considerations", "2.2. Proband", "2.3. Whole exome sequencing", "2.4. Flow cytometry", "2.5. Prediction of the pathogenicity and structure of mutant protein", "3. Results", "3.1 Laboratory and imagological examinations indicated that the proband’s condition continued to deteriorate despite receiving treatment", "3.2. The proband was diagnosed with XLP-1 caused by a hemizygous mutation c.96G > T in SH2D1A gene", "3.3. The mutant SAP protein was highly pathogenic with structural and functional change", "3.4. Activation of PI3K-AKT-mTOR signaling pathway in the proband", "4. Discussion", "5. Conclusions", "Acknowledgments", "Author contributions" ]
[ "X-linked lymphoproliferative syndrome (XLP) is an extremely rare X-linked recessive inborn errors of immunity caused by genetic variations, with a 1/1000000 incidence rate,[12]. XLP is currently classified into 2 forms based on mutant genes: Type 1 XLP (XLP-1) and Type 2 XLP (XLP-2) caused by mutations in SH2D1A gene and XIAP gene, respectively[3,4]. Common clinical characteristics of XLP-1 and XLP-2 including Epstein-Barr virus (EBV) infection, hemophagocytic lymphohistiocytosis (HLH), lymphoproliferative disorder, and dysgammaglobulinemia, but sometimes they also manifested differently. According to published studies, EBV infection and associated HLH were more frequently observed in patients with XLP-1, and sometimes even accompanied by catastrophic neurologic disorders. Development of lymphoma is only reported in XLP-1 patients[5]. Moreover, Natural killer cells (NK) and T lymphocytes are more likely to proliferate and infiltrate organs, including liver, spleen, and lymph nodes, in EBV-infected XLP-1 patients[6]. Persistent hypogammaglobulinemia appeared more often in XLP-1 patients while transient hypogammaglobulinemia was more frequently observed in XLP-2[7]. Inflammatory bowel disease, such as Crohn’s disease, was exclusively discovered in XLP-2 patients, and roughly 25% to 30% of XLP-2 patients were impacted[8]. Additionally, fever, subcutaneous petechia, hematemesis, hematochezia, pistaxis, jaundice, hepatosplenomegaly, lymphadenopathy, lymphocytic vasculitis, aplastic anemia, and lymphomatoid granulomatosis may also be signs and symptoms of XLP[9–11]. Due to the rapid progression and complicated symptoms of XLP, it is commonly misdiagnosed clinically. XLP has a poor prognosis and high mortality, which have been reported to be 75%, of which 70% died before the age of 10[12]. At present, the only promising treatment is allogeneic hematopoietic stem cell transplantation (HSCT) before the onset of typical symptoms or EBV infection[13].\nThe SH2D1A gene is found on chromosome Xq25 and has 4 exons, and mutations in this gene can result in SAP protein deficiency. SAP is a 128-amino acids signaling lymphocyte activating molecule (SLAM)-associated protein that contains 1 Src homology 2 (SH2) domain and is primarily expressed in T cells, NK cells, and some EBV-positive Burkitt lymphoma-derived B cells.[14] SAP can competitively bind to SLAMs via the SH2 domain and regulate a variety of processes, including the development and function of invariant natural killer T cells (iNKT), the clearance of EBV-infected B cells with cytotoxic T lymphocytes (CTLs) and NK cells, the development of germinal centers, the production of immunoglobulin, T cell restimulation-induced cell death, and the maintenance of T cell homeostasis.[15] In XLP-1 patients, SAP deficiency can prevent CTLs and NK cells from killing EBV-infected B cells.[16] The XIAP gene is also located on chromosome Xq25 and includes 7 exons, its encoding protein XIAP is a novel member of the inhibitor of apoptosis proteins family, which inhibits caspases directly and regulates apoptosis through several routes. XIAP gene is overexpressed in many tumor cell lines, and its expression is closely related to tumor progression, recurrence, prognosis, and treatment resistance.[17] Phophatidylinositol-3-kinase (PI3K) is a crucial signaling center in immune cells that catalyzes the conversion of PIP2 to PIP3 and thus facilitates membrane recruitment of molecules containing PIP3-binding Pleckstrin homology domains such as the AKT, PDK1, Tec family kinases, adapter molecules, guanine nucleotide exchange factors, and GTPase-activating proteins. These subsequently activate a number of important downstream pathways including mTOR, FOXO1 and BACH2-related pathways.[18] Too little or too much activity in the PI3K downstream pathway is harmful even pathogenic. Previous research discovered that SAP protein was downregulated in CTLs while the SLAM protein 2B4 was upregulated in patients with congenital PI3K deficiency disorder such as activated PI3Kδ syndrome, implying that SAP may interact with PI3K-associated pathways and XLP-1 may be related to PI3K signaling failure.[19] Insight details of the interaction patterns between SAP and PI3K, as well as the role of PI3K-associated pathways in pathogenesis of XLP-1 still need to be investigated further.\nIn this study, we will describe an infant with XLP-1, assess the proband’s clinical features and genetic variants, analyze the structural and functional changes in SAP protein caused by gene mutation, and investigate the probable role of PI3K-associated pathways in XLP-1 pathogenesis.", " 2.1. Editorial policies and ethical considerations The study was approved by the Ethics Committee of Kunming Children’s Hospital. All experiments were performed in compliance with the Helsinki Declaration. Informed written consent was obtained from the parents of the proband for the collection of clinical information, blood samples, DNA and presentation of patient’s materials.\nThe study was approved by the Ethics Committee of Kunming Children’s Hospital. All experiments were performed in compliance with the Helsinki Declaration. Informed written consent was obtained from the parents of the proband for the collection of clinical information, blood samples, DNA and presentation of patient’s materials.\n 2.2. Proband The proband, a 7-month-old male, was admitted to the hospital due to “fever with rash.” Fever was up to 40°C and not relieved after treatment. Physical examination of the proband on admission observed listless and poor mental response, scattered rashes on the trunk and limbs particularly on both forearms and lower legs, eyelid edema, pharyngeal congestion, white pustules attached to the pharyngeal tonsils, and several palpable enlarged lymph nodes in the neck up to about 1 × 1 cm in size with medium hardness and poor range of motion. The proband was initially treated with ganciclovir, sodium succinate and intravenous IgG to against viral infection, reduce inflammation and adjust immunity, respectively. With the progression of the disease, the proband had recurring fevers and icteric sclera indicating aggravated liver damage. The proband’s liver and spleen were progressively enlarged, and the rash became more widespread and fusing into patches in some area. Staphylococcus aureus were tested positive in sputum. Cefperazone-Sulbactam, meropenem and vancomycin were successively given against infection. Bone marrow examination showed hemophagocytosis. Etoposide was then given, during the treatment, the proband experienced progressive pancytopenia and was interfered with the infusion of granulocyte colony-stimulating factor, interleukin-11, and apheresis platelets. Unfortunately, the proband’s condition kept aggravating despite accepting treatment and finally died due to multiple organ dysfunctions. Parents of the proband were healthy, and no other remarkable diseases history was identified in the family.\nThe proband, a 7-month-old male, was admitted to the hospital due to “fever with rash.” Fever was up to 40°C and not relieved after treatment. Physical examination of the proband on admission observed listless and poor mental response, scattered rashes on the trunk and limbs particularly on both forearms and lower legs, eyelid edema, pharyngeal congestion, white pustules attached to the pharyngeal tonsils, and several palpable enlarged lymph nodes in the neck up to about 1 × 1 cm in size with medium hardness and poor range of motion. The proband was initially treated with ganciclovir, sodium succinate and intravenous IgG to against viral infection, reduce inflammation and adjust immunity, respectively. With the progression of the disease, the proband had recurring fevers and icteric sclera indicating aggravated liver damage. The proband’s liver and spleen were progressively enlarged, and the rash became more widespread and fusing into patches in some area. Staphylococcus aureus were tested positive in sputum. Cefperazone-Sulbactam, meropenem and vancomycin were successively given against infection. Bone marrow examination showed hemophagocytosis. Etoposide was then given, during the treatment, the proband experienced progressive pancytopenia and was interfered with the infusion of granulocyte colony-stimulating factor, interleukin-11, and apheresis platelets. Unfortunately, the proband’s condition kept aggravating despite accepting treatment and finally died due to multiple organ dysfunctions. Parents of the proband were healthy, and no other remarkable diseases history was identified in the family.\n 2.3. Whole exome sequencing Peripheral blood samples were collected from the proband and parents. Genomic DNA was extracted from peripheral blood using the DNA Extraction kit (CWBIO, China). The isolated DNA was quantified by agarose gel electrophoresis and Nanodrop 2000 (Thermal Fisher Scientific). Libraries were prepared using Illumina standard protocol and a minimum of 3 μg DNA was employed for the indexed Illumina libraries. To capture targeted genes, the biotinylated capture probes were designed to tile all of the exons with non-repeated regions. The resulting captured DNA was amplified by PCR and the PCR product was purified with SPRI beads (Beckman Coulter). The enriched libraries were sequenced on an Illumina NextSeq 500 sequencer for paired-end reads of 150 bp. Quality control criteria were applied to the raw sequencing data before being mapped to the UCSC hg19 human reference genome using BWA (0.7.10). Picard tools (1.119) were used to eliminate duplicated reads. SNP and InDels were detected and filtered by GATK (Genome Analysis TK-3.3.0). Variants were further annotated by ANNOVAR. All mutations identified were confirmed by Sanger sequencing. Sites of variation were identified through a comparison of DNA sequences with the corresponding GenBank (www.ncbi.nlm.nih.gov) reference sequences. Exon 1 of SH2D1A (NM_002351) were amplified using 2 pair primers (Forward: 5’-GCTCGATCGAACCAAGCTAC-3’; Reverse: 5’-GGAGCGAAGGTAAACTGTGG-3’). The PCR samples were visualized on agarose gels, purified and sequenced using the terminator cycle sequencing method on an ABI PRISM 3730 genetic analyzer (Thermo Fisher Scientific). The sequencing results were analyzed using the DNASTAR (Madison) software.\nPeripheral blood samples were collected from the proband and parents. Genomic DNA was extracted from peripheral blood using the DNA Extraction kit (CWBIO, China). The isolated DNA was quantified by agarose gel electrophoresis and Nanodrop 2000 (Thermal Fisher Scientific). Libraries were prepared using Illumina standard protocol and a minimum of 3 μg DNA was employed for the indexed Illumina libraries. To capture targeted genes, the biotinylated capture probes were designed to tile all of the exons with non-repeated regions. The resulting captured DNA was amplified by PCR and the PCR product was purified with SPRI beads (Beckman Coulter). The enriched libraries were sequenced on an Illumina NextSeq 500 sequencer for paired-end reads of 150 bp. Quality control criteria were applied to the raw sequencing data before being mapped to the UCSC hg19 human reference genome using BWA (0.7.10). Picard tools (1.119) were used to eliminate duplicated reads. SNP and InDels were detected and filtered by GATK (Genome Analysis TK-3.3.0). Variants were further annotated by ANNOVAR. All mutations identified were confirmed by Sanger sequencing. Sites of variation were identified through a comparison of DNA sequences with the corresponding GenBank (www.ncbi.nlm.nih.gov) reference sequences. Exon 1 of SH2D1A (NM_002351) were amplified using 2 pair primers (Forward: 5’-GCTCGATCGAACCAAGCTAC-3’; Reverse: 5’-GGAGCGAAGGTAAACTGTGG-3’). The PCR samples were visualized on agarose gels, purified and sequenced using the terminator cycle sequencing method on an ABI PRISM 3730 genetic analyzer (Thermo Fisher Scientific). The sequencing results were analyzed using the DNASTAR (Madison) software.\n 2.4. Flow cytometry Peripheral blood samples were collected from the proband and parents, as well as a familial HLH patient and a healthy child as control. Peripheral blood mononuclear cells were isolated using lymphocyte separation solution. Protein expression in peripheral blood mononuclear cells was determined via flow cytometry. Briefly, cells were fixed and permeabilized sequentially with an IntraPrep Permeabilizaton Reagent kit (Beckman Coulter,A07803) following manufacturer’s instruction. Specific antibodies were then added for incubation overnight, followed by 30 mins incubation with a fluorescently labeled secondary antibody. The flow cytometry tests were carried out with a BD FACSCanto II flow cytometer, and the data was processed with CytExpert 2.0 (Beckman Coulter) software. Antibodies used were listed as follows: Anti-SH2D1A/SAP (Abcam, ab109120); Anti-PI3 Kinase p110δ (Abcam, ab109006); Anti-PI3 Kinase p85α (Abcam, ab191606); Anti-PTEN (Abcam, ab32199); Anti-AKT (CST, 9272s); Anti-phospho-AKT (CST, 9271s); Anti-mTOR (Abcam, ab2732).\nPeripheral blood samples were collected from the proband and parents, as well as a familial HLH patient and a healthy child as control. Peripheral blood mononuclear cells were isolated using lymphocyte separation solution. Protein expression in peripheral blood mononuclear cells was determined via flow cytometry. Briefly, cells were fixed and permeabilized sequentially with an IntraPrep Permeabilizaton Reagent kit (Beckman Coulter,A07803) following manufacturer’s instruction. Specific antibodies were then added for incubation overnight, followed by 30 mins incubation with a fluorescently labeled secondary antibody. The flow cytometry tests were carried out with a BD FACSCanto II flow cytometer, and the data was processed with CytExpert 2.0 (Beckman Coulter) software. Antibodies used were listed as follows: Anti-SH2D1A/SAP (Abcam, ab109120); Anti-PI3 Kinase p110δ (Abcam, ab109006); Anti-PI3 Kinase p85α (Abcam, ab191606); Anti-PTEN (Abcam, ab32199); Anti-AKT (CST, 9272s); Anti-phospho-AKT (CST, 9271s); Anti-mTOR (Abcam, ab2732).\n 2.5. Prediction of the pathogenicity and structure of mutant protein Pathogenicity of mutant protein was predicted by PolyPhen-2 online scoring tool (http://genetics.bwh.harvard.edu/pph2/index.shtml). The greater the pathogenicity, the closer the score is to 1.0. The structure of wild-type protein was created by SWISS-MODEL online tool (http://swissmodel.expasy.org/) and the structure of mutant protein was estimated by SWISS-PDB Viewer 4.1.0 software.\nPathogenicity of mutant protein was predicted by PolyPhen-2 online scoring tool (http://genetics.bwh.harvard.edu/pph2/index.shtml). The greater the pathogenicity, the closer the score is to 1.0. The structure of wild-type protein was created by SWISS-MODEL online tool (http://swissmodel.expasy.org/) and the structure of mutant protein was estimated by SWISS-PDB Viewer 4.1.0 software.", "The study was approved by the Ethics Committee of Kunming Children’s Hospital. All experiments were performed in compliance with the Helsinki Declaration. Informed written consent was obtained from the parents of the proband for the collection of clinical information, blood samples, DNA and presentation of patient’s materials.", "The proband, a 7-month-old male, was admitted to the hospital due to “fever with rash.” Fever was up to 40°C and not relieved after treatment. Physical examination of the proband on admission observed listless and poor mental response, scattered rashes on the trunk and limbs particularly on both forearms and lower legs, eyelid edema, pharyngeal congestion, white pustules attached to the pharyngeal tonsils, and several palpable enlarged lymph nodes in the neck up to about 1 × 1 cm in size with medium hardness and poor range of motion. The proband was initially treated with ganciclovir, sodium succinate and intravenous IgG to against viral infection, reduce inflammation and adjust immunity, respectively. With the progression of the disease, the proband had recurring fevers and icteric sclera indicating aggravated liver damage. The proband’s liver and spleen were progressively enlarged, and the rash became more widespread and fusing into patches in some area. Staphylococcus aureus were tested positive in sputum. Cefperazone-Sulbactam, meropenem and vancomycin were successively given against infection. Bone marrow examination showed hemophagocytosis. Etoposide was then given, during the treatment, the proband experienced progressive pancytopenia and was interfered with the infusion of granulocyte colony-stimulating factor, interleukin-11, and apheresis platelets. Unfortunately, the proband’s condition kept aggravating despite accepting treatment and finally died due to multiple organ dysfunctions. Parents of the proband were healthy, and no other remarkable diseases history was identified in the family.", "Peripheral blood samples were collected from the proband and parents. Genomic DNA was extracted from peripheral blood using the DNA Extraction kit (CWBIO, China). The isolated DNA was quantified by agarose gel electrophoresis and Nanodrop 2000 (Thermal Fisher Scientific). Libraries were prepared using Illumina standard protocol and a minimum of 3 μg DNA was employed for the indexed Illumina libraries. To capture targeted genes, the biotinylated capture probes were designed to tile all of the exons with non-repeated regions. The resulting captured DNA was amplified by PCR and the PCR product was purified with SPRI beads (Beckman Coulter). The enriched libraries were sequenced on an Illumina NextSeq 500 sequencer for paired-end reads of 150 bp. Quality control criteria were applied to the raw sequencing data before being mapped to the UCSC hg19 human reference genome using BWA (0.7.10). Picard tools (1.119) were used to eliminate duplicated reads. SNP and InDels were detected and filtered by GATK (Genome Analysis TK-3.3.0). Variants were further annotated by ANNOVAR. All mutations identified were confirmed by Sanger sequencing. Sites of variation were identified through a comparison of DNA sequences with the corresponding GenBank (www.ncbi.nlm.nih.gov) reference sequences. Exon 1 of SH2D1A (NM_002351) were amplified using 2 pair primers (Forward: 5’-GCTCGATCGAACCAAGCTAC-3’; Reverse: 5’-GGAGCGAAGGTAAACTGTGG-3’). The PCR samples were visualized on agarose gels, purified and sequenced using the terminator cycle sequencing method on an ABI PRISM 3730 genetic analyzer (Thermo Fisher Scientific). The sequencing results were analyzed using the DNASTAR (Madison) software.", "Peripheral blood samples were collected from the proband and parents, as well as a familial HLH patient and a healthy child as control. Peripheral blood mononuclear cells were isolated using lymphocyte separation solution. Protein expression in peripheral blood mononuclear cells was determined via flow cytometry. Briefly, cells were fixed and permeabilized sequentially with an IntraPrep Permeabilizaton Reagent kit (Beckman Coulter,A07803) following manufacturer’s instruction. Specific antibodies were then added for incubation overnight, followed by 30 mins incubation with a fluorescently labeled secondary antibody. The flow cytometry tests were carried out with a BD FACSCanto II flow cytometer, and the data was processed with CytExpert 2.0 (Beckman Coulter) software. Antibodies used were listed as follows: Anti-SH2D1A/SAP (Abcam, ab109120); Anti-PI3 Kinase p110δ (Abcam, ab109006); Anti-PI3 Kinase p85α (Abcam, ab191606); Anti-PTEN (Abcam, ab32199); Anti-AKT (CST, 9272s); Anti-phospho-AKT (CST, 9271s); Anti-mTOR (Abcam, ab2732).", "Pathogenicity of mutant protein was predicted by PolyPhen-2 online scoring tool (http://genetics.bwh.harvard.edu/pph2/index.shtml). The greater the pathogenicity, the closer the score is to 1.0. The structure of wild-type protein was created by SWISS-MODEL online tool (http://swissmodel.expasy.org/) and the structure of mutant protein was estimated by SWISS-PDB Viewer 4.1.0 software.", " 3.1 Laboratory and imagological examinations indicated that the proband’s condition continued to deteriorate despite receiving treatment To access detailed conditions of the proband, multiple laboratory and imagological examinations were conducted during hospitalization. Results showed that peripheral blood EBV nucleic acid load continued to rise and the antibodies to EBV capsid antigen (EBVCA) IgG and IgG antibodies to EBV nuclear antigen became positive as the disease progressed (Fig. 1A). The percentage of CD19 + B cells was slightly decreased (Fig. 1B), and humoral immunity test indicated increased levels of serum IgG, IgM, IgA, and decreased C3 (Fig. 1C). Hematological parameters of the proband pre- and during-hospitalization showed that the counts of leukocyte, lymphocyte, neutrophil, monocyte, platelet, erythrocyte and hemoglobin were declined with fluctuation and generally lower than reference values. The percentages of lymphocyte, neutrophil and monocyte were all fluctuated outside the reference value (Fig. 1D). Besides, indicators for liver, renal and cardiac function of proband were abnormal as disease progressed. The levels of alanine aminotransferase, aspartate aminotransferase, γ-glutamyltransferase (γ-GGT), alkaline phosphatase, total bilirubin, direct bilirubin, total bile acid, lactate dehydrogenase and α-hydroxybutyrate dehydrogenase (α-HBDH) were all extremely higher than reference values (Fig. 1E–G). Additionally, the levels of ferritin and triglycerides elevated dramatically indicated the development of HLH (Fig. 2A). Occurrence of HLH was also confirmed by hemophagocytes in bone marrow (Fig. 2B) and increased expression of serum IL-6 and IL-10, with IL-10 being 12 times higher than the reference values (Fig. 2C). Abdominal color ultrasound revealed hepatomegaly, gallbladder wall thickening, mild splenomegaly and abdominal effusion (Fig. 3A). Neck color ultrasound revealed slightly enlarged lymph nodes on both sides of neck and jaw (Fig. 3B). Chest X-ray revealed increased bilateral pleural effusion with deterioration of disease (Fig. 3C). Overall, with the progression of disease, the condition of the proband kept deteriorating, especially the infection was aggravated, immunity responses were deficient, and multiple organs were progressively disabled. The clinical features including EBV-infection, bone marrow hemophagocytosis, dysgammaglobulinemia, hepatosplenomegaly and lymphadenopathy observed suggested that the proband may suffer from XLP.\nLaboratory examinations of the proband with the progression of disease. (A) Results of peripheral blood EBV nucleic acid and antibodies test. (B) Results of lymphocyte subsets test. (C) Results of humoral immunity test. (D) Results of whole blood counts. There were ten times of testing results during hospitalization listed in chronological order from left to right. (E) Results of liver function test. There were 10 times of testing results during hospitalization listed in chronological order from left to right. (F) Results of renal function test. There were 8 times of testing results during hospitalization listed in chronological order from left to right. (G) Results of cardiac function test. There were 7 times of testing results during hospitalization listed in chronological order from left to right. EBV = Epstein-Barr virus.\nOccurrence of hemophagocytic lymphohistiocytosis was detected in the proband. (A) Results of ferritin and triglycerides tests. There were 4 times of testing results during hospitalization listed in chronological order from left to right. (B) Results of cytopathology detection of bone marrow. (C) Results of serum cytokine test.\nImageological examinations of the proband with the progression of disease. (A) Results of abdominal color ultrasound. (B) Results of neck color ultrasound. (C) Results of chest X-ray. There were 5 times of examine results during hospitalization listed in chronological order from left to right.\nTo access detailed conditions of the proband, multiple laboratory and imagological examinations were conducted during hospitalization. Results showed that peripheral blood EBV nucleic acid load continued to rise and the antibodies to EBV capsid antigen (EBVCA) IgG and IgG antibodies to EBV nuclear antigen became positive as the disease progressed (Fig. 1A). The percentage of CD19 + B cells was slightly decreased (Fig. 1B), and humoral immunity test indicated increased levels of serum IgG, IgM, IgA, and decreased C3 (Fig. 1C). Hematological parameters of the proband pre- and during-hospitalization showed that the counts of leukocyte, lymphocyte, neutrophil, monocyte, platelet, erythrocyte and hemoglobin were declined with fluctuation and generally lower than reference values. The percentages of lymphocyte, neutrophil and monocyte were all fluctuated outside the reference value (Fig. 1D). Besides, indicators for liver, renal and cardiac function of proband were abnormal as disease progressed. The levels of alanine aminotransferase, aspartate aminotransferase, γ-glutamyltransferase (γ-GGT), alkaline phosphatase, total bilirubin, direct bilirubin, total bile acid, lactate dehydrogenase and α-hydroxybutyrate dehydrogenase (α-HBDH) were all extremely higher than reference values (Fig. 1E–G). Additionally, the levels of ferritin and triglycerides elevated dramatically indicated the development of HLH (Fig. 2A). Occurrence of HLH was also confirmed by hemophagocytes in bone marrow (Fig. 2B) and increased expression of serum IL-6 and IL-10, with IL-10 being 12 times higher than the reference values (Fig. 2C). Abdominal color ultrasound revealed hepatomegaly, gallbladder wall thickening, mild splenomegaly and abdominal effusion (Fig. 3A). Neck color ultrasound revealed slightly enlarged lymph nodes on both sides of neck and jaw (Fig. 3B). Chest X-ray revealed increased bilateral pleural effusion with deterioration of disease (Fig. 3C). Overall, with the progression of disease, the condition of the proband kept deteriorating, especially the infection was aggravated, immunity responses were deficient, and multiple organs were progressively disabled. The clinical features including EBV-infection, bone marrow hemophagocytosis, dysgammaglobulinemia, hepatosplenomegaly and lymphadenopathy observed suggested that the proband may suffer from XLP.\nLaboratory examinations of the proband with the progression of disease. (A) Results of peripheral blood EBV nucleic acid and antibodies test. (B) Results of lymphocyte subsets test. (C) Results of humoral immunity test. (D) Results of whole blood counts. There were ten times of testing results during hospitalization listed in chronological order from left to right. (E) Results of liver function test. There were 10 times of testing results during hospitalization listed in chronological order from left to right. (F) Results of renal function test. There were 8 times of testing results during hospitalization listed in chronological order from left to right. (G) Results of cardiac function test. There were 7 times of testing results during hospitalization listed in chronological order from left to right. EBV = Epstein-Barr virus.\nOccurrence of hemophagocytic lymphohistiocytosis was detected in the proband. (A) Results of ferritin and triglycerides tests. There were 4 times of testing results during hospitalization listed in chronological order from left to right. (B) Results of cytopathology detection of bone marrow. (C) Results of serum cytokine test.\nImageological examinations of the proband with the progression of disease. (A) Results of abdominal color ultrasound. (B) Results of neck color ultrasound. (C) Results of chest X-ray. There were 5 times of examine results during hospitalization listed in chronological order from left to right.\n 3.2. The proband was diagnosed with XLP-1 caused by a hemizygous mutation c.96G > T in SH2D1A gene In order to confirm whether the proband was suffered from genetic disorders, the peripheral blood DNA of the proband and parents were extracted, and whole exome sequencing was performed. The results revealed a hemizygous mutation in exon 1 of SH2D1A gene, which substituted Guanine to Thymine at the site of nucleotide 96 (c.96G > T) (Fig. 4A), resulting in a missense substitution of Arginine to Serine at the site of amino acid 32 (p.R32S). According to the ACMG guidelines, this mutation was identified as a pathogenic mutation. It was located in the mutation hotspot region with a low-frequency in the normal population database. The mutation with the same amino acid change as this proband had been reported previously but with different nucleotide change.[20] Sanger sequencing validation of this mutation was performed on the parents, and the results identified no variation at this site in the father and a heterozygous variation at this site in the mother (Fig. 4B and C). As XLP-1 inherited in a recessive pattern, the parents of the proband were all appeared healthy. Therefore, the diagnosis of XLP-1 was confirmed based on the proband’s typical clinical manifestations and genetic analysis results.\nIdentification of a hemizygous mutation c.96G > T in SH2D1A gene of the proband. (A) Schematic diagram of SH2D1A gene. The mutation site was highlighted in red. (B) Results of Sanger sequencing. The arrows indicated the sites of mutation. (C) Genetic pedigree of the family.\nIn order to confirm whether the proband was suffered from genetic disorders, the peripheral blood DNA of the proband and parents were extracted, and whole exome sequencing was performed. The results revealed a hemizygous mutation in exon 1 of SH2D1A gene, which substituted Guanine to Thymine at the site of nucleotide 96 (c.96G > T) (Fig. 4A), resulting in a missense substitution of Arginine to Serine at the site of amino acid 32 (p.R32S). According to the ACMG guidelines, this mutation was identified as a pathogenic mutation. It was located in the mutation hotspot region with a low-frequency in the normal population database. The mutation with the same amino acid change as this proband had been reported previously but with different nucleotide change.[20] Sanger sequencing validation of this mutation was performed on the parents, and the results identified no variation at this site in the father and a heterozygous variation at this site in the mother (Fig. 4B and C). As XLP-1 inherited in a recessive pattern, the parents of the proband were all appeared healthy. Therefore, the diagnosis of XLP-1 was confirmed based on the proband’s typical clinical manifestations and genetic analysis results.\nIdentification of a hemizygous mutation c.96G > T in SH2D1A gene of the proband. (A) Schematic diagram of SH2D1A gene. The mutation site was highlighted in red. (B) Results of Sanger sequencing. The arrows indicated the sites of mutation. (C) Genetic pedigree of the family.\n 3.3. The mutant SAP protein was highly pathogenic with structural and functional change In order to explore whether the c.96G > T mutation in SH2D1A gene caused functional or structural deficiency in SAP protein, we first analyzed pathogenicity of mutant protein by PolyPhen-2 online scoring tool. As the greater the pathogenicity, the closer the score is to 1.0, the mutation was predicted to be highly pathogenic with a score of 1.0 (Fig. 5A). In addition, we analyzed the structural change of mutant SAP protein. As shown in Figure 5B, the secondary structure of SAP protein contained 2 α-helices and 8 β-strands and the mutation site was located at the end of the second β-strand. By comparing the structures of wild-type and mutant SAP proteins, we found that the substitution of amino acid Arginine to Serine causing a turnover of a hydrogen bond (Fig. 5B), suggesting the structure of SAP protein was changed. We also detected the expression of SAP in proband and the parents. As expected, flow cytometry detected that SAP protein was significantly downregulated in proband compared to which in parents. As shown in Figure 5C, SAP expression level in the proband, father and mother were 10.28%, 87.28%, and 80.31%, respectively, suggesting the function of SAP in proband was deficient. Overall, c.96G > T mutation of SH2D1A gene in the proband led to significant structural and functional deficiency of SAP protein, which was highly pathogenic.\nThe mutant SAP protein was highly pathogenic with structural and functional. (A) The pathogenicity of mutant SAP protein was predicted by PolyPhen-2. The greater the pathogenicity, the closer the score is to 1.0. (B) The secondary structure of SAP protein and a structural comparison between wild-type and mutant SAP protein. The site and labels of mutation were highlighted in magenta. The green dotted lines illustrated hydrogen bonds. The magenta arrows indicated the turnover of a hydrogen bond. (C) Expression of SAP in the patient and parents detected by flow cytometry. Peaks in red were negative controls. Peaks in green illustrated expression of SAP.\nIn order to explore whether the c.96G > T mutation in SH2D1A gene caused functional or structural deficiency in SAP protein, we first analyzed pathogenicity of mutant protein by PolyPhen-2 online scoring tool. As the greater the pathogenicity, the closer the score is to 1.0, the mutation was predicted to be highly pathogenic with a score of 1.0 (Fig. 5A). In addition, we analyzed the structural change of mutant SAP protein. As shown in Figure 5B, the secondary structure of SAP protein contained 2 α-helices and 8 β-strands and the mutation site was located at the end of the second β-strand. By comparing the structures of wild-type and mutant SAP proteins, we found that the substitution of amino acid Arginine to Serine causing a turnover of a hydrogen bond (Fig. 5B), suggesting the structure of SAP protein was changed. We also detected the expression of SAP in proband and the parents. As expected, flow cytometry detected that SAP protein was significantly downregulated in proband compared to which in parents. As shown in Figure 5C, SAP expression level in the proband, father and mother were 10.28%, 87.28%, and 80.31%, respectively, suggesting the function of SAP in proband was deficient. Overall, c.96G > T mutation of SH2D1A gene in the proband led to significant structural and functional deficiency of SAP protein, which was highly pathogenic.\nThe mutant SAP protein was highly pathogenic with structural and functional. (A) The pathogenicity of mutant SAP protein was predicted by PolyPhen-2. The greater the pathogenicity, the closer the score is to 1.0. (B) The secondary structure of SAP protein and a structural comparison between wild-type and mutant SAP protein. The site and labels of mutation were highlighted in magenta. The green dotted lines illustrated hydrogen bonds. The magenta arrows indicated the turnover of a hydrogen bond. (C) Expression of SAP in the patient and parents detected by flow cytometry. Peaks in red were negative controls. Peaks in green illustrated expression of SAP.\n 3.4. Activation of PI3K-AKT-mTOR signaling pathway in the proband As previously stated, PI3K downstream signaling pathways may be altered in XLP-1 patients, thus we evaluated the expression of PI3K subunits p110δ and p85α, as well as downstream key proteins including AKT, p-AKT and mTOR in both the proband and the parents. To ensure that observed differences were due to XLP-1 rather than HLH, we also evaluated the expression of proteins in a familial HLH patient and a healthy child. As shown in Figure 6, PI3K-AKT-mTOR pathway was inactivated in the healthy control, as evidenced by high expression of the negative regulatory subunit p85α, which inhibit the activity of the functional subunit p110δ. Moreover, under normal circumstances, the downstream protein AKT was unphosphorylated and mTOR was not expressed. The proband had p85α downregulation and p110δ upregulation, AKT phosphorylation, and mTOR activation, indicating that the PI3K-AKT-mTOR pathway was considerably activated. The expression patterns of p85α, p110δ, AKT, and p-AKT were identical in the father and mother, but mTOR expression was muted. Although p85α and p110δ were excessively high in the familial HLH control, downstream AKT was unphosphorylated and mTOR was only expressed, in contrast to the fully activated PI3K-AKT-mTOR pathway in the XLP-1 proband. Overall, the findings showed that the PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients, implying that the PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis.\nExpression of key proteins in PI3K downstream pathways. Peaks in red were negative controls. Peaks in green illustrated expression of proteins. PI3K = phophatidylinositol-3-kinase.\nAs previously stated, PI3K downstream signaling pathways may be altered in XLP-1 patients, thus we evaluated the expression of PI3K subunits p110δ and p85α, as well as downstream key proteins including AKT, p-AKT and mTOR in both the proband and the parents. To ensure that observed differences were due to XLP-1 rather than HLH, we also evaluated the expression of proteins in a familial HLH patient and a healthy child. As shown in Figure 6, PI3K-AKT-mTOR pathway was inactivated in the healthy control, as evidenced by high expression of the negative regulatory subunit p85α, which inhibit the activity of the functional subunit p110δ. Moreover, under normal circumstances, the downstream protein AKT was unphosphorylated and mTOR was not expressed. The proband had p85α downregulation and p110δ upregulation, AKT phosphorylation, and mTOR activation, indicating that the PI3K-AKT-mTOR pathway was considerably activated. The expression patterns of p85α, p110δ, AKT, and p-AKT were identical in the father and mother, but mTOR expression was muted. Although p85α and p110δ were excessively high in the familial HLH control, downstream AKT was unphosphorylated and mTOR was only expressed, in contrast to the fully activated PI3K-AKT-mTOR pathway in the XLP-1 proband. Overall, the findings showed that the PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients, implying that the PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis.\nExpression of key proteins in PI3K downstream pathways. Peaks in red were negative controls. Peaks in green illustrated expression of proteins. PI3K = phophatidylinositol-3-kinase.", "To access detailed conditions of the proband, multiple laboratory and imagological examinations were conducted during hospitalization. Results showed that peripheral blood EBV nucleic acid load continued to rise and the antibodies to EBV capsid antigen (EBVCA) IgG and IgG antibodies to EBV nuclear antigen became positive as the disease progressed (Fig. 1A). The percentage of CD19 + B cells was slightly decreased (Fig. 1B), and humoral immunity test indicated increased levels of serum IgG, IgM, IgA, and decreased C3 (Fig. 1C). Hematological parameters of the proband pre- and during-hospitalization showed that the counts of leukocyte, lymphocyte, neutrophil, monocyte, platelet, erythrocyte and hemoglobin were declined with fluctuation and generally lower than reference values. The percentages of lymphocyte, neutrophil and monocyte were all fluctuated outside the reference value (Fig. 1D). Besides, indicators for liver, renal and cardiac function of proband were abnormal as disease progressed. The levels of alanine aminotransferase, aspartate aminotransferase, γ-glutamyltransferase (γ-GGT), alkaline phosphatase, total bilirubin, direct bilirubin, total bile acid, lactate dehydrogenase and α-hydroxybutyrate dehydrogenase (α-HBDH) were all extremely higher than reference values (Fig. 1E–G). Additionally, the levels of ferritin and triglycerides elevated dramatically indicated the development of HLH (Fig. 2A). Occurrence of HLH was also confirmed by hemophagocytes in bone marrow (Fig. 2B) and increased expression of serum IL-6 and IL-10, with IL-10 being 12 times higher than the reference values (Fig. 2C). Abdominal color ultrasound revealed hepatomegaly, gallbladder wall thickening, mild splenomegaly and abdominal effusion (Fig. 3A). Neck color ultrasound revealed slightly enlarged lymph nodes on both sides of neck and jaw (Fig. 3B). Chest X-ray revealed increased bilateral pleural effusion with deterioration of disease (Fig. 3C). Overall, with the progression of disease, the condition of the proband kept deteriorating, especially the infection was aggravated, immunity responses were deficient, and multiple organs were progressively disabled. The clinical features including EBV-infection, bone marrow hemophagocytosis, dysgammaglobulinemia, hepatosplenomegaly and lymphadenopathy observed suggested that the proband may suffer from XLP.\nLaboratory examinations of the proband with the progression of disease. (A) Results of peripheral blood EBV nucleic acid and antibodies test. (B) Results of lymphocyte subsets test. (C) Results of humoral immunity test. (D) Results of whole blood counts. There were ten times of testing results during hospitalization listed in chronological order from left to right. (E) Results of liver function test. There were 10 times of testing results during hospitalization listed in chronological order from left to right. (F) Results of renal function test. There were 8 times of testing results during hospitalization listed in chronological order from left to right. (G) Results of cardiac function test. There were 7 times of testing results during hospitalization listed in chronological order from left to right. EBV = Epstein-Barr virus.\nOccurrence of hemophagocytic lymphohistiocytosis was detected in the proband. (A) Results of ferritin and triglycerides tests. There were 4 times of testing results during hospitalization listed in chronological order from left to right. (B) Results of cytopathology detection of bone marrow. (C) Results of serum cytokine test.\nImageological examinations of the proband with the progression of disease. (A) Results of abdominal color ultrasound. (B) Results of neck color ultrasound. (C) Results of chest X-ray. There were 5 times of examine results during hospitalization listed in chronological order from left to right.", "In order to confirm whether the proband was suffered from genetic disorders, the peripheral blood DNA of the proband and parents were extracted, and whole exome sequencing was performed. The results revealed a hemizygous mutation in exon 1 of SH2D1A gene, which substituted Guanine to Thymine at the site of nucleotide 96 (c.96G > T) (Fig. 4A), resulting in a missense substitution of Arginine to Serine at the site of amino acid 32 (p.R32S). According to the ACMG guidelines, this mutation was identified as a pathogenic mutation. It was located in the mutation hotspot region with a low-frequency in the normal population database. The mutation with the same amino acid change as this proband had been reported previously but with different nucleotide change.[20] Sanger sequencing validation of this mutation was performed on the parents, and the results identified no variation at this site in the father and a heterozygous variation at this site in the mother (Fig. 4B and C). As XLP-1 inherited in a recessive pattern, the parents of the proband were all appeared healthy. Therefore, the diagnosis of XLP-1 was confirmed based on the proband’s typical clinical manifestations and genetic analysis results.\nIdentification of a hemizygous mutation c.96G > T in SH2D1A gene of the proband. (A) Schematic diagram of SH2D1A gene. The mutation site was highlighted in red. (B) Results of Sanger sequencing. The arrows indicated the sites of mutation. (C) Genetic pedigree of the family.", "In order to explore whether the c.96G > T mutation in SH2D1A gene caused functional or structural deficiency in SAP protein, we first analyzed pathogenicity of mutant protein by PolyPhen-2 online scoring tool. As the greater the pathogenicity, the closer the score is to 1.0, the mutation was predicted to be highly pathogenic with a score of 1.0 (Fig. 5A). In addition, we analyzed the structural change of mutant SAP protein. As shown in Figure 5B, the secondary structure of SAP protein contained 2 α-helices and 8 β-strands and the mutation site was located at the end of the second β-strand. By comparing the structures of wild-type and mutant SAP proteins, we found that the substitution of amino acid Arginine to Serine causing a turnover of a hydrogen bond (Fig. 5B), suggesting the structure of SAP protein was changed. We also detected the expression of SAP in proband and the parents. As expected, flow cytometry detected that SAP protein was significantly downregulated in proband compared to which in parents. As shown in Figure 5C, SAP expression level in the proband, father and mother were 10.28%, 87.28%, and 80.31%, respectively, suggesting the function of SAP in proband was deficient. Overall, c.96G > T mutation of SH2D1A gene in the proband led to significant structural and functional deficiency of SAP protein, which was highly pathogenic.\nThe mutant SAP protein was highly pathogenic with structural and functional. (A) The pathogenicity of mutant SAP protein was predicted by PolyPhen-2. The greater the pathogenicity, the closer the score is to 1.0. (B) The secondary structure of SAP protein and a structural comparison between wild-type and mutant SAP protein. The site and labels of mutation were highlighted in magenta. The green dotted lines illustrated hydrogen bonds. The magenta arrows indicated the turnover of a hydrogen bond. (C) Expression of SAP in the patient and parents detected by flow cytometry. Peaks in red were negative controls. Peaks in green illustrated expression of SAP.", "As previously stated, PI3K downstream signaling pathways may be altered in XLP-1 patients, thus we evaluated the expression of PI3K subunits p110δ and p85α, as well as downstream key proteins including AKT, p-AKT and mTOR in both the proband and the parents. To ensure that observed differences were due to XLP-1 rather than HLH, we also evaluated the expression of proteins in a familial HLH patient and a healthy child. As shown in Figure 6, PI3K-AKT-mTOR pathway was inactivated in the healthy control, as evidenced by high expression of the negative regulatory subunit p85α, which inhibit the activity of the functional subunit p110δ. Moreover, under normal circumstances, the downstream protein AKT was unphosphorylated and mTOR was not expressed. The proband had p85α downregulation and p110δ upregulation, AKT phosphorylation, and mTOR activation, indicating that the PI3K-AKT-mTOR pathway was considerably activated. The expression patterns of p85α, p110δ, AKT, and p-AKT were identical in the father and mother, but mTOR expression was muted. Although p85α and p110δ were excessively high in the familial HLH control, downstream AKT was unphosphorylated and mTOR was only expressed, in contrast to the fully activated PI3K-AKT-mTOR pathway in the XLP-1 proband. Overall, the findings showed that the PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients, implying that the PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis.\nExpression of key proteins in PI3K downstream pathways. Peaks in red were negative controls. Peaks in green illustrated expression of proteins. PI3K = phophatidylinositol-3-kinase.", "Due to complex clinical characteristics, XLP-1 is easily confused with other diseases such as jaundice, hyperbilirubinemia, hypogammaglobulinemia, and lymphoma at the time of diagnosis. Through whole exome sequencing, we identified a hemizygous mutation c.96G > T (p.R32S) in exon 1 of SH2D1A gene in the proband of our study, which was inherited from the mother who was a healthy heterozygous carrier of this mutation. Although the sequencing technology greatly assists in the clinical diagnosis and classification of XLP, there is an urgent need for a way to rapidly diagnose XLP due to the acute onset and rapid progression of XLP, especially in cases accompanied by life-threatened HLH. Flow cytometry can be used to quickly detect the expression of SAP or XIAP protein and can also be used to identify the phenotypic and functional deficiency characteristics of lymphocytes in XLP patients, supporting the rapid screening need of XLP. Rapid detection by flow cytometry allows for more treatment time for critical XLP patients and more preparation time for patients suitable for HSCT, which will help improve XLP survival. In this study, we confirmed the SAP protein deficiency in the proband and analyzed the characteristics of peripheral blood lymphocyte subsets via flow cytometry. Based on the clinical manifestations, sequencing and protein expression findings of the proband, we confirmed the diagnosis of XLP-1. Apart from this, flow cytometry can also be used to detect the level of NKT cells which can assist in XLP-1 diagnosis. Previous studies have found that iNKT cells have a constant TCRα receptor and they cannot develop without SAP protein, thus iNKT cells will not be detected in XLP-1 patients when SAP protein is deficient.[21,22] Additionally, iNKT can be labeled with CD3, TCRVα24 and TCRVβ11 antibodies that offer convenience in the detection.[23] Overall, combination of sequencing technology and flow cytometry provides a more efficient and accurate way in the diagnosis and classification of XLP.\nSAP protein is an adaptor molecule, which competitively binds to the intracellular region of the SLAM receptor proteins such as 2B4 (SLAMF4) and Ly108 (NTB-A or SLAMF6).[24] The SLAM proteins are particularly important in the generation of cytotoxic effects. In the lack of SAP, the SLAM proteins play inhibitory roles by binding to their ligands and recruiting phosphatases including SHP-1, SHP-2 and SHIP1.[25] Those inhibitory activities are easily triggered in B cells since high levels of SLAM proteins and their ligands are expressed in B cells.[19] Previous research found that the typical cytological characteristics of XLP-1 are functional deficiencies in CTLs and NK cells, which preventing them from killing EBV-infected B cells but retaining the ability to kill many other targets.[16] Moreover, T cell restimulation-induced cell death was disabled possibly due to the inhibitory effect produced by SLAM proteins and their ligands in XLP-1 patients, hence catastrophic lymphoproliferation and HLH were very likely to be induced in the presence of EBV infection.[26] The pathogenic mechanisms of XLP-1 have not been fully understood so far.\nInterestingly, we found that the PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients. It is known that PI3K signaling pathways are closely related to lymphocyte development and differentiation.[27] In congenital PI3K deficiency disorders such as activated PI3Kδ syndrome, its over-activation can block B cell development and defect class switching of antibodies, resulting in the production of low affinity antibodies and high expression of IgM.[28] In this study, the proportion of CD19 + B cells of the proband was slightly lower than the reference value, suggesting that the differentiation and amplification of mature B cells may be defective after the activation of PI3K-AKT-mTOR pathway triggered by SH2D1A gene mutation. Meanwhile, the IgM level of the patient was significantly higher than the normal reference value, indicating activation of PI3K-AKT-mTOR signaling pathway might be the potential pathogenic mechanisms of XLP-1. In general, phosphorylation of AKT can directly cause the activation of mTOR, but in this study, we first reported that mTOR was inactivated though PI3K and AKT were activated in the parents of proband with healthy phenotype. The specific reason behind this is unknown yet, there were published studies indicated that mTOR may be activated independently of PI3K in both T and B cells,[29] which might explain the inactivation of mTOR. In addition, studies of PI3K mutant mouse models have shown that at the absence of p85α or p110δ, GC formation was impaired, proliferation and differentiation of mature B cells was decreased, and humoral immunity showed a cliff decline.[18] As for B cell subsets, the proportion of follicular B cells was less than 50%, while proportions of marginal zone B and B1 cells were increased sharply.[30] Follicular B cells are mainly developed into plasma cells, which can produce a large number of antibodies with high affinity. Marginal zone B cells can quickly recognize T1 and TD antigens through their surface BCR and produce antibodies with low affinity. B1 cells contribute to autoantibody reactions and antibody polyreactions and can also produce a large number of antibodies with low affinity including natural antibody IgM and mucosal antibody IgA. Overall, excessive activation of PI3K signal can inhibit the proliferation and differentiation of B cells and lead to the decrease of humoral immunity, which may be the potential reason for the onset of disease in our study. The molecular pathogenic mechanisms of XLP-1 may involve other types of lymphocytes and their internal signaling pathways which needs to be explored by more studies. Also, the correlation and interaction patterns of SAP and PI3K pathways still need to be clarified by further studies.\nXLP-1 presents in patients at an average age of 2.5 years, but the proband in this study was only 7 months old at onset. Such a young age with severe liver injury and HLH was very rare in previously reported XLP-1 cases, thus greatly increasing the difficulty of diagnosis and treatment. The only effective treatment for XLP-1 at present is HSCT. However, HSCT treatment requires fulfillment of strict matching and screening criteria and comes with a high surgical risk, so it is not suitable for all XLP-1 patients. In addition to HSCT, gene therapy has developed rapidly in recent years in animal models and is expected to be applied in the treatment of human gene-deficient diseases including XLP-1 in the future.", "In this study, we provided a detailed description of the clinical features of an XLP-1 patient and detected that the proband was caused by a hemizygous mutation c.96G > T in SH2D1A gene resulting in a missense substitution of Arginine to Serine (p.R32S). The mutant protein contained a hydrogen bond turnover at the site of mutation and the mutation resulted in downregulation of SH2D1A encoded protein SAP. The PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients, implying that the PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis. This study would be helpful for subsequent research related to the diagnosis and pathogenesis of XLP-1.", "The authors sincerely thank the patient and his family members for their participation and support.\nYW, YW, WL, and LT contributed equally to this work.", "Conceptualization: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao.\nData curation: Yang Xiao, Yuantao Zhou, Xiaoli He.\nFormal analysis: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao.\nInvestigation: Yang Xiao, Yuantao Zhou, Xiaoli He.\nMethodology: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao.\nResources: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao.\nSupervision: Yu Zhang, Li Li.\nVisualization: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao.\nWriting – original draft: Yu Zhang, Li Li.\nWriting – review & editing: Yu Zhang, Li Li." ]
[ "intro", "methods", null, null, null, null, null, "results", null, null, null, null, "discussion", "conclusions", null, null ]
[ "AKT", "mTOR", "PI3K", "SAP", "\nSH2D1A\n", "X-linked lymphoproliferative syndrome" ]
1. Introduction: X-linked lymphoproliferative syndrome (XLP) is an extremely rare X-linked recessive inborn errors of immunity caused by genetic variations, with a 1/1000000 incidence rate,[12]. XLP is currently classified into 2 forms based on mutant genes: Type 1 XLP (XLP-1) and Type 2 XLP (XLP-2) caused by mutations in SH2D1A gene and XIAP gene, respectively[3,4]. Common clinical characteristics of XLP-1 and XLP-2 including Epstein-Barr virus (EBV) infection, hemophagocytic lymphohistiocytosis (HLH), lymphoproliferative disorder, and dysgammaglobulinemia, but sometimes they also manifested differently. According to published studies, EBV infection and associated HLH were more frequently observed in patients with XLP-1, and sometimes even accompanied by catastrophic neurologic disorders. Development of lymphoma is only reported in XLP-1 patients[5]. Moreover, Natural killer cells (NK) and T lymphocytes are more likely to proliferate and infiltrate organs, including liver, spleen, and lymph nodes, in EBV-infected XLP-1 patients[6]. Persistent hypogammaglobulinemia appeared more often in XLP-1 patients while transient hypogammaglobulinemia was more frequently observed in XLP-2[7]. Inflammatory bowel disease, such as Crohn’s disease, was exclusively discovered in XLP-2 patients, and roughly 25% to 30% of XLP-2 patients were impacted[8]. Additionally, fever, subcutaneous petechia, hematemesis, hematochezia, pistaxis, jaundice, hepatosplenomegaly, lymphadenopathy, lymphocytic vasculitis, aplastic anemia, and lymphomatoid granulomatosis may also be signs and symptoms of XLP[9–11]. Due to the rapid progression and complicated symptoms of XLP, it is commonly misdiagnosed clinically. XLP has a poor prognosis and high mortality, which have been reported to be 75%, of which 70% died before the age of 10[12]. At present, the only promising treatment is allogeneic hematopoietic stem cell transplantation (HSCT) before the onset of typical symptoms or EBV infection[13]. The SH2D1A gene is found on chromosome Xq25 and has 4 exons, and mutations in this gene can result in SAP protein deficiency. SAP is a 128-amino acids signaling lymphocyte activating molecule (SLAM)-associated protein that contains 1 Src homology 2 (SH2) domain and is primarily expressed in T cells, NK cells, and some EBV-positive Burkitt lymphoma-derived B cells.[14] SAP can competitively bind to SLAMs via the SH2 domain and regulate a variety of processes, including the development and function of invariant natural killer T cells (iNKT), the clearance of EBV-infected B cells with cytotoxic T lymphocytes (CTLs) and NK cells, the development of germinal centers, the production of immunoglobulin, T cell restimulation-induced cell death, and the maintenance of T cell homeostasis.[15] In XLP-1 patients, SAP deficiency can prevent CTLs and NK cells from killing EBV-infected B cells.[16] The XIAP gene is also located on chromosome Xq25 and includes 7 exons, its encoding protein XIAP is a novel member of the inhibitor of apoptosis proteins family, which inhibits caspases directly and regulates apoptosis through several routes. XIAP gene is overexpressed in many tumor cell lines, and its expression is closely related to tumor progression, recurrence, prognosis, and treatment resistance.[17] Phophatidylinositol-3-kinase (PI3K) is a crucial signaling center in immune cells that catalyzes the conversion of PIP2 to PIP3 and thus facilitates membrane recruitment of molecules containing PIP3-binding Pleckstrin homology domains such as the AKT, PDK1, Tec family kinases, adapter molecules, guanine nucleotide exchange factors, and GTPase-activating proteins. These subsequently activate a number of important downstream pathways including mTOR, FOXO1 and BACH2-related pathways.[18] Too little or too much activity in the PI3K downstream pathway is harmful even pathogenic. Previous research discovered that SAP protein was downregulated in CTLs while the SLAM protein 2B4 was upregulated in patients with congenital PI3K deficiency disorder such as activated PI3Kδ syndrome, implying that SAP may interact with PI3K-associated pathways and XLP-1 may be related to PI3K signaling failure.[19] Insight details of the interaction patterns between SAP and PI3K, as well as the role of PI3K-associated pathways in pathogenesis of XLP-1 still need to be investigated further. In this study, we will describe an infant with XLP-1, assess the proband’s clinical features and genetic variants, analyze the structural and functional changes in SAP protein caused by gene mutation, and investigate the probable role of PI3K-associated pathways in XLP-1 pathogenesis. 2. Methods: 2.1. Editorial policies and ethical considerations The study was approved by the Ethics Committee of Kunming Children’s Hospital. All experiments were performed in compliance with the Helsinki Declaration. Informed written consent was obtained from the parents of the proband for the collection of clinical information, blood samples, DNA and presentation of patient’s materials. The study was approved by the Ethics Committee of Kunming Children’s Hospital. All experiments were performed in compliance with the Helsinki Declaration. Informed written consent was obtained from the parents of the proband for the collection of clinical information, blood samples, DNA and presentation of patient’s materials. 2.2. Proband The proband, a 7-month-old male, was admitted to the hospital due to “fever with rash.” Fever was up to 40°C and not relieved after treatment. Physical examination of the proband on admission observed listless and poor mental response, scattered rashes on the trunk and limbs particularly on both forearms and lower legs, eyelid edema, pharyngeal congestion, white pustules attached to the pharyngeal tonsils, and several palpable enlarged lymph nodes in the neck up to about 1 × 1 cm in size with medium hardness and poor range of motion. The proband was initially treated with ganciclovir, sodium succinate and intravenous IgG to against viral infection, reduce inflammation and adjust immunity, respectively. With the progression of the disease, the proband had recurring fevers and icteric sclera indicating aggravated liver damage. The proband’s liver and spleen were progressively enlarged, and the rash became more widespread and fusing into patches in some area. Staphylococcus aureus were tested positive in sputum. Cefperazone-Sulbactam, meropenem and vancomycin were successively given against infection. Bone marrow examination showed hemophagocytosis. Etoposide was then given, during the treatment, the proband experienced progressive pancytopenia and was interfered with the infusion of granulocyte colony-stimulating factor, interleukin-11, and apheresis platelets. Unfortunately, the proband’s condition kept aggravating despite accepting treatment and finally died due to multiple organ dysfunctions. Parents of the proband were healthy, and no other remarkable diseases history was identified in the family. The proband, a 7-month-old male, was admitted to the hospital due to “fever with rash.” Fever was up to 40°C and not relieved after treatment. Physical examination of the proband on admission observed listless and poor mental response, scattered rashes on the trunk and limbs particularly on both forearms and lower legs, eyelid edema, pharyngeal congestion, white pustules attached to the pharyngeal tonsils, and several palpable enlarged lymph nodes in the neck up to about 1 × 1 cm in size with medium hardness and poor range of motion. The proband was initially treated with ganciclovir, sodium succinate and intravenous IgG to against viral infection, reduce inflammation and adjust immunity, respectively. With the progression of the disease, the proband had recurring fevers and icteric sclera indicating aggravated liver damage. The proband’s liver and spleen were progressively enlarged, and the rash became more widespread and fusing into patches in some area. Staphylococcus aureus were tested positive in sputum. Cefperazone-Sulbactam, meropenem and vancomycin were successively given against infection. Bone marrow examination showed hemophagocytosis. Etoposide was then given, during the treatment, the proband experienced progressive pancytopenia and was interfered with the infusion of granulocyte colony-stimulating factor, interleukin-11, and apheresis platelets. Unfortunately, the proband’s condition kept aggravating despite accepting treatment and finally died due to multiple organ dysfunctions. Parents of the proband were healthy, and no other remarkable diseases history was identified in the family. 2.3. Whole exome sequencing Peripheral blood samples were collected from the proband and parents. Genomic DNA was extracted from peripheral blood using the DNA Extraction kit (CWBIO, China). The isolated DNA was quantified by agarose gel electrophoresis and Nanodrop 2000 (Thermal Fisher Scientific). Libraries were prepared using Illumina standard protocol and a minimum of 3 μg DNA was employed for the indexed Illumina libraries. To capture targeted genes, the biotinylated capture probes were designed to tile all of the exons with non-repeated regions. The resulting captured DNA was amplified by PCR and the PCR product was purified with SPRI beads (Beckman Coulter). The enriched libraries were sequenced on an Illumina NextSeq 500 sequencer for paired-end reads of 150 bp. Quality control criteria were applied to the raw sequencing data before being mapped to the UCSC hg19 human reference genome using BWA (0.7.10). Picard tools (1.119) were used to eliminate duplicated reads. SNP and InDels were detected and filtered by GATK (Genome Analysis TK-3.3.0). Variants were further annotated by ANNOVAR. All mutations identified were confirmed by Sanger sequencing. Sites of variation were identified through a comparison of DNA sequences with the corresponding GenBank (www.ncbi.nlm.nih.gov) reference sequences. Exon 1 of SH2D1A (NM_002351) were amplified using 2 pair primers (Forward: 5’-GCTCGATCGAACCAAGCTAC-3’; Reverse: 5’-GGAGCGAAGGTAAACTGTGG-3’). The PCR samples were visualized on agarose gels, purified and sequenced using the terminator cycle sequencing method on an ABI PRISM 3730 genetic analyzer (Thermo Fisher Scientific). The sequencing results were analyzed using the DNASTAR (Madison) software. Peripheral blood samples were collected from the proband and parents. Genomic DNA was extracted from peripheral blood using the DNA Extraction kit (CWBIO, China). The isolated DNA was quantified by agarose gel electrophoresis and Nanodrop 2000 (Thermal Fisher Scientific). Libraries were prepared using Illumina standard protocol and a minimum of 3 μg DNA was employed for the indexed Illumina libraries. To capture targeted genes, the biotinylated capture probes were designed to tile all of the exons with non-repeated regions. The resulting captured DNA was amplified by PCR and the PCR product was purified with SPRI beads (Beckman Coulter). The enriched libraries were sequenced on an Illumina NextSeq 500 sequencer for paired-end reads of 150 bp. Quality control criteria were applied to the raw sequencing data before being mapped to the UCSC hg19 human reference genome using BWA (0.7.10). Picard tools (1.119) were used to eliminate duplicated reads. SNP and InDels were detected and filtered by GATK (Genome Analysis TK-3.3.0). Variants were further annotated by ANNOVAR. All mutations identified were confirmed by Sanger sequencing. Sites of variation were identified through a comparison of DNA sequences with the corresponding GenBank (www.ncbi.nlm.nih.gov) reference sequences. Exon 1 of SH2D1A (NM_002351) were amplified using 2 pair primers (Forward: 5’-GCTCGATCGAACCAAGCTAC-3’; Reverse: 5’-GGAGCGAAGGTAAACTGTGG-3’). The PCR samples were visualized on agarose gels, purified and sequenced using the terminator cycle sequencing method on an ABI PRISM 3730 genetic analyzer (Thermo Fisher Scientific). The sequencing results were analyzed using the DNASTAR (Madison) software. 2.4. Flow cytometry Peripheral blood samples were collected from the proband and parents, as well as a familial HLH patient and a healthy child as control. Peripheral blood mononuclear cells were isolated using lymphocyte separation solution. Protein expression in peripheral blood mononuclear cells was determined via flow cytometry. Briefly, cells were fixed and permeabilized sequentially with an IntraPrep Permeabilizaton Reagent kit (Beckman Coulter,A07803) following manufacturer’s instruction. Specific antibodies were then added for incubation overnight, followed by 30 mins incubation with a fluorescently labeled secondary antibody. The flow cytometry tests were carried out with a BD FACSCanto II flow cytometer, and the data was processed with CytExpert 2.0 (Beckman Coulter) software. Antibodies used were listed as follows: Anti-SH2D1A/SAP (Abcam, ab109120); Anti-PI3 Kinase p110δ (Abcam, ab109006); Anti-PI3 Kinase p85α (Abcam, ab191606); Anti-PTEN (Abcam, ab32199); Anti-AKT (CST, 9272s); Anti-phospho-AKT (CST, 9271s); Anti-mTOR (Abcam, ab2732). Peripheral blood samples were collected from the proband and parents, as well as a familial HLH patient and a healthy child as control. Peripheral blood mononuclear cells were isolated using lymphocyte separation solution. Protein expression in peripheral blood mononuclear cells was determined via flow cytometry. Briefly, cells were fixed and permeabilized sequentially with an IntraPrep Permeabilizaton Reagent kit (Beckman Coulter,A07803) following manufacturer’s instruction. Specific antibodies were then added for incubation overnight, followed by 30 mins incubation with a fluorescently labeled secondary antibody. The flow cytometry tests were carried out with a BD FACSCanto II flow cytometer, and the data was processed with CytExpert 2.0 (Beckman Coulter) software. Antibodies used were listed as follows: Anti-SH2D1A/SAP (Abcam, ab109120); Anti-PI3 Kinase p110δ (Abcam, ab109006); Anti-PI3 Kinase p85α (Abcam, ab191606); Anti-PTEN (Abcam, ab32199); Anti-AKT (CST, 9272s); Anti-phospho-AKT (CST, 9271s); Anti-mTOR (Abcam, ab2732). 2.5. Prediction of the pathogenicity and structure of mutant protein Pathogenicity of mutant protein was predicted by PolyPhen-2 online scoring tool (http://genetics.bwh.harvard.edu/pph2/index.shtml). The greater the pathogenicity, the closer the score is to 1.0. The structure of wild-type protein was created by SWISS-MODEL online tool (http://swissmodel.expasy.org/) and the structure of mutant protein was estimated by SWISS-PDB Viewer 4.1.0 software. Pathogenicity of mutant protein was predicted by PolyPhen-2 online scoring tool (http://genetics.bwh.harvard.edu/pph2/index.shtml). The greater the pathogenicity, the closer the score is to 1.0. The structure of wild-type protein was created by SWISS-MODEL online tool (http://swissmodel.expasy.org/) and the structure of mutant protein was estimated by SWISS-PDB Viewer 4.1.0 software. 2.1. Editorial policies and ethical considerations: The study was approved by the Ethics Committee of Kunming Children’s Hospital. All experiments were performed in compliance with the Helsinki Declaration. Informed written consent was obtained from the parents of the proband for the collection of clinical information, blood samples, DNA and presentation of patient’s materials. 2.2. Proband: The proband, a 7-month-old male, was admitted to the hospital due to “fever with rash.” Fever was up to 40°C and not relieved after treatment. Physical examination of the proband on admission observed listless and poor mental response, scattered rashes on the trunk and limbs particularly on both forearms and lower legs, eyelid edema, pharyngeal congestion, white pustules attached to the pharyngeal tonsils, and several palpable enlarged lymph nodes in the neck up to about 1 × 1 cm in size with medium hardness and poor range of motion. The proband was initially treated with ganciclovir, sodium succinate and intravenous IgG to against viral infection, reduce inflammation and adjust immunity, respectively. With the progression of the disease, the proband had recurring fevers and icteric sclera indicating aggravated liver damage. The proband’s liver and spleen were progressively enlarged, and the rash became more widespread and fusing into patches in some area. Staphylococcus aureus were tested positive in sputum. Cefperazone-Sulbactam, meropenem and vancomycin were successively given against infection. Bone marrow examination showed hemophagocytosis. Etoposide was then given, during the treatment, the proband experienced progressive pancytopenia and was interfered with the infusion of granulocyte colony-stimulating factor, interleukin-11, and apheresis platelets. Unfortunately, the proband’s condition kept aggravating despite accepting treatment and finally died due to multiple organ dysfunctions. Parents of the proband were healthy, and no other remarkable diseases history was identified in the family. 2.3. Whole exome sequencing: Peripheral blood samples were collected from the proband and parents. Genomic DNA was extracted from peripheral blood using the DNA Extraction kit (CWBIO, China). The isolated DNA was quantified by agarose gel electrophoresis and Nanodrop 2000 (Thermal Fisher Scientific). Libraries were prepared using Illumina standard protocol and a minimum of 3 μg DNA was employed for the indexed Illumina libraries. To capture targeted genes, the biotinylated capture probes were designed to tile all of the exons with non-repeated regions. The resulting captured DNA was amplified by PCR and the PCR product was purified with SPRI beads (Beckman Coulter). The enriched libraries were sequenced on an Illumina NextSeq 500 sequencer for paired-end reads of 150 bp. Quality control criteria were applied to the raw sequencing data before being mapped to the UCSC hg19 human reference genome using BWA (0.7.10). Picard tools (1.119) were used to eliminate duplicated reads. SNP and InDels were detected and filtered by GATK (Genome Analysis TK-3.3.0). Variants were further annotated by ANNOVAR. All mutations identified were confirmed by Sanger sequencing. Sites of variation were identified through a comparison of DNA sequences with the corresponding GenBank (www.ncbi.nlm.nih.gov) reference sequences. Exon 1 of SH2D1A (NM_002351) were amplified using 2 pair primers (Forward: 5’-GCTCGATCGAACCAAGCTAC-3’; Reverse: 5’-GGAGCGAAGGTAAACTGTGG-3’). The PCR samples were visualized on agarose gels, purified and sequenced using the terminator cycle sequencing method on an ABI PRISM 3730 genetic analyzer (Thermo Fisher Scientific). The sequencing results were analyzed using the DNASTAR (Madison) software. 2.4. Flow cytometry: Peripheral blood samples were collected from the proband and parents, as well as a familial HLH patient and a healthy child as control. Peripheral blood mononuclear cells were isolated using lymphocyte separation solution. Protein expression in peripheral blood mononuclear cells was determined via flow cytometry. Briefly, cells were fixed and permeabilized sequentially with an IntraPrep Permeabilizaton Reagent kit (Beckman Coulter,A07803) following manufacturer’s instruction. Specific antibodies were then added for incubation overnight, followed by 30 mins incubation with a fluorescently labeled secondary antibody. The flow cytometry tests were carried out with a BD FACSCanto II flow cytometer, and the data was processed with CytExpert 2.0 (Beckman Coulter) software. Antibodies used were listed as follows: Anti-SH2D1A/SAP (Abcam, ab109120); Anti-PI3 Kinase p110δ (Abcam, ab109006); Anti-PI3 Kinase p85α (Abcam, ab191606); Anti-PTEN (Abcam, ab32199); Anti-AKT (CST, 9272s); Anti-phospho-AKT (CST, 9271s); Anti-mTOR (Abcam, ab2732). 2.5. Prediction of the pathogenicity and structure of mutant protein: Pathogenicity of mutant protein was predicted by PolyPhen-2 online scoring tool (http://genetics.bwh.harvard.edu/pph2/index.shtml). The greater the pathogenicity, the closer the score is to 1.0. The structure of wild-type protein was created by SWISS-MODEL online tool (http://swissmodel.expasy.org/) and the structure of mutant protein was estimated by SWISS-PDB Viewer 4.1.0 software. 3. Results: 3.1 Laboratory and imagological examinations indicated that the proband’s condition continued to deteriorate despite receiving treatment To access detailed conditions of the proband, multiple laboratory and imagological examinations were conducted during hospitalization. Results showed that peripheral blood EBV nucleic acid load continued to rise and the antibodies to EBV capsid antigen (EBVCA) IgG and IgG antibodies to EBV nuclear antigen became positive as the disease progressed (Fig. 1A). The percentage of CD19 + B cells was slightly decreased (Fig. 1B), and humoral immunity test indicated increased levels of serum IgG, IgM, IgA, and decreased C3 (Fig. 1C). Hematological parameters of the proband pre- and during-hospitalization showed that the counts of leukocyte, lymphocyte, neutrophil, monocyte, platelet, erythrocyte and hemoglobin were declined with fluctuation and generally lower than reference values. The percentages of lymphocyte, neutrophil and monocyte were all fluctuated outside the reference value (Fig. 1D). Besides, indicators for liver, renal and cardiac function of proband were abnormal as disease progressed. The levels of alanine aminotransferase, aspartate aminotransferase, γ-glutamyltransferase (γ-GGT), alkaline phosphatase, total bilirubin, direct bilirubin, total bile acid, lactate dehydrogenase and α-hydroxybutyrate dehydrogenase (α-HBDH) were all extremely higher than reference values (Fig. 1E–G). Additionally, the levels of ferritin and triglycerides elevated dramatically indicated the development of HLH (Fig. 2A). Occurrence of HLH was also confirmed by hemophagocytes in bone marrow (Fig. 2B) and increased expression of serum IL-6 and IL-10, with IL-10 being 12 times higher than the reference values (Fig. 2C). Abdominal color ultrasound revealed hepatomegaly, gallbladder wall thickening, mild splenomegaly and abdominal effusion (Fig. 3A). Neck color ultrasound revealed slightly enlarged lymph nodes on both sides of neck and jaw (Fig. 3B). Chest X-ray revealed increased bilateral pleural effusion with deterioration of disease (Fig. 3C). Overall, with the progression of disease, the condition of the proband kept deteriorating, especially the infection was aggravated, immunity responses were deficient, and multiple organs were progressively disabled. The clinical features including EBV-infection, bone marrow hemophagocytosis, dysgammaglobulinemia, hepatosplenomegaly and lymphadenopathy observed suggested that the proband may suffer from XLP. Laboratory examinations of the proband with the progression of disease. (A) Results of peripheral blood EBV nucleic acid and antibodies test. (B) Results of lymphocyte subsets test. (C) Results of humoral immunity test. (D) Results of whole blood counts. There were ten times of testing results during hospitalization listed in chronological order from left to right. (E) Results of liver function test. There were 10 times of testing results during hospitalization listed in chronological order from left to right. (F) Results of renal function test. There were 8 times of testing results during hospitalization listed in chronological order from left to right. (G) Results of cardiac function test. There were 7 times of testing results during hospitalization listed in chronological order from left to right. EBV = Epstein-Barr virus. Occurrence of hemophagocytic lymphohistiocytosis was detected in the proband. (A) Results of ferritin and triglycerides tests. There were 4 times of testing results during hospitalization listed in chronological order from left to right. (B) Results of cytopathology detection of bone marrow. (C) Results of serum cytokine test. Imageological examinations of the proband with the progression of disease. (A) Results of abdominal color ultrasound. (B) Results of neck color ultrasound. (C) Results of chest X-ray. There were 5 times of examine results during hospitalization listed in chronological order from left to right. To access detailed conditions of the proband, multiple laboratory and imagological examinations were conducted during hospitalization. Results showed that peripheral blood EBV nucleic acid load continued to rise and the antibodies to EBV capsid antigen (EBVCA) IgG and IgG antibodies to EBV nuclear antigen became positive as the disease progressed (Fig. 1A). The percentage of CD19 + B cells was slightly decreased (Fig. 1B), and humoral immunity test indicated increased levels of serum IgG, IgM, IgA, and decreased C3 (Fig. 1C). Hematological parameters of the proband pre- and during-hospitalization showed that the counts of leukocyte, lymphocyte, neutrophil, monocyte, platelet, erythrocyte and hemoglobin were declined with fluctuation and generally lower than reference values. The percentages of lymphocyte, neutrophil and monocyte were all fluctuated outside the reference value (Fig. 1D). Besides, indicators for liver, renal and cardiac function of proband were abnormal as disease progressed. The levels of alanine aminotransferase, aspartate aminotransferase, γ-glutamyltransferase (γ-GGT), alkaline phosphatase, total bilirubin, direct bilirubin, total bile acid, lactate dehydrogenase and α-hydroxybutyrate dehydrogenase (α-HBDH) were all extremely higher than reference values (Fig. 1E–G). Additionally, the levels of ferritin and triglycerides elevated dramatically indicated the development of HLH (Fig. 2A). Occurrence of HLH was also confirmed by hemophagocytes in bone marrow (Fig. 2B) and increased expression of serum IL-6 and IL-10, with IL-10 being 12 times higher than the reference values (Fig. 2C). Abdominal color ultrasound revealed hepatomegaly, gallbladder wall thickening, mild splenomegaly and abdominal effusion (Fig. 3A). Neck color ultrasound revealed slightly enlarged lymph nodes on both sides of neck and jaw (Fig. 3B). Chest X-ray revealed increased bilateral pleural effusion with deterioration of disease (Fig. 3C). Overall, with the progression of disease, the condition of the proband kept deteriorating, especially the infection was aggravated, immunity responses were deficient, and multiple organs were progressively disabled. The clinical features including EBV-infection, bone marrow hemophagocytosis, dysgammaglobulinemia, hepatosplenomegaly and lymphadenopathy observed suggested that the proband may suffer from XLP. Laboratory examinations of the proband with the progression of disease. (A) Results of peripheral blood EBV nucleic acid and antibodies test. (B) Results of lymphocyte subsets test. (C) Results of humoral immunity test. (D) Results of whole blood counts. There were ten times of testing results during hospitalization listed in chronological order from left to right. (E) Results of liver function test. There were 10 times of testing results during hospitalization listed in chronological order from left to right. (F) Results of renal function test. There were 8 times of testing results during hospitalization listed in chronological order from left to right. (G) Results of cardiac function test. There were 7 times of testing results during hospitalization listed in chronological order from left to right. EBV = Epstein-Barr virus. Occurrence of hemophagocytic lymphohistiocytosis was detected in the proband. (A) Results of ferritin and triglycerides tests. There were 4 times of testing results during hospitalization listed in chronological order from left to right. (B) Results of cytopathology detection of bone marrow. (C) Results of serum cytokine test. Imageological examinations of the proband with the progression of disease. (A) Results of abdominal color ultrasound. (B) Results of neck color ultrasound. (C) Results of chest X-ray. There were 5 times of examine results during hospitalization listed in chronological order from left to right. 3.2. The proband was diagnosed with XLP-1 caused by a hemizygous mutation c.96G > T in SH2D1A gene In order to confirm whether the proband was suffered from genetic disorders, the peripheral blood DNA of the proband and parents were extracted, and whole exome sequencing was performed. The results revealed a hemizygous mutation in exon 1 of SH2D1A gene, which substituted Guanine to Thymine at the site of nucleotide 96 (c.96G > T) (Fig. 4A), resulting in a missense substitution of Arginine to Serine at the site of amino acid 32 (p.R32S). According to the ACMG guidelines, this mutation was identified as a pathogenic mutation. It was located in the mutation hotspot region with a low-frequency in the normal population database. The mutation with the same amino acid change as this proband had been reported previously but with different nucleotide change.[20] Sanger sequencing validation of this mutation was performed on the parents, and the results identified no variation at this site in the father and a heterozygous variation at this site in the mother (Fig. 4B and C). As XLP-1 inherited in a recessive pattern, the parents of the proband were all appeared healthy. Therefore, the diagnosis of XLP-1 was confirmed based on the proband’s typical clinical manifestations and genetic analysis results. Identification of a hemizygous mutation c.96G > T in SH2D1A gene of the proband. (A) Schematic diagram of SH2D1A gene. The mutation site was highlighted in red. (B) Results of Sanger sequencing. The arrows indicated the sites of mutation. (C) Genetic pedigree of the family. In order to confirm whether the proband was suffered from genetic disorders, the peripheral blood DNA of the proband and parents were extracted, and whole exome sequencing was performed. The results revealed a hemizygous mutation in exon 1 of SH2D1A gene, which substituted Guanine to Thymine at the site of nucleotide 96 (c.96G > T) (Fig. 4A), resulting in a missense substitution of Arginine to Serine at the site of amino acid 32 (p.R32S). According to the ACMG guidelines, this mutation was identified as a pathogenic mutation. It was located in the mutation hotspot region with a low-frequency in the normal population database. The mutation with the same amino acid change as this proband had been reported previously but with different nucleotide change.[20] Sanger sequencing validation of this mutation was performed on the parents, and the results identified no variation at this site in the father and a heterozygous variation at this site in the mother (Fig. 4B and C). As XLP-1 inherited in a recessive pattern, the parents of the proband were all appeared healthy. Therefore, the diagnosis of XLP-1 was confirmed based on the proband’s typical clinical manifestations and genetic analysis results. Identification of a hemizygous mutation c.96G > T in SH2D1A gene of the proband. (A) Schematic diagram of SH2D1A gene. The mutation site was highlighted in red. (B) Results of Sanger sequencing. The arrows indicated the sites of mutation. (C) Genetic pedigree of the family. 3.3. The mutant SAP protein was highly pathogenic with structural and functional change In order to explore whether the c.96G > T mutation in SH2D1A gene caused functional or structural deficiency in SAP protein, we first analyzed pathogenicity of mutant protein by PolyPhen-2 online scoring tool. As the greater the pathogenicity, the closer the score is to 1.0, the mutation was predicted to be highly pathogenic with a score of 1.0 (Fig. 5A). In addition, we analyzed the structural change of mutant SAP protein. As shown in Figure 5B, the secondary structure of SAP protein contained 2 α-helices and 8 β-strands and the mutation site was located at the end of the second β-strand. By comparing the structures of wild-type and mutant SAP proteins, we found that the substitution of amino acid Arginine to Serine causing a turnover of a hydrogen bond (Fig. 5B), suggesting the structure of SAP protein was changed. We also detected the expression of SAP in proband and the parents. As expected, flow cytometry detected that SAP protein was significantly downregulated in proband compared to which in parents. As shown in Figure 5C, SAP expression level in the proband, father and mother were 10.28%, 87.28%, and 80.31%, respectively, suggesting the function of SAP in proband was deficient. Overall, c.96G > T mutation of SH2D1A gene in the proband led to significant structural and functional deficiency of SAP protein, which was highly pathogenic. The mutant SAP protein was highly pathogenic with structural and functional. (A) The pathogenicity of mutant SAP protein was predicted by PolyPhen-2. The greater the pathogenicity, the closer the score is to 1.0. (B) The secondary structure of SAP protein and a structural comparison between wild-type and mutant SAP protein. The site and labels of mutation were highlighted in magenta. The green dotted lines illustrated hydrogen bonds. The magenta arrows indicated the turnover of a hydrogen bond. (C) Expression of SAP in the patient and parents detected by flow cytometry. Peaks in red were negative controls. Peaks in green illustrated expression of SAP. In order to explore whether the c.96G > T mutation in SH2D1A gene caused functional or structural deficiency in SAP protein, we first analyzed pathogenicity of mutant protein by PolyPhen-2 online scoring tool. As the greater the pathogenicity, the closer the score is to 1.0, the mutation was predicted to be highly pathogenic with a score of 1.0 (Fig. 5A). In addition, we analyzed the structural change of mutant SAP protein. As shown in Figure 5B, the secondary structure of SAP protein contained 2 α-helices and 8 β-strands and the mutation site was located at the end of the second β-strand. By comparing the structures of wild-type and mutant SAP proteins, we found that the substitution of amino acid Arginine to Serine causing a turnover of a hydrogen bond (Fig. 5B), suggesting the structure of SAP protein was changed. We also detected the expression of SAP in proband and the parents. As expected, flow cytometry detected that SAP protein was significantly downregulated in proband compared to which in parents. As shown in Figure 5C, SAP expression level in the proband, father and mother were 10.28%, 87.28%, and 80.31%, respectively, suggesting the function of SAP in proband was deficient. Overall, c.96G > T mutation of SH2D1A gene in the proband led to significant structural and functional deficiency of SAP protein, which was highly pathogenic. The mutant SAP protein was highly pathogenic with structural and functional. (A) The pathogenicity of mutant SAP protein was predicted by PolyPhen-2. The greater the pathogenicity, the closer the score is to 1.0. (B) The secondary structure of SAP protein and a structural comparison between wild-type and mutant SAP protein. The site and labels of mutation were highlighted in magenta. The green dotted lines illustrated hydrogen bonds. The magenta arrows indicated the turnover of a hydrogen bond. (C) Expression of SAP in the patient and parents detected by flow cytometry. Peaks in red were negative controls. Peaks in green illustrated expression of SAP. 3.4. Activation of PI3K-AKT-mTOR signaling pathway in the proband As previously stated, PI3K downstream signaling pathways may be altered in XLP-1 patients, thus we evaluated the expression of PI3K subunits p110δ and p85α, as well as downstream key proteins including AKT, p-AKT and mTOR in both the proband and the parents. To ensure that observed differences were due to XLP-1 rather than HLH, we also evaluated the expression of proteins in a familial HLH patient and a healthy child. As shown in Figure 6, PI3K-AKT-mTOR pathway was inactivated in the healthy control, as evidenced by high expression of the negative regulatory subunit p85α, which inhibit the activity of the functional subunit p110δ. Moreover, under normal circumstances, the downstream protein AKT was unphosphorylated and mTOR was not expressed. The proband had p85α downregulation and p110δ upregulation, AKT phosphorylation, and mTOR activation, indicating that the PI3K-AKT-mTOR pathway was considerably activated. The expression patterns of p85α, p110δ, AKT, and p-AKT were identical in the father and mother, but mTOR expression was muted. Although p85α and p110δ were excessively high in the familial HLH control, downstream AKT was unphosphorylated and mTOR was only expressed, in contrast to the fully activated PI3K-AKT-mTOR pathway in the XLP-1 proband. Overall, the findings showed that the PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients, implying that the PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis. Expression of key proteins in PI3K downstream pathways. Peaks in red were negative controls. Peaks in green illustrated expression of proteins. PI3K = phophatidylinositol-3-kinase. As previously stated, PI3K downstream signaling pathways may be altered in XLP-1 patients, thus we evaluated the expression of PI3K subunits p110δ and p85α, as well as downstream key proteins including AKT, p-AKT and mTOR in both the proband and the parents. To ensure that observed differences were due to XLP-1 rather than HLH, we also evaluated the expression of proteins in a familial HLH patient and a healthy child. As shown in Figure 6, PI3K-AKT-mTOR pathway was inactivated in the healthy control, as evidenced by high expression of the negative regulatory subunit p85α, which inhibit the activity of the functional subunit p110δ. Moreover, under normal circumstances, the downstream protein AKT was unphosphorylated and mTOR was not expressed. The proband had p85α downregulation and p110δ upregulation, AKT phosphorylation, and mTOR activation, indicating that the PI3K-AKT-mTOR pathway was considerably activated. The expression patterns of p85α, p110δ, AKT, and p-AKT were identical in the father and mother, but mTOR expression was muted. Although p85α and p110δ were excessively high in the familial HLH control, downstream AKT was unphosphorylated and mTOR was only expressed, in contrast to the fully activated PI3K-AKT-mTOR pathway in the XLP-1 proband. Overall, the findings showed that the PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients, implying that the PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis. Expression of key proteins in PI3K downstream pathways. Peaks in red were negative controls. Peaks in green illustrated expression of proteins. PI3K = phophatidylinositol-3-kinase. 3.1 Laboratory and imagological examinations indicated that the proband’s condition continued to deteriorate despite receiving treatment: To access detailed conditions of the proband, multiple laboratory and imagological examinations were conducted during hospitalization. Results showed that peripheral blood EBV nucleic acid load continued to rise and the antibodies to EBV capsid antigen (EBVCA) IgG and IgG antibodies to EBV nuclear antigen became positive as the disease progressed (Fig. 1A). The percentage of CD19 + B cells was slightly decreased (Fig. 1B), and humoral immunity test indicated increased levels of serum IgG, IgM, IgA, and decreased C3 (Fig. 1C). Hematological parameters of the proband pre- and during-hospitalization showed that the counts of leukocyte, lymphocyte, neutrophil, monocyte, platelet, erythrocyte and hemoglobin were declined with fluctuation and generally lower than reference values. The percentages of lymphocyte, neutrophil and monocyte were all fluctuated outside the reference value (Fig. 1D). Besides, indicators for liver, renal and cardiac function of proband were abnormal as disease progressed. The levels of alanine aminotransferase, aspartate aminotransferase, γ-glutamyltransferase (γ-GGT), alkaline phosphatase, total bilirubin, direct bilirubin, total bile acid, lactate dehydrogenase and α-hydroxybutyrate dehydrogenase (α-HBDH) were all extremely higher than reference values (Fig. 1E–G). Additionally, the levels of ferritin and triglycerides elevated dramatically indicated the development of HLH (Fig. 2A). Occurrence of HLH was also confirmed by hemophagocytes in bone marrow (Fig. 2B) and increased expression of serum IL-6 and IL-10, with IL-10 being 12 times higher than the reference values (Fig. 2C). Abdominal color ultrasound revealed hepatomegaly, gallbladder wall thickening, mild splenomegaly and abdominal effusion (Fig. 3A). Neck color ultrasound revealed slightly enlarged lymph nodes on both sides of neck and jaw (Fig. 3B). Chest X-ray revealed increased bilateral pleural effusion with deterioration of disease (Fig. 3C). Overall, with the progression of disease, the condition of the proband kept deteriorating, especially the infection was aggravated, immunity responses were deficient, and multiple organs were progressively disabled. The clinical features including EBV-infection, bone marrow hemophagocytosis, dysgammaglobulinemia, hepatosplenomegaly and lymphadenopathy observed suggested that the proband may suffer from XLP. Laboratory examinations of the proband with the progression of disease. (A) Results of peripheral blood EBV nucleic acid and antibodies test. (B) Results of lymphocyte subsets test. (C) Results of humoral immunity test. (D) Results of whole blood counts. There were ten times of testing results during hospitalization listed in chronological order from left to right. (E) Results of liver function test. There were 10 times of testing results during hospitalization listed in chronological order from left to right. (F) Results of renal function test. There were 8 times of testing results during hospitalization listed in chronological order from left to right. (G) Results of cardiac function test. There were 7 times of testing results during hospitalization listed in chronological order from left to right. EBV = Epstein-Barr virus. Occurrence of hemophagocytic lymphohistiocytosis was detected in the proband. (A) Results of ferritin and triglycerides tests. There were 4 times of testing results during hospitalization listed in chronological order from left to right. (B) Results of cytopathology detection of bone marrow. (C) Results of serum cytokine test. Imageological examinations of the proband with the progression of disease. (A) Results of abdominal color ultrasound. (B) Results of neck color ultrasound. (C) Results of chest X-ray. There were 5 times of examine results during hospitalization listed in chronological order from left to right. 3.2. The proband was diagnosed with XLP-1 caused by a hemizygous mutation c.96G > T in SH2D1A gene: In order to confirm whether the proband was suffered from genetic disorders, the peripheral blood DNA of the proband and parents were extracted, and whole exome sequencing was performed. The results revealed a hemizygous mutation in exon 1 of SH2D1A gene, which substituted Guanine to Thymine at the site of nucleotide 96 (c.96G > T) (Fig. 4A), resulting in a missense substitution of Arginine to Serine at the site of amino acid 32 (p.R32S). According to the ACMG guidelines, this mutation was identified as a pathogenic mutation. It was located in the mutation hotspot region with a low-frequency in the normal population database. The mutation with the same amino acid change as this proband had been reported previously but with different nucleotide change.[20] Sanger sequencing validation of this mutation was performed on the parents, and the results identified no variation at this site in the father and a heterozygous variation at this site in the mother (Fig. 4B and C). As XLP-1 inherited in a recessive pattern, the parents of the proband were all appeared healthy. Therefore, the diagnosis of XLP-1 was confirmed based on the proband’s typical clinical manifestations and genetic analysis results. Identification of a hemizygous mutation c.96G > T in SH2D1A gene of the proband. (A) Schematic diagram of SH2D1A gene. The mutation site was highlighted in red. (B) Results of Sanger sequencing. The arrows indicated the sites of mutation. (C) Genetic pedigree of the family. 3.3. The mutant SAP protein was highly pathogenic with structural and functional change: In order to explore whether the c.96G > T mutation in SH2D1A gene caused functional or structural deficiency in SAP protein, we first analyzed pathogenicity of mutant protein by PolyPhen-2 online scoring tool. As the greater the pathogenicity, the closer the score is to 1.0, the mutation was predicted to be highly pathogenic with a score of 1.0 (Fig. 5A). In addition, we analyzed the structural change of mutant SAP protein. As shown in Figure 5B, the secondary structure of SAP protein contained 2 α-helices and 8 β-strands and the mutation site was located at the end of the second β-strand. By comparing the structures of wild-type and mutant SAP proteins, we found that the substitution of amino acid Arginine to Serine causing a turnover of a hydrogen bond (Fig. 5B), suggesting the structure of SAP protein was changed. We also detected the expression of SAP in proband and the parents. As expected, flow cytometry detected that SAP protein was significantly downregulated in proband compared to which in parents. As shown in Figure 5C, SAP expression level in the proband, father and mother were 10.28%, 87.28%, and 80.31%, respectively, suggesting the function of SAP in proband was deficient. Overall, c.96G > T mutation of SH2D1A gene in the proband led to significant structural and functional deficiency of SAP protein, which was highly pathogenic. The mutant SAP protein was highly pathogenic with structural and functional. (A) The pathogenicity of mutant SAP protein was predicted by PolyPhen-2. The greater the pathogenicity, the closer the score is to 1.0. (B) The secondary structure of SAP protein and a structural comparison between wild-type and mutant SAP protein. The site and labels of mutation were highlighted in magenta. The green dotted lines illustrated hydrogen bonds. The magenta arrows indicated the turnover of a hydrogen bond. (C) Expression of SAP in the patient and parents detected by flow cytometry. Peaks in red were negative controls. Peaks in green illustrated expression of SAP. 3.4. Activation of PI3K-AKT-mTOR signaling pathway in the proband: As previously stated, PI3K downstream signaling pathways may be altered in XLP-1 patients, thus we evaluated the expression of PI3K subunits p110δ and p85α, as well as downstream key proteins including AKT, p-AKT and mTOR in both the proband and the parents. To ensure that observed differences were due to XLP-1 rather than HLH, we also evaluated the expression of proteins in a familial HLH patient and a healthy child. As shown in Figure 6, PI3K-AKT-mTOR pathway was inactivated in the healthy control, as evidenced by high expression of the negative regulatory subunit p85α, which inhibit the activity of the functional subunit p110δ. Moreover, under normal circumstances, the downstream protein AKT was unphosphorylated and mTOR was not expressed. The proband had p85α downregulation and p110δ upregulation, AKT phosphorylation, and mTOR activation, indicating that the PI3K-AKT-mTOR pathway was considerably activated. The expression patterns of p85α, p110δ, AKT, and p-AKT were identical in the father and mother, but mTOR expression was muted. Although p85α and p110δ were excessively high in the familial HLH control, downstream AKT was unphosphorylated and mTOR was only expressed, in contrast to the fully activated PI3K-AKT-mTOR pathway in the XLP-1 proband. Overall, the findings showed that the PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients, implying that the PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis. Expression of key proteins in PI3K downstream pathways. Peaks in red were negative controls. Peaks in green illustrated expression of proteins. PI3K = phophatidylinositol-3-kinase. 4. Discussion: Due to complex clinical characteristics, XLP-1 is easily confused with other diseases such as jaundice, hyperbilirubinemia, hypogammaglobulinemia, and lymphoma at the time of diagnosis. Through whole exome sequencing, we identified a hemizygous mutation c.96G > T (p.R32S) in exon 1 of SH2D1A gene in the proband of our study, which was inherited from the mother who was a healthy heterozygous carrier of this mutation. Although the sequencing technology greatly assists in the clinical diagnosis and classification of XLP, there is an urgent need for a way to rapidly diagnose XLP due to the acute onset and rapid progression of XLP, especially in cases accompanied by life-threatened HLH. Flow cytometry can be used to quickly detect the expression of SAP or XIAP protein and can also be used to identify the phenotypic and functional deficiency characteristics of lymphocytes in XLP patients, supporting the rapid screening need of XLP. Rapid detection by flow cytometry allows for more treatment time for critical XLP patients and more preparation time for patients suitable for HSCT, which will help improve XLP survival. In this study, we confirmed the SAP protein deficiency in the proband and analyzed the characteristics of peripheral blood lymphocyte subsets via flow cytometry. Based on the clinical manifestations, sequencing and protein expression findings of the proband, we confirmed the diagnosis of XLP-1. Apart from this, flow cytometry can also be used to detect the level of NKT cells which can assist in XLP-1 diagnosis. Previous studies have found that iNKT cells have a constant TCRα receptor and they cannot develop without SAP protein, thus iNKT cells will not be detected in XLP-1 patients when SAP protein is deficient.[21,22] Additionally, iNKT can be labeled with CD3, TCRVα24 and TCRVβ11 antibodies that offer convenience in the detection.[23] Overall, combination of sequencing technology and flow cytometry provides a more efficient and accurate way in the diagnosis and classification of XLP. SAP protein is an adaptor molecule, which competitively binds to the intracellular region of the SLAM receptor proteins such as 2B4 (SLAMF4) and Ly108 (NTB-A or SLAMF6).[24] The SLAM proteins are particularly important in the generation of cytotoxic effects. In the lack of SAP, the SLAM proteins play inhibitory roles by binding to their ligands and recruiting phosphatases including SHP-1, SHP-2 and SHIP1.[25] Those inhibitory activities are easily triggered in B cells since high levels of SLAM proteins and their ligands are expressed in B cells.[19] Previous research found that the typical cytological characteristics of XLP-1 are functional deficiencies in CTLs and NK cells, which preventing them from killing EBV-infected B cells but retaining the ability to kill many other targets.[16] Moreover, T cell restimulation-induced cell death was disabled possibly due to the inhibitory effect produced by SLAM proteins and their ligands in XLP-1 patients, hence catastrophic lymphoproliferation and HLH were very likely to be induced in the presence of EBV infection.[26] The pathogenic mechanisms of XLP-1 have not been fully understood so far. Interestingly, we found that the PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients. It is known that PI3K signaling pathways are closely related to lymphocyte development and differentiation.[27] In congenital PI3K deficiency disorders such as activated PI3Kδ syndrome, its over-activation can block B cell development and defect class switching of antibodies, resulting in the production of low affinity antibodies and high expression of IgM.[28] In this study, the proportion of CD19 + B cells of the proband was slightly lower than the reference value, suggesting that the differentiation and amplification of mature B cells may be defective after the activation of PI3K-AKT-mTOR pathway triggered by SH2D1A gene mutation. Meanwhile, the IgM level of the patient was significantly higher than the normal reference value, indicating activation of PI3K-AKT-mTOR signaling pathway might be the potential pathogenic mechanisms of XLP-1. In general, phosphorylation of AKT can directly cause the activation of mTOR, but in this study, we first reported that mTOR was inactivated though PI3K and AKT were activated in the parents of proband with healthy phenotype. The specific reason behind this is unknown yet, there were published studies indicated that mTOR may be activated independently of PI3K in both T and B cells,[29] which might explain the inactivation of mTOR. In addition, studies of PI3K mutant mouse models have shown that at the absence of p85α or p110δ, GC formation was impaired, proliferation and differentiation of mature B cells was decreased, and humoral immunity showed a cliff decline.[18] As for B cell subsets, the proportion of follicular B cells was less than 50%, while proportions of marginal zone B and B1 cells were increased sharply.[30] Follicular B cells are mainly developed into plasma cells, which can produce a large number of antibodies with high affinity. Marginal zone B cells can quickly recognize T1 and TD antigens through their surface BCR and produce antibodies with low affinity. B1 cells contribute to autoantibody reactions and antibody polyreactions and can also produce a large number of antibodies with low affinity including natural antibody IgM and mucosal antibody IgA. Overall, excessive activation of PI3K signal can inhibit the proliferation and differentiation of B cells and lead to the decrease of humoral immunity, which may be the potential reason for the onset of disease in our study. The molecular pathogenic mechanisms of XLP-1 may involve other types of lymphocytes and their internal signaling pathways which needs to be explored by more studies. Also, the correlation and interaction patterns of SAP and PI3K pathways still need to be clarified by further studies. XLP-1 presents in patients at an average age of 2.5 years, but the proband in this study was only 7 months old at onset. Such a young age with severe liver injury and HLH was very rare in previously reported XLP-1 cases, thus greatly increasing the difficulty of diagnosis and treatment. The only effective treatment for XLP-1 at present is HSCT. However, HSCT treatment requires fulfillment of strict matching and screening criteria and comes with a high surgical risk, so it is not suitable for all XLP-1 patients. In addition to HSCT, gene therapy has developed rapidly in recent years in animal models and is expected to be applied in the treatment of human gene-deficient diseases including XLP-1 in the future. 5. Conclusions: In this study, we provided a detailed description of the clinical features of an XLP-1 patient and detected that the proband was caused by a hemizygous mutation c.96G > T in SH2D1A gene resulting in a missense substitution of Arginine to Serine (p.R32S). The mutant protein contained a hydrogen bond turnover at the site of mutation and the mutation resulted in downregulation of SH2D1A encoded protein SAP. The PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients, implying that the PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis. This study would be helpful for subsequent research related to the diagnosis and pathogenesis of XLP-1. Acknowledgments: The authors sincerely thank the patient and his family members for their participation and support. YW, YW, WL, and LT contributed equally to this work. Author contributions: Conceptualization: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao. Data curation: Yang Xiao, Yuantao Zhou, Xiaoli He. Formal analysis: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao. Investigation: Yang Xiao, Yuantao Zhou, Xiaoli He. Methodology: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao. Resources: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao. Supervision: Yu Zhang, Li Li. Visualization: Yanchun Wang, Yan Wang, Weimin Lu, Lvyan Tao. Writing – original draft: Yu Zhang, Li Li. Writing – review & editing: Yu Zhang, Li Li.
Background: X-linked lymphoproliferative syndrome (XLP) is a rare X-linked recessive inborn errors of immunity. The pathogenesis of XLP might be related to phophatidylinositol-3-kinase (PI3K)-associated pathways but insight details remain unclear. This study was to study an infant XLP-1 case caused by a mutation in SH2D1A gene, investigate the structural and functional alteration of mutant SAP protein, and explore the potential role of PI3K-associated pathways in the progression of XLP-1. Methods: The proband's condition was monitored by laboratory and imagological examinations. Whole exome sequencing and Sanger sequencing were performed to detect the genetic disorder. Bioinformatics tools including PolyPhen-2, SWISS-MODEL and SWISS-PDB Viewer were used to predict the pathogenicity and estimate structural change of mutant protein. Flow cytometry was used to investigate expression of SAP and PI3K-associated proteins. Results: The proband was diagnosed with XLP-1 caused by a hemizygous mutation c.96G > T in SH2D1A gene resulting in a missense substitution of Arginine to Serine at the site of amino acid 32 (p.R32S). The mutant protein contained a hydrogen bond turnover at the site of mutation and was predicted to be highly pathogenic. Expression of SH2D1A encoded protein SAP was downregulated in proband. The PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients. Conclusions: The mutation c.96G > T in SH2D1A gene caused structural and functional changes in the SAP protein, resulting in XLP-1. The PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis.
1. Introduction: X-linked lymphoproliferative syndrome (XLP) is an extremely rare X-linked recessive inborn errors of immunity caused by genetic variations, with a 1/1000000 incidence rate,[12]. XLP is currently classified into 2 forms based on mutant genes: Type 1 XLP (XLP-1) and Type 2 XLP (XLP-2) caused by mutations in SH2D1A gene and XIAP gene, respectively[3,4]. Common clinical characteristics of XLP-1 and XLP-2 including Epstein-Barr virus (EBV) infection, hemophagocytic lymphohistiocytosis (HLH), lymphoproliferative disorder, and dysgammaglobulinemia, but sometimes they also manifested differently. According to published studies, EBV infection and associated HLH were more frequently observed in patients with XLP-1, and sometimes even accompanied by catastrophic neurologic disorders. Development of lymphoma is only reported in XLP-1 patients[5]. Moreover, Natural killer cells (NK) and T lymphocytes are more likely to proliferate and infiltrate organs, including liver, spleen, and lymph nodes, in EBV-infected XLP-1 patients[6]. Persistent hypogammaglobulinemia appeared more often in XLP-1 patients while transient hypogammaglobulinemia was more frequently observed in XLP-2[7]. Inflammatory bowel disease, such as Crohn’s disease, was exclusively discovered in XLP-2 patients, and roughly 25% to 30% of XLP-2 patients were impacted[8]. Additionally, fever, subcutaneous petechia, hematemesis, hematochezia, pistaxis, jaundice, hepatosplenomegaly, lymphadenopathy, lymphocytic vasculitis, aplastic anemia, and lymphomatoid granulomatosis may also be signs and symptoms of XLP[9–11]. Due to the rapid progression and complicated symptoms of XLP, it is commonly misdiagnosed clinically. XLP has a poor prognosis and high mortality, which have been reported to be 75%, of which 70% died before the age of 10[12]. At present, the only promising treatment is allogeneic hematopoietic stem cell transplantation (HSCT) before the onset of typical symptoms or EBV infection[13]. The SH2D1A gene is found on chromosome Xq25 and has 4 exons, and mutations in this gene can result in SAP protein deficiency. SAP is a 128-amino acids signaling lymphocyte activating molecule (SLAM)-associated protein that contains 1 Src homology 2 (SH2) domain and is primarily expressed in T cells, NK cells, and some EBV-positive Burkitt lymphoma-derived B cells.[14] SAP can competitively bind to SLAMs via the SH2 domain and regulate a variety of processes, including the development and function of invariant natural killer T cells (iNKT), the clearance of EBV-infected B cells with cytotoxic T lymphocytes (CTLs) and NK cells, the development of germinal centers, the production of immunoglobulin, T cell restimulation-induced cell death, and the maintenance of T cell homeostasis.[15] In XLP-1 patients, SAP deficiency can prevent CTLs and NK cells from killing EBV-infected B cells.[16] The XIAP gene is also located on chromosome Xq25 and includes 7 exons, its encoding protein XIAP is a novel member of the inhibitor of apoptosis proteins family, which inhibits caspases directly and regulates apoptosis through several routes. XIAP gene is overexpressed in many tumor cell lines, and its expression is closely related to tumor progression, recurrence, prognosis, and treatment resistance.[17] Phophatidylinositol-3-kinase (PI3K) is a crucial signaling center in immune cells that catalyzes the conversion of PIP2 to PIP3 and thus facilitates membrane recruitment of molecules containing PIP3-binding Pleckstrin homology domains such as the AKT, PDK1, Tec family kinases, adapter molecules, guanine nucleotide exchange factors, and GTPase-activating proteins. These subsequently activate a number of important downstream pathways including mTOR, FOXO1 and BACH2-related pathways.[18] Too little or too much activity in the PI3K downstream pathway is harmful even pathogenic. Previous research discovered that SAP protein was downregulated in CTLs while the SLAM protein 2B4 was upregulated in patients with congenital PI3K deficiency disorder such as activated PI3Kδ syndrome, implying that SAP may interact with PI3K-associated pathways and XLP-1 may be related to PI3K signaling failure.[19] Insight details of the interaction patterns between SAP and PI3K, as well as the role of PI3K-associated pathways in pathogenesis of XLP-1 still need to be investigated further. In this study, we will describe an infant with XLP-1, assess the proband’s clinical features and genetic variants, analyze the structural and functional changes in SAP protein caused by gene mutation, and investigate the probable role of PI3K-associated pathways in XLP-1 pathogenesis. 5. Conclusions: In this study, we provided a detailed description of the clinical features of an XLP-1 patient and detected that the proband was caused by a hemizygous mutation c.96G > T in SH2D1A gene resulting in a missense substitution of Arginine to Serine (p.R32S). The mutant protein contained a hydrogen bond turnover at the site of mutation and the mutation resulted in downregulation of SH2D1A encoded protein SAP. The PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients, implying that the PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis. This study would be helpful for subsequent research related to the diagnosis and pathogenesis of XLP-1.
Background: X-linked lymphoproliferative syndrome (XLP) is a rare X-linked recessive inborn errors of immunity. The pathogenesis of XLP might be related to phophatidylinositol-3-kinase (PI3K)-associated pathways but insight details remain unclear. This study was to study an infant XLP-1 case caused by a mutation in SH2D1A gene, investigate the structural and functional alteration of mutant SAP protein, and explore the potential role of PI3K-associated pathways in the progression of XLP-1. Methods: The proband's condition was monitored by laboratory and imagological examinations. Whole exome sequencing and Sanger sequencing were performed to detect the genetic disorder. Bioinformatics tools including PolyPhen-2, SWISS-MODEL and SWISS-PDB Viewer were used to predict the pathogenicity and estimate structural change of mutant protein. Flow cytometry was used to investigate expression of SAP and PI3K-associated proteins. Results: The proband was diagnosed with XLP-1 caused by a hemizygous mutation c.96G > T in SH2D1A gene resulting in a missense substitution of Arginine to Serine at the site of amino acid 32 (p.R32S). The mutant protein contained a hydrogen bond turnover at the site of mutation and was predicted to be highly pathogenic. Expression of SH2D1A encoded protein SAP was downregulated in proband. The PI3K-AKT-mTOR signaling pathway was fully activated in XLP-1 patients, but it was inactive or only partially activated in healthy people or HLH patients. Conclusions: The mutation c.96G > T in SH2D1A gene caused structural and functional changes in the SAP protein, resulting in XLP-1. The PI3K-AKT-mTOR signaling pathway may play a role in XLP-1 pathogenesis.
10,326
307
[ 54, 277, 294, 200, 62, 696, 284, 390, 324, 31, 134 ]
16
[ "proband", "results", "xlp", "sap", "protein", "akt", "mutation", "pi3k", "fig", "mtor" ]
[ "lymphocytes xlp", "linked lymphoproliferative syndrome", "role xlp pathogenesis", "diagnosis pathogenesis xlp", "lymphoma reported xlp" ]
[CONTENT] AKT | mTOR | PI3K | SAP | SH2D1A | X-linked lymphoproliferative syndrome [SUMMARY]
[CONTENT] AKT | mTOR | PI3K | SAP | SH2D1A | X-linked lymphoproliferative syndrome [SUMMARY]
[CONTENT] AKT | mTOR | PI3K | SAP | SH2D1A | X-linked lymphoproliferative syndrome [SUMMARY]
[CONTENT] AKT | mTOR | PI3K | SAP | SH2D1A | X-linked lymphoproliferative syndrome [SUMMARY]
[CONTENT] AKT | mTOR | PI3K | SAP | SH2D1A | X-linked lymphoproliferative syndrome [SUMMARY]
[CONTENT] AKT | mTOR | PI3K | SAP | SH2D1A | X-linked lymphoproliferative syndrome [SUMMARY]
[CONTENT] Amino Acids | Arginine | Humans | Infant | Intracellular Signaling Peptides and Proteins | Lymphoproliferative Disorders | Mutant Proteins | Mutation | Phosphatidylinositol 3-Kinases | Proto-Oncogene Proteins c-akt | Serine | Signaling Lymphocytic Activation Molecule Associated Protein | TOR Serine-Threonine Kinases [SUMMARY]
[CONTENT] Amino Acids | Arginine | Humans | Infant | Intracellular Signaling Peptides and Proteins | Lymphoproliferative Disorders | Mutant Proteins | Mutation | Phosphatidylinositol 3-Kinases | Proto-Oncogene Proteins c-akt | Serine | Signaling Lymphocytic Activation Molecule Associated Protein | TOR Serine-Threonine Kinases [SUMMARY]
[CONTENT] Amino Acids | Arginine | Humans | Infant | Intracellular Signaling Peptides and Proteins | Lymphoproliferative Disorders | Mutant Proteins | Mutation | Phosphatidylinositol 3-Kinases | Proto-Oncogene Proteins c-akt | Serine | Signaling Lymphocytic Activation Molecule Associated Protein | TOR Serine-Threonine Kinases [SUMMARY]
[CONTENT] Amino Acids | Arginine | Humans | Infant | Intracellular Signaling Peptides and Proteins | Lymphoproliferative Disorders | Mutant Proteins | Mutation | Phosphatidylinositol 3-Kinases | Proto-Oncogene Proteins c-akt | Serine | Signaling Lymphocytic Activation Molecule Associated Protein | TOR Serine-Threonine Kinases [SUMMARY]
[CONTENT] Amino Acids | Arginine | Humans | Infant | Intracellular Signaling Peptides and Proteins | Lymphoproliferative Disorders | Mutant Proteins | Mutation | Phosphatidylinositol 3-Kinases | Proto-Oncogene Proteins c-akt | Serine | Signaling Lymphocytic Activation Molecule Associated Protein | TOR Serine-Threonine Kinases [SUMMARY]
[CONTENT] Amino Acids | Arginine | Humans | Infant | Intracellular Signaling Peptides and Proteins | Lymphoproliferative Disorders | Mutant Proteins | Mutation | Phosphatidylinositol 3-Kinases | Proto-Oncogene Proteins c-akt | Serine | Signaling Lymphocytic Activation Molecule Associated Protein | TOR Serine-Threonine Kinases [SUMMARY]
[CONTENT] lymphocytes xlp | linked lymphoproliferative syndrome | role xlp pathogenesis | diagnosis pathogenesis xlp | lymphoma reported xlp [SUMMARY]
[CONTENT] lymphocytes xlp | linked lymphoproliferative syndrome | role xlp pathogenesis | diagnosis pathogenesis xlp | lymphoma reported xlp [SUMMARY]
[CONTENT] lymphocytes xlp | linked lymphoproliferative syndrome | role xlp pathogenesis | diagnosis pathogenesis xlp | lymphoma reported xlp [SUMMARY]
[CONTENT] lymphocytes xlp | linked lymphoproliferative syndrome | role xlp pathogenesis | diagnosis pathogenesis xlp | lymphoma reported xlp [SUMMARY]
[CONTENT] lymphocytes xlp | linked lymphoproliferative syndrome | role xlp pathogenesis | diagnosis pathogenesis xlp | lymphoma reported xlp [SUMMARY]
[CONTENT] lymphocytes xlp | linked lymphoproliferative syndrome | role xlp pathogenesis | diagnosis pathogenesis xlp | lymphoma reported xlp [SUMMARY]
[CONTENT] proband | results | xlp | sap | protein | akt | mutation | pi3k | fig | mtor [SUMMARY]
[CONTENT] proband | results | xlp | sap | protein | akt | mutation | pi3k | fig | mtor [SUMMARY]
[CONTENT] proband | results | xlp | sap | protein | akt | mutation | pi3k | fig | mtor [SUMMARY]
[CONTENT] proband | results | xlp | sap | protein | akt | mutation | pi3k | fig | mtor [SUMMARY]
[CONTENT] proband | results | xlp | sap | protein | akt | mutation | pi3k | fig | mtor [SUMMARY]
[CONTENT] proband | results | xlp | sap | protein | akt | mutation | pi3k | fig | mtor [SUMMARY]
[CONTENT] xlp | cells | pi3k | patients | associated | ebv | sap | cell | gene | xlp patients [SUMMARY]
[CONTENT] anti | dna | proband | abcam | blood | sequencing | samples | peripheral blood | peripheral | pcr [SUMMARY]
[CONTENT] results | fig | sap | proband | mutation | sap protein | akt | hospitalization | test | expression [SUMMARY]
[CONTENT] xlp | mutation | akt mtor signaling | akt mtor signaling pathway | pi3k akt mtor signaling | mtor signaling pathway | pi3k akt mtor | pi3k akt | pathogenesis | signaling pathway [SUMMARY]
[CONTENT] xlp | proband | sap | protein | results | mutation | pi3k | akt | mtor | cells [SUMMARY]
[CONTENT] xlp | proband | sap | protein | results | mutation | pi3k | akt | mtor | cells [SUMMARY]
[CONTENT] XLP ||| XLP ||| XLP-1 | SAP | XLP-1 [SUMMARY]
[CONTENT] ||| Sanger ||| SWISS-PDB Viewer ||| SAP [SUMMARY]
[CONTENT] XLP-1 | c.96G ||| Arginine | Serine | 32 | R32S ||| ||| SAP ||| XLP-1 [SUMMARY]
[CONTENT] c.96G ||| SAP | XLP-1 ||| XLP-1 [SUMMARY]
[CONTENT] XLP ||| XLP ||| XLP-1 | SAP | XLP-1 ||| ||| Sanger ||| SWISS-PDB Viewer ||| SAP ||| ||| XLP-1 | c.96G ||| Arginine | Serine | 32 | R32S ||| ||| SAP ||| XLP-1 ||| c.96G ||| SAP | XLP-1 ||| XLP-1 [SUMMARY]
[CONTENT] XLP ||| XLP ||| XLP-1 | SAP | XLP-1 ||| ||| Sanger ||| SWISS-PDB Viewer ||| SAP ||| ||| XLP-1 | c.96G ||| Arginine | Serine | 32 | R32S ||| ||| SAP ||| XLP-1 ||| c.96G ||| SAP | XLP-1 ||| XLP-1 [SUMMARY]
Evaluation of coronary calcium score in patients with normocalcemic primary hyperparathyroidism.
28790836
Given that the diagnosis of primary hyperparathyroidism (PHPT) is given at an increasingly less-symptomatic phase, and the literature data on the cardiovascular risk of patients with normocalcemic primary hyperparathyroidism (NPHPT) are controversial, the coronary calcium score (CCS), which is correlated with coronary artery disease, may be useful for clarifying the association between cardiovascular risk and NPHPT.
RATIONALE
A questionnaire on anthropometric data (weight, height, waist circumference, and blood pressure) was used, laboratory examinations (estimations of glucose, glycated hemoglobin [HbA1c], total cholesterol [TC] and its fractions, triglycerides, creatinine, calcium, parathyroid hormone, and 25-OH vitamin D) were conducted, and computerized tomography was carried out to measure the CCS in 13 patients diagnosed with NPHPT and 16 controls.
STUDY POPULATION AND METHODS
There was no association between NPHPT and altered CCS (odds ratio [OR]: 0.27; 95% confidence interval [CI]: 0.05-1.26; p=0.095). Differences between the case and control groups were found in terms of body mass index (BMI) (26.97 kg/m2 vs 31.53 kg/m2, respectively; p=0.044), HbA1c (5.59% vs 6.62%; p=0.000), and TC (188.07 mg/dL vs 220.64 mg/dL; p=0.088). After adjustment for potential confounders, no statistical significance was observed for the association between changes in CCS and presence of NPHPT (adjusted OR: 1.64; 95% CI: 0.1-26.43; p=0.726).
RESULTS
No association was found between the CCS and the presence of NPHPT.
CONCLUSION
[ "Aged", "Biomarkers", "Case-Control Studies", "Chi-Square Distribution", "Computed Tomography Angiography", "Coronary Angiography", "Coronary Artery Disease", "Female", "Humans", "Hyperparathyroidism, Primary", "Logistic Models", "Middle Aged", "Multidetector Computed Tomography", "Multivariate Analysis", "Odds Ratio", "Predictive Value of Tests", "Risk Factors", "Surveys and Questionnaires", "Vascular Calcification" ]
5488767
Introduction
Primary hyperparathyroidism (PHPT) is a common disorder characterized by incomplete regulation and excessive secretion of parathyroid hormone (PTH) from one or more of the parathyroid glands.1 This condition is easily diagnosed by the occurrence of an inappropriately high serum PTH level, along with hypercalcemia. However, normocalcemia in the presence of an increased serum PTH level may be due to normocalcemic primary hyperparathyroidism (NPHPT). In such cases, it is necessary to exclude secondary causes of PTH elevation, such as vitamin D deficiency, renal failure, and use of thiazide diuretic or lithium, among others.1–3 NPHPT may not be an indolent disease because a high prevalence of nephrolithiasis has been shown,4 and some studies have suggested an increased cardiovascular risk.3–5 The prevalence of NPHPT is not well defined due to the different exclusion criteria for secondary causes used in studies. A recent population-based research in Italy evaluated the prevalence of NPHPT and reported a rate of 0.58% in females and 0.44% in males.6 A Brazilian study on 156 females from an osteoporosis data bank in an Endocrinology and Bone Metabolism reference center found 14 patients with NPHPT, representing a prevalence of 8.9% of the population studied.7 An increase in cardiovascular morbidity and mortality is described in classic symptomatic PHPT.8 However, this remains controversial in mild disease, in which the serum calcium level is increased to 1 mg/dL of the upper limit of normal,9 although there is evidence of more subtle cardiovascular changes, such as increased vascular stiffness, among others.8 Because the diagnosis of PHPT has been previously given with more subtle clinical findings, the investigation of cardiovascular manifestations of the disease has recently turned to less obvious clinical abnormalities.8,10 The coronary calcium score (CCS) is a quantitative index of the total coronary artery calcium detected by a computed tomography (CT) scan without the use of contrast media.11 A high CCS indicates an increased cardiovascular risk in both young and elderly individuals, with a high positive predictive value for cardiovascular disease in all age groups.12 According to the Fourth International Workshop on Asymptomatic PHPT, there is a lack of prospective data on cardiovascular outcomes in asymptomatic PHPT. Moreover, the data on the extent and nature of cardiovascular involvement in patients with mild disease are limited. The carotid seems to be more affected than the heart. Routine cardiovascular analysis of these patients is still not recommended and therefore should not be considered in the decision for surgical treatment.13
Statistical analysis
The categorical data were expressed as absolute and relative frequencies and presented in frequency tables. The numerical data were summarized as mean values and standard deviations. In comparing the clinical characteristics between different groups of patients with normal and abnormal CCS values, Pearson’s chi-square test was applied when the independent variable was categorical, and Student’s t-test when the variable was quantitative. The presence of an association between the CCS and the clinical and laboratory variables was estimated by using the prevalence ratios, along with their confidence intervals; the association was adjusted for possible confounders by multivariate logistic regression. The level of significance in the analysis of associations was set at 5% (p<0.05).
Results
Of the 13 patients with NPHPT, 4 (30.77%) had a CCS value >0, as described below. The first case was a 66-year-old hypertensive patient with a body mass index (BMI) of 31.71 kg/m2, abdominal circumference (AC) of 94 cm, serum 25-OH vitamin D of 44 ng/mL, and PTH of 93 pg/mL, with a family history of early CAD and a CCS of 273. The second case, a 65-year-old hypertensive patient, had a BMI of 35.17 kg/m2, AC of 104 cm, serum 25-OH vitamin D of 34.4 ng/mL, and PTH of 92 pg/mL. The patient was taking vitamin D and calcium supplements, was on statin therapy, and had a family history of early CAD; the CCS was 41.4. The third case was a 68-year-old diabetic and hypertensive patient with a BMI of 24.03 kg/m2, AC of 84 cm, serum 25-OH vitamin D of 25.2 ng/mL, and PTH of 192 pg/mL; this patient was on statin therapy and had a CCS of 309.8. The fourth case was 71 years old, with a BMI of 26.03 kg/m2, AC of 86 cm, serum 25-OH vitamin D of 21 ng/mL, and PTH of 103 pg/mL; the patient was on statin and had a CCS of 30. The patients with NPHPT had an average age of 65 (±7.71) years, similarly to the members of the control group, whose average age was 61 (±7.65) years (p=0.165). A statistically significant difference in BMI (26.97 kg/m2 vs 31.53 kg/m2, respectively; p=0.044) was found between the groups. Regarding the laboratory findings, differences between the groups were observed in the levels of fasting plasma glucose (92±13.68 mg/dL vs 102.58±14.66 mg/dL, respectively; p=0.056), HbA1c (5.59±0.34% vs 6.62±0.58%, respectively; p=0.000), and total cholesterol (TC) (188.07±32.99 mg/dL vs 220.64±59.14 mg/dL, respectively; p=0.088). A significant difference in the diagnosis of diabetes mellitus was observed between the groups, with only 1 (7.69%) patient among the cases having such diagnosis compared with 6 (37.5%) in the control group (p=0.062). There was also a significant difference in vitamin D supplementation between the groups (53.85% vs 12.5%, respectively; p=0.017) (Table 1). In the control group, 10 (62.5%) patients were found to have altered CCS. The initial analysis showed no association between presence of NPHPT and altered CCS (odds ratio [OR]: 0.27; 95% confidence interval [CI]: 0.05–1.26; p=0.095) (Table 2). After adjusting for the covariates such as BMI, HbA1c, and TC levels, and possible confounding factors in the association between NPHPT and altered CCS, no significant difference was found in the case group with altered CCS (adjusted OR: 1.64; 95% CI: 0.1–26.43; p=0.726) (Table 3).
Conclusion
No association was found between the CCS and NPHPT.
[ "Study population and methods", "Strength vs limitations", "Conclusion" ]
[ "Thirteen female NPHPT patients with no preexisting clinical coronary artery disease (CAD) and a control group of 16 females matched for age were evaluated. NPHPT was defined as a serum PTH level above the upper limit of normal, with a normal albumin-adjusted serum calcium level, excluding the following: disorders associated with secondary hyperparathyroidism such as kidney failure (glomerular filtration rate [GFR] <60 mL/min) and vitamin D deficiency (serum 25-OH vitamin D <20 ng/mL, use of thiazide diuretic or lithium, and presence of gastrointestinal disorders associated with calcium malabsorption.\nThe study protocol was approved by the ethics in research committee of the University of Pernambuco. All patients provided written informed consent.\nThe blood pressure (BP) of the patients was measured using an Omron HEM-742INT monitor. The measurements were carried out according to the guidelines and recommendations of the European Society of Hypertension and the European Society of Cardiology.14\nDry biochemical analysis (Johnson & Johnson) was carried out after 12 h of fasting, and the glycated hemoglobin (HbA1c) concentrations were determined by using a turbidimetric immunoassay (Roche Diagnostics). The serum PTH levels were measured by immunochemiluminescence (Architect; Abbott), and the serum 25-OH vitamin D levels were measured by competitive electrochemiluminescence immunoassay (Liaison; DiaSorin), with inter- and intra-assay coefficients of variation of 8%–15% and 8%–13%, respectively; the limit of detection was 2 ng/mL.15\nThe Agatston calcium score was determined from the product of the total area of calcium derived by a factor of maximum density.16–18 A Philips Brilliance CT scanner with 10 channels was used to measure the coronary calcification area. It was divided into the following: CCS =0; negative, which indicates a low probability of CAD and future cardiovascular events; and altered CCS, with value ≥0.16–18\n Statistical analysis The categorical data were expressed as absolute and relative frequencies and presented in frequency tables. The numerical data were summarized as mean values and standard deviations. In comparing the clinical characteristics between different groups of patients with normal and abnormal CCS values, Pearson’s chi-square test was applied when the independent variable was categorical, and Student’s t-test when the variable was quantitative. The presence of an association between the CCS and the clinical and laboratory variables was estimated by using the prevalence ratios, along with their confidence intervals; the association was adjusted for possible confounders by multivariate logistic regression. The level of significance in the analysis of associations was set at 5% (p<0.05).\nThe categorical data were expressed as absolute and relative frequencies and presented in frequency tables. The numerical data were summarized as mean values and standard deviations. In comparing the clinical characteristics between different groups of patients with normal and abnormal CCS values, Pearson’s chi-square test was applied when the independent variable was categorical, and Student’s t-test when the variable was quantitative. The presence of an association between the CCS and the clinical and laboratory variables was estimated by using the prevalence ratios, along with their confidence intervals; the association was adjusted for possible confounders by multivariate logistic regression. The level of significance in the analysis of associations was set at 5% (p<0.05).", "This is the first study to verify the association between NPHPT and changes in CCS. However, this research had a small sample size, and the control group had higher rates of known cardiovascular risk factors.", "No association was found between the CCS and NPHPT." ]
[ null, null, null ]
[ "Introduction", "Study population and methods", "Statistical analysis", "Results", "Discussion", "Strength vs limitations", "Conclusion" ]
[ "Primary hyperparathyroidism (PHPT) is a common disorder characterized by incomplete regulation and excessive secretion of parathyroid hormone (PTH) from one or more of the parathyroid glands.1 This condition is easily diagnosed by the occurrence of an inappropriately high serum PTH level, along with hypercalcemia. However, normocalcemia in the presence of an increased serum PTH level may be due to normocalcemic primary hyperparathyroidism (NPHPT). In such cases, it is necessary to exclude secondary causes of PTH elevation, such as vitamin D deficiency, renal failure, and use of thiazide diuretic or lithium, among others.1–3 NPHPT may not be an indolent disease because a high prevalence of nephrolithiasis has been shown,4 and some studies have suggested an increased cardiovascular risk.3–5\nThe prevalence of NPHPT is not well defined due to the different exclusion criteria for secondary causes used in studies. A recent population-based research in Italy evaluated the prevalence of NPHPT and reported a rate of 0.58% in females and 0.44% in males.6 A Brazilian study on 156 females from an osteoporosis data bank in an Endocrinology and Bone Metabolism reference center found 14 patients with NPHPT, representing a prevalence of 8.9% of the population studied.7\nAn increase in cardiovascular morbidity and mortality is described in classic symptomatic PHPT.8 However, this remains controversial in mild disease, in which the serum calcium level is increased to 1 mg/dL of the upper limit of normal,9 although there is evidence of more subtle cardiovascular changes, such as increased vascular stiffness, among others.8\nBecause the diagnosis of PHPT has been previously given with more subtle clinical findings, the investigation of cardiovascular manifestations of the disease has recently turned to less obvious clinical abnormalities.8,10 The coronary calcium score (CCS) is a quantitative index of the total coronary artery calcium detected by a computed tomography (CT) scan without the use of contrast media.11 A high CCS indicates an increased cardiovascular risk in both young and elderly individuals, with a high positive predictive value for cardiovascular disease in all age groups.12\nAccording to the Fourth International Workshop on Asymptomatic PHPT, there is a lack of prospective data on cardiovascular outcomes in asymptomatic PHPT. Moreover, the data on the extent and nature of cardiovascular involvement in patients with mild disease are limited. The carotid seems to be more affected than the heart. Routine cardiovascular analysis of these patients is still not recommended and therefore should not be considered in the decision for surgical treatment.13", "Thirteen female NPHPT patients with no preexisting clinical coronary artery disease (CAD) and a control group of 16 females matched for age were evaluated. NPHPT was defined as a serum PTH level above the upper limit of normal, with a normal albumin-adjusted serum calcium level, excluding the following: disorders associated with secondary hyperparathyroidism such as kidney failure (glomerular filtration rate [GFR] <60 mL/min) and vitamin D deficiency (serum 25-OH vitamin D <20 ng/mL, use of thiazide diuretic or lithium, and presence of gastrointestinal disorders associated with calcium malabsorption.\nThe study protocol was approved by the ethics in research committee of the University of Pernambuco. All patients provided written informed consent.\nThe blood pressure (BP) of the patients was measured using an Omron HEM-742INT monitor. The measurements were carried out according to the guidelines and recommendations of the European Society of Hypertension and the European Society of Cardiology.14\nDry biochemical analysis (Johnson & Johnson) was carried out after 12 h of fasting, and the glycated hemoglobin (HbA1c) concentrations were determined by using a turbidimetric immunoassay (Roche Diagnostics). The serum PTH levels were measured by immunochemiluminescence (Architect; Abbott), and the serum 25-OH vitamin D levels were measured by competitive electrochemiluminescence immunoassay (Liaison; DiaSorin), with inter- and intra-assay coefficients of variation of 8%–15% and 8%–13%, respectively; the limit of detection was 2 ng/mL.15\nThe Agatston calcium score was determined from the product of the total area of calcium derived by a factor of maximum density.16–18 A Philips Brilliance CT scanner with 10 channels was used to measure the coronary calcification area. It was divided into the following: CCS =0; negative, which indicates a low probability of CAD and future cardiovascular events; and altered CCS, with value ≥0.16–18\n Statistical analysis The categorical data were expressed as absolute and relative frequencies and presented in frequency tables. The numerical data were summarized as mean values and standard deviations. In comparing the clinical characteristics between different groups of patients with normal and abnormal CCS values, Pearson’s chi-square test was applied when the independent variable was categorical, and Student’s t-test when the variable was quantitative. The presence of an association between the CCS and the clinical and laboratory variables was estimated by using the prevalence ratios, along with their confidence intervals; the association was adjusted for possible confounders by multivariate logistic regression. The level of significance in the analysis of associations was set at 5% (p<0.05).\nThe categorical data were expressed as absolute and relative frequencies and presented in frequency tables. The numerical data were summarized as mean values and standard deviations. In comparing the clinical characteristics between different groups of patients with normal and abnormal CCS values, Pearson’s chi-square test was applied when the independent variable was categorical, and Student’s t-test when the variable was quantitative. The presence of an association between the CCS and the clinical and laboratory variables was estimated by using the prevalence ratios, along with their confidence intervals; the association was adjusted for possible confounders by multivariate logistic regression. The level of significance in the analysis of associations was set at 5% (p<0.05).", "The categorical data were expressed as absolute and relative frequencies and presented in frequency tables. The numerical data were summarized as mean values and standard deviations. In comparing the clinical characteristics between different groups of patients with normal and abnormal CCS values, Pearson’s chi-square test was applied when the independent variable was categorical, and Student’s t-test when the variable was quantitative. The presence of an association between the CCS and the clinical and laboratory variables was estimated by using the prevalence ratios, along with their confidence intervals; the association was adjusted for possible confounders by multivariate logistic regression. The level of significance in the analysis of associations was set at 5% (p<0.05).", "Of the 13 patients with NPHPT, 4 (30.77%) had a CCS value >0, as described below.\nThe first case was a 66-year-old hypertensive patient with a body mass index (BMI) of 31.71 kg/m2, abdominal circumference (AC) of 94 cm, serum 25-OH vitamin D of 44 ng/mL, and PTH of 93 pg/mL, with a family history of early CAD and a CCS of 273.\nThe second case, a 65-year-old hypertensive patient, had a BMI of 35.17 kg/m2, AC of 104 cm, serum 25-OH vitamin D of 34.4 ng/mL, and PTH of 92 pg/mL. The patient was taking vitamin D and calcium supplements, was on statin therapy, and had a family history of early CAD; the CCS was 41.4.\nThe third case was a 68-year-old diabetic and hypertensive patient with a BMI of 24.03 kg/m2, AC of 84 cm, serum 25-OH vitamin D of 25.2 ng/mL, and PTH of 192 pg/mL; this patient was on statin therapy and had a CCS of 309.8.\nThe fourth case was 71 years old, with a BMI of 26.03 kg/m2, AC of 86 cm, serum 25-OH vitamin D of 21 ng/mL, and PTH of 103 pg/mL; the patient was on statin and had a CCS of 30.\nThe patients with NPHPT had an average age of 65 (±7.71) years, similarly to the members of the control group, whose average age was 61 (±7.65) years (p=0.165). A statistically significant difference in BMI (26.97 kg/m2 vs 31.53 kg/m2, respectively; p=0.044) was found between the groups.\nRegarding the laboratory findings, differences between the groups were observed in the levels of fasting plasma glucose (92±13.68 mg/dL vs 102.58±14.66 mg/dL, respectively; p=0.056), HbA1c (5.59±0.34% vs 6.62±0.58%, respectively; p=0.000), and total cholesterol (TC) (188.07±32.99 mg/dL vs 220.64±59.14 mg/dL, respectively; p=0.088).\nA significant difference in the diagnosis of diabetes mellitus was observed between the groups, with only 1 (7.69%) patient among the cases having such diagnosis compared with 6 (37.5%) in the control group (p=0.062). There was also a significant difference in vitamin D supplementation between the groups (53.85% vs 12.5%, respectively; p=0.017) (Table 1).\nIn the control group, 10 (62.5%) patients were found to have altered CCS. The initial analysis showed no association between presence of NPHPT and altered CCS (odds ratio [OR]: 0.27; 95% confidence interval [CI]: 0.05–1.26; p=0.095) (Table 2).\nAfter adjusting for the covariates such as BMI, HbA1c, and TC levels, and possible confounding factors in the association between NPHPT and altered CCS, no significant difference was found in the case group with altered CCS (adjusted OR: 1.64; 95% CI: 0.1–26.43; p=0.726) (Table 3).", "This study investigated the role of CCS in patients with NPHPT. No previous research has specifically investigated this association. In fact, the clinical conditions of NPHPT are not yet well characterized, and prospective data on the cardiovascular risk in this group of patients are lacking. In the current work, we measured the CCS, which has been recognized as a good predictor of cardiovascular disease in asymptomatic patients.19\nThe initial analysis showed no association between CCS >0 and diagnosis of NPHPT (OR: 0.27; 95% CI: 0.05–1.26; p=0.095). By using a similar protocol but in a different population, Kepez et al9 evaluated 31 patients with mild PHPT, which was defined as an increase in serum calcium level of up to 1 mg/dL above the upper limit of normal, compared with 19 controls; the CCS of the patients was measured by using CT. The authors did not find a positive association between asymptomatic PHPT and coronary calcification.9\nA population-based study that evaluated metabolic abnormalities in 30 patients with NPHPT compared with 30 controls found significantly higher levels of blood glucose and triglycerides, as well as a higher mean BMI and lower high-density lipoprotein (HDL) cholesterol levels, in the group with increased PTH, suggesting metabolic changes in NPHPT associated with cardiovascular risk.20\nIn the current study, however, more metabolic changes were observed in the control group, and although the groups were matched for age, the control group had a significantly higher mean BMI (31.53 kg/m2 vs 26.97 kg/m2; p=0.044) and mean HbA1c level (6.62% vs 5.59%; p=0.000) and showed a trend toward higher mean fasting plasma glucose (102.58 mg/dL vs 92 mg/dL; p=0.056) and TC (220.64 mg/dL vs 188.07 mg/dL; p=0.088) levels. In addition to the differences in clinical and laboratory results, the diagnosis of diabetes mellitus also differed between the groups, with only 1 (7.69%) patient having such diagnosis in the case group compared with 6 (37.5%) in the control group (p=0.062), findings which may have been potential confounders.\nThe current work found no difference between the case and control groups in either the diagnosis of hypertension or changes in BP levels. In contrast, a recent retrospective study that compared the systolic and diastolic BP levels between a group of 11 patients with NPHPT and 296 control patients found that patients with high PTH and normal calcium levels had higher BP levels than those without NPHPT.21 The results of the current study may have been influenced by the fact that the control group had a higher BMI than the case group, given that it is well established in the literature that hypertension is correlated with excess weight.22\n Strength vs limitations This is the first study to verify the association between NPHPT and changes in CCS. However, this research had a small sample size, and the control group had higher rates of known cardiovascular risk factors.\nThis is the first study to verify the association between NPHPT and changes in CCS. However, this research had a small sample size, and the control group had higher rates of known cardiovascular risk factors.", "This is the first study to verify the association between NPHPT and changes in CCS. However, this research had a small sample size, and the control group had higher rates of known cardiovascular risk factors.", "No association was found between the CCS and NPHPT." ]
[ "intro", null, "methods", "results", "discussion", null, null ]
[ "primary hyperparathyroidism", "multidetector computed tomography", "coronary calcium score" ]
Introduction: Primary hyperparathyroidism (PHPT) is a common disorder characterized by incomplete regulation and excessive secretion of parathyroid hormone (PTH) from one or more of the parathyroid glands.1 This condition is easily diagnosed by the occurrence of an inappropriately high serum PTH level, along with hypercalcemia. However, normocalcemia in the presence of an increased serum PTH level may be due to normocalcemic primary hyperparathyroidism (NPHPT). In such cases, it is necessary to exclude secondary causes of PTH elevation, such as vitamin D deficiency, renal failure, and use of thiazide diuretic or lithium, among others.1–3 NPHPT may not be an indolent disease because a high prevalence of nephrolithiasis has been shown,4 and some studies have suggested an increased cardiovascular risk.3–5 The prevalence of NPHPT is not well defined due to the different exclusion criteria for secondary causes used in studies. A recent population-based research in Italy evaluated the prevalence of NPHPT and reported a rate of 0.58% in females and 0.44% in males.6 A Brazilian study on 156 females from an osteoporosis data bank in an Endocrinology and Bone Metabolism reference center found 14 patients with NPHPT, representing a prevalence of 8.9% of the population studied.7 An increase in cardiovascular morbidity and mortality is described in classic symptomatic PHPT.8 However, this remains controversial in mild disease, in which the serum calcium level is increased to 1 mg/dL of the upper limit of normal,9 although there is evidence of more subtle cardiovascular changes, such as increased vascular stiffness, among others.8 Because the diagnosis of PHPT has been previously given with more subtle clinical findings, the investigation of cardiovascular manifestations of the disease has recently turned to less obvious clinical abnormalities.8,10 The coronary calcium score (CCS) is a quantitative index of the total coronary artery calcium detected by a computed tomography (CT) scan without the use of contrast media.11 A high CCS indicates an increased cardiovascular risk in both young and elderly individuals, with a high positive predictive value for cardiovascular disease in all age groups.12 According to the Fourth International Workshop on Asymptomatic PHPT, there is a lack of prospective data on cardiovascular outcomes in asymptomatic PHPT. Moreover, the data on the extent and nature of cardiovascular involvement in patients with mild disease are limited. The carotid seems to be more affected than the heart. Routine cardiovascular analysis of these patients is still not recommended and therefore should not be considered in the decision for surgical treatment.13 Study population and methods: Thirteen female NPHPT patients with no preexisting clinical coronary artery disease (CAD) and a control group of 16 females matched for age were evaluated. NPHPT was defined as a serum PTH level above the upper limit of normal, with a normal albumin-adjusted serum calcium level, excluding the following: disorders associated with secondary hyperparathyroidism such as kidney failure (glomerular filtration rate [GFR] <60 mL/min) and vitamin D deficiency (serum 25-OH vitamin D <20 ng/mL, use of thiazide diuretic or lithium, and presence of gastrointestinal disorders associated with calcium malabsorption. The study protocol was approved by the ethics in research committee of the University of Pernambuco. All patients provided written informed consent. The blood pressure (BP) of the patients was measured using an Omron HEM-742INT monitor. The measurements were carried out according to the guidelines and recommendations of the European Society of Hypertension and the European Society of Cardiology.14 Dry biochemical analysis (Johnson & Johnson) was carried out after 12 h of fasting, and the glycated hemoglobin (HbA1c) concentrations were determined by using a turbidimetric immunoassay (Roche Diagnostics). The serum PTH levels were measured by immunochemiluminescence (Architect; Abbott), and the serum 25-OH vitamin D levels were measured by competitive electrochemiluminescence immunoassay (Liaison; DiaSorin), with inter- and intra-assay coefficients of variation of 8%–15% and 8%–13%, respectively; the limit of detection was 2 ng/mL.15 The Agatston calcium score was determined from the product of the total area of calcium derived by a factor of maximum density.16–18 A Philips Brilliance CT scanner with 10 channels was used to measure the coronary calcification area. It was divided into the following: CCS =0; negative, which indicates a low probability of CAD and future cardiovascular events; and altered CCS, with value ≥0.16–18 Statistical analysis The categorical data were expressed as absolute and relative frequencies and presented in frequency tables. The numerical data were summarized as mean values and standard deviations. In comparing the clinical characteristics between different groups of patients with normal and abnormal CCS values, Pearson’s chi-square test was applied when the independent variable was categorical, and Student’s t-test when the variable was quantitative. The presence of an association between the CCS and the clinical and laboratory variables was estimated by using the prevalence ratios, along with their confidence intervals; the association was adjusted for possible confounders by multivariate logistic regression. The level of significance in the analysis of associations was set at 5% (p<0.05). The categorical data were expressed as absolute and relative frequencies and presented in frequency tables. The numerical data were summarized as mean values and standard deviations. In comparing the clinical characteristics between different groups of patients with normal and abnormal CCS values, Pearson’s chi-square test was applied when the independent variable was categorical, and Student’s t-test when the variable was quantitative. The presence of an association between the CCS and the clinical and laboratory variables was estimated by using the prevalence ratios, along with their confidence intervals; the association was adjusted for possible confounders by multivariate logistic regression. The level of significance in the analysis of associations was set at 5% (p<0.05). Statistical analysis: The categorical data were expressed as absolute and relative frequencies and presented in frequency tables. The numerical data were summarized as mean values and standard deviations. In comparing the clinical characteristics between different groups of patients with normal and abnormal CCS values, Pearson’s chi-square test was applied when the independent variable was categorical, and Student’s t-test when the variable was quantitative. The presence of an association between the CCS and the clinical and laboratory variables was estimated by using the prevalence ratios, along with their confidence intervals; the association was adjusted for possible confounders by multivariate logistic regression. The level of significance in the analysis of associations was set at 5% (p<0.05). Results: Of the 13 patients with NPHPT, 4 (30.77%) had a CCS value >0, as described below. The first case was a 66-year-old hypertensive patient with a body mass index (BMI) of 31.71 kg/m2, abdominal circumference (AC) of 94 cm, serum 25-OH vitamin D of 44 ng/mL, and PTH of 93 pg/mL, with a family history of early CAD and a CCS of 273. The second case, a 65-year-old hypertensive patient, had a BMI of 35.17 kg/m2, AC of 104 cm, serum 25-OH vitamin D of 34.4 ng/mL, and PTH of 92 pg/mL. The patient was taking vitamin D and calcium supplements, was on statin therapy, and had a family history of early CAD; the CCS was 41.4. The third case was a 68-year-old diabetic and hypertensive patient with a BMI of 24.03 kg/m2, AC of 84 cm, serum 25-OH vitamin D of 25.2 ng/mL, and PTH of 192 pg/mL; this patient was on statin therapy and had a CCS of 309.8. The fourth case was 71 years old, with a BMI of 26.03 kg/m2, AC of 86 cm, serum 25-OH vitamin D of 21 ng/mL, and PTH of 103 pg/mL; the patient was on statin and had a CCS of 30. The patients with NPHPT had an average age of 65 (±7.71) years, similarly to the members of the control group, whose average age was 61 (±7.65) years (p=0.165). A statistically significant difference in BMI (26.97 kg/m2 vs 31.53 kg/m2, respectively; p=0.044) was found between the groups. Regarding the laboratory findings, differences between the groups were observed in the levels of fasting plasma glucose (92±13.68 mg/dL vs 102.58±14.66 mg/dL, respectively; p=0.056), HbA1c (5.59±0.34% vs 6.62±0.58%, respectively; p=0.000), and total cholesterol (TC) (188.07±32.99 mg/dL vs 220.64±59.14 mg/dL, respectively; p=0.088). A significant difference in the diagnosis of diabetes mellitus was observed between the groups, with only 1 (7.69%) patient among the cases having such diagnosis compared with 6 (37.5%) in the control group (p=0.062). There was also a significant difference in vitamin D supplementation between the groups (53.85% vs 12.5%, respectively; p=0.017) (Table 1). In the control group, 10 (62.5%) patients were found to have altered CCS. The initial analysis showed no association between presence of NPHPT and altered CCS (odds ratio [OR]: 0.27; 95% confidence interval [CI]: 0.05–1.26; p=0.095) (Table 2). After adjusting for the covariates such as BMI, HbA1c, and TC levels, and possible confounding factors in the association between NPHPT and altered CCS, no significant difference was found in the case group with altered CCS (adjusted OR: 1.64; 95% CI: 0.1–26.43; p=0.726) (Table 3). Discussion: This study investigated the role of CCS in patients with NPHPT. No previous research has specifically investigated this association. In fact, the clinical conditions of NPHPT are not yet well characterized, and prospective data on the cardiovascular risk in this group of patients are lacking. In the current work, we measured the CCS, which has been recognized as a good predictor of cardiovascular disease in asymptomatic patients.19 The initial analysis showed no association between CCS >0 and diagnosis of NPHPT (OR: 0.27; 95% CI: 0.05–1.26; p=0.095). By using a similar protocol but in a different population, Kepez et al9 evaluated 31 patients with mild PHPT, which was defined as an increase in serum calcium level of up to 1 mg/dL above the upper limit of normal, compared with 19 controls; the CCS of the patients was measured by using CT. The authors did not find a positive association between asymptomatic PHPT and coronary calcification.9 A population-based study that evaluated metabolic abnormalities in 30 patients with NPHPT compared with 30 controls found significantly higher levels of blood glucose and triglycerides, as well as a higher mean BMI and lower high-density lipoprotein (HDL) cholesterol levels, in the group with increased PTH, suggesting metabolic changes in NPHPT associated with cardiovascular risk.20 In the current study, however, more metabolic changes were observed in the control group, and although the groups were matched for age, the control group had a significantly higher mean BMI (31.53 kg/m2 vs 26.97 kg/m2; p=0.044) and mean HbA1c level (6.62% vs 5.59%; p=0.000) and showed a trend toward higher mean fasting plasma glucose (102.58 mg/dL vs 92 mg/dL; p=0.056) and TC (220.64 mg/dL vs 188.07 mg/dL; p=0.088) levels. In addition to the differences in clinical and laboratory results, the diagnosis of diabetes mellitus also differed between the groups, with only 1 (7.69%) patient having such diagnosis in the case group compared with 6 (37.5%) in the control group (p=0.062), findings which may have been potential confounders. The current work found no difference between the case and control groups in either the diagnosis of hypertension or changes in BP levels. In contrast, a recent retrospective study that compared the systolic and diastolic BP levels between a group of 11 patients with NPHPT and 296 control patients found that patients with high PTH and normal calcium levels had higher BP levels than those without NPHPT.21 The results of the current study may have been influenced by the fact that the control group had a higher BMI than the case group, given that it is well established in the literature that hypertension is correlated with excess weight.22 Strength vs limitations This is the first study to verify the association between NPHPT and changes in CCS. However, this research had a small sample size, and the control group had higher rates of known cardiovascular risk factors. This is the first study to verify the association between NPHPT and changes in CCS. However, this research had a small sample size, and the control group had higher rates of known cardiovascular risk factors. Strength vs limitations: This is the first study to verify the association between NPHPT and changes in CCS. However, this research had a small sample size, and the control group had higher rates of known cardiovascular risk factors. Conclusion: No association was found between the CCS and NPHPT.
Background: Given that the diagnosis of primary hyperparathyroidism (PHPT) is given at an increasingly less-symptomatic phase, and the literature data on the cardiovascular risk of patients with normocalcemic primary hyperparathyroidism (NPHPT) are controversial, the coronary calcium score (CCS), which is correlated with coronary artery disease, may be useful for clarifying the association between cardiovascular risk and NPHPT. Methods: A questionnaire on anthropometric data (weight, height, waist circumference, and blood pressure) was used, laboratory examinations (estimations of glucose, glycated hemoglobin [HbA1c], total cholesterol [TC] and its fractions, triglycerides, creatinine, calcium, parathyroid hormone, and 25-OH vitamin D) were conducted, and computerized tomography was carried out to measure the CCS in 13 patients diagnosed with NPHPT and 16 controls. Results: There was no association between NPHPT and altered CCS (odds ratio [OR]: 0.27; 95% confidence interval [CI]: 0.05-1.26; p=0.095). Differences between the case and control groups were found in terms of body mass index (BMI) (26.97 kg/m2 vs 31.53 kg/m2, respectively; p=0.044), HbA1c (5.59% vs 6.62%; p=0.000), and TC (188.07 mg/dL vs 220.64 mg/dL; p=0.088). After adjustment for potential confounders, no statistical significance was observed for the association between changes in CCS and presence of NPHPT (adjusted OR: 1.64; 95% CI: 0.1-26.43; p=0.726). Conclusions: No association was found between the CCS and the presence of NPHPT.
Introduction: Primary hyperparathyroidism (PHPT) is a common disorder characterized by incomplete regulation and excessive secretion of parathyroid hormone (PTH) from one or more of the parathyroid glands.1 This condition is easily diagnosed by the occurrence of an inappropriately high serum PTH level, along with hypercalcemia. However, normocalcemia in the presence of an increased serum PTH level may be due to normocalcemic primary hyperparathyroidism (NPHPT). In such cases, it is necessary to exclude secondary causes of PTH elevation, such as vitamin D deficiency, renal failure, and use of thiazide diuretic or lithium, among others.1–3 NPHPT may not be an indolent disease because a high prevalence of nephrolithiasis has been shown,4 and some studies have suggested an increased cardiovascular risk.3–5 The prevalence of NPHPT is not well defined due to the different exclusion criteria for secondary causes used in studies. A recent population-based research in Italy evaluated the prevalence of NPHPT and reported a rate of 0.58% in females and 0.44% in males.6 A Brazilian study on 156 females from an osteoporosis data bank in an Endocrinology and Bone Metabolism reference center found 14 patients with NPHPT, representing a prevalence of 8.9% of the population studied.7 An increase in cardiovascular morbidity and mortality is described in classic symptomatic PHPT.8 However, this remains controversial in mild disease, in which the serum calcium level is increased to 1 mg/dL of the upper limit of normal,9 although there is evidence of more subtle cardiovascular changes, such as increased vascular stiffness, among others.8 Because the diagnosis of PHPT has been previously given with more subtle clinical findings, the investigation of cardiovascular manifestations of the disease has recently turned to less obvious clinical abnormalities.8,10 The coronary calcium score (CCS) is a quantitative index of the total coronary artery calcium detected by a computed tomography (CT) scan without the use of contrast media.11 A high CCS indicates an increased cardiovascular risk in both young and elderly individuals, with a high positive predictive value for cardiovascular disease in all age groups.12 According to the Fourth International Workshop on Asymptomatic PHPT, there is a lack of prospective data on cardiovascular outcomes in asymptomatic PHPT. Moreover, the data on the extent and nature of cardiovascular involvement in patients with mild disease are limited. The carotid seems to be more affected than the heart. Routine cardiovascular analysis of these patients is still not recommended and therefore should not be considered in the decision for surgical treatment.13 Conclusion: No association was found between the CCS and NPHPT.
Background: Given that the diagnosis of primary hyperparathyroidism (PHPT) is given at an increasingly less-symptomatic phase, and the literature data on the cardiovascular risk of patients with normocalcemic primary hyperparathyroidism (NPHPT) are controversial, the coronary calcium score (CCS), which is correlated with coronary artery disease, may be useful for clarifying the association between cardiovascular risk and NPHPT. Methods: A questionnaire on anthropometric data (weight, height, waist circumference, and blood pressure) was used, laboratory examinations (estimations of glucose, glycated hemoglobin [HbA1c], total cholesterol [TC] and its fractions, triglycerides, creatinine, calcium, parathyroid hormone, and 25-OH vitamin D) were conducted, and computerized tomography was carried out to measure the CCS in 13 patients diagnosed with NPHPT and 16 controls. Results: There was no association between NPHPT and altered CCS (odds ratio [OR]: 0.27; 95% confidence interval [CI]: 0.05-1.26; p=0.095). Differences between the case and control groups were found in terms of body mass index (BMI) (26.97 kg/m2 vs 31.53 kg/m2, respectively; p=0.044), HbA1c (5.59% vs 6.62%; p=0.000), and TC (188.07 mg/dL vs 220.64 mg/dL; p=0.088). After adjustment for potential confounders, no statistical significance was observed for the association between changes in CCS and presence of NPHPT (adjusted OR: 1.64; 95% CI: 0.1-26.43; p=0.726). Conclusions: No association was found between the CCS and the presence of NPHPT.
2,486
311
[ 615, 39, 10 ]
7
[ "ccs", "nphpt", "patients", "group", "cardiovascular", "association", "control", "serum", "pth", "clinical" ]
[ "hyperparathyroidism kidney failure", "hyperparathyroidism kidney", "hyperparathyroidism phpt common", "primary hyperparathyroidism phpt", "hyperparathyroidism nphpt cases" ]
[CONTENT] primary hyperparathyroidism | multidetector computed tomography | coronary calcium score [SUMMARY]
[CONTENT] primary hyperparathyroidism | multidetector computed tomography | coronary calcium score [SUMMARY]
[CONTENT] primary hyperparathyroidism | multidetector computed tomography | coronary calcium score [SUMMARY]
[CONTENT] primary hyperparathyroidism | multidetector computed tomography | coronary calcium score [SUMMARY]
[CONTENT] primary hyperparathyroidism | multidetector computed tomography | coronary calcium score [SUMMARY]
[CONTENT] primary hyperparathyroidism | multidetector computed tomography | coronary calcium score [SUMMARY]
[CONTENT] Aged | Biomarkers | Case-Control Studies | Chi-Square Distribution | Computed Tomography Angiography | Coronary Angiography | Coronary Artery Disease | Female | Humans | Hyperparathyroidism, Primary | Logistic Models | Middle Aged | Multidetector Computed Tomography | Multivariate Analysis | Odds Ratio | Predictive Value of Tests | Risk Factors | Surveys and Questionnaires | Vascular Calcification [SUMMARY]
[CONTENT] Aged | Biomarkers | Case-Control Studies | Chi-Square Distribution | Computed Tomography Angiography | Coronary Angiography | Coronary Artery Disease | Female | Humans | Hyperparathyroidism, Primary | Logistic Models | Middle Aged | Multidetector Computed Tomography | Multivariate Analysis | Odds Ratio | Predictive Value of Tests | Risk Factors | Surveys and Questionnaires | Vascular Calcification [SUMMARY]
[CONTENT] Aged | Biomarkers | Case-Control Studies | Chi-Square Distribution | Computed Tomography Angiography | Coronary Angiography | Coronary Artery Disease | Female | Humans | Hyperparathyroidism, Primary | Logistic Models | Middle Aged | Multidetector Computed Tomography | Multivariate Analysis | Odds Ratio | Predictive Value of Tests | Risk Factors | Surveys and Questionnaires | Vascular Calcification [SUMMARY]
[CONTENT] Aged | Biomarkers | Case-Control Studies | Chi-Square Distribution | Computed Tomography Angiography | Coronary Angiography | Coronary Artery Disease | Female | Humans | Hyperparathyroidism, Primary | Logistic Models | Middle Aged | Multidetector Computed Tomography | Multivariate Analysis | Odds Ratio | Predictive Value of Tests | Risk Factors | Surveys and Questionnaires | Vascular Calcification [SUMMARY]
[CONTENT] Aged | Biomarkers | Case-Control Studies | Chi-Square Distribution | Computed Tomography Angiography | Coronary Angiography | Coronary Artery Disease | Female | Humans | Hyperparathyroidism, Primary | Logistic Models | Middle Aged | Multidetector Computed Tomography | Multivariate Analysis | Odds Ratio | Predictive Value of Tests | Risk Factors | Surveys and Questionnaires | Vascular Calcification [SUMMARY]
[CONTENT] Aged | Biomarkers | Case-Control Studies | Chi-Square Distribution | Computed Tomography Angiography | Coronary Angiography | Coronary Artery Disease | Female | Humans | Hyperparathyroidism, Primary | Logistic Models | Middle Aged | Multidetector Computed Tomography | Multivariate Analysis | Odds Ratio | Predictive Value of Tests | Risk Factors | Surveys and Questionnaires | Vascular Calcification [SUMMARY]
[CONTENT] hyperparathyroidism kidney failure | hyperparathyroidism kidney | hyperparathyroidism phpt common | primary hyperparathyroidism phpt | hyperparathyroidism nphpt cases [SUMMARY]
[CONTENT] hyperparathyroidism kidney failure | hyperparathyroidism kidney | hyperparathyroidism phpt common | primary hyperparathyroidism phpt | hyperparathyroidism nphpt cases [SUMMARY]
[CONTENT] hyperparathyroidism kidney failure | hyperparathyroidism kidney | hyperparathyroidism phpt common | primary hyperparathyroidism phpt | hyperparathyroidism nphpt cases [SUMMARY]
[CONTENT] hyperparathyroidism kidney failure | hyperparathyroidism kidney | hyperparathyroidism phpt common | primary hyperparathyroidism phpt | hyperparathyroidism nphpt cases [SUMMARY]
[CONTENT] hyperparathyroidism kidney failure | hyperparathyroidism kidney | hyperparathyroidism phpt common | primary hyperparathyroidism phpt | hyperparathyroidism nphpt cases [SUMMARY]
[CONTENT] hyperparathyroidism kidney failure | hyperparathyroidism kidney | hyperparathyroidism phpt common | primary hyperparathyroidism phpt | hyperparathyroidism nphpt cases [SUMMARY]
[CONTENT] ccs | nphpt | patients | group | cardiovascular | association | control | serum | pth | clinical [SUMMARY]
[CONTENT] ccs | nphpt | patients | group | cardiovascular | association | control | serum | pth | clinical [SUMMARY]
[CONTENT] ccs | nphpt | patients | group | cardiovascular | association | control | serum | pth | clinical [SUMMARY]
[CONTENT] ccs | nphpt | patients | group | cardiovascular | association | control | serum | pth | clinical [SUMMARY]
[CONTENT] ccs | nphpt | patients | group | cardiovascular | association | control | serum | pth | clinical [SUMMARY]
[CONTENT] ccs | nphpt | patients | group | cardiovascular | association | control | serum | pth | clinical [SUMMARY]
[CONTENT] cardiovascular | increased | phpt | disease | high | prevalence | pth | nphpt | secondary causes | subtle [SUMMARY]
[CONTENT] variable | categorical | values | test | data | clinical | association | ccs | presented frequency | association ccs clinical [SUMMARY]
[CONTENT] ml | patient | m2 | kg | kg m2 | bmi | vitamin | vs | case | respectively [SUMMARY]
[CONTENT] association found | ccs nphpt | found ccs nphpt | found ccs | association found ccs | association found ccs nphpt | found | association | nphpt | ccs [SUMMARY]
[CONTENT] ccs | nphpt | association | found ccs | found ccs nphpt | ccs nphpt | association found | association found ccs | association found ccs nphpt | cardiovascular [SUMMARY]
[CONTENT] ccs | nphpt | association | found ccs | found ccs nphpt | ccs nphpt | association found | association found ccs | association found ccs nphpt | cardiovascular [SUMMARY]
[CONTENT] PHPT | NPHPT | NPHPT [SUMMARY]
[CONTENT] 25 | CCS | 13 | NPHPT | 16 [SUMMARY]
[CONTENT] NPHPT | CCS | 0.27 | 95% ||| CI | 0.05-1.26 ||| BMI | 26.97 kg | 31.53 kg | 5.59% | 6.62% | TC | 188.07 mg | 220.64 ||| CCS | NPHPT | 1.64 | 95% | CI | 0.1-26.43 [SUMMARY]
[CONTENT] CCS | NPHPT [SUMMARY]
[CONTENT] PHPT | NPHPT | NPHPT ||| 25 | CCS | 13 | NPHPT | 16 ||| NPHPT | CCS ||| ||| 0.27 | 95% ||| CI | 0.05-1.26 ||| BMI | 26.97 kg | 31.53 kg | 5.59% | 6.62% | TC | 188.07 mg | 220.64 ||| CCS | NPHPT | 1.64 | 95% | CI | 0.1-26.43 ||| CCS | NPHPT [SUMMARY]
[CONTENT] PHPT | NPHPT | NPHPT ||| 25 | CCS | 13 | NPHPT | 16 ||| NPHPT | CCS ||| ||| 0.27 | 95% ||| CI | 0.05-1.26 ||| BMI | 26.97 kg | 31.53 kg | 5.59% | 6.62% | TC | 188.07 mg | 220.64 ||| CCS | NPHPT | 1.64 | 95% | CI | 0.1-26.43 ||| CCS | NPHPT [SUMMARY]
Caseload midwifery compared to standard or private obstetric care for first time mothers in a public teaching hospital in Australia: a cross sectional study of cost and birth outcomes.
24456576
In many countries midwives act as the main providers of care for women throughout pregnancy, labour and birth. In our large public teaching hospital in Australia we restructured the way midwifery care is offered and introduced caseload midwifery for one third of women booked at the hospital. We then compared the costs and birth outcomes associated with caseload midwifery compared to the two existing models of care, standard hospital care and private obstetric care.
BACKGROUND
We undertook a cross sectional study examining the risk profile, birth outcomes and cost of care for women booked into one of the three available models of care in a tertiary teaching hospital in Australia between July 1st 2009 December 31st 2010. To control for differences in population or case mix we described the outcomes for a cohort of low risk first time mothers known as the 'standard primipara'.
METHODS
Amongst the 1,379 women defined as 'standard primipara' there were significant differences in birth outcome. These first time 'low risk' mothers who received caseload care were more likely to have a spontaneous onset of labour and an unassisted vaginal birth 58.5% in MGP compared to 48.2% for Standard hospital care and 30.8% with Private obstetric care (p < 0.001). They were also significantly less likely to have an elective caesarean section 1.6% with MGP versus 5.3% with Standard care and 17.2% with private obstetric care (p < 0.001). From the public hospital perspective, over one financial year the average cost of care for the standard primipara in MGP was $3903.78 per woman. This was $1375.45 less per woman than those receiving Private obstetric care and $1590.91 less than Standard hospital care per woman (p < 0.001). Similar differences in cost were found in favour of MGP for all women in the study who received caseload care.
RESULTS
Cost reduction appears to be achieved through reorganising the way care is delivered in the public hospital system with the introduction of Midwifery Group Practice or caseload care. The study also highlights the unexplained clinical variation that exists between the three models of care in Australia.
CONCLUSIONS
[ "Adult", "Australia", "Cesarean Section", "Cross-Sectional Studies", "Delivery of Health Care", "Extraction, Obstetrical", "Female", "Group Practice", "Hospitals, Public", "Hospitals, Teaching", "Humans", "Labor, Obstetric", "Midwifery", "Models, Organizational", "Natural Childbirth", "Obstetrics", "Parity", "Pregnancy", "Private Practice", "Risk Assessment", "Young Adult" ]
3903023
Background
Australia's national caesarean section rate of 30.8% in 2011 sits above the OECD average of 25.8% of births [1] and well outside the World Health Organisation (WHO) recommendation of 15% [2]. This rate is increasing in both the public and private sectors in Australia, but continues to show a significant degree of unexplained clinical variation [3] and be substantially higher in the private sector [4-6]. In addition to the potential long term morbidity following caesarean section [7-10], operative birth incurs a measurable increase in cost [11,12], and an unquantified burden on the health system through pressure on resources such as staff and operating theatres [13]. The apparent inevitability of a rising caesarean rate due to the broadening indications for a primary caesarean is driving worldwide interest to find ways to address the issue [14]. Many countries have responded to this perceived public health concern with policies designed to promote a lower rate of operative birth and increase the rate of normal vaginal birth. In the US, the Healthy People 2020 reports a national objective to reduce caesarean births among low risk first time mothers at full-term by 10% to 23.9 percent over the next ten years [15]. Similar policies have been promoted in the UK [16,17]. In New South Wales, Australia the 'Towards Normal Birth' policy directive was launched with the explicit aim of increasing the vaginal birth rate and decreasing the caesarean section rate [18]. At our tertiary hospital in New South Wales we introduced caseload midwifery care with a view to altering the caesarean section rate. The latest Cochrane systematic review of midwife led care [19] recommends providing midwife led models of care to women in view of their known effectiveness, with a caveat that women who have complex pregnancies proceed with caution. However a randomised controlled trial of caseload midwifery care recently published in the Lancet concluded that for women of all risk caseload midwifery care costs less with similar clinical outcomes [20]. That study argued that caseload midwifery appeared to alter some of the pathways that recurrently contribute to increased obstetric intervention, working on the assumption that women will labour more effectively, need to stay in hospital less time and feel a stronger sense of satisfaction and personal control if they have the opportunity to get to know their midwife at the beginning of pregnancy. The current project was also set in an Australian context with a similar population to that recently described in the randomised controlled trial of caseload care published in The Lancet [20]. The current study differed from the trial in that women were able to choose to have caseload care or standard care rather than be randomised to either model. In addition we also included in this analysis a third group of women – those who choose to receive private obstetric care in the public hospital. Caseload midwifery offers greater relationship continuity, by ensuring that childbearing women receive their ante, intra and postnatal care from one midwife or her/his practice partner [21]. The evaluation of One-to-One Midwifery practice in the UK showed that continuity of carer could improve women’s satisfaction with their care, give midwives greater job satisfaction, increase their autonomy, and reduce intervention rates [22,23]. In a clinical redesign of maternity services in 2008 [24], we implemented nine caseload midwifery group practices (MGP) with the aim of providing continuity of midwifery care to women regardless of their risk status at booking. Prior to this there were two main maternity models on offer at the hospital - standard public hospital care or private obstetric care in the public hospital. At the outset we planned to evaluate the introduction of caseload through comparing the new model with both the cost and clinical outcomes of all women who received maternity care at the hospital during the study time period. Caseload care in our setting is characterised by midwives arranged in formally recognised group practices of four midwives who undertake the midwifery management and responsibility for the continuum of care through pregnancy, birth and postpartum for a specified caseload of women [23]. The 'named' midwife provides leadership in midwifery care within her scope of practice with arrangements between partner members of the midwifery group practice to provide cover for leave and time off. Consultation and referral occurs as necessary using the Australian Midwifery Consultation and Referral Guidelines [25]. Collaborative practice is encouraged between the MGP midwives and a nominated consultant obstetrician or with other medical colleagues. Unlike other midwifery models such as team or birth centre care there is no limitation to only care for women deemed to be 'low risk'. In addition to this the MGP midwives experience a level of flexibility through their annualised salary contracts which allows them to self-manage their work hours in response to individual woman's needs rather than the ward roster system. In the Standard Care model women receive their care from rostered midwives in discrete wards or clinics; public hospital obstetric care (staff and trainee obstetricians) and community based general medical practitioner care. In the Private Obstetric model women pay for the services of a private obstetrician and receive private antenatal care in the rooms of their obstetrician. During labour and birth management decisions are made by the private obstetrician. Women are cared for in the hospital ward or clinic setting by the rostered midwives and obstetric trainees who provide the routine or standard public hospital care. Midwifery care in all three models is funded through state based revenue via the acute health services budget funding for public hospitals. Following the introduction of Midwifery Group Practice at our hospital we undertook a cross sectional study to examine both the cost of each model of care from the standpoint of the public health system and the maternal and infant outcomes. There has not been an economic analysis of the three models of care available in the Australian public hospital setting to date. The population included all women who gave birth at the metropolitan teaching hospital between 1st July 2009 and 31st December 2010. In an effort to make a more meaningful comparison between the three different models of care we examined more closely a sub group of the population known as the 'standard primipara' [26-28] similar to that reported recently by Coulm et al. [29] in France. These women were considered low‒risk at the time of birth and were having their first baby. We examined the outcomes of each option for maternity care available to all women, and in particular to those described as the 'standard primipara'. The primary outcomes were the mode of birth defined as caesarean section, instrumental birth or unassisted vaginal birth; and the cost associated with providing this care per woman from the standpoint of the public hospital over one financial year 2009/10.
Methods
The study population included all women who gave birth at a large metropolitan tertiary teaching hospital between the 1st July 2009 and the 31st December 2010. Data were entered into the Obstetrix hospital data system by the attending midwife and electronically collated and checked by the research midwives. For missing data and data that were not credible the notes were checked manually. Maternal factors available for analysis were age, parity, medical conditions (any or none reported), and obstetric complications (any or none reported) as well as mental health disorders. Labour onset was described as spontaneous, induced or none (where an elective caesarean was performed). Induction was achieved through the use of drugs or mechanical means (Foley catheter) plus amniotomy - but not amniotomy alone. Augmentation referred to the acceleration of labour after 4 cm dilatation. Data were collected for unassisted vaginal birth, instrumental birth including vacuum and forceps, caesarean section including elective (no labour leading to caesarean section) as well as in labour, epidural in the first stage of labour, episiotomy and perineal status following birth. Neonatal factors included multiple birth, gestational age, birth weight, Apgar scores at one and five minutes, resuscitation techniques and admission to special care baby unit or neonatal intensive care nursery. Women having a first baby (at 20 weeks or more of gestation) were analysed separately to those women with a previous birth because of the significant impact of the care and outcome of previous pregnancies on care in multiparous pregnancies. Gestational age was calculated from menstrual dates noted by the woman and usually confirmed in the first trimester through routine ultrasound dating. The group of women identified as the "standard primipara" is defined in the international and Australian literature [26-28] as a 20-34 year old woman, giving birth for the first time, free of obstetric and specific medical complications, with a singleton presenting by the vertex. The infant is of normal weight (10-90th centile for birthweight) and born between 37 and 41 completed weeks of pregnancy. Comparison of intervention rates in this group of women effectively controls for differences in population or case mix between groups [26,27,30]. The cost of care was calculated for all women and controlled for differences in the groups of women in each model by examining the cost for primiparous, multiparous and standard primipara separately. We itemized each hospital occasion of service over one financial year (2009/10). The costing branch at the hospital obtained expenditure data for actual and estimated direct and indirect costs from the various cost centres at the hospital. Direct costs were collected for clinical midwifery and obstetric time; operating rooms; pathology; imaging; wards; allied health; pharmacy; depreciation and direct 'on costs'. Indirect costs included: indirect clinical midwifery and obstetric time; operating rooms; pathology; imaging; wards; allied health; pharmacy and indirect depreciation. (These are standard mechanisms to attribute an average cost per ward per unit time adjusted for complexity, although some costs are directly attributed to the patient such as X‒rays). The costs presented in this paper are based on expenditure data received from the hospital financial system which provides detailed information about the number of services each woman receives during her hospital stay. The costs for all services used by each woman were then aggregated to determine the total patient cost for pregnancy, birth and postnatal stay (from booking visit to 6 weeks postnatally). Perinatal mortality was reported for neonates where death occurred during the first 4 weeks of life in a live born infant regardless of gestation or birth weight per 1000 births [31]. Both early and late neonatal deaths were included in the analysis, because deaths due to events in labour may occur beyond the early neonatal period. The perinatal death rate is defined as fetal deaths (of at least 20 weeks gestation or at least 400 grams birth weight), and all neonatal deaths. Local Human Research Ethics Committee (HREC) approval was obtained (SESIAHS‒NHN N10/220). Analysis Associations between model of care and maternal, infant, and clinical factors were examined by contingency table analyses unless otherwise specified. Congenital anomalies were removed from the denominator. When the numbers of events were small, we used Fisher’s exact test. Total costs for each woman were summarized as medians and means, with 95% confidence intervals for mean differences by group, analysed with ANOVA using STATA 12 [32] and examined separately for primiparous, multiparous and standard primipara. Associations between model of care and maternal, infant, and clinical factors were examined by contingency table analyses unless otherwise specified. Congenital anomalies were removed from the denominator. When the numbers of events were small, we used Fisher’s exact test. Total costs for each woman were summarized as medians and means, with 95% confidence intervals for mean differences by group, analysed with ANOVA using STATA 12 [32] and examined separately for primiparous, multiparous and standard primipara.
Results
We excluded 51 women who were not booked and who were transferred to the hospital under emergency conditions for special medical care from outlying rural districts and 3 women who planned a homebirth and were attended by privately practicing homebirth midwives. This left a sample population of 6,020 women who planned and gave birth at the hospital between 1st July 2009 and the 31st December 2010. There were small but significant demographic differences between women who received care within each of the three maternity models (Table 1). Private obstetricians cared for more women with multiple pregnancies and more women whose infants fell below the 10th centile in birthweight as well as a higher percentage of women older than 35 years (Table 1). MGP midwives cared for women with a small but significantly lower risk profile who gave birth to infants more likely to be in the higher gestational age and birthweight centiles (Table 1). Women under Standard Hospital management were less frequently older than 35 years, more primiparous and with a higher risk profile than either of the other two groups (Table 1). After excluding the 182 women who had a multiple pregnancy 5838 women gave birth to a singleton infant (Table 2) of whom 1,950 (33.4%) women were cared for by MGP; 2655 (45.4%) women had Standard public hospital care and 1233 (21.1%) gave birth in the public hospital under Private Obstetric care (Table 2). Maternal and infant characteristics of all women who gave birth at the teaching hospital, 1 st July 2009-31 st December 2010 Values are in percentages. Unless specifically stated the distribution of these variables is significantly (p <0.001) different between models of care using x2 tests. # Analysis of variance was used to test differences in means across three groups with a Bonferroni correction. Labour and birth outcomes for all women who had a singleton pregnancy ‡Percentages may not add up to 100% if women had induction and augmentation. †Percentages may not add up to 100% if women had no analgesia before CS. Distribution of these factors significantly (p < 0.001) different between models of care using x2 tests unless otherwise specified. #Fishers exact test. Amongst women with a singleton pregnancy (Table 2), those in MGP were significantly more likely to have a spontaneous onset of labour, less analgesia and a higher rate of vaginal birth with a lower admission rate to the neonatal and special care baby units (Table 2). Women with a singleton infant cared for by Private Obstetricians were more likely to have an elective caesarean (32.5%) than MGP (5.7%) or Standard hospital care (17.9%) (p < 0.001), and had a higher rate of epidural in the first stage of labour (37.6 versus 27.8) (p < 0.001) and a higher rate of episiotomy (31.4%) than MGP (11.6%) or Standard care (21.3%)(p < 0.001) (Table 2). During the time of the study there were 1,379 (22.9%) women whom we described as the standard primipara (Table 3). Standard primiparae under MGP were significantly more likely to have a spontaneous onset of labour, experience an unassisted vaginal birth, and a lower rate of elective caesarean (1.6%) compared to Standard care (5.3%) and Private obstetric care (17.2%) p < 0.001 (Table 3). Birth outcomes for the 'standard primipara' associated with MGP, standard and private obstetric care Public hospital costs calculated for the 4,038 women who received care within the three groups over one financial year are shown in Table 4. The average cost per woman per year receiving MGP care was $3,904.64. This was $1935.00 (95% CI $1,625.1‒$2,245.40) less than the woman receiving Standard care, and $1,394.88 (95% CI $1,019.90 ‒ $1,769.80) less than the woman receiving Private obstetric care (Table 4) (p < 0.001). (Note: this analysis does not include other costs to the taxpayer outside the public hospital system such as Medicare funding which is incurred by women receiving Private obstetric care or general practitioner shared care who receive antenatal care outside of the public hospital system.) The actual costs from the hospital perspective are further categorised for the care of primiparous women, multiparous women and the standard primipara showing mean, median, range, interquartile range and mean difference in costs (Table 4). Cost per woman from the public hospital perspective for one financial year 2009/10 in Australian dollars *p < 0.001. IQR = Inter quartile range. MGP = Midwifery group Practice; SC = Standard Care; POC = Private Obstetric Care. (Note total population N = 4,038). The characteristics of each model of care are outlined in Table 5. Factors differentiating midwifery and obstetric care in each model
Conclusion
The Australian public are generally unaware of the association with model of care and birth outcomes. The latest Cochrane systematic review found that women who received continued care throughout pregnancy and birth from a small group of midwives were less likely to give birth pre-term and required fewer interventions during labour and birth than when their care was shared between different obstetricians, GPs and midwives [19]. Frequently the increased intervention rate within the private sector in Australia has been apportioned to the ‘higher risk’ population that seeks this care. By comparing a standardised low risk population: the standard primipara, we have shown that this may not be the case and that a level of unexplained variation exists in the care of maternity patients. Furthermore the results of this study demonstrate how cost reduction can be achieved through a radical system change in the way midwifery services are provided. A hypothetical scenario of the closure of two MGPs (320 women per annum) would increase the average cost of care at our hospital by $619.267.20 per year ($95% CI 520,032.00 ‒ 718,580.00). Childbirth is the single most important reason for hospitalisation and accounts for the highest number of occupied bed days [34]; however, the current structure of our maternity system makes it challenging to deliver value for money. Financing arrangements, combined with the traditional case mix approach to public hospital funding, direct maternity care in Australia towards an acute care setting that uses specialist care and limits the role of midwives [35]. Large cost differences among women receiving care for similar conditions reveal additional opportunities for cost reduction [2,16]. Midwifery group practice models could play a major role in the future reducing the public health burden by increasing normal outcomes and promoting more efficient use of funds.
[ "Background", "Analysis", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "Australia's national caesarean section rate of 30.8% in 2011 sits above the OECD average of 25.8% of births [1] and well outside the World Health Organisation (WHO) recommendation of 15% [2]. This rate is increasing in both the public and private sectors in Australia, but continues to show a significant degree of unexplained clinical variation [3] and be substantially higher in the private sector [4-6].\nIn addition to the potential long term morbidity following caesarean section [7-10], operative birth incurs a measurable increase in cost [11,12], and an unquantified burden on the health system through pressure on resources such as staff and operating theatres [13]. The apparent inevitability of a rising caesarean rate due to the broadening indications for a primary caesarean is driving worldwide interest to find ways to address the issue [14].\nMany countries have responded to this perceived public health concern with policies designed to promote a lower rate of operative birth and increase the rate of normal vaginal birth. In the US, the Healthy People 2020 reports a national objective to reduce caesarean births among low risk first time mothers at full-term by 10% to 23.9 percent over the next ten years [15]. Similar policies have been promoted in the UK [16,17]. In New South Wales, Australia the 'Towards Normal Birth' policy directive was launched with the explicit aim of increasing the vaginal birth rate and decreasing the caesarean section rate [18].\nAt our tertiary hospital in New South Wales we introduced caseload midwifery care with a view to altering the caesarean section rate.\nThe latest Cochrane systematic review of midwife led care [19] recommends providing midwife led models of care to women in view of their known effectiveness, with a caveat that women who have complex pregnancies proceed with caution. However a randomised controlled trial of caseload midwifery care recently published in the Lancet concluded that for women of all risk caseload midwifery care costs less with similar clinical outcomes [20]. That study argued that caseload midwifery appeared to alter some of the pathways that recurrently contribute to increased obstetric intervention, working on the assumption that women will labour more effectively, need to stay in hospital less time and feel a stronger sense of satisfaction and personal control if they have the opportunity to get to know their midwife at the beginning of pregnancy.\nThe current project was also set in an Australian context with a similar population to that recently described in the randomised controlled trial of caseload care published in The Lancet [20]. The current study differed from the trial in that women were able to choose to have caseload care or standard care rather than be randomised to either model. In addition we also included in this analysis a third group of women – those who choose to receive private obstetric care in the public hospital.\nCaseload midwifery offers greater relationship continuity, by ensuring that childbearing women receive their ante, intra and postnatal care from one midwife or her/his practice partner [21]. The evaluation of One-to-One Midwifery practice in the UK showed that continuity of carer could improve women’s satisfaction with their care, give midwives greater job satisfaction, increase their autonomy, and reduce intervention rates [22,23].\nIn a clinical redesign of maternity services in 2008 [24], we implemented nine caseload midwifery group practices (MGP) with the aim of providing continuity of midwifery care to women regardless of their risk status at booking. Prior to this there were two main maternity models on offer at the hospital - standard public hospital care or private obstetric care in the public hospital. At the outset we planned to evaluate the introduction of caseload through comparing the new model with both the cost and clinical outcomes of all women who received maternity care at the hospital during the study time period.\nCaseload care in our setting is characterised by midwives arranged in formally recognised group practices of four midwives who undertake the midwifery management and responsibility for the continuum of care through pregnancy, birth and postpartum for a specified caseload of women [23]. The 'named' midwife provides leadership in midwifery care within her scope of practice with arrangements between partner members of the midwifery group practice to provide cover for leave and time off. Consultation and referral occurs as necessary using the Australian Midwifery Consultation and Referral Guidelines [25]. Collaborative practice is encouraged between the MGP midwives and a nominated consultant obstetrician or with other medical colleagues. Unlike other midwifery models such as team or birth centre care there is no limitation to only care for women deemed to be 'low risk'. In addition to this the MGP midwives experience a level of flexibility through their annualised salary contracts which allows them to self-manage their work hours in response to individual woman's needs rather than the ward roster system.\nIn the Standard Care model women receive their care from rostered midwives in discrete wards or clinics; public hospital obstetric care (staff and trainee obstetricians) and community based general medical practitioner care. In the Private Obstetric model women pay for the services of a private obstetrician and receive private antenatal care in the rooms of their obstetrician. During labour and birth management decisions are made by the private obstetrician. Women are cared for in the hospital ward or clinic setting by the rostered midwives and obstetric trainees who provide the routine or standard public hospital care. Midwifery care in all three models is funded through state based revenue via the acute health services budget funding for public hospitals.\nFollowing the introduction of Midwifery Group Practice at our hospital we undertook a cross sectional study to examine both the cost of each model of care from the standpoint of the public health system and the maternal and infant outcomes. There has not been an economic analysis of the three models of care available in the Australian public hospital setting to date.\nThe population included all women who gave birth at the metropolitan teaching hospital between 1st July 2009 and 31st December 2010. In an effort to make a more meaningful comparison between the three different models of care we examined more closely a sub group of the population known as the 'standard primipara' [26-28] similar to that reported recently by Coulm et al. [29] in France. These women were considered low‒risk at the time of birth and were having their first baby. We examined the outcomes of each option for maternity care available to all women, and in particular to those described as the 'standard primipara'. The primary outcomes were the mode of birth defined as caesarean section, instrumental birth or unassisted vaginal birth; and the cost associated with providing this care per woman from the standpoint of the public hospital over one financial year 2009/10.", "Associations between model of care and maternal, infant, and clinical factors were examined by contingency table analyses unless otherwise specified.\nCongenital anomalies were removed from the denominator. When the numbers of events were small, we used Fisher’s exact test. Total costs for each woman were summarized as medians and means, with 95% confidence intervals for mean differences by group, analysed with ANOVA using STATA 12 [32] and examined separately for primiparous, multiparous and standard primipara.", "The authors declare that they have no competing interests.", "ST was responsible for the conceptual design of the study, drafted the manuscript and gave final approval of the version to be published. DH, AW, AB, AL and JW participated in the design of the study; helped draft the manuscript and participated in the day to day management and coordination of the study. MT participated in the study design; helped draft the manuscript performed the statistical analysis. JW is the overall manager of the midwifery group practices and participated in the study. BH participated in the design of the study; helped draft the manuscript and undertook the cost data linkages. All authors read and approved the final manuscript.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2393/14/46/prepub\n" ]
[ null, null, null, null, null ]
[ "Background", "Methods", "Analysis", "Results", "Discussion", "Conclusion", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "Australia's national caesarean section rate of 30.8% in 2011 sits above the OECD average of 25.8% of births [1] and well outside the World Health Organisation (WHO) recommendation of 15% [2]. This rate is increasing in both the public and private sectors in Australia, but continues to show a significant degree of unexplained clinical variation [3] and be substantially higher in the private sector [4-6].\nIn addition to the potential long term morbidity following caesarean section [7-10], operative birth incurs a measurable increase in cost [11,12], and an unquantified burden on the health system through pressure on resources such as staff and operating theatres [13]. The apparent inevitability of a rising caesarean rate due to the broadening indications for a primary caesarean is driving worldwide interest to find ways to address the issue [14].\nMany countries have responded to this perceived public health concern with policies designed to promote a lower rate of operative birth and increase the rate of normal vaginal birth. In the US, the Healthy People 2020 reports a national objective to reduce caesarean births among low risk first time mothers at full-term by 10% to 23.9 percent over the next ten years [15]. Similar policies have been promoted in the UK [16,17]. In New South Wales, Australia the 'Towards Normal Birth' policy directive was launched with the explicit aim of increasing the vaginal birth rate and decreasing the caesarean section rate [18].\nAt our tertiary hospital in New South Wales we introduced caseload midwifery care with a view to altering the caesarean section rate.\nThe latest Cochrane systematic review of midwife led care [19] recommends providing midwife led models of care to women in view of their known effectiveness, with a caveat that women who have complex pregnancies proceed with caution. However a randomised controlled trial of caseload midwifery care recently published in the Lancet concluded that for women of all risk caseload midwifery care costs less with similar clinical outcomes [20]. That study argued that caseload midwifery appeared to alter some of the pathways that recurrently contribute to increased obstetric intervention, working on the assumption that women will labour more effectively, need to stay in hospital less time and feel a stronger sense of satisfaction and personal control if they have the opportunity to get to know their midwife at the beginning of pregnancy.\nThe current project was also set in an Australian context with a similar population to that recently described in the randomised controlled trial of caseload care published in The Lancet [20]. The current study differed from the trial in that women were able to choose to have caseload care or standard care rather than be randomised to either model. In addition we also included in this analysis a third group of women – those who choose to receive private obstetric care in the public hospital.\nCaseload midwifery offers greater relationship continuity, by ensuring that childbearing women receive their ante, intra and postnatal care from one midwife or her/his practice partner [21]. The evaluation of One-to-One Midwifery practice in the UK showed that continuity of carer could improve women’s satisfaction with their care, give midwives greater job satisfaction, increase their autonomy, and reduce intervention rates [22,23].\nIn a clinical redesign of maternity services in 2008 [24], we implemented nine caseload midwifery group practices (MGP) with the aim of providing continuity of midwifery care to women regardless of their risk status at booking. Prior to this there were two main maternity models on offer at the hospital - standard public hospital care or private obstetric care in the public hospital. At the outset we planned to evaluate the introduction of caseload through comparing the new model with both the cost and clinical outcomes of all women who received maternity care at the hospital during the study time period.\nCaseload care in our setting is characterised by midwives arranged in formally recognised group practices of four midwives who undertake the midwifery management and responsibility for the continuum of care through pregnancy, birth and postpartum for a specified caseload of women [23]. The 'named' midwife provides leadership in midwifery care within her scope of practice with arrangements between partner members of the midwifery group practice to provide cover for leave and time off. Consultation and referral occurs as necessary using the Australian Midwifery Consultation and Referral Guidelines [25]. Collaborative practice is encouraged between the MGP midwives and a nominated consultant obstetrician or with other medical colleagues. Unlike other midwifery models such as team or birth centre care there is no limitation to only care for women deemed to be 'low risk'. In addition to this the MGP midwives experience a level of flexibility through their annualised salary contracts which allows them to self-manage their work hours in response to individual woman's needs rather than the ward roster system.\nIn the Standard Care model women receive their care from rostered midwives in discrete wards or clinics; public hospital obstetric care (staff and trainee obstetricians) and community based general medical practitioner care. In the Private Obstetric model women pay for the services of a private obstetrician and receive private antenatal care in the rooms of their obstetrician. During labour and birth management decisions are made by the private obstetrician. Women are cared for in the hospital ward or clinic setting by the rostered midwives and obstetric trainees who provide the routine or standard public hospital care. Midwifery care in all three models is funded through state based revenue via the acute health services budget funding for public hospitals.\nFollowing the introduction of Midwifery Group Practice at our hospital we undertook a cross sectional study to examine both the cost of each model of care from the standpoint of the public health system and the maternal and infant outcomes. There has not been an economic analysis of the three models of care available in the Australian public hospital setting to date.\nThe population included all women who gave birth at the metropolitan teaching hospital between 1st July 2009 and 31st December 2010. In an effort to make a more meaningful comparison between the three different models of care we examined more closely a sub group of the population known as the 'standard primipara' [26-28] similar to that reported recently by Coulm et al. [29] in France. These women were considered low‒risk at the time of birth and were having their first baby. We examined the outcomes of each option for maternity care available to all women, and in particular to those described as the 'standard primipara'. The primary outcomes were the mode of birth defined as caesarean section, instrumental birth or unassisted vaginal birth; and the cost associated with providing this care per woman from the standpoint of the public hospital over one financial year 2009/10.", "The study population included all women who gave birth at a large metropolitan tertiary teaching hospital between the 1st July 2009 and the 31st December 2010. Data were entered into the Obstetrix hospital data system by the attending midwife and electronically collated and checked by the research midwives. For missing data and data that were not credible the notes were checked manually. Maternal factors available for analysis were age, parity, medical conditions (any or none reported), and obstetric complications (any or none reported) as well as mental health disorders. Labour onset was described as spontaneous, induced or none (where an elective caesarean was performed). Induction was achieved through the use of drugs or mechanical means (Foley catheter) plus amniotomy - but not amniotomy alone. Augmentation referred to the acceleration of labour after 4 cm dilatation. Data were collected for unassisted vaginal birth, instrumental birth including vacuum and forceps, caesarean section including elective (no labour leading to caesarean section) as well as in labour, epidural in the first stage of labour, episiotomy and perineal status following birth. Neonatal factors included multiple birth, gestational age, birth weight, Apgar scores at one and five minutes, resuscitation techniques and admission to special care baby unit or neonatal intensive care nursery. Women having a first baby (at 20 weeks or more of gestation) were analysed separately to those women with a previous birth because of the significant impact of the care and outcome of previous pregnancies on care in multiparous pregnancies. Gestational age was calculated from menstrual dates noted by the woman and usually confirmed in the first trimester through routine ultrasound dating.\nThe group of women identified as the \"standard primipara\" is defined in the international and Australian literature [26-28] as a 20-34 year old woman, giving birth for the first time, free of obstetric and specific medical complications, with a singleton presenting by the vertex. The infant is of normal weight (10-90th centile for birthweight) and born between 37 and 41 completed weeks of pregnancy. Comparison of intervention rates in this group of women effectively controls for differences in population or case mix between groups [26,27,30].\nThe cost of care was calculated for all women and controlled for differences in the groups of women in each model by examining the cost for primiparous, multiparous and standard primipara separately. We itemized each hospital occasion of service over one financial year (2009/10). The costing branch at the hospital obtained expenditure data for actual and estimated direct and indirect costs from the various cost centres at the hospital. Direct costs were collected for clinical midwifery and obstetric time; operating rooms; pathology; imaging; wards; allied health; pharmacy; depreciation and direct 'on costs'. Indirect costs included: indirect clinical midwifery and obstetric time; operating rooms; pathology; imaging; wards; allied health; pharmacy and indirect depreciation. (These are standard mechanisms to attribute an average cost per ward per unit time adjusted for complexity, although some costs are directly attributed to the patient such as X‒rays). The costs presented in this paper are based on expenditure data received from the hospital financial system which provides detailed information about the number of services each woman receives during her hospital stay. The costs for all services used by each woman were then aggregated to determine the total patient cost for pregnancy, birth and postnatal stay (from booking visit to 6 weeks postnatally).\nPerinatal mortality was reported for neonates where death occurred during the first 4 weeks of life in a live born infant regardless of gestation or birth weight per 1000 births [31]. Both early and late neonatal deaths were included in the analysis, because deaths due to events in labour may occur beyond the early neonatal period. The perinatal death rate is defined as fetal deaths (of at least 20 weeks gestation or at least 400 grams birth weight), and all neonatal deaths.\nLocal Human Research Ethics Committee (HREC) approval was obtained (SESIAHS‒NHN N10/220).\n Analysis Associations between model of care and maternal, infant, and clinical factors were examined by contingency table analyses unless otherwise specified.\nCongenital anomalies were removed from the denominator. When the numbers of events were small, we used Fisher’s exact test. Total costs for each woman were summarized as medians and means, with 95% confidence intervals for mean differences by group, analysed with ANOVA using STATA 12 [32] and examined separately for primiparous, multiparous and standard primipara.\nAssociations between model of care and maternal, infant, and clinical factors were examined by contingency table analyses unless otherwise specified.\nCongenital anomalies were removed from the denominator. When the numbers of events were small, we used Fisher’s exact test. Total costs for each woman were summarized as medians and means, with 95% confidence intervals for mean differences by group, analysed with ANOVA using STATA 12 [32] and examined separately for primiparous, multiparous and standard primipara.", "Associations between model of care and maternal, infant, and clinical factors were examined by contingency table analyses unless otherwise specified.\nCongenital anomalies were removed from the denominator. When the numbers of events were small, we used Fisher’s exact test. Total costs for each woman were summarized as medians and means, with 95% confidence intervals for mean differences by group, analysed with ANOVA using STATA 12 [32] and examined separately for primiparous, multiparous and standard primipara.", "We excluded 51 women who were not booked and who were transferred to the hospital under emergency conditions for special medical care from outlying rural districts and 3 women who planned a homebirth and were attended by privately practicing homebirth midwives. This left a sample population of 6,020 women who planned and gave birth at the hospital between 1st July 2009 and the 31st December 2010. There were small but significant demographic differences between women who received care within each of the three maternity models (Table 1). Private obstetricians cared for more women with multiple pregnancies and more women whose infants fell below the 10th centile in birthweight as well as a higher percentage of women older than 35 years (Table 1). MGP midwives cared for women with a small but significantly lower risk profile who gave birth to infants more likely to be in the higher gestational age and birthweight centiles (Table 1). Women under Standard Hospital management were less frequently older than 35 years, more primiparous and with a higher risk profile than either of the other two groups (Table 1). After excluding the 182 women who had a multiple pregnancy 5838 women gave birth to a singleton infant (Table 2) of whom 1,950 (33.4%) women were cared for by MGP; 2655 (45.4%) women had Standard public hospital care and 1233 (21.1%) gave birth in the public hospital under Private Obstetric care (Table 2).\n\nMaternal and infant characteristics of all women who gave birth at the teaching hospital, 1\n\nst \n\nJuly 2009-31\n\nst \n\nDecember 2010\n\nValues are in percentages.\nUnless specifically stated the distribution of these variables is significantly (p <0.001) different between models of care using x2 tests.\n# Analysis of variance was used to test differences in means across three groups with a Bonferroni correction.\nLabour and birth outcomes for all women who had a singleton pregnancy\n‡Percentages may not add up to 100% if women had induction and augmentation.\n†Percentages may not add up to 100% if women had no analgesia before CS.\nDistribution of these factors significantly (p < 0.001) different between models of care using x2 tests unless otherwise specified.\n#Fishers exact test.\nAmongst women with a singleton pregnancy (Table 2), those in MGP were significantly more likely to have a spontaneous onset of labour, less analgesia and a higher rate of vaginal birth with a lower admission rate to the neonatal and special care baby units (Table 2). Women with a singleton infant cared for by Private Obstetricians were more likely to have an elective caesarean (32.5%) than MGP (5.7%) or Standard hospital care (17.9%) (p < 0.001), and had a higher rate of epidural in the first stage of labour (37.6 versus 27.8) (p < 0.001) and a higher rate of episiotomy (31.4%) than MGP (11.6%) or Standard care (21.3%)(p < 0.001) (Table 2).\nDuring the time of the study there were 1,379 (22.9%) women whom we described as the standard primipara (Table 3). Standard primiparae under MGP were significantly more likely to have a spontaneous onset of labour, experience an unassisted vaginal birth, and a lower rate of elective caesarean (1.6%) compared to Standard care (5.3%) and Private obstetric care (17.2%) p < 0.001 (Table 3).\n\nBirth outcomes for the \n\n'standard primipara' \n\nassociated with MGP, standard and private obstetric care\n\nPublic hospital costs calculated for the 4,038 women who received care within the three groups over one financial year are shown in Table 4. The average cost per woman per year receiving MGP care was $3,904.64. This was $1935.00 (95% CI $1,625.1‒$2,245.40) less than the woman receiving Standard care, and $1,394.88 (95% CI $1,019.90 ‒ $1,769.80) less than the woman receiving Private obstetric care (Table 4) (p < 0.001). (Note: this analysis does not include other costs to the taxpayer outside the public hospital system such as Medicare funding which is incurred by women receiving Private obstetric care or general practitioner shared care who receive antenatal care outside of the public hospital system.) The actual costs from the hospital perspective are further categorised for the care of primiparous women, multiparous women and the standard primipara showing mean, median, range, interquartile range and mean difference in costs (Table 4).\nCost per woman from the public hospital perspective for one financial year 2009/10 in Australian dollars\n*p < 0.001.\nIQR = Inter quartile range.\nMGP = Midwifery group Practice; SC = Standard Care; POC = Private Obstetric Care.\n(Note total population N = 4,038).\nThe characteristics of each model of care are outlined in Table 5.\nFactors differentiating midwifery and obstetric care in each model", "This small single centre cross sectional study found that MGP care is associated with significantly higher rates of 'normal birth' and a seemingly more cost effective method of delivering maternity care. This study is the first to compare cost and outcomes in the public hospital system in Australia associated with the three dominant models of care in large metropolitan centres. Factors that contributed to a lower cost were the increased rate of vaginal birth with fewer epidurals in the first stage of labour; lower rates of elective caesarean section, induction of labour, episiotomy and shorter postnatal lengths of stay.\nThe study is limited by size and selection bias where those women who chose MGP care may have a stronger commitment to achieving a normal vaginal birth outcome. However, in Australia as in other industrialised countries, women are positioned as self‒governing and autonomous consumers able to 'choose' what they consider their best option of care [33]. The introduction of MGP in the public hospital system could be seen as a further enhancement to women's choice and one that has the potential to provide the best market value for money in terms of public hospital funding. The study found an association between MGP care and fewer caesarean sections amongst women without complex pregnancies and having a first baby. Although these associations cannot be considered causal, information such as this is important for first time mothers for whom a first caesarean section so clearly establishes the direction of future pregnancy outcome [34]. To achieve a sustainable level of flexibility MGP midwives work within group practices of four midwives employed under a state approved annualised salary package which includes a 29% loading that provides an on-call allowance. They are required to work a cycle of 152 hours over a four week time period and do not work in excess of twelve consecutive hours in any twenty‒four hour period (24). MGP midwives may arrange their on call for alternate nights and weekends; or other configurations that are mutually agreed within the group practice. An integral factor in this model is the strong collaborative relationship between the MGP midwives and a nominated consultant obstetrician. Referral to medical or other services occurs as necessary using the Australian National Midwifery Consultation and Referral Guidelines [25].", "The Australian public are generally unaware of the association with model of care and birth outcomes. The latest Cochrane systematic review found that women who received continued care throughout pregnancy and birth from a small group of midwives were less likely to give birth pre-term and required fewer interventions during labour and birth than when their care was shared between different obstetricians, GPs and midwives [19]. Frequently the increased intervention rate within the private sector in Australia has been apportioned to the ‘higher risk’ population that seeks this care. By comparing a standardised low risk population: the standard primipara, we have shown that this may not be the case and that a level of unexplained variation exists in the care of maternity patients. Furthermore the results of this study demonstrate how cost reduction can be achieved through a radical system change in the way midwifery services are provided. A hypothetical scenario of the closure of two MGPs (320 women per annum) would increase the average cost of care at our hospital by $619.267.20 per year ($95% CI 520,032.00 ‒ 718,580.00).\nChildbirth is the single most important reason for hospitalisation and accounts for the highest number of occupied bed days [34]; however, the current structure of our maternity system makes it challenging to deliver value for money. Financing arrangements, combined with the traditional case mix approach to public hospital funding, direct maternity care in Australia towards an acute care setting that uses specialist care and limits the role of midwives [35]. Large cost differences among women receiving care for similar conditions reveal additional opportunities for cost reduction [2,16]. Midwifery group practice models could play a major role in the future reducing the public health burden by increasing normal outcomes and promoting more efficient use of funds.", "The authors declare that they have no competing interests.", "ST was responsible for the conceptual design of the study, drafted the manuscript and gave final approval of the version to be published. DH, AW, AB, AL and JW participated in the design of the study; helped draft the manuscript and participated in the day to day management and coordination of the study. MT participated in the study design; helped draft the manuscript performed the statistical analysis. JW is the overall manager of the midwifery group practices and participated in the study. BH participated in the design of the study; helped draft the manuscript and undertook the cost data linkages. All authors read and approved the final manuscript.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2393/14/46/prepub\n" ]
[ null, "methods", null, "results", "discussion", "conclusions", null, null, null ]
[ "Midwifery group practice", "Cost of caseload", "Private obstetrics" ]
Background: Australia's national caesarean section rate of 30.8% in 2011 sits above the OECD average of 25.8% of births [1] and well outside the World Health Organisation (WHO) recommendation of 15% [2]. This rate is increasing in both the public and private sectors in Australia, but continues to show a significant degree of unexplained clinical variation [3] and be substantially higher in the private sector [4-6]. In addition to the potential long term morbidity following caesarean section [7-10], operative birth incurs a measurable increase in cost [11,12], and an unquantified burden on the health system through pressure on resources such as staff and operating theatres [13]. The apparent inevitability of a rising caesarean rate due to the broadening indications for a primary caesarean is driving worldwide interest to find ways to address the issue [14]. Many countries have responded to this perceived public health concern with policies designed to promote a lower rate of operative birth and increase the rate of normal vaginal birth. In the US, the Healthy People 2020 reports a national objective to reduce caesarean births among low risk first time mothers at full-term by 10% to 23.9 percent over the next ten years [15]. Similar policies have been promoted in the UK [16,17]. In New South Wales, Australia the 'Towards Normal Birth' policy directive was launched with the explicit aim of increasing the vaginal birth rate and decreasing the caesarean section rate [18]. At our tertiary hospital in New South Wales we introduced caseload midwifery care with a view to altering the caesarean section rate. The latest Cochrane systematic review of midwife led care [19] recommends providing midwife led models of care to women in view of their known effectiveness, with a caveat that women who have complex pregnancies proceed with caution. However a randomised controlled trial of caseload midwifery care recently published in the Lancet concluded that for women of all risk caseload midwifery care costs less with similar clinical outcomes [20]. That study argued that caseload midwifery appeared to alter some of the pathways that recurrently contribute to increased obstetric intervention, working on the assumption that women will labour more effectively, need to stay in hospital less time and feel a stronger sense of satisfaction and personal control if they have the opportunity to get to know their midwife at the beginning of pregnancy. The current project was also set in an Australian context with a similar population to that recently described in the randomised controlled trial of caseload care published in The Lancet [20]. The current study differed from the trial in that women were able to choose to have caseload care or standard care rather than be randomised to either model. In addition we also included in this analysis a third group of women – those who choose to receive private obstetric care in the public hospital. Caseload midwifery offers greater relationship continuity, by ensuring that childbearing women receive their ante, intra and postnatal care from one midwife or her/his practice partner [21]. The evaluation of One-to-One Midwifery practice in the UK showed that continuity of carer could improve women’s satisfaction with their care, give midwives greater job satisfaction, increase their autonomy, and reduce intervention rates [22,23]. In a clinical redesign of maternity services in 2008 [24], we implemented nine caseload midwifery group practices (MGP) with the aim of providing continuity of midwifery care to women regardless of their risk status at booking. Prior to this there were two main maternity models on offer at the hospital - standard public hospital care or private obstetric care in the public hospital. At the outset we planned to evaluate the introduction of caseload through comparing the new model with both the cost and clinical outcomes of all women who received maternity care at the hospital during the study time period. Caseload care in our setting is characterised by midwives arranged in formally recognised group practices of four midwives who undertake the midwifery management and responsibility for the continuum of care through pregnancy, birth and postpartum for a specified caseload of women [23]. The 'named' midwife provides leadership in midwifery care within her scope of practice with arrangements between partner members of the midwifery group practice to provide cover for leave and time off. Consultation and referral occurs as necessary using the Australian Midwifery Consultation and Referral Guidelines [25]. Collaborative practice is encouraged between the MGP midwives and a nominated consultant obstetrician or with other medical colleagues. Unlike other midwifery models such as team or birth centre care there is no limitation to only care for women deemed to be 'low risk'. In addition to this the MGP midwives experience a level of flexibility through their annualised salary contracts which allows them to self-manage their work hours in response to individual woman's needs rather than the ward roster system. In the Standard Care model women receive their care from rostered midwives in discrete wards or clinics; public hospital obstetric care (staff and trainee obstetricians) and community based general medical practitioner care. In the Private Obstetric model women pay for the services of a private obstetrician and receive private antenatal care in the rooms of their obstetrician. During labour and birth management decisions are made by the private obstetrician. Women are cared for in the hospital ward or clinic setting by the rostered midwives and obstetric trainees who provide the routine or standard public hospital care. Midwifery care in all three models is funded through state based revenue via the acute health services budget funding for public hospitals. Following the introduction of Midwifery Group Practice at our hospital we undertook a cross sectional study to examine both the cost of each model of care from the standpoint of the public health system and the maternal and infant outcomes. There has not been an economic analysis of the three models of care available in the Australian public hospital setting to date. The population included all women who gave birth at the metropolitan teaching hospital between 1st July 2009 and 31st December 2010. In an effort to make a more meaningful comparison between the three different models of care we examined more closely a sub group of the population known as the 'standard primipara' [26-28] similar to that reported recently by Coulm et al. [29] in France. These women were considered low‒risk at the time of birth and were having their first baby. We examined the outcomes of each option for maternity care available to all women, and in particular to those described as the 'standard primipara'. The primary outcomes were the mode of birth defined as caesarean section, instrumental birth or unassisted vaginal birth; and the cost associated with providing this care per woman from the standpoint of the public hospital over one financial year 2009/10. Methods: The study population included all women who gave birth at a large metropolitan tertiary teaching hospital between the 1st July 2009 and the 31st December 2010. Data were entered into the Obstetrix hospital data system by the attending midwife and electronically collated and checked by the research midwives. For missing data and data that were not credible the notes were checked manually. Maternal factors available for analysis were age, parity, medical conditions (any or none reported), and obstetric complications (any or none reported) as well as mental health disorders. Labour onset was described as spontaneous, induced or none (where an elective caesarean was performed). Induction was achieved through the use of drugs or mechanical means (Foley catheter) plus amniotomy - but not amniotomy alone. Augmentation referred to the acceleration of labour after 4 cm dilatation. Data were collected for unassisted vaginal birth, instrumental birth including vacuum and forceps, caesarean section including elective (no labour leading to caesarean section) as well as in labour, epidural in the first stage of labour, episiotomy and perineal status following birth. Neonatal factors included multiple birth, gestational age, birth weight, Apgar scores at one and five minutes, resuscitation techniques and admission to special care baby unit or neonatal intensive care nursery. Women having a first baby (at 20 weeks or more of gestation) were analysed separately to those women with a previous birth because of the significant impact of the care and outcome of previous pregnancies on care in multiparous pregnancies. Gestational age was calculated from menstrual dates noted by the woman and usually confirmed in the first trimester through routine ultrasound dating. The group of women identified as the "standard primipara" is defined in the international and Australian literature [26-28] as a 20-34 year old woman, giving birth for the first time, free of obstetric and specific medical complications, with a singleton presenting by the vertex. The infant is of normal weight (10-90th centile for birthweight) and born between 37 and 41 completed weeks of pregnancy. Comparison of intervention rates in this group of women effectively controls for differences in population or case mix between groups [26,27,30]. The cost of care was calculated for all women and controlled for differences in the groups of women in each model by examining the cost for primiparous, multiparous and standard primipara separately. We itemized each hospital occasion of service over one financial year (2009/10). The costing branch at the hospital obtained expenditure data for actual and estimated direct and indirect costs from the various cost centres at the hospital. Direct costs were collected for clinical midwifery and obstetric time; operating rooms; pathology; imaging; wards; allied health; pharmacy; depreciation and direct 'on costs'. Indirect costs included: indirect clinical midwifery and obstetric time; operating rooms; pathology; imaging; wards; allied health; pharmacy and indirect depreciation. (These are standard mechanisms to attribute an average cost per ward per unit time adjusted for complexity, although some costs are directly attributed to the patient such as X‒rays). The costs presented in this paper are based on expenditure data received from the hospital financial system which provides detailed information about the number of services each woman receives during her hospital stay. The costs for all services used by each woman were then aggregated to determine the total patient cost for pregnancy, birth and postnatal stay (from booking visit to 6 weeks postnatally). Perinatal mortality was reported for neonates where death occurred during the first 4 weeks of life in a live born infant regardless of gestation or birth weight per 1000 births [31]. Both early and late neonatal deaths were included in the analysis, because deaths due to events in labour may occur beyond the early neonatal period. The perinatal death rate is defined as fetal deaths (of at least 20 weeks gestation or at least 400 grams birth weight), and all neonatal deaths. Local Human Research Ethics Committee (HREC) approval was obtained (SESIAHS‒NHN N10/220). Analysis Associations between model of care and maternal, infant, and clinical factors were examined by contingency table analyses unless otherwise specified. Congenital anomalies were removed from the denominator. When the numbers of events were small, we used Fisher’s exact test. Total costs for each woman were summarized as medians and means, with 95% confidence intervals for mean differences by group, analysed with ANOVA using STATA 12 [32] and examined separately for primiparous, multiparous and standard primipara. Associations between model of care and maternal, infant, and clinical factors were examined by contingency table analyses unless otherwise specified. Congenital anomalies were removed from the denominator. When the numbers of events were small, we used Fisher’s exact test. Total costs for each woman were summarized as medians and means, with 95% confidence intervals for mean differences by group, analysed with ANOVA using STATA 12 [32] and examined separately for primiparous, multiparous and standard primipara. Analysis: Associations between model of care and maternal, infant, and clinical factors were examined by contingency table analyses unless otherwise specified. Congenital anomalies were removed from the denominator. When the numbers of events were small, we used Fisher’s exact test. Total costs for each woman were summarized as medians and means, with 95% confidence intervals for mean differences by group, analysed with ANOVA using STATA 12 [32] and examined separately for primiparous, multiparous and standard primipara. Results: We excluded 51 women who were not booked and who were transferred to the hospital under emergency conditions for special medical care from outlying rural districts and 3 women who planned a homebirth and were attended by privately practicing homebirth midwives. This left a sample population of 6,020 women who planned and gave birth at the hospital between 1st July 2009 and the 31st December 2010. There were small but significant demographic differences between women who received care within each of the three maternity models (Table 1). Private obstetricians cared for more women with multiple pregnancies and more women whose infants fell below the 10th centile in birthweight as well as a higher percentage of women older than 35 years (Table 1). MGP midwives cared for women with a small but significantly lower risk profile who gave birth to infants more likely to be in the higher gestational age and birthweight centiles (Table 1). Women under Standard Hospital management were less frequently older than 35 years, more primiparous and with a higher risk profile than either of the other two groups (Table 1). After excluding the 182 women who had a multiple pregnancy 5838 women gave birth to a singleton infant (Table 2) of whom 1,950 (33.4%) women were cared for by MGP; 2655 (45.4%) women had Standard public hospital care and 1233 (21.1%) gave birth in the public hospital under Private Obstetric care (Table 2). Maternal and infant characteristics of all women who gave birth at the teaching hospital, 1 st July 2009-31 st December 2010 Values are in percentages. Unless specifically stated the distribution of these variables is significantly (p <0.001) different between models of care using x2 tests. # Analysis of variance was used to test differences in means across three groups with a Bonferroni correction. Labour and birth outcomes for all women who had a singleton pregnancy ‡Percentages may not add up to 100% if women had induction and augmentation. †Percentages may not add up to 100% if women had no analgesia before CS. Distribution of these factors significantly (p < 0.001) different between models of care using x2 tests unless otherwise specified. #Fishers exact test. Amongst women with a singleton pregnancy (Table 2), those in MGP were significantly more likely to have a spontaneous onset of labour, less analgesia and a higher rate of vaginal birth with a lower admission rate to the neonatal and special care baby units (Table 2). Women with a singleton infant cared for by Private Obstetricians were more likely to have an elective caesarean (32.5%) than MGP (5.7%) or Standard hospital care (17.9%) (p < 0.001), and had a higher rate of epidural in the first stage of labour (37.6 versus 27.8) (p < 0.001) and a higher rate of episiotomy (31.4%) than MGP (11.6%) or Standard care (21.3%)(p < 0.001) (Table 2). During the time of the study there were 1,379 (22.9%) women whom we described as the standard primipara (Table 3). Standard primiparae under MGP were significantly more likely to have a spontaneous onset of labour, experience an unassisted vaginal birth, and a lower rate of elective caesarean (1.6%) compared to Standard care (5.3%) and Private obstetric care (17.2%) p < 0.001 (Table 3). Birth outcomes for the 'standard primipara' associated with MGP, standard and private obstetric care Public hospital costs calculated for the 4,038 women who received care within the three groups over one financial year are shown in Table 4. The average cost per woman per year receiving MGP care was $3,904.64. This was $1935.00 (95% CI $1,625.1‒$2,245.40) less than the woman receiving Standard care, and $1,394.88 (95% CI $1,019.90 ‒ $1,769.80) less than the woman receiving Private obstetric care (Table 4) (p < 0.001). (Note: this analysis does not include other costs to the taxpayer outside the public hospital system such as Medicare funding which is incurred by women receiving Private obstetric care or general practitioner shared care who receive antenatal care outside of the public hospital system.) The actual costs from the hospital perspective are further categorised for the care of primiparous women, multiparous women and the standard primipara showing mean, median, range, interquartile range and mean difference in costs (Table 4). Cost per woman from the public hospital perspective for one financial year 2009/10 in Australian dollars *p < 0.001. IQR = Inter quartile range. MGP = Midwifery group Practice; SC = Standard Care; POC = Private Obstetric Care. (Note total population N = 4,038). The characteristics of each model of care are outlined in Table 5. Factors differentiating midwifery and obstetric care in each model Discussion: This small single centre cross sectional study found that MGP care is associated with significantly higher rates of 'normal birth' and a seemingly more cost effective method of delivering maternity care. This study is the first to compare cost and outcomes in the public hospital system in Australia associated with the three dominant models of care in large metropolitan centres. Factors that contributed to a lower cost were the increased rate of vaginal birth with fewer epidurals in the first stage of labour; lower rates of elective caesarean section, induction of labour, episiotomy and shorter postnatal lengths of stay. The study is limited by size and selection bias where those women who chose MGP care may have a stronger commitment to achieving a normal vaginal birth outcome. However, in Australia as in other industrialised countries, women are positioned as self‒governing and autonomous consumers able to 'choose' what they consider their best option of care [33]. The introduction of MGP in the public hospital system could be seen as a further enhancement to women's choice and one that has the potential to provide the best market value for money in terms of public hospital funding. The study found an association between MGP care and fewer caesarean sections amongst women without complex pregnancies and having a first baby. Although these associations cannot be considered causal, information such as this is important for first time mothers for whom a first caesarean section so clearly establishes the direction of future pregnancy outcome [34]. To achieve a sustainable level of flexibility MGP midwives work within group practices of four midwives employed under a state approved annualised salary package which includes a 29% loading that provides an on-call allowance. They are required to work a cycle of 152 hours over a four week time period and do not work in excess of twelve consecutive hours in any twenty‒four hour period (24). MGP midwives may arrange their on call for alternate nights and weekends; or other configurations that are mutually agreed within the group practice. An integral factor in this model is the strong collaborative relationship between the MGP midwives and a nominated consultant obstetrician. Referral to medical or other services occurs as necessary using the Australian National Midwifery Consultation and Referral Guidelines [25]. Conclusion: The Australian public are generally unaware of the association with model of care and birth outcomes. The latest Cochrane systematic review found that women who received continued care throughout pregnancy and birth from a small group of midwives were less likely to give birth pre-term and required fewer interventions during labour and birth than when their care was shared between different obstetricians, GPs and midwives [19]. Frequently the increased intervention rate within the private sector in Australia has been apportioned to the ‘higher risk’ population that seeks this care. By comparing a standardised low risk population: the standard primipara, we have shown that this may not be the case and that a level of unexplained variation exists in the care of maternity patients. Furthermore the results of this study demonstrate how cost reduction can be achieved through a radical system change in the way midwifery services are provided. A hypothetical scenario of the closure of two MGPs (320 women per annum) would increase the average cost of care at our hospital by $619.267.20 per year ($95% CI 520,032.00 ‒ 718,580.00). Childbirth is the single most important reason for hospitalisation and accounts for the highest number of occupied bed days [34]; however, the current structure of our maternity system makes it challenging to deliver value for money. Financing arrangements, combined with the traditional case mix approach to public hospital funding, direct maternity care in Australia towards an acute care setting that uses specialist care and limits the role of midwives [35]. Large cost differences among women receiving care for similar conditions reveal additional opportunities for cost reduction [2,16]. Midwifery group practice models could play a major role in the future reducing the public health burden by increasing normal outcomes and promoting more efficient use of funds. Competing interests: The authors declare that they have no competing interests. Authors’ contributions: ST was responsible for the conceptual design of the study, drafted the manuscript and gave final approval of the version to be published. DH, AW, AB, AL and JW participated in the design of the study; helped draft the manuscript and participated in the day to day management and coordination of the study. MT participated in the study design; helped draft the manuscript performed the statistical analysis. JW is the overall manager of the midwifery group practices and participated in the study. BH participated in the design of the study; helped draft the manuscript and undertook the cost data linkages. All authors read and approved the final manuscript. Pre-publication history: The pre-publication history for this paper can be accessed here: http://www.biomedcentral.com/1471-2393/14/46/prepub
Background: In many countries midwives act as the main providers of care for women throughout pregnancy, labour and birth. In our large public teaching hospital in Australia we restructured the way midwifery care is offered and introduced caseload midwifery for one third of women booked at the hospital. We then compared the costs and birth outcomes associated with caseload midwifery compared to the two existing models of care, standard hospital care and private obstetric care. Methods: We undertook a cross sectional study examining the risk profile, birth outcomes and cost of care for women booked into one of the three available models of care in a tertiary teaching hospital in Australia between July 1st 2009 December 31st 2010. To control for differences in population or case mix we described the outcomes for a cohort of low risk first time mothers known as the 'standard primipara'. Results: Amongst the 1,379 women defined as 'standard primipara' there were significant differences in birth outcome. These first time 'low risk' mothers who received caseload care were more likely to have a spontaneous onset of labour and an unassisted vaginal birth 58.5% in MGP compared to 48.2% for Standard hospital care and 30.8% with Private obstetric care (p < 0.001). They were also significantly less likely to have an elective caesarean section 1.6% with MGP versus 5.3% with Standard care and 17.2% with private obstetric care (p < 0.001). From the public hospital perspective, over one financial year the average cost of care for the standard primipara in MGP was $3903.78 per woman. This was $1375.45 less per woman than those receiving Private obstetric care and $1590.91 less than Standard hospital care per woman (p < 0.001). Similar differences in cost were found in favour of MGP for all women in the study who received caseload care. Conclusions: Cost reduction appears to be achieved through reorganising the way care is delivered in the public hospital system with the introduction of Midwifery Group Practice or caseload care. The study also highlights the unexplained clinical variation that exists between the three models of care in Australia.
Background: Australia's national caesarean section rate of 30.8% in 2011 sits above the OECD average of 25.8% of births [1] and well outside the World Health Organisation (WHO) recommendation of 15% [2]. This rate is increasing in both the public and private sectors in Australia, but continues to show a significant degree of unexplained clinical variation [3] and be substantially higher in the private sector [4-6]. In addition to the potential long term morbidity following caesarean section [7-10], operative birth incurs a measurable increase in cost [11,12], and an unquantified burden on the health system through pressure on resources such as staff and operating theatres [13]. The apparent inevitability of a rising caesarean rate due to the broadening indications for a primary caesarean is driving worldwide interest to find ways to address the issue [14]. Many countries have responded to this perceived public health concern with policies designed to promote a lower rate of operative birth and increase the rate of normal vaginal birth. In the US, the Healthy People 2020 reports a national objective to reduce caesarean births among low risk first time mothers at full-term by 10% to 23.9 percent over the next ten years [15]. Similar policies have been promoted in the UK [16,17]. In New South Wales, Australia the 'Towards Normal Birth' policy directive was launched with the explicit aim of increasing the vaginal birth rate and decreasing the caesarean section rate [18]. At our tertiary hospital in New South Wales we introduced caseload midwifery care with a view to altering the caesarean section rate. The latest Cochrane systematic review of midwife led care [19] recommends providing midwife led models of care to women in view of their known effectiveness, with a caveat that women who have complex pregnancies proceed with caution. However a randomised controlled trial of caseload midwifery care recently published in the Lancet concluded that for women of all risk caseload midwifery care costs less with similar clinical outcomes [20]. That study argued that caseload midwifery appeared to alter some of the pathways that recurrently contribute to increased obstetric intervention, working on the assumption that women will labour more effectively, need to stay in hospital less time and feel a stronger sense of satisfaction and personal control if they have the opportunity to get to know their midwife at the beginning of pregnancy. The current project was also set in an Australian context with a similar population to that recently described in the randomised controlled trial of caseload care published in The Lancet [20]. The current study differed from the trial in that women were able to choose to have caseload care or standard care rather than be randomised to either model. In addition we also included in this analysis a third group of women – those who choose to receive private obstetric care in the public hospital. Caseload midwifery offers greater relationship continuity, by ensuring that childbearing women receive their ante, intra and postnatal care from one midwife or her/his practice partner [21]. The evaluation of One-to-One Midwifery practice in the UK showed that continuity of carer could improve women’s satisfaction with their care, give midwives greater job satisfaction, increase their autonomy, and reduce intervention rates [22,23]. In a clinical redesign of maternity services in 2008 [24], we implemented nine caseload midwifery group practices (MGP) with the aim of providing continuity of midwifery care to women regardless of their risk status at booking. Prior to this there were two main maternity models on offer at the hospital - standard public hospital care or private obstetric care in the public hospital. At the outset we planned to evaluate the introduction of caseload through comparing the new model with both the cost and clinical outcomes of all women who received maternity care at the hospital during the study time period. Caseload care in our setting is characterised by midwives arranged in formally recognised group practices of four midwives who undertake the midwifery management and responsibility for the continuum of care through pregnancy, birth and postpartum for a specified caseload of women [23]. The 'named' midwife provides leadership in midwifery care within her scope of practice with arrangements between partner members of the midwifery group practice to provide cover for leave and time off. Consultation and referral occurs as necessary using the Australian Midwifery Consultation and Referral Guidelines [25]. Collaborative practice is encouraged between the MGP midwives and a nominated consultant obstetrician or with other medical colleagues. Unlike other midwifery models such as team or birth centre care there is no limitation to only care for women deemed to be 'low risk'. In addition to this the MGP midwives experience a level of flexibility through their annualised salary contracts which allows them to self-manage their work hours in response to individual woman's needs rather than the ward roster system. In the Standard Care model women receive their care from rostered midwives in discrete wards or clinics; public hospital obstetric care (staff and trainee obstetricians) and community based general medical practitioner care. In the Private Obstetric model women pay for the services of a private obstetrician and receive private antenatal care in the rooms of their obstetrician. During labour and birth management decisions are made by the private obstetrician. Women are cared for in the hospital ward or clinic setting by the rostered midwives and obstetric trainees who provide the routine or standard public hospital care. Midwifery care in all three models is funded through state based revenue via the acute health services budget funding for public hospitals. Following the introduction of Midwifery Group Practice at our hospital we undertook a cross sectional study to examine both the cost of each model of care from the standpoint of the public health system and the maternal and infant outcomes. There has not been an economic analysis of the three models of care available in the Australian public hospital setting to date. The population included all women who gave birth at the metropolitan teaching hospital between 1st July 2009 and 31st December 2010. In an effort to make a more meaningful comparison between the three different models of care we examined more closely a sub group of the population known as the 'standard primipara' [26-28] similar to that reported recently by Coulm et al. [29] in France. These women were considered low‒risk at the time of birth and were having their first baby. We examined the outcomes of each option for maternity care available to all women, and in particular to those described as the 'standard primipara'. The primary outcomes were the mode of birth defined as caesarean section, instrumental birth or unassisted vaginal birth; and the cost associated with providing this care per woman from the standpoint of the public hospital over one financial year 2009/10. Conclusion: The Australian public are generally unaware of the association with model of care and birth outcomes. The latest Cochrane systematic review found that women who received continued care throughout pregnancy and birth from a small group of midwives were less likely to give birth pre-term and required fewer interventions during labour and birth than when their care was shared between different obstetricians, GPs and midwives [19]. Frequently the increased intervention rate within the private sector in Australia has been apportioned to the ‘higher risk’ population that seeks this care. By comparing a standardised low risk population: the standard primipara, we have shown that this may not be the case and that a level of unexplained variation exists in the care of maternity patients. Furthermore the results of this study demonstrate how cost reduction can be achieved through a radical system change in the way midwifery services are provided. A hypothetical scenario of the closure of two MGPs (320 women per annum) would increase the average cost of care at our hospital by $619.267.20 per year ($95% CI 520,032.00 ‒ 718,580.00). Childbirth is the single most important reason for hospitalisation and accounts for the highest number of occupied bed days [34]; however, the current structure of our maternity system makes it challenging to deliver value for money. Financing arrangements, combined with the traditional case mix approach to public hospital funding, direct maternity care in Australia towards an acute care setting that uses specialist care and limits the role of midwives [35]. Large cost differences among women receiving care for similar conditions reveal additional opportunities for cost reduction [2,16]. Midwifery group practice models could play a major role in the future reducing the public health burden by increasing normal outcomes and promoting more efficient use of funds.
Background: In many countries midwives act as the main providers of care for women throughout pregnancy, labour and birth. In our large public teaching hospital in Australia we restructured the way midwifery care is offered and introduced caseload midwifery for one third of women booked at the hospital. We then compared the costs and birth outcomes associated with caseload midwifery compared to the two existing models of care, standard hospital care and private obstetric care. Methods: We undertook a cross sectional study examining the risk profile, birth outcomes and cost of care for women booked into one of the three available models of care in a tertiary teaching hospital in Australia between July 1st 2009 December 31st 2010. To control for differences in population or case mix we described the outcomes for a cohort of low risk first time mothers known as the 'standard primipara'. Results: Amongst the 1,379 women defined as 'standard primipara' there were significant differences in birth outcome. These first time 'low risk' mothers who received caseload care were more likely to have a spontaneous onset of labour and an unassisted vaginal birth 58.5% in MGP compared to 48.2% for Standard hospital care and 30.8% with Private obstetric care (p < 0.001). They were also significantly less likely to have an elective caesarean section 1.6% with MGP versus 5.3% with Standard care and 17.2% with private obstetric care (p < 0.001). From the public hospital perspective, over one financial year the average cost of care for the standard primipara in MGP was $3903.78 per woman. This was $1375.45 less per woman than those receiving Private obstetric care and $1590.91 less than Standard hospital care per woman (p < 0.001). Similar differences in cost were found in favour of MGP for all women in the study who received caseload care. Conclusions: Cost reduction appears to be achieved through reorganising the way care is delivered in the public hospital system with the introduction of Midwifery Group Practice or caseload care. The study also highlights the unexplained clinical variation that exists between the three models of care in Australia.
4,220
398
[ 1278, 90, 10, 121, 16 ]
9
[ "care", "women", "birth", "hospital", "standard", "public", "midwifery", "mgp", "cost", "table" ]
[ "caesarean compared standard", "caesarean rate broadening", "australia national caesarean", "fewer caesarean sections", "rate decreasing caesarean" ]
[CONTENT] Midwifery group practice | Cost of caseload | Private obstetrics [SUMMARY]
[CONTENT] Midwifery group practice | Cost of caseload | Private obstetrics [SUMMARY]
[CONTENT] Midwifery group practice | Cost of caseload | Private obstetrics [SUMMARY]
[CONTENT] Midwifery group practice | Cost of caseload | Private obstetrics [SUMMARY]
[CONTENT] Midwifery group practice | Cost of caseload | Private obstetrics [SUMMARY]
[CONTENT] Midwifery group practice | Cost of caseload | Private obstetrics [SUMMARY]
[CONTENT] Adult | Australia | Cesarean Section | Cross-Sectional Studies | Delivery of Health Care | Extraction, Obstetrical | Female | Group Practice | Hospitals, Public | Hospitals, Teaching | Humans | Labor, Obstetric | Midwifery | Models, Organizational | Natural Childbirth | Obstetrics | Parity | Pregnancy | Private Practice | Risk Assessment | Young Adult [SUMMARY]
[CONTENT] Adult | Australia | Cesarean Section | Cross-Sectional Studies | Delivery of Health Care | Extraction, Obstetrical | Female | Group Practice | Hospitals, Public | Hospitals, Teaching | Humans | Labor, Obstetric | Midwifery | Models, Organizational | Natural Childbirth | Obstetrics | Parity | Pregnancy | Private Practice | Risk Assessment | Young Adult [SUMMARY]
[CONTENT] Adult | Australia | Cesarean Section | Cross-Sectional Studies | Delivery of Health Care | Extraction, Obstetrical | Female | Group Practice | Hospitals, Public | Hospitals, Teaching | Humans | Labor, Obstetric | Midwifery | Models, Organizational | Natural Childbirth | Obstetrics | Parity | Pregnancy | Private Practice | Risk Assessment | Young Adult [SUMMARY]
[CONTENT] Adult | Australia | Cesarean Section | Cross-Sectional Studies | Delivery of Health Care | Extraction, Obstetrical | Female | Group Practice | Hospitals, Public | Hospitals, Teaching | Humans | Labor, Obstetric | Midwifery | Models, Organizational | Natural Childbirth | Obstetrics | Parity | Pregnancy | Private Practice | Risk Assessment | Young Adult [SUMMARY]
[CONTENT] Adult | Australia | Cesarean Section | Cross-Sectional Studies | Delivery of Health Care | Extraction, Obstetrical | Female | Group Practice | Hospitals, Public | Hospitals, Teaching | Humans | Labor, Obstetric | Midwifery | Models, Organizational | Natural Childbirth | Obstetrics | Parity | Pregnancy | Private Practice | Risk Assessment | Young Adult [SUMMARY]
[CONTENT] Adult | Australia | Cesarean Section | Cross-Sectional Studies | Delivery of Health Care | Extraction, Obstetrical | Female | Group Practice | Hospitals, Public | Hospitals, Teaching | Humans | Labor, Obstetric | Midwifery | Models, Organizational | Natural Childbirth | Obstetrics | Parity | Pregnancy | Private Practice | Risk Assessment | Young Adult [SUMMARY]
[CONTENT] caesarean compared standard | caesarean rate broadening | australia national caesarean | fewer caesarean sections | rate decreasing caesarean [SUMMARY]
[CONTENT] caesarean compared standard | caesarean rate broadening | australia national caesarean | fewer caesarean sections | rate decreasing caesarean [SUMMARY]
[CONTENT] caesarean compared standard | caesarean rate broadening | australia national caesarean | fewer caesarean sections | rate decreasing caesarean [SUMMARY]
[CONTENT] caesarean compared standard | caesarean rate broadening | australia national caesarean | fewer caesarean sections | rate decreasing caesarean [SUMMARY]
[CONTENT] caesarean compared standard | caesarean rate broadening | australia national caesarean | fewer caesarean sections | rate decreasing caesarean [SUMMARY]
[CONTENT] caesarean compared standard | caesarean rate broadening | australia national caesarean | fewer caesarean sections | rate decreasing caesarean [SUMMARY]
[CONTENT] care | women | birth | hospital | standard | public | midwifery | mgp | cost | table [SUMMARY]
[CONTENT] care | women | birth | hospital | standard | public | midwifery | mgp | cost | table [SUMMARY]
[CONTENT] care | women | birth | hospital | standard | public | midwifery | mgp | cost | table [SUMMARY]
[CONTENT] care | women | birth | hospital | standard | public | midwifery | mgp | cost | table [SUMMARY]
[CONTENT] care | women | birth | hospital | standard | public | midwifery | mgp | cost | table [SUMMARY]
[CONTENT] care | women | birth | hospital | standard | public | midwifery | mgp | cost | table [SUMMARY]
[CONTENT] care | caseload | women | hospital | midwifery | birth | public | midwifery care | caseload midwifery | private [SUMMARY]
[CONTENT] birth | data | costs | weeks | neonatal | women | hospital | weight | deaths | indirect [SUMMARY]
[CONTENT] women | care | table | 001 | hospital | standard | mgp | obstetric care | private | birth [SUMMARY]
[CONTENT] care | birth | cost | role | risk population | reduction | cost reduction | public | maternity | midwives [SUMMARY]
[CONTENT] care | women | birth | hospital | mgp | public | standard | competing | competing interests | authors declare competing interests [SUMMARY]
[CONTENT] care | women | birth | hospital | mgp | public | standard | competing | competing interests | authors declare competing interests [SUMMARY]
[CONTENT] ||| Australia | one third ||| two [SUMMARY]
[CONTENT] three | tertiary | Australia | between July 1st 2009 December 31st 2010 ||| first [SUMMARY]
[CONTENT] 1,379 ||| first | 58.5% | MGP | 48.2% | Standard | 30.8% ||| 1.6% | MGP | 5.3% | Standard | 17.2% ||| MGP | 3903.78 ||| 1375.45 | 1590.91 | Standard ||| MGP [SUMMARY]
[CONTENT] Midwifery Group Practice ||| three | Australia [SUMMARY]
[CONTENT] ||| Australia | one third ||| two ||| three | tertiary | Australia | between July 1st 2009 December 31st 2010 ||| first ||| ||| 1,379 ||| first | 58.5% | MGP | 48.2% | Standard | 30.8% ||| 1.6% | MGP | 5.3% | Standard | 17.2% ||| MGP | 3903.78 ||| 1375.45 | 1590.91 | Standard ||| MGP ||| Midwifery Group Practice ||| three | Australia [SUMMARY]
[CONTENT] ||| Australia | one third ||| two ||| three | tertiary | Australia | between July 1st 2009 December 31st 2010 ||| first ||| ||| 1,379 ||| first | 58.5% | MGP | 48.2% | Standard | 30.8% ||| 1.6% | MGP | 5.3% | Standard | 17.2% ||| MGP | 3903.78 ||| 1375.45 | 1590.91 | Standard ||| MGP ||| Midwifery Group Practice ||| three | Australia [SUMMARY]
Cortical plasticity between the pain and pain-free phases in patients with episodic tension-type headache.
27844456
State-related brain structural alterations in patients with episodic tension-type headache (ETTH) are unclear. We aimed to conduct a longitudinal study to explore dynamic gray matter (GM) changes between the pain and pain-free phases in ETTH.
BACKGROUND
We recruited 40 treatment-naïve ETTH patients and 40 healthy controls. All participants underwent brain structural scans on a 3.0-T MRI system. ETTH patients were scanned in and out of pain phases. Voxel-based morphometry analysis was used to determine the differences in regional gray matter density (GMD) between groups. Additional regression analysis was used to identify any associations between regional GMD and clinical symptoms.
METHODS
ETTH patients exhibited reduced GMD in the bilateral primary somatosensory cortex, and increased GMD in the bilateral anterior cingulate cortex (ACC) and anterior insula for the in pain phase compared with the out of pain phase. The out of pain phase of ETTH patients exhibited no regions with higher or lower GMD compared with healthy controls. GMD in the left ACC and left anterior insula was negatively correlated with headache days. GMD in the left ACC was negatively correlated with anxiety and depressive symptoms in ETTH patients.
RESULTS
This is the first study to demonstrate dynamic and reversible GMD changes between the pain and pain-free phases in ETTH patients. However, this balance might be disrupted by increased headache days and progressive anxiety and depressive symptoms.
CONCLUSIONS
[ "Adult", "Anxiety", "Brain", "Case-Control Studies", "Cerebral Cortex", "Depression", "Female", "Gray Matter", "Gyrus Cinguli", "Humans", "Longitudinal Studies", "Magnetic Resonance Imaging", "Male", "Middle Aged", "Neuronal Plasticity", "Pain", "Somatosensory Cortex", "Tension-Type Headache" ]
5108736
Background
Tension-type headache (TTH) is the most prevalent and the most neglected form of primary headache worldwide [1, 2]. Epidemiological studies reported that the 1-year prevalence of infrequent episodic TTH ranges from 48 to 63.5%, whereas the prevalence of frequent and chronic TTH is 21.6 to 34%, and 0.9 to 2%, respectively [3]. The infrequent and frequent episodic types can be combined under “episodic” TTH (ETTH) for pathophysiological purposes [4]. Although ETTH is generally considered to be less disabling than migraine, it has a greater socioeconomic impact [5, 6]. Patients with ETTH tend to go untreated unless headache symptoms are severe, which contributes to its progression [3, 4, 7]. The pathogenesis of ETTH remains incompletely understood. Peripheral pain mechanisms are most likely to predominate in ETTH, whereas involvement of central pain mechanisms in ETTH remains to be determined [4, 6, 8]. ETTH is characterized by a recurrence of pain and pain-free states. Recent neuroimaging studies from other cyclical recurrence of pain conditions, including episodic migraine, episodic cluster headache, and menstrual pain, demonstrated dynamic brain structural changes depending on the states of diseases. These findings suggest that this neural plasticity may be an important pathophysiological mechanism underlying these disorders [7, 9–13]. It is unclear, however, whether the state-related brain structural alterations actually exist in patients with ETTH. Voxel-based morphometry (VBM) is a powerful analytical tool based on structural MRI data [14] that has been widely used to evaluate brain morphological alternations in different chronic pain syndromes [15, 16]. The only study using VBM in patients with chronic TTH demonstrated a significant gray matter (GM) decrease in pain-related brain structures, with which increasing headache duration was positively correlated [17]. These GM changes were considered the consequence of central sensitization in chronic TTH [17]. To our knowledge, no VBM study has been conducted in patients with ETTH to date. The purpose of this study was to use whole-brain VBM analysis to longitudinally explore whether dynamic GM changes existed between pain and pain-free phases and to delineate possible relationships between GM changes and clinical variables in patients with ETTH. We hypothesized that ETTH exhibited state-related GM changes and that these regions might be involved in pain processing.
null
null
Results
Clinical data All participants completed the study. Table 1 summarizes the demographic and clinical data of study participants. There were no significant differences in sex, age, education level, or handedness between ETTH patients and healthy controls (all p > 0.05). The interval time between scans in ETTH patients was 6.56 (2.72) days. Compared with healthy controls, ETTH patients had significantly higher scores on the SAS and SDS for both in pain and out of pain phases (all p < 0.05). The SAS and SDS scores in ETTH patients were significantly increased during the pain phase compared with the pain-free phase (both p < 0.05).Table 1Demographic variables and clinical characteristics of study participantsDemographic variablesETTH patients (during attacks)ETTH patients (interictal period)Healthy controls p ValueAge (years)35.00 (9.27)35.00 (9.27)34.48 (6.94)0.78Sex (male/female)19/2119/2120/200.82Handedness (left/right)2/382/382/381.00Education (years)11.23 (3.05)11.23 (3.05)11.45 (3.13)0.54Disease duration (years)5.50 (3.15)5.50 (3.15)––Headache days per month5.30 (3.00)5.30 (3.00)––VAS score (0–100)48 (9.53)–––SAS score54.13 (5.42)43.65 (4.77)27.50 (6.73)<0.001*<0.001**<0.001***SDS score40.25 (6.06)34.83 (5.62)28.7 (6.42)<0.001*<0.001**<0.001***Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data) ETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale*2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients**2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls Demographic variables and clinical characteristics of study participants Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data) ETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale *2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients **2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls ***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls All participants completed the study. Table 1 summarizes the demographic and clinical data of study participants. There were no significant differences in sex, age, education level, or handedness between ETTH patients and healthy controls (all p > 0.05). The interval time between scans in ETTH patients was 6.56 (2.72) days. Compared with healthy controls, ETTH patients had significantly higher scores on the SAS and SDS for both in pain and out of pain phases (all p < 0.05). The SAS and SDS scores in ETTH patients were significantly increased during the pain phase compared with the pain-free phase (both p < 0.05).Table 1Demographic variables and clinical characteristics of study participantsDemographic variablesETTH patients (during attacks)ETTH patients (interictal period)Healthy controls p ValueAge (years)35.00 (9.27)35.00 (9.27)34.48 (6.94)0.78Sex (male/female)19/2119/2120/200.82Handedness (left/right)2/382/382/381.00Education (years)11.23 (3.05)11.23 (3.05)11.45 (3.13)0.54Disease duration (years)5.50 (3.15)5.50 (3.15)––Headache days per month5.30 (3.00)5.30 (3.00)––VAS score (0–100)48 (9.53)–––SAS score54.13 (5.42)43.65 (4.77)27.50 (6.73)<0.001*<0.001**<0.001***SDS score40.25 (6.06)34.83 (5.62)28.7 (6.42)<0.001*<0.001**<0.001***Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data) ETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale*2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients**2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls Demographic variables and clinical characteristics of study participants Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data) ETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale *2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients **2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls ***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls Whole-brain VBM data No significant differences were identified between patients and controls for the total volume of GM, WM, or TIV. As demonstrated in Table 2 and Fig. 1, significant GMD reductions in the bilateral primary somatosensory cortex (S1) (A) and significant GMD increases in the bilateral anterior cingulate cortex (ACC) and the bilateral anterior insula (B) were observed between the pain phase and pain-free phase in patients with ETTH. Compared to healthy controls, patients with ETTH in the out of pain phase exhibited similar GMD changes. In contrast, the ETTH patients out of pain phase showed no region with higher or lower GMD compared with healthy controls. Furthermore, the whole brain correlation analyses revealed that GMD in the left ACC and left anterior insula was negatively correlated with headache days per month (r = −0.782, p = 0.002 and r = −0.646, p = 0.007, respectively). In addition, GMD in the left ACC was negatively correlated with the SAS score (r = −0.841, p = 0.001) and the SDS score (r = −0.579, p = 0.021) in ETTH patients during the pain phase. No correlation was identified between regional GMD and disease duration or regional GMD and the VAS score in ETTH patients.Table 2Summary of gray matter density differences in ETTH patients between the pain and pain-free phasesBrain regionsBrodmann areasMaximum MNI coordinates (x, y, z)VoxelsT valuePain phase < pain-free phase Right primary somatosensory cortex3/432,–36, 623007.43 Left primary somatosensory cortex3/4−34, −34, 581556.61Pain phase > pain-free phase Bilateral anterior cingulate cortex32/2410, 38, 164935.35 Left anterior insula1334, 20, 62555.39 Right anterior insula13−34, 21, 72185.35 ETTH episodic tension-type headache, MNI Montreal Neurological Institute Fig. 1 a: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula Summary of gray matter density differences in ETTH patients between the pain and pain-free phases ETTH episodic tension-type headache, MNI Montreal Neurological Institute a: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula No significant differences were identified between patients and controls for the total volume of GM, WM, or TIV. As demonstrated in Table 2 and Fig. 1, significant GMD reductions in the bilateral primary somatosensory cortex (S1) (A) and significant GMD increases in the bilateral anterior cingulate cortex (ACC) and the bilateral anterior insula (B) were observed between the pain phase and pain-free phase in patients with ETTH. Compared to healthy controls, patients with ETTH in the out of pain phase exhibited similar GMD changes. In contrast, the ETTH patients out of pain phase showed no region with higher or lower GMD compared with healthy controls. Furthermore, the whole brain correlation analyses revealed that GMD in the left ACC and left anterior insula was negatively correlated with headache days per month (r = −0.782, p = 0.002 and r = −0.646, p = 0.007, respectively). In addition, GMD in the left ACC was negatively correlated with the SAS score (r = −0.841, p = 0.001) and the SDS score (r = −0.579, p = 0.021) in ETTH patients during the pain phase. No correlation was identified between regional GMD and disease duration or regional GMD and the VAS score in ETTH patients.Table 2Summary of gray matter density differences in ETTH patients between the pain and pain-free phasesBrain regionsBrodmann areasMaximum MNI coordinates (x, y, z)VoxelsT valuePain phase < pain-free phase Right primary somatosensory cortex3/432,–36, 623007.43 Left primary somatosensory cortex3/4−34, −34, 581556.61Pain phase > pain-free phase Bilateral anterior cingulate cortex32/2410, 38, 164935.35 Left anterior insula1334, 20, 62555.39 Right anterior insula13−34, 21, 72185.35 ETTH episodic tension-type headache, MNI Montreal Neurological Institute Fig. 1 a: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula Summary of gray matter density differences in ETTH patients between the pain and pain-free phases ETTH episodic tension-type headache, MNI Montreal Neurological Institute a: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula
Conclusions
This is the first study to demonstrate dynamic and reversible GMD changes in the S1, ACC, and anterior insula between pain and pain-free phases in ETTH patients, which suggests cerebral adaptation to pain stimuli with a balance of pain modulatory circuits. However, this balance might be disrupted by increased headache days and progressive anxiety and depressive symptoms. Future studies are warranted to determine whether this structural plasticity is a characteristic of ETTH.
[ "Subjects", "Brain MRI acquisition and analysis", "Image acquisition", "Preprocessing", "Statistical analyses", "Clinical data", "Whole-brain VBM data" ]
[ "An ETTH diagnosis was established according to the third edition (beta version) of the International Classification of Headache Disorders (ICHD) for ETTH [6]. Most of the patients were enrolled from our headache clinic. Some patients were enrolled from the local area by poster advertisement. Patients were 18 to 60 years old without a history of cognitive dysfunction. Only the treatment-naïve patients (at least three months) with ETTH were enrolled because previous evidence shows that treatment of chronic pain conditions [18, 19] and anti-inflammatory drugs [20] can affect brain morphometry. Exclusion criteria were as follows: any other type of primary or secondary headache or other pain disorders, systemic hypertension, diabetes, other systemic diseases, and previous history of head trauma, other neurologic diseases or psychiatric co-morbidities. Conventional MR images were evaluated to exclude participants with gross brain abnormalities. Finally, we enrolled 40 consecutive treatment-naïve patients with ETTH for the study. The ETTH patients were scanned twice during the pain and pain-free periods, separately. Patients were considered in the pain phase when they were experiencing acute headache attacks. Patients who were attack-free at least 3 days before and after the scans were considered to be in the pain-free phase [9]. The patients were not allowed to take any analgesic drugs until the end of the study unless they could not bear the headache. The visual analog scale (VAS) [21] was used to evaluate the rating of pain intensity during attacks in patients with ETTH. All participants of the groups were evaluated with the Zung Self-Rating Anxiety Scale (SAS) [22] and the Zung Self-Rating Depression Scale (SDS) [23]. Forty healthy age- and gender-matched controls were enrolled from the local area by poster advertisement. The controls were free of a history of any form of headache in addition to referring to the exclusion criteria of ETTH. The study protocol was approved by the local ethics committee. Prior to study inclusion, all participants received a complete description of the study and granted written informed consent according to the Declaration of Helsinki.", " Image acquisition High-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls.\nHigh-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls.\n Preprocessing For cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses.\nFor longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points.\nFor cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses.\nFor longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points.", "High-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls.", "For cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses.\nFor longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points.", "For demographic and clinical data, the Statistical Package for the Social Sciences software version 19.0 (SPSS Inc., Chicago, IL) was used for statistical evaluation. Continuous variables were examined using 2-tailed paired or 2-sample t tests. For categorical data, χ2 tests were applied.\nFor cross-sectional GM density (GMD) analysis, a general linear model in SPM8 was applied within and between groups (pain-free ETTH vs. healthy controls; pain ETTH vs. healthy controls) to assess the possible morphological changes with covariation for the age, the interval time between scans, total intracranial volume (TIV), and SAS and SDS scores. For longitudinal GMD analysis (pain ETTH vs. pain-free ETTH), a flexible factorial model was used. The statistical significance level was set at p < 0.05, corrected by AlphaSim (per-voxel p < 0.001 with cluster size greater than 33 contiguous voxels). We performed further analyses to explore the correlation between regional GMD over the entire brain and clinical features (disease duration, headache days per month, VAS score, SAS score, and SDS score) in ETTH patients with age and TIV as covariates. A p value less than 0.05 after correction for multiple comparisons was considered significant.", "All participants completed the study. Table 1 summarizes the demographic and clinical data of study participants. There were no significant differences in sex, age, education level, or handedness between ETTH patients and healthy controls (all p > 0.05). The interval time between scans in ETTH patients was 6.56 (2.72) days. Compared with healthy controls, ETTH patients had significantly higher scores on the SAS and SDS for both in pain and out of pain phases (all p < 0.05). The SAS and SDS scores in ETTH patients were significantly increased during the pain phase compared with the pain-free phase (both p < 0.05).Table 1Demographic variables and clinical characteristics of study participantsDemographic variablesETTH patients (during attacks)ETTH patients (interictal period)Healthy controls\np ValueAge (years)35.00 (9.27)35.00 (9.27)34.48 (6.94)0.78Sex (male/female)19/2119/2120/200.82Handedness (left/right)2/382/382/381.00Education (years)11.23 (3.05)11.23 (3.05)11.45 (3.13)0.54Disease duration (years)5.50 (3.15)5.50 (3.15)––Headache days per month5.30 (3.00)5.30 (3.00)––VAS score (0–100)48 (9.53)–––SAS score54.13 (5.42)43.65 (4.77)27.50 (6.73)<0.001*<0.001**<0.001***SDS score40.25 (6.06)34.83 (5.62)28.7 (6.42)<0.001*<0.001**<0.001***Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data)\nETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale*2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients**2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls\n\nDemographic variables and clinical characteristics of study participants\nValues are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data)\n\nETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale\n*2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients\n**2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls\n***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls", "No significant differences were identified between patients and controls for the total volume of GM, WM, or TIV. As demonstrated in Table 2 and Fig. 1, significant GMD reductions in the bilateral primary somatosensory cortex (S1) (A) and significant GMD increases in the bilateral anterior cingulate cortex (ACC) and the bilateral anterior insula (B) were observed between the pain phase and pain-free phase in patients with ETTH. Compared to healthy controls, patients with ETTH in the out of pain phase exhibited similar GMD changes. In contrast, the ETTH patients out of pain phase showed no region with higher or lower GMD compared with healthy controls. Furthermore, the whole brain correlation analyses revealed that GMD in the left ACC and left anterior insula was negatively correlated with headache days per month (r = −0.782, p = 0.002 and r = −0.646, p = 0.007, respectively). In addition, GMD in the left ACC was negatively correlated with the SAS score (r = −0.841, p = 0.001) and the SDS score (r = −0.579, p = 0.021) in ETTH patients during the pain phase. No correlation was identified between regional GMD and disease duration or regional GMD and the VAS score in ETTH patients.Table 2Summary of gray matter density differences in ETTH patients between the pain and pain-free phasesBrain regionsBrodmann areasMaximum MNI coordinates (x, y, z)VoxelsT valuePain phase < pain-free phase Right primary somatosensory cortex3/432,–36, 623007.43 Left primary somatosensory cortex3/4−34, −34, 581556.61Pain phase > pain-free phase Bilateral anterior cingulate cortex32/2410, 38, 164935.35 Left anterior insula1334, 20, 62555.39 Right anterior insula13−34, 21, 72185.35\nETTH episodic tension-type headache, MNI Montreal Neurological Institute\nFig. 1\na: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula\n\nSummary of gray matter density differences in ETTH patients between the pain and pain-free phases\n\nETTH episodic tension-type headache, MNI Montreal Neurological Institute\n\na: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula" ]
[ null, null, null, null, null, null, null ]
[ "Background", "Methods", "Subjects", "Brain MRI acquisition and analysis", "Image acquisition", "Preprocessing", "Statistical analyses", "Results", "Clinical data", "Whole-brain VBM data", "Discussion", "Conclusions" ]
[ "Tension-type headache (TTH) is the most prevalent and the most neglected form of primary headache worldwide [1, 2]. Epidemiological studies reported that the 1-year prevalence of infrequent episodic TTH ranges from 48 to 63.5%, whereas the prevalence of frequent and chronic TTH is 21.6 to 34%, and 0.9 to 2%, respectively [3]. The infrequent and frequent episodic types can be combined under “episodic” TTH (ETTH) for pathophysiological purposes [4]. Although ETTH is generally considered to be less disabling than migraine, it has a greater socioeconomic impact [5, 6]. Patients with ETTH tend to go untreated unless headache symptoms are severe, which contributes to its progression [3, 4, 7]. The pathogenesis of ETTH remains incompletely understood. Peripheral pain mechanisms are most likely to predominate in ETTH, whereas involvement of central pain mechanisms in ETTH remains to be determined [4, 6, 8].\nETTH is characterized by a recurrence of pain and pain-free states. Recent neuroimaging studies from other cyclical recurrence of pain conditions, including episodic migraine, episodic cluster headache, and menstrual pain, demonstrated dynamic brain structural changes depending on the states of diseases. These findings suggest that this neural plasticity may be an important pathophysiological mechanism underlying these disorders [7, 9–13]. It is unclear, however, whether the state-related brain structural alterations actually exist in patients with ETTH.\nVoxel-based morphometry (VBM) is a powerful analytical tool based on structural MRI data [14] that has been widely used to evaluate brain morphological alternations in different chronic pain syndromes [15, 16]. The only study using VBM in patients with chronic TTH demonstrated a significant gray matter (GM) decrease in pain-related brain structures, with which increasing headache duration was positively correlated [17]. These GM changes were considered the consequence of central sensitization in chronic TTH [17]. To our knowledge, no VBM study has been conducted in patients with ETTH to date.\nThe purpose of this study was to use whole-brain VBM analysis to longitudinally explore whether dynamic GM changes existed between pain and pain-free phases and to delineate possible relationships between GM changes and clinical variables in patients with ETTH. We hypothesized that ETTH exhibited state-related GM changes and that these regions might be involved in pain processing.", " Subjects An ETTH diagnosis was established according to the third edition (beta version) of the International Classification of Headache Disorders (ICHD) for ETTH [6]. Most of the patients were enrolled from our headache clinic. Some patients were enrolled from the local area by poster advertisement. Patients were 18 to 60 years old without a history of cognitive dysfunction. Only the treatment-naïve patients (at least three months) with ETTH were enrolled because previous evidence shows that treatment of chronic pain conditions [18, 19] and anti-inflammatory drugs [20] can affect brain morphometry. Exclusion criteria were as follows: any other type of primary or secondary headache or other pain disorders, systemic hypertension, diabetes, other systemic diseases, and previous history of head trauma, other neurologic diseases or psychiatric co-morbidities. Conventional MR images were evaluated to exclude participants with gross brain abnormalities. Finally, we enrolled 40 consecutive treatment-naïve patients with ETTH for the study. The ETTH patients were scanned twice during the pain and pain-free periods, separately. Patients were considered in the pain phase when they were experiencing acute headache attacks. Patients who were attack-free at least 3 days before and after the scans were considered to be in the pain-free phase [9]. The patients were not allowed to take any analgesic drugs until the end of the study unless they could not bear the headache. The visual analog scale (VAS) [21] was used to evaluate the rating of pain intensity during attacks in patients with ETTH. All participants of the groups were evaluated with the Zung Self-Rating Anxiety Scale (SAS) [22] and the Zung Self-Rating Depression Scale (SDS) [23]. Forty healthy age- and gender-matched controls were enrolled from the local area by poster advertisement. The controls were free of a history of any form of headache in addition to referring to the exclusion criteria of ETTH. The study protocol was approved by the local ethics committee. Prior to study inclusion, all participants received a complete description of the study and granted written informed consent according to the Declaration of Helsinki.\nAn ETTH diagnosis was established according to the third edition (beta version) of the International Classification of Headache Disorders (ICHD) for ETTH [6]. Most of the patients were enrolled from our headache clinic. Some patients were enrolled from the local area by poster advertisement. Patients were 18 to 60 years old without a history of cognitive dysfunction. Only the treatment-naïve patients (at least three months) with ETTH were enrolled because previous evidence shows that treatment of chronic pain conditions [18, 19] and anti-inflammatory drugs [20] can affect brain morphometry. Exclusion criteria were as follows: any other type of primary or secondary headache or other pain disorders, systemic hypertension, diabetes, other systemic diseases, and previous history of head trauma, other neurologic diseases or psychiatric co-morbidities. Conventional MR images were evaluated to exclude participants with gross brain abnormalities. Finally, we enrolled 40 consecutive treatment-naïve patients with ETTH for the study. The ETTH patients were scanned twice during the pain and pain-free periods, separately. Patients were considered in the pain phase when they were experiencing acute headache attacks. Patients who were attack-free at least 3 days before and after the scans were considered to be in the pain-free phase [9]. The patients were not allowed to take any analgesic drugs until the end of the study unless they could not bear the headache. The visual analog scale (VAS) [21] was used to evaluate the rating of pain intensity during attacks in patients with ETTH. All participants of the groups were evaluated with the Zung Self-Rating Anxiety Scale (SAS) [22] and the Zung Self-Rating Depression Scale (SDS) [23]. Forty healthy age- and gender-matched controls were enrolled from the local area by poster advertisement. The controls were free of a history of any form of headache in addition to referring to the exclusion criteria of ETTH. The study protocol was approved by the local ethics committee. Prior to study inclusion, all participants received a complete description of the study and granted written informed consent according to the Declaration of Helsinki.\n Brain MRI acquisition and analysis Image acquisition High-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls.\nHigh-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls.\n Preprocessing For cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses.\nFor longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points.\nFor cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses.\nFor longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points.\n Image acquisition High-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls.\nHigh-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls.\n Preprocessing For cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses.\nFor longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points.\nFor cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses.\nFor longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points.\n Statistical analyses For demographic and clinical data, the Statistical Package for the Social Sciences software version 19.0 (SPSS Inc., Chicago, IL) was used for statistical evaluation. Continuous variables were examined using 2-tailed paired or 2-sample t tests. For categorical data, χ2 tests were applied.\nFor cross-sectional GM density (GMD) analysis, a general linear model in SPM8 was applied within and between groups (pain-free ETTH vs. healthy controls; pain ETTH vs. healthy controls) to assess the possible morphological changes with covariation for the age, the interval time between scans, total intracranial volume (TIV), and SAS and SDS scores. For longitudinal GMD analysis (pain ETTH vs. pain-free ETTH), a flexible factorial model was used. The statistical significance level was set at p < 0.05, corrected by AlphaSim (per-voxel p < 0.001 with cluster size greater than 33 contiguous voxels). We performed further analyses to explore the correlation between regional GMD over the entire brain and clinical features (disease duration, headache days per month, VAS score, SAS score, and SDS score) in ETTH patients with age and TIV as covariates. A p value less than 0.05 after correction for multiple comparisons was considered significant.\nFor demographic and clinical data, the Statistical Package for the Social Sciences software version 19.0 (SPSS Inc., Chicago, IL) was used for statistical evaluation. Continuous variables were examined using 2-tailed paired or 2-sample t tests. For categorical data, χ2 tests were applied.\nFor cross-sectional GM density (GMD) analysis, a general linear model in SPM8 was applied within and between groups (pain-free ETTH vs. healthy controls; pain ETTH vs. healthy controls) to assess the possible morphological changes with covariation for the age, the interval time between scans, total intracranial volume (TIV), and SAS and SDS scores. For longitudinal GMD analysis (pain ETTH vs. pain-free ETTH), a flexible factorial model was used. The statistical significance level was set at p < 0.05, corrected by AlphaSim (per-voxel p < 0.001 with cluster size greater than 33 contiguous voxels). We performed further analyses to explore the correlation between regional GMD over the entire brain and clinical features (disease duration, headache days per month, VAS score, SAS score, and SDS score) in ETTH patients with age and TIV as covariates. A p value less than 0.05 after correction for multiple comparisons was considered significant.", "An ETTH diagnosis was established according to the third edition (beta version) of the International Classification of Headache Disorders (ICHD) for ETTH [6]. Most of the patients were enrolled from our headache clinic. Some patients were enrolled from the local area by poster advertisement. Patients were 18 to 60 years old without a history of cognitive dysfunction. Only the treatment-naïve patients (at least three months) with ETTH were enrolled because previous evidence shows that treatment of chronic pain conditions [18, 19] and anti-inflammatory drugs [20] can affect brain morphometry. Exclusion criteria were as follows: any other type of primary or secondary headache or other pain disorders, systemic hypertension, diabetes, other systemic diseases, and previous history of head trauma, other neurologic diseases or psychiatric co-morbidities. Conventional MR images were evaluated to exclude participants with gross brain abnormalities. Finally, we enrolled 40 consecutive treatment-naïve patients with ETTH for the study. The ETTH patients were scanned twice during the pain and pain-free periods, separately. Patients were considered in the pain phase when they were experiencing acute headache attacks. Patients who were attack-free at least 3 days before and after the scans were considered to be in the pain-free phase [9]. The patients were not allowed to take any analgesic drugs until the end of the study unless they could not bear the headache. The visual analog scale (VAS) [21] was used to evaluate the rating of pain intensity during attacks in patients with ETTH. All participants of the groups were evaluated with the Zung Self-Rating Anxiety Scale (SAS) [22] and the Zung Self-Rating Depression Scale (SDS) [23]. Forty healthy age- and gender-matched controls were enrolled from the local area by poster advertisement. The controls were free of a history of any form of headache in addition to referring to the exclusion criteria of ETTH. The study protocol was approved by the local ethics committee. Prior to study inclusion, all participants received a complete description of the study and granted written informed consent according to the Declaration of Helsinki.", " Image acquisition High-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls.\nHigh-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls.\n Preprocessing For cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses.\nFor longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points.\nFor cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses.\nFor longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points.", "High-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls.", "For cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses.\nFor longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points.", "For demographic and clinical data, the Statistical Package for the Social Sciences software version 19.0 (SPSS Inc., Chicago, IL) was used for statistical evaluation. Continuous variables were examined using 2-tailed paired or 2-sample t tests. For categorical data, χ2 tests were applied.\nFor cross-sectional GM density (GMD) analysis, a general linear model in SPM8 was applied within and between groups (pain-free ETTH vs. healthy controls; pain ETTH vs. healthy controls) to assess the possible morphological changes with covariation for the age, the interval time between scans, total intracranial volume (TIV), and SAS and SDS scores. For longitudinal GMD analysis (pain ETTH vs. pain-free ETTH), a flexible factorial model was used. The statistical significance level was set at p < 0.05, corrected by AlphaSim (per-voxel p < 0.001 with cluster size greater than 33 contiguous voxels). We performed further analyses to explore the correlation between regional GMD over the entire brain and clinical features (disease duration, headache days per month, VAS score, SAS score, and SDS score) in ETTH patients with age and TIV as covariates. A p value less than 0.05 after correction for multiple comparisons was considered significant.", " Clinical data All participants completed the study. Table 1 summarizes the demographic and clinical data of study participants. There were no significant differences in sex, age, education level, or handedness between ETTH patients and healthy controls (all p > 0.05). The interval time between scans in ETTH patients was 6.56 (2.72) days. Compared with healthy controls, ETTH patients had significantly higher scores on the SAS and SDS for both in pain and out of pain phases (all p < 0.05). The SAS and SDS scores in ETTH patients were significantly increased during the pain phase compared with the pain-free phase (both p < 0.05).Table 1Demographic variables and clinical characteristics of study participantsDemographic variablesETTH patients (during attacks)ETTH patients (interictal period)Healthy controls\np ValueAge (years)35.00 (9.27)35.00 (9.27)34.48 (6.94)0.78Sex (male/female)19/2119/2120/200.82Handedness (left/right)2/382/382/381.00Education (years)11.23 (3.05)11.23 (3.05)11.45 (3.13)0.54Disease duration (years)5.50 (3.15)5.50 (3.15)––Headache days per month5.30 (3.00)5.30 (3.00)––VAS score (0–100)48 (9.53)–––SAS score54.13 (5.42)43.65 (4.77)27.50 (6.73)<0.001*<0.001**<0.001***SDS score40.25 (6.06)34.83 (5.62)28.7 (6.42)<0.001*<0.001**<0.001***Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data)\nETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale*2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients**2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls\n\nDemographic variables and clinical characteristics of study participants\nValues are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data)\n\nETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale\n*2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients\n**2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls\n***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls\nAll participants completed the study. Table 1 summarizes the demographic and clinical data of study participants. There were no significant differences in sex, age, education level, or handedness between ETTH patients and healthy controls (all p > 0.05). The interval time between scans in ETTH patients was 6.56 (2.72) days. Compared with healthy controls, ETTH patients had significantly higher scores on the SAS and SDS for both in pain and out of pain phases (all p < 0.05). The SAS and SDS scores in ETTH patients were significantly increased during the pain phase compared with the pain-free phase (both p < 0.05).Table 1Demographic variables and clinical characteristics of study participantsDemographic variablesETTH patients (during attacks)ETTH patients (interictal period)Healthy controls\np ValueAge (years)35.00 (9.27)35.00 (9.27)34.48 (6.94)0.78Sex (male/female)19/2119/2120/200.82Handedness (left/right)2/382/382/381.00Education (years)11.23 (3.05)11.23 (3.05)11.45 (3.13)0.54Disease duration (years)5.50 (3.15)5.50 (3.15)––Headache days per month5.30 (3.00)5.30 (3.00)––VAS score (0–100)48 (9.53)–––SAS score54.13 (5.42)43.65 (4.77)27.50 (6.73)<0.001*<0.001**<0.001***SDS score40.25 (6.06)34.83 (5.62)28.7 (6.42)<0.001*<0.001**<0.001***Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data)\nETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale*2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients**2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls\n\nDemographic variables and clinical characteristics of study participants\nValues are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data)\n\nETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale\n*2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients\n**2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls\n***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls\n Whole-brain VBM data No significant differences were identified between patients and controls for the total volume of GM, WM, or TIV. As demonstrated in Table 2 and Fig. 1, significant GMD reductions in the bilateral primary somatosensory cortex (S1) (A) and significant GMD increases in the bilateral anterior cingulate cortex (ACC) and the bilateral anterior insula (B) were observed between the pain phase and pain-free phase in patients with ETTH. Compared to healthy controls, patients with ETTH in the out of pain phase exhibited similar GMD changes. In contrast, the ETTH patients out of pain phase showed no region with higher or lower GMD compared with healthy controls. Furthermore, the whole brain correlation analyses revealed that GMD in the left ACC and left anterior insula was negatively correlated with headache days per month (r = −0.782, p = 0.002 and r = −0.646, p = 0.007, respectively). In addition, GMD in the left ACC was negatively correlated with the SAS score (r = −0.841, p = 0.001) and the SDS score (r = −0.579, p = 0.021) in ETTH patients during the pain phase. No correlation was identified between regional GMD and disease duration or regional GMD and the VAS score in ETTH patients.Table 2Summary of gray matter density differences in ETTH patients between the pain and pain-free phasesBrain regionsBrodmann areasMaximum MNI coordinates (x, y, z)VoxelsT valuePain phase < pain-free phase Right primary somatosensory cortex3/432,–36, 623007.43 Left primary somatosensory cortex3/4−34, −34, 581556.61Pain phase > pain-free phase Bilateral anterior cingulate cortex32/2410, 38, 164935.35 Left anterior insula1334, 20, 62555.39 Right anterior insula13−34, 21, 72185.35\nETTH episodic tension-type headache, MNI Montreal Neurological Institute\nFig. 1\na: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula\n\nSummary of gray matter density differences in ETTH patients between the pain and pain-free phases\n\nETTH episodic tension-type headache, MNI Montreal Neurological Institute\n\na: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula\nNo significant differences were identified between patients and controls for the total volume of GM, WM, or TIV. As demonstrated in Table 2 and Fig. 1, significant GMD reductions in the bilateral primary somatosensory cortex (S1) (A) and significant GMD increases in the bilateral anterior cingulate cortex (ACC) and the bilateral anterior insula (B) were observed between the pain phase and pain-free phase in patients with ETTH. Compared to healthy controls, patients with ETTH in the out of pain phase exhibited similar GMD changes. In contrast, the ETTH patients out of pain phase showed no region with higher or lower GMD compared with healthy controls. Furthermore, the whole brain correlation analyses revealed that GMD in the left ACC and left anterior insula was negatively correlated with headache days per month (r = −0.782, p = 0.002 and r = −0.646, p = 0.007, respectively). In addition, GMD in the left ACC was negatively correlated with the SAS score (r = −0.841, p = 0.001) and the SDS score (r = −0.579, p = 0.021) in ETTH patients during the pain phase. No correlation was identified between regional GMD and disease duration or regional GMD and the VAS score in ETTH patients.Table 2Summary of gray matter density differences in ETTH patients between the pain and pain-free phasesBrain regionsBrodmann areasMaximum MNI coordinates (x, y, z)VoxelsT valuePain phase < pain-free phase Right primary somatosensory cortex3/432,–36, 623007.43 Left primary somatosensory cortex3/4−34, −34, 581556.61Pain phase > pain-free phase Bilateral anterior cingulate cortex32/2410, 38, 164935.35 Left anterior insula1334, 20, 62555.39 Right anterior insula13−34, 21, 72185.35\nETTH episodic tension-type headache, MNI Montreal Neurological Institute\nFig. 1\na: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula\n\nSummary of gray matter density differences in ETTH patients between the pain and pain-free phases\n\nETTH episodic tension-type headache, MNI Montreal Neurological Institute\n\na: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula", "All participants completed the study. Table 1 summarizes the demographic and clinical data of study participants. There were no significant differences in sex, age, education level, or handedness between ETTH patients and healthy controls (all p > 0.05). The interval time between scans in ETTH patients was 6.56 (2.72) days. Compared with healthy controls, ETTH patients had significantly higher scores on the SAS and SDS for both in pain and out of pain phases (all p < 0.05). The SAS and SDS scores in ETTH patients were significantly increased during the pain phase compared with the pain-free phase (both p < 0.05).Table 1Demographic variables and clinical characteristics of study participantsDemographic variablesETTH patients (during attacks)ETTH patients (interictal period)Healthy controls\np ValueAge (years)35.00 (9.27)35.00 (9.27)34.48 (6.94)0.78Sex (male/female)19/2119/2120/200.82Handedness (left/right)2/382/382/381.00Education (years)11.23 (3.05)11.23 (3.05)11.45 (3.13)0.54Disease duration (years)5.50 (3.15)5.50 (3.15)––Headache days per month5.30 (3.00)5.30 (3.00)––VAS score (0–100)48 (9.53)–––SAS score54.13 (5.42)43.65 (4.77)27.50 (6.73)<0.001*<0.001**<0.001***SDS score40.25 (6.06)34.83 (5.62)28.7 (6.42)<0.001*<0.001**<0.001***Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data)\nETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale*2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients**2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls\n\nDemographic variables and clinical characteristics of study participants\nValues are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data)\n\nETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale\n*2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients\n**2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls\n***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls", "No significant differences were identified between patients and controls for the total volume of GM, WM, or TIV. As demonstrated in Table 2 and Fig. 1, significant GMD reductions in the bilateral primary somatosensory cortex (S1) (A) and significant GMD increases in the bilateral anterior cingulate cortex (ACC) and the bilateral anterior insula (B) were observed between the pain phase and pain-free phase in patients with ETTH. Compared to healthy controls, patients with ETTH in the out of pain phase exhibited similar GMD changes. In contrast, the ETTH patients out of pain phase showed no region with higher or lower GMD compared with healthy controls. Furthermore, the whole brain correlation analyses revealed that GMD in the left ACC and left anterior insula was negatively correlated with headache days per month (r = −0.782, p = 0.002 and r = −0.646, p = 0.007, respectively). In addition, GMD in the left ACC was negatively correlated with the SAS score (r = −0.841, p = 0.001) and the SDS score (r = −0.579, p = 0.021) in ETTH patients during the pain phase. No correlation was identified between regional GMD and disease duration or regional GMD and the VAS score in ETTH patients.Table 2Summary of gray matter density differences in ETTH patients between the pain and pain-free phasesBrain regionsBrodmann areasMaximum MNI coordinates (x, y, z)VoxelsT valuePain phase < pain-free phase Right primary somatosensory cortex3/432,–36, 623007.43 Left primary somatosensory cortex3/4−34, −34, 581556.61Pain phase > pain-free phase Bilateral anterior cingulate cortex32/2410, 38, 164935.35 Left anterior insula1334, 20, 62555.39 Right anterior insula13−34, 21, 72185.35\nETTH episodic tension-type headache, MNI Montreal Neurological Institute\nFig. 1\na: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula\n\nSummary of gray matter density differences in ETTH patients between the pain and pain-free phases\n\nETTH episodic tension-type headache, MNI Montreal Neurological Institute\n\na: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula", "To the best of our knowledge, this is the first longitudinal study that primarily investigated whether treatment-naïve ETTH patients have dynamic changes of brain GMD in different pain states. Our results demonstrated a lower GMD in the bilateral S1 and a higher GMD in the bilateral ACC and anterior insula in ETTH patients during the pain phase compared with the pain-free phase. In contrast, no GMD changes were observed in ETTH patients during the pain-free period. Our study exhibited a dynamic cortical plasticity in patients with ETTH. Furthermore, the correlation analyses indicated that these GMD changes could be affected by the headache days per month and anxiety and depressive symptoms.\nConvergent evidence from anatomical, imaging, and lesion data reveals that the S1, the ACC, and the anterior insula are key regions implicated in complex nociceptive processing [27, 28]. The S1 is responsible for detecting the presence and magnitude of a pain stimulus and is involved in pain perception [27]. The ACC participates in the emotional-motivational aspect of pain [29]. Often working together with the ACC, the anterior insula is proposed to involve in the integration of polymodal sensory information as well as the integration of emotional and cognitive processes [29, 30]. A recent neuroimaging meta-analysis revealed common activations during pain for healthy subjects and patients with chronic pain in the ACC and the anterior insula regardless of modality, body part, or clinical experience [29]. This finding further supported the central role of the ACC and the anterior insula in human pain processing [29]. Painful stimulation during the pain phase in ETTH patients contribute to these brain functional changes, which could further lead to the structural reorganization observed in our study.\nOf note, the structural abnormalities were not observed in the pain-free period in ETTH patients. This structural reorganization and dynamic change may be ascribed to the transmission of sensory input and pain perception [31]. Although little is known regarding the neurobiological basis of this dynamic pattern in ETTH, fast adjusting reversible neuronal processes, such as dendrite spine and synapse turnover, are more likely responsible for these rapid morphometric changes [9]. This feature may reflect a defensive adaptation designed to orient cortical attention towards stimuli that threaten the body’s integrity [31, 32] or reflect a balance of descending pain modulatory circuits [31, 33, 34].\nHowever, this adaptation or balance might be disrupted as the headache days increased and anxiety and depressive symptoms progressed. Our correlation analyses demonstrated that ETTH patients with longer headache days per month had lower GMD in the ACC and anterior insula in our study. Increased headache days may contribute to the progression from episodic to chronic TTH, which leads to the central sensitization with GM reductions in multiple cerebral regions, such as the ACC and the anterior insula [17]. This correlation also contributes to explaining why we observed increased GMD in the ACC and anterior insula in ETTH not like that most studies reported decreases here in chronic pain diseases, including chronic TTH [16, 35]. Increased GMD in ETTH may reflect a defensive adaptation, whereas decreased GMD may indicate decompensation as disease develops to the chronic form. This dynamic change in these areas calls on us to pay more attention to TTH in the episodic form. In addition, anxiety and depressive symptoms are common in ETTH patients [36]. The comorbidity may confer a worse prognosis in TTH patients [36, 37]. Although their pathophysiology remains unknown, their relationship may be bidirectional [36]. ACC is the common neuroanatomical site implicated in mental illness, including depression, anxiety and other psychiatric disorders [38]. Our data demonstrated negative correlations between GMD in the ACC and the SAS and SDS scores. This information calls attention to a timely recognition of these symptoms and the need to offer proper treatment in ETTH patients.\nSome limitations should be mentioned when interpreting the findings of our study. First, VBM has inherent limitations. For example, VBM detects only linear, spatially limited differences [39]. Second, our study did not investigate a control group longitudinally in the same time intervals using the same preprocessing and statistics, although the interval time was short, which might bias our results. Third, this study is the first to evaluate the brain structural changes in ETTH; further studies would benefit from integrating both structural and functional networks associated with the pathophysiological underpinnings of ETTH.", "This is the first study to demonstrate dynamic and reversible GMD changes in the S1, ACC, and anterior insula between pain and pain-free phases in ETTH patients, which suggests cerebral adaptation to pain stimuli with a balance of pain modulatory circuits. However, this balance might be disrupted by increased headache days and progressive anxiety and depressive symptoms. Future studies are warranted to determine whether this structural plasticity is a characteristic of ETTH." ]
[ "introduction", "materials|methods", null, null, null, null, null, "results", null, null, "discussion", "conclusion" ]
[ "Episodic tension-type headache", "Voxel-based morphometry", "Gray matter density", "Primary somatosensory cortex", "Anterior cingulate cortex", "Anterior insula" ]
Background: Tension-type headache (TTH) is the most prevalent and the most neglected form of primary headache worldwide [1, 2]. Epidemiological studies reported that the 1-year prevalence of infrequent episodic TTH ranges from 48 to 63.5%, whereas the prevalence of frequent and chronic TTH is 21.6 to 34%, and 0.9 to 2%, respectively [3]. The infrequent and frequent episodic types can be combined under “episodic” TTH (ETTH) for pathophysiological purposes [4]. Although ETTH is generally considered to be less disabling than migraine, it has a greater socioeconomic impact [5, 6]. Patients with ETTH tend to go untreated unless headache symptoms are severe, which contributes to its progression [3, 4, 7]. The pathogenesis of ETTH remains incompletely understood. Peripheral pain mechanisms are most likely to predominate in ETTH, whereas involvement of central pain mechanisms in ETTH remains to be determined [4, 6, 8]. ETTH is characterized by a recurrence of pain and pain-free states. Recent neuroimaging studies from other cyclical recurrence of pain conditions, including episodic migraine, episodic cluster headache, and menstrual pain, demonstrated dynamic brain structural changes depending on the states of diseases. These findings suggest that this neural plasticity may be an important pathophysiological mechanism underlying these disorders [7, 9–13]. It is unclear, however, whether the state-related brain structural alterations actually exist in patients with ETTH. Voxel-based morphometry (VBM) is a powerful analytical tool based on structural MRI data [14] that has been widely used to evaluate brain morphological alternations in different chronic pain syndromes [15, 16]. The only study using VBM in patients with chronic TTH demonstrated a significant gray matter (GM) decrease in pain-related brain structures, with which increasing headache duration was positively correlated [17]. These GM changes were considered the consequence of central sensitization in chronic TTH [17]. To our knowledge, no VBM study has been conducted in patients with ETTH to date. The purpose of this study was to use whole-brain VBM analysis to longitudinally explore whether dynamic GM changes existed between pain and pain-free phases and to delineate possible relationships between GM changes and clinical variables in patients with ETTH. We hypothesized that ETTH exhibited state-related GM changes and that these regions might be involved in pain processing. Methods: Subjects An ETTH diagnosis was established according to the third edition (beta version) of the International Classification of Headache Disorders (ICHD) for ETTH [6]. Most of the patients were enrolled from our headache clinic. Some patients were enrolled from the local area by poster advertisement. Patients were 18 to 60 years old without a history of cognitive dysfunction. Only the treatment-naïve patients (at least three months) with ETTH were enrolled because previous evidence shows that treatment of chronic pain conditions [18, 19] and anti-inflammatory drugs [20] can affect brain morphometry. Exclusion criteria were as follows: any other type of primary or secondary headache or other pain disorders, systemic hypertension, diabetes, other systemic diseases, and previous history of head trauma, other neurologic diseases or psychiatric co-morbidities. Conventional MR images were evaluated to exclude participants with gross brain abnormalities. Finally, we enrolled 40 consecutive treatment-naïve patients with ETTH for the study. The ETTH patients were scanned twice during the pain and pain-free periods, separately. Patients were considered in the pain phase when they were experiencing acute headache attacks. Patients who were attack-free at least 3 days before and after the scans were considered to be in the pain-free phase [9]. The patients were not allowed to take any analgesic drugs until the end of the study unless they could not bear the headache. The visual analog scale (VAS) [21] was used to evaluate the rating of pain intensity during attacks in patients with ETTH. All participants of the groups were evaluated with the Zung Self-Rating Anxiety Scale (SAS) [22] and the Zung Self-Rating Depression Scale (SDS) [23]. Forty healthy age- and gender-matched controls were enrolled from the local area by poster advertisement. The controls were free of a history of any form of headache in addition to referring to the exclusion criteria of ETTH. The study protocol was approved by the local ethics committee. Prior to study inclusion, all participants received a complete description of the study and granted written informed consent according to the Declaration of Helsinki. An ETTH diagnosis was established according to the third edition (beta version) of the International Classification of Headache Disorders (ICHD) for ETTH [6]. Most of the patients were enrolled from our headache clinic. Some patients were enrolled from the local area by poster advertisement. Patients were 18 to 60 years old without a history of cognitive dysfunction. Only the treatment-naïve patients (at least three months) with ETTH were enrolled because previous evidence shows that treatment of chronic pain conditions [18, 19] and anti-inflammatory drugs [20] can affect brain morphometry. Exclusion criteria were as follows: any other type of primary or secondary headache or other pain disorders, systemic hypertension, diabetes, other systemic diseases, and previous history of head trauma, other neurologic diseases or psychiatric co-morbidities. Conventional MR images were evaluated to exclude participants with gross brain abnormalities. Finally, we enrolled 40 consecutive treatment-naïve patients with ETTH for the study. The ETTH patients were scanned twice during the pain and pain-free periods, separately. Patients were considered in the pain phase when they were experiencing acute headache attacks. Patients who were attack-free at least 3 days before and after the scans were considered to be in the pain-free phase [9]. The patients were not allowed to take any analgesic drugs until the end of the study unless they could not bear the headache. The visual analog scale (VAS) [21] was used to evaluate the rating of pain intensity during attacks in patients with ETTH. All participants of the groups were evaluated with the Zung Self-Rating Anxiety Scale (SAS) [22] and the Zung Self-Rating Depression Scale (SDS) [23]. Forty healthy age- and gender-matched controls were enrolled from the local area by poster advertisement. The controls were free of a history of any form of headache in addition to referring to the exclusion criteria of ETTH. The study protocol was approved by the local ethics committee. Prior to study inclusion, all participants received a complete description of the study and granted written informed consent according to the Declaration of Helsinki. Brain MRI acquisition and analysis Image acquisition High-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls. High-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls. Preprocessing For cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses. For longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points. For cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses. For longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points. Image acquisition High-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls. High-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls. Preprocessing For cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses. For longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points. For cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses. For longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points. Statistical analyses For demographic and clinical data, the Statistical Package for the Social Sciences software version 19.0 (SPSS Inc., Chicago, IL) was used for statistical evaluation. Continuous variables were examined using 2-tailed paired or 2-sample t tests. For categorical data, χ2 tests were applied. For cross-sectional GM density (GMD) analysis, a general linear model in SPM8 was applied within and between groups (pain-free ETTH vs. healthy controls; pain ETTH vs. healthy controls) to assess the possible morphological changes with covariation for the age, the interval time between scans, total intracranial volume (TIV), and SAS and SDS scores. For longitudinal GMD analysis (pain ETTH vs. pain-free ETTH), a flexible factorial model was used. The statistical significance level was set at p < 0.05, corrected by AlphaSim (per-voxel p < 0.001 with cluster size greater than 33 contiguous voxels). We performed further analyses to explore the correlation between regional GMD over the entire brain and clinical features (disease duration, headache days per month, VAS score, SAS score, and SDS score) in ETTH patients with age and TIV as covariates. A p value less than 0.05 after correction for multiple comparisons was considered significant. For demographic and clinical data, the Statistical Package for the Social Sciences software version 19.0 (SPSS Inc., Chicago, IL) was used for statistical evaluation. Continuous variables were examined using 2-tailed paired or 2-sample t tests. For categorical data, χ2 tests were applied. For cross-sectional GM density (GMD) analysis, a general linear model in SPM8 was applied within and between groups (pain-free ETTH vs. healthy controls; pain ETTH vs. healthy controls) to assess the possible morphological changes with covariation for the age, the interval time between scans, total intracranial volume (TIV), and SAS and SDS scores. For longitudinal GMD analysis (pain ETTH vs. pain-free ETTH), a flexible factorial model was used. The statistical significance level was set at p < 0.05, corrected by AlphaSim (per-voxel p < 0.001 with cluster size greater than 33 contiguous voxels). We performed further analyses to explore the correlation between regional GMD over the entire brain and clinical features (disease duration, headache days per month, VAS score, SAS score, and SDS score) in ETTH patients with age and TIV as covariates. A p value less than 0.05 after correction for multiple comparisons was considered significant. Subjects: An ETTH diagnosis was established according to the third edition (beta version) of the International Classification of Headache Disorders (ICHD) for ETTH [6]. Most of the patients were enrolled from our headache clinic. Some patients were enrolled from the local area by poster advertisement. Patients were 18 to 60 years old without a history of cognitive dysfunction. Only the treatment-naïve patients (at least three months) with ETTH were enrolled because previous evidence shows that treatment of chronic pain conditions [18, 19] and anti-inflammatory drugs [20] can affect brain morphometry. Exclusion criteria were as follows: any other type of primary or secondary headache or other pain disorders, systemic hypertension, diabetes, other systemic diseases, and previous history of head trauma, other neurologic diseases or psychiatric co-morbidities. Conventional MR images were evaluated to exclude participants with gross brain abnormalities. Finally, we enrolled 40 consecutive treatment-naïve patients with ETTH for the study. The ETTH patients were scanned twice during the pain and pain-free periods, separately. Patients were considered in the pain phase when they were experiencing acute headache attacks. Patients who were attack-free at least 3 days before and after the scans were considered to be in the pain-free phase [9]. The patients were not allowed to take any analgesic drugs until the end of the study unless they could not bear the headache. The visual analog scale (VAS) [21] was used to evaluate the rating of pain intensity during attacks in patients with ETTH. All participants of the groups were evaluated with the Zung Self-Rating Anxiety Scale (SAS) [22] and the Zung Self-Rating Depression Scale (SDS) [23]. Forty healthy age- and gender-matched controls were enrolled from the local area by poster advertisement. The controls were free of a history of any form of headache in addition to referring to the exclusion criteria of ETTH. The study protocol was approved by the local ethics committee. Prior to study inclusion, all participants received a complete description of the study and granted written informed consent according to the Declaration of Helsinki. Brain MRI acquisition and analysis: Image acquisition High-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls. High-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls. Preprocessing For cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses. For longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points. For cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses. For longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points. Image acquisition: High-resolution T1-weighted images, using a 3D-spoiled gradient echo sequence were obtained on a 3.0-Tesla MRI scanner (Siemens Verio, Erlangen, Germany) with a standard head coil for all participants. The scanning sequences were as follows: repetition time (TR) = 8.5 ms; echo time (TE) = 3.93 ms; flip angle = 12°; slice thickness = 1 mm; field of view (FOV) = 240 × 240 mm2; matrix size = 256 × 256; in-plane resolution = 0.47 × 0.47 mm2; and number of slices = 156. A T2-weighted axial scan and a coronal fluid-attenuated inversion recovery (FLAIR) scan were also acquired to exclude brain lesions in patients and controls. Preprocessing: For cross-sectional data, image pre-processing was performed with Statistical Parametric Mapping version 8 (SPM8) (www.fil.ion.ucl.ac.uk/spm) using the VBM toolbox with Diffeomorphic Anatomic Registration Through Exponentiated Lie Algebra (DARTEL) on the Matlab 10.0 platform (The Mathworks, Natick, MA, USA). Images were initially assessed for scanner artifacts and gross anatomical abnormalities for each subject. Then, the anterior commissure was set as the origin of spatial coordinates along the reoriented anterior–posterior commissure line. All imaging analyses were conducted as suggested by the VBM Tutorial (http://www.fil.ion.ucl.ac.uk/~john/misc/VBMclass10.pdf). The process is briefly summarized as follows: (1) The T1-weighted images were segmented into GM, white matter (WM) and non-brain voxels (cerebrospinal fluid, skull) using the ‘new-segment’ routine implemented in SPM8 [24]. (2) Population templates (GM, WM) were generated from the entire image dataset using the DARTEL algorithm [25, 26]. (3) All images were normalized into Montreal Neurological Institute (MNI) stereotactic space with the normalized images modulated to correct volume changes by the Jacobian determinants. (4) Images were smoothed by convolution with an isotropic Gaussian kernel of 8-mm full-width at half maximum before statistical analyses. For longitudinal imaging data (pain ETTH vs. pain-free ETTH), we conducted the VBM analysis using the Computational Anatomy Toolbox (CAT12) (http://www.neuro.uni-jena.de/cat12/CAT12-Manual.pdf). Image pre-processing used the default settings involving intra-subject realignment, bias correction, segmentation, and normalization. A flexible factorial model was applied for the statistical analysis in one group with 2 time points. Statistical analyses: For demographic and clinical data, the Statistical Package for the Social Sciences software version 19.0 (SPSS Inc., Chicago, IL) was used for statistical evaluation. Continuous variables were examined using 2-tailed paired or 2-sample t tests. For categorical data, χ2 tests were applied. For cross-sectional GM density (GMD) analysis, a general linear model in SPM8 was applied within and between groups (pain-free ETTH vs. healthy controls; pain ETTH vs. healthy controls) to assess the possible morphological changes with covariation for the age, the interval time between scans, total intracranial volume (TIV), and SAS and SDS scores. For longitudinal GMD analysis (pain ETTH vs. pain-free ETTH), a flexible factorial model was used. The statistical significance level was set at p < 0.05, corrected by AlphaSim (per-voxel p < 0.001 with cluster size greater than 33 contiguous voxels). We performed further analyses to explore the correlation between regional GMD over the entire brain and clinical features (disease duration, headache days per month, VAS score, SAS score, and SDS score) in ETTH patients with age and TIV as covariates. A p value less than 0.05 after correction for multiple comparisons was considered significant. Results: Clinical data All participants completed the study. Table 1 summarizes the demographic and clinical data of study participants. There were no significant differences in sex, age, education level, or handedness between ETTH patients and healthy controls (all p > 0.05). The interval time between scans in ETTH patients was 6.56 (2.72) days. Compared with healthy controls, ETTH patients had significantly higher scores on the SAS and SDS for both in pain and out of pain phases (all p < 0.05). The SAS and SDS scores in ETTH patients were significantly increased during the pain phase compared with the pain-free phase (both p < 0.05).Table 1Demographic variables and clinical characteristics of study participantsDemographic variablesETTH patients (during attacks)ETTH patients (interictal period)Healthy controls p ValueAge (years)35.00 (9.27)35.00 (9.27)34.48 (6.94)0.78Sex (male/female)19/2119/2120/200.82Handedness (left/right)2/382/382/381.00Education (years)11.23 (3.05)11.23 (3.05)11.45 (3.13)0.54Disease duration (years)5.50 (3.15)5.50 (3.15)––Headache days per month5.30 (3.00)5.30 (3.00)––VAS score (0–100)48 (9.53)–––SAS score54.13 (5.42)43.65 (4.77)27.50 (6.73)<0.001*<0.001**<0.001***SDS score40.25 (6.06)34.83 (5.62)28.7 (6.42)<0.001*<0.001**<0.001***Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data) ETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale*2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients**2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls Demographic variables and clinical characteristics of study participants Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data) ETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale *2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients **2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls ***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls All participants completed the study. Table 1 summarizes the demographic and clinical data of study participants. There were no significant differences in sex, age, education level, or handedness between ETTH patients and healthy controls (all p > 0.05). The interval time between scans in ETTH patients was 6.56 (2.72) days. Compared with healthy controls, ETTH patients had significantly higher scores on the SAS and SDS for both in pain and out of pain phases (all p < 0.05). The SAS and SDS scores in ETTH patients were significantly increased during the pain phase compared with the pain-free phase (both p < 0.05).Table 1Demographic variables and clinical characteristics of study participantsDemographic variablesETTH patients (during attacks)ETTH patients (interictal period)Healthy controls p ValueAge (years)35.00 (9.27)35.00 (9.27)34.48 (6.94)0.78Sex (male/female)19/2119/2120/200.82Handedness (left/right)2/382/382/381.00Education (years)11.23 (3.05)11.23 (3.05)11.45 (3.13)0.54Disease duration (years)5.50 (3.15)5.50 (3.15)––Headache days per month5.30 (3.00)5.30 (3.00)––VAS score (0–100)48 (9.53)–––SAS score54.13 (5.42)43.65 (4.77)27.50 (6.73)<0.001*<0.001**<0.001***SDS score40.25 (6.06)34.83 (5.62)28.7 (6.42)<0.001*<0.001**<0.001***Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data) ETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale*2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients**2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls Demographic variables and clinical characteristics of study participants Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data) ETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale *2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients **2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls ***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls Whole-brain VBM data No significant differences were identified between patients and controls for the total volume of GM, WM, or TIV. As demonstrated in Table 2 and Fig. 1, significant GMD reductions in the bilateral primary somatosensory cortex (S1) (A) and significant GMD increases in the bilateral anterior cingulate cortex (ACC) and the bilateral anterior insula (B) were observed between the pain phase and pain-free phase in patients with ETTH. Compared to healthy controls, patients with ETTH in the out of pain phase exhibited similar GMD changes. In contrast, the ETTH patients out of pain phase showed no region with higher or lower GMD compared with healthy controls. Furthermore, the whole brain correlation analyses revealed that GMD in the left ACC and left anterior insula was negatively correlated with headache days per month (r = −0.782, p = 0.002 and r = −0.646, p = 0.007, respectively). In addition, GMD in the left ACC was negatively correlated with the SAS score (r = −0.841, p = 0.001) and the SDS score (r = −0.579, p = 0.021) in ETTH patients during the pain phase. No correlation was identified between regional GMD and disease duration or regional GMD and the VAS score in ETTH patients.Table 2Summary of gray matter density differences in ETTH patients between the pain and pain-free phasesBrain regionsBrodmann areasMaximum MNI coordinates (x, y, z)VoxelsT valuePain phase < pain-free phase Right primary somatosensory cortex3/432,–36, 623007.43 Left primary somatosensory cortex3/4−34, −34, 581556.61Pain phase > pain-free phase Bilateral anterior cingulate cortex32/2410, 38, 164935.35 Left anterior insula1334, 20, 62555.39 Right anterior insula13−34, 21, 72185.35 ETTH episodic tension-type headache, MNI Montreal Neurological Institute Fig. 1 a: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula Summary of gray matter density differences in ETTH patients between the pain and pain-free phases ETTH episodic tension-type headache, MNI Montreal Neurological Institute a: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula No significant differences were identified between patients and controls for the total volume of GM, WM, or TIV. As demonstrated in Table 2 and Fig. 1, significant GMD reductions in the bilateral primary somatosensory cortex (S1) (A) and significant GMD increases in the bilateral anterior cingulate cortex (ACC) and the bilateral anterior insula (B) were observed between the pain phase and pain-free phase in patients with ETTH. Compared to healthy controls, patients with ETTH in the out of pain phase exhibited similar GMD changes. In contrast, the ETTH patients out of pain phase showed no region with higher or lower GMD compared with healthy controls. Furthermore, the whole brain correlation analyses revealed that GMD in the left ACC and left anterior insula was negatively correlated with headache days per month (r = −0.782, p = 0.002 and r = −0.646, p = 0.007, respectively). In addition, GMD in the left ACC was negatively correlated with the SAS score (r = −0.841, p = 0.001) and the SDS score (r = −0.579, p = 0.021) in ETTH patients during the pain phase. No correlation was identified between regional GMD and disease duration or regional GMD and the VAS score in ETTH patients.Table 2Summary of gray matter density differences in ETTH patients between the pain and pain-free phasesBrain regionsBrodmann areasMaximum MNI coordinates (x, y, z)VoxelsT valuePain phase < pain-free phase Right primary somatosensory cortex3/432,–36, 623007.43 Left primary somatosensory cortex3/4−34, −34, 581556.61Pain phase > pain-free phase Bilateral anterior cingulate cortex32/2410, 38, 164935.35 Left anterior insula1334, 20, 62555.39 Right anterior insula13−34, 21, 72185.35 ETTH episodic tension-type headache, MNI Montreal Neurological Institute Fig. 1 a: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula Summary of gray matter density differences in ETTH patients between the pain and pain-free phases ETTH episodic tension-type headache, MNI Montreal Neurological Institute a: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula Clinical data: All participants completed the study. Table 1 summarizes the demographic and clinical data of study participants. There were no significant differences in sex, age, education level, or handedness between ETTH patients and healthy controls (all p > 0.05). The interval time between scans in ETTH patients was 6.56 (2.72) days. Compared with healthy controls, ETTH patients had significantly higher scores on the SAS and SDS for both in pain and out of pain phases (all p < 0.05). The SAS and SDS scores in ETTH patients were significantly increased during the pain phase compared with the pain-free phase (both p < 0.05).Table 1Demographic variables and clinical characteristics of study participantsDemographic variablesETTH patients (during attacks)ETTH patients (interictal period)Healthy controls p ValueAge (years)35.00 (9.27)35.00 (9.27)34.48 (6.94)0.78Sex (male/female)19/2119/2120/200.82Handedness (left/right)2/382/382/381.00Education (years)11.23 (3.05)11.23 (3.05)11.45 (3.13)0.54Disease duration (years)5.50 (3.15)5.50 (3.15)––Headache days per month5.30 (3.00)5.30 (3.00)––VAS score (0–100)48 (9.53)–––SAS score54.13 (5.42)43.65 (4.77)27.50 (6.73)<0.001*<0.001**<0.001***SDS score40.25 (6.06)34.83 (5.62)28.7 (6.42)<0.001*<0.001**<0.001***Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data) ETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale*2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients**2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls Demographic variables and clinical characteristics of study participants Values are expressed as mean (SD). The p values were calculated using appropriate statistical tests (2-tailed paired t test or 2-sample t test for continuous data and χ2 tests for categorical data) ETTH episodic tension-type headache, SAS self-rating anxiety scale, SDS self-rating depression scale, VAS visual analog scale *2-tailed paired t test for SAS or SDS scores between pain phase and out of phase in ETTH patients **2-sample t test for SAS or SDS scores between ETTH patients in pain phase and healthy controls ***2-sample t test for SAS or SDS scores between ETTH patients out of pain phase and healthy controls Whole-brain VBM data: No significant differences were identified between patients and controls for the total volume of GM, WM, or TIV. As demonstrated in Table 2 and Fig. 1, significant GMD reductions in the bilateral primary somatosensory cortex (S1) (A) and significant GMD increases in the bilateral anterior cingulate cortex (ACC) and the bilateral anterior insula (B) were observed between the pain phase and pain-free phase in patients with ETTH. Compared to healthy controls, patients with ETTH in the out of pain phase exhibited similar GMD changes. In contrast, the ETTH patients out of pain phase showed no region with higher or lower GMD compared with healthy controls. Furthermore, the whole brain correlation analyses revealed that GMD in the left ACC and left anterior insula was negatively correlated with headache days per month (r = −0.782, p = 0.002 and r = −0.646, p = 0.007, respectively). In addition, GMD in the left ACC was negatively correlated with the SAS score (r = −0.841, p = 0.001) and the SDS score (r = −0.579, p = 0.021) in ETTH patients during the pain phase. No correlation was identified between regional GMD and disease duration or regional GMD and the VAS score in ETTH patients.Table 2Summary of gray matter density differences in ETTH patients between the pain and pain-free phasesBrain regionsBrodmann areasMaximum MNI coordinates (x, y, z)VoxelsT valuePain phase < pain-free phase Right primary somatosensory cortex3/432,–36, 623007.43 Left primary somatosensory cortex3/4−34, −34, 581556.61Pain phase > pain-free phase Bilateral anterior cingulate cortex32/2410, 38, 164935.35 Left anterior insula1334, 20, 62555.39 Right anterior insula13−34, 21, 72185.35 ETTH episodic tension-type headache, MNI Montreal Neurological Institute Fig. 1 a: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula Summary of gray matter density differences in ETTH patients between the pain and pain-free phases ETTH episodic tension-type headache, MNI Montreal Neurological Institute a: lower GM density in the bilateral primary somatosensory cortex, b: higher GM density in the bilateral anterior cingulate cortex and anterior insula Discussion: To the best of our knowledge, this is the first longitudinal study that primarily investigated whether treatment-naïve ETTH patients have dynamic changes of brain GMD in different pain states. Our results demonstrated a lower GMD in the bilateral S1 and a higher GMD in the bilateral ACC and anterior insula in ETTH patients during the pain phase compared with the pain-free phase. In contrast, no GMD changes were observed in ETTH patients during the pain-free period. Our study exhibited a dynamic cortical plasticity in patients with ETTH. Furthermore, the correlation analyses indicated that these GMD changes could be affected by the headache days per month and anxiety and depressive symptoms. Convergent evidence from anatomical, imaging, and lesion data reveals that the S1, the ACC, and the anterior insula are key regions implicated in complex nociceptive processing [27, 28]. The S1 is responsible for detecting the presence and magnitude of a pain stimulus and is involved in pain perception [27]. The ACC participates in the emotional-motivational aspect of pain [29]. Often working together with the ACC, the anterior insula is proposed to involve in the integration of polymodal sensory information as well as the integration of emotional and cognitive processes [29, 30]. A recent neuroimaging meta-analysis revealed common activations during pain for healthy subjects and patients with chronic pain in the ACC and the anterior insula regardless of modality, body part, or clinical experience [29]. This finding further supported the central role of the ACC and the anterior insula in human pain processing [29]. Painful stimulation during the pain phase in ETTH patients contribute to these brain functional changes, which could further lead to the structural reorganization observed in our study. Of note, the structural abnormalities were not observed in the pain-free period in ETTH patients. This structural reorganization and dynamic change may be ascribed to the transmission of sensory input and pain perception [31]. Although little is known regarding the neurobiological basis of this dynamic pattern in ETTH, fast adjusting reversible neuronal processes, such as dendrite spine and synapse turnover, are more likely responsible for these rapid morphometric changes [9]. This feature may reflect a defensive adaptation designed to orient cortical attention towards stimuli that threaten the body’s integrity [31, 32] or reflect a balance of descending pain modulatory circuits [31, 33, 34]. However, this adaptation or balance might be disrupted as the headache days increased and anxiety and depressive symptoms progressed. Our correlation analyses demonstrated that ETTH patients with longer headache days per month had lower GMD in the ACC and anterior insula in our study. Increased headache days may contribute to the progression from episodic to chronic TTH, which leads to the central sensitization with GM reductions in multiple cerebral regions, such as the ACC and the anterior insula [17]. This correlation also contributes to explaining why we observed increased GMD in the ACC and anterior insula in ETTH not like that most studies reported decreases here in chronic pain diseases, including chronic TTH [16, 35]. Increased GMD in ETTH may reflect a defensive adaptation, whereas decreased GMD may indicate decompensation as disease develops to the chronic form. This dynamic change in these areas calls on us to pay more attention to TTH in the episodic form. In addition, anxiety and depressive symptoms are common in ETTH patients [36]. The comorbidity may confer a worse prognosis in TTH patients [36, 37]. Although their pathophysiology remains unknown, their relationship may be bidirectional [36]. ACC is the common neuroanatomical site implicated in mental illness, including depression, anxiety and other psychiatric disorders [38]. Our data demonstrated negative correlations between GMD in the ACC and the SAS and SDS scores. This information calls attention to a timely recognition of these symptoms and the need to offer proper treatment in ETTH patients. Some limitations should be mentioned when interpreting the findings of our study. First, VBM has inherent limitations. For example, VBM detects only linear, spatially limited differences [39]. Second, our study did not investigate a control group longitudinally in the same time intervals using the same preprocessing and statistics, although the interval time was short, which might bias our results. Third, this study is the first to evaluate the brain structural changes in ETTH; further studies would benefit from integrating both structural and functional networks associated with the pathophysiological underpinnings of ETTH. Conclusions: This is the first study to demonstrate dynamic and reversible GMD changes in the S1, ACC, and anterior insula between pain and pain-free phases in ETTH patients, which suggests cerebral adaptation to pain stimuli with a balance of pain modulatory circuits. However, this balance might be disrupted by increased headache days and progressive anxiety and depressive symptoms. Future studies are warranted to determine whether this structural plasticity is a characteristic of ETTH.
Background: State-related brain structural alterations in patients with episodic tension-type headache (ETTH) are unclear. We aimed to conduct a longitudinal study to explore dynamic gray matter (GM) changes between the pain and pain-free phases in ETTH. Methods: We recruited 40 treatment-naïve ETTH patients and 40 healthy controls. All participants underwent brain structural scans on a 3.0-T MRI system. ETTH patients were scanned in and out of pain phases. Voxel-based morphometry analysis was used to determine the differences in regional gray matter density (GMD) between groups. Additional regression analysis was used to identify any associations between regional GMD and clinical symptoms. Results: ETTH patients exhibited reduced GMD in the bilateral primary somatosensory cortex, and increased GMD in the bilateral anterior cingulate cortex (ACC) and anterior insula for the in pain phase compared with the out of pain phase. The out of pain phase of ETTH patients exhibited no regions with higher or lower GMD compared with healthy controls. GMD in the left ACC and left anterior insula was negatively correlated with headache days. GMD in the left ACC was negatively correlated with anxiety and depressive symptoms in ETTH patients. Conclusions: This is the first study to demonstrate dynamic and reversible GMD changes between the pain and pain-free phases in ETTH patients. However, this balance might be disrupted by increased headache days and progressive anxiety and depressive symptoms.
Background: Tension-type headache (TTH) is the most prevalent and the most neglected form of primary headache worldwide [1, 2]. Epidemiological studies reported that the 1-year prevalence of infrequent episodic TTH ranges from 48 to 63.5%, whereas the prevalence of frequent and chronic TTH is 21.6 to 34%, and 0.9 to 2%, respectively [3]. The infrequent and frequent episodic types can be combined under “episodic” TTH (ETTH) for pathophysiological purposes [4]. Although ETTH is generally considered to be less disabling than migraine, it has a greater socioeconomic impact [5, 6]. Patients with ETTH tend to go untreated unless headache symptoms are severe, which contributes to its progression [3, 4, 7]. The pathogenesis of ETTH remains incompletely understood. Peripheral pain mechanisms are most likely to predominate in ETTH, whereas involvement of central pain mechanisms in ETTH remains to be determined [4, 6, 8]. ETTH is characterized by a recurrence of pain and pain-free states. Recent neuroimaging studies from other cyclical recurrence of pain conditions, including episodic migraine, episodic cluster headache, and menstrual pain, demonstrated dynamic brain structural changes depending on the states of diseases. These findings suggest that this neural plasticity may be an important pathophysiological mechanism underlying these disorders [7, 9–13]. It is unclear, however, whether the state-related brain structural alterations actually exist in patients with ETTH. Voxel-based morphometry (VBM) is a powerful analytical tool based on structural MRI data [14] that has been widely used to evaluate brain morphological alternations in different chronic pain syndromes [15, 16]. The only study using VBM in patients with chronic TTH demonstrated a significant gray matter (GM) decrease in pain-related brain structures, with which increasing headache duration was positively correlated [17]. These GM changes were considered the consequence of central sensitization in chronic TTH [17]. To our knowledge, no VBM study has been conducted in patients with ETTH to date. The purpose of this study was to use whole-brain VBM analysis to longitudinally explore whether dynamic GM changes existed between pain and pain-free phases and to delineate possible relationships between GM changes and clinical variables in patients with ETTH. We hypothesized that ETTH exhibited state-related GM changes and that these regions might be involved in pain processing. Conclusions: This is the first study to demonstrate dynamic and reversible GMD changes in the S1, ACC, and anterior insula between pain and pain-free phases in ETTH patients, which suggests cerebral adaptation to pain stimuli with a balance of pain modulatory circuits. However, this balance might be disrupted by increased headache days and progressive anxiety and depressive symptoms. Future studies are warranted to determine whether this structural plasticity is a characteristic of ETTH.
Background: State-related brain structural alterations in patients with episodic tension-type headache (ETTH) are unclear. We aimed to conduct a longitudinal study to explore dynamic gray matter (GM) changes between the pain and pain-free phases in ETTH. Methods: We recruited 40 treatment-naïve ETTH patients and 40 healthy controls. All participants underwent brain structural scans on a 3.0-T MRI system. ETTH patients were scanned in and out of pain phases. Voxel-based morphometry analysis was used to determine the differences in regional gray matter density (GMD) between groups. Additional regression analysis was used to identify any associations between regional GMD and clinical symptoms. Results: ETTH patients exhibited reduced GMD in the bilateral primary somatosensory cortex, and increased GMD in the bilateral anterior cingulate cortex (ACC) and anterior insula for the in pain phase compared with the out of pain phase. The out of pain phase of ETTH patients exhibited no regions with higher or lower GMD compared with healthy controls. GMD in the left ACC and left anterior insula was negatively correlated with headache days. GMD in the left ACC was negatively correlated with anxiety and depressive symptoms in ETTH patients. Conclusions: This is the first study to demonstrate dynamic and reversible GMD changes between the pain and pain-free phases in ETTH patients. However, this balance might be disrupted by increased headache days and progressive anxiety and depressive symptoms.
9,567
274
[ 409, 973, 167, 315, 243, 474, 441 ]
12
[ "etth", "pain", "patients", "phase", "etth patients", "anterior", "free", "headache", "controls", "sas" ]
[ "episodic cluster headache", "tension type headache", "headache worldwide epidemiological", "headache tth prevalent", "including episodic migraine" ]
null
[CONTENT] Episodic tension-type headache | Voxel-based morphometry | Gray matter density | Primary somatosensory cortex | Anterior cingulate cortex | Anterior insula [SUMMARY]
null
[CONTENT] Episodic tension-type headache | Voxel-based morphometry | Gray matter density | Primary somatosensory cortex | Anterior cingulate cortex | Anterior insula [SUMMARY]
[CONTENT] Episodic tension-type headache | Voxel-based morphometry | Gray matter density | Primary somatosensory cortex | Anterior cingulate cortex | Anterior insula [SUMMARY]
[CONTENT] Episodic tension-type headache | Voxel-based morphometry | Gray matter density | Primary somatosensory cortex | Anterior cingulate cortex | Anterior insula [SUMMARY]
[CONTENT] Episodic tension-type headache | Voxel-based morphometry | Gray matter density | Primary somatosensory cortex | Anterior cingulate cortex | Anterior insula [SUMMARY]
[CONTENT] Adult | Anxiety | Brain | Case-Control Studies | Cerebral Cortex | Depression | Female | Gray Matter | Gyrus Cinguli | Humans | Longitudinal Studies | Magnetic Resonance Imaging | Male | Middle Aged | Neuronal Plasticity | Pain | Somatosensory Cortex | Tension-Type Headache [SUMMARY]
null
[CONTENT] Adult | Anxiety | Brain | Case-Control Studies | Cerebral Cortex | Depression | Female | Gray Matter | Gyrus Cinguli | Humans | Longitudinal Studies | Magnetic Resonance Imaging | Male | Middle Aged | Neuronal Plasticity | Pain | Somatosensory Cortex | Tension-Type Headache [SUMMARY]
[CONTENT] Adult | Anxiety | Brain | Case-Control Studies | Cerebral Cortex | Depression | Female | Gray Matter | Gyrus Cinguli | Humans | Longitudinal Studies | Magnetic Resonance Imaging | Male | Middle Aged | Neuronal Plasticity | Pain | Somatosensory Cortex | Tension-Type Headache [SUMMARY]
[CONTENT] Adult | Anxiety | Brain | Case-Control Studies | Cerebral Cortex | Depression | Female | Gray Matter | Gyrus Cinguli | Humans | Longitudinal Studies | Magnetic Resonance Imaging | Male | Middle Aged | Neuronal Plasticity | Pain | Somatosensory Cortex | Tension-Type Headache [SUMMARY]
[CONTENT] Adult | Anxiety | Brain | Case-Control Studies | Cerebral Cortex | Depression | Female | Gray Matter | Gyrus Cinguli | Humans | Longitudinal Studies | Magnetic Resonance Imaging | Male | Middle Aged | Neuronal Plasticity | Pain | Somatosensory Cortex | Tension-Type Headache [SUMMARY]
[CONTENT] episodic cluster headache | tension type headache | headache worldwide epidemiological | headache tth prevalent | including episodic migraine [SUMMARY]
null
[CONTENT] episodic cluster headache | tension type headache | headache worldwide epidemiological | headache tth prevalent | including episodic migraine [SUMMARY]
[CONTENT] episodic cluster headache | tension type headache | headache worldwide epidemiological | headache tth prevalent | including episodic migraine [SUMMARY]
[CONTENT] episodic cluster headache | tension type headache | headache worldwide epidemiological | headache tth prevalent | including episodic migraine [SUMMARY]
[CONTENT] episodic cluster headache | tension type headache | headache worldwide epidemiological | headache tth prevalent | including episodic migraine [SUMMARY]
[CONTENT] etth | pain | patients | phase | etth patients | anterior | free | headache | controls | sas [SUMMARY]
null
[CONTENT] etth | pain | patients | phase | etth patients | anterior | free | headache | controls | sas [SUMMARY]
[CONTENT] etth | pain | patients | phase | etth patients | anterior | free | headache | controls | sas [SUMMARY]
[CONTENT] etth | pain | patients | phase | etth patients | anterior | free | headache | controls | sas [SUMMARY]
[CONTENT] etth | pain | patients | phase | etth patients | anterior | free | headache | controls | sas [SUMMARY]
[CONTENT] tth | pain | etth | gm changes | episodic | related | chronic | chronic tth | gm | structural [SUMMARY]
null
[CONTENT] phase | test | etth | pain | etth patients | patients | sas | sds | pain phase | bilateral [SUMMARY]
[CONTENT] balance | pain | insula pain | pain stimuli | warranted determine | warranted determine structural | warranted determine structural plasticity | determine structural plasticity | determine structural | determine [SUMMARY]
[CONTENT] pain | etth | patients | phase | etth patients | gmd | anterior | images | headache | study [SUMMARY]
[CONTENT] pain | etth | patients | phase | etth patients | gmd | anterior | images | headache | study [SUMMARY]
[CONTENT] ||| GM | ETTH [SUMMARY]
null
[CONTENT] GMD | GMD | ACC ||| GMD ||| GMD | ACC | headache days ||| GMD | ACC [SUMMARY]
[CONTENT] first | GMD ||| [SUMMARY]
[CONTENT] ||| GM | ETTH ||| 40 | 40 ||| 3.0 ||| ||| Voxel | GMD ||| GMD ||| GMD | GMD | ACC ||| GMD ||| GMD | ACC | headache days ||| GMD | ACC ||| first | GMD ||| [SUMMARY]
[CONTENT] ||| GM | ETTH ||| 40 | 40 ||| 3.0 ||| ||| Voxel | GMD ||| GMD ||| GMD | GMD | ACC ||| GMD ||| GMD | ACC | headache days ||| GMD | ACC ||| first | GMD ||| [SUMMARY]
Disparities of Plasmodium falciparum infection, malaria-related morbidity and access to malaria prevention and treatment among school-aged children: a national cross-sectional survey in Côte d'Ivoire.
25559587
There is limited knowledge on the malaria burden of school-aged children in Côte d'Ivoire. The aim of this study was to assess Plasmodium falciparum infection, malaria-related morbidity, use of preventive measures and treatment against malaria, and physical access to health structures among school-aged children across Côte d'Ivoire.
BACKGROUND
A national, cross-sectional study was designed, consisting of clinical and parasitological examinations and interviews with schoolchildren. More than 5,000 children from 93 schools in Côte d'Ivoire were interviewed to determine household socioeconomic status, self-reported morbidity and means of malaria prevention and treatment. Finger-prick blood samples were collected and Plasmodium infection and parasitaemia determined using Giemsa-stained blood films and a rapid diagnostic test (RDT). Haemoglobin levels and body temperature were measured. Children were classified into wealth quintiles using household assets and principal components analysis (PCA). The concentration index was employed to determine significant trends of health variables according to wealth quintiles. Logistic and binomial negative regression analyses were done to investigate for associations between P. falciparum prevalence and parasitaemia and any health-related variable.
METHODS
The prevalence of P. falciparum was 73.9% according to combined microscopy and RDT results with a geometric mean of parasitaemia among infected children of 499 parasites/μl of blood. Infection with P. falciparum was significantly associated with sex, socioeconomic status and study setting, while parasitaemia was associated with age. The rate of bed net use was low compared to the rate of bed net ownership. Preventive measures (bed net ownership, insecticide spray and the reported use of malaria treatment) were more frequently mentioned by children from wealthier households who were at lower risk of P. falciparum infection. Self-reported morbidity (headache) and clinical morbidity (anaemia) were more often reported by children from less wealthy households.
RESULTS
Seven out of ten school-aged children in Côte d'Ivoire are infected with P. falciparum and malaria-related morbidity is considerable. Furthermore, this study points out that bed net usage is quite low and there are important inequalities in preventive measures and treatment. These results can guide equity-oriented malaria control strategies in Côte d'Ivoire.
CONCLUSION
[ "Adolescent", "Blood", "Body Temperature", "Child", "Cote d'Ivoire", "Cross-Sectional Studies", "Female", "Health Services Accessibility", "Hemoglobins", "Humans", "Interviews as Topic", "Malaria, Falciparum", "Male", "Mosquito Nets", "Prevalence", "Schools", "Socioeconomic Factors", "Students" ]
4326184
Background
Plasmodium falciparum malaria remains a key global driver of mortality and morbidity with people in sub-Saharan Africa affected most [1, 2]. In Côte d’Ivoire, malaria is the primary cause of consultation in school health services and might be responsible for up to 40% of school absenteeism [3]. According to the world malaria report, the entire population of Côte d’Ivoire is at risk of malaria [2] and Anopheles gambiae is the primary vector species [4, 5]. However, there is a strong heterogeneity as wealthier people and those living in urban areas are at lower risk of malaria than poorer counterparts in rural settings [6]. Besides its direct impact on health, malaria places a heavy economic and social burden on endemic countries [7, 8]. Key tools and strategies to fight against malaria include, among others, early diagnosis and treatment with artemisinin-based combination therapy (ACT) and distribution of long-lasting insecticidal nets (LLINs) to populations at risk. While great progress has been registered in the control of malaria in many countries, the burden remains intolerably high in other countries [9]. In Côte d’Ivoire, control efforts by the national malaria control programme are facilitated through continued support from the Global Fund to Fight AIDS, Tuberculosis and Malaria. For example, eight million LLINs were distributed in 2011 and further scaling-up of free LLIN distribution (12 million) to the entire population was planned for the last quarter of 2014. Here, results are presented from the first national, cross-sectional school-based survey pertaining to parasitic diseases in Côte d’Ivoire, placing particular emphasis on Plasmodium infections. The study was carried out in late 2011/early 2012 and involved more than 5,000 children aged five to 16 years [10] and thus provides an up-to-date situation of the extent of Plasmodium infection in the school-aged population, associated morbidity, preventive and curative measures and physical access to health systems. The information will be useful for the design of equity-oriented malaria control interventions in Côte d’Ivoire.
Methods
Ethics statement The study protocol received clearance from the ethics committees of Basel (EKBB, reference no. 30/11) and Côte d’Ivoire (reference no. 09-2011/MSHP/CNER-P). Additionally, permission to carry out the study was obtained from the Ministry of National Education. Parents or legal guardians of children provided written informed consent, while children assented orally. All febrile children (tympanic temperature ≥38°C) with a positive rapid diagnostic test (RDT) result for malaria were treated with an ACT, according to World Health Organization (WHO) recommendations and national policies [11]. Anaemic children with a haemoglobin (Hb) level <100 g/l and a negative RDT result were given iron supplementation. The study protocol received clearance from the ethics committees of Basel (EKBB, reference no. 30/11) and Côte d’Ivoire (reference no. 09-2011/MSHP/CNER-P). Additionally, permission to carry out the study was obtained from the Ministry of National Education. Parents or legal guardians of children provided written informed consent, while children assented orally. All febrile children (tympanic temperature ≥38°C) with a positive rapid diagnostic test (RDT) result for malaria were treated with an ACT, according to World Health Organization (WHO) recommendations and national policies [11]. Anaemic children with a haemoglobin (Hb) level <100 g/l and a negative RDT result were given iron supplementation. Study area and sampling procedure The study was carried out between November 2011 and February 2012 during the dry season and covered the entire Côte d’Ivoire. The country has been stratified into three ecozones [10]. In brief, ecozone 1 in the south is characterised by forest-like vegetation and abundant rainfall; ecozone 2 in the north-eastern part contains savannah-like vegetation and has lower precipitation than the south; and ecozone 3 in the north-western part of the country is relatively small, characterised by savannah-like vegetation, intermediate rainfall and hilly terrain reaching altitudes up to 1,300 m above mean sea level [12]. The study was designed following a lattice plus close pairs sampling approach, as described by Diggle and Ribeiro [13]. The aim was to select approximately 100 locations across Côte d’Ivoire. To apply this design, a lattice indicating latitude and longitude at a unit of 0.5° was overlaid on a map of the country showing the two major ecozones; tropical rainforest in the south (ecozone 1) and the savannah in the north (ecozone 2) [12]. Based on average population densities in the two ecozones, 58 survey locations in the southern ecozone and 42 in the northern ecozone were sampled. While most of these locations were chosen on a regular spacing using the lattice, some locations were chosen at random within a radius of 5 and 20 km from the centre of a lattice location. Due to financial and human resources constraints and in view of recommendations put forward by WHO to sample a minimum of 50 children in surveys aimed at baseline data collection on helminth infection prevalence and intensity, the sample size was restricted to 60 children per school [14]. The inclusion of a sample location was based upon the presence of a school with a minimum of 60 children attending grades 3 to 5. Overall, 94 schools were selected. The study was carried out between November 2011 and February 2012 during the dry season and covered the entire Côte d’Ivoire. The country has been stratified into three ecozones [10]. In brief, ecozone 1 in the south is characterised by forest-like vegetation and abundant rainfall; ecozone 2 in the north-eastern part contains savannah-like vegetation and has lower precipitation than the south; and ecozone 3 in the north-western part of the country is relatively small, characterised by savannah-like vegetation, intermediate rainfall and hilly terrain reaching altitudes up to 1,300 m above mean sea level [12]. The study was designed following a lattice plus close pairs sampling approach, as described by Diggle and Ribeiro [13]. The aim was to select approximately 100 locations across Côte d’Ivoire. To apply this design, a lattice indicating latitude and longitude at a unit of 0.5° was overlaid on a map of the country showing the two major ecozones; tropical rainforest in the south (ecozone 1) and the savannah in the north (ecozone 2) [12]. Based on average population densities in the two ecozones, 58 survey locations in the southern ecozone and 42 in the northern ecozone were sampled. While most of these locations were chosen on a regular spacing using the lattice, some locations were chosen at random within a radius of 5 and 20 km from the centre of a lattice location. Due to financial and human resources constraints and in view of recommendations put forward by WHO to sample a minimum of 50 children in surveys aimed at baseline data collection on helminth infection prevalence and intensity, the sample size was restricted to 60 children per school [14]. The inclusion of a sample location was based upon the presence of a school with a minimum of 60 children attending grades 3 to 5. Overall, 94 schools were selected. Field and laboratory procedure The survey team visited one school per day and proceeded as follows. First, the purpose and procedures were explained to school directors and other village authorities. Second, children who had written informed consent from parents/guardians were invited to participate in a parasitological examination and a questionnaire survey. Third, school geographical coordinates were recorded with a hand-held global positioning system (GPS) receiver (Garmin Sery GPS MAP 62; Olathe, USA). For parasitological assessment of children’s Plasmodium infection status, two drops of blood were collected by finger-prick, placed on a microscope slide, and thick and thin blood films prepared. Microscope slides were air-dried, transferred to nearby laboratories where they were stained with Giemsa and examined under a microscope by experienced laboratory technicians for Plasmodium species and parasitaemia. The number of parasitised blood cells was counted against 200 leukocytes, assuming a standard count of 8,000 leukocytes per 1 μl of blood. A random sample of 10% of the slides was re-examined by senior laboratory technicians for quality control. In case of discrepancies (e.g. negative versus positive results or number of parasites differing by more than 10%), a third technician re-examined the slides and results were discussed until agreement was reached. If the level of discrepancy was less than 10%, the first reading was considered as acceptable. Otherwise, all the slides were re-read. A third drop of blood was subjected to an RDT (ICT ML01 malaria Pf kit; ICT Diagnostics, Cape Town, South Africa). The result of the RDT was read after 15 min according to the manufacturer’s instructions. Finally, a fourth drop of blood was employed to determine Hb levels on a portable HemoCue Hb 301 device (HemoCue AB; Ängelholm, Sweden). Anaemia was determined based on Hb levels, according to WHO recommendations [15]. Anaemia was defined as Hb <115 g/l and Hb <120 g/l for children aged 5–11 years and 12–16 years, respectively. Measurement of body temperature was done using an ear thermometer (Braun ThermoScan IRT 4520; Kronberg, Germany). A pretested questionnaire was administered to all children to determine household socioeconomic status, self-reported morbidity, self-reported malaria (malaria episode in the last two weeks before the survey), self-reported use of preventive measures and treatment of malaria. This questionnaire had been utilised in a previous school-based survey in Côte d’Ivoire [16]. The questionnaire included a list of 24 household assets (e.g. bicycle, refrigerator and radio), a list of 11 symptoms (e.g. abdominal pain, headache and vomiting) and a list of eight diseases (e.g. malaria, schistosomiasis and skin disease). Children were asked to report any of these symptoms or diseases with a recall period of two weeks. Questions pertaining to preventive measures included the use of bed nets (bed net ownership, children sleeping under a net and children sleeping under a net the night before the survey) and other preventive measures (i.e. use of insecticide spray and other measures that the population considers to prevent the nuisance of mosquitoes or malaria, including fumigating coils, and burning leaves). A question was added to investigate the use of malaria treatment in the previous two weeks. The survey team visited one school per day and proceeded as follows. First, the purpose and procedures were explained to school directors and other village authorities. Second, children who had written informed consent from parents/guardians were invited to participate in a parasitological examination and a questionnaire survey. Third, school geographical coordinates were recorded with a hand-held global positioning system (GPS) receiver (Garmin Sery GPS MAP 62; Olathe, USA). For parasitological assessment of children’s Plasmodium infection status, two drops of blood were collected by finger-prick, placed on a microscope slide, and thick and thin blood films prepared. Microscope slides were air-dried, transferred to nearby laboratories where they were stained with Giemsa and examined under a microscope by experienced laboratory technicians for Plasmodium species and parasitaemia. The number of parasitised blood cells was counted against 200 leukocytes, assuming a standard count of 8,000 leukocytes per 1 μl of blood. A random sample of 10% of the slides was re-examined by senior laboratory technicians for quality control. In case of discrepancies (e.g. negative versus positive results or number of parasites differing by more than 10%), a third technician re-examined the slides and results were discussed until agreement was reached. If the level of discrepancy was less than 10%, the first reading was considered as acceptable. Otherwise, all the slides were re-read. A third drop of blood was subjected to an RDT (ICT ML01 malaria Pf kit; ICT Diagnostics, Cape Town, South Africa). The result of the RDT was read after 15 min according to the manufacturer’s instructions. Finally, a fourth drop of blood was employed to determine Hb levels on a portable HemoCue Hb 301 device (HemoCue AB; Ängelholm, Sweden). Anaemia was determined based on Hb levels, according to WHO recommendations [15]. Anaemia was defined as Hb <115 g/l and Hb <120 g/l for children aged 5–11 years and 12–16 years, respectively. Measurement of body temperature was done using an ear thermometer (Braun ThermoScan IRT 4520; Kronberg, Germany). A pretested questionnaire was administered to all children to determine household socioeconomic status, self-reported morbidity, self-reported malaria (malaria episode in the last two weeks before the survey), self-reported use of preventive measures and treatment of malaria. This questionnaire had been utilised in a previous school-based survey in Côte d’Ivoire [16]. The questionnaire included a list of 24 household assets (e.g. bicycle, refrigerator and radio), a list of 11 symptoms (e.g. abdominal pain, headache and vomiting) and a list of eight diseases (e.g. malaria, schistosomiasis and skin disease). Children were asked to report any of these symptoms or diseases with a recall period of two weeks. Questions pertaining to preventive measures included the use of bed nets (bed net ownership, children sleeping under a net and children sleeping under a net the night before the survey) and other preventive measures (i.e. use of insecticide spray and other measures that the population considers to prevent the nuisance of mosquitoes or malaria, including fumigating coils, and burning leaves). A question was added to investigate the use of malaria treatment in the previous two weeks. Statistical analysis Data were double-entered and cross-checked using EpiInfo version 3.5.3 (Centers for Disease Control and Prevention, Atlanta, USA). Statistical analyses were done in STATA version 10 (Stata Corporation, College Station, USA). Maps were produced using ArcView GIS version 10.0 (Environmental Systems Research Institute Inc, Redlands, USA). A higher detectability of the effect of the various variables was observed from categorisation, and hence these variables were categorised for subsequent analyses. Age was categorised into two groups: i) five to ten years, and ii) 11 to 16 years [17]. The distance from school to the nearest health facility was grouped as follows: i) <1 km; ii) 1–5 km; and, iii) >5 km [16]. Schools that were located in villages or towns with a health facility were attributed to the first category. Information on the proximity of sampling schools to the nearest health facility was obtained by the Programme National de Santé Scolaire et Universitaire (PNSSU). Five classes of Plasmodium falciparum parasitaemia were considered: i) <50; ii) 50–499; iii) 500–4,999; iv) 5,000-49,999; and, v) >50,000 parasites/μl of blood [18]. For analyses, the combined results of RDT and microscopy were used to determine P. falciparum prevalence; an individual was considered as positive for P. falciparum if either microscopy or RDT or both tests showed positive results. Microscopy results were employed to assess P. falciparum parasitaemia. Logistic and negative binomial regressions were used on P. falciparum prevalence and parasitaemia, respectively, to assess associations with different explanatory variables, including sex, age group, socioeconomic status and study setting. A multivariate regression model, adjusted for sex, age group, socioeconomic status and setting, was used to determine how self-reported morbidity, self-reported malaria, clinical morbidity (fever and anaemia), malaria preventive measures and distance from school to the nearest health facility were linked to P. falciparum prevalence and parasitaemia. In a further step, random effects at the unit of the school were introduced in the multivariate regression models. A household asset-based approach was employed to infer socioeconomic status [19]. To weight household assets, principal components analysis (PCA) was used. Household assets were excluded from the list until the first principal component explained more than 30% of the variability. The individuals’ asset scores were summed and ranked according to the total score. Then, the individuals’ total scores were divided into five socioeconomic groups ranging from less wealthy (1) to wealthiest (5) [16, 20]. The concentration index (C-index) was used to evaluate the direction in which self-reported morbidity, clinical morbidity and access to preventive measures and treatment against malaria were associated with socioeconomic groups [21]. A positive C-index is in favour of wealthier households, whereas a negative C-index is in favour of less wealthy households. The t-test was used to investigate for statistically significant C-indexes. Data were double-entered and cross-checked using EpiInfo version 3.5.3 (Centers for Disease Control and Prevention, Atlanta, USA). Statistical analyses were done in STATA version 10 (Stata Corporation, College Station, USA). Maps were produced using ArcView GIS version 10.0 (Environmental Systems Research Institute Inc, Redlands, USA). A higher detectability of the effect of the various variables was observed from categorisation, and hence these variables were categorised for subsequent analyses. Age was categorised into two groups: i) five to ten years, and ii) 11 to 16 years [17]. The distance from school to the nearest health facility was grouped as follows: i) <1 km; ii) 1–5 km; and, iii) >5 km [16]. Schools that were located in villages or towns with a health facility were attributed to the first category. Information on the proximity of sampling schools to the nearest health facility was obtained by the Programme National de Santé Scolaire et Universitaire (PNSSU). Five classes of Plasmodium falciparum parasitaemia were considered: i) <50; ii) 50–499; iii) 500–4,999; iv) 5,000-49,999; and, v) >50,000 parasites/μl of blood [18]. For analyses, the combined results of RDT and microscopy were used to determine P. falciparum prevalence; an individual was considered as positive for P. falciparum if either microscopy or RDT or both tests showed positive results. Microscopy results were employed to assess P. falciparum parasitaemia. Logistic and negative binomial regressions were used on P. falciparum prevalence and parasitaemia, respectively, to assess associations with different explanatory variables, including sex, age group, socioeconomic status and study setting. A multivariate regression model, adjusted for sex, age group, socioeconomic status and setting, was used to determine how self-reported morbidity, self-reported malaria, clinical morbidity (fever and anaemia), malaria preventive measures and distance from school to the nearest health facility were linked to P. falciparum prevalence and parasitaemia. In a further step, random effects at the unit of the school were introduced in the multivariate regression models. A household asset-based approach was employed to infer socioeconomic status [19]. To weight household assets, principal components analysis (PCA) was used. Household assets were excluded from the list until the first principal component explained more than 30% of the variability. The individuals’ asset scores were summed and ranked according to the total score. Then, the individuals’ total scores were divided into five socioeconomic groups ranging from less wealthy (1) to wealthiest (5) [16, 20]. The concentration index (C-index) was used to evaluate the direction in which self-reported morbidity, clinical morbidity and access to preventive measures and treatment against malaria were associated with socioeconomic groups [21]. A positive C-index is in favour of wealthier households, whereas a negative C-index is in favour of less wealthy households. The t-test was used to investigate for statistically significant C-indexes.
Results
Compliance and characteristics of study participants The study aimed at 60 children in each of the 94 schools selected through a lattice plus close pairs sampling approach across Côte d’Ivoire. One school refused to participate. Overall, 5,356 children were invited to participate in the study. Complete parasitological, clinical and questionnaire data were obtained from 5,122 children (96%). All analyses were done on this cohort (Figure 1). There were significantly more boys than girls (2,714 versus 2,408; p <0.001). With regard to age, there were 3,486 children aged five to ten years, while the remaining 1,636 children were aged 11–16 years.Figure 1 Flow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012. Flow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012. The study aimed at 60 children in each of the 94 schools selected through a lattice plus close pairs sampling approach across Côte d’Ivoire. One school refused to participate. Overall, 5,356 children were invited to participate in the study. Complete parasitological, clinical and questionnaire data were obtained from 5,122 children (96%). All analyses were done on this cohort (Figure 1). There were significantly more boys than girls (2,714 versus 2,408; p <0.001). With regard to age, there were 3,486 children aged five to ten years, while the remaining 1,636 children were aged 11–16 years.Figure 1 Flow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012. Flow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012. Plasmodium falciparumprevalence and parasitaemia Microscopic examination of thick and thin blood films revealed that 94.5% of the detected Plasmodium infections were due to P. falciparum, whilst Plasmodium malariae and Plasmodium ovale accounted for 5.1 and 0.4%, respectively. Further analyses were restricted to P. falciparum infection. According to microscopy, 3,539 children were diagnosed with P. falciparum, resulting in a prevalence of 69.1%. RDT results revealed slightly fewer children infected (n = 3,425; prevalence = 66.9%), but there was good agreement between the two tests (Kappa = 0.73, standard error (SE) = 0.01). The pooled results from microscopy and RDT found 3,785 P. falciparum-infected children, hence an overall prevalence of 73.9%. Figure 2 shows the spatial distribution of P. falciparum infection according to the pooled results.Figure 2 Survey location map showing children’s household socioeconomic status and Plasmodium falciparum infection prevalence at the unit of the school. Of note, villages with health facilities are highlighted. Survey location map showing children’s household socioeconomic status and Plasmodium falciparum infection prevalence at the unit of the school. Of note, villages with health facilities are highlighted. Table 1 shows P. falciparum prevalence data according to the pooled microscopy and RDT results, stratified by sex, age group, socioeconomic status and setting. Bivariate logistic regression models with P. falciparum results used as outcome variable revealed that boys were significantly more likely to be infected than girls. Furthermore, children from wealthier households were less likely to be infected, as well as children visiting schools in urban settings. Children aged 11–16 years showed a slightly higher P. falciparum prevalence compared to their younger counterparts, but the difference lacked statistical significance.Table 1 Results from bivariate logistic regression models on Plasmodium falciparum prevalence data arising from pooled results with microscopy and RDT Microscopy and RDTVariableTotalNo positive (%)OR (95% CI)p-value Age group (years)  5-103,4862,558 (73.4)1.00 11-161,6361,227 (75.0)1.09 (0.95, 1.25)0.218 Sex  Male2,7142,068 (76.2)1.00 Female2,4081,717 (71.3)0.78 (0.69, 0.88)<0.001* Socioeconomic status  11,076897 (83.4)1.00 21,011805 (79.6)0.78 (0.62, 0.97)0.028* 3946710 (75.1)0.60 (0.48, 0.75)<0.001* 4966648 (67.1)0.41 (0.33, 0.50)<0.001* 51,123725 (64.6)0.36 (0.30, 0.45)<0.001* Setting  Rural3,9583,064 (77.4)1.00 Urban1,164721 (61.9)0.47 (0.41, 0.55)<0.001*Utilised model covariates were age, sex, socioeconomic status and setting.*Statistically significant (p <0.05).OR: odds ratio.CI: confidence interval.Socioeconomic status: from less wealthy (1) to wealthiest (5). Results from bivariate logistic regression models on Plasmodium falciparum prevalence data arising from pooled results with microscopy and RDT Utilised model covariates were age, sex, socioeconomic status and setting. *Statistically significant (p <0.05). OR: odds ratio. CI: confidence interval. Socioeconomic status: from less wealthy (1) to wealthiest (5). The geometric mean parasitaemia among infected children was 499 parasites/μl of blood (95% CI: 476–524 parasites/μl of blood) and more than 60% of participants had parasitaemia <500 parasites/μl of blood. Only age was significantly associated with parasitaemia and children belonging to the older age group had significantly lower parasitaemia than their younger counterparts (Table 2).Table 2 Plasmodium falciparum parasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on Plasmodium falciparum parasitaemia VariableTotal examinedPositive for P. falciparuminfection P. falciparumparasitaemia categories (parasites/μl of blood)Negative binomial regression model for P. falciparumparasitaemia (parasites/μl of blood)Geometric mean parasitaemia<5050-499500-4,9995,000-49,999≥50,000n (%)n (%)n (%)n (%)n (%)IRR (95% CI)p-value Age group (years)  5-103,4862,397541.81,212 (34.8)979 (28.1)1,141 (32.7)151 (4.3)3 (0.1)1.00 11-161,6361,142421.0564 (34.5)539 (33.0)475 (29.0)58 (3.6)0 (0.0)0.78 (0.67, 0.90)0.001* Sex  Male2,7141,942511.3875 (32.2)814 (30.0)915 (33.7)109 (4.0)1 (0.0)1.00  Female2,4081,597485.4901 (37.4)704 (29.2)701 (29.1)100 (4.2)2 (0.1)1 (0.87, 1.14)0.950 Socioeconomic status  11,076855520.1268 (24.9)357 (33.2)405 (37.6)45 (4.2)1 (0.1)1.00 21,011755466.3294 (29.1)342 (33.8)335 (33.1)40 (4.0)0 (0.0)0.90 (0.73, 1.11)0.314 3946664515.2312 (33.0)283 (29.9)313 (33.1)37 (3.9)1 (0.1)0.95 (0.77, 1.18)0.642 4966595524.8402 (41.6)244 (25.3)278 (28.8)42 (4.4)0 (0.0)0.81 (0.66, 1.01)0.061 51,123670475.4500 (44.5)292 (26.0)285 (25.4)45 (4.0)1 (0.1)0.89 (0.72, 1.09)0.265 Setting  Rural3,9582,870495.71,239 (31.3)1241 (31.4)1319 (33.3)157 (4.0)2 (0.1)1.00 Urban1,164669515.6537 (46.1)277 (23.8)297 (25.5)52 (4.5)1 (0.1)1.02 (0.87, 1.20)0.800*Statistically significant (p <0.05).IRR: incidence rate ratio.Socioeconomic status: from less wealthy (1) to wealthiest (5). Plasmodium falciparum parasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on Plasmodium falciparum parasitaemia *Statistically significant (p <0.05). IRR: incidence rate ratio. Socioeconomic status: from less wealthy (1) to wealthiest (5). Microscopic examination of thick and thin blood films revealed that 94.5% of the detected Plasmodium infections were due to P. falciparum, whilst Plasmodium malariae and Plasmodium ovale accounted for 5.1 and 0.4%, respectively. Further analyses were restricted to P. falciparum infection. According to microscopy, 3,539 children were diagnosed with P. falciparum, resulting in a prevalence of 69.1%. RDT results revealed slightly fewer children infected (n = 3,425; prevalence = 66.9%), but there was good agreement between the two tests (Kappa = 0.73, standard error (SE) = 0.01). The pooled results from microscopy and RDT found 3,785 P. falciparum-infected children, hence an overall prevalence of 73.9%. Figure 2 shows the spatial distribution of P. falciparum infection according to the pooled results.Figure 2 Survey location map showing children’s household socioeconomic status and Plasmodium falciparum infection prevalence at the unit of the school. Of note, villages with health facilities are highlighted. Survey location map showing children’s household socioeconomic status and Plasmodium falciparum infection prevalence at the unit of the school. Of note, villages with health facilities are highlighted. Table 1 shows P. falciparum prevalence data according to the pooled microscopy and RDT results, stratified by sex, age group, socioeconomic status and setting. Bivariate logistic regression models with P. falciparum results used as outcome variable revealed that boys were significantly more likely to be infected than girls. Furthermore, children from wealthier households were less likely to be infected, as well as children visiting schools in urban settings. Children aged 11–16 years showed a slightly higher P. falciparum prevalence compared to their younger counterparts, but the difference lacked statistical significance.Table 1 Results from bivariate logistic regression models on Plasmodium falciparum prevalence data arising from pooled results with microscopy and RDT Microscopy and RDTVariableTotalNo positive (%)OR (95% CI)p-value Age group (years)  5-103,4862,558 (73.4)1.00 11-161,6361,227 (75.0)1.09 (0.95, 1.25)0.218 Sex  Male2,7142,068 (76.2)1.00 Female2,4081,717 (71.3)0.78 (0.69, 0.88)<0.001* Socioeconomic status  11,076897 (83.4)1.00 21,011805 (79.6)0.78 (0.62, 0.97)0.028* 3946710 (75.1)0.60 (0.48, 0.75)<0.001* 4966648 (67.1)0.41 (0.33, 0.50)<0.001* 51,123725 (64.6)0.36 (0.30, 0.45)<0.001* Setting  Rural3,9583,064 (77.4)1.00 Urban1,164721 (61.9)0.47 (0.41, 0.55)<0.001*Utilised model covariates were age, sex, socioeconomic status and setting.*Statistically significant (p <0.05).OR: odds ratio.CI: confidence interval.Socioeconomic status: from less wealthy (1) to wealthiest (5). Results from bivariate logistic regression models on Plasmodium falciparum prevalence data arising from pooled results with microscopy and RDT Utilised model covariates were age, sex, socioeconomic status and setting. *Statistically significant (p <0.05). OR: odds ratio. CI: confidence interval. Socioeconomic status: from less wealthy (1) to wealthiest (5). The geometric mean parasitaemia among infected children was 499 parasites/μl of blood (95% CI: 476–524 parasites/μl of blood) and more than 60% of participants had parasitaemia <500 parasites/μl of blood. Only age was significantly associated with parasitaemia and children belonging to the older age group had significantly lower parasitaemia than their younger counterparts (Table 2).Table 2 Plasmodium falciparum parasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on Plasmodium falciparum parasitaemia VariableTotal examinedPositive for P. falciparuminfection P. falciparumparasitaemia categories (parasites/μl of blood)Negative binomial regression model for P. falciparumparasitaemia (parasites/μl of blood)Geometric mean parasitaemia<5050-499500-4,9995,000-49,999≥50,000n (%)n (%)n (%)n (%)n (%)IRR (95% CI)p-value Age group (years)  5-103,4862,397541.81,212 (34.8)979 (28.1)1,141 (32.7)151 (4.3)3 (0.1)1.00 11-161,6361,142421.0564 (34.5)539 (33.0)475 (29.0)58 (3.6)0 (0.0)0.78 (0.67, 0.90)0.001* Sex  Male2,7141,942511.3875 (32.2)814 (30.0)915 (33.7)109 (4.0)1 (0.0)1.00  Female2,4081,597485.4901 (37.4)704 (29.2)701 (29.1)100 (4.2)2 (0.1)1 (0.87, 1.14)0.950 Socioeconomic status  11,076855520.1268 (24.9)357 (33.2)405 (37.6)45 (4.2)1 (0.1)1.00 21,011755466.3294 (29.1)342 (33.8)335 (33.1)40 (4.0)0 (0.0)0.90 (0.73, 1.11)0.314 3946664515.2312 (33.0)283 (29.9)313 (33.1)37 (3.9)1 (0.1)0.95 (0.77, 1.18)0.642 4966595524.8402 (41.6)244 (25.3)278 (28.8)42 (4.4)0 (0.0)0.81 (0.66, 1.01)0.061 51,123670475.4500 (44.5)292 (26.0)285 (25.4)45 (4.0)1 (0.1)0.89 (0.72, 1.09)0.265 Setting  Rural3,9582,870495.71,239 (31.3)1241 (31.4)1319 (33.3)157 (4.0)2 (0.1)1.00 Urban1,164669515.6537 (46.1)277 (23.8)297 (25.5)52 (4.5)1 (0.1)1.02 (0.87, 1.20)0.800*Statistically significant (p <0.05).IRR: incidence rate ratio.Socioeconomic status: from less wealthy (1) to wealthiest (5). Plasmodium falciparum parasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on Plasmodium falciparum parasitaemia *Statistically significant (p <0.05). IRR: incidence rate ratio. Socioeconomic status: from less wealthy (1) to wealthiest (5). Disparities in prevention and treatment against malaria, self-reported morbidity and distance to nearest health facilities across socioeconomic groups Three-quarter of the children reported to have a bed net at home with children from wealthier households more likely to possess a net. About half of the children reported to sleep regularly under a net and 43% responded that they had slept under a net the night before the survey. Other preventive measures were most frequently reported by children from wealthier households, except for burning leaves. The use of malaria treatment within the past two weeks was more frequently reported by children from wealthier households. With regard to self-reported morbidity, children from poorer households reported significantly more often to have suffered from headache and abdominal pain. Children from poorer household were significantly more diagnosed with anaemia. Detailed results of the relationships and directions between the use of preventive measures, malaria treatment, distance to nearest health facility, self-reported morbidity and schoolchildren’s socioeconomic status are presented in Additional file 1. Three-quarter of the children reported to have a bed net at home with children from wealthier households more likely to possess a net. About half of the children reported to sleep regularly under a net and 43% responded that they had slept under a net the night before the survey. Other preventive measures were most frequently reported by children from wealthier households, except for burning leaves. The use of malaria treatment within the past two weeks was more frequently reported by children from wealthier households. With regard to self-reported morbidity, children from poorer households reported significantly more often to have suffered from headache and abdominal pain. Children from poorer household were significantly more diagnosed with anaemia. Detailed results of the relationships and directions between the use of preventive measures, malaria treatment, distance to nearest health facility, self-reported morbidity and schoolchildren’s socioeconomic status are presented in Additional file 1. Associations of Plasmodium falciparuminfection status and parasitaemia with self-reported morbidity Results from the multivariate regression models used to assess for associations between P. falciparum infection status and parasitaemia and self-reported and clinical morbidity, are presented in Table 3. It was found that self-reported vomiting and anaemia were significantly and positively associated with P. falciparum infection status. However, children reporting malaria were less likely to be infected with P. falciparum than those not reporting malaria. This result remained the same in the random effect logistic regression model after accounting for school location.Table 3 Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates self-reported and clinical morbidity P. falciparuminfection status P. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value Self, reported morbidity/disease  Headache1.15 (0.99, 1.33)0.0771.09 (0.93, 1.28)0.3001.13 (0.97, 1.33)0.1241.06 (0.98, 1.14)0.136 Hot body1.00 (0.86, 1.18)0.9530.96 (0.81, 1.32)0.6221.36 (1.15, 1.61)<0.001*1.01 (0.94, 1.10)0.758 Abdominal pain1.14 (0.99, 1.32)0.0781.10 (0.95, 1.28)0.2160.93 (0.80, 1.09)0.4011.07 (1.00, 1.16)0.053 Vomiting1.25 (1.07, 1.45)0.004*1.30 (1.11, 1.52)0.001*1.24 (1.05, 1.45)0.010*1.16 (1.08, 1.25)<0.001* Fatigue1.00 (0.87, 1.16)0.9521.01 (0.87, 1.18)0.8540.90 (0.78, 1.05)0.1851.01 (0.94, 1.08)0.855 Loss of appetite0.96 (0.83, 1.12)0.6080.95 (0.81, 1.12)0.5400.85 (0.73, 1.00)0.046*0.96 (0.89, 1.03)0.245 Malaria0.82 (0.70, 0.95)0.011*0.80 (0.67, 0.94)0.008*1.00 (0.85, 1.18)0.9840.89 (0.82, 0.96)0.004* Clinical morbidity  Fever1.04 (0.61, 1.79)0.8811.03 (0.58, 1.82)0.9283.31 (1.88, 5.81)<0.001*1.35 (1.05, 1.73)0.020* Anaemia1.55 (1.34, 1.80)<0.001*1.64 (1.40, 1.93)<0.001*1.36 (1.17, 1.58)<0.001*1.24 (1.16, 1.33)<0.001**Statistically significant (p <0.05).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting. Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates self-reported and clinical morbidity *Statistically significant (p <0.05). OR: odds ratio. IRR: incidence rate ratio. Models were adjusted for age, sex, socioeconomic status and setting. With regard to parasitaemia, self-reported hot body and vomiting were positively, and loss of appetite negatively associated with P. falciparum parasitaemia. Clinical morbidities (i.e. fever and anaemia) were positively associated with P. falciparum parasitaemia. The fever incidence rate was 3.3 higher with increasing parasitaemia levels. After accounting for school location in the multivariate negative binomial model, self-reported vomiting, fever and anaemia still showed significant positive associations with P. falciparum parasitaemia. Additionally, self-reported malaria showed a significant negative association to parasitaemia. Results from the multivariate regression models used to assess for associations between P. falciparum infection status and parasitaemia and self-reported and clinical morbidity, are presented in Table 3. It was found that self-reported vomiting and anaemia were significantly and positively associated with P. falciparum infection status. However, children reporting malaria were less likely to be infected with P. falciparum than those not reporting malaria. This result remained the same in the random effect logistic regression model after accounting for school location.Table 3 Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates self-reported and clinical morbidity P. falciparuminfection status P. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value Self, reported morbidity/disease  Headache1.15 (0.99, 1.33)0.0771.09 (0.93, 1.28)0.3001.13 (0.97, 1.33)0.1241.06 (0.98, 1.14)0.136 Hot body1.00 (0.86, 1.18)0.9530.96 (0.81, 1.32)0.6221.36 (1.15, 1.61)<0.001*1.01 (0.94, 1.10)0.758 Abdominal pain1.14 (0.99, 1.32)0.0781.10 (0.95, 1.28)0.2160.93 (0.80, 1.09)0.4011.07 (1.00, 1.16)0.053 Vomiting1.25 (1.07, 1.45)0.004*1.30 (1.11, 1.52)0.001*1.24 (1.05, 1.45)0.010*1.16 (1.08, 1.25)<0.001* Fatigue1.00 (0.87, 1.16)0.9521.01 (0.87, 1.18)0.8540.90 (0.78, 1.05)0.1851.01 (0.94, 1.08)0.855 Loss of appetite0.96 (0.83, 1.12)0.6080.95 (0.81, 1.12)0.5400.85 (0.73, 1.00)0.046*0.96 (0.89, 1.03)0.245 Malaria0.82 (0.70, 0.95)0.011*0.80 (0.67, 0.94)0.008*1.00 (0.85, 1.18)0.9840.89 (0.82, 0.96)0.004* Clinical morbidity  Fever1.04 (0.61, 1.79)0.8811.03 (0.58, 1.82)0.9283.31 (1.88, 5.81)<0.001*1.35 (1.05, 1.73)0.020* Anaemia1.55 (1.34, 1.80)<0.001*1.64 (1.40, 1.93)<0.001*1.36 (1.17, 1.58)<0.001*1.24 (1.16, 1.33)<0.001**Statistically significant (p <0.05).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting. Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates self-reported and clinical morbidity *Statistically significant (p <0.05). OR: odds ratio. IRR: incidence rate ratio. Models were adjusted for age, sex, socioeconomic status and setting. With regard to parasitaemia, self-reported hot body and vomiting were positively, and loss of appetite negatively associated with P. falciparum parasitaemia. Clinical morbidities (i.e. fever and anaemia) were positively associated with P. falciparum parasitaemia. The fever incidence rate was 3.3 higher with increasing parasitaemia levels. After accounting for school location in the multivariate negative binomial model, self-reported vomiting, fever and anaemia still showed significant positive associations with P. falciparum parasitaemia. Additionally, self-reported malaria showed a significant negative association to parasitaemia. Associations of Plasmodium falciparuminfection status and parasitaemia with preventive measures against malaria and distance to nearest health facility Results from the multivariate regression models to determine associations between P. falciparum infection status and parasitaemia with preventive measures against malaria and distance to nearest health facility are shown in Table 4. While the use of insecticide spray was negatively associated with P. falciparum infection, burning leaves was associated with higher odds of P. falciparum infection. Furthermore, attending schools at distances >5 km from the nearest health facility was negatively associated with P. falciparum infection. The same findings were observed in both multivariate logistic regressions models (before and after accounting for random effects at the unit of the school) for insecticide spray and burning leaves.Table 4 Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility P. falciparuminfection status P. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value Net usage  Bed net ownership1.01 (0.85, 1.20)0.9110.97 (0.81, 1.16)0.7470.88 (0.73, 1.05)0.1551.00 (0.92, 1.09)0.958 Children sleeping under a net0.99 (0.76, 1.29)0.9501.03 (0.78, 1.37)0.8141.09 (0.83, 1.44)0.5451.04 (0.91, 1.19)0.529 Children slept under a net last night0.99 (0.76, 1.28)0.9360.90 (0.69, 1.18)0.4490.98 (0.74, 1.29)0.8810.95 (0.83, 1.08)0.447 Other preventive measures against malaria  Fumigating coil1.14 (0.99, 1.32)0.0741.20 (1.03, 1.40)0.018*1.06 (0.91, 1.24)0.4591.09 (1.01, 1.17)0.029* Insecticide spray0.78 (0.68, 0.90)0.001*0.83 (0.71, 0.97)0.017*0.95 (0.81, 1.12)0.5700.84 (0.78, 0.91)<0.001* Smoke by burning leaves1.26 (1.07, 1.49)0.006*1.26 (1.05, 1.51)0.013*1.06 (0.90, 1.26)0.4781.06 (0.98, 1.15)0.168 Malaria treatment 0.85 (0.72, 1.00)0.0510.83 (0.70, 0.99)0.036*0.97 (0.81, 1.17)0.7750.93 (0.85, 1.02)0.112 Distance to nearest health facility a  <1 km1.001.001.001.00 1-5 km0.76 (0.61, 0.94)0.012*0.80 (0.49, 1.29)0.3570.71 (0.57, 0.90)0.005*0.96 (0.85, 1.08)0.451 >5 km0.77 (0.64, 0.92)0.005*0.78 (0.52, 1.16)0.2190.80 (0.66, 0.96)0.019*0.86 (0.78, 0.94)0.002**Statistically significant (p < 0.05). aDistance to nearest health facility (<1 km as reference).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting.Random effects were introduced for school location. Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility *Statistically significant (p < 0.05). aDistance to nearest health facility (<1 km as reference). OR: odds ratio. IRR: incidence rate ratio. Models were adjusted for age, sex, socioeconomic status and setting. Random effects were introduced for school location. Only the use of insecticide spray was associated with a significantly lower level of parasitaemia after accounting for school location in the multivariate negative binomial regression model. Children visiting schools located farther away from health facilities had, on average, lower levels of parasitaemia than their counterparts living in close proximity. Results from the multivariate regression models to determine associations between P. falciparum infection status and parasitaemia with preventive measures against malaria and distance to nearest health facility are shown in Table 4. While the use of insecticide spray was negatively associated with P. falciparum infection, burning leaves was associated with higher odds of P. falciparum infection. Furthermore, attending schools at distances >5 km from the nearest health facility was negatively associated with P. falciparum infection. The same findings were observed in both multivariate logistic regressions models (before and after accounting for random effects at the unit of the school) for insecticide spray and burning leaves.Table 4 Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility P. falciparuminfection status P. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value Net usage  Bed net ownership1.01 (0.85, 1.20)0.9110.97 (0.81, 1.16)0.7470.88 (0.73, 1.05)0.1551.00 (0.92, 1.09)0.958 Children sleeping under a net0.99 (0.76, 1.29)0.9501.03 (0.78, 1.37)0.8141.09 (0.83, 1.44)0.5451.04 (0.91, 1.19)0.529 Children slept under a net last night0.99 (0.76, 1.28)0.9360.90 (0.69, 1.18)0.4490.98 (0.74, 1.29)0.8810.95 (0.83, 1.08)0.447 Other preventive measures against malaria  Fumigating coil1.14 (0.99, 1.32)0.0741.20 (1.03, 1.40)0.018*1.06 (0.91, 1.24)0.4591.09 (1.01, 1.17)0.029* Insecticide spray0.78 (0.68, 0.90)0.001*0.83 (0.71, 0.97)0.017*0.95 (0.81, 1.12)0.5700.84 (0.78, 0.91)<0.001* Smoke by burning leaves1.26 (1.07, 1.49)0.006*1.26 (1.05, 1.51)0.013*1.06 (0.90, 1.26)0.4781.06 (0.98, 1.15)0.168 Malaria treatment 0.85 (0.72, 1.00)0.0510.83 (0.70, 0.99)0.036*0.97 (0.81, 1.17)0.7750.93 (0.85, 1.02)0.112 Distance to nearest health facility a  <1 km1.001.001.001.00 1-5 km0.76 (0.61, 0.94)0.012*0.80 (0.49, 1.29)0.3570.71 (0.57, 0.90)0.005*0.96 (0.85, 1.08)0.451 >5 km0.77 (0.64, 0.92)0.005*0.78 (0.52, 1.16)0.2190.80 (0.66, 0.96)0.019*0.86 (0.78, 0.94)0.002**Statistically significant (p < 0.05). aDistance to nearest health facility (<1 km as reference).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting.Random effects were introduced for school location. Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility *Statistically significant (p < 0.05). aDistance to nearest health facility (<1 km as reference). OR: odds ratio. IRR: incidence rate ratio. Models were adjusted for age, sex, socioeconomic status and setting. Random effects were introduced for school location. Only the use of insecticide spray was associated with a significantly lower level of parasitaemia after accounting for school location in the multivariate negative binomial regression model. Children visiting schools located farther away from health facilities had, on average, lower levels of parasitaemia than their counterparts living in close proximity.
Conclusion
This first national school-based cross-sectional survey confirmed that P. falciparum endemicity is high in Côte d’Ivoire. Hence, continued and stronger efforts are still necessary to reduce the intolerable burden of malaria in this West African country. Significant disparities in the prevention and treatment of malaria according to socioeconomic groups are apparent, calling for adapting current control strategies to further enhance equity. Although progress has been registered to increase net coverage in high-risk groups, only a relatively small proportion of children at school age reported to have access to preventive measures, including LLINs, and the actual number of children making regular use of nets is quite low. This calls for concerted efforts to increase access to information and preventive measures in the entire population. Furthermore, improved knowledge on the effect of a list of determinants, including climatic, environmental, socioeconomic and control interventions, on the distribution of P. falciparum infection in schools needs to be generated through rigorous monitoring platforms. Finally, geostatistical modelling and prediction of malaria risk as done in previous studies [17, 56] is needed to spatially target control needs.
[ "Background", "Ethics statement", "Study area and sampling procedure", "Field and laboratory procedure", "Statistical analysis", "Compliance and characteristics of study participants", "Plasmodium falciparumprevalence and parasitaemia", "Disparities in prevention and treatment against malaria, self-reported morbidity and distance to nearest health facilities across socioeconomic groups", "Associations of Plasmodium falciparuminfection status and parasitaemia with self-reported morbidity", "Associations of Plasmodium falciparuminfection status and parasitaemia with preventive measures against malaria and distance to nearest health facility", "" ]
[ "Plasmodium falciparum malaria remains a key global driver of mortality and morbidity with people in sub-Saharan Africa affected most [1, 2]. In Côte d’Ivoire, malaria is the primary cause of consultation in school health services and might be responsible for up to 40% of school absenteeism [3]. According to the world malaria report, the entire population of Côte d’Ivoire is at risk of malaria [2] and Anopheles gambiae is the primary vector species [4, 5]. However, there is a strong heterogeneity as wealthier people and those living in urban areas are at lower risk of malaria than poorer counterparts in rural settings [6].\nBesides its direct impact on health, malaria places a heavy economic and social burden on endemic countries [7, 8]. Key tools and strategies to fight against malaria include, among others, early diagnosis and treatment with artemisinin-based combination therapy (ACT) and distribution of long-lasting insecticidal nets (LLINs) to populations at risk. While great progress has been registered in the control of malaria in many countries, the burden remains intolerably high in other countries [9]. In Côte d’Ivoire, control efforts by the national malaria control programme are facilitated through continued support from the Global Fund to Fight AIDS, Tuberculosis and Malaria. For example, eight million LLINs were distributed in 2011 and further scaling-up of free LLIN distribution (12 million) to the entire population was planned for the last quarter of 2014.\nHere, results are presented from the first national, cross-sectional school-based survey pertaining to parasitic diseases in Côte d’Ivoire, placing particular emphasis on Plasmodium infections. The study was carried out in late 2011/early 2012 and involved more than 5,000 children aged five to 16 years [10] and thus provides an up-to-date situation of the extent of Plasmodium infection in the school-aged population, associated morbidity, preventive and curative measures and physical access to health systems. The information will be useful for the design of equity-oriented malaria control interventions in Côte d’Ivoire.", "The study protocol received clearance from the ethics committees of Basel (EKBB, reference no. 30/11) and Côte d’Ivoire (reference no. 09-2011/MSHP/CNER-P). Additionally, permission to carry out the study was obtained from the Ministry of National Education. Parents or legal guardians of children provided written informed consent, while children assented orally. All febrile children (tympanic temperature ≥38°C) with a positive rapid diagnostic test (RDT) result for malaria were treated with an ACT, according to World Health Organization (WHO) recommendations and national policies [11]. Anaemic children with a haemoglobin (Hb) level <100 g/l and a negative RDT result were given iron supplementation.", "The study was carried out between November 2011 and February 2012 during the dry season and covered the entire Côte d’Ivoire. The country has been stratified into three ecozones [10]. In brief, ecozone 1 in the south is characterised by forest-like vegetation and abundant rainfall; ecozone 2 in the north-eastern part contains savannah-like vegetation and has lower precipitation than the south; and ecozone 3 in the north-western part of the country is relatively small, characterised by savannah-like vegetation, intermediate rainfall and hilly terrain reaching altitudes up to 1,300 m above mean sea level [12].\nThe study was designed following a lattice plus close pairs sampling approach, as described by Diggle and Ribeiro [13]. The aim was to select approximately 100 locations across Côte d’Ivoire. To apply this design, a lattice indicating latitude and longitude at a unit of 0.5° was overlaid on a map of the country showing the two major ecozones; tropical rainforest in the south (ecozone 1) and the savannah in the north (ecozone 2) [12]. Based on average population densities in the two ecozones, 58 survey locations in the southern ecozone and 42 in the northern ecozone were sampled. While most of these locations were chosen on a regular spacing using the lattice, some locations were chosen at random within a radius of 5 and 20 km from the centre of a lattice location. Due to financial and human resources constraints and in view of recommendations put forward by WHO to sample a minimum of 50 children in surveys aimed at baseline data collection on helminth infection prevalence and intensity, the sample size was restricted to 60 children per school [14]. The inclusion of a sample location was based upon the presence of a school with a minimum of 60 children attending grades 3 to 5. Overall, 94 schools were selected.", "The survey team visited one school per day and proceeded as follows. First, the purpose and procedures were explained to school directors and other village authorities. Second, children who had written informed consent from parents/guardians were invited to participate in a parasitological examination and a questionnaire survey. Third, school geographical coordinates were recorded with a hand-held global positioning system (GPS) receiver (Garmin Sery GPS MAP 62; Olathe, USA).\nFor parasitological assessment of children’s Plasmodium infection status, two drops of blood were collected by finger-prick, placed on a microscope slide, and thick and thin blood films prepared. Microscope slides were air-dried, transferred to nearby laboratories where they were stained with Giemsa and examined under a microscope by experienced laboratory technicians for Plasmodium species and parasitaemia. The number of parasitised blood cells was counted against 200 leukocytes, assuming a standard count of 8,000 leukocytes per 1 μl of blood. A random sample of 10% of the slides was re-examined by senior laboratory technicians for quality control. In case of discrepancies (e.g. negative versus positive results or number of parasites differing by more than 10%), a third technician re-examined the slides and results were discussed until agreement was reached. If the level of discrepancy was less than 10%, the first reading was considered as acceptable. Otherwise, all the slides were re-read. A third drop of blood was subjected to an RDT (ICT ML01 malaria Pf kit; ICT Diagnostics, Cape Town, South Africa). The result of the RDT was read after 15 min according to the manufacturer’s instructions. Finally, a fourth drop of blood was employed to determine Hb levels on a portable HemoCue Hb 301 device (HemoCue AB; Ängelholm, Sweden). Anaemia was determined based on Hb levels, according to WHO recommendations [15]. Anaemia was defined as Hb <115 g/l and Hb <120 g/l for children aged 5–11 years and 12–16 years, respectively. Measurement of body temperature was done using an ear thermometer (Braun ThermoScan IRT 4520; Kronberg, Germany).\nA pretested questionnaire was administered to all children to determine household socioeconomic status, self-reported morbidity, self-reported malaria (malaria episode in the last two weeks before the survey), self-reported use of preventive measures and treatment of malaria. This questionnaire had been utilised in a previous school-based survey in Côte d’Ivoire [16]. The questionnaire included a list of 24 household assets (e.g. bicycle, refrigerator and radio), a list of 11 symptoms (e.g. abdominal pain, headache and vomiting) and a list of eight diseases (e.g. malaria, schistosomiasis and skin disease). Children were asked to report any of these symptoms or diseases with a recall period of two weeks. Questions pertaining to preventive measures included the use of bed nets (bed net ownership, children sleeping under a net and children sleeping under a net the night before the survey) and other preventive measures (i.e. use of insecticide spray and other measures that the population considers to prevent the nuisance of mosquitoes or malaria, including fumigating coils, and burning leaves). A question was added to investigate the use of malaria treatment in the previous two weeks.", "Data were double-entered and cross-checked using EpiInfo version 3.5.3 (Centers for Disease Control and Prevention, Atlanta, USA). Statistical analyses were done in STATA version 10 (Stata Corporation, College Station, USA). Maps were produced using ArcView GIS version 10.0 (Environmental Systems Research Institute Inc, Redlands, USA).\nA higher detectability of the effect of the various variables was observed from categorisation, and hence these variables were categorised for subsequent analyses. Age was categorised into two groups: i) five to ten years, and ii) 11 to 16 years [17]. The distance from school to the nearest health facility was grouped as follows: i) <1 km; ii) 1–5 km; and, iii) >5 km [16]. Schools that were located in villages or towns with a health facility were attributed to the first category. Information on the proximity of sampling schools to the nearest health facility was obtained by the Programme National de Santé Scolaire et Universitaire (PNSSU). Five classes of Plasmodium falciparum parasitaemia were considered: i) <50; ii) 50–499; iii) 500–4,999; iv) 5,000-49,999; and, v) >50,000 parasites/μl of blood [18]. For analyses, the combined results of RDT and microscopy were used to determine P. falciparum prevalence; an individual was considered as positive for P. falciparum if either microscopy or RDT or both tests showed positive results. Microscopy results were employed to assess P. falciparum parasitaemia. Logistic and negative binomial regressions were used on P. falciparum prevalence and parasitaemia, respectively, to assess associations with different explanatory variables, including sex, age group, socioeconomic status and study setting. A multivariate regression model, adjusted for sex, age group, socioeconomic status and setting, was used to determine how self-reported morbidity, self-reported malaria, clinical morbidity (fever and anaemia), malaria preventive measures and distance from school to the nearest health facility were linked to P. falciparum prevalence and parasitaemia. In a further step, random effects at the unit of the school were introduced in the multivariate regression models.\nA household asset-based approach was employed to infer socioeconomic status [19]. To weight household assets, principal components analysis (PCA) was used. Household assets were excluded from the list until the first principal component explained more than 30% of the variability. The individuals’ asset scores were summed and ranked according to the total score. Then, the individuals’ total scores were divided into five socioeconomic groups ranging from less wealthy (1) to wealthiest (5) [16, 20]. The concentration index (C-index) was used to evaluate the direction in which self-reported morbidity, clinical morbidity and access to preventive measures and treatment against malaria were associated with socioeconomic groups [21]. A positive C-index is in favour of wealthier households, whereas a negative C-index is in favour of less wealthy households. The t-test was used to investigate for statistically significant C-indexes.", "The study aimed at 60 children in each of the 94 schools selected through a lattice plus close pairs sampling approach across Côte d’Ivoire. One school refused to participate. Overall, 5,356 children were invited to participate in the study. Complete parasitological, clinical and questionnaire data were obtained from 5,122 children (96%). All analyses were done on this cohort (Figure 1). There were significantly more boys than girls (2,714 versus 2,408; p <0.001). With regard to age, there were 3,486 children aged five to ten years, while the remaining 1,636 children were aged 11–16 years.Figure 1\nFlow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012.\n\n\nFlow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012.\n", "Microscopic examination of thick and thin blood films revealed that 94.5% of the detected Plasmodium infections were due to P. falciparum, whilst Plasmodium malariae and Plasmodium ovale accounted for 5.1 and 0.4%, respectively. Further analyses were restricted to P. falciparum infection. According to microscopy, 3,539 children were diagnosed with P. falciparum, resulting in a prevalence of 69.1%. RDT results revealed slightly fewer children infected (n = 3,425; prevalence = 66.9%), but there was good agreement between the two tests (Kappa = 0.73, standard error (SE) = 0.01). The pooled results from microscopy and RDT found 3,785 P. falciparum-infected children, hence an overall prevalence of 73.9%. Figure 2 shows the spatial distribution of P. falciparum infection according to the pooled results.Figure 2\nSurvey location map showing children’s household socioeconomic status and\nPlasmodium falciparum\ninfection prevalence at the unit of the school. Of note, villages with health facilities are highlighted.\n\nSurvey location map showing children’s household socioeconomic status and\nPlasmodium falciparum\ninfection prevalence at the unit of the school. Of note, villages with health facilities are highlighted.\nTable 1 shows P. falciparum prevalence data according to the pooled microscopy and RDT results, stratified by sex, age group, socioeconomic status and setting. Bivariate logistic regression models with P. falciparum results used as outcome variable revealed that boys were significantly more likely to be infected than girls. Furthermore, children from wealthier households were less likely to be infected, as well as children visiting schools in urban settings. Children aged 11–16 years showed a slightly higher P. falciparum prevalence compared to their younger counterparts, but the difference lacked statistical significance.Table 1\nResults from bivariate logistic regression models on\nPlasmodium falciparum\nprevalence data arising from pooled results with microscopy and RDT\nMicroscopy and RDTVariableTotalNo positive (%)OR (95% CI)p-value\nAge group (years)\n 5-103,4862,558 (73.4)1.00 11-161,6361,227 (75.0)1.09 (0.95, 1.25)0.218\nSex\n Male2,7142,068 (76.2)1.00 Female2,4081,717 (71.3)0.78 (0.69, 0.88)<0.001*\nSocioeconomic status\n 11,076897 (83.4)1.00 21,011805 (79.6)0.78 (0.62, 0.97)0.028* 3946710 (75.1)0.60 (0.48, 0.75)<0.001* 4966648 (67.1)0.41 (0.33, 0.50)<0.001* 51,123725 (64.6)0.36 (0.30, 0.45)<0.001*\nSetting\n Rural3,9583,064 (77.4)1.00 Urban1,164721 (61.9)0.47 (0.41, 0.55)<0.001*Utilised model covariates were age, sex, socioeconomic status and setting.*Statistically significant (p <0.05).OR: odds ratio.CI: confidence interval.Socioeconomic status: from less wealthy (1) to wealthiest (5).\n\nResults from bivariate logistic regression models on\nPlasmodium falciparum\nprevalence data arising from pooled results with microscopy and RDT\n\nUtilised model covariates were age, sex, socioeconomic status and setting.\n*Statistically significant (p <0.05).\nOR: odds ratio.\nCI: confidence interval.\nSocioeconomic status: from less wealthy (1) to wealthiest (5).\nThe geometric mean parasitaemia among infected children was 499 parasites/μl of blood (95% CI: 476–524 parasites/μl of blood) and more than 60% of participants had parasitaemia <500 parasites/μl of blood. Only age was significantly associated with parasitaemia and children belonging to the older age group had significantly lower parasitaemia than their younger counterparts (Table 2).Table 2\nPlasmodium falciparum\nparasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on\nPlasmodium falciparum\nparasitaemia\nVariableTotal examinedPositive for P. falciparuminfection\nP. falciparumparasitaemia categories (parasites/μl of blood)Negative binomial regression model for P. falciparumparasitaemia (parasites/μl of blood)Geometric mean parasitaemia<5050-499500-4,9995,000-49,999≥50,000n (%)n (%)n (%)n (%)n (%)IRR (95% CI)p-value\nAge group (years)\n 5-103,4862,397541.81,212 (34.8)979 (28.1)1,141 (32.7)151 (4.3)3 (0.1)1.00 11-161,6361,142421.0564 (34.5)539 (33.0)475 (29.0)58 (3.6)0 (0.0)0.78 (0.67, 0.90)0.001*\nSex\n Male2,7141,942511.3875 (32.2)814 (30.0)915 (33.7)109 (4.0)1 (0.0)1.00  Female2,4081,597485.4901 (37.4)704 (29.2)701 (29.1)100 (4.2)2 (0.1)1 (0.87, 1.14)0.950\nSocioeconomic status\n 11,076855520.1268 (24.9)357 (33.2)405 (37.6)45 (4.2)1 (0.1)1.00 21,011755466.3294 (29.1)342 (33.8)335 (33.1)40 (4.0)0 (0.0)0.90 (0.73, 1.11)0.314 3946664515.2312 (33.0)283 (29.9)313 (33.1)37 (3.9)1 (0.1)0.95 (0.77, 1.18)0.642 4966595524.8402 (41.6)244 (25.3)278 (28.8)42 (4.4)0 (0.0)0.81 (0.66, 1.01)0.061 51,123670475.4500 (44.5)292 (26.0)285 (25.4)45 (4.0)1 (0.1)0.89 (0.72, 1.09)0.265\nSetting\n Rural3,9582,870495.71,239 (31.3)1241 (31.4)1319 (33.3)157 (4.0)2 (0.1)1.00 Urban1,164669515.6537 (46.1)277 (23.8)297 (25.5)52 (4.5)1 (0.1)1.02 (0.87, 1.20)0.800*Statistically significant (p <0.05).IRR: incidence rate ratio.Socioeconomic status: from less wealthy (1) to wealthiest (5).\n\nPlasmodium falciparum\nparasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on\nPlasmodium falciparum\nparasitaemia\n\n*Statistically significant (p <0.05).\nIRR: incidence rate ratio.\nSocioeconomic status: from less wealthy (1) to wealthiest (5).", "Three-quarter of the children reported to have a bed net at home with children from wealthier households more likely to possess a net. About half of the children reported to sleep regularly under a net and 43% responded that they had slept under a net the night before the survey. Other preventive measures were most frequently reported by children from wealthier households, except for burning leaves. The use of malaria treatment within the past two weeks was more frequently reported by children from wealthier households. With regard to self-reported morbidity, children from poorer households reported significantly more often to have suffered from headache and abdominal pain. Children from poorer household were significantly more diagnosed with anaemia. Detailed results of the relationships and directions between the use of preventive measures, malaria treatment, distance to nearest health facility, self-reported morbidity and schoolchildren’s socioeconomic status are presented in Additional file 1.", "Results from the multivariate regression models used to assess for associations between P. falciparum infection status and parasitaemia and self-reported and clinical morbidity, are presented in Table 3. It was found that self-reported vomiting and anaemia were significantly and positively associated with P. falciparum infection status. However, children reporting malaria were less likely to be infected with P. falciparum than those not reporting malaria. This result remained the same in the random effect logistic regression model after accounting for school location.Table 3\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates self-reported and clinical morbidity\n\nP. falciparuminfection status\nP. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value\nSelf, reported morbidity/disease\n Headache1.15 (0.99, 1.33)0.0771.09 (0.93, 1.28)0.3001.13 (0.97, 1.33)0.1241.06 (0.98, 1.14)0.136 Hot body1.00 (0.86, 1.18)0.9530.96 (0.81, 1.32)0.6221.36 (1.15, 1.61)<0.001*1.01 (0.94, 1.10)0.758 Abdominal pain1.14 (0.99, 1.32)0.0781.10 (0.95, 1.28)0.2160.93 (0.80, 1.09)0.4011.07 (1.00, 1.16)0.053 Vomiting1.25 (1.07, 1.45)0.004*1.30 (1.11, 1.52)0.001*1.24 (1.05, 1.45)0.010*1.16 (1.08, 1.25)<0.001* Fatigue1.00 (0.87, 1.16)0.9521.01 (0.87, 1.18)0.8540.90 (0.78, 1.05)0.1851.01 (0.94, 1.08)0.855 Loss of appetite0.96 (0.83, 1.12)0.6080.95 (0.81, 1.12)0.5400.85 (0.73, 1.00)0.046*0.96 (0.89, 1.03)0.245 Malaria0.82 (0.70, 0.95)0.011*0.80 (0.67, 0.94)0.008*1.00 (0.85, 1.18)0.9840.89 (0.82, 0.96)0.004*\nClinical morbidity\n Fever1.04 (0.61, 1.79)0.8811.03 (0.58, 1.82)0.9283.31 (1.88, 5.81)<0.001*1.35 (1.05, 1.73)0.020* Anaemia1.55 (1.34, 1.80)<0.001*1.64 (1.40, 1.93)<0.001*1.36 (1.17, 1.58)<0.001*1.24 (1.16, 1.33)<0.001**Statistically significant (p <0.05).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting.\n\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates self-reported and clinical morbidity\n\n*Statistically significant (p <0.05).\nOR: odds ratio.\nIRR: incidence rate ratio.\nModels were adjusted for age, sex, socioeconomic status and setting.\nWith regard to parasitaemia, self-reported hot body and vomiting were positively, and loss of appetite negatively associated with P. falciparum parasitaemia. Clinical morbidities (i.e. fever and anaemia) were positively associated with P. falciparum parasitaemia. The fever incidence rate was 3.3 higher with increasing parasitaemia levels. After accounting for school location in the multivariate negative binomial model, self-reported vomiting, fever and anaemia still showed significant positive associations with P. falciparum parasitaemia. Additionally, self-reported malaria showed a significant negative association to parasitaemia.", "Results from the multivariate regression models to determine associations between P. falciparum infection status and parasitaemia with preventive measures against malaria and distance to nearest health facility are shown in Table 4. While the use of insecticide spray was negatively associated with P. falciparum infection, burning leaves was associated with higher odds of P. falciparum infection. Furthermore, attending schools at distances >5 km from the nearest health facility was negatively associated with P. falciparum infection. The same findings were observed in both multivariate logistic regressions models (before and after accounting for random effects at the unit of the school) for insecticide spray and burning leaves.Table 4\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility\n\nP. falciparuminfection status\nP. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value\nNet usage\n Bed net ownership1.01 (0.85, 1.20)0.9110.97 (0.81, 1.16)0.7470.88 (0.73, 1.05)0.1551.00 (0.92, 1.09)0.958 Children sleeping under a net0.99 (0.76, 1.29)0.9501.03 (0.78, 1.37)0.8141.09 (0.83, 1.44)0.5451.04 (0.91, 1.19)0.529 Children slept under a net last night0.99 (0.76, 1.28)0.9360.90 (0.69, 1.18)0.4490.98 (0.74, 1.29)0.8810.95 (0.83, 1.08)0.447\nOther preventive measures against malaria\n Fumigating coil1.14 (0.99, 1.32)0.0741.20 (1.03, 1.40)0.018*1.06 (0.91, 1.24)0.4591.09 (1.01, 1.17)0.029* Insecticide spray0.78 (0.68, 0.90)0.001*0.83 (0.71, 0.97)0.017*0.95 (0.81, 1.12)0.5700.84 (0.78, 0.91)<0.001* Smoke by burning leaves1.26 (1.07, 1.49)0.006*1.26 (1.05, 1.51)0.013*1.06 (0.90, 1.26)0.4781.06 (0.98, 1.15)0.168\nMalaria treatment\n0.85 (0.72, 1.00)0.0510.83 (0.70, 0.99)0.036*0.97 (0.81, 1.17)0.7750.93 (0.85, 1.02)0.112\nDistance to nearest health facility\na\n <1 km1.001.001.001.00 1-5 km0.76 (0.61, 0.94)0.012*0.80 (0.49, 1.29)0.3570.71 (0.57, 0.90)0.005*0.96 (0.85, 1.08)0.451 >5 km0.77 (0.64, 0.92)0.005*0.78 (0.52, 1.16)0.2190.80 (0.66, 0.96)0.019*0.86 (0.78, 0.94)0.002**Statistically significant (p < 0.05).\naDistance to nearest health facility (<1 km as reference).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting.Random effects were introduced for school location.\n\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility\n\n*Statistically significant (p < 0.05).\n\naDistance to nearest health facility (<1 km as reference).\nOR: odds ratio.\nIRR: incidence rate ratio.\nModels were adjusted for age, sex, socioeconomic status and setting.\nRandom effects were introduced for school location.\nOnly the use of insecticide spray was associated with a significantly lower level of parasitaemia after accounting for school location in the multivariate negative binomial regression model. Children visiting schools located farther away from health facilities had, on average, lower levels of parasitaemia than their counterparts living in close proximity.", "Additional file 1:\nDisparities in prevention and treatment against malaria, self-reported and clinical morbidity, and distance to health facilities across socioeconomic groups, as assessed by the concentration index (C-index).\n(XLS 36 KB)" ]
[ null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Ethics statement", "Study area and sampling procedure", "Field and laboratory procedure", "Statistical analysis", "Results", "Compliance and characteristics of study participants", "Plasmodium falciparumprevalence and parasitaemia", "Disparities in prevention and treatment against malaria, self-reported morbidity and distance to nearest health facilities across socioeconomic groups", "Associations of Plasmodium falciparuminfection status and parasitaemia with self-reported morbidity", "Associations of Plasmodium falciparuminfection status and parasitaemia with preventive measures against malaria and distance to nearest health facility", "Discussion", "Conclusion", "Electronic supplementary material", "" ]
[ "Plasmodium falciparum malaria remains a key global driver of mortality and morbidity with people in sub-Saharan Africa affected most [1, 2]. In Côte d’Ivoire, malaria is the primary cause of consultation in school health services and might be responsible for up to 40% of school absenteeism [3]. According to the world malaria report, the entire population of Côte d’Ivoire is at risk of malaria [2] and Anopheles gambiae is the primary vector species [4, 5]. However, there is a strong heterogeneity as wealthier people and those living in urban areas are at lower risk of malaria than poorer counterparts in rural settings [6].\nBesides its direct impact on health, malaria places a heavy economic and social burden on endemic countries [7, 8]. Key tools and strategies to fight against malaria include, among others, early diagnosis and treatment with artemisinin-based combination therapy (ACT) and distribution of long-lasting insecticidal nets (LLINs) to populations at risk. While great progress has been registered in the control of malaria in many countries, the burden remains intolerably high in other countries [9]. In Côte d’Ivoire, control efforts by the national malaria control programme are facilitated through continued support from the Global Fund to Fight AIDS, Tuberculosis and Malaria. For example, eight million LLINs were distributed in 2011 and further scaling-up of free LLIN distribution (12 million) to the entire population was planned for the last quarter of 2014.\nHere, results are presented from the first national, cross-sectional school-based survey pertaining to parasitic diseases in Côte d’Ivoire, placing particular emphasis on Plasmodium infections. The study was carried out in late 2011/early 2012 and involved more than 5,000 children aged five to 16 years [10] and thus provides an up-to-date situation of the extent of Plasmodium infection in the school-aged population, associated morbidity, preventive and curative measures and physical access to health systems. The information will be useful for the design of equity-oriented malaria control interventions in Côte d’Ivoire.", " Ethics statement The study protocol received clearance from the ethics committees of Basel (EKBB, reference no. 30/11) and Côte d’Ivoire (reference no. 09-2011/MSHP/CNER-P). Additionally, permission to carry out the study was obtained from the Ministry of National Education. Parents or legal guardians of children provided written informed consent, while children assented orally. All febrile children (tympanic temperature ≥38°C) with a positive rapid diagnostic test (RDT) result for malaria were treated with an ACT, according to World Health Organization (WHO) recommendations and national policies [11]. Anaemic children with a haemoglobin (Hb) level <100 g/l and a negative RDT result were given iron supplementation.\nThe study protocol received clearance from the ethics committees of Basel (EKBB, reference no. 30/11) and Côte d’Ivoire (reference no. 09-2011/MSHP/CNER-P). Additionally, permission to carry out the study was obtained from the Ministry of National Education. Parents or legal guardians of children provided written informed consent, while children assented orally. All febrile children (tympanic temperature ≥38°C) with a positive rapid diagnostic test (RDT) result for malaria were treated with an ACT, according to World Health Organization (WHO) recommendations and national policies [11]. Anaemic children with a haemoglobin (Hb) level <100 g/l and a negative RDT result were given iron supplementation.\n Study area and sampling procedure The study was carried out between November 2011 and February 2012 during the dry season and covered the entire Côte d’Ivoire. The country has been stratified into three ecozones [10]. In brief, ecozone 1 in the south is characterised by forest-like vegetation and abundant rainfall; ecozone 2 in the north-eastern part contains savannah-like vegetation and has lower precipitation than the south; and ecozone 3 in the north-western part of the country is relatively small, characterised by savannah-like vegetation, intermediate rainfall and hilly terrain reaching altitudes up to 1,300 m above mean sea level [12].\nThe study was designed following a lattice plus close pairs sampling approach, as described by Diggle and Ribeiro [13]. The aim was to select approximately 100 locations across Côte d’Ivoire. To apply this design, a lattice indicating latitude and longitude at a unit of 0.5° was overlaid on a map of the country showing the two major ecozones; tropical rainforest in the south (ecozone 1) and the savannah in the north (ecozone 2) [12]. Based on average population densities in the two ecozones, 58 survey locations in the southern ecozone and 42 in the northern ecozone were sampled. While most of these locations were chosen on a regular spacing using the lattice, some locations were chosen at random within a radius of 5 and 20 km from the centre of a lattice location. Due to financial and human resources constraints and in view of recommendations put forward by WHO to sample a minimum of 50 children in surveys aimed at baseline data collection on helminth infection prevalence and intensity, the sample size was restricted to 60 children per school [14]. The inclusion of a sample location was based upon the presence of a school with a minimum of 60 children attending grades 3 to 5. Overall, 94 schools were selected.\nThe study was carried out between November 2011 and February 2012 during the dry season and covered the entire Côte d’Ivoire. The country has been stratified into three ecozones [10]. In brief, ecozone 1 in the south is characterised by forest-like vegetation and abundant rainfall; ecozone 2 in the north-eastern part contains savannah-like vegetation and has lower precipitation than the south; and ecozone 3 in the north-western part of the country is relatively small, characterised by savannah-like vegetation, intermediate rainfall and hilly terrain reaching altitudes up to 1,300 m above mean sea level [12].\nThe study was designed following a lattice plus close pairs sampling approach, as described by Diggle and Ribeiro [13]. The aim was to select approximately 100 locations across Côte d’Ivoire. To apply this design, a lattice indicating latitude and longitude at a unit of 0.5° was overlaid on a map of the country showing the two major ecozones; tropical rainforest in the south (ecozone 1) and the savannah in the north (ecozone 2) [12]. Based on average population densities in the two ecozones, 58 survey locations in the southern ecozone and 42 in the northern ecozone were sampled. While most of these locations were chosen on a regular spacing using the lattice, some locations were chosen at random within a radius of 5 and 20 km from the centre of a lattice location. Due to financial and human resources constraints and in view of recommendations put forward by WHO to sample a minimum of 50 children in surveys aimed at baseline data collection on helminth infection prevalence and intensity, the sample size was restricted to 60 children per school [14]. The inclusion of a sample location was based upon the presence of a school with a minimum of 60 children attending grades 3 to 5. Overall, 94 schools were selected.\n Field and laboratory procedure The survey team visited one school per day and proceeded as follows. First, the purpose and procedures were explained to school directors and other village authorities. Second, children who had written informed consent from parents/guardians were invited to participate in a parasitological examination and a questionnaire survey. Third, school geographical coordinates were recorded with a hand-held global positioning system (GPS) receiver (Garmin Sery GPS MAP 62; Olathe, USA).\nFor parasitological assessment of children’s Plasmodium infection status, two drops of blood were collected by finger-prick, placed on a microscope slide, and thick and thin blood films prepared. Microscope slides were air-dried, transferred to nearby laboratories where they were stained with Giemsa and examined under a microscope by experienced laboratory technicians for Plasmodium species and parasitaemia. The number of parasitised blood cells was counted against 200 leukocytes, assuming a standard count of 8,000 leukocytes per 1 μl of blood. A random sample of 10% of the slides was re-examined by senior laboratory technicians for quality control. In case of discrepancies (e.g. negative versus positive results or number of parasites differing by more than 10%), a third technician re-examined the slides and results were discussed until agreement was reached. If the level of discrepancy was less than 10%, the first reading was considered as acceptable. Otherwise, all the slides were re-read. A third drop of blood was subjected to an RDT (ICT ML01 malaria Pf kit; ICT Diagnostics, Cape Town, South Africa). The result of the RDT was read after 15 min according to the manufacturer’s instructions. Finally, a fourth drop of blood was employed to determine Hb levels on a portable HemoCue Hb 301 device (HemoCue AB; Ängelholm, Sweden). Anaemia was determined based on Hb levels, according to WHO recommendations [15]. Anaemia was defined as Hb <115 g/l and Hb <120 g/l for children aged 5–11 years and 12–16 years, respectively. Measurement of body temperature was done using an ear thermometer (Braun ThermoScan IRT 4520; Kronberg, Germany).\nA pretested questionnaire was administered to all children to determine household socioeconomic status, self-reported morbidity, self-reported malaria (malaria episode in the last two weeks before the survey), self-reported use of preventive measures and treatment of malaria. This questionnaire had been utilised in a previous school-based survey in Côte d’Ivoire [16]. The questionnaire included a list of 24 household assets (e.g. bicycle, refrigerator and radio), a list of 11 symptoms (e.g. abdominal pain, headache and vomiting) and a list of eight diseases (e.g. malaria, schistosomiasis and skin disease). Children were asked to report any of these symptoms or diseases with a recall period of two weeks. Questions pertaining to preventive measures included the use of bed nets (bed net ownership, children sleeping under a net and children sleeping under a net the night before the survey) and other preventive measures (i.e. use of insecticide spray and other measures that the population considers to prevent the nuisance of mosquitoes or malaria, including fumigating coils, and burning leaves). A question was added to investigate the use of malaria treatment in the previous two weeks.\nThe survey team visited one school per day and proceeded as follows. First, the purpose and procedures were explained to school directors and other village authorities. Second, children who had written informed consent from parents/guardians were invited to participate in a parasitological examination and a questionnaire survey. Third, school geographical coordinates were recorded with a hand-held global positioning system (GPS) receiver (Garmin Sery GPS MAP 62; Olathe, USA).\nFor parasitological assessment of children’s Plasmodium infection status, two drops of blood were collected by finger-prick, placed on a microscope slide, and thick and thin blood films prepared. Microscope slides were air-dried, transferred to nearby laboratories where they were stained with Giemsa and examined under a microscope by experienced laboratory technicians for Plasmodium species and parasitaemia. The number of parasitised blood cells was counted against 200 leukocytes, assuming a standard count of 8,000 leukocytes per 1 μl of blood. A random sample of 10% of the slides was re-examined by senior laboratory technicians for quality control. In case of discrepancies (e.g. negative versus positive results or number of parasites differing by more than 10%), a third technician re-examined the slides and results were discussed until agreement was reached. If the level of discrepancy was less than 10%, the first reading was considered as acceptable. Otherwise, all the slides were re-read. A third drop of blood was subjected to an RDT (ICT ML01 malaria Pf kit; ICT Diagnostics, Cape Town, South Africa). The result of the RDT was read after 15 min according to the manufacturer’s instructions. Finally, a fourth drop of blood was employed to determine Hb levels on a portable HemoCue Hb 301 device (HemoCue AB; Ängelholm, Sweden). Anaemia was determined based on Hb levels, according to WHO recommendations [15]. Anaemia was defined as Hb <115 g/l and Hb <120 g/l for children aged 5–11 years and 12–16 years, respectively. Measurement of body temperature was done using an ear thermometer (Braun ThermoScan IRT 4520; Kronberg, Germany).\nA pretested questionnaire was administered to all children to determine household socioeconomic status, self-reported morbidity, self-reported malaria (malaria episode in the last two weeks before the survey), self-reported use of preventive measures and treatment of malaria. This questionnaire had been utilised in a previous school-based survey in Côte d’Ivoire [16]. The questionnaire included a list of 24 household assets (e.g. bicycle, refrigerator and radio), a list of 11 symptoms (e.g. abdominal pain, headache and vomiting) and a list of eight diseases (e.g. malaria, schistosomiasis and skin disease). Children were asked to report any of these symptoms or diseases with a recall period of two weeks. Questions pertaining to preventive measures included the use of bed nets (bed net ownership, children sleeping under a net and children sleeping under a net the night before the survey) and other preventive measures (i.e. use of insecticide spray and other measures that the population considers to prevent the nuisance of mosquitoes or malaria, including fumigating coils, and burning leaves). A question was added to investigate the use of malaria treatment in the previous two weeks.\n Statistical analysis Data were double-entered and cross-checked using EpiInfo version 3.5.3 (Centers for Disease Control and Prevention, Atlanta, USA). Statistical analyses were done in STATA version 10 (Stata Corporation, College Station, USA). Maps were produced using ArcView GIS version 10.0 (Environmental Systems Research Institute Inc, Redlands, USA).\nA higher detectability of the effect of the various variables was observed from categorisation, and hence these variables were categorised for subsequent analyses. Age was categorised into two groups: i) five to ten years, and ii) 11 to 16 years [17]. The distance from school to the nearest health facility was grouped as follows: i) <1 km; ii) 1–5 km; and, iii) >5 km [16]. Schools that were located in villages or towns with a health facility were attributed to the first category. Information on the proximity of sampling schools to the nearest health facility was obtained by the Programme National de Santé Scolaire et Universitaire (PNSSU). Five classes of Plasmodium falciparum parasitaemia were considered: i) <50; ii) 50–499; iii) 500–4,999; iv) 5,000-49,999; and, v) >50,000 parasites/μl of blood [18]. For analyses, the combined results of RDT and microscopy were used to determine P. falciparum prevalence; an individual was considered as positive for P. falciparum if either microscopy or RDT or both tests showed positive results. Microscopy results were employed to assess P. falciparum parasitaemia. Logistic and negative binomial regressions were used on P. falciparum prevalence and parasitaemia, respectively, to assess associations with different explanatory variables, including sex, age group, socioeconomic status and study setting. A multivariate regression model, adjusted for sex, age group, socioeconomic status and setting, was used to determine how self-reported morbidity, self-reported malaria, clinical morbidity (fever and anaemia), malaria preventive measures and distance from school to the nearest health facility were linked to P. falciparum prevalence and parasitaemia. In a further step, random effects at the unit of the school were introduced in the multivariate regression models.\nA household asset-based approach was employed to infer socioeconomic status [19]. To weight household assets, principal components analysis (PCA) was used. Household assets were excluded from the list until the first principal component explained more than 30% of the variability. The individuals’ asset scores were summed and ranked according to the total score. Then, the individuals’ total scores were divided into five socioeconomic groups ranging from less wealthy (1) to wealthiest (5) [16, 20]. The concentration index (C-index) was used to evaluate the direction in which self-reported morbidity, clinical morbidity and access to preventive measures and treatment against malaria were associated with socioeconomic groups [21]. A positive C-index is in favour of wealthier households, whereas a negative C-index is in favour of less wealthy households. The t-test was used to investigate for statistically significant C-indexes.\nData were double-entered and cross-checked using EpiInfo version 3.5.3 (Centers for Disease Control and Prevention, Atlanta, USA). Statistical analyses were done in STATA version 10 (Stata Corporation, College Station, USA). Maps were produced using ArcView GIS version 10.0 (Environmental Systems Research Institute Inc, Redlands, USA).\nA higher detectability of the effect of the various variables was observed from categorisation, and hence these variables were categorised for subsequent analyses. Age was categorised into two groups: i) five to ten years, and ii) 11 to 16 years [17]. The distance from school to the nearest health facility was grouped as follows: i) <1 km; ii) 1–5 km; and, iii) >5 km [16]. Schools that were located in villages or towns with a health facility were attributed to the first category. Information on the proximity of sampling schools to the nearest health facility was obtained by the Programme National de Santé Scolaire et Universitaire (PNSSU). Five classes of Plasmodium falciparum parasitaemia were considered: i) <50; ii) 50–499; iii) 500–4,999; iv) 5,000-49,999; and, v) >50,000 parasites/μl of blood [18]. For analyses, the combined results of RDT and microscopy were used to determine P. falciparum prevalence; an individual was considered as positive for P. falciparum if either microscopy or RDT or both tests showed positive results. Microscopy results were employed to assess P. falciparum parasitaemia. Logistic and negative binomial regressions were used on P. falciparum prevalence and parasitaemia, respectively, to assess associations with different explanatory variables, including sex, age group, socioeconomic status and study setting. A multivariate regression model, adjusted for sex, age group, socioeconomic status and setting, was used to determine how self-reported morbidity, self-reported malaria, clinical morbidity (fever and anaemia), malaria preventive measures and distance from school to the nearest health facility were linked to P. falciparum prevalence and parasitaemia. In a further step, random effects at the unit of the school were introduced in the multivariate regression models.\nA household asset-based approach was employed to infer socioeconomic status [19]. To weight household assets, principal components analysis (PCA) was used. Household assets were excluded from the list until the first principal component explained more than 30% of the variability. The individuals’ asset scores were summed and ranked according to the total score. Then, the individuals’ total scores were divided into five socioeconomic groups ranging from less wealthy (1) to wealthiest (5) [16, 20]. The concentration index (C-index) was used to evaluate the direction in which self-reported morbidity, clinical morbidity and access to preventive measures and treatment against malaria were associated with socioeconomic groups [21]. A positive C-index is in favour of wealthier households, whereas a negative C-index is in favour of less wealthy households. The t-test was used to investigate for statistically significant C-indexes.", "The study protocol received clearance from the ethics committees of Basel (EKBB, reference no. 30/11) and Côte d’Ivoire (reference no. 09-2011/MSHP/CNER-P). Additionally, permission to carry out the study was obtained from the Ministry of National Education. Parents or legal guardians of children provided written informed consent, while children assented orally. All febrile children (tympanic temperature ≥38°C) with a positive rapid diagnostic test (RDT) result for malaria were treated with an ACT, according to World Health Organization (WHO) recommendations and national policies [11]. Anaemic children with a haemoglobin (Hb) level <100 g/l and a negative RDT result were given iron supplementation.", "The study was carried out between November 2011 and February 2012 during the dry season and covered the entire Côte d’Ivoire. The country has been stratified into three ecozones [10]. In brief, ecozone 1 in the south is characterised by forest-like vegetation and abundant rainfall; ecozone 2 in the north-eastern part contains savannah-like vegetation and has lower precipitation than the south; and ecozone 3 in the north-western part of the country is relatively small, characterised by savannah-like vegetation, intermediate rainfall and hilly terrain reaching altitudes up to 1,300 m above mean sea level [12].\nThe study was designed following a lattice plus close pairs sampling approach, as described by Diggle and Ribeiro [13]. The aim was to select approximately 100 locations across Côte d’Ivoire. To apply this design, a lattice indicating latitude and longitude at a unit of 0.5° was overlaid on a map of the country showing the two major ecozones; tropical rainforest in the south (ecozone 1) and the savannah in the north (ecozone 2) [12]. Based on average population densities in the two ecozones, 58 survey locations in the southern ecozone and 42 in the northern ecozone were sampled. While most of these locations were chosen on a regular spacing using the lattice, some locations were chosen at random within a radius of 5 and 20 km from the centre of a lattice location. Due to financial and human resources constraints and in view of recommendations put forward by WHO to sample a minimum of 50 children in surveys aimed at baseline data collection on helminth infection prevalence and intensity, the sample size was restricted to 60 children per school [14]. The inclusion of a sample location was based upon the presence of a school with a minimum of 60 children attending grades 3 to 5. Overall, 94 schools were selected.", "The survey team visited one school per day and proceeded as follows. First, the purpose and procedures were explained to school directors and other village authorities. Second, children who had written informed consent from parents/guardians were invited to participate in a parasitological examination and a questionnaire survey. Third, school geographical coordinates were recorded with a hand-held global positioning system (GPS) receiver (Garmin Sery GPS MAP 62; Olathe, USA).\nFor parasitological assessment of children’s Plasmodium infection status, two drops of blood were collected by finger-prick, placed on a microscope slide, and thick and thin blood films prepared. Microscope slides were air-dried, transferred to nearby laboratories where they were stained with Giemsa and examined under a microscope by experienced laboratory technicians for Plasmodium species and parasitaemia. The number of parasitised blood cells was counted against 200 leukocytes, assuming a standard count of 8,000 leukocytes per 1 μl of blood. A random sample of 10% of the slides was re-examined by senior laboratory technicians for quality control. In case of discrepancies (e.g. negative versus positive results or number of parasites differing by more than 10%), a third technician re-examined the slides and results were discussed until agreement was reached. If the level of discrepancy was less than 10%, the first reading was considered as acceptable. Otherwise, all the slides were re-read. A third drop of blood was subjected to an RDT (ICT ML01 malaria Pf kit; ICT Diagnostics, Cape Town, South Africa). The result of the RDT was read after 15 min according to the manufacturer’s instructions. Finally, a fourth drop of blood was employed to determine Hb levels on a portable HemoCue Hb 301 device (HemoCue AB; Ängelholm, Sweden). Anaemia was determined based on Hb levels, according to WHO recommendations [15]. Anaemia was defined as Hb <115 g/l and Hb <120 g/l for children aged 5–11 years and 12–16 years, respectively. Measurement of body temperature was done using an ear thermometer (Braun ThermoScan IRT 4520; Kronberg, Germany).\nA pretested questionnaire was administered to all children to determine household socioeconomic status, self-reported morbidity, self-reported malaria (malaria episode in the last two weeks before the survey), self-reported use of preventive measures and treatment of malaria. This questionnaire had been utilised in a previous school-based survey in Côte d’Ivoire [16]. The questionnaire included a list of 24 household assets (e.g. bicycle, refrigerator and radio), a list of 11 symptoms (e.g. abdominal pain, headache and vomiting) and a list of eight diseases (e.g. malaria, schistosomiasis and skin disease). Children were asked to report any of these symptoms or diseases with a recall period of two weeks. Questions pertaining to preventive measures included the use of bed nets (bed net ownership, children sleeping under a net and children sleeping under a net the night before the survey) and other preventive measures (i.e. use of insecticide spray and other measures that the population considers to prevent the nuisance of mosquitoes or malaria, including fumigating coils, and burning leaves). A question was added to investigate the use of malaria treatment in the previous two weeks.", "Data were double-entered and cross-checked using EpiInfo version 3.5.3 (Centers for Disease Control and Prevention, Atlanta, USA). Statistical analyses were done in STATA version 10 (Stata Corporation, College Station, USA). Maps were produced using ArcView GIS version 10.0 (Environmental Systems Research Institute Inc, Redlands, USA).\nA higher detectability of the effect of the various variables was observed from categorisation, and hence these variables were categorised for subsequent analyses. Age was categorised into two groups: i) five to ten years, and ii) 11 to 16 years [17]. The distance from school to the nearest health facility was grouped as follows: i) <1 km; ii) 1–5 km; and, iii) >5 km [16]. Schools that were located in villages or towns with a health facility were attributed to the first category. Information on the proximity of sampling schools to the nearest health facility was obtained by the Programme National de Santé Scolaire et Universitaire (PNSSU). Five classes of Plasmodium falciparum parasitaemia were considered: i) <50; ii) 50–499; iii) 500–4,999; iv) 5,000-49,999; and, v) >50,000 parasites/μl of blood [18]. For analyses, the combined results of RDT and microscopy were used to determine P. falciparum prevalence; an individual was considered as positive for P. falciparum if either microscopy or RDT or both tests showed positive results. Microscopy results were employed to assess P. falciparum parasitaemia. Logistic and negative binomial regressions were used on P. falciparum prevalence and parasitaemia, respectively, to assess associations with different explanatory variables, including sex, age group, socioeconomic status and study setting. A multivariate regression model, adjusted for sex, age group, socioeconomic status and setting, was used to determine how self-reported morbidity, self-reported malaria, clinical morbidity (fever and anaemia), malaria preventive measures and distance from school to the nearest health facility were linked to P. falciparum prevalence and parasitaemia. In a further step, random effects at the unit of the school were introduced in the multivariate regression models.\nA household asset-based approach was employed to infer socioeconomic status [19]. To weight household assets, principal components analysis (PCA) was used. Household assets were excluded from the list until the first principal component explained more than 30% of the variability. The individuals’ asset scores were summed and ranked according to the total score. Then, the individuals’ total scores were divided into five socioeconomic groups ranging from less wealthy (1) to wealthiest (5) [16, 20]. The concentration index (C-index) was used to evaluate the direction in which self-reported morbidity, clinical morbidity and access to preventive measures and treatment against malaria were associated with socioeconomic groups [21]. A positive C-index is in favour of wealthier households, whereas a negative C-index is in favour of less wealthy households. The t-test was used to investigate for statistically significant C-indexes.", " Compliance and characteristics of study participants The study aimed at 60 children in each of the 94 schools selected through a lattice plus close pairs sampling approach across Côte d’Ivoire. One school refused to participate. Overall, 5,356 children were invited to participate in the study. Complete parasitological, clinical and questionnaire data were obtained from 5,122 children (96%). All analyses were done on this cohort (Figure 1). There were significantly more boys than girls (2,714 versus 2,408; p <0.001). With regard to age, there were 3,486 children aged five to ten years, while the remaining 1,636 children were aged 11–16 years.Figure 1\nFlow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012.\n\n\nFlow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012.\n\nThe study aimed at 60 children in each of the 94 schools selected through a lattice plus close pairs sampling approach across Côte d’Ivoire. One school refused to participate. Overall, 5,356 children were invited to participate in the study. Complete parasitological, clinical and questionnaire data were obtained from 5,122 children (96%). All analyses were done on this cohort (Figure 1). There were significantly more boys than girls (2,714 versus 2,408; p <0.001). With regard to age, there were 3,486 children aged five to ten years, while the remaining 1,636 children were aged 11–16 years.Figure 1\nFlow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012.\n\n\nFlow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012.\n\n Plasmodium falciparumprevalence and parasitaemia Microscopic examination of thick and thin blood films revealed that 94.5% of the detected Plasmodium infections were due to P. falciparum, whilst Plasmodium malariae and Plasmodium ovale accounted for 5.1 and 0.4%, respectively. Further analyses were restricted to P. falciparum infection. According to microscopy, 3,539 children were diagnosed with P. falciparum, resulting in a prevalence of 69.1%. RDT results revealed slightly fewer children infected (n = 3,425; prevalence = 66.9%), but there was good agreement between the two tests (Kappa = 0.73, standard error (SE) = 0.01). The pooled results from microscopy and RDT found 3,785 P. falciparum-infected children, hence an overall prevalence of 73.9%. Figure 2 shows the spatial distribution of P. falciparum infection according to the pooled results.Figure 2\nSurvey location map showing children’s household socioeconomic status and\nPlasmodium falciparum\ninfection prevalence at the unit of the school. Of note, villages with health facilities are highlighted.\n\nSurvey location map showing children’s household socioeconomic status and\nPlasmodium falciparum\ninfection prevalence at the unit of the school. Of note, villages with health facilities are highlighted.\nTable 1 shows P. falciparum prevalence data according to the pooled microscopy and RDT results, stratified by sex, age group, socioeconomic status and setting. Bivariate logistic regression models with P. falciparum results used as outcome variable revealed that boys were significantly more likely to be infected than girls. Furthermore, children from wealthier households were less likely to be infected, as well as children visiting schools in urban settings. Children aged 11–16 years showed a slightly higher P. falciparum prevalence compared to their younger counterparts, but the difference lacked statistical significance.Table 1\nResults from bivariate logistic regression models on\nPlasmodium falciparum\nprevalence data arising from pooled results with microscopy and RDT\nMicroscopy and RDTVariableTotalNo positive (%)OR (95% CI)p-value\nAge group (years)\n 5-103,4862,558 (73.4)1.00 11-161,6361,227 (75.0)1.09 (0.95, 1.25)0.218\nSex\n Male2,7142,068 (76.2)1.00 Female2,4081,717 (71.3)0.78 (0.69, 0.88)<0.001*\nSocioeconomic status\n 11,076897 (83.4)1.00 21,011805 (79.6)0.78 (0.62, 0.97)0.028* 3946710 (75.1)0.60 (0.48, 0.75)<0.001* 4966648 (67.1)0.41 (0.33, 0.50)<0.001* 51,123725 (64.6)0.36 (0.30, 0.45)<0.001*\nSetting\n Rural3,9583,064 (77.4)1.00 Urban1,164721 (61.9)0.47 (0.41, 0.55)<0.001*Utilised model covariates were age, sex, socioeconomic status and setting.*Statistically significant (p <0.05).OR: odds ratio.CI: confidence interval.Socioeconomic status: from less wealthy (1) to wealthiest (5).\n\nResults from bivariate logistic regression models on\nPlasmodium falciparum\nprevalence data arising from pooled results with microscopy and RDT\n\nUtilised model covariates were age, sex, socioeconomic status and setting.\n*Statistically significant (p <0.05).\nOR: odds ratio.\nCI: confidence interval.\nSocioeconomic status: from less wealthy (1) to wealthiest (5).\nThe geometric mean parasitaemia among infected children was 499 parasites/μl of blood (95% CI: 476–524 parasites/μl of blood) and more than 60% of participants had parasitaemia <500 parasites/μl of blood. Only age was significantly associated with parasitaemia and children belonging to the older age group had significantly lower parasitaemia than their younger counterparts (Table 2).Table 2\nPlasmodium falciparum\nparasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on\nPlasmodium falciparum\nparasitaemia\nVariableTotal examinedPositive for P. falciparuminfection\nP. falciparumparasitaemia categories (parasites/μl of blood)Negative binomial regression model for P. falciparumparasitaemia (parasites/μl of blood)Geometric mean parasitaemia<5050-499500-4,9995,000-49,999≥50,000n (%)n (%)n (%)n (%)n (%)IRR (95% CI)p-value\nAge group (years)\n 5-103,4862,397541.81,212 (34.8)979 (28.1)1,141 (32.7)151 (4.3)3 (0.1)1.00 11-161,6361,142421.0564 (34.5)539 (33.0)475 (29.0)58 (3.6)0 (0.0)0.78 (0.67, 0.90)0.001*\nSex\n Male2,7141,942511.3875 (32.2)814 (30.0)915 (33.7)109 (4.0)1 (0.0)1.00  Female2,4081,597485.4901 (37.4)704 (29.2)701 (29.1)100 (4.2)2 (0.1)1 (0.87, 1.14)0.950\nSocioeconomic status\n 11,076855520.1268 (24.9)357 (33.2)405 (37.6)45 (4.2)1 (0.1)1.00 21,011755466.3294 (29.1)342 (33.8)335 (33.1)40 (4.0)0 (0.0)0.90 (0.73, 1.11)0.314 3946664515.2312 (33.0)283 (29.9)313 (33.1)37 (3.9)1 (0.1)0.95 (0.77, 1.18)0.642 4966595524.8402 (41.6)244 (25.3)278 (28.8)42 (4.4)0 (0.0)0.81 (0.66, 1.01)0.061 51,123670475.4500 (44.5)292 (26.0)285 (25.4)45 (4.0)1 (0.1)0.89 (0.72, 1.09)0.265\nSetting\n Rural3,9582,870495.71,239 (31.3)1241 (31.4)1319 (33.3)157 (4.0)2 (0.1)1.00 Urban1,164669515.6537 (46.1)277 (23.8)297 (25.5)52 (4.5)1 (0.1)1.02 (0.87, 1.20)0.800*Statistically significant (p <0.05).IRR: incidence rate ratio.Socioeconomic status: from less wealthy (1) to wealthiest (5).\n\nPlasmodium falciparum\nparasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on\nPlasmodium falciparum\nparasitaemia\n\n*Statistically significant (p <0.05).\nIRR: incidence rate ratio.\nSocioeconomic status: from less wealthy (1) to wealthiest (5).\nMicroscopic examination of thick and thin blood films revealed that 94.5% of the detected Plasmodium infections were due to P. falciparum, whilst Plasmodium malariae and Plasmodium ovale accounted for 5.1 and 0.4%, respectively. Further analyses were restricted to P. falciparum infection. According to microscopy, 3,539 children were diagnosed with P. falciparum, resulting in a prevalence of 69.1%. RDT results revealed slightly fewer children infected (n = 3,425; prevalence = 66.9%), but there was good agreement between the two tests (Kappa = 0.73, standard error (SE) = 0.01). The pooled results from microscopy and RDT found 3,785 P. falciparum-infected children, hence an overall prevalence of 73.9%. Figure 2 shows the spatial distribution of P. falciparum infection according to the pooled results.Figure 2\nSurvey location map showing children’s household socioeconomic status and\nPlasmodium falciparum\ninfection prevalence at the unit of the school. Of note, villages with health facilities are highlighted.\n\nSurvey location map showing children’s household socioeconomic status and\nPlasmodium falciparum\ninfection prevalence at the unit of the school. Of note, villages with health facilities are highlighted.\nTable 1 shows P. falciparum prevalence data according to the pooled microscopy and RDT results, stratified by sex, age group, socioeconomic status and setting. Bivariate logistic regression models with P. falciparum results used as outcome variable revealed that boys were significantly more likely to be infected than girls. Furthermore, children from wealthier households were less likely to be infected, as well as children visiting schools in urban settings. Children aged 11–16 years showed a slightly higher P. falciparum prevalence compared to their younger counterparts, but the difference lacked statistical significance.Table 1\nResults from bivariate logistic regression models on\nPlasmodium falciparum\nprevalence data arising from pooled results with microscopy and RDT\nMicroscopy and RDTVariableTotalNo positive (%)OR (95% CI)p-value\nAge group (years)\n 5-103,4862,558 (73.4)1.00 11-161,6361,227 (75.0)1.09 (0.95, 1.25)0.218\nSex\n Male2,7142,068 (76.2)1.00 Female2,4081,717 (71.3)0.78 (0.69, 0.88)<0.001*\nSocioeconomic status\n 11,076897 (83.4)1.00 21,011805 (79.6)0.78 (0.62, 0.97)0.028* 3946710 (75.1)0.60 (0.48, 0.75)<0.001* 4966648 (67.1)0.41 (0.33, 0.50)<0.001* 51,123725 (64.6)0.36 (0.30, 0.45)<0.001*\nSetting\n Rural3,9583,064 (77.4)1.00 Urban1,164721 (61.9)0.47 (0.41, 0.55)<0.001*Utilised model covariates were age, sex, socioeconomic status and setting.*Statistically significant (p <0.05).OR: odds ratio.CI: confidence interval.Socioeconomic status: from less wealthy (1) to wealthiest (5).\n\nResults from bivariate logistic regression models on\nPlasmodium falciparum\nprevalence data arising from pooled results with microscopy and RDT\n\nUtilised model covariates were age, sex, socioeconomic status and setting.\n*Statistically significant (p <0.05).\nOR: odds ratio.\nCI: confidence interval.\nSocioeconomic status: from less wealthy (1) to wealthiest (5).\nThe geometric mean parasitaemia among infected children was 499 parasites/μl of blood (95% CI: 476–524 parasites/μl of blood) and more than 60% of participants had parasitaemia <500 parasites/μl of blood. Only age was significantly associated with parasitaemia and children belonging to the older age group had significantly lower parasitaemia than their younger counterparts (Table 2).Table 2\nPlasmodium falciparum\nparasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on\nPlasmodium falciparum\nparasitaemia\nVariableTotal examinedPositive for P. falciparuminfection\nP. falciparumparasitaemia categories (parasites/μl of blood)Negative binomial regression model for P. falciparumparasitaemia (parasites/μl of blood)Geometric mean parasitaemia<5050-499500-4,9995,000-49,999≥50,000n (%)n (%)n (%)n (%)n (%)IRR (95% CI)p-value\nAge group (years)\n 5-103,4862,397541.81,212 (34.8)979 (28.1)1,141 (32.7)151 (4.3)3 (0.1)1.00 11-161,6361,142421.0564 (34.5)539 (33.0)475 (29.0)58 (3.6)0 (0.0)0.78 (0.67, 0.90)0.001*\nSex\n Male2,7141,942511.3875 (32.2)814 (30.0)915 (33.7)109 (4.0)1 (0.0)1.00  Female2,4081,597485.4901 (37.4)704 (29.2)701 (29.1)100 (4.2)2 (0.1)1 (0.87, 1.14)0.950\nSocioeconomic status\n 11,076855520.1268 (24.9)357 (33.2)405 (37.6)45 (4.2)1 (0.1)1.00 21,011755466.3294 (29.1)342 (33.8)335 (33.1)40 (4.0)0 (0.0)0.90 (0.73, 1.11)0.314 3946664515.2312 (33.0)283 (29.9)313 (33.1)37 (3.9)1 (0.1)0.95 (0.77, 1.18)0.642 4966595524.8402 (41.6)244 (25.3)278 (28.8)42 (4.4)0 (0.0)0.81 (0.66, 1.01)0.061 51,123670475.4500 (44.5)292 (26.0)285 (25.4)45 (4.0)1 (0.1)0.89 (0.72, 1.09)0.265\nSetting\n Rural3,9582,870495.71,239 (31.3)1241 (31.4)1319 (33.3)157 (4.0)2 (0.1)1.00 Urban1,164669515.6537 (46.1)277 (23.8)297 (25.5)52 (4.5)1 (0.1)1.02 (0.87, 1.20)0.800*Statistically significant (p <0.05).IRR: incidence rate ratio.Socioeconomic status: from less wealthy (1) to wealthiest (5).\n\nPlasmodium falciparum\nparasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on\nPlasmodium falciparum\nparasitaemia\n\n*Statistically significant (p <0.05).\nIRR: incidence rate ratio.\nSocioeconomic status: from less wealthy (1) to wealthiest (5).\n Disparities in prevention and treatment against malaria, self-reported morbidity and distance to nearest health facilities across socioeconomic groups Three-quarter of the children reported to have a bed net at home with children from wealthier households more likely to possess a net. About half of the children reported to sleep regularly under a net and 43% responded that they had slept under a net the night before the survey. Other preventive measures were most frequently reported by children from wealthier households, except for burning leaves. The use of malaria treatment within the past two weeks was more frequently reported by children from wealthier households. With regard to self-reported morbidity, children from poorer households reported significantly more often to have suffered from headache and abdominal pain. Children from poorer household were significantly more diagnosed with anaemia. Detailed results of the relationships and directions between the use of preventive measures, malaria treatment, distance to nearest health facility, self-reported morbidity and schoolchildren’s socioeconomic status are presented in Additional file 1.\nThree-quarter of the children reported to have a bed net at home with children from wealthier households more likely to possess a net. About half of the children reported to sleep regularly under a net and 43% responded that they had slept under a net the night before the survey. Other preventive measures were most frequently reported by children from wealthier households, except for burning leaves. The use of malaria treatment within the past two weeks was more frequently reported by children from wealthier households. With regard to self-reported morbidity, children from poorer households reported significantly more often to have suffered from headache and abdominal pain. Children from poorer household were significantly more diagnosed with anaemia. Detailed results of the relationships and directions between the use of preventive measures, malaria treatment, distance to nearest health facility, self-reported morbidity and schoolchildren’s socioeconomic status are presented in Additional file 1.\n Associations of Plasmodium falciparuminfection status and parasitaemia with self-reported morbidity Results from the multivariate regression models used to assess for associations between P. falciparum infection status and parasitaemia and self-reported and clinical morbidity, are presented in Table 3. It was found that self-reported vomiting and anaemia were significantly and positively associated with P. falciparum infection status. However, children reporting malaria were less likely to be infected with P. falciparum than those not reporting malaria. This result remained the same in the random effect logistic regression model after accounting for school location.Table 3\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates self-reported and clinical morbidity\n\nP. falciparuminfection status\nP. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value\nSelf, reported morbidity/disease\n Headache1.15 (0.99, 1.33)0.0771.09 (0.93, 1.28)0.3001.13 (0.97, 1.33)0.1241.06 (0.98, 1.14)0.136 Hot body1.00 (0.86, 1.18)0.9530.96 (0.81, 1.32)0.6221.36 (1.15, 1.61)<0.001*1.01 (0.94, 1.10)0.758 Abdominal pain1.14 (0.99, 1.32)0.0781.10 (0.95, 1.28)0.2160.93 (0.80, 1.09)0.4011.07 (1.00, 1.16)0.053 Vomiting1.25 (1.07, 1.45)0.004*1.30 (1.11, 1.52)0.001*1.24 (1.05, 1.45)0.010*1.16 (1.08, 1.25)<0.001* Fatigue1.00 (0.87, 1.16)0.9521.01 (0.87, 1.18)0.8540.90 (0.78, 1.05)0.1851.01 (0.94, 1.08)0.855 Loss of appetite0.96 (0.83, 1.12)0.6080.95 (0.81, 1.12)0.5400.85 (0.73, 1.00)0.046*0.96 (0.89, 1.03)0.245 Malaria0.82 (0.70, 0.95)0.011*0.80 (0.67, 0.94)0.008*1.00 (0.85, 1.18)0.9840.89 (0.82, 0.96)0.004*\nClinical morbidity\n Fever1.04 (0.61, 1.79)0.8811.03 (0.58, 1.82)0.9283.31 (1.88, 5.81)<0.001*1.35 (1.05, 1.73)0.020* Anaemia1.55 (1.34, 1.80)<0.001*1.64 (1.40, 1.93)<0.001*1.36 (1.17, 1.58)<0.001*1.24 (1.16, 1.33)<0.001**Statistically significant (p <0.05).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting.\n\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates self-reported and clinical morbidity\n\n*Statistically significant (p <0.05).\nOR: odds ratio.\nIRR: incidence rate ratio.\nModels were adjusted for age, sex, socioeconomic status and setting.\nWith regard to parasitaemia, self-reported hot body and vomiting were positively, and loss of appetite negatively associated with P. falciparum parasitaemia. Clinical morbidities (i.e. fever and anaemia) were positively associated with P. falciparum parasitaemia. The fever incidence rate was 3.3 higher with increasing parasitaemia levels. After accounting for school location in the multivariate negative binomial model, self-reported vomiting, fever and anaemia still showed significant positive associations with P. falciparum parasitaemia. Additionally, self-reported malaria showed a significant negative association to parasitaemia.\nResults from the multivariate regression models used to assess for associations between P. falciparum infection status and parasitaemia and self-reported and clinical morbidity, are presented in Table 3. It was found that self-reported vomiting and anaemia were significantly and positively associated with P. falciparum infection status. However, children reporting malaria were less likely to be infected with P. falciparum than those not reporting malaria. This result remained the same in the random effect logistic regression model after accounting for school location.Table 3\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates self-reported and clinical morbidity\n\nP. falciparuminfection status\nP. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value\nSelf, reported morbidity/disease\n Headache1.15 (0.99, 1.33)0.0771.09 (0.93, 1.28)0.3001.13 (0.97, 1.33)0.1241.06 (0.98, 1.14)0.136 Hot body1.00 (0.86, 1.18)0.9530.96 (0.81, 1.32)0.6221.36 (1.15, 1.61)<0.001*1.01 (0.94, 1.10)0.758 Abdominal pain1.14 (0.99, 1.32)0.0781.10 (0.95, 1.28)0.2160.93 (0.80, 1.09)0.4011.07 (1.00, 1.16)0.053 Vomiting1.25 (1.07, 1.45)0.004*1.30 (1.11, 1.52)0.001*1.24 (1.05, 1.45)0.010*1.16 (1.08, 1.25)<0.001* Fatigue1.00 (0.87, 1.16)0.9521.01 (0.87, 1.18)0.8540.90 (0.78, 1.05)0.1851.01 (0.94, 1.08)0.855 Loss of appetite0.96 (0.83, 1.12)0.6080.95 (0.81, 1.12)0.5400.85 (0.73, 1.00)0.046*0.96 (0.89, 1.03)0.245 Malaria0.82 (0.70, 0.95)0.011*0.80 (0.67, 0.94)0.008*1.00 (0.85, 1.18)0.9840.89 (0.82, 0.96)0.004*\nClinical morbidity\n Fever1.04 (0.61, 1.79)0.8811.03 (0.58, 1.82)0.9283.31 (1.88, 5.81)<0.001*1.35 (1.05, 1.73)0.020* Anaemia1.55 (1.34, 1.80)<0.001*1.64 (1.40, 1.93)<0.001*1.36 (1.17, 1.58)<0.001*1.24 (1.16, 1.33)<0.001**Statistically significant (p <0.05).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting.\n\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates self-reported and clinical morbidity\n\n*Statistically significant (p <0.05).\nOR: odds ratio.\nIRR: incidence rate ratio.\nModels were adjusted for age, sex, socioeconomic status and setting.\nWith regard to parasitaemia, self-reported hot body and vomiting were positively, and loss of appetite negatively associated with P. falciparum parasitaemia. Clinical morbidities (i.e. fever and anaemia) were positively associated with P. falciparum parasitaemia. The fever incidence rate was 3.3 higher with increasing parasitaemia levels. After accounting for school location in the multivariate negative binomial model, self-reported vomiting, fever and anaemia still showed significant positive associations with P. falciparum parasitaemia. Additionally, self-reported malaria showed a significant negative association to parasitaemia.\n Associations of Plasmodium falciparuminfection status and parasitaemia with preventive measures against malaria and distance to nearest health facility Results from the multivariate regression models to determine associations between P. falciparum infection status and parasitaemia with preventive measures against malaria and distance to nearest health facility are shown in Table 4. While the use of insecticide spray was negatively associated with P. falciparum infection, burning leaves was associated with higher odds of P. falciparum infection. Furthermore, attending schools at distances >5 km from the nearest health facility was negatively associated with P. falciparum infection. The same findings were observed in both multivariate logistic regressions models (before and after accounting for random effects at the unit of the school) for insecticide spray and burning leaves.Table 4\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility\n\nP. falciparuminfection status\nP. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value\nNet usage\n Bed net ownership1.01 (0.85, 1.20)0.9110.97 (0.81, 1.16)0.7470.88 (0.73, 1.05)0.1551.00 (0.92, 1.09)0.958 Children sleeping under a net0.99 (0.76, 1.29)0.9501.03 (0.78, 1.37)0.8141.09 (0.83, 1.44)0.5451.04 (0.91, 1.19)0.529 Children slept under a net last night0.99 (0.76, 1.28)0.9360.90 (0.69, 1.18)0.4490.98 (0.74, 1.29)0.8810.95 (0.83, 1.08)0.447\nOther preventive measures against malaria\n Fumigating coil1.14 (0.99, 1.32)0.0741.20 (1.03, 1.40)0.018*1.06 (0.91, 1.24)0.4591.09 (1.01, 1.17)0.029* Insecticide spray0.78 (0.68, 0.90)0.001*0.83 (0.71, 0.97)0.017*0.95 (0.81, 1.12)0.5700.84 (0.78, 0.91)<0.001* Smoke by burning leaves1.26 (1.07, 1.49)0.006*1.26 (1.05, 1.51)0.013*1.06 (0.90, 1.26)0.4781.06 (0.98, 1.15)0.168\nMalaria treatment\n0.85 (0.72, 1.00)0.0510.83 (0.70, 0.99)0.036*0.97 (0.81, 1.17)0.7750.93 (0.85, 1.02)0.112\nDistance to nearest health facility\na\n <1 km1.001.001.001.00 1-5 km0.76 (0.61, 0.94)0.012*0.80 (0.49, 1.29)0.3570.71 (0.57, 0.90)0.005*0.96 (0.85, 1.08)0.451 >5 km0.77 (0.64, 0.92)0.005*0.78 (0.52, 1.16)0.2190.80 (0.66, 0.96)0.019*0.86 (0.78, 0.94)0.002**Statistically significant (p < 0.05).\naDistance to nearest health facility (<1 km as reference).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting.Random effects were introduced for school location.\n\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility\n\n*Statistically significant (p < 0.05).\n\naDistance to nearest health facility (<1 km as reference).\nOR: odds ratio.\nIRR: incidence rate ratio.\nModels were adjusted for age, sex, socioeconomic status and setting.\nRandom effects were introduced for school location.\nOnly the use of insecticide spray was associated with a significantly lower level of parasitaemia after accounting for school location in the multivariate negative binomial regression model. Children visiting schools located farther away from health facilities had, on average, lower levels of parasitaemia than their counterparts living in close proximity.\nResults from the multivariate regression models to determine associations between P. falciparum infection status and parasitaemia with preventive measures against malaria and distance to nearest health facility are shown in Table 4. While the use of insecticide spray was negatively associated with P. falciparum infection, burning leaves was associated with higher odds of P. falciparum infection. Furthermore, attending schools at distances >5 km from the nearest health facility was negatively associated with P. falciparum infection. The same findings were observed in both multivariate logistic regressions models (before and after accounting for random effects at the unit of the school) for insecticide spray and burning leaves.Table 4\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility\n\nP. falciparuminfection status\nP. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value\nNet usage\n Bed net ownership1.01 (0.85, 1.20)0.9110.97 (0.81, 1.16)0.7470.88 (0.73, 1.05)0.1551.00 (0.92, 1.09)0.958 Children sleeping under a net0.99 (0.76, 1.29)0.9501.03 (0.78, 1.37)0.8141.09 (0.83, 1.44)0.5451.04 (0.91, 1.19)0.529 Children slept under a net last night0.99 (0.76, 1.28)0.9360.90 (0.69, 1.18)0.4490.98 (0.74, 1.29)0.8810.95 (0.83, 1.08)0.447\nOther preventive measures against malaria\n Fumigating coil1.14 (0.99, 1.32)0.0741.20 (1.03, 1.40)0.018*1.06 (0.91, 1.24)0.4591.09 (1.01, 1.17)0.029* Insecticide spray0.78 (0.68, 0.90)0.001*0.83 (0.71, 0.97)0.017*0.95 (0.81, 1.12)0.5700.84 (0.78, 0.91)<0.001* Smoke by burning leaves1.26 (1.07, 1.49)0.006*1.26 (1.05, 1.51)0.013*1.06 (0.90, 1.26)0.4781.06 (0.98, 1.15)0.168\nMalaria treatment\n0.85 (0.72, 1.00)0.0510.83 (0.70, 0.99)0.036*0.97 (0.81, 1.17)0.7750.93 (0.85, 1.02)0.112\nDistance to nearest health facility\na\n <1 km1.001.001.001.00 1-5 km0.76 (0.61, 0.94)0.012*0.80 (0.49, 1.29)0.3570.71 (0.57, 0.90)0.005*0.96 (0.85, 1.08)0.451 >5 km0.77 (0.64, 0.92)0.005*0.78 (0.52, 1.16)0.2190.80 (0.66, 0.96)0.019*0.86 (0.78, 0.94)0.002**Statistically significant (p < 0.05).\naDistance to nearest health facility (<1 km as reference).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting.Random effects were introduced for school location.\n\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility\n\n*Statistically significant (p < 0.05).\n\naDistance to nearest health facility (<1 km as reference).\nOR: odds ratio.\nIRR: incidence rate ratio.\nModels were adjusted for age, sex, socioeconomic status and setting.\nRandom effects were introduced for school location.\nOnly the use of insecticide spray was associated with a significantly lower level of parasitaemia after accounting for school location in the multivariate negative binomial regression model. Children visiting schools located farther away from health facilities had, on average, lower levels of parasitaemia than their counterparts living in close proximity.", "The study aimed at 60 children in each of the 94 schools selected through a lattice plus close pairs sampling approach across Côte d’Ivoire. One school refused to participate. Overall, 5,356 children were invited to participate in the study. Complete parasitological, clinical and questionnaire data were obtained from 5,122 children (96%). All analyses were done on this cohort (Figure 1). There were significantly more boys than girls (2,714 versus 2,408; p <0.001). With regard to age, there were 3,486 children aged five to ten years, while the remaining 1,636 children were aged 11–16 years.Figure 1\nFlow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012.\n\n\nFlow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012.\n", "Microscopic examination of thick and thin blood films revealed that 94.5% of the detected Plasmodium infections were due to P. falciparum, whilst Plasmodium malariae and Plasmodium ovale accounted for 5.1 and 0.4%, respectively. Further analyses were restricted to P. falciparum infection. According to microscopy, 3,539 children were diagnosed with P. falciparum, resulting in a prevalence of 69.1%. RDT results revealed slightly fewer children infected (n = 3,425; prevalence = 66.9%), but there was good agreement between the two tests (Kappa = 0.73, standard error (SE) = 0.01). The pooled results from microscopy and RDT found 3,785 P. falciparum-infected children, hence an overall prevalence of 73.9%. Figure 2 shows the spatial distribution of P. falciparum infection according to the pooled results.Figure 2\nSurvey location map showing children’s household socioeconomic status and\nPlasmodium falciparum\ninfection prevalence at the unit of the school. Of note, villages with health facilities are highlighted.\n\nSurvey location map showing children’s household socioeconomic status and\nPlasmodium falciparum\ninfection prevalence at the unit of the school. Of note, villages with health facilities are highlighted.\nTable 1 shows P. falciparum prevalence data according to the pooled microscopy and RDT results, stratified by sex, age group, socioeconomic status and setting. Bivariate logistic regression models with P. falciparum results used as outcome variable revealed that boys were significantly more likely to be infected than girls. Furthermore, children from wealthier households were less likely to be infected, as well as children visiting schools in urban settings. Children aged 11–16 years showed a slightly higher P. falciparum prevalence compared to their younger counterparts, but the difference lacked statistical significance.Table 1\nResults from bivariate logistic regression models on\nPlasmodium falciparum\nprevalence data arising from pooled results with microscopy and RDT\nMicroscopy and RDTVariableTotalNo positive (%)OR (95% CI)p-value\nAge group (years)\n 5-103,4862,558 (73.4)1.00 11-161,6361,227 (75.0)1.09 (0.95, 1.25)0.218\nSex\n Male2,7142,068 (76.2)1.00 Female2,4081,717 (71.3)0.78 (0.69, 0.88)<0.001*\nSocioeconomic status\n 11,076897 (83.4)1.00 21,011805 (79.6)0.78 (0.62, 0.97)0.028* 3946710 (75.1)0.60 (0.48, 0.75)<0.001* 4966648 (67.1)0.41 (0.33, 0.50)<0.001* 51,123725 (64.6)0.36 (0.30, 0.45)<0.001*\nSetting\n Rural3,9583,064 (77.4)1.00 Urban1,164721 (61.9)0.47 (0.41, 0.55)<0.001*Utilised model covariates were age, sex, socioeconomic status and setting.*Statistically significant (p <0.05).OR: odds ratio.CI: confidence interval.Socioeconomic status: from less wealthy (1) to wealthiest (5).\n\nResults from bivariate logistic regression models on\nPlasmodium falciparum\nprevalence data arising from pooled results with microscopy and RDT\n\nUtilised model covariates were age, sex, socioeconomic status and setting.\n*Statistically significant (p <0.05).\nOR: odds ratio.\nCI: confidence interval.\nSocioeconomic status: from less wealthy (1) to wealthiest (5).\nThe geometric mean parasitaemia among infected children was 499 parasites/μl of blood (95% CI: 476–524 parasites/μl of blood) and more than 60% of participants had parasitaemia <500 parasites/μl of blood. Only age was significantly associated with parasitaemia and children belonging to the older age group had significantly lower parasitaemia than their younger counterparts (Table 2).Table 2\nPlasmodium falciparum\nparasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on\nPlasmodium falciparum\nparasitaemia\nVariableTotal examinedPositive for P. falciparuminfection\nP. falciparumparasitaemia categories (parasites/μl of blood)Negative binomial regression model for P. falciparumparasitaemia (parasites/μl of blood)Geometric mean parasitaemia<5050-499500-4,9995,000-49,999≥50,000n (%)n (%)n (%)n (%)n (%)IRR (95% CI)p-value\nAge group (years)\n 5-103,4862,397541.81,212 (34.8)979 (28.1)1,141 (32.7)151 (4.3)3 (0.1)1.00 11-161,6361,142421.0564 (34.5)539 (33.0)475 (29.0)58 (3.6)0 (0.0)0.78 (0.67, 0.90)0.001*\nSex\n Male2,7141,942511.3875 (32.2)814 (30.0)915 (33.7)109 (4.0)1 (0.0)1.00  Female2,4081,597485.4901 (37.4)704 (29.2)701 (29.1)100 (4.2)2 (0.1)1 (0.87, 1.14)0.950\nSocioeconomic status\n 11,076855520.1268 (24.9)357 (33.2)405 (37.6)45 (4.2)1 (0.1)1.00 21,011755466.3294 (29.1)342 (33.8)335 (33.1)40 (4.0)0 (0.0)0.90 (0.73, 1.11)0.314 3946664515.2312 (33.0)283 (29.9)313 (33.1)37 (3.9)1 (0.1)0.95 (0.77, 1.18)0.642 4966595524.8402 (41.6)244 (25.3)278 (28.8)42 (4.4)0 (0.0)0.81 (0.66, 1.01)0.061 51,123670475.4500 (44.5)292 (26.0)285 (25.4)45 (4.0)1 (0.1)0.89 (0.72, 1.09)0.265\nSetting\n Rural3,9582,870495.71,239 (31.3)1241 (31.4)1319 (33.3)157 (4.0)2 (0.1)1.00 Urban1,164669515.6537 (46.1)277 (23.8)297 (25.5)52 (4.5)1 (0.1)1.02 (0.87, 1.20)0.800*Statistically significant (p <0.05).IRR: incidence rate ratio.Socioeconomic status: from less wealthy (1) to wealthiest (5).\n\nPlasmodium falciparum\nparasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on\nPlasmodium falciparum\nparasitaemia\n\n*Statistically significant (p <0.05).\nIRR: incidence rate ratio.\nSocioeconomic status: from less wealthy (1) to wealthiest (5).", "Three-quarter of the children reported to have a bed net at home with children from wealthier households more likely to possess a net. About half of the children reported to sleep regularly under a net and 43% responded that they had slept under a net the night before the survey. Other preventive measures were most frequently reported by children from wealthier households, except for burning leaves. The use of malaria treatment within the past two weeks was more frequently reported by children from wealthier households. With regard to self-reported morbidity, children from poorer households reported significantly more often to have suffered from headache and abdominal pain. Children from poorer household were significantly more diagnosed with anaemia. Detailed results of the relationships and directions between the use of preventive measures, malaria treatment, distance to nearest health facility, self-reported morbidity and schoolchildren’s socioeconomic status are presented in Additional file 1.", "Results from the multivariate regression models used to assess for associations between P. falciparum infection status and parasitaemia and self-reported and clinical morbidity, are presented in Table 3. It was found that self-reported vomiting and anaemia were significantly and positively associated with P. falciparum infection status. However, children reporting malaria were less likely to be infected with P. falciparum than those not reporting malaria. This result remained the same in the random effect logistic regression model after accounting for school location.Table 3\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates self-reported and clinical morbidity\n\nP. falciparuminfection status\nP. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value\nSelf, reported morbidity/disease\n Headache1.15 (0.99, 1.33)0.0771.09 (0.93, 1.28)0.3001.13 (0.97, 1.33)0.1241.06 (0.98, 1.14)0.136 Hot body1.00 (0.86, 1.18)0.9530.96 (0.81, 1.32)0.6221.36 (1.15, 1.61)<0.001*1.01 (0.94, 1.10)0.758 Abdominal pain1.14 (0.99, 1.32)0.0781.10 (0.95, 1.28)0.2160.93 (0.80, 1.09)0.4011.07 (1.00, 1.16)0.053 Vomiting1.25 (1.07, 1.45)0.004*1.30 (1.11, 1.52)0.001*1.24 (1.05, 1.45)0.010*1.16 (1.08, 1.25)<0.001* Fatigue1.00 (0.87, 1.16)0.9521.01 (0.87, 1.18)0.8540.90 (0.78, 1.05)0.1851.01 (0.94, 1.08)0.855 Loss of appetite0.96 (0.83, 1.12)0.6080.95 (0.81, 1.12)0.5400.85 (0.73, 1.00)0.046*0.96 (0.89, 1.03)0.245 Malaria0.82 (0.70, 0.95)0.011*0.80 (0.67, 0.94)0.008*1.00 (0.85, 1.18)0.9840.89 (0.82, 0.96)0.004*\nClinical morbidity\n Fever1.04 (0.61, 1.79)0.8811.03 (0.58, 1.82)0.9283.31 (1.88, 5.81)<0.001*1.35 (1.05, 1.73)0.020* Anaemia1.55 (1.34, 1.80)<0.001*1.64 (1.40, 1.93)<0.001*1.36 (1.17, 1.58)<0.001*1.24 (1.16, 1.33)<0.001**Statistically significant (p <0.05).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting.\n\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates self-reported and clinical morbidity\n\n*Statistically significant (p <0.05).\nOR: odds ratio.\nIRR: incidence rate ratio.\nModels were adjusted for age, sex, socioeconomic status and setting.\nWith regard to parasitaemia, self-reported hot body and vomiting were positively, and loss of appetite negatively associated with P. falciparum parasitaemia. Clinical morbidities (i.e. fever and anaemia) were positively associated with P. falciparum parasitaemia. The fever incidence rate was 3.3 higher with increasing parasitaemia levels. After accounting for school location in the multivariate negative binomial model, self-reported vomiting, fever and anaemia still showed significant positive associations with P. falciparum parasitaemia. Additionally, self-reported malaria showed a significant negative association to parasitaemia.", "Results from the multivariate regression models to determine associations between P. falciparum infection status and parasitaemia with preventive measures against malaria and distance to nearest health facility are shown in Table 4. While the use of insecticide spray was negatively associated with P. falciparum infection, burning leaves was associated with higher odds of P. falciparum infection. Furthermore, attending schools at distances >5 km from the nearest health facility was negatively associated with P. falciparum infection. The same findings were observed in both multivariate logistic regressions models (before and after accounting for random effects at the unit of the school) for insecticide spray and burning leaves.Table 4\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility\n\nP. falciparuminfection status\nP. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value\nNet usage\n Bed net ownership1.01 (0.85, 1.20)0.9110.97 (0.81, 1.16)0.7470.88 (0.73, 1.05)0.1551.00 (0.92, 1.09)0.958 Children sleeping under a net0.99 (0.76, 1.29)0.9501.03 (0.78, 1.37)0.8141.09 (0.83, 1.44)0.5451.04 (0.91, 1.19)0.529 Children slept under a net last night0.99 (0.76, 1.28)0.9360.90 (0.69, 1.18)0.4490.98 (0.74, 1.29)0.8810.95 (0.83, 1.08)0.447\nOther preventive measures against malaria\n Fumigating coil1.14 (0.99, 1.32)0.0741.20 (1.03, 1.40)0.018*1.06 (0.91, 1.24)0.4591.09 (1.01, 1.17)0.029* Insecticide spray0.78 (0.68, 0.90)0.001*0.83 (0.71, 0.97)0.017*0.95 (0.81, 1.12)0.5700.84 (0.78, 0.91)<0.001* Smoke by burning leaves1.26 (1.07, 1.49)0.006*1.26 (1.05, 1.51)0.013*1.06 (0.90, 1.26)0.4781.06 (0.98, 1.15)0.168\nMalaria treatment\n0.85 (0.72, 1.00)0.0510.83 (0.70, 0.99)0.036*0.97 (0.81, 1.17)0.7750.93 (0.85, 1.02)0.112\nDistance to nearest health facility\na\n <1 km1.001.001.001.00 1-5 km0.76 (0.61, 0.94)0.012*0.80 (0.49, 1.29)0.3570.71 (0.57, 0.90)0.005*0.96 (0.85, 1.08)0.451 >5 km0.77 (0.64, 0.92)0.005*0.78 (0.52, 1.16)0.2190.80 (0.66, 0.96)0.019*0.86 (0.78, 0.94)0.002**Statistically significant (p < 0.05).\naDistance to nearest health facility (<1 km as reference).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting.Random effects were introduced for school location.\n\nResults from multivariate regression models on\nPlasmodium falciparum\ninfection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility\n\n*Statistically significant (p < 0.05).\n\naDistance to nearest health facility (<1 km as reference).\nOR: odds ratio.\nIRR: incidence rate ratio.\nModels were adjusted for age, sex, socioeconomic status and setting.\nRandom effects were introduced for school location.\nOnly the use of insecticide spray was associated with a significantly lower level of parasitaemia after accounting for school location in the multivariate negative binomial regression model. Children visiting schools located farther away from health facilities had, on average, lower levels of parasitaemia than their counterparts living in close proximity.", "This is the first national, cross-sectional, school-based survey conducted in Côte d’Ivoire that investigated Plasmodium infection patterns, malaria morbidities and people’s preventive and curative measures. The study was carried out over a four-month period in the dry season towards the end of 2011 and early 2012. This timing allowed the minimisation of logistic and operational challenges, such as high rate of school absenteeism and inaccessibility to the most isolated localities during the rainy season. Plasmodium falciparum was the predominant species with a very high overall prevalence (73.9%), despite efforts in place by the national malaria control programme. A decade of socio-political crisis, which further deteriorated an already weak health system, is likely to have played a major role in this finding [22].\nIn the current study, microscopy revealed a slightly higher prevalence than RDT (69.1 versus 66.9%) suggesting a small proportion of false negative results revealed by RDT. This result is somewhat surprising, as RDT is a device that detects malaria parasite antigen in a small amount of blood with monoclonal antibodies impregnated on a test strip [23]. The RDT used in the present study is based on histidine-rich protein 2 (HRP-2). Although this antigen persists in the patient’s blood for weeks after successful antimalarial treatment, it has been suggested to be more sensitive in detecting low-level, fluctuating parasitaemia in chronic malaria [24]. The sensitivity of the RDT employed here is above 95%; however, prior studies have shown that RDT sensitivity declines at parasitaemia levels below 500 parasites/μl of blood to 83% [25]. In this study, over 60% of participants had parasitaemia <500 parasites/μl of blood, which might explain the slightly lower sensitivity of the RDT compared to microscopy. It should, however, be noted that a good agreement was found between microscopy and RDT.\nSignificant differences were found in P. falciparum prevalence between males and females, socioeconomic groups (less wealthy versus wealthier households) and place of residence (rural versus urban settings). Hence, findings reported here are in line with previous observations made elsewhere in Africa [17, 26–29] and confirm that malaria is a poverty-related disease [7] and that urbanisation is negatively associated with malaria transmission, morbidity and mortality [30]. No significant association was found between age and P. falciparum infection status, which is in contrast to other studies [28]. However, children aged 11–16 years showed significantly lower levels of parasitaemia than their younger counterparts. In high endemicity areas, the early exposition to mosquito bites builds up a partial immunity, which in turn results in lower levels of P. falciparum infection and parasitaemia with age [31].\nWith regard to prevention and treatment against malaria, results reported here confirm previous investigations in Côte d’Ivoire and elsewhere, as the use of preventive measures and availability of anti-malarial drugs was associated with the ability to afford the related costs [32–34]. The low bed net use among schoolchildren is consistent with previous findings that people avoid to sleep under a net because of perceived discomfort as highlighted in a recent study from central Côte d’Ivoire [34]. It may also be explained by systematic non-compliance by certain household members [35]. In Côte d’Ivoire, such patterns are likely to occur given past and contemporary malaria control strategies that primarily targeted children below the age of five years and women of childbearing age. These results thus confirm the need for scaling up interventions to other population groups, including school-aged children [34]. The National Malaria Control Programme in Côte d’Ivoire currently places high priority on the distribution of LLINs to cover the entire at-risk population, facilitated by additional funds from the Global Fund to Fight AIDS, Tuberculosis and Malaria. These findings emphasise an existing gap between net ownership and usage, and thus call for additional studies to deepen the current understanding of LLINs among the population, so that control programmes can further improve community effectiveness using bed nets as a major malaria control strategy [36].\nRegarding self-reported and clinical morbidity, children from less wealthy households reported significantly more often morbidities such as headache and abdominal pain, and were more frequently diagnosed with anaemia. However, the significant difference in self-reported headache and abdominal pain could be due to the large sample size of the study and might be clinically less relevant. As in previous studies [37, 38], positive associations between P. falciparum infection and parasitaemia with self-reported vomiting was found. However, it is important to highlight that all reported morbidities observed in the current study would not necessarily result from P. falciparum infections since the self-reported data used were among all children and not only among children with P. falciparum infection. Furthermore, those who reported to have suffered from malaria two weeks before the current survey were less likely to have a P. falciparum infection or high parasitaemia suggesting that children likely followed efficacious antimalarial treatment [39, 40]. Related to clinical morbidity, children with anaemia or fever were at higher odds of P. falciparum infection or high levels of parasitaemia than non-anaemic or non-feverish children. These findings are again consistent with previous studies that established a link between malaria parasite density and fever, and hence, parasite density might confirm a malaria case in the face of fever [41, 42]. Nonetheless, in patients with a negative test result who present with fever, malaria cannot automatically be ruled out, since parasitaemia can fluctuate and remain undetectable for a certain time [42]. With regard to anaemia, it is well established that the Plasmodium erythrocyte stages lead to erythrocyte death, which can result in anaemia [43, 44]. Nonetheless, the aetiology of anaemia is multifactorial and other factors including bioavailability of iron in food and other nutritional deficiencies, other parasitic infections (e.g. hookworm), chronic inflammation and genetic conditions must be considered [45–48].\nAnother interesting finding is that two out of three children surveyed went to a school where the closest health facility was within a 1-km radius. This means that once at school, most of these children can have access to health care. Surprisingly, children attending schools with health facilities in close proximity were more likely to be infected with P. falciparum and had higher levels of parasitaemia than those going to schools where health facilities were further away. The exact reasons for these observations remain to be investigated. It might be speculated that the presence of health facilities in close proximity to schools influences health-seeking behaviour; children who go to schools that are far away from health facilities might stay at home when they are sick, while children living in villages with health facilities might seek care when sick. Geostatistical modelling for prediction of malaria risk within a Bayesian framework [49–51] that looks at which risk factors contribute to the spatial distribution of malaria risk might elucidate key reasons behind this observation.\nThe study has several limitations. First, the results reported here were obtained during a larger investigation focusing on co-infection patterns of Plasmodium and intestinal helminths [10]. Second, considering logistical and financial constraints, the diagnosis of Plasmodium infection was based on a single finger-prick blood sample per child. Multiple blood samples might have revealed higher prevalence rates. Nevertheless, a combination of microscopy and RDT was used to enhance diagnostic sensitivity. It would have been interesting to employ additional diagnostic assays, particularly polymerase chain reaction (PCR) methods that are highly sensitive [52, 53] and thus would allow to clarify the false-negative diagnoses obtained with RDT compared to microscopy. Third, the survey was carried out during the dry season when malaria transmission is low [4, 54, 55], which might have resulted in an underestimation of the overall P. falciparum prevalence. It is conceivable that the overall P. falciparum prevalence among school-aged children is somewhat higher during the rainy season. Fourth, although a recall period of only two weeks was considered in the questionnaire interview, in accordance to previous studies [16], there might still be a recall bias.", "This first national school-based cross-sectional survey confirmed that P. falciparum endemicity is high in Côte d’Ivoire. Hence, continued and stronger efforts are still necessary to reduce the intolerable burden of malaria in this West African country. Significant disparities in the prevention and treatment of malaria according to socioeconomic groups are apparent, calling for adapting current control strategies to further enhance equity. Although progress has been registered to increase net coverage in high-risk groups, only a relatively small proportion of children at school age reported to have access to preventive measures, including LLINs, and the actual number of children making regular use of nets is quite low. This calls for concerted efforts to increase access to information and preventive measures in the entire population. Furthermore, improved knowledge on the effect of a list of determinants, including climatic, environmental, socioeconomic and control interventions, on the distribution of P. falciparum infection in schools needs to be generated through rigorous monitoring platforms. Finally, geostatistical modelling and prediction of malaria risk as done in previous studies [17, 56] is needed to spatially target control needs.", " Additional file 1:\nDisparities in prevention and treatment against malaria, self-reported and clinical morbidity, and distance to health facilities across socioeconomic groups, as assessed by the concentration index (C-index).\n(XLS 36 KB)\nAdditional file 1:\nDisparities in prevention and treatment against malaria, self-reported and clinical morbidity, and distance to health facilities across socioeconomic groups, as assessed by the concentration index (C-index).\n(XLS 36 KB)", "Additional file 1:\nDisparities in prevention and treatment against malaria, self-reported and clinical morbidity, and distance to health facilities across socioeconomic groups, as assessed by the concentration index (C-index).\n(XLS 36 KB)" ]
[ null, "methods", null, null, null, null, "results", null, null, null, null, null, "discussion", "conclusions", "supplementary-material", null ]
[ "Malaria", "\nPlasmodium falciparum\n", "School-aged children", "Self-reported morbidity", "Access to prevention and treatment", "Cross-sectional survey", "Microscopy", "Rapid diagnostic test", "Côte d’Ivoire" ]
Background: Plasmodium falciparum malaria remains a key global driver of mortality and morbidity with people in sub-Saharan Africa affected most [1, 2]. In Côte d’Ivoire, malaria is the primary cause of consultation in school health services and might be responsible for up to 40% of school absenteeism [3]. According to the world malaria report, the entire population of Côte d’Ivoire is at risk of malaria [2] and Anopheles gambiae is the primary vector species [4, 5]. However, there is a strong heterogeneity as wealthier people and those living in urban areas are at lower risk of malaria than poorer counterparts in rural settings [6]. Besides its direct impact on health, malaria places a heavy economic and social burden on endemic countries [7, 8]. Key tools and strategies to fight against malaria include, among others, early diagnosis and treatment with artemisinin-based combination therapy (ACT) and distribution of long-lasting insecticidal nets (LLINs) to populations at risk. While great progress has been registered in the control of malaria in many countries, the burden remains intolerably high in other countries [9]. In Côte d’Ivoire, control efforts by the national malaria control programme are facilitated through continued support from the Global Fund to Fight AIDS, Tuberculosis and Malaria. For example, eight million LLINs were distributed in 2011 and further scaling-up of free LLIN distribution (12 million) to the entire population was planned for the last quarter of 2014. Here, results are presented from the first national, cross-sectional school-based survey pertaining to parasitic diseases in Côte d’Ivoire, placing particular emphasis on Plasmodium infections. The study was carried out in late 2011/early 2012 and involved more than 5,000 children aged five to 16 years [10] and thus provides an up-to-date situation of the extent of Plasmodium infection in the school-aged population, associated morbidity, preventive and curative measures and physical access to health systems. The information will be useful for the design of equity-oriented malaria control interventions in Côte d’Ivoire. Methods: Ethics statement The study protocol received clearance from the ethics committees of Basel (EKBB, reference no. 30/11) and Côte d’Ivoire (reference no. 09-2011/MSHP/CNER-P). Additionally, permission to carry out the study was obtained from the Ministry of National Education. Parents or legal guardians of children provided written informed consent, while children assented orally. All febrile children (tympanic temperature ≥38°C) with a positive rapid diagnostic test (RDT) result for malaria were treated with an ACT, according to World Health Organization (WHO) recommendations and national policies [11]. Anaemic children with a haemoglobin (Hb) level <100 g/l and a negative RDT result were given iron supplementation. The study protocol received clearance from the ethics committees of Basel (EKBB, reference no. 30/11) and Côte d’Ivoire (reference no. 09-2011/MSHP/CNER-P). Additionally, permission to carry out the study was obtained from the Ministry of National Education. Parents or legal guardians of children provided written informed consent, while children assented orally. All febrile children (tympanic temperature ≥38°C) with a positive rapid diagnostic test (RDT) result for malaria were treated with an ACT, according to World Health Organization (WHO) recommendations and national policies [11]. Anaemic children with a haemoglobin (Hb) level <100 g/l and a negative RDT result were given iron supplementation. Study area and sampling procedure The study was carried out between November 2011 and February 2012 during the dry season and covered the entire Côte d’Ivoire. The country has been stratified into three ecozones [10]. In brief, ecozone 1 in the south is characterised by forest-like vegetation and abundant rainfall; ecozone 2 in the north-eastern part contains savannah-like vegetation and has lower precipitation than the south; and ecozone 3 in the north-western part of the country is relatively small, characterised by savannah-like vegetation, intermediate rainfall and hilly terrain reaching altitudes up to 1,300 m above mean sea level [12]. The study was designed following a lattice plus close pairs sampling approach, as described by Diggle and Ribeiro [13]. The aim was to select approximately 100 locations across Côte d’Ivoire. To apply this design, a lattice indicating latitude and longitude at a unit of 0.5° was overlaid on a map of the country showing the two major ecozones; tropical rainforest in the south (ecozone 1) and the savannah in the north (ecozone 2) [12]. Based on average population densities in the two ecozones, 58 survey locations in the southern ecozone and 42 in the northern ecozone were sampled. While most of these locations were chosen on a regular spacing using the lattice, some locations were chosen at random within a radius of 5 and 20 km from the centre of a lattice location. Due to financial and human resources constraints and in view of recommendations put forward by WHO to sample a minimum of 50 children in surveys aimed at baseline data collection on helminth infection prevalence and intensity, the sample size was restricted to 60 children per school [14]. The inclusion of a sample location was based upon the presence of a school with a minimum of 60 children attending grades 3 to 5. Overall, 94 schools were selected. The study was carried out between November 2011 and February 2012 during the dry season and covered the entire Côte d’Ivoire. The country has been stratified into three ecozones [10]. In brief, ecozone 1 in the south is characterised by forest-like vegetation and abundant rainfall; ecozone 2 in the north-eastern part contains savannah-like vegetation and has lower precipitation than the south; and ecozone 3 in the north-western part of the country is relatively small, characterised by savannah-like vegetation, intermediate rainfall and hilly terrain reaching altitudes up to 1,300 m above mean sea level [12]. The study was designed following a lattice plus close pairs sampling approach, as described by Diggle and Ribeiro [13]. The aim was to select approximately 100 locations across Côte d’Ivoire. To apply this design, a lattice indicating latitude and longitude at a unit of 0.5° was overlaid on a map of the country showing the two major ecozones; tropical rainforest in the south (ecozone 1) and the savannah in the north (ecozone 2) [12]. Based on average population densities in the two ecozones, 58 survey locations in the southern ecozone and 42 in the northern ecozone were sampled. While most of these locations were chosen on a regular spacing using the lattice, some locations were chosen at random within a radius of 5 and 20 km from the centre of a lattice location. Due to financial and human resources constraints and in view of recommendations put forward by WHO to sample a minimum of 50 children in surveys aimed at baseline data collection on helminth infection prevalence and intensity, the sample size was restricted to 60 children per school [14]. The inclusion of a sample location was based upon the presence of a school with a minimum of 60 children attending grades 3 to 5. Overall, 94 schools were selected. Field and laboratory procedure The survey team visited one school per day and proceeded as follows. First, the purpose and procedures were explained to school directors and other village authorities. Second, children who had written informed consent from parents/guardians were invited to participate in a parasitological examination and a questionnaire survey. Third, school geographical coordinates were recorded with a hand-held global positioning system (GPS) receiver (Garmin Sery GPS MAP 62; Olathe, USA). For parasitological assessment of children’s Plasmodium infection status, two drops of blood were collected by finger-prick, placed on a microscope slide, and thick and thin blood films prepared. Microscope slides were air-dried, transferred to nearby laboratories where they were stained with Giemsa and examined under a microscope by experienced laboratory technicians for Plasmodium species and parasitaemia. The number of parasitised blood cells was counted against 200 leukocytes, assuming a standard count of 8,000 leukocytes per 1 μl of blood. A random sample of 10% of the slides was re-examined by senior laboratory technicians for quality control. In case of discrepancies (e.g. negative versus positive results or number of parasites differing by more than 10%), a third technician re-examined the slides and results were discussed until agreement was reached. If the level of discrepancy was less than 10%, the first reading was considered as acceptable. Otherwise, all the slides were re-read. A third drop of blood was subjected to an RDT (ICT ML01 malaria Pf kit; ICT Diagnostics, Cape Town, South Africa). The result of the RDT was read after 15 min according to the manufacturer’s instructions. Finally, a fourth drop of blood was employed to determine Hb levels on a portable HemoCue Hb 301 device (HemoCue AB; Ängelholm, Sweden). Anaemia was determined based on Hb levels, according to WHO recommendations [15]. Anaemia was defined as Hb <115 g/l and Hb <120 g/l for children aged 5–11 years and 12–16 years, respectively. Measurement of body temperature was done using an ear thermometer (Braun ThermoScan IRT 4520; Kronberg, Germany). A pretested questionnaire was administered to all children to determine household socioeconomic status, self-reported morbidity, self-reported malaria (malaria episode in the last two weeks before the survey), self-reported use of preventive measures and treatment of malaria. This questionnaire had been utilised in a previous school-based survey in Côte d’Ivoire [16]. The questionnaire included a list of 24 household assets (e.g. bicycle, refrigerator and radio), a list of 11 symptoms (e.g. abdominal pain, headache and vomiting) and a list of eight diseases (e.g. malaria, schistosomiasis and skin disease). Children were asked to report any of these symptoms or diseases with a recall period of two weeks. Questions pertaining to preventive measures included the use of bed nets (bed net ownership, children sleeping under a net and children sleeping under a net the night before the survey) and other preventive measures (i.e. use of insecticide spray and other measures that the population considers to prevent the nuisance of mosquitoes or malaria, including fumigating coils, and burning leaves). A question was added to investigate the use of malaria treatment in the previous two weeks. The survey team visited one school per day and proceeded as follows. First, the purpose and procedures were explained to school directors and other village authorities. Second, children who had written informed consent from parents/guardians were invited to participate in a parasitological examination and a questionnaire survey. Third, school geographical coordinates were recorded with a hand-held global positioning system (GPS) receiver (Garmin Sery GPS MAP 62; Olathe, USA). For parasitological assessment of children’s Plasmodium infection status, two drops of blood were collected by finger-prick, placed on a microscope slide, and thick and thin blood films prepared. Microscope slides were air-dried, transferred to nearby laboratories where they were stained with Giemsa and examined under a microscope by experienced laboratory technicians for Plasmodium species and parasitaemia. The number of parasitised blood cells was counted against 200 leukocytes, assuming a standard count of 8,000 leukocytes per 1 μl of blood. A random sample of 10% of the slides was re-examined by senior laboratory technicians for quality control. In case of discrepancies (e.g. negative versus positive results or number of parasites differing by more than 10%), a third technician re-examined the slides and results were discussed until agreement was reached. If the level of discrepancy was less than 10%, the first reading was considered as acceptable. Otherwise, all the slides were re-read. A third drop of blood was subjected to an RDT (ICT ML01 malaria Pf kit; ICT Diagnostics, Cape Town, South Africa). The result of the RDT was read after 15 min according to the manufacturer’s instructions. Finally, a fourth drop of blood was employed to determine Hb levels on a portable HemoCue Hb 301 device (HemoCue AB; Ängelholm, Sweden). Anaemia was determined based on Hb levels, according to WHO recommendations [15]. Anaemia was defined as Hb <115 g/l and Hb <120 g/l for children aged 5–11 years and 12–16 years, respectively. Measurement of body temperature was done using an ear thermometer (Braun ThermoScan IRT 4520; Kronberg, Germany). A pretested questionnaire was administered to all children to determine household socioeconomic status, self-reported morbidity, self-reported malaria (malaria episode in the last two weeks before the survey), self-reported use of preventive measures and treatment of malaria. This questionnaire had been utilised in a previous school-based survey in Côte d’Ivoire [16]. The questionnaire included a list of 24 household assets (e.g. bicycle, refrigerator and radio), a list of 11 symptoms (e.g. abdominal pain, headache and vomiting) and a list of eight diseases (e.g. malaria, schistosomiasis and skin disease). Children were asked to report any of these symptoms or diseases with a recall period of two weeks. Questions pertaining to preventive measures included the use of bed nets (bed net ownership, children sleeping under a net and children sleeping under a net the night before the survey) and other preventive measures (i.e. use of insecticide spray and other measures that the population considers to prevent the nuisance of mosquitoes or malaria, including fumigating coils, and burning leaves). A question was added to investigate the use of malaria treatment in the previous two weeks. Statistical analysis Data were double-entered and cross-checked using EpiInfo version 3.5.3 (Centers for Disease Control and Prevention, Atlanta, USA). Statistical analyses were done in STATA version 10 (Stata Corporation, College Station, USA). Maps were produced using ArcView GIS version 10.0 (Environmental Systems Research Institute Inc, Redlands, USA). A higher detectability of the effect of the various variables was observed from categorisation, and hence these variables were categorised for subsequent analyses. Age was categorised into two groups: i) five to ten years, and ii) 11 to 16 years [17]. The distance from school to the nearest health facility was grouped as follows: i) <1 km; ii) 1–5 km; and, iii) >5 km [16]. Schools that were located in villages or towns with a health facility were attributed to the first category. Information on the proximity of sampling schools to the nearest health facility was obtained by the Programme National de Santé Scolaire et Universitaire (PNSSU). Five classes of Plasmodium falciparum parasitaemia were considered: i) <50; ii) 50–499; iii) 500–4,999; iv) 5,000-49,999; and, v) >50,000 parasites/μl of blood [18]. For analyses, the combined results of RDT and microscopy were used to determine P. falciparum prevalence; an individual was considered as positive for P. falciparum if either microscopy or RDT or both tests showed positive results. Microscopy results were employed to assess P. falciparum parasitaemia. Logistic and negative binomial regressions were used on P. falciparum prevalence and parasitaemia, respectively, to assess associations with different explanatory variables, including sex, age group, socioeconomic status and study setting. A multivariate regression model, adjusted for sex, age group, socioeconomic status and setting, was used to determine how self-reported morbidity, self-reported malaria, clinical morbidity (fever and anaemia), malaria preventive measures and distance from school to the nearest health facility were linked to P. falciparum prevalence and parasitaemia. In a further step, random effects at the unit of the school were introduced in the multivariate regression models. A household asset-based approach was employed to infer socioeconomic status [19]. To weight household assets, principal components analysis (PCA) was used. Household assets were excluded from the list until the first principal component explained more than 30% of the variability. The individuals’ asset scores were summed and ranked according to the total score. Then, the individuals’ total scores were divided into five socioeconomic groups ranging from less wealthy (1) to wealthiest (5) [16, 20]. The concentration index (C-index) was used to evaluate the direction in which self-reported morbidity, clinical morbidity and access to preventive measures and treatment against malaria were associated with socioeconomic groups [21]. A positive C-index is in favour of wealthier households, whereas a negative C-index is in favour of less wealthy households. The t-test was used to investigate for statistically significant C-indexes. Data were double-entered and cross-checked using EpiInfo version 3.5.3 (Centers for Disease Control and Prevention, Atlanta, USA). Statistical analyses were done in STATA version 10 (Stata Corporation, College Station, USA). Maps were produced using ArcView GIS version 10.0 (Environmental Systems Research Institute Inc, Redlands, USA). A higher detectability of the effect of the various variables was observed from categorisation, and hence these variables were categorised for subsequent analyses. Age was categorised into two groups: i) five to ten years, and ii) 11 to 16 years [17]. The distance from school to the nearest health facility was grouped as follows: i) <1 km; ii) 1–5 km; and, iii) >5 km [16]. Schools that were located in villages or towns with a health facility were attributed to the first category. Information on the proximity of sampling schools to the nearest health facility was obtained by the Programme National de Santé Scolaire et Universitaire (PNSSU). Five classes of Plasmodium falciparum parasitaemia were considered: i) <50; ii) 50–499; iii) 500–4,999; iv) 5,000-49,999; and, v) >50,000 parasites/μl of blood [18]. For analyses, the combined results of RDT and microscopy were used to determine P. falciparum prevalence; an individual was considered as positive for P. falciparum if either microscopy or RDT or both tests showed positive results. Microscopy results were employed to assess P. falciparum parasitaemia. Logistic and negative binomial regressions were used on P. falciparum prevalence and parasitaemia, respectively, to assess associations with different explanatory variables, including sex, age group, socioeconomic status and study setting. A multivariate regression model, adjusted for sex, age group, socioeconomic status and setting, was used to determine how self-reported morbidity, self-reported malaria, clinical morbidity (fever and anaemia), malaria preventive measures and distance from school to the nearest health facility were linked to P. falciparum prevalence and parasitaemia. In a further step, random effects at the unit of the school were introduced in the multivariate regression models. A household asset-based approach was employed to infer socioeconomic status [19]. To weight household assets, principal components analysis (PCA) was used. Household assets were excluded from the list until the first principal component explained more than 30% of the variability. The individuals’ asset scores were summed and ranked according to the total score. Then, the individuals’ total scores were divided into five socioeconomic groups ranging from less wealthy (1) to wealthiest (5) [16, 20]. The concentration index (C-index) was used to evaluate the direction in which self-reported morbidity, clinical morbidity and access to preventive measures and treatment against malaria were associated with socioeconomic groups [21]. A positive C-index is in favour of wealthier households, whereas a negative C-index is in favour of less wealthy households. The t-test was used to investigate for statistically significant C-indexes. Ethics statement: The study protocol received clearance from the ethics committees of Basel (EKBB, reference no. 30/11) and Côte d’Ivoire (reference no. 09-2011/MSHP/CNER-P). Additionally, permission to carry out the study was obtained from the Ministry of National Education. Parents or legal guardians of children provided written informed consent, while children assented orally. All febrile children (tympanic temperature ≥38°C) with a positive rapid diagnostic test (RDT) result for malaria were treated with an ACT, according to World Health Organization (WHO) recommendations and national policies [11]. Anaemic children with a haemoglobin (Hb) level <100 g/l and a negative RDT result were given iron supplementation. Study area and sampling procedure: The study was carried out between November 2011 and February 2012 during the dry season and covered the entire Côte d’Ivoire. The country has been stratified into three ecozones [10]. In brief, ecozone 1 in the south is characterised by forest-like vegetation and abundant rainfall; ecozone 2 in the north-eastern part contains savannah-like vegetation and has lower precipitation than the south; and ecozone 3 in the north-western part of the country is relatively small, characterised by savannah-like vegetation, intermediate rainfall and hilly terrain reaching altitudes up to 1,300 m above mean sea level [12]. The study was designed following a lattice plus close pairs sampling approach, as described by Diggle and Ribeiro [13]. The aim was to select approximately 100 locations across Côte d’Ivoire. To apply this design, a lattice indicating latitude and longitude at a unit of 0.5° was overlaid on a map of the country showing the two major ecozones; tropical rainforest in the south (ecozone 1) and the savannah in the north (ecozone 2) [12]. Based on average population densities in the two ecozones, 58 survey locations in the southern ecozone and 42 in the northern ecozone were sampled. While most of these locations were chosen on a regular spacing using the lattice, some locations were chosen at random within a radius of 5 and 20 km from the centre of a lattice location. Due to financial and human resources constraints and in view of recommendations put forward by WHO to sample a minimum of 50 children in surveys aimed at baseline data collection on helminth infection prevalence and intensity, the sample size was restricted to 60 children per school [14]. The inclusion of a sample location was based upon the presence of a school with a minimum of 60 children attending grades 3 to 5. Overall, 94 schools were selected. Field and laboratory procedure: The survey team visited one school per day and proceeded as follows. First, the purpose and procedures were explained to school directors and other village authorities. Second, children who had written informed consent from parents/guardians were invited to participate in a parasitological examination and a questionnaire survey. Third, school geographical coordinates were recorded with a hand-held global positioning system (GPS) receiver (Garmin Sery GPS MAP 62; Olathe, USA). For parasitological assessment of children’s Plasmodium infection status, two drops of blood were collected by finger-prick, placed on a microscope slide, and thick and thin blood films prepared. Microscope slides were air-dried, transferred to nearby laboratories where they were stained with Giemsa and examined under a microscope by experienced laboratory technicians for Plasmodium species and parasitaemia. The number of parasitised blood cells was counted against 200 leukocytes, assuming a standard count of 8,000 leukocytes per 1 μl of blood. A random sample of 10% of the slides was re-examined by senior laboratory technicians for quality control. In case of discrepancies (e.g. negative versus positive results or number of parasites differing by more than 10%), a third technician re-examined the slides and results were discussed until agreement was reached. If the level of discrepancy was less than 10%, the first reading was considered as acceptable. Otherwise, all the slides were re-read. A third drop of blood was subjected to an RDT (ICT ML01 malaria Pf kit; ICT Diagnostics, Cape Town, South Africa). The result of the RDT was read after 15 min according to the manufacturer’s instructions. Finally, a fourth drop of blood was employed to determine Hb levels on a portable HemoCue Hb 301 device (HemoCue AB; Ängelholm, Sweden). Anaemia was determined based on Hb levels, according to WHO recommendations [15]. Anaemia was defined as Hb <115 g/l and Hb <120 g/l for children aged 5–11 years and 12–16 years, respectively. Measurement of body temperature was done using an ear thermometer (Braun ThermoScan IRT 4520; Kronberg, Germany). A pretested questionnaire was administered to all children to determine household socioeconomic status, self-reported morbidity, self-reported malaria (malaria episode in the last two weeks before the survey), self-reported use of preventive measures and treatment of malaria. This questionnaire had been utilised in a previous school-based survey in Côte d’Ivoire [16]. The questionnaire included a list of 24 household assets (e.g. bicycle, refrigerator and radio), a list of 11 symptoms (e.g. abdominal pain, headache and vomiting) and a list of eight diseases (e.g. malaria, schistosomiasis and skin disease). Children were asked to report any of these symptoms or diseases with a recall period of two weeks. Questions pertaining to preventive measures included the use of bed nets (bed net ownership, children sleeping under a net and children sleeping under a net the night before the survey) and other preventive measures (i.e. use of insecticide spray and other measures that the population considers to prevent the nuisance of mosquitoes or malaria, including fumigating coils, and burning leaves). A question was added to investigate the use of malaria treatment in the previous two weeks. Statistical analysis: Data were double-entered and cross-checked using EpiInfo version 3.5.3 (Centers for Disease Control and Prevention, Atlanta, USA). Statistical analyses were done in STATA version 10 (Stata Corporation, College Station, USA). Maps were produced using ArcView GIS version 10.0 (Environmental Systems Research Institute Inc, Redlands, USA). A higher detectability of the effect of the various variables was observed from categorisation, and hence these variables were categorised for subsequent analyses. Age was categorised into two groups: i) five to ten years, and ii) 11 to 16 years [17]. The distance from school to the nearest health facility was grouped as follows: i) <1 km; ii) 1–5 km; and, iii) >5 km [16]. Schools that were located in villages or towns with a health facility were attributed to the first category. Information on the proximity of sampling schools to the nearest health facility was obtained by the Programme National de Santé Scolaire et Universitaire (PNSSU). Five classes of Plasmodium falciparum parasitaemia were considered: i) <50; ii) 50–499; iii) 500–4,999; iv) 5,000-49,999; and, v) >50,000 parasites/μl of blood [18]. For analyses, the combined results of RDT and microscopy were used to determine P. falciparum prevalence; an individual was considered as positive for P. falciparum if either microscopy or RDT or both tests showed positive results. Microscopy results were employed to assess P. falciparum parasitaemia. Logistic and negative binomial regressions were used on P. falciparum prevalence and parasitaemia, respectively, to assess associations with different explanatory variables, including sex, age group, socioeconomic status and study setting. A multivariate regression model, adjusted for sex, age group, socioeconomic status and setting, was used to determine how self-reported morbidity, self-reported malaria, clinical morbidity (fever and anaemia), malaria preventive measures and distance from school to the nearest health facility were linked to P. falciparum prevalence and parasitaemia. In a further step, random effects at the unit of the school were introduced in the multivariate regression models. A household asset-based approach was employed to infer socioeconomic status [19]. To weight household assets, principal components analysis (PCA) was used. Household assets were excluded from the list until the first principal component explained more than 30% of the variability. The individuals’ asset scores were summed and ranked according to the total score. Then, the individuals’ total scores were divided into five socioeconomic groups ranging from less wealthy (1) to wealthiest (5) [16, 20]. The concentration index (C-index) was used to evaluate the direction in which self-reported morbidity, clinical morbidity and access to preventive measures and treatment against malaria were associated with socioeconomic groups [21]. A positive C-index is in favour of wealthier households, whereas a negative C-index is in favour of less wealthy households. The t-test was used to investigate for statistically significant C-indexes. Results: Compliance and characteristics of study participants The study aimed at 60 children in each of the 94 schools selected through a lattice plus close pairs sampling approach across Côte d’Ivoire. One school refused to participate. Overall, 5,356 children were invited to participate in the study. Complete parasitological, clinical and questionnaire data were obtained from 5,122 children (96%). All analyses were done on this cohort (Figure 1). There were significantly more boys than girls (2,714 versus 2,408; p <0.001). With regard to age, there were 3,486 children aged five to ten years, while the remaining 1,636 children were aged 11–16 years.Figure 1 Flow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012. Flow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012. The study aimed at 60 children in each of the 94 schools selected through a lattice plus close pairs sampling approach across Côte d’Ivoire. One school refused to participate. Overall, 5,356 children were invited to participate in the study. Complete parasitological, clinical and questionnaire data were obtained from 5,122 children (96%). All analyses were done on this cohort (Figure 1). There were significantly more boys than girls (2,714 versus 2,408; p <0.001). With regard to age, there were 3,486 children aged five to ten years, while the remaining 1,636 children were aged 11–16 years.Figure 1 Flow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012. Flow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012. Plasmodium falciparumprevalence and parasitaemia Microscopic examination of thick and thin blood films revealed that 94.5% of the detected Plasmodium infections were due to P. falciparum, whilst Plasmodium malariae and Plasmodium ovale accounted for 5.1 and 0.4%, respectively. Further analyses were restricted to P. falciparum infection. According to microscopy, 3,539 children were diagnosed with P. falciparum, resulting in a prevalence of 69.1%. RDT results revealed slightly fewer children infected (n = 3,425; prevalence = 66.9%), but there was good agreement between the two tests (Kappa = 0.73, standard error (SE) = 0.01). The pooled results from microscopy and RDT found 3,785 P. falciparum-infected children, hence an overall prevalence of 73.9%. Figure 2 shows the spatial distribution of P. falciparum infection according to the pooled results.Figure 2 Survey location map showing children’s household socioeconomic status and Plasmodium falciparum infection prevalence at the unit of the school. Of note, villages with health facilities are highlighted. Survey location map showing children’s household socioeconomic status and Plasmodium falciparum infection prevalence at the unit of the school. Of note, villages with health facilities are highlighted. Table 1 shows P. falciparum prevalence data according to the pooled microscopy and RDT results, stratified by sex, age group, socioeconomic status and setting. Bivariate logistic regression models with P. falciparum results used as outcome variable revealed that boys were significantly more likely to be infected than girls. Furthermore, children from wealthier households were less likely to be infected, as well as children visiting schools in urban settings. Children aged 11–16 years showed a slightly higher P. falciparum prevalence compared to their younger counterparts, but the difference lacked statistical significance.Table 1 Results from bivariate logistic regression models on Plasmodium falciparum prevalence data arising from pooled results with microscopy and RDT Microscopy and RDTVariableTotalNo positive (%)OR (95% CI)p-value Age group (years)  5-103,4862,558 (73.4)1.00 11-161,6361,227 (75.0)1.09 (0.95, 1.25)0.218 Sex  Male2,7142,068 (76.2)1.00 Female2,4081,717 (71.3)0.78 (0.69, 0.88)<0.001* Socioeconomic status  11,076897 (83.4)1.00 21,011805 (79.6)0.78 (0.62, 0.97)0.028* 3946710 (75.1)0.60 (0.48, 0.75)<0.001* 4966648 (67.1)0.41 (0.33, 0.50)<0.001* 51,123725 (64.6)0.36 (0.30, 0.45)<0.001* Setting  Rural3,9583,064 (77.4)1.00 Urban1,164721 (61.9)0.47 (0.41, 0.55)<0.001*Utilised model covariates were age, sex, socioeconomic status and setting.*Statistically significant (p <0.05).OR: odds ratio.CI: confidence interval.Socioeconomic status: from less wealthy (1) to wealthiest (5). Results from bivariate logistic regression models on Plasmodium falciparum prevalence data arising from pooled results with microscopy and RDT Utilised model covariates were age, sex, socioeconomic status and setting. *Statistically significant (p <0.05). OR: odds ratio. CI: confidence interval. Socioeconomic status: from less wealthy (1) to wealthiest (5). The geometric mean parasitaemia among infected children was 499 parasites/μl of blood (95% CI: 476–524 parasites/μl of blood) and more than 60% of participants had parasitaemia <500 parasites/μl of blood. Only age was significantly associated with parasitaemia and children belonging to the older age group had significantly lower parasitaemia than their younger counterparts (Table 2).Table 2 Plasmodium falciparum parasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on Plasmodium falciparum parasitaemia VariableTotal examinedPositive for P. falciparuminfection P. falciparumparasitaemia categories (parasites/μl of blood)Negative binomial regression model for P. falciparumparasitaemia (parasites/μl of blood)Geometric mean parasitaemia<5050-499500-4,9995,000-49,999≥50,000n (%)n (%)n (%)n (%)n (%)IRR (95% CI)p-value Age group (years)  5-103,4862,397541.81,212 (34.8)979 (28.1)1,141 (32.7)151 (4.3)3 (0.1)1.00 11-161,6361,142421.0564 (34.5)539 (33.0)475 (29.0)58 (3.6)0 (0.0)0.78 (0.67, 0.90)0.001* Sex  Male2,7141,942511.3875 (32.2)814 (30.0)915 (33.7)109 (4.0)1 (0.0)1.00  Female2,4081,597485.4901 (37.4)704 (29.2)701 (29.1)100 (4.2)2 (0.1)1 (0.87, 1.14)0.950 Socioeconomic status  11,076855520.1268 (24.9)357 (33.2)405 (37.6)45 (4.2)1 (0.1)1.00 21,011755466.3294 (29.1)342 (33.8)335 (33.1)40 (4.0)0 (0.0)0.90 (0.73, 1.11)0.314 3946664515.2312 (33.0)283 (29.9)313 (33.1)37 (3.9)1 (0.1)0.95 (0.77, 1.18)0.642 4966595524.8402 (41.6)244 (25.3)278 (28.8)42 (4.4)0 (0.0)0.81 (0.66, 1.01)0.061 51,123670475.4500 (44.5)292 (26.0)285 (25.4)45 (4.0)1 (0.1)0.89 (0.72, 1.09)0.265 Setting  Rural3,9582,870495.71,239 (31.3)1241 (31.4)1319 (33.3)157 (4.0)2 (0.1)1.00 Urban1,164669515.6537 (46.1)277 (23.8)297 (25.5)52 (4.5)1 (0.1)1.02 (0.87, 1.20)0.800*Statistically significant (p <0.05).IRR: incidence rate ratio.Socioeconomic status: from less wealthy (1) to wealthiest (5). Plasmodium falciparum parasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on Plasmodium falciparum parasitaemia *Statistically significant (p <0.05). IRR: incidence rate ratio. Socioeconomic status: from less wealthy (1) to wealthiest (5). Microscopic examination of thick and thin blood films revealed that 94.5% of the detected Plasmodium infections were due to P. falciparum, whilst Plasmodium malariae and Plasmodium ovale accounted for 5.1 and 0.4%, respectively. Further analyses were restricted to P. falciparum infection. According to microscopy, 3,539 children were diagnosed with P. falciparum, resulting in a prevalence of 69.1%. RDT results revealed slightly fewer children infected (n = 3,425; prevalence = 66.9%), but there was good agreement between the two tests (Kappa = 0.73, standard error (SE) = 0.01). The pooled results from microscopy and RDT found 3,785 P. falciparum-infected children, hence an overall prevalence of 73.9%. Figure 2 shows the spatial distribution of P. falciparum infection according to the pooled results.Figure 2 Survey location map showing children’s household socioeconomic status and Plasmodium falciparum infection prevalence at the unit of the school. Of note, villages with health facilities are highlighted. Survey location map showing children’s household socioeconomic status and Plasmodium falciparum infection prevalence at the unit of the school. Of note, villages with health facilities are highlighted. Table 1 shows P. falciparum prevalence data according to the pooled microscopy and RDT results, stratified by sex, age group, socioeconomic status and setting. Bivariate logistic regression models with P. falciparum results used as outcome variable revealed that boys were significantly more likely to be infected than girls. Furthermore, children from wealthier households were less likely to be infected, as well as children visiting schools in urban settings. Children aged 11–16 years showed a slightly higher P. falciparum prevalence compared to their younger counterparts, but the difference lacked statistical significance.Table 1 Results from bivariate logistic regression models on Plasmodium falciparum prevalence data arising from pooled results with microscopy and RDT Microscopy and RDTVariableTotalNo positive (%)OR (95% CI)p-value Age group (years)  5-103,4862,558 (73.4)1.00 11-161,6361,227 (75.0)1.09 (0.95, 1.25)0.218 Sex  Male2,7142,068 (76.2)1.00 Female2,4081,717 (71.3)0.78 (0.69, 0.88)<0.001* Socioeconomic status  11,076897 (83.4)1.00 21,011805 (79.6)0.78 (0.62, 0.97)0.028* 3946710 (75.1)0.60 (0.48, 0.75)<0.001* 4966648 (67.1)0.41 (0.33, 0.50)<0.001* 51,123725 (64.6)0.36 (0.30, 0.45)<0.001* Setting  Rural3,9583,064 (77.4)1.00 Urban1,164721 (61.9)0.47 (0.41, 0.55)<0.001*Utilised model covariates were age, sex, socioeconomic status and setting.*Statistically significant (p <0.05).OR: odds ratio.CI: confidence interval.Socioeconomic status: from less wealthy (1) to wealthiest (5). Results from bivariate logistic regression models on Plasmodium falciparum prevalence data arising from pooled results with microscopy and RDT Utilised model covariates were age, sex, socioeconomic status and setting. *Statistically significant (p <0.05). OR: odds ratio. CI: confidence interval. Socioeconomic status: from less wealthy (1) to wealthiest (5). The geometric mean parasitaemia among infected children was 499 parasites/μl of blood (95% CI: 476–524 parasites/μl of blood) and more than 60% of participants had parasitaemia <500 parasites/μl of blood. Only age was significantly associated with parasitaemia and children belonging to the older age group had significantly lower parasitaemia than their younger counterparts (Table 2).Table 2 Plasmodium falciparum parasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on Plasmodium falciparum parasitaemia VariableTotal examinedPositive for P. falciparuminfection P. falciparumparasitaemia categories (parasites/μl of blood)Negative binomial regression model for P. falciparumparasitaemia (parasites/μl of blood)Geometric mean parasitaemia<5050-499500-4,9995,000-49,999≥50,000n (%)n (%)n (%)n (%)n (%)IRR (95% CI)p-value Age group (years)  5-103,4862,397541.81,212 (34.8)979 (28.1)1,141 (32.7)151 (4.3)3 (0.1)1.00 11-161,6361,142421.0564 (34.5)539 (33.0)475 (29.0)58 (3.6)0 (0.0)0.78 (0.67, 0.90)0.001* Sex  Male2,7141,942511.3875 (32.2)814 (30.0)915 (33.7)109 (4.0)1 (0.0)1.00  Female2,4081,597485.4901 (37.4)704 (29.2)701 (29.1)100 (4.2)2 (0.1)1 (0.87, 1.14)0.950 Socioeconomic status  11,076855520.1268 (24.9)357 (33.2)405 (37.6)45 (4.2)1 (0.1)1.00 21,011755466.3294 (29.1)342 (33.8)335 (33.1)40 (4.0)0 (0.0)0.90 (0.73, 1.11)0.314 3946664515.2312 (33.0)283 (29.9)313 (33.1)37 (3.9)1 (0.1)0.95 (0.77, 1.18)0.642 4966595524.8402 (41.6)244 (25.3)278 (28.8)42 (4.4)0 (0.0)0.81 (0.66, 1.01)0.061 51,123670475.4500 (44.5)292 (26.0)285 (25.4)45 (4.0)1 (0.1)0.89 (0.72, 1.09)0.265 Setting  Rural3,9582,870495.71,239 (31.3)1241 (31.4)1319 (33.3)157 (4.0)2 (0.1)1.00 Urban1,164669515.6537 (46.1)277 (23.8)297 (25.5)52 (4.5)1 (0.1)1.02 (0.87, 1.20)0.800*Statistically significant (p <0.05).IRR: incidence rate ratio.Socioeconomic status: from less wealthy (1) to wealthiest (5). Plasmodium falciparum parasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on Plasmodium falciparum parasitaemia *Statistically significant (p <0.05). IRR: incidence rate ratio. Socioeconomic status: from less wealthy (1) to wealthiest (5). Disparities in prevention and treatment against malaria, self-reported morbidity and distance to nearest health facilities across socioeconomic groups Three-quarter of the children reported to have a bed net at home with children from wealthier households more likely to possess a net. About half of the children reported to sleep regularly under a net and 43% responded that they had slept under a net the night before the survey. Other preventive measures were most frequently reported by children from wealthier households, except for burning leaves. The use of malaria treatment within the past two weeks was more frequently reported by children from wealthier households. With regard to self-reported morbidity, children from poorer households reported significantly more often to have suffered from headache and abdominal pain. Children from poorer household were significantly more diagnosed with anaemia. Detailed results of the relationships and directions between the use of preventive measures, malaria treatment, distance to nearest health facility, self-reported morbidity and schoolchildren’s socioeconomic status are presented in Additional file 1. Three-quarter of the children reported to have a bed net at home with children from wealthier households more likely to possess a net. About half of the children reported to sleep regularly under a net and 43% responded that they had slept under a net the night before the survey. Other preventive measures were most frequently reported by children from wealthier households, except for burning leaves. The use of malaria treatment within the past two weeks was more frequently reported by children from wealthier households. With regard to self-reported morbidity, children from poorer households reported significantly more often to have suffered from headache and abdominal pain. Children from poorer household were significantly more diagnosed with anaemia. Detailed results of the relationships and directions between the use of preventive measures, malaria treatment, distance to nearest health facility, self-reported morbidity and schoolchildren’s socioeconomic status are presented in Additional file 1. Associations of Plasmodium falciparuminfection status and parasitaemia with self-reported morbidity Results from the multivariate regression models used to assess for associations between P. falciparum infection status and parasitaemia and self-reported and clinical morbidity, are presented in Table 3. It was found that self-reported vomiting and anaemia were significantly and positively associated with P. falciparum infection status. However, children reporting malaria were less likely to be infected with P. falciparum than those not reporting malaria. This result remained the same in the random effect logistic regression model after accounting for school location.Table 3 Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates self-reported and clinical morbidity P. falciparuminfection status P. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value Self, reported morbidity/disease  Headache1.15 (0.99, 1.33)0.0771.09 (0.93, 1.28)0.3001.13 (0.97, 1.33)0.1241.06 (0.98, 1.14)0.136 Hot body1.00 (0.86, 1.18)0.9530.96 (0.81, 1.32)0.6221.36 (1.15, 1.61)<0.001*1.01 (0.94, 1.10)0.758 Abdominal pain1.14 (0.99, 1.32)0.0781.10 (0.95, 1.28)0.2160.93 (0.80, 1.09)0.4011.07 (1.00, 1.16)0.053 Vomiting1.25 (1.07, 1.45)0.004*1.30 (1.11, 1.52)0.001*1.24 (1.05, 1.45)0.010*1.16 (1.08, 1.25)<0.001* Fatigue1.00 (0.87, 1.16)0.9521.01 (0.87, 1.18)0.8540.90 (0.78, 1.05)0.1851.01 (0.94, 1.08)0.855 Loss of appetite0.96 (0.83, 1.12)0.6080.95 (0.81, 1.12)0.5400.85 (0.73, 1.00)0.046*0.96 (0.89, 1.03)0.245 Malaria0.82 (0.70, 0.95)0.011*0.80 (0.67, 0.94)0.008*1.00 (0.85, 1.18)0.9840.89 (0.82, 0.96)0.004* Clinical morbidity  Fever1.04 (0.61, 1.79)0.8811.03 (0.58, 1.82)0.9283.31 (1.88, 5.81)<0.001*1.35 (1.05, 1.73)0.020* Anaemia1.55 (1.34, 1.80)<0.001*1.64 (1.40, 1.93)<0.001*1.36 (1.17, 1.58)<0.001*1.24 (1.16, 1.33)<0.001**Statistically significant (p <0.05).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting. Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates self-reported and clinical morbidity *Statistically significant (p <0.05). OR: odds ratio. IRR: incidence rate ratio. Models were adjusted for age, sex, socioeconomic status and setting. With regard to parasitaemia, self-reported hot body and vomiting were positively, and loss of appetite negatively associated with P. falciparum parasitaemia. Clinical morbidities (i.e. fever and anaemia) were positively associated with P. falciparum parasitaemia. The fever incidence rate was 3.3 higher with increasing parasitaemia levels. After accounting for school location in the multivariate negative binomial model, self-reported vomiting, fever and anaemia still showed significant positive associations with P. falciparum parasitaemia. Additionally, self-reported malaria showed a significant negative association to parasitaemia. Results from the multivariate regression models used to assess for associations between P. falciparum infection status and parasitaemia and self-reported and clinical morbidity, are presented in Table 3. It was found that self-reported vomiting and anaemia were significantly and positively associated with P. falciparum infection status. However, children reporting malaria were less likely to be infected with P. falciparum than those not reporting malaria. This result remained the same in the random effect logistic regression model after accounting for school location.Table 3 Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates self-reported and clinical morbidity P. falciparuminfection status P. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value Self, reported morbidity/disease  Headache1.15 (0.99, 1.33)0.0771.09 (0.93, 1.28)0.3001.13 (0.97, 1.33)0.1241.06 (0.98, 1.14)0.136 Hot body1.00 (0.86, 1.18)0.9530.96 (0.81, 1.32)0.6221.36 (1.15, 1.61)<0.001*1.01 (0.94, 1.10)0.758 Abdominal pain1.14 (0.99, 1.32)0.0781.10 (0.95, 1.28)0.2160.93 (0.80, 1.09)0.4011.07 (1.00, 1.16)0.053 Vomiting1.25 (1.07, 1.45)0.004*1.30 (1.11, 1.52)0.001*1.24 (1.05, 1.45)0.010*1.16 (1.08, 1.25)<0.001* Fatigue1.00 (0.87, 1.16)0.9521.01 (0.87, 1.18)0.8540.90 (0.78, 1.05)0.1851.01 (0.94, 1.08)0.855 Loss of appetite0.96 (0.83, 1.12)0.6080.95 (0.81, 1.12)0.5400.85 (0.73, 1.00)0.046*0.96 (0.89, 1.03)0.245 Malaria0.82 (0.70, 0.95)0.011*0.80 (0.67, 0.94)0.008*1.00 (0.85, 1.18)0.9840.89 (0.82, 0.96)0.004* Clinical morbidity  Fever1.04 (0.61, 1.79)0.8811.03 (0.58, 1.82)0.9283.31 (1.88, 5.81)<0.001*1.35 (1.05, 1.73)0.020* Anaemia1.55 (1.34, 1.80)<0.001*1.64 (1.40, 1.93)<0.001*1.36 (1.17, 1.58)<0.001*1.24 (1.16, 1.33)<0.001**Statistically significant (p <0.05).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting. Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates self-reported and clinical morbidity *Statistically significant (p <0.05). OR: odds ratio. IRR: incidence rate ratio. Models were adjusted for age, sex, socioeconomic status and setting. With regard to parasitaemia, self-reported hot body and vomiting were positively, and loss of appetite negatively associated with P. falciparum parasitaemia. Clinical morbidities (i.e. fever and anaemia) were positively associated with P. falciparum parasitaemia. The fever incidence rate was 3.3 higher with increasing parasitaemia levels. After accounting for school location in the multivariate negative binomial model, self-reported vomiting, fever and anaemia still showed significant positive associations with P. falciparum parasitaemia. Additionally, self-reported malaria showed a significant negative association to parasitaemia. Associations of Plasmodium falciparuminfection status and parasitaemia with preventive measures against malaria and distance to nearest health facility Results from the multivariate regression models to determine associations between P. falciparum infection status and parasitaemia with preventive measures against malaria and distance to nearest health facility are shown in Table 4. While the use of insecticide spray was negatively associated with P. falciparum infection, burning leaves was associated with higher odds of P. falciparum infection. Furthermore, attending schools at distances >5 km from the nearest health facility was negatively associated with P. falciparum infection. The same findings were observed in both multivariate logistic regressions models (before and after accounting for random effects at the unit of the school) for insecticide spray and burning leaves.Table 4 Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility P. falciparuminfection status P. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value Net usage  Bed net ownership1.01 (0.85, 1.20)0.9110.97 (0.81, 1.16)0.7470.88 (0.73, 1.05)0.1551.00 (0.92, 1.09)0.958 Children sleeping under a net0.99 (0.76, 1.29)0.9501.03 (0.78, 1.37)0.8141.09 (0.83, 1.44)0.5451.04 (0.91, 1.19)0.529 Children slept under a net last night0.99 (0.76, 1.28)0.9360.90 (0.69, 1.18)0.4490.98 (0.74, 1.29)0.8810.95 (0.83, 1.08)0.447 Other preventive measures against malaria  Fumigating coil1.14 (0.99, 1.32)0.0741.20 (1.03, 1.40)0.018*1.06 (0.91, 1.24)0.4591.09 (1.01, 1.17)0.029* Insecticide spray0.78 (0.68, 0.90)0.001*0.83 (0.71, 0.97)0.017*0.95 (0.81, 1.12)0.5700.84 (0.78, 0.91)<0.001* Smoke by burning leaves1.26 (1.07, 1.49)0.006*1.26 (1.05, 1.51)0.013*1.06 (0.90, 1.26)0.4781.06 (0.98, 1.15)0.168 Malaria treatment 0.85 (0.72, 1.00)0.0510.83 (0.70, 0.99)0.036*0.97 (0.81, 1.17)0.7750.93 (0.85, 1.02)0.112 Distance to nearest health facility a  <1 km1.001.001.001.00 1-5 km0.76 (0.61, 0.94)0.012*0.80 (0.49, 1.29)0.3570.71 (0.57, 0.90)0.005*0.96 (0.85, 1.08)0.451 >5 km0.77 (0.64, 0.92)0.005*0.78 (0.52, 1.16)0.2190.80 (0.66, 0.96)0.019*0.86 (0.78, 0.94)0.002**Statistically significant (p < 0.05). aDistance to nearest health facility (<1 km as reference).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting.Random effects were introduced for school location. Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility *Statistically significant (p < 0.05). aDistance to nearest health facility (<1 km as reference). OR: odds ratio. IRR: incidence rate ratio. Models were adjusted for age, sex, socioeconomic status and setting. Random effects were introduced for school location. Only the use of insecticide spray was associated with a significantly lower level of parasitaemia after accounting for school location in the multivariate negative binomial regression model. Children visiting schools located farther away from health facilities had, on average, lower levels of parasitaemia than their counterparts living in close proximity. Results from the multivariate regression models to determine associations between P. falciparum infection status and parasitaemia with preventive measures against malaria and distance to nearest health facility are shown in Table 4. While the use of insecticide spray was negatively associated with P. falciparum infection, burning leaves was associated with higher odds of P. falciparum infection. Furthermore, attending schools at distances >5 km from the nearest health facility was negatively associated with P. falciparum infection. The same findings were observed in both multivariate logistic regressions models (before and after accounting for random effects at the unit of the school) for insecticide spray and burning leaves.Table 4 Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility P. falciparuminfection status P. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value Net usage  Bed net ownership1.01 (0.85, 1.20)0.9110.97 (0.81, 1.16)0.7470.88 (0.73, 1.05)0.1551.00 (0.92, 1.09)0.958 Children sleeping under a net0.99 (0.76, 1.29)0.9501.03 (0.78, 1.37)0.8141.09 (0.83, 1.44)0.5451.04 (0.91, 1.19)0.529 Children slept under a net last night0.99 (0.76, 1.28)0.9360.90 (0.69, 1.18)0.4490.98 (0.74, 1.29)0.8810.95 (0.83, 1.08)0.447 Other preventive measures against malaria  Fumigating coil1.14 (0.99, 1.32)0.0741.20 (1.03, 1.40)0.018*1.06 (0.91, 1.24)0.4591.09 (1.01, 1.17)0.029* Insecticide spray0.78 (0.68, 0.90)0.001*0.83 (0.71, 0.97)0.017*0.95 (0.81, 1.12)0.5700.84 (0.78, 0.91)<0.001* Smoke by burning leaves1.26 (1.07, 1.49)0.006*1.26 (1.05, 1.51)0.013*1.06 (0.90, 1.26)0.4781.06 (0.98, 1.15)0.168 Malaria treatment 0.85 (0.72, 1.00)0.0510.83 (0.70, 0.99)0.036*0.97 (0.81, 1.17)0.7750.93 (0.85, 1.02)0.112 Distance to nearest health facility a  <1 km1.001.001.001.00 1-5 km0.76 (0.61, 0.94)0.012*0.80 (0.49, 1.29)0.3570.71 (0.57, 0.90)0.005*0.96 (0.85, 1.08)0.451 >5 km0.77 (0.64, 0.92)0.005*0.78 (0.52, 1.16)0.2190.80 (0.66, 0.96)0.019*0.86 (0.78, 0.94)0.002**Statistically significant (p < 0.05). aDistance to nearest health facility (<1 km as reference).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting.Random effects were introduced for school location. Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility *Statistically significant (p < 0.05). aDistance to nearest health facility (<1 km as reference). OR: odds ratio. IRR: incidence rate ratio. Models were adjusted for age, sex, socioeconomic status and setting. Random effects were introduced for school location. Only the use of insecticide spray was associated with a significantly lower level of parasitaemia after accounting for school location in the multivariate negative binomial regression model. Children visiting schools located farther away from health facilities had, on average, lower levels of parasitaemia than their counterparts living in close proximity. Compliance and characteristics of study participants: The study aimed at 60 children in each of the 94 schools selected through a lattice plus close pairs sampling approach across Côte d’Ivoire. One school refused to participate. Overall, 5,356 children were invited to participate in the study. Complete parasitological, clinical and questionnaire data were obtained from 5,122 children (96%). All analyses were done on this cohort (Figure 1). There were significantly more boys than girls (2,714 versus 2,408; p <0.001). With regard to age, there were 3,486 children aged five to ten years, while the remaining 1,636 children were aged 11–16 years.Figure 1 Flow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012. Flow chart detailing study compliance from a national malaria survey carried out in 93 schools in Côte d’Ivoire between November 2011 and February 2012. Plasmodium falciparumprevalence and parasitaemia: Microscopic examination of thick and thin blood films revealed that 94.5% of the detected Plasmodium infections were due to P. falciparum, whilst Plasmodium malariae and Plasmodium ovale accounted for 5.1 and 0.4%, respectively. Further analyses were restricted to P. falciparum infection. According to microscopy, 3,539 children were diagnosed with P. falciparum, resulting in a prevalence of 69.1%. RDT results revealed slightly fewer children infected (n = 3,425; prevalence = 66.9%), but there was good agreement between the two tests (Kappa = 0.73, standard error (SE) = 0.01). The pooled results from microscopy and RDT found 3,785 P. falciparum-infected children, hence an overall prevalence of 73.9%. Figure 2 shows the spatial distribution of P. falciparum infection according to the pooled results.Figure 2 Survey location map showing children’s household socioeconomic status and Plasmodium falciparum infection prevalence at the unit of the school. Of note, villages with health facilities are highlighted. Survey location map showing children’s household socioeconomic status and Plasmodium falciparum infection prevalence at the unit of the school. Of note, villages with health facilities are highlighted. Table 1 shows P. falciparum prevalence data according to the pooled microscopy and RDT results, stratified by sex, age group, socioeconomic status and setting. Bivariate logistic regression models with P. falciparum results used as outcome variable revealed that boys were significantly more likely to be infected than girls. Furthermore, children from wealthier households were less likely to be infected, as well as children visiting schools in urban settings. Children aged 11–16 years showed a slightly higher P. falciparum prevalence compared to their younger counterparts, but the difference lacked statistical significance.Table 1 Results from bivariate logistic regression models on Plasmodium falciparum prevalence data arising from pooled results with microscopy and RDT Microscopy and RDTVariableTotalNo positive (%)OR (95% CI)p-value Age group (years)  5-103,4862,558 (73.4)1.00 11-161,6361,227 (75.0)1.09 (0.95, 1.25)0.218 Sex  Male2,7142,068 (76.2)1.00 Female2,4081,717 (71.3)0.78 (0.69, 0.88)<0.001* Socioeconomic status  11,076897 (83.4)1.00 21,011805 (79.6)0.78 (0.62, 0.97)0.028* 3946710 (75.1)0.60 (0.48, 0.75)<0.001* 4966648 (67.1)0.41 (0.33, 0.50)<0.001* 51,123725 (64.6)0.36 (0.30, 0.45)<0.001* Setting  Rural3,9583,064 (77.4)1.00 Urban1,164721 (61.9)0.47 (0.41, 0.55)<0.001*Utilised model covariates were age, sex, socioeconomic status and setting.*Statistically significant (p <0.05).OR: odds ratio.CI: confidence interval.Socioeconomic status: from less wealthy (1) to wealthiest (5). Results from bivariate logistic regression models on Plasmodium falciparum prevalence data arising from pooled results with microscopy and RDT Utilised model covariates were age, sex, socioeconomic status and setting. *Statistically significant (p <0.05). OR: odds ratio. CI: confidence interval. Socioeconomic status: from less wealthy (1) to wealthiest (5). The geometric mean parasitaemia among infected children was 499 parasites/μl of blood (95% CI: 476–524 parasites/μl of blood) and more than 60% of participants had parasitaemia <500 parasites/μl of blood. Only age was significantly associated with parasitaemia and children belonging to the older age group had significantly lower parasitaemia than their younger counterparts (Table 2).Table 2 Plasmodium falciparum parasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on Plasmodium falciparum parasitaemia VariableTotal examinedPositive for P. falciparuminfection P. falciparumparasitaemia categories (parasites/μl of blood)Negative binomial regression model for P. falciparumparasitaemia (parasites/μl of blood)Geometric mean parasitaemia<5050-499500-4,9995,000-49,999≥50,000n (%)n (%)n (%)n (%)n (%)IRR (95% CI)p-value Age group (years)  5-103,4862,397541.81,212 (34.8)979 (28.1)1,141 (32.7)151 (4.3)3 (0.1)1.00 11-161,6361,142421.0564 (34.5)539 (33.0)475 (29.0)58 (3.6)0 (0.0)0.78 (0.67, 0.90)0.001* Sex  Male2,7141,942511.3875 (32.2)814 (30.0)915 (33.7)109 (4.0)1 (0.0)1.00  Female2,4081,597485.4901 (37.4)704 (29.2)701 (29.1)100 (4.2)2 (0.1)1 (0.87, 1.14)0.950 Socioeconomic status  11,076855520.1268 (24.9)357 (33.2)405 (37.6)45 (4.2)1 (0.1)1.00 21,011755466.3294 (29.1)342 (33.8)335 (33.1)40 (4.0)0 (0.0)0.90 (0.73, 1.11)0.314 3946664515.2312 (33.0)283 (29.9)313 (33.1)37 (3.9)1 (0.1)0.95 (0.77, 1.18)0.642 4966595524.8402 (41.6)244 (25.3)278 (28.8)42 (4.4)0 (0.0)0.81 (0.66, 1.01)0.061 51,123670475.4500 (44.5)292 (26.0)285 (25.4)45 (4.0)1 (0.1)0.89 (0.72, 1.09)0.265 Setting  Rural3,9582,870495.71,239 (31.3)1241 (31.4)1319 (33.3)157 (4.0)2 (0.1)1.00 Urban1,164669515.6537 (46.1)277 (23.8)297 (25.5)52 (4.5)1 (0.1)1.02 (0.87, 1.20)0.800*Statistically significant (p <0.05).IRR: incidence rate ratio.Socioeconomic status: from less wealthy (1) to wealthiest (5). Plasmodium falciparum parasitaemia stratified by age, sex, socioeconomic status and setting, mean parasitaemia and results from bivariate negative binomial regression models on Plasmodium falciparum parasitaemia *Statistically significant (p <0.05). IRR: incidence rate ratio. Socioeconomic status: from less wealthy (1) to wealthiest (5). Disparities in prevention and treatment against malaria, self-reported morbidity and distance to nearest health facilities across socioeconomic groups: Three-quarter of the children reported to have a bed net at home with children from wealthier households more likely to possess a net. About half of the children reported to sleep regularly under a net and 43% responded that they had slept under a net the night before the survey. Other preventive measures were most frequently reported by children from wealthier households, except for burning leaves. The use of malaria treatment within the past two weeks was more frequently reported by children from wealthier households. With regard to self-reported morbidity, children from poorer households reported significantly more often to have suffered from headache and abdominal pain. Children from poorer household were significantly more diagnosed with anaemia. Detailed results of the relationships and directions between the use of preventive measures, malaria treatment, distance to nearest health facility, self-reported morbidity and schoolchildren’s socioeconomic status are presented in Additional file 1. Associations of Plasmodium falciparuminfection status and parasitaemia with self-reported morbidity: Results from the multivariate regression models used to assess for associations between P. falciparum infection status and parasitaemia and self-reported and clinical morbidity, are presented in Table 3. It was found that self-reported vomiting and anaemia were significantly and positively associated with P. falciparum infection status. However, children reporting malaria were less likely to be infected with P. falciparum than those not reporting malaria. This result remained the same in the random effect logistic regression model after accounting for school location.Table 3 Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates self-reported and clinical morbidity P. falciparuminfection status P. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value Self, reported morbidity/disease  Headache1.15 (0.99, 1.33)0.0771.09 (0.93, 1.28)0.3001.13 (0.97, 1.33)0.1241.06 (0.98, 1.14)0.136 Hot body1.00 (0.86, 1.18)0.9530.96 (0.81, 1.32)0.6221.36 (1.15, 1.61)<0.001*1.01 (0.94, 1.10)0.758 Abdominal pain1.14 (0.99, 1.32)0.0781.10 (0.95, 1.28)0.2160.93 (0.80, 1.09)0.4011.07 (1.00, 1.16)0.053 Vomiting1.25 (1.07, 1.45)0.004*1.30 (1.11, 1.52)0.001*1.24 (1.05, 1.45)0.010*1.16 (1.08, 1.25)<0.001* Fatigue1.00 (0.87, 1.16)0.9521.01 (0.87, 1.18)0.8540.90 (0.78, 1.05)0.1851.01 (0.94, 1.08)0.855 Loss of appetite0.96 (0.83, 1.12)0.6080.95 (0.81, 1.12)0.5400.85 (0.73, 1.00)0.046*0.96 (0.89, 1.03)0.245 Malaria0.82 (0.70, 0.95)0.011*0.80 (0.67, 0.94)0.008*1.00 (0.85, 1.18)0.9840.89 (0.82, 0.96)0.004* Clinical morbidity  Fever1.04 (0.61, 1.79)0.8811.03 (0.58, 1.82)0.9283.31 (1.88, 5.81)<0.001*1.35 (1.05, 1.73)0.020* Anaemia1.55 (1.34, 1.80)<0.001*1.64 (1.40, 1.93)<0.001*1.36 (1.17, 1.58)<0.001*1.24 (1.16, 1.33)<0.001**Statistically significant (p <0.05).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting. Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates self-reported and clinical morbidity *Statistically significant (p <0.05). OR: odds ratio. IRR: incidence rate ratio. Models were adjusted for age, sex, socioeconomic status and setting. With regard to parasitaemia, self-reported hot body and vomiting were positively, and loss of appetite negatively associated with P. falciparum parasitaemia. Clinical morbidities (i.e. fever and anaemia) were positively associated with P. falciparum parasitaemia. The fever incidence rate was 3.3 higher with increasing parasitaemia levels. After accounting for school location in the multivariate negative binomial model, self-reported vomiting, fever and anaemia still showed significant positive associations with P. falciparum parasitaemia. Additionally, self-reported malaria showed a significant negative association to parasitaemia. Associations of Plasmodium falciparuminfection status and parasitaemia with preventive measures against malaria and distance to nearest health facility: Results from the multivariate regression models to determine associations between P. falciparum infection status and parasitaemia with preventive measures against malaria and distance to nearest health facility are shown in Table 4. While the use of insecticide spray was negatively associated with P. falciparum infection, burning leaves was associated with higher odds of P. falciparum infection. Furthermore, attending schools at distances >5 km from the nearest health facility was negatively associated with P. falciparum infection. The same findings were observed in both multivariate logistic regressions models (before and after accounting for random effects at the unit of the school) for insecticide spray and burning leaves.Table 4 Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility P. falciparuminfection status P. falciparumparasitaemia (parasites/μl of blood)Logistic regression modelLogistic regression model with random effectNegative binomial regression modelNegative binomial regression model with random effectAdjusted OR (95% CI)p-valueAdjusted OR (95% CI)p-valueAdjusted IRR (95% CI)p-valueAdjusted IRR (95% CI)p-value Net usage  Bed net ownership1.01 (0.85, 1.20)0.9110.97 (0.81, 1.16)0.7470.88 (0.73, 1.05)0.1551.00 (0.92, 1.09)0.958 Children sleeping under a net0.99 (0.76, 1.29)0.9501.03 (0.78, 1.37)0.8141.09 (0.83, 1.44)0.5451.04 (0.91, 1.19)0.529 Children slept under a net last night0.99 (0.76, 1.28)0.9360.90 (0.69, 1.18)0.4490.98 (0.74, 1.29)0.8810.95 (0.83, 1.08)0.447 Other preventive measures against malaria  Fumigating coil1.14 (0.99, 1.32)0.0741.20 (1.03, 1.40)0.018*1.06 (0.91, 1.24)0.4591.09 (1.01, 1.17)0.029* Insecticide spray0.78 (0.68, 0.90)0.001*0.83 (0.71, 0.97)0.017*0.95 (0.81, 1.12)0.5700.84 (0.78, 0.91)<0.001* Smoke by burning leaves1.26 (1.07, 1.49)0.006*1.26 (1.05, 1.51)0.013*1.06 (0.90, 1.26)0.4781.06 (0.98, 1.15)0.168 Malaria treatment 0.85 (0.72, 1.00)0.0510.83 (0.70, 0.99)0.036*0.97 (0.81, 1.17)0.7750.93 (0.85, 1.02)0.112 Distance to nearest health facility a  <1 km1.001.001.001.00 1-5 km0.76 (0.61, 0.94)0.012*0.80 (0.49, 1.29)0.3570.71 (0.57, 0.90)0.005*0.96 (0.85, 1.08)0.451 >5 km0.77 (0.64, 0.92)0.005*0.78 (0.52, 1.16)0.2190.80 (0.66, 0.96)0.019*0.86 (0.78, 0.94)0.002**Statistically significant (p < 0.05). aDistance to nearest health facility (<1 km as reference).OR: odds ratio.IRR: incidence rate ratio.Models were adjusted for age, sex, socioeconomic status and setting.Random effects were introduced for school location. Results from multivariate regression models on Plasmodium falciparum infection status and parasitaemia with covariates on prevention and treatment against malaria, and distance to nearest health facility *Statistically significant (p < 0.05). aDistance to nearest health facility (<1 km as reference). OR: odds ratio. IRR: incidence rate ratio. Models were adjusted for age, sex, socioeconomic status and setting. Random effects were introduced for school location. Only the use of insecticide spray was associated with a significantly lower level of parasitaemia after accounting for school location in the multivariate negative binomial regression model. Children visiting schools located farther away from health facilities had, on average, lower levels of parasitaemia than their counterparts living in close proximity. Discussion: This is the first national, cross-sectional, school-based survey conducted in Côte d’Ivoire that investigated Plasmodium infection patterns, malaria morbidities and people’s preventive and curative measures. The study was carried out over a four-month period in the dry season towards the end of 2011 and early 2012. This timing allowed the minimisation of logistic and operational challenges, such as high rate of school absenteeism and inaccessibility to the most isolated localities during the rainy season. Plasmodium falciparum was the predominant species with a very high overall prevalence (73.9%), despite efforts in place by the national malaria control programme. A decade of socio-political crisis, which further deteriorated an already weak health system, is likely to have played a major role in this finding [22]. In the current study, microscopy revealed a slightly higher prevalence than RDT (69.1 versus 66.9%) suggesting a small proportion of false negative results revealed by RDT. This result is somewhat surprising, as RDT is a device that detects malaria parasite antigen in a small amount of blood with monoclonal antibodies impregnated on a test strip [23]. The RDT used in the present study is based on histidine-rich protein 2 (HRP-2). Although this antigen persists in the patient’s blood for weeks after successful antimalarial treatment, it has been suggested to be more sensitive in detecting low-level, fluctuating parasitaemia in chronic malaria [24]. The sensitivity of the RDT employed here is above 95%; however, prior studies have shown that RDT sensitivity declines at parasitaemia levels below 500 parasites/μl of blood to 83% [25]. In this study, over 60% of participants had parasitaemia <500 parasites/μl of blood, which might explain the slightly lower sensitivity of the RDT compared to microscopy. It should, however, be noted that a good agreement was found between microscopy and RDT. Significant differences were found in P. falciparum prevalence between males and females, socioeconomic groups (less wealthy versus wealthier households) and place of residence (rural versus urban settings). Hence, findings reported here are in line with previous observations made elsewhere in Africa [17, 26–29] and confirm that malaria is a poverty-related disease [7] and that urbanisation is negatively associated with malaria transmission, morbidity and mortality [30]. No significant association was found between age and P. falciparum infection status, which is in contrast to other studies [28]. However, children aged 11–16 years showed significantly lower levels of parasitaemia than their younger counterparts. In high endemicity areas, the early exposition to mosquito bites builds up a partial immunity, which in turn results in lower levels of P. falciparum infection and parasitaemia with age [31]. With regard to prevention and treatment against malaria, results reported here confirm previous investigations in Côte d’Ivoire and elsewhere, as the use of preventive measures and availability of anti-malarial drugs was associated with the ability to afford the related costs [32–34]. The low bed net use among schoolchildren is consistent with previous findings that people avoid to sleep under a net because of perceived discomfort as highlighted in a recent study from central Côte d’Ivoire [34]. It may also be explained by systematic non-compliance by certain household members [35]. In Côte d’Ivoire, such patterns are likely to occur given past and contemporary malaria control strategies that primarily targeted children below the age of five years and women of childbearing age. These results thus confirm the need for scaling up interventions to other population groups, including school-aged children [34]. The National Malaria Control Programme in Côte d’Ivoire currently places high priority on the distribution of LLINs to cover the entire at-risk population, facilitated by additional funds from the Global Fund to Fight AIDS, Tuberculosis and Malaria. These findings emphasise an existing gap between net ownership and usage, and thus call for additional studies to deepen the current understanding of LLINs among the population, so that control programmes can further improve community effectiveness using bed nets as a major malaria control strategy [36]. Regarding self-reported and clinical morbidity, children from less wealthy households reported significantly more often morbidities such as headache and abdominal pain, and were more frequently diagnosed with anaemia. However, the significant difference in self-reported headache and abdominal pain could be due to the large sample size of the study and might be clinically less relevant. As in previous studies [37, 38], positive associations between P. falciparum infection and parasitaemia with self-reported vomiting was found. However, it is important to highlight that all reported morbidities observed in the current study would not necessarily result from P. falciparum infections since the self-reported data used were among all children and not only among children with P. falciparum infection. Furthermore, those who reported to have suffered from malaria two weeks before the current survey were less likely to have a P. falciparum infection or high parasitaemia suggesting that children likely followed efficacious antimalarial treatment [39, 40]. Related to clinical morbidity, children with anaemia or fever were at higher odds of P. falciparum infection or high levels of parasitaemia than non-anaemic or non-feverish children. These findings are again consistent with previous studies that established a link between malaria parasite density and fever, and hence, parasite density might confirm a malaria case in the face of fever [41, 42]. Nonetheless, in patients with a negative test result who present with fever, malaria cannot automatically be ruled out, since parasitaemia can fluctuate and remain undetectable for a certain time [42]. With regard to anaemia, it is well established that the Plasmodium erythrocyte stages lead to erythrocyte death, which can result in anaemia [43, 44]. Nonetheless, the aetiology of anaemia is multifactorial and other factors including bioavailability of iron in food and other nutritional deficiencies, other parasitic infections (e.g. hookworm), chronic inflammation and genetic conditions must be considered [45–48]. Another interesting finding is that two out of three children surveyed went to a school where the closest health facility was within a 1-km radius. This means that once at school, most of these children can have access to health care. Surprisingly, children attending schools with health facilities in close proximity were more likely to be infected with P. falciparum and had higher levels of parasitaemia than those going to schools where health facilities were further away. The exact reasons for these observations remain to be investigated. It might be speculated that the presence of health facilities in close proximity to schools influences health-seeking behaviour; children who go to schools that are far away from health facilities might stay at home when they are sick, while children living in villages with health facilities might seek care when sick. Geostatistical modelling for prediction of malaria risk within a Bayesian framework [49–51] that looks at which risk factors contribute to the spatial distribution of malaria risk might elucidate key reasons behind this observation. The study has several limitations. First, the results reported here were obtained during a larger investigation focusing on co-infection patterns of Plasmodium and intestinal helminths [10]. Second, considering logistical and financial constraints, the diagnosis of Plasmodium infection was based on a single finger-prick blood sample per child. Multiple blood samples might have revealed higher prevalence rates. Nevertheless, a combination of microscopy and RDT was used to enhance diagnostic sensitivity. It would have been interesting to employ additional diagnostic assays, particularly polymerase chain reaction (PCR) methods that are highly sensitive [52, 53] and thus would allow to clarify the false-negative diagnoses obtained with RDT compared to microscopy. Third, the survey was carried out during the dry season when malaria transmission is low [4, 54, 55], which might have resulted in an underestimation of the overall P. falciparum prevalence. It is conceivable that the overall P. falciparum prevalence among school-aged children is somewhat higher during the rainy season. Fourth, although a recall period of only two weeks was considered in the questionnaire interview, in accordance to previous studies [16], there might still be a recall bias. Conclusion: This first national school-based cross-sectional survey confirmed that P. falciparum endemicity is high in Côte d’Ivoire. Hence, continued and stronger efforts are still necessary to reduce the intolerable burden of malaria in this West African country. Significant disparities in the prevention and treatment of malaria according to socioeconomic groups are apparent, calling for adapting current control strategies to further enhance equity. Although progress has been registered to increase net coverage in high-risk groups, only a relatively small proportion of children at school age reported to have access to preventive measures, including LLINs, and the actual number of children making regular use of nets is quite low. This calls for concerted efforts to increase access to information and preventive measures in the entire population. Furthermore, improved knowledge on the effect of a list of determinants, including climatic, environmental, socioeconomic and control interventions, on the distribution of P. falciparum infection in schools needs to be generated through rigorous monitoring platforms. Finally, geostatistical modelling and prediction of malaria risk as done in previous studies [17, 56] is needed to spatially target control needs. Electronic supplementary material: Additional file 1: Disparities in prevention and treatment against malaria, self-reported and clinical morbidity, and distance to health facilities across socioeconomic groups, as assessed by the concentration index (C-index). (XLS 36 KB) Additional file 1: Disparities in prevention and treatment against malaria, self-reported and clinical morbidity, and distance to health facilities across socioeconomic groups, as assessed by the concentration index (C-index). (XLS 36 KB) : Additional file 1: Disparities in prevention and treatment against malaria, self-reported and clinical morbidity, and distance to health facilities across socioeconomic groups, as assessed by the concentration index (C-index). (XLS 36 KB)
Background: There is limited knowledge on the malaria burden of school-aged children in Côte d'Ivoire. The aim of this study was to assess Plasmodium falciparum infection, malaria-related morbidity, use of preventive measures and treatment against malaria, and physical access to health structures among school-aged children across Côte d'Ivoire. Methods: A national, cross-sectional study was designed, consisting of clinical and parasitological examinations and interviews with schoolchildren. More than 5,000 children from 93 schools in Côte d'Ivoire were interviewed to determine household socioeconomic status, self-reported morbidity and means of malaria prevention and treatment. Finger-prick blood samples were collected and Plasmodium infection and parasitaemia determined using Giemsa-stained blood films and a rapid diagnostic test (RDT). Haemoglobin levels and body temperature were measured. Children were classified into wealth quintiles using household assets and principal components analysis (PCA). The concentration index was employed to determine significant trends of health variables according to wealth quintiles. Logistic and binomial negative regression analyses were done to investigate for associations between P. falciparum prevalence and parasitaemia and any health-related variable. Results: The prevalence of P. falciparum was 73.9% according to combined microscopy and RDT results with a geometric mean of parasitaemia among infected children of 499 parasites/μl of blood. Infection with P. falciparum was significantly associated with sex, socioeconomic status and study setting, while parasitaemia was associated with age. The rate of bed net use was low compared to the rate of bed net ownership. Preventive measures (bed net ownership, insecticide spray and the reported use of malaria treatment) were more frequently mentioned by children from wealthier households who were at lower risk of P. falciparum infection. Self-reported morbidity (headache) and clinical morbidity (anaemia) were more often reported by children from less wealthy households. Conclusions: Seven out of ten school-aged children in Côte d'Ivoire are infected with P. falciparum and malaria-related morbidity is considerable. Furthermore, this study points out that bed net usage is quite low and there are important inequalities in preventive measures and treatment. These results can guide equity-oriented malaria control strategies in Côte d'Ivoire.
Background: Plasmodium falciparum malaria remains a key global driver of mortality and morbidity with people in sub-Saharan Africa affected most [1, 2]. In Côte d’Ivoire, malaria is the primary cause of consultation in school health services and might be responsible for up to 40% of school absenteeism [3]. According to the world malaria report, the entire population of Côte d’Ivoire is at risk of malaria [2] and Anopheles gambiae is the primary vector species [4, 5]. However, there is a strong heterogeneity as wealthier people and those living in urban areas are at lower risk of malaria than poorer counterparts in rural settings [6]. Besides its direct impact on health, malaria places a heavy economic and social burden on endemic countries [7, 8]. Key tools and strategies to fight against malaria include, among others, early diagnosis and treatment with artemisinin-based combination therapy (ACT) and distribution of long-lasting insecticidal nets (LLINs) to populations at risk. While great progress has been registered in the control of malaria in many countries, the burden remains intolerably high in other countries [9]. In Côte d’Ivoire, control efforts by the national malaria control programme are facilitated through continued support from the Global Fund to Fight AIDS, Tuberculosis and Malaria. For example, eight million LLINs were distributed in 2011 and further scaling-up of free LLIN distribution (12 million) to the entire population was planned for the last quarter of 2014. Here, results are presented from the first national, cross-sectional school-based survey pertaining to parasitic diseases in Côte d’Ivoire, placing particular emphasis on Plasmodium infections. The study was carried out in late 2011/early 2012 and involved more than 5,000 children aged five to 16 years [10] and thus provides an up-to-date situation of the extent of Plasmodium infection in the school-aged population, associated morbidity, preventive and curative measures and physical access to health systems. The information will be useful for the design of equity-oriented malaria control interventions in Côte d’Ivoire. Conclusion: This first national school-based cross-sectional survey confirmed that P. falciparum endemicity is high in Côte d’Ivoire. Hence, continued and stronger efforts are still necessary to reduce the intolerable burden of malaria in this West African country. Significant disparities in the prevention and treatment of malaria according to socioeconomic groups are apparent, calling for adapting current control strategies to further enhance equity. Although progress has been registered to increase net coverage in high-risk groups, only a relatively small proportion of children at school age reported to have access to preventive measures, including LLINs, and the actual number of children making regular use of nets is quite low. This calls for concerted efforts to increase access to information and preventive measures in the entire population. Furthermore, improved knowledge on the effect of a list of determinants, including climatic, environmental, socioeconomic and control interventions, on the distribution of P. falciparum infection in schools needs to be generated through rigorous monitoring platforms. Finally, geostatistical modelling and prediction of malaria risk as done in previous studies [17, 56] is needed to spatially target control needs.
Background: There is limited knowledge on the malaria burden of school-aged children in Côte d'Ivoire. The aim of this study was to assess Plasmodium falciparum infection, malaria-related morbidity, use of preventive measures and treatment against malaria, and physical access to health structures among school-aged children across Côte d'Ivoire. Methods: A national, cross-sectional study was designed, consisting of clinical and parasitological examinations and interviews with schoolchildren. More than 5,000 children from 93 schools in Côte d'Ivoire were interviewed to determine household socioeconomic status, self-reported morbidity and means of malaria prevention and treatment. Finger-prick blood samples were collected and Plasmodium infection and parasitaemia determined using Giemsa-stained blood films and a rapid diagnostic test (RDT). Haemoglobin levels and body temperature were measured. Children were classified into wealth quintiles using household assets and principal components analysis (PCA). The concentration index was employed to determine significant trends of health variables according to wealth quintiles. Logistic and binomial negative regression analyses were done to investigate for associations between P. falciparum prevalence and parasitaemia and any health-related variable. Results: The prevalence of P. falciparum was 73.9% according to combined microscopy and RDT results with a geometric mean of parasitaemia among infected children of 499 parasites/μl of blood. Infection with P. falciparum was significantly associated with sex, socioeconomic status and study setting, while parasitaemia was associated with age. The rate of bed net use was low compared to the rate of bed net ownership. Preventive measures (bed net ownership, insecticide spray and the reported use of malaria treatment) were more frequently mentioned by children from wealthier households who were at lower risk of P. falciparum infection. Self-reported morbidity (headache) and clinical morbidity (anaemia) were more often reported by children from less wealthy households. Conclusions: Seven out of ten school-aged children in Côte d'Ivoire are infected with P. falciparum and malaria-related morbidity is considerable. Furthermore, this study points out that bed net usage is quite low and there are important inequalities in preventive measures and treatment. These results can guide equity-oriented malaria control strategies in Côte d'Ivoire.
15,322
413
[ 399, 139, 355, 629, 591, 170, 1012, 168, 563, 638, 47 ]
16
[ "children", "falciparum", "malaria", "parasitaemia", "status", "reported", "socioeconomic", "results", "regression", "plasmodium" ]
[ "ivoire malaria", "control malaria countries", "use malaria treatment", "impact health malaria", "ivoire risk malaria" ]
[CONTENT] Malaria | Plasmodium falciparum | School-aged children | Self-reported morbidity | Access to prevention and treatment | Cross-sectional survey | Microscopy | Rapid diagnostic test | Côte d’Ivoire [SUMMARY]
[CONTENT] Malaria | Plasmodium falciparum | School-aged children | Self-reported morbidity | Access to prevention and treatment | Cross-sectional survey | Microscopy | Rapid diagnostic test | Côte d’Ivoire [SUMMARY]
[CONTENT] Malaria | Plasmodium falciparum | School-aged children | Self-reported morbidity | Access to prevention and treatment | Cross-sectional survey | Microscopy | Rapid diagnostic test | Côte d’Ivoire [SUMMARY]
[CONTENT] Malaria | Plasmodium falciparum | School-aged children | Self-reported morbidity | Access to prevention and treatment | Cross-sectional survey | Microscopy | Rapid diagnostic test | Côte d’Ivoire [SUMMARY]
[CONTENT] Malaria | Plasmodium falciparum | School-aged children | Self-reported morbidity | Access to prevention and treatment | Cross-sectional survey | Microscopy | Rapid diagnostic test | Côte d’Ivoire [SUMMARY]
[CONTENT] Malaria | Plasmodium falciparum | School-aged children | Self-reported morbidity | Access to prevention and treatment | Cross-sectional survey | Microscopy | Rapid diagnostic test | Côte d’Ivoire [SUMMARY]
[CONTENT] Adolescent | Blood | Body Temperature | Child | Cote d'Ivoire | Cross-Sectional Studies | Female | Health Services Accessibility | Hemoglobins | Humans | Interviews as Topic | Malaria, Falciparum | Male | Mosquito Nets | Prevalence | Schools | Socioeconomic Factors | Students [SUMMARY]
[CONTENT] Adolescent | Blood | Body Temperature | Child | Cote d'Ivoire | Cross-Sectional Studies | Female | Health Services Accessibility | Hemoglobins | Humans | Interviews as Topic | Malaria, Falciparum | Male | Mosquito Nets | Prevalence | Schools | Socioeconomic Factors | Students [SUMMARY]
[CONTENT] Adolescent | Blood | Body Temperature | Child | Cote d'Ivoire | Cross-Sectional Studies | Female | Health Services Accessibility | Hemoglobins | Humans | Interviews as Topic | Malaria, Falciparum | Male | Mosquito Nets | Prevalence | Schools | Socioeconomic Factors | Students [SUMMARY]
[CONTENT] Adolescent | Blood | Body Temperature | Child | Cote d'Ivoire | Cross-Sectional Studies | Female | Health Services Accessibility | Hemoglobins | Humans | Interviews as Topic | Malaria, Falciparum | Male | Mosquito Nets | Prevalence | Schools | Socioeconomic Factors | Students [SUMMARY]
[CONTENT] Adolescent | Blood | Body Temperature | Child | Cote d'Ivoire | Cross-Sectional Studies | Female | Health Services Accessibility | Hemoglobins | Humans | Interviews as Topic | Malaria, Falciparum | Male | Mosquito Nets | Prevalence | Schools | Socioeconomic Factors | Students [SUMMARY]
[CONTENT] Adolescent | Blood | Body Temperature | Child | Cote d'Ivoire | Cross-Sectional Studies | Female | Health Services Accessibility | Hemoglobins | Humans | Interviews as Topic | Malaria, Falciparum | Male | Mosquito Nets | Prevalence | Schools | Socioeconomic Factors | Students [SUMMARY]
[CONTENT] ivoire malaria | control malaria countries | use malaria treatment | impact health malaria | ivoire risk malaria [SUMMARY]
[CONTENT] ivoire malaria | control malaria countries | use malaria treatment | impact health malaria | ivoire risk malaria [SUMMARY]
[CONTENT] ivoire malaria | control malaria countries | use malaria treatment | impact health malaria | ivoire risk malaria [SUMMARY]
[CONTENT] ivoire malaria | control malaria countries | use malaria treatment | impact health malaria | ivoire risk malaria [SUMMARY]
[CONTENT] ivoire malaria | control malaria countries | use malaria treatment | impact health malaria | ivoire risk malaria [SUMMARY]
[CONTENT] ivoire malaria | control malaria countries | use malaria treatment | impact health malaria | ivoire risk malaria [SUMMARY]
[CONTENT] children | falciparum | malaria | parasitaemia | status | reported | socioeconomic | results | regression | plasmodium [SUMMARY]
[CONTENT] children | falciparum | malaria | parasitaemia | status | reported | socioeconomic | results | regression | plasmodium [SUMMARY]
[CONTENT] children | falciparum | malaria | parasitaemia | status | reported | socioeconomic | results | regression | plasmodium [SUMMARY]
[CONTENT] children | falciparum | malaria | parasitaemia | status | reported | socioeconomic | results | regression | plasmodium [SUMMARY]
[CONTENT] children | falciparum | malaria | parasitaemia | status | reported | socioeconomic | results | regression | plasmodium [SUMMARY]
[CONTENT] children | falciparum | malaria | parasitaemia | status | reported | socioeconomic | results | regression | plasmodium [SUMMARY]
[CONTENT] malaria | countries | côte ivoire | ivoire | côte | control | risk | million | primary | remains [SUMMARY]
[CONTENT] ecozone | children | hb | malaria | blood | school | slides | locations | rdt | 10 [SUMMARY]
[CONTENT] falciparum | parasitaemia | status | regression | 001 | 95 | 00 | children | models | socioeconomic status [SUMMARY]
[CONTENT] needs | increase | control | efforts | risk | high | access | including | groups | malaria [SUMMARY]
[CONTENT] children | malaria | falciparum | reported | parasitaemia | status | index | health | self reported | self [SUMMARY]
[CONTENT] children | malaria | falciparum | reported | parasitaemia | status | index | health | self reported | self [SUMMARY]
[CONTENT] Côte d'Ivoire ||| Plasmodium | Côte d'Ivoire [SUMMARY]
[CONTENT] ||| More than 5,000 | 93 | Côte d'Ivoire ||| Plasmodium | Giemsa | RDT ||| ||| ||| ||| [SUMMARY]
[CONTENT] 73.9% | RDT | 499 ||| ||| ||| P. ||| [SUMMARY]
[CONTENT] Seven | ten | Côte d'Ivoire ||| ||| Côte d'Ivoire [SUMMARY]
[CONTENT] Côte d'Ivoire ||| Plasmodium | Côte d'Ivoire ||| ||| More than 5,000 | 93 | Côte d'Ivoire ||| Plasmodium | Giemsa | RDT ||| ||| ||| ||| ||| ||| 73.9% | RDT | 499 ||| ||| ||| P. ||| ||| Seven | ten | Côte d'Ivoire ||| ||| Côte d'Ivoire [SUMMARY]
[CONTENT] Côte d'Ivoire ||| Plasmodium | Côte d'Ivoire ||| ||| More than 5,000 | 93 | Côte d'Ivoire ||| Plasmodium | Giemsa | RDT ||| ||| ||| ||| ||| ||| 73.9% | RDT | 499 ||| ||| ||| P. ||| ||| Seven | ten | Côte d'Ivoire ||| ||| Côte d'Ivoire [SUMMARY]
Changes in Attitude to Waterpipe Tobacco Smoking among Youngsters in Eastern Province, Saudi Arabia: A Cross-Sectional Study.
34048172
A growing number of epidemiological evidence suggests a significant increase in waterpipe tobacco smoking, and its potential to become a major public health concern in most Arabic countries, including Saudi Arabia.
BACKGROUND
A cross-sectional study was carried out to assess the prevalence of intention to quit among ever users of waterpipe and intention to start among the never users. The study also investigated the barriers that may prevent users from quitting or trigger the nonusers to start waterpipe smoking. The study consisted of 464 university students from Eastern Province, Saudi Arabia.
METHODS
One hundred and sixty-eight (36.2%) participants were responded that they had WTS at least one time in the past. Among the ever users of WTS, 120 (71.4%) participants had made an attempt or more to quit WTS in the past, 64 (38.1%) had made more than one attempt, and nearly two-third expressed the intention to quit WTS in the future. Forty (13.5%) out of 296 never-users expressed their intention to start WTS in the future. The study further showed that peer influence, social acceptance, and risk perception were significant predictors of intention to start or stop WTS among students.
RESULTS
It is promising that substantial users have the intention to discontinue WTS, though a fraction of never users wish to try WTS in the future.<br />.
CONCLUSION
[ "Adolescent", "Cross-Sectional Studies", "Female", "Follow-Up Studies", "Health Knowledge, Attitudes, Practice", "Humans", "Intention", "Male", "Saudi Arabia", "Smoking Cessation", "Students", "Tobacco Smoking", "Universities", "Water Pipe Smoking" ]
8408403
Introduction
The water pipe device indirectly heats tobacco and produces smoke, which then passes through a column of water before being inhaled through the mouth using a pipe. It has different names, such as waterpipe, hookah, narghile, and arghile. A growing number of epidemiological evidence suggests a significant increase in waterpipe tobacco smoking (WTS), and its potential to become a major public health concern in most Arabic countries, including Saudi Arabia (Maziak et al., 2004a; Maziak et al., 2004b; Maziak, 2004). The increased use of WTS among the Saudi population may be attributed to different reasons, including cultural reasons and the misconception that smoking waterpipe is safe and not as harmful as smoking cigarettes. According to the World Health Organization (WHO) and other studies, WTS may be addictive as in other forms of tobacco use and may cause similar health risks that smoking cigarettes can cause, including lung cancer, respiratory illness, and low birth weight (Martinasek et al., 2011; Akl et al., 2011; WHO Study Group on Tobacco Product Regulation, 2015; Soule et al., 2015; Jawad et al., 2018; Qasim et al., 2019). As part of tobacco-free initiatives, WHO has introduced MPOWER measures to promote government action on tobacco control (WHO EMRO, 2010). MPOWER consists of six evidence-informed and cost-effective interventions: Monitoring tobacco use, Protecting people from tobacco use through smoke-free policies, Offering cessation programs, health Warnings, Enforcing a ban on promotion, and make tobacco products less affordable by Raising taxes on them. In line with these measures, Saudi Arabia has enforced laws preventing smoking in most public places (Heydari et al., 2018; WHO, 2019). The country further ensured the availability of smoking cessation support through primary care health centers, availability of nicotine replacement therapy, Bupropion, and Varenicline through pharmacies with full health insurance coverage, and offered a toll-free telephone help-line to discuss cessation (Heydari et al., 2018; WHO, 2019). In the country, health warnings on tobacco packages are mandated by law, and a number of anti-tobacco mass media campaigns were aired (Heydari et al., 2018; WHO, 2019). As per the WHO report on global tobacco pandemic, Saudi Arabia has recently implemented the MPOWER measures at the moderate to best practice level except on the monitoring aspect (WHO, 2019). A significant reduction in the prevalence of tobacco use would be expected if the implementation of these measures at the highest level (WHO EMRO, 2010). The overall reduction is expected through the increase in smoking quit rate and reduction in smoking initiation rate. The smoking-related beliefs and the intention to quit or start smoking among Saudi youth have been the focus of smoking cessation research. The smoking-related beliefs could be explained by a health belief model that is used to predict an action that people might take based on the belief to prevent, to screen for, or to control disease situations (Taylor et al., 2006; Balbach et al., 2006; Glanz et al., 2015). The first component of this model is the perception of susceptibility which refers to beliefs of users regarding the likelihood of having some negative consequences of this habit (Taylor et al., 2006; Balbach et al., 2006; Glanz et al., 2015). The second component is the perception of the seriousness of the health outcomes and the possible social of smoking that might impact the decision of people toward quitting or starting smoking (Balbach et al., 2006; Glanz et al., 2015). The third component of the model is the perception of the benefits of quitting or starting smoking. Furthermore, the perceptions of barriers and obstacles such as social barriers (i.e., having a close friend who smokes waterpipe) could lead the person to decide either to start or to quit waterpipe smoking (Balbach et al., 2006; Glanz et al., 2015). There is a lack of studies to investigate the factors related to intention to quit or start waterpipe smoking among smokers in Saudi Arabia. The present study has two objectives: 1) to determine the prevalence of intention to quit among the WTS users and the intention to start among the nonusers; 2) to examine socio-demographic characteristics, smoking-related beliefs as predictors of intention to quit and intention to start WTS among Saudi university students. The impact of our study was that it might help to know in-depth the social, cultural, and other factors around smoking waterpipe, in order to overcome all the barriers that may prevent users from quitting or trigger nonusers to start WTS.
null
null
Results
The study sample consisted of 464 participants, of which 268 (57.8%) were males. The description of the participants was detailed in Table 1. Ever users of WTS One hundred and sixty-eight (36.2%) participants were responded that they had WTS at least one time in the past (Figure 1). Column 5 in Table 2 reports the prevalence of ever use of WTS by participants’ characteristics. Significantly higher WTS prevalence of 43.3% (116/268), 41.3% (124/300), 72.5% (74/102), and 52.5% (106/202) were reported among male gender, students of health cluster, current users of cigarettes and e-cigarettes, and students who had family history of occasional/frequent use of WTS, respectively, compared to their corresponding counterparts (p <0.05). Further, as shown in Table 3 (column 5), significantly lower WTS prevalence of 28.6% (40/140), 25.0% (38/152), 22.2% (28/126), 23.4% (36/154), 24.4% (44/180), 26.0% (54/208), 26.9% (70/260), and 17.8% (26/146) among students who believed ‘waterpipe is more harmful than cigarettes’, ‘waterpipe is more addictive than cigarettes’, ‘water does not filter toxins’, ‘STS contains tar’, ‘STS contains carbon monoxide’, ‘increased risk of CVD’, and ‘STS is not socially acceptable’, respectively, compared to their corresponding counterparts (p <0.05). Intention to start WTS in the future among never-users There were 40 (13.5%) out of 296 never-users were expressed their intention to start WTS in the future (Figure 1). The proportion of participants who intend to start WTS in the future among never-users was given in Tables 2 and 3 (columns 3 and 4). The proportion among males (18.4%), students of Arts and Science cluster (29.0%), current users of cigarettes (57.1%) and e-cigarettes (55.6%), students with family history of frequent use of WTS (26.9%) were significantly higher than the proportions in their corresponding counterparts (p <0.05). The proportion was lower, but not statistically significant, among students with high-risk perception (6.8%) and high knowledge score (10.2%) compared to students with low-risk perception (17.9%) and low knowledge score (18.2%), respectively. Importantly, 23.1% (6/26) of students who think WTS is well accepted had expressed their intention to use WTS in the future; while it was only 6.7% (8/120) among students who think WTS is not accepted socially. Previous quitting attempt and intention to quit WTS in the future among ever users Among the ever users of WTS, 120 (71.4%) participants had made an attempt or more to quit WTS in the past; 64 (38.1%) had made more than one attempt. More than half of users (94/168) were aware of cessation services for WTS. However, only 14.3% (24/168) had used the service: Bupropion was used by four participants, Varenicline or NicoDerm CQ was used by 16 participants, and other medications were used by another four participants. Among the ever users of WTS, nearly two-thirds (106/168) expressed the intention to quit WTS in the future (Figure 1). The proportion by participants’ characteristics was given in Tables 2 and 3 (columns 6 and 7). The proportion was significantly higher among males (74.1%), urban students (67.6%), e-cigarettes non-smokers (68.4%), and students who did not have the family history of WTS use (94.1%), compared to their corresponding counterparts. Further, the proportion was lower among the students who believe waterpipe is less harmful (46.3%), waterpipe is less addictive (56.3%), water filter toxins substantially (46.2%), and waterpipe is not associated with CVD (51.4%). Importantly, less than one-half of participants with a low risk-perception score (43.3%) and participants who believed that shish is very socially acceptable (30.0%) were expressed intention to quit WTS in the future. Socio-Demographics Characteristics of Participants (N=464) Proportion of Participants Showed Intention to Start and Intention to Quit Waterpipe Smoking Socio-Demographics and Cigarettes Smoking among Ever and Never Users of Waterpipe Tobacco Smoking *p-value<0.05 Risk-Perception, Knowledge and Normative Beliefs among Ever and Never Users of Waterpipe Tobacco Smoking *p-value<0.05
null
null
[ "Author Contribution Statement" ]
[ "DA conceived the idea, and later developed as a study in consultation with RJ. DA and RJ equally contributed to the study design. DA was responsible for the data collection. RJ was responsible for the data management and statistical analyses. DA drafted the manuscript. Both authors contributed to further revisions to the draft. All authors have read and approved the final manuscript." ]
[ null ]
[ "Introduction", "Materials and Methods", "Results", "Discussion", "Author Contribution Statement" ]
[ "The water pipe device indirectly heats tobacco and produces smoke, which then passes through a column of water before being inhaled through the mouth using a pipe. It has different names, such as waterpipe, hookah, narghile, and arghile. A growing number of epidemiological evidence suggests a significant increase in waterpipe tobacco smoking (WTS), and its potential to become a major public health concern in most Arabic countries, including Saudi Arabia (Maziak et al., 2004a; Maziak et al., 2004b; Maziak, 2004). The increased use of WTS among the Saudi population may be attributed to different reasons, including cultural reasons and the misconception that smoking waterpipe is safe and not as harmful as smoking cigarettes. According to the World Health Organization (WHO) and other studies, WTS may be addictive as in other forms of tobacco use and may cause similar health risks that smoking cigarettes can cause, including lung cancer, respiratory illness, and low birth weight (Martinasek et al., 2011; Akl et al., 2011; WHO Study Group on Tobacco Product Regulation, 2015; Soule et al., 2015; Jawad et al., 2018; Qasim et al., 2019).\nAs part of tobacco-free initiatives, WHO has introduced MPOWER measures to promote government action on tobacco control (WHO EMRO, 2010). MPOWER consists of six evidence-informed and cost-effective interventions: Monitoring tobacco use, Protecting people from tobacco use through smoke-free policies, Offering cessation programs, health Warnings, Enforcing a ban on promotion, and make tobacco products less affordable by Raising taxes on them. In line with these measures, Saudi Arabia has enforced laws preventing smoking in most public places (Heydari et al., 2018; WHO, 2019). The country further ensured the availability of smoking cessation support through primary care health centers, availability of nicotine replacement therapy, Bupropion, and Varenicline through pharmacies with full health insurance coverage, and offered a toll-free telephone help-line to discuss cessation (Heydari et al., 2018; WHO, 2019). In the country, health warnings on tobacco packages are mandated by law, and a number of anti-tobacco mass media campaigns were aired (Heydari et al., 2018; WHO, 2019). As per the WHO report on global tobacco pandemic, Saudi Arabia has recently implemented the MPOWER measures at the moderate to best practice level except on the monitoring aspect (WHO, 2019). A significant reduction in the prevalence of tobacco use would be expected if the implementation of these measures at the highest level (WHO EMRO, 2010). The overall reduction is expected through the increase in smoking quit rate and reduction in smoking initiation rate.\nThe smoking-related beliefs and the intention to quit or start smoking among Saudi youth have been the focus of smoking cessation research. The smoking-related beliefs could be explained by a health belief model that is used to predict an action that people might take based on the belief to prevent, to screen for, or to control disease situations (Taylor et al., 2006; Balbach et al., 2006; Glanz et al., 2015). The first component of this model is the perception of susceptibility which refers to beliefs of users regarding the likelihood of having some negative consequences of this habit (Taylor et al., 2006; Balbach et al., 2006; Glanz et al., 2015). The second component is the perception of the seriousness of the health outcomes and the possible social of smoking that might impact the decision of people toward quitting or starting smoking (Balbach et al., 2006; Glanz et al., 2015). The third component of the model is the perception of the benefits of quitting or starting smoking. Furthermore, the perceptions of barriers and obstacles such as social barriers (i.e., having a close friend who smokes waterpipe) could lead the person to decide either to start or to quit waterpipe smoking (Balbach et al., 2006; Glanz et al., 2015). \nThere is a lack of studies to investigate the factors related to intention to quit or start waterpipe smoking among smokers in Saudi Arabia. The present study has two objectives: 1) to determine the prevalence of intention to quit among the WTS users and the intention to start among the nonusers; 2) to examine socio-demographic characteristics, smoking-related beliefs as predictors of intention to quit and intention to start WTS among Saudi university students. The impact of our study was that it might help to know in-depth the social, cultural, and other factors around smoking waterpipe, in order to overcome all the barriers that may prevent users from quitting or trigger nonusers to start WTS.", "\nStudy design and sample\n\nWe conducted a questionnaire-based cross-sectional study among university students. The study sample was selected from various colleges of a leading public university in the Eastern province of Saudi Arabia. The university has more than 45,000 registered students over 21 colleges that spread over the Eastern Province, Saudi Arabia. The study sample comprised of male and female undergraduate students aged below 18 years under health, engineering, and arts and science stream of studies. A minimum sample size of 323 participants was required to estimate a prevalence of 30% with 5% absolute precision and a 95% confidence level. Therefore we targetted a sample of 500 students with the expectation of incomplete data from some students. A group of final-year students had been selected and trained for data collection using a questionnaire. The data collectors approached students at public places, such as the atrium, cafeteria, library, and other open areas, within the university in order to collect the data. The purpose of the study was explained, and consent for participation was obtained from the participating students. The participants were requested to fill the questionnaire with minimal support from the data collectors. Ethical approval was obtained from the Institutional Ethics Committee, College of Clinical Pharmacy, Imam Abdulrahman Bin Faisal University.\n\nQuestionnaire\n\nThe questionnaire has four sections: socio-demographic information of participants, smoking status and family history, the perceptions on WTS, and the information on the willingness to quit or try WTS in the future. The first three sections were adapted from literature on WTS use (Primack et al., 2008).\n\nSocio-demographic details\n\nData on age, gender, study stream, marital status, area of residence (urban/rural), and monthly family income of participants were collected.\n\nSmoking status and family history\n\nParticipants were asked if they had smoked cigarettes, e-cigarettes, and waterpipe in the past ever in addition to a question on their 30-days use. The frequency of WTS use among friends and family members were also obtained.\n\nPerceptions on WTS\n\nThe questionnaire contained eight items to assess risk-perception about WTS, knowledge on the hazards of WTS, and the normative belief on the social acceptance of WTS. The beliefs about the addictive and harmful effects of WTS compared to cigarettes were rated on a five-point scale. The lowest score of ‘0’ indicated ‘WTS is much less addictive/harmful than cigarettes’, and the highest score of 4 indicated ‘WTS is much more addictive/harmful than cigarettes’. The overall risk-perception was assessed using the sum of the two items with a lower total score indicates the higher the false perception. The knowledge on the hazards of WTS was assessed by asking the participants to rate five statements about WTS. The statements were 1) water filters the toxic elements of WTS, 2) WTS is free of tar, 3) WTS is free of nicotine, 4) WTS is free of carbon monoxide, and 5) no increased risk of cardiovascular diseases (CVD) due to WTS. The participants rated the statements on a five-point Likert scale ranging ‘strongly agree (score 0)’ to ‘strongly disagree (score 4)’. A total score of these five items were calculated as a measure of knowledge on hazards of WTS with a lower score indicates lower the knowledge. In order to assess the normative belief on social acceptance of WTS, participants were requested to rate their belief on acceptance of WTS in the society on a four-point scale ranging ‘not acceptable’ to ‘very acceptable’.\n\nIntention to quit or start in the future\n\nParticipants who had used WTS in the past were asked about their previous attempt to quit, previous use of cessation mediations/programs, and their willingness to quit in the future. Their self-confidence with the quit decision was also rated. Participants who never used WTS in the past were also asked their intention to try WTS in the future.\n\nData analysis\n\n‘Ever user’ of WTS was a participant who used WTS in the past, while ‘never user’ of WTS was a participant who never used WTS in the past. We estimated the prevalence of intention to quit among the ever users and intention to try among never users. For the purpose of analysis, the total risk perception score and knowledge score were categorized into three levels using tertiles: categories with high scores (low favored for WTS), moderate scores, and low scores (highly favored for WTS). Further, categories of individual items were collapsed into three categories. \nData were summarized using frequencies and percentages. A Chi-square test for association was used to identify the predictors of intention to quit and start WTS in the future. A p-value of less than 0.05 was considered statistically significant. Analyses were carried out using SPSS Statistics version 24.0.", "The study sample consisted of 464 participants, of which 268 (57.8%) were males. The description of the participants was detailed in Table 1. \n\nEver users of WTS\n\nOne hundred and sixty-eight (36.2%) participants were responded that they had WTS at least one time in the past (Figure 1). Column 5 in Table 2 reports the prevalence of ever use of WTS by participants’ characteristics. Significantly higher WTS prevalence of 43.3% (116/268), 41.3% (124/300), 72.5% (74/102), and 52.5% (106/202) were reported among male gender, students of health cluster, current users of cigarettes and e-cigarettes, and students who had family history of occasional/frequent use of WTS, respectively, compared to their corresponding counterparts (p <0.05). Further, as shown in Table 3 (column 5), significantly lower WTS prevalence of 28.6% (40/140), 25.0% (38/152), 22.2% (28/126), 23.4% (36/154), 24.4% (44/180), 26.0% (54/208), 26.9% (70/260), and 17.8% (26/146) among students who believed ‘waterpipe is more harmful than cigarettes’, ‘waterpipe is more addictive than cigarettes’, ‘water does not filter toxins’, ‘STS contains tar’, ‘STS contains carbon monoxide’, ‘increased risk of CVD’, and ‘STS is not socially acceptable’, respectively, compared to their corresponding counterparts (p <0.05). \n\nIntention to start WTS in the future among never-users\n\nThere were 40 (13.5%) out of 296 never-users were expressed their intention to start WTS in the future (Figure 1). The proportion of participants who intend to start WTS in the future among never-users was given in Tables 2 and 3 (columns 3 and 4). The proportion among males (18.4%), students of Arts and Science cluster (29.0%), current users of cigarettes (57.1%) and e-cigarettes (55.6%), students with family history of frequent use of WTS (26.9%) were significantly higher than the proportions in their corresponding counterparts (p <0.05). The proportion was lower, but not statistically significant, among students with high-risk perception (6.8%) and high knowledge score (10.2%) compared to students with low-risk perception (17.9%) and low knowledge score (18.2%), respectively. Importantly, 23.1% (6/26) of students who think WTS is well accepted had expressed their intention to use WTS in the future; while it was only 6.7% (8/120) among students who think WTS is not accepted socially.\n\nPrevious quitting attempt and intention to quit WTS in the future among ever users\n\nAmong the ever users of WTS, 120 (71.4%) participants had made an attempt or more to quit WTS in the past; 64 (38.1%) had made more than one attempt. More than half of users (94/168) were aware of cessation services for WTS. However, only 14.3% (24/168) had used the service: Bupropion was used by four participants, Varenicline or NicoDerm CQ was used by 16 participants, and other medications were used by another four participants.\nAmong the ever users of WTS, nearly two-thirds (106/168) expressed the intention to quit WTS in the future (Figure 1). The proportion by participants’ characteristics was given in Tables 2 and 3 (columns 6 and 7). The proportion was significantly higher among males (74.1%), urban students (67.6%), e-cigarettes non-smokers (68.4%), and students who did not have the family history of WTS use (94.1%), compared to their corresponding counterparts. Further, the proportion was lower among the students who believe waterpipe is less harmful (46.3%), waterpipe is less addictive (56.3%), water filter toxins substantially (46.2%), and waterpipe is not associated with CVD (51.4%). Importantly, less than one-half of participants with a low risk-perception score (43.3%) and participants who believed that shish is very socially acceptable (30.0%) were expressed intention to quit WTS in the future. \nSocio-Demographics Characteristics of Participants (N=464)\nProportion of Participants Showed Intention to Start and Intention to Quit Waterpipe Smoking\nSocio-Demographics and Cigarettes Smoking among Ever and Never Users of Waterpipe Tobacco Smoking\n*p-value<0.05\nRisk-Perception, Knowledge and Normative Beliefs among Ever and Never Users of Waterpipe Tobacco Smoking\n*p-value<0.05", "The present study investigated the prevalence of the previous attempt to quit, and intention quit WTS among waterpipe ever users and the prevalence of intention to start WTS among the never users in the Eastern Province, Saudi Arabia. Further to aid in developing effective strategies for discouraging the use of WTS among youngsters, the study further investigated the differences in their characteristics, including socio-demographics, knowledge, and perception about WTS, between users with and without intention to quit WTS and nonusers with and without intention to start WTS. The study population was undergraduate students. The study shows that more than one-third (36%) of participants were used WTS at least once in the past with a higher proportion among males than in females. A previous publication was reported that the past 30-day prevalence was 23% with a narrow gender gap (Alshayban and Joseph, 2019). The previous attempt or the intention to quit may explain the gender difference in proportion. Availability, affordability, and attractiveness of waterpipe may be the key reasons for the higher prevalence of WTS use among youngsters (Maziak et al., 2004c). We found that 63% of ever users expressed the intention to quit, and 14% of never users expressed their intention to start in the future. A study from Qatar reported that more than half of waterpipe users admitted to intending to quit the use (Jaam et al., 2016). A similar proportion of intention to quit smoking was reported among cigarette smokers in Saudi Arabia (Al-Zalabani et al., 2015; Almogbel et al., 2016). Although it is promising that substantial users have the intention to discontinue WTS, still a number of never-users expressed their intention to try WTS in the future. Thus, it is quite important to introduce a more pervasive restriction on WTS in public places and make it less attractive in order to help the students to refrain from WTS. Health warning labels are found to be effective in encouraging students to quit WTS (Darawad et al., 2019).\nPrevious studies have expressed concern over awareness about WTS cessation techniques among the general public and particularly, among the practicing physicians (Jradi, 2017; Romani et al., 2020). The present study reported that nearly three-fourth of ever users had made an attempt or more to quit WTS in the past. Further, only 14% used a cessation service for WTS, though half of WTS users were aware of such cessation services. More importantly, a systematic review highlighted the lack of evidence on the effectiveness of interventions targeting prevention and cessation of WTS and a need for higher quality effective clinical and behavioral interventions (Jawad et al., 2016).\nThe study found that more males expressed the intention to quit WTS among the users, and in contradictory, more males also expressed the intention start to start WTS in the future among never users. Thus, the imbalance in the proportions leads to a narrow gender gap on the prevalence of past one-month use of WTS, as reported in our previous study. Our finding was in line with a previous study that assessed the willingness to quit cigarette smoking among youngsters, and the study observed that a substantially higher proportion of males preferred to quit smoking than females (Al-Zalabani et al., 2015). The higher proportions among the male students may be linked to their confidence to stop WTS at any time point.\nWe observed, as reported in Table 1, that nearly three-fourth of current users of cigarette or e-cigarette were ever users of WTS in comparison with a quarter among the nonusers of cigarette or e-cigarette. In line with this finding, the study further observed that the willingness to quit and intention start WTS is directly associated with the use of other forms of tobacco. In this study, a lower proportion of intent quit and higher intent to start were reported among the cigarette or e-cigarette users. It strongly indicates the popularity and acceptance of WTS among the users of other-form of tobacco (Alshayban and Joseph, 2019). \nSmoking behavior of family members and peers is strongly associated with the initiation of WTS among youngsters and women (Baheiraei et al., 2015). A similar association was observed in our study. The study found that WTS use was higher among students with a family history of frequent use of WTS. Importantly, the intent to start rate and the intent to quit rate was higher among the students had the family history of use and did not have the family history, respectively. The smoking behavior among the closed ones may contribute to the level of perceived social acceptance of WTS. Among the never users, only 7% of students who think WTS is not socially acceptable were showed intention to start WTS while it was 23% among the students who think WTS is well accepted. Among the ever users, 92% of students who think WTS is not socially acceptable were showed intention to quit WTS while it was only 30% among the students who think WTS is well accepted. This indicates the perception of social acceptance of WTS has a significant effect on preventing the participants for refraining from WTS. Therefore, appropriate measures need to be taken for discouraging the use of waterpipe during social gatherings in order to prevent from perceiving WTS as a kind of entertainment and is considered acceptable in society.\nPrevious studies have demonstrated that the higher prevalence of WTS use is associated with a high level of perceived lack of harmful and addictive effects of WTS among university students (Abu-Rmeileh et al., 2018). In the current study, more than one-third of participants were misconceived that waterpipe is less harmful and less addictive than cigarettes, and a higher proportion of them were WTS users. We observed that the willingness to quit among the users is significantly associated with the misconception. In overall, three-quarters of users with low-risk perception were expressed willingness to quit while only 43% intended to quit among the students with high-risk perception. Among the nonusers of WTS, a similar difference in the proportion of students who plan to initiate WTS between the levels of risk perception, though it was not statistically significant. The findings indicate that targeting beliefs on the harmfulness and addictiveness may influence the willingness to quit among users and desire to try among nonusers. Mandated waterpipe tobacco package warning may result an increase of awareness of the health effects of WTS (King et al., 2019), and thus increase in the level of risk perception (Salloum et al., 2017).\nIt was found that students who think WTS is free of tar, nicotine, or carbon monoxide are at higher risk of start using WTS compared to those who think otherwise. Alternatively, the students who think the WTS is free of the hazardous contents are less likely to stop WTS among users compared to those who think otherwise. The users who think that WTS has increased risk of CVD are more prone to quit compared to the users who think otherwise. In overall, though not statistically significant, the desire to try WTS was reported by 18% of the students with knowledge score that highly favored for WTS in comparison with 10% among the students with knowledge score that less favored for WTS. Similarly, 72% of students with knowledge scores that less favored for WTS were showed intention to quit WTS in comparison with 54% among the students with knowledge scores that highly favored for WTS. Thus, it is important to educate and increase the awareness of students and public on the impact of WTS on health. The textual and pictorial warning on waterpipe tobacco boxes is found to be effective in increasing motivation and intention to stop WTS (Hallit et al., 2019).\nThis is the first study in the Kingdom of Saudi Arabia to investigate the willingness to quit among WTS users and desire to try WTS among nonusers and its association with the risk perception and knowledge on the health effects of WTS. This was a cross-sectional study, and thus causal association could not be established. Prospective studies are required to show how risk perception and knowledge on the health effects of WTS influence the cessation among WTS users and desire to try WTS among nonusers. Though the study sample selection from different colleges ensured participation from the diverse socio-economic background, the majority of participants were from the Eastern Province, Saudi Arabia. \nIn conclusion, the study identified the impact of peer influence, social acceptance, and risk perception on behavioral intention to start or stop WTS among students. It is promising that substantial users have the intention to discontinue WTS, though a fraction of never users wish to try WTS in the future. Further actions such as introducing more pervasive restrictions on WTS in public places, make it less attractive, mandating health warning on waterpipe tobacco packages, and awareness campaign on the effectiveness of interventions targeting prevention and cessation of WTS is warranted in order to help the students to refrain from WTS. ", "DA conceived the idea, and later developed as a study in consultation with RJ. DA and RJ equally contributed to the study design. DA was responsible for the data collection. RJ was responsible for the data management and statistical analyses. DA drafted the manuscript. Both authors contributed to further revisions to the draft. All authors have read and approved the final manuscript." ]
[ "intro", "materials|methods", "results", "discussion", null ]
[ "Smoking water pipes", "intention-to-quit", "intention-to-start", "youngsters", "Saudi Arabia" ]
Introduction: The water pipe device indirectly heats tobacco and produces smoke, which then passes through a column of water before being inhaled through the mouth using a pipe. It has different names, such as waterpipe, hookah, narghile, and arghile. A growing number of epidemiological evidence suggests a significant increase in waterpipe tobacco smoking (WTS), and its potential to become a major public health concern in most Arabic countries, including Saudi Arabia (Maziak et al., 2004a; Maziak et al., 2004b; Maziak, 2004). The increased use of WTS among the Saudi population may be attributed to different reasons, including cultural reasons and the misconception that smoking waterpipe is safe and not as harmful as smoking cigarettes. According to the World Health Organization (WHO) and other studies, WTS may be addictive as in other forms of tobacco use and may cause similar health risks that smoking cigarettes can cause, including lung cancer, respiratory illness, and low birth weight (Martinasek et al., 2011; Akl et al., 2011; WHO Study Group on Tobacco Product Regulation, 2015; Soule et al., 2015; Jawad et al., 2018; Qasim et al., 2019). As part of tobacco-free initiatives, WHO has introduced MPOWER measures to promote government action on tobacco control (WHO EMRO, 2010). MPOWER consists of six evidence-informed and cost-effective interventions: Monitoring tobacco use, Protecting people from tobacco use through smoke-free policies, Offering cessation programs, health Warnings, Enforcing a ban on promotion, and make tobacco products less affordable by Raising taxes on them. In line with these measures, Saudi Arabia has enforced laws preventing smoking in most public places (Heydari et al., 2018; WHO, 2019). The country further ensured the availability of smoking cessation support through primary care health centers, availability of nicotine replacement therapy, Bupropion, and Varenicline through pharmacies with full health insurance coverage, and offered a toll-free telephone help-line to discuss cessation (Heydari et al., 2018; WHO, 2019). In the country, health warnings on tobacco packages are mandated by law, and a number of anti-tobacco mass media campaigns were aired (Heydari et al., 2018; WHO, 2019). As per the WHO report on global tobacco pandemic, Saudi Arabia has recently implemented the MPOWER measures at the moderate to best practice level except on the monitoring aspect (WHO, 2019). A significant reduction in the prevalence of tobacco use would be expected if the implementation of these measures at the highest level (WHO EMRO, 2010). The overall reduction is expected through the increase in smoking quit rate and reduction in smoking initiation rate. The smoking-related beliefs and the intention to quit or start smoking among Saudi youth have been the focus of smoking cessation research. The smoking-related beliefs could be explained by a health belief model that is used to predict an action that people might take based on the belief to prevent, to screen for, or to control disease situations (Taylor et al., 2006; Balbach et al., 2006; Glanz et al., 2015). The first component of this model is the perception of susceptibility which refers to beliefs of users regarding the likelihood of having some negative consequences of this habit (Taylor et al., 2006; Balbach et al., 2006; Glanz et al., 2015). The second component is the perception of the seriousness of the health outcomes and the possible social of smoking that might impact the decision of people toward quitting or starting smoking (Balbach et al., 2006; Glanz et al., 2015). The third component of the model is the perception of the benefits of quitting or starting smoking. Furthermore, the perceptions of barriers and obstacles such as social barriers (i.e., having a close friend who smokes waterpipe) could lead the person to decide either to start or to quit waterpipe smoking (Balbach et al., 2006; Glanz et al., 2015). There is a lack of studies to investigate the factors related to intention to quit or start waterpipe smoking among smokers in Saudi Arabia. The present study has two objectives: 1) to determine the prevalence of intention to quit among the WTS users and the intention to start among the nonusers; 2) to examine socio-demographic characteristics, smoking-related beliefs as predictors of intention to quit and intention to start WTS among Saudi university students. The impact of our study was that it might help to know in-depth the social, cultural, and other factors around smoking waterpipe, in order to overcome all the barriers that may prevent users from quitting or trigger nonusers to start WTS. Materials and Methods: Study design and sample We conducted a questionnaire-based cross-sectional study among university students. The study sample was selected from various colleges of a leading public university in the Eastern province of Saudi Arabia. The university has more than 45,000 registered students over 21 colleges that spread over the Eastern Province, Saudi Arabia. The study sample comprised of male and female undergraduate students aged below 18 years under health, engineering, and arts and science stream of studies. A minimum sample size of 323 participants was required to estimate a prevalence of 30% with 5% absolute precision and a 95% confidence level. Therefore we targetted a sample of 500 students with the expectation of incomplete data from some students. A group of final-year students had been selected and trained for data collection using a questionnaire. The data collectors approached students at public places, such as the atrium, cafeteria, library, and other open areas, within the university in order to collect the data. The purpose of the study was explained, and consent for participation was obtained from the participating students. The participants were requested to fill the questionnaire with minimal support from the data collectors. Ethical approval was obtained from the Institutional Ethics Committee, College of Clinical Pharmacy, Imam Abdulrahman Bin Faisal University. Questionnaire The questionnaire has four sections: socio-demographic information of participants, smoking status and family history, the perceptions on WTS, and the information on the willingness to quit or try WTS in the future. The first three sections were adapted from literature on WTS use (Primack et al., 2008). Socio-demographic details Data on age, gender, study stream, marital status, area of residence (urban/rural), and monthly family income of participants were collected. Smoking status and family history Participants were asked if they had smoked cigarettes, e-cigarettes, and waterpipe in the past ever in addition to a question on their 30-days use. The frequency of WTS use among friends and family members were also obtained. Perceptions on WTS The questionnaire contained eight items to assess risk-perception about WTS, knowledge on the hazards of WTS, and the normative belief on the social acceptance of WTS. The beliefs about the addictive and harmful effects of WTS compared to cigarettes were rated on a five-point scale. The lowest score of ‘0’ indicated ‘WTS is much less addictive/harmful than cigarettes’, and the highest score of 4 indicated ‘WTS is much more addictive/harmful than cigarettes’. The overall risk-perception was assessed using the sum of the two items with a lower total score indicates the higher the false perception. The knowledge on the hazards of WTS was assessed by asking the participants to rate five statements about WTS. The statements were 1) water filters the toxic elements of WTS, 2) WTS is free of tar, 3) WTS is free of nicotine, 4) WTS is free of carbon monoxide, and 5) no increased risk of cardiovascular diseases (CVD) due to WTS. The participants rated the statements on a five-point Likert scale ranging ‘strongly agree (score 0)’ to ‘strongly disagree (score 4)’. A total score of these five items were calculated as a measure of knowledge on hazards of WTS with a lower score indicates lower the knowledge. In order to assess the normative belief on social acceptance of WTS, participants were requested to rate their belief on acceptance of WTS in the society on a four-point scale ranging ‘not acceptable’ to ‘very acceptable’. Intention to quit or start in the future Participants who had used WTS in the past were asked about their previous attempt to quit, previous use of cessation mediations/programs, and their willingness to quit in the future. Their self-confidence with the quit decision was also rated. Participants who never used WTS in the past were also asked their intention to try WTS in the future. Data analysis ‘Ever user’ of WTS was a participant who used WTS in the past, while ‘never user’ of WTS was a participant who never used WTS in the past. We estimated the prevalence of intention to quit among the ever users and intention to try among never users. For the purpose of analysis, the total risk perception score and knowledge score were categorized into three levels using tertiles: categories with high scores (low favored for WTS), moderate scores, and low scores (highly favored for WTS). Further, categories of individual items were collapsed into three categories. Data were summarized using frequencies and percentages. A Chi-square test for association was used to identify the predictors of intention to quit and start WTS in the future. A p-value of less than 0.05 was considered statistically significant. Analyses were carried out using SPSS Statistics version 24.0. Results: The study sample consisted of 464 participants, of which 268 (57.8%) were males. The description of the participants was detailed in Table 1. Ever users of WTS One hundred and sixty-eight (36.2%) participants were responded that they had WTS at least one time in the past (Figure 1). Column 5 in Table 2 reports the prevalence of ever use of WTS by participants’ characteristics. Significantly higher WTS prevalence of 43.3% (116/268), 41.3% (124/300), 72.5% (74/102), and 52.5% (106/202) were reported among male gender, students of health cluster, current users of cigarettes and e-cigarettes, and students who had family history of occasional/frequent use of WTS, respectively, compared to their corresponding counterparts (p <0.05). Further, as shown in Table 3 (column 5), significantly lower WTS prevalence of 28.6% (40/140), 25.0% (38/152), 22.2% (28/126), 23.4% (36/154), 24.4% (44/180), 26.0% (54/208), 26.9% (70/260), and 17.8% (26/146) among students who believed ‘waterpipe is more harmful than cigarettes’, ‘waterpipe is more addictive than cigarettes’, ‘water does not filter toxins’, ‘STS contains tar’, ‘STS contains carbon monoxide’, ‘increased risk of CVD’, and ‘STS is not socially acceptable’, respectively, compared to their corresponding counterparts (p <0.05). Intention to start WTS in the future among never-users There were 40 (13.5%) out of 296 never-users were expressed their intention to start WTS in the future (Figure 1). The proportion of participants who intend to start WTS in the future among never-users was given in Tables 2 and 3 (columns 3 and 4). The proportion among males (18.4%), students of Arts and Science cluster (29.0%), current users of cigarettes (57.1%) and e-cigarettes (55.6%), students with family history of frequent use of WTS (26.9%) were significantly higher than the proportions in their corresponding counterparts (p <0.05). The proportion was lower, but not statistically significant, among students with high-risk perception (6.8%) and high knowledge score (10.2%) compared to students with low-risk perception (17.9%) and low knowledge score (18.2%), respectively. Importantly, 23.1% (6/26) of students who think WTS is well accepted had expressed their intention to use WTS in the future; while it was only 6.7% (8/120) among students who think WTS is not accepted socially. Previous quitting attempt and intention to quit WTS in the future among ever users Among the ever users of WTS, 120 (71.4%) participants had made an attempt or more to quit WTS in the past; 64 (38.1%) had made more than one attempt. More than half of users (94/168) were aware of cessation services for WTS. However, only 14.3% (24/168) had used the service: Bupropion was used by four participants, Varenicline or NicoDerm CQ was used by 16 participants, and other medications were used by another four participants. Among the ever users of WTS, nearly two-thirds (106/168) expressed the intention to quit WTS in the future (Figure 1). The proportion by participants’ characteristics was given in Tables 2 and 3 (columns 6 and 7). The proportion was significantly higher among males (74.1%), urban students (67.6%), e-cigarettes non-smokers (68.4%), and students who did not have the family history of WTS use (94.1%), compared to their corresponding counterparts. Further, the proportion was lower among the students who believe waterpipe is less harmful (46.3%), waterpipe is less addictive (56.3%), water filter toxins substantially (46.2%), and waterpipe is not associated with CVD (51.4%). Importantly, less than one-half of participants with a low risk-perception score (43.3%) and participants who believed that shish is very socially acceptable (30.0%) were expressed intention to quit WTS in the future. Socio-Demographics Characteristics of Participants (N=464) Proportion of Participants Showed Intention to Start and Intention to Quit Waterpipe Smoking Socio-Demographics and Cigarettes Smoking among Ever and Never Users of Waterpipe Tobacco Smoking *p-value<0.05 Risk-Perception, Knowledge and Normative Beliefs among Ever and Never Users of Waterpipe Tobacco Smoking *p-value<0.05 Discussion: The present study investigated the prevalence of the previous attempt to quit, and intention quit WTS among waterpipe ever users and the prevalence of intention to start WTS among the never users in the Eastern Province, Saudi Arabia. Further to aid in developing effective strategies for discouraging the use of WTS among youngsters, the study further investigated the differences in their characteristics, including socio-demographics, knowledge, and perception about WTS, between users with and without intention to quit WTS and nonusers with and without intention to start WTS. The study population was undergraduate students. The study shows that more than one-third (36%) of participants were used WTS at least once in the past with a higher proportion among males than in females. A previous publication was reported that the past 30-day prevalence was 23% with a narrow gender gap (Alshayban and Joseph, 2019). The previous attempt or the intention to quit may explain the gender difference in proportion. Availability, affordability, and attractiveness of waterpipe may be the key reasons for the higher prevalence of WTS use among youngsters (Maziak et al., 2004c). We found that 63% of ever users expressed the intention to quit, and 14% of never users expressed their intention to start in the future. A study from Qatar reported that more than half of waterpipe users admitted to intending to quit the use (Jaam et al., 2016). A similar proportion of intention to quit smoking was reported among cigarette smokers in Saudi Arabia (Al-Zalabani et al., 2015; Almogbel et al., 2016). Although it is promising that substantial users have the intention to discontinue WTS, still a number of never-users expressed their intention to try WTS in the future. Thus, it is quite important to introduce a more pervasive restriction on WTS in public places and make it less attractive in order to help the students to refrain from WTS. Health warning labels are found to be effective in encouraging students to quit WTS (Darawad et al., 2019). Previous studies have expressed concern over awareness about WTS cessation techniques among the general public and particularly, among the practicing physicians (Jradi, 2017; Romani et al., 2020). The present study reported that nearly three-fourth of ever users had made an attempt or more to quit WTS in the past. Further, only 14% used a cessation service for WTS, though half of WTS users were aware of such cessation services. More importantly, a systematic review highlighted the lack of evidence on the effectiveness of interventions targeting prevention and cessation of WTS and a need for higher quality effective clinical and behavioral interventions (Jawad et al., 2016). The study found that more males expressed the intention to quit WTS among the users, and in contradictory, more males also expressed the intention start to start WTS in the future among never users. Thus, the imbalance in the proportions leads to a narrow gender gap on the prevalence of past one-month use of WTS, as reported in our previous study. Our finding was in line with a previous study that assessed the willingness to quit cigarette smoking among youngsters, and the study observed that a substantially higher proportion of males preferred to quit smoking than females (Al-Zalabani et al., 2015). The higher proportions among the male students may be linked to their confidence to stop WTS at any time point. We observed, as reported in Table 1, that nearly three-fourth of current users of cigarette or e-cigarette were ever users of WTS in comparison with a quarter among the nonusers of cigarette or e-cigarette. In line with this finding, the study further observed that the willingness to quit and intention start WTS is directly associated with the use of other forms of tobacco. In this study, a lower proportion of intent quit and higher intent to start were reported among the cigarette or e-cigarette users. It strongly indicates the popularity and acceptance of WTS among the users of other-form of tobacco (Alshayban and Joseph, 2019). Smoking behavior of family members and peers is strongly associated with the initiation of WTS among youngsters and women (Baheiraei et al., 2015). A similar association was observed in our study. The study found that WTS use was higher among students with a family history of frequent use of WTS. Importantly, the intent to start rate and the intent to quit rate was higher among the students had the family history of use and did not have the family history, respectively. The smoking behavior among the closed ones may contribute to the level of perceived social acceptance of WTS. Among the never users, only 7% of students who think WTS is not socially acceptable were showed intention to start WTS while it was 23% among the students who think WTS is well accepted. Among the ever users, 92% of students who think WTS is not socially acceptable were showed intention to quit WTS while it was only 30% among the students who think WTS is well accepted. This indicates the perception of social acceptance of WTS has a significant effect on preventing the participants for refraining from WTS. Therefore, appropriate measures need to be taken for discouraging the use of waterpipe during social gatherings in order to prevent from perceiving WTS as a kind of entertainment and is considered acceptable in society. Previous studies have demonstrated that the higher prevalence of WTS use is associated with a high level of perceived lack of harmful and addictive effects of WTS among university students (Abu-Rmeileh et al., 2018). In the current study, more than one-third of participants were misconceived that waterpipe is less harmful and less addictive than cigarettes, and a higher proportion of them were WTS users. We observed that the willingness to quit among the users is significantly associated with the misconception. In overall, three-quarters of users with low-risk perception were expressed willingness to quit while only 43% intended to quit among the students with high-risk perception. Among the nonusers of WTS, a similar difference in the proportion of students who plan to initiate WTS between the levels of risk perception, though it was not statistically significant. The findings indicate that targeting beliefs on the harmfulness and addictiveness may influence the willingness to quit among users and desire to try among nonusers. Mandated waterpipe tobacco package warning may result an increase of awareness of the health effects of WTS (King et al., 2019), and thus increase in the level of risk perception (Salloum et al., 2017). It was found that students who think WTS is free of tar, nicotine, or carbon monoxide are at higher risk of start using WTS compared to those who think otherwise. Alternatively, the students who think the WTS is free of the hazardous contents are less likely to stop WTS among users compared to those who think otherwise. The users who think that WTS has increased risk of CVD are more prone to quit compared to the users who think otherwise. In overall, though not statistically significant, the desire to try WTS was reported by 18% of the students with knowledge score that highly favored for WTS in comparison with 10% among the students with knowledge score that less favored for WTS. Similarly, 72% of students with knowledge scores that less favored for WTS were showed intention to quit WTS in comparison with 54% among the students with knowledge scores that highly favored for WTS. Thus, it is important to educate and increase the awareness of students and public on the impact of WTS on health. The textual and pictorial warning on waterpipe tobacco boxes is found to be effective in increasing motivation and intention to stop WTS (Hallit et al., 2019). This is the first study in the Kingdom of Saudi Arabia to investigate the willingness to quit among WTS users and desire to try WTS among nonusers and its association with the risk perception and knowledge on the health effects of WTS. This was a cross-sectional study, and thus causal association could not be established. Prospective studies are required to show how risk perception and knowledge on the health effects of WTS influence the cessation among WTS users and desire to try WTS among nonusers. Though the study sample selection from different colleges ensured participation from the diverse socio-economic background, the majority of participants were from the Eastern Province, Saudi Arabia. In conclusion, the study identified the impact of peer influence, social acceptance, and risk perception on behavioral intention to start or stop WTS among students. It is promising that substantial users have the intention to discontinue WTS, though a fraction of never users wish to try WTS in the future. Further actions such as introducing more pervasive restrictions on WTS in public places, make it less attractive, mandating health warning on waterpipe tobacco packages, and awareness campaign on the effectiveness of interventions targeting prevention and cessation of WTS is warranted in order to help the students to refrain from WTS. Author Contribution Statement: DA conceived the idea, and later developed as a study in consultation with RJ. DA and RJ equally contributed to the study design. DA was responsible for the data collection. RJ was responsible for the data management and statistical analyses. DA drafted the manuscript. Both authors contributed to further revisions to the draft. All authors have read and approved the final manuscript.
Background: A growing number of epidemiological evidence suggests a significant increase in waterpipe tobacco smoking, and its potential to become a major public health concern in most Arabic countries, including Saudi Arabia. Methods: A cross-sectional study was carried out to assess the prevalence of intention to quit among ever users of waterpipe and intention to start among the never users. The study also investigated the barriers that may prevent users from quitting or trigger the nonusers to start waterpipe smoking. The study consisted of 464 university students from Eastern Province, Saudi Arabia. Results: One hundred and sixty-eight (36.2%) participants were responded that they had WTS at least one time in the past. Among the ever users of WTS, 120 (71.4%) participants had made an attempt or more to quit WTS in the past, 64 (38.1%) had made more than one attempt, and nearly two-third expressed the intention to quit WTS in the future. Forty (13.5%) out of 296 never-users expressed their intention to start WTS in the future. The study further showed that peer influence, social acceptance, and risk perception were significant predictors of intention to start or stop WTS among students. Conclusions: It is promising that substantial users have the intention to discontinue WTS, though a fraction of never users wish to try WTS in the future.<br />.
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[ "wts", "users", "students", "quit", "intention", "study", "smoking", "participants", "waterpipe", "use" ]
[ "cigarettes waterpipe addictive", "smoking waterpipe safe", "harmful cigarettes waterpipe", "waterpipe smoking socio", "factors smoking waterpipe" ]
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[CONTENT] Smoking water pipes | intention-to-quit | intention-to-start | youngsters | Saudi Arabia [SUMMARY]
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[CONTENT] Smoking water pipes | intention-to-quit | intention-to-start | youngsters | Saudi Arabia [SUMMARY]
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[CONTENT] Smoking water pipes | intention-to-quit | intention-to-start | youngsters | Saudi Arabia [SUMMARY]
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[CONTENT] Adolescent | Cross-Sectional Studies | Female | Follow-Up Studies | Health Knowledge, Attitudes, Practice | Humans | Intention | Male | Saudi Arabia | Smoking Cessation | Students | Tobacco Smoking | Universities | Water Pipe Smoking [SUMMARY]
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[CONTENT] Adolescent | Cross-Sectional Studies | Female | Follow-Up Studies | Health Knowledge, Attitudes, Practice | Humans | Intention | Male | Saudi Arabia | Smoking Cessation | Students | Tobacco Smoking | Universities | Water Pipe Smoking [SUMMARY]
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[CONTENT] Adolescent | Cross-Sectional Studies | Female | Follow-Up Studies | Health Knowledge, Attitudes, Practice | Humans | Intention | Male | Saudi Arabia | Smoking Cessation | Students | Tobacco Smoking | Universities | Water Pipe Smoking [SUMMARY]
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[CONTENT] cigarettes waterpipe addictive | smoking waterpipe safe | harmful cigarettes waterpipe | waterpipe smoking socio | factors smoking waterpipe [SUMMARY]
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[CONTENT] cigarettes waterpipe addictive | smoking waterpipe safe | harmful cigarettes waterpipe | waterpipe smoking socio | factors smoking waterpipe [SUMMARY]
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[CONTENT] cigarettes waterpipe addictive | smoking waterpipe safe | harmful cigarettes waterpipe | waterpipe smoking socio | factors smoking waterpipe [SUMMARY]
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[CONTENT] wts | users | students | quit | intention | study | smoking | participants | waterpipe | use [SUMMARY]
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[CONTENT] wts | users | students | quit | intention | study | smoking | participants | waterpipe | use [SUMMARY]
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[CONTENT] wts | users | students | quit | intention | study | smoking | participants | waterpipe | use [SUMMARY]
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[CONTENT] smoking | tobacco | 2006 | health | 2015 | saudi | 2019 | glanz 2015 | 2006 glanz 2015 | glanz [SUMMARY]
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[CONTENT] wts | participants | students | users | proportion | 26 | wts future | future | waterpipe | cigarettes [SUMMARY]
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[CONTENT] wts | users | students | quit | participants | intention | smoking | da | study | data [SUMMARY]
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[CONTENT] Arabic | Saudi Arabia [SUMMARY]
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[CONTENT] One hundred and sixty-eight | 36.2% | WTS ||| WTS | 120 | 71.4% | WTS | the past, | 64 | 38.1% | more than one | nearly two-third | WTS ||| Forty | 13.5% | 296 | WTS ||| WTS [SUMMARY]
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[CONTENT] Arabic | Saudi Arabia ||| ||| ||| 464 | Eastern Province | Saudi Arabia ||| One hundred and sixty-eight | 36.2% | WTS ||| WTS | 120 | 71.4% | WTS | the past, | 64 | 38.1% | more than one | nearly two-third | WTS ||| Forty | 13.5% | 296 | WTS ||| WTS ||| discontinue WTS | WTS [SUMMARY]
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Is low pre-transplant parathyroid hormone a risk marker for cardiovascular disease in long-term follow-up of renal transplant recipients?
29478201
Secondary hyperparathyroidism and altered levels of parathyroid hormone (PTH) are associated with vascular events in chronic kidney disease. After renal transplantation, this association is not clear. Pre-transplant parathyroidectomy (PTX) is common, but post-transplant data are scarce. We aimed to study the effect of PTH at the time of transplantation on risk of post-transplant vascular events in renal transplant recipients with and without pre-transplant PTX.
BACKGROUND
258 patients from two Swedish transplant units were followed for 6 years. Separate analyses were made for patients with or without pre-transplant PTX. Patients with no pre-transplant PTX were stratified by quartiles of PTH at time of transplantation and patients with pre-transplant PTX were stratified by above and below median levels of PTH at time of transplantation. Hazard ratios for vascular events, mortality, and graft failure were calculated in adjusted Cox regression models.
METHODS
In patients with no pre-transplant PTX, the lowest quartile of PTH at transplantation had a higher risk of cardiovascular events compared to quartile 3 with an adjusted hazard ratio (95% CI) of 2.63 (1.04-6.67). In patients with pre-transplant PTX, the group below median of PTH had a higher risk of cardiovascular events with an adjusted hazard ratio (95% CI) of 18.15 (1.62-203.82) compared to patients above median of PTH.
RESULTS
Low levels of parathyroid hormone before transplantation were associated with increased risk of post-transplant vascular events both in patients with and without pre-transplant parathyroidectomy. Any conclusions on causal or direct effect of PTH on outcome cannot be drawn from this observational study.
CONCLUSION
[ "Adult", "Aged", "Calcium", "Cardiovascular Diseases", "Follow-Up Studies", "Humans", "Hyperparathyroidism, Secondary", "Kidney Failure, Chronic", "Kidney Transplantation", "Middle Aged", "Parathyroid Hormone", "Parathyroidectomy", "Retrospective Studies", "Risk Factors", "Young Adult" ]
6154172
Introduction
Secondary hyperparathyroidism (sHPT) is common in chronic kidney disease and is associated with bone disease and vascular calcifications [1]. In spite of improved medical treatment for sHPT, surgical treatment with parathyroidectomy (PTX) is still often necessary [2]. In sHPT, the mineral metabolism is disturbed and many factors contribute to the associated morbidity. Levels of parathyroid hormone (PTH) are mainly used to grade the extent of sHPT and both high and low PTH have been associated with cardiovascular disease (CVD) in patients on maintenance dialysis [3–6]. Renal transplantation improves many of the underlying causes of sHPT and levels of PTH decrease after transplantation, even though sHPT persists in the majority of renal transplant recipients over the short as well as long term [7, 8]. Recent studies have shown no association between post-transplant PTH and risk of vascular events [9], but have shown an association with graft failure and mortality [10]. Data on pre-transplant PTH and outcomes are limited and few studies report whether patients have been treated with PTX before transplantation or not, which may influence the results. When evaluating patients for renal transplantation, the PTH level is one of many important parameters to include as sHPT can influence patient and graft survival. No upper PTH limit for renal transplantation has been defined, but hypercalcemia is generally not accepted. Our intention was to describe the relation between pre-transplant plasma PTH and long-term risk of incident cardiovascular disease after renal transplantation in patients with and without pre-transplant PTX.
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Results
A total of 258 patients were included in the study, whereof 36 were parathyroidectomized before transplantation. Baseline demographic data of patients in the different groups are presented in Table 1. During the follow-up, there were a total of 55 incident vascular events. Twenty-five patients suffered from myocardial infarction, 15 from peripheral vascular events, and 15 from stroke. Overall mortality was 10% (n = 26) at the endpoint. Of these, 14 were caused by CVD, seven by malignancy, and five had other causes. The number of patients with pre-existing cardiovascular disease, a history of smoking and hypertension as well as anti-hypertensive treatment did not differ significantly between groups and the numbers are summarized Table 1. The majority of patients were treated with triple immunosuppressive treatment which consisted of prednisolone and either tacrolimus and mycophenolate mofetil (MMF) (60%), cyclosporin A and MMF (15%), or tacrolimus and azathioprin (15%). Ten percent received other immunosuppressive drugs. Median (interquartile range, IQR) follow-up for cardiovascular events was 72 (56–72) months and for graft failure and overall mortality 72 (72–72). Table 1Baseline characteristics of Swedish renal transplant recipients (n = 258) with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantationFactorNo PTX before transplantation (n = 222)PTX before transplantation (n = 36)PTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valuePTH Below medianPTH Above medianp valueGender Male44 (77)38 (69)37 (65)38 (72)0.537a10 (56)11 (61)0.735a Female13 (23)17 (31)20 (31)15 (28)8 (44)7 (39) Median age in years (range)50 (19–71)55 (31–72)52 (22–73)49 (19–70)0.046b50 (33–68)57 (18–73)0.205cOriginal kidney disease Glomerulonephritis23 (40)16 (29)19 (33)20 (38)0.486a7 (40)10 (58)0.562a Diabetes7 (12)9 (16)10 (18)6 (11)2 (11)1 (5) Vasculitis2 (4)4 (7)4 (7)3 (6)1 (5)2 (11) Hereditary13 (23)14 (26)10 (18)8 (15)5 (28)1 (5) Congenital4 (7)0 (0)3 (5)7 (13)2 (11)2 (11) Nephrosclerosis1 (2)6 (11)5 (9)2 (4)1 (5)1 (5) Other/unknown7 (12)6 (11)6 (10)7 (13)0 (0)1 (5)Living donor graft29 (51)19 (35)20 (35)25 (47)0.187a6 (33)5 (28)0.717aFirst transplant54 (95)51 (93)50 (88)39 (74)0.004a11 (61)9 (50)0.502aPre-TX diabetes17 (30)14 (26)17 (30)13 (24)0.883a15 (83)7 (39)0.137aYears in dialysis1.7 (0.75–3.0)2.0 (1.0–3.0)2.0 (1.0–4.0)2.5 (1.0-4.5)0.264b4.2 (1.9–7.5)4.5 (2.4–8.5)0.657cType of dialysis HD29 (51)32 (58)40 (70)35 (66)0.472a13 (78)11 (61)0.461a PD24 (42)20 (36)13 (23)12 (23)4 (22)7 (39) None4 (7)3 (6)4 (7)6 (11)1 (5)Previous CVD9 (16)17 (31)16 (18)12 (23)0.254a3 (17)4 (22)0.674aPrevious smoker16 (29)17 (31)17 (30)10 (20)0.544a6 (33)5 (28)0.717aHypertension40 (71)36 (66)40 (70)29 (57)0.378a11 (61)8 (44)0.317aHyperuricemia4 (8)5 (9)3 (6)5 (10)0.824a1 (6)4 (24)0.129aTreatment with statins22 (42)21 (40)21 (39)14 (29)0.508a9 (50)8 (47)0.862aTreatment with beta-blockers27 (52)32 (60)32 (59)27 (55)0.663a9 (50)7 (41)0.600aTreatment with ACEi or ARB’s22 (43)18 (34)22 (42)23 (47)0.592a6 (33)5 (29)0.803aTreatment with calcium channel blockers35 (67)24 (44)22 (41)16 (33)0.003a8 (44)4 (24)0.193aLaboratory measurements before transplantation Uric acid µmol/L295 (238–370)309 (235–391)352 (261–444)430 (307–492)0.009b375 (317–461)318 (257–390)0.223c CRP mg/L1 (1–3)3 (1–9)1 (1–11)1 (1–7)0.075b1 (1–4)2 (1–10)0.493cAlbumin g/L33 (31–37)33 (29–36)33 (29–37)31 (28–35)0.091b34 (27–38)33 (31–37)0.938c Body mass index kg/m224 (21–27)25 (21–27)24 (22–27)26 (22–28)0.441b25 (21–29)25 (24–27)0.988cValues are numbers (%) or medians (interquartile range) where appropriatePTX parathyroidectomy, PTH parathyroid hormone, TX transplantation, HD hemodialysis, PD peritoneal dialysis, CVD cardiovascular disease, ACEi angiotensin converting enzyme inhibitor, ARB angiotensin receptor blocker, CRP C-reactive proteinaChi2 testbKruskal–Wallis testcMann–Whitney test Baseline characteristics of Swedish renal transplant recipients (n = 258) with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation Values are numbers (%) or medians (interquartile range) where appropriate PTX parathyroidectomy, PTH parathyroid hormone, TX transplantation, HD hemodialysis, PD peritoneal dialysis, CVD cardiovascular disease, ACEi angiotensin converting enzyme inhibitor, ARB angiotensin receptor blocker, CRP C-reactive protein aChi2 test bKruskal–Wallis test cMann–Whitney test Laboratory analyses Levels of PTH, phosphate, calcium, and eGFR at start, 2, 4, and 6 years after transplantation in strata are described in Table 2. PTH decreased from preoperative values to 2 years after transplantation but remained fairly stable beyond year 2 through follow-up in non-PTX groups. Levels of albumin-corrected calcium were higher in groups with higher PTH in non-PTX patients through follow-up. Levels of uric acid differed significantly between groups of non-PTX patients. Patients in the highest quartile of PTH had higher uric acid levels compared to patients in the lower quartiles of PTH. In PTX patients, PTH levels were stable after transplantation and levels of albumin-corrected calcium were lower in the group with lower PTH at the start, 2 and 4 years after transplantation. In the same group, phosphate was higher at 2, 4, and 6 years compared to patients with PTH above median. Pre-transplant levels of CRP, albumin, and BMI did not differ between groups (Table 1). There were no significant differences between levels of plasma lipids before transplantation. Table 2Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)FactorNo PTX (n = 222)PTX (n = 36)PTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valueaPTH below medianPTH above medianp valuebp-PTH median, IQR (pmol/L) Start6.5 (4.7–8.5)12.4 (10.7–14.2)21.0 (18.6–24.1)44.0 (31.2–68.1)< 0.0011.5 (0.7–3.8)14.0 (9.4–18.0)< 0.001 2 years7.0 (5.6–9.8)10.2 (6.8–13.0)11.0 (7.8–18.8)14.6 (8.8–20.9)< 0.0012.1 (0.7–4.6)8.4 (5.1–13.4)< 0.001 4 years7.1 (4.9–10.3)10.0 (6.7–14.8)11.2 (7.6–18.8)14.3 (9.3–21.2)< 0.0012.2 (0.8-4.0)9.6 (7.2–14.0)< 0.001 6 years7.5 (5.6–12.7)10.8 (8.3–14.7)13.4 (8.1–18.1)14.0 (10.0-19.1)0.0011.9 (0.9–4.4)8.3 (6.1–13.3)< 0.001p-Calcium adjusted for albumin median, IQR (mmol/L) Start2.56 (2.44–2.67)2.48 (2.38–2.65)2.54 (2.38–2.70)2.52 (2.39–2.76)0.7942.47 (2.20–2.58)2.47 (2.26–2.65)0.410 2 years2.38 (2.34–2.51)2.46 (2.37–2.55)2.47 (2.39–2.55)2.46 (2.39–2.58)0.0032.22 (2.07–2.32)2.40 (2.34–2.58)0.002 4 years2.38 (2.31–2.46)2.44 (2.41–2.55)2.47 (2.37–2.62)2.54 (2.39–2.63)0.0012.31 (2.19–2.40)2.39 (2.21–2.54)0.222 6 years2.39 (2.34–2.50)2.45 (2.37–2.50)2.45 (2.35–2.54)2.48 (2.41–2.54)0.1162.22 (2.03–2.30)2.38 (2.27–2.47)0.057p-Phosphate median, IQR (mmol/L) Start1.54 (1.11–1.89)1.64 (1.20–2.05)1.50 (1.11-2.00)2.05 (1.56–2.30)< 0.0011.41 (1.00–2.00)1.50 (1.10–1.98)0.895 2 years1.03 (0.95–1.20)0.95 (0.81–1.10)0.98 (0.88–1.10)0.90 (0.78–1.10)0.0071.20 (1.10–1.49)1.03 (0.89–1.17)0.002 4 years1.07 (0.87–1.16)1.00 (0.90–1.10)0.99 (0.88–1.10)0.91 (0.76–1.05)0.0141.32 (0.94–1.48)0.99 (0.83–1.21)0.036 6 years1.00 (0.90–1.20)1.00 (0.89–1.19)0.96 (0.85–1.10)0.94 (0.81–1.13)0.1741.25 (1.10–1.72)0.95 (0.83–1.14)0.003eGFR median, IQR (ml/min/1.73 m2) Start8 (7–10)8 (6–10)9 (7–11)8 (6–10)0.3148 (6–10)8 (6–9)0.950 2 years66 (56–80)61 (35–80)59 (34–77)56 (32–82)0.42356 (32–67)63 (47–78)0.181 4 years65 (48–81)61 (42–83)62 (35–83)51 (31–81)0.26257 (36–71)64 (37–76)0.397 6 years69 (43–87)58 (29–77)62 (30–73)53 (30–77)0.26959 (35–75)71 (35–85)0.376PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile rangeaKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTXbMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258) PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile range aKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTX bMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX Levels of PTH, phosphate, calcium, and eGFR at start, 2, 4, and 6 years after transplantation in strata are described in Table 2. PTH decreased from preoperative values to 2 years after transplantation but remained fairly stable beyond year 2 through follow-up in non-PTX groups. Levels of albumin-corrected calcium were higher in groups with higher PTH in non-PTX patients through follow-up. Levels of uric acid differed significantly between groups of non-PTX patients. Patients in the highest quartile of PTH had higher uric acid levels compared to patients in the lower quartiles of PTH. In PTX patients, PTH levels were stable after transplantation and levels of albumin-corrected calcium were lower in the group with lower PTH at the start, 2 and 4 years after transplantation. In the same group, phosphate was higher at 2, 4, and 6 years compared to patients with PTH above median. Pre-transplant levels of CRP, albumin, and BMI did not differ between groups (Table 1). There were no significant differences between levels of plasma lipids before transplantation. Table 2Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)FactorNo PTX (n = 222)PTX (n = 36)PTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valueaPTH below medianPTH above medianp valuebp-PTH median, IQR (pmol/L) Start6.5 (4.7–8.5)12.4 (10.7–14.2)21.0 (18.6–24.1)44.0 (31.2–68.1)< 0.0011.5 (0.7–3.8)14.0 (9.4–18.0)< 0.001 2 years7.0 (5.6–9.8)10.2 (6.8–13.0)11.0 (7.8–18.8)14.6 (8.8–20.9)< 0.0012.1 (0.7–4.6)8.4 (5.1–13.4)< 0.001 4 years7.1 (4.9–10.3)10.0 (6.7–14.8)11.2 (7.6–18.8)14.3 (9.3–21.2)< 0.0012.2 (0.8-4.0)9.6 (7.2–14.0)< 0.001 6 years7.5 (5.6–12.7)10.8 (8.3–14.7)13.4 (8.1–18.1)14.0 (10.0-19.1)0.0011.9 (0.9–4.4)8.3 (6.1–13.3)< 0.001p-Calcium adjusted for albumin median, IQR (mmol/L) Start2.56 (2.44–2.67)2.48 (2.38–2.65)2.54 (2.38–2.70)2.52 (2.39–2.76)0.7942.47 (2.20–2.58)2.47 (2.26–2.65)0.410 2 years2.38 (2.34–2.51)2.46 (2.37–2.55)2.47 (2.39–2.55)2.46 (2.39–2.58)0.0032.22 (2.07–2.32)2.40 (2.34–2.58)0.002 4 years2.38 (2.31–2.46)2.44 (2.41–2.55)2.47 (2.37–2.62)2.54 (2.39–2.63)0.0012.31 (2.19–2.40)2.39 (2.21–2.54)0.222 6 years2.39 (2.34–2.50)2.45 (2.37–2.50)2.45 (2.35–2.54)2.48 (2.41–2.54)0.1162.22 (2.03–2.30)2.38 (2.27–2.47)0.057p-Phosphate median, IQR (mmol/L) Start1.54 (1.11–1.89)1.64 (1.20–2.05)1.50 (1.11-2.00)2.05 (1.56–2.30)< 0.0011.41 (1.00–2.00)1.50 (1.10–1.98)0.895 2 years1.03 (0.95–1.20)0.95 (0.81–1.10)0.98 (0.88–1.10)0.90 (0.78–1.10)0.0071.20 (1.10–1.49)1.03 (0.89–1.17)0.002 4 years1.07 (0.87–1.16)1.00 (0.90–1.10)0.99 (0.88–1.10)0.91 (0.76–1.05)0.0141.32 (0.94–1.48)0.99 (0.83–1.21)0.036 6 years1.00 (0.90–1.20)1.00 (0.89–1.19)0.96 (0.85–1.10)0.94 (0.81–1.13)0.1741.25 (1.10–1.72)0.95 (0.83–1.14)0.003eGFR median, IQR (ml/min/1.73 m2) Start8 (7–10)8 (6–10)9 (7–11)8 (6–10)0.3148 (6–10)8 (6–9)0.950 2 years66 (56–80)61 (35–80)59 (34–77)56 (32–82)0.42356 (32–67)63 (47–78)0.181 4 years65 (48–81)61 (42–83)62 (35–83)51 (31–81)0.26257 (36–71)64 (37–76)0.397 6 years69 (43–87)58 (29–77)62 (30–73)53 (30–77)0.26959 (35–75)71 (35–85)0.376PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile rangeaKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTXbMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258) PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile range aKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTX bMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX Post-transplant treatment for sHPT The number of patients treated with PTX and calcimimeticum after transplantation was numerically but not significantly higher in the non-PTX transplanted patients during the 6 years of follow-up. In the group of patients who underwent PTX before transplantation, two out of 18 were treated with calcimimeticum after transplantation. Treatment with alfacalcidol was more common in patients in the higher quartiles of pre-transplant PTH and treatment with cholecalciferol was more common in patients with lower quartiles of pre-transplant PTH. All post-transplant sHPT treatments are summarized in Table 3. Table 3Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)No PTX before transplantationPTX before transplantationFactorPTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valuePTH Below medianPTH Above medianp valuePTX Yes1 (2)0 (0)3 (5)5 (9)0.0870 (0)0 (0)n.aCalcimimetics Yes0 (0)5 (9)6 (11)6 (11)0.0640 (0)2 (11)0.146Alfacalcidol Yes16 (29)20 (39)27 (50)30 (61)0.0079 (60)7 (39)0.227Cholecalciferol Yes29 (53)21 (40)18 (33)8 (16)0.0016 (40)10 (56)0.373Phosphate binders Yes2 (4)2 (4)1 (2)2 (4)0.9192 (11)1 (6)0.546Calcium supplements Yes34 (62)28 (54)22 (41)20 (41)0.07615 (100)13 (72)0.027Hypercalcemia year 1 Yes13 (25)22 (44)24 (45)33 (65)0.00112 (80)8 (50)0.081 No40 (75)28 (56)29 (55)18 (35)3 (20)8 (50)Hypercalcemia year 3 Yes6 (13)17 (37)12 (25)21 (48)0.0023 (23)3 (20)0.843 No40 (87)29 (63)36 (75)23 (52)10 (77)12 (80)Hypercalcemia year 6 Yes10 (23)9 (23)15 (35)14 (37)0.3192 (17)3 (21)0.759 No34 (77)31 (78)28 (65)29 (63)10 (83)11 (79) Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258) The number of patients treated with PTX and calcimimeticum after transplantation was numerically but not significantly higher in the non-PTX transplanted patients during the 6 years of follow-up. In the group of patients who underwent PTX before transplantation, two out of 18 were treated with calcimimeticum after transplantation. Treatment with alfacalcidol was more common in patients in the higher quartiles of pre-transplant PTH and treatment with cholecalciferol was more common in patients with lower quartiles of pre-transplant PTH. All post-transplant sHPT treatments are summarized in Table 3. Table 3Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)No PTX before transplantationPTX before transplantationFactorPTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valuePTH Below medianPTH Above medianp valuePTX Yes1 (2)0 (0)3 (5)5 (9)0.0870 (0)0 (0)n.aCalcimimetics Yes0 (0)5 (9)6 (11)6 (11)0.0640 (0)2 (11)0.146Alfacalcidol Yes16 (29)20 (39)27 (50)30 (61)0.0079 (60)7 (39)0.227Cholecalciferol Yes29 (53)21 (40)18 (33)8 (16)0.0016 (40)10 (56)0.373Phosphate binders Yes2 (4)2 (4)1 (2)2 (4)0.9192 (11)1 (6)0.546Calcium supplements Yes34 (62)28 (54)22 (41)20 (41)0.07615 (100)13 (72)0.027Hypercalcemia year 1 Yes13 (25)22 (44)24 (45)33 (65)0.00112 (80)8 (50)0.081 No40 (75)28 (56)29 (55)18 (35)3 (20)8 (50)Hypercalcemia year 3 Yes6 (13)17 (37)12 (25)21 (48)0.0023 (23)3 (20)0.843 No40 (87)29 (63)36 (75)23 (52)10 (77)12 (80)Hypercalcemia year 6 Yes10 (23)9 (23)15 (35)14 (37)0.3192 (17)3 (21)0.759 No34 (77)31 (78)28 (65)29 (63)10 (83)11 (79) Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258) Outcome in renal transplant recipients without PTX before transplantation Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 4. The lowest quartile of PTH showed an increased risk of vascular events with a hazard ratio (95% CI) of 2.63 (1.04–6.67) compared to reference. Age at the time of transplantation, a history of cardiovascular disease, and diabetes at the time of transplantation were all associated with outcome. When adjusting for levels of uric acid before transplantation or treatment with alfacalcidol or cholecalciferol after transplantation, the confidence intervals were wider, but hazard ratios for cardiovascular events in quartiles of PTH were similar (data not shown). Hazard ratios (95% CI) of overall mortality across strata of pre-transplant PTH did not differ significantly to reference values in the full adjusted Cox regression model and were 1.47 (0.41–5.33) in quartile 1, 1.26 (0.38–4.15) in quartile 2 and 1.47 (0.42–5.16) in quartile 4 using quartile 3 as a reference. Only a history of CVD remained significantly associated with overall mortality in the full model with a hazard ratio (95% CI) of 4.36 (1.73–10.99) compared to patients with no history of CVD. Quartiles of pre-transplant PTH were not associated with graft failure in the same Cox regression model. Hazard ratios (95% CI) were 0.66 (0.15–2.79) in quartile 1, 1.22 (0.36–4.10) in quartile 2 and 1.77 (0.59–5.32) in quartile 4 using quartile 3 as a reference. Only years in dialysis before transplantation remained significantly associated with graft failure in the full model with a hazard ratio (95% CI) of 1.21 (1.03–1.42) for each extra year spent in dialysis before transplantation. Kaplan–Meier curves depicting cardiovascular event free survival compared by gender, PTX or not before transplantation, and by different levels of PTH before transplantation are shown in Fig. 1. Table 4Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Quartiles of PTH at time of transplantation pmol/L 157 (26)14 (25)2.01 (0.81–4.99)2.63 (1.04–6.67) 255 (24)13 (24)1.94 (0.78–4.87)2.02 (0.80–5.12) 357 (26)7 (12)1.001.00 453 (24)12 (23)1.85 (0.73–4.70)2.12 (0.81–5.57)Age1.05 (1.02–1.08)1.04 (1.01–1.08)Gender Male157 (71)35 (22)1.001.00 Female65 (29)12 (18)0.82 (0.43–1.58)1.08 (0.52–2.25)Years in dialysis before transplantation1.16 (1.04–1.30)1.15 (1.00-1.31)History of CVD No168 (76)21 (40)1.001.00 Yes54 (24)26 (15)3.27 (1.84–5.82)1.97 (1.02–3.80)Diabetes No161 (72)25 (40)1.001.00 Yes61 (28)22 (13)3.40 (1.92–6.04)2.57 (1.36–4.83)Body Mass Index at time of transplantation kg/m21.01 (9.94–1.08)0.96 (0.89–1.04)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222) PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease Fig. 1Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36) Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36) Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 4. The lowest quartile of PTH showed an increased risk of vascular events with a hazard ratio (95% CI) of 2.63 (1.04–6.67) compared to reference. Age at the time of transplantation, a history of cardiovascular disease, and diabetes at the time of transplantation were all associated with outcome. When adjusting for levels of uric acid before transplantation or treatment with alfacalcidol or cholecalciferol after transplantation, the confidence intervals were wider, but hazard ratios for cardiovascular events in quartiles of PTH were similar (data not shown). Hazard ratios (95% CI) of overall mortality across strata of pre-transplant PTH did not differ significantly to reference values in the full adjusted Cox regression model and were 1.47 (0.41–5.33) in quartile 1, 1.26 (0.38–4.15) in quartile 2 and 1.47 (0.42–5.16) in quartile 4 using quartile 3 as a reference. Only a history of CVD remained significantly associated with overall mortality in the full model with a hazard ratio (95% CI) of 4.36 (1.73–10.99) compared to patients with no history of CVD. Quartiles of pre-transplant PTH were not associated with graft failure in the same Cox regression model. Hazard ratios (95% CI) were 0.66 (0.15–2.79) in quartile 1, 1.22 (0.36–4.10) in quartile 2 and 1.77 (0.59–5.32) in quartile 4 using quartile 3 as a reference. Only years in dialysis before transplantation remained significantly associated with graft failure in the full model with a hazard ratio (95% CI) of 1.21 (1.03–1.42) for each extra year spent in dialysis before transplantation. Kaplan–Meier curves depicting cardiovascular event free survival compared by gender, PTX or not before transplantation, and by different levels of PTH before transplantation are shown in Fig. 1. Table 4Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Quartiles of PTH at time of transplantation pmol/L 157 (26)14 (25)2.01 (0.81–4.99)2.63 (1.04–6.67) 255 (24)13 (24)1.94 (0.78–4.87)2.02 (0.80–5.12) 357 (26)7 (12)1.001.00 453 (24)12 (23)1.85 (0.73–4.70)2.12 (0.81–5.57)Age1.05 (1.02–1.08)1.04 (1.01–1.08)Gender Male157 (71)35 (22)1.001.00 Female65 (29)12 (18)0.82 (0.43–1.58)1.08 (0.52–2.25)Years in dialysis before transplantation1.16 (1.04–1.30)1.15 (1.00-1.31)History of CVD No168 (76)21 (40)1.001.00 Yes54 (24)26 (15)3.27 (1.84–5.82)1.97 (1.02–3.80)Diabetes No161 (72)25 (40)1.001.00 Yes61 (28)22 (13)3.40 (1.92–6.04)2.57 (1.36–4.83)Body Mass Index at time of transplantation kg/m21.01 (9.94–1.08)0.96 (0.89–1.04)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222) PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease Fig. 1Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36) Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36) Outcome in renal transplant recipients with PTX before transplantation Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 5. In patients with pre-transplant PTX, the group below median of PTH had a higher risk of vascular disease with an adjusted hazard ratio (95% CI) of 18.15 (1.62–203.82) compared to patients above the median of PTH. A history of CVD was associated with incident vascular events, but pre-transplant diabetes was not. There were too few events to obtain any statistics on overall mortality or graft failures in patients with a pre-transplant PTX, which is why this has not been done. Table 5Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Below and above PTH 6.6 pmol/L Below18 (50)7 (39)11.51 (1.40-94.33)18.15 (1.62-203.82) Above18 (50)4 (22)1.001.00Age1.10 (1.01–1.19)1.09 (1.00-1.17)Gender Male21 (58)5 (24)1.001.00 Female15 (42)3 (20)0.77 (0.18–3.24)0.41 (0.06–2.78)Years in dialysis before transplantation0.97 (0.83–1.15)0.88 (0.75–1.04)History of CVD No29 (81)6 (21)1.001.00 Yes7 (19)2 (29)1.25 (0.25–6.19)1.18 (1.10–13.47)Diabetes No22 (61)6 (23)1.001.00 Yes14 (39)2 (20)0.73 (0.15–3.64)0.29 (0.02–3.72)BMI at time of transplantation kg/m20.92 (0.76–1.12)0.80 (0.60–1.08)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36) PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 5. In patients with pre-transplant PTX, the group below median of PTH had a higher risk of vascular disease with an adjusted hazard ratio (95% CI) of 18.15 (1.62–203.82) compared to patients above the median of PTH. A history of CVD was associated with incident vascular events, but pre-transplant diabetes was not. There were too few events to obtain any statistics on overall mortality or graft failures in patients with a pre-transplant PTX, which is why this has not been done. Table 5Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Below and above PTH 6.6 pmol/L Below18 (50)7 (39)11.51 (1.40-94.33)18.15 (1.62-203.82) Above18 (50)4 (22)1.001.00Age1.10 (1.01–1.19)1.09 (1.00-1.17)Gender Male21 (58)5 (24)1.001.00 Female15 (42)3 (20)0.77 (0.18–3.24)0.41 (0.06–2.78)Years in dialysis before transplantation0.97 (0.83–1.15)0.88 (0.75–1.04)History of CVD No29 (81)6 (21)1.001.00 Yes7 (19)2 (29)1.25 (0.25–6.19)1.18 (1.10–13.47)Diabetes No22 (61)6 (23)1.001.00 Yes14 (39)2 (20)0.73 (0.15–3.64)0.29 (0.02–3.72)BMI at time of transplantation kg/m20.92 (0.76–1.12)0.80 (0.60–1.08)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36) PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index
Conclusion
Low (less than 6.9 pmol/L) levels of parathyroid hormone before transplantation were associated with a higher risk of post-transplant vascular events both in patients with and without pre-transplant parathyroidectomy. Any conclusions on causal or direct effect of PTH on outcome cannot be drawn from this observational study.
[ "Subjects and methods", "Patient selection", "Search of medical records", "Laboratory analyses", "Statistical analyses", "Laboratory analyses", "Post-transplant treatment for sHPT", "Outcome in renal transplant recipients without PTX before transplantation", "Outcome in renal transplant recipients with PTX before transplantation", "Limitations" ]
[ " Patient selection We performed a retrospective study of patients above 18 years of age who underwent renal transplantation at Skåne University Hospital and Karolinska University Hospital between 1 January 2003 and 31 December 2005. The regional ethical review board approved the study on the condition that patients alive at follow-up (1st of February 2011) gave informed, written, consent.\nWe performed a retrospective study of patients above 18 years of age who underwent renal transplantation at Skåne University Hospital and Karolinska University Hospital between 1 January 2003 and 31 December 2005. The regional ethical review board approved the study on the condition that patients alive at follow-up (1st of February 2011) gave informed, written, consent.\n Search of medical records We manually searched patients’ medical records using a pre-specified form. We defined the baseline as the date of transplantation and the endpoint as 6 year post-transplantation, death or graft failure, whichever occurred first. Demographic data and years on dialysis treatment were obtained as well as any history of parathyroidectomy (PTX), ongoing treatment with calcimimetics, diabetes, prevalent cardiovascular disease, treatment of hypertension, hyperlipidemia, and hyperuricemia was noted as well as any history of smoking and type of graft: from living donor or deceased donor. During the observation period, any new, incident vascular event (myocardial infarction, coronary revascularization procedure, cerebral infarction, transient ischemic attack, peripheral vessel revascularization, amputation, or death from cardiovascular disease) was noted from medical records. Only the first vascular event was recorded. Immunosuppressive treatment was noted as well as all treatment of mineral metabolism such as calcimimetics, vitamin D, calcium supplements, phosphate binders, and parathyroidectomy after transplantation.\nWe manually searched patients’ medical records using a pre-specified form. We defined the baseline as the date of transplantation and the endpoint as 6 year post-transplantation, death or graft failure, whichever occurred first. Demographic data and years on dialysis treatment were obtained as well as any history of parathyroidectomy (PTX), ongoing treatment with calcimimetics, diabetes, prevalent cardiovascular disease, treatment of hypertension, hyperlipidemia, and hyperuricemia was noted as well as any history of smoking and type of graft: from living donor or deceased donor. During the observation period, any new, incident vascular event (myocardial infarction, coronary revascularization procedure, cerebral infarction, transient ischemic attack, peripheral vessel revascularization, amputation, or death from cardiovascular disease) was noted from medical records. Only the first vascular event was recorded. Immunosuppressive treatment was noted as well as all treatment of mineral metabolism such as calcimimetics, vitamin D, calcium supplements, phosphate binders, and parathyroidectomy after transplantation.\n Laboratory analyses Laboratory data of PTH, phosphate, creatinine, calcium, albumin, triglycerides, low-density lipoprotein (LDL), high-density lipoprotein (HDL), uric acid, and C-reactive protein (CRP) were collected prior to the date of transplantation. PTH, phosphate, creatinine, calcium, and albumin were thereafter collected yearly after transplantation. Plasma phosphate (normal range 0.7–1.5 mmol/L), calcium (normal range 2.15–2.50 mmol/L), albumin (normal range 18–40 years 36–48 g/L, 41–70 years 36–45 g/L), creatinine (normal range 45–90 µmol/L female, 60–105 µmol/L male), LDL mmol/L (normal range 1.4–4.7 mmol/L), HDL mmol/L (normal range female 1.0-2.7 male 0.8–2.1 mmol/L), triglycerides mmol/L (normal range 0.4–2.6 mmol/L), uric acid µmol/L (normal range female 155–350, male 230–480 µmol/L), and CRP mg/L (normal range < 3 mg/L) were determined using routine methods. Albumin-corrected calcium was calculated by the following formula Ca-corr = P − Ca + (0.02 × (40 − P-albumin)). Levels of PTH (normal range 1.6–6.9 pmol/L) were determined by a two-site chemiluminescent immunometric assay and were analyzed either using Cobas e411/Elecsys, Roche or Immulite 2000, Siemens. Since the different PTH assays were not entirely comparable, we used an adjusting formula (Cobas = 0.7439 × Immulite + 0.7351) defined at the Department of Clinical Chemistry at Skane University Hospital. The glomerular filtration rate was estimated by a creatinine-based equation (Lund–Malmö glomerular filtration rate prediction equation without body weight measure) [11] and results given as mL/min/1.73 m2. Plasma creatinine assays employed calibration traceable to a common reference material and a zero-point calibrator, both issued as part of the NORIP project [12, 13]. Length and weight were obtained at the time of discharge from the transplantation unit and we calculated body mass index (BMI) by the following formula: weight (kg)/(length (m))2.\nLaboratory data of PTH, phosphate, creatinine, calcium, albumin, triglycerides, low-density lipoprotein (LDL), high-density lipoprotein (HDL), uric acid, and C-reactive protein (CRP) were collected prior to the date of transplantation. PTH, phosphate, creatinine, calcium, and albumin were thereafter collected yearly after transplantation. Plasma phosphate (normal range 0.7–1.5 mmol/L), calcium (normal range 2.15–2.50 mmol/L), albumin (normal range 18–40 years 36–48 g/L, 41–70 years 36–45 g/L), creatinine (normal range 45–90 µmol/L female, 60–105 µmol/L male), LDL mmol/L (normal range 1.4–4.7 mmol/L), HDL mmol/L (normal range female 1.0-2.7 male 0.8–2.1 mmol/L), triglycerides mmol/L (normal range 0.4–2.6 mmol/L), uric acid µmol/L (normal range female 155–350, male 230–480 µmol/L), and CRP mg/L (normal range < 3 mg/L) were determined using routine methods. Albumin-corrected calcium was calculated by the following formula Ca-corr = P − Ca + (0.02 × (40 − P-albumin)). Levels of PTH (normal range 1.6–6.9 pmol/L) were determined by a two-site chemiluminescent immunometric assay and were analyzed either using Cobas e411/Elecsys, Roche or Immulite 2000, Siemens. Since the different PTH assays were not entirely comparable, we used an adjusting formula (Cobas = 0.7439 × Immulite + 0.7351) defined at the Department of Clinical Chemistry at Skane University Hospital. The glomerular filtration rate was estimated by a creatinine-based equation (Lund–Malmö glomerular filtration rate prediction equation without body weight measure) [11] and results given as mL/min/1.73 m2. Plasma creatinine assays employed calibration traceable to a common reference material and a zero-point calibrator, both issued as part of the NORIP project [12, 13]. Length and weight were obtained at the time of discharge from the transplantation unit and we calculated body mass index (BMI) by the following formula: weight (kg)/(length (m))2.\n Statistical analyses We divided the patients into two groups: patients with no pre-transplant PTX and patients with pre-transplant PTX. Patients with no PTX were stratified by quartiles of PTH levels at the time of transplantation. Due to a small patient number, patients with PTX were stratified above and below median PTH levels at the time of transplantation. Differences in laboratory values between groups were calculated using a Kruskal–Wallis test or a Mann–Whitney test where appropriate. Cardiovascular event free survival was estimated by Kaplan–Meier curves. Cox’s regression models were applied to evaluate the risk for cardiovascular events, using quartile 3 of PTH as the reference category in non-PTX patients and above median as the reference category in PTX patients. Adjustments were made for the following factors: age, gender, diabetes, a history of CVD, BMI at time of transplantation, and years on dialysis before transplantation. These factors have been shown to predict vascular morbidity and death in renal transplant recipients [14]. Gender, diabetes, and a history of CVD were adjusted as categorical variables using male gender, no diabetes, and no history of cardiovascular disease as reference categories. The same model was used to calculate hazard ratios for mortality and graft failure in non-PTX patients. As a sensitivity analysis, we further adjusted for levels of uric acid (continuous), treatment with alfacalcidol after transplantation (categorical), and treatment with cholecalciferol after transplantation (categorical), in addition to the original model. In the Cox model, patients were followed for 6 years (starting at the date of RT). Patients were censored when an event occurred, at graft failure, or at death, whichever occurred first. All statistical analyses were performed using SPSS 22.0 (SPSS Inc., Chicago, Ill., USA). Statistical significance was considered with a p value of < 0.05.\nWe divided the patients into two groups: patients with no pre-transplant PTX and patients with pre-transplant PTX. Patients with no PTX were stratified by quartiles of PTH levels at the time of transplantation. Due to a small patient number, patients with PTX were stratified above and below median PTH levels at the time of transplantation. Differences in laboratory values between groups were calculated using a Kruskal–Wallis test or a Mann–Whitney test where appropriate. Cardiovascular event free survival was estimated by Kaplan–Meier curves. Cox’s regression models were applied to evaluate the risk for cardiovascular events, using quartile 3 of PTH as the reference category in non-PTX patients and above median as the reference category in PTX patients. Adjustments were made for the following factors: age, gender, diabetes, a history of CVD, BMI at time of transplantation, and years on dialysis before transplantation. These factors have been shown to predict vascular morbidity and death in renal transplant recipients [14]. Gender, diabetes, and a history of CVD were adjusted as categorical variables using male gender, no diabetes, and no history of cardiovascular disease as reference categories. The same model was used to calculate hazard ratios for mortality and graft failure in non-PTX patients. As a sensitivity analysis, we further adjusted for levels of uric acid (continuous), treatment with alfacalcidol after transplantation (categorical), and treatment with cholecalciferol after transplantation (categorical), in addition to the original model. In the Cox model, patients were followed for 6 years (starting at the date of RT). Patients were censored when an event occurred, at graft failure, or at death, whichever occurred first. All statistical analyses were performed using SPSS 22.0 (SPSS Inc., Chicago, Ill., USA). Statistical significance was considered with a p value of < 0.05.", "We performed a retrospective study of patients above 18 years of age who underwent renal transplantation at Skåne University Hospital and Karolinska University Hospital between 1 January 2003 and 31 December 2005. The regional ethical review board approved the study on the condition that patients alive at follow-up (1st of February 2011) gave informed, written, consent.", "We manually searched patients’ medical records using a pre-specified form. We defined the baseline as the date of transplantation and the endpoint as 6 year post-transplantation, death or graft failure, whichever occurred first. Demographic data and years on dialysis treatment were obtained as well as any history of parathyroidectomy (PTX), ongoing treatment with calcimimetics, diabetes, prevalent cardiovascular disease, treatment of hypertension, hyperlipidemia, and hyperuricemia was noted as well as any history of smoking and type of graft: from living donor or deceased donor. During the observation period, any new, incident vascular event (myocardial infarction, coronary revascularization procedure, cerebral infarction, transient ischemic attack, peripheral vessel revascularization, amputation, or death from cardiovascular disease) was noted from medical records. Only the first vascular event was recorded. Immunosuppressive treatment was noted as well as all treatment of mineral metabolism such as calcimimetics, vitamin D, calcium supplements, phosphate binders, and parathyroidectomy after transplantation.", "Laboratory data of PTH, phosphate, creatinine, calcium, albumin, triglycerides, low-density lipoprotein (LDL), high-density lipoprotein (HDL), uric acid, and C-reactive protein (CRP) were collected prior to the date of transplantation. PTH, phosphate, creatinine, calcium, and albumin were thereafter collected yearly after transplantation. Plasma phosphate (normal range 0.7–1.5 mmol/L), calcium (normal range 2.15–2.50 mmol/L), albumin (normal range 18–40 years 36–48 g/L, 41–70 years 36–45 g/L), creatinine (normal range 45–90 µmol/L female, 60–105 µmol/L male), LDL mmol/L (normal range 1.4–4.7 mmol/L), HDL mmol/L (normal range female 1.0-2.7 male 0.8–2.1 mmol/L), triglycerides mmol/L (normal range 0.4–2.6 mmol/L), uric acid µmol/L (normal range female 155–350, male 230–480 µmol/L), and CRP mg/L (normal range < 3 mg/L) were determined using routine methods. Albumin-corrected calcium was calculated by the following formula Ca-corr = P − Ca + (0.02 × (40 − P-albumin)). Levels of PTH (normal range 1.6–6.9 pmol/L) were determined by a two-site chemiluminescent immunometric assay and were analyzed either using Cobas e411/Elecsys, Roche or Immulite 2000, Siemens. Since the different PTH assays were not entirely comparable, we used an adjusting formula (Cobas = 0.7439 × Immulite + 0.7351) defined at the Department of Clinical Chemistry at Skane University Hospital. The glomerular filtration rate was estimated by a creatinine-based equation (Lund–Malmö glomerular filtration rate prediction equation without body weight measure) [11] and results given as mL/min/1.73 m2. Plasma creatinine assays employed calibration traceable to a common reference material and a zero-point calibrator, both issued as part of the NORIP project [12, 13]. Length and weight were obtained at the time of discharge from the transplantation unit and we calculated body mass index (BMI) by the following formula: weight (kg)/(length (m))2.", "We divided the patients into two groups: patients with no pre-transplant PTX and patients with pre-transplant PTX. Patients with no PTX were stratified by quartiles of PTH levels at the time of transplantation. Due to a small patient number, patients with PTX were stratified above and below median PTH levels at the time of transplantation. Differences in laboratory values between groups were calculated using a Kruskal–Wallis test or a Mann–Whitney test where appropriate. Cardiovascular event free survival was estimated by Kaplan–Meier curves. Cox’s regression models were applied to evaluate the risk for cardiovascular events, using quartile 3 of PTH as the reference category in non-PTX patients and above median as the reference category in PTX patients. Adjustments were made for the following factors: age, gender, diabetes, a history of CVD, BMI at time of transplantation, and years on dialysis before transplantation. These factors have been shown to predict vascular morbidity and death in renal transplant recipients [14]. Gender, diabetes, and a history of CVD were adjusted as categorical variables using male gender, no diabetes, and no history of cardiovascular disease as reference categories. The same model was used to calculate hazard ratios for mortality and graft failure in non-PTX patients. As a sensitivity analysis, we further adjusted for levels of uric acid (continuous), treatment with alfacalcidol after transplantation (categorical), and treatment with cholecalciferol after transplantation (categorical), in addition to the original model. In the Cox model, patients were followed for 6 years (starting at the date of RT). Patients were censored when an event occurred, at graft failure, or at death, whichever occurred first. All statistical analyses were performed using SPSS 22.0 (SPSS Inc., Chicago, Ill., USA). Statistical significance was considered with a p value of < 0.05.", "Levels of PTH, phosphate, calcium, and eGFR at start, 2, 4, and 6 years after transplantation in strata are described in Table 2. PTH decreased from preoperative values to 2 years after transplantation but remained fairly stable beyond year 2 through follow-up in non-PTX groups. Levels of albumin-corrected calcium were higher in groups with higher PTH in non-PTX patients through follow-up. Levels of uric acid differed significantly between groups of non-PTX patients. Patients in the highest quartile of PTH had higher uric acid levels compared to patients in the lower quartiles of PTH. In PTX patients, PTH levels were stable after transplantation and levels of albumin-corrected calcium were lower in the group with lower PTH at the start, 2 and 4 years after transplantation. In the same group, phosphate was higher at 2, 4, and 6 years compared to patients with PTH above median. Pre-transplant levels of CRP, albumin, and BMI did not differ between groups (Table 1). There were no significant differences between levels of plasma lipids before transplantation.\n\nTable 2Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)FactorNo PTX (n = 222)PTX (n = 36)PTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valueaPTH below medianPTH above medianp valuebp-PTH median, IQR (pmol/L) Start6.5 (4.7–8.5)12.4 (10.7–14.2)21.0 (18.6–24.1)44.0 (31.2–68.1)< 0.0011.5 (0.7–3.8)14.0 (9.4–18.0)< 0.001 2 years7.0 (5.6–9.8)10.2 (6.8–13.0)11.0 (7.8–18.8)14.6 (8.8–20.9)< 0.0012.1 (0.7–4.6)8.4 (5.1–13.4)< 0.001 4 years7.1 (4.9–10.3)10.0 (6.7–14.8)11.2 (7.6–18.8)14.3 (9.3–21.2)< 0.0012.2 (0.8-4.0)9.6 (7.2–14.0)< 0.001 6 years7.5 (5.6–12.7)10.8 (8.3–14.7)13.4 (8.1–18.1)14.0 (10.0-19.1)0.0011.9 (0.9–4.4)8.3 (6.1–13.3)< 0.001p-Calcium adjusted for albumin median, IQR (mmol/L) Start2.56 (2.44–2.67)2.48 (2.38–2.65)2.54 (2.38–2.70)2.52 (2.39–2.76)0.7942.47 (2.20–2.58)2.47 (2.26–2.65)0.410 2 years2.38 (2.34–2.51)2.46 (2.37–2.55)2.47 (2.39–2.55)2.46 (2.39–2.58)0.0032.22 (2.07–2.32)2.40 (2.34–2.58)0.002 4 years2.38 (2.31–2.46)2.44 (2.41–2.55)2.47 (2.37–2.62)2.54 (2.39–2.63)0.0012.31 (2.19–2.40)2.39 (2.21–2.54)0.222 6 years2.39 (2.34–2.50)2.45 (2.37–2.50)2.45 (2.35–2.54)2.48 (2.41–2.54)0.1162.22 (2.03–2.30)2.38 (2.27–2.47)0.057p-Phosphate median, IQR (mmol/L) Start1.54 (1.11–1.89)1.64 (1.20–2.05)1.50 (1.11-2.00)2.05 (1.56–2.30)< 0.0011.41 (1.00–2.00)1.50 (1.10–1.98)0.895 2 years1.03 (0.95–1.20)0.95 (0.81–1.10)0.98 (0.88–1.10)0.90 (0.78–1.10)0.0071.20 (1.10–1.49)1.03 (0.89–1.17)0.002 4 years1.07 (0.87–1.16)1.00 (0.90–1.10)0.99 (0.88–1.10)0.91 (0.76–1.05)0.0141.32 (0.94–1.48)0.99 (0.83–1.21)0.036 6 years1.00 (0.90–1.20)1.00 (0.89–1.19)0.96 (0.85–1.10)0.94 (0.81–1.13)0.1741.25 (1.10–1.72)0.95 (0.83–1.14)0.003eGFR median, IQR (ml/min/1.73 m2) Start8 (7–10)8 (6–10)9 (7–11)8 (6–10)0.3148 (6–10)8 (6–9)0.950 2 years66 (56–80)61 (35–80)59 (34–77)56 (32–82)0.42356 (32–67)63 (47–78)0.181 4 years65 (48–81)61 (42–83)62 (35–83)51 (31–81)0.26257 (36–71)64 (37–76)0.397 6 years69 (43–87)58 (29–77)62 (30–73)53 (30–77)0.26959 (35–75)71 (35–85)0.376PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile rangeaKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTXbMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX\n\nSix-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)\nPTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile range\naKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTX\nbMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX", "The number of patients treated with PTX and calcimimeticum after transplantation was numerically but not significantly higher in the non-PTX transplanted patients during the 6 years of follow-up. In the group of patients who underwent PTX before transplantation, two out of 18 were treated with calcimimeticum after transplantation. Treatment with alfacalcidol was more common in patients in the higher quartiles of pre-transplant PTH and treatment with cholecalciferol was more common in patients with lower quartiles of pre-transplant PTH. All post-transplant sHPT treatments are summarized in Table 3.\n\nTable 3Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)No PTX before transplantationPTX before transplantationFactorPTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valuePTH Below medianPTH Above medianp valuePTX Yes1 (2)0 (0)3 (5)5 (9)0.0870 (0)0 (0)n.aCalcimimetics Yes0 (0)5 (9)6 (11)6 (11)0.0640 (0)2 (11)0.146Alfacalcidol Yes16 (29)20 (39)27 (50)30 (61)0.0079 (60)7 (39)0.227Cholecalciferol Yes29 (53)21 (40)18 (33)8 (16)0.0016 (40)10 (56)0.373Phosphate binders Yes2 (4)2 (4)1 (2)2 (4)0.9192 (11)1 (6)0.546Calcium supplements Yes34 (62)28 (54)22 (41)20 (41)0.07615 (100)13 (72)0.027Hypercalcemia year 1 Yes13 (25)22 (44)24 (45)33 (65)0.00112 (80)8 (50)0.081 No40 (75)28 (56)29 (55)18 (35)3 (20)8 (50)Hypercalcemia year 3 Yes6 (13)17 (37)12 (25)21 (48)0.0023 (23)3 (20)0.843 No40 (87)29 (63)36 (75)23 (52)10 (77)12 (80)Hypercalcemia year 6 Yes10 (23)9 (23)15 (35)14 (37)0.3192 (17)3 (21)0.759 No34 (77)31 (78)28 (65)29 (63)10 (83)11 (79)\n\nPost-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)", "Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 4. The lowest quartile of PTH showed an increased risk of vascular events with a hazard ratio (95% CI) of 2.63 (1.04–6.67) compared to reference. Age at the time of transplantation, a history of cardiovascular disease, and diabetes at the time of transplantation were all associated with outcome. When adjusting for levels of uric acid before transplantation or treatment with alfacalcidol or cholecalciferol after transplantation, the confidence intervals were wider, but hazard ratios for cardiovascular events in quartiles of PTH were similar (data not shown). Hazard ratios (95% CI) of overall mortality across strata of pre-transplant PTH did not differ significantly to reference values in the full adjusted Cox regression model and were 1.47 (0.41–5.33) in quartile 1, 1.26 (0.38–4.15) in quartile 2 and 1.47 (0.42–5.16) in quartile 4 using quartile 3 as a reference. Only a history of CVD remained significantly associated with overall mortality in the full model with a hazard ratio (95% CI) of 4.36 (1.73–10.99) compared to patients with no history of CVD. Quartiles of pre-transplant PTH were not associated with graft failure in the same Cox regression model. Hazard ratios (95% CI) were 0.66 (0.15–2.79) in quartile 1, 1.22 (0.36–4.10) in quartile 2 and 1.77 (0.59–5.32) in quartile 4 using quartile 3 as a reference. Only years in dialysis before transplantation remained significantly associated with graft failure in the full model with a hazard ratio (95% CI) of 1.21 (1.03–1.42) for each extra year spent in dialysis before transplantation. Kaplan–Meier curves depicting cardiovascular event free survival compared by gender, PTX or not before transplantation, and by different levels of PTH before transplantation are shown in Fig. 1.\n\nTable 4Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Quartiles of PTH at time of transplantation pmol/L 157 (26)14 (25)2.01 (0.81–4.99)2.63 (1.04–6.67) 255 (24)13 (24)1.94 (0.78–4.87)2.02 (0.80–5.12) 357 (26)7 (12)1.001.00 453 (24)12 (23)1.85 (0.73–4.70)2.12 (0.81–5.57)Age1.05 (1.02–1.08)1.04 (1.01–1.08)Gender Male157 (71)35 (22)1.001.00 Female65 (29)12 (18)0.82 (0.43–1.58)1.08 (0.52–2.25)Years in dialysis before transplantation1.16 (1.04–1.30)1.15 (1.00-1.31)History of CVD No168 (76)21 (40)1.001.00 Yes54 (24)26 (15)3.27 (1.84–5.82)1.97 (1.02–3.80)Diabetes No161 (72)25 (40)1.001.00 Yes61 (28)22 (13)3.40 (1.92–6.04)2.57 (1.36–4.83)Body Mass Index at time of transplantation kg/m21.01 (9.94–1.08)0.96 (0.89–1.04)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease\n\nHazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222)\nPTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease\n\nFig. 1Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36)\n\nKaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36)", "Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 5. In patients with pre-transplant PTX, the group below median of PTH had a higher risk of vascular disease with an adjusted hazard ratio (95% CI) of 18.15 (1.62–203.82) compared to patients above the median of PTH. A history of CVD was associated with incident vascular events, but pre-transplant diabetes was not. There were too few events to obtain any statistics on overall mortality or graft failures in patients with a pre-transplant PTX, which is why this has not been done.\n\nTable 5Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Below and above PTH 6.6 pmol/L Below18 (50)7 (39)11.51 (1.40-94.33)18.15 (1.62-203.82) Above18 (50)4 (22)1.001.00Age1.10 (1.01–1.19)1.09 (1.00-1.17)Gender Male21 (58)5 (24)1.001.00 Female15 (42)3 (20)0.77 (0.18–3.24)0.41 (0.06–2.78)Years in dialysis before transplantation0.97 (0.83–1.15)0.88 (0.75–1.04)History of CVD No29 (81)6 (21)1.001.00 Yes7 (19)2 (29)1.25 (0.25–6.19)1.18 (1.10–13.47)Diabetes No22 (61)6 (23)1.001.00 Yes14 (39)2 (20)0.73 (0.15–3.64)0.29 (0.02–3.72)BMI at time of transplantation kg/m20.92 (0.76–1.12)0.80 (0.60–1.08)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index\n\nHazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36)\nPTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index", "Patient numbers were relatively small, which could influence the results. However, we included two centers in Sweden, which hopefully makes the results more accurate for the overall Swedish population of renal transplant recipients. Levels of PTH were analyzed with two different techniques (40 patients had their PTH levels analyzed with Immulite 2000). This is a methodological problem that is hard to assess in the setting of a multicenter observational study and it can potentially influence the results. We made efforts to correct the issue, which is shown in our methods. Patients were selected during 2003–2005 and outcomes in renal transplant patients might differ from today why this must be taken into consideration when interpreting the results. Our study is a retrospective analysis and consequently burdened with some possible sources of bias." ]
[ null, null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Subjects and methods", "Patient selection", "Search of medical records", "Laboratory analyses", "Statistical analyses", "Results", "Laboratory analyses", "Post-transplant treatment for sHPT", "Outcome in renal transplant recipients without PTX before transplantation", "Outcome in renal transplant recipients with PTX before transplantation", "Discussion", "Limitations", "Conclusion" ]
[ "Secondary hyperparathyroidism (sHPT) is common in chronic kidney disease and is associated with bone disease and vascular calcifications [1]. In spite of improved medical treatment for sHPT, surgical treatment with parathyroidectomy (PTX) is still often necessary [2]. In sHPT, the mineral metabolism is disturbed and many factors contribute to the associated morbidity. Levels of parathyroid hormone (PTH) are mainly used to grade the extent of sHPT and both high and low PTH have been associated with cardiovascular disease (CVD) in patients on maintenance dialysis [3–6]. Renal transplantation improves many of the underlying causes of sHPT and levels of PTH decrease after transplantation, even though sHPT persists in the majority of renal transplant recipients over the short as well as long term [7, 8]. Recent studies have shown no association between post-transplant PTH and risk of vascular events [9], but have shown an association with graft failure and mortality [10]. Data on pre-transplant PTH and outcomes are limited and few studies report whether patients have been treated with PTX before transplantation or not, which may influence the results. When evaluating patients for renal transplantation, the PTH level is one of many important parameters to include as sHPT can influence patient and graft survival. No upper PTH limit for renal transplantation has been defined, but hypercalcemia is generally not accepted. Our intention was to describe the relation between pre-transplant plasma PTH and long-term risk of incident cardiovascular disease after renal transplantation in patients with and without pre-transplant PTX.", " Patient selection We performed a retrospective study of patients above 18 years of age who underwent renal transplantation at Skåne University Hospital and Karolinska University Hospital between 1 January 2003 and 31 December 2005. The regional ethical review board approved the study on the condition that patients alive at follow-up (1st of February 2011) gave informed, written, consent.\nWe performed a retrospective study of patients above 18 years of age who underwent renal transplantation at Skåne University Hospital and Karolinska University Hospital between 1 January 2003 and 31 December 2005. The regional ethical review board approved the study on the condition that patients alive at follow-up (1st of February 2011) gave informed, written, consent.\n Search of medical records We manually searched patients’ medical records using a pre-specified form. We defined the baseline as the date of transplantation and the endpoint as 6 year post-transplantation, death or graft failure, whichever occurred first. Demographic data and years on dialysis treatment were obtained as well as any history of parathyroidectomy (PTX), ongoing treatment with calcimimetics, diabetes, prevalent cardiovascular disease, treatment of hypertension, hyperlipidemia, and hyperuricemia was noted as well as any history of smoking and type of graft: from living donor or deceased donor. During the observation period, any new, incident vascular event (myocardial infarction, coronary revascularization procedure, cerebral infarction, transient ischemic attack, peripheral vessel revascularization, amputation, or death from cardiovascular disease) was noted from medical records. Only the first vascular event was recorded. Immunosuppressive treatment was noted as well as all treatment of mineral metabolism such as calcimimetics, vitamin D, calcium supplements, phosphate binders, and parathyroidectomy after transplantation.\nWe manually searched patients’ medical records using a pre-specified form. We defined the baseline as the date of transplantation and the endpoint as 6 year post-transplantation, death or graft failure, whichever occurred first. Demographic data and years on dialysis treatment were obtained as well as any history of parathyroidectomy (PTX), ongoing treatment with calcimimetics, diabetes, prevalent cardiovascular disease, treatment of hypertension, hyperlipidemia, and hyperuricemia was noted as well as any history of smoking and type of graft: from living donor or deceased donor. During the observation period, any new, incident vascular event (myocardial infarction, coronary revascularization procedure, cerebral infarction, transient ischemic attack, peripheral vessel revascularization, amputation, or death from cardiovascular disease) was noted from medical records. Only the first vascular event was recorded. Immunosuppressive treatment was noted as well as all treatment of mineral metabolism such as calcimimetics, vitamin D, calcium supplements, phosphate binders, and parathyroidectomy after transplantation.\n Laboratory analyses Laboratory data of PTH, phosphate, creatinine, calcium, albumin, triglycerides, low-density lipoprotein (LDL), high-density lipoprotein (HDL), uric acid, and C-reactive protein (CRP) were collected prior to the date of transplantation. PTH, phosphate, creatinine, calcium, and albumin were thereafter collected yearly after transplantation. Plasma phosphate (normal range 0.7–1.5 mmol/L), calcium (normal range 2.15–2.50 mmol/L), albumin (normal range 18–40 years 36–48 g/L, 41–70 years 36–45 g/L), creatinine (normal range 45–90 µmol/L female, 60–105 µmol/L male), LDL mmol/L (normal range 1.4–4.7 mmol/L), HDL mmol/L (normal range female 1.0-2.7 male 0.8–2.1 mmol/L), triglycerides mmol/L (normal range 0.4–2.6 mmol/L), uric acid µmol/L (normal range female 155–350, male 230–480 µmol/L), and CRP mg/L (normal range < 3 mg/L) were determined using routine methods. Albumin-corrected calcium was calculated by the following formula Ca-corr = P − Ca + (0.02 × (40 − P-albumin)). Levels of PTH (normal range 1.6–6.9 pmol/L) were determined by a two-site chemiluminescent immunometric assay and were analyzed either using Cobas e411/Elecsys, Roche or Immulite 2000, Siemens. Since the different PTH assays were not entirely comparable, we used an adjusting formula (Cobas = 0.7439 × Immulite + 0.7351) defined at the Department of Clinical Chemistry at Skane University Hospital. The glomerular filtration rate was estimated by a creatinine-based equation (Lund–Malmö glomerular filtration rate prediction equation without body weight measure) [11] and results given as mL/min/1.73 m2. Plasma creatinine assays employed calibration traceable to a common reference material and a zero-point calibrator, both issued as part of the NORIP project [12, 13]. Length and weight were obtained at the time of discharge from the transplantation unit and we calculated body mass index (BMI) by the following formula: weight (kg)/(length (m))2.\nLaboratory data of PTH, phosphate, creatinine, calcium, albumin, triglycerides, low-density lipoprotein (LDL), high-density lipoprotein (HDL), uric acid, and C-reactive protein (CRP) were collected prior to the date of transplantation. PTH, phosphate, creatinine, calcium, and albumin were thereafter collected yearly after transplantation. Plasma phosphate (normal range 0.7–1.5 mmol/L), calcium (normal range 2.15–2.50 mmol/L), albumin (normal range 18–40 years 36–48 g/L, 41–70 years 36–45 g/L), creatinine (normal range 45–90 µmol/L female, 60–105 µmol/L male), LDL mmol/L (normal range 1.4–4.7 mmol/L), HDL mmol/L (normal range female 1.0-2.7 male 0.8–2.1 mmol/L), triglycerides mmol/L (normal range 0.4–2.6 mmol/L), uric acid µmol/L (normal range female 155–350, male 230–480 µmol/L), and CRP mg/L (normal range < 3 mg/L) were determined using routine methods. Albumin-corrected calcium was calculated by the following formula Ca-corr = P − Ca + (0.02 × (40 − P-albumin)). Levels of PTH (normal range 1.6–6.9 pmol/L) were determined by a two-site chemiluminescent immunometric assay and were analyzed either using Cobas e411/Elecsys, Roche or Immulite 2000, Siemens. Since the different PTH assays were not entirely comparable, we used an adjusting formula (Cobas = 0.7439 × Immulite + 0.7351) defined at the Department of Clinical Chemistry at Skane University Hospital. The glomerular filtration rate was estimated by a creatinine-based equation (Lund–Malmö glomerular filtration rate prediction equation without body weight measure) [11] and results given as mL/min/1.73 m2. Plasma creatinine assays employed calibration traceable to a common reference material and a zero-point calibrator, both issued as part of the NORIP project [12, 13]. Length and weight were obtained at the time of discharge from the transplantation unit and we calculated body mass index (BMI) by the following formula: weight (kg)/(length (m))2.\n Statistical analyses We divided the patients into two groups: patients with no pre-transplant PTX and patients with pre-transplant PTX. Patients with no PTX were stratified by quartiles of PTH levels at the time of transplantation. Due to a small patient number, patients with PTX were stratified above and below median PTH levels at the time of transplantation. Differences in laboratory values between groups were calculated using a Kruskal–Wallis test or a Mann–Whitney test where appropriate. Cardiovascular event free survival was estimated by Kaplan–Meier curves. Cox’s regression models were applied to evaluate the risk for cardiovascular events, using quartile 3 of PTH as the reference category in non-PTX patients and above median as the reference category in PTX patients. Adjustments were made for the following factors: age, gender, diabetes, a history of CVD, BMI at time of transplantation, and years on dialysis before transplantation. These factors have been shown to predict vascular morbidity and death in renal transplant recipients [14]. Gender, diabetes, and a history of CVD were adjusted as categorical variables using male gender, no diabetes, and no history of cardiovascular disease as reference categories. The same model was used to calculate hazard ratios for mortality and graft failure in non-PTX patients. As a sensitivity analysis, we further adjusted for levels of uric acid (continuous), treatment with alfacalcidol after transplantation (categorical), and treatment with cholecalciferol after transplantation (categorical), in addition to the original model. In the Cox model, patients were followed for 6 years (starting at the date of RT). Patients were censored when an event occurred, at graft failure, or at death, whichever occurred first. All statistical analyses were performed using SPSS 22.0 (SPSS Inc., Chicago, Ill., USA). Statistical significance was considered with a p value of < 0.05.\nWe divided the patients into two groups: patients with no pre-transplant PTX and patients with pre-transplant PTX. Patients with no PTX were stratified by quartiles of PTH levels at the time of transplantation. Due to a small patient number, patients with PTX were stratified above and below median PTH levels at the time of transplantation. Differences in laboratory values between groups were calculated using a Kruskal–Wallis test or a Mann–Whitney test where appropriate. Cardiovascular event free survival was estimated by Kaplan–Meier curves. Cox’s regression models were applied to evaluate the risk for cardiovascular events, using quartile 3 of PTH as the reference category in non-PTX patients and above median as the reference category in PTX patients. Adjustments were made for the following factors: age, gender, diabetes, a history of CVD, BMI at time of transplantation, and years on dialysis before transplantation. These factors have been shown to predict vascular morbidity and death in renal transplant recipients [14]. Gender, diabetes, and a history of CVD were adjusted as categorical variables using male gender, no diabetes, and no history of cardiovascular disease as reference categories. The same model was used to calculate hazard ratios for mortality and graft failure in non-PTX patients. As a sensitivity analysis, we further adjusted for levels of uric acid (continuous), treatment with alfacalcidol after transplantation (categorical), and treatment with cholecalciferol after transplantation (categorical), in addition to the original model. In the Cox model, patients were followed for 6 years (starting at the date of RT). Patients were censored when an event occurred, at graft failure, or at death, whichever occurred first. All statistical analyses were performed using SPSS 22.0 (SPSS Inc., Chicago, Ill., USA). Statistical significance was considered with a p value of < 0.05.", "We performed a retrospective study of patients above 18 years of age who underwent renal transplantation at Skåne University Hospital and Karolinska University Hospital between 1 January 2003 and 31 December 2005. The regional ethical review board approved the study on the condition that patients alive at follow-up (1st of February 2011) gave informed, written, consent.", "We manually searched patients’ medical records using a pre-specified form. We defined the baseline as the date of transplantation and the endpoint as 6 year post-transplantation, death or graft failure, whichever occurred first. Demographic data and years on dialysis treatment were obtained as well as any history of parathyroidectomy (PTX), ongoing treatment with calcimimetics, diabetes, prevalent cardiovascular disease, treatment of hypertension, hyperlipidemia, and hyperuricemia was noted as well as any history of smoking and type of graft: from living donor or deceased donor. During the observation period, any new, incident vascular event (myocardial infarction, coronary revascularization procedure, cerebral infarction, transient ischemic attack, peripheral vessel revascularization, amputation, or death from cardiovascular disease) was noted from medical records. Only the first vascular event was recorded. Immunosuppressive treatment was noted as well as all treatment of mineral metabolism such as calcimimetics, vitamin D, calcium supplements, phosphate binders, and parathyroidectomy after transplantation.", "Laboratory data of PTH, phosphate, creatinine, calcium, albumin, triglycerides, low-density lipoprotein (LDL), high-density lipoprotein (HDL), uric acid, and C-reactive protein (CRP) were collected prior to the date of transplantation. PTH, phosphate, creatinine, calcium, and albumin were thereafter collected yearly after transplantation. Plasma phosphate (normal range 0.7–1.5 mmol/L), calcium (normal range 2.15–2.50 mmol/L), albumin (normal range 18–40 years 36–48 g/L, 41–70 years 36–45 g/L), creatinine (normal range 45–90 µmol/L female, 60–105 µmol/L male), LDL mmol/L (normal range 1.4–4.7 mmol/L), HDL mmol/L (normal range female 1.0-2.7 male 0.8–2.1 mmol/L), triglycerides mmol/L (normal range 0.4–2.6 mmol/L), uric acid µmol/L (normal range female 155–350, male 230–480 µmol/L), and CRP mg/L (normal range < 3 mg/L) were determined using routine methods. Albumin-corrected calcium was calculated by the following formula Ca-corr = P − Ca + (0.02 × (40 − P-albumin)). Levels of PTH (normal range 1.6–6.9 pmol/L) were determined by a two-site chemiluminescent immunometric assay and were analyzed either using Cobas e411/Elecsys, Roche or Immulite 2000, Siemens. Since the different PTH assays were not entirely comparable, we used an adjusting formula (Cobas = 0.7439 × Immulite + 0.7351) defined at the Department of Clinical Chemistry at Skane University Hospital. The glomerular filtration rate was estimated by a creatinine-based equation (Lund–Malmö glomerular filtration rate prediction equation without body weight measure) [11] and results given as mL/min/1.73 m2. Plasma creatinine assays employed calibration traceable to a common reference material and a zero-point calibrator, both issued as part of the NORIP project [12, 13]. Length and weight were obtained at the time of discharge from the transplantation unit and we calculated body mass index (BMI) by the following formula: weight (kg)/(length (m))2.", "We divided the patients into two groups: patients with no pre-transplant PTX and patients with pre-transplant PTX. Patients with no PTX were stratified by quartiles of PTH levels at the time of transplantation. Due to a small patient number, patients with PTX were stratified above and below median PTH levels at the time of transplantation. Differences in laboratory values between groups were calculated using a Kruskal–Wallis test or a Mann–Whitney test where appropriate. Cardiovascular event free survival was estimated by Kaplan–Meier curves. Cox’s regression models were applied to evaluate the risk for cardiovascular events, using quartile 3 of PTH as the reference category in non-PTX patients and above median as the reference category in PTX patients. Adjustments were made for the following factors: age, gender, diabetes, a history of CVD, BMI at time of transplantation, and years on dialysis before transplantation. These factors have been shown to predict vascular morbidity and death in renal transplant recipients [14]. Gender, diabetes, and a history of CVD were adjusted as categorical variables using male gender, no diabetes, and no history of cardiovascular disease as reference categories. The same model was used to calculate hazard ratios for mortality and graft failure in non-PTX patients. As a sensitivity analysis, we further adjusted for levels of uric acid (continuous), treatment with alfacalcidol after transplantation (categorical), and treatment with cholecalciferol after transplantation (categorical), in addition to the original model. In the Cox model, patients were followed for 6 years (starting at the date of RT). Patients were censored when an event occurred, at graft failure, or at death, whichever occurred first. All statistical analyses were performed using SPSS 22.0 (SPSS Inc., Chicago, Ill., USA). Statistical significance was considered with a p value of < 0.05.", "A total of 258 patients were included in the study, whereof 36 were parathyroidectomized before transplantation. Baseline demographic data of patients in the different groups are presented in Table 1. During the follow-up, there were a total of 55 incident vascular events. Twenty-five patients suffered from myocardial infarction, 15 from peripheral vascular events, and 15 from stroke. Overall mortality was 10% (n = 26) at the endpoint. Of these, 14 were caused by CVD, seven by malignancy, and five had other causes. The number of patients with pre-existing cardiovascular disease, a history of smoking and hypertension as well as anti-hypertensive treatment did not differ significantly between groups and the numbers are summarized Table 1. The majority of patients were treated with triple immunosuppressive treatment which consisted of prednisolone and either tacrolimus and mycophenolate mofetil (MMF) (60%), cyclosporin A and MMF (15%), or tacrolimus and azathioprin (15%). Ten percent received other immunosuppressive drugs. Median (interquartile range, IQR) follow-up for cardiovascular events was 72 (56–72) months and for graft failure and overall mortality 72 (72–72).\n\nTable 1Baseline characteristics of Swedish renal transplant recipients (n = 258) with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantationFactorNo PTX before transplantation (n = 222)PTX before transplantation (n = 36)PTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valuePTH Below medianPTH Above medianp valueGender Male44 (77)38 (69)37 (65)38 (72)0.537a10 (56)11 (61)0.735a Female13 (23)17 (31)20 (31)15 (28)8 (44)7 (39) Median age in years (range)50 (19–71)55 (31–72)52 (22–73)49 (19–70)0.046b50 (33–68)57 (18–73)0.205cOriginal kidney disease Glomerulonephritis23 (40)16 (29)19 (33)20 (38)0.486a7 (40)10 (58)0.562a Diabetes7 (12)9 (16)10 (18)6 (11)2 (11)1 (5) Vasculitis2 (4)4 (7)4 (7)3 (6)1 (5)2 (11) Hereditary13 (23)14 (26)10 (18)8 (15)5 (28)1 (5) Congenital4 (7)0 (0)3 (5)7 (13)2 (11)2 (11) Nephrosclerosis1 (2)6 (11)5 (9)2 (4)1 (5)1 (5) Other/unknown7 (12)6 (11)6 (10)7 (13)0 (0)1 (5)Living donor graft29 (51)19 (35)20 (35)25 (47)0.187a6 (33)5 (28)0.717aFirst transplant54 (95)51 (93)50 (88)39 (74)0.004a11 (61)9 (50)0.502aPre-TX diabetes17 (30)14 (26)17 (30)13 (24)0.883a15 (83)7 (39)0.137aYears in dialysis1.7 (0.75–3.0)2.0 (1.0–3.0)2.0 (1.0–4.0)2.5 (1.0-4.5)0.264b4.2 (1.9–7.5)4.5 (2.4–8.5)0.657cType of dialysis HD29 (51)32 (58)40 (70)35 (66)0.472a13 (78)11 (61)0.461a PD24 (42)20 (36)13 (23)12 (23)4 (22)7 (39) None4 (7)3 (6)4 (7)6 (11)1 (5)Previous CVD9 (16)17 (31)16 (18)12 (23)0.254a3 (17)4 (22)0.674aPrevious smoker16 (29)17 (31)17 (30)10 (20)0.544a6 (33)5 (28)0.717aHypertension40 (71)36 (66)40 (70)29 (57)0.378a11 (61)8 (44)0.317aHyperuricemia4 (8)5 (9)3 (6)5 (10)0.824a1 (6)4 (24)0.129aTreatment with statins22 (42)21 (40)21 (39)14 (29)0.508a9 (50)8 (47)0.862aTreatment with beta-blockers27 (52)32 (60)32 (59)27 (55)0.663a9 (50)7 (41)0.600aTreatment with ACEi or ARB’s22 (43)18 (34)22 (42)23 (47)0.592a6 (33)5 (29)0.803aTreatment with calcium channel blockers35 (67)24 (44)22 (41)16 (33)0.003a8 (44)4 (24)0.193aLaboratory measurements before transplantation Uric acid µmol/L295 (238–370)309 (235–391)352 (261–444)430 (307–492)0.009b375 (317–461)318 (257–390)0.223c CRP mg/L1 (1–3)3 (1–9)1 (1–11)1 (1–7)0.075b1 (1–4)2 (1–10)0.493cAlbumin g/L33 (31–37)33 (29–36)33 (29–37)31 (28–35)0.091b34 (27–38)33 (31–37)0.938c Body mass index kg/m224 (21–27)25 (21–27)24 (22–27)26 (22–28)0.441b25 (21–29)25 (24–27)0.988cValues are numbers (%) or medians (interquartile range) where appropriatePTX parathyroidectomy, PTH parathyroid hormone, TX transplantation, HD hemodialysis, PD peritoneal dialysis, CVD cardiovascular disease, ACEi angiotensin converting enzyme inhibitor, ARB angiotensin receptor blocker, CRP C-reactive proteinaChi2 testbKruskal–Wallis testcMann–Whitney test\n\nBaseline characteristics of Swedish renal transplant recipients (n = 258) with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation\nValues are numbers (%) or medians (interquartile range) where appropriate\nPTX parathyroidectomy, PTH parathyroid hormone, TX transplantation, HD hemodialysis, PD peritoneal dialysis, CVD cardiovascular disease, ACEi angiotensin converting enzyme inhibitor, ARB angiotensin receptor blocker, CRP C-reactive protein\naChi2 test\nbKruskal–Wallis test\ncMann–Whitney test\n Laboratory analyses Levels of PTH, phosphate, calcium, and eGFR at start, 2, 4, and 6 years after transplantation in strata are described in Table 2. PTH decreased from preoperative values to 2 years after transplantation but remained fairly stable beyond year 2 through follow-up in non-PTX groups. Levels of albumin-corrected calcium were higher in groups with higher PTH in non-PTX patients through follow-up. Levels of uric acid differed significantly between groups of non-PTX patients. Patients in the highest quartile of PTH had higher uric acid levels compared to patients in the lower quartiles of PTH. In PTX patients, PTH levels were stable after transplantation and levels of albumin-corrected calcium were lower in the group with lower PTH at the start, 2 and 4 years after transplantation. In the same group, phosphate was higher at 2, 4, and 6 years compared to patients with PTH above median. Pre-transplant levels of CRP, albumin, and BMI did not differ between groups (Table 1). There were no significant differences between levels of plasma lipids before transplantation.\n\nTable 2Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)FactorNo PTX (n = 222)PTX (n = 36)PTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valueaPTH below medianPTH above medianp valuebp-PTH median, IQR (pmol/L) Start6.5 (4.7–8.5)12.4 (10.7–14.2)21.0 (18.6–24.1)44.0 (31.2–68.1)< 0.0011.5 (0.7–3.8)14.0 (9.4–18.0)< 0.001 2 years7.0 (5.6–9.8)10.2 (6.8–13.0)11.0 (7.8–18.8)14.6 (8.8–20.9)< 0.0012.1 (0.7–4.6)8.4 (5.1–13.4)< 0.001 4 years7.1 (4.9–10.3)10.0 (6.7–14.8)11.2 (7.6–18.8)14.3 (9.3–21.2)< 0.0012.2 (0.8-4.0)9.6 (7.2–14.0)< 0.001 6 years7.5 (5.6–12.7)10.8 (8.3–14.7)13.4 (8.1–18.1)14.0 (10.0-19.1)0.0011.9 (0.9–4.4)8.3 (6.1–13.3)< 0.001p-Calcium adjusted for albumin median, IQR (mmol/L) Start2.56 (2.44–2.67)2.48 (2.38–2.65)2.54 (2.38–2.70)2.52 (2.39–2.76)0.7942.47 (2.20–2.58)2.47 (2.26–2.65)0.410 2 years2.38 (2.34–2.51)2.46 (2.37–2.55)2.47 (2.39–2.55)2.46 (2.39–2.58)0.0032.22 (2.07–2.32)2.40 (2.34–2.58)0.002 4 years2.38 (2.31–2.46)2.44 (2.41–2.55)2.47 (2.37–2.62)2.54 (2.39–2.63)0.0012.31 (2.19–2.40)2.39 (2.21–2.54)0.222 6 years2.39 (2.34–2.50)2.45 (2.37–2.50)2.45 (2.35–2.54)2.48 (2.41–2.54)0.1162.22 (2.03–2.30)2.38 (2.27–2.47)0.057p-Phosphate median, IQR (mmol/L) Start1.54 (1.11–1.89)1.64 (1.20–2.05)1.50 (1.11-2.00)2.05 (1.56–2.30)< 0.0011.41 (1.00–2.00)1.50 (1.10–1.98)0.895 2 years1.03 (0.95–1.20)0.95 (0.81–1.10)0.98 (0.88–1.10)0.90 (0.78–1.10)0.0071.20 (1.10–1.49)1.03 (0.89–1.17)0.002 4 years1.07 (0.87–1.16)1.00 (0.90–1.10)0.99 (0.88–1.10)0.91 (0.76–1.05)0.0141.32 (0.94–1.48)0.99 (0.83–1.21)0.036 6 years1.00 (0.90–1.20)1.00 (0.89–1.19)0.96 (0.85–1.10)0.94 (0.81–1.13)0.1741.25 (1.10–1.72)0.95 (0.83–1.14)0.003eGFR median, IQR (ml/min/1.73 m2) Start8 (7–10)8 (6–10)9 (7–11)8 (6–10)0.3148 (6–10)8 (6–9)0.950 2 years66 (56–80)61 (35–80)59 (34–77)56 (32–82)0.42356 (32–67)63 (47–78)0.181 4 years65 (48–81)61 (42–83)62 (35–83)51 (31–81)0.26257 (36–71)64 (37–76)0.397 6 years69 (43–87)58 (29–77)62 (30–73)53 (30–77)0.26959 (35–75)71 (35–85)0.376PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile rangeaKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTXbMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX\n\nSix-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)\nPTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile range\naKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTX\nbMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX\nLevels of PTH, phosphate, calcium, and eGFR at start, 2, 4, and 6 years after transplantation in strata are described in Table 2. PTH decreased from preoperative values to 2 years after transplantation but remained fairly stable beyond year 2 through follow-up in non-PTX groups. Levels of albumin-corrected calcium were higher in groups with higher PTH in non-PTX patients through follow-up. Levels of uric acid differed significantly between groups of non-PTX patients. Patients in the highest quartile of PTH had higher uric acid levels compared to patients in the lower quartiles of PTH. In PTX patients, PTH levels were stable after transplantation and levels of albumin-corrected calcium were lower in the group with lower PTH at the start, 2 and 4 years after transplantation. In the same group, phosphate was higher at 2, 4, and 6 years compared to patients with PTH above median. Pre-transplant levels of CRP, albumin, and BMI did not differ between groups (Table 1). There were no significant differences between levels of plasma lipids before transplantation.\n\nTable 2Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)FactorNo PTX (n = 222)PTX (n = 36)PTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valueaPTH below medianPTH above medianp valuebp-PTH median, IQR (pmol/L) Start6.5 (4.7–8.5)12.4 (10.7–14.2)21.0 (18.6–24.1)44.0 (31.2–68.1)< 0.0011.5 (0.7–3.8)14.0 (9.4–18.0)< 0.001 2 years7.0 (5.6–9.8)10.2 (6.8–13.0)11.0 (7.8–18.8)14.6 (8.8–20.9)< 0.0012.1 (0.7–4.6)8.4 (5.1–13.4)< 0.001 4 years7.1 (4.9–10.3)10.0 (6.7–14.8)11.2 (7.6–18.8)14.3 (9.3–21.2)< 0.0012.2 (0.8-4.0)9.6 (7.2–14.0)< 0.001 6 years7.5 (5.6–12.7)10.8 (8.3–14.7)13.4 (8.1–18.1)14.0 (10.0-19.1)0.0011.9 (0.9–4.4)8.3 (6.1–13.3)< 0.001p-Calcium adjusted for albumin median, IQR (mmol/L) Start2.56 (2.44–2.67)2.48 (2.38–2.65)2.54 (2.38–2.70)2.52 (2.39–2.76)0.7942.47 (2.20–2.58)2.47 (2.26–2.65)0.410 2 years2.38 (2.34–2.51)2.46 (2.37–2.55)2.47 (2.39–2.55)2.46 (2.39–2.58)0.0032.22 (2.07–2.32)2.40 (2.34–2.58)0.002 4 years2.38 (2.31–2.46)2.44 (2.41–2.55)2.47 (2.37–2.62)2.54 (2.39–2.63)0.0012.31 (2.19–2.40)2.39 (2.21–2.54)0.222 6 years2.39 (2.34–2.50)2.45 (2.37–2.50)2.45 (2.35–2.54)2.48 (2.41–2.54)0.1162.22 (2.03–2.30)2.38 (2.27–2.47)0.057p-Phosphate median, IQR (mmol/L) Start1.54 (1.11–1.89)1.64 (1.20–2.05)1.50 (1.11-2.00)2.05 (1.56–2.30)< 0.0011.41 (1.00–2.00)1.50 (1.10–1.98)0.895 2 years1.03 (0.95–1.20)0.95 (0.81–1.10)0.98 (0.88–1.10)0.90 (0.78–1.10)0.0071.20 (1.10–1.49)1.03 (0.89–1.17)0.002 4 years1.07 (0.87–1.16)1.00 (0.90–1.10)0.99 (0.88–1.10)0.91 (0.76–1.05)0.0141.32 (0.94–1.48)0.99 (0.83–1.21)0.036 6 years1.00 (0.90–1.20)1.00 (0.89–1.19)0.96 (0.85–1.10)0.94 (0.81–1.13)0.1741.25 (1.10–1.72)0.95 (0.83–1.14)0.003eGFR median, IQR (ml/min/1.73 m2) Start8 (7–10)8 (6–10)9 (7–11)8 (6–10)0.3148 (6–10)8 (6–9)0.950 2 years66 (56–80)61 (35–80)59 (34–77)56 (32–82)0.42356 (32–67)63 (47–78)0.181 4 years65 (48–81)61 (42–83)62 (35–83)51 (31–81)0.26257 (36–71)64 (37–76)0.397 6 years69 (43–87)58 (29–77)62 (30–73)53 (30–77)0.26959 (35–75)71 (35–85)0.376PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile rangeaKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTXbMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX\n\nSix-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)\nPTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile range\naKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTX\nbMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX\n Post-transplant treatment for sHPT The number of patients treated with PTX and calcimimeticum after transplantation was numerically but not significantly higher in the non-PTX transplanted patients during the 6 years of follow-up. In the group of patients who underwent PTX before transplantation, two out of 18 were treated with calcimimeticum after transplantation. Treatment with alfacalcidol was more common in patients in the higher quartiles of pre-transplant PTH and treatment with cholecalciferol was more common in patients with lower quartiles of pre-transplant PTH. All post-transplant sHPT treatments are summarized in Table 3.\n\nTable 3Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)No PTX before transplantationPTX before transplantationFactorPTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valuePTH Below medianPTH Above medianp valuePTX Yes1 (2)0 (0)3 (5)5 (9)0.0870 (0)0 (0)n.aCalcimimetics Yes0 (0)5 (9)6 (11)6 (11)0.0640 (0)2 (11)0.146Alfacalcidol Yes16 (29)20 (39)27 (50)30 (61)0.0079 (60)7 (39)0.227Cholecalciferol Yes29 (53)21 (40)18 (33)8 (16)0.0016 (40)10 (56)0.373Phosphate binders Yes2 (4)2 (4)1 (2)2 (4)0.9192 (11)1 (6)0.546Calcium supplements Yes34 (62)28 (54)22 (41)20 (41)0.07615 (100)13 (72)0.027Hypercalcemia year 1 Yes13 (25)22 (44)24 (45)33 (65)0.00112 (80)8 (50)0.081 No40 (75)28 (56)29 (55)18 (35)3 (20)8 (50)Hypercalcemia year 3 Yes6 (13)17 (37)12 (25)21 (48)0.0023 (23)3 (20)0.843 No40 (87)29 (63)36 (75)23 (52)10 (77)12 (80)Hypercalcemia year 6 Yes10 (23)9 (23)15 (35)14 (37)0.3192 (17)3 (21)0.759 No34 (77)31 (78)28 (65)29 (63)10 (83)11 (79)\n\nPost-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)\nThe number of patients treated with PTX and calcimimeticum after transplantation was numerically but not significantly higher in the non-PTX transplanted patients during the 6 years of follow-up. In the group of patients who underwent PTX before transplantation, two out of 18 were treated with calcimimeticum after transplantation. Treatment with alfacalcidol was more common in patients in the higher quartiles of pre-transplant PTH and treatment with cholecalciferol was more common in patients with lower quartiles of pre-transplant PTH. All post-transplant sHPT treatments are summarized in Table 3.\n\nTable 3Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)No PTX before transplantationPTX before transplantationFactorPTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valuePTH Below medianPTH Above medianp valuePTX Yes1 (2)0 (0)3 (5)5 (9)0.0870 (0)0 (0)n.aCalcimimetics Yes0 (0)5 (9)6 (11)6 (11)0.0640 (0)2 (11)0.146Alfacalcidol Yes16 (29)20 (39)27 (50)30 (61)0.0079 (60)7 (39)0.227Cholecalciferol Yes29 (53)21 (40)18 (33)8 (16)0.0016 (40)10 (56)0.373Phosphate binders Yes2 (4)2 (4)1 (2)2 (4)0.9192 (11)1 (6)0.546Calcium supplements Yes34 (62)28 (54)22 (41)20 (41)0.07615 (100)13 (72)0.027Hypercalcemia year 1 Yes13 (25)22 (44)24 (45)33 (65)0.00112 (80)8 (50)0.081 No40 (75)28 (56)29 (55)18 (35)3 (20)8 (50)Hypercalcemia year 3 Yes6 (13)17 (37)12 (25)21 (48)0.0023 (23)3 (20)0.843 No40 (87)29 (63)36 (75)23 (52)10 (77)12 (80)Hypercalcemia year 6 Yes10 (23)9 (23)15 (35)14 (37)0.3192 (17)3 (21)0.759 No34 (77)31 (78)28 (65)29 (63)10 (83)11 (79)\n\nPost-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)\n Outcome in renal transplant recipients without PTX before transplantation Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 4. The lowest quartile of PTH showed an increased risk of vascular events with a hazard ratio (95% CI) of 2.63 (1.04–6.67) compared to reference. Age at the time of transplantation, a history of cardiovascular disease, and diabetes at the time of transplantation were all associated with outcome. When adjusting for levels of uric acid before transplantation or treatment with alfacalcidol or cholecalciferol after transplantation, the confidence intervals were wider, but hazard ratios for cardiovascular events in quartiles of PTH were similar (data not shown). Hazard ratios (95% CI) of overall mortality across strata of pre-transplant PTH did not differ significantly to reference values in the full adjusted Cox regression model and were 1.47 (0.41–5.33) in quartile 1, 1.26 (0.38–4.15) in quartile 2 and 1.47 (0.42–5.16) in quartile 4 using quartile 3 as a reference. Only a history of CVD remained significantly associated with overall mortality in the full model with a hazard ratio (95% CI) of 4.36 (1.73–10.99) compared to patients with no history of CVD. Quartiles of pre-transplant PTH were not associated with graft failure in the same Cox regression model. Hazard ratios (95% CI) were 0.66 (0.15–2.79) in quartile 1, 1.22 (0.36–4.10) in quartile 2 and 1.77 (0.59–5.32) in quartile 4 using quartile 3 as a reference. Only years in dialysis before transplantation remained significantly associated with graft failure in the full model with a hazard ratio (95% CI) of 1.21 (1.03–1.42) for each extra year spent in dialysis before transplantation. Kaplan–Meier curves depicting cardiovascular event free survival compared by gender, PTX or not before transplantation, and by different levels of PTH before transplantation are shown in Fig. 1.\n\nTable 4Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Quartiles of PTH at time of transplantation pmol/L 157 (26)14 (25)2.01 (0.81–4.99)2.63 (1.04–6.67) 255 (24)13 (24)1.94 (0.78–4.87)2.02 (0.80–5.12) 357 (26)7 (12)1.001.00 453 (24)12 (23)1.85 (0.73–4.70)2.12 (0.81–5.57)Age1.05 (1.02–1.08)1.04 (1.01–1.08)Gender Male157 (71)35 (22)1.001.00 Female65 (29)12 (18)0.82 (0.43–1.58)1.08 (0.52–2.25)Years in dialysis before transplantation1.16 (1.04–1.30)1.15 (1.00-1.31)History of CVD No168 (76)21 (40)1.001.00 Yes54 (24)26 (15)3.27 (1.84–5.82)1.97 (1.02–3.80)Diabetes No161 (72)25 (40)1.001.00 Yes61 (28)22 (13)3.40 (1.92–6.04)2.57 (1.36–4.83)Body Mass Index at time of transplantation kg/m21.01 (9.94–1.08)0.96 (0.89–1.04)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease\n\nHazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222)\nPTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease\n\nFig. 1Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36)\n\nKaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36)\nHazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 4. The lowest quartile of PTH showed an increased risk of vascular events with a hazard ratio (95% CI) of 2.63 (1.04–6.67) compared to reference. Age at the time of transplantation, a history of cardiovascular disease, and diabetes at the time of transplantation were all associated with outcome. When adjusting for levels of uric acid before transplantation or treatment with alfacalcidol or cholecalciferol after transplantation, the confidence intervals were wider, but hazard ratios for cardiovascular events in quartiles of PTH were similar (data not shown). Hazard ratios (95% CI) of overall mortality across strata of pre-transplant PTH did not differ significantly to reference values in the full adjusted Cox regression model and were 1.47 (0.41–5.33) in quartile 1, 1.26 (0.38–4.15) in quartile 2 and 1.47 (0.42–5.16) in quartile 4 using quartile 3 as a reference. Only a history of CVD remained significantly associated with overall mortality in the full model with a hazard ratio (95% CI) of 4.36 (1.73–10.99) compared to patients with no history of CVD. Quartiles of pre-transplant PTH were not associated with graft failure in the same Cox regression model. Hazard ratios (95% CI) were 0.66 (0.15–2.79) in quartile 1, 1.22 (0.36–4.10) in quartile 2 and 1.77 (0.59–5.32) in quartile 4 using quartile 3 as a reference. Only years in dialysis before transplantation remained significantly associated with graft failure in the full model with a hazard ratio (95% CI) of 1.21 (1.03–1.42) for each extra year spent in dialysis before transplantation. Kaplan–Meier curves depicting cardiovascular event free survival compared by gender, PTX or not before transplantation, and by different levels of PTH before transplantation are shown in Fig. 1.\n\nTable 4Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Quartiles of PTH at time of transplantation pmol/L 157 (26)14 (25)2.01 (0.81–4.99)2.63 (1.04–6.67) 255 (24)13 (24)1.94 (0.78–4.87)2.02 (0.80–5.12) 357 (26)7 (12)1.001.00 453 (24)12 (23)1.85 (0.73–4.70)2.12 (0.81–5.57)Age1.05 (1.02–1.08)1.04 (1.01–1.08)Gender Male157 (71)35 (22)1.001.00 Female65 (29)12 (18)0.82 (0.43–1.58)1.08 (0.52–2.25)Years in dialysis before transplantation1.16 (1.04–1.30)1.15 (1.00-1.31)History of CVD No168 (76)21 (40)1.001.00 Yes54 (24)26 (15)3.27 (1.84–5.82)1.97 (1.02–3.80)Diabetes No161 (72)25 (40)1.001.00 Yes61 (28)22 (13)3.40 (1.92–6.04)2.57 (1.36–4.83)Body Mass Index at time of transplantation kg/m21.01 (9.94–1.08)0.96 (0.89–1.04)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease\n\nHazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222)\nPTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease\n\nFig. 1Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36)\n\nKaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36)\n Outcome in renal transplant recipients with PTX before transplantation Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 5. In patients with pre-transplant PTX, the group below median of PTH had a higher risk of vascular disease with an adjusted hazard ratio (95% CI) of 18.15 (1.62–203.82) compared to patients above the median of PTH. A history of CVD was associated with incident vascular events, but pre-transplant diabetes was not. There were too few events to obtain any statistics on overall mortality or graft failures in patients with a pre-transplant PTX, which is why this has not been done.\n\nTable 5Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Below and above PTH 6.6 pmol/L Below18 (50)7 (39)11.51 (1.40-94.33)18.15 (1.62-203.82) Above18 (50)4 (22)1.001.00Age1.10 (1.01–1.19)1.09 (1.00-1.17)Gender Male21 (58)5 (24)1.001.00 Female15 (42)3 (20)0.77 (0.18–3.24)0.41 (0.06–2.78)Years in dialysis before transplantation0.97 (0.83–1.15)0.88 (0.75–1.04)History of CVD No29 (81)6 (21)1.001.00 Yes7 (19)2 (29)1.25 (0.25–6.19)1.18 (1.10–13.47)Diabetes No22 (61)6 (23)1.001.00 Yes14 (39)2 (20)0.73 (0.15–3.64)0.29 (0.02–3.72)BMI at time of transplantation kg/m20.92 (0.76–1.12)0.80 (0.60–1.08)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index\n\nHazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36)\nPTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index\nHazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 5. In patients with pre-transplant PTX, the group below median of PTH had a higher risk of vascular disease with an adjusted hazard ratio (95% CI) of 18.15 (1.62–203.82) compared to patients above the median of PTH. A history of CVD was associated with incident vascular events, but pre-transplant diabetes was not. There were too few events to obtain any statistics on overall mortality or graft failures in patients with a pre-transplant PTX, which is why this has not been done.\n\nTable 5Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Below and above PTH 6.6 pmol/L Below18 (50)7 (39)11.51 (1.40-94.33)18.15 (1.62-203.82) Above18 (50)4 (22)1.001.00Age1.10 (1.01–1.19)1.09 (1.00-1.17)Gender Male21 (58)5 (24)1.001.00 Female15 (42)3 (20)0.77 (0.18–3.24)0.41 (0.06–2.78)Years in dialysis before transplantation0.97 (0.83–1.15)0.88 (0.75–1.04)History of CVD No29 (81)6 (21)1.001.00 Yes7 (19)2 (29)1.25 (0.25–6.19)1.18 (1.10–13.47)Diabetes No22 (61)6 (23)1.001.00 Yes14 (39)2 (20)0.73 (0.15–3.64)0.29 (0.02–3.72)BMI at time of transplantation kg/m20.92 (0.76–1.12)0.80 (0.60–1.08)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index\n\nHazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36)\nPTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index", "Levels of PTH, phosphate, calcium, and eGFR at start, 2, 4, and 6 years after transplantation in strata are described in Table 2. PTH decreased from preoperative values to 2 years after transplantation but remained fairly stable beyond year 2 through follow-up in non-PTX groups. Levels of albumin-corrected calcium were higher in groups with higher PTH in non-PTX patients through follow-up. Levels of uric acid differed significantly between groups of non-PTX patients. Patients in the highest quartile of PTH had higher uric acid levels compared to patients in the lower quartiles of PTH. In PTX patients, PTH levels were stable after transplantation and levels of albumin-corrected calcium were lower in the group with lower PTH at the start, 2 and 4 years after transplantation. In the same group, phosphate was higher at 2, 4, and 6 years compared to patients with PTH above median. Pre-transplant levels of CRP, albumin, and BMI did not differ between groups (Table 1). There were no significant differences between levels of plasma lipids before transplantation.\n\nTable 2Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)FactorNo PTX (n = 222)PTX (n = 36)PTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valueaPTH below medianPTH above medianp valuebp-PTH median, IQR (pmol/L) Start6.5 (4.7–8.5)12.4 (10.7–14.2)21.0 (18.6–24.1)44.0 (31.2–68.1)< 0.0011.5 (0.7–3.8)14.0 (9.4–18.0)< 0.001 2 years7.0 (5.6–9.8)10.2 (6.8–13.0)11.0 (7.8–18.8)14.6 (8.8–20.9)< 0.0012.1 (0.7–4.6)8.4 (5.1–13.4)< 0.001 4 years7.1 (4.9–10.3)10.0 (6.7–14.8)11.2 (7.6–18.8)14.3 (9.3–21.2)< 0.0012.2 (0.8-4.0)9.6 (7.2–14.0)< 0.001 6 years7.5 (5.6–12.7)10.8 (8.3–14.7)13.4 (8.1–18.1)14.0 (10.0-19.1)0.0011.9 (0.9–4.4)8.3 (6.1–13.3)< 0.001p-Calcium adjusted for albumin median, IQR (mmol/L) Start2.56 (2.44–2.67)2.48 (2.38–2.65)2.54 (2.38–2.70)2.52 (2.39–2.76)0.7942.47 (2.20–2.58)2.47 (2.26–2.65)0.410 2 years2.38 (2.34–2.51)2.46 (2.37–2.55)2.47 (2.39–2.55)2.46 (2.39–2.58)0.0032.22 (2.07–2.32)2.40 (2.34–2.58)0.002 4 years2.38 (2.31–2.46)2.44 (2.41–2.55)2.47 (2.37–2.62)2.54 (2.39–2.63)0.0012.31 (2.19–2.40)2.39 (2.21–2.54)0.222 6 years2.39 (2.34–2.50)2.45 (2.37–2.50)2.45 (2.35–2.54)2.48 (2.41–2.54)0.1162.22 (2.03–2.30)2.38 (2.27–2.47)0.057p-Phosphate median, IQR (mmol/L) Start1.54 (1.11–1.89)1.64 (1.20–2.05)1.50 (1.11-2.00)2.05 (1.56–2.30)< 0.0011.41 (1.00–2.00)1.50 (1.10–1.98)0.895 2 years1.03 (0.95–1.20)0.95 (0.81–1.10)0.98 (0.88–1.10)0.90 (0.78–1.10)0.0071.20 (1.10–1.49)1.03 (0.89–1.17)0.002 4 years1.07 (0.87–1.16)1.00 (0.90–1.10)0.99 (0.88–1.10)0.91 (0.76–1.05)0.0141.32 (0.94–1.48)0.99 (0.83–1.21)0.036 6 years1.00 (0.90–1.20)1.00 (0.89–1.19)0.96 (0.85–1.10)0.94 (0.81–1.13)0.1741.25 (1.10–1.72)0.95 (0.83–1.14)0.003eGFR median, IQR (ml/min/1.73 m2) Start8 (7–10)8 (6–10)9 (7–11)8 (6–10)0.3148 (6–10)8 (6–9)0.950 2 years66 (56–80)61 (35–80)59 (34–77)56 (32–82)0.42356 (32–67)63 (47–78)0.181 4 years65 (48–81)61 (42–83)62 (35–83)51 (31–81)0.26257 (36–71)64 (37–76)0.397 6 years69 (43–87)58 (29–77)62 (30–73)53 (30–77)0.26959 (35–75)71 (35–85)0.376PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile rangeaKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTXbMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX\n\nSix-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)\nPTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile range\naKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTX\nbMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX", "The number of patients treated with PTX and calcimimeticum after transplantation was numerically but not significantly higher in the non-PTX transplanted patients during the 6 years of follow-up. In the group of patients who underwent PTX before transplantation, two out of 18 were treated with calcimimeticum after transplantation. Treatment with alfacalcidol was more common in patients in the higher quartiles of pre-transplant PTH and treatment with cholecalciferol was more common in patients with lower quartiles of pre-transplant PTH. All post-transplant sHPT treatments are summarized in Table 3.\n\nTable 3Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)No PTX before transplantationPTX before transplantationFactorPTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valuePTH Below medianPTH Above medianp valuePTX Yes1 (2)0 (0)3 (5)5 (9)0.0870 (0)0 (0)n.aCalcimimetics Yes0 (0)5 (9)6 (11)6 (11)0.0640 (0)2 (11)0.146Alfacalcidol Yes16 (29)20 (39)27 (50)30 (61)0.0079 (60)7 (39)0.227Cholecalciferol Yes29 (53)21 (40)18 (33)8 (16)0.0016 (40)10 (56)0.373Phosphate binders Yes2 (4)2 (4)1 (2)2 (4)0.9192 (11)1 (6)0.546Calcium supplements Yes34 (62)28 (54)22 (41)20 (41)0.07615 (100)13 (72)0.027Hypercalcemia year 1 Yes13 (25)22 (44)24 (45)33 (65)0.00112 (80)8 (50)0.081 No40 (75)28 (56)29 (55)18 (35)3 (20)8 (50)Hypercalcemia year 3 Yes6 (13)17 (37)12 (25)21 (48)0.0023 (23)3 (20)0.843 No40 (87)29 (63)36 (75)23 (52)10 (77)12 (80)Hypercalcemia year 6 Yes10 (23)9 (23)15 (35)14 (37)0.3192 (17)3 (21)0.759 No34 (77)31 (78)28 (65)29 (63)10 (83)11 (79)\n\nPost-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)", "Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 4. The lowest quartile of PTH showed an increased risk of vascular events with a hazard ratio (95% CI) of 2.63 (1.04–6.67) compared to reference. Age at the time of transplantation, a history of cardiovascular disease, and diabetes at the time of transplantation were all associated with outcome. When adjusting for levels of uric acid before transplantation or treatment with alfacalcidol or cholecalciferol after transplantation, the confidence intervals were wider, but hazard ratios for cardiovascular events in quartiles of PTH were similar (data not shown). Hazard ratios (95% CI) of overall mortality across strata of pre-transplant PTH did not differ significantly to reference values in the full adjusted Cox regression model and were 1.47 (0.41–5.33) in quartile 1, 1.26 (0.38–4.15) in quartile 2 and 1.47 (0.42–5.16) in quartile 4 using quartile 3 as a reference. Only a history of CVD remained significantly associated with overall mortality in the full model with a hazard ratio (95% CI) of 4.36 (1.73–10.99) compared to patients with no history of CVD. Quartiles of pre-transplant PTH were not associated with graft failure in the same Cox regression model. Hazard ratios (95% CI) were 0.66 (0.15–2.79) in quartile 1, 1.22 (0.36–4.10) in quartile 2 and 1.77 (0.59–5.32) in quartile 4 using quartile 3 as a reference. Only years in dialysis before transplantation remained significantly associated with graft failure in the full model with a hazard ratio (95% CI) of 1.21 (1.03–1.42) for each extra year spent in dialysis before transplantation. Kaplan–Meier curves depicting cardiovascular event free survival compared by gender, PTX or not before transplantation, and by different levels of PTH before transplantation are shown in Fig. 1.\n\nTable 4Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Quartiles of PTH at time of transplantation pmol/L 157 (26)14 (25)2.01 (0.81–4.99)2.63 (1.04–6.67) 255 (24)13 (24)1.94 (0.78–4.87)2.02 (0.80–5.12) 357 (26)7 (12)1.001.00 453 (24)12 (23)1.85 (0.73–4.70)2.12 (0.81–5.57)Age1.05 (1.02–1.08)1.04 (1.01–1.08)Gender Male157 (71)35 (22)1.001.00 Female65 (29)12 (18)0.82 (0.43–1.58)1.08 (0.52–2.25)Years in dialysis before transplantation1.16 (1.04–1.30)1.15 (1.00-1.31)History of CVD No168 (76)21 (40)1.001.00 Yes54 (24)26 (15)3.27 (1.84–5.82)1.97 (1.02–3.80)Diabetes No161 (72)25 (40)1.001.00 Yes61 (28)22 (13)3.40 (1.92–6.04)2.57 (1.36–4.83)Body Mass Index at time of transplantation kg/m21.01 (9.94–1.08)0.96 (0.89–1.04)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease\n\nHazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222)\nPTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease\n\nFig. 1Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36)\n\nKaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36)", "Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 5. In patients with pre-transplant PTX, the group below median of PTH had a higher risk of vascular disease with an adjusted hazard ratio (95% CI) of 18.15 (1.62–203.82) compared to patients above the median of PTH. A history of CVD was associated with incident vascular events, but pre-transplant diabetes was not. There were too few events to obtain any statistics on overall mortality or graft failures in patients with a pre-transplant PTX, which is why this has not been done.\n\nTable 5Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Below and above PTH 6.6 pmol/L Below18 (50)7 (39)11.51 (1.40-94.33)18.15 (1.62-203.82) Above18 (50)4 (22)1.001.00Age1.10 (1.01–1.19)1.09 (1.00-1.17)Gender Male21 (58)5 (24)1.001.00 Female15 (42)3 (20)0.77 (0.18–3.24)0.41 (0.06–2.78)Years in dialysis before transplantation0.97 (0.83–1.15)0.88 (0.75–1.04)History of CVD No29 (81)6 (21)1.001.00 Yes7 (19)2 (29)1.25 (0.25–6.19)1.18 (1.10–13.47)Diabetes No22 (61)6 (23)1.001.00 Yes14 (39)2 (20)0.73 (0.15–3.64)0.29 (0.02–3.72)BMI at time of transplantation kg/m20.92 (0.76–1.12)0.80 (0.60–1.08)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index\n\nHazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36)\nPTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index", "In this observational study our main findings were that low PTH at the time of transplantation was associated with a higher risk of post-transplant cardiovascular events. Surprisingly, patients in the highest quartile of p-PTH before renal transplantation did not seem to suffer higher risk of cardiovascular events, mortality or graft failure during 6 years of follow-up. This is contrary to a large study in patients in dialysis [6], where high PTH was associated with higher risk of mortality and cardiovascular-related hospitalization. That study differs from the present study in that it did not include patients with a renal transplant. Furthermore, the higher risk for cardiovascular hospitalization was only seen in patients with PTH above 600 pg/mL (approximately 63.7 pmol/L) in that study, which is above the levels of the highest quartile in our study, making comparisons between studies difficult. Data on pre-transplant PTH and post-transplant outcomes are scarce but Roodnat et. al. [15] found a significant positive correlation between pre-transplant levels of PTH and graft failure. We found no such association; during 6 years of follow-up, GFR levels tended to be stable in all PTH groups. There are studies on post-transplant PTH levels and cardiovascular risk. Marcen et al. [16] performed a study on 331 renal transplant recipients followed for 7 years and found no correlation between PTH at 1 month post-transplantation and cardiovascular events. Similarly, Pihlstrom et al. [10] studied a large cohort of renal transplant recipients (n = 1840) for a mean of 7 years and found no correlation between post-transplant PTH and CVD. Bleskestad et al. [17] studied 438 renal transplant recipients with preserved graft function and found an increased risk of a combined endpoint of CVD, graft failure, and death correlated with quartiles of 10 week post-RT PTH. The risk of CVD exclusively is not reported in the study. However, the patients in our study with the highest risk of vascular disease after transplantation had PTH levels at the time of transplantation below 9.5 pmol/L (no PTX pre-transplantation) and 6.6 pmol/L (PTX pre-transplantation), which is markedly low. The median level of PTH in patients with pre-transplant PTX was 1.5 pmol/L. Prior studies in patients with ongoing dialysis show that PTH levels below 65 pg/mL (approximately 6.9 pmol/L) can predict mortality and vascular outcomes [4, 5, 18] which corresponds to our findings. For patients on dialysis, the higher risk of mortality and vascular outcomes in patients with low levels of PTH has been explained by older age, malnutrition, and poor protein intake [4]. Lee et al. found that patients on dialysis with PTH levels below 65 pg/mL had a higher risk of vascular events and mortality compared to patients with PTH above 65 pg/mL and suggested that this was driven by vascular calcifications. This was supported by a higher progression rate of aortic arch calcification scores in the group with low PTH [5]. In our study, patients with low PTH were not of older age and indirect measures of malnutrition such as levels of albumin and BMI did not differ between groups. Another possible explanation for the higher risk of vascular disease in patients with low PTH is post-transplant bone disease [19]. Bone biopsies early after renal transplantation show reduced activity of osteoblasts [20] and patients with low PTH pre-transplant show lower post-transplant osteoblastic activity [21]. This reduced cellularity and low bone turnover can develop into an adynamic state of the bone which diminishes the ability of the bone to buffer elevations in blood levels of phosphorus and calcium, which in turn leads to calcifications of soft tissue and vessels [22] and thereby a higher risk of vascular morbidity. Hypercalcemia was more frequent in the groups with higher PTH and no pre-transplant PTX during follow-up. This is probably caused by PTH mediated calcium release from the skeleton [23].\nDistribution of traditional cardiovascular risk factors such as hypertension, smoking and lipid status before transplantation did not differ between groups. Low and high levels of uric acid have been associated with cardiovascular disease and mortality in dialysis patients [24], and in our study, levels of uric acid were significantly higher in the highest quartile of PTH, but did not differ between quartiles 1, 2, and 3. Adjusting for levels of uric acid did not alter the association between PTH and cardiovascular disease why this cannot explain the high risk of CVD in the lowest quartile of PTH.\nTreatment for post-transplant sHPT differed between groups. Patients with no pre-transplant PTX with higher PTH were more often treated with active vitamin D (alfacalcidol). This may have influenced the results, since treatment with active vitamin D has been associated with reduced mortality in dialysis patients [25]. Patients with no pre-transplant PTX with lower levels of PTH received more cholecalciferol compared to patients with higher PTH. Patients with higher PTH might not have been given cholecalciferol, since cholecalciferol treatments were combined with calcium supplements in most cases and patients with higher PTH had higher calcium levels during follow-up. However, including either alfacalcidol or cholecalciferol treatment after transplantation did not affect hazard ratios for cardiovascular disease between quartiles of PTH.\nThe immunosuppressive treatment protocols at the institutions in the present study have undergone only minor changes since 2003–2005, mainly with reduction of steroid dose. We deem it unlikely that the hyperparathyroid state has been affected by this change.\nOur findings that patients with a pre-transplant PTX and low pre-transplant levels of PTH suffer from an increased risk of post-transplant vascular disease is of clinical importance, especially since there is an ongoing debate about whether to perform PTX before or after transplantation [26].", "Patient numbers were relatively small, which could influence the results. However, we included two centers in Sweden, which hopefully makes the results more accurate for the overall Swedish population of renal transplant recipients. Levels of PTH were analyzed with two different techniques (40 patients had their PTH levels analyzed with Immulite 2000). This is a methodological problem that is hard to assess in the setting of a multicenter observational study and it can potentially influence the results. We made efforts to correct the issue, which is shown in our methods. Patients were selected during 2003–2005 and outcomes in renal transplant patients might differ from today why this must be taken into consideration when interpreting the results. Our study is a retrospective analysis and consequently burdened with some possible sources of bias.", "Low (less than 6.9 pmol/L) levels of parathyroid hormone before transplantation were associated with a higher risk of post-transplant vascular events both in patients with and without pre-transplant parathyroidectomy. Any conclusions on causal or direct effect of PTH on outcome cannot be drawn from this observational study." ]
[ "introduction", null, null, null, null, null, "results", null, null, null, null, "discussion", null, "conclusion" ]
[ "Secondary hyperparathyroidism", "Renal transplantation", "Parathyroid hormone", "Cardiovascular disease" ]
Introduction: Secondary hyperparathyroidism (sHPT) is common in chronic kidney disease and is associated with bone disease and vascular calcifications [1]. In spite of improved medical treatment for sHPT, surgical treatment with parathyroidectomy (PTX) is still often necessary [2]. In sHPT, the mineral metabolism is disturbed and many factors contribute to the associated morbidity. Levels of parathyroid hormone (PTH) are mainly used to grade the extent of sHPT and both high and low PTH have been associated with cardiovascular disease (CVD) in patients on maintenance dialysis [3–6]. Renal transplantation improves many of the underlying causes of sHPT and levels of PTH decrease after transplantation, even though sHPT persists in the majority of renal transplant recipients over the short as well as long term [7, 8]. Recent studies have shown no association between post-transplant PTH and risk of vascular events [9], but have shown an association with graft failure and mortality [10]. Data on pre-transplant PTH and outcomes are limited and few studies report whether patients have been treated with PTX before transplantation or not, which may influence the results. When evaluating patients for renal transplantation, the PTH level is one of many important parameters to include as sHPT can influence patient and graft survival. No upper PTH limit for renal transplantation has been defined, but hypercalcemia is generally not accepted. Our intention was to describe the relation between pre-transplant plasma PTH and long-term risk of incident cardiovascular disease after renal transplantation in patients with and without pre-transplant PTX. Subjects and methods: Patient selection We performed a retrospective study of patients above 18 years of age who underwent renal transplantation at Skåne University Hospital and Karolinska University Hospital between 1 January 2003 and 31 December 2005. The regional ethical review board approved the study on the condition that patients alive at follow-up (1st of February 2011) gave informed, written, consent. We performed a retrospective study of patients above 18 years of age who underwent renal transplantation at Skåne University Hospital and Karolinska University Hospital between 1 January 2003 and 31 December 2005. The regional ethical review board approved the study on the condition that patients alive at follow-up (1st of February 2011) gave informed, written, consent. Search of medical records We manually searched patients’ medical records using a pre-specified form. We defined the baseline as the date of transplantation and the endpoint as 6 year post-transplantation, death or graft failure, whichever occurred first. Demographic data and years on dialysis treatment were obtained as well as any history of parathyroidectomy (PTX), ongoing treatment with calcimimetics, diabetes, prevalent cardiovascular disease, treatment of hypertension, hyperlipidemia, and hyperuricemia was noted as well as any history of smoking and type of graft: from living donor or deceased donor. During the observation period, any new, incident vascular event (myocardial infarction, coronary revascularization procedure, cerebral infarction, transient ischemic attack, peripheral vessel revascularization, amputation, or death from cardiovascular disease) was noted from medical records. Only the first vascular event was recorded. Immunosuppressive treatment was noted as well as all treatment of mineral metabolism such as calcimimetics, vitamin D, calcium supplements, phosphate binders, and parathyroidectomy after transplantation. We manually searched patients’ medical records using a pre-specified form. We defined the baseline as the date of transplantation and the endpoint as 6 year post-transplantation, death or graft failure, whichever occurred first. Demographic data and years on dialysis treatment were obtained as well as any history of parathyroidectomy (PTX), ongoing treatment with calcimimetics, diabetes, prevalent cardiovascular disease, treatment of hypertension, hyperlipidemia, and hyperuricemia was noted as well as any history of smoking and type of graft: from living donor or deceased donor. During the observation period, any new, incident vascular event (myocardial infarction, coronary revascularization procedure, cerebral infarction, transient ischemic attack, peripheral vessel revascularization, amputation, or death from cardiovascular disease) was noted from medical records. Only the first vascular event was recorded. Immunosuppressive treatment was noted as well as all treatment of mineral metabolism such as calcimimetics, vitamin D, calcium supplements, phosphate binders, and parathyroidectomy after transplantation. Laboratory analyses Laboratory data of PTH, phosphate, creatinine, calcium, albumin, triglycerides, low-density lipoprotein (LDL), high-density lipoprotein (HDL), uric acid, and C-reactive protein (CRP) were collected prior to the date of transplantation. PTH, phosphate, creatinine, calcium, and albumin were thereafter collected yearly after transplantation. Plasma phosphate (normal range 0.7–1.5 mmol/L), calcium (normal range 2.15–2.50 mmol/L), albumin (normal range 18–40 years 36–48 g/L, 41–70 years 36–45 g/L), creatinine (normal range 45–90 µmol/L female, 60–105 µmol/L male), LDL mmol/L (normal range 1.4–4.7 mmol/L), HDL mmol/L (normal range female 1.0-2.7 male 0.8–2.1 mmol/L), triglycerides mmol/L (normal range 0.4–2.6 mmol/L), uric acid µmol/L (normal range female 155–350, male 230–480 µmol/L), and CRP mg/L (normal range < 3 mg/L) were determined using routine methods. Albumin-corrected calcium was calculated by the following formula Ca-corr = P − Ca + (0.02 × (40 − P-albumin)). Levels of PTH (normal range 1.6–6.9 pmol/L) were determined by a two-site chemiluminescent immunometric assay and were analyzed either using Cobas e411/Elecsys, Roche or Immulite 2000, Siemens. Since the different PTH assays were not entirely comparable, we used an adjusting formula (Cobas = 0.7439 × Immulite + 0.7351) defined at the Department of Clinical Chemistry at Skane University Hospital. The glomerular filtration rate was estimated by a creatinine-based equation (Lund–Malmö glomerular filtration rate prediction equation without body weight measure) [11] and results given as mL/min/1.73 m2. Plasma creatinine assays employed calibration traceable to a common reference material and a zero-point calibrator, both issued as part of the NORIP project [12, 13]. Length and weight were obtained at the time of discharge from the transplantation unit and we calculated body mass index (BMI) by the following formula: weight (kg)/(length (m))2. Laboratory data of PTH, phosphate, creatinine, calcium, albumin, triglycerides, low-density lipoprotein (LDL), high-density lipoprotein (HDL), uric acid, and C-reactive protein (CRP) were collected prior to the date of transplantation. PTH, phosphate, creatinine, calcium, and albumin were thereafter collected yearly after transplantation. Plasma phosphate (normal range 0.7–1.5 mmol/L), calcium (normal range 2.15–2.50 mmol/L), albumin (normal range 18–40 years 36–48 g/L, 41–70 years 36–45 g/L), creatinine (normal range 45–90 µmol/L female, 60–105 µmol/L male), LDL mmol/L (normal range 1.4–4.7 mmol/L), HDL mmol/L (normal range female 1.0-2.7 male 0.8–2.1 mmol/L), triglycerides mmol/L (normal range 0.4–2.6 mmol/L), uric acid µmol/L (normal range female 155–350, male 230–480 µmol/L), and CRP mg/L (normal range < 3 mg/L) were determined using routine methods. Albumin-corrected calcium was calculated by the following formula Ca-corr = P − Ca + (0.02 × (40 − P-albumin)). Levels of PTH (normal range 1.6–6.9 pmol/L) were determined by a two-site chemiluminescent immunometric assay and were analyzed either using Cobas e411/Elecsys, Roche or Immulite 2000, Siemens. Since the different PTH assays were not entirely comparable, we used an adjusting formula (Cobas = 0.7439 × Immulite + 0.7351) defined at the Department of Clinical Chemistry at Skane University Hospital. The glomerular filtration rate was estimated by a creatinine-based equation (Lund–Malmö glomerular filtration rate prediction equation without body weight measure) [11] and results given as mL/min/1.73 m2. Plasma creatinine assays employed calibration traceable to a common reference material and a zero-point calibrator, both issued as part of the NORIP project [12, 13]. Length and weight were obtained at the time of discharge from the transplantation unit and we calculated body mass index (BMI) by the following formula: weight (kg)/(length (m))2. Statistical analyses We divided the patients into two groups: patients with no pre-transplant PTX and patients with pre-transplant PTX. Patients with no PTX were stratified by quartiles of PTH levels at the time of transplantation. Due to a small patient number, patients with PTX were stratified above and below median PTH levels at the time of transplantation. Differences in laboratory values between groups were calculated using a Kruskal–Wallis test or a Mann–Whitney test where appropriate. Cardiovascular event free survival was estimated by Kaplan–Meier curves. Cox’s regression models were applied to evaluate the risk for cardiovascular events, using quartile 3 of PTH as the reference category in non-PTX patients and above median as the reference category in PTX patients. Adjustments were made for the following factors: age, gender, diabetes, a history of CVD, BMI at time of transplantation, and years on dialysis before transplantation. These factors have been shown to predict vascular morbidity and death in renal transplant recipients [14]. Gender, diabetes, and a history of CVD were adjusted as categorical variables using male gender, no diabetes, and no history of cardiovascular disease as reference categories. The same model was used to calculate hazard ratios for mortality and graft failure in non-PTX patients. As a sensitivity analysis, we further adjusted for levels of uric acid (continuous), treatment with alfacalcidol after transplantation (categorical), and treatment with cholecalciferol after transplantation (categorical), in addition to the original model. In the Cox model, patients were followed for 6 years (starting at the date of RT). Patients were censored when an event occurred, at graft failure, or at death, whichever occurred first. All statistical analyses were performed using SPSS 22.0 (SPSS Inc., Chicago, Ill., USA). Statistical significance was considered with a p value of < 0.05. We divided the patients into two groups: patients with no pre-transplant PTX and patients with pre-transplant PTX. Patients with no PTX were stratified by quartiles of PTH levels at the time of transplantation. Due to a small patient number, patients with PTX were stratified above and below median PTH levels at the time of transplantation. Differences in laboratory values between groups were calculated using a Kruskal–Wallis test or a Mann–Whitney test where appropriate. Cardiovascular event free survival was estimated by Kaplan–Meier curves. Cox’s regression models were applied to evaluate the risk for cardiovascular events, using quartile 3 of PTH as the reference category in non-PTX patients and above median as the reference category in PTX patients. Adjustments were made for the following factors: age, gender, diabetes, a history of CVD, BMI at time of transplantation, and years on dialysis before transplantation. These factors have been shown to predict vascular morbidity and death in renal transplant recipients [14]. Gender, diabetes, and a history of CVD were adjusted as categorical variables using male gender, no diabetes, and no history of cardiovascular disease as reference categories. The same model was used to calculate hazard ratios for mortality and graft failure in non-PTX patients. As a sensitivity analysis, we further adjusted for levels of uric acid (continuous), treatment with alfacalcidol after transplantation (categorical), and treatment with cholecalciferol after transplantation (categorical), in addition to the original model. In the Cox model, patients were followed for 6 years (starting at the date of RT). Patients were censored when an event occurred, at graft failure, or at death, whichever occurred first. All statistical analyses were performed using SPSS 22.0 (SPSS Inc., Chicago, Ill., USA). Statistical significance was considered with a p value of < 0.05. Patient selection: We performed a retrospective study of patients above 18 years of age who underwent renal transplantation at Skåne University Hospital and Karolinska University Hospital between 1 January 2003 and 31 December 2005. The regional ethical review board approved the study on the condition that patients alive at follow-up (1st of February 2011) gave informed, written, consent. Search of medical records: We manually searched patients’ medical records using a pre-specified form. We defined the baseline as the date of transplantation and the endpoint as 6 year post-transplantation, death or graft failure, whichever occurred first. Demographic data and years on dialysis treatment were obtained as well as any history of parathyroidectomy (PTX), ongoing treatment with calcimimetics, diabetes, prevalent cardiovascular disease, treatment of hypertension, hyperlipidemia, and hyperuricemia was noted as well as any history of smoking and type of graft: from living donor or deceased donor. During the observation period, any new, incident vascular event (myocardial infarction, coronary revascularization procedure, cerebral infarction, transient ischemic attack, peripheral vessel revascularization, amputation, or death from cardiovascular disease) was noted from medical records. Only the first vascular event was recorded. Immunosuppressive treatment was noted as well as all treatment of mineral metabolism such as calcimimetics, vitamin D, calcium supplements, phosphate binders, and parathyroidectomy after transplantation. Laboratory analyses: Laboratory data of PTH, phosphate, creatinine, calcium, albumin, triglycerides, low-density lipoprotein (LDL), high-density lipoprotein (HDL), uric acid, and C-reactive protein (CRP) were collected prior to the date of transplantation. PTH, phosphate, creatinine, calcium, and albumin were thereafter collected yearly after transplantation. Plasma phosphate (normal range 0.7–1.5 mmol/L), calcium (normal range 2.15–2.50 mmol/L), albumin (normal range 18–40 years 36–48 g/L, 41–70 years 36–45 g/L), creatinine (normal range 45–90 µmol/L female, 60–105 µmol/L male), LDL mmol/L (normal range 1.4–4.7 mmol/L), HDL mmol/L (normal range female 1.0-2.7 male 0.8–2.1 mmol/L), triglycerides mmol/L (normal range 0.4–2.6 mmol/L), uric acid µmol/L (normal range female 155–350, male 230–480 µmol/L), and CRP mg/L (normal range < 3 mg/L) were determined using routine methods. Albumin-corrected calcium was calculated by the following formula Ca-corr = P − Ca + (0.02 × (40 − P-albumin)). Levels of PTH (normal range 1.6–6.9 pmol/L) were determined by a two-site chemiluminescent immunometric assay and were analyzed either using Cobas e411/Elecsys, Roche or Immulite 2000, Siemens. Since the different PTH assays were not entirely comparable, we used an adjusting formula (Cobas = 0.7439 × Immulite + 0.7351) defined at the Department of Clinical Chemistry at Skane University Hospital. The glomerular filtration rate was estimated by a creatinine-based equation (Lund–Malmö glomerular filtration rate prediction equation without body weight measure) [11] and results given as mL/min/1.73 m2. Plasma creatinine assays employed calibration traceable to a common reference material and a zero-point calibrator, both issued as part of the NORIP project [12, 13]. Length and weight were obtained at the time of discharge from the transplantation unit and we calculated body mass index (BMI) by the following formula: weight (kg)/(length (m))2. Statistical analyses: We divided the patients into two groups: patients with no pre-transplant PTX and patients with pre-transplant PTX. Patients with no PTX were stratified by quartiles of PTH levels at the time of transplantation. Due to a small patient number, patients with PTX were stratified above and below median PTH levels at the time of transplantation. Differences in laboratory values between groups were calculated using a Kruskal–Wallis test or a Mann–Whitney test where appropriate. Cardiovascular event free survival was estimated by Kaplan–Meier curves. Cox’s regression models were applied to evaluate the risk for cardiovascular events, using quartile 3 of PTH as the reference category in non-PTX patients and above median as the reference category in PTX patients. Adjustments were made for the following factors: age, gender, diabetes, a history of CVD, BMI at time of transplantation, and years on dialysis before transplantation. These factors have been shown to predict vascular morbidity and death in renal transplant recipients [14]. Gender, diabetes, and a history of CVD were adjusted as categorical variables using male gender, no diabetes, and no history of cardiovascular disease as reference categories. The same model was used to calculate hazard ratios for mortality and graft failure in non-PTX patients. As a sensitivity analysis, we further adjusted for levels of uric acid (continuous), treatment with alfacalcidol after transplantation (categorical), and treatment with cholecalciferol after transplantation (categorical), in addition to the original model. In the Cox model, patients were followed for 6 years (starting at the date of RT). Patients were censored when an event occurred, at graft failure, or at death, whichever occurred first. All statistical analyses were performed using SPSS 22.0 (SPSS Inc., Chicago, Ill., USA). Statistical significance was considered with a p value of < 0.05. Results: A total of 258 patients were included in the study, whereof 36 were parathyroidectomized before transplantation. Baseline demographic data of patients in the different groups are presented in Table 1. During the follow-up, there were a total of 55 incident vascular events. Twenty-five patients suffered from myocardial infarction, 15 from peripheral vascular events, and 15 from stroke. Overall mortality was 10% (n = 26) at the endpoint. Of these, 14 were caused by CVD, seven by malignancy, and five had other causes. The number of patients with pre-existing cardiovascular disease, a history of smoking and hypertension as well as anti-hypertensive treatment did not differ significantly between groups and the numbers are summarized Table 1. The majority of patients were treated with triple immunosuppressive treatment which consisted of prednisolone and either tacrolimus and mycophenolate mofetil (MMF) (60%), cyclosporin A and MMF (15%), or tacrolimus and azathioprin (15%). Ten percent received other immunosuppressive drugs. Median (interquartile range, IQR) follow-up for cardiovascular events was 72 (56–72) months and for graft failure and overall mortality 72 (72–72). Table 1Baseline characteristics of Swedish renal transplant recipients (n = 258) with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantationFactorNo PTX before transplantation (n = 222)PTX before transplantation (n = 36)PTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valuePTH Below medianPTH Above medianp valueGender Male44 (77)38 (69)37 (65)38 (72)0.537a10 (56)11 (61)0.735a Female13 (23)17 (31)20 (31)15 (28)8 (44)7 (39) Median age in years (range)50 (19–71)55 (31–72)52 (22–73)49 (19–70)0.046b50 (33–68)57 (18–73)0.205cOriginal kidney disease Glomerulonephritis23 (40)16 (29)19 (33)20 (38)0.486a7 (40)10 (58)0.562a Diabetes7 (12)9 (16)10 (18)6 (11)2 (11)1 (5) Vasculitis2 (4)4 (7)4 (7)3 (6)1 (5)2 (11) Hereditary13 (23)14 (26)10 (18)8 (15)5 (28)1 (5) Congenital4 (7)0 (0)3 (5)7 (13)2 (11)2 (11) Nephrosclerosis1 (2)6 (11)5 (9)2 (4)1 (5)1 (5) Other/unknown7 (12)6 (11)6 (10)7 (13)0 (0)1 (5)Living donor graft29 (51)19 (35)20 (35)25 (47)0.187a6 (33)5 (28)0.717aFirst transplant54 (95)51 (93)50 (88)39 (74)0.004a11 (61)9 (50)0.502aPre-TX diabetes17 (30)14 (26)17 (30)13 (24)0.883a15 (83)7 (39)0.137aYears in dialysis1.7 (0.75–3.0)2.0 (1.0–3.0)2.0 (1.0–4.0)2.5 (1.0-4.5)0.264b4.2 (1.9–7.5)4.5 (2.4–8.5)0.657cType of dialysis HD29 (51)32 (58)40 (70)35 (66)0.472a13 (78)11 (61)0.461a PD24 (42)20 (36)13 (23)12 (23)4 (22)7 (39) None4 (7)3 (6)4 (7)6 (11)1 (5)Previous CVD9 (16)17 (31)16 (18)12 (23)0.254a3 (17)4 (22)0.674aPrevious smoker16 (29)17 (31)17 (30)10 (20)0.544a6 (33)5 (28)0.717aHypertension40 (71)36 (66)40 (70)29 (57)0.378a11 (61)8 (44)0.317aHyperuricemia4 (8)5 (9)3 (6)5 (10)0.824a1 (6)4 (24)0.129aTreatment with statins22 (42)21 (40)21 (39)14 (29)0.508a9 (50)8 (47)0.862aTreatment with beta-blockers27 (52)32 (60)32 (59)27 (55)0.663a9 (50)7 (41)0.600aTreatment with ACEi or ARB’s22 (43)18 (34)22 (42)23 (47)0.592a6 (33)5 (29)0.803aTreatment with calcium channel blockers35 (67)24 (44)22 (41)16 (33)0.003a8 (44)4 (24)0.193aLaboratory measurements before transplantation Uric acid µmol/L295 (238–370)309 (235–391)352 (261–444)430 (307–492)0.009b375 (317–461)318 (257–390)0.223c CRP mg/L1 (1–3)3 (1–9)1 (1–11)1 (1–7)0.075b1 (1–4)2 (1–10)0.493cAlbumin g/L33 (31–37)33 (29–36)33 (29–37)31 (28–35)0.091b34 (27–38)33 (31–37)0.938c Body mass index kg/m224 (21–27)25 (21–27)24 (22–27)26 (22–28)0.441b25 (21–29)25 (24–27)0.988cValues are numbers (%) or medians (interquartile range) where appropriatePTX parathyroidectomy, PTH parathyroid hormone, TX transplantation, HD hemodialysis, PD peritoneal dialysis, CVD cardiovascular disease, ACEi angiotensin converting enzyme inhibitor, ARB angiotensin receptor blocker, CRP C-reactive proteinaChi2 testbKruskal–Wallis testcMann–Whitney test Baseline characteristics of Swedish renal transplant recipients (n = 258) with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation Values are numbers (%) or medians (interquartile range) where appropriate PTX parathyroidectomy, PTH parathyroid hormone, TX transplantation, HD hemodialysis, PD peritoneal dialysis, CVD cardiovascular disease, ACEi angiotensin converting enzyme inhibitor, ARB angiotensin receptor blocker, CRP C-reactive protein aChi2 test bKruskal–Wallis test cMann–Whitney test Laboratory analyses Levels of PTH, phosphate, calcium, and eGFR at start, 2, 4, and 6 years after transplantation in strata are described in Table 2. PTH decreased from preoperative values to 2 years after transplantation but remained fairly stable beyond year 2 through follow-up in non-PTX groups. Levels of albumin-corrected calcium were higher in groups with higher PTH in non-PTX patients through follow-up. Levels of uric acid differed significantly between groups of non-PTX patients. Patients in the highest quartile of PTH had higher uric acid levels compared to patients in the lower quartiles of PTH. In PTX patients, PTH levels were stable after transplantation and levels of albumin-corrected calcium were lower in the group with lower PTH at the start, 2 and 4 years after transplantation. In the same group, phosphate was higher at 2, 4, and 6 years compared to patients with PTH above median. Pre-transplant levels of CRP, albumin, and BMI did not differ between groups (Table 1). There were no significant differences between levels of plasma lipids before transplantation. Table 2Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)FactorNo PTX (n = 222)PTX (n = 36)PTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valueaPTH below medianPTH above medianp valuebp-PTH median, IQR (pmol/L) Start6.5 (4.7–8.5)12.4 (10.7–14.2)21.0 (18.6–24.1)44.0 (31.2–68.1)< 0.0011.5 (0.7–3.8)14.0 (9.4–18.0)< 0.001 2 years7.0 (5.6–9.8)10.2 (6.8–13.0)11.0 (7.8–18.8)14.6 (8.8–20.9)< 0.0012.1 (0.7–4.6)8.4 (5.1–13.4)< 0.001 4 years7.1 (4.9–10.3)10.0 (6.7–14.8)11.2 (7.6–18.8)14.3 (9.3–21.2)< 0.0012.2 (0.8-4.0)9.6 (7.2–14.0)< 0.001 6 years7.5 (5.6–12.7)10.8 (8.3–14.7)13.4 (8.1–18.1)14.0 (10.0-19.1)0.0011.9 (0.9–4.4)8.3 (6.1–13.3)< 0.001p-Calcium adjusted for albumin median, IQR (mmol/L) Start2.56 (2.44–2.67)2.48 (2.38–2.65)2.54 (2.38–2.70)2.52 (2.39–2.76)0.7942.47 (2.20–2.58)2.47 (2.26–2.65)0.410 2 years2.38 (2.34–2.51)2.46 (2.37–2.55)2.47 (2.39–2.55)2.46 (2.39–2.58)0.0032.22 (2.07–2.32)2.40 (2.34–2.58)0.002 4 years2.38 (2.31–2.46)2.44 (2.41–2.55)2.47 (2.37–2.62)2.54 (2.39–2.63)0.0012.31 (2.19–2.40)2.39 (2.21–2.54)0.222 6 years2.39 (2.34–2.50)2.45 (2.37–2.50)2.45 (2.35–2.54)2.48 (2.41–2.54)0.1162.22 (2.03–2.30)2.38 (2.27–2.47)0.057p-Phosphate median, IQR (mmol/L) Start1.54 (1.11–1.89)1.64 (1.20–2.05)1.50 (1.11-2.00)2.05 (1.56–2.30)< 0.0011.41 (1.00–2.00)1.50 (1.10–1.98)0.895 2 years1.03 (0.95–1.20)0.95 (0.81–1.10)0.98 (0.88–1.10)0.90 (0.78–1.10)0.0071.20 (1.10–1.49)1.03 (0.89–1.17)0.002 4 years1.07 (0.87–1.16)1.00 (0.90–1.10)0.99 (0.88–1.10)0.91 (0.76–1.05)0.0141.32 (0.94–1.48)0.99 (0.83–1.21)0.036 6 years1.00 (0.90–1.20)1.00 (0.89–1.19)0.96 (0.85–1.10)0.94 (0.81–1.13)0.1741.25 (1.10–1.72)0.95 (0.83–1.14)0.003eGFR median, IQR (ml/min/1.73 m2) Start8 (7–10)8 (6–10)9 (7–11)8 (6–10)0.3148 (6–10)8 (6–9)0.950 2 years66 (56–80)61 (35–80)59 (34–77)56 (32–82)0.42356 (32–67)63 (47–78)0.181 4 years65 (48–81)61 (42–83)62 (35–83)51 (31–81)0.26257 (36–71)64 (37–76)0.397 6 years69 (43–87)58 (29–77)62 (30–73)53 (30–77)0.26959 (35–75)71 (35–85)0.376PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile rangeaKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTXbMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258) PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile range aKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTX bMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX Levels of PTH, phosphate, calcium, and eGFR at start, 2, 4, and 6 years after transplantation in strata are described in Table 2. PTH decreased from preoperative values to 2 years after transplantation but remained fairly stable beyond year 2 through follow-up in non-PTX groups. Levels of albumin-corrected calcium were higher in groups with higher PTH in non-PTX patients through follow-up. Levels of uric acid differed significantly between groups of non-PTX patients. Patients in the highest quartile of PTH had higher uric acid levels compared to patients in the lower quartiles of PTH. In PTX patients, PTH levels were stable after transplantation and levels of albumin-corrected calcium were lower in the group with lower PTH at the start, 2 and 4 years after transplantation. In the same group, phosphate was higher at 2, 4, and 6 years compared to patients with PTH above median. Pre-transplant levels of CRP, albumin, and BMI did not differ between groups (Table 1). There were no significant differences between levels of plasma lipids before transplantation. Table 2Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)FactorNo PTX (n = 222)PTX (n = 36)PTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valueaPTH below medianPTH above medianp valuebp-PTH median, IQR (pmol/L) Start6.5 (4.7–8.5)12.4 (10.7–14.2)21.0 (18.6–24.1)44.0 (31.2–68.1)< 0.0011.5 (0.7–3.8)14.0 (9.4–18.0)< 0.001 2 years7.0 (5.6–9.8)10.2 (6.8–13.0)11.0 (7.8–18.8)14.6 (8.8–20.9)< 0.0012.1 (0.7–4.6)8.4 (5.1–13.4)< 0.001 4 years7.1 (4.9–10.3)10.0 (6.7–14.8)11.2 (7.6–18.8)14.3 (9.3–21.2)< 0.0012.2 (0.8-4.0)9.6 (7.2–14.0)< 0.001 6 years7.5 (5.6–12.7)10.8 (8.3–14.7)13.4 (8.1–18.1)14.0 (10.0-19.1)0.0011.9 (0.9–4.4)8.3 (6.1–13.3)< 0.001p-Calcium adjusted for albumin median, IQR (mmol/L) Start2.56 (2.44–2.67)2.48 (2.38–2.65)2.54 (2.38–2.70)2.52 (2.39–2.76)0.7942.47 (2.20–2.58)2.47 (2.26–2.65)0.410 2 years2.38 (2.34–2.51)2.46 (2.37–2.55)2.47 (2.39–2.55)2.46 (2.39–2.58)0.0032.22 (2.07–2.32)2.40 (2.34–2.58)0.002 4 years2.38 (2.31–2.46)2.44 (2.41–2.55)2.47 (2.37–2.62)2.54 (2.39–2.63)0.0012.31 (2.19–2.40)2.39 (2.21–2.54)0.222 6 years2.39 (2.34–2.50)2.45 (2.37–2.50)2.45 (2.35–2.54)2.48 (2.41–2.54)0.1162.22 (2.03–2.30)2.38 (2.27–2.47)0.057p-Phosphate median, IQR (mmol/L) Start1.54 (1.11–1.89)1.64 (1.20–2.05)1.50 (1.11-2.00)2.05 (1.56–2.30)< 0.0011.41 (1.00–2.00)1.50 (1.10–1.98)0.895 2 years1.03 (0.95–1.20)0.95 (0.81–1.10)0.98 (0.88–1.10)0.90 (0.78–1.10)0.0071.20 (1.10–1.49)1.03 (0.89–1.17)0.002 4 years1.07 (0.87–1.16)1.00 (0.90–1.10)0.99 (0.88–1.10)0.91 (0.76–1.05)0.0141.32 (0.94–1.48)0.99 (0.83–1.21)0.036 6 years1.00 (0.90–1.20)1.00 (0.89–1.19)0.96 (0.85–1.10)0.94 (0.81–1.13)0.1741.25 (1.10–1.72)0.95 (0.83–1.14)0.003eGFR median, IQR (ml/min/1.73 m2) Start8 (7–10)8 (6–10)9 (7–11)8 (6–10)0.3148 (6–10)8 (6–9)0.950 2 years66 (56–80)61 (35–80)59 (34–77)56 (32–82)0.42356 (32–67)63 (47–78)0.181 4 years65 (48–81)61 (42–83)62 (35–83)51 (31–81)0.26257 (36–71)64 (37–76)0.397 6 years69 (43–87)58 (29–77)62 (30–73)53 (30–77)0.26959 (35–75)71 (35–85)0.376PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile rangeaKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTXbMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258) PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile range aKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTX bMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX Post-transplant treatment for sHPT The number of patients treated with PTX and calcimimeticum after transplantation was numerically but not significantly higher in the non-PTX transplanted patients during the 6 years of follow-up. In the group of patients who underwent PTX before transplantation, two out of 18 were treated with calcimimeticum after transplantation. Treatment with alfacalcidol was more common in patients in the higher quartiles of pre-transplant PTH and treatment with cholecalciferol was more common in patients with lower quartiles of pre-transplant PTH. All post-transplant sHPT treatments are summarized in Table 3. Table 3Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)No PTX before transplantationPTX before transplantationFactorPTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valuePTH Below medianPTH Above medianp valuePTX Yes1 (2)0 (0)3 (5)5 (9)0.0870 (0)0 (0)n.aCalcimimetics Yes0 (0)5 (9)6 (11)6 (11)0.0640 (0)2 (11)0.146Alfacalcidol Yes16 (29)20 (39)27 (50)30 (61)0.0079 (60)7 (39)0.227Cholecalciferol Yes29 (53)21 (40)18 (33)8 (16)0.0016 (40)10 (56)0.373Phosphate binders Yes2 (4)2 (4)1 (2)2 (4)0.9192 (11)1 (6)0.546Calcium supplements Yes34 (62)28 (54)22 (41)20 (41)0.07615 (100)13 (72)0.027Hypercalcemia year 1 Yes13 (25)22 (44)24 (45)33 (65)0.00112 (80)8 (50)0.081 No40 (75)28 (56)29 (55)18 (35)3 (20)8 (50)Hypercalcemia year 3 Yes6 (13)17 (37)12 (25)21 (48)0.0023 (23)3 (20)0.843 No40 (87)29 (63)36 (75)23 (52)10 (77)12 (80)Hypercalcemia year 6 Yes10 (23)9 (23)15 (35)14 (37)0.3192 (17)3 (21)0.759 No34 (77)31 (78)28 (65)29 (63)10 (83)11 (79) Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258) The number of patients treated with PTX and calcimimeticum after transplantation was numerically but not significantly higher in the non-PTX transplanted patients during the 6 years of follow-up. In the group of patients who underwent PTX before transplantation, two out of 18 were treated with calcimimeticum after transplantation. Treatment with alfacalcidol was more common in patients in the higher quartiles of pre-transplant PTH and treatment with cholecalciferol was more common in patients with lower quartiles of pre-transplant PTH. All post-transplant sHPT treatments are summarized in Table 3. Table 3Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)No PTX before transplantationPTX before transplantationFactorPTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valuePTH Below medianPTH Above medianp valuePTX Yes1 (2)0 (0)3 (5)5 (9)0.0870 (0)0 (0)n.aCalcimimetics Yes0 (0)5 (9)6 (11)6 (11)0.0640 (0)2 (11)0.146Alfacalcidol Yes16 (29)20 (39)27 (50)30 (61)0.0079 (60)7 (39)0.227Cholecalciferol Yes29 (53)21 (40)18 (33)8 (16)0.0016 (40)10 (56)0.373Phosphate binders Yes2 (4)2 (4)1 (2)2 (4)0.9192 (11)1 (6)0.546Calcium supplements Yes34 (62)28 (54)22 (41)20 (41)0.07615 (100)13 (72)0.027Hypercalcemia year 1 Yes13 (25)22 (44)24 (45)33 (65)0.00112 (80)8 (50)0.081 No40 (75)28 (56)29 (55)18 (35)3 (20)8 (50)Hypercalcemia year 3 Yes6 (13)17 (37)12 (25)21 (48)0.0023 (23)3 (20)0.843 No40 (87)29 (63)36 (75)23 (52)10 (77)12 (80)Hypercalcemia year 6 Yes10 (23)9 (23)15 (35)14 (37)0.3192 (17)3 (21)0.759 No34 (77)31 (78)28 (65)29 (63)10 (83)11 (79) Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258) Outcome in renal transplant recipients without PTX before transplantation Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 4. The lowest quartile of PTH showed an increased risk of vascular events with a hazard ratio (95% CI) of 2.63 (1.04–6.67) compared to reference. Age at the time of transplantation, a history of cardiovascular disease, and diabetes at the time of transplantation were all associated with outcome. When adjusting for levels of uric acid before transplantation or treatment with alfacalcidol or cholecalciferol after transplantation, the confidence intervals were wider, but hazard ratios for cardiovascular events in quartiles of PTH were similar (data not shown). Hazard ratios (95% CI) of overall mortality across strata of pre-transplant PTH did not differ significantly to reference values in the full adjusted Cox regression model and were 1.47 (0.41–5.33) in quartile 1, 1.26 (0.38–4.15) in quartile 2 and 1.47 (0.42–5.16) in quartile 4 using quartile 3 as a reference. Only a history of CVD remained significantly associated with overall mortality in the full model with a hazard ratio (95% CI) of 4.36 (1.73–10.99) compared to patients with no history of CVD. Quartiles of pre-transplant PTH were not associated with graft failure in the same Cox regression model. Hazard ratios (95% CI) were 0.66 (0.15–2.79) in quartile 1, 1.22 (0.36–4.10) in quartile 2 and 1.77 (0.59–5.32) in quartile 4 using quartile 3 as a reference. Only years in dialysis before transplantation remained significantly associated with graft failure in the full model with a hazard ratio (95% CI) of 1.21 (1.03–1.42) for each extra year spent in dialysis before transplantation. Kaplan–Meier curves depicting cardiovascular event free survival compared by gender, PTX or not before transplantation, and by different levels of PTH before transplantation are shown in Fig. 1. Table 4Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Quartiles of PTH at time of transplantation pmol/L 157 (26)14 (25)2.01 (0.81–4.99)2.63 (1.04–6.67) 255 (24)13 (24)1.94 (0.78–4.87)2.02 (0.80–5.12) 357 (26)7 (12)1.001.00 453 (24)12 (23)1.85 (0.73–4.70)2.12 (0.81–5.57)Age1.05 (1.02–1.08)1.04 (1.01–1.08)Gender Male157 (71)35 (22)1.001.00 Female65 (29)12 (18)0.82 (0.43–1.58)1.08 (0.52–2.25)Years in dialysis before transplantation1.16 (1.04–1.30)1.15 (1.00-1.31)History of CVD No168 (76)21 (40)1.001.00 Yes54 (24)26 (15)3.27 (1.84–5.82)1.97 (1.02–3.80)Diabetes No161 (72)25 (40)1.001.00 Yes61 (28)22 (13)3.40 (1.92–6.04)2.57 (1.36–4.83)Body Mass Index at time of transplantation kg/m21.01 (9.94–1.08)0.96 (0.89–1.04)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222) PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease Fig. 1Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36) Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36) Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 4. The lowest quartile of PTH showed an increased risk of vascular events with a hazard ratio (95% CI) of 2.63 (1.04–6.67) compared to reference. Age at the time of transplantation, a history of cardiovascular disease, and diabetes at the time of transplantation were all associated with outcome. When adjusting for levels of uric acid before transplantation or treatment with alfacalcidol or cholecalciferol after transplantation, the confidence intervals were wider, but hazard ratios for cardiovascular events in quartiles of PTH were similar (data not shown). Hazard ratios (95% CI) of overall mortality across strata of pre-transplant PTH did not differ significantly to reference values in the full adjusted Cox regression model and were 1.47 (0.41–5.33) in quartile 1, 1.26 (0.38–4.15) in quartile 2 and 1.47 (0.42–5.16) in quartile 4 using quartile 3 as a reference. Only a history of CVD remained significantly associated with overall mortality in the full model with a hazard ratio (95% CI) of 4.36 (1.73–10.99) compared to patients with no history of CVD. Quartiles of pre-transplant PTH were not associated with graft failure in the same Cox regression model. Hazard ratios (95% CI) were 0.66 (0.15–2.79) in quartile 1, 1.22 (0.36–4.10) in quartile 2 and 1.77 (0.59–5.32) in quartile 4 using quartile 3 as a reference. Only years in dialysis before transplantation remained significantly associated with graft failure in the full model with a hazard ratio (95% CI) of 1.21 (1.03–1.42) for each extra year spent in dialysis before transplantation. Kaplan–Meier curves depicting cardiovascular event free survival compared by gender, PTX or not before transplantation, and by different levels of PTH before transplantation are shown in Fig. 1. Table 4Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Quartiles of PTH at time of transplantation pmol/L 157 (26)14 (25)2.01 (0.81–4.99)2.63 (1.04–6.67) 255 (24)13 (24)1.94 (0.78–4.87)2.02 (0.80–5.12) 357 (26)7 (12)1.001.00 453 (24)12 (23)1.85 (0.73–4.70)2.12 (0.81–5.57)Age1.05 (1.02–1.08)1.04 (1.01–1.08)Gender Male157 (71)35 (22)1.001.00 Female65 (29)12 (18)0.82 (0.43–1.58)1.08 (0.52–2.25)Years in dialysis before transplantation1.16 (1.04–1.30)1.15 (1.00-1.31)History of CVD No168 (76)21 (40)1.001.00 Yes54 (24)26 (15)3.27 (1.84–5.82)1.97 (1.02–3.80)Diabetes No161 (72)25 (40)1.001.00 Yes61 (28)22 (13)3.40 (1.92–6.04)2.57 (1.36–4.83)Body Mass Index at time of transplantation kg/m21.01 (9.94–1.08)0.96 (0.89–1.04)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222) PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease Fig. 1Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36) Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36) Outcome in renal transplant recipients with PTX before transplantation Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 5. In patients with pre-transplant PTX, the group below median of PTH had a higher risk of vascular disease with an adjusted hazard ratio (95% CI) of 18.15 (1.62–203.82) compared to patients above the median of PTH. A history of CVD was associated with incident vascular events, but pre-transplant diabetes was not. There were too few events to obtain any statistics on overall mortality or graft failures in patients with a pre-transplant PTX, which is why this has not been done. Table 5Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Below and above PTH 6.6 pmol/L Below18 (50)7 (39)11.51 (1.40-94.33)18.15 (1.62-203.82) Above18 (50)4 (22)1.001.00Age1.10 (1.01–1.19)1.09 (1.00-1.17)Gender Male21 (58)5 (24)1.001.00 Female15 (42)3 (20)0.77 (0.18–3.24)0.41 (0.06–2.78)Years in dialysis before transplantation0.97 (0.83–1.15)0.88 (0.75–1.04)History of CVD No29 (81)6 (21)1.001.00 Yes7 (19)2 (29)1.25 (0.25–6.19)1.18 (1.10–13.47)Diabetes No22 (61)6 (23)1.001.00 Yes14 (39)2 (20)0.73 (0.15–3.64)0.29 (0.02–3.72)BMI at time of transplantation kg/m20.92 (0.76–1.12)0.80 (0.60–1.08)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36) PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 5. In patients with pre-transplant PTX, the group below median of PTH had a higher risk of vascular disease with an adjusted hazard ratio (95% CI) of 18.15 (1.62–203.82) compared to patients above the median of PTH. A history of CVD was associated with incident vascular events, but pre-transplant diabetes was not. There were too few events to obtain any statistics on overall mortality or graft failures in patients with a pre-transplant PTX, which is why this has not been done. Table 5Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Below and above PTH 6.6 pmol/L Below18 (50)7 (39)11.51 (1.40-94.33)18.15 (1.62-203.82) Above18 (50)4 (22)1.001.00Age1.10 (1.01–1.19)1.09 (1.00-1.17)Gender Male21 (58)5 (24)1.001.00 Female15 (42)3 (20)0.77 (0.18–3.24)0.41 (0.06–2.78)Years in dialysis before transplantation0.97 (0.83–1.15)0.88 (0.75–1.04)History of CVD No29 (81)6 (21)1.001.00 Yes7 (19)2 (29)1.25 (0.25–6.19)1.18 (1.10–13.47)Diabetes No22 (61)6 (23)1.001.00 Yes14 (39)2 (20)0.73 (0.15–3.64)0.29 (0.02–3.72)BMI at time of transplantation kg/m20.92 (0.76–1.12)0.80 (0.60–1.08)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36) PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index Laboratory analyses: Levels of PTH, phosphate, calcium, and eGFR at start, 2, 4, and 6 years after transplantation in strata are described in Table 2. PTH decreased from preoperative values to 2 years after transplantation but remained fairly stable beyond year 2 through follow-up in non-PTX groups. Levels of albumin-corrected calcium were higher in groups with higher PTH in non-PTX patients through follow-up. Levels of uric acid differed significantly between groups of non-PTX patients. Patients in the highest quartile of PTH had higher uric acid levels compared to patients in the lower quartiles of PTH. In PTX patients, PTH levels were stable after transplantation and levels of albumin-corrected calcium were lower in the group with lower PTH at the start, 2 and 4 years after transplantation. In the same group, phosphate was higher at 2, 4, and 6 years compared to patients with PTH above median. Pre-transplant levels of CRP, albumin, and BMI did not differ between groups (Table 1). There were no significant differences between levels of plasma lipids before transplantation. Table 2Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)FactorNo PTX (n = 222)PTX (n = 36)PTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valueaPTH below medianPTH above medianp valuebp-PTH median, IQR (pmol/L) Start6.5 (4.7–8.5)12.4 (10.7–14.2)21.0 (18.6–24.1)44.0 (31.2–68.1)< 0.0011.5 (0.7–3.8)14.0 (9.4–18.0)< 0.001 2 years7.0 (5.6–9.8)10.2 (6.8–13.0)11.0 (7.8–18.8)14.6 (8.8–20.9)< 0.0012.1 (0.7–4.6)8.4 (5.1–13.4)< 0.001 4 years7.1 (4.9–10.3)10.0 (6.7–14.8)11.2 (7.6–18.8)14.3 (9.3–21.2)< 0.0012.2 (0.8-4.0)9.6 (7.2–14.0)< 0.001 6 years7.5 (5.6–12.7)10.8 (8.3–14.7)13.4 (8.1–18.1)14.0 (10.0-19.1)0.0011.9 (0.9–4.4)8.3 (6.1–13.3)< 0.001p-Calcium adjusted for albumin median, IQR (mmol/L) Start2.56 (2.44–2.67)2.48 (2.38–2.65)2.54 (2.38–2.70)2.52 (2.39–2.76)0.7942.47 (2.20–2.58)2.47 (2.26–2.65)0.410 2 years2.38 (2.34–2.51)2.46 (2.37–2.55)2.47 (2.39–2.55)2.46 (2.39–2.58)0.0032.22 (2.07–2.32)2.40 (2.34–2.58)0.002 4 years2.38 (2.31–2.46)2.44 (2.41–2.55)2.47 (2.37–2.62)2.54 (2.39–2.63)0.0012.31 (2.19–2.40)2.39 (2.21–2.54)0.222 6 years2.39 (2.34–2.50)2.45 (2.37–2.50)2.45 (2.35–2.54)2.48 (2.41–2.54)0.1162.22 (2.03–2.30)2.38 (2.27–2.47)0.057p-Phosphate median, IQR (mmol/L) Start1.54 (1.11–1.89)1.64 (1.20–2.05)1.50 (1.11-2.00)2.05 (1.56–2.30)< 0.0011.41 (1.00–2.00)1.50 (1.10–1.98)0.895 2 years1.03 (0.95–1.20)0.95 (0.81–1.10)0.98 (0.88–1.10)0.90 (0.78–1.10)0.0071.20 (1.10–1.49)1.03 (0.89–1.17)0.002 4 years1.07 (0.87–1.16)1.00 (0.90–1.10)0.99 (0.88–1.10)0.91 (0.76–1.05)0.0141.32 (0.94–1.48)0.99 (0.83–1.21)0.036 6 years1.00 (0.90–1.20)1.00 (0.89–1.19)0.96 (0.85–1.10)0.94 (0.81–1.13)0.1741.25 (1.10–1.72)0.95 (0.83–1.14)0.003eGFR median, IQR (ml/min/1.73 m2) Start8 (7–10)8 (6–10)9 (7–11)8 (6–10)0.3148 (6–10)8 (6–9)0.950 2 years66 (56–80)61 (35–80)59 (34–77)56 (32–82)0.42356 (32–67)63 (47–78)0.181 4 years65 (48–81)61 (42–83)62 (35–83)51 (31–81)0.26257 (36–71)64 (37–76)0.397 6 years69 (43–87)58 (29–77)62 (30–73)53 (30–77)0.26959 (35–75)71 (35–85)0.376PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile rangeaKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTXbMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX Six-year measures of PTH, calcium, phosphate, and eGFR in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258) PTH parathyroid hormone, eGFR estimated glomerular filtration rate, IQR interquartile range aKruskal–Wallis test between quartiles of PTH at time of transplantation in patients with no pre-transplant PTX bMann–Whitney test between above and below median of PTH at time of transplantation in patients with pre-transplant PTX Post-transplant treatment for sHPT: The number of patients treated with PTX and calcimimeticum after transplantation was numerically but not significantly higher in the non-PTX transplanted patients during the 6 years of follow-up. In the group of patients who underwent PTX before transplantation, two out of 18 were treated with calcimimeticum after transplantation. Treatment with alfacalcidol was more common in patients in the higher quartiles of pre-transplant PTH and treatment with cholecalciferol was more common in patients with lower quartiles of pre-transplant PTH. All post-transplant sHPT treatments are summarized in Table 3. Table 3Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258)No PTX before transplantationPTX before transplantationFactorPTH quartile 1PTH quartile 2PTH quartile 3PTH quartile 4p valuePTH Below medianPTH Above medianp valuePTX Yes1 (2)0 (0)3 (5)5 (9)0.0870 (0)0 (0)n.aCalcimimetics Yes0 (0)5 (9)6 (11)6 (11)0.0640 (0)2 (11)0.146Alfacalcidol Yes16 (29)20 (39)27 (50)30 (61)0.0079 (60)7 (39)0.227Cholecalciferol Yes29 (53)21 (40)18 (33)8 (16)0.0016 (40)10 (56)0.373Phosphate binders Yes2 (4)2 (4)1 (2)2 (4)0.9192 (11)1 (6)0.546Calcium supplements Yes34 (62)28 (54)22 (41)20 (41)0.07615 (100)13 (72)0.027Hypercalcemia year 1 Yes13 (25)22 (44)24 (45)33 (65)0.00112 (80)8 (50)0.081 No40 (75)28 (56)29 (55)18 (35)3 (20)8 (50)Hypercalcemia year 3 Yes6 (13)17 (37)12 (25)21 (48)0.0023 (23)3 (20)0.843 No40 (87)29 (63)36 (75)23 (52)10 (77)12 (80)Hypercalcemia year 6 Yes10 (23)9 (23)15 (35)14 (37)0.3192 (17)3 (21)0.759 No34 (77)31 (78)28 (65)29 (63)10 (83)11 (79) Post-transplant hyperparathyroidism treatment and hypercalcemia in Swedish renal transplant recipients with and without parathyroidectomy before transplantation, stratified by levels of PTH at time of transplantation (n = 258) Outcome in renal transplant recipients without PTX before transplantation: Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 4. The lowest quartile of PTH showed an increased risk of vascular events with a hazard ratio (95% CI) of 2.63 (1.04–6.67) compared to reference. Age at the time of transplantation, a history of cardiovascular disease, and diabetes at the time of transplantation were all associated with outcome. When adjusting for levels of uric acid before transplantation or treatment with alfacalcidol or cholecalciferol after transplantation, the confidence intervals were wider, but hazard ratios for cardiovascular events in quartiles of PTH were similar (data not shown). Hazard ratios (95% CI) of overall mortality across strata of pre-transplant PTH did not differ significantly to reference values in the full adjusted Cox regression model and were 1.47 (0.41–5.33) in quartile 1, 1.26 (0.38–4.15) in quartile 2 and 1.47 (0.42–5.16) in quartile 4 using quartile 3 as a reference. Only a history of CVD remained significantly associated with overall mortality in the full model with a hazard ratio (95% CI) of 4.36 (1.73–10.99) compared to patients with no history of CVD. Quartiles of pre-transplant PTH were not associated with graft failure in the same Cox regression model. Hazard ratios (95% CI) were 0.66 (0.15–2.79) in quartile 1, 1.22 (0.36–4.10) in quartile 2 and 1.77 (0.59–5.32) in quartile 4 using quartile 3 as a reference. Only years in dialysis before transplantation remained significantly associated with graft failure in the full model with a hazard ratio (95% CI) of 1.21 (1.03–1.42) for each extra year spent in dialysis before transplantation. Kaplan–Meier curves depicting cardiovascular event free survival compared by gender, PTX or not before transplantation, and by different levels of PTH before transplantation are shown in Fig. 1. Table 4Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Quartiles of PTH at time of transplantation pmol/L 157 (26)14 (25)2.01 (0.81–4.99)2.63 (1.04–6.67) 255 (24)13 (24)1.94 (0.78–4.87)2.02 (0.80–5.12) 357 (26)7 (12)1.001.00 453 (24)12 (23)1.85 (0.73–4.70)2.12 (0.81–5.57)Age1.05 (1.02–1.08)1.04 (1.01–1.08)Gender Male157 (71)35 (22)1.001.00 Female65 (29)12 (18)0.82 (0.43–1.58)1.08 (0.52–2.25)Years in dialysis before transplantation1.16 (1.04–1.30)1.15 (1.00-1.31)History of CVD No168 (76)21 (40)1.001.00 Yes54 (24)26 (15)3.27 (1.84–5.82)1.97 (1.02–3.80)Diabetes No161 (72)25 (40)1.001.00 Yes61 (28)22 (13)3.40 (1.92–6.04)2.57 (1.36–4.83)Body Mass Index at time of transplantation kg/m21.01 (9.94–1.08)0.96 (0.89–1.04)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease Hazard ratio (95% CI) of vascular events in renal transplant recipients with no prior PTX followed for 6 year post-transplantation, stratified in quartiles of levels of PTH at time of renal transplantation (n = 222) PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease Fig. 1Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36) Kaplan–Meier cardiovascular event free survival curves in 258 Swedish patients undergoing renal transplantation censoring if event, death or graft loss, mean follow-up 6 years. a All patients, b all patients divided by parathyroidectomy (PTX) or not prior to transplantation. c All patients divided by gender. d Patients with no PTX before transplantation divided by quartiles of pre-transplant levels of parathyroid hormone (PTH) (n = 222). e patients with pre-transplant PTX divided by above and below median of pre-transplant PTH (n = 36) Outcome in renal transplant recipients with PTX before transplantation: Hazard ratios (95% CI) of incident vascular events across strata in patients with no pre-transplant PTX are summarized in Table 5. In patients with pre-transplant PTX, the group below median of PTH had a higher risk of vascular disease with an adjusted hazard ratio (95% CI) of 18.15 (1.62–203.82) compared to patients above the median of PTH. A history of CVD was associated with incident vascular events, but pre-transplant diabetes was not. There were too few events to obtain any statistics on overall mortality or graft failures in patients with a pre-transplant PTX, which is why this has not been done. Table 5Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36)FactorNumber of patients N (%)Number of events N (%)Crude HR (95% CI)Adjusted HR (95% CI)Below and above PTH 6.6 pmol/L Below18 (50)7 (39)11.51 (1.40-94.33)18.15 (1.62-203.82) Above18 (50)4 (22)1.001.00Age1.10 (1.01–1.19)1.09 (1.00-1.17)Gender Male21 (58)5 (24)1.001.00 Female15 (42)3 (20)0.77 (0.18–3.24)0.41 (0.06–2.78)Years in dialysis before transplantation0.97 (0.83–1.15)0.88 (0.75–1.04)History of CVD No29 (81)6 (21)1.001.00 Yes7 (19)2 (29)1.25 (0.25–6.19)1.18 (1.10–13.47)Diabetes No22 (61)6 (23)1.001.00 Yes14 (39)2 (20)0.73 (0.15–3.64)0.29 (0.02–3.72)BMI at time of transplantation kg/m20.92 (0.76–1.12)0.80 (0.60–1.08)PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index Hazard ratio (95% CI) of vascular events in renal transplant recipients with prior PTX followed for 6 year post-transplantation, stratified in groups based on levels of PTH at time of renal transplantation (n = 36) PTX parathyroidectomy, PTH parathyroid hormone, CVD cardiovascular disease, BMI body mass index Discussion: In this observational study our main findings were that low PTH at the time of transplantation was associated with a higher risk of post-transplant cardiovascular events. Surprisingly, patients in the highest quartile of p-PTH before renal transplantation did not seem to suffer higher risk of cardiovascular events, mortality or graft failure during 6 years of follow-up. This is contrary to a large study in patients in dialysis [6], where high PTH was associated with higher risk of mortality and cardiovascular-related hospitalization. That study differs from the present study in that it did not include patients with a renal transplant. Furthermore, the higher risk for cardiovascular hospitalization was only seen in patients with PTH above 600 pg/mL (approximately 63.7 pmol/L) in that study, which is above the levels of the highest quartile in our study, making comparisons between studies difficult. Data on pre-transplant PTH and post-transplant outcomes are scarce but Roodnat et. al. [15] found a significant positive correlation between pre-transplant levels of PTH and graft failure. We found no such association; during 6 years of follow-up, GFR levels tended to be stable in all PTH groups. There are studies on post-transplant PTH levels and cardiovascular risk. Marcen et al. [16] performed a study on 331 renal transplant recipients followed for 7 years and found no correlation between PTH at 1 month post-transplantation and cardiovascular events. Similarly, Pihlstrom et al. [10] studied a large cohort of renal transplant recipients (n = 1840) for a mean of 7 years and found no correlation between post-transplant PTH and CVD. Bleskestad et al. [17] studied 438 renal transplant recipients with preserved graft function and found an increased risk of a combined endpoint of CVD, graft failure, and death correlated with quartiles of 10 week post-RT PTH. The risk of CVD exclusively is not reported in the study. However, the patients in our study with the highest risk of vascular disease after transplantation had PTH levels at the time of transplantation below 9.5 pmol/L (no PTX pre-transplantation) and 6.6 pmol/L (PTX pre-transplantation), which is markedly low. The median level of PTH in patients with pre-transplant PTX was 1.5 pmol/L. Prior studies in patients with ongoing dialysis show that PTH levels below 65 pg/mL (approximately 6.9 pmol/L) can predict mortality and vascular outcomes [4, 5, 18] which corresponds to our findings. For patients on dialysis, the higher risk of mortality and vascular outcomes in patients with low levels of PTH has been explained by older age, malnutrition, and poor protein intake [4]. Lee et al. found that patients on dialysis with PTH levels below 65 pg/mL had a higher risk of vascular events and mortality compared to patients with PTH above 65 pg/mL and suggested that this was driven by vascular calcifications. This was supported by a higher progression rate of aortic arch calcification scores in the group with low PTH [5]. In our study, patients with low PTH were not of older age and indirect measures of malnutrition such as levels of albumin and BMI did not differ between groups. Another possible explanation for the higher risk of vascular disease in patients with low PTH is post-transplant bone disease [19]. Bone biopsies early after renal transplantation show reduced activity of osteoblasts [20] and patients with low PTH pre-transplant show lower post-transplant osteoblastic activity [21]. This reduced cellularity and low bone turnover can develop into an adynamic state of the bone which diminishes the ability of the bone to buffer elevations in blood levels of phosphorus and calcium, which in turn leads to calcifications of soft tissue and vessels [22] and thereby a higher risk of vascular morbidity. Hypercalcemia was more frequent in the groups with higher PTH and no pre-transplant PTX during follow-up. This is probably caused by PTH mediated calcium release from the skeleton [23]. Distribution of traditional cardiovascular risk factors such as hypertension, smoking and lipid status before transplantation did not differ between groups. Low and high levels of uric acid have been associated with cardiovascular disease and mortality in dialysis patients [24], and in our study, levels of uric acid were significantly higher in the highest quartile of PTH, but did not differ between quartiles 1, 2, and 3. Adjusting for levels of uric acid did not alter the association between PTH and cardiovascular disease why this cannot explain the high risk of CVD in the lowest quartile of PTH. Treatment for post-transplant sHPT differed between groups. Patients with no pre-transplant PTX with higher PTH were more often treated with active vitamin D (alfacalcidol). This may have influenced the results, since treatment with active vitamin D has been associated with reduced mortality in dialysis patients [25]. Patients with no pre-transplant PTX with lower levels of PTH received more cholecalciferol compared to patients with higher PTH. Patients with higher PTH might not have been given cholecalciferol, since cholecalciferol treatments were combined with calcium supplements in most cases and patients with higher PTH had higher calcium levels during follow-up. However, including either alfacalcidol or cholecalciferol treatment after transplantation did not affect hazard ratios for cardiovascular disease between quartiles of PTH. The immunosuppressive treatment protocols at the institutions in the present study have undergone only minor changes since 2003–2005, mainly with reduction of steroid dose. We deem it unlikely that the hyperparathyroid state has been affected by this change. Our findings that patients with a pre-transplant PTX and low pre-transplant levels of PTH suffer from an increased risk of post-transplant vascular disease is of clinical importance, especially since there is an ongoing debate about whether to perform PTX before or after transplantation [26]. Limitations: Patient numbers were relatively small, which could influence the results. However, we included two centers in Sweden, which hopefully makes the results more accurate for the overall Swedish population of renal transplant recipients. Levels of PTH were analyzed with two different techniques (40 patients had their PTH levels analyzed with Immulite 2000). This is a methodological problem that is hard to assess in the setting of a multicenter observational study and it can potentially influence the results. We made efforts to correct the issue, which is shown in our methods. Patients were selected during 2003–2005 and outcomes in renal transplant patients might differ from today why this must be taken into consideration when interpreting the results. Our study is a retrospective analysis and consequently burdened with some possible sources of bias. Conclusion: Low (less than 6.9 pmol/L) levels of parathyroid hormone before transplantation were associated with a higher risk of post-transplant vascular events both in patients with and without pre-transplant parathyroidectomy. Any conclusions on causal or direct effect of PTH on outcome cannot be drawn from this observational study.
Background: Secondary hyperparathyroidism and altered levels of parathyroid hormone (PTH) are associated with vascular events in chronic kidney disease. After renal transplantation, this association is not clear. Pre-transplant parathyroidectomy (PTX) is common, but post-transplant data are scarce. We aimed to study the effect of PTH at the time of transplantation on risk of post-transplant vascular events in renal transplant recipients with and without pre-transplant PTX. Methods: 258 patients from two Swedish transplant units were followed for 6 years. Separate analyses were made for patients with or without pre-transplant PTX. Patients with no pre-transplant PTX were stratified by quartiles of PTH at time of transplantation and patients with pre-transplant PTX were stratified by above and below median levels of PTH at time of transplantation. Hazard ratios for vascular events, mortality, and graft failure were calculated in adjusted Cox regression models. Results: In patients with no pre-transplant PTX, the lowest quartile of PTH at transplantation had a higher risk of cardiovascular events compared to quartile 3 with an adjusted hazard ratio (95% CI) of 2.63 (1.04-6.67). In patients with pre-transplant PTX, the group below median of PTH had a higher risk of cardiovascular events with an adjusted hazard ratio (95% CI) of 18.15 (1.62-203.82) compared to patients above median of PTH. Conclusions: Low levels of parathyroid hormone before transplantation were associated with increased risk of post-transplant vascular events both in patients with and without pre-transplant parathyroidectomy. Any conclusions on causal or direct effect of PTH on outcome cannot be drawn from this observational study.
Introduction: Secondary hyperparathyroidism (sHPT) is common in chronic kidney disease and is associated with bone disease and vascular calcifications [1]. In spite of improved medical treatment for sHPT, surgical treatment with parathyroidectomy (PTX) is still often necessary [2]. In sHPT, the mineral metabolism is disturbed and many factors contribute to the associated morbidity. Levels of parathyroid hormone (PTH) are mainly used to grade the extent of sHPT and both high and low PTH have been associated with cardiovascular disease (CVD) in patients on maintenance dialysis [3–6]. Renal transplantation improves many of the underlying causes of sHPT and levels of PTH decrease after transplantation, even though sHPT persists in the majority of renal transplant recipients over the short as well as long term [7, 8]. Recent studies have shown no association between post-transplant PTH and risk of vascular events [9], but have shown an association with graft failure and mortality [10]. Data on pre-transplant PTH and outcomes are limited and few studies report whether patients have been treated with PTX before transplantation or not, which may influence the results. When evaluating patients for renal transplantation, the PTH level is one of many important parameters to include as sHPT can influence patient and graft survival. No upper PTH limit for renal transplantation has been defined, but hypercalcemia is generally not accepted. Our intention was to describe the relation between pre-transplant plasma PTH and long-term risk of incident cardiovascular disease after renal transplantation in patients with and without pre-transplant PTX. Conclusion: Low (less than 6.9 pmol/L) levels of parathyroid hormone before transplantation were associated with a higher risk of post-transplant vascular events both in patients with and without pre-transplant parathyroidectomy. Any conclusions on causal or direct effect of PTH on outcome cannot be drawn from this observational study.
Background: Secondary hyperparathyroidism and altered levels of parathyroid hormone (PTH) are associated with vascular events in chronic kidney disease. After renal transplantation, this association is not clear. Pre-transplant parathyroidectomy (PTX) is common, but post-transplant data are scarce. We aimed to study the effect of PTH at the time of transplantation on risk of post-transplant vascular events in renal transplant recipients with and without pre-transplant PTX. Methods: 258 patients from two Swedish transplant units were followed for 6 years. Separate analyses were made for patients with or without pre-transplant PTX. Patients with no pre-transplant PTX were stratified by quartiles of PTH at time of transplantation and patients with pre-transplant PTX were stratified by above and below median levels of PTH at time of transplantation. Hazard ratios for vascular events, mortality, and graft failure were calculated in adjusted Cox regression models. Results: In patients with no pre-transplant PTX, the lowest quartile of PTH at transplantation had a higher risk of cardiovascular events compared to quartile 3 with an adjusted hazard ratio (95% CI) of 2.63 (1.04-6.67). In patients with pre-transplant PTX, the group below median of PTH had a higher risk of cardiovascular events with an adjusted hazard ratio (95% CI) of 18.15 (1.62-203.82) compared to patients above median of PTH. Conclusions: Low levels of parathyroid hormone before transplantation were associated with increased risk of post-transplant vascular events both in patients with and without pre-transplant parathyroidectomy. Any conclusions on causal or direct effect of PTH on outcome cannot be drawn from this observational study.
12,882
323
[ 2130, 65, 185, 448, 356, 754, 372, 849, 377, 144 ]
14
[ "transplantation", "pth", "patients", "transplant", "ptx", "levels", "10", "pre", "pre transplant", "time" ]
[ "pth renal transplantation", "hyperparathyroidism shpt", "transplant levels parathyroid", "parathyroidectomized transplantation baseline", "renal transplantation pth" ]
null
[CONTENT] Secondary hyperparathyroidism | Renal transplantation | Parathyroid hormone | Cardiovascular disease [SUMMARY]
null
[CONTENT] Secondary hyperparathyroidism | Renal transplantation | Parathyroid hormone | Cardiovascular disease [SUMMARY]
[CONTENT] Secondary hyperparathyroidism | Renal transplantation | Parathyroid hormone | Cardiovascular disease [SUMMARY]
[CONTENT] Secondary hyperparathyroidism | Renal transplantation | Parathyroid hormone | Cardiovascular disease [SUMMARY]
[CONTENT] Secondary hyperparathyroidism | Renal transplantation | Parathyroid hormone | Cardiovascular disease [SUMMARY]
[CONTENT] Adult | Aged | Calcium | Cardiovascular Diseases | Follow-Up Studies | Humans | Hyperparathyroidism, Secondary | Kidney Failure, Chronic | Kidney Transplantation | Middle Aged | Parathyroid Hormone | Parathyroidectomy | Retrospective Studies | Risk Factors | Young Adult [SUMMARY]
null
[CONTENT] Adult | Aged | Calcium | Cardiovascular Diseases | Follow-Up Studies | Humans | Hyperparathyroidism, Secondary | Kidney Failure, Chronic | Kidney Transplantation | Middle Aged | Parathyroid Hormone | Parathyroidectomy | Retrospective Studies | Risk Factors | Young Adult [SUMMARY]
[CONTENT] Adult | Aged | Calcium | Cardiovascular Diseases | Follow-Up Studies | Humans | Hyperparathyroidism, Secondary | Kidney Failure, Chronic | Kidney Transplantation | Middle Aged | Parathyroid Hormone | Parathyroidectomy | Retrospective Studies | Risk Factors | Young Adult [SUMMARY]
[CONTENT] Adult | Aged | Calcium | Cardiovascular Diseases | Follow-Up Studies | Humans | Hyperparathyroidism, Secondary | Kidney Failure, Chronic | Kidney Transplantation | Middle Aged | Parathyroid Hormone | Parathyroidectomy | Retrospective Studies | Risk Factors | Young Adult [SUMMARY]
[CONTENT] Adult | Aged | Calcium | Cardiovascular Diseases | Follow-Up Studies | Humans | Hyperparathyroidism, Secondary | Kidney Failure, Chronic | Kidney Transplantation | Middle Aged | Parathyroid Hormone | Parathyroidectomy | Retrospective Studies | Risk Factors | Young Adult [SUMMARY]
[CONTENT] pth renal transplantation | hyperparathyroidism shpt | transplant levels parathyroid | parathyroidectomized transplantation baseline | renal transplantation pth [SUMMARY]
null
[CONTENT] pth renal transplantation | hyperparathyroidism shpt | transplant levels parathyroid | parathyroidectomized transplantation baseline | renal transplantation pth [SUMMARY]
[CONTENT] pth renal transplantation | hyperparathyroidism shpt | transplant levels parathyroid | parathyroidectomized transplantation baseline | renal transplantation pth [SUMMARY]
[CONTENT] pth renal transplantation | hyperparathyroidism shpt | transplant levels parathyroid | parathyroidectomized transplantation baseline | renal transplantation pth [SUMMARY]
[CONTENT] pth renal transplantation | hyperparathyroidism shpt | transplant levels parathyroid | parathyroidectomized transplantation baseline | renal transplantation pth [SUMMARY]
[CONTENT] transplantation | pth | patients | transplant | ptx | levels | 10 | pre | pre transplant | time [SUMMARY]
null
[CONTENT] transplantation | pth | patients | transplant | ptx | levels | 10 | pre | pre transplant | time [SUMMARY]
[CONTENT] transplantation | pth | patients | transplant | ptx | levels | 10 | pre | pre transplant | time [SUMMARY]
[CONTENT] transplantation | pth | patients | transplant | ptx | levels | 10 | pre | pre transplant | time [SUMMARY]
[CONTENT] transplantation | pth | patients | transplant | ptx | levels | 10 | pre | pre transplant | time [SUMMARY]
[CONTENT] shpt | pth | renal transplantation | transplantation | transplant | renal | disease | long term | term | long [SUMMARY]
null
[CONTENT] transplantation | pth | 10 | ptx | transplant | 95 | patients | 95 ci | ci | quartile [SUMMARY]
[CONTENT] pth outcome drawn | pth outcome | parathyroidectomy conclusions causal direct | parathyroidectomy conclusions causal | conclusions causal direct effect | parathyroid hormone transplantation associated | parathyroid hormone transplantation | low pmol levels parathyroid | low pmol levels | events patients pre [SUMMARY]
[CONTENT] pth | transplantation | patients | transplant | ptx | levels | pre | pre transplant | 10 | normal [SUMMARY]
[CONTENT] pth | transplantation | patients | transplant | ptx | levels | pre | pre transplant | 10 | normal [SUMMARY]
[CONTENT] PTH ||| ||| ||| PTH | PTX [SUMMARY]
null
[CONTENT] PTX | PTH | 3 | 95% | CI | 2.63 | 1.04-6.67 ||| PTX | PTH | 95% | CI | 18.15 | 1.62 | PTH [SUMMARY]
[CONTENT] ||| PTH [SUMMARY]
[CONTENT] PTH ||| ||| ||| PTH | 258 | two | Swedish | 6 years ||| PTX ||| PTX | PTH | PTX | PTH ||| ||| ||| PTX | PTH | 3 | 95% | CI | 2.63 | 1.04-6.67 ||| PTX | PTH | 95% | CI | 18.15 | 1.62 | PTH ||| ||| PTH [SUMMARY]
[CONTENT] PTH ||| ||| ||| PTH | 258 | two | Swedish | 6 years ||| PTX ||| PTX | PTH | PTX | PTH ||| ||| ||| PTX | PTH | 3 | 95% | CI | 2.63 | 1.04-6.67 ||| PTX | PTH | 95% | CI | 18.15 | 1.62 | PTH ||| ||| PTH [SUMMARY]
Asthma prevalence and risk factors among children and adolescents living around an industrial area: a cross-sectional study.
24188412
The exposure to air pollution has negative effects on human health, increasing the risk of respiratory diseases, such as asthma. Few data are yet available on the epidemiology of childhood asthma in some areas of Italy. The aim of the study was to estimate asthma prevalence and related risk factors in children and adolescents residents around the industrial area of Termoli, Molise region, Central-South Italy.
BACKGROUND
Prevalence was assessed through the administration of modified ISAAC questionnaires filled out by parents of 89 children and adolescents for the identification of confirmed and probable cases, and by analyzing pediatricians' databases on drug prescriptions for symptoms control and treatment of assisted population in the study area (n = 1,004), compared to a control area (n = 920) with lower industrialization. The association of asthma with risk factors was evaluated by univariate (Chi-square or Fisher's Exact test) and regression logistic analysis.
METHODS
A total of 22 (24.7%) asthmatics were identified, including both confirmed (n = 7; 7.9%) and probable cases (n = 15; 16.8%), most of them (n = 17; 77.3%) resident of Termoli town. All asthma cases were georeferenced based on the residence, however clusters were not found. Using drug prescriptions analysis, a higher prevalence (n = 138; 13.7%) of diagnosed cases was found. Lifetime history of both atopic dermatitis and bronchitis were significantly relateds to asthma cases, as well as an elevated body mass index, whose association is consistent with prevalence data of overweight/obese children living in the study area. Moreover, being resident of the town of Termoli was associated to the occurrence of cases.
RESULTS
Although our data indicated a prevalence concordance with previous national studies in pediatric population, a definitive correlation with environmental industrial factors present in the study area was not established. However, asthma outcome was significantly associated to individuals living in the town of Termoli that, despite the industrial/manufacturing activities, is also subjected to a higher environmental pressure due to the presence of toll road, state highway, railroad, and seaport which may cause air pollution from motor vehicle traffic and increase asthma induction. This study provides hitherto unavailable data on asthma in childhood population living in an industrialized area which was never investigated before, could be part of a systematic review or meta-analysis procedure, might suggest significant findings for larger observational studies, and contribute to complete the frame of disease epidemiology in Italy.
CONCLUSIONS
[ "Adolescent", "Anti-Asthmatic Agents", "Asthma", "Bronchitis", "Child", "Child, Preschool", "Cross-Sectional Studies", "Dermatitis, Atopic", "Environmental Exposure", "Female", "Humans", "Industry", "Infant", "Italy", "Male", "Prevalence", "Risk Factors", "Surveys and Questionnaires" ]
4228310
Background
Asthma is a chronic respiratory disease, characterized by episodes or attacks of impaired breathing, affecting up to 10% of adults and 30% of children [1,2]. Symptoms are caused by inflammation of small airways and may include bronchial hyperresponsiveness, recurrent attacks of wheezing, shortness of breath, chest tightness and coughing, particularly at night or early morning. The variable airflow obstruction is often reversible, either spontaneously or by treatment with bronchodilators or corticosteroids [3,4]. Onset of asthma usually begins early in life as a pattern of atopic wheezing that is exacerbated by allergens and viral respiratory infections, although adult-onset may occur [5]. The diagnosis of asthma in children may be difficult because episodic respiratory symptoms are common also in those who do not have asthma; hence, a diagnosis can be based on symptom patterns and on a clinical assessment of family history and physical findings, because early allergic sensitization increases the probability that a wheezing child will have asthma [6]. The global prevalence of asthma is difficult to estimate because of different classifications used throughout the world, different methods of assessing asthma in epidemiological studies and the lack of a definitive diagnostic test [7]. Anandan et al. [8] have shown that there is no overall decline in the prevalence of suggestive symptoms of asthma, and in Italy, during the past 20 years, prevalence has raised by 38% [9]. In the framework of the International Study of Asthma and Allergies in Childhood (ISAAC) Project [10], the first SIDRIA (Italian Studies of Respiratory Diseases in Childhood and the Environment) survey in children and adolescents (6–7 and 13–14 years old) was carried out in 10 areas of northern and central Italy [11,12], reporting a lifetime prevalence of 9.1%. In 2002, a second multicentre study including some areas of southern Italy reported a slightly higher prevalence of 9.5% [13]. At present, few data are available on the prevalence of asthma symptoms in some areas of Italy among the childhood population. The aim of this study was to estimate the prevalence of bronchial asthma and related symptoms in a random sample of children and adolescents aged 0–14 years, living around the industrial area of Termoli, a town in Molise region, Central-South of Italy. The role of several risk factors was also evaluated in order to assess the association with asthma. Furthermore, both indoor and outdoor places frequented and the most common activities carried out by children/adolescents were investigated. Asthma prevalence in the same study area was further estimated by analyzing pediatricians’ databases on drug prescriptions for symptoms control and treatment.
Methods
Study design The survey was carried out between 2008 and 2009 in the main industrial area of the Molise region (Italy). A representative sample of 251 families (n = 665 individuals) was randomly extracted from local register offices. The selection of households was performed according to their residence around the industrial area, including eight neighboring municipalities (Termoli, Campomarino, Guglionesi, Petacciato, Portocannone, San Giacomo degli Schiavoni, San Martino in Pensilis, and Ururi), and to the proportional distribution of general population in each municipality. Based on similar selection criteria, an additional group of families for each municipality was extracted by systematic sampling with replacement, to ensure a high degree of population representativeness. For our investigation, the subgroup (n = 95) of children and adolescents aged between 6 months and 14 years was analyzed to assess asthma prevalence. This group represented the 14.3% of the extracted sample (n = 251), in agreement with the distribution of the pediatric population in the selected municipalities in 2008 (14.6%) [14] and 2009 (14.4%) [15]. The study was approved by the Bioethics Committee at the University of Molise, Campobasso, Italy (Protocol number 7469/13). The survey was carried out between 2008 and 2009 in the main industrial area of the Molise region (Italy). A representative sample of 251 families (n = 665 individuals) was randomly extracted from local register offices. The selection of households was performed according to their residence around the industrial area, including eight neighboring municipalities (Termoli, Campomarino, Guglionesi, Petacciato, Portocannone, San Giacomo degli Schiavoni, San Martino in Pensilis, and Ururi), and to the proportional distribution of general population in each municipality. Based on similar selection criteria, an additional group of families for each municipality was extracted by systematic sampling with replacement, to ensure a high degree of population representativeness. For our investigation, the subgroup (n = 95) of children and adolescents aged between 6 months and 14 years was analyzed to assess asthma prevalence. This group represented the 14.3% of the extracted sample (n = 251), in agreement with the distribution of the pediatric population in the selected municipalities in 2008 (14.6%) [14] and 2009 (14.4%) [15]. The study was approved by the Bioethics Committee at the University of Molise, Campobasso, Italy (Protocol number 7469/13). Questionnaires and data collection Asthma symptoms prevalence was measured through the administration of anonymous questionnaires, previously validated in SIDRIA studies, according to the ISAAC Steering Committee methodology [10] with minor modifications. Questionnaires were administered in person to parents of children and adolescents by trained interviewers, who previously obtained informed consent, according to the Italian Legislation, Decree n. 196, 30 June 2003. Data about Body Mass Index (BMI) calculated according to Cole et al. standard [16], socio-demographic information, current and past asthma symptoms, schooling, lifestyles, children/adolescents’ diseases, parental history of respiratory disorders and education level, were collected. The exposure to environmental pollutants was also evaluated, including passive smoking, heating systems, molds or dampness at home, and furred pets anytime throughout life. A “confirmed case” was defined on the basis of affirmative responses to the core questionnaire, including the questions “Has your child ever had asthma?”, “Has your child ever had doctor asthma diagnosis?”, “Has your child ever taken any medications or treatment for asthma?”. Furthermore, a “probable case” was identified as an individual who had at least a symptom related to asthma, such as dry cough at night not associated with common cold or chest infections in the past 12 months; wheezing or whistling in the chest during the past 12 months; sleep disturbance due to wheezing; speech limited to few words at a time due to wheezing; audible wheeze during or after physical exercises. Asthma symptoms prevalence was measured through the administration of anonymous questionnaires, previously validated in SIDRIA studies, according to the ISAAC Steering Committee methodology [10] with minor modifications. Questionnaires were administered in person to parents of children and adolescents by trained interviewers, who previously obtained informed consent, according to the Italian Legislation, Decree n. 196, 30 June 2003. Data about Body Mass Index (BMI) calculated according to Cole et al. standard [16], socio-demographic information, current and past asthma symptoms, schooling, lifestyles, children/adolescents’ diseases, parental history of respiratory disorders and education level, were collected. The exposure to environmental pollutants was also evaluated, including passive smoking, heating systems, molds or dampness at home, and furred pets anytime throughout life. A “confirmed case” was defined on the basis of affirmative responses to the core questionnaire, including the questions “Has your child ever had asthma?”, “Has your child ever had doctor asthma diagnosis?”, “Has your child ever taken any medications or treatment for asthma?”. Furthermore, a “probable case” was identified as an individual who had at least a symptom related to asthma, such as dry cough at night not associated with common cold or chest infections in the past 12 months; wheezing or whistling in the chest during the past 12 months; sleep disturbance due to wheezing; speech limited to few words at a time due to wheezing; audible wheeze during or after physical exercises. Weekly individual diary Parents of children and adolescents were asked to complete the weekly individual diary to investigate the most frequented places, the common activities carried out, and time spent per day in performing some activities. The weekly diary consisted of two tables, the “daily sequence” and “daily activities”. The first table allowed to identify indoor and outdoor places daily frequented by each individual and the most common vehicle used for commuting. The “daily activities” table quantified the time spent performing activities which were classified into rest, sedentary, light, moderate and heavy. Parents of children and adolescents were asked to complete the weekly individual diary to investigate the most frequented places, the common activities carried out, and time spent per day in performing some activities. The weekly diary consisted of two tables, the “daily sequence” and “daily activities”. The first table allowed to identify indoor and outdoor places daily frequented by each individual and the most common vehicle used for commuting. The “daily activities” table quantified the time spent performing activities which were classified into rest, sedentary, light, moderate and heavy. Drug prescriptions Information about drug prescriptions for symptom control and treatment were collected by anonymous consultation of pediatricians’ databases to evaluate asthma prevalence in the pediatric population living in the area surrounding the industrial center of Termoli. Data were compared with a lower industrialized area of Campobasso town (Molise region) as control. The inclusion criteria of “confirmed cases” were the use of beta-2 agonist short-acting bronchodilators (salbutamol); recurrent episodes of wheezing (three or more per year); asthma diagnosis according to Global Initiative for Asthma (GINA) international guidelines. Wheezing episodes (<2 per year) associated with occasional respiratory infections were considered as the exclusion criterion. A total of 1,004 and 920 records of patients living in the area of Termoli and Campobasso were analyzed, respectively. Information about drug prescriptions for symptom control and treatment were collected by anonymous consultation of pediatricians’ databases to evaluate asthma prevalence in the pediatric population living in the area surrounding the industrial center of Termoli. Data were compared with a lower industrialized area of Campobasso town (Molise region) as control. The inclusion criteria of “confirmed cases” were the use of beta-2 agonist short-acting bronchodilators (salbutamol); recurrent episodes of wheezing (three or more per year); asthma diagnosis according to Global Initiative for Asthma (GINA) international guidelines. Wheezing episodes (<2 per year) associated with occasional respiratory infections were considered as the exclusion criterion. A total of 1,004 and 920 records of patients living in the area of Termoli and Campobasso were analyzed, respectively. Statistical analysis All the analyses were performed including both “confirmed” and “probable” cases using SPSS release 17.0 (SPSS Inc., Chicago, IL, USA). A p-value < 0.05 was regarded as statistically significant. For symptoms analysis, prevalence data were computed without excluding missing answers, which were therefore counted as negative or “no symptoms”, according to the standard ISAAC practice [12]. Conversely, avoided answers to questions on environmental exposures were properly treated as missing data. Frequency distribution, two-sided Chi-square and Fisher’s Exact test were performed for prevalence comparisons. Multivariate logistic regression was used to calculate Prevalence Odds Ratio (POR), and 95% confidence intervals (CI 95%) to assess the relation between risk factors and asthma cases [17], including the potential confounders. All the analyses were performed including both “confirmed” and “probable” cases using SPSS release 17.0 (SPSS Inc., Chicago, IL, USA). A p-value < 0.05 was regarded as statistically significant. For symptoms analysis, prevalence data were computed without excluding missing answers, which were therefore counted as negative or “no symptoms”, according to the standard ISAAC practice [12]. Conversely, avoided answers to questions on environmental exposures were properly treated as missing data. Frequency distribution, two-sided Chi-square and Fisher’s Exact test were performed for prevalence comparisons. Multivariate logistic regression was used to calculate Prevalence Odds Ratio (POR), and 95% confidence intervals (CI 95%) to assess the relation between risk factors and asthma cases [17], including the potential confounders.
Results
In this study, a questionnaire was administered to parents of enrolled (n = 95) children and adolescents. The response rate was of 93.7% (n = 89), because six questionnaires were discarded due to low compliance to their compilation. The mean and the median age of the study population was 7.2 ± 4.4 and 7 years respectively, and a similar distribution by gender (49.4% ♂; 50.6% ♀) was observed, according to the percentage of males and females in 2008–2009 in the general pediatric population in selected municipalities [14,15]. The majority (n = 46, 51.7%) of children/adolescents were from Termoli, followed by Campomarino (n = 11, 12.4%), Petacciato (n = 9, 10.1%) and Ururi (n = 8, 9.0%). A lower representativeness of other municipalities was present, with San Martino in Pensilis accounting for 6.7% (n = 6), followed by Portocannone (5.6%, n = 5), San Giacomo degli Schiavoni (3.4%, n = 3) and Guglionesi (1.1%, n = 1). Based on the core questionnaire analysis, 22 (24.7%; CI 95% 16.0-34.0) individuals (mean age 5.9 ± 5.0 years) with bronchial asthma were identified, including both “confirmed” and “probable” cases (Table  1). In details, only 7.9% (n = 7/89; CI 95% 2.3-13.5; mean age 7.0 ± 4.6 years; 4♀/3♂) of children/adolescents was defined as “confirmed cases”, most of them (n = 6) living in Termoli. However, six “confirmed cases” (85.7%) did not show asthma symptoms when the questionnaire was administered. Fifteen “probable cases” (16.8%, CI 95% 9.0-24.6, mean age 5.4 ± 3.6 years, 8♀/7♂) were identified, and the 73.3% (n = 11) was from Termoli. Description of suggestive symptoms of asthma in children/adolescents (n = 89) enrolled in the study Legend: *core questionnaire used to identify the “confirmed cases”. Asthma symptoms in children/adolescents are described in Table  1. The lifetime prevalence of wheezing or whistling in the chest in the past was reported by 45.5% (n = 10) of asthmatic children/adolescents vs 31.8% (n = 7) in the past 12 months, with 1–3 night-time attacks once or twice per week. Among “confirmed” and “probable” cases, 95.5% (n = 21) had wheezing or whistling in the past 12 months not associated with common cold or respiratory infections, 68.2% (n = 15) had nocturnal dry cough in the past 12 months apart from cold or respiratory infections, and 40.9% (n = 9) received a physical examination for cough. Breathing difficulties after physical exercises and snoring during sleep were reported in six (27.3%) and seven (31.8%) cases, respectively. Within all asthma cases, a similar distribution by gender was observed (54.5% ♀; 45.5% ♂); the majority (n = 16, 72.7%) of children/adolescents were 7 years old or younger. Only 10.0% (2/20) of cases had low (2000–2499 g) birth weight respect to 35.0% (7/20) and 55.0% (11/20) associated to a weight ranged 2500–3499 g and ≥ 3500 g, respectively. A significant difference (p < 0.001) in BMI between asthmatics and non asthma cases was found. In particular, 18.2% (n = 4) and 45.4% (n = 10) of cases were classified as at risk of overweight and obesity, respectively, whereas the 36.4% (n = 8) had lower BMI (Table  2). Asthma was significantly associated with the residence in Termoli (n = 17, 77.3%, p = 0.006), while two cases (9.1%) were from Campomarino, and only one (4.5%) was from Petacciato, Portocannone and San Martino in Pensilis (Table  2). No significant differences were observed regarding the education level of parents, as well as for their employment status and history of respiratory diseases (Table  2). Socio-demographic characteristics of children/adolescents (n = 89) Legend: *p-value Chi-square test; **p-value Fisher’s Exact test. Among enrolled children/adolescents, bronchitis (p = 0.006) and atopic dermatitis (p = 0.005) were significantly related to asthma cases, with a prevalence of 27.3% and 45.5%, respectively. Information about environmental risk factors exposure was collected. Both confirmed and probable cases were georeferenced based on the familiar residence (data not shown), although clusters nearby the industrial district were not found. Significant differences (p = 0.038) were observed between children/adolescents living in suburban or urban areas, because most of them (19/22, 86.4%) were resident in a rural or suburban zone. Moreover, differences (p = 0.040) were found about the school location, with eleven (61.1%) asthmatics attending school located in an urban area vs 38.9% (n = 7) in a suburban zone; most of them (n = 16, 72.7%) were spending up to 5–8 hours/day at school. The presence of an external or internal home heating system was not significant, as well as having air conditioning at home and regular contact with furred pets. Conversely, the self-reported exposure to exhaust gas from industrial processes was significantly (p = 0.024) different between asthmatics and non asthma cases. Both parents current tobacco-smoke exposure and number of cigarettes/day (data not shown) were not related to asthma, whereas maternal history of smoking was slightly significant (p = 0.042). However, no relation with smoking during pregnancy or during the first year of child’s life was found. Multivariate regression analysis, based on asthma outcome dependent variable, and on the significant independent variables (socio-demographic and indoor/outdoor factors), allowed to estimate Prevalence Odds Ratio (POR) and CI 95% (Table  3), adjusted for the potential confounders (age and gender). In details, only lifetime history of bronchitis, residence of children/adolescents in Termoli town, lifetime atopic dermatitis and high BMI (overweight, obesity) were significantly associated with outcome. Variables associated to asthma cases in the multivariate analysis Legend: *POR, Prevalence Odds Ratio; **CI 95%, Confidence Interval at significance level of 0.05. Parents of sixty-two (69.7%) individuals filled out the weekly individual diary (average compliance 6.6 ± 1.0 days per week); children/adolescents spent more time in indoor places (mainly at home, followed by school, sport and recreational sites) vs outdoor (parks and seaside). The most used vehicle for commuting was the car, followed by bus and train. Moreover, walking, watching television and doing recreational activity or sport were reported as the frequent activities among boys. Conversely, sedentary activities were more common among girls, followed by those light and moderate. Asthma prevalence in the study area of Termoli was further evaluated by drug prescriptions data analysis, and compared to the control area of Campobasso. Significant differences were found for asthma prevalence (p = 0.005) and gender distribution (p = 0.032) between the two areas. Particularly, among 1,004 pediatrician’s records, the 13.7% (n = 138; CI 95% 11.6-15.8) of children/adolescents (mean age 5.6 ± 3.1 years) was defined as “confirmed cases”. Among these, the 40.6% (n = 56) had an allergic and atopic asthma history, and the 28.3% (n = 39) received prescriptions for chronic symptoms control in the past 12 months. The average number of wheezing episodes per child was 3.7 ± 0.6 per year. In particular, asthma was more prevalent among males (n = 76, 55.1%), and the 81.9% (n = 113) of asthmatic children/adolescents were living in Termoli, followed by Campomarino (7.2%) and Petacciato (6.5%). In the control area of Campobasso, eighty out of 920 (8.6%) children/adolescents were identified as asthmatics, and prevalence was higher (60%, n = 48) among females. Moreover, the 72.5% (n = 58) of cases had an allergic and atopic asthma history, and the 36.2% (n = 29) received prescriptions for symptoms control in the past 12 months. The average number of wheezing attacks per child was 4.1 ± 0.1 per year.
Conclusions
Although our data indicated a prevalence concordance with previous national studies in pediatric population, results did not confirm any hypothesis related to environmental industrial factors present in the study area. In fact, only past history of atopic dermatitis and bronchitis, as well as high BMI, were strongly associated to the outcome. This study provides a first report on asthma prevalence in Molise region, contributing to complete the frame of disease epidemiology in Italy in meta-analysis or systematic review procedures, and to identify interesting relationships in the context of multiple observational studies. Indeed further insights are needed to improve the understanding of the epidemiological situation in the survey area, and the contributions of environmental stimuli in asthma development.
[ "Background", "Study design", "Questionnaires and data collection", "Weekly individual diary", "Drug prescriptions", "Statistical analysis", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "Asthma is a chronic respiratory disease, characterized by episodes or attacks of impaired breathing, affecting up to 10% of adults and 30% of children\n[1,2]. Symptoms are caused by inflammation of small airways and may include bronchial hyperresponsiveness, recurrent attacks of wheezing, shortness of breath, chest tightness and coughing, particularly at night or early morning. The variable airflow obstruction is often reversible, either spontaneously or by treatment with bronchodilators or corticosteroids\n[3,4].\nOnset of asthma usually begins early in life as a pattern of atopic wheezing that is exacerbated by allergens and viral respiratory infections, although adult-onset may occur\n[5]. The diagnosis of asthma in children may be difficult because episodic respiratory symptoms are common also in those who do not have asthma; hence, a diagnosis can be based on symptom patterns and on a clinical assessment of family history and physical findings, because early allergic sensitization increases the probability that a wheezing child will have asthma\n[6].\nThe global prevalence of asthma is difficult to estimate because of different classifications used throughout the world, different methods of assessing asthma in epidemiological studies and the lack of a definitive diagnostic test\n[7]. Anandan et al.\n[8] have shown that there is no overall decline in the prevalence of suggestive symptoms of asthma, and in Italy, during the past 20 years, prevalence has raised by 38%\n[9]. In the framework of the International Study of Asthma and Allergies in Childhood (ISAAC) Project\n[10], the first SIDRIA (Italian Studies of Respiratory Diseases in Childhood and the Environment) survey in children and adolescents (6–7 and 13–14 years old) was carried out in 10 areas of northern and central Italy\n[11,12], reporting a lifetime prevalence of 9.1%. In 2002, a second multicentre study including some areas of southern Italy reported a slightly higher prevalence of 9.5%\n[13]. At present, few data are available on the prevalence of asthma symptoms in some areas of Italy among the childhood population.\nThe aim of this study was to estimate the prevalence of bronchial asthma and related symptoms in a random sample of children and adolescents aged 0–14 years, living around the industrial area of Termoli, a town in Molise region, Central-South of Italy. The role of several risk factors was also evaluated in order to assess the association with asthma. Furthermore, both indoor and outdoor places frequented and the most common activities carried out by children/adolescents were investigated. Asthma prevalence in the same study area was further estimated by analyzing pediatricians’ databases on drug prescriptions for symptoms control and treatment.", "The survey was carried out between 2008 and 2009 in the main industrial area of the Molise region (Italy). A representative sample of 251 families (n = 665 individuals) was randomly extracted from local register offices. The selection of households was performed according to their residence around the industrial area, including eight neighboring municipalities (Termoli, Campomarino, Guglionesi, Petacciato, Portocannone, San Giacomo degli Schiavoni, San Martino in Pensilis, and Ururi), and to the proportional distribution of general population in each municipality.\nBased on similar selection criteria, an additional group of families for each municipality was extracted by systematic sampling with replacement, to ensure a high degree of population representativeness.\nFor our investigation, the subgroup (n = 95) of children and adolescents aged between 6 months and 14 years was analyzed to assess asthma prevalence. This group represented the 14.3% of the extracted sample (n = 251), in agreement with the distribution of the pediatric population in the selected municipalities in 2008 (14.6%)\n[14] and 2009 (14.4%)\n[15]. The study was approved by the Bioethics Committee at the University of Molise, Campobasso, Italy (Protocol number 7469/13).", "Asthma symptoms prevalence was measured through the administration of anonymous questionnaires, previously validated in SIDRIA studies, according to the ISAAC Steering Committee methodology\n[10] with minor modifications. Questionnaires were administered in person to parents of children and adolescents by trained interviewers, who previously obtained informed consent, according to the Italian Legislation, Decree n. 196, 30 June 2003.\nData about Body Mass Index (BMI) calculated according to Cole et al. standard\n[16], socio-demographic information, current and past asthma symptoms, schooling, lifestyles, children/adolescents’ diseases, parental history of respiratory disorders and education level, were collected.\nThe exposure to environmental pollutants was also evaluated, including passive smoking, heating systems, molds or dampness at home, and furred pets anytime throughout life. A “confirmed case” was defined on the basis of affirmative responses to the core questionnaire, including the questions “Has your child ever had asthma?”, “Has your child ever had doctor asthma diagnosis?”, “Has your child ever taken any medications or treatment for asthma?”. Furthermore, a “probable case” was identified as an individual who had at least a symptom related to asthma, such as dry cough at night not associated with common cold or chest infections in the past 12 months; wheezing or whistling in the chest during the past 12 months; sleep disturbance due to wheezing; speech limited to few words at a time due to wheezing; audible wheeze during or after physical exercises.", "Parents of children and adolescents were asked to complete the weekly individual diary to investigate the most frequented places, the common activities carried out, and time spent per day in performing some activities. The weekly diary consisted of two tables, the “daily sequence” and “daily activities”. The first table allowed to identify indoor and outdoor places daily frequented by each individual and the most common vehicle used for commuting. The “daily activities” table quantified the time spent performing activities which were classified into rest, sedentary, light, moderate and heavy.", "Information about drug prescriptions for symptom control and treatment were collected by anonymous consultation of pediatricians’ databases to evaluate asthma prevalence in the pediatric population living in the area surrounding the industrial center of Termoli. Data were compared with a lower industrialized area of Campobasso town (Molise region) as control. The inclusion criteria of “confirmed cases” were the use of beta-2 agonist short-acting bronchodilators (salbutamol); recurrent episodes of wheezing (three or more per year); asthma diagnosis according to Global Initiative for Asthma (GINA) international guidelines. Wheezing episodes (<2 per year) associated with occasional respiratory infections were considered as the exclusion criterion.\nA total of 1,004 and 920 records of patients living in the area of Termoli and Campobasso were analyzed, respectively.", "All the analyses were performed including both “confirmed” and “probable” cases using SPSS release 17.0 (SPSS Inc., Chicago, IL, USA). A p-value < 0.05 was regarded as statistically significant. For symptoms analysis, prevalence data were computed without excluding missing answers, which were therefore counted as negative or “no symptoms”, according to the standard ISAAC practice\n[12]. Conversely, avoided answers to questions on environmental exposures were properly treated as missing data. Frequency distribution, two-sided Chi-square and Fisher’s Exact test were performed for prevalence comparisons. Multivariate logistic regression was used to calculate Prevalence Odds Ratio (POR), and 95% confidence intervals (CI 95%) to assess the relation between risk factors and asthma cases\n[17], including the potential confounders.", "The authors declare that they have no competing interests.", "GR conceived of the study, participated in its design and coordination, and helped to analyze the data and draft the manuscript; MT performed the descriptive and the statistical analyses of data, and helped in writing the manuscript; MLS participated in the design of the study, in questionnaires predisposition and analysis, and helped to draft the manuscript; GdL carried out the data collection from pediatricians’ databases, and helped in writing questionnaires; AB participated in the design of the study, and analyzed and evaluated the clinical data. All authors read and approved the final manuscript.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2458/13/1038/prepub\n" ]
[ null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Study design", "Questionnaires and data collection", "Weekly individual diary", "Drug prescriptions", "Statistical analysis", "Results", "Discussion", "Conclusions", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "Asthma is a chronic respiratory disease, characterized by episodes or attacks of impaired breathing, affecting up to 10% of adults and 30% of children\n[1,2]. Symptoms are caused by inflammation of small airways and may include bronchial hyperresponsiveness, recurrent attacks of wheezing, shortness of breath, chest tightness and coughing, particularly at night or early morning. The variable airflow obstruction is often reversible, either spontaneously or by treatment with bronchodilators or corticosteroids\n[3,4].\nOnset of asthma usually begins early in life as a pattern of atopic wheezing that is exacerbated by allergens and viral respiratory infections, although adult-onset may occur\n[5]. The diagnosis of asthma in children may be difficult because episodic respiratory symptoms are common also in those who do not have asthma; hence, a diagnosis can be based on symptom patterns and on a clinical assessment of family history and physical findings, because early allergic sensitization increases the probability that a wheezing child will have asthma\n[6].\nThe global prevalence of asthma is difficult to estimate because of different classifications used throughout the world, different methods of assessing asthma in epidemiological studies and the lack of a definitive diagnostic test\n[7]. Anandan et al.\n[8] have shown that there is no overall decline in the prevalence of suggestive symptoms of asthma, and in Italy, during the past 20 years, prevalence has raised by 38%\n[9]. In the framework of the International Study of Asthma and Allergies in Childhood (ISAAC) Project\n[10], the first SIDRIA (Italian Studies of Respiratory Diseases in Childhood and the Environment) survey in children and adolescents (6–7 and 13–14 years old) was carried out in 10 areas of northern and central Italy\n[11,12], reporting a lifetime prevalence of 9.1%. In 2002, a second multicentre study including some areas of southern Italy reported a slightly higher prevalence of 9.5%\n[13]. At present, few data are available on the prevalence of asthma symptoms in some areas of Italy among the childhood population.\nThe aim of this study was to estimate the prevalence of bronchial asthma and related symptoms in a random sample of children and adolescents aged 0–14 years, living around the industrial area of Termoli, a town in Molise region, Central-South of Italy. The role of several risk factors was also evaluated in order to assess the association with asthma. Furthermore, both indoor and outdoor places frequented and the most common activities carried out by children/adolescents were investigated. Asthma prevalence in the same study area was further estimated by analyzing pediatricians’ databases on drug prescriptions for symptoms control and treatment.", " Study design The survey was carried out between 2008 and 2009 in the main industrial area of the Molise region (Italy). A representative sample of 251 families (n = 665 individuals) was randomly extracted from local register offices. The selection of households was performed according to their residence around the industrial area, including eight neighboring municipalities (Termoli, Campomarino, Guglionesi, Petacciato, Portocannone, San Giacomo degli Schiavoni, San Martino in Pensilis, and Ururi), and to the proportional distribution of general population in each municipality.\nBased on similar selection criteria, an additional group of families for each municipality was extracted by systematic sampling with replacement, to ensure a high degree of population representativeness.\nFor our investigation, the subgroup (n = 95) of children and adolescents aged between 6 months and 14 years was analyzed to assess asthma prevalence. This group represented the 14.3% of the extracted sample (n = 251), in agreement with the distribution of the pediatric population in the selected municipalities in 2008 (14.6%)\n[14] and 2009 (14.4%)\n[15]. The study was approved by the Bioethics Committee at the University of Molise, Campobasso, Italy (Protocol number 7469/13).\nThe survey was carried out between 2008 and 2009 in the main industrial area of the Molise region (Italy). A representative sample of 251 families (n = 665 individuals) was randomly extracted from local register offices. The selection of households was performed according to their residence around the industrial area, including eight neighboring municipalities (Termoli, Campomarino, Guglionesi, Petacciato, Portocannone, San Giacomo degli Schiavoni, San Martino in Pensilis, and Ururi), and to the proportional distribution of general population in each municipality.\nBased on similar selection criteria, an additional group of families for each municipality was extracted by systematic sampling with replacement, to ensure a high degree of population representativeness.\nFor our investigation, the subgroup (n = 95) of children and adolescents aged between 6 months and 14 years was analyzed to assess asthma prevalence. This group represented the 14.3% of the extracted sample (n = 251), in agreement with the distribution of the pediatric population in the selected municipalities in 2008 (14.6%)\n[14] and 2009 (14.4%)\n[15]. The study was approved by the Bioethics Committee at the University of Molise, Campobasso, Italy (Protocol number 7469/13).\n Questionnaires and data collection Asthma symptoms prevalence was measured through the administration of anonymous questionnaires, previously validated in SIDRIA studies, according to the ISAAC Steering Committee methodology\n[10] with minor modifications. Questionnaires were administered in person to parents of children and adolescents by trained interviewers, who previously obtained informed consent, according to the Italian Legislation, Decree n. 196, 30 June 2003.\nData about Body Mass Index (BMI) calculated according to Cole et al. standard\n[16], socio-demographic information, current and past asthma symptoms, schooling, lifestyles, children/adolescents’ diseases, parental history of respiratory disorders and education level, were collected.\nThe exposure to environmental pollutants was also evaluated, including passive smoking, heating systems, molds or dampness at home, and furred pets anytime throughout life. A “confirmed case” was defined on the basis of affirmative responses to the core questionnaire, including the questions “Has your child ever had asthma?”, “Has your child ever had doctor asthma diagnosis?”, “Has your child ever taken any medications or treatment for asthma?”. Furthermore, a “probable case” was identified as an individual who had at least a symptom related to asthma, such as dry cough at night not associated with common cold or chest infections in the past 12 months; wheezing or whistling in the chest during the past 12 months; sleep disturbance due to wheezing; speech limited to few words at a time due to wheezing; audible wheeze during or after physical exercises.\nAsthma symptoms prevalence was measured through the administration of anonymous questionnaires, previously validated in SIDRIA studies, according to the ISAAC Steering Committee methodology\n[10] with minor modifications. Questionnaires were administered in person to parents of children and adolescents by trained interviewers, who previously obtained informed consent, according to the Italian Legislation, Decree n. 196, 30 June 2003.\nData about Body Mass Index (BMI) calculated according to Cole et al. standard\n[16], socio-demographic information, current and past asthma symptoms, schooling, lifestyles, children/adolescents’ diseases, parental history of respiratory disorders and education level, were collected.\nThe exposure to environmental pollutants was also evaluated, including passive smoking, heating systems, molds or dampness at home, and furred pets anytime throughout life. A “confirmed case” was defined on the basis of affirmative responses to the core questionnaire, including the questions “Has your child ever had asthma?”, “Has your child ever had doctor asthma diagnosis?”, “Has your child ever taken any medications or treatment for asthma?”. Furthermore, a “probable case” was identified as an individual who had at least a symptom related to asthma, such as dry cough at night not associated with common cold or chest infections in the past 12 months; wheezing or whistling in the chest during the past 12 months; sleep disturbance due to wheezing; speech limited to few words at a time due to wheezing; audible wheeze during or after physical exercises.\n Weekly individual diary Parents of children and adolescents were asked to complete the weekly individual diary to investigate the most frequented places, the common activities carried out, and time spent per day in performing some activities. The weekly diary consisted of two tables, the “daily sequence” and “daily activities”. The first table allowed to identify indoor and outdoor places daily frequented by each individual and the most common vehicle used for commuting. The “daily activities” table quantified the time spent performing activities which were classified into rest, sedentary, light, moderate and heavy.\nParents of children and adolescents were asked to complete the weekly individual diary to investigate the most frequented places, the common activities carried out, and time spent per day in performing some activities. The weekly diary consisted of two tables, the “daily sequence” and “daily activities”. The first table allowed to identify indoor and outdoor places daily frequented by each individual and the most common vehicle used for commuting. The “daily activities” table quantified the time spent performing activities which were classified into rest, sedentary, light, moderate and heavy.\n Drug prescriptions Information about drug prescriptions for symptom control and treatment were collected by anonymous consultation of pediatricians’ databases to evaluate asthma prevalence in the pediatric population living in the area surrounding the industrial center of Termoli. Data were compared with a lower industrialized area of Campobasso town (Molise region) as control. The inclusion criteria of “confirmed cases” were the use of beta-2 agonist short-acting bronchodilators (salbutamol); recurrent episodes of wheezing (three or more per year); asthma diagnosis according to Global Initiative for Asthma (GINA) international guidelines. Wheezing episodes (<2 per year) associated with occasional respiratory infections were considered as the exclusion criterion.\nA total of 1,004 and 920 records of patients living in the area of Termoli and Campobasso were analyzed, respectively.\nInformation about drug prescriptions for symptom control and treatment were collected by anonymous consultation of pediatricians’ databases to evaluate asthma prevalence in the pediatric population living in the area surrounding the industrial center of Termoli. Data were compared with a lower industrialized area of Campobasso town (Molise region) as control. The inclusion criteria of “confirmed cases” were the use of beta-2 agonist short-acting bronchodilators (salbutamol); recurrent episodes of wheezing (three or more per year); asthma diagnosis according to Global Initiative for Asthma (GINA) international guidelines. Wheezing episodes (<2 per year) associated with occasional respiratory infections were considered as the exclusion criterion.\nA total of 1,004 and 920 records of patients living in the area of Termoli and Campobasso were analyzed, respectively.\n Statistical analysis All the analyses were performed including both “confirmed” and “probable” cases using SPSS release 17.0 (SPSS Inc., Chicago, IL, USA). A p-value < 0.05 was regarded as statistically significant. For symptoms analysis, prevalence data were computed without excluding missing answers, which were therefore counted as negative or “no symptoms”, according to the standard ISAAC practice\n[12]. Conversely, avoided answers to questions on environmental exposures were properly treated as missing data. Frequency distribution, two-sided Chi-square and Fisher’s Exact test were performed for prevalence comparisons. Multivariate logistic regression was used to calculate Prevalence Odds Ratio (POR), and 95% confidence intervals (CI 95%) to assess the relation between risk factors and asthma cases\n[17], including the potential confounders.\nAll the analyses were performed including both “confirmed” and “probable” cases using SPSS release 17.0 (SPSS Inc., Chicago, IL, USA). A p-value < 0.05 was regarded as statistically significant. For symptoms analysis, prevalence data were computed without excluding missing answers, which were therefore counted as negative or “no symptoms”, according to the standard ISAAC practice\n[12]. Conversely, avoided answers to questions on environmental exposures were properly treated as missing data. Frequency distribution, two-sided Chi-square and Fisher’s Exact test were performed for prevalence comparisons. Multivariate logistic regression was used to calculate Prevalence Odds Ratio (POR), and 95% confidence intervals (CI 95%) to assess the relation between risk factors and asthma cases\n[17], including the potential confounders.", "The survey was carried out between 2008 and 2009 in the main industrial area of the Molise region (Italy). A representative sample of 251 families (n = 665 individuals) was randomly extracted from local register offices. The selection of households was performed according to their residence around the industrial area, including eight neighboring municipalities (Termoli, Campomarino, Guglionesi, Petacciato, Portocannone, San Giacomo degli Schiavoni, San Martino in Pensilis, and Ururi), and to the proportional distribution of general population in each municipality.\nBased on similar selection criteria, an additional group of families for each municipality was extracted by systematic sampling with replacement, to ensure a high degree of population representativeness.\nFor our investigation, the subgroup (n = 95) of children and adolescents aged between 6 months and 14 years was analyzed to assess asthma prevalence. This group represented the 14.3% of the extracted sample (n = 251), in agreement with the distribution of the pediatric population in the selected municipalities in 2008 (14.6%)\n[14] and 2009 (14.4%)\n[15]. The study was approved by the Bioethics Committee at the University of Molise, Campobasso, Italy (Protocol number 7469/13).", "Asthma symptoms prevalence was measured through the administration of anonymous questionnaires, previously validated in SIDRIA studies, according to the ISAAC Steering Committee methodology\n[10] with minor modifications. Questionnaires were administered in person to parents of children and adolescents by trained interviewers, who previously obtained informed consent, according to the Italian Legislation, Decree n. 196, 30 June 2003.\nData about Body Mass Index (BMI) calculated according to Cole et al. standard\n[16], socio-demographic information, current and past asthma symptoms, schooling, lifestyles, children/adolescents’ diseases, parental history of respiratory disorders and education level, were collected.\nThe exposure to environmental pollutants was also evaluated, including passive smoking, heating systems, molds or dampness at home, and furred pets anytime throughout life. A “confirmed case” was defined on the basis of affirmative responses to the core questionnaire, including the questions “Has your child ever had asthma?”, “Has your child ever had doctor asthma diagnosis?”, “Has your child ever taken any medications or treatment for asthma?”. Furthermore, a “probable case” was identified as an individual who had at least a symptom related to asthma, such as dry cough at night not associated with common cold or chest infections in the past 12 months; wheezing or whistling in the chest during the past 12 months; sleep disturbance due to wheezing; speech limited to few words at a time due to wheezing; audible wheeze during or after physical exercises.", "Parents of children and adolescents were asked to complete the weekly individual diary to investigate the most frequented places, the common activities carried out, and time spent per day in performing some activities. The weekly diary consisted of two tables, the “daily sequence” and “daily activities”. The first table allowed to identify indoor and outdoor places daily frequented by each individual and the most common vehicle used for commuting. The “daily activities” table quantified the time spent performing activities which were classified into rest, sedentary, light, moderate and heavy.", "Information about drug prescriptions for symptom control and treatment were collected by anonymous consultation of pediatricians’ databases to evaluate asthma prevalence in the pediatric population living in the area surrounding the industrial center of Termoli. Data were compared with a lower industrialized area of Campobasso town (Molise region) as control. The inclusion criteria of “confirmed cases” were the use of beta-2 agonist short-acting bronchodilators (salbutamol); recurrent episodes of wheezing (three or more per year); asthma diagnosis according to Global Initiative for Asthma (GINA) international guidelines. Wheezing episodes (<2 per year) associated with occasional respiratory infections were considered as the exclusion criterion.\nA total of 1,004 and 920 records of patients living in the area of Termoli and Campobasso were analyzed, respectively.", "All the analyses were performed including both “confirmed” and “probable” cases using SPSS release 17.0 (SPSS Inc., Chicago, IL, USA). A p-value < 0.05 was regarded as statistically significant. For symptoms analysis, prevalence data were computed without excluding missing answers, which were therefore counted as negative or “no symptoms”, according to the standard ISAAC practice\n[12]. Conversely, avoided answers to questions on environmental exposures were properly treated as missing data. Frequency distribution, two-sided Chi-square and Fisher’s Exact test were performed for prevalence comparisons. Multivariate logistic regression was used to calculate Prevalence Odds Ratio (POR), and 95% confidence intervals (CI 95%) to assess the relation between risk factors and asthma cases\n[17], including the potential confounders.", "In this study, a questionnaire was administered to parents of enrolled (n = 95) children and adolescents. The response rate was of 93.7% (n = 89), because six questionnaires were discarded due to low compliance to their compilation. The mean and the median age of the study population was 7.2 ± 4.4 and 7 years respectively, and a similar distribution by gender (49.4% ♂; 50.6% ♀) was observed, according to the percentage of males and females in 2008–2009 in the general pediatric population in selected municipalities\n[14,15]. The majority (n = 46, 51.7%) of children/adolescents were from Termoli, followed by Campomarino (n = 11, 12.4%), Petacciato (n = 9, 10.1%) and Ururi (n = 8, 9.0%). A lower representativeness of other municipalities was present, with San Martino in Pensilis accounting for 6.7% (n = 6), followed by Portocannone (5.6%, n = 5), San Giacomo degli Schiavoni (3.4%, n = 3) and Guglionesi (1.1%, n = 1).\nBased on the core questionnaire analysis, 22 (24.7%; CI 95% 16.0-34.0) individuals (mean age 5.9 ± 5.0 years) with bronchial asthma were identified, including both “confirmed” and “probable” cases (Table \n1). In details, only 7.9% (n = 7/89; CI 95% 2.3-13.5; mean age 7.0 ± 4.6 years; 4♀/3♂) of children/adolescents was defined as “confirmed cases”, most of them (n = 6) living in Termoli. However, six “confirmed cases” (85.7%) did not show asthma symptoms when the questionnaire was administered. Fifteen “probable cases” (16.8%, CI 95% 9.0-24.6, mean age 5.4 ± 3.6 years, 8♀/7♂) were identified, and the 73.3% (n = 11) was from Termoli.\nDescription of suggestive symptoms of asthma in children/adolescents (n = 89) enrolled in the study\nLegend: *core questionnaire used to identify the “confirmed cases”.\nAsthma symptoms in children/adolescents are described in Table \n1. The lifetime prevalence of wheezing or whistling in the chest in the past was reported by 45.5% (n = 10) of asthmatic children/adolescents vs 31.8% (n = 7) in the past 12 months, with 1–3 night-time attacks once or twice per week. Among “confirmed” and “probable” cases, 95.5% (n = 21) had wheezing or whistling in the past 12 months not associated with common cold or respiratory infections, 68.2% (n = 15) had nocturnal dry cough in the past 12 months apart from cold or respiratory infections, and 40.9% (n = 9) received a physical examination for cough. Breathing difficulties after physical exercises and snoring during sleep were reported in six (27.3%) and seven (31.8%) cases, respectively.\nWithin all asthma cases, a similar distribution by gender was observed (54.5% ♀; 45.5% ♂); the majority (n = 16, 72.7%) of children/adolescents were 7 years old or younger. Only 10.0% (2/20) of cases had low (2000–2499 g) birth weight respect to 35.0% (7/20) and 55.0% (11/20) associated to a weight ranged 2500–3499 g and ≥ 3500 g, respectively. A significant difference (p < 0.001) in BMI between asthmatics and non asthma cases was found. In particular, 18.2% (n = 4) and 45.4% (n = 10) of cases were classified as at risk of overweight and obesity, respectively, whereas the 36.4% (n = 8) had lower BMI (Table \n2). Asthma was significantly associated with the residence in Termoli (n = 17, 77.3%, p = 0.006), while two cases (9.1%) were from Campomarino, and only one (4.5%) was from Petacciato, Portocannone and San Martino in Pensilis (Table \n2). No significant differences were observed regarding the education level of parents, as well as for their employment status and history of respiratory diseases (Table \n2).\nSocio-demographic characteristics of children/adolescents (n = 89)\nLegend: *p-value Chi-square test; **p-value Fisher’s Exact test.\nAmong enrolled children/adolescents, bronchitis (p = 0.006) and atopic dermatitis (p = 0.005) were significantly related to asthma cases, with a prevalence of 27.3% and 45.5%, respectively.\nInformation about environmental risk factors exposure was collected. Both confirmed and probable cases were georeferenced based on the familiar residence (data not shown), although clusters nearby the industrial district were not found. Significant differences (p = 0.038) were observed between children/adolescents living in suburban or urban areas, because most of them (19/22, 86.4%) were resident in a rural or suburban zone. Moreover, differences (p = 0.040) were found about the school location, with eleven (61.1%) asthmatics attending school located in an urban area vs 38.9% (n = 7) in a suburban zone; most of them (n = 16, 72.7%) were spending up to 5–8 hours/day at school. The presence of an external or internal home heating system was not significant, as well as having air conditioning at home and regular contact with furred pets. Conversely, the self-reported exposure to exhaust gas from industrial processes was significantly (p = 0.024) different between asthmatics and non asthma cases. Both parents current tobacco-smoke exposure and number of cigarettes/day (data not shown) were not related to asthma, whereas maternal history of smoking was slightly significant (p = 0.042). However, no relation with smoking during pregnancy or during the first year of child’s life was found.\nMultivariate regression analysis, based on asthma outcome dependent variable, and on the significant independent variables (socio-demographic and indoor/outdoor factors), allowed to estimate Prevalence Odds Ratio (POR) and CI 95% (Table \n3), adjusted for the potential confounders (age and gender). In details, only lifetime history of bronchitis, residence of children/adolescents in Termoli town, lifetime atopic dermatitis and high BMI (overweight, obesity) were significantly associated with outcome.\nVariables associated to asthma cases in the multivariate analysis\nLegend: *POR, Prevalence Odds Ratio; **CI 95%, Confidence Interval at significance level of 0.05.\nParents of sixty-two (69.7%) individuals filled out the weekly individual diary (average compliance 6.6 ± 1.0 days per week); children/adolescents spent more time in indoor places (mainly at home, followed by school, sport and recreational sites) vs outdoor (parks and seaside). The most used vehicle for commuting was the car, followed by bus and train. Moreover, walking, watching television and doing recreational activity or sport were reported as the frequent activities among boys. Conversely, sedentary activities were more common among girls, followed by those light and moderate.\nAsthma prevalence in the study area of Termoli was further evaluated by drug prescriptions data analysis, and compared to the control area of Campobasso. Significant differences were found for asthma prevalence (p = 0.005) and gender distribution (p = 0.032) between the two areas. Particularly, among 1,004 pediatrician’s records, the 13.7% (n = 138; CI 95% 11.6-15.8) of children/adolescents (mean age 5.6 ± 3.1 years) was defined as “confirmed cases”. Among these, the 40.6% (n = 56) had an allergic and atopic asthma history, and the 28.3% (n = 39) received prescriptions for chronic symptoms control in the past 12 months. The average number of wheezing episodes per child was 3.7 ± 0.6 per year. In particular, asthma was more prevalent among males (n = 76, 55.1%), and the 81.9% (n = 113) of asthmatic children/adolescents were living in Termoli, followed by Campomarino (7.2%) and Petacciato (6.5%). In the control area of Campobasso, eighty out of 920 (8.6%) children/adolescents were identified as asthmatics, and prevalence was higher (60%, n = 48) among females. Moreover, the 72.5% (n = 58) of cases had an allergic and atopic asthma history, and the 36.2% (n = 29) received prescriptions for symptoms control in the past 12 months. The average number of wheezing attacks per child was 4.1 ± 0.1 per year.", "In this study, by using ISAAC questionnaires methodology, including only “confirmed cases”, a prevalence of 7.9% was found which is almost in agreement with previous Italian SIDRIA studies\n[13], where asthma occurred in the 9.1-9.5% and 9.1-10.4% of children (6–7 years) and adolescents (13–14 years), respectively over 1994–95 and 2002. By drug prescriptions analysis, a higher proportion (13.7%) of diagnosed asthmatic children/adolescents in the same area was observed, highlighting a discrepancy, in agreement with some Authors\n[18], between questionnaires vs pediatrician’s database results; however, these differences were not statistical significant. Indeed, the small number of cases could have affected the discrepancy found in our study. The identification of cases by questionnaire remains a contentious issue\n[19] respect to anti-asthmatic drug prescriptions methodology, which has the advantage to eliminate selection and recall bias affecting the prevalence estimates in cross-sectional surveys based on self-reported or parental-reported symptoms\n[20]. However, the use of asthma drugs differs by country (4-26%) and by age, limiting any good comparison between different studies\n[21].\nBy including “probable cases”, the overall prevalence of suggestive symptoms of asthma was higher (24.7%) than data referred to Italian childhood population\n[12,13]. Anyway, to assess the real health condition/status of these children, an accurate medical examination should be conducted.\nOver the last years, published data provided a better understanding of the etiology of childhood asthma, improving the significance of socio-demographic and environmental determinants in disease development. Although it is well known that before puberty global prevalence of asthmatic symptoms is higher in boys than girls\n[22], decreases with age and disappears in adolescence\n[23], in our study no significant gender-related differences were established when ISAAC questionnaire methodology was followed, and a higher prevalence among girls was found. Based on physician’s prescription data, asthma prevalence was significantly different comparing the industrial area and the control one, and differences between the two areas were confirmed for gender distribution, with prevalence significantly higher in males than in females. To date, asthma has been reported to be 25-70% more common in males compared to females under age 15, while after puberty, the gender differences are reversed\n[22]. The reduced likelihood of diagnosing asthma in girls could be partly explained by the earlier onset of symptoms and a longer history of wheeze in boys, which gives them more time to be identified as asthmatics. Thus, some under-diagnosing of asthma due to female gender could not be excluded\n[24]. Recently, sex-specific trends revealed an increased prevalence among females causing a distribution towards the equalization, although male preponderance persists in diagnosed asthma\n[25].\nOur results did not show any association between asthma and low birth weight, which usually represents a predisposing factor for lower lung function and development of disease\n[26], especially in children/adolescents with birth weight below 3,000 g\n[27]. Similarly, a high birth weight (> 4,500 g) may be a risk factor for asthma in childhood\n[28] promoting airways inflammation, but no association could have been evaluated because of low representativeness of this category.\nNo significant differences comparing children whose mother/father had received less than 13 years of education or more were found, in disagreement with some Authors who reported that a higher maternal and paternal educational level may increase the risk of wheeze/asthma and eczema, respectively\n[29]. Although some Authors reported that children’s asthma is likely to be more associated with unemployed parents\n[30], we did not find any relation with parental employment status. Conversely, a significant association with elevated BMI was observed, in agreement with previous SIDRIA and other international studies\n[26,27] which indicated that overweight and obese children/adolescents are at greater risk of developing asthma. Interestingly, a national survey\n[31] reported an excess weight in 34.0% of Italian children/adolescents, and an increased prevalence up to 41.3% in Molise region, where the 14.8% and 26.5% are obese or overweight, respectively.\nIt has been suggested that obesity could precede asthma, increase the clinical severity of disease and reduce quality of life of asthmatics\n[32]. Possible mechanisms to explain the relation between asthma and high BMI may include airway inflammation, mechanical changes directly related to obesity, changes in airway hyperresponsiveness, physical activity and diet. Moreover, Galassi et al.\n[13] demonstrated that asthma prevalence in overweight children/adolescents was more frequently reported in areas of southern-Italy, where physical activity is less frequent, and unhealthy diet habits are more common. Lifetime history of both allergic rhinitis and pneumonia was not significantly related to asthma, as well as familiar allergic/respiratory disorders, while researchers have indicated a central role of genetic factors in an increased risk of asthma development\n[33]. On the contrary, lifetime history of both atopic dermatitis and bronchitis were significant risk factors. These findings are consistent with other studies that reported a higher prevalence of asthma onset in relation to respiratory infections in children\n[34]. Mechanisms by which respiratory viruses cause asthma exacerbations have been extensively investigated\n[35]. Bronchitis and asthma are, in fact, considerable respiratory health issues, leading major morbidity and high socio-economic costs\n[36]. Similarly, atopic dermatitis has been demonstrated as the chronic disease mainly affecting infants and adolescents, with an increased prevalence in childhood asthma and allergic disorders\n[25,37].\nAmong the environmental conditions, indoor factors are of particular concern because children and adolescents globally spend more than 80% of their time indoors\n[2]. To date, the most consistent findings for induction of childhood asthma have been related to tobacco-smoke exposure and maternal smoking during pregnancy\n[38]. However, our results did not show any relation with both current and prenatal tobacco-smoke exposure, which is generally associated by at least 20% with airway inflammation and an increased incidence of early/persistent wheezing and asthma in children/adolescents\n[38,39]. Self-reported presence of dampness or visible molds growth in home, associated to wheezing phenotypes and persistent cough, was not related to disease. Furthermore, no significant relation with furred pets exposure was observed, whose role in allergic diseases and asthma development is still controversial\n[40].\nExposure to outdoor pollutants was evaluated by parent self-reported assessment, and being resident in an area exposed to exhaust gas from industrial processes was significantly different in asthma cases compared to non asthmatics, but further insights are needed to clearly define any hypothesis. The relation between asthma and residence zone was investigated, but relevant differences were found only for school and residing location in an urban or suburban area. A significant association with outcome was found for asthmatic children/adolescents living in the municipality of Termoli that may be subjected to higher environmental pressure due to industrial/manufacturing activities and presence of toll road, state highway, railroad, and seaport which may cause air pollution from motor vehicle traffic and increase asthma induction, according to other studies\n[19,41,42].\nWe acknowledge some limitations of the study, such as the use of parental-reported symptoms, whose accuracy was not confirmed, and sample size for a definitive evaluation of asthma risk factors.", "Although our data indicated a prevalence concordance with previous national studies in pediatric population, results did not confirm any hypothesis related to environmental industrial factors present in the study area. In fact, only past history of atopic dermatitis and bronchitis, as well as high BMI, were strongly associated to the outcome. This study provides a first report on asthma prevalence in Molise region, contributing to complete the frame of disease epidemiology in Italy in meta-analysis or systematic review procedures, and to identify interesting relationships in the context of multiple observational studies. Indeed further insights are needed to improve the understanding of the epidemiological situation in the survey area, and the contributions of environmental stimuli in asthma development.", "The authors declare that they have no competing interests.", "GR conceived of the study, participated in its design and coordination, and helped to analyze the data and draft the manuscript; MT performed the descriptive and the statistical analyses of data, and helped in writing the manuscript; MLS participated in the design of the study, in questionnaires predisposition and analysis, and helped to draft the manuscript; GdL carried out the data collection from pediatricians’ databases, and helped in writing questionnaires; AB participated in the design of the study, and analyzed and evaluated the clinical data. All authors read and approved the final manuscript.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2458/13/1038/prepub\n" ]
[ null, "methods", null, null, null, null, null, "results", "discussion", "conclusions", null, null, null ]
[ "Childhood asthma", "Industrial area", "Prevalence", "Risk factors", "Drug prescription" ]
Background: Asthma is a chronic respiratory disease, characterized by episodes or attacks of impaired breathing, affecting up to 10% of adults and 30% of children [1,2]. Symptoms are caused by inflammation of small airways and may include bronchial hyperresponsiveness, recurrent attacks of wheezing, shortness of breath, chest tightness and coughing, particularly at night or early morning. The variable airflow obstruction is often reversible, either spontaneously or by treatment with bronchodilators or corticosteroids [3,4]. Onset of asthma usually begins early in life as a pattern of atopic wheezing that is exacerbated by allergens and viral respiratory infections, although adult-onset may occur [5]. The diagnosis of asthma in children may be difficult because episodic respiratory symptoms are common also in those who do not have asthma; hence, a diagnosis can be based on symptom patterns and on a clinical assessment of family history and physical findings, because early allergic sensitization increases the probability that a wheezing child will have asthma [6]. The global prevalence of asthma is difficult to estimate because of different classifications used throughout the world, different methods of assessing asthma in epidemiological studies and the lack of a definitive diagnostic test [7]. Anandan et al. [8] have shown that there is no overall decline in the prevalence of suggestive symptoms of asthma, and in Italy, during the past 20 years, prevalence has raised by 38% [9]. In the framework of the International Study of Asthma and Allergies in Childhood (ISAAC) Project [10], the first SIDRIA (Italian Studies of Respiratory Diseases in Childhood and the Environment) survey in children and adolescents (6–7 and 13–14 years old) was carried out in 10 areas of northern and central Italy [11,12], reporting a lifetime prevalence of 9.1%. In 2002, a second multicentre study including some areas of southern Italy reported a slightly higher prevalence of 9.5% [13]. At present, few data are available on the prevalence of asthma symptoms in some areas of Italy among the childhood population. The aim of this study was to estimate the prevalence of bronchial asthma and related symptoms in a random sample of children and adolescents aged 0–14 years, living around the industrial area of Termoli, a town in Molise region, Central-South of Italy. The role of several risk factors was also evaluated in order to assess the association with asthma. Furthermore, both indoor and outdoor places frequented and the most common activities carried out by children/adolescents were investigated. Asthma prevalence in the same study area was further estimated by analyzing pediatricians’ databases on drug prescriptions for symptoms control and treatment. Methods: Study design The survey was carried out between 2008 and 2009 in the main industrial area of the Molise region (Italy). A representative sample of 251 families (n = 665 individuals) was randomly extracted from local register offices. The selection of households was performed according to their residence around the industrial area, including eight neighboring municipalities (Termoli, Campomarino, Guglionesi, Petacciato, Portocannone, San Giacomo degli Schiavoni, San Martino in Pensilis, and Ururi), and to the proportional distribution of general population in each municipality. Based on similar selection criteria, an additional group of families for each municipality was extracted by systematic sampling with replacement, to ensure a high degree of population representativeness. For our investigation, the subgroup (n = 95) of children and adolescents aged between 6 months and 14 years was analyzed to assess asthma prevalence. This group represented the 14.3% of the extracted sample (n = 251), in agreement with the distribution of the pediatric population in the selected municipalities in 2008 (14.6%) [14] and 2009 (14.4%) [15]. The study was approved by the Bioethics Committee at the University of Molise, Campobasso, Italy (Protocol number 7469/13). The survey was carried out between 2008 and 2009 in the main industrial area of the Molise region (Italy). A representative sample of 251 families (n = 665 individuals) was randomly extracted from local register offices. The selection of households was performed according to their residence around the industrial area, including eight neighboring municipalities (Termoli, Campomarino, Guglionesi, Petacciato, Portocannone, San Giacomo degli Schiavoni, San Martino in Pensilis, and Ururi), and to the proportional distribution of general population in each municipality. Based on similar selection criteria, an additional group of families for each municipality was extracted by systematic sampling with replacement, to ensure a high degree of population representativeness. For our investigation, the subgroup (n = 95) of children and adolescents aged between 6 months and 14 years was analyzed to assess asthma prevalence. This group represented the 14.3% of the extracted sample (n = 251), in agreement with the distribution of the pediatric population in the selected municipalities in 2008 (14.6%) [14] and 2009 (14.4%) [15]. The study was approved by the Bioethics Committee at the University of Molise, Campobasso, Italy (Protocol number 7469/13). Questionnaires and data collection Asthma symptoms prevalence was measured through the administration of anonymous questionnaires, previously validated in SIDRIA studies, according to the ISAAC Steering Committee methodology [10] with minor modifications. Questionnaires were administered in person to parents of children and adolescents by trained interviewers, who previously obtained informed consent, according to the Italian Legislation, Decree n. 196, 30 June 2003. Data about Body Mass Index (BMI) calculated according to Cole et al. standard [16], socio-demographic information, current and past asthma symptoms, schooling, lifestyles, children/adolescents’ diseases, parental history of respiratory disorders and education level, were collected. The exposure to environmental pollutants was also evaluated, including passive smoking, heating systems, molds or dampness at home, and furred pets anytime throughout life. A “confirmed case” was defined on the basis of affirmative responses to the core questionnaire, including the questions “Has your child ever had asthma?”, “Has your child ever had doctor asthma diagnosis?”, “Has your child ever taken any medications or treatment for asthma?”. Furthermore, a “probable case” was identified as an individual who had at least a symptom related to asthma, such as dry cough at night not associated with common cold or chest infections in the past 12 months; wheezing or whistling in the chest during the past 12 months; sleep disturbance due to wheezing; speech limited to few words at a time due to wheezing; audible wheeze during or after physical exercises. Asthma symptoms prevalence was measured through the administration of anonymous questionnaires, previously validated in SIDRIA studies, according to the ISAAC Steering Committee methodology [10] with minor modifications. Questionnaires were administered in person to parents of children and adolescents by trained interviewers, who previously obtained informed consent, according to the Italian Legislation, Decree n. 196, 30 June 2003. Data about Body Mass Index (BMI) calculated according to Cole et al. standard [16], socio-demographic information, current and past asthma symptoms, schooling, lifestyles, children/adolescents’ diseases, parental history of respiratory disorders and education level, were collected. The exposure to environmental pollutants was also evaluated, including passive smoking, heating systems, molds or dampness at home, and furred pets anytime throughout life. A “confirmed case” was defined on the basis of affirmative responses to the core questionnaire, including the questions “Has your child ever had asthma?”, “Has your child ever had doctor asthma diagnosis?”, “Has your child ever taken any medications or treatment for asthma?”. Furthermore, a “probable case” was identified as an individual who had at least a symptom related to asthma, such as dry cough at night not associated with common cold or chest infections in the past 12 months; wheezing or whistling in the chest during the past 12 months; sleep disturbance due to wheezing; speech limited to few words at a time due to wheezing; audible wheeze during or after physical exercises. Weekly individual diary Parents of children and adolescents were asked to complete the weekly individual diary to investigate the most frequented places, the common activities carried out, and time spent per day in performing some activities. The weekly diary consisted of two tables, the “daily sequence” and “daily activities”. The first table allowed to identify indoor and outdoor places daily frequented by each individual and the most common vehicle used for commuting. The “daily activities” table quantified the time spent performing activities which were classified into rest, sedentary, light, moderate and heavy. Parents of children and adolescents were asked to complete the weekly individual diary to investigate the most frequented places, the common activities carried out, and time spent per day in performing some activities. The weekly diary consisted of two tables, the “daily sequence” and “daily activities”. The first table allowed to identify indoor and outdoor places daily frequented by each individual and the most common vehicle used for commuting. The “daily activities” table quantified the time spent performing activities which were classified into rest, sedentary, light, moderate and heavy. Drug prescriptions Information about drug prescriptions for symptom control and treatment were collected by anonymous consultation of pediatricians’ databases to evaluate asthma prevalence in the pediatric population living in the area surrounding the industrial center of Termoli. Data were compared with a lower industrialized area of Campobasso town (Molise region) as control. The inclusion criteria of “confirmed cases” were the use of beta-2 agonist short-acting bronchodilators (salbutamol); recurrent episodes of wheezing (three or more per year); asthma diagnosis according to Global Initiative for Asthma (GINA) international guidelines. Wheezing episodes (<2 per year) associated with occasional respiratory infections were considered as the exclusion criterion. A total of 1,004 and 920 records of patients living in the area of Termoli and Campobasso were analyzed, respectively. Information about drug prescriptions for symptom control and treatment were collected by anonymous consultation of pediatricians’ databases to evaluate asthma prevalence in the pediatric population living in the area surrounding the industrial center of Termoli. Data were compared with a lower industrialized area of Campobasso town (Molise region) as control. The inclusion criteria of “confirmed cases” were the use of beta-2 agonist short-acting bronchodilators (salbutamol); recurrent episodes of wheezing (three or more per year); asthma diagnosis according to Global Initiative for Asthma (GINA) international guidelines. Wheezing episodes (<2 per year) associated with occasional respiratory infections were considered as the exclusion criterion. A total of 1,004 and 920 records of patients living in the area of Termoli and Campobasso were analyzed, respectively. Statistical analysis All the analyses were performed including both “confirmed” and “probable” cases using SPSS release 17.0 (SPSS Inc., Chicago, IL, USA). A p-value < 0.05 was regarded as statistically significant. For symptoms analysis, prevalence data were computed without excluding missing answers, which were therefore counted as negative or “no symptoms”, according to the standard ISAAC practice [12]. Conversely, avoided answers to questions on environmental exposures were properly treated as missing data. Frequency distribution, two-sided Chi-square and Fisher’s Exact test were performed for prevalence comparisons. Multivariate logistic regression was used to calculate Prevalence Odds Ratio (POR), and 95% confidence intervals (CI 95%) to assess the relation between risk factors and asthma cases [17], including the potential confounders. All the analyses were performed including both “confirmed” and “probable” cases using SPSS release 17.0 (SPSS Inc., Chicago, IL, USA). A p-value < 0.05 was regarded as statistically significant. For symptoms analysis, prevalence data were computed without excluding missing answers, which were therefore counted as negative or “no symptoms”, according to the standard ISAAC practice [12]. Conversely, avoided answers to questions on environmental exposures were properly treated as missing data. Frequency distribution, two-sided Chi-square and Fisher’s Exact test were performed for prevalence comparisons. Multivariate logistic regression was used to calculate Prevalence Odds Ratio (POR), and 95% confidence intervals (CI 95%) to assess the relation between risk factors and asthma cases [17], including the potential confounders. Study design: The survey was carried out between 2008 and 2009 in the main industrial area of the Molise region (Italy). A representative sample of 251 families (n = 665 individuals) was randomly extracted from local register offices. The selection of households was performed according to their residence around the industrial area, including eight neighboring municipalities (Termoli, Campomarino, Guglionesi, Petacciato, Portocannone, San Giacomo degli Schiavoni, San Martino in Pensilis, and Ururi), and to the proportional distribution of general population in each municipality. Based on similar selection criteria, an additional group of families for each municipality was extracted by systematic sampling with replacement, to ensure a high degree of population representativeness. For our investigation, the subgroup (n = 95) of children and adolescents aged between 6 months and 14 years was analyzed to assess asthma prevalence. This group represented the 14.3% of the extracted sample (n = 251), in agreement with the distribution of the pediatric population in the selected municipalities in 2008 (14.6%) [14] and 2009 (14.4%) [15]. The study was approved by the Bioethics Committee at the University of Molise, Campobasso, Italy (Protocol number 7469/13). Questionnaires and data collection: Asthma symptoms prevalence was measured through the administration of anonymous questionnaires, previously validated in SIDRIA studies, according to the ISAAC Steering Committee methodology [10] with minor modifications. Questionnaires were administered in person to parents of children and adolescents by trained interviewers, who previously obtained informed consent, according to the Italian Legislation, Decree n. 196, 30 June 2003. Data about Body Mass Index (BMI) calculated according to Cole et al. standard [16], socio-demographic information, current and past asthma symptoms, schooling, lifestyles, children/adolescents’ diseases, parental history of respiratory disorders and education level, were collected. The exposure to environmental pollutants was also evaluated, including passive smoking, heating systems, molds or dampness at home, and furred pets anytime throughout life. A “confirmed case” was defined on the basis of affirmative responses to the core questionnaire, including the questions “Has your child ever had asthma?”, “Has your child ever had doctor asthma diagnosis?”, “Has your child ever taken any medications or treatment for asthma?”. Furthermore, a “probable case” was identified as an individual who had at least a symptom related to asthma, such as dry cough at night not associated with common cold or chest infections in the past 12 months; wheezing or whistling in the chest during the past 12 months; sleep disturbance due to wheezing; speech limited to few words at a time due to wheezing; audible wheeze during or after physical exercises. Weekly individual diary: Parents of children and adolescents were asked to complete the weekly individual diary to investigate the most frequented places, the common activities carried out, and time spent per day in performing some activities. The weekly diary consisted of two tables, the “daily sequence” and “daily activities”. The first table allowed to identify indoor and outdoor places daily frequented by each individual and the most common vehicle used for commuting. The “daily activities” table quantified the time spent performing activities which were classified into rest, sedentary, light, moderate and heavy. Drug prescriptions: Information about drug prescriptions for symptom control and treatment were collected by anonymous consultation of pediatricians’ databases to evaluate asthma prevalence in the pediatric population living in the area surrounding the industrial center of Termoli. Data were compared with a lower industrialized area of Campobasso town (Molise region) as control. The inclusion criteria of “confirmed cases” were the use of beta-2 agonist short-acting bronchodilators (salbutamol); recurrent episodes of wheezing (three or more per year); asthma diagnosis according to Global Initiative for Asthma (GINA) international guidelines. Wheezing episodes (<2 per year) associated with occasional respiratory infections were considered as the exclusion criterion. A total of 1,004 and 920 records of patients living in the area of Termoli and Campobasso were analyzed, respectively. Statistical analysis: All the analyses were performed including both “confirmed” and “probable” cases using SPSS release 17.0 (SPSS Inc., Chicago, IL, USA). A p-value < 0.05 was regarded as statistically significant. For symptoms analysis, prevalence data were computed without excluding missing answers, which were therefore counted as negative or “no symptoms”, according to the standard ISAAC practice [12]. Conversely, avoided answers to questions on environmental exposures were properly treated as missing data. Frequency distribution, two-sided Chi-square and Fisher’s Exact test were performed for prevalence comparisons. Multivariate logistic regression was used to calculate Prevalence Odds Ratio (POR), and 95% confidence intervals (CI 95%) to assess the relation between risk factors and asthma cases [17], including the potential confounders. Results: In this study, a questionnaire was administered to parents of enrolled (n = 95) children and adolescents. The response rate was of 93.7% (n = 89), because six questionnaires were discarded due to low compliance to their compilation. The mean and the median age of the study population was 7.2 ± 4.4 and 7 years respectively, and a similar distribution by gender (49.4% ♂; 50.6% ♀) was observed, according to the percentage of males and females in 2008–2009 in the general pediatric population in selected municipalities [14,15]. The majority (n = 46, 51.7%) of children/adolescents were from Termoli, followed by Campomarino (n = 11, 12.4%), Petacciato (n = 9, 10.1%) and Ururi (n = 8, 9.0%). A lower representativeness of other municipalities was present, with San Martino in Pensilis accounting for 6.7% (n = 6), followed by Portocannone (5.6%, n = 5), San Giacomo degli Schiavoni (3.4%, n = 3) and Guglionesi (1.1%, n = 1). Based on the core questionnaire analysis, 22 (24.7%; CI 95% 16.0-34.0) individuals (mean age 5.9 ± 5.0 years) with bronchial asthma were identified, including both “confirmed” and “probable” cases (Table  1). In details, only 7.9% (n = 7/89; CI 95% 2.3-13.5; mean age 7.0 ± 4.6 years; 4♀/3♂) of children/adolescents was defined as “confirmed cases”, most of them (n = 6) living in Termoli. However, six “confirmed cases” (85.7%) did not show asthma symptoms when the questionnaire was administered. Fifteen “probable cases” (16.8%, CI 95% 9.0-24.6, mean age 5.4 ± 3.6 years, 8♀/7♂) were identified, and the 73.3% (n = 11) was from Termoli. Description of suggestive symptoms of asthma in children/adolescents (n = 89) enrolled in the study Legend: *core questionnaire used to identify the “confirmed cases”. Asthma symptoms in children/adolescents are described in Table  1. The lifetime prevalence of wheezing or whistling in the chest in the past was reported by 45.5% (n = 10) of asthmatic children/adolescents vs 31.8% (n = 7) in the past 12 months, with 1–3 night-time attacks once or twice per week. Among “confirmed” and “probable” cases, 95.5% (n = 21) had wheezing or whistling in the past 12 months not associated with common cold or respiratory infections, 68.2% (n = 15) had nocturnal dry cough in the past 12 months apart from cold or respiratory infections, and 40.9% (n = 9) received a physical examination for cough. Breathing difficulties after physical exercises and snoring during sleep were reported in six (27.3%) and seven (31.8%) cases, respectively. Within all asthma cases, a similar distribution by gender was observed (54.5% ♀; 45.5% ♂); the majority (n = 16, 72.7%) of children/adolescents were 7 years old or younger. Only 10.0% (2/20) of cases had low (2000–2499 g) birth weight respect to 35.0% (7/20) and 55.0% (11/20) associated to a weight ranged 2500–3499 g and ≥ 3500 g, respectively. A significant difference (p < 0.001) in BMI between asthmatics and non asthma cases was found. In particular, 18.2% (n = 4) and 45.4% (n = 10) of cases were classified as at risk of overweight and obesity, respectively, whereas the 36.4% (n = 8) had lower BMI (Table  2). Asthma was significantly associated with the residence in Termoli (n = 17, 77.3%, p = 0.006), while two cases (9.1%) were from Campomarino, and only one (4.5%) was from Petacciato, Portocannone and San Martino in Pensilis (Table  2). No significant differences were observed regarding the education level of parents, as well as for their employment status and history of respiratory diseases (Table  2). Socio-demographic characteristics of children/adolescents (n = 89) Legend: *p-value Chi-square test; **p-value Fisher’s Exact test. Among enrolled children/adolescents, bronchitis (p = 0.006) and atopic dermatitis (p = 0.005) were significantly related to asthma cases, with a prevalence of 27.3% and 45.5%, respectively. Information about environmental risk factors exposure was collected. Both confirmed and probable cases were georeferenced based on the familiar residence (data not shown), although clusters nearby the industrial district were not found. Significant differences (p = 0.038) were observed between children/adolescents living in suburban or urban areas, because most of them (19/22, 86.4%) were resident in a rural or suburban zone. Moreover, differences (p = 0.040) were found about the school location, with eleven (61.1%) asthmatics attending school located in an urban area vs 38.9% (n = 7) in a suburban zone; most of them (n = 16, 72.7%) were spending up to 5–8 hours/day at school. The presence of an external or internal home heating system was not significant, as well as having air conditioning at home and regular contact with furred pets. Conversely, the self-reported exposure to exhaust gas from industrial processes was significantly (p = 0.024) different between asthmatics and non asthma cases. Both parents current tobacco-smoke exposure and number of cigarettes/day (data not shown) were not related to asthma, whereas maternal history of smoking was slightly significant (p = 0.042). However, no relation with smoking during pregnancy or during the first year of child’s life was found. Multivariate regression analysis, based on asthma outcome dependent variable, and on the significant independent variables (socio-demographic and indoor/outdoor factors), allowed to estimate Prevalence Odds Ratio (POR) and CI 95% (Table  3), adjusted for the potential confounders (age and gender). In details, only lifetime history of bronchitis, residence of children/adolescents in Termoli town, lifetime atopic dermatitis and high BMI (overweight, obesity) were significantly associated with outcome. Variables associated to asthma cases in the multivariate analysis Legend: *POR, Prevalence Odds Ratio; **CI 95%, Confidence Interval at significance level of 0.05. Parents of sixty-two (69.7%) individuals filled out the weekly individual diary (average compliance 6.6 ± 1.0 days per week); children/adolescents spent more time in indoor places (mainly at home, followed by school, sport and recreational sites) vs outdoor (parks and seaside). The most used vehicle for commuting was the car, followed by bus and train. Moreover, walking, watching television and doing recreational activity or sport were reported as the frequent activities among boys. Conversely, sedentary activities were more common among girls, followed by those light and moderate. Asthma prevalence in the study area of Termoli was further evaluated by drug prescriptions data analysis, and compared to the control area of Campobasso. Significant differences were found for asthma prevalence (p = 0.005) and gender distribution (p = 0.032) between the two areas. Particularly, among 1,004 pediatrician’s records, the 13.7% (n = 138; CI 95% 11.6-15.8) of children/adolescents (mean age 5.6 ± 3.1 years) was defined as “confirmed cases”. Among these, the 40.6% (n = 56) had an allergic and atopic asthma history, and the 28.3% (n = 39) received prescriptions for chronic symptoms control in the past 12 months. The average number of wheezing episodes per child was 3.7 ± 0.6 per year. In particular, asthma was more prevalent among males (n = 76, 55.1%), and the 81.9% (n = 113) of asthmatic children/adolescents were living in Termoli, followed by Campomarino (7.2%) and Petacciato (6.5%). In the control area of Campobasso, eighty out of 920 (8.6%) children/adolescents were identified as asthmatics, and prevalence was higher (60%, n = 48) among females. Moreover, the 72.5% (n = 58) of cases had an allergic and atopic asthma history, and the 36.2% (n = 29) received prescriptions for symptoms control in the past 12 months. The average number of wheezing attacks per child was 4.1 ± 0.1 per year. Discussion: In this study, by using ISAAC questionnaires methodology, including only “confirmed cases”, a prevalence of 7.9% was found which is almost in agreement with previous Italian SIDRIA studies [13], where asthma occurred in the 9.1-9.5% and 9.1-10.4% of children (6–7 years) and adolescents (13–14 years), respectively over 1994–95 and 2002. By drug prescriptions analysis, a higher proportion (13.7%) of diagnosed asthmatic children/adolescents in the same area was observed, highlighting a discrepancy, in agreement with some Authors [18], between questionnaires vs pediatrician’s database results; however, these differences were not statistical significant. Indeed, the small number of cases could have affected the discrepancy found in our study. The identification of cases by questionnaire remains a contentious issue [19] respect to anti-asthmatic drug prescriptions methodology, which has the advantage to eliminate selection and recall bias affecting the prevalence estimates in cross-sectional surveys based on self-reported or parental-reported symptoms [20]. However, the use of asthma drugs differs by country (4-26%) and by age, limiting any good comparison between different studies [21]. By including “probable cases”, the overall prevalence of suggestive symptoms of asthma was higher (24.7%) than data referred to Italian childhood population [12,13]. Anyway, to assess the real health condition/status of these children, an accurate medical examination should be conducted. Over the last years, published data provided a better understanding of the etiology of childhood asthma, improving the significance of socio-demographic and environmental determinants in disease development. Although it is well known that before puberty global prevalence of asthmatic symptoms is higher in boys than girls [22], decreases with age and disappears in adolescence [23], in our study no significant gender-related differences were established when ISAAC questionnaire methodology was followed, and a higher prevalence among girls was found. Based on physician’s prescription data, asthma prevalence was significantly different comparing the industrial area and the control one, and differences between the two areas were confirmed for gender distribution, with prevalence significantly higher in males than in females. To date, asthma has been reported to be 25-70% more common in males compared to females under age 15, while after puberty, the gender differences are reversed [22]. The reduced likelihood of diagnosing asthma in girls could be partly explained by the earlier onset of symptoms and a longer history of wheeze in boys, which gives them more time to be identified as asthmatics. Thus, some under-diagnosing of asthma due to female gender could not be excluded [24]. Recently, sex-specific trends revealed an increased prevalence among females causing a distribution towards the equalization, although male preponderance persists in diagnosed asthma [25]. Our results did not show any association between asthma and low birth weight, which usually represents a predisposing factor for lower lung function and development of disease [26], especially in children/adolescents with birth weight below 3,000 g [27]. Similarly, a high birth weight (> 4,500 g) may be a risk factor for asthma in childhood [28] promoting airways inflammation, but no association could have been evaluated because of low representativeness of this category. No significant differences comparing children whose mother/father had received less than 13 years of education or more were found, in disagreement with some Authors who reported that a higher maternal and paternal educational level may increase the risk of wheeze/asthma and eczema, respectively [29]. Although some Authors reported that children’s asthma is likely to be more associated with unemployed parents [30], we did not find any relation with parental employment status. Conversely, a significant association with elevated BMI was observed, in agreement with previous SIDRIA and other international studies [26,27] which indicated that overweight and obese children/adolescents are at greater risk of developing asthma. Interestingly, a national survey [31] reported an excess weight in 34.0% of Italian children/adolescents, and an increased prevalence up to 41.3% in Molise region, where the 14.8% and 26.5% are obese or overweight, respectively. It has been suggested that obesity could precede asthma, increase the clinical severity of disease and reduce quality of life of asthmatics [32]. Possible mechanisms to explain the relation between asthma and high BMI may include airway inflammation, mechanical changes directly related to obesity, changes in airway hyperresponsiveness, physical activity and diet. Moreover, Galassi et al. [13] demonstrated that asthma prevalence in overweight children/adolescents was more frequently reported in areas of southern-Italy, where physical activity is less frequent, and unhealthy diet habits are more common. Lifetime history of both allergic rhinitis and pneumonia was not significantly related to asthma, as well as familiar allergic/respiratory disorders, while researchers have indicated a central role of genetic factors in an increased risk of asthma development [33]. On the contrary, lifetime history of both atopic dermatitis and bronchitis were significant risk factors. These findings are consistent with other studies that reported a higher prevalence of asthma onset in relation to respiratory infections in children [34]. Mechanisms by which respiratory viruses cause asthma exacerbations have been extensively investigated [35]. Bronchitis and asthma are, in fact, considerable respiratory health issues, leading major morbidity and high socio-economic costs [36]. Similarly, atopic dermatitis has been demonstrated as the chronic disease mainly affecting infants and adolescents, with an increased prevalence in childhood asthma and allergic disorders [25,37]. Among the environmental conditions, indoor factors are of particular concern because children and adolescents globally spend more than 80% of their time indoors [2]. To date, the most consistent findings for induction of childhood asthma have been related to tobacco-smoke exposure and maternal smoking during pregnancy [38]. However, our results did not show any relation with both current and prenatal tobacco-smoke exposure, which is generally associated by at least 20% with airway inflammation and an increased incidence of early/persistent wheezing and asthma in children/adolescents [38,39]. Self-reported presence of dampness or visible molds growth in home, associated to wheezing phenotypes and persistent cough, was not related to disease. Furthermore, no significant relation with furred pets exposure was observed, whose role in allergic diseases and asthma development is still controversial [40]. Exposure to outdoor pollutants was evaluated by parent self-reported assessment, and being resident in an area exposed to exhaust gas from industrial processes was significantly different in asthma cases compared to non asthmatics, but further insights are needed to clearly define any hypothesis. The relation between asthma and residence zone was investigated, but relevant differences were found only for school and residing location in an urban or suburban area. A significant association with outcome was found for asthmatic children/adolescents living in the municipality of Termoli that may be subjected to higher environmental pressure due to industrial/manufacturing activities and presence of toll road, state highway, railroad, and seaport which may cause air pollution from motor vehicle traffic and increase asthma induction, according to other studies [19,41,42]. We acknowledge some limitations of the study, such as the use of parental-reported symptoms, whose accuracy was not confirmed, and sample size for a definitive evaluation of asthma risk factors. Conclusions: Although our data indicated a prevalence concordance with previous national studies in pediatric population, results did not confirm any hypothesis related to environmental industrial factors present in the study area. In fact, only past history of atopic dermatitis and bronchitis, as well as high BMI, were strongly associated to the outcome. This study provides a first report on asthma prevalence in Molise region, contributing to complete the frame of disease epidemiology in Italy in meta-analysis or systematic review procedures, and to identify interesting relationships in the context of multiple observational studies. Indeed further insights are needed to improve the understanding of the epidemiological situation in the survey area, and the contributions of environmental stimuli in asthma development. Competing interests: The authors declare that they have no competing interests. Authors’ contributions: GR conceived of the study, participated in its design and coordination, and helped to analyze the data and draft the manuscript; MT performed the descriptive and the statistical analyses of data, and helped in writing the manuscript; MLS participated in the design of the study, in questionnaires predisposition and analysis, and helped to draft the manuscript; GdL carried out the data collection from pediatricians’ databases, and helped in writing questionnaires; AB participated in the design of the study, and analyzed and evaluated the clinical data. All authors read and approved the final manuscript. Pre-publication history: The pre-publication history for this paper can be accessed here: http://www.biomedcentral.com/1471-2458/13/1038/prepub
Background: The exposure to air pollution has negative effects on human health, increasing the risk of respiratory diseases, such as asthma. Few data are yet available on the epidemiology of childhood asthma in some areas of Italy. The aim of the study was to estimate asthma prevalence and related risk factors in children and adolescents residents around the industrial area of Termoli, Molise region, Central-South Italy. Methods: Prevalence was assessed through the administration of modified ISAAC questionnaires filled out by parents of 89 children and adolescents for the identification of confirmed and probable cases, and by analyzing pediatricians' databases on drug prescriptions for symptoms control and treatment of assisted population in the study area (n = 1,004), compared to a control area (n = 920) with lower industrialization. The association of asthma with risk factors was evaluated by univariate (Chi-square or Fisher's Exact test) and regression logistic analysis. Results: A total of 22 (24.7%) asthmatics were identified, including both confirmed (n = 7; 7.9%) and probable cases (n = 15; 16.8%), most of them (n = 17; 77.3%) resident of Termoli town. All asthma cases were georeferenced based on the residence, however clusters were not found. Using drug prescriptions analysis, a higher prevalence (n = 138; 13.7%) of diagnosed cases was found. Lifetime history of both atopic dermatitis and bronchitis were significantly relateds to asthma cases, as well as an elevated body mass index, whose association is consistent with prevalence data of overweight/obese children living in the study area. Moreover, being resident of the town of Termoli was associated to the occurrence of cases. Conclusions: Although our data indicated a prevalence concordance with previous national studies in pediatric population, a definitive correlation with environmental industrial factors present in the study area was not established. However, asthma outcome was significantly associated to individuals living in the town of Termoli that, despite the industrial/manufacturing activities, is also subjected to a higher environmental pressure due to the presence of toll road, state highway, railroad, and seaport which may cause air pollution from motor vehicle traffic and increase asthma induction. This study provides hitherto unavailable data on asthma in childhood population living in an industrialized area which was never investigated before, could be part of a systematic review or meta-analysis procedure, might suggest significant findings for larger observational studies, and contribute to complete the frame of disease epidemiology in Italy.
Background: Asthma is a chronic respiratory disease, characterized by episodes or attacks of impaired breathing, affecting up to 10% of adults and 30% of children [1,2]. Symptoms are caused by inflammation of small airways and may include bronchial hyperresponsiveness, recurrent attacks of wheezing, shortness of breath, chest tightness and coughing, particularly at night or early morning. The variable airflow obstruction is often reversible, either spontaneously or by treatment with bronchodilators or corticosteroids [3,4]. Onset of asthma usually begins early in life as a pattern of atopic wheezing that is exacerbated by allergens and viral respiratory infections, although adult-onset may occur [5]. The diagnosis of asthma in children may be difficult because episodic respiratory symptoms are common also in those who do not have asthma; hence, a diagnosis can be based on symptom patterns and on a clinical assessment of family history and physical findings, because early allergic sensitization increases the probability that a wheezing child will have asthma [6]. The global prevalence of asthma is difficult to estimate because of different classifications used throughout the world, different methods of assessing asthma in epidemiological studies and the lack of a definitive diagnostic test [7]. Anandan et al. [8] have shown that there is no overall decline in the prevalence of suggestive symptoms of asthma, and in Italy, during the past 20 years, prevalence has raised by 38% [9]. In the framework of the International Study of Asthma and Allergies in Childhood (ISAAC) Project [10], the first SIDRIA (Italian Studies of Respiratory Diseases in Childhood and the Environment) survey in children and adolescents (6–7 and 13–14 years old) was carried out in 10 areas of northern and central Italy [11,12], reporting a lifetime prevalence of 9.1%. In 2002, a second multicentre study including some areas of southern Italy reported a slightly higher prevalence of 9.5% [13]. At present, few data are available on the prevalence of asthma symptoms in some areas of Italy among the childhood population. The aim of this study was to estimate the prevalence of bronchial asthma and related symptoms in a random sample of children and adolescents aged 0–14 years, living around the industrial area of Termoli, a town in Molise region, Central-South of Italy. The role of several risk factors was also evaluated in order to assess the association with asthma. Furthermore, both indoor and outdoor places frequented and the most common activities carried out by children/adolescents were investigated. Asthma prevalence in the same study area was further estimated by analyzing pediatricians’ databases on drug prescriptions for symptoms control and treatment. Conclusions: Although our data indicated a prevalence concordance with previous national studies in pediatric population, results did not confirm any hypothesis related to environmental industrial factors present in the study area. In fact, only past history of atopic dermatitis and bronchitis, as well as high BMI, were strongly associated to the outcome. This study provides a first report on asthma prevalence in Molise region, contributing to complete the frame of disease epidemiology in Italy in meta-analysis or systematic review procedures, and to identify interesting relationships in the context of multiple observational studies. Indeed further insights are needed to improve the understanding of the epidemiological situation in the survey area, and the contributions of environmental stimuli in asthma development.
Background: The exposure to air pollution has negative effects on human health, increasing the risk of respiratory diseases, such as asthma. Few data are yet available on the epidemiology of childhood asthma in some areas of Italy. The aim of the study was to estimate asthma prevalence and related risk factors in children and adolescents residents around the industrial area of Termoli, Molise region, Central-South Italy. Methods: Prevalence was assessed through the administration of modified ISAAC questionnaires filled out by parents of 89 children and adolescents for the identification of confirmed and probable cases, and by analyzing pediatricians' databases on drug prescriptions for symptoms control and treatment of assisted population in the study area (n = 1,004), compared to a control area (n = 920) with lower industrialization. The association of asthma with risk factors was evaluated by univariate (Chi-square or Fisher's Exact test) and regression logistic analysis. Results: A total of 22 (24.7%) asthmatics were identified, including both confirmed (n = 7; 7.9%) and probable cases (n = 15; 16.8%), most of them (n = 17; 77.3%) resident of Termoli town. All asthma cases were georeferenced based on the residence, however clusters were not found. Using drug prescriptions analysis, a higher prevalence (n = 138; 13.7%) of diagnosed cases was found. Lifetime history of both atopic dermatitis and bronchitis were significantly relateds to asthma cases, as well as an elevated body mass index, whose association is consistent with prevalence data of overweight/obese children living in the study area. Moreover, being resident of the town of Termoli was associated to the occurrence of cases. Conclusions: Although our data indicated a prevalence concordance with previous national studies in pediatric population, a definitive correlation with environmental industrial factors present in the study area was not established. However, asthma outcome was significantly associated to individuals living in the town of Termoli that, despite the industrial/manufacturing activities, is also subjected to a higher environmental pressure due to the presence of toll road, state highway, railroad, and seaport which may cause air pollution from motor vehicle traffic and increase asthma induction. This study provides hitherto unavailable data on asthma in childhood population living in an industrialized area which was never investigated before, could be part of a systematic review or meta-analysis procedure, might suggest significant findings for larger observational studies, and contribute to complete the frame of disease epidemiology in Italy.
6,975
480
[ 515, 241, 293, 105, 146, 158, 10, 107, 16 ]
13
[ "asthma", "prevalence", "children", "adolescents", "children adolescents", "cases", "symptoms", "area", "data", "wheezing" ]
[ "persistent wheezing asthma", "identified asthmatics diagnosing", "wheezing asthma", "diagnosis asthma children", "childhood asthma related" ]
[CONTENT] Childhood asthma | Industrial area | Prevalence | Risk factors | Drug prescription [SUMMARY]
[CONTENT] Childhood asthma | Industrial area | Prevalence | Risk factors | Drug prescription [SUMMARY]
[CONTENT] Childhood asthma | Industrial area | Prevalence | Risk factors | Drug prescription [SUMMARY]
[CONTENT] Childhood asthma | Industrial area | Prevalence | Risk factors | Drug prescription [SUMMARY]
[CONTENT] Childhood asthma | Industrial area | Prevalence | Risk factors | Drug prescription [SUMMARY]
[CONTENT] Childhood asthma | Industrial area | Prevalence | Risk factors | Drug prescription [SUMMARY]
[CONTENT] Adolescent | Anti-Asthmatic Agents | Asthma | Bronchitis | Child | Child, Preschool | Cross-Sectional Studies | Dermatitis, Atopic | Environmental Exposure | Female | Humans | Industry | Infant | Italy | Male | Prevalence | Risk Factors | Surveys and Questionnaires [SUMMARY]
[CONTENT] Adolescent | Anti-Asthmatic Agents | Asthma | Bronchitis | Child | Child, Preschool | Cross-Sectional Studies | Dermatitis, Atopic | Environmental Exposure | Female | Humans | Industry | Infant | Italy | Male | Prevalence | Risk Factors | Surveys and Questionnaires [SUMMARY]
[CONTENT] Adolescent | Anti-Asthmatic Agents | Asthma | Bronchitis | Child | Child, Preschool | Cross-Sectional Studies | Dermatitis, Atopic | Environmental Exposure | Female | Humans | Industry | Infant | Italy | Male | Prevalence | Risk Factors | Surveys and Questionnaires [SUMMARY]
[CONTENT] Adolescent | Anti-Asthmatic Agents | Asthma | Bronchitis | Child | Child, Preschool | Cross-Sectional Studies | Dermatitis, Atopic | Environmental Exposure | Female | Humans | Industry | Infant | Italy | Male | Prevalence | Risk Factors | Surveys and Questionnaires [SUMMARY]
[CONTENT] Adolescent | Anti-Asthmatic Agents | Asthma | Bronchitis | Child | Child, Preschool | Cross-Sectional Studies | Dermatitis, Atopic | Environmental Exposure | Female | Humans | Industry | Infant | Italy | Male | Prevalence | Risk Factors | Surveys and Questionnaires [SUMMARY]
[CONTENT] Adolescent | Anti-Asthmatic Agents | Asthma | Bronchitis | Child | Child, Preschool | Cross-Sectional Studies | Dermatitis, Atopic | Environmental Exposure | Female | Humans | Industry | Infant | Italy | Male | Prevalence | Risk Factors | Surveys and Questionnaires [SUMMARY]
[CONTENT] persistent wheezing asthma | identified asthmatics diagnosing | wheezing asthma | diagnosis asthma children | childhood asthma related [SUMMARY]
[CONTENT] persistent wheezing asthma | identified asthmatics diagnosing | wheezing asthma | diagnosis asthma children | childhood asthma related [SUMMARY]
[CONTENT] persistent wheezing asthma | identified asthmatics diagnosing | wheezing asthma | diagnosis asthma children | childhood asthma related [SUMMARY]
[CONTENT] persistent wheezing asthma | identified asthmatics diagnosing | wheezing asthma | diagnosis asthma children | childhood asthma related [SUMMARY]
[CONTENT] persistent wheezing asthma | identified asthmatics diagnosing | wheezing asthma | diagnosis asthma children | childhood asthma related [SUMMARY]
[CONTENT] persistent wheezing asthma | identified asthmatics diagnosing | wheezing asthma | diagnosis asthma children | childhood asthma related [SUMMARY]
[CONTENT] asthma | prevalence | children | adolescents | children adolescents | cases | symptoms | area | data | wheezing [SUMMARY]
[CONTENT] asthma | prevalence | children | adolescents | children adolescents | cases | symptoms | area | data | wheezing [SUMMARY]
[CONTENT] asthma | prevalence | children | adolescents | children adolescents | cases | symptoms | area | data | wheezing [SUMMARY]
[CONTENT] asthma | prevalence | children | adolescents | children adolescents | cases | symptoms | area | data | wheezing [SUMMARY]
[CONTENT] asthma | prevalence | children | adolescents | children adolescents | cases | symptoms | area | data | wheezing [SUMMARY]
[CONTENT] asthma | prevalence | children | adolescents | children adolescents | cases | symptoms | area | data | wheezing [SUMMARY]
[CONTENT] asthma | prevalence | symptoms | italy | children | childhood | early | respiratory | areas | study [SUMMARY]
[CONTENT] asthma | daily | according | 14 | activities | wheezing | prevalence | including | area | extracted [SUMMARY]
[CONTENT] cases | adolescents | children | children adolescents | asthma | followed | age | 95 | mean | significant [SUMMARY]
[CONTENT] studies | environmental | study | area | survey area contributions environmental | studies pediatric | studies insights needed | studies insights needed improve | confirm hypothesis | confirm [SUMMARY]
[CONTENT] asthma | prevalence | children | adolescents | children adolescents | cases | area | symptoms | data | activities [SUMMARY]
[CONTENT] asthma | prevalence | children | adolescents | children adolescents | cases | area | symptoms | data | activities [SUMMARY]
[CONTENT] ||| Italy ||| Termoli | Central-South Italy [SUMMARY]
[CONTENT] ISAAC | 89 | 1,004 | 920 ||| Fisher's [SUMMARY]
[CONTENT] 22 | 24.7% | 7 | 7.9% | 15 | 16.8% | 17 | 77.3% | Termoli ||| ||| 138 | 13.7% ||| ||| Termoli [SUMMARY]
[CONTENT] ||| Termoli ||| Italy [SUMMARY]
[CONTENT] ||| Italy ||| Termoli | Central-South Italy ||| ISAAC | 89 | 1,004 | 920 ||| Fisher's ||| 22 | 24.7% | 7 | 7.9% | 15 | 16.8% | 17 | 77.3% | Termoli ||| ||| 138 | 13.7% ||| ||| Termoli ||| ||| Termoli ||| Italy [SUMMARY]
[CONTENT] ||| Italy ||| Termoli | Central-South Italy ||| ISAAC | 89 | 1,004 | 920 ||| Fisher's ||| 22 | 24.7% | 7 | 7.9% | 15 | 16.8% | 17 | 77.3% | Termoli ||| ||| 138 | 13.7% ||| ||| Termoli ||| ||| Termoli ||| Italy [SUMMARY]
Investigating the feasibility of generating dual-energy CT from one 120-kVp CT scan: a phantom study.
33426800
This study aimed to investigate the feasibility of generating pseudo dual-energy CT (DECT) from one 120-kVp CT by using convolutional neural network (CNN) to derive additional information for quantitative image analysis through phantom study.
INTRODUCTION
Dual-energy scans (80/140 kVp) and single-energy scans (120 kVp) were performed for five calibration phantoms and two evaluation phantoms on a dual-source DECT scanner. The calibration phantoms were used to generate training dataset for CNN optimization, while the evaluation phantoms were used to generate testing dataset. A CNN model which takes 120-kVp images as input and creates 80/140-kVp images as output was built, trained, and tested by using Caffe CNN platform. An in-house software to quantify contrast enhancement and synthesize virtual monochromatic CT (VMCT) for CNN-generated pseudo DECT was implemented and evaluated.
METHODS
The CT numbers in 80-kVp pseudo images generated by CNN are differed from the truth by 11.57, 16.67, 13.92, 12.23, 10.69 HU for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for 140-kVp CT are 3.09, 9.10, 7.08, 9.81, 7.59 HU. The estimates of iodine concentration calculated based on the proposed method are differed from the truth by 0.104, 0.603, 0.478, 0.698, 0.795 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. With regards to image quality enhancement, VMCT synthesized by using pseudo DECT shows the best contrast-to-noise ratio at 40 keV.
RESULTS
In conclusion, the proposed method should be a practicable strategy for iodine quantification in contrast enhanced 120-kVp CT without using specific scanner or scanning procedure.
CONCLUSION
[ "Feasibility Studies", "Humans", "Iodine", "Phantoms, Imaging", "Tomography, X-Ray Computed" ]
7882117
Introduction
Single‐energy CT (SECT) scan utilizes a single polychromatic x‐ray beam at energy ranging from 70 to 140 kVp with a standard of 120 kVp. The image contrast of CT depends on the differences in photon attenuation of various materials that constitute human body, whereas the degree of photon attenuation is related to tissue composition and photon energy. Dual‐energy CT (DECT) acquires two images at different energy levels to use the attenuation difference at different energies for deriving additional information, such as virtual monochromatic CT (VMCT) and iodine image. 1 , 2 , 3 The VMCT can be customized to a specific energy level that offers a balance between adequate image contrast and reduced image noise to optimize the contrast‐to‐noise ratio (CNR). Besides image quality enhancement, DECT also allows quantification of iodine concentration, which could improve lesion conspicuity due to difference in iodine content between lesions and normal parenchyma. The algorithms for DECT acquisition are unique for each CT manufacturer, so this capability is only available for some specific scanners. 4 , 5 Dual‐source DECT scanners contain two x‐ray tubes and detector arrays for simultaneous acquisition of projection data with the sources operated at different tube potentials. Fast kilovolt‐switching DECT scanners allow acquisition of dual‐energy data by modulating the voltage of a single x‐ray generator from low to high kilovolt peaks between alternating projections. Dual‐layered DECT scanners have equipped with a modified detector with two scintillation layers to receive separate high and low image data. All these proprietary techniques have posed a burden on CT system hardware, so DECT scanners are not widely available as SECT scanner. Moreover, DECT acquisition may increase the radiation dose to patients. Hence, DECT is not a routine procedure even for contrast‐enhanced CT scan in our hospital. Machine learning is attracting growing interest in both academia and industry recently. Furthermore, deep learning techniques have become the de facto standard for a wide variety of computer vision problems. 6 , 7 , 8 A deep learning model learns multiple levels of representations that correspond to different levels of abstraction from the input image to perform prediction. This study aimed to investigate the feasibility of generating pseudo DECT from one 120‐kVp CT by using convolutional neural network (CNN) to derive additional information for quantitative image analysis without extra CT scans through phantom study.
Methods
Calibration phantoms A calibration phantom set which consists of an electron density phantom and additional annuluses was used to generate training dataset for CNN optimization (Fig. 1). The electron density phantom (Model 062; CIRS, Norfolk, VA, USA) which is 18 cm in diameter and 5 cm in height was covered by four layers of 2.5‐cm‐thick bolus (Superflab Bolus; Radiation Products Design Inc, Albertville, MN, USA) to enlarge the diameter of the calibration phantom from 18 cm (Cphan18cm) to 23 cm (Cphan23cm), 28 cm (Cphan28cm), 33 cm (Cphan33cm), and 38 cm (Cphan38cm). The electron density phantom is made of soft tissue equivalent epoxy resin and houses 4 rod inserts + 5 syringes. The rod inserts simulate four different soft tissues, including adipose (0.96 g/cc), breast (0.991 g/cc), muscle (1.062 g/cc), and liver (1.072 g/cc). The plastic syringes (volume: 10 ml; diameter: 2 cm) were filled with iodine solution at concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml. Illustration of the calibration phantoms with five different sizes. A calibration phantom set which consists of an electron density phantom and additional annuluses was used to generate training dataset for CNN optimization (Fig. 1). The electron density phantom (Model 062; CIRS, Norfolk, VA, USA) which is 18 cm in diameter and 5 cm in height was covered by four layers of 2.5‐cm‐thick bolus (Superflab Bolus; Radiation Products Design Inc, Albertville, MN, USA) to enlarge the diameter of the calibration phantom from 18 cm (Cphan18cm) to 23 cm (Cphan23cm), 28 cm (Cphan28cm), 33 cm (Cphan33cm), and 38 cm (Cphan38cm). The electron density phantom is made of soft tissue equivalent epoxy resin and houses 4 rod inserts + 5 syringes. The rod inserts simulate four different soft tissues, including adipose (0.96 g/cc), breast (0.991 g/cc), muscle (1.062 g/cc), and liver (1.072 g/cc). The plastic syringes (volume: 10 ml; diameter: 2 cm) were filled with iodine solution at concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml. Illustration of the calibration phantoms with five different sizes. Evaluation phantoms Fig. 2 demonstrates two evaluation phantoms used to generate testing dataset for CNN optimization. The first evaluation phantom (Ephan1) shown in [Fig. 2(a)] is an electron density phantom (Model 062; CIRS, Norfolk, VA, USA) with dimensions of 33*27*15 cm3. The elliptical, epoxy resin‐based phantom houses 17 rod inserts simulating lung (inhale: 0.195 g/cc; exhale: 0.51 g/cc), adipose (0.96 g/cc), breast (0.991 g/cc), plastic water (1.016 g/cc), muscle (1.062 g/cc), liver (1.072 g/cc), trabecular bone (1.161 g/cc), dense bone (1.53 g/cc). The second evaluation phantom (Ephan2) shown in [Fig. 2(b)] has the same dimensions and base material as Ephan1, but the inserts in Ephan2 are different from those in Ephan1, including 12 rod inserts simulating different tissues and five syringes filled with iodine solution. Illustration of two evaluation phantoms with different rod inserts. Fig. 2 demonstrates two evaluation phantoms used to generate testing dataset for CNN optimization. The first evaluation phantom (Ephan1) shown in [Fig. 2(a)] is an electron density phantom (Model 062; CIRS, Norfolk, VA, USA) with dimensions of 33*27*15 cm3. The elliptical, epoxy resin‐based phantom houses 17 rod inserts simulating lung (inhale: 0.195 g/cc; exhale: 0.51 g/cc), adipose (0.96 g/cc), breast (0.991 g/cc), plastic water (1.016 g/cc), muscle (1.062 g/cc), liver (1.072 g/cc), trabecular bone (1.161 g/cc), dense bone (1.53 g/cc). The second evaluation phantom (Ephan2) shown in [Fig. 2(b)] has the same dimensions and base material as Ephan1, but the inserts in Ephan2 are different from those in Ephan1, including 12 rod inserts simulating different tissues and five syringes filled with iodine solution. Illustration of two evaluation phantoms with different rod inserts. DECT and SECT scans All scans were performed on a dual‐source DECT scanner (Somatom Definition Flash, Siemens Healthcare, Forchheim, Germany). The imaging parameters of DECT and SECT scans used in this study are shown in Table 1. Attenuation‐based tube current modulation (CARE Dose 4D, Siemens Healthcare, Forchheim, Germany) was applied for all acquisitions. Each phantom was scanned at 80, 120, and 140 kVp using 0.5‐s gantry rotation time and pitch of 0.6, so 21 CT acquisitions were performed. Scan data were reconstructed at 2‐mm nominal slice width using Filtered Backprojection (FBP) with a medium smooth reconstruction kernel (B30f). For DECT scan, material‐specific images can be generated through material decomposition to quantify the presence of particular elements, compounds, or mixture. With vender’s software, material decomposition was performed for three basis materials in the image domain. 9 , 10 Imaging parameters of dual‐energy and single‐energy scans. Effective tube current‐time product = mAs/pitch. All scans were performed on a dual‐source DECT scanner (Somatom Definition Flash, Siemens Healthcare, Forchheim, Germany). The imaging parameters of DECT and SECT scans used in this study are shown in Table 1. Attenuation‐based tube current modulation (CARE Dose 4D, Siemens Healthcare, Forchheim, Germany) was applied for all acquisitions. Each phantom was scanned at 80, 120, and 140 kVp using 0.5‐s gantry rotation time and pitch of 0.6, so 21 CT acquisitions were performed. Scan data were reconstructed at 2‐mm nominal slice width using Filtered Backprojection (FBP) with a medium smooth reconstruction kernel (B30f). For DECT scan, material‐specific images can be generated through material decomposition to quantify the presence of particular elements, compounds, or mixture. With vender’s software, material decomposition was performed for three basis materials in the image domain. 9 , 10 Imaging parameters of dual‐energy and single‐energy scans. Effective tube current‐time product = mAs/pitch. Deep learning to generate pseudo DECT Energy mapping has been widely used in CT‐based attenuation correction for PET which derives μ‐map at 511 keV from CT images. Although this transformation is not linear, it needs small extent of nonlinear mapping. 11 Hence, the deep learning method proposed by Nie et al. was adapted in this work to generate pseudo DECT imaging from one 120‐kVp CT scan. 12 Figure 3 demonstrates the structure of the CNN model. The model consists of three convolutional stages with deeply supervised nets (DSN) to supervise features at each convolutional stage, enabled by layer‐wise dense connections in both backbone networks and prediction layers. 13 The mean square error (MSE) was used as the loss function to minimize the loss between the reconstructed images and the corresponding ground truth. Using MSE as the loss function favors a high peak signal‐to‐noise ratio (PSNR). The input images are prepared as 32*32‐pixel sub‐images randomly cropped from the original image. To avoid border effects, all the convolutional layers have no padding, and the network produces an output image with 18*18 matrix size. The training datasets are sub‐images extracted from the CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm with a stride of 14. The testing datasets are sub‐images extracted from the CT images of Ephan1 and Ephan2 with a stride of 20. The training and testing datasets provide roughly 49972 and 8184 sub‐images, respectively. The filter weights of each layer are initialized by using Xavier initialization, which could automatically determine the scale of initialization based on the number of input and output neurons. 14 All biases were initialized with zero. The model was trained using stochastic gradient descent with mini‐batch size of 128, learning rate of 0.01 and momentum of 0.9. The CNN model was built, trained, and tested by using Caffe (Convolutional Architecture for Fast Feature Embedding) CNN platform (version 1.0.0‐rc5 with CUDA 8.0.61) on an Ubuntu server (version 16.04.4 LTS) with two RTX 2080 (NVIDIA) graphics cards. Structure of CNN model to generate pseudo 80‐ and 140‐kVp CT from 120‐kVp CT. Energy mapping has been widely used in CT‐based attenuation correction for PET which derives μ‐map at 511 keV from CT images. Although this transformation is not linear, it needs small extent of nonlinear mapping. 11 Hence, the deep learning method proposed by Nie et al. was adapted in this work to generate pseudo DECT imaging from one 120‐kVp CT scan. 12 Figure 3 demonstrates the structure of the CNN model. The model consists of three convolutional stages with deeply supervised nets (DSN) to supervise features at each convolutional stage, enabled by layer‐wise dense connections in both backbone networks and prediction layers. 13 The mean square error (MSE) was used as the loss function to minimize the loss between the reconstructed images and the corresponding ground truth. Using MSE as the loss function favors a high peak signal‐to‐noise ratio (PSNR). The input images are prepared as 32*32‐pixel sub‐images randomly cropped from the original image. To avoid border effects, all the convolutional layers have no padding, and the network produces an output image with 18*18 matrix size. The training datasets are sub‐images extracted from the CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm with a stride of 14. The testing datasets are sub‐images extracted from the CT images of Ephan1 and Ephan2 with a stride of 20. The training and testing datasets provide roughly 49972 and 8184 sub‐images, respectively. The filter weights of each layer are initialized by using Xavier initialization, which could automatically determine the scale of initialization based on the number of input and output neurons. 14 All biases were initialized with zero. The model was trained using stochastic gradient descent with mini‐batch size of 128, learning rate of 0.01 and momentum of 0.9. The CNN model was built, trained, and tested by using Caffe (Convolutional Architecture for Fast Feature Embedding) CNN platform (version 1.0.0‐rc5 with CUDA 8.0.61) on an Ubuntu server (version 16.04.4 LTS) with two RTX 2080 (NVIDIA) graphics cards. Structure of CNN model to generate pseudo 80‐ and 140‐kVp CT from 120‐kVp CT. In‐house software to generate VMCT and iodine image In the presence of iodine, VMCT created using image‐based method may contain beam‐hardening artifacts, 15 , 16 so an in‐house software for realizing the projection‐based method proposed by Li et al. was implemented (Fig. 4). 17 The first step in the workflow was forward projection of CT images reconstructed in mm‐1 by Siddon’s ray tracing algorithm to obtain low‐energy projections (L) and high‐energy projections (H). 18 Next, two‐material decomposition was performed to estimate the equivalent thickness of basis materials. Numerous basis materials for soft and bone tissues have been suggested. 19 , 20 For this study, aluminum was selected for bone tissues, while acrylic was chosen for soft tissue. The equivalent thicknesses of aluminum (xA) and acrylic (xB) were estimated based on the following equations:(1)xA=a0+a1L+a2H+a3L2+a4LH+a5H21+b0L+b1H (2)xB=c0+c1L+c2H+c3L2+c4LH+c5H21+d0L+d1Hwhere the parameters ai, bj ci, dj (i = 0‐5; j = 0, 1) represent characteristics of the x‐ray beam energy spectrum. In the combination step, virtual monochromatic projections were synthesized using the following equation:(3)∫μEds=μAExA+μBExBwhere μA(E) and μB(E) are the linear attenuation coefficients of basis materials at energy E. The mass attenuation coefficients of basis materials at different energies were obtained from XCOM: Photon Cross Sections Database by National Institute of Standards and Technology (NIST), available at http://physics.nist.gov/xcom. Last, FBP algorithm was used for the VMCT reconstruction. With regards to the estimation of iodine concentration, the decomposed aluminum projections were reconstructed by FBP first and then multiplied by a conversion factor to create iodine images. Workflow to synthesize VMCT based on the in‐house software. The parameters ai, bj ci, dj in [Eq. (1) and (2)] have to be determined to conduct material decomposition. Hence, a calibration step wedge which contains two aluminum step wedges and one acrylic step wedge stacked in an orthogonal pattern was used. The dimensions of the 11‐step aluminum wedge (Fluke Biomedical, Everett, WA, USA) are 139.7 mm in length, 63.5 mm in width and 33 mm in height. The home‐made acrylic wedge contains eight steps, and its dimensions are 120 mm in length, 152.4 mm in width and 40 mm in height. Forty‐eight regions of interest (ROIs) were placed on the projections of the calibration step wedge (xA: 0, 6, 12, 18, 24, 30 mm; xB: 10, 15, 20, 25, 30, 35, 40 mm) to determine image intensity in L and H. Given xA, xB and their corresponding image intensity in L and H, the parameters ai, bj ci, dj can be determined by minimizing absolute error fitting. This step is called parameterization. To validate the results of parameterization, the thicknesses of aluminum and acrylic step wedges estimated based on [Eq. (1) and (2)] were compared with those measured using a caliber. In the presence of iodine, VMCT created using image‐based method may contain beam‐hardening artifacts, 15 , 16 so an in‐house software for realizing the projection‐based method proposed by Li et al. was implemented (Fig. 4). 17 The first step in the workflow was forward projection of CT images reconstructed in mm‐1 by Siddon’s ray tracing algorithm to obtain low‐energy projections (L) and high‐energy projections (H). 18 Next, two‐material decomposition was performed to estimate the equivalent thickness of basis materials. Numerous basis materials for soft and bone tissues have been suggested. 19 , 20 For this study, aluminum was selected for bone tissues, while acrylic was chosen for soft tissue. The equivalent thicknesses of aluminum (xA) and acrylic (xB) were estimated based on the following equations:(1)xA=a0+a1L+a2H+a3L2+a4LH+a5H21+b0L+b1H (2)xB=c0+c1L+c2H+c3L2+c4LH+c5H21+d0L+d1Hwhere the parameters ai, bj ci, dj (i = 0‐5; j = 0, 1) represent characteristics of the x‐ray beam energy spectrum. In the combination step, virtual monochromatic projections were synthesized using the following equation:(3)∫μEds=μAExA+μBExBwhere μA(E) and μB(E) are the linear attenuation coefficients of basis materials at energy E. The mass attenuation coefficients of basis materials at different energies were obtained from XCOM: Photon Cross Sections Database by National Institute of Standards and Technology (NIST), available at http://physics.nist.gov/xcom. Last, FBP algorithm was used for the VMCT reconstruction. With regards to the estimation of iodine concentration, the decomposed aluminum projections were reconstructed by FBP first and then multiplied by a conversion factor to create iodine images. Workflow to synthesize VMCT based on the in‐house software. The parameters ai, bj ci, dj in [Eq. (1) and (2)] have to be determined to conduct material decomposition. Hence, a calibration step wedge which contains two aluminum step wedges and one acrylic step wedge stacked in an orthogonal pattern was used. The dimensions of the 11‐step aluminum wedge (Fluke Biomedical, Everett, WA, USA) are 139.7 mm in length, 63.5 mm in width and 33 mm in height. The home‐made acrylic wedge contains eight steps, and its dimensions are 120 mm in length, 152.4 mm in width and 40 mm in height. Forty‐eight regions of interest (ROIs) were placed on the projections of the calibration step wedge (xA: 0, 6, 12, 18, 24, 30 mm; xB: 10, 15, 20, 25, 30, 35, 40 mm) to determine image intensity in L and H. Given xA, xB and their corresponding image intensity in L and H, the parameters ai, bj ci, dj can be determined by minimizing absolute error fitting. This step is called parameterization. To validate the results of parameterization, the thicknesses of aluminum and acrylic step wedges estimated based on [Eq. (1) and (2)] were compared with those measured using a caliber. Quantitative evaluation The difference between real CT images (Ireal) and pseudo CT images (Ipseudo) generated by CNN was quantified by using RMSE and PSNR:(4)RMSE=∑i=1VIreal‐Ipseudo2Vwhere V is the number of voxels within the whole image,(5)PSNR=20log10ImaxRMSE (6)CNR=CT#‐CT#BGSDBGwhere CT# is the mean CT number of a specified material, CT#BG and SDBG are the average and standard deviation of CT numbers of tissue equivalent background material, respectively. The difference between real CT images (Ireal) and pseudo CT images (Ipseudo) generated by CNN was quantified by using RMSE and PSNR:(4)RMSE=∑i=1VIreal‐Ipseudo2Vwhere V is the number of voxels within the whole image,(5)PSNR=20log10ImaxRMSE (6)CNR=CT#‐CT#BGSDBGwhere CT# is the mean CT number of a specified material, CT#BG and SDBG are the average and standard deviation of CT numbers of tissue equivalent background material, respectively.
Results
Parameterization for material decomposition According to the calibration step wedge experiment, the parameters ai, bj ci, dj in [Eq. (1) and (2)] were determined:xA=0.952+1.116L‐2.353H‐0.023L2+0.098LH‐0.104H21‐0.020L+0.042H xB=‐2.319‐2.882L+8.509H+0.088L2‐0.448LH+0.558H21‐0.035L+0.079H. Figures 5(a) and 5(b) demonstrate the illustration of the calibration step wedge and the corresponding 80‐kVp projection with 48 ROIs, respectively. The measured and estimated wedge thickness vs the image intensity in 80‐kVp projection (‐ln(IL/I0)) are shown in [Fig. 5(c)] for aluminum step wedge and [Fig. 5(d)] for acrylic step wedge. The differences between measurements and estimates for the aluminum step wedge with thickness of 0, 6, 12, 18, 24, 30 mm are 0.39, 0.66, 0.15, 0.19, 0.07, 0.14 mm, respectively. The differences between measurements and estimates for the acrylic step wedge with thickness of 5, 10, 15, 20, 25, 30, 35, 40 mm are 0.99, 0.88, 1.48, 0.42, 0.54, 0.76, 0.77, 0.61 mm, respectively. Figure 6 demonstrates the decomposed projections from basis material decomposition for aluminum and acrylic step wedges and their corresponding illustrations. (a) Illustration of the calibration step wedge and (b) the corresponding 80‐kVp projection. The red rectangles in (b) are the ROIs used to depict the image intensity in projection versus the wedge thickness of (c) aluminum step wedge and (d) acrylic step wedge. Decomposed projection from basis material decomposition (left) and the corresponding illustration (right) for (a) aluminum step wedge and (b) acrylic step wedge. According to the calibration step wedge experiment, the parameters ai, bj ci, dj in [Eq. (1) and (2)] were determined:xA=0.952+1.116L‐2.353H‐0.023L2+0.098LH‐0.104H21‐0.020L+0.042H xB=‐2.319‐2.882L+8.509H+0.088L2‐0.448LH+0.558H21‐0.035L+0.079H. Figures 5(a) and 5(b) demonstrate the illustration of the calibration step wedge and the corresponding 80‐kVp projection with 48 ROIs, respectively. The measured and estimated wedge thickness vs the image intensity in 80‐kVp projection (‐ln(IL/I0)) are shown in [Fig. 5(c)] for aluminum step wedge and [Fig. 5(d)] for acrylic step wedge. The differences between measurements and estimates for the aluminum step wedge with thickness of 0, 6, 12, 18, 24, 30 mm are 0.39, 0.66, 0.15, 0.19, 0.07, 0.14 mm, respectively. The differences between measurements and estimates for the acrylic step wedge with thickness of 5, 10, 15, 20, 25, 30, 35, 40 mm are 0.99, 0.88, 1.48, 0.42, 0.54, 0.76, 0.77, 0.61 mm, respectively. Figure 6 demonstrates the decomposed projections from basis material decomposition for aluminum and acrylic step wedges and their corresponding illustrations. (a) Illustration of the calibration step wedge and (b) the corresponding 80‐kVp projection. The red rectangles in (b) are the ROIs used to depict the image intensity in projection versus the wedge thickness of (c) aluminum step wedge and (d) acrylic step wedge. Decomposed projection from basis material decomposition (left) and the corresponding illustration (right) for (a) aluminum step wedge and (b) acrylic step wedge. Real DECT images + in‐house software Figure 7 shows CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm obtained from real DECT scans. For these acquired images, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 8(a) and 8(b)], respectively, and their iodine concentrations estimated by commercial and in‐house software are depicted in [Figs. 8(c) and 8(d)], respectively. The coefficients of variation (CVs) of CT numbers at 80 kVp due to different phantom sizes are 0.196, 0.099, 0.085, 0.081 and 0.076 for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding CVs for CT numbers at 140 kVp are 0.252, 0.100, 0.075, 0.075, 0.072. With regards to the iodine concentration estimated by the commercial software, the estimates averaged over different phantom sizes are differed from the truth by 0.202, 0.662, 0.784, 1.310, 2.430 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for iodine concentration estimated by the in‐house software are 0.276, 0.316, 0.188, 0.574, 0.588 mg/ml. (a) 80‐kVp and (b) 140‐kVp real CT images of the calibration phantoms with five different sizes (window width/window level = 1600/0 HU). CT numbers of (a) real 80‐kVp and (b) real 140‐kVp images and iodine concentration estimated based on (c) commercial software and (d) in‐house software with real DECT for iodine syringes inserted in the calibration phantoms with five different sizes. Figure 7 shows CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm obtained from real DECT scans. For these acquired images, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 8(a) and 8(b)], respectively, and their iodine concentrations estimated by commercial and in‐house software are depicted in [Figs. 8(c) and 8(d)], respectively. The coefficients of variation (CVs) of CT numbers at 80 kVp due to different phantom sizes are 0.196, 0.099, 0.085, 0.081 and 0.076 for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding CVs for CT numbers at 140 kVp are 0.252, 0.100, 0.075, 0.075, 0.072. With regards to the iodine concentration estimated by the commercial software, the estimates averaged over different phantom sizes are differed from the truth by 0.202, 0.662, 0.784, 1.310, 2.430 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for iodine concentration estimated by the in‐house software are 0.276, 0.316, 0.188, 0.574, 0.588 mg/ml. (a) 80‐kVp and (b) 140‐kVp real CT images of the calibration phantoms with five different sizes (window width/window level = 1600/0 HU). CT numbers of (a) real 80‐kVp and (b) real 140‐kVp images and iodine concentration estimated based on (c) commercial software and (d) in‐house software with real DECT for iodine syringes inserted in the calibration phantoms with five different sizes. Pseudo DECT images + in‐house software Figure 9 demonstrates the RMSE and PSNR between real and pseudo CT for Ephan1 and Ephan2. The pseudo DECT images of Ephan1 generated by CNN after 107 iterations are compared with real DECT images in Fig. 10. The corresponding results for Ephan2 are shown in Fig. 11. Since the field of view (FOV) in 140‐kVp scan is 33 cm, the peripheral parts of evaluation phantoms are truncated in real 140‐kVp CT image [Figs. 10(c) and 11(c)]. For a fair comparison between 80‐ and 140‐kVp images in terms of RMSE and PSNR, the difference images were masked by a binary image which is the union of phantom boundary and the 33‐cm FOV. To evaluate the efficacy of our proposed method on quantification accuracy, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 12(a) and 12(b)], and the iodine concentrations estimated by the in‐house software are depicted in [Figs. 12(c)]. For 80‐kVp CT, the CT numbers in pseudo images generated by CNN after 107 iterations are differed from the truth by 11.57, 16.67, 13.92, 12.23, 10.69 HU for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for 140‐kVp CT are 3.09, 9.10, 7.08, 9.81, 7.59 HU. As for the iodine concentration estimated by the in‐house software with pseudo DECT generated by CNN after 107 iterations, the estimates are differed from the truth by 0.104, 0.603, 0.478, 0.698, 0.795 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. With regards to the efficacy of our proposed method on image quality enhancement, the CNR of VMCT synthesized by the in‐house software with real and pseudo DECT are demonstrated in [Figs. 12(d) and 12(e)] for iodine syringes inserted in Ephan2. RMSE (left vertical axis, solid blue line) and PSNR (right vertical axis, dashed green line) between real and pseudo CT at 80 kVp (left) and 140 kVp (right) for (a) Ephan1 and (b) Ephan2. (a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan1 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images. (a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan2 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images. CT numbers at (a) 80 kVp and (b) 140 kVp, (c) iodine concentration estimated based on in‐house software, and CNR of VMCT synthesized by in‐house software with (d) real DECT and (e) pseudo DECT for iodine syringes inserted in Ephan2. Figure 9 demonstrates the RMSE and PSNR between real and pseudo CT for Ephan1 and Ephan2. The pseudo DECT images of Ephan1 generated by CNN after 107 iterations are compared with real DECT images in Fig. 10. The corresponding results for Ephan2 are shown in Fig. 11. Since the field of view (FOV) in 140‐kVp scan is 33 cm, the peripheral parts of evaluation phantoms are truncated in real 140‐kVp CT image [Figs. 10(c) and 11(c)]. For a fair comparison between 80‐ and 140‐kVp images in terms of RMSE and PSNR, the difference images were masked by a binary image which is the union of phantom boundary and the 33‐cm FOV. To evaluate the efficacy of our proposed method on quantification accuracy, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 12(a) and 12(b)], and the iodine concentrations estimated by the in‐house software are depicted in [Figs. 12(c)]. For 80‐kVp CT, the CT numbers in pseudo images generated by CNN after 107 iterations are differed from the truth by 11.57, 16.67, 13.92, 12.23, 10.69 HU for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for 140‐kVp CT are 3.09, 9.10, 7.08, 9.81, 7.59 HU. As for the iodine concentration estimated by the in‐house software with pseudo DECT generated by CNN after 107 iterations, the estimates are differed from the truth by 0.104, 0.603, 0.478, 0.698, 0.795 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. With regards to the efficacy of our proposed method on image quality enhancement, the CNR of VMCT synthesized by the in‐house software with real and pseudo DECT are demonstrated in [Figs. 12(d) and 12(e)] for iodine syringes inserted in Ephan2. RMSE (left vertical axis, solid blue line) and PSNR (right vertical axis, dashed green line) between real and pseudo CT at 80 kVp (left) and 140 kVp (right) for (a) Ephan1 and (b) Ephan2. (a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan1 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images. (a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan2 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images. CT numbers at (a) 80 kVp and (b) 140 kVp, (c) iodine concentration estimated based on in‐house software, and CNR of VMCT synthesized by in‐house software with (d) real DECT and (e) pseudo DECT for iodine syringes inserted in Ephan2.
Conclusion
This study investigated the feasibility of generating pseudo DECT from one 120‐kVp CT by using deep learning method to quantify iodine concentration and synthesize VMCT through phantom study. Based on our results, the accuracy of iodine concentration estimated by the in‐house software with CNN‐generated pseudo DECT imaging was comparable to the commercial software with real DECT imaging. Moreover, the VMCT synthesized by the proposed method could provide better image contrast than 120‐kVp SECT after energy optimization. In conclusion, the proposed method should be a practicable strategy for iodine quantification in contrast enhanced 120‐kVp SECT without using specific scanner or scanning procedure.
[ "Introduction", "Calibration phantoms", "Evaluation phantoms", "DECT and SECT scans", "Deep learning to generate pseudo DECT", "In‐house software to generate VMCT and iodine image", "Quantitative evaluation", "Parameterization for material decomposition", "Real DECT images + in‐house software", "Pseudo DECT images + in‐house software" ]
[ "Single‐energy CT (SECT) scan utilizes a single polychromatic x‐ray beam at energy ranging from 70 to 140 kVp with a standard of 120 kVp. The image contrast of CT depends on the differences in photon attenuation of various materials that constitute human body, whereas the degree of photon attenuation is related to tissue composition and photon energy. Dual‐energy CT (DECT) acquires two images at different energy levels to use the attenuation difference at different energies for deriving additional information, such as virtual monochromatic CT (VMCT) and iodine image.\n1\n, \n2\n, \n3\n The VMCT can be customized to a specific energy level that offers a balance between adequate image contrast and reduced image noise to optimize the contrast‐to‐noise ratio (CNR). Besides image quality enhancement, DECT also allows quantification of iodine concentration, which could improve lesion conspicuity due to difference in iodine content between lesions and normal parenchyma. The algorithms for DECT acquisition are unique for each CT manufacturer, so this capability is only available for some specific scanners.\n4\n, \n5\n Dual‐source DECT scanners contain two x‐ray tubes and detector arrays for simultaneous acquisition of projection data with the sources operated at different tube potentials. Fast kilovolt‐switching DECT scanners allow acquisition of dual‐energy data by modulating the voltage of a single x‐ray generator from low to high kilovolt peaks between alternating projections. Dual‐layered DECT scanners have equipped with a modified detector with two scintillation layers to receive separate high and low image data. All these proprietary techniques have posed a burden on CT system hardware, so DECT scanners are not widely available as SECT scanner. Moreover, DECT acquisition may increase the radiation dose to patients. Hence, DECT is not a routine procedure even for contrast‐enhanced CT scan in our hospital. Machine learning is attracting growing interest in both academia and industry recently. Furthermore, deep learning techniques have become the de facto standard for a wide variety of computer vision problems.\n6\n, \n7\n, \n8\n A deep learning model learns multiple levels of representations that correspond to different levels of abstraction from the input image to perform prediction. This study aimed to investigate the feasibility of generating pseudo DECT from one 120‐kVp CT by using convolutional neural network (CNN) to derive additional information for quantitative image analysis without extra CT scans through phantom study.", "A calibration phantom set which consists of an electron density phantom and additional annuluses was used to generate training dataset for CNN optimization (Fig. 1). The electron density phantom (Model 062; CIRS, Norfolk, VA, USA) which is 18 cm in diameter and 5 cm in height was covered by four layers of 2.5‐cm‐thick bolus (Superflab Bolus; Radiation Products Design Inc, Albertville, MN, USA) to enlarge the diameter of the calibration phantom from 18 cm (Cphan18cm) to 23 cm (Cphan23cm), 28 cm (Cphan28cm), 33 cm (Cphan33cm), and 38 cm (Cphan38cm). The electron density phantom is made of soft tissue equivalent epoxy resin and houses 4 rod inserts + 5 syringes. The rod inserts simulate four different soft tissues, including adipose (0.96 g/cc), breast (0.991 g/cc), muscle (1.062 g/cc), and liver (1.072 g/cc). The plastic syringes (volume: 10 ml; diameter: 2 cm) were filled with iodine solution at concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml.\nIllustration of the calibration phantoms with five different sizes.", "Fig. 2 demonstrates two evaluation phantoms used to generate testing dataset for CNN optimization. The first evaluation phantom (Ephan1) shown in [Fig. 2(a)] is an electron density phantom (Model 062; CIRS, Norfolk, VA, USA) with dimensions of 33*27*15 cm3. The elliptical, epoxy resin‐based phantom houses 17 rod inserts simulating lung (inhale: 0.195 g/cc; exhale: 0.51 g/cc), adipose (0.96 g/cc), breast (0.991 g/cc), plastic water (1.016 g/cc), muscle (1.062 g/cc), liver (1.072 g/cc), trabecular bone (1.161 g/cc), dense bone (1.53 g/cc). The second evaluation phantom (Ephan2) shown in [Fig. 2(b)] has the same dimensions and base material as Ephan1, but the inserts in Ephan2 are different from those in Ephan1, including 12 rod inserts simulating different tissues and five syringes filled with iodine solution.\nIllustration of two evaluation phantoms with different rod inserts.", "All scans were performed on a dual‐source DECT scanner (Somatom Definition Flash, Siemens Healthcare, Forchheim, Germany). The imaging parameters of DECT and SECT scans used in this study are shown in Table 1. Attenuation‐based tube current modulation (CARE Dose 4D, Siemens Healthcare, Forchheim, Germany) was applied for all acquisitions. Each phantom was scanned at 80, 120, and 140 kVp using 0.5‐s gantry rotation time and pitch of 0.6, so 21 CT acquisitions were performed. Scan data were reconstructed at 2‐mm nominal slice width using Filtered Backprojection (FBP) with a medium smooth reconstruction kernel (B30f). For DECT scan, material‐specific images can be generated through material decomposition to quantify the presence of particular elements, compounds, or mixture. With vender’s software, material decomposition was performed for three basis materials in the image domain.\n9\n, \n10\n\n\nImaging parameters of dual‐energy and single‐energy scans.\nEffective tube current‐time product = mAs/pitch.", "Energy mapping has been widely used in CT‐based attenuation correction for PET which derives μ‐map at 511 keV from CT images. Although this transformation is not linear, it needs small extent of nonlinear mapping.\n11\n Hence, the deep learning method proposed by Nie et al. was adapted in this work to generate pseudo DECT imaging from one 120‐kVp CT scan.\n12\n Figure 3 demonstrates the structure of the CNN model. The model consists of three convolutional stages with deeply supervised nets (DSN) to supervise features at each convolutional stage, enabled by layer‐wise dense connections in both backbone networks and prediction layers.\n13\n The mean square error (MSE) was used as the loss function to minimize the loss between the reconstructed images and the corresponding ground truth. Using MSE as the loss function favors a high peak signal‐to‐noise ratio (PSNR). The input images are prepared as 32*32‐pixel sub‐images randomly cropped from the original image. To avoid border effects, all the convolutional layers have no padding, and the network produces an output image with 18*18 matrix size. The training datasets are sub‐images extracted from the CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm with a stride of 14. The testing datasets are sub‐images extracted from the CT images of Ephan1 and Ephan2 with a stride of 20. The training and testing datasets provide roughly 49972 and 8184 sub‐images, respectively. The filter weights of each layer are initialized by using Xavier initialization, which could automatically determine the scale of initialization based on the number of input and output neurons.\n14\n All biases were initialized with zero. The model was trained using stochastic gradient descent with mini‐batch size of 128, learning rate of 0.01 and momentum of 0.9. The CNN model was built, trained, and tested by using Caffe (Convolutional Architecture for Fast Feature Embedding) CNN platform (version 1.0.0‐rc5 with CUDA 8.0.61) on an Ubuntu server (version 16.04.4 LTS) with two RTX 2080 (NVIDIA) graphics cards.\nStructure of CNN model to generate pseudo 80‐ and 140‐kVp CT from 120‐kVp CT.", "In the presence of iodine, VMCT created using image‐based method may contain beam‐hardening artifacts,\n15\n, \n16\n so an in‐house software for realizing the projection‐based method proposed by Li et al. was implemented (Fig. 4).\n17\n The first step in the workflow was forward projection of CT images reconstructed in mm‐1 by Siddon’s ray tracing algorithm to obtain low‐energy projections (L) and high‐energy projections (H).\n18\n Next, two‐material decomposition was performed to estimate the equivalent thickness of basis materials. Numerous basis materials for soft and bone tissues have been suggested.\n19\n, \n20\n For this study, aluminum was selected for bone tissues, while acrylic was chosen for soft tissue. The equivalent thicknesses of aluminum (xA) and acrylic (xB) were estimated based on the following equations:(1)xA=a0+a1L+a2H+a3L2+a4LH+a5H21+b0L+b1H\n(2)xB=c0+c1L+c2H+c3L2+c4LH+c5H21+d0L+d1Hwhere the parameters ai, bj ci, dj (i = 0‐5; j = 0, 1) represent characteristics of the x‐ray beam energy spectrum. In the combination step, virtual monochromatic projections were synthesized using the following equation:(3)∫μEds=μAExA+μBExBwhere μA(E) and μB(E) are the linear attenuation coefficients of basis materials at energy E. The mass attenuation coefficients of basis materials at different energies were obtained from XCOM: Photon Cross Sections Database by National Institute of Standards and Technology (NIST), available at http://physics.nist.gov/xcom. Last, FBP algorithm was used for the VMCT reconstruction. With regards to the estimation of iodine concentration, the decomposed aluminum projections were reconstructed by FBP first and then multiplied by a conversion factor to create iodine images.\nWorkflow to synthesize VMCT based on the in‐house software.\nThe parameters ai, bj ci, dj in [Eq. (1) and (2)] have to be determined to conduct material decomposition. Hence, a calibration step wedge which contains two aluminum step wedges and one acrylic step wedge stacked in an orthogonal pattern was used. The dimensions of the 11‐step aluminum wedge (Fluke Biomedical, Everett, WA, USA) are 139.7 mm in length, 63.5 mm in width and 33 mm in height. The home‐made acrylic wedge contains eight steps, and its dimensions are 120 mm in length, 152.4 mm in width and 40 mm in height. Forty‐eight regions of interest (ROIs) were placed on the projections of the calibration step wedge (xA: 0, 6, 12, 18, 24, 30 mm; xB: 10, 15, 20, 25, 30, 35, 40 mm) to determine image intensity in L and H. Given xA, xB and their corresponding image intensity in L and H, the parameters ai, bj ci, dj can be determined by minimizing absolute error fitting. This step is called parameterization. To validate the results of parameterization, the thicknesses of aluminum and acrylic step wedges estimated based on [Eq. (1) and (2)] were compared with those measured using a caliber.", "The difference between real CT images (Ireal) and pseudo CT images (Ipseudo) generated by CNN was quantified by using RMSE and PSNR:(4)RMSE=∑i=1VIreal‐Ipseudo2Vwhere V is the number of voxels within the whole image,(5)PSNR=20log10ImaxRMSE\n(6)CNR=CT#‐CT#BGSDBGwhere CT# is the mean CT number of a specified material, CT#BG and SDBG are the average and standard deviation of CT numbers of tissue equivalent background material, respectively.", "According to the calibration step wedge experiment, the parameters ai, bj ci, dj in [Eq. (1) and (2)] were determined:xA=0.952+1.116L‐2.353H‐0.023L2+0.098LH‐0.104H21‐0.020L+0.042H\nxB=‐2.319‐2.882L+8.509H+0.088L2‐0.448LH+0.558H21‐0.035L+0.079H.\n\nFigures 5(a) and 5(b) demonstrate the illustration of the calibration step wedge and the corresponding 80‐kVp projection with 48 ROIs, respectively. The measured and estimated wedge thickness vs the image intensity in 80‐kVp projection (‐ln(IL/I0)) are shown in [Fig. 5(c)] for aluminum step wedge and [Fig. 5(d)] for acrylic step wedge. The differences between measurements and estimates for the aluminum step wedge with thickness of 0, 6, 12, 18, 24, 30 mm are 0.39, 0.66, 0.15, 0.19, 0.07, 0.14 mm, respectively. The differences between measurements and estimates for the acrylic step wedge with thickness of 5, 10, 15, 20, 25, 30, 35, 40 mm are 0.99, 0.88, 1.48, 0.42, 0.54, 0.76, 0.77, 0.61 mm, respectively. Figure 6 demonstrates the decomposed projections from basis material decomposition for aluminum and acrylic step wedges and their corresponding illustrations.\n(a) Illustration of the calibration step wedge and (b) the corresponding 80‐kVp projection. The red rectangles in (b) are the ROIs used to depict the image intensity in projection versus the wedge thickness of (c) aluminum step wedge and (d) acrylic step wedge.\nDecomposed projection from basis material decomposition (left) and the corresponding illustration (right) for (a) aluminum step wedge and (b) acrylic step wedge.", "Figure 7 shows CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm obtained from real DECT scans. For these acquired images, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 8(a) and 8(b)], respectively, and their iodine concentrations estimated by commercial and in‐house software are depicted in [Figs. 8(c) and 8(d)], respectively. The coefficients of variation (CVs) of CT numbers at 80 kVp due to different phantom sizes are 0.196, 0.099, 0.085, 0.081 and 0.076 for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding CVs for CT numbers at 140 kVp are 0.252, 0.100, 0.075, 0.075, 0.072. With regards to the iodine concentration estimated by the commercial software, the estimates averaged over different phantom sizes are differed from the truth by 0.202, 0.662, 0.784, 1.310, 2.430 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for iodine concentration estimated by the in‐house software are 0.276, 0.316, 0.188, 0.574, 0.588 mg/ml.\n(a) 80‐kVp and (b) 140‐kVp real CT images of the calibration phantoms with five different sizes (window width/window level = 1600/0 HU).\nCT numbers of (a) real 80‐kVp and (b) real 140‐kVp images and iodine concentration estimated based on (c) commercial software and (d) in‐house software with real DECT for iodine syringes inserted in the calibration phantoms with five different sizes.", "Figure 9 demonstrates the RMSE and PSNR between real and pseudo CT for Ephan1 and Ephan2. The pseudo DECT images of Ephan1 generated by CNN after 107 iterations are compared with real DECT images in Fig. 10. The corresponding results for Ephan2 are shown in Fig. 11. Since the field of view (FOV) in 140‐kVp scan is 33 cm, the peripheral parts of evaluation phantoms are truncated in real 140‐kVp CT image [Figs. 10(c) and 11(c)]. For a fair comparison between 80‐ and 140‐kVp images in terms of RMSE and PSNR, the difference images were masked by a binary image which is the union of phantom boundary and the 33‐cm FOV. To evaluate the efficacy of our proposed method on quantification accuracy, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 12(a) and 12(b)], and the iodine concentrations estimated by the in‐house software are depicted in [Figs. 12(c)]. For 80‐kVp CT, the CT numbers in pseudo images generated by CNN after 107 iterations are differed from the truth by 11.57, 16.67, 13.92, 12.23, 10.69 HU for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for 140‐kVp CT are 3.09, 9.10, 7.08, 9.81, 7.59 HU. As for the iodine concentration estimated by the in‐house software with pseudo DECT generated by CNN after 107 iterations, the estimates are differed from the truth by 0.104, 0.603, 0.478, 0.698, 0.795 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. With regards to the efficacy of our proposed method on image quality enhancement, the CNR of VMCT synthesized by the in‐house software with real and pseudo DECT are demonstrated in [Figs. 12(d) and 12(e)] for iodine syringes inserted in Ephan2.\nRMSE (left vertical axis, solid blue line) and PSNR (right vertical axis, dashed green line) between real and pseudo CT at 80 kVp (left) and 140 kVp (right) for (a) Ephan1 and (b) Ephan2.\n(a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan1 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images.\n(a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan2 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images.\nCT numbers at (a) 80 kVp and (b) 140 kVp, (c) iodine concentration estimated based on in‐house software, and CNR of VMCT synthesized by in‐house software with (d) real DECT and (e) pseudo DECT for iodine syringes inserted in Ephan2." ]
[ null, null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Methods", "Calibration phantoms", "Evaluation phantoms", "DECT and SECT scans", "Deep learning to generate pseudo DECT", "In‐house software to generate VMCT and iodine image", "Quantitative evaluation", "Results", "Parameterization for material decomposition", "Real DECT images + in‐house software", "Pseudo DECT images + in‐house software", "Discussion", "Conclusion" ]
[ "Single‐energy CT (SECT) scan utilizes a single polychromatic x‐ray beam at energy ranging from 70 to 140 kVp with a standard of 120 kVp. The image contrast of CT depends on the differences in photon attenuation of various materials that constitute human body, whereas the degree of photon attenuation is related to tissue composition and photon energy. Dual‐energy CT (DECT) acquires two images at different energy levels to use the attenuation difference at different energies for deriving additional information, such as virtual monochromatic CT (VMCT) and iodine image.\n1\n, \n2\n, \n3\n The VMCT can be customized to a specific energy level that offers a balance between adequate image contrast and reduced image noise to optimize the contrast‐to‐noise ratio (CNR). Besides image quality enhancement, DECT also allows quantification of iodine concentration, which could improve lesion conspicuity due to difference in iodine content between lesions and normal parenchyma. The algorithms for DECT acquisition are unique for each CT manufacturer, so this capability is only available for some specific scanners.\n4\n, \n5\n Dual‐source DECT scanners contain two x‐ray tubes and detector arrays for simultaneous acquisition of projection data with the sources operated at different tube potentials. Fast kilovolt‐switching DECT scanners allow acquisition of dual‐energy data by modulating the voltage of a single x‐ray generator from low to high kilovolt peaks between alternating projections. Dual‐layered DECT scanners have equipped with a modified detector with two scintillation layers to receive separate high and low image data. All these proprietary techniques have posed a burden on CT system hardware, so DECT scanners are not widely available as SECT scanner. Moreover, DECT acquisition may increase the radiation dose to patients. Hence, DECT is not a routine procedure even for contrast‐enhanced CT scan in our hospital. Machine learning is attracting growing interest in both academia and industry recently. Furthermore, deep learning techniques have become the de facto standard for a wide variety of computer vision problems.\n6\n, \n7\n, \n8\n A deep learning model learns multiple levels of representations that correspond to different levels of abstraction from the input image to perform prediction. This study aimed to investigate the feasibility of generating pseudo DECT from one 120‐kVp CT by using convolutional neural network (CNN) to derive additional information for quantitative image analysis without extra CT scans through phantom study.", "Calibration phantoms A calibration phantom set which consists of an electron density phantom and additional annuluses was used to generate training dataset for CNN optimization (Fig. 1). The electron density phantom (Model 062; CIRS, Norfolk, VA, USA) which is 18 cm in diameter and 5 cm in height was covered by four layers of 2.5‐cm‐thick bolus (Superflab Bolus; Radiation Products Design Inc, Albertville, MN, USA) to enlarge the diameter of the calibration phantom from 18 cm (Cphan18cm) to 23 cm (Cphan23cm), 28 cm (Cphan28cm), 33 cm (Cphan33cm), and 38 cm (Cphan38cm). The electron density phantom is made of soft tissue equivalent epoxy resin and houses 4 rod inserts + 5 syringes. The rod inserts simulate four different soft tissues, including adipose (0.96 g/cc), breast (0.991 g/cc), muscle (1.062 g/cc), and liver (1.072 g/cc). The plastic syringes (volume: 10 ml; diameter: 2 cm) were filled with iodine solution at concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml.\nIllustration of the calibration phantoms with five different sizes.\nA calibration phantom set which consists of an electron density phantom and additional annuluses was used to generate training dataset for CNN optimization (Fig. 1). The electron density phantom (Model 062; CIRS, Norfolk, VA, USA) which is 18 cm in diameter and 5 cm in height was covered by four layers of 2.5‐cm‐thick bolus (Superflab Bolus; Radiation Products Design Inc, Albertville, MN, USA) to enlarge the diameter of the calibration phantom from 18 cm (Cphan18cm) to 23 cm (Cphan23cm), 28 cm (Cphan28cm), 33 cm (Cphan33cm), and 38 cm (Cphan38cm). The electron density phantom is made of soft tissue equivalent epoxy resin and houses 4 rod inserts + 5 syringes. The rod inserts simulate four different soft tissues, including adipose (0.96 g/cc), breast (0.991 g/cc), muscle (1.062 g/cc), and liver (1.072 g/cc). The plastic syringes (volume: 10 ml; diameter: 2 cm) were filled with iodine solution at concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml.\nIllustration of the calibration phantoms with five different sizes.\nEvaluation phantoms Fig. 2 demonstrates two evaluation phantoms used to generate testing dataset for CNN optimization. The first evaluation phantom (Ephan1) shown in [Fig. 2(a)] is an electron density phantom (Model 062; CIRS, Norfolk, VA, USA) with dimensions of 33*27*15 cm3. The elliptical, epoxy resin‐based phantom houses 17 rod inserts simulating lung (inhale: 0.195 g/cc; exhale: 0.51 g/cc), adipose (0.96 g/cc), breast (0.991 g/cc), plastic water (1.016 g/cc), muscle (1.062 g/cc), liver (1.072 g/cc), trabecular bone (1.161 g/cc), dense bone (1.53 g/cc). The second evaluation phantom (Ephan2) shown in [Fig. 2(b)] has the same dimensions and base material as Ephan1, but the inserts in Ephan2 are different from those in Ephan1, including 12 rod inserts simulating different tissues and five syringes filled with iodine solution.\nIllustration of two evaluation phantoms with different rod inserts.\nFig. 2 demonstrates two evaluation phantoms used to generate testing dataset for CNN optimization. The first evaluation phantom (Ephan1) shown in [Fig. 2(a)] is an electron density phantom (Model 062; CIRS, Norfolk, VA, USA) with dimensions of 33*27*15 cm3. The elliptical, epoxy resin‐based phantom houses 17 rod inserts simulating lung (inhale: 0.195 g/cc; exhale: 0.51 g/cc), adipose (0.96 g/cc), breast (0.991 g/cc), plastic water (1.016 g/cc), muscle (1.062 g/cc), liver (1.072 g/cc), trabecular bone (1.161 g/cc), dense bone (1.53 g/cc). The second evaluation phantom (Ephan2) shown in [Fig. 2(b)] has the same dimensions and base material as Ephan1, but the inserts in Ephan2 are different from those in Ephan1, including 12 rod inserts simulating different tissues and five syringes filled with iodine solution.\nIllustration of two evaluation phantoms with different rod inserts.\nDECT and SECT scans All scans were performed on a dual‐source DECT scanner (Somatom Definition Flash, Siemens Healthcare, Forchheim, Germany). The imaging parameters of DECT and SECT scans used in this study are shown in Table 1. Attenuation‐based tube current modulation (CARE Dose 4D, Siemens Healthcare, Forchheim, Germany) was applied for all acquisitions. Each phantom was scanned at 80, 120, and 140 kVp using 0.5‐s gantry rotation time and pitch of 0.6, so 21 CT acquisitions were performed. Scan data were reconstructed at 2‐mm nominal slice width using Filtered Backprojection (FBP) with a medium smooth reconstruction kernel (B30f). For DECT scan, material‐specific images can be generated through material decomposition to quantify the presence of particular elements, compounds, or mixture. With vender’s software, material decomposition was performed for three basis materials in the image domain.\n9\n, \n10\n\n\nImaging parameters of dual‐energy and single‐energy scans.\nEffective tube current‐time product = mAs/pitch.\nAll scans were performed on a dual‐source DECT scanner (Somatom Definition Flash, Siemens Healthcare, Forchheim, Germany). The imaging parameters of DECT and SECT scans used in this study are shown in Table 1. Attenuation‐based tube current modulation (CARE Dose 4D, Siemens Healthcare, Forchheim, Germany) was applied for all acquisitions. Each phantom was scanned at 80, 120, and 140 kVp using 0.5‐s gantry rotation time and pitch of 0.6, so 21 CT acquisitions were performed. Scan data were reconstructed at 2‐mm nominal slice width using Filtered Backprojection (FBP) with a medium smooth reconstruction kernel (B30f). For DECT scan, material‐specific images can be generated through material decomposition to quantify the presence of particular elements, compounds, or mixture. With vender’s software, material decomposition was performed for three basis materials in the image domain.\n9\n, \n10\n\n\nImaging parameters of dual‐energy and single‐energy scans.\nEffective tube current‐time product = mAs/pitch.\nDeep learning to generate pseudo DECT Energy mapping has been widely used in CT‐based attenuation correction for PET which derives μ‐map at 511 keV from CT images. Although this transformation is not linear, it needs small extent of nonlinear mapping.\n11\n Hence, the deep learning method proposed by Nie et al. was adapted in this work to generate pseudo DECT imaging from one 120‐kVp CT scan.\n12\n Figure 3 demonstrates the structure of the CNN model. The model consists of three convolutional stages with deeply supervised nets (DSN) to supervise features at each convolutional stage, enabled by layer‐wise dense connections in both backbone networks and prediction layers.\n13\n The mean square error (MSE) was used as the loss function to minimize the loss between the reconstructed images and the corresponding ground truth. Using MSE as the loss function favors a high peak signal‐to‐noise ratio (PSNR). The input images are prepared as 32*32‐pixel sub‐images randomly cropped from the original image. To avoid border effects, all the convolutional layers have no padding, and the network produces an output image with 18*18 matrix size. The training datasets are sub‐images extracted from the CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm with a stride of 14. The testing datasets are sub‐images extracted from the CT images of Ephan1 and Ephan2 with a stride of 20. The training and testing datasets provide roughly 49972 and 8184 sub‐images, respectively. The filter weights of each layer are initialized by using Xavier initialization, which could automatically determine the scale of initialization based on the number of input and output neurons.\n14\n All biases were initialized with zero. The model was trained using stochastic gradient descent with mini‐batch size of 128, learning rate of 0.01 and momentum of 0.9. The CNN model was built, trained, and tested by using Caffe (Convolutional Architecture for Fast Feature Embedding) CNN platform (version 1.0.0‐rc5 with CUDA 8.0.61) on an Ubuntu server (version 16.04.4 LTS) with two RTX 2080 (NVIDIA) graphics cards.\nStructure of CNN model to generate pseudo 80‐ and 140‐kVp CT from 120‐kVp CT.\nEnergy mapping has been widely used in CT‐based attenuation correction for PET which derives μ‐map at 511 keV from CT images. Although this transformation is not linear, it needs small extent of nonlinear mapping.\n11\n Hence, the deep learning method proposed by Nie et al. was adapted in this work to generate pseudo DECT imaging from one 120‐kVp CT scan.\n12\n Figure 3 demonstrates the structure of the CNN model. The model consists of three convolutional stages with deeply supervised nets (DSN) to supervise features at each convolutional stage, enabled by layer‐wise dense connections in both backbone networks and prediction layers.\n13\n The mean square error (MSE) was used as the loss function to minimize the loss between the reconstructed images and the corresponding ground truth. Using MSE as the loss function favors a high peak signal‐to‐noise ratio (PSNR). The input images are prepared as 32*32‐pixel sub‐images randomly cropped from the original image. To avoid border effects, all the convolutional layers have no padding, and the network produces an output image with 18*18 matrix size. The training datasets are sub‐images extracted from the CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm with a stride of 14. The testing datasets are sub‐images extracted from the CT images of Ephan1 and Ephan2 with a stride of 20. The training and testing datasets provide roughly 49972 and 8184 sub‐images, respectively. The filter weights of each layer are initialized by using Xavier initialization, which could automatically determine the scale of initialization based on the number of input and output neurons.\n14\n All biases were initialized with zero. The model was trained using stochastic gradient descent with mini‐batch size of 128, learning rate of 0.01 and momentum of 0.9. The CNN model was built, trained, and tested by using Caffe (Convolutional Architecture for Fast Feature Embedding) CNN platform (version 1.0.0‐rc5 with CUDA 8.0.61) on an Ubuntu server (version 16.04.4 LTS) with two RTX 2080 (NVIDIA) graphics cards.\nStructure of CNN model to generate pseudo 80‐ and 140‐kVp CT from 120‐kVp CT.\nIn‐house software to generate VMCT and iodine image In the presence of iodine, VMCT created using image‐based method may contain beam‐hardening artifacts,\n15\n, \n16\n so an in‐house software for realizing the projection‐based method proposed by Li et al. was implemented (Fig. 4).\n17\n The first step in the workflow was forward projection of CT images reconstructed in mm‐1 by Siddon’s ray tracing algorithm to obtain low‐energy projections (L) and high‐energy projections (H).\n18\n Next, two‐material decomposition was performed to estimate the equivalent thickness of basis materials. Numerous basis materials for soft and bone tissues have been suggested.\n19\n, \n20\n For this study, aluminum was selected for bone tissues, while acrylic was chosen for soft tissue. The equivalent thicknesses of aluminum (xA) and acrylic (xB) were estimated based on the following equations:(1)xA=a0+a1L+a2H+a3L2+a4LH+a5H21+b0L+b1H\n(2)xB=c0+c1L+c2H+c3L2+c4LH+c5H21+d0L+d1Hwhere the parameters ai, bj ci, dj (i = 0‐5; j = 0, 1) represent characteristics of the x‐ray beam energy spectrum. In the combination step, virtual monochromatic projections were synthesized using the following equation:(3)∫μEds=μAExA+μBExBwhere μA(E) and μB(E) are the linear attenuation coefficients of basis materials at energy E. The mass attenuation coefficients of basis materials at different energies were obtained from XCOM: Photon Cross Sections Database by National Institute of Standards and Technology (NIST), available at http://physics.nist.gov/xcom. Last, FBP algorithm was used for the VMCT reconstruction. With regards to the estimation of iodine concentration, the decomposed aluminum projections were reconstructed by FBP first and then multiplied by a conversion factor to create iodine images.\nWorkflow to synthesize VMCT based on the in‐house software.\nThe parameters ai, bj ci, dj in [Eq. (1) and (2)] have to be determined to conduct material decomposition. Hence, a calibration step wedge which contains two aluminum step wedges and one acrylic step wedge stacked in an orthogonal pattern was used. The dimensions of the 11‐step aluminum wedge (Fluke Biomedical, Everett, WA, USA) are 139.7 mm in length, 63.5 mm in width and 33 mm in height. The home‐made acrylic wedge contains eight steps, and its dimensions are 120 mm in length, 152.4 mm in width and 40 mm in height. Forty‐eight regions of interest (ROIs) were placed on the projections of the calibration step wedge (xA: 0, 6, 12, 18, 24, 30 mm; xB: 10, 15, 20, 25, 30, 35, 40 mm) to determine image intensity in L and H. Given xA, xB and their corresponding image intensity in L and H, the parameters ai, bj ci, dj can be determined by minimizing absolute error fitting. This step is called parameterization. To validate the results of parameterization, the thicknesses of aluminum and acrylic step wedges estimated based on [Eq. (1) and (2)] were compared with those measured using a caliber.\nIn the presence of iodine, VMCT created using image‐based method may contain beam‐hardening artifacts,\n15\n, \n16\n so an in‐house software for realizing the projection‐based method proposed by Li et al. was implemented (Fig. 4).\n17\n The first step in the workflow was forward projection of CT images reconstructed in mm‐1 by Siddon’s ray tracing algorithm to obtain low‐energy projections (L) and high‐energy projections (H).\n18\n Next, two‐material decomposition was performed to estimate the equivalent thickness of basis materials. Numerous basis materials for soft and bone tissues have been suggested.\n19\n, \n20\n For this study, aluminum was selected for bone tissues, while acrylic was chosen for soft tissue. The equivalent thicknesses of aluminum (xA) and acrylic (xB) were estimated based on the following equations:(1)xA=a0+a1L+a2H+a3L2+a4LH+a5H21+b0L+b1H\n(2)xB=c0+c1L+c2H+c3L2+c4LH+c5H21+d0L+d1Hwhere the parameters ai, bj ci, dj (i = 0‐5; j = 0, 1) represent characteristics of the x‐ray beam energy spectrum. In the combination step, virtual monochromatic projections were synthesized using the following equation:(3)∫μEds=μAExA+μBExBwhere μA(E) and μB(E) are the linear attenuation coefficients of basis materials at energy E. The mass attenuation coefficients of basis materials at different energies were obtained from XCOM: Photon Cross Sections Database by National Institute of Standards and Technology (NIST), available at http://physics.nist.gov/xcom. Last, FBP algorithm was used for the VMCT reconstruction. With regards to the estimation of iodine concentration, the decomposed aluminum projections were reconstructed by FBP first and then multiplied by a conversion factor to create iodine images.\nWorkflow to synthesize VMCT based on the in‐house software.\nThe parameters ai, bj ci, dj in [Eq. (1) and (2)] have to be determined to conduct material decomposition. Hence, a calibration step wedge which contains two aluminum step wedges and one acrylic step wedge stacked in an orthogonal pattern was used. The dimensions of the 11‐step aluminum wedge (Fluke Biomedical, Everett, WA, USA) are 139.7 mm in length, 63.5 mm in width and 33 mm in height. The home‐made acrylic wedge contains eight steps, and its dimensions are 120 mm in length, 152.4 mm in width and 40 mm in height. Forty‐eight regions of interest (ROIs) were placed on the projections of the calibration step wedge (xA: 0, 6, 12, 18, 24, 30 mm; xB: 10, 15, 20, 25, 30, 35, 40 mm) to determine image intensity in L and H. Given xA, xB and their corresponding image intensity in L and H, the parameters ai, bj ci, dj can be determined by minimizing absolute error fitting. This step is called parameterization. To validate the results of parameterization, the thicknesses of aluminum and acrylic step wedges estimated based on [Eq. (1) and (2)] were compared with those measured using a caliber.\nQuantitative evaluation The difference between real CT images (Ireal) and pseudo CT images (Ipseudo) generated by CNN was quantified by using RMSE and PSNR:(4)RMSE=∑i=1VIreal‐Ipseudo2Vwhere V is the number of voxels within the whole image,(5)PSNR=20log10ImaxRMSE\n(6)CNR=CT#‐CT#BGSDBGwhere CT# is the mean CT number of a specified material, CT#BG and SDBG are the average and standard deviation of CT numbers of tissue equivalent background material, respectively.\nThe difference between real CT images (Ireal) and pseudo CT images (Ipseudo) generated by CNN was quantified by using RMSE and PSNR:(4)RMSE=∑i=1VIreal‐Ipseudo2Vwhere V is the number of voxels within the whole image,(5)PSNR=20log10ImaxRMSE\n(6)CNR=CT#‐CT#BGSDBGwhere CT# is the mean CT number of a specified material, CT#BG and SDBG are the average and standard deviation of CT numbers of tissue equivalent background material, respectively.", "A calibration phantom set which consists of an electron density phantom and additional annuluses was used to generate training dataset for CNN optimization (Fig. 1). The electron density phantom (Model 062; CIRS, Norfolk, VA, USA) which is 18 cm in diameter and 5 cm in height was covered by four layers of 2.5‐cm‐thick bolus (Superflab Bolus; Radiation Products Design Inc, Albertville, MN, USA) to enlarge the diameter of the calibration phantom from 18 cm (Cphan18cm) to 23 cm (Cphan23cm), 28 cm (Cphan28cm), 33 cm (Cphan33cm), and 38 cm (Cphan38cm). The electron density phantom is made of soft tissue equivalent epoxy resin and houses 4 rod inserts + 5 syringes. The rod inserts simulate four different soft tissues, including adipose (0.96 g/cc), breast (0.991 g/cc), muscle (1.062 g/cc), and liver (1.072 g/cc). The plastic syringes (volume: 10 ml; diameter: 2 cm) were filled with iodine solution at concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml.\nIllustration of the calibration phantoms with five different sizes.", "Fig. 2 demonstrates two evaluation phantoms used to generate testing dataset for CNN optimization. The first evaluation phantom (Ephan1) shown in [Fig. 2(a)] is an electron density phantom (Model 062; CIRS, Norfolk, VA, USA) with dimensions of 33*27*15 cm3. The elliptical, epoxy resin‐based phantom houses 17 rod inserts simulating lung (inhale: 0.195 g/cc; exhale: 0.51 g/cc), adipose (0.96 g/cc), breast (0.991 g/cc), plastic water (1.016 g/cc), muscle (1.062 g/cc), liver (1.072 g/cc), trabecular bone (1.161 g/cc), dense bone (1.53 g/cc). The second evaluation phantom (Ephan2) shown in [Fig. 2(b)] has the same dimensions and base material as Ephan1, but the inserts in Ephan2 are different from those in Ephan1, including 12 rod inserts simulating different tissues and five syringes filled with iodine solution.\nIllustration of two evaluation phantoms with different rod inserts.", "All scans were performed on a dual‐source DECT scanner (Somatom Definition Flash, Siemens Healthcare, Forchheim, Germany). The imaging parameters of DECT and SECT scans used in this study are shown in Table 1. Attenuation‐based tube current modulation (CARE Dose 4D, Siemens Healthcare, Forchheim, Germany) was applied for all acquisitions. Each phantom was scanned at 80, 120, and 140 kVp using 0.5‐s gantry rotation time and pitch of 0.6, so 21 CT acquisitions were performed. Scan data were reconstructed at 2‐mm nominal slice width using Filtered Backprojection (FBP) with a medium smooth reconstruction kernel (B30f). For DECT scan, material‐specific images can be generated through material decomposition to quantify the presence of particular elements, compounds, or mixture. With vender’s software, material decomposition was performed for three basis materials in the image domain.\n9\n, \n10\n\n\nImaging parameters of dual‐energy and single‐energy scans.\nEffective tube current‐time product = mAs/pitch.", "Energy mapping has been widely used in CT‐based attenuation correction for PET which derives μ‐map at 511 keV from CT images. Although this transformation is not linear, it needs small extent of nonlinear mapping.\n11\n Hence, the deep learning method proposed by Nie et al. was adapted in this work to generate pseudo DECT imaging from one 120‐kVp CT scan.\n12\n Figure 3 demonstrates the structure of the CNN model. The model consists of three convolutional stages with deeply supervised nets (DSN) to supervise features at each convolutional stage, enabled by layer‐wise dense connections in both backbone networks and prediction layers.\n13\n The mean square error (MSE) was used as the loss function to minimize the loss between the reconstructed images and the corresponding ground truth. Using MSE as the loss function favors a high peak signal‐to‐noise ratio (PSNR). The input images are prepared as 32*32‐pixel sub‐images randomly cropped from the original image. To avoid border effects, all the convolutional layers have no padding, and the network produces an output image with 18*18 matrix size. The training datasets are sub‐images extracted from the CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm with a stride of 14. The testing datasets are sub‐images extracted from the CT images of Ephan1 and Ephan2 with a stride of 20. The training and testing datasets provide roughly 49972 and 8184 sub‐images, respectively. The filter weights of each layer are initialized by using Xavier initialization, which could automatically determine the scale of initialization based on the number of input and output neurons.\n14\n All biases were initialized with zero. The model was trained using stochastic gradient descent with mini‐batch size of 128, learning rate of 0.01 and momentum of 0.9. The CNN model was built, trained, and tested by using Caffe (Convolutional Architecture for Fast Feature Embedding) CNN platform (version 1.0.0‐rc5 with CUDA 8.0.61) on an Ubuntu server (version 16.04.4 LTS) with two RTX 2080 (NVIDIA) graphics cards.\nStructure of CNN model to generate pseudo 80‐ and 140‐kVp CT from 120‐kVp CT.", "In the presence of iodine, VMCT created using image‐based method may contain beam‐hardening artifacts,\n15\n, \n16\n so an in‐house software for realizing the projection‐based method proposed by Li et al. was implemented (Fig. 4).\n17\n The first step in the workflow was forward projection of CT images reconstructed in mm‐1 by Siddon’s ray tracing algorithm to obtain low‐energy projections (L) and high‐energy projections (H).\n18\n Next, two‐material decomposition was performed to estimate the equivalent thickness of basis materials. Numerous basis materials for soft and bone tissues have been suggested.\n19\n, \n20\n For this study, aluminum was selected for bone tissues, while acrylic was chosen for soft tissue. The equivalent thicknesses of aluminum (xA) and acrylic (xB) were estimated based on the following equations:(1)xA=a0+a1L+a2H+a3L2+a4LH+a5H21+b0L+b1H\n(2)xB=c0+c1L+c2H+c3L2+c4LH+c5H21+d0L+d1Hwhere the parameters ai, bj ci, dj (i = 0‐5; j = 0, 1) represent characteristics of the x‐ray beam energy spectrum. In the combination step, virtual monochromatic projections were synthesized using the following equation:(3)∫μEds=μAExA+μBExBwhere μA(E) and μB(E) are the linear attenuation coefficients of basis materials at energy E. The mass attenuation coefficients of basis materials at different energies were obtained from XCOM: Photon Cross Sections Database by National Institute of Standards and Technology (NIST), available at http://physics.nist.gov/xcom. Last, FBP algorithm was used for the VMCT reconstruction. With regards to the estimation of iodine concentration, the decomposed aluminum projections were reconstructed by FBP first and then multiplied by a conversion factor to create iodine images.\nWorkflow to synthesize VMCT based on the in‐house software.\nThe parameters ai, bj ci, dj in [Eq. (1) and (2)] have to be determined to conduct material decomposition. Hence, a calibration step wedge which contains two aluminum step wedges and one acrylic step wedge stacked in an orthogonal pattern was used. The dimensions of the 11‐step aluminum wedge (Fluke Biomedical, Everett, WA, USA) are 139.7 mm in length, 63.5 mm in width and 33 mm in height. The home‐made acrylic wedge contains eight steps, and its dimensions are 120 mm in length, 152.4 mm in width and 40 mm in height. Forty‐eight regions of interest (ROIs) were placed on the projections of the calibration step wedge (xA: 0, 6, 12, 18, 24, 30 mm; xB: 10, 15, 20, 25, 30, 35, 40 mm) to determine image intensity in L and H. Given xA, xB and their corresponding image intensity in L and H, the parameters ai, bj ci, dj can be determined by minimizing absolute error fitting. This step is called parameterization. To validate the results of parameterization, the thicknesses of aluminum and acrylic step wedges estimated based on [Eq. (1) and (2)] were compared with those measured using a caliber.", "The difference between real CT images (Ireal) and pseudo CT images (Ipseudo) generated by CNN was quantified by using RMSE and PSNR:(4)RMSE=∑i=1VIreal‐Ipseudo2Vwhere V is the number of voxels within the whole image,(5)PSNR=20log10ImaxRMSE\n(6)CNR=CT#‐CT#BGSDBGwhere CT# is the mean CT number of a specified material, CT#BG and SDBG are the average and standard deviation of CT numbers of tissue equivalent background material, respectively.", "Parameterization for material decomposition According to the calibration step wedge experiment, the parameters ai, bj ci, dj in [Eq. (1) and (2)] were determined:xA=0.952+1.116L‐2.353H‐0.023L2+0.098LH‐0.104H21‐0.020L+0.042H\nxB=‐2.319‐2.882L+8.509H+0.088L2‐0.448LH+0.558H21‐0.035L+0.079H.\n\nFigures 5(a) and 5(b) demonstrate the illustration of the calibration step wedge and the corresponding 80‐kVp projection with 48 ROIs, respectively. The measured and estimated wedge thickness vs the image intensity in 80‐kVp projection (‐ln(IL/I0)) are shown in [Fig. 5(c)] for aluminum step wedge and [Fig. 5(d)] for acrylic step wedge. The differences between measurements and estimates for the aluminum step wedge with thickness of 0, 6, 12, 18, 24, 30 mm are 0.39, 0.66, 0.15, 0.19, 0.07, 0.14 mm, respectively. The differences between measurements and estimates for the acrylic step wedge with thickness of 5, 10, 15, 20, 25, 30, 35, 40 mm are 0.99, 0.88, 1.48, 0.42, 0.54, 0.76, 0.77, 0.61 mm, respectively. Figure 6 demonstrates the decomposed projections from basis material decomposition for aluminum and acrylic step wedges and their corresponding illustrations.\n(a) Illustration of the calibration step wedge and (b) the corresponding 80‐kVp projection. The red rectangles in (b) are the ROIs used to depict the image intensity in projection versus the wedge thickness of (c) aluminum step wedge and (d) acrylic step wedge.\nDecomposed projection from basis material decomposition (left) and the corresponding illustration (right) for (a) aluminum step wedge and (b) acrylic step wedge.\nAccording to the calibration step wedge experiment, the parameters ai, bj ci, dj in [Eq. (1) and (2)] were determined:xA=0.952+1.116L‐2.353H‐0.023L2+0.098LH‐0.104H21‐0.020L+0.042H\nxB=‐2.319‐2.882L+8.509H+0.088L2‐0.448LH+0.558H21‐0.035L+0.079H.\n\nFigures 5(a) and 5(b) demonstrate the illustration of the calibration step wedge and the corresponding 80‐kVp projection with 48 ROIs, respectively. The measured and estimated wedge thickness vs the image intensity in 80‐kVp projection (‐ln(IL/I0)) are shown in [Fig. 5(c)] for aluminum step wedge and [Fig. 5(d)] for acrylic step wedge. The differences between measurements and estimates for the aluminum step wedge with thickness of 0, 6, 12, 18, 24, 30 mm are 0.39, 0.66, 0.15, 0.19, 0.07, 0.14 mm, respectively. The differences between measurements and estimates for the acrylic step wedge with thickness of 5, 10, 15, 20, 25, 30, 35, 40 mm are 0.99, 0.88, 1.48, 0.42, 0.54, 0.76, 0.77, 0.61 mm, respectively. Figure 6 demonstrates the decomposed projections from basis material decomposition for aluminum and acrylic step wedges and their corresponding illustrations.\n(a) Illustration of the calibration step wedge and (b) the corresponding 80‐kVp projection. The red rectangles in (b) are the ROIs used to depict the image intensity in projection versus the wedge thickness of (c) aluminum step wedge and (d) acrylic step wedge.\nDecomposed projection from basis material decomposition (left) and the corresponding illustration (right) for (a) aluminum step wedge and (b) acrylic step wedge.\nReal DECT images + in‐house software Figure 7 shows CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm obtained from real DECT scans. For these acquired images, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 8(a) and 8(b)], respectively, and their iodine concentrations estimated by commercial and in‐house software are depicted in [Figs. 8(c) and 8(d)], respectively. The coefficients of variation (CVs) of CT numbers at 80 kVp due to different phantom sizes are 0.196, 0.099, 0.085, 0.081 and 0.076 for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding CVs for CT numbers at 140 kVp are 0.252, 0.100, 0.075, 0.075, 0.072. With regards to the iodine concentration estimated by the commercial software, the estimates averaged over different phantom sizes are differed from the truth by 0.202, 0.662, 0.784, 1.310, 2.430 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for iodine concentration estimated by the in‐house software are 0.276, 0.316, 0.188, 0.574, 0.588 mg/ml.\n(a) 80‐kVp and (b) 140‐kVp real CT images of the calibration phantoms with five different sizes (window width/window level = 1600/0 HU).\nCT numbers of (a) real 80‐kVp and (b) real 140‐kVp images and iodine concentration estimated based on (c) commercial software and (d) in‐house software with real DECT for iodine syringes inserted in the calibration phantoms with five different sizes.\nFigure 7 shows CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm obtained from real DECT scans. For these acquired images, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 8(a) and 8(b)], respectively, and their iodine concentrations estimated by commercial and in‐house software are depicted in [Figs. 8(c) and 8(d)], respectively. The coefficients of variation (CVs) of CT numbers at 80 kVp due to different phantom sizes are 0.196, 0.099, 0.085, 0.081 and 0.076 for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding CVs for CT numbers at 140 kVp are 0.252, 0.100, 0.075, 0.075, 0.072. With regards to the iodine concentration estimated by the commercial software, the estimates averaged over different phantom sizes are differed from the truth by 0.202, 0.662, 0.784, 1.310, 2.430 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for iodine concentration estimated by the in‐house software are 0.276, 0.316, 0.188, 0.574, 0.588 mg/ml.\n(a) 80‐kVp and (b) 140‐kVp real CT images of the calibration phantoms with five different sizes (window width/window level = 1600/0 HU).\nCT numbers of (a) real 80‐kVp and (b) real 140‐kVp images and iodine concentration estimated based on (c) commercial software and (d) in‐house software with real DECT for iodine syringes inserted in the calibration phantoms with five different sizes.\nPseudo DECT images + in‐house software Figure 9 demonstrates the RMSE and PSNR between real and pseudo CT for Ephan1 and Ephan2. The pseudo DECT images of Ephan1 generated by CNN after 107 iterations are compared with real DECT images in Fig. 10. The corresponding results for Ephan2 are shown in Fig. 11. Since the field of view (FOV) in 140‐kVp scan is 33 cm, the peripheral parts of evaluation phantoms are truncated in real 140‐kVp CT image [Figs. 10(c) and 11(c)]. For a fair comparison between 80‐ and 140‐kVp images in terms of RMSE and PSNR, the difference images were masked by a binary image which is the union of phantom boundary and the 33‐cm FOV. To evaluate the efficacy of our proposed method on quantification accuracy, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 12(a) and 12(b)], and the iodine concentrations estimated by the in‐house software are depicted in [Figs. 12(c)]. For 80‐kVp CT, the CT numbers in pseudo images generated by CNN after 107 iterations are differed from the truth by 11.57, 16.67, 13.92, 12.23, 10.69 HU for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for 140‐kVp CT are 3.09, 9.10, 7.08, 9.81, 7.59 HU. As for the iodine concentration estimated by the in‐house software with pseudo DECT generated by CNN after 107 iterations, the estimates are differed from the truth by 0.104, 0.603, 0.478, 0.698, 0.795 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. With regards to the efficacy of our proposed method on image quality enhancement, the CNR of VMCT synthesized by the in‐house software with real and pseudo DECT are demonstrated in [Figs. 12(d) and 12(e)] for iodine syringes inserted in Ephan2.\nRMSE (left vertical axis, solid blue line) and PSNR (right vertical axis, dashed green line) between real and pseudo CT at 80 kVp (left) and 140 kVp (right) for (a) Ephan1 and (b) Ephan2.\n(a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan1 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images.\n(a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan2 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images.\nCT numbers at (a) 80 kVp and (b) 140 kVp, (c) iodine concentration estimated based on in‐house software, and CNR of VMCT synthesized by in‐house software with (d) real DECT and (e) pseudo DECT for iodine syringes inserted in Ephan2.\nFigure 9 demonstrates the RMSE and PSNR between real and pseudo CT for Ephan1 and Ephan2. The pseudo DECT images of Ephan1 generated by CNN after 107 iterations are compared with real DECT images in Fig. 10. The corresponding results for Ephan2 are shown in Fig. 11. Since the field of view (FOV) in 140‐kVp scan is 33 cm, the peripheral parts of evaluation phantoms are truncated in real 140‐kVp CT image [Figs. 10(c) and 11(c)]. For a fair comparison between 80‐ and 140‐kVp images in terms of RMSE and PSNR, the difference images were masked by a binary image which is the union of phantom boundary and the 33‐cm FOV. To evaluate the efficacy of our proposed method on quantification accuracy, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 12(a) and 12(b)], and the iodine concentrations estimated by the in‐house software are depicted in [Figs. 12(c)]. For 80‐kVp CT, the CT numbers in pseudo images generated by CNN after 107 iterations are differed from the truth by 11.57, 16.67, 13.92, 12.23, 10.69 HU for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for 140‐kVp CT are 3.09, 9.10, 7.08, 9.81, 7.59 HU. As for the iodine concentration estimated by the in‐house software with pseudo DECT generated by CNN after 107 iterations, the estimates are differed from the truth by 0.104, 0.603, 0.478, 0.698, 0.795 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. With regards to the efficacy of our proposed method on image quality enhancement, the CNR of VMCT synthesized by the in‐house software with real and pseudo DECT are demonstrated in [Figs. 12(d) and 12(e)] for iodine syringes inserted in Ephan2.\nRMSE (left vertical axis, solid blue line) and PSNR (right vertical axis, dashed green line) between real and pseudo CT at 80 kVp (left) and 140 kVp (right) for (a) Ephan1 and (b) Ephan2.\n(a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan1 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images.\n(a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan2 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images.\nCT numbers at (a) 80 kVp and (b) 140 kVp, (c) iodine concentration estimated based on in‐house software, and CNR of VMCT synthesized by in‐house software with (d) real DECT and (e) pseudo DECT for iodine syringes inserted in Ephan2.", "According to the calibration step wedge experiment, the parameters ai, bj ci, dj in [Eq. (1) and (2)] were determined:xA=0.952+1.116L‐2.353H‐0.023L2+0.098LH‐0.104H21‐0.020L+0.042H\nxB=‐2.319‐2.882L+8.509H+0.088L2‐0.448LH+0.558H21‐0.035L+0.079H.\n\nFigures 5(a) and 5(b) demonstrate the illustration of the calibration step wedge and the corresponding 80‐kVp projection with 48 ROIs, respectively. The measured and estimated wedge thickness vs the image intensity in 80‐kVp projection (‐ln(IL/I0)) are shown in [Fig. 5(c)] for aluminum step wedge and [Fig. 5(d)] for acrylic step wedge. The differences between measurements and estimates for the aluminum step wedge with thickness of 0, 6, 12, 18, 24, 30 mm are 0.39, 0.66, 0.15, 0.19, 0.07, 0.14 mm, respectively. The differences between measurements and estimates for the acrylic step wedge with thickness of 5, 10, 15, 20, 25, 30, 35, 40 mm are 0.99, 0.88, 1.48, 0.42, 0.54, 0.76, 0.77, 0.61 mm, respectively. Figure 6 demonstrates the decomposed projections from basis material decomposition for aluminum and acrylic step wedges and their corresponding illustrations.\n(a) Illustration of the calibration step wedge and (b) the corresponding 80‐kVp projection. The red rectangles in (b) are the ROIs used to depict the image intensity in projection versus the wedge thickness of (c) aluminum step wedge and (d) acrylic step wedge.\nDecomposed projection from basis material decomposition (left) and the corresponding illustration (right) for (a) aluminum step wedge and (b) acrylic step wedge.", "Figure 7 shows CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm obtained from real DECT scans. For these acquired images, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 8(a) and 8(b)], respectively, and their iodine concentrations estimated by commercial and in‐house software are depicted in [Figs. 8(c) and 8(d)], respectively. The coefficients of variation (CVs) of CT numbers at 80 kVp due to different phantom sizes are 0.196, 0.099, 0.085, 0.081 and 0.076 for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding CVs for CT numbers at 140 kVp are 0.252, 0.100, 0.075, 0.075, 0.072. With regards to the iodine concentration estimated by the commercial software, the estimates averaged over different phantom sizes are differed from the truth by 0.202, 0.662, 0.784, 1.310, 2.430 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for iodine concentration estimated by the in‐house software are 0.276, 0.316, 0.188, 0.574, 0.588 mg/ml.\n(a) 80‐kVp and (b) 140‐kVp real CT images of the calibration phantoms with five different sizes (window width/window level = 1600/0 HU).\nCT numbers of (a) real 80‐kVp and (b) real 140‐kVp images and iodine concentration estimated based on (c) commercial software and (d) in‐house software with real DECT for iodine syringes inserted in the calibration phantoms with five different sizes.", "Figure 9 demonstrates the RMSE and PSNR between real and pseudo CT for Ephan1 and Ephan2. The pseudo DECT images of Ephan1 generated by CNN after 107 iterations are compared with real DECT images in Fig. 10. The corresponding results for Ephan2 are shown in Fig. 11. Since the field of view (FOV) in 140‐kVp scan is 33 cm, the peripheral parts of evaluation phantoms are truncated in real 140‐kVp CT image [Figs. 10(c) and 11(c)]. For a fair comparison between 80‐ and 140‐kVp images in terms of RMSE and PSNR, the difference images were masked by a binary image which is the union of phantom boundary and the 33‐cm FOV. To evaluate the efficacy of our proposed method on quantification accuracy, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 12(a) and 12(b)], and the iodine concentrations estimated by the in‐house software are depicted in [Figs. 12(c)]. For 80‐kVp CT, the CT numbers in pseudo images generated by CNN after 107 iterations are differed from the truth by 11.57, 16.67, 13.92, 12.23, 10.69 HU for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for 140‐kVp CT are 3.09, 9.10, 7.08, 9.81, 7.59 HU. As for the iodine concentration estimated by the in‐house software with pseudo DECT generated by CNN after 107 iterations, the estimates are differed from the truth by 0.104, 0.603, 0.478, 0.698, 0.795 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. With regards to the efficacy of our proposed method on image quality enhancement, the CNR of VMCT synthesized by the in‐house software with real and pseudo DECT are demonstrated in [Figs. 12(d) and 12(e)] for iodine syringes inserted in Ephan2.\nRMSE (left vertical axis, solid blue line) and PSNR (right vertical axis, dashed green line) between real and pseudo CT at 80 kVp (left) and 140 kVp (right) for (a) Ephan1 and (b) Ephan2.\n(a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan1 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images.\n(a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan2 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images.\nCT numbers at (a) 80 kVp and (b) 140 kVp, (c) iodine concentration estimated based on in‐house software, and CNR of VMCT synthesized by in‐house software with (d) real DECT and (e) pseudo DECT for iodine syringes inserted in Ephan2.", "Contrast material enhancement for CT has been used since the mid‐1970s. Besides providing visual enhancement between a lesion and the normal surrounding structures, contrast enhanced CT can also be used for estimating iodine concentration through DECT. Since CT contrast enhancement in the lesion has close relationship with the vascular density, the iodine volume is associated with tumor differentiation.\n21\n It has been reported that peak enhancement intensity is negatively correlated with tumor differentiation based on the density of immature microvessels.\n22\n Determining a scan timing to grab the right moment of maximal contrast differences between a lesion and the normal parenchyma is crucial in contrast enhanced CT. However, the optimal timing varies among patients because it is related to numerous interacting factors, such as cardiac output, venous access, renal function, hepatic cirrhosis, and so on.\n23\n, \n24\n, \n25\n Consequently, the reliability of DECT‐derived iodine concentration for pathologic stage classification may be affected by some of the patient‐related factors. Hence, DECT scan which quantifies iodine concentration at one time point is not used in daily practice for cancer screening and staging in our hospital. For the detection of hepatocellular carcinoma (HCC), dynamic scan which acquires 120‐kVp SECT images to see the enhancement in different phases is used instead. The combination of arterial phase hyperenhancement followed by portal venous phase washout appearance strongly suggests the diagnosis of HCC.\n26\n However, triple‐phase CT is a qualitative evaluation method and relies heavily on radiologist’s subjective visual assessment. CT perfusion imaging represents an important quantitative assessment method for tumor‐related vascularization, which can measure the hemodynamic parameters at the capillary level, with high temporal and spatial resolution, as well as good reproducibility.\n27\n But the respiratory motion and high radiation dose are major limitations that need to be overcome in order for perfusion CT to be used in clinical settings.\nIn this work, the feasibility of using deep learning method to generate pseudo DECT based on one 120‐kVp SECT scan for quantitative image analysis has been investigated through phantom study. According to Fig. 8, CT numbers for the same iodine syringe vary with phantom size, which was also observed in estimated iodine concentrations. Nevertheless, the estimation accuracy of in‐house software was comparable to that of commercial software for real DECT imaging. Due to beam hardening, a lower CT number was observed in a larger calibration phantom for the same iodine syringe.\n28\n This phenomenon could increase data diversity to improve CNN’s generalization accuracy. As shown in Fig. 9, the RMSE between real and pseudo CT was slightly lower in Ephan1 than that in Ephan2, although the rod inserts in Ephan1 simulating inhale lung, exhale lung, trabecular bone and dense bone are not included in the calibration phantoms. The intensity profiles shown in Figs. 10 and 11 and the CT numbers shown in [Figs. 12(a) and 12(b)] also verify the effectiveness of the investigated CNN model in energy mapping. Consequently, the estimation accuracy of in‐house software with CNN‐generated pseudo DECT was comparable to that with real DECT. Besides estimating iodine volume, the proposed method also creates VMCT. VMCT allows for reconstruction of images at different energies, so it could offer better image contrast than 120‐kVp SECT scans after energy optimization. Lowering energy could improve image contrast but would also increase image noise.\n29\n For VMCT synthesized by using real DECT, the best CNR was found in 60‐keV images. However, VMCT synthesized by using pseudo DECT shows the best CNR at 40 keV. Based on our results, the difference in CT number between real and pseudo CT was little, but the image noise in pseudo CT is much lower than that in real CT (see intensity profiles in Fig. 10 and 11). The difference in noise properties between real and pseudo CT propagates to the corresponding VMCT, which may explain the difference in CNR performance shown in [Figs. 12(d) and 12(e)]. Overall, the proposed method should be a practicable workflow for iodine quantification in contrast enhanced 120‐kVp SECT without using specific scanner or scanning procedure.\nSeveral limitations to this study need to be acknowledged. First, the data acquisition, processing and reconstruction approaches can influence the study results. The protocol parameters used in this study are suggested by the manufacturers and are currently employed in many centers equipped with the same scanners. Additional studies assessing the proposed workflow for different DECT scanners will be needed and valuable. Second, CT images were acquired either with the calibration phantoms or with the evaluation phantoms. When the proposed workflow is translated to clinical use, it is expected that the accuracy of CNN‐generated pseudo DECT determines the performance of the proposed method. Challenges arise because tissue heterogeneity is not modeled in this phantom study. In clinical implementation, transfer learning should be performed to retrain the CNN model by using CT images obtained from patient DECT and SECT scans. The efficacy of the proposed workflow on clinical patient data needs to be further investigated.", "This study investigated the feasibility of generating pseudo DECT from one 120‐kVp CT by using deep learning method to quantify iodine concentration and synthesize VMCT through phantom study. Based on our results, the accuracy of iodine concentration estimated by the in‐house software with CNN‐generated pseudo DECT imaging was comparable to the commercial software with real DECT imaging. Moreover, the VMCT synthesized by the proposed method could provide better image contrast than 120‐kVp SECT after energy optimization. In conclusion, the proposed method should be a practicable strategy for iodine quantification in contrast enhanced 120‐kVp SECT without using specific scanner or scanning procedure." ]
[ null, "methods", null, null, null, null, null, null, "results", null, null, null, "discussion", "conclusions" ]
[ "deep learning", "dual energy CT", "pseudo CT" ]
Introduction: Single‐energy CT (SECT) scan utilizes a single polychromatic x‐ray beam at energy ranging from 70 to 140 kVp with a standard of 120 kVp. The image contrast of CT depends on the differences in photon attenuation of various materials that constitute human body, whereas the degree of photon attenuation is related to tissue composition and photon energy. Dual‐energy CT (DECT) acquires two images at different energy levels to use the attenuation difference at different energies for deriving additional information, such as virtual monochromatic CT (VMCT) and iodine image. 1 , 2 , 3 The VMCT can be customized to a specific energy level that offers a balance between adequate image contrast and reduced image noise to optimize the contrast‐to‐noise ratio (CNR). Besides image quality enhancement, DECT also allows quantification of iodine concentration, which could improve lesion conspicuity due to difference in iodine content between lesions and normal parenchyma. The algorithms for DECT acquisition are unique for each CT manufacturer, so this capability is only available for some specific scanners. 4 , 5 Dual‐source DECT scanners contain two x‐ray tubes and detector arrays for simultaneous acquisition of projection data with the sources operated at different tube potentials. Fast kilovolt‐switching DECT scanners allow acquisition of dual‐energy data by modulating the voltage of a single x‐ray generator from low to high kilovolt peaks between alternating projections. Dual‐layered DECT scanners have equipped with a modified detector with two scintillation layers to receive separate high and low image data. All these proprietary techniques have posed a burden on CT system hardware, so DECT scanners are not widely available as SECT scanner. Moreover, DECT acquisition may increase the radiation dose to patients. Hence, DECT is not a routine procedure even for contrast‐enhanced CT scan in our hospital. Machine learning is attracting growing interest in both academia and industry recently. Furthermore, deep learning techniques have become the de facto standard for a wide variety of computer vision problems. 6 , 7 , 8 A deep learning model learns multiple levels of representations that correspond to different levels of abstraction from the input image to perform prediction. This study aimed to investigate the feasibility of generating pseudo DECT from one 120‐kVp CT by using convolutional neural network (CNN) to derive additional information for quantitative image analysis without extra CT scans through phantom study. Methods: Calibration phantoms A calibration phantom set which consists of an electron density phantom and additional annuluses was used to generate training dataset for CNN optimization (Fig. 1). The electron density phantom (Model 062; CIRS, Norfolk, VA, USA) which is 18 cm in diameter and 5 cm in height was covered by four layers of 2.5‐cm‐thick bolus (Superflab Bolus; Radiation Products Design Inc, Albertville, MN, USA) to enlarge the diameter of the calibration phantom from 18 cm (Cphan18cm) to 23 cm (Cphan23cm), 28 cm (Cphan28cm), 33 cm (Cphan33cm), and 38 cm (Cphan38cm). The electron density phantom is made of soft tissue equivalent epoxy resin and houses 4 rod inserts + 5 syringes. The rod inserts simulate four different soft tissues, including adipose (0.96 g/cc), breast (0.991 g/cc), muscle (1.062 g/cc), and liver (1.072 g/cc). The plastic syringes (volume: 10 ml; diameter: 2 cm) were filled with iodine solution at concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml. Illustration of the calibration phantoms with five different sizes. A calibration phantom set which consists of an electron density phantom and additional annuluses was used to generate training dataset for CNN optimization (Fig. 1). The electron density phantom (Model 062; CIRS, Norfolk, VA, USA) which is 18 cm in diameter and 5 cm in height was covered by four layers of 2.5‐cm‐thick bolus (Superflab Bolus; Radiation Products Design Inc, Albertville, MN, USA) to enlarge the diameter of the calibration phantom from 18 cm (Cphan18cm) to 23 cm (Cphan23cm), 28 cm (Cphan28cm), 33 cm (Cphan33cm), and 38 cm (Cphan38cm). The electron density phantom is made of soft tissue equivalent epoxy resin and houses 4 rod inserts + 5 syringes. The rod inserts simulate four different soft tissues, including adipose (0.96 g/cc), breast (0.991 g/cc), muscle (1.062 g/cc), and liver (1.072 g/cc). The plastic syringes (volume: 10 ml; diameter: 2 cm) were filled with iodine solution at concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml. Illustration of the calibration phantoms with five different sizes. Evaluation phantoms Fig. 2 demonstrates two evaluation phantoms used to generate testing dataset for CNN optimization. The first evaluation phantom (Ephan1) shown in [Fig. 2(a)] is an electron density phantom (Model 062; CIRS, Norfolk, VA, USA) with dimensions of 33*27*15 cm3. The elliptical, epoxy resin‐based phantom houses 17 rod inserts simulating lung (inhale: 0.195 g/cc; exhale: 0.51 g/cc), adipose (0.96 g/cc), breast (0.991 g/cc), plastic water (1.016 g/cc), muscle (1.062 g/cc), liver (1.072 g/cc), trabecular bone (1.161 g/cc), dense bone (1.53 g/cc). The second evaluation phantom (Ephan2) shown in [Fig. 2(b)] has the same dimensions and base material as Ephan1, but the inserts in Ephan2 are different from those in Ephan1, including 12 rod inserts simulating different tissues and five syringes filled with iodine solution. Illustration of two evaluation phantoms with different rod inserts. Fig. 2 demonstrates two evaluation phantoms used to generate testing dataset for CNN optimization. The first evaluation phantom (Ephan1) shown in [Fig. 2(a)] is an electron density phantom (Model 062; CIRS, Norfolk, VA, USA) with dimensions of 33*27*15 cm3. The elliptical, epoxy resin‐based phantom houses 17 rod inserts simulating lung (inhale: 0.195 g/cc; exhale: 0.51 g/cc), adipose (0.96 g/cc), breast (0.991 g/cc), plastic water (1.016 g/cc), muscle (1.062 g/cc), liver (1.072 g/cc), trabecular bone (1.161 g/cc), dense bone (1.53 g/cc). The second evaluation phantom (Ephan2) shown in [Fig. 2(b)] has the same dimensions and base material as Ephan1, but the inserts in Ephan2 are different from those in Ephan1, including 12 rod inserts simulating different tissues and five syringes filled with iodine solution. Illustration of two evaluation phantoms with different rod inserts. DECT and SECT scans All scans were performed on a dual‐source DECT scanner (Somatom Definition Flash, Siemens Healthcare, Forchheim, Germany). The imaging parameters of DECT and SECT scans used in this study are shown in Table 1. Attenuation‐based tube current modulation (CARE Dose 4D, Siemens Healthcare, Forchheim, Germany) was applied for all acquisitions. Each phantom was scanned at 80, 120, and 140 kVp using 0.5‐s gantry rotation time and pitch of 0.6, so 21 CT acquisitions were performed. Scan data were reconstructed at 2‐mm nominal slice width using Filtered Backprojection (FBP) with a medium smooth reconstruction kernel (B30f). For DECT scan, material‐specific images can be generated through material decomposition to quantify the presence of particular elements, compounds, or mixture. With vender’s software, material decomposition was performed for three basis materials in the image domain. 9 , 10 Imaging parameters of dual‐energy and single‐energy scans. Effective tube current‐time product = mAs/pitch. All scans were performed on a dual‐source DECT scanner (Somatom Definition Flash, Siemens Healthcare, Forchheim, Germany). The imaging parameters of DECT and SECT scans used in this study are shown in Table 1. Attenuation‐based tube current modulation (CARE Dose 4D, Siemens Healthcare, Forchheim, Germany) was applied for all acquisitions. Each phantom was scanned at 80, 120, and 140 kVp using 0.5‐s gantry rotation time and pitch of 0.6, so 21 CT acquisitions were performed. Scan data were reconstructed at 2‐mm nominal slice width using Filtered Backprojection (FBP) with a medium smooth reconstruction kernel (B30f). For DECT scan, material‐specific images can be generated through material decomposition to quantify the presence of particular elements, compounds, or mixture. With vender’s software, material decomposition was performed for three basis materials in the image domain. 9 , 10 Imaging parameters of dual‐energy and single‐energy scans. Effective tube current‐time product = mAs/pitch. Deep learning to generate pseudo DECT Energy mapping has been widely used in CT‐based attenuation correction for PET which derives μ‐map at 511 keV from CT images. Although this transformation is not linear, it needs small extent of nonlinear mapping. 11 Hence, the deep learning method proposed by Nie et al. was adapted in this work to generate pseudo DECT imaging from one 120‐kVp CT scan. 12 Figure 3 demonstrates the structure of the CNN model. The model consists of three convolutional stages with deeply supervised nets (DSN) to supervise features at each convolutional stage, enabled by layer‐wise dense connections in both backbone networks and prediction layers. 13 The mean square error (MSE) was used as the loss function to minimize the loss between the reconstructed images and the corresponding ground truth. Using MSE as the loss function favors a high peak signal‐to‐noise ratio (PSNR). The input images are prepared as 32*32‐pixel sub‐images randomly cropped from the original image. To avoid border effects, all the convolutional layers have no padding, and the network produces an output image with 18*18 matrix size. The training datasets are sub‐images extracted from the CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm with a stride of 14. The testing datasets are sub‐images extracted from the CT images of Ephan1 and Ephan2 with a stride of 20. The training and testing datasets provide roughly 49972 and 8184 sub‐images, respectively. The filter weights of each layer are initialized by using Xavier initialization, which could automatically determine the scale of initialization based on the number of input and output neurons. 14 All biases were initialized with zero. The model was trained using stochastic gradient descent with mini‐batch size of 128, learning rate of 0.01 and momentum of 0.9. The CNN model was built, trained, and tested by using Caffe (Convolutional Architecture for Fast Feature Embedding) CNN platform (version 1.0.0‐rc5 with CUDA 8.0.61) on an Ubuntu server (version 16.04.4 LTS) with two RTX 2080 (NVIDIA) graphics cards. Structure of CNN model to generate pseudo 80‐ and 140‐kVp CT from 120‐kVp CT. Energy mapping has been widely used in CT‐based attenuation correction for PET which derives μ‐map at 511 keV from CT images. Although this transformation is not linear, it needs small extent of nonlinear mapping. 11 Hence, the deep learning method proposed by Nie et al. was adapted in this work to generate pseudo DECT imaging from one 120‐kVp CT scan. 12 Figure 3 demonstrates the structure of the CNN model. The model consists of three convolutional stages with deeply supervised nets (DSN) to supervise features at each convolutional stage, enabled by layer‐wise dense connections in both backbone networks and prediction layers. 13 The mean square error (MSE) was used as the loss function to minimize the loss between the reconstructed images and the corresponding ground truth. Using MSE as the loss function favors a high peak signal‐to‐noise ratio (PSNR). The input images are prepared as 32*32‐pixel sub‐images randomly cropped from the original image. To avoid border effects, all the convolutional layers have no padding, and the network produces an output image with 18*18 matrix size. The training datasets are sub‐images extracted from the CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm with a stride of 14. The testing datasets are sub‐images extracted from the CT images of Ephan1 and Ephan2 with a stride of 20. The training and testing datasets provide roughly 49972 and 8184 sub‐images, respectively. The filter weights of each layer are initialized by using Xavier initialization, which could automatically determine the scale of initialization based on the number of input and output neurons. 14 All biases were initialized with zero. The model was trained using stochastic gradient descent with mini‐batch size of 128, learning rate of 0.01 and momentum of 0.9. The CNN model was built, trained, and tested by using Caffe (Convolutional Architecture for Fast Feature Embedding) CNN platform (version 1.0.0‐rc5 with CUDA 8.0.61) on an Ubuntu server (version 16.04.4 LTS) with two RTX 2080 (NVIDIA) graphics cards. Structure of CNN model to generate pseudo 80‐ and 140‐kVp CT from 120‐kVp CT. In‐house software to generate VMCT and iodine image In the presence of iodine, VMCT created using image‐based method may contain beam‐hardening artifacts, 15 , 16 so an in‐house software for realizing the projection‐based method proposed by Li et al. was implemented (Fig. 4). 17 The first step in the workflow was forward projection of CT images reconstructed in mm‐1 by Siddon’s ray tracing algorithm to obtain low‐energy projections (L) and high‐energy projections (H). 18 Next, two‐material decomposition was performed to estimate the equivalent thickness of basis materials. Numerous basis materials for soft and bone tissues have been suggested. 19 , 20 For this study, aluminum was selected for bone tissues, while acrylic was chosen for soft tissue. The equivalent thicknesses of aluminum (xA) and acrylic (xB) were estimated based on the following equations:(1)xA=a0+a1L+a2H+a3L2+a4LH+a5H21+b0L+b1H (2)xB=c0+c1L+c2H+c3L2+c4LH+c5H21+d0L+d1Hwhere the parameters ai, bj ci, dj (i = 0‐5; j = 0, 1) represent characteristics of the x‐ray beam energy spectrum. In the combination step, virtual monochromatic projections were synthesized using the following equation:(3)∫μEds=μAExA+μBExBwhere μA(E) and μB(E) are the linear attenuation coefficients of basis materials at energy E. The mass attenuation coefficients of basis materials at different energies were obtained from XCOM: Photon Cross Sections Database by National Institute of Standards and Technology (NIST), available at http://physics.nist.gov/xcom. Last, FBP algorithm was used for the VMCT reconstruction. With regards to the estimation of iodine concentration, the decomposed aluminum projections were reconstructed by FBP first and then multiplied by a conversion factor to create iodine images. Workflow to synthesize VMCT based on the in‐house software. The parameters ai, bj ci, dj in [Eq. (1) and (2)] have to be determined to conduct material decomposition. Hence, a calibration step wedge which contains two aluminum step wedges and one acrylic step wedge stacked in an orthogonal pattern was used. The dimensions of the 11‐step aluminum wedge (Fluke Biomedical, Everett, WA, USA) are 139.7 mm in length, 63.5 mm in width and 33 mm in height. The home‐made acrylic wedge contains eight steps, and its dimensions are 120 mm in length, 152.4 mm in width and 40 mm in height. Forty‐eight regions of interest (ROIs) were placed on the projections of the calibration step wedge (xA: 0, 6, 12, 18, 24, 30 mm; xB: 10, 15, 20, 25, 30, 35, 40 mm) to determine image intensity in L and H. Given xA, xB and their corresponding image intensity in L and H, the parameters ai, bj ci, dj can be determined by minimizing absolute error fitting. This step is called parameterization. To validate the results of parameterization, the thicknesses of aluminum and acrylic step wedges estimated based on [Eq. (1) and (2)] were compared with those measured using a caliber. In the presence of iodine, VMCT created using image‐based method may contain beam‐hardening artifacts, 15 , 16 so an in‐house software for realizing the projection‐based method proposed by Li et al. was implemented (Fig. 4). 17 The first step in the workflow was forward projection of CT images reconstructed in mm‐1 by Siddon’s ray tracing algorithm to obtain low‐energy projections (L) and high‐energy projections (H). 18 Next, two‐material decomposition was performed to estimate the equivalent thickness of basis materials. Numerous basis materials for soft and bone tissues have been suggested. 19 , 20 For this study, aluminum was selected for bone tissues, while acrylic was chosen for soft tissue. The equivalent thicknesses of aluminum (xA) and acrylic (xB) were estimated based on the following equations:(1)xA=a0+a1L+a2H+a3L2+a4LH+a5H21+b0L+b1H (2)xB=c0+c1L+c2H+c3L2+c4LH+c5H21+d0L+d1Hwhere the parameters ai, bj ci, dj (i = 0‐5; j = 0, 1) represent characteristics of the x‐ray beam energy spectrum. In the combination step, virtual monochromatic projections were synthesized using the following equation:(3)∫μEds=μAExA+μBExBwhere μA(E) and μB(E) are the linear attenuation coefficients of basis materials at energy E. The mass attenuation coefficients of basis materials at different energies were obtained from XCOM: Photon Cross Sections Database by National Institute of Standards and Technology (NIST), available at http://physics.nist.gov/xcom. Last, FBP algorithm was used for the VMCT reconstruction. With regards to the estimation of iodine concentration, the decomposed aluminum projections were reconstructed by FBP first and then multiplied by a conversion factor to create iodine images. Workflow to synthesize VMCT based on the in‐house software. The parameters ai, bj ci, dj in [Eq. (1) and (2)] have to be determined to conduct material decomposition. Hence, a calibration step wedge which contains two aluminum step wedges and one acrylic step wedge stacked in an orthogonal pattern was used. The dimensions of the 11‐step aluminum wedge (Fluke Biomedical, Everett, WA, USA) are 139.7 mm in length, 63.5 mm in width and 33 mm in height. The home‐made acrylic wedge contains eight steps, and its dimensions are 120 mm in length, 152.4 mm in width and 40 mm in height. Forty‐eight regions of interest (ROIs) were placed on the projections of the calibration step wedge (xA: 0, 6, 12, 18, 24, 30 mm; xB: 10, 15, 20, 25, 30, 35, 40 mm) to determine image intensity in L and H. Given xA, xB and their corresponding image intensity in L and H, the parameters ai, bj ci, dj can be determined by minimizing absolute error fitting. This step is called parameterization. To validate the results of parameterization, the thicknesses of aluminum and acrylic step wedges estimated based on [Eq. (1) and (2)] were compared with those measured using a caliber. Quantitative evaluation The difference between real CT images (Ireal) and pseudo CT images (Ipseudo) generated by CNN was quantified by using RMSE and PSNR:(4)RMSE=∑i=1VIreal‐Ipseudo2Vwhere V is the number of voxels within the whole image,(5)PSNR=20log10ImaxRMSE (6)CNR=CT#‐CT#BGSDBGwhere CT# is the mean CT number of a specified material, CT#BG and SDBG are the average and standard deviation of CT numbers of tissue equivalent background material, respectively. The difference between real CT images (Ireal) and pseudo CT images (Ipseudo) generated by CNN was quantified by using RMSE and PSNR:(4)RMSE=∑i=1VIreal‐Ipseudo2Vwhere V is the number of voxels within the whole image,(5)PSNR=20log10ImaxRMSE (6)CNR=CT#‐CT#BGSDBGwhere CT# is the mean CT number of a specified material, CT#BG and SDBG are the average and standard deviation of CT numbers of tissue equivalent background material, respectively. Calibration phantoms: A calibration phantom set which consists of an electron density phantom and additional annuluses was used to generate training dataset for CNN optimization (Fig. 1). The electron density phantom (Model 062; CIRS, Norfolk, VA, USA) which is 18 cm in diameter and 5 cm in height was covered by four layers of 2.5‐cm‐thick bolus (Superflab Bolus; Radiation Products Design Inc, Albertville, MN, USA) to enlarge the diameter of the calibration phantom from 18 cm (Cphan18cm) to 23 cm (Cphan23cm), 28 cm (Cphan28cm), 33 cm (Cphan33cm), and 38 cm (Cphan38cm). The electron density phantom is made of soft tissue equivalent epoxy resin and houses 4 rod inserts + 5 syringes. The rod inserts simulate four different soft tissues, including adipose (0.96 g/cc), breast (0.991 g/cc), muscle (1.062 g/cc), and liver (1.072 g/cc). The plastic syringes (volume: 10 ml; diameter: 2 cm) were filled with iodine solution at concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml. Illustration of the calibration phantoms with five different sizes. Evaluation phantoms: Fig. 2 demonstrates two evaluation phantoms used to generate testing dataset for CNN optimization. The first evaluation phantom (Ephan1) shown in [Fig. 2(a)] is an electron density phantom (Model 062; CIRS, Norfolk, VA, USA) with dimensions of 33*27*15 cm3. The elliptical, epoxy resin‐based phantom houses 17 rod inserts simulating lung (inhale: 0.195 g/cc; exhale: 0.51 g/cc), adipose (0.96 g/cc), breast (0.991 g/cc), plastic water (1.016 g/cc), muscle (1.062 g/cc), liver (1.072 g/cc), trabecular bone (1.161 g/cc), dense bone (1.53 g/cc). The second evaluation phantom (Ephan2) shown in [Fig. 2(b)] has the same dimensions and base material as Ephan1, but the inserts in Ephan2 are different from those in Ephan1, including 12 rod inserts simulating different tissues and five syringes filled with iodine solution. Illustration of two evaluation phantoms with different rod inserts. DECT and SECT scans: All scans were performed on a dual‐source DECT scanner (Somatom Definition Flash, Siemens Healthcare, Forchheim, Germany). The imaging parameters of DECT and SECT scans used in this study are shown in Table 1. Attenuation‐based tube current modulation (CARE Dose 4D, Siemens Healthcare, Forchheim, Germany) was applied for all acquisitions. Each phantom was scanned at 80, 120, and 140 kVp using 0.5‐s gantry rotation time and pitch of 0.6, so 21 CT acquisitions were performed. Scan data were reconstructed at 2‐mm nominal slice width using Filtered Backprojection (FBP) with a medium smooth reconstruction kernel (B30f). For DECT scan, material‐specific images can be generated through material decomposition to quantify the presence of particular elements, compounds, or mixture. With vender’s software, material decomposition was performed for three basis materials in the image domain. 9 , 10 Imaging parameters of dual‐energy and single‐energy scans. Effective tube current‐time product = mAs/pitch. Deep learning to generate pseudo DECT: Energy mapping has been widely used in CT‐based attenuation correction for PET which derives μ‐map at 511 keV from CT images. Although this transformation is not linear, it needs small extent of nonlinear mapping. 11 Hence, the deep learning method proposed by Nie et al. was adapted in this work to generate pseudo DECT imaging from one 120‐kVp CT scan. 12 Figure 3 demonstrates the structure of the CNN model. The model consists of three convolutional stages with deeply supervised nets (DSN) to supervise features at each convolutional stage, enabled by layer‐wise dense connections in both backbone networks and prediction layers. 13 The mean square error (MSE) was used as the loss function to minimize the loss between the reconstructed images and the corresponding ground truth. Using MSE as the loss function favors a high peak signal‐to‐noise ratio (PSNR). The input images are prepared as 32*32‐pixel sub‐images randomly cropped from the original image. To avoid border effects, all the convolutional layers have no padding, and the network produces an output image with 18*18 matrix size. The training datasets are sub‐images extracted from the CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm with a stride of 14. The testing datasets are sub‐images extracted from the CT images of Ephan1 and Ephan2 with a stride of 20. The training and testing datasets provide roughly 49972 and 8184 sub‐images, respectively. The filter weights of each layer are initialized by using Xavier initialization, which could automatically determine the scale of initialization based on the number of input and output neurons. 14 All biases were initialized with zero. The model was trained using stochastic gradient descent with mini‐batch size of 128, learning rate of 0.01 and momentum of 0.9. The CNN model was built, trained, and tested by using Caffe (Convolutional Architecture for Fast Feature Embedding) CNN platform (version 1.0.0‐rc5 with CUDA 8.0.61) on an Ubuntu server (version 16.04.4 LTS) with two RTX 2080 (NVIDIA) graphics cards. Structure of CNN model to generate pseudo 80‐ and 140‐kVp CT from 120‐kVp CT. In‐house software to generate VMCT and iodine image: In the presence of iodine, VMCT created using image‐based method may contain beam‐hardening artifacts, 15 , 16 so an in‐house software for realizing the projection‐based method proposed by Li et al. was implemented (Fig. 4). 17 The first step in the workflow was forward projection of CT images reconstructed in mm‐1 by Siddon’s ray tracing algorithm to obtain low‐energy projections (L) and high‐energy projections (H). 18 Next, two‐material decomposition was performed to estimate the equivalent thickness of basis materials. Numerous basis materials for soft and bone tissues have been suggested. 19 , 20 For this study, aluminum was selected for bone tissues, while acrylic was chosen for soft tissue. The equivalent thicknesses of aluminum (xA) and acrylic (xB) were estimated based on the following equations:(1)xA=a0+a1L+a2H+a3L2+a4LH+a5H21+b0L+b1H (2)xB=c0+c1L+c2H+c3L2+c4LH+c5H21+d0L+d1Hwhere the parameters ai, bj ci, dj (i = 0‐5; j = 0, 1) represent characteristics of the x‐ray beam energy spectrum. In the combination step, virtual monochromatic projections were synthesized using the following equation:(3)∫μEds=μAExA+μBExBwhere μA(E) and μB(E) are the linear attenuation coefficients of basis materials at energy E. The mass attenuation coefficients of basis materials at different energies were obtained from XCOM: Photon Cross Sections Database by National Institute of Standards and Technology (NIST), available at http://physics.nist.gov/xcom. Last, FBP algorithm was used for the VMCT reconstruction. With regards to the estimation of iodine concentration, the decomposed aluminum projections were reconstructed by FBP first and then multiplied by a conversion factor to create iodine images. Workflow to synthesize VMCT based on the in‐house software. The parameters ai, bj ci, dj in [Eq. (1) and (2)] have to be determined to conduct material decomposition. Hence, a calibration step wedge which contains two aluminum step wedges and one acrylic step wedge stacked in an orthogonal pattern was used. The dimensions of the 11‐step aluminum wedge (Fluke Biomedical, Everett, WA, USA) are 139.7 mm in length, 63.5 mm in width and 33 mm in height. The home‐made acrylic wedge contains eight steps, and its dimensions are 120 mm in length, 152.4 mm in width and 40 mm in height. Forty‐eight regions of interest (ROIs) were placed on the projections of the calibration step wedge (xA: 0, 6, 12, 18, 24, 30 mm; xB: 10, 15, 20, 25, 30, 35, 40 mm) to determine image intensity in L and H. Given xA, xB and their corresponding image intensity in L and H, the parameters ai, bj ci, dj can be determined by minimizing absolute error fitting. This step is called parameterization. To validate the results of parameterization, the thicknesses of aluminum and acrylic step wedges estimated based on [Eq. (1) and (2)] were compared with those measured using a caliber. Quantitative evaluation: The difference between real CT images (Ireal) and pseudo CT images (Ipseudo) generated by CNN was quantified by using RMSE and PSNR:(4)RMSE=∑i=1VIreal‐Ipseudo2Vwhere V is the number of voxels within the whole image,(5)PSNR=20log10ImaxRMSE (6)CNR=CT#‐CT#BGSDBGwhere CT# is the mean CT number of a specified material, CT#BG and SDBG are the average and standard deviation of CT numbers of tissue equivalent background material, respectively. Results: Parameterization for material decomposition According to the calibration step wedge experiment, the parameters ai, bj ci, dj in [Eq. (1) and (2)] were determined:xA=0.952+1.116L‐2.353H‐0.023L2+0.098LH‐0.104H21‐0.020L+0.042H xB=‐2.319‐2.882L+8.509H+0.088L2‐0.448LH+0.558H21‐0.035L+0.079H. Figures 5(a) and 5(b) demonstrate the illustration of the calibration step wedge and the corresponding 80‐kVp projection with 48 ROIs, respectively. The measured and estimated wedge thickness vs the image intensity in 80‐kVp projection (‐ln(IL/I0)) are shown in [Fig. 5(c)] for aluminum step wedge and [Fig. 5(d)] for acrylic step wedge. The differences between measurements and estimates for the aluminum step wedge with thickness of 0, 6, 12, 18, 24, 30 mm are 0.39, 0.66, 0.15, 0.19, 0.07, 0.14 mm, respectively. The differences between measurements and estimates for the acrylic step wedge with thickness of 5, 10, 15, 20, 25, 30, 35, 40 mm are 0.99, 0.88, 1.48, 0.42, 0.54, 0.76, 0.77, 0.61 mm, respectively. Figure 6 demonstrates the decomposed projections from basis material decomposition for aluminum and acrylic step wedges and their corresponding illustrations. (a) Illustration of the calibration step wedge and (b) the corresponding 80‐kVp projection. The red rectangles in (b) are the ROIs used to depict the image intensity in projection versus the wedge thickness of (c) aluminum step wedge and (d) acrylic step wedge. Decomposed projection from basis material decomposition (left) and the corresponding illustration (right) for (a) aluminum step wedge and (b) acrylic step wedge. According to the calibration step wedge experiment, the parameters ai, bj ci, dj in [Eq. (1) and (2)] were determined:xA=0.952+1.116L‐2.353H‐0.023L2+0.098LH‐0.104H21‐0.020L+0.042H xB=‐2.319‐2.882L+8.509H+0.088L2‐0.448LH+0.558H21‐0.035L+0.079H. Figures 5(a) and 5(b) demonstrate the illustration of the calibration step wedge and the corresponding 80‐kVp projection with 48 ROIs, respectively. The measured and estimated wedge thickness vs the image intensity in 80‐kVp projection (‐ln(IL/I0)) are shown in [Fig. 5(c)] for aluminum step wedge and [Fig. 5(d)] for acrylic step wedge. The differences between measurements and estimates for the aluminum step wedge with thickness of 0, 6, 12, 18, 24, 30 mm are 0.39, 0.66, 0.15, 0.19, 0.07, 0.14 mm, respectively. The differences between measurements and estimates for the acrylic step wedge with thickness of 5, 10, 15, 20, 25, 30, 35, 40 mm are 0.99, 0.88, 1.48, 0.42, 0.54, 0.76, 0.77, 0.61 mm, respectively. Figure 6 demonstrates the decomposed projections from basis material decomposition for aluminum and acrylic step wedges and their corresponding illustrations. (a) Illustration of the calibration step wedge and (b) the corresponding 80‐kVp projection. The red rectangles in (b) are the ROIs used to depict the image intensity in projection versus the wedge thickness of (c) aluminum step wedge and (d) acrylic step wedge. Decomposed projection from basis material decomposition (left) and the corresponding illustration (right) for (a) aluminum step wedge and (b) acrylic step wedge. Real DECT images + in‐house software Figure 7 shows CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm obtained from real DECT scans. For these acquired images, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 8(a) and 8(b)], respectively, and their iodine concentrations estimated by commercial and in‐house software are depicted in [Figs. 8(c) and 8(d)], respectively. The coefficients of variation (CVs) of CT numbers at 80 kVp due to different phantom sizes are 0.196, 0.099, 0.085, 0.081 and 0.076 for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding CVs for CT numbers at 140 kVp are 0.252, 0.100, 0.075, 0.075, 0.072. With regards to the iodine concentration estimated by the commercial software, the estimates averaged over different phantom sizes are differed from the truth by 0.202, 0.662, 0.784, 1.310, 2.430 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for iodine concentration estimated by the in‐house software are 0.276, 0.316, 0.188, 0.574, 0.588 mg/ml. (a) 80‐kVp and (b) 140‐kVp real CT images of the calibration phantoms with five different sizes (window width/window level = 1600/0 HU). CT numbers of (a) real 80‐kVp and (b) real 140‐kVp images and iodine concentration estimated based on (c) commercial software and (d) in‐house software with real DECT for iodine syringes inserted in the calibration phantoms with five different sizes. Figure 7 shows CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm obtained from real DECT scans. For these acquired images, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 8(a) and 8(b)], respectively, and their iodine concentrations estimated by commercial and in‐house software are depicted in [Figs. 8(c) and 8(d)], respectively. The coefficients of variation (CVs) of CT numbers at 80 kVp due to different phantom sizes are 0.196, 0.099, 0.085, 0.081 and 0.076 for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding CVs for CT numbers at 140 kVp are 0.252, 0.100, 0.075, 0.075, 0.072. With regards to the iodine concentration estimated by the commercial software, the estimates averaged over different phantom sizes are differed from the truth by 0.202, 0.662, 0.784, 1.310, 2.430 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for iodine concentration estimated by the in‐house software are 0.276, 0.316, 0.188, 0.574, 0.588 mg/ml. (a) 80‐kVp and (b) 140‐kVp real CT images of the calibration phantoms with five different sizes (window width/window level = 1600/0 HU). CT numbers of (a) real 80‐kVp and (b) real 140‐kVp images and iodine concentration estimated based on (c) commercial software and (d) in‐house software with real DECT for iodine syringes inserted in the calibration phantoms with five different sizes. Pseudo DECT images + in‐house software Figure 9 demonstrates the RMSE and PSNR between real and pseudo CT for Ephan1 and Ephan2. The pseudo DECT images of Ephan1 generated by CNN after 107 iterations are compared with real DECT images in Fig. 10. The corresponding results for Ephan2 are shown in Fig. 11. Since the field of view (FOV) in 140‐kVp scan is 33 cm, the peripheral parts of evaluation phantoms are truncated in real 140‐kVp CT image [Figs. 10(c) and 11(c)]. For a fair comparison between 80‐ and 140‐kVp images in terms of RMSE and PSNR, the difference images were masked by a binary image which is the union of phantom boundary and the 33‐cm FOV. To evaluate the efficacy of our proposed method on quantification accuracy, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 12(a) and 12(b)], and the iodine concentrations estimated by the in‐house software are depicted in [Figs. 12(c)]. For 80‐kVp CT, the CT numbers in pseudo images generated by CNN after 107 iterations are differed from the truth by 11.57, 16.67, 13.92, 12.23, 10.69 HU for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for 140‐kVp CT are 3.09, 9.10, 7.08, 9.81, 7.59 HU. As for the iodine concentration estimated by the in‐house software with pseudo DECT generated by CNN after 107 iterations, the estimates are differed from the truth by 0.104, 0.603, 0.478, 0.698, 0.795 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. With regards to the efficacy of our proposed method on image quality enhancement, the CNR of VMCT synthesized by the in‐house software with real and pseudo DECT are demonstrated in [Figs. 12(d) and 12(e)] for iodine syringes inserted in Ephan2. RMSE (left vertical axis, solid blue line) and PSNR (right vertical axis, dashed green line) between real and pseudo CT at 80 kVp (left) and 140 kVp (right) for (a) Ephan1 and (b) Ephan2. (a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan1 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images. (a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan2 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images. CT numbers at (a) 80 kVp and (b) 140 kVp, (c) iodine concentration estimated based on in‐house software, and CNR of VMCT synthesized by in‐house software with (d) real DECT and (e) pseudo DECT for iodine syringes inserted in Ephan2. Figure 9 demonstrates the RMSE and PSNR between real and pseudo CT for Ephan1 and Ephan2. The pseudo DECT images of Ephan1 generated by CNN after 107 iterations are compared with real DECT images in Fig. 10. The corresponding results for Ephan2 are shown in Fig. 11. Since the field of view (FOV) in 140‐kVp scan is 33 cm, the peripheral parts of evaluation phantoms are truncated in real 140‐kVp CT image [Figs. 10(c) and 11(c)]. For a fair comparison between 80‐ and 140‐kVp images in terms of RMSE and PSNR, the difference images were masked by a binary image which is the union of phantom boundary and the 33‐cm FOV. To evaluate the efficacy of our proposed method on quantification accuracy, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 12(a) and 12(b)], and the iodine concentrations estimated by the in‐house software are depicted in [Figs. 12(c)]. For 80‐kVp CT, the CT numbers in pseudo images generated by CNN after 107 iterations are differed from the truth by 11.57, 16.67, 13.92, 12.23, 10.69 HU for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for 140‐kVp CT are 3.09, 9.10, 7.08, 9.81, 7.59 HU. As for the iodine concentration estimated by the in‐house software with pseudo DECT generated by CNN after 107 iterations, the estimates are differed from the truth by 0.104, 0.603, 0.478, 0.698, 0.795 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. With regards to the efficacy of our proposed method on image quality enhancement, the CNR of VMCT synthesized by the in‐house software with real and pseudo DECT are demonstrated in [Figs. 12(d) and 12(e)] for iodine syringes inserted in Ephan2. RMSE (left vertical axis, solid blue line) and PSNR (right vertical axis, dashed green line) between real and pseudo CT at 80 kVp (left) and 140 kVp (right) for (a) Ephan1 and (b) Ephan2. (a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan1 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images. (a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan2 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images. CT numbers at (a) 80 kVp and (b) 140 kVp, (c) iodine concentration estimated based on in‐house software, and CNR of VMCT synthesized by in‐house software with (d) real DECT and (e) pseudo DECT for iodine syringes inserted in Ephan2. Parameterization for material decomposition: According to the calibration step wedge experiment, the parameters ai, bj ci, dj in [Eq. (1) and (2)] were determined:xA=0.952+1.116L‐2.353H‐0.023L2+0.098LH‐0.104H21‐0.020L+0.042H xB=‐2.319‐2.882L+8.509H+0.088L2‐0.448LH+0.558H21‐0.035L+0.079H. Figures 5(a) and 5(b) demonstrate the illustration of the calibration step wedge and the corresponding 80‐kVp projection with 48 ROIs, respectively. The measured and estimated wedge thickness vs the image intensity in 80‐kVp projection (‐ln(IL/I0)) are shown in [Fig. 5(c)] for aluminum step wedge and [Fig. 5(d)] for acrylic step wedge. The differences between measurements and estimates for the aluminum step wedge with thickness of 0, 6, 12, 18, 24, 30 mm are 0.39, 0.66, 0.15, 0.19, 0.07, 0.14 mm, respectively. The differences between measurements and estimates for the acrylic step wedge with thickness of 5, 10, 15, 20, 25, 30, 35, 40 mm are 0.99, 0.88, 1.48, 0.42, 0.54, 0.76, 0.77, 0.61 mm, respectively. Figure 6 demonstrates the decomposed projections from basis material decomposition for aluminum and acrylic step wedges and their corresponding illustrations. (a) Illustration of the calibration step wedge and (b) the corresponding 80‐kVp projection. The red rectangles in (b) are the ROIs used to depict the image intensity in projection versus the wedge thickness of (c) aluminum step wedge and (d) acrylic step wedge. Decomposed projection from basis material decomposition (left) and the corresponding illustration (right) for (a) aluminum step wedge and (b) acrylic step wedge. Real DECT images + in‐house software: Figure 7 shows CT images of Cphan18cm, Cphan23cm, Cphan28cm, Cphan33cm, Cphan38cm obtained from real DECT scans. For these acquired images, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 8(a) and 8(b)], respectively, and their iodine concentrations estimated by commercial and in‐house software are depicted in [Figs. 8(c) and 8(d)], respectively. The coefficients of variation (CVs) of CT numbers at 80 kVp due to different phantom sizes are 0.196, 0.099, 0.085, 0.081 and 0.076 for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding CVs for CT numbers at 140 kVp are 0.252, 0.100, 0.075, 0.075, 0.072. With regards to the iodine concentration estimated by the commercial software, the estimates averaged over different phantom sizes are differed from the truth by 0.202, 0.662, 0.784, 1.310, 2.430 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for iodine concentration estimated by the in‐house software are 0.276, 0.316, 0.188, 0.574, 0.588 mg/ml. (a) 80‐kVp and (b) 140‐kVp real CT images of the calibration phantoms with five different sizes (window width/window level = 1600/0 HU). CT numbers of (a) real 80‐kVp and (b) real 140‐kVp images and iodine concentration estimated based on (c) commercial software and (d) in‐house software with real DECT for iodine syringes inserted in the calibration phantoms with five different sizes. Pseudo DECT images + in‐house software: Figure 9 demonstrates the RMSE and PSNR between real and pseudo CT for Ephan1 and Ephan2. The pseudo DECT images of Ephan1 generated by CNN after 107 iterations are compared with real DECT images in Fig. 10. The corresponding results for Ephan2 are shown in Fig. 11. Since the field of view (FOV) in 140‐kVp scan is 33 cm, the peripheral parts of evaluation phantoms are truncated in real 140‐kVp CT image [Figs. 10(c) and 11(c)]. For a fair comparison between 80‐ and 140‐kVp images in terms of RMSE and PSNR, the difference images were masked by a binary image which is the union of phantom boundary and the 33‐cm FOV. To evaluate the efficacy of our proposed method on quantification accuracy, the CT numbers of iodine syringes at 80 and 140 kVp are depicted in [Figs. 12(a) and 12(b)], and the iodine concentrations estimated by the in‐house software are depicted in [Figs. 12(c)]. For 80‐kVp CT, the CT numbers in pseudo images generated by CNN after 107 iterations are differed from the truth by 11.57, 16.67, 13.92, 12.23, 10.69 HU for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for 140‐kVp CT are 3.09, 9.10, 7.08, 9.81, 7.59 HU. As for the iodine concentration estimated by the in‐house software with pseudo DECT generated by CNN after 107 iterations, the estimates are differed from the truth by 0.104, 0.603, 0.478, 0.698, 0.795 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. With regards to the efficacy of our proposed method on image quality enhancement, the CNR of VMCT synthesized by the in‐house software with real and pseudo DECT are demonstrated in [Figs. 12(d) and 12(e)] for iodine syringes inserted in Ephan2. RMSE (left vertical axis, solid blue line) and PSNR (right vertical axis, dashed green line) between real and pseudo CT at 80 kVp (left) and 140 kVp (right) for (a) Ephan1 and (b) Ephan2. (a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan1 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images. (a) Real 80‐kVp CT image, (b) pseudo 80‐kVp CT image, (c) real 140‐kVp CT image, (d) pseudo 140‐kVp CT image for Ephan2 (window width/window level = 1600/0 HU). Intensity profiles of SECT, real and pseudo DECT through the dashed line in (a) are compared in (e) for 80‐kVp images and (f) for 140‐kVp images. CT numbers at (a) 80 kVp and (b) 140 kVp, (c) iodine concentration estimated based on in‐house software, and CNR of VMCT synthesized by in‐house software with (d) real DECT and (e) pseudo DECT for iodine syringes inserted in Ephan2. Discussion: Contrast material enhancement for CT has been used since the mid‐1970s. Besides providing visual enhancement between a lesion and the normal surrounding structures, contrast enhanced CT can also be used for estimating iodine concentration through DECT. Since CT contrast enhancement in the lesion has close relationship with the vascular density, the iodine volume is associated with tumor differentiation. 21 It has been reported that peak enhancement intensity is negatively correlated with tumor differentiation based on the density of immature microvessels. 22 Determining a scan timing to grab the right moment of maximal contrast differences between a lesion and the normal parenchyma is crucial in contrast enhanced CT. However, the optimal timing varies among patients because it is related to numerous interacting factors, such as cardiac output, venous access, renal function, hepatic cirrhosis, and so on. 23 , 24 , 25 Consequently, the reliability of DECT‐derived iodine concentration for pathologic stage classification may be affected by some of the patient‐related factors. Hence, DECT scan which quantifies iodine concentration at one time point is not used in daily practice for cancer screening and staging in our hospital. For the detection of hepatocellular carcinoma (HCC), dynamic scan which acquires 120‐kVp SECT images to see the enhancement in different phases is used instead. The combination of arterial phase hyperenhancement followed by portal venous phase washout appearance strongly suggests the diagnosis of HCC. 26 However, triple‐phase CT is a qualitative evaluation method and relies heavily on radiologist’s subjective visual assessment. CT perfusion imaging represents an important quantitative assessment method for tumor‐related vascularization, which can measure the hemodynamic parameters at the capillary level, with high temporal and spatial resolution, as well as good reproducibility. 27 But the respiratory motion and high radiation dose are major limitations that need to be overcome in order for perfusion CT to be used in clinical settings. In this work, the feasibility of using deep learning method to generate pseudo DECT based on one 120‐kVp SECT scan for quantitative image analysis has been investigated through phantom study. According to Fig. 8, CT numbers for the same iodine syringe vary with phantom size, which was also observed in estimated iodine concentrations. Nevertheless, the estimation accuracy of in‐house software was comparable to that of commercial software for real DECT imaging. Due to beam hardening, a lower CT number was observed in a larger calibration phantom for the same iodine syringe. 28 This phenomenon could increase data diversity to improve CNN’s generalization accuracy. As shown in Fig. 9, the RMSE between real and pseudo CT was slightly lower in Ephan1 than that in Ephan2, although the rod inserts in Ephan1 simulating inhale lung, exhale lung, trabecular bone and dense bone are not included in the calibration phantoms. The intensity profiles shown in Figs. 10 and 11 and the CT numbers shown in [Figs. 12(a) and 12(b)] also verify the effectiveness of the investigated CNN model in energy mapping. Consequently, the estimation accuracy of in‐house software with CNN‐generated pseudo DECT was comparable to that with real DECT. Besides estimating iodine volume, the proposed method also creates VMCT. VMCT allows for reconstruction of images at different energies, so it could offer better image contrast than 120‐kVp SECT scans after energy optimization. Lowering energy could improve image contrast but would also increase image noise. 29 For VMCT synthesized by using real DECT, the best CNR was found in 60‐keV images. However, VMCT synthesized by using pseudo DECT shows the best CNR at 40 keV. Based on our results, the difference in CT number between real and pseudo CT was little, but the image noise in pseudo CT is much lower than that in real CT (see intensity profiles in Fig. 10 and 11). The difference in noise properties between real and pseudo CT propagates to the corresponding VMCT, which may explain the difference in CNR performance shown in [Figs. 12(d) and 12(e)]. Overall, the proposed method should be a practicable workflow for iodine quantification in contrast enhanced 120‐kVp SECT without using specific scanner or scanning procedure. Several limitations to this study need to be acknowledged. First, the data acquisition, processing and reconstruction approaches can influence the study results. The protocol parameters used in this study are suggested by the manufacturers and are currently employed in many centers equipped with the same scanners. Additional studies assessing the proposed workflow for different DECT scanners will be needed and valuable. Second, CT images were acquired either with the calibration phantoms or with the evaluation phantoms. When the proposed workflow is translated to clinical use, it is expected that the accuracy of CNN‐generated pseudo DECT determines the performance of the proposed method. Challenges arise because tissue heterogeneity is not modeled in this phantom study. In clinical implementation, transfer learning should be performed to retrain the CNN model by using CT images obtained from patient DECT and SECT scans. The efficacy of the proposed workflow on clinical patient data needs to be further investigated. Conclusion: This study investigated the feasibility of generating pseudo DECT from one 120‐kVp CT by using deep learning method to quantify iodine concentration and synthesize VMCT through phantom study. Based on our results, the accuracy of iodine concentration estimated by the in‐house software with CNN‐generated pseudo DECT imaging was comparable to the commercial software with real DECT imaging. Moreover, the VMCT synthesized by the proposed method could provide better image contrast than 120‐kVp SECT after energy optimization. In conclusion, the proposed method should be a practicable strategy for iodine quantification in contrast enhanced 120‐kVp SECT without using specific scanner or scanning procedure.
Background: This study aimed to investigate the feasibility of generating pseudo dual-energy CT (DECT) from one 120-kVp CT by using convolutional neural network (CNN) to derive additional information for quantitative image analysis through phantom study. Methods: Dual-energy scans (80/140 kVp) and single-energy scans (120 kVp) were performed for five calibration phantoms and two evaluation phantoms on a dual-source DECT scanner. The calibration phantoms were used to generate training dataset for CNN optimization, while the evaluation phantoms were used to generate testing dataset. A CNN model which takes 120-kVp images as input and creates 80/140-kVp images as output was built, trained, and tested by using Caffe CNN platform. An in-house software to quantify contrast enhancement and synthesize virtual monochromatic CT (VMCT) for CNN-generated pseudo DECT was implemented and evaluated. Results: The CT numbers in 80-kVp pseudo images generated by CNN are differed from the truth by 11.57, 16.67, 13.92, 12.23, 10.69 HU for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for 140-kVp CT are 3.09, 9.10, 7.08, 9.81, 7.59 HU. The estimates of iodine concentration calculated based on the proposed method are differed from the truth by 0.104, 0.603, 0.478, 0.698, 0.795 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. With regards to image quality enhancement, VMCT synthesized by using pseudo DECT shows the best contrast-to-noise ratio at 40 keV. Conclusions: In conclusion, the proposed method should be a practicable strategy for iodine quantification in contrast enhanced 120-kVp CT without using specific scanner or scanning procedure.
Introduction: Single‐energy CT (SECT) scan utilizes a single polychromatic x‐ray beam at energy ranging from 70 to 140 kVp with a standard of 120 kVp. The image contrast of CT depends on the differences in photon attenuation of various materials that constitute human body, whereas the degree of photon attenuation is related to tissue composition and photon energy. Dual‐energy CT (DECT) acquires two images at different energy levels to use the attenuation difference at different energies for deriving additional information, such as virtual monochromatic CT (VMCT) and iodine image. 1 , 2 , 3 The VMCT can be customized to a specific energy level that offers a balance between adequate image contrast and reduced image noise to optimize the contrast‐to‐noise ratio (CNR). Besides image quality enhancement, DECT also allows quantification of iodine concentration, which could improve lesion conspicuity due to difference in iodine content between lesions and normal parenchyma. The algorithms for DECT acquisition are unique for each CT manufacturer, so this capability is only available for some specific scanners. 4 , 5 Dual‐source DECT scanners contain two x‐ray tubes and detector arrays for simultaneous acquisition of projection data with the sources operated at different tube potentials. Fast kilovolt‐switching DECT scanners allow acquisition of dual‐energy data by modulating the voltage of a single x‐ray generator from low to high kilovolt peaks between alternating projections. Dual‐layered DECT scanners have equipped with a modified detector with two scintillation layers to receive separate high and low image data. All these proprietary techniques have posed a burden on CT system hardware, so DECT scanners are not widely available as SECT scanner. Moreover, DECT acquisition may increase the radiation dose to patients. Hence, DECT is not a routine procedure even for contrast‐enhanced CT scan in our hospital. Machine learning is attracting growing interest in both academia and industry recently. Furthermore, deep learning techniques have become the de facto standard for a wide variety of computer vision problems. 6 , 7 , 8 A deep learning model learns multiple levels of representations that correspond to different levels of abstraction from the input image to perform prediction. This study aimed to investigate the feasibility of generating pseudo DECT from one 120‐kVp CT by using convolutional neural network (CNN) to derive additional information for quantitative image analysis without extra CT scans through phantom study. Conclusion: This study investigated the feasibility of generating pseudo DECT from one 120‐kVp CT by using deep learning method to quantify iodine concentration and synthesize VMCT through phantom study. Based on our results, the accuracy of iodine concentration estimated by the in‐house software with CNN‐generated pseudo DECT imaging was comparable to the commercial software with real DECT imaging. Moreover, the VMCT synthesized by the proposed method could provide better image contrast than 120‐kVp SECT after energy optimization. In conclusion, the proposed method should be a practicable strategy for iodine quantification in contrast enhanced 120‐kVp SECT without using specific scanner or scanning procedure.
Background: This study aimed to investigate the feasibility of generating pseudo dual-energy CT (DECT) from one 120-kVp CT by using convolutional neural network (CNN) to derive additional information for quantitative image analysis through phantom study. Methods: Dual-energy scans (80/140 kVp) and single-energy scans (120 kVp) were performed for five calibration phantoms and two evaluation phantoms on a dual-source DECT scanner. The calibration phantoms were used to generate training dataset for CNN optimization, while the evaluation phantoms were used to generate testing dataset. A CNN model which takes 120-kVp images as input and creates 80/140-kVp images as output was built, trained, and tested by using Caffe CNN platform. An in-house software to quantify contrast enhancement and synthesize virtual monochromatic CT (VMCT) for CNN-generated pseudo DECT was implemented and evaluated. Results: The CT numbers in 80-kVp pseudo images generated by CNN are differed from the truth by 11.57, 16.67, 13.92, 12.23, 10.69 HU for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. The corresponding results for 140-kVp CT are 3.09, 9.10, 7.08, 9.81, 7.59 HU. The estimates of iodine concentration calculated based on the proposed method are differed from the truth by 0.104, 0.603, 0.478, 0.698, 0.795 mg/ml for syringes filled with iodine concentration of 2.19, 4.38, 8.75, 17.5, 35 mg/ml, respectively. With regards to image quality enhancement, VMCT synthesized by using pseudo DECT shows the best contrast-to-noise ratio at 40 keV. Conclusions: In conclusion, the proposed method should be a practicable strategy for iodine quantification in contrast enhanced 120-kVp CT without using specific scanner or scanning procedure.
10,644
360
[ 438, 251, 220, 188, 402, 574, 73, 317, 330, 646 ]
14
[ "ct", "kvp", "images", "iodine", "image", "dect", "real", "step", "pseudo", "80" ]
[ "ct intensity profiles", "single energy ct", "enhanced ct scan", "monochromatic ct vmct", "dect imaging vmct" ]
[CONTENT] deep learning | dual energy CT | pseudo CT [SUMMARY]
[CONTENT] deep learning | dual energy CT | pseudo CT [SUMMARY]
[CONTENT] deep learning | dual energy CT | pseudo CT [SUMMARY]
[CONTENT] deep learning | dual energy CT | pseudo CT [SUMMARY]
[CONTENT] deep learning | dual energy CT | pseudo CT [SUMMARY]
[CONTENT] deep learning | dual energy CT | pseudo CT [SUMMARY]
[CONTENT] Feasibility Studies | Humans | Iodine | Phantoms, Imaging | Tomography, X-Ray Computed [SUMMARY]
[CONTENT] Feasibility Studies | Humans | Iodine | Phantoms, Imaging | Tomography, X-Ray Computed [SUMMARY]
[CONTENT] Feasibility Studies | Humans | Iodine | Phantoms, Imaging | Tomography, X-Ray Computed [SUMMARY]
[CONTENT] Feasibility Studies | Humans | Iodine | Phantoms, Imaging | Tomography, X-Ray Computed [SUMMARY]
[CONTENT] Feasibility Studies | Humans | Iodine | Phantoms, Imaging | Tomography, X-Ray Computed [SUMMARY]
[CONTENT] Feasibility Studies | Humans | Iodine | Phantoms, Imaging | Tomography, X-Ray Computed [SUMMARY]
[CONTENT] ct intensity profiles | single energy ct | enhanced ct scan | monochromatic ct vmct | dect imaging vmct [SUMMARY]
[CONTENT] ct intensity profiles | single energy ct | enhanced ct scan | monochromatic ct vmct | dect imaging vmct [SUMMARY]
[CONTENT] ct intensity profiles | single energy ct | enhanced ct scan | monochromatic ct vmct | dect imaging vmct [SUMMARY]
[CONTENT] ct intensity profiles | single energy ct | enhanced ct scan | monochromatic ct vmct | dect imaging vmct [SUMMARY]
[CONTENT] ct intensity profiles | single energy ct | enhanced ct scan | monochromatic ct vmct | dect imaging vmct [SUMMARY]
[CONTENT] ct intensity profiles | single energy ct | enhanced ct scan | monochromatic ct vmct | dect imaging vmct [SUMMARY]
[CONTENT] ct | kvp | images | iodine | image | dect | real | step | pseudo | 80 [SUMMARY]
[CONTENT] ct | kvp | images | iodine | image | dect | real | step | pseudo | 80 [SUMMARY]
[CONTENT] ct | kvp | images | iodine | image | dect | real | step | pseudo | 80 [SUMMARY]
[CONTENT] ct | kvp | images | iodine | image | dect | real | step | pseudo | 80 [SUMMARY]
[CONTENT] ct | kvp | images | iodine | image | dect | real | step | pseudo | 80 [SUMMARY]
[CONTENT] ct | kvp | images | iodine | image | dect | real | step | pseudo | 80 [SUMMARY]
[CONTENT] dect | scanners | energy | ct | acquisition | dect scanners | image | dual | contrast | levels [SUMMARY]
[CONTENT] cc | ct | mm | cm | step | images | phantom | inserts | aluminum | model [SUMMARY]
[CONTENT] kvp | 80 kvp | 80 | real | 140 kvp | 140 | wedge | ct | step | kvp ct image [SUMMARY]
[CONTENT] 120 kvp | kvp sect | 120 kvp sect | method | 120 | contrast | dect | dect imaging | proposed method | kvp [SUMMARY]
[CONTENT] ct | kvp | step | cc | dect | images | iodine | wedge | real | image [SUMMARY]
[CONTENT] ct | kvp | step | cc | dect | images | iodine | wedge | real | image [SUMMARY]
[CONTENT] CT | one | 120 | CT | CNN [SUMMARY]
[CONTENT] 80/140 | 120 | five | two ||| CNN ||| CNN | 120 | 80/140 | CNN ||| VMCT | CNN | DECT [SUMMARY]
[CONTENT] CT | 80 | CNN | 11.57 | 16.67 | 13.92 | 12.23 | 10.69 | HU | 2.19 | 4.38 | 8.75 | 17.5 | 35 ||| 140 | CT | 3.09 | 9.10 | 7.08 | 9.81 | 7.59 | HU ||| 0.104 | 0.603 | 0.478 | 0.698 | 0.795 | 2.19 | 4.38 | 8.75 | 17.5 | 35 ||| VMCT | 40 [SUMMARY]
[CONTENT] 120 | CT [SUMMARY]
[CONTENT] CT | one | 120 | CT | CNN ||| 80/140 | 120 | five | two ||| CNN ||| CNN | 120 | 80/140 | CNN ||| VMCT | CNN | DECT ||| ||| CT | 80 | CNN | 11.57 | 16.67 | 13.92 | 12.23 | 10.69 | HU | 2.19 | 4.38 | 8.75 | 17.5 | 35 ||| 140 | CT | 3.09 | 9.10 | 7.08 | 9.81 | 7.59 | HU ||| 0.104 | 0.603 | 0.478 | 0.698 | 0.795 | 2.19 | 4.38 | 8.75 | 17.5 | 35 ||| VMCT | 40 | 120 | CT [SUMMARY]
[CONTENT] CT | one | 120 | CT | CNN ||| 80/140 | 120 | five | two ||| CNN ||| CNN | 120 | 80/140 | CNN ||| VMCT | CNN | DECT ||| ||| CT | 80 | CNN | 11.57 | 16.67 | 13.92 | 12.23 | 10.69 | HU | 2.19 | 4.38 | 8.75 | 17.5 | 35 ||| 140 | CT | 3.09 | 9.10 | 7.08 | 9.81 | 7.59 | HU ||| 0.104 | 0.603 | 0.478 | 0.698 | 0.795 | 2.19 | 4.38 | 8.75 | 17.5 | 35 ||| VMCT | 40 | 120 | CT [SUMMARY]
Effects of Kinesio taping on calf muscle fatigue in college female athletes: A randomized controlled trial.
36316875
Fatigue is a common phenomenon encountered by athletes in ordinary life and sports. Fatigue results in decreased muscle strength, balance, agility, and an increased risk of injury, which together results in hampered sports performance. Several studies have examined the effects of Kinesio Tape (KT) application on muscle fatigue however, contradictory findings are reported. This study aimed to examine the effects of the application of KT on calf muscle fatigability.
BACKGROUND
A three-arm parallel pretest-post-test experimental design was used. Forty-five collegiate female athletes (mean age of 20.57 years) were randomly assigned to three groups. For the experimental group, KT with 50% tension; for the sham group, KT without any tension; and for the placebo group, rigid tape without any tension was applied. The number of heel rises (HRn) was measured before and after taping in the three groups, using Haberometer and Metronome. The tapes were applied in the Y shape to the calf muscle region.
METHODS
In the experimental group: The HRn significantly increased by 18.76 % (P = .000) after applying KT. In the sham and placebo groups: There was no change in HRn before and after Taping (P > .05).
RESULTS
Y-shaped application of KT with 50% tension over the calf muscle region is effective in reducing its fatigability.
CONCLUSION
[ "Adult", "Female", "Humans", "Young Adult", "Athletes", "Athletic Tape", "Muscle Fatigue", "Muscle, Skeletal" ]
9622674
1. Introduction
Athletes encounter fatigue both in ordinary life and in sports. Fatigue can be defined as the reduced ability of a muscle to generate force during a contraction that gradually develops after the onset of prolonged physical activity.[1] Fatigue results in several harmful consequences, such as reduced strength,[2,3] agility,[4] balance,[3] and increased risk of injury,[2] which collectively results in decreased sports performance.[5] Kinesio tape (KT) is becoming popular among athletes to improve their performance, especially after Olympic athletes started using it.[6] In the last few years, several studies have been performed to assess the therapeutic effects of KT on various aspects like flexibility,[7] movements kinematic,[8] proprioception,[9] muscle strength,[10–12] blood circulation,[13] pain,[14] delayed onset muscle soreness,[15] range of motion,[16] and balance.[17] However, many studies have reported contradictory findings regarding the therapeutic effects of KT.[6] Similar is the case with fatigue, where different studies have reported contradictory results. Several factors are related to the development of muscular fatigue, such as the central nervous system-related, psychological, peripheral, and cellular factors.[18] Several studies have proposed that KT increases blood and lymph circulation, muscle activity, and proprioception[19,20] thereby it may reduce the harmful effects of fatigue.[21] Kase[19] suggested that an increase in blood and lymph circulation might support the transport of oxygen and exudates and aid cellular metabolism; as a result, muscle function might be improved.[22] Similarly, Kataoka and Ichimaru reported an increase in peripheral blood circulation due to KT after 20 minutes of cycling.[20] In addition, Alvarez-Alvarez et al[21] reported that the time to failure increased in lumbar extensor muscles after applying KT. However, some studies had not reported any benefit of KT on muscle fatigue. A study by Lins et al[23] argued that the tension generated by the tape is insufficient to increase the interstitial space in a rested condition to increase blood flow. A study by Stedge et al[13] reported no effect of KT when applied over gastrocnemius muscle on the endurance ratio over 30 isokinetic maximal plantar and dorsiflexion or on blood circulation. Therefore, these findings indicate the contradictory role of KT in minimizing the adverse effects of fatigue. KT is easy to apply over the muscle region and will not restrict joint movements. Thus, if the application of KT is proved effective in reducing the effects of fatigue on muscle performance, then the application of KT can be recommended for athletes during sports. Therefore, a study was warranted to examine the acute effects of KT on muscle performance measured by the heel rise (HR) test when applied to the calf muscle. Therefore, this study aimed to examine the acute effects of KT application on fatigability in the calf muscles. We hypothesized that KT application has a significant role in reducing calf muscle fatigability when applied over it.
2. Methods
2.1. Study design and setting This study had a 3-arm comparative pretest–post-test experimental research design, randomly allocating an equal number of participants into three groups (experimental, sham, and placebo). This study was registered prospectively on clinicaltrials.gov (ID: NCT04960865) under the protocol registration and results system. This study had a 3-arm comparative pretest–post-test experimental research design, randomly allocating an equal number of participants into three groups (experimental, sham, and placebo). This study was registered prospectively on clinicaltrials.gov (ID: NCT04960865) under the protocol registration and results system. 2.2. Participants For experimental research, group sizes of approximately 30 participants are considered the minimum size to make a valid generalization.[24] Therefore, a total of 45 female college athletes (mean age 20.57 years, standard deviation (SD) 1.92) were selected for the study (Fig. 1 and Table 1). The inclusion criteria for the selected athletes were: college female athletes of the age group 19‐25 years who participated in training at least three times a week, and the participants should perform a minimum of 25 HR.[25] The exclusion criteria were: participants with a history of musculoskeletal injuries in the dominant lower limb, cardiopulmonary, vestibular, or neurological complications, and any systemic disorder diagnosed by a physician. Also, participants who consumed any pre-workout supplements in the last six months were excluded from the study. According to the study’s inclusion and exclusion criteria, participants were selected and randomly assigned to one of the three groups using the lottery method and the website Randomization.com (http://www.randomization.com) by an expert physiotherapist with 15 participants in each group: Experimental, Sham and Placebo group. A total of 45 chits, numbered 1 to 45, were placed in a box. For each participant included in the study, the physiotherapist picked a chit from the box, and that number was assigned to that participant. Random permutation of integers from 1 to 45 was generated for three groups using the website randomization.com and participants were allocated into the experimental, sham, or placebo group accordingly. The participants were unaware of the random sequence. The outcome assessor, who was different from the physiotherapist who generated the random allocation sequence, was also unaware of allocation and tape application. The study was carried out according to the Declaration of Helsinki guidelines. The Ethics Sub-Committee of the Institutional Review Board approved it (protocol code: RRC-2021-05 and date of approval 2 March 2021). The study was conducted on university premises from 6 September 2021 to 22 December 2021. Respondent’s demographic and variables data, n = 15 in each group. BMI = body mass index, HR = heel-rises, SD = standard deviation. CONSORT flow chart of the study showing the recruitment of participants. In the experimental group, KT was applied over the calf muscle with 50% stretch; in the sham group, KT was applied with 0% stretch; and in the Placebo group, the rigid tape was applied with 0% stretch. Before the application of any intervention, the risks and benefits of the study were discussed with the participants, and informed consent was obtained. The number of heel-rises (HRn) was the dependent variable, and taping method was the independent variable. For experimental research, group sizes of approximately 30 participants are considered the minimum size to make a valid generalization.[24] Therefore, a total of 45 female college athletes (mean age 20.57 years, standard deviation (SD) 1.92) were selected for the study (Fig. 1 and Table 1). The inclusion criteria for the selected athletes were: college female athletes of the age group 19‐25 years who participated in training at least three times a week, and the participants should perform a minimum of 25 HR.[25] The exclusion criteria were: participants with a history of musculoskeletal injuries in the dominant lower limb, cardiopulmonary, vestibular, or neurological complications, and any systemic disorder diagnosed by a physician. Also, participants who consumed any pre-workout supplements in the last six months were excluded from the study. According to the study’s inclusion and exclusion criteria, participants were selected and randomly assigned to one of the three groups using the lottery method and the website Randomization.com (http://www.randomization.com) by an expert physiotherapist with 15 participants in each group: Experimental, Sham and Placebo group. A total of 45 chits, numbered 1 to 45, were placed in a box. For each participant included in the study, the physiotherapist picked a chit from the box, and that number was assigned to that participant. Random permutation of integers from 1 to 45 was generated for three groups using the website randomization.com and participants were allocated into the experimental, sham, or placebo group accordingly. The participants were unaware of the random sequence. The outcome assessor, who was different from the physiotherapist who generated the random allocation sequence, was also unaware of allocation and tape application. The study was carried out according to the Declaration of Helsinki guidelines. The Ethics Sub-Committee of the Institutional Review Board approved it (protocol code: RRC-2021-05 and date of approval 2 March 2021). The study was conducted on university premises from 6 September 2021 to 22 December 2021. Respondent’s demographic and variables data, n = 15 in each group. BMI = body mass index, HR = heel-rises, SD = standard deviation. CONSORT flow chart of the study showing the recruitment of participants. In the experimental group, KT was applied over the calf muscle with 50% stretch; in the sham group, KT was applied with 0% stretch; and in the Placebo group, the rigid tape was applied with 0% stretch. Before the application of any intervention, the risks and benefits of the study were discussed with the participants, and informed consent was obtained. The number of heel-rises (HRn) was the dependent variable, and taping method was the independent variable. 2.3. Instrumentation Kinesio tape (Nasara kinesio tapeTM) Rigid tape Haberometer Metronome Kinesio tape (Nasara kinesio tapeTM) Rigid tape Haberometer Metronome 2.4. Study protocol This study consisted of 3 phases: pre-intervention evaluation, intervention, and post-intervention evaluation. 2.4.1. Preintervention evaluation. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used. A Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute. The HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare. Participants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used. A Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute. The HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare. Participants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided. 2.4.2. Intervention. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points. The following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17] 1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application. 3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application. Application of Y-shape Kinesio tape over calf muscle. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points. The following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17] 1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application. 3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application. Application of Y-shape Kinesio tape over calf muscle. 2.4.3. Post-intervention evaluation. After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation. Outcome measure: The number of heel-rises (HRn). After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation. Outcome measure: The number of heel-rises (HRn). This study consisted of 3 phases: pre-intervention evaluation, intervention, and post-intervention evaluation. 2.4.1. Preintervention evaluation. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used. A Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute. The HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare. Participants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used. A Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute. The HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare. Participants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided. 2.4.2. Intervention. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points. The following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17] 1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application. 3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application. Application of Y-shape Kinesio tape over calf muscle. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points. The following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17] 1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application. 3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application. Application of Y-shape Kinesio tape over calf muscle. 2.4.3. Post-intervention evaluation. After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation. Outcome measure: The number of heel-rises (HRn). After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation. Outcome measure: The number of heel-rises (HRn). 2.5. Data analysis SPSS statistical software, version 26 (SPSS Inc., Chicago, IL), was used for all data analyses. Data from 45 participants, 15 participants from each group, were analyzed. The normal distribution of the baseline values of the dependent variable (HR Pre) was evaluated using the Shapiro–Wilk normality test, which revealed the normal distribution in all three groups (Group A, P = .441; Group B, P = .288; Group C, P = .054). Therefore, parametric tests were used for with-in and between-group analyses. Paired sample test and one-way analysis of variance (ANOVA) were used for with-in-group and between-group comparison, respectively. P-value < .05 was considered significant, and the confidence interval was set at 95%. SPSS statistical software, version 26 (SPSS Inc., Chicago, IL), was used for all data analyses. Data from 45 participants, 15 participants from each group, were analyzed. The normal distribution of the baseline values of the dependent variable (HR Pre) was evaluated using the Shapiro–Wilk normality test, which revealed the normal distribution in all three groups (Group A, P = .441; Group B, P = .288; Group C, P = .054). Therefore, parametric tests were used for with-in and between-group analyses. Paired sample test and one-way analysis of variance (ANOVA) were used for with-in-group and between-group comparison, respectively. P-value < .05 was considered significant, and the confidence interval was set at 95%.
3. Results
3.1. With-in group comparison (paired samples test) (Table 2 ) Group A: There was a significant increase in HRn by 18.76% (P = .000) after applying KT under 50% tension. Group B: There were no significant differences in HRn before and after the application of sham KT (without any tension) (P = .136). Group C: There were no significant differences in HRn before and after applying the placebo rigid tape (P = .262). With-in group comparison (paired samples test) for all three groups. HR = heel-rises; SD = standard deviation. Significant. Group A: There was a significant increase in HRn by 18.76% (P = .000) after applying KT under 50% tension. Group B: There were no significant differences in HRn before and after the application of sham KT (without any tension) (P = .136). Group C: There were no significant differences in HRn before and after applying the placebo rigid tape (P = .262). With-in group comparison (paired samples test) for all three groups. HR = heel-rises; SD = standard deviation. Significant. 3.2. Between-group comparison (one-way ANOVA) (Table 3 ) One-way ANOVA (Bonferroni) revealed a significant difference in mean HRn differences between groups A and B (P = .020) and groups A and C (P = .000). There was no significant difference in mean differences of HRn between groups B and C (P = .226). Table 4 shows the effect size for one-way ANOVA. Results of the comparison between groups (one-way ANOVA). Significant. Effect size for one-way ANOVA. Significant. One-way ANOVA (Bonferroni) revealed a significant difference in mean HRn differences between groups A and B (P = .020) and groups A and C (P = .000). There was no significant difference in mean differences of HRn between groups B and C (P = .226). Table 4 shows the effect size for one-way ANOVA. Results of the comparison between groups (one-way ANOVA). Significant. Effect size for one-way ANOVA. Significant.
5. Conclusion
Conceptualization: Avinash Rana, Masood Khan. Data curation: Avinash Rana. Formal analysis: Deepak Tyagi. Funding acquisition: Ahmad H. Alghadir. Investigation: Ahmad H. Alghadir. Methodology: Avinash Rana, Deepak Tyagi. Project administration: Ahmad H. Alghadir. Resources: Ahmad H. Alghadir. Software: Ahmad H. Alghadir. Supervision: Deepak Tyagi. Validation: Deepak Tyagi. Visualization: Deepak Tyagi. Writing – original draft: Avinash Rana, Masood Khan. Writing – review & editing: Masood Khan.
[ "2.1. Study design and setting", "2.2. Participants", "2.3. Instrumentation", "2.4. Study protocol", "2.4.1. Preintervention evaluation.", "2.4.2. Intervention.", "2.4.3. Post-intervention evaluation.", "2.5. Data analysis", "3.1. With-in group comparison (paired samples test) (Table 2\n)", "3.2. Between-group comparison (one-way ANOVA) (Table 3\n)", "5. Conclusion" ]
[ "This study had a 3-arm comparative pretest–post-test experimental research design, randomly allocating an equal number of participants into three groups (experimental, sham, and placebo). This study was registered prospectively on clinicaltrials.gov (ID: NCT04960865) under the protocol registration and results system.", "For experimental research, group sizes of approximately 30 participants are considered the minimum size to make a valid generalization.[24] Therefore, a total of 45 female college athletes (mean age 20.57 years, standard deviation (SD) 1.92) were selected for the study (Fig. 1 and Table 1). The inclusion criteria for the selected athletes were: college female athletes of the age group 19‐25 years who participated in training at least three times a week, and the participants should perform a minimum of 25 HR.[25] The exclusion criteria were: participants with a history of musculoskeletal injuries in the dominant lower limb, cardiopulmonary, vestibular, or neurological complications, and any systemic disorder diagnosed by a physician. Also, participants who consumed any pre-workout supplements in the last six months were excluded from the study. According to the study’s inclusion and exclusion criteria, participants were selected and randomly assigned to one of the three groups using the lottery method and the website Randomization.com (http://www.randomization.com) by an expert physiotherapist with 15 participants in each group: Experimental, Sham and Placebo group. A total of 45 chits, numbered 1 to 45, were placed in a box. For each participant included in the study, the physiotherapist picked a chit from the box, and that number was assigned to that participant. Random permutation of integers from 1 to 45 was generated for three groups using the website randomization.com and participants were allocated into the experimental, sham, or placebo group accordingly. The participants were unaware of the random sequence. The outcome assessor, who was different from the physiotherapist who generated the random allocation sequence, was also unaware of allocation and tape application. The study was carried out according to the Declaration of Helsinki guidelines. The Ethics Sub-Committee of the Institutional Review Board approved it (protocol code: RRC-2021-05 and date of approval 2 March 2021). The study was conducted on university premises from 6 September 2021 to 22 December 2021.\nRespondent’s demographic and variables data, n = 15 in each group.\nBMI = body mass index, HR = heel-rises, SD = standard deviation.\nCONSORT flow chart of the study showing the recruitment of participants.\nIn the experimental group, KT was applied over the calf muscle with 50% stretch; in the sham group, KT was applied with 0% stretch; and in the Placebo group, the rigid tape was applied with 0% stretch. Before the application of any intervention, the risks and benefits of the study were discussed with the participants, and informed consent was obtained. The number of heel-rises (HRn) was the dependent variable, and taping method was the independent variable.", "Kinesio tape (Nasara kinesio tapeTM)\nRigid tape\nHaberometer\nMetronome", "This study consisted of 3 phases: pre-intervention evaluation, intervention, and post-intervention evaluation.\n2.4.1. Preintervention evaluation. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used.\nA Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute.\nThe HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare.\nParticipants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided.\nParticipants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used.\nA Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute.\nThe HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare.\nParticipants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided.\n2.4.2. Intervention. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points.\nThe following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17]\n1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application.\n3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application.\nApplication of Y-shape Kinesio tape over calf muscle.\n1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points.\nThe following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17]\n1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application.\n3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application.\nApplication of Y-shape Kinesio tape over calf muscle.\n2.4.3. Post-intervention evaluation. After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation.\nOutcome measure: The number of heel-rises (HRn).\nAfter a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation.\nOutcome measure: The number of heel-rises (HRn).", "Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used.\nA Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute.\nThe HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare.\nParticipants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided.", "1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points.\nThe following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17]\n1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application.\n3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application.\nApplication of Y-shape Kinesio tape over calf muscle.", "After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation.\nOutcome measure: The number of heel-rises (HRn).", "SPSS statistical software, version 26 (SPSS Inc., Chicago, IL), was used for all data analyses. Data from 45 participants, 15 participants from each group, were analyzed. The normal distribution of the baseline values of the dependent variable (HR Pre) was evaluated using the Shapiro–Wilk normality test, which revealed the normal distribution in all three groups (Group A, P = .441; Group B, P = .288; Group C, P = .054). Therefore, parametric tests were used for with-in and between-group analyses. Paired sample test and one-way analysis of variance (ANOVA) were used for with-in-group and between-group comparison, respectively. P-value < .05 was considered significant, and the confidence interval was set at 95%.", "Group A: There was a significant increase in HRn by 18.76% (P = .000) after applying KT under 50% tension.\nGroup B: There were no significant differences in HRn before and after the application of sham KT (without any tension) (P = .136).\nGroup C: There were no significant differences in HRn before and after applying the placebo rigid tape (P = .262).\nWith-in group comparison (paired samples test) for all three groups.\nHR = heel-rises; SD = standard deviation.\nSignificant.", "One-way ANOVA (Bonferroni) revealed a significant difference in mean HRn differences between groups A and B (P = .020) and groups A and C (P = .000). There was no significant difference in mean differences of HRn between groups B and C (P = .226). Table 4 shows the effect size for one-way ANOVA.\nResults of the comparison between groups (one-way ANOVA).\nSignificant.\nEffect size for one-way ANOVA.\nSignificant.", "The results of the present study accept the experimental hypothesis and conclude that the Y-shaped application of KT under tension has a significant role in reducing fatigability in calf muscle in collegiate female athletes." ]
[ null, null, null, null, null, null, null, null, null, null, null ]
[ "1. Introduction", "2. Methods", "2.1. Study design and setting", "2.2. Participants", "2.3. Instrumentation", "2.4. Study protocol", "2.4.1. Preintervention evaluation.", "2.4.2. Intervention.", "2.4.3. Post-intervention evaluation.", "2.5. Data analysis", "3. Results", "3.1. With-in group comparison (paired samples test) (Table 2\n)", "3.2. Between-group comparison (one-way ANOVA) (Table 3\n)", "4. Discussion", "5. Conclusion" ]
[ "Athletes encounter fatigue both in ordinary life and in sports. Fatigue can be defined as the reduced ability of a muscle to generate force during a contraction that gradually develops after the onset of prolonged physical activity.[1] Fatigue results in several harmful consequences, such as reduced strength,[2,3] agility,[4] balance,[3] and increased risk of injury,[2] which collectively results in decreased sports performance.[5] Kinesio tape (KT) is becoming popular among athletes to improve their performance, especially after Olympic athletes started using it.[6]\nIn the last few years, several studies have been performed to assess the therapeutic effects of KT on various aspects like flexibility,[7] movements kinematic,[8] proprioception,[9] muscle strength,[10–12] blood circulation,[13] pain,[14] delayed onset muscle soreness,[15] range of motion,[16] and balance.[17] However, many studies have reported contradictory findings regarding the therapeutic effects of KT.[6] Similar is the case with fatigue, where different studies have reported contradictory results.\nSeveral factors are related to the development of muscular fatigue, such as the central nervous system-related, psychological, peripheral, and cellular factors.[18] Several studies have proposed that KT increases blood and lymph circulation, muscle activity, and proprioception[19,20] thereby it may reduce the harmful effects of fatigue.[21] Kase[19] suggested that an increase in blood and lymph circulation might support the transport of oxygen and exudates and aid cellular metabolism; as a result, muscle function might be improved.[22] Similarly, Kataoka and Ichimaru reported an increase in peripheral blood circulation due to KT after 20 minutes of cycling.[20] In addition, Alvarez-Alvarez et al[21] reported that the time to failure increased in lumbar extensor muscles after applying KT.\nHowever, some studies had not reported any benefit of KT on muscle fatigue. A study by Lins et al[23] argued that the tension generated by the tape is insufficient to increase the interstitial space in a rested condition to increase blood flow. A study by Stedge et al[13] reported no effect of KT when applied over gastrocnemius muscle on the endurance ratio over 30 isokinetic maximal plantar and dorsiflexion or on blood circulation. Therefore, these findings indicate the contradictory role of KT in minimizing the adverse effects of fatigue.\nKT is easy to apply over the muscle region and will not restrict joint movements. Thus, if the application of KT is proved effective in reducing the effects of fatigue on muscle performance, then the application of KT can be recommended for athletes during sports. Therefore, a study was warranted to examine the acute effects of KT on muscle performance measured by the heel rise (HR) test when applied to the calf muscle. Therefore, this study aimed to examine the acute effects of KT application on fatigability in the calf muscles. We hypothesized that KT application has a significant role in reducing calf muscle fatigability when applied over it.", "2.1. Study design and setting This study had a 3-arm comparative pretest–post-test experimental research design, randomly allocating an equal number of participants into three groups (experimental, sham, and placebo). This study was registered prospectively on clinicaltrials.gov (ID: NCT04960865) under the protocol registration and results system.\nThis study had a 3-arm comparative pretest–post-test experimental research design, randomly allocating an equal number of participants into three groups (experimental, sham, and placebo). This study was registered prospectively on clinicaltrials.gov (ID: NCT04960865) under the protocol registration and results system.\n2.2. Participants For experimental research, group sizes of approximately 30 participants are considered the minimum size to make a valid generalization.[24] Therefore, a total of 45 female college athletes (mean age 20.57 years, standard deviation (SD) 1.92) were selected for the study (Fig. 1 and Table 1). The inclusion criteria for the selected athletes were: college female athletes of the age group 19‐25 years who participated in training at least three times a week, and the participants should perform a minimum of 25 HR.[25] The exclusion criteria were: participants with a history of musculoskeletal injuries in the dominant lower limb, cardiopulmonary, vestibular, or neurological complications, and any systemic disorder diagnosed by a physician. Also, participants who consumed any pre-workout supplements in the last six months were excluded from the study. According to the study’s inclusion and exclusion criteria, participants were selected and randomly assigned to one of the three groups using the lottery method and the website Randomization.com (http://www.randomization.com) by an expert physiotherapist with 15 participants in each group: Experimental, Sham and Placebo group. A total of 45 chits, numbered 1 to 45, were placed in a box. For each participant included in the study, the physiotherapist picked a chit from the box, and that number was assigned to that participant. Random permutation of integers from 1 to 45 was generated for three groups using the website randomization.com and participants were allocated into the experimental, sham, or placebo group accordingly. The participants were unaware of the random sequence. The outcome assessor, who was different from the physiotherapist who generated the random allocation sequence, was also unaware of allocation and tape application. The study was carried out according to the Declaration of Helsinki guidelines. The Ethics Sub-Committee of the Institutional Review Board approved it (protocol code: RRC-2021-05 and date of approval 2 March 2021). The study was conducted on university premises from 6 September 2021 to 22 December 2021.\nRespondent’s demographic and variables data, n = 15 in each group.\nBMI = body mass index, HR = heel-rises, SD = standard deviation.\nCONSORT flow chart of the study showing the recruitment of participants.\nIn the experimental group, KT was applied over the calf muscle with 50% stretch; in the sham group, KT was applied with 0% stretch; and in the Placebo group, the rigid tape was applied with 0% stretch. Before the application of any intervention, the risks and benefits of the study were discussed with the participants, and informed consent was obtained. The number of heel-rises (HRn) was the dependent variable, and taping method was the independent variable.\nFor experimental research, group sizes of approximately 30 participants are considered the minimum size to make a valid generalization.[24] Therefore, a total of 45 female college athletes (mean age 20.57 years, standard deviation (SD) 1.92) were selected for the study (Fig. 1 and Table 1). The inclusion criteria for the selected athletes were: college female athletes of the age group 19‐25 years who participated in training at least three times a week, and the participants should perform a minimum of 25 HR.[25] The exclusion criteria were: participants with a history of musculoskeletal injuries in the dominant lower limb, cardiopulmonary, vestibular, or neurological complications, and any systemic disorder diagnosed by a physician. Also, participants who consumed any pre-workout supplements in the last six months were excluded from the study. According to the study’s inclusion and exclusion criteria, participants were selected and randomly assigned to one of the three groups using the lottery method and the website Randomization.com (http://www.randomization.com) by an expert physiotherapist with 15 participants in each group: Experimental, Sham and Placebo group. A total of 45 chits, numbered 1 to 45, were placed in a box. For each participant included in the study, the physiotherapist picked a chit from the box, and that number was assigned to that participant. Random permutation of integers from 1 to 45 was generated for three groups using the website randomization.com and participants were allocated into the experimental, sham, or placebo group accordingly. The participants were unaware of the random sequence. The outcome assessor, who was different from the physiotherapist who generated the random allocation sequence, was also unaware of allocation and tape application. The study was carried out according to the Declaration of Helsinki guidelines. The Ethics Sub-Committee of the Institutional Review Board approved it (protocol code: RRC-2021-05 and date of approval 2 March 2021). The study was conducted on university premises from 6 September 2021 to 22 December 2021.\nRespondent’s demographic and variables data, n = 15 in each group.\nBMI = body mass index, HR = heel-rises, SD = standard deviation.\nCONSORT flow chart of the study showing the recruitment of participants.\nIn the experimental group, KT was applied over the calf muscle with 50% stretch; in the sham group, KT was applied with 0% stretch; and in the Placebo group, the rigid tape was applied with 0% stretch. Before the application of any intervention, the risks and benefits of the study were discussed with the participants, and informed consent was obtained. The number of heel-rises (HRn) was the dependent variable, and taping method was the independent variable.\n2.3. Instrumentation Kinesio tape (Nasara kinesio tapeTM)\nRigid tape\nHaberometer\nMetronome\nKinesio tape (Nasara kinesio tapeTM)\nRigid tape\nHaberometer\nMetronome\n2.4. Study protocol This study consisted of 3 phases: pre-intervention evaluation, intervention, and post-intervention evaluation.\n2.4.1. Preintervention evaluation. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used.\nA Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute.\nThe HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare.\nParticipants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided.\nParticipants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used.\nA Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute.\nThe HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare.\nParticipants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided.\n2.4.2. Intervention. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points.\nThe following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17]\n1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application.\n3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application.\nApplication of Y-shape Kinesio tape over calf muscle.\n1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points.\nThe following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17]\n1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application.\n3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application.\nApplication of Y-shape Kinesio tape over calf muscle.\n2.4.3. Post-intervention evaluation. After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation.\nOutcome measure: The number of heel-rises (HRn).\nAfter a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation.\nOutcome measure: The number of heel-rises (HRn).\nThis study consisted of 3 phases: pre-intervention evaluation, intervention, and post-intervention evaluation.\n2.4.1. Preintervention evaluation. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used.\nA Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute.\nThe HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare.\nParticipants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided.\nParticipants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used.\nA Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute.\nThe HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare.\nParticipants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided.\n2.4.2. Intervention. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points.\nThe following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17]\n1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application.\n3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application.\nApplication of Y-shape Kinesio tape over calf muscle.\n1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points.\nThe following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17]\n1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application.\n3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application.\nApplication of Y-shape Kinesio tape over calf muscle.\n2.4.3. Post-intervention evaluation. After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation.\nOutcome measure: The number of heel-rises (HRn).\nAfter a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation.\nOutcome measure: The number of heel-rises (HRn).\n2.5. Data analysis SPSS statistical software, version 26 (SPSS Inc., Chicago, IL), was used for all data analyses. Data from 45 participants, 15 participants from each group, were analyzed. The normal distribution of the baseline values of the dependent variable (HR Pre) was evaluated using the Shapiro–Wilk normality test, which revealed the normal distribution in all three groups (Group A, P = .441; Group B, P = .288; Group C, P = .054). Therefore, parametric tests were used for with-in and between-group analyses. Paired sample test and one-way analysis of variance (ANOVA) were used for with-in-group and between-group comparison, respectively. P-value < .05 was considered significant, and the confidence interval was set at 95%.\nSPSS statistical software, version 26 (SPSS Inc., Chicago, IL), was used for all data analyses. Data from 45 participants, 15 participants from each group, were analyzed. The normal distribution of the baseline values of the dependent variable (HR Pre) was evaluated using the Shapiro–Wilk normality test, which revealed the normal distribution in all three groups (Group A, P = .441; Group B, P = .288; Group C, P = .054). Therefore, parametric tests were used for with-in and between-group analyses. Paired sample test and one-way analysis of variance (ANOVA) were used for with-in-group and between-group comparison, respectively. P-value < .05 was considered significant, and the confidence interval was set at 95%.", "This study had a 3-arm comparative pretest–post-test experimental research design, randomly allocating an equal number of participants into three groups (experimental, sham, and placebo). This study was registered prospectively on clinicaltrials.gov (ID: NCT04960865) under the protocol registration and results system.", "For experimental research, group sizes of approximately 30 participants are considered the minimum size to make a valid generalization.[24] Therefore, a total of 45 female college athletes (mean age 20.57 years, standard deviation (SD) 1.92) were selected for the study (Fig. 1 and Table 1). The inclusion criteria for the selected athletes were: college female athletes of the age group 19‐25 years who participated in training at least three times a week, and the participants should perform a minimum of 25 HR.[25] The exclusion criteria were: participants with a history of musculoskeletal injuries in the dominant lower limb, cardiopulmonary, vestibular, or neurological complications, and any systemic disorder diagnosed by a physician. Also, participants who consumed any pre-workout supplements in the last six months were excluded from the study. According to the study’s inclusion and exclusion criteria, participants were selected and randomly assigned to one of the three groups using the lottery method and the website Randomization.com (http://www.randomization.com) by an expert physiotherapist with 15 participants in each group: Experimental, Sham and Placebo group. A total of 45 chits, numbered 1 to 45, were placed in a box. For each participant included in the study, the physiotherapist picked a chit from the box, and that number was assigned to that participant. Random permutation of integers from 1 to 45 was generated for three groups using the website randomization.com and participants were allocated into the experimental, sham, or placebo group accordingly. The participants were unaware of the random sequence. The outcome assessor, who was different from the physiotherapist who generated the random allocation sequence, was also unaware of allocation and tape application. The study was carried out according to the Declaration of Helsinki guidelines. The Ethics Sub-Committee of the Institutional Review Board approved it (protocol code: RRC-2021-05 and date of approval 2 March 2021). The study was conducted on university premises from 6 September 2021 to 22 December 2021.\nRespondent’s demographic and variables data, n = 15 in each group.\nBMI = body mass index, HR = heel-rises, SD = standard deviation.\nCONSORT flow chart of the study showing the recruitment of participants.\nIn the experimental group, KT was applied over the calf muscle with 50% stretch; in the sham group, KT was applied with 0% stretch; and in the Placebo group, the rigid tape was applied with 0% stretch. Before the application of any intervention, the risks and benefits of the study were discussed with the participants, and informed consent was obtained. The number of heel-rises (HRn) was the dependent variable, and taping method was the independent variable.", "Kinesio tape (Nasara kinesio tapeTM)\nRigid tape\nHaberometer\nMetronome", "This study consisted of 3 phases: pre-intervention evaluation, intervention, and post-intervention evaluation.\n2.4.1. Preintervention evaluation. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used.\nA Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute.\nThe HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare.\nParticipants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided.\nParticipants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used.\nA Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute.\nThe HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare.\nParticipants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided.\n2.4.2. Intervention. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points.\nThe following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17]\n1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application.\n3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application.\nApplication of Y-shape Kinesio tape over calf muscle.\n1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points.\nThe following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17]\n1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application.\n3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application.\nApplication of Y-shape Kinesio tape over calf muscle.\n2.4.3. Post-intervention evaluation. After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation.\nOutcome measure: The number of heel-rises (HRn).\nAfter a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation.\nOutcome measure: The number of heel-rises (HRn).", "Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used.\nA Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute.\nThe HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare.\nParticipants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided.", "1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points.\nThe following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17]\n1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application.\n3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application.\nApplication of Y-shape Kinesio tape over calf muscle.", "After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation.\nOutcome measure: The number of heel-rises (HRn).", "SPSS statistical software, version 26 (SPSS Inc., Chicago, IL), was used for all data analyses. Data from 45 participants, 15 participants from each group, were analyzed. The normal distribution of the baseline values of the dependent variable (HR Pre) was evaluated using the Shapiro–Wilk normality test, which revealed the normal distribution in all three groups (Group A, P = .441; Group B, P = .288; Group C, P = .054). Therefore, parametric tests were used for with-in and between-group analyses. Paired sample test and one-way analysis of variance (ANOVA) were used for with-in-group and between-group comparison, respectively. P-value < .05 was considered significant, and the confidence interval was set at 95%.", "3.1. With-in group comparison (paired samples test) (Table 2\n) Group A: There was a significant increase in HRn by 18.76% (P = .000) after applying KT under 50% tension.\nGroup B: There were no significant differences in HRn before and after the application of sham KT (without any tension) (P = .136).\nGroup C: There were no significant differences in HRn before and after applying the placebo rigid tape (P = .262).\nWith-in group comparison (paired samples test) for all three groups.\nHR = heel-rises; SD = standard deviation.\nSignificant.\nGroup A: There was a significant increase in HRn by 18.76% (P = .000) after applying KT under 50% tension.\nGroup B: There were no significant differences in HRn before and after the application of sham KT (without any tension) (P = .136).\nGroup C: There were no significant differences in HRn before and after applying the placebo rigid tape (P = .262).\nWith-in group comparison (paired samples test) for all three groups.\nHR = heel-rises; SD = standard deviation.\nSignificant.\n3.2. Between-group comparison (one-way ANOVA) (Table 3\n) One-way ANOVA (Bonferroni) revealed a significant difference in mean HRn differences between groups A and B (P = .020) and groups A and C (P = .000). There was no significant difference in mean differences of HRn between groups B and C (P = .226). Table 4 shows the effect size for one-way ANOVA.\nResults of the comparison between groups (one-way ANOVA).\nSignificant.\nEffect size for one-way ANOVA.\nSignificant.\nOne-way ANOVA (Bonferroni) revealed a significant difference in mean HRn differences between groups A and B (P = .020) and groups A and C (P = .000). There was no significant difference in mean differences of HRn between groups B and C (P = .226). Table 4 shows the effect size for one-way ANOVA.\nResults of the comparison between groups (one-way ANOVA).\nSignificant.\nEffect size for one-way ANOVA.\nSignificant.", "Group A: There was a significant increase in HRn by 18.76% (P = .000) after applying KT under 50% tension.\nGroup B: There were no significant differences in HRn before and after the application of sham KT (without any tension) (P = .136).\nGroup C: There were no significant differences in HRn before and after applying the placebo rigid tape (P = .262).\nWith-in group comparison (paired samples test) for all three groups.\nHR = heel-rises; SD = standard deviation.\nSignificant.", "One-way ANOVA (Bonferroni) revealed a significant difference in mean HRn differences between groups A and B (P = .020) and groups A and C (P = .000). There was no significant difference in mean differences of HRn between groups B and C (P = .226). Table 4 shows the effect size for one-way ANOVA.\nResults of the comparison between groups (one-way ANOVA).\nSignificant.\nEffect size for one-way ANOVA.\nSignificant.", "This study aimed to examine the effects of KT on muscle fatigue in the calf muscle. Results of the present study showed that KT when applied under tension, increased the resistance of calf muscle to fatigue. Those participants who had KT applied under tension to the calf muscle could perform more HRn than those who had sham KT or placebo rigid tape. Furthermore, the present study revealed that there was no difference in HRn between sham KT and placebo rigid tape.\nIn the present study, calf muscle fatigue was assessed using the HR test because the standing HR test assesses the endurance capacities of the calf muscle in a closed kinetic chain.[25] In one of the previous studies, when participants had performed the standing HR test to exhaustion, a significant decrease in work was observed, as well as a reduction of the electromyographic mean power frequency of the calf muscle.[27] Therefore, these findings suggest that the standing HR test causes fatigue of the calf musculature.[28] In the present study, participants who were able to perform a minimum of 25 HR were recruited because, according to Lunsford and Perry,[25] individuals performing a minimum of 25 HR can be considered normal.\nThe results of the present study indicate that the mechanism associated with muscle fatigue is influenced in some way by the application of KT. One of the possible explanations could be that KT may improve intramuscular blood flow. When muscles contract isometrically beyond 20% of maximum voluntary contraction, blood flow inside intramuscular capillaries is reported to decrease to 30 to 40 mm Hg.[29] As a result, oxygen supply is reduced and algogenic substances such as bradykinin and lactate are not drained.[30] It is hypothesized that lymphatic drainage[19] and blood flow[20] improve after applying KT to muscles. KT is assumed to improve blood circulation because it stimulates the autonomic nervous system, causing vasodilation in the area where KT is applied. Therefore, this improved lymphatic drainage and blood flow may increase oxygen supply and help to remove an increased amount of lactate and bradykinins, thus increasing muscle resistance to fatigue. Another mechanism proposed to support the role of KT in decreasing pain after fatigue is the facilitation of pain-gate control theory.[31] Other studies suggested that KT can improve EMG activation of the vastus medialis oblique muscle, increase stability sensation and decrease pain perception when applied to the knee joint.[32] In addition, some studies have reported an increase in muscle strength during concentric contraction,[33] isometric contractions,[34] and a normalization of muscle tone[35] after applying KT. Also, Slupik et al[36] reported increased EMG activity of quadriceps muscle after 24 hours of KT application. This might be partially attributed to the muscle alignment/activity and pain relief produced by KT.\nIn addition to the mechanisms mentioned above, some placebo factors could contribute to muscle resistance to fatigue. Applying KT can psychologically affect individuals, causing changes in their expectations and behavior that may lead to more positive performance.[21]\nHowever, contrary findings have also been reported, for example, Fu et al[12] did not find significant differences in inhibition or facilitation of hamstring and quadriceps muscle strength. Furthermore, Poon et al[37] and Chang et al[10] reported no significant changes in muscle strength immediately after KT application. A recent study by Lee et al[38] reported that KT does not have significant positive effects on self-perceived fatigue level, muscle endurance, strength, and power. Some studies did not report an immediate increase in functional performance of healthy individuals without pain due to muscle fatigue after KT application, regardless of the deception of the participants and changes in tape tension.[39] The reason could be that these participants had good functional performance and were pain-free. Similarly, Yeung et al reported that with KT application, the time to reach peak torque generation was reduced in knee extensors; other than this, there was no positive effect on muscle performance.[40]\nThe present study showed that when KT was applied to the calf muscle, it increased the resistance of the muscle to fatigue; therefore, KT can be applied to the calf muscle when athletes want to delay fatigue in this muscle. The results of the present study also have clinical implications, as the results indicate that KT when applied under tension, can significantly reduce the fatigability of the calf muscle; therefore, it can be used in clinical settings and sports activities to enhance muscle function and thus improve the overall performance of individuals.\nThere are certain limitations in the present study, like the small sample size used. Furthermore, in the present study, fatigue was measured with a single variable only, that is, HRn; however, this single variable may not provide sufficient details regarding the fatigue mechanism and how KT affects it; therefore, further studies are needed that examine other variables as well, such as the concentration of lactate in blood or EMG. Furthermore, HRn was measured immediately after the application of KT; therefore, further studies should examine the medium and long-term effects of KT so that possible immediate effects of skin proprioception with the application of KT can be ruled out. Another limitation is the inclusion of only female participants; therefore, the results of the present study cannot be generalized to male participants due to hormonal differences. Furthermore, the fatigability of the calf muscle was measured using the HR test in a controlled environment, which includes only a single movement; however, in many sports, there is a combination of different movements. Therefore, further research should test the fatigability of calf muscle in athletes during actual sports. The present study supported using KT to reduce fatigue; however, whether KT application improves athletes’ performance during sports needs to be further evaluated.", "The results of the present study accept the experimental hypothesis and conclude that the Y-shaped application of KT under tension has a significant role in reducing fatigability in calf muscle in collegiate female athletes." ]
[ "intro", "methods", null, null, null, null, null, null, null, null, "results", null, null, "discussion", null ]
[ "calf muscle", "heel-rise test", "Kinesio taping", "muscle fatigue" ]
1. Introduction: Athletes encounter fatigue both in ordinary life and in sports. Fatigue can be defined as the reduced ability of a muscle to generate force during a contraction that gradually develops after the onset of prolonged physical activity.[1] Fatigue results in several harmful consequences, such as reduced strength,[2,3] agility,[4] balance,[3] and increased risk of injury,[2] which collectively results in decreased sports performance.[5] Kinesio tape (KT) is becoming popular among athletes to improve their performance, especially after Olympic athletes started using it.[6] In the last few years, several studies have been performed to assess the therapeutic effects of KT on various aspects like flexibility,[7] movements kinematic,[8] proprioception,[9] muscle strength,[10–12] blood circulation,[13] pain,[14] delayed onset muscle soreness,[15] range of motion,[16] and balance.[17] However, many studies have reported contradictory findings regarding the therapeutic effects of KT.[6] Similar is the case with fatigue, where different studies have reported contradictory results. Several factors are related to the development of muscular fatigue, such as the central nervous system-related, psychological, peripheral, and cellular factors.[18] Several studies have proposed that KT increases blood and lymph circulation, muscle activity, and proprioception[19,20] thereby it may reduce the harmful effects of fatigue.[21] Kase[19] suggested that an increase in blood and lymph circulation might support the transport of oxygen and exudates and aid cellular metabolism; as a result, muscle function might be improved.[22] Similarly, Kataoka and Ichimaru reported an increase in peripheral blood circulation due to KT after 20 minutes of cycling.[20] In addition, Alvarez-Alvarez et al[21] reported that the time to failure increased in lumbar extensor muscles after applying KT. However, some studies had not reported any benefit of KT on muscle fatigue. A study by Lins et al[23] argued that the tension generated by the tape is insufficient to increase the interstitial space in a rested condition to increase blood flow. A study by Stedge et al[13] reported no effect of KT when applied over gastrocnemius muscle on the endurance ratio over 30 isokinetic maximal plantar and dorsiflexion or on blood circulation. Therefore, these findings indicate the contradictory role of KT in minimizing the adverse effects of fatigue. KT is easy to apply over the muscle region and will not restrict joint movements. Thus, if the application of KT is proved effective in reducing the effects of fatigue on muscle performance, then the application of KT can be recommended for athletes during sports. Therefore, a study was warranted to examine the acute effects of KT on muscle performance measured by the heel rise (HR) test when applied to the calf muscle. Therefore, this study aimed to examine the acute effects of KT application on fatigability in the calf muscles. We hypothesized that KT application has a significant role in reducing calf muscle fatigability when applied over it. 2. Methods: 2.1. Study design and setting This study had a 3-arm comparative pretest–post-test experimental research design, randomly allocating an equal number of participants into three groups (experimental, sham, and placebo). This study was registered prospectively on clinicaltrials.gov (ID: NCT04960865) under the protocol registration and results system. This study had a 3-arm comparative pretest–post-test experimental research design, randomly allocating an equal number of participants into three groups (experimental, sham, and placebo). This study was registered prospectively on clinicaltrials.gov (ID: NCT04960865) under the protocol registration and results system. 2.2. Participants For experimental research, group sizes of approximately 30 participants are considered the minimum size to make a valid generalization.[24] Therefore, a total of 45 female college athletes (mean age 20.57 years, standard deviation (SD) 1.92) were selected for the study (Fig. 1 and Table 1). The inclusion criteria for the selected athletes were: college female athletes of the age group 19‐25 years who participated in training at least three times a week, and the participants should perform a minimum of 25 HR.[25] The exclusion criteria were: participants with a history of musculoskeletal injuries in the dominant lower limb, cardiopulmonary, vestibular, or neurological complications, and any systemic disorder diagnosed by a physician. Also, participants who consumed any pre-workout supplements in the last six months were excluded from the study. According to the study’s inclusion and exclusion criteria, participants were selected and randomly assigned to one of the three groups using the lottery method and the website Randomization.com (http://www.randomization.com) by an expert physiotherapist with 15 participants in each group: Experimental, Sham and Placebo group. A total of 45 chits, numbered 1 to 45, were placed in a box. For each participant included in the study, the physiotherapist picked a chit from the box, and that number was assigned to that participant. Random permutation of integers from 1 to 45 was generated for three groups using the website randomization.com and participants were allocated into the experimental, sham, or placebo group accordingly. The participants were unaware of the random sequence. The outcome assessor, who was different from the physiotherapist who generated the random allocation sequence, was also unaware of allocation and tape application. The study was carried out according to the Declaration of Helsinki guidelines. The Ethics Sub-Committee of the Institutional Review Board approved it (protocol code: RRC-2021-05 and date of approval 2 March 2021). The study was conducted on university premises from 6 September 2021 to 22 December 2021. Respondent’s demographic and variables data, n = 15 in each group. BMI = body mass index, HR = heel-rises, SD = standard deviation. CONSORT flow chart of the study showing the recruitment of participants. In the experimental group, KT was applied over the calf muscle with 50% stretch; in the sham group, KT was applied with 0% stretch; and in the Placebo group, the rigid tape was applied with 0% stretch. Before the application of any intervention, the risks and benefits of the study were discussed with the participants, and informed consent was obtained. The number of heel-rises (HRn) was the dependent variable, and taping method was the independent variable. For experimental research, group sizes of approximately 30 participants are considered the minimum size to make a valid generalization.[24] Therefore, a total of 45 female college athletes (mean age 20.57 years, standard deviation (SD) 1.92) were selected for the study (Fig. 1 and Table 1). The inclusion criteria for the selected athletes were: college female athletes of the age group 19‐25 years who participated in training at least three times a week, and the participants should perform a minimum of 25 HR.[25] The exclusion criteria were: participants with a history of musculoskeletal injuries in the dominant lower limb, cardiopulmonary, vestibular, or neurological complications, and any systemic disorder diagnosed by a physician. Also, participants who consumed any pre-workout supplements in the last six months were excluded from the study. According to the study’s inclusion and exclusion criteria, participants were selected and randomly assigned to one of the three groups using the lottery method and the website Randomization.com (http://www.randomization.com) by an expert physiotherapist with 15 participants in each group: Experimental, Sham and Placebo group. A total of 45 chits, numbered 1 to 45, were placed in a box. For each participant included in the study, the physiotherapist picked a chit from the box, and that number was assigned to that participant. Random permutation of integers from 1 to 45 was generated for three groups using the website randomization.com and participants were allocated into the experimental, sham, or placebo group accordingly. The participants were unaware of the random sequence. The outcome assessor, who was different from the physiotherapist who generated the random allocation sequence, was also unaware of allocation and tape application. The study was carried out according to the Declaration of Helsinki guidelines. The Ethics Sub-Committee of the Institutional Review Board approved it (protocol code: RRC-2021-05 and date of approval 2 March 2021). The study was conducted on university premises from 6 September 2021 to 22 December 2021. Respondent’s demographic and variables data, n = 15 in each group. BMI = body mass index, HR = heel-rises, SD = standard deviation. CONSORT flow chart of the study showing the recruitment of participants. In the experimental group, KT was applied over the calf muscle with 50% stretch; in the sham group, KT was applied with 0% stretch; and in the Placebo group, the rigid tape was applied with 0% stretch. Before the application of any intervention, the risks and benefits of the study were discussed with the participants, and informed consent was obtained. The number of heel-rises (HRn) was the dependent variable, and taping method was the independent variable. 2.3. Instrumentation Kinesio tape (Nasara kinesio tapeTM) Rigid tape Haberometer Metronome Kinesio tape (Nasara kinesio tapeTM) Rigid tape Haberometer Metronome 2.4. Study protocol This study consisted of 3 phases: pre-intervention evaluation, intervention, and post-intervention evaluation. 2.4.1. Preintervention evaluation. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used. A Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute. The HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare. Participants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used. A Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute. The HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare. Participants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided. 2.4.2. Intervention. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points. The following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17] 1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application. 3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application. Application of Y-shape Kinesio tape over calf muscle. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points. The following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17] 1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application. 3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application. Application of Y-shape Kinesio tape over calf muscle. 2.4.3. Post-intervention evaluation. After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation. Outcome measure: The number of heel-rises (HRn). After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation. Outcome measure: The number of heel-rises (HRn). This study consisted of 3 phases: pre-intervention evaluation, intervention, and post-intervention evaluation. 2.4.1. Preintervention evaluation. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used. A Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute. The HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare. Participants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used. A Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute. The HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare. Participants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided. 2.4.2. Intervention. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points. The following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17] 1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application. 3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application. Application of Y-shape Kinesio tape over calf muscle. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points. The following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17] 1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application. 3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application. Application of Y-shape Kinesio tape over calf muscle. 2.4.3. Post-intervention evaluation. After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation. Outcome measure: The number of heel-rises (HRn). After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation. Outcome measure: The number of heel-rises (HRn). 2.5. Data analysis SPSS statistical software, version 26 (SPSS Inc., Chicago, IL), was used for all data analyses. Data from 45 participants, 15 participants from each group, were analyzed. The normal distribution of the baseline values of the dependent variable (HR Pre) was evaluated using the Shapiro–Wilk normality test, which revealed the normal distribution in all three groups (Group A, P = .441; Group B, P = .288; Group C, P = .054). Therefore, parametric tests were used for with-in and between-group analyses. Paired sample test and one-way analysis of variance (ANOVA) were used for with-in-group and between-group comparison, respectively. P-value < .05 was considered significant, and the confidence interval was set at 95%. SPSS statistical software, version 26 (SPSS Inc., Chicago, IL), was used for all data analyses. Data from 45 participants, 15 participants from each group, were analyzed. The normal distribution of the baseline values of the dependent variable (HR Pre) was evaluated using the Shapiro–Wilk normality test, which revealed the normal distribution in all three groups (Group A, P = .441; Group B, P = .288; Group C, P = .054). Therefore, parametric tests were used for with-in and between-group analyses. Paired sample test and one-way analysis of variance (ANOVA) were used for with-in-group and between-group comparison, respectively. P-value < .05 was considered significant, and the confidence interval was set at 95%. 2.1. Study design and setting: This study had a 3-arm comparative pretest–post-test experimental research design, randomly allocating an equal number of participants into three groups (experimental, sham, and placebo). This study was registered prospectively on clinicaltrials.gov (ID: NCT04960865) under the protocol registration and results system. 2.2. Participants: For experimental research, group sizes of approximately 30 participants are considered the minimum size to make a valid generalization.[24] Therefore, a total of 45 female college athletes (mean age 20.57 years, standard deviation (SD) 1.92) were selected for the study (Fig. 1 and Table 1). The inclusion criteria for the selected athletes were: college female athletes of the age group 19‐25 years who participated in training at least three times a week, and the participants should perform a minimum of 25 HR.[25] The exclusion criteria were: participants with a history of musculoskeletal injuries in the dominant lower limb, cardiopulmonary, vestibular, or neurological complications, and any systemic disorder diagnosed by a physician. Also, participants who consumed any pre-workout supplements in the last six months were excluded from the study. According to the study’s inclusion and exclusion criteria, participants were selected and randomly assigned to one of the three groups using the lottery method and the website Randomization.com (http://www.randomization.com) by an expert physiotherapist with 15 participants in each group: Experimental, Sham and Placebo group. A total of 45 chits, numbered 1 to 45, were placed in a box. For each participant included in the study, the physiotherapist picked a chit from the box, and that number was assigned to that participant. Random permutation of integers from 1 to 45 was generated for three groups using the website randomization.com and participants were allocated into the experimental, sham, or placebo group accordingly. The participants were unaware of the random sequence. The outcome assessor, who was different from the physiotherapist who generated the random allocation sequence, was also unaware of allocation and tape application. The study was carried out according to the Declaration of Helsinki guidelines. The Ethics Sub-Committee of the Institutional Review Board approved it (protocol code: RRC-2021-05 and date of approval 2 March 2021). The study was conducted on university premises from 6 September 2021 to 22 December 2021. Respondent’s demographic and variables data, n = 15 in each group. BMI = body mass index, HR = heel-rises, SD = standard deviation. CONSORT flow chart of the study showing the recruitment of participants. In the experimental group, KT was applied over the calf muscle with 50% stretch; in the sham group, KT was applied with 0% stretch; and in the Placebo group, the rigid tape was applied with 0% stretch. Before the application of any intervention, the risks and benefits of the study were discussed with the participants, and informed consent was obtained. The number of heel-rises (HRn) was the dependent variable, and taping method was the independent variable. 2.3. Instrumentation: Kinesio tape (Nasara kinesio tapeTM) Rigid tape Haberometer Metronome 2.4. Study protocol: This study consisted of 3 phases: pre-intervention evaluation, intervention, and post-intervention evaluation. 2.4.1. Preintervention evaluation. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used. A Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute. The HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare. Participants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided. Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used. A Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute. The HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare. Participants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided. 2.4.2. Intervention. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points. The following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17] 1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application. 3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application. Application of Y-shape Kinesio tape over calf muscle. 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points. The following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17] 1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application. 3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application. Application of Y-shape Kinesio tape over calf muscle. 2.4.3. Post-intervention evaluation. After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation. Outcome measure: The number of heel-rises (HRn). After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation. Outcome measure: The number of heel-rises (HRn). 2.4.1. Preintervention evaluation.: Participants were asked to refrain from physical activities on the day of evaluation. Only the dominant lower extremity of the participants was evaluated, which was identified following a procedure that involved the participant kicking the ball, which was thrown towards them. Calf muscle fatigue was assessed using the HR test. To standardize the HR test, Haberometer and Metronome were used. A Haberometer is a device specifically designed to standardize the HR test. It is a reliable tool to measure calf muscle fatigability in healthy individuals.[26] Before the preintervention evaluation, the rod and foot positioning device in the Haberometer was adjusted to limit the height of each HR to 5 cm. A Metronome was also used to regulate the speed of the HR test. It is a device that generates sounds at a fixed interval. Users set this interval as the number of beats per minute. The HRn measurements: in the standing position, participants bent their non-dominant knee so that it was suspended in the air, and the test limb was in a weight-bearing position with the foot bare. Participants were asked to follow the sounds/beats of the metronome. At the first beat of the metronome, the participant lifted her heel until her navicular bone touched the rod of the Haberometer; then, this position was maintained until the next beat, at which the heel was lowered, and then the participant waited for the next beat. This heel raise and drop were performed at the rate of 23 lifts/minute, that is, 46 beats/minute.[26] For balance, participants were allowed to hold their hands against the wall. Participants had to perform this heel raise and drop until they could not maintain the pace of 23 lifts/minute, or they could not touch their navicular bone with the rod. Participants performed these movements in the presence of a physical therapy assistant so that incorrect or trick movements were avoided. 2.4.2. Intervention.: 1. In group A (experimental) ‐ Participants were asked to lie prone on a couch with both lower limbs straight and feet off the edge of the couch with a towel placed underneath the feet. Pink-coloured Kinesio tape was applied in the form of a Y-strip with 50% stretch over the calf muscle region (Fig. 2). Three points, that is, proximal, mid, and distal, were marked with a pen over the skin with the ankle at maximum dorsiflexion. The proximal point was marked 4 cm below the popliteal line, which denoted the origin of the calf muscle, and the distal point at 3 cm below the upper part of the posterior tuberosity, which indicated the insertion of the calf muscle, and the midpoint at the mid of proximal and distal points. The following sequence was used for tape application: the tape was cut into a Y strip, the ankle joint was kept in a neutral position, and both proximal ends of the Y strip were placed at the proximal line over the lateral borders of the calf muscle, now participants were asked to perform maximum dorsiflexion at the ankle, then the proximal halves of both strips were stretched to 50% and placed up to the midpoint, while maintaining ankle dorsiflexion, the distal halves of the Y strip were also stretched to 50% and placed from the midpoint to the upper part of the posterior tuberosity of the calcaneus and now ankle was brought to the neutral position, and distal ends of the strip were placed without any tension at the distal line (Fig. 2).[17] 1. In group B (sham) – blue coloured Y-strip KT was applied similarly as in group A from the origin of calf muscle near the knee joint to its insertion near the heel but without any tension. The same reference points were marked and used for tape application. 3. In group C (placebo) – white coloured Y-strip of rigid tape was applied similarly as in groups A and B from the origin of the calf muscle near the knee joint to its insertion near the heel without any tension. The same reference points were marked and used for tape application. The same physical therapist applied tapes to the three groups to maintain uniformity in tape application. Application of Y-shape Kinesio tape over calf muscle. 2.4.3. Post-intervention evaluation.: After a 30-minute gap, HRn was measured again similarly as in the case of preintervention evaluation. Outcome measure: The number of heel-rises (HRn). 2.5. Data analysis: SPSS statistical software, version 26 (SPSS Inc., Chicago, IL), was used for all data analyses. Data from 45 participants, 15 participants from each group, were analyzed. The normal distribution of the baseline values of the dependent variable (HR Pre) was evaluated using the Shapiro–Wilk normality test, which revealed the normal distribution in all three groups (Group A, P = .441; Group B, P = .288; Group C, P = .054). Therefore, parametric tests were used for with-in and between-group analyses. Paired sample test and one-way analysis of variance (ANOVA) were used for with-in-group and between-group comparison, respectively. P-value < .05 was considered significant, and the confidence interval was set at 95%. 3. Results: 3.1. With-in group comparison (paired samples test) (Table 2 ) Group A: There was a significant increase in HRn by 18.76% (P = .000) after applying KT under 50% tension. Group B: There were no significant differences in HRn before and after the application of sham KT (without any tension) (P = .136). Group C: There were no significant differences in HRn before and after applying the placebo rigid tape (P = .262). With-in group comparison (paired samples test) for all three groups. HR = heel-rises; SD = standard deviation. Significant. Group A: There was a significant increase in HRn by 18.76% (P = .000) after applying KT under 50% tension. Group B: There were no significant differences in HRn before and after the application of sham KT (without any tension) (P = .136). Group C: There were no significant differences in HRn before and after applying the placebo rigid tape (P = .262). With-in group comparison (paired samples test) for all three groups. HR = heel-rises; SD = standard deviation. Significant. 3.2. Between-group comparison (one-way ANOVA) (Table 3 ) One-way ANOVA (Bonferroni) revealed a significant difference in mean HRn differences between groups A and B (P = .020) and groups A and C (P = .000). There was no significant difference in mean differences of HRn between groups B and C (P = .226). Table 4 shows the effect size for one-way ANOVA. Results of the comparison between groups (one-way ANOVA). Significant. Effect size for one-way ANOVA. Significant. One-way ANOVA (Bonferroni) revealed a significant difference in mean HRn differences between groups A and B (P = .020) and groups A and C (P = .000). There was no significant difference in mean differences of HRn between groups B and C (P = .226). Table 4 shows the effect size for one-way ANOVA. Results of the comparison between groups (one-way ANOVA). Significant. Effect size for one-way ANOVA. Significant. 3.1. With-in group comparison (paired samples test) (Table 2 ): Group A: There was a significant increase in HRn by 18.76% (P = .000) after applying KT under 50% tension. Group B: There were no significant differences in HRn before and after the application of sham KT (without any tension) (P = .136). Group C: There were no significant differences in HRn before and after applying the placebo rigid tape (P = .262). With-in group comparison (paired samples test) for all three groups. HR = heel-rises; SD = standard deviation. Significant. 3.2. Between-group comparison (one-way ANOVA) (Table 3 ): One-way ANOVA (Bonferroni) revealed a significant difference in mean HRn differences between groups A and B (P = .020) and groups A and C (P = .000). There was no significant difference in mean differences of HRn between groups B and C (P = .226). Table 4 shows the effect size for one-way ANOVA. Results of the comparison between groups (one-way ANOVA). Significant. Effect size for one-way ANOVA. Significant. 4. Discussion: This study aimed to examine the effects of KT on muscle fatigue in the calf muscle. Results of the present study showed that KT when applied under tension, increased the resistance of calf muscle to fatigue. Those participants who had KT applied under tension to the calf muscle could perform more HRn than those who had sham KT or placebo rigid tape. Furthermore, the present study revealed that there was no difference in HRn between sham KT and placebo rigid tape. In the present study, calf muscle fatigue was assessed using the HR test because the standing HR test assesses the endurance capacities of the calf muscle in a closed kinetic chain.[25] In one of the previous studies, when participants had performed the standing HR test to exhaustion, a significant decrease in work was observed, as well as a reduction of the electromyographic mean power frequency of the calf muscle.[27] Therefore, these findings suggest that the standing HR test causes fatigue of the calf musculature.[28] In the present study, participants who were able to perform a minimum of 25 HR were recruited because, according to Lunsford and Perry,[25] individuals performing a minimum of 25 HR can be considered normal. The results of the present study indicate that the mechanism associated with muscle fatigue is influenced in some way by the application of KT. One of the possible explanations could be that KT may improve intramuscular blood flow. When muscles contract isometrically beyond 20% of maximum voluntary contraction, blood flow inside intramuscular capillaries is reported to decrease to 30 to 40 mm Hg.[29] As a result, oxygen supply is reduced and algogenic substances such as bradykinin and lactate are not drained.[30] It is hypothesized that lymphatic drainage[19] and blood flow[20] improve after applying KT to muscles. KT is assumed to improve blood circulation because it stimulates the autonomic nervous system, causing vasodilation in the area where KT is applied. Therefore, this improved lymphatic drainage and blood flow may increase oxygen supply and help to remove an increased amount of lactate and bradykinins, thus increasing muscle resistance to fatigue. Another mechanism proposed to support the role of KT in decreasing pain after fatigue is the facilitation of pain-gate control theory.[31] Other studies suggested that KT can improve EMG activation of the vastus medialis oblique muscle, increase stability sensation and decrease pain perception when applied to the knee joint.[32] In addition, some studies have reported an increase in muscle strength during concentric contraction,[33] isometric contractions,[34] and a normalization of muscle tone[35] after applying KT. Also, Slupik et al[36] reported increased EMG activity of quadriceps muscle after 24 hours of KT application. This might be partially attributed to the muscle alignment/activity and pain relief produced by KT. In addition to the mechanisms mentioned above, some placebo factors could contribute to muscle resistance to fatigue. Applying KT can psychologically affect individuals, causing changes in their expectations and behavior that may lead to more positive performance.[21] However, contrary findings have also been reported, for example, Fu et al[12] did not find significant differences in inhibition or facilitation of hamstring and quadriceps muscle strength. Furthermore, Poon et al[37] and Chang et al[10] reported no significant changes in muscle strength immediately after KT application. A recent study by Lee et al[38] reported that KT does not have significant positive effects on self-perceived fatigue level, muscle endurance, strength, and power. Some studies did not report an immediate increase in functional performance of healthy individuals without pain due to muscle fatigue after KT application, regardless of the deception of the participants and changes in tape tension.[39] The reason could be that these participants had good functional performance and were pain-free. Similarly, Yeung et al reported that with KT application, the time to reach peak torque generation was reduced in knee extensors; other than this, there was no positive effect on muscle performance.[40] The present study showed that when KT was applied to the calf muscle, it increased the resistance of the muscle to fatigue; therefore, KT can be applied to the calf muscle when athletes want to delay fatigue in this muscle. The results of the present study also have clinical implications, as the results indicate that KT when applied under tension, can significantly reduce the fatigability of the calf muscle; therefore, it can be used in clinical settings and sports activities to enhance muscle function and thus improve the overall performance of individuals. There are certain limitations in the present study, like the small sample size used. Furthermore, in the present study, fatigue was measured with a single variable only, that is, HRn; however, this single variable may not provide sufficient details regarding the fatigue mechanism and how KT affects it; therefore, further studies are needed that examine other variables as well, such as the concentration of lactate in blood or EMG. Furthermore, HRn was measured immediately after the application of KT; therefore, further studies should examine the medium and long-term effects of KT so that possible immediate effects of skin proprioception with the application of KT can be ruled out. Another limitation is the inclusion of only female participants; therefore, the results of the present study cannot be generalized to male participants due to hormonal differences. Furthermore, the fatigability of the calf muscle was measured using the HR test in a controlled environment, which includes only a single movement; however, in many sports, there is a combination of different movements. Therefore, further research should test the fatigability of calf muscle in athletes during actual sports. The present study supported using KT to reduce fatigue; however, whether KT application improves athletes’ performance during sports needs to be further evaluated. 5. Conclusion: The results of the present study accept the experimental hypothesis and conclude that the Y-shaped application of KT under tension has a significant role in reducing fatigability in calf muscle in collegiate female athletes.
Background: Fatigue is a common phenomenon encountered by athletes in ordinary life and sports. Fatigue results in decreased muscle strength, balance, agility, and an increased risk of injury, which together results in hampered sports performance. Several studies have examined the effects of Kinesio Tape (KT) application on muscle fatigue however, contradictory findings are reported. This study aimed to examine the effects of the application of KT on calf muscle fatigability. Methods: A three-arm parallel pretest-post-test experimental design was used. Forty-five collegiate female athletes (mean age of 20.57 years) were randomly assigned to three groups. For the experimental group, KT with 50% tension; for the sham group, KT without any tension; and for the placebo group, rigid tape without any tension was applied. The number of heel rises (HRn) was measured before and after taping in the three groups, using Haberometer and Metronome. The tapes were applied in the Y shape to the calf muscle region. Results: In the experimental group: The HRn significantly increased by 18.76 % (P = .000) after applying KT. In the sham and placebo groups: There was no change in HRn before and after Taping (P > .05). Conclusions: Y-shaped application of KT with 50% tension over the calf muscle region is effective in reducing its fatigability.
1. Introduction: Athletes encounter fatigue both in ordinary life and in sports. Fatigue can be defined as the reduced ability of a muscle to generate force during a contraction that gradually develops after the onset of prolonged physical activity.[1] Fatigue results in several harmful consequences, such as reduced strength,[2,3] agility,[4] balance,[3] and increased risk of injury,[2] which collectively results in decreased sports performance.[5] Kinesio tape (KT) is becoming popular among athletes to improve their performance, especially after Olympic athletes started using it.[6] In the last few years, several studies have been performed to assess the therapeutic effects of KT on various aspects like flexibility,[7] movements kinematic,[8] proprioception,[9] muscle strength,[10–12] blood circulation,[13] pain,[14] delayed onset muscle soreness,[15] range of motion,[16] and balance.[17] However, many studies have reported contradictory findings regarding the therapeutic effects of KT.[6] Similar is the case with fatigue, where different studies have reported contradictory results. Several factors are related to the development of muscular fatigue, such as the central nervous system-related, psychological, peripheral, and cellular factors.[18] Several studies have proposed that KT increases blood and lymph circulation, muscle activity, and proprioception[19,20] thereby it may reduce the harmful effects of fatigue.[21] Kase[19] suggested that an increase in blood and lymph circulation might support the transport of oxygen and exudates and aid cellular metabolism; as a result, muscle function might be improved.[22] Similarly, Kataoka and Ichimaru reported an increase in peripheral blood circulation due to KT after 20 minutes of cycling.[20] In addition, Alvarez-Alvarez et al[21] reported that the time to failure increased in lumbar extensor muscles after applying KT. However, some studies had not reported any benefit of KT on muscle fatigue. A study by Lins et al[23] argued that the tension generated by the tape is insufficient to increase the interstitial space in a rested condition to increase blood flow. A study by Stedge et al[13] reported no effect of KT when applied over gastrocnemius muscle on the endurance ratio over 30 isokinetic maximal plantar and dorsiflexion or on blood circulation. Therefore, these findings indicate the contradictory role of KT in minimizing the adverse effects of fatigue. KT is easy to apply over the muscle region and will not restrict joint movements. Thus, if the application of KT is proved effective in reducing the effects of fatigue on muscle performance, then the application of KT can be recommended for athletes during sports. Therefore, a study was warranted to examine the acute effects of KT on muscle performance measured by the heel rise (HR) test when applied to the calf muscle. Therefore, this study aimed to examine the acute effects of KT application on fatigability in the calf muscles. We hypothesized that KT application has a significant role in reducing calf muscle fatigability when applied over it. 5. Conclusion: Conceptualization: Avinash Rana, Masood Khan. Data curation: Avinash Rana. Formal analysis: Deepak Tyagi. Funding acquisition: Ahmad H. Alghadir. Investigation: Ahmad H. Alghadir. Methodology: Avinash Rana, Deepak Tyagi. Project administration: Ahmad H. Alghadir. Resources: Ahmad H. Alghadir. Software: Ahmad H. Alghadir. Supervision: Deepak Tyagi. Validation: Deepak Tyagi. Visualization: Deepak Tyagi. Writing – original draft: Avinash Rana, Masood Khan. Writing – review & editing: Masood Khan.
Background: Fatigue is a common phenomenon encountered by athletes in ordinary life and sports. Fatigue results in decreased muscle strength, balance, agility, and an increased risk of injury, which together results in hampered sports performance. Several studies have examined the effects of Kinesio Tape (KT) application on muscle fatigue however, contradictory findings are reported. This study aimed to examine the effects of the application of KT on calf muscle fatigability. Methods: A three-arm parallel pretest-post-test experimental design was used. Forty-five collegiate female athletes (mean age of 20.57 years) were randomly assigned to three groups. For the experimental group, KT with 50% tension; for the sham group, KT without any tension; and for the placebo group, rigid tape without any tension was applied. The number of heel rises (HRn) was measured before and after taping in the three groups, using Haberometer and Metronome. The tapes were applied in the Y shape to the calf muscle region. Results: In the experimental group: The HRn significantly increased by 18.76 % (P = .000) after applying KT. In the sham and placebo groups: There was no change in HRn before and after Taping (P > .05). Conclusions: Y-shaped application of KT with 50% tension over the calf muscle region is effective in reducing its fatigability.
10,715
269
[ 56, 512, 14, 1732, 362, 449, 34, 157, 112, 98, 37 ]
15
[ "participants", "muscle", "group", "calf", "calf muscle", "tape", "kt", "heel", "application", "test" ]
[ "kt reduce fatigue", "fatigue muscle results", "muscle fatigue study", "muscle fatigue participants", "effects fatigue kt" ]
[CONTENT] calf muscle | heel-rise test | Kinesio taping | muscle fatigue [SUMMARY]
[CONTENT] calf muscle | heel-rise test | Kinesio taping | muscle fatigue [SUMMARY]
[CONTENT] calf muscle | heel-rise test | Kinesio taping | muscle fatigue [SUMMARY]
[CONTENT] calf muscle | heel-rise test | Kinesio taping | muscle fatigue [SUMMARY]
[CONTENT] calf muscle | heel-rise test | Kinesio taping | muscle fatigue [SUMMARY]
[CONTENT] calf muscle | heel-rise test | Kinesio taping | muscle fatigue [SUMMARY]
[CONTENT] Adult | Female | Humans | Young Adult | Athletes | Athletic Tape | Muscle Fatigue | Muscle, Skeletal [SUMMARY]
[CONTENT] Adult | Female | Humans | Young Adult | Athletes | Athletic Tape | Muscle Fatigue | Muscle, Skeletal [SUMMARY]
[CONTENT] Adult | Female | Humans | Young Adult | Athletes | Athletic Tape | Muscle Fatigue | Muscle, Skeletal [SUMMARY]
[CONTENT] Adult | Female | Humans | Young Adult | Athletes | Athletic Tape | Muscle Fatigue | Muscle, Skeletal [SUMMARY]
[CONTENT] Adult | Female | Humans | Young Adult | Athletes | Athletic Tape | Muscle Fatigue | Muscle, Skeletal [SUMMARY]
[CONTENT] Adult | Female | Humans | Young Adult | Athletes | Athletic Tape | Muscle Fatigue | Muscle, Skeletal [SUMMARY]
[CONTENT] kt reduce fatigue | fatigue muscle results | muscle fatigue study | muscle fatigue participants | effects fatigue kt [SUMMARY]
[CONTENT] kt reduce fatigue | fatigue muscle results | muscle fatigue study | muscle fatigue participants | effects fatigue kt [SUMMARY]
[CONTENT] kt reduce fatigue | fatigue muscle results | muscle fatigue study | muscle fatigue participants | effects fatigue kt [SUMMARY]
[CONTENT] kt reduce fatigue | fatigue muscle results | muscle fatigue study | muscle fatigue participants | effects fatigue kt [SUMMARY]
[CONTENT] kt reduce fatigue | fatigue muscle results | muscle fatigue study | muscle fatigue participants | effects fatigue kt [SUMMARY]
[CONTENT] kt reduce fatigue | fatigue muscle results | muscle fatigue study | muscle fatigue participants | effects fatigue kt [SUMMARY]
[CONTENT] participants | muscle | group | calf | calf muscle | tape | kt | heel | application | test [SUMMARY]
[CONTENT] participants | muscle | group | calf | calf muscle | tape | kt | heel | application | test [SUMMARY]
[CONTENT] participants | muscle | group | calf | calf muscle | tape | kt | heel | application | test [SUMMARY]
[CONTENT] participants | muscle | group | calf | calf muscle | tape | kt | heel | application | test [SUMMARY]
[CONTENT] participants | muscle | group | calf | calf muscle | tape | kt | heel | application | test [SUMMARY]
[CONTENT] participants | muscle | group | calf | calf muscle | tape | kt | heel | application | test [SUMMARY]
[CONTENT] kt | muscle | effects | fatigue | reported | blood | studies | circulation | effects kt | performance [SUMMARY]
[CONTENT] participants | group | strip | calf muscle | muscle | calf | tape | distal | proximal | ankle [SUMMARY]
[CONTENT] significant | way anova | anova | way | differences | group | group significant | hrn | groups | differences hrn [SUMMARY]
[CONTENT] conclude shaped application kt | study accept | results present study accept | accept experimental hypothesis | collegiate female | accept experimental | accept | role reducing fatigability | role reducing fatigability calf | collegiate [SUMMARY]
[CONTENT] group | muscle | participants | significant | tape | kt | hrn | calf | calf muscle | study [SUMMARY]
[CONTENT] group | muscle | participants | significant | tape | kt | hrn | calf | calf muscle | study [SUMMARY]
[CONTENT] Fatigue ||| ||| Kinesio Tape | KT ||| KT [SUMMARY]
[CONTENT] three ||| Forty-five | age of 20.57 years | three ||| KT | 50% | the sham group | KT ||| three | Haberometer | Metronome ||| [SUMMARY]
[CONTENT] 18.76 % | .000 | KT ||| [SUMMARY]
[CONTENT] KT | 50% [SUMMARY]
[CONTENT] Fatigue ||| ||| Kinesio Tape | KT ||| KT ||| three ||| Forty-five | age of 20.57 years | three ||| KT | 50% | the sham group | KT ||| three | Haberometer | Metronome ||| ||| ||| 18.76 % | .000 | KT ||| ||| KT | 50% [SUMMARY]
[CONTENT] Fatigue ||| ||| Kinesio Tape | KT ||| KT ||| three ||| Forty-five | age of 20.57 years | three ||| KT | 50% | the sham group | KT ||| three | Haberometer | Metronome ||| ||| ||| 18.76 % | .000 | KT ||| ||| KT | 50% [SUMMARY]
The efficacy of irinotecan supplementation for colorectal cancer: A meta-analysis of randomized controlled studies.
36254072
The efficacy of irinotecan as the adjunctive therapy to fluorouracil and leucovorin remains controversial in patients with colorectal cancer. We conduct this meta-analysis to explore the efficacy of irinotecan supplementation for colorectal cancer.
BACKGROUND
We have searched PubMed, EMBASE, Web of science, EBSCO, and Cochrane library databases through March 19, 2020, and included randomized controlled trials assessing the efficacy of irinotecan plus fluorouracil and leucovorin for colorectal cancer.
METHODS
Five randomized controlled trials were included in the meta-analysis. Compared with fluorouracil and leucovorin for colorectal cancer, irinotecan supplementation could significantly improve progression-free survival rate (hazard ratio = 0.72; 95% confidence interval [CI] = 0.58-0.90; P = .003), median progression-free survival (standard mean difference = -0.30; 95% CI = -0.44 to -0.15; P < .0001), overall survival rate (hazard ratio = 0.77; 95% CI = 0.66-0.90; P = .001), and objective response (risk ratio [RR] = 0.57; 95% CI = 0.49-0.66; P < .00001) and decrease progressive disease (RR = 2.10; 95% CI = 1.40-3.14; P = .0003), but revealed no obvious effect on complete response (RR = 0.88; 95% CI = 0.33-2.29; P = .79). The incidence of grade ≥3 adverse events in irinotecan supplementation group was increased compared to control group (RR = 0.67; 95% CI = 0.57-0.79; P < .00001).
RESULTS
Irinotecan as the adjunctive therapy to fluorouracil and leucovorin can increase the survival and objective response of patients with colorectal cancer, but the incidence of grade ≥3 adverse events is found to be increased after irinotecan supplementation.
CONCLUSIONS
[ "Humans", "Antineoplastic Combined Chemotherapy Protocols", "Camptothecin", "Colorectal Neoplasms", "Dietary Supplements", "Fluorouracil", "Irinotecan", "Leucovorin", "Randomized Controlled Trials as Topic" ]
9575722
1. Introduction
Colorectal cancer is regarded as a significant cause of mortality.[1–3] The prognosis of these patients is determined by the stages of colorectal cancer, and 5-year survival rates of stage I, II, and III after surgical intervention are 93.2%, 82.5%, and 59.5%, respectively. Especially, 5-year survival rate of stage IV is only 8.1%.[4] Many patients with resected cancer may suffer from recurrence.[5,6] Fluorouracil and leucovorin have been widely used for colorectal cancer,[7] and are reported to reduce the recurrence rate and improve survival.[8] In order to improve the treatment efficacy, irinotecan or oxaliplatin is used combined with fluorouracil and leucovorin, and these combinations are generally regarded as the effective approach for advanced colorectal cancer.[9,10] In elderly patients, irinotecan or oxaliplatin in combination with fluorouracil is well tolerated and shows similar efficacy between elderly and younger patients.[11] In metastatic colorectal cancer, combining irinotecan with fluorouracil results in a remarkable increase in progression-free survival and overall survival than fluorouracil alone.[12] However, current evidence is insufficient for routine use of irinotecan supplementation for colorectal cancer, and several studies have reported the conflicting results of irinotecan supplementation for colorectal cancer.[4,9,13,14] This meta-analysis aims to assess the efficacy and safety of irinotecan in combination with fluorouracil and leucovorin for colorectal cancer.
2. Materials and methods
This meta-analysis was performed based on the Preferred Reporting Items for Systematic Reviews and Meta-analysis statement and Cochrane Handbook for Systematic Reviews of Interventions.[15,16] No ethical approval and patient consent were required because all analyses were based on previously published studies. 2.1. Literature search We have systematically searched several databases including PubMed, EMBASE, Web of science, EBSCO, and the Cochrane library from inception to March 19, 2020 with the following keywords: “irinotecan” AND “fluorouracil” AND “leucovorin” AND “colorectal cancer” OR “colon cancer” OR “rectal cancer”. The inclusion criteria were as follows: study design was RCT, patients were diagnosed with colorectal cancer, and intervention treatments were irinotecan plus fluorouracil and leucovorin versus only fluorouracil and leucovorin. Patients who previously received pelvic radiotherapy were excluded. We have systematically searched several databases including PubMed, EMBASE, Web of science, EBSCO, and the Cochrane library from inception to March 19, 2020 with the following keywords: “irinotecan” AND “fluorouracil” AND “leucovorin” AND “colorectal cancer” OR “colon cancer” OR “rectal cancer”. The inclusion criteria were as follows: study design was RCT, patients were diagnosed with colorectal cancer, and intervention treatments were irinotecan plus fluorouracil and leucovorin versus only fluorouracil and leucovorin. Patients who previously received pelvic radiotherapy were excluded. 2.2. Data extraction and outcome measures Some baseline information was extracted, and they included first author, number of patients, age, sex, performance status, primary tumor site (colon/ rectum/both), and detail methods in 2 groups. Data were extracted independently by 2 investigators, and discrepancies were resolved by consensus. The primary outcomes were progression-free survival rate, median progression-free survival, and overall survival rate. Secondary outcomes included objective response, progressive disease, complete response, and grade ≥3 adverse events. Some baseline information was extracted, and they included first author, number of patients, age, sex, performance status, primary tumor site (colon/ rectum/both), and detail methods in 2 groups. Data were extracted independently by 2 investigators, and discrepancies were resolved by consensus. The primary outcomes were progression-free survival rate, median progression-free survival, and overall survival rate. Secondary outcomes included objective response, progressive disease, complete response, and grade ≥3 adverse events. 2.3. Assessment for risk of bias The risk of bias tool was used to assess the quality of individual studies according to the Cochrane Handbook for Systematic Reviews of Interventions,[16] and the sources of bias were divided into selection bias, performance bias, attrition bias, detection bias, reporting bias, and other potential sources of bias. The overall risk of bias for each study was evaluated and rated: low, unclear, and high.[17] Two investigators independently assessed the quality of included studies, and any discrepancy was solved by consensus. The risk of bias tool was used to assess the quality of individual studies according to the Cochrane Handbook for Systematic Reviews of Interventions,[16] and the sources of bias were divided into selection bias, performance bias, attrition bias, detection bias, reporting bias, and other potential sources of bias. The overall risk of bias for each study was evaluated and rated: low, unclear, and high.[17] Two investigators independently assessed the quality of included studies, and any discrepancy was solved by consensus. 2.4. Statistical analysis We assessed hazard ratio (HR) or risk ratio (RR) with 95% confidence interval (CI) for dichotomous outcomes (progression-free survival rate, overall survival rate, objective response, progressive disease, complete response, and grade ≥3 adverse events) and standard mean difference with 95% CI for continuous outcome (median progression-free survival). Heterogeneity was evaluated by the I2 statistic, and I2 > 50% indicated significant heterogeneity.[18] The random-effects model was used when encountering significant heterogeneity, while fixed-effects model was applied when no significant heterogeneity was found. We searched for potential sources of heterogeneity, and sensitivity analysis was performed to detect the influence of a single study on the overall estimate via omitting 1 study in turn or conducting the subgroup analysis. Owing to the limited number (<10) of included studies, publication bias was not assessed. A P value of <.05 was indicated to be statistically significant. All statistical analyses were performed using Review Manager Version 5.3 (The Cochrane Collaboration, Software Update, Oxford, United Kingdom). We assessed hazard ratio (HR) or risk ratio (RR) with 95% confidence interval (CI) for dichotomous outcomes (progression-free survival rate, overall survival rate, objective response, progressive disease, complete response, and grade ≥3 adverse events) and standard mean difference with 95% CI for continuous outcome (median progression-free survival). Heterogeneity was evaluated by the I2 statistic, and I2 > 50% indicated significant heterogeneity.[18] The random-effects model was used when encountering significant heterogeneity, while fixed-effects model was applied when no significant heterogeneity was found. We searched for potential sources of heterogeneity, and sensitivity analysis was performed to detect the influence of a single study on the overall estimate via omitting 1 study in turn or conducting the subgroup analysis. Owing to the limited number (<10) of included studies, publication bias was not assessed. A P value of <.05 was indicated to be statistically significant. All statistical analyses were performed using Review Manager Version 5.3 (The Cochrane Collaboration, Software Update, Oxford, United Kingdom).
3. Results
3.1. Literature search, study characteristics, and quality assessment Figure 1 shows the detail flowchart of the search and selection results. Five hundred ninety-eight potentially relevant articles were initially identified. Two hundred twenty-three duplicates and 366 papers after checking the titles/abstracts were excluded. Four studies were removed because of different combination drugs, and 5 randomized controlled trials (RCTs) were finally included in the meta-analysis.[4,9,13,14,19] Flow diagram of study searching and selection process. The baseline characteristics of 5 included RCTs are shown in Table 1. These studies were published between 2000 and 2015, and the total sample size was 4536. All included RCTs reported irinotecan as the adjunctive therapy to fluorouracil and leucovorin, and the methods between irinotecan group and control group were different in each RCT, detailed in Table 1. In the study by Saltz,[14] we just extracted the data of study 2 (Douillard) for this meta-analysis in order to avoid the duplicated data of Saltz.[19] Characteristics of included studies. CI = continuous infusion, IV = intravenous. Four studies reported progression-free survival rate,[4,9,13,19] 2 studies reported median progression-free survival,[9,13] 4 studies reported overall survival rate and objective response,[9,13,14,19] 2 studies reported progressive disease and complete response,[9,13] and 3 studies reported grade ≥3 adverse events.[9,13,19] Figure 1 shows the detail flowchart of the search and selection results. Five hundred ninety-eight potentially relevant articles were initially identified. Two hundred twenty-three duplicates and 366 papers after checking the titles/abstracts were excluded. Four studies were removed because of different combination drugs, and 5 randomized controlled trials (RCTs) were finally included in the meta-analysis.[4,9,13,14,19] Flow diagram of study searching and selection process. The baseline characteristics of 5 included RCTs are shown in Table 1. These studies were published between 2000 and 2015, and the total sample size was 4536. All included RCTs reported irinotecan as the adjunctive therapy to fluorouracil and leucovorin, and the methods between irinotecan group and control group were different in each RCT, detailed in Table 1. In the study by Saltz,[14] we just extracted the data of study 2 (Douillard) for this meta-analysis in order to avoid the duplicated data of Saltz.[19] Characteristics of included studies. CI = continuous infusion, IV = intravenous. Four studies reported progression-free survival rate,[4,9,13,19] 2 studies reported median progression-free survival,[9,13] 4 studies reported overall survival rate and objective response,[9,13,14,19] 2 studies reported progressive disease and complete response,[9,13] and 3 studies reported grade ≥3 adverse events.[9,13,19] 3.2. Assessment of risk of bias Risk of bias analysis is presented in Figure 2. These 5 included RCTs generally had high quality although 4 studies had high risk of bias due to their nonblindness.[4,9,14,19] Risk of bias assessment. (A) Authors’ judgments about each risk of bias item for each included study. (B) Authors’ judgments about each risk of bias item are presented as percentages across all included studies. Risk of bias analysis is presented in Figure 2. These 5 included RCTs generally had high quality although 4 studies had high risk of bias due to their nonblindness.[4,9,14,19] Risk of bias assessment. (A) Authors’ judgments about each risk of bias item for each included study. (B) Authors’ judgments about each risk of bias item are presented as percentages across all included studies. 3.3. Primary outcomes: progression-free survival rate, median progression-free survival, and overall survival rate Compared to control group for colorectal cancer, irinotecan supplementation was associated with substantially improved progression-free survival rate (HR = 0.72; 95% CI = 0.58–0.90; P = .003) with significant heterogeneity among the studies (I2 = 88%, heterogeneity P < .0001; Fig. 3), median progression-free survival (standard mean difference = –0.30; 95% CI = –0.44 to –0.15; P < .0001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .79; Fig. 4), and overall survival rate (HR = 0.77; 95% CI = 0.66–0.90; P = .001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .98; Fig. 5). Forest plot for the meta-analysis of progression-free survival rate. CI = confidence interval, IV = intravenous, SE = standard error. Forest plot for the meta-analysis of median progression-free survival (month). CI = confidence interval, IV = intravenous, SE = standard error. Forest plot for the meta-analysis of overall survival rate. CI = confidence interval, IV = intravenous, SE = standard error. Compared to control group for colorectal cancer, irinotecan supplementation was associated with substantially improved progression-free survival rate (HR = 0.72; 95% CI = 0.58–0.90; P = .003) with significant heterogeneity among the studies (I2 = 88%, heterogeneity P < .0001; Fig. 3), median progression-free survival (standard mean difference = –0.30; 95% CI = –0.44 to –0.15; P < .0001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .79; Fig. 4), and overall survival rate (HR = 0.77; 95% CI = 0.66–0.90; P = .001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .98; Fig. 5). Forest plot for the meta-analysis of progression-free survival rate. CI = confidence interval, IV = intravenous, SE = standard error. Forest plot for the meta-analysis of median progression-free survival (month). CI = confidence interval, IV = intravenous, SE = standard error. Forest plot for the meta-analysis of overall survival rate. CI = confidence interval, IV = intravenous, SE = standard error. 3.4. Sensitivity analysis There was significant heterogeneity for progression-free survival rate, but no heterogeneity was observed for median progression-free survival or overall survival rate. As shown in Figure 3, the study conducted by Van Cutsem et al[4] showed the results that were almost completely out of range of the others and probably contributed to the heterogeneity. After excluding that study, the results suggested that irinotecan supplementation could also improve progression-free survival rate for colorectal cancer than control intervention (HR = 0.65; 95% CI = 0.63–0.67; P < .00001). No evidence of heterogeneity was observed among the remaining studies (I2 = 0%). There was significant heterogeneity for progression-free survival rate, but no heterogeneity was observed for median progression-free survival or overall survival rate. As shown in Figure 3, the study conducted by Van Cutsem et al[4] showed the results that were almost completely out of range of the others and probably contributed to the heterogeneity. After excluding that study, the results suggested that irinotecan supplementation could also improve progression-free survival rate for colorectal cancer than control intervention (HR = 0.65; 95% CI = 0.63–0.67; P < .00001). No evidence of heterogeneity was observed among the remaining studies (I2 = 0%). 3.5. Secondary outcomes In comparison with control group for colorectal cancer, irinotecan supplementation showed the obvious increase in objective response (RR = 0.57; 95% CI = 0.49–0.66; P < .00001; Fig. 6) and the decrease in progressive disease (RR = 2.10; 95% CI = 1.40–3.14; P = .0003; Fig. 7), but had no substantial impact on complete response (RR = 0.89; 95% CI = 0.37–2.13; P = .79; Fig. 8). In addition, the incidence of grade ≥3 adverse events in irinotecan supplementation group was higher than that in control group (RR = 0.67; 95% CI = 0.57–0.79; P < .00001; Fig. 9). Forest plot for the meta-analysis of objective response. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of progressive disease. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of complete response. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of grade ≥3 adverse events. CI = confidence interval, IV = intravenous. In comparison with control group for colorectal cancer, irinotecan supplementation showed the obvious increase in objective response (RR = 0.57; 95% CI = 0.49–0.66; P < .00001; Fig. 6) and the decrease in progressive disease (RR = 2.10; 95% CI = 1.40–3.14; P = .0003; Fig. 7), but had no substantial impact on complete response (RR = 0.89; 95% CI = 0.37–2.13; P = .79; Fig. 8). In addition, the incidence of grade ≥3 adverse events in irinotecan supplementation group was higher than that in control group (RR = 0.67; 95% CI = 0.57–0.79; P < .00001; Fig. 9). Forest plot for the meta-analysis of objective response. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of progressive disease. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of complete response. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of grade ≥3 adverse events. CI = confidence interval, IV = intravenous.
5. Conclusion
Irinotecan supplementation can improve the survival and objective response of colorectal cancer patients receiving fluorouracil and leucovorin, but with the increase in grade ≥3 adverse events.
[ "2.1. Literature search", "2.2. Data extraction and outcome measures", "2.3. Assessment for risk of bias", "2.4. Statistical analysis", "3.1. Literature search, study characteristics, and quality assessment", "3.2. Assessment of risk of bias", "3.3. Primary outcomes: progression-free survival rate, median progression-free survival, and overall survival rate", "3.4. Sensitivity analysis", "3.5. Secondary outcomes", "5. Conclusion" ]
[ "We have systematically searched several databases including PubMed, EMBASE, Web of science, EBSCO, and the Cochrane library from inception to March 19, 2020 with the following keywords: “irinotecan” AND “fluorouracil” AND “leucovorin” AND “colorectal cancer” OR “colon cancer” OR “rectal cancer”.\nThe inclusion criteria were as follows: study design was RCT, patients were diagnosed with colorectal cancer, and intervention treatments were irinotecan plus fluorouracil and leucovorin versus only fluorouracil and leucovorin. Patients who previously received pelvic radiotherapy were excluded.", "Some baseline information was extracted, and they included first author, number of patients, age, sex, performance status, primary tumor site (colon/ rectum/both), and detail methods in 2 groups. Data were extracted independently by 2 investigators, and discrepancies were resolved by consensus. The primary outcomes were progression-free survival rate, median progression-free survival, and overall survival rate. Secondary outcomes included objective response, progressive disease, complete response, and grade ≥3 adverse events.", "The risk of bias tool was used to assess the quality of individual studies according to the Cochrane Handbook for Systematic Reviews of Interventions,[16] and the sources of bias were divided into selection bias, performance bias, attrition bias, detection bias, reporting bias, and other potential sources of bias. The overall risk of bias for each study was evaluated and rated: low, unclear, and high.[17] Two investigators independently assessed the quality of included studies, and any discrepancy was solved by consensus.", "We assessed hazard ratio (HR) or risk ratio (RR) with 95% confidence interval (CI) for dichotomous outcomes (progression-free survival rate, overall survival rate, objective response, progressive disease, complete response, and grade ≥3 adverse events) and standard mean difference with 95% CI for continuous outcome (median progression-free survival). Heterogeneity was evaluated by the I2 statistic, and I2 > 50% indicated significant heterogeneity.[18] The random-effects model was used when encountering significant heterogeneity, while fixed-effects model was applied when no significant heterogeneity was found. We searched for potential sources of heterogeneity, and sensitivity analysis was performed to detect the influence of a single study on the overall estimate via omitting 1 study in turn or conducting the subgroup analysis. Owing to the limited number (<10) of included studies, publication bias was not assessed. A P value of <.05 was indicated to be statistically significant. All statistical analyses were performed using Review Manager Version 5.3 (The Cochrane Collaboration, Software Update, Oxford, United Kingdom).", "Figure 1 shows the detail flowchart of the search and selection results. Five hundred ninety-eight potentially relevant articles were initially identified. Two hundred twenty-three duplicates and 366 papers after checking the titles/abstracts were excluded. Four studies were removed because of different combination drugs, and 5 randomized controlled trials (RCTs) were finally included in the meta-analysis.[4,9,13,14,19]\nFlow diagram of study searching and selection process.\nThe baseline characteristics of 5 included RCTs are shown in Table 1. These studies were published between 2000 and 2015, and the total sample size was 4536. All included RCTs reported irinotecan as the adjunctive therapy to fluorouracil and leucovorin, and the methods between irinotecan group and control group were different in each RCT, detailed in Table 1. In the study by Saltz,[14] we just extracted the data of study 2 (Douillard) for this meta-analysis in order to avoid the duplicated data of Saltz.[19]\nCharacteristics of included studies.\nCI = continuous infusion, IV = intravenous.\nFour studies reported progression-free survival rate,[4,9,13,19] 2 studies reported median progression-free survival,[9,13] 4 studies reported overall survival rate and objective response,[9,13,14,19] 2 studies reported progressive disease and complete response,[9,13] and 3 studies reported grade ≥3 adverse events.[9,13,19]", "Risk of bias analysis is presented in Figure 2. These 5 included RCTs generally had high quality although 4 studies had high risk of bias due to their nonblindness.[4,9,14,19]\nRisk of bias assessment. (A) Authors’ judgments about each risk of bias item for each included study. (B) Authors’ judgments about each risk of bias item are presented as percentages across all included studies.", "Compared to control group for colorectal cancer, irinotecan supplementation was associated with substantially improved progression-free survival rate (HR = 0.72; 95% CI = 0.58–0.90; P = .003) with significant heterogeneity among the studies (I2 = 88%, heterogeneity P < .0001; Fig. 3), median progression-free survival (standard mean difference = –0.30; 95% CI = –0.44 to –0.15; P < .0001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .79; Fig. 4), and overall survival rate (HR = 0.77; 95% CI = 0.66–0.90; P = .001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .98; Fig. 5).\nForest plot for the meta-analysis of progression-free survival rate. CI = confidence interval, IV = intravenous, SE = standard error.\nForest plot for the meta-analysis of median progression-free survival (month). CI = confidence interval, IV = intravenous, SE = standard error.\nForest plot for the meta-analysis of overall survival rate. CI = confidence interval, IV = intravenous, SE = standard error.", "There was significant heterogeneity for progression-free survival rate, but no heterogeneity was observed for median progression-free survival or overall survival rate. As shown in Figure 3, the study conducted by Van Cutsem et al[4] showed the results that were almost completely out of range of the others and probably contributed to the heterogeneity. After excluding that study, the results suggested that irinotecan supplementation could also improve progression-free survival rate for colorectal cancer than control intervention (HR = 0.65; 95% CI = 0.63–0.67; P < .00001). No evidence of heterogeneity was observed among the remaining studies (I2 = 0%).", "In comparison with control group for colorectal cancer, irinotecan supplementation showed the obvious increase in objective response (RR = 0.57; 95% CI = 0.49–0.66; P < .00001; Fig. 6) and the decrease in progressive disease (RR = 2.10; 95% CI = 1.40–3.14; P = .0003; Fig. 7), but had no substantial impact on complete response (RR = 0.89; 95% CI = 0.37–2.13; P = .79; Fig. 8). In addition, the incidence of grade ≥3 adverse events in irinotecan supplementation group was higher than that in control group (RR = 0.67; 95% CI = 0.57–0.79; P < .00001; Fig. 9).\nForest plot for the meta-analysis of objective response. CI = confidence interval, IV = intravenous.\nForest plot for the meta-analysis of progressive disease. CI = confidence interval, IV = intravenous.\nForest plot for the meta-analysis of complete response. CI = confidence interval, IV = intravenous.\nForest plot for the meta-analysis of grade ≥3 adverse events. CI = confidence interval, IV = intravenous.", "Irinotecan supplementation can improve the survival and objective response of colorectal cancer patients receiving fluorouracil and leucovorin, but with the increase in grade ≥3 adverse events." ]
[ null, null, null, null, null, null, null, null, null, null ]
[ "1. Introduction", "2. Materials and methods", "2.1. Literature search", "2.2. Data extraction and outcome measures", "2.3. Assessment for risk of bias", "2.4. Statistical analysis", "3. Results", "3.1. Literature search, study characteristics, and quality assessment", "3.2. Assessment of risk of bias", "3.3. Primary outcomes: progression-free survival rate, median progression-free survival, and overall survival rate", "3.4. Sensitivity analysis", "3.5. Secondary outcomes", "4. Discussion", "5. Conclusion" ]
[ "Colorectal cancer is regarded as a significant cause of mortality.[1–3] The prognosis of these patients is determined by the stages of colorectal cancer, and 5-year survival rates of stage I, II, and III after surgical intervention are 93.2%, 82.5%, and 59.5%, respectively. Especially, 5-year survival rate of stage IV is only 8.1%.[4] Many patients with resected cancer may suffer from recurrence.[5,6] Fluorouracil and leucovorin have been widely used for colorectal cancer,[7] and are reported to reduce the recurrence rate and improve survival.[8]\nIn order to improve the treatment efficacy, irinotecan or oxaliplatin is used combined with fluorouracil and leucovorin, and these combinations are generally regarded as the effective approach for advanced colorectal cancer.[9,10] In elderly patients, irinotecan or oxaliplatin in combination with fluorouracil is well tolerated and shows similar efficacy between elderly and younger patients.[11] In metastatic colorectal cancer, combining irinotecan with fluorouracil results in a remarkable increase in progression-free survival and overall survival than fluorouracil alone.[12]\nHowever, current evidence is insufficient for routine use of irinotecan supplementation for colorectal cancer, and several studies have reported the conflicting results of irinotecan supplementation for colorectal cancer.[4,9,13,14] This meta-analysis aims to assess the efficacy and safety of irinotecan in combination with fluorouracil and leucovorin for colorectal cancer.", "This meta-analysis was performed based on the Preferred Reporting Items for Systematic Reviews and Meta-analysis statement and Cochrane Handbook for Systematic Reviews of Interventions.[15,16] No ethical approval and patient consent were required because all analyses were based on previously published studies.\n 2.1. Literature search We have systematically searched several databases including PubMed, EMBASE, Web of science, EBSCO, and the Cochrane library from inception to March 19, 2020 with the following keywords: “irinotecan” AND “fluorouracil” AND “leucovorin” AND “colorectal cancer” OR “colon cancer” OR “rectal cancer”.\nThe inclusion criteria were as follows: study design was RCT, patients were diagnosed with colorectal cancer, and intervention treatments were irinotecan plus fluorouracil and leucovorin versus only fluorouracil and leucovorin. Patients who previously received pelvic radiotherapy were excluded.\nWe have systematically searched several databases including PubMed, EMBASE, Web of science, EBSCO, and the Cochrane library from inception to March 19, 2020 with the following keywords: “irinotecan” AND “fluorouracil” AND “leucovorin” AND “colorectal cancer” OR “colon cancer” OR “rectal cancer”.\nThe inclusion criteria were as follows: study design was RCT, patients were diagnosed with colorectal cancer, and intervention treatments were irinotecan plus fluorouracil and leucovorin versus only fluorouracil and leucovorin. Patients who previously received pelvic radiotherapy were excluded.\n 2.2. Data extraction and outcome measures Some baseline information was extracted, and they included first author, number of patients, age, sex, performance status, primary tumor site (colon/ rectum/both), and detail methods in 2 groups. Data were extracted independently by 2 investigators, and discrepancies were resolved by consensus. The primary outcomes were progression-free survival rate, median progression-free survival, and overall survival rate. Secondary outcomes included objective response, progressive disease, complete response, and grade ≥3 adverse events.\nSome baseline information was extracted, and they included first author, number of patients, age, sex, performance status, primary tumor site (colon/ rectum/both), and detail methods in 2 groups. Data were extracted independently by 2 investigators, and discrepancies were resolved by consensus. The primary outcomes were progression-free survival rate, median progression-free survival, and overall survival rate. Secondary outcomes included objective response, progressive disease, complete response, and grade ≥3 adverse events.\n 2.3. Assessment for risk of bias The risk of bias tool was used to assess the quality of individual studies according to the Cochrane Handbook for Systematic Reviews of Interventions,[16] and the sources of bias were divided into selection bias, performance bias, attrition bias, detection bias, reporting bias, and other potential sources of bias. The overall risk of bias for each study was evaluated and rated: low, unclear, and high.[17] Two investigators independently assessed the quality of included studies, and any discrepancy was solved by consensus.\nThe risk of bias tool was used to assess the quality of individual studies according to the Cochrane Handbook for Systematic Reviews of Interventions,[16] and the sources of bias were divided into selection bias, performance bias, attrition bias, detection bias, reporting bias, and other potential sources of bias. The overall risk of bias for each study was evaluated and rated: low, unclear, and high.[17] Two investigators independently assessed the quality of included studies, and any discrepancy was solved by consensus.\n 2.4. Statistical analysis We assessed hazard ratio (HR) or risk ratio (RR) with 95% confidence interval (CI) for dichotomous outcomes (progression-free survival rate, overall survival rate, objective response, progressive disease, complete response, and grade ≥3 adverse events) and standard mean difference with 95% CI for continuous outcome (median progression-free survival). Heterogeneity was evaluated by the I2 statistic, and I2 > 50% indicated significant heterogeneity.[18] The random-effects model was used when encountering significant heterogeneity, while fixed-effects model was applied when no significant heterogeneity was found. We searched for potential sources of heterogeneity, and sensitivity analysis was performed to detect the influence of a single study on the overall estimate via omitting 1 study in turn or conducting the subgroup analysis. Owing to the limited number (<10) of included studies, publication bias was not assessed. A P value of <.05 was indicated to be statistically significant. All statistical analyses were performed using Review Manager Version 5.3 (The Cochrane Collaboration, Software Update, Oxford, United Kingdom).\nWe assessed hazard ratio (HR) or risk ratio (RR) with 95% confidence interval (CI) for dichotomous outcomes (progression-free survival rate, overall survival rate, objective response, progressive disease, complete response, and grade ≥3 adverse events) and standard mean difference with 95% CI for continuous outcome (median progression-free survival). Heterogeneity was evaluated by the I2 statistic, and I2 > 50% indicated significant heterogeneity.[18] The random-effects model was used when encountering significant heterogeneity, while fixed-effects model was applied when no significant heterogeneity was found. We searched for potential sources of heterogeneity, and sensitivity analysis was performed to detect the influence of a single study on the overall estimate via omitting 1 study in turn or conducting the subgroup analysis. Owing to the limited number (<10) of included studies, publication bias was not assessed. A P value of <.05 was indicated to be statistically significant. All statistical analyses were performed using Review Manager Version 5.3 (The Cochrane Collaboration, Software Update, Oxford, United Kingdom).", "We have systematically searched several databases including PubMed, EMBASE, Web of science, EBSCO, and the Cochrane library from inception to March 19, 2020 with the following keywords: “irinotecan” AND “fluorouracil” AND “leucovorin” AND “colorectal cancer” OR “colon cancer” OR “rectal cancer”.\nThe inclusion criteria were as follows: study design was RCT, patients were diagnosed with colorectal cancer, and intervention treatments were irinotecan plus fluorouracil and leucovorin versus only fluorouracil and leucovorin. Patients who previously received pelvic radiotherapy were excluded.", "Some baseline information was extracted, and they included first author, number of patients, age, sex, performance status, primary tumor site (colon/ rectum/both), and detail methods in 2 groups. Data were extracted independently by 2 investigators, and discrepancies were resolved by consensus. The primary outcomes were progression-free survival rate, median progression-free survival, and overall survival rate. Secondary outcomes included objective response, progressive disease, complete response, and grade ≥3 adverse events.", "The risk of bias tool was used to assess the quality of individual studies according to the Cochrane Handbook for Systematic Reviews of Interventions,[16] and the sources of bias were divided into selection bias, performance bias, attrition bias, detection bias, reporting bias, and other potential sources of bias. The overall risk of bias for each study was evaluated and rated: low, unclear, and high.[17] Two investigators independently assessed the quality of included studies, and any discrepancy was solved by consensus.", "We assessed hazard ratio (HR) or risk ratio (RR) with 95% confidence interval (CI) for dichotomous outcomes (progression-free survival rate, overall survival rate, objective response, progressive disease, complete response, and grade ≥3 adverse events) and standard mean difference with 95% CI for continuous outcome (median progression-free survival). Heterogeneity was evaluated by the I2 statistic, and I2 > 50% indicated significant heterogeneity.[18] The random-effects model was used when encountering significant heterogeneity, while fixed-effects model was applied when no significant heterogeneity was found. We searched for potential sources of heterogeneity, and sensitivity analysis was performed to detect the influence of a single study on the overall estimate via omitting 1 study in turn or conducting the subgroup analysis. Owing to the limited number (<10) of included studies, publication bias was not assessed. A P value of <.05 was indicated to be statistically significant. All statistical analyses were performed using Review Manager Version 5.3 (The Cochrane Collaboration, Software Update, Oxford, United Kingdom).", " 3.1. Literature search, study characteristics, and quality assessment Figure 1 shows the detail flowchart of the search and selection results. Five hundred ninety-eight potentially relevant articles were initially identified. Two hundred twenty-three duplicates and 366 papers after checking the titles/abstracts were excluded. Four studies were removed because of different combination drugs, and 5 randomized controlled trials (RCTs) were finally included in the meta-analysis.[4,9,13,14,19]\nFlow diagram of study searching and selection process.\nThe baseline characteristics of 5 included RCTs are shown in Table 1. These studies were published between 2000 and 2015, and the total sample size was 4536. All included RCTs reported irinotecan as the adjunctive therapy to fluorouracil and leucovorin, and the methods between irinotecan group and control group were different in each RCT, detailed in Table 1. In the study by Saltz,[14] we just extracted the data of study 2 (Douillard) for this meta-analysis in order to avoid the duplicated data of Saltz.[19]\nCharacteristics of included studies.\nCI = continuous infusion, IV = intravenous.\nFour studies reported progression-free survival rate,[4,9,13,19] 2 studies reported median progression-free survival,[9,13] 4 studies reported overall survival rate and objective response,[9,13,14,19] 2 studies reported progressive disease and complete response,[9,13] and 3 studies reported grade ≥3 adverse events.[9,13,19]\nFigure 1 shows the detail flowchart of the search and selection results. Five hundred ninety-eight potentially relevant articles were initially identified. Two hundred twenty-three duplicates and 366 papers after checking the titles/abstracts were excluded. Four studies were removed because of different combination drugs, and 5 randomized controlled trials (RCTs) were finally included in the meta-analysis.[4,9,13,14,19]\nFlow diagram of study searching and selection process.\nThe baseline characteristics of 5 included RCTs are shown in Table 1. These studies were published between 2000 and 2015, and the total sample size was 4536. All included RCTs reported irinotecan as the adjunctive therapy to fluorouracil and leucovorin, and the methods between irinotecan group and control group were different in each RCT, detailed in Table 1. In the study by Saltz,[14] we just extracted the data of study 2 (Douillard) for this meta-analysis in order to avoid the duplicated data of Saltz.[19]\nCharacteristics of included studies.\nCI = continuous infusion, IV = intravenous.\nFour studies reported progression-free survival rate,[4,9,13,19] 2 studies reported median progression-free survival,[9,13] 4 studies reported overall survival rate and objective response,[9,13,14,19] 2 studies reported progressive disease and complete response,[9,13] and 3 studies reported grade ≥3 adverse events.[9,13,19]\n 3.2. Assessment of risk of bias Risk of bias analysis is presented in Figure 2. These 5 included RCTs generally had high quality although 4 studies had high risk of bias due to their nonblindness.[4,9,14,19]\nRisk of bias assessment. (A) Authors’ judgments about each risk of bias item for each included study. (B) Authors’ judgments about each risk of bias item are presented as percentages across all included studies.\nRisk of bias analysis is presented in Figure 2. These 5 included RCTs generally had high quality although 4 studies had high risk of bias due to their nonblindness.[4,9,14,19]\nRisk of bias assessment. (A) Authors’ judgments about each risk of bias item for each included study. (B) Authors’ judgments about each risk of bias item are presented as percentages across all included studies.\n 3.3. Primary outcomes: progression-free survival rate, median progression-free survival, and overall survival rate Compared to control group for colorectal cancer, irinotecan supplementation was associated with substantially improved progression-free survival rate (HR = 0.72; 95% CI = 0.58–0.90; P = .003) with significant heterogeneity among the studies (I2 = 88%, heterogeneity P < .0001; Fig. 3), median progression-free survival (standard mean difference = –0.30; 95% CI = –0.44 to –0.15; P < .0001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .79; Fig. 4), and overall survival rate (HR = 0.77; 95% CI = 0.66–0.90; P = .001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .98; Fig. 5).\nForest plot for the meta-analysis of progression-free survival rate. CI = confidence interval, IV = intravenous, SE = standard error.\nForest plot for the meta-analysis of median progression-free survival (month). CI = confidence interval, IV = intravenous, SE = standard error.\nForest plot for the meta-analysis of overall survival rate. CI = confidence interval, IV = intravenous, SE = standard error.\nCompared to control group for colorectal cancer, irinotecan supplementation was associated with substantially improved progression-free survival rate (HR = 0.72; 95% CI = 0.58–0.90; P = .003) with significant heterogeneity among the studies (I2 = 88%, heterogeneity P < .0001; Fig. 3), median progression-free survival (standard mean difference = –0.30; 95% CI = –0.44 to –0.15; P < .0001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .79; Fig. 4), and overall survival rate (HR = 0.77; 95% CI = 0.66–0.90; P = .001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .98; Fig. 5).\nForest plot for the meta-analysis of progression-free survival rate. CI = confidence interval, IV = intravenous, SE = standard error.\nForest plot for the meta-analysis of median progression-free survival (month). CI = confidence interval, IV = intravenous, SE = standard error.\nForest plot for the meta-analysis of overall survival rate. CI = confidence interval, IV = intravenous, SE = standard error.\n 3.4. Sensitivity analysis There was significant heterogeneity for progression-free survival rate, but no heterogeneity was observed for median progression-free survival or overall survival rate. As shown in Figure 3, the study conducted by Van Cutsem et al[4] showed the results that were almost completely out of range of the others and probably contributed to the heterogeneity. After excluding that study, the results suggested that irinotecan supplementation could also improve progression-free survival rate for colorectal cancer than control intervention (HR = 0.65; 95% CI = 0.63–0.67; P < .00001). No evidence of heterogeneity was observed among the remaining studies (I2 = 0%).\nThere was significant heterogeneity for progression-free survival rate, but no heterogeneity was observed for median progression-free survival or overall survival rate. As shown in Figure 3, the study conducted by Van Cutsem et al[4] showed the results that were almost completely out of range of the others and probably contributed to the heterogeneity. After excluding that study, the results suggested that irinotecan supplementation could also improve progression-free survival rate for colorectal cancer than control intervention (HR = 0.65; 95% CI = 0.63–0.67; P < .00001). No evidence of heterogeneity was observed among the remaining studies (I2 = 0%).\n 3.5. Secondary outcomes In comparison with control group for colorectal cancer, irinotecan supplementation showed the obvious increase in objective response (RR = 0.57; 95% CI = 0.49–0.66; P < .00001; Fig. 6) and the decrease in progressive disease (RR = 2.10; 95% CI = 1.40–3.14; P = .0003; Fig. 7), but had no substantial impact on complete response (RR = 0.89; 95% CI = 0.37–2.13; P = .79; Fig. 8). In addition, the incidence of grade ≥3 adverse events in irinotecan supplementation group was higher than that in control group (RR = 0.67; 95% CI = 0.57–0.79; P < .00001; Fig. 9).\nForest plot for the meta-analysis of objective response. CI = confidence interval, IV = intravenous.\nForest plot for the meta-analysis of progressive disease. CI = confidence interval, IV = intravenous.\nForest plot for the meta-analysis of complete response. CI = confidence interval, IV = intravenous.\nForest plot for the meta-analysis of grade ≥3 adverse events. CI = confidence interval, IV = intravenous.\nIn comparison with control group for colorectal cancer, irinotecan supplementation showed the obvious increase in objective response (RR = 0.57; 95% CI = 0.49–0.66; P < .00001; Fig. 6) and the decrease in progressive disease (RR = 2.10; 95% CI = 1.40–3.14; P = .0003; Fig. 7), but had no substantial impact on complete response (RR = 0.89; 95% CI = 0.37–2.13; P = .79; Fig. 8). In addition, the incidence of grade ≥3 adverse events in irinotecan supplementation group was higher than that in control group (RR = 0.67; 95% CI = 0.57–0.79; P < .00001; Fig. 9).\nForest plot for the meta-analysis of objective response. CI = confidence interval, IV = intravenous.\nForest plot for the meta-analysis of progressive disease. CI = confidence interval, IV = intravenous.\nForest plot for the meta-analysis of complete response. CI = confidence interval, IV = intravenous.\nForest plot for the meta-analysis of grade ≥3 adverse events. CI = confidence interval, IV = intravenous.", "Figure 1 shows the detail flowchart of the search and selection results. Five hundred ninety-eight potentially relevant articles were initially identified. Two hundred twenty-three duplicates and 366 papers after checking the titles/abstracts were excluded. Four studies were removed because of different combination drugs, and 5 randomized controlled trials (RCTs) were finally included in the meta-analysis.[4,9,13,14,19]\nFlow diagram of study searching and selection process.\nThe baseline characteristics of 5 included RCTs are shown in Table 1. These studies were published between 2000 and 2015, and the total sample size was 4536. All included RCTs reported irinotecan as the adjunctive therapy to fluorouracil and leucovorin, and the methods between irinotecan group and control group were different in each RCT, detailed in Table 1. In the study by Saltz,[14] we just extracted the data of study 2 (Douillard) for this meta-analysis in order to avoid the duplicated data of Saltz.[19]\nCharacteristics of included studies.\nCI = continuous infusion, IV = intravenous.\nFour studies reported progression-free survival rate,[4,9,13,19] 2 studies reported median progression-free survival,[9,13] 4 studies reported overall survival rate and objective response,[9,13,14,19] 2 studies reported progressive disease and complete response,[9,13] and 3 studies reported grade ≥3 adverse events.[9,13,19]", "Risk of bias analysis is presented in Figure 2. These 5 included RCTs generally had high quality although 4 studies had high risk of bias due to their nonblindness.[4,9,14,19]\nRisk of bias assessment. (A) Authors’ judgments about each risk of bias item for each included study. (B) Authors’ judgments about each risk of bias item are presented as percentages across all included studies.", "Compared to control group for colorectal cancer, irinotecan supplementation was associated with substantially improved progression-free survival rate (HR = 0.72; 95% CI = 0.58–0.90; P = .003) with significant heterogeneity among the studies (I2 = 88%, heterogeneity P < .0001; Fig. 3), median progression-free survival (standard mean difference = –0.30; 95% CI = –0.44 to –0.15; P < .0001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .79; Fig. 4), and overall survival rate (HR = 0.77; 95% CI = 0.66–0.90; P = .001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .98; Fig. 5).\nForest plot for the meta-analysis of progression-free survival rate. CI = confidence interval, IV = intravenous, SE = standard error.\nForest plot for the meta-analysis of median progression-free survival (month). CI = confidence interval, IV = intravenous, SE = standard error.\nForest plot for the meta-analysis of overall survival rate. CI = confidence interval, IV = intravenous, SE = standard error.", "There was significant heterogeneity for progression-free survival rate, but no heterogeneity was observed for median progression-free survival or overall survival rate. As shown in Figure 3, the study conducted by Van Cutsem et al[4] showed the results that were almost completely out of range of the others and probably contributed to the heterogeneity. After excluding that study, the results suggested that irinotecan supplementation could also improve progression-free survival rate for colorectal cancer than control intervention (HR = 0.65; 95% CI = 0.63–0.67; P < .00001). No evidence of heterogeneity was observed among the remaining studies (I2 = 0%).", "In comparison with control group for colorectal cancer, irinotecan supplementation showed the obvious increase in objective response (RR = 0.57; 95% CI = 0.49–0.66; P < .00001; Fig. 6) and the decrease in progressive disease (RR = 2.10; 95% CI = 1.40–3.14; P = .0003; Fig. 7), but had no substantial impact on complete response (RR = 0.89; 95% CI = 0.37–2.13; P = .79; Fig. 8). In addition, the incidence of grade ≥3 adverse events in irinotecan supplementation group was higher than that in control group (RR = 0.67; 95% CI = 0.57–0.79; P < .00001; Fig. 9).\nForest plot for the meta-analysis of objective response. CI = confidence interval, IV = intravenous.\nForest plot for the meta-analysis of progressive disease. CI = confidence interval, IV = intravenous.\nForest plot for the meta-analysis of complete response. CI = confidence interval, IV = intravenous.\nForest plot for the meta-analysis of grade ≥3 adverse events. CI = confidence interval, IV = intravenous.", "Irinotecan was documented to be an effective topoisomerase I inhibitor with antitumor properties and its combination with fluorouracil/leucovorin was found to improve the outcomes of patients with metastatic colorectal cancer.[20,21] In contrast, in another trial involving patients with stage III colon cancer, irinotecan plus fluorouracil/leucovorin did not improve overall survival compared with fluorouracil/leucovorin alone.[4] Considering these inconsistence, our meta-analysis was performed and confirmed that irinotecan in combination with fluorouracil and leucovorin could substantially improve progression-free survival rate, median progression-free survival, overall survival rate, and objective response and reduce the incidence of progressive disease for colorectal cancer compared to only fluorouracil and leucovorin, but revealed no obvious influence on complete response.\nRegarding the sensitivity analysis, significant heterogeneity remains for progression-free survival rate. Three studies reported metastatic colorectal cancer,[9,13,19] while the remaining study conducted by Van Cutsem et al[4] reported colon cancer with stage III. After excluding that study, there was no heterogeneity found. Irinotecan supplementation can also improve progression-free survival rate for colorectal cancer (P < .00001) than control intervention. These indicated that irinotecan plus fluorouracil and leucovorin may have better efficacy to improve progression-free survival rate in stage IV colorectal cancer than that in stage III colorectal cancer.\nIn addition, patient populations with different age ranges may have some impact on the efficacy of irinotecan supplementation. For instance, adding irinotecan to fluorouracil for metastatic colorectal cancer showed no significant impact on progression-free survival in patients aged ≥75.[13] In contrast, a post hoc analysis demonstrated that irinotecan plus fluorouracil can improve progression-free survival than fluorouracil alone in patients only aged 70 to 75 years, but this efficacy was not observed in patients aged >75 years.[13]\nFluorouracil/leucovorin in combination with irinotecan was found to have the advantage of reduced toxicity compared with fluorouracil/leucovorin.[4,13] However, irinotecan supplementation was found to increase the incidence of grade ≥3 adverse events than control group in colorectal cancer based on the results of this meta-analysis. These side effects mainly included diarrhea and neutropenia and were generally manageable and acceptable.[4,9,11,19] Several limitations exist in this meta-analysis. First, our analysis was based on only 5 RCTs, and more RCTs with large sample size should be conducted to explore this issue. Next, there is significant heterogeneity, and these sources of heterogeneity should be assessed by subgroup analysis (different stages of colorectal cancer, patients with various age range, and methods of drug combination). However, it is not possible due to the small number of included studies. Finally, genetic variants such as the expression of metadherin and carcinoembryonic antigen may affect therapeutic response and prognosis of colorectal cancer and produce some bias.[22]", "Irinotecan supplementation can improve the survival and objective response of colorectal cancer patients receiving fluorouracil and leucovorin, but with the increase in grade ≥3 adverse events." ]
[ "intro", "methods", null, null, null, null, "results", null, null, null, null, null, "discussion", null ]
[ "colorectal cancer", "fluorouracil", "irinotecan", "leucovorin", "randomized controlled trials" ]
1. Introduction: Colorectal cancer is regarded as a significant cause of mortality.[1–3] The prognosis of these patients is determined by the stages of colorectal cancer, and 5-year survival rates of stage I, II, and III after surgical intervention are 93.2%, 82.5%, and 59.5%, respectively. Especially, 5-year survival rate of stage IV is only 8.1%.[4] Many patients with resected cancer may suffer from recurrence.[5,6] Fluorouracil and leucovorin have been widely used for colorectal cancer,[7] and are reported to reduce the recurrence rate and improve survival.[8] In order to improve the treatment efficacy, irinotecan or oxaliplatin is used combined with fluorouracil and leucovorin, and these combinations are generally regarded as the effective approach for advanced colorectal cancer.[9,10] In elderly patients, irinotecan or oxaliplatin in combination with fluorouracil is well tolerated and shows similar efficacy between elderly and younger patients.[11] In metastatic colorectal cancer, combining irinotecan with fluorouracil results in a remarkable increase in progression-free survival and overall survival than fluorouracil alone.[12] However, current evidence is insufficient for routine use of irinotecan supplementation for colorectal cancer, and several studies have reported the conflicting results of irinotecan supplementation for colorectal cancer.[4,9,13,14] This meta-analysis aims to assess the efficacy and safety of irinotecan in combination with fluorouracil and leucovorin for colorectal cancer. 2. Materials and methods: This meta-analysis was performed based on the Preferred Reporting Items for Systematic Reviews and Meta-analysis statement and Cochrane Handbook for Systematic Reviews of Interventions.[15,16] No ethical approval and patient consent were required because all analyses were based on previously published studies. 2.1. Literature search We have systematically searched several databases including PubMed, EMBASE, Web of science, EBSCO, and the Cochrane library from inception to March 19, 2020 with the following keywords: “irinotecan” AND “fluorouracil” AND “leucovorin” AND “colorectal cancer” OR “colon cancer” OR “rectal cancer”. The inclusion criteria were as follows: study design was RCT, patients were diagnosed with colorectal cancer, and intervention treatments were irinotecan plus fluorouracil and leucovorin versus only fluorouracil and leucovorin. Patients who previously received pelvic radiotherapy were excluded. We have systematically searched several databases including PubMed, EMBASE, Web of science, EBSCO, and the Cochrane library from inception to March 19, 2020 with the following keywords: “irinotecan” AND “fluorouracil” AND “leucovorin” AND “colorectal cancer” OR “colon cancer” OR “rectal cancer”. The inclusion criteria were as follows: study design was RCT, patients were diagnosed with colorectal cancer, and intervention treatments were irinotecan plus fluorouracil and leucovorin versus only fluorouracil and leucovorin. Patients who previously received pelvic radiotherapy were excluded. 2.2. Data extraction and outcome measures Some baseline information was extracted, and they included first author, number of patients, age, sex, performance status, primary tumor site (colon/ rectum/both), and detail methods in 2 groups. Data were extracted independently by 2 investigators, and discrepancies were resolved by consensus. The primary outcomes were progression-free survival rate, median progression-free survival, and overall survival rate. Secondary outcomes included objective response, progressive disease, complete response, and grade ≥3 adverse events. Some baseline information was extracted, and they included first author, number of patients, age, sex, performance status, primary tumor site (colon/ rectum/both), and detail methods in 2 groups. Data were extracted independently by 2 investigators, and discrepancies were resolved by consensus. The primary outcomes were progression-free survival rate, median progression-free survival, and overall survival rate. Secondary outcomes included objective response, progressive disease, complete response, and grade ≥3 adverse events. 2.3. Assessment for risk of bias The risk of bias tool was used to assess the quality of individual studies according to the Cochrane Handbook for Systematic Reviews of Interventions,[16] and the sources of bias were divided into selection bias, performance bias, attrition bias, detection bias, reporting bias, and other potential sources of bias. The overall risk of bias for each study was evaluated and rated: low, unclear, and high.[17] Two investigators independently assessed the quality of included studies, and any discrepancy was solved by consensus. The risk of bias tool was used to assess the quality of individual studies according to the Cochrane Handbook for Systematic Reviews of Interventions,[16] and the sources of bias were divided into selection bias, performance bias, attrition bias, detection bias, reporting bias, and other potential sources of bias. The overall risk of bias for each study was evaluated and rated: low, unclear, and high.[17] Two investigators independently assessed the quality of included studies, and any discrepancy was solved by consensus. 2.4. Statistical analysis We assessed hazard ratio (HR) or risk ratio (RR) with 95% confidence interval (CI) for dichotomous outcomes (progression-free survival rate, overall survival rate, objective response, progressive disease, complete response, and grade ≥3 adverse events) and standard mean difference with 95% CI for continuous outcome (median progression-free survival). Heterogeneity was evaluated by the I2 statistic, and I2 > 50% indicated significant heterogeneity.[18] The random-effects model was used when encountering significant heterogeneity, while fixed-effects model was applied when no significant heterogeneity was found. We searched for potential sources of heterogeneity, and sensitivity analysis was performed to detect the influence of a single study on the overall estimate via omitting 1 study in turn or conducting the subgroup analysis. Owing to the limited number (<10) of included studies, publication bias was not assessed. A P value of <.05 was indicated to be statistically significant. All statistical analyses were performed using Review Manager Version 5.3 (The Cochrane Collaboration, Software Update, Oxford, United Kingdom). We assessed hazard ratio (HR) or risk ratio (RR) with 95% confidence interval (CI) for dichotomous outcomes (progression-free survival rate, overall survival rate, objective response, progressive disease, complete response, and grade ≥3 adverse events) and standard mean difference with 95% CI for continuous outcome (median progression-free survival). Heterogeneity was evaluated by the I2 statistic, and I2 > 50% indicated significant heterogeneity.[18] The random-effects model was used when encountering significant heterogeneity, while fixed-effects model was applied when no significant heterogeneity was found. We searched for potential sources of heterogeneity, and sensitivity analysis was performed to detect the influence of a single study on the overall estimate via omitting 1 study in turn or conducting the subgroup analysis. Owing to the limited number (<10) of included studies, publication bias was not assessed. A P value of <.05 was indicated to be statistically significant. All statistical analyses were performed using Review Manager Version 5.3 (The Cochrane Collaboration, Software Update, Oxford, United Kingdom). 2.1. Literature search: We have systematically searched several databases including PubMed, EMBASE, Web of science, EBSCO, and the Cochrane library from inception to March 19, 2020 with the following keywords: “irinotecan” AND “fluorouracil” AND “leucovorin” AND “colorectal cancer” OR “colon cancer” OR “rectal cancer”. The inclusion criteria were as follows: study design was RCT, patients were diagnosed with colorectal cancer, and intervention treatments were irinotecan plus fluorouracil and leucovorin versus only fluorouracil and leucovorin. Patients who previously received pelvic radiotherapy were excluded. 2.2. Data extraction and outcome measures: Some baseline information was extracted, and they included first author, number of patients, age, sex, performance status, primary tumor site (colon/ rectum/both), and detail methods in 2 groups. Data were extracted independently by 2 investigators, and discrepancies were resolved by consensus. The primary outcomes were progression-free survival rate, median progression-free survival, and overall survival rate. Secondary outcomes included objective response, progressive disease, complete response, and grade ≥3 adverse events. 2.3. Assessment for risk of bias: The risk of bias tool was used to assess the quality of individual studies according to the Cochrane Handbook for Systematic Reviews of Interventions,[16] and the sources of bias were divided into selection bias, performance bias, attrition bias, detection bias, reporting bias, and other potential sources of bias. The overall risk of bias for each study was evaluated and rated: low, unclear, and high.[17] Two investigators independently assessed the quality of included studies, and any discrepancy was solved by consensus. 2.4. Statistical analysis: We assessed hazard ratio (HR) or risk ratio (RR) with 95% confidence interval (CI) for dichotomous outcomes (progression-free survival rate, overall survival rate, objective response, progressive disease, complete response, and grade ≥3 adverse events) and standard mean difference with 95% CI for continuous outcome (median progression-free survival). Heterogeneity was evaluated by the I2 statistic, and I2 > 50% indicated significant heterogeneity.[18] The random-effects model was used when encountering significant heterogeneity, while fixed-effects model was applied when no significant heterogeneity was found. We searched for potential sources of heterogeneity, and sensitivity analysis was performed to detect the influence of a single study on the overall estimate via omitting 1 study in turn or conducting the subgroup analysis. Owing to the limited number (<10) of included studies, publication bias was not assessed. A P value of <.05 was indicated to be statistically significant. All statistical analyses were performed using Review Manager Version 5.3 (The Cochrane Collaboration, Software Update, Oxford, United Kingdom). 3. Results: 3.1. Literature search, study characteristics, and quality assessment Figure 1 shows the detail flowchart of the search and selection results. Five hundred ninety-eight potentially relevant articles were initially identified. Two hundred twenty-three duplicates and 366 papers after checking the titles/abstracts were excluded. Four studies were removed because of different combination drugs, and 5 randomized controlled trials (RCTs) were finally included in the meta-analysis.[4,9,13,14,19] Flow diagram of study searching and selection process. The baseline characteristics of 5 included RCTs are shown in Table 1. These studies were published between 2000 and 2015, and the total sample size was 4536. All included RCTs reported irinotecan as the adjunctive therapy to fluorouracil and leucovorin, and the methods between irinotecan group and control group were different in each RCT, detailed in Table 1. In the study by Saltz,[14] we just extracted the data of study 2 (Douillard) for this meta-analysis in order to avoid the duplicated data of Saltz.[19] Characteristics of included studies. CI = continuous infusion, IV = intravenous. Four studies reported progression-free survival rate,[4,9,13,19] 2 studies reported median progression-free survival,[9,13] 4 studies reported overall survival rate and objective response,[9,13,14,19] 2 studies reported progressive disease and complete response,[9,13] and 3 studies reported grade ≥3 adverse events.[9,13,19] Figure 1 shows the detail flowchart of the search and selection results. Five hundred ninety-eight potentially relevant articles were initially identified. Two hundred twenty-three duplicates and 366 papers after checking the titles/abstracts were excluded. Four studies were removed because of different combination drugs, and 5 randomized controlled trials (RCTs) were finally included in the meta-analysis.[4,9,13,14,19] Flow diagram of study searching and selection process. The baseline characteristics of 5 included RCTs are shown in Table 1. These studies were published between 2000 and 2015, and the total sample size was 4536. All included RCTs reported irinotecan as the adjunctive therapy to fluorouracil and leucovorin, and the methods between irinotecan group and control group were different in each RCT, detailed in Table 1. In the study by Saltz,[14] we just extracted the data of study 2 (Douillard) for this meta-analysis in order to avoid the duplicated data of Saltz.[19] Characteristics of included studies. CI = continuous infusion, IV = intravenous. Four studies reported progression-free survival rate,[4,9,13,19] 2 studies reported median progression-free survival,[9,13] 4 studies reported overall survival rate and objective response,[9,13,14,19] 2 studies reported progressive disease and complete response,[9,13] and 3 studies reported grade ≥3 adverse events.[9,13,19] 3.2. Assessment of risk of bias Risk of bias analysis is presented in Figure 2. These 5 included RCTs generally had high quality although 4 studies had high risk of bias due to their nonblindness.[4,9,14,19] Risk of bias assessment. (A) Authors’ judgments about each risk of bias item for each included study. (B) Authors’ judgments about each risk of bias item are presented as percentages across all included studies. Risk of bias analysis is presented in Figure 2. These 5 included RCTs generally had high quality although 4 studies had high risk of bias due to their nonblindness.[4,9,14,19] Risk of bias assessment. (A) Authors’ judgments about each risk of bias item for each included study. (B) Authors’ judgments about each risk of bias item are presented as percentages across all included studies. 3.3. Primary outcomes: progression-free survival rate, median progression-free survival, and overall survival rate Compared to control group for colorectal cancer, irinotecan supplementation was associated with substantially improved progression-free survival rate (HR = 0.72; 95% CI = 0.58–0.90; P = .003) with significant heterogeneity among the studies (I2 = 88%, heterogeneity P < .0001; Fig. 3), median progression-free survival (standard mean difference = –0.30; 95% CI = –0.44 to –0.15; P < .0001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .79; Fig. 4), and overall survival rate (HR = 0.77; 95% CI = 0.66–0.90; P = .001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .98; Fig. 5). Forest plot for the meta-analysis of progression-free survival rate. CI = confidence interval, IV = intravenous, SE = standard error. Forest plot for the meta-analysis of median progression-free survival (month). CI = confidence interval, IV = intravenous, SE = standard error. Forest plot for the meta-analysis of overall survival rate. CI = confidence interval, IV = intravenous, SE = standard error. Compared to control group for colorectal cancer, irinotecan supplementation was associated with substantially improved progression-free survival rate (HR = 0.72; 95% CI = 0.58–0.90; P = .003) with significant heterogeneity among the studies (I2 = 88%, heterogeneity P < .0001; Fig. 3), median progression-free survival (standard mean difference = –0.30; 95% CI = –0.44 to –0.15; P < .0001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .79; Fig. 4), and overall survival rate (HR = 0.77; 95% CI = 0.66–0.90; P = .001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .98; Fig. 5). Forest plot for the meta-analysis of progression-free survival rate. CI = confidence interval, IV = intravenous, SE = standard error. Forest plot for the meta-analysis of median progression-free survival (month). CI = confidence interval, IV = intravenous, SE = standard error. Forest plot for the meta-analysis of overall survival rate. CI = confidence interval, IV = intravenous, SE = standard error. 3.4. Sensitivity analysis There was significant heterogeneity for progression-free survival rate, but no heterogeneity was observed for median progression-free survival or overall survival rate. As shown in Figure 3, the study conducted by Van Cutsem et al[4] showed the results that were almost completely out of range of the others and probably contributed to the heterogeneity. After excluding that study, the results suggested that irinotecan supplementation could also improve progression-free survival rate for colorectal cancer than control intervention (HR = 0.65; 95% CI = 0.63–0.67; P < .00001). No evidence of heterogeneity was observed among the remaining studies (I2 = 0%). There was significant heterogeneity for progression-free survival rate, but no heterogeneity was observed for median progression-free survival or overall survival rate. As shown in Figure 3, the study conducted by Van Cutsem et al[4] showed the results that were almost completely out of range of the others and probably contributed to the heterogeneity. After excluding that study, the results suggested that irinotecan supplementation could also improve progression-free survival rate for colorectal cancer than control intervention (HR = 0.65; 95% CI = 0.63–0.67; P < .00001). No evidence of heterogeneity was observed among the remaining studies (I2 = 0%). 3.5. Secondary outcomes In comparison with control group for colorectal cancer, irinotecan supplementation showed the obvious increase in objective response (RR = 0.57; 95% CI = 0.49–0.66; P < .00001; Fig. 6) and the decrease in progressive disease (RR = 2.10; 95% CI = 1.40–3.14; P = .0003; Fig. 7), but had no substantial impact on complete response (RR = 0.89; 95% CI = 0.37–2.13; P = .79; Fig. 8). In addition, the incidence of grade ≥3 adverse events in irinotecan supplementation group was higher than that in control group (RR = 0.67; 95% CI = 0.57–0.79; P < .00001; Fig. 9). Forest plot for the meta-analysis of objective response. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of progressive disease. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of complete response. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of grade ≥3 adverse events. CI = confidence interval, IV = intravenous. In comparison with control group for colorectal cancer, irinotecan supplementation showed the obvious increase in objective response (RR = 0.57; 95% CI = 0.49–0.66; P < .00001; Fig. 6) and the decrease in progressive disease (RR = 2.10; 95% CI = 1.40–3.14; P = .0003; Fig. 7), but had no substantial impact on complete response (RR = 0.89; 95% CI = 0.37–2.13; P = .79; Fig. 8). In addition, the incidence of grade ≥3 adverse events in irinotecan supplementation group was higher than that in control group (RR = 0.67; 95% CI = 0.57–0.79; P < .00001; Fig. 9). Forest plot for the meta-analysis of objective response. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of progressive disease. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of complete response. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of grade ≥3 adverse events. CI = confidence interval, IV = intravenous. 3.1. Literature search, study characteristics, and quality assessment: Figure 1 shows the detail flowchart of the search and selection results. Five hundred ninety-eight potentially relevant articles were initially identified. Two hundred twenty-three duplicates and 366 papers after checking the titles/abstracts were excluded. Four studies were removed because of different combination drugs, and 5 randomized controlled trials (RCTs) were finally included in the meta-analysis.[4,9,13,14,19] Flow diagram of study searching and selection process. The baseline characteristics of 5 included RCTs are shown in Table 1. These studies were published between 2000 and 2015, and the total sample size was 4536. All included RCTs reported irinotecan as the adjunctive therapy to fluorouracil and leucovorin, and the methods between irinotecan group and control group were different in each RCT, detailed in Table 1. In the study by Saltz,[14] we just extracted the data of study 2 (Douillard) for this meta-analysis in order to avoid the duplicated data of Saltz.[19] Characteristics of included studies. CI = continuous infusion, IV = intravenous. Four studies reported progression-free survival rate,[4,9,13,19] 2 studies reported median progression-free survival,[9,13] 4 studies reported overall survival rate and objective response,[9,13,14,19] 2 studies reported progressive disease and complete response,[9,13] and 3 studies reported grade ≥3 adverse events.[9,13,19] 3.2. Assessment of risk of bias: Risk of bias analysis is presented in Figure 2. These 5 included RCTs generally had high quality although 4 studies had high risk of bias due to their nonblindness.[4,9,14,19] Risk of bias assessment. (A) Authors’ judgments about each risk of bias item for each included study. (B) Authors’ judgments about each risk of bias item are presented as percentages across all included studies. 3.3. Primary outcomes: progression-free survival rate, median progression-free survival, and overall survival rate: Compared to control group for colorectal cancer, irinotecan supplementation was associated with substantially improved progression-free survival rate (HR = 0.72; 95% CI = 0.58–0.90; P = .003) with significant heterogeneity among the studies (I2 = 88%, heterogeneity P < .0001; Fig. 3), median progression-free survival (standard mean difference = –0.30; 95% CI = –0.44 to –0.15; P < .0001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .79; Fig. 4), and overall survival rate (HR = 0.77; 95% CI = 0.66–0.90; P = .001) with no heterogeneity among the studies (I2 = 0%, heterogeneity P = .98; Fig. 5). Forest plot for the meta-analysis of progression-free survival rate. CI = confidence interval, IV = intravenous, SE = standard error. Forest plot for the meta-analysis of median progression-free survival (month). CI = confidence interval, IV = intravenous, SE = standard error. Forest plot for the meta-analysis of overall survival rate. CI = confidence interval, IV = intravenous, SE = standard error. 3.4. Sensitivity analysis: There was significant heterogeneity for progression-free survival rate, but no heterogeneity was observed for median progression-free survival or overall survival rate. As shown in Figure 3, the study conducted by Van Cutsem et al[4] showed the results that were almost completely out of range of the others and probably contributed to the heterogeneity. After excluding that study, the results suggested that irinotecan supplementation could also improve progression-free survival rate for colorectal cancer than control intervention (HR = 0.65; 95% CI = 0.63–0.67; P < .00001). No evidence of heterogeneity was observed among the remaining studies (I2 = 0%). 3.5. Secondary outcomes: In comparison with control group for colorectal cancer, irinotecan supplementation showed the obvious increase in objective response (RR = 0.57; 95% CI = 0.49–0.66; P < .00001; Fig. 6) and the decrease in progressive disease (RR = 2.10; 95% CI = 1.40–3.14; P = .0003; Fig. 7), but had no substantial impact on complete response (RR = 0.89; 95% CI = 0.37–2.13; P = .79; Fig. 8). In addition, the incidence of grade ≥3 adverse events in irinotecan supplementation group was higher than that in control group (RR = 0.67; 95% CI = 0.57–0.79; P < .00001; Fig. 9). Forest plot for the meta-analysis of objective response. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of progressive disease. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of complete response. CI = confidence interval, IV = intravenous. Forest plot for the meta-analysis of grade ≥3 adverse events. CI = confidence interval, IV = intravenous. 4. Discussion: Irinotecan was documented to be an effective topoisomerase I inhibitor with antitumor properties and its combination with fluorouracil/leucovorin was found to improve the outcomes of patients with metastatic colorectal cancer.[20,21] In contrast, in another trial involving patients with stage III colon cancer, irinotecan plus fluorouracil/leucovorin did not improve overall survival compared with fluorouracil/leucovorin alone.[4] Considering these inconsistence, our meta-analysis was performed and confirmed that irinotecan in combination with fluorouracil and leucovorin could substantially improve progression-free survival rate, median progression-free survival, overall survival rate, and objective response and reduce the incidence of progressive disease for colorectal cancer compared to only fluorouracil and leucovorin, but revealed no obvious influence on complete response. Regarding the sensitivity analysis, significant heterogeneity remains for progression-free survival rate. Three studies reported metastatic colorectal cancer,[9,13,19] while the remaining study conducted by Van Cutsem et al[4] reported colon cancer with stage III. After excluding that study, there was no heterogeneity found. Irinotecan supplementation can also improve progression-free survival rate for colorectal cancer (P < .00001) than control intervention. These indicated that irinotecan plus fluorouracil and leucovorin may have better efficacy to improve progression-free survival rate in stage IV colorectal cancer than that in stage III colorectal cancer. In addition, patient populations with different age ranges may have some impact on the efficacy of irinotecan supplementation. For instance, adding irinotecan to fluorouracil for metastatic colorectal cancer showed no significant impact on progression-free survival in patients aged ≥75.[13] In contrast, a post hoc analysis demonstrated that irinotecan plus fluorouracil can improve progression-free survival than fluorouracil alone in patients only aged 70 to 75 years, but this efficacy was not observed in patients aged >75 years.[13] Fluorouracil/leucovorin in combination with irinotecan was found to have the advantage of reduced toxicity compared with fluorouracil/leucovorin.[4,13] However, irinotecan supplementation was found to increase the incidence of grade ≥3 adverse events than control group in colorectal cancer based on the results of this meta-analysis. These side effects mainly included diarrhea and neutropenia and were generally manageable and acceptable.[4,9,11,19] Several limitations exist in this meta-analysis. First, our analysis was based on only 5 RCTs, and more RCTs with large sample size should be conducted to explore this issue. Next, there is significant heterogeneity, and these sources of heterogeneity should be assessed by subgroup analysis (different stages of colorectal cancer, patients with various age range, and methods of drug combination). However, it is not possible due to the small number of included studies. Finally, genetic variants such as the expression of metadherin and carcinoembryonic antigen may affect therapeutic response and prognosis of colorectal cancer and produce some bias.[22] 5. Conclusion: Irinotecan supplementation can improve the survival and objective response of colorectal cancer patients receiving fluorouracil and leucovorin, but with the increase in grade ≥3 adverse events.
Background: The efficacy of irinotecan as the adjunctive therapy to fluorouracil and leucovorin remains controversial in patients with colorectal cancer. We conduct this meta-analysis to explore the efficacy of irinotecan supplementation for colorectal cancer. Methods: We have searched PubMed, EMBASE, Web of science, EBSCO, and Cochrane library databases through March 19, 2020, and included randomized controlled trials assessing the efficacy of irinotecan plus fluorouracil and leucovorin for colorectal cancer. Results: Five randomized controlled trials were included in the meta-analysis. Compared with fluorouracil and leucovorin for colorectal cancer, irinotecan supplementation could significantly improve progression-free survival rate (hazard ratio = 0.72; 95% confidence interval [CI] = 0.58-0.90; P = .003), median progression-free survival (standard mean difference = -0.30; 95% CI = -0.44 to -0.15; P < .0001), overall survival rate (hazard ratio = 0.77; 95% CI = 0.66-0.90; P = .001), and objective response (risk ratio [RR] = 0.57; 95% CI = 0.49-0.66; P < .00001) and decrease progressive disease (RR = 2.10; 95% CI = 1.40-3.14; P = .0003), but revealed no obvious effect on complete response (RR = 0.88; 95% CI = 0.33-2.29; P = .79). The incidence of grade ≥3 adverse events in irinotecan supplementation group was increased compared to control group (RR = 0.67; 95% CI = 0.57-0.79; P < .00001). Conclusions: Irinotecan as the adjunctive therapy to fluorouracil and leucovorin can increase the survival and objective response of patients with colorectal cancer, but the incidence of grade ≥3 adverse events is found to be increased after irinotecan supplementation.
1. Introduction: Colorectal cancer is regarded as a significant cause of mortality.[1–3] The prognosis of these patients is determined by the stages of colorectal cancer, and 5-year survival rates of stage I, II, and III after surgical intervention are 93.2%, 82.5%, and 59.5%, respectively. Especially, 5-year survival rate of stage IV is only 8.1%.[4] Many patients with resected cancer may suffer from recurrence.[5,6] Fluorouracil and leucovorin have been widely used for colorectal cancer,[7] and are reported to reduce the recurrence rate and improve survival.[8] In order to improve the treatment efficacy, irinotecan or oxaliplatin is used combined with fluorouracil and leucovorin, and these combinations are generally regarded as the effective approach for advanced colorectal cancer.[9,10] In elderly patients, irinotecan or oxaliplatin in combination with fluorouracil is well tolerated and shows similar efficacy between elderly and younger patients.[11] In metastatic colorectal cancer, combining irinotecan with fluorouracil results in a remarkable increase in progression-free survival and overall survival than fluorouracil alone.[12] However, current evidence is insufficient for routine use of irinotecan supplementation for colorectal cancer, and several studies have reported the conflicting results of irinotecan supplementation for colorectal cancer.[4,9,13,14] This meta-analysis aims to assess the efficacy and safety of irinotecan in combination with fluorouracil and leucovorin for colorectal cancer. 5. Conclusion: Irinotecan supplementation can improve the survival and objective response of colorectal cancer patients receiving fluorouracil and leucovorin, but with the increase in grade ≥3 adverse events.
Background: The efficacy of irinotecan as the adjunctive therapy to fluorouracil and leucovorin remains controversial in patients with colorectal cancer. We conduct this meta-analysis to explore the efficacy of irinotecan supplementation for colorectal cancer. Methods: We have searched PubMed, EMBASE, Web of science, EBSCO, and Cochrane library databases through March 19, 2020, and included randomized controlled trials assessing the efficacy of irinotecan plus fluorouracil and leucovorin for colorectal cancer. Results: Five randomized controlled trials were included in the meta-analysis. Compared with fluorouracil and leucovorin for colorectal cancer, irinotecan supplementation could significantly improve progression-free survival rate (hazard ratio = 0.72; 95% confidence interval [CI] = 0.58-0.90; P = .003), median progression-free survival (standard mean difference = -0.30; 95% CI = -0.44 to -0.15; P < .0001), overall survival rate (hazard ratio = 0.77; 95% CI = 0.66-0.90; P = .001), and objective response (risk ratio [RR] = 0.57; 95% CI = 0.49-0.66; P < .00001) and decrease progressive disease (RR = 2.10; 95% CI = 1.40-3.14; P = .0003), but revealed no obvious effect on complete response (RR = 0.88; 95% CI = 0.33-2.29; P = .79). The incidence of grade ≥3 adverse events in irinotecan supplementation group was increased compared to control group (RR = 0.67; 95% CI = 0.57-0.79; P < .00001). Conclusions: Irinotecan as the adjunctive therapy to fluorouracil and leucovorin can increase the survival and objective response of patients with colorectal cancer, but the incidence of grade ≥3 adverse events is found to be increased after irinotecan supplementation.
5,200
340
[ 104, 94, 93, 205, 240, 75, 235, 120, 217, 28 ]
14
[ "survival", "studies", "ci", "progression free", "free", "free survival", "progression free survival", "progression", "bias", "rate" ]
[ "irinotecan supplementation colorectal", "efficacy irinotecan oxaliplatin", "prognosis colorectal cancer", "fluorouracil leucovorin colorectal", "leucovorin colorectal cancer" ]
[CONTENT] colorectal cancer | fluorouracil | irinotecan | leucovorin | randomized controlled trials [SUMMARY]
[CONTENT] colorectal cancer | fluorouracil | irinotecan | leucovorin | randomized controlled trials [SUMMARY]
[CONTENT] colorectal cancer | fluorouracil | irinotecan | leucovorin | randomized controlled trials [SUMMARY]
[CONTENT] colorectal cancer | fluorouracil | irinotecan | leucovorin | randomized controlled trials [SUMMARY]
[CONTENT] colorectal cancer | fluorouracil | irinotecan | leucovorin | randomized controlled trials [SUMMARY]
[CONTENT] colorectal cancer | fluorouracil | irinotecan | leucovorin | randomized controlled trials [SUMMARY]
[CONTENT] Humans | Antineoplastic Combined Chemotherapy Protocols | Camptothecin | Colorectal Neoplasms | Dietary Supplements | Fluorouracil | Irinotecan | Leucovorin | Randomized Controlled Trials as Topic [SUMMARY]
[CONTENT] Humans | Antineoplastic Combined Chemotherapy Protocols | Camptothecin | Colorectal Neoplasms | Dietary Supplements | Fluorouracil | Irinotecan | Leucovorin | Randomized Controlled Trials as Topic [SUMMARY]
[CONTENT] Humans | Antineoplastic Combined Chemotherapy Protocols | Camptothecin | Colorectal Neoplasms | Dietary Supplements | Fluorouracil | Irinotecan | Leucovorin | Randomized Controlled Trials as Topic [SUMMARY]
[CONTENT] Humans | Antineoplastic Combined Chemotherapy Protocols | Camptothecin | Colorectal Neoplasms | Dietary Supplements | Fluorouracil | Irinotecan | Leucovorin | Randomized Controlled Trials as Topic [SUMMARY]
[CONTENT] Humans | Antineoplastic Combined Chemotherapy Protocols | Camptothecin | Colorectal Neoplasms | Dietary Supplements | Fluorouracil | Irinotecan | Leucovorin | Randomized Controlled Trials as Topic [SUMMARY]
[CONTENT] Humans | Antineoplastic Combined Chemotherapy Protocols | Camptothecin | Colorectal Neoplasms | Dietary Supplements | Fluorouracil | Irinotecan | Leucovorin | Randomized Controlled Trials as Topic [SUMMARY]
[CONTENT] irinotecan supplementation colorectal | efficacy irinotecan oxaliplatin | prognosis colorectal cancer | fluorouracil leucovorin colorectal | leucovorin colorectal cancer [SUMMARY]
[CONTENT] irinotecan supplementation colorectal | efficacy irinotecan oxaliplatin | prognosis colorectal cancer | fluorouracil leucovorin colorectal | leucovorin colorectal cancer [SUMMARY]
[CONTENT] irinotecan supplementation colorectal | efficacy irinotecan oxaliplatin | prognosis colorectal cancer | fluorouracil leucovorin colorectal | leucovorin colorectal cancer [SUMMARY]
[CONTENT] irinotecan supplementation colorectal | efficacy irinotecan oxaliplatin | prognosis colorectal cancer | fluorouracil leucovorin colorectal | leucovorin colorectal cancer [SUMMARY]
[CONTENT] irinotecan supplementation colorectal | efficacy irinotecan oxaliplatin | prognosis colorectal cancer | fluorouracil leucovorin colorectal | leucovorin colorectal cancer [SUMMARY]
[CONTENT] irinotecan supplementation colorectal | efficacy irinotecan oxaliplatin | prognosis colorectal cancer | fluorouracil leucovorin colorectal | leucovorin colorectal cancer [SUMMARY]
[CONTENT] survival | studies | ci | progression free | free | free survival | progression free survival | progression | bias | rate [SUMMARY]
[CONTENT] survival | studies | ci | progression free | free | free survival | progression free survival | progression | bias | rate [SUMMARY]
[CONTENT] survival | studies | ci | progression free | free | free survival | progression free survival | progression | bias | rate [SUMMARY]
[CONTENT] survival | studies | ci | progression free | free | free survival | progression free survival | progression | bias | rate [SUMMARY]
[CONTENT] survival | studies | ci | progression free | free | free survival | progression free survival | progression | bias | rate [SUMMARY]
[CONTENT] survival | studies | ci | progression free | free | free survival | progression free survival | progression | bias | rate [SUMMARY]
[CONTENT] cancer | colorectal | colorectal cancer | fluorouracil | irinotecan | efficacy | patients | survival | supplementation colorectal cancer | year survival [SUMMARY]
[CONTENT] bias | heterogeneity | survival | cochrane | risk | significant | assessed | sources | included | response [SUMMARY]
[CONTENT] ci | survival | studies | heterogeneity | iv intravenous | intravenous | ci confidence interval | forest plot | confidence interval iv intravenous | confidence interval iv [SUMMARY]
[CONTENT] irinotecan supplementation improve survival | objective response colorectal | colorectal cancer patients receiving | cancer patients receiving | cancer patients receiving fluorouracil | leucovorin increase | leucovorin increase grade | leucovorin increase grade adverse | fluorouracil leucovorin increase grade | objective response colorectal cancer [SUMMARY]
[CONTENT] survival | bias | heterogeneity | cancer | ci | progression free | progression | free | free survival | progression free survival [SUMMARY]
[CONTENT] survival | bias | heterogeneity | cancer | ci | progression free | progression | free | free survival | progression free survival [SUMMARY]
[CONTENT] irinotecan ||| irinotecan [SUMMARY]
[CONTENT] PubMed | EBSCO | Cochrane | March 19, 2020 | irinotecan plus [SUMMARY]
[CONTENT] Five ||| irinotecan | 0.72 | 95% | CI | 0.58-0.90 | P = | .003 | 95% | CI | 0.77 | 95% | CI | 0.66 ||| .001 | 0.57 | 95% | CI | 0.49 | 2.10 | 95% | CI | 1.40-3.14 | 0.88 | 95% | CI | 0.33 ||| irinotecan | 0.67 | 95% | CI | 0.57 [SUMMARY]
[CONTENT] Irinotecan | irinotecan [SUMMARY]
[CONTENT] irinotecan ||| irinotecan ||| PubMed | EBSCO | Cochrane | March 19, 2020 | irinotecan plus ||| Five ||| irinotecan | 0.72 | 95% | CI | 0.58-0.90 | P = | .003 | 95% | CI | 0.77 | 95% | CI | 0.66 ||| .001 | 0.57 | 95% | CI | 0.49 | 2.10 | 95% | CI | 1.40-3.14 | 0.88 | 95% | CI | 0.33 ||| irinotecan | 0.67 | 95% | CI | 0.57 ||| Irinotecan | irinotecan [SUMMARY]
[CONTENT] irinotecan ||| irinotecan ||| PubMed | EBSCO | Cochrane | March 19, 2020 | irinotecan plus ||| Five ||| irinotecan | 0.72 | 95% | CI | 0.58-0.90 | P = | .003 | 95% | CI | 0.77 | 95% | CI | 0.66 ||| .001 | 0.57 | 95% | CI | 0.49 | 2.10 | 95% | CI | 1.40-3.14 | 0.88 | 95% | CI | 0.33 ||| irinotecan | 0.67 | 95% | CI | 0.57 ||| Irinotecan | irinotecan [SUMMARY]
Psychotherapists' emotional reactions to patients' personality trait in personality disorder treatment settings: an exploratory study.
33957958
Therapist's emotional reactions toward patients in clinical facilities are a key concept in the treatment of personality disorders. Considering only clinical settings specialized in treatment of personality pathology the present paper aimed at: (1) assessing any direct relationship between patient symptom severity and therapist emotional response; (2) exploring patients' functioning configurations that can be associated with specific therapist reactions (3) investigating whether these relationships remains significant when accounting for other setting variables related to patients or therapist.
BACKGROUND
The present study included 43 outpatients with personality disorders who underwent a psychotherapy treatment in two Italian facilities dedicated to outpatients with personality disorders and their 19 psychotherapists. The Symptom Checklist-90-Revised (SCL-90R) was used to explore clinical severity condition. Psychotherapists completed the Therapist Response Questionnaire (TRQ) to identify pattern of therapists' response and the Shedler-Westen Assessment Procedure-200 (SWAP-200) in order to assess personality traits of the patients.
METHODS
No significant relationship between the clinical severity of the symptoms and the therapist' responses was found. Even when controlled for clinical severity condition, duration of the treatment, age and educational level of the patient or years of therapist experience, most of SWAP-200 traits appeared to be significant predictors of therapist' emotional responses.
RESULTS
The present study confirms the value of therapists' emotional response as a useful tool in understanding psychological processes related to clinical practice highlighting its context-dependent dimension.
CONCLUSIONS
[ "Humans", "Personality", "Personality Disorders", "Professional-Patient Relations", "Psychotherapists", "Psychotherapy" ]
8103645
Introduction
Treating people with personality disorders (PD), in particular with borderline personality disorder, can trigger intensive emotional reactions in the psychotherapist [1]. Recognizing and understanding the therapist emotional reactions has crucial implications for treatment, not only for the on-going psychotherapy in outpatient facilities but also for briefer encounters in emergency departments [2]. The influence of specific personality syndromes on the patient-therapist relationship has already received attention from the scientific community. Rossberg and colleagues [3, 4] documented that patients with cluster A and B personality disorders were related to more negative and less positive therapist emotional responses than those with cluster C personality disorders, and patients who dropped out of treatment evoked more negative countertransference reactions than patients who completed the treatment. Negative emotional reactions when dealing with cluster B personality disorders, which seems to be related to more mixed and negative responses in their therapists than clusters A and C personality disorders, were also found by Colli and colleagues [5] and by Tanzilli and colleagues [6]. The available evidence confirms that patients with PD, especially borderline disorders, tend to be associated with a strong emotional reaction in the therapist. However, this reaction was found in large samples of psychiatrists and clinical psychologists that explored cases taken from their private practice psychotherapies and not exclusively from centers specialized in the treatment of personality disorders [5, 6]. Level of interpersonal functioning and personality style seem to have a stronger correlation with countertransference feelings than with a patient’s general level of functioning or with his or her level of symptoms severity [7, 8], Dimaggio and colleagues’ [9] evidenced that symptomatic condition appears to be related to the outcome of the treatments of patients with personality disorders. This may be true for some personality disorders (i.e., schizotypal, borderline, histrionic, and avoidant) that showed that the symptomatology partially mediates the relationship between their personality disorders and their therapists’ emotional responses. In these cases, the severity of clinical condition seems to be related with stronger degree of negative emotional responses [8]. As the different therapeutic approaches and other variables of the therapist (as gender, age, profession, and experience) seem to be not significantly related to countertransference reactions [8], the type of setting analysed could be a key element that could explain this phenomenon. All these previous studies have primarily explored these associations in clinical settings, either public or private, without a specific focus on PDs. Therapists that work in facilities specialised in PD may be used to deal with patients with these mental disorders and are more likely to manage emotional reactions beyond the patients’ level of severity. This may be due to continue opportunities of experiential learning, regular clinical supervision and reflective practice that are focused on these specific kind of patients and that can help in the recognition of the emotional impact that such individuals have on their therapists [10]. Finally, how patients’ personality traits relate to other variables in determining countertransference reactions is still a subject of wide scientific debate. More specifically, little research has examined which characteristics of a patient or of the clinician (e.g., age, gender) are most likely to evoke negative reactions in the therapist [11]. Although Lingiardi and colleagues [8] suggest that descriptive information related to the psychotherapists and their patients don’t have a key role in determining therapists’ emotional reactions, Liebman and Burnette [11] showed a number of client- and clinician- level factors that impact on countertransference reactions. A better understanding of the relationship between these variables can help to better identify therapists’ emotional reactions and the way they may impact treatment decisions. Therefore, the goal of the present study is to explore the therapist’s emotional reactions toward patients with PDs involving clinical settings specialized in treatment of personality pathology (particularly borderline traits). We address three specific research questions: (1) Is there a relationship between patients’ symptom severity and therapist emotional response? (2) Are there patients’ functioning configurations that can be associated with specific therapist reactions? (3) Do correlations between countertransference and patient personality functioning remain significant also when accounting for variables such as patient or therapist characteristics (mean age, years of therapeutic experience)? Given frequent compromised clinical conditions shown by patients treated in mental health facilities, we hypothesize that symptom severity won’t be related with therapist emotional responses that are use to work with such patients with PD. Conversely with previous work [5, 6], we can prudentially expect that borderline traits (SWAP borderline PD score) will not be related with strong emotional reaction in the therapists. This can be hypothesized because borderline patients are commonly treated in the present therapeutic context. Differently, we can expect that disorders that are less commonly treated in these kind of facilities such as A or C clusters may be related with difficult-to-manage emotions. Moreover, following Lingiardi and colleagues findings [8] it can be hypothesized that countertransference reactions won’t be accounted for psychotherapists and patients characteristics or other setting variables (e.g. age, duration of the treatment).
null
null
Results
Table 1 shows information about patients, psychotherapists experience and the treatment duration. Patients and therapists characteristics and treatment information Descriptive statistics about patients’ personality traits and therapists’ emotional responses are reported in Tables 2 and 3 respectively. Helpless/Inadequate variable showed the highest scores indicating that this reaction was on average endorsed most strongly than others TRQ scores (i.e. positive/satisfying).Table 2Patients personality traits expressed in SWAP PD and Q scores descriptive statistics M SD SWAP PD scoresParanoid46.628.29Schizoid45.087.36Schizotypal46.857.10Antisocial50.656.69Borderline58.279.84Histrionic55.228.92Narcissistic48.956.83Avoidant45.777.30Dependent50.707.00Obsessive compulsive40.749.07High cunctioning48.628.05SWAP Q scoresDysphoric 51.52 7.26Antisocial50.756.49Schizoid45.737.25Paranoid47.207.80Obsessive compulsive44.238.66Histrionic55.3510.05Narcissistic46.0710.72Avoidant46.846.93Depressive/high functioning 50.916.99Emotionally dysregulated55.538.74Dependent54.818.82Hostility47.448.58High functioning48.387.24Table 3Therapist Response Questionnaire (TRQ) descriptive statisticsTRQ scores M SD Overwhelmed/disorganized2.390.63Helpless/inadequate2.740.67Positive/satisfying2.390.61Special/overinvolved1.440.38Sexualized1.390.48Disengaged2.210.75Parental/protective2.160.60Criticized/mistreated2.090.62Hostile/angry2.220.68 Patients personality traits expressed in SWAP PD and Q scores descriptive statistics Therapist Response Questionnaire (TRQ) descriptive statistics No significant correlations were found between GSI score and TRQ factors (see Additional file 1 for details). Correlations were computed to identify the SWAP-200 PD and Q scores that were statistically related (see Additional file 1 for details). Considering the significant results of the correlations, the regression analysis results identified the SWAP predictors that explained TRQ scores (Table 4). Table 4 Regression analysis of changes in TRQ scores on SWAP PD and Q scoresDependent variableIndependent variableB t P Overwhelmed/disorganized PD antisocial0.352.370.023°*PD obsessive compulsive− 0.36− 2.470.018°*Q dysphoric0.372.550.015°*Q antisocial0.372.570.014°*Q avoidant− 0.32− 2.160.037°* Helpless/inadequate PD obsessive compulsive0.312.120.040*Q hostility0.322.210.033°* Positive satisfyingPD high functioning0.251.690.099Q depressive/high functioning0.372.520.016°* Special/overinvolved PD schizoid− 0.42− 2.940.005°**Q avoidant− 0.39− 2.750.009°** SexualizedP paranoid− 0.37− 2.540.01°**Q paranoid− 0.35− 2.420.03°* Disengaged PD schizoid0.402.810.02°*PD avoidant0.352.430.008°**PD obsessive compulsive0.503.660.001°** Parental/protective Q dependent0.312.080.04°*Q hostility− 0.33− 2.270.03°* Criticized/mistreated Q dysphoric0.423.000.005°** Hostile/angryPD antisocial0.332.230.031°*PD dependent− 0.32− 2.160.037°*Q antisocial0.332.250.030°*°Controlled for GSI scores, patients age, patients years of study, years of therapist experience and duration of the treatment*p ≤ .05; **p ≤ .01;  Regression analysis of changes in TRQ scores on SWAP PD and Q scores °Controlled for GSI scores, patients age, patients years of study, years of therapist experience and duration of the treatment *p ≤ .05; **p ≤ .01; More specifically, Overwhelmed/Disorganized TRQ scores were positively predicted by PD Antisocial (R2 = 0.121, F(1, 42) = 5.62, p ≤ .05), by Q Dysphoric (R2 = 0.137, F(1, 42) = 6.50, p ≤ .05) and by Q Antisocial (R2 = 0.138, F(1, 42) = 6.59, p ≤ .05) SWAP scores. Overwhelmed/Disorganized TRQ scores were negatively predicted by PD Obsessive compulsive (R2 = 0.130, F(1, 42) = 6.11, p ≤ .05) and Q Avoidant scores (R2 = 0.102, F(1, 42) = 4.67, p ≤ .037). We computed partial correlation to control for “Descriptive and clinical Variables.” All of the relations between SWAP variables and TRQ scores remained significant predictors (Partial correlation: PD Antisocial = 0.38, p = .009; Q Dysphoric = 0.39, p = .007; Q Antisocial = 0.40, p = .006; PD Obsessive compulsive = − 0.36, p = .012; Q Avoidant = − 0.36, p = .011) of Overwhelmed/disorganized TRQ scores. Helpless/inadequate TRQ scores were positively predicted by PD Obsessive compulsive (R2 = 0.099, F(1, 42) = 4.50, p ≤ .05) and by Q Hostility (R2 = 0.106, F(1, 42) = 4.89, p ≤ .05) SWAP scores. However, when controlled for “Descriptive and clinical variables”, only Q Hostility (Partial correlation: 0.46 p = .002) remained a significant predictor. Positive satisfying TRQ scores were not significantly predicted by PD High functioning (R2 = 0.065, F(1, 42) = 2.85, p = .099), but they were positively predicted by Q Depressive/high functioning scores (R2 = 0.134, F(1, 42) = 6.33, p ≤ .05) SWAP scores. Even when controlled for “Descriptive and clinical variables”, Q Depressive/high functioning remained a significant predictor (Partial Correlation = − 0.40, p = .006). Special/overinvolved TRQ scores were negatively predicted by PD schizoid (R2 = 0.174, F(1, 42) = 8.65, p ≤ .05) and by Q Avoidant (R2 = 0.156, F(1, 42) = 7.58, p ≤ .01) SWAP scores. Even when controlled for “Descriptive and clinical variables”, both SWAP variables remained significant predictors (PD Schizoid = − 0.48, p = .001; Q Avoid = − 0.54, p = .000) of Special/overinvolved TRQ scores. Sexualized TRQ Scores were negatively predicted by both P Paranoid (R2 = 0.136, F(1, 42) = 6.47, p ≤ .01) and Q Paranoid (R2 = 0.125, F(1, 42) = 5.84, p ≤ .05) SWAP scores. Even when controlled for “Descriptive and clinical variables”, P paranoid (Partial Correlation = − 0.309, p = .055) and Q paranoid remained a significant predictor (Partial Correlation = − 0.307, p = .029). Disengaged TRQ Scores were positively predicted by PD Schizoid (R2 = 0.162, F(1, 42) = 7.91, p ≤ .01), PD Avoidant (R2 = 0.126, F(1, 42) = 5.89, p ≤ .05), PD Obsessive compulsive (R2 = 0.246, F(1, 42) = 13.41, p ≤ .01). Even when controlled for “Descriptive and clinical variables”, all these SWAP variables remained significant predictors (PD Schizoid Partial Correlation = 0.441, p = .002; PD Avoidant Partial Correlation = 0.371, p = .01; PD Obsessive compulsive Partial Correlation = 0.371, p = .01). Parental Protective TRQ Scores were positively predicted by Q Dependent Scores (R2 = 0.096, F(1, 42) = 4.35, p ≤ .05), and negatively predicted by Q Hostility (R2 = 0.112, F(1, 42) = 5.16, p ≤ .05) SWAP scores. Even when controlled for “Descriptive and clinical variables”, all these SWAP variables remained significant predictors (Q dependent Partial Correlation = 0.370, p = .01; Q hostility Partial Correlation = 0.370, p = .01). Criticized/ Mistreated TRQ Scores were positively predicted by Q Dysphoric SWAP scores (R2 = 0.180, F(1, 42) = 8.98, p ≤ .005). Even when controlled for “Descriptive and clinical variables”, Q Dysphoric scores remained a significant predictor (Partial Correlation = 0.453, p = .002). Hostile/ angry TRQ Scores were positively predicted by PD Antisocial (R2 = 0.108, F(1, 42) = 4.98, p ≤ .05) and Q Antisocial (R2 = 0.110, F(1, 42) = 5.05, p ≤ .05) scores and negatively predicted by PD Dependent (R2 = 0.102, F(1, 42) = 4.66, p ≤ .05) scores. Even when controlled for “Descriptive and clinical variables”, all these SWAP variables remained significant predictors (PD Antisocial Partial Correlation = 0.471, p = .001; Q Antisocial Partial Correlation = 0.479, p = .001; PD Dependent Partial Correlation = − 0.313, p = .026).
Conclusions
Additional file 1. Supplementary material. Additional file 1. Supplementary material.
[ "Introduction", "Methods", "Patient characteristics", "Therapists", "Assessment measures", "Data analyses", "Discussion", "Conclusions" ]
[ "Treating people with personality disorders (PD), in particular with borderline personality disorder, can trigger intensive emotional reactions in the psychotherapist [1]. Recognizing and understanding the therapist emotional reactions has crucial implications for treatment, not only for the on-going psychotherapy in outpatient facilities but also for briefer encounters in emergency departments [2].\nThe influence of specific personality syndromes on the patient-therapist relationship has already received attention from the scientific community. Rossberg and colleagues [3, 4] documented that patients with cluster A and B personality disorders were related to more negative and less positive therapist emotional responses than those with cluster C personality disorders, and patients who dropped out of treatment evoked more negative countertransference reactions than patients who completed the treatment. Negative emotional reactions when dealing with cluster B personality disorders, which seems to be related to more mixed and negative responses in their therapists than clusters A and C personality disorders, were also found by Colli and colleagues [5] and by Tanzilli and colleagues [6]. The available evidence confirms that patients with PD, especially borderline disorders, tend to be associated with a strong emotional reaction in the therapist. However, this reaction was found in large samples of psychiatrists and clinical psychologists that explored cases taken from their private practice psychotherapies and not exclusively from centers specialized in the treatment of personality disorders [5, 6].\nLevel of interpersonal functioning and personality style seem to have a stronger correlation with countertransference feelings than with a patient’s general level of functioning or with his or her level of symptoms severity [7, 8], Dimaggio and colleagues’ [9] evidenced that symptomatic condition appears to be related to the outcome of the treatments of patients with personality disorders. This may be true for some personality disorders (i.e., schizotypal, borderline, histrionic, and avoidant) that showed that the symptomatology partially mediates the relationship between their personality disorders and their therapists’ emotional responses. In these cases, the severity of clinical condition seems to be related with stronger degree of negative emotional responses [8]. As the different therapeutic approaches and other variables of the therapist (as gender, age, profession, and experience) seem to be not significantly related to countertransference reactions [8], the type of setting analysed could be a key element that could explain this phenomenon.\nAll these previous studies have primarily explored these associations in clinical settings, either public or private, without a specific focus on PDs. Therapists that work in facilities specialised in PD may be used to deal with patients with these mental disorders and are more likely to manage emotional reactions beyond the patients’ level of severity. This may be due to continue opportunities of experiential learning, regular clinical supervision and reflective practice that are focused on these specific kind of patients and that can help in the recognition of the emotional impact that such individuals have on their therapists [10].\nFinally, how patients’ personality traits relate to other variables in determining countertransference reactions is still a subject of wide scientific debate. More specifically, little research has examined which characteristics of a patient or of the clinician (e.g., age, gender) are most likely to evoke negative reactions in the therapist [11]. Although Lingiardi and colleagues [8] suggest that descriptive information related to the psychotherapists and their patients don’t have a key role in determining therapists’ emotional reactions, Liebman and Burnette [11] showed a number of client- and clinician- level factors that impact on countertransference reactions. A better understanding of the relationship between these variables can help to better identify therapists’ emotional reactions and the way they may impact treatment decisions.\nTherefore, the goal of the present study is to explore the therapist’s emotional reactions toward patients with PDs involving clinical settings specialized in treatment of personality pathology (particularly borderline traits). We address three specific research questions: (1) Is there a relationship between patients’ symptom severity and therapist emotional response? (2) Are there patients’ functioning configurations that can be associated with specific therapist reactions? (3) Do correlations between countertransference and patient personality functioning remain significant also when accounting for variables such as patient or therapist characteristics (mean age, years of therapeutic experience)?\nGiven frequent compromised clinical conditions shown by patients treated in mental health facilities, we hypothesize that symptom severity won’t be related with therapist emotional responses that are use to work with such patients with PD. Conversely with previous work [5, 6], we can prudentially expect that borderline traits (SWAP borderline PD score) will not be related with strong emotional reaction in the therapists. This can be hypothesized because borderline patients are commonly treated in the present therapeutic context. Differently, we can expect that disorders that are less commonly treated in these kind of facilities such as A or C clusters may be related with difficult-to-manage emotions. Moreover, following Lingiardi and colleagues findings [8] it can be hypothesized that countertransference reactions won’t be accounted for psychotherapists and patients characteristics or other setting variables (e.g. age, duration of the treatment).", "Patient characteristics \n49 patients were asked to enter the study, but 6 patients refused (12.24 %). The final sample is composed by 43 outpatients with PDs (Female N = 26, 60.5 %; Male N = 17, 39.5 %) who underwent a psychotherapy treatment (at least six sessions). The therapy was administered in two Italian facilities dedicated to outpatients with personality disorders treatment: Centro Interdipartimentale per la Ricerca sui Disturbi di Personalità [Inter-departmental center for personality disorder research], located in Pavia and Casa di Howl [Howl’s house] located in Genoa.\n\n49 patients were asked to enter the study, but 6 patients refused (12.24 %). The final sample is composed by 43 outpatients with PDs (Female N = 26, 60.5 %; Male N = 17, 39.5 %) who underwent a psychotherapy treatment (at least six sessions). The therapy was administered in two Italian facilities dedicated to outpatients with personality disorders treatment: Centro Interdipartimentale per la Ricerca sui Disturbi di Personalità [Inter-departmental center for personality disorder research], located in Pavia and Casa di Howl [Howl’s house] located in Genoa.", "\n49 patients were asked to enter the study, but 6 patients refused (12.24 %). The final sample is composed by 43 outpatients with PDs (Female N = 26, 60.5 %; Male N = 17, 39.5 %) who underwent a psychotherapy treatment (at least six sessions). The therapy was administered in two Italian facilities dedicated to outpatients with personality disorders treatment: Centro Interdipartimentale per la Ricerca sui Disturbi di Personalità [Inter-departmental center for personality disorder research], located in Pavia and Casa di Howl [Howl’s house] located in Genoa.", "19 therapists of the two involved centers accepted to join the study and proposed the present research to eligible patients. The recruitment started on April 2017 and ended on September 2018. Once obtained the consent from therapists and patients, the questionnaires were delivered. Ethical approval was granted by the ethical committees of the Pavia Inter-departmental center for personality disorder research.", "Descriptive information related to the psychotherapists and their patients were collected in order to have details about the different clinical situations involved (age, years of study, number of hospitalizations, years of therapist experience and duration of the treatment).\nThe Shedler-Westen Assessment Procedure-200 (SWAP-200) [12, 13] was used to assess the personality of the patients. This Q-sort instrument includes 200 statements describing several aspects of personality, each of which may describe a given patient well, somewhat, or not at all. The clinician ranks these statements into eight categories from those that are most descriptive (assigned value of 7) to those that are not descriptive (assigned a value of 0). This instrument provides a personality assessment expressed by a final rating divided in 11 Personality Disorders factors (PD T-scores) and 13 Q sort factors (Q scores). While PD T-scores are related with DSM-IV personality disorder as explained in Axis II diagnosis, Q sort factors scores for an alternative set of personality syndromes often seen in clinical practice that addresses limitations of the DSM-IV diagnostic system. Indeed, this procedure is “bottom-up”: it means the clinician tries to compare his patient with the prototype of a specific personality disorder and to define how his patient is near to this prototype. In this way, “Q-factor analysis identifies groups of similar people who share a common syndrome” [13]—not groups of diseases. The Italian version of the SWAP was used [14]. The present instrument has been widely used in process and outcome research [e.g., 15] as well as on group studies with a variety of clinical populations and measures [16]. Previous findings has evidenced that the present instrument is a valid and reliable tool that can facilitate diagnosis process: reliability of SWAP–200 personality descriptions has ranged from 0.75 to 0.89 (Marin-Avellan, McGauley, Campbell, and Fonagy 2005; Shedler and Westen 1998; Westen and Muderrisoglu 2003). Moreover, interrater reliability of SWAP diagnostic scales assessed by independent clinicians and the treating clinicians averaged greater than 0.80 for all SWAP diagnostic scales [17].\nThe Symptom Checklist-90 Revised. The SCL-90 R [18] is a widely used self-report assessing 90 psychiatric symptoms on a 5-point Likert scale, ranging from 0 (not at all) to 4 (extremely). SCL-90-R explores how much the patient had “been distressed” by the symptom within the past seven days. The Global Severity Index (GSI) score, which is the mean rating across all 90 items that summarizes the client’s general psychiatric symptom severity, was used for the present study. The present scale has previously shown a good level of validity and reliability with a Cronbach alpha coefficient higher than 0.90 [19].\n\nThe Therapist Response Questionnaire (TRQ) [20, 21] is a clinician questionnaire designed to explore the emotional responses of psychotherapists to their patients. It consists of 79 items that can be synthetized into nine factors of the therapist’s emotional response to the patient: Overwhelmed/Disorganized, Helpless/Inadequate, Positive/Alliance, Special/Overinvolved, Sexualized, Disengaged, Parental/Protective, Criticized/Mistreated, Hostile/Angry. The present instrument has shown good previous levels of reliability coefficients for all of the subscales with Cronbach coefficients almost at or slightly above 0.80 (i.e. Helpless/Inadequate α = 0.90; Disengaged α = 0.78) [21].", "Normality assumption was verified for all quantitative variables. Correlations between variables were tested calculating Pearson coefficient or, if normality assumptions were violated, the nonparametric Spearman coefficient. More specifically with GSI score and TRQ factors was performed in order to assess any direct relationship between patient symptom severity and therapist response. A Pearson correlation with the SWAP-200 PD and Q scores and the TRQ factors was performed in order to explore the associations between the variables. Subsequently, only considering the variables that showed a significant correlation, a linear regression with enter method was applied [22]. More specifically multiple regression models were set with the single SWAP-200 PDs and Qs score as target variable and the single TRQ factor as independent determinant. A p < .001 Mahalanobi’s distance criterion was used to identify and skip multivariate outliers. All regression models were evaluated through statistically significant variation of R and Cohen’s [23] effect size f2. When regressions evidenced significant predictors, partial correlations were performed to exclude the influence of “patients’ age”, “patients’ years of study”, “number of hospitalizations”, “years of therapist experience” and “duration of the treatment” and “SCL-90-R GSI scores” (abbreviated in “Descriptive and clinical Variables” in the results and discussion section).", "The present paper provided important results related with therapist’s emotional reactions in mental facilities treatment specialised in PD. Our first aim was to investigate the direct relationship between patients’ symptom severity and therapist emotional response. Differently with previous data [8], we did not find significant relationships between the clinical severity of the symptoms and the therapist response. As expected, therapists working in these clinical settings may be less influenced by the clinical severity of patients. This may be related to the fact that therapists that work in such facilities have a specialised expertise in the treatment of PD [10].\nConsidering SWAP subscales, personality traits configurations showed significant correlations with specific TRQ scores. In line with the initial hypotheses, considering this kind of setting borderline traits were not related with strong emotional reaction in the therapists. This result is different previous results [5, 6], and may be due to the specific area of expertise of the psychotherapists that are used to work with patients with borderline traits. The specific facilities involved in the present study are focused on the treatment of borderline disorders and it may be that their therapists are able to work at the required emotional level with this kind of patients. Conversely, as different PDs are thought to have a different impact on therapy relationship, mostly based on their typical interpersonal schemas [9], therapists that works in the present facilities may have found more intense reactions working with less common schemas than usual. This may be true not only for A and C clusters that were related to negative therapist emotional responses, but also for other PDs related to B clusters a part from borderline. Similarly to Colli and colleagues findings [5], antisocial factors resulted correlated with hostile/angry therapist’s reactions and with overwhelmed/disorganized emotional responses. This is an interesting element showing that working with patients with antisocial traits can be related with intense anger and irritation even for therapists of this area of expertise. In a similar way narcissistic, and hostility/externalizing factors are related to criticized and mistreated emotional responses from the therapist.\nA and C clusters were related with difficult-to-manage emotional responses in the therapists. More specifically, A cluster traits were positively associated with detached emotions and negatively related with proximity patterns such as involved or sexualized patterns. The schizoid factor was negatively correlated with special/overinvolved emotional response and positively correlated with disengaged responses, which is coherent with previous studies [5, 20].\nIn a similar way, C cluster Obsessive Compulsive and Avoidant traits were negatively related with Disengaged, Helpless/inadequate and Overwhelmed dimensions. In particular, the presence of obsessive-compulsive trait in different kinds of emotional response of the therapist is very interesting: the clinical interpretation of this data could lead us to highlight the difficult involvement in the treatment that characterizes this type of patient. Differently, considering the dependent/masochistic trait, the positive correlation with parental/protective emotional response of the therapist and the negative correlation with hostile angry emotions is confirmed [5].\nThe presence of positive and significant correlation between the psychological functioning of the patient [Q depressive (neurotic) high functioning] and the positive satisfying emotional response by the therapists is in line with previous findings [5]. Finally, the low level of sexualized emotional response of the therapist is a common factor that goes beyond personality traits. This is probably due to the public or institutional setting used for all the treatment. In our opinion, this could represent an important factor in the patient/therapist relationship.\nThe results of the present study confirm the influence of specific personality traits on the emotional response of the psychotherapist. Data showed that patient’s characteristics seem to have a great importance on therapist’ emotional responses compared to other variables such as age and educational level of the patient or years of therapist experience and duration of the treatment. This finding confirms the idea that personality characteristics and interpersonal functioning of patients is related with distinct emotional responses in therapists [8]. Differently from previous results [11], these relationships appear to be solid since only one case (Helpless/inadequate and PD Obsessive Compulsive) didn’t remain significant after controlling for the descriptive variables considered. This may be related to the fact that therapists considered in Liebman and Burnette paper [11] belonged to very different areas of expertise.\nThis study does not come without limitations. First, the same clinician provided data about both patients’ disorders and his or her own countertransference. Consequently the present results should be interpreted cautiously as they reflect the perception that the clinicians have about their patients and their emotional reactions as well. Although SWAP scales have previously showed high level of interrater reliability [17] and we controlled the results for setting variables (i.e. the duration of the treatment and the years of therapists experience), biases related to the ratings of different patients by the same therapists may also have occurred. A more rigorous research design, which should be conducted in future works, would include an independent assessment of patients’ personality disorders or the use of an observer-rated analysis of therapists’ reactions, or both. The present exploratory study provided correlations between 24 SWAP variables and 9 TRQ reactions. This multiple testing may lead to Type 1 error i.e. false positive, future confirmatory study may therefore verify these results with more refined analyzes. Finally, the sample is representative of patients with severe mental disorders, but the limited number of patients prevents us from more general conclusions. Even if the present study was proposed to all mental facilities’ patients not everyone accepted. It’s possible that those who did not accept may show recursive configurations in terms of personality traits and psychological functioning that may be worthy of interest.", "Despite some limitation, this work confirms the value of therapists’ emotional response as a useful tool in understanding psychological processes related to clinical practice focused on patients with severe mental disorders. Moreover, the present paper evidenced that most of the significance considering the effects of patients and therapists variables related to a very specific clinical setting. Even when controlled for clinical variable related to a very specific clinical setting (severity condition, duration of the treatment, patients’ age, educational level of the patient and years of therapist experience), most of SWAP-200 traits appeared to be significant predictors of therapist’ emotional responses. This result stresses the need to take in high consideration the features of the psychotherapist. As the results of the Third Interdivisional APA Task Force on Evidence-Based Relationships and Responsiveness showed [24], each psychotherapeutic treatment presents more possibilities to reach a good outcome if the psychotherapist will be able to tailor his approach and his personality features in relation to personality, culture, and preferences of the patient. For every therapist, handling one’s own emotional responses is a crucial aspect to provide effective and balanced treatments. As in other European countries [25], sharing simple, principle-driven, ‘common-factors’ framework for the treatment of PDs, both in and outside of Italian specialized settings could be a relevant issue. Future research could assess the effectiveness of the PD treatments based on common factors that can integrate the knowledge of the scientific community and professional expertise.\nThe present findings suggest that when only facilities specialised in personality disorders’ treatments are involved, the relationship between patient personality characteristics and emotional response in therapists seem to be not influenced by the clinical severity of the patient. The present reactions, and therefore the patient-therapist relationship could be particularly context-dependent and may be influenced by the therapist area of expertise, which is an aspect with both clinical and scientific implications." ]
[ null, null, null, null, null, null, null, null ]
[ "Introduction", "Methods", "Patient characteristics", "Therapists", "Assessment measures", "Data analyses", "Results", "Discussion", "Conclusions", "Supplementary Information" ]
[ "Treating people with personality disorders (PD), in particular with borderline personality disorder, can trigger intensive emotional reactions in the psychotherapist [1]. Recognizing and understanding the therapist emotional reactions has crucial implications for treatment, not only for the on-going psychotherapy in outpatient facilities but also for briefer encounters in emergency departments [2].\nThe influence of specific personality syndromes on the patient-therapist relationship has already received attention from the scientific community. Rossberg and colleagues [3, 4] documented that patients with cluster A and B personality disorders were related to more negative and less positive therapist emotional responses than those with cluster C personality disorders, and patients who dropped out of treatment evoked more negative countertransference reactions than patients who completed the treatment. Negative emotional reactions when dealing with cluster B personality disorders, which seems to be related to more mixed and negative responses in their therapists than clusters A and C personality disorders, were also found by Colli and colleagues [5] and by Tanzilli and colleagues [6]. The available evidence confirms that patients with PD, especially borderline disorders, tend to be associated with a strong emotional reaction in the therapist. However, this reaction was found in large samples of psychiatrists and clinical psychologists that explored cases taken from their private practice psychotherapies and not exclusively from centers specialized in the treatment of personality disorders [5, 6].\nLevel of interpersonal functioning and personality style seem to have a stronger correlation with countertransference feelings than with a patient’s general level of functioning or with his or her level of symptoms severity [7, 8], Dimaggio and colleagues’ [9] evidenced that symptomatic condition appears to be related to the outcome of the treatments of patients with personality disorders. This may be true for some personality disorders (i.e., schizotypal, borderline, histrionic, and avoidant) that showed that the symptomatology partially mediates the relationship between their personality disorders and their therapists’ emotional responses. In these cases, the severity of clinical condition seems to be related with stronger degree of negative emotional responses [8]. As the different therapeutic approaches and other variables of the therapist (as gender, age, profession, and experience) seem to be not significantly related to countertransference reactions [8], the type of setting analysed could be a key element that could explain this phenomenon.\nAll these previous studies have primarily explored these associations in clinical settings, either public or private, without a specific focus on PDs. Therapists that work in facilities specialised in PD may be used to deal with patients with these mental disorders and are more likely to manage emotional reactions beyond the patients’ level of severity. This may be due to continue opportunities of experiential learning, regular clinical supervision and reflective practice that are focused on these specific kind of patients and that can help in the recognition of the emotional impact that such individuals have on their therapists [10].\nFinally, how patients’ personality traits relate to other variables in determining countertransference reactions is still a subject of wide scientific debate. More specifically, little research has examined which characteristics of a patient or of the clinician (e.g., age, gender) are most likely to evoke negative reactions in the therapist [11]. Although Lingiardi and colleagues [8] suggest that descriptive information related to the psychotherapists and their patients don’t have a key role in determining therapists’ emotional reactions, Liebman and Burnette [11] showed a number of client- and clinician- level factors that impact on countertransference reactions. A better understanding of the relationship between these variables can help to better identify therapists’ emotional reactions and the way they may impact treatment decisions.\nTherefore, the goal of the present study is to explore the therapist’s emotional reactions toward patients with PDs involving clinical settings specialized in treatment of personality pathology (particularly borderline traits). We address three specific research questions: (1) Is there a relationship between patients’ symptom severity and therapist emotional response? (2) Are there patients’ functioning configurations that can be associated with specific therapist reactions? (3) Do correlations between countertransference and patient personality functioning remain significant also when accounting for variables such as patient or therapist characteristics (mean age, years of therapeutic experience)?\nGiven frequent compromised clinical conditions shown by patients treated in mental health facilities, we hypothesize that symptom severity won’t be related with therapist emotional responses that are use to work with such patients with PD. Conversely with previous work [5, 6], we can prudentially expect that borderline traits (SWAP borderline PD score) will not be related with strong emotional reaction in the therapists. This can be hypothesized because borderline patients are commonly treated in the present therapeutic context. Differently, we can expect that disorders that are less commonly treated in these kind of facilities such as A or C clusters may be related with difficult-to-manage emotions. Moreover, following Lingiardi and colleagues findings [8] it can be hypothesized that countertransference reactions won’t be accounted for psychotherapists and patients characteristics or other setting variables (e.g. age, duration of the treatment).", "Patient characteristics \n49 patients were asked to enter the study, but 6 patients refused (12.24 %). The final sample is composed by 43 outpatients with PDs (Female N = 26, 60.5 %; Male N = 17, 39.5 %) who underwent a psychotherapy treatment (at least six sessions). The therapy was administered in two Italian facilities dedicated to outpatients with personality disorders treatment: Centro Interdipartimentale per la Ricerca sui Disturbi di Personalità [Inter-departmental center for personality disorder research], located in Pavia and Casa di Howl [Howl’s house] located in Genoa.\n\n49 patients were asked to enter the study, but 6 patients refused (12.24 %). The final sample is composed by 43 outpatients with PDs (Female N = 26, 60.5 %; Male N = 17, 39.5 %) who underwent a psychotherapy treatment (at least six sessions). The therapy was administered in two Italian facilities dedicated to outpatients with personality disorders treatment: Centro Interdipartimentale per la Ricerca sui Disturbi di Personalità [Inter-departmental center for personality disorder research], located in Pavia and Casa di Howl [Howl’s house] located in Genoa.", "\n49 patients were asked to enter the study, but 6 patients refused (12.24 %). The final sample is composed by 43 outpatients with PDs (Female N = 26, 60.5 %; Male N = 17, 39.5 %) who underwent a psychotherapy treatment (at least six sessions). The therapy was administered in two Italian facilities dedicated to outpatients with personality disorders treatment: Centro Interdipartimentale per la Ricerca sui Disturbi di Personalità [Inter-departmental center for personality disorder research], located in Pavia and Casa di Howl [Howl’s house] located in Genoa.", "19 therapists of the two involved centers accepted to join the study and proposed the present research to eligible patients. The recruitment started on April 2017 and ended on September 2018. Once obtained the consent from therapists and patients, the questionnaires were delivered. Ethical approval was granted by the ethical committees of the Pavia Inter-departmental center for personality disorder research.", "Descriptive information related to the psychotherapists and their patients were collected in order to have details about the different clinical situations involved (age, years of study, number of hospitalizations, years of therapist experience and duration of the treatment).\nThe Shedler-Westen Assessment Procedure-200 (SWAP-200) [12, 13] was used to assess the personality of the patients. This Q-sort instrument includes 200 statements describing several aspects of personality, each of which may describe a given patient well, somewhat, or not at all. The clinician ranks these statements into eight categories from those that are most descriptive (assigned value of 7) to those that are not descriptive (assigned a value of 0). This instrument provides a personality assessment expressed by a final rating divided in 11 Personality Disorders factors (PD T-scores) and 13 Q sort factors (Q scores). While PD T-scores are related with DSM-IV personality disorder as explained in Axis II diagnosis, Q sort factors scores for an alternative set of personality syndromes often seen in clinical practice that addresses limitations of the DSM-IV diagnostic system. Indeed, this procedure is “bottom-up”: it means the clinician tries to compare his patient with the prototype of a specific personality disorder and to define how his patient is near to this prototype. In this way, “Q-factor analysis identifies groups of similar people who share a common syndrome” [13]—not groups of diseases. The Italian version of the SWAP was used [14]. The present instrument has been widely used in process and outcome research [e.g., 15] as well as on group studies with a variety of clinical populations and measures [16]. Previous findings has evidenced that the present instrument is a valid and reliable tool that can facilitate diagnosis process: reliability of SWAP–200 personality descriptions has ranged from 0.75 to 0.89 (Marin-Avellan, McGauley, Campbell, and Fonagy 2005; Shedler and Westen 1998; Westen and Muderrisoglu 2003). Moreover, interrater reliability of SWAP diagnostic scales assessed by independent clinicians and the treating clinicians averaged greater than 0.80 for all SWAP diagnostic scales [17].\nThe Symptom Checklist-90 Revised. The SCL-90 R [18] is a widely used self-report assessing 90 psychiatric symptoms on a 5-point Likert scale, ranging from 0 (not at all) to 4 (extremely). SCL-90-R explores how much the patient had “been distressed” by the symptom within the past seven days. The Global Severity Index (GSI) score, which is the mean rating across all 90 items that summarizes the client’s general psychiatric symptom severity, was used for the present study. The present scale has previously shown a good level of validity and reliability with a Cronbach alpha coefficient higher than 0.90 [19].\n\nThe Therapist Response Questionnaire (TRQ) [20, 21] is a clinician questionnaire designed to explore the emotional responses of psychotherapists to their patients. It consists of 79 items that can be synthetized into nine factors of the therapist’s emotional response to the patient: Overwhelmed/Disorganized, Helpless/Inadequate, Positive/Alliance, Special/Overinvolved, Sexualized, Disengaged, Parental/Protective, Criticized/Mistreated, Hostile/Angry. The present instrument has shown good previous levels of reliability coefficients for all of the subscales with Cronbach coefficients almost at or slightly above 0.80 (i.e. Helpless/Inadequate α = 0.90; Disengaged α = 0.78) [21].", "Normality assumption was verified for all quantitative variables. Correlations between variables were tested calculating Pearson coefficient or, if normality assumptions were violated, the nonparametric Spearman coefficient. More specifically with GSI score and TRQ factors was performed in order to assess any direct relationship between patient symptom severity and therapist response. A Pearson correlation with the SWAP-200 PD and Q scores and the TRQ factors was performed in order to explore the associations between the variables. Subsequently, only considering the variables that showed a significant correlation, a linear regression with enter method was applied [22]. More specifically multiple regression models were set with the single SWAP-200 PDs and Qs score as target variable and the single TRQ factor as independent determinant. A p < .001 Mahalanobi’s distance criterion was used to identify and skip multivariate outliers. All regression models were evaluated through statistically significant variation of R and Cohen’s [23] effect size f2. When regressions evidenced significant predictors, partial correlations were performed to exclude the influence of “patients’ age”, “patients’ years of study”, “number of hospitalizations”, “years of therapist experience” and “duration of the treatment” and “SCL-90-R GSI scores” (abbreviated in “Descriptive and clinical Variables” in the results and discussion section).", "Table 1 shows information about patients, psychotherapists experience and the treatment duration.\nPatients and therapists characteristics and treatment information\nDescriptive statistics about patients’ personality traits and therapists’ emotional responses are reported in Tables 2 and 3 respectively. Helpless/Inadequate variable showed the highest scores indicating that this reaction was on average endorsed most strongly than others TRQ scores (i.e. positive/satisfying).Table 2Patients personality traits expressed in SWAP PD and Q scores descriptive statistics\nM\n\nSD\nSWAP PD scoresParanoid46.628.29Schizoid45.087.36Schizotypal46.857.10Antisocial50.656.69Borderline58.279.84Histrionic55.228.92Narcissistic48.956.83Avoidant45.777.30Dependent50.707.00Obsessive compulsive40.749.07High cunctioning48.628.05SWAP Q scoresDysphoric\n51.52\n7.26Antisocial50.756.49Schizoid45.737.25Paranoid47.207.80Obsessive compulsive44.238.66Histrionic55.3510.05Narcissistic46.0710.72Avoidant46.846.93Depressive/high functioning 50.916.99Emotionally dysregulated55.538.74Dependent54.818.82Hostility47.448.58High functioning48.387.24Table 3Therapist Response Questionnaire (TRQ) descriptive statisticsTRQ scores\nM\n\nSD\nOverwhelmed/disorganized2.390.63Helpless/inadequate2.740.67Positive/satisfying2.390.61Special/overinvolved1.440.38Sexualized1.390.48Disengaged2.210.75Parental/protective2.160.60Criticized/mistreated2.090.62Hostile/angry2.220.68\nPatients personality traits expressed in SWAP PD and Q scores descriptive statistics\nTherapist Response Questionnaire (TRQ) descriptive statistics\nNo significant correlations were found between GSI score and TRQ factors (see Additional file 1 for details).\nCorrelations were computed to identify the SWAP-200 PD and Q scores that were statistically related (see Additional file 1 for details). Considering the significant results of the correlations, the regression analysis results identified the SWAP predictors that explained TRQ scores (Table 4).\nTable 4 Regression analysis of changes in TRQ scores on SWAP PD and Q scoresDependent variableIndependent variableB\nt\n\nP\n\nOverwhelmed/disorganized\nPD antisocial0.352.370.023°*PD obsessive compulsive− 0.36− 2.470.018°*Q dysphoric0.372.550.015°*Q antisocial0.372.570.014°*Q avoidant− 0.32− 2.160.037°*\nHelpless/inadequate\nPD obsessive compulsive0.312.120.040*Q hostility0.322.210.033°* Positive satisfyingPD high functioning0.251.690.099Q depressive/high functioning0.372.520.016°*\nSpecial/overinvolved\nPD schizoid− 0.42− 2.940.005°**Q avoidant− 0.39− 2.750.009°** SexualizedP paranoid− 0.37− 2.540.01°**Q paranoid− 0.35− 2.420.03°*\nDisengaged\nPD schizoid0.402.810.02°*PD avoidant0.352.430.008°**PD obsessive compulsive0.503.660.001°**\nParental/protective\nQ dependent0.312.080.04°*Q hostility− 0.33− 2.270.03°*\nCriticized/mistreated\nQ dysphoric0.423.000.005°** Hostile/angryPD antisocial0.332.230.031°*PD dependent− 0.32− 2.160.037°*Q antisocial0.332.250.030°*°Controlled for GSI scores, patients age, patients years of study, years of therapist experience and duration of the treatment*p ≤ .05; **p ≤ .01;\n Regression analysis of changes in TRQ scores on SWAP PD and Q scores\n°Controlled for GSI scores, patients age, patients years of study, years of therapist experience and duration of the treatment\n*p ≤ .05; **p ≤ .01;\nMore specifically, Overwhelmed/Disorganized TRQ scores were positively predicted by PD Antisocial (R2 = 0.121, F(1, 42) = 5.62, p ≤ .05), by Q Dysphoric (R2 = 0.137, F(1, 42) = 6.50, p ≤ .05) and by Q Antisocial (R2 = 0.138, F(1, 42) = 6.59, p ≤ .05) SWAP scores. Overwhelmed/Disorganized TRQ scores were negatively predicted by PD Obsessive compulsive (R2 = 0.130, F(1, 42) = 6.11, p ≤ .05) and Q Avoidant scores (R2 = 0.102, F(1, 42) = 4.67, p ≤ .037). We computed partial correlation to control for “Descriptive and clinical Variables.” All of the relations between SWAP variables and TRQ scores remained significant predictors (Partial correlation: PD Antisocial = 0.38, p = .009; Q Dysphoric = 0.39, p = .007; Q Antisocial = 0.40, p = .006; PD Obsessive compulsive = − 0.36, p = .012; Q Avoidant = − 0.36, p = .011) of Overwhelmed/disorganized TRQ scores.\nHelpless/inadequate TRQ scores were positively predicted by PD Obsessive compulsive (R2 = 0.099, F(1, 42) = 4.50, p ≤ .05) and by Q Hostility (R2 = 0.106, F(1, 42) = 4.89, p ≤ .05) SWAP scores. However, when controlled for “Descriptive and clinical variables”, only Q Hostility (Partial correlation: 0.46 p = .002) remained a significant predictor.\nPositive satisfying TRQ scores were not significantly predicted by PD High functioning (R2 = 0.065, F(1, 42) = 2.85, p = .099), but they were positively predicted by Q Depressive/high functioning scores (R2 = 0.134, F(1, 42) = 6.33, p ≤ .05) SWAP scores. Even when controlled for “Descriptive and clinical variables”, Q Depressive/high functioning remained a significant predictor (Partial Correlation = − 0.40, p = .006).\nSpecial/overinvolved TRQ scores were negatively predicted by PD schizoid (R2 = 0.174, F(1, 42) = 8.65, p ≤ .05) and by Q Avoidant (R2 = 0.156, F(1, 42) = 7.58, p ≤ .01) SWAP scores. Even when controlled for “Descriptive and clinical variables”, both SWAP variables remained significant predictors (PD Schizoid = − 0.48, p = .001; Q Avoid = − 0.54, p = .000) of Special/overinvolved TRQ scores.\nSexualized TRQ Scores were negatively predicted by both P Paranoid (R2 = 0.136, F(1, 42) = 6.47, p ≤ .01) and Q Paranoid (R2 = 0.125, F(1, 42) = 5.84, p ≤ .05) SWAP scores. Even when controlled for “Descriptive and clinical variables”, P paranoid (Partial Correlation = − 0.309, p = .055) and Q paranoid remained a significant predictor (Partial Correlation = − 0.307, p = .029).\nDisengaged TRQ Scores were positively predicted by PD Schizoid (R2 = 0.162, F(1, 42) = 7.91, p ≤ .01), PD Avoidant (R2 = 0.126, F(1, 42) = 5.89, p ≤ .05), PD Obsessive compulsive (R2 = 0.246, F(1, 42) = 13.41, p ≤ .01). Even when controlled for “Descriptive and clinical variables”, all these SWAP variables remained significant predictors (PD Schizoid Partial Correlation = 0.441, p = .002; PD Avoidant Partial Correlation = 0.371, p = .01; PD Obsessive compulsive Partial Correlation = 0.371, p = .01).\nParental Protective TRQ Scores were positively predicted by Q Dependent Scores (R2 = 0.096, F(1, 42) = 4.35, p ≤ .05), and negatively predicted by Q Hostility (R2 = 0.112, F(1, 42) = 5.16, p ≤ .05) SWAP scores. Even when controlled for “Descriptive and clinical variables”, all these SWAP variables remained significant predictors (Q dependent Partial Correlation = 0.370, p = .01; Q hostility Partial Correlation = 0.370, p = .01).\nCriticized/ Mistreated TRQ Scores were positively predicted by Q Dysphoric SWAP scores (R2 = 0.180, F(1, 42) = 8.98, p ≤ .005). Even when controlled for “Descriptive and clinical variables”, Q Dysphoric scores remained a significant predictor (Partial Correlation = 0.453, p = .002).\nHostile/ angry TRQ Scores were positively predicted by PD Antisocial (R2 = 0.108, F(1, 42) = 4.98, p ≤ .05) and Q Antisocial (R2 = 0.110, F(1, 42) = 5.05, p ≤ .05) scores and negatively predicted by PD Dependent (R2 = 0.102, F(1, 42) = 4.66, p ≤ .05) scores. Even when controlled for “Descriptive and clinical variables”, all these SWAP variables remained significant predictors (PD Antisocial Partial Correlation = 0.471, p = .001; Q Antisocial Partial Correlation = 0.479, p = .001; PD Dependent Partial Correlation = − 0.313, p = .026).", "The present paper provided important results related with therapist’s emotional reactions in mental facilities treatment specialised in PD. Our first aim was to investigate the direct relationship between patients’ symptom severity and therapist emotional response. Differently with previous data [8], we did not find significant relationships between the clinical severity of the symptoms and the therapist response. As expected, therapists working in these clinical settings may be less influenced by the clinical severity of patients. This may be related to the fact that therapists that work in such facilities have a specialised expertise in the treatment of PD [10].\nConsidering SWAP subscales, personality traits configurations showed significant correlations with specific TRQ scores. In line with the initial hypotheses, considering this kind of setting borderline traits were not related with strong emotional reaction in the therapists. This result is different previous results [5, 6], and may be due to the specific area of expertise of the psychotherapists that are used to work with patients with borderline traits. The specific facilities involved in the present study are focused on the treatment of borderline disorders and it may be that their therapists are able to work at the required emotional level with this kind of patients. Conversely, as different PDs are thought to have a different impact on therapy relationship, mostly based on their typical interpersonal schemas [9], therapists that works in the present facilities may have found more intense reactions working with less common schemas than usual. This may be true not only for A and C clusters that were related to negative therapist emotional responses, but also for other PDs related to B clusters a part from borderline. Similarly to Colli and colleagues findings [5], antisocial factors resulted correlated with hostile/angry therapist’s reactions and with overwhelmed/disorganized emotional responses. This is an interesting element showing that working with patients with antisocial traits can be related with intense anger and irritation even for therapists of this area of expertise. In a similar way narcissistic, and hostility/externalizing factors are related to criticized and mistreated emotional responses from the therapist.\nA and C clusters were related with difficult-to-manage emotional responses in the therapists. More specifically, A cluster traits were positively associated with detached emotions and negatively related with proximity patterns such as involved or sexualized patterns. The schizoid factor was negatively correlated with special/overinvolved emotional response and positively correlated with disengaged responses, which is coherent with previous studies [5, 20].\nIn a similar way, C cluster Obsessive Compulsive and Avoidant traits were negatively related with Disengaged, Helpless/inadequate and Overwhelmed dimensions. In particular, the presence of obsessive-compulsive trait in different kinds of emotional response of the therapist is very interesting: the clinical interpretation of this data could lead us to highlight the difficult involvement in the treatment that characterizes this type of patient. Differently, considering the dependent/masochistic trait, the positive correlation with parental/protective emotional response of the therapist and the negative correlation with hostile angry emotions is confirmed [5].\nThe presence of positive and significant correlation between the psychological functioning of the patient [Q depressive (neurotic) high functioning] and the positive satisfying emotional response by the therapists is in line with previous findings [5]. Finally, the low level of sexualized emotional response of the therapist is a common factor that goes beyond personality traits. This is probably due to the public or institutional setting used for all the treatment. In our opinion, this could represent an important factor in the patient/therapist relationship.\nThe results of the present study confirm the influence of specific personality traits on the emotional response of the psychotherapist. Data showed that patient’s characteristics seem to have a great importance on therapist’ emotional responses compared to other variables such as age and educational level of the patient or years of therapist experience and duration of the treatment. This finding confirms the idea that personality characteristics and interpersonal functioning of patients is related with distinct emotional responses in therapists [8]. Differently from previous results [11], these relationships appear to be solid since only one case (Helpless/inadequate and PD Obsessive Compulsive) didn’t remain significant after controlling for the descriptive variables considered. This may be related to the fact that therapists considered in Liebman and Burnette paper [11] belonged to very different areas of expertise.\nThis study does not come without limitations. First, the same clinician provided data about both patients’ disorders and his or her own countertransference. Consequently the present results should be interpreted cautiously as they reflect the perception that the clinicians have about their patients and their emotional reactions as well. Although SWAP scales have previously showed high level of interrater reliability [17] and we controlled the results for setting variables (i.e. the duration of the treatment and the years of therapists experience), biases related to the ratings of different patients by the same therapists may also have occurred. A more rigorous research design, which should be conducted in future works, would include an independent assessment of patients’ personality disorders or the use of an observer-rated analysis of therapists’ reactions, or both. The present exploratory study provided correlations between 24 SWAP variables and 9 TRQ reactions. This multiple testing may lead to Type 1 error i.e. false positive, future confirmatory study may therefore verify these results with more refined analyzes. Finally, the sample is representative of patients with severe mental disorders, but the limited number of patients prevents us from more general conclusions. Even if the present study was proposed to all mental facilities’ patients not everyone accepted. It’s possible that those who did not accept may show recursive configurations in terms of personality traits and psychological functioning that may be worthy of interest.", "Despite some limitation, this work confirms the value of therapists’ emotional response as a useful tool in understanding psychological processes related to clinical practice focused on patients with severe mental disorders. Moreover, the present paper evidenced that most of the significance considering the effects of patients and therapists variables related to a very specific clinical setting. Even when controlled for clinical variable related to a very specific clinical setting (severity condition, duration of the treatment, patients’ age, educational level of the patient and years of therapist experience), most of SWAP-200 traits appeared to be significant predictors of therapist’ emotional responses. This result stresses the need to take in high consideration the features of the psychotherapist. As the results of the Third Interdivisional APA Task Force on Evidence-Based Relationships and Responsiveness showed [24], each psychotherapeutic treatment presents more possibilities to reach a good outcome if the psychotherapist will be able to tailor his approach and his personality features in relation to personality, culture, and preferences of the patient. For every therapist, handling one’s own emotional responses is a crucial aspect to provide effective and balanced treatments. As in other European countries [25], sharing simple, principle-driven, ‘common-factors’ framework for the treatment of PDs, both in and outside of Italian specialized settings could be a relevant issue. Future research could assess the effectiveness of the PD treatments based on common factors that can integrate the knowledge of the scientific community and professional expertise.\nThe present findings suggest that when only facilities specialised in personality disorders’ treatments are involved, the relationship between patient personality characteristics and emotional response in therapists seem to be not influenced by the clinical severity of the patient. The present reactions, and therefore the patient-therapist relationship could be particularly context-dependent and may be influenced by the therapist area of expertise, which is an aspect with both clinical and scientific implications.", " \nAdditional file 1. Supplementary material.\nAdditional file 1. Supplementary material.\n\nAdditional file 1. Supplementary material.\nAdditional file 1. Supplementary material." ]
[ null, null, null, null, null, null, "results", null, null, "supplementary-material" ]
[ "Emotion in therapy", "Personality disorders", "Alliance" ]
Introduction: Treating people with personality disorders (PD), in particular with borderline personality disorder, can trigger intensive emotional reactions in the psychotherapist [1]. Recognizing and understanding the therapist emotional reactions has crucial implications for treatment, not only for the on-going psychotherapy in outpatient facilities but also for briefer encounters in emergency departments [2]. The influence of specific personality syndromes on the patient-therapist relationship has already received attention from the scientific community. Rossberg and colleagues [3, 4] documented that patients with cluster A and B personality disorders were related to more negative and less positive therapist emotional responses than those with cluster C personality disorders, and patients who dropped out of treatment evoked more negative countertransference reactions than patients who completed the treatment. Negative emotional reactions when dealing with cluster B personality disorders, which seems to be related to more mixed and negative responses in their therapists than clusters A and C personality disorders, were also found by Colli and colleagues [5] and by Tanzilli and colleagues [6]. The available evidence confirms that patients with PD, especially borderline disorders, tend to be associated with a strong emotional reaction in the therapist. However, this reaction was found in large samples of psychiatrists and clinical psychologists that explored cases taken from their private practice psychotherapies and not exclusively from centers specialized in the treatment of personality disorders [5, 6]. Level of interpersonal functioning and personality style seem to have a stronger correlation with countertransference feelings than with a patient’s general level of functioning or with his or her level of symptoms severity [7, 8], Dimaggio and colleagues’ [9] evidenced that symptomatic condition appears to be related to the outcome of the treatments of patients with personality disorders. This may be true for some personality disorders (i.e., schizotypal, borderline, histrionic, and avoidant) that showed that the symptomatology partially mediates the relationship between their personality disorders and their therapists’ emotional responses. In these cases, the severity of clinical condition seems to be related with stronger degree of negative emotional responses [8]. As the different therapeutic approaches and other variables of the therapist (as gender, age, profession, and experience) seem to be not significantly related to countertransference reactions [8], the type of setting analysed could be a key element that could explain this phenomenon. All these previous studies have primarily explored these associations in clinical settings, either public or private, without a specific focus on PDs. Therapists that work in facilities specialised in PD may be used to deal with patients with these mental disorders and are more likely to manage emotional reactions beyond the patients’ level of severity. This may be due to continue opportunities of experiential learning, regular clinical supervision and reflective practice that are focused on these specific kind of patients and that can help in the recognition of the emotional impact that such individuals have on their therapists [10]. Finally, how patients’ personality traits relate to other variables in determining countertransference reactions is still a subject of wide scientific debate. More specifically, little research has examined which characteristics of a patient or of the clinician (e.g., age, gender) are most likely to evoke negative reactions in the therapist [11]. Although Lingiardi and colleagues [8] suggest that descriptive information related to the psychotherapists and their patients don’t have a key role in determining therapists’ emotional reactions, Liebman and Burnette [11] showed a number of client- and clinician- level factors that impact on countertransference reactions. A better understanding of the relationship between these variables can help to better identify therapists’ emotional reactions and the way they may impact treatment decisions. Therefore, the goal of the present study is to explore the therapist’s emotional reactions toward patients with PDs involving clinical settings specialized in treatment of personality pathology (particularly borderline traits). We address three specific research questions: (1) Is there a relationship between patients’ symptom severity and therapist emotional response? (2) Are there patients’ functioning configurations that can be associated with specific therapist reactions? (3) Do correlations between countertransference and patient personality functioning remain significant also when accounting for variables such as patient or therapist characteristics (mean age, years of therapeutic experience)? Given frequent compromised clinical conditions shown by patients treated in mental health facilities, we hypothesize that symptom severity won’t be related with therapist emotional responses that are use to work with such patients with PD. Conversely with previous work [5, 6], we can prudentially expect that borderline traits (SWAP borderline PD score) will not be related with strong emotional reaction in the therapists. This can be hypothesized because borderline patients are commonly treated in the present therapeutic context. Differently, we can expect that disorders that are less commonly treated in these kind of facilities such as A or C clusters may be related with difficult-to-manage emotions. Moreover, following Lingiardi and colleagues findings [8] it can be hypothesized that countertransference reactions won’t be accounted for psychotherapists and patients characteristics or other setting variables (e.g. age, duration of the treatment). Methods: Patient characteristics 49 patients were asked to enter the study, but 6 patients refused (12.24 %). The final sample is composed by 43 outpatients with PDs (Female N = 26, 60.5 %; Male N = 17, 39.5 %) who underwent a psychotherapy treatment (at least six sessions). The therapy was administered in two Italian facilities dedicated to outpatients with personality disorders treatment: Centro Interdipartimentale per la Ricerca sui Disturbi di Personalità [Inter-departmental center for personality disorder research], located in Pavia and Casa di Howl [Howl’s house] located in Genoa. 49 patients were asked to enter the study, but 6 patients refused (12.24 %). The final sample is composed by 43 outpatients with PDs (Female N = 26, 60.5 %; Male N = 17, 39.5 %) who underwent a psychotherapy treatment (at least six sessions). The therapy was administered in two Italian facilities dedicated to outpatients with personality disorders treatment: Centro Interdipartimentale per la Ricerca sui Disturbi di Personalità [Inter-departmental center for personality disorder research], located in Pavia and Casa di Howl [Howl’s house] located in Genoa. Patient characteristics: 49 patients were asked to enter the study, but 6 patients refused (12.24 %). The final sample is composed by 43 outpatients with PDs (Female N = 26, 60.5 %; Male N = 17, 39.5 %) who underwent a psychotherapy treatment (at least six sessions). The therapy was administered in two Italian facilities dedicated to outpatients with personality disorders treatment: Centro Interdipartimentale per la Ricerca sui Disturbi di Personalità [Inter-departmental center for personality disorder research], located in Pavia and Casa di Howl [Howl’s house] located in Genoa. Therapists: 19 therapists of the two involved centers accepted to join the study and proposed the present research to eligible patients. The recruitment started on April 2017 and ended on September 2018. Once obtained the consent from therapists and patients, the questionnaires were delivered. Ethical approval was granted by the ethical committees of the Pavia Inter-departmental center for personality disorder research. Assessment measures: Descriptive information related to the psychotherapists and their patients were collected in order to have details about the different clinical situations involved (age, years of study, number of hospitalizations, years of therapist experience and duration of the treatment). The Shedler-Westen Assessment Procedure-200 (SWAP-200) [12, 13] was used to assess the personality of the patients. This Q-sort instrument includes 200 statements describing several aspects of personality, each of which may describe a given patient well, somewhat, or not at all. The clinician ranks these statements into eight categories from those that are most descriptive (assigned value of 7) to those that are not descriptive (assigned a value of 0). This instrument provides a personality assessment expressed by a final rating divided in 11 Personality Disorders factors (PD T-scores) and 13 Q sort factors (Q scores). While PD T-scores are related with DSM-IV personality disorder as explained in Axis II diagnosis, Q sort factors scores for an alternative set of personality syndromes often seen in clinical practice that addresses limitations of the DSM-IV diagnostic system. Indeed, this procedure is “bottom-up”: it means the clinician tries to compare his patient with the prototype of a specific personality disorder and to define how his patient is near to this prototype. In this way, “Q-factor analysis identifies groups of similar people who share a common syndrome” [13]—not groups of diseases. The Italian version of the SWAP was used [14]. The present instrument has been widely used in process and outcome research [e.g., 15] as well as on group studies with a variety of clinical populations and measures [16]. Previous findings has evidenced that the present instrument is a valid and reliable tool that can facilitate diagnosis process: reliability of SWAP–200 personality descriptions has ranged from 0.75 to 0.89 (Marin-Avellan, McGauley, Campbell, and Fonagy 2005; Shedler and Westen 1998; Westen and Muderrisoglu 2003). Moreover, interrater reliability of SWAP diagnostic scales assessed by independent clinicians and the treating clinicians averaged greater than 0.80 for all SWAP diagnostic scales [17]. The Symptom Checklist-90 Revised. The SCL-90 R [18] is a widely used self-report assessing 90 psychiatric symptoms on a 5-point Likert scale, ranging from 0 (not at all) to 4 (extremely). SCL-90-R explores how much the patient had “been distressed” by the symptom within the past seven days. The Global Severity Index (GSI) score, which is the mean rating across all 90 items that summarizes the client’s general psychiatric symptom severity, was used for the present study. The present scale has previously shown a good level of validity and reliability with a Cronbach alpha coefficient higher than 0.90 [19]. The Therapist Response Questionnaire (TRQ) [20, 21] is a clinician questionnaire designed to explore the emotional responses of psychotherapists to their patients. It consists of 79 items that can be synthetized into nine factors of the therapist’s emotional response to the patient: Overwhelmed/Disorganized, Helpless/Inadequate, Positive/Alliance, Special/Overinvolved, Sexualized, Disengaged, Parental/Protective, Criticized/Mistreated, Hostile/Angry. The present instrument has shown good previous levels of reliability coefficients for all of the subscales with Cronbach coefficients almost at or slightly above 0.80 (i.e. Helpless/Inadequate α = 0.90; Disengaged α = 0.78) [21]. Data analyses: Normality assumption was verified for all quantitative variables. Correlations between variables were tested calculating Pearson coefficient or, if normality assumptions were violated, the nonparametric Spearman coefficient. More specifically with GSI score and TRQ factors was performed in order to assess any direct relationship between patient symptom severity and therapist response. A Pearson correlation with the SWAP-200 PD and Q scores and the TRQ factors was performed in order to explore the associations between the variables. Subsequently, only considering the variables that showed a significant correlation, a linear regression with enter method was applied [22]. More specifically multiple regression models were set with the single SWAP-200 PDs and Qs score as target variable and the single TRQ factor as independent determinant. A p < .001 Mahalanobi’s distance criterion was used to identify and skip multivariate outliers. All regression models were evaluated through statistically significant variation of R and Cohen’s [23] effect size f2. When regressions evidenced significant predictors, partial correlations were performed to exclude the influence of “patients’ age”, “patients’ years of study”, “number of hospitalizations”, “years of therapist experience” and “duration of the treatment” and “SCL-90-R GSI scores” (abbreviated in “Descriptive and clinical Variables” in the results and discussion section). Results: Table 1 shows information about patients, psychotherapists experience and the treatment duration. Patients and therapists characteristics and treatment information Descriptive statistics about patients’ personality traits and therapists’ emotional responses are reported in Tables 2 and 3 respectively. Helpless/Inadequate variable showed the highest scores indicating that this reaction was on average endorsed most strongly than others TRQ scores (i.e. positive/satisfying).Table 2Patients personality traits expressed in SWAP PD and Q scores descriptive statistics M SD SWAP PD scoresParanoid46.628.29Schizoid45.087.36Schizotypal46.857.10Antisocial50.656.69Borderline58.279.84Histrionic55.228.92Narcissistic48.956.83Avoidant45.777.30Dependent50.707.00Obsessive compulsive40.749.07High cunctioning48.628.05SWAP Q scoresDysphoric 51.52 7.26Antisocial50.756.49Schizoid45.737.25Paranoid47.207.80Obsessive compulsive44.238.66Histrionic55.3510.05Narcissistic46.0710.72Avoidant46.846.93Depressive/high functioning 50.916.99Emotionally dysregulated55.538.74Dependent54.818.82Hostility47.448.58High functioning48.387.24Table 3Therapist Response Questionnaire (TRQ) descriptive statisticsTRQ scores M SD Overwhelmed/disorganized2.390.63Helpless/inadequate2.740.67Positive/satisfying2.390.61Special/overinvolved1.440.38Sexualized1.390.48Disengaged2.210.75Parental/protective2.160.60Criticized/mistreated2.090.62Hostile/angry2.220.68 Patients personality traits expressed in SWAP PD and Q scores descriptive statistics Therapist Response Questionnaire (TRQ) descriptive statistics No significant correlations were found between GSI score and TRQ factors (see Additional file 1 for details). Correlations were computed to identify the SWAP-200 PD and Q scores that were statistically related (see Additional file 1 for details). Considering the significant results of the correlations, the regression analysis results identified the SWAP predictors that explained TRQ scores (Table 4). Table 4 Regression analysis of changes in TRQ scores on SWAP PD and Q scoresDependent variableIndependent variableB t P Overwhelmed/disorganized PD antisocial0.352.370.023°*PD obsessive compulsive− 0.36− 2.470.018°*Q dysphoric0.372.550.015°*Q antisocial0.372.570.014°*Q avoidant− 0.32− 2.160.037°* Helpless/inadequate PD obsessive compulsive0.312.120.040*Q hostility0.322.210.033°* Positive satisfyingPD high functioning0.251.690.099Q depressive/high functioning0.372.520.016°* Special/overinvolved PD schizoid− 0.42− 2.940.005°**Q avoidant− 0.39− 2.750.009°** SexualizedP paranoid− 0.37− 2.540.01°**Q paranoid− 0.35− 2.420.03°* Disengaged PD schizoid0.402.810.02°*PD avoidant0.352.430.008°**PD obsessive compulsive0.503.660.001°** Parental/protective Q dependent0.312.080.04°*Q hostility− 0.33− 2.270.03°* Criticized/mistreated Q dysphoric0.423.000.005°** Hostile/angryPD antisocial0.332.230.031°*PD dependent− 0.32− 2.160.037°*Q antisocial0.332.250.030°*°Controlled for GSI scores, patients age, patients years of study, years of therapist experience and duration of the treatment*p ≤ .05; **p ≤ .01;  Regression analysis of changes in TRQ scores on SWAP PD and Q scores °Controlled for GSI scores, patients age, patients years of study, years of therapist experience and duration of the treatment *p ≤ .05; **p ≤ .01; More specifically, Overwhelmed/Disorganized TRQ scores were positively predicted by PD Antisocial (R2 = 0.121, F(1, 42) = 5.62, p ≤ .05), by Q Dysphoric (R2 = 0.137, F(1, 42) = 6.50, p ≤ .05) and by Q Antisocial (R2 = 0.138, F(1, 42) = 6.59, p ≤ .05) SWAP scores. Overwhelmed/Disorganized TRQ scores were negatively predicted by PD Obsessive compulsive (R2 = 0.130, F(1, 42) = 6.11, p ≤ .05) and Q Avoidant scores (R2 = 0.102, F(1, 42) = 4.67, p ≤ .037). We computed partial correlation to control for “Descriptive and clinical Variables.” All of the relations between SWAP variables and TRQ scores remained significant predictors (Partial correlation: PD Antisocial = 0.38, p = .009; Q Dysphoric = 0.39, p = .007; Q Antisocial = 0.40, p = .006; PD Obsessive compulsive = − 0.36, p = .012; Q Avoidant = − 0.36, p = .011) of Overwhelmed/disorganized TRQ scores. Helpless/inadequate TRQ scores were positively predicted by PD Obsessive compulsive (R2 = 0.099, F(1, 42) = 4.50, p ≤ .05) and by Q Hostility (R2 = 0.106, F(1, 42) = 4.89, p ≤ .05) SWAP scores. However, when controlled for “Descriptive and clinical variables”, only Q Hostility (Partial correlation: 0.46 p = .002) remained a significant predictor. Positive satisfying TRQ scores were not significantly predicted by PD High functioning (R2 = 0.065, F(1, 42) = 2.85, p = .099), but they were positively predicted by Q Depressive/high functioning scores (R2 = 0.134, F(1, 42) = 6.33, p ≤ .05) SWAP scores. Even when controlled for “Descriptive and clinical variables”, Q Depressive/high functioning remained a significant predictor (Partial Correlation = − 0.40, p = .006). Special/overinvolved TRQ scores were negatively predicted by PD schizoid (R2 = 0.174, F(1, 42) = 8.65, p ≤ .05) and by Q Avoidant (R2 = 0.156, F(1, 42) = 7.58, p ≤ .01) SWAP scores. Even when controlled for “Descriptive and clinical variables”, both SWAP variables remained significant predictors (PD Schizoid = − 0.48, p = .001; Q Avoid = − 0.54, p = .000) of Special/overinvolved TRQ scores. Sexualized TRQ Scores were negatively predicted by both P Paranoid (R2 = 0.136, F(1, 42) = 6.47, p ≤ .01) and Q Paranoid (R2 = 0.125, F(1, 42) = 5.84, p ≤ .05) SWAP scores. Even when controlled for “Descriptive and clinical variables”, P paranoid (Partial Correlation = − 0.309, p = .055) and Q paranoid remained a significant predictor (Partial Correlation = − 0.307, p = .029). Disengaged TRQ Scores were positively predicted by PD Schizoid (R2 = 0.162, F(1, 42) = 7.91, p ≤ .01), PD Avoidant (R2 = 0.126, F(1, 42) = 5.89, p ≤ .05), PD Obsessive compulsive (R2 = 0.246, F(1, 42) = 13.41, p ≤ .01). Even when controlled for “Descriptive and clinical variables”, all these SWAP variables remained significant predictors (PD Schizoid Partial Correlation = 0.441, p = .002; PD Avoidant Partial Correlation = 0.371, p = .01; PD Obsessive compulsive Partial Correlation = 0.371, p = .01). Parental Protective TRQ Scores were positively predicted by Q Dependent Scores (R2 = 0.096, F(1, 42) = 4.35, p ≤ .05), and negatively predicted by Q Hostility (R2 = 0.112, F(1, 42) = 5.16, p ≤ .05) SWAP scores. Even when controlled for “Descriptive and clinical variables”, all these SWAP variables remained significant predictors (Q dependent Partial Correlation = 0.370, p = .01; Q hostility Partial Correlation = 0.370, p = .01). Criticized/ Mistreated TRQ Scores were positively predicted by Q Dysphoric SWAP scores (R2 = 0.180, F(1, 42) = 8.98, p ≤ .005). Even when controlled for “Descriptive and clinical variables”, Q Dysphoric scores remained a significant predictor (Partial Correlation = 0.453, p = .002). Hostile/ angry TRQ Scores were positively predicted by PD Antisocial (R2 = 0.108, F(1, 42) = 4.98, p ≤ .05) and Q Antisocial (R2 = 0.110, F(1, 42) = 5.05, p ≤ .05) scores and negatively predicted by PD Dependent (R2 = 0.102, F(1, 42) = 4.66, p ≤ .05) scores. Even when controlled for “Descriptive and clinical variables”, all these SWAP variables remained significant predictors (PD Antisocial Partial Correlation = 0.471, p = .001; Q Antisocial Partial Correlation = 0.479, p = .001; PD Dependent Partial Correlation = − 0.313, p = .026). Discussion: The present paper provided important results related with therapist’s emotional reactions in mental facilities treatment specialised in PD. Our first aim was to investigate the direct relationship between patients’ symptom severity and therapist emotional response. Differently with previous data [8], we did not find significant relationships between the clinical severity of the symptoms and the therapist response. As expected, therapists working in these clinical settings may be less influenced by the clinical severity of patients. This may be related to the fact that therapists that work in such facilities have a specialised expertise in the treatment of PD [10]. Considering SWAP subscales, personality traits configurations showed significant correlations with specific TRQ scores. In line with the initial hypotheses, considering this kind of setting borderline traits were not related with strong emotional reaction in the therapists. This result is different previous results [5, 6], and may be due to the specific area of expertise of the psychotherapists that are used to work with patients with borderline traits. The specific facilities involved in the present study are focused on the treatment of borderline disorders and it may be that their therapists are able to work at the required emotional level with this kind of patients. Conversely, as different PDs are thought to have a different impact on therapy relationship, mostly based on their typical interpersonal schemas [9], therapists that works in the present facilities may have found more intense reactions working with less common schemas than usual. This may be true not only for A and C clusters that were related to negative therapist emotional responses, but also for other PDs related to B clusters a part from borderline. Similarly to Colli and colleagues findings [5], antisocial factors resulted correlated with hostile/angry therapist’s reactions and with overwhelmed/disorganized emotional responses. This is an interesting element showing that working with patients with antisocial traits can be related with intense anger and irritation even for therapists of this area of expertise. In a similar way narcissistic, and hostility/externalizing factors are related to criticized and mistreated emotional responses from the therapist. A and C clusters were related with difficult-to-manage emotional responses in the therapists. More specifically, A cluster traits were positively associated with detached emotions and negatively related with proximity patterns such as involved or sexualized patterns. The schizoid factor was negatively correlated with special/overinvolved emotional response and positively correlated with disengaged responses, which is coherent with previous studies [5, 20]. In a similar way, C cluster Obsessive Compulsive and Avoidant traits were negatively related with Disengaged, Helpless/inadequate and Overwhelmed dimensions. In particular, the presence of obsessive-compulsive trait in different kinds of emotional response of the therapist is very interesting: the clinical interpretation of this data could lead us to highlight the difficult involvement in the treatment that characterizes this type of patient. Differently, considering the dependent/masochistic trait, the positive correlation with parental/protective emotional response of the therapist and the negative correlation with hostile angry emotions is confirmed [5]. The presence of positive and significant correlation between the psychological functioning of the patient [Q depressive (neurotic) high functioning] and the positive satisfying emotional response by the therapists is in line with previous findings [5]. Finally, the low level of sexualized emotional response of the therapist is a common factor that goes beyond personality traits. This is probably due to the public or institutional setting used for all the treatment. In our opinion, this could represent an important factor in the patient/therapist relationship. The results of the present study confirm the influence of specific personality traits on the emotional response of the psychotherapist. Data showed that patient’s characteristics seem to have a great importance on therapist’ emotional responses compared to other variables such as age and educational level of the patient or years of therapist experience and duration of the treatment. This finding confirms the idea that personality characteristics and interpersonal functioning of patients is related with distinct emotional responses in therapists [8]. Differently from previous results [11], these relationships appear to be solid since only one case (Helpless/inadequate and PD Obsessive Compulsive) didn’t remain significant after controlling for the descriptive variables considered. This may be related to the fact that therapists considered in Liebman and Burnette paper [11] belonged to very different areas of expertise. This study does not come without limitations. First, the same clinician provided data about both patients’ disorders and his or her own countertransference. Consequently the present results should be interpreted cautiously as they reflect the perception that the clinicians have about their patients and their emotional reactions as well. Although SWAP scales have previously showed high level of interrater reliability [17] and we controlled the results for setting variables (i.e. the duration of the treatment and the years of therapists experience), biases related to the ratings of different patients by the same therapists may also have occurred. A more rigorous research design, which should be conducted in future works, would include an independent assessment of patients’ personality disorders or the use of an observer-rated analysis of therapists’ reactions, or both. The present exploratory study provided correlations between 24 SWAP variables and 9 TRQ reactions. This multiple testing may lead to Type 1 error i.e. false positive, future confirmatory study may therefore verify these results with more refined analyzes. Finally, the sample is representative of patients with severe mental disorders, but the limited number of patients prevents us from more general conclusions. Even if the present study was proposed to all mental facilities’ patients not everyone accepted. It’s possible that those who did not accept may show recursive configurations in terms of personality traits and psychological functioning that may be worthy of interest. Conclusions: Despite some limitation, this work confirms the value of therapists’ emotional response as a useful tool in understanding psychological processes related to clinical practice focused on patients with severe mental disorders. Moreover, the present paper evidenced that most of the significance considering the effects of patients and therapists variables related to a very specific clinical setting. Even when controlled for clinical variable related to a very specific clinical setting (severity condition, duration of the treatment, patients’ age, educational level of the patient and years of therapist experience), most of SWAP-200 traits appeared to be significant predictors of therapist’ emotional responses. This result stresses the need to take in high consideration the features of the psychotherapist. As the results of the Third Interdivisional APA Task Force on Evidence-Based Relationships and Responsiveness showed [24], each psychotherapeutic treatment presents more possibilities to reach a good outcome if the psychotherapist will be able to tailor his approach and his personality features in relation to personality, culture, and preferences of the patient. For every therapist, handling one’s own emotional responses is a crucial aspect to provide effective and balanced treatments. As in other European countries [25], sharing simple, principle-driven, ‘common-factors’ framework for the treatment of PDs, both in and outside of Italian specialized settings could be a relevant issue. Future research could assess the effectiveness of the PD treatments based on common factors that can integrate the knowledge of the scientific community and professional expertise. The present findings suggest that when only facilities specialised in personality disorders’ treatments are involved, the relationship between patient personality characteristics and emotional response in therapists seem to be not influenced by the clinical severity of the patient. The present reactions, and therefore the patient-therapist relationship could be particularly context-dependent and may be influenced by the therapist area of expertise, which is an aspect with both clinical and scientific implications. Supplementary Information: Additional file 1. Supplementary material. Additional file 1. Supplementary material. Additional file 1. Supplementary material. Additional file 1. Supplementary material.
Background: Therapist's emotional reactions toward patients in clinical facilities are a key concept in the treatment of personality disorders. Considering only clinical settings specialized in treatment of personality pathology the present paper aimed at: (1) assessing any direct relationship between patient symptom severity and therapist emotional response; (2) exploring patients' functioning configurations that can be associated with specific therapist reactions (3) investigating whether these relationships remains significant when accounting for other setting variables related to patients or therapist. Methods: The present study included 43 outpatients with personality disorders who underwent a psychotherapy treatment in two Italian facilities dedicated to outpatients with personality disorders and their 19 psychotherapists. The Symptom Checklist-90-Revised (SCL-90R) was used to explore clinical severity condition. Psychotherapists completed the Therapist Response Questionnaire (TRQ) to identify pattern of therapists' response and the Shedler-Westen Assessment Procedure-200 (SWAP-200) in order to assess personality traits of the patients. Results: No significant relationship between the clinical severity of the symptoms and the therapist' responses was found. Even when controlled for clinical severity condition, duration of the treatment, age and educational level of the patient or years of therapist experience, most of SWAP-200 traits appeared to be significant predictors of therapist' emotional responses. Conclusions: The present study confirms the value of therapists' emotional response as a useful tool in understanding psychological processes related to clinical practice highlighting its context-dependent dimension.
Introduction: Treating people with personality disorders (PD), in particular with borderline personality disorder, can trigger intensive emotional reactions in the psychotherapist [1]. Recognizing and understanding the therapist emotional reactions has crucial implications for treatment, not only for the on-going psychotherapy in outpatient facilities but also for briefer encounters in emergency departments [2]. The influence of specific personality syndromes on the patient-therapist relationship has already received attention from the scientific community. Rossberg and colleagues [3, 4] documented that patients with cluster A and B personality disorders were related to more negative and less positive therapist emotional responses than those with cluster C personality disorders, and patients who dropped out of treatment evoked more negative countertransference reactions than patients who completed the treatment. Negative emotional reactions when dealing with cluster B personality disorders, which seems to be related to more mixed and negative responses in their therapists than clusters A and C personality disorders, were also found by Colli and colleagues [5] and by Tanzilli and colleagues [6]. The available evidence confirms that patients with PD, especially borderline disorders, tend to be associated with a strong emotional reaction in the therapist. However, this reaction was found in large samples of psychiatrists and clinical psychologists that explored cases taken from their private practice psychotherapies and not exclusively from centers specialized in the treatment of personality disorders [5, 6]. Level of interpersonal functioning and personality style seem to have a stronger correlation with countertransference feelings than with a patient’s general level of functioning or with his or her level of symptoms severity [7, 8], Dimaggio and colleagues’ [9] evidenced that symptomatic condition appears to be related to the outcome of the treatments of patients with personality disorders. This may be true for some personality disorders (i.e., schizotypal, borderline, histrionic, and avoidant) that showed that the symptomatology partially mediates the relationship between their personality disorders and their therapists’ emotional responses. In these cases, the severity of clinical condition seems to be related with stronger degree of negative emotional responses [8]. As the different therapeutic approaches and other variables of the therapist (as gender, age, profession, and experience) seem to be not significantly related to countertransference reactions [8], the type of setting analysed could be a key element that could explain this phenomenon. All these previous studies have primarily explored these associations in clinical settings, either public or private, without a specific focus on PDs. Therapists that work in facilities specialised in PD may be used to deal with patients with these mental disorders and are more likely to manage emotional reactions beyond the patients’ level of severity. This may be due to continue opportunities of experiential learning, regular clinical supervision and reflective practice that are focused on these specific kind of patients and that can help in the recognition of the emotional impact that such individuals have on their therapists [10]. Finally, how patients’ personality traits relate to other variables in determining countertransference reactions is still a subject of wide scientific debate. More specifically, little research has examined which characteristics of a patient or of the clinician (e.g., age, gender) are most likely to evoke negative reactions in the therapist [11]. Although Lingiardi and colleagues [8] suggest that descriptive information related to the psychotherapists and their patients don’t have a key role in determining therapists’ emotional reactions, Liebman and Burnette [11] showed a number of client- and clinician- level factors that impact on countertransference reactions. A better understanding of the relationship between these variables can help to better identify therapists’ emotional reactions and the way they may impact treatment decisions. Therefore, the goal of the present study is to explore the therapist’s emotional reactions toward patients with PDs involving clinical settings specialized in treatment of personality pathology (particularly borderline traits). We address three specific research questions: (1) Is there a relationship between patients’ symptom severity and therapist emotional response? (2) Are there patients’ functioning configurations that can be associated with specific therapist reactions? (3) Do correlations between countertransference and patient personality functioning remain significant also when accounting for variables such as patient or therapist characteristics (mean age, years of therapeutic experience)? Given frequent compromised clinical conditions shown by patients treated in mental health facilities, we hypothesize that symptom severity won’t be related with therapist emotional responses that are use to work with such patients with PD. Conversely with previous work [5, 6], we can prudentially expect that borderline traits (SWAP borderline PD score) will not be related with strong emotional reaction in the therapists. This can be hypothesized because borderline patients are commonly treated in the present therapeutic context. Differently, we can expect that disorders that are less commonly treated in these kind of facilities such as A or C clusters may be related with difficult-to-manage emotions. Moreover, following Lingiardi and colleagues findings [8] it can be hypothesized that countertransference reactions won’t be accounted for psychotherapists and patients characteristics or other setting variables (e.g. age, duration of the treatment). Conclusions: Additional file 1. Supplementary material. Additional file 1. Supplementary material.
Background: Therapist's emotional reactions toward patients in clinical facilities are a key concept in the treatment of personality disorders. Considering only clinical settings specialized in treatment of personality pathology the present paper aimed at: (1) assessing any direct relationship between patient symptom severity and therapist emotional response; (2) exploring patients' functioning configurations that can be associated with specific therapist reactions (3) investigating whether these relationships remains significant when accounting for other setting variables related to patients or therapist. Methods: The present study included 43 outpatients with personality disorders who underwent a psychotherapy treatment in two Italian facilities dedicated to outpatients with personality disorders and their 19 psychotherapists. The Symptom Checklist-90-Revised (SCL-90R) was used to explore clinical severity condition. Psychotherapists completed the Therapist Response Questionnaire (TRQ) to identify pattern of therapists' response and the Shedler-Westen Assessment Procedure-200 (SWAP-200) in order to assess personality traits of the patients. Results: No significant relationship between the clinical severity of the symptoms and the therapist' responses was found. Even when controlled for clinical severity condition, duration of the treatment, age and educational level of the patient or years of therapist experience, most of SWAP-200 traits appeared to be significant predictors of therapist' emotional responses. Conclusions: The present study confirms the value of therapists' emotional response as a useful tool in understanding psychological processes related to clinical practice highlighting its context-dependent dimension.
5,507
274
[ 970, 236, 117, 67, 668, 245, 1087, 361 ]
10
[ "patients", "scores", "pd", "personality", "emotional", "therapist", "swap", "treatment", "variables", "clinical" ]
[ "therapist emotional responses", "therapists emotional response", "patients personality disorders", "personality disorders patients", "therapist reactions correlations" ]
null
[CONTENT] Emotion in therapy | Personality disorders | Alliance [SUMMARY]
null
[CONTENT] Emotion in therapy | Personality disorders | Alliance [SUMMARY]
[CONTENT] Emotion in therapy | Personality disorders | Alliance [SUMMARY]
[CONTENT] Emotion in therapy | Personality disorders | Alliance [SUMMARY]
[CONTENT] Emotion in therapy | Personality disorders | Alliance [SUMMARY]
[CONTENT] Humans | Personality | Personality Disorders | Professional-Patient Relations | Psychotherapists | Psychotherapy [SUMMARY]
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[CONTENT] Humans | Personality | Personality Disorders | Professional-Patient Relations | Psychotherapists | Psychotherapy [SUMMARY]
[CONTENT] Humans | Personality | Personality Disorders | Professional-Patient Relations | Psychotherapists | Psychotherapy [SUMMARY]
[CONTENT] Humans | Personality | Personality Disorders | Professional-Patient Relations | Psychotherapists | Psychotherapy [SUMMARY]
[CONTENT] Humans | Personality | Personality Disorders | Professional-Patient Relations | Psychotherapists | Psychotherapy [SUMMARY]
[CONTENT] therapist emotional responses | therapists emotional response | patients personality disorders | personality disorders patients | therapist reactions correlations [SUMMARY]
null
[CONTENT] therapist emotional responses | therapists emotional response | patients personality disorders | personality disorders patients | therapist reactions correlations [SUMMARY]
[CONTENT] therapist emotional responses | therapists emotional response | patients personality disorders | personality disorders patients | therapist reactions correlations [SUMMARY]
[CONTENT] therapist emotional responses | therapists emotional response | patients personality disorders | personality disorders patients | therapist reactions correlations [SUMMARY]
[CONTENT] therapist emotional responses | therapists emotional response | patients personality disorders | personality disorders patients | therapist reactions correlations [SUMMARY]
[CONTENT] patients | scores | pd | personality | emotional | therapist | swap | treatment | variables | clinical [SUMMARY]
null
[CONTENT] patients | scores | pd | personality | emotional | therapist | swap | treatment | variables | clinical [SUMMARY]
[CONTENT] patients | scores | pd | personality | emotional | therapist | swap | treatment | variables | clinical [SUMMARY]
[CONTENT] patients | scores | pd | personality | emotional | therapist | swap | treatment | variables | clinical [SUMMARY]
[CONTENT] patients | scores | pd | personality | emotional | therapist | swap | treatment | variables | clinical [SUMMARY]
[CONTENT] reactions | emotional | patients | personality | disorders | countertransference | emotional reactions | borderline | therapist | related [SUMMARY]
null
[CONTENT] scores | 42 | r2 | 05 | pd | partial correlation | trq scores | trq | predicted | partial [SUMMARY]
[CONTENT] clinical | therapist | patient | treatments | emotional | common factors | features | related specific | related specific clinical | aspect [SUMMARY]
[CONTENT] patients | personality | emotional | therapist | therapists | scores | related | treatment | variables | clinical [SUMMARY]
[CONTENT] patients | personality | emotional | therapist | therapists | scores | related | treatment | variables | clinical [SUMMARY]
[CONTENT] Therapist ||| 1 | 2 | 3 [SUMMARY]
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[CONTENT] ||| years [SUMMARY]
[CONTENT] [SUMMARY]
[CONTENT] ||| 1 | 2 | 3 ||| 43 | two | Italian | 19 ||| Symptom | SCL-90R ||| ||| ||| ||| years ||| [SUMMARY]
[CONTENT] ||| 1 | 2 | 3 ||| 43 | two | Italian | 19 ||| Symptom | SCL-90R ||| ||| ||| ||| years ||| [SUMMARY]
The role of dietary fatty acids in predicting myocardial structure in fat-fed rats.
21649916
Obesity increases the risk for development of cardiomyopathy in the absence of hypertension, diabetes or myocardial ischemia. Not all obese individuals, however, progress to heart failure. Indeed, obesity may provide protection from cardiovascular mortality in some populations. The fatty acid milieu, modulated by diet, may modify obesity-induced myocardial structure and function, lending partial explanation for the array of cardiomyopathic phenotype in obese individuals.
BACKGROUND
Adult male Sprague-Dawley rats were fed 1 of the following 4 diets for 32 weeks: control (CON); 50% saturated fat (SAT); 40% saturated fat + 10% linoleic acid (SAT+LA); 40% saturated fat + 10% α-linolenic acid (SAT+ALA). Serum leptin, insulin, glucose, free fatty acids and triglycerides were quantitated. In vivo cardiovascular outcomes included blood pressure, heart rate and echocardiographic measurements of structure and function. The rats were sacrificed and myocardium was processed for fatty acid analysis (TLC-GC), and evaluation of potential modifiers of myocardial structure including collagen (Masson's trichrome, hydroxyproline quantitation), lipid (Oil Red O, triglyceride quantitation) and myocyte cross sectional area.
METHODS
Rats fed SAT+LA and SAT+ALA diets had greater cranial LV wall thickness compared to rats fed CON and SAT diets, in the absence of hypertension or apparent insulin resistance. Treatment was not associated with changes in myocardial function. Myocardial collagen and triglycerides were similar among treatment groups; however, rats fed the high-fat diets, regardless of composition, demonstrated increased myocyte cross sectional area.
RESULTS
Under conditions of high-fat feeding, replacement of 10% saturated fat with either LA or ALA is associated with thickening of the cranial LV wall, but without concomitant functional changes. Increased myocyte size appears to be a more likely contributor to early LV thickening in response to high-fat feeding. These findings suggest that myocyte hypertrophy may be an early change leading to gross LV hypertrophy in the hearts of "healthy" obese rats, in the absence of hypertension, diabetes and myocardial ischemia.
CONCLUSIONS
[ "Adiposity", "Animals", "Body Weight", "Dietary Fats", "Echocardiography", "Fatty Acids", "Feeding Behavior", "Hemodynamics", "Hydroxyproline", "Male", "Myocardium", "Myocytes, Cardiac", "Organ Size", "Phospholipids", "Rats", "Rats, Sprague-Dawley", "Subcellular Fractions", "Triglycerides" ]
3127789
Background
In the United States the prevalence of overweight and obese adults averages 26% nationally,[1] having increased nearly 20% over the last 3 decades[2]. Beyond the human toll lies the economic cost that is projected to be 900 billion by the year 2030[3]. Obese individuals have a higher risk of morbidity and mortality attributed to cardiovascular disease,[4] and specifically are at higher risk for the development of cardiomyopathy leading to heart failure[5,6]. Obesity-mediated cardiomyopathy (OC) and heart failure have traditionally been attributed to hypertension, myocardial ischemia and diabetes. More recently, increased left ventricular (LV) mass and myocardial dysfunction have been associated with obesity in otherwise healthy humans (i.e. without concomitant hypertension, ischemic heart disease or apparent insulin resistance)[7-11]. Left ventricular hypertrophy (LVH) is an early echocardiographic change that reflects increased LV mass. This structural change is commonly identified in obese individuals,[12] and LV mass has been positively associated with adiposity and body mass index[11,13,14]. Importantly, LVH is an independent risk factor for development of systolic dysfunction,[15] and is associated with an increased risk for cardiovascular and all-cause mortality in people[16-18]. It is unknown why some obese individuals progress to heart failure, while others appear to be protected from mortality[19]. It is possible that diet composition is one factor that predicts the cardiac phenotype in response to obesity, and therefore disease progression. There is evidence that the fatty acid milieu predicts structural and functional changes in the heart that occur with obesity. Saturated and n-6 polyunsaturated fatty acids (PUFA) enhance myocyte apoptosis and necrosis,[20,21] while monounsaturated and n-3 PUFA attenuate apoptosis in cardiac and endothelial cells[22,23]. In addition, feeding of n-6 PUFA to normal pigs was associated with myocardial inflammation, while feeding n-3 PUFA was associated with anti-inflammatory effects[24]. Further, dietary fat composition may differentially impact LV structure and contractile function,[25,26] and studies of cultured myocytes support this idea[27]. Collectively, these findings suggest that LVH may be an important early event in the development of myocardial dysfunction in obese individuals. At the cellular level, a thickened LV may be attributed to extracellular matrix (ECM) remodeling, myocardial lipid accumulation and/or cardiac myocyte hypertrophy. There is evidence that these processes are differentially expressed according to dietary fat, so were chosen for emphasis in the present study. The human population more frequently experiences obesity as a result of nutritional and lifestyle factors compared to genetic aberrancy; thus, a dietary obese model was chosen for this study. We propose that defining alterations in cardiac structure and function attributable to obesity may be best accomplished by investigating the effects of combined fatty acid moieties from a dietary source, in the in vivo setting of intact anti-inflammatory and antioxidant systems. The purpose of this study was to determine whether the heterogeneous phenotype of OC might be partially attributed to dietary fatty acid composition. Primary outcomes included myocardial structure and function, measured echocardiographically, in addition to ECM remodeling, myocardial lipid accumulation and cardiac myocyte hypertrophy. To understand the morphologic and metabolic milieu within which primary outcomes were measured, we secondarily characterized adiposity, hemodynamics, serum metabolic indices and myocardial fatty acid composition. We hypothesized that long-term feeding of a high saturated fat diet would be associated with LVH, and that concomitant intake of n-6 PUFA and n-3 PUFA would exacerbate and attenuate, respectively, this early structural change. Further, we hypothesized that despite the presence of LVH, myocardial function, measured echocardiographically, would remain intact in these dietary obese rats. Regarding contributors to LV thickening, it was anticipated that intake of a diet high in saturated fat and n-6 PUFA would result in the most profound lesion severity, compared with other high fat diets tested.
Methods
Animals Adult male Sprague-Dawley (SD) rats (CD® IGS Rat, Charles River Laboratories, Wilmington, MA) were maintained in the Colorado State University Laboratory Animal Resource Center in a temperature- and humidity-controlled environment. Rats were housed in pairs with a normal 12-hour light/12 hour dark cycle. Protocols and conditions within the facility meet or exceed the standards for animal housing facilities as described in the Animal Welfare Act regulations, the Guide for the Care and Use of Laboratory Animals and the Guide for the Care and Use of Agricultural Animals in Agricultural Research and Teaching. The rats were allowed a 2-week acclimation period prior to initiation of dietary treatment. Diet At 6 weeks of age, rats were divided into 1 of 4 dietary treatment groups: control (CON); 50% saturated fat (SAT); 40% saturated fat + 10% n-6 PUFA composed primarily of linoleic acid (LA) (SAT+LA) and 40% saturated fat + 10% n-3 PUFA composed primarily of α-linolenic acid (ALA) (SAT+ALA). Diets were supplied by Harlan Teklad (Madison, WI), and are detailed in Tables 1 and 2. The duration of dietary treatment was 32 weeks. Body weight was measured weekly. Rats were fasted overnight prior to terminal sample collection. Macronutrient composition and caloric density of diets CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. Fatty acid composition of diets (% of total diet) LA, Linoleic acid; ALA, α-linolenic acid; N/A, not applicable; CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. Adult male Sprague-Dawley (SD) rats (CD® IGS Rat, Charles River Laboratories, Wilmington, MA) were maintained in the Colorado State University Laboratory Animal Resource Center in a temperature- and humidity-controlled environment. Rats were housed in pairs with a normal 12-hour light/12 hour dark cycle. Protocols and conditions within the facility meet or exceed the standards for animal housing facilities as described in the Animal Welfare Act regulations, the Guide for the Care and Use of Laboratory Animals and the Guide for the Care and Use of Agricultural Animals in Agricultural Research and Teaching. The rats were allowed a 2-week acclimation period prior to initiation of dietary treatment. Diet At 6 weeks of age, rats were divided into 1 of 4 dietary treatment groups: control (CON); 50% saturated fat (SAT); 40% saturated fat + 10% n-6 PUFA composed primarily of linoleic acid (LA) (SAT+LA) and 40% saturated fat + 10% n-3 PUFA composed primarily of α-linolenic acid (ALA) (SAT+ALA). Diets were supplied by Harlan Teklad (Madison, WI), and are detailed in Tables 1 and 2. The duration of dietary treatment was 32 weeks. Body weight was measured weekly. Rats were fasted overnight prior to terminal sample collection. Macronutrient composition and caloric density of diets CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. Fatty acid composition of diets (% of total diet) LA, Linoleic acid; ALA, α-linolenic acid; N/A, not applicable; CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. General anesthesia General anesthesia was induced by placing rats in a commercial rodent anesthesia chamber and initiating flow of 3% isofluorane in a 95% O2/5% CO2 gas mixture. Anesthesia was maintained by nosecone at 2% isofluorane for noninvasive measurements, and at 4% isofluorane for terminal sample collection. General anesthesia was induced by placing rats in a commercial rodent anesthesia chamber and initiating flow of 3% isofluorane in a 95% O2/5% CO2 gas mixture. Anesthesia was maintained by nosecone at 2% isofluorane for noninvasive measurements, and at 4% isofluorane for terminal sample collection. Serum measurements Serum leptin, glucose and free fatty acid (FFA) concentrations were measured in the University of Colorado Hospital Clinical and Translational Research Center. Leptin was measured using the Rat Leptin Radioimmunoassay Kit (Millipore, St. Charles, MO). Glucose and FFA were quantitated using the Roche Cobas Mira Plus Chemistry Analyzer (Indianapolis, IN). Insulin was quantitated by a commercial rat insulin ELISA (Linco Research, St. Charles, MO). The Homeostasis Model Assessment (HOMA) was used to estimate insulin resistance using a HOMA2 IR Excel-based calculator (http://www.dtu.ox.ac.uk/homacalculator/download.php). Serum triglycerides (TG) were assayed using enzymatic colorimetry (Triglycerides Reagent, Thermo Electron, Pittsburg, PA). Serum leptin, glucose and free fatty acid (FFA) concentrations were measured in the University of Colorado Hospital Clinical and Translational Research Center. Leptin was measured using the Rat Leptin Radioimmunoassay Kit (Millipore, St. Charles, MO). Glucose and FFA were quantitated using the Roche Cobas Mira Plus Chemistry Analyzer (Indianapolis, IN). Insulin was quantitated by a commercial rat insulin ELISA (Linco Research, St. Charles, MO). The Homeostasis Model Assessment (HOMA) was used to estimate insulin resistance using a HOMA2 IR Excel-based calculator (http://www.dtu.ox.ac.uk/homacalculator/download.php). Serum triglycerides (TG) were assayed using enzymatic colorimetry (Triglycerides Reagent, Thermo Electron, Pittsburg, PA). Systolic blood pressure and heart rate Immediately upon moving to the maintenance dose of 2% isofluorane, rats were moved to a temperature controlled platform for determination of heart rate (HR) and systolic blood pressure by the tail cuff method (SC 1000 Pressure Analysis System, Hatteras Instruments, Cary, NC). Three separate measurements of both HR and systolic blood pressure were recorded. Immediately upon moving to the maintenance dose of 2% isofluorane, rats were moved to a temperature controlled platform for determination of heart rate (HR) and systolic blood pressure by the tail cuff method (SC 1000 Pressure Analysis System, Hatteras Instruments, Cary, NC). Three separate measurements of both HR and systolic blood pressure were recorded. Echocardiographic examination After HR and blood pressure determination, rats were shaved over the ventral thorax and upper abdomen. A Philips HD-11 ultrasound machine with a 12 mHz pediatric sector transducer was used to image the heart in transverse parasternal and 4-chamber views. Two dimensional, M-mode and Doppler imaging was incorporated to measure LV end-diastolic and end-systolic wall and chamber dimensions and isovolumic relaxation time (IVRT), an index of diastolic function. Left ventricular mass was estimated using a formula adapted from Foppa et al:[28] where LVIDd = LV internal diameter during diastole, LVWcr/d = cranial LV wall thickness during diastole and LVWca/d = caudal LV wall thickness during diastole. Dual Energy X-Ray Absorptiometry (DEXA) Scans were performed on anesthetized rats at the Colorado State University Veterinary Medical Center using a Delphi A densitometer (Hologic, Inc., Bedford, MA). After HR and blood pressure determination, rats were shaved over the ventral thorax and upper abdomen. A Philips HD-11 ultrasound machine with a 12 mHz pediatric sector transducer was used to image the heart in transverse parasternal and 4-chamber views. Two dimensional, M-mode and Doppler imaging was incorporated to measure LV end-diastolic and end-systolic wall and chamber dimensions and isovolumic relaxation time (IVRT), an index of diastolic function. Left ventricular mass was estimated using a formula adapted from Foppa et al:[28] where LVIDd = LV internal diameter during diastole, LVWcr/d = cranial LV wall thickness during diastole and LVWca/d = caudal LV wall thickness during diastole. Dual Energy X-Ray Absorptiometry (DEXA) Scans were performed on anesthetized rats at the Colorado State University Veterinary Medical Center using a Delphi A densitometer (Hologic, Inc., Bedford, MA). Processing of tissue samples The heart was exposed through a medial sternotomy. Blood was aspirated from the pulmonary arterial trunk and immediately placed into a collection tube. After 2 hours, the blood was centrifuged at 2095 RCF for 15 minutes. After centrifugation, serum was aspirated and stored at -80°C. Immediately upon withdraw of the blood sample, the heart was excised and placed in ice cold saline, then quickly dabbed for excess fluid prior to recording of heart weight. While in the iced saline, the heart was dissected to isolate the LV, right ventricle and septum, and isolated tissue weights were recorded. Samples of right and left ventricular and septal myocardium were divided and either snap frozen in liquid nitrogen and stored at -80°C or fixed in 4% paraformaldehyde. After 24 hours in paraformaldehyde, tissues were transferred to 70% ethanol, then trimmed and embedded in paraffin. The mass of visceral adipose was estimated by removing and weighing the mesenteric fat. The heart was exposed through a medial sternotomy. Blood was aspirated from the pulmonary arterial trunk and immediately placed into a collection tube. After 2 hours, the blood was centrifuged at 2095 RCF for 15 minutes. After centrifugation, serum was aspirated and stored at -80°C. Immediately upon withdraw of the blood sample, the heart was excised and placed in ice cold saline, then quickly dabbed for excess fluid prior to recording of heart weight. While in the iced saline, the heart was dissected to isolate the LV, right ventricle and septum, and isolated tissue weights were recorded. Samples of right and left ventricular and septal myocardium were divided and either snap frozen in liquid nitrogen and stored at -80°C or fixed in 4% paraformaldehyde. After 24 hours in paraformaldehyde, tissues were transferred to 70% ethanol, then trimmed and embedded in paraffin. The mass of visceral adipose was estimated by removing and weighing the mesenteric fat. Collagen Masson's trichrome stain was used for collagen detection in paraffin-embedded tissue sections. A slide from each animal was evaluated at 20X for regions of transversely sectioned cells without artifact or large vessels. Four images per slide, comprising identical total areas among slides, were assessed for % total area that was positive for Masson's staining, using NIH Image J software. Hydroxyproline (a primary amino acid in collagen) was quantitated in frozen septal tissue spectrophotometrically using previously described methods[29]. Masson's trichrome stain was used for collagen detection in paraffin-embedded tissue sections. A slide from each animal was evaluated at 20X for regions of transversely sectioned cells without artifact or large vessels. Four images per slide, comprising identical total areas among slides, were assessed for % total area that was positive for Masson's staining, using NIH Image J software. Hydroxyproline (a primary amino acid in collagen) was quantitated in frozen septal tissue spectrophotometrically using previously described methods[29]. Lipid analysis Oil Red O staining was applied to myocardial cryostat sections. Septal TG were extracted and quantitated using a commercial colorimetric Triglyceride Quantification Kit (BioVision Research Products, Mountain View, CA). Lipids were extracted from frozen septal tissue using the method described by Matyash et al.[30] Briefly, 0.05 gm tissue samples were pulverized into a powder under liquid nitrogen and placed in a glass homogenizer. Mass spectrometry (MS) grade methanol (0.75 mL) and methyl-tert-butyl ether (MTBE, 2.5 mL) were added and the powdered tissue was homogenized briefly on ice. Samples were capped off under nitrogen gas and incubated at room temperature for one hour, then 0.625 mL of MS grade water was added. After vortexing, samples were capped off under nitrogen and incubated at room temperature for an additional 10 minutes, then centrifuged at 1,000 RCF for 10 minutes. The upper (organic) phase was collected and the sample dried under a stream of nitrogen. Samples were frozen at -80°C until processed. Thin layer chromatography (TLC) was then used to separate out the phospholipid fraction using a 20 cm × 20 cm silica gel TLC plate in a 70:30:1 hexane:ethyl ether:acetic acid solution. The band associated with the phospholipid fraction was scraped from the plate and dissolved in 0.5 ml hexane and 0.5 ml 0.5N KOH. Three ml of 14% BF3-methanol was added and each sample was placed on a heat plate at 70 °C for 1.5 hours to obtain methyl esters in preparation for gas chromatography (GC). The GC analysis was performed using an Agilent 6890 Series Gas Chromatographer (Agilent Technologies, Inc., Santa Clara, CA). The column used was an Agilent Technologies DB-225 30 m × 0.250 mm × 0.25 μm, model 122-2232. The initial temperature of the oven was 100 °C with an initial ramp temperature of 10°C/min for 10 minutes, then 2.5°C/min for 4 minutes and held at 210°C for the remaining 15 minutes for a total run time of 29 minutes. The inlet split ratio was 20:1 with the column at constant flow and an initial flow, pressure and velocity at 2.0 ml/min, 23.86 psi and 44 cm/sec, respectively. Oil Red O staining was applied to myocardial cryostat sections. Septal TG were extracted and quantitated using a commercial colorimetric Triglyceride Quantification Kit (BioVision Research Products, Mountain View, CA). Lipids were extracted from frozen septal tissue using the method described by Matyash et al.[30] Briefly, 0.05 gm tissue samples were pulverized into a powder under liquid nitrogen and placed in a glass homogenizer. Mass spectrometry (MS) grade methanol (0.75 mL) and methyl-tert-butyl ether (MTBE, 2.5 mL) were added and the powdered tissue was homogenized briefly on ice. Samples were capped off under nitrogen gas and incubated at room temperature for one hour, then 0.625 mL of MS grade water was added. After vortexing, samples were capped off under nitrogen and incubated at room temperature for an additional 10 minutes, then centrifuged at 1,000 RCF for 10 minutes. The upper (organic) phase was collected and the sample dried under a stream of nitrogen. Samples were frozen at -80°C until processed. Thin layer chromatography (TLC) was then used to separate out the phospholipid fraction using a 20 cm × 20 cm silica gel TLC plate in a 70:30:1 hexane:ethyl ether:acetic acid solution. The band associated with the phospholipid fraction was scraped from the plate and dissolved in 0.5 ml hexane and 0.5 ml 0.5N KOH. Three ml of 14% BF3-methanol was added and each sample was placed on a heat plate at 70 °C for 1.5 hours to obtain methyl esters in preparation for gas chromatography (GC). The GC analysis was performed using an Agilent 6890 Series Gas Chromatographer (Agilent Technologies, Inc., Santa Clara, CA). The column used was an Agilent Technologies DB-225 30 m × 0.250 mm × 0.25 μm, model 122-2232. The initial temperature of the oven was 100 °C with an initial ramp temperature of 10°C/min for 10 minutes, then 2.5°C/min for 4 minutes and held at 210°C for the remaining 15 minutes for a total run time of 29 minutes. The inlet split ratio was 20:1 with the column at constant flow and an initial flow, pressure and velocity at 2.0 ml/min, 23.86 psi and 44 cm/sec, respectively. Myocyte cross sectional area Sections of LV were stained with hematoxylin and eosin, and cross sectional area was measured using NIH Image J software. Fifty transversely sectioned cells with central nuclei from each of 2 slides per rat were evaluated (i.e. 100 cells/rat). In 5/22 rats, only 50 cells/rat met standards for measurement. Statistics Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05. Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05. Sections of LV were stained with hematoxylin and eosin, and cross sectional area was measured using NIH Image J software. Fifty transversely sectioned cells with central nuclei from each of 2 slides per rat were evaluated (i.e. 100 cells/rat). In 5/22 rats, only 50 cells/rat met standards for measurement. Statistics Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05. Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05.
null
null
Conclusions
KMJ critically reviewed the manuscript for intellectual content, developed the hydroxyproline assay method, and assisted with data analysis. KEM assisted in terminal sample collection, processed tissue and serum samples and performed triglyceride assays. AJC participated in echocardiographic data acquisition and interpretation, and critically reviewed the manuscript for intellectual content. PLC was the principal contributor to statistical design and analysis. CMM performed TLC-GC. PHF measured myocyte cross sectional area. MLM assisted in hydroxyproline assay development and completion. MJP critically reviewed the manuscript for intellectual content. MF conceived of and designed the study, performed echocardiographic examinations and terminal sample collection, and drafted the manuscript. All authors have read and approved the final manuscript.
[ "Background", "Animals", "General anesthesia", "Serum measurements", "Systolic blood pressure and heart rate", "Echocardiographic examination", "Processing of tissue samples", "Collagen", "Lipid analysis", "Myocyte cross sectional area", "Statistics", "Results", "Conclusions" ]
[ "In the United States the prevalence of overweight and obese adults averages 26% nationally,[1] having increased nearly 20% over the last 3 decades[2]. Beyond the human toll lies the economic cost that is projected to be 900 billion by the year 2030[3]. Obese individuals have a higher risk of morbidity and mortality attributed to cardiovascular disease,[4] and specifically are at higher risk for the development of cardiomyopathy leading to heart failure[5,6]. Obesity-mediated cardiomyopathy (OC) and heart failure have traditionally been attributed to hypertension, myocardial ischemia and diabetes. More recently, increased left ventricular (LV) mass and myocardial dysfunction have been associated with obesity in otherwise healthy humans (i.e. without concomitant hypertension, ischemic heart disease or apparent insulin resistance)[7-11]. Left ventricular hypertrophy (LVH) is an early echocardiographic change that reflects increased LV mass. This structural change is commonly identified in obese individuals,[12] and LV mass has been positively associated with adiposity and body mass index[11,13,14]. Importantly, LVH is an independent risk factor for development of systolic dysfunction,[15] and is associated with an increased risk for cardiovascular and all-cause mortality in people[16-18].\nIt is unknown why some obese individuals progress to heart failure, while others appear to be protected from mortality[19]. It is possible that diet composition is one factor that predicts the cardiac phenotype in response to obesity, and therefore disease progression. There is evidence that the fatty acid milieu predicts structural and functional changes in the heart that occur with obesity. Saturated and n-6 polyunsaturated fatty acids (PUFA) enhance myocyte apoptosis and necrosis,[20,21] while monounsaturated and n-3 PUFA attenuate apoptosis in cardiac and endothelial cells[22,23]. In addition, feeding of n-6 PUFA to normal pigs was associated with myocardial inflammation, while feeding\nn-3 PUFA was associated with anti-inflammatory effects[24]. Further, dietary fat composition may differentially impact LV structure and contractile function,[25,26] and studies of cultured myocytes support this idea[27].\nCollectively, these findings suggest that LVH may be an important early event in the development of myocardial dysfunction in obese individuals. At the cellular level, a thickened LV may be attributed to extracellular matrix (ECM) remodeling, myocardial lipid accumulation and/or cardiac myocyte hypertrophy. There is evidence that these processes are differentially expressed according to dietary fat, so were chosen for emphasis in the present study. The human population more frequently experiences obesity as a result of nutritional and lifestyle factors compared to genetic aberrancy; thus, a dietary obese model was chosen for this study. We propose that defining alterations in cardiac structure and function attributable to obesity may be best accomplished by investigating the effects of combined fatty acid moieties from a dietary source, in the in vivo setting of intact anti-inflammatory and antioxidant systems.\nThe purpose of this study was to determine whether the heterogeneous phenotype of OC might be partially attributed to dietary fatty acid composition. Primary outcomes included myocardial structure and function, measured echocardiographically, in addition to ECM remodeling, myocardial lipid accumulation and cardiac myocyte hypertrophy. To understand the morphologic and metabolic milieu within which primary outcomes were measured, we secondarily characterized adiposity, hemodynamics, serum metabolic indices and myocardial fatty acid composition.\nWe hypothesized that long-term feeding of a high saturated fat diet would be associated with LVH, and that concomitant intake of n-6 PUFA and n-3 PUFA would exacerbate and attenuate, respectively, this early structural change. Further, we hypothesized that despite the presence of LVH, myocardial function, measured echocardiographically, would remain intact in these dietary obese rats. Regarding contributors to LV thickening, it was anticipated that intake of a diet high in saturated fat and n-6 PUFA would result in the most profound lesion severity, compared with other high fat diets tested.", "Adult male Sprague-Dawley (SD) rats (CD® IGS Rat, Charles River Laboratories, Wilmington, MA) were maintained in the Colorado State University Laboratory Animal Resource Center in a temperature- and humidity-controlled environment. Rats were housed in pairs with a normal 12-hour light/12 hour dark cycle. Protocols and conditions within the facility meet or exceed the standards for animal housing facilities as described in the Animal Welfare Act regulations, the Guide for the Care and Use of Laboratory Animals and the Guide for the Care and Use of Agricultural Animals in Agricultural Research and Teaching. The rats were allowed a 2-week acclimation period prior to initiation of dietary treatment.\nDiet At 6 weeks of age, rats were divided into 1 of 4 dietary treatment groups: control (CON); 50% saturated fat (SAT); 40% saturated fat + 10% n-6 PUFA composed primarily of linoleic acid (LA) (SAT+LA) and 40% saturated fat + 10% n-3 PUFA composed primarily of α-linolenic acid (ALA) (SAT+ALA). Diets were supplied by Harlan Teklad (Madison, WI), and are detailed in Tables 1 and 2. The duration of dietary treatment was 32 weeks. Body weight was measured weekly. Rats were fasted overnight prior to terminal sample collection.\nMacronutrient composition and caloric density of diets\nCON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA.\nFatty acid composition of diets (% of total diet)\nLA, Linoleic acid; ALA, α-linolenic acid; N/A, not applicable; CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA.", "General anesthesia was induced by placing rats in a commercial rodent anesthesia chamber and initiating flow of 3% isofluorane in a 95% O2/5% CO2 gas mixture. Anesthesia was maintained by nosecone at 2% isofluorane for noninvasive measurements, and at 4% isofluorane for terminal sample collection.", "Serum leptin, glucose and free fatty acid (FFA) concentrations were measured in the University of Colorado Hospital Clinical and Translational Research Center. Leptin was measured using the Rat Leptin Radioimmunoassay Kit (Millipore, St. Charles, MO). Glucose and FFA were quantitated using the Roche Cobas Mira Plus Chemistry Analyzer (Indianapolis, IN). Insulin was quantitated by a commercial rat insulin ELISA (Linco Research, St. Charles, MO). The Homeostasis Model Assessment (HOMA) was used to estimate insulin resistance using a HOMA2 IR Excel-based calculator (http://www.dtu.ox.ac.uk/homacalculator/download.php). Serum triglycerides (TG) were assayed using enzymatic colorimetry (Triglycerides Reagent, Thermo Electron, Pittsburg, PA).", "Immediately upon moving to the maintenance dose of 2% isofluorane, rats were moved to a temperature controlled platform for determination of heart rate (HR) and systolic blood pressure by the tail cuff method (SC 1000 Pressure Analysis System, Hatteras Instruments, Cary, NC). Three separate measurements of both HR and systolic blood pressure were recorded.", "After HR and blood pressure determination, rats were shaved over the ventral thorax and upper abdomen. A Philips HD-11 ultrasound machine with a 12 mHz pediatric sector transducer was used to image the heart in transverse parasternal and 4-chamber views. Two dimensional, M-mode and Doppler imaging was incorporated to measure LV end-diastolic and end-systolic wall and chamber dimensions and isovolumic relaxation time (IVRT), an index of diastolic function. Left ventricular mass was estimated using a formula adapted from Foppa et al:[28]\nwhere LVIDd = LV internal diameter during diastole, LVWcr/d = cranial LV wall thickness during diastole and LVWca/d = caudal LV wall thickness during diastole.\nDual Energy X-Ray Absorptiometry (DEXA) Scans were performed on anesthetized rats at the Colorado State University Veterinary Medical Center using a Delphi A densitometer (Hologic, Inc., Bedford, MA).", "The heart was exposed through a medial sternotomy. Blood was aspirated from the pulmonary arterial trunk and immediately placed into a collection tube. After 2 hours, the blood was centrifuged at 2095 RCF for 15 minutes. After centrifugation, serum was aspirated and stored at -80°C.\nImmediately upon withdraw of the blood sample, the heart was excised and placed in ice cold saline, then quickly dabbed for excess fluid prior to recording of heart weight. While in the iced saline, the heart was dissected to isolate the LV, right ventricle and septum, and isolated tissue weights were recorded. Samples of right and left ventricular and septal myocardium were divided and either snap frozen in liquid nitrogen and stored at -80°C or fixed in 4% paraformaldehyde. After 24 hours in paraformaldehyde, tissues were transferred to 70% ethanol, then trimmed and embedded in paraffin. The mass of visceral adipose was estimated by removing and weighing the mesenteric fat.", "Masson's trichrome stain was used for collagen detection in paraffin-embedded tissue sections. A slide from each animal was evaluated at 20X for regions of transversely sectioned cells without artifact or large vessels. Four images per slide, comprising identical total areas among slides, were assessed for % total area that was positive for Masson's staining, using NIH Image J software. Hydroxyproline (a primary amino acid in collagen) was quantitated in frozen septal tissue spectrophotometrically using previously described methods[29].", "Oil Red O staining was applied to myocardial cryostat sections. Septal TG were extracted and quantitated using a commercial colorimetric Triglyceride Quantification Kit (BioVision Research Products, Mountain View, CA).\nLipids were extracted from frozen septal tissue using the method described by Matyash et al.[30] Briefly, 0.05 gm tissue samples were pulverized into a powder under liquid nitrogen and placed in a glass homogenizer. Mass spectrometry (MS) grade methanol (0.75 mL) and methyl-tert-butyl ether (MTBE, 2.5 mL) were added and the powdered tissue was homogenized briefly on ice. Samples were capped off under nitrogen gas and incubated at room temperature for one hour, then 0.625 mL of MS grade water was added. After vortexing, samples were capped off under nitrogen and incubated at room temperature for an additional 10 minutes, then centrifuged at 1,000 RCF for 10 minutes. The upper (organic) phase was collected and the sample dried under a stream of nitrogen. Samples were frozen at -80°C until processed. Thin layer chromatography (TLC) was then used to separate out the phospholipid fraction using a 20 cm × 20 cm silica gel TLC plate in a 70:30:1 hexane:ethyl ether:acetic acid solution. The band associated with the phospholipid fraction was scraped from the plate and dissolved in 0.5 ml hexane and 0.5 ml 0.5N KOH. Three ml of 14% BF3-methanol was added and each sample was placed on a heat plate at 70 °C for 1.5 hours to obtain methyl esters in preparation for gas chromatography (GC). The GC analysis was performed using an Agilent 6890 Series Gas Chromatographer (Agilent Technologies, Inc., Santa Clara, CA). The column used was an Agilent Technologies DB-225 30 m × 0.250 mm × 0.25 μm, model 122-2232. The initial temperature of the oven was 100 °C with an initial ramp temperature of 10°C/min for 10 minutes, then 2.5°C/min for 4 minutes and held at 210°C for the remaining 15 minutes for a total run time of 29 minutes. The inlet split ratio was 20:1 with the column at constant flow and an initial flow, pressure and velocity at 2.0 ml/min, 23.86 psi and 44 cm/sec, respectively.", "Sections of LV were stained with hematoxylin and eosin, and cross sectional area was measured using NIH Image J software. Fifty transversely sectioned cells with central nuclei from each of 2 slides per rat were evaluated (i.e. 100 cells/rat). In 5/22 rats, only 50 cells/rat met standards for measurement.\n Statistics Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05.\nInitial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05.", "Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05.", "Data relevant to body morphometry, organ weights, hemodynamics and serum metabolic indices are presented in Table 3. Rats fed diets supplemented with PUFA, whether LA or ALA, had higher body weights than CON rats; further, SAT + ALA rats had higher body weights compared to SAT rats. There were no differences in % body fat by DEXA or in postmortem visceral adipose mass; however, visceral adipose mass was correlated with body weight (r = 0.69, p < 0.0001). Heart weight and LV weight were similar among groups. Treatment did not alter HR or systolic blood pressure. Serum metabolic indices were unchanged by diet; however, leptin was correlated with % body fat (r = 0.86, p < 0.0001) and visceral adipose mass (r = 0.78, p < 0.0001).\nData summary including body morphometry, tissue masses, hemodynamics and serum metabolic indices\nData listed as mean/SE. CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. *p < 0.05 compared to control; **p < 0.01 compared to control; #p < 0.05 compared to SAT.\nMyocardial fatty acid profiles are presented in Table 4. With the exception of palmitic and oleic acids, the tissue composition generally reflected direct dietary intake or intake of precursors.\nFatty acid profile of myocardial phospholipid fractions\nData listed as mean/SE. CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. *p < 0.05 compared to control; **p < 0.01 compared to control; #p < 0.05 compared to SAT;\n## p < 0.01 compared to SAT; ++ p < 0.01 compared to SAT+PUFA6.\nMyocardial outcomes are listed in Table 5. Multivariate analysis of cranial wall dimensions during systole and diastole revealed significant differences in cranial wall measurements based on all 4 multivariate tests (p = 0.009-0.038). The 1-way ANOVA tests of systole and diastole separately revealed that cranial LV wall thickness was increased in rats from both PUFA-supplemented groups compared to CON animals. Moreover, rats fed both SAT + LA and SAT + ALA diets had increased cranial wall thickness during diastole compared to rats fed the SAT diet, and rats fed the SAT + LA diet also had increased cranial wall thickness during systole compared to rats fed the SAT diet. Correlations between cranial LV wall thickness measurements and % body fat by DEXA or visceral adipose weight were weak to nonexistent (Table 6). Caudal LV wall measurements during systole and diastole were not different based on MANOVA (p = 0.164-0.372). Left ventricular mass, estimated from echocardiographic data and indexed to body weight, was similar among groups. This estimate of LV mass correlated to body weight and visceral adipose mass, but not to overall adiposity as measured by DEXA (Table 6). Systolic and diastolic functional indices (i.e. fractional shortening and IVRT, respectively) were not different between groups. Dietary treatment did not alter myocardial TG or collagen content. Oil Red O staining was negligible across treatment groups (data not shown). Cardiac myocyte cross sectional area was increased in all fat-fed groups compared to control; however, there was no difference in area between the fat-fed groups. There was no correlation between body weight or visceral adipose mass, and measures of TG, hydroxyproline or myocyte area.\nSummary of echocardiographic measurements, myocardial hydroxyproline and triglyceride content and myocyte area\nData listed as mean/SE. LVW, left ventricular wall; LVID, left ventricular internal diameter; IVRT, isovolumic relaxation time; FS, fractional shortening; cr, cranial; ca, caudal; s, systole; d, diastole; CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA.\n*p < 0.05 compared to control; **p < 0.01 compared to control; #p < 0.05 compared to SAT.\nSummary of correlation data comparing key myocardial outcomes to adiposity and body weight\nLVW, left ventricular wall; cr, cranial; ca, caudal; s, systole; d, diastole.", "The aim of this study was to develop insights into the heterogeneity of OC. Accordingly, we sought to identify a profile of related gross and cellular myocardial processes that may be specific to dietary fatty acid composition, using dietary obese SD rats. This study revealed diet-specific changes in myocardial fatty acid composition, LV thickening and myocyte hypertrophy without associated changes in myocardial function.\n Morphometric, hemodynamic and metabolic profiles In the present study, only the PUFA-fed rats had increased body weight compared to control animals, and a difference associated with dietary fat composition was demonstrated in that SAT + ALA-fed rats had greater body weights than rats fed the SAT diet alone. Increased visceral adipose mass (or \"visceral adiposity\"), compared to increased body weight, is a stronger risk factor for the development of LVH, OC and failure[31-33]. Both the fatty acid composition[34] and mass[32,35] of the visceral adipose determine the potential for this depot to secrete factors that are believed to contribute to OC[32,36-38]. The present study revealed only a trend toward increased body fat and visceral adipose mass in fat-fed rats. Though differences in primary myocardial outcomes must be interpreted in the absence of significant treatment differences in adipose mass, it is possible that the secretory profile of the visceral adipose was altered according to dietary influence on fatty acid composition and gene expression[39-41].\nIn the present study, dietary fatty acid composition did not modify systolic blood pressure or HR, suggesting that primary outcomes may be interpreted in the absence of increased afterload. Similarly, serum glucose, serum insulin and calculated HOMA were unchanged by dietary treatment. Though fasting concentrations and subsequent HOMA calculations offer only gross approximations of insulin sensitivity, these findings indicate that neither hyperglycemia nor hyperinsulinemia are likely to be key factors influencing primary outcomes.\nIn the present study, only the PUFA-fed rats had increased body weight compared to control animals, and a difference associated with dietary fat composition was demonstrated in that SAT + ALA-fed rats had greater body weights than rats fed the SAT diet alone. Increased visceral adipose mass (or \"visceral adiposity\"), compared to increased body weight, is a stronger risk factor for the development of LVH, OC and failure[31-33]. Both the fatty acid composition[34] and mass[32,35] of the visceral adipose determine the potential for this depot to secrete factors that are believed to contribute to OC[32,36-38]. The present study revealed only a trend toward increased body fat and visceral adipose mass in fat-fed rats. Though differences in primary myocardial outcomes must be interpreted in the absence of significant treatment differences in adipose mass, it is possible that the secretory profile of the visceral adipose was altered according to dietary influence on fatty acid composition and gene expression[39-41].\nIn the present study, dietary fatty acid composition did not modify systolic blood pressure or HR, suggesting that primary outcomes may be interpreted in the absence of increased afterload. Similarly, serum glucose, serum insulin and calculated HOMA were unchanged by dietary treatment. Though fasting concentrations and subsequent HOMA calculations offer only gross approximations of insulin sensitivity, these findings indicate that neither hyperglycemia nor hyperinsulinemia are likely to be key factors influencing primary outcomes.\n Myocardial fatty acid composition Dietary fatty acids determine the fatty acid composition of the myocardium, and changes in the type of myocellular lipids are associated with altered intracellular signaling, including pathways that may be important in modulating myocyte metabolism, hypertrophy, contractile function and ultimately survival[42-46]. Overall, comparisons of tissue fatty acid profiles between studies must be made cautiously due to variance in diets and lipid fractions studied. Further, the complex interplay of dietary fatty acids and rates of uptake, oxidation and metabolism is beyond the scope of this paper. With these limitations in mind, the fatty acid composition of the total phospholipid fraction in CON rats was similar to that described in another study of SD rats,[47] with the exception of less myocardial DHA in this study, likely attributable to differences in dietary content. The data support the idea that stearic acid (18:0) is more readily incorporated into the myocardial phospholipid fraction compared to palmitic (16:0) and oleic (18:1) acids,[48] and that increased available LA (18:2) may be preferentially incorporated, resulting in displacement of oleic and palmitic acids. The observed increase in myocardial DHA[49,50] and decrease in arachidonic acid (AA 20:4) [49-51] with ALA feeding have been reported previously.\nDietary fatty acids determine the fatty acid composition of the myocardium, and changes in the type of myocellular lipids are associated with altered intracellular signaling, including pathways that may be important in modulating myocyte metabolism, hypertrophy, contractile function and ultimately survival[42-46]. Overall, comparisons of tissue fatty acid profiles between studies must be made cautiously due to variance in diets and lipid fractions studied. Further, the complex interplay of dietary fatty acids and rates of uptake, oxidation and metabolism is beyond the scope of this paper. With these limitations in mind, the fatty acid composition of the total phospholipid fraction in CON rats was similar to that described in another study of SD rats,[47] with the exception of less myocardial DHA in this study, likely attributable to differences in dietary content. The data support the idea that stearic acid (18:0) is more readily incorporated into the myocardial phospholipid fraction compared to palmitic (16:0) and oleic (18:1) acids,[48] and that increased available LA (18:2) may be preferentially incorporated, resulting in displacement of oleic and palmitic acids. The observed increase in myocardial DHA[49,50] and decrease in arachidonic acid (AA 20:4) [49-51] with ALA feeding have been reported previously.\n Myocardial structure and function Effects of dietary fats on myocardial structure and function in the setting of pressure overload have been demonstrated[52-54]. Less is known about the role of dietary fatty acid composition in OC, without concomitant hypertension, myocardial ischemia or diabetes. In the present study, LV thickening was associated with PUFA feeding (SAT + LA and SAT + ALA groups) in the absence of hyperglycemia, hyperinsulinemia or hypertension. The effect of high-fat diet composition was demonstrated in that PUFA-fed rats had greater thickening than rats fed the SAT diet. The LV thickening in PUFA-fed rats was regional; the cranial (anterior) wall, but not the caudal (posterior) wall, was affected. These data, combined with poor or nonexistent correlation of cranial LV thickness with adiposity and body weight, suggest that diet may be more important than morphometry in the development of focal LV thickening. Heart and LV masses were not different among treatment groups, suggesting either focal areas of thickening that did not contribute remarkably to overall mass in PUFA-fed rats, or replacement of normal parenchyma with a matrix of lesser density. Unchanged myocardial TG and hydroxyproline content (discussed below) supports the former idea. Correlative data suggest that in contrast to measures of focal LV thickening, total LV mass may be better predicted by visceral adipose mass and body weight than by diet. The LV thickening present in PUFA-fed rats was not associated with in vivo systolic or diastolic dysfunction measured echocardiographically. These findings are consistent with those in human studies describing increased LV mass without concomitant dysfunction in obese individuals[55]. Comparing these data with those from other rodent studies, increased heart weight and impaired function, as measured in isolated papillary muscles and myocytes, were reported in rats in response to short-term high-fat feeding[56,57]. In contrast, in vivo studies using echocardiography have revealed no change in myocardial structure and function in response to 8 weeks of high SAT and PUFA feeding,[58] but others observed increased LV mass and impaired contractile function in mice fed a high fat diet for 20 weeks[59]. It is likely that chronicity, distribution and underlying etiology of LVH combine to determine subsequent function.\nThough it is not uncommon for LVH to exist in the absence of measureable functional change, some factors should be considered relevant to the present study. It is possible that more sensitive echocardiographic indicators of myocardial function, such as tissue Doppler imaging and related methods,[10] may reveal early and subtle functional changes attributed to dietary obesity that are not measureable with conventional echocardiographic techniques used in the majority of studies to date. Additionally, it is possible that despite normal systolic and diastolic function at rest, conditions of increased workload or myocardial stress would reveal impaired function[56]. Regarding dietary treatment chosen for this study, it is possible that any beneficial effects of n-3 supplementation were obscured by concomitant feeding of high saturated fat[60]. It should also be considered that dietary simple carbohydrates, rather than fatty acid composition, play a prominent role in promoting the cardiomyopathic phenotype. Short term effects of a high-fat, high-simple carbohydrate diet were demonstrated in dietary obese Wistar rats that developed myocardial hypertrophy and impaired systolic and diastolic function with just 16 weeks of dietary treatment[61,62]. Finally, it is acknowledged that a limitation of this study that precludes definitive correlation of myocardial composition with function was the use of interventricular septal tissue for measurement of myocardial fatty acids, hydroxyproline and TG, given that gross structure and function were measured in the cranial and caudal LV free walls. Regional differences in myocardial protein expression,[63] substrate uptake[64] and hypertrophy[10] have been demonstrated. It is therefore not valid to assume that changes in the septum wholly reflect those observed in the LV free wall.\nWith these considerations in mind, it would be erroneous to conclude that diet-induced changes in myocardial fatty acid composition are unassociated with functional impairment. It is widely appreciated that dietary n-3 PUFA are protective against cardiomyopathy,[65,66] and that diets enriched in n-6 PUFA are associated with exacerbation of processes relevant to cardiomyopathy and heart failure[24,67]. It is likely that changes in oxidative stress and inflammation, as well as aberrant myocyte metabolism, were present but not manifest as resting dysfunction detectable echocardiographically.\nEffects of dietary fats on myocardial structure and function in the setting of pressure overload have been demonstrated[52-54]. Less is known about the role of dietary fatty acid composition in OC, without concomitant hypertension, myocardial ischemia or diabetes. In the present study, LV thickening was associated with PUFA feeding (SAT + LA and SAT + ALA groups) in the absence of hyperglycemia, hyperinsulinemia or hypertension. The effect of high-fat diet composition was demonstrated in that PUFA-fed rats had greater thickening than rats fed the SAT diet. The LV thickening in PUFA-fed rats was regional; the cranial (anterior) wall, but not the caudal (posterior) wall, was affected. These data, combined with poor or nonexistent correlation of cranial LV thickness with adiposity and body weight, suggest that diet may be more important than morphometry in the development of focal LV thickening. Heart and LV masses were not different among treatment groups, suggesting either focal areas of thickening that did not contribute remarkably to overall mass in PUFA-fed rats, or replacement of normal parenchyma with a matrix of lesser density. Unchanged myocardial TG and hydroxyproline content (discussed below) supports the former idea. Correlative data suggest that in contrast to measures of focal LV thickening, total LV mass may be better predicted by visceral adipose mass and body weight than by diet. The LV thickening present in PUFA-fed rats was not associated with in vivo systolic or diastolic dysfunction measured echocardiographically. These findings are consistent with those in human studies describing increased LV mass without concomitant dysfunction in obese individuals[55]. Comparing these data with those from other rodent studies, increased heart weight and impaired function, as measured in isolated papillary muscles and myocytes, were reported in rats in response to short-term high-fat feeding[56,57]. In contrast, in vivo studies using echocardiography have revealed no change in myocardial structure and function in response to 8 weeks of high SAT and PUFA feeding,[58] but others observed increased LV mass and impaired contractile function in mice fed a high fat diet for 20 weeks[59]. It is likely that chronicity, distribution and underlying etiology of LVH combine to determine subsequent function.\nThough it is not uncommon for LVH to exist in the absence of measureable functional change, some factors should be considered relevant to the present study. It is possible that more sensitive echocardiographic indicators of myocardial function, such as tissue Doppler imaging and related methods,[10] may reveal early and subtle functional changes attributed to dietary obesity that are not measureable with conventional echocardiographic techniques used in the majority of studies to date. Additionally, it is possible that despite normal systolic and diastolic function at rest, conditions of increased workload or myocardial stress would reveal impaired function[56]. Regarding dietary treatment chosen for this study, it is possible that any beneficial effects of n-3 supplementation were obscured by concomitant feeding of high saturated fat[60]. It should also be considered that dietary simple carbohydrates, rather than fatty acid composition, play a prominent role in promoting the cardiomyopathic phenotype. Short term effects of a high-fat, high-simple carbohydrate diet were demonstrated in dietary obese Wistar rats that developed myocardial hypertrophy and impaired systolic and diastolic function with just 16 weeks of dietary treatment[61,62]. Finally, it is acknowledged that a limitation of this study that precludes definitive correlation of myocardial composition with function was the use of interventricular septal tissue for measurement of myocardial fatty acids, hydroxyproline and TG, given that gross structure and function were measured in the cranial and caudal LV free walls. Regional differences in myocardial protein expression,[63] substrate uptake[64] and hypertrophy[10] have been demonstrated. It is therefore not valid to assume that changes in the septum wholly reflect those observed in the LV free wall.\nWith these considerations in mind, it would be erroneous to conclude that diet-induced changes in myocardial fatty acid composition are unassociated with functional impairment. It is widely appreciated that dietary n-3 PUFA are protective against cardiomyopathy,[65,66] and that diets enriched in n-6 PUFA are associated with exacerbation of processes relevant to cardiomyopathy and heart failure[24,67]. It is likely that changes in oxidative stress and inflammation, as well as aberrant myocyte metabolism, were present but not manifest as resting dysfunction detectable echocardiographically.\n Myocyte cross sectional area Regarding the potential contributors to LVH, namely myocyte hypertrophy, ECM remodeling and lipid accumulation, this study showed that myocyte cross sectional area was increased with feeding of all high-fat diets, regardless of composition. These observations are consistent with those of obese humans. Right heart endocardial biopsies obtained from markedly obese patients with heart failure, mostly attributed to dilative cardiomyopathy, revealed that the most common histologic lesion was mild myocyte hypertrophy that was not described as causative, present in 67% of obese subjects[68]. Evidence of myocyte hypertrophy was also the predominant finding in hearts of obese individuals without premortem evidence of heart disease[12]. This, along with our finding that myocyte hypertrophy did not accompany LVH in SAT rats, suggests that while myocyte hypertrophy is the most consistently identified myocardial lesion in obese individuals, its presence is not likely to solely contribute to clinically relevant LVH. Hypertrophic stimuli, and subsequent genotypic and phenotypic responses, are very diverse[69,70]. Certainly a measure of cross sectional area only defines the presence of the phenomenon, and it is likely that myocyte gene expression, signaling pathways and subsequent preservation or deterioration of structure and function are different according to fatty acid milieu,[71] degree of adiposity, adipokine profile[72] and metabolic aberrancy.\nRegarding the potential contributors to LVH, namely myocyte hypertrophy, ECM remodeling and lipid accumulation, this study showed that myocyte cross sectional area was increased with feeding of all high-fat diets, regardless of composition. These observations are consistent with those of obese humans. Right heart endocardial biopsies obtained from markedly obese patients with heart failure, mostly attributed to dilative cardiomyopathy, revealed that the most common histologic lesion was mild myocyte hypertrophy that was not described as causative, present in 67% of obese subjects[68]. Evidence of myocyte hypertrophy was also the predominant finding in hearts of obese individuals without premortem evidence of heart disease[12]. This, along with our finding that myocyte hypertrophy did not accompany LVH in SAT rats, suggests that while myocyte hypertrophy is the most consistently identified myocardial lesion in obese individuals, its presence is not likely to solely contribute to clinically relevant LVH. Hypertrophic stimuli, and subsequent genotypic and phenotypic responses, are very diverse[69,70]. Certainly a measure of cross sectional area only defines the presence of the phenomenon, and it is likely that myocyte gene expression, signaling pathways and subsequent preservation or deterioration of structure and function are different according to fatty acid milieu,[71] degree of adiposity, adipokine profile[72] and metabolic aberrancy.\n Myocardial extracellular matrix remodeling In addition to myocyte hypertrophy, this study investigated ECM remodeling and lipid accumulation as potential contributors to LVH. ECM remodeling is present in failing hearts regardless of etiology,[73] and it is well documented that altered ECM composition contributes to myocardial pathology. Fibrosis, however, is not uniformly present in hypertrophic hearts of obese individuals[12]. In the present study, long-term high fat feeding was not associated with increased myocardial collagen. These data are consistent with short-term studies that measured unchanged interstitial collagen in response to moderate- and high-fat feeding[74,75]. In contrast, other studies revealed that Wistar rats fed either a high-fat or high-fat, high-simple carbohydrate diet for ≈16 weeks had increased myocardial collagen staining[61,62,76]. In addition to diet composition, serum leptin concentrations may impact myocardial ECM homeostasis. In cultured cardiac myocytes, leptin increased collagen expression and matrix metalloproteinase activity[77]. The absence of hyperleptinemia in the rats of the present study may lend partial explanation for ECM preservation.\nIn addition to myocyte hypertrophy, this study investigated ECM remodeling and lipid accumulation as potential contributors to LVH. ECM remodeling is present in failing hearts regardless of etiology,[73] and it is well documented that altered ECM composition contributes to myocardial pathology. Fibrosis, however, is not uniformly present in hypertrophic hearts of obese individuals[12]. In the present study, long-term high fat feeding was not associated with increased myocardial collagen. These data are consistent with short-term studies that measured unchanged interstitial collagen in response to moderate- and high-fat feeding[74,75]. In contrast, other studies revealed that Wistar rats fed either a high-fat or high-fat, high-simple carbohydrate diet for ≈16 weeks had increased myocardial collagen staining[61,62,76]. In addition to diet composition, serum leptin concentrations may impact myocardial ECM homeostasis. In cultured cardiac myocytes, leptin increased collagen expression and matrix metalloproteinase activity[77]. The absence of hyperleptinemia in the rats of the present study may lend partial explanation for ECM preservation.\n Myocardial lipid accumulation There is disparate evidence regarding the occurrence and relevance of TG (i.e. neutral lipid) accumulation in obesity. Evidence suggests that overweight and obese individuals have increased myocardial TG deposition compared to lean subjects[78,79]. In contrast, LV tissue from humans with end-stage nonischemic heart failure revealed no difference in intramyocardial lipid staining in hearts from lean and obese subjects[79]. Further, postmortem examination of 12 obese individuals without evidence of hypertension or myocardial ischemia identified only scant fatty infiltration in 3 of the subjects[12]. Regarding functional relevance, greater myocardial lipid has been linked with LVH and systolic dysfunction,[78,80] while reduced myocardial lipid was associated with attenuated apoptosis and fibrosis[81]. In contrast, other work suggests that TG accumulation may be protective when alternative pathways lead to formation of harmful bioactive products. Study of cultured cells showed that incubation with oleic acid drives accumulation as TG and preserves cell viability, while exposure to palmitic acid leads to ceramide accumulation and apoptosis[82]. Rodent high-fat feeding studies reveal both increased [56,83] and unchanged myocardial TG[84]. Findings of the present study are consistent with the latter, and expand the observation to include high-fat diets of variable fatty acid composition. Given the trend toward increased TG content in rats fed the SAT diet, however, additional work is warranted to determine whether this observation may represent a diet-specific effect.\nThere is disparate evidence regarding the occurrence and relevance of TG (i.e. neutral lipid) accumulation in obesity. Evidence suggests that overweight and obese individuals have increased myocardial TG deposition compared to lean subjects[78,79]. In contrast, LV tissue from humans with end-stage nonischemic heart failure revealed no difference in intramyocardial lipid staining in hearts from lean and obese subjects[79]. Further, postmortem examination of 12 obese individuals without evidence of hypertension or myocardial ischemia identified only scant fatty infiltration in 3 of the subjects[12]. Regarding functional relevance, greater myocardial lipid has been linked with LVH and systolic dysfunction,[78,80] while reduced myocardial lipid was associated with attenuated apoptosis and fibrosis[81]. In contrast, other work suggests that TG accumulation may be protective when alternative pathways lead to formation of harmful bioactive products. Study of cultured cells showed that incubation with oleic acid drives accumulation as TG and preserves cell viability, while exposure to palmitic acid leads to ceramide accumulation and apoptosis[82]. Rodent high-fat feeding studies reveal both increased [56,83] and unchanged myocardial TG[84]. Findings of the present study are consistent with the latter, and expand the observation to include high-fat diets of variable fatty acid composition. Given the trend toward increased TG content in rats fed the SAT diet, however, additional work is warranted to determine whether this observation may represent a diet-specific effect.\n Strain and model considerations When possible, the above discussion has focused on models of OC without concomitant genetic anomalies or induced pathology (i.e. aortic banding, spontaneous hypertension). Within these studies, the data collectively suggest that there may be strain differences and variability in whole animal vs. ex vivo outcomes. Regarding strain, Wistar and SD rats have distinct lipid metabolism,[85] and Wistars may develop myocardial pathology with shorter dietary interventions[56,86]. Additional strain differences in metabolic and myocardial responses to high-fat feeding have been demonstrated[87,88]. Regarding model type, evidence suggests that ex vivo studies of OC reveal more profound pathology than observed in vivo, and this has been partly attributed to endogenous protective mechanisms[21]. While contractile dysfunction may have been present in isolated muscles or cells from the rats in this study, overall gross systolic and diastolic function was seemingly intact. As noted, there may be distinct signaling pathways that are specific to predominant dietary fatty acids but result in overtly similar outcomes. For this reason, it will be important to subsequently characterize genotype and major hypertrophic pathways to investigate potential differences at the cellular level.\nWhen possible, the above discussion has focused on models of OC without concomitant genetic anomalies or induced pathology (i.e. aortic banding, spontaneous hypertension). Within these studies, the data collectively suggest that there may be strain differences and variability in whole animal vs. ex vivo outcomes. Regarding strain, Wistar and SD rats have distinct lipid metabolism,[85] and Wistars may develop myocardial pathology with shorter dietary interventions[56,86]. Additional strain differences in metabolic and myocardial responses to high-fat feeding have been demonstrated[87,88]. Regarding model type, evidence suggests that ex vivo studies of OC reveal more profound pathology than observed in vivo, and this has been partly attributed to endogenous protective mechanisms[21]. While contractile dysfunction may have been present in isolated muscles or cells from the rats in this study, overall gross systolic and diastolic function was seemingly intact. As noted, there may be distinct signaling pathways that are specific to predominant dietary fatty acids but result in overtly similar outcomes. For this reason, it will be important to subsequently characterize genotype and major hypertrophic pathways to investigate potential differences at the cellular level.\n Limitations Study limitations include the aforementioned use of interventricular septal tissue for measurement of myocardial fatty acids, hydroxyproline and TG, given that echocardiographic measurements of structure and function were derived from images of the cranial and caudal LV free walls. Additionally, it is likely that increasing sample size and dividing subjects into obesity-prone and obesity-resistant groups would have reduced variability within treatment groups and more clearly elucidated significant differences. Further, echocardiographic assessment under conditions of myocardial stress (i.e. dobutamine administration) may have revealed dysfunction that was not detectable under resting conditions used in the present study. Finally, our understanding of the temporal effects of diet on outcomes would have been improved by conducting measurements over time. By doing this, more accurate comparisons with short-term studies could be made, and potential homeostatic/compensatory mechanisms engaged with long-term feeding could be identified.\nStudy limitations include the aforementioned use of interventricular septal tissue for measurement of myocardial fatty acids, hydroxyproline and TG, given that echocardiographic measurements of structure and function were derived from images of the cranial and caudal LV free walls. Additionally, it is likely that increasing sample size and dividing subjects into obesity-prone and obesity-resistant groups would have reduced variability within treatment groups and more clearly elucidated significant differences. Further, echocardiographic assessment under conditions of myocardial stress (i.e. dobutamine administration) may have revealed dysfunction that was not detectable under resting conditions used in the present study. Finally, our understanding of the temporal effects of diet on outcomes would have been improved by conducting measurements over time. By doing this, more accurate comparisons with short-term studies could be made, and potential homeostatic/compensatory mechanisms engaged with long-term feeding could be identified.\n Conclusions The findings of this study suggest that, under conditions of high-fat feeding, replacement of 10% saturated fat with either LA or ALA is associated with increased body weight and segmental LV wall thickness in the absence of myocardial functional changes. Increased myocyte size, similar among all fat-fed groups, appears to be a more likely precursor to measureable LV thickening in uncomplicated dietary obesity than collagen accumulation or lipid accretion; however, increased myocyte size did not determine gross LV hypertrophy. Predicted responses to PUFA type were not actualized in the outcomes measured in the present study; thus, future studies will measure myocardial gene and protein expression in response to diet, to determine whether hypertrophic pathways are differentially regulated and possibly predictive of a physiologic versus pathologic LV response. Inclusion of simple carbohydrates as part of a western diet in rodents should be further investigated as a relevant model of diet-induced OC in humans, specifically in relation to LVH as a precursor to functional decline.\nThe findings of this study suggest that, under conditions of high-fat feeding, replacement of 10% saturated fat with either LA or ALA is associated with increased body weight and segmental LV wall thickness in the absence of myocardial functional changes. Increased myocyte size, similar among all fat-fed groups, appears to be a more likely precursor to measureable LV thickening in uncomplicated dietary obesity than collagen accumulation or lipid accretion; however, increased myocyte size did not determine gross LV hypertrophy. Predicted responses to PUFA type were not actualized in the outcomes measured in the present study; thus, future studies will measure myocardial gene and protein expression in response to diet, to determine whether hypertrophic pathways are differentially regulated and possibly predictive of a physiologic versus pathologic LV response. Inclusion of simple carbohydrates as part of a western diet in rodents should be further investigated as a relevant model of diet-induced OC in humans, specifically in relation to LVH as a precursor to functional decline." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Animals", "General anesthesia", "Serum measurements", "Systolic blood pressure and heart rate", "Echocardiographic examination", "Processing of tissue samples", "Collagen", "Lipid analysis", "Statistics", "Results", "Myocyte cross sectional area", "Conclusions" ]
[ "In the United States the prevalence of overweight and obese adults averages 26% nationally,[1] having increased nearly 20% over the last 3 decades[2]. Beyond the human toll lies the economic cost that is projected to be 900 billion by the year 2030[3]. Obese individuals have a higher risk of morbidity and mortality attributed to cardiovascular disease,[4] and specifically are at higher risk for the development of cardiomyopathy leading to heart failure[5,6]. Obesity-mediated cardiomyopathy (OC) and heart failure have traditionally been attributed to hypertension, myocardial ischemia and diabetes. More recently, increased left ventricular (LV) mass and myocardial dysfunction have been associated with obesity in otherwise healthy humans (i.e. without concomitant hypertension, ischemic heart disease or apparent insulin resistance)[7-11]. Left ventricular hypertrophy (LVH) is an early echocardiographic change that reflects increased LV mass. This structural change is commonly identified in obese individuals,[12] and LV mass has been positively associated with adiposity and body mass index[11,13,14]. Importantly, LVH is an independent risk factor for development of systolic dysfunction,[15] and is associated with an increased risk for cardiovascular and all-cause mortality in people[16-18].\nIt is unknown why some obese individuals progress to heart failure, while others appear to be protected from mortality[19]. It is possible that diet composition is one factor that predicts the cardiac phenotype in response to obesity, and therefore disease progression. There is evidence that the fatty acid milieu predicts structural and functional changes in the heart that occur with obesity. Saturated and n-6 polyunsaturated fatty acids (PUFA) enhance myocyte apoptosis and necrosis,[20,21] while monounsaturated and n-3 PUFA attenuate apoptosis in cardiac and endothelial cells[22,23]. In addition, feeding of n-6 PUFA to normal pigs was associated with myocardial inflammation, while feeding\nn-3 PUFA was associated with anti-inflammatory effects[24]. Further, dietary fat composition may differentially impact LV structure and contractile function,[25,26] and studies of cultured myocytes support this idea[27].\nCollectively, these findings suggest that LVH may be an important early event in the development of myocardial dysfunction in obese individuals. At the cellular level, a thickened LV may be attributed to extracellular matrix (ECM) remodeling, myocardial lipid accumulation and/or cardiac myocyte hypertrophy. There is evidence that these processes are differentially expressed according to dietary fat, so were chosen for emphasis in the present study. The human population more frequently experiences obesity as a result of nutritional and lifestyle factors compared to genetic aberrancy; thus, a dietary obese model was chosen for this study. We propose that defining alterations in cardiac structure and function attributable to obesity may be best accomplished by investigating the effects of combined fatty acid moieties from a dietary source, in the in vivo setting of intact anti-inflammatory and antioxidant systems.\nThe purpose of this study was to determine whether the heterogeneous phenotype of OC might be partially attributed to dietary fatty acid composition. Primary outcomes included myocardial structure and function, measured echocardiographically, in addition to ECM remodeling, myocardial lipid accumulation and cardiac myocyte hypertrophy. To understand the morphologic and metabolic milieu within which primary outcomes were measured, we secondarily characterized adiposity, hemodynamics, serum metabolic indices and myocardial fatty acid composition.\nWe hypothesized that long-term feeding of a high saturated fat diet would be associated with LVH, and that concomitant intake of n-6 PUFA and n-3 PUFA would exacerbate and attenuate, respectively, this early structural change. Further, we hypothesized that despite the presence of LVH, myocardial function, measured echocardiographically, would remain intact in these dietary obese rats. Regarding contributors to LV thickening, it was anticipated that intake of a diet high in saturated fat and n-6 PUFA would result in the most profound lesion severity, compared with other high fat diets tested.", " Animals Adult male Sprague-Dawley (SD) rats (CD® IGS Rat, Charles River Laboratories, Wilmington, MA) were maintained in the Colorado State University Laboratory Animal Resource Center in a temperature- and humidity-controlled environment. Rats were housed in pairs with a normal 12-hour light/12 hour dark cycle. Protocols and conditions within the facility meet or exceed the standards for animal housing facilities as described in the Animal Welfare Act regulations, the Guide for the Care and Use of Laboratory Animals and the Guide for the Care and Use of Agricultural Animals in Agricultural Research and Teaching. The rats were allowed a 2-week acclimation period prior to initiation of dietary treatment.\nDiet At 6 weeks of age, rats were divided into 1 of 4 dietary treatment groups: control (CON); 50% saturated fat (SAT); 40% saturated fat + 10% n-6 PUFA composed primarily of linoleic acid (LA) (SAT+LA) and 40% saturated fat + 10% n-3 PUFA composed primarily of α-linolenic acid (ALA) (SAT+ALA). Diets were supplied by Harlan Teklad (Madison, WI), and are detailed in Tables 1 and 2. The duration of dietary treatment was 32 weeks. Body weight was measured weekly. Rats were fasted overnight prior to terminal sample collection.\nMacronutrient composition and caloric density of diets\nCON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA.\nFatty acid composition of diets (% of total diet)\nLA, Linoleic acid; ALA, α-linolenic acid; N/A, not applicable; CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA.\nAdult male Sprague-Dawley (SD) rats (CD® IGS Rat, Charles River Laboratories, Wilmington, MA) were maintained in the Colorado State University Laboratory Animal Resource Center in a temperature- and humidity-controlled environment. Rats were housed in pairs with a normal 12-hour light/12 hour dark cycle. Protocols and conditions within the facility meet or exceed the standards for animal housing facilities as described in the Animal Welfare Act regulations, the Guide for the Care and Use of Laboratory Animals and the Guide for the Care and Use of Agricultural Animals in Agricultural Research and Teaching. The rats were allowed a 2-week acclimation period prior to initiation of dietary treatment.\nDiet At 6 weeks of age, rats were divided into 1 of 4 dietary treatment groups: control (CON); 50% saturated fat (SAT); 40% saturated fat + 10% n-6 PUFA composed primarily of linoleic acid (LA) (SAT+LA) and 40% saturated fat + 10% n-3 PUFA composed primarily of α-linolenic acid (ALA) (SAT+ALA). Diets were supplied by Harlan Teklad (Madison, WI), and are detailed in Tables 1 and 2. The duration of dietary treatment was 32 weeks. Body weight was measured weekly. Rats were fasted overnight prior to terminal sample collection.\nMacronutrient composition and caloric density of diets\nCON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA.\nFatty acid composition of diets (% of total diet)\nLA, Linoleic acid; ALA, α-linolenic acid; N/A, not applicable; CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA.\n General anesthesia General anesthesia was induced by placing rats in a commercial rodent anesthesia chamber and initiating flow of 3% isofluorane in a 95% O2/5% CO2 gas mixture. Anesthesia was maintained by nosecone at 2% isofluorane for noninvasive measurements, and at 4% isofluorane for terminal sample collection.\nGeneral anesthesia was induced by placing rats in a commercial rodent anesthesia chamber and initiating flow of 3% isofluorane in a 95% O2/5% CO2 gas mixture. Anesthesia was maintained by nosecone at 2% isofluorane for noninvasive measurements, and at 4% isofluorane for terminal sample collection.\n Serum measurements Serum leptin, glucose and free fatty acid (FFA) concentrations were measured in the University of Colorado Hospital Clinical and Translational Research Center. Leptin was measured using the Rat Leptin Radioimmunoassay Kit (Millipore, St. Charles, MO). Glucose and FFA were quantitated using the Roche Cobas Mira Plus Chemistry Analyzer (Indianapolis, IN). Insulin was quantitated by a commercial rat insulin ELISA (Linco Research, St. Charles, MO). The Homeostasis Model Assessment (HOMA) was used to estimate insulin resistance using a HOMA2 IR Excel-based calculator (http://www.dtu.ox.ac.uk/homacalculator/download.php). Serum triglycerides (TG) were assayed using enzymatic colorimetry (Triglycerides Reagent, Thermo Electron, Pittsburg, PA).\nSerum leptin, glucose and free fatty acid (FFA) concentrations were measured in the University of Colorado Hospital Clinical and Translational Research Center. Leptin was measured using the Rat Leptin Radioimmunoassay Kit (Millipore, St. Charles, MO). Glucose and FFA were quantitated using the Roche Cobas Mira Plus Chemistry Analyzer (Indianapolis, IN). Insulin was quantitated by a commercial rat insulin ELISA (Linco Research, St. Charles, MO). The Homeostasis Model Assessment (HOMA) was used to estimate insulin resistance using a HOMA2 IR Excel-based calculator (http://www.dtu.ox.ac.uk/homacalculator/download.php). Serum triglycerides (TG) were assayed using enzymatic colorimetry (Triglycerides Reagent, Thermo Electron, Pittsburg, PA).\n Systolic blood pressure and heart rate Immediately upon moving to the maintenance dose of 2% isofluorane, rats were moved to a temperature controlled platform for determination of heart rate (HR) and systolic blood pressure by the tail cuff method (SC 1000 Pressure Analysis System, Hatteras Instruments, Cary, NC). Three separate measurements of both HR and systolic blood pressure were recorded.\nImmediately upon moving to the maintenance dose of 2% isofluorane, rats were moved to a temperature controlled platform for determination of heart rate (HR) and systolic blood pressure by the tail cuff method (SC 1000 Pressure Analysis System, Hatteras Instruments, Cary, NC). Three separate measurements of both HR and systolic blood pressure were recorded.\n Echocardiographic examination After HR and blood pressure determination, rats were shaved over the ventral thorax and upper abdomen. A Philips HD-11 ultrasound machine with a 12 mHz pediatric sector transducer was used to image the heart in transverse parasternal and 4-chamber views. Two dimensional, M-mode and Doppler imaging was incorporated to measure LV end-diastolic and end-systolic wall and chamber dimensions and isovolumic relaxation time (IVRT), an index of diastolic function. Left ventricular mass was estimated using a formula adapted from Foppa et al:[28]\nwhere LVIDd = LV internal diameter during diastole, LVWcr/d = cranial LV wall thickness during diastole and LVWca/d = caudal LV wall thickness during diastole.\nDual Energy X-Ray Absorptiometry (DEXA) Scans were performed on anesthetized rats at the Colorado State University Veterinary Medical Center using a Delphi A densitometer (Hologic, Inc., Bedford, MA).\nAfter HR and blood pressure determination, rats were shaved over the ventral thorax and upper abdomen. A Philips HD-11 ultrasound machine with a 12 mHz pediatric sector transducer was used to image the heart in transverse parasternal and 4-chamber views. Two dimensional, M-mode and Doppler imaging was incorporated to measure LV end-diastolic and end-systolic wall and chamber dimensions and isovolumic relaxation time (IVRT), an index of diastolic function. Left ventricular mass was estimated using a formula adapted from Foppa et al:[28]\nwhere LVIDd = LV internal diameter during diastole, LVWcr/d = cranial LV wall thickness during diastole and LVWca/d = caudal LV wall thickness during diastole.\nDual Energy X-Ray Absorptiometry (DEXA) Scans were performed on anesthetized rats at the Colorado State University Veterinary Medical Center using a Delphi A densitometer (Hologic, Inc., Bedford, MA).\n Processing of tissue samples The heart was exposed through a medial sternotomy. Blood was aspirated from the pulmonary arterial trunk and immediately placed into a collection tube. After 2 hours, the blood was centrifuged at 2095 RCF for 15 minutes. After centrifugation, serum was aspirated and stored at -80°C.\nImmediately upon withdraw of the blood sample, the heart was excised and placed in ice cold saline, then quickly dabbed for excess fluid prior to recording of heart weight. While in the iced saline, the heart was dissected to isolate the LV, right ventricle and septum, and isolated tissue weights were recorded. Samples of right and left ventricular and septal myocardium were divided and either snap frozen in liquid nitrogen and stored at -80°C or fixed in 4% paraformaldehyde. After 24 hours in paraformaldehyde, tissues were transferred to 70% ethanol, then trimmed and embedded in paraffin. The mass of visceral adipose was estimated by removing and weighing the mesenteric fat.\nThe heart was exposed through a medial sternotomy. Blood was aspirated from the pulmonary arterial trunk and immediately placed into a collection tube. After 2 hours, the blood was centrifuged at 2095 RCF for 15 minutes. After centrifugation, serum was aspirated and stored at -80°C.\nImmediately upon withdraw of the blood sample, the heart was excised and placed in ice cold saline, then quickly dabbed for excess fluid prior to recording of heart weight. While in the iced saline, the heart was dissected to isolate the LV, right ventricle and septum, and isolated tissue weights were recorded. Samples of right and left ventricular and septal myocardium were divided and either snap frozen in liquid nitrogen and stored at -80°C or fixed in 4% paraformaldehyde. After 24 hours in paraformaldehyde, tissues were transferred to 70% ethanol, then trimmed and embedded in paraffin. The mass of visceral adipose was estimated by removing and weighing the mesenteric fat.\n Collagen Masson's trichrome stain was used for collagen detection in paraffin-embedded tissue sections. A slide from each animal was evaluated at 20X for regions of transversely sectioned cells without artifact or large vessels. Four images per slide, comprising identical total areas among slides, were assessed for % total area that was positive for Masson's staining, using NIH Image J software. Hydroxyproline (a primary amino acid in collagen) was quantitated in frozen septal tissue spectrophotometrically using previously described methods[29].\nMasson's trichrome stain was used for collagen detection in paraffin-embedded tissue sections. A slide from each animal was evaluated at 20X for regions of transversely sectioned cells without artifact or large vessels. Four images per slide, comprising identical total areas among slides, were assessed for % total area that was positive for Masson's staining, using NIH Image J software. Hydroxyproline (a primary amino acid in collagen) was quantitated in frozen septal tissue spectrophotometrically using previously described methods[29].\n Lipid analysis Oil Red O staining was applied to myocardial cryostat sections. Septal TG were extracted and quantitated using a commercial colorimetric Triglyceride Quantification Kit (BioVision Research Products, Mountain View, CA).\nLipids were extracted from frozen septal tissue using the method described by Matyash et al.[30] Briefly, 0.05 gm tissue samples were pulverized into a powder under liquid nitrogen and placed in a glass homogenizer. Mass spectrometry (MS) grade methanol (0.75 mL) and methyl-tert-butyl ether (MTBE, 2.5 mL) were added and the powdered tissue was homogenized briefly on ice. Samples were capped off under nitrogen gas and incubated at room temperature for one hour, then 0.625 mL of MS grade water was added. After vortexing, samples were capped off under nitrogen and incubated at room temperature for an additional 10 minutes, then centrifuged at 1,000 RCF for 10 minutes. The upper (organic) phase was collected and the sample dried under a stream of nitrogen. Samples were frozen at -80°C until processed. Thin layer chromatography (TLC) was then used to separate out the phospholipid fraction using a 20 cm × 20 cm silica gel TLC plate in a 70:30:1 hexane:ethyl ether:acetic acid solution. The band associated with the phospholipid fraction was scraped from the plate and dissolved in 0.5 ml hexane and 0.5 ml 0.5N KOH. Three ml of 14% BF3-methanol was added and each sample was placed on a heat plate at 70 °C for 1.5 hours to obtain methyl esters in preparation for gas chromatography (GC). The GC analysis was performed using an Agilent 6890 Series Gas Chromatographer (Agilent Technologies, Inc., Santa Clara, CA). The column used was an Agilent Technologies DB-225 30 m × 0.250 mm × 0.25 μm, model 122-2232. The initial temperature of the oven was 100 °C with an initial ramp temperature of 10°C/min for 10 minutes, then 2.5°C/min for 4 minutes and held at 210°C for the remaining 15 minutes for a total run time of 29 minutes. The inlet split ratio was 20:1 with the column at constant flow and an initial flow, pressure and velocity at 2.0 ml/min, 23.86 psi and 44 cm/sec, respectively.\nOil Red O staining was applied to myocardial cryostat sections. Septal TG were extracted and quantitated using a commercial colorimetric Triglyceride Quantification Kit (BioVision Research Products, Mountain View, CA).\nLipids were extracted from frozen septal tissue using the method described by Matyash et al.[30] Briefly, 0.05 gm tissue samples were pulverized into a powder under liquid nitrogen and placed in a glass homogenizer. Mass spectrometry (MS) grade methanol (0.75 mL) and methyl-tert-butyl ether (MTBE, 2.5 mL) were added and the powdered tissue was homogenized briefly on ice. Samples were capped off under nitrogen gas and incubated at room temperature for one hour, then 0.625 mL of MS grade water was added. After vortexing, samples were capped off under nitrogen and incubated at room temperature for an additional 10 minutes, then centrifuged at 1,000 RCF for 10 minutes. The upper (organic) phase was collected and the sample dried under a stream of nitrogen. Samples were frozen at -80°C until processed. Thin layer chromatography (TLC) was then used to separate out the phospholipid fraction using a 20 cm × 20 cm silica gel TLC plate in a 70:30:1 hexane:ethyl ether:acetic acid solution. The band associated with the phospholipid fraction was scraped from the plate and dissolved in 0.5 ml hexane and 0.5 ml 0.5N KOH. Three ml of 14% BF3-methanol was added and each sample was placed on a heat plate at 70 °C for 1.5 hours to obtain methyl esters in preparation for gas chromatography (GC). The GC analysis was performed using an Agilent 6890 Series Gas Chromatographer (Agilent Technologies, Inc., Santa Clara, CA). The column used was an Agilent Technologies DB-225 30 m × 0.250 mm × 0.25 μm, model 122-2232. The initial temperature of the oven was 100 °C with an initial ramp temperature of 10°C/min for 10 minutes, then 2.5°C/min for 4 minutes and held at 210°C for the remaining 15 minutes for a total run time of 29 minutes. The inlet split ratio was 20:1 with the column at constant flow and an initial flow, pressure and velocity at 2.0 ml/min, 23.86 psi and 44 cm/sec, respectively.\n Myocyte cross sectional area Sections of LV were stained with hematoxylin and eosin, and cross sectional area was measured using NIH Image J software. Fifty transversely sectioned cells with central nuclei from each of 2 slides per rat were evaluated (i.e. 100 cells/rat). In 5/22 rats, only 50 cells/rat met standards for measurement.\n Statistics Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05.\nInitial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05.\nSections of LV were stained with hematoxylin and eosin, and cross sectional area was measured using NIH Image J software. Fifty transversely sectioned cells with central nuclei from each of 2 slides per rat were evaluated (i.e. 100 cells/rat). In 5/22 rats, only 50 cells/rat met standards for measurement.\n Statistics Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05.\nInitial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05.", "Adult male Sprague-Dawley (SD) rats (CD® IGS Rat, Charles River Laboratories, Wilmington, MA) were maintained in the Colorado State University Laboratory Animal Resource Center in a temperature- and humidity-controlled environment. Rats were housed in pairs with a normal 12-hour light/12 hour dark cycle. Protocols and conditions within the facility meet or exceed the standards for animal housing facilities as described in the Animal Welfare Act regulations, the Guide for the Care and Use of Laboratory Animals and the Guide for the Care and Use of Agricultural Animals in Agricultural Research and Teaching. The rats were allowed a 2-week acclimation period prior to initiation of dietary treatment.\nDiet At 6 weeks of age, rats were divided into 1 of 4 dietary treatment groups: control (CON); 50% saturated fat (SAT); 40% saturated fat + 10% n-6 PUFA composed primarily of linoleic acid (LA) (SAT+LA) and 40% saturated fat + 10% n-3 PUFA composed primarily of α-linolenic acid (ALA) (SAT+ALA). Diets were supplied by Harlan Teklad (Madison, WI), and are detailed in Tables 1 and 2. The duration of dietary treatment was 32 weeks. Body weight was measured weekly. Rats were fasted overnight prior to terminal sample collection.\nMacronutrient composition and caloric density of diets\nCON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA.\nFatty acid composition of diets (% of total diet)\nLA, Linoleic acid; ALA, α-linolenic acid; N/A, not applicable; CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA.", "General anesthesia was induced by placing rats in a commercial rodent anesthesia chamber and initiating flow of 3% isofluorane in a 95% O2/5% CO2 gas mixture. Anesthesia was maintained by nosecone at 2% isofluorane for noninvasive measurements, and at 4% isofluorane for terminal sample collection.", "Serum leptin, glucose and free fatty acid (FFA) concentrations were measured in the University of Colorado Hospital Clinical and Translational Research Center. Leptin was measured using the Rat Leptin Radioimmunoassay Kit (Millipore, St. Charles, MO). Glucose and FFA were quantitated using the Roche Cobas Mira Plus Chemistry Analyzer (Indianapolis, IN). Insulin was quantitated by a commercial rat insulin ELISA (Linco Research, St. Charles, MO). The Homeostasis Model Assessment (HOMA) was used to estimate insulin resistance using a HOMA2 IR Excel-based calculator (http://www.dtu.ox.ac.uk/homacalculator/download.php). Serum triglycerides (TG) were assayed using enzymatic colorimetry (Triglycerides Reagent, Thermo Electron, Pittsburg, PA).", "Immediately upon moving to the maintenance dose of 2% isofluorane, rats were moved to a temperature controlled platform for determination of heart rate (HR) and systolic blood pressure by the tail cuff method (SC 1000 Pressure Analysis System, Hatteras Instruments, Cary, NC). Three separate measurements of both HR and systolic blood pressure were recorded.", "After HR and blood pressure determination, rats were shaved over the ventral thorax and upper abdomen. A Philips HD-11 ultrasound machine with a 12 mHz pediatric sector transducer was used to image the heart in transverse parasternal and 4-chamber views. Two dimensional, M-mode and Doppler imaging was incorporated to measure LV end-diastolic and end-systolic wall and chamber dimensions and isovolumic relaxation time (IVRT), an index of diastolic function. Left ventricular mass was estimated using a formula adapted from Foppa et al:[28]\nwhere LVIDd = LV internal diameter during diastole, LVWcr/d = cranial LV wall thickness during diastole and LVWca/d = caudal LV wall thickness during diastole.\nDual Energy X-Ray Absorptiometry (DEXA) Scans were performed on anesthetized rats at the Colorado State University Veterinary Medical Center using a Delphi A densitometer (Hologic, Inc., Bedford, MA).", "The heart was exposed through a medial sternotomy. Blood was aspirated from the pulmonary arterial trunk and immediately placed into a collection tube. After 2 hours, the blood was centrifuged at 2095 RCF for 15 minutes. After centrifugation, serum was aspirated and stored at -80°C.\nImmediately upon withdraw of the blood sample, the heart was excised and placed in ice cold saline, then quickly dabbed for excess fluid prior to recording of heart weight. While in the iced saline, the heart was dissected to isolate the LV, right ventricle and septum, and isolated tissue weights were recorded. Samples of right and left ventricular and septal myocardium were divided and either snap frozen in liquid nitrogen and stored at -80°C or fixed in 4% paraformaldehyde. After 24 hours in paraformaldehyde, tissues were transferred to 70% ethanol, then trimmed and embedded in paraffin. The mass of visceral adipose was estimated by removing and weighing the mesenteric fat.", "Masson's trichrome stain was used for collagen detection in paraffin-embedded tissue sections. A slide from each animal was evaluated at 20X for regions of transversely sectioned cells without artifact or large vessels. Four images per slide, comprising identical total areas among slides, were assessed for % total area that was positive for Masson's staining, using NIH Image J software. Hydroxyproline (a primary amino acid in collagen) was quantitated in frozen septal tissue spectrophotometrically using previously described methods[29].", "Oil Red O staining was applied to myocardial cryostat sections. Septal TG were extracted and quantitated using a commercial colorimetric Triglyceride Quantification Kit (BioVision Research Products, Mountain View, CA).\nLipids were extracted from frozen septal tissue using the method described by Matyash et al.[30] Briefly, 0.05 gm tissue samples were pulverized into a powder under liquid nitrogen and placed in a glass homogenizer. Mass spectrometry (MS) grade methanol (0.75 mL) and methyl-tert-butyl ether (MTBE, 2.5 mL) were added and the powdered tissue was homogenized briefly on ice. Samples were capped off under nitrogen gas and incubated at room temperature for one hour, then 0.625 mL of MS grade water was added. After vortexing, samples were capped off under nitrogen and incubated at room temperature for an additional 10 minutes, then centrifuged at 1,000 RCF for 10 minutes. The upper (organic) phase was collected and the sample dried under a stream of nitrogen. Samples were frozen at -80°C until processed. Thin layer chromatography (TLC) was then used to separate out the phospholipid fraction using a 20 cm × 20 cm silica gel TLC plate in a 70:30:1 hexane:ethyl ether:acetic acid solution. The band associated with the phospholipid fraction was scraped from the plate and dissolved in 0.5 ml hexane and 0.5 ml 0.5N KOH. Three ml of 14% BF3-methanol was added and each sample was placed on a heat plate at 70 °C for 1.5 hours to obtain methyl esters in preparation for gas chromatography (GC). The GC analysis was performed using an Agilent 6890 Series Gas Chromatographer (Agilent Technologies, Inc., Santa Clara, CA). The column used was an Agilent Technologies DB-225 30 m × 0.250 mm × 0.25 μm, model 122-2232. The initial temperature of the oven was 100 °C with an initial ramp temperature of 10°C/min for 10 minutes, then 2.5°C/min for 4 minutes and held at 210°C for the remaining 15 minutes for a total run time of 29 minutes. The inlet split ratio was 20:1 with the column at constant flow and an initial flow, pressure and velocity at 2.0 ml/min, 23.86 psi and 44 cm/sec, respectively.", "Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05.", "Data relevant to body morphometry, organ weights, hemodynamics and serum metabolic indices are presented in Table 3. Rats fed diets supplemented with PUFA, whether LA or ALA, had higher body weights than CON rats; further, SAT + ALA rats had higher body weights compared to SAT rats. There were no differences in % body fat by DEXA or in postmortem visceral adipose mass; however, visceral adipose mass was correlated with body weight (r = 0.69, p < 0.0001). Heart weight and LV weight were similar among groups. Treatment did not alter HR or systolic blood pressure. Serum metabolic indices were unchanged by diet; however, leptin was correlated with % body fat (r = 0.86, p < 0.0001) and visceral adipose mass (r = 0.78, p < 0.0001).\nData summary including body morphometry, tissue masses, hemodynamics and serum metabolic indices\nData listed as mean/SE. CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. *p < 0.05 compared to control; **p < 0.01 compared to control; #p < 0.05 compared to SAT.\nMyocardial fatty acid profiles are presented in Table 4. With the exception of palmitic and oleic acids, the tissue composition generally reflected direct dietary intake or intake of precursors.\nFatty acid profile of myocardial phospholipid fractions\nData listed as mean/SE. CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. *p < 0.05 compared to control; **p < 0.01 compared to control; #p < 0.05 compared to SAT;\n## p < 0.01 compared to SAT; ++ p < 0.01 compared to SAT+PUFA6.\nMyocardial outcomes are listed in Table 5. Multivariate analysis of cranial wall dimensions during systole and diastole revealed significant differences in cranial wall measurements based on all 4 multivariate tests (p = 0.009-0.038). The 1-way ANOVA tests of systole and diastole separately revealed that cranial LV wall thickness was increased in rats from both PUFA-supplemented groups compared to CON animals. Moreover, rats fed both SAT + LA and SAT + ALA diets had increased cranial wall thickness during diastole compared to rats fed the SAT diet, and rats fed the SAT + LA diet also had increased cranial wall thickness during systole compared to rats fed the SAT diet. Correlations between cranial LV wall thickness measurements and % body fat by DEXA or visceral adipose weight were weak to nonexistent (Table 6). Caudal LV wall measurements during systole and diastole were not different based on MANOVA (p = 0.164-0.372). Left ventricular mass, estimated from echocardiographic data and indexed to body weight, was similar among groups. This estimate of LV mass correlated to body weight and visceral adipose mass, but not to overall adiposity as measured by DEXA (Table 6). Systolic and diastolic functional indices (i.e. fractional shortening and IVRT, respectively) were not different between groups. Dietary treatment did not alter myocardial TG or collagen content. Oil Red O staining was negligible across treatment groups (data not shown). Cardiac myocyte cross sectional area was increased in all fat-fed groups compared to control; however, there was no difference in area between the fat-fed groups. There was no correlation between body weight or visceral adipose mass, and measures of TG, hydroxyproline or myocyte area.\nSummary of echocardiographic measurements, myocardial hydroxyproline and triglyceride content and myocyte area\nData listed as mean/SE. LVW, left ventricular wall; LVID, left ventricular internal diameter; IVRT, isovolumic relaxation time; FS, fractional shortening; cr, cranial; ca, caudal; s, systole; d, diastole; CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA.\n*p < 0.05 compared to control; **p < 0.01 compared to control; #p < 0.05 compared to SAT.\nSummary of correlation data comparing key myocardial outcomes to adiposity and body weight\nLVW, left ventricular wall; cr, cranial; ca, caudal; s, systole; d, diastole.", "Regarding the potential contributors to LVH, namely myocyte hypertrophy, ECM remodeling and lipid accumulation, this study showed that myocyte cross sectional area was increased with feeding of all high-fat diets, regardless of composition. These observations are consistent with those of obese humans. Right heart endocardial biopsies obtained from markedly obese patients with heart failure, mostly attributed to dilative cardiomyopathy, revealed that the most common histologic lesion was mild myocyte hypertrophy that was not described as causative, present in 67% of obese subjects[68]. Evidence of myocyte hypertrophy was also the predominant finding in hearts of obese individuals without premortem evidence of heart disease[12]. This, along with our finding that myocyte hypertrophy did not accompany LVH in SAT rats, suggests that while myocyte hypertrophy is the most consistently identified myocardial lesion in obese individuals, its presence is not likely to solely contribute to clinically relevant LVH. Hypertrophic stimuli, and subsequent genotypic and phenotypic responses, are very diverse[69,70]. Certainly a measure of cross sectional area only defines the presence of the phenomenon, and it is likely that myocyte gene expression, signaling pathways and subsequent preservation or deterioration of structure and function are different according to fatty acid milieu,[71] degree of adiposity, adipokine profile[72] and metabolic aberrancy.", "The findings of this study suggest that, under conditions of high-fat feeding, replacement of 10% saturated fat with either LA or ALA is associated with increased body weight and segmental LV wall thickness in the absence of myocardial functional changes. Increased myocyte size, similar among all fat-fed groups, appears to be a more likely precursor to measureable LV thickening in uncomplicated dietary obesity than collagen accumulation or lipid accretion; however, increased myocyte size did not determine gross LV hypertrophy. Predicted responses to PUFA type were not actualized in the outcomes measured in the present study; thus, future studies will measure myocardial gene and protein expression in response to diet, to determine whether hypertrophic pathways are differentially regulated and possibly predictive of a physiologic versus pathologic LV response. Inclusion of simple carbohydrates as part of a western diet in rodents should be further investigated as a relevant model of diet-induced OC in humans, specifically in relation to LVH as a precursor to functional decline." ]
[ null, "methods", null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Obesity", "Cardiomyopathy", "Polyunsaturated fatty acids", "Left ventricular hypertrophy" ]
Background: In the United States the prevalence of overweight and obese adults averages 26% nationally,[1] having increased nearly 20% over the last 3 decades[2]. Beyond the human toll lies the economic cost that is projected to be 900 billion by the year 2030[3]. Obese individuals have a higher risk of morbidity and mortality attributed to cardiovascular disease,[4] and specifically are at higher risk for the development of cardiomyopathy leading to heart failure[5,6]. Obesity-mediated cardiomyopathy (OC) and heart failure have traditionally been attributed to hypertension, myocardial ischemia and diabetes. More recently, increased left ventricular (LV) mass and myocardial dysfunction have been associated with obesity in otherwise healthy humans (i.e. without concomitant hypertension, ischemic heart disease or apparent insulin resistance)[7-11]. Left ventricular hypertrophy (LVH) is an early echocardiographic change that reflects increased LV mass. This structural change is commonly identified in obese individuals,[12] and LV mass has been positively associated with adiposity and body mass index[11,13,14]. Importantly, LVH is an independent risk factor for development of systolic dysfunction,[15] and is associated with an increased risk for cardiovascular and all-cause mortality in people[16-18]. It is unknown why some obese individuals progress to heart failure, while others appear to be protected from mortality[19]. It is possible that diet composition is one factor that predicts the cardiac phenotype in response to obesity, and therefore disease progression. There is evidence that the fatty acid milieu predicts structural and functional changes in the heart that occur with obesity. Saturated and n-6 polyunsaturated fatty acids (PUFA) enhance myocyte apoptosis and necrosis,[20,21] while monounsaturated and n-3 PUFA attenuate apoptosis in cardiac and endothelial cells[22,23]. In addition, feeding of n-6 PUFA to normal pigs was associated with myocardial inflammation, while feeding n-3 PUFA was associated with anti-inflammatory effects[24]. Further, dietary fat composition may differentially impact LV structure and contractile function,[25,26] and studies of cultured myocytes support this idea[27]. Collectively, these findings suggest that LVH may be an important early event in the development of myocardial dysfunction in obese individuals. At the cellular level, a thickened LV may be attributed to extracellular matrix (ECM) remodeling, myocardial lipid accumulation and/or cardiac myocyte hypertrophy. There is evidence that these processes are differentially expressed according to dietary fat, so were chosen for emphasis in the present study. The human population more frequently experiences obesity as a result of nutritional and lifestyle factors compared to genetic aberrancy; thus, a dietary obese model was chosen for this study. We propose that defining alterations in cardiac structure and function attributable to obesity may be best accomplished by investigating the effects of combined fatty acid moieties from a dietary source, in the in vivo setting of intact anti-inflammatory and antioxidant systems. The purpose of this study was to determine whether the heterogeneous phenotype of OC might be partially attributed to dietary fatty acid composition. Primary outcomes included myocardial structure and function, measured echocardiographically, in addition to ECM remodeling, myocardial lipid accumulation and cardiac myocyte hypertrophy. To understand the morphologic and metabolic milieu within which primary outcomes were measured, we secondarily characterized adiposity, hemodynamics, serum metabolic indices and myocardial fatty acid composition. We hypothesized that long-term feeding of a high saturated fat diet would be associated with LVH, and that concomitant intake of n-6 PUFA and n-3 PUFA would exacerbate and attenuate, respectively, this early structural change. Further, we hypothesized that despite the presence of LVH, myocardial function, measured echocardiographically, would remain intact in these dietary obese rats. Regarding contributors to LV thickening, it was anticipated that intake of a diet high in saturated fat and n-6 PUFA would result in the most profound lesion severity, compared with other high fat diets tested. Methods: Animals Adult male Sprague-Dawley (SD) rats (CD® IGS Rat, Charles River Laboratories, Wilmington, MA) were maintained in the Colorado State University Laboratory Animal Resource Center in a temperature- and humidity-controlled environment. Rats were housed in pairs with a normal 12-hour light/12 hour dark cycle. Protocols and conditions within the facility meet or exceed the standards for animal housing facilities as described in the Animal Welfare Act regulations, the Guide for the Care and Use of Laboratory Animals and the Guide for the Care and Use of Agricultural Animals in Agricultural Research and Teaching. The rats were allowed a 2-week acclimation period prior to initiation of dietary treatment. Diet At 6 weeks of age, rats were divided into 1 of 4 dietary treatment groups: control (CON); 50% saturated fat (SAT); 40% saturated fat + 10% n-6 PUFA composed primarily of linoleic acid (LA) (SAT+LA) and 40% saturated fat + 10% n-3 PUFA composed primarily of α-linolenic acid (ALA) (SAT+ALA). Diets were supplied by Harlan Teklad (Madison, WI), and are detailed in Tables 1 and 2. The duration of dietary treatment was 32 weeks. Body weight was measured weekly. Rats were fasted overnight prior to terminal sample collection. Macronutrient composition and caloric density of diets CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. Fatty acid composition of diets (% of total diet) LA, Linoleic acid; ALA, α-linolenic acid; N/A, not applicable; CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. Adult male Sprague-Dawley (SD) rats (CD® IGS Rat, Charles River Laboratories, Wilmington, MA) were maintained in the Colorado State University Laboratory Animal Resource Center in a temperature- and humidity-controlled environment. Rats were housed in pairs with a normal 12-hour light/12 hour dark cycle. Protocols and conditions within the facility meet or exceed the standards for animal housing facilities as described in the Animal Welfare Act regulations, the Guide for the Care and Use of Laboratory Animals and the Guide for the Care and Use of Agricultural Animals in Agricultural Research and Teaching. The rats were allowed a 2-week acclimation period prior to initiation of dietary treatment. Diet At 6 weeks of age, rats were divided into 1 of 4 dietary treatment groups: control (CON); 50% saturated fat (SAT); 40% saturated fat + 10% n-6 PUFA composed primarily of linoleic acid (LA) (SAT+LA) and 40% saturated fat + 10% n-3 PUFA composed primarily of α-linolenic acid (ALA) (SAT+ALA). Diets were supplied by Harlan Teklad (Madison, WI), and are detailed in Tables 1 and 2. The duration of dietary treatment was 32 weeks. Body weight was measured weekly. Rats were fasted overnight prior to terminal sample collection. Macronutrient composition and caloric density of diets CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. Fatty acid composition of diets (% of total diet) LA, Linoleic acid; ALA, α-linolenic acid; N/A, not applicable; CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. General anesthesia General anesthesia was induced by placing rats in a commercial rodent anesthesia chamber and initiating flow of 3% isofluorane in a 95% O2/5% CO2 gas mixture. Anesthesia was maintained by nosecone at 2% isofluorane for noninvasive measurements, and at 4% isofluorane for terminal sample collection. General anesthesia was induced by placing rats in a commercial rodent anesthesia chamber and initiating flow of 3% isofluorane in a 95% O2/5% CO2 gas mixture. Anesthesia was maintained by nosecone at 2% isofluorane for noninvasive measurements, and at 4% isofluorane for terminal sample collection. Serum measurements Serum leptin, glucose and free fatty acid (FFA) concentrations were measured in the University of Colorado Hospital Clinical and Translational Research Center. Leptin was measured using the Rat Leptin Radioimmunoassay Kit (Millipore, St. Charles, MO). Glucose and FFA were quantitated using the Roche Cobas Mira Plus Chemistry Analyzer (Indianapolis, IN). Insulin was quantitated by a commercial rat insulin ELISA (Linco Research, St. Charles, MO). The Homeostasis Model Assessment (HOMA) was used to estimate insulin resistance using a HOMA2 IR Excel-based calculator (http://www.dtu.ox.ac.uk/homacalculator/download.php). Serum triglycerides (TG) were assayed using enzymatic colorimetry (Triglycerides Reagent, Thermo Electron, Pittsburg, PA). Serum leptin, glucose and free fatty acid (FFA) concentrations were measured in the University of Colorado Hospital Clinical and Translational Research Center. Leptin was measured using the Rat Leptin Radioimmunoassay Kit (Millipore, St. Charles, MO). Glucose and FFA were quantitated using the Roche Cobas Mira Plus Chemistry Analyzer (Indianapolis, IN). Insulin was quantitated by a commercial rat insulin ELISA (Linco Research, St. Charles, MO). The Homeostasis Model Assessment (HOMA) was used to estimate insulin resistance using a HOMA2 IR Excel-based calculator (http://www.dtu.ox.ac.uk/homacalculator/download.php). Serum triglycerides (TG) were assayed using enzymatic colorimetry (Triglycerides Reagent, Thermo Electron, Pittsburg, PA). Systolic blood pressure and heart rate Immediately upon moving to the maintenance dose of 2% isofluorane, rats were moved to a temperature controlled platform for determination of heart rate (HR) and systolic blood pressure by the tail cuff method (SC 1000 Pressure Analysis System, Hatteras Instruments, Cary, NC). Three separate measurements of both HR and systolic blood pressure were recorded. Immediately upon moving to the maintenance dose of 2% isofluorane, rats were moved to a temperature controlled platform for determination of heart rate (HR) and systolic blood pressure by the tail cuff method (SC 1000 Pressure Analysis System, Hatteras Instruments, Cary, NC). Three separate measurements of both HR and systolic blood pressure were recorded. Echocardiographic examination After HR and blood pressure determination, rats were shaved over the ventral thorax and upper abdomen. A Philips HD-11 ultrasound machine with a 12 mHz pediatric sector transducer was used to image the heart in transverse parasternal and 4-chamber views. Two dimensional, M-mode and Doppler imaging was incorporated to measure LV end-diastolic and end-systolic wall and chamber dimensions and isovolumic relaxation time (IVRT), an index of diastolic function. Left ventricular mass was estimated using a formula adapted from Foppa et al:[28] where LVIDd = LV internal diameter during diastole, LVWcr/d = cranial LV wall thickness during diastole and LVWca/d = caudal LV wall thickness during diastole. Dual Energy X-Ray Absorptiometry (DEXA) Scans were performed on anesthetized rats at the Colorado State University Veterinary Medical Center using a Delphi A densitometer (Hologic, Inc., Bedford, MA). After HR and blood pressure determination, rats were shaved over the ventral thorax and upper abdomen. A Philips HD-11 ultrasound machine with a 12 mHz pediatric sector transducer was used to image the heart in transverse parasternal and 4-chamber views. Two dimensional, M-mode and Doppler imaging was incorporated to measure LV end-diastolic and end-systolic wall and chamber dimensions and isovolumic relaxation time (IVRT), an index of diastolic function. Left ventricular mass was estimated using a formula adapted from Foppa et al:[28] where LVIDd = LV internal diameter during diastole, LVWcr/d = cranial LV wall thickness during diastole and LVWca/d = caudal LV wall thickness during diastole. Dual Energy X-Ray Absorptiometry (DEXA) Scans were performed on anesthetized rats at the Colorado State University Veterinary Medical Center using a Delphi A densitometer (Hologic, Inc., Bedford, MA). Processing of tissue samples The heart was exposed through a medial sternotomy. Blood was aspirated from the pulmonary arterial trunk and immediately placed into a collection tube. After 2 hours, the blood was centrifuged at 2095 RCF for 15 minutes. After centrifugation, serum was aspirated and stored at -80°C. Immediately upon withdraw of the blood sample, the heart was excised and placed in ice cold saline, then quickly dabbed for excess fluid prior to recording of heart weight. While in the iced saline, the heart was dissected to isolate the LV, right ventricle and septum, and isolated tissue weights were recorded. Samples of right and left ventricular and septal myocardium were divided and either snap frozen in liquid nitrogen and stored at -80°C or fixed in 4% paraformaldehyde. After 24 hours in paraformaldehyde, tissues were transferred to 70% ethanol, then trimmed and embedded in paraffin. The mass of visceral adipose was estimated by removing and weighing the mesenteric fat. The heart was exposed through a medial sternotomy. Blood was aspirated from the pulmonary arterial trunk and immediately placed into a collection tube. After 2 hours, the blood was centrifuged at 2095 RCF for 15 minutes. After centrifugation, serum was aspirated and stored at -80°C. Immediately upon withdraw of the blood sample, the heart was excised and placed in ice cold saline, then quickly dabbed for excess fluid prior to recording of heart weight. While in the iced saline, the heart was dissected to isolate the LV, right ventricle and septum, and isolated tissue weights were recorded. Samples of right and left ventricular and septal myocardium were divided and either snap frozen in liquid nitrogen and stored at -80°C or fixed in 4% paraformaldehyde. After 24 hours in paraformaldehyde, tissues were transferred to 70% ethanol, then trimmed and embedded in paraffin. The mass of visceral adipose was estimated by removing and weighing the mesenteric fat. Collagen Masson's trichrome stain was used for collagen detection in paraffin-embedded tissue sections. A slide from each animal was evaluated at 20X for regions of transversely sectioned cells without artifact or large vessels. Four images per slide, comprising identical total areas among slides, were assessed for % total area that was positive for Masson's staining, using NIH Image J software. Hydroxyproline (a primary amino acid in collagen) was quantitated in frozen septal tissue spectrophotometrically using previously described methods[29]. Masson's trichrome stain was used for collagen detection in paraffin-embedded tissue sections. A slide from each animal was evaluated at 20X for regions of transversely sectioned cells without artifact or large vessels. Four images per slide, comprising identical total areas among slides, were assessed for % total area that was positive for Masson's staining, using NIH Image J software. Hydroxyproline (a primary amino acid in collagen) was quantitated in frozen septal tissue spectrophotometrically using previously described methods[29]. Lipid analysis Oil Red O staining was applied to myocardial cryostat sections. Septal TG were extracted and quantitated using a commercial colorimetric Triglyceride Quantification Kit (BioVision Research Products, Mountain View, CA). Lipids were extracted from frozen septal tissue using the method described by Matyash et al.[30] Briefly, 0.05 gm tissue samples were pulverized into a powder under liquid nitrogen and placed in a glass homogenizer. Mass spectrometry (MS) grade methanol (0.75 mL) and methyl-tert-butyl ether (MTBE, 2.5 mL) were added and the powdered tissue was homogenized briefly on ice. Samples were capped off under nitrogen gas and incubated at room temperature for one hour, then 0.625 mL of MS grade water was added. After vortexing, samples were capped off under nitrogen and incubated at room temperature for an additional 10 minutes, then centrifuged at 1,000 RCF for 10 minutes. The upper (organic) phase was collected and the sample dried under a stream of nitrogen. Samples were frozen at -80°C until processed. Thin layer chromatography (TLC) was then used to separate out the phospholipid fraction using a 20 cm × 20 cm silica gel TLC plate in a 70:30:1 hexane:ethyl ether:acetic acid solution. The band associated with the phospholipid fraction was scraped from the plate and dissolved in 0.5 ml hexane and 0.5 ml 0.5N KOH. Three ml of 14% BF3-methanol was added and each sample was placed on a heat plate at 70 °C for 1.5 hours to obtain methyl esters in preparation for gas chromatography (GC). The GC analysis was performed using an Agilent 6890 Series Gas Chromatographer (Agilent Technologies, Inc., Santa Clara, CA). The column used was an Agilent Technologies DB-225 30 m × 0.250 mm × 0.25 μm, model 122-2232. The initial temperature of the oven was 100 °C with an initial ramp temperature of 10°C/min for 10 minutes, then 2.5°C/min for 4 minutes and held at 210°C for the remaining 15 minutes for a total run time of 29 minutes. The inlet split ratio was 20:1 with the column at constant flow and an initial flow, pressure and velocity at 2.0 ml/min, 23.86 psi and 44 cm/sec, respectively. Oil Red O staining was applied to myocardial cryostat sections. Septal TG were extracted and quantitated using a commercial colorimetric Triglyceride Quantification Kit (BioVision Research Products, Mountain View, CA). Lipids were extracted from frozen septal tissue using the method described by Matyash et al.[30] Briefly, 0.05 gm tissue samples were pulverized into a powder under liquid nitrogen and placed in a glass homogenizer. Mass spectrometry (MS) grade methanol (0.75 mL) and methyl-tert-butyl ether (MTBE, 2.5 mL) were added and the powdered tissue was homogenized briefly on ice. Samples were capped off under nitrogen gas and incubated at room temperature for one hour, then 0.625 mL of MS grade water was added. After vortexing, samples were capped off under nitrogen and incubated at room temperature for an additional 10 minutes, then centrifuged at 1,000 RCF for 10 minutes. The upper (organic) phase was collected and the sample dried under a stream of nitrogen. Samples were frozen at -80°C until processed. Thin layer chromatography (TLC) was then used to separate out the phospholipid fraction using a 20 cm × 20 cm silica gel TLC plate in a 70:30:1 hexane:ethyl ether:acetic acid solution. The band associated with the phospholipid fraction was scraped from the plate and dissolved in 0.5 ml hexane and 0.5 ml 0.5N KOH. Three ml of 14% BF3-methanol was added and each sample was placed on a heat plate at 70 °C for 1.5 hours to obtain methyl esters in preparation for gas chromatography (GC). The GC analysis was performed using an Agilent 6890 Series Gas Chromatographer (Agilent Technologies, Inc., Santa Clara, CA). The column used was an Agilent Technologies DB-225 30 m × 0.250 mm × 0.25 μm, model 122-2232. The initial temperature of the oven was 100 °C with an initial ramp temperature of 10°C/min for 10 minutes, then 2.5°C/min for 4 minutes and held at 210°C for the remaining 15 minutes for a total run time of 29 minutes. The inlet split ratio was 20:1 with the column at constant flow and an initial flow, pressure and velocity at 2.0 ml/min, 23.86 psi and 44 cm/sec, respectively. Myocyte cross sectional area Sections of LV were stained with hematoxylin and eosin, and cross sectional area was measured using NIH Image J software. Fifty transversely sectioned cells with central nuclei from each of 2 slides per rat were evaluated (i.e. 100 cells/rat). In 5/22 rats, only 50 cells/rat met standards for measurement. Statistics Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05. Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05. Sections of LV were stained with hematoxylin and eosin, and cross sectional area was measured using NIH Image J software. Fifty transversely sectioned cells with central nuclei from each of 2 slides per rat were evaluated (i.e. 100 cells/rat). In 5/22 rats, only 50 cells/rat met standards for measurement. Statistics Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05. Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05. Animals: Adult male Sprague-Dawley (SD) rats (CD® IGS Rat, Charles River Laboratories, Wilmington, MA) were maintained in the Colorado State University Laboratory Animal Resource Center in a temperature- and humidity-controlled environment. Rats were housed in pairs with a normal 12-hour light/12 hour dark cycle. Protocols and conditions within the facility meet or exceed the standards for animal housing facilities as described in the Animal Welfare Act regulations, the Guide for the Care and Use of Laboratory Animals and the Guide for the Care and Use of Agricultural Animals in Agricultural Research and Teaching. The rats were allowed a 2-week acclimation period prior to initiation of dietary treatment. Diet At 6 weeks of age, rats were divided into 1 of 4 dietary treatment groups: control (CON); 50% saturated fat (SAT); 40% saturated fat + 10% n-6 PUFA composed primarily of linoleic acid (LA) (SAT+LA) and 40% saturated fat + 10% n-3 PUFA composed primarily of α-linolenic acid (ALA) (SAT+ALA). Diets were supplied by Harlan Teklad (Madison, WI), and are detailed in Tables 1 and 2. The duration of dietary treatment was 32 weeks. Body weight was measured weekly. Rats were fasted overnight prior to terminal sample collection. Macronutrient composition and caloric density of diets CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. Fatty acid composition of diets (% of total diet) LA, Linoleic acid; ALA, α-linolenic acid; N/A, not applicable; CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. General anesthesia: General anesthesia was induced by placing rats in a commercial rodent anesthesia chamber and initiating flow of 3% isofluorane in a 95% O2/5% CO2 gas mixture. Anesthesia was maintained by nosecone at 2% isofluorane for noninvasive measurements, and at 4% isofluorane for terminal sample collection. Serum measurements: Serum leptin, glucose and free fatty acid (FFA) concentrations were measured in the University of Colorado Hospital Clinical and Translational Research Center. Leptin was measured using the Rat Leptin Radioimmunoassay Kit (Millipore, St. Charles, MO). Glucose and FFA were quantitated using the Roche Cobas Mira Plus Chemistry Analyzer (Indianapolis, IN). Insulin was quantitated by a commercial rat insulin ELISA (Linco Research, St. Charles, MO). The Homeostasis Model Assessment (HOMA) was used to estimate insulin resistance using a HOMA2 IR Excel-based calculator (http://www.dtu.ox.ac.uk/homacalculator/download.php). Serum triglycerides (TG) were assayed using enzymatic colorimetry (Triglycerides Reagent, Thermo Electron, Pittsburg, PA). Systolic blood pressure and heart rate: Immediately upon moving to the maintenance dose of 2% isofluorane, rats were moved to a temperature controlled platform for determination of heart rate (HR) and systolic blood pressure by the tail cuff method (SC 1000 Pressure Analysis System, Hatteras Instruments, Cary, NC). Three separate measurements of both HR and systolic blood pressure were recorded. Echocardiographic examination: After HR and blood pressure determination, rats were shaved over the ventral thorax and upper abdomen. A Philips HD-11 ultrasound machine with a 12 mHz pediatric sector transducer was used to image the heart in transverse parasternal and 4-chamber views. Two dimensional, M-mode and Doppler imaging was incorporated to measure LV end-diastolic and end-systolic wall and chamber dimensions and isovolumic relaxation time (IVRT), an index of diastolic function. Left ventricular mass was estimated using a formula adapted from Foppa et al:[28] where LVIDd = LV internal diameter during diastole, LVWcr/d = cranial LV wall thickness during diastole and LVWca/d = caudal LV wall thickness during diastole. Dual Energy X-Ray Absorptiometry (DEXA) Scans were performed on anesthetized rats at the Colorado State University Veterinary Medical Center using a Delphi A densitometer (Hologic, Inc., Bedford, MA). Processing of tissue samples: The heart was exposed through a medial sternotomy. Blood was aspirated from the pulmonary arterial trunk and immediately placed into a collection tube. After 2 hours, the blood was centrifuged at 2095 RCF for 15 minutes. After centrifugation, serum was aspirated and stored at -80°C. Immediately upon withdraw of the blood sample, the heart was excised and placed in ice cold saline, then quickly dabbed for excess fluid prior to recording of heart weight. While in the iced saline, the heart was dissected to isolate the LV, right ventricle and septum, and isolated tissue weights were recorded. Samples of right and left ventricular and septal myocardium were divided and either snap frozen in liquid nitrogen and stored at -80°C or fixed in 4% paraformaldehyde. After 24 hours in paraformaldehyde, tissues were transferred to 70% ethanol, then trimmed and embedded in paraffin. The mass of visceral adipose was estimated by removing and weighing the mesenteric fat. Collagen: Masson's trichrome stain was used for collagen detection in paraffin-embedded tissue sections. A slide from each animal was evaluated at 20X for regions of transversely sectioned cells without artifact or large vessels. Four images per slide, comprising identical total areas among slides, were assessed for % total area that was positive for Masson's staining, using NIH Image J software. Hydroxyproline (a primary amino acid in collagen) was quantitated in frozen septal tissue spectrophotometrically using previously described methods[29]. Lipid analysis: Oil Red O staining was applied to myocardial cryostat sections. Septal TG were extracted and quantitated using a commercial colorimetric Triglyceride Quantification Kit (BioVision Research Products, Mountain View, CA). Lipids were extracted from frozen septal tissue using the method described by Matyash et al.[30] Briefly, 0.05 gm tissue samples were pulverized into a powder under liquid nitrogen and placed in a glass homogenizer. Mass spectrometry (MS) grade methanol (0.75 mL) and methyl-tert-butyl ether (MTBE, 2.5 mL) were added and the powdered tissue was homogenized briefly on ice. Samples were capped off under nitrogen gas and incubated at room temperature for one hour, then 0.625 mL of MS grade water was added. After vortexing, samples were capped off under nitrogen and incubated at room temperature for an additional 10 minutes, then centrifuged at 1,000 RCF for 10 minutes. The upper (organic) phase was collected and the sample dried under a stream of nitrogen. Samples were frozen at -80°C until processed. Thin layer chromatography (TLC) was then used to separate out the phospholipid fraction using a 20 cm × 20 cm silica gel TLC plate in a 70:30:1 hexane:ethyl ether:acetic acid solution. The band associated with the phospholipid fraction was scraped from the plate and dissolved in 0.5 ml hexane and 0.5 ml 0.5N KOH. Three ml of 14% BF3-methanol was added and each sample was placed on a heat plate at 70 °C for 1.5 hours to obtain methyl esters in preparation for gas chromatography (GC). The GC analysis was performed using an Agilent 6890 Series Gas Chromatographer (Agilent Technologies, Inc., Santa Clara, CA). The column used was an Agilent Technologies DB-225 30 m × 0.250 mm × 0.25 μm, model 122-2232. The initial temperature of the oven was 100 °C with an initial ramp temperature of 10°C/min for 10 minutes, then 2.5°C/min for 4 minutes and held at 210°C for the remaining 15 minutes for a total run time of 29 minutes. The inlet split ratio was 20:1 with the column at constant flow and an initial flow, pressure and velocity at 2.0 ml/min, 23.86 psi and 44 cm/sec, respectively. Statistics: Initial analyses were conducted using Prism 4.0 for Macintosh (Graphpad Software, Inc., San Diego, CA) and SPSS version 19 (IBM, Somers, NY). Bartlett's test for equality of variance and the Kolmogorov-Smirnov test for Gaussian distribution were applied to all datasets. The Kruskal-Wallis nonparametric test and Dunn's post test were used to analyze non-normal data. Pearson's and Spearman's correlations were applied to normal and non-normal data, respectively. Treatment groups were compared using 1-way ANOVA. When the overall ANOVA F-test p-value was < 0.05, the LSD method for pairwise comparisons was used. Because regional wall thickness during systole and diastole were likely to be highly correlated, multivariate analysis of variance (MANOVA) was used to analyze echocardiographic LV wall thickness variables as a set, prior to analysis of the individual wall thickness variables. Computations were performed using the GLM procedure in SAS software (SAS Institute Inc., Cary, NC) version 9.2. Significance was determined by inspecting the 4 multivariate tests provided. Data are expressed as mean +/- SE; statistical significance was set at p < 0.05. Results: Data relevant to body morphometry, organ weights, hemodynamics and serum metabolic indices are presented in Table 3. Rats fed diets supplemented with PUFA, whether LA or ALA, had higher body weights than CON rats; further, SAT + ALA rats had higher body weights compared to SAT rats. There were no differences in % body fat by DEXA or in postmortem visceral adipose mass; however, visceral adipose mass was correlated with body weight (r = 0.69, p < 0.0001). Heart weight and LV weight were similar among groups. Treatment did not alter HR or systolic blood pressure. Serum metabolic indices were unchanged by diet; however, leptin was correlated with % body fat (r = 0.86, p < 0.0001) and visceral adipose mass (r = 0.78, p < 0.0001). Data summary including body morphometry, tissue masses, hemodynamics and serum metabolic indices Data listed as mean/SE. CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. *p < 0.05 compared to control; **p < 0.01 compared to control; #p < 0.05 compared to SAT. Myocardial fatty acid profiles are presented in Table 4. With the exception of palmitic and oleic acids, the tissue composition generally reflected direct dietary intake or intake of precursors. Fatty acid profile of myocardial phospholipid fractions Data listed as mean/SE. CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. *p < 0.05 compared to control; **p < 0.01 compared to control; #p < 0.05 compared to SAT; ## p < 0.01 compared to SAT; ++ p < 0.01 compared to SAT+PUFA6. Myocardial outcomes are listed in Table 5. Multivariate analysis of cranial wall dimensions during systole and diastole revealed significant differences in cranial wall measurements based on all 4 multivariate tests (p = 0.009-0.038). The 1-way ANOVA tests of systole and diastole separately revealed that cranial LV wall thickness was increased in rats from both PUFA-supplemented groups compared to CON animals. Moreover, rats fed both SAT + LA and SAT + ALA diets had increased cranial wall thickness during diastole compared to rats fed the SAT diet, and rats fed the SAT + LA diet also had increased cranial wall thickness during systole compared to rats fed the SAT diet. Correlations between cranial LV wall thickness measurements and % body fat by DEXA or visceral adipose weight were weak to nonexistent (Table 6). Caudal LV wall measurements during systole and diastole were not different based on MANOVA (p = 0.164-0.372). Left ventricular mass, estimated from echocardiographic data and indexed to body weight, was similar among groups. This estimate of LV mass correlated to body weight and visceral adipose mass, but not to overall adiposity as measured by DEXA (Table 6). Systolic and diastolic functional indices (i.e. fractional shortening and IVRT, respectively) were not different between groups. Dietary treatment did not alter myocardial TG or collagen content. Oil Red O staining was negligible across treatment groups (data not shown). Cardiac myocyte cross sectional area was increased in all fat-fed groups compared to control; however, there was no difference in area between the fat-fed groups. There was no correlation between body weight or visceral adipose mass, and measures of TG, hydroxyproline or myocyte area. Summary of echocardiographic measurements, myocardial hydroxyproline and triglyceride content and myocyte area Data listed as mean/SE. LVW, left ventricular wall; LVID, left ventricular internal diameter; IVRT, isovolumic relaxation time; FS, fractional shortening; cr, cranial; ca, caudal; s, systole; d, diastole; CON, Control; SAT, 50% saturated fat; SAT+LA, 40% saturated fat + 10% n-6 PUFA; SAT + ALA, 40% saturated fat + 10% n-3 PUFA. *p < 0.05 compared to control; **p < 0.01 compared to control; #p < 0.05 compared to SAT. Summary of correlation data comparing key myocardial outcomes to adiposity and body weight LVW, left ventricular wall; cr, cranial; ca, caudal; s, systole; d, diastole. Myocyte cross sectional area: Regarding the potential contributors to LVH, namely myocyte hypertrophy, ECM remodeling and lipid accumulation, this study showed that myocyte cross sectional area was increased with feeding of all high-fat diets, regardless of composition. These observations are consistent with those of obese humans. Right heart endocardial biopsies obtained from markedly obese patients with heart failure, mostly attributed to dilative cardiomyopathy, revealed that the most common histologic lesion was mild myocyte hypertrophy that was not described as causative, present in 67% of obese subjects[68]. Evidence of myocyte hypertrophy was also the predominant finding in hearts of obese individuals without premortem evidence of heart disease[12]. This, along with our finding that myocyte hypertrophy did not accompany LVH in SAT rats, suggests that while myocyte hypertrophy is the most consistently identified myocardial lesion in obese individuals, its presence is not likely to solely contribute to clinically relevant LVH. Hypertrophic stimuli, and subsequent genotypic and phenotypic responses, are very diverse[69,70]. Certainly a measure of cross sectional area only defines the presence of the phenomenon, and it is likely that myocyte gene expression, signaling pathways and subsequent preservation or deterioration of structure and function are different according to fatty acid milieu,[71] degree of adiposity, adipokine profile[72] and metabolic aberrancy. Conclusions: The findings of this study suggest that, under conditions of high-fat feeding, replacement of 10% saturated fat with either LA or ALA is associated with increased body weight and segmental LV wall thickness in the absence of myocardial functional changes. Increased myocyte size, similar among all fat-fed groups, appears to be a more likely precursor to measureable LV thickening in uncomplicated dietary obesity than collagen accumulation or lipid accretion; however, increased myocyte size did not determine gross LV hypertrophy. Predicted responses to PUFA type were not actualized in the outcomes measured in the present study; thus, future studies will measure myocardial gene and protein expression in response to diet, to determine whether hypertrophic pathways are differentially regulated and possibly predictive of a physiologic versus pathologic LV response. Inclusion of simple carbohydrates as part of a western diet in rodents should be further investigated as a relevant model of diet-induced OC in humans, specifically in relation to LVH as a precursor to functional decline.
Background: Obesity increases the risk for development of cardiomyopathy in the absence of hypertension, diabetes or myocardial ischemia. Not all obese individuals, however, progress to heart failure. Indeed, obesity may provide protection from cardiovascular mortality in some populations. The fatty acid milieu, modulated by diet, may modify obesity-induced myocardial structure and function, lending partial explanation for the array of cardiomyopathic phenotype in obese individuals. Methods: Adult male Sprague-Dawley rats were fed 1 of the following 4 diets for 32 weeks: control (CON); 50% saturated fat (SAT); 40% saturated fat + 10% linoleic acid (SAT+LA); 40% saturated fat + 10% α-linolenic acid (SAT+ALA). Serum leptin, insulin, glucose, free fatty acids and triglycerides were quantitated. In vivo cardiovascular outcomes included blood pressure, heart rate and echocardiographic measurements of structure and function. The rats were sacrificed and myocardium was processed for fatty acid analysis (TLC-GC), and evaluation of potential modifiers of myocardial structure including collagen (Masson's trichrome, hydroxyproline quantitation), lipid (Oil Red O, triglyceride quantitation) and myocyte cross sectional area. Results: Rats fed SAT+LA and SAT+ALA diets had greater cranial LV wall thickness compared to rats fed CON and SAT diets, in the absence of hypertension or apparent insulin resistance. Treatment was not associated with changes in myocardial function. Myocardial collagen and triglycerides were similar among treatment groups; however, rats fed the high-fat diets, regardless of composition, demonstrated increased myocyte cross sectional area. Conclusions: Under conditions of high-fat feeding, replacement of 10% saturated fat with either LA or ALA is associated with thickening of the cranial LV wall, but without concomitant functional changes. Increased myocyte size appears to be a more likely contributor to early LV thickening in response to high-fat feeding. These findings suggest that myocyte hypertrophy may be an early change leading to gross LV hypertrophy in the hearts of "healthy" obese rats, in the absence of hypertension, diabetes and myocardial ischemia.
Background: In the United States the prevalence of overweight and obese adults averages 26% nationally,[1] having increased nearly 20% over the last 3 decades[2]. Beyond the human toll lies the economic cost that is projected to be 900 billion by the year 2030[3]. Obese individuals have a higher risk of morbidity and mortality attributed to cardiovascular disease,[4] and specifically are at higher risk for the development of cardiomyopathy leading to heart failure[5,6]. Obesity-mediated cardiomyopathy (OC) and heart failure have traditionally been attributed to hypertension, myocardial ischemia and diabetes. More recently, increased left ventricular (LV) mass and myocardial dysfunction have been associated with obesity in otherwise healthy humans (i.e. without concomitant hypertension, ischemic heart disease or apparent insulin resistance)[7-11]. Left ventricular hypertrophy (LVH) is an early echocardiographic change that reflects increased LV mass. This structural change is commonly identified in obese individuals,[12] and LV mass has been positively associated with adiposity and body mass index[11,13,14]. Importantly, LVH is an independent risk factor for development of systolic dysfunction,[15] and is associated with an increased risk for cardiovascular and all-cause mortality in people[16-18]. It is unknown why some obese individuals progress to heart failure, while others appear to be protected from mortality[19]. It is possible that diet composition is one factor that predicts the cardiac phenotype in response to obesity, and therefore disease progression. There is evidence that the fatty acid milieu predicts structural and functional changes in the heart that occur with obesity. Saturated and n-6 polyunsaturated fatty acids (PUFA) enhance myocyte apoptosis and necrosis,[20,21] while monounsaturated and n-3 PUFA attenuate apoptosis in cardiac and endothelial cells[22,23]. In addition, feeding of n-6 PUFA to normal pigs was associated with myocardial inflammation, while feeding n-3 PUFA was associated with anti-inflammatory effects[24]. Further, dietary fat composition may differentially impact LV structure and contractile function,[25,26] and studies of cultured myocytes support this idea[27]. Collectively, these findings suggest that LVH may be an important early event in the development of myocardial dysfunction in obese individuals. At the cellular level, a thickened LV may be attributed to extracellular matrix (ECM) remodeling, myocardial lipid accumulation and/or cardiac myocyte hypertrophy. There is evidence that these processes are differentially expressed according to dietary fat, so were chosen for emphasis in the present study. The human population more frequently experiences obesity as a result of nutritional and lifestyle factors compared to genetic aberrancy; thus, a dietary obese model was chosen for this study. We propose that defining alterations in cardiac structure and function attributable to obesity may be best accomplished by investigating the effects of combined fatty acid moieties from a dietary source, in the in vivo setting of intact anti-inflammatory and antioxidant systems. The purpose of this study was to determine whether the heterogeneous phenotype of OC might be partially attributed to dietary fatty acid composition. Primary outcomes included myocardial structure and function, measured echocardiographically, in addition to ECM remodeling, myocardial lipid accumulation and cardiac myocyte hypertrophy. To understand the morphologic and metabolic milieu within which primary outcomes were measured, we secondarily characterized adiposity, hemodynamics, serum metabolic indices and myocardial fatty acid composition. We hypothesized that long-term feeding of a high saturated fat diet would be associated with LVH, and that concomitant intake of n-6 PUFA and n-3 PUFA would exacerbate and attenuate, respectively, this early structural change. Further, we hypothesized that despite the presence of LVH, myocardial function, measured echocardiographically, would remain intact in these dietary obese rats. Regarding contributors to LV thickening, it was anticipated that intake of a diet high in saturated fat and n-6 PUFA would result in the most profound lesion severity, compared with other high fat diets tested. Conclusions: KMJ critically reviewed the manuscript for intellectual content, developed the hydroxyproline assay method, and assisted with data analysis. KEM assisted in terminal sample collection, processed tissue and serum samples and performed triglyceride assays. AJC participated in echocardiographic data acquisition and interpretation, and critically reviewed the manuscript for intellectual content. PLC was the principal contributor to statistical design and analysis. CMM performed TLC-GC. PHF measured myocyte cross sectional area. MLM assisted in hydroxyproline assay development and completion. MJP critically reviewed the manuscript for intellectual content. MF conceived of and designed the study, performed echocardiographic examinations and terminal sample collection, and drafted the manuscript. All authors have read and approved the final manuscript.
Background: Obesity increases the risk for development of cardiomyopathy in the absence of hypertension, diabetes or myocardial ischemia. Not all obese individuals, however, progress to heart failure. Indeed, obesity may provide protection from cardiovascular mortality in some populations. The fatty acid milieu, modulated by diet, may modify obesity-induced myocardial structure and function, lending partial explanation for the array of cardiomyopathic phenotype in obese individuals. Methods: Adult male Sprague-Dawley rats were fed 1 of the following 4 diets for 32 weeks: control (CON); 50% saturated fat (SAT); 40% saturated fat + 10% linoleic acid (SAT+LA); 40% saturated fat + 10% α-linolenic acid (SAT+ALA). Serum leptin, insulin, glucose, free fatty acids and triglycerides were quantitated. In vivo cardiovascular outcomes included blood pressure, heart rate and echocardiographic measurements of structure and function. The rats were sacrificed and myocardium was processed for fatty acid analysis (TLC-GC), and evaluation of potential modifiers of myocardial structure including collagen (Masson's trichrome, hydroxyproline quantitation), lipid (Oil Red O, triglyceride quantitation) and myocyte cross sectional area. Results: Rats fed SAT+LA and SAT+ALA diets had greater cranial LV wall thickness compared to rats fed CON and SAT diets, in the absence of hypertension or apparent insulin resistance. Treatment was not associated with changes in myocardial function. Myocardial collagen and triglycerides were similar among treatment groups; however, rats fed the high-fat diets, regardless of composition, demonstrated increased myocyte cross sectional area. Conclusions: Under conditions of high-fat feeding, replacement of 10% saturated fat with either LA or ALA is associated with thickening of the cranial LV wall, but without concomitant functional changes. Increased myocyte size appears to be a more likely contributor to early LV thickening in response to high-fat feeding. These findings suggest that myocyte hypertrophy may be an early change leading to gross LV hypertrophy in the hearts of "healthy" obese rats, in the absence of hypertension, diabetes and myocardial ischemia.
7,766
401
[ 707, 364, 53, 129, 65, 169, 180, 91, 429, 506, 221, 848, 5189 ]
14
[ "fat", "sat", "saturated", "rats", "saturated fat", "lv", "10", "wall", "pufa", "acid" ]
[ "metabolic indices myocardial", "myocardial outcomes adiposity", "hearts obese individuals", "heart failure obesity", "obesity mediated cardiomyopathy" ]
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[CONTENT] Obesity | Cardiomyopathy | Polyunsaturated fatty acids | Left ventricular hypertrophy [SUMMARY]
[CONTENT] Obesity | Cardiomyopathy | Polyunsaturated fatty acids | Left ventricular hypertrophy [SUMMARY]
null
[CONTENT] Obesity | Cardiomyopathy | Polyunsaturated fatty acids | Left ventricular hypertrophy [SUMMARY]
[CONTENT] Obesity | Cardiomyopathy | Polyunsaturated fatty acids | Left ventricular hypertrophy [SUMMARY]
[CONTENT] Obesity | Cardiomyopathy | Polyunsaturated fatty acids | Left ventricular hypertrophy [SUMMARY]
[CONTENT] Adiposity | Animals | Body Weight | Dietary Fats | Echocardiography | Fatty Acids | Feeding Behavior | Hemodynamics | Hydroxyproline | Male | Myocardium | Myocytes, Cardiac | Organ Size | Phospholipids | Rats | Rats, Sprague-Dawley | Subcellular Fractions | Triglycerides [SUMMARY]
[CONTENT] Adiposity | Animals | Body Weight | Dietary Fats | Echocardiography | Fatty Acids | Feeding Behavior | Hemodynamics | Hydroxyproline | Male | Myocardium | Myocytes, Cardiac | Organ Size | Phospholipids | Rats | Rats, Sprague-Dawley | Subcellular Fractions | Triglycerides [SUMMARY]
null
[CONTENT] Adiposity | Animals | Body Weight | Dietary Fats | Echocardiography | Fatty Acids | Feeding Behavior | Hemodynamics | Hydroxyproline | Male | Myocardium | Myocytes, Cardiac | Organ Size | Phospholipids | Rats | Rats, Sprague-Dawley | Subcellular Fractions | Triglycerides [SUMMARY]
[CONTENT] Adiposity | Animals | Body Weight | Dietary Fats | Echocardiography | Fatty Acids | Feeding Behavior | Hemodynamics | Hydroxyproline | Male | Myocardium | Myocytes, Cardiac | Organ Size | Phospholipids | Rats | Rats, Sprague-Dawley | Subcellular Fractions | Triglycerides [SUMMARY]
[CONTENT] Adiposity | Animals | Body Weight | Dietary Fats | Echocardiography | Fatty Acids | Feeding Behavior | Hemodynamics | Hydroxyproline | Male | Myocardium | Myocytes, Cardiac | Organ Size | Phospholipids | Rats | Rats, Sprague-Dawley | Subcellular Fractions | Triglycerides [SUMMARY]
[CONTENT] metabolic indices myocardial | myocardial outcomes adiposity | hearts obese individuals | heart failure obesity | obesity mediated cardiomyopathy [SUMMARY]
[CONTENT] metabolic indices myocardial | myocardial outcomes adiposity | hearts obese individuals | heart failure obesity | obesity mediated cardiomyopathy [SUMMARY]
null
[CONTENT] metabolic indices myocardial | myocardial outcomes adiposity | hearts obese individuals | heart failure obesity | obesity mediated cardiomyopathy [SUMMARY]
[CONTENT] metabolic indices myocardial | myocardial outcomes adiposity | hearts obese individuals | heart failure obesity | obesity mediated cardiomyopathy [SUMMARY]
[CONTENT] metabolic indices myocardial | myocardial outcomes adiposity | hearts obese individuals | heart failure obesity | obesity mediated cardiomyopathy [SUMMARY]
[CONTENT] fat | sat | saturated | rats | saturated fat | lv | 10 | wall | pufa | acid [SUMMARY]
[CONTENT] fat | sat | saturated | rats | saturated fat | lv | 10 | wall | pufa | acid [SUMMARY]
null
[CONTENT] fat | sat | saturated | rats | saturated fat | lv | 10 | wall | pufa | acid [SUMMARY]
[CONTENT] fat | sat | saturated | rats | saturated fat | lv | 10 | wall | pufa | acid [SUMMARY]
[CONTENT] fat | sat | saturated | rats | saturated fat | lv | 10 | wall | pufa | acid [SUMMARY]
[CONTENT] obese | myocardial | obesity | pufa | cardiac | associated | risk | lvh | dietary | individuals [SUMMARY]
[CONTENT] test | 10 | sat | ml | saturated | wall | saturated fat | fat | minutes | thickness [SUMMARY]
null
[CONTENT] lv | increased | increased myocyte | increased myocyte size | precursor | myocyte size | size | diet | response | determine [SUMMARY]
[CONTENT] sat | fat | lv | saturated | rats | wall | saturated fat | heart | 10 | pufa [SUMMARY]
[CONTENT] sat | fat | lv | saturated | rats | wall | saturated fat | heart | 10 | pufa [SUMMARY]
[CONTENT] ||| obese ||| ||| diet | obese [SUMMARY]
[CONTENT] Sprague-Dawley | 1 | 4 | 32 weeks | CON | 50% | SAT | 40% | + 10% | 40% | + 10% ||| Serum leptin ||| ||| TLC-GC | Masson | myocyte cross [SUMMARY]
null
[CONTENT] 10% | LA | ALA ||| ||| myocyte hypertrophy | obese [SUMMARY]
[CONTENT] ||| obese ||| ||| diet | obese ||| Sprague-Dawley | 1 | 4 | 32 weeks | CON | 50% | SAT | 40% | + 10% | 40% | + 10% ||| Serum leptin ||| ||| TLC-GC | Masson | myocyte cross ||| ||| SAT+ALA | CON | SAT ||| ||| Myocardial | myocyte cross ||| 10% | LA | ALA ||| ||| myocyte hypertrophy | obese [SUMMARY]
[CONTENT] ||| obese ||| ||| diet | obese ||| Sprague-Dawley | 1 | 4 | 32 weeks | CON | 50% | SAT | 40% | + 10% | 40% | + 10% ||| Serum leptin ||| ||| TLC-GC | Masson | myocyte cross ||| ||| SAT+ALA | CON | SAT ||| ||| Myocardial | myocyte cross ||| 10% | LA | ALA ||| ||| myocyte hypertrophy | obese [SUMMARY]
[Predictors of intensity of use of adult day care centers in people with cognitive impairment].
34586469
Adult day care is an established concept in Germany for people with cognitive impairment; however, only a small fraction of people in need for care actually use adult day care. Studies so far highlighted some predictors for the use of adult day care; however, it remains unclear which factors are associated with the intensity of use.
BACKGROUND
Data used were obtained within the project dementia in day care with psychosocial MAKS interventions (DeTaMAKS), which studied adult day care users with cognitive impairments and their family caregivers. A logistic regression was performed to predict frequent or low use of adult day care.
MATERIAL AND METHODS
The following factors were significantly associated with higher intensity of use: civil status of adult care user being widowed or single, higher educational level of caregiver, higher care level, longer duration of adult day care use and more mental and behavioral symptoms of the adult day care user. The sensitivity analysis for cohabiting dyads additionally showed a higher intensity of use with a lower age of the caregiver and shorter distance between place of residence and adult day care but not with respect to educational level of the caregiver and mental and behavioral symptoms of the user.
RESULTS
The results show a need for adult day care, which increases with caregivers being employed and users living outside of permanent relationships. A short distance to the adult care center as well as flexible care options may increase the frequency of use.
CONCLUSION
[ "Humans", "Adult Day Care Centers", "Dementia", "Caregivers", "Cognitive Dysfunction", "Day Care, Medical" ]
9587102
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Fazit für die Praxis
Der Bedarf an Betreuung und Förderung durch Tagespflegen ist vorhanden und steigt mit zunehmender Pflegebedürftigkeit.Der Bedarf wird in Zukunft durch die verbreitete Berufstätigkeit aller Bevölkerungsgruppen und Lebensformen außerhalb von festen Partnerschaften eher zunehmen.Die Entfernung der Tagespflege ist ein signifikanter Prädiktor für die Nutzungsintensität. Um die Nutzung zu erhöhen, müssten Tagespflegen für potenzielle Nutzende schnell erreichbar sein.Pflegende Angehörige und Menschen mit kognitiven Beeinträchtigungen sollten die Möglichkeit bekommen, das Angebot zunächst probeweise kennenzulernen. Als Erleichterung des „Einstiegs“ könnten Einrichtungen eine „Testwoche“/einen „Testmonat“ anbieten. Auch flexible Nutzungskonzepte mit z. B. Zeitkontingenten könnten eine nachfolgend stärkere Nutzungsintensität fördern. Der Bedarf an Betreuung und Förderung durch Tagespflegen ist vorhanden und steigt mit zunehmender Pflegebedürftigkeit. Der Bedarf wird in Zukunft durch die verbreitete Berufstätigkeit aller Bevölkerungsgruppen und Lebensformen außerhalb von festen Partnerschaften eher zunehmen. Die Entfernung der Tagespflege ist ein signifikanter Prädiktor für die Nutzungsintensität. Um die Nutzung zu erhöhen, müssten Tagespflegen für potenzielle Nutzende schnell erreichbar sein. Pflegende Angehörige und Menschen mit kognitiven Beeinträchtigungen sollten die Möglichkeit bekommen, das Angebot zunächst probeweise kennenzulernen. Als Erleichterung des „Einstiegs“ könnten Einrichtungen eine „Testwoche“/einen „Testmonat“ anbieten. Auch flexible Nutzungskonzepte mit z. B. Zeitkontingenten könnten eine nachfolgend stärkere Nutzungsintensität fördern.
[ "Hintergrund und Fragestellung", "Tagespflegen in Deutschland", "Nutzungsintensität von Tagespflegen: Rahmenkonzept", "Methodik", "Design", "Stichprobe", "Instrumente", "Statistische Analysen", "Ergebnisse", "Hauptanalyse", "Sensitivitätsanalyse", "Diskussion", "Prädisponierende Faktoren", "Ermöglichende Faktoren", "Bedarfsfaktoren", "Limitationen", "" ]
[ "Tagespflegen in Deutschland Das Konzept der Tagespflege (TP) existiert in Deutschland seit 1973 [11] und ist durch §41 SGB XI als möglicher Bestandteil von Pflegeleistungen im Gesetz verankert [5]. Die Zahlen des Statistischen Bundesamtes zeigen, dass im Jahr 2019 82.639 Tagespflegeplätze in Deutschland zur Verfügung standen und 139.192 Pflegebedürftige dieses Angebot nutzten. Bei insgesamt 3,3 Mio. zu Hause lebenden Pflegebedürftigen besuchten somit ca. 4 % davon eine TP [15].\nDie TP zählt zu den bekanntesten formellen Hilfeleistungen. Laut einer Umfrage kannten 56,5 % der pflegenden Angehörigen die TP [10]. Bei einer Befragung von pflegenden Angehörigen einer Person mit Demenz war die TP die zweithäufigste genutzte Hilfeleistung [20].\nEin Review konnte zeigen, dass die Tagespflegenutzung für Personen mit Demenz eine Verbesserung des Schlafes und der Verhaltenssymptome und für ihre Angehörigen eine Verminderung der Pflegebelastung bedeuten kann [19]. Gleichzeitig war die Wahrscheinlichkeit eines Heimübertritts bei Nutzung einer TP signifikant erhöht, wenn keine anderen formellen Hilfeleistungen in Anspruch genommen wurden. Diese Ergebnisse konnten durch weitere, aktuelle Studien bestätigt werden [14, 16, 18].\nDas Konzept der Tagespflege (TP) existiert in Deutschland seit 1973 [11] und ist durch §41 SGB XI als möglicher Bestandteil von Pflegeleistungen im Gesetz verankert [5]. Die Zahlen des Statistischen Bundesamtes zeigen, dass im Jahr 2019 82.639 Tagespflegeplätze in Deutschland zur Verfügung standen und 139.192 Pflegebedürftige dieses Angebot nutzten. Bei insgesamt 3,3 Mio. zu Hause lebenden Pflegebedürftigen besuchten somit ca. 4 % davon eine TP [15].\nDie TP zählt zu den bekanntesten formellen Hilfeleistungen. Laut einer Umfrage kannten 56,5 % der pflegenden Angehörigen die TP [10]. Bei einer Befragung von pflegenden Angehörigen einer Person mit Demenz war die TP die zweithäufigste genutzte Hilfeleistung [20].\nEin Review konnte zeigen, dass die Tagespflegenutzung für Personen mit Demenz eine Verbesserung des Schlafes und der Verhaltenssymptome und für ihre Angehörigen eine Verminderung der Pflegebelastung bedeuten kann [19]. Gleichzeitig war die Wahrscheinlichkeit eines Heimübertritts bei Nutzung einer TP signifikant erhöht, wenn keine anderen formellen Hilfeleistungen in Anspruch genommen wurden. Diese Ergebnisse konnten durch weitere, aktuelle Studien bestätigt werden [14, 16, 18].\nNutzungsintensität von Tagespflegen: Rahmenkonzept Nach dem Verhaltensmodell der Versorgungsinanspruchnahme von Andersen et al. [1] bestimmen prädisponierende, ermöglichende und Bedarfsfaktoren die Nutzung eines Angebotes im Gesundheitssystem. Die Faktoren können dabei sowohl auf kontextueller Ebene, d. h. auf Ebene der Region, als auch auf individueller Ebene betrachtet werden. Prädisponierende Faktoren sind bestehende Merkmale einer Person bzw. Region, die eine mögliche Nutzung/Nichtnutzung beeinflussen. Die ermöglichenden Faktoren stellen Merkmale dar, die den Zugang zu Versorgungsangeboten begünstigen oder beeinträchtigen. Bedarfsfaktoren charakterisieren den Bedarf an Versorgung, der zu einer tatsächlichen Nutzung führt. In Abb. 1 sind die bisherigen Forschungsergebnisse zur Nutzung von TP abgebildet und in Bezug auf das Andersen-Modell [1] eingeordnet.\nBisher ist jedoch unklar, inwieweit diese Faktoren auch mit der Nutzungsintensität von TP bei Menschen mit kognitiven Beeinträchtigungen zusammenhängen. Daraus ergab sich die Forschungsfrage: „Welche Faktoren des Verhaltensmodells der Versorgungsinanspruchnahme nach Andersen sind signifikante Prädiktoren für die Intensität der Tagespflegenutzung bei zu Hause lebenden Personen mit leichter kognitiver Beeinträchtigung (MCI), leichter oder moderater Demenz?“\nNach dem Verhaltensmodell der Versorgungsinanspruchnahme von Andersen et al. [1] bestimmen prädisponierende, ermöglichende und Bedarfsfaktoren die Nutzung eines Angebotes im Gesundheitssystem. Die Faktoren können dabei sowohl auf kontextueller Ebene, d. h. auf Ebene der Region, als auch auf individueller Ebene betrachtet werden. Prädisponierende Faktoren sind bestehende Merkmale einer Person bzw. Region, die eine mögliche Nutzung/Nichtnutzung beeinflussen. Die ermöglichenden Faktoren stellen Merkmale dar, die den Zugang zu Versorgungsangeboten begünstigen oder beeinträchtigen. Bedarfsfaktoren charakterisieren den Bedarf an Versorgung, der zu einer tatsächlichen Nutzung führt. In Abb. 1 sind die bisherigen Forschungsergebnisse zur Nutzung von TP abgebildet und in Bezug auf das Andersen-Modell [1] eingeordnet.\nBisher ist jedoch unklar, inwieweit diese Faktoren auch mit der Nutzungsintensität von TP bei Menschen mit kognitiven Beeinträchtigungen zusammenhängen. Daraus ergab sich die Forschungsfrage: „Welche Faktoren des Verhaltensmodells der Versorgungsinanspruchnahme nach Andersen sind signifikante Prädiktoren für die Intensität der Tagespflegenutzung bei zu Hause lebenden Personen mit leichter kognitiver Beeinträchtigung (MCI), leichter oder moderater Demenz?“", "Das Konzept der Tagespflege (TP) existiert in Deutschland seit 1973 [11] und ist durch §41 SGB XI als möglicher Bestandteil von Pflegeleistungen im Gesetz verankert [5]. Die Zahlen des Statistischen Bundesamtes zeigen, dass im Jahr 2019 82.639 Tagespflegeplätze in Deutschland zur Verfügung standen und 139.192 Pflegebedürftige dieses Angebot nutzten. Bei insgesamt 3,3 Mio. zu Hause lebenden Pflegebedürftigen besuchten somit ca. 4 % davon eine TP [15].\nDie TP zählt zu den bekanntesten formellen Hilfeleistungen. Laut einer Umfrage kannten 56,5 % der pflegenden Angehörigen die TP [10]. Bei einer Befragung von pflegenden Angehörigen einer Person mit Demenz war die TP die zweithäufigste genutzte Hilfeleistung [20].\nEin Review konnte zeigen, dass die Tagespflegenutzung für Personen mit Demenz eine Verbesserung des Schlafes und der Verhaltenssymptome und für ihre Angehörigen eine Verminderung der Pflegebelastung bedeuten kann [19]. Gleichzeitig war die Wahrscheinlichkeit eines Heimübertritts bei Nutzung einer TP signifikant erhöht, wenn keine anderen formellen Hilfeleistungen in Anspruch genommen wurden. Diese Ergebnisse konnten durch weitere, aktuelle Studien bestätigt werden [14, 16, 18].", "Nach dem Verhaltensmodell der Versorgungsinanspruchnahme von Andersen et al. [1] bestimmen prädisponierende, ermöglichende und Bedarfsfaktoren die Nutzung eines Angebotes im Gesundheitssystem. Die Faktoren können dabei sowohl auf kontextueller Ebene, d. h. auf Ebene der Region, als auch auf individueller Ebene betrachtet werden. Prädisponierende Faktoren sind bestehende Merkmale einer Person bzw. Region, die eine mögliche Nutzung/Nichtnutzung beeinflussen. Die ermöglichenden Faktoren stellen Merkmale dar, die den Zugang zu Versorgungsangeboten begünstigen oder beeinträchtigen. Bedarfsfaktoren charakterisieren den Bedarf an Versorgung, der zu einer tatsächlichen Nutzung führt. In Abb. 1 sind die bisherigen Forschungsergebnisse zur Nutzung von TP abgebildet und in Bezug auf das Andersen-Modell [1] eingeordnet.\nBisher ist jedoch unklar, inwieweit diese Faktoren auch mit der Nutzungsintensität von TP bei Menschen mit kognitiven Beeinträchtigungen zusammenhängen. Daraus ergab sich die Forschungsfrage: „Welche Faktoren des Verhaltensmodells der Versorgungsinanspruchnahme nach Andersen sind signifikante Prädiktoren für die Intensität der Tagespflegenutzung bei zu Hause lebenden Personen mit leichter kognitiver Beeinträchtigung (MCI), leichter oder moderater Demenz?“", "Design Die verwendeten Daten stammen aus der Studie Demenz in der Tagespflege bei psychosozialer MAKS-Intervention (DeTaMAKS-Studie), einer deutschlandweiten clusterrandomisierten kontrollierten Studie in Tagespflegeeinrichtungen. Ziel der Studie war der Wirksamkeitsnachweis einer nichtmedikamentösen Gruppentherapie für kognitiv beeinträchtigte Personen (MCI, leichte oder moderate Demenz). Die Stichprobe bestand aus 453 Dyaden von Tagespflegegästen (TP-Gäste) und ihren pflegenden Angehörigen (PA). Alle TP-Gäste besuchten wenigstens für einen Tag/Woche eine TP. Informationen zu Studiendesign und -ablauf können dem Studienprotokoll entnommen werden [2]. Die Ergebnisse der primären Forschungshypothesen wurden bereits veröffentlicht [3, 8]. Die Ethikkommission der Friedrich-Alexander-Universität Erlangen-Nürnberg hat der Durchführung der Studie inkl. datenschutzrechtlicher Aspekte zugestimmt (Votums-Nr.: 170_14B). Die Einverständniserklärungen wurden von allen teilnehmenden TP-Gästen und PA bzw. deren gesetzlicher Vertretung eingeholt. Die erhobenen Daten wurden ausschließlich pseudonymisiert gespeichert und ausgewertet. Die Studie wurde bei ISCRTN registriert (10.1186/ISRCTN16412551).\nDie in diesem Beitrag verwendeten Querschnittsdaten stammen vom ersten Erhebungszeitpunkt vor dem Start der Therapie im April 2015.\nDie verwendeten Daten stammen aus der Studie Demenz in der Tagespflege bei psychosozialer MAKS-Intervention (DeTaMAKS-Studie), einer deutschlandweiten clusterrandomisierten kontrollierten Studie in Tagespflegeeinrichtungen. Ziel der Studie war der Wirksamkeitsnachweis einer nichtmedikamentösen Gruppentherapie für kognitiv beeinträchtigte Personen (MCI, leichte oder moderate Demenz). Die Stichprobe bestand aus 453 Dyaden von Tagespflegegästen (TP-Gäste) und ihren pflegenden Angehörigen (PA). Alle TP-Gäste besuchten wenigstens für einen Tag/Woche eine TP. Informationen zu Studiendesign und -ablauf können dem Studienprotokoll entnommen werden [2]. Die Ergebnisse der primären Forschungshypothesen wurden bereits veröffentlicht [3, 8]. Die Ethikkommission der Friedrich-Alexander-Universität Erlangen-Nürnberg hat der Durchführung der Studie inkl. datenschutzrechtlicher Aspekte zugestimmt (Votums-Nr.: 170_14B). Die Einverständniserklärungen wurden von allen teilnehmenden TP-Gästen und PA bzw. deren gesetzlicher Vertretung eingeholt. Die erhobenen Daten wurden ausschließlich pseudonymisiert gespeichert und ausgewertet. Die Studie wurde bei ISCRTN registriert (10.1186/ISRCTN16412551).\nDie in diesem Beitrag verwendeten Querschnittsdaten stammen vom ersten Erhebungszeitpunkt vor dem Start der Therapie im April 2015.\nStichprobe Von den 453 Dyaden, die an der DeTaMAKS-Studie teilnahmen, konnten die Daten von 449 Dyaden für die Hauptanalyse verwendet werden. (Bei 4 Dyaden fehlte die Angabe, wie häufig die TP genutzt wurde). Bestimmte ermöglichende Variablen (Entfernung und Fahrzeit zwischen Wohnung und TP, Regionstyp und Verstädterungsgrad der TP) lagen nur für zusammenlebende Dyaden vor. Daher wurde mit dieser Substichprobe (n = 275) eine Sensitivitätsanalyse durchgeführt.\nIm Zusatzmaterial online finden sich die Charakteristika der Hauptstichprobe (Tabelle T1) sowie der Substichprobe (Tabelle T2). Die 34 an der Studie teilnehmenden TP wurden aus dem gesamten Bundesgebiet rekrutiert und sind in Tabelle T3 beschrieben.\nVon den 453 Dyaden, die an der DeTaMAKS-Studie teilnahmen, konnten die Daten von 449 Dyaden für die Hauptanalyse verwendet werden. (Bei 4 Dyaden fehlte die Angabe, wie häufig die TP genutzt wurde). Bestimmte ermöglichende Variablen (Entfernung und Fahrzeit zwischen Wohnung und TP, Regionstyp und Verstädterungsgrad der TP) lagen nur für zusammenlebende Dyaden vor. Daher wurde mit dieser Substichprobe (n = 275) eine Sensitivitätsanalyse durchgeführt.\nIm Zusatzmaterial online finden sich die Charakteristika der Hauptstichprobe (Tabelle T1) sowie der Substichprobe (Tabelle T2). Die 34 an der Studie teilnehmenden TP wurden aus dem gesamten Bundesgebiet rekrutiert und sind in Tabelle T3 beschrieben.\nInstrumente Tabelle T4 gibt einen Überblick über die erfassten Variablen und genutzten Instrumente. Für eine genaue Beschreibung der verwendeten Instrumente: [2].\nTabelle T4 gibt einen Überblick über die erfassten Variablen und genutzten Instrumente. Für eine genaue Beschreibung der verwendeten Instrumente: [2].\nStatistische Analysen Die Besuchshäufigkeit der TP in Tagen/Woche stellte die abhängige Variable dar, dichotomisiert (angelehnt an Straubmeier et al. [17]) in Wenignutzung (1 bis 2 Tage/Woche) und Häufignutzung (3 bis 5 Tage/Woche).\nVor der statistischen Analyse wurden einzelne fehlende Werte in den unabhängigen Variablen mittels Regression imputiert. Die auszuwertende Hauptstichprobe umfasste 449 Fälle. Die Substichprobe umfasste 275 Fälle.\nDie statistische Analyse erfolgte für die Hauptanalyse sowie für die Sensitivitätsanalyse in den gleichen drei Schritten:I.Präanalyse: bivariater Vergleich – nichtadjustiertEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.II.Multikollinearitätsprüfung:Die unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].III.Finale Analyse: multivariates Modell – adjustierte AnalyseDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert.\nPräanalyse: bivariater Vergleich – nichtadjustiert\nEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.\nMultikollinearitätsprüfung:\nDie unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].\nFinale Analyse: multivariates Modell – adjustierte Analyse\nDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert.\nDie Besuchshäufigkeit der TP in Tagen/Woche stellte die abhängige Variable dar, dichotomisiert (angelehnt an Straubmeier et al. [17]) in Wenignutzung (1 bis 2 Tage/Woche) und Häufignutzung (3 bis 5 Tage/Woche).\nVor der statistischen Analyse wurden einzelne fehlende Werte in den unabhängigen Variablen mittels Regression imputiert. Die auszuwertende Hauptstichprobe umfasste 449 Fälle. Die Substichprobe umfasste 275 Fälle.\nDie statistische Analyse erfolgte für die Hauptanalyse sowie für die Sensitivitätsanalyse in den gleichen drei Schritten:I.Präanalyse: bivariater Vergleich – nichtadjustiertEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.II.Multikollinearitätsprüfung:Die unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].III.Finale Analyse: multivariates Modell – adjustierte AnalyseDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert.\nPräanalyse: bivariater Vergleich – nichtadjustiert\nEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.\nMultikollinearitätsprüfung:\nDie unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].\nFinale Analyse: multivariates Modell – adjustierte Analyse\nDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert.", "Die verwendeten Daten stammen aus der Studie Demenz in der Tagespflege bei psychosozialer MAKS-Intervention (DeTaMAKS-Studie), einer deutschlandweiten clusterrandomisierten kontrollierten Studie in Tagespflegeeinrichtungen. Ziel der Studie war der Wirksamkeitsnachweis einer nichtmedikamentösen Gruppentherapie für kognitiv beeinträchtigte Personen (MCI, leichte oder moderate Demenz). Die Stichprobe bestand aus 453 Dyaden von Tagespflegegästen (TP-Gäste) und ihren pflegenden Angehörigen (PA). Alle TP-Gäste besuchten wenigstens für einen Tag/Woche eine TP. Informationen zu Studiendesign und -ablauf können dem Studienprotokoll entnommen werden [2]. Die Ergebnisse der primären Forschungshypothesen wurden bereits veröffentlicht [3, 8]. Die Ethikkommission der Friedrich-Alexander-Universität Erlangen-Nürnberg hat der Durchführung der Studie inkl. datenschutzrechtlicher Aspekte zugestimmt (Votums-Nr.: 170_14B). Die Einverständniserklärungen wurden von allen teilnehmenden TP-Gästen und PA bzw. deren gesetzlicher Vertretung eingeholt. Die erhobenen Daten wurden ausschließlich pseudonymisiert gespeichert und ausgewertet. Die Studie wurde bei ISCRTN registriert (10.1186/ISRCTN16412551).\nDie in diesem Beitrag verwendeten Querschnittsdaten stammen vom ersten Erhebungszeitpunkt vor dem Start der Therapie im April 2015.", "Von den 453 Dyaden, die an der DeTaMAKS-Studie teilnahmen, konnten die Daten von 449 Dyaden für die Hauptanalyse verwendet werden. (Bei 4 Dyaden fehlte die Angabe, wie häufig die TP genutzt wurde). Bestimmte ermöglichende Variablen (Entfernung und Fahrzeit zwischen Wohnung und TP, Regionstyp und Verstädterungsgrad der TP) lagen nur für zusammenlebende Dyaden vor. Daher wurde mit dieser Substichprobe (n = 275) eine Sensitivitätsanalyse durchgeführt.\nIm Zusatzmaterial online finden sich die Charakteristika der Hauptstichprobe (Tabelle T1) sowie der Substichprobe (Tabelle T2). Die 34 an der Studie teilnehmenden TP wurden aus dem gesamten Bundesgebiet rekrutiert und sind in Tabelle T3 beschrieben.", "Tabelle T4 gibt einen Überblick über die erfassten Variablen und genutzten Instrumente. Für eine genaue Beschreibung der verwendeten Instrumente: [2].", "Die Besuchshäufigkeit der TP in Tagen/Woche stellte die abhängige Variable dar, dichotomisiert (angelehnt an Straubmeier et al. [17]) in Wenignutzung (1 bis 2 Tage/Woche) und Häufignutzung (3 bis 5 Tage/Woche).\nVor der statistischen Analyse wurden einzelne fehlende Werte in den unabhängigen Variablen mittels Regression imputiert. Die auszuwertende Hauptstichprobe umfasste 449 Fälle. Die Substichprobe umfasste 275 Fälle.\nDie statistische Analyse erfolgte für die Hauptanalyse sowie für die Sensitivitätsanalyse in den gleichen drei Schritten:I.Präanalyse: bivariater Vergleich – nichtadjustiertEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.II.Multikollinearitätsprüfung:Die unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].III.Finale Analyse: multivariates Modell – adjustierte AnalyseDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert.\nPräanalyse: bivariater Vergleich – nichtadjustiert\nEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.\nMultikollinearitätsprüfung:\nDie unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].\nFinale Analyse: multivariates Modell – adjustierte Analyse\nDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert.", "Hauptanalyse \nI.Ergebnisse der PräanalyseIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.Im Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.Ergebnisse der MultikollinearitätsprüfungEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.III.Finale AnalyseIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1Das finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %).\n\nErgebnisse der Präanalyse\nIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.\nIm Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.\nErgebnisse der Multikollinearitätsprüfung\nEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.\nFinale Analyse\nIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\nDurch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 Schritte\nUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige\n*p < 0,05, **p < 0,01\naDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0\nbDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\nDas finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %).\n\nI.Ergebnisse der PräanalyseIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.Im Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.Ergebnisse der MultikollinearitätsprüfungEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.III.Finale AnalyseIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1Das finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %).\n\nErgebnisse der Präanalyse\nIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.\nIm Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.\nErgebnisse der Multikollinearitätsprüfung\nEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.\nFinale Analyse\nIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\nDurch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 Schritte\nUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige\n*p < 0,05, **p < 0,01\naDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0\nbDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\nDas finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %).\nSensitivitätsanalyse In zusammenlebenden Dyaden waren die TP-Gäste im Vergleich zur Hauptstichprobe jünger (p = 0,05) und häufiger männlich (p = 0,05), ihre PA jedoch im Mittel älter (p = 0,001), seltener berufstätig (p = 0,05), stärker durch die Pflegesituation belastet (p = 0,001) und nahmen seltener ambulante Pflegedienste und Essen auf Rädern in Anspruch (jeweils p = 0,05).I.Ergebnisse der PräanalyseDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.Im Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.MultikollinearitätsprüfungBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.III.Finale AnalyseIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und WohnortDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.Eine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2.\nErgebnisse der Präanalyse\nDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.\nIm Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.\nMultikollinearitätsprüfung\nBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.\nFinale Analyse\nIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und Wohnort\nDurch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 Schritte\nUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige\n*p < 0,05, **p < 0,01\naDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0\nbDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\ncZwischen Tagespflege und Wohnort\nDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.\nEine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2.\nIn zusammenlebenden Dyaden waren die TP-Gäste im Vergleich zur Hauptstichprobe jünger (p = 0,05) und häufiger männlich (p = 0,05), ihre PA jedoch im Mittel älter (p = 0,001), seltener berufstätig (p = 0,05), stärker durch die Pflegesituation belastet (p = 0,001) und nahmen seltener ambulante Pflegedienste und Essen auf Rädern in Anspruch (jeweils p = 0,05).I.Ergebnisse der PräanalyseDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.Im Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.MultikollinearitätsprüfungBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.III.Finale AnalyseIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und WohnortDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.Eine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2.\nErgebnisse der Präanalyse\nDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.\nIm Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.\nMultikollinearitätsprüfung\nBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.\nFinale Analyse\nIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und Wohnort\nDurch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 Schritte\nUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige\n*p < 0,05, **p < 0,01\naDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0\nbDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\ncZwischen Tagespflege und Wohnort\nDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.\nEine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2.", "\nI.Ergebnisse der PräanalyseIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.Im Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.Ergebnisse der MultikollinearitätsprüfungEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.III.Finale AnalyseIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1Das finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %).\n\nErgebnisse der Präanalyse\nIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.\nIm Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.\nErgebnisse der Multikollinearitätsprüfung\nEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.\nFinale Analyse\nIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\nDurch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 Schritte\nUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige\n*p < 0,05, **p < 0,01\naDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0\nbDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\nDas finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %).", "In zusammenlebenden Dyaden waren die TP-Gäste im Vergleich zur Hauptstichprobe jünger (p = 0,05) und häufiger männlich (p = 0,05), ihre PA jedoch im Mittel älter (p = 0,001), seltener berufstätig (p = 0,05), stärker durch die Pflegesituation belastet (p = 0,001) und nahmen seltener ambulante Pflegedienste und Essen auf Rädern in Anspruch (jeweils p = 0,05).I.Ergebnisse der PräanalyseDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.Im Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.MultikollinearitätsprüfungBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.III.Finale AnalyseIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und WohnortDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.Eine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2.\nErgebnisse der Präanalyse\nDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.\nIm Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.\nMultikollinearitätsprüfung\nBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.\nFinale Analyse\nIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und Wohnort\nDurch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 Schritte\nUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige\n*p < 0,05, **p < 0,01\naDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0\nbDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\ncZwischen Tagespflege und Wohnort\nDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.\nEine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2.", "Ziel der Analyse war es, Prädiktoren für die Nutzungsintensität von TP bei Personen mit kognitiver Beeinträchtigung und ihren PA zu finden. Dabei stellten sich der Familienstand des TP-Gastes, der Bildungsstand der PA, die Pflegestufe, die bisherige Dauer der Tagespflegenutzung, psychische und Verhaltenssymptome (NPI) sowie bei zusammenwohnenden Dyaden zusätzlich das Alter und der Familienstand der PA und die Entfernung zur TP als signifikante Prädiktoren heraus.\nPrädisponierende Faktoren Bei Donath et al. und Lüdecke et al. [8, 12] war ein höheres Alter der PA mit der Nutzung von TP assoziiert. Die vorliegende Analyse zeigte bei zusammenlebenden Dyaden jedoch den gegenteiligen Zusammenhang. Dies lässt sich möglicherweise dadurch erklären, dass die jüngeren PA der hier untersuchten Dyaden fast ausschließlich Kinder/Schwiegerkinder, eher berufstätig und somit eher auf eine Betreuung angewiesen waren als die älteren PA, die zumeist Partner/-in des jeweiligen TP-Gastes waren. Dies passt auch zu dem Befund, dass eine TP weniger intensiv genutzt wurde, wenn der TP-Gast in einer Partnerschaft lebt.\nÜbereinstimmend mit der Literatur [9, 12, 13] zeigen auch die vorliegenden Ergebnisse, dass eine höhere Bildung der PA mit einer höheren Nutzungsintensität korreliert.\nBei Donath et al. und Lüdecke et al. [8, 12] war ein höheres Alter der PA mit der Nutzung von TP assoziiert. Die vorliegende Analyse zeigte bei zusammenlebenden Dyaden jedoch den gegenteiligen Zusammenhang. Dies lässt sich möglicherweise dadurch erklären, dass die jüngeren PA der hier untersuchten Dyaden fast ausschließlich Kinder/Schwiegerkinder, eher berufstätig und somit eher auf eine Betreuung angewiesen waren als die älteren PA, die zumeist Partner/-in des jeweiligen TP-Gastes waren. Dies passt auch zu dem Befund, dass eine TP weniger intensiv genutzt wurde, wenn der TP-Gast in einer Partnerschaft lebt.\nÜbereinstimmend mit der Literatur [9, 12, 13] zeigen auch die vorliegenden Ergebnisse, dass eine höhere Bildung der PA mit einer höheren Nutzungsintensität korreliert.\nErmöglichende Faktoren Der hier gefundene Zusammenhang von erhöhter Nutzung bei höherer Pflegestufe bestätigt sich in der Literatur nicht [4, 12]. Im System der Pflegestufen wurden die Kosten für die TP mit anderen Leistungen der Pflegekasse verrechnet. Diese Verrechnung wurde erst kurz vor Studienbeginn aufgegeben. Eine erhöhte Nutzungsintensität bei Vorliegen höherer Pflegestufen lässt sich somit nur eingeschränkt durch bessere Finanzierungsmöglichkeiten erklären – insbesondere für Dyaden, die die TP schon länger nutzten. Stattdessen wird dies als erhöhter Bedarf interpretiert. Allerdings kann nicht von einem linear steigenden Bedarf ausgegangen werden, da Personen mit höchster Pflegestufe der Besuch einer TP meist nicht mehr möglich ist. Dies zeigt sich auch darin, dass in der hier untersuchten Stichprobe nur 4 Personen die Pflegestufe 3 hatten.\nMit längerer bereits bestehender Nutzung stieg die Intensität der Nutzung der TP. Dies ist ein Hinweis darauf, dass die Nutzung von den PA und/oder den TP-Gästen nach einer Eingewöhnungsphase als positiv empfunden wird. Es scheint eine Anfangshürde zu geben, die zu Beginn eine niedrigere Nutzung mit sich bringt. Derzeit liegen dazu jedoch keine hinreichenden, wissenschaftlichen Erkenntnisse vor. Die beiden ermöglichenden Faktoren Pflegestufe und Nutzungsdauer zeigten sich sowohl in der Haupt- als auch in der Sensitivitätsanalyse als signifikante Prädiktoren, was für eine Belastbarkeit dieser Befunde spricht.\nDie Entfernung zur TP als signifikanter ermöglichender Faktor in der Substichprobe deckt sich mit Donath et al. und Phillipson et al. [8, 13] bezüglich der Nutzung/Nichtnutzung, jedoch nicht mit Kremer-Preiß [11]. Sind die PA selbst für die Organisation des Transportes zuständig, werden Fahrten mit größerer Entfernung zeitaufwendiger, schwieriger und im Fall von stark ausgeprägten psychischen und Verhaltenssymptomen bei den TP-Gästen anstrengender. Einige TP bieten einen Transport der TP-Gäste an. Diese Information wurde nicht erhoben, jedoch ist es plausibel, dass der Einfluss der Entfernung zur TP bei einem Transportangebot sinkt.\nDer hier gefundene Zusammenhang von erhöhter Nutzung bei höherer Pflegestufe bestätigt sich in der Literatur nicht [4, 12]. Im System der Pflegestufen wurden die Kosten für die TP mit anderen Leistungen der Pflegekasse verrechnet. Diese Verrechnung wurde erst kurz vor Studienbeginn aufgegeben. Eine erhöhte Nutzungsintensität bei Vorliegen höherer Pflegestufen lässt sich somit nur eingeschränkt durch bessere Finanzierungsmöglichkeiten erklären – insbesondere für Dyaden, die die TP schon länger nutzten. Stattdessen wird dies als erhöhter Bedarf interpretiert. Allerdings kann nicht von einem linear steigenden Bedarf ausgegangen werden, da Personen mit höchster Pflegestufe der Besuch einer TP meist nicht mehr möglich ist. Dies zeigt sich auch darin, dass in der hier untersuchten Stichprobe nur 4 Personen die Pflegestufe 3 hatten.\nMit längerer bereits bestehender Nutzung stieg die Intensität der Nutzung der TP. Dies ist ein Hinweis darauf, dass die Nutzung von den PA und/oder den TP-Gästen nach einer Eingewöhnungsphase als positiv empfunden wird. Es scheint eine Anfangshürde zu geben, die zu Beginn eine niedrigere Nutzung mit sich bringt. Derzeit liegen dazu jedoch keine hinreichenden, wissenschaftlichen Erkenntnisse vor. Die beiden ermöglichenden Faktoren Pflegestufe und Nutzungsdauer zeigten sich sowohl in der Haupt- als auch in der Sensitivitätsanalyse als signifikante Prädiktoren, was für eine Belastbarkeit dieser Befunde spricht.\nDie Entfernung zur TP als signifikanter ermöglichender Faktor in der Substichprobe deckt sich mit Donath et al. und Phillipson et al. [8, 13] bezüglich der Nutzung/Nichtnutzung, jedoch nicht mit Kremer-Preiß [11]. Sind die PA selbst für die Organisation des Transportes zuständig, werden Fahrten mit größerer Entfernung zeitaufwendiger, schwieriger und im Fall von stark ausgeprägten psychischen und Verhaltenssymptomen bei den TP-Gästen anstrengender. Einige TP bieten einen Transport der TP-Gäste an. Diese Information wurde nicht erhoben, jedoch ist es plausibel, dass der Einfluss der Entfernung zur TP bei einem Transportangebot sinkt.\nBedarfsfaktoren Die einzigen signifikanten Bedarfsfaktoren in der Hauptstichprobe waren psychische und Verhaltenssymptome. Bei zusammenwohnenden Dyaden zeigte sich dieser Zusammenhang nicht. Dies ist erstaunlich, da gerade die psychischen und Verhaltenssymptome das Zusammenleben stark belasten können [7]. Die von anderen Autoren [8, 12, 13] identifizierten Zusammenhänge von Tagespflegenutzung und Belastung der PA bzw. den Einschränkungen der TP-Gäste in kognitiven und alltagspraktischen Bereichen konnten in Bezug auf die Nutzungsintensität nicht gefunden werden. Allerdings wurden nur Dyaden in die Studie eingeschlossen, die die TP bereits nutzten. Es ist möglich, dass sich in dieser Studie Bedarfsfaktoren nicht hinreichend identifizieren ließen, da ein Bedarf bei allen Nutzern vorhanden und damit die Varianz diesbezüglich in der Stichprobe gering war. Somit wäre ein Zusammenhang zwischen Nutzungsintensität und Bedarf nicht abbildbar.\nDie einzigen signifikanten Bedarfsfaktoren in der Hauptstichprobe waren psychische und Verhaltenssymptome. Bei zusammenwohnenden Dyaden zeigte sich dieser Zusammenhang nicht. Dies ist erstaunlich, da gerade die psychischen und Verhaltenssymptome das Zusammenleben stark belasten können [7]. Die von anderen Autoren [8, 12, 13] identifizierten Zusammenhänge von Tagespflegenutzung und Belastung der PA bzw. den Einschränkungen der TP-Gäste in kognitiven und alltagspraktischen Bereichen konnten in Bezug auf die Nutzungsintensität nicht gefunden werden. Allerdings wurden nur Dyaden in die Studie eingeschlossen, die die TP bereits nutzten. Es ist möglich, dass sich in dieser Studie Bedarfsfaktoren nicht hinreichend identifizieren ließen, da ein Bedarf bei allen Nutzern vorhanden und damit die Varianz diesbezüglich in der Stichprobe gering war. Somit wäre ein Zusammenhang zwischen Nutzungsintensität und Bedarf nicht abbildbar.", "Bei Donath et al. und Lüdecke et al. [8, 12] war ein höheres Alter der PA mit der Nutzung von TP assoziiert. Die vorliegende Analyse zeigte bei zusammenlebenden Dyaden jedoch den gegenteiligen Zusammenhang. Dies lässt sich möglicherweise dadurch erklären, dass die jüngeren PA der hier untersuchten Dyaden fast ausschließlich Kinder/Schwiegerkinder, eher berufstätig und somit eher auf eine Betreuung angewiesen waren als die älteren PA, die zumeist Partner/-in des jeweiligen TP-Gastes waren. Dies passt auch zu dem Befund, dass eine TP weniger intensiv genutzt wurde, wenn der TP-Gast in einer Partnerschaft lebt.\nÜbereinstimmend mit der Literatur [9, 12, 13] zeigen auch die vorliegenden Ergebnisse, dass eine höhere Bildung der PA mit einer höheren Nutzungsintensität korreliert.", "Der hier gefundene Zusammenhang von erhöhter Nutzung bei höherer Pflegestufe bestätigt sich in der Literatur nicht [4, 12]. Im System der Pflegestufen wurden die Kosten für die TP mit anderen Leistungen der Pflegekasse verrechnet. Diese Verrechnung wurde erst kurz vor Studienbeginn aufgegeben. Eine erhöhte Nutzungsintensität bei Vorliegen höherer Pflegestufen lässt sich somit nur eingeschränkt durch bessere Finanzierungsmöglichkeiten erklären – insbesondere für Dyaden, die die TP schon länger nutzten. Stattdessen wird dies als erhöhter Bedarf interpretiert. Allerdings kann nicht von einem linear steigenden Bedarf ausgegangen werden, da Personen mit höchster Pflegestufe der Besuch einer TP meist nicht mehr möglich ist. Dies zeigt sich auch darin, dass in der hier untersuchten Stichprobe nur 4 Personen die Pflegestufe 3 hatten.\nMit längerer bereits bestehender Nutzung stieg die Intensität der Nutzung der TP. Dies ist ein Hinweis darauf, dass die Nutzung von den PA und/oder den TP-Gästen nach einer Eingewöhnungsphase als positiv empfunden wird. Es scheint eine Anfangshürde zu geben, die zu Beginn eine niedrigere Nutzung mit sich bringt. Derzeit liegen dazu jedoch keine hinreichenden, wissenschaftlichen Erkenntnisse vor. Die beiden ermöglichenden Faktoren Pflegestufe und Nutzungsdauer zeigten sich sowohl in der Haupt- als auch in der Sensitivitätsanalyse als signifikante Prädiktoren, was für eine Belastbarkeit dieser Befunde spricht.\nDie Entfernung zur TP als signifikanter ermöglichender Faktor in der Substichprobe deckt sich mit Donath et al. und Phillipson et al. [8, 13] bezüglich der Nutzung/Nichtnutzung, jedoch nicht mit Kremer-Preiß [11]. Sind die PA selbst für die Organisation des Transportes zuständig, werden Fahrten mit größerer Entfernung zeitaufwendiger, schwieriger und im Fall von stark ausgeprägten psychischen und Verhaltenssymptomen bei den TP-Gästen anstrengender. Einige TP bieten einen Transport der TP-Gäste an. Diese Information wurde nicht erhoben, jedoch ist es plausibel, dass der Einfluss der Entfernung zur TP bei einem Transportangebot sinkt.", "Die einzigen signifikanten Bedarfsfaktoren in der Hauptstichprobe waren psychische und Verhaltenssymptome. Bei zusammenwohnenden Dyaden zeigte sich dieser Zusammenhang nicht. Dies ist erstaunlich, da gerade die psychischen und Verhaltenssymptome das Zusammenleben stark belasten können [7]. Die von anderen Autoren [8, 12, 13] identifizierten Zusammenhänge von Tagespflegenutzung und Belastung der PA bzw. den Einschränkungen der TP-Gäste in kognitiven und alltagspraktischen Bereichen konnten in Bezug auf die Nutzungsintensität nicht gefunden werden. Allerdings wurden nur Dyaden in die Studie eingeschlossen, die die TP bereits nutzten. Es ist möglich, dass sich in dieser Studie Bedarfsfaktoren nicht hinreichend identifizieren ließen, da ein Bedarf bei allen Nutzern vorhanden und damit die Varianz diesbezüglich in der Stichprobe gering war. Somit wäre ein Zusammenhang zwischen Nutzungsintensität und Bedarf nicht abbildbar.", "Mit den verwendeten Daten können keine Rückschlüsse auf Nichtnutzende von TP gezogen werden, weil die Stichprobe nur aus Nutzenden von TP bestand. Es handelte sich außerdem um Querschnittsdaten, die keinen kausalen Schluss ermöglichen. Die Daten zu Wohnort sowie räumlicher und zeitlicher Entfernung zur TP konnten nur für einen Teil der Stichprobe erhoben werden. Da der Erhebungszeitpunkt der Daten vor der letzten Reform des Pflegeversicherungsgesetzes lag, waren die Leistungen für die Inanspruchnahme von TP in der vorliegenden Stichprobe deutlich eingeschränkter als gegenwärtig. Zieht man die aktuellen Leistungen für TP in Betracht, ist ein noch stärkerer Einfluss des Pflegegrades auf die Nutzungsintensität der TP anzunehmen, als hier festgestellt wurde. Einige Faktoren des Verhaltensmodells der Versorgungsinanspruchnahme wie Gesundheitspolitik, Umwelt oder Angebotsflexibilität sowie Gesundheitsüberzeugungen oder Genetik konnten auf Basis der verwendeten Daten nicht untersucht werden. Zukünftige Studien könnten diese sowie die Abhängigkeiten zwischen verschiedenen Faktoren in den Blick nehmen.", "\n\n" ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Hintergrund und Fragestellung", "Tagespflegen in Deutschland", "Nutzungsintensität von Tagespflegen: Rahmenkonzept", "Methodik", "Design", "Stichprobe", "Instrumente", "Statistische Analysen", "Ergebnisse", "Hauptanalyse", "Sensitivitätsanalyse", "Diskussion", "Prädisponierende Faktoren", "Ermöglichende Faktoren", "Bedarfsfaktoren", "Limitationen", "Fazit für die Praxis", "Supplementary Information", "" ]
[ "Tagespflegen in Deutschland Das Konzept der Tagespflege (TP) existiert in Deutschland seit 1973 [11] und ist durch §41 SGB XI als möglicher Bestandteil von Pflegeleistungen im Gesetz verankert [5]. Die Zahlen des Statistischen Bundesamtes zeigen, dass im Jahr 2019 82.639 Tagespflegeplätze in Deutschland zur Verfügung standen und 139.192 Pflegebedürftige dieses Angebot nutzten. Bei insgesamt 3,3 Mio. zu Hause lebenden Pflegebedürftigen besuchten somit ca. 4 % davon eine TP [15].\nDie TP zählt zu den bekanntesten formellen Hilfeleistungen. Laut einer Umfrage kannten 56,5 % der pflegenden Angehörigen die TP [10]. Bei einer Befragung von pflegenden Angehörigen einer Person mit Demenz war die TP die zweithäufigste genutzte Hilfeleistung [20].\nEin Review konnte zeigen, dass die Tagespflegenutzung für Personen mit Demenz eine Verbesserung des Schlafes und der Verhaltenssymptome und für ihre Angehörigen eine Verminderung der Pflegebelastung bedeuten kann [19]. Gleichzeitig war die Wahrscheinlichkeit eines Heimübertritts bei Nutzung einer TP signifikant erhöht, wenn keine anderen formellen Hilfeleistungen in Anspruch genommen wurden. Diese Ergebnisse konnten durch weitere, aktuelle Studien bestätigt werden [14, 16, 18].\nDas Konzept der Tagespflege (TP) existiert in Deutschland seit 1973 [11] und ist durch §41 SGB XI als möglicher Bestandteil von Pflegeleistungen im Gesetz verankert [5]. Die Zahlen des Statistischen Bundesamtes zeigen, dass im Jahr 2019 82.639 Tagespflegeplätze in Deutschland zur Verfügung standen und 139.192 Pflegebedürftige dieses Angebot nutzten. Bei insgesamt 3,3 Mio. zu Hause lebenden Pflegebedürftigen besuchten somit ca. 4 % davon eine TP [15].\nDie TP zählt zu den bekanntesten formellen Hilfeleistungen. Laut einer Umfrage kannten 56,5 % der pflegenden Angehörigen die TP [10]. Bei einer Befragung von pflegenden Angehörigen einer Person mit Demenz war die TP die zweithäufigste genutzte Hilfeleistung [20].\nEin Review konnte zeigen, dass die Tagespflegenutzung für Personen mit Demenz eine Verbesserung des Schlafes und der Verhaltenssymptome und für ihre Angehörigen eine Verminderung der Pflegebelastung bedeuten kann [19]. Gleichzeitig war die Wahrscheinlichkeit eines Heimübertritts bei Nutzung einer TP signifikant erhöht, wenn keine anderen formellen Hilfeleistungen in Anspruch genommen wurden. Diese Ergebnisse konnten durch weitere, aktuelle Studien bestätigt werden [14, 16, 18].\nNutzungsintensität von Tagespflegen: Rahmenkonzept Nach dem Verhaltensmodell der Versorgungsinanspruchnahme von Andersen et al. [1] bestimmen prädisponierende, ermöglichende und Bedarfsfaktoren die Nutzung eines Angebotes im Gesundheitssystem. Die Faktoren können dabei sowohl auf kontextueller Ebene, d. h. auf Ebene der Region, als auch auf individueller Ebene betrachtet werden. Prädisponierende Faktoren sind bestehende Merkmale einer Person bzw. Region, die eine mögliche Nutzung/Nichtnutzung beeinflussen. Die ermöglichenden Faktoren stellen Merkmale dar, die den Zugang zu Versorgungsangeboten begünstigen oder beeinträchtigen. Bedarfsfaktoren charakterisieren den Bedarf an Versorgung, der zu einer tatsächlichen Nutzung führt. In Abb. 1 sind die bisherigen Forschungsergebnisse zur Nutzung von TP abgebildet und in Bezug auf das Andersen-Modell [1] eingeordnet.\nBisher ist jedoch unklar, inwieweit diese Faktoren auch mit der Nutzungsintensität von TP bei Menschen mit kognitiven Beeinträchtigungen zusammenhängen. Daraus ergab sich die Forschungsfrage: „Welche Faktoren des Verhaltensmodells der Versorgungsinanspruchnahme nach Andersen sind signifikante Prädiktoren für die Intensität der Tagespflegenutzung bei zu Hause lebenden Personen mit leichter kognitiver Beeinträchtigung (MCI), leichter oder moderater Demenz?“\nNach dem Verhaltensmodell der Versorgungsinanspruchnahme von Andersen et al. [1] bestimmen prädisponierende, ermöglichende und Bedarfsfaktoren die Nutzung eines Angebotes im Gesundheitssystem. Die Faktoren können dabei sowohl auf kontextueller Ebene, d. h. auf Ebene der Region, als auch auf individueller Ebene betrachtet werden. Prädisponierende Faktoren sind bestehende Merkmale einer Person bzw. Region, die eine mögliche Nutzung/Nichtnutzung beeinflussen. Die ermöglichenden Faktoren stellen Merkmale dar, die den Zugang zu Versorgungsangeboten begünstigen oder beeinträchtigen. Bedarfsfaktoren charakterisieren den Bedarf an Versorgung, der zu einer tatsächlichen Nutzung führt. In Abb. 1 sind die bisherigen Forschungsergebnisse zur Nutzung von TP abgebildet und in Bezug auf das Andersen-Modell [1] eingeordnet.\nBisher ist jedoch unklar, inwieweit diese Faktoren auch mit der Nutzungsintensität von TP bei Menschen mit kognitiven Beeinträchtigungen zusammenhängen. Daraus ergab sich die Forschungsfrage: „Welche Faktoren des Verhaltensmodells der Versorgungsinanspruchnahme nach Andersen sind signifikante Prädiktoren für die Intensität der Tagespflegenutzung bei zu Hause lebenden Personen mit leichter kognitiver Beeinträchtigung (MCI), leichter oder moderater Demenz?“", "Das Konzept der Tagespflege (TP) existiert in Deutschland seit 1973 [11] und ist durch §41 SGB XI als möglicher Bestandteil von Pflegeleistungen im Gesetz verankert [5]. Die Zahlen des Statistischen Bundesamtes zeigen, dass im Jahr 2019 82.639 Tagespflegeplätze in Deutschland zur Verfügung standen und 139.192 Pflegebedürftige dieses Angebot nutzten. Bei insgesamt 3,3 Mio. zu Hause lebenden Pflegebedürftigen besuchten somit ca. 4 % davon eine TP [15].\nDie TP zählt zu den bekanntesten formellen Hilfeleistungen. Laut einer Umfrage kannten 56,5 % der pflegenden Angehörigen die TP [10]. Bei einer Befragung von pflegenden Angehörigen einer Person mit Demenz war die TP die zweithäufigste genutzte Hilfeleistung [20].\nEin Review konnte zeigen, dass die Tagespflegenutzung für Personen mit Demenz eine Verbesserung des Schlafes und der Verhaltenssymptome und für ihre Angehörigen eine Verminderung der Pflegebelastung bedeuten kann [19]. Gleichzeitig war die Wahrscheinlichkeit eines Heimübertritts bei Nutzung einer TP signifikant erhöht, wenn keine anderen formellen Hilfeleistungen in Anspruch genommen wurden. Diese Ergebnisse konnten durch weitere, aktuelle Studien bestätigt werden [14, 16, 18].", "Nach dem Verhaltensmodell der Versorgungsinanspruchnahme von Andersen et al. [1] bestimmen prädisponierende, ermöglichende und Bedarfsfaktoren die Nutzung eines Angebotes im Gesundheitssystem. Die Faktoren können dabei sowohl auf kontextueller Ebene, d. h. auf Ebene der Region, als auch auf individueller Ebene betrachtet werden. Prädisponierende Faktoren sind bestehende Merkmale einer Person bzw. Region, die eine mögliche Nutzung/Nichtnutzung beeinflussen. Die ermöglichenden Faktoren stellen Merkmale dar, die den Zugang zu Versorgungsangeboten begünstigen oder beeinträchtigen. Bedarfsfaktoren charakterisieren den Bedarf an Versorgung, der zu einer tatsächlichen Nutzung führt. In Abb. 1 sind die bisherigen Forschungsergebnisse zur Nutzung von TP abgebildet und in Bezug auf das Andersen-Modell [1] eingeordnet.\nBisher ist jedoch unklar, inwieweit diese Faktoren auch mit der Nutzungsintensität von TP bei Menschen mit kognitiven Beeinträchtigungen zusammenhängen. Daraus ergab sich die Forschungsfrage: „Welche Faktoren des Verhaltensmodells der Versorgungsinanspruchnahme nach Andersen sind signifikante Prädiktoren für die Intensität der Tagespflegenutzung bei zu Hause lebenden Personen mit leichter kognitiver Beeinträchtigung (MCI), leichter oder moderater Demenz?“", "Design Die verwendeten Daten stammen aus der Studie Demenz in der Tagespflege bei psychosozialer MAKS-Intervention (DeTaMAKS-Studie), einer deutschlandweiten clusterrandomisierten kontrollierten Studie in Tagespflegeeinrichtungen. Ziel der Studie war der Wirksamkeitsnachweis einer nichtmedikamentösen Gruppentherapie für kognitiv beeinträchtigte Personen (MCI, leichte oder moderate Demenz). Die Stichprobe bestand aus 453 Dyaden von Tagespflegegästen (TP-Gäste) und ihren pflegenden Angehörigen (PA). Alle TP-Gäste besuchten wenigstens für einen Tag/Woche eine TP. Informationen zu Studiendesign und -ablauf können dem Studienprotokoll entnommen werden [2]. Die Ergebnisse der primären Forschungshypothesen wurden bereits veröffentlicht [3, 8]. Die Ethikkommission der Friedrich-Alexander-Universität Erlangen-Nürnberg hat der Durchführung der Studie inkl. datenschutzrechtlicher Aspekte zugestimmt (Votums-Nr.: 170_14B). Die Einverständniserklärungen wurden von allen teilnehmenden TP-Gästen und PA bzw. deren gesetzlicher Vertretung eingeholt. Die erhobenen Daten wurden ausschließlich pseudonymisiert gespeichert und ausgewertet. Die Studie wurde bei ISCRTN registriert (10.1186/ISRCTN16412551).\nDie in diesem Beitrag verwendeten Querschnittsdaten stammen vom ersten Erhebungszeitpunkt vor dem Start der Therapie im April 2015.\nDie verwendeten Daten stammen aus der Studie Demenz in der Tagespflege bei psychosozialer MAKS-Intervention (DeTaMAKS-Studie), einer deutschlandweiten clusterrandomisierten kontrollierten Studie in Tagespflegeeinrichtungen. Ziel der Studie war der Wirksamkeitsnachweis einer nichtmedikamentösen Gruppentherapie für kognitiv beeinträchtigte Personen (MCI, leichte oder moderate Demenz). Die Stichprobe bestand aus 453 Dyaden von Tagespflegegästen (TP-Gäste) und ihren pflegenden Angehörigen (PA). Alle TP-Gäste besuchten wenigstens für einen Tag/Woche eine TP. Informationen zu Studiendesign und -ablauf können dem Studienprotokoll entnommen werden [2]. Die Ergebnisse der primären Forschungshypothesen wurden bereits veröffentlicht [3, 8]. Die Ethikkommission der Friedrich-Alexander-Universität Erlangen-Nürnberg hat der Durchführung der Studie inkl. datenschutzrechtlicher Aspekte zugestimmt (Votums-Nr.: 170_14B). Die Einverständniserklärungen wurden von allen teilnehmenden TP-Gästen und PA bzw. deren gesetzlicher Vertretung eingeholt. Die erhobenen Daten wurden ausschließlich pseudonymisiert gespeichert und ausgewertet. Die Studie wurde bei ISCRTN registriert (10.1186/ISRCTN16412551).\nDie in diesem Beitrag verwendeten Querschnittsdaten stammen vom ersten Erhebungszeitpunkt vor dem Start der Therapie im April 2015.\nStichprobe Von den 453 Dyaden, die an der DeTaMAKS-Studie teilnahmen, konnten die Daten von 449 Dyaden für die Hauptanalyse verwendet werden. (Bei 4 Dyaden fehlte die Angabe, wie häufig die TP genutzt wurde). Bestimmte ermöglichende Variablen (Entfernung und Fahrzeit zwischen Wohnung und TP, Regionstyp und Verstädterungsgrad der TP) lagen nur für zusammenlebende Dyaden vor. Daher wurde mit dieser Substichprobe (n = 275) eine Sensitivitätsanalyse durchgeführt.\nIm Zusatzmaterial online finden sich die Charakteristika der Hauptstichprobe (Tabelle T1) sowie der Substichprobe (Tabelle T2). Die 34 an der Studie teilnehmenden TP wurden aus dem gesamten Bundesgebiet rekrutiert und sind in Tabelle T3 beschrieben.\nVon den 453 Dyaden, die an der DeTaMAKS-Studie teilnahmen, konnten die Daten von 449 Dyaden für die Hauptanalyse verwendet werden. (Bei 4 Dyaden fehlte die Angabe, wie häufig die TP genutzt wurde). Bestimmte ermöglichende Variablen (Entfernung und Fahrzeit zwischen Wohnung und TP, Regionstyp und Verstädterungsgrad der TP) lagen nur für zusammenlebende Dyaden vor. Daher wurde mit dieser Substichprobe (n = 275) eine Sensitivitätsanalyse durchgeführt.\nIm Zusatzmaterial online finden sich die Charakteristika der Hauptstichprobe (Tabelle T1) sowie der Substichprobe (Tabelle T2). Die 34 an der Studie teilnehmenden TP wurden aus dem gesamten Bundesgebiet rekrutiert und sind in Tabelle T3 beschrieben.\nInstrumente Tabelle T4 gibt einen Überblick über die erfassten Variablen und genutzten Instrumente. Für eine genaue Beschreibung der verwendeten Instrumente: [2].\nTabelle T4 gibt einen Überblick über die erfassten Variablen und genutzten Instrumente. Für eine genaue Beschreibung der verwendeten Instrumente: [2].\nStatistische Analysen Die Besuchshäufigkeit der TP in Tagen/Woche stellte die abhängige Variable dar, dichotomisiert (angelehnt an Straubmeier et al. [17]) in Wenignutzung (1 bis 2 Tage/Woche) und Häufignutzung (3 bis 5 Tage/Woche).\nVor der statistischen Analyse wurden einzelne fehlende Werte in den unabhängigen Variablen mittels Regression imputiert. Die auszuwertende Hauptstichprobe umfasste 449 Fälle. Die Substichprobe umfasste 275 Fälle.\nDie statistische Analyse erfolgte für die Hauptanalyse sowie für die Sensitivitätsanalyse in den gleichen drei Schritten:I.Präanalyse: bivariater Vergleich – nichtadjustiertEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.II.Multikollinearitätsprüfung:Die unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].III.Finale Analyse: multivariates Modell – adjustierte AnalyseDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert.\nPräanalyse: bivariater Vergleich – nichtadjustiert\nEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.\nMultikollinearitätsprüfung:\nDie unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].\nFinale Analyse: multivariates Modell – adjustierte Analyse\nDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert.\nDie Besuchshäufigkeit der TP in Tagen/Woche stellte die abhängige Variable dar, dichotomisiert (angelehnt an Straubmeier et al. [17]) in Wenignutzung (1 bis 2 Tage/Woche) und Häufignutzung (3 bis 5 Tage/Woche).\nVor der statistischen Analyse wurden einzelne fehlende Werte in den unabhängigen Variablen mittels Regression imputiert. Die auszuwertende Hauptstichprobe umfasste 449 Fälle. Die Substichprobe umfasste 275 Fälle.\nDie statistische Analyse erfolgte für die Hauptanalyse sowie für die Sensitivitätsanalyse in den gleichen drei Schritten:I.Präanalyse: bivariater Vergleich – nichtadjustiertEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.II.Multikollinearitätsprüfung:Die unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].III.Finale Analyse: multivariates Modell – adjustierte AnalyseDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert.\nPräanalyse: bivariater Vergleich – nichtadjustiert\nEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.\nMultikollinearitätsprüfung:\nDie unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].\nFinale Analyse: multivariates Modell – adjustierte Analyse\nDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert.", "Die verwendeten Daten stammen aus der Studie Demenz in der Tagespflege bei psychosozialer MAKS-Intervention (DeTaMAKS-Studie), einer deutschlandweiten clusterrandomisierten kontrollierten Studie in Tagespflegeeinrichtungen. Ziel der Studie war der Wirksamkeitsnachweis einer nichtmedikamentösen Gruppentherapie für kognitiv beeinträchtigte Personen (MCI, leichte oder moderate Demenz). Die Stichprobe bestand aus 453 Dyaden von Tagespflegegästen (TP-Gäste) und ihren pflegenden Angehörigen (PA). Alle TP-Gäste besuchten wenigstens für einen Tag/Woche eine TP. Informationen zu Studiendesign und -ablauf können dem Studienprotokoll entnommen werden [2]. Die Ergebnisse der primären Forschungshypothesen wurden bereits veröffentlicht [3, 8]. Die Ethikkommission der Friedrich-Alexander-Universität Erlangen-Nürnberg hat der Durchführung der Studie inkl. datenschutzrechtlicher Aspekte zugestimmt (Votums-Nr.: 170_14B). Die Einverständniserklärungen wurden von allen teilnehmenden TP-Gästen und PA bzw. deren gesetzlicher Vertretung eingeholt. Die erhobenen Daten wurden ausschließlich pseudonymisiert gespeichert und ausgewertet. Die Studie wurde bei ISCRTN registriert (10.1186/ISRCTN16412551).\nDie in diesem Beitrag verwendeten Querschnittsdaten stammen vom ersten Erhebungszeitpunkt vor dem Start der Therapie im April 2015.", "Von den 453 Dyaden, die an der DeTaMAKS-Studie teilnahmen, konnten die Daten von 449 Dyaden für die Hauptanalyse verwendet werden. (Bei 4 Dyaden fehlte die Angabe, wie häufig die TP genutzt wurde). Bestimmte ermöglichende Variablen (Entfernung und Fahrzeit zwischen Wohnung und TP, Regionstyp und Verstädterungsgrad der TP) lagen nur für zusammenlebende Dyaden vor. Daher wurde mit dieser Substichprobe (n = 275) eine Sensitivitätsanalyse durchgeführt.\nIm Zusatzmaterial online finden sich die Charakteristika der Hauptstichprobe (Tabelle T1) sowie der Substichprobe (Tabelle T2). Die 34 an der Studie teilnehmenden TP wurden aus dem gesamten Bundesgebiet rekrutiert und sind in Tabelle T3 beschrieben.", "Tabelle T4 gibt einen Überblick über die erfassten Variablen und genutzten Instrumente. Für eine genaue Beschreibung der verwendeten Instrumente: [2].", "Die Besuchshäufigkeit der TP in Tagen/Woche stellte die abhängige Variable dar, dichotomisiert (angelehnt an Straubmeier et al. [17]) in Wenignutzung (1 bis 2 Tage/Woche) und Häufignutzung (3 bis 5 Tage/Woche).\nVor der statistischen Analyse wurden einzelne fehlende Werte in den unabhängigen Variablen mittels Regression imputiert. Die auszuwertende Hauptstichprobe umfasste 449 Fälle. Die Substichprobe umfasste 275 Fälle.\nDie statistische Analyse erfolgte für die Hauptanalyse sowie für die Sensitivitätsanalyse in den gleichen drei Schritten:I.Präanalyse: bivariater Vergleich – nichtadjustiertEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.II.Multikollinearitätsprüfung:Die unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].III.Finale Analyse: multivariates Modell – adjustierte AnalyseDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert.\nPräanalyse: bivariater Vergleich – nichtadjustiert\nEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.\nMultikollinearitätsprüfung:\nDie unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].\nFinale Analyse: multivariates Modell – adjustierte Analyse\nDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert.", "Hauptanalyse \nI.Ergebnisse der PräanalyseIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.Im Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.Ergebnisse der MultikollinearitätsprüfungEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.III.Finale AnalyseIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1Das finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %).\n\nErgebnisse der Präanalyse\nIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.\nIm Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.\nErgebnisse der Multikollinearitätsprüfung\nEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.\nFinale Analyse\nIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\nDurch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 Schritte\nUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige\n*p < 0,05, **p < 0,01\naDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0\nbDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\nDas finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %).\n\nI.Ergebnisse der PräanalyseIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.Im Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.Ergebnisse der MultikollinearitätsprüfungEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.III.Finale AnalyseIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1Das finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %).\n\nErgebnisse der Präanalyse\nIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.\nIm Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.\nErgebnisse der Multikollinearitätsprüfung\nEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.\nFinale Analyse\nIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\nDurch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 Schritte\nUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige\n*p < 0,05, **p < 0,01\naDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0\nbDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\nDas finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %).\nSensitivitätsanalyse In zusammenlebenden Dyaden waren die TP-Gäste im Vergleich zur Hauptstichprobe jünger (p = 0,05) und häufiger männlich (p = 0,05), ihre PA jedoch im Mittel älter (p = 0,001), seltener berufstätig (p = 0,05), stärker durch die Pflegesituation belastet (p = 0,001) und nahmen seltener ambulante Pflegedienste und Essen auf Rädern in Anspruch (jeweils p = 0,05).I.Ergebnisse der PräanalyseDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.Im Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.MultikollinearitätsprüfungBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.III.Finale AnalyseIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und WohnortDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.Eine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2.\nErgebnisse der Präanalyse\nDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.\nIm Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.\nMultikollinearitätsprüfung\nBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.\nFinale Analyse\nIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und Wohnort\nDurch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 Schritte\nUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige\n*p < 0,05, **p < 0,01\naDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0\nbDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\ncZwischen Tagespflege und Wohnort\nDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.\nEine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2.\nIn zusammenlebenden Dyaden waren die TP-Gäste im Vergleich zur Hauptstichprobe jünger (p = 0,05) und häufiger männlich (p = 0,05), ihre PA jedoch im Mittel älter (p = 0,001), seltener berufstätig (p = 0,05), stärker durch die Pflegesituation belastet (p = 0,001) und nahmen seltener ambulante Pflegedienste und Essen auf Rädern in Anspruch (jeweils p = 0,05).I.Ergebnisse der PräanalyseDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.Im Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.MultikollinearitätsprüfungBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.III.Finale AnalyseIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und WohnortDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.Eine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2.\nErgebnisse der Präanalyse\nDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.\nIm Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.\nMultikollinearitätsprüfung\nBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.\nFinale Analyse\nIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und Wohnort\nDurch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 Schritte\nUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige\n*p < 0,05, **p < 0,01\naDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0\nbDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\ncZwischen Tagespflege und Wohnort\nDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.\nEine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2.", "\nI.Ergebnisse der PräanalyseIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.Im Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.Ergebnisse der MultikollinearitätsprüfungEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.III.Finale AnalyseIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1Das finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %).\n\nErgebnisse der Präanalyse\nIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.\nIm Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.\nErgebnisse der Multikollinearitätsprüfung\nEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.\nFinale Analyse\nIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\nDurch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 Schritte\nUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige\n*p < 0,05, **p < 0,01\naDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0\nbDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\nDas finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %).", "In zusammenlebenden Dyaden waren die TP-Gäste im Vergleich zur Hauptstichprobe jünger (p = 0,05) und häufiger männlich (p = 0,05), ihre PA jedoch im Mittel älter (p = 0,001), seltener berufstätig (p = 0,05), stärker durch die Pflegesituation belastet (p = 0,001) und nahmen seltener ambulante Pflegedienste und Essen auf Rädern in Anspruch (jeweils p = 0,05).I.Ergebnisse der PräanalyseDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.Im Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.MultikollinearitätsprüfungBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.III.Finale AnalyseIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und WohnortDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.Eine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2.\nErgebnisse der Präanalyse\nDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.\nIm Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.\nMultikollinearitätsprüfung\nBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.\nFinale Analyse\nIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und Wohnort\nDurch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 Schritte\nUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige\n*p < 0,05, **p < 0,01\naDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0\nbDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1\ncZwischen Tagespflege und Wohnort\nDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.\nEine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2.", "Ziel der Analyse war es, Prädiktoren für die Nutzungsintensität von TP bei Personen mit kognitiver Beeinträchtigung und ihren PA zu finden. Dabei stellten sich der Familienstand des TP-Gastes, der Bildungsstand der PA, die Pflegestufe, die bisherige Dauer der Tagespflegenutzung, psychische und Verhaltenssymptome (NPI) sowie bei zusammenwohnenden Dyaden zusätzlich das Alter und der Familienstand der PA und die Entfernung zur TP als signifikante Prädiktoren heraus.\nPrädisponierende Faktoren Bei Donath et al. und Lüdecke et al. [8, 12] war ein höheres Alter der PA mit der Nutzung von TP assoziiert. Die vorliegende Analyse zeigte bei zusammenlebenden Dyaden jedoch den gegenteiligen Zusammenhang. Dies lässt sich möglicherweise dadurch erklären, dass die jüngeren PA der hier untersuchten Dyaden fast ausschließlich Kinder/Schwiegerkinder, eher berufstätig und somit eher auf eine Betreuung angewiesen waren als die älteren PA, die zumeist Partner/-in des jeweiligen TP-Gastes waren. Dies passt auch zu dem Befund, dass eine TP weniger intensiv genutzt wurde, wenn der TP-Gast in einer Partnerschaft lebt.\nÜbereinstimmend mit der Literatur [9, 12, 13] zeigen auch die vorliegenden Ergebnisse, dass eine höhere Bildung der PA mit einer höheren Nutzungsintensität korreliert.\nBei Donath et al. und Lüdecke et al. [8, 12] war ein höheres Alter der PA mit der Nutzung von TP assoziiert. Die vorliegende Analyse zeigte bei zusammenlebenden Dyaden jedoch den gegenteiligen Zusammenhang. Dies lässt sich möglicherweise dadurch erklären, dass die jüngeren PA der hier untersuchten Dyaden fast ausschließlich Kinder/Schwiegerkinder, eher berufstätig und somit eher auf eine Betreuung angewiesen waren als die älteren PA, die zumeist Partner/-in des jeweiligen TP-Gastes waren. Dies passt auch zu dem Befund, dass eine TP weniger intensiv genutzt wurde, wenn der TP-Gast in einer Partnerschaft lebt.\nÜbereinstimmend mit der Literatur [9, 12, 13] zeigen auch die vorliegenden Ergebnisse, dass eine höhere Bildung der PA mit einer höheren Nutzungsintensität korreliert.\nErmöglichende Faktoren Der hier gefundene Zusammenhang von erhöhter Nutzung bei höherer Pflegestufe bestätigt sich in der Literatur nicht [4, 12]. Im System der Pflegestufen wurden die Kosten für die TP mit anderen Leistungen der Pflegekasse verrechnet. Diese Verrechnung wurde erst kurz vor Studienbeginn aufgegeben. Eine erhöhte Nutzungsintensität bei Vorliegen höherer Pflegestufen lässt sich somit nur eingeschränkt durch bessere Finanzierungsmöglichkeiten erklären – insbesondere für Dyaden, die die TP schon länger nutzten. Stattdessen wird dies als erhöhter Bedarf interpretiert. Allerdings kann nicht von einem linear steigenden Bedarf ausgegangen werden, da Personen mit höchster Pflegestufe der Besuch einer TP meist nicht mehr möglich ist. Dies zeigt sich auch darin, dass in der hier untersuchten Stichprobe nur 4 Personen die Pflegestufe 3 hatten.\nMit längerer bereits bestehender Nutzung stieg die Intensität der Nutzung der TP. Dies ist ein Hinweis darauf, dass die Nutzung von den PA und/oder den TP-Gästen nach einer Eingewöhnungsphase als positiv empfunden wird. Es scheint eine Anfangshürde zu geben, die zu Beginn eine niedrigere Nutzung mit sich bringt. Derzeit liegen dazu jedoch keine hinreichenden, wissenschaftlichen Erkenntnisse vor. Die beiden ermöglichenden Faktoren Pflegestufe und Nutzungsdauer zeigten sich sowohl in der Haupt- als auch in der Sensitivitätsanalyse als signifikante Prädiktoren, was für eine Belastbarkeit dieser Befunde spricht.\nDie Entfernung zur TP als signifikanter ermöglichender Faktor in der Substichprobe deckt sich mit Donath et al. und Phillipson et al. [8, 13] bezüglich der Nutzung/Nichtnutzung, jedoch nicht mit Kremer-Preiß [11]. Sind die PA selbst für die Organisation des Transportes zuständig, werden Fahrten mit größerer Entfernung zeitaufwendiger, schwieriger und im Fall von stark ausgeprägten psychischen und Verhaltenssymptomen bei den TP-Gästen anstrengender. Einige TP bieten einen Transport der TP-Gäste an. Diese Information wurde nicht erhoben, jedoch ist es plausibel, dass der Einfluss der Entfernung zur TP bei einem Transportangebot sinkt.\nDer hier gefundene Zusammenhang von erhöhter Nutzung bei höherer Pflegestufe bestätigt sich in der Literatur nicht [4, 12]. Im System der Pflegestufen wurden die Kosten für die TP mit anderen Leistungen der Pflegekasse verrechnet. Diese Verrechnung wurde erst kurz vor Studienbeginn aufgegeben. Eine erhöhte Nutzungsintensität bei Vorliegen höherer Pflegestufen lässt sich somit nur eingeschränkt durch bessere Finanzierungsmöglichkeiten erklären – insbesondere für Dyaden, die die TP schon länger nutzten. Stattdessen wird dies als erhöhter Bedarf interpretiert. Allerdings kann nicht von einem linear steigenden Bedarf ausgegangen werden, da Personen mit höchster Pflegestufe der Besuch einer TP meist nicht mehr möglich ist. Dies zeigt sich auch darin, dass in der hier untersuchten Stichprobe nur 4 Personen die Pflegestufe 3 hatten.\nMit längerer bereits bestehender Nutzung stieg die Intensität der Nutzung der TP. Dies ist ein Hinweis darauf, dass die Nutzung von den PA und/oder den TP-Gästen nach einer Eingewöhnungsphase als positiv empfunden wird. Es scheint eine Anfangshürde zu geben, die zu Beginn eine niedrigere Nutzung mit sich bringt. Derzeit liegen dazu jedoch keine hinreichenden, wissenschaftlichen Erkenntnisse vor. Die beiden ermöglichenden Faktoren Pflegestufe und Nutzungsdauer zeigten sich sowohl in der Haupt- als auch in der Sensitivitätsanalyse als signifikante Prädiktoren, was für eine Belastbarkeit dieser Befunde spricht.\nDie Entfernung zur TP als signifikanter ermöglichender Faktor in der Substichprobe deckt sich mit Donath et al. und Phillipson et al. [8, 13] bezüglich der Nutzung/Nichtnutzung, jedoch nicht mit Kremer-Preiß [11]. Sind die PA selbst für die Organisation des Transportes zuständig, werden Fahrten mit größerer Entfernung zeitaufwendiger, schwieriger und im Fall von stark ausgeprägten psychischen und Verhaltenssymptomen bei den TP-Gästen anstrengender. Einige TP bieten einen Transport der TP-Gäste an. Diese Information wurde nicht erhoben, jedoch ist es plausibel, dass der Einfluss der Entfernung zur TP bei einem Transportangebot sinkt.\nBedarfsfaktoren Die einzigen signifikanten Bedarfsfaktoren in der Hauptstichprobe waren psychische und Verhaltenssymptome. Bei zusammenwohnenden Dyaden zeigte sich dieser Zusammenhang nicht. Dies ist erstaunlich, da gerade die psychischen und Verhaltenssymptome das Zusammenleben stark belasten können [7]. Die von anderen Autoren [8, 12, 13] identifizierten Zusammenhänge von Tagespflegenutzung und Belastung der PA bzw. den Einschränkungen der TP-Gäste in kognitiven und alltagspraktischen Bereichen konnten in Bezug auf die Nutzungsintensität nicht gefunden werden. Allerdings wurden nur Dyaden in die Studie eingeschlossen, die die TP bereits nutzten. Es ist möglich, dass sich in dieser Studie Bedarfsfaktoren nicht hinreichend identifizieren ließen, da ein Bedarf bei allen Nutzern vorhanden und damit die Varianz diesbezüglich in der Stichprobe gering war. Somit wäre ein Zusammenhang zwischen Nutzungsintensität und Bedarf nicht abbildbar.\nDie einzigen signifikanten Bedarfsfaktoren in der Hauptstichprobe waren psychische und Verhaltenssymptome. Bei zusammenwohnenden Dyaden zeigte sich dieser Zusammenhang nicht. Dies ist erstaunlich, da gerade die psychischen und Verhaltenssymptome das Zusammenleben stark belasten können [7]. Die von anderen Autoren [8, 12, 13] identifizierten Zusammenhänge von Tagespflegenutzung und Belastung der PA bzw. den Einschränkungen der TP-Gäste in kognitiven und alltagspraktischen Bereichen konnten in Bezug auf die Nutzungsintensität nicht gefunden werden. Allerdings wurden nur Dyaden in die Studie eingeschlossen, die die TP bereits nutzten. Es ist möglich, dass sich in dieser Studie Bedarfsfaktoren nicht hinreichend identifizieren ließen, da ein Bedarf bei allen Nutzern vorhanden und damit die Varianz diesbezüglich in der Stichprobe gering war. Somit wäre ein Zusammenhang zwischen Nutzungsintensität und Bedarf nicht abbildbar.", "Bei Donath et al. und Lüdecke et al. [8, 12] war ein höheres Alter der PA mit der Nutzung von TP assoziiert. Die vorliegende Analyse zeigte bei zusammenlebenden Dyaden jedoch den gegenteiligen Zusammenhang. Dies lässt sich möglicherweise dadurch erklären, dass die jüngeren PA der hier untersuchten Dyaden fast ausschließlich Kinder/Schwiegerkinder, eher berufstätig und somit eher auf eine Betreuung angewiesen waren als die älteren PA, die zumeist Partner/-in des jeweiligen TP-Gastes waren. Dies passt auch zu dem Befund, dass eine TP weniger intensiv genutzt wurde, wenn der TP-Gast in einer Partnerschaft lebt.\nÜbereinstimmend mit der Literatur [9, 12, 13] zeigen auch die vorliegenden Ergebnisse, dass eine höhere Bildung der PA mit einer höheren Nutzungsintensität korreliert.", "Der hier gefundene Zusammenhang von erhöhter Nutzung bei höherer Pflegestufe bestätigt sich in der Literatur nicht [4, 12]. Im System der Pflegestufen wurden die Kosten für die TP mit anderen Leistungen der Pflegekasse verrechnet. Diese Verrechnung wurde erst kurz vor Studienbeginn aufgegeben. Eine erhöhte Nutzungsintensität bei Vorliegen höherer Pflegestufen lässt sich somit nur eingeschränkt durch bessere Finanzierungsmöglichkeiten erklären – insbesondere für Dyaden, die die TP schon länger nutzten. Stattdessen wird dies als erhöhter Bedarf interpretiert. Allerdings kann nicht von einem linear steigenden Bedarf ausgegangen werden, da Personen mit höchster Pflegestufe der Besuch einer TP meist nicht mehr möglich ist. Dies zeigt sich auch darin, dass in der hier untersuchten Stichprobe nur 4 Personen die Pflegestufe 3 hatten.\nMit längerer bereits bestehender Nutzung stieg die Intensität der Nutzung der TP. Dies ist ein Hinweis darauf, dass die Nutzung von den PA und/oder den TP-Gästen nach einer Eingewöhnungsphase als positiv empfunden wird. Es scheint eine Anfangshürde zu geben, die zu Beginn eine niedrigere Nutzung mit sich bringt. Derzeit liegen dazu jedoch keine hinreichenden, wissenschaftlichen Erkenntnisse vor. Die beiden ermöglichenden Faktoren Pflegestufe und Nutzungsdauer zeigten sich sowohl in der Haupt- als auch in der Sensitivitätsanalyse als signifikante Prädiktoren, was für eine Belastbarkeit dieser Befunde spricht.\nDie Entfernung zur TP als signifikanter ermöglichender Faktor in der Substichprobe deckt sich mit Donath et al. und Phillipson et al. [8, 13] bezüglich der Nutzung/Nichtnutzung, jedoch nicht mit Kremer-Preiß [11]. Sind die PA selbst für die Organisation des Transportes zuständig, werden Fahrten mit größerer Entfernung zeitaufwendiger, schwieriger und im Fall von stark ausgeprägten psychischen und Verhaltenssymptomen bei den TP-Gästen anstrengender. Einige TP bieten einen Transport der TP-Gäste an. Diese Information wurde nicht erhoben, jedoch ist es plausibel, dass der Einfluss der Entfernung zur TP bei einem Transportangebot sinkt.", "Die einzigen signifikanten Bedarfsfaktoren in der Hauptstichprobe waren psychische und Verhaltenssymptome. Bei zusammenwohnenden Dyaden zeigte sich dieser Zusammenhang nicht. Dies ist erstaunlich, da gerade die psychischen und Verhaltenssymptome das Zusammenleben stark belasten können [7]. Die von anderen Autoren [8, 12, 13] identifizierten Zusammenhänge von Tagespflegenutzung und Belastung der PA bzw. den Einschränkungen der TP-Gäste in kognitiven und alltagspraktischen Bereichen konnten in Bezug auf die Nutzungsintensität nicht gefunden werden. Allerdings wurden nur Dyaden in die Studie eingeschlossen, die die TP bereits nutzten. Es ist möglich, dass sich in dieser Studie Bedarfsfaktoren nicht hinreichend identifizieren ließen, da ein Bedarf bei allen Nutzern vorhanden und damit die Varianz diesbezüglich in der Stichprobe gering war. Somit wäre ein Zusammenhang zwischen Nutzungsintensität und Bedarf nicht abbildbar.", "Mit den verwendeten Daten können keine Rückschlüsse auf Nichtnutzende von TP gezogen werden, weil die Stichprobe nur aus Nutzenden von TP bestand. Es handelte sich außerdem um Querschnittsdaten, die keinen kausalen Schluss ermöglichen. Die Daten zu Wohnort sowie räumlicher und zeitlicher Entfernung zur TP konnten nur für einen Teil der Stichprobe erhoben werden. Da der Erhebungszeitpunkt der Daten vor der letzten Reform des Pflegeversicherungsgesetzes lag, waren die Leistungen für die Inanspruchnahme von TP in der vorliegenden Stichprobe deutlich eingeschränkter als gegenwärtig. Zieht man die aktuellen Leistungen für TP in Betracht, ist ein noch stärkerer Einfluss des Pflegegrades auf die Nutzungsintensität der TP anzunehmen, als hier festgestellt wurde. Einige Faktoren des Verhaltensmodells der Versorgungsinanspruchnahme wie Gesundheitspolitik, Umwelt oder Angebotsflexibilität sowie Gesundheitsüberzeugungen oder Genetik konnten auf Basis der verwendeten Daten nicht untersucht werden. Zukünftige Studien könnten diese sowie die Abhängigkeiten zwischen verschiedenen Faktoren in den Blick nehmen.", "\nDer Bedarf an Betreuung und Förderung durch Tagespflegen ist vorhanden und steigt mit zunehmender Pflegebedürftigkeit.Der Bedarf wird in Zukunft durch die verbreitete Berufstätigkeit aller Bevölkerungsgruppen und Lebensformen außerhalb von festen Partnerschaften eher zunehmen.Die Entfernung der Tagespflege ist ein signifikanter Prädiktor für die Nutzungsintensität. Um die Nutzung zu erhöhen, müssten Tagespflegen für potenzielle Nutzende schnell erreichbar sein.Pflegende Angehörige und Menschen mit kognitiven Beeinträchtigungen sollten die Möglichkeit bekommen, das Angebot zunächst probeweise kennenzulernen. Als Erleichterung des „Einstiegs“ könnten Einrichtungen eine „Testwoche“/einen „Testmonat“ anbieten. Auch flexible Nutzungskonzepte mit z. B. Zeitkontingenten könnten eine nachfolgend stärkere Nutzungsintensität fördern.\n\nDer Bedarf an Betreuung und Förderung durch Tagespflegen ist vorhanden und steigt mit zunehmender Pflegebedürftigkeit.\nDer Bedarf wird in Zukunft durch die verbreitete Berufstätigkeit aller Bevölkerungsgruppen und Lebensformen außerhalb von festen Partnerschaften eher zunehmen.\nDie Entfernung der Tagespflege ist ein signifikanter Prädiktor für die Nutzungsintensität. Um die Nutzung zu erhöhen, müssten Tagespflegen für potenzielle Nutzende schnell erreichbar sein.\nPflegende Angehörige und Menschen mit kognitiven Beeinträchtigungen sollten die Möglichkeit bekommen, das Angebot zunächst probeweise kennenzulernen. Als Erleichterung des „Einstiegs“ könnten Einrichtungen eine „Testwoche“/einen „Testmonat“ anbieten. Auch flexible Nutzungskonzepte mit z. B. Zeitkontingenten könnten eine nachfolgend stärkere Nutzungsintensität fördern.", " \n\n\n\n\n", "\n\n" ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, null, "conclusion", "supplementary-material", null ]
[ "Modell der Versorgungsinanspruchnahme", "Demenz", "MCI", "Pflegende Angehörige", "Regression", "Healthcare utilization model", "Dementia", "Cognitive dysfunction", "Family caregivers", "Regression" ]
Hintergrund und Fragestellung: Tagespflegen in Deutschland Das Konzept der Tagespflege (TP) existiert in Deutschland seit 1973 [11] und ist durch §41 SGB XI als möglicher Bestandteil von Pflegeleistungen im Gesetz verankert [5]. Die Zahlen des Statistischen Bundesamtes zeigen, dass im Jahr 2019 82.639 Tagespflegeplätze in Deutschland zur Verfügung standen und 139.192 Pflegebedürftige dieses Angebot nutzten. Bei insgesamt 3,3 Mio. zu Hause lebenden Pflegebedürftigen besuchten somit ca. 4 % davon eine TP [15]. Die TP zählt zu den bekanntesten formellen Hilfeleistungen. Laut einer Umfrage kannten 56,5 % der pflegenden Angehörigen die TP [10]. Bei einer Befragung von pflegenden Angehörigen einer Person mit Demenz war die TP die zweithäufigste genutzte Hilfeleistung [20]. Ein Review konnte zeigen, dass die Tagespflegenutzung für Personen mit Demenz eine Verbesserung des Schlafes und der Verhaltenssymptome und für ihre Angehörigen eine Verminderung der Pflegebelastung bedeuten kann [19]. Gleichzeitig war die Wahrscheinlichkeit eines Heimübertritts bei Nutzung einer TP signifikant erhöht, wenn keine anderen formellen Hilfeleistungen in Anspruch genommen wurden. Diese Ergebnisse konnten durch weitere, aktuelle Studien bestätigt werden [14, 16, 18]. Das Konzept der Tagespflege (TP) existiert in Deutschland seit 1973 [11] und ist durch §41 SGB XI als möglicher Bestandteil von Pflegeleistungen im Gesetz verankert [5]. Die Zahlen des Statistischen Bundesamtes zeigen, dass im Jahr 2019 82.639 Tagespflegeplätze in Deutschland zur Verfügung standen und 139.192 Pflegebedürftige dieses Angebot nutzten. Bei insgesamt 3,3 Mio. zu Hause lebenden Pflegebedürftigen besuchten somit ca. 4 % davon eine TP [15]. Die TP zählt zu den bekanntesten formellen Hilfeleistungen. Laut einer Umfrage kannten 56,5 % der pflegenden Angehörigen die TP [10]. Bei einer Befragung von pflegenden Angehörigen einer Person mit Demenz war die TP die zweithäufigste genutzte Hilfeleistung [20]. Ein Review konnte zeigen, dass die Tagespflegenutzung für Personen mit Demenz eine Verbesserung des Schlafes und der Verhaltenssymptome und für ihre Angehörigen eine Verminderung der Pflegebelastung bedeuten kann [19]. Gleichzeitig war die Wahrscheinlichkeit eines Heimübertritts bei Nutzung einer TP signifikant erhöht, wenn keine anderen formellen Hilfeleistungen in Anspruch genommen wurden. Diese Ergebnisse konnten durch weitere, aktuelle Studien bestätigt werden [14, 16, 18]. Nutzungsintensität von Tagespflegen: Rahmenkonzept Nach dem Verhaltensmodell der Versorgungsinanspruchnahme von Andersen et al. [1] bestimmen prädisponierende, ermöglichende und Bedarfsfaktoren die Nutzung eines Angebotes im Gesundheitssystem. Die Faktoren können dabei sowohl auf kontextueller Ebene, d. h. auf Ebene der Region, als auch auf individueller Ebene betrachtet werden. Prädisponierende Faktoren sind bestehende Merkmale einer Person bzw. Region, die eine mögliche Nutzung/Nichtnutzung beeinflussen. Die ermöglichenden Faktoren stellen Merkmale dar, die den Zugang zu Versorgungsangeboten begünstigen oder beeinträchtigen. Bedarfsfaktoren charakterisieren den Bedarf an Versorgung, der zu einer tatsächlichen Nutzung führt. In Abb. 1 sind die bisherigen Forschungsergebnisse zur Nutzung von TP abgebildet und in Bezug auf das Andersen-Modell [1] eingeordnet. Bisher ist jedoch unklar, inwieweit diese Faktoren auch mit der Nutzungsintensität von TP bei Menschen mit kognitiven Beeinträchtigungen zusammenhängen. Daraus ergab sich die Forschungsfrage: „Welche Faktoren des Verhaltensmodells der Versorgungsinanspruchnahme nach Andersen sind signifikante Prädiktoren für die Intensität der Tagespflegenutzung bei zu Hause lebenden Personen mit leichter kognitiver Beeinträchtigung (MCI), leichter oder moderater Demenz?“ Nach dem Verhaltensmodell der Versorgungsinanspruchnahme von Andersen et al. [1] bestimmen prädisponierende, ermöglichende und Bedarfsfaktoren die Nutzung eines Angebotes im Gesundheitssystem. Die Faktoren können dabei sowohl auf kontextueller Ebene, d. h. auf Ebene der Region, als auch auf individueller Ebene betrachtet werden. Prädisponierende Faktoren sind bestehende Merkmale einer Person bzw. Region, die eine mögliche Nutzung/Nichtnutzung beeinflussen. Die ermöglichenden Faktoren stellen Merkmale dar, die den Zugang zu Versorgungsangeboten begünstigen oder beeinträchtigen. Bedarfsfaktoren charakterisieren den Bedarf an Versorgung, der zu einer tatsächlichen Nutzung führt. In Abb. 1 sind die bisherigen Forschungsergebnisse zur Nutzung von TP abgebildet und in Bezug auf das Andersen-Modell [1] eingeordnet. Bisher ist jedoch unklar, inwieweit diese Faktoren auch mit der Nutzungsintensität von TP bei Menschen mit kognitiven Beeinträchtigungen zusammenhängen. Daraus ergab sich die Forschungsfrage: „Welche Faktoren des Verhaltensmodells der Versorgungsinanspruchnahme nach Andersen sind signifikante Prädiktoren für die Intensität der Tagespflegenutzung bei zu Hause lebenden Personen mit leichter kognitiver Beeinträchtigung (MCI), leichter oder moderater Demenz?“ Tagespflegen in Deutschland: Das Konzept der Tagespflege (TP) existiert in Deutschland seit 1973 [11] und ist durch §41 SGB XI als möglicher Bestandteil von Pflegeleistungen im Gesetz verankert [5]. Die Zahlen des Statistischen Bundesamtes zeigen, dass im Jahr 2019 82.639 Tagespflegeplätze in Deutschland zur Verfügung standen und 139.192 Pflegebedürftige dieses Angebot nutzten. Bei insgesamt 3,3 Mio. zu Hause lebenden Pflegebedürftigen besuchten somit ca. 4 % davon eine TP [15]. Die TP zählt zu den bekanntesten formellen Hilfeleistungen. Laut einer Umfrage kannten 56,5 % der pflegenden Angehörigen die TP [10]. Bei einer Befragung von pflegenden Angehörigen einer Person mit Demenz war die TP die zweithäufigste genutzte Hilfeleistung [20]. Ein Review konnte zeigen, dass die Tagespflegenutzung für Personen mit Demenz eine Verbesserung des Schlafes und der Verhaltenssymptome und für ihre Angehörigen eine Verminderung der Pflegebelastung bedeuten kann [19]. Gleichzeitig war die Wahrscheinlichkeit eines Heimübertritts bei Nutzung einer TP signifikant erhöht, wenn keine anderen formellen Hilfeleistungen in Anspruch genommen wurden. Diese Ergebnisse konnten durch weitere, aktuelle Studien bestätigt werden [14, 16, 18]. Nutzungsintensität von Tagespflegen: Rahmenkonzept: Nach dem Verhaltensmodell der Versorgungsinanspruchnahme von Andersen et al. [1] bestimmen prädisponierende, ermöglichende und Bedarfsfaktoren die Nutzung eines Angebotes im Gesundheitssystem. Die Faktoren können dabei sowohl auf kontextueller Ebene, d. h. auf Ebene der Region, als auch auf individueller Ebene betrachtet werden. Prädisponierende Faktoren sind bestehende Merkmale einer Person bzw. Region, die eine mögliche Nutzung/Nichtnutzung beeinflussen. Die ermöglichenden Faktoren stellen Merkmale dar, die den Zugang zu Versorgungsangeboten begünstigen oder beeinträchtigen. Bedarfsfaktoren charakterisieren den Bedarf an Versorgung, der zu einer tatsächlichen Nutzung führt. In Abb. 1 sind die bisherigen Forschungsergebnisse zur Nutzung von TP abgebildet und in Bezug auf das Andersen-Modell [1] eingeordnet. Bisher ist jedoch unklar, inwieweit diese Faktoren auch mit der Nutzungsintensität von TP bei Menschen mit kognitiven Beeinträchtigungen zusammenhängen. Daraus ergab sich die Forschungsfrage: „Welche Faktoren des Verhaltensmodells der Versorgungsinanspruchnahme nach Andersen sind signifikante Prädiktoren für die Intensität der Tagespflegenutzung bei zu Hause lebenden Personen mit leichter kognitiver Beeinträchtigung (MCI), leichter oder moderater Demenz?“ Methodik: Design Die verwendeten Daten stammen aus der Studie Demenz in der Tagespflege bei psychosozialer MAKS-Intervention (DeTaMAKS-Studie), einer deutschlandweiten clusterrandomisierten kontrollierten Studie in Tagespflegeeinrichtungen. Ziel der Studie war der Wirksamkeitsnachweis einer nichtmedikamentösen Gruppentherapie für kognitiv beeinträchtigte Personen (MCI, leichte oder moderate Demenz). Die Stichprobe bestand aus 453 Dyaden von Tagespflegegästen (TP-Gäste) und ihren pflegenden Angehörigen (PA). Alle TP-Gäste besuchten wenigstens für einen Tag/Woche eine TP. Informationen zu Studiendesign und -ablauf können dem Studienprotokoll entnommen werden [2]. Die Ergebnisse der primären Forschungshypothesen wurden bereits veröffentlicht [3, 8]. Die Ethikkommission der Friedrich-Alexander-Universität Erlangen-Nürnberg hat der Durchführung der Studie inkl. datenschutzrechtlicher Aspekte zugestimmt (Votums-Nr.: 170_14B). Die Einverständniserklärungen wurden von allen teilnehmenden TP-Gästen und PA bzw. deren gesetzlicher Vertretung eingeholt. Die erhobenen Daten wurden ausschließlich pseudonymisiert gespeichert und ausgewertet. Die Studie wurde bei ISCRTN registriert (10.1186/ISRCTN16412551). Die in diesem Beitrag verwendeten Querschnittsdaten stammen vom ersten Erhebungszeitpunkt vor dem Start der Therapie im April 2015. Die verwendeten Daten stammen aus der Studie Demenz in der Tagespflege bei psychosozialer MAKS-Intervention (DeTaMAKS-Studie), einer deutschlandweiten clusterrandomisierten kontrollierten Studie in Tagespflegeeinrichtungen. Ziel der Studie war der Wirksamkeitsnachweis einer nichtmedikamentösen Gruppentherapie für kognitiv beeinträchtigte Personen (MCI, leichte oder moderate Demenz). Die Stichprobe bestand aus 453 Dyaden von Tagespflegegästen (TP-Gäste) und ihren pflegenden Angehörigen (PA). Alle TP-Gäste besuchten wenigstens für einen Tag/Woche eine TP. Informationen zu Studiendesign und -ablauf können dem Studienprotokoll entnommen werden [2]. Die Ergebnisse der primären Forschungshypothesen wurden bereits veröffentlicht [3, 8]. Die Ethikkommission der Friedrich-Alexander-Universität Erlangen-Nürnberg hat der Durchführung der Studie inkl. datenschutzrechtlicher Aspekte zugestimmt (Votums-Nr.: 170_14B). Die Einverständniserklärungen wurden von allen teilnehmenden TP-Gästen und PA bzw. deren gesetzlicher Vertretung eingeholt. Die erhobenen Daten wurden ausschließlich pseudonymisiert gespeichert und ausgewertet. Die Studie wurde bei ISCRTN registriert (10.1186/ISRCTN16412551). Die in diesem Beitrag verwendeten Querschnittsdaten stammen vom ersten Erhebungszeitpunkt vor dem Start der Therapie im April 2015. Stichprobe Von den 453 Dyaden, die an der DeTaMAKS-Studie teilnahmen, konnten die Daten von 449 Dyaden für die Hauptanalyse verwendet werden. (Bei 4 Dyaden fehlte die Angabe, wie häufig die TP genutzt wurde). Bestimmte ermöglichende Variablen (Entfernung und Fahrzeit zwischen Wohnung und TP, Regionstyp und Verstädterungsgrad der TP) lagen nur für zusammenlebende Dyaden vor. Daher wurde mit dieser Substichprobe (n = 275) eine Sensitivitätsanalyse durchgeführt. Im Zusatzmaterial online finden sich die Charakteristika der Hauptstichprobe (Tabelle T1) sowie der Substichprobe (Tabelle T2). Die 34 an der Studie teilnehmenden TP wurden aus dem gesamten Bundesgebiet rekrutiert und sind in Tabelle T3 beschrieben. Von den 453 Dyaden, die an der DeTaMAKS-Studie teilnahmen, konnten die Daten von 449 Dyaden für die Hauptanalyse verwendet werden. (Bei 4 Dyaden fehlte die Angabe, wie häufig die TP genutzt wurde). Bestimmte ermöglichende Variablen (Entfernung und Fahrzeit zwischen Wohnung und TP, Regionstyp und Verstädterungsgrad der TP) lagen nur für zusammenlebende Dyaden vor. Daher wurde mit dieser Substichprobe (n = 275) eine Sensitivitätsanalyse durchgeführt. Im Zusatzmaterial online finden sich die Charakteristika der Hauptstichprobe (Tabelle T1) sowie der Substichprobe (Tabelle T2). Die 34 an der Studie teilnehmenden TP wurden aus dem gesamten Bundesgebiet rekrutiert und sind in Tabelle T3 beschrieben. Instrumente Tabelle T4 gibt einen Überblick über die erfassten Variablen und genutzten Instrumente. Für eine genaue Beschreibung der verwendeten Instrumente: [2]. Tabelle T4 gibt einen Überblick über die erfassten Variablen und genutzten Instrumente. Für eine genaue Beschreibung der verwendeten Instrumente: [2]. Statistische Analysen Die Besuchshäufigkeit der TP in Tagen/Woche stellte die abhängige Variable dar, dichotomisiert (angelehnt an Straubmeier et al. [17]) in Wenignutzung (1 bis 2 Tage/Woche) und Häufignutzung (3 bis 5 Tage/Woche). Vor der statistischen Analyse wurden einzelne fehlende Werte in den unabhängigen Variablen mittels Regression imputiert. Die auszuwertende Hauptstichprobe umfasste 449 Fälle. Die Substichprobe umfasste 275 Fälle. Die statistische Analyse erfolgte für die Hauptanalyse sowie für die Sensitivitätsanalyse in den gleichen drei Schritten:I.Präanalyse: bivariater Vergleich – nichtadjustiertEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.II.Multikollinearitätsprüfung:Die unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].III.Finale Analyse: multivariates Modell – adjustierte AnalyseDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert. Präanalyse: bivariater Vergleich – nichtadjustiert Es wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet. Multikollinearitätsprüfung: Die unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6]. Finale Analyse: multivariates Modell – adjustierte Analyse Die nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert. Die Besuchshäufigkeit der TP in Tagen/Woche stellte die abhängige Variable dar, dichotomisiert (angelehnt an Straubmeier et al. [17]) in Wenignutzung (1 bis 2 Tage/Woche) und Häufignutzung (3 bis 5 Tage/Woche). Vor der statistischen Analyse wurden einzelne fehlende Werte in den unabhängigen Variablen mittels Regression imputiert. Die auszuwertende Hauptstichprobe umfasste 449 Fälle. Die Substichprobe umfasste 275 Fälle. Die statistische Analyse erfolgte für die Hauptanalyse sowie für die Sensitivitätsanalyse in den gleichen drei Schritten:I.Präanalyse: bivariater Vergleich – nichtadjustiertEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.II.Multikollinearitätsprüfung:Die unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].III.Finale Analyse: multivariates Modell – adjustierte AnalyseDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert. Präanalyse: bivariater Vergleich – nichtadjustiert Es wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet. Multikollinearitätsprüfung: Die unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6]. Finale Analyse: multivariates Modell – adjustierte Analyse Die nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert. Design: Die verwendeten Daten stammen aus der Studie Demenz in der Tagespflege bei psychosozialer MAKS-Intervention (DeTaMAKS-Studie), einer deutschlandweiten clusterrandomisierten kontrollierten Studie in Tagespflegeeinrichtungen. Ziel der Studie war der Wirksamkeitsnachweis einer nichtmedikamentösen Gruppentherapie für kognitiv beeinträchtigte Personen (MCI, leichte oder moderate Demenz). Die Stichprobe bestand aus 453 Dyaden von Tagespflegegästen (TP-Gäste) und ihren pflegenden Angehörigen (PA). Alle TP-Gäste besuchten wenigstens für einen Tag/Woche eine TP. Informationen zu Studiendesign und -ablauf können dem Studienprotokoll entnommen werden [2]. Die Ergebnisse der primären Forschungshypothesen wurden bereits veröffentlicht [3, 8]. Die Ethikkommission der Friedrich-Alexander-Universität Erlangen-Nürnberg hat der Durchführung der Studie inkl. datenschutzrechtlicher Aspekte zugestimmt (Votums-Nr.: 170_14B). Die Einverständniserklärungen wurden von allen teilnehmenden TP-Gästen und PA bzw. deren gesetzlicher Vertretung eingeholt. Die erhobenen Daten wurden ausschließlich pseudonymisiert gespeichert und ausgewertet. Die Studie wurde bei ISCRTN registriert (10.1186/ISRCTN16412551). Die in diesem Beitrag verwendeten Querschnittsdaten stammen vom ersten Erhebungszeitpunkt vor dem Start der Therapie im April 2015. Stichprobe: Von den 453 Dyaden, die an der DeTaMAKS-Studie teilnahmen, konnten die Daten von 449 Dyaden für die Hauptanalyse verwendet werden. (Bei 4 Dyaden fehlte die Angabe, wie häufig die TP genutzt wurde). Bestimmte ermöglichende Variablen (Entfernung und Fahrzeit zwischen Wohnung und TP, Regionstyp und Verstädterungsgrad der TP) lagen nur für zusammenlebende Dyaden vor. Daher wurde mit dieser Substichprobe (n = 275) eine Sensitivitätsanalyse durchgeführt. Im Zusatzmaterial online finden sich die Charakteristika der Hauptstichprobe (Tabelle T1) sowie der Substichprobe (Tabelle T2). Die 34 an der Studie teilnehmenden TP wurden aus dem gesamten Bundesgebiet rekrutiert und sind in Tabelle T3 beschrieben. Instrumente: Tabelle T4 gibt einen Überblick über die erfassten Variablen und genutzten Instrumente. Für eine genaue Beschreibung der verwendeten Instrumente: [2]. Statistische Analysen: Die Besuchshäufigkeit der TP in Tagen/Woche stellte die abhängige Variable dar, dichotomisiert (angelehnt an Straubmeier et al. [17]) in Wenignutzung (1 bis 2 Tage/Woche) und Häufignutzung (3 bis 5 Tage/Woche). Vor der statistischen Analyse wurden einzelne fehlende Werte in den unabhängigen Variablen mittels Regression imputiert. Die auszuwertende Hauptstichprobe umfasste 449 Fälle. Die Substichprobe umfasste 275 Fälle. Die statistische Analyse erfolgte für die Hauptanalyse sowie für die Sensitivitätsanalyse in den gleichen drei Schritten:I.Präanalyse: bivariater Vergleich – nichtadjustiertEs wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet.II.Multikollinearitätsprüfung:Die unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6].III.Finale Analyse: multivariates Modell – adjustierte AnalyseDie nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert. Präanalyse: bivariater Vergleich – nichtadjustiert Es wurden Gruppenunterschiede zwischen Wenignutzern und Häufignutzern für alle potenziellen Prädiktoren mit dem Chi-Quadrat-Test oder einem t‑Test für unverbundene Stichproben berechnet. Multikollinearitätsprüfung: Die unabhängigen Variablen, für die hinsichtlich der Nutzungsintensität entweder signifikante Gruppenunterschiede (p < 0,05) oder ein statistischer Trend (p < 0,1) bestanden, wurden auf Multikollinearität überprüft. Bei einem signifikanten Korrelationskoeffizienten über 0,5 wurden einzelne Variablen ausgeschlossen [6]. Finale Analyse: multivariates Modell – adjustierte Analyse Die nach Schritt II verbleibenden Variablen wurden als Prädiktoren in eine binär-logistische Regression mit Nutzungsintensität als abhängiger Variable (kodiert 0: Wenignutzung und 1: Häufignutzung) aufgenommen. Kategoriale Variablen mit mehr als 2 Ausprägungen wurden in eine dichotome Ausprägung umkodiert. Ergebnisse: Hauptanalyse I.Ergebnisse der PräanalyseIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.Im Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.Ergebnisse der MultikollinearitätsprüfungEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.III.Finale AnalyseIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1Das finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %). Ergebnisse der Präanalyse Im Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP. Im Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen. Ergebnisse der Multikollinearitätsprüfung Es zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten. Finale Analyse Im finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1 Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 Schritte Unstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige *p < 0,05, **p < 0,01 aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0 bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1 Das finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %). I.Ergebnisse der PräanalyseIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.Im Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.Ergebnisse der MultikollinearitätsprüfungEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.III.Finale AnalyseIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1Das finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %). Ergebnisse der Präanalyse Im Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP. Im Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen. Ergebnisse der Multikollinearitätsprüfung Es zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten. Finale Analyse Im finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1 Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 Schritte Unstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige *p < 0,05, **p < 0,01 aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0 bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1 Das finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %). Sensitivitätsanalyse In zusammenlebenden Dyaden waren die TP-Gäste im Vergleich zur Hauptstichprobe jünger (p = 0,05) und häufiger männlich (p = 0,05), ihre PA jedoch im Mittel älter (p = 0,001), seltener berufstätig (p = 0,05), stärker durch die Pflegesituation belastet (p = 0,001) und nahmen seltener ambulante Pflegedienste und Essen auf Rädern in Anspruch (jeweils p = 0,05).I.Ergebnisse der PräanalyseDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.Im Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.MultikollinearitätsprüfungBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.III.Finale AnalyseIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und WohnortDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.Eine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2. Ergebnisse der Präanalyse Die Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden. Im Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen. Multikollinearitätsprüfung Bei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten. Finale Analyse In der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und Wohnort Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 Schritte Unstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige *p < 0,05, **p < 0,01 aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0 bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1 cZwischen Tagespflege und Wohnort Das finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu. Eine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2. In zusammenlebenden Dyaden waren die TP-Gäste im Vergleich zur Hauptstichprobe jünger (p = 0,05) und häufiger männlich (p = 0,05), ihre PA jedoch im Mittel älter (p = 0,001), seltener berufstätig (p = 0,05), stärker durch die Pflegesituation belastet (p = 0,001) und nahmen seltener ambulante Pflegedienste und Essen auf Rädern in Anspruch (jeweils p = 0,05).I.Ergebnisse der PräanalyseDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.Im Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.MultikollinearitätsprüfungBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.III.Finale AnalyseIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und WohnortDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.Eine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2. Ergebnisse der Präanalyse Die Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden. Im Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen. Multikollinearitätsprüfung Bei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten. Finale Analyse In der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und Wohnort Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 Schritte Unstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige *p < 0,05, **p < 0,01 aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0 bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1 cZwischen Tagespflege und Wohnort Das finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu. Eine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2. Hauptanalyse: I.Ergebnisse der PräanalyseIm Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP.Im Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.Ergebnisse der MultikollinearitätsprüfungEs zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten.III.Finale AnalyseIm finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1Das finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %). Ergebnisse der Präanalyse Im Mittel wurde die TP an 2,29 Tagen besucht (SD: ± 1,29). Damit sind 64,1 % der Dyaden Wenignutzende und 35,9 % Häufignutzende von TP. Im Zusatzmaterial online, Tabelle T1, sind signifikante Unterschiede in 11 Variablen sowie 2 trendandeutende Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen. Ergebnisse der Multikollinearitätsprüfung Es zeigte sich, dass das Alter der PA in einem starken Zusammenhang zur Berufstätigkeit der PA (r = −0,648, p < 0,001) und dem Verwandtschaftsgrad zum TP-Gast (r = −0,641, p < 0,001) stand. Aus Sparsamkeitsgründen wurde entschieden, die Variable Alter der PA beizubehalten. Finale Analyse Im finalen Modell resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell mit 5 signifikanten Prädiktoren (χ2 = 74,148 (df: 8); p < 0,001). Nagelkerkes Pseudo‑R2 lag bei 0,21, d. h., die untersuchten Variablen konnten 21 % der Varianz der Nutzungsintensität erklären (Tab. 1).Unstd. Bp‑WertOdds ratioKIKomponenteFamilienstand TP-Gasta−0,889**< 0,0010,411**[−0,057–0,879]PrädisponierendBildungsstand (Jahre) PA0,122**0,0011,129**[1,057–1,202]PrädisponierendPflegestufeb0,987**< 0,0012,683**[2,210–3,156]ErmöglichendDauer der Tagespflegenutzung (Monate)0,018**< 0,0011,018**[1,008–1,029]ErmöglichendNPI0,087*0,0381,091*[1,009–1,173]BedarfInanspruchnahme einer Haushaltshilfe−0,4800,0540,619[0,131–1,107]ErmöglichendInanspruchnahme eines häuslichen Betreuungsdienstes−0,6500,0770,522[−0,199–1,244]ErmöglichendNOSGER0,0430,0941,044[0,993–1,095]BedarfKonstante−3,285< 0,0010,037[−1,217–1,212]–Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1 Durch Selektion ausgeschlossene Variablen: Alter der pA, Inanspruchnahme eines ambulanten Pflegedienstes, Inanspruchnahme einer Angehörigenberatungsstelle. Nagelkerkes Pseudo‑R2 = 0,209; 4 Schritte Unstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall, TP-Gast Tagespflegegast, PA pflegende Angehörige *p < 0,05, **p < 0,01 aDichotomisierte Variable Familienstand des TP-Gastes: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0 bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1 Das finale Modell zeigte für folgende Faktoren eine signifikante Assoziation mit der Nutzungsintensität: Prädisponierende Faktoren waren der Familienstand der TP-Gäste (lebte der TP-Gast mit Partner/-in zusammen, sank die Wahrscheinlichkeit, die TP häufig zu nutzen) und der Bildungsstand der PA (mit jedem zusätzlichen Jahr mehr Bildung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um ein Achtel). Ermöglichende Faktoren waren die Pflegestufe (Wahrscheinlichkeit der Häufignutzung war mehr als verdoppelt bei Pflegestufe 2 oder 3 im Vergleich zu einer niedrigeren oder keiner Pflegestufe) und die bisherige Dauer der Tagespflegenutzung (mit jedem zusätzlichen Monat der Nutzung erhöhte sich die Wahrscheinlichkeit der Häufignutzung um knapp 2 %). Bedarfsfaktoren waren psychische und Verhaltenssymptome (bei der Erhöhung des NPI um einen Punkt erhöhte sich die Wahrscheinlichkeit der Häufignutzung um 9 %). Sensitivitätsanalyse: In zusammenlebenden Dyaden waren die TP-Gäste im Vergleich zur Hauptstichprobe jünger (p = 0,05) und häufiger männlich (p = 0,05), ihre PA jedoch im Mittel älter (p = 0,001), seltener berufstätig (p = 0,05), stärker durch die Pflegesituation belastet (p = 0,001) und nahmen seltener ambulante Pflegedienste und Essen auf Rädern in Anspruch (jeweils p = 0,05).I.Ergebnisse der PräanalyseDie Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden.Im Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen.II.MultikollinearitätsprüfungBei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten.III.Finale AnalyseIn der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und WohnortDas finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu.Eine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2. Ergebnisse der Präanalyse Die Substichprobe nutzte die TP im Mittel an 2,22 Tagen (SD: ± 1,22). 65,8 % der Substichprobe gehörten zu den Wenignutzenden und 34,2 % zu den Häufignutzenden. Im Zusatzmaterial online, Tabelle T2, sind signifikante Unterschiede in 9 Variablen sowie in 5 trendandeutenden Variablen zwischen den beiden Nutzungsgruppen markiert, die in die Multikollinearitätsprüfung eingingen. Multikollinearitätsprüfung Bei der Prüfung auf Multikollinearität zeigte sich, dass 5 unabhängige Variablen stark untereinander korrelieren: Familienstand der TP-Gäste mit Geschlecht der TP-Gäste (r = −0,543, p < 0,001), Familienstand der TP-Gäste mit dem Verwandtschaftsgrad (r = 0,600, p < 0,001), Alter der PA mit dem Verwandtschaftsgrad (r = −0,689, p < 0,001), Alter der PA mit dem Familienstand der TP-Gäste (r = −0,522, p < 0,001), Berufstätigkeit der PA mit dem Verwandtschaftsgrad (r = 0,549, p < 0,001) und Berufstätigkeit der PA mit dem Alter der PA (r = −0,708, p < 0,001). Es wurden die Variablen Geschlecht der TP-Gäste und Alter der PA als ökonomischste Auswahl für die finale Analyse beibehalten. Finale Analyse In der finalen Analyse resultierte aus der binär-logistischen Regressionsanalyse ein statistisch signifikantes Modell (χ2 = 62,846 (df:7); p < 0,001) mit 5 signifikanten Prädiktoren. Nagelkerkes Pseudo‑R2 lag bei 0,28. Die in der Sensitivitätsanalyse untersuchten Variablen erhöhen die aufgeklärte Varianz der Nutzungsintensität somit auf 28 % (Tab. 2).Unstd. Bp‑WertOdds ratioKIKomponenteAlter des PA−0,030*0,0200,971*[0,946–0,996]PrädisponierendFamilienstand des PAa−0,826*0,0220,438*[−0,267–1,142]PrädisponierendPflegestufeb0,945**0,0012,573**[2,001–3,146]ErmöglichendDauer der Tagespflegenutzung (Monate)0,029**< 0,0011,030**[1,014–1,045]ErmöglichendEntfernung (km)c−0,078*0,0100,925*[0,866–0,984]ErmöglichendAngehörigenberatungsstelle−0,9230,0800,397[−0,638–1,432]ErmöglichendHaushaltshilfe−0,6660,0530,514[−0,160–1,188]ErmöglichendKonstante1,4590,0774,301[2,684–5,918]–Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 SchritteUnstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige*p < 0,05, **p < 0,01aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1cZwischen Tagespflege und Wohnort Durch Selektion ausgeschlossene Variablen: Geschlecht des Tagespflegegastes, Dauer der häuslichen Pflege, Inanspruchnahme eines häuslichen Betreuungsdienstes, Inanspruchnahme einer Betreuungsgruppe. Nagelkerkes R2 = 0,282; 5 Schritte Unstd. B unstandardisierter B‑Koeffizient, KI Konfidenzintervall 95, PA pflegende Angehörige *p < 0,05, **p < 0,01 aDichotomisierte Variable Familienstand des PA: mit Partner/-in zusammenlebend (verheiratet, in einer Beziehung): 1; ohne Partner/-in lebend (ledig, getrenntlebend, geschieden, verwitwet): 0 bDichotomisierte Variable Pflegestufe: (keine Pflegestufe, Pflegestufe 0, Pflegestufe 1): 0, (Pflegestufe 2, Pflegestufe 3): 1 cZwischen Tagespflege und Wohnort Das finale Modell zeigte analog zur gesamten Stichprobe den Zusammenhang der Pflegestufe und der bisherigen Dauer der Tagespflegenutzung mit der Nutzungsintensität. Zusätzlich kamen als prädisponierende Faktoren das Alter der PA (mit jedem Jahr, das die PA älter waren, verringerte sich die Wahrscheinlichkeit der Häufignutzung), der Familienstand der PA (bei PA, die mit Partner/-in zusammenlebten, sank die Wahrscheinlichkeit der Nutzung) sowie als ermöglichender Faktor die Entfernung zwischen Wohnort und TP (mit jedem Kilometer mehr verringerte sich die Wahrscheinlichkeit der Häufignutzung) hinzu. Eine Zuordnung der in dieser Studie erhobenen unabhängigen Variablen in das Verhaltensmodell der Versorgungsinanspruchnahme nach Andersen et al. [1] sowie deren Einfluss auf die Intensität der Tagespflegenutzung zeigt Abb. 2. Diskussion: Ziel der Analyse war es, Prädiktoren für die Nutzungsintensität von TP bei Personen mit kognitiver Beeinträchtigung und ihren PA zu finden. Dabei stellten sich der Familienstand des TP-Gastes, der Bildungsstand der PA, die Pflegestufe, die bisherige Dauer der Tagespflegenutzung, psychische und Verhaltenssymptome (NPI) sowie bei zusammenwohnenden Dyaden zusätzlich das Alter und der Familienstand der PA und die Entfernung zur TP als signifikante Prädiktoren heraus. Prädisponierende Faktoren Bei Donath et al. und Lüdecke et al. [8, 12] war ein höheres Alter der PA mit der Nutzung von TP assoziiert. Die vorliegende Analyse zeigte bei zusammenlebenden Dyaden jedoch den gegenteiligen Zusammenhang. Dies lässt sich möglicherweise dadurch erklären, dass die jüngeren PA der hier untersuchten Dyaden fast ausschließlich Kinder/Schwiegerkinder, eher berufstätig und somit eher auf eine Betreuung angewiesen waren als die älteren PA, die zumeist Partner/-in des jeweiligen TP-Gastes waren. Dies passt auch zu dem Befund, dass eine TP weniger intensiv genutzt wurde, wenn der TP-Gast in einer Partnerschaft lebt. Übereinstimmend mit der Literatur [9, 12, 13] zeigen auch die vorliegenden Ergebnisse, dass eine höhere Bildung der PA mit einer höheren Nutzungsintensität korreliert. Bei Donath et al. und Lüdecke et al. [8, 12] war ein höheres Alter der PA mit der Nutzung von TP assoziiert. Die vorliegende Analyse zeigte bei zusammenlebenden Dyaden jedoch den gegenteiligen Zusammenhang. Dies lässt sich möglicherweise dadurch erklären, dass die jüngeren PA der hier untersuchten Dyaden fast ausschließlich Kinder/Schwiegerkinder, eher berufstätig und somit eher auf eine Betreuung angewiesen waren als die älteren PA, die zumeist Partner/-in des jeweiligen TP-Gastes waren. Dies passt auch zu dem Befund, dass eine TP weniger intensiv genutzt wurde, wenn der TP-Gast in einer Partnerschaft lebt. Übereinstimmend mit der Literatur [9, 12, 13] zeigen auch die vorliegenden Ergebnisse, dass eine höhere Bildung der PA mit einer höheren Nutzungsintensität korreliert. Ermöglichende Faktoren Der hier gefundene Zusammenhang von erhöhter Nutzung bei höherer Pflegestufe bestätigt sich in der Literatur nicht [4, 12]. Im System der Pflegestufen wurden die Kosten für die TP mit anderen Leistungen der Pflegekasse verrechnet. Diese Verrechnung wurde erst kurz vor Studienbeginn aufgegeben. Eine erhöhte Nutzungsintensität bei Vorliegen höherer Pflegestufen lässt sich somit nur eingeschränkt durch bessere Finanzierungsmöglichkeiten erklären – insbesondere für Dyaden, die die TP schon länger nutzten. Stattdessen wird dies als erhöhter Bedarf interpretiert. Allerdings kann nicht von einem linear steigenden Bedarf ausgegangen werden, da Personen mit höchster Pflegestufe der Besuch einer TP meist nicht mehr möglich ist. Dies zeigt sich auch darin, dass in der hier untersuchten Stichprobe nur 4 Personen die Pflegestufe 3 hatten. Mit längerer bereits bestehender Nutzung stieg die Intensität der Nutzung der TP. Dies ist ein Hinweis darauf, dass die Nutzung von den PA und/oder den TP-Gästen nach einer Eingewöhnungsphase als positiv empfunden wird. Es scheint eine Anfangshürde zu geben, die zu Beginn eine niedrigere Nutzung mit sich bringt. Derzeit liegen dazu jedoch keine hinreichenden, wissenschaftlichen Erkenntnisse vor. Die beiden ermöglichenden Faktoren Pflegestufe und Nutzungsdauer zeigten sich sowohl in der Haupt- als auch in der Sensitivitätsanalyse als signifikante Prädiktoren, was für eine Belastbarkeit dieser Befunde spricht. Die Entfernung zur TP als signifikanter ermöglichender Faktor in der Substichprobe deckt sich mit Donath et al. und Phillipson et al. [8, 13] bezüglich der Nutzung/Nichtnutzung, jedoch nicht mit Kremer-Preiß [11]. Sind die PA selbst für die Organisation des Transportes zuständig, werden Fahrten mit größerer Entfernung zeitaufwendiger, schwieriger und im Fall von stark ausgeprägten psychischen und Verhaltenssymptomen bei den TP-Gästen anstrengender. Einige TP bieten einen Transport der TP-Gäste an. Diese Information wurde nicht erhoben, jedoch ist es plausibel, dass der Einfluss der Entfernung zur TP bei einem Transportangebot sinkt. Der hier gefundene Zusammenhang von erhöhter Nutzung bei höherer Pflegestufe bestätigt sich in der Literatur nicht [4, 12]. Im System der Pflegestufen wurden die Kosten für die TP mit anderen Leistungen der Pflegekasse verrechnet. Diese Verrechnung wurde erst kurz vor Studienbeginn aufgegeben. Eine erhöhte Nutzungsintensität bei Vorliegen höherer Pflegestufen lässt sich somit nur eingeschränkt durch bessere Finanzierungsmöglichkeiten erklären – insbesondere für Dyaden, die die TP schon länger nutzten. Stattdessen wird dies als erhöhter Bedarf interpretiert. Allerdings kann nicht von einem linear steigenden Bedarf ausgegangen werden, da Personen mit höchster Pflegestufe der Besuch einer TP meist nicht mehr möglich ist. Dies zeigt sich auch darin, dass in der hier untersuchten Stichprobe nur 4 Personen die Pflegestufe 3 hatten. Mit längerer bereits bestehender Nutzung stieg die Intensität der Nutzung der TP. Dies ist ein Hinweis darauf, dass die Nutzung von den PA und/oder den TP-Gästen nach einer Eingewöhnungsphase als positiv empfunden wird. Es scheint eine Anfangshürde zu geben, die zu Beginn eine niedrigere Nutzung mit sich bringt. Derzeit liegen dazu jedoch keine hinreichenden, wissenschaftlichen Erkenntnisse vor. Die beiden ermöglichenden Faktoren Pflegestufe und Nutzungsdauer zeigten sich sowohl in der Haupt- als auch in der Sensitivitätsanalyse als signifikante Prädiktoren, was für eine Belastbarkeit dieser Befunde spricht. Die Entfernung zur TP als signifikanter ermöglichender Faktor in der Substichprobe deckt sich mit Donath et al. und Phillipson et al. [8, 13] bezüglich der Nutzung/Nichtnutzung, jedoch nicht mit Kremer-Preiß [11]. Sind die PA selbst für die Organisation des Transportes zuständig, werden Fahrten mit größerer Entfernung zeitaufwendiger, schwieriger und im Fall von stark ausgeprägten psychischen und Verhaltenssymptomen bei den TP-Gästen anstrengender. Einige TP bieten einen Transport der TP-Gäste an. Diese Information wurde nicht erhoben, jedoch ist es plausibel, dass der Einfluss der Entfernung zur TP bei einem Transportangebot sinkt. Bedarfsfaktoren Die einzigen signifikanten Bedarfsfaktoren in der Hauptstichprobe waren psychische und Verhaltenssymptome. Bei zusammenwohnenden Dyaden zeigte sich dieser Zusammenhang nicht. Dies ist erstaunlich, da gerade die psychischen und Verhaltenssymptome das Zusammenleben stark belasten können [7]. Die von anderen Autoren [8, 12, 13] identifizierten Zusammenhänge von Tagespflegenutzung und Belastung der PA bzw. den Einschränkungen der TP-Gäste in kognitiven und alltagspraktischen Bereichen konnten in Bezug auf die Nutzungsintensität nicht gefunden werden. Allerdings wurden nur Dyaden in die Studie eingeschlossen, die die TP bereits nutzten. Es ist möglich, dass sich in dieser Studie Bedarfsfaktoren nicht hinreichend identifizieren ließen, da ein Bedarf bei allen Nutzern vorhanden und damit die Varianz diesbezüglich in der Stichprobe gering war. Somit wäre ein Zusammenhang zwischen Nutzungsintensität und Bedarf nicht abbildbar. Die einzigen signifikanten Bedarfsfaktoren in der Hauptstichprobe waren psychische und Verhaltenssymptome. Bei zusammenwohnenden Dyaden zeigte sich dieser Zusammenhang nicht. Dies ist erstaunlich, da gerade die psychischen und Verhaltenssymptome das Zusammenleben stark belasten können [7]. Die von anderen Autoren [8, 12, 13] identifizierten Zusammenhänge von Tagespflegenutzung und Belastung der PA bzw. den Einschränkungen der TP-Gäste in kognitiven und alltagspraktischen Bereichen konnten in Bezug auf die Nutzungsintensität nicht gefunden werden. Allerdings wurden nur Dyaden in die Studie eingeschlossen, die die TP bereits nutzten. Es ist möglich, dass sich in dieser Studie Bedarfsfaktoren nicht hinreichend identifizieren ließen, da ein Bedarf bei allen Nutzern vorhanden und damit die Varianz diesbezüglich in der Stichprobe gering war. Somit wäre ein Zusammenhang zwischen Nutzungsintensität und Bedarf nicht abbildbar. Prädisponierende Faktoren: Bei Donath et al. und Lüdecke et al. [8, 12] war ein höheres Alter der PA mit der Nutzung von TP assoziiert. Die vorliegende Analyse zeigte bei zusammenlebenden Dyaden jedoch den gegenteiligen Zusammenhang. Dies lässt sich möglicherweise dadurch erklären, dass die jüngeren PA der hier untersuchten Dyaden fast ausschließlich Kinder/Schwiegerkinder, eher berufstätig und somit eher auf eine Betreuung angewiesen waren als die älteren PA, die zumeist Partner/-in des jeweiligen TP-Gastes waren. Dies passt auch zu dem Befund, dass eine TP weniger intensiv genutzt wurde, wenn der TP-Gast in einer Partnerschaft lebt. Übereinstimmend mit der Literatur [9, 12, 13] zeigen auch die vorliegenden Ergebnisse, dass eine höhere Bildung der PA mit einer höheren Nutzungsintensität korreliert. Ermöglichende Faktoren: Der hier gefundene Zusammenhang von erhöhter Nutzung bei höherer Pflegestufe bestätigt sich in der Literatur nicht [4, 12]. Im System der Pflegestufen wurden die Kosten für die TP mit anderen Leistungen der Pflegekasse verrechnet. Diese Verrechnung wurde erst kurz vor Studienbeginn aufgegeben. Eine erhöhte Nutzungsintensität bei Vorliegen höherer Pflegestufen lässt sich somit nur eingeschränkt durch bessere Finanzierungsmöglichkeiten erklären – insbesondere für Dyaden, die die TP schon länger nutzten. Stattdessen wird dies als erhöhter Bedarf interpretiert. Allerdings kann nicht von einem linear steigenden Bedarf ausgegangen werden, da Personen mit höchster Pflegestufe der Besuch einer TP meist nicht mehr möglich ist. Dies zeigt sich auch darin, dass in der hier untersuchten Stichprobe nur 4 Personen die Pflegestufe 3 hatten. Mit längerer bereits bestehender Nutzung stieg die Intensität der Nutzung der TP. Dies ist ein Hinweis darauf, dass die Nutzung von den PA und/oder den TP-Gästen nach einer Eingewöhnungsphase als positiv empfunden wird. Es scheint eine Anfangshürde zu geben, die zu Beginn eine niedrigere Nutzung mit sich bringt. Derzeit liegen dazu jedoch keine hinreichenden, wissenschaftlichen Erkenntnisse vor. Die beiden ermöglichenden Faktoren Pflegestufe und Nutzungsdauer zeigten sich sowohl in der Haupt- als auch in der Sensitivitätsanalyse als signifikante Prädiktoren, was für eine Belastbarkeit dieser Befunde spricht. Die Entfernung zur TP als signifikanter ermöglichender Faktor in der Substichprobe deckt sich mit Donath et al. und Phillipson et al. [8, 13] bezüglich der Nutzung/Nichtnutzung, jedoch nicht mit Kremer-Preiß [11]. Sind die PA selbst für die Organisation des Transportes zuständig, werden Fahrten mit größerer Entfernung zeitaufwendiger, schwieriger und im Fall von stark ausgeprägten psychischen und Verhaltenssymptomen bei den TP-Gästen anstrengender. Einige TP bieten einen Transport der TP-Gäste an. Diese Information wurde nicht erhoben, jedoch ist es plausibel, dass der Einfluss der Entfernung zur TP bei einem Transportangebot sinkt. Bedarfsfaktoren: Die einzigen signifikanten Bedarfsfaktoren in der Hauptstichprobe waren psychische und Verhaltenssymptome. Bei zusammenwohnenden Dyaden zeigte sich dieser Zusammenhang nicht. Dies ist erstaunlich, da gerade die psychischen und Verhaltenssymptome das Zusammenleben stark belasten können [7]. Die von anderen Autoren [8, 12, 13] identifizierten Zusammenhänge von Tagespflegenutzung und Belastung der PA bzw. den Einschränkungen der TP-Gäste in kognitiven und alltagspraktischen Bereichen konnten in Bezug auf die Nutzungsintensität nicht gefunden werden. Allerdings wurden nur Dyaden in die Studie eingeschlossen, die die TP bereits nutzten. Es ist möglich, dass sich in dieser Studie Bedarfsfaktoren nicht hinreichend identifizieren ließen, da ein Bedarf bei allen Nutzern vorhanden und damit die Varianz diesbezüglich in der Stichprobe gering war. Somit wäre ein Zusammenhang zwischen Nutzungsintensität und Bedarf nicht abbildbar. Limitationen: Mit den verwendeten Daten können keine Rückschlüsse auf Nichtnutzende von TP gezogen werden, weil die Stichprobe nur aus Nutzenden von TP bestand. Es handelte sich außerdem um Querschnittsdaten, die keinen kausalen Schluss ermöglichen. Die Daten zu Wohnort sowie räumlicher und zeitlicher Entfernung zur TP konnten nur für einen Teil der Stichprobe erhoben werden. Da der Erhebungszeitpunkt der Daten vor der letzten Reform des Pflegeversicherungsgesetzes lag, waren die Leistungen für die Inanspruchnahme von TP in der vorliegenden Stichprobe deutlich eingeschränkter als gegenwärtig. Zieht man die aktuellen Leistungen für TP in Betracht, ist ein noch stärkerer Einfluss des Pflegegrades auf die Nutzungsintensität der TP anzunehmen, als hier festgestellt wurde. Einige Faktoren des Verhaltensmodells der Versorgungsinanspruchnahme wie Gesundheitspolitik, Umwelt oder Angebotsflexibilität sowie Gesundheitsüberzeugungen oder Genetik konnten auf Basis der verwendeten Daten nicht untersucht werden. Zukünftige Studien könnten diese sowie die Abhängigkeiten zwischen verschiedenen Faktoren in den Blick nehmen. Fazit für die Praxis: Der Bedarf an Betreuung und Förderung durch Tagespflegen ist vorhanden und steigt mit zunehmender Pflegebedürftigkeit.Der Bedarf wird in Zukunft durch die verbreitete Berufstätigkeit aller Bevölkerungsgruppen und Lebensformen außerhalb von festen Partnerschaften eher zunehmen.Die Entfernung der Tagespflege ist ein signifikanter Prädiktor für die Nutzungsintensität. Um die Nutzung zu erhöhen, müssten Tagespflegen für potenzielle Nutzende schnell erreichbar sein.Pflegende Angehörige und Menschen mit kognitiven Beeinträchtigungen sollten die Möglichkeit bekommen, das Angebot zunächst probeweise kennenzulernen. Als Erleichterung des „Einstiegs“ könnten Einrichtungen eine „Testwoche“/einen „Testmonat“ anbieten. Auch flexible Nutzungskonzepte mit z. B. Zeitkontingenten könnten eine nachfolgend stärkere Nutzungsintensität fördern. Der Bedarf an Betreuung und Förderung durch Tagespflegen ist vorhanden und steigt mit zunehmender Pflegebedürftigkeit. Der Bedarf wird in Zukunft durch die verbreitete Berufstätigkeit aller Bevölkerungsgruppen und Lebensformen außerhalb von festen Partnerschaften eher zunehmen. Die Entfernung der Tagespflege ist ein signifikanter Prädiktor für die Nutzungsintensität. Um die Nutzung zu erhöhen, müssten Tagespflegen für potenzielle Nutzende schnell erreichbar sein. Pflegende Angehörige und Menschen mit kognitiven Beeinträchtigungen sollten die Möglichkeit bekommen, das Angebot zunächst probeweise kennenzulernen. Als Erleichterung des „Einstiegs“ könnten Einrichtungen eine „Testwoche“/einen „Testmonat“ anbieten. Auch flexible Nutzungskonzepte mit z. B. Zeitkontingenten könnten eine nachfolgend stärkere Nutzungsintensität fördern. Supplementary Information: :
Background: Adult day care is an established concept in Germany for people with cognitive impairment; however, only a small fraction of people in need for care actually use adult day care. Studies so far highlighted some predictors for the use of adult day care; however, it remains unclear which factors are associated with the intensity of use. Methods: Data used were obtained within the project dementia in day care with psychosocial MAKS interventions (DeTaMAKS), which studied adult day care users with cognitive impairments and their family caregivers. A logistic regression was performed to predict frequent or low use of adult day care. Results: The following factors were significantly associated with higher intensity of use: civil status of adult care user being widowed or single, higher educational level of caregiver, higher care level, longer duration of adult day care use and more mental and behavioral symptoms of the adult day care user. The sensitivity analysis for cohabiting dyads additionally showed a higher intensity of use with a lower age of the caregiver and shorter distance between place of residence and adult day care but not with respect to educational level of the caregiver and mental and behavioral symptoms of the user. Conclusions: The results show a need for adult day care, which increases with caregivers being employed and users living outside of permanent relationships. A short distance to the adult care center as well as flexible care options may increase the frequency of use.
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[ 815, 210, 192, 1494, 206, 127, 25, 383, 5060, 1141, 1387, 1352, 143, 349, 141, 158, 1 ]
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[ "der", "die", "tp", "und", "mit", "pa", "pflegestufe", "variablen", "der pa", "bei" ]
[ "czwischen tagespflege und", "konzept der tagespflege", "tagespflegegästen tp", "von tagespflegegästen tp", "tagespflegegast pa pflegende" ]
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[CONTENT] Modell der Versorgungsinanspruchnahme | Demenz | MCI | Pflegende Angehörige | Regression | Healthcare utilization model | Dementia | Cognitive dysfunction | Family caregivers | Regression [SUMMARY]
[CONTENT] Modell der Versorgungsinanspruchnahme | Demenz | MCI | Pflegende Angehörige | Regression | Healthcare utilization model | Dementia | Cognitive dysfunction | Family caregivers | Regression [SUMMARY]
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[CONTENT] Humans | Adult Day Care Centers | Dementia | Caregivers | Cognitive Dysfunction | Day Care, Medical [SUMMARY]
[CONTENT] Humans | Adult Day Care Centers | Dementia | Caregivers | Cognitive Dysfunction | Day Care, Medical [SUMMARY]
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[CONTENT] czwischen tagespflege und | konzept der tagespflege | tagespflegegästen tp | von tagespflegegästen tp | tagespflegegast pa pflegende [SUMMARY]
[CONTENT] czwischen tagespflege und | konzept der tagespflege | tagespflegegästen tp | von tagespflegegästen tp | tagespflegegast pa pflegende [SUMMARY]
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[CONTENT] der | die | tp | und | mit | pa | pflegestufe | variablen | der pa | bei [SUMMARY]
[CONTENT] der | die | tp | und | mit | pa | pflegestufe | variablen | der pa | bei [SUMMARY]
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[CONTENT] der bedarf | tagespflegen | könnten | die | und | bedarf | mit | durch | ist | der [SUMMARY]
[CONTENT] der | die | tp | und | mit | pa | pflegestufe | variablen | für | bei [SUMMARY]
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[CONTENT] Germany ||| ||| MAKS ||| ||| ||| ||| ||| ||| [SUMMARY]
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Investigation of VSX1 sequence variants in South Indian patients with sporadic cases of keratoconus.
23506487
The involvement of VSX1 gene for the genetic basis of keratoconus is unclear and controversial. The genetic screening of VSX1 from different ethnic populations can enlighten this subject. The aim of the present study is to investigate the role of VSX1 gene in patients with sporadic cases of keratoconus from South India.
BACKGROUND
The VSX1 gene coding regions, including exon-intron boundaries were screened by direct sequencing analysis in 117 sporadic cases of keratoconus. The identified variations were also analyzed in 108 ethnic matched healthy blood donors.
METHODS
In the VSX1 gene screening, no pathogenic mutation was identified, whereas we could find the presence of four reported single nucleotide polymorphisms; c.546A>G (rs12480307), c.627+23G>A (rs6138482), c.627+84T>A (rs56157240) and c.504-24C>T (IVS3-24C). These variations were observed in similar frequency between cases and controls.
RESULTS
The lack of VSX1 pathogenic variations in a large number of unrelated sporadic keratoconus patients tend to omit its role, and corroborate the involvement of other genetic, environmental or behavioural factors in the development of this complex disorder.
CONCLUSIONS
[ "Case-Control Studies", "Eye Proteins", "Homeodomain Proteins", "Humans", "India", "Keratoconus", "Mutation", "Polymerase Chain Reaction" ]
3608990
Background
Keratoconus (KTCN; [OMIM] 148300) is a corneal ectatic disorder characterized by progressive thinning of the central cornea, which acquires a conical shape rather than its normal dome-shaped curve. This results in optical aberrations leading to distorted blurred vision, progressive high myopia and irregular astigmatism [1]. Keratoconus is mostly bilateral but can be unilateral, onset in teenage years and often progresses until the third or fourth decade of life [2]. The prevalence of keratoconus is estimated to be 1 in 2000 in the general population [2,3]. It is more common in patients with atopic conditions, such as asthma, dermatitis, and found to be associated with many other genetic disorders like Down syndrome, posterior polymorphous corneal dystrophy, Leber congenital amaurosis, retinitis pigmentosa, Marfan syndrome, mitral valve prolapse and other documented associations [1,2,4]. It occurs usually in a sporadic form, though positive familial history has been reported in 6-10% of patients, with mostly autosomal dominant and sometime recessive or X-linked mode of inheritance [4-6]. Common histopathological features of KTCN include stromal thinning, iron deposition in the epithelial basement membrane, breaks in corneal Bowman’s layer and sometimes endothelial damage [2,7]. The disease generally occurs with no gender preponderance; however, few evidence suggests a higher prevalence in either male or female [1,6,8]. At present, the milder forms of keratoconus are corrected by spectacles or contact lenses. In 10% to 20% of KTCN cases, corneal thinning may reach such a severity that it becomes very essential to undergo corneal transplantation or penetrating keratoplasty, which has emerged as a major medical burden in many countries [2,9]. The exact etiology of KTCN is still unknown, and its pathogenesis may involve genetic as well as environmental or behavioural factors, such as ultra-violet radiation UVB, atopy/allergy, contact lens wear and mechanical eye rubbing, etc. [10-12]. Primarily, the genetic factors may play an important role in the development of keratoconus as evidenced by studies of familial inheritance, concordance between monozygotic twins and association with other known genetic disorders [12-14]. By linkage analysis and association studies, various loci have been mapped in families from different ethnic populations, well summarized by Nowak DM et al. [12]. Based on associated loci, genes such as SPARC, LOX, TIMP3, COL6A1, COL8A1, MMP9, and MMP2, etc., have been examined for their involvement [12,15]. The SOD1 and CRB1 were also analyzed as possible candidate genes because of their role in keratoconus associated disease like Down syndrome and Leber congenital amaurosis respectively [16,17]. However, genes under such studies, have not provided enough evidence for being an appropriate candidate gene in the pathogenesis of KTCN. One of the well-studied genes in genetic association with keratoconus is VSX1. Human VSX1 [OMIM 605020] is a member of the VSX1 group of vertebrate paired-like homeodomain transcription factors localized to human chromosome 20p11-q11. Heon et al., [18] first identified VSX1 mutations in patients with either keratoconus or posterior polymorphous corneal dystrophy (PPCD). This led to the assumption that mutations in the VSX1 gene may be involved in pathogenesis of keratoconus. A number of other studies, further showed the presence of VSX1 variants in keratoconus patients from different ethnic populations [19-24]. Among them, several variants were found in highly conserved residues of VSX1, and predicted to be pathogenic by the bioinformatics tools like PolyPhen, SIFT, etc. [21,23]. The exonic and intragenic polymorphisms were frequently reported in such studies, and found to be associated with the disease in a few cases [22,25]. On the other hand, many other studies excluded those previously reported VSX1 variations to be pathogenic, and showed a lack of mutation or association [26-30]. Therefore, the role of VSX1 in KTCN pathogenesis is ambiguous, and further genetic studies are required for any persuasive conclusions. In this study, we have undertaken the sequence analysis of coding regions of VSX1 gene in order to determine its genetic involvement in South Indian patients with sporadic form of keratoconus.
Methods
Clinical assessment Patients affected with keratoconus were recruited from cornea clinic, Aravind eye hospital, Madurai, between the period of 2009 to 2011. The study consisted of 117 unrelated sporadic keratoconus patients, including 69 males and 48 females with an age range between 12 to 46 years old and mean age 23.1 years (SD ±6.1 years). A total of 108 ethnic-matched healthy blood donors with age range between 17 to 65 years old and mean age 24.6 years (SD ±9.4), including 27 males and 81 females, with no major ocular disorders were taken as controls. Any KTCN subjects with co-existing allergy/atopy, or systemic diseases/syndromes such as Down syndrome, Leber congenital amaurosis, Ehlers-Danlos syndrome, osteogenesis imperfecta and pellucid marginal degeneration, or post-LASIK or other refractive surgeries were excluded from this study. All study subjects belonged to South Indian ethnicity, mainly from the region of Tamil Nadu. Informed consent was obtained from each of the subjects. The study obeyed the tenets of the declaration of Helsinki and was approved by the institutional review board of Aravind eye hospital, Madurai, Tamil Nadu, India. The diagnosis of KTCN was based on the presence of important clinical features such as Munson’s sign, Vogt’s striae, Fleischer ring, prominent corneal nerves, corneal scarring, etc. The orbscan II parameters, (anterior float, posterior float, keratometry and pachymetry reading) operated with software version 3.12 (Bausch & Lomb Inc., Rochester, NY) were taken for the final diagnosis using following measurements (a) ratio between the radius of anterior best-fit sphere (BFS) and posterior BFS >1.27 (b) power of posterior BFS >55D (c) difference between highest and lowest posterior float points >100 μ (d) corneal thickness index (CTI) >1.16 (e) irregularity at 3 mm zone >1.5D; 5 mm zone >2.5D and (f) K reading >47D. The patients diagnosed with forme-frusta keratoconus were not included in the study. Intra ocular pressure using pulsair non-contact tonometry was also taken for all patients. The study involved only sporadic keratoconus cases, and patients with a family history of KTCN were excluded. Furthermore, to confirm the sporadic nature of cases, three to four immediate available family members of each patient were clinically examined. Patients affected with keratoconus were recruited from cornea clinic, Aravind eye hospital, Madurai, between the period of 2009 to 2011. The study consisted of 117 unrelated sporadic keratoconus patients, including 69 males and 48 females with an age range between 12 to 46 years old and mean age 23.1 years (SD ±6.1 years). A total of 108 ethnic-matched healthy blood donors with age range between 17 to 65 years old and mean age 24.6 years (SD ±9.4), including 27 males and 81 females, with no major ocular disorders were taken as controls. Any KTCN subjects with co-existing allergy/atopy, or systemic diseases/syndromes such as Down syndrome, Leber congenital amaurosis, Ehlers-Danlos syndrome, osteogenesis imperfecta and pellucid marginal degeneration, or post-LASIK or other refractive surgeries were excluded from this study. All study subjects belonged to South Indian ethnicity, mainly from the region of Tamil Nadu. Informed consent was obtained from each of the subjects. The study obeyed the tenets of the declaration of Helsinki and was approved by the institutional review board of Aravind eye hospital, Madurai, Tamil Nadu, India. The diagnosis of KTCN was based on the presence of important clinical features such as Munson’s sign, Vogt’s striae, Fleischer ring, prominent corneal nerves, corneal scarring, etc. The orbscan II parameters, (anterior float, posterior float, keratometry and pachymetry reading) operated with software version 3.12 (Bausch & Lomb Inc., Rochester, NY) were taken for the final diagnosis using following measurements (a) ratio between the radius of anterior best-fit sphere (BFS) and posterior BFS >1.27 (b) power of posterior BFS >55D (c) difference between highest and lowest posterior float points >100 μ (d) corneal thickness index (CTI) >1.16 (e) irregularity at 3 mm zone >1.5D; 5 mm zone >2.5D and (f) K reading >47D. The patients diagnosed with forme-frusta keratoconus were not included in the study. Intra ocular pressure using pulsair non-contact tonometry was also taken for all patients. The study involved only sporadic keratoconus cases, and patients with a family history of KTCN were excluded. Furthermore, to confirm the sporadic nature of cases, three to four immediate available family members of each patient were clinically examined. DNA extraction and PCR amplification Genomic DNA was isolated from peripheral blood leukocytes using the salt precipitation method as described by Miller et al., [31]. The primer pairs used to amplify each of the five coding VSX1 exons were previously described [19]. PCR reaction (Eppendorf mastercycler, Westbury, NY) was carried out in a 20 μl reaction mixture set up containing 2 μl of 10X PCR buffer with 1.5 mM MgCl2, 200 mM dNTP, 0.2 mM of each forward and reverse primer, 0.2 U Taq DNA polymerase (Sigma) and 50 ng genomic DNA. The genomic DNA underwent initial denaturation for 5 min at 95°C, followed by 35 cycles at 94°C for 1 min, respective exons annealing at 58°C (ex1), 59°C (ex2), 62°C (ex3,4,5) for 1 min, extension at 72°C for 30 sec and final extension for 5 min at 72°C. The VSX1 gene coding regions with their exon-intron junctions were examined by bidirectional sequencing analysis. Genomic DNA was isolated from peripheral blood leukocytes using the salt precipitation method as described by Miller et al., [31]. The primer pairs used to amplify each of the five coding VSX1 exons were previously described [19]. PCR reaction (Eppendorf mastercycler, Westbury, NY) was carried out in a 20 μl reaction mixture set up containing 2 μl of 10X PCR buffer with 1.5 mM MgCl2, 200 mM dNTP, 0.2 mM of each forward and reverse primer, 0.2 U Taq DNA polymerase (Sigma) and 50 ng genomic DNA. The genomic DNA underwent initial denaturation for 5 min at 95°C, followed by 35 cycles at 94°C for 1 min, respective exons annealing at 58°C (ex1), 59°C (ex2), 62°C (ex3,4,5) for 1 min, extension at 72°C for 30 sec and final extension for 5 min at 72°C. The VSX1 gene coding regions with their exon-intron junctions were examined by bidirectional sequencing analysis. DNA sequencing The PCR products were pooled and purified using the gel-elution kit method (Bio Basic Inc. Canada). The purified PCR products were sequenced bidirectionally using Big Dye Terminator ready reaction mix and analyzed on an ABI-3130 genetic analyzer (Applied Biosystems, Fostercity, CA). The sequence data analysis was done using BLAST software and compared with the published nucleotide sequence of the VSX1 gene [Gen Bank accession number NM_014588]. The identified variations were evaluated using Alamut software version 2.1e (Interactive Biosoftware, Rouen, France). The nomenclature, location and classification of variations were done based on the Alamut output. The PCR products were pooled and purified using the gel-elution kit method (Bio Basic Inc. Canada). The purified PCR products were sequenced bidirectionally using Big Dye Terminator ready reaction mix and analyzed on an ABI-3130 genetic analyzer (Applied Biosystems, Fostercity, CA). The sequence data analysis was done using BLAST software and compared with the published nucleotide sequence of the VSX1 gene [Gen Bank accession number NM_014588]. The identified variations were evaluated using Alamut software version 2.1e (Interactive Biosoftware, Rouen, France). The nomenclature, location and classification of variations were done based on the Alamut output. Comparative analysis A comparative statistical analysis of genotype and allele frequency was done using chi-square or Fisher’s exact test in order to assess differences in the distribution of VSX1 polymorphism between cases and controls. The allelic p-value and odds ratio was determined for each of the identified VSX1 variants. A comparative statistical analysis of genotype and allele frequency was done using chi-square or Fisher’s exact test in order to assess differences in the distribution of VSX1 polymorphism between cases and controls. The allelic p-value and odds ratio was determined for each of the identified VSX1 variants.
null
null
Conclusions
In our study, we have assessed the role of VSX1 by sequence analysis of its five exons in 117 sporadic KTCN patients. Our screening showed the absence of pathogenic variations whereas, four previously reported SNPs were observed. Since no pathogenic changes were detected, we compared the genotype and allele frequency of each of the identified polymorphisms between the disease cohort and healthy controls to access their possible disease involvement. However, allele frequencies of these identified SNPs were found in similar frequency between cases and controls confirming their non-pathogenicity. Other VSX1 gene variations such as p.D144E, p.L17P, p.N151S p.G160D, p.P247R, p.L159M, p.G160V, p.Q175H, p.R166W and p.H244R, reported in different previous VSX1 studies were not identified in our analysis [18-22,24,29]. There are few earlier studies, which have indicated the association of non pathogenic VSX1 variations. Stabuc-Silih et al., [25] found an absence of VSX1 pathogenic mutations but observed an association of c.650G>A polymorphism (p=0.043) in unrelated Slovenian patients diagnosed with the hereditary form of KTCN. Mok et al., [20] found a significant association of one VSX1 intragenic polymorphism ‘IVS1-11’ in unrelated Korean keratoconus patients (p=0.001). Mutational screening of 66 unrelated patients with keratoconus (27 familial cases; 39 sporadic cases) from the European population, showed a minor role of VSX1 in the pathogenesis of keratoconus [22]. However, several other studies have shown the absence of pathogenic variations or lack of association of VSX1 variants with KTCN. Tang YG et al., [29] ruled out the association of previously reported VSX1 variations in a case–control study of 77 white KTCN patients. Liskova et al., [28], in a study of 85 familial keratoconus pedigrees from different ethnic origins, found a lack of pathogenic variations in VSX1 and disqualified the previously reported c.432C>G (p.D144E) change to be pathogenic. Aldave et al., [27] found the absence of mutation in 100 unrelated KTCN subjects and concluded that VSX1 mutations are not associated with keratoconus. Overall, our study also rules out the possible involvement of VSX1 gene in sporadic, South Indian KTCN patients. However, few previous evidence of VSX1 pathogenic variations and their association with disease, suggest that it is more likely to be involved in a smaller subset of the KTCN population. The role of VSX1 variations in a minority of keratoconus patients may be influenced by its possible variable penetrance or pleiotropic effect in corneal tissue. Our study supports the previous evidence of lack of pathogenic variations in VSX1, and corroborates the involvement of new genes, loci or any other genetic or environmental factors. Linkage analysis and association study are the two main approaches used to identify novel genes. Genome wide association study (GWAS) is a more useful approach as it is wide-ranging, unbiased and can be applied even in the absence of convincing indication regarding the function or location of the causal genes. The other genetic factors are needed to be investigated for KTCN pathogenesis. Abu-Amero et al., [32], analyzed VSX1 chromosomal copy number variations (deletions/duplications) in a group of sporadic patients, who were excluded for VSX1 mutations, and verified that such possible genetic changes are also not involved in keratoconus. Recent studies find that keratoconus corneas have signs of oxidative stress and high level of mitochondrial DNA damage [33]. More recent findings suggest that micro-RNA can be involved in the pathogenesis of keratoconus [34]. Therefore, mitochondrial genes and micro-RNA are the prospective emerging areas to explore in the context of other genetic factors related to keratoconus. Proteomic profiles in the KTCN corneas and tear have shown differential expression of several proteins, which may have possible role in the etiology of keratoconus [35-37]. Hence, genetic and proteomic approaches together can provide more useful information regarding disease etiology. For the genetic basis of keratoconus, other genetic factors, new chromosomal loci and genes are the subject of investigation to accomplish the better understanding of the pathogenesis of disease.
[ "Background", "Clinical assessment", "DNA extraction and PCR amplification", "DNA sequencing", "Comparative analysis", "Results & discussion", "Abbreviations", "Competing interests", "Authors' contributions" ]
[ "Keratoconus (KTCN; [OMIM] 148300) is a corneal ectatic disorder characterized by progressive thinning of the central cornea, which acquires a conical shape rather than its normal dome-shaped curve. This results in optical aberrations leading to distorted blurred vision, progressive high myopia and irregular astigmatism [1]. Keratoconus is mostly bilateral but can be unilateral, onset in teenage years and often progresses until the third or fourth decade of life [2]. The prevalence of keratoconus is estimated to be 1 in 2000 in the general population [2,3]. It is more common in patients with atopic conditions, such as asthma, dermatitis, and found to be associated with many other genetic disorders like Down syndrome, posterior polymorphous corneal dystrophy, Leber congenital amaurosis, retinitis pigmentosa, Marfan syndrome, mitral valve prolapse and other documented associations [1,2,4]. It occurs usually in a sporadic form, though positive familial history has been reported in 6-10% of patients, with mostly autosomal dominant and sometime recessive or X-linked mode of inheritance [4-6]. Common histopathological features of KTCN include stromal thinning, iron deposition in the epithelial basement membrane, breaks in corneal Bowman’s layer and sometimes endothelial damage [2,7]. The disease generally occurs with no gender preponderance; however, few evidence suggests a higher prevalence in either male or female [1,6,8]. At present, the milder forms of keratoconus are corrected by spectacles or contact lenses. In 10% to 20% of KTCN cases, corneal thinning may reach such a severity that it becomes very essential to undergo corneal transplantation or penetrating keratoplasty, which has emerged as a major medical burden in many countries [2,9]. The exact etiology of KTCN is still unknown, and its pathogenesis may involve genetic as well as environmental or behavioural factors, such as ultra-violet radiation UVB, atopy/allergy, contact lens wear and mechanical eye rubbing, etc. [10-12]. Primarily, the genetic factors may play an important role in the development of keratoconus as evidenced by studies of familial inheritance, concordance between monozygotic twins and association with other known genetic disorders [12-14]. By linkage analysis and association studies, various loci have been mapped in families from different ethnic populations, well summarized by Nowak DM et al. [12]. Based on associated loci, genes such as SPARC, LOX, TIMP3, COL6A1, COL8A1, MMP9, and MMP2, etc., have been examined for their involvement [12,15]. The SOD1 and CRB1 were also analyzed as possible candidate genes because of their role in keratoconus associated disease like Down syndrome and Leber congenital amaurosis respectively [16,17]. However, genes under such studies, have not provided enough evidence for being an appropriate candidate gene in the pathogenesis of KTCN. One of the well-studied genes in genetic association with keratoconus is VSX1. Human VSX1 [OMIM 605020] is a member of the VSX1 group of vertebrate paired-like homeodomain transcription factors localized to human chromosome 20p11-q11. Heon et al., [18] first identified VSX1 mutations in patients with either keratoconus or posterior polymorphous corneal dystrophy (PPCD). This led to the assumption that mutations in the VSX1 gene may be involved in pathogenesis of keratoconus. A number of other studies, further showed the presence of VSX1 variants in keratoconus patients from different ethnic populations [19-24]. Among them, several variants were found in highly conserved residues of VSX1, and predicted to be pathogenic by the bioinformatics tools like PolyPhen, SIFT, etc. [21,23]. The exonic and intragenic polymorphisms were frequently reported in such studies, and found to be associated with the disease in a few cases [22,25]. On the other hand, many other studies excluded those previously reported VSX1 variations to be pathogenic, and showed a lack of mutation or association [26-30]. Therefore, the role of VSX1 in KTCN pathogenesis is ambiguous, and further genetic studies are required for any persuasive conclusions. In this study, we have undertaken the sequence analysis of coding regions of VSX1 gene in order to determine its genetic involvement in South Indian patients with sporadic form of keratoconus.", "Patients affected with keratoconus were recruited from cornea clinic, Aravind eye hospital, Madurai, between the period of 2009 to 2011. The study consisted of 117 unrelated sporadic keratoconus patients, including 69 males and 48 females with an age range between 12 to 46 years old and mean age 23.1 years (SD ±6.1 years). A total of 108 ethnic-matched healthy blood donors with age range between 17 to 65 years old and mean age 24.6 years (SD ±9.4), including 27 males and 81 females, with no major ocular disorders were taken as controls. Any KTCN subjects with co-existing allergy/atopy, or systemic diseases/syndromes such as Down syndrome, Leber congenital amaurosis, Ehlers-Danlos syndrome, osteogenesis imperfecta and pellucid marginal degeneration, or post-LASIK or other refractive surgeries were excluded from this study. All study subjects belonged to South Indian ethnicity, mainly from the region of Tamil Nadu. Informed consent was obtained from each of the subjects. The study obeyed the tenets of the declaration of Helsinki and was approved by the institutional review board of Aravind eye hospital, Madurai, Tamil Nadu, India. The diagnosis of KTCN was based on the presence of important clinical features such as Munson’s sign, Vogt’s striae, Fleischer ring, prominent corneal nerves, corneal scarring, etc. The orbscan II parameters, (anterior float, posterior float, keratometry and pachymetry reading) operated with software version 3.12 (Bausch & Lomb Inc., Rochester, NY) were taken for the final diagnosis using following measurements (a) ratio between the radius of anterior best-fit sphere (BFS) and posterior BFS >1.27 (b) power of posterior BFS >55D (c) difference between highest and lowest posterior float points >100 μ (d) corneal thickness index (CTI) >1.16 (e) irregularity at 3 mm zone >1.5D; 5 mm zone >2.5D and (f) K reading >47D. The patients diagnosed with forme-frusta keratoconus were not included in the study. Intra ocular pressure using pulsair non-contact tonometry was also taken for all patients. The study involved only sporadic keratoconus cases, and patients with a family history of KTCN were excluded. Furthermore, to confirm the sporadic nature of cases, three to four immediate available family members of each patient were clinically examined.", "Genomic DNA was isolated from peripheral blood leukocytes using the salt precipitation method as described by Miller et al., [31]. The primer pairs used to amplify each of the five coding VSX1 exons were previously described [19]. PCR reaction (Eppendorf mastercycler, Westbury, NY) was carried out in a 20 μl reaction mixture set up containing 2 μl of 10X PCR buffer with 1.5 mM MgCl2, 200 mM dNTP, 0.2 mM of each forward and reverse primer, 0.2 U Taq DNA polymerase (Sigma) and 50 ng genomic DNA. The genomic DNA underwent initial denaturation for 5 min at 95°C, followed by 35 cycles at 94°C for 1 min, respective exons annealing at 58°C (ex1), 59°C (ex2), 62°C (ex3,4,5) for 1 min, extension at 72°C for 30 sec and final extension for 5 min at 72°C. The VSX1 gene coding regions with their exon-intron junctions were examined by bidirectional sequencing analysis.", "The PCR products were pooled and purified using the gel-elution kit method (Bio Basic Inc. Canada). The purified PCR products were sequenced bidirectionally using Big Dye Terminator ready reaction mix and analyzed on an ABI-3130 genetic analyzer (Applied Biosystems, Fostercity, CA). The sequence data analysis was done using BLAST software and compared with the published nucleotide sequence of the VSX1 gene [Gen Bank accession number NM_014588]. The identified variations were evaluated using Alamut software version 2.1e (Interactive Biosoftware, Rouen, France). The nomenclature, location and classification of variations were done based on the Alamut output.", "A comparative statistical analysis of genotype and allele frequency was done using chi-square or Fisher’s exact test in order to assess differences in the distribution of VSX1 polymorphism between cases and controls. The allelic p-value and odds ratio was determined for each of the identified VSX1 variants.", "A total of 117 sporadic KTCN patients were analyzed for coding and flanking intronic regions of VSX1 through bidirectional DNA sequencing analysis. In the VSX1 gene screening, no pathogenic mutations were identified whereas, four reported single nucleotide polymorphisms c.546A>G (rs12480307), c.627+23G>A (rs6138482), c.627+84T>A (rs56157240) and c.504-24C>T (IVS3-24C) could be observed (Table 1). Further, these four SNPs were investigated in 108 ethnic-matched healthy controls, and their genotype and allele frequency was compared between cases and control. The comparative statistical analysis of allele frequency of these SNPs indicated similar distribution in both patient and control groups (Table 2). The polymorphism c.546A>G (rs12480307) was found in exon 3 encoding a synonymous alanine substitution at 182 amino acid position, which is highly conserved throughout many species. This variation was seen in 43 cases (36 heterozygous and 7 homozygous) and 32 controls (28 heterozygous and 4 homozygous). The statistical analysis showed no significant difference of allelic distribution (p value 0.205) among cases and controls. The polymorphic variant c.627+23G>A (rs6138482) was found in 29 cases (26 heterozygous and 3 homozygous) and 41 controls (40 heterozygous and 1 homozygous). The statistical analysis showed the allelic p value 0.099, which was insignificant. The polymorphic variant c.627+84T>A (rs56157240) was found in 58 cases (49 heterozygous and 9 homozygous) and 50 controls (43 heterozygous and 7 homozygous) with no significant difference of allelic distribution between case and control groups (p value 0.595). Another variant IVS3-24C>T (c.504-24C>T) was identified in 7 cases (7 heterozygous and 0 homozygous) and 7 controls (7 heterozygous and 0 homozygous) signifying its equal distribution (allelic p-value 0.879) between cases and controls. This change was recently reported by Mukesh Tanwar et al., [25] as a novel VSX1 variant, and registered in GenBank [Accession number : GU471016].\n\n\nVSX1 \n\nsequence variants observed in the study\n\n\nFrequencies of \n\nVSX\n\n1 gene variants in sporadic KTCN cases and healthy controls\n\nOR-odds ratio, CI- confidence interval, p-value less than 0.05 was considered as significant.", "KTCN: Keratoconus; VSX1: Visual system homeobox 1; PCR: Polymerase chain reaction; SNP: Single nucleotide polymorphism; DNA: Deoxyribonucleic acid; LASIK: Laser-assisted in situ keratomileusis.", "ALCON has provided the financial support for this project. AMRF has provided the partial support for article processing charge.", "AV and PS carried out the molecular genetic studies, participated in the sequence analysis and drafted the manuscript. MD, MS and NVP equally participated in the recruitment and clinical diagnosis of patients, helped in the design and coordination of the study. All authors read and approved the final manuscript." ]
[ null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Clinical assessment", "DNA extraction and PCR amplification", "DNA sequencing", "Comparative analysis", "Results & discussion", "Conclusions", "Abbreviations", "Competing interests", "Authors' contributions" ]
[ "Keratoconus (KTCN; [OMIM] 148300) is a corneal ectatic disorder characterized by progressive thinning of the central cornea, which acquires a conical shape rather than its normal dome-shaped curve. This results in optical aberrations leading to distorted blurred vision, progressive high myopia and irregular astigmatism [1]. Keratoconus is mostly bilateral but can be unilateral, onset in teenage years and often progresses until the third or fourth decade of life [2]. The prevalence of keratoconus is estimated to be 1 in 2000 in the general population [2,3]. It is more common in patients with atopic conditions, such as asthma, dermatitis, and found to be associated with many other genetic disorders like Down syndrome, posterior polymorphous corneal dystrophy, Leber congenital amaurosis, retinitis pigmentosa, Marfan syndrome, mitral valve prolapse and other documented associations [1,2,4]. It occurs usually in a sporadic form, though positive familial history has been reported in 6-10% of patients, with mostly autosomal dominant and sometime recessive or X-linked mode of inheritance [4-6]. Common histopathological features of KTCN include stromal thinning, iron deposition in the epithelial basement membrane, breaks in corneal Bowman’s layer and sometimes endothelial damage [2,7]. The disease generally occurs with no gender preponderance; however, few evidence suggests a higher prevalence in either male or female [1,6,8]. At present, the milder forms of keratoconus are corrected by spectacles or contact lenses. In 10% to 20% of KTCN cases, corneal thinning may reach such a severity that it becomes very essential to undergo corneal transplantation or penetrating keratoplasty, which has emerged as a major medical burden in many countries [2,9]. The exact etiology of KTCN is still unknown, and its pathogenesis may involve genetic as well as environmental or behavioural factors, such as ultra-violet radiation UVB, atopy/allergy, contact lens wear and mechanical eye rubbing, etc. [10-12]. Primarily, the genetic factors may play an important role in the development of keratoconus as evidenced by studies of familial inheritance, concordance between monozygotic twins and association with other known genetic disorders [12-14]. By linkage analysis and association studies, various loci have been mapped in families from different ethnic populations, well summarized by Nowak DM et al. [12]. Based on associated loci, genes such as SPARC, LOX, TIMP3, COL6A1, COL8A1, MMP9, and MMP2, etc., have been examined for their involvement [12,15]. The SOD1 and CRB1 were also analyzed as possible candidate genes because of their role in keratoconus associated disease like Down syndrome and Leber congenital amaurosis respectively [16,17]. However, genes under such studies, have not provided enough evidence for being an appropriate candidate gene in the pathogenesis of KTCN. One of the well-studied genes in genetic association with keratoconus is VSX1. Human VSX1 [OMIM 605020] is a member of the VSX1 group of vertebrate paired-like homeodomain transcription factors localized to human chromosome 20p11-q11. Heon et al., [18] first identified VSX1 mutations in patients with either keratoconus or posterior polymorphous corneal dystrophy (PPCD). This led to the assumption that mutations in the VSX1 gene may be involved in pathogenesis of keratoconus. A number of other studies, further showed the presence of VSX1 variants in keratoconus patients from different ethnic populations [19-24]. Among them, several variants were found in highly conserved residues of VSX1, and predicted to be pathogenic by the bioinformatics tools like PolyPhen, SIFT, etc. [21,23]. The exonic and intragenic polymorphisms were frequently reported in such studies, and found to be associated with the disease in a few cases [22,25]. On the other hand, many other studies excluded those previously reported VSX1 variations to be pathogenic, and showed a lack of mutation or association [26-30]. Therefore, the role of VSX1 in KTCN pathogenesis is ambiguous, and further genetic studies are required for any persuasive conclusions. In this study, we have undertaken the sequence analysis of coding regions of VSX1 gene in order to determine its genetic involvement in South Indian patients with sporadic form of keratoconus.", " Clinical assessment Patients affected with keratoconus were recruited from cornea clinic, Aravind eye hospital, Madurai, between the period of 2009 to 2011. The study consisted of 117 unrelated sporadic keratoconus patients, including 69 males and 48 females with an age range between 12 to 46 years old and mean age 23.1 years (SD ±6.1 years). A total of 108 ethnic-matched healthy blood donors with age range between 17 to 65 years old and mean age 24.6 years (SD ±9.4), including 27 males and 81 females, with no major ocular disorders were taken as controls. Any KTCN subjects with co-existing allergy/atopy, or systemic diseases/syndromes such as Down syndrome, Leber congenital amaurosis, Ehlers-Danlos syndrome, osteogenesis imperfecta and pellucid marginal degeneration, or post-LASIK or other refractive surgeries were excluded from this study. All study subjects belonged to South Indian ethnicity, mainly from the region of Tamil Nadu. Informed consent was obtained from each of the subjects. The study obeyed the tenets of the declaration of Helsinki and was approved by the institutional review board of Aravind eye hospital, Madurai, Tamil Nadu, India. The diagnosis of KTCN was based on the presence of important clinical features such as Munson’s sign, Vogt’s striae, Fleischer ring, prominent corneal nerves, corneal scarring, etc. The orbscan II parameters, (anterior float, posterior float, keratometry and pachymetry reading) operated with software version 3.12 (Bausch & Lomb Inc., Rochester, NY) were taken for the final diagnosis using following measurements (a) ratio between the radius of anterior best-fit sphere (BFS) and posterior BFS >1.27 (b) power of posterior BFS >55D (c) difference between highest and lowest posterior float points >100 μ (d) corneal thickness index (CTI) >1.16 (e) irregularity at 3 mm zone >1.5D; 5 mm zone >2.5D and (f) K reading >47D. The patients diagnosed with forme-frusta keratoconus were not included in the study. Intra ocular pressure using pulsair non-contact tonometry was also taken for all patients. The study involved only sporadic keratoconus cases, and patients with a family history of KTCN were excluded. Furthermore, to confirm the sporadic nature of cases, three to four immediate available family members of each patient were clinically examined.\nPatients affected with keratoconus were recruited from cornea clinic, Aravind eye hospital, Madurai, between the period of 2009 to 2011. The study consisted of 117 unrelated sporadic keratoconus patients, including 69 males and 48 females with an age range between 12 to 46 years old and mean age 23.1 years (SD ±6.1 years). A total of 108 ethnic-matched healthy blood donors with age range between 17 to 65 years old and mean age 24.6 years (SD ±9.4), including 27 males and 81 females, with no major ocular disorders were taken as controls. Any KTCN subjects with co-existing allergy/atopy, or systemic diseases/syndromes such as Down syndrome, Leber congenital amaurosis, Ehlers-Danlos syndrome, osteogenesis imperfecta and pellucid marginal degeneration, or post-LASIK or other refractive surgeries were excluded from this study. All study subjects belonged to South Indian ethnicity, mainly from the region of Tamil Nadu. Informed consent was obtained from each of the subjects. The study obeyed the tenets of the declaration of Helsinki and was approved by the institutional review board of Aravind eye hospital, Madurai, Tamil Nadu, India. The diagnosis of KTCN was based on the presence of important clinical features such as Munson’s sign, Vogt’s striae, Fleischer ring, prominent corneal nerves, corneal scarring, etc. The orbscan II parameters, (anterior float, posterior float, keratometry and pachymetry reading) operated with software version 3.12 (Bausch & Lomb Inc., Rochester, NY) were taken for the final diagnosis using following measurements (a) ratio between the radius of anterior best-fit sphere (BFS) and posterior BFS >1.27 (b) power of posterior BFS >55D (c) difference between highest and lowest posterior float points >100 μ (d) corneal thickness index (CTI) >1.16 (e) irregularity at 3 mm zone >1.5D; 5 mm zone >2.5D and (f) K reading >47D. The patients diagnosed with forme-frusta keratoconus were not included in the study. Intra ocular pressure using pulsair non-contact tonometry was also taken for all patients. The study involved only sporadic keratoconus cases, and patients with a family history of KTCN were excluded. Furthermore, to confirm the sporadic nature of cases, three to four immediate available family members of each patient were clinically examined.\n DNA extraction and PCR amplification Genomic DNA was isolated from peripheral blood leukocytes using the salt precipitation method as described by Miller et al., [31]. The primer pairs used to amplify each of the five coding VSX1 exons were previously described [19]. PCR reaction (Eppendorf mastercycler, Westbury, NY) was carried out in a 20 μl reaction mixture set up containing 2 μl of 10X PCR buffer with 1.5 mM MgCl2, 200 mM dNTP, 0.2 mM of each forward and reverse primer, 0.2 U Taq DNA polymerase (Sigma) and 50 ng genomic DNA. The genomic DNA underwent initial denaturation for 5 min at 95°C, followed by 35 cycles at 94°C for 1 min, respective exons annealing at 58°C (ex1), 59°C (ex2), 62°C (ex3,4,5) for 1 min, extension at 72°C for 30 sec and final extension for 5 min at 72°C. The VSX1 gene coding regions with their exon-intron junctions were examined by bidirectional sequencing analysis.\nGenomic DNA was isolated from peripheral blood leukocytes using the salt precipitation method as described by Miller et al., [31]. The primer pairs used to amplify each of the five coding VSX1 exons were previously described [19]. PCR reaction (Eppendorf mastercycler, Westbury, NY) was carried out in a 20 μl reaction mixture set up containing 2 μl of 10X PCR buffer with 1.5 mM MgCl2, 200 mM dNTP, 0.2 mM of each forward and reverse primer, 0.2 U Taq DNA polymerase (Sigma) and 50 ng genomic DNA. The genomic DNA underwent initial denaturation for 5 min at 95°C, followed by 35 cycles at 94°C for 1 min, respective exons annealing at 58°C (ex1), 59°C (ex2), 62°C (ex3,4,5) for 1 min, extension at 72°C for 30 sec and final extension for 5 min at 72°C. The VSX1 gene coding regions with their exon-intron junctions were examined by bidirectional sequencing analysis.\n DNA sequencing The PCR products were pooled and purified using the gel-elution kit method (Bio Basic Inc. Canada). The purified PCR products were sequenced bidirectionally using Big Dye Terminator ready reaction mix and analyzed on an ABI-3130 genetic analyzer (Applied Biosystems, Fostercity, CA). The sequence data analysis was done using BLAST software and compared with the published nucleotide sequence of the VSX1 gene [Gen Bank accession number NM_014588]. The identified variations were evaluated using Alamut software version 2.1e (Interactive Biosoftware, Rouen, France). The nomenclature, location and classification of variations were done based on the Alamut output.\nThe PCR products were pooled and purified using the gel-elution kit method (Bio Basic Inc. Canada). The purified PCR products were sequenced bidirectionally using Big Dye Terminator ready reaction mix and analyzed on an ABI-3130 genetic analyzer (Applied Biosystems, Fostercity, CA). The sequence data analysis was done using BLAST software and compared with the published nucleotide sequence of the VSX1 gene [Gen Bank accession number NM_014588]. The identified variations were evaluated using Alamut software version 2.1e (Interactive Biosoftware, Rouen, France). The nomenclature, location and classification of variations were done based on the Alamut output.\n Comparative analysis A comparative statistical analysis of genotype and allele frequency was done using chi-square or Fisher’s exact test in order to assess differences in the distribution of VSX1 polymorphism between cases and controls. The allelic p-value and odds ratio was determined for each of the identified VSX1 variants.\nA comparative statistical analysis of genotype and allele frequency was done using chi-square or Fisher’s exact test in order to assess differences in the distribution of VSX1 polymorphism between cases and controls. The allelic p-value and odds ratio was determined for each of the identified VSX1 variants.", "Patients affected with keratoconus were recruited from cornea clinic, Aravind eye hospital, Madurai, between the period of 2009 to 2011. The study consisted of 117 unrelated sporadic keratoconus patients, including 69 males and 48 females with an age range between 12 to 46 years old and mean age 23.1 years (SD ±6.1 years). A total of 108 ethnic-matched healthy blood donors with age range between 17 to 65 years old and mean age 24.6 years (SD ±9.4), including 27 males and 81 females, with no major ocular disorders were taken as controls. Any KTCN subjects with co-existing allergy/atopy, or systemic diseases/syndromes such as Down syndrome, Leber congenital amaurosis, Ehlers-Danlos syndrome, osteogenesis imperfecta and pellucid marginal degeneration, or post-LASIK or other refractive surgeries were excluded from this study. All study subjects belonged to South Indian ethnicity, mainly from the region of Tamil Nadu. Informed consent was obtained from each of the subjects. The study obeyed the tenets of the declaration of Helsinki and was approved by the institutional review board of Aravind eye hospital, Madurai, Tamil Nadu, India. The diagnosis of KTCN was based on the presence of important clinical features such as Munson’s sign, Vogt’s striae, Fleischer ring, prominent corneal nerves, corneal scarring, etc. The orbscan II parameters, (anterior float, posterior float, keratometry and pachymetry reading) operated with software version 3.12 (Bausch & Lomb Inc., Rochester, NY) were taken for the final diagnosis using following measurements (a) ratio between the radius of anterior best-fit sphere (BFS) and posterior BFS >1.27 (b) power of posterior BFS >55D (c) difference between highest and lowest posterior float points >100 μ (d) corneal thickness index (CTI) >1.16 (e) irregularity at 3 mm zone >1.5D; 5 mm zone >2.5D and (f) K reading >47D. The patients diagnosed with forme-frusta keratoconus were not included in the study. Intra ocular pressure using pulsair non-contact tonometry was also taken for all patients. The study involved only sporadic keratoconus cases, and patients with a family history of KTCN were excluded. Furthermore, to confirm the sporadic nature of cases, three to four immediate available family members of each patient were clinically examined.", "Genomic DNA was isolated from peripheral blood leukocytes using the salt precipitation method as described by Miller et al., [31]. The primer pairs used to amplify each of the five coding VSX1 exons were previously described [19]. PCR reaction (Eppendorf mastercycler, Westbury, NY) was carried out in a 20 μl reaction mixture set up containing 2 μl of 10X PCR buffer with 1.5 mM MgCl2, 200 mM dNTP, 0.2 mM of each forward and reverse primer, 0.2 U Taq DNA polymerase (Sigma) and 50 ng genomic DNA. The genomic DNA underwent initial denaturation for 5 min at 95°C, followed by 35 cycles at 94°C for 1 min, respective exons annealing at 58°C (ex1), 59°C (ex2), 62°C (ex3,4,5) for 1 min, extension at 72°C for 30 sec and final extension for 5 min at 72°C. The VSX1 gene coding regions with their exon-intron junctions were examined by bidirectional sequencing analysis.", "The PCR products were pooled and purified using the gel-elution kit method (Bio Basic Inc. Canada). The purified PCR products were sequenced bidirectionally using Big Dye Terminator ready reaction mix and analyzed on an ABI-3130 genetic analyzer (Applied Biosystems, Fostercity, CA). The sequence data analysis was done using BLAST software and compared with the published nucleotide sequence of the VSX1 gene [Gen Bank accession number NM_014588]. The identified variations were evaluated using Alamut software version 2.1e (Interactive Biosoftware, Rouen, France). The nomenclature, location and classification of variations were done based on the Alamut output.", "A comparative statistical analysis of genotype and allele frequency was done using chi-square or Fisher’s exact test in order to assess differences in the distribution of VSX1 polymorphism between cases and controls. The allelic p-value and odds ratio was determined for each of the identified VSX1 variants.", "A total of 117 sporadic KTCN patients were analyzed for coding and flanking intronic regions of VSX1 through bidirectional DNA sequencing analysis. In the VSX1 gene screening, no pathogenic mutations were identified whereas, four reported single nucleotide polymorphisms c.546A>G (rs12480307), c.627+23G>A (rs6138482), c.627+84T>A (rs56157240) and c.504-24C>T (IVS3-24C) could be observed (Table 1). Further, these four SNPs were investigated in 108 ethnic-matched healthy controls, and their genotype and allele frequency was compared between cases and control. The comparative statistical analysis of allele frequency of these SNPs indicated similar distribution in both patient and control groups (Table 2). The polymorphism c.546A>G (rs12480307) was found in exon 3 encoding a synonymous alanine substitution at 182 amino acid position, which is highly conserved throughout many species. This variation was seen in 43 cases (36 heterozygous and 7 homozygous) and 32 controls (28 heterozygous and 4 homozygous). The statistical analysis showed no significant difference of allelic distribution (p value 0.205) among cases and controls. The polymorphic variant c.627+23G>A (rs6138482) was found in 29 cases (26 heterozygous and 3 homozygous) and 41 controls (40 heterozygous and 1 homozygous). The statistical analysis showed the allelic p value 0.099, which was insignificant. The polymorphic variant c.627+84T>A (rs56157240) was found in 58 cases (49 heterozygous and 9 homozygous) and 50 controls (43 heterozygous and 7 homozygous) with no significant difference of allelic distribution between case and control groups (p value 0.595). Another variant IVS3-24C>T (c.504-24C>T) was identified in 7 cases (7 heterozygous and 0 homozygous) and 7 controls (7 heterozygous and 0 homozygous) signifying its equal distribution (allelic p-value 0.879) between cases and controls. This change was recently reported by Mukesh Tanwar et al., [25] as a novel VSX1 variant, and registered in GenBank [Accession number : GU471016].\n\n\nVSX1 \n\nsequence variants observed in the study\n\n\nFrequencies of \n\nVSX\n\n1 gene variants in sporadic KTCN cases and healthy controls\n\nOR-odds ratio, CI- confidence interval, p-value less than 0.05 was considered as significant.", "In our study, we have assessed the role of VSX1 by sequence analysis of its five exons in 117 sporadic KTCN patients. Our screening showed the absence of pathogenic variations whereas, four previously reported SNPs were observed. Since no pathogenic changes were detected, we compared the genotype and allele frequency of each of the identified polymorphisms between the disease cohort and healthy controls to access their possible disease involvement. However, allele frequencies of these identified SNPs were found in similar frequency between cases and controls confirming their non-pathogenicity. Other VSX1 gene variations such as p.D144E, p.L17P, p.N151S p.G160D, p.P247R, p.L159M, p.G160V, p.Q175H, p.R166W and p.H244R, reported in different previous VSX1 studies were not identified in our analysis [18-22,24,29]. There are few earlier studies, which have indicated the association of non pathogenic VSX1 variations. Stabuc-Silih et al., [25] found an absence of VSX1 pathogenic mutations but observed an association of c.650G>A polymorphism (p=0.043) in unrelated Slovenian patients diagnosed with the hereditary form of KTCN. Mok et al., [20] found a significant association of one VSX1 intragenic polymorphism ‘IVS1-11’ in unrelated Korean keratoconus patients (p=0.001). Mutational screening of 66 unrelated patients with keratoconus (27 familial cases; 39 sporadic cases) from the European population, showed a minor role of VSX1 in the pathogenesis of keratoconus [22]. However, several other studies have shown the absence of pathogenic variations or lack of association of VSX1 variants with KTCN. Tang YG et al., [29] ruled out the association of previously reported VSX1 variations in a case–control study of 77 white KTCN patients. Liskova et al., [28], in a study of 85 familial keratoconus pedigrees from different ethnic origins, found a lack of pathogenic variations in VSX1 and disqualified the previously reported c.432C>G (p.D144E) change to be pathogenic. Aldave et al., [27] found the absence of mutation in 100 unrelated KTCN subjects and concluded that VSX1 mutations are not associated with keratoconus. Overall, our study also rules out the possible involvement of VSX1 gene in sporadic, South Indian KTCN patients. However, few previous evidence of VSX1 pathogenic variations and their association with disease, suggest that it is more likely to be involved in a smaller subset of the KTCN population. The role of VSX1 variations in a minority of keratoconus patients may be influenced by its possible variable penetrance or pleiotropic effect in corneal tissue.\nOur study supports the previous evidence of lack of pathogenic variations in VSX1, and corroborates the involvement of new genes, loci or any other genetic or environmental factors. Linkage analysis and association study are the two main approaches used to identify novel genes. Genome wide association study (GWAS) is a more useful approach as it is wide-ranging, unbiased and can be applied even in the absence of convincing indication regarding the function or location of the causal genes. The other genetic factors are needed to be investigated for KTCN pathogenesis. Abu-Amero et al., [32], analyzed VSX1 chromosomal copy number variations (deletions/duplications) in a group of sporadic patients, who were excluded for VSX1 mutations, and verified that such possible genetic changes are also not involved in keratoconus. Recent studies find that keratoconus corneas have signs of oxidative stress and high level of mitochondrial DNA damage [33]. More recent findings suggest that micro-RNA can be involved in the pathogenesis of keratoconus [34]. Therefore, mitochondrial genes and micro-RNA are the prospective emerging areas to explore in the context of other genetic factors related to keratoconus. Proteomic profiles in the KTCN corneas and tear have shown differential expression of several proteins, which may have possible role in the etiology of keratoconus [35-37]. Hence, genetic and proteomic approaches together can provide more useful information regarding disease etiology. For the genetic basis of keratoconus, other genetic factors, new chromosomal loci and genes are the subject of investigation to accomplish the better understanding of the pathogenesis of disease.", "KTCN: Keratoconus; VSX1: Visual system homeobox 1; PCR: Polymerase chain reaction; SNP: Single nucleotide polymorphism; DNA: Deoxyribonucleic acid; LASIK: Laser-assisted in situ keratomileusis.", "ALCON has provided the financial support for this project. AMRF has provided the partial support for article processing charge.", "AV and PS carried out the molecular genetic studies, participated in the sequence analysis and drafted the manuscript. MD, MS and NVP equally participated in the recruitment and clinical diagnosis of patients, helped in the design and coordination of the study. All authors read and approved the final manuscript." ]
[ null, "methods", null, null, null, null, null, "conclusions", null, null, null ]
[ "KTCN - Keratoconus", "VSX1 - Visual system homeobox 1", "SNP - Single nucleotide polymorphism" ]
Background: Keratoconus (KTCN; [OMIM] 148300) is a corneal ectatic disorder characterized by progressive thinning of the central cornea, which acquires a conical shape rather than its normal dome-shaped curve. This results in optical aberrations leading to distorted blurred vision, progressive high myopia and irregular astigmatism [1]. Keratoconus is mostly bilateral but can be unilateral, onset in teenage years and often progresses until the third or fourth decade of life [2]. The prevalence of keratoconus is estimated to be 1 in 2000 in the general population [2,3]. It is more common in patients with atopic conditions, such as asthma, dermatitis, and found to be associated with many other genetic disorders like Down syndrome, posterior polymorphous corneal dystrophy, Leber congenital amaurosis, retinitis pigmentosa, Marfan syndrome, mitral valve prolapse and other documented associations [1,2,4]. It occurs usually in a sporadic form, though positive familial history has been reported in 6-10% of patients, with mostly autosomal dominant and sometime recessive or X-linked mode of inheritance [4-6]. Common histopathological features of KTCN include stromal thinning, iron deposition in the epithelial basement membrane, breaks in corneal Bowman’s layer and sometimes endothelial damage [2,7]. The disease generally occurs with no gender preponderance; however, few evidence suggests a higher prevalence in either male or female [1,6,8]. At present, the milder forms of keratoconus are corrected by spectacles or contact lenses. In 10% to 20% of KTCN cases, corneal thinning may reach such a severity that it becomes very essential to undergo corneal transplantation or penetrating keratoplasty, which has emerged as a major medical burden in many countries [2,9]. The exact etiology of KTCN is still unknown, and its pathogenesis may involve genetic as well as environmental or behavioural factors, such as ultra-violet radiation UVB, atopy/allergy, contact lens wear and mechanical eye rubbing, etc. [10-12]. Primarily, the genetic factors may play an important role in the development of keratoconus as evidenced by studies of familial inheritance, concordance between monozygotic twins and association with other known genetic disorders [12-14]. By linkage analysis and association studies, various loci have been mapped in families from different ethnic populations, well summarized by Nowak DM et al. [12]. Based on associated loci, genes such as SPARC, LOX, TIMP3, COL6A1, COL8A1, MMP9, and MMP2, etc., have been examined for their involvement [12,15]. The SOD1 and CRB1 were also analyzed as possible candidate genes because of their role in keratoconus associated disease like Down syndrome and Leber congenital amaurosis respectively [16,17]. However, genes under such studies, have not provided enough evidence for being an appropriate candidate gene in the pathogenesis of KTCN. One of the well-studied genes in genetic association with keratoconus is VSX1. Human VSX1 [OMIM 605020] is a member of the VSX1 group of vertebrate paired-like homeodomain transcription factors localized to human chromosome 20p11-q11. Heon et al., [18] first identified VSX1 mutations in patients with either keratoconus or posterior polymorphous corneal dystrophy (PPCD). This led to the assumption that mutations in the VSX1 gene may be involved in pathogenesis of keratoconus. A number of other studies, further showed the presence of VSX1 variants in keratoconus patients from different ethnic populations [19-24]. Among them, several variants were found in highly conserved residues of VSX1, and predicted to be pathogenic by the bioinformatics tools like PolyPhen, SIFT, etc. [21,23]. The exonic and intragenic polymorphisms were frequently reported in such studies, and found to be associated with the disease in a few cases [22,25]. On the other hand, many other studies excluded those previously reported VSX1 variations to be pathogenic, and showed a lack of mutation or association [26-30]. Therefore, the role of VSX1 in KTCN pathogenesis is ambiguous, and further genetic studies are required for any persuasive conclusions. In this study, we have undertaken the sequence analysis of coding regions of VSX1 gene in order to determine its genetic involvement in South Indian patients with sporadic form of keratoconus. Methods: Clinical assessment Patients affected with keratoconus were recruited from cornea clinic, Aravind eye hospital, Madurai, between the period of 2009 to 2011. The study consisted of 117 unrelated sporadic keratoconus patients, including 69 males and 48 females with an age range between 12 to 46 years old and mean age 23.1 years (SD ±6.1 years). A total of 108 ethnic-matched healthy blood donors with age range between 17 to 65 years old and mean age 24.6 years (SD ±9.4), including 27 males and 81 females, with no major ocular disorders were taken as controls. Any KTCN subjects with co-existing allergy/atopy, or systemic diseases/syndromes such as Down syndrome, Leber congenital amaurosis, Ehlers-Danlos syndrome, osteogenesis imperfecta and pellucid marginal degeneration, or post-LASIK or other refractive surgeries were excluded from this study. All study subjects belonged to South Indian ethnicity, mainly from the region of Tamil Nadu. Informed consent was obtained from each of the subjects. The study obeyed the tenets of the declaration of Helsinki and was approved by the institutional review board of Aravind eye hospital, Madurai, Tamil Nadu, India. The diagnosis of KTCN was based on the presence of important clinical features such as Munson’s sign, Vogt’s striae, Fleischer ring, prominent corneal nerves, corneal scarring, etc. The orbscan II parameters, (anterior float, posterior float, keratometry and pachymetry reading) operated with software version 3.12 (Bausch & Lomb Inc., Rochester, NY) were taken for the final diagnosis using following measurements (a) ratio between the radius of anterior best-fit sphere (BFS) and posterior BFS >1.27 (b) power of posterior BFS >55D (c) difference between highest and lowest posterior float points >100 μ (d) corneal thickness index (CTI) >1.16 (e) irregularity at 3 mm zone >1.5D; 5 mm zone >2.5D and (f) K reading >47D. The patients diagnosed with forme-frusta keratoconus were not included in the study. Intra ocular pressure using pulsair non-contact tonometry was also taken for all patients. The study involved only sporadic keratoconus cases, and patients with a family history of KTCN were excluded. Furthermore, to confirm the sporadic nature of cases, three to four immediate available family members of each patient were clinically examined. Patients affected with keratoconus were recruited from cornea clinic, Aravind eye hospital, Madurai, between the period of 2009 to 2011. The study consisted of 117 unrelated sporadic keratoconus patients, including 69 males and 48 females with an age range between 12 to 46 years old and mean age 23.1 years (SD ±6.1 years). A total of 108 ethnic-matched healthy blood donors with age range between 17 to 65 years old and mean age 24.6 years (SD ±9.4), including 27 males and 81 females, with no major ocular disorders were taken as controls. Any KTCN subjects with co-existing allergy/atopy, or systemic diseases/syndromes such as Down syndrome, Leber congenital amaurosis, Ehlers-Danlos syndrome, osteogenesis imperfecta and pellucid marginal degeneration, or post-LASIK or other refractive surgeries were excluded from this study. All study subjects belonged to South Indian ethnicity, mainly from the region of Tamil Nadu. Informed consent was obtained from each of the subjects. The study obeyed the tenets of the declaration of Helsinki and was approved by the institutional review board of Aravind eye hospital, Madurai, Tamil Nadu, India. The diagnosis of KTCN was based on the presence of important clinical features such as Munson’s sign, Vogt’s striae, Fleischer ring, prominent corneal nerves, corneal scarring, etc. The orbscan II parameters, (anterior float, posterior float, keratometry and pachymetry reading) operated with software version 3.12 (Bausch & Lomb Inc., Rochester, NY) were taken for the final diagnosis using following measurements (a) ratio between the radius of anterior best-fit sphere (BFS) and posterior BFS >1.27 (b) power of posterior BFS >55D (c) difference between highest and lowest posterior float points >100 μ (d) corneal thickness index (CTI) >1.16 (e) irregularity at 3 mm zone >1.5D; 5 mm zone >2.5D and (f) K reading >47D. The patients diagnosed with forme-frusta keratoconus were not included in the study. Intra ocular pressure using pulsair non-contact tonometry was also taken for all patients. The study involved only sporadic keratoconus cases, and patients with a family history of KTCN were excluded. Furthermore, to confirm the sporadic nature of cases, three to four immediate available family members of each patient were clinically examined. DNA extraction and PCR amplification Genomic DNA was isolated from peripheral blood leukocytes using the salt precipitation method as described by Miller et al., [31]. The primer pairs used to amplify each of the five coding VSX1 exons were previously described [19]. PCR reaction (Eppendorf mastercycler, Westbury, NY) was carried out in a 20 μl reaction mixture set up containing 2 μl of 10X PCR buffer with 1.5 mM MgCl2, 200 mM dNTP, 0.2 mM of each forward and reverse primer, 0.2 U Taq DNA polymerase (Sigma) and 50 ng genomic DNA. The genomic DNA underwent initial denaturation for 5 min at 95°C, followed by 35 cycles at 94°C for 1 min, respective exons annealing at 58°C (ex1), 59°C (ex2), 62°C (ex3,4,5) for 1 min, extension at 72°C for 30 sec and final extension for 5 min at 72°C. The VSX1 gene coding regions with their exon-intron junctions were examined by bidirectional sequencing analysis. Genomic DNA was isolated from peripheral blood leukocytes using the salt precipitation method as described by Miller et al., [31]. The primer pairs used to amplify each of the five coding VSX1 exons were previously described [19]. PCR reaction (Eppendorf mastercycler, Westbury, NY) was carried out in a 20 μl reaction mixture set up containing 2 μl of 10X PCR buffer with 1.5 mM MgCl2, 200 mM dNTP, 0.2 mM of each forward and reverse primer, 0.2 U Taq DNA polymerase (Sigma) and 50 ng genomic DNA. The genomic DNA underwent initial denaturation for 5 min at 95°C, followed by 35 cycles at 94°C for 1 min, respective exons annealing at 58°C (ex1), 59°C (ex2), 62°C (ex3,4,5) for 1 min, extension at 72°C for 30 sec and final extension for 5 min at 72°C. The VSX1 gene coding regions with their exon-intron junctions were examined by bidirectional sequencing analysis. DNA sequencing The PCR products were pooled and purified using the gel-elution kit method (Bio Basic Inc. Canada). The purified PCR products were sequenced bidirectionally using Big Dye Terminator ready reaction mix and analyzed on an ABI-3130 genetic analyzer (Applied Biosystems, Fostercity, CA). The sequence data analysis was done using BLAST software and compared with the published nucleotide sequence of the VSX1 gene [Gen Bank accession number NM_014588]. The identified variations were evaluated using Alamut software version 2.1e (Interactive Biosoftware, Rouen, France). The nomenclature, location and classification of variations were done based on the Alamut output. The PCR products were pooled and purified using the gel-elution kit method (Bio Basic Inc. Canada). The purified PCR products were sequenced bidirectionally using Big Dye Terminator ready reaction mix and analyzed on an ABI-3130 genetic analyzer (Applied Biosystems, Fostercity, CA). The sequence data analysis was done using BLAST software and compared with the published nucleotide sequence of the VSX1 gene [Gen Bank accession number NM_014588]. The identified variations were evaluated using Alamut software version 2.1e (Interactive Biosoftware, Rouen, France). The nomenclature, location and classification of variations were done based on the Alamut output. Comparative analysis A comparative statistical analysis of genotype and allele frequency was done using chi-square or Fisher’s exact test in order to assess differences in the distribution of VSX1 polymorphism between cases and controls. The allelic p-value and odds ratio was determined for each of the identified VSX1 variants. A comparative statistical analysis of genotype and allele frequency was done using chi-square or Fisher’s exact test in order to assess differences in the distribution of VSX1 polymorphism between cases and controls. The allelic p-value and odds ratio was determined for each of the identified VSX1 variants. Clinical assessment: Patients affected with keratoconus were recruited from cornea clinic, Aravind eye hospital, Madurai, between the period of 2009 to 2011. The study consisted of 117 unrelated sporadic keratoconus patients, including 69 males and 48 females with an age range between 12 to 46 years old and mean age 23.1 years (SD ±6.1 years). A total of 108 ethnic-matched healthy blood donors with age range between 17 to 65 years old and mean age 24.6 years (SD ±9.4), including 27 males and 81 females, with no major ocular disorders were taken as controls. Any KTCN subjects with co-existing allergy/atopy, or systemic diseases/syndromes such as Down syndrome, Leber congenital amaurosis, Ehlers-Danlos syndrome, osteogenesis imperfecta and pellucid marginal degeneration, or post-LASIK or other refractive surgeries were excluded from this study. All study subjects belonged to South Indian ethnicity, mainly from the region of Tamil Nadu. Informed consent was obtained from each of the subjects. The study obeyed the tenets of the declaration of Helsinki and was approved by the institutional review board of Aravind eye hospital, Madurai, Tamil Nadu, India. The diagnosis of KTCN was based on the presence of important clinical features such as Munson’s sign, Vogt’s striae, Fleischer ring, prominent corneal nerves, corneal scarring, etc. The orbscan II parameters, (anterior float, posterior float, keratometry and pachymetry reading) operated with software version 3.12 (Bausch & Lomb Inc., Rochester, NY) were taken for the final diagnosis using following measurements (a) ratio between the radius of anterior best-fit sphere (BFS) and posterior BFS >1.27 (b) power of posterior BFS >55D (c) difference between highest and lowest posterior float points >100 μ (d) corneal thickness index (CTI) >1.16 (e) irregularity at 3 mm zone >1.5D; 5 mm zone >2.5D and (f) K reading >47D. The patients diagnosed with forme-frusta keratoconus were not included in the study. Intra ocular pressure using pulsair non-contact tonometry was also taken for all patients. The study involved only sporadic keratoconus cases, and patients with a family history of KTCN were excluded. Furthermore, to confirm the sporadic nature of cases, three to four immediate available family members of each patient were clinically examined. DNA extraction and PCR amplification: Genomic DNA was isolated from peripheral blood leukocytes using the salt precipitation method as described by Miller et al., [31]. The primer pairs used to amplify each of the five coding VSX1 exons were previously described [19]. PCR reaction (Eppendorf mastercycler, Westbury, NY) was carried out in a 20 μl reaction mixture set up containing 2 μl of 10X PCR buffer with 1.5 mM MgCl2, 200 mM dNTP, 0.2 mM of each forward and reverse primer, 0.2 U Taq DNA polymerase (Sigma) and 50 ng genomic DNA. The genomic DNA underwent initial denaturation for 5 min at 95°C, followed by 35 cycles at 94°C for 1 min, respective exons annealing at 58°C (ex1), 59°C (ex2), 62°C (ex3,4,5) for 1 min, extension at 72°C for 30 sec and final extension for 5 min at 72°C. The VSX1 gene coding regions with their exon-intron junctions were examined by bidirectional sequencing analysis. DNA sequencing: The PCR products were pooled and purified using the gel-elution kit method (Bio Basic Inc. Canada). The purified PCR products were sequenced bidirectionally using Big Dye Terminator ready reaction mix and analyzed on an ABI-3130 genetic analyzer (Applied Biosystems, Fostercity, CA). The sequence data analysis was done using BLAST software and compared with the published nucleotide sequence of the VSX1 gene [Gen Bank accession number NM_014588]. The identified variations were evaluated using Alamut software version 2.1e (Interactive Biosoftware, Rouen, France). The nomenclature, location and classification of variations were done based on the Alamut output. Comparative analysis: A comparative statistical analysis of genotype and allele frequency was done using chi-square or Fisher’s exact test in order to assess differences in the distribution of VSX1 polymorphism between cases and controls. The allelic p-value and odds ratio was determined for each of the identified VSX1 variants. Results & discussion: A total of 117 sporadic KTCN patients were analyzed for coding and flanking intronic regions of VSX1 through bidirectional DNA sequencing analysis. In the VSX1 gene screening, no pathogenic mutations were identified whereas, four reported single nucleotide polymorphisms c.546A>G (rs12480307), c.627+23G>A (rs6138482), c.627+84T>A (rs56157240) and c.504-24C>T (IVS3-24C) could be observed (Table 1). Further, these four SNPs were investigated in 108 ethnic-matched healthy controls, and their genotype and allele frequency was compared between cases and control. The comparative statistical analysis of allele frequency of these SNPs indicated similar distribution in both patient and control groups (Table 2). The polymorphism c.546A>G (rs12480307) was found in exon 3 encoding a synonymous alanine substitution at 182 amino acid position, which is highly conserved throughout many species. This variation was seen in 43 cases (36 heterozygous and 7 homozygous) and 32 controls (28 heterozygous and 4 homozygous). The statistical analysis showed no significant difference of allelic distribution (p value 0.205) among cases and controls. The polymorphic variant c.627+23G>A (rs6138482) was found in 29 cases (26 heterozygous and 3 homozygous) and 41 controls (40 heterozygous and 1 homozygous). The statistical analysis showed the allelic p value 0.099, which was insignificant. The polymorphic variant c.627+84T>A (rs56157240) was found in 58 cases (49 heterozygous and 9 homozygous) and 50 controls (43 heterozygous and 7 homozygous) with no significant difference of allelic distribution between case and control groups (p value 0.595). Another variant IVS3-24C>T (c.504-24C>T) was identified in 7 cases (7 heterozygous and 0 homozygous) and 7 controls (7 heterozygous and 0 homozygous) signifying its equal distribution (allelic p-value 0.879) between cases and controls. This change was recently reported by Mukesh Tanwar et al., [25] as a novel VSX1 variant, and registered in GenBank [Accession number : GU471016]. VSX1 sequence variants observed in the study Frequencies of VSX 1 gene variants in sporadic KTCN cases and healthy controls OR-odds ratio, CI- confidence interval, p-value less than 0.05 was considered as significant. Conclusions: In our study, we have assessed the role of VSX1 by sequence analysis of its five exons in 117 sporadic KTCN patients. Our screening showed the absence of pathogenic variations whereas, four previously reported SNPs were observed. Since no pathogenic changes were detected, we compared the genotype and allele frequency of each of the identified polymorphisms between the disease cohort and healthy controls to access their possible disease involvement. However, allele frequencies of these identified SNPs were found in similar frequency between cases and controls confirming their non-pathogenicity. Other VSX1 gene variations such as p.D144E, p.L17P, p.N151S p.G160D, p.P247R, p.L159M, p.G160V, p.Q175H, p.R166W and p.H244R, reported in different previous VSX1 studies were not identified in our analysis [18-22,24,29]. There are few earlier studies, which have indicated the association of non pathogenic VSX1 variations. Stabuc-Silih et al., [25] found an absence of VSX1 pathogenic mutations but observed an association of c.650G>A polymorphism (p=0.043) in unrelated Slovenian patients diagnosed with the hereditary form of KTCN. Mok et al., [20] found a significant association of one VSX1 intragenic polymorphism ‘IVS1-11’ in unrelated Korean keratoconus patients (p=0.001). Mutational screening of 66 unrelated patients with keratoconus (27 familial cases; 39 sporadic cases) from the European population, showed a minor role of VSX1 in the pathogenesis of keratoconus [22]. However, several other studies have shown the absence of pathogenic variations or lack of association of VSX1 variants with KTCN. Tang YG et al., [29] ruled out the association of previously reported VSX1 variations in a case–control study of 77 white KTCN patients. Liskova et al., [28], in a study of 85 familial keratoconus pedigrees from different ethnic origins, found a lack of pathogenic variations in VSX1 and disqualified the previously reported c.432C>G (p.D144E) change to be pathogenic. Aldave et al., [27] found the absence of mutation in 100 unrelated KTCN subjects and concluded that VSX1 mutations are not associated with keratoconus. Overall, our study also rules out the possible involvement of VSX1 gene in sporadic, South Indian KTCN patients. However, few previous evidence of VSX1 pathogenic variations and their association with disease, suggest that it is more likely to be involved in a smaller subset of the KTCN population. The role of VSX1 variations in a minority of keratoconus patients may be influenced by its possible variable penetrance or pleiotropic effect in corneal tissue. Our study supports the previous evidence of lack of pathogenic variations in VSX1, and corroborates the involvement of new genes, loci or any other genetic or environmental factors. Linkage analysis and association study are the two main approaches used to identify novel genes. Genome wide association study (GWAS) is a more useful approach as it is wide-ranging, unbiased and can be applied even in the absence of convincing indication regarding the function or location of the causal genes. The other genetic factors are needed to be investigated for KTCN pathogenesis. Abu-Amero et al., [32], analyzed VSX1 chromosomal copy number variations (deletions/duplications) in a group of sporadic patients, who were excluded for VSX1 mutations, and verified that such possible genetic changes are also not involved in keratoconus. Recent studies find that keratoconus corneas have signs of oxidative stress and high level of mitochondrial DNA damage [33]. More recent findings suggest that micro-RNA can be involved in the pathogenesis of keratoconus [34]. Therefore, mitochondrial genes and micro-RNA are the prospective emerging areas to explore in the context of other genetic factors related to keratoconus. Proteomic profiles in the KTCN corneas and tear have shown differential expression of several proteins, which may have possible role in the etiology of keratoconus [35-37]. Hence, genetic and proteomic approaches together can provide more useful information regarding disease etiology. For the genetic basis of keratoconus, other genetic factors, new chromosomal loci and genes are the subject of investigation to accomplish the better understanding of the pathogenesis of disease. Abbreviations: KTCN: Keratoconus; VSX1: Visual system homeobox 1; PCR: Polymerase chain reaction; SNP: Single nucleotide polymorphism; DNA: Deoxyribonucleic acid; LASIK: Laser-assisted in situ keratomileusis. Competing interests: ALCON has provided the financial support for this project. AMRF has provided the partial support for article processing charge. Authors' contributions: AV and PS carried out the molecular genetic studies, participated in the sequence analysis and drafted the manuscript. MD, MS and NVP equally participated in the recruitment and clinical diagnosis of patients, helped in the design and coordination of the study. All authors read and approved the final manuscript.
Background: The involvement of VSX1 gene for the genetic basis of keratoconus is unclear and controversial. The genetic screening of VSX1 from different ethnic populations can enlighten this subject. The aim of the present study is to investigate the role of VSX1 gene in patients with sporadic cases of keratoconus from South India. Methods: The VSX1 gene coding regions, including exon-intron boundaries were screened by direct sequencing analysis in 117 sporadic cases of keratoconus. The identified variations were also analyzed in 108 ethnic matched healthy blood donors. Results: In the VSX1 gene screening, no pathogenic mutation was identified, whereas we could find the presence of four reported single nucleotide polymorphisms; c.546A>G (rs12480307), c.627+23G>A (rs6138482), c.627+84T>A (rs56157240) and c.504-24C>T (IVS3-24C). These variations were observed in similar frequency between cases and controls. Conclusions: The lack of VSX1 pathogenic variations in a large number of unrelated sporadic keratoconus patients tend to omit its role, and corroborate the involvement of other genetic, environmental or behavioural factors in the development of this complex disorder.
Background: Keratoconus (KTCN; [OMIM] 148300) is a corneal ectatic disorder characterized by progressive thinning of the central cornea, which acquires a conical shape rather than its normal dome-shaped curve. This results in optical aberrations leading to distorted blurred vision, progressive high myopia and irregular astigmatism [1]. Keratoconus is mostly bilateral but can be unilateral, onset in teenage years and often progresses until the third or fourth decade of life [2]. The prevalence of keratoconus is estimated to be 1 in 2000 in the general population [2,3]. It is more common in patients with atopic conditions, such as asthma, dermatitis, and found to be associated with many other genetic disorders like Down syndrome, posterior polymorphous corneal dystrophy, Leber congenital amaurosis, retinitis pigmentosa, Marfan syndrome, mitral valve prolapse and other documented associations [1,2,4]. It occurs usually in a sporadic form, though positive familial history has been reported in 6-10% of patients, with mostly autosomal dominant and sometime recessive or X-linked mode of inheritance [4-6]. Common histopathological features of KTCN include stromal thinning, iron deposition in the epithelial basement membrane, breaks in corneal Bowman’s layer and sometimes endothelial damage [2,7]. The disease generally occurs with no gender preponderance; however, few evidence suggests a higher prevalence in either male or female [1,6,8]. At present, the milder forms of keratoconus are corrected by spectacles or contact lenses. In 10% to 20% of KTCN cases, corneal thinning may reach such a severity that it becomes very essential to undergo corneal transplantation or penetrating keratoplasty, which has emerged as a major medical burden in many countries [2,9]. The exact etiology of KTCN is still unknown, and its pathogenesis may involve genetic as well as environmental or behavioural factors, such as ultra-violet radiation UVB, atopy/allergy, contact lens wear and mechanical eye rubbing, etc. [10-12]. Primarily, the genetic factors may play an important role in the development of keratoconus as evidenced by studies of familial inheritance, concordance between monozygotic twins and association with other known genetic disorders [12-14]. By linkage analysis and association studies, various loci have been mapped in families from different ethnic populations, well summarized by Nowak DM et al. [12]. Based on associated loci, genes such as SPARC, LOX, TIMP3, COL6A1, COL8A1, MMP9, and MMP2, etc., have been examined for their involvement [12,15]. The SOD1 and CRB1 were also analyzed as possible candidate genes because of their role in keratoconus associated disease like Down syndrome and Leber congenital amaurosis respectively [16,17]. However, genes under such studies, have not provided enough evidence for being an appropriate candidate gene in the pathogenesis of KTCN. One of the well-studied genes in genetic association with keratoconus is VSX1. Human VSX1 [OMIM 605020] is a member of the VSX1 group of vertebrate paired-like homeodomain transcription factors localized to human chromosome 20p11-q11. Heon et al., [18] first identified VSX1 mutations in patients with either keratoconus or posterior polymorphous corneal dystrophy (PPCD). This led to the assumption that mutations in the VSX1 gene may be involved in pathogenesis of keratoconus. A number of other studies, further showed the presence of VSX1 variants in keratoconus patients from different ethnic populations [19-24]. Among them, several variants were found in highly conserved residues of VSX1, and predicted to be pathogenic by the bioinformatics tools like PolyPhen, SIFT, etc. [21,23]. The exonic and intragenic polymorphisms were frequently reported in such studies, and found to be associated with the disease in a few cases [22,25]. On the other hand, many other studies excluded those previously reported VSX1 variations to be pathogenic, and showed a lack of mutation or association [26-30]. Therefore, the role of VSX1 in KTCN pathogenesis is ambiguous, and further genetic studies are required for any persuasive conclusions. In this study, we have undertaken the sequence analysis of coding regions of VSX1 gene in order to determine its genetic involvement in South Indian patients with sporadic form of keratoconus. Conclusions: In our study, we have assessed the role of VSX1 by sequence analysis of its five exons in 117 sporadic KTCN patients. Our screening showed the absence of pathogenic variations whereas, four previously reported SNPs were observed. Since no pathogenic changes were detected, we compared the genotype and allele frequency of each of the identified polymorphisms between the disease cohort and healthy controls to access their possible disease involvement. However, allele frequencies of these identified SNPs were found in similar frequency between cases and controls confirming their non-pathogenicity. Other VSX1 gene variations such as p.D144E, p.L17P, p.N151S p.G160D, p.P247R, p.L159M, p.G160V, p.Q175H, p.R166W and p.H244R, reported in different previous VSX1 studies were not identified in our analysis [18-22,24,29]. There are few earlier studies, which have indicated the association of non pathogenic VSX1 variations. Stabuc-Silih et al., [25] found an absence of VSX1 pathogenic mutations but observed an association of c.650G>A polymorphism (p=0.043) in unrelated Slovenian patients diagnosed with the hereditary form of KTCN. Mok et al., [20] found a significant association of one VSX1 intragenic polymorphism ‘IVS1-11’ in unrelated Korean keratoconus patients (p=0.001). Mutational screening of 66 unrelated patients with keratoconus (27 familial cases; 39 sporadic cases) from the European population, showed a minor role of VSX1 in the pathogenesis of keratoconus [22]. However, several other studies have shown the absence of pathogenic variations or lack of association of VSX1 variants with KTCN. Tang YG et al., [29] ruled out the association of previously reported VSX1 variations in a case–control study of 77 white KTCN patients. Liskova et al., [28], in a study of 85 familial keratoconus pedigrees from different ethnic origins, found a lack of pathogenic variations in VSX1 and disqualified the previously reported c.432C>G (p.D144E) change to be pathogenic. Aldave et al., [27] found the absence of mutation in 100 unrelated KTCN subjects and concluded that VSX1 mutations are not associated with keratoconus. Overall, our study also rules out the possible involvement of VSX1 gene in sporadic, South Indian KTCN patients. However, few previous evidence of VSX1 pathogenic variations and their association with disease, suggest that it is more likely to be involved in a smaller subset of the KTCN population. The role of VSX1 variations in a minority of keratoconus patients may be influenced by its possible variable penetrance or pleiotropic effect in corneal tissue. Our study supports the previous evidence of lack of pathogenic variations in VSX1, and corroborates the involvement of new genes, loci or any other genetic or environmental factors. Linkage analysis and association study are the two main approaches used to identify novel genes. Genome wide association study (GWAS) is a more useful approach as it is wide-ranging, unbiased and can be applied even in the absence of convincing indication regarding the function or location of the causal genes. The other genetic factors are needed to be investigated for KTCN pathogenesis. Abu-Amero et al., [32], analyzed VSX1 chromosomal copy number variations (deletions/duplications) in a group of sporadic patients, who were excluded for VSX1 mutations, and verified that such possible genetic changes are also not involved in keratoconus. Recent studies find that keratoconus corneas have signs of oxidative stress and high level of mitochondrial DNA damage [33]. More recent findings suggest that micro-RNA can be involved in the pathogenesis of keratoconus [34]. Therefore, mitochondrial genes and micro-RNA are the prospective emerging areas to explore in the context of other genetic factors related to keratoconus. Proteomic profiles in the KTCN corneas and tear have shown differential expression of several proteins, which may have possible role in the etiology of keratoconus [35-37]. Hence, genetic and proteomic approaches together can provide more useful information regarding disease etiology. For the genetic basis of keratoconus, other genetic factors, new chromosomal loci and genes are the subject of investigation to accomplish the better understanding of the pathogenesis of disease.
Background: The involvement of VSX1 gene for the genetic basis of keratoconus is unclear and controversial. The genetic screening of VSX1 from different ethnic populations can enlighten this subject. The aim of the present study is to investigate the role of VSX1 gene in patients with sporadic cases of keratoconus from South India. Methods: The VSX1 gene coding regions, including exon-intron boundaries were screened by direct sequencing analysis in 117 sporadic cases of keratoconus. The identified variations were also analyzed in 108 ethnic matched healthy blood donors. Results: In the VSX1 gene screening, no pathogenic mutation was identified, whereas we could find the presence of four reported single nucleotide polymorphisms; c.546A>G (rs12480307), c.627+23G>A (rs6138482), c.627+84T>A (rs56157240) and c.504-24C>T (IVS3-24C). These variations were observed in similar frequency between cases and controls. Conclusions: The lack of VSX1 pathogenic variations in a large number of unrelated sporadic keratoconus patients tend to omit its role, and corroborate the involvement of other genetic, environmental or behavioural factors in the development of this complex disorder.
4,645
222
[ 800, 444, 196, 114, 54, 444, 37, 21, 55 ]
11
[ "vsx1", "keratoconus", "patients", "study", "ktcn", "cases", "analysis", "dna", "genetic", "sporadic" ]
[ "mutations associated keratoconus", "irregular astigmatism keratoconus", "sporadic form keratoconus", "unrelated patients keratoconus", "keratoconus associated disease" ]
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[CONTENT] KTCN - Keratoconus | VSX1 - Visual system homeobox 1 | SNP - Single nucleotide polymorphism [SUMMARY]
[CONTENT] KTCN - Keratoconus | VSX1 - Visual system homeobox 1 | SNP - Single nucleotide polymorphism [SUMMARY]
null
[CONTENT] KTCN - Keratoconus | VSX1 - Visual system homeobox 1 | SNP - Single nucleotide polymorphism [SUMMARY]
[CONTENT] KTCN - Keratoconus | VSX1 - Visual system homeobox 1 | SNP - Single nucleotide polymorphism [SUMMARY]
[CONTENT] KTCN - Keratoconus | VSX1 - Visual system homeobox 1 | SNP - Single nucleotide polymorphism [SUMMARY]
[CONTENT] Case-Control Studies | Eye Proteins | Homeodomain Proteins | Humans | India | Keratoconus | Mutation | Polymerase Chain Reaction [SUMMARY]
[CONTENT] Case-Control Studies | Eye Proteins | Homeodomain Proteins | Humans | India | Keratoconus | Mutation | Polymerase Chain Reaction [SUMMARY]
null
[CONTENT] Case-Control Studies | Eye Proteins | Homeodomain Proteins | Humans | India | Keratoconus | Mutation | Polymerase Chain Reaction [SUMMARY]
[CONTENT] Case-Control Studies | Eye Proteins | Homeodomain Proteins | Humans | India | Keratoconus | Mutation | Polymerase Chain Reaction [SUMMARY]
[CONTENT] Case-Control Studies | Eye Proteins | Homeodomain Proteins | Humans | India | Keratoconus | Mutation | Polymerase Chain Reaction [SUMMARY]
[CONTENT] mutations associated keratoconus | irregular astigmatism keratoconus | sporadic form keratoconus | unrelated patients keratoconus | keratoconus associated disease [SUMMARY]
[CONTENT] mutations associated keratoconus | irregular astigmatism keratoconus | sporadic form keratoconus | unrelated patients keratoconus | keratoconus associated disease [SUMMARY]
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[CONTENT] mutations associated keratoconus | irregular astigmatism keratoconus | sporadic form keratoconus | unrelated patients keratoconus | keratoconus associated disease [SUMMARY]
[CONTENT] mutations associated keratoconus | irregular astigmatism keratoconus | sporadic form keratoconus | unrelated patients keratoconus | keratoconus associated disease [SUMMARY]
[CONTENT] mutations associated keratoconus | irregular astigmatism keratoconus | sporadic form keratoconus | unrelated patients keratoconus | keratoconus associated disease [SUMMARY]
[CONTENT] vsx1 | keratoconus | patients | study | ktcn | cases | analysis | dna | genetic | sporadic [SUMMARY]
[CONTENT] vsx1 | keratoconus | patients | study | ktcn | cases | analysis | dna | genetic | sporadic [SUMMARY]
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[CONTENT] vsx1 | keratoconus | patients | study | ktcn | cases | analysis | dna | genetic | sporadic [SUMMARY]
[CONTENT] vsx1 | keratoconus | patients | study | ktcn | cases | analysis | dna | genetic | sporadic [SUMMARY]
[CONTENT] vsx1 | keratoconus | patients | study | ktcn | cases | analysis | dna | genetic | sporadic [SUMMARY]
[CONTENT] keratoconus | studies | vsx1 | genetic | corneal | like | pathogenesis | associated | association | genes [SUMMARY]
[CONTENT] years | mm | min | age | study | dna | pcr | posterior | patients | taken [SUMMARY]
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[CONTENT] vsx1 | keratoconus | association | pathogenic | variations | absence | pathogenic variations | ktcn | patients | disease [SUMMARY]
[CONTENT] vsx1 | keratoconus | patients | ktcn | study | cases | pcr | dna | genetic | analysis [SUMMARY]
[CONTENT] vsx1 | keratoconus | patients | ktcn | study | cases | pcr | dna | genetic | analysis [SUMMARY]
[CONTENT] ||| ||| South India [SUMMARY]
[CONTENT] 117 ||| 108 [SUMMARY]
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[CONTENT] [SUMMARY]
[CONTENT] ||| ||| South India ||| 117 ||| 108 ||| ||| four ||| ||| [SUMMARY]
[CONTENT] ||| ||| South India ||| 117 ||| 108 ||| ||| four ||| ||| [SUMMARY]
Multidisciplinary treatment for patients with chronic kidney disease in pre-dialysis minimizes costs: a four-year retrospective cohort analysis.
33843942
Chronic kidney disease (CKD) can progress to end-stage renal disease (ESRD), and clinical studies show that this progression can be slowed. The objective of this study was to estimate the costs to Brazil's public health system (SUS) throughout the course of CKD in the pre-dialysis stage compared to the costs to the SUS of dialysis treatment (DT).
INTRODUCTION
A retrospective cohort study was conducted to analyze clinical and laboratory variables; the outcome analyzed was need for DT. To assess cost, a microcosting survey was conducted according to the Methodological Guidelines for Economic Evaluations in Healthcare and the National Program for Cost Management, both recommended by the Brazilian Ministry of Health for economic studies.
METHODS
A total of 5,689 patients were followed between 2011 and 2014, and 537 met the inclusion criteria. Average costs increased substantially as the disease progressed. The average cost incurred in stage G1 in Brazilian reals was R$ 7,110.78, (US$1,832.06) and in stage G5, it was R$ 26,814.08 (US$6,908.53), accumulated over the four years.
RESULTS
A pre-dialysis care program may reduce by R$ 33,023.12 ± 1,676.80 (US$ 8,508.26 ± 432.02) the average cost for each year of DT avoided, which is sufficient to cover the program's operation, minimizing cost. These results signal to public health policy makers the real possibility of achieving significant cost reduction in the medium term for CKD care (4 years), to a program that disbursed R$ 24 billion (US$ 6.8 billion) for DT in Brazil between 2009 and 2018.
CONCLUSION
[ "Cohort Studies", "Dialysis", "Health Care Costs", "Humans", "Kidney Failure, Chronic", "Renal Dialysis", "Renal Insufficiency, Chronic", "Retrospective Studies" ]
8428638
Introduction
The International Society of Nephrology estimated in a recent publication that approximately 10% of the world population lives with chronic kidney disease (CKD). CKD can progress in various ways to end-stage renal disease (ESRD), and clinical studies show that the progression of CKD to ESRD can be slowed. Despite well-established preventive strategies, thousands of people live with ESRD1. Approximately 0.1% of the world population has ESRD, and estimates suggest that the prevalence is higher in medium-high (0.1%) and high (0.2%) income countries compared to low (0.05%) or medium-low (0.07%) income countries2. According to the Brazilian dialysis census, which publishes annually the number of patients undergoing dialysis in the country, in 2018 there were 133,464 patients undergoing dialysis. Eighty percent of these patients are funded by the Unified Health System (Sistema Único de Saúde - SUS)3, Brazil’s public health system, as determined by the Brazilian constitution of 1988 and implemented in 1990, which states that “health is a right of all and duty of the state”3. Data from the Brazilian Society of Nephrology and other researchers4 , 5 confirm the historic increase in the demand for dialysis treatment (DT) services. The increase in CKD in Brazil does not yet seem to be a reason for more aggressive health policy actions. Data on the prevalence of the disease worldwide and from other studies point to a marked increase in CKD, including in children3 , 6 - 9. According to the study by Vanholder et al.14, the care of patients with CKD during the progression of the disease, i.e., treating the main causes (in the context of primary prevention) or progression and complications (secondary prevention), is still an underexplored field, despite the great potential to significantly reduce the social cost of CKD. Unfortunately, studies have indicated that in recent years, health policies have been more focused on treatment than prevention15 , 16. In this sense, treatment strategies during predialysis stages that delay the need for DT, acting in the preventive and periodic monitoring of patients who have some moderate to high epidemiological risk factor15 - 18, are effective. Therefore, it is pertinent to the Brazilian context to understand the cost of reimbursing predialysis specialized care service providers, considering the possible avoidable costs with DT service providers. Thus, this study focuses on the cost of care in monitoring the stages of CKD progression in a predialysis outpatient clinic setting compared to the costs of DT to the public health system. The study intends to determine the cost savings with DT service providers from the establishment of predialysis monitoring actions in the medium term. The objective of this study was to estimate the SUS costs from service providers over the course of CKD in predialysis care and compare with the costs of DT service providers. The present study is relevant to the context of public policies for combating CKD and its economic impact amid fiscal adjustment policies, considering the possibility of delaying the entry of patients with CKD into the DT phase, thus increasing the possibility of saving public resources19 , 20.
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Results
The Predialysis Outpatient Program served 37 cities of a microregion of Minas Gerais state. The distribution of patients relative to the population of each city was good at a certain level. The largest city had a population of 555,284 inhabitants, according to the Brazilian Institute of Geography and Statistics (Instituto Brasileiro de Geografia e Estatística - IBGE)30. The mean participation of the cities’ populations as patients treated in the predialysis program was 0.75%. The highest participation rate of a city in the program was 2.03% and the lowest, 0.03%. We conducted a retrospective cohort study of participants in the Predialysis Outpatient Program, which included the follow-up of 537 patients from 2011 to 2014. These patients had a mean age of 65 ± 13.3 years, and most were mixed-ethnicity females with a body mass index (BMI) of 29.9 ± 7.15, non-drinkers, ex-smokers or current smokers. Almost half (46.7%) had diabetes, and only 18.6% were using insulin. They were followed-up for a mean of 38.6 months (Table 1). * CKD - chronic kidney disease; BMI - body mass index; ACEI - angiotensin-converting enzyme inhibitors; BRAT- angiotensin receptor blockers; ASA- Patients were seen by a specialist in the nephrology, cardiology, and endocrinology outpatient clinics, in addition to receiving multidisciplinary care. All patients had progressive CKD according to the KDIGO monitoring classification21 throughout the follow-up period (Figure 2). Reclassification of the CKD stage was performed every year. All patient exits from the predialysis phase were considered as entries into the DT phase. Therefore, with this survey, it was possible to define the odds of patients transitioning between progressive CKD stages (Figure 1). Figure 1Odds of transition between stages of progressive chronic renal disease from 2011 and 2014 (in %) (1) Figure 2Cumulative probabilities for the progression of costs from predialysis to DT over a period of four years (in R$) Figure 1 presents four annual transition timelines in which the first timeline, in each colored box, shows the CKD stage along with the percentage of patients identified in those risk strata at the beginning of the year. The horizontal arrows show the progression of the disease to the following stage. The curved arrows above the boxes show the most severe jumps in disease progression, and the curved arrows below the boxes show backward jumps in disease progression. Some of the jumps occurred at the thresholds between stages. The results of the analysis reveal interesting information, as summarized in Figure 2. The average cost of a population with CKD tends to increase substantially as the disease progresses. Stage G1 recorded an average cost of R$ 7,110.78 (US$1,832.06), and stage G5 reached an average cost of R$ 26,814.08 (US$6,908.53), accumulated over the four years. The average cost of this last stage increases because the patient has greater odds of being referred to DT within a period of four years. Details on the collection of data regarding the cost of predialysis care can be found in the supplementary material. According to Table 2, the standard deviation increases starting in stage G3B. The variation in the standard deviation of CKD stage G2 was due to the higher demand from patients with diabetes than that demanded from patients in stage G1 and from patients with hypertension than from those in stage G3A, which in turn had the lowest mean demand from patients with hypertension. Thus, the odds of stage G3A incurring costs with DT was slightly increased compared to stages G1 and G2. In general, the average costs were impacted by stages G3B to G5, causing a greater dispersion in the costs, denoting a probable risk of higher costs (Table 2). In fact, this event may occur over a period of four years. There was a 10.09% chance of a patient migrating to DT incurring a cost between R$ 32,248.32 (US$ 8,308.64) and R$ 41,859.00 (US$ 10,784.79); however, there was a 89.91% chance of patient costs ranging from R$ 6,492.01 (US$ 1,672.64) to R$ 9,366.07 (US$ 2,413.13). Notably, the risk of incurring costs with DT in stage G3A over a period of four years was practically nil. Furthermore, the risk for stage G3B was also very low. A predialysis program can generate an average cost reduction of R$ 33,023.12 ± 1,676.80 (US$ 8,508.26 ± 432.02) for each year of DT avoided, which covers the program’s operational cost, thus minimizing cost. These results signal to public health policy makers the real possibility of achieving visible results for the care of CKD in the medium term (4 years) for a program that disbursed R$ 24 billion (US$ 6.8 billion) for DT in Brazil between 2009 and 2018.
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null
[ "Data sources", "Inclusion criteria and study period", "Outcome measures", "Cost analysis and sensitivity analysis" ]
[ "This longitudinal retrospective observational study involved the collection of\ndata from medical records of patients seen at a clinical center specializing in\npredialysis care associated with the public health program of the state of Minas\nGerais, Brazil, serving 37 cities. The center focused on secondary preventive\ncare for diabetes, hypertension, and CKD, considering as medical specialists:\nnephrologists, cardiologists, and endocrinologists. In addition, there is a\nmultidisciplinary team that assist the patient in a “circular” model (in the\nsame outpatient consultation), which includes nurses, nutritionists,\npsychologists, social workers, pharmacists, dentists, physical educators, and\nphysiotherapists. Data collection was authorized by the Ethics Committee of the\nFederal University of Juiz de Fora (Universidade Federal de Juiz de Fora - UFJF)\nand approved under protocol no. 36345514.1.0000.5139.", "The initial sample included 5,689 patients followed-up between 2011 and 2014 who\nwere seen at all outpatient clinics. Inclusion criteria were patients seen at\nthe nephrology outpatient clinic, independent of visits at the endocrinology\nand/or cardiology outpatient clinics. Exclusion criteria included patients\ntreated before 2010 and after 2014 and patients in CKD stages G1 to G4 who\nstopped participating in the program between 2011 and 2014. Patients in stage G5\nwho stopped participating in the program were noted as patients who started DT.\nIt was not possible to determine if these patients were dead or alive.\nData were obtained for 537 patients. Sociodemographic data, CKD progression\nstage, comorbidities (hypertension and diabetes), number of specialized medical\nconsultations, and probable outcomes of referral to DT were collected from the\nmedical records. Regarding the data on CKD progression, the probabilities of\ntransition between disease stages were calculated according to the Kidney\nDisease: Improving Global Outcomes (KDIGO) criteria21. ", "The center was funded by the state of Minas Gerais, which made fixed fund\ntransfers to cover the monthly cost of the care provided by the service\nprovider. Accordingly, the values of the transfers from the Minas Gerais State\nHealth Fund (Fundo Estadual de Saúde de Minas Gerais - FES-MG) to the center\nwere determined, and the average cost per patient was calculated, estimated by\nthe total number of specialized medical consultations performed.\nTo validate the cost of the service provider, a microcosting survey was conducted\nfollowing the Methodological Guidelines for Economic Evaluation in Health\n(Diretrizes Metodológicas para Avaliação Econômica em Saúde) and the National\nProgram for Cost Management (Programa Nacional de Gestão de Custos - PNGC), both\nrecommendations published by the Brazilian Ministry of Health22\n-\n24 for economic studies. \nThe microcosting calculation was performed based on data from the retrospective\nfinancial database of the outpatient center to determine whether there was any\nrestriction of costs by the funding from the State Health Fund. Thus, the costs\ndetermined by the FES-MG and the actual costs of the service provider were\nupdated by the Extended Consumer Price Index (Índice de Preços ao Consumidor\nAmplo - IPCA)25 until December 2018 and\ncompared.\nThe criterion for defining which cost would be considered was to observe whether\nthe public funding for the service provider’s operations was sufficient. That\nis, even considering that the microcosting data could reflect, to some extent,\nsome inefficiency, it mirrors the actual productivity of the service provider’s\noperations. That said, if the funds provided by the FES-MG to the center were\nsufficient to cover its costs, then the microcosting data would indicate greater\nefficiency than that estimated by the state government, and therefore, this cost\nwould be considered.\nThe cost of DT was defined according to the mean expenditure of the SUS with\nservice providers from SIGTAP (Table of Procedures, Medications, Orthoses,\nProstheses, and Materials Management System)26, considering the main procedures related to hemodialysis and\nperitoneal dialysis.\nTo estimate the mean demand of patients, the mean number of consultations at the\npredialysis center was considered for the predialysis phase. For the DT phase,\nthe demand predefined by the SUS through the High Cost/Complexity Procedure\nAuthorization (APAC, for its acronym in Portuguese)26 was considered, that is, one monthly procedure per\npatient undergoing peritoneal dialysis and three sessions per week per patient\nundergoing hemodialysis.", "As parameters of demand variability, in the predialysis phase, the mean demand\nwas considered per CKD progression stage according to KDIGO21. In the DT phase, 156 sessions per year were considered\nfor hemodialysis, and 12 procedure per year were considered for peritoneal\ndialysis. \nIn the probabilistic cost sensitivity analysis, the Monte Carlo simulation was\nused in a theoretical cohort of 10,000 patients (simulation with 10,000\ninteractions). According to the Ministry of Health’s Methodological Guidelines\nfor Economic Evaluation in Health27\n,\n28, the Monte Carlo simulation is\nrecommended to estimate cost variability, producing a probabilistic sensitivity\nmeasure from a stochastic perspective. Thus, the data have the power to provide\npotential information about likely cost variations.\nAdditionally, according to the guidelines27\n,\n28, the Gamma probability distribution\nwas used to estimate the costs. For demand variability, there is no specific\nrecommendation from the Ministry of Health, and therefore, the binomial\ndistribution was used, establishing a 99% chance of the values approaching the\nmean for hemodialysis because the non-attendance of these patients at\nhemodialysis sessions severely compromises their health status. For peritoneal\ndialysis, 12 annual procedures were considered, with a 61.3% probability of the\nmodality being automated peritoneal dialysis (APD) and 38.7% of it being\ncontinuous ambulatory peritoneal dialysis (CAPD), according to data on\nprocedures approved by the Outpatient Information System of the SUS (SIA-SUS)\nfrom 2009 to 2018 29.\nFor probabilities of patient transition from predialysis to DT, it was\nestablished that 94.4% of patients would go on to hemodialysis and 5.6% would go\non to peritoneal dialysis, according to data estimated from the procedures\napproved in the SIA-SUS in 201829. The probabilistic cost sensitivity analysis\nwas performed using a stochastic decision tree model. For this purpose,\nPrecisionTree v7.5, Risk@ v7.5.1, and Microsoft Excel 2016 were used." ]
[ null, null, null, null ]
[ "Introduction", "Materials and Methods", "Data sources", "Inclusion criteria and study period", "Outcome measures", "Cost analysis and sensitivity analysis", "Results", "Discussion" ]
[ "The International Society of Nephrology estimated in a recent publication that\napproximately 10% of the world population lives with chronic kidney disease (CKD).\nCKD can progress in various ways to end-stage renal disease (ESRD), and clinical\nstudies show that the progression of CKD to ESRD can be slowed. Despite\nwell-established preventive strategies, thousands of people live with ESRD1. Approximately 0.1% of the world population\nhas ESRD, and estimates suggest that the prevalence is higher in medium-high (0.1%)\nand high (0.2%) income countries compared to low (0.05%) or medium-low (0.07%)\nincome countries2.\nAccording to the Brazilian dialysis census, which publishes annually the number of\npatients undergoing dialysis in the country, in 2018 there were 133,464 patients\nundergoing dialysis. Eighty percent of these patients are funded by the Unified\nHealth System (Sistema Único de Saúde - SUS)3,\nBrazil’s public health system, as determined by the Brazilian constitution of 1988\nand implemented in 1990, which states that “health is a right of all and duty of the\nstate”3. Data from the Brazilian Society\nof Nephrology and other researchers4\n,\n5 confirm the historic increase in the demand\nfor dialysis treatment (DT) services.\nThe increase in CKD in Brazil does not yet seem to be a reason for more aggressive\nhealth policy actions. Data on the prevalence of the disease worldwide and from\nother studies point to a marked increase in CKD, including in children3\n,\n6\n-\n9. According to the study by Vanholder et\nal.14, the care of patients with CKD\nduring the progression of the disease, i.e., treating the main causes (in the\ncontext of primary prevention) or progression and complications (secondary\nprevention), is still an underexplored field, despite the great potential to\nsignificantly reduce the social cost of CKD. Unfortunately, studies have indicated\nthat in recent years, health policies have been more focused on treatment than\nprevention15\n,\n16. In this sense, treatment strategies\nduring predialysis stages that delay the need for DT, acting in the preventive and\nperiodic monitoring of patients who have some moderate to high epidemiological risk\nfactor15\n-\n18, are effective.\nTherefore, it is pertinent to the Brazilian context to understand the cost of\nreimbursing predialysis specialized care service providers, considering the possible\navoidable costs with DT service providers. Thus, this study focuses on the cost of\ncare in monitoring the stages of CKD progression in a predialysis outpatient clinic\nsetting compared to the costs of DT to the public health system. The study intends\nto determine the cost savings with DT service providers from the establishment of\npredialysis monitoring actions in the medium term.\nThe objective of this study was to estimate the SUS costs from service providers over\nthe course of CKD in predialysis care and compare with the costs of DT service\nproviders.\nThe present study is relevant to the context of public policies for combating CKD and\nits economic impact amid fiscal adjustment policies, considering the possibility of\ndelaying the entry of patients with CKD into the DT phase, thus increasing the\npossibility of saving public resources19\n,\n20.", "Data sources This longitudinal retrospective observational study involved the collection of\ndata from medical records of patients seen at a clinical center specializing in\npredialysis care associated with the public health program of the state of Minas\nGerais, Brazil, serving 37 cities. The center focused on secondary preventive\ncare for diabetes, hypertension, and CKD, considering as medical specialists:\nnephrologists, cardiologists, and endocrinologists. In addition, there is a\nmultidisciplinary team that assist the patient in a “circular” model (in the\nsame outpatient consultation), which includes nurses, nutritionists,\npsychologists, social workers, pharmacists, dentists, physical educators, and\nphysiotherapists. Data collection was authorized by the Ethics Committee of the\nFederal University of Juiz de Fora (Universidade Federal de Juiz de Fora - UFJF)\nand approved under protocol no. 36345514.1.0000.5139.\nThis longitudinal retrospective observational study involved the collection of\ndata from medical records of patients seen at a clinical center specializing in\npredialysis care associated with the public health program of the state of Minas\nGerais, Brazil, serving 37 cities. The center focused on secondary preventive\ncare for diabetes, hypertension, and CKD, considering as medical specialists:\nnephrologists, cardiologists, and endocrinologists. In addition, there is a\nmultidisciplinary team that assist the patient in a “circular” model (in the\nsame outpatient consultation), which includes nurses, nutritionists,\npsychologists, social workers, pharmacists, dentists, physical educators, and\nphysiotherapists. Data collection was authorized by the Ethics Committee of the\nFederal University of Juiz de Fora (Universidade Federal de Juiz de Fora - UFJF)\nand approved under protocol no. 36345514.1.0000.5139.\nInclusion criteria and study period The initial sample included 5,689 patients followed-up between 2011 and 2014 who\nwere seen at all outpatient clinics. Inclusion criteria were patients seen at\nthe nephrology outpatient clinic, independent of visits at the endocrinology\nand/or cardiology outpatient clinics. Exclusion criteria included patients\ntreated before 2010 and after 2014 and patients in CKD stages G1 to G4 who\nstopped participating in the program between 2011 and 2014. Patients in stage G5\nwho stopped participating in the program were noted as patients who started DT.\nIt was not possible to determine if these patients were dead or alive.\nData were obtained for 537 patients. Sociodemographic data, CKD progression\nstage, comorbidities (hypertension and diabetes), number of specialized medical\nconsultations, and probable outcomes of referral to DT were collected from the\nmedical records. Regarding the data on CKD progression, the probabilities of\ntransition between disease stages were calculated according to the Kidney\nDisease: Improving Global Outcomes (KDIGO) criteria21. \nThe initial sample included 5,689 patients followed-up between 2011 and 2014 who\nwere seen at all outpatient clinics. Inclusion criteria were patients seen at\nthe nephrology outpatient clinic, independent of visits at the endocrinology\nand/or cardiology outpatient clinics. Exclusion criteria included patients\ntreated before 2010 and after 2014 and patients in CKD stages G1 to G4 who\nstopped participating in the program between 2011 and 2014. Patients in stage G5\nwho stopped participating in the program were noted as patients who started DT.\nIt was not possible to determine if these patients were dead or alive.\nData were obtained for 537 patients. Sociodemographic data, CKD progression\nstage, comorbidities (hypertension and diabetes), number of specialized medical\nconsultations, and probable outcomes of referral to DT were collected from the\nmedical records. Regarding the data on CKD progression, the probabilities of\ntransition between disease stages were calculated according to the Kidney\nDisease: Improving Global Outcomes (KDIGO) criteria21. \nOutcome measures The center was funded by the state of Minas Gerais, which made fixed fund\ntransfers to cover the monthly cost of the care provided by the service\nprovider. Accordingly, the values of the transfers from the Minas Gerais State\nHealth Fund (Fundo Estadual de Saúde de Minas Gerais - FES-MG) to the center\nwere determined, and the average cost per patient was calculated, estimated by\nthe total number of specialized medical consultations performed.\nTo validate the cost of the service provider, a microcosting survey was conducted\nfollowing the Methodological Guidelines for Economic Evaluation in Health\n(Diretrizes Metodológicas para Avaliação Econômica em Saúde) and the National\nProgram for Cost Management (Programa Nacional de Gestão de Custos - PNGC), both\nrecommendations published by the Brazilian Ministry of Health22\n-\n24 for economic studies. \nThe microcosting calculation was performed based on data from the retrospective\nfinancial database of the outpatient center to determine whether there was any\nrestriction of costs by the funding from the State Health Fund. Thus, the costs\ndetermined by the FES-MG and the actual costs of the service provider were\nupdated by the Extended Consumer Price Index (Índice de Preços ao Consumidor\nAmplo - IPCA)25 until December 2018 and\ncompared.\nThe criterion for defining which cost would be considered was to observe whether\nthe public funding for the service provider’s operations was sufficient. That\nis, even considering that the microcosting data could reflect, to some extent,\nsome inefficiency, it mirrors the actual productivity of the service provider’s\noperations. That said, if the funds provided by the FES-MG to the center were\nsufficient to cover its costs, then the microcosting data would indicate greater\nefficiency than that estimated by the state government, and therefore, this cost\nwould be considered.\nThe cost of DT was defined according to the mean expenditure of the SUS with\nservice providers from SIGTAP (Table of Procedures, Medications, Orthoses,\nProstheses, and Materials Management System)26, considering the main procedures related to hemodialysis and\nperitoneal dialysis.\nTo estimate the mean demand of patients, the mean number of consultations at the\npredialysis center was considered for the predialysis phase. For the DT phase,\nthe demand predefined by the SUS through the High Cost/Complexity Procedure\nAuthorization (APAC, for its acronym in Portuguese)26 was considered, that is, one monthly procedure per\npatient undergoing peritoneal dialysis and three sessions per week per patient\nundergoing hemodialysis.\nThe center was funded by the state of Minas Gerais, which made fixed fund\ntransfers to cover the monthly cost of the care provided by the service\nprovider. Accordingly, the values of the transfers from the Minas Gerais State\nHealth Fund (Fundo Estadual de Saúde de Minas Gerais - FES-MG) to the center\nwere determined, and the average cost per patient was calculated, estimated by\nthe total number of specialized medical consultations performed.\nTo validate the cost of the service provider, a microcosting survey was conducted\nfollowing the Methodological Guidelines for Economic Evaluation in Health\n(Diretrizes Metodológicas para Avaliação Econômica em Saúde) and the National\nProgram for Cost Management (Programa Nacional de Gestão de Custos - PNGC), both\nrecommendations published by the Brazilian Ministry of Health22\n-\n24 for economic studies. \nThe microcosting calculation was performed based on data from the retrospective\nfinancial database of the outpatient center to determine whether there was any\nrestriction of costs by the funding from the State Health Fund. Thus, the costs\ndetermined by the FES-MG and the actual costs of the service provider were\nupdated by the Extended Consumer Price Index (Índice de Preços ao Consumidor\nAmplo - IPCA)25 until December 2018 and\ncompared.\nThe criterion for defining which cost would be considered was to observe whether\nthe public funding for the service provider’s operations was sufficient. That\nis, even considering that the microcosting data could reflect, to some extent,\nsome inefficiency, it mirrors the actual productivity of the service provider’s\noperations. That said, if the funds provided by the FES-MG to the center were\nsufficient to cover its costs, then the microcosting data would indicate greater\nefficiency than that estimated by the state government, and therefore, this cost\nwould be considered.\nThe cost of DT was defined according to the mean expenditure of the SUS with\nservice providers from SIGTAP (Table of Procedures, Medications, Orthoses,\nProstheses, and Materials Management System)26, considering the main procedures related to hemodialysis and\nperitoneal dialysis.\nTo estimate the mean demand of patients, the mean number of consultations at the\npredialysis center was considered for the predialysis phase. For the DT phase,\nthe demand predefined by the SUS through the High Cost/Complexity Procedure\nAuthorization (APAC, for its acronym in Portuguese)26 was considered, that is, one monthly procedure per\npatient undergoing peritoneal dialysis and three sessions per week per patient\nundergoing hemodialysis.\nCost analysis and sensitivity analysis As parameters of demand variability, in the predialysis phase, the mean demand\nwas considered per CKD progression stage according to KDIGO21. In the DT phase, 156 sessions per year were considered\nfor hemodialysis, and 12 procedure per year were considered for peritoneal\ndialysis. \nIn the probabilistic cost sensitivity analysis, the Monte Carlo simulation was\nused in a theoretical cohort of 10,000 patients (simulation with 10,000\ninteractions). According to the Ministry of Health’s Methodological Guidelines\nfor Economic Evaluation in Health27\n,\n28, the Monte Carlo simulation is\nrecommended to estimate cost variability, producing a probabilistic sensitivity\nmeasure from a stochastic perspective. Thus, the data have the power to provide\npotential information about likely cost variations.\nAdditionally, according to the guidelines27\n,\n28, the Gamma probability distribution\nwas used to estimate the costs. For demand variability, there is no specific\nrecommendation from the Ministry of Health, and therefore, the binomial\ndistribution was used, establishing a 99% chance of the values approaching the\nmean for hemodialysis because the non-attendance of these patients at\nhemodialysis sessions severely compromises their health status. For peritoneal\ndialysis, 12 annual procedures were considered, with a 61.3% probability of the\nmodality being automated peritoneal dialysis (APD) and 38.7% of it being\ncontinuous ambulatory peritoneal dialysis (CAPD), according to data on\nprocedures approved by the Outpatient Information System of the SUS (SIA-SUS)\nfrom 2009 to 2018 29.\nFor probabilities of patient transition from predialysis to DT, it was\nestablished that 94.4% of patients would go on to hemodialysis and 5.6% would go\non to peritoneal dialysis, according to data estimated from the procedures\napproved in the SIA-SUS in 201829. The probabilistic cost sensitivity analysis\nwas performed using a stochastic decision tree model. For this purpose,\nPrecisionTree v7.5, Risk@ v7.5.1, and Microsoft Excel 2016 were used.\nAs parameters of demand variability, in the predialysis phase, the mean demand\nwas considered per CKD progression stage according to KDIGO21. In the DT phase, 156 sessions per year were considered\nfor hemodialysis, and 12 procedure per year were considered for peritoneal\ndialysis. \nIn the probabilistic cost sensitivity analysis, the Monte Carlo simulation was\nused in a theoretical cohort of 10,000 patients (simulation with 10,000\ninteractions). According to the Ministry of Health’s Methodological Guidelines\nfor Economic Evaluation in Health27\n,\n28, the Monte Carlo simulation is\nrecommended to estimate cost variability, producing a probabilistic sensitivity\nmeasure from a stochastic perspective. Thus, the data have the power to provide\npotential information about likely cost variations.\nAdditionally, according to the guidelines27\n,\n28, the Gamma probability distribution\nwas used to estimate the costs. For demand variability, there is no specific\nrecommendation from the Ministry of Health, and therefore, the binomial\ndistribution was used, establishing a 99% chance of the values approaching the\nmean for hemodialysis because the non-attendance of these patients at\nhemodialysis sessions severely compromises their health status. For peritoneal\ndialysis, 12 annual procedures were considered, with a 61.3% probability of the\nmodality being automated peritoneal dialysis (APD) and 38.7% of it being\ncontinuous ambulatory peritoneal dialysis (CAPD), according to data on\nprocedures approved by the Outpatient Information System of the SUS (SIA-SUS)\nfrom 2009 to 2018 29.\nFor probabilities of patient transition from predialysis to DT, it was\nestablished that 94.4% of patients would go on to hemodialysis and 5.6% would go\non to peritoneal dialysis, according to data estimated from the procedures\napproved in the SIA-SUS in 201829. The probabilistic cost sensitivity analysis\nwas performed using a stochastic decision tree model. For this purpose,\nPrecisionTree v7.5, Risk@ v7.5.1, and Microsoft Excel 2016 were used.", "This longitudinal retrospective observational study involved the collection of\ndata from medical records of patients seen at a clinical center specializing in\npredialysis care associated with the public health program of the state of Minas\nGerais, Brazil, serving 37 cities. The center focused on secondary preventive\ncare for diabetes, hypertension, and CKD, considering as medical specialists:\nnephrologists, cardiologists, and endocrinologists. In addition, there is a\nmultidisciplinary team that assist the patient in a “circular” model (in the\nsame outpatient consultation), which includes nurses, nutritionists,\npsychologists, social workers, pharmacists, dentists, physical educators, and\nphysiotherapists. Data collection was authorized by the Ethics Committee of the\nFederal University of Juiz de Fora (Universidade Federal de Juiz de Fora - UFJF)\nand approved under protocol no. 36345514.1.0000.5139.", "The initial sample included 5,689 patients followed-up between 2011 and 2014 who\nwere seen at all outpatient clinics. Inclusion criteria were patients seen at\nthe nephrology outpatient clinic, independent of visits at the endocrinology\nand/or cardiology outpatient clinics. Exclusion criteria included patients\ntreated before 2010 and after 2014 and patients in CKD stages G1 to G4 who\nstopped participating in the program between 2011 and 2014. Patients in stage G5\nwho stopped participating in the program were noted as patients who started DT.\nIt was not possible to determine if these patients were dead or alive.\nData were obtained for 537 patients. Sociodemographic data, CKD progression\nstage, comorbidities (hypertension and diabetes), number of specialized medical\nconsultations, and probable outcomes of referral to DT were collected from the\nmedical records. Regarding the data on CKD progression, the probabilities of\ntransition between disease stages were calculated according to the Kidney\nDisease: Improving Global Outcomes (KDIGO) criteria21. ", "The center was funded by the state of Minas Gerais, which made fixed fund\ntransfers to cover the monthly cost of the care provided by the service\nprovider. Accordingly, the values of the transfers from the Minas Gerais State\nHealth Fund (Fundo Estadual de Saúde de Minas Gerais - FES-MG) to the center\nwere determined, and the average cost per patient was calculated, estimated by\nthe total number of specialized medical consultations performed.\nTo validate the cost of the service provider, a microcosting survey was conducted\nfollowing the Methodological Guidelines for Economic Evaluation in Health\n(Diretrizes Metodológicas para Avaliação Econômica em Saúde) and the National\nProgram for Cost Management (Programa Nacional de Gestão de Custos - PNGC), both\nrecommendations published by the Brazilian Ministry of Health22\n-\n24 for economic studies. \nThe microcosting calculation was performed based on data from the retrospective\nfinancial database of the outpatient center to determine whether there was any\nrestriction of costs by the funding from the State Health Fund. Thus, the costs\ndetermined by the FES-MG and the actual costs of the service provider were\nupdated by the Extended Consumer Price Index (Índice de Preços ao Consumidor\nAmplo - IPCA)25 until December 2018 and\ncompared.\nThe criterion for defining which cost would be considered was to observe whether\nthe public funding for the service provider’s operations was sufficient. That\nis, even considering that the microcosting data could reflect, to some extent,\nsome inefficiency, it mirrors the actual productivity of the service provider’s\noperations. That said, if the funds provided by the FES-MG to the center were\nsufficient to cover its costs, then the microcosting data would indicate greater\nefficiency than that estimated by the state government, and therefore, this cost\nwould be considered.\nThe cost of DT was defined according to the mean expenditure of the SUS with\nservice providers from SIGTAP (Table of Procedures, Medications, Orthoses,\nProstheses, and Materials Management System)26, considering the main procedures related to hemodialysis and\nperitoneal dialysis.\nTo estimate the mean demand of patients, the mean number of consultations at the\npredialysis center was considered for the predialysis phase. For the DT phase,\nthe demand predefined by the SUS through the High Cost/Complexity Procedure\nAuthorization (APAC, for its acronym in Portuguese)26 was considered, that is, one monthly procedure per\npatient undergoing peritoneal dialysis and three sessions per week per patient\nundergoing hemodialysis.", "As parameters of demand variability, in the predialysis phase, the mean demand\nwas considered per CKD progression stage according to KDIGO21. In the DT phase, 156 sessions per year were considered\nfor hemodialysis, and 12 procedure per year were considered for peritoneal\ndialysis. \nIn the probabilistic cost sensitivity analysis, the Monte Carlo simulation was\nused in a theoretical cohort of 10,000 patients (simulation with 10,000\ninteractions). According to the Ministry of Health’s Methodological Guidelines\nfor Economic Evaluation in Health27\n,\n28, the Monte Carlo simulation is\nrecommended to estimate cost variability, producing a probabilistic sensitivity\nmeasure from a stochastic perspective. Thus, the data have the power to provide\npotential information about likely cost variations.\nAdditionally, according to the guidelines27\n,\n28, the Gamma probability distribution\nwas used to estimate the costs. For demand variability, there is no specific\nrecommendation from the Ministry of Health, and therefore, the binomial\ndistribution was used, establishing a 99% chance of the values approaching the\nmean for hemodialysis because the non-attendance of these patients at\nhemodialysis sessions severely compromises their health status. For peritoneal\ndialysis, 12 annual procedures were considered, with a 61.3% probability of the\nmodality being automated peritoneal dialysis (APD) and 38.7% of it being\ncontinuous ambulatory peritoneal dialysis (CAPD), according to data on\nprocedures approved by the Outpatient Information System of the SUS (SIA-SUS)\nfrom 2009 to 2018 29.\nFor probabilities of patient transition from predialysis to DT, it was\nestablished that 94.4% of patients would go on to hemodialysis and 5.6% would go\non to peritoneal dialysis, according to data estimated from the procedures\napproved in the SIA-SUS in 201829. The probabilistic cost sensitivity analysis\nwas performed using a stochastic decision tree model. For this purpose,\nPrecisionTree v7.5, Risk@ v7.5.1, and Microsoft Excel 2016 were used.", "The Predialysis Outpatient Program served 37 cities of a microregion of Minas Gerais\nstate. The distribution of patients relative to the population of each city was good\nat a certain level. The largest city had a population of 555,284 inhabitants,\naccording to the Brazilian Institute of Geography and Statistics (Instituto\nBrasileiro de Geografia e Estatística - IBGE)30.\nThe mean participation of the cities’ populations as patients treated in the\npredialysis program was 0.75%. The highest participation rate of a city in the\nprogram was 2.03% and the lowest, 0.03%.\nWe conducted a retrospective cohort study of participants in the Predialysis\nOutpatient Program, which included the follow-up of 537 patients from 2011 to 2014.\nThese patients had a mean age of 65 ± 13.3 years, and most were mixed-ethnicity\nfemales with a body mass index (BMI) of 29.9 ± 7.15, non-drinkers, ex-smokers or\ncurrent smokers. Almost half (46.7%) had diabetes, and only 18.6% were using\ninsulin. They were followed-up for a mean of 38.6 months (Table 1).\n* CKD - chronic kidney disease; BMI - body mass index; ACEI -\nangiotensin-converting enzyme inhibitors; BRAT- angiotensin receptor\nblockers; ASA-\nPatients were seen by a specialist in the nephrology, cardiology, and endocrinology\noutpatient clinics, in addition to receiving multidisciplinary care. All patients\nhad progressive CKD according to the KDIGO monitoring classification21 throughout the follow-up period (Figure 2). Reclassification of the CKD stage was\nperformed every year.\nAll patient exits from the predialysis phase were considered as entries into the DT\nphase. Therefore, with this survey, it was possible to define the odds of patients\ntransitioning between progressive CKD stages (Figure\n1).\n\nFigure 1Odds of transition between stages of progressive chronic renal\ndisease from 2011 and 2014 (in %) (1)\n\n\nFigure 2Cumulative probabilities for the progression of costs from\npredialysis to DT over a period of four years (in R$)\n\nFigure 1 presents four annual transition\ntimelines in which the first timeline, in each colored box, shows the CKD stage\nalong with the percentage of patients identified in those risk strata at the\nbeginning of the year. The horizontal arrows show the progression of the disease to\nthe following stage. The curved arrows above the boxes show the most severe jumps in\ndisease progression, and the curved arrows below the boxes show backward jumps in\ndisease progression. Some of the jumps occurred at the thresholds between\nstages.\nThe results of the analysis reveal interesting information, as summarized in Figure 2. The average cost of a population with\nCKD tends to increase substantially as the disease progresses. Stage G1 recorded an\naverage cost of R$ 7,110.78 (US$1,832.06), and stage G5 reached an average cost of\nR$ 26,814.08 (US$6,908.53), accumulated over the four years. The average cost of\nthis last stage increases because the patient has greater odds of being referred to\nDT within a period of four years. Details on the collection of data regarding the\ncost of predialysis care can be found in the supplementary material.\nAccording to Table 2, the standard deviation\nincreases starting in stage G3B. The variation in the standard deviation of CKD\nstage G2 was due to the higher demand from patients with diabetes than that demanded\nfrom patients in stage G1 and from patients with hypertension than from those in\nstage G3A, which in turn had the lowest mean demand from patients with hypertension.\nThus, the odds of stage G3A incurring costs with DT was slightly increased compared\nto stages G1 and G2.\nIn general, the average costs were impacted by stages G3B to G5, causing a greater\ndispersion in the costs, denoting a probable risk of higher costs (Table 2). In fact, this event may occur over a\nperiod of four years. There was a 10.09% chance of a patient migrating to DT\nincurring a cost between R$ 32,248.32 (US$ 8,308.64) and R$ 41,859.00 (US$\n10,784.79); however, there was a 89.91% chance of patient costs ranging from R$\n6,492.01 (US$ 1,672.64) to R$ 9,366.07 (US$ 2,413.13). Notably, the risk of\nincurring costs with DT in stage G3A over a period of four years was practically\nnil. Furthermore, the risk for stage G3B was also very low.\nA predialysis program can generate an average cost reduction of R$ 33,023.12 ±\n1,676.80 (US$ 8,508.26 ± 432.02) for each year of DT avoided, which covers the\nprogram’s operational cost, thus minimizing cost. These results signal to public\nhealth policy makers the real possibility of achieving visible results for the care\nof CKD in the medium term (4 years) for a program that disbursed R$ 24 billion (US$\n6.8 billion) for DT in Brazil between 2009 and 2018. ", "We demonstrated that in a multidisciplinary care model from the perspective of the\nservice provider in the reality of the Brazilian public health system there is an\nincrease in cost as the severity of CKD progresses. In addition, the cost of DT is\nvery high compared to predialysis costs, even in more advanced disease stages. By\nshowing that each year of DT avoided generates a reduction in the monthly cost per\npatient, we emphasize that this is a cost-minimizing strategy.\nKidney diseases and some of the main related diseases accounted for 12.97% of the\nexpenditures of the SUS in Brazil in the 2013-2015 triennium, and renal replacement\ntherapy (RRT) accounted for more than 5% of the SUS expenditures on medium- and\nhigh-complexity healthcare22. It would be\nplausible for public health actions to focus on avoiding late disease diagnosis,\nthus allowing easier access to specialized multidisciplinary care10\n,\n11, mitigating the impairment of individuals’\nproductive capacity 12 and the high costs of DT13. \nSpecialized care to patients with CKD during disease progression is still an\nunderexplored field. A study conducted in Taiwan reported that patients with CKD who\nreceived high-quality nephrological care during the predialysis phase incurred lower\ncosts during the dialysis phase and had higher survival rates. These data is useful\nfor health managers and physicians and provide evidence that financial incentives\ncan help improve the quality of services provided in the predialysis phase. These\nfindings are in agreement with our study, which showed that adequate\nmultidisciplinary predialysis care, delaying the progression of CKD to ESRD, is a\ncost-minimizing strategy23.\nThere is implicit, rather than estimated, reduction in the social cost of CKD when\ninvesting in prevention14. The results presented here echo evidence that in Brazil,\nthe SUS strategies for combating CKD are more focused on treatment than prevention,\nwhich agrees with studies that indicate that preventive actions improve quality of\nlife and seek greater economic balance between costs and quality in healthcare\nservices15\n,\n16. \nA retrospective study conducted in the Lombardy Region, Italy, evaluated the cost in\nthe first year after starting DT and in the two years prior to it. The costs of\ndrugs, hospitalizations, and diagnostic and outpatient procedures covered by the\npublic health system were estimated. The results highlight a significant economic\nburden related to CKD and an increase in the direct health costs associated with the\nstart of dialysis, indicating the importance of prevention and early diagnosis\nprograms24. Although our study had a\ndifferent approach, we observed a similar finding, with lower cost in predialysis\ncare.\nIn Brazil, a study estimated the cost incurred by the SUS over a period of seven\nyears and concluded that the cost of predialysis and dialysis care attributed to\ndiabetes was high31. However, in that study,\nthe cost was evaluated from the perspective of the payer, the SUS, and did not have\naccess to all the variables necessary for a realistic result31. Our study used the perspective of the service provider and\ntook into account most of the variables associated with predialysis care costs using\nthe methodology suggested by the Ministry of Health for this approach27\n,\n28.\nAs observed in studies conducted in various parts of the world and in our study\nconducted in Brazil, which is facing legislative changes toward fiscal austerity and\nan increasingly restrictive public health funding20, public health managers should consider predialysis care as an\neconomic option for public health actions and services to combat CKD.\nWe believe that the main limitation of our study was not having determined the cost\nof complications associated with the need for hospitalization, because these are\nfunded by the SUS. Another limitation is that fatal events that may occur more\nfrequently in individuals with more advanced CKD were not taken into account,\nhowever this data do not interfere with cost analysis during predialysis care.\nDT will continue to be the therapeutic option for patients with ESRD21, but certainly, shrewd management in the\ncombating of CKD will need a greater focus of the public budget and public policies\nthat are conducive to and that support the provision of predialysis care\nservices.\nWe conclude that the earlier the adherence of patients with CKD to predialysis\nprograms, the higher is the cost-minimizing effects on DT, complying with a short-\nand medium-term strategy, screening actions, and more effective awareness campaigns\n.\nPreventive and planned care for combating CKD in Brazil and in the world must be\nbased on important information for health actions and services to guarantee the\nfundamental right to life so that the future is not a trade-off between savings and\nhealth provision." ]
[ "intro", "materials|methods", null, null, null, null, "results", "discussion" ]
[ "Renal Insufficiency, Chronic", "Predialysis", "Dialysis", "Costs and Cost Analysis", "Health System", "Insuficiência Renal Crônica", "Prédiálise", "Diálise", "Custos e Análise de Custo", "Sistema de Saúde" ]
Introduction: The International Society of Nephrology estimated in a recent publication that approximately 10% of the world population lives with chronic kidney disease (CKD). CKD can progress in various ways to end-stage renal disease (ESRD), and clinical studies show that the progression of CKD to ESRD can be slowed. Despite well-established preventive strategies, thousands of people live with ESRD1. Approximately 0.1% of the world population has ESRD, and estimates suggest that the prevalence is higher in medium-high (0.1%) and high (0.2%) income countries compared to low (0.05%) or medium-low (0.07%) income countries2. According to the Brazilian dialysis census, which publishes annually the number of patients undergoing dialysis in the country, in 2018 there were 133,464 patients undergoing dialysis. Eighty percent of these patients are funded by the Unified Health System (Sistema Único de Saúde - SUS)3, Brazil’s public health system, as determined by the Brazilian constitution of 1988 and implemented in 1990, which states that “health is a right of all and duty of the state”3. Data from the Brazilian Society of Nephrology and other researchers4 , 5 confirm the historic increase in the demand for dialysis treatment (DT) services. The increase in CKD in Brazil does not yet seem to be a reason for more aggressive health policy actions. Data on the prevalence of the disease worldwide and from other studies point to a marked increase in CKD, including in children3 , 6 - 9. According to the study by Vanholder et al.14, the care of patients with CKD during the progression of the disease, i.e., treating the main causes (in the context of primary prevention) or progression and complications (secondary prevention), is still an underexplored field, despite the great potential to significantly reduce the social cost of CKD. Unfortunately, studies have indicated that in recent years, health policies have been more focused on treatment than prevention15 , 16. In this sense, treatment strategies during predialysis stages that delay the need for DT, acting in the preventive and periodic monitoring of patients who have some moderate to high epidemiological risk factor15 - 18, are effective. Therefore, it is pertinent to the Brazilian context to understand the cost of reimbursing predialysis specialized care service providers, considering the possible avoidable costs with DT service providers. Thus, this study focuses on the cost of care in monitoring the stages of CKD progression in a predialysis outpatient clinic setting compared to the costs of DT to the public health system. The study intends to determine the cost savings with DT service providers from the establishment of predialysis monitoring actions in the medium term. The objective of this study was to estimate the SUS costs from service providers over the course of CKD in predialysis care and compare with the costs of DT service providers. The present study is relevant to the context of public policies for combating CKD and its economic impact amid fiscal adjustment policies, considering the possibility of delaying the entry of patients with CKD into the DT phase, thus increasing the possibility of saving public resources19 , 20. Materials and Methods: Data sources This longitudinal retrospective observational study involved the collection of data from medical records of patients seen at a clinical center specializing in predialysis care associated with the public health program of the state of Minas Gerais, Brazil, serving 37 cities. The center focused on secondary preventive care for diabetes, hypertension, and CKD, considering as medical specialists: nephrologists, cardiologists, and endocrinologists. In addition, there is a multidisciplinary team that assist the patient in a “circular” model (in the same outpatient consultation), which includes nurses, nutritionists, psychologists, social workers, pharmacists, dentists, physical educators, and physiotherapists. Data collection was authorized by the Ethics Committee of the Federal University of Juiz de Fora (Universidade Federal de Juiz de Fora - UFJF) and approved under protocol no. 36345514.1.0000.5139. This longitudinal retrospective observational study involved the collection of data from medical records of patients seen at a clinical center specializing in predialysis care associated with the public health program of the state of Minas Gerais, Brazil, serving 37 cities. The center focused on secondary preventive care for diabetes, hypertension, and CKD, considering as medical specialists: nephrologists, cardiologists, and endocrinologists. In addition, there is a multidisciplinary team that assist the patient in a “circular” model (in the same outpatient consultation), which includes nurses, nutritionists, psychologists, social workers, pharmacists, dentists, physical educators, and physiotherapists. Data collection was authorized by the Ethics Committee of the Federal University of Juiz de Fora (Universidade Federal de Juiz de Fora - UFJF) and approved under protocol no. 36345514.1.0000.5139. Inclusion criteria and study period The initial sample included 5,689 patients followed-up between 2011 and 2014 who were seen at all outpatient clinics. Inclusion criteria were patients seen at the nephrology outpatient clinic, independent of visits at the endocrinology and/or cardiology outpatient clinics. Exclusion criteria included patients treated before 2010 and after 2014 and patients in CKD stages G1 to G4 who stopped participating in the program between 2011 and 2014. Patients in stage G5 who stopped participating in the program were noted as patients who started DT. It was not possible to determine if these patients were dead or alive. Data were obtained for 537 patients. Sociodemographic data, CKD progression stage, comorbidities (hypertension and diabetes), number of specialized medical consultations, and probable outcomes of referral to DT were collected from the medical records. Regarding the data on CKD progression, the probabilities of transition between disease stages were calculated according to the Kidney Disease: Improving Global Outcomes (KDIGO) criteria21. The initial sample included 5,689 patients followed-up between 2011 and 2014 who were seen at all outpatient clinics. Inclusion criteria were patients seen at the nephrology outpatient clinic, independent of visits at the endocrinology and/or cardiology outpatient clinics. Exclusion criteria included patients treated before 2010 and after 2014 and patients in CKD stages G1 to G4 who stopped participating in the program between 2011 and 2014. Patients in stage G5 who stopped participating in the program were noted as patients who started DT. It was not possible to determine if these patients were dead or alive. Data were obtained for 537 patients. Sociodemographic data, CKD progression stage, comorbidities (hypertension and diabetes), number of specialized medical consultations, and probable outcomes of referral to DT were collected from the medical records. Regarding the data on CKD progression, the probabilities of transition between disease stages were calculated according to the Kidney Disease: Improving Global Outcomes (KDIGO) criteria21. Outcome measures The center was funded by the state of Minas Gerais, which made fixed fund transfers to cover the monthly cost of the care provided by the service provider. Accordingly, the values of the transfers from the Minas Gerais State Health Fund (Fundo Estadual de Saúde de Minas Gerais - FES-MG) to the center were determined, and the average cost per patient was calculated, estimated by the total number of specialized medical consultations performed. To validate the cost of the service provider, a microcosting survey was conducted following the Methodological Guidelines for Economic Evaluation in Health (Diretrizes Metodológicas para Avaliação Econômica em Saúde) and the National Program for Cost Management (Programa Nacional de Gestão de Custos - PNGC), both recommendations published by the Brazilian Ministry of Health22 - 24 for economic studies. The microcosting calculation was performed based on data from the retrospective financial database of the outpatient center to determine whether there was any restriction of costs by the funding from the State Health Fund. Thus, the costs determined by the FES-MG and the actual costs of the service provider were updated by the Extended Consumer Price Index (Índice de Preços ao Consumidor Amplo - IPCA)25 until December 2018 and compared. The criterion for defining which cost would be considered was to observe whether the public funding for the service provider’s operations was sufficient. That is, even considering that the microcosting data could reflect, to some extent, some inefficiency, it mirrors the actual productivity of the service provider’s operations. That said, if the funds provided by the FES-MG to the center were sufficient to cover its costs, then the microcosting data would indicate greater efficiency than that estimated by the state government, and therefore, this cost would be considered. The cost of DT was defined according to the mean expenditure of the SUS with service providers from SIGTAP (Table of Procedures, Medications, Orthoses, Prostheses, and Materials Management System)26, considering the main procedures related to hemodialysis and peritoneal dialysis. To estimate the mean demand of patients, the mean number of consultations at the predialysis center was considered for the predialysis phase. For the DT phase, the demand predefined by the SUS through the High Cost/Complexity Procedure Authorization (APAC, for its acronym in Portuguese)26 was considered, that is, one monthly procedure per patient undergoing peritoneal dialysis and three sessions per week per patient undergoing hemodialysis. The center was funded by the state of Minas Gerais, which made fixed fund transfers to cover the monthly cost of the care provided by the service provider. Accordingly, the values of the transfers from the Minas Gerais State Health Fund (Fundo Estadual de Saúde de Minas Gerais - FES-MG) to the center were determined, and the average cost per patient was calculated, estimated by the total number of specialized medical consultations performed. To validate the cost of the service provider, a microcosting survey was conducted following the Methodological Guidelines for Economic Evaluation in Health (Diretrizes Metodológicas para Avaliação Econômica em Saúde) and the National Program for Cost Management (Programa Nacional de Gestão de Custos - PNGC), both recommendations published by the Brazilian Ministry of Health22 - 24 for economic studies. The microcosting calculation was performed based on data from the retrospective financial database of the outpatient center to determine whether there was any restriction of costs by the funding from the State Health Fund. Thus, the costs determined by the FES-MG and the actual costs of the service provider were updated by the Extended Consumer Price Index (Índice de Preços ao Consumidor Amplo - IPCA)25 until December 2018 and compared. The criterion for defining which cost would be considered was to observe whether the public funding for the service provider’s operations was sufficient. That is, even considering that the microcosting data could reflect, to some extent, some inefficiency, it mirrors the actual productivity of the service provider’s operations. That said, if the funds provided by the FES-MG to the center were sufficient to cover its costs, then the microcosting data would indicate greater efficiency than that estimated by the state government, and therefore, this cost would be considered. The cost of DT was defined according to the mean expenditure of the SUS with service providers from SIGTAP (Table of Procedures, Medications, Orthoses, Prostheses, and Materials Management System)26, considering the main procedures related to hemodialysis and peritoneal dialysis. To estimate the mean demand of patients, the mean number of consultations at the predialysis center was considered for the predialysis phase. For the DT phase, the demand predefined by the SUS through the High Cost/Complexity Procedure Authorization (APAC, for its acronym in Portuguese)26 was considered, that is, one monthly procedure per patient undergoing peritoneal dialysis and three sessions per week per patient undergoing hemodialysis. Cost analysis and sensitivity analysis As parameters of demand variability, in the predialysis phase, the mean demand was considered per CKD progression stage according to KDIGO21. In the DT phase, 156 sessions per year were considered for hemodialysis, and 12 procedure per year were considered for peritoneal dialysis. In the probabilistic cost sensitivity analysis, the Monte Carlo simulation was used in a theoretical cohort of 10,000 patients (simulation with 10,000 interactions). According to the Ministry of Health’s Methodological Guidelines for Economic Evaluation in Health27 , 28, the Monte Carlo simulation is recommended to estimate cost variability, producing a probabilistic sensitivity measure from a stochastic perspective. Thus, the data have the power to provide potential information about likely cost variations. Additionally, according to the guidelines27 , 28, the Gamma probability distribution was used to estimate the costs. For demand variability, there is no specific recommendation from the Ministry of Health, and therefore, the binomial distribution was used, establishing a 99% chance of the values approaching the mean for hemodialysis because the non-attendance of these patients at hemodialysis sessions severely compromises their health status. For peritoneal dialysis, 12 annual procedures were considered, with a 61.3% probability of the modality being automated peritoneal dialysis (APD) and 38.7% of it being continuous ambulatory peritoneal dialysis (CAPD), according to data on procedures approved by the Outpatient Information System of the SUS (SIA-SUS) from 2009 to 2018 29. For probabilities of patient transition from predialysis to DT, it was established that 94.4% of patients would go on to hemodialysis and 5.6% would go on to peritoneal dialysis, according to data estimated from the procedures approved in the SIA-SUS in 201829. The probabilistic cost sensitivity analysis was performed using a stochastic decision tree model. For this purpose, PrecisionTree v7.5, Risk@ v7.5.1, and Microsoft Excel 2016 were used. As parameters of demand variability, in the predialysis phase, the mean demand was considered per CKD progression stage according to KDIGO21. In the DT phase, 156 sessions per year were considered for hemodialysis, and 12 procedure per year were considered for peritoneal dialysis. In the probabilistic cost sensitivity analysis, the Monte Carlo simulation was used in a theoretical cohort of 10,000 patients (simulation with 10,000 interactions). According to the Ministry of Health’s Methodological Guidelines for Economic Evaluation in Health27 , 28, the Monte Carlo simulation is recommended to estimate cost variability, producing a probabilistic sensitivity measure from a stochastic perspective. Thus, the data have the power to provide potential information about likely cost variations. Additionally, according to the guidelines27 , 28, the Gamma probability distribution was used to estimate the costs. For demand variability, there is no specific recommendation from the Ministry of Health, and therefore, the binomial distribution was used, establishing a 99% chance of the values approaching the mean for hemodialysis because the non-attendance of these patients at hemodialysis sessions severely compromises their health status. For peritoneal dialysis, 12 annual procedures were considered, with a 61.3% probability of the modality being automated peritoneal dialysis (APD) and 38.7% of it being continuous ambulatory peritoneal dialysis (CAPD), according to data on procedures approved by the Outpatient Information System of the SUS (SIA-SUS) from 2009 to 2018 29. For probabilities of patient transition from predialysis to DT, it was established that 94.4% of patients would go on to hemodialysis and 5.6% would go on to peritoneal dialysis, according to data estimated from the procedures approved in the SIA-SUS in 201829. The probabilistic cost sensitivity analysis was performed using a stochastic decision tree model. For this purpose, PrecisionTree v7.5, Risk@ v7.5.1, and Microsoft Excel 2016 were used. Data sources: This longitudinal retrospective observational study involved the collection of data from medical records of patients seen at a clinical center specializing in predialysis care associated with the public health program of the state of Minas Gerais, Brazil, serving 37 cities. The center focused on secondary preventive care for diabetes, hypertension, and CKD, considering as medical specialists: nephrologists, cardiologists, and endocrinologists. In addition, there is a multidisciplinary team that assist the patient in a “circular” model (in the same outpatient consultation), which includes nurses, nutritionists, psychologists, social workers, pharmacists, dentists, physical educators, and physiotherapists. Data collection was authorized by the Ethics Committee of the Federal University of Juiz de Fora (Universidade Federal de Juiz de Fora - UFJF) and approved under protocol no. 36345514.1.0000.5139. Inclusion criteria and study period: The initial sample included 5,689 patients followed-up between 2011 and 2014 who were seen at all outpatient clinics. Inclusion criteria were patients seen at the nephrology outpatient clinic, independent of visits at the endocrinology and/or cardiology outpatient clinics. Exclusion criteria included patients treated before 2010 and after 2014 and patients in CKD stages G1 to G4 who stopped participating in the program between 2011 and 2014. Patients in stage G5 who stopped participating in the program were noted as patients who started DT. It was not possible to determine if these patients were dead or alive. Data were obtained for 537 patients. Sociodemographic data, CKD progression stage, comorbidities (hypertension and diabetes), number of specialized medical consultations, and probable outcomes of referral to DT were collected from the medical records. Regarding the data on CKD progression, the probabilities of transition between disease stages were calculated according to the Kidney Disease: Improving Global Outcomes (KDIGO) criteria21. Outcome measures: The center was funded by the state of Minas Gerais, which made fixed fund transfers to cover the monthly cost of the care provided by the service provider. Accordingly, the values of the transfers from the Minas Gerais State Health Fund (Fundo Estadual de Saúde de Minas Gerais - FES-MG) to the center were determined, and the average cost per patient was calculated, estimated by the total number of specialized medical consultations performed. To validate the cost of the service provider, a microcosting survey was conducted following the Methodological Guidelines for Economic Evaluation in Health (Diretrizes Metodológicas para Avaliação Econômica em Saúde) and the National Program for Cost Management (Programa Nacional de Gestão de Custos - PNGC), both recommendations published by the Brazilian Ministry of Health22 - 24 for economic studies. The microcosting calculation was performed based on data from the retrospective financial database of the outpatient center to determine whether there was any restriction of costs by the funding from the State Health Fund. Thus, the costs determined by the FES-MG and the actual costs of the service provider were updated by the Extended Consumer Price Index (Índice de Preços ao Consumidor Amplo - IPCA)25 until December 2018 and compared. The criterion for defining which cost would be considered was to observe whether the public funding for the service provider’s operations was sufficient. That is, even considering that the microcosting data could reflect, to some extent, some inefficiency, it mirrors the actual productivity of the service provider’s operations. That said, if the funds provided by the FES-MG to the center were sufficient to cover its costs, then the microcosting data would indicate greater efficiency than that estimated by the state government, and therefore, this cost would be considered. The cost of DT was defined according to the mean expenditure of the SUS with service providers from SIGTAP (Table of Procedures, Medications, Orthoses, Prostheses, and Materials Management System)26, considering the main procedures related to hemodialysis and peritoneal dialysis. To estimate the mean demand of patients, the mean number of consultations at the predialysis center was considered for the predialysis phase. For the DT phase, the demand predefined by the SUS through the High Cost/Complexity Procedure Authorization (APAC, for its acronym in Portuguese)26 was considered, that is, one monthly procedure per patient undergoing peritoneal dialysis and three sessions per week per patient undergoing hemodialysis. Cost analysis and sensitivity analysis: As parameters of demand variability, in the predialysis phase, the mean demand was considered per CKD progression stage according to KDIGO21. In the DT phase, 156 sessions per year were considered for hemodialysis, and 12 procedure per year were considered for peritoneal dialysis. In the probabilistic cost sensitivity analysis, the Monte Carlo simulation was used in a theoretical cohort of 10,000 patients (simulation with 10,000 interactions). According to the Ministry of Health’s Methodological Guidelines for Economic Evaluation in Health27 , 28, the Monte Carlo simulation is recommended to estimate cost variability, producing a probabilistic sensitivity measure from a stochastic perspective. Thus, the data have the power to provide potential information about likely cost variations. Additionally, according to the guidelines27 , 28, the Gamma probability distribution was used to estimate the costs. For demand variability, there is no specific recommendation from the Ministry of Health, and therefore, the binomial distribution was used, establishing a 99% chance of the values approaching the mean for hemodialysis because the non-attendance of these patients at hemodialysis sessions severely compromises their health status. For peritoneal dialysis, 12 annual procedures were considered, with a 61.3% probability of the modality being automated peritoneal dialysis (APD) and 38.7% of it being continuous ambulatory peritoneal dialysis (CAPD), according to data on procedures approved by the Outpatient Information System of the SUS (SIA-SUS) from 2009 to 2018 29. For probabilities of patient transition from predialysis to DT, it was established that 94.4% of patients would go on to hemodialysis and 5.6% would go on to peritoneal dialysis, according to data estimated from the procedures approved in the SIA-SUS in 201829. The probabilistic cost sensitivity analysis was performed using a stochastic decision tree model. For this purpose, PrecisionTree v7.5, Risk@ v7.5.1, and Microsoft Excel 2016 were used. Results: The Predialysis Outpatient Program served 37 cities of a microregion of Minas Gerais state. The distribution of patients relative to the population of each city was good at a certain level. The largest city had a population of 555,284 inhabitants, according to the Brazilian Institute of Geography and Statistics (Instituto Brasileiro de Geografia e Estatística - IBGE)30. The mean participation of the cities’ populations as patients treated in the predialysis program was 0.75%. The highest participation rate of a city in the program was 2.03% and the lowest, 0.03%. We conducted a retrospective cohort study of participants in the Predialysis Outpatient Program, which included the follow-up of 537 patients from 2011 to 2014. These patients had a mean age of 65 ± 13.3 years, and most were mixed-ethnicity females with a body mass index (BMI) of 29.9 ± 7.15, non-drinkers, ex-smokers or current smokers. Almost half (46.7%) had diabetes, and only 18.6% were using insulin. They were followed-up for a mean of 38.6 months (Table 1). * CKD - chronic kidney disease; BMI - body mass index; ACEI - angiotensin-converting enzyme inhibitors; BRAT- angiotensin receptor blockers; ASA- Patients were seen by a specialist in the nephrology, cardiology, and endocrinology outpatient clinics, in addition to receiving multidisciplinary care. All patients had progressive CKD according to the KDIGO monitoring classification21 throughout the follow-up period (Figure 2). Reclassification of the CKD stage was performed every year. All patient exits from the predialysis phase were considered as entries into the DT phase. Therefore, with this survey, it was possible to define the odds of patients transitioning between progressive CKD stages (Figure 1). Figure 1Odds of transition between stages of progressive chronic renal disease from 2011 and 2014 (in %) (1) Figure 2Cumulative probabilities for the progression of costs from predialysis to DT over a period of four years (in R$) Figure 1 presents four annual transition timelines in which the first timeline, in each colored box, shows the CKD stage along with the percentage of patients identified in those risk strata at the beginning of the year. The horizontal arrows show the progression of the disease to the following stage. The curved arrows above the boxes show the most severe jumps in disease progression, and the curved arrows below the boxes show backward jumps in disease progression. Some of the jumps occurred at the thresholds between stages. The results of the analysis reveal interesting information, as summarized in Figure 2. The average cost of a population with CKD tends to increase substantially as the disease progresses. Stage G1 recorded an average cost of R$ 7,110.78 (US$1,832.06), and stage G5 reached an average cost of R$ 26,814.08 (US$6,908.53), accumulated over the four years. The average cost of this last stage increases because the patient has greater odds of being referred to DT within a period of four years. Details on the collection of data regarding the cost of predialysis care can be found in the supplementary material. According to Table 2, the standard deviation increases starting in stage G3B. The variation in the standard deviation of CKD stage G2 was due to the higher demand from patients with diabetes than that demanded from patients in stage G1 and from patients with hypertension than from those in stage G3A, which in turn had the lowest mean demand from patients with hypertension. Thus, the odds of stage G3A incurring costs with DT was slightly increased compared to stages G1 and G2. In general, the average costs were impacted by stages G3B to G5, causing a greater dispersion in the costs, denoting a probable risk of higher costs (Table 2). In fact, this event may occur over a period of four years. There was a 10.09% chance of a patient migrating to DT incurring a cost between R$ 32,248.32 (US$ 8,308.64) and R$ 41,859.00 (US$ 10,784.79); however, there was a 89.91% chance of patient costs ranging from R$ 6,492.01 (US$ 1,672.64) to R$ 9,366.07 (US$ 2,413.13). Notably, the risk of incurring costs with DT in stage G3A over a period of four years was practically nil. Furthermore, the risk for stage G3B was also very low. A predialysis program can generate an average cost reduction of R$ 33,023.12 ± 1,676.80 (US$ 8,508.26 ± 432.02) for each year of DT avoided, which covers the program’s operational cost, thus minimizing cost. These results signal to public health policy makers the real possibility of achieving visible results for the care of CKD in the medium term (4 years) for a program that disbursed R$ 24 billion (US$ 6.8 billion) for DT in Brazil between 2009 and 2018. Discussion: We demonstrated that in a multidisciplinary care model from the perspective of the service provider in the reality of the Brazilian public health system there is an increase in cost as the severity of CKD progresses. In addition, the cost of DT is very high compared to predialysis costs, even in more advanced disease stages. By showing that each year of DT avoided generates a reduction in the monthly cost per patient, we emphasize that this is a cost-minimizing strategy. Kidney diseases and some of the main related diseases accounted for 12.97% of the expenditures of the SUS in Brazil in the 2013-2015 triennium, and renal replacement therapy (RRT) accounted for more than 5% of the SUS expenditures on medium- and high-complexity healthcare22. It would be plausible for public health actions to focus on avoiding late disease diagnosis, thus allowing easier access to specialized multidisciplinary care10 , 11, mitigating the impairment of individuals’ productive capacity 12 and the high costs of DT13. Specialized care to patients with CKD during disease progression is still an underexplored field. A study conducted in Taiwan reported that patients with CKD who received high-quality nephrological care during the predialysis phase incurred lower costs during the dialysis phase and had higher survival rates. These data is useful for health managers and physicians and provide evidence that financial incentives can help improve the quality of services provided in the predialysis phase. These findings are in agreement with our study, which showed that adequate multidisciplinary predialysis care, delaying the progression of CKD to ESRD, is a cost-minimizing strategy23. There is implicit, rather than estimated, reduction in the social cost of CKD when investing in prevention14. The results presented here echo evidence that in Brazil, the SUS strategies for combating CKD are more focused on treatment than prevention, which agrees with studies that indicate that preventive actions improve quality of life and seek greater economic balance between costs and quality in healthcare services15 , 16. A retrospective study conducted in the Lombardy Region, Italy, evaluated the cost in the first year after starting DT and in the two years prior to it. The costs of drugs, hospitalizations, and diagnostic and outpatient procedures covered by the public health system were estimated. The results highlight a significant economic burden related to CKD and an increase in the direct health costs associated with the start of dialysis, indicating the importance of prevention and early diagnosis programs24. Although our study had a different approach, we observed a similar finding, with lower cost in predialysis care. In Brazil, a study estimated the cost incurred by the SUS over a period of seven years and concluded that the cost of predialysis and dialysis care attributed to diabetes was high31. However, in that study, the cost was evaluated from the perspective of the payer, the SUS, and did not have access to all the variables necessary for a realistic result31. Our study used the perspective of the service provider and took into account most of the variables associated with predialysis care costs using the methodology suggested by the Ministry of Health for this approach27 , 28. As observed in studies conducted in various parts of the world and in our study conducted in Brazil, which is facing legislative changes toward fiscal austerity and an increasingly restrictive public health funding20, public health managers should consider predialysis care as an economic option for public health actions and services to combat CKD. We believe that the main limitation of our study was not having determined the cost of complications associated with the need for hospitalization, because these are funded by the SUS. Another limitation is that fatal events that may occur more frequently in individuals with more advanced CKD were not taken into account, however this data do not interfere with cost analysis during predialysis care. DT will continue to be the therapeutic option for patients with ESRD21, but certainly, shrewd management in the combating of CKD will need a greater focus of the public budget and public policies that are conducive to and that support the provision of predialysis care services. We conclude that the earlier the adherence of patients with CKD to predialysis programs, the higher is the cost-minimizing effects on DT, complying with a short- and medium-term strategy, screening actions, and more effective awareness campaigns . Preventive and planned care for combating CKD in Brazil and in the world must be based on important information for health actions and services to guarantee the fundamental right to life so that the future is not a trade-off between savings and health provision.
Background: Chronic kidney disease (CKD) can progress to end-stage renal disease (ESRD), and clinical studies show that this progression can be slowed. The objective of this study was to estimate the costs to Brazil's public health system (SUS) throughout the course of CKD in the pre-dialysis stage compared to the costs to the SUS of dialysis treatment (DT). Methods: A retrospective cohort study was conducted to analyze clinical and laboratory variables; the outcome analyzed was need for DT. To assess cost, a microcosting survey was conducted according to the Methodological Guidelines for Economic Evaluations in Healthcare and the National Program for Cost Management, both recommended by the Brazilian Ministry of Health for economic studies. Results: A total of 5,689 patients were followed between 2011 and 2014, and 537 met the inclusion criteria. Average costs increased substantially as the disease progressed. The average cost incurred in stage G1 in Brazilian reals was R$ 7,110.78, (US$1,832.06) and in stage G5, it was R$ 26,814.08 (US$6,908.53), accumulated over the four years. Conclusions: A pre-dialysis care program may reduce by R$ 33,023.12 ± 1,676.80 (US$ 8,508.26 ± 432.02) the average cost for each year of DT avoided, which is sufficient to cover the program's operation, minimizing cost. These results signal to public health policy makers the real possibility of achieving significant cost reduction in the medium term for CKD care (4 years), to a program that disbursed R$ 24 billion (US$ 6.8 billion) for DT in Brazil between 2009 and 2018.
null
null
6,217
306
[ 162, 188, 485, 379 ]
8
[ "cost", "patients", "ckd", "data", "health", "predialysis", "dt", "costs", "dialysis", "care" ]
[ "patients undergoing dialysis", "dialysis according", "dialysis country 2018", "predialysis care brazil", "brazilian society nephrology" ]
null
null
null
[CONTENT] Renal Insufficiency, Chronic | Predialysis | Dialysis | Costs and Cost Analysis | Health System | Insuficiência Renal Crônica | Prédiálise | Diálise | Custos e Análise de Custo | Sistema de Saúde [SUMMARY]
null
[CONTENT] Renal Insufficiency, Chronic | Predialysis | Dialysis | Costs and Cost Analysis | Health System | Insuficiência Renal Crônica | Prédiálise | Diálise | Custos e Análise de Custo | Sistema de Saúde [SUMMARY]
null
[CONTENT] Renal Insufficiency, Chronic | Predialysis | Dialysis | Costs and Cost Analysis | Health System | Insuficiência Renal Crônica | Prédiálise | Diálise | Custos e Análise de Custo | Sistema de Saúde [SUMMARY]
null
[CONTENT] Cohort Studies | Dialysis | Health Care Costs | Humans | Kidney Failure, Chronic | Renal Dialysis | Renal Insufficiency, Chronic | Retrospective Studies [SUMMARY]
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[CONTENT] Cohort Studies | Dialysis | Health Care Costs | Humans | Kidney Failure, Chronic | Renal Dialysis | Renal Insufficiency, Chronic | Retrospective Studies [SUMMARY]
null
[CONTENT] Cohort Studies | Dialysis | Health Care Costs | Humans | Kidney Failure, Chronic | Renal Dialysis | Renal Insufficiency, Chronic | Retrospective Studies [SUMMARY]
null
[CONTENT] patients undergoing dialysis | dialysis according | dialysis country 2018 | predialysis care brazil | brazilian society nephrology [SUMMARY]
null
[CONTENT] patients undergoing dialysis | dialysis according | dialysis country 2018 | predialysis care brazil | brazilian society nephrology [SUMMARY]
null
[CONTENT] patients undergoing dialysis | dialysis according | dialysis country 2018 | predialysis care brazil | brazilian society nephrology [SUMMARY]
null
[CONTENT] cost | patients | ckd | data | health | predialysis | dt | costs | dialysis | care [SUMMARY]
null
[CONTENT] cost | patients | ckd | data | health | predialysis | dt | costs | dialysis | care [SUMMARY]
null
[CONTENT] cost | patients | ckd | data | health | predialysis | dt | costs | dialysis | care [SUMMARY]
null
[CONTENT] ckd | providers | service providers | service | dt | context | dt service providers | dt service | study | health [SUMMARY]
null
[CONTENT] stage | figure | years | patients | cost | average | period years | program | average cost | period [SUMMARY]
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[CONTENT] cost | patients | ckd | health | dt | predialysis | data | costs | dialysis | service [SUMMARY]
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[CONTENT] ESRD ||| Brazil | CKD | DT [SUMMARY]
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[CONTENT] 5,689 | between 2011 and 2014 | 537 ||| ||| G1 | Brazilian | 7,110.78 | 1,832.06 | 26,814.08 | 6,908.53 | the four years [SUMMARY]
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[CONTENT] ESRD ||| Brazil | CKD | DT ||| DT ||| the Methodological Guidelines for Economic Evaluations | Healthcare | the National Program for Cost Management | the Brazilian Ministry of Health ||| 5,689 | between 2011 and 2014 | 537 ||| ||| G1 | Brazilian | 7,110.78 | 1,832.06 | 26,814.08 | 6,908.53 | the four years ||| 8,508.26 | 432.02 | each year | DT ||| 4 years | R$ 24 billion | US$ 6.8 billion | DT | Brazil | between 2009 and 2018 [SUMMARY]
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Reporting of analyses from randomized controlled trials with multiple arms: a systematic review.
23531230
Multiple-arm randomized trials can be more complex in their design, data analysis, and result reporting than two-arm trials. We conducted a systematic review to assess the reporting of analyses in reports of randomized controlled trials (RCTs) with multiple arms.
BACKGROUND
The literature in the MEDLINE database was searched for reports of RCTs with multiple arms published in 2009 in the core clinical journals. Two reviewers extracted data using a standardized extraction form.
METHODS
In total, 298 reports were identified. Descriptions of the baseline characteristics and outcomes per group were missing in 45 reports (15.1%) and 48 reports (16.1%), respectively. More than half of the articles (n = 171, 57.4%) reported that a planned global test comparison was used (that is, assessment of the global differences between all groups), but 67 (39.2%) of these 171 articles did not report details of the planned analysis. Of the 116 articles reporting a global comparison test, 12 (10.3%) did not report the analysis as planned. In all, 60% of publications (n = 180) described planned pairwise test comparisons (that is, assessment of the difference between two groups), but 20 of these 180 articles (11.1%) did not report the pairwise test comparisons. Of the 204 articles reporting pairwise test comparisons, the comparisons were not planned for 44 (21.6%) of them. Less than half the reports (n = 137; 46%) provided baseline and outcome data per arm and reported the analysis as planned.
RESULTS
Our findings highlight discrepancies between the planning and reporting of analyses in reports of multiple-arm trials.
CONCLUSIONS
[ "Biomedical Research", "Humans", "Randomized Controlled Trials as Topic", "Research Design" ]
3621416
Background
Randomized controlled trials (RCTs) with multiple arms are sometimes considered an attractive way of optimizing resources and simultaneously testing various treatment strategies [1-4]. For instance, multiple-arm trials can involve increasing doses of an experimental treatment, cumulative combination therapies, or multiple independent treatments, which can allows testing of the efficacy of new treatments to be carried out more rapidly and more directly [5]. Such trials provide more information than two-arm trials can provide [6]. Multiple-arm randomized trials are becoming increasingly common, with a quarter of randomized trials having more than two intervention groups [7]. However, because of the number of arms, such trials can be more complex in design, data analysis and result reporting compared with two-arm trials [2,8,9]. Complications of such trials are directly related to the number of arms and the number of possible comparisons. For instance, in an RCT with three arms, there are seven theoretically possible comparisons [6]. The complications of such trials include: defining a priori which comparisons are of primary interest; the possibility of performing global comparison tests (that is, assessing global differences between all arms) and/or pairwise comparison tests (that is, assessing differences of 2 arms), of pooling data for two or more arms, of reporting selective comparisons (for example, only statistically significant comparisons) or post hoc comparisons (for example, comparisons that were not planned in the protocol), or of using a multiple comparison adjustment procedure for controlling type I error rate, which influences sample-size calculation and statistical analysis; and the necessity of having sufficient details of the primary outcomes per group for future meta-analyses. To our knowledge, no systematic review has compared the planned comparisons (as described in reports) and the reported comparisons from multiple-arm trials. We aimed to appraise the reporting of analyses from RCTs with multiple arms by examining a sample of reports of results of such trials published in core clinical journals.
Methods
Search strategy We searched MEDLINE (via PubMed) to identify reports of RCTs indexed between January and December 2009, which were published in the core clinical journals defined by the US National Library of Medicine and the National Institutes of Health (a subset of 119 widely read journals published in English, covering all specialties of clinical medicine and public-health sciences, and including all major medical journals, which was previously known as the Abridged Index Medicus and is available at http://www.nlm.nih.gov/bsd/aim.html). The search strategy used the following limits: ‘randomized controlled trial’, ‘publication date from 2009/01/01 to 2009/12/31’ and ‘core clinical journals’. The date of search was 13 January 2010. We searched MEDLINE (via PubMed) to identify reports of RCTs indexed between January and December 2009, which were published in the core clinical journals defined by the US National Library of Medicine and the National Institutes of Health (a subset of 119 widely read journals published in English, covering all specialties of clinical medicine and public-health sciences, and including all major medical journals, which was previously known as the Abridged Index Medicus and is available at http://www.nlm.nih.gov/bsd/aim.html). The search strategy used the following limits: ‘randomized controlled trial’, ‘publication date from 2009/01/01 to 2009/12/31’ and ‘core clinical journals’. The date of search was 13 January 2010. Eligibility criteria and screening process One of the researchers (GB) screened the titles and abstracts of retrieved articles to identify relevant articles, then obtained full text of the relevant articles, and assessed the full text to determine whether the article met the inclusion criteria. The help of a second reviewer (IB or EP) was requested if needed. We considered only articles that were the first report of the trial results. We excluded sub-studies of an original publication (for example, follow-up study, trial extension, ancillary study, post hoc analyses, exploratory analyses, secondary analyses, reanalysis of a trial, pooled analyses of trials). One of the researchers (GB) screened the titles and abstracts of retrieved articles to identify relevant articles, then obtained full text of the relevant articles, and assessed the full text to determine whether the article met the inclusion criteria. The help of a second reviewer (IB or EP) was requested if needed. We considered only articles that were the first report of the trial results. We excluded sub-studies of an original publication (for example, follow-up study, trial extension, ancillary study, post hoc analyses, exploratory analyses, secondary analyses, reanalysis of a trial, pooled analyses of trials). Data collection A standardized data-extraction form (available from the corresponding author) was generated from a review of the literature and a priori discussion. Before data extraction, the form was tested independently, as a calibration exercise, by two of the authors (GB, EP) on a separate random set of 20 articles. The ratings were reviewed and any disagreements were resolved by consensus. Following this, the two reviewers, who were not blinded to the journal name, authors, author affiliations, or funding sources, retrieved and extracted data from published articles. A random sample of 30 articles was reviewed for quality assurance. Inter-observer agreement in extracting data was good: the median kappa value for items was 0.68 (range 0.30 to 1.00) (see Additional file 1). In cases of uncertainty regarding a particular article, items with poor agreement, or items related to the design of the trial, the data were independently checked by the second reader, and discrepancies were resolved by discussion. A standardized data-extraction form (available from the corresponding author) was generated from a review of the literature and a priori discussion. Before data extraction, the form was tested independently, as a calibration exercise, by two of the authors (GB, EP) on a separate random set of 20 articles. The ratings were reviewed and any disagreements were resolved by consensus. Following this, the two reviewers, who were not blinded to the journal name, authors, author affiliations, or funding sources, retrieved and extracted data from published articles. A random sample of 30 articles was reviewed for quality assurance. Inter-observer agreement in extracting data was good: the median kappa value for items was 0.68 (range 0.30 to 1.00) (see Additional file 1). In cases of uncertainty regarding a particular article, items with poor agreement, or items related to the design of the trial, the data were independently checked by the second reader, and discrepancies were resolved by discussion. Data collection We extracted data related to the general characteristics of the study: number of randomized groups, study design, medical area, nature of intervention group(s), number of centers, total number of randomized participants, randomization design, funding sources, and whether the trial was registered. We also extracted methodological items: definition of the study hypothesis (the comparisons planned in the Methods section), baseline characteristics and outcomes reported per group (details that would allow for future meta-analyses), sample-size calculation reported, sample-size calculation taken into account in the multiple-arm design (either by a global sample-size calculation or by an adjustment method used for multiple testing), planning or use of an adjustment method for statistical comparisons (either for sample-size calculation or for statistical analysis), and whether the title identified the trial as a multiple-arm trial. We also systematically assessed selective reporting by comparing the planned comparisons (that is, the comparisons reported in the Methods section) and reported comparisons (the comparisons reported in the Results section) for global comparison tests (which globally assess differences between all groups), pairwise comparison tests (which compare data between two groups); and pooled group analyses (which assess combined data for two or more groups). We extracted data related to the general characteristics of the study: number of randomized groups, study design, medical area, nature of intervention group(s), number of centers, total number of randomized participants, randomization design, funding sources, and whether the trial was registered. We also extracted methodological items: definition of the study hypothesis (the comparisons planned in the Methods section), baseline characteristics and outcomes reported per group (details that would allow for future meta-analyses), sample-size calculation reported, sample-size calculation taken into account in the multiple-arm design (either by a global sample-size calculation or by an adjustment method used for multiple testing), planning or use of an adjustment method for statistical comparisons (either for sample-size calculation or for statistical analysis), and whether the title identified the trial as a multiple-arm trial. We also systematically assessed selective reporting by comparing the planned comparisons (that is, the comparisons reported in the Methods section) and reported comparisons (the comparisons reported in the Results section) for global comparison tests (which globally assess differences between all groups), pairwise comparison tests (which compare data between two groups); and pooled group analyses (which assess combined data for two or more groups). Statistical analysis Because we chose a convenience sample of RCTs, we did not calculate a required sample size. Our planned analysis was descriptive, and was stratified by study design (parallel-arm, factorial, crossover). Categorical variables are presented as frequencies and percentages, and quantitative variables are presented as median (with 10th and 90th percentiles). We specifically investigated comparisons that were reported as planned but were not performed, which could suggest selective reporting. We also investigated reported comparisons that were not planned, which could suggest post hoc comparisons. Data analysis involved use of the software programs SAS (version 9.3 for Windows; SAS Institute, Cary, NC, USA) and R (version 2.15.1; R Foundation for Statistical Computing, Vienna, Austria). Because we chose a convenience sample of RCTs, we did not calculate a required sample size. Our planned analysis was descriptive, and was stratified by study design (parallel-arm, factorial, crossover). Categorical variables are presented as frequencies and percentages, and quantitative variables are presented as median (with 10th and 90th percentiles). We specifically investigated comparisons that were reported as planned but were not performed, which could suggest selective reporting. We also investigated reported comparisons that were not planned, which could suggest post hoc comparisons. Data analysis involved use of the software programs SAS (version 9.3 for Windows; SAS Institute, Cary, NC, USA) and R (version 2.15.1; R Foundation for Statistical Computing, Vienna, Austria).
Results
Selection of articles A flowchart of the selection of articles is shown in Figure 1. Briefly, the electronic search yielded 2,450 citations, and after reading the full text, we selected 298 reports published in 68 journals (see Additional file 2). In all, 48 articles (16.1%) were published in general medical journals and 250 (83.9%) in specialized medical journals. Study screening process. A flowchart of the selection of articles is shown in Figure 1. Briefly, the electronic search yielded 2,450 citations, and after reading the full text, we selected 298 reports published in 68 journals (see Additional file 2). In all, 48 articles (16.1%) were published in general medical journals and 250 (83.9%) in specialized medical journals. Study screening process. Characteristics of multiple-arm trials The characteristics of the trials are shown in Table 1. Of the 1690 RCTs assessed, the proportion of multiple-arm trials was 17.6% (n = 298; 95% confidence interval 15.8 to 19.5), with 221 (74.2%) having a parallel-group design, 37 a factorial design (12.4%), and 40 (13.4%) a crossover design. The most common intervention was a drug (n = 192, 64.4%), and trials were mostly designed to show superiority (n = 260, 87.3%). Characteristics of randomized controlled trials with multiple arms by trial design a There were 4 of the 40 crossover trials with a factorial design. The number of arms varied from 3 to 16, being 3 in 172 reports (57.7%), 4 in 84 reports (28.2%) and more than 4 in 42 reports (14.1%). The median number of participants per arm was 39 (10th to 90th percentile 7 to 228). Overall, 80 reports described a single-center trial (26.9%), and 141 a multicenter trial (47.3%). The source of funding was described as solely or partially industry in 101 reports (33.9%) and public in 118 (39.6%). Characteristics were similar across the three trial-design types (Table 1), although some characteristics reflected the specificity of each subgroup (for example, the number of arms was greater for factorial designs, and the number of randomized patients was larger for parallel trials than for crossover trials). Of the trials with a parallel-group design, excluding those with a factorial design (n = 221, 74.2%), 82 (37.1%) were dose–response trials (use of multiple doses of the same treatment) and 139 (62.9%) compared different treatments. Trials with three arms (n = 172) included several types of interventions and control arms (Figure 2). Nature of intervention arms in three-arm randomized controlled trials. The characteristics of the trials are shown in Table 1. Of the 1690 RCTs assessed, the proportion of multiple-arm trials was 17.6% (n = 298; 95% confidence interval 15.8 to 19.5), with 221 (74.2%) having a parallel-group design, 37 a factorial design (12.4%), and 40 (13.4%) a crossover design. The most common intervention was a drug (n = 192, 64.4%), and trials were mostly designed to show superiority (n = 260, 87.3%). Characteristics of randomized controlled trials with multiple arms by trial design a There were 4 of the 40 crossover trials with a factorial design. The number of arms varied from 3 to 16, being 3 in 172 reports (57.7%), 4 in 84 reports (28.2%) and more than 4 in 42 reports (14.1%). The median number of participants per arm was 39 (10th to 90th percentile 7 to 228). Overall, 80 reports described a single-center trial (26.9%), and 141 a multicenter trial (47.3%). The source of funding was described as solely or partially industry in 101 reports (33.9%) and public in 118 (39.6%). Characteristics were similar across the three trial-design types (Table 1), although some characteristics reflected the specificity of each subgroup (for example, the number of arms was greater for factorial designs, and the number of randomized patients was larger for parallel trials than for crossover trials). Of the trials with a parallel-group design, excluding those with a factorial design (n = 221, 74.2%), 82 (37.1%) were dose–response trials (use of multiple doses of the same treatment) and 139 (62.9%) compared different treatments. Trials with three arms (n = 172) included several types of interventions and control arms (Figure 2). Nature of intervention arms in three-arm randomized controlled trials. Reporting Table 2 provides information on the reporting of the results of multiple-arm trials. Reporting of randomized controlled trials with multiple arms by trial design a For sample-size calculation or for statistical analysis. Reporting of baseline characteristics and outcomes The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group. The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group. Planned and reported comparisons We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned. We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned. Other elements of reporting Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2). Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2). Table 2 provides information on the reporting of the results of multiple-arm trials. Reporting of randomized controlled trials with multiple arms by trial design a For sample-size calculation or for statistical analysis. Reporting of baseline characteristics and outcomes The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group. The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group. Planned and reported comparisons We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned. We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned. Other elements of reporting Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2). Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2).
Conclusion
The CONSORT (Consolidated Standards of Reporting Trials) group is developing recommendations to help improve the reporting of multiple-arm trials [22,23]. Compared with two-arm RCTs, multiple-arm trials are more complex to design and require more complex analysis, and the results are more complex to report. The design and objectives of the trials have direct consequences for the conduct, analysis of results (for example, planned comparisons, sample-size calculation, adjustment during analysis) and reporting. The specific characteristics of multiple-arm trials and their heterogeneity in objectives, in addition to the usual requirements for reporting the results of RCTs (such as randomization, concealment, and blinding), pose a supplementary challenge for authors reporting the results of multiple-arm trials.
[ "Background", "Search strategy", "Eligibility criteria and screening process", "Data collection", "Data collection", "Statistical analysis", "Selection of articles", "Characteristics of multiple-arm trials", "Reporting", "Reporting of baseline characteristics and outcomes", "Planned and reported comparisons", "Other elements of reporting", "Competing interests", "Authors’ contributions", "Pre-publication history" ]
[ "Randomized controlled trials (RCTs) with multiple arms are sometimes considered an attractive way of optimizing resources and simultaneously testing various treatment strategies [1-4]. For instance, multiple-arm trials can involve increasing doses of an experimental treatment, cumulative combination therapies, or multiple independent treatments, which can allows testing of the efficacy of new treatments to be carried out more rapidly and more directly [5]. Such trials provide more information than two-arm trials can provide [6]. Multiple-arm randomized trials are becoming increasingly common, with a quarter of randomized trials having more than two intervention groups [7].\nHowever, because of the number of arms, such trials can be more complex in design, data analysis and result reporting compared with two-arm trials [2,8,9]. Complications of such trials are directly related to the number of arms and the number of possible comparisons. For instance, in an RCT with three arms, there are seven theoretically possible comparisons [6]. The complications of such trials include: defining a priori which comparisons are of primary interest; the possibility of performing global comparison tests (that is, assessing global differences between all arms) and/or pairwise comparison tests (that is, assessing differences of 2 arms), of pooling data for two or more arms, of reporting selective comparisons (for example, only statistically significant comparisons) or post hoc comparisons (for example, comparisons that were not planned in the protocol), or of using a multiple comparison adjustment procedure for controlling type I error rate, which influences sample-size calculation and statistical analysis; and the necessity of having sufficient details of the primary outcomes per group for future meta-analyses. To our knowledge, no systematic review has compared the planned comparisons (as described in reports) and the reported comparisons from multiple-arm trials. We aimed to appraise the reporting of analyses from RCTs with multiple arms by examining a sample of reports of results of such trials published in core clinical journals.", "We searched MEDLINE (via PubMed) to identify reports of RCTs indexed between January and December 2009, which were published in the core clinical journals defined by the US National Library of Medicine and the National Institutes of Health (a subset of 119 widely read journals published in English, covering all specialties of clinical medicine and public-health sciences, and including all major medical journals, which was previously known as the Abridged Index Medicus and is available at http://www.nlm.nih.gov/bsd/aim.html). The search strategy used the following limits: ‘randomized controlled trial’, ‘publication date from 2009/01/01 to 2009/12/31’ and ‘core clinical journals’. The date of search was 13 January 2010.", "One of the researchers (GB) screened the titles and abstracts of retrieved articles to identify relevant articles, then obtained full text of the relevant articles, and assessed the full text to determine whether the article met the inclusion criteria. The help of a second reviewer (IB or EP) was requested if needed. We considered only articles that were the first report of the trial results. We excluded sub-studies of an original publication (for example, follow-up study, trial extension, ancillary study, post hoc analyses, exploratory analyses, secondary analyses, reanalysis of a trial, pooled analyses of trials).", "A standardized data-extraction form (available from the corresponding author) was generated from a review of the literature and a priori discussion. Before data extraction, the form was tested independently, as a calibration exercise, by two of the authors (GB, EP) on a separate random set of 20 articles. The ratings were reviewed and any disagreements were resolved by consensus.\nFollowing this, the two reviewers, who were not blinded to the journal name, authors, author affiliations, or funding sources, retrieved and extracted data from published articles. A random sample of 30 articles was reviewed for quality assurance. Inter-observer agreement in extracting data was good: the median kappa value for items was 0.68 (range 0.30 to 1.00) (see Additional file 1). In cases of uncertainty regarding a particular article, items with poor agreement, or items related to the design of the trial, the data were independently checked by the second reader, and discrepancies were resolved by discussion.", "We extracted data related to the general characteristics of the study: number of randomized groups, study design, medical area, nature of intervention group(s), number of centers, total number of randomized participants, randomization design, funding sources, and whether the trial was registered. We also extracted methodological items: definition of the study hypothesis (the comparisons planned in the Methods section), baseline characteristics and outcomes reported per group (details that would allow for future meta-analyses), sample-size calculation reported, sample-size calculation taken into account in the multiple-arm design (either by a global sample-size calculation or by an adjustment method used for multiple testing), planning or use of an adjustment method for statistical comparisons (either for sample-size calculation or for statistical analysis), and whether the title identified the trial as a multiple-arm trial. We also systematically assessed selective reporting by comparing the planned comparisons (that is, the comparisons reported in the Methods section) and reported comparisons (the comparisons reported in the Results section) for global comparison tests (which globally assess differences between all groups), pairwise comparison tests (which compare data between two groups); and pooled group analyses (which assess combined data for two or more groups).", "Because we chose a convenience sample of RCTs, we did not calculate a required sample size. Our planned analysis was descriptive, and was stratified by study design (parallel-arm, factorial, crossover). Categorical variables are presented as frequencies and percentages, and quantitative variables are presented as median (with 10th and 90th percentiles). We specifically investigated comparisons that were reported as planned but were not performed, which could suggest selective reporting. We also investigated reported comparisons that were not planned, which could suggest post hoc comparisons. Data analysis involved use of the software programs SAS (version 9.3 for Windows; SAS Institute, Cary, NC, USA) and R (version 2.15.1; R Foundation for Statistical Computing, Vienna, Austria).", "A flowchart of the selection of articles is shown in Figure 1. Briefly, the electronic search yielded 2,450 citations, and after reading the full text, we selected 298 reports published in 68 journals (see Additional file 2). In all, 48 articles (16.1%) were published in general medical journals and 250 (83.9%) in specialized medical journals.\nStudy screening process.", "The characteristics of the trials are shown in Table 1. Of the 1690 RCTs assessed, the proportion of multiple-arm trials was 17.6% (n = 298; 95% confidence interval 15.8 to 19.5), with 221 (74.2%) having a parallel-group design, 37 a factorial design (12.4%), and 40 (13.4%) a crossover design. The most common intervention was a drug (n = 192, 64.4%), and trials were mostly designed to show superiority (n = 260, 87.3%).\nCharacteristics of randomized controlled trials with multiple arms by trial design\na There were 4 of the 40 crossover trials with a factorial design.\nThe number of arms varied from 3 to 16, being 3 in 172 reports (57.7%), 4 in 84 reports (28.2%) and more than 4 in 42 reports (14.1%). The median number of participants per arm was 39 (10th to 90th percentile 7 to 228). Overall, 80 reports described a single-center trial (26.9%), and 141 a multicenter trial (47.3%). The source of funding was described as solely or partially industry in 101 reports (33.9%) and public in 118 (39.6%). Characteristics were similar across the three trial-design types (Table 1), although some characteristics reflected the specificity of each subgroup (for example, the number of arms was greater for factorial designs, and the number of randomized patients was larger for parallel trials than for crossover trials).\nOf the trials with a parallel-group design, excluding those with a factorial design (n = 221, 74.2%), 82 (37.1%) were dose–response trials (use of multiple doses of the same treatment) and 139 (62.9%) compared different treatments. Trials with three arms (n = 172) included several types of interventions and control arms (Figure 2).\nNature of intervention arms in three-arm randomized controlled trials.", "Table 2 provides information on the reporting of the results of multiple-arm trials.\nReporting of randomized controlled trials with multiple arms by trial design\na For sample-size calculation or for statistical analysis.\n Reporting of baseline characteristics and outcomes The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group.\nThe description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group.\n Planned and reported comparisons We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned.\nWe identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned.\n Other elements of reporting Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2).\nOverall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2).", "The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group.", "We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned.", "Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2).", "The authors declare that they have no competing interests.", "GB, IB and PR conceived and designed the study; GB and EP performed the data collection, GP, wrote the first draft of the paper, and EP, IB, and PR critically revised the manuscript for important intellectual content. GB is the guarantor. All authors approved the final version of the manuscript to be published.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1741-7015/11/84/prepub\n" ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Search strategy", "Eligibility criteria and screening process", "Data collection", "Data collection", "Statistical analysis", "Results", "Selection of articles", "Characteristics of multiple-arm trials", "Reporting", "Reporting of baseline characteristics and outcomes", "Planned and reported comparisons", "Other elements of reporting", "Discussion", "Conclusion", "Competing interests", "Authors’ contributions", "Pre-publication history", "Supplementary Material" ]
[ "Randomized controlled trials (RCTs) with multiple arms are sometimes considered an attractive way of optimizing resources and simultaneously testing various treatment strategies [1-4]. For instance, multiple-arm trials can involve increasing doses of an experimental treatment, cumulative combination therapies, or multiple independent treatments, which can allows testing of the efficacy of new treatments to be carried out more rapidly and more directly [5]. Such trials provide more information than two-arm trials can provide [6]. Multiple-arm randomized trials are becoming increasingly common, with a quarter of randomized trials having more than two intervention groups [7].\nHowever, because of the number of arms, such trials can be more complex in design, data analysis and result reporting compared with two-arm trials [2,8,9]. Complications of such trials are directly related to the number of arms and the number of possible comparisons. For instance, in an RCT with three arms, there are seven theoretically possible comparisons [6]. The complications of such trials include: defining a priori which comparisons are of primary interest; the possibility of performing global comparison tests (that is, assessing global differences between all arms) and/or pairwise comparison tests (that is, assessing differences of 2 arms), of pooling data for two or more arms, of reporting selective comparisons (for example, only statistically significant comparisons) or post hoc comparisons (for example, comparisons that were not planned in the protocol), or of using a multiple comparison adjustment procedure for controlling type I error rate, which influences sample-size calculation and statistical analysis; and the necessity of having sufficient details of the primary outcomes per group for future meta-analyses. To our knowledge, no systematic review has compared the planned comparisons (as described in reports) and the reported comparisons from multiple-arm trials. We aimed to appraise the reporting of analyses from RCTs with multiple arms by examining a sample of reports of results of such trials published in core clinical journals.", " Search strategy We searched MEDLINE (via PubMed) to identify reports of RCTs indexed between January and December 2009, which were published in the core clinical journals defined by the US National Library of Medicine and the National Institutes of Health (a subset of 119 widely read journals published in English, covering all specialties of clinical medicine and public-health sciences, and including all major medical journals, which was previously known as the Abridged Index Medicus and is available at http://www.nlm.nih.gov/bsd/aim.html). The search strategy used the following limits: ‘randomized controlled trial’, ‘publication date from 2009/01/01 to 2009/12/31’ and ‘core clinical journals’. The date of search was 13 January 2010.\nWe searched MEDLINE (via PubMed) to identify reports of RCTs indexed between January and December 2009, which were published in the core clinical journals defined by the US National Library of Medicine and the National Institutes of Health (a subset of 119 widely read journals published in English, covering all specialties of clinical medicine and public-health sciences, and including all major medical journals, which was previously known as the Abridged Index Medicus and is available at http://www.nlm.nih.gov/bsd/aim.html). The search strategy used the following limits: ‘randomized controlled trial’, ‘publication date from 2009/01/01 to 2009/12/31’ and ‘core clinical journals’. The date of search was 13 January 2010.\n Eligibility criteria and screening process One of the researchers (GB) screened the titles and abstracts of retrieved articles to identify relevant articles, then obtained full text of the relevant articles, and assessed the full text to determine whether the article met the inclusion criteria. The help of a second reviewer (IB or EP) was requested if needed. We considered only articles that were the first report of the trial results. We excluded sub-studies of an original publication (for example, follow-up study, trial extension, ancillary study, post hoc analyses, exploratory analyses, secondary analyses, reanalysis of a trial, pooled analyses of trials).\nOne of the researchers (GB) screened the titles and abstracts of retrieved articles to identify relevant articles, then obtained full text of the relevant articles, and assessed the full text to determine whether the article met the inclusion criteria. The help of a second reviewer (IB or EP) was requested if needed. We considered only articles that were the first report of the trial results. We excluded sub-studies of an original publication (for example, follow-up study, trial extension, ancillary study, post hoc analyses, exploratory analyses, secondary analyses, reanalysis of a trial, pooled analyses of trials).\n Data collection A standardized data-extraction form (available from the corresponding author) was generated from a review of the literature and a priori discussion. Before data extraction, the form was tested independently, as a calibration exercise, by two of the authors (GB, EP) on a separate random set of 20 articles. The ratings were reviewed and any disagreements were resolved by consensus.\nFollowing this, the two reviewers, who were not blinded to the journal name, authors, author affiliations, or funding sources, retrieved and extracted data from published articles. A random sample of 30 articles was reviewed for quality assurance. Inter-observer agreement in extracting data was good: the median kappa value for items was 0.68 (range 0.30 to 1.00) (see Additional file 1). In cases of uncertainty regarding a particular article, items with poor agreement, or items related to the design of the trial, the data were independently checked by the second reader, and discrepancies were resolved by discussion.\nA standardized data-extraction form (available from the corresponding author) was generated from a review of the literature and a priori discussion. Before data extraction, the form was tested independently, as a calibration exercise, by two of the authors (GB, EP) on a separate random set of 20 articles. The ratings were reviewed and any disagreements were resolved by consensus.\nFollowing this, the two reviewers, who were not blinded to the journal name, authors, author affiliations, or funding sources, retrieved and extracted data from published articles. A random sample of 30 articles was reviewed for quality assurance. Inter-observer agreement in extracting data was good: the median kappa value for items was 0.68 (range 0.30 to 1.00) (see Additional file 1). In cases of uncertainty regarding a particular article, items with poor agreement, or items related to the design of the trial, the data were independently checked by the second reader, and discrepancies were resolved by discussion.\n Data collection We extracted data related to the general characteristics of the study: number of randomized groups, study design, medical area, nature of intervention group(s), number of centers, total number of randomized participants, randomization design, funding sources, and whether the trial was registered. We also extracted methodological items: definition of the study hypothesis (the comparisons planned in the Methods section), baseline characteristics and outcomes reported per group (details that would allow for future meta-analyses), sample-size calculation reported, sample-size calculation taken into account in the multiple-arm design (either by a global sample-size calculation or by an adjustment method used for multiple testing), planning or use of an adjustment method for statistical comparisons (either for sample-size calculation or for statistical analysis), and whether the title identified the trial as a multiple-arm trial. We also systematically assessed selective reporting by comparing the planned comparisons (that is, the comparisons reported in the Methods section) and reported comparisons (the comparisons reported in the Results section) for global comparison tests (which globally assess differences between all groups), pairwise comparison tests (which compare data between two groups); and pooled group analyses (which assess combined data for two or more groups).\nWe extracted data related to the general characteristics of the study: number of randomized groups, study design, medical area, nature of intervention group(s), number of centers, total number of randomized participants, randomization design, funding sources, and whether the trial was registered. We also extracted methodological items: definition of the study hypothesis (the comparisons planned in the Methods section), baseline characteristics and outcomes reported per group (details that would allow for future meta-analyses), sample-size calculation reported, sample-size calculation taken into account in the multiple-arm design (either by a global sample-size calculation or by an adjustment method used for multiple testing), planning or use of an adjustment method for statistical comparisons (either for sample-size calculation or for statistical analysis), and whether the title identified the trial as a multiple-arm trial. We also systematically assessed selective reporting by comparing the planned comparisons (that is, the comparisons reported in the Methods section) and reported comparisons (the comparisons reported in the Results section) for global comparison tests (which globally assess differences between all groups), pairwise comparison tests (which compare data between two groups); and pooled group analyses (which assess combined data for two or more groups).\n Statistical analysis Because we chose a convenience sample of RCTs, we did not calculate a required sample size. Our planned analysis was descriptive, and was stratified by study design (parallel-arm, factorial, crossover). Categorical variables are presented as frequencies and percentages, and quantitative variables are presented as median (with 10th and 90th percentiles). We specifically investigated comparisons that were reported as planned but were not performed, which could suggest selective reporting. We also investigated reported comparisons that were not planned, which could suggest post hoc comparisons. Data analysis involved use of the software programs SAS (version 9.3 for Windows; SAS Institute, Cary, NC, USA) and R (version 2.15.1; R Foundation for Statistical Computing, Vienna, Austria).\nBecause we chose a convenience sample of RCTs, we did not calculate a required sample size. Our planned analysis was descriptive, and was stratified by study design (parallel-arm, factorial, crossover). Categorical variables are presented as frequencies and percentages, and quantitative variables are presented as median (with 10th and 90th percentiles). We specifically investigated comparisons that were reported as planned but were not performed, which could suggest selective reporting. We also investigated reported comparisons that were not planned, which could suggest post hoc comparisons. Data analysis involved use of the software programs SAS (version 9.3 for Windows; SAS Institute, Cary, NC, USA) and R (version 2.15.1; R Foundation for Statistical Computing, Vienna, Austria).", "We searched MEDLINE (via PubMed) to identify reports of RCTs indexed between January and December 2009, which were published in the core clinical journals defined by the US National Library of Medicine and the National Institutes of Health (a subset of 119 widely read journals published in English, covering all specialties of clinical medicine and public-health sciences, and including all major medical journals, which was previously known as the Abridged Index Medicus and is available at http://www.nlm.nih.gov/bsd/aim.html). The search strategy used the following limits: ‘randomized controlled trial’, ‘publication date from 2009/01/01 to 2009/12/31’ and ‘core clinical journals’. The date of search was 13 January 2010.", "One of the researchers (GB) screened the titles and abstracts of retrieved articles to identify relevant articles, then obtained full text of the relevant articles, and assessed the full text to determine whether the article met the inclusion criteria. The help of a second reviewer (IB or EP) was requested if needed. We considered only articles that were the first report of the trial results. We excluded sub-studies of an original publication (for example, follow-up study, trial extension, ancillary study, post hoc analyses, exploratory analyses, secondary analyses, reanalysis of a trial, pooled analyses of trials).", "A standardized data-extraction form (available from the corresponding author) was generated from a review of the literature and a priori discussion. Before data extraction, the form was tested independently, as a calibration exercise, by two of the authors (GB, EP) on a separate random set of 20 articles. The ratings were reviewed and any disagreements were resolved by consensus.\nFollowing this, the two reviewers, who were not blinded to the journal name, authors, author affiliations, or funding sources, retrieved and extracted data from published articles. A random sample of 30 articles was reviewed for quality assurance. Inter-observer agreement in extracting data was good: the median kappa value for items was 0.68 (range 0.30 to 1.00) (see Additional file 1). In cases of uncertainty regarding a particular article, items with poor agreement, or items related to the design of the trial, the data were independently checked by the second reader, and discrepancies were resolved by discussion.", "We extracted data related to the general characteristics of the study: number of randomized groups, study design, medical area, nature of intervention group(s), number of centers, total number of randomized participants, randomization design, funding sources, and whether the trial was registered. We also extracted methodological items: definition of the study hypothesis (the comparisons planned in the Methods section), baseline characteristics and outcomes reported per group (details that would allow for future meta-analyses), sample-size calculation reported, sample-size calculation taken into account in the multiple-arm design (either by a global sample-size calculation or by an adjustment method used for multiple testing), planning or use of an adjustment method for statistical comparisons (either for sample-size calculation or for statistical analysis), and whether the title identified the trial as a multiple-arm trial. We also systematically assessed selective reporting by comparing the planned comparisons (that is, the comparisons reported in the Methods section) and reported comparisons (the comparisons reported in the Results section) for global comparison tests (which globally assess differences between all groups), pairwise comparison tests (which compare data between two groups); and pooled group analyses (which assess combined data for two or more groups).", "Because we chose a convenience sample of RCTs, we did not calculate a required sample size. Our planned analysis was descriptive, and was stratified by study design (parallel-arm, factorial, crossover). Categorical variables are presented as frequencies and percentages, and quantitative variables are presented as median (with 10th and 90th percentiles). We specifically investigated comparisons that were reported as planned but were not performed, which could suggest selective reporting. We also investigated reported comparisons that were not planned, which could suggest post hoc comparisons. Data analysis involved use of the software programs SAS (version 9.3 for Windows; SAS Institute, Cary, NC, USA) and R (version 2.15.1; R Foundation for Statistical Computing, Vienna, Austria).", " Selection of articles A flowchart of the selection of articles is shown in Figure 1. Briefly, the electronic search yielded 2,450 citations, and after reading the full text, we selected 298 reports published in 68 journals (see Additional file 2). In all, 48 articles (16.1%) were published in general medical journals and 250 (83.9%) in specialized medical journals.\nStudy screening process.\nA flowchart of the selection of articles is shown in Figure 1. Briefly, the electronic search yielded 2,450 citations, and after reading the full text, we selected 298 reports published in 68 journals (see Additional file 2). In all, 48 articles (16.1%) were published in general medical journals and 250 (83.9%) in specialized medical journals.\nStudy screening process.\n Characteristics of multiple-arm trials The characteristics of the trials are shown in Table 1. Of the 1690 RCTs assessed, the proportion of multiple-arm trials was 17.6% (n = 298; 95% confidence interval 15.8 to 19.5), with 221 (74.2%) having a parallel-group design, 37 a factorial design (12.4%), and 40 (13.4%) a crossover design. The most common intervention was a drug (n = 192, 64.4%), and trials were mostly designed to show superiority (n = 260, 87.3%).\nCharacteristics of randomized controlled trials with multiple arms by trial design\na There were 4 of the 40 crossover trials with a factorial design.\nThe number of arms varied from 3 to 16, being 3 in 172 reports (57.7%), 4 in 84 reports (28.2%) and more than 4 in 42 reports (14.1%). The median number of participants per arm was 39 (10th to 90th percentile 7 to 228). Overall, 80 reports described a single-center trial (26.9%), and 141 a multicenter trial (47.3%). The source of funding was described as solely or partially industry in 101 reports (33.9%) and public in 118 (39.6%). Characteristics were similar across the three trial-design types (Table 1), although some characteristics reflected the specificity of each subgroup (for example, the number of arms was greater for factorial designs, and the number of randomized patients was larger for parallel trials than for crossover trials).\nOf the trials with a parallel-group design, excluding those with a factorial design (n = 221, 74.2%), 82 (37.1%) were dose–response trials (use of multiple doses of the same treatment) and 139 (62.9%) compared different treatments. Trials with three arms (n = 172) included several types of interventions and control arms (Figure 2).\nNature of intervention arms in three-arm randomized controlled trials.\nThe characteristics of the trials are shown in Table 1. Of the 1690 RCTs assessed, the proportion of multiple-arm trials was 17.6% (n = 298; 95% confidence interval 15.8 to 19.5), with 221 (74.2%) having a parallel-group design, 37 a factorial design (12.4%), and 40 (13.4%) a crossover design. The most common intervention was a drug (n = 192, 64.4%), and trials were mostly designed to show superiority (n = 260, 87.3%).\nCharacteristics of randomized controlled trials with multiple arms by trial design\na There were 4 of the 40 crossover trials with a factorial design.\nThe number of arms varied from 3 to 16, being 3 in 172 reports (57.7%), 4 in 84 reports (28.2%) and more than 4 in 42 reports (14.1%). The median number of participants per arm was 39 (10th to 90th percentile 7 to 228). Overall, 80 reports described a single-center trial (26.9%), and 141 a multicenter trial (47.3%). The source of funding was described as solely or partially industry in 101 reports (33.9%) and public in 118 (39.6%). Characteristics were similar across the three trial-design types (Table 1), although some characteristics reflected the specificity of each subgroup (for example, the number of arms was greater for factorial designs, and the number of randomized patients was larger for parallel trials than for crossover trials).\nOf the trials with a parallel-group design, excluding those with a factorial design (n = 221, 74.2%), 82 (37.1%) were dose–response trials (use of multiple doses of the same treatment) and 139 (62.9%) compared different treatments. Trials with three arms (n = 172) included several types of interventions and control arms (Figure 2).\nNature of intervention arms in three-arm randomized controlled trials.\n Reporting Table 2 provides information on the reporting of the results of multiple-arm trials.\nReporting of randomized controlled trials with multiple arms by trial design\na For sample-size calculation or for statistical analysis.\n Reporting of baseline characteristics and outcomes The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group.\nThe description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group.\n Planned and reported comparisons We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned.\nWe identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned.\n Other elements of reporting Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2).\nOverall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2).\nTable 2 provides information on the reporting of the results of multiple-arm trials.\nReporting of randomized controlled trials with multiple arms by trial design\na For sample-size calculation or for statistical analysis.\n Reporting of baseline characteristics and outcomes The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group.\nThe description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group.\n Planned and reported comparisons We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned.\nWe identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned.\n Other elements of reporting Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2).\nOverall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2).", "A flowchart of the selection of articles is shown in Figure 1. Briefly, the electronic search yielded 2,450 citations, and after reading the full text, we selected 298 reports published in 68 journals (see Additional file 2). In all, 48 articles (16.1%) were published in general medical journals and 250 (83.9%) in specialized medical journals.\nStudy screening process.", "The characteristics of the trials are shown in Table 1. Of the 1690 RCTs assessed, the proportion of multiple-arm trials was 17.6% (n = 298; 95% confidence interval 15.8 to 19.5), with 221 (74.2%) having a parallel-group design, 37 a factorial design (12.4%), and 40 (13.4%) a crossover design. The most common intervention was a drug (n = 192, 64.4%), and trials were mostly designed to show superiority (n = 260, 87.3%).\nCharacteristics of randomized controlled trials with multiple arms by trial design\na There were 4 of the 40 crossover trials with a factorial design.\nThe number of arms varied from 3 to 16, being 3 in 172 reports (57.7%), 4 in 84 reports (28.2%) and more than 4 in 42 reports (14.1%). The median number of participants per arm was 39 (10th to 90th percentile 7 to 228). Overall, 80 reports described a single-center trial (26.9%), and 141 a multicenter trial (47.3%). The source of funding was described as solely or partially industry in 101 reports (33.9%) and public in 118 (39.6%). Characteristics were similar across the three trial-design types (Table 1), although some characteristics reflected the specificity of each subgroup (for example, the number of arms was greater for factorial designs, and the number of randomized patients was larger for parallel trials than for crossover trials).\nOf the trials with a parallel-group design, excluding those with a factorial design (n = 221, 74.2%), 82 (37.1%) were dose–response trials (use of multiple doses of the same treatment) and 139 (62.9%) compared different treatments. Trials with three arms (n = 172) included several types of interventions and control arms (Figure 2).\nNature of intervention arms in three-arm randomized controlled trials.", "Table 2 provides information on the reporting of the results of multiple-arm trials.\nReporting of randomized controlled trials with multiple arms by trial design\na For sample-size calculation or for statistical analysis.\n Reporting of baseline characteristics and outcomes The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group.\nThe description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group.\n Planned and reported comparisons We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned.\nWe identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned.\n Other elements of reporting Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2).\nOverall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2).", "The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group.", "We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned.", "Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2).", "Our findings highlight the inadequate reporting of baseline characteristics and outcomes for arms in multiple-arm RCTs, and the discrepancies between planned and reported comparisons. Moreover, such trials generally had relatively small sample sizes, and showed great variability in the types of intervention and the control arms used.\nMultiple-treatment arms are possible sources of multiplicity in an RCT [6,10]. This multiplicity is related to the possibility of performing several pairwise tests to determine the most effective arm. In such a setting, the objectives of the trial must be clear to ensure that these objectives (and only these) are correctly designed and analyzed (for example, global test comparison or not, and which pairwise test comparisons are planned). In 20% of the reports we analyzed, the study hypothesis was not described, which suggests selective reporting. Moreover, bias may be introduced if the decisions on data analysis are driven by the data [11]. For instance, groups receiving different doses of the same intervention could be combined after the data are examined, or only statistically significant pairwise comparisons could be reported. The number of possible comparisons increases greatly in trials with more than three arms, which suggests increased risk of selective reporting. Our results are likely have underestimated any selective outcome reporting bias because we assessed articles and not protocols [12].\nMoreover, in our study, some reports did not describe baseline or outcome data for each group (occurred in more than 15% of reports for each scenario). These results are consistent with previous work [13], and are important because reporting data per group is a necessary condition for future meta-analyses.\nOne of the other methodological difficulties in multiple-arm RCTs concerns the calculation of the sample size, and particularly the necessity for adequate power. Many randomized trials with two parallel arms exhibit inadequate power for revealing differences [14], and sample-size calculation is poorly reported in articles of trials and can be inaccurate [15]. With multiple-arm trials, problems with power and calculation are enhanced, particularly because sample-size calculation depends on the main objective(s) of the trial and thus on the underlying hypotheses that will be tested [1]: whether a global test should be performed or not, and whether (and how many) pairwise comparisons were planned, with statistical adjustment or not.\nThe question of adjusting for control type I error in multiple-arm trials is a subject of debate [2,3,6,16-18]. Controlling for type I error is not needed when several experimental arms are compared with the control or the standard arms [3], but is necessary when adjusting for post hoc comparisons or when the tested hypotheses cannot be prioritized [18]. Reasons for using adjustment or not are often subjective, and should be justified [18].\nOur study has several limitations. First, we assessed reports of RCTs and not protocols. This point is particularly important for assessing planned comparisons. We did not assess protocols because of the difficulties in obtaining access to trial protocols [19]. Second, the methods may have been pre-specified but not reported in the articles [20,21]. Third, our results are limited to the core clinical journals defined by the National Library of Medicine, so our findings may not be applicable to journals outside this sample. We chose the core clinical journals because they cover all clinical and public-health areas and all major medical journals. The methodological quality of reports in other journals is unlikely to be better than in these journals.", "The CONSORT (Consolidated Standards of Reporting Trials) group is developing recommendations to help improve the reporting of multiple-arm trials [22,23]. Compared with two-arm RCTs, multiple-arm trials are more complex to design and require more complex analysis, and the results are more complex to report. The design and objectives of the trials have direct consequences for the conduct, analysis of results (for example, planned comparisons, sample-size calculation, adjustment during analysis) and reporting. The specific characteristics of multiple-arm trials and their heterogeneity in objectives, in addition to the usual requirements for reporting the results of RCTs (such as randomization, concealment, and blinding), pose a supplementary challenge for authors reporting the results of multiple-arm trials.", "The authors declare that they have no competing interests.", "GB, IB and PR conceived and designed the study; GB and EP performed the data collection, GP, wrote the first draft of the paper, and EP, IB, and PR critically revised the manuscript for important intellectual content. GB is the guarantor. All authors approved the final version of the manuscript to be published.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1741-7015/11/84/prepub\n", "Reproducibility between reviewers for reporting of items.\nClick here for file\nList of the 298 articles included in this study.\nClick here for file" ]
[ null, "methods", null, null, null, null, null, "results", null, null, null, null, null, null, "discussion", "conclusions", null, null, null, "supplementary-material" ]
[ "Systematic review", "Randomized controlled trials", "Multiple arms", "Reporting of analyses" ]
Background: Randomized controlled trials (RCTs) with multiple arms are sometimes considered an attractive way of optimizing resources and simultaneously testing various treatment strategies [1-4]. For instance, multiple-arm trials can involve increasing doses of an experimental treatment, cumulative combination therapies, or multiple independent treatments, which can allows testing of the efficacy of new treatments to be carried out more rapidly and more directly [5]. Such trials provide more information than two-arm trials can provide [6]. Multiple-arm randomized trials are becoming increasingly common, with a quarter of randomized trials having more than two intervention groups [7]. However, because of the number of arms, such trials can be more complex in design, data analysis and result reporting compared with two-arm trials [2,8,9]. Complications of such trials are directly related to the number of arms and the number of possible comparisons. For instance, in an RCT with three arms, there are seven theoretically possible comparisons [6]. The complications of such trials include: defining a priori which comparisons are of primary interest; the possibility of performing global comparison tests (that is, assessing global differences between all arms) and/or pairwise comparison tests (that is, assessing differences of 2 arms), of pooling data for two or more arms, of reporting selective comparisons (for example, only statistically significant comparisons) or post hoc comparisons (for example, comparisons that were not planned in the protocol), or of using a multiple comparison adjustment procedure for controlling type I error rate, which influences sample-size calculation and statistical analysis; and the necessity of having sufficient details of the primary outcomes per group for future meta-analyses. To our knowledge, no systematic review has compared the planned comparisons (as described in reports) and the reported comparisons from multiple-arm trials. We aimed to appraise the reporting of analyses from RCTs with multiple arms by examining a sample of reports of results of such trials published in core clinical journals. Methods: Search strategy We searched MEDLINE (via PubMed) to identify reports of RCTs indexed between January and December 2009, which were published in the core clinical journals defined by the US National Library of Medicine and the National Institutes of Health (a subset of 119 widely read journals published in English, covering all specialties of clinical medicine and public-health sciences, and including all major medical journals, which was previously known as the Abridged Index Medicus and is available at http://www.nlm.nih.gov/bsd/aim.html). The search strategy used the following limits: ‘randomized controlled trial’, ‘publication date from 2009/01/01 to 2009/12/31’ and ‘core clinical journals’. The date of search was 13 January 2010. We searched MEDLINE (via PubMed) to identify reports of RCTs indexed between January and December 2009, which were published in the core clinical journals defined by the US National Library of Medicine and the National Institutes of Health (a subset of 119 widely read journals published in English, covering all specialties of clinical medicine and public-health sciences, and including all major medical journals, which was previously known as the Abridged Index Medicus and is available at http://www.nlm.nih.gov/bsd/aim.html). The search strategy used the following limits: ‘randomized controlled trial’, ‘publication date from 2009/01/01 to 2009/12/31’ and ‘core clinical journals’. The date of search was 13 January 2010. Eligibility criteria and screening process One of the researchers (GB) screened the titles and abstracts of retrieved articles to identify relevant articles, then obtained full text of the relevant articles, and assessed the full text to determine whether the article met the inclusion criteria. The help of a second reviewer (IB or EP) was requested if needed. We considered only articles that were the first report of the trial results. We excluded sub-studies of an original publication (for example, follow-up study, trial extension, ancillary study, post hoc analyses, exploratory analyses, secondary analyses, reanalysis of a trial, pooled analyses of trials). One of the researchers (GB) screened the titles and abstracts of retrieved articles to identify relevant articles, then obtained full text of the relevant articles, and assessed the full text to determine whether the article met the inclusion criteria. The help of a second reviewer (IB or EP) was requested if needed. We considered only articles that were the first report of the trial results. We excluded sub-studies of an original publication (for example, follow-up study, trial extension, ancillary study, post hoc analyses, exploratory analyses, secondary analyses, reanalysis of a trial, pooled analyses of trials). Data collection A standardized data-extraction form (available from the corresponding author) was generated from a review of the literature and a priori discussion. Before data extraction, the form was tested independently, as a calibration exercise, by two of the authors (GB, EP) on a separate random set of 20 articles. The ratings were reviewed and any disagreements were resolved by consensus. Following this, the two reviewers, who were not blinded to the journal name, authors, author affiliations, or funding sources, retrieved and extracted data from published articles. A random sample of 30 articles was reviewed for quality assurance. Inter-observer agreement in extracting data was good: the median kappa value for items was 0.68 (range 0.30 to 1.00) (see Additional file 1). In cases of uncertainty regarding a particular article, items with poor agreement, or items related to the design of the trial, the data were independently checked by the second reader, and discrepancies were resolved by discussion. A standardized data-extraction form (available from the corresponding author) was generated from a review of the literature and a priori discussion. Before data extraction, the form was tested independently, as a calibration exercise, by two of the authors (GB, EP) on a separate random set of 20 articles. The ratings were reviewed and any disagreements were resolved by consensus. Following this, the two reviewers, who were not blinded to the journal name, authors, author affiliations, or funding sources, retrieved and extracted data from published articles. A random sample of 30 articles was reviewed for quality assurance. Inter-observer agreement in extracting data was good: the median kappa value for items was 0.68 (range 0.30 to 1.00) (see Additional file 1). In cases of uncertainty regarding a particular article, items with poor agreement, or items related to the design of the trial, the data were independently checked by the second reader, and discrepancies were resolved by discussion. Data collection We extracted data related to the general characteristics of the study: number of randomized groups, study design, medical area, nature of intervention group(s), number of centers, total number of randomized participants, randomization design, funding sources, and whether the trial was registered. We also extracted methodological items: definition of the study hypothesis (the comparisons planned in the Methods section), baseline characteristics and outcomes reported per group (details that would allow for future meta-analyses), sample-size calculation reported, sample-size calculation taken into account in the multiple-arm design (either by a global sample-size calculation or by an adjustment method used for multiple testing), planning or use of an adjustment method for statistical comparisons (either for sample-size calculation or for statistical analysis), and whether the title identified the trial as a multiple-arm trial. We also systematically assessed selective reporting by comparing the planned comparisons (that is, the comparisons reported in the Methods section) and reported comparisons (the comparisons reported in the Results section) for global comparison tests (which globally assess differences between all groups), pairwise comparison tests (which compare data between two groups); and pooled group analyses (which assess combined data for two or more groups). We extracted data related to the general characteristics of the study: number of randomized groups, study design, medical area, nature of intervention group(s), number of centers, total number of randomized participants, randomization design, funding sources, and whether the trial was registered. We also extracted methodological items: definition of the study hypothesis (the comparisons planned in the Methods section), baseline characteristics and outcomes reported per group (details that would allow for future meta-analyses), sample-size calculation reported, sample-size calculation taken into account in the multiple-arm design (either by a global sample-size calculation or by an adjustment method used for multiple testing), planning or use of an adjustment method for statistical comparisons (either for sample-size calculation or for statistical analysis), and whether the title identified the trial as a multiple-arm trial. We also systematically assessed selective reporting by comparing the planned comparisons (that is, the comparisons reported in the Methods section) and reported comparisons (the comparisons reported in the Results section) for global comparison tests (which globally assess differences between all groups), pairwise comparison tests (which compare data between two groups); and pooled group analyses (which assess combined data for two or more groups). Statistical analysis Because we chose a convenience sample of RCTs, we did not calculate a required sample size. Our planned analysis was descriptive, and was stratified by study design (parallel-arm, factorial, crossover). Categorical variables are presented as frequencies and percentages, and quantitative variables are presented as median (with 10th and 90th percentiles). We specifically investigated comparisons that were reported as planned but were not performed, which could suggest selective reporting. We also investigated reported comparisons that were not planned, which could suggest post hoc comparisons. Data analysis involved use of the software programs SAS (version 9.3 for Windows; SAS Institute, Cary, NC, USA) and R (version 2.15.1; R Foundation for Statistical Computing, Vienna, Austria). Because we chose a convenience sample of RCTs, we did not calculate a required sample size. Our planned analysis was descriptive, and was stratified by study design (parallel-arm, factorial, crossover). Categorical variables are presented as frequencies and percentages, and quantitative variables are presented as median (with 10th and 90th percentiles). We specifically investigated comparisons that were reported as planned but were not performed, which could suggest selective reporting. We also investigated reported comparisons that were not planned, which could suggest post hoc comparisons. Data analysis involved use of the software programs SAS (version 9.3 for Windows; SAS Institute, Cary, NC, USA) and R (version 2.15.1; R Foundation for Statistical Computing, Vienna, Austria). Search strategy: We searched MEDLINE (via PubMed) to identify reports of RCTs indexed between January and December 2009, which were published in the core clinical journals defined by the US National Library of Medicine and the National Institutes of Health (a subset of 119 widely read journals published in English, covering all specialties of clinical medicine and public-health sciences, and including all major medical journals, which was previously known as the Abridged Index Medicus and is available at http://www.nlm.nih.gov/bsd/aim.html). The search strategy used the following limits: ‘randomized controlled trial’, ‘publication date from 2009/01/01 to 2009/12/31’ and ‘core clinical journals’. The date of search was 13 January 2010. Eligibility criteria and screening process: One of the researchers (GB) screened the titles and abstracts of retrieved articles to identify relevant articles, then obtained full text of the relevant articles, and assessed the full text to determine whether the article met the inclusion criteria. The help of a second reviewer (IB or EP) was requested if needed. We considered only articles that were the first report of the trial results. We excluded sub-studies of an original publication (for example, follow-up study, trial extension, ancillary study, post hoc analyses, exploratory analyses, secondary analyses, reanalysis of a trial, pooled analyses of trials). Data collection: A standardized data-extraction form (available from the corresponding author) was generated from a review of the literature and a priori discussion. Before data extraction, the form was tested independently, as a calibration exercise, by two of the authors (GB, EP) on a separate random set of 20 articles. The ratings were reviewed and any disagreements were resolved by consensus. Following this, the two reviewers, who were not blinded to the journal name, authors, author affiliations, or funding sources, retrieved and extracted data from published articles. A random sample of 30 articles was reviewed for quality assurance. Inter-observer agreement in extracting data was good: the median kappa value for items was 0.68 (range 0.30 to 1.00) (see Additional file 1). In cases of uncertainty regarding a particular article, items with poor agreement, or items related to the design of the trial, the data were independently checked by the second reader, and discrepancies were resolved by discussion. Data collection: We extracted data related to the general characteristics of the study: number of randomized groups, study design, medical area, nature of intervention group(s), number of centers, total number of randomized participants, randomization design, funding sources, and whether the trial was registered. We also extracted methodological items: definition of the study hypothesis (the comparisons planned in the Methods section), baseline characteristics and outcomes reported per group (details that would allow for future meta-analyses), sample-size calculation reported, sample-size calculation taken into account in the multiple-arm design (either by a global sample-size calculation or by an adjustment method used for multiple testing), planning or use of an adjustment method for statistical comparisons (either for sample-size calculation or for statistical analysis), and whether the title identified the trial as a multiple-arm trial. We also systematically assessed selective reporting by comparing the planned comparisons (that is, the comparisons reported in the Methods section) and reported comparisons (the comparisons reported in the Results section) for global comparison tests (which globally assess differences between all groups), pairwise comparison tests (which compare data between two groups); and pooled group analyses (which assess combined data for two or more groups). Statistical analysis: Because we chose a convenience sample of RCTs, we did not calculate a required sample size. Our planned analysis was descriptive, and was stratified by study design (parallel-arm, factorial, crossover). Categorical variables are presented as frequencies and percentages, and quantitative variables are presented as median (with 10th and 90th percentiles). We specifically investigated comparisons that were reported as planned but were not performed, which could suggest selective reporting. We also investigated reported comparisons that were not planned, which could suggest post hoc comparisons. Data analysis involved use of the software programs SAS (version 9.3 for Windows; SAS Institute, Cary, NC, USA) and R (version 2.15.1; R Foundation for Statistical Computing, Vienna, Austria). Results: Selection of articles A flowchart of the selection of articles is shown in Figure 1. Briefly, the electronic search yielded 2,450 citations, and after reading the full text, we selected 298 reports published in 68 journals (see Additional file 2). In all, 48 articles (16.1%) were published in general medical journals and 250 (83.9%) in specialized medical journals. Study screening process. A flowchart of the selection of articles is shown in Figure 1. Briefly, the electronic search yielded 2,450 citations, and after reading the full text, we selected 298 reports published in 68 journals (see Additional file 2). In all, 48 articles (16.1%) were published in general medical journals and 250 (83.9%) in specialized medical journals. Study screening process. Characteristics of multiple-arm trials The characteristics of the trials are shown in Table 1. Of the 1690 RCTs assessed, the proportion of multiple-arm trials was 17.6% (n = 298; 95% confidence interval 15.8 to 19.5), with 221 (74.2%) having a parallel-group design, 37 a factorial design (12.4%), and 40 (13.4%) a crossover design. The most common intervention was a drug (n = 192, 64.4%), and trials were mostly designed to show superiority (n = 260, 87.3%). Characteristics of randomized controlled trials with multiple arms by trial design a There were 4 of the 40 crossover trials with a factorial design. The number of arms varied from 3 to 16, being 3 in 172 reports (57.7%), 4 in 84 reports (28.2%) and more than 4 in 42 reports (14.1%). The median number of participants per arm was 39 (10th to 90th percentile 7 to 228). Overall, 80 reports described a single-center trial (26.9%), and 141 a multicenter trial (47.3%). The source of funding was described as solely or partially industry in 101 reports (33.9%) and public in 118 (39.6%). Characteristics were similar across the three trial-design types (Table 1), although some characteristics reflected the specificity of each subgroup (for example, the number of arms was greater for factorial designs, and the number of randomized patients was larger for parallel trials than for crossover trials). Of the trials with a parallel-group design, excluding those with a factorial design (n = 221, 74.2%), 82 (37.1%) were dose–response trials (use of multiple doses of the same treatment) and 139 (62.9%) compared different treatments. Trials with three arms (n = 172) included several types of interventions and control arms (Figure 2). Nature of intervention arms in three-arm randomized controlled trials. The characteristics of the trials are shown in Table 1. Of the 1690 RCTs assessed, the proportion of multiple-arm trials was 17.6% (n = 298; 95% confidence interval 15.8 to 19.5), with 221 (74.2%) having a parallel-group design, 37 a factorial design (12.4%), and 40 (13.4%) a crossover design. The most common intervention was a drug (n = 192, 64.4%), and trials were mostly designed to show superiority (n = 260, 87.3%). Characteristics of randomized controlled trials with multiple arms by trial design a There were 4 of the 40 crossover trials with a factorial design. The number of arms varied from 3 to 16, being 3 in 172 reports (57.7%), 4 in 84 reports (28.2%) and more than 4 in 42 reports (14.1%). The median number of participants per arm was 39 (10th to 90th percentile 7 to 228). Overall, 80 reports described a single-center trial (26.9%), and 141 a multicenter trial (47.3%). The source of funding was described as solely or partially industry in 101 reports (33.9%) and public in 118 (39.6%). Characteristics were similar across the three trial-design types (Table 1), although some characteristics reflected the specificity of each subgroup (for example, the number of arms was greater for factorial designs, and the number of randomized patients was larger for parallel trials than for crossover trials). Of the trials with a parallel-group design, excluding those with a factorial design (n = 221, 74.2%), 82 (37.1%) were dose–response trials (use of multiple doses of the same treatment) and 139 (62.9%) compared different treatments. Trials with three arms (n = 172) included several types of interventions and control arms (Figure 2). Nature of intervention arms in three-arm randomized controlled trials. Reporting Table 2 provides information on the reporting of the results of multiple-arm trials. Reporting of randomized controlled trials with multiple arms by trial design a For sample-size calculation or for statistical analysis. Reporting of baseline characteristics and outcomes The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group. The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group. Planned and reported comparisons We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned. We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned. Other elements of reporting Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2). Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2). Table 2 provides information on the reporting of the results of multiple-arm trials. Reporting of randomized controlled trials with multiple arms by trial design a For sample-size calculation or for statistical analysis. Reporting of baseline characteristics and outcomes The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group. The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group. Planned and reported comparisons We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned. We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned. Other elements of reporting Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2). Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2). Selection of articles: A flowchart of the selection of articles is shown in Figure 1. Briefly, the electronic search yielded 2,450 citations, and after reading the full text, we selected 298 reports published in 68 journals (see Additional file 2). In all, 48 articles (16.1%) were published in general medical journals and 250 (83.9%) in specialized medical journals. Study screening process. Characteristics of multiple-arm trials: The characteristics of the trials are shown in Table 1. Of the 1690 RCTs assessed, the proportion of multiple-arm trials was 17.6% (n = 298; 95% confidence interval 15.8 to 19.5), with 221 (74.2%) having a parallel-group design, 37 a factorial design (12.4%), and 40 (13.4%) a crossover design. The most common intervention was a drug (n = 192, 64.4%), and trials were mostly designed to show superiority (n = 260, 87.3%). Characteristics of randomized controlled trials with multiple arms by trial design a There were 4 of the 40 crossover trials with a factorial design. The number of arms varied from 3 to 16, being 3 in 172 reports (57.7%), 4 in 84 reports (28.2%) and more than 4 in 42 reports (14.1%). The median number of participants per arm was 39 (10th to 90th percentile 7 to 228). Overall, 80 reports described a single-center trial (26.9%), and 141 a multicenter trial (47.3%). The source of funding was described as solely or partially industry in 101 reports (33.9%) and public in 118 (39.6%). Characteristics were similar across the three trial-design types (Table 1), although some characteristics reflected the specificity of each subgroup (for example, the number of arms was greater for factorial designs, and the number of randomized patients was larger for parallel trials than for crossover trials). Of the trials with a parallel-group design, excluding those with a factorial design (n = 221, 74.2%), 82 (37.1%) were dose–response trials (use of multiple doses of the same treatment) and 139 (62.9%) compared different treatments. Trials with three arms (n = 172) included several types of interventions and control arms (Figure 2). Nature of intervention arms in three-arm randomized controlled trials. Reporting: Table 2 provides information on the reporting of the results of multiple-arm trials. Reporting of randomized controlled trials with multiple arms by trial design a For sample-size calculation or for statistical analysis. Reporting of baseline characteristics and outcomes The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group. The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group. Planned and reported comparisons We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned. We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned. Other elements of reporting Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2). Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2). Reporting of baseline characteristics and outcomes: The description of baseline characteristics and outcomes per group were missing in 45 (15.1%) and 48 (16.1%), respectively, of the reports investigated. Of the 57 publications describing pooled analyses (19.1%), 17 (28.1%) did not provide results for each randomized group. Planned and reported comparisons: We identified 60 articles (20.1%) that did not define the study hypothesis. More than half of the articles (n = 171, 57.4%) reported that a global comparison test was planned, but 67 (39.2%) did not report the results of the planned analysis. Of the 116 articles reporting a global comparison test, the test was not reported as planned for 12 (10.3%). In all, 60% of publications (n = 180) reported that a pairwise comparison test was planned, but 20 of these (11.1%) did not report a pairwise test comparison. Of the 204 articles reporting pairwise test comparisons, these comparisons were not reported as planned for 44 (21.6%). Less than half of the reports (46%, n = 137) provided baseline and outcome data per group or reported the analysis (global and/or pairwise comparison) as planned. Other elements of reporting: Overall, 70.5% of reports (n = 210) reported a sample-size calculation. The multiple-arm design was taken into account in the sample-size calculation for 41 of 210 reports (19.5%). Of the total of 298 reports, 118 (39.6%) described an adjustment method for multiple statistical comparisons, and 9 (5.0%) of the remaining 180 articles explained why no adjustment was used. Less than half of the trials reports identified the multiple arms in the title (n = 130, 43.6%). For all trials, the reporting of characteristics seemed to be generally poorer for crossover than parallel-group trials, particularly for items concerning sample size (Table 2). Discussion: Our findings highlight the inadequate reporting of baseline characteristics and outcomes for arms in multiple-arm RCTs, and the discrepancies between planned and reported comparisons. Moreover, such trials generally had relatively small sample sizes, and showed great variability in the types of intervention and the control arms used. Multiple-treatment arms are possible sources of multiplicity in an RCT [6,10]. This multiplicity is related to the possibility of performing several pairwise tests to determine the most effective arm. In such a setting, the objectives of the trial must be clear to ensure that these objectives (and only these) are correctly designed and analyzed (for example, global test comparison or not, and which pairwise test comparisons are planned). In 20% of the reports we analyzed, the study hypothesis was not described, which suggests selective reporting. Moreover, bias may be introduced if the decisions on data analysis are driven by the data [11]. For instance, groups receiving different doses of the same intervention could be combined after the data are examined, or only statistically significant pairwise comparisons could be reported. The number of possible comparisons increases greatly in trials with more than three arms, which suggests increased risk of selective reporting. Our results are likely have underestimated any selective outcome reporting bias because we assessed articles and not protocols [12]. Moreover, in our study, some reports did not describe baseline or outcome data for each group (occurred in more than 15% of reports for each scenario). These results are consistent with previous work [13], and are important because reporting data per group is a necessary condition for future meta-analyses. One of the other methodological difficulties in multiple-arm RCTs concerns the calculation of the sample size, and particularly the necessity for adequate power. Many randomized trials with two parallel arms exhibit inadequate power for revealing differences [14], and sample-size calculation is poorly reported in articles of trials and can be inaccurate [15]. With multiple-arm trials, problems with power and calculation are enhanced, particularly because sample-size calculation depends on the main objective(s) of the trial and thus on the underlying hypotheses that will be tested [1]: whether a global test should be performed or not, and whether (and how many) pairwise comparisons were planned, with statistical adjustment or not. The question of adjusting for control type I error in multiple-arm trials is a subject of debate [2,3,6,16-18]. Controlling for type I error is not needed when several experimental arms are compared with the control or the standard arms [3], but is necessary when adjusting for post hoc comparisons or when the tested hypotheses cannot be prioritized [18]. Reasons for using adjustment or not are often subjective, and should be justified [18]. Our study has several limitations. First, we assessed reports of RCTs and not protocols. This point is particularly important for assessing planned comparisons. We did not assess protocols because of the difficulties in obtaining access to trial protocols [19]. Second, the methods may have been pre-specified but not reported in the articles [20,21]. Third, our results are limited to the core clinical journals defined by the National Library of Medicine, so our findings may not be applicable to journals outside this sample. We chose the core clinical journals because they cover all clinical and public-health areas and all major medical journals. The methodological quality of reports in other journals is unlikely to be better than in these journals. Conclusion: The CONSORT (Consolidated Standards of Reporting Trials) group is developing recommendations to help improve the reporting of multiple-arm trials [22,23]. Compared with two-arm RCTs, multiple-arm trials are more complex to design and require more complex analysis, and the results are more complex to report. The design and objectives of the trials have direct consequences for the conduct, analysis of results (for example, planned comparisons, sample-size calculation, adjustment during analysis) and reporting. The specific characteristics of multiple-arm trials and their heterogeneity in objectives, in addition to the usual requirements for reporting the results of RCTs (such as randomization, concealment, and blinding), pose a supplementary challenge for authors reporting the results of multiple-arm trials. Competing interests: The authors declare that they have no competing interests. Authors’ contributions: GB, IB and PR conceived and designed the study; GB and EP performed the data collection, GP, wrote the first draft of the paper, and EP, IB, and PR critically revised the manuscript for important intellectual content. GB is the guarantor. All authors approved the final version of the manuscript to be published. Pre-publication history: The pre-publication history for this paper can be accessed here: http://www.biomedcentral.com/1741-7015/11/84/prepub Supplementary Material: Reproducibility between reviewers for reporting of items. Click here for file List of the 298 articles included in this study. Click here for file
Background: Multiple-arm randomized trials can be more complex in their design, data analysis, and result reporting than two-arm trials. We conducted a systematic review to assess the reporting of analyses in reports of randomized controlled trials (RCTs) with multiple arms. Methods: The literature in the MEDLINE database was searched for reports of RCTs with multiple arms published in 2009 in the core clinical journals. Two reviewers extracted data using a standardized extraction form. Results: In total, 298 reports were identified. Descriptions of the baseline characteristics and outcomes per group were missing in 45 reports (15.1%) and 48 reports (16.1%), respectively. More than half of the articles (n = 171, 57.4%) reported that a planned global test comparison was used (that is, assessment of the global differences between all groups), but 67 (39.2%) of these 171 articles did not report details of the planned analysis. Of the 116 articles reporting a global comparison test, 12 (10.3%) did not report the analysis as planned. In all, 60% of publications (n = 180) described planned pairwise test comparisons (that is, assessment of the difference between two groups), but 20 of these 180 articles (11.1%) did not report the pairwise test comparisons. Of the 204 articles reporting pairwise test comparisons, the comparisons were not planned for 44 (21.6%) of them. Less than half the reports (n = 137; 46%) provided baseline and outcome data per arm and reported the analysis as planned. Conclusions: Our findings highlight discrepancies between the planning and reporting of analyses in reports of multiple-arm trials.
Background: Randomized controlled trials (RCTs) with multiple arms are sometimes considered an attractive way of optimizing resources and simultaneously testing various treatment strategies [1-4]. For instance, multiple-arm trials can involve increasing doses of an experimental treatment, cumulative combination therapies, or multiple independent treatments, which can allows testing of the efficacy of new treatments to be carried out more rapidly and more directly [5]. Such trials provide more information than two-arm trials can provide [6]. Multiple-arm randomized trials are becoming increasingly common, with a quarter of randomized trials having more than two intervention groups [7]. However, because of the number of arms, such trials can be more complex in design, data analysis and result reporting compared with two-arm trials [2,8,9]. Complications of such trials are directly related to the number of arms and the number of possible comparisons. For instance, in an RCT with three arms, there are seven theoretically possible comparisons [6]. The complications of such trials include: defining a priori which comparisons are of primary interest; the possibility of performing global comparison tests (that is, assessing global differences between all arms) and/or pairwise comparison tests (that is, assessing differences of 2 arms), of pooling data for two or more arms, of reporting selective comparisons (for example, only statistically significant comparisons) or post hoc comparisons (for example, comparisons that were not planned in the protocol), or of using a multiple comparison adjustment procedure for controlling type I error rate, which influences sample-size calculation and statistical analysis; and the necessity of having sufficient details of the primary outcomes per group for future meta-analyses. To our knowledge, no systematic review has compared the planned comparisons (as described in reports) and the reported comparisons from multiple-arm trials. We aimed to appraise the reporting of analyses from RCTs with multiple arms by examining a sample of reports of results of such trials published in core clinical journals. Conclusion: The CONSORT (Consolidated Standards of Reporting Trials) group is developing recommendations to help improve the reporting of multiple-arm trials [22,23]. Compared with two-arm RCTs, multiple-arm trials are more complex to design and require more complex analysis, and the results are more complex to report. The design and objectives of the trials have direct consequences for the conduct, analysis of results (for example, planned comparisons, sample-size calculation, adjustment during analysis) and reporting. The specific characteristics of multiple-arm trials and their heterogeneity in objectives, in addition to the usual requirements for reporting the results of RCTs (such as randomization, concealment, and blinding), pose a supplementary challenge for authors reporting the results of multiple-arm trials.
Background: Multiple-arm randomized trials can be more complex in their design, data analysis, and result reporting than two-arm trials. We conducted a systematic review to assess the reporting of analyses in reports of randomized controlled trials (RCTs) with multiple arms. Methods: The literature in the MEDLINE database was searched for reports of RCTs with multiple arms published in 2009 in the core clinical journals. Two reviewers extracted data using a standardized extraction form. Results: In total, 298 reports were identified. Descriptions of the baseline characteristics and outcomes per group were missing in 45 reports (15.1%) and 48 reports (16.1%), respectively. More than half of the articles (n = 171, 57.4%) reported that a planned global test comparison was used (that is, assessment of the global differences between all groups), but 67 (39.2%) of these 171 articles did not report details of the planned analysis. Of the 116 articles reporting a global comparison test, 12 (10.3%) did not report the analysis as planned. In all, 60% of publications (n = 180) described planned pairwise test comparisons (that is, assessment of the difference between two groups), but 20 of these 180 articles (11.1%) did not report the pairwise test comparisons. Of the 204 articles reporting pairwise test comparisons, the comparisons were not planned for 44 (21.6%) of them. Less than half the reports (n = 137; 46%) provided baseline and outcome data per arm and reported the analysis as planned. Conclusions: Our findings highlight discrepancies between the planning and reporting of analyses in reports of multiple-arm trials.
8,132
330
[ 385, 126, 119, 190, 245, 142, 76, 394, 800, 57, 173, 138, 10, 63, 16 ]
20
[ "trials", "reported", "reports", "comparisons", "planned", "articles", "multiple", "reporting", "sample", "design" ]
[ "arm trials complications", "multiple arms trial", "arms trials complex", "compared arm trials", "arm trials heterogeneity" ]
[CONTENT] Systematic review | Randomized controlled trials | Multiple arms | Reporting of analyses [SUMMARY]
[CONTENT] Systematic review | Randomized controlled trials | Multiple arms | Reporting of analyses [SUMMARY]
[CONTENT] Systematic review | Randomized controlled trials | Multiple arms | Reporting of analyses [SUMMARY]
[CONTENT] Systematic review | Randomized controlled trials | Multiple arms | Reporting of analyses [SUMMARY]
[CONTENT] Systematic review | Randomized controlled trials | Multiple arms | Reporting of analyses [SUMMARY]
[CONTENT] Systematic review | Randomized controlled trials | Multiple arms | Reporting of analyses [SUMMARY]
[CONTENT] Biomedical Research | Humans | Randomized Controlled Trials as Topic | Research Design [SUMMARY]
[CONTENT] Biomedical Research | Humans | Randomized Controlled Trials as Topic | Research Design [SUMMARY]
[CONTENT] Biomedical Research | Humans | Randomized Controlled Trials as Topic | Research Design [SUMMARY]
[CONTENT] Biomedical Research | Humans | Randomized Controlled Trials as Topic | Research Design [SUMMARY]
[CONTENT] Biomedical Research | Humans | Randomized Controlled Trials as Topic | Research Design [SUMMARY]
[CONTENT] Biomedical Research | Humans | Randomized Controlled Trials as Topic | Research Design [SUMMARY]
[CONTENT] arm trials complications | multiple arms trial | arms trials complex | compared arm trials | arm trials heterogeneity [SUMMARY]
[CONTENT] arm trials complications | multiple arms trial | arms trials complex | compared arm trials | arm trials heterogeneity [SUMMARY]
[CONTENT] arm trials complications | multiple arms trial | arms trials complex | compared arm trials | arm trials heterogeneity [SUMMARY]
[CONTENT] arm trials complications | multiple arms trial | arms trials complex | compared arm trials | arm trials heterogeneity [SUMMARY]
[CONTENT] arm trials complications | multiple arms trial | arms trials complex | compared arm trials | arm trials heterogeneity [SUMMARY]
[CONTENT] arm trials complications | multiple arms trial | arms trials complex | compared arm trials | arm trials heterogeneity [SUMMARY]
[CONTENT] trials | reported | reports | comparisons | planned | articles | multiple | reporting | sample | design [SUMMARY]
[CONTENT] trials | reported | reports | comparisons | planned | articles | multiple | reporting | sample | design [SUMMARY]
[CONTENT] trials | reported | reports | comparisons | planned | articles | multiple | reporting | sample | design [SUMMARY]
[CONTENT] trials | reported | reports | comparisons | planned | articles | multiple | reporting | sample | design [SUMMARY]
[CONTENT] trials | reported | reports | comparisons | planned | articles | multiple | reporting | sample | design [SUMMARY]
[CONTENT] trials | reported | reports | comparisons | planned | articles | multiple | reporting | sample | design [SUMMARY]
[CONTENT] trials | arms | comparisons | multiple | arm trials | arm | primary | comparisons example | rcts multiple arms | complications [SUMMARY]
[CONTENT] data | comparisons | trial | reported | articles | sample | analyses | groups | study | section [SUMMARY]
[CONTENT] trials | test | reports | reported | planned | articles | multiple | comparison | arms | design [SUMMARY]
[CONTENT] trials | complex | multiple arm trials | arm trials | arm | reporting | multiple | multiple arm | analysis results | results [SUMMARY]
[CONTENT] trials | articles | comparisons | reported | multiple | planned | reports | test | reporting | sample [SUMMARY]
[CONTENT] trials | articles | comparisons | reported | multiple | planned | reports | test | reporting | sample [SUMMARY]
[CONTENT] two ||| [SUMMARY]
[CONTENT] MEDLINE | 2009 ||| Two [SUMMARY]
[CONTENT] 298 ||| 45 | 15.1% | 48 | 16.1% ||| More than half | 171 | 57.4% | 67 | 39.2% | 171 ||| 116 | 12 | 10.3% ||| 60% | 180 | two | 20 | 180 | 11.1% ||| 204 | 44 | 21.6% ||| Less than half | 137 | 46% [SUMMARY]
[CONTENT] [SUMMARY]
[CONTENT] two ||| ||| MEDLINE | 2009 ||| Two ||| ||| 298 ||| 45 | 15.1% | 48 | 16.1% ||| More than half | 171 | 57.4% | 67 | 39.2% | 171 ||| 116 | 12 | 10.3% ||| 60% | 180 | two | 20 | 180 | 11.1% ||| 204 | 44 | 21.6% ||| Less than half | 137 | 46% ||| [SUMMARY]
[CONTENT] two ||| ||| MEDLINE | 2009 ||| Two ||| ||| 298 ||| 45 | 15.1% | 48 | 16.1% ||| More than half | 171 | 57.4% | 67 | 39.2% | 171 ||| 116 | 12 | 10.3% ||| 60% | 180 | two | 20 | 180 | 11.1% ||| 204 | 44 | 21.6% ||| Less than half | 137 | 46% ||| [SUMMARY]
Optimized rapeseed oils rich in endogenous micronutrients ameliorate risk factors of atherosclerosis in high fat diet fed rats.
25358951
Micronutrients in rapeseed such as polyphenols, tocopherols, phytosterols and phospholipids in rapeseed exert potential benefit to atherosclerosis. Some part of these healthy components substantially lost during the conventional refining processing. Thus some new processing technologies have been developed to produce various endogenous micronutrient-enriched optimized rapeseed oils. The aim of this study is to assess whether optimized rapeseed oils have positive effects on the atherosclerosis risk factors in rats fed a high-fat diet.
BACKGROUND
Rats received experiment diets containing 20% fat and refined rapeseed oil or optimized rapeseed oils obtained with various processing technologies as lipid source. After 10 weeks of treatment, plasma was assayed for oxidative stress, lipid profiles and imflammation.
METHODS
Micronutrients enhancement in optimized rapeseed oils significantly reduced plasma oxidative stress, as evaluated by the significant elevation in the activities of CAT and GPx as well as the level of GSH, and the significant decline in lipid peroxidation. Optimized rapeseed oil with the highest micronutrient contents obtained by microwave pretreatment-cold pressing reduced the levels of TG, TC and LDL-C as well as IL-6 and CRP in plasma.
RESULTS
These results suggest that optimized rapeseed oils may contribute to prevent atherogenesis and make them very promising functional food in cardiovascular health promotion.
CONCLUSIONS
[ "Animals", "Atherosclerosis", "Brassica rapa", "C-Reactive Protein", "Diet, High-Fat", "Drug Evaluation, Preclinical", "Fatty Acids, Monounsaturated", "Interleukin-6", "Lipid Peroxidation", "Lipids", "Male", "Micronutrients", "Plant Extracts", "Plant Oils", "Rapeseed Oil", "Rats, Wistar", "Risk Factors" ]
4232689
Introduction
Cardiovascular disease (CVD) is the leading cause of premature death in most developed and developing countries and it is also an increasingly important source of disability and contributes in large part to the escalating costs of health care. Atherosclerosis, a manifestation of the pathophysiology underlying CVD, constitutes the single most important contributor to this growing burden of this disease. There are definitive evidences to show that oxidant stress [1], lipid abnormalities [2] as well as chronic inflammation [3] have a crucial involvement in both the initiation and the progression of atherosclerosis. Rapeseed is a major oilseed crop in China and many other countries. It contains high-quality oil which is one of the most common and cheapest vegetable oils for human diet. Rapeseed oil has the exceptionally low amount of saturated fatty acids in all commodity edible oils and high level of monounsaturated fatty acids [4]. Besides, this kind of plant oil is also naturally rich in α-linolenic acid and linoleic acid whose ratio are the closest to the optimum to meet the basic requirements of essential fatty acids in the body [5]. In addition to triacylglycerols, rapeseed also contains many healthy bioactive compounds such as phenolic compounds, tocopherols and phytosterols and these endogenous micronutrients have been reported to possess many health benefits or desirable physiological effects in cardiovascular system. For example, by their abilities to scavenge reactive oxygen species (ROS) directly or form complexes with prooxidant metals, these micronutrients possess a potent antioxidant activity and the various bioavailable antioxidants present in rapeseed oil work in concert to upgrade the complex antioxidant network which increase antioxidant capacity higher than that provided by each separate compound [6–8]. Phytosterols have been reported to inhibit cholesterol absorption and thus reduce circulating levels of total (TC) and low density lipoprotein cholesterol (LDL-C) [9]. Previous studies have also shown an independent effect of phenolics improving plasma lipid profiles [10, 11]. Also, all these compounds are known to have antiinflammatory effects [11–13]. The beneficial effects of these inherent micronutrients might contribute to prevent the initiation and development of atherosclerosis. However, the conventional industrial processes (extraction and refining) lead to substantial losses of these cardiovascular protective micronutrients. In order to improve on the desirable components retention and then to develop new healthy oils, some new processing technologies have been developed recently. The aim of this study is to determine the effects of the various endogenous micronutrient-enriched optimized rapeseed oils on atherosclerosis risk factors in rats fed a high-fat diet.
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Results
Plasma lipids As can be seen in Figure 1, the plasma TG levels showed significant decreases in CP and MPCP groups than RRO group (p <0.05 and 0.01, respectively). Although compatible HDL-C levels in plasma were observed among all groups (p >0.05), animals in MPCP group exhibited marked decline in TC and LDL-C levels as well as the ratio of LDL-C/HDL-C in plasma compared with those in the RRO group (p <0.01).Figure 1 Effects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. As can be seen in Figure 1, the plasma TG levels showed significant decreases in CP and MPCP groups than RRO group (p <0.05 and 0.01, respectively). Although compatible HDL-C levels in plasma were observed among all groups (p >0.05), animals in MPCP group exhibited marked decline in TC and LDL-C levels as well as the ratio of LDL-C/HDL-C in plasma compared with those in the RRO group (p <0.01).Figure 1 Effects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Plasma antioxidative capacity and lipid peroxidation As shown in Figure 2, there were no significant differences in plasma SOD activities among various rapeseed oil groups (p >0.05). Animals in CP, DCP and MPCP groups displayed significantly higher GPx activities (p <0.05, 0.05 and 0.01, respectively) and rats in DCP and MPCP groups had marked enhancement of CAT activities (p <0.05 and 0.01, respectively) when compared with their counterparts in RRO group. Besides, plasma GSH levels were also found to be elevated in CP and MPCP groups as compared to that in RRO group (p <0.05 and 0.01, respectively). When plasma TBARS were evaluated as the marker of lipid peroxidation, animals in MPCP group revealed markedly lower TBARS levels than that in RRO group (p <0.01).Figure 2 Effects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. As shown in Figure 2, there were no significant differences in plasma SOD activities among various rapeseed oil groups (p >0.05). Animals in CP, DCP and MPCP groups displayed significantly higher GPx activities (p <0.05, 0.05 and 0.01, respectively) and rats in DCP and MPCP groups had marked enhancement of CAT activities (p <0.05 and 0.01, respectively) when compared with their counterparts in RRO group. Besides, plasma GSH levels were also found to be elevated in CP and MPCP groups as compared to that in RRO group (p <0.05 and 0.01, respectively). When plasma TBARS were evaluated as the marker of lipid peroxidation, animals in MPCP group revealed markedly lower TBARS levels than that in RRO group (p <0.01).Figure 2 Effects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Plasma inflammatory When the plasma IL-6 and CRP levels were examined as the systemic markers for inflammation, both of them were affected by the micronutrient contents of experimental oils which have been shown in Figure 3. The plasma levels of IL-6 in DCP and MPCP groups (p <0.01) as well as CRP in CP and MPCP groups (p <0.05 and 0.01, respectively) were significantly lower than those in RRO group.Figure 3 Effects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. When the plasma IL-6 and CRP levels were examined as the systemic markers for inflammation, both of them were affected by the micronutrient contents of experimental oils which have been shown in Figure 3. The plasma levels of IL-6 in DCP and MPCP groups (p <0.01) as well as CRP in CP and MPCP groups (p <0.05 and 0.01, respectively) were significantly lower than those in RRO group.Figure 3 Effects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.
null
null
[ "Oils preparation", "Animals and diets", "Blood processing", "Plasma lipids analysis", "Assay of plasma antioxidant capacity and lipid peroxidation", "Assay of plasma inflammatory markers", "Statistical analyses", "Plasma lipids", "Plasma antioxidative capacity and lipid peroxidation", "Plasma inflammatory" ]
[ "Rapeseed oils were produced with different technical procedures. The refined rapeseed oil (RRO) was prepared with conventional extraction and refining processing technology. Other three rapeseed oil processing technologies were applied to obtain high levels of endogenous micronutrients: cold pressing (CP), dehulling-cold pressing (DCP) and microwave pretreatment-cold pressing (MPCP). The fatty acid compositions and endogenous micronutrients contents in different rapeseed oil were shown in Tables 1 and 2, respectively.Table 1\nFatty acid compositions in different rapeseed oils\nFatty acid (wt.%)RROCPDCPMPCPPalmitic acid (C16:0)2.4132.52.4852.44Stearic acid (C18:0)3.6673.7693.8463.548Oleic acid (C18:1)66.1966.07566.28766.561Linoleic acid (C18:2)16.82216.79817.08816.447Linolenic acid (C18:3)9.1469.2818.4639.431Table 2\nEndogenous micronutrients contents in different rapeseed oils\nmg/kg oilRROCPDCPMPCPPhenols (in eq., sinapic acid)83443645Of which canololND*107167816Phytosterols95929902883411027Tocopherol461541594600Phospholipids226005901330*ND, not detected.\n\nFatty acid compositions in different rapeseed oils\n\n\nEndogenous micronutrients contents in different rapeseed oils\n\n*ND, not detected.", "Forty male Wister rats, initially weighing 150–170 g, were obtained from Vital River Laboratory Animal Center (Beijing, China). The rats were housed individually and maintained at a controlled ambient temperature (24 ± 1°C) under diurnal conditions (light–dark: 08:00–20:00) with access to laboratory chow and tap water ad libitum. After the rats were acclimated for 1 week, animals were randomly divided into four groups of 10 rats each, consisting of RRO, CP, DCP and MPCP groups. The high-fat diet contained 20% casein, 35% maize starch, 15% glucose, 5% cellulose, 3.5% mineral mixture (AIN-93 M), 1% vitamin mixture (AIN-93 M), 0.2% choline bitartrate, 0.3% DL-methionine and 20% fat. The fat in the diet was provided by different rapeseed oils mentioned above. All animals were weighed twice a week and food intake was measured weekly. The animals were cared for in accordance with the Guiding Principles in the Care and Use of Animals. The experiment was approved by the Oil Crops Research Institute Council on Animal Care Committee, Chinese Academy of Agricultural Sciences.", "After 10 weeks of treatment, rats were fasted for 16 hours and then killed under anaesthesia, blood was collected in the presence of sodium heparin from the heart immediately. Blood samples were centrifuged at 1500 g (10 min, 4°C) and the plasma was stored at -80°C until analysis.", "The plasma triglyeride (TG), TC, LDL-C and high-density lipoprotein cholesterol (HDL-C) levels were determined with commercial kits (Wako, Japan) by Hitachi 7020 full-automatic biochemical analyzer (Japan).", "Superoxide dismutases (SOD) activity was estimated according to the method of Kono [14]. Catalase (CAT) activity was measured basing on the method of Goth [15]. Glutathione peroxidase (GPx) activity was determined by the method of Sazuka [16]. The glutathione (GSH) content was assayed by the method of Moron [17]. Thiobarbituric acid reactive substances (TBARS) level was assayed by the method of Buege [18]. The detection procedure of these enzymes activities has been described in detail in our preceding report [19].", "The plasma interleukin 6 (IL-6) and C-reactive protein (CRP) levels were measured by means of commercially available Rat CRP ELISA kit (Abcam, Cambridge, MA) and Rat IL-6 ELISA kit (Abcam, Cambridge, MA), respectively. All the procedures and conditions were consistent with the instructions of these kits.", "Values are presented as mean ± SEM (standard error of the mean). The data were analyzed by one-way ANOVA, followed by the Fisher PLSD post hoc test if the overall differences were significant (p <0.05). All statistical analyses were performed using SPSS 13.0 statistical software (SPSS Inc., Chicago, IL) and a difference was considered significant when p <0.05.", "As can be seen in Figure 1, the plasma TG levels showed significant decreases in CP and MPCP groups than RRO group (p <0.05 and 0.01, respectively). Although compatible HDL-C levels in plasma were observed among all groups (p >0.05), animals in MPCP group exhibited marked decline in TC and LDL-C levels as well as the ratio of LDL-C/HDL-C in plasma compared with those in the RRO group (p <0.01).Figure 1\nEffects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n\nEffects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.", "As shown in Figure 2, there were no significant differences in plasma SOD activities among various rapeseed oil groups (p >0.05). Animals in CP, DCP and MPCP groups displayed significantly higher GPx activities (p <0.05, 0.05 and 0.01, respectively) and rats in DCP and MPCP groups had marked enhancement of CAT activities (p <0.05 and 0.01, respectively) when compared with their counterparts in RRO group. Besides, plasma GSH levels were also found to be elevated in CP and MPCP groups as compared to that in RRO group (p <0.05 and 0.01, respectively). When plasma TBARS were evaluated as the marker of lipid peroxidation, animals in MPCP group revealed markedly lower TBARS levels than that in RRO group (p <0.01).Figure 2\nEffects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n\nEffects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.", "When the plasma IL-6 and CRP levels were examined as the systemic markers for inflammation, both of them were affected by the micronutrient contents of experimental oils which have been shown in Figure 3. The plasma levels of IL-6 in DCP and MPCP groups (p <0.01) as well as CRP in CP and MPCP groups (p <0.05 and 0.01, respectively) were significantly lower than those in RRO group.Figure 3\nEffects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n\nEffects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group." ]
[ null, null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Materials and methods", "Oils preparation", "Animals and diets", "Blood processing", "Plasma lipids analysis", "Assay of plasma antioxidant capacity and lipid peroxidation", "Assay of plasma inflammatory markers", "Statistical analyses", "Results", "Plasma lipids", "Plasma antioxidative capacity and lipid peroxidation", "Plasma inflammatory", "Discussion" ]
[ "Cardiovascular disease (CVD) is the leading cause of premature death in most developed and developing countries and it is also an increasingly important source of disability and contributes in large part to the escalating costs of health care. Atherosclerosis, a manifestation of the pathophysiology underlying CVD, constitutes the single most important contributor to this growing burden of this disease. There are definitive evidences to show that oxidant stress [1], lipid abnormalities [2] as well as chronic inflammation [3] have a crucial involvement in both the initiation and the progression of atherosclerosis.\nRapeseed is a major oilseed crop in China and many other countries. It contains high-quality oil which is one of the most common and cheapest vegetable oils for human diet. Rapeseed oil has the exceptionally low amount of saturated fatty acids in all commodity edible oils and high level of monounsaturated fatty acids [4]. Besides, this kind of plant oil is also naturally rich in α-linolenic acid and linoleic acid whose ratio are the closest to the optimum to meet the basic requirements of essential fatty acids in the body [5]. In addition to triacylglycerols, rapeseed also contains many healthy bioactive compounds such as phenolic compounds, tocopherols and phytosterols and these endogenous micronutrients have been reported to possess many health benefits or desirable physiological effects in cardiovascular system. For example, by their abilities to scavenge reactive oxygen species (ROS) directly or form complexes with prooxidant metals, these micronutrients possess a potent antioxidant activity and the various bioavailable antioxidants present in rapeseed oil work in concert to upgrade the complex antioxidant network which increase antioxidant capacity higher than that provided by each separate compound [6–8]. Phytosterols have been reported to inhibit cholesterol absorption and thus reduce circulating levels of total (TC) and low density lipoprotein cholesterol (LDL-C) [9]. Previous studies have also shown an independent effect of phenolics improving plasma lipid profiles [10, 11]. Also, all these compounds are known to have antiinflammatory effects [11–13]. The beneficial effects of these inherent micronutrients might contribute to prevent the initiation and development of atherosclerosis. However, the conventional industrial processes (extraction and refining) lead to substantial losses of these cardiovascular protective micronutrients. In order to improve on the desirable components retention and then to develop new healthy oils, some new processing technologies have been developed recently. The aim of this study is to determine the effects of the various endogenous micronutrient-enriched optimized rapeseed oils on atherosclerosis risk factors in rats fed a high-fat diet.", " Oils preparation Rapeseed oils were produced with different technical procedures. The refined rapeseed oil (RRO) was prepared with conventional extraction and refining processing technology. Other three rapeseed oil processing technologies were applied to obtain high levels of endogenous micronutrients: cold pressing (CP), dehulling-cold pressing (DCP) and microwave pretreatment-cold pressing (MPCP). The fatty acid compositions and endogenous micronutrients contents in different rapeseed oil were shown in Tables 1 and 2, respectively.Table 1\nFatty acid compositions in different rapeseed oils\nFatty acid (wt.%)RROCPDCPMPCPPalmitic acid (C16:0)2.4132.52.4852.44Stearic acid (C18:0)3.6673.7693.8463.548Oleic acid (C18:1)66.1966.07566.28766.561Linoleic acid (C18:2)16.82216.79817.08816.447Linolenic acid (C18:3)9.1469.2818.4639.431Table 2\nEndogenous micronutrients contents in different rapeseed oils\nmg/kg oilRROCPDCPMPCPPhenols (in eq., sinapic acid)83443645Of which canololND*107167816Phytosterols95929902883411027Tocopherol461541594600Phospholipids226005901330*ND, not detected.\n\nFatty acid compositions in different rapeseed oils\n\n\nEndogenous micronutrients contents in different rapeseed oils\n\n*ND, not detected.\nRapeseed oils were produced with different technical procedures. The refined rapeseed oil (RRO) was prepared with conventional extraction and refining processing technology. Other three rapeseed oil processing technologies were applied to obtain high levels of endogenous micronutrients: cold pressing (CP), dehulling-cold pressing (DCP) and microwave pretreatment-cold pressing (MPCP). The fatty acid compositions and endogenous micronutrients contents in different rapeseed oil were shown in Tables 1 and 2, respectively.Table 1\nFatty acid compositions in different rapeseed oils\nFatty acid (wt.%)RROCPDCPMPCPPalmitic acid (C16:0)2.4132.52.4852.44Stearic acid (C18:0)3.6673.7693.8463.548Oleic acid (C18:1)66.1966.07566.28766.561Linoleic acid (C18:2)16.82216.79817.08816.447Linolenic acid (C18:3)9.1469.2818.4639.431Table 2\nEndogenous micronutrients contents in different rapeseed oils\nmg/kg oilRROCPDCPMPCPPhenols (in eq., sinapic acid)83443645Of which canololND*107167816Phytosterols95929902883411027Tocopherol461541594600Phospholipids226005901330*ND, not detected.\n\nFatty acid compositions in different rapeseed oils\n\n\nEndogenous micronutrients contents in different rapeseed oils\n\n*ND, not detected.\n Animals and diets Forty male Wister rats, initially weighing 150–170 g, were obtained from Vital River Laboratory Animal Center (Beijing, China). The rats were housed individually and maintained at a controlled ambient temperature (24 ± 1°C) under diurnal conditions (light–dark: 08:00–20:00) with access to laboratory chow and tap water ad libitum. After the rats were acclimated for 1 week, animals were randomly divided into four groups of 10 rats each, consisting of RRO, CP, DCP and MPCP groups. The high-fat diet contained 20% casein, 35% maize starch, 15% glucose, 5% cellulose, 3.5% mineral mixture (AIN-93 M), 1% vitamin mixture (AIN-93 M), 0.2% choline bitartrate, 0.3% DL-methionine and 20% fat. The fat in the diet was provided by different rapeseed oils mentioned above. All animals were weighed twice a week and food intake was measured weekly. The animals were cared for in accordance with the Guiding Principles in the Care and Use of Animals. The experiment was approved by the Oil Crops Research Institute Council on Animal Care Committee, Chinese Academy of Agricultural Sciences.\nForty male Wister rats, initially weighing 150–170 g, were obtained from Vital River Laboratory Animal Center (Beijing, China). The rats were housed individually and maintained at a controlled ambient temperature (24 ± 1°C) under diurnal conditions (light–dark: 08:00–20:00) with access to laboratory chow and tap water ad libitum. After the rats were acclimated for 1 week, animals were randomly divided into four groups of 10 rats each, consisting of RRO, CP, DCP and MPCP groups. The high-fat diet contained 20% casein, 35% maize starch, 15% glucose, 5% cellulose, 3.5% mineral mixture (AIN-93 M), 1% vitamin mixture (AIN-93 M), 0.2% choline bitartrate, 0.3% DL-methionine and 20% fat. The fat in the diet was provided by different rapeseed oils mentioned above. All animals were weighed twice a week and food intake was measured weekly. The animals were cared for in accordance with the Guiding Principles in the Care and Use of Animals. The experiment was approved by the Oil Crops Research Institute Council on Animal Care Committee, Chinese Academy of Agricultural Sciences.\n Blood processing After 10 weeks of treatment, rats were fasted for 16 hours and then killed under anaesthesia, blood was collected in the presence of sodium heparin from the heart immediately. Blood samples were centrifuged at 1500 g (10 min, 4°C) and the plasma was stored at -80°C until analysis.\nAfter 10 weeks of treatment, rats were fasted for 16 hours and then killed under anaesthesia, blood was collected in the presence of sodium heparin from the heart immediately. Blood samples were centrifuged at 1500 g (10 min, 4°C) and the plasma was stored at -80°C until analysis.\n Plasma lipids analysis The plasma triglyeride (TG), TC, LDL-C and high-density lipoprotein cholesterol (HDL-C) levels were determined with commercial kits (Wako, Japan) by Hitachi 7020 full-automatic biochemical analyzer (Japan).\nThe plasma triglyeride (TG), TC, LDL-C and high-density lipoprotein cholesterol (HDL-C) levels were determined with commercial kits (Wako, Japan) by Hitachi 7020 full-automatic biochemical analyzer (Japan).\n Assay of plasma antioxidant capacity and lipid peroxidation Superoxide dismutases (SOD) activity was estimated according to the method of Kono [14]. Catalase (CAT) activity was measured basing on the method of Goth [15]. Glutathione peroxidase (GPx) activity was determined by the method of Sazuka [16]. The glutathione (GSH) content was assayed by the method of Moron [17]. Thiobarbituric acid reactive substances (TBARS) level was assayed by the method of Buege [18]. The detection procedure of these enzymes activities has been described in detail in our preceding report [19].\nSuperoxide dismutases (SOD) activity was estimated according to the method of Kono [14]. Catalase (CAT) activity was measured basing on the method of Goth [15]. Glutathione peroxidase (GPx) activity was determined by the method of Sazuka [16]. The glutathione (GSH) content was assayed by the method of Moron [17]. Thiobarbituric acid reactive substances (TBARS) level was assayed by the method of Buege [18]. The detection procedure of these enzymes activities has been described in detail in our preceding report [19].\n Assay of plasma inflammatory markers The plasma interleukin 6 (IL-6) and C-reactive protein (CRP) levels were measured by means of commercially available Rat CRP ELISA kit (Abcam, Cambridge, MA) and Rat IL-6 ELISA kit (Abcam, Cambridge, MA), respectively. All the procedures and conditions were consistent with the instructions of these kits.\nThe plasma interleukin 6 (IL-6) and C-reactive protein (CRP) levels were measured by means of commercially available Rat CRP ELISA kit (Abcam, Cambridge, MA) and Rat IL-6 ELISA kit (Abcam, Cambridge, MA), respectively. All the procedures and conditions were consistent with the instructions of these kits.\n Statistical analyses Values are presented as mean ± SEM (standard error of the mean). The data were analyzed by one-way ANOVA, followed by the Fisher PLSD post hoc test if the overall differences were significant (p <0.05). All statistical analyses were performed using SPSS 13.0 statistical software (SPSS Inc., Chicago, IL) and a difference was considered significant when p <0.05.\nValues are presented as mean ± SEM (standard error of the mean). The data were analyzed by one-way ANOVA, followed by the Fisher PLSD post hoc test if the overall differences were significant (p <0.05). All statistical analyses were performed using SPSS 13.0 statistical software (SPSS Inc., Chicago, IL) and a difference was considered significant when p <0.05.", "Rapeseed oils were produced with different technical procedures. The refined rapeseed oil (RRO) was prepared with conventional extraction and refining processing technology. Other three rapeseed oil processing technologies were applied to obtain high levels of endogenous micronutrients: cold pressing (CP), dehulling-cold pressing (DCP) and microwave pretreatment-cold pressing (MPCP). The fatty acid compositions and endogenous micronutrients contents in different rapeseed oil were shown in Tables 1 and 2, respectively.Table 1\nFatty acid compositions in different rapeseed oils\nFatty acid (wt.%)RROCPDCPMPCPPalmitic acid (C16:0)2.4132.52.4852.44Stearic acid (C18:0)3.6673.7693.8463.548Oleic acid (C18:1)66.1966.07566.28766.561Linoleic acid (C18:2)16.82216.79817.08816.447Linolenic acid (C18:3)9.1469.2818.4639.431Table 2\nEndogenous micronutrients contents in different rapeseed oils\nmg/kg oilRROCPDCPMPCPPhenols (in eq., sinapic acid)83443645Of which canololND*107167816Phytosterols95929902883411027Tocopherol461541594600Phospholipids226005901330*ND, not detected.\n\nFatty acid compositions in different rapeseed oils\n\n\nEndogenous micronutrients contents in different rapeseed oils\n\n*ND, not detected.", "Forty male Wister rats, initially weighing 150–170 g, were obtained from Vital River Laboratory Animal Center (Beijing, China). The rats were housed individually and maintained at a controlled ambient temperature (24 ± 1°C) under diurnal conditions (light–dark: 08:00–20:00) with access to laboratory chow and tap water ad libitum. After the rats were acclimated for 1 week, animals were randomly divided into four groups of 10 rats each, consisting of RRO, CP, DCP and MPCP groups. The high-fat diet contained 20% casein, 35% maize starch, 15% glucose, 5% cellulose, 3.5% mineral mixture (AIN-93 M), 1% vitamin mixture (AIN-93 M), 0.2% choline bitartrate, 0.3% DL-methionine and 20% fat. The fat in the diet was provided by different rapeseed oils mentioned above. All animals were weighed twice a week and food intake was measured weekly. The animals were cared for in accordance with the Guiding Principles in the Care and Use of Animals. The experiment was approved by the Oil Crops Research Institute Council on Animal Care Committee, Chinese Academy of Agricultural Sciences.", "After 10 weeks of treatment, rats were fasted for 16 hours and then killed under anaesthesia, blood was collected in the presence of sodium heparin from the heart immediately. Blood samples were centrifuged at 1500 g (10 min, 4°C) and the plasma was stored at -80°C until analysis.", "The plasma triglyeride (TG), TC, LDL-C and high-density lipoprotein cholesterol (HDL-C) levels were determined with commercial kits (Wako, Japan) by Hitachi 7020 full-automatic biochemical analyzer (Japan).", "Superoxide dismutases (SOD) activity was estimated according to the method of Kono [14]. Catalase (CAT) activity was measured basing on the method of Goth [15]. Glutathione peroxidase (GPx) activity was determined by the method of Sazuka [16]. The glutathione (GSH) content was assayed by the method of Moron [17]. Thiobarbituric acid reactive substances (TBARS) level was assayed by the method of Buege [18]. The detection procedure of these enzymes activities has been described in detail in our preceding report [19].", "The plasma interleukin 6 (IL-6) and C-reactive protein (CRP) levels were measured by means of commercially available Rat CRP ELISA kit (Abcam, Cambridge, MA) and Rat IL-6 ELISA kit (Abcam, Cambridge, MA), respectively. All the procedures and conditions were consistent with the instructions of these kits.", "Values are presented as mean ± SEM (standard error of the mean). The data were analyzed by one-way ANOVA, followed by the Fisher PLSD post hoc test if the overall differences were significant (p <0.05). All statistical analyses were performed using SPSS 13.0 statistical software (SPSS Inc., Chicago, IL) and a difference was considered significant when p <0.05.", " Plasma lipids As can be seen in Figure 1, the plasma TG levels showed significant decreases in CP and MPCP groups than RRO group (p <0.05 and 0.01, respectively). Although compatible HDL-C levels in plasma were observed among all groups (p >0.05), animals in MPCP group exhibited marked decline in TC and LDL-C levels as well as the ratio of LDL-C/HDL-C in plasma compared with those in the RRO group (p <0.01).Figure 1\nEffects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n\nEffects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\nAs can be seen in Figure 1, the plasma TG levels showed significant decreases in CP and MPCP groups than RRO group (p <0.05 and 0.01, respectively). Although compatible HDL-C levels in plasma were observed among all groups (p >0.05), animals in MPCP group exhibited marked decline in TC and LDL-C levels as well as the ratio of LDL-C/HDL-C in plasma compared with those in the RRO group (p <0.01).Figure 1\nEffects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n\nEffects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n Plasma antioxidative capacity and lipid peroxidation As shown in Figure 2, there were no significant differences in plasma SOD activities among various rapeseed oil groups (p >0.05). Animals in CP, DCP and MPCP groups displayed significantly higher GPx activities (p <0.05, 0.05 and 0.01, respectively) and rats in DCP and MPCP groups had marked enhancement of CAT activities (p <0.05 and 0.01, respectively) when compared with their counterparts in RRO group. Besides, plasma GSH levels were also found to be elevated in CP and MPCP groups as compared to that in RRO group (p <0.05 and 0.01, respectively). When plasma TBARS were evaluated as the marker of lipid peroxidation, animals in MPCP group revealed markedly lower TBARS levels than that in RRO group (p <0.01).Figure 2\nEffects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n\nEffects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\nAs shown in Figure 2, there were no significant differences in plasma SOD activities among various rapeseed oil groups (p >0.05). Animals in CP, DCP and MPCP groups displayed significantly higher GPx activities (p <0.05, 0.05 and 0.01, respectively) and rats in DCP and MPCP groups had marked enhancement of CAT activities (p <0.05 and 0.01, respectively) when compared with their counterparts in RRO group. Besides, plasma GSH levels were also found to be elevated in CP and MPCP groups as compared to that in RRO group (p <0.05 and 0.01, respectively). When plasma TBARS were evaluated as the marker of lipid peroxidation, animals in MPCP group revealed markedly lower TBARS levels than that in RRO group (p <0.01).Figure 2\nEffects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n\nEffects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n Plasma inflammatory When the plasma IL-6 and CRP levels were examined as the systemic markers for inflammation, both of them were affected by the micronutrient contents of experimental oils which have been shown in Figure 3. The plasma levels of IL-6 in DCP and MPCP groups (p <0.01) as well as CRP in CP and MPCP groups (p <0.05 and 0.01, respectively) were significantly lower than those in RRO group.Figure 3\nEffects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n\nEffects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\nWhen the plasma IL-6 and CRP levels were examined as the systemic markers for inflammation, both of them were affected by the micronutrient contents of experimental oils which have been shown in Figure 3. The plasma levels of IL-6 in DCP and MPCP groups (p <0.01) as well as CRP in CP and MPCP groups (p <0.05 and 0.01, respectively) were significantly lower than those in RRO group.Figure 3\nEffects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n\nEffects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.", "As can be seen in Figure 1, the plasma TG levels showed significant decreases in CP and MPCP groups than RRO group (p <0.05 and 0.01, respectively). Although compatible HDL-C levels in plasma were observed among all groups (p >0.05), animals in MPCP group exhibited marked decline in TC and LDL-C levels as well as the ratio of LDL-C/HDL-C in plasma compared with those in the RRO group (p <0.01).Figure 1\nEffects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n\nEffects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.", "As shown in Figure 2, there were no significant differences in plasma SOD activities among various rapeseed oil groups (p >0.05). Animals in CP, DCP and MPCP groups displayed significantly higher GPx activities (p <0.05, 0.05 and 0.01, respectively) and rats in DCP and MPCP groups had marked enhancement of CAT activities (p <0.05 and 0.01, respectively) when compared with their counterparts in RRO group. Besides, plasma GSH levels were also found to be elevated in CP and MPCP groups as compared to that in RRO group (p <0.05 and 0.01, respectively). When plasma TBARS were evaluated as the marker of lipid peroxidation, animals in MPCP group revealed markedly lower TBARS levels than that in RRO group (p <0.01).Figure 2\nEffects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n\nEffects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.", "When the plasma IL-6 and CRP levels were examined as the systemic markers for inflammation, both of them were affected by the micronutrient contents of experimental oils which have been shown in Figure 3. The plasma levels of IL-6 in DCP and MPCP groups (p <0.01) as well as CRP in CP and MPCP groups (p <0.05 and 0.01, respectively) were significantly lower than those in RRO group.Figure 3\nEffects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.\n\nEffects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group.", "Although considerable progress has been made in the treatment of CVD with drug therapy over the past decades, this disease still remains the dominant epidemic in the world. It is widely understood that high fat diets, especially saturated fat, are implicated in the onset and development of CVD. High fat intake leads to plasma lipid abnormalities [20], including hypertriglyceridemia and hypercholesterolemia, oxidant stress [20] as well as low-grade system inflammation [21], which are major risk factors for CVD development [1–3].\nAfter most of the erucic acid is removed by genetic engineering, the production and consumption of rapeseed oil leaped into prominence. Rapeseed oil ingestion has shown beneficial effects for CVD prevention. For example, replacing dairy fat with rapeseed oil can cause rapid and clinically relevant reductions in serum TG, TC, LDL-C and the ratio of LDL-C/HDL-C for hyperlipidaemic individuals [22]. The lipid-lowering efficacy of refined rapeseed oil is related to the sufficient amounts of alpha-linolenic acid (ALA) [23, 24]. ALA has been reported to suppress the expression and activities of many hepatic fatty acid syntheses such as fatty acid synthase (FAS), malic enzyme and glucose 6-phosphate dehydrogenase [25, 26]. On the other hand, ALA also sharply upregulates hepatic peroxisomal and mitochondrial fatty acid oxidation rate by increasing the expression and activities of a series of fatty acid oxidation enzymes [26, 27]. In addition, ALA has been shown to enhance hepatic LDL-receptor expression and cholesterol catabolism/output [28].\nProcessing technologies decisively and directly have an influence on the quantity of micronutrients in oils. In this study, all optimized rapeseed oils obtained with new processing technologies contain more micronutrients and it is noteworthy that MPCP made the greatest micronutrient retention in oil. These bioactive compounds act synergistically with each other and exert more potent biological effects in combination than as single nutrients. As predicted, the optimized rapeseed oils provided additional hypolipidaemic effects than refined rapeseed oil and these endogenous micronutrients should responsible for the apparent boon. Phenols have been shown to reduce plasma TG, TC and LDL-C by altering hepatic triglyceride assembly and secretion, cholesterol absorption and the processing of lipoproteins in plasma [11]. Phospholipids, another dramatically increased cardiovascular protective micronutrients in optimized rapeseed oils, have been consistently demonstrated to have the ability to reduce plasma triglyceride and cholesterol [29]. Phytosterols have a similar chemical structure with cholesterol but themselves are absorbed only in trace amounts [30], thus they inhibit cholesterol absorption including recirculating endogenous biliary cholesterol which is a key step in cholesterol elimination [30]. In addition, the hypolipidaemic effects of the phytosterols were also associated with the down-regulation of hepatic acyl CoA:cholesterol acytransferase activity [31] and the increasing LDL receptor expression [32].\nThe imbalance between the cellular free radical formation and the antioxidant defense leads to oxidative stress. The relative excessive production of free radicals can attack and denature many different cellular components, including lipids, proteins and DNA, which initiates the processes of atherogenesis through cell dysfunction [33]. In fact, oxidative stress is the unifying mechanism for many CVD risk factors [34]. For example, native LDL becomes oxidized in response to free radicals leading to the formation of oxidized LDL [12, 34] which plays an important role in the genesis and progression of atherosclerosis [12]. However, the deleterious effects of oxidative stress can be prevented by enzymatic and non-enzymatic antioxidant defense mechanism. In mammals, the most important antioxidant enzymes include SOD which converts superoxide to hydrogen peroxide, GPx and CAT which are responsible for converting hydrogen peroxide to water [35]. GSH is a very important non-enzymatic antioxidant, which can react directly with free radical or act an electron donor in the reduction of peroxides catalyzed by GPx [36]. The main phenolic compounds in rapeseed oil are sinapic acid and its derivatives [37]. Sinapic acid can efficiently scavenge free radicals through an electron donation mechanism [38]. Canolol (4-Vinylsyringol) is one of derivatives of sinapic acid and the mainly phenols in optimized rapeseed oils, which is more efficient as an radical scavenger than many other antioxidants, including α-tocopherol, vitamin C, β-carotene, rutin, and quercetin [39]. Tocopherol is also well known to acts as a powerful antioxidant by breaking chain reactions propagated by free radicals. Besides, the increased micronutrient contents in optimized rapeseed oils were accompanied with the marked increase of the plasma antioxidant enzymes CAT and GPx activities as well as GSH contents in the present study. All of these indicated that the micronutrients in optimized rapeseed oils had abilities to enhance the antioxidant defense system. As results, MPCP oil which possesses the highest micronutrients contents had appreciable ability to reduce plasma lipid peroxidation level. Similar positive effects were also observed by elevating micronutrients levels in oils with different manners [19, 40–42].\nRecent advances in both the basic and clinical science have recognized the critical role of inflammation in all stages of atherosclerosis [43–45]. Various proinflammatory risk factors (oxidized LDL, infectious agents, etc.) can trigger the production of proinflammatory cytokines which contribute to development and progression of atherosclerosis. IL-6 and CRP are two of the most important proinflammatory cytokines, and both of which have been served as inflammatory markers for evaluation of atherosclerotic risk [12, 46–48]. The enhancement of micronutrients in optimized rapeseed oils in the present study tended to reduce the levels of plasma IL-6 and CRP, and further, significant decreases of both inflammation markers were observed with the consumption of MPCP oil. Both sinapic acid and canolol have been reported to suppresses the expression of many proinflammatory mediators including inducible nitric oxide synthase, cyclooxygenase-2, tumor necrosis factor-α, and interleukin-1β via NF-κB inactivation and thus exert their anti-inflammatory effects [49, 50]. Tocopherol also exerts anti-inflammatory properties by reducing many biomarkers of inflammation in atherosclerosis [12]. Besides, since free radicals mediate many signaling pathways which underlie vascular inflammation in atherogenesis [51], all these antioxidants exert actions as inflammation preventive agents via antioxidation.\nIn conclusion, the optimized rapeseed oils produced by some new processing technologies have the abilities to improve plasma oxidative stress, lipid profile and inflammation in high fat diet fed rats and these positive effects were more pronounced for MPCC oil due to the most abundant inherent micronutrients in this oil. These results suggested that the optimized rapeseed oils rich in endogenous micronutrients might contribute to prevent atherogenesis and make them very promising functional food in cardiovascular health promotion." ]
[ "intro", "materials|methods", null, null, null, null, null, null, null, "results", null, null, null, "discussion" ]
[ "Optimized rapeseed oils", "Micronutrients", "Atherosclerosis", "Oxidant stress", "Plasma lipids", "Inflammation" ]
Introduction: Cardiovascular disease (CVD) is the leading cause of premature death in most developed and developing countries and it is also an increasingly important source of disability and contributes in large part to the escalating costs of health care. Atherosclerosis, a manifestation of the pathophysiology underlying CVD, constitutes the single most important contributor to this growing burden of this disease. There are definitive evidences to show that oxidant stress [1], lipid abnormalities [2] as well as chronic inflammation [3] have a crucial involvement in both the initiation and the progression of atherosclerosis. Rapeseed is a major oilseed crop in China and many other countries. It contains high-quality oil which is one of the most common and cheapest vegetable oils for human diet. Rapeseed oil has the exceptionally low amount of saturated fatty acids in all commodity edible oils and high level of monounsaturated fatty acids [4]. Besides, this kind of plant oil is also naturally rich in α-linolenic acid and linoleic acid whose ratio are the closest to the optimum to meet the basic requirements of essential fatty acids in the body [5]. In addition to triacylglycerols, rapeseed also contains many healthy bioactive compounds such as phenolic compounds, tocopherols and phytosterols and these endogenous micronutrients have been reported to possess many health benefits or desirable physiological effects in cardiovascular system. For example, by their abilities to scavenge reactive oxygen species (ROS) directly or form complexes with prooxidant metals, these micronutrients possess a potent antioxidant activity and the various bioavailable antioxidants present in rapeseed oil work in concert to upgrade the complex antioxidant network which increase antioxidant capacity higher than that provided by each separate compound [6–8]. Phytosterols have been reported to inhibit cholesterol absorption and thus reduce circulating levels of total (TC) and low density lipoprotein cholesterol (LDL-C) [9]. Previous studies have also shown an independent effect of phenolics improving plasma lipid profiles [10, 11]. Also, all these compounds are known to have antiinflammatory effects [11–13]. The beneficial effects of these inherent micronutrients might contribute to prevent the initiation and development of atherosclerosis. However, the conventional industrial processes (extraction and refining) lead to substantial losses of these cardiovascular protective micronutrients. In order to improve on the desirable components retention and then to develop new healthy oils, some new processing technologies have been developed recently. The aim of this study is to determine the effects of the various endogenous micronutrient-enriched optimized rapeseed oils on atherosclerosis risk factors in rats fed a high-fat diet. Materials and methods: Oils preparation Rapeseed oils were produced with different technical procedures. The refined rapeseed oil (RRO) was prepared with conventional extraction and refining processing technology. Other three rapeseed oil processing technologies were applied to obtain high levels of endogenous micronutrients: cold pressing (CP), dehulling-cold pressing (DCP) and microwave pretreatment-cold pressing (MPCP). The fatty acid compositions and endogenous micronutrients contents in different rapeseed oil were shown in Tables 1 and 2, respectively.Table 1 Fatty acid compositions in different rapeseed oils Fatty acid (wt.%)RROCPDCPMPCPPalmitic acid (C16:0)2.4132.52.4852.44Stearic acid (C18:0)3.6673.7693.8463.548Oleic acid (C18:1)66.1966.07566.28766.561Linoleic acid (C18:2)16.82216.79817.08816.447Linolenic acid (C18:3)9.1469.2818.4639.431Table 2 Endogenous micronutrients contents in different rapeseed oils mg/kg oilRROCPDCPMPCPPhenols (in eq., sinapic acid)83443645Of which canololND*107167816Phytosterols95929902883411027Tocopherol461541594600Phospholipids226005901330*ND, not detected. Fatty acid compositions in different rapeseed oils Endogenous micronutrients contents in different rapeseed oils *ND, not detected. Rapeseed oils were produced with different technical procedures. The refined rapeseed oil (RRO) was prepared with conventional extraction and refining processing technology. Other three rapeseed oil processing technologies were applied to obtain high levels of endogenous micronutrients: cold pressing (CP), dehulling-cold pressing (DCP) and microwave pretreatment-cold pressing (MPCP). The fatty acid compositions and endogenous micronutrients contents in different rapeseed oil were shown in Tables 1 and 2, respectively.Table 1 Fatty acid compositions in different rapeseed oils Fatty acid (wt.%)RROCPDCPMPCPPalmitic acid (C16:0)2.4132.52.4852.44Stearic acid (C18:0)3.6673.7693.8463.548Oleic acid (C18:1)66.1966.07566.28766.561Linoleic acid (C18:2)16.82216.79817.08816.447Linolenic acid (C18:3)9.1469.2818.4639.431Table 2 Endogenous micronutrients contents in different rapeseed oils mg/kg oilRROCPDCPMPCPPhenols (in eq., sinapic acid)83443645Of which canololND*107167816Phytosterols95929902883411027Tocopherol461541594600Phospholipids226005901330*ND, not detected. Fatty acid compositions in different rapeseed oils Endogenous micronutrients contents in different rapeseed oils *ND, not detected. Animals and diets Forty male Wister rats, initially weighing 150–170 g, were obtained from Vital River Laboratory Animal Center (Beijing, China). The rats were housed individually and maintained at a controlled ambient temperature (24 ± 1°C) under diurnal conditions (light–dark: 08:00–20:00) with access to laboratory chow and tap water ad libitum. After the rats were acclimated for 1 week, animals were randomly divided into four groups of 10 rats each, consisting of RRO, CP, DCP and MPCP groups. The high-fat diet contained 20% casein, 35% maize starch, 15% glucose, 5% cellulose, 3.5% mineral mixture (AIN-93 M), 1% vitamin mixture (AIN-93 M), 0.2% choline bitartrate, 0.3% DL-methionine and 20% fat. The fat in the diet was provided by different rapeseed oils mentioned above. All animals were weighed twice a week and food intake was measured weekly. The animals were cared for in accordance with the Guiding Principles in the Care and Use of Animals. The experiment was approved by the Oil Crops Research Institute Council on Animal Care Committee, Chinese Academy of Agricultural Sciences. Forty male Wister rats, initially weighing 150–170 g, were obtained from Vital River Laboratory Animal Center (Beijing, China). The rats were housed individually and maintained at a controlled ambient temperature (24 ± 1°C) under diurnal conditions (light–dark: 08:00–20:00) with access to laboratory chow and tap water ad libitum. After the rats were acclimated for 1 week, animals were randomly divided into four groups of 10 rats each, consisting of RRO, CP, DCP and MPCP groups. The high-fat diet contained 20% casein, 35% maize starch, 15% glucose, 5% cellulose, 3.5% mineral mixture (AIN-93 M), 1% vitamin mixture (AIN-93 M), 0.2% choline bitartrate, 0.3% DL-methionine and 20% fat. The fat in the diet was provided by different rapeseed oils mentioned above. All animals were weighed twice a week and food intake was measured weekly. The animals were cared for in accordance with the Guiding Principles in the Care and Use of Animals. The experiment was approved by the Oil Crops Research Institute Council on Animal Care Committee, Chinese Academy of Agricultural Sciences. Blood processing After 10 weeks of treatment, rats were fasted for 16 hours and then killed under anaesthesia, blood was collected in the presence of sodium heparin from the heart immediately. Blood samples were centrifuged at 1500 g (10 min, 4°C) and the plasma was stored at -80°C until analysis. After 10 weeks of treatment, rats were fasted for 16 hours and then killed under anaesthesia, blood was collected in the presence of sodium heparin from the heart immediately. Blood samples were centrifuged at 1500 g (10 min, 4°C) and the plasma was stored at -80°C until analysis. Plasma lipids analysis The plasma triglyeride (TG), TC, LDL-C and high-density lipoprotein cholesterol (HDL-C) levels were determined with commercial kits (Wako, Japan) by Hitachi 7020 full-automatic biochemical analyzer (Japan). The plasma triglyeride (TG), TC, LDL-C and high-density lipoprotein cholesterol (HDL-C) levels were determined with commercial kits (Wako, Japan) by Hitachi 7020 full-automatic biochemical analyzer (Japan). Assay of plasma antioxidant capacity and lipid peroxidation Superoxide dismutases (SOD) activity was estimated according to the method of Kono [14]. Catalase (CAT) activity was measured basing on the method of Goth [15]. Glutathione peroxidase (GPx) activity was determined by the method of Sazuka [16]. The glutathione (GSH) content was assayed by the method of Moron [17]. Thiobarbituric acid reactive substances (TBARS) level was assayed by the method of Buege [18]. The detection procedure of these enzymes activities has been described in detail in our preceding report [19]. Superoxide dismutases (SOD) activity was estimated according to the method of Kono [14]. Catalase (CAT) activity was measured basing on the method of Goth [15]. Glutathione peroxidase (GPx) activity was determined by the method of Sazuka [16]. The glutathione (GSH) content was assayed by the method of Moron [17]. Thiobarbituric acid reactive substances (TBARS) level was assayed by the method of Buege [18]. The detection procedure of these enzymes activities has been described in detail in our preceding report [19]. Assay of plasma inflammatory markers The plasma interleukin 6 (IL-6) and C-reactive protein (CRP) levels were measured by means of commercially available Rat CRP ELISA kit (Abcam, Cambridge, MA) and Rat IL-6 ELISA kit (Abcam, Cambridge, MA), respectively. All the procedures and conditions were consistent with the instructions of these kits. The plasma interleukin 6 (IL-6) and C-reactive protein (CRP) levels were measured by means of commercially available Rat CRP ELISA kit (Abcam, Cambridge, MA) and Rat IL-6 ELISA kit (Abcam, Cambridge, MA), respectively. All the procedures and conditions were consistent with the instructions of these kits. Statistical analyses Values are presented as mean ± SEM (standard error of the mean). The data were analyzed by one-way ANOVA, followed by the Fisher PLSD post hoc test if the overall differences were significant (p <0.05). All statistical analyses were performed using SPSS 13.0 statistical software (SPSS Inc., Chicago, IL) and a difference was considered significant when p <0.05. Values are presented as mean ± SEM (standard error of the mean). The data were analyzed by one-way ANOVA, followed by the Fisher PLSD post hoc test if the overall differences were significant (p <0.05). All statistical analyses were performed using SPSS 13.0 statistical software (SPSS Inc., Chicago, IL) and a difference was considered significant when p <0.05. Oils preparation: Rapeseed oils were produced with different technical procedures. The refined rapeseed oil (RRO) was prepared with conventional extraction and refining processing technology. Other three rapeseed oil processing technologies were applied to obtain high levels of endogenous micronutrients: cold pressing (CP), dehulling-cold pressing (DCP) and microwave pretreatment-cold pressing (MPCP). The fatty acid compositions and endogenous micronutrients contents in different rapeseed oil were shown in Tables 1 and 2, respectively.Table 1 Fatty acid compositions in different rapeseed oils Fatty acid (wt.%)RROCPDCPMPCPPalmitic acid (C16:0)2.4132.52.4852.44Stearic acid (C18:0)3.6673.7693.8463.548Oleic acid (C18:1)66.1966.07566.28766.561Linoleic acid (C18:2)16.82216.79817.08816.447Linolenic acid (C18:3)9.1469.2818.4639.431Table 2 Endogenous micronutrients contents in different rapeseed oils mg/kg oilRROCPDCPMPCPPhenols (in eq., sinapic acid)83443645Of which canololND*107167816Phytosterols95929902883411027Tocopherol461541594600Phospholipids226005901330*ND, not detected. Fatty acid compositions in different rapeseed oils Endogenous micronutrients contents in different rapeseed oils *ND, not detected. Animals and diets: Forty male Wister rats, initially weighing 150–170 g, were obtained from Vital River Laboratory Animal Center (Beijing, China). The rats were housed individually and maintained at a controlled ambient temperature (24 ± 1°C) under diurnal conditions (light–dark: 08:00–20:00) with access to laboratory chow and tap water ad libitum. After the rats were acclimated for 1 week, animals were randomly divided into four groups of 10 rats each, consisting of RRO, CP, DCP and MPCP groups. The high-fat diet contained 20% casein, 35% maize starch, 15% glucose, 5% cellulose, 3.5% mineral mixture (AIN-93 M), 1% vitamin mixture (AIN-93 M), 0.2% choline bitartrate, 0.3% DL-methionine and 20% fat. The fat in the diet was provided by different rapeseed oils mentioned above. All animals were weighed twice a week and food intake was measured weekly. The animals were cared for in accordance with the Guiding Principles in the Care and Use of Animals. The experiment was approved by the Oil Crops Research Institute Council on Animal Care Committee, Chinese Academy of Agricultural Sciences. Blood processing: After 10 weeks of treatment, rats were fasted for 16 hours and then killed under anaesthesia, blood was collected in the presence of sodium heparin from the heart immediately. Blood samples were centrifuged at 1500 g (10 min, 4°C) and the plasma was stored at -80°C until analysis. Plasma lipids analysis: The plasma triglyeride (TG), TC, LDL-C and high-density lipoprotein cholesterol (HDL-C) levels were determined with commercial kits (Wako, Japan) by Hitachi 7020 full-automatic biochemical analyzer (Japan). Assay of plasma antioxidant capacity and lipid peroxidation: Superoxide dismutases (SOD) activity was estimated according to the method of Kono [14]. Catalase (CAT) activity was measured basing on the method of Goth [15]. Glutathione peroxidase (GPx) activity was determined by the method of Sazuka [16]. The glutathione (GSH) content was assayed by the method of Moron [17]. Thiobarbituric acid reactive substances (TBARS) level was assayed by the method of Buege [18]. The detection procedure of these enzymes activities has been described in detail in our preceding report [19]. Assay of plasma inflammatory markers: The plasma interleukin 6 (IL-6) and C-reactive protein (CRP) levels were measured by means of commercially available Rat CRP ELISA kit (Abcam, Cambridge, MA) and Rat IL-6 ELISA kit (Abcam, Cambridge, MA), respectively. All the procedures and conditions were consistent with the instructions of these kits. Statistical analyses: Values are presented as mean ± SEM (standard error of the mean). The data were analyzed by one-way ANOVA, followed by the Fisher PLSD post hoc test if the overall differences were significant (p <0.05). All statistical analyses were performed using SPSS 13.0 statistical software (SPSS Inc., Chicago, IL) and a difference was considered significant when p <0.05. Results: Plasma lipids As can be seen in Figure 1, the plasma TG levels showed significant decreases in CP and MPCP groups than RRO group (p <0.05 and 0.01, respectively). Although compatible HDL-C levels in plasma were observed among all groups (p >0.05), animals in MPCP group exhibited marked decline in TC and LDL-C levels as well as the ratio of LDL-C/HDL-C in plasma compared with those in the RRO group (p <0.01).Figure 1 Effects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. As can be seen in Figure 1, the plasma TG levels showed significant decreases in CP and MPCP groups than RRO group (p <0.05 and 0.01, respectively). Although compatible HDL-C levels in plasma were observed among all groups (p >0.05), animals in MPCP group exhibited marked decline in TC and LDL-C levels as well as the ratio of LDL-C/HDL-C in plasma compared with those in the RRO group (p <0.01).Figure 1 Effects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Plasma antioxidative capacity and lipid peroxidation As shown in Figure 2, there were no significant differences in plasma SOD activities among various rapeseed oil groups (p >0.05). Animals in CP, DCP and MPCP groups displayed significantly higher GPx activities (p <0.05, 0.05 and 0.01, respectively) and rats in DCP and MPCP groups had marked enhancement of CAT activities (p <0.05 and 0.01, respectively) when compared with their counterparts in RRO group. Besides, plasma GSH levels were also found to be elevated in CP and MPCP groups as compared to that in RRO group (p <0.05 and 0.01, respectively). When plasma TBARS were evaluated as the marker of lipid peroxidation, animals in MPCP group revealed markedly lower TBARS levels than that in RRO group (p <0.01).Figure 2 Effects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. As shown in Figure 2, there were no significant differences in plasma SOD activities among various rapeseed oil groups (p >0.05). Animals in CP, DCP and MPCP groups displayed significantly higher GPx activities (p <0.05, 0.05 and 0.01, respectively) and rats in DCP and MPCP groups had marked enhancement of CAT activities (p <0.05 and 0.01, respectively) when compared with their counterparts in RRO group. Besides, plasma GSH levels were also found to be elevated in CP and MPCP groups as compared to that in RRO group (p <0.05 and 0.01, respectively). When plasma TBARS were evaluated as the marker of lipid peroxidation, animals in MPCP group revealed markedly lower TBARS levels than that in RRO group (p <0.01).Figure 2 Effects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Plasma inflammatory When the plasma IL-6 and CRP levels were examined as the systemic markers for inflammation, both of them were affected by the micronutrient contents of experimental oils which have been shown in Figure 3. The plasma levels of IL-6 in DCP and MPCP groups (p <0.01) as well as CRP in CP and MPCP groups (p <0.05 and 0.01, respectively) were significantly lower than those in RRO group.Figure 3 Effects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. When the plasma IL-6 and CRP levels were examined as the systemic markers for inflammation, both of them were affected by the micronutrient contents of experimental oils which have been shown in Figure 3. The plasma levels of IL-6 in DCP and MPCP groups (p <0.01) as well as CRP in CP and MPCP groups (p <0.05 and 0.01, respectively) were significantly lower than those in RRO group.Figure 3 Effects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Plasma lipids: As can be seen in Figure 1, the plasma TG levels showed significant decreases in CP and MPCP groups than RRO group (p <0.05 and 0.01, respectively). Although compatible HDL-C levels in plasma were observed among all groups (p >0.05), animals in MPCP group exhibited marked decline in TC and LDL-C levels as well as the ratio of LDL-C/HDL-C in plasma compared with those in the RRO group (p <0.01).Figure 1 Effects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on various plasma lipid parameters (TG, TC, LDL-C and HDL-C) and on the ratios of plasma LDL-C/HDL-C of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Plasma antioxidative capacity and lipid peroxidation: As shown in Figure 2, there were no significant differences in plasma SOD activities among various rapeseed oil groups (p >0.05). Animals in CP, DCP and MPCP groups displayed significantly higher GPx activities (p <0.05, 0.05 and 0.01, respectively) and rats in DCP and MPCP groups had marked enhancement of CAT activities (p <0.05 and 0.01, respectively) when compared with their counterparts in RRO group. Besides, plasma GSH levels were also found to be elevated in CP and MPCP groups as compared to that in RRO group (p <0.05 and 0.01, respectively). When plasma TBARS were evaluated as the marker of lipid peroxidation, animals in MPCP group revealed markedly lower TBARS levels than that in RRO group (p <0.01).Figure 2 Effects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on antioxidant enzymes (SOD, CAT and GPx) activities, GSH and TBARS contents in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Plasma inflammatory: When the plasma IL-6 and CRP levels were examined as the systemic markers for inflammation, both of them were affected by the micronutrient contents of experimental oils which have been shown in Figure 3. The plasma levels of IL-6 in DCP and MPCP groups (p <0.01) as well as CRP in CP and MPCP groups (p <0.05 and 0.01, respectively) were significantly lower than those in RRO group.Figure 3 Effects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Effects of optimized rapeseed oils on IL-6 and CRP levels in plasma of rats fed a high-fat diet. RRO: the refined rapeseed oil group; CP: cold pressing rapeseed oil group; DCP: dehulling-cold pressing rapeseed oil group; MPCP: microwave pretreatment-cold pressing rapeseed oil group. Bars represent the mean ± SEM from 10 animals in each group. *p <0.05 and **p <0.01 compared to the RRO group. Discussion: Although considerable progress has been made in the treatment of CVD with drug therapy over the past decades, this disease still remains the dominant epidemic in the world. It is widely understood that high fat diets, especially saturated fat, are implicated in the onset and development of CVD. High fat intake leads to plasma lipid abnormalities [20], including hypertriglyceridemia and hypercholesterolemia, oxidant stress [20] as well as low-grade system inflammation [21], which are major risk factors for CVD development [1–3]. After most of the erucic acid is removed by genetic engineering, the production and consumption of rapeseed oil leaped into prominence. Rapeseed oil ingestion has shown beneficial effects for CVD prevention. For example, replacing dairy fat with rapeseed oil can cause rapid and clinically relevant reductions in serum TG, TC, LDL-C and the ratio of LDL-C/HDL-C for hyperlipidaemic individuals [22]. The lipid-lowering efficacy of refined rapeseed oil is related to the sufficient amounts of alpha-linolenic acid (ALA) [23, 24]. ALA has been reported to suppress the expression and activities of many hepatic fatty acid syntheses such as fatty acid synthase (FAS), malic enzyme and glucose 6-phosphate dehydrogenase [25, 26]. On the other hand, ALA also sharply upregulates hepatic peroxisomal and mitochondrial fatty acid oxidation rate by increasing the expression and activities of a series of fatty acid oxidation enzymes [26, 27]. In addition, ALA has been shown to enhance hepatic LDL-receptor expression and cholesterol catabolism/output [28]. Processing technologies decisively and directly have an influence on the quantity of micronutrients in oils. In this study, all optimized rapeseed oils obtained with new processing technologies contain more micronutrients and it is noteworthy that MPCP made the greatest micronutrient retention in oil. These bioactive compounds act synergistically with each other and exert more potent biological effects in combination than as single nutrients. As predicted, the optimized rapeseed oils provided additional hypolipidaemic effects than refined rapeseed oil and these endogenous micronutrients should responsible for the apparent boon. Phenols have been shown to reduce plasma TG, TC and LDL-C by altering hepatic triglyceride assembly and secretion, cholesterol absorption and the processing of lipoproteins in plasma [11]. Phospholipids, another dramatically increased cardiovascular protective micronutrients in optimized rapeseed oils, have been consistently demonstrated to have the ability to reduce plasma triglyceride and cholesterol [29]. Phytosterols have a similar chemical structure with cholesterol but themselves are absorbed only in trace amounts [30], thus they inhibit cholesterol absorption including recirculating endogenous biliary cholesterol which is a key step in cholesterol elimination [30]. In addition, the hypolipidaemic effects of the phytosterols were also associated with the down-regulation of hepatic acyl CoA:cholesterol acytransferase activity [31] and the increasing LDL receptor expression [32]. The imbalance between the cellular free radical formation and the antioxidant defense leads to oxidative stress. The relative excessive production of free radicals can attack and denature many different cellular components, including lipids, proteins and DNA, which initiates the processes of atherogenesis through cell dysfunction [33]. In fact, oxidative stress is the unifying mechanism for many CVD risk factors [34]. For example, native LDL becomes oxidized in response to free radicals leading to the formation of oxidized LDL [12, 34] which plays an important role in the genesis and progression of atherosclerosis [12]. However, the deleterious effects of oxidative stress can be prevented by enzymatic and non-enzymatic antioxidant defense mechanism. In mammals, the most important antioxidant enzymes include SOD which converts superoxide to hydrogen peroxide, GPx and CAT which are responsible for converting hydrogen peroxide to water [35]. GSH is a very important non-enzymatic antioxidant, which can react directly with free radical or act an electron donor in the reduction of peroxides catalyzed by GPx [36]. The main phenolic compounds in rapeseed oil are sinapic acid and its derivatives [37]. Sinapic acid can efficiently scavenge free radicals through an electron donation mechanism [38]. Canolol (4-Vinylsyringol) is one of derivatives of sinapic acid and the mainly phenols in optimized rapeseed oils, which is more efficient as an radical scavenger than many other antioxidants, including α-tocopherol, vitamin C, β-carotene, rutin, and quercetin [39]. Tocopherol is also well known to acts as a powerful antioxidant by breaking chain reactions propagated by free radicals. Besides, the increased micronutrient contents in optimized rapeseed oils were accompanied with the marked increase of the plasma antioxidant enzymes CAT and GPx activities as well as GSH contents in the present study. All of these indicated that the micronutrients in optimized rapeseed oils had abilities to enhance the antioxidant defense system. As results, MPCP oil which possesses the highest micronutrients contents had appreciable ability to reduce plasma lipid peroxidation level. Similar positive effects were also observed by elevating micronutrients levels in oils with different manners [19, 40–42]. Recent advances in both the basic and clinical science have recognized the critical role of inflammation in all stages of atherosclerosis [43–45]. Various proinflammatory risk factors (oxidized LDL, infectious agents, etc.) can trigger the production of proinflammatory cytokines which contribute to development and progression of atherosclerosis. IL-6 and CRP are two of the most important proinflammatory cytokines, and both of which have been served as inflammatory markers for evaluation of atherosclerotic risk [12, 46–48]. The enhancement of micronutrients in optimized rapeseed oils in the present study tended to reduce the levels of plasma IL-6 and CRP, and further, significant decreases of both inflammation markers were observed with the consumption of MPCP oil. Both sinapic acid and canolol have been reported to suppresses the expression of many proinflammatory mediators including inducible nitric oxide synthase, cyclooxygenase-2, tumor necrosis factor-α, and interleukin-1β via NF-κB inactivation and thus exert their anti-inflammatory effects [49, 50]. Tocopherol also exerts anti-inflammatory properties by reducing many biomarkers of inflammation in atherosclerosis [12]. Besides, since free radicals mediate many signaling pathways which underlie vascular inflammation in atherogenesis [51], all these antioxidants exert actions as inflammation preventive agents via antioxidation. In conclusion, the optimized rapeseed oils produced by some new processing technologies have the abilities to improve plasma oxidative stress, lipid profile and inflammation in high fat diet fed rats and these positive effects were more pronounced for MPCC oil due to the most abundant inherent micronutrients in this oil. These results suggested that the optimized rapeseed oils rich in endogenous micronutrients might contribute to prevent atherogenesis and make them very promising functional food in cardiovascular health promotion.
Background: Micronutrients in rapeseed such as polyphenols, tocopherols, phytosterols and phospholipids in rapeseed exert potential benefit to atherosclerosis. Some part of these healthy components substantially lost during the conventional refining processing. Thus some new processing technologies have been developed to produce various endogenous micronutrient-enriched optimized rapeseed oils. The aim of this study is to assess whether optimized rapeseed oils have positive effects on the atherosclerosis risk factors in rats fed a high-fat diet. Methods: Rats received experiment diets containing 20% fat and refined rapeseed oil or optimized rapeseed oils obtained with various processing technologies as lipid source. After 10 weeks of treatment, plasma was assayed for oxidative stress, lipid profiles and imflammation. Results: Micronutrients enhancement in optimized rapeseed oils significantly reduced plasma oxidative stress, as evaluated by the significant elevation in the activities of CAT and GPx as well as the level of GSH, and the significant decline in lipid peroxidation. Optimized rapeseed oil with the highest micronutrient contents obtained by microwave pretreatment-cold pressing reduced the levels of TG, TC and LDL-C as well as IL-6 and CRP in plasma. Conclusions: These results suggest that optimized rapeseed oils may contribute to prevent atherogenesis and make them very promising functional food in cardiovascular health promotion.
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[ 168, 227, 63, 46, 108, 63, 76, 322, 348, 261 ]
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[ "rapeseed", "group", "oil", "rapeseed oil", "plasma", "rapeseed oil group", "oil group", "cold", "cold pressing", "pressing" ]
[ "fat rapeseed oil", "antioxidants present rapeseed", "oils atherosclerosis risk", "oils atherosclerosis", "progression atherosclerosis rapeseed" ]
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[CONTENT] Optimized rapeseed oils | Micronutrients | Atherosclerosis | Oxidant stress | Plasma lipids | Inflammation [SUMMARY]
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[CONTENT] Optimized rapeseed oils | Micronutrients | Atherosclerosis | Oxidant stress | Plasma lipids | Inflammation [SUMMARY]
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[CONTENT] Optimized rapeseed oils | Micronutrients | Atherosclerosis | Oxidant stress | Plasma lipids | Inflammation [SUMMARY]
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[CONTENT] Animals | Atherosclerosis | Brassica rapa | C-Reactive Protein | Diet, High-Fat | Drug Evaluation, Preclinical | Fatty Acids, Monounsaturated | Interleukin-6 | Lipid Peroxidation | Lipids | Male | Micronutrients | Plant Extracts | Plant Oils | Rapeseed Oil | Rats, Wistar | Risk Factors [SUMMARY]
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[CONTENT] Animals | Atherosclerosis | Brassica rapa | C-Reactive Protein | Diet, High-Fat | Drug Evaluation, Preclinical | Fatty Acids, Monounsaturated | Interleukin-6 | Lipid Peroxidation | Lipids | Male | Micronutrients | Plant Extracts | Plant Oils | Rapeseed Oil | Rats, Wistar | Risk Factors [SUMMARY]
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[CONTENT] Animals | Atherosclerosis | Brassica rapa | C-Reactive Protein | Diet, High-Fat | Drug Evaluation, Preclinical | Fatty Acids, Monounsaturated | Interleukin-6 | Lipid Peroxidation | Lipids | Male | Micronutrients | Plant Extracts | Plant Oils | Rapeseed Oil | Rats, Wistar | Risk Factors [SUMMARY]
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[CONTENT] fat rapeseed oil | antioxidants present rapeseed | oils atherosclerosis risk | oils atherosclerosis | progression atherosclerosis rapeseed [SUMMARY]
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[CONTENT] fat rapeseed oil | antioxidants present rapeseed | oils atherosclerosis risk | oils atherosclerosis | progression atherosclerosis rapeseed [SUMMARY]
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[CONTENT] fat rapeseed oil | antioxidants present rapeseed | oils atherosclerosis risk | oils atherosclerosis | progression atherosclerosis rapeseed [SUMMARY]
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[CONTENT] rapeseed | group | oil | rapeseed oil | plasma | rapeseed oil group | oil group | cold | cold pressing | pressing [SUMMARY]
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[CONTENT] rapeseed | group | oil | rapeseed oil | plasma | rapeseed oil group | oil group | cold | cold pressing | pressing [SUMMARY]
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[CONTENT] rapeseed | group | oil | rapeseed oil | plasma | rapeseed oil group | oil group | cold | cold pressing | pressing [SUMMARY]
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[CONTENT] atherosclerosis | fatty acids | acids | micronutrients | compounds | cardiovascular | effects | rapeseed | fatty | possess [SUMMARY]
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[CONTENT] group | rapeseed oil group | oil group | rapeseed | cold pressing rapeseed | pressing rapeseed | pressing rapeseed oil | pressing rapeseed oil group | cold pressing rapeseed oil | rapeseed oil [SUMMARY]
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[CONTENT] group | rapeseed | oil | oil group | rapeseed oil group | rapeseed oil | acid | cold pressing | pressing | cold [SUMMARY]
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[CONTENT] ||| ||| ||| [SUMMARY]
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[CONTENT] CAT | GSH ||| TG | TC | IL-6 | CRP [SUMMARY]
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[CONTENT] ||| ||| ||| ||| 20% ||| 10 weeks ||| ||| CAT | GSH ||| TG | TC | IL-6 | CRP ||| [SUMMARY]
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Expression and clinical significance of circular RNA hsa_circ_0003416 in pediatric pulmonary arterial hypertension associated with congenital heart disease.
35165927
Circular RNAs (circRNAs) have been found to be involved in the development of pulmonary arterial hypertension (PAH). However, their diagnostic value in pediatric PAH remains unclear. This study aimed to examine the characteristic expression of the circRNA hsa_circ_0003416 in the plasma of children with PAH caused by congenital heart disease (CHD); the potential of hsa_circ_0003416 as a diagnostic biomarker was also investigated.
BACKGROUND
The plasma expression levels of hsa_circ_0003416 were determined via quantitative reverse transcription-polymerase chain reaction in 50 CHD patients, 50 PAH patients, and 20 healthy subjects; the associations between hsa_circ_0003416 levels and clinical data were analyzed thereafter. Receiver operating characteristic curves were employed to determine the diagnostic capacity of this circRNA.
METHODS
Expression levels of hsa_circ_0003416 in plasma were lower in the PAH-CHD group than in the CHD and healthy control groups (p = 0.009 vs. healthy control group, p = 0.026 vs. CHD group). Moreover, hsa_circ_0003416 was found to be negatively associated with B-type natriuretic peptide (r = -0.342, p = 0.013). In addition, the area under the curve of hsa_circ_0003416 levels in plasma was 0.721 (95% confidence intervals = 0.585-0.857, p = 0.004), suggesting that it has a promising diagnostic value.
RESULTS
Overall, hsa_circ_0003416 was found to be significantly downregulated in children with PAH-CHD and to be potent as a biomarker for PAH-CHD diagnosis.
CONCLUSIONS
[ "Biomarkers", "Child", "Heart Defects, Congenital", "Humans", "Pulmonary Arterial Hypertension", "RNA", "RNA, Circular", "ROC Curve" ]
8993640
INTRODUCTION
Pulmonary arterial hypertension (PAH) is a devastating vascular disorder characterized by an increase in pulmonary vascular resistance (PVR); this eventually evolves into right heart dysfunction and can potentially result in death. 1 , 2  Data reported by China registry studies have indicated that the most frequent cause of PAH in children is congenital heart disease (CHD), 3 with approximately 5%–10% of CHD patients eventually progressing to develop varying degrees of PAH. 4 Due to the lack of specific symptoms at an early stage, the diagnosis of PAH associated with CHD (PAH‐CHD) is often delayed. Patients with CHD have been reported to be diagnosed with PAH approximately 6 years after symptom onset 5 ; occurrence of PAH increases the mortality rate of patients with CHD more than twofold compared with that of patients without PAH. 6 Despite great advancements in treatment, the prognosis of children with PAH‐CHD remains poor. 7  Thus, methods to aid the early diagnosis and effective treatment of PAH‐CHD are urgently required. Currently, cardiac catheterization remains the gold standard for PAH diagnosis, and it can directly assess pulmonary hemodynamics and perform vasoreactivity test. 8 However, this approach may increase the risk of complications, such as puncture injury, arrhythmias, hypertensive crisis, pulmonary embolism, and even death; therefore, it is not suitable for repeated evaluation. 8 Echocardiography is a non‐invasive and widely available tool for patients with PAH‐CHD. However, it is relatively expensive, and its accuracy is influenced by many factors, such as the experience of operator and quality of the equipment. Currently, a specific, inexpensive, and non‐invasive method for screening PAH‐CHD is lacking 9 ; therefore, identification of effective non‐invasive biomarkers for clinical practice is imperative. Circular ribonucleic acids (circRNAs) are an emerging type of endogenous RNAs that are produced by the back‐splicing of pre‐messenger RNA. 10 Previously, circRNAs were considered to be noncoding RNAs. However, recent studies have shown some of them to have translational function. 11 , 12 In contrast to traditional linear RNAs, circRNAs form covalent closed‐loop structures without a 5′‐cap or 3′‐polyadenylate tail. 13  Their unique circular structures protect them from degradation by RNA exonuclease, thereby rendering them stable and abundant in tissues and body fluid. 14 , 15  This makes them promising clinical biomarkers for diseases. CircRNAs can regulate gene expression at the transcriptional and post‐transcriptional levels by interacting with microRNA (miRNA) or RNA‐binding proteins, and can participate in various biological process. 14 , 16  They have also been widely implicated in a variety of diseases, including cardiovascular diseases, diabetes, cancer, and nervous system diseases. 17 , 18 , 19 , 20 Aberrant expression of circRNAs may be involved in the pathogenesis of PAH. 21 , 22 , 23 , 24 However, the potential functions of most circRNAs in PAH have not yet been clarified. The present study aimed to assess the potential of plasma circRNAs in aiding the diagnosis of PAH‐CHD in children. The circRNA hsa_circ_0003416 was selected as a research target based on previous microarray data (GSE171827 in the Gene Expression Omnibus database); it had previously been found to be one of the most downregulated circRNAs in the plasma of PAH‐CHD children. This study, therefore, examined the characteristic expressions of hsa_circ_0003416 in a larger sample size and analyzed its clinical value, with the aim of determining whether hsa_circ_0003416 could possibly serve as a biomarker for PAH‐CHD diagnosis.
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RESULTS
Subject characteristics Among the 120 subjects involved in this study (50 PAH‐CHD patients, 50 CHD patients, and 20 healthy subjects), sex, age, and BMI did not differ significantly across the groups (p > 0.05; Table 2). As shown in Table 3, PAH‐CHD patients had a higher cardiothoracic ratio, systolic pulmonary arterial pressure (sPAP), mPAP, diastolic pulmonary arterial pressure (dPAP), PVR, pulmonary‐to‐systemic flow ratio (QP/QS), and BNP and creatine kinase‐MB (CK‐MB) levels than CHD patients (p < 0.05) while displaying a lower systolic blood pressure (SBP), diastolic blood pressure (DBP), ejection fraction (EF), and cardiac index (CI); no difference was noted in the left ventricular end‐diastolic diameter (LVEDd), mean right atrial pressure, and CHD types between the two groups (p > 0.05). Baseline characteristics of subjects PAH‐CHD group (n = 50) CHD group (n = 50) Healthy group (n = 20) Values expressed show frequency (n); chi‐square or Fisher's exact test was used for analysis. Abbreviations: BMI, body mass index; CHD, congenital heart disease; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease. Clinical characteristics of the patients The number of CHD types are expressed as frequencies (n); Fisher's exact test was used for analysis. The SBP, DBP, EF, LVEDd, cardiothoracic ratio, sPAP, mPAP, and dPAP conformed to normal distributions and are presented as means ± standard deviation; Student's t‐test was used for analysis. mRAP, PVR, QP/QS, CI, BNP, CK‐MB, and hsa_circ_0003416 did not conform to normal distribution; they are presented as medians with interquartile range; Mann–Whitney U‐test was used for analysis. Abbreviations: AORPA, anomalous origin of the right pulmonary artery from the ascending aorta; ASD, atrial septal defect; BNP, B‐type natriuretic peptide; CHD, congenital heart disease; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; LVEDd, left ventricular end‐diastolic diameter; mPAP, mean pulmonary arterial pressure; mRAP, mean right atrial pressure; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease; PDA, patent ductus arteriosus; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure; TAPVR, total anomalous pulmonary venous return; VSD, ventricular septal defect. Among the 120 subjects involved in this study (50 PAH‐CHD patients, 50 CHD patients, and 20 healthy subjects), sex, age, and BMI did not differ significantly across the groups (p > 0.05; Table 2). As shown in Table 3, PAH‐CHD patients had a higher cardiothoracic ratio, systolic pulmonary arterial pressure (sPAP), mPAP, diastolic pulmonary arterial pressure (dPAP), PVR, pulmonary‐to‐systemic flow ratio (QP/QS), and BNP and creatine kinase‐MB (CK‐MB) levels than CHD patients (p < 0.05) while displaying a lower systolic blood pressure (SBP), diastolic blood pressure (DBP), ejection fraction (EF), and cardiac index (CI); no difference was noted in the left ventricular end‐diastolic diameter (LVEDd), mean right atrial pressure, and CHD types between the two groups (p > 0.05). Baseline characteristics of subjects PAH‐CHD group (n = 50) CHD group (n = 50) Healthy group (n = 20) Values expressed show frequency (n); chi‐square or Fisher's exact test was used for analysis. Abbreviations: BMI, body mass index; CHD, congenital heart disease; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease. Clinical characteristics of the patients The number of CHD types are expressed as frequencies (n); Fisher's exact test was used for analysis. The SBP, DBP, EF, LVEDd, cardiothoracic ratio, sPAP, mPAP, and dPAP conformed to normal distributions and are presented as means ± standard deviation; Student's t‐test was used for analysis. mRAP, PVR, QP/QS, CI, BNP, CK‐MB, and hsa_circ_0003416 did not conform to normal distribution; they are presented as medians with interquartile range; Mann–Whitney U‐test was used for analysis. Abbreviations: AORPA, anomalous origin of the right pulmonary artery from the ascending aorta; ASD, atrial septal defect; BNP, B‐type natriuretic peptide; CHD, congenital heart disease; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; LVEDd, left ventricular end‐diastolic diameter; mPAP, mean pulmonary arterial pressure; mRAP, mean right atrial pressure; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease; PDA, patent ductus arteriosus; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure; TAPVR, total anomalous pulmonary venous return; VSD, ventricular septal defect. Validation of hsa_circ_0003416 According to the circBase database, hsa_circ_0003416 (chrX: 12995025–12995149) was identified to be derived from exon three of the thymosin beta 4 X‐linked (TMSB4X) gene, which is 124‐base pair (bp) long. Specific divergent primers of hsa_circ_0003416 were used for qRT‐PCR, specificity being revealed by melting curve having a single peak (Figure 1A) and gel electrophoresis showing a single band of the expected size (Figure 1B). Agarose gel electrophoresis of the RT‐PCR product revealed that divergent primers only amplified hsa_circ_0003416 in cDNA samples, whereas the convergent primers amplified the linear product in both cDNA and gDNA (Figure 1C). Furthermore, the back‐spliced junction of hsa_circ_0003416 was verified by Sanger sequencing (Figure 1D). The results collectively suggested that hsa_circ_0003416 was a circRNA. Validation of hsa_circ_0003416. (A) Melting curve. (B) Gel electrophoresis of the polymerase chain reaction (PCR) product. (C) Divergent primers (◄►) for detecting hsa_circ_0003416 in complementary DNA (cDNA) but not in genomic DNA (gDNA). (d) Sanger sequencing of the back‐spliced junction (↓) of hsa_circ_0003416 According to the circBase database, hsa_circ_0003416 (chrX: 12995025–12995149) was identified to be derived from exon three of the thymosin beta 4 X‐linked (TMSB4X) gene, which is 124‐base pair (bp) long. Specific divergent primers of hsa_circ_0003416 were used for qRT‐PCR, specificity being revealed by melting curve having a single peak (Figure 1A) and gel electrophoresis showing a single band of the expected size (Figure 1B). Agarose gel electrophoresis of the RT‐PCR product revealed that divergent primers only amplified hsa_circ_0003416 in cDNA samples, whereas the convergent primers amplified the linear product in both cDNA and gDNA (Figure 1C). Furthermore, the back‐spliced junction of hsa_circ_0003416 was verified by Sanger sequencing (Figure 1D). The results collectively suggested that hsa_circ_0003416 was a circRNA. Validation of hsa_circ_0003416. (A) Melting curve. (B) Gel electrophoresis of the polymerase chain reaction (PCR) product. (C) Divergent primers (◄►) for detecting hsa_circ_0003416 in complementary DNA (cDNA) but not in genomic DNA (gDNA). (d) Sanger sequencing of the back‐spliced junction (↓) of hsa_circ_0003416 Expression of hsa_circ_0003416 in plasma of PAH‐CHD patients The hsa_circ_0003416 expression levels in plasma were determined in 50 PAH‐CHD cases, 50 CHD cases, and 20 healthy cases by qRT‐PCR, and the levels were found to be lower in the PAH‐CHD group than in the CHD and healthy control groups (p = 0.009 vs. control group, p = 0.026 vs. CHD group). However, no significant difference was detected between the hsa_circ_0003416 levels of the healthy control and that of the CHD groups (Figure 2A). Furthermore, dividing PAH‐CHD patients into three groups according to mPAP (mild: 20–40 mmHg, moderate: 41–55 mmHg, and severe: >55 mmHg) revealed that hsa_circ_0003416 expression levels had no significant difference across the three groups (Figure 2B). Additionally, the PAH‐CHD patients were divided into different cardiac lesion groups (Table 3); there was no significant difference in hsa_circ_0003416 levels across the groups (p > 0.05). Relative hsa_circ_0003416 expression levels. (A) Relative hsa_circ_0003416 expression levels in the plasma of PAH‐CHD patients, CHD patients, and healthy controls. (B) Relative hsa_circ_0003416 expression levels in the plasma of mild, moderate, and severe PAH groups The hsa_circ_0003416 expression levels in plasma were determined in 50 PAH‐CHD cases, 50 CHD cases, and 20 healthy cases by qRT‐PCR, and the levels were found to be lower in the PAH‐CHD group than in the CHD and healthy control groups (p = 0.009 vs. control group, p = 0.026 vs. CHD group). However, no significant difference was detected between the hsa_circ_0003416 levels of the healthy control and that of the CHD groups (Figure 2A). Furthermore, dividing PAH‐CHD patients into three groups according to mPAP (mild: 20–40 mmHg, moderate: 41–55 mmHg, and severe: >55 mmHg) revealed that hsa_circ_0003416 expression levels had no significant difference across the three groups (Figure 2B). Additionally, the PAH‐CHD patients were divided into different cardiac lesion groups (Table 3); there was no significant difference in hsa_circ_0003416 levels across the groups (p > 0.05). Relative hsa_circ_0003416 expression levels. (A) Relative hsa_circ_0003416 expression levels in the plasma of PAH‐CHD patients, CHD patients, and healthy controls. (B) Relative hsa_circ_0003416 expression levels in the plasma of mild, moderate, and severe PAH groups Spearman's correlation analysis of plasma hsa_circ_0003416 and clinical variables The clinical variables, including SBP, DBP, EF, cardiothoracic ratio, sPAP, mPAP, dPAP, PVR, QP/QS, CI, BNP, and CK‐MB, were significantly different between the PAH‐CHD and CHD groups. Further analysis of their correlations with hsa_circ_0003416 expression levels showed hsa_circ_0003416 to be negatively correlated with BNP (r = −0.342, p = 0.013). However, there was no correlation between hsa_circ_0003416 and the other clinical characteristics (Table 4). Correlations of hsa_circ_0003416 with various parameters Abbreviations: BMI, body mass index; BNP, B‐type natriuretic peptide; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; mPAP, mean pulmonary arterial pressure; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure. The clinical variables, including SBP, DBP, EF, cardiothoracic ratio, sPAP, mPAP, dPAP, PVR, QP/QS, CI, BNP, and CK‐MB, were significantly different between the PAH‐CHD and CHD groups. Further analysis of their correlations with hsa_circ_0003416 expression levels showed hsa_circ_0003416 to be negatively correlated with BNP (r = −0.342, p = 0.013). However, there was no correlation between hsa_circ_0003416 and the other clinical characteristics (Table 4). Correlations of hsa_circ_0003416 with various parameters Abbreviations: BMI, body mass index; BNP, B‐type natriuretic peptide; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; mPAP, mean pulmonary arterial pressure; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure. Assessment of the diagnostic potential of hsa_circ_0003416 in patients with PAH‐CHD ROC analysis, for evaluating the potential diagnostic capability of plasma hsa_circ_0003416 levels for PAH‐CHD, revealed that area under the curve (AUC) of plasma hsa_circ_0003416 was 0.721 (95% confidence interval = 0.585–0.857, p = 0.004), with a cutoff value of 0.99. Moreover, the sensitivity was 0.66 and specificity was 0.7 (Figure 3). Multivariate regression analysis was conducted to explore the predictive value of hsa_circ_0003416. The results indicated hsa_circ_0003416 (odds ratio [OR] = 0.015, 95% confidence interval = 0.000–0.597, p = 0.025) as an independent predictor of PAH‐CHD (Table 5). Receiver operating characteristic (ROC) curve of plasma hsa_circ_0003416 Multivariate logistic regression analysis Abbreviations: 95% CI, 95% confidence intervals; B, regression coefficient; BMI, body mass index; BNP, B‐type natriuretic peptide; OR, odds ratio; SE, standard error. ROC analysis, for evaluating the potential diagnostic capability of plasma hsa_circ_0003416 levels for PAH‐CHD, revealed that area under the curve (AUC) of plasma hsa_circ_0003416 was 0.721 (95% confidence interval = 0.585–0.857, p = 0.004), with a cutoff value of 0.99. Moreover, the sensitivity was 0.66 and specificity was 0.7 (Figure 3). Multivariate regression analysis was conducted to explore the predictive value of hsa_circ_0003416. The results indicated hsa_circ_0003416 (odds ratio [OR] = 0.015, 95% confidence interval = 0.000–0.597, p = 0.025) as an independent predictor of PAH‐CHD (Table 5). Receiver operating characteristic (ROC) curve of plasma hsa_circ_0003416 Multivariate logistic regression analysis Abbreviations: 95% CI, 95% confidence intervals; B, regression coefficient; BMI, body mass index; BNP, B‐type natriuretic peptide; OR, odds ratio; SE, standard error. Bioinformatics analysis The circMIR software prediction revealed that hsa_circ_0003416 contained multiple miRNA‐binding sites (Figure 4); the target genes of miRNAs were also predicted. The top 10 GO terms based on the three aspects (biological process [BP], cellular component [CC], and molecular function [MF]) are presented in Figure 5. KEGG pathway analysis indicated that the genes were primarily enriched in pathways associated with cancer. Notably, the forkhead box O signaling pathway was the most significantly enriched pathway. Among the top 11 pathways, the phosphatidylinositol‐3‐kinase and protein kinase B (PI3K‐AKT) and transforming growth factor‐β (TGF‐β) signaling pathways have been proven to be involved in PAH (Figure 6). MicroRNA (miRNA)‐binding sites of hsa_circ_0003416 Gene ontology (GO) analysis of predicted target genes of hsa_circ_0003416 Kyoto Encyclopedia of Genes and Genomes (KEGG) pathway analysis of predicted target genes of hsa_circ_0003416 The circMIR software prediction revealed that hsa_circ_0003416 contained multiple miRNA‐binding sites (Figure 4); the target genes of miRNAs were also predicted. The top 10 GO terms based on the three aspects (biological process [BP], cellular component [CC], and molecular function [MF]) are presented in Figure 5. KEGG pathway analysis indicated that the genes were primarily enriched in pathways associated with cancer. Notably, the forkhead box O signaling pathway was the most significantly enriched pathway. Among the top 11 pathways, the phosphatidylinositol‐3‐kinase and protein kinase B (PI3K‐AKT) and transforming growth factor‐β (TGF‐β) signaling pathways have been proven to be involved in PAH (Figure 6). MicroRNA (miRNA)‐binding sites of hsa_circ_0003416 Gene ontology (GO) analysis of predicted target genes of hsa_circ_0003416 Kyoto Encyclopedia of Genes and Genomes (KEGG) pathway analysis of predicted target genes of hsa_circ_0003416
CONCLUSION
This study determined, for the first time, the expression levels of hsa_circ_0003416 in plasma of PAH‐CHD patients, CHD patients, and healthy subjects in a pediatric population. The obtained results indicated that hsa_circ_0003416 might serve as a candidate biomarker for diagnosing PAH‐CHD. The findings of this study provided new insights into the diagnosis of PAH‐CHD.
[ "INTRODUCTION", "Participants and plasma samples", "RNA and DNA extraction", "Quantitative reverse transcription–polymerase chain reaction", "RT‐PCR", "Bioinformatics analysis", "Statistical analysis", "Subject characteristics", "Validation of hsa_circ_0003416", "Expression of hsa_circ_0003416 in plasma of PAH‐CHD patients", "Spearman's correlation analysis of plasma hsa_circ_0003416 and clinical variables", "Assessment of the diagnostic potential of hsa_circ_0003416 in patients with PAH‐CHD", "Bioinformatics analysis", "AUTHOR CONTRIBUTIONS" ]
[ "Pulmonary arterial hypertension (PAH) is a devastating vascular disorder characterized by an increase in pulmonary vascular resistance (PVR); this eventually evolves into right heart dysfunction and can potentially result in death.\n1\n, \n2\n Data reported by China registry studies have indicated that the most frequent cause of PAH in children is congenital heart disease (CHD),\n3\n with approximately 5%–10% of CHD patients eventually progressing to develop varying degrees of PAH.\n4\n Due to the lack of specific symptoms at an early stage, the diagnosis of PAH associated with CHD (PAH‐CHD) is often delayed. Patients with CHD have been reported to be diagnosed with PAH approximately 6 years after symptom onset\n5\n; occurrence of PAH increases the mortality rate of patients with CHD more than twofold compared with that of patients without PAH.\n6\n Despite great advancements in treatment, the prognosis of children with PAH‐CHD remains poor.\n7\n Thus, methods to aid the early diagnosis and effective treatment of PAH‐CHD are urgently required. Currently, cardiac catheterization remains the gold standard for PAH diagnosis, and it can directly assess pulmonary hemodynamics and perform vasoreactivity test.\n8\n However, this approach may increase the risk of complications, such as puncture injury, arrhythmias, hypertensive crisis, pulmonary embolism, and even death; therefore, it is not suitable for repeated evaluation.\n8\n Echocardiography is a non‐invasive and widely available tool for patients with PAH‐CHD. However, it is relatively expensive, and its accuracy is influenced by many factors, such as the experience of operator and quality of the equipment. Currently, a specific, inexpensive, and non‐invasive method for screening PAH‐CHD is lacking\n9\n; therefore, identification of effective non‐invasive biomarkers for clinical practice is imperative.\nCircular ribonucleic acids (circRNAs) are an emerging type of endogenous RNAs that are produced by the back‐splicing of pre‐messenger RNA.\n10\n Previously, circRNAs were considered to be noncoding RNAs. However, recent studies have shown some of them to have translational function.\n11\n, \n12\n In contrast to traditional linear RNAs, circRNAs form covalent closed‐loop structures without a 5′‐cap or 3′‐polyadenylate tail.\n13\n Their unique circular structures protect them from degradation by RNA exonuclease, thereby rendering them stable and abundant in tissues and body fluid.\n14\n, \n15\n This makes them promising clinical biomarkers for diseases. CircRNAs can regulate gene expression at the transcriptional and post‐transcriptional levels by interacting with microRNA (miRNA) or RNA‐binding proteins, and can participate in various biological process.\n14\n, \n16\n They have also been widely implicated in a variety of diseases, including cardiovascular diseases, diabetes, cancer, and nervous system diseases.\n17\n, \n18\n, \n19\n, \n20\n Aberrant expression of circRNAs may be involved in the pathogenesis of PAH.\n21\n, \n22\n, \n23\n, \n24\n However, the potential functions of most circRNAs in PAH have not yet been clarified.\nThe present study aimed to assess the potential of plasma circRNAs in aiding the diagnosis of PAH‐CHD in children. The circRNA hsa_circ_0003416 was selected as a research target based on previous microarray data (GSE171827 in the Gene Expression Omnibus database); it had previously been found to be one of the most downregulated circRNAs in the plasma of PAH‐CHD children. This study, therefore, examined the characteristic expressions of hsa_circ_0003416 in a larger sample size and analyzed its clinical value, with the aim of determining whether hsa_circ_0003416 could possibly serve as a biomarker for PAH‐CHD diagnosis.", "This study was approved by the Ethics Committee of The First Affiliated Hospital of Guangxi Medical University (No. 2021; KY‐E‐156). A total of 100 CHD children were recruited for this study at the Department of Pediatrics, First Affiliated Hospital of Guangxi Medical University, between January 2020 and March 2021. Parental informed consent was obtained for this study for each subject. The inclusion criteria were as follows: (1) age <14 years and (2) patient underwent cardiac catheterization before intervention. Patients with severe infections, tumors, severe cardiopulmonary dysfunctions, diabetes mellitus, systemic hypertension, cardiomyopathies, liver dysfunctions, or renal failure were excluded. PAH was diagnosed via cardiac catheterization. CHD patients were classified into either the PAH‐CHD group (mean pulmonary artery pressure [mPAP] >20 mmHg, n = 50) or the CHD group (mPAP ≤20 mmHg, n = 50) based on their mPAP.\n25\n Detailed health history, demographic data, laboratory examination, echocardiography, and cardiac catheterization findings were collected. In addition, 20 healthy subjects were recruited as controls. Venous blood (3–5 ml) was drawn from each subject and then centrifuged (1000 g for 15 min at 4°C) to separate the plasma. The samples were then kept at −80°C until further use.", "Total RNA was isolated from plasma samples using the BIOG cfRNA Easy Kit (Changzhou Baidai Biotechnology Co., Ltd.). It was then purified with an RNA purification and concentration kit (Tianmo Biotech) following the manufacturer's protocol. Genomic DNA (gDNA) was extracted using the TIANamp Genomic DNA Kit (Tiangen Biotech). Purity and concentration of RNA and DNA were quantified by spectrophotometry using a NanoDrop 2000 (Thermo Fisher Scientific). RNA/DNA samples with an A260/A280 ratio of 1.8–2.2 were used for subsequent experiments.", "RNA was reverse transcribed into complementary DNA (cDNA) using the GoScript™ Reverse Transcription System Protocol (Promega). A quantitative reverse transcription–polymerase chain reaction (qRT‐PCR) experiment was conducted using the ChamQ™ Universal SYBR qPCR Master mix (Vazyme Biotech) with a 7500 Real‐Time PCR System (Applied Biosystems). The qRT‐PCR reaction mixture (20 μl) contained 0.4 μl each of 10 μM forward and reverse primers, 10 μl of 2× ChamQ Universal SYBR qPCR Master mix, 2 μl of cDNA, and 7.2 μl of ribonuclease (RNase)‐free water. The amplification conditions were as follows: 30 s at 95℃, followed by 40 cycles of 10 s at 95°C, 30 s at 56°C, and 30 s at 72°C. Glyceraldehyde 3‐phosphate dehydrogenase was selected as the internal reference, and relative RNA expression was determined using the 2−ΔΔ\n\nC\n\nt method. Primers (Table 1) were synthesized by Sangon Biotech. The specificity of primers was confirmed using melting curve, agarose gel electrophoresis, and product sequencing analyses.\nPrimer sequences\nAbbreviation: GAPDH, glyceraldehyde 3‐phosphate dehydrogenase.", "To verify the circular characteristics of hsa_circ_0003416, RT‐PCR was performed with divergent and convergent primers using 2× SanTaq PCR Mix (Sangon Biotech), following the manufacturer's protocols. Both cDNA and gDNA were used as templates. The RT‐PCR mix (50 µl) consisted of 2 μl each of 10 μM forward and reverse primers, 25 μl of 2× SanTaq PCR Mix, 2 μl of cDNA/gDNA, and 19 μl of RNase‐free water. The PCR reaction conditions were set according to the manufacturer's recommendations. The amplification products were further verified by 1% agarose gel electrophoresis.", "The circMIR software was used to predict circRNA‐miRNA interactions, based on the RNAhybrid (https://bibiserv.cebitec.uni‐bielefeld.de/rnahybrid/) and miRanda (http://www.microrna.org/) databases. The miRWalk database (http://zmf.umm.uniheidelberg.de/apps/zmf/mirwalk/) was used to predict the target genes of miRNAs targeting hsa_circ_0003416, and the top 30 genes of each miRNA were selected. Gene Ontology (GO) and Kyoto Encyclopedia of Genes and Genomes (KEGG) analyses were conducted using the DAVID database (http://david.abcc.ncifcrf.gov), based on the selected target genes. The GO terms and KEGG pathways with p‐value <0.05 were considered significantly enriched.", "SPSS 25.0 software (IBM) was applied for data processing. Categorical variables are presented herein as frequencies, and quantitative variables are presented either as means with standard deviation or as medians with interquartile range. Fisher's exact or chi‐square test was used to test the categorical variables. Data normality was tested using the Shapiro–Wilk normality test. If a quantitative variable conformed to a normal distribution, a Student's t‐test or analysis of variance was applied; otherwise, the Mann–Whitney U‐test or the Kruskal–Wallis H‐test was used. Receiver operating characteristic (ROC) curves were established using SPSS 25.0 to assess the diagnostic values. Correlation was calculated using Spearman correlation analysis. The predictors of PAH‐CHD were identified by logistic regression analysis. The baseline characteristics, including age, gender, body mass index (BMI), and hsa_circ_0003416 and B‐type natriuretic peptide (BNP) levels, were included in the multivariable regression analysis model as independent variables, whereas the presence of PAH‐CHD was considered a dependent variable. p < 0.05 (bilateral) indicated statistical difference.", "Among the 120 subjects involved in this study (50 PAH‐CHD patients, 50 CHD patients, and 20 healthy subjects), sex, age, and BMI did not differ significantly across the groups (p > 0.05; Table 2). As shown in Table 3, PAH‐CHD patients had a higher cardiothoracic ratio, systolic pulmonary arterial pressure (sPAP), mPAP, diastolic pulmonary arterial pressure (dPAP), PVR, pulmonary‐to‐systemic flow ratio (QP/QS), and BNP and creatine kinase‐MB (CK‐MB) levels than CHD patients (p < 0.05) while displaying a lower systolic blood pressure (SBP), diastolic blood pressure (DBP), ejection fraction (EF), and cardiac index (CI); no difference was noted in the left ventricular end‐diastolic diameter (LVEDd), mean right atrial pressure, and CHD types between the two groups (p > 0.05).\nBaseline characteristics of subjects\nPAH‐CHD group\n(n = 50)\nCHD group\n(n = 50)\nHealthy group\n(n = 20)\nValues expressed show frequency (n); chi‐square or Fisher's exact test was used for analysis.\nAbbreviations: BMI, body mass index; CHD, congenital heart disease; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease.\nClinical characteristics of the patients\nThe number of CHD types are expressed as frequencies (n); Fisher's exact test was used for analysis. The SBP, DBP, EF, LVEDd, cardiothoracic ratio, sPAP, mPAP, and dPAP conformed to normal distributions and are presented as means ± standard deviation; Student's t‐test was used for analysis. mRAP, PVR, QP/QS, CI, BNP, CK‐MB, and hsa_circ_0003416 did not conform to normal distribution; they are presented as medians with interquartile range; Mann–Whitney U‐test was used for analysis.\nAbbreviations: AORPA, anomalous origin of the right pulmonary artery from the ascending aorta; ASD, atrial septal defect; BNP, B‐type natriuretic peptide; CHD, congenital heart disease; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; LVEDd, left ventricular end‐diastolic diameter; mPAP, mean pulmonary arterial pressure; mRAP, mean right atrial pressure; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease; PDA, patent ductus arteriosus; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure; TAPVR, total anomalous pulmonary venous return; VSD, ventricular septal defect.", "According to the circBase database, hsa_circ_0003416 (chrX: 12995025–12995149) was identified to be derived from exon three of the thymosin beta 4 X‐linked (TMSB4X) gene, which is 124‐base pair (bp) long. Specific divergent primers of hsa_circ_0003416 were used for qRT‐PCR, specificity being revealed by melting curve having a single peak (Figure 1A) and gel electrophoresis showing a single band of the expected size (Figure 1B). Agarose gel electrophoresis of the RT‐PCR product revealed that divergent primers only amplified hsa_circ_0003416 in cDNA samples, whereas the convergent primers amplified the linear product in both cDNA and gDNA (Figure 1C). Furthermore, the back‐spliced junction of hsa_circ_0003416 was verified by Sanger sequencing (Figure 1D). The results collectively suggested that hsa_circ_0003416 was a circRNA.\nValidation of hsa_circ_0003416. (A) Melting curve. (B) Gel electrophoresis of the polymerase chain reaction (PCR) product. (C) Divergent primers (◄►) for detecting hsa_circ_0003416 in complementary DNA (cDNA) but not in genomic DNA (gDNA). (d) Sanger sequencing of the back‐spliced junction (↓) of hsa_circ_0003416", "The hsa_circ_0003416 expression levels in plasma were determined in 50 PAH‐CHD cases, 50 CHD cases, and 20 healthy cases by qRT‐PCR, and the levels were found to be lower in the PAH‐CHD group than in the CHD and healthy control groups (p = 0.009 vs. control group, p = 0.026 vs. CHD group). However, no significant difference was detected between the hsa_circ_0003416 levels of the healthy control and that of the CHD groups (Figure 2A). Furthermore, dividing PAH‐CHD patients into three groups according to mPAP (mild: 20–40 mmHg, moderate: 41–55 mmHg, and severe: >55 mmHg) revealed that hsa_circ_0003416 expression levels had no significant difference across the three groups (Figure 2B). Additionally, the PAH‐CHD patients were divided into different cardiac lesion groups (Table 3); there was no significant difference in hsa_circ_0003416 levels across the groups (p > 0.05).\nRelative hsa_circ_0003416 expression levels. (A) Relative hsa_circ_0003416 expression levels in the plasma of PAH‐CHD patients, CHD patients, and healthy controls. (B) Relative hsa_circ_0003416 expression levels in the plasma of mild, moderate, and severe PAH groups", "The clinical variables, including SBP, DBP, EF, cardiothoracic ratio, sPAP, mPAP, dPAP, PVR, QP/QS, CI, BNP, and CK‐MB, were significantly different between the PAH‐CHD and CHD groups. Further analysis of their correlations with hsa_circ_0003416 expression levels showed hsa_circ_0003416 to be negatively correlated with BNP (r = −0.342, p = 0.013). However, there was no correlation between hsa_circ_0003416 and the other clinical characteristics (Table 4).\nCorrelations of hsa_circ_0003416 with various parameters\nAbbreviations: BMI, body mass index; BNP, B‐type natriuretic peptide; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; mPAP, mean pulmonary arterial pressure; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure.", "ROC analysis, for evaluating the potential diagnostic capability of plasma hsa_circ_0003416 levels for PAH‐CHD, revealed that area under the curve (AUC) of plasma hsa_circ_0003416 was 0.721 (95% confidence interval = 0.585–0.857, p = 0.004), with a cutoff value of 0.99. Moreover, the sensitivity was 0.66 and specificity was 0.7 (Figure 3). Multivariate regression analysis was conducted to explore the predictive value of hsa_circ_0003416. The results indicated hsa_circ_0003416 (odds ratio [OR] = 0.015, 95% confidence interval = 0.000–0.597, p = 0.025) as an independent predictor of PAH‐CHD (Table 5).\nReceiver operating characteristic (ROC) curve of plasma hsa_circ_0003416\nMultivariate logistic regression analysis\nAbbreviations: 95% CI, 95% confidence intervals; B, regression coefficient; BMI, body mass index; BNP, B‐type natriuretic peptide; OR, odds ratio; SE, standard error.", "The circMIR software prediction revealed that hsa_circ_0003416 contained multiple miRNA‐binding sites (Figure 4); the target genes of miRNAs were also predicted. The top 10 GO terms based on the three aspects (biological process [BP], cellular component [CC], and molecular function [MF]) are presented in Figure 5. KEGG pathway analysis indicated that the genes were primarily enriched in pathways associated with cancer. Notably, the forkhead box O signaling pathway was the most significantly enriched pathway. Among the top 11 pathways, the phosphatidylinositol‐3‐kinase and protein kinase B (PI3K‐AKT) and transforming growth factor‐β (TGF‐β) signaling pathways have been proven to be involved in PAH (Figure 6).\nMicroRNA (miRNA)‐binding sites of hsa_circ_0003416\nGene ontology (GO) analysis of predicted target genes of hsa_circ_0003416\nKyoto Encyclopedia of Genes and Genomes (KEGG) pathway analysis of predicted target genes of hsa_circ_0003416", "YH conducted data analysis and drafted the manuscript. YH and DS performed the experiments. BY, YH, SQ, CC, and YZ collected the specimens and clinical information. YP made contribution to study design and revised the manuscript. All authors agreed to publication of the manuscript." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "INTRODUCTION", "MATERIALS AND METHODS", "Participants and plasma samples", "RNA and DNA extraction", "Quantitative reverse transcription–polymerase chain reaction", "RT‐PCR", "Bioinformatics analysis", "Statistical analysis", "RESULTS", "Subject characteristics", "Validation of hsa_circ_0003416", "Expression of hsa_circ_0003416 in plasma of PAH‐CHD patients", "Spearman's correlation analysis of plasma hsa_circ_0003416 and clinical variables", "Assessment of the diagnostic potential of hsa_circ_0003416 in patients with PAH‐CHD", "Bioinformatics analysis", "DISCUSSION", "CONCLUSION", "CONFLICT OF INTEREST", "AUTHOR CONTRIBUTIONS" ]
[ "Pulmonary arterial hypertension (PAH) is a devastating vascular disorder characterized by an increase in pulmonary vascular resistance (PVR); this eventually evolves into right heart dysfunction and can potentially result in death.\n1\n, \n2\n Data reported by China registry studies have indicated that the most frequent cause of PAH in children is congenital heart disease (CHD),\n3\n with approximately 5%–10% of CHD patients eventually progressing to develop varying degrees of PAH.\n4\n Due to the lack of specific symptoms at an early stage, the diagnosis of PAH associated with CHD (PAH‐CHD) is often delayed. Patients with CHD have been reported to be diagnosed with PAH approximately 6 years after symptom onset\n5\n; occurrence of PAH increases the mortality rate of patients with CHD more than twofold compared with that of patients without PAH.\n6\n Despite great advancements in treatment, the prognosis of children with PAH‐CHD remains poor.\n7\n Thus, methods to aid the early diagnosis and effective treatment of PAH‐CHD are urgently required. Currently, cardiac catheterization remains the gold standard for PAH diagnosis, and it can directly assess pulmonary hemodynamics and perform vasoreactivity test.\n8\n However, this approach may increase the risk of complications, such as puncture injury, arrhythmias, hypertensive crisis, pulmonary embolism, and even death; therefore, it is not suitable for repeated evaluation.\n8\n Echocardiography is a non‐invasive and widely available tool for patients with PAH‐CHD. However, it is relatively expensive, and its accuracy is influenced by many factors, such as the experience of operator and quality of the equipment. Currently, a specific, inexpensive, and non‐invasive method for screening PAH‐CHD is lacking\n9\n; therefore, identification of effective non‐invasive biomarkers for clinical practice is imperative.\nCircular ribonucleic acids (circRNAs) are an emerging type of endogenous RNAs that are produced by the back‐splicing of pre‐messenger RNA.\n10\n Previously, circRNAs were considered to be noncoding RNAs. However, recent studies have shown some of them to have translational function.\n11\n, \n12\n In contrast to traditional linear RNAs, circRNAs form covalent closed‐loop structures without a 5′‐cap or 3′‐polyadenylate tail.\n13\n Their unique circular structures protect them from degradation by RNA exonuclease, thereby rendering them stable and abundant in tissues and body fluid.\n14\n, \n15\n This makes them promising clinical biomarkers for diseases. CircRNAs can regulate gene expression at the transcriptional and post‐transcriptional levels by interacting with microRNA (miRNA) or RNA‐binding proteins, and can participate in various biological process.\n14\n, \n16\n They have also been widely implicated in a variety of diseases, including cardiovascular diseases, diabetes, cancer, and nervous system diseases.\n17\n, \n18\n, \n19\n, \n20\n Aberrant expression of circRNAs may be involved in the pathogenesis of PAH.\n21\n, \n22\n, \n23\n, \n24\n However, the potential functions of most circRNAs in PAH have not yet been clarified.\nThe present study aimed to assess the potential of plasma circRNAs in aiding the diagnosis of PAH‐CHD in children. The circRNA hsa_circ_0003416 was selected as a research target based on previous microarray data (GSE171827 in the Gene Expression Omnibus database); it had previously been found to be one of the most downregulated circRNAs in the plasma of PAH‐CHD children. This study, therefore, examined the characteristic expressions of hsa_circ_0003416 in a larger sample size and analyzed its clinical value, with the aim of determining whether hsa_circ_0003416 could possibly serve as a biomarker for PAH‐CHD diagnosis.", "Participants and plasma samples This study was approved by the Ethics Committee of The First Affiliated Hospital of Guangxi Medical University (No. 2021; KY‐E‐156). A total of 100 CHD children were recruited for this study at the Department of Pediatrics, First Affiliated Hospital of Guangxi Medical University, between January 2020 and March 2021. Parental informed consent was obtained for this study for each subject. The inclusion criteria were as follows: (1) age <14 years and (2) patient underwent cardiac catheterization before intervention. Patients with severe infections, tumors, severe cardiopulmonary dysfunctions, diabetes mellitus, systemic hypertension, cardiomyopathies, liver dysfunctions, or renal failure were excluded. PAH was diagnosed via cardiac catheterization. CHD patients were classified into either the PAH‐CHD group (mean pulmonary artery pressure [mPAP] >20 mmHg, n = 50) or the CHD group (mPAP ≤20 mmHg, n = 50) based on their mPAP.\n25\n Detailed health history, demographic data, laboratory examination, echocardiography, and cardiac catheterization findings were collected. In addition, 20 healthy subjects were recruited as controls. Venous blood (3–5 ml) was drawn from each subject and then centrifuged (1000 g for 15 min at 4°C) to separate the plasma. The samples were then kept at −80°C until further use.\nThis study was approved by the Ethics Committee of The First Affiliated Hospital of Guangxi Medical University (No. 2021; KY‐E‐156). A total of 100 CHD children were recruited for this study at the Department of Pediatrics, First Affiliated Hospital of Guangxi Medical University, between January 2020 and March 2021. Parental informed consent was obtained for this study for each subject. The inclusion criteria were as follows: (1) age <14 years and (2) patient underwent cardiac catheterization before intervention. Patients with severe infections, tumors, severe cardiopulmonary dysfunctions, diabetes mellitus, systemic hypertension, cardiomyopathies, liver dysfunctions, or renal failure were excluded. PAH was diagnosed via cardiac catheterization. CHD patients were classified into either the PAH‐CHD group (mean pulmonary artery pressure [mPAP] >20 mmHg, n = 50) or the CHD group (mPAP ≤20 mmHg, n = 50) based on their mPAP.\n25\n Detailed health history, demographic data, laboratory examination, echocardiography, and cardiac catheterization findings were collected. In addition, 20 healthy subjects were recruited as controls. Venous blood (3–5 ml) was drawn from each subject and then centrifuged (1000 g for 15 min at 4°C) to separate the plasma. The samples were then kept at −80°C until further use.\nRNA and DNA extraction Total RNA was isolated from plasma samples using the BIOG cfRNA Easy Kit (Changzhou Baidai Biotechnology Co., Ltd.). It was then purified with an RNA purification and concentration kit (Tianmo Biotech) following the manufacturer's protocol. Genomic DNA (gDNA) was extracted using the TIANamp Genomic DNA Kit (Tiangen Biotech). Purity and concentration of RNA and DNA were quantified by spectrophotometry using a NanoDrop 2000 (Thermo Fisher Scientific). RNA/DNA samples with an A260/A280 ratio of 1.8–2.2 were used for subsequent experiments.\nTotal RNA was isolated from plasma samples using the BIOG cfRNA Easy Kit (Changzhou Baidai Biotechnology Co., Ltd.). It was then purified with an RNA purification and concentration kit (Tianmo Biotech) following the manufacturer's protocol. Genomic DNA (gDNA) was extracted using the TIANamp Genomic DNA Kit (Tiangen Biotech). Purity and concentration of RNA and DNA were quantified by spectrophotometry using a NanoDrop 2000 (Thermo Fisher Scientific). RNA/DNA samples with an A260/A280 ratio of 1.8–2.2 were used for subsequent experiments.\nQuantitative reverse transcription–polymerase chain reaction RNA was reverse transcribed into complementary DNA (cDNA) using the GoScript™ Reverse Transcription System Protocol (Promega). A quantitative reverse transcription–polymerase chain reaction (qRT‐PCR) experiment was conducted using the ChamQ™ Universal SYBR qPCR Master mix (Vazyme Biotech) with a 7500 Real‐Time PCR System (Applied Biosystems). The qRT‐PCR reaction mixture (20 μl) contained 0.4 μl each of 10 μM forward and reverse primers, 10 μl of 2× ChamQ Universal SYBR qPCR Master mix, 2 μl of cDNA, and 7.2 μl of ribonuclease (RNase)‐free water. The amplification conditions were as follows: 30 s at 95℃, followed by 40 cycles of 10 s at 95°C, 30 s at 56°C, and 30 s at 72°C. Glyceraldehyde 3‐phosphate dehydrogenase was selected as the internal reference, and relative RNA expression was determined using the 2−ΔΔ\n\nC\n\nt method. Primers (Table 1) were synthesized by Sangon Biotech. The specificity of primers was confirmed using melting curve, agarose gel electrophoresis, and product sequencing analyses.\nPrimer sequences\nAbbreviation: GAPDH, glyceraldehyde 3‐phosphate dehydrogenase.\nRNA was reverse transcribed into complementary DNA (cDNA) using the GoScript™ Reverse Transcription System Protocol (Promega). A quantitative reverse transcription–polymerase chain reaction (qRT‐PCR) experiment was conducted using the ChamQ™ Universal SYBR qPCR Master mix (Vazyme Biotech) with a 7500 Real‐Time PCR System (Applied Biosystems). The qRT‐PCR reaction mixture (20 μl) contained 0.4 μl each of 10 μM forward and reverse primers, 10 μl of 2× ChamQ Universal SYBR qPCR Master mix, 2 μl of cDNA, and 7.2 μl of ribonuclease (RNase)‐free water. The amplification conditions were as follows: 30 s at 95℃, followed by 40 cycles of 10 s at 95°C, 30 s at 56°C, and 30 s at 72°C. Glyceraldehyde 3‐phosphate dehydrogenase was selected as the internal reference, and relative RNA expression was determined using the 2−ΔΔ\n\nC\n\nt method. Primers (Table 1) were synthesized by Sangon Biotech. The specificity of primers was confirmed using melting curve, agarose gel electrophoresis, and product sequencing analyses.\nPrimer sequences\nAbbreviation: GAPDH, glyceraldehyde 3‐phosphate dehydrogenase.\nRT‐PCR To verify the circular characteristics of hsa_circ_0003416, RT‐PCR was performed with divergent and convergent primers using 2× SanTaq PCR Mix (Sangon Biotech), following the manufacturer's protocols. Both cDNA and gDNA were used as templates. The RT‐PCR mix (50 µl) consisted of 2 μl each of 10 μM forward and reverse primers, 25 μl of 2× SanTaq PCR Mix, 2 μl of cDNA/gDNA, and 19 μl of RNase‐free water. The PCR reaction conditions were set according to the manufacturer's recommendations. The amplification products were further verified by 1% agarose gel electrophoresis.\nTo verify the circular characteristics of hsa_circ_0003416, RT‐PCR was performed with divergent and convergent primers using 2× SanTaq PCR Mix (Sangon Biotech), following the manufacturer's protocols. Both cDNA and gDNA were used as templates. The RT‐PCR mix (50 µl) consisted of 2 μl each of 10 μM forward and reverse primers, 25 μl of 2× SanTaq PCR Mix, 2 μl of cDNA/gDNA, and 19 μl of RNase‐free water. The PCR reaction conditions were set according to the manufacturer's recommendations. The amplification products were further verified by 1% agarose gel electrophoresis.\nBioinformatics analysis The circMIR software was used to predict circRNA‐miRNA interactions, based on the RNAhybrid (https://bibiserv.cebitec.uni‐bielefeld.de/rnahybrid/) and miRanda (http://www.microrna.org/) databases. The miRWalk database (http://zmf.umm.uniheidelberg.de/apps/zmf/mirwalk/) was used to predict the target genes of miRNAs targeting hsa_circ_0003416, and the top 30 genes of each miRNA were selected. Gene Ontology (GO) and Kyoto Encyclopedia of Genes and Genomes (KEGG) analyses were conducted using the DAVID database (http://david.abcc.ncifcrf.gov), based on the selected target genes. The GO terms and KEGG pathways with p‐value <0.05 were considered significantly enriched.\nThe circMIR software was used to predict circRNA‐miRNA interactions, based on the RNAhybrid (https://bibiserv.cebitec.uni‐bielefeld.de/rnahybrid/) and miRanda (http://www.microrna.org/) databases. The miRWalk database (http://zmf.umm.uniheidelberg.de/apps/zmf/mirwalk/) was used to predict the target genes of miRNAs targeting hsa_circ_0003416, and the top 30 genes of each miRNA were selected. Gene Ontology (GO) and Kyoto Encyclopedia of Genes and Genomes (KEGG) analyses were conducted using the DAVID database (http://david.abcc.ncifcrf.gov), based on the selected target genes. The GO terms and KEGG pathways with p‐value <0.05 were considered significantly enriched.\nStatistical analysis SPSS 25.0 software (IBM) was applied for data processing. Categorical variables are presented herein as frequencies, and quantitative variables are presented either as means with standard deviation or as medians with interquartile range. Fisher's exact or chi‐square test was used to test the categorical variables. Data normality was tested using the Shapiro–Wilk normality test. If a quantitative variable conformed to a normal distribution, a Student's t‐test or analysis of variance was applied; otherwise, the Mann–Whitney U‐test or the Kruskal–Wallis H‐test was used. Receiver operating characteristic (ROC) curves were established using SPSS 25.0 to assess the diagnostic values. Correlation was calculated using Spearman correlation analysis. The predictors of PAH‐CHD were identified by logistic regression analysis. The baseline characteristics, including age, gender, body mass index (BMI), and hsa_circ_0003416 and B‐type natriuretic peptide (BNP) levels, were included in the multivariable regression analysis model as independent variables, whereas the presence of PAH‐CHD was considered a dependent variable. p < 0.05 (bilateral) indicated statistical difference.\nSPSS 25.0 software (IBM) was applied for data processing. Categorical variables are presented herein as frequencies, and quantitative variables are presented either as means with standard deviation or as medians with interquartile range. Fisher's exact or chi‐square test was used to test the categorical variables. Data normality was tested using the Shapiro–Wilk normality test. If a quantitative variable conformed to a normal distribution, a Student's t‐test or analysis of variance was applied; otherwise, the Mann–Whitney U‐test or the Kruskal–Wallis H‐test was used. Receiver operating characteristic (ROC) curves were established using SPSS 25.0 to assess the diagnostic values. Correlation was calculated using Spearman correlation analysis. The predictors of PAH‐CHD were identified by logistic regression analysis. The baseline characteristics, including age, gender, body mass index (BMI), and hsa_circ_0003416 and B‐type natriuretic peptide (BNP) levels, were included in the multivariable regression analysis model as independent variables, whereas the presence of PAH‐CHD was considered a dependent variable. p < 0.05 (bilateral) indicated statistical difference.", "This study was approved by the Ethics Committee of The First Affiliated Hospital of Guangxi Medical University (No. 2021; KY‐E‐156). A total of 100 CHD children were recruited for this study at the Department of Pediatrics, First Affiliated Hospital of Guangxi Medical University, between January 2020 and March 2021. Parental informed consent was obtained for this study for each subject. The inclusion criteria were as follows: (1) age <14 years and (2) patient underwent cardiac catheterization before intervention. Patients with severe infections, tumors, severe cardiopulmonary dysfunctions, diabetes mellitus, systemic hypertension, cardiomyopathies, liver dysfunctions, or renal failure were excluded. PAH was diagnosed via cardiac catheterization. CHD patients were classified into either the PAH‐CHD group (mean pulmonary artery pressure [mPAP] >20 mmHg, n = 50) or the CHD group (mPAP ≤20 mmHg, n = 50) based on their mPAP.\n25\n Detailed health history, demographic data, laboratory examination, echocardiography, and cardiac catheterization findings were collected. In addition, 20 healthy subjects were recruited as controls. Venous blood (3–5 ml) was drawn from each subject and then centrifuged (1000 g for 15 min at 4°C) to separate the plasma. The samples were then kept at −80°C until further use.", "Total RNA was isolated from plasma samples using the BIOG cfRNA Easy Kit (Changzhou Baidai Biotechnology Co., Ltd.). It was then purified with an RNA purification and concentration kit (Tianmo Biotech) following the manufacturer's protocol. Genomic DNA (gDNA) was extracted using the TIANamp Genomic DNA Kit (Tiangen Biotech). Purity and concentration of RNA and DNA were quantified by spectrophotometry using a NanoDrop 2000 (Thermo Fisher Scientific). RNA/DNA samples with an A260/A280 ratio of 1.8–2.2 were used for subsequent experiments.", "RNA was reverse transcribed into complementary DNA (cDNA) using the GoScript™ Reverse Transcription System Protocol (Promega). A quantitative reverse transcription–polymerase chain reaction (qRT‐PCR) experiment was conducted using the ChamQ™ Universal SYBR qPCR Master mix (Vazyme Biotech) with a 7500 Real‐Time PCR System (Applied Biosystems). The qRT‐PCR reaction mixture (20 μl) contained 0.4 μl each of 10 μM forward and reverse primers, 10 μl of 2× ChamQ Universal SYBR qPCR Master mix, 2 μl of cDNA, and 7.2 μl of ribonuclease (RNase)‐free water. The amplification conditions were as follows: 30 s at 95℃, followed by 40 cycles of 10 s at 95°C, 30 s at 56°C, and 30 s at 72°C. Glyceraldehyde 3‐phosphate dehydrogenase was selected as the internal reference, and relative RNA expression was determined using the 2−ΔΔ\n\nC\n\nt method. Primers (Table 1) were synthesized by Sangon Biotech. The specificity of primers was confirmed using melting curve, agarose gel electrophoresis, and product sequencing analyses.\nPrimer sequences\nAbbreviation: GAPDH, glyceraldehyde 3‐phosphate dehydrogenase.", "To verify the circular characteristics of hsa_circ_0003416, RT‐PCR was performed with divergent and convergent primers using 2× SanTaq PCR Mix (Sangon Biotech), following the manufacturer's protocols. Both cDNA and gDNA were used as templates. The RT‐PCR mix (50 µl) consisted of 2 μl each of 10 μM forward and reverse primers, 25 μl of 2× SanTaq PCR Mix, 2 μl of cDNA/gDNA, and 19 μl of RNase‐free water. The PCR reaction conditions were set according to the manufacturer's recommendations. The amplification products were further verified by 1% agarose gel electrophoresis.", "The circMIR software was used to predict circRNA‐miRNA interactions, based on the RNAhybrid (https://bibiserv.cebitec.uni‐bielefeld.de/rnahybrid/) and miRanda (http://www.microrna.org/) databases. The miRWalk database (http://zmf.umm.uniheidelberg.de/apps/zmf/mirwalk/) was used to predict the target genes of miRNAs targeting hsa_circ_0003416, and the top 30 genes of each miRNA were selected. Gene Ontology (GO) and Kyoto Encyclopedia of Genes and Genomes (KEGG) analyses were conducted using the DAVID database (http://david.abcc.ncifcrf.gov), based on the selected target genes. The GO terms and KEGG pathways with p‐value <0.05 were considered significantly enriched.", "SPSS 25.0 software (IBM) was applied for data processing. Categorical variables are presented herein as frequencies, and quantitative variables are presented either as means with standard deviation or as medians with interquartile range. Fisher's exact or chi‐square test was used to test the categorical variables. Data normality was tested using the Shapiro–Wilk normality test. If a quantitative variable conformed to a normal distribution, a Student's t‐test or analysis of variance was applied; otherwise, the Mann–Whitney U‐test or the Kruskal–Wallis H‐test was used. Receiver operating characteristic (ROC) curves were established using SPSS 25.0 to assess the diagnostic values. Correlation was calculated using Spearman correlation analysis. The predictors of PAH‐CHD were identified by logistic regression analysis. The baseline characteristics, including age, gender, body mass index (BMI), and hsa_circ_0003416 and B‐type natriuretic peptide (BNP) levels, were included in the multivariable regression analysis model as independent variables, whereas the presence of PAH‐CHD was considered a dependent variable. p < 0.05 (bilateral) indicated statistical difference.", "Subject characteristics Among the 120 subjects involved in this study (50 PAH‐CHD patients, 50 CHD patients, and 20 healthy subjects), sex, age, and BMI did not differ significantly across the groups (p > 0.05; Table 2). As shown in Table 3, PAH‐CHD patients had a higher cardiothoracic ratio, systolic pulmonary arterial pressure (sPAP), mPAP, diastolic pulmonary arterial pressure (dPAP), PVR, pulmonary‐to‐systemic flow ratio (QP/QS), and BNP and creatine kinase‐MB (CK‐MB) levels than CHD patients (p < 0.05) while displaying a lower systolic blood pressure (SBP), diastolic blood pressure (DBP), ejection fraction (EF), and cardiac index (CI); no difference was noted in the left ventricular end‐diastolic diameter (LVEDd), mean right atrial pressure, and CHD types between the two groups (p > 0.05).\nBaseline characteristics of subjects\nPAH‐CHD group\n(n = 50)\nCHD group\n(n = 50)\nHealthy group\n(n = 20)\nValues expressed show frequency (n); chi‐square or Fisher's exact test was used for analysis.\nAbbreviations: BMI, body mass index; CHD, congenital heart disease; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease.\nClinical characteristics of the patients\nThe number of CHD types are expressed as frequencies (n); Fisher's exact test was used for analysis. The SBP, DBP, EF, LVEDd, cardiothoracic ratio, sPAP, mPAP, and dPAP conformed to normal distributions and are presented as means ± standard deviation; Student's t‐test was used for analysis. mRAP, PVR, QP/QS, CI, BNP, CK‐MB, and hsa_circ_0003416 did not conform to normal distribution; they are presented as medians with interquartile range; Mann–Whitney U‐test was used for analysis.\nAbbreviations: AORPA, anomalous origin of the right pulmonary artery from the ascending aorta; ASD, atrial septal defect; BNP, B‐type natriuretic peptide; CHD, congenital heart disease; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; LVEDd, left ventricular end‐diastolic diameter; mPAP, mean pulmonary arterial pressure; mRAP, mean right atrial pressure; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease; PDA, patent ductus arteriosus; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure; TAPVR, total anomalous pulmonary venous return; VSD, ventricular septal defect.\nAmong the 120 subjects involved in this study (50 PAH‐CHD patients, 50 CHD patients, and 20 healthy subjects), sex, age, and BMI did not differ significantly across the groups (p > 0.05; Table 2). As shown in Table 3, PAH‐CHD patients had a higher cardiothoracic ratio, systolic pulmonary arterial pressure (sPAP), mPAP, diastolic pulmonary arterial pressure (dPAP), PVR, pulmonary‐to‐systemic flow ratio (QP/QS), and BNP and creatine kinase‐MB (CK‐MB) levels than CHD patients (p < 0.05) while displaying a lower systolic blood pressure (SBP), diastolic blood pressure (DBP), ejection fraction (EF), and cardiac index (CI); no difference was noted in the left ventricular end‐diastolic diameter (LVEDd), mean right atrial pressure, and CHD types between the two groups (p > 0.05).\nBaseline characteristics of subjects\nPAH‐CHD group\n(n = 50)\nCHD group\n(n = 50)\nHealthy group\n(n = 20)\nValues expressed show frequency (n); chi‐square or Fisher's exact test was used for analysis.\nAbbreviations: BMI, body mass index; CHD, congenital heart disease; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease.\nClinical characteristics of the patients\nThe number of CHD types are expressed as frequencies (n); Fisher's exact test was used for analysis. The SBP, DBP, EF, LVEDd, cardiothoracic ratio, sPAP, mPAP, and dPAP conformed to normal distributions and are presented as means ± standard deviation; Student's t‐test was used for analysis. mRAP, PVR, QP/QS, CI, BNP, CK‐MB, and hsa_circ_0003416 did not conform to normal distribution; they are presented as medians with interquartile range; Mann–Whitney U‐test was used for analysis.\nAbbreviations: AORPA, anomalous origin of the right pulmonary artery from the ascending aorta; ASD, atrial septal defect; BNP, B‐type natriuretic peptide; CHD, congenital heart disease; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; LVEDd, left ventricular end‐diastolic diameter; mPAP, mean pulmonary arterial pressure; mRAP, mean right atrial pressure; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease; PDA, patent ductus arteriosus; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure; TAPVR, total anomalous pulmonary venous return; VSD, ventricular septal defect.\nValidation of hsa_circ_0003416 According to the circBase database, hsa_circ_0003416 (chrX: 12995025–12995149) was identified to be derived from exon three of the thymosin beta 4 X‐linked (TMSB4X) gene, which is 124‐base pair (bp) long. Specific divergent primers of hsa_circ_0003416 were used for qRT‐PCR, specificity being revealed by melting curve having a single peak (Figure 1A) and gel electrophoresis showing a single band of the expected size (Figure 1B). Agarose gel electrophoresis of the RT‐PCR product revealed that divergent primers only amplified hsa_circ_0003416 in cDNA samples, whereas the convergent primers amplified the linear product in both cDNA and gDNA (Figure 1C). Furthermore, the back‐spliced junction of hsa_circ_0003416 was verified by Sanger sequencing (Figure 1D). The results collectively suggested that hsa_circ_0003416 was a circRNA.\nValidation of hsa_circ_0003416. (A) Melting curve. (B) Gel electrophoresis of the polymerase chain reaction (PCR) product. (C) Divergent primers (◄►) for detecting hsa_circ_0003416 in complementary DNA (cDNA) but not in genomic DNA (gDNA). (d) Sanger sequencing of the back‐spliced junction (↓) of hsa_circ_0003416\nAccording to the circBase database, hsa_circ_0003416 (chrX: 12995025–12995149) was identified to be derived from exon three of the thymosin beta 4 X‐linked (TMSB4X) gene, which is 124‐base pair (bp) long. Specific divergent primers of hsa_circ_0003416 were used for qRT‐PCR, specificity being revealed by melting curve having a single peak (Figure 1A) and gel electrophoresis showing a single band of the expected size (Figure 1B). Agarose gel electrophoresis of the RT‐PCR product revealed that divergent primers only amplified hsa_circ_0003416 in cDNA samples, whereas the convergent primers amplified the linear product in both cDNA and gDNA (Figure 1C). Furthermore, the back‐spliced junction of hsa_circ_0003416 was verified by Sanger sequencing (Figure 1D). The results collectively suggested that hsa_circ_0003416 was a circRNA.\nValidation of hsa_circ_0003416. (A) Melting curve. (B) Gel electrophoresis of the polymerase chain reaction (PCR) product. (C) Divergent primers (◄►) for detecting hsa_circ_0003416 in complementary DNA (cDNA) but not in genomic DNA (gDNA). (d) Sanger sequencing of the back‐spliced junction (↓) of hsa_circ_0003416\nExpression of hsa_circ_0003416 in plasma of PAH‐CHD patients The hsa_circ_0003416 expression levels in plasma were determined in 50 PAH‐CHD cases, 50 CHD cases, and 20 healthy cases by qRT‐PCR, and the levels were found to be lower in the PAH‐CHD group than in the CHD and healthy control groups (p = 0.009 vs. control group, p = 0.026 vs. CHD group). However, no significant difference was detected between the hsa_circ_0003416 levels of the healthy control and that of the CHD groups (Figure 2A). Furthermore, dividing PAH‐CHD patients into three groups according to mPAP (mild: 20–40 mmHg, moderate: 41–55 mmHg, and severe: >55 mmHg) revealed that hsa_circ_0003416 expression levels had no significant difference across the three groups (Figure 2B). Additionally, the PAH‐CHD patients were divided into different cardiac lesion groups (Table 3); there was no significant difference in hsa_circ_0003416 levels across the groups (p > 0.05).\nRelative hsa_circ_0003416 expression levels. (A) Relative hsa_circ_0003416 expression levels in the plasma of PAH‐CHD patients, CHD patients, and healthy controls. (B) Relative hsa_circ_0003416 expression levels in the plasma of mild, moderate, and severe PAH groups\nThe hsa_circ_0003416 expression levels in plasma were determined in 50 PAH‐CHD cases, 50 CHD cases, and 20 healthy cases by qRT‐PCR, and the levels were found to be lower in the PAH‐CHD group than in the CHD and healthy control groups (p = 0.009 vs. control group, p = 0.026 vs. CHD group). However, no significant difference was detected between the hsa_circ_0003416 levels of the healthy control and that of the CHD groups (Figure 2A). Furthermore, dividing PAH‐CHD patients into three groups according to mPAP (mild: 20–40 mmHg, moderate: 41–55 mmHg, and severe: >55 mmHg) revealed that hsa_circ_0003416 expression levels had no significant difference across the three groups (Figure 2B). Additionally, the PAH‐CHD patients were divided into different cardiac lesion groups (Table 3); there was no significant difference in hsa_circ_0003416 levels across the groups (p > 0.05).\nRelative hsa_circ_0003416 expression levels. (A) Relative hsa_circ_0003416 expression levels in the plasma of PAH‐CHD patients, CHD patients, and healthy controls. (B) Relative hsa_circ_0003416 expression levels in the plasma of mild, moderate, and severe PAH groups\nSpearman's correlation analysis of plasma hsa_circ_0003416 and clinical variables The clinical variables, including SBP, DBP, EF, cardiothoracic ratio, sPAP, mPAP, dPAP, PVR, QP/QS, CI, BNP, and CK‐MB, were significantly different between the PAH‐CHD and CHD groups. Further analysis of their correlations with hsa_circ_0003416 expression levels showed hsa_circ_0003416 to be negatively correlated with BNP (r = −0.342, p = 0.013). However, there was no correlation between hsa_circ_0003416 and the other clinical characteristics (Table 4).\nCorrelations of hsa_circ_0003416 with various parameters\nAbbreviations: BMI, body mass index; BNP, B‐type natriuretic peptide; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; mPAP, mean pulmonary arterial pressure; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure.\nThe clinical variables, including SBP, DBP, EF, cardiothoracic ratio, sPAP, mPAP, dPAP, PVR, QP/QS, CI, BNP, and CK‐MB, were significantly different between the PAH‐CHD and CHD groups. Further analysis of their correlations with hsa_circ_0003416 expression levels showed hsa_circ_0003416 to be negatively correlated with BNP (r = −0.342, p = 0.013). However, there was no correlation between hsa_circ_0003416 and the other clinical characteristics (Table 4).\nCorrelations of hsa_circ_0003416 with various parameters\nAbbreviations: BMI, body mass index; BNP, B‐type natriuretic peptide; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; mPAP, mean pulmonary arterial pressure; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure.\nAssessment of the diagnostic potential of hsa_circ_0003416 in patients with PAH‐CHD ROC analysis, for evaluating the potential diagnostic capability of plasma hsa_circ_0003416 levels for PAH‐CHD, revealed that area under the curve (AUC) of plasma hsa_circ_0003416 was 0.721 (95% confidence interval = 0.585–0.857, p = 0.004), with a cutoff value of 0.99. Moreover, the sensitivity was 0.66 and specificity was 0.7 (Figure 3). Multivariate regression analysis was conducted to explore the predictive value of hsa_circ_0003416. The results indicated hsa_circ_0003416 (odds ratio [OR] = 0.015, 95% confidence interval = 0.000–0.597, p = 0.025) as an independent predictor of PAH‐CHD (Table 5).\nReceiver operating characteristic (ROC) curve of plasma hsa_circ_0003416\nMultivariate logistic regression analysis\nAbbreviations: 95% CI, 95% confidence intervals; B, regression coefficient; BMI, body mass index; BNP, B‐type natriuretic peptide; OR, odds ratio; SE, standard error.\nROC analysis, for evaluating the potential diagnostic capability of plasma hsa_circ_0003416 levels for PAH‐CHD, revealed that area under the curve (AUC) of plasma hsa_circ_0003416 was 0.721 (95% confidence interval = 0.585–0.857, p = 0.004), with a cutoff value of 0.99. Moreover, the sensitivity was 0.66 and specificity was 0.7 (Figure 3). Multivariate regression analysis was conducted to explore the predictive value of hsa_circ_0003416. The results indicated hsa_circ_0003416 (odds ratio [OR] = 0.015, 95% confidence interval = 0.000–0.597, p = 0.025) as an independent predictor of PAH‐CHD (Table 5).\nReceiver operating characteristic (ROC) curve of plasma hsa_circ_0003416\nMultivariate logistic regression analysis\nAbbreviations: 95% CI, 95% confidence intervals; B, regression coefficient; BMI, body mass index; BNP, B‐type natriuretic peptide; OR, odds ratio; SE, standard error.\nBioinformatics analysis The circMIR software prediction revealed that hsa_circ_0003416 contained multiple miRNA‐binding sites (Figure 4); the target genes of miRNAs were also predicted. The top 10 GO terms based on the three aspects (biological process [BP], cellular component [CC], and molecular function [MF]) are presented in Figure 5. KEGG pathway analysis indicated that the genes were primarily enriched in pathways associated with cancer. Notably, the forkhead box O signaling pathway was the most significantly enriched pathway. Among the top 11 pathways, the phosphatidylinositol‐3‐kinase and protein kinase B (PI3K‐AKT) and transforming growth factor‐β (TGF‐β) signaling pathways have been proven to be involved in PAH (Figure 6).\nMicroRNA (miRNA)‐binding sites of hsa_circ_0003416\nGene ontology (GO) analysis of predicted target genes of hsa_circ_0003416\nKyoto Encyclopedia of Genes and Genomes (KEGG) pathway analysis of predicted target genes of hsa_circ_0003416\nThe circMIR software prediction revealed that hsa_circ_0003416 contained multiple miRNA‐binding sites (Figure 4); the target genes of miRNAs were also predicted. The top 10 GO terms based on the three aspects (biological process [BP], cellular component [CC], and molecular function [MF]) are presented in Figure 5. KEGG pathway analysis indicated that the genes were primarily enriched in pathways associated with cancer. Notably, the forkhead box O signaling pathway was the most significantly enriched pathway. Among the top 11 pathways, the phosphatidylinositol‐3‐kinase and protein kinase B (PI3K‐AKT) and transforming growth factor‐β (TGF‐β) signaling pathways have been proven to be involved in PAH (Figure 6).\nMicroRNA (miRNA)‐binding sites of hsa_circ_0003416\nGene ontology (GO) analysis of predicted target genes of hsa_circ_0003416\nKyoto Encyclopedia of Genes and Genomes (KEGG) pathway analysis of predicted target genes of hsa_circ_0003416", "Among the 120 subjects involved in this study (50 PAH‐CHD patients, 50 CHD patients, and 20 healthy subjects), sex, age, and BMI did not differ significantly across the groups (p > 0.05; Table 2). As shown in Table 3, PAH‐CHD patients had a higher cardiothoracic ratio, systolic pulmonary arterial pressure (sPAP), mPAP, diastolic pulmonary arterial pressure (dPAP), PVR, pulmonary‐to‐systemic flow ratio (QP/QS), and BNP and creatine kinase‐MB (CK‐MB) levels than CHD patients (p < 0.05) while displaying a lower systolic blood pressure (SBP), diastolic blood pressure (DBP), ejection fraction (EF), and cardiac index (CI); no difference was noted in the left ventricular end‐diastolic diameter (LVEDd), mean right atrial pressure, and CHD types between the two groups (p > 0.05).\nBaseline characteristics of subjects\nPAH‐CHD group\n(n = 50)\nCHD group\n(n = 50)\nHealthy group\n(n = 20)\nValues expressed show frequency (n); chi‐square or Fisher's exact test was used for analysis.\nAbbreviations: BMI, body mass index; CHD, congenital heart disease; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease.\nClinical characteristics of the patients\nThe number of CHD types are expressed as frequencies (n); Fisher's exact test was used for analysis. The SBP, DBP, EF, LVEDd, cardiothoracic ratio, sPAP, mPAP, and dPAP conformed to normal distributions and are presented as means ± standard deviation; Student's t‐test was used for analysis. mRAP, PVR, QP/QS, CI, BNP, CK‐MB, and hsa_circ_0003416 did not conform to normal distribution; they are presented as medians with interquartile range; Mann–Whitney U‐test was used for analysis.\nAbbreviations: AORPA, anomalous origin of the right pulmonary artery from the ascending aorta; ASD, atrial septal defect; BNP, B‐type natriuretic peptide; CHD, congenital heart disease; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; LVEDd, left ventricular end‐diastolic diameter; mPAP, mean pulmonary arterial pressure; mRAP, mean right atrial pressure; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease; PDA, patent ductus arteriosus; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure; TAPVR, total anomalous pulmonary venous return; VSD, ventricular septal defect.", "According to the circBase database, hsa_circ_0003416 (chrX: 12995025–12995149) was identified to be derived from exon three of the thymosin beta 4 X‐linked (TMSB4X) gene, which is 124‐base pair (bp) long. Specific divergent primers of hsa_circ_0003416 were used for qRT‐PCR, specificity being revealed by melting curve having a single peak (Figure 1A) and gel electrophoresis showing a single band of the expected size (Figure 1B). Agarose gel electrophoresis of the RT‐PCR product revealed that divergent primers only amplified hsa_circ_0003416 in cDNA samples, whereas the convergent primers amplified the linear product in both cDNA and gDNA (Figure 1C). Furthermore, the back‐spliced junction of hsa_circ_0003416 was verified by Sanger sequencing (Figure 1D). The results collectively suggested that hsa_circ_0003416 was a circRNA.\nValidation of hsa_circ_0003416. (A) Melting curve. (B) Gel electrophoresis of the polymerase chain reaction (PCR) product. (C) Divergent primers (◄►) for detecting hsa_circ_0003416 in complementary DNA (cDNA) but not in genomic DNA (gDNA). (d) Sanger sequencing of the back‐spliced junction (↓) of hsa_circ_0003416", "The hsa_circ_0003416 expression levels in plasma were determined in 50 PAH‐CHD cases, 50 CHD cases, and 20 healthy cases by qRT‐PCR, and the levels were found to be lower in the PAH‐CHD group than in the CHD and healthy control groups (p = 0.009 vs. control group, p = 0.026 vs. CHD group). However, no significant difference was detected between the hsa_circ_0003416 levels of the healthy control and that of the CHD groups (Figure 2A). Furthermore, dividing PAH‐CHD patients into three groups according to mPAP (mild: 20–40 mmHg, moderate: 41–55 mmHg, and severe: >55 mmHg) revealed that hsa_circ_0003416 expression levels had no significant difference across the three groups (Figure 2B). Additionally, the PAH‐CHD patients were divided into different cardiac lesion groups (Table 3); there was no significant difference in hsa_circ_0003416 levels across the groups (p > 0.05).\nRelative hsa_circ_0003416 expression levels. (A) Relative hsa_circ_0003416 expression levels in the plasma of PAH‐CHD patients, CHD patients, and healthy controls. (B) Relative hsa_circ_0003416 expression levels in the plasma of mild, moderate, and severe PAH groups", "The clinical variables, including SBP, DBP, EF, cardiothoracic ratio, sPAP, mPAP, dPAP, PVR, QP/QS, CI, BNP, and CK‐MB, were significantly different between the PAH‐CHD and CHD groups. Further analysis of their correlations with hsa_circ_0003416 expression levels showed hsa_circ_0003416 to be negatively correlated with BNP (r = −0.342, p = 0.013). However, there was no correlation between hsa_circ_0003416 and the other clinical characteristics (Table 4).\nCorrelations of hsa_circ_0003416 with various parameters\nAbbreviations: BMI, body mass index; BNP, B‐type natriuretic peptide; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; mPAP, mean pulmonary arterial pressure; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure.", "ROC analysis, for evaluating the potential diagnostic capability of plasma hsa_circ_0003416 levels for PAH‐CHD, revealed that area under the curve (AUC) of plasma hsa_circ_0003416 was 0.721 (95% confidence interval = 0.585–0.857, p = 0.004), with a cutoff value of 0.99. Moreover, the sensitivity was 0.66 and specificity was 0.7 (Figure 3). Multivariate regression analysis was conducted to explore the predictive value of hsa_circ_0003416. The results indicated hsa_circ_0003416 (odds ratio [OR] = 0.015, 95% confidence interval = 0.000–0.597, p = 0.025) as an independent predictor of PAH‐CHD (Table 5).\nReceiver operating characteristic (ROC) curve of plasma hsa_circ_0003416\nMultivariate logistic regression analysis\nAbbreviations: 95% CI, 95% confidence intervals; B, regression coefficient; BMI, body mass index; BNP, B‐type natriuretic peptide; OR, odds ratio; SE, standard error.", "The circMIR software prediction revealed that hsa_circ_0003416 contained multiple miRNA‐binding sites (Figure 4); the target genes of miRNAs were also predicted. The top 10 GO terms based on the three aspects (biological process [BP], cellular component [CC], and molecular function [MF]) are presented in Figure 5. KEGG pathway analysis indicated that the genes were primarily enriched in pathways associated with cancer. Notably, the forkhead box O signaling pathway was the most significantly enriched pathway. Among the top 11 pathways, the phosphatidylinositol‐3‐kinase and protein kinase B (PI3K‐AKT) and transforming growth factor‐β (TGF‐β) signaling pathways have been proven to be involved in PAH (Figure 6).\nMicroRNA (miRNA)‐binding sites of hsa_circ_0003416\nGene ontology (GO) analysis of predicted target genes of hsa_circ_0003416\nKyoto Encyclopedia of Genes and Genomes (KEGG) pathway analysis of predicted target genes of hsa_circ_0003416", "Pulmonary arterial hypertension, which is a common complication of CHD, increases the mortality risk of CHD patients.\n26\n Up to 30% of adult and 75% of pediatric PAH cases occur secondary to CHD.\n27\n CHD results in a systemic‐to‐pulmonary shunt that increases pulmonary blood flow, eventually leading to endothelial cell injury, neointimal development, and pulmonary vascular remodeling.\n28\n However, the development of PAH‐CHD is a multistep and multifactorial process, and its pathogenesis has not yet been fully elucidated. In addition to hemodynamics‐based changes, genetic and epigenetic alterations have been shown to contribute to the pathogenesis of PAH‐CHD.\n27\n, \n29\n Accumulating evidence has revealed circRNAs to be implicated in the pathogenesis of PAH. For example, Zhou et al.\n30\n reported that hsa_circ_0016070 participates in the pathogenesis of PAH by promoting vascular remodeling via the miR‐942/cyclin D1 axis. Miao et al.\n31\n found that hsa_circ_0046159 is correlated with chronic thromboembolic pulmonary hypertension. In addition, circ‐calm4 has been shown to promote pulmonary vascular remodeling in hypoxic pulmonary hypertension.\n24\n However, there have been very few studies on the functional relevance of circRNAs in PAH‐CHD. In the current study, the expression and clinical significance of hsa_circ_0003416 in PAH‐CHD were explored for the first time, revealing that hsa_circ_0003416 may have potential regarding the diagnosis of PAH‐CHD.\nCurrently, cardiac catheterization remains the gold standard for PAH diagnosis; however, it may introduce some risks for the patients due to its invasive nature. Although some non‐invasive markers have been identified for the diagnosis and evaluation of PAH, there still remain some limitations in their clinical application. Recently, many studies have shown that circRNAs can serve as potential biomarkers for disease diagnosis. CircRNAs widely exist in eukaryotes at expression levels that are tenfold or higher than their linear isomers.\n32\n They have some crucial biological properties, such as specific expression, high conservation, high stability, and high abundance.\n33\n These characteristics indicate the promising potential of circRNAs as ideal biomarkers. Huang et al.\n34\n revealed that hsa_circ_0000745 levels are lower in the plasma and gastric cancer tissues of patients with gastric cancer than in control samples, indicating it as a promising diagnostic biomarker. Yuan et al.\n35\n reported that the circRNA circ_0026344 suppresses progression of colorectal cancer, and hence, can be utilized as a prognostic biomarker. Hang et al.\n36\n found circFARSA to be potent as a biomarker for lung cancer. These reports collectively suggested that circRNAs may open new possibilities for the early detection of diseases.\nIn recent years, several circRNAs have been identified as potential biomarkers for PAH. Zhang et al.\n37\n found circ_0068481 to be highly expressed in the serum of patients with idiopathic PAH (IPAH), with an AUC of 0.895 being obtained through ROC analysis. Its expression levels were able to predict a poor clinical outcome. This suggested that circ_0068481 could play the role of a serum biomarker of IPAH. Miao et al.\n31\n had reported that hsa_circ_0046159 expression is significantly increased in the blood samples of patients with chronic thromboembolic pulmonary hypertension. Another adult study reported the level of hsa_circ_0029642 to be significantly lower in PAH‐CHD patients than in CHD patients, thereby suggesting hsa_circ_0029642 as a potential serum biomarker of PAH.\n38\n However, ours was the first study to explore the diagnostic role of circRNA in pediatric PAH‐CHD. Here, hsa_circ_0003416 levels were found to be lower in PAH‐CHD patients than in CHD patients and healthy subjects, although no significant difference was found across different PAH groups and CHD lesion groups. This lack of significance might relate to the relatively small sample size. Furthermore, hsa_circ_0003416 expression levels were found to be negatively correlated with BNP. BNP is secreted from ventricular myocytes in response to pressure overload or hormonal stimulation. It is positively associated with mPAP and negatively associated with CI in patients; it can also be used for risk stratification in PAH.\n39\n Collectively, the results presented here suggested that plasma hsa_circ_0003416 may be related to the development and severity of PAH. Constructing ROC curves to further explore its diagnostic value revealed the AUC of plasma hsa_circ_0003416 to be 0.721, whereas the sensitivity was 0.66 and specificity was 0.7. Furthermore, hsa_circ_0003416 was considered to be an independent predictor of PAH‐CHD. The results revealed that plasma hsa_circ_0003416 has potential as a diagnostic biomarker of PAH‐CHD. However, exploring a new biomarker is a long and difficult process, from its discovery to validation and clinical application. Further validation would be required to evaluate the reliability of our current findings and the potential value of hsa_circ_0003416 in clinical application.\nCircRNAs represent a relatively new field of research. To the best of our knowledge, there has been no definite evidence demonstrating the function of hsa_circ_0003416 till date. In this study, in silico analysis demonstrated the full‐length hsa_circ_0003416 to be 124‐bp long, encoded by the TMSB4X gene. TMSB4X is known as an important regulator of angiogenesis.\n40\n Numerous studies have indicated that circRNAs can act as miRNA sponges or competing endogenous RNA (ceRNA) and can regulate the downstream expression of genes.\n16\n, \n41\n A representative circRNA named Cdr1as has been reported to harbor over 70 miRNA‐binding sites and regulate downstream pathways by inhibiting miR‐7 activity.\n16\n, \n42\n Here, circRNA‐miRNA interaction predictions revealed that hsa_circ_0003416 is able to interact with many miRNAs. GO analysis of target genes of the predicted miRNAs showed them to be primarily associated with terms, such as the regulation of transcription, retrograde vesicle‐mediated transport, and protein binding. Moreover, KEGG analysis suggested that most of the predicted genes were primarily enriched in pathways associated with cancer. As is well known, PAH and cancer share similar phenotypes, such as hyperproliferation, over‐migration, and anti‐apoptosis. Furthermore, among the top 11 pathways, the PI3K‐AKT and TGF‐β signal pathways have been proven to be involved in PAH.\n43\n, \n44\n The results presented here revealed that hsa_circ_0003416 may contribute to the pathogenesis of PAH through a ceRNA mechanism. However, mechanism underlying the aberrant expression of hsa_circ_0003416 in PAH has not yet been elucidated; therefore, further research would be required for its validation.\nThe present study had some limitations. First, the sample size was relatively small; a larger sample size would be required in future studies for validating the results. Second, the expression level of hsa_circ_0003416 should be investigated before and after surgery to assess the correlation between hsa_circ_0003416 and clinical data. Third, the underlying mechanism by which hsa_circ_0003416 affects PAH‐CHD pathogenesis was not elucidated; thus, further experiments would be required to determine the exact mechanism.", "This study determined, for the first time, the expression levels of hsa_circ_0003416 in plasma of PAH‐CHD patients, CHD patients, and healthy subjects in a pediatric population. The obtained results indicated that hsa_circ_0003416 might serve as a candidate biomarker for diagnosing PAH‐CHD. The findings of this study provided new insights into the diagnosis of PAH‐CHD.", "The authors have no conflicts of interest to declare.", "YH conducted data analysis and drafted the manuscript. YH and DS performed the experiments. BY, YH, SQ, CC, and YZ collected the specimens and clinical information. YP made contribution to study design and revised the manuscript. All authors agreed to publication of the manuscript." ]
[ null, "materials-and-methods", null, null, null, null, null, null, "results", null, null, null, null, null, null, "discussion", "conclusions", "COI-statement", null ]
[ "biomarker", "circular RNA", "congenital heart disease", "pediatric patients", "pulmonary arterial hypertension" ]
INTRODUCTION: Pulmonary arterial hypertension (PAH) is a devastating vascular disorder characterized by an increase in pulmonary vascular resistance (PVR); this eventually evolves into right heart dysfunction and can potentially result in death. 1 , 2  Data reported by China registry studies have indicated that the most frequent cause of PAH in children is congenital heart disease (CHD), 3 with approximately 5%–10% of CHD patients eventually progressing to develop varying degrees of PAH. 4 Due to the lack of specific symptoms at an early stage, the diagnosis of PAH associated with CHD (PAH‐CHD) is often delayed. Patients with CHD have been reported to be diagnosed with PAH approximately 6 years after symptom onset 5 ; occurrence of PAH increases the mortality rate of patients with CHD more than twofold compared with that of patients without PAH. 6 Despite great advancements in treatment, the prognosis of children with PAH‐CHD remains poor. 7  Thus, methods to aid the early diagnosis and effective treatment of PAH‐CHD are urgently required. Currently, cardiac catheterization remains the gold standard for PAH diagnosis, and it can directly assess pulmonary hemodynamics and perform vasoreactivity test. 8 However, this approach may increase the risk of complications, such as puncture injury, arrhythmias, hypertensive crisis, pulmonary embolism, and even death; therefore, it is not suitable for repeated evaluation. 8 Echocardiography is a non‐invasive and widely available tool for patients with PAH‐CHD. However, it is relatively expensive, and its accuracy is influenced by many factors, such as the experience of operator and quality of the equipment. Currently, a specific, inexpensive, and non‐invasive method for screening PAH‐CHD is lacking 9 ; therefore, identification of effective non‐invasive biomarkers for clinical practice is imperative. Circular ribonucleic acids (circRNAs) are an emerging type of endogenous RNAs that are produced by the back‐splicing of pre‐messenger RNA. 10 Previously, circRNAs were considered to be noncoding RNAs. However, recent studies have shown some of them to have translational function. 11 , 12 In contrast to traditional linear RNAs, circRNAs form covalent closed‐loop structures without a 5′‐cap or 3′‐polyadenylate tail. 13  Their unique circular structures protect them from degradation by RNA exonuclease, thereby rendering them stable and abundant in tissues and body fluid. 14 , 15  This makes them promising clinical biomarkers for diseases. CircRNAs can regulate gene expression at the transcriptional and post‐transcriptional levels by interacting with microRNA (miRNA) or RNA‐binding proteins, and can participate in various biological process. 14 , 16  They have also been widely implicated in a variety of diseases, including cardiovascular diseases, diabetes, cancer, and nervous system diseases. 17 , 18 , 19 , 20 Aberrant expression of circRNAs may be involved in the pathogenesis of PAH. 21 , 22 , 23 , 24 However, the potential functions of most circRNAs in PAH have not yet been clarified. The present study aimed to assess the potential of plasma circRNAs in aiding the diagnosis of PAH‐CHD in children. The circRNA hsa_circ_0003416 was selected as a research target based on previous microarray data (GSE171827 in the Gene Expression Omnibus database); it had previously been found to be one of the most downregulated circRNAs in the plasma of PAH‐CHD children. This study, therefore, examined the characteristic expressions of hsa_circ_0003416 in a larger sample size and analyzed its clinical value, with the aim of determining whether hsa_circ_0003416 could possibly serve as a biomarker for PAH‐CHD diagnosis. MATERIALS AND METHODS: Participants and plasma samples This study was approved by the Ethics Committee of The First Affiliated Hospital of Guangxi Medical University (No. 2021; KY‐E‐156). A total of 100 CHD children were recruited for this study at the Department of Pediatrics, First Affiliated Hospital of Guangxi Medical University, between January 2020 and March 2021. Parental informed consent was obtained for this study for each subject. The inclusion criteria were as follows: (1) age <14 years and (2) patient underwent cardiac catheterization before intervention. Patients with severe infections, tumors, severe cardiopulmonary dysfunctions, diabetes mellitus, systemic hypertension, cardiomyopathies, liver dysfunctions, or renal failure were excluded. PAH was diagnosed via cardiac catheterization. CHD patients were classified into either the PAH‐CHD group (mean pulmonary artery pressure [mPAP] >20 mmHg, n = 50) or the CHD group (mPAP ≤20 mmHg, n = 50) based on their mPAP. 25 Detailed health history, demographic data, laboratory examination, echocardiography, and cardiac catheterization findings were collected. In addition, 20 healthy subjects were recruited as controls. Venous blood (3–5 ml) was drawn from each subject and then centrifuged (1000 g for 15 min at 4°C) to separate the plasma. The samples were then kept at −80°C until further use. This study was approved by the Ethics Committee of The First Affiliated Hospital of Guangxi Medical University (No. 2021; KY‐E‐156). A total of 100 CHD children were recruited for this study at the Department of Pediatrics, First Affiliated Hospital of Guangxi Medical University, between January 2020 and March 2021. Parental informed consent was obtained for this study for each subject. The inclusion criteria were as follows: (1) age <14 years and (2) patient underwent cardiac catheterization before intervention. Patients with severe infections, tumors, severe cardiopulmonary dysfunctions, diabetes mellitus, systemic hypertension, cardiomyopathies, liver dysfunctions, or renal failure were excluded. PAH was diagnosed via cardiac catheterization. CHD patients were classified into either the PAH‐CHD group (mean pulmonary artery pressure [mPAP] >20 mmHg, n = 50) or the CHD group (mPAP ≤20 mmHg, n = 50) based on their mPAP. 25 Detailed health history, demographic data, laboratory examination, echocardiography, and cardiac catheterization findings were collected. In addition, 20 healthy subjects were recruited as controls. Venous blood (3–5 ml) was drawn from each subject and then centrifuged (1000 g for 15 min at 4°C) to separate the plasma. The samples were then kept at −80°C until further use. RNA and DNA extraction Total RNA was isolated from plasma samples using the BIOG cfRNA Easy Kit (Changzhou Baidai Biotechnology Co., Ltd.). It was then purified with an RNA purification and concentration kit (Tianmo Biotech) following the manufacturer's protocol. Genomic DNA (gDNA) was extracted using the TIANamp Genomic DNA Kit (Tiangen Biotech). Purity and concentration of RNA and DNA were quantified by spectrophotometry using a NanoDrop 2000 (Thermo Fisher Scientific). RNA/DNA samples with an A260/A280 ratio of 1.8–2.2 were used for subsequent experiments. Total RNA was isolated from plasma samples using the BIOG cfRNA Easy Kit (Changzhou Baidai Biotechnology Co., Ltd.). It was then purified with an RNA purification and concentration kit (Tianmo Biotech) following the manufacturer's protocol. Genomic DNA (gDNA) was extracted using the TIANamp Genomic DNA Kit (Tiangen Biotech). Purity and concentration of RNA and DNA were quantified by spectrophotometry using a NanoDrop 2000 (Thermo Fisher Scientific). RNA/DNA samples with an A260/A280 ratio of 1.8–2.2 were used for subsequent experiments. Quantitative reverse transcription–polymerase chain reaction RNA was reverse transcribed into complementary DNA (cDNA) using the GoScript™ Reverse Transcription System Protocol (Promega). A quantitative reverse transcription–polymerase chain reaction (qRT‐PCR) experiment was conducted using the ChamQ™ Universal SYBR qPCR Master mix (Vazyme Biotech) with a 7500 Real‐Time PCR System (Applied Biosystems). The qRT‐PCR reaction mixture (20 μl) contained 0.4 μl each of 10 μM forward and reverse primers, 10 μl of 2× ChamQ Universal SYBR qPCR Master mix, 2 μl of cDNA, and 7.2 μl of ribonuclease (RNase)‐free water. The amplification conditions were as follows: 30 s at 95℃, followed by 40 cycles of 10 s at 95°C, 30 s at 56°C, and 30 s at 72°C. Glyceraldehyde 3‐phosphate dehydrogenase was selected as the internal reference, and relative RNA expression was determined using the 2−ΔΔ C t method. Primers (Table 1) were synthesized by Sangon Biotech. The specificity of primers was confirmed using melting curve, agarose gel electrophoresis, and product sequencing analyses. Primer sequences Abbreviation: GAPDH, glyceraldehyde 3‐phosphate dehydrogenase. RNA was reverse transcribed into complementary DNA (cDNA) using the GoScript™ Reverse Transcription System Protocol (Promega). A quantitative reverse transcription–polymerase chain reaction (qRT‐PCR) experiment was conducted using the ChamQ™ Universal SYBR qPCR Master mix (Vazyme Biotech) with a 7500 Real‐Time PCR System (Applied Biosystems). The qRT‐PCR reaction mixture (20 μl) contained 0.4 μl each of 10 μM forward and reverse primers, 10 μl of 2× ChamQ Universal SYBR qPCR Master mix, 2 μl of cDNA, and 7.2 μl of ribonuclease (RNase)‐free water. The amplification conditions were as follows: 30 s at 95℃, followed by 40 cycles of 10 s at 95°C, 30 s at 56°C, and 30 s at 72°C. Glyceraldehyde 3‐phosphate dehydrogenase was selected as the internal reference, and relative RNA expression was determined using the 2−ΔΔ C t method. Primers (Table 1) were synthesized by Sangon Biotech. The specificity of primers was confirmed using melting curve, agarose gel electrophoresis, and product sequencing analyses. Primer sequences Abbreviation: GAPDH, glyceraldehyde 3‐phosphate dehydrogenase. RT‐PCR To verify the circular characteristics of hsa_circ_0003416, RT‐PCR was performed with divergent and convergent primers using 2× SanTaq PCR Mix (Sangon Biotech), following the manufacturer's protocols. Both cDNA and gDNA were used as templates. The RT‐PCR mix (50 µl) consisted of 2 μl each of 10 μM forward and reverse primers, 25 μl of 2× SanTaq PCR Mix, 2 μl of cDNA/gDNA, and 19 μl of RNase‐free water. The PCR reaction conditions were set according to the manufacturer's recommendations. The amplification products were further verified by 1% agarose gel electrophoresis. To verify the circular characteristics of hsa_circ_0003416, RT‐PCR was performed with divergent and convergent primers using 2× SanTaq PCR Mix (Sangon Biotech), following the manufacturer's protocols. Both cDNA and gDNA were used as templates. The RT‐PCR mix (50 µl) consisted of 2 μl each of 10 μM forward and reverse primers, 25 μl of 2× SanTaq PCR Mix, 2 μl of cDNA/gDNA, and 19 μl of RNase‐free water. The PCR reaction conditions were set according to the manufacturer's recommendations. The amplification products were further verified by 1% agarose gel electrophoresis. Bioinformatics analysis The circMIR software was used to predict circRNA‐miRNA interactions, based on the RNAhybrid (https://bibiserv.cebitec.uni‐bielefeld.de/rnahybrid/) and miRanda (http://www.microrna.org/) databases. The miRWalk database (http://zmf.umm.uniheidelberg.de/apps/zmf/mirwalk/) was used to predict the target genes of miRNAs targeting hsa_circ_0003416, and the top 30 genes of each miRNA were selected. Gene Ontology (GO) and Kyoto Encyclopedia of Genes and Genomes (KEGG) analyses were conducted using the DAVID database (http://david.abcc.ncifcrf.gov), based on the selected target genes. The GO terms and KEGG pathways with p‐value <0.05 were considered significantly enriched. The circMIR software was used to predict circRNA‐miRNA interactions, based on the RNAhybrid (https://bibiserv.cebitec.uni‐bielefeld.de/rnahybrid/) and miRanda (http://www.microrna.org/) databases. The miRWalk database (http://zmf.umm.uniheidelberg.de/apps/zmf/mirwalk/) was used to predict the target genes of miRNAs targeting hsa_circ_0003416, and the top 30 genes of each miRNA were selected. Gene Ontology (GO) and Kyoto Encyclopedia of Genes and Genomes (KEGG) analyses were conducted using the DAVID database (http://david.abcc.ncifcrf.gov), based on the selected target genes. The GO terms and KEGG pathways with p‐value <0.05 were considered significantly enriched. Statistical analysis SPSS 25.0 software (IBM) was applied for data processing. Categorical variables are presented herein as frequencies, and quantitative variables are presented either as means with standard deviation or as medians with interquartile range. Fisher's exact or chi‐square test was used to test the categorical variables. Data normality was tested using the Shapiro–Wilk normality test. If a quantitative variable conformed to a normal distribution, a Student's t‐test or analysis of variance was applied; otherwise, the Mann–Whitney U‐test or the Kruskal–Wallis H‐test was used. Receiver operating characteristic (ROC) curves were established using SPSS 25.0 to assess the diagnostic values. Correlation was calculated using Spearman correlation analysis. The predictors of PAH‐CHD were identified by logistic regression analysis. The baseline characteristics, including age, gender, body mass index (BMI), and hsa_circ_0003416 and B‐type natriuretic peptide (BNP) levels, were included in the multivariable regression analysis model as independent variables, whereas the presence of PAH‐CHD was considered a dependent variable. p < 0.05 (bilateral) indicated statistical difference. SPSS 25.0 software (IBM) was applied for data processing. Categorical variables are presented herein as frequencies, and quantitative variables are presented either as means with standard deviation or as medians with interquartile range. Fisher's exact or chi‐square test was used to test the categorical variables. Data normality was tested using the Shapiro–Wilk normality test. If a quantitative variable conformed to a normal distribution, a Student's t‐test or analysis of variance was applied; otherwise, the Mann–Whitney U‐test or the Kruskal–Wallis H‐test was used. Receiver operating characteristic (ROC) curves were established using SPSS 25.0 to assess the diagnostic values. Correlation was calculated using Spearman correlation analysis. The predictors of PAH‐CHD were identified by logistic regression analysis. The baseline characteristics, including age, gender, body mass index (BMI), and hsa_circ_0003416 and B‐type natriuretic peptide (BNP) levels, were included in the multivariable regression analysis model as independent variables, whereas the presence of PAH‐CHD was considered a dependent variable. p < 0.05 (bilateral) indicated statistical difference. Participants and plasma samples: This study was approved by the Ethics Committee of The First Affiliated Hospital of Guangxi Medical University (No. 2021; KY‐E‐156). A total of 100 CHD children were recruited for this study at the Department of Pediatrics, First Affiliated Hospital of Guangxi Medical University, between January 2020 and March 2021. Parental informed consent was obtained for this study for each subject. The inclusion criteria were as follows: (1) age <14 years and (2) patient underwent cardiac catheterization before intervention. Patients with severe infections, tumors, severe cardiopulmonary dysfunctions, diabetes mellitus, systemic hypertension, cardiomyopathies, liver dysfunctions, or renal failure were excluded. PAH was diagnosed via cardiac catheterization. CHD patients were classified into either the PAH‐CHD group (mean pulmonary artery pressure [mPAP] >20 mmHg, n = 50) or the CHD group (mPAP ≤20 mmHg, n = 50) based on their mPAP. 25 Detailed health history, demographic data, laboratory examination, echocardiography, and cardiac catheterization findings were collected. In addition, 20 healthy subjects were recruited as controls. Venous blood (3–5 ml) was drawn from each subject and then centrifuged (1000 g for 15 min at 4°C) to separate the plasma. The samples were then kept at −80°C until further use. RNA and DNA extraction: Total RNA was isolated from plasma samples using the BIOG cfRNA Easy Kit (Changzhou Baidai Biotechnology Co., Ltd.). It was then purified with an RNA purification and concentration kit (Tianmo Biotech) following the manufacturer's protocol. Genomic DNA (gDNA) was extracted using the TIANamp Genomic DNA Kit (Tiangen Biotech). Purity and concentration of RNA and DNA were quantified by spectrophotometry using a NanoDrop 2000 (Thermo Fisher Scientific). RNA/DNA samples with an A260/A280 ratio of 1.8–2.2 were used for subsequent experiments. Quantitative reverse transcription–polymerase chain reaction: RNA was reverse transcribed into complementary DNA (cDNA) using the GoScript™ Reverse Transcription System Protocol (Promega). A quantitative reverse transcription–polymerase chain reaction (qRT‐PCR) experiment was conducted using the ChamQ™ Universal SYBR qPCR Master mix (Vazyme Biotech) with a 7500 Real‐Time PCR System (Applied Biosystems). The qRT‐PCR reaction mixture (20 μl) contained 0.4 μl each of 10 μM forward and reverse primers, 10 μl of 2× ChamQ Universal SYBR qPCR Master mix, 2 μl of cDNA, and 7.2 μl of ribonuclease (RNase)‐free water. The amplification conditions were as follows: 30 s at 95℃, followed by 40 cycles of 10 s at 95°C, 30 s at 56°C, and 30 s at 72°C. Glyceraldehyde 3‐phosphate dehydrogenase was selected as the internal reference, and relative RNA expression was determined using the 2−ΔΔ C t method. Primers (Table 1) were synthesized by Sangon Biotech. The specificity of primers was confirmed using melting curve, agarose gel electrophoresis, and product sequencing analyses. Primer sequences Abbreviation: GAPDH, glyceraldehyde 3‐phosphate dehydrogenase. RT‐PCR: To verify the circular characteristics of hsa_circ_0003416, RT‐PCR was performed with divergent and convergent primers using 2× SanTaq PCR Mix (Sangon Biotech), following the manufacturer's protocols. Both cDNA and gDNA were used as templates. The RT‐PCR mix (50 µl) consisted of 2 μl each of 10 μM forward and reverse primers, 25 μl of 2× SanTaq PCR Mix, 2 μl of cDNA/gDNA, and 19 μl of RNase‐free water. The PCR reaction conditions were set according to the manufacturer's recommendations. The amplification products were further verified by 1% agarose gel electrophoresis. Bioinformatics analysis: The circMIR software was used to predict circRNA‐miRNA interactions, based on the RNAhybrid (https://bibiserv.cebitec.uni‐bielefeld.de/rnahybrid/) and miRanda (http://www.microrna.org/) databases. The miRWalk database (http://zmf.umm.uniheidelberg.de/apps/zmf/mirwalk/) was used to predict the target genes of miRNAs targeting hsa_circ_0003416, and the top 30 genes of each miRNA were selected. Gene Ontology (GO) and Kyoto Encyclopedia of Genes and Genomes (KEGG) analyses were conducted using the DAVID database (http://david.abcc.ncifcrf.gov), based on the selected target genes. The GO terms and KEGG pathways with p‐value <0.05 were considered significantly enriched. Statistical analysis: SPSS 25.0 software (IBM) was applied for data processing. Categorical variables are presented herein as frequencies, and quantitative variables are presented either as means with standard deviation or as medians with interquartile range. Fisher's exact or chi‐square test was used to test the categorical variables. Data normality was tested using the Shapiro–Wilk normality test. If a quantitative variable conformed to a normal distribution, a Student's t‐test or analysis of variance was applied; otherwise, the Mann–Whitney U‐test or the Kruskal–Wallis H‐test was used. Receiver operating characteristic (ROC) curves were established using SPSS 25.0 to assess the diagnostic values. Correlation was calculated using Spearman correlation analysis. The predictors of PAH‐CHD were identified by logistic regression analysis. The baseline characteristics, including age, gender, body mass index (BMI), and hsa_circ_0003416 and B‐type natriuretic peptide (BNP) levels, were included in the multivariable regression analysis model as independent variables, whereas the presence of PAH‐CHD was considered a dependent variable. p < 0.05 (bilateral) indicated statistical difference. RESULTS: Subject characteristics Among the 120 subjects involved in this study (50 PAH‐CHD patients, 50 CHD patients, and 20 healthy subjects), sex, age, and BMI did not differ significantly across the groups (p > 0.05; Table 2). As shown in Table 3, PAH‐CHD patients had a higher cardiothoracic ratio, systolic pulmonary arterial pressure (sPAP), mPAP, diastolic pulmonary arterial pressure (dPAP), PVR, pulmonary‐to‐systemic flow ratio (QP/QS), and BNP and creatine kinase‐MB (CK‐MB) levels than CHD patients (p < 0.05) while displaying a lower systolic blood pressure (SBP), diastolic blood pressure (DBP), ejection fraction (EF), and cardiac index (CI); no difference was noted in the left ventricular end‐diastolic diameter (LVEDd), mean right atrial pressure, and CHD types between the two groups (p > 0.05). Baseline characteristics of subjects PAH‐CHD group (n = 50) CHD group (n = 50) Healthy group (n = 20) Values expressed show frequency (n); chi‐square or Fisher's exact test was used for analysis. Abbreviations: BMI, body mass index; CHD, congenital heart disease; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease. Clinical characteristics of the patients The number of CHD types are expressed as frequencies (n); Fisher's exact test was used for analysis. The SBP, DBP, EF, LVEDd, cardiothoracic ratio, sPAP, mPAP, and dPAP conformed to normal distributions and are presented as means ± standard deviation; Student's t‐test was used for analysis. mRAP, PVR, QP/QS, CI, BNP, CK‐MB, and hsa_circ_0003416 did not conform to normal distribution; they are presented as medians with interquartile range; Mann–Whitney U‐test was used for analysis. Abbreviations: AORPA, anomalous origin of the right pulmonary artery from the ascending aorta; ASD, atrial septal defect; BNP, B‐type natriuretic peptide; CHD, congenital heart disease; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; LVEDd, left ventricular end‐diastolic diameter; mPAP, mean pulmonary arterial pressure; mRAP, mean right atrial pressure; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease; PDA, patent ductus arteriosus; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure; TAPVR, total anomalous pulmonary venous return; VSD, ventricular septal defect. Among the 120 subjects involved in this study (50 PAH‐CHD patients, 50 CHD patients, and 20 healthy subjects), sex, age, and BMI did not differ significantly across the groups (p > 0.05; Table 2). As shown in Table 3, PAH‐CHD patients had a higher cardiothoracic ratio, systolic pulmonary arterial pressure (sPAP), mPAP, diastolic pulmonary arterial pressure (dPAP), PVR, pulmonary‐to‐systemic flow ratio (QP/QS), and BNP and creatine kinase‐MB (CK‐MB) levels than CHD patients (p < 0.05) while displaying a lower systolic blood pressure (SBP), diastolic blood pressure (DBP), ejection fraction (EF), and cardiac index (CI); no difference was noted in the left ventricular end‐diastolic diameter (LVEDd), mean right atrial pressure, and CHD types between the two groups (p > 0.05). Baseline characteristics of subjects PAH‐CHD group (n = 50) CHD group (n = 50) Healthy group (n = 20) Values expressed show frequency (n); chi‐square or Fisher's exact test was used for analysis. Abbreviations: BMI, body mass index; CHD, congenital heart disease; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease. Clinical characteristics of the patients The number of CHD types are expressed as frequencies (n); Fisher's exact test was used for analysis. The SBP, DBP, EF, LVEDd, cardiothoracic ratio, sPAP, mPAP, and dPAP conformed to normal distributions and are presented as means ± standard deviation; Student's t‐test was used for analysis. mRAP, PVR, QP/QS, CI, BNP, CK‐MB, and hsa_circ_0003416 did not conform to normal distribution; they are presented as medians with interquartile range; Mann–Whitney U‐test was used for analysis. Abbreviations: AORPA, anomalous origin of the right pulmonary artery from the ascending aorta; ASD, atrial septal defect; BNP, B‐type natriuretic peptide; CHD, congenital heart disease; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; LVEDd, left ventricular end‐diastolic diameter; mPAP, mean pulmonary arterial pressure; mRAP, mean right atrial pressure; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease; PDA, patent ductus arteriosus; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure; TAPVR, total anomalous pulmonary venous return; VSD, ventricular septal defect. Validation of hsa_circ_0003416 According to the circBase database, hsa_circ_0003416 (chrX: 12995025–12995149) was identified to be derived from exon three of the thymosin beta 4 X‐linked (TMSB4X) gene, which is 124‐base pair (bp) long. Specific divergent primers of hsa_circ_0003416 were used for qRT‐PCR, specificity being revealed by melting curve having a single peak (Figure 1A) and gel electrophoresis showing a single band of the expected size (Figure 1B). Agarose gel electrophoresis of the RT‐PCR product revealed that divergent primers only amplified hsa_circ_0003416 in cDNA samples, whereas the convergent primers amplified the linear product in both cDNA and gDNA (Figure 1C). Furthermore, the back‐spliced junction of hsa_circ_0003416 was verified by Sanger sequencing (Figure 1D). The results collectively suggested that hsa_circ_0003416 was a circRNA. Validation of hsa_circ_0003416. (A) Melting curve. (B) Gel electrophoresis of the polymerase chain reaction (PCR) product. (C) Divergent primers (◄►) for detecting hsa_circ_0003416 in complementary DNA (cDNA) but not in genomic DNA (gDNA). (d) Sanger sequencing of the back‐spliced junction (↓) of hsa_circ_0003416 According to the circBase database, hsa_circ_0003416 (chrX: 12995025–12995149) was identified to be derived from exon three of the thymosin beta 4 X‐linked (TMSB4X) gene, which is 124‐base pair (bp) long. Specific divergent primers of hsa_circ_0003416 were used for qRT‐PCR, specificity being revealed by melting curve having a single peak (Figure 1A) and gel electrophoresis showing a single band of the expected size (Figure 1B). Agarose gel electrophoresis of the RT‐PCR product revealed that divergent primers only amplified hsa_circ_0003416 in cDNA samples, whereas the convergent primers amplified the linear product in both cDNA and gDNA (Figure 1C). Furthermore, the back‐spliced junction of hsa_circ_0003416 was verified by Sanger sequencing (Figure 1D). The results collectively suggested that hsa_circ_0003416 was a circRNA. Validation of hsa_circ_0003416. (A) Melting curve. (B) Gel electrophoresis of the polymerase chain reaction (PCR) product. (C) Divergent primers (◄►) for detecting hsa_circ_0003416 in complementary DNA (cDNA) but not in genomic DNA (gDNA). (d) Sanger sequencing of the back‐spliced junction (↓) of hsa_circ_0003416 Expression of hsa_circ_0003416 in plasma of PAH‐CHD patients The hsa_circ_0003416 expression levels in plasma were determined in 50 PAH‐CHD cases, 50 CHD cases, and 20 healthy cases by qRT‐PCR, and the levels were found to be lower in the PAH‐CHD group than in the CHD and healthy control groups (p = 0.009 vs. control group, p = 0.026 vs. CHD group). However, no significant difference was detected between the hsa_circ_0003416 levels of the healthy control and that of the CHD groups (Figure 2A). Furthermore, dividing PAH‐CHD patients into three groups according to mPAP (mild: 20–40 mmHg, moderate: 41–55 mmHg, and severe: >55 mmHg) revealed that hsa_circ_0003416 expression levels had no significant difference across the three groups (Figure 2B). Additionally, the PAH‐CHD patients were divided into different cardiac lesion groups (Table 3); there was no significant difference in hsa_circ_0003416 levels across the groups (p > 0.05). Relative hsa_circ_0003416 expression levels. (A) Relative hsa_circ_0003416 expression levels in the plasma of PAH‐CHD patients, CHD patients, and healthy controls. (B) Relative hsa_circ_0003416 expression levels in the plasma of mild, moderate, and severe PAH groups The hsa_circ_0003416 expression levels in plasma were determined in 50 PAH‐CHD cases, 50 CHD cases, and 20 healthy cases by qRT‐PCR, and the levels were found to be lower in the PAH‐CHD group than in the CHD and healthy control groups (p = 0.009 vs. control group, p = 0.026 vs. CHD group). However, no significant difference was detected between the hsa_circ_0003416 levels of the healthy control and that of the CHD groups (Figure 2A). Furthermore, dividing PAH‐CHD patients into three groups according to mPAP (mild: 20–40 mmHg, moderate: 41–55 mmHg, and severe: >55 mmHg) revealed that hsa_circ_0003416 expression levels had no significant difference across the three groups (Figure 2B). Additionally, the PAH‐CHD patients were divided into different cardiac lesion groups (Table 3); there was no significant difference in hsa_circ_0003416 levels across the groups (p > 0.05). Relative hsa_circ_0003416 expression levels. (A) Relative hsa_circ_0003416 expression levels in the plasma of PAH‐CHD patients, CHD patients, and healthy controls. (B) Relative hsa_circ_0003416 expression levels in the plasma of mild, moderate, and severe PAH groups Spearman's correlation analysis of plasma hsa_circ_0003416 and clinical variables The clinical variables, including SBP, DBP, EF, cardiothoracic ratio, sPAP, mPAP, dPAP, PVR, QP/QS, CI, BNP, and CK‐MB, were significantly different between the PAH‐CHD and CHD groups. Further analysis of their correlations with hsa_circ_0003416 expression levels showed hsa_circ_0003416 to be negatively correlated with BNP (r = −0.342, p = 0.013). However, there was no correlation between hsa_circ_0003416 and the other clinical characteristics (Table 4). Correlations of hsa_circ_0003416 with various parameters Abbreviations: BMI, body mass index; BNP, B‐type natriuretic peptide; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; mPAP, mean pulmonary arterial pressure; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure. The clinical variables, including SBP, DBP, EF, cardiothoracic ratio, sPAP, mPAP, dPAP, PVR, QP/QS, CI, BNP, and CK‐MB, were significantly different between the PAH‐CHD and CHD groups. Further analysis of their correlations with hsa_circ_0003416 expression levels showed hsa_circ_0003416 to be negatively correlated with BNP (r = −0.342, p = 0.013). However, there was no correlation between hsa_circ_0003416 and the other clinical characteristics (Table 4). Correlations of hsa_circ_0003416 with various parameters Abbreviations: BMI, body mass index; BNP, B‐type natriuretic peptide; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; mPAP, mean pulmonary arterial pressure; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure. Assessment of the diagnostic potential of hsa_circ_0003416 in patients with PAH‐CHD ROC analysis, for evaluating the potential diagnostic capability of plasma hsa_circ_0003416 levels for PAH‐CHD, revealed that area under the curve (AUC) of plasma hsa_circ_0003416 was 0.721 (95% confidence interval = 0.585–0.857, p = 0.004), with a cutoff value of 0.99. Moreover, the sensitivity was 0.66 and specificity was 0.7 (Figure 3). Multivariate regression analysis was conducted to explore the predictive value of hsa_circ_0003416. The results indicated hsa_circ_0003416 (odds ratio [OR] = 0.015, 95% confidence interval = 0.000–0.597, p = 0.025) as an independent predictor of PAH‐CHD (Table 5). Receiver operating characteristic (ROC) curve of plasma hsa_circ_0003416 Multivariate logistic regression analysis Abbreviations: 95% CI, 95% confidence intervals; B, regression coefficient; BMI, body mass index; BNP, B‐type natriuretic peptide; OR, odds ratio; SE, standard error. ROC analysis, for evaluating the potential diagnostic capability of plasma hsa_circ_0003416 levels for PAH‐CHD, revealed that area under the curve (AUC) of plasma hsa_circ_0003416 was 0.721 (95% confidence interval = 0.585–0.857, p = 0.004), with a cutoff value of 0.99. Moreover, the sensitivity was 0.66 and specificity was 0.7 (Figure 3). Multivariate regression analysis was conducted to explore the predictive value of hsa_circ_0003416. The results indicated hsa_circ_0003416 (odds ratio [OR] = 0.015, 95% confidence interval = 0.000–0.597, p = 0.025) as an independent predictor of PAH‐CHD (Table 5). Receiver operating characteristic (ROC) curve of plasma hsa_circ_0003416 Multivariate logistic regression analysis Abbreviations: 95% CI, 95% confidence intervals; B, regression coefficient; BMI, body mass index; BNP, B‐type natriuretic peptide; OR, odds ratio; SE, standard error. Bioinformatics analysis The circMIR software prediction revealed that hsa_circ_0003416 contained multiple miRNA‐binding sites (Figure 4); the target genes of miRNAs were also predicted. The top 10 GO terms based on the three aspects (biological process [BP], cellular component [CC], and molecular function [MF]) are presented in Figure 5. KEGG pathway analysis indicated that the genes were primarily enriched in pathways associated with cancer. Notably, the forkhead box O signaling pathway was the most significantly enriched pathway. Among the top 11 pathways, the phosphatidylinositol‐3‐kinase and protein kinase B (PI3K‐AKT) and transforming growth factor‐β (TGF‐β) signaling pathways have been proven to be involved in PAH (Figure 6). MicroRNA (miRNA)‐binding sites of hsa_circ_0003416 Gene ontology (GO) analysis of predicted target genes of hsa_circ_0003416 Kyoto Encyclopedia of Genes and Genomes (KEGG) pathway analysis of predicted target genes of hsa_circ_0003416 The circMIR software prediction revealed that hsa_circ_0003416 contained multiple miRNA‐binding sites (Figure 4); the target genes of miRNAs were also predicted. The top 10 GO terms based on the three aspects (biological process [BP], cellular component [CC], and molecular function [MF]) are presented in Figure 5. KEGG pathway analysis indicated that the genes were primarily enriched in pathways associated with cancer. Notably, the forkhead box O signaling pathway was the most significantly enriched pathway. Among the top 11 pathways, the phosphatidylinositol‐3‐kinase and protein kinase B (PI3K‐AKT) and transforming growth factor‐β (TGF‐β) signaling pathways have been proven to be involved in PAH (Figure 6). MicroRNA (miRNA)‐binding sites of hsa_circ_0003416 Gene ontology (GO) analysis of predicted target genes of hsa_circ_0003416 Kyoto Encyclopedia of Genes and Genomes (KEGG) pathway analysis of predicted target genes of hsa_circ_0003416 Subject characteristics: Among the 120 subjects involved in this study (50 PAH‐CHD patients, 50 CHD patients, and 20 healthy subjects), sex, age, and BMI did not differ significantly across the groups (p > 0.05; Table 2). As shown in Table 3, PAH‐CHD patients had a higher cardiothoracic ratio, systolic pulmonary arterial pressure (sPAP), mPAP, diastolic pulmonary arterial pressure (dPAP), PVR, pulmonary‐to‐systemic flow ratio (QP/QS), and BNP and creatine kinase‐MB (CK‐MB) levels than CHD patients (p < 0.05) while displaying a lower systolic blood pressure (SBP), diastolic blood pressure (DBP), ejection fraction (EF), and cardiac index (CI); no difference was noted in the left ventricular end‐diastolic diameter (LVEDd), mean right atrial pressure, and CHD types between the two groups (p > 0.05). Baseline characteristics of subjects PAH‐CHD group (n = 50) CHD group (n = 50) Healthy group (n = 20) Values expressed show frequency (n); chi‐square or Fisher's exact test was used for analysis. Abbreviations: BMI, body mass index; CHD, congenital heart disease; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease. Clinical characteristics of the patients The number of CHD types are expressed as frequencies (n); Fisher's exact test was used for analysis. The SBP, DBP, EF, LVEDd, cardiothoracic ratio, sPAP, mPAP, and dPAP conformed to normal distributions and are presented as means ± standard deviation; Student's t‐test was used for analysis. mRAP, PVR, QP/QS, CI, BNP, CK‐MB, and hsa_circ_0003416 did not conform to normal distribution; they are presented as medians with interquartile range; Mann–Whitney U‐test was used for analysis. Abbreviations: AORPA, anomalous origin of the right pulmonary artery from the ascending aorta; ASD, atrial septal defect; BNP, B‐type natriuretic peptide; CHD, congenital heart disease; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; LVEDd, left ventricular end‐diastolic diameter; mPAP, mean pulmonary arterial pressure; mRAP, mean right atrial pressure; PAH‐CHD, pulmonary arterial hypertension associated with congenital heart disease; PDA, patent ductus arteriosus; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure; TAPVR, total anomalous pulmonary venous return; VSD, ventricular septal defect. Validation of hsa_circ_0003416: According to the circBase database, hsa_circ_0003416 (chrX: 12995025–12995149) was identified to be derived from exon three of the thymosin beta 4 X‐linked (TMSB4X) gene, which is 124‐base pair (bp) long. Specific divergent primers of hsa_circ_0003416 were used for qRT‐PCR, specificity being revealed by melting curve having a single peak (Figure 1A) and gel electrophoresis showing a single band of the expected size (Figure 1B). Agarose gel electrophoresis of the RT‐PCR product revealed that divergent primers only amplified hsa_circ_0003416 in cDNA samples, whereas the convergent primers amplified the linear product in both cDNA and gDNA (Figure 1C). Furthermore, the back‐spliced junction of hsa_circ_0003416 was verified by Sanger sequencing (Figure 1D). The results collectively suggested that hsa_circ_0003416 was a circRNA. Validation of hsa_circ_0003416. (A) Melting curve. (B) Gel electrophoresis of the polymerase chain reaction (PCR) product. (C) Divergent primers (◄►) for detecting hsa_circ_0003416 in complementary DNA (cDNA) but not in genomic DNA (gDNA). (d) Sanger sequencing of the back‐spliced junction (↓) of hsa_circ_0003416 Expression of hsa_circ_0003416 in plasma of PAH‐CHD patients: The hsa_circ_0003416 expression levels in plasma were determined in 50 PAH‐CHD cases, 50 CHD cases, and 20 healthy cases by qRT‐PCR, and the levels were found to be lower in the PAH‐CHD group than in the CHD and healthy control groups (p = 0.009 vs. control group, p = 0.026 vs. CHD group). However, no significant difference was detected between the hsa_circ_0003416 levels of the healthy control and that of the CHD groups (Figure 2A). Furthermore, dividing PAH‐CHD patients into three groups according to mPAP (mild: 20–40 mmHg, moderate: 41–55 mmHg, and severe: >55 mmHg) revealed that hsa_circ_0003416 expression levels had no significant difference across the three groups (Figure 2B). Additionally, the PAH‐CHD patients were divided into different cardiac lesion groups (Table 3); there was no significant difference in hsa_circ_0003416 levels across the groups (p > 0.05). Relative hsa_circ_0003416 expression levels. (A) Relative hsa_circ_0003416 expression levels in the plasma of PAH‐CHD patients, CHD patients, and healthy controls. (B) Relative hsa_circ_0003416 expression levels in the plasma of mild, moderate, and severe PAH groups Spearman's correlation analysis of plasma hsa_circ_0003416 and clinical variables: The clinical variables, including SBP, DBP, EF, cardiothoracic ratio, sPAP, mPAP, dPAP, PVR, QP/QS, CI, BNP, and CK‐MB, were significantly different between the PAH‐CHD and CHD groups. Further analysis of their correlations with hsa_circ_0003416 expression levels showed hsa_circ_0003416 to be negatively correlated with BNP (r = −0.342, p = 0.013). However, there was no correlation between hsa_circ_0003416 and the other clinical characteristics (Table 4). Correlations of hsa_circ_0003416 with various parameters Abbreviations: BMI, body mass index; BNP, B‐type natriuretic peptide; CI, cardiac index; CK‐MB, creatine kinase‐MB; DBP, diastolic blood pressure; dPAP, diastolic pulmonary arterial pressure; EF, ejection fraction; mPAP, mean pulmonary arterial pressure; PVR, pulmonary vascular resistance; QP/QS, pulmonary to systemic flow ratio; SBP, systolic blood pressure; sPAP, systolic pulmonary arterial pressure. Assessment of the diagnostic potential of hsa_circ_0003416 in patients with PAH‐CHD: ROC analysis, for evaluating the potential diagnostic capability of plasma hsa_circ_0003416 levels for PAH‐CHD, revealed that area under the curve (AUC) of plasma hsa_circ_0003416 was 0.721 (95% confidence interval = 0.585–0.857, p = 0.004), with a cutoff value of 0.99. Moreover, the sensitivity was 0.66 and specificity was 0.7 (Figure 3). Multivariate regression analysis was conducted to explore the predictive value of hsa_circ_0003416. The results indicated hsa_circ_0003416 (odds ratio [OR] = 0.015, 95% confidence interval = 0.000–0.597, p = 0.025) as an independent predictor of PAH‐CHD (Table 5). Receiver operating characteristic (ROC) curve of plasma hsa_circ_0003416 Multivariate logistic regression analysis Abbreviations: 95% CI, 95% confidence intervals; B, regression coefficient; BMI, body mass index; BNP, B‐type natriuretic peptide; OR, odds ratio; SE, standard error. Bioinformatics analysis: The circMIR software prediction revealed that hsa_circ_0003416 contained multiple miRNA‐binding sites (Figure 4); the target genes of miRNAs were also predicted. The top 10 GO terms based on the three aspects (biological process [BP], cellular component [CC], and molecular function [MF]) are presented in Figure 5. KEGG pathway analysis indicated that the genes were primarily enriched in pathways associated with cancer. Notably, the forkhead box O signaling pathway was the most significantly enriched pathway. Among the top 11 pathways, the phosphatidylinositol‐3‐kinase and protein kinase B (PI3K‐AKT) and transforming growth factor‐β (TGF‐β) signaling pathways have been proven to be involved in PAH (Figure 6). MicroRNA (miRNA)‐binding sites of hsa_circ_0003416 Gene ontology (GO) analysis of predicted target genes of hsa_circ_0003416 Kyoto Encyclopedia of Genes and Genomes (KEGG) pathway analysis of predicted target genes of hsa_circ_0003416 DISCUSSION: Pulmonary arterial hypertension, which is a common complication of CHD, increases the mortality risk of CHD patients. 26 Up to 30% of adult and 75% of pediatric PAH cases occur secondary to CHD. 27 CHD results in a systemic‐to‐pulmonary shunt that increases pulmonary blood flow, eventually leading to endothelial cell injury, neointimal development, and pulmonary vascular remodeling. 28 However, the development of PAH‐CHD is a multistep and multifactorial process, and its pathogenesis has not yet been fully elucidated. In addition to hemodynamics‐based changes, genetic and epigenetic alterations have been shown to contribute to the pathogenesis of PAH‐CHD. 27 , 29 Accumulating evidence has revealed circRNAs to be implicated in the pathogenesis of PAH. For example, Zhou et al. 30 reported that hsa_circ_0016070 participates in the pathogenesis of PAH by promoting vascular remodeling via the miR‐942/cyclin D1 axis. Miao et al. 31 found that hsa_circ_0046159 is correlated with chronic thromboembolic pulmonary hypertension. In addition, circ‐calm4 has been shown to promote pulmonary vascular remodeling in hypoxic pulmonary hypertension. 24 However, there have been very few studies on the functional relevance of circRNAs in PAH‐CHD. In the current study, the expression and clinical significance of hsa_circ_0003416 in PAH‐CHD were explored for the first time, revealing that hsa_circ_0003416 may have potential regarding the diagnosis of PAH‐CHD. Currently, cardiac catheterization remains the gold standard for PAH diagnosis; however, it may introduce some risks for the patients due to its invasive nature. Although some non‐invasive markers have been identified for the diagnosis and evaluation of PAH, there still remain some limitations in their clinical application. Recently, many studies have shown that circRNAs can serve as potential biomarkers for disease diagnosis. CircRNAs widely exist in eukaryotes at expression levels that are tenfold or higher than their linear isomers. 32  They have some crucial biological properties, such as specific expression, high conservation, high stability, and high abundance. 33  These characteristics indicate the promising potential of circRNAs as ideal biomarkers. Huang et al. 34 revealed that hsa_circ_0000745 levels are lower in the plasma and gastric cancer tissues of patients with gastric cancer than in control samples, indicating it as a promising diagnostic biomarker. Yuan et al. 35 reported that the circRNA circ_0026344 suppresses progression of colorectal cancer, and hence, can be utilized as a prognostic biomarker. Hang et al. 36 found circFARSA to be potent as a biomarker for lung cancer. These reports collectively suggested that circRNAs may open new possibilities for the early detection of diseases. In recent years, several circRNAs have been identified as potential biomarkers for PAH. Zhang et al. 37 found circ_0068481 to be highly expressed in the serum of patients with idiopathic PAH (IPAH), with an AUC of 0.895 being obtained through ROC analysis. Its expression levels were able to predict a poor clinical outcome. This suggested that circ_0068481 could play the role of a serum biomarker of IPAH. Miao et al. 31  had reported that hsa_circ_0046159 expression is significantly increased in the blood samples of patients with chronic thromboembolic pulmonary hypertension. Another adult study reported the level of hsa_circ_0029642 to be significantly lower in PAH‐CHD patients than in CHD patients, thereby suggesting hsa_circ_0029642 as a potential serum biomarker of PAH. 38 However, ours was the first study to explore the diagnostic role of circRNA in pediatric PAH‐CHD. Here, hsa_circ_0003416 levels were found to be lower in PAH‐CHD patients than in CHD patients and healthy subjects, although no significant difference was found across different PAH groups and CHD lesion groups. This lack of significance might relate to the relatively small sample size. Furthermore, hsa_circ_0003416 expression levels were found to be negatively correlated with BNP. BNP is secreted from ventricular myocytes in response to pressure overload or hormonal stimulation. It is positively associated with mPAP and negatively associated with CI in patients; it can also be used for risk stratification in PAH. 39 Collectively, the results presented here suggested that plasma hsa_circ_0003416 may be related to the development and severity of PAH. Constructing ROC curves to further explore its diagnostic value revealed the AUC of plasma hsa_circ_0003416 to be 0.721, whereas the sensitivity was 0.66 and specificity was 0.7. Furthermore, hsa_circ_0003416 was considered to be an independent predictor of PAH‐CHD. The results revealed that plasma hsa_circ_0003416 has potential as a diagnostic biomarker of PAH‐CHD. However, exploring a new biomarker is a long and difficult process, from its discovery to validation and clinical application. Further validation would be required to evaluate the reliability of our current findings and the potential value of hsa_circ_0003416 in clinical application. CircRNAs represent a relatively new field of research. To the best of our knowledge, there has been no definite evidence demonstrating the function of hsa_circ_0003416 till date. In this study, in silico analysis demonstrated the full‐length hsa_circ_0003416 to be 124‐bp long, encoded by the TMSB4X gene. TMSB4X is known as an important regulator of angiogenesis. 40  Numerous studies have indicated that circRNAs can act as miRNA sponges or competing endogenous RNA (ceRNA) and can regulate the downstream expression of genes. 16 , 41 A representative circRNA named Cdr1as has been reported to harbor over 70 miRNA‐binding sites and regulate downstream pathways by inhibiting miR‐7 activity. 16 , 42 Here, circRNA‐miRNA interaction predictions revealed that hsa_circ_0003416 is able to interact with many miRNAs. GO analysis of target genes of the predicted miRNAs showed them to be primarily associated with terms, such as the regulation of transcription, retrograde vesicle‐mediated transport, and protein binding. Moreover, KEGG analysis suggested that most of the predicted genes were primarily enriched in pathways associated with cancer. As is well known, PAH and cancer share similar phenotypes, such as hyperproliferation, over‐migration, and anti‐apoptosis. Furthermore, among the top 11 pathways, the PI3K‐AKT and TGF‐β signal pathways have been proven to be involved in PAH. 43 , 44  The results presented here revealed that hsa_circ_0003416 may contribute to the pathogenesis of PAH through a ceRNA mechanism. However, mechanism underlying the aberrant expression of hsa_circ_0003416 in PAH has not yet been elucidated; therefore, further research would be required for its validation. The present study had some limitations. First, the sample size was relatively small; a larger sample size would be required in future studies for validating the results. Second, the expression level of hsa_circ_0003416 should be investigated before and after surgery to assess the correlation between hsa_circ_0003416 and clinical data. Third, the underlying mechanism by which hsa_circ_0003416 affects PAH‐CHD pathogenesis was not elucidated; thus, further experiments would be required to determine the exact mechanism. CONCLUSION: This study determined, for the first time, the expression levels of hsa_circ_0003416 in plasma of PAH‐CHD patients, CHD patients, and healthy subjects in a pediatric population. The obtained results indicated that hsa_circ_0003416 might serve as a candidate biomarker for diagnosing PAH‐CHD. The findings of this study provided new insights into the diagnosis of PAH‐CHD. CONFLICT OF INTEREST: The authors have no conflicts of interest to declare. AUTHOR CONTRIBUTIONS: YH conducted data analysis and drafted the manuscript. YH and DS performed the experiments. BY, YH, SQ, CC, and YZ collected the specimens and clinical information. YP made contribution to study design and revised the manuscript. All authors agreed to publication of the manuscript.
Background: Circular RNAs (circRNAs) have been found to be involved in the development of pulmonary arterial hypertension (PAH). However, their diagnostic value in pediatric PAH remains unclear. This study aimed to examine the characteristic expression of the circRNA hsa_circ_0003416 in the plasma of children with PAH caused by congenital heart disease (CHD); the potential of hsa_circ_0003416 as a diagnostic biomarker was also investigated. Methods: The plasma expression levels of hsa_circ_0003416 were determined via quantitative reverse transcription-polymerase chain reaction in 50 CHD patients, 50 PAH patients, and 20 healthy subjects; the associations between hsa_circ_0003416 levels and clinical data were analyzed thereafter. Receiver operating characteristic curves were employed to determine the diagnostic capacity of this circRNA. Results: Expression levels of hsa_circ_0003416 in plasma were lower in the PAH-CHD group than in the CHD and healthy control groups (p = 0.009 vs. healthy control group, p = 0.026 vs. CHD group). Moreover, hsa_circ_0003416 was found to be negatively associated with B-type natriuretic peptide (r = -0.342, p = 0.013). In addition, the area under the curve of hsa_circ_0003416 levels in plasma was 0.721 (95% confidence intervals = 0.585-0.857, p = 0.004), suggesting that it has a promising diagnostic value. Conclusions: Overall, hsa_circ_0003416 was found to be significantly downregulated in children with PAH-CHD and to be potent as a biomarker for PAH-CHD diagnosis.
INTRODUCTION: Pulmonary arterial hypertension (PAH) is a devastating vascular disorder characterized by an increase in pulmonary vascular resistance (PVR); this eventually evolves into right heart dysfunction and can potentially result in death. 1 , 2  Data reported by China registry studies have indicated that the most frequent cause of PAH in children is congenital heart disease (CHD), 3 with approximately 5%–10% of CHD patients eventually progressing to develop varying degrees of PAH. 4 Due to the lack of specific symptoms at an early stage, the diagnosis of PAH associated with CHD (PAH‐CHD) is often delayed. Patients with CHD have been reported to be diagnosed with PAH approximately 6 years after symptom onset 5 ; occurrence of PAH increases the mortality rate of patients with CHD more than twofold compared with that of patients without PAH. 6 Despite great advancements in treatment, the prognosis of children with PAH‐CHD remains poor. 7  Thus, methods to aid the early diagnosis and effective treatment of PAH‐CHD are urgently required. Currently, cardiac catheterization remains the gold standard for PAH diagnosis, and it can directly assess pulmonary hemodynamics and perform vasoreactivity test. 8 However, this approach may increase the risk of complications, such as puncture injury, arrhythmias, hypertensive crisis, pulmonary embolism, and even death; therefore, it is not suitable for repeated evaluation. 8 Echocardiography is a non‐invasive and widely available tool for patients with PAH‐CHD. However, it is relatively expensive, and its accuracy is influenced by many factors, such as the experience of operator and quality of the equipment. Currently, a specific, inexpensive, and non‐invasive method for screening PAH‐CHD is lacking 9 ; therefore, identification of effective non‐invasive biomarkers for clinical practice is imperative. Circular ribonucleic acids (circRNAs) are an emerging type of endogenous RNAs that are produced by the back‐splicing of pre‐messenger RNA. 10 Previously, circRNAs were considered to be noncoding RNAs. However, recent studies have shown some of them to have translational function. 11 , 12 In contrast to traditional linear RNAs, circRNAs form covalent closed‐loop structures without a 5′‐cap or 3′‐polyadenylate tail. 13  Their unique circular structures protect them from degradation by RNA exonuclease, thereby rendering them stable and abundant in tissues and body fluid. 14 , 15  This makes them promising clinical biomarkers for diseases. CircRNAs can regulate gene expression at the transcriptional and post‐transcriptional levels by interacting with microRNA (miRNA) or RNA‐binding proteins, and can participate in various biological process. 14 , 16  They have also been widely implicated in a variety of diseases, including cardiovascular diseases, diabetes, cancer, and nervous system diseases. 17 , 18 , 19 , 20 Aberrant expression of circRNAs may be involved in the pathogenesis of PAH. 21 , 22 , 23 , 24 However, the potential functions of most circRNAs in PAH have not yet been clarified. The present study aimed to assess the potential of plasma circRNAs in aiding the diagnosis of PAH‐CHD in children. The circRNA hsa_circ_0003416 was selected as a research target based on previous microarray data (GSE171827 in the Gene Expression Omnibus database); it had previously been found to be one of the most downregulated circRNAs in the plasma of PAH‐CHD children. This study, therefore, examined the characteristic expressions of hsa_circ_0003416 in a larger sample size and analyzed its clinical value, with the aim of determining whether hsa_circ_0003416 could possibly serve as a biomarker for PAH‐CHD diagnosis. CONCLUSION: This study determined, for the first time, the expression levels of hsa_circ_0003416 in plasma of PAH‐CHD patients, CHD patients, and healthy subjects in a pediatric population. The obtained results indicated that hsa_circ_0003416 might serve as a candidate biomarker for diagnosing PAH‐CHD. The findings of this study provided new insights into the diagnosis of PAH‐CHD.
Background: Circular RNAs (circRNAs) have been found to be involved in the development of pulmonary arterial hypertension (PAH). However, their diagnostic value in pediatric PAH remains unclear. This study aimed to examine the characteristic expression of the circRNA hsa_circ_0003416 in the plasma of children with PAH caused by congenital heart disease (CHD); the potential of hsa_circ_0003416 as a diagnostic biomarker was also investigated. Methods: The plasma expression levels of hsa_circ_0003416 were determined via quantitative reverse transcription-polymerase chain reaction in 50 CHD patients, 50 PAH patients, and 20 healthy subjects; the associations between hsa_circ_0003416 levels and clinical data were analyzed thereafter. Receiver operating characteristic curves were employed to determine the diagnostic capacity of this circRNA. Results: Expression levels of hsa_circ_0003416 in plasma were lower in the PAH-CHD group than in the CHD and healthy control groups (p = 0.009 vs. healthy control group, p = 0.026 vs. CHD group). Moreover, hsa_circ_0003416 was found to be negatively associated with B-type natriuretic peptide (r = -0.342, p = 0.013). In addition, the area under the curve of hsa_circ_0003416 levels in plasma was 0.721 (95% confidence intervals = 0.585-0.857, p = 0.004), suggesting that it has a promising diagnostic value. Conclusions: Overall, hsa_circ_0003416 was found to be significantly downregulated in children with PAH-CHD and to be potent as a biomarker for PAH-CHD diagnosis.
9,782
291
[ 685, 259, 100, 225, 115, 102, 201, 521, 216, 228, 180, 181, 170, 53 ]
19
[ "chd", "hsa_circ_0003416", "pah", "pah chd", "pulmonary", "analysis", "patients", "pressure", "levels", "pcr" ]
[ "pulmonary artery pressure", "pulmonary hypertension 24", "heart disease pah", "diastolic pulmonary arterial", "pah diagnosed cardiac" ]
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[CONTENT] biomarker | circular RNA | congenital heart disease | pediatric patients | pulmonary arterial hypertension [SUMMARY]
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[CONTENT] biomarker | circular RNA | congenital heart disease | pediatric patients | pulmonary arterial hypertension [SUMMARY]
[CONTENT] biomarker | circular RNA | congenital heart disease | pediatric patients | pulmonary arterial hypertension [SUMMARY]
[CONTENT] biomarker | circular RNA | congenital heart disease | pediatric patients | pulmonary arterial hypertension [SUMMARY]
[CONTENT] biomarker | circular RNA | congenital heart disease | pediatric patients | pulmonary arterial hypertension [SUMMARY]
[CONTENT] Biomarkers | Child | Heart Defects, Congenital | Humans | Pulmonary Arterial Hypertension | RNA | RNA, Circular | ROC Curve [SUMMARY]
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[CONTENT] Biomarkers | Child | Heart Defects, Congenital | Humans | Pulmonary Arterial Hypertension | RNA | RNA, Circular | ROC Curve [SUMMARY]
[CONTENT] Biomarkers | Child | Heart Defects, Congenital | Humans | Pulmonary Arterial Hypertension | RNA | RNA, Circular | ROC Curve [SUMMARY]
[CONTENT] Biomarkers | Child | Heart Defects, Congenital | Humans | Pulmonary Arterial Hypertension | RNA | RNA, Circular | ROC Curve [SUMMARY]
[CONTENT] Biomarkers | Child | Heart Defects, Congenital | Humans | Pulmonary Arterial Hypertension | RNA | RNA, Circular | ROC Curve [SUMMARY]
[CONTENT] pulmonary artery pressure | pulmonary hypertension 24 | heart disease pah | diastolic pulmonary arterial | pah diagnosed cardiac [SUMMARY]
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[CONTENT] pulmonary artery pressure | pulmonary hypertension 24 | heart disease pah | diastolic pulmonary arterial | pah diagnosed cardiac [SUMMARY]
[CONTENT] pulmonary artery pressure | pulmonary hypertension 24 | heart disease pah | diastolic pulmonary arterial | pah diagnosed cardiac [SUMMARY]
[CONTENT] pulmonary artery pressure | pulmonary hypertension 24 | heart disease pah | diastolic pulmonary arterial | pah diagnosed cardiac [SUMMARY]
[CONTENT] pulmonary artery pressure | pulmonary hypertension 24 | heart disease pah | diastolic pulmonary arterial | pah diagnosed cardiac [SUMMARY]
[CONTENT] chd | hsa_circ_0003416 | pah | pah chd | pulmonary | analysis | patients | pressure | levels | pcr [SUMMARY]
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[CONTENT] chd | hsa_circ_0003416 | pah | pah chd | pulmonary | analysis | patients | pressure | levels | pcr [SUMMARY]
[CONTENT] chd | hsa_circ_0003416 | pah | pah chd | pulmonary | analysis | patients | pressure | levels | pcr [SUMMARY]
[CONTENT] chd | hsa_circ_0003416 | pah | pah chd | pulmonary | analysis | patients | pressure | levels | pcr [SUMMARY]
[CONTENT] chd | hsa_circ_0003416 | pah | pah chd | pulmonary | analysis | patients | pressure | levels | pcr [SUMMARY]
[CONTENT] pah | circrnas | chd | diagnosis | pah chd | diseases | children | rnas | patients | non [SUMMARY]
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[CONTENT] chd | hsa_circ_0003416 | pressure | pulmonary | pah | figure | arterial | pulmonary arterial | groups | pah chd [SUMMARY]
[CONTENT] chd | pah chd | pah | chd patients | patients | study | diagnosing pah | levels hsa_circ_0003416 plasma pah | indicated hsa_circ_0003416 serve candidate | indicated hsa_circ_0003416 serve [SUMMARY]
[CONTENT] chd | hsa_circ_0003416 | pah | pah chd | pulmonary | analysis | patients | pcr | μl | pressure [SUMMARY]
[CONTENT] chd | hsa_circ_0003416 | pah | pah chd | pulmonary | analysis | patients | pcr | μl | pressure [SUMMARY]
[CONTENT] circRNAs | PAH ||| PAH ||| PAH | CHD [SUMMARY]
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[CONTENT] PAH-CHD | CHD | 0.009 vs. | control group | 0.026 | CHD ||| 0.013 ||| 95% | 0.585-0.857 | 0.004 [SUMMARY]
[CONTENT] PAH-CHD | PAH-CHD [SUMMARY]
[CONTENT] PAH ||| PAH ||| PAH | CHD ||| 50 | CHD | 50 | PAH | 20 ||| ||| PAH-CHD | CHD | 0.009 vs. | control group | 0.026 | CHD ||| 0.013 ||| 95% | 0.585-0.857 | 0.004 ||| PAH-CHD | PAH-CHD [SUMMARY]
[CONTENT] PAH ||| PAH ||| PAH | CHD ||| 50 | CHD | 50 | PAH | 20 ||| ||| PAH-CHD | CHD | 0.009 vs. | control group | 0.026 | CHD ||| 0.013 ||| 95% | 0.585-0.857 | 0.004 ||| PAH-CHD | PAH-CHD [SUMMARY]
Influence of the COVID-19 outbreak on transportation of pregnant women in an emergency medical service system: Population-based, ORION registry.
35122253
The coronavirus disease 2019 (COVID-19), caused by Severe Acute Respiratory Syndrome Coronavirus 2, has spread rapidly across the world.
BACKGROUND
This study was a retrospective, descriptive study using the Osaka Emergency Information Research Intelligent Operation Network system, and included pregnant women transported by ambulance in Osaka Prefecture between January 1, 2018 and December 31, 2020. The main outcome of the study was difficulty in obtaining hospital acceptance for transfer of patients (difficult-to-transfer cases). We calculated the rates of difficult-to-transfer cases using univariate and multivariate analyses.
METHODS
Of the 1 346 457 total patients transported to hospitals by ambulance in Osaka Prefecture during the study period, pregnant women accounted for 2586 (909, 943, and 734, in 2018, 2019, and 2020, respectively). Logistic regression analysis revealed that pregnant women were negatively associated with difficult-to-transfer cases (adjusted OR 0.36, 95% CI 0.26-0.50). Compared with 2018, 2020 was significantly associated with difficult-to-transfer cases (adjusted OR 1.27, 95% CI 1.24-1.30).
RESULTS
Pregnant women were consistently associated with reduced odds for being difficult-to-transfer cases. The COVID-19 pandemic might have influenced difficult-to-transfer cases in 2020.
CONCLUSION
[ "COVID-19", "Emergency Medical Services", "Female", "Humans", "Pandemics", "Pregnancy", "Pregnant Women", "Registries", "Retrospective Studies" ]
9087768
INTRODUCTION
The coronavirus disease 2019 (COVID‐19), caused by Severe Acute Respiratory Syndrome Coronavirus 2 (SARS‐CoV‐2), was identified in Wuhan, China in December 2019, after which a COVID‐19 outbreak spread rapidly across the world. 1 On March 11, 2020, the World Health Organization (WHO) declared COVID‐19 as a pandemic. A previous study has reported that pregnancy was associated with significantly increased chance of hospitalization, ICU admission, and the need for mechanical ventilation due to COVID‐19, but not associated with significantly increased risk of death compared with non‐pregnant counterparts of childbearing age. 2 One retrospective cohort study of asymptomatic pregnant women showed that the COVID‐19 pandemic environment did not affect early first‐trimester miscarriage rates. 3 However, the COVID‐19 pandemic has been associated with an increased rate of stillbirth. 4 The number of hospitals with optimal volumes of deliveries and obstetricians has increased rapidly due to governmental policies to facilitate selection and concentration of obstetric hospitals in Japan. 5 , 6 However, heavy workloads and a shortage of obstetrician resources might limit the provision of comprehensive Emergency Obstetric and Neonatal Care and affect the quality of care. In 2006, 2007, and 2008, two maternal deaths and one neonatal death due to difficulty in obtaining hospital acceptance for transfer of patients were recorded in Japan. 7 , 8 These incidents provoked strong social reactions towards the emergency medical system regarding care of pregnant women. 9 Although the emergency obstetric transportation system has since been reorganized, “difficult‐to‐transfer cases” can still occur and it is possible that the COVID‐19 pandemic may additionally influence emergency obstetric transportation. This study aimed to assess the influence of the COVID‐19 pandemic on the EMS system for pregnant women who were transported by ambulance in Osaka Prefecture.
METHODS
Study design and setting This was a retrospective, descriptive study using data from the Osaka Emergency Information Research Intelligent Operation Network (ORION) system for the period January 1, 2018 to December 31, 2020. 10 Osaka Prefecture has a population of approximately 8.8 million and a total area of 1905 km2, and is the largest metropolitan community in western Japan. The ORION system was developed and introduced by the government of Osaka prefecture as an information system for managing emergency patients. It collects data via a smartphone application that is used by emergency medical service personnel for on‐scene hospital selection, and accumulates data for all ambulance records. Since January 2015, diagnostic and outcome information on the patients transported to each medical institution have been merged with the ORION ambulance record data, including the smartphone application data. To assess the influence of the COVID‐19 pandemic on the EMS system, we focused on pregnant women who were transported by ambulance in Osaka Prefecture (Figure 1). We defined “women of childbearing age” as female patients aged 15–44 years. 11 We used the presumptive diagnosis and the final diagnosis for patients who were admitted, using the International Classification of Diseases, 10th Revision (ICD‐10). 12 In the present study, we defined pregnancy‐related patients (pregnancy patients) as ICD‐10 codes O00–O99 and P00–P96. We also collected “COVID‐19” data as ICD‐10 code U07.1, and “COVID‐19 suspected” data (if the virus not identified) as U07.2. Patient flow. All female patients aged 15–44 years were selected and then divided into two groups Patients who were not transported to a hospital were excluded from the study. The ambulance records in Osaka Prefecture are considered administrative records, and the necessity to obtain informed consent from the participants was waived because the data were anonymous. This study was approved by the Ethics Committee of Osaka Medical and Pharmaceutical University (Takatsuki City, Japan). Strengthening the Reporting of Observational studies in Epidemiology (STROBE) guidelines were used in the design and in reporting the results of the study. This was a retrospective, descriptive study using data from the Osaka Emergency Information Research Intelligent Operation Network (ORION) system for the period January 1, 2018 to December 31, 2020. 10 Osaka Prefecture has a population of approximately 8.8 million and a total area of 1905 km2, and is the largest metropolitan community in western Japan. The ORION system was developed and introduced by the government of Osaka prefecture as an information system for managing emergency patients. It collects data via a smartphone application that is used by emergency medical service personnel for on‐scene hospital selection, and accumulates data for all ambulance records. Since January 2015, diagnostic and outcome information on the patients transported to each medical institution have been merged with the ORION ambulance record data, including the smartphone application data. To assess the influence of the COVID‐19 pandemic on the EMS system, we focused on pregnant women who were transported by ambulance in Osaka Prefecture (Figure 1). We defined “women of childbearing age” as female patients aged 15–44 years. 11 We used the presumptive diagnosis and the final diagnosis for patients who were admitted, using the International Classification of Diseases, 10th Revision (ICD‐10). 12 In the present study, we defined pregnancy‐related patients (pregnancy patients) as ICD‐10 codes O00–O99 and P00–P96. We also collected “COVID‐19” data as ICD‐10 code U07.1, and “COVID‐19 suspected” data (if the virus not identified) as U07.2. Patient flow. All female patients aged 15–44 years were selected and then divided into two groups Patients who were not transported to a hospital were excluded from the study. The ambulance records in Osaka Prefecture are considered administrative records, and the necessity to obtain informed consent from the participants was waived because the data were anonymous. This study was approved by the Ethics Committee of Osaka Medical and Pharmaceutical University (Takatsuki City, Japan). Strengthening the Reporting of Observational studies in Epidemiology (STROBE) guidelines were used in the design and in reporting the results of the study. Data collection and quality control Data were uniformly collected using specific data collection forms and the reason for the ambulance call, the location of the accident, the time of day and day of the week, and the tools used, were included, in addition to age, sex, and ICD‐10 code. The detailed situation and patient information were recorded in text form. These data were completed by EMS personnel and then transferred to the information center at the Osaka Municipal Fire Department (OMFD). To assure the quality of the data, incomplete data sheets were returned to the relevant EMS personnel for completion. Data were uniformly collected using specific data collection forms and the reason for the ambulance call, the location of the accident, the time of day and day of the week, and the tools used, were included, in addition to age, sex, and ICD‐10 code. The detailed situation and patient information were recorded in text form. These data were completed by EMS personnel and then transferred to the information center at the Osaka Municipal Fire Department (OMFD). To assure the quality of the data, incomplete data sheets were returned to the relevant EMS personnel for completion. Outcomes The primary outcome of this study was the difficulty in obtaining hospital acceptance for transfer of a patient. According to the guidelines of the Fire and Disaster Management Agency of the Ministry of Internal Affairs and Communications, we defined “difficult‐to‐transfer cases” as those in which the time interval from arrival at the scene to departure from the scene was longer than 30 min, and those in which ambulance crews needed to make four or more phone calls to hospitals before obtaining hospital acceptance. The primary outcome of this study was the difficulty in obtaining hospital acceptance for transfer of a patient. According to the guidelines of the Fire and Disaster Management Agency of the Ministry of Internal Affairs and Communications, we defined “difficult‐to‐transfer cases” as those in which the time interval from arrival at the scene to departure from the scene was longer than 30 min, and those in which ambulance crews needed to make four or more phone calls to hospitals before obtaining hospital acceptance. Data analysis We calculated the numbers of patients transported by ambulance per year due to any cause except interhospital transport between 1 January and December 31, 2020. Patient demographics among the 3 years were compared using χ2 test for categorical variables and the Kruskal–Wallis test for continuous variables. For comparison purposes, the numbers of patients transported by ambulance for the same reasons per year between 1 January and December 31, 2018 and between 1 January and December 31, 2019 were also collected. A logistic regression analysis was used to calculate the rate of difficulty of hospital acceptance of patients for 3 years, and the crude odds ratio (OR) and 95% confidence interval (CI) were calculated for each year for difficult‐to‐transfer cases, with 2018 as the reference. The adjusted OR and 95%CI of difficult‐to‐transfer cases were calculated in all transported patients for pregnant women and for women of childbearing age as well as for other age groups (child, adult, and elderly) using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. The adjusted OR and 95% CI of difficult‐to‐transfer cases were also calculated in pregnant women and in women of childbearing age using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. All statistical analyses were performed using SPSS version 25.0 software (IBM Corp., Armonk, NY, USA) or STATA (version 16.1; Stata Corp., College Station, TX, USA). All tests were two‐tailed, and P‐values <0.05 were considered statistically significant. We calculated the numbers of patients transported by ambulance per year due to any cause except interhospital transport between 1 January and December 31, 2020. Patient demographics among the 3 years were compared using χ2 test for categorical variables and the Kruskal–Wallis test for continuous variables. For comparison purposes, the numbers of patients transported by ambulance for the same reasons per year between 1 January and December 31, 2018 and between 1 January and December 31, 2019 were also collected. A logistic regression analysis was used to calculate the rate of difficulty of hospital acceptance of patients for 3 years, and the crude odds ratio (OR) and 95% confidence interval (CI) were calculated for each year for difficult‐to‐transfer cases, with 2018 as the reference. The adjusted OR and 95%CI of difficult‐to‐transfer cases were calculated in all transported patients for pregnant women and for women of childbearing age as well as for other age groups (child, adult, and elderly) using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. The adjusted OR and 95% CI of difficult‐to‐transfer cases were also calculated in pregnant women and in women of childbearing age using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. All statistical analyses were performed using SPSS version 25.0 software (IBM Corp., Armonk, NY, USA) or STATA (version 16.1; Stata Corp., College Station, TX, USA). All tests were two‐tailed, and P‐values <0.05 were considered statistically significant.
RESULTS
Baseline characteristics In the 3 years between January 1, 2018 and December 1, 2020, a total of 1 436 212 patients were transported to hospitals by ambulance in Osaka Prefecture, Japan. Of them, 1 346 457 were enrolled in this study. Excluded were 89 755 patients who were transferred to a different hospital. There were 462 773 patients in 2018, 468 697 patients in 2019, and 414 987 patients in 2020 who were transported to hospitals by ambulance (Table 1). The total number of women of childbearing age (15–44 years old) was 122 730 (43 616, 43 105, and 36 009, in 2018, 2019, and 2020, respectively, P < 0.001). In addition, the total number of pregnant women was 2586 (909, 943, and 734, in 2018, 2019, and 2020, respectively, P = 0.024). Table 1 lists all baseline characteristics of patients transported to hospitals by ambulance in Osaka Prefecture during the study period. Figure S1 shows violin plots of the age distribution for each patient category. Demographic characteristics of transported patients Note. Children, 0–14 years; adults, 15–64 years; elderly patients, ≥65 years. Determined by the χ2 test for categorical variables and Kruskal–Wallis test for continuous variables. Abbreviation: IQR, interquartile range. It was difficult to obtain hospital acceptance for transfer of a total of 4578 female patients of childbearing age (1500, 1503, and 1575, in 2018, 2019, and 2020, respectively, P < 0.001). For pregnant women, the total number of difficult‐to‐transfer cases was 36 (13, 12, and 11, in 2018, 2019, and 2020, respectively, P = 0.919) (Table 2). Table S2 lists the clinical characteristics of all 36 difficult‐to‐transfer cases in pregnant women. Annual transfer data for women of childbearing age and pregnant women Note. Determined by the χ2 test for categorical variables. In the 3 years between January 1, 2018 and December 1, 2020, a total of 1 436 212 patients were transported to hospitals by ambulance in Osaka Prefecture, Japan. Of them, 1 346 457 were enrolled in this study. Excluded were 89 755 patients who were transferred to a different hospital. There were 462 773 patients in 2018, 468 697 patients in 2019, and 414 987 patients in 2020 who were transported to hospitals by ambulance (Table 1). The total number of women of childbearing age (15–44 years old) was 122 730 (43 616, 43 105, and 36 009, in 2018, 2019, and 2020, respectively, P < 0.001). In addition, the total number of pregnant women was 2586 (909, 943, and 734, in 2018, 2019, and 2020, respectively, P = 0.024). Table 1 lists all baseline characteristics of patients transported to hospitals by ambulance in Osaka Prefecture during the study period. Figure S1 shows violin plots of the age distribution for each patient category. Demographic characteristics of transported patients Note. Children, 0–14 years; adults, 15–64 years; elderly patients, ≥65 years. Determined by the χ2 test for categorical variables and Kruskal–Wallis test for continuous variables. Abbreviation: IQR, interquartile range. It was difficult to obtain hospital acceptance for transfer of a total of 4578 female patients of childbearing age (1500, 1503, and 1575, in 2018, 2019, and 2020, respectively, P < 0.001). For pregnant women, the total number of difficult‐to‐transfer cases was 36 (13, 12, and 11, in 2018, 2019, and 2020, respectively, P = 0.919) (Table 2). Table S2 lists the clinical characteristics of all 36 difficult‐to‐transfer cases in pregnant women. Annual transfer data for women of childbearing age and pregnant women Note. Determined by the χ2 test for categorical variables. Outcomes and adjusted analyses Table 3 lists the results of univariate logistic regression analysis of difficult‐to‐transfer cases. The OR for difficult‐to‐transfer women of childbearing age was significantly positive in 2020 compared with 2018 and 2019, but was not significant in 2020 for pregnant women. Univariate logistic regression analysis of difficult‐to‐transfer cases The OR for difficult‐to‐transfer cases of pregnant women was negative (adjusted OR 0.36, 95% CI 0.26–0.50) (Table 4). The OR of 1.27 for 2020 was significantly positive with reference to 2018 (95% CI 1.24–1.30) in all transported patients, however the OR of 0.97 for 2020 was not significant with reference to 2018 (95% CI 0.43–2.23) in pregnant women (Table 5). With reference to June, all the other months were positively associated with difficult‐to‐transfer cases. In terms of time of transportation, with reference to “9 am to 10 am”, all other times were positively associated with difficult‐to‐transfer cases. In particular, it was approximately eight times more difficult to obtain hospital acceptance for transfer during the time “2 am to 5 am” compared with ‘9 am to 10 am’. With reference to Monday, the ORs for Saturday and Sunday were significantly higher for difficult‐to‐transfer cases (adjusted OR 1.14, 95% CI 1.10–1.18 and adjusted OR 1.25, 95% CI 1.21–1.30, respectively). There was a significant association of patients who were suspected to have COVID‐19 with difficult‐to‐transfer cases (adjusted OR 2.77, 95% CI 2.49–3.09). Table S1 shows a similar positive association of female patients of childbearing age with difficult‐to‐transfer cases (adjusted OR 1.09, 95% CI 1.05–1.12) in all transported patients. Multivariate logistic regression analysis of difficult‐to‐transfer cases in all patients (pregnant women as a variable) Multivariate logistic regression analysis of difficult‐to‐transfer cases in pregnant women To investigate why it was more difficult for female patients of childbearing age to obtain hospital acceptance for transfer compared with pregnant women in the same age group (Table 4 and Table S1), we compared patients' vital signs during transportation between these two groups (Figure 2). Statistically significant differences were found for all vital signs (respiratory rate, blood pressure, temperature, pulse rate, oxygen saturation [SpO2], and level of consciousness with Glasgow Coma Scale [GCS, not shown]) between female patients of childbearing age and pregnant women (P < 0.001 for all). Violin plots of vital signs in women of childbearing age and pregnant women. Glasgow Coma Scale (GCS) is not shown because GCS score was 15 in all 36 difficult‐to‐transfer pregnant women A total of 234 female patients of childbearing age died at the emergency department (77, 66, and 88 in 2018, 2019, and 2020, respectively). No deaths of pregnant women were reported. Table 5 revealed no significantly greater OR for pregnant women, whereas women of childbearing age showed similar results to the general population (Table S3). In addition, sensitivity analyses for children and elderly patients were negatively associated with difficult‐to‐transfer cases in all transported patients, whereas adult was positively associated with difficult‐to‐transfer cases (Tables S4–S6). Table 3 lists the results of univariate logistic regression analysis of difficult‐to‐transfer cases. The OR for difficult‐to‐transfer women of childbearing age was significantly positive in 2020 compared with 2018 and 2019, but was not significant in 2020 for pregnant women. Univariate logistic regression analysis of difficult‐to‐transfer cases The OR for difficult‐to‐transfer cases of pregnant women was negative (adjusted OR 0.36, 95% CI 0.26–0.50) (Table 4). The OR of 1.27 for 2020 was significantly positive with reference to 2018 (95% CI 1.24–1.30) in all transported patients, however the OR of 0.97 for 2020 was not significant with reference to 2018 (95% CI 0.43–2.23) in pregnant women (Table 5). With reference to June, all the other months were positively associated with difficult‐to‐transfer cases. In terms of time of transportation, with reference to “9 am to 10 am”, all other times were positively associated with difficult‐to‐transfer cases. In particular, it was approximately eight times more difficult to obtain hospital acceptance for transfer during the time “2 am to 5 am” compared with ‘9 am to 10 am’. With reference to Monday, the ORs for Saturday and Sunday were significantly higher for difficult‐to‐transfer cases (adjusted OR 1.14, 95% CI 1.10–1.18 and adjusted OR 1.25, 95% CI 1.21–1.30, respectively). There was a significant association of patients who were suspected to have COVID‐19 with difficult‐to‐transfer cases (adjusted OR 2.77, 95% CI 2.49–3.09). Table S1 shows a similar positive association of female patients of childbearing age with difficult‐to‐transfer cases (adjusted OR 1.09, 95% CI 1.05–1.12) in all transported patients. Multivariate logistic regression analysis of difficult‐to‐transfer cases in all patients (pregnant women as a variable) Multivariate logistic regression analysis of difficult‐to‐transfer cases in pregnant women To investigate why it was more difficult for female patients of childbearing age to obtain hospital acceptance for transfer compared with pregnant women in the same age group (Table 4 and Table S1), we compared patients' vital signs during transportation between these two groups (Figure 2). Statistically significant differences were found for all vital signs (respiratory rate, blood pressure, temperature, pulse rate, oxygen saturation [SpO2], and level of consciousness with Glasgow Coma Scale [GCS, not shown]) between female patients of childbearing age and pregnant women (P < 0.001 for all). Violin plots of vital signs in women of childbearing age and pregnant women. Glasgow Coma Scale (GCS) is not shown because GCS score was 15 in all 36 difficult‐to‐transfer pregnant women A total of 234 female patients of childbearing age died at the emergency department (77, 66, and 88 in 2018, 2019, and 2020, respectively). No deaths of pregnant women were reported. Table 5 revealed no significantly greater OR for pregnant women, whereas women of childbearing age showed similar results to the general population (Table S3). In addition, sensitivity analyses for children and elderly patients were negatively associated with difficult‐to‐transfer cases in all transported patients, whereas adult was positively associated with difficult‐to‐transfer cases (Tables S4–S6).
CONCLUSION
The results of this study showed that pregnancy was consistently associated with reduced odds for difficult‐to‐transfer cases. Specifically, when compared with women of childbearing age in the same age group, pregnant women had lower odds of being difficult‐to‐transfer cases in 2020 even during the COVID‐19 outbreak. Hospitals are more likely to accept patients between 9 am and 10 am in the morning, on Fridays, and in the month of June.
[ "INTRODUCTION", "Study design and setting", "Data collection and quality control", "Outcomes", "Data analysis", "Baseline characteristics", "Outcomes and adjusted analyses", "AUTHOR CONTRIBUTIONS" ]
[ "The coronavirus disease 2019 (COVID‐19), caused by Severe Acute Respiratory Syndrome Coronavirus 2 (SARS‐CoV‐2), was identified in Wuhan, China in December 2019, after which a COVID‐19 outbreak spread rapidly across the world.\n1\n On March 11, 2020, the World Health Organization (WHO) declared COVID‐19 as a pandemic.\nA previous study has reported that pregnancy was associated with significantly increased chance of hospitalization, ICU admission, and the need for mechanical ventilation due to COVID‐19, but not associated with significantly increased risk of death compared with non‐pregnant counterparts of childbearing age.\n2\n One retrospective cohort study of asymptomatic pregnant women showed that the COVID‐19 pandemic environment did not affect early first‐trimester miscarriage rates.\n3\n However, the COVID‐19 pandemic has been associated with an increased rate of stillbirth.\n4\n\n\nThe number of hospitals with optimal volumes of deliveries and obstetricians has increased rapidly due to governmental policies to facilitate selection and concentration of obstetric hospitals in Japan.\n5\n, \n6\n However, heavy workloads and a shortage of obstetrician resources might limit the provision of comprehensive Emergency Obstetric and Neonatal Care and affect the quality of care. In 2006, 2007, and 2008, two maternal deaths and one neonatal death due to difficulty in obtaining hospital acceptance for transfer of patients were recorded in Japan.\n7\n, \n8\n These incidents provoked strong social reactions towards the emergency medical system regarding care of pregnant women.\n9\n Although the emergency obstetric transportation system has since been reorganized, “difficult‐to‐transfer cases” can still occur and it is possible that the COVID‐19 pandemic may additionally influence emergency obstetric transportation.\nThis study aimed to assess the influence of the COVID‐19 pandemic on the EMS system for pregnant women who were transported by ambulance in Osaka Prefecture.", "This was a retrospective, descriptive study using data from the Osaka Emergency Information Research Intelligent Operation Network (ORION) system for the period January 1, 2018 to December 31, 2020.\n10\n Osaka Prefecture has a population of approximately 8.8 million and a total area of 1905 km2, and is the largest metropolitan community in western Japan. The ORION system was developed and introduced by the government of Osaka prefecture as an information system for managing emergency patients. It collects data via a smartphone application that is used by emergency medical service personnel for on‐scene hospital selection, and accumulates data for all ambulance records. Since January 2015, diagnostic and outcome information on the patients transported to each medical institution have been merged with the ORION ambulance record data, including the smartphone application data. To assess the influence of the COVID‐19 pandemic on the EMS system, we focused on pregnant women who were transported by ambulance in Osaka Prefecture (Figure 1). We defined “women of childbearing age” as female patients aged 15–44 years.\n11\n We used the presumptive diagnosis and the final diagnosis for patients who were admitted, using the International Classification of Diseases, 10th Revision (ICD‐10).\n12\n In the present study, we defined pregnancy‐related patients (pregnancy patients) as ICD‐10 codes O00–O99 and P00–P96. We also collected “COVID‐19” data as ICD‐10 code U07.1, and “COVID‐19 suspected” data (if the virus not identified) as U07.2.\nPatient flow. All female patients aged 15–44 years were selected and then divided into two groups\nPatients who were not transported to a hospital were excluded from the study. The ambulance records in Osaka Prefecture are considered administrative records, and the necessity to obtain informed consent from the participants was waived because the data were anonymous. This study was approved by the Ethics Committee of Osaka Medical and Pharmaceutical University (Takatsuki City, Japan). Strengthening the Reporting of Observational studies in Epidemiology (STROBE) guidelines were used in the design and in reporting the results of the study.", "Data were uniformly collected using specific data collection forms and the reason for the ambulance call, the location of the accident, the time of day and day of the week, and the tools used, were included, in addition to age, sex, and ICD‐10 code. The detailed situation and patient information were recorded in text form. These data were completed by EMS personnel and then transferred to the information center at the Osaka Municipal Fire Department (OMFD). To assure the quality of the data, incomplete data sheets were returned to the relevant EMS personnel for completion.", "The primary outcome of this study was the difficulty in obtaining hospital acceptance for transfer of a patient. According to the guidelines of the Fire and Disaster Management Agency of the Ministry of Internal Affairs and Communications, we defined “difficult‐to‐transfer cases” as those in which the time interval from arrival at the scene to departure from the scene was longer than 30 min, and those in which ambulance crews needed to make four or more phone calls to hospitals before obtaining hospital acceptance.", "We calculated the numbers of patients transported by ambulance per year due to any cause except interhospital transport between 1 January and December 31, 2020. Patient demographics among the 3 years were compared using χ2 test for categorical variables and the Kruskal–Wallis test for continuous variables. For comparison purposes, the numbers of patients transported by ambulance for the same reasons per year between 1 January and December 31, 2018 and between 1 January and December 31, 2019 were also collected. A logistic regression analysis was used to calculate the rate of difficulty of hospital acceptance of patients for 3 years, and the crude odds ratio (OR) and 95% confidence interval (CI) were calculated for each year for difficult‐to‐transfer cases, with 2018 as the reference. The adjusted OR and 95%CI of difficult‐to‐transfer cases were calculated in all transported patients for pregnant women and for women of childbearing age as well as for other age groups (child, adult, and elderly) using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. The adjusted OR and 95% CI of difficult‐to‐transfer cases were also calculated in pregnant women and in women of childbearing age using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation.\nAll statistical analyses were performed using SPSS version 25.0 software (IBM Corp., Armonk, NY, USA) or STATA (version 16.1; Stata Corp., College Station, TX, USA). All tests were two‐tailed, and P‐values <0.05 were considered statistically significant.", "In the 3 years between January 1, 2018 and December 1, 2020, a total of 1 436 212 patients were transported to hospitals by ambulance in Osaka Prefecture, Japan. Of them, 1 346 457 were enrolled in this study. Excluded were 89 755 patients who were transferred to a different hospital. There were 462 773 patients in 2018, 468 697 patients in 2019, and 414 987 patients in 2020 who were transported to hospitals by ambulance (Table 1). The total number of women of childbearing age (15–44 years old) was 122 730 (43 616, 43 105, and 36 009, in 2018, 2019, and 2020, respectively, P < 0.001). In addition, the total number of pregnant women was 2586 (909, 943, and 734, in 2018, 2019, and 2020, respectively, P = 0.024). Table 1 lists all baseline characteristics of patients transported to hospitals by ambulance in Osaka Prefecture during the study period. Figure S1 shows violin plots of the age distribution for each patient category.\nDemographic characteristics of transported patients\n\nNote. Children, 0–14 years; adults, 15–64 years; elderly patients, ≥65 years.\nDetermined by the χ2 test for categorical variables and Kruskal–Wallis test for continuous variables.\nAbbreviation: IQR, interquartile range.\nIt was difficult to obtain hospital acceptance for transfer of a total of 4578 female patients of childbearing age (1500, 1503, and 1575, in 2018, 2019, and 2020, respectively, P < 0.001). For pregnant women, the total number of difficult‐to‐transfer cases was 36 (13, 12, and 11, in 2018, 2019, and 2020, respectively, P = 0.919) (Table 2). Table S2 lists the clinical characteristics of all 36 difficult‐to‐transfer cases in pregnant women.\nAnnual transfer data for women of childbearing age and pregnant women\n\nNote. Determined by the χ2 test for categorical variables.", "Table 3 lists the results of univariate logistic regression analysis of difficult‐to‐transfer cases. The OR for difficult‐to‐transfer women of childbearing age was significantly positive in 2020 compared with 2018 and 2019, but was not significant in 2020 for pregnant women.\nUnivariate logistic regression analysis of difficult‐to‐transfer cases\nThe OR for difficult‐to‐transfer cases of pregnant women was negative (adjusted OR 0.36, 95% CI 0.26–0.50) (Table 4). The OR of 1.27 for 2020 was significantly positive with reference to 2018 (95% CI 1.24–1.30) in all transported patients, however the OR of 0.97 for 2020 was not significant with reference to 2018 (95% CI 0.43–2.23) in pregnant women (Table 5). With reference to June, all the other months were positively associated with difficult‐to‐transfer cases. In terms of time of transportation, with reference to “9 am to 10 am”, all other times were positively associated with difficult‐to‐transfer cases. In particular, it was approximately eight times more difficult to obtain hospital acceptance for transfer during the time “2 am to 5 am” compared with ‘9 am to 10 am’. With reference to Monday, the ORs for Saturday and Sunday were significantly higher for difficult‐to‐transfer cases (adjusted OR 1.14, 95% CI 1.10–1.18 and adjusted OR 1.25, 95% CI 1.21–1.30, respectively). There was a significant association of patients who were suspected to have COVID‐19 with difficult‐to‐transfer cases (adjusted OR 2.77, 95% CI 2.49–3.09). Table S1 shows a similar positive association of female patients of childbearing age with difficult‐to‐transfer cases (adjusted OR 1.09, 95% CI 1.05–1.12) in all transported patients.\nMultivariate logistic regression analysis of difficult‐to‐transfer cases in all patients (pregnant women as a variable)\nMultivariate logistic regression analysis of difficult‐to‐transfer cases in pregnant women\nTo investigate why it was more difficult for female patients of childbearing age to obtain hospital acceptance for transfer compared with pregnant women in the same age group (Table 4 and Table S1), we compared patients' vital signs during transportation between these two groups (Figure 2). Statistically significant differences were found for all vital signs (respiratory rate, blood pressure, temperature, pulse rate, oxygen saturation [SpO2], and level of consciousness with Glasgow Coma Scale [GCS, not shown]) between female patients of childbearing age and pregnant women (P < 0.001 for all).\nViolin plots of vital signs in women of childbearing age and pregnant women. Glasgow Coma Scale (GCS) is not shown because GCS score was 15 in all 36 difficult‐to‐transfer pregnant women\nA total of 234 female patients of childbearing age died at the emergency department (77, 66, and 88 in 2018, 2019, and 2020, respectively). No deaths of pregnant women were reported.\nTable 5 revealed no significantly greater OR for pregnant women, whereas women of childbearing age showed similar results to the general population (Table S3). In addition, sensitivity analyses for children and elderly patients were negatively associated with difficult‐to‐transfer cases in all transported patients, whereas adult was positively associated with difficult‐to‐transfer cases (Tables S4–S6).", "K.O. designed the study and wrote the initial draft of the manuscript. Ka.O., D.N., T.K., Y.K., M.N., T.M., and A.T. contributed to analysis and interpretation of the data and assisted in the preparation of the manuscript. All authors contributed to data collection and interpretation and critically reviewed the manuscript. All authors approved the final version of the manuscript and agree to be accountable for all aspects of the work, including ensuring that questions related to the accuracy or integrity of any part of the work are appropriately investigated and resolved. All authors meet the International Committee of Medical Journal Editors (ICMJE) authorship criteria." ]
[ null, null, null, null, null, null, null, null ]
[ "INTRODUCTION", "METHODS", "Study design and setting", "Data collection and quality control", "Outcomes", "Data analysis", "RESULTS", "Baseline characteristics", "Outcomes and adjusted analyses", "DISCUSSION", "CONCLUSION", "CONFLICTS OF INTEREST", "AUTHOR CONTRIBUTIONS", "Supporting information" ]
[ "The coronavirus disease 2019 (COVID‐19), caused by Severe Acute Respiratory Syndrome Coronavirus 2 (SARS‐CoV‐2), was identified in Wuhan, China in December 2019, after which a COVID‐19 outbreak spread rapidly across the world.\n1\n On March 11, 2020, the World Health Organization (WHO) declared COVID‐19 as a pandemic.\nA previous study has reported that pregnancy was associated with significantly increased chance of hospitalization, ICU admission, and the need for mechanical ventilation due to COVID‐19, but not associated with significantly increased risk of death compared with non‐pregnant counterparts of childbearing age.\n2\n One retrospective cohort study of asymptomatic pregnant women showed that the COVID‐19 pandemic environment did not affect early first‐trimester miscarriage rates.\n3\n However, the COVID‐19 pandemic has been associated with an increased rate of stillbirth.\n4\n\n\nThe number of hospitals with optimal volumes of deliveries and obstetricians has increased rapidly due to governmental policies to facilitate selection and concentration of obstetric hospitals in Japan.\n5\n, \n6\n However, heavy workloads and a shortage of obstetrician resources might limit the provision of comprehensive Emergency Obstetric and Neonatal Care and affect the quality of care. In 2006, 2007, and 2008, two maternal deaths and one neonatal death due to difficulty in obtaining hospital acceptance for transfer of patients were recorded in Japan.\n7\n, \n8\n These incidents provoked strong social reactions towards the emergency medical system regarding care of pregnant women.\n9\n Although the emergency obstetric transportation system has since been reorganized, “difficult‐to‐transfer cases” can still occur and it is possible that the COVID‐19 pandemic may additionally influence emergency obstetric transportation.\nThis study aimed to assess the influence of the COVID‐19 pandemic on the EMS system for pregnant women who were transported by ambulance in Osaka Prefecture.", "Study design and setting This was a retrospective, descriptive study using data from the Osaka Emergency Information Research Intelligent Operation Network (ORION) system for the period January 1, 2018 to December 31, 2020.\n10\n Osaka Prefecture has a population of approximately 8.8 million and a total area of 1905 km2, and is the largest metropolitan community in western Japan. The ORION system was developed and introduced by the government of Osaka prefecture as an information system for managing emergency patients. It collects data via a smartphone application that is used by emergency medical service personnel for on‐scene hospital selection, and accumulates data for all ambulance records. Since January 2015, diagnostic and outcome information on the patients transported to each medical institution have been merged with the ORION ambulance record data, including the smartphone application data. To assess the influence of the COVID‐19 pandemic on the EMS system, we focused on pregnant women who were transported by ambulance in Osaka Prefecture (Figure 1). We defined “women of childbearing age” as female patients aged 15–44 years.\n11\n We used the presumptive diagnosis and the final diagnosis for patients who were admitted, using the International Classification of Diseases, 10th Revision (ICD‐10).\n12\n In the present study, we defined pregnancy‐related patients (pregnancy patients) as ICD‐10 codes O00–O99 and P00–P96. We also collected “COVID‐19” data as ICD‐10 code U07.1, and “COVID‐19 suspected” data (if the virus not identified) as U07.2.\nPatient flow. All female patients aged 15–44 years were selected and then divided into two groups\nPatients who were not transported to a hospital were excluded from the study. The ambulance records in Osaka Prefecture are considered administrative records, and the necessity to obtain informed consent from the participants was waived because the data were anonymous. This study was approved by the Ethics Committee of Osaka Medical and Pharmaceutical University (Takatsuki City, Japan). Strengthening the Reporting of Observational studies in Epidemiology (STROBE) guidelines were used in the design and in reporting the results of the study.\nThis was a retrospective, descriptive study using data from the Osaka Emergency Information Research Intelligent Operation Network (ORION) system for the period January 1, 2018 to December 31, 2020.\n10\n Osaka Prefecture has a population of approximately 8.8 million and a total area of 1905 km2, and is the largest metropolitan community in western Japan. The ORION system was developed and introduced by the government of Osaka prefecture as an information system for managing emergency patients. It collects data via a smartphone application that is used by emergency medical service personnel for on‐scene hospital selection, and accumulates data for all ambulance records. Since January 2015, diagnostic and outcome information on the patients transported to each medical institution have been merged with the ORION ambulance record data, including the smartphone application data. To assess the influence of the COVID‐19 pandemic on the EMS system, we focused on pregnant women who were transported by ambulance in Osaka Prefecture (Figure 1). We defined “women of childbearing age” as female patients aged 15–44 years.\n11\n We used the presumptive diagnosis and the final diagnosis for patients who were admitted, using the International Classification of Diseases, 10th Revision (ICD‐10).\n12\n In the present study, we defined pregnancy‐related patients (pregnancy patients) as ICD‐10 codes O00–O99 and P00–P96. We also collected “COVID‐19” data as ICD‐10 code U07.1, and “COVID‐19 suspected” data (if the virus not identified) as U07.2.\nPatient flow. All female patients aged 15–44 years were selected and then divided into two groups\nPatients who were not transported to a hospital were excluded from the study. The ambulance records in Osaka Prefecture are considered administrative records, and the necessity to obtain informed consent from the participants was waived because the data were anonymous. This study was approved by the Ethics Committee of Osaka Medical and Pharmaceutical University (Takatsuki City, Japan). Strengthening the Reporting of Observational studies in Epidemiology (STROBE) guidelines were used in the design and in reporting the results of the study.\nData collection and quality control Data were uniformly collected using specific data collection forms and the reason for the ambulance call, the location of the accident, the time of day and day of the week, and the tools used, were included, in addition to age, sex, and ICD‐10 code. The detailed situation and patient information were recorded in text form. These data were completed by EMS personnel and then transferred to the information center at the Osaka Municipal Fire Department (OMFD). To assure the quality of the data, incomplete data sheets were returned to the relevant EMS personnel for completion.\nData were uniformly collected using specific data collection forms and the reason for the ambulance call, the location of the accident, the time of day and day of the week, and the tools used, were included, in addition to age, sex, and ICD‐10 code. The detailed situation and patient information were recorded in text form. These data were completed by EMS personnel and then transferred to the information center at the Osaka Municipal Fire Department (OMFD). To assure the quality of the data, incomplete data sheets were returned to the relevant EMS personnel for completion.\nOutcomes The primary outcome of this study was the difficulty in obtaining hospital acceptance for transfer of a patient. According to the guidelines of the Fire and Disaster Management Agency of the Ministry of Internal Affairs and Communications, we defined “difficult‐to‐transfer cases” as those in which the time interval from arrival at the scene to departure from the scene was longer than 30 min, and those in which ambulance crews needed to make four or more phone calls to hospitals before obtaining hospital acceptance.\nThe primary outcome of this study was the difficulty in obtaining hospital acceptance for transfer of a patient. According to the guidelines of the Fire and Disaster Management Agency of the Ministry of Internal Affairs and Communications, we defined “difficult‐to‐transfer cases” as those in which the time interval from arrival at the scene to departure from the scene was longer than 30 min, and those in which ambulance crews needed to make four or more phone calls to hospitals before obtaining hospital acceptance.\nData analysis We calculated the numbers of patients transported by ambulance per year due to any cause except interhospital transport between 1 January and December 31, 2020. Patient demographics among the 3 years were compared using χ2 test for categorical variables and the Kruskal–Wallis test for continuous variables. For comparison purposes, the numbers of patients transported by ambulance for the same reasons per year between 1 January and December 31, 2018 and between 1 January and December 31, 2019 were also collected. A logistic regression analysis was used to calculate the rate of difficulty of hospital acceptance of patients for 3 years, and the crude odds ratio (OR) and 95% confidence interval (CI) were calculated for each year for difficult‐to‐transfer cases, with 2018 as the reference. The adjusted OR and 95%CI of difficult‐to‐transfer cases were calculated in all transported patients for pregnant women and for women of childbearing age as well as for other age groups (child, adult, and elderly) using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. The adjusted OR and 95% CI of difficult‐to‐transfer cases were also calculated in pregnant women and in women of childbearing age using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation.\nAll statistical analyses were performed using SPSS version 25.0 software (IBM Corp., Armonk, NY, USA) or STATA (version 16.1; Stata Corp., College Station, TX, USA). All tests were two‐tailed, and P‐values <0.05 were considered statistically significant.\nWe calculated the numbers of patients transported by ambulance per year due to any cause except interhospital transport between 1 January and December 31, 2020. Patient demographics among the 3 years were compared using χ2 test for categorical variables and the Kruskal–Wallis test for continuous variables. For comparison purposes, the numbers of patients transported by ambulance for the same reasons per year between 1 January and December 31, 2018 and between 1 January and December 31, 2019 were also collected. A logistic regression analysis was used to calculate the rate of difficulty of hospital acceptance of patients for 3 years, and the crude odds ratio (OR) and 95% confidence interval (CI) were calculated for each year for difficult‐to‐transfer cases, with 2018 as the reference. The adjusted OR and 95%CI of difficult‐to‐transfer cases were calculated in all transported patients for pregnant women and for women of childbearing age as well as for other age groups (child, adult, and elderly) using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. The adjusted OR and 95% CI of difficult‐to‐transfer cases were also calculated in pregnant women and in women of childbearing age using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation.\nAll statistical analyses were performed using SPSS version 25.0 software (IBM Corp., Armonk, NY, USA) or STATA (version 16.1; Stata Corp., College Station, TX, USA). All tests were two‐tailed, and P‐values <0.05 were considered statistically significant.", "This was a retrospective, descriptive study using data from the Osaka Emergency Information Research Intelligent Operation Network (ORION) system for the period January 1, 2018 to December 31, 2020.\n10\n Osaka Prefecture has a population of approximately 8.8 million and a total area of 1905 km2, and is the largest metropolitan community in western Japan. The ORION system was developed and introduced by the government of Osaka prefecture as an information system for managing emergency patients. It collects data via a smartphone application that is used by emergency medical service personnel for on‐scene hospital selection, and accumulates data for all ambulance records. Since January 2015, diagnostic and outcome information on the patients transported to each medical institution have been merged with the ORION ambulance record data, including the smartphone application data. To assess the influence of the COVID‐19 pandemic on the EMS system, we focused on pregnant women who were transported by ambulance in Osaka Prefecture (Figure 1). We defined “women of childbearing age” as female patients aged 15–44 years.\n11\n We used the presumptive diagnosis and the final diagnosis for patients who were admitted, using the International Classification of Diseases, 10th Revision (ICD‐10).\n12\n In the present study, we defined pregnancy‐related patients (pregnancy patients) as ICD‐10 codes O00–O99 and P00–P96. We also collected “COVID‐19” data as ICD‐10 code U07.1, and “COVID‐19 suspected” data (if the virus not identified) as U07.2.\nPatient flow. All female patients aged 15–44 years were selected and then divided into two groups\nPatients who were not transported to a hospital were excluded from the study. The ambulance records in Osaka Prefecture are considered administrative records, and the necessity to obtain informed consent from the participants was waived because the data were anonymous. This study was approved by the Ethics Committee of Osaka Medical and Pharmaceutical University (Takatsuki City, Japan). Strengthening the Reporting of Observational studies in Epidemiology (STROBE) guidelines were used in the design and in reporting the results of the study.", "Data were uniformly collected using specific data collection forms and the reason for the ambulance call, the location of the accident, the time of day and day of the week, and the tools used, were included, in addition to age, sex, and ICD‐10 code. The detailed situation and patient information were recorded in text form. These data were completed by EMS personnel and then transferred to the information center at the Osaka Municipal Fire Department (OMFD). To assure the quality of the data, incomplete data sheets were returned to the relevant EMS personnel for completion.", "The primary outcome of this study was the difficulty in obtaining hospital acceptance for transfer of a patient. According to the guidelines of the Fire and Disaster Management Agency of the Ministry of Internal Affairs and Communications, we defined “difficult‐to‐transfer cases” as those in which the time interval from arrival at the scene to departure from the scene was longer than 30 min, and those in which ambulance crews needed to make four or more phone calls to hospitals before obtaining hospital acceptance.", "We calculated the numbers of patients transported by ambulance per year due to any cause except interhospital transport between 1 January and December 31, 2020. Patient demographics among the 3 years were compared using χ2 test for categorical variables and the Kruskal–Wallis test for continuous variables. For comparison purposes, the numbers of patients transported by ambulance for the same reasons per year between 1 January and December 31, 2018 and between 1 January and December 31, 2019 were also collected. A logistic regression analysis was used to calculate the rate of difficulty of hospital acceptance of patients for 3 years, and the crude odds ratio (OR) and 95% confidence interval (CI) were calculated for each year for difficult‐to‐transfer cases, with 2018 as the reference. The adjusted OR and 95%CI of difficult‐to‐transfer cases were calculated in all transported patients for pregnant women and for women of childbearing age as well as for other age groups (child, adult, and elderly) using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. The adjusted OR and 95% CI of difficult‐to‐transfer cases were also calculated in pregnant women and in women of childbearing age using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation.\nAll statistical analyses were performed using SPSS version 25.0 software (IBM Corp., Armonk, NY, USA) or STATA (version 16.1; Stata Corp., College Station, TX, USA). All tests were two‐tailed, and P‐values <0.05 were considered statistically significant.", "Baseline characteristics In the 3 years between January 1, 2018 and December 1, 2020, a total of 1 436 212 patients were transported to hospitals by ambulance in Osaka Prefecture, Japan. Of them, 1 346 457 were enrolled in this study. Excluded were 89 755 patients who were transferred to a different hospital. There were 462 773 patients in 2018, 468 697 patients in 2019, and 414 987 patients in 2020 who were transported to hospitals by ambulance (Table 1). The total number of women of childbearing age (15–44 years old) was 122 730 (43 616, 43 105, and 36 009, in 2018, 2019, and 2020, respectively, P < 0.001). In addition, the total number of pregnant women was 2586 (909, 943, and 734, in 2018, 2019, and 2020, respectively, P = 0.024). Table 1 lists all baseline characteristics of patients transported to hospitals by ambulance in Osaka Prefecture during the study period. Figure S1 shows violin plots of the age distribution for each patient category.\nDemographic characteristics of transported patients\n\nNote. Children, 0–14 years; adults, 15–64 years; elderly patients, ≥65 years.\nDetermined by the χ2 test for categorical variables and Kruskal–Wallis test for continuous variables.\nAbbreviation: IQR, interquartile range.\nIt was difficult to obtain hospital acceptance for transfer of a total of 4578 female patients of childbearing age (1500, 1503, and 1575, in 2018, 2019, and 2020, respectively, P < 0.001). For pregnant women, the total number of difficult‐to‐transfer cases was 36 (13, 12, and 11, in 2018, 2019, and 2020, respectively, P = 0.919) (Table 2). Table S2 lists the clinical characteristics of all 36 difficult‐to‐transfer cases in pregnant women.\nAnnual transfer data for women of childbearing age and pregnant women\n\nNote. Determined by the χ2 test for categorical variables.\nIn the 3 years between January 1, 2018 and December 1, 2020, a total of 1 436 212 patients were transported to hospitals by ambulance in Osaka Prefecture, Japan. Of them, 1 346 457 were enrolled in this study. Excluded were 89 755 patients who were transferred to a different hospital. There were 462 773 patients in 2018, 468 697 patients in 2019, and 414 987 patients in 2020 who were transported to hospitals by ambulance (Table 1). The total number of women of childbearing age (15–44 years old) was 122 730 (43 616, 43 105, and 36 009, in 2018, 2019, and 2020, respectively, P < 0.001). In addition, the total number of pregnant women was 2586 (909, 943, and 734, in 2018, 2019, and 2020, respectively, P = 0.024). Table 1 lists all baseline characteristics of patients transported to hospitals by ambulance in Osaka Prefecture during the study period. Figure S1 shows violin plots of the age distribution for each patient category.\nDemographic characteristics of transported patients\n\nNote. Children, 0–14 years; adults, 15–64 years; elderly patients, ≥65 years.\nDetermined by the χ2 test for categorical variables and Kruskal–Wallis test for continuous variables.\nAbbreviation: IQR, interquartile range.\nIt was difficult to obtain hospital acceptance for transfer of a total of 4578 female patients of childbearing age (1500, 1503, and 1575, in 2018, 2019, and 2020, respectively, P < 0.001). For pregnant women, the total number of difficult‐to‐transfer cases was 36 (13, 12, and 11, in 2018, 2019, and 2020, respectively, P = 0.919) (Table 2). Table S2 lists the clinical characteristics of all 36 difficult‐to‐transfer cases in pregnant women.\nAnnual transfer data for women of childbearing age and pregnant women\n\nNote. Determined by the χ2 test for categorical variables.\nOutcomes and adjusted analyses Table 3 lists the results of univariate logistic regression analysis of difficult‐to‐transfer cases. The OR for difficult‐to‐transfer women of childbearing age was significantly positive in 2020 compared with 2018 and 2019, but was not significant in 2020 for pregnant women.\nUnivariate logistic regression analysis of difficult‐to‐transfer cases\nThe OR for difficult‐to‐transfer cases of pregnant women was negative (adjusted OR 0.36, 95% CI 0.26–0.50) (Table 4). The OR of 1.27 for 2020 was significantly positive with reference to 2018 (95% CI 1.24–1.30) in all transported patients, however the OR of 0.97 for 2020 was not significant with reference to 2018 (95% CI 0.43–2.23) in pregnant women (Table 5). With reference to June, all the other months were positively associated with difficult‐to‐transfer cases. In terms of time of transportation, with reference to “9 am to 10 am”, all other times were positively associated with difficult‐to‐transfer cases. In particular, it was approximately eight times more difficult to obtain hospital acceptance for transfer during the time “2 am to 5 am” compared with ‘9 am to 10 am’. With reference to Monday, the ORs for Saturday and Sunday were significantly higher for difficult‐to‐transfer cases (adjusted OR 1.14, 95% CI 1.10–1.18 and adjusted OR 1.25, 95% CI 1.21–1.30, respectively). There was a significant association of patients who were suspected to have COVID‐19 with difficult‐to‐transfer cases (adjusted OR 2.77, 95% CI 2.49–3.09). Table S1 shows a similar positive association of female patients of childbearing age with difficult‐to‐transfer cases (adjusted OR 1.09, 95% CI 1.05–1.12) in all transported patients.\nMultivariate logistic regression analysis of difficult‐to‐transfer cases in all patients (pregnant women as a variable)\nMultivariate logistic regression analysis of difficult‐to‐transfer cases in pregnant women\nTo investigate why it was more difficult for female patients of childbearing age to obtain hospital acceptance for transfer compared with pregnant women in the same age group (Table 4 and Table S1), we compared patients' vital signs during transportation between these two groups (Figure 2). Statistically significant differences were found for all vital signs (respiratory rate, blood pressure, temperature, pulse rate, oxygen saturation [SpO2], and level of consciousness with Glasgow Coma Scale [GCS, not shown]) between female patients of childbearing age and pregnant women (P < 0.001 for all).\nViolin plots of vital signs in women of childbearing age and pregnant women. Glasgow Coma Scale (GCS) is not shown because GCS score was 15 in all 36 difficult‐to‐transfer pregnant women\nA total of 234 female patients of childbearing age died at the emergency department (77, 66, and 88 in 2018, 2019, and 2020, respectively). No deaths of pregnant women were reported.\nTable 5 revealed no significantly greater OR for pregnant women, whereas women of childbearing age showed similar results to the general population (Table S3). In addition, sensitivity analyses for children and elderly patients were negatively associated with difficult‐to‐transfer cases in all transported patients, whereas adult was positively associated with difficult‐to‐transfer cases (Tables S4–S6).\nTable 3 lists the results of univariate logistic regression analysis of difficult‐to‐transfer cases. The OR for difficult‐to‐transfer women of childbearing age was significantly positive in 2020 compared with 2018 and 2019, but was not significant in 2020 for pregnant women.\nUnivariate logistic regression analysis of difficult‐to‐transfer cases\nThe OR for difficult‐to‐transfer cases of pregnant women was negative (adjusted OR 0.36, 95% CI 0.26–0.50) (Table 4). The OR of 1.27 for 2020 was significantly positive with reference to 2018 (95% CI 1.24–1.30) in all transported patients, however the OR of 0.97 for 2020 was not significant with reference to 2018 (95% CI 0.43–2.23) in pregnant women (Table 5). With reference to June, all the other months were positively associated with difficult‐to‐transfer cases. In terms of time of transportation, with reference to “9 am to 10 am”, all other times were positively associated with difficult‐to‐transfer cases. In particular, it was approximately eight times more difficult to obtain hospital acceptance for transfer during the time “2 am to 5 am” compared with ‘9 am to 10 am’. With reference to Monday, the ORs for Saturday and Sunday were significantly higher for difficult‐to‐transfer cases (adjusted OR 1.14, 95% CI 1.10–1.18 and adjusted OR 1.25, 95% CI 1.21–1.30, respectively). There was a significant association of patients who were suspected to have COVID‐19 with difficult‐to‐transfer cases (adjusted OR 2.77, 95% CI 2.49–3.09). Table S1 shows a similar positive association of female patients of childbearing age with difficult‐to‐transfer cases (adjusted OR 1.09, 95% CI 1.05–1.12) in all transported patients.\nMultivariate logistic regression analysis of difficult‐to‐transfer cases in all patients (pregnant women as a variable)\nMultivariate logistic regression analysis of difficult‐to‐transfer cases in pregnant women\nTo investigate why it was more difficult for female patients of childbearing age to obtain hospital acceptance for transfer compared with pregnant women in the same age group (Table 4 and Table S1), we compared patients' vital signs during transportation between these two groups (Figure 2). Statistically significant differences were found for all vital signs (respiratory rate, blood pressure, temperature, pulse rate, oxygen saturation [SpO2], and level of consciousness with Glasgow Coma Scale [GCS, not shown]) between female patients of childbearing age and pregnant women (P < 0.001 for all).\nViolin plots of vital signs in women of childbearing age and pregnant women. Glasgow Coma Scale (GCS) is not shown because GCS score was 15 in all 36 difficult‐to‐transfer pregnant women\nA total of 234 female patients of childbearing age died at the emergency department (77, 66, and 88 in 2018, 2019, and 2020, respectively). No deaths of pregnant women were reported.\nTable 5 revealed no significantly greater OR for pregnant women, whereas women of childbearing age showed similar results to the general population (Table S3). In addition, sensitivity analyses for children and elderly patients were negatively associated with difficult‐to‐transfer cases in all transported patients, whereas adult was positively associated with difficult‐to‐transfer cases (Tables S4–S6).", "In the 3 years between January 1, 2018 and December 1, 2020, a total of 1 436 212 patients were transported to hospitals by ambulance in Osaka Prefecture, Japan. Of them, 1 346 457 were enrolled in this study. Excluded were 89 755 patients who were transferred to a different hospital. There were 462 773 patients in 2018, 468 697 patients in 2019, and 414 987 patients in 2020 who were transported to hospitals by ambulance (Table 1). The total number of women of childbearing age (15–44 years old) was 122 730 (43 616, 43 105, and 36 009, in 2018, 2019, and 2020, respectively, P < 0.001). In addition, the total number of pregnant women was 2586 (909, 943, and 734, in 2018, 2019, and 2020, respectively, P = 0.024). Table 1 lists all baseline characteristics of patients transported to hospitals by ambulance in Osaka Prefecture during the study period. Figure S1 shows violin plots of the age distribution for each patient category.\nDemographic characteristics of transported patients\n\nNote. Children, 0–14 years; adults, 15–64 years; elderly patients, ≥65 years.\nDetermined by the χ2 test for categorical variables and Kruskal–Wallis test for continuous variables.\nAbbreviation: IQR, interquartile range.\nIt was difficult to obtain hospital acceptance for transfer of a total of 4578 female patients of childbearing age (1500, 1503, and 1575, in 2018, 2019, and 2020, respectively, P < 0.001). For pregnant women, the total number of difficult‐to‐transfer cases was 36 (13, 12, and 11, in 2018, 2019, and 2020, respectively, P = 0.919) (Table 2). Table S2 lists the clinical characteristics of all 36 difficult‐to‐transfer cases in pregnant women.\nAnnual transfer data for women of childbearing age and pregnant women\n\nNote. Determined by the χ2 test for categorical variables.", "Table 3 lists the results of univariate logistic regression analysis of difficult‐to‐transfer cases. The OR for difficult‐to‐transfer women of childbearing age was significantly positive in 2020 compared with 2018 and 2019, but was not significant in 2020 for pregnant women.\nUnivariate logistic regression analysis of difficult‐to‐transfer cases\nThe OR for difficult‐to‐transfer cases of pregnant women was negative (adjusted OR 0.36, 95% CI 0.26–0.50) (Table 4). The OR of 1.27 for 2020 was significantly positive with reference to 2018 (95% CI 1.24–1.30) in all transported patients, however the OR of 0.97 for 2020 was not significant with reference to 2018 (95% CI 0.43–2.23) in pregnant women (Table 5). With reference to June, all the other months were positively associated with difficult‐to‐transfer cases. In terms of time of transportation, with reference to “9 am to 10 am”, all other times were positively associated with difficult‐to‐transfer cases. In particular, it was approximately eight times more difficult to obtain hospital acceptance for transfer during the time “2 am to 5 am” compared with ‘9 am to 10 am’. With reference to Monday, the ORs for Saturday and Sunday were significantly higher for difficult‐to‐transfer cases (adjusted OR 1.14, 95% CI 1.10–1.18 and adjusted OR 1.25, 95% CI 1.21–1.30, respectively). There was a significant association of patients who were suspected to have COVID‐19 with difficult‐to‐transfer cases (adjusted OR 2.77, 95% CI 2.49–3.09). Table S1 shows a similar positive association of female patients of childbearing age with difficult‐to‐transfer cases (adjusted OR 1.09, 95% CI 1.05–1.12) in all transported patients.\nMultivariate logistic regression analysis of difficult‐to‐transfer cases in all patients (pregnant women as a variable)\nMultivariate logistic regression analysis of difficult‐to‐transfer cases in pregnant women\nTo investigate why it was more difficult for female patients of childbearing age to obtain hospital acceptance for transfer compared with pregnant women in the same age group (Table 4 and Table S1), we compared patients' vital signs during transportation between these two groups (Figure 2). Statistically significant differences were found for all vital signs (respiratory rate, blood pressure, temperature, pulse rate, oxygen saturation [SpO2], and level of consciousness with Glasgow Coma Scale [GCS, not shown]) between female patients of childbearing age and pregnant women (P < 0.001 for all).\nViolin plots of vital signs in women of childbearing age and pregnant women. Glasgow Coma Scale (GCS) is not shown because GCS score was 15 in all 36 difficult‐to‐transfer pregnant women\nA total of 234 female patients of childbearing age died at the emergency department (77, 66, and 88 in 2018, 2019, and 2020, respectively). No deaths of pregnant women were reported.\nTable 5 revealed no significantly greater OR for pregnant women, whereas women of childbearing age showed similar results to the general population (Table S3). In addition, sensitivity analyses for children and elderly patients were negatively associated with difficult‐to‐transfer cases in all transported patients, whereas adult was positively associated with difficult‐to‐transfer cases (Tables S4–S6).", "Pregnant women were associated with reduced odds for difficulty in obtaining hospital acceptance for transfer of a patient (difficult‐to‐transfer cases) (adjusted OR 0.36, 95% CI 0.26–0.50) (Table 4). In contrast, women of childbearing age had greater odds for difficult‐to‐transfer cases than the general population (OR 1.09, 95% CI 1.05–1.12) (Table S1).\nDuring the 3‐year study period, only 36 pregnant women were difficult‐to‐transfer cases (13, 12, and 11 women in 2018, 2019, and 2020, respectively). However, it is important to reduce difficult‐to‐transfer cases, with or without the COVID‐19 pandemic. There was a strong association with difficult‐to‐transfer cases with patients suspected to have COVID‐19. Hospitals were most likely to accept patients in the morning (9 am to 10 am), on Fridays, and in the month of June.\nWe did not know the exact reason why young women had greater odds of being difficult‐to‐transfer cases than pregnant women in the same age group. One of the reasons for this finding might be the difference in age distribution between these two categories for all years between 2018 and 2020, as shown in the violin plots in Figure S1. Vital signs including respiratory rate, blood pressure, temperature, pulse rate, SpO2, and GCS were significantly different between female patients aged 15–44 and pregnant women (Figure 2). Another reason might be that the Obstetric and Gynecologic Cooperative System (OGCS) for pregnant women and the Neonatal Mutual Cooperative System for newborns had been established in Osaka prefecture.\n13\n When emergency maternal events due to obstetric diseases occur, the OGCS allows obstetricians and gynecologists to directly contact the obstetricians and gynecologists at the higher‐care facility for smooth transport. OGCS could manage for smooth transport in pregnant women effectively.\nA meta‐analysis of pregnant women with COVID‐19 found that 76.5% of pregnant patients had mild disease, 15.9% had severe disease, and 7.7% had critical disease at the time of admission.\n14\n Critical disease is reported to be rare in pregnant patients but slightly increased when compared with the general population.\n15\n In the present study, there were no deaths of pregnant women, and univariate logistic regression analysis failed to show any greater OR for difficult‐to‐transfer cases in pregnant women in 2020. This result suggests that the emergency obstetric transportation system of Osaka Prefecture (OGCS) had been established effectively, and continues to function well even during the COVID‐19 pandemic. It also should be noted that the reduced OR for difficult‐to‐transfer cases for pregnant women might have been affected by the fact that most of these women were already registered with a hospital for their routine prenatal checkups. A previous study conducted in Osaka City showed a negative OR of 0.234 for difficult‐to‐transfer cases in gynecological disease.\n16\n The OR was higher than 0.18 in the present study that included only obstetric patients.\nThere are several limitations in this study. First, COVID‐19 is a new disease identified in Japan only in 2020, and the ICD‐10 code “U07.2”, which was used when COVID‐19 was suspected, also included acute upper respiratory tract infection and gastroenteritis. Second, the exact gestations of pregnancy were not available. Third, as this study was a retrospective, observational study, there might be some confounding factors that are unknown. Fourth, this study defined difficult‐to‐transfer cases uniformly regardless of the patient’s condition, and assessed differences only by demographic factors and the reasons for the ambulance call. Finally, in the logistic regression analysis, we could not adjust for factors such as past medical history, medications, and health status because this information was not available.", "The results of this study showed that pregnancy was consistently associated with reduced odds for difficult‐to‐transfer cases. Specifically, when compared with women of childbearing age in the same age group, pregnant women had lower odds of being difficult‐to‐transfer cases in 2020 even during the COVID‐19 outbreak. Hospitals are more likely to accept patients between 9 am and 10 am in the morning, on Fridays, and in the month of June.", "The authors declare that they have no competing interests.", "K.O. designed the study and wrote the initial draft of the manuscript. Ka.O., D.N., T.K., Y.K., M.N., T.M., and A.T. contributed to analysis and interpretation of the data and assisted in the preparation of the manuscript. All authors contributed to data collection and interpretation and critically reviewed the manuscript. All authors approved the final version of the manuscript and agree to be accountable for all aspects of the work, including ensuring that questions related to the accuracy or integrity of any part of the work are appropriately investigated and resolved. All authors meet the International Committee of Medical Journal Editors (ICMJE) authorship criteria.", "\nFigure S1\n\nClick here for additional data file.\n\nTable S1\n\n\nTable S2\n\n\nTable S3\n\n\nTable S4\n\n\nTable S5\n\n\nTable S6\n\nClick here for additional data file." ]
[ null, "methods", null, null, null, null, "results", null, null, "discussion", "conclusions", "COI-statement", null, "supplementary-material" ]
[ "COVID‐19", "difficult‐to‐transfer cases", "pandemic", "pregnant women", "women of childbearing age" ]
INTRODUCTION: The coronavirus disease 2019 (COVID‐19), caused by Severe Acute Respiratory Syndrome Coronavirus 2 (SARS‐CoV‐2), was identified in Wuhan, China in December 2019, after which a COVID‐19 outbreak spread rapidly across the world. 1 On March 11, 2020, the World Health Organization (WHO) declared COVID‐19 as a pandemic. A previous study has reported that pregnancy was associated with significantly increased chance of hospitalization, ICU admission, and the need for mechanical ventilation due to COVID‐19, but not associated with significantly increased risk of death compared with non‐pregnant counterparts of childbearing age. 2 One retrospective cohort study of asymptomatic pregnant women showed that the COVID‐19 pandemic environment did not affect early first‐trimester miscarriage rates. 3 However, the COVID‐19 pandemic has been associated with an increased rate of stillbirth. 4 The number of hospitals with optimal volumes of deliveries and obstetricians has increased rapidly due to governmental policies to facilitate selection and concentration of obstetric hospitals in Japan. 5 , 6 However, heavy workloads and a shortage of obstetrician resources might limit the provision of comprehensive Emergency Obstetric and Neonatal Care and affect the quality of care. In 2006, 2007, and 2008, two maternal deaths and one neonatal death due to difficulty in obtaining hospital acceptance for transfer of patients were recorded in Japan. 7 , 8 These incidents provoked strong social reactions towards the emergency medical system regarding care of pregnant women. 9 Although the emergency obstetric transportation system has since been reorganized, “difficult‐to‐transfer cases” can still occur and it is possible that the COVID‐19 pandemic may additionally influence emergency obstetric transportation. This study aimed to assess the influence of the COVID‐19 pandemic on the EMS system for pregnant women who were transported by ambulance in Osaka Prefecture. METHODS: Study design and setting This was a retrospective, descriptive study using data from the Osaka Emergency Information Research Intelligent Operation Network (ORION) system for the period January 1, 2018 to December 31, 2020. 10 Osaka Prefecture has a population of approximately 8.8 million and a total area of 1905 km2, and is the largest metropolitan community in western Japan. The ORION system was developed and introduced by the government of Osaka prefecture as an information system for managing emergency patients. It collects data via a smartphone application that is used by emergency medical service personnel for on‐scene hospital selection, and accumulates data for all ambulance records. Since January 2015, diagnostic and outcome information on the patients transported to each medical institution have been merged with the ORION ambulance record data, including the smartphone application data. To assess the influence of the COVID‐19 pandemic on the EMS system, we focused on pregnant women who were transported by ambulance in Osaka Prefecture (Figure 1). We defined “women of childbearing age” as female patients aged 15–44 years. 11 We used the presumptive diagnosis and the final diagnosis for patients who were admitted, using the International Classification of Diseases, 10th Revision (ICD‐10). 12 In the present study, we defined pregnancy‐related patients (pregnancy patients) as ICD‐10 codes O00–O99 and P00–P96. We also collected “COVID‐19” data as ICD‐10 code U07.1, and “COVID‐19 suspected” data (if the virus not identified) as U07.2. Patient flow. All female patients aged 15–44 years were selected and then divided into two groups Patients who were not transported to a hospital were excluded from the study. The ambulance records in Osaka Prefecture are considered administrative records, and the necessity to obtain informed consent from the participants was waived because the data were anonymous. This study was approved by the Ethics Committee of Osaka Medical and Pharmaceutical University (Takatsuki City, Japan). Strengthening the Reporting of Observational studies in Epidemiology (STROBE) guidelines were used in the design and in reporting the results of the study. This was a retrospective, descriptive study using data from the Osaka Emergency Information Research Intelligent Operation Network (ORION) system for the period January 1, 2018 to December 31, 2020. 10 Osaka Prefecture has a population of approximately 8.8 million and a total area of 1905 km2, and is the largest metropolitan community in western Japan. The ORION system was developed and introduced by the government of Osaka prefecture as an information system for managing emergency patients. It collects data via a smartphone application that is used by emergency medical service personnel for on‐scene hospital selection, and accumulates data for all ambulance records. Since January 2015, diagnostic and outcome information on the patients transported to each medical institution have been merged with the ORION ambulance record data, including the smartphone application data. To assess the influence of the COVID‐19 pandemic on the EMS system, we focused on pregnant women who were transported by ambulance in Osaka Prefecture (Figure 1). We defined “women of childbearing age” as female patients aged 15–44 years. 11 We used the presumptive diagnosis and the final diagnosis for patients who were admitted, using the International Classification of Diseases, 10th Revision (ICD‐10). 12 In the present study, we defined pregnancy‐related patients (pregnancy patients) as ICD‐10 codes O00–O99 and P00–P96. We also collected “COVID‐19” data as ICD‐10 code U07.1, and “COVID‐19 suspected” data (if the virus not identified) as U07.2. Patient flow. All female patients aged 15–44 years were selected and then divided into two groups Patients who were not transported to a hospital were excluded from the study. The ambulance records in Osaka Prefecture are considered administrative records, and the necessity to obtain informed consent from the participants was waived because the data were anonymous. This study was approved by the Ethics Committee of Osaka Medical and Pharmaceutical University (Takatsuki City, Japan). Strengthening the Reporting of Observational studies in Epidemiology (STROBE) guidelines were used in the design and in reporting the results of the study. Data collection and quality control Data were uniformly collected using specific data collection forms and the reason for the ambulance call, the location of the accident, the time of day and day of the week, and the tools used, were included, in addition to age, sex, and ICD‐10 code. The detailed situation and patient information were recorded in text form. These data were completed by EMS personnel and then transferred to the information center at the Osaka Municipal Fire Department (OMFD). To assure the quality of the data, incomplete data sheets were returned to the relevant EMS personnel for completion. Data were uniformly collected using specific data collection forms and the reason for the ambulance call, the location of the accident, the time of day and day of the week, and the tools used, were included, in addition to age, sex, and ICD‐10 code. The detailed situation and patient information were recorded in text form. These data were completed by EMS personnel and then transferred to the information center at the Osaka Municipal Fire Department (OMFD). To assure the quality of the data, incomplete data sheets were returned to the relevant EMS personnel for completion. Outcomes The primary outcome of this study was the difficulty in obtaining hospital acceptance for transfer of a patient. According to the guidelines of the Fire and Disaster Management Agency of the Ministry of Internal Affairs and Communications, we defined “difficult‐to‐transfer cases” as those in which the time interval from arrival at the scene to departure from the scene was longer than 30 min, and those in which ambulance crews needed to make four or more phone calls to hospitals before obtaining hospital acceptance. The primary outcome of this study was the difficulty in obtaining hospital acceptance for transfer of a patient. According to the guidelines of the Fire and Disaster Management Agency of the Ministry of Internal Affairs and Communications, we defined “difficult‐to‐transfer cases” as those in which the time interval from arrival at the scene to departure from the scene was longer than 30 min, and those in which ambulance crews needed to make four or more phone calls to hospitals before obtaining hospital acceptance. Data analysis We calculated the numbers of patients transported by ambulance per year due to any cause except interhospital transport between 1 January and December 31, 2020. Patient demographics among the 3 years were compared using χ2 test for categorical variables and the Kruskal–Wallis test for continuous variables. For comparison purposes, the numbers of patients transported by ambulance for the same reasons per year between 1 January and December 31, 2018 and between 1 January and December 31, 2019 were also collected. A logistic regression analysis was used to calculate the rate of difficulty of hospital acceptance of patients for 3 years, and the crude odds ratio (OR) and 95% confidence interval (CI) were calculated for each year for difficult‐to‐transfer cases, with 2018 as the reference. The adjusted OR and 95%CI of difficult‐to‐transfer cases were calculated in all transported patients for pregnant women and for women of childbearing age as well as for other age groups (child, adult, and elderly) using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. The adjusted OR and 95% CI of difficult‐to‐transfer cases were also calculated in pregnant women and in women of childbearing age using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. All statistical analyses were performed using SPSS version 25.0 software (IBM Corp., Armonk, NY, USA) or STATA (version 16.1; Stata Corp., College Station, TX, USA). All tests were two‐tailed, and P‐values <0.05 were considered statistically significant. We calculated the numbers of patients transported by ambulance per year due to any cause except interhospital transport between 1 January and December 31, 2020. Patient demographics among the 3 years were compared using χ2 test for categorical variables and the Kruskal–Wallis test for continuous variables. For comparison purposes, the numbers of patients transported by ambulance for the same reasons per year between 1 January and December 31, 2018 and between 1 January and December 31, 2019 were also collected. A logistic regression analysis was used to calculate the rate of difficulty of hospital acceptance of patients for 3 years, and the crude odds ratio (OR) and 95% confidence interval (CI) were calculated for each year for difficult‐to‐transfer cases, with 2018 as the reference. The adjusted OR and 95%CI of difficult‐to‐transfer cases were calculated in all transported patients for pregnant women and for women of childbearing age as well as for other age groups (child, adult, and elderly) using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. The adjusted OR and 95% CI of difficult‐to‐transfer cases were also calculated in pregnant women and in women of childbearing age using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. All statistical analyses were performed using SPSS version 25.0 software (IBM Corp., Armonk, NY, USA) or STATA (version 16.1; Stata Corp., College Station, TX, USA). All tests were two‐tailed, and P‐values <0.05 were considered statistically significant. Study design and setting: This was a retrospective, descriptive study using data from the Osaka Emergency Information Research Intelligent Operation Network (ORION) system for the period January 1, 2018 to December 31, 2020. 10 Osaka Prefecture has a population of approximately 8.8 million and a total area of 1905 km2, and is the largest metropolitan community in western Japan. The ORION system was developed and introduced by the government of Osaka prefecture as an information system for managing emergency patients. It collects data via a smartphone application that is used by emergency medical service personnel for on‐scene hospital selection, and accumulates data for all ambulance records. Since January 2015, diagnostic and outcome information on the patients transported to each medical institution have been merged with the ORION ambulance record data, including the smartphone application data. To assess the influence of the COVID‐19 pandemic on the EMS system, we focused on pregnant women who were transported by ambulance in Osaka Prefecture (Figure 1). We defined “women of childbearing age” as female patients aged 15–44 years. 11 We used the presumptive diagnosis and the final diagnosis for patients who were admitted, using the International Classification of Diseases, 10th Revision (ICD‐10). 12 In the present study, we defined pregnancy‐related patients (pregnancy patients) as ICD‐10 codes O00–O99 and P00–P96. We also collected “COVID‐19” data as ICD‐10 code U07.1, and “COVID‐19 suspected” data (if the virus not identified) as U07.2. Patient flow. All female patients aged 15–44 years were selected and then divided into two groups Patients who were not transported to a hospital were excluded from the study. The ambulance records in Osaka Prefecture are considered administrative records, and the necessity to obtain informed consent from the participants was waived because the data were anonymous. This study was approved by the Ethics Committee of Osaka Medical and Pharmaceutical University (Takatsuki City, Japan). Strengthening the Reporting of Observational studies in Epidemiology (STROBE) guidelines were used in the design and in reporting the results of the study. Data collection and quality control: Data were uniformly collected using specific data collection forms and the reason for the ambulance call, the location of the accident, the time of day and day of the week, and the tools used, were included, in addition to age, sex, and ICD‐10 code. The detailed situation and patient information were recorded in text form. These data were completed by EMS personnel and then transferred to the information center at the Osaka Municipal Fire Department (OMFD). To assure the quality of the data, incomplete data sheets were returned to the relevant EMS personnel for completion. Outcomes: The primary outcome of this study was the difficulty in obtaining hospital acceptance for transfer of a patient. According to the guidelines of the Fire and Disaster Management Agency of the Ministry of Internal Affairs and Communications, we defined “difficult‐to‐transfer cases” as those in which the time interval from arrival at the scene to departure from the scene was longer than 30 min, and those in which ambulance crews needed to make four or more phone calls to hospitals before obtaining hospital acceptance. Data analysis: We calculated the numbers of patients transported by ambulance per year due to any cause except interhospital transport between 1 January and December 31, 2020. Patient demographics among the 3 years were compared using χ2 test for categorical variables and the Kruskal–Wallis test for continuous variables. For comparison purposes, the numbers of patients transported by ambulance for the same reasons per year between 1 January and December 31, 2018 and between 1 January and December 31, 2019 were also collected. A logistic regression analysis was used to calculate the rate of difficulty of hospital acceptance of patients for 3 years, and the crude odds ratio (OR) and 95% confidence interval (CI) were calculated for each year for difficult‐to‐transfer cases, with 2018 as the reference. The adjusted OR and 95%CI of difficult‐to‐transfer cases were calculated in all transported patients for pregnant women and for women of childbearing age as well as for other age groups (child, adult, and elderly) using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. The adjusted OR and 95% CI of difficult‐to‐transfer cases were also calculated in pregnant women and in women of childbearing age using multivariate analyses for month, time of transportation, day of week, and suspected COVID‐19 during transportation. All statistical analyses were performed using SPSS version 25.0 software (IBM Corp., Armonk, NY, USA) or STATA (version 16.1; Stata Corp., College Station, TX, USA). All tests were two‐tailed, and P‐values <0.05 were considered statistically significant. RESULTS: Baseline characteristics In the 3 years between January 1, 2018 and December 1, 2020, a total of 1 436 212 patients were transported to hospitals by ambulance in Osaka Prefecture, Japan. Of them, 1 346 457 were enrolled in this study. Excluded were 89 755 patients who were transferred to a different hospital. There were 462 773 patients in 2018, 468 697 patients in 2019, and 414 987 patients in 2020 who were transported to hospitals by ambulance (Table 1). The total number of women of childbearing age (15–44 years old) was 122 730 (43 616, 43 105, and 36 009, in 2018, 2019, and 2020, respectively, P < 0.001). In addition, the total number of pregnant women was 2586 (909, 943, and 734, in 2018, 2019, and 2020, respectively, P = 0.024). Table 1 lists all baseline characteristics of patients transported to hospitals by ambulance in Osaka Prefecture during the study period. Figure S1 shows violin plots of the age distribution for each patient category. Demographic characteristics of transported patients Note. Children, 0–14 years; adults, 15–64 years; elderly patients, ≥65 years. Determined by the χ2 test for categorical variables and Kruskal–Wallis test for continuous variables. Abbreviation: IQR, interquartile range. It was difficult to obtain hospital acceptance for transfer of a total of 4578 female patients of childbearing age (1500, 1503, and 1575, in 2018, 2019, and 2020, respectively, P < 0.001). For pregnant women, the total number of difficult‐to‐transfer cases was 36 (13, 12, and 11, in 2018, 2019, and 2020, respectively, P = 0.919) (Table 2). Table S2 lists the clinical characteristics of all 36 difficult‐to‐transfer cases in pregnant women. Annual transfer data for women of childbearing age and pregnant women Note. Determined by the χ2 test for categorical variables. In the 3 years between January 1, 2018 and December 1, 2020, a total of 1 436 212 patients were transported to hospitals by ambulance in Osaka Prefecture, Japan. Of them, 1 346 457 were enrolled in this study. Excluded were 89 755 patients who were transferred to a different hospital. There were 462 773 patients in 2018, 468 697 patients in 2019, and 414 987 patients in 2020 who were transported to hospitals by ambulance (Table 1). The total number of women of childbearing age (15–44 years old) was 122 730 (43 616, 43 105, and 36 009, in 2018, 2019, and 2020, respectively, P < 0.001). In addition, the total number of pregnant women was 2586 (909, 943, and 734, in 2018, 2019, and 2020, respectively, P = 0.024). Table 1 lists all baseline characteristics of patients transported to hospitals by ambulance in Osaka Prefecture during the study period. Figure S1 shows violin plots of the age distribution for each patient category. Demographic characteristics of transported patients Note. Children, 0–14 years; adults, 15–64 years; elderly patients, ≥65 years. Determined by the χ2 test for categorical variables and Kruskal–Wallis test for continuous variables. Abbreviation: IQR, interquartile range. It was difficult to obtain hospital acceptance for transfer of a total of 4578 female patients of childbearing age (1500, 1503, and 1575, in 2018, 2019, and 2020, respectively, P < 0.001). For pregnant women, the total number of difficult‐to‐transfer cases was 36 (13, 12, and 11, in 2018, 2019, and 2020, respectively, P = 0.919) (Table 2). Table S2 lists the clinical characteristics of all 36 difficult‐to‐transfer cases in pregnant women. Annual transfer data for women of childbearing age and pregnant women Note. Determined by the χ2 test for categorical variables. Outcomes and adjusted analyses Table 3 lists the results of univariate logistic regression analysis of difficult‐to‐transfer cases. The OR for difficult‐to‐transfer women of childbearing age was significantly positive in 2020 compared with 2018 and 2019, but was not significant in 2020 for pregnant women. Univariate logistic regression analysis of difficult‐to‐transfer cases The OR for difficult‐to‐transfer cases of pregnant women was negative (adjusted OR 0.36, 95% CI 0.26–0.50) (Table 4). The OR of 1.27 for 2020 was significantly positive with reference to 2018 (95% CI 1.24–1.30) in all transported patients, however the OR of 0.97 for 2020 was not significant with reference to 2018 (95% CI 0.43–2.23) in pregnant women (Table 5). With reference to June, all the other months were positively associated with difficult‐to‐transfer cases. In terms of time of transportation, with reference to “9 am to 10 am”, all other times were positively associated with difficult‐to‐transfer cases. In particular, it was approximately eight times more difficult to obtain hospital acceptance for transfer during the time “2 am to 5 am” compared with ‘9 am to 10 am’. With reference to Monday, the ORs for Saturday and Sunday were significantly higher for difficult‐to‐transfer cases (adjusted OR 1.14, 95% CI 1.10–1.18 and adjusted OR 1.25, 95% CI 1.21–1.30, respectively). There was a significant association of patients who were suspected to have COVID‐19 with difficult‐to‐transfer cases (adjusted OR 2.77, 95% CI 2.49–3.09). Table S1 shows a similar positive association of female patients of childbearing age with difficult‐to‐transfer cases (adjusted OR 1.09, 95% CI 1.05–1.12) in all transported patients. Multivariate logistic regression analysis of difficult‐to‐transfer cases in all patients (pregnant women as a variable) Multivariate logistic regression analysis of difficult‐to‐transfer cases in pregnant women To investigate why it was more difficult for female patients of childbearing age to obtain hospital acceptance for transfer compared with pregnant women in the same age group (Table 4 and Table S1), we compared patients' vital signs during transportation between these two groups (Figure 2). Statistically significant differences were found for all vital signs (respiratory rate, blood pressure, temperature, pulse rate, oxygen saturation [SpO2], and level of consciousness with Glasgow Coma Scale [GCS, not shown]) between female patients of childbearing age and pregnant women (P < 0.001 for all). Violin plots of vital signs in women of childbearing age and pregnant women. Glasgow Coma Scale (GCS) is not shown because GCS score was 15 in all 36 difficult‐to‐transfer pregnant women A total of 234 female patients of childbearing age died at the emergency department (77, 66, and 88 in 2018, 2019, and 2020, respectively). No deaths of pregnant women were reported. Table 5 revealed no significantly greater OR for pregnant women, whereas women of childbearing age showed similar results to the general population (Table S3). In addition, sensitivity analyses for children and elderly patients were negatively associated with difficult‐to‐transfer cases in all transported patients, whereas adult was positively associated with difficult‐to‐transfer cases (Tables S4–S6). Table 3 lists the results of univariate logistic regression analysis of difficult‐to‐transfer cases. The OR for difficult‐to‐transfer women of childbearing age was significantly positive in 2020 compared with 2018 and 2019, but was not significant in 2020 for pregnant women. Univariate logistic regression analysis of difficult‐to‐transfer cases The OR for difficult‐to‐transfer cases of pregnant women was negative (adjusted OR 0.36, 95% CI 0.26–0.50) (Table 4). The OR of 1.27 for 2020 was significantly positive with reference to 2018 (95% CI 1.24–1.30) in all transported patients, however the OR of 0.97 for 2020 was not significant with reference to 2018 (95% CI 0.43–2.23) in pregnant women (Table 5). With reference to June, all the other months were positively associated with difficult‐to‐transfer cases. In terms of time of transportation, with reference to “9 am to 10 am”, all other times were positively associated with difficult‐to‐transfer cases. In particular, it was approximately eight times more difficult to obtain hospital acceptance for transfer during the time “2 am to 5 am” compared with ‘9 am to 10 am’. With reference to Monday, the ORs for Saturday and Sunday were significantly higher for difficult‐to‐transfer cases (adjusted OR 1.14, 95% CI 1.10–1.18 and adjusted OR 1.25, 95% CI 1.21–1.30, respectively). There was a significant association of patients who were suspected to have COVID‐19 with difficult‐to‐transfer cases (adjusted OR 2.77, 95% CI 2.49–3.09). Table S1 shows a similar positive association of female patients of childbearing age with difficult‐to‐transfer cases (adjusted OR 1.09, 95% CI 1.05–1.12) in all transported patients. Multivariate logistic regression analysis of difficult‐to‐transfer cases in all patients (pregnant women as a variable) Multivariate logistic regression analysis of difficult‐to‐transfer cases in pregnant women To investigate why it was more difficult for female patients of childbearing age to obtain hospital acceptance for transfer compared with pregnant women in the same age group (Table 4 and Table S1), we compared patients' vital signs during transportation between these two groups (Figure 2). Statistically significant differences were found for all vital signs (respiratory rate, blood pressure, temperature, pulse rate, oxygen saturation [SpO2], and level of consciousness with Glasgow Coma Scale [GCS, not shown]) between female patients of childbearing age and pregnant women (P < 0.001 for all). Violin plots of vital signs in women of childbearing age and pregnant women. Glasgow Coma Scale (GCS) is not shown because GCS score was 15 in all 36 difficult‐to‐transfer pregnant women A total of 234 female patients of childbearing age died at the emergency department (77, 66, and 88 in 2018, 2019, and 2020, respectively). No deaths of pregnant women were reported. Table 5 revealed no significantly greater OR for pregnant women, whereas women of childbearing age showed similar results to the general population (Table S3). In addition, sensitivity analyses for children and elderly patients were negatively associated with difficult‐to‐transfer cases in all transported patients, whereas adult was positively associated with difficult‐to‐transfer cases (Tables S4–S6). Baseline characteristics: In the 3 years between January 1, 2018 and December 1, 2020, a total of 1 436 212 patients were transported to hospitals by ambulance in Osaka Prefecture, Japan. Of them, 1 346 457 were enrolled in this study. Excluded were 89 755 patients who were transferred to a different hospital. There were 462 773 patients in 2018, 468 697 patients in 2019, and 414 987 patients in 2020 who were transported to hospitals by ambulance (Table 1). The total number of women of childbearing age (15–44 years old) was 122 730 (43 616, 43 105, and 36 009, in 2018, 2019, and 2020, respectively, P < 0.001). In addition, the total number of pregnant women was 2586 (909, 943, and 734, in 2018, 2019, and 2020, respectively, P = 0.024). Table 1 lists all baseline characteristics of patients transported to hospitals by ambulance in Osaka Prefecture during the study period. Figure S1 shows violin plots of the age distribution for each patient category. Demographic characteristics of transported patients Note. Children, 0–14 years; adults, 15–64 years; elderly patients, ≥65 years. Determined by the χ2 test for categorical variables and Kruskal–Wallis test for continuous variables. Abbreviation: IQR, interquartile range. It was difficult to obtain hospital acceptance for transfer of a total of 4578 female patients of childbearing age (1500, 1503, and 1575, in 2018, 2019, and 2020, respectively, P < 0.001). For pregnant women, the total number of difficult‐to‐transfer cases was 36 (13, 12, and 11, in 2018, 2019, and 2020, respectively, P = 0.919) (Table 2). Table S2 lists the clinical characteristics of all 36 difficult‐to‐transfer cases in pregnant women. Annual transfer data for women of childbearing age and pregnant women Note. Determined by the χ2 test for categorical variables. Outcomes and adjusted analyses: Table 3 lists the results of univariate logistic regression analysis of difficult‐to‐transfer cases. The OR for difficult‐to‐transfer women of childbearing age was significantly positive in 2020 compared with 2018 and 2019, but was not significant in 2020 for pregnant women. Univariate logistic regression analysis of difficult‐to‐transfer cases The OR for difficult‐to‐transfer cases of pregnant women was negative (adjusted OR 0.36, 95% CI 0.26–0.50) (Table 4). The OR of 1.27 for 2020 was significantly positive with reference to 2018 (95% CI 1.24–1.30) in all transported patients, however the OR of 0.97 for 2020 was not significant with reference to 2018 (95% CI 0.43–2.23) in pregnant women (Table 5). With reference to June, all the other months were positively associated with difficult‐to‐transfer cases. In terms of time of transportation, with reference to “9 am to 10 am”, all other times were positively associated with difficult‐to‐transfer cases. In particular, it was approximately eight times more difficult to obtain hospital acceptance for transfer during the time “2 am to 5 am” compared with ‘9 am to 10 am’. With reference to Monday, the ORs for Saturday and Sunday were significantly higher for difficult‐to‐transfer cases (adjusted OR 1.14, 95% CI 1.10–1.18 and adjusted OR 1.25, 95% CI 1.21–1.30, respectively). There was a significant association of patients who were suspected to have COVID‐19 with difficult‐to‐transfer cases (adjusted OR 2.77, 95% CI 2.49–3.09). Table S1 shows a similar positive association of female patients of childbearing age with difficult‐to‐transfer cases (adjusted OR 1.09, 95% CI 1.05–1.12) in all transported patients. Multivariate logistic regression analysis of difficult‐to‐transfer cases in all patients (pregnant women as a variable) Multivariate logistic regression analysis of difficult‐to‐transfer cases in pregnant women To investigate why it was more difficult for female patients of childbearing age to obtain hospital acceptance for transfer compared with pregnant women in the same age group (Table 4 and Table S1), we compared patients' vital signs during transportation between these two groups (Figure 2). Statistically significant differences were found for all vital signs (respiratory rate, blood pressure, temperature, pulse rate, oxygen saturation [SpO2], and level of consciousness with Glasgow Coma Scale [GCS, not shown]) between female patients of childbearing age and pregnant women (P < 0.001 for all). Violin plots of vital signs in women of childbearing age and pregnant women. Glasgow Coma Scale (GCS) is not shown because GCS score was 15 in all 36 difficult‐to‐transfer pregnant women A total of 234 female patients of childbearing age died at the emergency department (77, 66, and 88 in 2018, 2019, and 2020, respectively). No deaths of pregnant women were reported. Table 5 revealed no significantly greater OR for pregnant women, whereas women of childbearing age showed similar results to the general population (Table S3). In addition, sensitivity analyses for children and elderly patients were negatively associated with difficult‐to‐transfer cases in all transported patients, whereas adult was positively associated with difficult‐to‐transfer cases (Tables S4–S6). DISCUSSION: Pregnant women were associated with reduced odds for difficulty in obtaining hospital acceptance for transfer of a patient (difficult‐to‐transfer cases) (adjusted OR 0.36, 95% CI 0.26–0.50) (Table 4). In contrast, women of childbearing age had greater odds for difficult‐to‐transfer cases than the general population (OR 1.09, 95% CI 1.05–1.12) (Table S1). During the 3‐year study period, only 36 pregnant women were difficult‐to‐transfer cases (13, 12, and 11 women in 2018, 2019, and 2020, respectively). However, it is important to reduce difficult‐to‐transfer cases, with or without the COVID‐19 pandemic. There was a strong association with difficult‐to‐transfer cases with patients suspected to have COVID‐19. Hospitals were most likely to accept patients in the morning (9 am to 10 am), on Fridays, and in the month of June. We did not know the exact reason why young women had greater odds of being difficult‐to‐transfer cases than pregnant women in the same age group. One of the reasons for this finding might be the difference in age distribution between these two categories for all years between 2018 and 2020, as shown in the violin plots in Figure S1. Vital signs including respiratory rate, blood pressure, temperature, pulse rate, SpO2, and GCS were significantly different between female patients aged 15–44 and pregnant women (Figure 2). Another reason might be that the Obstetric and Gynecologic Cooperative System (OGCS) for pregnant women and the Neonatal Mutual Cooperative System for newborns had been established in Osaka prefecture. 13 When emergency maternal events due to obstetric diseases occur, the OGCS allows obstetricians and gynecologists to directly contact the obstetricians and gynecologists at the higher‐care facility for smooth transport. OGCS could manage for smooth transport in pregnant women effectively. A meta‐analysis of pregnant women with COVID‐19 found that 76.5% of pregnant patients had mild disease, 15.9% had severe disease, and 7.7% had critical disease at the time of admission. 14 Critical disease is reported to be rare in pregnant patients but slightly increased when compared with the general population. 15 In the present study, there were no deaths of pregnant women, and univariate logistic regression analysis failed to show any greater OR for difficult‐to‐transfer cases in pregnant women in 2020. This result suggests that the emergency obstetric transportation system of Osaka Prefecture (OGCS) had been established effectively, and continues to function well even during the COVID‐19 pandemic. It also should be noted that the reduced OR for difficult‐to‐transfer cases for pregnant women might have been affected by the fact that most of these women were already registered with a hospital for their routine prenatal checkups. A previous study conducted in Osaka City showed a negative OR of 0.234 for difficult‐to‐transfer cases in gynecological disease. 16 The OR was higher than 0.18 in the present study that included only obstetric patients. There are several limitations in this study. First, COVID‐19 is a new disease identified in Japan only in 2020, and the ICD‐10 code “U07.2”, which was used when COVID‐19 was suspected, also included acute upper respiratory tract infection and gastroenteritis. Second, the exact gestations of pregnancy were not available. Third, as this study was a retrospective, observational study, there might be some confounding factors that are unknown. Fourth, this study defined difficult‐to‐transfer cases uniformly regardless of the patient’s condition, and assessed differences only by demographic factors and the reasons for the ambulance call. Finally, in the logistic regression analysis, we could not adjust for factors such as past medical history, medications, and health status because this information was not available. CONCLUSION: The results of this study showed that pregnancy was consistently associated with reduced odds for difficult‐to‐transfer cases. Specifically, when compared with women of childbearing age in the same age group, pregnant women had lower odds of being difficult‐to‐transfer cases in 2020 even during the COVID‐19 outbreak. Hospitals are more likely to accept patients between 9 am and 10 am in the morning, on Fridays, and in the month of June. CONFLICTS OF INTEREST: The authors declare that they have no competing interests. AUTHOR CONTRIBUTIONS: K.O. designed the study and wrote the initial draft of the manuscript. Ka.O., D.N., T.K., Y.K., M.N., T.M., and A.T. contributed to analysis and interpretation of the data and assisted in the preparation of the manuscript. All authors contributed to data collection and interpretation and critically reviewed the manuscript. All authors approved the final version of the manuscript and agree to be accountable for all aspects of the work, including ensuring that questions related to the accuracy or integrity of any part of the work are appropriately investigated and resolved. All authors meet the International Committee of Medical Journal Editors (ICMJE) authorship criteria. Supporting information: Figure S1 Click here for additional data file. Table S1 Table S2 Table S3 Table S4 Table S5 Table S6 Click here for additional data file.
Background: The coronavirus disease 2019 (COVID-19), caused by Severe Acute Respiratory Syndrome Coronavirus 2, has spread rapidly across the world. Methods: This study was a retrospective, descriptive study using the Osaka Emergency Information Research Intelligent Operation Network system, and included pregnant women transported by ambulance in Osaka Prefecture between January 1, 2018 and December 31, 2020. The main outcome of the study was difficulty in obtaining hospital acceptance for transfer of patients (difficult-to-transfer cases). We calculated the rates of difficult-to-transfer cases using univariate and multivariate analyses. Results: Of the 1 346 457 total patients transported to hospitals by ambulance in Osaka Prefecture during the study period, pregnant women accounted for 2586 (909, 943, and 734, in 2018, 2019, and 2020, respectively). Logistic regression analysis revealed that pregnant women were negatively associated with difficult-to-transfer cases (adjusted OR 0.36, 95% CI 0.26-0.50). Compared with 2018, 2020 was significantly associated with difficult-to-transfer cases (adjusted OR 1.27, 95% CI 1.24-1.30). Conclusions: Pregnant women were consistently associated with reduced odds for being difficult-to-transfer cases. The COVID-19 pandemic might have influenced difficult-to-transfer cases in 2020.
INTRODUCTION: The coronavirus disease 2019 (COVID‐19), caused by Severe Acute Respiratory Syndrome Coronavirus 2 (SARS‐CoV‐2), was identified in Wuhan, China in December 2019, after which a COVID‐19 outbreak spread rapidly across the world. 1 On March 11, 2020, the World Health Organization (WHO) declared COVID‐19 as a pandemic. A previous study has reported that pregnancy was associated with significantly increased chance of hospitalization, ICU admission, and the need for mechanical ventilation due to COVID‐19, but not associated with significantly increased risk of death compared with non‐pregnant counterparts of childbearing age. 2 One retrospective cohort study of asymptomatic pregnant women showed that the COVID‐19 pandemic environment did not affect early first‐trimester miscarriage rates. 3 However, the COVID‐19 pandemic has been associated with an increased rate of stillbirth. 4 The number of hospitals with optimal volumes of deliveries and obstetricians has increased rapidly due to governmental policies to facilitate selection and concentration of obstetric hospitals in Japan. 5 , 6 However, heavy workloads and a shortage of obstetrician resources might limit the provision of comprehensive Emergency Obstetric and Neonatal Care and affect the quality of care. In 2006, 2007, and 2008, two maternal deaths and one neonatal death due to difficulty in obtaining hospital acceptance for transfer of patients were recorded in Japan. 7 , 8 These incidents provoked strong social reactions towards the emergency medical system regarding care of pregnant women. 9 Although the emergency obstetric transportation system has since been reorganized, “difficult‐to‐transfer cases” can still occur and it is possible that the COVID‐19 pandemic may additionally influence emergency obstetric transportation. This study aimed to assess the influence of the COVID‐19 pandemic on the EMS system for pregnant women who were transported by ambulance in Osaka Prefecture. CONCLUSION: The results of this study showed that pregnancy was consistently associated with reduced odds for difficult‐to‐transfer cases. Specifically, when compared with women of childbearing age in the same age group, pregnant women had lower odds of being difficult‐to‐transfer cases in 2020 even during the COVID‐19 outbreak. Hospitals are more likely to accept patients between 9 am and 10 am in the morning, on Fridays, and in the month of June.
Background: The coronavirus disease 2019 (COVID-19), caused by Severe Acute Respiratory Syndrome Coronavirus 2, has spread rapidly across the world. Methods: This study was a retrospective, descriptive study using the Osaka Emergency Information Research Intelligent Operation Network system, and included pregnant women transported by ambulance in Osaka Prefecture between January 1, 2018 and December 31, 2020. The main outcome of the study was difficulty in obtaining hospital acceptance for transfer of patients (difficult-to-transfer cases). We calculated the rates of difficult-to-transfer cases using univariate and multivariate analyses. Results: Of the 1 346 457 total patients transported to hospitals by ambulance in Osaka Prefecture during the study period, pregnant women accounted for 2586 (909, 943, and 734, in 2018, 2019, and 2020, respectively). Logistic regression analysis revealed that pregnant women were negatively associated with difficult-to-transfer cases (adjusted OR 0.36, 95% CI 0.26-0.50). Compared with 2018, 2020 was significantly associated with difficult-to-transfer cases (adjusted OR 1.27, 95% CI 1.24-1.30). Conclusions: Pregnant women were consistently associated with reduced odds for being difficult-to-transfer cases. The COVID-19 pandemic might have influenced difficult-to-transfer cases in 2020.
7,030
257
[ 339, 392, 109, 90, 295, 403, 597, 119 ]
14
[ "patients", "women", "transfer", "difficult", "difficult transfer", "pregnant", "pregnant women", "cases", "transfer cases", "difficult transfer cases" ]
[ "mechanical ventilation covid", "respiratory syndrome coronavirus", "covid 19 pandemic", "miscarriage rates covid", "obstetric hospitals japan" ]
[CONTENT] COVID‐19 | difficult‐to‐transfer cases | pandemic | pregnant women | women of childbearing age [SUMMARY]
[CONTENT] COVID‐19 | difficult‐to‐transfer cases | pandemic | pregnant women | women of childbearing age [SUMMARY]
[CONTENT] COVID‐19 | difficult‐to‐transfer cases | pandemic | pregnant women | women of childbearing age [SUMMARY]
[CONTENT] COVID‐19 | difficult‐to‐transfer cases | pandemic | pregnant women | women of childbearing age [SUMMARY]
[CONTENT] COVID‐19 | difficult‐to‐transfer cases | pandemic | pregnant women | women of childbearing age [SUMMARY]
[CONTENT] COVID‐19 | difficult‐to‐transfer cases | pandemic | pregnant women | women of childbearing age [SUMMARY]
[CONTENT] COVID-19 | Emergency Medical Services | Female | Humans | Pandemics | Pregnancy | Pregnant Women | Registries | Retrospective Studies [SUMMARY]
[CONTENT] COVID-19 | Emergency Medical Services | Female | Humans | Pandemics | Pregnancy | Pregnant Women | Registries | Retrospective Studies [SUMMARY]
[CONTENT] COVID-19 | Emergency Medical Services | Female | Humans | Pandemics | Pregnancy | Pregnant Women | Registries | Retrospective Studies [SUMMARY]
[CONTENT] COVID-19 | Emergency Medical Services | Female | Humans | Pandemics | Pregnancy | Pregnant Women | Registries | Retrospective Studies [SUMMARY]
[CONTENT] COVID-19 | Emergency Medical Services | Female | Humans | Pandemics | Pregnancy | Pregnant Women | Registries | Retrospective Studies [SUMMARY]
[CONTENT] COVID-19 | Emergency Medical Services | Female | Humans | Pandemics | Pregnancy | Pregnant Women | Registries | Retrospective Studies [SUMMARY]
[CONTENT] mechanical ventilation covid | respiratory syndrome coronavirus | covid 19 pandemic | miscarriage rates covid | obstetric hospitals japan [SUMMARY]
[CONTENT] mechanical ventilation covid | respiratory syndrome coronavirus | covid 19 pandemic | miscarriage rates covid | obstetric hospitals japan [SUMMARY]
[CONTENT] mechanical ventilation covid | respiratory syndrome coronavirus | covid 19 pandemic | miscarriage rates covid | obstetric hospitals japan [SUMMARY]
[CONTENT] mechanical ventilation covid | respiratory syndrome coronavirus | covid 19 pandemic | miscarriage rates covid | obstetric hospitals japan [SUMMARY]
[CONTENT] mechanical ventilation covid | respiratory syndrome coronavirus | covid 19 pandemic | miscarriage rates covid | obstetric hospitals japan [SUMMARY]
[CONTENT] mechanical ventilation covid | respiratory syndrome coronavirus | covid 19 pandemic | miscarriage rates covid | obstetric hospitals japan [SUMMARY]
[CONTENT] patients | women | transfer | difficult | difficult transfer | pregnant | pregnant women | cases | transfer cases | difficult transfer cases [SUMMARY]
[CONTENT] patients | women | transfer | difficult | difficult transfer | pregnant | pregnant women | cases | transfer cases | difficult transfer cases [SUMMARY]
[CONTENT] patients | women | transfer | difficult | difficult transfer | pregnant | pregnant women | cases | transfer cases | difficult transfer cases [SUMMARY]
[CONTENT] patients | women | transfer | difficult | difficult transfer | pregnant | pregnant women | cases | transfer cases | difficult transfer cases [SUMMARY]
[CONTENT] patients | women | transfer | difficult | difficult transfer | pregnant | pregnant women | cases | transfer cases | difficult transfer cases [SUMMARY]
[CONTENT] patients | women | transfer | difficult | difficult transfer | pregnant | pregnant women | cases | transfer cases | difficult transfer cases [SUMMARY]
[CONTENT] 19 | covid | covid 19 | pandemic | 19 pandemic | covid 19 pandemic | increased | obstetric | care | emergency obstetric [SUMMARY]
[CONTENT] data | patients | osaka | ambulance | information | calculated | transported | january | day | december 31 [SUMMARY]
[CONTENT] patients | women | transfer | difficult | table | difficult transfer | pregnant | pregnant women | cases | transfer cases [SUMMARY]
[CONTENT] odds difficult | odds difficult transfer | odds difficult transfer cases | odds | transfer cases 2020 | cases specifically | compared women childbearing age | specifically compared women childbearing | specifically compared women | difficult transfer cases specifically [SUMMARY]
[CONTENT] patients | women | transfer | difficult | table | data | difficult transfer | pregnant | difficult transfer cases | cases [SUMMARY]
[CONTENT] patients | women | transfer | difficult | table | data | difficult transfer | pregnant | difficult transfer cases | cases [SUMMARY]
[CONTENT] 2019 | COVID-19 | Severe Acute Respiratory Syndrome Coronavirus 2 [SUMMARY]
[CONTENT] the Osaka Emergency Information Research Intelligent Operation Network | Osaka Prefecture | between January 1, 2018 | December 31, 2020 ||| ||| [SUMMARY]
[CONTENT] 1 | 346 | 457 | Osaka Prefecture | 2586 | 909 | 943 | 734 | 2018 | 2019 | 2020 ||| 0.36 | 95% | CI | 0.26-0.50 ||| 2018 | 2020 | 1.27 | 95% | CI | 1.24-1.30 [SUMMARY]
[CONTENT] ||| COVID-19 | 2020 [SUMMARY]
[CONTENT] 2019 | COVID-19 | Severe Acute Respiratory Syndrome Coronavirus 2 ||| the Osaka Emergency Information Research Intelligent Operation Network | Osaka Prefecture | between January 1, 2018 | December 31, 2020 ||| ||| ||| 1 | 346 | 457 | Osaka Prefecture | 2586 | 909 | 943 | 734 | 2018 | 2019 | 2020 ||| 0.36 | 95% | CI | 0.26-0.50 ||| 2018 | 2020 | 1.27 | 95% | CI | 1.24-1.30 ||| ||| COVID-19 | 2020 [SUMMARY]
[CONTENT] 2019 | COVID-19 | Severe Acute Respiratory Syndrome Coronavirus 2 ||| the Osaka Emergency Information Research Intelligent Operation Network | Osaka Prefecture | between January 1, 2018 | December 31, 2020 ||| ||| ||| 1 | 346 | 457 | Osaka Prefecture | 2586 | 909 | 943 | 734 | 2018 | 2019 | 2020 ||| 0.36 | 95% | CI | 0.26-0.50 ||| 2018 | 2020 | 1.27 | 95% | CI | 1.24-1.30 ||| ||| COVID-19 | 2020 [SUMMARY]
National Surveillance of Pediatric Out-of-Hospital Cardiac Arrest in Korea: The 10-Year Trend From 2009 to 2018.
36377293
This study reports trends in pediatric out-of-hospital cardiac arrest (OHCA) and factors affecting clinical outcomes by age group.
BACKGROUND
We identified 4,561 OHCA patients younger than 18 years between January 2009 and December 2018 in the Korean OHCA Registry. The patients were divided into four groups: group 1 (1 year or younger), group 2 (1 to 5 years), group 3 (6 to 12 years), and group 4 (13 to 17 years). The primary outcome was survival to hospital discharge, and the secondary outcomes were return of spontaneous circulation (ROSC) at the emergency department (ED) and good neurological status at discharge. Multivariate logistic analyses were performed.
METHODS
The incidence rate of pediatric OHCA in group 1 increased from 45.57 to 60.89 per 100,000 person-years, while that of the overall population decreased over the 10 years. The rates of ROSC at the ED, survival to hospital discharge, and good neurologic outcome were highest in group 4 (37.9%, 9.7%, 4.9%, respectively) and lowest in group 1 (28.3%, 7.1%, 3.2%). The positive factors for survival to discharge were event location of a public/commercial building or place of recreation, type of first responder, prehospital delivery of automated external defibrillator shock, initial shockable rhythm at the ED. The factors affecting survival outcomes differed by age group.
RESULTS
This study reports comprehensive trends in pediatric OHCA in the Republic of Korea. Our findings imply that preventive methods for the targeted population should be customized by age group.
CONCLUSION
[ "Humans", "Child", "Out-of-Hospital Cardiac Arrest", "Cardiopulmonary Resuscitation", "Emergency Medical Services", "Registries", "Emergency Service, Hospital" ]
9667012
INTRODUCTION
Unexpected cardiac arrest is a major health problem worldwide.1 The incidence of pediatric out-of-hospital cardiac arrest (OHCA) is 1–20 per 100,000 person-years, and the survival rate and neurologic outcomes of pediatric OHCA are poor, with regional variation.234567 The relatively small number of cases and poor survival outcomes cast doubt on the value of pediatric cardiopulmonary resuscitation (CPR).78910 Nevertheless, the survival outcomes of pediatric OHCA patients need to be improved; because of children’s long potential life expectancy, even a few deaths from pediatric cardiac arrest cause significant social and economic losses.11 In the Republic of Korea, the government has endeavored to improve the chain of survival through the National OHCA registry, regular public reports, a mandatory CPR training program, a telephone-assisted CPR program, and medical oversight for emergency medical service (EMS) CPR performance since 2008.1213 Due to those efforts, the survival outcomes of adult OHCA patients in the Republic of Korea have improved, but the survival rate of pediatric OHCA patients has not changed significantly.31415 Epidemiological analyses of OHCA have allowed researchers to find vulnerabilities in the chain of survival and to improve survival outcomes during the past few decades.16 Some studies have reported age-related variations in the mechanisms of OHCA and survival outcomes.17181920 Children’s growth and development vary significantly with age.21222324 As a result, the mechanism of OHCA and survival outcomes also vary significantly with age. Understanding the characteristics and patterns of OHCA in each age group is critical for designing long-term national prevention measures, age-specific resuscitation care strategies, and pediatric OHCA training programs. New policies are based on epidemiology research, so it is necessary to analyze recent trends and identify variables that affect survival outcomes.1214 In addition, the delivery of pre-hospital emergency care differs from country to country, so research using regional data is needed.62526 Our aim in this study was to use data from the Korea OHCA Registry (KOHCAR) to assess the most recent trends in the epidemiology and survival outcomes of pediatric OHCA patients and to analyze the factors that influence survival outcomes.
METHODS
Study setting The Republic of Korea occupies an area of 100,431.8 km2 and has a population of more than 50 million people.2728 The Korean EMS is a single-tiered system operated by the government,29 that employs 13,133 EMS personnel and 1,579 EMS vehicles in 17 divisions.29 The EMS transports patients to 517 emergency departments (EDs) across the country.29 EMS personnel are divided into level 1 and level 2 paramedics.29 The Republic of Korea occupies an area of 100,431.8 km2 and has a population of more than 50 million people.2728 The Korean EMS is a single-tiered system operated by the government,29 that employs 13,133 EMS personnel and 1,579 EMS vehicles in 17 divisions.29 The EMS transports patients to 517 emergency departments (EDs) across the country.29 EMS personnel are divided into level 1 and level 2 paramedics.29 Data source We analyzed data from Korean statistics and KOHCAR in the Republic of Korea. The annual total and age-group population and populations of the Republic of Korea were obtained from the Korean Statistical Information Service.30 KOHCAR is maintained by the Korea Disease Control and Prevention Agency (KDCA) in cooperation with the national fire agency, and it contains information about all cardiac arrest patients transported to a hospital via EMS.12 To control the data quality, KDCA employs and trains medical record reviewers to maintain standardized medical records.31 They visit every hospital to assess the records and collect information about treatment and clinical outcomes according to the Utstein guidelines.31 These processes are supervised every month by a national cardiac arrest investigation and surveillance committee that consists of emergency physicians, epidemiologists, statisticians, and medical record reviewers.123132 We analyzed data from Korean statistics and KOHCAR in the Republic of Korea. The annual total and age-group population and populations of the Republic of Korea were obtained from the Korean Statistical Information Service.30 KOHCAR is maintained by the Korea Disease Control and Prevention Agency (KDCA) in cooperation with the national fire agency, and it contains information about all cardiac arrest patients transported to a hospital via EMS.12 To control the data quality, KDCA employs and trains medical record reviewers to maintain standardized medical records.31 They visit every hospital to assess the records and collect information about treatment and clinical outcomes according to the Utstein guidelines.31 These processes are supervised every month by a national cardiac arrest investigation and surveillance committee that consists of emergency physicians, epidemiologists, statisticians, and medical record reviewers.123132 Study population Pediatric patients (younger than 18 years) with OHCA between 2009 and 2018 were selected. Cardiac arrest cases were selected when the chief complaint was cardiac arrest or respiratory arrest and EMS personnel performed CPR. We excluded patients who were dead-on-arrival (DOA), had do-not-resuscitate (DNR) orders, or whose outcome information was missing. We divided the patients into four groups by age: group 1, younger than 1 year; group 2, 1 to 5 years; group 3, 6 to 12 years; and group 4, 13 to 17 years. Pediatric patients (younger than 18 years) with OHCA between 2009 and 2018 were selected. Cardiac arrest cases were selected when the chief complaint was cardiac arrest or respiratory arrest and EMS personnel performed CPR. We excluded patients who were dead-on-arrival (DOA), had do-not-resuscitate (DNR) orders, or whose outcome information was missing. We divided the patients into four groups by age: group 1, younger than 1 year; group 2, 1 to 5 years; group 3, 6 to 12 years; and group 4, 13 to 17 years. Variables We collected the following demographic information about the patients: sex, age, and medical history. Prehospital data were the date, location, and etiology of OHCA; the type of first responder; and whether the patient received bystander CPR or prehospital treatment from an automated external defibrillator (AED). The analyzed hospital data were ED visit time, initial electrocardiography (ECG) rhythm in the ED, defibrillation in the ED, and CPR duration. ‘Cardiac origin’ describes cardiac arrest caused by failure of the heart itself and cases in which the cause of cardiac arrest is unknown. ‘Respiratory origin’ describes patients with a high-risk respiratory disease and those with acute respiratory distress observed prior to cardiac arrest. ‘Sudden unexpected infant death (SUID)’ describes cases in which a patient younger than 13 months is found dead in bed or when a doctor records sudden infant death syndrome as the cause of death. ‘Other diseases’ describe cases in which the cause of cardiac arrest is clearly diagnosed. An event location of ‘home residence’ indicates cardiac events that occurred in houses, parking lots, on-site playgrounds or swimming pools, dormitories, and orphanages. An event location of ‘healthcare facilities’ indicates that the event occurred in a medical institution, defined by Korean medical law as midwifery centers, oriental medicine clinics, dental clinics, and hospitals. ‘Places of recreation’ are amusement parks, botanical gardens, parks, theaters, and exhibitions. ‘Public/commercial buildings’ are schools, public institutions, bus terminals, airports, stores, restaurants, and hotels. Kindergartens, daycare centers, and religious buildings are categorized as other. The time from arrest to arrival at the ED is defined as the time from cardiac arrest (or the last normal time) until ED arrival. CPR duration is defined as time from ED arrival to the end of CPR. We collected the following demographic information about the patients: sex, age, and medical history. Prehospital data were the date, location, and etiology of OHCA; the type of first responder; and whether the patient received bystander CPR or prehospital treatment from an automated external defibrillator (AED). The analyzed hospital data were ED visit time, initial electrocardiography (ECG) rhythm in the ED, defibrillation in the ED, and CPR duration. ‘Cardiac origin’ describes cardiac arrest caused by failure of the heart itself and cases in which the cause of cardiac arrest is unknown. ‘Respiratory origin’ describes patients with a high-risk respiratory disease and those with acute respiratory distress observed prior to cardiac arrest. ‘Sudden unexpected infant death (SUID)’ describes cases in which a patient younger than 13 months is found dead in bed or when a doctor records sudden infant death syndrome as the cause of death. ‘Other diseases’ describe cases in which the cause of cardiac arrest is clearly diagnosed. An event location of ‘home residence’ indicates cardiac events that occurred in houses, parking lots, on-site playgrounds or swimming pools, dormitories, and orphanages. An event location of ‘healthcare facilities’ indicates that the event occurred in a medical institution, defined by Korean medical law as midwifery centers, oriental medicine clinics, dental clinics, and hospitals. ‘Places of recreation’ are amusement parks, botanical gardens, parks, theaters, and exhibitions. ‘Public/commercial buildings’ are schools, public institutions, bus terminals, airports, stores, restaurants, and hotels. Kindergartens, daycare centers, and religious buildings are categorized as other. The time from arrest to arrival at the ED is defined as the time from cardiac arrest (or the last normal time) until ED arrival. CPR duration is defined as time from ED arrival to the end of CPR. Outcome The primary outcome was survival to hospital discharge. The secondary outcomes were return of spontaneous circulation (ROSC) at the ED and good neurological status, defined as a pediatric cerebral performance category (PCPC) of 1 or 2 at discharge. PCPC is classified as 1 for good cerebral performance and 2 for moderate cerebral disability. The primary outcome was survival to hospital discharge. The secondary outcomes were return of spontaneous circulation (ROSC) at the ED and good neurological status, defined as a pediatric cerebral performance category (PCPC) of 1 or 2 at discharge. PCPC is classified as 1 for good cerebral performance and 2 for moderate cerebral disability. Statistical analysis Categorical variables are reported as number and percentage (%), and continuous variables are reported as mean with standard deviation. We performed logistic regression analysis to examine the population-based incidence rates (IRs) with 95% confidence intervals (CIs) for each outcome with age and sex adjustment. Univariate and multivariate logistic regression analyses were conducted to find factors associated with the outcomes of pediatric OHCA. P < 0.05 was considered to indicate statistical significance in all statistical tests. The post hoc analysis used Bonferroni correction. R statistical software version 4.0.5 (R Foundation for Statistical Computing, Vienna, Austria) was used for the statistical analyses. Categorical variables are reported as number and percentage (%), and continuous variables are reported as mean with standard deviation. We performed logistic regression analysis to examine the population-based incidence rates (IRs) with 95% confidence intervals (CIs) for each outcome with age and sex adjustment. Univariate and multivariate logistic regression analyses were conducted to find factors associated with the outcomes of pediatric OHCA. P < 0.05 was considered to indicate statistical significance in all statistical tests. The post hoc analysis used Bonferroni correction. R statistical software version 4.0.5 (R Foundation for Statistical Computing, Vienna, Austria) was used for the statistical analyses. Ethics statement This study was reviewed and approved by the Institutional Review Board (IRB) of Samsung Medical Center (IRB number 2021-09-127). The board exempted requirement for informed consent. This study was reviewed and approved by the Institutional Review Board (IRB) of Samsung Medical Center (IRB number 2021-09-127). The board exempted requirement for informed consent.
RESULTS
Annual trends in pediatric cardiac arrests The total population of Korea increased from 50,833,594 in 2009 to 53,599,421 in 2018, but the annual number of births decreased from 454,209 to 348,253 during that time.30 The population of group 1, younger than 1 year, has been decreasing for 10 years, but the IR of pediatric OHCA in group 1 increased from 45.57 to 60.89 (Fig. 1). The IR of pediatric OHCA in group 2 decreased from 5.93 in 2009 to 4.40 in 2018, and the IR of pediatric OHCA in group 3 decreased from 3.89 to 2.81 during the same 10 years. The IR of pediatric OHCA in group 4 increased from 7.15 to 7.32 while the population has been decreasing. IR = incidence rate. The total population of Korea increased from 50,833,594 in 2009 to 53,599,421 in 2018, but the annual number of births decreased from 454,209 to 348,253 during that time.30 The population of group 1, younger than 1 year, has been decreasing for 10 years, but the IR of pediatric OHCA in group 1 increased from 45.57 to 60.89 (Fig. 1). The IR of pediatric OHCA in group 2 decreased from 5.93 in 2009 to 4.40 in 2018, and the IR of pediatric OHCA in group 3 decreased from 3.89 to 2.81 during the same 10 years. The IR of pediatric OHCA in group 4 increased from 7.15 to 7.32 while the population has been decreasing. IR = incidence rate. Demographics of pediatric OHCA Of the 273,761 OHCAs that occurred in the Republic of Korea between 2009 to 2018, we analyzed 4,561 patients after excluding 267,423 older than 18 years, 613 with no hospital outcome data, 1,238 who were DOA, and 26 with DNR orders (Fig. 2). Of the total study population, group 1 contained 1,448 patients (34.7%); group 2 contained 984 patients (21.6%); group 3 contained 772 patients (16.9%); and group 4 contained 1,357 patients (29.8%). OHCA = out-of-hospital cardiac arrest, CPR = cardiopulmonary resuscitation, ED = emergency department. The mean ages of groups 2, 3, and 4 were 2.5 ± 1.4 years, 9.0 ± 2.0 years, and 15.5 ± 1.4 years, respectively. Males accounted for 57.57% of group 1, 60.8% of group 2, 65.9% of group 3, and 70.7% of group 4 (Table 1). Values are presented as median ± standard deviation, number (%), or median (interquartile range). SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, ED = emergency department. The most common cause of cardiac arrest in group 1 was SUID (51.5%), followed by cardiac origin (24.2%) and choking (12.0%). In the other age groups, injury (group 2, 46.1%; group 3, 55.7%; group 4, 66.2%) was the most common cause of cardiac arrest, followed by cardiac origin (group 2, 41.7%; group 3, 38.9%; group 4, 30.6%). In group 1, choking was the most common cause of cardiac arrest caused by injury, whereas that in group 2 was traffic accident (14.8%) followed by choking (9.6%); in group 3, it was traffic accident (22.3%) followed by drowning (12.8%); and in group 4, it was fall (23.4%) followed by traffic accident (20.6%). Fig. 3 shows the annual changes in injuries that caused pediatric OHCA. In groups 1 and 3, the proportion of injury decreased during the 10-year study period, but it has been increasing in groups 2 and 4 since 2015. Most of the OHCAs (group 1, 80.2%; group 2, 60.8%; group 3, 47.4%; group 4, 51.2%) occurred at the patient’s home. First responders were often family in all age groups (group 1, 81.6%, group 2, 60.7%, group 3, 40.8%, group 4, 32.6%). The rate of bystander CPR and prehospital defibrillation rate were less than 10% in all age groups. Only 0.8% of group 1, 0.8% of group 2, 1.6% of group 3, and 2.7% of group 4 initially presented in the ED with a shockable rhythm; and 5.8% of group 1, 8.8% of group 2, 16.8% of group 3, and 19.5% of group 4 received defibrillation at the ED. The median time between the OHCA and arrival at the ED was 104.5 minutes in group 1, 37 minutes in group 2, 30 minutes in group 3, and 30 minutes in group 4. Median CPR duration in the ED was 30 minutes in groups 1, 2, and 3 and 26 minutes in group 4. Of the 273,761 OHCAs that occurred in the Republic of Korea between 2009 to 2018, we analyzed 4,561 patients after excluding 267,423 older than 18 years, 613 with no hospital outcome data, 1,238 who were DOA, and 26 with DNR orders (Fig. 2). Of the total study population, group 1 contained 1,448 patients (34.7%); group 2 contained 984 patients (21.6%); group 3 contained 772 patients (16.9%); and group 4 contained 1,357 patients (29.8%). OHCA = out-of-hospital cardiac arrest, CPR = cardiopulmonary resuscitation, ED = emergency department. The mean ages of groups 2, 3, and 4 were 2.5 ± 1.4 years, 9.0 ± 2.0 years, and 15.5 ± 1.4 years, respectively. Males accounted for 57.57% of group 1, 60.8% of group 2, 65.9% of group 3, and 70.7% of group 4 (Table 1). Values are presented as median ± standard deviation, number (%), or median (interquartile range). SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, ED = emergency department. The most common cause of cardiac arrest in group 1 was SUID (51.5%), followed by cardiac origin (24.2%) and choking (12.0%). In the other age groups, injury (group 2, 46.1%; group 3, 55.7%; group 4, 66.2%) was the most common cause of cardiac arrest, followed by cardiac origin (group 2, 41.7%; group 3, 38.9%; group 4, 30.6%). In group 1, choking was the most common cause of cardiac arrest caused by injury, whereas that in group 2 was traffic accident (14.8%) followed by choking (9.6%); in group 3, it was traffic accident (22.3%) followed by drowning (12.8%); and in group 4, it was fall (23.4%) followed by traffic accident (20.6%). Fig. 3 shows the annual changes in injuries that caused pediatric OHCA. In groups 1 and 3, the proportion of injury decreased during the 10-year study period, but it has been increasing in groups 2 and 4 since 2015. Most of the OHCAs (group 1, 80.2%; group 2, 60.8%; group 3, 47.4%; group 4, 51.2%) occurred at the patient’s home. First responders were often family in all age groups (group 1, 81.6%, group 2, 60.7%, group 3, 40.8%, group 4, 32.6%). The rate of bystander CPR and prehospital defibrillation rate were less than 10% in all age groups. Only 0.8% of group 1, 0.8% of group 2, 1.6% of group 3, and 2.7% of group 4 initially presented in the ED with a shockable rhythm; and 5.8% of group 1, 8.8% of group 2, 16.8% of group 3, and 19.5% of group 4 received defibrillation at the ED. The median time between the OHCA and arrival at the ED was 104.5 minutes in group 1, 37 minutes in group 2, 30 minutes in group 3, and 30 minutes in group 4. Median CPR duration in the ED was 30 minutes in groups 1, 2, and 3 and 26 minutes in group 4. Outcomes of pediatric OHCA Group 4 had the highest survival to hospital discharge rate (9.7%), followed by group 2 (9.5%), group 3 (7.8%), and group 1 (7.1%; Table 2). The rate of good neurologic outcome was also highest in group 4 (4.9%) and lowest in group 1 (3.2%). Fig. 4 shows the trends of pediatric OHCA outcomes from 2009 to 2018. During that 10-year period, ROSC, survival to discharge, and good neurological outcome did not noticeably improve. Values are presented as number (%). ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category. aBonferroni-adjusted two-sided significance level is P < 0.008. Groups 1 and 3, and groups 1 and 4 differed significantly. bWhen using Bonferroni-adjusted P < 0.008, no pairwise comparisons among groups were significant. ROSC = return of spontaneous circulation. Group 4 had the highest survival to hospital discharge rate (9.7%), followed by group 2 (9.5%), group 3 (7.8%), and group 1 (7.1%; Table 2). The rate of good neurologic outcome was also highest in group 4 (4.9%) and lowest in group 1 (3.2%). Fig. 4 shows the trends of pediatric OHCA outcomes from 2009 to 2018. During that 10-year period, ROSC, survival to discharge, and good neurological outcome did not noticeably improve. Values are presented as number (%). ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category. aBonferroni-adjusted two-sided significance level is P < 0.008. Groups 1 and 3, and groups 1 and 4 differed significantly. bWhen using Bonferroni-adjusted P < 0.008, no pairwise comparisons among groups were significant. ROSC = return of spontaneous circulation. Logistic regression The model used for multivariate analysis contained variables that were significant in univariate analysis or were important according to the opinions of researchers: age, sex, weekday or weekend event occurrence, past medical history, etiology, location of OHCA, first responder type, bystander CPR, prehospital delivery of AED shock, initial ECG rhythm at ED and defibrillation at ED. Multivariate analyses by age group were also performed and are presented as Supplementary Tables 1, 2, 3, 4. The model used for multivariate analysis contained variables that were significant in univariate analysis or were important according to the opinions of researchers: age, sex, weekday or weekend event occurrence, past medical history, etiology, location of OHCA, first responder type, bystander CPR, prehospital delivery of AED shock, initial ECG rhythm at ED and defibrillation at ED. Multivariate analyses by age group were also performed and are presented as Supplementary Tables 1, 2, 3, 4. Multivariate analysis The odds ratio (OR) for survival to discharge with group 1 as the reference was 0.55 (CI, 0.37–0.82) in group 3 (Table 3). The values in the other age groups were not significant. For etiology, cardiac disease was the reference for analysis. The OR for ROSC was 1.86 (CI, 1.43–2.43) for choking, 0.51 (CI, 0.38–0.70) for falls, and 0.36 (CI, 0.27–0.48) for SUID. The OR for survival to discharge was 0.23 (CI, 0.10–0.54) for traffic accident, 0.17 (CI, 0.08–0.35) for falls, and 0.11 (CI, 0.06–0.20) for SUID. The OR for good neurologic outcome was 0.24 (CI, 0.09–0.62) for falls, 0.23 (CI, 0.05–0.94) for traffic accident, and 0.06 (CI, 0.02–0.18) for SUID. OR = odds ratio, CI = confidence interval, ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category, SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, AED = automated external defibrillator, ED = emergency department. *P < 0.05. With home residence as the reference OHCA location, the OR for ROSC following an OHCA in a place of recreation was 2.89 (CI, 1.48–5.61), and that following an OHCA in a public/commercial building was 1.75 (CI, 1.26–2.42). The OR of survival to discharge in a place of recreation was 3.43 (CI, 1.51–7.77), and that in a public/commercial building was 2.78 (CI, 1.79–4.31). The OR for good neurologic outcome following an OHCA in a public/commercial building was 3.73 (CI, 2.03–6.84), that in a place of recreation was 2.51 (CI, 1.47–4.28), and that in an ambulance was 4.63 (CI, 1.79–11.98). When the reference for first responder type was unknown, the OR for ROSC was highest with EMS at 2.65 (CI, 1.74–4.03), followed by healthcare provider at 2.15 (CI, 1.14–4.04), acquaintance at 1.83 (CI, 1.31–2.57), and family member at 1.31 (CI, 1.03–1.68). The OR for survival to discharge was highest with a healthcare provider at 3.25 (CI, 1.43–7.37), followed by acquaintance at 3.05 (CI, 1.89–4.92), EMS at 2.97 (CI, 1.30–5.51), and family member at 2.07 (CI, 1.38–3.10). The OR for good neurologic outcome was highest with EMS at 4.66 (CI, 2.03–10.72), followed by healthcare provider at 4.25 (CI, 1.52–11.87), family member at 2.79 (CI, 1.57–4.95), and acquaintance at 2.32 (CI, 1.18 – 4.57). With prehospital delivery of AED shock, the OR for good neurologic outcome was 7.96 (CI, 5.09–12.43), that for survival to discharge was 5.86 (CI, 4.09–8.39), and that for ROSC was 2.74 (CI, 1.99–3.78). With an initial shockable rhythm at the ED, the OR for good neurologic outcome was 4.76 (CI, 1.95–11.60), and that for survival to discharge was 3.84 (CI, 1.96–7.55). With defibrillation at the ED, the OR for ROSC was 0.80 (CI, 0.64–1.00), that for survival to discharge was 0.36 (CI, 0.24–0.55), and that for good neurologic outcome was 0.19 (CI, 0.10–0.38). The odds ratio (OR) for survival to discharge with group 1 as the reference was 0.55 (CI, 0.37–0.82) in group 3 (Table 3). The values in the other age groups were not significant. For etiology, cardiac disease was the reference for analysis. The OR for ROSC was 1.86 (CI, 1.43–2.43) for choking, 0.51 (CI, 0.38–0.70) for falls, and 0.36 (CI, 0.27–0.48) for SUID. The OR for survival to discharge was 0.23 (CI, 0.10–0.54) for traffic accident, 0.17 (CI, 0.08–0.35) for falls, and 0.11 (CI, 0.06–0.20) for SUID. The OR for good neurologic outcome was 0.24 (CI, 0.09–0.62) for falls, 0.23 (CI, 0.05–0.94) for traffic accident, and 0.06 (CI, 0.02–0.18) for SUID. OR = odds ratio, CI = confidence interval, ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category, SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, AED = automated external defibrillator, ED = emergency department. *P < 0.05. With home residence as the reference OHCA location, the OR for ROSC following an OHCA in a place of recreation was 2.89 (CI, 1.48–5.61), and that following an OHCA in a public/commercial building was 1.75 (CI, 1.26–2.42). The OR of survival to discharge in a place of recreation was 3.43 (CI, 1.51–7.77), and that in a public/commercial building was 2.78 (CI, 1.79–4.31). The OR for good neurologic outcome following an OHCA in a public/commercial building was 3.73 (CI, 2.03–6.84), that in a place of recreation was 2.51 (CI, 1.47–4.28), and that in an ambulance was 4.63 (CI, 1.79–11.98). When the reference for first responder type was unknown, the OR for ROSC was highest with EMS at 2.65 (CI, 1.74–4.03), followed by healthcare provider at 2.15 (CI, 1.14–4.04), acquaintance at 1.83 (CI, 1.31–2.57), and family member at 1.31 (CI, 1.03–1.68). The OR for survival to discharge was highest with a healthcare provider at 3.25 (CI, 1.43–7.37), followed by acquaintance at 3.05 (CI, 1.89–4.92), EMS at 2.97 (CI, 1.30–5.51), and family member at 2.07 (CI, 1.38–3.10). The OR for good neurologic outcome was highest with EMS at 4.66 (CI, 2.03–10.72), followed by healthcare provider at 4.25 (CI, 1.52–11.87), family member at 2.79 (CI, 1.57–4.95), and acquaintance at 2.32 (CI, 1.18 – 4.57). With prehospital delivery of AED shock, the OR for good neurologic outcome was 7.96 (CI, 5.09–12.43), that for survival to discharge was 5.86 (CI, 4.09–8.39), and that for ROSC was 2.74 (CI, 1.99–3.78). With an initial shockable rhythm at the ED, the OR for good neurologic outcome was 4.76 (CI, 1.95–11.60), and that for survival to discharge was 3.84 (CI, 1.96–7.55). With defibrillation at the ED, the OR for ROSC was 0.80 (CI, 0.64–1.00), that for survival to discharge was 0.36 (CI, 0.24–0.55), and that for good neurologic outcome was 0.19 (CI, 0.10–0.38). Multivariate analysis of group 1 The OR for ROSC was 0.71 (CI, 0.54–0.93) in males (Supplementary Table 1). With an etiology of SUID, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.35 (CI, 0.25–0.48), 0.08 (CI, 0.04–0.16), and 0.06 (CI, 0.02–0.20), respectively. With an etiology of drowning, the OR for good neurological outcome was 4.95 (CI, 1.17–20.91). With healthcare facility as the location, the OR for ROSC was 3.09 (CI, 1.02–9.34). The OR for ROSC was highest when EMS was the first responder, 9.44 (CI, 2.46–36.29), followed by acquaintance at 3.26 (CI, 1.20–8.88). The OR for survival to discharge was highest when an acquaintance was the first responder, 19.60 (CI, 4.35–88.19), followed by EMS at 11.39 (CI, 1.91–67.98). However, neither of those variables was significant for good neurologic outcome. The OR for ROSC was 0.71 (CI, 0.54–0.93) in males (Supplementary Table 1). With an etiology of SUID, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.35 (CI, 0.25–0.48), 0.08 (CI, 0.04–0.16), and 0.06 (CI, 0.02–0.20), respectively. With an etiology of drowning, the OR for good neurological outcome was 4.95 (CI, 1.17–20.91). With healthcare facility as the location, the OR for ROSC was 3.09 (CI, 1.02–9.34). The OR for ROSC was highest when EMS was the first responder, 9.44 (CI, 2.46–36.29), followed by acquaintance at 3.26 (CI, 1.20–8.88). The OR for survival to discharge was highest when an acquaintance was the first responder, 19.60 (CI, 4.35–88.19), followed by EMS at 11.39 (CI, 1.91–67.98). However, neither of those variables was significant for good neurologic outcome. Multivariate analysis of group 2 When the etiology was choking, the OR for ROSC was 2.94 (CI, 1.77–4.89), and when the etiology was traffic accident, the OR for survival to discharge was 0.16 (CI, 0.04–0.72) (Supplementary Table 2). The OR for survival to discharge was highest when the event location was a place of recreation, 8.41 (CI, 2.07–34.07), followed by street/highway at 4.95 (CI, 1.10–22.35), and public/commercial building at 3.01 (CI, 1.20–7.53). The OR for good neurological outcome was also highest when the event location was a place of recreation, 14.19 (CI, 2.09–96.53), followed by an ambulance at 4.25 (CI, 1.10–16.45). When the first responder was family, the OR for survival to discharge was 2.84 (CI, 1.34–6.02). When the first responder was a healthcare provider, the OR for good neurological outcome was 29.81 (CI, 1.97–452.09), and when it was family, the OR was 11.03 (CI, 2.33–52.18). With prehospital defibrillation, the OR for ROSC was 2.70 (CI, 1.03–7.06). With defibrillation at the ED, the OR for survival to discharge was 8.01 (CI, 1.66–38.63). When the etiology was choking, the OR for ROSC was 2.94 (CI, 1.77–4.89), and when the etiology was traffic accident, the OR for survival to discharge was 0.16 (CI, 0.04–0.72) (Supplementary Table 2). The OR for survival to discharge was highest when the event location was a place of recreation, 8.41 (CI, 2.07–34.07), followed by street/highway at 4.95 (CI, 1.10–22.35), and public/commercial building at 3.01 (CI, 1.20–7.53). The OR for good neurological outcome was also highest when the event location was a place of recreation, 14.19 (CI, 2.09–96.53), followed by an ambulance at 4.25 (CI, 1.10–16.45). When the first responder was family, the OR for survival to discharge was 2.84 (CI, 1.34–6.02). When the first responder was a healthcare provider, the OR for good neurological outcome was 29.81 (CI, 1.97–452.09), and when it was family, the OR was 11.03 (CI, 2.33–52.18). With prehospital defibrillation, the OR for ROSC was 2.70 (CI, 1.03–7.06). With defibrillation at the ED, the OR for survival to discharge was 8.01 (CI, 1.66–38.63). Multivariate analysis of group 3 When the etiology was choking, the OR for ROSC was 2.41 (CI, 1.05–5.55) (Supplementary Table 3). When the event location was a place of recreation, the OR for ROSC was 4.35 (CI, 1.16–16.24), and when it was a public/commercial building, the OR for survival to discharge was 4.11 (CI, 1.24–13.64). When the first responder was an acquaintance, the OR for ROSC was 2.64 (CI, 1.28–5.45). When the first responder was EMS, the OR for survival to discharge was 5.59 (CI, 1.24–25.25), and the OR for good neurological outcome was 8.88 (CI, 1.59–49.60). With prehospital defibrillation, the ORs for survival to discharge and good neurologic outcome were 5.91 (CI, 2.61–13.36) and 12.24 (CI, 4.23–35.38), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 8.55 (CI, 1.22–59.69), and with defibrillation at the ED, the OR for survival to discharge was 10.50 (CI, 2.40–46.01). When the etiology was choking, the OR for ROSC was 2.41 (CI, 1.05–5.55) (Supplementary Table 3). When the event location was a place of recreation, the OR for ROSC was 4.35 (CI, 1.16–16.24), and when it was a public/commercial building, the OR for survival to discharge was 4.11 (CI, 1.24–13.64). When the first responder was an acquaintance, the OR for ROSC was 2.64 (CI, 1.28–5.45). When the first responder was EMS, the OR for survival to discharge was 5.59 (CI, 1.24–25.25), and the OR for good neurological outcome was 8.88 (CI, 1.59–49.60). With prehospital defibrillation, the ORs for survival to discharge and good neurologic outcome were 5.91 (CI, 2.61–13.36) and 12.24 (CI, 4.23–35.38), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 8.55 (CI, 1.22–59.69), and with defibrillation at the ED, the OR for survival to discharge was 10.50 (CI, 2.40–46.01). Multivariate analysis of group 4 With an etiology of choking, the ORs for ROSC and survival to discharge were 4.62 (CI, 1.99–10.70) and 3.16 (CI, 1.36–7.33), respectively (Supplementary Table 4). With an etiology of falls, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.32 (CI, 0.20–0.52), 0.16 (CI, 0.06–0.43), and 0.10 (CI, 0.02–0.48), respectively. When the event location was a public/commercial building, the ORs for ROSC, survival to discharge, and good neurological outcome were 2.14 (CI, 1.19–3.85), 3.40 (CI, 1.52–7.57), and 4.64 (CI, 1.47–14.60), respectively. When the event location was an ambulance, the ORs for survival to discharge and good neurologic outcome were 2.60 (CI, 1.20–5.65) and 3.94 (CI, 1.29–12.02), respectively. When the first responder was an acquaintance, the ORs for ROSC, survival to discharge, and good neurologic outcome were 1.74 (CI, 1.07–2.86), 2.95 (CI, 1.50–5.79), and 2.59 (CI, 1.00–6.71), respectively. When the first responder was family, the ORs for survival to discharge and good neurologic outcome were 2.19 (CI, 1.03–4.67) and 2.03 (CI, 0.67–6.18), respectively. With prehospital defibrillation, the ORs for ROSC, survival to discharge, and good neurologic outcome were 3.39 (CI, 2.12–5.42), 8.83 (CI, 5.24–14.87), and 12.73 (CI, 6.42–25.25), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 3.78 (CI, 1.38–10.37), and the OR for good neurological outcome was 7.12 (CI, 1.57–32.37). With defibrillation at the ED, the OR for survival to discharge was 2.46 (CI, 1.33–4.54), and the OR for good neurological outcome was 11.29 (CI, 3.60–35.45). With an etiology of choking, the ORs for ROSC and survival to discharge were 4.62 (CI, 1.99–10.70) and 3.16 (CI, 1.36–7.33), respectively (Supplementary Table 4). With an etiology of falls, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.32 (CI, 0.20–0.52), 0.16 (CI, 0.06–0.43), and 0.10 (CI, 0.02–0.48), respectively. When the event location was a public/commercial building, the ORs for ROSC, survival to discharge, and good neurological outcome were 2.14 (CI, 1.19–3.85), 3.40 (CI, 1.52–7.57), and 4.64 (CI, 1.47–14.60), respectively. When the event location was an ambulance, the ORs for survival to discharge and good neurologic outcome were 2.60 (CI, 1.20–5.65) and 3.94 (CI, 1.29–12.02), respectively. When the first responder was an acquaintance, the ORs for ROSC, survival to discharge, and good neurologic outcome were 1.74 (CI, 1.07–2.86), 2.95 (CI, 1.50–5.79), and 2.59 (CI, 1.00–6.71), respectively. When the first responder was family, the ORs for survival to discharge and good neurologic outcome were 2.19 (CI, 1.03–4.67) and 2.03 (CI, 0.67–6.18), respectively. With prehospital defibrillation, the ORs for ROSC, survival to discharge, and good neurologic outcome were 3.39 (CI, 2.12–5.42), 8.83 (CI, 5.24–14.87), and 12.73 (CI, 6.42–25.25), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 3.78 (CI, 1.38–10.37), and the OR for good neurological outcome was 7.12 (CI, 1.57–32.37). With defibrillation at the ED, the OR for survival to discharge was 2.46 (CI, 1.33–4.54), and the OR for good neurological outcome was 11.29 (CI, 3.60–35.45).
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[ "Study setting", "Data source", "Study population", "Variables", "Outcome", "Statistical analysis", "Annual trends in pediatric cardiac arrests", "Demographics of pediatric OHCA", "Outcomes of pediatric OHCA", "Logistic regression", "Multivariate analysis", "Multivariate analysis of group 1", "Multivariate analysis of group 2", "Multivariate analysis of group 3", "Multivariate analysis of group 4" ]
[ "The Republic of Korea occupies an area of 100,431.8 km2 and has a population of more than 50 million people.2728 The Korean EMS is a single-tiered system operated by the government,29 that employs 13,133 EMS personnel and 1,579 EMS vehicles in 17 divisions.29 The EMS transports patients to 517 emergency departments (EDs) across the country.29 EMS personnel are divided into level 1 and level 2 paramedics.29", "We analyzed data from Korean statistics and KOHCAR in the Republic of Korea. The annual total and age-group population and populations of the Republic of Korea were obtained from the Korean Statistical Information Service.30 KOHCAR is maintained by the Korea Disease Control and Prevention Agency (KDCA) in cooperation with the national fire agency, and it contains information about all cardiac arrest patients transported to a hospital via EMS.12\nTo control the data quality, KDCA employs and trains medical record reviewers to maintain standardized medical records.31 They visit every hospital to assess the records and collect information about treatment and clinical outcomes according to the Utstein guidelines.31 These processes are supervised every month by a national cardiac arrest investigation and surveillance committee that consists of emergency physicians, epidemiologists, statisticians, and medical record reviewers.123132", "Pediatric patients (younger than 18 years) with OHCA between 2009 and 2018 were selected. Cardiac arrest cases were selected when the chief complaint was cardiac arrest or respiratory arrest and EMS personnel performed CPR. We excluded patients who were dead-on-arrival (DOA), had do-not-resuscitate (DNR) orders, or whose outcome information was missing.\nWe divided the patients into four groups by age: group 1, younger than 1 year; group 2, 1 to 5 years; group 3, 6 to 12 years; and group 4, 13 to 17 years.", "We collected the following demographic information about the patients: sex, age, and medical history. Prehospital data were the date, location, and etiology of OHCA; the type of first responder; and whether the patient received bystander CPR or prehospital treatment from an automated external defibrillator (AED). The analyzed hospital data were ED visit time, initial electrocardiography (ECG) rhythm in the ED, defibrillation in the ED, and CPR duration.\n‘Cardiac origin’ describes cardiac arrest caused by failure of the heart itself and cases in which the cause of cardiac arrest is unknown. ‘Respiratory origin’ describes patients with a high-risk respiratory disease and those with acute respiratory distress observed prior to cardiac arrest. ‘Sudden unexpected infant death (SUID)’ describes cases in which a patient younger than 13 months is found dead in bed or when a doctor records sudden infant death syndrome as the cause of death. ‘Other diseases’ describe cases in which the cause of cardiac arrest is clearly diagnosed.\nAn event location of ‘home residence’ indicates cardiac events that occurred in houses, parking lots, on-site playgrounds or swimming pools, dormitories, and orphanages. An event location of ‘healthcare facilities’ indicates that the event occurred in a medical institution, defined by Korean medical law as midwifery centers, oriental medicine clinics, dental clinics, and hospitals. ‘Places of recreation’ are amusement parks, botanical gardens, parks, theaters, and exhibitions. ‘Public/commercial buildings’ are schools, public institutions, bus terminals, airports, stores, restaurants, and hotels. Kindergartens, daycare centers, and religious buildings are categorized as other.\nThe time from arrest to arrival at the ED is defined as the time from cardiac arrest (or the last normal time) until ED arrival. CPR duration is defined as time from ED arrival to the end of CPR.", "The primary outcome was survival to hospital discharge. The secondary outcomes were return of spontaneous circulation (ROSC) at the ED and good neurological status, defined as a pediatric cerebral performance category (PCPC) of 1 or 2 at discharge. PCPC is classified as 1 for good cerebral performance and 2 for moderate cerebral disability.", "Categorical variables are reported as number and percentage (%), and continuous variables are reported as mean with standard deviation. We performed logistic regression analysis to examine the population-based incidence rates (IRs) with 95% confidence intervals (CIs) for each outcome with age and sex adjustment. Univariate and multivariate logistic regression analyses were conducted to find factors associated with the outcomes of pediatric OHCA. P < 0.05 was considered to indicate statistical significance in all statistical tests. The post hoc analysis used Bonferroni correction. R statistical software version 4.0.5 (R Foundation for Statistical Computing, Vienna, Austria) was used for the statistical analyses.", "The total population of Korea increased from 50,833,594 in 2009 to 53,599,421 in 2018, but the annual number of births decreased from 454,209 to 348,253 during that time.30 The population of group 1, younger than 1 year, has been decreasing for 10 years, but the IR of pediatric OHCA in group 1 increased from 45.57 to 60.89 (Fig. 1). The IR of pediatric OHCA in group 2 decreased from 5.93 in 2009 to 4.40 in 2018, and the IR of pediatric OHCA in group 3 decreased from 3.89 to 2.81 during the same 10 years. The IR of pediatric OHCA in group 4 increased from 7.15 to 7.32 while the population has been decreasing.\nIR = incidence rate.", "Of the 273,761 OHCAs that occurred in the Republic of Korea between 2009 to 2018, we analyzed 4,561 patients after excluding 267,423 older than 18 years, 613 with no hospital outcome data, 1,238 who were DOA, and 26 with DNR orders (Fig. 2). Of the total study population, group 1 contained 1,448 patients (34.7%); group 2 contained 984 patients (21.6%); group 3 contained 772 patients (16.9%); and group 4 contained 1,357 patients (29.8%).\nOHCA = out-of-hospital cardiac arrest, CPR = cardiopulmonary resuscitation, ED = emergency department.\nThe mean ages of groups 2, 3, and 4 were 2.5 ± 1.4 years, 9.0 ± 2.0 years, and 15.5 ± 1.4 years, respectively. Males accounted for 57.57% of group 1, 60.8% of group 2, 65.9% of group 3, and 70.7% of group 4 (Table 1).\nValues are presented as median ± standard deviation, number (%), or median (interquartile range).\nSUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, ED = emergency department.\nThe most common cause of cardiac arrest in group 1 was SUID (51.5%), followed by cardiac origin (24.2%) and choking (12.0%). In the other age groups, injury (group 2, 46.1%; group 3, 55.7%; group 4, 66.2%) was the most common cause of cardiac arrest, followed by cardiac origin (group 2, 41.7%; group 3, 38.9%; group 4, 30.6%).\nIn group 1, choking was the most common cause of cardiac arrest caused by injury, whereas that in group 2 was traffic accident (14.8%) followed by choking (9.6%); in group 3, it was traffic accident (22.3%) followed by drowning (12.8%); and in group 4, it was fall (23.4%) followed by traffic accident (20.6%). Fig. 3 shows the annual changes in injuries that caused pediatric OHCA. In groups 1 and 3, the proportion of injury decreased during the 10-year study period, but it has been increasing in groups 2 and 4 since 2015.\nMost of the OHCAs (group 1, 80.2%; group 2, 60.8%; group 3, 47.4%; group 4, 51.2%) occurred at the patient’s home. First responders were often family in all age groups (group 1, 81.6%, group 2, 60.7%, group 3, 40.8%, group 4, 32.6%). The rate of bystander CPR and prehospital defibrillation rate were less than 10% in all age groups.\nOnly 0.8% of group 1, 0.8% of group 2, 1.6% of group 3, and 2.7% of group 4 initially presented in the ED with a shockable rhythm; and 5.8% of group 1, 8.8% of group 2, 16.8% of group 3, and 19.5% of group 4 received defibrillation at the ED. The median time between the OHCA and arrival at the ED was 104.5 minutes in group 1, 37 minutes in group 2, 30 minutes in group 3, and 30 minutes in group 4. Median CPR duration in the ED was 30 minutes in groups 1, 2, and 3 and 26 minutes in group 4.", "Group 4 had the highest survival to hospital discharge rate (9.7%), followed by group 2 (9.5%), group 3 (7.8%), and group 1 (7.1%; Table 2). The rate of good neurologic outcome was also highest in group 4 (4.9%) and lowest in group 1 (3.2%). Fig. 4 shows the trends of pediatric OHCA outcomes from 2009 to 2018. During that 10-year period, ROSC, survival to discharge, and good neurological outcome did not noticeably improve.\nValues are presented as number (%).\nROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category.\naBonferroni-adjusted two-sided significance level is P < 0.008. Groups 1 and 3, and groups 1 and 4 differed significantly.\nbWhen using Bonferroni-adjusted P < 0.008, no pairwise comparisons among groups were significant.\nROSC = return of spontaneous circulation.", "The model used for multivariate analysis contained variables that were significant in univariate analysis or were important according to the opinions of researchers: age, sex, weekday or weekend event occurrence, past medical history, etiology, location of OHCA, first responder type, bystander CPR, prehospital delivery of AED shock, initial ECG rhythm at ED and defibrillation at ED. Multivariate analyses by age group were also performed and are presented as Supplementary Tables 1, 2, 3, 4.", "The odds ratio (OR) for survival to discharge with group 1 as the reference was 0.55 (CI, 0.37–0.82) in group 3 (Table 3). The values in the other age groups were not significant. For etiology, cardiac disease was the reference for analysis. The OR for ROSC was 1.86 (CI, 1.43–2.43) for choking, 0.51 (CI, 0.38–0.70) for falls, and 0.36 (CI, 0.27–0.48) for SUID. The OR for survival to discharge was 0.23 (CI, 0.10–0.54) for traffic accident, 0.17 (CI, 0.08–0.35) for falls, and 0.11 (CI, 0.06–0.20) for SUID. The OR for good neurologic outcome was 0.24 (CI, 0.09–0.62) for falls, 0.23 (CI, 0.05–0.94) for traffic accident, and 0.06 (CI, 0.02–0.18) for SUID.\nOR = odds ratio, CI = confidence interval, ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category, SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, AED = automated external defibrillator, ED = emergency department.\n*P < 0.05.\nWith home residence as the reference OHCA location, the OR for ROSC following an OHCA in a place of recreation was 2.89 (CI, 1.48–5.61), and that following an OHCA in a public/commercial building was 1.75 (CI, 1.26–2.42). The OR of survival to discharge in a place of recreation was 3.43 (CI, 1.51–7.77), and that in a public/commercial building was 2.78 (CI, 1.79–4.31). The OR for good neurologic outcome following an OHCA in a public/commercial building was 3.73 (CI, 2.03–6.84), that in a place of recreation was 2.51 (CI, 1.47–4.28), and that in an ambulance was 4.63 (CI, 1.79–11.98).\nWhen the reference for first responder type was unknown, the OR for ROSC was highest with EMS at 2.65 (CI, 1.74–4.03), followed by healthcare provider at 2.15 (CI, 1.14–4.04), acquaintance at 1.83 (CI, 1.31–2.57), and family member at 1.31 (CI, 1.03–1.68). The OR for survival to discharge was highest with a healthcare provider at 3.25 (CI, 1.43–7.37), followed by acquaintance at 3.05 (CI, 1.89–4.92), EMS at 2.97 (CI, 1.30–5.51), and family member at 2.07 (CI, 1.38–3.10). The OR for good neurologic outcome was highest with EMS at 4.66 (CI, 2.03–10.72), followed by healthcare provider at 4.25 (CI, 1.52–11.87), family member at 2.79 (CI, 1.57–4.95), and acquaintance at 2.32 (CI, 1.18 – 4.57).\nWith prehospital delivery of AED shock, the OR for good neurologic outcome was 7.96 (CI, 5.09–12.43), that for survival to discharge was 5.86 (CI, 4.09–8.39), and that for ROSC was 2.74 (CI, 1.99–3.78). With an initial shockable rhythm at the ED, the OR for good neurologic outcome was 4.76 (CI, 1.95–11.60), and that for survival to discharge was 3.84 (CI, 1.96–7.55). With defibrillation at the ED, the OR for ROSC was 0.80 (CI, 0.64–1.00), that for survival to discharge was 0.36 (CI, 0.24–0.55), and that for good neurologic outcome was 0.19 (CI, 0.10–0.38).", "The OR for ROSC was 0.71 (CI, 0.54–0.93) in males (Supplementary Table 1). With an etiology of SUID, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.35 (CI, 0.25–0.48), 0.08 (CI, 0.04–0.16), and 0.06 (CI, 0.02–0.20), respectively. With an etiology of drowning, the OR for good neurological outcome was 4.95 (CI, 1.17–20.91). With healthcare facility as the location, the OR for ROSC was 3.09 (CI, 1.02–9.34). The OR for ROSC was highest when EMS was the first responder, 9.44 (CI, 2.46–36.29), followed by acquaintance at 3.26 (CI, 1.20–8.88). The OR for survival to discharge was highest when an acquaintance was the first responder, 19.60 (CI, 4.35–88.19), followed by EMS at 11.39 (CI, 1.91–67.98). However, neither of those variables was significant for good neurologic outcome.", "When the etiology was choking, the OR for ROSC was 2.94 (CI, 1.77–4.89), and when the etiology was traffic accident, the OR for survival to discharge was 0.16 (CI, 0.04–0.72) (Supplementary Table 2). The OR for survival to discharge was highest when the event location was a place of recreation, 8.41 (CI, 2.07–34.07), followed by street/highway at 4.95 (CI, 1.10–22.35), and public/commercial building at 3.01 (CI, 1.20–7.53). The OR for good neurological outcome was also highest when the event location was a place of recreation, 14.19 (CI, 2.09–96.53), followed by an ambulance at 4.25 (CI, 1.10–16.45). When the first responder was family, the OR for survival to discharge was 2.84 (CI, 1.34–6.02). When the first responder was a healthcare provider, the OR for good neurological outcome was 29.81 (CI, 1.97–452.09), and when it was family, the OR was 11.03 (CI, 2.33–52.18). With prehospital defibrillation, the OR for ROSC was 2.70 (CI, 1.03–7.06). With defibrillation at the ED, the OR for survival to discharge was 8.01 (CI, 1.66–38.63).", "When the etiology was choking, the OR for ROSC was 2.41 (CI, 1.05–5.55) (Supplementary Table 3). When the event location was a place of recreation, the OR for ROSC was 4.35 (CI, 1.16–16.24), and when it was a public/commercial building, the OR for survival to discharge was 4.11 (CI, 1.24–13.64). When the first responder was an acquaintance, the OR for ROSC was 2.64 (CI, 1.28–5.45). When the first responder was EMS, the OR for survival to discharge was 5.59 (CI, 1.24–25.25), and the OR for good neurological outcome was 8.88 (CI, 1.59–49.60). With prehospital defibrillation, the ORs for survival to discharge and good neurologic outcome were 5.91 (CI, 2.61–13.36) and 12.24 (CI, 4.23–35.38), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 8.55 (CI, 1.22–59.69), and with defibrillation at the ED, the OR for survival to discharge was 10.50 (CI, 2.40–46.01).", "With an etiology of choking, the ORs for ROSC and survival to discharge were 4.62 (CI, 1.99–10.70) and 3.16 (CI, 1.36–7.33), respectively (Supplementary Table 4). With an etiology of falls, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.32 (CI, 0.20–0.52), 0.16 (CI, 0.06–0.43), and 0.10 (CI, 0.02–0.48), respectively. When the event location was a public/commercial building, the ORs for ROSC, survival to discharge, and good neurological outcome were 2.14 (CI, 1.19–3.85), 3.40 (CI, 1.52–7.57), and 4.64 (CI, 1.47–14.60), respectively. When the event location was an ambulance, the ORs for survival to discharge and good neurologic outcome were 2.60 (CI, 1.20–5.65) and 3.94 (CI, 1.29–12.02), respectively.\nWhen the first responder was an acquaintance, the ORs for ROSC, survival to discharge, and good neurologic outcome were 1.74 (CI, 1.07–2.86), 2.95 (CI, 1.50–5.79), and 2.59 (CI, 1.00–6.71), respectively. When the first responder was family, the ORs for survival to discharge and good neurologic outcome were 2.19 (CI, 1.03–4.67) and 2.03 (CI, 0.67–6.18), respectively.\nWith prehospital defibrillation, the ORs for ROSC, survival to discharge, and good neurologic outcome were 3.39 (CI, 2.12–5.42), 8.83 (CI, 5.24–14.87), and 12.73 (CI, 6.42–25.25), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 3.78 (CI, 1.38–10.37), and the OR for good neurological outcome was 7.12 (CI, 1.57–32.37). With defibrillation at the ED, the OR for survival to discharge was 2.46 (CI, 1.33–4.54), and the OR for good neurological outcome was 11.29 (CI, 3.60–35.45)." ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "INTRODUCTION", "METHODS", "Study setting", "Data source", "Study population", "Variables", "Outcome", "Statistical analysis", "Ethics statement", "RESULTS", "Annual trends in pediatric cardiac arrests", "Demographics of pediatric OHCA", "Outcomes of pediatric OHCA", "Logistic regression", "Multivariate analysis", "Multivariate analysis of group 1", "Multivariate analysis of group 2", "Multivariate analysis of group 3", "Multivariate analysis of group 4", "DISCUSSION" ]
[ "Unexpected cardiac arrest is a major health problem worldwide.1 The incidence of pediatric out-of-hospital cardiac arrest (OHCA) is 1–20 per 100,000 person-years, and the survival rate and neurologic outcomes of pediatric OHCA are poor, with regional variation.234567 The relatively small number of cases and poor survival outcomes cast doubt on the value of pediatric cardiopulmonary resuscitation (CPR).78910 Nevertheless, the survival outcomes of pediatric OHCA patients need to be improved; because of children’s long potential life expectancy, even a few deaths from pediatric cardiac arrest cause significant social and economic losses.11\nIn the Republic of Korea, the government has endeavored to improve the chain of survival through the National OHCA registry, regular public reports, a mandatory CPR training program, a telephone-assisted CPR program, and medical oversight for emergency medical service (EMS) CPR performance since 2008.1213 Due to those efforts, the survival outcomes of adult OHCA patients in the Republic of Korea have improved, but the survival rate of pediatric OHCA patients has not changed significantly.31415\nEpidemiological analyses of OHCA have allowed researchers to find vulnerabilities in the chain of survival and to improve survival outcomes during the past few decades.16 Some studies have reported age-related variations in the mechanisms of OHCA and survival outcomes.17181920 Children’s growth and development vary significantly with age.21222324 As a result, the mechanism of OHCA and survival outcomes also vary significantly with age. Understanding the characteristics and patterns of OHCA in each age group is critical for designing long-term national prevention measures, age-specific resuscitation care strategies, and pediatric OHCA training programs.\nNew policies are based on epidemiology research, so it is necessary to analyze recent trends and identify variables that affect survival outcomes.1214 In addition, the delivery of pre-hospital emergency care differs from country to country, so research using regional data is needed.62526 Our aim in this study was to use data from the Korea OHCA Registry (KOHCAR) to assess the most recent trends in the epidemiology and survival outcomes of pediatric OHCA patients and to analyze the factors that influence survival outcomes.", "Study setting The Republic of Korea occupies an area of 100,431.8 km2 and has a population of more than 50 million people.2728 The Korean EMS is a single-tiered system operated by the government,29 that employs 13,133 EMS personnel and 1,579 EMS vehicles in 17 divisions.29 The EMS transports patients to 517 emergency departments (EDs) across the country.29 EMS personnel are divided into level 1 and level 2 paramedics.29\nThe Republic of Korea occupies an area of 100,431.8 km2 and has a population of more than 50 million people.2728 The Korean EMS is a single-tiered system operated by the government,29 that employs 13,133 EMS personnel and 1,579 EMS vehicles in 17 divisions.29 The EMS transports patients to 517 emergency departments (EDs) across the country.29 EMS personnel are divided into level 1 and level 2 paramedics.29\nData source We analyzed data from Korean statistics and KOHCAR in the Republic of Korea. The annual total and age-group population and populations of the Republic of Korea were obtained from the Korean Statistical Information Service.30 KOHCAR is maintained by the Korea Disease Control and Prevention Agency (KDCA) in cooperation with the national fire agency, and it contains information about all cardiac arrest patients transported to a hospital via EMS.12\nTo control the data quality, KDCA employs and trains medical record reviewers to maintain standardized medical records.31 They visit every hospital to assess the records and collect information about treatment and clinical outcomes according to the Utstein guidelines.31 These processes are supervised every month by a national cardiac arrest investigation and surveillance committee that consists of emergency physicians, epidemiologists, statisticians, and medical record reviewers.123132\nWe analyzed data from Korean statistics and KOHCAR in the Republic of Korea. The annual total and age-group population and populations of the Republic of Korea were obtained from the Korean Statistical Information Service.30 KOHCAR is maintained by the Korea Disease Control and Prevention Agency (KDCA) in cooperation with the national fire agency, and it contains information about all cardiac arrest patients transported to a hospital via EMS.12\nTo control the data quality, KDCA employs and trains medical record reviewers to maintain standardized medical records.31 They visit every hospital to assess the records and collect information about treatment and clinical outcomes according to the Utstein guidelines.31 These processes are supervised every month by a national cardiac arrest investigation and surveillance committee that consists of emergency physicians, epidemiologists, statisticians, and medical record reviewers.123132\nStudy population Pediatric patients (younger than 18 years) with OHCA between 2009 and 2018 were selected. Cardiac arrest cases were selected when the chief complaint was cardiac arrest or respiratory arrest and EMS personnel performed CPR. We excluded patients who were dead-on-arrival (DOA), had do-not-resuscitate (DNR) orders, or whose outcome information was missing.\nWe divided the patients into four groups by age: group 1, younger than 1 year; group 2, 1 to 5 years; group 3, 6 to 12 years; and group 4, 13 to 17 years.\nPediatric patients (younger than 18 years) with OHCA between 2009 and 2018 were selected. Cardiac arrest cases were selected when the chief complaint was cardiac arrest or respiratory arrest and EMS personnel performed CPR. We excluded patients who were dead-on-arrival (DOA), had do-not-resuscitate (DNR) orders, or whose outcome information was missing.\nWe divided the patients into four groups by age: group 1, younger than 1 year; group 2, 1 to 5 years; group 3, 6 to 12 years; and group 4, 13 to 17 years.\nVariables We collected the following demographic information about the patients: sex, age, and medical history. Prehospital data were the date, location, and etiology of OHCA; the type of first responder; and whether the patient received bystander CPR or prehospital treatment from an automated external defibrillator (AED). The analyzed hospital data were ED visit time, initial electrocardiography (ECG) rhythm in the ED, defibrillation in the ED, and CPR duration.\n‘Cardiac origin’ describes cardiac arrest caused by failure of the heart itself and cases in which the cause of cardiac arrest is unknown. ‘Respiratory origin’ describes patients with a high-risk respiratory disease and those with acute respiratory distress observed prior to cardiac arrest. ‘Sudden unexpected infant death (SUID)’ describes cases in which a patient younger than 13 months is found dead in bed or when a doctor records sudden infant death syndrome as the cause of death. ‘Other diseases’ describe cases in which the cause of cardiac arrest is clearly diagnosed.\nAn event location of ‘home residence’ indicates cardiac events that occurred in houses, parking lots, on-site playgrounds or swimming pools, dormitories, and orphanages. An event location of ‘healthcare facilities’ indicates that the event occurred in a medical institution, defined by Korean medical law as midwifery centers, oriental medicine clinics, dental clinics, and hospitals. ‘Places of recreation’ are amusement parks, botanical gardens, parks, theaters, and exhibitions. ‘Public/commercial buildings’ are schools, public institutions, bus terminals, airports, stores, restaurants, and hotels. Kindergartens, daycare centers, and religious buildings are categorized as other.\nThe time from arrest to arrival at the ED is defined as the time from cardiac arrest (or the last normal time) until ED arrival. CPR duration is defined as time from ED arrival to the end of CPR.\nWe collected the following demographic information about the patients: sex, age, and medical history. Prehospital data were the date, location, and etiology of OHCA; the type of first responder; and whether the patient received bystander CPR or prehospital treatment from an automated external defibrillator (AED). The analyzed hospital data were ED visit time, initial electrocardiography (ECG) rhythm in the ED, defibrillation in the ED, and CPR duration.\n‘Cardiac origin’ describes cardiac arrest caused by failure of the heart itself and cases in which the cause of cardiac arrest is unknown. ‘Respiratory origin’ describes patients with a high-risk respiratory disease and those with acute respiratory distress observed prior to cardiac arrest. ‘Sudden unexpected infant death (SUID)’ describes cases in which a patient younger than 13 months is found dead in bed or when a doctor records sudden infant death syndrome as the cause of death. ‘Other diseases’ describe cases in which the cause of cardiac arrest is clearly diagnosed.\nAn event location of ‘home residence’ indicates cardiac events that occurred in houses, parking lots, on-site playgrounds or swimming pools, dormitories, and orphanages. An event location of ‘healthcare facilities’ indicates that the event occurred in a medical institution, defined by Korean medical law as midwifery centers, oriental medicine clinics, dental clinics, and hospitals. ‘Places of recreation’ are amusement parks, botanical gardens, parks, theaters, and exhibitions. ‘Public/commercial buildings’ are schools, public institutions, bus terminals, airports, stores, restaurants, and hotels. Kindergartens, daycare centers, and religious buildings are categorized as other.\nThe time from arrest to arrival at the ED is defined as the time from cardiac arrest (or the last normal time) until ED arrival. CPR duration is defined as time from ED arrival to the end of CPR.\nOutcome The primary outcome was survival to hospital discharge. The secondary outcomes were return of spontaneous circulation (ROSC) at the ED and good neurological status, defined as a pediatric cerebral performance category (PCPC) of 1 or 2 at discharge. PCPC is classified as 1 for good cerebral performance and 2 for moderate cerebral disability.\nThe primary outcome was survival to hospital discharge. The secondary outcomes were return of spontaneous circulation (ROSC) at the ED and good neurological status, defined as a pediatric cerebral performance category (PCPC) of 1 or 2 at discharge. PCPC is classified as 1 for good cerebral performance and 2 for moderate cerebral disability.\nStatistical analysis Categorical variables are reported as number and percentage (%), and continuous variables are reported as mean with standard deviation. We performed logistic regression analysis to examine the population-based incidence rates (IRs) with 95% confidence intervals (CIs) for each outcome with age and sex adjustment. Univariate and multivariate logistic regression analyses were conducted to find factors associated with the outcomes of pediatric OHCA. P < 0.05 was considered to indicate statistical significance in all statistical tests. The post hoc analysis used Bonferroni correction. R statistical software version 4.0.5 (R Foundation for Statistical Computing, Vienna, Austria) was used for the statistical analyses.\nCategorical variables are reported as number and percentage (%), and continuous variables are reported as mean with standard deviation. We performed logistic regression analysis to examine the population-based incidence rates (IRs) with 95% confidence intervals (CIs) for each outcome with age and sex adjustment. Univariate and multivariate logistic regression analyses were conducted to find factors associated with the outcomes of pediatric OHCA. P < 0.05 was considered to indicate statistical significance in all statistical tests. The post hoc analysis used Bonferroni correction. R statistical software version 4.0.5 (R Foundation for Statistical Computing, Vienna, Austria) was used for the statistical analyses.\nEthics statement This study was reviewed and approved by the Institutional Review Board (IRB) of Samsung Medical Center (IRB number 2021-09-127). The board exempted requirement for informed consent.\nThis study was reviewed and approved by the Institutional Review Board (IRB) of Samsung Medical Center (IRB number 2021-09-127). The board exempted requirement for informed consent.", "The Republic of Korea occupies an area of 100,431.8 km2 and has a population of more than 50 million people.2728 The Korean EMS is a single-tiered system operated by the government,29 that employs 13,133 EMS personnel and 1,579 EMS vehicles in 17 divisions.29 The EMS transports patients to 517 emergency departments (EDs) across the country.29 EMS personnel are divided into level 1 and level 2 paramedics.29", "We analyzed data from Korean statistics and KOHCAR in the Republic of Korea. The annual total and age-group population and populations of the Republic of Korea were obtained from the Korean Statistical Information Service.30 KOHCAR is maintained by the Korea Disease Control and Prevention Agency (KDCA) in cooperation with the national fire agency, and it contains information about all cardiac arrest patients transported to a hospital via EMS.12\nTo control the data quality, KDCA employs and trains medical record reviewers to maintain standardized medical records.31 They visit every hospital to assess the records and collect information about treatment and clinical outcomes according to the Utstein guidelines.31 These processes are supervised every month by a national cardiac arrest investigation and surveillance committee that consists of emergency physicians, epidemiologists, statisticians, and medical record reviewers.123132", "Pediatric patients (younger than 18 years) with OHCA between 2009 and 2018 were selected. Cardiac arrest cases were selected when the chief complaint was cardiac arrest or respiratory arrest and EMS personnel performed CPR. We excluded patients who were dead-on-arrival (DOA), had do-not-resuscitate (DNR) orders, or whose outcome information was missing.\nWe divided the patients into four groups by age: group 1, younger than 1 year; group 2, 1 to 5 years; group 3, 6 to 12 years; and group 4, 13 to 17 years.", "We collected the following demographic information about the patients: sex, age, and medical history. Prehospital data were the date, location, and etiology of OHCA; the type of first responder; and whether the patient received bystander CPR or prehospital treatment from an automated external defibrillator (AED). The analyzed hospital data were ED visit time, initial electrocardiography (ECG) rhythm in the ED, defibrillation in the ED, and CPR duration.\n‘Cardiac origin’ describes cardiac arrest caused by failure of the heart itself and cases in which the cause of cardiac arrest is unknown. ‘Respiratory origin’ describes patients with a high-risk respiratory disease and those with acute respiratory distress observed prior to cardiac arrest. ‘Sudden unexpected infant death (SUID)’ describes cases in which a patient younger than 13 months is found dead in bed or when a doctor records sudden infant death syndrome as the cause of death. ‘Other diseases’ describe cases in which the cause of cardiac arrest is clearly diagnosed.\nAn event location of ‘home residence’ indicates cardiac events that occurred in houses, parking lots, on-site playgrounds or swimming pools, dormitories, and orphanages. An event location of ‘healthcare facilities’ indicates that the event occurred in a medical institution, defined by Korean medical law as midwifery centers, oriental medicine clinics, dental clinics, and hospitals. ‘Places of recreation’ are amusement parks, botanical gardens, parks, theaters, and exhibitions. ‘Public/commercial buildings’ are schools, public institutions, bus terminals, airports, stores, restaurants, and hotels. Kindergartens, daycare centers, and religious buildings are categorized as other.\nThe time from arrest to arrival at the ED is defined as the time from cardiac arrest (or the last normal time) until ED arrival. CPR duration is defined as time from ED arrival to the end of CPR.", "The primary outcome was survival to hospital discharge. The secondary outcomes were return of spontaneous circulation (ROSC) at the ED and good neurological status, defined as a pediatric cerebral performance category (PCPC) of 1 or 2 at discharge. PCPC is classified as 1 for good cerebral performance and 2 for moderate cerebral disability.", "Categorical variables are reported as number and percentage (%), and continuous variables are reported as mean with standard deviation. We performed logistic regression analysis to examine the population-based incidence rates (IRs) with 95% confidence intervals (CIs) for each outcome with age and sex adjustment. Univariate and multivariate logistic regression analyses were conducted to find factors associated with the outcomes of pediatric OHCA. P < 0.05 was considered to indicate statistical significance in all statistical tests. The post hoc analysis used Bonferroni correction. R statistical software version 4.0.5 (R Foundation for Statistical Computing, Vienna, Austria) was used for the statistical analyses.", "This study was reviewed and approved by the Institutional Review Board (IRB) of Samsung Medical Center (IRB number 2021-09-127). The board exempted requirement for informed consent.", "Annual trends in pediatric cardiac arrests The total population of Korea increased from 50,833,594 in 2009 to 53,599,421 in 2018, but the annual number of births decreased from 454,209 to 348,253 during that time.30 The population of group 1, younger than 1 year, has been decreasing for 10 years, but the IR of pediatric OHCA in group 1 increased from 45.57 to 60.89 (Fig. 1). The IR of pediatric OHCA in group 2 decreased from 5.93 in 2009 to 4.40 in 2018, and the IR of pediatric OHCA in group 3 decreased from 3.89 to 2.81 during the same 10 years. The IR of pediatric OHCA in group 4 increased from 7.15 to 7.32 while the population has been decreasing.\nIR = incidence rate.\nThe total population of Korea increased from 50,833,594 in 2009 to 53,599,421 in 2018, but the annual number of births decreased from 454,209 to 348,253 during that time.30 The population of group 1, younger than 1 year, has been decreasing for 10 years, but the IR of pediatric OHCA in group 1 increased from 45.57 to 60.89 (Fig. 1). The IR of pediatric OHCA in group 2 decreased from 5.93 in 2009 to 4.40 in 2018, and the IR of pediatric OHCA in group 3 decreased from 3.89 to 2.81 during the same 10 years. The IR of pediatric OHCA in group 4 increased from 7.15 to 7.32 while the population has been decreasing.\nIR = incidence rate.\nDemographics of pediatric OHCA Of the 273,761 OHCAs that occurred in the Republic of Korea between 2009 to 2018, we analyzed 4,561 patients after excluding 267,423 older than 18 years, 613 with no hospital outcome data, 1,238 who were DOA, and 26 with DNR orders (Fig. 2). Of the total study population, group 1 contained 1,448 patients (34.7%); group 2 contained 984 patients (21.6%); group 3 contained 772 patients (16.9%); and group 4 contained 1,357 patients (29.8%).\nOHCA = out-of-hospital cardiac arrest, CPR = cardiopulmonary resuscitation, ED = emergency department.\nThe mean ages of groups 2, 3, and 4 were 2.5 ± 1.4 years, 9.0 ± 2.0 years, and 15.5 ± 1.4 years, respectively. Males accounted for 57.57% of group 1, 60.8% of group 2, 65.9% of group 3, and 70.7% of group 4 (Table 1).\nValues are presented as median ± standard deviation, number (%), or median (interquartile range).\nSUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, ED = emergency department.\nThe most common cause of cardiac arrest in group 1 was SUID (51.5%), followed by cardiac origin (24.2%) and choking (12.0%). In the other age groups, injury (group 2, 46.1%; group 3, 55.7%; group 4, 66.2%) was the most common cause of cardiac arrest, followed by cardiac origin (group 2, 41.7%; group 3, 38.9%; group 4, 30.6%).\nIn group 1, choking was the most common cause of cardiac arrest caused by injury, whereas that in group 2 was traffic accident (14.8%) followed by choking (9.6%); in group 3, it was traffic accident (22.3%) followed by drowning (12.8%); and in group 4, it was fall (23.4%) followed by traffic accident (20.6%). Fig. 3 shows the annual changes in injuries that caused pediatric OHCA. In groups 1 and 3, the proportion of injury decreased during the 10-year study period, but it has been increasing in groups 2 and 4 since 2015.\nMost of the OHCAs (group 1, 80.2%; group 2, 60.8%; group 3, 47.4%; group 4, 51.2%) occurred at the patient’s home. First responders were often family in all age groups (group 1, 81.6%, group 2, 60.7%, group 3, 40.8%, group 4, 32.6%). The rate of bystander CPR and prehospital defibrillation rate were less than 10% in all age groups.\nOnly 0.8% of group 1, 0.8% of group 2, 1.6% of group 3, and 2.7% of group 4 initially presented in the ED with a shockable rhythm; and 5.8% of group 1, 8.8% of group 2, 16.8% of group 3, and 19.5% of group 4 received defibrillation at the ED. The median time between the OHCA and arrival at the ED was 104.5 minutes in group 1, 37 minutes in group 2, 30 minutes in group 3, and 30 minutes in group 4. Median CPR duration in the ED was 30 minutes in groups 1, 2, and 3 and 26 minutes in group 4.\nOf the 273,761 OHCAs that occurred in the Republic of Korea between 2009 to 2018, we analyzed 4,561 patients after excluding 267,423 older than 18 years, 613 with no hospital outcome data, 1,238 who were DOA, and 26 with DNR orders (Fig. 2). Of the total study population, group 1 contained 1,448 patients (34.7%); group 2 contained 984 patients (21.6%); group 3 contained 772 patients (16.9%); and group 4 contained 1,357 patients (29.8%).\nOHCA = out-of-hospital cardiac arrest, CPR = cardiopulmonary resuscitation, ED = emergency department.\nThe mean ages of groups 2, 3, and 4 were 2.5 ± 1.4 years, 9.0 ± 2.0 years, and 15.5 ± 1.4 years, respectively. Males accounted for 57.57% of group 1, 60.8% of group 2, 65.9% of group 3, and 70.7% of group 4 (Table 1).\nValues are presented as median ± standard deviation, number (%), or median (interquartile range).\nSUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, ED = emergency department.\nThe most common cause of cardiac arrest in group 1 was SUID (51.5%), followed by cardiac origin (24.2%) and choking (12.0%). In the other age groups, injury (group 2, 46.1%; group 3, 55.7%; group 4, 66.2%) was the most common cause of cardiac arrest, followed by cardiac origin (group 2, 41.7%; group 3, 38.9%; group 4, 30.6%).\nIn group 1, choking was the most common cause of cardiac arrest caused by injury, whereas that in group 2 was traffic accident (14.8%) followed by choking (9.6%); in group 3, it was traffic accident (22.3%) followed by drowning (12.8%); and in group 4, it was fall (23.4%) followed by traffic accident (20.6%). Fig. 3 shows the annual changes in injuries that caused pediatric OHCA. In groups 1 and 3, the proportion of injury decreased during the 10-year study period, but it has been increasing in groups 2 and 4 since 2015.\nMost of the OHCAs (group 1, 80.2%; group 2, 60.8%; group 3, 47.4%; group 4, 51.2%) occurred at the patient’s home. First responders were often family in all age groups (group 1, 81.6%, group 2, 60.7%, group 3, 40.8%, group 4, 32.6%). The rate of bystander CPR and prehospital defibrillation rate were less than 10% in all age groups.\nOnly 0.8% of group 1, 0.8% of group 2, 1.6% of group 3, and 2.7% of group 4 initially presented in the ED with a shockable rhythm; and 5.8% of group 1, 8.8% of group 2, 16.8% of group 3, and 19.5% of group 4 received defibrillation at the ED. The median time between the OHCA and arrival at the ED was 104.5 minutes in group 1, 37 minutes in group 2, 30 minutes in group 3, and 30 minutes in group 4. Median CPR duration in the ED was 30 minutes in groups 1, 2, and 3 and 26 minutes in group 4.\nOutcomes of pediatric OHCA Group 4 had the highest survival to hospital discharge rate (9.7%), followed by group 2 (9.5%), group 3 (7.8%), and group 1 (7.1%; Table 2). The rate of good neurologic outcome was also highest in group 4 (4.9%) and lowest in group 1 (3.2%). Fig. 4 shows the trends of pediatric OHCA outcomes from 2009 to 2018. During that 10-year period, ROSC, survival to discharge, and good neurological outcome did not noticeably improve.\nValues are presented as number (%).\nROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category.\naBonferroni-adjusted two-sided significance level is P < 0.008. Groups 1 and 3, and groups 1 and 4 differed significantly.\nbWhen using Bonferroni-adjusted P < 0.008, no pairwise comparisons among groups were significant.\nROSC = return of spontaneous circulation.\nGroup 4 had the highest survival to hospital discharge rate (9.7%), followed by group 2 (9.5%), group 3 (7.8%), and group 1 (7.1%; Table 2). The rate of good neurologic outcome was also highest in group 4 (4.9%) and lowest in group 1 (3.2%). Fig. 4 shows the trends of pediatric OHCA outcomes from 2009 to 2018. During that 10-year period, ROSC, survival to discharge, and good neurological outcome did not noticeably improve.\nValues are presented as number (%).\nROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category.\naBonferroni-adjusted two-sided significance level is P < 0.008. Groups 1 and 3, and groups 1 and 4 differed significantly.\nbWhen using Bonferroni-adjusted P < 0.008, no pairwise comparisons among groups were significant.\nROSC = return of spontaneous circulation.\nLogistic regression The model used for multivariate analysis contained variables that were significant in univariate analysis or were important according to the opinions of researchers: age, sex, weekday or weekend event occurrence, past medical history, etiology, location of OHCA, first responder type, bystander CPR, prehospital delivery of AED shock, initial ECG rhythm at ED and defibrillation at ED. Multivariate analyses by age group were also performed and are presented as Supplementary Tables 1, 2, 3, 4.\nThe model used for multivariate analysis contained variables that were significant in univariate analysis or were important according to the opinions of researchers: age, sex, weekday or weekend event occurrence, past medical history, etiology, location of OHCA, first responder type, bystander CPR, prehospital delivery of AED shock, initial ECG rhythm at ED and defibrillation at ED. Multivariate analyses by age group were also performed and are presented as Supplementary Tables 1, 2, 3, 4.\nMultivariate analysis The odds ratio (OR) for survival to discharge with group 1 as the reference was 0.55 (CI, 0.37–0.82) in group 3 (Table 3). The values in the other age groups were not significant. For etiology, cardiac disease was the reference for analysis. The OR for ROSC was 1.86 (CI, 1.43–2.43) for choking, 0.51 (CI, 0.38–0.70) for falls, and 0.36 (CI, 0.27–0.48) for SUID. The OR for survival to discharge was 0.23 (CI, 0.10–0.54) for traffic accident, 0.17 (CI, 0.08–0.35) for falls, and 0.11 (CI, 0.06–0.20) for SUID. The OR for good neurologic outcome was 0.24 (CI, 0.09–0.62) for falls, 0.23 (CI, 0.05–0.94) for traffic accident, and 0.06 (CI, 0.02–0.18) for SUID.\nOR = odds ratio, CI = confidence interval, ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category, SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, AED = automated external defibrillator, ED = emergency department.\n*P < 0.05.\nWith home residence as the reference OHCA location, the OR for ROSC following an OHCA in a place of recreation was 2.89 (CI, 1.48–5.61), and that following an OHCA in a public/commercial building was 1.75 (CI, 1.26–2.42). The OR of survival to discharge in a place of recreation was 3.43 (CI, 1.51–7.77), and that in a public/commercial building was 2.78 (CI, 1.79–4.31). The OR for good neurologic outcome following an OHCA in a public/commercial building was 3.73 (CI, 2.03–6.84), that in a place of recreation was 2.51 (CI, 1.47–4.28), and that in an ambulance was 4.63 (CI, 1.79–11.98).\nWhen the reference for first responder type was unknown, the OR for ROSC was highest with EMS at 2.65 (CI, 1.74–4.03), followed by healthcare provider at 2.15 (CI, 1.14–4.04), acquaintance at 1.83 (CI, 1.31–2.57), and family member at 1.31 (CI, 1.03–1.68). The OR for survival to discharge was highest with a healthcare provider at 3.25 (CI, 1.43–7.37), followed by acquaintance at 3.05 (CI, 1.89–4.92), EMS at 2.97 (CI, 1.30–5.51), and family member at 2.07 (CI, 1.38–3.10). The OR for good neurologic outcome was highest with EMS at 4.66 (CI, 2.03–10.72), followed by healthcare provider at 4.25 (CI, 1.52–11.87), family member at 2.79 (CI, 1.57–4.95), and acquaintance at 2.32 (CI, 1.18 – 4.57).\nWith prehospital delivery of AED shock, the OR for good neurologic outcome was 7.96 (CI, 5.09–12.43), that for survival to discharge was 5.86 (CI, 4.09–8.39), and that for ROSC was 2.74 (CI, 1.99–3.78). With an initial shockable rhythm at the ED, the OR for good neurologic outcome was 4.76 (CI, 1.95–11.60), and that for survival to discharge was 3.84 (CI, 1.96–7.55). With defibrillation at the ED, the OR for ROSC was 0.80 (CI, 0.64–1.00), that for survival to discharge was 0.36 (CI, 0.24–0.55), and that for good neurologic outcome was 0.19 (CI, 0.10–0.38).\nThe odds ratio (OR) for survival to discharge with group 1 as the reference was 0.55 (CI, 0.37–0.82) in group 3 (Table 3). The values in the other age groups were not significant. For etiology, cardiac disease was the reference for analysis. The OR for ROSC was 1.86 (CI, 1.43–2.43) for choking, 0.51 (CI, 0.38–0.70) for falls, and 0.36 (CI, 0.27–0.48) for SUID. The OR for survival to discharge was 0.23 (CI, 0.10–0.54) for traffic accident, 0.17 (CI, 0.08–0.35) for falls, and 0.11 (CI, 0.06–0.20) for SUID. The OR for good neurologic outcome was 0.24 (CI, 0.09–0.62) for falls, 0.23 (CI, 0.05–0.94) for traffic accident, and 0.06 (CI, 0.02–0.18) for SUID.\nOR = odds ratio, CI = confidence interval, ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category, SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, AED = automated external defibrillator, ED = emergency department.\n*P < 0.05.\nWith home residence as the reference OHCA location, the OR for ROSC following an OHCA in a place of recreation was 2.89 (CI, 1.48–5.61), and that following an OHCA in a public/commercial building was 1.75 (CI, 1.26–2.42). The OR of survival to discharge in a place of recreation was 3.43 (CI, 1.51–7.77), and that in a public/commercial building was 2.78 (CI, 1.79–4.31). The OR for good neurologic outcome following an OHCA in a public/commercial building was 3.73 (CI, 2.03–6.84), that in a place of recreation was 2.51 (CI, 1.47–4.28), and that in an ambulance was 4.63 (CI, 1.79–11.98).\nWhen the reference for first responder type was unknown, the OR for ROSC was highest with EMS at 2.65 (CI, 1.74–4.03), followed by healthcare provider at 2.15 (CI, 1.14–4.04), acquaintance at 1.83 (CI, 1.31–2.57), and family member at 1.31 (CI, 1.03–1.68). The OR for survival to discharge was highest with a healthcare provider at 3.25 (CI, 1.43–7.37), followed by acquaintance at 3.05 (CI, 1.89–4.92), EMS at 2.97 (CI, 1.30–5.51), and family member at 2.07 (CI, 1.38–3.10). The OR for good neurologic outcome was highest with EMS at 4.66 (CI, 2.03–10.72), followed by healthcare provider at 4.25 (CI, 1.52–11.87), family member at 2.79 (CI, 1.57–4.95), and acquaintance at 2.32 (CI, 1.18 – 4.57).\nWith prehospital delivery of AED shock, the OR for good neurologic outcome was 7.96 (CI, 5.09–12.43), that for survival to discharge was 5.86 (CI, 4.09–8.39), and that for ROSC was 2.74 (CI, 1.99–3.78). With an initial shockable rhythm at the ED, the OR for good neurologic outcome was 4.76 (CI, 1.95–11.60), and that for survival to discharge was 3.84 (CI, 1.96–7.55). With defibrillation at the ED, the OR for ROSC was 0.80 (CI, 0.64–1.00), that for survival to discharge was 0.36 (CI, 0.24–0.55), and that for good neurologic outcome was 0.19 (CI, 0.10–0.38).\nMultivariate analysis of group 1 The OR for ROSC was 0.71 (CI, 0.54–0.93) in males (Supplementary Table 1). With an etiology of SUID, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.35 (CI, 0.25–0.48), 0.08 (CI, 0.04–0.16), and 0.06 (CI, 0.02–0.20), respectively. With an etiology of drowning, the OR for good neurological outcome was 4.95 (CI, 1.17–20.91). With healthcare facility as the location, the OR for ROSC was 3.09 (CI, 1.02–9.34). The OR for ROSC was highest when EMS was the first responder, 9.44 (CI, 2.46–36.29), followed by acquaintance at 3.26 (CI, 1.20–8.88). The OR for survival to discharge was highest when an acquaintance was the first responder, 19.60 (CI, 4.35–88.19), followed by EMS at 11.39 (CI, 1.91–67.98). However, neither of those variables was significant for good neurologic outcome.\nThe OR for ROSC was 0.71 (CI, 0.54–0.93) in males (Supplementary Table 1). With an etiology of SUID, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.35 (CI, 0.25–0.48), 0.08 (CI, 0.04–0.16), and 0.06 (CI, 0.02–0.20), respectively. With an etiology of drowning, the OR for good neurological outcome was 4.95 (CI, 1.17–20.91). With healthcare facility as the location, the OR for ROSC was 3.09 (CI, 1.02–9.34). The OR for ROSC was highest when EMS was the first responder, 9.44 (CI, 2.46–36.29), followed by acquaintance at 3.26 (CI, 1.20–8.88). The OR for survival to discharge was highest when an acquaintance was the first responder, 19.60 (CI, 4.35–88.19), followed by EMS at 11.39 (CI, 1.91–67.98). However, neither of those variables was significant for good neurologic outcome.\nMultivariate analysis of group 2 When the etiology was choking, the OR for ROSC was 2.94 (CI, 1.77–4.89), and when the etiology was traffic accident, the OR for survival to discharge was 0.16 (CI, 0.04–0.72) (Supplementary Table 2). The OR for survival to discharge was highest when the event location was a place of recreation, 8.41 (CI, 2.07–34.07), followed by street/highway at 4.95 (CI, 1.10–22.35), and public/commercial building at 3.01 (CI, 1.20–7.53). The OR for good neurological outcome was also highest when the event location was a place of recreation, 14.19 (CI, 2.09–96.53), followed by an ambulance at 4.25 (CI, 1.10–16.45). When the first responder was family, the OR for survival to discharge was 2.84 (CI, 1.34–6.02). When the first responder was a healthcare provider, the OR for good neurological outcome was 29.81 (CI, 1.97–452.09), and when it was family, the OR was 11.03 (CI, 2.33–52.18). With prehospital defibrillation, the OR for ROSC was 2.70 (CI, 1.03–7.06). With defibrillation at the ED, the OR for survival to discharge was 8.01 (CI, 1.66–38.63).\nWhen the etiology was choking, the OR for ROSC was 2.94 (CI, 1.77–4.89), and when the etiology was traffic accident, the OR for survival to discharge was 0.16 (CI, 0.04–0.72) (Supplementary Table 2). The OR for survival to discharge was highest when the event location was a place of recreation, 8.41 (CI, 2.07–34.07), followed by street/highway at 4.95 (CI, 1.10–22.35), and public/commercial building at 3.01 (CI, 1.20–7.53). The OR for good neurological outcome was also highest when the event location was a place of recreation, 14.19 (CI, 2.09–96.53), followed by an ambulance at 4.25 (CI, 1.10–16.45). When the first responder was family, the OR for survival to discharge was 2.84 (CI, 1.34–6.02). When the first responder was a healthcare provider, the OR for good neurological outcome was 29.81 (CI, 1.97–452.09), and when it was family, the OR was 11.03 (CI, 2.33–52.18). With prehospital defibrillation, the OR for ROSC was 2.70 (CI, 1.03–7.06). With defibrillation at the ED, the OR for survival to discharge was 8.01 (CI, 1.66–38.63).\nMultivariate analysis of group 3 When the etiology was choking, the OR for ROSC was 2.41 (CI, 1.05–5.55) (Supplementary Table 3). When the event location was a place of recreation, the OR for ROSC was 4.35 (CI, 1.16–16.24), and when it was a public/commercial building, the OR for survival to discharge was 4.11 (CI, 1.24–13.64). When the first responder was an acquaintance, the OR for ROSC was 2.64 (CI, 1.28–5.45). When the first responder was EMS, the OR for survival to discharge was 5.59 (CI, 1.24–25.25), and the OR for good neurological outcome was 8.88 (CI, 1.59–49.60). With prehospital defibrillation, the ORs for survival to discharge and good neurologic outcome were 5.91 (CI, 2.61–13.36) and 12.24 (CI, 4.23–35.38), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 8.55 (CI, 1.22–59.69), and with defibrillation at the ED, the OR for survival to discharge was 10.50 (CI, 2.40–46.01).\nWhen the etiology was choking, the OR for ROSC was 2.41 (CI, 1.05–5.55) (Supplementary Table 3). When the event location was a place of recreation, the OR for ROSC was 4.35 (CI, 1.16–16.24), and when it was a public/commercial building, the OR for survival to discharge was 4.11 (CI, 1.24–13.64). When the first responder was an acquaintance, the OR for ROSC was 2.64 (CI, 1.28–5.45). When the first responder was EMS, the OR for survival to discharge was 5.59 (CI, 1.24–25.25), and the OR for good neurological outcome was 8.88 (CI, 1.59–49.60). With prehospital defibrillation, the ORs for survival to discharge and good neurologic outcome were 5.91 (CI, 2.61–13.36) and 12.24 (CI, 4.23–35.38), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 8.55 (CI, 1.22–59.69), and with defibrillation at the ED, the OR for survival to discharge was 10.50 (CI, 2.40–46.01).\nMultivariate analysis of group 4 With an etiology of choking, the ORs for ROSC and survival to discharge were 4.62 (CI, 1.99–10.70) and 3.16 (CI, 1.36–7.33), respectively (Supplementary Table 4). With an etiology of falls, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.32 (CI, 0.20–0.52), 0.16 (CI, 0.06–0.43), and 0.10 (CI, 0.02–0.48), respectively. When the event location was a public/commercial building, the ORs for ROSC, survival to discharge, and good neurological outcome were 2.14 (CI, 1.19–3.85), 3.40 (CI, 1.52–7.57), and 4.64 (CI, 1.47–14.60), respectively. When the event location was an ambulance, the ORs for survival to discharge and good neurologic outcome were 2.60 (CI, 1.20–5.65) and 3.94 (CI, 1.29–12.02), respectively.\nWhen the first responder was an acquaintance, the ORs for ROSC, survival to discharge, and good neurologic outcome were 1.74 (CI, 1.07–2.86), 2.95 (CI, 1.50–5.79), and 2.59 (CI, 1.00–6.71), respectively. When the first responder was family, the ORs for survival to discharge and good neurologic outcome were 2.19 (CI, 1.03–4.67) and 2.03 (CI, 0.67–6.18), respectively.\nWith prehospital defibrillation, the ORs for ROSC, survival to discharge, and good neurologic outcome were 3.39 (CI, 2.12–5.42), 8.83 (CI, 5.24–14.87), and 12.73 (CI, 6.42–25.25), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 3.78 (CI, 1.38–10.37), and the OR for good neurological outcome was 7.12 (CI, 1.57–32.37). With defibrillation at the ED, the OR for survival to discharge was 2.46 (CI, 1.33–4.54), and the OR for good neurological outcome was 11.29 (CI, 3.60–35.45).\nWith an etiology of choking, the ORs for ROSC and survival to discharge were 4.62 (CI, 1.99–10.70) and 3.16 (CI, 1.36–7.33), respectively (Supplementary Table 4). With an etiology of falls, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.32 (CI, 0.20–0.52), 0.16 (CI, 0.06–0.43), and 0.10 (CI, 0.02–0.48), respectively. When the event location was a public/commercial building, the ORs for ROSC, survival to discharge, and good neurological outcome were 2.14 (CI, 1.19–3.85), 3.40 (CI, 1.52–7.57), and 4.64 (CI, 1.47–14.60), respectively. When the event location was an ambulance, the ORs for survival to discharge and good neurologic outcome were 2.60 (CI, 1.20–5.65) and 3.94 (CI, 1.29–12.02), respectively.\nWhen the first responder was an acquaintance, the ORs for ROSC, survival to discharge, and good neurologic outcome were 1.74 (CI, 1.07–2.86), 2.95 (CI, 1.50–5.79), and 2.59 (CI, 1.00–6.71), respectively. When the first responder was family, the ORs for survival to discharge and good neurologic outcome were 2.19 (CI, 1.03–4.67) and 2.03 (CI, 0.67–6.18), respectively.\nWith prehospital defibrillation, the ORs for ROSC, survival to discharge, and good neurologic outcome were 3.39 (CI, 2.12–5.42), 8.83 (CI, 5.24–14.87), and 12.73 (CI, 6.42–25.25), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 3.78 (CI, 1.38–10.37), and the OR for good neurological outcome was 7.12 (CI, 1.57–32.37). With defibrillation at the ED, the OR for survival to discharge was 2.46 (CI, 1.33–4.54), and the OR for good neurological outcome was 11.29 (CI, 3.60–35.45).", "The total population of Korea increased from 50,833,594 in 2009 to 53,599,421 in 2018, but the annual number of births decreased from 454,209 to 348,253 during that time.30 The population of group 1, younger than 1 year, has been decreasing for 10 years, but the IR of pediatric OHCA in group 1 increased from 45.57 to 60.89 (Fig. 1). The IR of pediatric OHCA in group 2 decreased from 5.93 in 2009 to 4.40 in 2018, and the IR of pediatric OHCA in group 3 decreased from 3.89 to 2.81 during the same 10 years. The IR of pediatric OHCA in group 4 increased from 7.15 to 7.32 while the population has been decreasing.\nIR = incidence rate.", "Of the 273,761 OHCAs that occurred in the Republic of Korea between 2009 to 2018, we analyzed 4,561 patients after excluding 267,423 older than 18 years, 613 with no hospital outcome data, 1,238 who were DOA, and 26 with DNR orders (Fig. 2). Of the total study population, group 1 contained 1,448 patients (34.7%); group 2 contained 984 patients (21.6%); group 3 contained 772 patients (16.9%); and group 4 contained 1,357 patients (29.8%).\nOHCA = out-of-hospital cardiac arrest, CPR = cardiopulmonary resuscitation, ED = emergency department.\nThe mean ages of groups 2, 3, and 4 were 2.5 ± 1.4 years, 9.0 ± 2.0 years, and 15.5 ± 1.4 years, respectively. Males accounted for 57.57% of group 1, 60.8% of group 2, 65.9% of group 3, and 70.7% of group 4 (Table 1).\nValues are presented as median ± standard deviation, number (%), or median (interquartile range).\nSUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, ED = emergency department.\nThe most common cause of cardiac arrest in group 1 was SUID (51.5%), followed by cardiac origin (24.2%) and choking (12.0%). In the other age groups, injury (group 2, 46.1%; group 3, 55.7%; group 4, 66.2%) was the most common cause of cardiac arrest, followed by cardiac origin (group 2, 41.7%; group 3, 38.9%; group 4, 30.6%).\nIn group 1, choking was the most common cause of cardiac arrest caused by injury, whereas that in group 2 was traffic accident (14.8%) followed by choking (9.6%); in group 3, it was traffic accident (22.3%) followed by drowning (12.8%); and in group 4, it was fall (23.4%) followed by traffic accident (20.6%). Fig. 3 shows the annual changes in injuries that caused pediatric OHCA. In groups 1 and 3, the proportion of injury decreased during the 10-year study period, but it has been increasing in groups 2 and 4 since 2015.\nMost of the OHCAs (group 1, 80.2%; group 2, 60.8%; group 3, 47.4%; group 4, 51.2%) occurred at the patient’s home. First responders were often family in all age groups (group 1, 81.6%, group 2, 60.7%, group 3, 40.8%, group 4, 32.6%). The rate of bystander CPR and prehospital defibrillation rate were less than 10% in all age groups.\nOnly 0.8% of group 1, 0.8% of group 2, 1.6% of group 3, and 2.7% of group 4 initially presented in the ED with a shockable rhythm; and 5.8% of group 1, 8.8% of group 2, 16.8% of group 3, and 19.5% of group 4 received defibrillation at the ED. The median time between the OHCA and arrival at the ED was 104.5 minutes in group 1, 37 minutes in group 2, 30 minutes in group 3, and 30 minutes in group 4. Median CPR duration in the ED was 30 minutes in groups 1, 2, and 3 and 26 minutes in group 4.", "Group 4 had the highest survival to hospital discharge rate (9.7%), followed by group 2 (9.5%), group 3 (7.8%), and group 1 (7.1%; Table 2). The rate of good neurologic outcome was also highest in group 4 (4.9%) and lowest in group 1 (3.2%). Fig. 4 shows the trends of pediatric OHCA outcomes from 2009 to 2018. During that 10-year period, ROSC, survival to discharge, and good neurological outcome did not noticeably improve.\nValues are presented as number (%).\nROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category.\naBonferroni-adjusted two-sided significance level is P < 0.008. Groups 1 and 3, and groups 1 and 4 differed significantly.\nbWhen using Bonferroni-adjusted P < 0.008, no pairwise comparisons among groups were significant.\nROSC = return of spontaneous circulation.", "The model used for multivariate analysis contained variables that were significant in univariate analysis or were important according to the opinions of researchers: age, sex, weekday or weekend event occurrence, past medical history, etiology, location of OHCA, first responder type, bystander CPR, prehospital delivery of AED shock, initial ECG rhythm at ED and defibrillation at ED. Multivariate analyses by age group were also performed and are presented as Supplementary Tables 1, 2, 3, 4.", "The odds ratio (OR) for survival to discharge with group 1 as the reference was 0.55 (CI, 0.37–0.82) in group 3 (Table 3). The values in the other age groups were not significant. For etiology, cardiac disease was the reference for analysis. The OR for ROSC was 1.86 (CI, 1.43–2.43) for choking, 0.51 (CI, 0.38–0.70) for falls, and 0.36 (CI, 0.27–0.48) for SUID. The OR for survival to discharge was 0.23 (CI, 0.10–0.54) for traffic accident, 0.17 (CI, 0.08–0.35) for falls, and 0.11 (CI, 0.06–0.20) for SUID. The OR for good neurologic outcome was 0.24 (CI, 0.09–0.62) for falls, 0.23 (CI, 0.05–0.94) for traffic accident, and 0.06 (CI, 0.02–0.18) for SUID.\nOR = odds ratio, CI = confidence interval, ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category, SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, AED = automated external defibrillator, ED = emergency department.\n*P < 0.05.\nWith home residence as the reference OHCA location, the OR for ROSC following an OHCA in a place of recreation was 2.89 (CI, 1.48–5.61), and that following an OHCA in a public/commercial building was 1.75 (CI, 1.26–2.42). The OR of survival to discharge in a place of recreation was 3.43 (CI, 1.51–7.77), and that in a public/commercial building was 2.78 (CI, 1.79–4.31). The OR for good neurologic outcome following an OHCA in a public/commercial building was 3.73 (CI, 2.03–6.84), that in a place of recreation was 2.51 (CI, 1.47–4.28), and that in an ambulance was 4.63 (CI, 1.79–11.98).\nWhen the reference for first responder type was unknown, the OR for ROSC was highest with EMS at 2.65 (CI, 1.74–4.03), followed by healthcare provider at 2.15 (CI, 1.14–4.04), acquaintance at 1.83 (CI, 1.31–2.57), and family member at 1.31 (CI, 1.03–1.68). The OR for survival to discharge was highest with a healthcare provider at 3.25 (CI, 1.43–7.37), followed by acquaintance at 3.05 (CI, 1.89–4.92), EMS at 2.97 (CI, 1.30–5.51), and family member at 2.07 (CI, 1.38–3.10). The OR for good neurologic outcome was highest with EMS at 4.66 (CI, 2.03–10.72), followed by healthcare provider at 4.25 (CI, 1.52–11.87), family member at 2.79 (CI, 1.57–4.95), and acquaintance at 2.32 (CI, 1.18 – 4.57).\nWith prehospital delivery of AED shock, the OR for good neurologic outcome was 7.96 (CI, 5.09–12.43), that for survival to discharge was 5.86 (CI, 4.09–8.39), and that for ROSC was 2.74 (CI, 1.99–3.78). With an initial shockable rhythm at the ED, the OR for good neurologic outcome was 4.76 (CI, 1.95–11.60), and that for survival to discharge was 3.84 (CI, 1.96–7.55). With defibrillation at the ED, the OR for ROSC was 0.80 (CI, 0.64–1.00), that for survival to discharge was 0.36 (CI, 0.24–0.55), and that for good neurologic outcome was 0.19 (CI, 0.10–0.38).", "The OR for ROSC was 0.71 (CI, 0.54–0.93) in males (Supplementary Table 1). With an etiology of SUID, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.35 (CI, 0.25–0.48), 0.08 (CI, 0.04–0.16), and 0.06 (CI, 0.02–0.20), respectively. With an etiology of drowning, the OR for good neurological outcome was 4.95 (CI, 1.17–20.91). With healthcare facility as the location, the OR for ROSC was 3.09 (CI, 1.02–9.34). The OR for ROSC was highest when EMS was the first responder, 9.44 (CI, 2.46–36.29), followed by acquaintance at 3.26 (CI, 1.20–8.88). The OR for survival to discharge was highest when an acquaintance was the first responder, 19.60 (CI, 4.35–88.19), followed by EMS at 11.39 (CI, 1.91–67.98). However, neither of those variables was significant for good neurologic outcome.", "When the etiology was choking, the OR for ROSC was 2.94 (CI, 1.77–4.89), and when the etiology was traffic accident, the OR for survival to discharge was 0.16 (CI, 0.04–0.72) (Supplementary Table 2). The OR for survival to discharge was highest when the event location was a place of recreation, 8.41 (CI, 2.07–34.07), followed by street/highway at 4.95 (CI, 1.10–22.35), and public/commercial building at 3.01 (CI, 1.20–7.53). The OR for good neurological outcome was also highest when the event location was a place of recreation, 14.19 (CI, 2.09–96.53), followed by an ambulance at 4.25 (CI, 1.10–16.45). When the first responder was family, the OR for survival to discharge was 2.84 (CI, 1.34–6.02). When the first responder was a healthcare provider, the OR for good neurological outcome was 29.81 (CI, 1.97–452.09), and when it was family, the OR was 11.03 (CI, 2.33–52.18). With prehospital defibrillation, the OR for ROSC was 2.70 (CI, 1.03–7.06). With defibrillation at the ED, the OR for survival to discharge was 8.01 (CI, 1.66–38.63).", "When the etiology was choking, the OR for ROSC was 2.41 (CI, 1.05–5.55) (Supplementary Table 3). When the event location was a place of recreation, the OR for ROSC was 4.35 (CI, 1.16–16.24), and when it was a public/commercial building, the OR for survival to discharge was 4.11 (CI, 1.24–13.64). When the first responder was an acquaintance, the OR for ROSC was 2.64 (CI, 1.28–5.45). When the first responder was EMS, the OR for survival to discharge was 5.59 (CI, 1.24–25.25), and the OR for good neurological outcome was 8.88 (CI, 1.59–49.60). With prehospital defibrillation, the ORs for survival to discharge and good neurologic outcome were 5.91 (CI, 2.61–13.36) and 12.24 (CI, 4.23–35.38), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 8.55 (CI, 1.22–59.69), and with defibrillation at the ED, the OR for survival to discharge was 10.50 (CI, 2.40–46.01).", "With an etiology of choking, the ORs for ROSC and survival to discharge were 4.62 (CI, 1.99–10.70) and 3.16 (CI, 1.36–7.33), respectively (Supplementary Table 4). With an etiology of falls, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.32 (CI, 0.20–0.52), 0.16 (CI, 0.06–0.43), and 0.10 (CI, 0.02–0.48), respectively. When the event location was a public/commercial building, the ORs for ROSC, survival to discharge, and good neurological outcome were 2.14 (CI, 1.19–3.85), 3.40 (CI, 1.52–7.57), and 4.64 (CI, 1.47–14.60), respectively. When the event location was an ambulance, the ORs for survival to discharge and good neurologic outcome were 2.60 (CI, 1.20–5.65) and 3.94 (CI, 1.29–12.02), respectively.\nWhen the first responder was an acquaintance, the ORs for ROSC, survival to discharge, and good neurologic outcome were 1.74 (CI, 1.07–2.86), 2.95 (CI, 1.50–5.79), and 2.59 (CI, 1.00–6.71), respectively. When the first responder was family, the ORs for survival to discharge and good neurologic outcome were 2.19 (CI, 1.03–4.67) and 2.03 (CI, 0.67–6.18), respectively.\nWith prehospital defibrillation, the ORs for ROSC, survival to discharge, and good neurologic outcome were 3.39 (CI, 2.12–5.42), 8.83 (CI, 5.24–14.87), and 12.73 (CI, 6.42–25.25), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 3.78 (CI, 1.38–10.37), and the OR for good neurological outcome was 7.12 (CI, 1.57–32.37). With defibrillation at the ED, the OR for survival to discharge was 2.46 (CI, 1.33–4.54), and the OR for good neurological outcome was 11.29 (CI, 3.60–35.45).", "This study is the most recent nationwide OHCA study to investigate pediatric patients across a 10-year period using detailed variables and clinical outcomes. Although the population of all pediatric age groups has decreased during the past 10 years, the IR of OHCA has decreased in groups 2 and 3 and increased in groups 1 and 4 (Fig. 1). Furthermore, the clinical outcomes have not improved in any of the pediatric groups (Fig. 3). We found significant differences between age groups in IR, etiology, and clinical outcomes. Cardiac arrest on a weekend, at a public/commercial building or place of entertainment, first responder type, prehospital delivery of an AED shock, initial shockable rhythm at the ED, and defibrillation at the ED were all associated with survival to discharge.\nOver 10 years, the IR of OHCA has decreased in groups 2 and 3 but increased in groups 1 and 4 (Fig. 1). Looking at the trend over 10 years, all clinical outcomes of overall pediatric groups were not improved over 10 years (Fig. 3). The survival to discharge rate in groups 1 and 2 deteriorated slightly, and that in groups 3 and 4 improved slightly. Group 4 showed the most favorable outcomes in terms of ROSC, survival to discharge, and good neurological outcomes, which is consistent with previous nationwide studies (Table 2).3334 Group 4 also had good prognostic factors, such as prehospital AED shock, initial shockable rhythm at ED, and a higher likelihood that the OHCA occurred in a public location (Table 1).35 The poorer prognosis of group 1 might be because children younger than 1 year have less physiological reserve and increased vulnerability to cardiac arrest compared with older children.3637\nIn group 1, SUID accounted for more than 50% of all cases and is related to poor survival outcomes (Table 1). Most cardiac arrests in group 1 occurred at home (80.2%) and most first responders were family members (81.6%). SUID occurs during unobserved sleep and is not recognized early.38 Therefore, the median time between the last normal time and the arrival in the ED was 104 minutes, longer than in the age groups. Moreover, prehospital defibrillation was conducted in only 0.8% of the patients in age group 1. These findings suggest that parents recognized their infant’s cardiac arrest long after it happened, which could have contributed to the low survival rate in group 1. Therefore, it is important to monitor infants at high risk for SUID and to teach parents to place their infants in a supine position on a firm surface to sleep and get regular check-ups for their baby.39 It is also important to teach parents the early sign of cardiac arrest, EMS activation and bystander CPR, which are crucial elements in the chain of survival.1340\nChoking was the etiology for 12% of the OHCAs in group 1 and 9.6% of those in group 2. Choking correlated with a relatively good ROSC rate and is generally preventable by caregivers (Table 3).41 Guardians for children in these age groups should learn how to prevent suffocation and cope with choking accidents through training in the Heimlich maneuver.\nIn group 2, the influence of disease on OHCA decreased, and the influence of injury increased (Table 1). Traffic accident as a cause increased remarkably and was related to poor survival (Table 3). Group 2 is an age group with high physical activity and a poor understanding of safety, so the attention of a guardian is necessary.\nIn group 3, more than 50% of OHCAs were due to injury, primarily traffic accidents and drowning (Table 1). Because OHCAs caused by safety accidents occurred remarkably often in group 3, safety education for elementary school students needs to be strengthened, and parents need pay attention when their children ride bicycles, kickboards, or play in the water.\nIn group 4, falls accounted for 23.4% of OHCAs, the most common injury cause in this group (Table 1). Falls correlated with poor ROSC, survival to discharge, and neurologic outcomes (Table 3). Although intentionality was not considered in this study, falls might be related to suicide, which is the leading cause of death among people aged 10 to 29 in Korea.42 Therefore, prevention of cardiac arrest needs to include suicide prevention strategies.\nOverall, OHCAs that occurred in public places such as a public/commercial building or place of recreation had good survival outcomes (Table 3). When the first responder was EMS, a healthcare provider, or an acquaintance, patients showed a better survival to discharge rate than when family members were the first responders. The bystander CPR rate was 8.6–9.1% in our study, which is higher than the 2.9% reported in the 2006–2007 KOHCAR (Table 1).6 Bystander CPR correlated with a good survival to discharge rate, but the association was not significant (Table 3).\nMost cardiac arrests in group 1 occurred at home (80.2%), the first responders were mostly family members (81.6%), and the bystander CPR rate was low (Table 1). The poor outcomes in this age group could be due to the etiology of SUID. Also, strong emotional stress and failure to recognize the signs of death might have complicated family members’ initial resuscitative efforts.34\nAge groups 2, 3, and 4 showed better survival outcomes when the OHCA occurred in a public place than at home, though stratified analyses showed variations among age groups (Supplementary Tables 2, 3, 4). Group 2 is the age group most likely to be sent to childcare and educational facilities away from their families, so the rate of OHCAs at home decreased.43 As physical activity increases in this age group, awareness of the OHCA situation is faster, and the survival outcomes were good even when the first responder was a family member (Supplementary Table 2).\nFrom group 1 to group 4, the proportions of patients with prehospital delivery of AED shock, initial shockable ECG rhythm at ED, and defibrillation at ED increased (Table 1). In other words, a shockable ECG rhythm and high-quality CPR using AED increased with age. It is known that a shockable ECG rhythm is a good prognostic factor in cardiac arrest.44 Prehospital delivery of AED shock in groups 3 and 4 correlated with good survival to discharge and good neurologic outcomes in our study (Supplementary Tables 3 and 4). Also, a shockable ECG rhythm and defibrillation at the ED correlated with a good survival to discharge rate in groups 3 and 4.\nThe main limitation of this study is its retrospective observational nature. Therefore, it can show associations but not establish causal relationships and there is a limitation to the analysis by each variable. Second, only OHCA cases reported to emergency services were analyzed in this study; cases transferred to a hospital without calling for an ambulance were not included. Third, because the data used in this study were collected from hospital medical records, we could not control for incomplete or inaccurate records. Because survival outcomes for transferred patients have been recorded only since 2015, all data for transferred patients had to be excluded. Nonetheless, we did our best to maintain the quality of the data. Fourth, the time-related information recorded in the records is insufficient for analysis. The KOHCAR data contain the arrest time, EMS call time, ED arrival time, defibrillation time, and CPR end time. To evaluate the response time and time on-scene, which could be used to improve EMS in the Republic of Korea, the on-site arrival time and on-site departure time should also be included in the KOHCAR data.\nIn conclusion, this study reports comprehensive trends in pediatric OHCA in Republic of Korea. Our findings imply that preventive methods for the targeted population should be customized by age group because factors important in cardiac arrest differ by age." ]
[ "intro", "methods", null, null, null, null, null, null, "ethics-statement", "results", null, null, null, null, null, null, null, null, null, "discussion" ]
[ "Out-of-Hospital Cardiac Arrest", "Pediatrics", "Cardiopulmonary Resuscitation", "Population Surveillance", "Age Groups" ]
INTRODUCTION: Unexpected cardiac arrest is a major health problem worldwide.1 The incidence of pediatric out-of-hospital cardiac arrest (OHCA) is 1–20 per 100,000 person-years, and the survival rate and neurologic outcomes of pediatric OHCA are poor, with regional variation.234567 The relatively small number of cases and poor survival outcomes cast doubt on the value of pediatric cardiopulmonary resuscitation (CPR).78910 Nevertheless, the survival outcomes of pediatric OHCA patients need to be improved; because of children’s long potential life expectancy, even a few deaths from pediatric cardiac arrest cause significant social and economic losses.11 In the Republic of Korea, the government has endeavored to improve the chain of survival through the National OHCA registry, regular public reports, a mandatory CPR training program, a telephone-assisted CPR program, and medical oversight for emergency medical service (EMS) CPR performance since 2008.1213 Due to those efforts, the survival outcomes of adult OHCA patients in the Republic of Korea have improved, but the survival rate of pediatric OHCA patients has not changed significantly.31415 Epidemiological analyses of OHCA have allowed researchers to find vulnerabilities in the chain of survival and to improve survival outcomes during the past few decades.16 Some studies have reported age-related variations in the mechanisms of OHCA and survival outcomes.17181920 Children’s growth and development vary significantly with age.21222324 As a result, the mechanism of OHCA and survival outcomes also vary significantly with age. Understanding the characteristics and patterns of OHCA in each age group is critical for designing long-term national prevention measures, age-specific resuscitation care strategies, and pediatric OHCA training programs. New policies are based on epidemiology research, so it is necessary to analyze recent trends and identify variables that affect survival outcomes.1214 In addition, the delivery of pre-hospital emergency care differs from country to country, so research using regional data is needed.62526 Our aim in this study was to use data from the Korea OHCA Registry (KOHCAR) to assess the most recent trends in the epidemiology and survival outcomes of pediatric OHCA patients and to analyze the factors that influence survival outcomes. METHODS: Study setting The Republic of Korea occupies an area of 100,431.8 km2 and has a population of more than 50 million people.2728 The Korean EMS is a single-tiered system operated by the government,29 that employs 13,133 EMS personnel and 1,579 EMS vehicles in 17 divisions.29 The EMS transports patients to 517 emergency departments (EDs) across the country.29 EMS personnel are divided into level 1 and level 2 paramedics.29 The Republic of Korea occupies an area of 100,431.8 km2 and has a population of more than 50 million people.2728 The Korean EMS is a single-tiered system operated by the government,29 that employs 13,133 EMS personnel and 1,579 EMS vehicles in 17 divisions.29 The EMS transports patients to 517 emergency departments (EDs) across the country.29 EMS personnel are divided into level 1 and level 2 paramedics.29 Data source We analyzed data from Korean statistics and KOHCAR in the Republic of Korea. The annual total and age-group population and populations of the Republic of Korea were obtained from the Korean Statistical Information Service.30 KOHCAR is maintained by the Korea Disease Control and Prevention Agency (KDCA) in cooperation with the national fire agency, and it contains information about all cardiac arrest patients transported to a hospital via EMS.12 To control the data quality, KDCA employs and trains medical record reviewers to maintain standardized medical records.31 They visit every hospital to assess the records and collect information about treatment and clinical outcomes according to the Utstein guidelines.31 These processes are supervised every month by a national cardiac arrest investigation and surveillance committee that consists of emergency physicians, epidemiologists, statisticians, and medical record reviewers.123132 We analyzed data from Korean statistics and KOHCAR in the Republic of Korea. The annual total and age-group population and populations of the Republic of Korea were obtained from the Korean Statistical Information Service.30 KOHCAR is maintained by the Korea Disease Control and Prevention Agency (KDCA) in cooperation with the national fire agency, and it contains information about all cardiac arrest patients transported to a hospital via EMS.12 To control the data quality, KDCA employs and trains medical record reviewers to maintain standardized medical records.31 They visit every hospital to assess the records and collect information about treatment and clinical outcomes according to the Utstein guidelines.31 These processes are supervised every month by a national cardiac arrest investigation and surveillance committee that consists of emergency physicians, epidemiologists, statisticians, and medical record reviewers.123132 Study population Pediatric patients (younger than 18 years) with OHCA between 2009 and 2018 were selected. Cardiac arrest cases were selected when the chief complaint was cardiac arrest or respiratory arrest and EMS personnel performed CPR. We excluded patients who were dead-on-arrival (DOA), had do-not-resuscitate (DNR) orders, or whose outcome information was missing. We divided the patients into four groups by age: group 1, younger than 1 year; group 2, 1 to 5 years; group 3, 6 to 12 years; and group 4, 13 to 17 years. Pediatric patients (younger than 18 years) with OHCA between 2009 and 2018 were selected. Cardiac arrest cases were selected when the chief complaint was cardiac arrest or respiratory arrest and EMS personnel performed CPR. We excluded patients who were dead-on-arrival (DOA), had do-not-resuscitate (DNR) orders, or whose outcome information was missing. We divided the patients into four groups by age: group 1, younger than 1 year; group 2, 1 to 5 years; group 3, 6 to 12 years; and group 4, 13 to 17 years. Variables We collected the following demographic information about the patients: sex, age, and medical history. Prehospital data were the date, location, and etiology of OHCA; the type of first responder; and whether the patient received bystander CPR or prehospital treatment from an automated external defibrillator (AED). The analyzed hospital data were ED visit time, initial electrocardiography (ECG) rhythm in the ED, defibrillation in the ED, and CPR duration. ‘Cardiac origin’ describes cardiac arrest caused by failure of the heart itself and cases in which the cause of cardiac arrest is unknown. ‘Respiratory origin’ describes patients with a high-risk respiratory disease and those with acute respiratory distress observed prior to cardiac arrest. ‘Sudden unexpected infant death (SUID)’ describes cases in which a patient younger than 13 months is found dead in bed or when a doctor records sudden infant death syndrome as the cause of death. ‘Other diseases’ describe cases in which the cause of cardiac arrest is clearly diagnosed. An event location of ‘home residence’ indicates cardiac events that occurred in houses, parking lots, on-site playgrounds or swimming pools, dormitories, and orphanages. An event location of ‘healthcare facilities’ indicates that the event occurred in a medical institution, defined by Korean medical law as midwifery centers, oriental medicine clinics, dental clinics, and hospitals. ‘Places of recreation’ are amusement parks, botanical gardens, parks, theaters, and exhibitions. ‘Public/commercial buildings’ are schools, public institutions, bus terminals, airports, stores, restaurants, and hotels. Kindergartens, daycare centers, and religious buildings are categorized as other. The time from arrest to arrival at the ED is defined as the time from cardiac arrest (or the last normal time) until ED arrival. CPR duration is defined as time from ED arrival to the end of CPR. We collected the following demographic information about the patients: sex, age, and medical history. Prehospital data were the date, location, and etiology of OHCA; the type of first responder; and whether the patient received bystander CPR or prehospital treatment from an automated external defibrillator (AED). The analyzed hospital data were ED visit time, initial electrocardiography (ECG) rhythm in the ED, defibrillation in the ED, and CPR duration. ‘Cardiac origin’ describes cardiac arrest caused by failure of the heart itself and cases in which the cause of cardiac arrest is unknown. ‘Respiratory origin’ describes patients with a high-risk respiratory disease and those with acute respiratory distress observed prior to cardiac arrest. ‘Sudden unexpected infant death (SUID)’ describes cases in which a patient younger than 13 months is found dead in bed or when a doctor records sudden infant death syndrome as the cause of death. ‘Other diseases’ describe cases in which the cause of cardiac arrest is clearly diagnosed. An event location of ‘home residence’ indicates cardiac events that occurred in houses, parking lots, on-site playgrounds or swimming pools, dormitories, and orphanages. An event location of ‘healthcare facilities’ indicates that the event occurred in a medical institution, defined by Korean medical law as midwifery centers, oriental medicine clinics, dental clinics, and hospitals. ‘Places of recreation’ are amusement parks, botanical gardens, parks, theaters, and exhibitions. ‘Public/commercial buildings’ are schools, public institutions, bus terminals, airports, stores, restaurants, and hotels. Kindergartens, daycare centers, and religious buildings are categorized as other. The time from arrest to arrival at the ED is defined as the time from cardiac arrest (or the last normal time) until ED arrival. CPR duration is defined as time from ED arrival to the end of CPR. Outcome The primary outcome was survival to hospital discharge. The secondary outcomes were return of spontaneous circulation (ROSC) at the ED and good neurological status, defined as a pediatric cerebral performance category (PCPC) of 1 or 2 at discharge. PCPC is classified as 1 for good cerebral performance and 2 for moderate cerebral disability. The primary outcome was survival to hospital discharge. The secondary outcomes were return of spontaneous circulation (ROSC) at the ED and good neurological status, defined as a pediatric cerebral performance category (PCPC) of 1 or 2 at discharge. PCPC is classified as 1 for good cerebral performance and 2 for moderate cerebral disability. Statistical analysis Categorical variables are reported as number and percentage (%), and continuous variables are reported as mean with standard deviation. We performed logistic regression analysis to examine the population-based incidence rates (IRs) with 95% confidence intervals (CIs) for each outcome with age and sex adjustment. Univariate and multivariate logistic regression analyses were conducted to find factors associated with the outcomes of pediatric OHCA. P < 0.05 was considered to indicate statistical significance in all statistical tests. The post hoc analysis used Bonferroni correction. R statistical software version 4.0.5 (R Foundation for Statistical Computing, Vienna, Austria) was used for the statistical analyses. Categorical variables are reported as number and percentage (%), and continuous variables are reported as mean with standard deviation. We performed logistic regression analysis to examine the population-based incidence rates (IRs) with 95% confidence intervals (CIs) for each outcome with age and sex adjustment. Univariate and multivariate logistic regression analyses were conducted to find factors associated with the outcomes of pediatric OHCA. P < 0.05 was considered to indicate statistical significance in all statistical tests. The post hoc analysis used Bonferroni correction. R statistical software version 4.0.5 (R Foundation for Statistical Computing, Vienna, Austria) was used for the statistical analyses. Ethics statement This study was reviewed and approved by the Institutional Review Board (IRB) of Samsung Medical Center (IRB number 2021-09-127). The board exempted requirement for informed consent. This study was reviewed and approved by the Institutional Review Board (IRB) of Samsung Medical Center (IRB number 2021-09-127). The board exempted requirement for informed consent. Study setting: The Republic of Korea occupies an area of 100,431.8 km2 and has a population of more than 50 million people.2728 The Korean EMS is a single-tiered system operated by the government,29 that employs 13,133 EMS personnel and 1,579 EMS vehicles in 17 divisions.29 The EMS transports patients to 517 emergency departments (EDs) across the country.29 EMS personnel are divided into level 1 and level 2 paramedics.29 Data source: We analyzed data from Korean statistics and KOHCAR in the Republic of Korea. The annual total and age-group population and populations of the Republic of Korea were obtained from the Korean Statistical Information Service.30 KOHCAR is maintained by the Korea Disease Control and Prevention Agency (KDCA) in cooperation with the national fire agency, and it contains information about all cardiac arrest patients transported to a hospital via EMS.12 To control the data quality, KDCA employs and trains medical record reviewers to maintain standardized medical records.31 They visit every hospital to assess the records and collect information about treatment and clinical outcomes according to the Utstein guidelines.31 These processes are supervised every month by a national cardiac arrest investigation and surveillance committee that consists of emergency physicians, epidemiologists, statisticians, and medical record reviewers.123132 Study population: Pediatric patients (younger than 18 years) with OHCA between 2009 and 2018 were selected. Cardiac arrest cases were selected when the chief complaint was cardiac arrest or respiratory arrest and EMS personnel performed CPR. We excluded patients who were dead-on-arrival (DOA), had do-not-resuscitate (DNR) orders, or whose outcome information was missing. We divided the patients into four groups by age: group 1, younger than 1 year; group 2, 1 to 5 years; group 3, 6 to 12 years; and group 4, 13 to 17 years. Variables: We collected the following demographic information about the patients: sex, age, and medical history. Prehospital data were the date, location, and etiology of OHCA; the type of first responder; and whether the patient received bystander CPR or prehospital treatment from an automated external defibrillator (AED). The analyzed hospital data were ED visit time, initial electrocardiography (ECG) rhythm in the ED, defibrillation in the ED, and CPR duration. ‘Cardiac origin’ describes cardiac arrest caused by failure of the heart itself and cases in which the cause of cardiac arrest is unknown. ‘Respiratory origin’ describes patients with a high-risk respiratory disease and those with acute respiratory distress observed prior to cardiac arrest. ‘Sudden unexpected infant death (SUID)’ describes cases in which a patient younger than 13 months is found dead in bed or when a doctor records sudden infant death syndrome as the cause of death. ‘Other diseases’ describe cases in which the cause of cardiac arrest is clearly diagnosed. An event location of ‘home residence’ indicates cardiac events that occurred in houses, parking lots, on-site playgrounds or swimming pools, dormitories, and orphanages. An event location of ‘healthcare facilities’ indicates that the event occurred in a medical institution, defined by Korean medical law as midwifery centers, oriental medicine clinics, dental clinics, and hospitals. ‘Places of recreation’ are amusement parks, botanical gardens, parks, theaters, and exhibitions. ‘Public/commercial buildings’ are schools, public institutions, bus terminals, airports, stores, restaurants, and hotels. Kindergartens, daycare centers, and religious buildings are categorized as other. The time from arrest to arrival at the ED is defined as the time from cardiac arrest (or the last normal time) until ED arrival. CPR duration is defined as time from ED arrival to the end of CPR. Outcome: The primary outcome was survival to hospital discharge. The secondary outcomes were return of spontaneous circulation (ROSC) at the ED and good neurological status, defined as a pediatric cerebral performance category (PCPC) of 1 or 2 at discharge. PCPC is classified as 1 for good cerebral performance and 2 for moderate cerebral disability. Statistical analysis: Categorical variables are reported as number and percentage (%), and continuous variables are reported as mean with standard deviation. We performed logistic regression analysis to examine the population-based incidence rates (IRs) with 95% confidence intervals (CIs) for each outcome with age and sex adjustment. Univariate and multivariate logistic regression analyses were conducted to find factors associated with the outcomes of pediatric OHCA. P < 0.05 was considered to indicate statistical significance in all statistical tests. The post hoc analysis used Bonferroni correction. R statistical software version 4.0.5 (R Foundation for Statistical Computing, Vienna, Austria) was used for the statistical analyses. Ethics statement: This study was reviewed and approved by the Institutional Review Board (IRB) of Samsung Medical Center (IRB number 2021-09-127). The board exempted requirement for informed consent. RESULTS: Annual trends in pediatric cardiac arrests The total population of Korea increased from 50,833,594 in 2009 to 53,599,421 in 2018, but the annual number of births decreased from 454,209 to 348,253 during that time.30 The population of group 1, younger than 1 year, has been decreasing for 10 years, but the IR of pediatric OHCA in group 1 increased from 45.57 to 60.89 (Fig. 1). The IR of pediatric OHCA in group 2 decreased from 5.93 in 2009 to 4.40 in 2018, and the IR of pediatric OHCA in group 3 decreased from 3.89 to 2.81 during the same 10 years. The IR of pediatric OHCA in group 4 increased from 7.15 to 7.32 while the population has been decreasing. IR = incidence rate. The total population of Korea increased from 50,833,594 in 2009 to 53,599,421 in 2018, but the annual number of births decreased from 454,209 to 348,253 during that time.30 The population of group 1, younger than 1 year, has been decreasing for 10 years, but the IR of pediatric OHCA in group 1 increased from 45.57 to 60.89 (Fig. 1). The IR of pediatric OHCA in group 2 decreased from 5.93 in 2009 to 4.40 in 2018, and the IR of pediatric OHCA in group 3 decreased from 3.89 to 2.81 during the same 10 years. The IR of pediatric OHCA in group 4 increased from 7.15 to 7.32 while the population has been decreasing. IR = incidence rate. Demographics of pediatric OHCA Of the 273,761 OHCAs that occurred in the Republic of Korea between 2009 to 2018, we analyzed 4,561 patients after excluding 267,423 older than 18 years, 613 with no hospital outcome data, 1,238 who were DOA, and 26 with DNR orders (Fig. 2). Of the total study population, group 1 contained 1,448 patients (34.7%); group 2 contained 984 patients (21.6%); group 3 contained 772 patients (16.9%); and group 4 contained 1,357 patients (29.8%). OHCA = out-of-hospital cardiac arrest, CPR = cardiopulmonary resuscitation, ED = emergency department. The mean ages of groups 2, 3, and 4 were 2.5 ± 1.4 years, 9.0 ± 2.0 years, and 15.5 ± 1.4 years, respectively. Males accounted for 57.57% of group 1, 60.8% of group 2, 65.9% of group 3, and 70.7% of group 4 (Table 1). Values are presented as median ± standard deviation, number (%), or median (interquartile range). SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, ED = emergency department. The most common cause of cardiac arrest in group 1 was SUID (51.5%), followed by cardiac origin (24.2%) and choking (12.0%). In the other age groups, injury (group 2, 46.1%; group 3, 55.7%; group 4, 66.2%) was the most common cause of cardiac arrest, followed by cardiac origin (group 2, 41.7%; group 3, 38.9%; group 4, 30.6%). In group 1, choking was the most common cause of cardiac arrest caused by injury, whereas that in group 2 was traffic accident (14.8%) followed by choking (9.6%); in group 3, it was traffic accident (22.3%) followed by drowning (12.8%); and in group 4, it was fall (23.4%) followed by traffic accident (20.6%). Fig. 3 shows the annual changes in injuries that caused pediatric OHCA. In groups 1 and 3, the proportion of injury decreased during the 10-year study period, but it has been increasing in groups 2 and 4 since 2015. Most of the OHCAs (group 1, 80.2%; group 2, 60.8%; group 3, 47.4%; group 4, 51.2%) occurred at the patient’s home. First responders were often family in all age groups (group 1, 81.6%, group 2, 60.7%, group 3, 40.8%, group 4, 32.6%). The rate of bystander CPR and prehospital defibrillation rate were less than 10% in all age groups. Only 0.8% of group 1, 0.8% of group 2, 1.6% of group 3, and 2.7% of group 4 initially presented in the ED with a shockable rhythm; and 5.8% of group 1, 8.8% of group 2, 16.8% of group 3, and 19.5% of group 4 received defibrillation at the ED. The median time between the OHCA and arrival at the ED was 104.5 minutes in group 1, 37 minutes in group 2, 30 minutes in group 3, and 30 minutes in group 4. Median CPR duration in the ED was 30 minutes in groups 1, 2, and 3 and 26 minutes in group 4. Of the 273,761 OHCAs that occurred in the Republic of Korea between 2009 to 2018, we analyzed 4,561 patients after excluding 267,423 older than 18 years, 613 with no hospital outcome data, 1,238 who were DOA, and 26 with DNR orders (Fig. 2). Of the total study population, group 1 contained 1,448 patients (34.7%); group 2 contained 984 patients (21.6%); group 3 contained 772 patients (16.9%); and group 4 contained 1,357 patients (29.8%). OHCA = out-of-hospital cardiac arrest, CPR = cardiopulmonary resuscitation, ED = emergency department. The mean ages of groups 2, 3, and 4 were 2.5 ± 1.4 years, 9.0 ± 2.0 years, and 15.5 ± 1.4 years, respectively. Males accounted for 57.57% of group 1, 60.8% of group 2, 65.9% of group 3, and 70.7% of group 4 (Table 1). Values are presented as median ± standard deviation, number (%), or median (interquartile range). SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, ED = emergency department. The most common cause of cardiac arrest in group 1 was SUID (51.5%), followed by cardiac origin (24.2%) and choking (12.0%). In the other age groups, injury (group 2, 46.1%; group 3, 55.7%; group 4, 66.2%) was the most common cause of cardiac arrest, followed by cardiac origin (group 2, 41.7%; group 3, 38.9%; group 4, 30.6%). In group 1, choking was the most common cause of cardiac arrest caused by injury, whereas that in group 2 was traffic accident (14.8%) followed by choking (9.6%); in group 3, it was traffic accident (22.3%) followed by drowning (12.8%); and in group 4, it was fall (23.4%) followed by traffic accident (20.6%). Fig. 3 shows the annual changes in injuries that caused pediatric OHCA. In groups 1 and 3, the proportion of injury decreased during the 10-year study period, but it has been increasing in groups 2 and 4 since 2015. Most of the OHCAs (group 1, 80.2%; group 2, 60.8%; group 3, 47.4%; group 4, 51.2%) occurred at the patient’s home. First responders were often family in all age groups (group 1, 81.6%, group 2, 60.7%, group 3, 40.8%, group 4, 32.6%). The rate of bystander CPR and prehospital defibrillation rate were less than 10% in all age groups. Only 0.8% of group 1, 0.8% of group 2, 1.6% of group 3, and 2.7% of group 4 initially presented in the ED with a shockable rhythm; and 5.8% of group 1, 8.8% of group 2, 16.8% of group 3, and 19.5% of group 4 received defibrillation at the ED. The median time between the OHCA and arrival at the ED was 104.5 minutes in group 1, 37 minutes in group 2, 30 minutes in group 3, and 30 minutes in group 4. Median CPR duration in the ED was 30 minutes in groups 1, 2, and 3 and 26 minutes in group 4. Outcomes of pediatric OHCA Group 4 had the highest survival to hospital discharge rate (9.7%), followed by group 2 (9.5%), group 3 (7.8%), and group 1 (7.1%; Table 2). The rate of good neurologic outcome was also highest in group 4 (4.9%) and lowest in group 1 (3.2%). Fig. 4 shows the trends of pediatric OHCA outcomes from 2009 to 2018. During that 10-year period, ROSC, survival to discharge, and good neurological outcome did not noticeably improve. Values are presented as number (%). ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category. aBonferroni-adjusted two-sided significance level is P < 0.008. Groups 1 and 3, and groups 1 and 4 differed significantly. bWhen using Bonferroni-adjusted P < 0.008, no pairwise comparisons among groups were significant. ROSC = return of spontaneous circulation. Group 4 had the highest survival to hospital discharge rate (9.7%), followed by group 2 (9.5%), group 3 (7.8%), and group 1 (7.1%; Table 2). The rate of good neurologic outcome was also highest in group 4 (4.9%) and lowest in group 1 (3.2%). Fig. 4 shows the trends of pediatric OHCA outcomes from 2009 to 2018. During that 10-year period, ROSC, survival to discharge, and good neurological outcome did not noticeably improve. Values are presented as number (%). ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category. aBonferroni-adjusted two-sided significance level is P < 0.008. Groups 1 and 3, and groups 1 and 4 differed significantly. bWhen using Bonferroni-adjusted P < 0.008, no pairwise comparisons among groups were significant. ROSC = return of spontaneous circulation. Logistic regression The model used for multivariate analysis contained variables that were significant in univariate analysis or were important according to the opinions of researchers: age, sex, weekday or weekend event occurrence, past medical history, etiology, location of OHCA, first responder type, bystander CPR, prehospital delivery of AED shock, initial ECG rhythm at ED and defibrillation at ED. Multivariate analyses by age group were also performed and are presented as Supplementary Tables 1, 2, 3, 4. The model used for multivariate analysis contained variables that were significant in univariate analysis or were important according to the opinions of researchers: age, sex, weekday or weekend event occurrence, past medical history, etiology, location of OHCA, first responder type, bystander CPR, prehospital delivery of AED shock, initial ECG rhythm at ED and defibrillation at ED. Multivariate analyses by age group were also performed and are presented as Supplementary Tables 1, 2, 3, 4. Multivariate analysis The odds ratio (OR) for survival to discharge with group 1 as the reference was 0.55 (CI, 0.37–0.82) in group 3 (Table 3). The values in the other age groups were not significant. For etiology, cardiac disease was the reference for analysis. The OR for ROSC was 1.86 (CI, 1.43–2.43) for choking, 0.51 (CI, 0.38–0.70) for falls, and 0.36 (CI, 0.27–0.48) for SUID. The OR for survival to discharge was 0.23 (CI, 0.10–0.54) for traffic accident, 0.17 (CI, 0.08–0.35) for falls, and 0.11 (CI, 0.06–0.20) for SUID. The OR for good neurologic outcome was 0.24 (CI, 0.09–0.62) for falls, 0.23 (CI, 0.05–0.94) for traffic accident, and 0.06 (CI, 0.02–0.18) for SUID. OR = odds ratio, CI = confidence interval, ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category, SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, AED = automated external defibrillator, ED = emergency department. *P < 0.05. With home residence as the reference OHCA location, the OR for ROSC following an OHCA in a place of recreation was 2.89 (CI, 1.48–5.61), and that following an OHCA in a public/commercial building was 1.75 (CI, 1.26–2.42). The OR of survival to discharge in a place of recreation was 3.43 (CI, 1.51–7.77), and that in a public/commercial building was 2.78 (CI, 1.79–4.31). The OR for good neurologic outcome following an OHCA in a public/commercial building was 3.73 (CI, 2.03–6.84), that in a place of recreation was 2.51 (CI, 1.47–4.28), and that in an ambulance was 4.63 (CI, 1.79–11.98). When the reference for first responder type was unknown, the OR for ROSC was highest with EMS at 2.65 (CI, 1.74–4.03), followed by healthcare provider at 2.15 (CI, 1.14–4.04), acquaintance at 1.83 (CI, 1.31–2.57), and family member at 1.31 (CI, 1.03–1.68). The OR for survival to discharge was highest with a healthcare provider at 3.25 (CI, 1.43–7.37), followed by acquaintance at 3.05 (CI, 1.89–4.92), EMS at 2.97 (CI, 1.30–5.51), and family member at 2.07 (CI, 1.38–3.10). The OR for good neurologic outcome was highest with EMS at 4.66 (CI, 2.03–10.72), followed by healthcare provider at 4.25 (CI, 1.52–11.87), family member at 2.79 (CI, 1.57–4.95), and acquaintance at 2.32 (CI, 1.18 – 4.57). With prehospital delivery of AED shock, the OR for good neurologic outcome was 7.96 (CI, 5.09–12.43), that for survival to discharge was 5.86 (CI, 4.09–8.39), and that for ROSC was 2.74 (CI, 1.99–3.78). With an initial shockable rhythm at the ED, the OR for good neurologic outcome was 4.76 (CI, 1.95–11.60), and that for survival to discharge was 3.84 (CI, 1.96–7.55). With defibrillation at the ED, the OR for ROSC was 0.80 (CI, 0.64–1.00), that for survival to discharge was 0.36 (CI, 0.24–0.55), and that for good neurologic outcome was 0.19 (CI, 0.10–0.38). The odds ratio (OR) for survival to discharge with group 1 as the reference was 0.55 (CI, 0.37–0.82) in group 3 (Table 3). The values in the other age groups were not significant. For etiology, cardiac disease was the reference for analysis. The OR for ROSC was 1.86 (CI, 1.43–2.43) for choking, 0.51 (CI, 0.38–0.70) for falls, and 0.36 (CI, 0.27–0.48) for SUID. The OR for survival to discharge was 0.23 (CI, 0.10–0.54) for traffic accident, 0.17 (CI, 0.08–0.35) for falls, and 0.11 (CI, 0.06–0.20) for SUID. The OR for good neurologic outcome was 0.24 (CI, 0.09–0.62) for falls, 0.23 (CI, 0.05–0.94) for traffic accident, and 0.06 (CI, 0.02–0.18) for SUID. OR = odds ratio, CI = confidence interval, ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category, SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, AED = automated external defibrillator, ED = emergency department. *P < 0.05. With home residence as the reference OHCA location, the OR for ROSC following an OHCA in a place of recreation was 2.89 (CI, 1.48–5.61), and that following an OHCA in a public/commercial building was 1.75 (CI, 1.26–2.42). The OR of survival to discharge in a place of recreation was 3.43 (CI, 1.51–7.77), and that in a public/commercial building was 2.78 (CI, 1.79–4.31). The OR for good neurologic outcome following an OHCA in a public/commercial building was 3.73 (CI, 2.03–6.84), that in a place of recreation was 2.51 (CI, 1.47–4.28), and that in an ambulance was 4.63 (CI, 1.79–11.98). When the reference for first responder type was unknown, the OR for ROSC was highest with EMS at 2.65 (CI, 1.74–4.03), followed by healthcare provider at 2.15 (CI, 1.14–4.04), acquaintance at 1.83 (CI, 1.31–2.57), and family member at 1.31 (CI, 1.03–1.68). The OR for survival to discharge was highest with a healthcare provider at 3.25 (CI, 1.43–7.37), followed by acquaintance at 3.05 (CI, 1.89–4.92), EMS at 2.97 (CI, 1.30–5.51), and family member at 2.07 (CI, 1.38–3.10). The OR for good neurologic outcome was highest with EMS at 4.66 (CI, 2.03–10.72), followed by healthcare provider at 4.25 (CI, 1.52–11.87), family member at 2.79 (CI, 1.57–4.95), and acquaintance at 2.32 (CI, 1.18 – 4.57). With prehospital delivery of AED shock, the OR for good neurologic outcome was 7.96 (CI, 5.09–12.43), that for survival to discharge was 5.86 (CI, 4.09–8.39), and that for ROSC was 2.74 (CI, 1.99–3.78). With an initial shockable rhythm at the ED, the OR for good neurologic outcome was 4.76 (CI, 1.95–11.60), and that for survival to discharge was 3.84 (CI, 1.96–7.55). With defibrillation at the ED, the OR for ROSC was 0.80 (CI, 0.64–1.00), that for survival to discharge was 0.36 (CI, 0.24–0.55), and that for good neurologic outcome was 0.19 (CI, 0.10–0.38). Multivariate analysis of group 1 The OR for ROSC was 0.71 (CI, 0.54–0.93) in males (Supplementary Table 1). With an etiology of SUID, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.35 (CI, 0.25–0.48), 0.08 (CI, 0.04–0.16), and 0.06 (CI, 0.02–0.20), respectively. With an etiology of drowning, the OR for good neurological outcome was 4.95 (CI, 1.17–20.91). With healthcare facility as the location, the OR for ROSC was 3.09 (CI, 1.02–9.34). The OR for ROSC was highest when EMS was the first responder, 9.44 (CI, 2.46–36.29), followed by acquaintance at 3.26 (CI, 1.20–8.88). The OR for survival to discharge was highest when an acquaintance was the first responder, 19.60 (CI, 4.35–88.19), followed by EMS at 11.39 (CI, 1.91–67.98). However, neither of those variables was significant for good neurologic outcome. The OR for ROSC was 0.71 (CI, 0.54–0.93) in males (Supplementary Table 1). With an etiology of SUID, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.35 (CI, 0.25–0.48), 0.08 (CI, 0.04–0.16), and 0.06 (CI, 0.02–0.20), respectively. With an etiology of drowning, the OR for good neurological outcome was 4.95 (CI, 1.17–20.91). With healthcare facility as the location, the OR for ROSC was 3.09 (CI, 1.02–9.34). The OR for ROSC was highest when EMS was the first responder, 9.44 (CI, 2.46–36.29), followed by acquaintance at 3.26 (CI, 1.20–8.88). The OR for survival to discharge was highest when an acquaintance was the first responder, 19.60 (CI, 4.35–88.19), followed by EMS at 11.39 (CI, 1.91–67.98). However, neither of those variables was significant for good neurologic outcome. Multivariate analysis of group 2 When the etiology was choking, the OR for ROSC was 2.94 (CI, 1.77–4.89), and when the etiology was traffic accident, the OR for survival to discharge was 0.16 (CI, 0.04–0.72) (Supplementary Table 2). The OR for survival to discharge was highest when the event location was a place of recreation, 8.41 (CI, 2.07–34.07), followed by street/highway at 4.95 (CI, 1.10–22.35), and public/commercial building at 3.01 (CI, 1.20–7.53). The OR for good neurological outcome was also highest when the event location was a place of recreation, 14.19 (CI, 2.09–96.53), followed by an ambulance at 4.25 (CI, 1.10–16.45). When the first responder was family, the OR for survival to discharge was 2.84 (CI, 1.34–6.02). When the first responder was a healthcare provider, the OR for good neurological outcome was 29.81 (CI, 1.97–452.09), and when it was family, the OR was 11.03 (CI, 2.33–52.18). With prehospital defibrillation, the OR for ROSC was 2.70 (CI, 1.03–7.06). With defibrillation at the ED, the OR for survival to discharge was 8.01 (CI, 1.66–38.63). When the etiology was choking, the OR for ROSC was 2.94 (CI, 1.77–4.89), and when the etiology was traffic accident, the OR for survival to discharge was 0.16 (CI, 0.04–0.72) (Supplementary Table 2). The OR for survival to discharge was highest when the event location was a place of recreation, 8.41 (CI, 2.07–34.07), followed by street/highway at 4.95 (CI, 1.10–22.35), and public/commercial building at 3.01 (CI, 1.20–7.53). The OR for good neurological outcome was also highest when the event location was a place of recreation, 14.19 (CI, 2.09–96.53), followed by an ambulance at 4.25 (CI, 1.10–16.45). When the first responder was family, the OR for survival to discharge was 2.84 (CI, 1.34–6.02). When the first responder was a healthcare provider, the OR for good neurological outcome was 29.81 (CI, 1.97–452.09), and when it was family, the OR was 11.03 (CI, 2.33–52.18). With prehospital defibrillation, the OR for ROSC was 2.70 (CI, 1.03–7.06). With defibrillation at the ED, the OR for survival to discharge was 8.01 (CI, 1.66–38.63). Multivariate analysis of group 3 When the etiology was choking, the OR for ROSC was 2.41 (CI, 1.05–5.55) (Supplementary Table 3). When the event location was a place of recreation, the OR for ROSC was 4.35 (CI, 1.16–16.24), and when it was a public/commercial building, the OR for survival to discharge was 4.11 (CI, 1.24–13.64). When the first responder was an acquaintance, the OR for ROSC was 2.64 (CI, 1.28–5.45). When the first responder was EMS, the OR for survival to discharge was 5.59 (CI, 1.24–25.25), and the OR for good neurological outcome was 8.88 (CI, 1.59–49.60). With prehospital defibrillation, the ORs for survival to discharge and good neurologic outcome were 5.91 (CI, 2.61–13.36) and 12.24 (CI, 4.23–35.38), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 8.55 (CI, 1.22–59.69), and with defibrillation at the ED, the OR for survival to discharge was 10.50 (CI, 2.40–46.01). When the etiology was choking, the OR for ROSC was 2.41 (CI, 1.05–5.55) (Supplementary Table 3). When the event location was a place of recreation, the OR for ROSC was 4.35 (CI, 1.16–16.24), and when it was a public/commercial building, the OR for survival to discharge was 4.11 (CI, 1.24–13.64). When the first responder was an acquaintance, the OR for ROSC was 2.64 (CI, 1.28–5.45). When the first responder was EMS, the OR for survival to discharge was 5.59 (CI, 1.24–25.25), and the OR for good neurological outcome was 8.88 (CI, 1.59–49.60). With prehospital defibrillation, the ORs for survival to discharge and good neurologic outcome were 5.91 (CI, 2.61–13.36) and 12.24 (CI, 4.23–35.38), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 8.55 (CI, 1.22–59.69), and with defibrillation at the ED, the OR for survival to discharge was 10.50 (CI, 2.40–46.01). Multivariate analysis of group 4 With an etiology of choking, the ORs for ROSC and survival to discharge were 4.62 (CI, 1.99–10.70) and 3.16 (CI, 1.36–7.33), respectively (Supplementary Table 4). With an etiology of falls, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.32 (CI, 0.20–0.52), 0.16 (CI, 0.06–0.43), and 0.10 (CI, 0.02–0.48), respectively. When the event location was a public/commercial building, the ORs for ROSC, survival to discharge, and good neurological outcome were 2.14 (CI, 1.19–3.85), 3.40 (CI, 1.52–7.57), and 4.64 (CI, 1.47–14.60), respectively. When the event location was an ambulance, the ORs for survival to discharge and good neurologic outcome were 2.60 (CI, 1.20–5.65) and 3.94 (CI, 1.29–12.02), respectively. When the first responder was an acquaintance, the ORs for ROSC, survival to discharge, and good neurologic outcome were 1.74 (CI, 1.07–2.86), 2.95 (CI, 1.50–5.79), and 2.59 (CI, 1.00–6.71), respectively. When the first responder was family, the ORs for survival to discharge and good neurologic outcome were 2.19 (CI, 1.03–4.67) and 2.03 (CI, 0.67–6.18), respectively. With prehospital defibrillation, the ORs for ROSC, survival to discharge, and good neurologic outcome were 3.39 (CI, 2.12–5.42), 8.83 (CI, 5.24–14.87), and 12.73 (CI, 6.42–25.25), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 3.78 (CI, 1.38–10.37), and the OR for good neurological outcome was 7.12 (CI, 1.57–32.37). With defibrillation at the ED, the OR for survival to discharge was 2.46 (CI, 1.33–4.54), and the OR for good neurological outcome was 11.29 (CI, 3.60–35.45). With an etiology of choking, the ORs for ROSC and survival to discharge were 4.62 (CI, 1.99–10.70) and 3.16 (CI, 1.36–7.33), respectively (Supplementary Table 4). With an etiology of falls, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.32 (CI, 0.20–0.52), 0.16 (CI, 0.06–0.43), and 0.10 (CI, 0.02–0.48), respectively. When the event location was a public/commercial building, the ORs for ROSC, survival to discharge, and good neurological outcome were 2.14 (CI, 1.19–3.85), 3.40 (CI, 1.52–7.57), and 4.64 (CI, 1.47–14.60), respectively. When the event location was an ambulance, the ORs for survival to discharge and good neurologic outcome were 2.60 (CI, 1.20–5.65) and 3.94 (CI, 1.29–12.02), respectively. When the first responder was an acquaintance, the ORs for ROSC, survival to discharge, and good neurologic outcome were 1.74 (CI, 1.07–2.86), 2.95 (CI, 1.50–5.79), and 2.59 (CI, 1.00–6.71), respectively. When the first responder was family, the ORs for survival to discharge and good neurologic outcome were 2.19 (CI, 1.03–4.67) and 2.03 (CI, 0.67–6.18), respectively. With prehospital defibrillation, the ORs for ROSC, survival to discharge, and good neurologic outcome were 3.39 (CI, 2.12–5.42), 8.83 (CI, 5.24–14.87), and 12.73 (CI, 6.42–25.25), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 3.78 (CI, 1.38–10.37), and the OR for good neurological outcome was 7.12 (CI, 1.57–32.37). With defibrillation at the ED, the OR for survival to discharge was 2.46 (CI, 1.33–4.54), and the OR for good neurological outcome was 11.29 (CI, 3.60–35.45). Annual trends in pediatric cardiac arrests: The total population of Korea increased from 50,833,594 in 2009 to 53,599,421 in 2018, but the annual number of births decreased from 454,209 to 348,253 during that time.30 The population of group 1, younger than 1 year, has been decreasing for 10 years, but the IR of pediatric OHCA in group 1 increased from 45.57 to 60.89 (Fig. 1). The IR of pediatric OHCA in group 2 decreased from 5.93 in 2009 to 4.40 in 2018, and the IR of pediatric OHCA in group 3 decreased from 3.89 to 2.81 during the same 10 years. The IR of pediatric OHCA in group 4 increased from 7.15 to 7.32 while the population has been decreasing. IR = incidence rate. Demographics of pediatric OHCA: Of the 273,761 OHCAs that occurred in the Republic of Korea between 2009 to 2018, we analyzed 4,561 patients after excluding 267,423 older than 18 years, 613 with no hospital outcome data, 1,238 who were DOA, and 26 with DNR orders (Fig. 2). Of the total study population, group 1 contained 1,448 patients (34.7%); group 2 contained 984 patients (21.6%); group 3 contained 772 patients (16.9%); and group 4 contained 1,357 patients (29.8%). OHCA = out-of-hospital cardiac arrest, CPR = cardiopulmonary resuscitation, ED = emergency department. The mean ages of groups 2, 3, and 4 were 2.5 ± 1.4 years, 9.0 ± 2.0 years, and 15.5 ± 1.4 years, respectively. Males accounted for 57.57% of group 1, 60.8% of group 2, 65.9% of group 3, and 70.7% of group 4 (Table 1). Values are presented as median ± standard deviation, number (%), or median (interquartile range). SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, ED = emergency department. The most common cause of cardiac arrest in group 1 was SUID (51.5%), followed by cardiac origin (24.2%) and choking (12.0%). In the other age groups, injury (group 2, 46.1%; group 3, 55.7%; group 4, 66.2%) was the most common cause of cardiac arrest, followed by cardiac origin (group 2, 41.7%; group 3, 38.9%; group 4, 30.6%). In group 1, choking was the most common cause of cardiac arrest caused by injury, whereas that in group 2 was traffic accident (14.8%) followed by choking (9.6%); in group 3, it was traffic accident (22.3%) followed by drowning (12.8%); and in group 4, it was fall (23.4%) followed by traffic accident (20.6%). Fig. 3 shows the annual changes in injuries that caused pediatric OHCA. In groups 1 and 3, the proportion of injury decreased during the 10-year study period, but it has been increasing in groups 2 and 4 since 2015. Most of the OHCAs (group 1, 80.2%; group 2, 60.8%; group 3, 47.4%; group 4, 51.2%) occurred at the patient’s home. First responders were often family in all age groups (group 1, 81.6%, group 2, 60.7%, group 3, 40.8%, group 4, 32.6%). The rate of bystander CPR and prehospital defibrillation rate were less than 10% in all age groups. Only 0.8% of group 1, 0.8% of group 2, 1.6% of group 3, and 2.7% of group 4 initially presented in the ED with a shockable rhythm; and 5.8% of group 1, 8.8% of group 2, 16.8% of group 3, and 19.5% of group 4 received defibrillation at the ED. The median time between the OHCA and arrival at the ED was 104.5 minutes in group 1, 37 minutes in group 2, 30 minutes in group 3, and 30 minutes in group 4. Median CPR duration in the ED was 30 minutes in groups 1, 2, and 3 and 26 minutes in group 4. Outcomes of pediatric OHCA: Group 4 had the highest survival to hospital discharge rate (9.7%), followed by group 2 (9.5%), group 3 (7.8%), and group 1 (7.1%; Table 2). The rate of good neurologic outcome was also highest in group 4 (4.9%) and lowest in group 1 (3.2%). Fig. 4 shows the trends of pediatric OHCA outcomes from 2009 to 2018. During that 10-year period, ROSC, survival to discharge, and good neurological outcome did not noticeably improve. Values are presented as number (%). ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category. aBonferroni-adjusted two-sided significance level is P < 0.008. Groups 1 and 3, and groups 1 and 4 differed significantly. bWhen using Bonferroni-adjusted P < 0.008, no pairwise comparisons among groups were significant. ROSC = return of spontaneous circulation. Logistic regression: The model used for multivariate analysis contained variables that were significant in univariate analysis or were important according to the opinions of researchers: age, sex, weekday or weekend event occurrence, past medical history, etiology, location of OHCA, first responder type, bystander CPR, prehospital delivery of AED shock, initial ECG rhythm at ED and defibrillation at ED. Multivariate analyses by age group were also performed and are presented as Supplementary Tables 1, 2, 3, 4. Multivariate analysis: The odds ratio (OR) for survival to discharge with group 1 as the reference was 0.55 (CI, 0.37–0.82) in group 3 (Table 3). The values in the other age groups were not significant. For etiology, cardiac disease was the reference for analysis. The OR for ROSC was 1.86 (CI, 1.43–2.43) for choking, 0.51 (CI, 0.38–0.70) for falls, and 0.36 (CI, 0.27–0.48) for SUID. The OR for survival to discharge was 0.23 (CI, 0.10–0.54) for traffic accident, 0.17 (CI, 0.08–0.35) for falls, and 0.11 (CI, 0.06–0.20) for SUID. The OR for good neurologic outcome was 0.24 (CI, 0.09–0.62) for falls, 0.23 (CI, 0.05–0.94) for traffic accident, and 0.06 (CI, 0.02–0.18) for SUID. OR = odds ratio, CI = confidence interval, ROSC = return of spontaneous circulation, PCPC = pediatric cerebral performance category, SUID = sudden unexpected infant death, EMS = emergency medical service, CPR = cardiopulmonary resuscitation, AED = automated external defibrillator, ED = emergency department. *P < 0.05. With home residence as the reference OHCA location, the OR for ROSC following an OHCA in a place of recreation was 2.89 (CI, 1.48–5.61), and that following an OHCA in a public/commercial building was 1.75 (CI, 1.26–2.42). The OR of survival to discharge in a place of recreation was 3.43 (CI, 1.51–7.77), and that in a public/commercial building was 2.78 (CI, 1.79–4.31). The OR for good neurologic outcome following an OHCA in a public/commercial building was 3.73 (CI, 2.03–6.84), that in a place of recreation was 2.51 (CI, 1.47–4.28), and that in an ambulance was 4.63 (CI, 1.79–11.98). When the reference for first responder type was unknown, the OR for ROSC was highest with EMS at 2.65 (CI, 1.74–4.03), followed by healthcare provider at 2.15 (CI, 1.14–4.04), acquaintance at 1.83 (CI, 1.31–2.57), and family member at 1.31 (CI, 1.03–1.68). The OR for survival to discharge was highest with a healthcare provider at 3.25 (CI, 1.43–7.37), followed by acquaintance at 3.05 (CI, 1.89–4.92), EMS at 2.97 (CI, 1.30–5.51), and family member at 2.07 (CI, 1.38–3.10). The OR for good neurologic outcome was highest with EMS at 4.66 (CI, 2.03–10.72), followed by healthcare provider at 4.25 (CI, 1.52–11.87), family member at 2.79 (CI, 1.57–4.95), and acquaintance at 2.32 (CI, 1.18 – 4.57). With prehospital delivery of AED shock, the OR for good neurologic outcome was 7.96 (CI, 5.09–12.43), that for survival to discharge was 5.86 (CI, 4.09–8.39), and that for ROSC was 2.74 (CI, 1.99–3.78). With an initial shockable rhythm at the ED, the OR for good neurologic outcome was 4.76 (CI, 1.95–11.60), and that for survival to discharge was 3.84 (CI, 1.96–7.55). With defibrillation at the ED, the OR for ROSC was 0.80 (CI, 0.64–1.00), that for survival to discharge was 0.36 (CI, 0.24–0.55), and that for good neurologic outcome was 0.19 (CI, 0.10–0.38). Multivariate analysis of group 1: The OR for ROSC was 0.71 (CI, 0.54–0.93) in males (Supplementary Table 1). With an etiology of SUID, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.35 (CI, 0.25–0.48), 0.08 (CI, 0.04–0.16), and 0.06 (CI, 0.02–0.20), respectively. With an etiology of drowning, the OR for good neurological outcome was 4.95 (CI, 1.17–20.91). With healthcare facility as the location, the OR for ROSC was 3.09 (CI, 1.02–9.34). The OR for ROSC was highest when EMS was the first responder, 9.44 (CI, 2.46–36.29), followed by acquaintance at 3.26 (CI, 1.20–8.88). The OR for survival to discharge was highest when an acquaintance was the first responder, 19.60 (CI, 4.35–88.19), followed by EMS at 11.39 (CI, 1.91–67.98). However, neither of those variables was significant for good neurologic outcome. Multivariate analysis of group 2: When the etiology was choking, the OR for ROSC was 2.94 (CI, 1.77–4.89), and when the etiology was traffic accident, the OR for survival to discharge was 0.16 (CI, 0.04–0.72) (Supplementary Table 2). The OR for survival to discharge was highest when the event location was a place of recreation, 8.41 (CI, 2.07–34.07), followed by street/highway at 4.95 (CI, 1.10–22.35), and public/commercial building at 3.01 (CI, 1.20–7.53). The OR for good neurological outcome was also highest when the event location was a place of recreation, 14.19 (CI, 2.09–96.53), followed by an ambulance at 4.25 (CI, 1.10–16.45). When the first responder was family, the OR for survival to discharge was 2.84 (CI, 1.34–6.02). When the first responder was a healthcare provider, the OR for good neurological outcome was 29.81 (CI, 1.97–452.09), and when it was family, the OR was 11.03 (CI, 2.33–52.18). With prehospital defibrillation, the OR for ROSC was 2.70 (CI, 1.03–7.06). With defibrillation at the ED, the OR for survival to discharge was 8.01 (CI, 1.66–38.63). Multivariate analysis of group 3: When the etiology was choking, the OR for ROSC was 2.41 (CI, 1.05–5.55) (Supplementary Table 3). When the event location was a place of recreation, the OR for ROSC was 4.35 (CI, 1.16–16.24), and when it was a public/commercial building, the OR for survival to discharge was 4.11 (CI, 1.24–13.64). When the first responder was an acquaintance, the OR for ROSC was 2.64 (CI, 1.28–5.45). When the first responder was EMS, the OR for survival to discharge was 5.59 (CI, 1.24–25.25), and the OR for good neurological outcome was 8.88 (CI, 1.59–49.60). With prehospital defibrillation, the ORs for survival to discharge and good neurologic outcome were 5.91 (CI, 2.61–13.36) and 12.24 (CI, 4.23–35.38), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 8.55 (CI, 1.22–59.69), and with defibrillation at the ED, the OR for survival to discharge was 10.50 (CI, 2.40–46.01). Multivariate analysis of group 4: With an etiology of choking, the ORs for ROSC and survival to discharge were 4.62 (CI, 1.99–10.70) and 3.16 (CI, 1.36–7.33), respectively (Supplementary Table 4). With an etiology of falls, the ORs for ROSC, survival to discharge, and good neurologic outcome were 0.32 (CI, 0.20–0.52), 0.16 (CI, 0.06–0.43), and 0.10 (CI, 0.02–0.48), respectively. When the event location was a public/commercial building, the ORs for ROSC, survival to discharge, and good neurological outcome were 2.14 (CI, 1.19–3.85), 3.40 (CI, 1.52–7.57), and 4.64 (CI, 1.47–14.60), respectively. When the event location was an ambulance, the ORs for survival to discharge and good neurologic outcome were 2.60 (CI, 1.20–5.65) and 3.94 (CI, 1.29–12.02), respectively. When the first responder was an acquaintance, the ORs for ROSC, survival to discharge, and good neurologic outcome were 1.74 (CI, 1.07–2.86), 2.95 (CI, 1.50–5.79), and 2.59 (CI, 1.00–6.71), respectively. When the first responder was family, the ORs for survival to discharge and good neurologic outcome were 2.19 (CI, 1.03–4.67) and 2.03 (CI, 0.67–6.18), respectively. With prehospital defibrillation, the ORs for ROSC, survival to discharge, and good neurologic outcome were 3.39 (CI, 2.12–5.42), 8.83 (CI, 5.24–14.87), and 12.73 (CI, 6.42–25.25), respectively. With the initial shockable rhythm at the ED, the OR for survival to discharge was 3.78 (CI, 1.38–10.37), and the OR for good neurological outcome was 7.12 (CI, 1.57–32.37). With defibrillation at the ED, the OR for survival to discharge was 2.46 (CI, 1.33–4.54), and the OR for good neurological outcome was 11.29 (CI, 3.60–35.45). DISCUSSION: This study is the most recent nationwide OHCA study to investigate pediatric patients across a 10-year period using detailed variables and clinical outcomes. Although the population of all pediatric age groups has decreased during the past 10 years, the IR of OHCA has decreased in groups 2 and 3 and increased in groups 1 and 4 (Fig. 1). Furthermore, the clinical outcomes have not improved in any of the pediatric groups (Fig. 3). We found significant differences between age groups in IR, etiology, and clinical outcomes. Cardiac arrest on a weekend, at a public/commercial building or place of entertainment, first responder type, prehospital delivery of an AED shock, initial shockable rhythm at the ED, and defibrillation at the ED were all associated with survival to discharge. Over 10 years, the IR of OHCA has decreased in groups 2 and 3 but increased in groups 1 and 4 (Fig. 1). Looking at the trend over 10 years, all clinical outcomes of overall pediatric groups were not improved over 10 years (Fig. 3). The survival to discharge rate in groups 1 and 2 deteriorated slightly, and that in groups 3 and 4 improved slightly. Group 4 showed the most favorable outcomes in terms of ROSC, survival to discharge, and good neurological outcomes, which is consistent with previous nationwide studies (Table 2).3334 Group 4 also had good prognostic factors, such as prehospital AED shock, initial shockable rhythm at ED, and a higher likelihood that the OHCA occurred in a public location (Table 1).35 The poorer prognosis of group 1 might be because children younger than 1 year have less physiological reserve and increased vulnerability to cardiac arrest compared with older children.3637 In group 1, SUID accounted for more than 50% of all cases and is related to poor survival outcomes (Table 1). Most cardiac arrests in group 1 occurred at home (80.2%) and most first responders were family members (81.6%). SUID occurs during unobserved sleep and is not recognized early.38 Therefore, the median time between the last normal time and the arrival in the ED was 104 minutes, longer than in the age groups. Moreover, prehospital defibrillation was conducted in only 0.8% of the patients in age group 1. These findings suggest that parents recognized their infant’s cardiac arrest long after it happened, which could have contributed to the low survival rate in group 1. Therefore, it is important to monitor infants at high risk for SUID and to teach parents to place their infants in a supine position on a firm surface to sleep and get regular check-ups for their baby.39 It is also important to teach parents the early sign of cardiac arrest, EMS activation and bystander CPR, which are crucial elements in the chain of survival.1340 Choking was the etiology for 12% of the OHCAs in group 1 and 9.6% of those in group 2. Choking correlated with a relatively good ROSC rate and is generally preventable by caregivers (Table 3).41 Guardians for children in these age groups should learn how to prevent suffocation and cope with choking accidents through training in the Heimlich maneuver. In group 2, the influence of disease on OHCA decreased, and the influence of injury increased (Table 1). Traffic accident as a cause increased remarkably and was related to poor survival (Table 3). Group 2 is an age group with high physical activity and a poor understanding of safety, so the attention of a guardian is necessary. In group 3, more than 50% of OHCAs were due to injury, primarily traffic accidents and drowning (Table 1). Because OHCAs caused by safety accidents occurred remarkably often in group 3, safety education for elementary school students needs to be strengthened, and parents need pay attention when their children ride bicycles, kickboards, or play in the water. In group 4, falls accounted for 23.4% of OHCAs, the most common injury cause in this group (Table 1). Falls correlated with poor ROSC, survival to discharge, and neurologic outcomes (Table 3). Although intentionality was not considered in this study, falls might be related to suicide, which is the leading cause of death among people aged 10 to 29 in Korea.42 Therefore, prevention of cardiac arrest needs to include suicide prevention strategies. Overall, OHCAs that occurred in public places such as a public/commercial building or place of recreation had good survival outcomes (Table 3). When the first responder was EMS, a healthcare provider, or an acquaintance, patients showed a better survival to discharge rate than when family members were the first responders. The bystander CPR rate was 8.6–9.1% in our study, which is higher than the 2.9% reported in the 2006–2007 KOHCAR (Table 1).6 Bystander CPR correlated with a good survival to discharge rate, but the association was not significant (Table 3). Most cardiac arrests in group 1 occurred at home (80.2%), the first responders were mostly family members (81.6%), and the bystander CPR rate was low (Table 1). The poor outcomes in this age group could be due to the etiology of SUID. Also, strong emotional stress and failure to recognize the signs of death might have complicated family members’ initial resuscitative efforts.34 Age groups 2, 3, and 4 showed better survival outcomes when the OHCA occurred in a public place than at home, though stratified analyses showed variations among age groups (Supplementary Tables 2, 3, 4). Group 2 is the age group most likely to be sent to childcare and educational facilities away from their families, so the rate of OHCAs at home decreased.43 As physical activity increases in this age group, awareness of the OHCA situation is faster, and the survival outcomes were good even when the first responder was a family member (Supplementary Table 2). From group 1 to group 4, the proportions of patients with prehospital delivery of AED shock, initial shockable ECG rhythm at ED, and defibrillation at ED increased (Table 1). In other words, a shockable ECG rhythm and high-quality CPR using AED increased with age. It is known that a shockable ECG rhythm is a good prognostic factor in cardiac arrest.44 Prehospital delivery of AED shock in groups 3 and 4 correlated with good survival to discharge and good neurologic outcomes in our study (Supplementary Tables 3 and 4). Also, a shockable ECG rhythm and defibrillation at the ED correlated with a good survival to discharge rate in groups 3 and 4. The main limitation of this study is its retrospective observational nature. Therefore, it can show associations but not establish causal relationships and there is a limitation to the analysis by each variable. Second, only OHCA cases reported to emergency services were analyzed in this study; cases transferred to a hospital without calling for an ambulance were not included. Third, because the data used in this study were collected from hospital medical records, we could not control for incomplete or inaccurate records. Because survival outcomes for transferred patients have been recorded only since 2015, all data for transferred patients had to be excluded. Nonetheless, we did our best to maintain the quality of the data. Fourth, the time-related information recorded in the records is insufficient for analysis. The KOHCAR data contain the arrest time, EMS call time, ED arrival time, defibrillation time, and CPR end time. To evaluate the response time and time on-scene, which could be used to improve EMS in the Republic of Korea, the on-site arrival time and on-site departure time should also be included in the KOHCAR data. In conclusion, this study reports comprehensive trends in pediatric OHCA in Republic of Korea. Our findings imply that preventive methods for the targeted population should be customized by age group because factors important in cardiac arrest differ by age.
Background: This study reports trends in pediatric out-of-hospital cardiac arrest (OHCA) and factors affecting clinical outcomes by age group. Methods: We identified 4,561 OHCA patients younger than 18 years between January 2009 and December 2018 in the Korean OHCA Registry. The patients were divided into four groups: group 1 (1 year or younger), group 2 (1 to 5 years), group 3 (6 to 12 years), and group 4 (13 to 17 years). The primary outcome was survival to hospital discharge, and the secondary outcomes were return of spontaneous circulation (ROSC) at the emergency department (ED) and good neurological status at discharge. Multivariate logistic analyses were performed. Results: The incidence rate of pediatric OHCA in group 1 increased from 45.57 to 60.89 per 100,000 person-years, while that of the overall population decreased over the 10 years. The rates of ROSC at the ED, survival to hospital discharge, and good neurologic outcome were highest in group 4 (37.9%, 9.7%, 4.9%, respectively) and lowest in group 1 (28.3%, 7.1%, 3.2%). The positive factors for survival to discharge were event location of a public/commercial building or place of recreation, type of first responder, prehospital delivery of automated external defibrillator shock, initial shockable rhythm at the ED. The factors affecting survival outcomes differed by age group. Conclusions: This study reports comprehensive trends in pediatric OHCA in the Republic of Korea. Our findings imply that preventive methods for the targeted population should be customized by age group.
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12,837
311
[ 70, 143, 114, 362, 61, 120, 131, 664, 183, 89, 643, 180, 230, 200, 361 ]
20
[ "ci", "group", "survival", "discharge", "survival discharge", "good", "outcome", "ed", "rosc", "ohca" ]
[ "national cardiac arrest", "cardiac arrest compared", "cardiac arrest cpr", "pediatric cardiopulmonary resuscitation", "pediatric cardiac arrests" ]
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[CONTENT] Out-of-Hospital Cardiac Arrest | Pediatrics | Cardiopulmonary Resuscitation | Population Surveillance | Age Groups [SUMMARY]
[CONTENT] Out-of-Hospital Cardiac Arrest | Pediatrics | Cardiopulmonary Resuscitation | Population Surveillance | Age Groups [SUMMARY]
[CONTENT] Out-of-Hospital Cardiac Arrest | Pediatrics | Cardiopulmonary Resuscitation | Population Surveillance | Age Groups [SUMMARY]
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[CONTENT] Out-of-Hospital Cardiac Arrest | Pediatrics | Cardiopulmonary Resuscitation | Population Surveillance | Age Groups [SUMMARY]
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[CONTENT] Humans | Child | Out-of-Hospital Cardiac Arrest | Cardiopulmonary Resuscitation | Emergency Medical Services | Registries | Emergency Service, Hospital [SUMMARY]
[CONTENT] Humans | Child | Out-of-Hospital Cardiac Arrest | Cardiopulmonary Resuscitation | Emergency Medical Services | Registries | Emergency Service, Hospital [SUMMARY]
[CONTENT] Humans | Child | Out-of-Hospital Cardiac Arrest | Cardiopulmonary Resuscitation | Emergency Medical Services | Registries | Emergency Service, Hospital [SUMMARY]
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[CONTENT] Humans | Child | Out-of-Hospital Cardiac Arrest | Cardiopulmonary Resuscitation | Emergency Medical Services | Registries | Emergency Service, Hospital [SUMMARY]
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[CONTENT] national cardiac arrest | cardiac arrest compared | cardiac arrest cpr | pediatric cardiopulmonary resuscitation | pediatric cardiac arrests [SUMMARY]
[CONTENT] national cardiac arrest | cardiac arrest compared | cardiac arrest cpr | pediatric cardiopulmonary resuscitation | pediatric cardiac arrests [SUMMARY]
[CONTENT] national cardiac arrest | cardiac arrest compared | cardiac arrest cpr | pediatric cardiopulmonary resuscitation | pediatric cardiac arrests [SUMMARY]
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[CONTENT] national cardiac arrest | cardiac arrest compared | cardiac arrest cpr | pediatric cardiopulmonary resuscitation | pediatric cardiac arrests [SUMMARY]
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[CONTENT] ci | group | survival | discharge | survival discharge | good | outcome | ed | rosc | ohca [SUMMARY]
[CONTENT] ci | group | survival | discharge | survival discharge | good | outcome | ed | rosc | ohca [SUMMARY]
[CONTENT] ci | group | survival | discharge | survival discharge | good | outcome | ed | rosc | ohca [SUMMARY]
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[CONTENT] ci | group | survival | discharge | survival discharge | good | outcome | ed | rosc | ohca [SUMMARY]
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[CONTENT] survival outcomes | survival | ohca | outcomes | ohca patients | pediatric | pediatric ohca patients | pediatric ohca | significantly | age [SUMMARY]
[CONTENT] arrest | cardiac | statistical | cardiac arrest | patients | medical | information | ems | ed | respiratory [SUMMARY]
[CONTENT] ci | group | survival discharge | discharge | survival | good | rosc | outcome | good neurologic outcome | neurologic outcome [SUMMARY]
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[CONTENT] ci | group | survival | discharge | survival discharge | good | rosc | cardiac | arrest | outcome [SUMMARY]
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[CONTENT] OHCA [SUMMARY]
[CONTENT] 4,561 | OHCA | 18 years | January 2009 | December 2018 | the Korean OHCA Registry ||| four | 1 | 1 year | 2 | 1 to 5 years | 3 | 6 to 12 years | 4 | 13 to 17 years ||| ||| [SUMMARY]
[CONTENT] OHCA | 1 | 45.57 | 60.89 | 100,000 | the 10 years ||| 4 | 37.9% | 9.7% | 4.9% | 1 | 28.3% | 7.1% | 3.2% ||| first ||| [SUMMARY]
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[CONTENT] ||| OHCA ||| 4,561 | OHCA | 18 years | January 2009 | December 2018 | the Korean OHCA Registry ||| four | 1 | 1 year | 2 | 1 to 5 years | 3 | 6 to 12 years | 4 | 13 to 17 years ||| ||| ||| ||| OHCA | 1 | 45.57 | 60.89 | 100,000 | the 10 years ||| 4 | 37.9% | 9.7% | 4.9% | 1 | 28.3% | 7.1% | 3.2% ||| first ||| ||| OHCA | the Republic of Korea ||| [SUMMARY]
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Influenza and hepatitis B vaccination coverage among healthcare workers in Croatian hospitals: a series of cross-sectional surveys, 2006-2011.
24192278
Healthcare workers (HCWs) are at an increased risk of exposure to and transmission of infectious diseases. Vaccination lowers morbidity and mortality of HCWs and their patients. To assess vaccination coverage for influenza and hepatitis B virus (HBV) among HCWs in Croatian hospitals, we conducted yearly nationwide surveys.
BACKGROUND
From 2006 to 2011, all 66 Croatian public hospitals, representing 43-60% of all the HCWs in Croatia, were included. Statistical analysis was performed using the Kruskal-Wallis analysis of variance, Dunn's multiple comparison analysis and the chi-square test, as appropriate.
METHODS
The median seasonal influenza vaccination coverage rates in pre-pandemic (2006-2008) seasons were 36%, 25% and 29%, respectively. By occupation, influenza vaccination rates among physicians were 33 ± 21%, 33 ± 22% among graduate nurses, 30 ± 34% among other HCWs, 26 ± 21% among housekeeping and the lowest, 23 ± 17%, among practical nurses (p < 0.01). In 2009-2010 season, seasonal influenza vaccination coverage was 30%, while overall vaccination coverage against pandemic influenza was fewer than 5%. Median vaccination coverage in the post-pandemic seasons of 2010-2011 and 2011-2012 decreased to 15% and 14%, respectively (reduction of 24% and 35%, respectively, p < 0.0001). Meanwhile, the median mandatory HBV vaccination coverage was 98%, albeit with considerable differences according to work setting (range 19-100%) and occupation (range 4-100%).
RESULTS
We found substantial year-on-year variations in seasonal influenza vaccination rates, with reduction in post pandemic influenza seasons. HBV vaccination is satisfactory compared to seasonal influenza vaccination coverage, although substantial variations by occupation and work setting were observed. These findings highlight the need for national strategies that optimize vaccination coverage among HCWs in Croatian hospitals. Further studies are needed to establish the potential role of mandatory vaccination for seasonal influenza.
CONCLUSIONS
[ "Adult", "Aged", "Croatia", "Cross-Sectional Studies", "Female", "Health Personnel", "Hepatitis B Vaccines", "Hospitals, Public", "Humans", "Influenza Vaccines", "Male", "Middle Aged", "Surveys and Questionnaires" ]
3840606
Background
Healthcare workers (HCWs), due to direct and indirect contact with patients, are at an increased risk of exposure to and transmission of infectious diseases [1-5]. In Croatia, the majority of vaccine-preventable infectious diseases, such as diphtheria, tetanus, pertussis, poliomyelitis, measles, mumps, rubella and tuberculosis, are covered by the national mandatory immunization program for children [6-8]. Vaccination of HCWs against hepatitis B virus (HBV) began to be introduced in Croatia in the 1990s and for many years has been mandatory and free of charge [9,10]. It is performed using a vaccine obtained from a surface antigen of the hepatitis B virus through genetic engineering that is administered in three doses according to a scheme of 0, 1 and 6 months. The immunization of persons who have been exposed to contaminated material is performed by injecting four doses of vaccine according to a scheme of 0, 1, 2 and 12 months. The annual plan of immunization against infectious diseases is conducted according to the immunization program, which is adopted by the Minister of health at the proposal of the Department of Infectious Disease Epidemiology of the Croatian National Institute of Public Health (CNIPH). The vaccine is provided by the CNIPH to the epidemiology departments, including hospital settings. All HCWs, including medical/nursing students and all new employees, are covered, so all HCWs are supposed to be vaccinated at least by the time they begin their professional careers [9,10]. An ordinance on the prevention and control of hospital infections from 2002 places special emphasis on the education and protection of new medical professionals, which has resulted in stricter enforcement measures, especially among newly recruited employees who cannot be hired until they have been vaccinated against hepatitis B. HBV vaccination and post-exposure management after occupational exposure became integral components of a comprehensive program to prevent infections following bloodborne pathogen exposure and important elements of workplace safety [2,3,11,12]. Our study represents the first assessment of this program. On the other hand, the first official recommendations for influenza vaccination and free immunization programs for HCWs have been in existence since 1984, when the Advisory Committee on Immunization Practices in the USA recommended annual influenza vaccination as the first and best protection against influenza [13]. However, the vaccination of HCWs against influenza is indicated not only for the personal protection of the vaccinated HCWs but also because it contributes to the prevention of influenza among unvaccinated persons in their environment, including their patients and family members [14-17]. A number of studies demonstrated that influenza vaccination of HCWs lowers morbidity and mortality in their patients [15-18]. Despite long-standing recommendations, overall vaccination rates for HCWs in many countries remain unacceptably low, near 40% [5,19-21]. The gap is magnified when one considers the estimate that influenza immunization rates of 80% or higher are essential for providing the herd immunity necessary to reduce healthcare-associated influenza infections substantially, which is generally not the case where vaccination is voluntary [22]. In an effort to combat the low rates of vaccination among HCWs, a growing number of professional medical organizations and healthcare facilities are adopting policies mandating influenza vaccination for individuals who work with patients [23]. This decision is justified by the fact that maximum protection of patients can only be achieved with a high rate of HCWs vaccination [24]. This recommendation is reflected in a 2009 European Union recommendation that set a goal of 75% coverage for this population by 2015 [25]. Mandatory vaccination has been implemented in many countries, thereby demonstrating that an opt-out strategy for influenza immunization significantly improved vaccination rates compared to an opt-in approach and influenza vaccination rates of more than 95% were sustained [26-29]. The CNIPH recommends seasonal influenza vaccination for particularly vulnerable population groups, including HCWs. According to the mandatory immunization program, seroprophylaxis and chemoprophylaxis for specific population groups and individuals at risk are recommended every year prior to the beginning of the flu season (in the autumn), one dose of vaccine that corresponds in composition with the recommendations of the World Health Organization. Vaccination is available free of charge but is not mandatory [7,30]. Using the national surveillance program, we assessed the rates of HBV and influenza vaccination coverage among HCWs in Croatian hospitals. Our study will provide information for the development of a national strategy, including whether influenza vaccination should be mandatory, as is HBV vaccination.
Methods
Study design and settings As part of the ongoing national surveillance program, the National Hospital Infection Control Advisory Committee (NHICAC) conducted a series of nationwide cross-sectional surveys from 2006 to 2011 among HCWs in Croatian hospitals. As part of the ongoing national surveillance program, the National Hospital Infection Control Advisory Committee (NHICAC) conducted a series of nationwide cross-sectional surveys from 2006 to 2011 among HCWs in Croatian hospitals. Data collection We distributed questionnaires to all Croatian public hospitals: 36 acute care (14 university and 22 general) and 30 long-term care and specialized hospitals, with a total of over 30,000 employees (ranging from 29,182 to 35,343 HCWs annually), representing 43–60% of all HCWs in the Croatian healthcare system. The survey was conducted by the members of the Hospital Infection Control Advisory Committee of each hospital. Each hospital was required to provide annual vaccination rates for HCWs, both overall and by occupation. In our analysis, HCWs were stratified into physicians (including residents), nurses (practical nurses with high school qualifications and graduate nurses with three-year university-level nursing degrees), other HCWs (including laboratory, radiology and physical medicine personnel) and housekeeping personnel (as defined by the CDC [31]). Vaccination coverage for agency staff and those staff members who receive their vaccines off-site was also documented. Hospital administrative staff and HCWs from primary care and outpatient healthcare facilities were not included. We distributed questionnaires to all Croatian public hospitals: 36 acute care (14 university and 22 general) and 30 long-term care and specialized hospitals, with a total of over 30,000 employees (ranging from 29,182 to 35,343 HCWs annually), representing 43–60% of all HCWs in the Croatian healthcare system. The survey was conducted by the members of the Hospital Infection Control Advisory Committee of each hospital. Each hospital was required to provide annual vaccination rates for HCWs, both overall and by occupation. In our analysis, HCWs were stratified into physicians (including residents), nurses (practical nurses with high school qualifications and graduate nurses with three-year university-level nursing degrees), other HCWs (including laboratory, radiology and physical medicine personnel) and housekeeping personnel (as defined by the CDC [31]). Vaccination coverage for agency staff and those staff members who receive their vaccines off-site was also documented. Hospital administrative staff and HCWs from primary care and outpatient healthcare facilities were not included. Statistical analysis Medians with the interquartile ranges of the sets of the reported vaccination rates are presented. The numbers of missing values varied from query to query, which were excluded from the following statistical analysis. Statistical analysis involved a year-by-year comparison using the Kruskal–Wallis analysis of variance, Dunn’s multiple comparison analysis and the chi-square test, as appropriate, using Prism 6 software (GraphPad Software, San Diego, CA, USA); p < 0.05 was considered significant. Medians with the interquartile ranges of the sets of the reported vaccination rates are presented. The numbers of missing values varied from query to query, which were excluded from the following statistical analysis. Statistical analysis involved a year-by-year comparison using the Kruskal–Wallis analysis of variance, Dunn’s multiple comparison analysis and the chi-square test, as appropriate, using Prism 6 software (GraphPad Software, San Diego, CA, USA); p < 0.05 was considered significant. Ethics All data were collected with the consent of hospital administration, as routine data assembled for the National Annual Surveillance Report of the NHICAC of the Croatian Ministry of Health. The NHICAC was prohibited from revealing the identities of individual hospitals in the reports. Therefore, data from individual hospitals were screened using backup codes instead of names or collectively according to hospital groups. All data were collected with the consent of hospital administration, as routine data assembled for the National Annual Surveillance Report of the NHICAC of the Croatian Ministry of Health. The NHICAC was prohibited from revealing the identities of individual hospitals in the reports. Therefore, data from individual hospitals were screened using backup codes instead of names or collectively according to hospital groups.
Results
Among the 66 hospitals contacted, the response rate varied between 57% and 83%, depending on the year. Only 33 (50%) of the hospitals provided data on the coverage of various HCW subgroups. The data were provided as percentages or numbers of vaccinated HCWs. The baseline characteristics of the HCWs included in the study, overall and stratified by type of hospital, are presented in Table  1. The structure of the HCWs by occupation did not significantly change during the period studied, so the data for 2010 are shown (Figure  1). Healthcare workers included in the study: overall, by type of hospital, by survey year *HCWs—healthcare workers. †the total number of HCWs in Croatian hospitals that entered the study. §the percentages of respondents in relation to the total number of HCWs employed in Croatia as reported in [6]. Proportions of healthcare workers included in the study, overall and stratified by type of hospital and occupation, based on data from the national surveillance program of the National Hospital Infection Control Advisory Committee, all 66 public hospitals in Croatia, 2006–2011. Pre-pandemic seasonal influenza vaccination coverage From the 2006–2007 influenza seasons, the median seasonal influenza vaccination rates at the hospitals studied were 36% (IQR 21–52.5), 25% (IQR 17.5–39.5) and 29% (IQR 20.6–47.5), respectively (Figure  2, Panel A). There were some differences in vaccination coverage between acute care and long-term care facilities, which were not statistically significant (Figure  3, Panel A). By occupation, influenza vaccination was the most common among physicians (30% [IQR 12.7–50.7], 34% [IQR 20–47] and 36% [IQR 20.3–49], respectively), followed by graduate nurses (35% [IQR 14–48], 32% [IQR 16–45.7] and 37% [IQR 19.2–49.5], respectively), other HCWs (34% [IQR 11.3–52.9], 30% [IQR 3–51] and 33% [IQR 12.2–48.2], respectively) and lowest among practical nurses (25% [IQR 13–36], 24% [IQR 12–31.6] and 22% [IQR 10–33.2], p < 0.01), and housekeeping staff (29% [IQR 11.7–42.4], 22% [IQR 11.2–30.2] and 21% [IQR 15.2–48.2], respectively). Significant differences among practical nurses, physicians and graduate nurses were observed (Figure  4, Panel A). Further analysis by occupation and type of hospital showed no statistical differences. Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by season/year. Each dot represents one hospital while bars represent the medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. In (Panel A), significant decreases in 2010–2011 and 2011–2012 post-pandemic vaccination coverage is seen in comparison to the four pre-pandemic seasons. Meanwhile, HBV vaccination coverage was stable during the period studied (p = 0.07) (Panel B). Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by type of hospital. Medians with interquartile ranges were plotted. In 2009–2010, significant increase in vaccination coverage in long-term care and specialized hospitals was observed (p = 0.03) (Panel A). In the following post-pandemic seasons, significant decrease in all the groups was observed (p < 0.0001, Kruskal–Wallis) (Panel A). (Panel B) shows significant differences between university and general (p = 0.015), and university and long-term care and specialized hospitals (p = 0.006). Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among healthcare workers in Croatian hospitals, stratified by occupation and year. The bars represent medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. Statistical analysis showed significant differences among physicians, graduate nurses and practical nurses (p = 0.01). Furthermore, significant decreases in 2011–2012 were observed (*, p < 0.05)) (Panel A). Meanwhile, HBV vaccination coverage was the lowest among housekeeping personnel (p = 0.001) (Panel B). From the 2006–2007 influenza seasons, the median seasonal influenza vaccination rates at the hospitals studied were 36% (IQR 21–52.5), 25% (IQR 17.5–39.5) and 29% (IQR 20.6–47.5), respectively (Figure  2, Panel A). There were some differences in vaccination coverage between acute care and long-term care facilities, which were not statistically significant (Figure  3, Panel A). By occupation, influenza vaccination was the most common among physicians (30% [IQR 12.7–50.7], 34% [IQR 20–47] and 36% [IQR 20.3–49], respectively), followed by graduate nurses (35% [IQR 14–48], 32% [IQR 16–45.7] and 37% [IQR 19.2–49.5], respectively), other HCWs (34% [IQR 11.3–52.9], 30% [IQR 3–51] and 33% [IQR 12.2–48.2], respectively) and lowest among practical nurses (25% [IQR 13–36], 24% [IQR 12–31.6] and 22% [IQR 10–33.2], p < 0.01), and housekeeping staff (29% [IQR 11.7–42.4], 22% [IQR 11.2–30.2] and 21% [IQR 15.2–48.2], respectively). Significant differences among practical nurses, physicians and graduate nurses were observed (Figure  4, Panel A). Further analysis by occupation and type of hospital showed no statistical differences. Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by season/year. Each dot represents one hospital while bars represent the medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. In (Panel A), significant decreases in 2010–2011 and 2011–2012 post-pandemic vaccination coverage is seen in comparison to the four pre-pandemic seasons. Meanwhile, HBV vaccination coverage was stable during the period studied (p = 0.07) (Panel B). Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by type of hospital. Medians with interquartile ranges were plotted. In 2009–2010, significant increase in vaccination coverage in long-term care and specialized hospitals was observed (p = 0.03) (Panel A). In the following post-pandemic seasons, significant decrease in all the groups was observed (p < 0.0001, Kruskal–Wallis) (Panel A). (Panel B) shows significant differences between university and general (p = 0.015), and university and long-term care and specialized hospitals (p = 0.006). Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among healthcare workers in Croatian hospitals, stratified by occupation and year. The bars represent medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. Statistical analysis showed significant differences among physicians, graduate nurses and practical nurses (p = 0.01). Furthermore, significant decreases in 2011–2012 were observed (*, p < 0.05)) (Panel A). Meanwhile, HBV vaccination coverage was the lowest among housekeeping personnel (p = 0.001) (Panel B). Seasonal and pandemic influenza vaccination coverage in 2009–2010 In 2009, seasonal influenza vaccination in Croatia started in November and showed similar trends as in previous seasons. In total, 7,972 of the HCWs were vaccinated, with a median of 30% (IQR 18–52) of the hospitals studied (Table  2, Figure  2, Panel A). Higher rates in long-term care and specialized hospitals as compared to acute care hospitals (medians of 50% [IQR 25–61] vs. 26% [IQR 17–43] and 23% [IQR 15–35], respectively, p = 0.03), were observed (Figure  3, Panel A; Table  2). By occupation, there were no statistical differences, although the rate among physicians was slightly higher than in pre-pandemic seasons (38% [IQR 33–60] in 2009 vs. 30% in 2006) (Figure  4, Panel A). Seasonal influenza vaccination coverage among healthcare workers: overall, by type of hospital, three consecutive seasons *IQR, interquartile range. †decrease in the calculated total number of vaccinated HCWs, as compared to 2009. ‡p < 0.0001, as measured by the chi-square two-tailed test. Pandemic influenza vaccination started in the first week of December during the peak of the pandemic in Croatia. Overall, fewer than 1,000 HCWs were vaccinated, i.e., fewer than 5% of all the HCWs in Croatia. In 2009, seasonal influenza vaccination in Croatia started in November and showed similar trends as in previous seasons. In total, 7,972 of the HCWs were vaccinated, with a median of 30% (IQR 18–52) of the hospitals studied (Table  2, Figure  2, Panel A). Higher rates in long-term care and specialized hospitals as compared to acute care hospitals (medians of 50% [IQR 25–61] vs. 26% [IQR 17–43] and 23% [IQR 15–35], respectively, p = 0.03), were observed (Figure  3, Panel A; Table  2). By occupation, there were no statistical differences, although the rate among physicians was slightly higher than in pre-pandemic seasons (38% [IQR 33–60] in 2009 vs. 30% in 2006) (Figure  4, Panel A). Seasonal influenza vaccination coverage among healthcare workers: overall, by type of hospital, three consecutive seasons *IQR, interquartile range. †decrease in the calculated total number of vaccinated HCWs, as compared to 2009. ‡p < 0.0001, as measured by the chi-square two-tailed test. Pandemic influenza vaccination started in the first week of December during the peak of the pandemic in Croatia. Overall, fewer than 1,000 HCWs were vaccinated, i.e., fewer than 5% of all the HCWs in Croatia. Post-pandemic seasonal influenza vaccination coverage The overall vaccination coverage rates in the post-pandemic seasons of 2010–2011 and 2011–2012 were 15% (IQR 4–29) and 14% (IQR 8–29), respectively, which represent a significant decrease by 24% and 35% from 2009 (p < 0.0001), respectively (Table  2; Figure  2, Panel A). In the post-pandemic seasons, long-term care and specialized hospitals reported the lowest vaccination coverage (13% [IQR 1–32] and 12% [IQR 8–36], respectively, p < 0.0001) (Figure  3, Panel A). Vaccination coverage remained highest among HCWs at university hospitals (16% [IQR 13–22 and 17% [IQR 13–24] in 2010–2011 and 2011–2012, respectively). By occupation, influenza vaccination was the most common among physicians (30% [IQR 20–48] and 26% [IQR 10–34], respectively), followed by graduate nurses (29% [IQR 14–47.5] and 28% [IQR 9.6–44.2], respectively), other HCWs (20% [IQR 8–36] and 21% [IQR 4–48], respectively), housekeeping (19% [IQR 7–32] and 22% [IQR 5–26], respectively) and lowest among practical nurses (17% [IQR 8–29] and 12% [IQR 6–20], respectively, p = 0.002). By occupation and work setting, influenza vaccination was most common among physicians who worked in university hospitals (52%, [IQR 37.2–68.5]) and lowest among other HCWs who worked in general hospitals (17%, [IQR 3–28]). The overall vaccination coverage rates in the post-pandemic seasons of 2010–2011 and 2011–2012 were 15% (IQR 4–29) and 14% (IQR 8–29), respectively, which represent a significant decrease by 24% and 35% from 2009 (p < 0.0001), respectively (Table  2; Figure  2, Panel A). In the post-pandemic seasons, long-term care and specialized hospitals reported the lowest vaccination coverage (13% [IQR 1–32] and 12% [IQR 8–36], respectively, p < 0.0001) (Figure  3, Panel A). Vaccination coverage remained highest among HCWs at university hospitals (16% [IQR 13–22 and 17% [IQR 13–24] in 2010–2011 and 2011–2012, respectively). By occupation, influenza vaccination was the most common among physicians (30% [IQR 20–48] and 26% [IQR 10–34], respectively), followed by graduate nurses (29% [IQR 14–47.5] and 28% [IQR 9.6–44.2], respectively), other HCWs (20% [IQR 8–36] and 21% [IQR 4–48], respectively), housekeeping (19% [IQR 7–32] and 22% [IQR 5–26], respectively) and lowest among practical nurses (17% [IQR 8–29] and 12% [IQR 6–20], respectively, p = 0.002). By occupation and work setting, influenza vaccination was most common among physicians who worked in university hospitals (52%, [IQR 37.2–68.5]) and lowest among other HCWs who worked in general hospitals (17%, [IQR 3–28]). Hepatitis B vaccination coverage Meanwhile, from 2006 to 2011, the median HBV vaccination coverage was 98%, albeit with considerable differences according to work setting (range 19–100%) and occupation (range 4–100%) (Figures  2, 3, 4, Panel B). By work settings, HCWs in university hospitals were more likely to receive HBV vaccine than in general or long-term care hospitals (medians 97–98% vs. 87–96% vs. 92–98%, p = 0.03, respectively) (Figure  3, Panel B). By occupation, HBV vaccination coverage among physicians was 90–95%, graduate nurses 92–97%, practical nurses 90–96%, other HCWs 89–94% and housekeeping personnel had the lowest vaccination rates (medians 79–89%, p = 0.001) (Figure  4, Panel B). Meanwhile, from 2006 to 2011, the median HBV vaccination coverage was 98%, albeit with considerable differences according to work setting (range 19–100%) and occupation (range 4–100%) (Figures  2, 3, 4, Panel B). By work settings, HCWs in university hospitals were more likely to receive HBV vaccine than in general or long-term care hospitals (medians 97–98% vs. 87–96% vs. 92–98%, p = 0.03, respectively) (Figure  3, Panel B). By occupation, HBV vaccination coverage among physicians was 90–95%, graduate nurses 92–97%, practical nurses 90–96%, other HCWs 89–94% and housekeeping personnel had the lowest vaccination rates (medians 79–89%, p = 0.001) (Figure  4, Panel B).
Conclusions
Substantial variation across hospitals and different categories of HCWs was observed in vaccination coverage for both seasonal influenza and HBV. However, HBV vaccination coverage is quite satisfactory compared to seasonal influenza vaccination coverage among healthcare personnel in Croatia. A possible reason for this difference is that HBV vaccination is mandatory. These findings highlight the need for national strategies that optimize vaccination coverage among HCWs in Croatian hospitals, including mandatory vaccination for seasonal influenza.
[ "Background", "Study design and settings", "Data collection", "Statistical analysis", "Ethics", "Pre-pandemic seasonal influenza vaccination coverage", "Seasonal and pandemic influenza vaccination coverage in 2009–2010", "Post-pandemic seasonal influenza vaccination coverage", "Hepatitis B vaccination coverage", "Abbreviations", "Competing interests", "Authors’ contributions", "Authors’ information", "Pre-publication history" ]
[ "Healthcare workers (HCWs), due to direct and indirect contact with patients, are at an increased risk of exposure to and transmission of infectious diseases\n[1-5]. In Croatia, the majority of vaccine-preventable infectious diseases, such as diphtheria, tetanus, pertussis, poliomyelitis, measles, mumps, rubella and tuberculosis, are covered by the national mandatory immunization program for children\n[6-8].\nVaccination of HCWs against hepatitis B virus (HBV) began to be introduced in Croatia in the 1990s and for many years has been mandatory and free of charge\n[9,10]. It is performed using a vaccine obtained from a surface antigen of the hepatitis B virus through genetic engineering that is administered in three doses according to a scheme of 0, 1 and 6 months. The immunization of persons who have been exposed to contaminated material is performed by injecting four doses of vaccine according to a scheme of 0, 1, 2 and 12 months.\nThe annual plan of immunization against infectious diseases is conducted according to the immunization program, which is adopted by the Minister of health at the proposal of the Department of Infectious Disease Epidemiology of the Croatian National Institute of Public Health (CNIPH). The vaccine is provided by the CNIPH to the epidemiology departments, including hospital settings. All HCWs, including medical/nursing students and all new employees, are covered, so all HCWs are supposed to be vaccinated at least by the time they begin their professional careers\n[9,10]. An ordinance on the prevention and control of hospital infections from 2002 places special emphasis on the education and protection of new medical professionals, which has resulted in stricter enforcement measures, especially among newly recruited employees who cannot be hired until they have been vaccinated against hepatitis B. HBV vaccination and post-exposure management after occupational exposure became integral components of a comprehensive program to prevent infections following bloodborne pathogen exposure and important elements of workplace safety\n[2,3,11,12]. Our study represents the first assessment of this program.\nOn the other hand, the first official recommendations for influenza vaccination and free immunization programs for HCWs have been in existence since 1984, when the Advisory Committee on Immunization Practices in the USA recommended annual influenza vaccination as the first and best protection against influenza\n[13]. However, the vaccination of HCWs against influenza is indicated not only for the personal protection of the vaccinated HCWs but also because it contributes to the prevention of influenza among unvaccinated persons in their environment, including their patients and family members\n[14-17]. A number of studies demonstrated that influenza vaccination of HCWs lowers morbidity and mortality in their patients\n[15-18].\nDespite long-standing recommendations, overall vaccination rates for HCWs in many countries remain unacceptably low, near 40%\n[5,19-21]. The gap is magnified when one considers the estimate that influenza immunization rates of 80% or higher are essential for providing the herd immunity necessary to reduce healthcare-associated influenza infections substantially, which is generally not the case where vaccination is voluntary\n[22].\nIn an effort to combat the low rates of vaccination among HCWs, a growing number of professional medical organizations and healthcare facilities are adopting policies mandating influenza vaccination for individuals who work with patients\n[23]. This decision is justified by the fact that maximum protection of patients can only be achieved with a high rate of HCWs vaccination\n[24]. This recommendation is reflected in a 2009 European Union recommendation that set a goal of 75% coverage for this population by 2015\n[25]. Mandatory vaccination has been implemented in many countries, thereby demonstrating that an opt-out strategy for influenza immunization significantly improved vaccination rates compared to an opt-in approach and influenza vaccination rates of more than 95% were sustained\n[26-29].\nThe CNIPH recommends seasonal influenza vaccination for particularly vulnerable population groups, including HCWs. According to the mandatory immunization program, seroprophylaxis and chemoprophylaxis for specific population groups and individuals at risk are recommended every year prior to the beginning of the flu season (in the autumn), one dose of vaccine that corresponds in composition with the recommendations of the World Health Organization. Vaccination is available free of charge but is not mandatory\n[7,30].\nUsing the national surveillance program, we assessed the rates of HBV and influenza vaccination coverage among HCWs in Croatian hospitals. Our study will provide information for the development of a national strategy, including whether influenza vaccination should be mandatory, as is HBV vaccination.", "As part of the ongoing national surveillance program, the National Hospital Infection Control Advisory Committee (NHICAC) conducted a series of nationwide cross-sectional surveys from 2006 to 2011 among HCWs in Croatian hospitals.", "We distributed questionnaires to all Croatian public hospitals: 36 acute care (14 university and 22 general) and 30 long-term care and specialized hospitals, with a total of over 30,000 employees (ranging from 29,182 to 35,343 HCWs annually), representing 43–60% of all HCWs in the Croatian healthcare system. The survey was conducted by the members of the Hospital Infection Control Advisory Committee of each hospital. Each hospital was required to provide annual vaccination rates for HCWs, both overall and by occupation. In our analysis, HCWs were stratified into physicians (including residents), nurses (practical nurses with high school qualifications and graduate nurses with three-year university-level nursing degrees), other HCWs (including laboratory, radiology and physical medicine personnel) and housekeeping personnel (as defined by the CDC\n[31]). Vaccination coverage for agency staff and those staff members who receive their vaccines off-site was also documented. Hospital administrative staff and HCWs from primary care and outpatient healthcare facilities were not included.", "Medians with the interquartile ranges of the sets of the reported vaccination rates are presented. The numbers of missing values varied from query to query, which were excluded from the following statistical analysis. Statistical analysis involved a year-by-year comparison using the Kruskal–Wallis analysis of variance, Dunn’s multiple comparison analysis and the chi-square test, as appropriate, using Prism 6 software (GraphPad Software, San Diego, CA, USA); p < 0.05 was considered significant.", "All data were collected with the consent of hospital administration, as routine data assembled for the National Annual Surveillance Report of the NHICAC of the Croatian Ministry of Health. The NHICAC was prohibited from revealing the identities of individual hospitals in the reports. Therefore, data from individual hospitals were screened using backup codes instead of names or collectively according to hospital groups.", "From the 2006–2007 influenza seasons, the median seasonal influenza vaccination rates at the hospitals studied were 36% (IQR 21–52.5), 25% (IQR 17.5–39.5) and 29% (IQR 20.6–47.5), respectively (Figure \n2, Panel A). There were some differences in vaccination coverage between acute care and long-term care facilities, which were not statistically significant (Figure \n3, Panel A). By occupation, influenza vaccination was the most common among physicians (30% [IQR 12.7–50.7], 34% [IQR 20–47] and 36% [IQR 20.3–49], respectively), followed by graduate nurses (35% [IQR 14–48], 32% [IQR 16–45.7] and 37% [IQR 19.2–49.5], respectively), other HCWs (34% [IQR 11.3–52.9], 30% [IQR 3–51] and 33% [IQR 12.2–48.2], respectively) and lowest among practical nurses (25% [IQR 13–36], 24% [IQR 12–31.6] and 22% [IQR 10–33.2], p < 0.01), and housekeeping staff (29% [IQR 11.7–42.4], 22% [IQR 11.2–30.2] and 21% [IQR 15.2–48.2], respectively). Significant differences among practical nurses, physicians and graduate nurses were observed (Figure \n4, Panel A). Further analysis by occupation and type of hospital showed no statistical differences.\nSeasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by season/year. Each dot represents one hospital while bars represent the medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. In (Panel A), significant decreases in 2010–2011 and 2011–2012 post-pandemic vaccination coverage is seen in comparison to the four pre-pandemic seasons. Meanwhile, HBV vaccination coverage was stable during the period studied (p = 0.07) (Panel B).\nSeasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by type of hospital. Medians with interquartile ranges were plotted. In 2009–2010, significant increase in vaccination coverage in long-term care and specialized hospitals was observed (p = 0.03) (Panel A). In the following post-pandemic seasons, significant decrease in all the groups was observed (p < 0.0001, Kruskal–Wallis) (Panel A). (Panel B) shows significant differences between university and general (p = 0.015), and university and long-term care and specialized hospitals (p = 0.006).\nSeasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among healthcare workers in Croatian hospitals, stratified by occupation and year. The bars represent medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. Statistical analysis showed significant differences among physicians, graduate nurses and practical nurses (p = 0.01). Furthermore, significant decreases in 2011–2012 were observed (*, p < 0.05)) (Panel A). Meanwhile, HBV vaccination coverage was the lowest among housekeeping personnel (p = 0.001) (Panel B).", "In 2009, seasonal influenza vaccination in Croatia started in November and showed similar trends as in previous seasons. In total, 7,972 of the HCWs were vaccinated, with a median of 30% (IQR 18–52) of the hospitals studied (Table \n2, Figure \n2, Panel A). Higher rates in long-term care and specialized hospitals as compared to acute care hospitals (medians of 50% [IQR 25–61] vs. 26% [IQR 17–43] and 23% [IQR 15–35], respectively, p = 0.03), were observed (Figure \n3, Panel A; Table \n2). By occupation, there were no statistical differences, although the rate among physicians was slightly higher than in pre-pandemic seasons (38% [IQR 33–60] in 2009 vs. 30% in 2006) (Figure \n4, Panel A).\nSeasonal influenza vaccination coverage among healthcare workers: overall, by type of hospital, three consecutive seasons\n*IQR, interquartile range.\n†decrease in the calculated total number of vaccinated HCWs, as compared to 2009.\n‡p < 0.0001, as measured by the chi-square two-tailed test.\nPandemic influenza vaccination started in the first week of December during the peak of the pandemic in Croatia. Overall, fewer than 1,000 HCWs were vaccinated, i.e., fewer than 5% of all the HCWs in Croatia.", "The overall vaccination coverage rates in the post-pandemic seasons of 2010–2011 and 2011–2012 were 15% (IQR 4–29) and 14% (IQR 8–29), respectively, which represent a significant decrease by 24% and 35% from 2009 (p < 0.0001), respectively (Table \n2; Figure \n2, Panel A). In the post-pandemic seasons, long-term care and specialized hospitals reported the lowest vaccination coverage (13% [IQR 1–32] and 12% [IQR 8–36], respectively, p < 0.0001) (Figure \n3, Panel A). Vaccination coverage remained highest among HCWs at university hospitals (16% [IQR 13–22 and 17% [IQR 13–24] in 2010–2011 and 2011–2012, respectively). By occupation, influenza vaccination was the most common among physicians (30% [IQR 20–48] and 26% [IQR 10–34], respectively), followed by graduate nurses (29% [IQR 14–47.5] and 28% [IQR 9.6–44.2], respectively), other HCWs (20% [IQR 8–36] and 21% [IQR 4–48], respectively), housekeeping (19% [IQR 7–32] and 22% [IQR 5–26], respectively) and lowest among practical nurses (17% [IQR 8–29] and 12% [IQR 6–20], respectively, p = 0.002). By occupation and work setting, influenza vaccination was most common among physicians who worked in university hospitals (52%, [IQR 37.2–68.5]) and lowest among other HCWs who worked in general hospitals (17%, [IQR 3–28]).", "Meanwhile, from 2006 to 2011, the median HBV vaccination coverage was 98%, albeit with considerable differences according to work setting (range 19–100%) and occupation (range 4–100%) (Figures \n2,\n3,\n4, Panel B). By work settings, HCWs in university hospitals were more likely to receive HBV vaccine than in general or long-term care hospitals (medians 97–98% vs. 87–96% vs. 92–98%, p = 0.03, respectively) (Figure \n3, Panel B). By occupation, HBV vaccination coverage among physicians was 90–95%, graduate nurses 92–97%, practical nurses 90–96%, other HCWs 89–94% and housekeeping personnel had the lowest vaccination rates (medians 79–89%, p = 0.001) (Figure \n4, Panel B).", "CNIPH: Croatian national institute of public health; HBV: Hepatitis B virus; HCWs: Healthcare workers; NHICAC: National hospital infection control advisory committee.", "The authors declare that they have no competing interests.", "RC, IK, VS and SK developed the research question and protocol, and conducted the analyses. RC, NP and JC drafted the manuscript. NP and JC were involved in the conception and design of the study, acquisition of data, and analysis and interpretation of data. RC and NP performed the statistical analyses. All the authors revised the manuscript and approved the final draft.", "RC, VS and SK are members of the National Hospital Infection Control Advisory Committee of the Croatian Ministry of Health.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2334/13/520/prepub\n" ]
[ null, null, null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Background", "Methods", "Study design and settings", "Data collection", "Statistical analysis", "Ethics", "Results", "Pre-pandemic seasonal influenza vaccination coverage", "Seasonal and pandemic influenza vaccination coverage in 2009–2010", "Post-pandemic seasonal influenza vaccination coverage", "Hepatitis B vaccination coverage", "Discussion", "Conclusions", "Abbreviations", "Competing interests", "Authors’ contributions", "Authors’ information", "Pre-publication history" ]
[ "Healthcare workers (HCWs), due to direct and indirect contact with patients, are at an increased risk of exposure to and transmission of infectious diseases\n[1-5]. In Croatia, the majority of vaccine-preventable infectious diseases, such as diphtheria, tetanus, pertussis, poliomyelitis, measles, mumps, rubella and tuberculosis, are covered by the national mandatory immunization program for children\n[6-8].\nVaccination of HCWs against hepatitis B virus (HBV) began to be introduced in Croatia in the 1990s and for many years has been mandatory and free of charge\n[9,10]. It is performed using a vaccine obtained from a surface antigen of the hepatitis B virus through genetic engineering that is administered in three doses according to a scheme of 0, 1 and 6 months. The immunization of persons who have been exposed to contaminated material is performed by injecting four doses of vaccine according to a scheme of 0, 1, 2 and 12 months.\nThe annual plan of immunization against infectious diseases is conducted according to the immunization program, which is adopted by the Minister of health at the proposal of the Department of Infectious Disease Epidemiology of the Croatian National Institute of Public Health (CNIPH). The vaccine is provided by the CNIPH to the epidemiology departments, including hospital settings. All HCWs, including medical/nursing students and all new employees, are covered, so all HCWs are supposed to be vaccinated at least by the time they begin their professional careers\n[9,10]. An ordinance on the prevention and control of hospital infections from 2002 places special emphasis on the education and protection of new medical professionals, which has resulted in stricter enforcement measures, especially among newly recruited employees who cannot be hired until they have been vaccinated against hepatitis B. HBV vaccination and post-exposure management after occupational exposure became integral components of a comprehensive program to prevent infections following bloodborne pathogen exposure and important elements of workplace safety\n[2,3,11,12]. Our study represents the first assessment of this program.\nOn the other hand, the first official recommendations for influenza vaccination and free immunization programs for HCWs have been in existence since 1984, when the Advisory Committee on Immunization Practices in the USA recommended annual influenza vaccination as the first and best protection against influenza\n[13]. However, the vaccination of HCWs against influenza is indicated not only for the personal protection of the vaccinated HCWs but also because it contributes to the prevention of influenza among unvaccinated persons in their environment, including their patients and family members\n[14-17]. A number of studies demonstrated that influenza vaccination of HCWs lowers morbidity and mortality in their patients\n[15-18].\nDespite long-standing recommendations, overall vaccination rates for HCWs in many countries remain unacceptably low, near 40%\n[5,19-21]. The gap is magnified when one considers the estimate that influenza immunization rates of 80% or higher are essential for providing the herd immunity necessary to reduce healthcare-associated influenza infections substantially, which is generally not the case where vaccination is voluntary\n[22].\nIn an effort to combat the low rates of vaccination among HCWs, a growing number of professional medical organizations and healthcare facilities are adopting policies mandating influenza vaccination for individuals who work with patients\n[23]. This decision is justified by the fact that maximum protection of patients can only be achieved with a high rate of HCWs vaccination\n[24]. This recommendation is reflected in a 2009 European Union recommendation that set a goal of 75% coverage for this population by 2015\n[25]. Mandatory vaccination has been implemented in many countries, thereby demonstrating that an opt-out strategy for influenza immunization significantly improved vaccination rates compared to an opt-in approach and influenza vaccination rates of more than 95% were sustained\n[26-29].\nThe CNIPH recommends seasonal influenza vaccination for particularly vulnerable population groups, including HCWs. According to the mandatory immunization program, seroprophylaxis and chemoprophylaxis for specific population groups and individuals at risk are recommended every year prior to the beginning of the flu season (in the autumn), one dose of vaccine that corresponds in composition with the recommendations of the World Health Organization. Vaccination is available free of charge but is not mandatory\n[7,30].\nUsing the national surveillance program, we assessed the rates of HBV and influenza vaccination coverage among HCWs in Croatian hospitals. Our study will provide information for the development of a national strategy, including whether influenza vaccination should be mandatory, as is HBV vaccination.", " Study design and settings As part of the ongoing national surveillance program, the National Hospital Infection Control Advisory Committee (NHICAC) conducted a series of nationwide cross-sectional surveys from 2006 to 2011 among HCWs in Croatian hospitals.\nAs part of the ongoing national surveillance program, the National Hospital Infection Control Advisory Committee (NHICAC) conducted a series of nationwide cross-sectional surveys from 2006 to 2011 among HCWs in Croatian hospitals.\n Data collection We distributed questionnaires to all Croatian public hospitals: 36 acute care (14 university and 22 general) and 30 long-term care and specialized hospitals, with a total of over 30,000 employees (ranging from 29,182 to 35,343 HCWs annually), representing 43–60% of all HCWs in the Croatian healthcare system. The survey was conducted by the members of the Hospital Infection Control Advisory Committee of each hospital. Each hospital was required to provide annual vaccination rates for HCWs, both overall and by occupation. In our analysis, HCWs were stratified into physicians (including residents), nurses (practical nurses with high school qualifications and graduate nurses with three-year university-level nursing degrees), other HCWs (including laboratory, radiology and physical medicine personnel) and housekeeping personnel (as defined by the CDC\n[31]). Vaccination coverage for agency staff and those staff members who receive their vaccines off-site was also documented. Hospital administrative staff and HCWs from primary care and outpatient healthcare facilities were not included.\nWe distributed questionnaires to all Croatian public hospitals: 36 acute care (14 university and 22 general) and 30 long-term care and specialized hospitals, with a total of over 30,000 employees (ranging from 29,182 to 35,343 HCWs annually), representing 43–60% of all HCWs in the Croatian healthcare system. The survey was conducted by the members of the Hospital Infection Control Advisory Committee of each hospital. Each hospital was required to provide annual vaccination rates for HCWs, both overall and by occupation. In our analysis, HCWs were stratified into physicians (including residents), nurses (practical nurses with high school qualifications and graduate nurses with three-year university-level nursing degrees), other HCWs (including laboratory, radiology and physical medicine personnel) and housekeeping personnel (as defined by the CDC\n[31]). Vaccination coverage for agency staff and those staff members who receive their vaccines off-site was also documented. Hospital administrative staff and HCWs from primary care and outpatient healthcare facilities were not included.\n Statistical analysis Medians with the interquartile ranges of the sets of the reported vaccination rates are presented. The numbers of missing values varied from query to query, which were excluded from the following statistical analysis. Statistical analysis involved a year-by-year comparison using the Kruskal–Wallis analysis of variance, Dunn’s multiple comparison analysis and the chi-square test, as appropriate, using Prism 6 software (GraphPad Software, San Diego, CA, USA); p < 0.05 was considered significant.\nMedians with the interquartile ranges of the sets of the reported vaccination rates are presented. The numbers of missing values varied from query to query, which were excluded from the following statistical analysis. Statistical analysis involved a year-by-year comparison using the Kruskal–Wallis analysis of variance, Dunn’s multiple comparison analysis and the chi-square test, as appropriate, using Prism 6 software (GraphPad Software, San Diego, CA, USA); p < 0.05 was considered significant.\n Ethics All data were collected with the consent of hospital administration, as routine data assembled for the National Annual Surveillance Report of the NHICAC of the Croatian Ministry of Health. The NHICAC was prohibited from revealing the identities of individual hospitals in the reports. Therefore, data from individual hospitals were screened using backup codes instead of names or collectively according to hospital groups.\nAll data were collected with the consent of hospital administration, as routine data assembled for the National Annual Surveillance Report of the NHICAC of the Croatian Ministry of Health. The NHICAC was prohibited from revealing the identities of individual hospitals in the reports. Therefore, data from individual hospitals were screened using backup codes instead of names or collectively according to hospital groups.", "As part of the ongoing national surveillance program, the National Hospital Infection Control Advisory Committee (NHICAC) conducted a series of nationwide cross-sectional surveys from 2006 to 2011 among HCWs in Croatian hospitals.", "We distributed questionnaires to all Croatian public hospitals: 36 acute care (14 university and 22 general) and 30 long-term care and specialized hospitals, with a total of over 30,000 employees (ranging from 29,182 to 35,343 HCWs annually), representing 43–60% of all HCWs in the Croatian healthcare system. The survey was conducted by the members of the Hospital Infection Control Advisory Committee of each hospital. Each hospital was required to provide annual vaccination rates for HCWs, both overall and by occupation. In our analysis, HCWs were stratified into physicians (including residents), nurses (practical nurses with high school qualifications and graduate nurses with three-year university-level nursing degrees), other HCWs (including laboratory, radiology and physical medicine personnel) and housekeeping personnel (as defined by the CDC\n[31]). Vaccination coverage for agency staff and those staff members who receive their vaccines off-site was also documented. Hospital administrative staff and HCWs from primary care and outpatient healthcare facilities were not included.", "Medians with the interquartile ranges of the sets of the reported vaccination rates are presented. The numbers of missing values varied from query to query, which were excluded from the following statistical analysis. Statistical analysis involved a year-by-year comparison using the Kruskal–Wallis analysis of variance, Dunn’s multiple comparison analysis and the chi-square test, as appropriate, using Prism 6 software (GraphPad Software, San Diego, CA, USA); p < 0.05 was considered significant.", "All data were collected with the consent of hospital administration, as routine data assembled for the National Annual Surveillance Report of the NHICAC of the Croatian Ministry of Health. The NHICAC was prohibited from revealing the identities of individual hospitals in the reports. Therefore, data from individual hospitals were screened using backup codes instead of names or collectively according to hospital groups.", "Among the 66 hospitals contacted, the response rate varied between 57% and 83%, depending on the year. Only 33 (50%) of the hospitals provided data on the coverage of various HCW subgroups. The data were provided as percentages or numbers of vaccinated HCWs. The baseline characteristics of the HCWs included in the study, overall and stratified by type of hospital, are presented in Table \n1. The structure of the HCWs by occupation did not significantly change during the period studied, so the data for 2010 are shown (Figure \n1).\nHealthcare workers included in the study: overall, by type of hospital, by survey year\n*HCWs—healthcare workers.\n†the total number of HCWs in Croatian hospitals that entered the study.\n§the percentages of respondents in relation to the total number of HCWs employed in Croatia as reported in\n[6].\nProportions of healthcare workers included in the study, overall and stratified by type of hospital and occupation, based on data from the national surveillance program of the National Hospital Infection Control Advisory Committee, all 66 public hospitals in Croatia, 2006–2011.\n Pre-pandemic seasonal influenza vaccination coverage From the 2006–2007 influenza seasons, the median seasonal influenza vaccination rates at the hospitals studied were 36% (IQR 21–52.5), 25% (IQR 17.5–39.5) and 29% (IQR 20.6–47.5), respectively (Figure \n2, Panel A). There were some differences in vaccination coverage between acute care and long-term care facilities, which were not statistically significant (Figure \n3, Panel A). By occupation, influenza vaccination was the most common among physicians (30% [IQR 12.7–50.7], 34% [IQR 20–47] and 36% [IQR 20.3–49], respectively), followed by graduate nurses (35% [IQR 14–48], 32% [IQR 16–45.7] and 37% [IQR 19.2–49.5], respectively), other HCWs (34% [IQR 11.3–52.9], 30% [IQR 3–51] and 33% [IQR 12.2–48.2], respectively) and lowest among practical nurses (25% [IQR 13–36], 24% [IQR 12–31.6] and 22% [IQR 10–33.2], p < 0.01), and housekeeping staff (29% [IQR 11.7–42.4], 22% [IQR 11.2–30.2] and 21% [IQR 15.2–48.2], respectively). Significant differences among practical nurses, physicians and graduate nurses were observed (Figure \n4, Panel A). Further analysis by occupation and type of hospital showed no statistical differences.\nSeasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by season/year. Each dot represents one hospital while bars represent the medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. In (Panel A), significant decreases in 2010–2011 and 2011–2012 post-pandemic vaccination coverage is seen in comparison to the four pre-pandemic seasons. Meanwhile, HBV vaccination coverage was stable during the period studied (p = 0.07) (Panel B).\nSeasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by type of hospital. Medians with interquartile ranges were plotted. In 2009–2010, significant increase in vaccination coverage in long-term care and specialized hospitals was observed (p = 0.03) (Panel A). In the following post-pandemic seasons, significant decrease in all the groups was observed (p < 0.0001, Kruskal–Wallis) (Panel A). (Panel B) shows significant differences between university and general (p = 0.015), and university and long-term care and specialized hospitals (p = 0.006).\nSeasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among healthcare workers in Croatian hospitals, stratified by occupation and year. The bars represent medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. Statistical analysis showed significant differences among physicians, graduate nurses and practical nurses (p = 0.01). Furthermore, significant decreases in 2011–2012 were observed (*, p < 0.05)) (Panel A). Meanwhile, HBV vaccination coverage was the lowest among housekeeping personnel (p = 0.001) (Panel B).\nFrom the 2006–2007 influenza seasons, the median seasonal influenza vaccination rates at the hospitals studied were 36% (IQR 21–52.5), 25% (IQR 17.5–39.5) and 29% (IQR 20.6–47.5), respectively (Figure \n2, Panel A). There were some differences in vaccination coverage between acute care and long-term care facilities, which were not statistically significant (Figure \n3, Panel A). By occupation, influenza vaccination was the most common among physicians (30% [IQR 12.7–50.7], 34% [IQR 20–47] and 36% [IQR 20.3–49], respectively), followed by graduate nurses (35% [IQR 14–48], 32% [IQR 16–45.7] and 37% [IQR 19.2–49.5], respectively), other HCWs (34% [IQR 11.3–52.9], 30% [IQR 3–51] and 33% [IQR 12.2–48.2], respectively) and lowest among practical nurses (25% [IQR 13–36], 24% [IQR 12–31.6] and 22% [IQR 10–33.2], p < 0.01), and housekeeping staff (29% [IQR 11.7–42.4], 22% [IQR 11.2–30.2] and 21% [IQR 15.2–48.2], respectively). Significant differences among practical nurses, physicians and graduate nurses were observed (Figure \n4, Panel A). Further analysis by occupation and type of hospital showed no statistical differences.\nSeasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by season/year. Each dot represents one hospital while bars represent the medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. In (Panel A), significant decreases in 2010–2011 and 2011–2012 post-pandemic vaccination coverage is seen in comparison to the four pre-pandemic seasons. Meanwhile, HBV vaccination coverage was stable during the period studied (p = 0.07) (Panel B).\nSeasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by type of hospital. Medians with interquartile ranges were plotted. In 2009–2010, significant increase in vaccination coverage in long-term care and specialized hospitals was observed (p = 0.03) (Panel A). In the following post-pandemic seasons, significant decrease in all the groups was observed (p < 0.0001, Kruskal–Wallis) (Panel A). (Panel B) shows significant differences between university and general (p = 0.015), and university and long-term care and specialized hospitals (p = 0.006).\nSeasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among healthcare workers in Croatian hospitals, stratified by occupation and year. The bars represent medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. Statistical analysis showed significant differences among physicians, graduate nurses and practical nurses (p = 0.01). Furthermore, significant decreases in 2011–2012 were observed (*, p < 0.05)) (Panel A). Meanwhile, HBV vaccination coverage was the lowest among housekeeping personnel (p = 0.001) (Panel B).\n Seasonal and pandemic influenza vaccination coverage in 2009–2010 In 2009, seasonal influenza vaccination in Croatia started in November and showed similar trends as in previous seasons. In total, 7,972 of the HCWs were vaccinated, with a median of 30% (IQR 18–52) of the hospitals studied (Table \n2, Figure \n2, Panel A). Higher rates in long-term care and specialized hospitals as compared to acute care hospitals (medians of 50% [IQR 25–61] vs. 26% [IQR 17–43] and 23% [IQR 15–35], respectively, p = 0.03), were observed (Figure \n3, Panel A; Table \n2). By occupation, there were no statistical differences, although the rate among physicians was slightly higher than in pre-pandemic seasons (38% [IQR 33–60] in 2009 vs. 30% in 2006) (Figure \n4, Panel A).\nSeasonal influenza vaccination coverage among healthcare workers: overall, by type of hospital, three consecutive seasons\n*IQR, interquartile range.\n†decrease in the calculated total number of vaccinated HCWs, as compared to 2009.\n‡p < 0.0001, as measured by the chi-square two-tailed test.\nPandemic influenza vaccination started in the first week of December during the peak of the pandemic in Croatia. Overall, fewer than 1,000 HCWs were vaccinated, i.e., fewer than 5% of all the HCWs in Croatia.\nIn 2009, seasonal influenza vaccination in Croatia started in November and showed similar trends as in previous seasons. In total, 7,972 of the HCWs were vaccinated, with a median of 30% (IQR 18–52) of the hospitals studied (Table \n2, Figure \n2, Panel A). Higher rates in long-term care and specialized hospitals as compared to acute care hospitals (medians of 50% [IQR 25–61] vs. 26% [IQR 17–43] and 23% [IQR 15–35], respectively, p = 0.03), were observed (Figure \n3, Panel A; Table \n2). By occupation, there were no statistical differences, although the rate among physicians was slightly higher than in pre-pandemic seasons (38% [IQR 33–60] in 2009 vs. 30% in 2006) (Figure \n4, Panel A).\nSeasonal influenza vaccination coverage among healthcare workers: overall, by type of hospital, three consecutive seasons\n*IQR, interquartile range.\n†decrease in the calculated total number of vaccinated HCWs, as compared to 2009.\n‡p < 0.0001, as measured by the chi-square two-tailed test.\nPandemic influenza vaccination started in the first week of December during the peak of the pandemic in Croatia. Overall, fewer than 1,000 HCWs were vaccinated, i.e., fewer than 5% of all the HCWs in Croatia.\n Post-pandemic seasonal influenza vaccination coverage The overall vaccination coverage rates in the post-pandemic seasons of 2010–2011 and 2011–2012 were 15% (IQR 4–29) and 14% (IQR 8–29), respectively, which represent a significant decrease by 24% and 35% from 2009 (p < 0.0001), respectively (Table \n2; Figure \n2, Panel A). In the post-pandemic seasons, long-term care and specialized hospitals reported the lowest vaccination coverage (13% [IQR 1–32] and 12% [IQR 8–36], respectively, p < 0.0001) (Figure \n3, Panel A). Vaccination coverage remained highest among HCWs at university hospitals (16% [IQR 13–22 and 17% [IQR 13–24] in 2010–2011 and 2011–2012, respectively). By occupation, influenza vaccination was the most common among physicians (30% [IQR 20–48] and 26% [IQR 10–34], respectively), followed by graduate nurses (29% [IQR 14–47.5] and 28% [IQR 9.6–44.2], respectively), other HCWs (20% [IQR 8–36] and 21% [IQR 4–48], respectively), housekeeping (19% [IQR 7–32] and 22% [IQR 5–26], respectively) and lowest among practical nurses (17% [IQR 8–29] and 12% [IQR 6–20], respectively, p = 0.002). By occupation and work setting, influenza vaccination was most common among physicians who worked in university hospitals (52%, [IQR 37.2–68.5]) and lowest among other HCWs who worked in general hospitals (17%, [IQR 3–28]).\nThe overall vaccination coverage rates in the post-pandemic seasons of 2010–2011 and 2011–2012 were 15% (IQR 4–29) and 14% (IQR 8–29), respectively, which represent a significant decrease by 24% and 35% from 2009 (p < 0.0001), respectively (Table \n2; Figure \n2, Panel A). In the post-pandemic seasons, long-term care and specialized hospitals reported the lowest vaccination coverage (13% [IQR 1–32] and 12% [IQR 8–36], respectively, p < 0.0001) (Figure \n3, Panel A). Vaccination coverage remained highest among HCWs at university hospitals (16% [IQR 13–22 and 17% [IQR 13–24] in 2010–2011 and 2011–2012, respectively). By occupation, influenza vaccination was the most common among physicians (30% [IQR 20–48] and 26% [IQR 10–34], respectively), followed by graduate nurses (29% [IQR 14–47.5] and 28% [IQR 9.6–44.2], respectively), other HCWs (20% [IQR 8–36] and 21% [IQR 4–48], respectively), housekeeping (19% [IQR 7–32] and 22% [IQR 5–26], respectively) and lowest among practical nurses (17% [IQR 8–29] and 12% [IQR 6–20], respectively, p = 0.002). By occupation and work setting, influenza vaccination was most common among physicians who worked in university hospitals (52%, [IQR 37.2–68.5]) and lowest among other HCWs who worked in general hospitals (17%, [IQR 3–28]).\n Hepatitis B vaccination coverage Meanwhile, from 2006 to 2011, the median HBV vaccination coverage was 98%, albeit with considerable differences according to work setting (range 19–100%) and occupation (range 4–100%) (Figures \n2,\n3,\n4, Panel B). By work settings, HCWs in university hospitals were more likely to receive HBV vaccine than in general or long-term care hospitals (medians 97–98% vs. 87–96% vs. 92–98%, p = 0.03, respectively) (Figure \n3, Panel B). By occupation, HBV vaccination coverage among physicians was 90–95%, graduate nurses 92–97%, practical nurses 90–96%, other HCWs 89–94% and housekeeping personnel had the lowest vaccination rates (medians 79–89%, p = 0.001) (Figure \n4, Panel B).\nMeanwhile, from 2006 to 2011, the median HBV vaccination coverage was 98%, albeit with considerable differences according to work setting (range 19–100%) and occupation (range 4–100%) (Figures \n2,\n3,\n4, Panel B). By work settings, HCWs in university hospitals were more likely to receive HBV vaccine than in general or long-term care hospitals (medians 97–98% vs. 87–96% vs. 92–98%, p = 0.03, respectively) (Figure \n3, Panel B). By occupation, HBV vaccination coverage among physicians was 90–95%, graduate nurses 92–97%, practical nurses 90–96%, other HCWs 89–94% and housekeeping personnel had the lowest vaccination rates (medians 79–89%, p = 0.001) (Figure \n4, Panel B).", "From the 2006–2007 influenza seasons, the median seasonal influenza vaccination rates at the hospitals studied were 36% (IQR 21–52.5), 25% (IQR 17.5–39.5) and 29% (IQR 20.6–47.5), respectively (Figure \n2, Panel A). There were some differences in vaccination coverage between acute care and long-term care facilities, which were not statistically significant (Figure \n3, Panel A). By occupation, influenza vaccination was the most common among physicians (30% [IQR 12.7–50.7], 34% [IQR 20–47] and 36% [IQR 20.3–49], respectively), followed by graduate nurses (35% [IQR 14–48], 32% [IQR 16–45.7] and 37% [IQR 19.2–49.5], respectively), other HCWs (34% [IQR 11.3–52.9], 30% [IQR 3–51] and 33% [IQR 12.2–48.2], respectively) and lowest among practical nurses (25% [IQR 13–36], 24% [IQR 12–31.6] and 22% [IQR 10–33.2], p < 0.01), and housekeeping staff (29% [IQR 11.7–42.4], 22% [IQR 11.2–30.2] and 21% [IQR 15.2–48.2], respectively). Significant differences among practical nurses, physicians and graduate nurses were observed (Figure \n4, Panel A). Further analysis by occupation and type of hospital showed no statistical differences.\nSeasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by season/year. Each dot represents one hospital while bars represent the medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. In (Panel A), significant decreases in 2010–2011 and 2011–2012 post-pandemic vaccination coverage is seen in comparison to the four pre-pandemic seasons. Meanwhile, HBV vaccination coverage was stable during the period studied (p = 0.07) (Panel B).\nSeasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by type of hospital. Medians with interquartile ranges were plotted. In 2009–2010, significant increase in vaccination coverage in long-term care and specialized hospitals was observed (p = 0.03) (Panel A). In the following post-pandemic seasons, significant decrease in all the groups was observed (p < 0.0001, Kruskal–Wallis) (Panel A). (Panel B) shows significant differences between university and general (p = 0.015), and university and long-term care and specialized hospitals (p = 0.006).\nSeasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among healthcare workers in Croatian hospitals, stratified by occupation and year. The bars represent medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. Statistical analysis showed significant differences among physicians, graduate nurses and practical nurses (p = 0.01). Furthermore, significant decreases in 2011–2012 were observed (*, p < 0.05)) (Panel A). Meanwhile, HBV vaccination coverage was the lowest among housekeeping personnel (p = 0.001) (Panel B).", "In 2009, seasonal influenza vaccination in Croatia started in November and showed similar trends as in previous seasons. In total, 7,972 of the HCWs were vaccinated, with a median of 30% (IQR 18–52) of the hospitals studied (Table \n2, Figure \n2, Panel A). Higher rates in long-term care and specialized hospitals as compared to acute care hospitals (medians of 50% [IQR 25–61] vs. 26% [IQR 17–43] and 23% [IQR 15–35], respectively, p = 0.03), were observed (Figure \n3, Panel A; Table \n2). By occupation, there were no statistical differences, although the rate among physicians was slightly higher than in pre-pandemic seasons (38% [IQR 33–60] in 2009 vs. 30% in 2006) (Figure \n4, Panel A).\nSeasonal influenza vaccination coverage among healthcare workers: overall, by type of hospital, three consecutive seasons\n*IQR, interquartile range.\n†decrease in the calculated total number of vaccinated HCWs, as compared to 2009.\n‡p < 0.0001, as measured by the chi-square two-tailed test.\nPandemic influenza vaccination started in the first week of December during the peak of the pandemic in Croatia. Overall, fewer than 1,000 HCWs were vaccinated, i.e., fewer than 5% of all the HCWs in Croatia.", "The overall vaccination coverage rates in the post-pandemic seasons of 2010–2011 and 2011–2012 were 15% (IQR 4–29) and 14% (IQR 8–29), respectively, which represent a significant decrease by 24% and 35% from 2009 (p < 0.0001), respectively (Table \n2; Figure \n2, Panel A). In the post-pandemic seasons, long-term care and specialized hospitals reported the lowest vaccination coverage (13% [IQR 1–32] and 12% [IQR 8–36], respectively, p < 0.0001) (Figure \n3, Panel A). Vaccination coverage remained highest among HCWs at university hospitals (16% [IQR 13–22 and 17% [IQR 13–24] in 2010–2011 and 2011–2012, respectively). By occupation, influenza vaccination was the most common among physicians (30% [IQR 20–48] and 26% [IQR 10–34], respectively), followed by graduate nurses (29% [IQR 14–47.5] and 28% [IQR 9.6–44.2], respectively), other HCWs (20% [IQR 8–36] and 21% [IQR 4–48], respectively), housekeeping (19% [IQR 7–32] and 22% [IQR 5–26], respectively) and lowest among practical nurses (17% [IQR 8–29] and 12% [IQR 6–20], respectively, p = 0.002). By occupation and work setting, influenza vaccination was most common among physicians who worked in university hospitals (52%, [IQR 37.2–68.5]) and lowest among other HCWs who worked in general hospitals (17%, [IQR 3–28]).", "Meanwhile, from 2006 to 2011, the median HBV vaccination coverage was 98%, albeit with considerable differences according to work setting (range 19–100%) and occupation (range 4–100%) (Figures \n2,\n3,\n4, Panel B). By work settings, HCWs in university hospitals were more likely to receive HBV vaccine than in general or long-term care hospitals (medians 97–98% vs. 87–96% vs. 92–98%, p = 0.03, respectively) (Figure \n3, Panel B). By occupation, HBV vaccination coverage among physicians was 90–95%, graduate nurses 92–97%, practical nurses 90–96%, other HCWs 89–94% and housekeeping personnel had the lowest vaccination rates (medians 79–89%, p = 0.001) (Figure \n4, Panel B).", "This study presents data for 2006–2011 from the national surveillance program conducted by the NHICAC, which shows that the seasonal influenza vaccination coverage in the pre-pandemic period among HCWs in Croatian hospitals was >30%, with a significant decrease in post-pandemic vaccination coverage from 2006 to 2011 (from 36% to 14%). During the same period in the same population of HCWs, mandatory overall HBV vaccination coverage remained 98%.\nThe fact that fewer hospitals in our study are reporting data on vaccination coverage against influenza than against HBV reflects different attitudes toward the importance of immunization against these two vaccine-preventable diseases.\nAlthough the average HBV vaccination rate is high, considerable differences by work setting (range 19–100%) and occupation (range 4–100%) were noted in the study. The problem with HBV vaccination in Croatia is that subsequent confirmation of immunization by HBV surface antigen testing is not mandatory. Therefore, it is not known whether a particular HCW is protected from infection until routine hepatitis B titer is performed following occupational exposure to blood. For the same 6-year period, only two HCWs with occupational HBV-infection were reported by the Croatian Institute for Health Protection and Safety at Work\n[32].\nMany countries recommend the vaccination of HCWs against influenza. In recent years, there has been an increase in the vaccination rates among HCWs in some countries, although not in others\n[33]. The average vaccination rate of HCWs in Croatian hospitals during the initial years of monitoring (2006–2009) was approximately 30% (range 25–36%), which corresponded to the vaccination rates in other countries\n[5,16]. Educational activities, vaccination campaigns, easy access to free vaccines and the use of formal declination forms have been shown to increase vaccination rates in some countries to as high as 80%\n[16,33].\nIn order to increase the HCW awareness concerning the need for immunization, many educational activities are organized by the Ministry of Health, CNIPH and professional societies of the Croatian Medical Association, including information on the real burden of adverse events and the safety of the vaccines. Regarding blood-borne infections, including protection from hepatitis B, national guidelines were published in 2004\n[12], and since 2007 a pilot project of the Ministry of Health, Investigation of the Risk of Occupational Exposure to Blood-Borne Infections among Personnel in Croatian Hospitals, has been implemented, which includes educating HCWs through leaflets, posters, lectures, courses and workshops on pre- and post-exposure prophylaxis. For the education of HCWs on immunization against influenza, the CNIPH, in addition to the aforementioned educational activities, has opened a website with information and answers to frequently asked questions. Every year, the CNIPH commemorates Immunization Week, a conference for the professional societies of the Croatian Medical Association\n[34].\nSignificant differences in vaccination coverage exist among specialties and employee groups: physicians and medical students are more likely to be vaccinated than nurses, nursing aides and administrative personnel\n[35]. Our study has shown that according to professions, the highest rate of immunization was among physicians and the lowest among practical nurses. Even housekeepers had a higher rate of immunization. Actually, coverage rates among practical nurses (the largest group of HCWs, accounting for 42–55% of all hospital HCWs) compared to physicians and graduate nurses were 30% and 45% lower in the pre-pandemic and post-pandemic periods, respectively. This results in inadequate vaccination rates among those with the greatest amount of patient contact, potentially providing a basis for group-specific interventions.\nA number of studies have addressed behavioral responses to the 2009 influenza pandemic among HCWs. Overall, uncertainty about vaccine side effects, concern about vaccine safety and distrust of the health authorities were the most common reasons stated for non-vaccination\n[36,37]. Although vaccination against seasonal influenza among HCWs in Croatia was 30% in 2009, the vaccination rate against pandemic influenza in same year was <5%. This can partially be explained by the fact that vaccination started at the peak of the influenza pandemic, although it is undoubtedly partially due to increased concern about the potential side effects of the vaccine and the impact of an anti-vaccination campaign\n[38].\nA systematic review that summarizes the results from 20 publications sampling HCWs from various geographical regions showed that pandemic vaccine coverage was variable (9–92%) across HCW populations\n[39]. The most important sociodemographic predictor of vaccine uptake was found to be previous seasonal influenza vaccination\n[39,40]. HCWs were likely to accept the pandemic vaccine if they perceived H1N1 as a serious and severe infection, and considered the pandemic vaccine to be safe and effective in preventing infection to themselves and others (e.g., loved ones, co-workers and patients)\n[39].\nIn the first post-pandemic season, 2010–2011, there was a significantly lower seasonal influenza vaccination rate (total decline of 24%) in comparison to pre-pandemic season. This negative trend continued during the following season, 2011–2012 (a decline of 35% in comparison to 2009–2010).\nAmong the reasons cited by HCWs for why they were vaccinated, self-protection was in the first place, the protection of family members in the second, while the protection of patients was lower on the list of priorities\n[40]. Since patient welfare is not a sufficiently motivating factor for HCWs to choose influenza vaccination, the introduction of mandatory vaccination is a possible option. The main justification for mandatory vaccination stems from the duty of caregivers to protect their patients\n[41]. Current guidelines of the Infectious Diseases Society of America state that annual influenza vaccination should be mandatory for HCWs in the interest of safeguarding patients and protecting public health\n[42].\nIn the same way that HBV vaccination was introduced into the general population, there have been attempts to introduce mandatory influenza vaccination for the entire population, which resulted in a reduction in influenza-associated mortality and healthcare use\n[43].\nThe main limitation of this study is its observational nature, which resulted in some differences in the quality of the reported data, although the numbers of hospitals and HCWs included represent a significant part of the HCWs in Croatia. However, this is the first study that reports influenza and HBV vaccination rates in Croatian hospitals. Future research should include better stratified samples, expanded activities and personnel in community and outpatient healthcare institutions, especially emergency medical services with higher rates of exposure.", "Substantial variation across hospitals and different categories of HCWs was observed in vaccination coverage for both seasonal influenza and HBV. However, HBV vaccination coverage is quite satisfactory compared to seasonal influenza vaccination coverage among healthcare personnel in Croatia. A possible reason for this difference is that HBV vaccination is mandatory. These findings highlight the need for national strategies that optimize vaccination coverage among HCWs in Croatian hospitals, including mandatory vaccination for seasonal influenza.", "CNIPH: Croatian national institute of public health; HBV: Hepatitis B virus; HCWs: Healthcare workers; NHICAC: National hospital infection control advisory committee.", "The authors declare that they have no competing interests.", "RC, IK, VS and SK developed the research question and protocol, and conducted the analyses. RC, NP and JC drafted the manuscript. NP and JC were involved in the conception and design of the study, acquisition of data, and analysis and interpretation of data. RC and NP performed the statistical analyses. All the authors revised the manuscript and approved the final draft.", "RC, VS and SK are members of the National Hospital Infection Control Advisory Committee of the Croatian Ministry of Health.", "The pre-publication history for this paper can be accessed here:\n\nhttp://www.biomedcentral.com/1471-2334/13/520/prepub\n" ]
[ null, "methods", null, null, null, null, "results", null, null, null, null, "discussion", "conclusions", null, null, null, null, null ]
[ "Influenza", "Hepatitis B", "Healthcare workers", "Vaccination" ]
Background: Healthcare workers (HCWs), due to direct and indirect contact with patients, are at an increased risk of exposure to and transmission of infectious diseases [1-5]. In Croatia, the majority of vaccine-preventable infectious diseases, such as diphtheria, tetanus, pertussis, poliomyelitis, measles, mumps, rubella and tuberculosis, are covered by the national mandatory immunization program for children [6-8]. Vaccination of HCWs against hepatitis B virus (HBV) began to be introduced in Croatia in the 1990s and for many years has been mandatory and free of charge [9,10]. It is performed using a vaccine obtained from a surface antigen of the hepatitis B virus through genetic engineering that is administered in three doses according to a scheme of 0, 1 and 6 months. The immunization of persons who have been exposed to contaminated material is performed by injecting four doses of vaccine according to a scheme of 0, 1, 2 and 12 months. The annual plan of immunization against infectious diseases is conducted according to the immunization program, which is adopted by the Minister of health at the proposal of the Department of Infectious Disease Epidemiology of the Croatian National Institute of Public Health (CNIPH). The vaccine is provided by the CNIPH to the epidemiology departments, including hospital settings. All HCWs, including medical/nursing students and all new employees, are covered, so all HCWs are supposed to be vaccinated at least by the time they begin their professional careers [9,10]. An ordinance on the prevention and control of hospital infections from 2002 places special emphasis on the education and protection of new medical professionals, which has resulted in stricter enforcement measures, especially among newly recruited employees who cannot be hired until they have been vaccinated against hepatitis B. HBV vaccination and post-exposure management after occupational exposure became integral components of a comprehensive program to prevent infections following bloodborne pathogen exposure and important elements of workplace safety [2,3,11,12]. Our study represents the first assessment of this program. On the other hand, the first official recommendations for influenza vaccination and free immunization programs for HCWs have been in existence since 1984, when the Advisory Committee on Immunization Practices in the USA recommended annual influenza vaccination as the first and best protection against influenza [13]. However, the vaccination of HCWs against influenza is indicated not only for the personal protection of the vaccinated HCWs but also because it contributes to the prevention of influenza among unvaccinated persons in their environment, including their patients and family members [14-17]. A number of studies demonstrated that influenza vaccination of HCWs lowers morbidity and mortality in their patients [15-18]. Despite long-standing recommendations, overall vaccination rates for HCWs in many countries remain unacceptably low, near 40% [5,19-21]. The gap is magnified when one considers the estimate that influenza immunization rates of 80% or higher are essential for providing the herd immunity necessary to reduce healthcare-associated influenza infections substantially, which is generally not the case where vaccination is voluntary [22]. In an effort to combat the low rates of vaccination among HCWs, a growing number of professional medical organizations and healthcare facilities are adopting policies mandating influenza vaccination for individuals who work with patients [23]. This decision is justified by the fact that maximum protection of patients can only be achieved with a high rate of HCWs vaccination [24]. This recommendation is reflected in a 2009 European Union recommendation that set a goal of 75% coverage for this population by 2015 [25]. Mandatory vaccination has been implemented in many countries, thereby demonstrating that an opt-out strategy for influenza immunization significantly improved vaccination rates compared to an opt-in approach and influenza vaccination rates of more than 95% were sustained [26-29]. The CNIPH recommends seasonal influenza vaccination for particularly vulnerable population groups, including HCWs. According to the mandatory immunization program, seroprophylaxis and chemoprophylaxis for specific population groups and individuals at risk are recommended every year prior to the beginning of the flu season (in the autumn), one dose of vaccine that corresponds in composition with the recommendations of the World Health Organization. Vaccination is available free of charge but is not mandatory [7,30]. Using the national surveillance program, we assessed the rates of HBV and influenza vaccination coverage among HCWs in Croatian hospitals. Our study will provide information for the development of a national strategy, including whether influenza vaccination should be mandatory, as is HBV vaccination. Methods: Study design and settings As part of the ongoing national surveillance program, the National Hospital Infection Control Advisory Committee (NHICAC) conducted a series of nationwide cross-sectional surveys from 2006 to 2011 among HCWs in Croatian hospitals. As part of the ongoing national surveillance program, the National Hospital Infection Control Advisory Committee (NHICAC) conducted a series of nationwide cross-sectional surveys from 2006 to 2011 among HCWs in Croatian hospitals. Data collection We distributed questionnaires to all Croatian public hospitals: 36 acute care (14 university and 22 general) and 30 long-term care and specialized hospitals, with a total of over 30,000 employees (ranging from 29,182 to 35,343 HCWs annually), representing 43–60% of all HCWs in the Croatian healthcare system. The survey was conducted by the members of the Hospital Infection Control Advisory Committee of each hospital. Each hospital was required to provide annual vaccination rates for HCWs, both overall and by occupation. In our analysis, HCWs were stratified into physicians (including residents), nurses (practical nurses with high school qualifications and graduate nurses with three-year university-level nursing degrees), other HCWs (including laboratory, radiology and physical medicine personnel) and housekeeping personnel (as defined by the CDC [31]). Vaccination coverage for agency staff and those staff members who receive their vaccines off-site was also documented. Hospital administrative staff and HCWs from primary care and outpatient healthcare facilities were not included. We distributed questionnaires to all Croatian public hospitals: 36 acute care (14 university and 22 general) and 30 long-term care and specialized hospitals, with a total of over 30,000 employees (ranging from 29,182 to 35,343 HCWs annually), representing 43–60% of all HCWs in the Croatian healthcare system. The survey was conducted by the members of the Hospital Infection Control Advisory Committee of each hospital. Each hospital was required to provide annual vaccination rates for HCWs, both overall and by occupation. In our analysis, HCWs were stratified into physicians (including residents), nurses (practical nurses with high school qualifications and graduate nurses with three-year university-level nursing degrees), other HCWs (including laboratory, radiology and physical medicine personnel) and housekeeping personnel (as defined by the CDC [31]). Vaccination coverage for agency staff and those staff members who receive their vaccines off-site was also documented. Hospital administrative staff and HCWs from primary care and outpatient healthcare facilities were not included. Statistical analysis Medians with the interquartile ranges of the sets of the reported vaccination rates are presented. The numbers of missing values varied from query to query, which were excluded from the following statistical analysis. Statistical analysis involved a year-by-year comparison using the Kruskal–Wallis analysis of variance, Dunn’s multiple comparison analysis and the chi-square test, as appropriate, using Prism 6 software (GraphPad Software, San Diego, CA, USA); p < 0.05 was considered significant. Medians with the interquartile ranges of the sets of the reported vaccination rates are presented. The numbers of missing values varied from query to query, which were excluded from the following statistical analysis. Statistical analysis involved a year-by-year comparison using the Kruskal–Wallis analysis of variance, Dunn’s multiple comparison analysis and the chi-square test, as appropriate, using Prism 6 software (GraphPad Software, San Diego, CA, USA); p < 0.05 was considered significant. Ethics All data were collected with the consent of hospital administration, as routine data assembled for the National Annual Surveillance Report of the NHICAC of the Croatian Ministry of Health. The NHICAC was prohibited from revealing the identities of individual hospitals in the reports. Therefore, data from individual hospitals were screened using backup codes instead of names or collectively according to hospital groups. All data were collected with the consent of hospital administration, as routine data assembled for the National Annual Surveillance Report of the NHICAC of the Croatian Ministry of Health. The NHICAC was prohibited from revealing the identities of individual hospitals in the reports. Therefore, data from individual hospitals were screened using backup codes instead of names or collectively according to hospital groups. Study design and settings: As part of the ongoing national surveillance program, the National Hospital Infection Control Advisory Committee (NHICAC) conducted a series of nationwide cross-sectional surveys from 2006 to 2011 among HCWs in Croatian hospitals. Data collection: We distributed questionnaires to all Croatian public hospitals: 36 acute care (14 university and 22 general) and 30 long-term care and specialized hospitals, with a total of over 30,000 employees (ranging from 29,182 to 35,343 HCWs annually), representing 43–60% of all HCWs in the Croatian healthcare system. The survey was conducted by the members of the Hospital Infection Control Advisory Committee of each hospital. Each hospital was required to provide annual vaccination rates for HCWs, both overall and by occupation. In our analysis, HCWs were stratified into physicians (including residents), nurses (practical nurses with high school qualifications and graduate nurses with three-year university-level nursing degrees), other HCWs (including laboratory, radiology and physical medicine personnel) and housekeeping personnel (as defined by the CDC [31]). Vaccination coverage for agency staff and those staff members who receive their vaccines off-site was also documented. Hospital administrative staff and HCWs from primary care and outpatient healthcare facilities were not included. Statistical analysis: Medians with the interquartile ranges of the sets of the reported vaccination rates are presented. The numbers of missing values varied from query to query, which were excluded from the following statistical analysis. Statistical analysis involved a year-by-year comparison using the Kruskal–Wallis analysis of variance, Dunn’s multiple comparison analysis and the chi-square test, as appropriate, using Prism 6 software (GraphPad Software, San Diego, CA, USA); p < 0.05 was considered significant. Ethics: All data were collected with the consent of hospital administration, as routine data assembled for the National Annual Surveillance Report of the NHICAC of the Croatian Ministry of Health. The NHICAC was prohibited from revealing the identities of individual hospitals in the reports. Therefore, data from individual hospitals were screened using backup codes instead of names or collectively according to hospital groups. Results: Among the 66 hospitals contacted, the response rate varied between 57% and 83%, depending on the year. Only 33 (50%) of the hospitals provided data on the coverage of various HCW subgroups. The data were provided as percentages or numbers of vaccinated HCWs. The baseline characteristics of the HCWs included in the study, overall and stratified by type of hospital, are presented in Table  1. The structure of the HCWs by occupation did not significantly change during the period studied, so the data for 2010 are shown (Figure  1). Healthcare workers included in the study: overall, by type of hospital, by survey year *HCWs—healthcare workers. †the total number of HCWs in Croatian hospitals that entered the study. §the percentages of respondents in relation to the total number of HCWs employed in Croatia as reported in [6]. Proportions of healthcare workers included in the study, overall and stratified by type of hospital and occupation, based on data from the national surveillance program of the National Hospital Infection Control Advisory Committee, all 66 public hospitals in Croatia, 2006–2011. Pre-pandemic seasonal influenza vaccination coverage From the 2006–2007 influenza seasons, the median seasonal influenza vaccination rates at the hospitals studied were 36% (IQR 21–52.5), 25% (IQR 17.5–39.5) and 29% (IQR 20.6–47.5), respectively (Figure  2, Panel A). There were some differences in vaccination coverage between acute care and long-term care facilities, which were not statistically significant (Figure  3, Panel A). By occupation, influenza vaccination was the most common among physicians (30% [IQR 12.7–50.7], 34% [IQR 20–47] and 36% [IQR 20.3–49], respectively), followed by graduate nurses (35% [IQR 14–48], 32% [IQR 16–45.7] and 37% [IQR 19.2–49.5], respectively), other HCWs (34% [IQR 11.3–52.9], 30% [IQR 3–51] and 33% [IQR 12.2–48.2], respectively) and lowest among practical nurses (25% [IQR 13–36], 24% [IQR 12–31.6] and 22% [IQR 10–33.2], p < 0.01), and housekeeping staff (29% [IQR 11.7–42.4], 22% [IQR 11.2–30.2] and 21% [IQR 15.2–48.2], respectively). Significant differences among practical nurses, physicians and graduate nurses were observed (Figure  4, Panel A). Further analysis by occupation and type of hospital showed no statistical differences. Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by season/year. Each dot represents one hospital while bars represent the medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. In (Panel A), significant decreases in 2010–2011 and 2011–2012 post-pandemic vaccination coverage is seen in comparison to the four pre-pandemic seasons. Meanwhile, HBV vaccination coverage was stable during the period studied (p = 0.07) (Panel B). Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by type of hospital. Medians with interquartile ranges were plotted. In 2009–2010, significant increase in vaccination coverage in long-term care and specialized hospitals was observed (p = 0.03) (Panel A). In the following post-pandemic seasons, significant decrease in all the groups was observed (p < 0.0001, Kruskal–Wallis) (Panel A). (Panel B) shows significant differences between university and general (p = 0.015), and university and long-term care and specialized hospitals (p = 0.006). Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among healthcare workers in Croatian hospitals, stratified by occupation and year. The bars represent medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. Statistical analysis showed significant differences among physicians, graduate nurses and practical nurses (p = 0.01). Furthermore, significant decreases in 2011–2012 were observed (*, p < 0.05)) (Panel A). Meanwhile, HBV vaccination coverage was the lowest among housekeeping personnel (p = 0.001) (Panel B). From the 2006–2007 influenza seasons, the median seasonal influenza vaccination rates at the hospitals studied were 36% (IQR 21–52.5), 25% (IQR 17.5–39.5) and 29% (IQR 20.6–47.5), respectively (Figure  2, Panel A). There were some differences in vaccination coverage between acute care and long-term care facilities, which were not statistically significant (Figure  3, Panel A). By occupation, influenza vaccination was the most common among physicians (30% [IQR 12.7–50.7], 34% [IQR 20–47] and 36% [IQR 20.3–49], respectively), followed by graduate nurses (35% [IQR 14–48], 32% [IQR 16–45.7] and 37% [IQR 19.2–49.5], respectively), other HCWs (34% [IQR 11.3–52.9], 30% [IQR 3–51] and 33% [IQR 12.2–48.2], respectively) and lowest among practical nurses (25% [IQR 13–36], 24% [IQR 12–31.6] and 22% [IQR 10–33.2], p < 0.01), and housekeeping staff (29% [IQR 11.7–42.4], 22% [IQR 11.2–30.2] and 21% [IQR 15.2–48.2], respectively). Significant differences among practical nurses, physicians and graduate nurses were observed (Figure  4, Panel A). Further analysis by occupation and type of hospital showed no statistical differences. Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by season/year. Each dot represents one hospital while bars represent the medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. In (Panel A), significant decreases in 2010–2011 and 2011–2012 post-pandemic vaccination coverage is seen in comparison to the four pre-pandemic seasons. Meanwhile, HBV vaccination coverage was stable during the period studied (p = 0.07) (Panel B). Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by type of hospital. Medians with interquartile ranges were plotted. In 2009–2010, significant increase in vaccination coverage in long-term care and specialized hospitals was observed (p = 0.03) (Panel A). In the following post-pandemic seasons, significant decrease in all the groups was observed (p < 0.0001, Kruskal–Wallis) (Panel A). (Panel B) shows significant differences between university and general (p = 0.015), and university and long-term care and specialized hospitals (p = 0.006). Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among healthcare workers in Croatian hospitals, stratified by occupation and year. The bars represent medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. Statistical analysis showed significant differences among physicians, graduate nurses and practical nurses (p = 0.01). Furthermore, significant decreases in 2011–2012 were observed (*, p < 0.05)) (Panel A). Meanwhile, HBV vaccination coverage was the lowest among housekeeping personnel (p = 0.001) (Panel B). Seasonal and pandemic influenza vaccination coverage in 2009–2010 In 2009, seasonal influenza vaccination in Croatia started in November and showed similar trends as in previous seasons. In total, 7,972 of the HCWs were vaccinated, with a median of 30% (IQR 18–52) of the hospitals studied (Table  2, Figure  2, Panel A). Higher rates in long-term care and specialized hospitals as compared to acute care hospitals (medians of 50% [IQR 25–61] vs. 26% [IQR 17–43] and 23% [IQR 15–35], respectively, p = 0.03), were observed (Figure  3, Panel A; Table  2). By occupation, there were no statistical differences, although the rate among physicians was slightly higher than in pre-pandemic seasons (38% [IQR 33–60] in 2009 vs. 30% in 2006) (Figure  4, Panel A). Seasonal influenza vaccination coverage among healthcare workers: overall, by type of hospital, three consecutive seasons *IQR, interquartile range. †decrease in the calculated total number of vaccinated HCWs, as compared to 2009. ‡p < 0.0001, as measured by the chi-square two-tailed test. Pandemic influenza vaccination started in the first week of December during the peak of the pandemic in Croatia. Overall, fewer than 1,000 HCWs were vaccinated, i.e., fewer than 5% of all the HCWs in Croatia. In 2009, seasonal influenza vaccination in Croatia started in November and showed similar trends as in previous seasons. In total, 7,972 of the HCWs were vaccinated, with a median of 30% (IQR 18–52) of the hospitals studied (Table  2, Figure  2, Panel A). Higher rates in long-term care and specialized hospitals as compared to acute care hospitals (medians of 50% [IQR 25–61] vs. 26% [IQR 17–43] and 23% [IQR 15–35], respectively, p = 0.03), were observed (Figure  3, Panel A; Table  2). By occupation, there were no statistical differences, although the rate among physicians was slightly higher than in pre-pandemic seasons (38% [IQR 33–60] in 2009 vs. 30% in 2006) (Figure  4, Panel A). Seasonal influenza vaccination coverage among healthcare workers: overall, by type of hospital, three consecutive seasons *IQR, interquartile range. †decrease in the calculated total number of vaccinated HCWs, as compared to 2009. ‡p < 0.0001, as measured by the chi-square two-tailed test. Pandemic influenza vaccination started in the first week of December during the peak of the pandemic in Croatia. Overall, fewer than 1,000 HCWs were vaccinated, i.e., fewer than 5% of all the HCWs in Croatia. Post-pandemic seasonal influenza vaccination coverage The overall vaccination coverage rates in the post-pandemic seasons of 2010–2011 and 2011–2012 were 15% (IQR 4–29) and 14% (IQR 8–29), respectively, which represent a significant decrease by 24% and 35% from 2009 (p < 0.0001), respectively (Table  2; Figure  2, Panel A). In the post-pandemic seasons, long-term care and specialized hospitals reported the lowest vaccination coverage (13% [IQR 1–32] and 12% [IQR 8–36], respectively, p < 0.0001) (Figure  3, Panel A). Vaccination coverage remained highest among HCWs at university hospitals (16% [IQR 13–22 and 17% [IQR 13–24] in 2010–2011 and 2011–2012, respectively). By occupation, influenza vaccination was the most common among physicians (30% [IQR 20–48] and 26% [IQR 10–34], respectively), followed by graduate nurses (29% [IQR 14–47.5] and 28% [IQR 9.6–44.2], respectively), other HCWs (20% [IQR 8–36] and 21% [IQR 4–48], respectively), housekeeping (19% [IQR 7–32] and 22% [IQR 5–26], respectively) and lowest among practical nurses (17% [IQR 8–29] and 12% [IQR 6–20], respectively, p = 0.002). By occupation and work setting, influenza vaccination was most common among physicians who worked in university hospitals (52%, [IQR 37.2–68.5]) and lowest among other HCWs who worked in general hospitals (17%, [IQR 3–28]). The overall vaccination coverage rates in the post-pandemic seasons of 2010–2011 and 2011–2012 were 15% (IQR 4–29) and 14% (IQR 8–29), respectively, which represent a significant decrease by 24% and 35% from 2009 (p < 0.0001), respectively (Table  2; Figure  2, Panel A). In the post-pandemic seasons, long-term care and specialized hospitals reported the lowest vaccination coverage (13% [IQR 1–32] and 12% [IQR 8–36], respectively, p < 0.0001) (Figure  3, Panel A). Vaccination coverage remained highest among HCWs at university hospitals (16% [IQR 13–22 and 17% [IQR 13–24] in 2010–2011 and 2011–2012, respectively). By occupation, influenza vaccination was the most common among physicians (30% [IQR 20–48] and 26% [IQR 10–34], respectively), followed by graduate nurses (29% [IQR 14–47.5] and 28% [IQR 9.6–44.2], respectively), other HCWs (20% [IQR 8–36] and 21% [IQR 4–48], respectively), housekeeping (19% [IQR 7–32] and 22% [IQR 5–26], respectively) and lowest among practical nurses (17% [IQR 8–29] and 12% [IQR 6–20], respectively, p = 0.002). By occupation and work setting, influenza vaccination was most common among physicians who worked in university hospitals (52%, [IQR 37.2–68.5]) and lowest among other HCWs who worked in general hospitals (17%, [IQR 3–28]). Hepatitis B vaccination coverage Meanwhile, from 2006 to 2011, the median HBV vaccination coverage was 98%, albeit with considerable differences according to work setting (range 19–100%) and occupation (range 4–100%) (Figures  2, 3, 4, Panel B). By work settings, HCWs in university hospitals were more likely to receive HBV vaccine than in general or long-term care hospitals (medians 97–98% vs. 87–96% vs. 92–98%, p = 0.03, respectively) (Figure  3, Panel B). By occupation, HBV vaccination coverage among physicians was 90–95%, graduate nurses 92–97%, practical nurses 90–96%, other HCWs 89–94% and housekeeping personnel had the lowest vaccination rates (medians 79–89%, p = 0.001) (Figure  4, Panel B). Meanwhile, from 2006 to 2011, the median HBV vaccination coverage was 98%, albeit with considerable differences according to work setting (range 19–100%) and occupation (range 4–100%) (Figures  2, 3, 4, Panel B). By work settings, HCWs in university hospitals were more likely to receive HBV vaccine than in general or long-term care hospitals (medians 97–98% vs. 87–96% vs. 92–98%, p = 0.03, respectively) (Figure  3, Panel B). By occupation, HBV vaccination coverage among physicians was 90–95%, graduate nurses 92–97%, practical nurses 90–96%, other HCWs 89–94% and housekeeping personnel had the lowest vaccination rates (medians 79–89%, p = 0.001) (Figure  4, Panel B). Pre-pandemic seasonal influenza vaccination coverage: From the 2006–2007 influenza seasons, the median seasonal influenza vaccination rates at the hospitals studied were 36% (IQR 21–52.5), 25% (IQR 17.5–39.5) and 29% (IQR 20.6–47.5), respectively (Figure  2, Panel A). There were some differences in vaccination coverage between acute care and long-term care facilities, which were not statistically significant (Figure  3, Panel A). By occupation, influenza vaccination was the most common among physicians (30% [IQR 12.7–50.7], 34% [IQR 20–47] and 36% [IQR 20.3–49], respectively), followed by graduate nurses (35% [IQR 14–48], 32% [IQR 16–45.7] and 37% [IQR 19.2–49.5], respectively), other HCWs (34% [IQR 11.3–52.9], 30% [IQR 3–51] and 33% [IQR 12.2–48.2], respectively) and lowest among practical nurses (25% [IQR 13–36], 24% [IQR 12–31.6] and 22% [IQR 10–33.2], p < 0.01), and housekeeping staff (29% [IQR 11.7–42.4], 22% [IQR 11.2–30.2] and 21% [IQR 15.2–48.2], respectively). Significant differences among practical nurses, physicians and graduate nurses were observed (Figure  4, Panel A). Further analysis by occupation and type of hospital showed no statistical differences. Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by season/year. Each dot represents one hospital while bars represent the medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. In (Panel A), significant decreases in 2010–2011 and 2011–2012 post-pandemic vaccination coverage is seen in comparison to the four pre-pandemic seasons. Meanwhile, HBV vaccination coverage was stable during the period studied (p = 0.07) (Panel B). Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among HCWs in Croatian hospitals, stratified by type of hospital. Medians with interquartile ranges were plotted. In 2009–2010, significant increase in vaccination coverage in long-term care and specialized hospitals was observed (p = 0.03) (Panel A). In the following post-pandemic seasons, significant decrease in all the groups was observed (p < 0.0001, Kruskal–Wallis) (Panel A). (Panel B) shows significant differences between university and general (p = 0.015), and university and long-term care and specialized hospitals (p = 0.006). Seasonal influenza (Panel A) and HBV (Panel B) vaccination coverage among healthcare workers in Croatian hospitals, stratified by occupation and year. The bars represent medians with IQRs. Statistical significance was calculated using the Kruskal–Wallis and post hoc multiple comparison tests. Statistical analysis showed significant differences among physicians, graduate nurses and practical nurses (p = 0.01). Furthermore, significant decreases in 2011–2012 were observed (*, p < 0.05)) (Panel A). Meanwhile, HBV vaccination coverage was the lowest among housekeeping personnel (p = 0.001) (Panel B). Seasonal and pandemic influenza vaccination coverage in 2009–2010: In 2009, seasonal influenza vaccination in Croatia started in November and showed similar trends as in previous seasons. In total, 7,972 of the HCWs were vaccinated, with a median of 30% (IQR 18–52) of the hospitals studied (Table  2, Figure  2, Panel A). Higher rates in long-term care and specialized hospitals as compared to acute care hospitals (medians of 50% [IQR 25–61] vs. 26% [IQR 17–43] and 23% [IQR 15–35], respectively, p = 0.03), were observed (Figure  3, Panel A; Table  2). By occupation, there were no statistical differences, although the rate among physicians was slightly higher than in pre-pandemic seasons (38% [IQR 33–60] in 2009 vs. 30% in 2006) (Figure  4, Panel A). Seasonal influenza vaccination coverage among healthcare workers: overall, by type of hospital, three consecutive seasons *IQR, interquartile range. †decrease in the calculated total number of vaccinated HCWs, as compared to 2009. ‡p < 0.0001, as measured by the chi-square two-tailed test. Pandemic influenza vaccination started in the first week of December during the peak of the pandemic in Croatia. Overall, fewer than 1,000 HCWs were vaccinated, i.e., fewer than 5% of all the HCWs in Croatia. Post-pandemic seasonal influenza vaccination coverage: The overall vaccination coverage rates in the post-pandemic seasons of 2010–2011 and 2011–2012 were 15% (IQR 4–29) and 14% (IQR 8–29), respectively, which represent a significant decrease by 24% and 35% from 2009 (p < 0.0001), respectively (Table  2; Figure  2, Panel A). In the post-pandemic seasons, long-term care and specialized hospitals reported the lowest vaccination coverage (13% [IQR 1–32] and 12% [IQR 8–36], respectively, p < 0.0001) (Figure  3, Panel A). Vaccination coverage remained highest among HCWs at university hospitals (16% [IQR 13–22 and 17% [IQR 13–24] in 2010–2011 and 2011–2012, respectively). By occupation, influenza vaccination was the most common among physicians (30% [IQR 20–48] and 26% [IQR 10–34], respectively), followed by graduate nurses (29% [IQR 14–47.5] and 28% [IQR 9.6–44.2], respectively), other HCWs (20% [IQR 8–36] and 21% [IQR 4–48], respectively), housekeeping (19% [IQR 7–32] and 22% [IQR 5–26], respectively) and lowest among practical nurses (17% [IQR 8–29] and 12% [IQR 6–20], respectively, p = 0.002). By occupation and work setting, influenza vaccination was most common among physicians who worked in university hospitals (52%, [IQR 37.2–68.5]) and lowest among other HCWs who worked in general hospitals (17%, [IQR 3–28]). Hepatitis B vaccination coverage: Meanwhile, from 2006 to 2011, the median HBV vaccination coverage was 98%, albeit with considerable differences according to work setting (range 19–100%) and occupation (range 4–100%) (Figures  2, 3, 4, Panel B). By work settings, HCWs in university hospitals were more likely to receive HBV vaccine than in general or long-term care hospitals (medians 97–98% vs. 87–96% vs. 92–98%, p = 0.03, respectively) (Figure  3, Panel B). By occupation, HBV vaccination coverage among physicians was 90–95%, graduate nurses 92–97%, practical nurses 90–96%, other HCWs 89–94% and housekeeping personnel had the lowest vaccination rates (medians 79–89%, p = 0.001) (Figure  4, Panel B). Discussion: This study presents data for 2006–2011 from the national surveillance program conducted by the NHICAC, which shows that the seasonal influenza vaccination coverage in the pre-pandemic period among HCWs in Croatian hospitals was >30%, with a significant decrease in post-pandemic vaccination coverage from 2006 to 2011 (from 36% to 14%). During the same period in the same population of HCWs, mandatory overall HBV vaccination coverage remained 98%. The fact that fewer hospitals in our study are reporting data on vaccination coverage against influenza than against HBV reflects different attitudes toward the importance of immunization against these two vaccine-preventable diseases. Although the average HBV vaccination rate is high, considerable differences by work setting (range 19–100%) and occupation (range 4–100%) were noted in the study. The problem with HBV vaccination in Croatia is that subsequent confirmation of immunization by HBV surface antigen testing is not mandatory. Therefore, it is not known whether a particular HCW is protected from infection until routine hepatitis B titer is performed following occupational exposure to blood. For the same 6-year period, only two HCWs with occupational HBV-infection were reported by the Croatian Institute for Health Protection and Safety at Work [32]. Many countries recommend the vaccination of HCWs against influenza. In recent years, there has been an increase in the vaccination rates among HCWs in some countries, although not in others [33]. The average vaccination rate of HCWs in Croatian hospitals during the initial years of monitoring (2006–2009) was approximately 30% (range 25–36%), which corresponded to the vaccination rates in other countries [5,16]. Educational activities, vaccination campaigns, easy access to free vaccines and the use of formal declination forms have been shown to increase vaccination rates in some countries to as high as 80% [16,33]. In order to increase the HCW awareness concerning the need for immunization, many educational activities are organized by the Ministry of Health, CNIPH and professional societies of the Croatian Medical Association, including information on the real burden of adverse events and the safety of the vaccines. Regarding blood-borne infections, including protection from hepatitis B, national guidelines were published in 2004 [12], and since 2007 a pilot project of the Ministry of Health, Investigation of the Risk of Occupational Exposure to Blood-Borne Infections among Personnel in Croatian Hospitals, has been implemented, which includes educating HCWs through leaflets, posters, lectures, courses and workshops on pre- and post-exposure prophylaxis. For the education of HCWs on immunization against influenza, the CNIPH, in addition to the aforementioned educational activities, has opened a website with information and answers to frequently asked questions. Every year, the CNIPH commemorates Immunization Week, a conference for the professional societies of the Croatian Medical Association [34]. Significant differences in vaccination coverage exist among specialties and employee groups: physicians and medical students are more likely to be vaccinated than nurses, nursing aides and administrative personnel [35]. Our study has shown that according to professions, the highest rate of immunization was among physicians and the lowest among practical nurses. Even housekeepers had a higher rate of immunization. Actually, coverage rates among practical nurses (the largest group of HCWs, accounting for 42–55% of all hospital HCWs) compared to physicians and graduate nurses were 30% and 45% lower in the pre-pandemic and post-pandemic periods, respectively. This results in inadequate vaccination rates among those with the greatest amount of patient contact, potentially providing a basis for group-specific interventions. A number of studies have addressed behavioral responses to the 2009 influenza pandemic among HCWs. Overall, uncertainty about vaccine side effects, concern about vaccine safety and distrust of the health authorities were the most common reasons stated for non-vaccination [36,37]. Although vaccination against seasonal influenza among HCWs in Croatia was 30% in 2009, the vaccination rate against pandemic influenza in same year was <5%. This can partially be explained by the fact that vaccination started at the peak of the influenza pandemic, although it is undoubtedly partially due to increased concern about the potential side effects of the vaccine and the impact of an anti-vaccination campaign [38]. A systematic review that summarizes the results from 20 publications sampling HCWs from various geographical regions showed that pandemic vaccine coverage was variable (9–92%) across HCW populations [39]. The most important sociodemographic predictor of vaccine uptake was found to be previous seasonal influenza vaccination [39,40]. HCWs were likely to accept the pandemic vaccine if they perceived H1N1 as a serious and severe infection, and considered the pandemic vaccine to be safe and effective in preventing infection to themselves and others (e.g., loved ones, co-workers and patients) [39]. In the first post-pandemic season, 2010–2011, there was a significantly lower seasonal influenza vaccination rate (total decline of 24%) in comparison to pre-pandemic season. This negative trend continued during the following season, 2011–2012 (a decline of 35% in comparison to 2009–2010). Among the reasons cited by HCWs for why they were vaccinated, self-protection was in the first place, the protection of family members in the second, while the protection of patients was lower on the list of priorities [40]. Since patient welfare is not a sufficiently motivating factor for HCWs to choose influenza vaccination, the introduction of mandatory vaccination is a possible option. The main justification for mandatory vaccination stems from the duty of caregivers to protect their patients [41]. Current guidelines of the Infectious Diseases Society of America state that annual influenza vaccination should be mandatory for HCWs in the interest of safeguarding patients and protecting public health [42]. In the same way that HBV vaccination was introduced into the general population, there have been attempts to introduce mandatory influenza vaccination for the entire population, which resulted in a reduction in influenza-associated mortality and healthcare use [43]. The main limitation of this study is its observational nature, which resulted in some differences in the quality of the reported data, although the numbers of hospitals and HCWs included represent a significant part of the HCWs in Croatia. However, this is the first study that reports influenza and HBV vaccination rates in Croatian hospitals. Future research should include better stratified samples, expanded activities and personnel in community and outpatient healthcare institutions, especially emergency medical services with higher rates of exposure. Conclusions: Substantial variation across hospitals and different categories of HCWs was observed in vaccination coverage for both seasonal influenza and HBV. However, HBV vaccination coverage is quite satisfactory compared to seasonal influenza vaccination coverage among healthcare personnel in Croatia. A possible reason for this difference is that HBV vaccination is mandatory. These findings highlight the need for national strategies that optimize vaccination coverage among HCWs in Croatian hospitals, including mandatory vaccination for seasonal influenza. Abbreviations: CNIPH: Croatian national institute of public health; HBV: Hepatitis B virus; HCWs: Healthcare workers; NHICAC: National hospital infection control advisory committee. Competing interests: The authors declare that they have no competing interests. Authors’ contributions: RC, IK, VS and SK developed the research question and protocol, and conducted the analyses. RC, NP and JC drafted the manuscript. NP and JC were involved in the conception and design of the study, acquisition of data, and analysis and interpretation of data. RC and NP performed the statistical analyses. All the authors revised the manuscript and approved the final draft. Authors’ information: RC, VS and SK are members of the National Hospital Infection Control Advisory Committee of the Croatian Ministry of Health. Pre-publication history: The pre-publication history for this paper can be accessed here: http://www.biomedcentral.com/1471-2334/13/520/prepub
Background: Healthcare workers (HCWs) are at an increased risk of exposure to and transmission of infectious diseases. Vaccination lowers morbidity and mortality of HCWs and their patients. To assess vaccination coverage for influenza and hepatitis B virus (HBV) among HCWs in Croatian hospitals, we conducted yearly nationwide surveys. Methods: From 2006 to 2011, all 66 Croatian public hospitals, representing 43-60% of all the HCWs in Croatia, were included. Statistical analysis was performed using the Kruskal-Wallis analysis of variance, Dunn's multiple comparison analysis and the chi-square test, as appropriate. Results: The median seasonal influenza vaccination coverage rates in pre-pandemic (2006-2008) seasons were 36%, 25% and 29%, respectively. By occupation, influenza vaccination rates among physicians were 33 ± 21%, 33 ± 22% among graduate nurses, 30 ± 34% among other HCWs, 26 ± 21% among housekeeping and the lowest, 23 ± 17%, among practical nurses (p < 0.01). In 2009-2010 season, seasonal influenza vaccination coverage was 30%, while overall vaccination coverage against pandemic influenza was fewer than 5%. Median vaccination coverage in the post-pandemic seasons of 2010-2011 and 2011-2012 decreased to 15% and 14%, respectively (reduction of 24% and 35%, respectively, p < 0.0001). Meanwhile, the median mandatory HBV vaccination coverage was 98%, albeit with considerable differences according to work setting (range 19-100%) and occupation (range 4-100%). Conclusions: We found substantial year-on-year variations in seasonal influenza vaccination rates, with reduction in post pandemic influenza seasons. HBV vaccination is satisfactory compared to seasonal influenza vaccination coverage, although substantial variations by occupation and work setting were observed. These findings highlight the need for national strategies that optimize vaccination coverage among HCWs in Croatian hospitals. Further studies are needed to establish the potential role of mandatory vaccination for seasonal influenza.
Background: Healthcare workers (HCWs), due to direct and indirect contact with patients, are at an increased risk of exposure to and transmission of infectious diseases [1-5]. In Croatia, the majority of vaccine-preventable infectious diseases, such as diphtheria, tetanus, pertussis, poliomyelitis, measles, mumps, rubella and tuberculosis, are covered by the national mandatory immunization program for children [6-8]. Vaccination of HCWs against hepatitis B virus (HBV) began to be introduced in Croatia in the 1990s and for many years has been mandatory and free of charge [9,10]. It is performed using a vaccine obtained from a surface antigen of the hepatitis B virus through genetic engineering that is administered in three doses according to a scheme of 0, 1 and 6 months. The immunization of persons who have been exposed to contaminated material is performed by injecting four doses of vaccine according to a scheme of 0, 1, 2 and 12 months. The annual plan of immunization against infectious diseases is conducted according to the immunization program, which is adopted by the Minister of health at the proposal of the Department of Infectious Disease Epidemiology of the Croatian National Institute of Public Health (CNIPH). The vaccine is provided by the CNIPH to the epidemiology departments, including hospital settings. All HCWs, including medical/nursing students and all new employees, are covered, so all HCWs are supposed to be vaccinated at least by the time they begin their professional careers [9,10]. An ordinance on the prevention and control of hospital infections from 2002 places special emphasis on the education and protection of new medical professionals, which has resulted in stricter enforcement measures, especially among newly recruited employees who cannot be hired until they have been vaccinated against hepatitis B. HBV vaccination and post-exposure management after occupational exposure became integral components of a comprehensive program to prevent infections following bloodborne pathogen exposure and important elements of workplace safety [2,3,11,12]. Our study represents the first assessment of this program. On the other hand, the first official recommendations for influenza vaccination and free immunization programs for HCWs have been in existence since 1984, when the Advisory Committee on Immunization Practices in the USA recommended annual influenza vaccination as the first and best protection against influenza [13]. However, the vaccination of HCWs against influenza is indicated not only for the personal protection of the vaccinated HCWs but also because it contributes to the prevention of influenza among unvaccinated persons in their environment, including their patients and family members [14-17]. A number of studies demonstrated that influenza vaccination of HCWs lowers morbidity and mortality in their patients [15-18]. Despite long-standing recommendations, overall vaccination rates for HCWs in many countries remain unacceptably low, near 40% [5,19-21]. The gap is magnified when one considers the estimate that influenza immunization rates of 80% or higher are essential for providing the herd immunity necessary to reduce healthcare-associated influenza infections substantially, which is generally not the case where vaccination is voluntary [22]. In an effort to combat the low rates of vaccination among HCWs, a growing number of professional medical organizations and healthcare facilities are adopting policies mandating influenza vaccination for individuals who work with patients [23]. This decision is justified by the fact that maximum protection of patients can only be achieved with a high rate of HCWs vaccination [24]. This recommendation is reflected in a 2009 European Union recommendation that set a goal of 75% coverage for this population by 2015 [25]. Mandatory vaccination has been implemented in many countries, thereby demonstrating that an opt-out strategy for influenza immunization significantly improved vaccination rates compared to an opt-in approach and influenza vaccination rates of more than 95% were sustained [26-29]. The CNIPH recommends seasonal influenza vaccination for particularly vulnerable population groups, including HCWs. According to the mandatory immunization program, seroprophylaxis and chemoprophylaxis for specific population groups and individuals at risk are recommended every year prior to the beginning of the flu season (in the autumn), one dose of vaccine that corresponds in composition with the recommendations of the World Health Organization. Vaccination is available free of charge but is not mandatory [7,30]. Using the national surveillance program, we assessed the rates of HBV and influenza vaccination coverage among HCWs in Croatian hospitals. Our study will provide information for the development of a national strategy, including whether influenza vaccination should be mandatory, as is HBV vaccination. Conclusions: Substantial variation across hospitals and different categories of HCWs was observed in vaccination coverage for both seasonal influenza and HBV. However, HBV vaccination coverage is quite satisfactory compared to seasonal influenza vaccination coverage among healthcare personnel in Croatia. A possible reason for this difference is that HBV vaccination is mandatory. These findings highlight the need for national strategies that optimize vaccination coverage among HCWs in Croatian hospitals, including mandatory vaccination for seasonal influenza.
Background: Healthcare workers (HCWs) are at an increased risk of exposure to and transmission of infectious diseases. Vaccination lowers morbidity and mortality of HCWs and their patients. To assess vaccination coverage for influenza and hepatitis B virus (HBV) among HCWs in Croatian hospitals, we conducted yearly nationwide surveys. Methods: From 2006 to 2011, all 66 Croatian public hospitals, representing 43-60% of all the HCWs in Croatia, were included. Statistical analysis was performed using the Kruskal-Wallis analysis of variance, Dunn's multiple comparison analysis and the chi-square test, as appropriate. Results: The median seasonal influenza vaccination coverage rates in pre-pandemic (2006-2008) seasons were 36%, 25% and 29%, respectively. By occupation, influenza vaccination rates among physicians were 33 ± 21%, 33 ± 22% among graduate nurses, 30 ± 34% among other HCWs, 26 ± 21% among housekeeping and the lowest, 23 ± 17%, among practical nurses (p < 0.01). In 2009-2010 season, seasonal influenza vaccination coverage was 30%, while overall vaccination coverage against pandemic influenza was fewer than 5%. Median vaccination coverage in the post-pandemic seasons of 2010-2011 and 2011-2012 decreased to 15% and 14%, respectively (reduction of 24% and 35%, respectively, p < 0.0001). Meanwhile, the median mandatory HBV vaccination coverage was 98%, albeit with considerable differences according to work setting (range 19-100%) and occupation (range 4-100%). Conclusions: We found substantial year-on-year variations in seasonal influenza vaccination rates, with reduction in post pandemic influenza seasons. HBV vaccination is satisfactory compared to seasonal influenza vaccination coverage, although substantial variations by occupation and work setting were observed. These findings highlight the need for national strategies that optimize vaccination coverage among HCWs in Croatian hospitals. Further studies are needed to establish the potential role of mandatory vaccination for seasonal influenza.
8,011
392
[ 873, 38, 193, 95, 67, 625, 271, 313, 157, 29, 10, 73, 22, 16 ]
18
[ "vaccination", "iqr", "hcws", "hospitals", "panel", "influenza", "coverage", "vaccination coverage", "respectively", "nurses" ]
[ "mandatory hbv vaccination", "hbv vaccination coverage", "hbv vaccination methods", "vaccinated hepatitis hbv", "hbv vaccination croatia" ]
[CONTENT] Influenza | Hepatitis B | Healthcare workers | Vaccination [SUMMARY]
[CONTENT] Influenza | Hepatitis B | Healthcare workers | Vaccination [SUMMARY]
[CONTENT] Influenza | Hepatitis B | Healthcare workers | Vaccination [SUMMARY]
[CONTENT] Influenza | Hepatitis B | Healthcare workers | Vaccination [SUMMARY]
[CONTENT] Influenza | Hepatitis B | Healthcare workers | Vaccination [SUMMARY]
[CONTENT] Influenza | Hepatitis B | Healthcare workers | Vaccination [SUMMARY]
[CONTENT] Adult | Aged | Croatia | Cross-Sectional Studies | Female | Health Personnel | Hepatitis B Vaccines | Hospitals, Public | Humans | Influenza Vaccines | Male | Middle Aged | Surveys and Questionnaires [SUMMARY]
[CONTENT] Adult | Aged | Croatia | Cross-Sectional Studies | Female | Health Personnel | Hepatitis B Vaccines | Hospitals, Public | Humans | Influenza Vaccines | Male | Middle Aged | Surveys and Questionnaires [SUMMARY]
[CONTENT] Adult | Aged | Croatia | Cross-Sectional Studies | Female | Health Personnel | Hepatitis B Vaccines | Hospitals, Public | Humans | Influenza Vaccines | Male | Middle Aged | Surveys and Questionnaires [SUMMARY]
[CONTENT] Adult | Aged | Croatia | Cross-Sectional Studies | Female | Health Personnel | Hepatitis B Vaccines | Hospitals, Public | Humans | Influenza Vaccines | Male | Middle Aged | Surveys and Questionnaires [SUMMARY]
[CONTENT] Adult | Aged | Croatia | Cross-Sectional Studies | Female | Health Personnel | Hepatitis B Vaccines | Hospitals, Public | Humans | Influenza Vaccines | Male | Middle Aged | Surveys and Questionnaires [SUMMARY]
[CONTENT] Adult | Aged | Croatia | Cross-Sectional Studies | Female | Health Personnel | Hepatitis B Vaccines | Hospitals, Public | Humans | Influenza Vaccines | Male | Middle Aged | Surveys and Questionnaires [SUMMARY]
[CONTENT] mandatory hbv vaccination | hbv vaccination coverage | hbv vaccination methods | vaccinated hepatitis hbv | hbv vaccination croatia [SUMMARY]
[CONTENT] mandatory hbv vaccination | hbv vaccination coverage | hbv vaccination methods | vaccinated hepatitis hbv | hbv vaccination croatia [SUMMARY]
[CONTENT] mandatory hbv vaccination | hbv vaccination coverage | hbv vaccination methods | vaccinated hepatitis hbv | hbv vaccination croatia [SUMMARY]
[CONTENT] mandatory hbv vaccination | hbv vaccination coverage | hbv vaccination methods | vaccinated hepatitis hbv | hbv vaccination croatia [SUMMARY]
[CONTENT] mandatory hbv vaccination | hbv vaccination coverage | hbv vaccination methods | vaccinated hepatitis hbv | hbv vaccination croatia [SUMMARY]
[CONTENT] mandatory hbv vaccination | hbv vaccination coverage | hbv vaccination methods | vaccinated hepatitis hbv | hbv vaccination croatia [SUMMARY]
[CONTENT] vaccination | iqr | hcws | hospitals | panel | influenza | coverage | vaccination coverage | respectively | nurses [SUMMARY]
[CONTENT] vaccination | iqr | hcws | hospitals | panel | influenza | coverage | vaccination coverage | respectively | nurses [SUMMARY]
[CONTENT] vaccination | iqr | hcws | hospitals | panel | influenza | coverage | vaccination coverage | respectively | nurses [SUMMARY]
[CONTENT] vaccination | iqr | hcws | hospitals | panel | influenza | coverage | vaccination coverage | respectively | nurses [SUMMARY]
[CONTENT] vaccination | iqr | hcws | hospitals | panel | influenza | coverage | vaccination coverage | respectively | nurses [SUMMARY]
[CONTENT] vaccination | iqr | hcws | hospitals | panel | influenza | coverage | vaccination coverage | respectively | nurses [SUMMARY]
[CONTENT] vaccination | influenza | immunization | hcws | mandatory | influenza vaccination | patients | program | vaccine | infectious [SUMMARY]
[CONTENT] analysis | hospital | hcws | data | staff | hospitals | nhicac | croatian | statistical analysis | individual [SUMMARY]
[CONTENT] iqr | panel | vaccination | respectively | coverage | vaccination coverage | hospitals | influenza | figure | figure panel [SUMMARY]
[CONTENT] vaccination | vaccination coverage | coverage | seasonal | seasonal influenza | influenza | hbv | mandatory | hbv vaccination | optimize vaccination coverage [SUMMARY]
[CONTENT] iqr | vaccination | hcws | influenza | panel | hospitals | hospital | coverage | hbv | national [SUMMARY]
[CONTENT] iqr | vaccination | hcws | influenza | panel | hospitals | hospital | coverage | hbv | national [SUMMARY]
[CONTENT] Healthcare ||| ||| HBV | Croatian [SUMMARY]
[CONTENT] 2006 to 2011 | 66 | Croatian | 43-60% | Croatia ||| Dunn [SUMMARY]
[CONTENT] 2006-2008 | 36% | 25% and | 29% ||| 33 | 21% | 33 | 22% | 30 | 34% | 26 | 21% | 23 | 17% ||| 2009-2010 season | 30% | fewer than 5% ||| 2010-2011 | 2011-2012 | 15% | 14% | 24% | 35% ||| HBV | 98% | 19-100% | 4-100% [SUMMARY]
[CONTENT] year-on-year ||| HBV ||| Croatian ||| [SUMMARY]
[CONTENT] Healthcare ||| ||| HBV | Croatian ||| 2011 | 66 | Croatian | 43-60% | Croatia ||| Dunn ||| ||| 2006-2008 | 36% | 25% and | 29% ||| 33 | 21% | 33 | 22% | 30 | 34% | 26 | 21% | 23 | 17% ||| 2009-2010 season | 30% | fewer than 5% ||| 2010-2011 | 2011-2012 | 15% | 14% | 24% | 35% ||| HBV | 98% | 19-100% | 4-100% ||| year-on-year ||| HBV ||| Croatian ||| [SUMMARY]
[CONTENT] Healthcare ||| ||| HBV | Croatian ||| 2011 | 66 | Croatian | 43-60% | Croatia ||| Dunn ||| ||| 2006-2008 | 36% | 25% and | 29% ||| 33 | 21% | 33 | 22% | 30 | 34% | 26 | 21% | 23 | 17% ||| 2009-2010 season | 30% | fewer than 5% ||| 2010-2011 | 2011-2012 | 15% | 14% | 24% | 35% ||| HBV | 98% | 19-100% | 4-100% ||| year-on-year ||| HBV ||| Croatian ||| [SUMMARY]
[Obstetric outcome of women with primary vaginismus].
31303929
Vaginismus is a severe dysfunction and a problem which can interfere with woman's and couple's sex life. It may influence the obstetric outcome. This study aims to determine if the clinical features of vaginismus can impact childbirth experience.
INTRODUCTION
We conducted a retrospective multicenter study involving patients affected by primary vaginismus, having given birth to their first child (who had reached term), between 2005 and 2015.
METHODS
Out of 19 patients included in the study, 9 had prolonged pregnancies, 14 had spontaneous labor (including 8 at term), 3 had cesarean section before going into labor and 2 had labor induction. Among the 16 women who experienced labor, 4 had cesarean section, 5 had vaginal delivery with the help of forceps and 7 had spontaneous vaginal delivery. Among the 12 women who had vaginal delivery, 9 underwent episiotomy, 7 had spontaneous perineal tear alone or in combination with episiotomy. No 3rd and 4th degree perineal injury or intact perineum were found. The average birth weight for babies was 3380 g ± 332 (2870 g-3970g, 47th percentile).
RESULTS
The rates of labour dystocia and perineal morbidity were significantly high. These data were comparable to most of the data in the literature. It is likely that the psychological and behavioral aspects of vaginismus (fear-avoidance and anxiety-inducing mechanism) have favoured prolonged pregnancies, cesarean sections, mechanical dystocias and perineal injuries. Additional studies are necessary to better identify vaginismus and its obstetrical implications.
CONCLUSION
[ "Adult", "Cesarean Section", "Delivery, Obstetric", "Dystocia", "Episiotomy", "Female", "Humans", "Perineum", "Pregnancy", "Pregnancy Outcome", "Pregnancy, Prolonged", "Retrospective Studies", "Vaginismus", "Young Adult" ]
6607310
Introduction
Le vaginisme se traduit par la difficulté persistante ou récurrente, pour une femme, de permettre l’entrée de son vagin à un pénis, un doigt et/ou à d’autres objets, en dépit du désir exprimé d’y parvenir. Le tonus accru et incontrôlé des muscles périnéaux a été incriminé dans cette impossibilité de pénétration vaginale bien que des études électromyographiques n’en aient pas totalement élucidé la physiopathologie. Les caractéristiques psychologiques et physiques des femmes atteintes de vaginisme rendent difficile l’accès à une sexualité satisfaisante, mais interrogent également sur leur rôle au moment de l’accouchement [1-5]. Ces femmes sont sujettes à de fréquentes erreurs dans la perception de leur schéma corporel proprioceptif ainsi que de leurs cognitions qui se traduisent par une anxiété majorée et une peur dramatisée des douleurs. Les troubles dans la gestion émotionnelle de leurs sentiments peuvent alors parfois conduire à l’évitement des situations d’intimité [2, 3, 5-13]. Ayant établi ce constat, nous avons souhaité déterminer si le vaginisme pouvait avoir un impact sur le pronostic obstétrical, l’accouchement impliquant en lui-même « le corps sexué », diverses émotions et une grande interaction avec les professionnels de santé.
Méthodes
Il s’agit d’une étude rétrospective sur l’association entre grossesse et vaginisme primaire. Les patientes incluses dans cette étude étaient des femmes qui, au moment de leur désir d’enfant, n’avaient jamais pu avoir de pénétration vaginale par un pénis (sans obstacle anatomique) et qui ont donné naissance à un premier enfant vivant à terme. Ont été inclues des patientes ayant accouché entre le 1er janvier 2004 et le 30 avril 2015. La période de recueil des données s’échelonnait du 1er septembre 2014 au 30 avril 2015. Nous avons établi un questionnaire de recueil des données obstétricales rempli rétrospectivement par les sages-femmes et les gynécologues-obstétriciens ayant pris en charge ces patientes. Celui-ci comportait des questions relatives aux données sociodémographiques (âge, profession, niveau d’étude), au type d’établissement, aux données obstétricales et néonatales (parité, méthode de procréation, choix de préparation à la naissance et à la parentalité, terme et mode d’accouchement, durée et mode de mise en travail, méthodes d’analgésies, types de lésions périnéales, motifs d’intervention médicale, poids et sexe du nouveau-né) ainsi qu’aux données sexologiques (durée et modalités d’un éventuel suivi sexologique avant l’accouchement, cotation du tonus musculaire périnéal en début de grossesse et avant l’accouchement). Un score de cotation du tonus musculaire périnéal, inspiré de Pacik [14], était évalué sur 5 niveaux: 1 = spasme des releveurs, disparaissant en rassurant la patiente; 2 = spasme des releveurs, persistant lors des examens gynécologiques; 3 = spasme des releveurs, contraction des fesses lors de toute tentative d’examen; 4 = spasme des releveurs, contraction dorsale en arc, adduction des cuisses, mouvements de défense et rétraction des membres inférieurs; 5 = niveau 4 associé à des manifestations végétatives, refus de tout examen. Les professionnels de santé sollicités exerçaient dans divers départements français. Les croissances pondérales ont été calculées à l’aide des courbes [15], les moyennes, médianes, pourcentages et écart-types à l’aide du logiciel Excel®. Bien que la taille de l’échantillon fut modeste (ne permettait pas de faire des statistiques inférentielles), des comparaisons intra-échantillon ont pu être effectuées en recourant au test exact de Fisher bilatéral, avec un risque alpha = 5%.
Résultats
L’échantillon définitif était constitué de 19 femmes ayant accouché en Bretagne et en Île de France, majoritairement en établissement privé à but lucratif (n = 14). La moyenne d’âge à l’accouchement était de 29,5 ans ± 4,5, (extrêmes de 22 à 40 ans). Le Tableau 1 présente les moyennes des scores de cotation du périnée des patientes de l’échantillon. Scores de cotation du tonus périnéal de l’échantillon (moyenne ± écart-type) Grossesse Deux couples ont conçu par procréation médicalement assistée (FIV) pour un motif autre que le vaginisme, 4 par éjaculation à la vulve (dont une grossesse non désirée), 7 par éjaculation vestibulaire à l’entrée du vagin, 3 par “auto-insémination maison”, 3 données étaient manquantes. Par ailleurs, 16 patientes ont suivi une préparation à la naissance et à la parentalité. Une patiente avait un diabète gestationnel (équilibré sous régime), une a rompu les membranes plus de 12 heures avant l’accouchement, ces situations ayant conduit à un déclenchement artificiel du travail. Parmi les 14 patientes ayant eu un début de travail spontané, 8 (57,1%) avaient atteint le terme (= 41SA). Deux déclenchements artificiels du travail (10,52%) ont été recensés. Deux couples ont conçu par procréation médicalement assistée (FIV) pour un motif autre que le vaginisme, 4 par éjaculation à la vulve (dont une grossesse non désirée), 7 par éjaculation vestibulaire à l’entrée du vagin, 3 par “auto-insémination maison”, 3 données étaient manquantes. Par ailleurs, 16 patientes ont suivi une préparation à la naissance et à la parentalité. Une patiente avait un diabète gestationnel (équilibré sous régime), une a rompu les membranes plus de 12 heures avant l’accouchement, ces situations ayant conduit à un déclenchement artificiel du travail. Parmi les 14 patientes ayant eu un début de travail spontané, 8 (57,1%) avaient atteint le terme (= 41SA). Deux déclenchements artificiels du travail (10,52%) ont été recensés. Travail et accouchement La Figure 1 schématise la répartition des 19 parturientes selon leur mode de mise en travail et la répartition des 9 grossesses prolongées. Une analgésie périmédullaire a été réalisée chez 15 parturientes, une patiente n’a bénéficié d’aucune analgésie tandis qu’une anesthésie générale a été pratiquée, en complément de la péridurale afin de procéder à l’extraction fœtale chez une patiente “agitée”. L’on retrouvait 12 accouchements par voie basse et 7 accouchements par césarienne répartis selon: 1) 12 accouchements par voie basse (63,2%) dont 7 accouchements par voie basse spontanée et 5 accouchements par voie basse instrumentale; 2) 7 césariennes (36,8%) dont 4 césariennes programmées avant travail et 3 césariennes en cours de travail. Mise en travail et issue des accouchements des 19 parturientes de l’échantillon, nombre de grossesses prolongées (GP) Les indications des césariennes programmées étaient le vaginisme sans mise en travail dans un contexte de terme atteint (n = 2) et le sauvetage fœtal (n = 1) tandis que celles réalisées en cours de parturition l’étaient du fait d’une dystocie cervicale (n = 2) et d’une altération du rythme cardiaque fœtal (n = 2). Les extractions instrumentales (41,6% des accouchements par voie basse) étaient effectuées pour non progression du mobile fœtal (n = 3), insuffisance de poussées expulsives (n = 1) et agitation maternelle (n = 1). La durée moyenne de la phase active du deuxième stade du travail (poussées expulsives) était de 19,6 minutes (± 8,9 min). La Figure 1 schématise la répartition des 19 parturientes selon leur mode de mise en travail et la répartition des 9 grossesses prolongées. Une analgésie périmédullaire a été réalisée chez 15 parturientes, une patiente n’a bénéficié d’aucune analgésie tandis qu’une anesthésie générale a été pratiquée, en complément de la péridurale afin de procéder à l’extraction fœtale chez une patiente “agitée”. L’on retrouvait 12 accouchements par voie basse et 7 accouchements par césarienne répartis selon: 1) 12 accouchements par voie basse (63,2%) dont 7 accouchements par voie basse spontanée et 5 accouchements par voie basse instrumentale; 2) 7 césariennes (36,8%) dont 4 césariennes programmées avant travail et 3 césariennes en cours de travail. Mise en travail et issue des accouchements des 19 parturientes de l’échantillon, nombre de grossesses prolongées (GP) Les indications des césariennes programmées étaient le vaginisme sans mise en travail dans un contexte de terme atteint (n = 2) et le sauvetage fœtal (n = 1) tandis que celles réalisées en cours de parturition l’étaient du fait d’une dystocie cervicale (n = 2) et d’une altération du rythme cardiaque fœtal (n = 2). Les extractions instrumentales (41,6% des accouchements par voie basse) étaient effectuées pour non progression du mobile fœtal (n = 3), insuffisance de poussées expulsives (n = 1) et agitation maternelle (n = 1). La durée moyenne de la phase active du deuxième stade du travail (poussées expulsives) était de 19,6 minutes (± 8,9 min). Périnée Une lésion périnéale a été retrouvée chez toutes les patientes qu’il s’agisse d’épisiotomie ou de déchirure vulvo-périnéales. Ainsi, une épisiotomie était réalisée chez 9 patientes (75%) pour extraction instrumentale (n = 2), altération du rythme cardiaque fœtal (n = 2), hypertonie périnéale (n = 3). Deux données étaient manquantes (concernant des accouchements par voie basse spontanés). L’on retrouvait une déchirure périnéale chez 7 parturientes (58,3%). Une périnéorraphie a nécessité une anesthésie générale et s’est compliquée d’une hémorragie sévère (1litre). L’état périnéal selon le mode d’accouchement par voie basse est rapporté dans le Tableau 2. Morbidité périnéale immédiate et nombre de patientes concernées selon le type d’accouchement voie basse Une lésion périnéale a été retrouvée chez toutes les patientes qu’il s’agisse d’épisiotomie ou de déchirure vulvo-périnéales. Ainsi, une épisiotomie était réalisée chez 9 patientes (75%) pour extraction instrumentale (n = 2), altération du rythme cardiaque fœtal (n = 2), hypertonie périnéale (n = 3). Deux données étaient manquantes (concernant des accouchements par voie basse spontanés). L’on retrouvait une déchirure périnéale chez 7 parturientes (58,3%). Une périnéorraphie a nécessité une anesthésie générale et s’est compliquée d’une hémorragie sévère (1litre). L’état périnéal selon le mode d’accouchement par voie basse est rapporté dans le Tableau 2. Morbidité périnéale immédiate et nombre de patientes concernées selon le type d’accouchement voie basse Nouveau-nés La moyenne des poids de naissance des nouveau-nés (10 garçons et 9 filles) était de 3380g ± 331,9 (extrêmes 2870g - 3970g), situant le percentile au 47,2e ± 25,6, (extrêmes 8,25-88,76). La moyenne des poids de naissance des nouveau-nés (10 garçons et 9 filles) était de 3380g ± 331,9 (extrêmes 2870g - 3970g), situant le percentile au 47,2e ± 25,6, (extrêmes 8,25-88,76). Tests statistiques Nous avons trouvé une association significative entre l’existence d’un accompagnement sexologique et une absence d’hypertonie périnéale en fin de grossesse (score à 1/5), p = 0,04. Nous n’avons, en revanche, pas trouvé d’association significative entre: 1) la présence d’une hypertonie périnéale en fin de grossesse (score entre 2 et 4/5) et le recours aux forceps, p = 0,29; 2) la grossesse prolongée et l’accouchement non physiologique (forceps ou césarienne), p = 0,35; 3) l’existence d’un accompagnement sexologique et un accouchement physiologique (en excluant les interventions pour sauvetage fœtal), p = 0,37; 4) le fait d’avoir suivi une préparation à la naissance et la réduction du score de tonus périnéal (p = 0,53), ni avec l’accouchement physiologique (p = 0,52); 5) la réduction du score du tonus périnéal et l’accouchement physiologique (p = 0,60); 6) le poids de naissance supérieur à 3600g et l’accouchement non physiologique (forceps ou césarienne) (p = 1). Nous avons trouvé une association significative entre l’existence d’un accompagnement sexologique et une absence d’hypertonie périnéale en fin de grossesse (score à 1/5), p = 0,04. Nous n’avons, en revanche, pas trouvé d’association significative entre: 1) la présence d’une hypertonie périnéale en fin de grossesse (score entre 2 et 4/5) et le recours aux forceps, p = 0,29; 2) la grossesse prolongée et l’accouchement non physiologique (forceps ou césarienne), p = 0,35; 3) l’existence d’un accompagnement sexologique et un accouchement physiologique (en excluant les interventions pour sauvetage fœtal), p = 0,37; 4) le fait d’avoir suivi une préparation à la naissance et la réduction du score de tonus périnéal (p = 0,53), ni avec l’accouchement physiologique (p = 0,52); 5) la réduction du score du tonus périnéal et l’accouchement physiologique (p = 0,60); 6) le poids de naissance supérieur à 3600g et l’accouchement non physiologique (forceps ou césarienne) (p = 1).
Conclusion
Dysfonction importante, le vaginisme est un problème tant individuel que du couple dont il altère la relation sexuelle [35]. Au-delà, il influence péjorativement le pronostic obstétrical. Nos résultats vont dans le sens de ceux rapportés par d’autres auteurs quant au risque accru de césariennes et d’extractions instrumentales pour les femmes atteintes de vaginisme. Ils mettent en outre en lumière le grand nombre de grossesses prolongées, dont on sait qu’elles sont pourvoyeuses de morbidité et de mortalité. L’analyse qualitative des résultats semble désigner le mécanisme de peur-évitement et de l’anxiété, comme éléments constitutionnels essentiels du vaginisme, dans la survenue des dystocies et des lésions périnéales constatées. Un accompagnement sexologique précoce, même s’il ne permet pas à lui seul d’annihiler les risques et améliorer le pronostic obstétrical, pourrait aider ces femmes. La place que l’on pourrait accorder à ce type de prise en charge reste toutefois encore à évaluer au travers d’études prospectives et contrôlées, alliant de plus larges de cohortes de patientes (incluant des tests psychométriques) et explorant le versant néonatal. Etat des connaissances actuelles sur le sujet Le vaginisme est une pathologie mal connue; Peu d’études se sont intéressées au pronostic obstétrical des femmes souffrant de vaginisme. Le vaginisme est une pathologie mal connue; Peu d’études se sont intéressées au pronostic obstétrical des femmes souffrant de vaginisme. Contribution de notre étude à la connaissance Le vaginisme influence défavorablement le pronostic obstétrical des femmes vaginiques; Cette étude est l’une des rares à avoir enrôlé des patientes enceintes primipares; Un prise en charge au cours de la grossesse, notamment psycho-sexologique, pourrait contribuer à améliorer les résultats obstétricaux (taux d’épisiotomie, d’extraction instrumentale et de césariennes en particulier). Le vaginisme influence défavorablement le pronostic obstétrical des femmes vaginiques; Cette étude est l’une des rares à avoir enrôlé des patientes enceintes primipares; Un prise en charge au cours de la grossesse, notamment psycho-sexologique, pourrait contribuer à améliorer les résultats obstétricaux (taux d’épisiotomie, d’extraction instrumentale et de césariennes en particulier).
[ "Grossesse", "Travail et accouchement", "Périnée", "Nouveau-nés", "Tests statistiques", "Population", "Grossesse, nouveau-nés", "Accouchement", "En pratique", "Points forts et limites de l’étude", "Etat des connaissances actuelles sur le sujet", "Contribution de notre étude à la connaissance" ]
[ "Deux couples ont conçu par procréation médicalement assistée (FIV) pour un motif autre que le vaginisme, 4 par éjaculation à la vulve (dont une grossesse non désirée), 7 par éjaculation vestibulaire à l’entrée du vagin, 3 par “auto-insémination maison”, 3 données étaient manquantes. Par ailleurs, 16 patientes ont suivi une préparation à la naissance et à la parentalité. Une patiente avait un diabète gestationnel (équilibré sous régime), une a rompu les membranes plus de 12 heures avant l’accouchement, ces situations ayant conduit à un déclenchement artificiel du travail. Parmi les 14 patientes ayant eu un début de travail spontané, 8 (57,1%) avaient atteint le terme (= 41SA). Deux déclenchements artificiels du travail (10,52%) ont été recensés.", "La Figure 1 schématise la répartition des 19 parturientes selon leur mode de mise en travail et la répartition des 9 grossesses prolongées. Une analgésie périmédullaire a été réalisée chez 15 parturientes, une patiente n’a bénéficié d’aucune analgésie tandis qu’une anesthésie générale a été pratiquée, en complément de la péridurale afin de procéder à l’extraction fœtale chez une patiente “agitée”. L’on retrouvait 12 accouchements par voie basse et 7 accouchements par césarienne répartis selon: 1) 12 accouchements par voie basse (63,2%) dont 7 accouchements par voie basse spontanée et 5 accouchements par voie basse instrumentale; 2) 7 césariennes (36,8%) dont 4 césariennes programmées avant travail et 3 césariennes en cours de travail.\nMise en travail et issue des accouchements des 19 parturientes de l’échantillon, nombre de grossesses prolongées (GP)\nLes indications des césariennes programmées étaient le vaginisme sans mise en travail dans un contexte de terme atteint (n = 2) et le sauvetage fœtal (n = 1) tandis que celles réalisées en cours de parturition l’étaient du fait d’une dystocie cervicale (n = 2) et d’une altération du rythme cardiaque fœtal (n = 2). Les extractions instrumentales (41,6% des accouchements par voie basse) étaient effectuées pour non progression du mobile fœtal (n = 3), insuffisance de poussées expulsives (n = 1) et agitation maternelle (n = 1). La durée moyenne de la phase active du deuxième stade du travail (poussées expulsives) était de 19,6 minutes (± 8,9 min).", "Une lésion périnéale a été retrouvée chez toutes les patientes qu’il s’agisse d’épisiotomie ou de déchirure vulvo-périnéales. Ainsi, une épisiotomie était réalisée chez 9 patientes (75%) pour extraction instrumentale (n = 2), altération du rythme cardiaque fœtal (n = 2), hypertonie périnéale (n = 3). Deux données étaient manquantes (concernant des accouchements par voie basse spontanés). L’on retrouvait une déchirure périnéale chez 7 parturientes (58,3%). Une périnéorraphie a nécessité une anesthésie générale et s’est compliquée d’une hémorragie sévère (1litre). L’état périnéal selon le mode d’accouchement par voie basse est rapporté dans le Tableau 2.\nMorbidité périnéale immédiate et nombre de patientes concernées selon le type d’accouchement voie basse", "La moyenne des poids de naissance des nouveau-nés (10 garçons et 9 filles) était de 3380g ± 331,9 (extrêmes 2870g - 3970g), situant le percentile au 47,2e ± 25,6, (extrêmes 8,25-88,76).", "Nous avons trouvé une association significative entre l’existence d’un accompagnement sexologique et une absence d’hypertonie périnéale en fin de grossesse (score à 1/5), p = 0,04. Nous n’avons, en revanche, pas trouvé d’association significative entre: 1) la présence d’une hypertonie périnéale en fin de grossesse (score entre 2 et 4/5) et le recours aux forceps, p = 0,29; 2) la grossesse prolongée et l’accouchement non physiologique (forceps ou césarienne), p = 0,35; 3) l’existence d’un accompagnement sexologique et un accouchement physiologique (en excluant les interventions pour sauvetage fœtal), p = 0,37; 4) le fait d’avoir suivi une préparation à la naissance et la réduction du score de tonus périnéal (p = 0,53), ni avec l’accouchement physiologique (p = 0,52); 5) la réduction du score du tonus périnéal et l’accouchement physiologique (p = 0,60); 6) le poids de naissance supérieur à 3600g et l’accouchement non physiologique (forceps ou césarienne) (p = 1).", "Les données sociodémographiques de notre échantillon étaient semblables à celles de l’enquête nationale périnatale de 2016 [16] pour les niveaux d’études et la répartition dans les catégories socioprofessionnelles. Mais un biais était introduit par le fait que les femmes avaient majoritairement accouché en établissement privé à but lucratif, plutôt qu’en structure publique. L’âge moyen des femmes de notre cohorte et de celles d’autres auteurs est semblable: Möller 24 à 29 ans [17] et Drenth 28 ans [18]. En France, l’âge moyen au premier enfant en France était de 28,5 ans et, tous rangs de naissance confondus, de 30,4 ans [19]. Contrairement à ce que les difficultés de procréation pourraient laisser croire, les femmes atteintes de vaginisme ne semblent pas avoir tendance à concevoir leur premier enfant plus tardivement que l’ensemble des femmes. Goldsmith et al.rapportent même une moyenne d’âge paraissant significativement moindre (bien que la cohorte comprenne plus de patientes primipares) [20].", "Parmi les patientes ayant eu un début de travail spontané, la proportion de celles ayant atteint le terme (= 41SA) était considérable. En comparaison, ce taux se situe aux alentours de 15% dans la littérature [16, 21]. Une grande proportion de grossesses prolongées chez les patientes vaginiques a été constatée par Quiret-Rousselle [22], mais cette donnée n’a pas été mentionnée par les autres auteurs [17, 18, 20]. Ce résultat interroge sur la participation des facteurs cognitifs et émotionnels dans la mise en travail, notamment l’influence de la peur. Malgré tout, peu de déclenchements artificiels du travail ont été recensés dans notre population, contrairement à ce qui a été constaté par Quiret-Rousselle (61,53%) et Goldsmith et al. (37,3%).\nLes nouveau-nés étaient tous normotrophes, et nous n’avons pas trouvé d’association entre le poids supérieur à 3600g et l’accouchement par césarienne ou forceps (p = 1). Si Goldsmith et al. [20] ont rapporté des nouveau-nés plus petits, ils auraient retrouvé aussi significativement plus de naissances induites. Ceci pourrait en partie être dû à une restriction de croissance à moins qu’un biais introduit par des naissances à terme plus avancé ne puisse l’expliquer. Les croissances pondérales de notre échantillon étaient légèrement inférieures au 50èpercentile, bien que nous ne disposions pas de tous les éléments pour interpréter ce résultat, notamment s’agissant des attitudes addictives comme la consommation de toxiques et du degré d’anxiété des patientes [23].", "Si une grande majorité des patientes de notre échantillon a eu recours à l’analgésie péridurale, celle-ci n’a pas toujours permis de faciliter les examens pelviens. Il faut toutefois rappeler que ce mode d’analgésie périmédullaire n’est pas un facteur de risque de césarienne en cours de travail ni d’extractions instrumentales [24]. Le vaginisme comme motif principal des césariennes avant travail a sans doute contribué à majorer le taux de césarienne dans notre échantillon. L’enquête nationale périnatale retrouvait ce taux à 20,2% pour les femmes à terme et 23,4% pour les primipares quel que soit le terme [16]. Le risque de césarienne apparait significativement supérieur chez les femmes atteintes de vaginisme [4, 17, 20, 22]. Dans la littérature, les césariennes avant travail attribuées au vaginisme s’expliquaient par la forte demande de césarienne de convenance, en raison d’une peur de l’accouchement [17, 20], et par l’impossibilité de pratiquer des déclenchements artificiels [20]. Les auteurs expliquaient les césariennes en cours de travail par les difficultés à examiner les parturientes, sources de retard de diagnostique [17, 20], notamment pour ce qui est des disproportions fœto-pelviennes [20]. Néanmoins, ceci est à interpréter avec circonspection dans la mesure où les poids de naissance apparaissaient significativement inférieurs [20]. Par ailleurs, les césariennes en cours de travail ont été effectuées dans un contexte de grossesse prolongée qui est en soi reconnu comme un facteur de risque de césarienne [21]. La grossesse prolongée expliquerait donc en partie notre taux élevé de césariennes. Toutefois, 2 d’entre elles ont été réalisées pour une dystocie cervicale dans la phase active du premier stade du travail; l’hypothèse de la participation de la peur de l’accouchement dans la survenue de ces césariennes en cours de travail pourrait dès lors être discutée [25].\nLe taux d’extractions instrumentales est également apparu élevé dans notre échantillon. Ce constat est également déploré Quiret-Rousselle (46,2%) [22]. Le taux révélé par l’enquête nationale périnatale était de 12,2% pour les parturientes à terme [16]. Möller et al. [17] avaient une proportion d’extraction instrumentales non significativement supérieure, dans un échantillon qui, rappelons-le, comportait indifféremment des femmes souffrant de vaginisme et de vulvodynie. En revanche, Goldsmith et al. [20] avaient calculé un risque d’extraction instrumentale multiplié par 3,6 en cas de vaginisme, qu’ils expliquaient par l’incapacité pour les patientes de pousser vigoureusement lors du second stade du travail. De fait, dans notre échantillon, les forceps ont été pratiqués sur des fœtus n’excédant pas 3440g, et la non-progression du mobile fœtal pourrait s’expliquer par une insuffisance de poussée, soit en raison d’une altération des perceptions et du contrôle du périnée, soit en raison d’un excès de tonus musculaire du périnée profond, voire en raison d’une peur. Les forceps pratiqués pour non-progression du mobile fœtal et insuffisance d’efforts expulsifs, l’ont été pour des patientes ayant eu un accompagnement sexologique, donc un apprentissage des sensations et du contrôle périnéal. Même si dans la population apparaissait une association significative entre l’accompagnement sexologique et l’absence d’hypertonie périnéale en fin de grossesse, l’on pouvait trouver une association non significative entre la présence d’une hypertonie périnéale en fin de grossesse et le recours au forceps. Effectivement, les scores de fin de grossesse étaient situés entre 1 et 4, et leur évolution n’a pas toujours été dans le sens d’une amélioration (de -3 à +1). Ces femmes n’avaient donc pas toutes une hypertonie périnéale constante. Le point commun des patientes ayant eu un accouchement avec extraction instrumentale par forceps pouvait être un mécanisme de peur-évitement, au cœur de la clinique du vaginisme. L’état de panique manifesté par une des parturientes en est l’apogée même si le vaginisme ne détient certes pas le monopole de ce type de manifestation. La peur de l’expulsion du fœtus pourrait conduire à un évitement de la poussée, et/ou un hyper-tonus des muscles du périnée profond contre lesquels le mobile fœtal viendrait butter.\nL’hypertonie musculaire périnéale pourrait aussi expliquer la morbidité périnéale particulière des femmes de notre échantillon puisque toutes les patientes ont présenté une lésion périnéale. Quiret-Rousselle et al.constatent aussi un taux de lésions périnéales chez toutes le patientes de leur cohorte [22]. Möller et al.confirment une augmentation significative du risque de lésions périnéales dans leur étude [17], bien que Goldsmith et al. ne l’évoquent pas [20]. En comparaison, l’enquête nationale périnatale retrouve 34,9% d’épisiotomies chez les primoparturientes et 52% de lésions périnéales spontanées pour l’ensemble des femmes ayant accouché par voie basse [16]. Il est hasardeux de tenter d’expliquer la survenue de déchirures spontanées au cours de l’accouchement d’une femme vaginique, en raison de l’intrication de nombreux paramètres. Le poids de naissance des enfants ne saurait en être le seul élément, d’autant que les poids de naissance ne mettaient pas en exergue de macrosomie. Le recours massif à l’épisiotomie dans notre échantillon pourrait être expliqué par les hypothèses suivantes: 1) pratique des épisiotomies par systématisme, en dépit des recommandations restrictives de 2005 [26]; 2) recours exclusif aux forceps et non à la ventouse obstétricale [27]; 3) hypertonie musculaire périnéale entravant le dégagement du fœtus.\nNotre taux d’épisiotomie a pu être amplifié plutôt par une mauvaise application des recommandations que par une hypertonie périnéale due au vaginisme. De manière globale, la diminution de la fréquence des épisiotomies poursuit sa lente décroissance suite à un consensus international sur l’absence de bénéfices d’une épisiotomie systématique, tant en prévention des troubles sphinctériens du postpartum qu’en réponse des professionnels aux demandes des femmes. Cependant, bon nombre des indications des épisiotomies s’avéraient nécessaires du fait d’un vaginisme avéré (4 cas d’hypertonies périnéales et un état de panique conduisant à une extraction sous anesthésie générale). Ainsi, le grand nombre de lésions spontanées constatées peut laisser penser que si les épisiotomies n’avaient pas été pratiquées, il n’est pas certain que nous aurions constaté plus de périnées intacts, contrairement à ce qu’a mis en évidence la littérature pour la population générale [28]. Deux autres études viennent corroborer ce constat [17, 22]. En effet, l’ampliation du périnée nécessite, entre autres, un bon relâchement musculaire, une bonne élasticité des tissus et une absence de peur, trois éléments qui font cruellement défaut chez les femmes atteintes de vaginisme [17, 29].", "L’accompagnement d’une femme atteinte de vaginisme comporte des particularités relationnelles. D’abord l’exigence d’une constance et d’une grande patience de la part des professionnels, afin d’éviter les comportements d’évitement et préserver un climat de confiance. Cette relation passe par l’attention que porte ledit professionnel à veiller à ce que la patiente n’éprouve pas le sentiment d’une quelconque perte de contrôle [29]. Force est de constater qu’il s’agit d’un domaine encore méconnu et qu’il n’y a, à l’heure actuelle aucun véritable consensus d’experts. Les éléments recueillis à ce jour incitent à une orientation précoce des femmes atteintes de vaginisme vers une prise en charge sexothérapique qui permet d’agir sur les cognitions, le mécanisme de peur-évitement ainsi que l’hypertonie périnéale conditionnée. Notons que la levée de cette dernière n’est pas suffisante à la réduction des risques d’extractions instrumentales et de morbidité périnéale.\nBon nombre de patientes vaginiques, qui n’évitent que la situation de pénétration, s’accommodent d’une « sexualité externe » qui semble les satisfaire. Dans ce cas de figure, notre description de recherche permanente d’évitement de situation d’intimité, comme c’est le cas des patientes souffrant de désir sexuel hypo-actif, pourrait trouver une certaine limite. Il paraît légitime de donner à ces femmes toutes les chances d’accoucher par voie basse, d’une part pour limiter le surcroit de morbi-mortalité liée à la césarienne [30-32], d’autre part pour ne pas cautionner le comportement d’évitement, qui fait le lit et consolide le vaginisme. Au-delà, l’accouchement par voie basse peut renforcer le sentiment de réussite, et donc le succès d’une sexothérapie en cours [18]. L’exploration du versant proprement psychologique au travers de tests psychométriques (peur, anxiété, dégoût, désir d’enfant, tocophobie) demeure sans doute un domaine à explorer.", "Cette étude s’est intéressée à un sujet peu traité mais qui a de réelles implications cliniques. Un de ses points forts est qu’il est l’un des rares travaux à s’intéresser aux mécanismes ainsi qu’au déroulement du travail. Une de ses limites tient à son échantillonnage modeste qu’il faut considérer au travers du caractère peu répandu du vaginisme dans la population [33]. Les patientes présentant un vaginisme primaire n’ont été retrouvées que dans 2 études [18, 22], la plupart des travaux intégrant le vaginisme secondaire ou la vulvodynie dont les mécanismes physiopathologiques diffèrent [17, 20, 34]. La méthodologie utilisée n’a sans doute pas autorisé un recrutement exhaustif (inclusion de patientes basée uniquement sur le volontariat des professionnels de santé sollicités); cependant elle a permis d’obtenir une cohorte homogène, apportant une certaine pertinence aux résultats et mettant en lumière plusieurs pistes de réflexion.\nUn autre écueil pourrait résider dans la concision du questionnaire qui ne s’intéressait pas expressément aux pathologies obstétricales ni à l’adaptation extra-utérine des nouveau-nés. Le choix délibéré d’un questionnaire court comprenant des questions à compléments multiples permettait de ne pas décourager les professionnels auxquels il était soumis. La place octroyée aux commentaires permettait d’apporter des commentaires et a d’ailleurs été largement utilisée. Enfin, le score de cotation du tonus musculaire périnéal pouvait sembler quelque peu limité pour définir le vaginisme; cependant il a permis de standardiser les mesures du tonus périnéal et le comportement de peur-évitement une fois le diagnostic établi. Cela a par ailleurs permis une utilisation aisée de la part de praticiens qui pouvaient ne pas être familiarisés avec cette entité particulière qu’est le vaginisme.", "Le vaginisme est une pathologie mal connue;\nPeu d’études se sont intéressées au pronostic obstétrical des femmes souffrant de vaginisme.", "Le vaginisme influence défavorablement le pronostic obstétrical des femmes vaginiques;\nCette étude est l’une des rares à avoir enrôlé des patientes enceintes primipares;\nUn prise en charge au cours de la grossesse, notamment psycho-sexologique, pourrait contribuer à améliorer les résultats obstétricaux (taux d’épisiotomie, d’extraction instrumentale et de césariennes en particulier)." ]
[ null, null, null, null, null, null, null, null, null, null, null, null ]
[ "Introduction", "Méthodes", "Résultats", "Grossesse", "Travail et accouchement", "Périnée", "Nouveau-nés", "Tests statistiques", "Discussion", "Population", "Grossesse, nouveau-nés", "Accouchement", "En pratique", "Points forts et limites de l’étude", "Conclusion", "Etat des connaissances actuelles sur le sujet", "Contribution de notre étude à la connaissance", "Conflits d’intérêts" ]
[ "Le vaginisme se traduit par la difficulté persistante ou récurrente, pour une femme, de permettre l’entrée de son vagin à un pénis, un doigt et/ou à d’autres objets, en dépit du désir exprimé d’y parvenir. Le tonus accru et incontrôlé des muscles périnéaux a été incriminé dans cette impossibilité de pénétration vaginale bien que des études électromyographiques n’en aient pas totalement élucidé la physiopathologie. Les caractéristiques psychologiques et physiques des femmes atteintes de vaginisme rendent difficile l’accès à une sexualité satisfaisante, mais interrogent également sur leur rôle au moment de l’accouchement [1-5]. Ces femmes sont sujettes à de fréquentes erreurs dans la perception de leur schéma corporel proprioceptif ainsi que de leurs cognitions qui se traduisent par une anxiété majorée et une peur dramatisée des douleurs. Les troubles dans la gestion émotionnelle de leurs sentiments peuvent alors parfois conduire à l’évitement des situations d’intimité [2, 3, 5-13]. Ayant établi ce constat, nous avons souhaité déterminer si le vaginisme pouvait avoir un impact sur le pronostic obstétrical, l’accouchement impliquant en lui-même « le corps sexué », diverses émotions et une grande interaction avec les professionnels de santé.", "Il s’agit d’une étude rétrospective sur l’association entre grossesse et vaginisme primaire. Les patientes incluses dans cette étude étaient des femmes qui, au moment de leur désir d’enfant, n’avaient jamais pu avoir de pénétration vaginale par un pénis (sans obstacle anatomique) et qui ont donné naissance à un premier enfant vivant à terme. Ont été inclues des patientes ayant accouché entre le 1er janvier 2004 et le 30 avril 2015. La période de recueil des données s’échelonnait du 1er septembre 2014 au 30 avril 2015. Nous avons établi un questionnaire de recueil des données obstétricales rempli rétrospectivement par les sages-femmes et les gynécologues-obstétriciens ayant pris en charge ces patientes. Celui-ci comportait des questions relatives aux données sociodémographiques (âge, profession, niveau d’étude), au type d’établissement, aux données obstétricales et néonatales (parité, méthode de procréation, choix de préparation à la naissance et à la parentalité, terme et mode d’accouchement, durée et mode de mise en travail, méthodes d’analgésies, types de lésions périnéales, motifs d’intervention médicale, poids et sexe du nouveau-né) ainsi qu’aux données sexologiques (durée et modalités d’un éventuel suivi sexologique avant l’accouchement, cotation du tonus musculaire périnéal en début de grossesse et avant l’accouchement). Un score de cotation du tonus musculaire périnéal, inspiré de Pacik [14], était évalué sur 5 niveaux: 1 = spasme des releveurs, disparaissant en rassurant la patiente; 2 = spasme des releveurs, persistant lors des examens gynécologiques; 3 = spasme des releveurs, contraction des fesses lors de toute tentative d’examen; 4 = spasme des releveurs, contraction dorsale en arc, adduction des cuisses, mouvements de défense et rétraction des membres inférieurs; 5 = niveau 4 associé à des manifestations végétatives, refus de tout examen. Les professionnels de santé sollicités exerçaient dans divers départements français. Les croissances pondérales ont été calculées à l’aide des courbes [15], les moyennes, médianes, pourcentages et écart-types à l’aide du logiciel Excel®. Bien que la taille de l’échantillon fut modeste (ne permettait pas de faire des statistiques inférentielles), des comparaisons intra-échantillon ont pu être effectuées en recourant au test exact de Fisher bilatéral, avec un risque alpha = 5%.", "L’échantillon définitif était constitué de 19 femmes ayant accouché en Bretagne et en Île de France, majoritairement en établissement privé à but lucratif (n = 14). La moyenne d’âge à l’accouchement était de 29,5 ans ± 4,5, (extrêmes de 22 à 40 ans). Le Tableau 1 présente les moyennes des scores de cotation du périnée des patientes de l’échantillon.\nScores de cotation du tonus périnéal de l’échantillon (moyenne ± écart-type)\n Grossesse Deux couples ont conçu par procréation médicalement assistée (FIV) pour un motif autre que le vaginisme, 4 par éjaculation à la vulve (dont une grossesse non désirée), 7 par éjaculation vestibulaire à l’entrée du vagin, 3 par “auto-insémination maison”, 3 données étaient manquantes. Par ailleurs, 16 patientes ont suivi une préparation à la naissance et à la parentalité. Une patiente avait un diabète gestationnel (équilibré sous régime), une a rompu les membranes plus de 12 heures avant l’accouchement, ces situations ayant conduit à un déclenchement artificiel du travail. Parmi les 14 patientes ayant eu un début de travail spontané, 8 (57,1%) avaient atteint le terme (= 41SA). Deux déclenchements artificiels du travail (10,52%) ont été recensés.\nDeux couples ont conçu par procréation médicalement assistée (FIV) pour un motif autre que le vaginisme, 4 par éjaculation à la vulve (dont une grossesse non désirée), 7 par éjaculation vestibulaire à l’entrée du vagin, 3 par “auto-insémination maison”, 3 données étaient manquantes. Par ailleurs, 16 patientes ont suivi une préparation à la naissance et à la parentalité. Une patiente avait un diabète gestationnel (équilibré sous régime), une a rompu les membranes plus de 12 heures avant l’accouchement, ces situations ayant conduit à un déclenchement artificiel du travail. Parmi les 14 patientes ayant eu un début de travail spontané, 8 (57,1%) avaient atteint le terme (= 41SA). Deux déclenchements artificiels du travail (10,52%) ont été recensés.\n Travail et accouchement La Figure 1 schématise la répartition des 19 parturientes selon leur mode de mise en travail et la répartition des 9 grossesses prolongées. Une analgésie périmédullaire a été réalisée chez 15 parturientes, une patiente n’a bénéficié d’aucune analgésie tandis qu’une anesthésie générale a été pratiquée, en complément de la péridurale afin de procéder à l’extraction fœtale chez une patiente “agitée”. L’on retrouvait 12 accouchements par voie basse et 7 accouchements par césarienne répartis selon: 1) 12 accouchements par voie basse (63,2%) dont 7 accouchements par voie basse spontanée et 5 accouchements par voie basse instrumentale; 2) 7 césariennes (36,8%) dont 4 césariennes programmées avant travail et 3 césariennes en cours de travail.\nMise en travail et issue des accouchements des 19 parturientes de l’échantillon, nombre de grossesses prolongées (GP)\nLes indications des césariennes programmées étaient le vaginisme sans mise en travail dans un contexte de terme atteint (n = 2) et le sauvetage fœtal (n = 1) tandis que celles réalisées en cours de parturition l’étaient du fait d’une dystocie cervicale (n = 2) et d’une altération du rythme cardiaque fœtal (n = 2). Les extractions instrumentales (41,6% des accouchements par voie basse) étaient effectuées pour non progression du mobile fœtal (n = 3), insuffisance de poussées expulsives (n = 1) et agitation maternelle (n = 1). La durée moyenne de la phase active du deuxième stade du travail (poussées expulsives) était de 19,6 minutes (± 8,9 min).\nLa Figure 1 schématise la répartition des 19 parturientes selon leur mode de mise en travail et la répartition des 9 grossesses prolongées. Une analgésie périmédullaire a été réalisée chez 15 parturientes, une patiente n’a bénéficié d’aucune analgésie tandis qu’une anesthésie générale a été pratiquée, en complément de la péridurale afin de procéder à l’extraction fœtale chez une patiente “agitée”. L’on retrouvait 12 accouchements par voie basse et 7 accouchements par césarienne répartis selon: 1) 12 accouchements par voie basse (63,2%) dont 7 accouchements par voie basse spontanée et 5 accouchements par voie basse instrumentale; 2) 7 césariennes (36,8%) dont 4 césariennes programmées avant travail et 3 césariennes en cours de travail.\nMise en travail et issue des accouchements des 19 parturientes de l’échantillon, nombre de grossesses prolongées (GP)\nLes indications des césariennes programmées étaient le vaginisme sans mise en travail dans un contexte de terme atteint (n = 2) et le sauvetage fœtal (n = 1) tandis que celles réalisées en cours de parturition l’étaient du fait d’une dystocie cervicale (n = 2) et d’une altération du rythme cardiaque fœtal (n = 2). Les extractions instrumentales (41,6% des accouchements par voie basse) étaient effectuées pour non progression du mobile fœtal (n = 3), insuffisance de poussées expulsives (n = 1) et agitation maternelle (n = 1). La durée moyenne de la phase active du deuxième stade du travail (poussées expulsives) était de 19,6 minutes (± 8,9 min).\n Périnée Une lésion périnéale a été retrouvée chez toutes les patientes qu’il s’agisse d’épisiotomie ou de déchirure vulvo-périnéales. Ainsi, une épisiotomie était réalisée chez 9 patientes (75%) pour extraction instrumentale (n = 2), altération du rythme cardiaque fœtal (n = 2), hypertonie périnéale (n = 3). Deux données étaient manquantes (concernant des accouchements par voie basse spontanés). L’on retrouvait une déchirure périnéale chez 7 parturientes (58,3%). Une périnéorraphie a nécessité une anesthésie générale et s’est compliquée d’une hémorragie sévère (1litre). L’état périnéal selon le mode d’accouchement par voie basse est rapporté dans le Tableau 2.\nMorbidité périnéale immédiate et nombre de patientes concernées selon le type d’accouchement voie basse\nUne lésion périnéale a été retrouvée chez toutes les patientes qu’il s’agisse d’épisiotomie ou de déchirure vulvo-périnéales. Ainsi, une épisiotomie était réalisée chez 9 patientes (75%) pour extraction instrumentale (n = 2), altération du rythme cardiaque fœtal (n = 2), hypertonie périnéale (n = 3). Deux données étaient manquantes (concernant des accouchements par voie basse spontanés). L’on retrouvait une déchirure périnéale chez 7 parturientes (58,3%). Une périnéorraphie a nécessité une anesthésie générale et s’est compliquée d’une hémorragie sévère (1litre). L’état périnéal selon le mode d’accouchement par voie basse est rapporté dans le Tableau 2.\nMorbidité périnéale immédiate et nombre de patientes concernées selon le type d’accouchement voie basse\n Nouveau-nés La moyenne des poids de naissance des nouveau-nés (10 garçons et 9 filles) était de 3380g ± 331,9 (extrêmes 2870g - 3970g), situant le percentile au 47,2e ± 25,6, (extrêmes 8,25-88,76).\nLa moyenne des poids de naissance des nouveau-nés (10 garçons et 9 filles) était de 3380g ± 331,9 (extrêmes 2870g - 3970g), situant le percentile au 47,2e ± 25,6, (extrêmes 8,25-88,76).\n Tests statistiques Nous avons trouvé une association significative entre l’existence d’un accompagnement sexologique et une absence d’hypertonie périnéale en fin de grossesse (score à 1/5), p = 0,04. Nous n’avons, en revanche, pas trouvé d’association significative entre: 1) la présence d’une hypertonie périnéale en fin de grossesse (score entre 2 et 4/5) et le recours aux forceps, p = 0,29; 2) la grossesse prolongée et l’accouchement non physiologique (forceps ou césarienne), p = 0,35; 3) l’existence d’un accompagnement sexologique et un accouchement physiologique (en excluant les interventions pour sauvetage fœtal), p = 0,37; 4) le fait d’avoir suivi une préparation à la naissance et la réduction du score de tonus périnéal (p = 0,53), ni avec l’accouchement physiologique (p = 0,52); 5) la réduction du score du tonus périnéal et l’accouchement physiologique (p = 0,60); 6) le poids de naissance supérieur à 3600g et l’accouchement non physiologique (forceps ou césarienne) (p = 1).\nNous avons trouvé une association significative entre l’existence d’un accompagnement sexologique et une absence d’hypertonie périnéale en fin de grossesse (score à 1/5), p = 0,04. Nous n’avons, en revanche, pas trouvé d’association significative entre: 1) la présence d’une hypertonie périnéale en fin de grossesse (score entre 2 et 4/5) et le recours aux forceps, p = 0,29; 2) la grossesse prolongée et l’accouchement non physiologique (forceps ou césarienne), p = 0,35; 3) l’existence d’un accompagnement sexologique et un accouchement physiologique (en excluant les interventions pour sauvetage fœtal), p = 0,37; 4) le fait d’avoir suivi une préparation à la naissance et la réduction du score de tonus périnéal (p = 0,53), ni avec l’accouchement physiologique (p = 0,52); 5) la réduction du score du tonus périnéal et l’accouchement physiologique (p = 0,60); 6) le poids de naissance supérieur à 3600g et l’accouchement non physiologique (forceps ou césarienne) (p = 1).", "Deux couples ont conçu par procréation médicalement assistée (FIV) pour un motif autre que le vaginisme, 4 par éjaculation à la vulve (dont une grossesse non désirée), 7 par éjaculation vestibulaire à l’entrée du vagin, 3 par “auto-insémination maison”, 3 données étaient manquantes. Par ailleurs, 16 patientes ont suivi une préparation à la naissance et à la parentalité. Une patiente avait un diabète gestationnel (équilibré sous régime), une a rompu les membranes plus de 12 heures avant l’accouchement, ces situations ayant conduit à un déclenchement artificiel du travail. Parmi les 14 patientes ayant eu un début de travail spontané, 8 (57,1%) avaient atteint le terme (= 41SA). Deux déclenchements artificiels du travail (10,52%) ont été recensés.", "La Figure 1 schématise la répartition des 19 parturientes selon leur mode de mise en travail et la répartition des 9 grossesses prolongées. Une analgésie périmédullaire a été réalisée chez 15 parturientes, une patiente n’a bénéficié d’aucune analgésie tandis qu’une anesthésie générale a été pratiquée, en complément de la péridurale afin de procéder à l’extraction fœtale chez une patiente “agitée”. L’on retrouvait 12 accouchements par voie basse et 7 accouchements par césarienne répartis selon: 1) 12 accouchements par voie basse (63,2%) dont 7 accouchements par voie basse spontanée et 5 accouchements par voie basse instrumentale; 2) 7 césariennes (36,8%) dont 4 césariennes programmées avant travail et 3 césariennes en cours de travail.\nMise en travail et issue des accouchements des 19 parturientes de l’échantillon, nombre de grossesses prolongées (GP)\nLes indications des césariennes programmées étaient le vaginisme sans mise en travail dans un contexte de terme atteint (n = 2) et le sauvetage fœtal (n = 1) tandis que celles réalisées en cours de parturition l’étaient du fait d’une dystocie cervicale (n = 2) et d’une altération du rythme cardiaque fœtal (n = 2). Les extractions instrumentales (41,6% des accouchements par voie basse) étaient effectuées pour non progression du mobile fœtal (n = 3), insuffisance de poussées expulsives (n = 1) et agitation maternelle (n = 1). La durée moyenne de la phase active du deuxième stade du travail (poussées expulsives) était de 19,6 minutes (± 8,9 min).", "Une lésion périnéale a été retrouvée chez toutes les patientes qu’il s’agisse d’épisiotomie ou de déchirure vulvo-périnéales. Ainsi, une épisiotomie était réalisée chez 9 patientes (75%) pour extraction instrumentale (n = 2), altération du rythme cardiaque fœtal (n = 2), hypertonie périnéale (n = 3). Deux données étaient manquantes (concernant des accouchements par voie basse spontanés). L’on retrouvait une déchirure périnéale chez 7 parturientes (58,3%). Une périnéorraphie a nécessité une anesthésie générale et s’est compliquée d’une hémorragie sévère (1litre). L’état périnéal selon le mode d’accouchement par voie basse est rapporté dans le Tableau 2.\nMorbidité périnéale immédiate et nombre de patientes concernées selon le type d’accouchement voie basse", "La moyenne des poids de naissance des nouveau-nés (10 garçons et 9 filles) était de 3380g ± 331,9 (extrêmes 2870g - 3970g), situant le percentile au 47,2e ± 25,6, (extrêmes 8,25-88,76).", "Nous avons trouvé une association significative entre l’existence d’un accompagnement sexologique et une absence d’hypertonie périnéale en fin de grossesse (score à 1/5), p = 0,04. Nous n’avons, en revanche, pas trouvé d’association significative entre: 1) la présence d’une hypertonie périnéale en fin de grossesse (score entre 2 et 4/5) et le recours aux forceps, p = 0,29; 2) la grossesse prolongée et l’accouchement non physiologique (forceps ou césarienne), p = 0,35; 3) l’existence d’un accompagnement sexologique et un accouchement physiologique (en excluant les interventions pour sauvetage fœtal), p = 0,37; 4) le fait d’avoir suivi une préparation à la naissance et la réduction du score de tonus périnéal (p = 0,53), ni avec l’accouchement physiologique (p = 0,52); 5) la réduction du score du tonus périnéal et l’accouchement physiologique (p = 0,60); 6) le poids de naissance supérieur à 3600g et l’accouchement non physiologique (forceps ou césarienne) (p = 1).", " Population Les données sociodémographiques de notre échantillon étaient semblables à celles de l’enquête nationale périnatale de 2016 [16] pour les niveaux d’études et la répartition dans les catégories socioprofessionnelles. Mais un biais était introduit par le fait que les femmes avaient majoritairement accouché en établissement privé à but lucratif, plutôt qu’en structure publique. L’âge moyen des femmes de notre cohorte et de celles d’autres auteurs est semblable: Möller 24 à 29 ans [17] et Drenth 28 ans [18]. En France, l’âge moyen au premier enfant en France était de 28,5 ans et, tous rangs de naissance confondus, de 30,4 ans [19]. Contrairement à ce que les difficultés de procréation pourraient laisser croire, les femmes atteintes de vaginisme ne semblent pas avoir tendance à concevoir leur premier enfant plus tardivement que l’ensemble des femmes. Goldsmith et al.rapportent même une moyenne d’âge paraissant significativement moindre (bien que la cohorte comprenne plus de patientes primipares) [20].\nLes données sociodémographiques de notre échantillon étaient semblables à celles de l’enquête nationale périnatale de 2016 [16] pour les niveaux d’études et la répartition dans les catégories socioprofessionnelles. Mais un biais était introduit par le fait que les femmes avaient majoritairement accouché en établissement privé à but lucratif, plutôt qu’en structure publique. L’âge moyen des femmes de notre cohorte et de celles d’autres auteurs est semblable: Möller 24 à 29 ans [17] et Drenth 28 ans [18]. En France, l’âge moyen au premier enfant en France était de 28,5 ans et, tous rangs de naissance confondus, de 30,4 ans [19]. Contrairement à ce que les difficultés de procréation pourraient laisser croire, les femmes atteintes de vaginisme ne semblent pas avoir tendance à concevoir leur premier enfant plus tardivement que l’ensemble des femmes. Goldsmith et al.rapportent même une moyenne d’âge paraissant significativement moindre (bien que la cohorte comprenne plus de patientes primipares) [20].\n Grossesse, nouveau-nés Parmi les patientes ayant eu un début de travail spontané, la proportion de celles ayant atteint le terme (= 41SA) était considérable. En comparaison, ce taux se situe aux alentours de 15% dans la littérature [16, 21]. Une grande proportion de grossesses prolongées chez les patientes vaginiques a été constatée par Quiret-Rousselle [22], mais cette donnée n’a pas été mentionnée par les autres auteurs [17, 18, 20]. Ce résultat interroge sur la participation des facteurs cognitifs et émotionnels dans la mise en travail, notamment l’influence de la peur. Malgré tout, peu de déclenchements artificiels du travail ont été recensés dans notre population, contrairement à ce qui a été constaté par Quiret-Rousselle (61,53%) et Goldsmith et al. (37,3%).\nLes nouveau-nés étaient tous normotrophes, et nous n’avons pas trouvé d’association entre le poids supérieur à 3600g et l’accouchement par césarienne ou forceps (p = 1). Si Goldsmith et al. [20] ont rapporté des nouveau-nés plus petits, ils auraient retrouvé aussi significativement plus de naissances induites. Ceci pourrait en partie être dû à une restriction de croissance à moins qu’un biais introduit par des naissances à terme plus avancé ne puisse l’expliquer. Les croissances pondérales de notre échantillon étaient légèrement inférieures au 50èpercentile, bien que nous ne disposions pas de tous les éléments pour interpréter ce résultat, notamment s’agissant des attitudes addictives comme la consommation de toxiques et du degré d’anxiété des patientes [23].\nParmi les patientes ayant eu un début de travail spontané, la proportion de celles ayant atteint le terme (= 41SA) était considérable. En comparaison, ce taux se situe aux alentours de 15% dans la littérature [16, 21]. Une grande proportion de grossesses prolongées chez les patientes vaginiques a été constatée par Quiret-Rousselle [22], mais cette donnée n’a pas été mentionnée par les autres auteurs [17, 18, 20]. Ce résultat interroge sur la participation des facteurs cognitifs et émotionnels dans la mise en travail, notamment l’influence de la peur. Malgré tout, peu de déclenchements artificiels du travail ont été recensés dans notre population, contrairement à ce qui a été constaté par Quiret-Rousselle (61,53%) et Goldsmith et al. (37,3%).\nLes nouveau-nés étaient tous normotrophes, et nous n’avons pas trouvé d’association entre le poids supérieur à 3600g et l’accouchement par césarienne ou forceps (p = 1). Si Goldsmith et al. [20] ont rapporté des nouveau-nés plus petits, ils auraient retrouvé aussi significativement plus de naissances induites. Ceci pourrait en partie être dû à une restriction de croissance à moins qu’un biais introduit par des naissances à terme plus avancé ne puisse l’expliquer. Les croissances pondérales de notre échantillon étaient légèrement inférieures au 50èpercentile, bien que nous ne disposions pas de tous les éléments pour interpréter ce résultat, notamment s’agissant des attitudes addictives comme la consommation de toxiques et du degré d’anxiété des patientes [23].\n Accouchement Si une grande majorité des patientes de notre échantillon a eu recours à l’analgésie péridurale, celle-ci n’a pas toujours permis de faciliter les examens pelviens. Il faut toutefois rappeler que ce mode d’analgésie périmédullaire n’est pas un facteur de risque de césarienne en cours de travail ni d’extractions instrumentales [24]. Le vaginisme comme motif principal des césariennes avant travail a sans doute contribué à majorer le taux de césarienne dans notre échantillon. L’enquête nationale périnatale retrouvait ce taux à 20,2% pour les femmes à terme et 23,4% pour les primipares quel que soit le terme [16]. Le risque de césarienne apparait significativement supérieur chez les femmes atteintes de vaginisme [4, 17, 20, 22]. Dans la littérature, les césariennes avant travail attribuées au vaginisme s’expliquaient par la forte demande de césarienne de convenance, en raison d’une peur de l’accouchement [17, 20], et par l’impossibilité de pratiquer des déclenchements artificiels [20]. Les auteurs expliquaient les césariennes en cours de travail par les difficultés à examiner les parturientes, sources de retard de diagnostique [17, 20], notamment pour ce qui est des disproportions fœto-pelviennes [20]. Néanmoins, ceci est à interpréter avec circonspection dans la mesure où les poids de naissance apparaissaient significativement inférieurs [20]. Par ailleurs, les césariennes en cours de travail ont été effectuées dans un contexte de grossesse prolongée qui est en soi reconnu comme un facteur de risque de césarienne [21]. La grossesse prolongée expliquerait donc en partie notre taux élevé de césariennes. Toutefois, 2 d’entre elles ont été réalisées pour une dystocie cervicale dans la phase active du premier stade du travail; l’hypothèse de la participation de la peur de l’accouchement dans la survenue de ces césariennes en cours de travail pourrait dès lors être discutée [25].\nLe taux d’extractions instrumentales est également apparu élevé dans notre échantillon. Ce constat est également déploré Quiret-Rousselle (46,2%) [22]. Le taux révélé par l’enquête nationale périnatale était de 12,2% pour les parturientes à terme [16]. Möller et al. [17] avaient une proportion d’extraction instrumentales non significativement supérieure, dans un échantillon qui, rappelons-le, comportait indifféremment des femmes souffrant de vaginisme et de vulvodynie. En revanche, Goldsmith et al. [20] avaient calculé un risque d’extraction instrumentale multiplié par 3,6 en cas de vaginisme, qu’ils expliquaient par l’incapacité pour les patientes de pousser vigoureusement lors du second stade du travail. De fait, dans notre échantillon, les forceps ont été pratiqués sur des fœtus n’excédant pas 3440g, et la non-progression du mobile fœtal pourrait s’expliquer par une insuffisance de poussée, soit en raison d’une altération des perceptions et du contrôle du périnée, soit en raison d’un excès de tonus musculaire du périnée profond, voire en raison d’une peur. Les forceps pratiqués pour non-progression du mobile fœtal et insuffisance d’efforts expulsifs, l’ont été pour des patientes ayant eu un accompagnement sexologique, donc un apprentissage des sensations et du contrôle périnéal. Même si dans la population apparaissait une association significative entre l’accompagnement sexologique et l’absence d’hypertonie périnéale en fin de grossesse, l’on pouvait trouver une association non significative entre la présence d’une hypertonie périnéale en fin de grossesse et le recours au forceps. Effectivement, les scores de fin de grossesse étaient situés entre 1 et 4, et leur évolution n’a pas toujours été dans le sens d’une amélioration (de -3 à +1). Ces femmes n’avaient donc pas toutes une hypertonie périnéale constante. Le point commun des patientes ayant eu un accouchement avec extraction instrumentale par forceps pouvait être un mécanisme de peur-évitement, au cœur de la clinique du vaginisme. L’état de panique manifesté par une des parturientes en est l’apogée même si le vaginisme ne détient certes pas le monopole de ce type de manifestation. La peur de l’expulsion du fœtus pourrait conduire à un évitement de la poussée, et/ou un hyper-tonus des muscles du périnée profond contre lesquels le mobile fœtal viendrait butter.\nL’hypertonie musculaire périnéale pourrait aussi expliquer la morbidité périnéale particulière des femmes de notre échantillon puisque toutes les patientes ont présenté une lésion périnéale. Quiret-Rousselle et al.constatent aussi un taux de lésions périnéales chez toutes le patientes de leur cohorte [22]. Möller et al.confirment une augmentation significative du risque de lésions périnéales dans leur étude [17], bien que Goldsmith et al. ne l’évoquent pas [20]. En comparaison, l’enquête nationale périnatale retrouve 34,9% d’épisiotomies chez les primoparturientes et 52% de lésions périnéales spontanées pour l’ensemble des femmes ayant accouché par voie basse [16]. Il est hasardeux de tenter d’expliquer la survenue de déchirures spontanées au cours de l’accouchement d’une femme vaginique, en raison de l’intrication de nombreux paramètres. Le poids de naissance des enfants ne saurait en être le seul élément, d’autant que les poids de naissance ne mettaient pas en exergue de macrosomie. Le recours massif à l’épisiotomie dans notre échantillon pourrait être expliqué par les hypothèses suivantes: 1) pratique des épisiotomies par systématisme, en dépit des recommandations restrictives de 2005 [26]; 2) recours exclusif aux forceps et non à la ventouse obstétricale [27]; 3) hypertonie musculaire périnéale entravant le dégagement du fœtus.\nNotre taux d’épisiotomie a pu être amplifié plutôt par une mauvaise application des recommandations que par une hypertonie périnéale due au vaginisme. De manière globale, la diminution de la fréquence des épisiotomies poursuit sa lente décroissance suite à un consensus international sur l’absence de bénéfices d’une épisiotomie systématique, tant en prévention des troubles sphinctériens du postpartum qu’en réponse des professionnels aux demandes des femmes. Cependant, bon nombre des indications des épisiotomies s’avéraient nécessaires du fait d’un vaginisme avéré (4 cas d’hypertonies périnéales et un état de panique conduisant à une extraction sous anesthésie générale). Ainsi, le grand nombre de lésions spontanées constatées peut laisser penser que si les épisiotomies n’avaient pas été pratiquées, il n’est pas certain que nous aurions constaté plus de périnées intacts, contrairement à ce qu’a mis en évidence la littérature pour la population générale [28]. Deux autres études viennent corroborer ce constat [17, 22]. En effet, l’ampliation du périnée nécessite, entre autres, un bon relâchement musculaire, une bonne élasticité des tissus et une absence de peur, trois éléments qui font cruellement défaut chez les femmes atteintes de vaginisme [17, 29].\nSi une grande majorité des patientes de notre échantillon a eu recours à l’analgésie péridurale, celle-ci n’a pas toujours permis de faciliter les examens pelviens. Il faut toutefois rappeler que ce mode d’analgésie périmédullaire n’est pas un facteur de risque de césarienne en cours de travail ni d’extractions instrumentales [24]. Le vaginisme comme motif principal des césariennes avant travail a sans doute contribué à majorer le taux de césarienne dans notre échantillon. L’enquête nationale périnatale retrouvait ce taux à 20,2% pour les femmes à terme et 23,4% pour les primipares quel que soit le terme [16]. Le risque de césarienne apparait significativement supérieur chez les femmes atteintes de vaginisme [4, 17, 20, 22]. Dans la littérature, les césariennes avant travail attribuées au vaginisme s’expliquaient par la forte demande de césarienne de convenance, en raison d’une peur de l’accouchement [17, 20], et par l’impossibilité de pratiquer des déclenchements artificiels [20]. Les auteurs expliquaient les césariennes en cours de travail par les difficultés à examiner les parturientes, sources de retard de diagnostique [17, 20], notamment pour ce qui est des disproportions fœto-pelviennes [20]. Néanmoins, ceci est à interpréter avec circonspection dans la mesure où les poids de naissance apparaissaient significativement inférieurs [20]. Par ailleurs, les césariennes en cours de travail ont été effectuées dans un contexte de grossesse prolongée qui est en soi reconnu comme un facteur de risque de césarienne [21]. La grossesse prolongée expliquerait donc en partie notre taux élevé de césariennes. Toutefois, 2 d’entre elles ont été réalisées pour une dystocie cervicale dans la phase active du premier stade du travail; l’hypothèse de la participation de la peur de l’accouchement dans la survenue de ces césariennes en cours de travail pourrait dès lors être discutée [25].\nLe taux d’extractions instrumentales est également apparu élevé dans notre échantillon. Ce constat est également déploré Quiret-Rousselle (46,2%) [22]. Le taux révélé par l’enquête nationale périnatale était de 12,2% pour les parturientes à terme [16]. Möller et al. [17] avaient une proportion d’extraction instrumentales non significativement supérieure, dans un échantillon qui, rappelons-le, comportait indifféremment des femmes souffrant de vaginisme et de vulvodynie. En revanche, Goldsmith et al. [20] avaient calculé un risque d’extraction instrumentale multiplié par 3,6 en cas de vaginisme, qu’ils expliquaient par l’incapacité pour les patientes de pousser vigoureusement lors du second stade du travail. De fait, dans notre échantillon, les forceps ont été pratiqués sur des fœtus n’excédant pas 3440g, et la non-progression du mobile fœtal pourrait s’expliquer par une insuffisance de poussée, soit en raison d’une altération des perceptions et du contrôle du périnée, soit en raison d’un excès de tonus musculaire du périnée profond, voire en raison d’une peur. Les forceps pratiqués pour non-progression du mobile fœtal et insuffisance d’efforts expulsifs, l’ont été pour des patientes ayant eu un accompagnement sexologique, donc un apprentissage des sensations et du contrôle périnéal. Même si dans la population apparaissait une association significative entre l’accompagnement sexologique et l’absence d’hypertonie périnéale en fin de grossesse, l’on pouvait trouver une association non significative entre la présence d’une hypertonie périnéale en fin de grossesse et le recours au forceps. Effectivement, les scores de fin de grossesse étaient situés entre 1 et 4, et leur évolution n’a pas toujours été dans le sens d’une amélioration (de -3 à +1). Ces femmes n’avaient donc pas toutes une hypertonie périnéale constante. Le point commun des patientes ayant eu un accouchement avec extraction instrumentale par forceps pouvait être un mécanisme de peur-évitement, au cœur de la clinique du vaginisme. L’état de panique manifesté par une des parturientes en est l’apogée même si le vaginisme ne détient certes pas le monopole de ce type de manifestation. La peur de l’expulsion du fœtus pourrait conduire à un évitement de la poussée, et/ou un hyper-tonus des muscles du périnée profond contre lesquels le mobile fœtal viendrait butter.\nL’hypertonie musculaire périnéale pourrait aussi expliquer la morbidité périnéale particulière des femmes de notre échantillon puisque toutes les patientes ont présenté une lésion périnéale. Quiret-Rousselle et al.constatent aussi un taux de lésions périnéales chez toutes le patientes de leur cohorte [22]. Möller et al.confirment une augmentation significative du risque de lésions périnéales dans leur étude [17], bien que Goldsmith et al. ne l’évoquent pas [20]. En comparaison, l’enquête nationale périnatale retrouve 34,9% d’épisiotomies chez les primoparturientes et 52% de lésions périnéales spontanées pour l’ensemble des femmes ayant accouché par voie basse [16]. Il est hasardeux de tenter d’expliquer la survenue de déchirures spontanées au cours de l’accouchement d’une femme vaginique, en raison de l’intrication de nombreux paramètres. Le poids de naissance des enfants ne saurait en être le seul élément, d’autant que les poids de naissance ne mettaient pas en exergue de macrosomie. Le recours massif à l’épisiotomie dans notre échantillon pourrait être expliqué par les hypothèses suivantes: 1) pratique des épisiotomies par systématisme, en dépit des recommandations restrictives de 2005 [26]; 2) recours exclusif aux forceps et non à la ventouse obstétricale [27]; 3) hypertonie musculaire périnéale entravant le dégagement du fœtus.\nNotre taux d’épisiotomie a pu être amplifié plutôt par une mauvaise application des recommandations que par une hypertonie périnéale due au vaginisme. De manière globale, la diminution de la fréquence des épisiotomies poursuit sa lente décroissance suite à un consensus international sur l’absence de bénéfices d’une épisiotomie systématique, tant en prévention des troubles sphinctériens du postpartum qu’en réponse des professionnels aux demandes des femmes. Cependant, bon nombre des indications des épisiotomies s’avéraient nécessaires du fait d’un vaginisme avéré (4 cas d’hypertonies périnéales et un état de panique conduisant à une extraction sous anesthésie générale). Ainsi, le grand nombre de lésions spontanées constatées peut laisser penser que si les épisiotomies n’avaient pas été pratiquées, il n’est pas certain que nous aurions constaté plus de périnées intacts, contrairement à ce qu’a mis en évidence la littérature pour la population générale [28]. Deux autres études viennent corroborer ce constat [17, 22]. En effet, l’ampliation du périnée nécessite, entre autres, un bon relâchement musculaire, une bonne élasticité des tissus et une absence de peur, trois éléments qui font cruellement défaut chez les femmes atteintes de vaginisme [17, 29].\n En pratique L’accompagnement d’une femme atteinte de vaginisme comporte des particularités relationnelles. D’abord l’exigence d’une constance et d’une grande patience de la part des professionnels, afin d’éviter les comportements d’évitement et préserver un climat de confiance. Cette relation passe par l’attention que porte ledit professionnel à veiller à ce que la patiente n’éprouve pas le sentiment d’une quelconque perte de contrôle [29]. Force est de constater qu’il s’agit d’un domaine encore méconnu et qu’il n’y a, à l’heure actuelle aucun véritable consensus d’experts. Les éléments recueillis à ce jour incitent à une orientation précoce des femmes atteintes de vaginisme vers une prise en charge sexothérapique qui permet d’agir sur les cognitions, le mécanisme de peur-évitement ainsi que l’hypertonie périnéale conditionnée. Notons que la levée de cette dernière n’est pas suffisante à la réduction des risques d’extractions instrumentales et de morbidité périnéale.\nBon nombre de patientes vaginiques, qui n’évitent que la situation de pénétration, s’accommodent d’une « sexualité externe » qui semble les satisfaire. Dans ce cas de figure, notre description de recherche permanente d’évitement de situation d’intimité, comme c’est le cas des patientes souffrant de désir sexuel hypo-actif, pourrait trouver une certaine limite. Il paraît légitime de donner à ces femmes toutes les chances d’accoucher par voie basse, d’une part pour limiter le surcroit de morbi-mortalité liée à la césarienne [30-32], d’autre part pour ne pas cautionner le comportement d’évitement, qui fait le lit et consolide le vaginisme. Au-delà, l’accouchement par voie basse peut renforcer le sentiment de réussite, et donc le succès d’une sexothérapie en cours [18]. L’exploration du versant proprement psychologique au travers de tests psychométriques (peur, anxiété, dégoût, désir d’enfant, tocophobie) demeure sans doute un domaine à explorer.\nL’accompagnement d’une femme atteinte de vaginisme comporte des particularités relationnelles. D’abord l’exigence d’une constance et d’une grande patience de la part des professionnels, afin d’éviter les comportements d’évitement et préserver un climat de confiance. Cette relation passe par l’attention que porte ledit professionnel à veiller à ce que la patiente n’éprouve pas le sentiment d’une quelconque perte de contrôle [29]. Force est de constater qu’il s’agit d’un domaine encore méconnu et qu’il n’y a, à l’heure actuelle aucun véritable consensus d’experts. Les éléments recueillis à ce jour incitent à une orientation précoce des femmes atteintes de vaginisme vers une prise en charge sexothérapique qui permet d’agir sur les cognitions, le mécanisme de peur-évitement ainsi que l’hypertonie périnéale conditionnée. Notons que la levée de cette dernière n’est pas suffisante à la réduction des risques d’extractions instrumentales et de morbidité périnéale.\nBon nombre de patientes vaginiques, qui n’évitent que la situation de pénétration, s’accommodent d’une « sexualité externe » qui semble les satisfaire. Dans ce cas de figure, notre description de recherche permanente d’évitement de situation d’intimité, comme c’est le cas des patientes souffrant de désir sexuel hypo-actif, pourrait trouver une certaine limite. Il paraît légitime de donner à ces femmes toutes les chances d’accoucher par voie basse, d’une part pour limiter le surcroit de morbi-mortalité liée à la césarienne [30-32], d’autre part pour ne pas cautionner le comportement d’évitement, qui fait le lit et consolide le vaginisme. Au-delà, l’accouchement par voie basse peut renforcer le sentiment de réussite, et donc le succès d’une sexothérapie en cours [18]. L’exploration du versant proprement psychologique au travers de tests psychométriques (peur, anxiété, dégoût, désir d’enfant, tocophobie) demeure sans doute un domaine à explorer.\n Points forts et limites de l’étude Cette étude s’est intéressée à un sujet peu traité mais qui a de réelles implications cliniques. Un de ses points forts est qu’il est l’un des rares travaux à s’intéresser aux mécanismes ainsi qu’au déroulement du travail. Une de ses limites tient à son échantillonnage modeste qu’il faut considérer au travers du caractère peu répandu du vaginisme dans la population [33]. Les patientes présentant un vaginisme primaire n’ont été retrouvées que dans 2 études [18, 22], la plupart des travaux intégrant le vaginisme secondaire ou la vulvodynie dont les mécanismes physiopathologiques diffèrent [17, 20, 34]. La méthodologie utilisée n’a sans doute pas autorisé un recrutement exhaustif (inclusion de patientes basée uniquement sur le volontariat des professionnels de santé sollicités); cependant elle a permis d’obtenir une cohorte homogène, apportant une certaine pertinence aux résultats et mettant en lumière plusieurs pistes de réflexion.\nUn autre écueil pourrait résider dans la concision du questionnaire qui ne s’intéressait pas expressément aux pathologies obstétricales ni à l’adaptation extra-utérine des nouveau-nés. Le choix délibéré d’un questionnaire court comprenant des questions à compléments multiples permettait de ne pas décourager les professionnels auxquels il était soumis. La place octroyée aux commentaires permettait d’apporter des commentaires et a d’ailleurs été largement utilisée. Enfin, le score de cotation du tonus musculaire périnéal pouvait sembler quelque peu limité pour définir le vaginisme; cependant il a permis de standardiser les mesures du tonus périnéal et le comportement de peur-évitement une fois le diagnostic établi. Cela a par ailleurs permis une utilisation aisée de la part de praticiens qui pouvaient ne pas être familiarisés avec cette entité particulière qu’est le vaginisme.\nCette étude s’est intéressée à un sujet peu traité mais qui a de réelles implications cliniques. Un de ses points forts est qu’il est l’un des rares travaux à s’intéresser aux mécanismes ainsi qu’au déroulement du travail. Une de ses limites tient à son échantillonnage modeste qu’il faut considérer au travers du caractère peu répandu du vaginisme dans la population [33]. Les patientes présentant un vaginisme primaire n’ont été retrouvées que dans 2 études [18, 22], la plupart des travaux intégrant le vaginisme secondaire ou la vulvodynie dont les mécanismes physiopathologiques diffèrent [17, 20, 34]. La méthodologie utilisée n’a sans doute pas autorisé un recrutement exhaustif (inclusion de patientes basée uniquement sur le volontariat des professionnels de santé sollicités); cependant elle a permis d’obtenir une cohorte homogène, apportant une certaine pertinence aux résultats et mettant en lumière plusieurs pistes de réflexion.\nUn autre écueil pourrait résider dans la concision du questionnaire qui ne s’intéressait pas expressément aux pathologies obstétricales ni à l’adaptation extra-utérine des nouveau-nés. Le choix délibéré d’un questionnaire court comprenant des questions à compléments multiples permettait de ne pas décourager les professionnels auxquels il était soumis. La place octroyée aux commentaires permettait d’apporter des commentaires et a d’ailleurs été largement utilisée. Enfin, le score de cotation du tonus musculaire périnéal pouvait sembler quelque peu limité pour définir le vaginisme; cependant il a permis de standardiser les mesures du tonus périnéal et le comportement de peur-évitement une fois le diagnostic établi. Cela a par ailleurs permis une utilisation aisée de la part de praticiens qui pouvaient ne pas être familiarisés avec cette entité particulière qu’est le vaginisme.", "Les données sociodémographiques de notre échantillon étaient semblables à celles de l’enquête nationale périnatale de 2016 [16] pour les niveaux d’études et la répartition dans les catégories socioprofessionnelles. Mais un biais était introduit par le fait que les femmes avaient majoritairement accouché en établissement privé à but lucratif, plutôt qu’en structure publique. L’âge moyen des femmes de notre cohorte et de celles d’autres auteurs est semblable: Möller 24 à 29 ans [17] et Drenth 28 ans [18]. En France, l’âge moyen au premier enfant en France était de 28,5 ans et, tous rangs de naissance confondus, de 30,4 ans [19]. Contrairement à ce que les difficultés de procréation pourraient laisser croire, les femmes atteintes de vaginisme ne semblent pas avoir tendance à concevoir leur premier enfant plus tardivement que l’ensemble des femmes. Goldsmith et al.rapportent même une moyenne d’âge paraissant significativement moindre (bien que la cohorte comprenne plus de patientes primipares) [20].", "Parmi les patientes ayant eu un début de travail spontané, la proportion de celles ayant atteint le terme (= 41SA) était considérable. En comparaison, ce taux se situe aux alentours de 15% dans la littérature [16, 21]. Une grande proportion de grossesses prolongées chez les patientes vaginiques a été constatée par Quiret-Rousselle [22], mais cette donnée n’a pas été mentionnée par les autres auteurs [17, 18, 20]. Ce résultat interroge sur la participation des facteurs cognitifs et émotionnels dans la mise en travail, notamment l’influence de la peur. Malgré tout, peu de déclenchements artificiels du travail ont été recensés dans notre population, contrairement à ce qui a été constaté par Quiret-Rousselle (61,53%) et Goldsmith et al. (37,3%).\nLes nouveau-nés étaient tous normotrophes, et nous n’avons pas trouvé d’association entre le poids supérieur à 3600g et l’accouchement par césarienne ou forceps (p = 1). Si Goldsmith et al. [20] ont rapporté des nouveau-nés plus petits, ils auraient retrouvé aussi significativement plus de naissances induites. Ceci pourrait en partie être dû à une restriction de croissance à moins qu’un biais introduit par des naissances à terme plus avancé ne puisse l’expliquer. Les croissances pondérales de notre échantillon étaient légèrement inférieures au 50èpercentile, bien que nous ne disposions pas de tous les éléments pour interpréter ce résultat, notamment s’agissant des attitudes addictives comme la consommation de toxiques et du degré d’anxiété des patientes [23].", "Si une grande majorité des patientes de notre échantillon a eu recours à l’analgésie péridurale, celle-ci n’a pas toujours permis de faciliter les examens pelviens. Il faut toutefois rappeler que ce mode d’analgésie périmédullaire n’est pas un facteur de risque de césarienne en cours de travail ni d’extractions instrumentales [24]. Le vaginisme comme motif principal des césariennes avant travail a sans doute contribué à majorer le taux de césarienne dans notre échantillon. L’enquête nationale périnatale retrouvait ce taux à 20,2% pour les femmes à terme et 23,4% pour les primipares quel que soit le terme [16]. Le risque de césarienne apparait significativement supérieur chez les femmes atteintes de vaginisme [4, 17, 20, 22]. Dans la littérature, les césariennes avant travail attribuées au vaginisme s’expliquaient par la forte demande de césarienne de convenance, en raison d’une peur de l’accouchement [17, 20], et par l’impossibilité de pratiquer des déclenchements artificiels [20]. Les auteurs expliquaient les césariennes en cours de travail par les difficultés à examiner les parturientes, sources de retard de diagnostique [17, 20], notamment pour ce qui est des disproportions fœto-pelviennes [20]. Néanmoins, ceci est à interpréter avec circonspection dans la mesure où les poids de naissance apparaissaient significativement inférieurs [20]. Par ailleurs, les césariennes en cours de travail ont été effectuées dans un contexte de grossesse prolongée qui est en soi reconnu comme un facteur de risque de césarienne [21]. La grossesse prolongée expliquerait donc en partie notre taux élevé de césariennes. Toutefois, 2 d’entre elles ont été réalisées pour une dystocie cervicale dans la phase active du premier stade du travail; l’hypothèse de la participation de la peur de l’accouchement dans la survenue de ces césariennes en cours de travail pourrait dès lors être discutée [25].\nLe taux d’extractions instrumentales est également apparu élevé dans notre échantillon. Ce constat est également déploré Quiret-Rousselle (46,2%) [22]. Le taux révélé par l’enquête nationale périnatale était de 12,2% pour les parturientes à terme [16]. Möller et al. [17] avaient une proportion d’extraction instrumentales non significativement supérieure, dans un échantillon qui, rappelons-le, comportait indifféremment des femmes souffrant de vaginisme et de vulvodynie. En revanche, Goldsmith et al. [20] avaient calculé un risque d’extraction instrumentale multiplié par 3,6 en cas de vaginisme, qu’ils expliquaient par l’incapacité pour les patientes de pousser vigoureusement lors du second stade du travail. De fait, dans notre échantillon, les forceps ont été pratiqués sur des fœtus n’excédant pas 3440g, et la non-progression du mobile fœtal pourrait s’expliquer par une insuffisance de poussée, soit en raison d’une altération des perceptions et du contrôle du périnée, soit en raison d’un excès de tonus musculaire du périnée profond, voire en raison d’une peur. Les forceps pratiqués pour non-progression du mobile fœtal et insuffisance d’efforts expulsifs, l’ont été pour des patientes ayant eu un accompagnement sexologique, donc un apprentissage des sensations et du contrôle périnéal. Même si dans la population apparaissait une association significative entre l’accompagnement sexologique et l’absence d’hypertonie périnéale en fin de grossesse, l’on pouvait trouver une association non significative entre la présence d’une hypertonie périnéale en fin de grossesse et le recours au forceps. Effectivement, les scores de fin de grossesse étaient situés entre 1 et 4, et leur évolution n’a pas toujours été dans le sens d’une amélioration (de -3 à +1). Ces femmes n’avaient donc pas toutes une hypertonie périnéale constante. Le point commun des patientes ayant eu un accouchement avec extraction instrumentale par forceps pouvait être un mécanisme de peur-évitement, au cœur de la clinique du vaginisme. L’état de panique manifesté par une des parturientes en est l’apogée même si le vaginisme ne détient certes pas le monopole de ce type de manifestation. La peur de l’expulsion du fœtus pourrait conduire à un évitement de la poussée, et/ou un hyper-tonus des muscles du périnée profond contre lesquels le mobile fœtal viendrait butter.\nL’hypertonie musculaire périnéale pourrait aussi expliquer la morbidité périnéale particulière des femmes de notre échantillon puisque toutes les patientes ont présenté une lésion périnéale. Quiret-Rousselle et al.constatent aussi un taux de lésions périnéales chez toutes le patientes de leur cohorte [22]. Möller et al.confirment une augmentation significative du risque de lésions périnéales dans leur étude [17], bien que Goldsmith et al. ne l’évoquent pas [20]. En comparaison, l’enquête nationale périnatale retrouve 34,9% d’épisiotomies chez les primoparturientes et 52% de lésions périnéales spontanées pour l’ensemble des femmes ayant accouché par voie basse [16]. Il est hasardeux de tenter d’expliquer la survenue de déchirures spontanées au cours de l’accouchement d’une femme vaginique, en raison de l’intrication de nombreux paramètres. Le poids de naissance des enfants ne saurait en être le seul élément, d’autant que les poids de naissance ne mettaient pas en exergue de macrosomie. Le recours massif à l’épisiotomie dans notre échantillon pourrait être expliqué par les hypothèses suivantes: 1) pratique des épisiotomies par systématisme, en dépit des recommandations restrictives de 2005 [26]; 2) recours exclusif aux forceps et non à la ventouse obstétricale [27]; 3) hypertonie musculaire périnéale entravant le dégagement du fœtus.\nNotre taux d’épisiotomie a pu être amplifié plutôt par une mauvaise application des recommandations que par une hypertonie périnéale due au vaginisme. De manière globale, la diminution de la fréquence des épisiotomies poursuit sa lente décroissance suite à un consensus international sur l’absence de bénéfices d’une épisiotomie systématique, tant en prévention des troubles sphinctériens du postpartum qu’en réponse des professionnels aux demandes des femmes. Cependant, bon nombre des indications des épisiotomies s’avéraient nécessaires du fait d’un vaginisme avéré (4 cas d’hypertonies périnéales et un état de panique conduisant à une extraction sous anesthésie générale). Ainsi, le grand nombre de lésions spontanées constatées peut laisser penser que si les épisiotomies n’avaient pas été pratiquées, il n’est pas certain que nous aurions constaté plus de périnées intacts, contrairement à ce qu’a mis en évidence la littérature pour la population générale [28]. Deux autres études viennent corroborer ce constat [17, 22]. En effet, l’ampliation du périnée nécessite, entre autres, un bon relâchement musculaire, une bonne élasticité des tissus et une absence de peur, trois éléments qui font cruellement défaut chez les femmes atteintes de vaginisme [17, 29].", "L’accompagnement d’une femme atteinte de vaginisme comporte des particularités relationnelles. D’abord l’exigence d’une constance et d’une grande patience de la part des professionnels, afin d’éviter les comportements d’évitement et préserver un climat de confiance. Cette relation passe par l’attention que porte ledit professionnel à veiller à ce que la patiente n’éprouve pas le sentiment d’une quelconque perte de contrôle [29]. Force est de constater qu’il s’agit d’un domaine encore méconnu et qu’il n’y a, à l’heure actuelle aucun véritable consensus d’experts. Les éléments recueillis à ce jour incitent à une orientation précoce des femmes atteintes de vaginisme vers une prise en charge sexothérapique qui permet d’agir sur les cognitions, le mécanisme de peur-évitement ainsi que l’hypertonie périnéale conditionnée. Notons que la levée de cette dernière n’est pas suffisante à la réduction des risques d’extractions instrumentales et de morbidité périnéale.\nBon nombre de patientes vaginiques, qui n’évitent que la situation de pénétration, s’accommodent d’une « sexualité externe » qui semble les satisfaire. Dans ce cas de figure, notre description de recherche permanente d’évitement de situation d’intimité, comme c’est le cas des patientes souffrant de désir sexuel hypo-actif, pourrait trouver une certaine limite. Il paraît légitime de donner à ces femmes toutes les chances d’accoucher par voie basse, d’une part pour limiter le surcroit de morbi-mortalité liée à la césarienne [30-32], d’autre part pour ne pas cautionner le comportement d’évitement, qui fait le lit et consolide le vaginisme. Au-delà, l’accouchement par voie basse peut renforcer le sentiment de réussite, et donc le succès d’une sexothérapie en cours [18]. L’exploration du versant proprement psychologique au travers de tests psychométriques (peur, anxiété, dégoût, désir d’enfant, tocophobie) demeure sans doute un domaine à explorer.", "Cette étude s’est intéressée à un sujet peu traité mais qui a de réelles implications cliniques. Un de ses points forts est qu’il est l’un des rares travaux à s’intéresser aux mécanismes ainsi qu’au déroulement du travail. Une de ses limites tient à son échantillonnage modeste qu’il faut considérer au travers du caractère peu répandu du vaginisme dans la population [33]. Les patientes présentant un vaginisme primaire n’ont été retrouvées que dans 2 études [18, 22], la plupart des travaux intégrant le vaginisme secondaire ou la vulvodynie dont les mécanismes physiopathologiques diffèrent [17, 20, 34]. La méthodologie utilisée n’a sans doute pas autorisé un recrutement exhaustif (inclusion de patientes basée uniquement sur le volontariat des professionnels de santé sollicités); cependant elle a permis d’obtenir une cohorte homogène, apportant une certaine pertinence aux résultats et mettant en lumière plusieurs pistes de réflexion.\nUn autre écueil pourrait résider dans la concision du questionnaire qui ne s’intéressait pas expressément aux pathologies obstétricales ni à l’adaptation extra-utérine des nouveau-nés. Le choix délibéré d’un questionnaire court comprenant des questions à compléments multiples permettait de ne pas décourager les professionnels auxquels il était soumis. La place octroyée aux commentaires permettait d’apporter des commentaires et a d’ailleurs été largement utilisée. Enfin, le score de cotation du tonus musculaire périnéal pouvait sembler quelque peu limité pour définir le vaginisme; cependant il a permis de standardiser les mesures du tonus périnéal et le comportement de peur-évitement une fois le diagnostic établi. Cela a par ailleurs permis une utilisation aisée de la part de praticiens qui pouvaient ne pas être familiarisés avec cette entité particulière qu’est le vaginisme.", "Dysfonction importante, le vaginisme est un problème tant individuel que du couple dont il altère la relation sexuelle [35]. Au-delà, il influence péjorativement le pronostic obstétrical. Nos résultats vont dans le sens de ceux rapportés par d’autres auteurs quant au risque accru de césariennes et d’extractions instrumentales pour les femmes atteintes de vaginisme. Ils mettent en outre en lumière le grand nombre de grossesses prolongées, dont on sait qu’elles sont pourvoyeuses de morbidité et de mortalité. L’analyse qualitative des résultats semble désigner le mécanisme de peur-évitement et de l’anxiété, comme éléments constitutionnels essentiels du vaginisme, dans la survenue des dystocies et des lésions périnéales constatées. Un accompagnement sexologique précoce, même s’il ne permet pas à lui seul d’annihiler les risques et améliorer le pronostic obstétrical, pourrait aider ces femmes. La place que l’on pourrait accorder à ce type de prise en charge reste toutefois encore à évaluer au travers d’études prospectives et contrôlées, alliant de plus larges de cohortes de patientes (incluant des tests psychométriques) et explorant le versant néonatal.\n Etat des connaissances actuelles sur le sujet Le vaginisme est une pathologie mal connue;\nPeu d’études se sont intéressées au pronostic obstétrical des femmes souffrant de vaginisme.\nLe vaginisme est une pathologie mal connue;\nPeu d’études se sont intéressées au pronostic obstétrical des femmes souffrant de vaginisme.\n Contribution de notre étude à la connaissance Le vaginisme influence défavorablement le pronostic obstétrical des femmes vaginiques;\nCette étude est l’une des rares à avoir enrôlé des patientes enceintes primipares;\nUn prise en charge au cours de la grossesse, notamment psycho-sexologique, pourrait contribuer à améliorer les résultats obstétricaux (taux d’épisiotomie, d’extraction instrumentale et de césariennes en particulier).\nLe vaginisme influence défavorablement le pronostic obstétrical des femmes vaginiques;\nCette étude est l’une des rares à avoir enrôlé des patientes enceintes primipares;\nUn prise en charge au cours de la grossesse, notamment psycho-sexologique, pourrait contribuer à améliorer les résultats obstétricaux (taux d’épisiotomie, d’extraction instrumentale et de césariennes en particulier).", "Le vaginisme est une pathologie mal connue;\nPeu d’études se sont intéressées au pronostic obstétrical des femmes souffrant de vaginisme.", "Le vaginisme influence défavorablement le pronostic obstétrical des femmes vaginiques;\nCette étude est l’une des rares à avoir enrôlé des patientes enceintes primipares;\nUn prise en charge au cours de la grossesse, notamment psycho-sexologique, pourrait contribuer à améliorer les résultats obstétricaux (taux d’épisiotomie, d’extraction instrumentale et de césariennes en particulier).", "Les auteurs ne déclarent aucun conflits d’intérêts." ]
[ "intro", "methods", "results", null, null, null, null, null, "discussion", null, null, null, null, null, "conclusion", null, null, "COI-statement" ]
[ "Vaginisme", "dysfonction sexuelle", "dyspareunie", "phobie sexuelle", "rapport sexuel", "accouchement", "césarienne", "Vaginismus", "sexual dysfunction", "dyspareunia", "sexual phobia", "sexual intercourse", "childbirth", "cesarean section" ]
Introduction: Le vaginisme se traduit par la difficulté persistante ou récurrente, pour une femme, de permettre l’entrée de son vagin à un pénis, un doigt et/ou à d’autres objets, en dépit du désir exprimé d’y parvenir. Le tonus accru et incontrôlé des muscles périnéaux a été incriminé dans cette impossibilité de pénétration vaginale bien que des études électromyographiques n’en aient pas totalement élucidé la physiopathologie. Les caractéristiques psychologiques et physiques des femmes atteintes de vaginisme rendent difficile l’accès à une sexualité satisfaisante, mais interrogent également sur leur rôle au moment de l’accouchement [1-5]. Ces femmes sont sujettes à de fréquentes erreurs dans la perception de leur schéma corporel proprioceptif ainsi que de leurs cognitions qui se traduisent par une anxiété majorée et une peur dramatisée des douleurs. Les troubles dans la gestion émotionnelle de leurs sentiments peuvent alors parfois conduire à l’évitement des situations d’intimité [2, 3, 5-13]. Ayant établi ce constat, nous avons souhaité déterminer si le vaginisme pouvait avoir un impact sur le pronostic obstétrical, l’accouchement impliquant en lui-même « le corps sexué », diverses émotions et une grande interaction avec les professionnels de santé. Méthodes: Il s’agit d’une étude rétrospective sur l’association entre grossesse et vaginisme primaire. Les patientes incluses dans cette étude étaient des femmes qui, au moment de leur désir d’enfant, n’avaient jamais pu avoir de pénétration vaginale par un pénis (sans obstacle anatomique) et qui ont donné naissance à un premier enfant vivant à terme. Ont été inclues des patientes ayant accouché entre le 1er janvier 2004 et le 30 avril 2015. La période de recueil des données s’échelonnait du 1er septembre 2014 au 30 avril 2015. Nous avons établi un questionnaire de recueil des données obstétricales rempli rétrospectivement par les sages-femmes et les gynécologues-obstétriciens ayant pris en charge ces patientes. Celui-ci comportait des questions relatives aux données sociodémographiques (âge, profession, niveau d’étude), au type d’établissement, aux données obstétricales et néonatales (parité, méthode de procréation, choix de préparation à la naissance et à la parentalité, terme et mode d’accouchement, durée et mode de mise en travail, méthodes d’analgésies, types de lésions périnéales, motifs d’intervention médicale, poids et sexe du nouveau-né) ainsi qu’aux données sexologiques (durée et modalités d’un éventuel suivi sexologique avant l’accouchement, cotation du tonus musculaire périnéal en début de grossesse et avant l’accouchement). Un score de cotation du tonus musculaire périnéal, inspiré de Pacik [14], était évalué sur 5 niveaux: 1 = spasme des releveurs, disparaissant en rassurant la patiente; 2 = spasme des releveurs, persistant lors des examens gynécologiques; 3 = spasme des releveurs, contraction des fesses lors de toute tentative d’examen; 4 = spasme des releveurs, contraction dorsale en arc, adduction des cuisses, mouvements de défense et rétraction des membres inférieurs; 5 = niveau 4 associé à des manifestations végétatives, refus de tout examen. Les professionnels de santé sollicités exerçaient dans divers départements français. Les croissances pondérales ont été calculées à l’aide des courbes [15], les moyennes, médianes, pourcentages et écart-types à l’aide du logiciel Excel®. Bien que la taille de l’échantillon fut modeste (ne permettait pas de faire des statistiques inférentielles), des comparaisons intra-échantillon ont pu être effectuées en recourant au test exact de Fisher bilatéral, avec un risque alpha = 5%. Résultats: L’échantillon définitif était constitué de 19 femmes ayant accouché en Bretagne et en Île de France, majoritairement en établissement privé à but lucratif (n = 14). La moyenne d’âge à l’accouchement était de 29,5 ans ± 4,5, (extrêmes de 22 à 40 ans). Le Tableau 1 présente les moyennes des scores de cotation du périnée des patientes de l’échantillon. Scores de cotation du tonus périnéal de l’échantillon (moyenne ± écart-type) Grossesse Deux couples ont conçu par procréation médicalement assistée (FIV) pour un motif autre que le vaginisme, 4 par éjaculation à la vulve (dont une grossesse non désirée), 7 par éjaculation vestibulaire à l’entrée du vagin, 3 par “auto-insémination maison”, 3 données étaient manquantes. Par ailleurs, 16 patientes ont suivi une préparation à la naissance et à la parentalité. Une patiente avait un diabète gestationnel (équilibré sous régime), une a rompu les membranes plus de 12 heures avant l’accouchement, ces situations ayant conduit à un déclenchement artificiel du travail. Parmi les 14 patientes ayant eu un début de travail spontané, 8 (57,1%) avaient atteint le terme (= 41SA). Deux déclenchements artificiels du travail (10,52%) ont été recensés. Deux couples ont conçu par procréation médicalement assistée (FIV) pour un motif autre que le vaginisme, 4 par éjaculation à la vulve (dont une grossesse non désirée), 7 par éjaculation vestibulaire à l’entrée du vagin, 3 par “auto-insémination maison”, 3 données étaient manquantes. Par ailleurs, 16 patientes ont suivi une préparation à la naissance et à la parentalité. Une patiente avait un diabète gestationnel (équilibré sous régime), une a rompu les membranes plus de 12 heures avant l’accouchement, ces situations ayant conduit à un déclenchement artificiel du travail. Parmi les 14 patientes ayant eu un début de travail spontané, 8 (57,1%) avaient atteint le terme (= 41SA). Deux déclenchements artificiels du travail (10,52%) ont été recensés. Travail et accouchement La Figure 1 schématise la répartition des 19 parturientes selon leur mode de mise en travail et la répartition des 9 grossesses prolongées. Une analgésie périmédullaire a été réalisée chez 15 parturientes, une patiente n’a bénéficié d’aucune analgésie tandis qu’une anesthésie générale a été pratiquée, en complément de la péridurale afin de procéder à l’extraction fœtale chez une patiente “agitée”. L’on retrouvait 12 accouchements par voie basse et 7 accouchements par césarienne répartis selon: 1) 12 accouchements par voie basse (63,2%) dont 7 accouchements par voie basse spontanée et 5 accouchements par voie basse instrumentale; 2) 7 césariennes (36,8%) dont 4 césariennes programmées avant travail et 3 césariennes en cours de travail. Mise en travail et issue des accouchements des 19 parturientes de l’échantillon, nombre de grossesses prolongées (GP) Les indications des césariennes programmées étaient le vaginisme sans mise en travail dans un contexte de terme atteint (n = 2) et le sauvetage fœtal (n = 1) tandis que celles réalisées en cours de parturition l’étaient du fait d’une dystocie cervicale (n = 2) et d’une altération du rythme cardiaque fœtal (n = 2). Les extractions instrumentales (41,6% des accouchements par voie basse) étaient effectuées pour non progression du mobile fœtal (n = 3), insuffisance de poussées expulsives (n = 1) et agitation maternelle (n = 1). La durée moyenne de la phase active du deuxième stade du travail (poussées expulsives) était de 19,6 minutes (± 8,9 min). La Figure 1 schématise la répartition des 19 parturientes selon leur mode de mise en travail et la répartition des 9 grossesses prolongées. Une analgésie périmédullaire a été réalisée chez 15 parturientes, une patiente n’a bénéficié d’aucune analgésie tandis qu’une anesthésie générale a été pratiquée, en complément de la péridurale afin de procéder à l’extraction fœtale chez une patiente “agitée”. L’on retrouvait 12 accouchements par voie basse et 7 accouchements par césarienne répartis selon: 1) 12 accouchements par voie basse (63,2%) dont 7 accouchements par voie basse spontanée et 5 accouchements par voie basse instrumentale; 2) 7 césariennes (36,8%) dont 4 césariennes programmées avant travail et 3 césariennes en cours de travail. Mise en travail et issue des accouchements des 19 parturientes de l’échantillon, nombre de grossesses prolongées (GP) Les indications des césariennes programmées étaient le vaginisme sans mise en travail dans un contexte de terme atteint (n = 2) et le sauvetage fœtal (n = 1) tandis que celles réalisées en cours de parturition l’étaient du fait d’une dystocie cervicale (n = 2) et d’une altération du rythme cardiaque fœtal (n = 2). Les extractions instrumentales (41,6% des accouchements par voie basse) étaient effectuées pour non progression du mobile fœtal (n = 3), insuffisance de poussées expulsives (n = 1) et agitation maternelle (n = 1). La durée moyenne de la phase active du deuxième stade du travail (poussées expulsives) était de 19,6 minutes (± 8,9 min). Périnée Une lésion périnéale a été retrouvée chez toutes les patientes qu’il s’agisse d’épisiotomie ou de déchirure vulvo-périnéales. Ainsi, une épisiotomie était réalisée chez 9 patientes (75%) pour extraction instrumentale (n = 2), altération du rythme cardiaque fœtal (n = 2), hypertonie périnéale (n = 3). Deux données étaient manquantes (concernant des accouchements par voie basse spontanés). L’on retrouvait une déchirure périnéale chez 7 parturientes (58,3%). Une périnéorraphie a nécessité une anesthésie générale et s’est compliquée d’une hémorragie sévère (1litre). L’état périnéal selon le mode d’accouchement par voie basse est rapporté dans le Tableau 2. Morbidité périnéale immédiate et nombre de patientes concernées selon le type d’accouchement voie basse Une lésion périnéale a été retrouvée chez toutes les patientes qu’il s’agisse d’épisiotomie ou de déchirure vulvo-périnéales. Ainsi, une épisiotomie était réalisée chez 9 patientes (75%) pour extraction instrumentale (n = 2), altération du rythme cardiaque fœtal (n = 2), hypertonie périnéale (n = 3). Deux données étaient manquantes (concernant des accouchements par voie basse spontanés). L’on retrouvait une déchirure périnéale chez 7 parturientes (58,3%). Une périnéorraphie a nécessité une anesthésie générale et s’est compliquée d’une hémorragie sévère (1litre). L’état périnéal selon le mode d’accouchement par voie basse est rapporté dans le Tableau 2. Morbidité périnéale immédiate et nombre de patientes concernées selon le type d’accouchement voie basse Nouveau-nés La moyenne des poids de naissance des nouveau-nés (10 garçons et 9 filles) était de 3380g ± 331,9 (extrêmes 2870g - 3970g), situant le percentile au 47,2e ± 25,6, (extrêmes 8,25-88,76). La moyenne des poids de naissance des nouveau-nés (10 garçons et 9 filles) était de 3380g ± 331,9 (extrêmes 2870g - 3970g), situant le percentile au 47,2e ± 25,6, (extrêmes 8,25-88,76). Tests statistiques Nous avons trouvé une association significative entre l’existence d’un accompagnement sexologique et une absence d’hypertonie périnéale en fin de grossesse (score à 1/5), p = 0,04. Nous n’avons, en revanche, pas trouvé d’association significative entre: 1) la présence d’une hypertonie périnéale en fin de grossesse (score entre 2 et 4/5) et le recours aux forceps, p = 0,29; 2) la grossesse prolongée et l’accouchement non physiologique (forceps ou césarienne), p = 0,35; 3) l’existence d’un accompagnement sexologique et un accouchement physiologique (en excluant les interventions pour sauvetage fœtal), p = 0,37; 4) le fait d’avoir suivi une préparation à la naissance et la réduction du score de tonus périnéal (p = 0,53), ni avec l’accouchement physiologique (p = 0,52); 5) la réduction du score du tonus périnéal et l’accouchement physiologique (p = 0,60); 6) le poids de naissance supérieur à 3600g et l’accouchement non physiologique (forceps ou césarienne) (p = 1). Nous avons trouvé une association significative entre l’existence d’un accompagnement sexologique et une absence d’hypertonie périnéale en fin de grossesse (score à 1/5), p = 0,04. Nous n’avons, en revanche, pas trouvé d’association significative entre: 1) la présence d’une hypertonie périnéale en fin de grossesse (score entre 2 et 4/5) et le recours aux forceps, p = 0,29; 2) la grossesse prolongée et l’accouchement non physiologique (forceps ou césarienne), p = 0,35; 3) l’existence d’un accompagnement sexologique et un accouchement physiologique (en excluant les interventions pour sauvetage fœtal), p = 0,37; 4) le fait d’avoir suivi une préparation à la naissance et la réduction du score de tonus périnéal (p = 0,53), ni avec l’accouchement physiologique (p = 0,52); 5) la réduction du score du tonus périnéal et l’accouchement physiologique (p = 0,60); 6) le poids de naissance supérieur à 3600g et l’accouchement non physiologique (forceps ou césarienne) (p = 1). Grossesse: Deux couples ont conçu par procréation médicalement assistée (FIV) pour un motif autre que le vaginisme, 4 par éjaculation à la vulve (dont une grossesse non désirée), 7 par éjaculation vestibulaire à l’entrée du vagin, 3 par “auto-insémination maison”, 3 données étaient manquantes. Par ailleurs, 16 patientes ont suivi une préparation à la naissance et à la parentalité. Une patiente avait un diabète gestationnel (équilibré sous régime), une a rompu les membranes plus de 12 heures avant l’accouchement, ces situations ayant conduit à un déclenchement artificiel du travail. Parmi les 14 patientes ayant eu un début de travail spontané, 8 (57,1%) avaient atteint le terme (= 41SA). Deux déclenchements artificiels du travail (10,52%) ont été recensés. Travail et accouchement: La Figure 1 schématise la répartition des 19 parturientes selon leur mode de mise en travail et la répartition des 9 grossesses prolongées. Une analgésie périmédullaire a été réalisée chez 15 parturientes, une patiente n’a bénéficié d’aucune analgésie tandis qu’une anesthésie générale a été pratiquée, en complément de la péridurale afin de procéder à l’extraction fœtale chez une patiente “agitée”. L’on retrouvait 12 accouchements par voie basse et 7 accouchements par césarienne répartis selon: 1) 12 accouchements par voie basse (63,2%) dont 7 accouchements par voie basse spontanée et 5 accouchements par voie basse instrumentale; 2) 7 césariennes (36,8%) dont 4 césariennes programmées avant travail et 3 césariennes en cours de travail. Mise en travail et issue des accouchements des 19 parturientes de l’échantillon, nombre de grossesses prolongées (GP) Les indications des césariennes programmées étaient le vaginisme sans mise en travail dans un contexte de terme atteint (n = 2) et le sauvetage fœtal (n = 1) tandis que celles réalisées en cours de parturition l’étaient du fait d’une dystocie cervicale (n = 2) et d’une altération du rythme cardiaque fœtal (n = 2). Les extractions instrumentales (41,6% des accouchements par voie basse) étaient effectuées pour non progression du mobile fœtal (n = 3), insuffisance de poussées expulsives (n = 1) et agitation maternelle (n = 1). La durée moyenne de la phase active du deuxième stade du travail (poussées expulsives) était de 19,6 minutes (± 8,9 min). Périnée: Une lésion périnéale a été retrouvée chez toutes les patientes qu’il s’agisse d’épisiotomie ou de déchirure vulvo-périnéales. Ainsi, une épisiotomie était réalisée chez 9 patientes (75%) pour extraction instrumentale (n = 2), altération du rythme cardiaque fœtal (n = 2), hypertonie périnéale (n = 3). Deux données étaient manquantes (concernant des accouchements par voie basse spontanés). L’on retrouvait une déchirure périnéale chez 7 parturientes (58,3%). Une périnéorraphie a nécessité une anesthésie générale et s’est compliquée d’une hémorragie sévère (1litre). L’état périnéal selon le mode d’accouchement par voie basse est rapporté dans le Tableau 2. Morbidité périnéale immédiate et nombre de patientes concernées selon le type d’accouchement voie basse Nouveau-nés: La moyenne des poids de naissance des nouveau-nés (10 garçons et 9 filles) était de 3380g ± 331,9 (extrêmes 2870g - 3970g), situant le percentile au 47,2e ± 25,6, (extrêmes 8,25-88,76). Tests statistiques: Nous avons trouvé une association significative entre l’existence d’un accompagnement sexologique et une absence d’hypertonie périnéale en fin de grossesse (score à 1/5), p = 0,04. Nous n’avons, en revanche, pas trouvé d’association significative entre: 1) la présence d’une hypertonie périnéale en fin de grossesse (score entre 2 et 4/5) et le recours aux forceps, p = 0,29; 2) la grossesse prolongée et l’accouchement non physiologique (forceps ou césarienne), p = 0,35; 3) l’existence d’un accompagnement sexologique et un accouchement physiologique (en excluant les interventions pour sauvetage fœtal), p = 0,37; 4) le fait d’avoir suivi une préparation à la naissance et la réduction du score de tonus périnéal (p = 0,53), ni avec l’accouchement physiologique (p = 0,52); 5) la réduction du score du tonus périnéal et l’accouchement physiologique (p = 0,60); 6) le poids de naissance supérieur à 3600g et l’accouchement non physiologique (forceps ou césarienne) (p = 1). Discussion: Population Les données sociodémographiques de notre échantillon étaient semblables à celles de l’enquête nationale périnatale de 2016 [16] pour les niveaux d’études et la répartition dans les catégories socioprofessionnelles. Mais un biais était introduit par le fait que les femmes avaient majoritairement accouché en établissement privé à but lucratif, plutôt qu’en structure publique. L’âge moyen des femmes de notre cohorte et de celles d’autres auteurs est semblable: Möller 24 à 29 ans [17] et Drenth 28 ans [18]. En France, l’âge moyen au premier enfant en France était de 28,5 ans et, tous rangs de naissance confondus, de 30,4 ans [19]. Contrairement à ce que les difficultés de procréation pourraient laisser croire, les femmes atteintes de vaginisme ne semblent pas avoir tendance à concevoir leur premier enfant plus tardivement que l’ensemble des femmes. Goldsmith et al.rapportent même une moyenne d’âge paraissant significativement moindre (bien que la cohorte comprenne plus de patientes primipares) [20]. Les données sociodémographiques de notre échantillon étaient semblables à celles de l’enquête nationale périnatale de 2016 [16] pour les niveaux d’études et la répartition dans les catégories socioprofessionnelles. Mais un biais était introduit par le fait que les femmes avaient majoritairement accouché en établissement privé à but lucratif, plutôt qu’en structure publique. L’âge moyen des femmes de notre cohorte et de celles d’autres auteurs est semblable: Möller 24 à 29 ans [17] et Drenth 28 ans [18]. En France, l’âge moyen au premier enfant en France était de 28,5 ans et, tous rangs de naissance confondus, de 30,4 ans [19]. Contrairement à ce que les difficultés de procréation pourraient laisser croire, les femmes atteintes de vaginisme ne semblent pas avoir tendance à concevoir leur premier enfant plus tardivement que l’ensemble des femmes. Goldsmith et al.rapportent même une moyenne d’âge paraissant significativement moindre (bien que la cohorte comprenne plus de patientes primipares) [20]. Grossesse, nouveau-nés Parmi les patientes ayant eu un début de travail spontané, la proportion de celles ayant atteint le terme (= 41SA) était considérable. En comparaison, ce taux se situe aux alentours de 15% dans la littérature [16, 21]. Une grande proportion de grossesses prolongées chez les patientes vaginiques a été constatée par Quiret-Rousselle [22], mais cette donnée n’a pas été mentionnée par les autres auteurs [17, 18, 20]. Ce résultat interroge sur la participation des facteurs cognitifs et émotionnels dans la mise en travail, notamment l’influence de la peur. Malgré tout, peu de déclenchements artificiels du travail ont été recensés dans notre population, contrairement à ce qui a été constaté par Quiret-Rousselle (61,53%) et Goldsmith et al. (37,3%). Les nouveau-nés étaient tous normotrophes, et nous n’avons pas trouvé d’association entre le poids supérieur à 3600g et l’accouchement par césarienne ou forceps (p = 1). Si Goldsmith et al. [20] ont rapporté des nouveau-nés plus petits, ils auraient retrouvé aussi significativement plus de naissances induites. Ceci pourrait en partie être dû à une restriction de croissance à moins qu’un biais introduit par des naissances à terme plus avancé ne puisse l’expliquer. Les croissances pondérales de notre échantillon étaient légèrement inférieures au 50èpercentile, bien que nous ne disposions pas de tous les éléments pour interpréter ce résultat, notamment s’agissant des attitudes addictives comme la consommation de toxiques et du degré d’anxiété des patientes [23]. Parmi les patientes ayant eu un début de travail spontané, la proportion de celles ayant atteint le terme (= 41SA) était considérable. En comparaison, ce taux se situe aux alentours de 15% dans la littérature [16, 21]. Une grande proportion de grossesses prolongées chez les patientes vaginiques a été constatée par Quiret-Rousselle [22], mais cette donnée n’a pas été mentionnée par les autres auteurs [17, 18, 20]. Ce résultat interroge sur la participation des facteurs cognitifs et émotionnels dans la mise en travail, notamment l’influence de la peur. Malgré tout, peu de déclenchements artificiels du travail ont été recensés dans notre population, contrairement à ce qui a été constaté par Quiret-Rousselle (61,53%) et Goldsmith et al. (37,3%). Les nouveau-nés étaient tous normotrophes, et nous n’avons pas trouvé d’association entre le poids supérieur à 3600g et l’accouchement par césarienne ou forceps (p = 1). Si Goldsmith et al. [20] ont rapporté des nouveau-nés plus petits, ils auraient retrouvé aussi significativement plus de naissances induites. Ceci pourrait en partie être dû à une restriction de croissance à moins qu’un biais introduit par des naissances à terme plus avancé ne puisse l’expliquer. Les croissances pondérales de notre échantillon étaient légèrement inférieures au 50èpercentile, bien que nous ne disposions pas de tous les éléments pour interpréter ce résultat, notamment s’agissant des attitudes addictives comme la consommation de toxiques et du degré d’anxiété des patientes [23]. Accouchement Si une grande majorité des patientes de notre échantillon a eu recours à l’analgésie péridurale, celle-ci n’a pas toujours permis de faciliter les examens pelviens. Il faut toutefois rappeler que ce mode d’analgésie périmédullaire n’est pas un facteur de risque de césarienne en cours de travail ni d’extractions instrumentales [24]. Le vaginisme comme motif principal des césariennes avant travail a sans doute contribué à majorer le taux de césarienne dans notre échantillon. L’enquête nationale périnatale retrouvait ce taux à 20,2% pour les femmes à terme et 23,4% pour les primipares quel que soit le terme [16]. Le risque de césarienne apparait significativement supérieur chez les femmes atteintes de vaginisme [4, 17, 20, 22]. Dans la littérature, les césariennes avant travail attribuées au vaginisme s’expliquaient par la forte demande de césarienne de convenance, en raison d’une peur de l’accouchement [17, 20], et par l’impossibilité de pratiquer des déclenchements artificiels [20]. Les auteurs expliquaient les césariennes en cours de travail par les difficultés à examiner les parturientes, sources de retard de diagnostique [17, 20], notamment pour ce qui est des disproportions fœto-pelviennes [20]. Néanmoins, ceci est à interpréter avec circonspection dans la mesure où les poids de naissance apparaissaient significativement inférieurs [20]. Par ailleurs, les césariennes en cours de travail ont été effectuées dans un contexte de grossesse prolongée qui est en soi reconnu comme un facteur de risque de césarienne [21]. La grossesse prolongée expliquerait donc en partie notre taux élevé de césariennes. Toutefois, 2 d’entre elles ont été réalisées pour une dystocie cervicale dans la phase active du premier stade du travail; l’hypothèse de la participation de la peur de l’accouchement dans la survenue de ces césariennes en cours de travail pourrait dès lors être discutée [25]. Le taux d’extractions instrumentales est également apparu élevé dans notre échantillon. Ce constat est également déploré Quiret-Rousselle (46,2%) [22]. Le taux révélé par l’enquête nationale périnatale était de 12,2% pour les parturientes à terme [16]. Möller et al. [17] avaient une proportion d’extraction instrumentales non significativement supérieure, dans un échantillon qui, rappelons-le, comportait indifféremment des femmes souffrant de vaginisme et de vulvodynie. En revanche, Goldsmith et al. [20] avaient calculé un risque d’extraction instrumentale multiplié par 3,6 en cas de vaginisme, qu’ils expliquaient par l’incapacité pour les patientes de pousser vigoureusement lors du second stade du travail. De fait, dans notre échantillon, les forceps ont été pratiqués sur des fœtus n’excédant pas 3440g, et la non-progression du mobile fœtal pourrait s’expliquer par une insuffisance de poussée, soit en raison d’une altération des perceptions et du contrôle du périnée, soit en raison d’un excès de tonus musculaire du périnée profond, voire en raison d’une peur. Les forceps pratiqués pour non-progression du mobile fœtal et insuffisance d’efforts expulsifs, l’ont été pour des patientes ayant eu un accompagnement sexologique, donc un apprentissage des sensations et du contrôle périnéal. Même si dans la population apparaissait une association significative entre l’accompagnement sexologique et l’absence d’hypertonie périnéale en fin de grossesse, l’on pouvait trouver une association non significative entre la présence d’une hypertonie périnéale en fin de grossesse et le recours au forceps. Effectivement, les scores de fin de grossesse étaient situés entre 1 et 4, et leur évolution n’a pas toujours été dans le sens d’une amélioration (de -3 à +1). Ces femmes n’avaient donc pas toutes une hypertonie périnéale constante. Le point commun des patientes ayant eu un accouchement avec extraction instrumentale par forceps pouvait être un mécanisme de peur-évitement, au cœur de la clinique du vaginisme. L’état de panique manifesté par une des parturientes en est l’apogée même si le vaginisme ne détient certes pas le monopole de ce type de manifestation. La peur de l’expulsion du fœtus pourrait conduire à un évitement de la poussée, et/ou un hyper-tonus des muscles du périnée profond contre lesquels le mobile fœtal viendrait butter. L’hypertonie musculaire périnéale pourrait aussi expliquer la morbidité périnéale particulière des femmes de notre échantillon puisque toutes les patientes ont présenté une lésion périnéale. Quiret-Rousselle et al.constatent aussi un taux de lésions périnéales chez toutes le patientes de leur cohorte [22]. Möller et al.confirment une augmentation significative du risque de lésions périnéales dans leur étude [17], bien que Goldsmith et al. ne l’évoquent pas [20]. En comparaison, l’enquête nationale périnatale retrouve 34,9% d’épisiotomies chez les primoparturientes et 52% de lésions périnéales spontanées pour l’ensemble des femmes ayant accouché par voie basse [16]. Il est hasardeux de tenter d’expliquer la survenue de déchirures spontanées au cours de l’accouchement d’une femme vaginique, en raison de l’intrication de nombreux paramètres. Le poids de naissance des enfants ne saurait en être le seul élément, d’autant que les poids de naissance ne mettaient pas en exergue de macrosomie. Le recours massif à l’épisiotomie dans notre échantillon pourrait être expliqué par les hypothèses suivantes: 1) pratique des épisiotomies par systématisme, en dépit des recommandations restrictives de 2005 [26]; 2) recours exclusif aux forceps et non à la ventouse obstétricale [27]; 3) hypertonie musculaire périnéale entravant le dégagement du fœtus. Notre taux d’épisiotomie a pu être amplifié plutôt par une mauvaise application des recommandations que par une hypertonie périnéale due au vaginisme. De manière globale, la diminution de la fréquence des épisiotomies poursuit sa lente décroissance suite à un consensus international sur l’absence de bénéfices d’une épisiotomie systématique, tant en prévention des troubles sphinctériens du postpartum qu’en réponse des professionnels aux demandes des femmes. Cependant, bon nombre des indications des épisiotomies s’avéraient nécessaires du fait d’un vaginisme avéré (4 cas d’hypertonies périnéales et un état de panique conduisant à une extraction sous anesthésie générale). Ainsi, le grand nombre de lésions spontanées constatées peut laisser penser que si les épisiotomies n’avaient pas été pratiquées, il n’est pas certain que nous aurions constaté plus de périnées intacts, contrairement à ce qu’a mis en évidence la littérature pour la population générale [28]. Deux autres études viennent corroborer ce constat [17, 22]. En effet, l’ampliation du périnée nécessite, entre autres, un bon relâchement musculaire, une bonne élasticité des tissus et une absence de peur, trois éléments qui font cruellement défaut chez les femmes atteintes de vaginisme [17, 29]. Si une grande majorité des patientes de notre échantillon a eu recours à l’analgésie péridurale, celle-ci n’a pas toujours permis de faciliter les examens pelviens. Il faut toutefois rappeler que ce mode d’analgésie périmédullaire n’est pas un facteur de risque de césarienne en cours de travail ni d’extractions instrumentales [24]. Le vaginisme comme motif principal des césariennes avant travail a sans doute contribué à majorer le taux de césarienne dans notre échantillon. L’enquête nationale périnatale retrouvait ce taux à 20,2% pour les femmes à terme et 23,4% pour les primipares quel que soit le terme [16]. Le risque de césarienne apparait significativement supérieur chez les femmes atteintes de vaginisme [4, 17, 20, 22]. Dans la littérature, les césariennes avant travail attribuées au vaginisme s’expliquaient par la forte demande de césarienne de convenance, en raison d’une peur de l’accouchement [17, 20], et par l’impossibilité de pratiquer des déclenchements artificiels [20]. Les auteurs expliquaient les césariennes en cours de travail par les difficultés à examiner les parturientes, sources de retard de diagnostique [17, 20], notamment pour ce qui est des disproportions fœto-pelviennes [20]. Néanmoins, ceci est à interpréter avec circonspection dans la mesure où les poids de naissance apparaissaient significativement inférieurs [20]. Par ailleurs, les césariennes en cours de travail ont été effectuées dans un contexte de grossesse prolongée qui est en soi reconnu comme un facteur de risque de césarienne [21]. La grossesse prolongée expliquerait donc en partie notre taux élevé de césariennes. Toutefois, 2 d’entre elles ont été réalisées pour une dystocie cervicale dans la phase active du premier stade du travail; l’hypothèse de la participation de la peur de l’accouchement dans la survenue de ces césariennes en cours de travail pourrait dès lors être discutée [25]. Le taux d’extractions instrumentales est également apparu élevé dans notre échantillon. Ce constat est également déploré Quiret-Rousselle (46,2%) [22]. Le taux révélé par l’enquête nationale périnatale était de 12,2% pour les parturientes à terme [16]. Möller et al. [17] avaient une proportion d’extraction instrumentales non significativement supérieure, dans un échantillon qui, rappelons-le, comportait indifféremment des femmes souffrant de vaginisme et de vulvodynie. En revanche, Goldsmith et al. [20] avaient calculé un risque d’extraction instrumentale multiplié par 3,6 en cas de vaginisme, qu’ils expliquaient par l’incapacité pour les patientes de pousser vigoureusement lors du second stade du travail. De fait, dans notre échantillon, les forceps ont été pratiqués sur des fœtus n’excédant pas 3440g, et la non-progression du mobile fœtal pourrait s’expliquer par une insuffisance de poussée, soit en raison d’une altération des perceptions et du contrôle du périnée, soit en raison d’un excès de tonus musculaire du périnée profond, voire en raison d’une peur. Les forceps pratiqués pour non-progression du mobile fœtal et insuffisance d’efforts expulsifs, l’ont été pour des patientes ayant eu un accompagnement sexologique, donc un apprentissage des sensations et du contrôle périnéal. Même si dans la population apparaissait une association significative entre l’accompagnement sexologique et l’absence d’hypertonie périnéale en fin de grossesse, l’on pouvait trouver une association non significative entre la présence d’une hypertonie périnéale en fin de grossesse et le recours au forceps. Effectivement, les scores de fin de grossesse étaient situés entre 1 et 4, et leur évolution n’a pas toujours été dans le sens d’une amélioration (de -3 à +1). Ces femmes n’avaient donc pas toutes une hypertonie périnéale constante. Le point commun des patientes ayant eu un accouchement avec extraction instrumentale par forceps pouvait être un mécanisme de peur-évitement, au cœur de la clinique du vaginisme. L’état de panique manifesté par une des parturientes en est l’apogée même si le vaginisme ne détient certes pas le monopole de ce type de manifestation. La peur de l’expulsion du fœtus pourrait conduire à un évitement de la poussée, et/ou un hyper-tonus des muscles du périnée profond contre lesquels le mobile fœtal viendrait butter. L’hypertonie musculaire périnéale pourrait aussi expliquer la morbidité périnéale particulière des femmes de notre échantillon puisque toutes les patientes ont présenté une lésion périnéale. Quiret-Rousselle et al.constatent aussi un taux de lésions périnéales chez toutes le patientes de leur cohorte [22]. Möller et al.confirment une augmentation significative du risque de lésions périnéales dans leur étude [17], bien que Goldsmith et al. ne l’évoquent pas [20]. En comparaison, l’enquête nationale périnatale retrouve 34,9% d’épisiotomies chez les primoparturientes et 52% de lésions périnéales spontanées pour l’ensemble des femmes ayant accouché par voie basse [16]. Il est hasardeux de tenter d’expliquer la survenue de déchirures spontanées au cours de l’accouchement d’une femme vaginique, en raison de l’intrication de nombreux paramètres. Le poids de naissance des enfants ne saurait en être le seul élément, d’autant que les poids de naissance ne mettaient pas en exergue de macrosomie. Le recours massif à l’épisiotomie dans notre échantillon pourrait être expliqué par les hypothèses suivantes: 1) pratique des épisiotomies par systématisme, en dépit des recommandations restrictives de 2005 [26]; 2) recours exclusif aux forceps et non à la ventouse obstétricale [27]; 3) hypertonie musculaire périnéale entravant le dégagement du fœtus. Notre taux d’épisiotomie a pu être amplifié plutôt par une mauvaise application des recommandations que par une hypertonie périnéale due au vaginisme. De manière globale, la diminution de la fréquence des épisiotomies poursuit sa lente décroissance suite à un consensus international sur l’absence de bénéfices d’une épisiotomie systématique, tant en prévention des troubles sphinctériens du postpartum qu’en réponse des professionnels aux demandes des femmes. Cependant, bon nombre des indications des épisiotomies s’avéraient nécessaires du fait d’un vaginisme avéré (4 cas d’hypertonies périnéales et un état de panique conduisant à une extraction sous anesthésie générale). Ainsi, le grand nombre de lésions spontanées constatées peut laisser penser que si les épisiotomies n’avaient pas été pratiquées, il n’est pas certain que nous aurions constaté plus de périnées intacts, contrairement à ce qu’a mis en évidence la littérature pour la population générale [28]. Deux autres études viennent corroborer ce constat [17, 22]. En effet, l’ampliation du périnée nécessite, entre autres, un bon relâchement musculaire, une bonne élasticité des tissus et une absence de peur, trois éléments qui font cruellement défaut chez les femmes atteintes de vaginisme [17, 29]. En pratique L’accompagnement d’une femme atteinte de vaginisme comporte des particularités relationnelles. D’abord l’exigence d’une constance et d’une grande patience de la part des professionnels, afin d’éviter les comportements d’évitement et préserver un climat de confiance. Cette relation passe par l’attention que porte ledit professionnel à veiller à ce que la patiente n’éprouve pas le sentiment d’une quelconque perte de contrôle [29]. Force est de constater qu’il s’agit d’un domaine encore méconnu et qu’il n’y a, à l’heure actuelle aucun véritable consensus d’experts. Les éléments recueillis à ce jour incitent à une orientation précoce des femmes atteintes de vaginisme vers une prise en charge sexothérapique qui permet d’agir sur les cognitions, le mécanisme de peur-évitement ainsi que l’hypertonie périnéale conditionnée. Notons que la levée de cette dernière n’est pas suffisante à la réduction des risques d’extractions instrumentales et de morbidité périnéale. Bon nombre de patientes vaginiques, qui n’évitent que la situation de pénétration, s’accommodent d’une « sexualité externe » qui semble les satisfaire. Dans ce cas de figure, notre description de recherche permanente d’évitement de situation d’intimité, comme c’est le cas des patientes souffrant de désir sexuel hypo-actif, pourrait trouver une certaine limite. Il paraît légitime de donner à ces femmes toutes les chances d’accoucher par voie basse, d’une part pour limiter le surcroit de morbi-mortalité liée à la césarienne [30-32], d’autre part pour ne pas cautionner le comportement d’évitement, qui fait le lit et consolide le vaginisme. Au-delà, l’accouchement par voie basse peut renforcer le sentiment de réussite, et donc le succès d’une sexothérapie en cours [18]. L’exploration du versant proprement psychologique au travers de tests psychométriques (peur, anxiété, dégoût, désir d’enfant, tocophobie) demeure sans doute un domaine à explorer. L’accompagnement d’une femme atteinte de vaginisme comporte des particularités relationnelles. D’abord l’exigence d’une constance et d’une grande patience de la part des professionnels, afin d’éviter les comportements d’évitement et préserver un climat de confiance. Cette relation passe par l’attention que porte ledit professionnel à veiller à ce que la patiente n’éprouve pas le sentiment d’une quelconque perte de contrôle [29]. Force est de constater qu’il s’agit d’un domaine encore méconnu et qu’il n’y a, à l’heure actuelle aucun véritable consensus d’experts. Les éléments recueillis à ce jour incitent à une orientation précoce des femmes atteintes de vaginisme vers une prise en charge sexothérapique qui permet d’agir sur les cognitions, le mécanisme de peur-évitement ainsi que l’hypertonie périnéale conditionnée. Notons que la levée de cette dernière n’est pas suffisante à la réduction des risques d’extractions instrumentales et de morbidité périnéale. Bon nombre de patientes vaginiques, qui n’évitent que la situation de pénétration, s’accommodent d’une « sexualité externe » qui semble les satisfaire. Dans ce cas de figure, notre description de recherche permanente d’évitement de situation d’intimité, comme c’est le cas des patientes souffrant de désir sexuel hypo-actif, pourrait trouver une certaine limite. Il paraît légitime de donner à ces femmes toutes les chances d’accoucher par voie basse, d’une part pour limiter le surcroit de morbi-mortalité liée à la césarienne [30-32], d’autre part pour ne pas cautionner le comportement d’évitement, qui fait le lit et consolide le vaginisme. Au-delà, l’accouchement par voie basse peut renforcer le sentiment de réussite, et donc le succès d’une sexothérapie en cours [18]. L’exploration du versant proprement psychologique au travers de tests psychométriques (peur, anxiété, dégoût, désir d’enfant, tocophobie) demeure sans doute un domaine à explorer. Points forts et limites de l’étude Cette étude s’est intéressée à un sujet peu traité mais qui a de réelles implications cliniques. Un de ses points forts est qu’il est l’un des rares travaux à s’intéresser aux mécanismes ainsi qu’au déroulement du travail. Une de ses limites tient à son échantillonnage modeste qu’il faut considérer au travers du caractère peu répandu du vaginisme dans la population [33]. Les patientes présentant un vaginisme primaire n’ont été retrouvées que dans 2 études [18, 22], la plupart des travaux intégrant le vaginisme secondaire ou la vulvodynie dont les mécanismes physiopathologiques diffèrent [17, 20, 34]. La méthodologie utilisée n’a sans doute pas autorisé un recrutement exhaustif (inclusion de patientes basée uniquement sur le volontariat des professionnels de santé sollicités); cependant elle a permis d’obtenir une cohorte homogène, apportant une certaine pertinence aux résultats et mettant en lumière plusieurs pistes de réflexion. Un autre écueil pourrait résider dans la concision du questionnaire qui ne s’intéressait pas expressément aux pathologies obstétricales ni à l’adaptation extra-utérine des nouveau-nés. Le choix délibéré d’un questionnaire court comprenant des questions à compléments multiples permettait de ne pas décourager les professionnels auxquels il était soumis. La place octroyée aux commentaires permettait d’apporter des commentaires et a d’ailleurs été largement utilisée. Enfin, le score de cotation du tonus musculaire périnéal pouvait sembler quelque peu limité pour définir le vaginisme; cependant il a permis de standardiser les mesures du tonus périnéal et le comportement de peur-évitement une fois le diagnostic établi. Cela a par ailleurs permis une utilisation aisée de la part de praticiens qui pouvaient ne pas être familiarisés avec cette entité particulière qu’est le vaginisme. Cette étude s’est intéressée à un sujet peu traité mais qui a de réelles implications cliniques. Un de ses points forts est qu’il est l’un des rares travaux à s’intéresser aux mécanismes ainsi qu’au déroulement du travail. Une de ses limites tient à son échantillonnage modeste qu’il faut considérer au travers du caractère peu répandu du vaginisme dans la population [33]. Les patientes présentant un vaginisme primaire n’ont été retrouvées que dans 2 études [18, 22], la plupart des travaux intégrant le vaginisme secondaire ou la vulvodynie dont les mécanismes physiopathologiques diffèrent [17, 20, 34]. La méthodologie utilisée n’a sans doute pas autorisé un recrutement exhaustif (inclusion de patientes basée uniquement sur le volontariat des professionnels de santé sollicités); cependant elle a permis d’obtenir une cohorte homogène, apportant une certaine pertinence aux résultats et mettant en lumière plusieurs pistes de réflexion. Un autre écueil pourrait résider dans la concision du questionnaire qui ne s’intéressait pas expressément aux pathologies obstétricales ni à l’adaptation extra-utérine des nouveau-nés. Le choix délibéré d’un questionnaire court comprenant des questions à compléments multiples permettait de ne pas décourager les professionnels auxquels il était soumis. La place octroyée aux commentaires permettait d’apporter des commentaires et a d’ailleurs été largement utilisée. Enfin, le score de cotation du tonus musculaire périnéal pouvait sembler quelque peu limité pour définir le vaginisme; cependant il a permis de standardiser les mesures du tonus périnéal et le comportement de peur-évitement une fois le diagnostic établi. Cela a par ailleurs permis une utilisation aisée de la part de praticiens qui pouvaient ne pas être familiarisés avec cette entité particulière qu’est le vaginisme. Population: Les données sociodémographiques de notre échantillon étaient semblables à celles de l’enquête nationale périnatale de 2016 [16] pour les niveaux d’études et la répartition dans les catégories socioprofessionnelles. Mais un biais était introduit par le fait que les femmes avaient majoritairement accouché en établissement privé à but lucratif, plutôt qu’en structure publique. L’âge moyen des femmes de notre cohorte et de celles d’autres auteurs est semblable: Möller 24 à 29 ans [17] et Drenth 28 ans [18]. En France, l’âge moyen au premier enfant en France était de 28,5 ans et, tous rangs de naissance confondus, de 30,4 ans [19]. Contrairement à ce que les difficultés de procréation pourraient laisser croire, les femmes atteintes de vaginisme ne semblent pas avoir tendance à concevoir leur premier enfant plus tardivement que l’ensemble des femmes. Goldsmith et al.rapportent même une moyenne d’âge paraissant significativement moindre (bien que la cohorte comprenne plus de patientes primipares) [20]. Grossesse, nouveau-nés: Parmi les patientes ayant eu un début de travail spontané, la proportion de celles ayant atteint le terme (= 41SA) était considérable. En comparaison, ce taux se situe aux alentours de 15% dans la littérature [16, 21]. Une grande proportion de grossesses prolongées chez les patientes vaginiques a été constatée par Quiret-Rousselle [22], mais cette donnée n’a pas été mentionnée par les autres auteurs [17, 18, 20]. Ce résultat interroge sur la participation des facteurs cognitifs et émotionnels dans la mise en travail, notamment l’influence de la peur. Malgré tout, peu de déclenchements artificiels du travail ont été recensés dans notre population, contrairement à ce qui a été constaté par Quiret-Rousselle (61,53%) et Goldsmith et al. (37,3%). Les nouveau-nés étaient tous normotrophes, et nous n’avons pas trouvé d’association entre le poids supérieur à 3600g et l’accouchement par césarienne ou forceps (p = 1). Si Goldsmith et al. [20] ont rapporté des nouveau-nés plus petits, ils auraient retrouvé aussi significativement plus de naissances induites. Ceci pourrait en partie être dû à une restriction de croissance à moins qu’un biais introduit par des naissances à terme plus avancé ne puisse l’expliquer. Les croissances pondérales de notre échantillon étaient légèrement inférieures au 50èpercentile, bien que nous ne disposions pas de tous les éléments pour interpréter ce résultat, notamment s’agissant des attitudes addictives comme la consommation de toxiques et du degré d’anxiété des patientes [23]. Accouchement: Si une grande majorité des patientes de notre échantillon a eu recours à l’analgésie péridurale, celle-ci n’a pas toujours permis de faciliter les examens pelviens. Il faut toutefois rappeler que ce mode d’analgésie périmédullaire n’est pas un facteur de risque de césarienne en cours de travail ni d’extractions instrumentales [24]. Le vaginisme comme motif principal des césariennes avant travail a sans doute contribué à majorer le taux de césarienne dans notre échantillon. L’enquête nationale périnatale retrouvait ce taux à 20,2% pour les femmes à terme et 23,4% pour les primipares quel que soit le terme [16]. Le risque de césarienne apparait significativement supérieur chez les femmes atteintes de vaginisme [4, 17, 20, 22]. Dans la littérature, les césariennes avant travail attribuées au vaginisme s’expliquaient par la forte demande de césarienne de convenance, en raison d’une peur de l’accouchement [17, 20], et par l’impossibilité de pratiquer des déclenchements artificiels [20]. Les auteurs expliquaient les césariennes en cours de travail par les difficultés à examiner les parturientes, sources de retard de diagnostique [17, 20], notamment pour ce qui est des disproportions fœto-pelviennes [20]. Néanmoins, ceci est à interpréter avec circonspection dans la mesure où les poids de naissance apparaissaient significativement inférieurs [20]. Par ailleurs, les césariennes en cours de travail ont été effectuées dans un contexte de grossesse prolongée qui est en soi reconnu comme un facteur de risque de césarienne [21]. La grossesse prolongée expliquerait donc en partie notre taux élevé de césariennes. Toutefois, 2 d’entre elles ont été réalisées pour une dystocie cervicale dans la phase active du premier stade du travail; l’hypothèse de la participation de la peur de l’accouchement dans la survenue de ces césariennes en cours de travail pourrait dès lors être discutée [25]. Le taux d’extractions instrumentales est également apparu élevé dans notre échantillon. Ce constat est également déploré Quiret-Rousselle (46,2%) [22]. Le taux révélé par l’enquête nationale périnatale était de 12,2% pour les parturientes à terme [16]. Möller et al. [17] avaient une proportion d’extraction instrumentales non significativement supérieure, dans un échantillon qui, rappelons-le, comportait indifféremment des femmes souffrant de vaginisme et de vulvodynie. En revanche, Goldsmith et al. [20] avaient calculé un risque d’extraction instrumentale multiplié par 3,6 en cas de vaginisme, qu’ils expliquaient par l’incapacité pour les patientes de pousser vigoureusement lors du second stade du travail. De fait, dans notre échantillon, les forceps ont été pratiqués sur des fœtus n’excédant pas 3440g, et la non-progression du mobile fœtal pourrait s’expliquer par une insuffisance de poussée, soit en raison d’une altération des perceptions et du contrôle du périnée, soit en raison d’un excès de tonus musculaire du périnée profond, voire en raison d’une peur. Les forceps pratiqués pour non-progression du mobile fœtal et insuffisance d’efforts expulsifs, l’ont été pour des patientes ayant eu un accompagnement sexologique, donc un apprentissage des sensations et du contrôle périnéal. Même si dans la population apparaissait une association significative entre l’accompagnement sexologique et l’absence d’hypertonie périnéale en fin de grossesse, l’on pouvait trouver une association non significative entre la présence d’une hypertonie périnéale en fin de grossesse et le recours au forceps. Effectivement, les scores de fin de grossesse étaient situés entre 1 et 4, et leur évolution n’a pas toujours été dans le sens d’une amélioration (de -3 à +1). Ces femmes n’avaient donc pas toutes une hypertonie périnéale constante. Le point commun des patientes ayant eu un accouchement avec extraction instrumentale par forceps pouvait être un mécanisme de peur-évitement, au cœur de la clinique du vaginisme. L’état de panique manifesté par une des parturientes en est l’apogée même si le vaginisme ne détient certes pas le monopole de ce type de manifestation. La peur de l’expulsion du fœtus pourrait conduire à un évitement de la poussée, et/ou un hyper-tonus des muscles du périnée profond contre lesquels le mobile fœtal viendrait butter. L’hypertonie musculaire périnéale pourrait aussi expliquer la morbidité périnéale particulière des femmes de notre échantillon puisque toutes les patientes ont présenté une lésion périnéale. Quiret-Rousselle et al.constatent aussi un taux de lésions périnéales chez toutes le patientes de leur cohorte [22]. Möller et al.confirment une augmentation significative du risque de lésions périnéales dans leur étude [17], bien que Goldsmith et al. ne l’évoquent pas [20]. En comparaison, l’enquête nationale périnatale retrouve 34,9% d’épisiotomies chez les primoparturientes et 52% de lésions périnéales spontanées pour l’ensemble des femmes ayant accouché par voie basse [16]. Il est hasardeux de tenter d’expliquer la survenue de déchirures spontanées au cours de l’accouchement d’une femme vaginique, en raison de l’intrication de nombreux paramètres. Le poids de naissance des enfants ne saurait en être le seul élément, d’autant que les poids de naissance ne mettaient pas en exergue de macrosomie. Le recours massif à l’épisiotomie dans notre échantillon pourrait être expliqué par les hypothèses suivantes: 1) pratique des épisiotomies par systématisme, en dépit des recommandations restrictives de 2005 [26]; 2) recours exclusif aux forceps et non à la ventouse obstétricale [27]; 3) hypertonie musculaire périnéale entravant le dégagement du fœtus. Notre taux d’épisiotomie a pu être amplifié plutôt par une mauvaise application des recommandations que par une hypertonie périnéale due au vaginisme. De manière globale, la diminution de la fréquence des épisiotomies poursuit sa lente décroissance suite à un consensus international sur l’absence de bénéfices d’une épisiotomie systématique, tant en prévention des troubles sphinctériens du postpartum qu’en réponse des professionnels aux demandes des femmes. Cependant, bon nombre des indications des épisiotomies s’avéraient nécessaires du fait d’un vaginisme avéré (4 cas d’hypertonies périnéales et un état de panique conduisant à une extraction sous anesthésie générale). Ainsi, le grand nombre de lésions spontanées constatées peut laisser penser que si les épisiotomies n’avaient pas été pratiquées, il n’est pas certain que nous aurions constaté plus de périnées intacts, contrairement à ce qu’a mis en évidence la littérature pour la population générale [28]. Deux autres études viennent corroborer ce constat [17, 22]. En effet, l’ampliation du périnée nécessite, entre autres, un bon relâchement musculaire, une bonne élasticité des tissus et une absence de peur, trois éléments qui font cruellement défaut chez les femmes atteintes de vaginisme [17, 29]. En pratique: L’accompagnement d’une femme atteinte de vaginisme comporte des particularités relationnelles. D’abord l’exigence d’une constance et d’une grande patience de la part des professionnels, afin d’éviter les comportements d’évitement et préserver un climat de confiance. Cette relation passe par l’attention que porte ledit professionnel à veiller à ce que la patiente n’éprouve pas le sentiment d’une quelconque perte de contrôle [29]. Force est de constater qu’il s’agit d’un domaine encore méconnu et qu’il n’y a, à l’heure actuelle aucun véritable consensus d’experts. Les éléments recueillis à ce jour incitent à une orientation précoce des femmes atteintes de vaginisme vers une prise en charge sexothérapique qui permet d’agir sur les cognitions, le mécanisme de peur-évitement ainsi que l’hypertonie périnéale conditionnée. Notons que la levée de cette dernière n’est pas suffisante à la réduction des risques d’extractions instrumentales et de morbidité périnéale. Bon nombre de patientes vaginiques, qui n’évitent que la situation de pénétration, s’accommodent d’une « sexualité externe » qui semble les satisfaire. Dans ce cas de figure, notre description de recherche permanente d’évitement de situation d’intimité, comme c’est le cas des patientes souffrant de désir sexuel hypo-actif, pourrait trouver une certaine limite. Il paraît légitime de donner à ces femmes toutes les chances d’accoucher par voie basse, d’une part pour limiter le surcroit de morbi-mortalité liée à la césarienne [30-32], d’autre part pour ne pas cautionner le comportement d’évitement, qui fait le lit et consolide le vaginisme. Au-delà, l’accouchement par voie basse peut renforcer le sentiment de réussite, et donc le succès d’une sexothérapie en cours [18]. L’exploration du versant proprement psychologique au travers de tests psychométriques (peur, anxiété, dégoût, désir d’enfant, tocophobie) demeure sans doute un domaine à explorer. Points forts et limites de l’étude: Cette étude s’est intéressée à un sujet peu traité mais qui a de réelles implications cliniques. Un de ses points forts est qu’il est l’un des rares travaux à s’intéresser aux mécanismes ainsi qu’au déroulement du travail. Une de ses limites tient à son échantillonnage modeste qu’il faut considérer au travers du caractère peu répandu du vaginisme dans la population [33]. Les patientes présentant un vaginisme primaire n’ont été retrouvées que dans 2 études [18, 22], la plupart des travaux intégrant le vaginisme secondaire ou la vulvodynie dont les mécanismes physiopathologiques diffèrent [17, 20, 34]. La méthodologie utilisée n’a sans doute pas autorisé un recrutement exhaustif (inclusion de patientes basée uniquement sur le volontariat des professionnels de santé sollicités); cependant elle a permis d’obtenir une cohorte homogène, apportant une certaine pertinence aux résultats et mettant en lumière plusieurs pistes de réflexion. Un autre écueil pourrait résider dans la concision du questionnaire qui ne s’intéressait pas expressément aux pathologies obstétricales ni à l’adaptation extra-utérine des nouveau-nés. Le choix délibéré d’un questionnaire court comprenant des questions à compléments multiples permettait de ne pas décourager les professionnels auxquels il était soumis. La place octroyée aux commentaires permettait d’apporter des commentaires et a d’ailleurs été largement utilisée. Enfin, le score de cotation du tonus musculaire périnéal pouvait sembler quelque peu limité pour définir le vaginisme; cependant il a permis de standardiser les mesures du tonus périnéal et le comportement de peur-évitement une fois le diagnostic établi. Cela a par ailleurs permis une utilisation aisée de la part de praticiens qui pouvaient ne pas être familiarisés avec cette entité particulière qu’est le vaginisme. Conclusion: Dysfonction importante, le vaginisme est un problème tant individuel que du couple dont il altère la relation sexuelle [35]. Au-delà, il influence péjorativement le pronostic obstétrical. Nos résultats vont dans le sens de ceux rapportés par d’autres auteurs quant au risque accru de césariennes et d’extractions instrumentales pour les femmes atteintes de vaginisme. Ils mettent en outre en lumière le grand nombre de grossesses prolongées, dont on sait qu’elles sont pourvoyeuses de morbidité et de mortalité. L’analyse qualitative des résultats semble désigner le mécanisme de peur-évitement et de l’anxiété, comme éléments constitutionnels essentiels du vaginisme, dans la survenue des dystocies et des lésions périnéales constatées. Un accompagnement sexologique précoce, même s’il ne permet pas à lui seul d’annihiler les risques et améliorer le pronostic obstétrical, pourrait aider ces femmes. La place que l’on pourrait accorder à ce type de prise en charge reste toutefois encore à évaluer au travers d’études prospectives et contrôlées, alliant de plus larges de cohortes de patientes (incluant des tests psychométriques) et explorant le versant néonatal. Etat des connaissances actuelles sur le sujet Le vaginisme est une pathologie mal connue; Peu d’études se sont intéressées au pronostic obstétrical des femmes souffrant de vaginisme. Le vaginisme est une pathologie mal connue; Peu d’études se sont intéressées au pronostic obstétrical des femmes souffrant de vaginisme. Contribution de notre étude à la connaissance Le vaginisme influence défavorablement le pronostic obstétrical des femmes vaginiques; Cette étude est l’une des rares à avoir enrôlé des patientes enceintes primipares; Un prise en charge au cours de la grossesse, notamment psycho-sexologique, pourrait contribuer à améliorer les résultats obstétricaux (taux d’épisiotomie, d’extraction instrumentale et de césariennes en particulier). Le vaginisme influence défavorablement le pronostic obstétrical des femmes vaginiques; Cette étude est l’une des rares à avoir enrôlé des patientes enceintes primipares; Un prise en charge au cours de la grossesse, notamment psycho-sexologique, pourrait contribuer à améliorer les résultats obstétricaux (taux d’épisiotomie, d’extraction instrumentale et de césariennes en particulier). Etat des connaissances actuelles sur le sujet: Le vaginisme est une pathologie mal connue; Peu d’études se sont intéressées au pronostic obstétrical des femmes souffrant de vaginisme. Contribution de notre étude à la connaissance: Le vaginisme influence défavorablement le pronostic obstétrical des femmes vaginiques; Cette étude est l’une des rares à avoir enrôlé des patientes enceintes primipares; Un prise en charge au cours de la grossesse, notamment psycho-sexologique, pourrait contribuer à améliorer les résultats obstétricaux (taux d’épisiotomie, d’extraction instrumentale et de césariennes en particulier). Conflits d’intérêts: Les auteurs ne déclarent aucun conflits d’intérêts.
Background: Vaginismus is a severe dysfunction and a problem which can interfere with woman's and couple's sex life. It may influence the obstetric outcome. This study aims to determine if the clinical features of vaginismus can impact childbirth experience. Methods: We conducted a retrospective multicenter study involving patients affected by primary vaginismus, having given birth to their first child (who had reached term), between 2005 and 2015. Results: Out of 19 patients included in the study, 9 had prolonged pregnancies, 14 had spontaneous labor (including 8 at term), 3 had cesarean section before going into labor and 2 had labor induction. Among the 16 women who experienced labor, 4 had cesarean section, 5 had vaginal delivery with the help of forceps and 7 had spontaneous vaginal delivery. Among the 12 women who had vaginal delivery, 9 underwent episiotomy, 7 had spontaneous perineal tear alone or in combination with episiotomy. No 3rd and 4th degree perineal injury or intact perineum were found. The average birth weight for babies was 3380 g ± 332 (2870 g-3970g, 47th percentile). Conclusions: The rates of labour dystocia and perineal morbidity were significantly high. These data were comparable to most of the data in the literature. It is likely that the psychological and behavioral aspects of vaginismus (fear-avoidance and anxiety-inducing mechanism) have favoured prolonged pregnancies, cesarean sections, mechanical dystocias and perineal injuries. Additional studies are necessary to better identify vaginismus and its obstetrical implications.
Introduction: Le vaginisme se traduit par la difficulté persistante ou récurrente, pour une femme, de permettre l’entrée de son vagin à un pénis, un doigt et/ou à d’autres objets, en dépit du désir exprimé d’y parvenir. Le tonus accru et incontrôlé des muscles périnéaux a été incriminé dans cette impossibilité de pénétration vaginale bien que des études électromyographiques n’en aient pas totalement élucidé la physiopathologie. Les caractéristiques psychologiques et physiques des femmes atteintes de vaginisme rendent difficile l’accès à une sexualité satisfaisante, mais interrogent également sur leur rôle au moment de l’accouchement [1-5]. Ces femmes sont sujettes à de fréquentes erreurs dans la perception de leur schéma corporel proprioceptif ainsi que de leurs cognitions qui se traduisent par une anxiété majorée et une peur dramatisée des douleurs. Les troubles dans la gestion émotionnelle de leurs sentiments peuvent alors parfois conduire à l’évitement des situations d’intimité [2, 3, 5-13]. Ayant établi ce constat, nous avons souhaité déterminer si le vaginisme pouvait avoir un impact sur le pronostic obstétrical, l’accouchement impliquant en lui-même « le corps sexué », diverses émotions et une grande interaction avec les professionnels de santé. Conclusion: Dysfonction importante, le vaginisme est un problème tant individuel que du couple dont il altère la relation sexuelle [35]. Au-delà, il influence péjorativement le pronostic obstétrical. Nos résultats vont dans le sens de ceux rapportés par d’autres auteurs quant au risque accru de césariennes et d’extractions instrumentales pour les femmes atteintes de vaginisme. Ils mettent en outre en lumière le grand nombre de grossesses prolongées, dont on sait qu’elles sont pourvoyeuses de morbidité et de mortalité. L’analyse qualitative des résultats semble désigner le mécanisme de peur-évitement et de l’anxiété, comme éléments constitutionnels essentiels du vaginisme, dans la survenue des dystocies et des lésions périnéales constatées. Un accompagnement sexologique précoce, même s’il ne permet pas à lui seul d’annihiler les risques et améliorer le pronostic obstétrical, pourrait aider ces femmes. La place que l’on pourrait accorder à ce type de prise en charge reste toutefois encore à évaluer au travers d’études prospectives et contrôlées, alliant de plus larges de cohortes de patientes (incluant des tests psychométriques) et explorant le versant néonatal. Etat des connaissances actuelles sur le sujet Le vaginisme est une pathologie mal connue; Peu d’études se sont intéressées au pronostic obstétrical des femmes souffrant de vaginisme. Le vaginisme est une pathologie mal connue; Peu d’études se sont intéressées au pronostic obstétrical des femmes souffrant de vaginisme. Contribution de notre étude à la connaissance Le vaginisme influence défavorablement le pronostic obstétrical des femmes vaginiques; Cette étude est l’une des rares à avoir enrôlé des patientes enceintes primipares; Un prise en charge au cours de la grossesse, notamment psycho-sexologique, pourrait contribuer à améliorer les résultats obstétricaux (taux d’épisiotomie, d’extraction instrumentale et de césariennes en particulier). Le vaginisme influence défavorablement le pronostic obstétrical des femmes vaginiques; Cette étude est l’une des rares à avoir enrôlé des patientes enceintes primipares; Un prise en charge au cours de la grossesse, notamment psycho-sexologique, pourrait contribuer à améliorer les résultats obstétricaux (taux d’épisiotomie, d’extraction instrumentale et de césariennes en particulier).
Background: Vaginismus is a severe dysfunction and a problem which can interfere with woman's and couple's sex life. It may influence the obstetric outcome. This study aims to determine if the clinical features of vaginismus can impact childbirth experience. Methods: We conducted a retrospective multicenter study involving patients affected by primary vaginismus, having given birth to their first child (who had reached term), between 2005 and 2015. Results: Out of 19 patients included in the study, 9 had prolonged pregnancies, 14 had spontaneous labor (including 8 at term), 3 had cesarean section before going into labor and 2 had labor induction. Among the 16 women who experienced labor, 4 had cesarean section, 5 had vaginal delivery with the help of forceps and 7 had spontaneous vaginal delivery. Among the 12 women who had vaginal delivery, 9 underwent episiotomy, 7 had spontaneous perineal tear alone or in combination with episiotomy. No 3rd and 4th degree perineal injury or intact perineum were found. The average birth weight for babies was 3380 g ± 332 (2870 g-3970g, 47th percentile). Conclusions: The rates of labour dystocia and perineal morbidity were significantly high. These data were comparable to most of the data in the literature. It is likely that the psychological and behavioral aspects of vaginismus (fear-avoidance and anxiety-inducing mechanism) have favoured prolonged pregnancies, cesarean sections, mechanical dystocias and perineal injuries. Additional studies are necessary to better identify vaginismus and its obstetrical implications.
10,611
289
[ 147, 287, 136, 47, 191, 176, 285, 1191, 326, 302, 23, 62 ]
18
[ "de", "des", "une", "la", "le", "les", "en", "un", "du", "par" ]
[ "femme vaginique", "les patientes vaginiques", "pénétration vaginale bien", "vaginisme par éjaculation", "physiques des femmes" ]
[CONTENT] Vaginisme | dysfonction sexuelle | dyspareunie | phobie sexuelle | rapport sexuel | accouchement | césarienne | Vaginismus | sexual dysfunction | dyspareunia | sexual phobia | sexual intercourse | childbirth | cesarean section [SUMMARY]
[CONTENT] Vaginisme | dysfonction sexuelle | dyspareunie | phobie sexuelle | rapport sexuel | accouchement | césarienne | Vaginismus | sexual dysfunction | dyspareunia | sexual phobia | sexual intercourse | childbirth | cesarean section [SUMMARY]
[CONTENT] Vaginisme | dysfonction sexuelle | dyspareunie | phobie sexuelle | rapport sexuel | accouchement | césarienne | Vaginismus | sexual dysfunction | dyspareunia | sexual phobia | sexual intercourse | childbirth | cesarean section [SUMMARY]
[CONTENT] Vaginisme | dysfonction sexuelle | dyspareunie | phobie sexuelle | rapport sexuel | accouchement | césarienne | Vaginismus | sexual dysfunction | dyspareunia | sexual phobia | sexual intercourse | childbirth | cesarean section [SUMMARY]
[CONTENT] Vaginisme | dysfonction sexuelle | dyspareunie | phobie sexuelle | rapport sexuel | accouchement | césarienne | Vaginismus | sexual dysfunction | dyspareunia | sexual phobia | sexual intercourse | childbirth | cesarean section [SUMMARY]
[CONTENT] Vaginisme | dysfonction sexuelle | dyspareunie | phobie sexuelle | rapport sexuel | accouchement | césarienne | Vaginismus | sexual dysfunction | dyspareunia | sexual phobia | sexual intercourse | childbirth | cesarean section [SUMMARY]
[CONTENT] Adult | Cesarean Section | Delivery, Obstetric | Dystocia | Episiotomy | Female | Humans | Perineum | Pregnancy | Pregnancy Outcome | Pregnancy, Prolonged | Retrospective Studies | Vaginismus | Young Adult [SUMMARY]
[CONTENT] Adult | Cesarean Section | Delivery, Obstetric | Dystocia | Episiotomy | Female | Humans | Perineum | Pregnancy | Pregnancy Outcome | Pregnancy, Prolonged | Retrospective Studies | Vaginismus | Young Adult [SUMMARY]
[CONTENT] Adult | Cesarean Section | Delivery, Obstetric | Dystocia | Episiotomy | Female | Humans | Perineum | Pregnancy | Pregnancy Outcome | Pregnancy, Prolonged | Retrospective Studies | Vaginismus | Young Adult [SUMMARY]
[CONTENT] Adult | Cesarean Section | Delivery, Obstetric | Dystocia | Episiotomy | Female | Humans | Perineum | Pregnancy | Pregnancy Outcome | Pregnancy, Prolonged | Retrospective Studies | Vaginismus | Young Adult [SUMMARY]
[CONTENT] Adult | Cesarean Section | Delivery, Obstetric | Dystocia | Episiotomy | Female | Humans | Perineum | Pregnancy | Pregnancy Outcome | Pregnancy, Prolonged | Retrospective Studies | Vaginismus | Young Adult [SUMMARY]
[CONTENT] Adult | Cesarean Section | Delivery, Obstetric | Dystocia | Episiotomy | Female | Humans | Perineum | Pregnancy | Pregnancy Outcome | Pregnancy, Prolonged | Retrospective Studies | Vaginismus | Young Adult [SUMMARY]
[CONTENT] femme vaginique | les patientes vaginiques | pénétration vaginale bien | vaginisme par éjaculation | physiques des femmes [SUMMARY]
[CONTENT] femme vaginique | les patientes vaginiques | pénétration vaginale bien | vaginisme par éjaculation | physiques des femmes [SUMMARY]
[CONTENT] femme vaginique | les patientes vaginiques | pénétration vaginale bien | vaginisme par éjaculation | physiques des femmes [SUMMARY]
[CONTENT] femme vaginique | les patientes vaginiques | pénétration vaginale bien | vaginisme par éjaculation | physiques des femmes [SUMMARY]
[CONTENT] femme vaginique | les patientes vaginiques | pénétration vaginale bien | vaginisme par éjaculation | physiques des femmes [SUMMARY]
[CONTENT] femme vaginique | les patientes vaginiques | pénétration vaginale bien | vaginisme par éjaculation | physiques des femmes [SUMMARY]
[CONTENT] de | des | une | la | le | les | en | un | du | par [SUMMARY]
[CONTENT] de | des | une | la | le | les | en | un | du | par [SUMMARY]
[CONTENT] de | des | une | la | le | les | en | un | du | par [SUMMARY]
[CONTENT] de | des | une | la | le | les | en | un | du | par [SUMMARY]
[CONTENT] de | des | une | la | le | les | en | un | du | par [SUMMARY]
[CONTENT] de | des | une | la | le | les | en | un | du | par [SUMMARY]
[CONTENT] de | de leurs | leurs | des | une | le | la | se | dans | dans la [SUMMARY]
[CONTENT] des | de | spasme des releveurs | spasme des | spasme | releveurs | des releveurs | données | aux données | en [SUMMARY]
[CONTENT] de | une | accouchements | la | accouchements par | du | par | travail | basse | voie basse [SUMMARY]
[CONTENT] de | des | le | obstétrical | pronostic obstétrical | pronostic | vaginisme | est une | le pronostic obstétrical | obstétrical des femmes [SUMMARY]
[CONTENT] de | des | une | la | le | en | les | un | du | par [SUMMARY]
[CONTENT] de | des | une | la | le | en | les | un | du | par [SUMMARY]
[CONTENT] ||| ||| [SUMMARY]
[CONTENT] first | between 2005 and 2015 [SUMMARY]
[CONTENT] 19 | 9 | 14 | 8 | 3 | 2 ||| 16 | 4 | 5 ||| 12 | 9 ||| 3rd | 4th ||| 3380 | 2870 | 47th [SUMMARY]
[CONTENT] ||| ||| ||| [SUMMARY]
[CONTENT] ||| ||| ||| first | between 2005 and 2015 ||| 19 | 9 | 14 | 8 | 3 | 2 ||| 16 | 4 | 5 ||| 12 | 9 ||| 3rd | 4th ||| 3380 | 2870 | 47th ||| ||| ||| ||| [SUMMARY]
[CONTENT] ||| ||| ||| first | between 2005 and 2015 ||| 19 | 9 | 14 | 8 | 3 | 2 ||| 16 | 4 | 5 ||| 12 | 9 ||| 3rd | 4th ||| 3380 | 2870 | 47th ||| ||| ||| ||| [SUMMARY]
Improving the accuracy of high-throughput protein-protein affinity prediction may require better training data.
28361672
One goal of structural biology is to understand how a protein's 3-dimensional conformation determines its capacity to interact with potential ligands. In the case of small chemical ligands, deconstructing a static protein-ligand complex into its constituent atom-atom interactions is typically sufficient to rapidly predict ligand affinity with high accuracy (>70% correlation between predicted and experimentally-determined affinity), a fact that is exploited to support structure-based drug design. We recently found that protein-DNA/RNA affinity can also be predicted with high accuracy using extensions of existing techniques, but protein-protein affinity could not be predicted with >60% correlation, even when the protein-protein complex was available.
BACKGROUND
X-ray and NMR structures of protein-protein complexes, their associated binding affinities and experimental conditions were obtained from different binding affinity and structural databases. Statistical models were implemented using a generalized linear model framework, including the experimental conditions as new model features. We evaluated the potential for new features to improve affinity prediction models by calculating the Pearson correlation between predicted and experimental binding affinities on the training and test data after model fitting and after cross-validation. Differences in accuracy were assessed using two-sample t test and nonparametric Mann-Whitney U test.
METHODS
Here we evaluate a range of potential factors that may interfere with accurate protein-protein affinity prediction. We find that X-ray crystal resolution has the strongest single effect on protein-protein affinity prediction. Limiting our analyses to only high-resolution complexes (≤2.5 Å) increased the correlation between predicted and experimental affinity from 54 to 68% (p = 4.32x10-3). In addition, incorporating information on the experimental conditions under which affinities were measured (pH, temperature and binding assay) had significant effects on prediction accuracy. We also highlight a number of potential errors in large structure-affinity databases, which could affect both model training and accuracy assessment.
RESULTS
The results suggest that the accuracy of statistical models for protein-protein affinity prediction may be limited by the information present in databases used to train new models. Improving our capacity to integrate large-scale structural and functional information may be required to substantively advance our understanding of the general principles by which a protein's structure determines its function.
CONCLUSIONS
[ "Animals", "Data Accuracy", "Humans", "Machine Learning", "Models, Molecular", "Models, Statistical", "Protein Binding", "Protein Conformation", "Proteins" ]
5374557
Background
Proteins are involved in the majority of chemical reactions that take place within living cells, making them essential for all aspects of cellular function. Proteins never work in isolation; their functional repertoire is determined by how they interact with various small-molecule, DNA/RNA, protein or other ligands. Ligand affinity is largely determined by a protein’s 3-dimensional structure, which determines the spatial conformation of attractive and repulsive forces between the protein and a potential ligand [1–3]. The affinity with which a protein interacts with various ligands–typically expressed as the dissociation constant (Kd or pKd = −log Kd)—provides critical information about protein function and biochemistry, and has been used for the discovery and optimization of novel pharmaceuticals [4–6]. High-throughput prediction of protein-ligand affinity is typically conducted using a fast statistical “scoring function” that decomposes binding affinity into component atom-atom interaction terms representing the attractive and repulsive forces acting across the protein-ligand complex [7, 8]. Although scoring functions can be derived directly from physical chemistry principles [9], the most effective approaches are usually “trained” using large databases of structural complexes with associated experimentally-determined binding affinities [10–12]. After training, a model’s expected predictive accuracy can be gauged by correlating its predicted affinities with experimentally-determined values across a novel dataset not included in training [13, 14]. Many scoring functions are capable of using only the atomic interactions extracted from crystal structures to rapidly predict protein-small molecule affinities with >70% correlation, which is commonly considered adequate to support structure-based drug design [11, 15–21]. Recently, we developed efficient statistical models capable of predicting protein-DNA/RNA affinities with similar accuracy [22]. Our structure-based prediction models also revealed that different combinations of atom-atom interactions are important for predicting different types of protein-ligand complexes. However, no statistical models we examined were capable of predicting protein-protein affinity with >60% correlation, even under the ‘best case’ scenario in which the protein-protein complex was known experimentally. Accurate prediction of protein-protein interactions is a major goal of computational structural biology, and many approaches have been examined to improve the accuracy of protein-protein affinity prediction [23]. The structural basis of protein-protein interactions is typically more complex and flexible than other protein-ligand interactions, suggesting that entropic forces may be more important in protein-protein interactions [24, 25]. Physics-based approaches such as molecular dynamics can model entropic factors and produce highly-accurate affinity predictions but are too computationally complex to support high-throughput analyses [10–12, 17, 26, 27]. As an alternative approach, smaller manually-curated affinity benchmarks have been proposed to improve the accuracy of high-throughput statistical affinity prediction [28]. However, predictive accuracy on manually-curated datasets rarely exceeds ~60% correlation [29], and accuracy achieved using carefully curated datasets may not generalize well to new data. Importantly, the specific factors that may influence statistical prediction of protein-protein affinity have not been identified, making it difficult to devise reasonable strategies to improve current methods.
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Results
Statistical prediction of protein-protein binding affinity relies on information extracted from large structure-affinity databases [29, 35]. Accuracy and generalizability of predictive models is therefore expected to depend on the quantity and quality of information in the training database as well as the particular types of information available [36]. To evaluate how various aspects of structure-affinity databases affect the accuracy of protein-protein affinity prediction, we examined 1577 protein-protein complexes from the PDBbind database, a comprehensive collection of experimentally-determined affinity measurements assigned to 3-dimensional structural complexes, commonly used to evaluate affinity prediction algorithms [30]. We found that nearly 2/3 of the protein-protein complexes in PDBbind had ambiguous affinity measurements or multiple ligands, making it difficult to confidently assign affinity information to specific components of the structural complex (see Additional file 1: Text S1). We identified 955 ambiguous complexes, with an additional 20 complexes removed due to missing coordinates and/or steric clashes [37, 38]. Removing these complexes resulted in a filtered training database of 622 protein-protein dimers. Consistent with results from previous studies [11, 19, 35, 39, 40], we found that removing complexes with ambiguous, missing or unreliable data was required to support robust training of affinity prediction models (see Additional file 1: Figure S1 and associated text). Models trained using either the complete PDBbind (1557 complexes) or the filtered database of 622 dimers performed very poorly when applied to the complete PDBbind dataset. For the remainder of this study, we therefore focus our analyses on the filtered PDBbind database of 622 dimers. Incorporating additional structural features improves protein-protein affinity prediction We have previously developed statistical approaches for predicting protein-protein affinity incorporating a wide range of atom-atom interaction terms expected to impact macromolecular interactions [22]. However, in those analyses, protein-protein affinities could not be predicted with >0.49 correlation, after cross-validation. Applying these models to our filtered PDBbind dataset resulted in a correlation between predicted and experimentally-determined binding affinities of 0.44 in cross-validation analyses (Fig. 1a).Fig. 1Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling We did find that including additional atom-atom interaction terms can improve the accuracy of affinity-prediction models. For example, hydrophobicity [33] and surface tension parameters [34] are weakly correlated with binding affinity across the filtered PDBbind dataset (Spearman correlation >0.10, p < 7.48x10−3; Additional file 1: Figure S2A). Incorporating these parameters into the predictive model improved the correlation between predicted and experimentally-determined affinities in cross-validation analyses from 0.44 to 0.54 (one-tailed Fisher’s z = 2.04, p = 0.0207; Fig. 1a). We also evaluated the relationship between binding affinity and structural changes caused by protein-protein binding by examining the change in conformational entropy upon complex formation. This can be roughly calculated by comparing the structure of the bound complex (holo) to the unbound (apo) structures and has been successfully applied for predicting binding affinity in a small dataset of 17 protein-protein complexes [41]. We extracted 143 holo complexes with corresponding apo structures from the protein-protein affinity benchmark database (Additional file 1: Table S2). Differences between holo and the apo forms were characterized by calculating root mean squared deviations (RMSDs) and changes in the accessible-to-solvent surface area upon complex formation. Although RMSD was not correlated with experimental binding affinity (Spearman correlation = 0.02, p = 0.73), we did observe a significant correlation between binding affinity and the change in accessible-to-solvent area caused by formation of the protein-protein binding interface, suggesting that this parameter may be useful for improving affinity prediction (Spearman correlation = −0.28, p = 8.63x10−4, Additional file 1: Figure S2B). Cross-validation analysis confirmed that including changes in the accessible-to-solvent area as an explanatory variable improved affinity prediction accuracy, both on the Affinity Benchmark database (r 2 = 0.41 vs. 0.55; William’s test p = 2.3x10−3) and the filtered PDBBind database (r 2 = 0.46 vs. 0.49; William’s test p = 2.6x10−3; Fig. 1b). Scoring functions that exhibit a Pearson correlation >0.72 and an RMSD <2 Å between predicted and experimental binding affinity in cross-validation analyses are commonly characterized as providing robust affinity inferences [11, 40, 42–44]. While our results do suggest that incorporating additional structural information can improve protein-protein affinity prediction, the improvements in accuracy we observed were generally incremental, and even best-case accuracy currently remains too low to support robust affinity inferences. Existing studies of protein-protein affinity prediction have occasionally identified models capable of accurately predicting affinities on carefully curated small datasets, but accurate prediction of protein-protein affinity across large structure-affinity databases has remained unobtainable [23]. This could be due to lack of generalizability, possibly because curation of small datasets may inadvertently select for a subset of the structural features present in large-scale databases. Alternatively, the quality of both structural and affinity data in large databases could be highly variable, making some complexes more ‘difficult’ to accurately predict than others and potentially misleading model training procedures. Currently, almost nothing is known about how variation in characteristics of the structural and experimental data in structure-affinity databases might impact protein-protein affinity prediction. We examine this potential issue for the remainder of this study. We have previously developed statistical approaches for predicting protein-protein affinity incorporating a wide range of atom-atom interaction terms expected to impact macromolecular interactions [22]. However, in those analyses, protein-protein affinities could not be predicted with >0.49 correlation, after cross-validation. Applying these models to our filtered PDBbind dataset resulted in a correlation between predicted and experimentally-determined binding affinities of 0.44 in cross-validation analyses (Fig. 1a).Fig. 1Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling We did find that including additional atom-atom interaction terms can improve the accuracy of affinity-prediction models. For example, hydrophobicity [33] and surface tension parameters [34] are weakly correlated with binding affinity across the filtered PDBbind dataset (Spearman correlation >0.10, p < 7.48x10−3; Additional file 1: Figure S2A). Incorporating these parameters into the predictive model improved the correlation between predicted and experimentally-determined affinities in cross-validation analyses from 0.44 to 0.54 (one-tailed Fisher’s z = 2.04, p = 0.0207; Fig. 1a). We also evaluated the relationship between binding affinity and structural changes caused by protein-protein binding by examining the change in conformational entropy upon complex formation. This can be roughly calculated by comparing the structure of the bound complex (holo) to the unbound (apo) structures and has been successfully applied for predicting binding affinity in a small dataset of 17 protein-protein complexes [41]. We extracted 143 holo complexes with corresponding apo structures from the protein-protein affinity benchmark database (Additional file 1: Table S2). Differences between holo and the apo forms were characterized by calculating root mean squared deviations (RMSDs) and changes in the accessible-to-solvent surface area upon complex formation. Although RMSD was not correlated with experimental binding affinity (Spearman correlation = 0.02, p = 0.73), we did observe a significant correlation between binding affinity and the change in accessible-to-solvent area caused by formation of the protein-protein binding interface, suggesting that this parameter may be useful for improving affinity prediction (Spearman correlation = −0.28, p = 8.63x10−4, Additional file 1: Figure S2B). Cross-validation analysis confirmed that including changes in the accessible-to-solvent area as an explanatory variable improved affinity prediction accuracy, both on the Affinity Benchmark database (r 2 = 0.41 vs. 0.55; William’s test p = 2.3x10−3) and the filtered PDBBind database (r 2 = 0.46 vs. 0.49; William’s test p = 2.6x10−3; Fig. 1b). Scoring functions that exhibit a Pearson correlation >0.72 and an RMSD <2 Å between predicted and experimental binding affinity in cross-validation analyses are commonly characterized as providing robust affinity inferences [11, 40, 42–44]. While our results do suggest that incorporating additional structural information can improve protein-protein affinity prediction, the improvements in accuracy we observed were generally incremental, and even best-case accuracy currently remains too low to support robust affinity inferences. Existing studies of protein-protein affinity prediction have occasionally identified models capable of accurately predicting affinities on carefully curated small datasets, but accurate prediction of protein-protein affinity across large structure-affinity databases has remained unobtainable [23]. This could be due to lack of generalizability, possibly because curation of small datasets may inadvertently select for a subset of the structural features present in large-scale databases. Alternatively, the quality of both structural and affinity data in large databases could be highly variable, making some complexes more ‘difficult’ to accurately predict than others and potentially misleading model training procedures. Currently, almost nothing is known about how variation in characteristics of the structural and experimental data in structure-affinity databases might impact protein-protein affinity prediction. We examine this potential issue for the remainder of this study. Crystal resolution affects protein-protein affinity prediction accuracy Crystallographic resolution is proportional to the precision of the 3-dimensional coordinates of the atoms in the structure. Typically, high-resolution structures (<2.5 Å) exhibit correct folding, have very small numbers of incorrect rotamers and present accurate surface loops. In contrast, low-resolution structures (>3.5 Å) are more likely to result in folding errors or incorrectly-modeled surface loops [45, 46]. We hypothesized that high-resolution structures would produce more reliable atom-atom interaction calculations and result in more accurate binding affinity predictions. We did observe a weak but significant correlation between crystal resolution and the difference between predicted and experimental binding affinities (r 2 = 0.11, p = 5.26x10−3; Additional file 1: Figure S3A). However, including crystal resolution as a parameter in the affinity prediction model did not improve the correlation between predicted and experimental affinities, even across complexes included in the training dataset (r 2 = 0.64 vs. 0.65; Fisher one-tailed z = 0.16, p = 0.87; Fig. 2a). These results suggest that using crystal resolution as an explanatory variable in the model is unlikely to improve affinity prediction accuracy, even in the ‘best case’ scenario in which new data ‘look’ exactly like the data used for training.Fig. 2High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r 2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r 2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors However, constraining our training dataset to only include high-resolution structures (<2.5 Å, resulting in 205 protein-protein complexes) improved the correlation between predicted and experimental affinities on training data from 0.64 to 0.85 (Fisher one-tailed z = 6.14, p = 7.97x10−10; Fig. 2b). Furthermore, cross-validation analysis using only high-resolution structures resulted in increased predictive accuracy when applied to new data not included in training (r 2 = 0.54 vs. 0.68; Fisher two-tailed z = 2.85, p = 4.32x10−3; Fig. 2c,d). Although Fisher’s z-transformation incorporates a correction for comparing results obtained on a subsample to results from the full dataset [47], we were concerned that selecting a subsample of the original testing data could lead to a spurious improvement in predictive accuracy, irrespective of the effects of higher crystal resolution. However, when we randomly selected subsets of equivalent size, accuracy never improved to the extent observed for the high-resolution dataset (p < 4x10−3; Fig. 2b). Although these results suggest that training protein-protein affinity prediction using high-resolution structures may improve predictive accuracy, different types of complexes are likely to crystalize at different resolutions. If complexes whose affinities are more difficult to predict for inherent reasons also tend to crystalize at lower resolution, the effects of resolution on predictive accuracy may be indirect. To address this issue, we grouped protein-protein complexes into clusters based on 90% sequence identity. Within each cluster of similar complexes, we calculated the correlation between crystal resolution and affinity prediction accuracy (Additional file 1: Table S3). Although there were only 21 clusters with >3 similar complexes in our dataset, we did find that all the clusters exhibiting a significant correlation between resolution and affinity prediction were consistent with the expectation that higher-resolution structures produced more accurate affinity predictions. While it is not possible to generalize from such limited data, these results do suggest that higher resolution structures may improve affinity prediction accuracy across at least some groups of similar protein-protein complexes. Restricting training and testing data to either high-resolution or NMR data also resulted in a reduction of root-mean squared deviation (RMSD) between predicted and experimental affinities, compared to the original dataset (high-resolution and NMR RMSDs = 1.79 and 1.56, respectively, vs. 1.90 for the original dataset, t-test p < 0.03, Mann–Whitney p < 0.01; Fig. 2d). Together, these results suggest that training statistical models using high-resolution crystal structures or NMR data may improve affinity prediction accuracy when trained models are applied to new data. It is interesting that restricting training data to NMR structures also improved predictive accuracy (see Fig. 2), as the resolution of NMR structures is typically lower than X-ray crystal structures. However, NMR structures are determined from proteins in solution, which may more accurately reflect the native functional environment of the protein [48, 49]. The capacity to capture protein-protein interactions in solution may contribute to the improved predictive accuracy of models trained using NMR data, particularly for cases in which the crystallographic process might introduce structural artifacts. Experimental conditions such as temperature and pH are critical for the formation and stability of a protein crystal [50]. However, the optimal conditions for crystallization may differ from those used for measuring binding affinity, potentially creating a mismatch between a crystalized protein-protein complex and that same complex in experimental solution. To examine the potential effects of crystallization conditions on protein-protein affinity prediction, we extracted temperature and pH information from the Protein Data Bank [51] for the complexes in our training dataset and evaluated the effect of including this information on predictive accuracy. Although both crystallization temperature and pH were weakly negatively correlated with experimental binding affinity (r 2 = −0.26, p = 4.91x10−10 and r 2 = −0.16, p = 1.96x10−4 for temperature and pH, respectively. Additional file 1: Figure S3B), we observed no improvement in predictive accuracy when these parameters were incorporated into the statistical model (Fisher one-tailed z < 0.1, p > 0.92; Fig. 2a). Overall, these results suggest that the quality of structural data can affect the accuracy of statistical affinity prediction, and that training models using high-quality structures may be one avenue available to improve protein-protein and other affinity predictions. While limiting training data to high-resolution structures was not required for accurate prediction of protein-small molecule or protein-DNA/RNA affinities in our previous analysis [22], protein-protein complexes typically have larger numbers of atoms at the protein-ligand interface and may be more sensitive to potential errors induced by lower crystal resolution. Differences in crystal resolution across protein-small molecule, protein-DNA/RNA and protein-protein training datasets may also contribute to differences in affinity prediction accuracy. Crystallographic resolution is proportional to the precision of the 3-dimensional coordinates of the atoms in the structure. Typically, high-resolution structures (<2.5 Å) exhibit correct folding, have very small numbers of incorrect rotamers and present accurate surface loops. In contrast, low-resolution structures (>3.5 Å) are more likely to result in folding errors or incorrectly-modeled surface loops [45, 46]. We hypothesized that high-resolution structures would produce more reliable atom-atom interaction calculations and result in more accurate binding affinity predictions. We did observe a weak but significant correlation between crystal resolution and the difference between predicted and experimental binding affinities (r 2 = 0.11, p = 5.26x10−3; Additional file 1: Figure S3A). However, including crystal resolution as a parameter in the affinity prediction model did not improve the correlation between predicted and experimental affinities, even across complexes included in the training dataset (r 2 = 0.64 vs. 0.65; Fisher one-tailed z = 0.16, p = 0.87; Fig. 2a). These results suggest that using crystal resolution as an explanatory variable in the model is unlikely to improve affinity prediction accuracy, even in the ‘best case’ scenario in which new data ‘look’ exactly like the data used for training.Fig. 2High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r 2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r 2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors However, constraining our training dataset to only include high-resolution structures (<2.5 Å, resulting in 205 protein-protein complexes) improved the correlation between predicted and experimental affinities on training data from 0.64 to 0.85 (Fisher one-tailed z = 6.14, p = 7.97x10−10; Fig. 2b). Furthermore, cross-validation analysis using only high-resolution structures resulted in increased predictive accuracy when applied to new data not included in training (r 2 = 0.54 vs. 0.68; Fisher two-tailed z = 2.85, p = 4.32x10−3; Fig. 2c,d). Although Fisher’s z-transformation incorporates a correction for comparing results obtained on a subsample to results from the full dataset [47], we were concerned that selecting a subsample of the original testing data could lead to a spurious improvement in predictive accuracy, irrespective of the effects of higher crystal resolution. However, when we randomly selected subsets of equivalent size, accuracy never improved to the extent observed for the high-resolution dataset (p < 4x10−3; Fig. 2b). Although these results suggest that training protein-protein affinity prediction using high-resolution structures may improve predictive accuracy, different types of complexes are likely to crystalize at different resolutions. If complexes whose affinities are more difficult to predict for inherent reasons also tend to crystalize at lower resolution, the effects of resolution on predictive accuracy may be indirect. To address this issue, we grouped protein-protein complexes into clusters based on 90% sequence identity. Within each cluster of similar complexes, we calculated the correlation between crystal resolution and affinity prediction accuracy (Additional file 1: Table S3). Although there were only 21 clusters with >3 similar complexes in our dataset, we did find that all the clusters exhibiting a significant correlation between resolution and affinity prediction were consistent with the expectation that higher-resolution structures produced more accurate affinity predictions. While it is not possible to generalize from such limited data, these results do suggest that higher resolution structures may improve affinity prediction accuracy across at least some groups of similar protein-protein complexes. Restricting training and testing data to either high-resolution or NMR data also resulted in a reduction of root-mean squared deviation (RMSD) between predicted and experimental affinities, compared to the original dataset (high-resolution and NMR RMSDs = 1.79 and 1.56, respectively, vs. 1.90 for the original dataset, t-test p < 0.03, Mann–Whitney p < 0.01; Fig. 2d). Together, these results suggest that training statistical models using high-resolution crystal structures or NMR data may improve affinity prediction accuracy when trained models are applied to new data. It is interesting that restricting training data to NMR structures also improved predictive accuracy (see Fig. 2), as the resolution of NMR structures is typically lower than X-ray crystal structures. However, NMR structures are determined from proteins in solution, which may more accurately reflect the native functional environment of the protein [48, 49]. The capacity to capture protein-protein interactions in solution may contribute to the improved predictive accuracy of models trained using NMR data, particularly for cases in which the crystallographic process might introduce structural artifacts. Experimental conditions such as temperature and pH are critical for the formation and stability of a protein crystal [50]. However, the optimal conditions for crystallization may differ from those used for measuring binding affinity, potentially creating a mismatch between a crystalized protein-protein complex and that same complex in experimental solution. To examine the potential effects of crystallization conditions on protein-protein affinity prediction, we extracted temperature and pH information from the Protein Data Bank [51] for the complexes in our training dataset and evaluated the effect of including this information on predictive accuracy. Although both crystallization temperature and pH were weakly negatively correlated with experimental binding affinity (r 2 = −0.26, p = 4.91x10−10 and r 2 = −0.16, p = 1.96x10−4 for temperature and pH, respectively. Additional file 1: Figure S3B), we observed no improvement in predictive accuracy when these parameters were incorporated into the statistical model (Fisher one-tailed z < 0.1, p > 0.92; Fig. 2a). Overall, these results suggest that the quality of structural data can affect the accuracy of statistical affinity prediction, and that training models using high-quality structures may be one avenue available to improve protein-protein and other affinity predictions. While limiting training data to high-resolution structures was not required for accurate prediction of protein-small molecule or protein-DNA/RNA affinities in our previous analysis [22], protein-protein complexes typically have larger numbers of atoms at the protein-ligand interface and may be more sensitive to potential errors induced by lower crystal resolution. Differences in crystal resolution across protein-small molecule, protein-DNA/RNA and protein-protein training datasets may also contribute to differences in affinity prediction accuracy. Lack of information on binding assay conditions impairs protein-protein affinity prediction In addition to crystallographic conditions or resolution, variation in the experimental conditions and assays used to measure binding affinity could affect prediction accuracy. Different proteins can have dramatically different activities across temperature, pH and concentration of ions or cofactors [52, 53], and assay conditions have been shown to strongly affect reaction rates [54–56]. Even though experimental conditions can be critical for evaluating affinity measurements, this information is not available in the major structure-affinity databases used for training statistical predictors [30, 57]. Detailed experimental information is available for a small protein-protein affinity benchmark database [28]. After excluding complexes with missing data, we obtained 127 protein-protein complexes with data indicating the pH of the binding affinity experiment and 103 complexes with temperature information (Additional file 1: Table S2). We found no significant increase in the correlation between predicted and experimental affinities when binding experiment pH was included as an explanatory variable, even across data used to train the model (r 2 = 0.67 vs. 0.69, William’s t = 0.43, p = 0.34; Fig. 3a). Although pH has been shown to affect binding affinity measurements in some systems [58–60], the effect of pH on pKd may depend on particular properties of the specific interacting proteins. We did observe a small, marginally-significant increase in correlation when including temperature in the model (r 2 = 0.70 vs. 0.76, William’s t = −1.81, p = 0.04; Fig. 3a). Cross-validation analysis confirmed that binding assay temperature has the capacity to improve affinity prediction accuracy when applied to unseen testing data (r 2 = 0.46 vs. 0.52; William’s t = −29.84, p = 9.03x10−188; Fig. 3b).Fig. 3Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors Although the dataset examined in this analysis was small, compared to the training data available in the filtered PDBbind data set (~100 vs. ~600 complexes), these results suggest that incorporating parameters describing the experimental conditions used to measure protein-protein binding affinity may be important for training affinity-prediction models. The lack of information describing binding assay conditions in large structure-affinity databases may impose a limit on the accuracy of statistical models constructed from these databases. Protein-protein affinity can be measured by a variety of approaches, some of which may more strongly impact affinity prediction than others. Common technologies used in the protein-protein affinity benchmark database [28] are Isothermal Titration Calorimetry (ITC [61]), surface plasmon resonance (SPR [62]), and inhibition assays [63–66]. We observed a weak but significant correlation between the use of inhibition assays and experimentally-determined affinity values (Spearman correlation = 0.33, p = 1.16x10−4), whereas ITC was weakly negatively correlated with affinity (Spearman correlation = −0.36, p = 1.84x10−5; Additional file 1: Figure S3C). These results suggest that reported affinity measurements are somewhat dependent on the type of assay used: inhibition assays typically result in higher affinities, whereas ITC tends to produce lower affinity values. It is not clear whether this “assay effect” represents a general bias in one or more of the methodologies used to assess binding affinity, or if different methodologies tend to be applied to complexes with higher vs. lower biological affinities. When we included experimental assay method as an explanatory variable in the statistical model, we observed a strong increase in predictive accuracy, assessed by cross-validation (r 2 = 0.35 vs. 0.65; William’s t = −29.84, p = 9.03x10−188; Fig. 3b). In addition, there was no significant difference between training and cross-validation correlation results (Fisher’s z = 1.22, p = 0.11; Fig. 3a,b), suggesting that the optimized statistical model—including assay method—exhibits minimum over-fitting. Incorporating binding assay conditions in our statistical model also resulted in a significant decrease in RMSD between predicted and experimentally-determined affinities (Fig. 3c). Adding binding assay pH to the statistical model reduced RMSD from 2.28 to 1.98 (t-test t = −7.61, p = 2.09x10−12; Mann–Whitney w = 2272, p = 2.66x10−11). Similarly, RMSD decreased from 2.40 to 2.10 when temperature was incorporated (t-test t = −5.80, p = 4.41x10−8; Mann–Whitney w = 3221, p = 1.39x10−5). Finally, RMSD decreased from 2.36 to 1.65 when binding assay method was included as a model parameter (t-test t = −15.58, p = 2.80x10−30; Mann–Whitney w = 383, p = 1.65x10−29). Overall, these results suggest that incorporating information about the experimental conditions used to measure protein-protein affinity can have a strong effect on the predictive accuracy of statistical models. Detailed experimental conditions are generally not incorporated into large-scale structure-affinity databases, which may place a practical upper bound on the accuracy of statistical affinity prediction. In addition to crystallographic conditions or resolution, variation in the experimental conditions and assays used to measure binding affinity could affect prediction accuracy. Different proteins can have dramatically different activities across temperature, pH and concentration of ions or cofactors [52, 53], and assay conditions have been shown to strongly affect reaction rates [54–56]. Even though experimental conditions can be critical for evaluating affinity measurements, this information is not available in the major structure-affinity databases used for training statistical predictors [30, 57]. Detailed experimental information is available for a small protein-protein affinity benchmark database [28]. After excluding complexes with missing data, we obtained 127 protein-protein complexes with data indicating the pH of the binding affinity experiment and 103 complexes with temperature information (Additional file 1: Table S2). We found no significant increase in the correlation between predicted and experimental affinities when binding experiment pH was included as an explanatory variable, even across data used to train the model (r 2 = 0.67 vs. 0.69, William’s t = 0.43, p = 0.34; Fig. 3a). Although pH has been shown to affect binding affinity measurements in some systems [58–60], the effect of pH on pKd may depend on particular properties of the specific interacting proteins. We did observe a small, marginally-significant increase in correlation when including temperature in the model (r 2 = 0.70 vs. 0.76, William’s t = −1.81, p = 0.04; Fig. 3a). Cross-validation analysis confirmed that binding assay temperature has the capacity to improve affinity prediction accuracy when applied to unseen testing data (r 2 = 0.46 vs. 0.52; William’s t = −29.84, p = 9.03x10−188; Fig. 3b).Fig. 3Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors Although the dataset examined in this analysis was small, compared to the training data available in the filtered PDBbind data set (~100 vs. ~600 complexes), these results suggest that incorporating parameters describing the experimental conditions used to measure protein-protein binding affinity may be important for training affinity-prediction models. The lack of information describing binding assay conditions in large structure-affinity databases may impose a limit on the accuracy of statistical models constructed from these databases. Protein-protein affinity can be measured by a variety of approaches, some of which may more strongly impact affinity prediction than others. Common technologies used in the protein-protein affinity benchmark database [28] are Isothermal Titration Calorimetry (ITC [61]), surface plasmon resonance (SPR [62]), and inhibition assays [63–66]. We observed a weak but significant correlation between the use of inhibition assays and experimentally-determined affinity values (Spearman correlation = 0.33, p = 1.16x10−4), whereas ITC was weakly negatively correlated with affinity (Spearman correlation = −0.36, p = 1.84x10−5; Additional file 1: Figure S3C). These results suggest that reported affinity measurements are somewhat dependent on the type of assay used: inhibition assays typically result in higher affinities, whereas ITC tends to produce lower affinity values. It is not clear whether this “assay effect” represents a general bias in one or more of the methodologies used to assess binding affinity, or if different methodologies tend to be applied to complexes with higher vs. lower biological affinities. When we included experimental assay method as an explanatory variable in the statistical model, we observed a strong increase in predictive accuracy, assessed by cross-validation (r 2 = 0.35 vs. 0.65; William’s t = −29.84, p = 9.03x10−188; Fig. 3b). In addition, there was no significant difference between training and cross-validation correlation results (Fisher’s z = 1.22, p = 0.11; Fig. 3a,b), suggesting that the optimized statistical model—including assay method—exhibits minimum over-fitting. Incorporating binding assay conditions in our statistical model also resulted in a significant decrease in RMSD between predicted and experimentally-determined affinities (Fig. 3c). Adding binding assay pH to the statistical model reduced RMSD from 2.28 to 1.98 (t-test t = −7.61, p = 2.09x10−12; Mann–Whitney w = 2272, p = 2.66x10−11). Similarly, RMSD decreased from 2.40 to 2.10 when temperature was incorporated (t-test t = −5.80, p = 4.41x10−8; Mann–Whitney w = 3221, p = 1.39x10−5). Finally, RMSD decreased from 2.36 to 1.65 when binding assay method was included as a model parameter (t-test t = −15.58, p = 2.80x10−30; Mann–Whitney w = 383, p = 1.65x10−29). Overall, these results suggest that incorporating information about the experimental conditions used to measure protein-protein affinity can have a strong effect on the predictive accuracy of statistical models. Detailed experimental conditions are generally not incorporated into large-scale structure-affinity databases, which may place a practical upper bound on the accuracy of statistical affinity prediction. Could database errors limit predictive accuracy? Manual examination of specific examples in the protein-protein affinity benchmark database [28] revealed that, in some cases, the conditions of the crystalized complex are so different from the conditions of the binding assay that it is not clear they are biochemically comparable. For example, the crystal structure of Nuclease A (NucA) in complex with intracellular inhibitor NuiA is a D121A mutant (PDB ID 2O3B), whereas the affinity assay was performed using the wild-type NuiA [67]. This particular complex was the 3rd worst prediction made by our statistical model, with a predicted pKd based on the mutant structure of 7.06 vs. an experimental pKd of the wild-type protein of 11.49. It is not clear whether this mis-prediction is due to a poor statistical fit to this complex or to differences between the binding affinities of the mutant vs. wild-type proteins. To evaluate the potential effects of this mismatch on predicted binding affinity accuracy, we generated the wild-type structure of NuiA using homology modeling [68] and re-estimated the binding affinity using the trained statistical model. Modeling the wild-type NuiA in complex with NucA increased the predicted pKd from 7.06 (mutant NuiA) to 7.49, decreasing the difference between predicted and experimentally-determined affinity somewhat, possibly because the D121A mutation disrupted a hydrogen bond between wild-type NuiA’s D121 and NucA’s E24 (Fig. 4).Fig. 4Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line) Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line) Although the significance of the improvement in this single ‘case study’ cannot be evaluated statistically—and is likely to depend on the specific scientific question being considered—this result does suggest that small differences between the crystalized protein-protein complex and the complex whose binding affinity is measured—in this case a single amino acid mutation—may have a measurably negative affect on the accuracy of affinity prediction. The extent of similar errors in large-scale structure-affinity databases is unknown. Missing information about key affinity-determining factors from either the crystallization or affinity experiments could also affect affinity prediction accuracy. In one example, the crystal structure of GTP-Bound Rab4Q67L GTPase in complex with the central Rab binding domain of Rabenosyn-5 (PDB ID 1Z0K) has an additional cofactor, 2-(N-morpholino)-ethanesulfonic acid or MES, which was not present in the binding assay [69]. This complex was the 4th worst prediction made by the statistical model (predicted pKd = 9.14; experimental pKd = 5.11). Although the extent to which the presence/absence of the MES cofactor may have affected affinity prediction is unclear, that the crystalized complex does not correspond to the complex assayed in the experimental affinity measurement raises concerns about the accuracy of this database entry. Other examples of missing information likely to affect affinity prediction could be manually identified from the affinity benchmark database [28], many of which appear to have had a negative impact on affinity predictions made by our statistical model (see Additional file 1: Text S2). Overall, we found 4 of the 10 worst predictions made by the statistical model were for complexes with obvious mismatches between crystallization and binding assay conditions or cases in which information potentially impacting affinity measurement or crystallization was missing from the database (Additional file 1: Table S4). These potential database errors were identifiable due to the amount of detail provided in small curated databases like the protein-protein affinity benchmark [28]. However, we expect similar potential issues exist in large-scale databases like PDBbind and BindingDB, which together contain >10,000 protein-ligand structures [30, 57]. Many of the entries in these large structure-affinity databases lack information concerning binding assay and/or crystallization conditions. Our results suggest that this information may be critical for supporting accurate, high-throughput affinity prediction and also important for identifying potential database errors. We also identified a handful of cases in which binding affinity values were incorrectly entered in the PDBbind database. For example, the binding affinity (pKd) assigned to Human prolactin (hPRL) in complex with its receptor is 0.67 in PDBbind, whereas the experimentally-determined binding affinity from the literature is >5.65, depending on pH [70]. Similarly, the prolactin and prolactin receptor mutant complex has an assigned pKd of 1.03 in PDBbind, whereas the affinity from the literature is 6.14 [70]. Although these particular cases were manually corrected in the filtered dataset used for this study, the extent to which various errors are present in large structure-affinity databases remains unknown, making it difficult to characterize the potential effects of database errors on affinity prediction. Manual examination of specific examples in the protein-protein affinity benchmark database [28] revealed that, in some cases, the conditions of the crystalized complex are so different from the conditions of the binding assay that it is not clear they are biochemically comparable. For example, the crystal structure of Nuclease A (NucA) in complex with intracellular inhibitor NuiA is a D121A mutant (PDB ID 2O3B), whereas the affinity assay was performed using the wild-type NuiA [67]. This particular complex was the 3rd worst prediction made by our statistical model, with a predicted pKd based on the mutant structure of 7.06 vs. an experimental pKd of the wild-type protein of 11.49. It is not clear whether this mis-prediction is due to a poor statistical fit to this complex or to differences between the binding affinities of the mutant vs. wild-type proteins. To evaluate the potential effects of this mismatch on predicted binding affinity accuracy, we generated the wild-type structure of NuiA using homology modeling [68] and re-estimated the binding affinity using the trained statistical model. Modeling the wild-type NuiA in complex with NucA increased the predicted pKd from 7.06 (mutant NuiA) to 7.49, decreasing the difference between predicted and experimentally-determined affinity somewhat, possibly because the D121A mutation disrupted a hydrogen bond between wild-type NuiA’s D121 and NucA’s E24 (Fig. 4).Fig. 4Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line) Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line) Although the significance of the improvement in this single ‘case study’ cannot be evaluated statistically—and is likely to depend on the specific scientific question being considered—this result does suggest that small differences between the crystalized protein-protein complex and the complex whose binding affinity is measured—in this case a single amino acid mutation—may have a measurably negative affect on the accuracy of affinity prediction. The extent of similar errors in large-scale structure-affinity databases is unknown. Missing information about key affinity-determining factors from either the crystallization or affinity experiments could also affect affinity prediction accuracy. In one example, the crystal structure of GTP-Bound Rab4Q67L GTPase in complex with the central Rab binding domain of Rabenosyn-5 (PDB ID 1Z0K) has an additional cofactor, 2-(N-morpholino)-ethanesulfonic acid or MES, which was not present in the binding assay [69]. This complex was the 4th worst prediction made by the statistical model (predicted pKd = 9.14; experimental pKd = 5.11). Although the extent to which the presence/absence of the MES cofactor may have affected affinity prediction is unclear, that the crystalized complex does not correspond to the complex assayed in the experimental affinity measurement raises concerns about the accuracy of this database entry. Other examples of missing information likely to affect affinity prediction could be manually identified from the affinity benchmark database [28], many of which appear to have had a negative impact on affinity predictions made by our statistical model (see Additional file 1: Text S2). Overall, we found 4 of the 10 worst predictions made by the statistical model were for complexes with obvious mismatches between crystallization and binding assay conditions or cases in which information potentially impacting affinity measurement or crystallization was missing from the database (Additional file 1: Table S4). These potential database errors were identifiable due to the amount of detail provided in small curated databases like the protein-protein affinity benchmark [28]. However, we expect similar potential issues exist in large-scale databases like PDBbind and BindingDB, which together contain >10,000 protein-ligand structures [30, 57]. Many of the entries in these large structure-affinity databases lack information concerning binding assay and/or crystallization conditions. Our results suggest that this information may be critical for supporting accurate, high-throughput affinity prediction and also important for identifying potential database errors. We also identified a handful of cases in which binding affinity values were incorrectly entered in the PDBbind database. For example, the binding affinity (pKd) assigned to Human prolactin (hPRL) in complex with its receptor is 0.67 in PDBbind, whereas the experimentally-determined binding affinity from the literature is >5.65, depending on pH [70]. Similarly, the prolactin and prolactin receptor mutant complex has an assigned pKd of 1.03 in PDBbind, whereas the affinity from the literature is 6.14 [70]. Although these particular cases were manually corrected in the filtered dataset used for this study, the extent to which various errors are present in large structure-affinity databases remains unknown, making it difficult to characterize the potential effects of database errors on affinity prediction.
Conclusion
Although careful manual curation can be used to develop high-quality structure-affinity databases, this approach is unlikely to scale up to the number of structures required for training robust, generalizable predictive models. A possible computational approach to building high-quality, large-scale structure-affinity databases would be to extract detailed information about crystallographic and affinity-measurement conditions directly from scientific literature using text-mining approaches [73–75], although errors in text-mining could then potentially propagate to training databases. Alternatively, authors could be encouraged to directly supply the required information as part of a database submission policy associated with scientific publication. This approach has been successfully used to develop the Protein Data Bank [32], Genbank [76] and similar community resources. Ultimately, it may be up to the community of researchers to develop the standards and practices necessary to support large-scale investigations of the general structural basis for protein-protein interactions.
[ "Structural dataset curation", "Statistical modeling, model selection and cross-validation", "Incorporating additional structural features improves protein-protein affinity prediction", "Crystal resolution affects protein-protein affinity prediction accuracy", "Lack of information on binding assay conditions impairs protein-protein affinity prediction", "Could database errors limit predictive accuracy?", "" ]
[ "X-ray and NMR structures of protein-protein complexes and their associated binding affinities (−log10-transformed dissociation constants, pKds) were obtained from PDBbind [30] and from the protein-protein affinity benchmark database [28]. Complexes with ambiguous ligand information were excluded, as were complexes with multiple ligands or mulitimeric proteins, similar to previous approaches applied for building refined protein-ligand data sets [11, 30, 31]. From each protein − protein complex, we extracted a suite of non-redundant atom-atom interactions thought to potentially correlate with ligand affinity. Details on how each atom-atom interaction is defined and calculated are presented in our previous work [22]. We included only those atomic interactions that could be determined entirely from atomic coordinates and atom types in a standard PDB file.\nFor each protein-protein complex, we extracted additional information on structure acquisition method, temperature, pH, and crystal resolution from the Protein Data Bank [32]. We constructed data sets of 569 protein-protein complexes with assigned temperature data, 545 complexes with pH information and 622 complexes with acquisition method and resolution information. When several temperature values were available for the same structure, we used the mean temperature. We constructed filtered data sets based on structural resolution and acquisition method, with 205 high-resolution structures (≤2.5 Å) and 165 NMR structures.\nFor each complex, we extracted additional information on binding assay pH, temperature, and methodology from the protein-protein affinity benchmark database, which is a nonredundant set of 144 protein-protein complexes with detailed information on the experimental methods used for measuring binding affinities [28]. We extracted pH data for 127 complexes, temperature data for 103 complexes and binding assay technology for 136 complexes. Information available for each protein-protein complex is provided in Additional file 1: Table S1.", "We updated the original version of our protein-protein affinity prediction model [22] by adding parameters for estimating hydrophobic surface tension and hydrophobicity. The hydrophobicity algorithm used is adapted from [33]. Each amino acid in the surface has a pre-defined hydrophobicity score, modulated by peptide endings and varying between approximately −1 (most hydrophilic) and +2 (most hydrophobic). The surface tension parameter was calculated by summing the atomic contributions of each amino acid to the protein surface tension. These atomic contribution scores were adapted from [34]. Other atom-atom interaction terms in the present statistical model are identical to those defined and evaluated in our previous work [22].\nStatistical models were implemented using a generalized linear model framework (GLM, implemented in the GLMULTI package in R), assuming a Gaussian error distribution with logarithmic link function. We used the GLMULTI genetic algorithm to generate 500 candidate models (default parameters, except population size = 500, level = 2, and marginality enabled) and selected the best-fit model for each training dataset using the Akaike information criterion (AIC).\nWe evaluated the potential for new features to improve affinity prediction models by calculating the Pearson correlation (r\n2) between predicted and experimental binding affinities on the training data after model fitting, which represents the ‘best-case’ possible accuracy.\nWe then used cross-validation to estimate the expected accuracy of each trained statistical model when applied to new data and to evaluate possible model over-fitting to training data [13, 14]. For each model, we performed 100 replicates of leave-one-out cross-validation. For each replicate, we randomly partitioned the structural data into a testing data set of size n = 1, with the remaining complexes used to train the regression model. We calculated the Pearson correlation (r\n2) and root mean squared deviation (RMSD) between predicted and experimentally-determined binding affinities on the unseen testing data and report the average r\n2 and RMSD of each model over the 100 replicates.\nDifferences in accuracy were assessed using the parametric two-tailed, two-sample t test, assuming unequal variances, and the nonparametric Mann–Whitney U test. For evaluating the effects of dataset subsampling on predictive accuracy, we used Fisher’s z-transformation, which incorporates a correction for comparing results obtained on a subsample to results from the full dataset (33). In addition, we performed 1000 replicates of random subsampling to evaluate the expected effect of subsampling on predictive accuracy.", "We have previously developed statistical approaches for predicting protein-protein affinity incorporating a wide range of atom-atom interaction terms expected to impact macromolecular interactions [22]. However, in those analyses, protein-protein affinities could not be predicted with >0.49 correlation, after cross-validation. Applying these models to our filtered PDBbind dataset resulted in a correlation between predicted and experimentally-determined binding affinities of 0.44 in cross-validation analyses (Fig. 1a).Fig. 1Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling\n\nIncluding additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling\nWe did find that including additional atom-atom interaction terms can improve the accuracy of affinity-prediction models. For example, hydrophobicity [33] and surface tension parameters [34] are weakly correlated with binding affinity across the filtered PDBbind dataset (Spearman correlation >0.10, p < 7.48x10−3; Additional file 1: Figure S2A). Incorporating these parameters into the predictive model improved the correlation between predicted and experimentally-determined affinities in cross-validation analyses from 0.44 to 0.54 (one-tailed Fisher’s z = 2.04, p = 0.0207; Fig. 1a).\nWe also evaluated the relationship between binding affinity and structural changes caused by protein-protein binding by examining the change in conformational entropy upon complex formation. This can be roughly calculated by comparing the structure of the bound complex (holo) to the unbound (apo) structures and has been successfully applied for predicting binding affinity in a small dataset of 17 protein-protein complexes [41].\nWe extracted 143 holo complexes with corresponding apo structures from the protein-protein affinity benchmark database (Additional file 1: Table S2). Differences between holo and the apo forms were characterized by calculating root mean squared deviations (RMSDs) and changes in the accessible-to-solvent surface area upon complex formation. Although RMSD was not correlated with experimental binding affinity (Spearman correlation = 0.02, p = 0.73), we did observe a significant correlation between binding affinity and the change in accessible-to-solvent area caused by formation of the protein-protein binding interface, suggesting that this parameter may be useful for improving affinity prediction (Spearman correlation = −0.28, p = 8.63x10−4, Additional file 1: Figure S2B).\nCross-validation analysis confirmed that including changes in the accessible-to-solvent area as an explanatory variable improved affinity prediction accuracy, both on the Affinity Benchmark database (r\n2 = 0.41 vs. 0.55; William’s test p = 2.3x10−3) and the filtered PDBBind database (r\n2 = 0.46 vs. 0.49; William’s test p = 2.6x10−3; Fig. 1b).\nScoring functions that exhibit a Pearson correlation >0.72 and an RMSD <2 Å between predicted and experimental binding affinity in cross-validation analyses are commonly characterized as providing robust affinity inferences [11, 40, 42–44]. While our results do suggest that incorporating additional structural information can improve protein-protein affinity prediction, the improvements in accuracy we observed were generally incremental, and even best-case accuracy currently remains too low to support robust affinity inferences.\nExisting studies of protein-protein affinity prediction have occasionally identified models capable of accurately predicting affinities on carefully curated small datasets, but accurate prediction of protein-protein affinity across large structure-affinity databases has remained unobtainable [23]. This could be due to lack of generalizability, possibly because curation of small datasets may inadvertently select for a subset of the structural features present in large-scale databases. Alternatively, the quality of both structural and affinity data in large databases could be highly variable, making some complexes more ‘difficult’ to accurately predict than others and potentially misleading model training procedures. Currently, almost nothing is known about how variation in characteristics of the structural and experimental data in structure-affinity databases might impact protein-protein affinity prediction. We examine this potential issue for the remainder of this study.", "Crystallographic resolution is proportional to the precision of the 3-dimensional coordinates of the atoms in the structure. Typically, high-resolution structures (<2.5 Å) exhibit correct folding, have very small numbers of incorrect rotamers and present accurate surface loops. In contrast, low-resolution structures (>3.5 Å) are more likely to result in folding errors or incorrectly-modeled surface loops [45, 46]. We hypothesized that high-resolution structures would produce more reliable atom-atom interaction calculations and result in more accurate binding affinity predictions.\nWe did observe a weak but significant correlation between crystal resolution and the difference between predicted and experimental binding affinities (r\n2 = 0.11, p = 5.26x10−3; Additional file 1: Figure S3A). However, including crystal resolution as a parameter in the affinity prediction model did not improve the correlation between predicted and experimental affinities, even across complexes included in the training dataset (r\n2 = 0.64 vs. 0.65; Fisher one-tailed z = 0.16, p = 0.87; Fig. 2a). These results suggest that using crystal resolution as an explanatory variable in the model is unlikely to improve affinity prediction accuracy, even in the ‘best case’ scenario in which new data ‘look’ exactly like the data used for training.Fig. 2High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r\n2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors\n\nHigh-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r\n2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors\nHowever, constraining our training dataset to only include high-resolution structures (<2.5 Å, resulting in 205 protein-protein complexes) improved the correlation between predicted and experimental affinities on training data from 0.64 to 0.85 (Fisher one-tailed z = 6.14, p = 7.97x10−10; Fig. 2b). Furthermore, cross-validation analysis using only high-resolution structures resulted in increased predictive accuracy when applied to new data not included in training (r\n2 = 0.54 vs. 0.68; Fisher two-tailed z = 2.85, p = 4.32x10−3; Fig. 2c,d).\nAlthough Fisher’s z-transformation incorporates a correction for comparing results obtained on a subsample to results from the full dataset [47], we were concerned that selecting a subsample of the original testing data could lead to a spurious improvement in predictive accuracy, irrespective of the effects of higher crystal resolution. However, when we randomly selected subsets of equivalent size, accuracy never improved to the extent observed for the high-resolution dataset (p < 4x10−3; Fig. 2b).\nAlthough these results suggest that training protein-protein affinity prediction using high-resolution structures may improve predictive accuracy, different types of complexes are likely to crystalize at different resolutions. If complexes whose affinities are more difficult to predict for inherent reasons also tend to crystalize at lower resolution, the effects of resolution on predictive accuracy may be indirect.\nTo address this issue, we grouped protein-protein complexes into clusters based on 90% sequence identity. Within each cluster of similar complexes, we calculated the correlation between crystal resolution and affinity prediction accuracy (Additional file 1: Table S3). Although there were only 21 clusters with >3 similar complexes in our dataset, we did find that all the clusters exhibiting a significant correlation between resolution and affinity prediction were consistent with the expectation that higher-resolution structures produced more accurate affinity predictions. While it is not possible to generalize from such limited data, these results do suggest that higher resolution structures may improve affinity prediction accuracy across at least some groups of similar protein-protein complexes.\nRestricting training and testing data to either high-resolution or NMR data also resulted in a reduction of root-mean squared deviation (RMSD) between predicted and experimental affinities, compared to the original dataset (high-resolution and NMR RMSDs = 1.79 and 1.56, respectively, vs. 1.90 for the original dataset, t-test p < 0.03, Mann–Whitney p < 0.01; Fig. 2d). Together, these results suggest that training statistical models using high-resolution crystal structures or NMR data may improve affinity prediction accuracy when trained models are applied to new data.\nIt is interesting that restricting training data to NMR structures also improved predictive accuracy (see Fig. 2), as the resolution of NMR structures is typically lower than X-ray crystal structures. However, NMR structures are determined from proteins in solution, which may more accurately reflect the native functional environment of the protein [48, 49]. The capacity to capture protein-protein interactions in solution may contribute to the improved predictive accuracy of models trained using NMR data, particularly for cases in which the crystallographic process might introduce structural artifacts.\nExperimental conditions such as temperature and pH are critical for the formation and stability of a protein crystal [50]. However, the optimal conditions for crystallization may differ from those used for measuring binding affinity, potentially creating a mismatch between a crystalized protein-protein complex and that same complex in experimental solution. To examine the potential effects of crystallization conditions on protein-protein affinity prediction, we extracted temperature and pH information from the Protein Data Bank [51] for the complexes in our training dataset and evaluated the effect of including this information on predictive accuracy. Although both crystallization temperature and pH were weakly negatively correlated with experimental binding affinity (r\n2 = −0.26, p = 4.91x10−10 and r\n2 = −0.16, p = 1.96x10−4 for temperature and pH, respectively. Additional file 1: Figure S3B), we observed no improvement in predictive accuracy when these parameters were incorporated into the statistical model (Fisher one-tailed z < 0.1, p > 0.92; Fig. 2a).\nOverall, these results suggest that the quality of structural data can affect the accuracy of statistical affinity prediction, and that training models using high-quality structures may be one avenue available to improve protein-protein and other affinity predictions. While limiting training data to high-resolution structures was not required for accurate prediction of protein-small molecule or protein-DNA/RNA affinities in our previous analysis [22], protein-protein complexes typically have larger numbers of atoms at the protein-ligand interface and may be more sensitive to potential errors induced by lower crystal resolution. Differences in crystal resolution across protein-small molecule, protein-DNA/RNA and protein-protein training datasets may also contribute to differences in affinity prediction accuracy.", "In addition to crystallographic conditions or resolution, variation in the experimental conditions and assays used to measure binding affinity could affect prediction accuracy. Different proteins can have dramatically different activities across temperature, pH and concentration of ions or cofactors [52, 53], and assay conditions have been shown to strongly affect reaction rates [54–56].\nEven though experimental conditions can be critical for evaluating affinity measurements, this information is not available in the major structure-affinity databases used for training statistical predictors [30, 57]. Detailed experimental information is available for a small protein-protein affinity benchmark database [28]. After excluding complexes with missing data, we obtained 127 protein-protein complexes with data indicating the pH of the binding affinity experiment and 103 complexes with temperature information (Additional file 1: Table S2).\nWe found no significant increase in the correlation between predicted and experimental affinities when binding experiment pH was included as an explanatory variable, even across data used to train the model (r\n2 = 0.67 vs. 0.69, William’s t = 0.43, p = 0.34; Fig. 3a). Although pH has been shown to affect binding affinity measurements in some systems [58–60], the effect of pH on pKd may depend on particular properties of the specific interacting proteins. We did observe a small, marginally-significant increase in correlation when including temperature in the model (r\n2 = 0.70 vs. 0.76, William’s t = −1.81, p = 0.04; Fig. 3a). Cross-validation analysis confirmed that binding assay temperature has the capacity to improve affinity prediction accuracy when applied to unseen testing data (r\n2 = 0.46 vs. 0.52; William’s t = −29.84, p = 9.03x10−188; Fig. 3b).Fig. 3Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors\n\nIncorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors\nAlthough the dataset examined in this analysis was small, compared to the training data available in the filtered PDBbind data set (~100 vs. ~600 complexes), these results suggest that incorporating parameters describing the experimental conditions used to measure protein-protein binding affinity may be important for training affinity-prediction models. The lack of information describing binding assay conditions in large structure-affinity databases may impose a limit on the accuracy of statistical models constructed from these databases.\nProtein-protein affinity can be measured by a variety of approaches, some of which may more strongly impact affinity prediction than others. Common technologies used in the protein-protein affinity benchmark database [28] are Isothermal Titration Calorimetry (ITC [61]), surface plasmon resonance (SPR [62]), and inhibition assays [63–66].\nWe observed a weak but significant correlation between the use of inhibition assays and experimentally-determined affinity values (Spearman correlation = 0.33, p = 1.16x10−4), whereas ITC was weakly negatively correlated with affinity (Spearman correlation = −0.36, p = 1.84x10−5; Additional file 1: Figure S3C). These results suggest that reported affinity measurements are somewhat dependent on the type of assay used: inhibition assays typically result in higher affinities, whereas ITC tends to produce lower affinity values. It is not clear whether this “assay effect” represents a general bias in one or more of the methodologies used to assess binding affinity, or if different methodologies tend to be applied to complexes with higher vs. lower biological affinities.\nWhen we included experimental assay method as an explanatory variable in the statistical model, we observed a strong increase in predictive accuracy, assessed by cross-validation (r\n2 = 0.35 vs. 0.65; William’s t = −29.84, p = 9.03x10−188; Fig. 3b). In addition, there was no significant difference between training and cross-validation correlation results (Fisher’s z = 1.22, p = 0.11; Fig. 3a,b), suggesting that the optimized statistical model—including assay method—exhibits minimum over-fitting.\nIncorporating binding assay conditions in our statistical model also resulted in a significant decrease in RMSD between predicted and experimentally-determined affinities (Fig. 3c). Adding binding assay pH to the statistical model reduced RMSD from 2.28 to 1.98 (t-test t = −7.61, p = 2.09x10−12; Mann–Whitney w = 2272, p = 2.66x10−11). Similarly, RMSD decreased from 2.40 to 2.10 when temperature was incorporated (t-test t = −5.80, p = 4.41x10−8; Mann–Whitney w = 3221, p = 1.39x10−5). Finally, RMSD decreased from 2.36 to 1.65 when binding assay method was included as a model parameter (t-test t = −15.58, p = 2.80x10−30; Mann–Whitney w = 383, p = 1.65x10−29).\nOverall, these results suggest that incorporating information about the experimental conditions used to measure protein-protein affinity can have a strong effect on the predictive accuracy of statistical models. Detailed experimental conditions are generally not incorporated into large-scale structure-affinity databases, which may place a practical upper bound on the accuracy of statistical affinity prediction.", "Manual examination of specific examples in the protein-protein affinity benchmark database [28] revealed that, in some cases, the conditions of the crystalized complex are so different from the conditions of the binding assay that it is not clear they are biochemically comparable. For example, the crystal structure of Nuclease A (NucA) in complex with intracellular inhibitor NuiA is a D121A mutant (PDB ID 2O3B), whereas the affinity assay was performed using the wild-type NuiA [67]. This particular complex was the 3rd worst prediction made by our statistical model, with a predicted pKd based on the mutant structure of 7.06 vs. an experimental pKd of the wild-type protein of 11.49. It is not clear whether this mis-prediction is due to a poor statistical fit to this complex or to differences between the binding affinities of the mutant vs. wild-type proteins.\nTo evaluate the potential effects of this mismatch on predicted binding affinity accuracy, we generated the wild-type structure of NuiA using homology modeling [68] and re-estimated the binding affinity using the trained statistical model. Modeling the wild-type NuiA in complex with NucA increased the predicted pKd from 7.06 (mutant NuiA) to 7.49, decreasing the difference between predicted and experimentally-determined affinity somewhat, possibly because the D121A mutation disrupted a hydrogen bond between wild-type NuiA’s D121 and NucA’s E24 (Fig. 4).Fig. 4Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line)\n\nDatabase errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line)\nAlthough the significance of the improvement in this single ‘case study’ cannot be evaluated statistically—and is likely to depend on the specific scientific question being considered—this result does suggest that small differences between the crystalized protein-protein complex and the complex whose binding affinity is measured—in this case a single amino acid mutation—may have a measurably negative affect on the accuracy of affinity prediction. The extent of similar errors in large-scale structure-affinity databases is unknown.\nMissing information about key affinity-determining factors from either the crystallization or affinity experiments could also affect affinity prediction accuracy. In one example, the crystal structure of GTP-Bound Rab4Q67L GTPase in complex with the central Rab binding domain of Rabenosyn-5 (PDB ID 1Z0K) has an additional cofactor, 2-(N-morpholino)-ethanesulfonic acid or MES, which was not present in the binding assay [69]. This complex was the 4th worst prediction made by the statistical model (predicted pKd = 9.14; experimental pKd = 5.11). Although the extent to which the presence/absence of the MES cofactor may have affected affinity prediction is unclear, that the crystalized complex does not correspond to the complex assayed in the experimental affinity measurement raises concerns about the accuracy of this database entry.\nOther examples of missing information likely to affect affinity prediction could be manually identified from the affinity benchmark database [28], many of which appear to have had a negative impact on affinity predictions made by our statistical model (see Additional file 1: Text S2). Overall, we found 4 of the 10 worst predictions made by the statistical model were for complexes with obvious mismatches between crystallization and binding assay conditions or cases in which information potentially impacting affinity measurement or crystallization was missing from the database (Additional file 1: Table S4).\nThese potential database errors were identifiable due to the amount of detail provided in small curated databases like the protein-protein affinity benchmark [28]. However, we expect similar potential issues exist in large-scale databases like PDBbind and BindingDB, which together contain >10,000 protein-ligand structures [30, 57]. Many of the entries in these large structure-affinity databases lack information concerning binding assay and/or crystallization conditions. Our results suggest that this information may be critical for supporting accurate, high-throughput affinity prediction and also important for identifying potential database errors.\nWe also identified a handful of cases in which binding affinity values were incorrectly entered in the PDBbind database. For example, the binding affinity (pKd) assigned to Human prolactin (hPRL) in complex with its receptor is 0.67 in PDBbind, whereas the experimentally-determined binding affinity from the literature is >5.65, depending on pH [70]. Similarly, the prolactin and prolactin receptor mutant complex has an assigned pKd of 1.03 in PDBbind, whereas the affinity from the literature is 6.14 [70]. Although these particular cases were manually corrected in the filtered dataset used for this study, the extent to which various errors are present in large structure-affinity databases remains unknown, making it difficult to characterize the potential effects of database errors on affinity prediction.", "\nAdditional file 1:Appendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb)\n\nAppendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb)" ]
[ null, null, null, null, null, null, null ]
[ "Background", "Methods", "Structural dataset curation", "Statistical modeling, model selection and cross-validation", "Results", "Incorporating additional structural features improves protein-protein affinity prediction", "Crystal resolution affects protein-protein affinity prediction accuracy", "Lack of information on binding assay conditions impairs protein-protein affinity prediction", "Could database errors limit predictive accuracy?", "Discussion", "Conclusion", "Additional file", "" ]
[ "Proteins are involved in the majority of chemical reactions that take place within living cells, making them essential for all aspects of cellular function. Proteins never work in isolation; their functional repertoire is determined by how they interact with various small-molecule, DNA/RNA, protein or other ligands. Ligand affinity is largely determined by a protein’s 3-dimensional structure, which determines the spatial conformation of attractive and repulsive forces between the protein and a potential ligand [1–3]. The affinity with which a protein interacts with various ligands–typically expressed as the dissociation constant (Kd or pKd = −log Kd)—provides critical information about protein function and biochemistry, and has been used for the discovery and optimization of novel pharmaceuticals [4–6].\nHigh-throughput prediction of protein-ligand affinity is typically conducted using a fast statistical “scoring function” that decomposes binding affinity into component atom-atom interaction terms representing the attractive and repulsive forces acting across the protein-ligand complex [7, 8]. Although scoring functions can be derived directly from physical chemistry principles [9], the most effective approaches are usually “trained” using large databases of structural complexes with associated experimentally-determined binding affinities [10–12]. After training, a model’s expected predictive accuracy can be gauged by correlating its predicted affinities with experimentally-determined values across a novel dataset not included in training [13, 14].\nMany scoring functions are capable of using only the atomic interactions extracted from crystal structures to rapidly predict protein-small molecule affinities with >70% correlation, which is commonly considered adequate to support structure-based drug design [11, 15–21]. Recently, we developed efficient statistical models capable of predicting protein-DNA/RNA affinities with similar accuracy [22]. Our structure-based prediction models also revealed that different combinations of atom-atom interactions are important for predicting different types of protein-ligand complexes. However, no statistical models we examined were capable of predicting protein-protein affinity with >60% correlation, even under the ‘best case’ scenario in which the protein-protein complex was known experimentally.\nAccurate prediction of protein-protein interactions is a major goal of computational structural biology, and many approaches have been examined to improve the accuracy of protein-protein affinity prediction [23]. The structural basis of protein-protein interactions is typically more complex and flexible than other protein-ligand interactions, suggesting that entropic forces may be more important in protein-protein interactions [24, 25]. Physics-based approaches such as molecular dynamics can model entropic factors and produce highly-accurate affinity predictions but are too computationally complex to support high-throughput analyses [10–12, 17, 26, 27]. As an alternative approach, smaller manually-curated affinity benchmarks have been proposed to improve the accuracy of high-throughput statistical affinity prediction [28]. However, predictive accuracy on manually-curated datasets rarely exceeds ~60% correlation [29], and accuracy achieved using carefully curated datasets may not generalize well to new data. Importantly, the specific factors that may influence statistical prediction of protein-protein affinity have not been identified, making it difficult to devise reasonable strategies to improve current methods.", " Structural dataset curation X-ray and NMR structures of protein-protein complexes and their associated binding affinities (−log10-transformed dissociation constants, pKds) were obtained from PDBbind [30] and from the protein-protein affinity benchmark database [28]. Complexes with ambiguous ligand information were excluded, as were complexes with multiple ligands or mulitimeric proteins, similar to previous approaches applied for building refined protein-ligand data sets [11, 30, 31]. From each protein − protein complex, we extracted a suite of non-redundant atom-atom interactions thought to potentially correlate with ligand affinity. Details on how each atom-atom interaction is defined and calculated are presented in our previous work [22]. We included only those atomic interactions that could be determined entirely from atomic coordinates and atom types in a standard PDB file.\nFor each protein-protein complex, we extracted additional information on structure acquisition method, temperature, pH, and crystal resolution from the Protein Data Bank [32]. We constructed data sets of 569 protein-protein complexes with assigned temperature data, 545 complexes with pH information and 622 complexes with acquisition method and resolution information. When several temperature values were available for the same structure, we used the mean temperature. We constructed filtered data sets based on structural resolution and acquisition method, with 205 high-resolution structures (≤2.5 Å) and 165 NMR structures.\nFor each complex, we extracted additional information on binding assay pH, temperature, and methodology from the protein-protein affinity benchmark database, which is a nonredundant set of 144 protein-protein complexes with detailed information on the experimental methods used for measuring binding affinities [28]. We extracted pH data for 127 complexes, temperature data for 103 complexes and binding assay technology for 136 complexes. Information available for each protein-protein complex is provided in Additional file 1: Table S1.\nX-ray and NMR structures of protein-protein complexes and their associated binding affinities (−log10-transformed dissociation constants, pKds) were obtained from PDBbind [30] and from the protein-protein affinity benchmark database [28]. Complexes with ambiguous ligand information were excluded, as were complexes with multiple ligands or mulitimeric proteins, similar to previous approaches applied for building refined protein-ligand data sets [11, 30, 31]. From each protein − protein complex, we extracted a suite of non-redundant atom-atom interactions thought to potentially correlate with ligand affinity. Details on how each atom-atom interaction is defined and calculated are presented in our previous work [22]. We included only those atomic interactions that could be determined entirely from atomic coordinates and atom types in a standard PDB file.\nFor each protein-protein complex, we extracted additional information on structure acquisition method, temperature, pH, and crystal resolution from the Protein Data Bank [32]. We constructed data sets of 569 protein-protein complexes with assigned temperature data, 545 complexes with pH information and 622 complexes with acquisition method and resolution information. When several temperature values were available for the same structure, we used the mean temperature. We constructed filtered data sets based on structural resolution and acquisition method, with 205 high-resolution structures (≤2.5 Å) and 165 NMR structures.\nFor each complex, we extracted additional information on binding assay pH, temperature, and methodology from the protein-protein affinity benchmark database, which is a nonredundant set of 144 protein-protein complexes with detailed information on the experimental methods used for measuring binding affinities [28]. We extracted pH data for 127 complexes, temperature data for 103 complexes and binding assay technology for 136 complexes. Information available for each protein-protein complex is provided in Additional file 1: Table S1.\n Statistical modeling, model selection and cross-validation We updated the original version of our protein-protein affinity prediction model [22] by adding parameters for estimating hydrophobic surface tension and hydrophobicity. The hydrophobicity algorithm used is adapted from [33]. Each amino acid in the surface has a pre-defined hydrophobicity score, modulated by peptide endings and varying between approximately −1 (most hydrophilic) and +2 (most hydrophobic). The surface tension parameter was calculated by summing the atomic contributions of each amino acid to the protein surface tension. These atomic contribution scores were adapted from [34]. Other atom-atom interaction terms in the present statistical model are identical to those defined and evaluated in our previous work [22].\nStatistical models were implemented using a generalized linear model framework (GLM, implemented in the GLMULTI package in R), assuming a Gaussian error distribution with logarithmic link function. We used the GLMULTI genetic algorithm to generate 500 candidate models (default parameters, except population size = 500, level = 2, and marginality enabled) and selected the best-fit model for each training dataset using the Akaike information criterion (AIC).\nWe evaluated the potential for new features to improve affinity prediction models by calculating the Pearson correlation (r\n2) between predicted and experimental binding affinities on the training data after model fitting, which represents the ‘best-case’ possible accuracy.\nWe then used cross-validation to estimate the expected accuracy of each trained statistical model when applied to new data and to evaluate possible model over-fitting to training data [13, 14]. For each model, we performed 100 replicates of leave-one-out cross-validation. For each replicate, we randomly partitioned the structural data into a testing data set of size n = 1, with the remaining complexes used to train the regression model. We calculated the Pearson correlation (r\n2) and root mean squared deviation (RMSD) between predicted and experimentally-determined binding affinities on the unseen testing data and report the average r\n2 and RMSD of each model over the 100 replicates.\nDifferences in accuracy were assessed using the parametric two-tailed, two-sample t test, assuming unequal variances, and the nonparametric Mann–Whitney U test. For evaluating the effects of dataset subsampling on predictive accuracy, we used Fisher’s z-transformation, which incorporates a correction for comparing results obtained on a subsample to results from the full dataset (33). In addition, we performed 1000 replicates of random subsampling to evaluate the expected effect of subsampling on predictive accuracy.\nWe updated the original version of our protein-protein affinity prediction model [22] by adding parameters for estimating hydrophobic surface tension and hydrophobicity. The hydrophobicity algorithm used is adapted from [33]. Each amino acid in the surface has a pre-defined hydrophobicity score, modulated by peptide endings and varying between approximately −1 (most hydrophilic) and +2 (most hydrophobic). The surface tension parameter was calculated by summing the atomic contributions of each amino acid to the protein surface tension. These atomic contribution scores were adapted from [34]. Other atom-atom interaction terms in the present statistical model are identical to those defined and evaluated in our previous work [22].\nStatistical models were implemented using a generalized linear model framework (GLM, implemented in the GLMULTI package in R), assuming a Gaussian error distribution with logarithmic link function. We used the GLMULTI genetic algorithm to generate 500 candidate models (default parameters, except population size = 500, level = 2, and marginality enabled) and selected the best-fit model for each training dataset using the Akaike information criterion (AIC).\nWe evaluated the potential for new features to improve affinity prediction models by calculating the Pearson correlation (r\n2) between predicted and experimental binding affinities on the training data after model fitting, which represents the ‘best-case’ possible accuracy.\nWe then used cross-validation to estimate the expected accuracy of each trained statistical model when applied to new data and to evaluate possible model over-fitting to training data [13, 14]. For each model, we performed 100 replicates of leave-one-out cross-validation. For each replicate, we randomly partitioned the structural data into a testing data set of size n = 1, with the remaining complexes used to train the regression model. We calculated the Pearson correlation (r\n2) and root mean squared deviation (RMSD) between predicted and experimentally-determined binding affinities on the unseen testing data and report the average r\n2 and RMSD of each model over the 100 replicates.\nDifferences in accuracy were assessed using the parametric two-tailed, two-sample t test, assuming unequal variances, and the nonparametric Mann–Whitney U test. For evaluating the effects of dataset subsampling on predictive accuracy, we used Fisher’s z-transformation, which incorporates a correction for comparing results obtained on a subsample to results from the full dataset (33). In addition, we performed 1000 replicates of random subsampling to evaluate the expected effect of subsampling on predictive accuracy.", "X-ray and NMR structures of protein-protein complexes and their associated binding affinities (−log10-transformed dissociation constants, pKds) were obtained from PDBbind [30] and from the protein-protein affinity benchmark database [28]. Complexes with ambiguous ligand information were excluded, as were complexes with multiple ligands or mulitimeric proteins, similar to previous approaches applied for building refined protein-ligand data sets [11, 30, 31]. From each protein − protein complex, we extracted a suite of non-redundant atom-atom interactions thought to potentially correlate with ligand affinity. Details on how each atom-atom interaction is defined and calculated are presented in our previous work [22]. We included only those atomic interactions that could be determined entirely from atomic coordinates and atom types in a standard PDB file.\nFor each protein-protein complex, we extracted additional information on structure acquisition method, temperature, pH, and crystal resolution from the Protein Data Bank [32]. We constructed data sets of 569 protein-protein complexes with assigned temperature data, 545 complexes with pH information and 622 complexes with acquisition method and resolution information. When several temperature values were available for the same structure, we used the mean temperature. We constructed filtered data sets based on structural resolution and acquisition method, with 205 high-resolution structures (≤2.5 Å) and 165 NMR structures.\nFor each complex, we extracted additional information on binding assay pH, temperature, and methodology from the protein-protein affinity benchmark database, which is a nonredundant set of 144 protein-protein complexes with detailed information on the experimental methods used for measuring binding affinities [28]. We extracted pH data for 127 complexes, temperature data for 103 complexes and binding assay technology for 136 complexes. Information available for each protein-protein complex is provided in Additional file 1: Table S1.", "We updated the original version of our protein-protein affinity prediction model [22] by adding parameters for estimating hydrophobic surface tension and hydrophobicity. The hydrophobicity algorithm used is adapted from [33]. Each amino acid in the surface has a pre-defined hydrophobicity score, modulated by peptide endings and varying between approximately −1 (most hydrophilic) and +2 (most hydrophobic). The surface tension parameter was calculated by summing the atomic contributions of each amino acid to the protein surface tension. These atomic contribution scores were adapted from [34]. Other atom-atom interaction terms in the present statistical model are identical to those defined and evaluated in our previous work [22].\nStatistical models were implemented using a generalized linear model framework (GLM, implemented in the GLMULTI package in R), assuming a Gaussian error distribution with logarithmic link function. We used the GLMULTI genetic algorithm to generate 500 candidate models (default parameters, except population size = 500, level = 2, and marginality enabled) and selected the best-fit model for each training dataset using the Akaike information criterion (AIC).\nWe evaluated the potential for new features to improve affinity prediction models by calculating the Pearson correlation (r\n2) between predicted and experimental binding affinities on the training data after model fitting, which represents the ‘best-case’ possible accuracy.\nWe then used cross-validation to estimate the expected accuracy of each trained statistical model when applied to new data and to evaluate possible model over-fitting to training data [13, 14]. For each model, we performed 100 replicates of leave-one-out cross-validation. For each replicate, we randomly partitioned the structural data into a testing data set of size n = 1, with the remaining complexes used to train the regression model. We calculated the Pearson correlation (r\n2) and root mean squared deviation (RMSD) between predicted and experimentally-determined binding affinities on the unseen testing data and report the average r\n2 and RMSD of each model over the 100 replicates.\nDifferences in accuracy were assessed using the parametric two-tailed, two-sample t test, assuming unequal variances, and the nonparametric Mann–Whitney U test. For evaluating the effects of dataset subsampling on predictive accuracy, we used Fisher’s z-transformation, which incorporates a correction for comparing results obtained on a subsample to results from the full dataset (33). In addition, we performed 1000 replicates of random subsampling to evaluate the expected effect of subsampling on predictive accuracy.", "Statistical prediction of protein-protein binding affinity relies on information extracted from large structure-affinity databases [29, 35]. Accuracy and generalizability of predictive models is therefore expected to depend on the quantity and quality of information in the training database as well as the particular types of information available [36]. To evaluate how various aspects of structure-affinity databases affect the accuracy of protein-protein affinity prediction, we examined 1577 protein-protein complexes from the PDBbind database, a comprehensive collection of experimentally-determined affinity measurements assigned to 3-dimensional structural complexes, commonly used to evaluate affinity prediction algorithms [30].\nWe found that nearly 2/3 of the protein-protein complexes in PDBbind had ambiguous affinity measurements or multiple ligands, making it difficult to confidently assign affinity information to specific components of the structural complex (see Additional file 1: Text S1). We identified 955 ambiguous complexes, with an additional 20 complexes removed due to missing coordinates and/or steric clashes [37, 38]. Removing these complexes resulted in a filtered training database of 622 protein-protein dimers.\nConsistent with results from previous studies [11, 19, 35, 39, 40], we found that removing complexes with ambiguous, missing or unreliable data was required to support robust training of affinity prediction models (see Additional file 1: Figure S1 and associated text). Models trained using either the complete PDBbind (1557 complexes) or the filtered database of 622 dimers performed very poorly when applied to the complete PDBbind dataset. For the remainder of this study, we therefore focus our analyses on the filtered PDBbind database of 622 dimers.\n Incorporating additional structural features improves protein-protein affinity prediction We have previously developed statistical approaches for predicting protein-protein affinity incorporating a wide range of atom-atom interaction terms expected to impact macromolecular interactions [22]. However, in those analyses, protein-protein affinities could not be predicted with >0.49 correlation, after cross-validation. Applying these models to our filtered PDBbind dataset resulted in a correlation between predicted and experimentally-determined binding affinities of 0.44 in cross-validation analyses (Fig. 1a).Fig. 1Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling\n\nIncluding additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling\nWe did find that including additional atom-atom interaction terms can improve the accuracy of affinity-prediction models. For example, hydrophobicity [33] and surface tension parameters [34] are weakly correlated with binding affinity across the filtered PDBbind dataset (Spearman correlation >0.10, p < 7.48x10−3; Additional file 1: Figure S2A). Incorporating these parameters into the predictive model improved the correlation between predicted and experimentally-determined affinities in cross-validation analyses from 0.44 to 0.54 (one-tailed Fisher’s z = 2.04, p = 0.0207; Fig. 1a).\nWe also evaluated the relationship between binding affinity and structural changes caused by protein-protein binding by examining the change in conformational entropy upon complex formation. This can be roughly calculated by comparing the structure of the bound complex (holo) to the unbound (apo) structures and has been successfully applied for predicting binding affinity in a small dataset of 17 protein-protein complexes [41].\nWe extracted 143 holo complexes with corresponding apo structures from the protein-protein affinity benchmark database (Additional file 1: Table S2). Differences between holo and the apo forms were characterized by calculating root mean squared deviations (RMSDs) and changes in the accessible-to-solvent surface area upon complex formation. Although RMSD was not correlated with experimental binding affinity (Spearman correlation = 0.02, p = 0.73), we did observe a significant correlation between binding affinity and the change in accessible-to-solvent area caused by formation of the protein-protein binding interface, suggesting that this parameter may be useful for improving affinity prediction (Spearman correlation = −0.28, p = 8.63x10−4, Additional file 1: Figure S2B).\nCross-validation analysis confirmed that including changes in the accessible-to-solvent area as an explanatory variable improved affinity prediction accuracy, both on the Affinity Benchmark database (r\n2 = 0.41 vs. 0.55; William’s test p = 2.3x10−3) and the filtered PDBBind database (r\n2 = 0.46 vs. 0.49; William’s test p = 2.6x10−3; Fig. 1b).\nScoring functions that exhibit a Pearson correlation >0.72 and an RMSD <2 Å between predicted and experimental binding affinity in cross-validation analyses are commonly characterized as providing robust affinity inferences [11, 40, 42–44]. While our results do suggest that incorporating additional structural information can improve protein-protein affinity prediction, the improvements in accuracy we observed were generally incremental, and even best-case accuracy currently remains too low to support robust affinity inferences.\nExisting studies of protein-protein affinity prediction have occasionally identified models capable of accurately predicting affinities on carefully curated small datasets, but accurate prediction of protein-protein affinity across large structure-affinity databases has remained unobtainable [23]. This could be due to lack of generalizability, possibly because curation of small datasets may inadvertently select for a subset of the structural features present in large-scale databases. Alternatively, the quality of both structural and affinity data in large databases could be highly variable, making some complexes more ‘difficult’ to accurately predict than others and potentially misleading model training procedures. Currently, almost nothing is known about how variation in characteristics of the structural and experimental data in structure-affinity databases might impact protein-protein affinity prediction. We examine this potential issue for the remainder of this study.\nWe have previously developed statistical approaches for predicting protein-protein affinity incorporating a wide range of atom-atom interaction terms expected to impact macromolecular interactions [22]. However, in those analyses, protein-protein affinities could not be predicted with >0.49 correlation, after cross-validation. Applying these models to our filtered PDBbind dataset resulted in a correlation between predicted and experimentally-determined binding affinities of 0.44 in cross-validation analyses (Fig. 1a).Fig. 1Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling\n\nIncluding additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling\nWe did find that including additional atom-atom interaction terms can improve the accuracy of affinity-prediction models. For example, hydrophobicity [33] and surface tension parameters [34] are weakly correlated with binding affinity across the filtered PDBbind dataset (Spearman correlation >0.10, p < 7.48x10−3; Additional file 1: Figure S2A). Incorporating these parameters into the predictive model improved the correlation between predicted and experimentally-determined affinities in cross-validation analyses from 0.44 to 0.54 (one-tailed Fisher’s z = 2.04, p = 0.0207; Fig. 1a).\nWe also evaluated the relationship between binding affinity and structural changes caused by protein-protein binding by examining the change in conformational entropy upon complex formation. This can be roughly calculated by comparing the structure of the bound complex (holo) to the unbound (apo) structures and has been successfully applied for predicting binding affinity in a small dataset of 17 protein-protein complexes [41].\nWe extracted 143 holo complexes with corresponding apo structures from the protein-protein affinity benchmark database (Additional file 1: Table S2). Differences between holo and the apo forms were characterized by calculating root mean squared deviations (RMSDs) and changes in the accessible-to-solvent surface area upon complex formation. Although RMSD was not correlated with experimental binding affinity (Spearman correlation = 0.02, p = 0.73), we did observe a significant correlation between binding affinity and the change in accessible-to-solvent area caused by formation of the protein-protein binding interface, suggesting that this parameter may be useful for improving affinity prediction (Spearman correlation = −0.28, p = 8.63x10−4, Additional file 1: Figure S2B).\nCross-validation analysis confirmed that including changes in the accessible-to-solvent area as an explanatory variable improved affinity prediction accuracy, both on the Affinity Benchmark database (r\n2 = 0.41 vs. 0.55; William’s test p = 2.3x10−3) and the filtered PDBBind database (r\n2 = 0.46 vs. 0.49; William’s test p = 2.6x10−3; Fig. 1b).\nScoring functions that exhibit a Pearson correlation >0.72 and an RMSD <2 Å between predicted and experimental binding affinity in cross-validation analyses are commonly characterized as providing robust affinity inferences [11, 40, 42–44]. While our results do suggest that incorporating additional structural information can improve protein-protein affinity prediction, the improvements in accuracy we observed were generally incremental, and even best-case accuracy currently remains too low to support robust affinity inferences.\nExisting studies of protein-protein affinity prediction have occasionally identified models capable of accurately predicting affinities on carefully curated small datasets, but accurate prediction of protein-protein affinity across large structure-affinity databases has remained unobtainable [23]. This could be due to lack of generalizability, possibly because curation of small datasets may inadvertently select for a subset of the structural features present in large-scale databases. Alternatively, the quality of both structural and affinity data in large databases could be highly variable, making some complexes more ‘difficult’ to accurately predict than others and potentially misleading model training procedures. Currently, almost nothing is known about how variation in characteristics of the structural and experimental data in structure-affinity databases might impact protein-protein affinity prediction. We examine this potential issue for the remainder of this study.\n Crystal resolution affects protein-protein affinity prediction accuracy Crystallographic resolution is proportional to the precision of the 3-dimensional coordinates of the atoms in the structure. Typically, high-resolution structures (<2.5 Å) exhibit correct folding, have very small numbers of incorrect rotamers and present accurate surface loops. In contrast, low-resolution structures (>3.5 Å) are more likely to result in folding errors or incorrectly-modeled surface loops [45, 46]. We hypothesized that high-resolution structures would produce more reliable atom-atom interaction calculations and result in more accurate binding affinity predictions.\nWe did observe a weak but significant correlation between crystal resolution and the difference between predicted and experimental binding affinities (r\n2 = 0.11, p = 5.26x10−3; Additional file 1: Figure S3A). However, including crystal resolution as a parameter in the affinity prediction model did not improve the correlation between predicted and experimental affinities, even across complexes included in the training dataset (r\n2 = 0.64 vs. 0.65; Fisher one-tailed z = 0.16, p = 0.87; Fig. 2a). These results suggest that using crystal resolution as an explanatory variable in the model is unlikely to improve affinity prediction accuracy, even in the ‘best case’ scenario in which new data ‘look’ exactly like the data used for training.Fig. 2High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r\n2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors\n\nHigh-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r\n2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors\nHowever, constraining our training dataset to only include high-resolution structures (<2.5 Å, resulting in 205 protein-protein complexes) improved the correlation between predicted and experimental affinities on training data from 0.64 to 0.85 (Fisher one-tailed z = 6.14, p = 7.97x10−10; Fig. 2b). Furthermore, cross-validation analysis using only high-resolution structures resulted in increased predictive accuracy when applied to new data not included in training (r\n2 = 0.54 vs. 0.68; Fisher two-tailed z = 2.85, p = 4.32x10−3; Fig. 2c,d).\nAlthough Fisher’s z-transformation incorporates a correction for comparing results obtained on a subsample to results from the full dataset [47], we were concerned that selecting a subsample of the original testing data could lead to a spurious improvement in predictive accuracy, irrespective of the effects of higher crystal resolution. However, when we randomly selected subsets of equivalent size, accuracy never improved to the extent observed for the high-resolution dataset (p < 4x10−3; Fig. 2b).\nAlthough these results suggest that training protein-protein affinity prediction using high-resolution structures may improve predictive accuracy, different types of complexes are likely to crystalize at different resolutions. If complexes whose affinities are more difficult to predict for inherent reasons also tend to crystalize at lower resolution, the effects of resolution on predictive accuracy may be indirect.\nTo address this issue, we grouped protein-protein complexes into clusters based on 90% sequence identity. Within each cluster of similar complexes, we calculated the correlation between crystal resolution and affinity prediction accuracy (Additional file 1: Table S3). Although there were only 21 clusters with >3 similar complexes in our dataset, we did find that all the clusters exhibiting a significant correlation between resolution and affinity prediction were consistent with the expectation that higher-resolution structures produced more accurate affinity predictions. While it is not possible to generalize from such limited data, these results do suggest that higher resolution structures may improve affinity prediction accuracy across at least some groups of similar protein-protein complexes.\nRestricting training and testing data to either high-resolution or NMR data also resulted in a reduction of root-mean squared deviation (RMSD) between predicted and experimental affinities, compared to the original dataset (high-resolution and NMR RMSDs = 1.79 and 1.56, respectively, vs. 1.90 for the original dataset, t-test p < 0.03, Mann–Whitney p < 0.01; Fig. 2d). Together, these results suggest that training statistical models using high-resolution crystal structures or NMR data may improve affinity prediction accuracy when trained models are applied to new data.\nIt is interesting that restricting training data to NMR structures also improved predictive accuracy (see Fig. 2), as the resolution of NMR structures is typically lower than X-ray crystal structures. However, NMR structures are determined from proteins in solution, which may more accurately reflect the native functional environment of the protein [48, 49]. The capacity to capture protein-protein interactions in solution may contribute to the improved predictive accuracy of models trained using NMR data, particularly for cases in which the crystallographic process might introduce structural artifacts.\nExperimental conditions such as temperature and pH are critical for the formation and stability of a protein crystal [50]. However, the optimal conditions for crystallization may differ from those used for measuring binding affinity, potentially creating a mismatch between a crystalized protein-protein complex and that same complex in experimental solution. To examine the potential effects of crystallization conditions on protein-protein affinity prediction, we extracted temperature and pH information from the Protein Data Bank [51] for the complexes in our training dataset and evaluated the effect of including this information on predictive accuracy. Although both crystallization temperature and pH were weakly negatively correlated with experimental binding affinity (r\n2 = −0.26, p = 4.91x10−10 and r\n2 = −0.16, p = 1.96x10−4 for temperature and pH, respectively. Additional file 1: Figure S3B), we observed no improvement in predictive accuracy when these parameters were incorporated into the statistical model (Fisher one-tailed z < 0.1, p > 0.92; Fig. 2a).\nOverall, these results suggest that the quality of structural data can affect the accuracy of statistical affinity prediction, and that training models using high-quality structures may be one avenue available to improve protein-protein and other affinity predictions. While limiting training data to high-resolution structures was not required for accurate prediction of protein-small molecule or protein-DNA/RNA affinities in our previous analysis [22], protein-protein complexes typically have larger numbers of atoms at the protein-ligand interface and may be more sensitive to potential errors induced by lower crystal resolution. Differences in crystal resolution across protein-small molecule, protein-DNA/RNA and protein-protein training datasets may also contribute to differences in affinity prediction accuracy.\nCrystallographic resolution is proportional to the precision of the 3-dimensional coordinates of the atoms in the structure. Typically, high-resolution structures (<2.5 Å) exhibit correct folding, have very small numbers of incorrect rotamers and present accurate surface loops. In contrast, low-resolution structures (>3.5 Å) are more likely to result in folding errors or incorrectly-modeled surface loops [45, 46]. We hypothesized that high-resolution structures would produce more reliable atom-atom interaction calculations and result in more accurate binding affinity predictions.\nWe did observe a weak but significant correlation between crystal resolution and the difference between predicted and experimental binding affinities (r\n2 = 0.11, p = 5.26x10−3; Additional file 1: Figure S3A). However, including crystal resolution as a parameter in the affinity prediction model did not improve the correlation between predicted and experimental affinities, even across complexes included in the training dataset (r\n2 = 0.64 vs. 0.65; Fisher one-tailed z = 0.16, p = 0.87; Fig. 2a). These results suggest that using crystal resolution as an explanatory variable in the model is unlikely to improve affinity prediction accuracy, even in the ‘best case’ scenario in which new data ‘look’ exactly like the data used for training.Fig. 2High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r\n2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors\n\nHigh-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r\n2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors\nHowever, constraining our training dataset to only include high-resolution structures (<2.5 Å, resulting in 205 protein-protein complexes) improved the correlation between predicted and experimental affinities on training data from 0.64 to 0.85 (Fisher one-tailed z = 6.14, p = 7.97x10−10; Fig. 2b). Furthermore, cross-validation analysis using only high-resolution structures resulted in increased predictive accuracy when applied to new data not included in training (r\n2 = 0.54 vs. 0.68; Fisher two-tailed z = 2.85, p = 4.32x10−3; Fig. 2c,d).\nAlthough Fisher’s z-transformation incorporates a correction for comparing results obtained on a subsample to results from the full dataset [47], we were concerned that selecting a subsample of the original testing data could lead to a spurious improvement in predictive accuracy, irrespective of the effects of higher crystal resolution. However, when we randomly selected subsets of equivalent size, accuracy never improved to the extent observed for the high-resolution dataset (p < 4x10−3; Fig. 2b).\nAlthough these results suggest that training protein-protein affinity prediction using high-resolution structures may improve predictive accuracy, different types of complexes are likely to crystalize at different resolutions. If complexes whose affinities are more difficult to predict for inherent reasons also tend to crystalize at lower resolution, the effects of resolution on predictive accuracy may be indirect.\nTo address this issue, we grouped protein-protein complexes into clusters based on 90% sequence identity. Within each cluster of similar complexes, we calculated the correlation between crystal resolution and affinity prediction accuracy (Additional file 1: Table S3). Although there were only 21 clusters with >3 similar complexes in our dataset, we did find that all the clusters exhibiting a significant correlation between resolution and affinity prediction were consistent with the expectation that higher-resolution structures produced more accurate affinity predictions. While it is not possible to generalize from such limited data, these results do suggest that higher resolution structures may improve affinity prediction accuracy across at least some groups of similar protein-protein complexes.\nRestricting training and testing data to either high-resolution or NMR data also resulted in a reduction of root-mean squared deviation (RMSD) between predicted and experimental affinities, compared to the original dataset (high-resolution and NMR RMSDs = 1.79 and 1.56, respectively, vs. 1.90 for the original dataset, t-test p < 0.03, Mann–Whitney p < 0.01; Fig. 2d). Together, these results suggest that training statistical models using high-resolution crystal structures or NMR data may improve affinity prediction accuracy when trained models are applied to new data.\nIt is interesting that restricting training data to NMR structures also improved predictive accuracy (see Fig. 2), as the resolution of NMR structures is typically lower than X-ray crystal structures. However, NMR structures are determined from proteins in solution, which may more accurately reflect the native functional environment of the protein [48, 49]. The capacity to capture protein-protein interactions in solution may contribute to the improved predictive accuracy of models trained using NMR data, particularly for cases in which the crystallographic process might introduce structural artifacts.\nExperimental conditions such as temperature and pH are critical for the formation and stability of a protein crystal [50]. However, the optimal conditions for crystallization may differ from those used for measuring binding affinity, potentially creating a mismatch between a crystalized protein-protein complex and that same complex in experimental solution. To examine the potential effects of crystallization conditions on protein-protein affinity prediction, we extracted temperature and pH information from the Protein Data Bank [51] for the complexes in our training dataset and evaluated the effect of including this information on predictive accuracy. Although both crystallization temperature and pH were weakly negatively correlated with experimental binding affinity (r\n2 = −0.26, p = 4.91x10−10 and r\n2 = −0.16, p = 1.96x10−4 for temperature and pH, respectively. Additional file 1: Figure S3B), we observed no improvement in predictive accuracy when these parameters were incorporated into the statistical model (Fisher one-tailed z < 0.1, p > 0.92; Fig. 2a).\nOverall, these results suggest that the quality of structural data can affect the accuracy of statistical affinity prediction, and that training models using high-quality structures may be one avenue available to improve protein-protein and other affinity predictions. While limiting training data to high-resolution structures was not required for accurate prediction of protein-small molecule or protein-DNA/RNA affinities in our previous analysis [22], protein-protein complexes typically have larger numbers of atoms at the protein-ligand interface and may be more sensitive to potential errors induced by lower crystal resolution. Differences in crystal resolution across protein-small molecule, protein-DNA/RNA and protein-protein training datasets may also contribute to differences in affinity prediction accuracy.\n Lack of information on binding assay conditions impairs protein-protein affinity prediction In addition to crystallographic conditions or resolution, variation in the experimental conditions and assays used to measure binding affinity could affect prediction accuracy. Different proteins can have dramatically different activities across temperature, pH and concentration of ions or cofactors [52, 53], and assay conditions have been shown to strongly affect reaction rates [54–56].\nEven though experimental conditions can be critical for evaluating affinity measurements, this information is not available in the major structure-affinity databases used for training statistical predictors [30, 57]. Detailed experimental information is available for a small protein-protein affinity benchmark database [28]. After excluding complexes with missing data, we obtained 127 protein-protein complexes with data indicating the pH of the binding affinity experiment and 103 complexes with temperature information (Additional file 1: Table S2).\nWe found no significant increase in the correlation between predicted and experimental affinities when binding experiment pH was included as an explanatory variable, even across data used to train the model (r\n2 = 0.67 vs. 0.69, William’s t = 0.43, p = 0.34; Fig. 3a). Although pH has been shown to affect binding affinity measurements in some systems [58–60], the effect of pH on pKd may depend on particular properties of the specific interacting proteins. We did observe a small, marginally-significant increase in correlation when including temperature in the model (r\n2 = 0.70 vs. 0.76, William’s t = −1.81, p = 0.04; Fig. 3a). Cross-validation analysis confirmed that binding assay temperature has the capacity to improve affinity prediction accuracy when applied to unseen testing data (r\n2 = 0.46 vs. 0.52; William’s t = −29.84, p = 9.03x10−188; Fig. 3b).Fig. 3Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors\n\nIncorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors\nAlthough the dataset examined in this analysis was small, compared to the training data available in the filtered PDBbind data set (~100 vs. ~600 complexes), these results suggest that incorporating parameters describing the experimental conditions used to measure protein-protein binding affinity may be important for training affinity-prediction models. The lack of information describing binding assay conditions in large structure-affinity databases may impose a limit on the accuracy of statistical models constructed from these databases.\nProtein-protein affinity can be measured by a variety of approaches, some of which may more strongly impact affinity prediction than others. Common technologies used in the protein-protein affinity benchmark database [28] are Isothermal Titration Calorimetry (ITC [61]), surface plasmon resonance (SPR [62]), and inhibition assays [63–66].\nWe observed a weak but significant correlation between the use of inhibition assays and experimentally-determined affinity values (Spearman correlation = 0.33, p = 1.16x10−4), whereas ITC was weakly negatively correlated with affinity (Spearman correlation = −0.36, p = 1.84x10−5; Additional file 1: Figure S3C). These results suggest that reported affinity measurements are somewhat dependent on the type of assay used: inhibition assays typically result in higher affinities, whereas ITC tends to produce lower affinity values. It is not clear whether this “assay effect” represents a general bias in one or more of the methodologies used to assess binding affinity, or if different methodologies tend to be applied to complexes with higher vs. lower biological affinities.\nWhen we included experimental assay method as an explanatory variable in the statistical model, we observed a strong increase in predictive accuracy, assessed by cross-validation (r\n2 = 0.35 vs. 0.65; William’s t = −29.84, p = 9.03x10−188; Fig. 3b). In addition, there was no significant difference between training and cross-validation correlation results (Fisher’s z = 1.22, p = 0.11; Fig. 3a,b), suggesting that the optimized statistical model—including assay method—exhibits minimum over-fitting.\nIncorporating binding assay conditions in our statistical model also resulted in a significant decrease in RMSD between predicted and experimentally-determined affinities (Fig. 3c). Adding binding assay pH to the statistical model reduced RMSD from 2.28 to 1.98 (t-test t = −7.61, p = 2.09x10−12; Mann–Whitney w = 2272, p = 2.66x10−11). Similarly, RMSD decreased from 2.40 to 2.10 when temperature was incorporated (t-test t = −5.80, p = 4.41x10−8; Mann–Whitney w = 3221, p = 1.39x10−5). Finally, RMSD decreased from 2.36 to 1.65 when binding assay method was included as a model parameter (t-test t = −15.58, p = 2.80x10−30; Mann–Whitney w = 383, p = 1.65x10−29).\nOverall, these results suggest that incorporating information about the experimental conditions used to measure protein-protein affinity can have a strong effect on the predictive accuracy of statistical models. Detailed experimental conditions are generally not incorporated into large-scale structure-affinity databases, which may place a practical upper bound on the accuracy of statistical affinity prediction.\nIn addition to crystallographic conditions or resolution, variation in the experimental conditions and assays used to measure binding affinity could affect prediction accuracy. Different proteins can have dramatically different activities across temperature, pH and concentration of ions or cofactors [52, 53], and assay conditions have been shown to strongly affect reaction rates [54–56].\nEven though experimental conditions can be critical for evaluating affinity measurements, this information is not available in the major structure-affinity databases used for training statistical predictors [30, 57]. Detailed experimental information is available for a small protein-protein affinity benchmark database [28]. After excluding complexes with missing data, we obtained 127 protein-protein complexes with data indicating the pH of the binding affinity experiment and 103 complexes with temperature information (Additional file 1: Table S2).\nWe found no significant increase in the correlation between predicted and experimental affinities when binding experiment pH was included as an explanatory variable, even across data used to train the model (r\n2 = 0.67 vs. 0.69, William’s t = 0.43, p = 0.34; Fig. 3a). Although pH has been shown to affect binding affinity measurements in some systems [58–60], the effect of pH on pKd may depend on particular properties of the specific interacting proteins. We did observe a small, marginally-significant increase in correlation when including temperature in the model (r\n2 = 0.70 vs. 0.76, William’s t = −1.81, p = 0.04; Fig. 3a). Cross-validation analysis confirmed that binding assay temperature has the capacity to improve affinity prediction accuracy when applied to unseen testing data (r\n2 = 0.46 vs. 0.52; William’s t = −29.84, p = 9.03x10−188; Fig. 3b).Fig. 3Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors\n\nIncorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors\nAlthough the dataset examined in this analysis was small, compared to the training data available in the filtered PDBbind data set (~100 vs. ~600 complexes), these results suggest that incorporating parameters describing the experimental conditions used to measure protein-protein binding affinity may be important for training affinity-prediction models. The lack of information describing binding assay conditions in large structure-affinity databases may impose a limit on the accuracy of statistical models constructed from these databases.\nProtein-protein affinity can be measured by a variety of approaches, some of which may more strongly impact affinity prediction than others. Common technologies used in the protein-protein affinity benchmark database [28] are Isothermal Titration Calorimetry (ITC [61]), surface plasmon resonance (SPR [62]), and inhibition assays [63–66].\nWe observed a weak but significant correlation between the use of inhibition assays and experimentally-determined affinity values (Spearman correlation = 0.33, p = 1.16x10−4), whereas ITC was weakly negatively correlated with affinity (Spearman correlation = −0.36, p = 1.84x10−5; Additional file 1: Figure S3C). These results suggest that reported affinity measurements are somewhat dependent on the type of assay used: inhibition assays typically result in higher affinities, whereas ITC tends to produce lower affinity values. It is not clear whether this “assay effect” represents a general bias in one or more of the methodologies used to assess binding affinity, or if different methodologies tend to be applied to complexes with higher vs. lower biological affinities.\nWhen we included experimental assay method as an explanatory variable in the statistical model, we observed a strong increase in predictive accuracy, assessed by cross-validation (r\n2 = 0.35 vs. 0.65; William’s t = −29.84, p = 9.03x10−188; Fig. 3b). In addition, there was no significant difference between training and cross-validation correlation results (Fisher’s z = 1.22, p = 0.11; Fig. 3a,b), suggesting that the optimized statistical model—including assay method—exhibits minimum over-fitting.\nIncorporating binding assay conditions in our statistical model also resulted in a significant decrease in RMSD between predicted and experimentally-determined affinities (Fig. 3c). Adding binding assay pH to the statistical model reduced RMSD from 2.28 to 1.98 (t-test t = −7.61, p = 2.09x10−12; Mann–Whitney w = 2272, p = 2.66x10−11). Similarly, RMSD decreased from 2.40 to 2.10 when temperature was incorporated (t-test t = −5.80, p = 4.41x10−8; Mann–Whitney w = 3221, p = 1.39x10−5). Finally, RMSD decreased from 2.36 to 1.65 when binding assay method was included as a model parameter (t-test t = −15.58, p = 2.80x10−30; Mann–Whitney w = 383, p = 1.65x10−29).\nOverall, these results suggest that incorporating information about the experimental conditions used to measure protein-protein affinity can have a strong effect on the predictive accuracy of statistical models. Detailed experimental conditions are generally not incorporated into large-scale structure-affinity databases, which may place a practical upper bound on the accuracy of statistical affinity prediction.\n Could database errors limit predictive accuracy? Manual examination of specific examples in the protein-protein affinity benchmark database [28] revealed that, in some cases, the conditions of the crystalized complex are so different from the conditions of the binding assay that it is not clear they are biochemically comparable. For example, the crystal structure of Nuclease A (NucA) in complex with intracellular inhibitor NuiA is a D121A mutant (PDB ID 2O3B), whereas the affinity assay was performed using the wild-type NuiA [67]. This particular complex was the 3rd worst prediction made by our statistical model, with a predicted pKd based on the mutant structure of 7.06 vs. an experimental pKd of the wild-type protein of 11.49. It is not clear whether this mis-prediction is due to a poor statistical fit to this complex or to differences between the binding affinities of the mutant vs. wild-type proteins.\nTo evaluate the potential effects of this mismatch on predicted binding affinity accuracy, we generated the wild-type structure of NuiA using homology modeling [68] and re-estimated the binding affinity using the trained statistical model. Modeling the wild-type NuiA in complex with NucA increased the predicted pKd from 7.06 (mutant NuiA) to 7.49, decreasing the difference between predicted and experimentally-determined affinity somewhat, possibly because the D121A mutation disrupted a hydrogen bond between wild-type NuiA’s D121 and NucA’s E24 (Fig. 4).Fig. 4Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line)\n\nDatabase errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line)\nAlthough the significance of the improvement in this single ‘case study’ cannot be evaluated statistically—and is likely to depend on the specific scientific question being considered—this result does suggest that small differences between the crystalized protein-protein complex and the complex whose binding affinity is measured—in this case a single amino acid mutation—may have a measurably negative affect on the accuracy of affinity prediction. The extent of similar errors in large-scale structure-affinity databases is unknown.\nMissing information about key affinity-determining factors from either the crystallization or affinity experiments could also affect affinity prediction accuracy. In one example, the crystal structure of GTP-Bound Rab4Q67L GTPase in complex with the central Rab binding domain of Rabenosyn-5 (PDB ID 1Z0K) has an additional cofactor, 2-(N-morpholino)-ethanesulfonic acid or MES, which was not present in the binding assay [69]. This complex was the 4th worst prediction made by the statistical model (predicted pKd = 9.14; experimental pKd = 5.11). Although the extent to which the presence/absence of the MES cofactor may have affected affinity prediction is unclear, that the crystalized complex does not correspond to the complex assayed in the experimental affinity measurement raises concerns about the accuracy of this database entry.\nOther examples of missing information likely to affect affinity prediction could be manually identified from the affinity benchmark database [28], many of which appear to have had a negative impact on affinity predictions made by our statistical model (see Additional file 1: Text S2). Overall, we found 4 of the 10 worst predictions made by the statistical model were for complexes with obvious mismatches between crystallization and binding assay conditions or cases in which information potentially impacting affinity measurement or crystallization was missing from the database (Additional file 1: Table S4).\nThese potential database errors were identifiable due to the amount of detail provided in small curated databases like the protein-protein affinity benchmark [28]. However, we expect similar potential issues exist in large-scale databases like PDBbind and BindingDB, which together contain >10,000 protein-ligand structures [30, 57]. Many of the entries in these large structure-affinity databases lack information concerning binding assay and/or crystallization conditions. Our results suggest that this information may be critical for supporting accurate, high-throughput affinity prediction and also important for identifying potential database errors.\nWe also identified a handful of cases in which binding affinity values were incorrectly entered in the PDBbind database. For example, the binding affinity (pKd) assigned to Human prolactin (hPRL) in complex with its receptor is 0.67 in PDBbind, whereas the experimentally-determined binding affinity from the literature is >5.65, depending on pH [70]. Similarly, the prolactin and prolactin receptor mutant complex has an assigned pKd of 1.03 in PDBbind, whereas the affinity from the literature is 6.14 [70]. Although these particular cases were manually corrected in the filtered dataset used for this study, the extent to which various errors are present in large structure-affinity databases remains unknown, making it difficult to characterize the potential effects of database errors on affinity prediction.\nManual examination of specific examples in the protein-protein affinity benchmark database [28] revealed that, in some cases, the conditions of the crystalized complex are so different from the conditions of the binding assay that it is not clear they are biochemically comparable. For example, the crystal structure of Nuclease A (NucA) in complex with intracellular inhibitor NuiA is a D121A mutant (PDB ID 2O3B), whereas the affinity assay was performed using the wild-type NuiA [67]. This particular complex was the 3rd worst prediction made by our statistical model, with a predicted pKd based on the mutant structure of 7.06 vs. an experimental pKd of the wild-type protein of 11.49. It is not clear whether this mis-prediction is due to a poor statistical fit to this complex or to differences between the binding affinities of the mutant vs. wild-type proteins.\nTo evaluate the potential effects of this mismatch on predicted binding affinity accuracy, we generated the wild-type structure of NuiA using homology modeling [68] and re-estimated the binding affinity using the trained statistical model. Modeling the wild-type NuiA in complex with NucA increased the predicted pKd from 7.06 (mutant NuiA) to 7.49, decreasing the difference between predicted and experimentally-determined affinity somewhat, possibly because the D121A mutation disrupted a hydrogen bond between wild-type NuiA’s D121 and NucA’s E24 (Fig. 4).Fig. 4Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line)\n\nDatabase errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line)\nAlthough the significance of the improvement in this single ‘case study’ cannot be evaluated statistically—and is likely to depend on the specific scientific question being considered—this result does suggest that small differences between the crystalized protein-protein complex and the complex whose binding affinity is measured—in this case a single amino acid mutation—may have a measurably negative affect on the accuracy of affinity prediction. The extent of similar errors in large-scale structure-affinity databases is unknown.\nMissing information about key affinity-determining factors from either the crystallization or affinity experiments could also affect affinity prediction accuracy. In one example, the crystal structure of GTP-Bound Rab4Q67L GTPase in complex with the central Rab binding domain of Rabenosyn-5 (PDB ID 1Z0K) has an additional cofactor, 2-(N-morpholino)-ethanesulfonic acid or MES, which was not present in the binding assay [69]. This complex was the 4th worst prediction made by the statistical model (predicted pKd = 9.14; experimental pKd = 5.11). Although the extent to which the presence/absence of the MES cofactor may have affected affinity prediction is unclear, that the crystalized complex does not correspond to the complex assayed in the experimental affinity measurement raises concerns about the accuracy of this database entry.\nOther examples of missing information likely to affect affinity prediction could be manually identified from the affinity benchmark database [28], many of which appear to have had a negative impact on affinity predictions made by our statistical model (see Additional file 1: Text S2). Overall, we found 4 of the 10 worst predictions made by the statistical model were for complexes with obvious mismatches between crystallization and binding assay conditions or cases in which information potentially impacting affinity measurement or crystallization was missing from the database (Additional file 1: Table S4).\nThese potential database errors were identifiable due to the amount of detail provided in small curated databases like the protein-protein affinity benchmark [28]. However, we expect similar potential issues exist in large-scale databases like PDBbind and BindingDB, which together contain >10,000 protein-ligand structures [30, 57]. Many of the entries in these large structure-affinity databases lack information concerning binding assay and/or crystallization conditions. Our results suggest that this information may be critical for supporting accurate, high-throughput affinity prediction and also important for identifying potential database errors.\nWe also identified a handful of cases in which binding affinity values were incorrectly entered in the PDBbind database. For example, the binding affinity (pKd) assigned to Human prolactin (hPRL) in complex with its receptor is 0.67 in PDBbind, whereas the experimentally-determined binding affinity from the literature is >5.65, depending on pH [70]. Similarly, the prolactin and prolactin receptor mutant complex has an assigned pKd of 1.03 in PDBbind, whereas the affinity from the literature is 6.14 [70]. Although these particular cases were manually corrected in the filtered dataset used for this study, the extent to which various errors are present in large structure-affinity databases remains unknown, making it difficult to characterize the potential effects of database errors on affinity prediction.", "We have previously developed statistical approaches for predicting protein-protein affinity incorporating a wide range of atom-atom interaction terms expected to impact macromolecular interactions [22]. However, in those analyses, protein-protein affinities could not be predicted with >0.49 correlation, after cross-validation. Applying these models to our filtered PDBbind dataset resulted in a correlation between predicted and experimentally-determined binding affinities of 0.44 in cross-validation analyses (Fig. 1a).Fig. 1Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling\n\nIncluding additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling\nWe did find that including additional atom-atom interaction terms can improve the accuracy of affinity-prediction models. For example, hydrophobicity [33] and surface tension parameters [34] are weakly correlated with binding affinity across the filtered PDBbind dataset (Spearman correlation >0.10, p < 7.48x10−3; Additional file 1: Figure S2A). Incorporating these parameters into the predictive model improved the correlation between predicted and experimentally-determined affinities in cross-validation analyses from 0.44 to 0.54 (one-tailed Fisher’s z = 2.04, p = 0.0207; Fig. 1a).\nWe also evaluated the relationship between binding affinity and structural changes caused by protein-protein binding by examining the change in conformational entropy upon complex formation. This can be roughly calculated by comparing the structure of the bound complex (holo) to the unbound (apo) structures and has been successfully applied for predicting binding affinity in a small dataset of 17 protein-protein complexes [41].\nWe extracted 143 holo complexes with corresponding apo structures from the protein-protein affinity benchmark database (Additional file 1: Table S2). Differences between holo and the apo forms were characterized by calculating root mean squared deviations (RMSDs) and changes in the accessible-to-solvent surface area upon complex formation. Although RMSD was not correlated with experimental binding affinity (Spearman correlation = 0.02, p = 0.73), we did observe a significant correlation between binding affinity and the change in accessible-to-solvent area caused by formation of the protein-protein binding interface, suggesting that this parameter may be useful for improving affinity prediction (Spearman correlation = −0.28, p = 8.63x10−4, Additional file 1: Figure S2B).\nCross-validation analysis confirmed that including changes in the accessible-to-solvent area as an explanatory variable improved affinity prediction accuracy, both on the Affinity Benchmark database (r\n2 = 0.41 vs. 0.55; William’s test p = 2.3x10−3) and the filtered PDBBind database (r\n2 = 0.46 vs. 0.49; William’s test p = 2.6x10−3; Fig. 1b).\nScoring functions that exhibit a Pearson correlation >0.72 and an RMSD <2 Å between predicted and experimental binding affinity in cross-validation analyses are commonly characterized as providing robust affinity inferences [11, 40, 42–44]. While our results do suggest that incorporating additional structural information can improve protein-protein affinity prediction, the improvements in accuracy we observed were generally incremental, and even best-case accuracy currently remains too low to support robust affinity inferences.\nExisting studies of protein-protein affinity prediction have occasionally identified models capable of accurately predicting affinities on carefully curated small datasets, but accurate prediction of protein-protein affinity across large structure-affinity databases has remained unobtainable [23]. This could be due to lack of generalizability, possibly because curation of small datasets may inadvertently select for a subset of the structural features present in large-scale databases. Alternatively, the quality of both structural and affinity data in large databases could be highly variable, making some complexes more ‘difficult’ to accurately predict than others and potentially misleading model training procedures. Currently, almost nothing is known about how variation in characteristics of the structural and experimental data in structure-affinity databases might impact protein-protein affinity prediction. We examine this potential issue for the remainder of this study.", "Crystallographic resolution is proportional to the precision of the 3-dimensional coordinates of the atoms in the structure. Typically, high-resolution structures (<2.5 Å) exhibit correct folding, have very small numbers of incorrect rotamers and present accurate surface loops. In contrast, low-resolution structures (>3.5 Å) are more likely to result in folding errors or incorrectly-modeled surface loops [45, 46]. We hypothesized that high-resolution structures would produce more reliable atom-atom interaction calculations and result in more accurate binding affinity predictions.\nWe did observe a weak but significant correlation between crystal resolution and the difference between predicted and experimental binding affinities (r\n2 = 0.11, p = 5.26x10−3; Additional file 1: Figure S3A). However, including crystal resolution as a parameter in the affinity prediction model did not improve the correlation between predicted and experimental affinities, even across complexes included in the training dataset (r\n2 = 0.64 vs. 0.65; Fisher one-tailed z = 0.16, p = 0.87; Fig. 2a). These results suggest that using crystal resolution as an explanatory variable in the model is unlikely to improve affinity prediction accuracy, even in the ‘best case’ scenario in which new data ‘look’ exactly like the data used for training.Fig. 2High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r\n2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors\n\nHigh-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r\n2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors\nHowever, constraining our training dataset to only include high-resolution structures (<2.5 Å, resulting in 205 protein-protein complexes) improved the correlation between predicted and experimental affinities on training data from 0.64 to 0.85 (Fisher one-tailed z = 6.14, p = 7.97x10−10; Fig. 2b). Furthermore, cross-validation analysis using only high-resolution structures resulted in increased predictive accuracy when applied to new data not included in training (r\n2 = 0.54 vs. 0.68; Fisher two-tailed z = 2.85, p = 4.32x10−3; Fig. 2c,d).\nAlthough Fisher’s z-transformation incorporates a correction for comparing results obtained on a subsample to results from the full dataset [47], we were concerned that selecting a subsample of the original testing data could lead to a spurious improvement in predictive accuracy, irrespective of the effects of higher crystal resolution. However, when we randomly selected subsets of equivalent size, accuracy never improved to the extent observed for the high-resolution dataset (p < 4x10−3; Fig. 2b).\nAlthough these results suggest that training protein-protein affinity prediction using high-resolution structures may improve predictive accuracy, different types of complexes are likely to crystalize at different resolutions. If complexes whose affinities are more difficult to predict for inherent reasons also tend to crystalize at lower resolution, the effects of resolution on predictive accuracy may be indirect.\nTo address this issue, we grouped protein-protein complexes into clusters based on 90% sequence identity. Within each cluster of similar complexes, we calculated the correlation between crystal resolution and affinity prediction accuracy (Additional file 1: Table S3). Although there were only 21 clusters with >3 similar complexes in our dataset, we did find that all the clusters exhibiting a significant correlation between resolution and affinity prediction were consistent with the expectation that higher-resolution structures produced more accurate affinity predictions. While it is not possible to generalize from such limited data, these results do suggest that higher resolution structures may improve affinity prediction accuracy across at least some groups of similar protein-protein complexes.\nRestricting training and testing data to either high-resolution or NMR data also resulted in a reduction of root-mean squared deviation (RMSD) between predicted and experimental affinities, compared to the original dataset (high-resolution and NMR RMSDs = 1.79 and 1.56, respectively, vs. 1.90 for the original dataset, t-test p < 0.03, Mann–Whitney p < 0.01; Fig. 2d). Together, these results suggest that training statistical models using high-resolution crystal structures or NMR data may improve affinity prediction accuracy when trained models are applied to new data.\nIt is interesting that restricting training data to NMR structures also improved predictive accuracy (see Fig. 2), as the resolution of NMR structures is typically lower than X-ray crystal structures. However, NMR structures are determined from proteins in solution, which may more accurately reflect the native functional environment of the protein [48, 49]. The capacity to capture protein-protein interactions in solution may contribute to the improved predictive accuracy of models trained using NMR data, particularly for cases in which the crystallographic process might introduce structural artifacts.\nExperimental conditions such as temperature and pH are critical for the formation and stability of a protein crystal [50]. However, the optimal conditions for crystallization may differ from those used for measuring binding affinity, potentially creating a mismatch between a crystalized protein-protein complex and that same complex in experimental solution. To examine the potential effects of crystallization conditions on protein-protein affinity prediction, we extracted temperature and pH information from the Protein Data Bank [51] for the complexes in our training dataset and evaluated the effect of including this information on predictive accuracy. Although both crystallization temperature and pH were weakly negatively correlated with experimental binding affinity (r\n2 = −0.26, p = 4.91x10−10 and r\n2 = −0.16, p = 1.96x10−4 for temperature and pH, respectively. Additional file 1: Figure S3B), we observed no improvement in predictive accuracy when these parameters were incorporated into the statistical model (Fisher one-tailed z < 0.1, p > 0.92; Fig. 2a).\nOverall, these results suggest that the quality of structural data can affect the accuracy of statistical affinity prediction, and that training models using high-quality structures may be one avenue available to improve protein-protein and other affinity predictions. While limiting training data to high-resolution structures was not required for accurate prediction of protein-small molecule or protein-DNA/RNA affinities in our previous analysis [22], protein-protein complexes typically have larger numbers of atoms at the protein-ligand interface and may be more sensitive to potential errors induced by lower crystal resolution. Differences in crystal resolution across protein-small molecule, protein-DNA/RNA and protein-protein training datasets may also contribute to differences in affinity prediction accuracy.", "In addition to crystallographic conditions or resolution, variation in the experimental conditions and assays used to measure binding affinity could affect prediction accuracy. Different proteins can have dramatically different activities across temperature, pH and concentration of ions or cofactors [52, 53], and assay conditions have been shown to strongly affect reaction rates [54–56].\nEven though experimental conditions can be critical for evaluating affinity measurements, this information is not available in the major structure-affinity databases used for training statistical predictors [30, 57]. Detailed experimental information is available for a small protein-protein affinity benchmark database [28]. After excluding complexes with missing data, we obtained 127 protein-protein complexes with data indicating the pH of the binding affinity experiment and 103 complexes with temperature information (Additional file 1: Table S2).\nWe found no significant increase in the correlation between predicted and experimental affinities when binding experiment pH was included as an explanatory variable, even across data used to train the model (r\n2 = 0.67 vs. 0.69, William’s t = 0.43, p = 0.34; Fig. 3a). Although pH has been shown to affect binding affinity measurements in some systems [58–60], the effect of pH on pKd may depend on particular properties of the specific interacting proteins. We did observe a small, marginally-significant increase in correlation when including temperature in the model (r\n2 = 0.70 vs. 0.76, William’s t = −1.81, p = 0.04; Fig. 3a). Cross-validation analysis confirmed that binding assay temperature has the capacity to improve affinity prediction accuracy when applied to unseen testing data (r\n2 = 0.46 vs. 0.52; William’s t = −29.84, p = 9.03x10−188; Fig. 3b).Fig. 3Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors\n\nIncorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors\nAlthough the dataset examined in this analysis was small, compared to the training data available in the filtered PDBbind data set (~100 vs. ~600 complexes), these results suggest that incorporating parameters describing the experimental conditions used to measure protein-protein binding affinity may be important for training affinity-prediction models. The lack of information describing binding assay conditions in large structure-affinity databases may impose a limit on the accuracy of statistical models constructed from these databases.\nProtein-protein affinity can be measured by a variety of approaches, some of which may more strongly impact affinity prediction than others. Common technologies used in the protein-protein affinity benchmark database [28] are Isothermal Titration Calorimetry (ITC [61]), surface plasmon resonance (SPR [62]), and inhibition assays [63–66].\nWe observed a weak but significant correlation between the use of inhibition assays and experimentally-determined affinity values (Spearman correlation = 0.33, p = 1.16x10−4), whereas ITC was weakly negatively correlated with affinity (Spearman correlation = −0.36, p = 1.84x10−5; Additional file 1: Figure S3C). These results suggest that reported affinity measurements are somewhat dependent on the type of assay used: inhibition assays typically result in higher affinities, whereas ITC tends to produce lower affinity values. It is not clear whether this “assay effect” represents a general bias in one or more of the methodologies used to assess binding affinity, or if different methodologies tend to be applied to complexes with higher vs. lower biological affinities.\nWhen we included experimental assay method as an explanatory variable in the statistical model, we observed a strong increase in predictive accuracy, assessed by cross-validation (r\n2 = 0.35 vs. 0.65; William’s t = −29.84, p = 9.03x10−188; Fig. 3b). In addition, there was no significant difference between training and cross-validation correlation results (Fisher’s z = 1.22, p = 0.11; Fig. 3a,b), suggesting that the optimized statistical model—including assay method—exhibits minimum over-fitting.\nIncorporating binding assay conditions in our statistical model also resulted in a significant decrease in RMSD between predicted and experimentally-determined affinities (Fig. 3c). Adding binding assay pH to the statistical model reduced RMSD from 2.28 to 1.98 (t-test t = −7.61, p = 2.09x10−12; Mann–Whitney w = 2272, p = 2.66x10−11). Similarly, RMSD decreased from 2.40 to 2.10 when temperature was incorporated (t-test t = −5.80, p = 4.41x10−8; Mann–Whitney w = 3221, p = 1.39x10−5). Finally, RMSD decreased from 2.36 to 1.65 when binding assay method was included as a model parameter (t-test t = −15.58, p = 2.80x10−30; Mann–Whitney w = 383, p = 1.65x10−29).\nOverall, these results suggest that incorporating information about the experimental conditions used to measure protein-protein affinity can have a strong effect on the predictive accuracy of statistical models. Detailed experimental conditions are generally not incorporated into large-scale structure-affinity databases, which may place a practical upper bound on the accuracy of statistical affinity prediction.", "Manual examination of specific examples in the protein-protein affinity benchmark database [28] revealed that, in some cases, the conditions of the crystalized complex are so different from the conditions of the binding assay that it is not clear they are biochemically comparable. For example, the crystal structure of Nuclease A (NucA) in complex with intracellular inhibitor NuiA is a D121A mutant (PDB ID 2O3B), whereas the affinity assay was performed using the wild-type NuiA [67]. This particular complex was the 3rd worst prediction made by our statistical model, with a predicted pKd based on the mutant structure of 7.06 vs. an experimental pKd of the wild-type protein of 11.49. It is not clear whether this mis-prediction is due to a poor statistical fit to this complex or to differences between the binding affinities of the mutant vs. wild-type proteins.\nTo evaluate the potential effects of this mismatch on predicted binding affinity accuracy, we generated the wild-type structure of NuiA using homology modeling [68] and re-estimated the binding affinity using the trained statistical model. Modeling the wild-type NuiA in complex with NucA increased the predicted pKd from 7.06 (mutant NuiA) to 7.49, decreasing the difference between predicted and experimentally-determined affinity somewhat, possibly because the D121A mutation disrupted a hydrogen bond between wild-type NuiA’s D121 and NucA’s E24 (Fig. 4).Fig. 4Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line)\n\nDatabase errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line)\nAlthough the significance of the improvement in this single ‘case study’ cannot be evaluated statistically—and is likely to depend on the specific scientific question being considered—this result does suggest that small differences between the crystalized protein-protein complex and the complex whose binding affinity is measured—in this case a single amino acid mutation—may have a measurably negative affect on the accuracy of affinity prediction. The extent of similar errors in large-scale structure-affinity databases is unknown.\nMissing information about key affinity-determining factors from either the crystallization or affinity experiments could also affect affinity prediction accuracy. In one example, the crystal structure of GTP-Bound Rab4Q67L GTPase in complex with the central Rab binding domain of Rabenosyn-5 (PDB ID 1Z0K) has an additional cofactor, 2-(N-morpholino)-ethanesulfonic acid or MES, which was not present in the binding assay [69]. This complex was the 4th worst prediction made by the statistical model (predicted pKd = 9.14; experimental pKd = 5.11). Although the extent to which the presence/absence of the MES cofactor may have affected affinity prediction is unclear, that the crystalized complex does not correspond to the complex assayed in the experimental affinity measurement raises concerns about the accuracy of this database entry.\nOther examples of missing information likely to affect affinity prediction could be manually identified from the affinity benchmark database [28], many of which appear to have had a negative impact on affinity predictions made by our statistical model (see Additional file 1: Text S2). Overall, we found 4 of the 10 worst predictions made by the statistical model were for complexes with obvious mismatches between crystallization and binding assay conditions or cases in which information potentially impacting affinity measurement or crystallization was missing from the database (Additional file 1: Table S4).\nThese potential database errors were identifiable due to the amount of detail provided in small curated databases like the protein-protein affinity benchmark [28]. However, we expect similar potential issues exist in large-scale databases like PDBbind and BindingDB, which together contain >10,000 protein-ligand structures [30, 57]. Many of the entries in these large structure-affinity databases lack information concerning binding assay and/or crystallization conditions. Our results suggest that this information may be critical for supporting accurate, high-throughput affinity prediction and also important for identifying potential database errors.\nWe also identified a handful of cases in which binding affinity values were incorrectly entered in the PDBbind database. For example, the binding affinity (pKd) assigned to Human prolactin (hPRL) in complex with its receptor is 0.67 in PDBbind, whereas the experimentally-determined binding affinity from the literature is >5.65, depending on pH [70]. Similarly, the prolactin and prolactin receptor mutant complex has an assigned pKd of 1.03 in PDBbind, whereas the affinity from the literature is 6.14 [70]. Although these particular cases were manually corrected in the filtered dataset used for this study, the extent to which various errors are present in large structure-affinity databases remains unknown, making it difficult to characterize the potential effects of database errors on affinity prediction.", "The accuracy of machine learning and other statistical prediction methods depends on having a large quantity of high-quality training data. Errors in the training data can impair the inferred model’s predictive performance [71], whereas a too-small training dataset can interfere with generalizability to new data [72]. Our results suggest that curation errors, lack of information about experimental conditions and low-quality data present in large structure-affinity databases could reduce the maximum achievable accuracy of protein-protein affinity prediction models developed from these databases.\nWe have shown that limiting training data to high-resolution crystal structures—easily extracted from structural information—can dramatically improve affinity prediction. However, we are cautious that the resulting reduction in breadth of training data may limit the generalizability of inferred models to new problems, particularly complex structural interactions that may not crystalize at high resolution due to inherent flexibility.\nWe have also shown that incorporating information about the experimental conditions used to measure binding affinity may be important for producing accurate affinity predictions from structural data, probably due to their effects on resulting affinity measurements. Unfortunately, most large structure-affinity databases do not include detailed experimental information, and databases that do include this information appear to have at least some examples of dramatic mismatches between crystallographic and affinity-measurement conditions. The extent to which these types of potential errors are present in large-scale databases is not known, making it difficult to assess the general impact of these potential problems on affinity prediction.", "Although careful manual curation can be used to develop high-quality structure-affinity databases, this approach is unlikely to scale up to the number of structures required for training robust, generalizable predictive models. A possible computational approach to building high-quality, large-scale structure-affinity databases would be to extract detailed information about crystallographic and affinity-measurement conditions directly from scientific literature using text-mining approaches [73–75], although errors in text-mining could then potentially propagate to training databases. Alternatively, authors could be encouraged to directly supply the required information as part of a database submission policy associated with scientific publication. This approach has been successfully used to develop the Protein Data Bank [32], Genbank [76] and similar community resources. Ultimately, it may be up to the community of researchers to develop the standards and practices necessary to support large-scale investigations of the general structural basis for protein-protein interactions.", " \nAdditional file 1:Appendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb)\n\nAppendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb)\n\nAdditional file 1:Appendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb)\n\nAppendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb)", "\nAdditional file 1:Appendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb)\n\nAppendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb)" ]
[ "introduction", "materials|methods", null, null, "results", null, null, null, null, "discussion", "conclusion", "supplementary-material", null ]
[ "Protein-protein", "Binding affinity", "Machine learning", "Intermolecular interactions", "Scoring functions" ]
Background: Proteins are involved in the majority of chemical reactions that take place within living cells, making them essential for all aspects of cellular function. Proteins never work in isolation; their functional repertoire is determined by how they interact with various small-molecule, DNA/RNA, protein or other ligands. Ligand affinity is largely determined by a protein’s 3-dimensional structure, which determines the spatial conformation of attractive and repulsive forces between the protein and a potential ligand [1–3]. The affinity with which a protein interacts with various ligands–typically expressed as the dissociation constant (Kd or pKd = −log Kd)—provides critical information about protein function and biochemistry, and has been used for the discovery and optimization of novel pharmaceuticals [4–6]. High-throughput prediction of protein-ligand affinity is typically conducted using a fast statistical “scoring function” that decomposes binding affinity into component atom-atom interaction terms representing the attractive and repulsive forces acting across the protein-ligand complex [7, 8]. Although scoring functions can be derived directly from physical chemistry principles [9], the most effective approaches are usually “trained” using large databases of structural complexes with associated experimentally-determined binding affinities [10–12]. After training, a model’s expected predictive accuracy can be gauged by correlating its predicted affinities with experimentally-determined values across a novel dataset not included in training [13, 14]. Many scoring functions are capable of using only the atomic interactions extracted from crystal structures to rapidly predict protein-small molecule affinities with >70% correlation, which is commonly considered adequate to support structure-based drug design [11, 15–21]. Recently, we developed efficient statistical models capable of predicting protein-DNA/RNA affinities with similar accuracy [22]. Our structure-based prediction models also revealed that different combinations of atom-atom interactions are important for predicting different types of protein-ligand complexes. However, no statistical models we examined were capable of predicting protein-protein affinity with >60% correlation, even under the ‘best case’ scenario in which the protein-protein complex was known experimentally. Accurate prediction of protein-protein interactions is a major goal of computational structural biology, and many approaches have been examined to improve the accuracy of protein-protein affinity prediction [23]. The structural basis of protein-protein interactions is typically more complex and flexible than other protein-ligand interactions, suggesting that entropic forces may be more important in protein-protein interactions [24, 25]. Physics-based approaches such as molecular dynamics can model entropic factors and produce highly-accurate affinity predictions but are too computationally complex to support high-throughput analyses [10–12, 17, 26, 27]. As an alternative approach, smaller manually-curated affinity benchmarks have been proposed to improve the accuracy of high-throughput statistical affinity prediction [28]. However, predictive accuracy on manually-curated datasets rarely exceeds ~60% correlation [29], and accuracy achieved using carefully curated datasets may not generalize well to new data. Importantly, the specific factors that may influence statistical prediction of protein-protein affinity have not been identified, making it difficult to devise reasonable strategies to improve current methods. Methods: Structural dataset curation X-ray and NMR structures of protein-protein complexes and their associated binding affinities (−log10-transformed dissociation constants, pKds) were obtained from PDBbind [30] and from the protein-protein affinity benchmark database [28]. Complexes with ambiguous ligand information were excluded, as were complexes with multiple ligands or mulitimeric proteins, similar to previous approaches applied for building refined protein-ligand data sets [11, 30, 31]. From each protein − protein complex, we extracted a suite of non-redundant atom-atom interactions thought to potentially correlate with ligand affinity. Details on how each atom-atom interaction is defined and calculated are presented in our previous work [22]. We included only those atomic interactions that could be determined entirely from atomic coordinates and atom types in a standard PDB file. For each protein-protein complex, we extracted additional information on structure acquisition method, temperature, pH, and crystal resolution from the Protein Data Bank [32]. We constructed data sets of 569 protein-protein complexes with assigned temperature data, 545 complexes with pH information and 622 complexes with acquisition method and resolution information. When several temperature values were available for the same structure, we used the mean temperature. We constructed filtered data sets based on structural resolution and acquisition method, with 205 high-resolution structures (≤2.5 Å) and 165 NMR structures. For each complex, we extracted additional information on binding assay pH, temperature, and methodology from the protein-protein affinity benchmark database, which is a nonredundant set of 144 protein-protein complexes with detailed information on the experimental methods used for measuring binding affinities [28]. We extracted pH data for 127 complexes, temperature data for 103 complexes and binding assay technology for 136 complexes. Information available for each protein-protein complex is provided in Additional file 1: Table S1. X-ray and NMR structures of protein-protein complexes and their associated binding affinities (−log10-transformed dissociation constants, pKds) were obtained from PDBbind [30] and from the protein-protein affinity benchmark database [28]. Complexes with ambiguous ligand information were excluded, as were complexes with multiple ligands or mulitimeric proteins, similar to previous approaches applied for building refined protein-ligand data sets [11, 30, 31]. From each protein − protein complex, we extracted a suite of non-redundant atom-atom interactions thought to potentially correlate with ligand affinity. Details on how each atom-atom interaction is defined and calculated are presented in our previous work [22]. We included only those atomic interactions that could be determined entirely from atomic coordinates and atom types in a standard PDB file. For each protein-protein complex, we extracted additional information on structure acquisition method, temperature, pH, and crystal resolution from the Protein Data Bank [32]. We constructed data sets of 569 protein-protein complexes with assigned temperature data, 545 complexes with pH information and 622 complexes with acquisition method and resolution information. When several temperature values were available for the same structure, we used the mean temperature. We constructed filtered data sets based on structural resolution and acquisition method, with 205 high-resolution structures (≤2.5 Å) and 165 NMR structures. For each complex, we extracted additional information on binding assay pH, temperature, and methodology from the protein-protein affinity benchmark database, which is a nonredundant set of 144 protein-protein complexes with detailed information on the experimental methods used for measuring binding affinities [28]. We extracted pH data for 127 complexes, temperature data for 103 complexes and binding assay technology for 136 complexes. Information available for each protein-protein complex is provided in Additional file 1: Table S1. Statistical modeling, model selection and cross-validation We updated the original version of our protein-protein affinity prediction model [22] by adding parameters for estimating hydrophobic surface tension and hydrophobicity. The hydrophobicity algorithm used is adapted from [33]. Each amino acid in the surface has a pre-defined hydrophobicity score, modulated by peptide endings and varying between approximately −1 (most hydrophilic) and +2 (most hydrophobic). The surface tension parameter was calculated by summing the atomic contributions of each amino acid to the protein surface tension. These atomic contribution scores were adapted from [34]. Other atom-atom interaction terms in the present statistical model are identical to those defined and evaluated in our previous work [22]. Statistical models were implemented using a generalized linear model framework (GLM, implemented in the GLMULTI package in R), assuming a Gaussian error distribution with logarithmic link function. We used the GLMULTI genetic algorithm to generate 500 candidate models (default parameters, except population size = 500, level = 2, and marginality enabled) and selected the best-fit model for each training dataset using the Akaike information criterion (AIC). We evaluated the potential for new features to improve affinity prediction models by calculating the Pearson correlation (r 2) between predicted and experimental binding affinities on the training data after model fitting, which represents the ‘best-case’ possible accuracy. We then used cross-validation to estimate the expected accuracy of each trained statistical model when applied to new data and to evaluate possible model over-fitting to training data [13, 14]. For each model, we performed 100 replicates of leave-one-out cross-validation. For each replicate, we randomly partitioned the structural data into a testing data set of size n = 1, with the remaining complexes used to train the regression model. We calculated the Pearson correlation (r 2) and root mean squared deviation (RMSD) between predicted and experimentally-determined binding affinities on the unseen testing data and report the average r 2 and RMSD of each model over the 100 replicates. Differences in accuracy were assessed using the parametric two-tailed, two-sample t test, assuming unequal variances, and the nonparametric Mann–Whitney U test. For evaluating the effects of dataset subsampling on predictive accuracy, we used Fisher’s z-transformation, which incorporates a correction for comparing results obtained on a subsample to results from the full dataset (33). In addition, we performed 1000 replicates of random subsampling to evaluate the expected effect of subsampling on predictive accuracy. We updated the original version of our protein-protein affinity prediction model [22] by adding parameters for estimating hydrophobic surface tension and hydrophobicity. The hydrophobicity algorithm used is adapted from [33]. Each amino acid in the surface has a pre-defined hydrophobicity score, modulated by peptide endings and varying between approximately −1 (most hydrophilic) and +2 (most hydrophobic). The surface tension parameter was calculated by summing the atomic contributions of each amino acid to the protein surface tension. These atomic contribution scores were adapted from [34]. Other atom-atom interaction terms in the present statistical model are identical to those defined and evaluated in our previous work [22]. Statistical models were implemented using a generalized linear model framework (GLM, implemented in the GLMULTI package in R), assuming a Gaussian error distribution with logarithmic link function. We used the GLMULTI genetic algorithm to generate 500 candidate models (default parameters, except population size = 500, level = 2, and marginality enabled) and selected the best-fit model for each training dataset using the Akaike information criterion (AIC). We evaluated the potential for new features to improve affinity prediction models by calculating the Pearson correlation (r 2) between predicted and experimental binding affinities on the training data after model fitting, which represents the ‘best-case’ possible accuracy. We then used cross-validation to estimate the expected accuracy of each trained statistical model when applied to new data and to evaluate possible model over-fitting to training data [13, 14]. For each model, we performed 100 replicates of leave-one-out cross-validation. For each replicate, we randomly partitioned the structural data into a testing data set of size n = 1, with the remaining complexes used to train the regression model. We calculated the Pearson correlation (r 2) and root mean squared deviation (RMSD) between predicted and experimentally-determined binding affinities on the unseen testing data and report the average r 2 and RMSD of each model over the 100 replicates. Differences in accuracy were assessed using the parametric two-tailed, two-sample t test, assuming unequal variances, and the nonparametric Mann–Whitney U test. For evaluating the effects of dataset subsampling on predictive accuracy, we used Fisher’s z-transformation, which incorporates a correction for comparing results obtained on a subsample to results from the full dataset (33). In addition, we performed 1000 replicates of random subsampling to evaluate the expected effect of subsampling on predictive accuracy. Structural dataset curation: X-ray and NMR structures of protein-protein complexes and their associated binding affinities (−log10-transformed dissociation constants, pKds) were obtained from PDBbind [30] and from the protein-protein affinity benchmark database [28]. Complexes with ambiguous ligand information were excluded, as were complexes with multiple ligands or mulitimeric proteins, similar to previous approaches applied for building refined protein-ligand data sets [11, 30, 31]. From each protein − protein complex, we extracted a suite of non-redundant atom-atom interactions thought to potentially correlate with ligand affinity. Details on how each atom-atom interaction is defined and calculated are presented in our previous work [22]. We included only those atomic interactions that could be determined entirely from atomic coordinates and atom types in a standard PDB file. For each protein-protein complex, we extracted additional information on structure acquisition method, temperature, pH, and crystal resolution from the Protein Data Bank [32]. We constructed data sets of 569 protein-protein complexes with assigned temperature data, 545 complexes with pH information and 622 complexes with acquisition method and resolution information. When several temperature values were available for the same structure, we used the mean temperature. We constructed filtered data sets based on structural resolution and acquisition method, with 205 high-resolution structures (≤2.5 Å) and 165 NMR structures. For each complex, we extracted additional information on binding assay pH, temperature, and methodology from the protein-protein affinity benchmark database, which is a nonredundant set of 144 protein-protein complexes with detailed information on the experimental methods used for measuring binding affinities [28]. We extracted pH data for 127 complexes, temperature data for 103 complexes and binding assay technology for 136 complexes. Information available for each protein-protein complex is provided in Additional file 1: Table S1. Statistical modeling, model selection and cross-validation: We updated the original version of our protein-protein affinity prediction model [22] by adding parameters for estimating hydrophobic surface tension and hydrophobicity. The hydrophobicity algorithm used is adapted from [33]. Each amino acid in the surface has a pre-defined hydrophobicity score, modulated by peptide endings and varying between approximately −1 (most hydrophilic) and +2 (most hydrophobic). The surface tension parameter was calculated by summing the atomic contributions of each amino acid to the protein surface tension. These atomic contribution scores were adapted from [34]. Other atom-atom interaction terms in the present statistical model are identical to those defined and evaluated in our previous work [22]. Statistical models were implemented using a generalized linear model framework (GLM, implemented in the GLMULTI package in R), assuming a Gaussian error distribution with logarithmic link function. We used the GLMULTI genetic algorithm to generate 500 candidate models (default parameters, except population size = 500, level = 2, and marginality enabled) and selected the best-fit model for each training dataset using the Akaike information criterion (AIC). We evaluated the potential for new features to improve affinity prediction models by calculating the Pearson correlation (r 2) between predicted and experimental binding affinities on the training data after model fitting, which represents the ‘best-case’ possible accuracy. We then used cross-validation to estimate the expected accuracy of each trained statistical model when applied to new data and to evaluate possible model over-fitting to training data [13, 14]. For each model, we performed 100 replicates of leave-one-out cross-validation. For each replicate, we randomly partitioned the structural data into a testing data set of size n = 1, with the remaining complexes used to train the regression model. We calculated the Pearson correlation (r 2) and root mean squared deviation (RMSD) between predicted and experimentally-determined binding affinities on the unseen testing data and report the average r 2 and RMSD of each model over the 100 replicates. Differences in accuracy were assessed using the parametric two-tailed, two-sample t test, assuming unequal variances, and the nonparametric Mann–Whitney U test. For evaluating the effects of dataset subsampling on predictive accuracy, we used Fisher’s z-transformation, which incorporates a correction for comparing results obtained on a subsample to results from the full dataset (33). In addition, we performed 1000 replicates of random subsampling to evaluate the expected effect of subsampling on predictive accuracy. Results: Statistical prediction of protein-protein binding affinity relies on information extracted from large structure-affinity databases [29, 35]. Accuracy and generalizability of predictive models is therefore expected to depend on the quantity and quality of information in the training database as well as the particular types of information available [36]. To evaluate how various aspects of structure-affinity databases affect the accuracy of protein-protein affinity prediction, we examined 1577 protein-protein complexes from the PDBbind database, a comprehensive collection of experimentally-determined affinity measurements assigned to 3-dimensional structural complexes, commonly used to evaluate affinity prediction algorithms [30]. We found that nearly 2/3 of the protein-protein complexes in PDBbind had ambiguous affinity measurements or multiple ligands, making it difficult to confidently assign affinity information to specific components of the structural complex (see Additional file 1: Text S1). We identified 955 ambiguous complexes, with an additional 20 complexes removed due to missing coordinates and/or steric clashes [37, 38]. Removing these complexes resulted in a filtered training database of 622 protein-protein dimers. Consistent with results from previous studies [11, 19, 35, 39, 40], we found that removing complexes with ambiguous, missing or unreliable data was required to support robust training of affinity prediction models (see Additional file 1: Figure S1 and associated text). Models trained using either the complete PDBbind (1557 complexes) or the filtered database of 622 dimers performed very poorly when applied to the complete PDBbind dataset. For the remainder of this study, we therefore focus our analyses on the filtered PDBbind database of 622 dimers. Incorporating additional structural features improves protein-protein affinity prediction We have previously developed statistical approaches for predicting protein-protein affinity incorporating a wide range of atom-atom interaction terms expected to impact macromolecular interactions [22]. However, in those analyses, protein-protein affinities could not be predicted with >0.49 correlation, after cross-validation. Applying these models to our filtered PDBbind dataset resulted in a correlation between predicted and experimentally-determined binding affinities of 0.44 in cross-validation analyses (Fig. 1a).Fig. 1Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling We did find that including additional atom-atom interaction terms can improve the accuracy of affinity-prediction models. For example, hydrophobicity [33] and surface tension parameters [34] are weakly correlated with binding affinity across the filtered PDBbind dataset (Spearman correlation >0.10, p < 7.48x10−3; Additional file 1: Figure S2A). Incorporating these parameters into the predictive model improved the correlation between predicted and experimentally-determined affinities in cross-validation analyses from 0.44 to 0.54 (one-tailed Fisher’s z = 2.04, p = 0.0207; Fig. 1a). We also evaluated the relationship between binding affinity and structural changes caused by protein-protein binding by examining the change in conformational entropy upon complex formation. This can be roughly calculated by comparing the structure of the bound complex (holo) to the unbound (apo) structures and has been successfully applied for predicting binding affinity in a small dataset of 17 protein-protein complexes [41]. We extracted 143 holo complexes with corresponding apo structures from the protein-protein affinity benchmark database (Additional file 1: Table S2). Differences between holo and the apo forms were characterized by calculating root mean squared deviations (RMSDs) and changes in the accessible-to-solvent surface area upon complex formation. Although RMSD was not correlated with experimental binding affinity (Spearman correlation = 0.02, p = 0.73), we did observe a significant correlation between binding affinity and the change in accessible-to-solvent area caused by formation of the protein-protein binding interface, suggesting that this parameter may be useful for improving affinity prediction (Spearman correlation = −0.28, p = 8.63x10−4, Additional file 1: Figure S2B). Cross-validation analysis confirmed that including changes in the accessible-to-solvent area as an explanatory variable improved affinity prediction accuracy, both on the Affinity Benchmark database (r 2 = 0.41 vs. 0.55; William’s test p = 2.3x10−3) and the filtered PDBBind database (r 2 = 0.46 vs. 0.49; William’s test p = 2.6x10−3; Fig. 1b). Scoring functions that exhibit a Pearson correlation >0.72 and an RMSD <2 Å between predicted and experimental binding affinity in cross-validation analyses are commonly characterized as providing robust affinity inferences [11, 40, 42–44]. While our results do suggest that incorporating additional structural information can improve protein-protein affinity prediction, the improvements in accuracy we observed were generally incremental, and even best-case accuracy currently remains too low to support robust affinity inferences. Existing studies of protein-protein affinity prediction have occasionally identified models capable of accurately predicting affinities on carefully curated small datasets, but accurate prediction of protein-protein affinity across large structure-affinity databases has remained unobtainable [23]. This could be due to lack of generalizability, possibly because curation of small datasets may inadvertently select for a subset of the structural features present in large-scale databases. Alternatively, the quality of both structural and affinity data in large databases could be highly variable, making some complexes more ‘difficult’ to accurately predict than others and potentially misleading model training procedures. Currently, almost nothing is known about how variation in characteristics of the structural and experimental data in structure-affinity databases might impact protein-protein affinity prediction. We examine this potential issue for the remainder of this study. We have previously developed statistical approaches for predicting protein-protein affinity incorporating a wide range of atom-atom interaction terms expected to impact macromolecular interactions [22]. However, in those analyses, protein-protein affinities could not be predicted with >0.49 correlation, after cross-validation. Applying these models to our filtered PDBbind dataset resulted in a correlation between predicted and experimentally-determined binding affinities of 0.44 in cross-validation analyses (Fig. 1a).Fig. 1Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling We did find that including additional atom-atom interaction terms can improve the accuracy of affinity-prediction models. For example, hydrophobicity [33] and surface tension parameters [34] are weakly correlated with binding affinity across the filtered PDBbind dataset (Spearman correlation >0.10, p < 7.48x10−3; Additional file 1: Figure S2A). Incorporating these parameters into the predictive model improved the correlation between predicted and experimentally-determined affinities in cross-validation analyses from 0.44 to 0.54 (one-tailed Fisher’s z = 2.04, p = 0.0207; Fig. 1a). We also evaluated the relationship between binding affinity and structural changes caused by protein-protein binding by examining the change in conformational entropy upon complex formation. This can be roughly calculated by comparing the structure of the bound complex (holo) to the unbound (apo) structures and has been successfully applied for predicting binding affinity in a small dataset of 17 protein-protein complexes [41]. We extracted 143 holo complexes with corresponding apo structures from the protein-protein affinity benchmark database (Additional file 1: Table S2). Differences between holo and the apo forms were characterized by calculating root mean squared deviations (RMSDs) and changes in the accessible-to-solvent surface area upon complex formation. Although RMSD was not correlated with experimental binding affinity (Spearman correlation = 0.02, p = 0.73), we did observe a significant correlation between binding affinity and the change in accessible-to-solvent area caused by formation of the protein-protein binding interface, suggesting that this parameter may be useful for improving affinity prediction (Spearman correlation = −0.28, p = 8.63x10−4, Additional file 1: Figure S2B). Cross-validation analysis confirmed that including changes in the accessible-to-solvent area as an explanatory variable improved affinity prediction accuracy, both on the Affinity Benchmark database (r 2 = 0.41 vs. 0.55; William’s test p = 2.3x10−3) and the filtered PDBBind database (r 2 = 0.46 vs. 0.49; William’s test p = 2.6x10−3; Fig. 1b). Scoring functions that exhibit a Pearson correlation >0.72 and an RMSD <2 Å between predicted and experimental binding affinity in cross-validation analyses are commonly characterized as providing robust affinity inferences [11, 40, 42–44]. While our results do suggest that incorporating additional structural information can improve protein-protein affinity prediction, the improvements in accuracy we observed were generally incremental, and even best-case accuracy currently remains too low to support robust affinity inferences. Existing studies of protein-protein affinity prediction have occasionally identified models capable of accurately predicting affinities on carefully curated small datasets, but accurate prediction of protein-protein affinity across large structure-affinity databases has remained unobtainable [23]. This could be due to lack of generalizability, possibly because curation of small datasets may inadvertently select for a subset of the structural features present in large-scale databases. Alternatively, the quality of both structural and affinity data in large databases could be highly variable, making some complexes more ‘difficult’ to accurately predict than others and potentially misleading model training procedures. Currently, almost nothing is known about how variation in characteristics of the structural and experimental data in structure-affinity databases might impact protein-protein affinity prediction. We examine this potential issue for the remainder of this study. Crystal resolution affects protein-protein affinity prediction accuracy Crystallographic resolution is proportional to the precision of the 3-dimensional coordinates of the atoms in the structure. Typically, high-resolution structures (<2.5 Å) exhibit correct folding, have very small numbers of incorrect rotamers and present accurate surface loops. In contrast, low-resolution structures (>3.5 Å) are more likely to result in folding errors or incorrectly-modeled surface loops [45, 46]. We hypothesized that high-resolution structures would produce more reliable atom-atom interaction calculations and result in more accurate binding affinity predictions. We did observe a weak but significant correlation between crystal resolution and the difference between predicted and experimental binding affinities (r 2 = 0.11, p = 5.26x10−3; Additional file 1: Figure S3A). However, including crystal resolution as a parameter in the affinity prediction model did not improve the correlation between predicted and experimental affinities, even across complexes included in the training dataset (r 2 = 0.64 vs. 0.65; Fisher one-tailed z = 0.16, p = 0.87; Fig. 2a). These results suggest that using crystal resolution as an explanatory variable in the model is unlikely to improve affinity prediction accuracy, even in the ‘best case’ scenario in which new data ‘look’ exactly like the data used for training.Fig. 2High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r 2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r 2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors However, constraining our training dataset to only include high-resolution structures (<2.5 Å, resulting in 205 protein-protein complexes) improved the correlation between predicted and experimental affinities on training data from 0.64 to 0.85 (Fisher one-tailed z = 6.14, p = 7.97x10−10; Fig. 2b). Furthermore, cross-validation analysis using only high-resolution structures resulted in increased predictive accuracy when applied to new data not included in training (r 2 = 0.54 vs. 0.68; Fisher two-tailed z = 2.85, p = 4.32x10−3; Fig. 2c,d). Although Fisher’s z-transformation incorporates a correction for comparing results obtained on a subsample to results from the full dataset [47], we were concerned that selecting a subsample of the original testing data could lead to a spurious improvement in predictive accuracy, irrespective of the effects of higher crystal resolution. However, when we randomly selected subsets of equivalent size, accuracy never improved to the extent observed for the high-resolution dataset (p < 4x10−3; Fig. 2b). Although these results suggest that training protein-protein affinity prediction using high-resolution structures may improve predictive accuracy, different types of complexes are likely to crystalize at different resolutions. If complexes whose affinities are more difficult to predict for inherent reasons also tend to crystalize at lower resolution, the effects of resolution on predictive accuracy may be indirect. To address this issue, we grouped protein-protein complexes into clusters based on 90% sequence identity. Within each cluster of similar complexes, we calculated the correlation between crystal resolution and affinity prediction accuracy (Additional file 1: Table S3). Although there were only 21 clusters with >3 similar complexes in our dataset, we did find that all the clusters exhibiting a significant correlation between resolution and affinity prediction were consistent with the expectation that higher-resolution structures produced more accurate affinity predictions. While it is not possible to generalize from such limited data, these results do suggest that higher resolution structures may improve affinity prediction accuracy across at least some groups of similar protein-protein complexes. Restricting training and testing data to either high-resolution or NMR data also resulted in a reduction of root-mean squared deviation (RMSD) between predicted and experimental affinities, compared to the original dataset (high-resolution and NMR RMSDs = 1.79 and 1.56, respectively, vs. 1.90 for the original dataset, t-test p < 0.03, Mann–Whitney p < 0.01; Fig. 2d). Together, these results suggest that training statistical models using high-resolution crystal structures or NMR data may improve affinity prediction accuracy when trained models are applied to new data. It is interesting that restricting training data to NMR structures also improved predictive accuracy (see Fig. 2), as the resolution of NMR structures is typically lower than X-ray crystal structures. However, NMR structures are determined from proteins in solution, which may more accurately reflect the native functional environment of the protein [48, 49]. The capacity to capture protein-protein interactions in solution may contribute to the improved predictive accuracy of models trained using NMR data, particularly for cases in which the crystallographic process might introduce structural artifacts. Experimental conditions such as temperature and pH are critical for the formation and stability of a protein crystal [50]. However, the optimal conditions for crystallization may differ from those used for measuring binding affinity, potentially creating a mismatch between a crystalized protein-protein complex and that same complex in experimental solution. To examine the potential effects of crystallization conditions on protein-protein affinity prediction, we extracted temperature and pH information from the Protein Data Bank [51] for the complexes in our training dataset and evaluated the effect of including this information on predictive accuracy. Although both crystallization temperature and pH were weakly negatively correlated with experimental binding affinity (r 2 = −0.26, p = 4.91x10−10 and r 2 = −0.16, p = 1.96x10−4 for temperature and pH, respectively. Additional file 1: Figure S3B), we observed no improvement in predictive accuracy when these parameters were incorporated into the statistical model (Fisher one-tailed z < 0.1, p > 0.92; Fig. 2a). Overall, these results suggest that the quality of structural data can affect the accuracy of statistical affinity prediction, and that training models using high-quality structures may be one avenue available to improve protein-protein and other affinity predictions. While limiting training data to high-resolution structures was not required for accurate prediction of protein-small molecule or protein-DNA/RNA affinities in our previous analysis [22], protein-protein complexes typically have larger numbers of atoms at the protein-ligand interface and may be more sensitive to potential errors induced by lower crystal resolution. Differences in crystal resolution across protein-small molecule, protein-DNA/RNA and protein-protein training datasets may also contribute to differences in affinity prediction accuracy. Crystallographic resolution is proportional to the precision of the 3-dimensional coordinates of the atoms in the structure. Typically, high-resolution structures (<2.5 Å) exhibit correct folding, have very small numbers of incorrect rotamers and present accurate surface loops. In contrast, low-resolution structures (>3.5 Å) are more likely to result in folding errors or incorrectly-modeled surface loops [45, 46]. We hypothesized that high-resolution structures would produce more reliable atom-atom interaction calculations and result in more accurate binding affinity predictions. We did observe a weak but significant correlation between crystal resolution and the difference between predicted and experimental binding affinities (r 2 = 0.11, p = 5.26x10−3; Additional file 1: Figure S3A). However, including crystal resolution as a parameter in the affinity prediction model did not improve the correlation between predicted and experimental affinities, even across complexes included in the training dataset (r 2 = 0.64 vs. 0.65; Fisher one-tailed z = 0.16, p = 0.87; Fig. 2a). These results suggest that using crystal resolution as an explanatory variable in the model is unlikely to improve affinity prediction accuracy, even in the ‘best case’ scenario in which new data ‘look’ exactly like the data used for training.Fig. 2High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r 2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r 2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors However, constraining our training dataset to only include high-resolution structures (<2.5 Å, resulting in 205 protein-protein complexes) improved the correlation between predicted and experimental affinities on training data from 0.64 to 0.85 (Fisher one-tailed z = 6.14, p = 7.97x10−10; Fig. 2b). Furthermore, cross-validation analysis using only high-resolution structures resulted in increased predictive accuracy when applied to new data not included in training (r 2 = 0.54 vs. 0.68; Fisher two-tailed z = 2.85, p = 4.32x10−3; Fig. 2c,d). Although Fisher’s z-transformation incorporates a correction for comparing results obtained on a subsample to results from the full dataset [47], we were concerned that selecting a subsample of the original testing data could lead to a spurious improvement in predictive accuracy, irrespective of the effects of higher crystal resolution. However, when we randomly selected subsets of equivalent size, accuracy never improved to the extent observed for the high-resolution dataset (p < 4x10−3; Fig. 2b). Although these results suggest that training protein-protein affinity prediction using high-resolution structures may improve predictive accuracy, different types of complexes are likely to crystalize at different resolutions. If complexes whose affinities are more difficult to predict for inherent reasons also tend to crystalize at lower resolution, the effects of resolution on predictive accuracy may be indirect. To address this issue, we grouped protein-protein complexes into clusters based on 90% sequence identity. Within each cluster of similar complexes, we calculated the correlation between crystal resolution and affinity prediction accuracy (Additional file 1: Table S3). Although there were only 21 clusters with >3 similar complexes in our dataset, we did find that all the clusters exhibiting a significant correlation between resolution and affinity prediction were consistent with the expectation that higher-resolution structures produced more accurate affinity predictions. While it is not possible to generalize from such limited data, these results do suggest that higher resolution structures may improve affinity prediction accuracy across at least some groups of similar protein-protein complexes. Restricting training and testing data to either high-resolution or NMR data also resulted in a reduction of root-mean squared deviation (RMSD) between predicted and experimental affinities, compared to the original dataset (high-resolution and NMR RMSDs = 1.79 and 1.56, respectively, vs. 1.90 for the original dataset, t-test p < 0.03, Mann–Whitney p < 0.01; Fig. 2d). Together, these results suggest that training statistical models using high-resolution crystal structures or NMR data may improve affinity prediction accuracy when trained models are applied to new data. It is interesting that restricting training data to NMR structures also improved predictive accuracy (see Fig. 2), as the resolution of NMR structures is typically lower than X-ray crystal structures. However, NMR structures are determined from proteins in solution, which may more accurately reflect the native functional environment of the protein [48, 49]. The capacity to capture protein-protein interactions in solution may contribute to the improved predictive accuracy of models trained using NMR data, particularly for cases in which the crystallographic process might introduce structural artifacts. Experimental conditions such as temperature and pH are critical for the formation and stability of a protein crystal [50]. However, the optimal conditions for crystallization may differ from those used for measuring binding affinity, potentially creating a mismatch between a crystalized protein-protein complex and that same complex in experimental solution. To examine the potential effects of crystallization conditions on protein-protein affinity prediction, we extracted temperature and pH information from the Protein Data Bank [51] for the complexes in our training dataset and evaluated the effect of including this information on predictive accuracy. Although both crystallization temperature and pH were weakly negatively correlated with experimental binding affinity (r 2 = −0.26, p = 4.91x10−10 and r 2 = −0.16, p = 1.96x10−4 for temperature and pH, respectively. Additional file 1: Figure S3B), we observed no improvement in predictive accuracy when these parameters were incorporated into the statistical model (Fisher one-tailed z < 0.1, p > 0.92; Fig. 2a). Overall, these results suggest that the quality of structural data can affect the accuracy of statistical affinity prediction, and that training models using high-quality structures may be one avenue available to improve protein-protein and other affinity predictions. While limiting training data to high-resolution structures was not required for accurate prediction of protein-small molecule or protein-DNA/RNA affinities in our previous analysis [22], protein-protein complexes typically have larger numbers of atoms at the protein-ligand interface and may be more sensitive to potential errors induced by lower crystal resolution. Differences in crystal resolution across protein-small molecule, protein-DNA/RNA and protein-protein training datasets may also contribute to differences in affinity prediction accuracy. Lack of information on binding assay conditions impairs protein-protein affinity prediction In addition to crystallographic conditions or resolution, variation in the experimental conditions and assays used to measure binding affinity could affect prediction accuracy. Different proteins can have dramatically different activities across temperature, pH and concentration of ions or cofactors [52, 53], and assay conditions have been shown to strongly affect reaction rates [54–56]. Even though experimental conditions can be critical for evaluating affinity measurements, this information is not available in the major structure-affinity databases used for training statistical predictors [30, 57]. Detailed experimental information is available for a small protein-protein affinity benchmark database [28]. After excluding complexes with missing data, we obtained 127 protein-protein complexes with data indicating the pH of the binding affinity experiment and 103 complexes with temperature information (Additional file 1: Table S2). We found no significant increase in the correlation between predicted and experimental affinities when binding experiment pH was included as an explanatory variable, even across data used to train the model (r 2 = 0.67 vs. 0.69, William’s t = 0.43, p = 0.34; Fig. 3a). Although pH has been shown to affect binding affinity measurements in some systems [58–60], the effect of pH on pKd may depend on particular properties of the specific interacting proteins. We did observe a small, marginally-significant increase in correlation when including temperature in the model (r 2 = 0.70 vs. 0.76, William’s t = −1.81, p = 0.04; Fig. 3a). Cross-validation analysis confirmed that binding assay temperature has the capacity to improve affinity prediction accuracy when applied to unseen testing data (r 2 = 0.46 vs. 0.52; William’s t = −29.84, p = 9.03x10−188; Fig. 3b).Fig. 3Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors Although the dataset examined in this analysis was small, compared to the training data available in the filtered PDBbind data set (~100 vs. ~600 complexes), these results suggest that incorporating parameters describing the experimental conditions used to measure protein-protein binding affinity may be important for training affinity-prediction models. The lack of information describing binding assay conditions in large structure-affinity databases may impose a limit on the accuracy of statistical models constructed from these databases. Protein-protein affinity can be measured by a variety of approaches, some of which may more strongly impact affinity prediction than others. Common technologies used in the protein-protein affinity benchmark database [28] are Isothermal Titration Calorimetry (ITC [61]), surface plasmon resonance (SPR [62]), and inhibition assays [63–66]. We observed a weak but significant correlation between the use of inhibition assays and experimentally-determined affinity values (Spearman correlation = 0.33, p = 1.16x10−4), whereas ITC was weakly negatively correlated with affinity (Spearman correlation = −0.36, p = 1.84x10−5; Additional file 1: Figure S3C). These results suggest that reported affinity measurements are somewhat dependent on the type of assay used: inhibition assays typically result in higher affinities, whereas ITC tends to produce lower affinity values. It is not clear whether this “assay effect” represents a general bias in one or more of the methodologies used to assess binding affinity, or if different methodologies tend to be applied to complexes with higher vs. lower biological affinities. When we included experimental assay method as an explanatory variable in the statistical model, we observed a strong increase in predictive accuracy, assessed by cross-validation (r 2 = 0.35 vs. 0.65; William’s t = −29.84, p = 9.03x10−188; Fig. 3b). In addition, there was no significant difference between training and cross-validation correlation results (Fisher’s z = 1.22, p = 0.11; Fig. 3a,b), suggesting that the optimized statistical model—including assay method—exhibits minimum over-fitting. Incorporating binding assay conditions in our statistical model also resulted in a significant decrease in RMSD between predicted and experimentally-determined affinities (Fig. 3c). Adding binding assay pH to the statistical model reduced RMSD from 2.28 to 1.98 (t-test t = −7.61, p = 2.09x10−12; Mann–Whitney w = 2272, p = 2.66x10−11). Similarly, RMSD decreased from 2.40 to 2.10 when temperature was incorporated (t-test t = −5.80, p = 4.41x10−8; Mann–Whitney w = 3221, p = 1.39x10−5). Finally, RMSD decreased from 2.36 to 1.65 when binding assay method was included as a model parameter (t-test t = −15.58, p = 2.80x10−30; Mann–Whitney w = 383, p = 1.65x10−29). Overall, these results suggest that incorporating information about the experimental conditions used to measure protein-protein affinity can have a strong effect on the predictive accuracy of statistical models. Detailed experimental conditions are generally not incorporated into large-scale structure-affinity databases, which may place a practical upper bound on the accuracy of statistical affinity prediction. In addition to crystallographic conditions or resolution, variation in the experimental conditions and assays used to measure binding affinity could affect prediction accuracy. Different proteins can have dramatically different activities across temperature, pH and concentration of ions or cofactors [52, 53], and assay conditions have been shown to strongly affect reaction rates [54–56]. Even though experimental conditions can be critical for evaluating affinity measurements, this information is not available in the major structure-affinity databases used for training statistical predictors [30, 57]. Detailed experimental information is available for a small protein-protein affinity benchmark database [28]. After excluding complexes with missing data, we obtained 127 protein-protein complexes with data indicating the pH of the binding affinity experiment and 103 complexes with temperature information (Additional file 1: Table S2). We found no significant increase in the correlation between predicted and experimental affinities when binding experiment pH was included as an explanatory variable, even across data used to train the model (r 2 = 0.67 vs. 0.69, William’s t = 0.43, p = 0.34; Fig. 3a). Although pH has been shown to affect binding affinity measurements in some systems [58–60], the effect of pH on pKd may depend on particular properties of the specific interacting proteins. We did observe a small, marginally-significant increase in correlation when including temperature in the model (r 2 = 0.70 vs. 0.76, William’s t = −1.81, p = 0.04; Fig. 3a). Cross-validation analysis confirmed that binding assay temperature has the capacity to improve affinity prediction accuracy when applied to unseen testing data (r 2 = 0.46 vs. 0.52; William’s t = −29.84, p = 9.03x10−188; Fig. 3b).Fig. 3Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors Although the dataset examined in this analysis was small, compared to the training data available in the filtered PDBbind data set (~100 vs. ~600 complexes), these results suggest that incorporating parameters describing the experimental conditions used to measure protein-protein binding affinity may be important for training affinity-prediction models. The lack of information describing binding assay conditions in large structure-affinity databases may impose a limit on the accuracy of statistical models constructed from these databases. Protein-protein affinity can be measured by a variety of approaches, some of which may more strongly impact affinity prediction than others. Common technologies used in the protein-protein affinity benchmark database [28] are Isothermal Titration Calorimetry (ITC [61]), surface plasmon resonance (SPR [62]), and inhibition assays [63–66]. We observed a weak but significant correlation between the use of inhibition assays and experimentally-determined affinity values (Spearman correlation = 0.33, p = 1.16x10−4), whereas ITC was weakly negatively correlated with affinity (Spearman correlation = −0.36, p = 1.84x10−5; Additional file 1: Figure S3C). These results suggest that reported affinity measurements are somewhat dependent on the type of assay used: inhibition assays typically result in higher affinities, whereas ITC tends to produce lower affinity values. It is not clear whether this “assay effect” represents a general bias in one or more of the methodologies used to assess binding affinity, or if different methodologies tend to be applied to complexes with higher vs. lower biological affinities. When we included experimental assay method as an explanatory variable in the statistical model, we observed a strong increase in predictive accuracy, assessed by cross-validation (r 2 = 0.35 vs. 0.65; William’s t = −29.84, p = 9.03x10−188; Fig. 3b). In addition, there was no significant difference between training and cross-validation correlation results (Fisher’s z = 1.22, p = 0.11; Fig. 3a,b), suggesting that the optimized statistical model—including assay method—exhibits minimum over-fitting. Incorporating binding assay conditions in our statistical model also resulted in a significant decrease in RMSD between predicted and experimentally-determined affinities (Fig. 3c). Adding binding assay pH to the statistical model reduced RMSD from 2.28 to 1.98 (t-test t = −7.61, p = 2.09x10−12; Mann–Whitney w = 2272, p = 2.66x10−11). Similarly, RMSD decreased from 2.40 to 2.10 when temperature was incorporated (t-test t = −5.80, p = 4.41x10−8; Mann–Whitney w = 3221, p = 1.39x10−5). Finally, RMSD decreased from 2.36 to 1.65 when binding assay method was included as a model parameter (t-test t = −15.58, p = 2.80x10−30; Mann–Whitney w = 383, p = 1.65x10−29). Overall, these results suggest that incorporating information about the experimental conditions used to measure protein-protein affinity can have a strong effect on the predictive accuracy of statistical models. Detailed experimental conditions are generally not incorporated into large-scale structure-affinity databases, which may place a practical upper bound on the accuracy of statistical affinity prediction. Could database errors limit predictive accuracy? Manual examination of specific examples in the protein-protein affinity benchmark database [28] revealed that, in some cases, the conditions of the crystalized complex are so different from the conditions of the binding assay that it is not clear they are biochemically comparable. For example, the crystal structure of Nuclease A (NucA) in complex with intracellular inhibitor NuiA is a D121A mutant (PDB ID 2O3B), whereas the affinity assay was performed using the wild-type NuiA [67]. This particular complex was the 3rd worst prediction made by our statistical model, with a predicted pKd based on the mutant structure of 7.06 vs. an experimental pKd of the wild-type protein of 11.49. It is not clear whether this mis-prediction is due to a poor statistical fit to this complex or to differences between the binding affinities of the mutant vs. wild-type proteins. To evaluate the potential effects of this mismatch on predicted binding affinity accuracy, we generated the wild-type structure of NuiA using homology modeling [68] and re-estimated the binding affinity using the trained statistical model. Modeling the wild-type NuiA in complex with NucA increased the predicted pKd from 7.06 (mutant NuiA) to 7.49, decreasing the difference between predicted and experimentally-determined affinity somewhat, possibly because the D121A mutation disrupted a hydrogen bond between wild-type NuiA’s D121 and NucA’s E24 (Fig. 4).Fig. 4Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line) Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line) Although the significance of the improvement in this single ‘case study’ cannot be evaluated statistically—and is likely to depend on the specific scientific question being considered—this result does suggest that small differences between the crystalized protein-protein complex and the complex whose binding affinity is measured—in this case a single amino acid mutation—may have a measurably negative affect on the accuracy of affinity prediction. The extent of similar errors in large-scale structure-affinity databases is unknown. Missing information about key affinity-determining factors from either the crystallization or affinity experiments could also affect affinity prediction accuracy. In one example, the crystal structure of GTP-Bound Rab4Q67L GTPase in complex with the central Rab binding domain of Rabenosyn-5 (PDB ID 1Z0K) has an additional cofactor, 2-(N-morpholino)-ethanesulfonic acid or MES, which was not present in the binding assay [69]. This complex was the 4th worst prediction made by the statistical model (predicted pKd = 9.14; experimental pKd = 5.11). Although the extent to which the presence/absence of the MES cofactor may have affected affinity prediction is unclear, that the crystalized complex does not correspond to the complex assayed in the experimental affinity measurement raises concerns about the accuracy of this database entry. Other examples of missing information likely to affect affinity prediction could be manually identified from the affinity benchmark database [28], many of which appear to have had a negative impact on affinity predictions made by our statistical model (see Additional file 1: Text S2). Overall, we found 4 of the 10 worst predictions made by the statistical model were for complexes with obvious mismatches between crystallization and binding assay conditions or cases in which information potentially impacting affinity measurement or crystallization was missing from the database (Additional file 1: Table S4). These potential database errors were identifiable due to the amount of detail provided in small curated databases like the protein-protein affinity benchmark [28]. However, we expect similar potential issues exist in large-scale databases like PDBbind and BindingDB, which together contain >10,000 protein-ligand structures [30, 57]. Many of the entries in these large structure-affinity databases lack information concerning binding assay and/or crystallization conditions. Our results suggest that this information may be critical for supporting accurate, high-throughput affinity prediction and also important for identifying potential database errors. We also identified a handful of cases in which binding affinity values were incorrectly entered in the PDBbind database. For example, the binding affinity (pKd) assigned to Human prolactin (hPRL) in complex with its receptor is 0.67 in PDBbind, whereas the experimentally-determined binding affinity from the literature is >5.65, depending on pH [70]. Similarly, the prolactin and prolactin receptor mutant complex has an assigned pKd of 1.03 in PDBbind, whereas the affinity from the literature is 6.14 [70]. Although these particular cases were manually corrected in the filtered dataset used for this study, the extent to which various errors are present in large structure-affinity databases remains unknown, making it difficult to characterize the potential effects of database errors on affinity prediction. Manual examination of specific examples in the protein-protein affinity benchmark database [28] revealed that, in some cases, the conditions of the crystalized complex are so different from the conditions of the binding assay that it is not clear they are biochemically comparable. For example, the crystal structure of Nuclease A (NucA) in complex with intracellular inhibitor NuiA is a D121A mutant (PDB ID 2O3B), whereas the affinity assay was performed using the wild-type NuiA [67]. This particular complex was the 3rd worst prediction made by our statistical model, with a predicted pKd based on the mutant structure of 7.06 vs. an experimental pKd of the wild-type protein of 11.49. It is not clear whether this mis-prediction is due to a poor statistical fit to this complex or to differences between the binding affinities of the mutant vs. wild-type proteins. To evaluate the potential effects of this mismatch on predicted binding affinity accuracy, we generated the wild-type structure of NuiA using homology modeling [68] and re-estimated the binding affinity using the trained statistical model. Modeling the wild-type NuiA in complex with NucA increased the predicted pKd from 7.06 (mutant NuiA) to 7.49, decreasing the difference between predicted and experimentally-determined affinity somewhat, possibly because the D121A mutation disrupted a hydrogen bond between wild-type NuiA’s D121 and NucA’s E24 (Fig. 4).Fig. 4Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line) Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line) Although the significance of the improvement in this single ‘case study’ cannot be evaluated statistically—and is likely to depend on the specific scientific question being considered—this result does suggest that small differences between the crystalized protein-protein complex and the complex whose binding affinity is measured—in this case a single amino acid mutation—may have a measurably negative affect on the accuracy of affinity prediction. The extent of similar errors in large-scale structure-affinity databases is unknown. Missing information about key affinity-determining factors from either the crystallization or affinity experiments could also affect affinity prediction accuracy. In one example, the crystal structure of GTP-Bound Rab4Q67L GTPase in complex with the central Rab binding domain of Rabenosyn-5 (PDB ID 1Z0K) has an additional cofactor, 2-(N-morpholino)-ethanesulfonic acid or MES, which was not present in the binding assay [69]. This complex was the 4th worst prediction made by the statistical model (predicted pKd = 9.14; experimental pKd = 5.11). Although the extent to which the presence/absence of the MES cofactor may have affected affinity prediction is unclear, that the crystalized complex does not correspond to the complex assayed in the experimental affinity measurement raises concerns about the accuracy of this database entry. Other examples of missing information likely to affect affinity prediction could be manually identified from the affinity benchmark database [28], many of which appear to have had a negative impact on affinity predictions made by our statistical model (see Additional file 1: Text S2). Overall, we found 4 of the 10 worst predictions made by the statistical model were for complexes with obvious mismatches between crystallization and binding assay conditions or cases in which information potentially impacting affinity measurement or crystallization was missing from the database (Additional file 1: Table S4). These potential database errors were identifiable due to the amount of detail provided in small curated databases like the protein-protein affinity benchmark [28]. However, we expect similar potential issues exist in large-scale databases like PDBbind and BindingDB, which together contain >10,000 protein-ligand structures [30, 57]. Many of the entries in these large structure-affinity databases lack information concerning binding assay and/or crystallization conditions. Our results suggest that this information may be critical for supporting accurate, high-throughput affinity prediction and also important for identifying potential database errors. We also identified a handful of cases in which binding affinity values were incorrectly entered in the PDBbind database. For example, the binding affinity (pKd) assigned to Human prolactin (hPRL) in complex with its receptor is 0.67 in PDBbind, whereas the experimentally-determined binding affinity from the literature is >5.65, depending on pH [70]. Similarly, the prolactin and prolactin receptor mutant complex has an assigned pKd of 1.03 in PDBbind, whereas the affinity from the literature is 6.14 [70]. Although these particular cases were manually corrected in the filtered dataset used for this study, the extent to which various errors are present in large structure-affinity databases remains unknown, making it difficult to characterize the potential effects of database errors on affinity prediction. Incorporating additional structural features improves protein-protein affinity prediction: We have previously developed statistical approaches for predicting protein-protein affinity incorporating a wide range of atom-atom interaction terms expected to impact macromolecular interactions [22]. However, in those analyses, protein-protein affinities could not be predicted with >0.49 correlation, after cross-validation. Applying these models to our filtered PDBbind dataset resulted in a correlation between predicted and experimentally-determined binding affinities of 0.44 in cross-validation analyses (Fig. 1a).Fig. 1Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling Including additional structural features improves prediction of protein-protein binding affinity. In addition to the atom-atom interaction terms evaluated in our previous study [22] we extracted additional features from protein-protein complexes in our filtered training datasets from PDBbind and the Binding Affinity Benchmark and performed cross-validation to evaluate the expected accuracy of affinity-prediction models trained using these features, when applied to new data (see Methods). We plot the Pearson correlation between predicted and experimentally-determined binding affinities for the original model (white) and the model including additional features (gray). Bars indicate standard errors. a Hydrophobicity and surface tension parameters were extracted from structural data and incorporated into the prediction model. b We calculated the root mean squared deviation (RMSD) between unbound and bound forms of the components of each protein-protein complex as well as differences in the area of each protein accessible to solvent (see Methods). These features were incorporated into prediction models. For complexes in the PDBbind database, we simulated the unbound forms by using homology modeling We did find that including additional atom-atom interaction terms can improve the accuracy of affinity-prediction models. For example, hydrophobicity [33] and surface tension parameters [34] are weakly correlated with binding affinity across the filtered PDBbind dataset (Spearman correlation >0.10, p < 7.48x10−3; Additional file 1: Figure S2A). Incorporating these parameters into the predictive model improved the correlation between predicted and experimentally-determined affinities in cross-validation analyses from 0.44 to 0.54 (one-tailed Fisher’s z = 2.04, p = 0.0207; Fig. 1a). We also evaluated the relationship between binding affinity and structural changes caused by protein-protein binding by examining the change in conformational entropy upon complex formation. This can be roughly calculated by comparing the structure of the bound complex (holo) to the unbound (apo) structures and has been successfully applied for predicting binding affinity in a small dataset of 17 protein-protein complexes [41]. We extracted 143 holo complexes with corresponding apo structures from the protein-protein affinity benchmark database (Additional file 1: Table S2). Differences between holo and the apo forms were characterized by calculating root mean squared deviations (RMSDs) and changes in the accessible-to-solvent surface area upon complex formation. Although RMSD was not correlated with experimental binding affinity (Spearman correlation = 0.02, p = 0.73), we did observe a significant correlation between binding affinity and the change in accessible-to-solvent area caused by formation of the protein-protein binding interface, suggesting that this parameter may be useful for improving affinity prediction (Spearman correlation = −0.28, p = 8.63x10−4, Additional file 1: Figure S2B). Cross-validation analysis confirmed that including changes in the accessible-to-solvent area as an explanatory variable improved affinity prediction accuracy, both on the Affinity Benchmark database (r 2 = 0.41 vs. 0.55; William’s test p = 2.3x10−3) and the filtered PDBBind database (r 2 = 0.46 vs. 0.49; William’s test p = 2.6x10−3; Fig. 1b). Scoring functions that exhibit a Pearson correlation >0.72 and an RMSD <2 Å between predicted and experimental binding affinity in cross-validation analyses are commonly characterized as providing robust affinity inferences [11, 40, 42–44]. While our results do suggest that incorporating additional structural information can improve protein-protein affinity prediction, the improvements in accuracy we observed were generally incremental, and even best-case accuracy currently remains too low to support robust affinity inferences. Existing studies of protein-protein affinity prediction have occasionally identified models capable of accurately predicting affinities on carefully curated small datasets, but accurate prediction of protein-protein affinity across large structure-affinity databases has remained unobtainable [23]. This could be due to lack of generalizability, possibly because curation of small datasets may inadvertently select for a subset of the structural features present in large-scale databases. Alternatively, the quality of both structural and affinity data in large databases could be highly variable, making some complexes more ‘difficult’ to accurately predict than others and potentially misleading model training procedures. Currently, almost nothing is known about how variation in characteristics of the structural and experimental data in structure-affinity databases might impact protein-protein affinity prediction. We examine this potential issue for the remainder of this study. Crystal resolution affects protein-protein affinity prediction accuracy: Crystallographic resolution is proportional to the precision of the 3-dimensional coordinates of the atoms in the structure. Typically, high-resolution structures (<2.5 Å) exhibit correct folding, have very small numbers of incorrect rotamers and present accurate surface loops. In contrast, low-resolution structures (>3.5 Å) are more likely to result in folding errors or incorrectly-modeled surface loops [45, 46]. We hypothesized that high-resolution structures would produce more reliable atom-atom interaction calculations and result in more accurate binding affinity predictions. We did observe a weak but significant correlation between crystal resolution and the difference between predicted and experimental binding affinities (r 2 = 0.11, p = 5.26x10−3; Additional file 1: Figure S3A). However, including crystal resolution as a parameter in the affinity prediction model did not improve the correlation between predicted and experimental affinities, even across complexes included in the training dataset (r 2 = 0.64 vs. 0.65; Fisher one-tailed z = 0.16, p = 0.87; Fig. 2a). These results suggest that using crystal resolution as an explanatory variable in the model is unlikely to improve affinity prediction accuracy, even in the ‘best case’ scenario in which new data ‘look’ exactly like the data used for training.Fig. 2High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r 2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors High-resolution structural information improves protein-protein binding affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKds) for the original affinity-prediction model incorporating only biochemical structural data (see Methods) and three models incorporating crystallographic features (temperature, pH and resolution) as additional parameters. See Methods for model training details. Bars indicate standard errors. b We trained affinity prediction models using high-resolution crystallographic data (≤2.5 Å), NMR structures or both high-resolution and NMR data. We plot the correlation between predicted and experimentally-determined affinities (pKds) for models trained using each type of filtered data set (white series) and compare results to models trained using the complete database of 622 protein-protein dimers (black) and models trained using randomly-selected subsets of the original data set of equal size to the high-resolution training data (gray). Bars indicate standard errors. c We performed leave-one-out cross-validation to evaluate the expected accuracy of affinity-prediction models applied to new data (see Methods). We plot the predicted vs. experimentally-determined binding affinities (pKds) of each cross-validated structural complex for models trained using the complete data set of 622 protein-protein dimers (gray), high-resolution crystallographic data (205 complexes with resolution ≤2.5 Å, red), 165 NMR complexes (orange) and the combined high-resolution + NMR data (370 complexes, blue). We report the best-fit regression line and its standard error as well as the Pearson correlation between predicted and experimentally-determined affinities (r 2) and the RMSD between predicted and experimental affinities. d plots the Pearson correlation and RMSD, respectively, for models trained using each type of filtered data set, with bars indicating standard errors However, constraining our training dataset to only include high-resolution structures (<2.5 Å, resulting in 205 protein-protein complexes) improved the correlation between predicted and experimental affinities on training data from 0.64 to 0.85 (Fisher one-tailed z = 6.14, p = 7.97x10−10; Fig. 2b). Furthermore, cross-validation analysis using only high-resolution structures resulted in increased predictive accuracy when applied to new data not included in training (r 2 = 0.54 vs. 0.68; Fisher two-tailed z = 2.85, p = 4.32x10−3; Fig. 2c,d). Although Fisher’s z-transformation incorporates a correction for comparing results obtained on a subsample to results from the full dataset [47], we were concerned that selecting a subsample of the original testing data could lead to a spurious improvement in predictive accuracy, irrespective of the effects of higher crystal resolution. However, when we randomly selected subsets of equivalent size, accuracy never improved to the extent observed for the high-resolution dataset (p < 4x10−3; Fig. 2b). Although these results suggest that training protein-protein affinity prediction using high-resolution structures may improve predictive accuracy, different types of complexes are likely to crystalize at different resolutions. If complexes whose affinities are more difficult to predict for inherent reasons also tend to crystalize at lower resolution, the effects of resolution on predictive accuracy may be indirect. To address this issue, we grouped protein-protein complexes into clusters based on 90% sequence identity. Within each cluster of similar complexes, we calculated the correlation between crystal resolution and affinity prediction accuracy (Additional file 1: Table S3). Although there were only 21 clusters with >3 similar complexes in our dataset, we did find that all the clusters exhibiting a significant correlation between resolution and affinity prediction were consistent with the expectation that higher-resolution structures produced more accurate affinity predictions. While it is not possible to generalize from such limited data, these results do suggest that higher resolution structures may improve affinity prediction accuracy across at least some groups of similar protein-protein complexes. Restricting training and testing data to either high-resolution or NMR data also resulted in a reduction of root-mean squared deviation (RMSD) between predicted and experimental affinities, compared to the original dataset (high-resolution and NMR RMSDs = 1.79 and 1.56, respectively, vs. 1.90 for the original dataset, t-test p < 0.03, Mann–Whitney p < 0.01; Fig. 2d). Together, these results suggest that training statistical models using high-resolution crystal structures or NMR data may improve affinity prediction accuracy when trained models are applied to new data. It is interesting that restricting training data to NMR structures also improved predictive accuracy (see Fig. 2), as the resolution of NMR structures is typically lower than X-ray crystal structures. However, NMR structures are determined from proteins in solution, which may more accurately reflect the native functional environment of the protein [48, 49]. The capacity to capture protein-protein interactions in solution may contribute to the improved predictive accuracy of models trained using NMR data, particularly for cases in which the crystallographic process might introduce structural artifacts. Experimental conditions such as temperature and pH are critical for the formation and stability of a protein crystal [50]. However, the optimal conditions for crystallization may differ from those used for measuring binding affinity, potentially creating a mismatch between a crystalized protein-protein complex and that same complex in experimental solution. To examine the potential effects of crystallization conditions on protein-protein affinity prediction, we extracted temperature and pH information from the Protein Data Bank [51] for the complexes in our training dataset and evaluated the effect of including this information on predictive accuracy. Although both crystallization temperature and pH were weakly negatively correlated with experimental binding affinity (r 2 = −0.26, p = 4.91x10−10 and r 2 = −0.16, p = 1.96x10−4 for temperature and pH, respectively. Additional file 1: Figure S3B), we observed no improvement in predictive accuracy when these parameters were incorporated into the statistical model (Fisher one-tailed z < 0.1, p > 0.92; Fig. 2a). Overall, these results suggest that the quality of structural data can affect the accuracy of statistical affinity prediction, and that training models using high-quality structures may be one avenue available to improve protein-protein and other affinity predictions. While limiting training data to high-resolution structures was not required for accurate prediction of protein-small molecule or protein-DNA/RNA affinities in our previous analysis [22], protein-protein complexes typically have larger numbers of atoms at the protein-ligand interface and may be more sensitive to potential errors induced by lower crystal resolution. Differences in crystal resolution across protein-small molecule, protein-DNA/RNA and protein-protein training datasets may also contribute to differences in affinity prediction accuracy. Lack of information on binding assay conditions impairs protein-protein affinity prediction: In addition to crystallographic conditions or resolution, variation in the experimental conditions and assays used to measure binding affinity could affect prediction accuracy. Different proteins can have dramatically different activities across temperature, pH and concentration of ions or cofactors [52, 53], and assay conditions have been shown to strongly affect reaction rates [54–56]. Even though experimental conditions can be critical for evaluating affinity measurements, this information is not available in the major structure-affinity databases used for training statistical predictors [30, 57]. Detailed experimental information is available for a small protein-protein affinity benchmark database [28]. After excluding complexes with missing data, we obtained 127 protein-protein complexes with data indicating the pH of the binding affinity experiment and 103 complexes with temperature information (Additional file 1: Table S2). We found no significant increase in the correlation between predicted and experimental affinities when binding experiment pH was included as an explanatory variable, even across data used to train the model (r 2 = 0.67 vs. 0.69, William’s t = 0.43, p = 0.34; Fig. 3a). Although pH has been shown to affect binding affinity measurements in some systems [58–60], the effect of pH on pKd may depend on particular properties of the specific interacting proteins. We did observe a small, marginally-significant increase in correlation when including temperature in the model (r 2 = 0.70 vs. 0.76, William’s t = −1.81, p = 0.04; Fig. 3a). Cross-validation analysis confirmed that binding assay temperature has the capacity to improve affinity prediction accuracy when applied to unseen testing data (r 2 = 0.46 vs. 0.52; William’s t = −29.84, p = 9.03x10−188; Fig. 3b).Fig. 3Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors Incorporating information about binding assay conditions improves protein-protein affinity prediction. a We plot the Pearson correlation between predicted and experimentally-determined binding affinities (pKd) using models with (white) and without (gray) three features describing the conditions under which binding affinities were measured experimentally (temperature, pH and the assay method). b We plot the correlation between predicted and experimentally-determined binding affinities for the same models examined in (a), using unseen testing data generated by leave-one-out cross validation (see Methods). c We plot the RMSD between predicted and experimentally-determined binding affinities for the same models in (a and b), using leave-one-out cross-validation. In each panel, bars indicate standard errors Although the dataset examined in this analysis was small, compared to the training data available in the filtered PDBbind data set (~100 vs. ~600 complexes), these results suggest that incorporating parameters describing the experimental conditions used to measure protein-protein binding affinity may be important for training affinity-prediction models. The lack of information describing binding assay conditions in large structure-affinity databases may impose a limit on the accuracy of statistical models constructed from these databases. Protein-protein affinity can be measured by a variety of approaches, some of which may more strongly impact affinity prediction than others. Common technologies used in the protein-protein affinity benchmark database [28] are Isothermal Titration Calorimetry (ITC [61]), surface plasmon resonance (SPR [62]), and inhibition assays [63–66]. We observed a weak but significant correlation between the use of inhibition assays and experimentally-determined affinity values (Spearman correlation = 0.33, p = 1.16x10−4), whereas ITC was weakly negatively correlated with affinity (Spearman correlation = −0.36, p = 1.84x10−5; Additional file 1: Figure S3C). These results suggest that reported affinity measurements are somewhat dependent on the type of assay used: inhibition assays typically result in higher affinities, whereas ITC tends to produce lower affinity values. It is not clear whether this “assay effect” represents a general bias in one or more of the methodologies used to assess binding affinity, or if different methodologies tend to be applied to complexes with higher vs. lower biological affinities. When we included experimental assay method as an explanatory variable in the statistical model, we observed a strong increase in predictive accuracy, assessed by cross-validation (r 2 = 0.35 vs. 0.65; William’s t = −29.84, p = 9.03x10−188; Fig. 3b). In addition, there was no significant difference between training and cross-validation correlation results (Fisher’s z = 1.22, p = 0.11; Fig. 3a,b), suggesting that the optimized statistical model—including assay method—exhibits minimum over-fitting. Incorporating binding assay conditions in our statistical model also resulted in a significant decrease in RMSD between predicted and experimentally-determined affinities (Fig. 3c). Adding binding assay pH to the statistical model reduced RMSD from 2.28 to 1.98 (t-test t = −7.61, p = 2.09x10−12; Mann–Whitney w = 2272, p = 2.66x10−11). Similarly, RMSD decreased from 2.40 to 2.10 when temperature was incorporated (t-test t = −5.80, p = 4.41x10−8; Mann–Whitney w = 3221, p = 1.39x10−5). Finally, RMSD decreased from 2.36 to 1.65 when binding assay method was included as a model parameter (t-test t = −15.58, p = 2.80x10−30; Mann–Whitney w = 383, p = 1.65x10−29). Overall, these results suggest that incorporating information about the experimental conditions used to measure protein-protein affinity can have a strong effect on the predictive accuracy of statistical models. Detailed experimental conditions are generally not incorporated into large-scale structure-affinity databases, which may place a practical upper bound on the accuracy of statistical affinity prediction. Could database errors limit predictive accuracy?: Manual examination of specific examples in the protein-protein affinity benchmark database [28] revealed that, in some cases, the conditions of the crystalized complex are so different from the conditions of the binding assay that it is not clear they are biochemically comparable. For example, the crystal structure of Nuclease A (NucA) in complex with intracellular inhibitor NuiA is a D121A mutant (PDB ID 2O3B), whereas the affinity assay was performed using the wild-type NuiA [67]. This particular complex was the 3rd worst prediction made by our statistical model, with a predicted pKd based on the mutant structure of 7.06 vs. an experimental pKd of the wild-type protein of 11.49. It is not clear whether this mis-prediction is due to a poor statistical fit to this complex or to differences between the binding affinities of the mutant vs. wild-type proteins. To evaluate the potential effects of this mismatch on predicted binding affinity accuracy, we generated the wild-type structure of NuiA using homology modeling [68] and re-estimated the binding affinity using the trained statistical model. Modeling the wild-type NuiA in complex with NucA increased the predicted pKd from 7.06 (mutant NuiA) to 7.49, decreasing the difference between predicted and experimentally-determined affinity somewhat, possibly because the D121A mutation disrupted a hydrogen bond between wild-type NuiA’s D121 and NucA’s E24 (Fig. 4).Fig. 4Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line) Database errors may interfere with affinity prediction accuracy. We predicted the binding affinities of mutant D121A intracellular inhibitor NuiA (NuiA; yellow) and wild-type NuiA (purple) in complex with Nuclease A (nucA; gray) using the trained statistical affinity-prediction model. The wild-type NuiA structure was inferred by homology modeling, using the mutant structure as a template. We plot the structure of each complex and report predicted and experimentally-determined binding affinities (pKds). Inset displays a close-up of the D121A mutation, showing an inferred hydrogen bond between D121 and E24 of NucA (dashed line) Although the significance of the improvement in this single ‘case study’ cannot be evaluated statistically—and is likely to depend on the specific scientific question being considered—this result does suggest that small differences between the crystalized protein-protein complex and the complex whose binding affinity is measured—in this case a single amino acid mutation—may have a measurably negative affect on the accuracy of affinity prediction. The extent of similar errors in large-scale structure-affinity databases is unknown. Missing information about key affinity-determining factors from either the crystallization or affinity experiments could also affect affinity prediction accuracy. In one example, the crystal structure of GTP-Bound Rab4Q67L GTPase in complex with the central Rab binding domain of Rabenosyn-5 (PDB ID 1Z0K) has an additional cofactor, 2-(N-morpholino)-ethanesulfonic acid or MES, which was not present in the binding assay [69]. This complex was the 4th worst prediction made by the statistical model (predicted pKd = 9.14; experimental pKd = 5.11). Although the extent to which the presence/absence of the MES cofactor may have affected affinity prediction is unclear, that the crystalized complex does not correspond to the complex assayed in the experimental affinity measurement raises concerns about the accuracy of this database entry. Other examples of missing information likely to affect affinity prediction could be manually identified from the affinity benchmark database [28], many of which appear to have had a negative impact on affinity predictions made by our statistical model (see Additional file 1: Text S2). Overall, we found 4 of the 10 worst predictions made by the statistical model were for complexes with obvious mismatches between crystallization and binding assay conditions or cases in which information potentially impacting affinity measurement or crystallization was missing from the database (Additional file 1: Table S4). These potential database errors were identifiable due to the amount of detail provided in small curated databases like the protein-protein affinity benchmark [28]. However, we expect similar potential issues exist in large-scale databases like PDBbind and BindingDB, which together contain >10,000 protein-ligand structures [30, 57]. Many of the entries in these large structure-affinity databases lack information concerning binding assay and/or crystallization conditions. Our results suggest that this information may be critical for supporting accurate, high-throughput affinity prediction and also important for identifying potential database errors. We also identified a handful of cases in which binding affinity values were incorrectly entered in the PDBbind database. For example, the binding affinity (pKd) assigned to Human prolactin (hPRL) in complex with its receptor is 0.67 in PDBbind, whereas the experimentally-determined binding affinity from the literature is >5.65, depending on pH [70]. Similarly, the prolactin and prolactin receptor mutant complex has an assigned pKd of 1.03 in PDBbind, whereas the affinity from the literature is 6.14 [70]. Although these particular cases were manually corrected in the filtered dataset used for this study, the extent to which various errors are present in large structure-affinity databases remains unknown, making it difficult to characterize the potential effects of database errors on affinity prediction. Discussion: The accuracy of machine learning and other statistical prediction methods depends on having a large quantity of high-quality training data. Errors in the training data can impair the inferred model’s predictive performance [71], whereas a too-small training dataset can interfere with generalizability to new data [72]. Our results suggest that curation errors, lack of information about experimental conditions and low-quality data present in large structure-affinity databases could reduce the maximum achievable accuracy of protein-protein affinity prediction models developed from these databases. We have shown that limiting training data to high-resolution crystal structures—easily extracted from structural information—can dramatically improve affinity prediction. However, we are cautious that the resulting reduction in breadth of training data may limit the generalizability of inferred models to new problems, particularly complex structural interactions that may not crystalize at high resolution due to inherent flexibility. We have also shown that incorporating information about the experimental conditions used to measure binding affinity may be important for producing accurate affinity predictions from structural data, probably due to their effects on resulting affinity measurements. Unfortunately, most large structure-affinity databases do not include detailed experimental information, and databases that do include this information appear to have at least some examples of dramatic mismatches between crystallographic and affinity-measurement conditions. The extent to which these types of potential errors are present in large-scale databases is not known, making it difficult to assess the general impact of these potential problems on affinity prediction. Conclusion: Although careful manual curation can be used to develop high-quality structure-affinity databases, this approach is unlikely to scale up to the number of structures required for training robust, generalizable predictive models. A possible computational approach to building high-quality, large-scale structure-affinity databases would be to extract detailed information about crystallographic and affinity-measurement conditions directly from scientific literature using text-mining approaches [73–75], although errors in text-mining could then potentially propagate to training databases. Alternatively, authors could be encouraged to directly supply the required information as part of a database submission policy associated with scientific publication. This approach has been successfully used to develop the Protein Data Bank [32], Genbank [76] and similar community resources. Ultimately, it may be up to the community of researchers to develop the standards and practices necessary to support large-scale investigations of the general structural basis for protein-protein interactions. Additional file: Additional file 1:Appendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb) Appendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb) Additional file 1:Appendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb) Appendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb) : Additional file 1:Appendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb) Appendix with Supplementary Material. Appendix, including text, tables, and figures for supplementary data. (PDF 1564 kb)
Background: One goal of structural biology is to understand how a protein's 3-dimensional conformation determines its capacity to interact with potential ligands. In the case of small chemical ligands, deconstructing a static protein-ligand complex into its constituent atom-atom interactions is typically sufficient to rapidly predict ligand affinity with high accuracy (>70% correlation between predicted and experimentally-determined affinity), a fact that is exploited to support structure-based drug design. We recently found that protein-DNA/RNA affinity can also be predicted with high accuracy using extensions of existing techniques, but protein-protein affinity could not be predicted with >60% correlation, even when the protein-protein complex was available. Methods: X-ray and NMR structures of protein-protein complexes, their associated binding affinities and experimental conditions were obtained from different binding affinity and structural databases. Statistical models were implemented using a generalized linear model framework, including the experimental conditions as new model features. We evaluated the potential for new features to improve affinity prediction models by calculating the Pearson correlation between predicted and experimental binding affinities on the training and test data after model fitting and after cross-validation. Differences in accuracy were assessed using two-sample t test and nonparametric Mann-Whitney U test. Results: Here we evaluate a range of potential factors that may interfere with accurate protein-protein affinity prediction. We find that X-ray crystal resolution has the strongest single effect on protein-protein affinity prediction. Limiting our analyses to only high-resolution complexes (≤2.5 Å) increased the correlation between predicted and experimental affinity from 54 to 68% (p = 4.32x10-3). In addition, incorporating information on the experimental conditions under which affinities were measured (pH, temperature and binding assay) had significant effects on prediction accuracy. We also highlight a number of potential errors in large structure-affinity databases, which could affect both model training and accuracy assessment. Conclusions: The results suggest that the accuracy of statistical models for protein-protein affinity prediction may be limited by the information present in databases used to train new models. Improving our capacity to integrate large-scale structural and functional information may be required to substantively advance our understanding of the general principles by which a protein's structure determines its function.
Background: Proteins are involved in the majority of chemical reactions that take place within living cells, making them essential for all aspects of cellular function. Proteins never work in isolation; their functional repertoire is determined by how they interact with various small-molecule, DNA/RNA, protein or other ligands. Ligand affinity is largely determined by a protein’s 3-dimensional structure, which determines the spatial conformation of attractive and repulsive forces between the protein and a potential ligand [1–3]. The affinity with which a protein interacts with various ligands–typically expressed as the dissociation constant (Kd or pKd = −log Kd)—provides critical information about protein function and biochemistry, and has been used for the discovery and optimization of novel pharmaceuticals [4–6]. High-throughput prediction of protein-ligand affinity is typically conducted using a fast statistical “scoring function” that decomposes binding affinity into component atom-atom interaction terms representing the attractive and repulsive forces acting across the protein-ligand complex [7, 8]. Although scoring functions can be derived directly from physical chemistry principles [9], the most effective approaches are usually “trained” using large databases of structural complexes with associated experimentally-determined binding affinities [10–12]. After training, a model’s expected predictive accuracy can be gauged by correlating its predicted affinities with experimentally-determined values across a novel dataset not included in training [13, 14]. Many scoring functions are capable of using only the atomic interactions extracted from crystal structures to rapidly predict protein-small molecule affinities with >70% correlation, which is commonly considered adequate to support structure-based drug design [11, 15–21]. Recently, we developed efficient statistical models capable of predicting protein-DNA/RNA affinities with similar accuracy [22]. Our structure-based prediction models also revealed that different combinations of atom-atom interactions are important for predicting different types of protein-ligand complexes. However, no statistical models we examined were capable of predicting protein-protein affinity with >60% correlation, even under the ‘best case’ scenario in which the protein-protein complex was known experimentally. Accurate prediction of protein-protein interactions is a major goal of computational structural biology, and many approaches have been examined to improve the accuracy of protein-protein affinity prediction [23]. The structural basis of protein-protein interactions is typically more complex and flexible than other protein-ligand interactions, suggesting that entropic forces may be more important in protein-protein interactions [24, 25]. Physics-based approaches such as molecular dynamics can model entropic factors and produce highly-accurate affinity predictions but are too computationally complex to support high-throughput analyses [10–12, 17, 26, 27]. As an alternative approach, smaller manually-curated affinity benchmarks have been proposed to improve the accuracy of high-throughput statistical affinity prediction [28]. However, predictive accuracy on manually-curated datasets rarely exceeds ~60% correlation [29], and accuracy achieved using carefully curated datasets may not generalize well to new data. Importantly, the specific factors that may influence statistical prediction of protein-protein affinity have not been identified, making it difficult to devise reasonable strategies to improve current methods. Conclusion: Although careful manual curation can be used to develop high-quality structure-affinity databases, this approach is unlikely to scale up to the number of structures required for training robust, generalizable predictive models. A possible computational approach to building high-quality, large-scale structure-affinity databases would be to extract detailed information about crystallographic and affinity-measurement conditions directly from scientific literature using text-mining approaches [73–75], although errors in text-mining could then potentially propagate to training databases. Alternatively, authors could be encouraged to directly supply the required information as part of a database submission policy associated with scientific publication. This approach has been successfully used to develop the Protein Data Bank [32], Genbank [76] and similar community resources. Ultimately, it may be up to the community of researchers to develop the standards and practices necessary to support large-scale investigations of the general structural basis for protein-protein interactions.
Background: One goal of structural biology is to understand how a protein's 3-dimensional conformation determines its capacity to interact with potential ligands. In the case of small chemical ligands, deconstructing a static protein-ligand complex into its constituent atom-atom interactions is typically sufficient to rapidly predict ligand affinity with high accuracy (>70% correlation between predicted and experimentally-determined affinity), a fact that is exploited to support structure-based drug design. We recently found that protein-DNA/RNA affinity can also be predicted with high accuracy using extensions of existing techniques, but protein-protein affinity could not be predicted with >60% correlation, even when the protein-protein complex was available. Methods: X-ray and NMR structures of protein-protein complexes, their associated binding affinities and experimental conditions were obtained from different binding affinity and structural databases. Statistical models were implemented using a generalized linear model framework, including the experimental conditions as new model features. We evaluated the potential for new features to improve affinity prediction models by calculating the Pearson correlation between predicted and experimental binding affinities on the training and test data after model fitting and after cross-validation. Differences in accuracy were assessed using two-sample t test and nonparametric Mann-Whitney U test. Results: Here we evaluate a range of potential factors that may interfere with accurate protein-protein affinity prediction. We find that X-ray crystal resolution has the strongest single effect on protein-protein affinity prediction. Limiting our analyses to only high-resolution complexes (≤2.5 Å) increased the correlation between predicted and experimental affinity from 54 to 68% (p = 4.32x10-3). In addition, incorporating information on the experimental conditions under which affinities were measured (pH, temperature and binding assay) had significant effects on prediction accuracy. We also highlight a number of potential errors in large structure-affinity databases, which could affect both model training and accuracy assessment. Conclusions: The results suggest that the accuracy of statistical models for protein-protein affinity prediction may be limited by the information present in databases used to train new models. Improving our capacity to integrate large-scale structural and functional information may be required to substantively advance our understanding of the general principles by which a protein's structure determines its function.
20,879
448
[ 360, 496, 1157, 1964, 1299, 1111, 54 ]
13
[ "protein", "affinity", "binding", "data", "prediction", "protein protein", "affinity prediction", "resolution", "accuracy", "affinities" ]
[ "potential ligand affinity", "protein affinity predictions", "protein ligand data", "protein binding affinity", "protein ligand interactions" ]
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[CONTENT] Protein-protein | Binding affinity | Machine learning | Intermolecular interactions | Scoring functions [SUMMARY]
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[CONTENT] Protein-protein | Binding affinity | Machine learning | Intermolecular interactions | Scoring functions [SUMMARY]
[CONTENT] Protein-protein | Binding affinity | Machine learning | Intermolecular interactions | Scoring functions [SUMMARY]
[CONTENT] Protein-protein | Binding affinity | Machine learning | Intermolecular interactions | Scoring functions [SUMMARY]
[CONTENT] Protein-protein | Binding affinity | Machine learning | Intermolecular interactions | Scoring functions [SUMMARY]
[CONTENT] Animals | Data Accuracy | Humans | Machine Learning | Models, Molecular | Models, Statistical | Protein Binding | Protein Conformation | Proteins [SUMMARY]
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[CONTENT] Animals | Data Accuracy | Humans | Machine Learning | Models, Molecular | Models, Statistical | Protein Binding | Protein Conformation | Proteins [SUMMARY]
[CONTENT] Animals | Data Accuracy | Humans | Machine Learning | Models, Molecular | Models, Statistical | Protein Binding | Protein Conformation | Proteins [SUMMARY]
[CONTENT] Animals | Data Accuracy | Humans | Machine Learning | Models, Molecular | Models, Statistical | Protein Binding | Protein Conformation | Proteins [SUMMARY]
[CONTENT] Animals | Data Accuracy | Humans | Machine Learning | Models, Molecular | Models, Statistical | Protein Binding | Protein Conformation | Proteins [SUMMARY]
[CONTENT] potential ligand affinity | protein affinity predictions | protein ligand data | protein binding affinity | protein ligand interactions [SUMMARY]
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[CONTENT] potential ligand affinity | protein affinity predictions | protein ligand data | protein binding affinity | protein ligand interactions [SUMMARY]
[CONTENT] potential ligand affinity | protein affinity predictions | protein ligand data | protein binding affinity | protein ligand interactions [SUMMARY]
[CONTENT] potential ligand affinity | protein affinity predictions | protein ligand data | protein binding affinity | protein ligand interactions [SUMMARY]
[CONTENT] potential ligand affinity | protein affinity predictions | protein ligand data | protein binding affinity | protein ligand interactions [SUMMARY]
[CONTENT] protein | affinity | binding | data | prediction | protein protein | affinity prediction | resolution | accuracy | affinities [SUMMARY]
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[CONTENT] protein | affinity | binding | data | prediction | protein protein | affinity prediction | resolution | accuracy | affinities [SUMMARY]
[CONTENT] protein | affinity | binding | data | prediction | protein protein | affinity prediction | resolution | accuracy | affinities [SUMMARY]
[CONTENT] protein | affinity | binding | data | prediction | protein protein | affinity prediction | resolution | accuracy | affinities [SUMMARY]
[CONTENT] protein | affinity | binding | data | prediction | protein protein | affinity prediction | resolution | accuracy | affinities [SUMMARY]
[CONTENT] protein | affinity | ligand | forces | interactions | protein protein | accuracy | prediction | protein ligand | ligand affinity [SUMMARY]
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[CONTENT] affinity | protein | binding | prediction | resolution | affinity prediction | data | protein protein | predicted | affinities [SUMMARY]
[CONTENT] develop | approach | text mining | mining | community | directly | scale | databases | required | scientific [SUMMARY]
[CONTENT] protein | affinity | data | binding | prediction | protein protein | resolution | model | complexes | accuracy [SUMMARY]
[CONTENT] protein | affinity | data | binding | prediction | protein protein | resolution | model | complexes | accuracy [SUMMARY]
[CONTENT] One | 3 ||| 70% ||| 60% [SUMMARY]
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[CONTENT] ||| ||| 54 to 68% | 4.32x10 ||| ||| [SUMMARY]
[CONTENT] ||| [SUMMARY]
[CONTENT] One | 3 ||| 70% ||| 60% ||| NMR ||| ||| Pearson ||| two | Mann-Whitney U ||| ||| ||| 54 to 68% | 4.32x10 ||| ||| ||| ||| [SUMMARY]
[CONTENT] One | 3 ||| 70% ||| 60% ||| NMR ||| ||| Pearson ||| two | Mann-Whitney U ||| ||| ||| 54 to 68% | 4.32x10 ||| ||| ||| ||| [SUMMARY]